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https://openalex.org/W2956669133
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https://pure.eur.nl/files/48218774/REPUB_118464-OA.pdf
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English
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Low-Grade Inflammation as a Predictor of Antidepressant and Anti-Inflammatory Therapy Response in MDD Patients: A Systematic Review of the Literature in Combination With an Analysis of Experimental Data Collected in the EU-MOODINFLAME Consortium
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Frontiers in psychiatry
| 2,019
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ORIGINAL RESEARCH
doi: 10.3389/fpsyt.2019.00458
published: 09 July 2019 Edited by:
Iris E. Sommer,
University Medical Center Graniger,
Netherlands Edited by:
Iris E. Sommer,
University Medical Center Graniger,
Netherlands Reviewed by:
Eva E. Redei,
Northwestern University,
United States
Jennifer C. Felger,
Emory University,
United States Gara Arteaga-Henríquez 1,2,3†, Maria S. Simon 1†, Bianka Burger 4, Elif Weidinger 1,
Annemarie Wijkhuijs 5, Volker Arolt 6, Tom K. Birkenhager 7, Richard Musil 1,
Norbert Müller 1,4‡ and Hemmo A. Drexhage 2‡* 1 Department of Psychiatry and Psychotherapy, University Hospital, Ludwig-Maximilian-University, Munich,
Germany, 2 Department of Immunology, Erasmus Medical Center, Rotterdam, Netherlands, 3 Psychiatry,
Mental Health and Addictions Group, Vall d’Hebron Research Institute (VHIR), Barcelona, Spain, 4 Marion von Tessin
Memory-Center, Munich, Germany, 5 RMS, Rotterdam, Netherlands, 6 Department of Psychiatry and Psychotherapy,
University Hospital of Muenster, Muenster, Germany, 7Department of Psychiatry, Erasmus Medical Center,
Rotterdam, Netherlands *Correspondence:
Hemmo A. Drexhage
h.drexhage@erasmusmc.nl *Correspondence:
Hemmo A. Drexhage
h.drexhage@erasmusmc.nl ‡These authors share last authorship. Low-grade inflammation plays a role not only in the pathogenesis of major depressive
disorder (MDD) but probably also in the poor responsiveness to regular antidepressants. There are also indications that anti-inflammatory agents improve the outcomes of
antidepressants. Specialty section:
This article was submitted to
Molecular Psychiatry,
a section of the journal
Frontiers in Psychiatry
Received: 03 December 2018
Accepted: 11 June 2019
Published: 09 July 2019 Specialty section:
This article was submitted to
Molecular Psychiatry,
a section of the journal
Frontiers in Psychiatry Aim: To study whether the presence of low-grade inflammation predicts the outcome of
antidepressants, anti-inflammatory agents, or combinations thereof. Received: 03 December 2018
Accepted: 11 June 2019
Published: 09 July 2019 Methods: We carried out a systematic review of the literature on the prediction capability
of the serum levels of inflammatory compounds and/or the inflammatory state of
circulating leukocytes for the outcome of antidepressant/anti-inflammatory treatment in
MDD. We compared outcomes of the review with original data (collected in two limited
trials carried out in the EU project MOODINFLAME) on the prediction capability of the
inflammatory state of monocytes (as measured by inflammatory gene expression) for the
outcome of venlafaxine, imipramine, or sertraline treatment, the latter with and without
celecoxib added. July 2019 | Volume 10 | Article 458 INTRODUCTION Since most of the antidepressant drugs have—next to
their neurotransmission modulatory effects—also immune
modulating capacities (28, 29), it is thought that the
inflammatory state of patients might play a role in non-
responsiveness. To enforce the mood-regulating effects of
antidepressants, and being aware of the notion that low-
grade inflammation plays a role, various studies have been
undertaken to use anti-inflammatory agents as add-ons to
regular antidepressant therapies. In this way, acetylsalicylic
acid (i.e., aspirin, a COX1 and COX2 inhibitor), selective
COX-2 inhibitors (e.g., celecoxib), minocycline (a tetracyclin
with anti-inflammatory effects), and anti-TNF monoclonal
antibodies (e.g., infliximab) have been used experimentally
(30–33). Besides these anti-inflammatory agents, agents such
as cholesterol-lowering fish oil (eicosapentaenoic acid) and
anti-oxidative n-acetylcysteine have also been used (33, 34). These agents also have anti-inflammatory actions, since both
the cholesterol metabolism and the anti-oxidative machinery
are linked to inflammation (35, 36). Though it seems that anti-
inflammatory agents did show limited beneficial effects in
most of the reported studies (30–34), there is still doubt on
the real validity of such interventions, particularly due to the
paucity and preliminary character of the studies, while there is
also the feeling that such anti-inflammatory agents might only
work in a proportion of patients. It is well accepted that immune dysregulation plays an
important role in the pathogenesis of at least a proportion
of patients with major depressive disorder (MDD) (1–16). Genetic defects and/or polymorphisms, childhood trauma,
and chronic stress are all capable of eliciting such immune
dysregulations (17–19). In the last decades, special interest
has been raised for the role of low-grade inflammation in
the immune system dysregulation of MDD. Low-grade
inflammation is characterized by an increase in the level of
circulating pro-inflammatory compounds, such as acute phase
proteins [e.g., C-reactive protein (CRP)] and cytokines [e.g.,
interleukin (IL)-6], and/or by a pro-inflammatory activity of
circulating or tissue resident immune cells (20–23). A wide range of medications is currently available
for the treatment of MDD. First-line agents are the well-
known serotonin reuptake inhibitors (SSRIs; e.g., sertraline,
escitalopram, or citalopram), which show a predominantly
serotonergic action (24). First-line agents are also the
serotonin-noradrenaline reuptake inhibitors (SNRIs), which
show a predominantly serotonergic action at low doses and
a combined serotonergic–noradrenergic action at moderate
to high doses (25). Citation: Arteaga-Henríquez G, Simon MS,
Burger B, Weidinger E, Wijkhuijs A,
Arolt V, Birkenhager TK, Musil R,
Müller N and Drexhage HA
(2019) Low-Grade Inflammation
as a Predictor of Antidepressant
and Anti-Inflammatory Therapy
Response in MDD Patients: A
Systematic Review of the Literature
in Combination With an Analysis of
Experimental Data Collected in the
EU-MOODINFLAME Consortium. Front. Psychiatry 10:458. doi: 10.3389/fpsyt.2019.00458 Results: Collectively, the literature and original data showed that: 1) raised serum
levels of pro-inflammatory compounds (in particular of CRP/IL-6) characterize an
inflammatory form of MDD with poor responsiveness to predominately serotonergic
agents, but a better responsiveness to antidepressant regimens with a) (add-on) July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 1 Arteaga-Henriquez et al. Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD noradrenergic, dopaminergic, or glutamatergic action or b) (add-on) anti-inflammatory
agents such as infliximab, minocycline, or eicosapentaenoic acid, showing—next
to anti-inflammatory—dopaminergic or lipid corrective action; 2) these successful
anti-inflammatory (add-on) agents, when used in patients with low serum levels of
CRP/IL-6, decreased response rates in comparison to placebo. Add-on aspirin, in
contrast, improved responsiveness in such “non-inflammatory” patients; 3) patients
with increased inflammatory gene expression in circulating leukocytes had a poor
responsiveness to serotonergic/noradrenergic agents. Conclusions: The presence of inflammation in patients with MDD heralds a poor
outcome of first-line antidepressant therapies. Immediate step-ups to dopaminergic
or glutamatergic regimens or to (add-on) anti-inflammatory agents are most likely
indicated. However, at present, insufficient data exist to design protocols with reliable
inflammation parameter cutoff points to guide such therapies, the more since detrimental
outcomes are possible of anti-inflammatory agents in “non-inflamed” patients. Keywords: major depression, inflammation, antidepressant therapy, anti-inflammatory therapy, therapy prediction INTRODUCTION Tricyclic antidepressants (TCAs) show
a similar mechanism of action as SNRIs regarding the dual
serotonergic-noradrenergic action, but because of more side
effects, they are actually used as second-line agents. Third-
line agents are drugs with a predominantly noradrenergic/
dopaminergic action, such as mirtazapine or bupropion, or
agents with other mechanisms of action, such as ketamine
[i.e., an N-methyl-d-aspartate (NMDA) receptor antagonist,
elevating glutamate levels]. Despite this wide range of
medications, response rates to treatment are still insufficient,
with about half of the patients not responding adequately to an
installed treatment (26, 27). Collectively, the abovementioned notions lead to the view
that there is a need for a personalized medicine approach to
select patients who, in particular, will respond to first-line
agents and those needing immediate step-up therapies to
drugs other than the first-line drugs and/or an add-on of a
first-line agent with an anti-inflammatory agent. In such
an approach, it is the question whether a pre-existent state
of enhanced low-grade inflammation (present in around
one-third of patients) (37) indeed plays a role in non-
responsiveness to antidepressants and whether such a state July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 2 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. is capable of predicting the outcome of the abovementioned
antidepressant therapy regimens. agents. To make comparisons possible, we indicate in the
result section (Table 1C, marked with B and C) which
studies included bipolar depressed patients, and we discuss
in the Discussion section putative differences stemming
from this inclusion. For this report, we have carried out a systematic review
searching for the relevant literature on the prediction capability
of soluble inflammatory compounds/cytokines in serum/plasma/
CSF and/or the inflammatory state of circulating leukocytes for
the outcome of antidepressant/anti-inflammatory treatments
in MDD. We combined the outcomes of the systematic review
with experimental data collected in the EU-MOODINFLAME
consortium on the prediction capability of the inflammatory
state of circulating monocytes (as measured by inflammatory
gene expression). Two EU-MOODINFLAME trials could be
evaluated, a trial carried out on patients with MDD collected at
the Rotterdam site and treated in first line with venlafaxine or
imipramine (38), and a small trial carried out on patients with
MDD collected at the Munich site and treated with sertraline plus
add-on celecoxib or placebo. INTRODUCTION (4) the absence of severe somatic diseases (especially
inflammation-related); l
(5) the assessment of immune biomarkers;i (6) the use of first-line or other antidepressant agents or the
use of an anti-inflammatory agent added to antidepressant
treatment or alone; (7) the assessment of symptom reduction with standardized
measure [e.g., Hamilton Rating Scale for Depression
(HAMD), Montgomery–Asberg Depression Rating Scale
(MADRS), Beck’s depression inventory (BDI)] and (MADRS), Beck’s depression inventory (BDI)] and (8) the analysis of responder and non-responder subgroups. By reading the abstracts, methods, and results sections
and applying the inclusion criteria and by removing
duplicate records, 36 studies were selected. Further exclusion
criteria were: Search Strategy for Systematic Review (1) no predictive information provided;l (2) use of parameters that are not inflammatory biomarkers in a
narrower sense [e.g., serotonin and kynurenine metabolites,
brain-derived neurotrophic factor (BDNF), calcium-binding
protein B (S100B), macrophage-derived chemokine (MDC),
platelet-derived growth factor (PDGF), and Eotaxin-1/
CCL11]; (3) genetic studies were excluded except for leukocyte gene
expression level studies;l (4) the use of agents whose anti-inflammatory mechanisms
are not direct and even questionable (e.g., l-methylfolate,
pioglitazone, modafinil). y
The following search terms were used: (mdd OR major
depressive disorder OR depression) AND (inflammation) AND
(therapy OR treatment OR antidepressant drugs OR sertraline OR
venlafaxine OR escitalopram OR citalopram OR tricyclic OR ssri
OR snri) AND (biomarker OR cytokines OR il-6 OR t cells OR nk
cells OR th17 OR leukocytes OR macrophages OR crp OR genes)
AND (response OR prediction), (mood disorder OR depression
OR bipolar) AND (anti-inflammatory OR inflammation) AND
(therapy OR treatment OR medication OR drugs OR add-on
OR adjunct OR anti TNF OR infliximab OR CRP OR aspirin
OR ASA OR acetyl salicylic acid OR minocycline OR omega 3
fatty acids OR NAC OR acetylcysteine OR cox 2 inhibitor OR
celecoxib) AND (biomarker OR cytokines OR macrophages OR
t cells OR NK cells OR leukocytes OR CRP OR genes). By applying these exclusion criteria, we finally included 24
reports in the systematic review. With the purpose of providing a comprehensive presentation,
we decided to split the remaining studies into studies concerning
circulating inflammatory compounds/cytokines (n = 19, see
Tables 1A–C) and gene expression in circulating leukocytes
(n = 5; see Table 2). For detailed information about the study
selection, see Figure 1. MATERIALS AND METHODS Search Strategy for Systematic Review
We conducted a systematic literature search in the PubMed/
MEDLINE and Web of Science databases to identify immune-
inflammatory predictors for treatment response to antidepressants,
anti-inflammatory agents, and/or their combination with anti-
inflammatory agents (or anti-inflammatory agents alone) in
MDD from inception (for anti-inflammatory) and from 2008
(for antidepressant) until August 16, 2018. To find additional
relevant studies, citation lists of included articles were tracked in
Google Scholar (39) or citation lists of topic-related reviews and
meta-analyses were checked. The last author of a significant paper
concerning celecoxib and an expert in the field (NM) was also
contacted and asked of awareness of any additional studies. Experimental Clinical Studies Details on the inclusion and exclusion criteria, as well as on the
clinical instruments and characteristics of patients, have been
published before (38, 64). In short, in- and outpatients were
recruited from the Departments of Psychiatry at the Erasmus
Medical Centre (ErasmusMC) in Rotterdam (The Netherlands)
and at the University Hospital of the Ludwig Maximilian
University (LMU) in Munich (Germany). All patients were
diagnosed according to the Diagnostic and Statistical Manual
of Mental Disorders, Text Revision (DSM-IV-TR) (65) and
confirmed by using the Structured Clinical Interview for
DSM-IV Axis I Disorders (SCID-I) (66). Included were patients
with a minimum score of 17 (Rotterdam) or 22 (Munich) on y
g
The initial search of 7,047 studies resulted in 174
relevant studies selected by title. Inclusion criteria for further
selection were: (1) publications written in the English language; (2) human clinical trials; (3) the diagnosis of MDD. Because of the paucity of studies in
unipolar depression, both unipolar and bipolar depression
were included for the studies on (add-on) anti-inflammatory July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 3 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. FIGURE 1 | Flow diagram of the systematic research. See materials and methods section for further explanation. FIGURE 1 | Flow diagram of the systematic research. See materials and methods section for further explanation. including schizophrenia, psychotic disorders, mood disorders,
anxiety disorders, or substance-related disorders according to
DSM-IV criteria; the absence of usage of psychiatric drugs; and
the absence of severe medical illness. HC had to be in self-
proclaimed good health and free of any obvious medical illness
for at least 2 weeks prior to the blood withdrawal, including
acute infections and allergic reactions. the Hamilton Rating Scale for Depression (HAMD, 17-item-
version) (67). Studies had been approved by the ethics committee of
the medical faculty at the LMU, Munich (Germany), and the
medical ethics committee of the ErasmusMC, Rotterdam (the
Netherlands). The study was conducted in compliance with
standards of Good Clinical Practice (CGP), assuring that the
rights, safety, and well-being of patients were protected in
accordance with the principles that have their origin in the
Declaration of Helsinki (June 1964, last amendment Fortaleza
2013). Additionally, the relevant national and European
regulations were adhered, too. After study procedures
had been fully explained, all subjects provided written
informed consent. Treatment Protocols Being both double-blind studies, subjects, investigators, and
study staff had been blinded to the treatment assignment for the
duration of the study. Venlafaxine/Imipramine Study (Rotterdam) Prior to the start of antidepressants, patients with MDD underwent
a wash-out period for at least 1 week. The use of benzodiazepines
was allowed up to a maximum daily dose of 3 mg lorazepam
or the corresponding equivalent. Subsequently, patients were
randomly assigned to a 7-week monotherapy with either the
serotonin-norepinephrine reuptake inhibitor (SNRI) venlafaxine Sertraline Plus Placebo/Celecoxib Study (Munich) Sertraline Plus Placebo/Celecoxib Study (Munich)
Prior to the start of treatment, patients with MDD underwent
a washout period for 3 days. The use of lorazepam or zopiclon
was allowed in this period and also during the study, up to a
maximum daily dose of 3 or 15 mg, respectively. Subsequently,
patients were randomly assigned in a 1:1 ratio to a 6-week
therapy with either the selective serotonin reuptake inhibitor
(SSRI) sertraline plus placebo, or with sertraline plus the
selective COX-2 inhibitor celecoxib. The dose of sertraline
was flexible and ranged between 50 and 100 mg/day. A daily
dose higher than 100 mg was not recommended, but in the
expectation of more clinical benefit, a daily dose of 150 mg
sertraline was allowed. The daily dose of celecoxib was 400 mg
(200 mg in the morning and 200 mg in the evening). Patients
from the placebo group received two identical capsules
(morning and evening). As in the Rotterdam cohort, response
to treatment was defined as ≥50% reduction of the initial
HAM-D score. y
Based on several previous studies on mood disorders (21, 64,
69), we decided to include in our panel the most consistently
abnormally expressed inflammatory genes in the studies. Therefore,
relative to the housekeeping gene ABL1, the expression of a total of
up to 49 genes was determined (also because of the maximum of fill
ports in the Taqman assay) and expression values were calculated
using the comparative threshold cycle (CT) method [see, for
technical details, Refs. (21, 64, 69)]. The mentioned earlier studies
also carried out a hierarchical clustering of these genes and found
two main distinct clusters of gene expression. The first cluster is
found consistently in virtually all of our monocyte inflammatory
gene expression studies (also besides disease conditions such as
mood disorders), and this cluster is composed of well-known
pro-inflammatory cytokines and chemokines and important
enzymes or transcription factors to produce these compounds. For
the calculation of the “positivity of this inflammatory compound
cluster”, we took the expression level of the top 10 genes [the most
consistently overexpressed genes in all our studies thus far; see Ref. (64)] of this cluster into consideration, i.e., IL1β, CCL20, EREG,
IL6, TNFAIP3, CXCL2, PDE4B, ATF3, PTX3, and IL1A. These
genes accounted for 70–99% of the inflammatory cluster response. For each of the 10 genes, we determined a range of the HC gene
expression (using the 2−ΔCt values). Numbers of Patients With MDD and HC Only patients and HC with full data regarding the expression
levels of all key genes for monocyte inflammatory activation could
be used for the present study. The Rotterdam sample therefore
consisted of 34 MDD patients and 45 HC. Of the patient group,
14 patients were treated with venlafaxine and 20 patients were
treated with imipramine. The Munich sample consisted therefore
of 35 MDD patients and 42 HC. Of the patient group, 19 patients
were treated with sertraline plus placebo, and 16 patients were
treated with sertraline plus celecoxib. Blood Collection Blood was collected in sodium-heparin tubes (36 ml) for immune
cell preparation just prior to treatment. From the heparinized
blood, peripheral blood mononuclear cell (PBMC) suspensions
were prepared by low-density gradient centrifugation via Ficoll-
Paque PLUS (GE Healthcare, Uppsala, Sweden) within 8 h to
avoid erythrophagy-related activation of the monocytes. PBMCs
were frozen in 10% dimethylsulfoxide and stored in liquid
nitrogen. This enabled us to test immune cells of patients and
controls together at a later stage. Tests were done at ErasmusMC. Monocyte Inflammatory Gene Expression
CD14+ monocytes were isolated from aliquots of the frozen and
thawed PBMCs by a magnetic cell sorting system (auto MACS
Pro, Miltenyi Biotec, B.V., Bergisch Gladbach, Germany). The
average viability was 86.3 ± 10.4 (Trypan blue staining) and
the purity of monocytes was 95.1 ± 3.0% (flow cytometry). RNA was isolated from the purified monocytes using RNA
easy mini kit according to the manufacturer’s instructions
(Qiagen, Hilden, Germany). On average, monocytes cell yield Frontiers in Psychiatry | www.frontiersin.org Healthy Controls Healthy controls (HCs) were recruited from the same
communities (Rotterdam and Munich). Details on the HC can
be found in Refs. (64) and (68). In short, the inclusion criteria
for HC were the absence of major DSM-IV-TR Axis I disorders July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 4 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. (mean daily dose 371 mg, range dose of 300–375 mg/day) or
with the TCA imipramine (mean dose 206 mg, range dose of
50–450 mg/day). The duration of the treatment trial was 7 weeks
to ensure that patients treated with imipramine had adequate
plasma levels for at least 4 weeks. Response to treatment was
defined as ≥50% reduction of the initial HAM-D score. after isolation was 2.0 ± 1.6 × 106/subject and the quantity of
RNA in monocytes was 3.2 ± 1.8 μg. One microgram of RNA
was reverse-transcribed using the cDNA high capacity reverse
transcription kit (Applied Biosystems, Foster City, CA, USA). qPCR was performed using Taqman Arrays, format 48 (Applied
Biosystems), according to the manufacturer’s protocol and
validated against the single RT-qPCR method. Per fill port,
400 ng of cDNA (converted from total RNA) was loaded. PCR
amplification was performed using an Applied Biosystems
Prism 7900HT sequence detection system with TaqMan Array
block. Thermal cycler conditions were 2 min at 50°C, 10 min at
94.5°C, 30 s at 97°C, and 1 min at 59.7°C for 40 cycles. Sertraline Plus Placebo/Celecoxib Study (Munich) The range was defined by the
mean of the values for that gene in HC monocytes ± 1 standard
deviation (SD). Then, we used this range as a standard of comparison
for the MDD patients’ gene expression. We decided to refer to a
patient’s top gene as upregulated, if the patient’s gene expression
was higher than HC’s mean plus 1×SD, or downregulated when
it was lower than HC’s mean minus 1×SD. This was done for all
10 above given genes. Then, we declared the monocyte population
of a given patient as “pro-inflammatory positive” if 6 of these 10
top inflammatory genes (or more) were upregulated. These data
are given in Table 3 in the Results section. Similar calculations/
algorithms for monocyte inflammatory positivity have been used
by us before (21, 69–71). Further methodological details of the
calculation can be found in these publications. Original Q-PCR
data have been uploaded and can be retrieved via the GEO
repository ref number GSE132315: http://www.ncbi.nlm.nih.gov/
geo/query/acc.cgi?acc=GSE132315 Systematic Review Data on the
Usefulness of Circulating Serum
Inflammatory Compounds Tables 1A, 1B, and 1C show the data of the systematic review
of the 19 selected articles (see the section Search Strategy
for Systematic Review) regarding the predictive capability
of inflammatory state [assessed by serum/plasma immune
compounds (mainly CRP and cytokines) (only one study used
CSF)] in patients with MDD for the response rates to various
classes of antidepressant drugs and to anti-inflammatory agents
added to an antidepressant regimen (except for one study, in
which the anti-inflammatory agent was used as monotherapy)
(52). For comprehensibility, we have grouped the outcomes in
Table 1 according to the regimen used. Taken together, predominantly serotonergic agents showed,
in general, insufficient response rates in those patients with signs
of moderate to high inflammation as measured by circulating
inflammatory compounds.h l
The review also delivered that, in such conditions of moderate
to high signs of inflammation, drugs with another mechanism
of action than primarily serotonergic do show an effect. Using
nortriptyline, mirtazapine, or ketamine alone, or combinations
of an SSRI with nortriptyline or bupropion resulted, in 5 out of 5
studies, in improved responses rates (40, 41, 49–51) as compared
to the patients with low inflammatory markers (Table 1B). Table 1A shows that, in three out of three studies (40–
42), antidepressants with a predominant serotonergic action
[i.e., escitalopram (SSRI)] induced a better response in patients
with low inflammatory markers as compared to patients with
high inflammatory markers in the same study. On the contrary,
when inflammatory markers were high, five out of seven of the l
y
Similar beneficial effects existed for combinations of
antidepressant drugs with anti-inflammatory agents. Table 1C TABLE 1A | Predominantly serotonergic action: higher response rates in low inflammatory state vs. moderate–high inflammatory state (prior to treatment). Statistics Statistical analyses were performed using IBM SPSS v.21 for
Mac. Continuous sample characteristics are reported as mean
(± standard deviation). Group comparisons (e.g., MDD vs. HC,
responders vs. non-responders) were analyzed using analysis of July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 5 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. studies (40, 45–48) showed that drugs with a predominant
serotonergic action (i.e., SSRIs, SNRIs, and TCAs) induced
reduced response rates as compared to patients with low
inflammatory markers in the same study. Cutoff points for low
and high levels were defined for CRP in the reviewed studies
at 1 mg/L; for IL-6 and TNFα, values depended on the actual
sensitivity of the assay used in the report. Two studies formed
an exception. Manoharan et al. (44) did not find any effect of
pre-selection of the inflammatory state. However, this study
was special in that treatment duration was of only 6 weeks, and
patients had a relatively low to moderate depression severity
(HAMD score ≥ 13). The other study (43) showed the opposite
message (i.e., an improved response to SSRIs in patients with
a high inflammatory state as compared to a low inflammatory
state). This study was special, in that many patients were treated
with paroxetine (SSRIs), which—apart from its serotonergic
action—also exerts a considerable dopaminergic action (72). variance (ANOVA) tests for continuous data (e.g., age) and using
Pearson’s chi-square (χ²) tests for categorical data (e.g., gender). For
group comparisons of positivity of monocyte gene expression (e.g.,
MDD vs. HC, responders/non-responders vs. HC, responders vs. non-responders), Pearson’s chi-square (χ²) tests were applied, too. All hypotheses were tested with α ≤ 0.05 (two-sided). SSRI, selective serotonin reuptake inhibitors; SNRI, serotonin-norepinephrine reuptake inhibitor; TCA, tricyclic antidepressant; TNFα, tumor necrosis factor alpha; IL, interleukin;
CSF, cerebrospinal fluid; CRP, C-reactive protein; m–h, moderate–high; IS, inflammatory state.
*p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001.
aImprovement on Montgomery–Asberg Depression Rating Scale (MADRS) score 3 points higher with nortriptyline when CRP ≥ 1 mg/L and 3 points higher with escitalopram when
CRP < 1 mg/L. SSRI, selective serotonin reuptake inhibitors; SNRI, serotonin-norepinephrine reuptake inhibitor; TCA, tricyclic antidepressant; TNFα, tumor necrosis factor alpha; IL, interleukin;
CSF, cerebrospinal fluid; CRP, C-reactive protein; m–h, moderate–high; IS, inflammatory state.
*p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001. *p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001.
aImprovement on Montgomery–Asberg Depression Rating Scale (MADRS) score 3 points higher with nortriptyline when CRP ≥ 1 mg/L and 3 points higher with escitalopram when
CRP < 1 mg/L. Systematic Review Data on the
Usefulness of Circulating Serum
Inflammatory Compounds INFLAMMATORY STATE
STUDY
DRUG
INFLAMMATORY TEST
RESPONSE
LOW
Jha et al., 2017 (40)
Escitalopram (SSRI) + Placebo
CRP < 1 mg/L
Higher response rates compared
to m–h IS *
Uher et al., 2014a (41)
Escitalopram (SSRI)
CRP < 1 mg/L
Higher response rates compared
to m–h IS ***
Eller et al., 2008 (42)
Escitalopram (SSRI)
TNFα
Higher response rates compared
to m–h IS *
MODERATE–HIGH
Yoshimura et al., 2013 (43)
Paroxetine, Sertraline (SSRI)
IL-6
Higher response rates compared
to low IS *
Manoharan et al., 2016 (44)
Fluoxetine (SSRI)
IL-6
No associations between
biomarker values and response
rates
Jha et al., 2017 (40)
Escitalopram (SSRI) + Placebo
CRP ≥ 1 mg/L
Lower response rate compared
to low IS *
Chang et al., 2012 (45)
Fluoxetine (SSRI), Venlafaxine (SNRI)
CRP ≥ 1 mg/L
Lower response rate compared
to low IS *
Haroon et al., 2018 (46)
SSRIs, SNRIs, TCA
CRP, IL-6, TNFα, sTNF-R2
Lower response rate compared
to low IS *
Yoshimura et al., 2009 (47)
Paroxetine, Sertraline, Fluvoxamine,
Milnacipran (SSRI, SSNRI)
IL-6
Lower response rate compared
to low IS *
Martinez et al., 2012 (48)
Venlafaxine (SNRI)
TNFα (CSF)
Lower response rate compared
to low IS *
SSRI, selective serotonin reuptake inhibitors; SNRI, serotonin-norepinephrine reuptake inhibitor; TCA, tricyclic antidepressant; TNFα, tumor necrosis factor alpha; IL, interleukin;
CSF, cerebrospinal fluid; CRP, C-reactive protein; m–h, moderate–high; IS, inflammatory state. *p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001. aImprovement on Montgomery–Asberg Depression Rating Scale (MADRS) score 3 points higher with nortriptyline when CRP ≥ 1 mg/L and 3 points higher with escitalopram when
CRP < 1 mg/L. p ≤ 0.05, p ≤ 0.01,
p ≤ 0.001. aImprovement on Montgomery–Asberg Depression Rating Scale (MADRS) score 3 points higher with nortriptyline when CRP ≥ 1 mg/L and 3 points higher with escitalopram when
CRP < 1 mg/L. July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 6 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. TABLE 1B | Predominantly noradrenergic, predominantly dopaminergic, and glutamatergic action: higher response rates in moderate–high inflammatory state vs. low
inflammatory state (prior to treatment). Systematic Review Data on the
Usefulness of Circulating Serum
Inflammatory Compounds INFLAMMATORY STATE
STUDY
DRUG
INFLAMMATORY TEST
RESPONSE
LOW
Jha et al., 2017 (40)
Escitalopram (SSRI) + Bupropion (NDRI)
CRP < 1 mg/L
Lower response rate compared to
m–h IS *
MODERATE–HIGH
Jha et al.,2 017 (40)
Escitalopram (SSRI) + Bupropion (NDRI)
CRP ≥ 1 mg/L
Higher response rates compared
to low IS *
Uher et al., 2014a (41)
Nortriptyline (TCA)
CRP ≥ 1 mg/L
Higher response rates compared to
low IS ***
Harley et al., 2010 (49)
Fluoxetine (SSRI) + Nortriptyline (TCA)
CRP ≥ 1 mg/L
Higher response rates compared to
low IS ***
Yang et al., 2015 (50)
Ketamine (NMDA Receptor Antagonist)
IL-6
Higher response rates compared to
low IS ***
Gupta et al., 2016 (51)
Mirtazapine (NaSSA)
TNFα
Higher response rates compared
to low IS *
SSRI, selective serotonin reuptake inhibitors; NDRI, norepinephrine dopamine reuptake inhibitor; TCA, tricyclic antidepressant; NaSSA, noradrenergic and specific serotonergic
antidepressant; TNFα, tumor necrosis factor alpha; IL, interleukin; CRP, C-reactive protein; m–h, moderate–high; IS, inflammatory state. *p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001. aImprovement on Montgomery–Asberg Depression Rating Scale (MADRS) score 3 points higher with nortriptyline when CRP ≥ 1 mg/L and 3 points higher with escitalopram when
CRP < 1 mg/L. TABLE 1B | Predominantly noradrenergic, predominantly dopaminergic, and glutamatergic action: higher response rates in moderate–high inflammatory state vs. low
inflammatory state (prior to treatment). SSRI, selective serotonin reuptake inhibitors; NDRI, norepinephrine dopamine reuptake inhibitor; TCA, tricyclic antidepressant; NaSSA, noradrenergic and specific serotonergic
antidepressant; TNFα, tumor necrosis factor alpha; IL, interleukin; CRP, C-reactive protein; m–h, moderate–high; IS, inflammatory state. *p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001. aImprovement on Montgomery–Asberg Depression Rating Scale (MADRS) score 3 points higher with nortriptyline when CRP ≥ 1 mg/L and 3 points higher with escitalopram when TABLE 1C | Anti-inflammatory agents (added to an antidepressant regimen, except for one study): lower response rates in low inf
versus placebo and higher response rates in moderate–high inflammatory state versus low inflammatory state (prior to treatment). versus placebo and higher response rates in moderate–high inflammatory state versus low inflammatory state (prior to treatment). TNFα, tumor necrosis factor alpha; IL, interleukin; CRP, C-reactive protein; m–h, moderate–high; IS, inflammatory state.
*p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001, reported effects without significance were not tested for significance but showed a clear descriptive trend and were therefore considered
noteworthy.
bMixed sample with MDD and bipolar depressed patients, cBipolar depressed sample (type I/II and unspecified), dPersonal communication. Systematic Review Data on Gene
Expression in Circulating Leukocytes It must be mentioned that the study of Savitz et al. (54) only
noted such improving effect with minocycline; aspirin had no
such effect in their study. Aspirin did work in their “non-inflamed”
patients, yet had no effect or even a reduced effect in patients with
high signs of inflammation, depending on the inflammatory serum
marker used to determine the state of low-grade inflammation
(CRP or IL-6, see Table 1C). The study of Savitz was also special
in that both unipolar and bipolar depressed patients were included. p
g
y
Table 2 shows the studies we selected that dealt with the gene
message for pro-inflammatory cytokine production in the
circulating leukocyte pool prior to treatment and predictive for
treatment outcome. We found five relevant articles. i
In 2013, Powell et al. (59) described a significantly increased
baseline expression of TNF in escitalopram non-responders (n =
21) compared to responders (n = 25) taken from the GENDEP
study. In the same year, Cattaneo et al. (61) reported on data
of the GENDEP study and found higher baseline mRNA levels
for IL1β, macrophage inhibiting factor (MIF), and TNF in
antidepressant (escitalopram or nortriptyline) non-responders
compared to responders, the three cytokine expressions together
explaining 46% of the variance of treatment response.i Table 1C additionally shows that there are also two out of
three studies (57, 58) that showed that in the case of add-on
n-acetyl cysteine, it was of no use to stratify the patients in low-
or high-grade inflammation prior to therapy. Two of the studies
of add-on n-acetyl cysteine (one showing and one not showing an
effect of prior determination of the inflammatory state) involved
both unipolar and bipolar depressed patients.l Belzeaux et al. (63) identified an algorithm of four mRNAs,
including two cytokine genes (TNF and IL1β, together with PPT1
and HIST1H1E) to be predictive of the treatment response in MDD. However, the weakness of their study was that a whole scale of
antidepressants was used, while numbers of patients and HC were
limited (16 vs. 13). Guilloux et al. (60) predicted non-remission
following escitalopram treatment in MDD with an accuracy of
79.4% using a 13-gene model including four genes associated with
immune and inflammatory activation (however, TNF was not
part of the 13 genes). Mediation of cell proliferation was another
important function of the remaining genes, but not exclusively. In 2016, Cattaneo et al. Systematic Review Data on the
Usefulness of Circulating Serum
Inflammatory Compounds INFLAMMATORY STATE
STUDY
DRUG
INFLAMMATORY TEST
RESPONSE
LOW
Rapaport et al., 2016
(52)
Monotherapy
eicosapentaenoic acid (EPA)
e.g., IL-1ra, hs-CRP
Lower response rate compared
to placebo of low inflammatory
state *
Raison et al., 2013b (53)
Infliximab (anti-TNFα)
CRP ≤ 5mg/L
Lower response rate compared
to placebo of low inflammatory
state **
Savitz et al., 2018c (54)
Minocycline
IL-6
Lower response rate compared
to placebo of low inflammatory
state d
Savitz et al., 2018c (54)
Aspirin (NSAID)
IL-6
Higher response rates compared
to m–h IS d
MODERATE–HIGH
Rapaport et al., 2016
(52)
Monotherapy
eicosapentaenoic acid (EPA)
e.g., IL-1ra, hs-CRP
Higher response rates compared
to low IS *
Raison et al., 2013b (53)
Infliximab (anti-TNFα)
CRP > 5mg/L, TNFα, sTNFR I and II
Higher response rates compared
to low IS **
Savitz et al., 2018c (54)
Minocycline
IL-6
Higher response rates compared
to low IS **d
Husain et al., 2017 (55)
Minocycline
CRP > 5 mg/L
Higher response rates compared
to low IS
Porcu et al., 2018c (56)
N-acetylcysteine
CRP > 5 mg/L
Higher response rates compared
to low IS *
Hasebe et al., 2017 (57)
N-acetylcysteine
IL-6
No associations between
biomarker values and response rates
Panizzutti et al., 2018c (58)
N-acetylcysteine
CRP, IL-6, TNFα, BDNF, IL-8, IL-10
No associations between
biomarker values and response
rates
Savitz et al., 2018c (54)
Aspirin (NSAID)
CRP
No associations between
biomarker values and response
rates
Savitz et al., 2018c (54)
Aspirin (NSAID)
IL-6
Lower response rate compared
to low IS d
TNFα, tumor necrosis factor alpha; IL, interleukin; CRP, C-reactive protein; m–h, moderate–high; IS, inflammatory state. *p ≤ 0.05, **p ≤ 0.01, ***p ≤ 0.001, reported effects without significance were not tested for significance but showed a clear descriptive trend and were therefore considered
noteworthy. bMixed sample with MDD and bipolar depressed patients, cBipolar depressed sample (type I/II and unspecified), dPersonal communication. July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 7 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. high that the use of the effective anti-inflammatory agents (such
as infliximab, minocycline, and fish oil) in states of moderate–
high inflammation actually has an opposite effect than expected
in such patients, namely, a reduced responsiveness. shows that five out of seven studies (52–56) found a significant
improvement of an (add-on) anti-inflammatory therapy, when
patients with high signs were compared to patients with low signs
of inflammation. Systematic Review Data on the
Usefulness of Circulating Serum
Inflammatory Compounds The anti-inflammatory agents used in these
studies were infliximab, minocycline, n-acetylcysteine, and fish
oil (the latter as monotherapy, and compared to placebo). Systematic Review Data on Gene
Expression in Circulating Leukocytes
Table 2 shows the studies we selected that dealt with the gene
message for pro-inflammatory cytokine production in the
circulating leukocyte pool prior to treatment and predictive for
treatment outcome. We found five relevant articles.i Systematic Review Data on Gene
Expression in Circulating Leukocytes (62) took the data of the GENDEP study
further and reported that absolute values of the message for IL1β
and MIF together could predict non-responsiveness to escitalopram
or nortriptyline in over 99%. These outcomes were confirmed in an
independent, naturalistic replication sample. It was remarkable that when an add-on anti-inflammatory
agent was given to patients with low signs of inflammation,
reduced responses were obtained as compared to patients with
high signs of inflammation and even to placebo (two out of three
of such studies) (53, 54). Also, when fish oil (an agent with both
lipid-correcting and anti-inflammatory properties) was given as a
monotherapy to patients with a low inflammatory state, reduced
responses were seen as compared to placebo (52) (Table 1C). As mentioned above, add-on aspirin did induce an increased
response in patients with low signs of inflammation in the study
of Savitz et al. (54). Taking these literature data together, it is difficult to draw a
simple conclusion on the usefulness of a prior measurement of
serum inflammatory markers for the determination of the effect
of (add-on) anti-inflammatory agents. There is a clear trend
that (add-on) anti-inflammatory agents, such as infliximab,
minocycline, and fish oil are effective if inflammatory markers
are clearly present, but this does not apply to aspirin and
n-acetylcysteine. However, it is also safe to say that special
caution must be given when there is an absence of circulating
inflammatory markers in patients with MDD: the chances are Taken together, it is clear that non-responsiveness to an
SSRI or to a TCA (nortriptyline) can likely be predicted by
determining the expression level of combinations of important
immune genes (IL1β, MIF, TNF, and CD3) in preparations of
circulating leukocytes of patients with MDD. TABLE 2 | The predictive capability of inflammatory state prior to therapy measured by circulating leukocyte gene expression for the response to various antidepressant
regimens in MDD. Experimental Data on Inflammation-Related
Gene Expression in Circulating Monocytes
as a Predictor of Treatment Response compared to the respective HC. Taking all patients from the four
study groups together, 25 of the 69 (36%) patients with MDD had
circulating monocytes with a pro-inflammatory gene signature,
while only 9 of 87 (10%) HC had such monocyte signature (p <
0.05). This observation is in accord with earlier observations that
monocytes of part of the patients with MDD show signs of a high
inflammatory state (21). Prior to treatment, we could test 34 patients with MDD [mean
age: 52.2 (±9.9) years, 59% females, collected at the ErasmusMC,
Rotterdam] for inflammatory gene expression in their circulating
monocytes. As a control group, we tested 45 HC of comparable
age [mean age: 49.1 (±9.4) years] and gender (44% females). Of
the 34 patients, 14 were treated with venlafaxine and 20 were
treated with imipramine. An overall response rate of 11% was
found in this trial, with 11/34 patients responding to treatment. The difference between the response rates for both treatment
arms were not statistically significant, i.e., a response rate of 36%
(5/14) for patients treated with venlafaxine and of 30% (6/20)
for patients treated with imipramine. Vermeiden et al. (38) have
reported extensively on this study and described that in the
entire group of patients (n = 85), 45% of the patients responded
to this first line of drug treatment (measured as 50% HAM-D
reduction).h l
y
For the purpose of this study, we divided the total patient group
in those with a negative monocyte inflammatory gene score and
those with a positive score. The data in Table 3 show that in the
response rates in three out of four patient groups, patients with a
positive inflammatory gene score had a lower response rate than
those without a positive score. This, however, did not apply to
the sertraline plus placebo group, and also significant differences
were not reached in any of the groups. The phenomenon of better
responsiveness in “non-inflamed” MDD patients could also be
seen in the total MDD patient group; patients with a positive
inflammatory gene score had a lower response rate than patients
without a positive inflammatory gene score (i.e., 44% vs. 59%);
however, a statistical significance was not reached in the total
group of patients. Experimental Data on Inflammation-Related
Gene Expression in Circulating Monocytes
as a Predictor of Treatment Response The other series of patients involved 35 patients with MDD
[mean age: 41.4 (±10.8) years, 46.7% females, collected at the
LMU, Munich] and 42 HC of comparable age [mean age: 37.9
(±11.9) years] and gender (61.9% females). Of the 35 patients,
19 were treated with sertraline plus placebo and 16 were treated
with sertraline plus celecoxib. A high overall response rate was
found in this trial, i.e., 26/35 (74.3%) of patients responded to
treatment. The difference between the response rates for both
treatment arms was not statistically significant, i.e., a response
rate of 68.4% (13/19) for patients treated with sertraline plus
placebo and 81.3% (13/16) for patients treated with sertraline
plus celecoxib. Systematic Review Data on Gene
Expression in Circulating Leukocytes ANTIDEPRESSANT AGENT
GENE TRANSCRIPT
EFFECT
STUDY
Escitalopram (SSRI)
TNF
Higher levels in non-responders
Powell et al., 2013 (59)
Escitalopram (SSRI)
13-gene model, including immune/inflammatory
genes (CD3D, CD97, IFITM3, and GZMA)
Predicting non-remission with 79.4% accuracy
Guilloux et al., 2015 (60)
Escitalopram(SSRI) or Nortriptyline (TCA)
IL1β, TNF, and MIF (relative mRNA values)
Higher levels in non-responders
Cattaneo et al., 2013 (61)
Escitalopram (SSRI) or Nortriptyline (TCA)
IL1β and MIF (absolute mRNA values)
Algorithm predictive of non-response with
probability of over 99%
Cattaneo et al., 2016 (62)
Antidepressant treatment, not specified
IL1β, TNF, PPT1, and HIST1H1E
Algorithm predictive of treatment response
Belzeaux et al., 2012 (63)
SSRI, selective serotonin reuptake inhibitors; TCA, tricyclic antidepressant; TNF, tumor necrosis factor; IL, interleukin; CD, cluster of differentiation; mRNA, messenger ribonucleic
acid; PPT1, palmitoyl-protein thioesterase 1; HIST1H1E, histone cluster 1 H1 family member E; MIF, macrophage inhibition factor; IFITM3, interferon-inducible transmembrane
protein 3; GZMA, granzyme A. TABLE 2 | The predictive capability of inflammatory state prior to therapy measured by circulating leukocyte gene expression for the response to various antidepressant
regimens in MDD. ANTIDEPRESSANT AGENT
GENE TRANSCRIPT
EFFECT
STUDY
Escitalopram (SSRI)
TNF
Higher levels in non-responders
Powell et al., 2013 (59)
Escitalopram (SSRI)
13-gene model, including immune/inflammatory
genes (CD3D, CD97, IFITM3, and GZMA)
Predicting non-remission with 79.4% accuracy
Guilloux et al., 2015 (60)
Escitalopram(SSRI) or Nortriptyline (TCA)
IL1β, TNF, and MIF (relative mRNA values)
Higher levels in non-responders
Cattaneo et al., 2013 (61)
Escitalopram (SSRI) or Nortriptyline (TCA)
IL1β and MIF (absolute mRNA values)
Algorithm predictive of non-response with
probability of over 99%
Cattaneo et al., 2016 (62)
Antidepressant treatment, not specified
IL1β, TNF, PPT1, and HIST1H1E
Algorithm predictive of treatment response
Belzeaux et al., 2012 (63)
SSRI, selective serotonin reuptake inhibitors; TCA, tricyclic antidepressant; TNF, tumor necrosis factor; IL, interleukin; CD, cluster of differentiation; mRNA, messenger ribonucleic
acid; PPT1, palmitoyl-protein thioesterase 1; HIST1H1E, histone cluster 1 H1 family member E; MIF, macrophage inhibition factor; IFITM3, interferon-inducible transmembrane
protein 3; GZMA, granzyme A. July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org Frontiers in Psychiatry | www.frontiersin.org 8 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms Collectively, we deduce from these data that MDD patients
with an activated inflammatory state (as measured by moderate
to high circulating levels of, e.g., CRP, TNF-α, and IL-6, or a
high gene expression of, e.g., IL1β, TNF, and MIF in circulating
leukocytes) need more than a monotherapy with a predominantly
serotonergic agent to improve clinically in a satisfactory way. An
option then seems to be an immediate step up to agents with also
a strong dopaminergic or glutamatergic action.h Importantly, low-grade inflammation has been shown to
influence not only brain development and function but also
neurotransmission, with excellent reviews on the inhibitory
effects of pro-inflammatory cytokines, such as IL-1β and TNF-
α, on the synaptic availability of monoamines and BDNF, while
the same cytokines have been shown to increase extracellular
glutamate, all important molecular determinants in MDD
pathogenesis and response to treatment (15).h The reason for a better response to dopaminergic or
glutamatergic drugs in the case of signs of enhanced inflammation
can only be speculated on. It is possible that these drugs are
needed because they also have clear anti-inflammatory actions,
counteracting the detrimental effects of the high inflammatory
state on the signs and symptoms of depression. There is ample
evidence that dopamine and ketamine can reduce the production
of pro-inflammatory cytokines and enhance that of anti-
inflammatory cytokines (82, 83). On the other hand, the pro-
inflammatory state itself may lead to an altered neurotransmitter
metabolism, necessitating more than a primarily serotonin
reuptake inhibition, but also an intervention in the dopamine
or glutamate metabolism. Pro-inflammatory cytokines have
been reported to activate neuronal mitogen-activated protein
kinase (MAPK) pathways, increasing monoamine transporter
expression and activity in general, which leads to an increased pre-
synaptic reuptake of not only serotonin but also other neuroactive
amines (84, 85). Furthermore, the state of enhanced inflammation
is thought to lead to an enhanced tryptophan breakdown via the
kynurenine pathway, resulting in various neuroactive compounds,
among which NMDA agonists and antagonists, aggravating
glutamatergic neurotransmitter imbalances (86, 87). This might
also necessitate more than only a serotonin reuptake inhibition to
be effective. The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms of microglia and/or of myeloid cells in the periphery (i.e.,
monocytes) have been documented in a considerable (≈30–40%)
proportion of patients with MDD (20, 73, 74). Moreover, imaging
and histological techniques have shown microglial activation in
the hippocampus of depressed patients (75). measurement of circulating inflammatory compounds in
serum/plasma; a high inflammatory gene expression might
typify a state of “stronger/other” inflammation in MDD
needing a treatment with drugs beyond the serotonergic and
noradrenergic drugs. In other studies, we have also noted that
inflammatory gene expression in circulating cells does not
correlate one to one with the circulating protein gene product
in serum/plasma (81). We explained this phenomenon by
assuming that resident cells, such as the endothelial cells and
resident macrophages in the tissues, also contribute to the level
of circulating inflammatory compounds.l By producing an array of neurotrophic factors, pro- and
anti-inflammatory cytokines (e.g., IL-6), as well as axon
guidance molecules, non-inflammatory activated microglia
has been implicated both in white matter integrity and in
the adequate development and function of important stress-
regulating systems in the healthy brain (76, 77). On the contrary,
inflammatory activated microglia (and/or a transfer of peripheral
pro-inflammatory cytokines to the brain) is thought to hamper
the normal development, growth, and synaptic function of
stress-regulating systems and brain connections important
for mood regulation, such as the white matter tracts between
the forebrain and the limbic system. To illustrate this, raised
serum pro-inflammatory cytokine levels have been associated in
mood disorder patients with increased activation of threat- and
anxiety-related neuro-circuits (78), reduced neural responses to
negative stimuli in frontal brain regions involved in cognitive
and emotional functions (79), and compromised integrity of
myelin sheaths in cortico-limbic networks involved in mood
regulation (80).l l
Although the data of our experiments on inflammatory
gene expression levels in circulating monocytes (a subset of the
circulating leukocytes) did not deliver statistically significant
results, they were, by and large, in agreement with the above-
described findings for the gene expression in all circulating
leukocytes and showed that patients with “inflammatory”
monocytes showed reduced response rates to predominantly
serotonergic drug interventions and patients with “non-
inflammatory” monocytes showed higher response rates to these
type of agents. The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms The data of the systematic review and experimental monocyte
data, as presented in this study, collectively point in the
direction that the state of so-called low-grade inflammation
does play a role in the outcome of antidepressant therapy of
patients with MDD. We determined with an already published algorithm [see the
Section Monocyte Inflammatory Gene Expression and Ref. (45)]
the inflammatory state of the monocytes using the top 10 cluster
1 inflammatory genes (IL1β, CCL20, EREG, IL6, TNFAIP3,
CXCL2, PDE4B, ATF3, PTX3, and IL1A). We controlled the patient
monocyte tests with the outcomes of the same tests carried out in
HC. Table 3 shows that, in each study group, a significant larger
proportion of patients had—prior to therapy—circulating
monocytes with a positive inflammatory gene signature as Low-grade inflammation is characterized by an increase in
the serum level of pro-inflammatory compounds (e.g., CRP,
IL-1 β, IL-6, and TNF-α) and/or an activation state of circulating
or tissue resident immune cells, including the brain microglia. Both an increase in pro-inflammatory compounds in the blood
of patients with MDD and a pro-inflammatory activation TABLE 3 | Proportions of patients with a positive inflammatory gene signature of circulating monocytes prior to therapy measured in total and by response. Predominantly serotonergic agents
HC
MDD
Inflammatory negatives
Inflammatory positives
Positive
Positive
Responders
Non-responders
Responders
Non-responders
Sertraline plus Placebo (SSRI)
5/42 (12%)
7/19 (37%)
8/12 (67%)
4/12 (33%)
5/7 (71%)
2/7 (29%)
Sertraline plus Celecoxib (COX-2 inhibitor)
idem
3/16 (19%)
11/13 (85%)
2/13 (15%)
2/3 (67%)
1/3 (33%)
Venlafaxine (SNRI)
2/22 (9%)
6/14 (43%)
3/8 (38%)
5/8 (62%)
2/6 (33%)
4/6 (66%)
Imipramine (TCA)
2/23 (9%)
9/20 (45%)
4/11 (36%)
7/11 (64%)
2/9 (22%)
7/9 (78%)
SUM
9/87 (10%)
25/69 (36%)*
26/44 (59%)*
18/44 (41%)*
11/25 (44%)*
14/25 (56%)*
SSRI, selective serotonin reuptake inhibitors; SNRI, sertraline–noradrenaline reuptake inhibitors; TCA, tricyclic antidepressant; COX-2, cyclooxygenase 2; HC, healthy controls; MDD,
major depressive disorder. *p ≤ 0.05 compared to HC. Positivity was defined by an upregulation of 6 (or more) of the 10 cluster 1 genes. Original Q-PCR data have been uploaded and can be retrieved via the GEO repository ref number GSE132315: http://www.ncbi.nlm.nih.gov/geo/query/acc.cgi?acc=GSE132315 July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 9 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. Frontiers in Psychiatry | www.frontiersin.org The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms The data from the here presented systematic review on
circulating inflammatory compounds indicate that patients
with MDD with an activated inflammatory state (as measured
by, e.g., moderate to high levels of circulating CRP, IL-6, and/or
TNF-α) show reduced response rates to antidepressant regimens
with a primarily serotonergic action (e.g., escitalopram),
while showing improved response rates to antidepressant
regimens with a primarily noradrenergic (e.g., nortriptyline),
dopaminergic (e.g., bupropion, mirtazapine), or glutamatergic
action (i.e., ketamine). The systematic review data on the inflammatory
gene expression in circulating leukocytes confirmed this
phenomenon, showing that patients with a high gene
expression level of IL1β, TNF, and/or MIF did not respond
well to interventions with an SSRI in comparison to MDD
patients with a low expression of these genes. However, gene
data in circulating leukocytes disagreed with the data reported
for circulating inflammatory compounds regarding TCA. While the primarily noradrenergic TCA nortriptyline did not
give a satisfactory response in patients with MDD with a high
gene expression level in circulating leukocytes (see Table 2),
nortriptyline did in patients with high levels of circulating
inflammatory compounds (see Table 1B).l f
A step up to dopaminergic and glutamatergic antidepressants
was more effective in “inflammatory” MDD patients than in “non-
inflammatory” patients, and a combination of an antidepressant
with an anti-inflammatory agent increased the response rates in Apparently, inflammatory gene expression in leukocytes
does not measure the same level of inflammation than the July 2019 | Volume 10 | Article 458 10 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. (52–54) indicated that “non-inflammatory” MDD patients
showed a reduced response rate as compared to even placebo to
the effective (add-on) intervention with an anti-inflammatory
agent. In other words, the addition of the anti-inflammatory
drugs effective in “inflammatory” patients was detrimental,
and the anti-inflammatory drugs inhibited the effect of the
antidepressants or delayed natural recovery. Such an outcome of
an anti-inflammatory regimen is counterintuitive, if one assumes
that inflammation contributes to depressive symptomatology
(see before). The authors of one of the papers describing this
phenomenon (53) explain their finding, that perhaps a small
activation of the inflammatory system is needed for mental
well-being and that both an extreme low and an extreme high
activity of the inflammatory response system is disadvantageous
for mental health. In other words, there would be an optimal
set point for the inflammatory state of an individual for mental
health. The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms Downregulating this optimal state with an effective anti-
inflammatory agent would, in such a view, be counterproductive
and would open the way for the development of depressive
symptoms. these “inflammatory” patients with MDD as compared to “non-
inflammatory” MDD patients. Though the reviewed literature
data are scarce, the best prediction results seem to be obtained
for infliximab (anti-TNF-α agent), minocycline (tetracycline),
and eicosapentaenoic acid (fish oil). For n-acetylcysteine, the
inflammatory state did show conjectural prediction effects,
while for aspirin (acetylsalicylic acid), a reduced response was
actually seen in “inflammatory” patients as compared to “non-
inflammatory” patients.hl l
The strength or character of the anti-inflammatory agents
may have played a role in this variation of predictability of
the state of inflammation for the (add-on) anti-inflammatory
agents. Both anti-TNF agents and minocycline are in clinical
practice and are considered stronger anti-inflammatory drugs
than n-acetylcysteine and aspirin. However, for fish oil, a high
inflammatory state was also predictive for a better effect in
MDD patients, while fish oil is considered a relatively weak
anti-inflammatory agent. Interestingly, fish oil exerts its anti-
inflammatory effects via changing the “bad” pro-inflammatory
lipid state of individuals (88), and perhaps the high state of
inflammation in MDD patients is primarily driven by a bad lipid
profile, which is then best corrected by fish oil.f Another explanation is that there exists a form of MDD that
is non-immune and characterized by absent serological markers
of immune activation. As indicated, (add-on) aspirin has a
beneficial effect in patients and it can be hypothesized that it is
in particular the neuro-modulating effect (anti-glutamatergic) of
aspirin that induces this effect. ii
Also, direct or indirect neurotransmitter effects of the
anti-inflammatory agents may have played a role in the
success or failure to predict their improved responsiveness
in “inflammatory” MDD patients. Interestingly, two of the
three add-on anti-inflammatory agents (minocycline and
fish oil) that worked better in “inflammatory” than in “non-
inflammatory” patients possess dopaminergic activities (89,
90). N-acetylcysteine, of which it is conjectural whether it
works better as add-on in “inflammatory” than in “non-
inflammatory” MDD patients, influences both dopamine
and glutamate levels in the brain (91). Add-on aspirin, in
contrast, had fewer effects in “inflammatory” MDD patients
as compared to “non-inflammatory” patients; interestingly,
aspirin has anti-glutamatergic actions (92, 93). The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms These varying
neuro-modulating actions of anti-inflammatory drugs make
complex interactions in the neuro-immune network possible,
inducing varying outcomes of combinations of antidepressants
and anti-inflammatory agents. Of note also is that three of
the reviewed studies of add-on anti-inflammatory agents
had included bipolar depressed patients (54, 56, 58). This
applies in particular to the study on aspirin (54), in which
a reducing effect was found in “inflammatory” versus “non-
inflammatory” patients. Intrinsic differences between bipolar
and unipolar depression, such as differences in the immune
and the glutamate state (94–98), may have played a role here. f
Based on this literature review, what appears to be the
best and easiest assay system to measure the inflammatory
state of MDD patients? The systematic review data on the
gene expression level of cytokines in circulating leukocytes
showed that two of the leukocyte gene expression studies
resulted in very good accuracy rates of prediction of non-
responsiveness, and algorithms could be developed, which
showed high accuracies from 75% to even a 100% to predict
non-responsiveness to an SSRI/TCA drug intervention (60,
62). Apparently, high levels of inflammatory cytokine gene
message in circulating leukocytes are a precise sign of poor
(treatment) outcome, and perhaps even better than high levels
of inflammatory compounds/cytokines in serum/plasma. Nevertheless, it is technically less demanding to measure
inflammatory compounds/cytokines in serum/plasma than
to perform a gene expression assay in circulating leukocytes. Regarding the inflammatory markers best to be measured in
serum/plasma to determine a raised inflammatory state in
patients with MDD, it is worthy to note that the most consistent
effects were found in our literature analysis with circulating
CRP and/or IL-6 levels. These inflammatory compounds were
tested in a large proportion of the here reviewed studies on
serum inflammatory compounds (15/19), and outcomes and
conclusions were congruent between these studies regarding
these two inflammation markers. Despite the above-listed uncertainties, it is nevertheless tempting
to postulate—based on the outcomes of the literature review—
that when MDD patients are “inflammatory”, (add-on) anti-
inflammatory drugs are also an option to improve responsiveness
and then the best results are probably obtained when anti-
inflammatory agents are potent, influence lipid metabolism, and/or
influence primarily dopaminergic synaptic transmission. l
Circulating TNF-α was measured in only six studies; hence,
sufficient information on the validity of this parameter is lacking. Frontiers in Psychiatry | www.frontiersin.org July 2019 | Volume 10 | Article 458 The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms Importantly, one of the studies showed that circulating TNF-α
levels were not in agreement with the general rule, finding that a
high TNF-α level was not predictive of a decreased responsiveness
to an SSRI/SNRI (while a high IL-6 level in the same study was) l
Regarding the use of (add-on) anti-inflammatory agents,
another important message emerges from our systematic
review of the literature. Interestingly, three out of four reports July 2019 | Volume 10 | Article 458 11 Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD Arteaga-Henriquez et al. drug protocols with reliable cutoff points for inflammatory
parameters to guide therapy regimens. (43). Other circulating inflammatory compounds (e.g., IL-8,
IL-10, and IL-1) have also been tested in the here reported
studies, but in only very few studies, and therefore data cannot
be reliably evaluated. They nevertheless showed the general trend
for serum/plasma factors that, in a state of inflammation, more
than a monotherapy with a predominantly serotonergic agent
might be needed. (43). Other circulating inflammatory compounds (e.g., IL-8,
IL-10, and IL-1) have also been tested in the here reported
studies, but in only very few studies, and therefore data cannot
be reliably evaluated. They nevertheless showed the general trend
for serum/plasma factors that, in a state of inflammation, more
than a monotherapy with a predominantly serotonergic agent
might be needed. Despite this limitation, a few generalizations can nevertheless
be made from our study regarding inflammation as a predictor. Of the inflammation parameters, the serum CRP and IL-6
seem to be the most promising parameters for further clinical
development. They are relatively easy to determine and, thus,
useful in clinical studies. Using these parameters, a state of
raised inflammation (as evidenced by raised serum CRP and
IL-6 levels) characterizes a form of MDD with a relatively poor
outcome and a non-responsiveness to agents with a predominant
serotonergic action. Such cases might need a faster step-up to
drug regimens with agents with dopaminergic (e.g., mirtazapine
and bupropion) or glutamatergic (e.g., ketamine) effects,
or a combination of a first-line antidepressant with an anti-
inflammatory agent such as infliximab, minocycline, or fish oil
(but not aspirin), most of them showing dopaminergic action. Varying anti-inflammatory properties of antidepressants as well
as varying neuro-modulatory effects of anti-inflammatory agents
(and/or complex interactions thereof) may play a role in the
therapeutic success or failure of the step-ups. ETHICS STATEMENT These studies were carried in compliance with standards of
CGP, assuring that the rights, safety, and well-being of patients
were protected in accordance with the principles that have their
origin in the Declaration of Helsinki (June 1964, last amendment
Fortaleza 2013). Additionally, the relevant national and European
regulations were adhered, too. After study procedures had been
fully explained, all subjects provided written informed consent. Limitations In this article, we only focused on inflammation parameters
as determinants for the outcome of treatment. The various
other determinants important for treatment outcome have
recently been reviewed by Perlman et al. (99). The authors
described not only that inflammation-related determinants are
important but also that a whole array of genetic, endocrine,
neuroimaging,
sociodemographic,
and
symptom-based
predictors turn out to influence outcome. However, due to
heterogeneous sample sizes, effect sizes, publication biases,
and methodological disparities across reviews, Perlman
et al. (99) concluded that they could not accurately assess the
strength and directionality of the predictors, and the authors
therefore highlighted the importance of large-scale research
initiatives and the use of clinically easily accessible biomarkers,
as well as the need for replication studies of current findings. Clearly, we support such view and underscore the notion that
our review data are also affected by the heterogeneous sample
sizes, effect sizes, publication biases, and methodological
disparities and that the data do not yet give a clear-cut picture. Also, our own experimental data on monocyte gene expression
were underpowered and too limited to obtain clear-cut results
and significances. Thus, clearly more studies are needed
using standardized add-on anti-inflammatory treatments to
standardized single antidepressant medications to develop
a clearer picture of the actual response rates in immune and
otherwise stratified patients with MDD. A word of caution is needed regarding the regimens using
as add-on the successful anti-inflammatory agents infliximab,
minocycline, and fish oil: There must indeed be laboratory signs
of inflammation (i.e., raised serum levels of CRP or IL-6) for this
addition to be effective. If not, even response rates lower than the
non-add-on situation might be obtained. AUTHOR CONTRIBUTIONS GA and MS designed the strategy of the present review. BB and
EW collected part of the study cohort, GA, AW and HD evaluated
the data. GAH and MS wrote the first draft of the paper, HD and
NM contributed with supervision and expert advice and critically
revised the draft. All other authors contributed to the manuscript
revision and approved the submitted version. The Predictive Capability of the
Inflammatory State for Anti-Depressive
and Anti-Inflammatory Treatment and
Potential Mechanisms Collectively, it seems that for predicting responsiveness to
regular antidepressants, the avenue exploring the usefulness of
serum/plasma CRP and IL-6 determination is the easiest and
clinically the most feasible and promising approach. High levels
of CRP/IL-6 would indicate that treatment with a serotonergic
drug is not effective enough. However, the data reviewed here
also indicate that the gene expression in circulating leukocytes
cannot be neglected as a predicting parameter due to the reported
high levels of accuracy to predict non-responsiveness to SSRI/
SNRI and TCA therapy. Conclusionsh There are excellent recent reviews on the discovered signs of low-
grade inflammation in psychiatric patients that have transformed
our understanding of neuropsychiatric diseases and urge for
new diagnostic and therapeutic criteria in the emerging field
of immuno-psychiatry (100). There are, however, at present,
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et al. FUNDING This study was financially supported by the EU via the
MOODINFLAME project (EU-FP7-HEALTH-F2-2008-222963),
the PSYCHAID (EU-FP7-PEOPLE-2009-IAPP-MarieCurie-
286334), and the MOODSTRATIFICATION project (H2020- July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 12 Arteaga-Henriquez et al. Prediction of Anti-Depressive/Anti-Inflammatory Therapy Response in MDD ACKNOWLEDGMENTS EU.3.1.1., GA754740). NM and GA were additionally supported
by the foundation “Immunität und Seele.” The funders had no
role in study design, data collection, analysis and interpretation
of data, the writing of the report, and the decision to submit the
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10.1038/npp.2010.116 Conflict of Interest Statement: 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. 86. Müller N, Schwarz MJ. The immune-mediated alteration of serotonin and
glutamate: towards an integrated view of depression. Mol Psychiatry (2007)
12(11):988–1000. doi: 10.1038/sj.mp.4002006 Copyright © 2019 Arteaga-Henríquez, Simon, Burger, Weidinger, Wijkhuijs, Arolt,
Birkenhager, Musil, Müller and Drexhage. 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. 87. Walker FR. A critical review of the mechanism of action for the selective
serotonin reuptake inhibitors: do these drugs possess anti-inflammatory
properties and how relevant is this in the treatment of depression? Neuropharmacology (2013) 67:304–17. doi: 10.1016/j.neuropharm.2012.10.002 July 2019 | Volume 10 | Article 458 Frontiers in Psychiatry | www.frontiersin.org 15
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Wronowska, Gabriela Suggested Citation: Wronowska, Gabriela (2017) : Overeducation In The Labour Market, Institute of
Economic Research Working Papers, No. 144/2017, Institute of Economic Research (IER), Toruń This Version is available at:
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grants for the maintenance of research capacity. Article prepared and submitted for: 9th International Conference on Applied Economics Contempo-
rary Issues in Economy, Institute of Economic Research, Polish
Economic Society Branch in Toruń, Faculty of Economic Scienc-
es and Management, Nicolaus Copernicus University, Toruń,
Poland, 22-23 June 2017 9th International Conference on Applied Economics Contempo-
rary Issues in Economy, Institute of Economic Research, Polish
Economic Society Branch in Toruń, Faculty of Economic Scienc-
es and Management, Nicolaus Copernicus University, Toruń,
Poland, 22-23 June 2017 Toruń, Poland 2017 © Copyright: Creative Commons Attribution 3.0 License Gabriela Wronowska
wronowsg@uek.krakow.pl
Cracow University of Economics, ul. Rakowicka 27, 31-510 Kraków Overeducation In The Labour Market1 JEL Classification: A11; A14;
Keywords: labour market; overeducation; human capital JEL Classification: A11; A14;
Keywords: labour market; overeducation; human capital Abstract Research Background: During the transition period in Poland, its labour market
changed dynamically. Many new phenomena which the Polish economy had never
seen before manifested themselves. The society showed greater interest in higher
education and the market for education services expanded, increasing the number
of colleges and universities, especially private ones. This helped the spread of
higher education, which for years determined the level of human capital represent-
ed by the supply of labour. Today’s labour market in Poland is showing signs of
imbalance. One of the reasons involves overeducation. The phenomenon has been
known since the 1970s. It was then described for the first time in pertinent litera-
ture, with the US where overeducation occurred on a large scale and where it had a
number of adverse effects across the entire economy having been used as an exam-
ple. It seems important to understand and analyse the reasons for the emergence
and perpetuation of this phenomenon on the Polish labour market and to indicate
its implication. Purpose of the article: The paper aims to present and discuss overeducation in
terms of selected economic theories, identify its causes in Poland and further to
determine the economic and social implications of the persistence of the phenome-
non in the long run. Methodology/methods: The paper consists of a theoretical part developed based
on selected Polish and English-language literature. The empirical material used in
the paper comes from latent data originating in domestic and EU statistical data-
bases, and is further partly sourced out from the author’s own research, and data
collected by other researchers. Findings: Based on the author’s analysis, it can be concluded that overeducation is
a complex phenomenon. It is possible to identify several reasons for its occurrence
and long-drawn persistence on the Polish labour market. Some of the reasons have
to do with the dynamic growth of the labour market and the educational services
sector, society’s desire to gain higher education, structural mismatches in the la-
bour market and a common education policy at the EU level. Overedutaion has far- reaching consequences, both for the entire economy and the single participant of
the labour market alike. The fact of its occurrence determines the processes taking
place in the labour market, especially those related to employment. Introduction In EU countries, especially in Spain, Greece, Portugal, Croatia,
Sweden, The United Kingdom and Italy (Rękas, 2015, pp. 103-110), where
there is a high unemployment among young people with higher eduction
the phenomenon called overeducation has been observed for many
years (Arak, 2103, p. 9). This means that a highly qualified person works at
the position not requiring such high qualifications. Where there is a long-
drawn persistence of the phenomenon, this is a signal for the economy that
the labour market functions incorrectly. Structural mismatches connected
with the fact that job offers do not match the existing labour supply
cause income inequality, which from the perspective of the economy as a
whole is disadvantageous. The paper aims to present and discuss overedu-
cation in terms of selected economic theories, to identify the phenomenon
and its scale in Poland and further to determine the economic and social
implications of the persistence of the phenomenon in the long run. Two
hypotheses have been adopted in the research: Hypothesis 1: Overeducation is connected with overrepresentation
of people with higher education on the labour market. Hypothesis 2: Overeducation leads to inequality on the labour mar- Hypothesis 2: Overeducation leads to inequality on the labour mar-
ket. ket. Lack of appropriate workers who do not meet the expectations of
the employers may be manifested in two ways. In the first case employers
look for workers with particular skills for a particular job — without suc-
cess — this is a skill shortage situation (McGuinness, Bennett, 2006, pp. 265 - 279). In the second case the persons working on a particular position
have too low skills or skills other than required for this position — this is
called a skill gap (Hogarth, Wilson, 2001). The phenomenon of skills mismatch may be horizontal or vertical. This means that in case of horizontal mismatch employers expect from
workers the skills, necessary at work, other than the ones they actually
have. Vertical mismatch is connected with the situation when the persons
employed at a particular position or in a particular profession have too low
or too high skills. A significant source of skill mismatch is the level of education. Quite often in economic reality the situations when a job-holder has quali-
fication above that which would be required for a specific job are observed
— overeducation, also called excessive education, is then faced (Budría, Moro-Egido, 2009, pp. 329-345). In the opposite situation, when the em-
ployees’s education is lower than required by the employer undereducation
is observed (BKL, 2011 pp. 109–111). In the next part of the paper overeducation will be discussed based
on selected economic theories. Research Methodology The paper consists of a theoretical part developed on the basis of
selected Polish and English-language literature. The sources of information
have been purposely selected in order to use them especially while discuss-
ing the causes of occurrence and persistence of overeducation on the labour
market in the long run. The empirical material used in the paper comes
from latent data originating in domestic and EU statistical databases, and is
further partly sourced out from the author’s own research, and data collect-
ed by other researchers. The data from the Eurostat Data Base from several
years as well as data from GUS - Polish national statistical data bases have
been used. Sources of overeducation Overeducation is an interesting phenomenon due to its specificity
and complexness. At present it is constantly present on the labour market in
many countries all around the world (Verhaest, Omey, 2010, pp. 608-
625). Overeducation means that educated graduates possess excess educa-
tional qualifications relative to those the jobs they take up require
(McGuinness, 2006, pp. 387–418). This also means a situation where there
is no conformity between the existing professional structure and market
needs and the structure of graduates leaving various higher education insti-
tutions of different profiles. There is an excess of university graduates on
the labour market who due to devaluation of the diploma take up a job be-
low their qualifications because they have faster and easier access to such a
job (Melosik, 2013, pp. 36-37). Overeducation is connected with structural mismatches on the la-
bour market. It means that overeducation is the result of the discrepancies
between the job offers and the educational structure of workers. Observing
the educational structure in Poland after 1990 a considerable asymmetry
regarding the level of education of the society may be noticed. In the above
mentioned period the number of people with secondary and vocational
education systematically decreases, whereas the number of people with
higher education dynamically increases. Within over two decades the number of people with higher educa-
tion has increased from 403824 thousand in 1990/91 to 1469386 thousand
in 2014/15, that is by over 363%. In the discussed scope, the enrolment
ratio at the level of higher education studies has increased from 9.8% to
37,8% (GUS, 2014, pp. 26, 29). In consequence, overrepresentation of peo-
ple with higher education on the labour market has occurred. This has gen-
erated problems connected with efficient entering of graduates on the la-
bour market. The transition process has been prolonged and at the same
time, which is much more worrying and disadvantageous for the economy,
it has not been successful. (Piróg, 2013, pp. 131-138; Piróg, 2015, pp. 103-
118). Despite this the rush to gain higher education is going to be sustained,
since the graduates — future employees — will compete for a limited pool
of well paid jobs. This is known in literature as a “job competition theory”
(Thurow, 1972, pp. 66–81). According to the theory there are not enough
well paid jobs for everyone who has the highest skills. Sources of overeducation Those who will not
get these jobs will be employed in less well paid and less demanding pro-
fessions. This entails further consequences connected with shifting worse
educated workers to perform simple works. Such a scenario is possible due
to the employers’ preferences regarding recruitment. If they have such a
possibility they choose persons with higher education (BKL, 2011, p. 134)
based on the belief that they will be more efficient and training them will
be shorter and less expensive (Kiersztyn, 2011, p. 9). On the basis of this
theory it may be stated that the situation of those unsuccessful is even more
difficult because often while working below their qualifications they are
not able to compete for the „attractive” jobs with the people who are just
entering the market. The second way to explain overeducation derives from the theory
of N. Sicherman and O. Galor (1990, pp. 169-192) on job mobility. The
authors of this theory form the thesis that the beginners on the labour mar-
ket take up jobs below their qualifications and abilities on purpose. Accord-
ing to this theory overeducation is transient and short term. This is one of
the natural processes that take place on the labour market, purposely initiat-
ed by graduates and it is one of the first stages of professional career. In literature also the third attempt to explain the existence of the
phenomenon of overeducation on the labour market may be found. It is
based on the thesis that due to rich and complex educational offer higher
education schools, especially the private ones, decrease the quality of they
offer in order to compete for the students. In consequence, the service level
is varied. These differences are verified on the labour market. The fact that
some individuals permanently have low position on the professional struc-
ture may be explained by "psychological deficit" or "skills deficit" (Hurn,
1985, pp. 35-36). In the analysed context the agreements regarding Europe 2020 in
the field of education seem to be worrying. They apply to the activities
aimed at increasing the percentage of persons with higher education to
40%. This indicator applies to people in the age of 30 - 34 in the society. Sources of overeducation Every member state treats this issue in an individual way, but from intro-
ducing Europe 2020 strategy a systematical growth of people with higher
education has been observed in EU member states, including Poland, in
many cases over 40% (Eurostat, 2015). At the moment in Poland this indi-
cator is already at the level of 43.4% (Eurostat, 2016). Unfortunately, the
labour market in many countries is not ready to absorb so many people with
the highest qualifications. It may be stated that the activities taken up with-
in Euro 2020 strategy in the field of education are among the sources of
overeducation and they consolidate the phenomenon in EU member states,
including Poland. It results from the research that the risk of overeduaction applies
mostly to the graduates of higher education institutions. In Poland the situa-
tion in this field looked in the following way: on the basis of POLPAN
research conducted in 2008 and 2013, intensification of the analysed phe-
nomenon can be clearly observed. In the said period the percentage of peo-
ple in the age of 21-25 with higher education, employed for unlimited peri-
od of time decreased from 38% to 19%, whereas there was a considerable
increase in the percentage of people employed on the basis of civil-law
agreements: from 11% in 2008 to 39% in 2013 (Kiersztyn, 2015, p. 5). By using the data regarding the labour market accessible in Poland,
that is POLPAN research, which gathers panel data, three alternative meas-
urement methods ay be demonstrated (Kiersztyn, 2013, pp. 78-91). Two of
them are of objective character, they are based on the level of education of
the examined persons and the professions performed by them. The third is
of subjective character and is based on the opinion of job-holders on the
level of using their skills in the place of work. On the basis of the above
mentioned research, A. Kiersztyn states that in the period from 1988 to
2008 every fifth person employed in Poland was characterised by overedu-
cation. Taking into consideration the age of the examined persons, this
phenomenon applies mostly to the people in the age of 21-25. Every third
person in this group of employees is characterised by overeducation. It
should be also stated that in the discussed period, from 1988 the percentage
of people with overeducation systematically increased among all job-
holders. Overeducation and labour market inequality According to T. Gmerek (2001), social inequality is the conse-
quence of the differences, not so much in the levels of education, but intel-
ligence and talents. According to the theory proclaimed by the credential-
ists (Collins, 1979) investments in human capital, that is higher education,
contribute to the increase in the number of people with university diplomas. The diplomas in turn have the function of the so called "currency in circula-
tion" to obtain such goods as a good job. Due to "massification" of higher
education diploma inflation has occurred, which in consequence has led to
diversification of the value of diplomas and their exchange value. This in
turn creates favourable conditions for social inequality. The adherents of
this theory reject the thesis according to which the increase of the persons
with university diplomas will automatically translate to the increase of so-
cial prosperity (Boylan, 1993, pp. 206-208). The example of US economy
proves this, where from the 1970' the inefficiency of the labour market in
the process of absorption of highly qualified employees is observed. Overeducation persistent for a long period on the labour market en-
tails both: economic and social consequences. The fact that people with
higher education work on positions not requiring such high qualifications
means that the people with lower qualifications work on positions requiring
even lower skills or are unemployed, so income inequality apples to people
with different level of education, which represents broadly understood la-
bour supply on the market (Marcinkowska et al. , 2008, pp. 24-30). On the basis of the above contemplations it may be stated that the
hypotheses regarding overeducation posed at the beginning of the paper are
true. Sources of overeducation In 1988 it was 7.5%, in 1993 13.9%, in 1998 15.8%, in 2003
20.1% and in 2008 19.1%. As proved by the data from the last several doz-
en of years, the scale of this phenomenon is increasing. Conclusions Overeducation on Polish labour market is a fact and it has a perma-
nent character. It makes assets other than a university diploma significant in
the process of looking for a job. From the point of view of efficient func-
tioning of the economy the key barrier seems to be structural mismatching
of the existing vacancies and the supply of work with specified and acces-
sible competencies. Theories explaining in different ways the sources, con-
ditions favourable for persistence of the discussed phenomenon in the long
run. From the point of view of the topic discussed in the paper it seems that
examining and demonstrating what educational structure would be appro-
priate or optimum for efficient functioning of the labour market in EU
member states, especially in Poland is important. Such information would be extremely helpful at drawing national education policy for all levels of
education and it would give the possibility to fully use the existing re-
sources in the economy, especially the human capital, in the future. be extremely helpful at drawing national education policy for all levels of
education and it would give the possibility to fully use the existing re-
sources in the economy, especially the human capital, in the future. References Arak P. (2013). Wejście młodych ludzi na rynek pracy. Oczekiwania i możliwości
realizacji. Polityka społeczna,10. Arak P. (2013). Wejście młodych ludzi na rynek pracy. Oczekiwania i możliwości
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https://figshare.com/articles/thesis/Structure_and_Petrology_of_the_Red_Hill_Complex_Nelson/16945564/1/files/31352701.pdf
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English
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Structure and Petrology of the Red Hill Complex, Nelson
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in Beol.ogy at flre Tto,toa'la Unlvcattf d lo< {gtonr lf'l Ecal€nd. CONBENTS CONBENTS
-
Page
.....r"1
aBslts0cr
nfNRODUCTION
Seolog:ical Out1ine, fiel.tl work ancl seope of thesis o . Pre'qi.ous work
AslimowL6ilgmento
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48
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w
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56
#
6r
PARI I. . STR4:IIBBIPIII Al$D @LEAI, eEpIOGt
General g€olqgy
PEoRUS eRoItP
Star Fonoation
Wether Formatl,on
Wqrdl Fomation
DL,stribution of fomatLons
Goatent ancl petrogna$lryr
Ptrwemnpe and tle4rositional envirqr€r*
.{ge
LE RIIfEn eRoIlP
Soat Formatlon
^
Contmt
Glennie Fornation
Content
UATTAI GRTIIP
Tloodeil P€k LLoegtate
Gwteut
trwry Sedstone
Gom,teut
GredLLe Fom,tlm
Bolrtent
Shiua Fonnation -
Page
.....r"1
aBslts0cr
nfNRODUCTION
Seolog:ical Out1ine, fiel.tl work ancl seope of thesis o . Pre'qi.ous work
AslimowL6ilgmento
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I
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18
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62. 62
PARI I. . STR4:IIBBIPIII Al$D @LEAI, eEpIOGt
General g€olqgy
PEoRUS eRoItP
Star Fonoation
Wether Formatl,on
Wqrdl Fomation
DL,stribution of fomatLons
Goatent ancl petrogna$lryr
Ptrwemnpe and tle4rositional envirqr€r*
.{ge
LE RIIfEn eRoIlP
Soat Formatlon
^
Contmt
Glennie Fornation
Content
UATTAI GRTIIP
Tloodeil P€k LLoegtate
Gwteut
trwry Sedstone
Gom,teut
GredLLe Fom,tlm
Bolrtent
Shiua Fonnation
.\ge d Uaftal G'rarP
SRI,ESSE es,fiIP nfNRODUCTION Soat Formatlon
^
Contmt
Glennie Fornation
Content
UATTAI GRTIIP
Tloodeil P€k LLoegtate
Gwteut
trwry Sedstone
Gom,teut
GredLLe Fom,tlm
Bolrtent
Shiua Fonnation
.\ge d Uaftal G'rarP
SRI,ESSE es,fiIP
QltsIBHAnr DEFoSIts DI]N IIOUM.A"TN IIIjTRAI{AFICS
llinor Intrtrsions
B3D HII.,I UIIBAIIAFTC COUPI,D(
Marg5.m,I Fault
Relationship to Maitai and. PelorLrs Groups
Relationship to Lee Ri.ver GrcuP
C mcorclance of the RecL Hill- Conplex
Contaot netamorphlsn
High totrnrature contact
Lrm tenpenature cqrtact
G$I,OGICAI, CROSS-SSEION
Shape otr ttre basel contact
Positim d the basal contact
Shape of ttre Recl HiLt Cmp1ex
P.ART II. PETBOGRAPIff
II,AFIC X'TKEI
HO IAIBI,ENDE IIICROGAXIBRO S
Mineralory
Petnography
BAI{DED ROCKS .AND I,EUCOCA.flftC \TEINS
FTROXE{E ![IC ROGABBAOS
Mineralq6r
Petrogr:aply
CHEUIC,AI ANATYSES
MEIATIOHPHIS[
PRIDOIITES AT{D EABBROS
COUPOSISMN OF I'TIE BOCK9
Mineralogy
Rock Types
Chenical Arra$rses
TE(ruRE
Desaription
ReoryotaLlizatlon
aoaaaaaa
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aaoaaaaa
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o.o.....95
.o......97
o......o97
.t.t....97
..... . .. 1O2
... r o '.. 105
.t..o....1O5
........1O7
...oro..109
. . . . . . . . 112
..... o .,. 115
....,r...115
.....to.115
..t.r...121
o...o...15O
.o...br.132
........132
........f40
65
66
73
75
75
79
80
B1
81
85
BB
B8
9o
92 DI]N IIOUM.A"TN IIIjTRAI{AFICS COUPOSISMN OF I'TIE BOCK9
Mineralogy
Rock Types
Chenical Arra$rses
TE(ruRE
Desaription
ReoryotaLlizatlon
SSRUCIIIJRS OT' TIIE ROCKS Itesoscopic stnrcture
Teuperature of fomation of veine
Fsbrio
Intlrccilrction
The fabric cliagrams
Interpretation
SIRPEI{TINIIES' TECIONIC INCI.,USIONS
SERPM{TINTTES
Description
S ertrrentinization
Other lgrdrous Phases
TMTOIfiC INCIUSMNS
PAIUT III
STRUCIIEX
DESCRIIIITON
Central BeIt
Eastern belt
Ilestsr belt
tlfairau fault
SIRUCITIRAI, EITOIT'I ION
Sumary of clata
Principle dletluction
Alternative tSryothes es
P r^eferrecl hypotheei s
Sumary
PIRT W. PHTROEENE,SIS. 0rigin of UetamorPhic laYering
Portens Knob Outcrqr
Extent of netanorPhic I'aYering
I{o<Le of cL eveLopnent of ngba^norphic layering
Suma:ry
....'t.. 1l+7
...... .. 172
...... .. 176
........ 176
........ 179
. . . . . ' . o
1BB
..o.o... 19'
...... o. 195
. o . . . . . . 196
.....'..199
.....r.,.200
.o......2O8
o.......2O8
..oo...o216
o.......217
.......'221
oro..'ot222
........222
........225
......"221
.....)...233
.......'ztl+
....... t
46
.ot..."U+8
..o....'255
...oo."256
o....."258
"259 Itesoscopic stnrcture
Teuperature of fomation of veine
Fsbrio
Intlrccilrction
The fabric cliagrams
Interpretation SERPM{TINTTES
Description
S ertrrentinization
Other lgrdrous Phases
TMTOIfiC INCIUSMNS PIRT W. PHTROEENE,SIS. 0rigin of UetamorPhic laYering
Portens Knob Outcrqr
Extent of netanorPhic I'aYering
I{o<Le of cL eveLopnent of ngba^norphic layering
Suma:ry
Mode of emplacement of the naflc Qykes
....... t
46
.ot..."U+8
..o....'255
...oo."256
o....."258
......"259 PIRT W. PHTROEENE,SIS. r.IJ I., U S T3 A T I0 N S r.IJ I., U S T3 A T I0 N S Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fig. I"ig. Fig. Fig. Fj€. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Flg. tr*ig. Fig. 1. 1a. 2
3. l+
5
6
7
8
9
10
11
12
13
1l+
15
16
17
1B
'lg
20
21
n
23
aoa
aaa
Page
5
th
17
22
22
25
25
32
35
41
&4
5'l
51
5l+
58
60
6o
7t
68
76
82
89
%
100
Regional cListribution
Columns illustrating
I,itholqgy of Pelonrs
of ultramafic rocks . . . Lithologcal
Group
units
atao
aaoa
matrix . o . Penecontgnporaneous
Shearecl argill-i-tes
Phot cniorograph, sandstone
Photoni crqgraph, sutmarine
clefotmation
taaaara
aaa
.aa
Leva
aaaaa
Sections through the Lee River
Pillow Lavas, Iree Riven Grorp
Penec ont emporaneous bneccia
aaaaaaa
Photsnicrog:raph, spiliticbasalt ... . . . . Shaly lJ.mestone, Wooclecl Peak Limestone . . o . Autoolastic breccia, Trmway $anclstone . . . . Slaty cleavage in Tranwey Sand.stone o . . . Igneous conglmerate, Greldlle Fomation . . o
Photomicrogrryhrhornblendeanclesite .... Perl<totitemoraine
. .... o. }lap, Minc Intnrsions of serpentinite . . . . . PeridLotitebreccia
,...... Ifeetern contaet of the Red Hill ConFlex . . . o
lfiaprSouth-westenb oontaot of the Cmplecc . . . Crose-s€ction of, the Rec[ HiIt Cmplex . . . r
$moxenermLorogabbro{yke
...''o'
Xeurmorphic-granular tarhrre, photornicrcgraph
Grorp...,. aaaaaaa Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fig. I"ig. Fig. Fig. Fj€. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Flg. tr*ig. Fig. 1. 1a. 2
3. l+
5
6
7
8
9
10
11
12
13
1l+
15
16
17
1B
'lg
20
21
n
23
aoa
aaa
g
5
th
17
22
22
25
25
32
35
41
&4
5'l
51
5l+
58
60
6o
7t
68
76
82
89
%
100
Regional cListribution
Columns illustrating
I,itholqgy of Pelonrs
of ultramafic rocks . . . Lithologcal
Group
units
atao
aaoa
matrix . o . Penecontgnporaneous
Shearecl argill-i-tes
Phot cniorograph, sandstone
Photoni crqgraph, sutmarine
clefotmation
taaaara
aaa
.aa
Leva
aaaaa
Sections through the Lee River
Pillow Lavas, Iree Riven Grorp
Penec ont emporaneous bneccia
aaaaaaa
Photsnicrog:raph, spiliticbasalt ... . . . . Shaly lJ.mestone, Wooclecl Peak Limestone . . o . Autoolastic breccia, Trmway $anclstone . . . . Slaty cleavage in Tranwey Sand.stone o . . . Igneous conglmerate, Greldlle Fomation . . o
Photomicrogrryhrhornblendeanclesite .... nfNRODUCTION 0rigin of UetamorPhic laYering
Portens Knob Outcrqr
Extent of netanorPhic I'aYering
I{o<Le of cL eveLopnent of ngba^norphic layering
Suma:ry
Mode of emplacement of the naflc Qykes
....... t
46
.ot..."U+8
..o....'255
...oo."256
o....."258
......"259 fv r.IJ I., U S T3 A T I0 N S Perl<totitemoraine
. .... o. }lap, Minc Intnrsions of serpentinite . . . . . PeridLotitebreccia
,...... Ifeetern contaet of the Red Hill ConFlex . . . o
lfiaprSouth-westenb oontaot of the Cmplecc . . . Crose-s€ction of, the Rec[ HiIt Cmplex . . . r
$moxenermLorogabbro{yke
...''o'
Xeurmorphic-granular tarhrre, photornicrcgraph
Grorp...,. aaaaaaa I+i6. 2l+
3ig. 25
Fig. 26
Fig. 27
Fig. 28
Fig. D
Fig. 30
Fig. 31
Fig. 5Z
Fig. 33
Fig, 3l+
Fig. 35
Fig. 36
Fig. 37
Fig. lB
F ig. 59
Fie. lP
Fig. 41
Fig. I+Z
Fig. W
Fig. tr4
F5-g' 45
Fig. l+6
Fig. l+7
Fig. l1B
Fig. l+9
Fig. 5O
Fig. 51
Fig. 5z
Fig. 53
Fig. 54
Fig. 55
Fig. 56
Fig. ,7
Porp$rnitic contact rock, photonicrtgraph . . . . Ireucocratic veinrphotqrj-crograph o . . . . o . . Pallisade stnrcture, photonicrograph ...... No illustration
Diagrara, c'lassification of pyroxene-penid.otites . Protoclasticbarzburgi.te
.,.. . ... Orthoplrroxeneporphyroclast, ........ SentortJrop5rrocenelarnelLae ........ Xenonorphfg-gxsJrular terCrrre in clunite . . . . . Cataclastic texhrre
....... t
Xenmorphic-granuLar textur"e in olivine-euerite . Xencnoryhls-granular texture in eucrj.te . . . . Imegul-ar xenomorphic-gmnular terture . . . . . Snooth unsutured. boundaries
. . . . . . . . InterstitiaL natrix rsnnants.(colour) . . . . . . Recrystallizatim, spineL fragments in
.100
l OlF
104
.'|22
133
133
134
134
136
.158
.138
.1112
143
'll+3
pyroxgne........'tll&
Rq>laceenent, ortfiopSmoxeneanclolivine . . o. 1U+
Di.agran otr foliation
. . . . . . . . 148
lineation
o....... 15O
Felclspath"lcfoliation
...... .. 15O
Felilspathic foliation and. ctiopsid.e veins . o . . 151
Foliation-ladrination j-n felclspathic periclotite. . 154
Feldspar-iliopsid.elamination ...... o. 155
[nmingf,edchrone-&iopsid.elayer ......,. 156
OrthonSrroxene la,nination in furdb . . o . . . . . 156
Dunite-harzbur&ite lqyering
. . . o . . . . 15O
Dunite-L@inateclharzh"rrgite J.ayering . . o . . th
Layereclctuniteand.ha::gburgite ........ 161
fntersectirg Jayers ancl clunite veiru o . . . . . 162
Dnnite layer cutting fol,latect harzburglte . . . . 162
Foliation cn.rtting layered chuuite . . . . . . . .'l6t
Crogg-cuttinglayers
..,. o. o '
161+
Penorma, cf,ose-cutting 1-agrers near Porters Knob 165
Dunite-harzburgite Latrrers. Schlieren stmcture
166 Fig. Fig. Fig. Fig. Fig. Fig. Fig '
Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fi-9. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fig. R[9. Fig. Fig. Fig. Fig. Fig. Fig. Fig. Fi6. r.IJ I., U S T3 A T I0 N S Fig. 58
59
60
51
62
63
64
6t
oo
67
6B
69
7o
7t
7z
73
7l+
75
76
77
78
DetniL of fig. 57
Harzburgite echlieren in clunite
No iLlustrration
aaaoaaa
aaaaaaa
Veins of orthopyroxene cutting layers o . . . . . Detail of fig. 61
aaaaaa
Larninated.eucriteveins
r o.....,
Orthopyroxenepegmatite
...,,
.... Fabric cLiagran. Specimen No. 10988 . . . , . . . Sabric cLiagran. SpecimenNo. 10989 o . . . . .. Fabric d.iagran. specimenNo, 1q967 . ... . . . Fabric dia6ram. SpecimenNo. 10987 . . . . . . o
Fabric diagram. SpecimenNo. 1O99O . . . . . .. Fabric diagrrarn. SpecirnenNo. 10991 . . o . . . . Fabric *iagrant SpecirnenNo. 10992 . . . . . . o
Fabric cliagrm. Specimen No. 10993 . . . . . . . Fabnic diagran. SpecimenNo. 1q991+ . o . . . . . PortersKnoboutcrop
.. .... t. Partial fabrio &iagrms
. . . . : . ' o
TypeATeetonicfnclusion
....... . TypeB. Tectonicfnclusion
..... . .. Photonicrograph, autJrigen:icpJrroxenein .. o.. hyfuogroasular
Roclingiteveins........ Panorama, northern contact of the Csoplex . . o . Oeneralised oroeg-section of tJre Eestenn BeLt . . ChrmeStrearnfanLt
.... .. o o
Crtreh6one inEllisStrean
.o...... Noillustration
o.. '.... Replacensrt of felclspatluic harzburgite . . . o . . Rqllacement of l"a"ni-neted harzburg:ite . . . ,. . . Anor'thositevgin
? o...... NoiLluetnation
.. o..... Noil-lustration
,....... Disnrption of pyroxene La^mjnation . . . .. o . o
. 166
. ,,67
79
s
B1
B2
83
8t+
85
t%
87
BB
B9
90
169
169
170
180
180
181
182
182
183
1Bl
184
184
187
19'l
20'l
242
n5
n5
212
217
218
2n
239
214c. T
ztrt vii Fig. 91
Porters Knob outcrqrr general view o . o, . . . . . 25O
Fig.92
Detalloffig.9l
......... 251
Fig. 93
DetaiL of fig. 9l
Fig. 94
Relations between veinsr pesatites ancL
netamorphic layering
...o.....257 Fig. 91
Porters Knob outcrqrr general view o . o, . . . . . 25O
Fig.92
Detalloffig.9l
......... 251
Fig. 93
DetaiL of fig. 9l
Fig. 94
Relations between veinsr pesatites ancL
netamorphic layering
...o.....257 vlf,l ABSTRACT Ihe Recl. Hill Cmplex is an ess€ntially concordant
ultramafic body enclosed. in Upper Paleozoje flysch facies
ge&inents which incLud.e Pelonrs Gr"oup (oId.est), Lee River Group
and. Irialtai Group. The Pelonrs Group contains rare zubnarine l-avas
ard. is large3y denived. frcn spilitic vol-canlcs. The Lee River
Group consists of spilitic piLlow J,avas, volcanic breccias and. L
spilitic basalts and. clol,erites. The }lafai Grarp consists of
lSnestone, sanclstone and. argillite;
a:r extensive conglmerate lens
in ttre argillites is Lrg.ly ccaposecl of andesitic pebbles. The Recl HiIt Complex is a 121000 ft. ttr-ick lens and. is part
of a sheet of perid.otites which nay extsrd 4.0 rniles northward. to
Dun }iountain. The Conplex is divicletl into a 5000 ft thick Basal
Zone of nassive harzbtrgite ancL a 9OO0 ft tftick Upper Zone of
la;rered harzburgite and. ctrnite with minor variants, feldspath-ic-
peridotite, eucrite, lherzolite, wehrlite ancl pyroxenite. The bulk
conpos5.tion of both zones is al4prori-nately the same but the Upper
Zone ccntains about O.2 perr cent feltlspar not present in the Basal
Zone. Therc is no signifi.cant regional- clrarrge in nineral chernistry
throughout the Conplex and. the average conposition is abort;
olivine to9,, , 70 per cent;
clinopyroxene, 5 per cent;
spinel 2 per cent. orthopyronene hgg, 22 per cent;
felclspar *gg, less ttran 0.2 per cent; Layening and foliation are cormon irr the tcp of ttre Ulpen
Zone. I'ayering is of at least two generations of wh:ich at least
one i.s of netamorphic cigin,
Meta.rnorphic layering was formecL by
metasmatic repl-acenent probab\y along subhorizontal shear planes
cluring intnrsion of the ultranafic sheet. $rroxene pegnetites
fonned. after flow ceased.. The rtiversity of rock t54res in the tqt
of the Upper Zone is consicterecl by the writer to have been caused by
metanorphic ctifferentiation of pa:rent rnaterial the s€me coposition
as the Basal Zone. The preferrecl orientation of olivdne in f.ineated, foliated.,
laninated. and layered. rocks has the sarne pattern suggesting a cLose
genetic relationship between those stmcfrrr€eo Eviilence strongly
supports a tectonic origin for the prefemed. orientation. Rocks in the Upper Zone are xenmorphic-gr&nuls.r in terhrre
and. those in the Basal Zone are tlpical.ly protoc3.astio. Xenomorphic-
grarruLar textures are clerived. in part frm protoclastic by post-
defomati onal re cryetall i zation. The ultrraafic recks are cut by a number of {ykes compos ed
of hornbLencle-Labnad.orit e, lgryersthene-augite-bytcrvr nite ass mb lages
or ninor variants of tlrese. ABSTRACT Ttre ffkes were intnrcled shortly after
aplacenent of the ulfuumafic *"h. The Redl. Iti1l Cmplex ls consl,deed to have been enplacecl as a
sheet at shaJlm clepths which intnrclecl supetfic;ial cleposits on the
ocean floor and. was leter overJ.ain by voLcanics. eE0IOGICAL oUT,INE. FfE,q \nRI( AM SCoFts 0F THESfS The Red Hill Conplex is an Alplne-t;4le peridotitegabbro complex
(mayer, t96O) situatett about IO uiles gouill of ttre city of Ne1son in
the Scuth Isl,ancl of Nen EealancL It i-s part of a beLt of ultranafic
rocks, the NeLson llltmrnafic Be1t, that ecrtend"s for more then 80 niles
fum DrUrlrrille IsLancl in the north to the'ftairau Fau1t in the souttr
(fig. 1). The ultramafic rocks o@ur as snall sl,l-ls ancl ecrtsrsive
concorclant sheets in steqply difping basic nolcanic rccks wtrich are of
early Pecmian a€e (Waterhouse, ',9&i. Stratigraphtca-lly below and to
the east of the volcanic rrccks is a ttrick seqpence of eugeosyncli-nal
strata which grad.e eastnard. into schist. 0velying and. to the west
of tlre volcanic and ultrarnafic rrccks a^re late Pernian fos&ilifeous
l,i-mestone, sanclstone and. argiLlite. To the west again. are poor\r
e:qlooed. volcanics prohably tJre s@e age as those to the east. I'he
whole seqsrence fbo schist to tlre wester\y band of vollcanics is naned. here, ttre Nelson llpper Paleozoic Belt. A belt of s{milar ultranafic
rooka oocurrAng in the scuth of the Sqrth Is1and is here nanecl the
Otago Ultrunafl c Be1t. TtrLs €relEiaLg cornerned rtth the origin of ultrmaflc nooks ancl
invol-ves a stnrcfural ancl petrclogical stu(y of tJre Recl H{ll, Cmplex. hphasig is on bred cleecni.ptlon and general struchrre ancl in feis
reepect the stu$r is oonplernentarSr to detaiLed minenalogical ancl D,URVILLE
A
ISLAND
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/ \
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ru
MAP I
MATAKITAKI R. OfACiO
ULTRAMAFIC BELT
NE
.rnt'unr
BELT
Quolcrnary Grovels
llesozoic Sedlnrentor5
Rocke
Ho*oi Group
Brook Street Groue
Lee River Group
Ultrornofic Rocks oF hf."
Poleozoic Belf
Pelorus Group
Schisi
Qi on i|9, Noetle, Gmnifcr
1FoUFty l.bfororufircd
ttnook Strcef
Lorrcr hleoaoic Seairneduru
ond fnirr.rsive Rocks "
{zr7::t'itti/
F;';t:;'r"t
w:#n
Tijill':'riiiry
7i;iiti;:i:;/
a66
ryiaG
F
NELSON
Fig. 1. Map 1. Distribut1oncfl'TewZea1and'Pern1anU1tranafics NE
' NE
.rnt'unr NE
.rnt'unr
BELT MATAKITAKI R. Fig. 1. Map
Map
1. 2. Distribut1oncfl'TewZea1and'Pern1anU1tranafics
NeIson Ultrarnafic 3el'b. Inset shows mappetl sfeoo_q 1. Distribut1oncfl'TewZea1and'Pern1anU1tranafics petrological work clone by Dr. G. A. ChaLLis on part of tlie souttr-
western margin of the Complex. petrological work clone by Dr. G. A. ChaLLis on part of tlie souttr-
western margin of the Complex. The thesis is presemtetL in fotrr parts. Part 1 covers
stratigrqhy anC general geology of the area mappecl. eE0IOGICAL oUT,INE. FfE,q \nRI( AM SCoFts 0F THESfS Parb If gives
the petrograplqr of the nafic $rkes, the peridotites and. gabbro ancl the
serpentinites and tectonic jnclusions. Part III is concernecL wittt
struoture ancL presents hSpothesis of, stn ctural develotrment of the Rect
HiIt Cornp1ex. Parb fV &iscusses petrogenesis ancl the mode and. age
of aplacement dthe Recl HiIL Cmplex, Field. wor"lc corrmencecl in Novaber 1952 and. in the follcwing two
years 165 days were spent in ttre fie1d. Field sheets on a. scale of
2O chains to the inch rrere compiled fro aeriaL phot ographs. The
finaL geological map (trtap 1, in rear pocket) is pnesentecl in a scale of
1zJOr000 anct csvers 150 square nileg. Supplmentary naps include a
location map (Uap III, rear pocket) shcrring the positions of petrological
specimens ancL photqgraphs referretl to in text. PRE\ITOUS TDRK The major contributjons to the geology of the Nelson Upper
PaLeozoic Belt are fe,ue. Hochstetter (nfeniit.r, 1959) *Lrst nappect ancl
clescnibecl the Ultranafic Belt and. nmed the oLivine rock, dr.rnite, fron
Drn Mountain. McKay (tgflA) nappect the rccks south of Drn llorxrtain ancl
clrm attention to the stratigraph:ic regtrd.ction of the ultrmafie rodcs,
pointing out that ttrey are overlain throughout tJreiir length by a li-me-
stone foruation. Dun Mountain was mappecl on a scale of an inch to the nile by BeLL, Clarke and Marshall (tgtt) who also cLescribed ancl nmed. the lyclrqgros"rr14.-fliopside rock, ro&ing:ite. A snall part of the Recl
Hill Conplex ryas mappect by Hend.enon, Macphersm and Grange (lgSg)
ancl ttre writer has clrawn from their fieltl sheetg in cletecrrnining the
str:ucture d the north-western part of the napped area (itr the rralley
of the right branch of ttre TTairoa River). No furthen reg:lmal maps
of the Nelsm Belt were publishetL untiJ- recent yearB btrt several geol-
ogists, iJl particular H. I[. Wel]-man, wsre actlve in tleterruining tlre
stratigraphy of the Upper Paleo zoJ..c rrcks. Tfatshorse 896t-) in dis-
cussing the Pemian Stratigrqphy of Nem Zealand clescribecL nany features
of the NeLson Upper PaleozoLc Belt and. the writer has largeLy follorvecl
luis terminolqry. Petrolqiical work on the ultranafic rocks was given
by Laucler (1g65) who clescribect the geology anct petroJ-q;r of Dun Mountain
antl Challis (t965a, 1955b) who ctirt rletaLled. ninerralog:ical and petnolqic
work on rocks frcm part of the scuth western nargin of the Red Hil-I
Cmp1ex. A glavity suryey covering in part the southern extroity of
the Recl ElLl Conp1ex was mad.e by MaLahoff (tlee). nile by BeLL, Clarke and Marshall (tgtt) who also cLescribed ancl nmed. the lyclrqgros"rr14.-fliopside rock, ro&ing:ite. A snall part of the Recl
Hill Conplex ryas mappect by Hend.enon, Macphersm and Grange (lgSg)
ancl ttre writer has clrawn from their fieltl sheetg in cletecrrnining the
str:ucture d the north-western part of the napped area (itr the rralley
of the right branch of ttre TTairoa River). No furthen reg:lmal maps
of the Nelsm Belt were publishetL untiJ- recent yearB btrt several geol-
ogists, iJl particular H. I[. Wel]-man, wsre actlve in tleterruining tlre
stratigraphy of the Upper Paleo zoJ..c rrcks. Tfatshorse 896t-) in dis-
cussing the Pemian Stratigrqphy of Nem Zealand clescribecL nany features
of the NeLson Upper PaleozoLc Belt and. the writer has largeLy follorvecl
luis terminolqry. PRE\ITOUS TDRK Petrolqiical work on the ultranafic rocks was given
by Laucler (1g65) who clescribect the geology anct petroJ-q;r of Dun Mountain
antl Challis (t965a, 1955b) who ctirt rletaLled. ninerralog:ical and petnolqic
work on rocks frcm part of the scuth western nargin of the Red Hil-I
Cmp1ex. A glavity suryey covering in part the southern extroity of
the Recl ElLl Conp1ex was mad.e by MaLahoff (tlee). Part of, the Otago Ultrauafic BeLt has been gtudiecl by Grincllgr
UgSg) who ga\le a:r accoust of earlier wor* in the erea. Grirdlqyts
observations have been Largely Er4ppctetl in the present stufir. RecentJ;r, sevenal geological naps on a gcale of l+ nlles to an
irch of the Nelson ancl 0tago ULtranaflc Bel.ts wEre pubLisheA by the
Department d Scientific and. Inclrstrial Researrch (Wooa, 1962; I,ensen,
1962; Beck , 1964). -7- ACIC\Iol[lmetm{IE This strr$r was und.ertaken rvlr:ll-e the wnlter was holcling a
Research tr\rncl Fell,owship of ttre Univensit5r Grants Connnittee and. a
Senior Jaeob Joseph Schol-arsh-ip of Victoria University of ltlellington. Atlditional Research Grants for field work were given by the University
Grants Comnittee. The writer r€cords his appreciation to
Dqartment, Victoria University of llellington
the
for
staff of the GeolW
valuabLe dlsoussion
ancl critlcism. In particular he thanks Professors J. Brac[Ley,
R. H. C1ark, ancL H. W. Well-nann, Dr. E. Ghent and. Mr R. Laudler. Mr E. Harqy gave aesistance in drarghting the geolqgical map ancl sone diagrms. Dr. R. N. Brothers of Aucklantt University gave sme ctetailetl ancL stim-
ulating criticism fc drlch ttre writer recorrLs his alpreciation, Ihe
folloring members ctr the Deparfueort of Scientific and Incl"ustrial Reeearch
gave the wniten a.ssistance over particular aspects of the work, Dr. B. Ifaterhouse, Dr. G. A. ChaLLis of GeoLogical Sunrey antl Dr. T. Hatherton
of Geoptgrsics Division. The Director, GeoJ.og:ica1 Survey kindJ-y mad.e
anail,able to the writer the fieltl sheets of Henclerson et aI ('tggg) . Tbe thesis would not have been oopleted wittrout the considerlable
and able aasistance of tlre writerrs wife, Gennis R, ITaLcott. -8- PART
T -9- GENMAIJ GEOIOGY The oLd.est sed:imentary rocks of the Nelson Ugper Paleozoic
Belt are thick unfossiliferous strata and rare submarj.ne lanas,
wi'rich are naned. the Pelorus Group (Waterhouse, 1964) ancl are probably
Carboniferous in 86e. They are stn.cturally complex and Iittle
ctetailecl mapping of these rccks has been previotsly attemptetl but in
the Red. Hill atrea they clip steqlly and. young westward.s. Eastward.s
they gracle into Marlbcough Schist, probably clerj-ved. frm secli-rrents
of sjnilar age ard- lithology. Overlyilg the Pelorus Group are several thousand. feet of
strata conprising pi1Iow lavas, thicl( sheets of spilitic basalt ancl
albite clolerite and minc i-mpure sandstone and argillites that are
named. the Lee River Group. Ttre Lee River Grorp is in tr:rn overlai-n
by the Maitai Group which corsists of a basal lirnestone followed. \r
sandstone, thiek laninated. argil-lite and f\rrther sand.stme and Unesto The lilaitai Group is folclecl into an asyrmetric s;rncJ-ine w"ith a
steeply tlipping eastern lilnb that is concorclant with unclerlying Lee
River and Pe.lonrs Groups. The western linb is fallted against the
Brook Street Volcanics, regarded by Tfaterhouse (tg6+) to be, in part,
contenporaneous trith tJre Lee River Grqrp. Brcact3;r, ttrereforre, the
stnrcture of the Nelson Utrper Paleozoic Belt is synclinal rith the
eastern Lj-Bb consisting of lyiarlborough Schist, Pelonrs, Lee Ri.ver and
Matai Groups and the western linb, of Brook Street Volcanies and Uaitai -10- Grarp, The nalue Nelson SSmcline has been given to this stmcture
by We1l man (tgS6) . Perid.otite, serpentinite and. minor gabbroic rocks intrucLe
the Lee River Group formirg an alnost continuous sheet frm DtUrville
Island to ttre i'Yairau Fault (nS . 1, mqp 2) . The ultramafic rocks
attain their greatest width of six miles at Red Hill, and th:in to less
than tv,'o hundred. yard.s rride on DrUnrille fsland. }{ostJy, however, the
sheet is about 10OO yard.s wicle. Ultraroafic s aLso occur as snal1
concordant lenses within the Lee River Grcup and one thin siIl has
been fcn-rnd vrithin tJre Brook Street Volcanics on DtUrville IslancL
(watenhouse , 1g6L). The geolqgical mqr of ttre Red. HiLL Conplex covers part of the
Upper Paleozoic sequence on the eastern linnb of the Nelson S;mcline. }larlborough Schist lies about a urj.le to the east of the Erapped area
and. the lowest r"ocks of the Utr4per PaLeozoic sequence natrped. are about
tvro thircls frcm the top of ttre Pelorus Group. GENMAIJ GEOIOGY The axis of the Nelson
SSmcline lies west of the rnatrped. area and the highest rocks in the
sequence that have been napped are the laninated. argillites of the
Maitai Group. Attention is concentrated. on the Upper Paleo zoj.c rooks but
the Mesozoic rocks south of the Wairau Fault and superficial Quaternary
deposits are brief\r mentioned. A sunnaly of ttre stratigraptry of ttre Red HiIl area is gluen in
Table I. The age of the rmoks is taken frcm Waterhouse, 1961+. The
nature of the contacts between the formtions is given as rconformablef
where the contact is parallel to beclcli-ng planes and thene is no eviclence -11- of an hiatus i
'd.i-s conformable I where th e tvio fonnations
have parallel bedding planes but the contact is nnrked. by a possible
erosion break;
t transgressive faci es changet v*tere the contact
is transgressive to bedding planes r or f fault t in ruliich the only
contact obs erved. betr,'een th e forrnati-ons is occupied by a fault. -12- =ir= r0OOZ 'c
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F_ffi_ Nr srrm; riciB8lil+;le !l*
'Uzcfl ?rno6rErv^rj
sNorrv'lauxo? 9Ntrv)rsn11L sN}{nrot cxsrlvl(L
F_ffi_ Fig. 1a i[ustrates correlations with previousl-y
proposed subdlivisions of the Nelson Upper Paleozoic Belt. Ttre
most ccmplete discussion of the stratigraphy of flre Upper Paleozoic
nocks is given by Tlaterhouse (lg6t*). His broad. subdirrisions are
followecl herel
the onfy major diff erences are the fomations
recqgnised j-n the Lee Rj-ver Gnoup and. d.iscussect on pa€e J1 - jj. Laucler Ugeil in his study of ttre geolqy of Dun Mountain includ.es
most of the vol-canic rocks and. closely associated clastic sedi nentary
rocks as a fotmation (ttre Little Twin) in ttre tTe Anau Grcupr, but
includes a volcanic breccia which occurs as a narrow iliscontinucRrs
band. at ttre base of the Rangitoto MarbLe in the Lfaitai Grcup. Similar
breccias are found. in the Rett Hill Area (p. t2) at the base of the
equivalent Tfood.ed Peak Li-nestone. fdentical breccias have been found,
entirely €noIosed. GENMAIJ GEOIOGY within tJre Glennie Fcrnation. For this reason the
breocia, is not regard.ed. as a basal congtomerate of the tvlaitai Grcup,
in the sense of r,auder (8e5, p.5) brxt as an integral part of the
Glennie Formation of the tee River Gnoup. -15- ry y
The Star Formation is Qpically e:qrosed on the eastern flanks
of Star H1IL (t'iap reference LBBB5I)' ancl eonsists of graclecl bedl,s,
lainatect argillites, massive green sandstones and a characteristic
blue coloured., coarse-grainecl feldspathic sartd.stone. The top of the
foruation is marked by the first appearance of red rocks of the Tfether
Formation. The stratigrapluica]]y lorrest rtcks of the formation in
the Eastern Belt are gr€y to green gracted bed.s. The thickness of the
fomation is at least 2OOO| but cmpl-ex structure nakes it unlike\r
that this is a true stratigraphic thidcness. PEIORUS
EROUP The Pelorus Grcup, tlefinecL by Waterhouse (tg6+) as ttre strata
betrueeur Marlboroudl Schist and. the Iree River Grcup consists of Upper
Paleozoic volcanic wackes and rare submarj-ne lavas. It is well erpos ed. in the streams and bare nidges of the heavily bush covered and. deeply
clissected. country north and. east of Red. HiLl. lo the east, rocks dip
steqlly and- lie in a gently arcr.nte be1t, nued. the Eastern BeIt, but
to the. north rccks are fold.ecl into a broad., asJrmmetric anticline naed. the Ben Nevis Anticline, which plunges southwestnards at ,Oo. The three fomations recognised. j-n the Pelorus Grcup are
d.efi-ned. frm the Eastern Be1t. A rnrmber of, sections throrgh the Belt
€Lre givsr in figure 2. Rocks va;rxr in grain size frm arg'iLlites
(sil-t or finer) to coarse sandstones (frequently nith grit band.s) "nd
beds range in thickness flcm less than an lnch thick to more ttran 5O feet
thick. The bed.s are comonly gracled.. All formtions show sirnllar
clivereity of litholqgr, the nain criterion for ttre recognition of
fomations being colour. -16- Boulder Shm. ([cf] grancl')
Grcg
G'eg
6reg
6'cy
Dork grcy
-daek grey
Dork EcA-block
Rcd-gncy
Red- grccn
Ffeckcd red a.d gecen
Rcd-grcen Boulder
Stm. Flecked red
and gnecn
- ,.eU
Grecn onJ red
ongtflife
Red-grey - grccn
Red and g'een
@reen
Grcg blue
Bl"e greg
Grcy
G.eg
Greg
Dock greg
Dark greg
Dork geey
G."ert
Flecked rcd
and geccn
Red-grey
Red-green
Flcckcd red
and green
Rcd-green
Fleckcd ecd
arrd grecn
gnc9
Blue g'cy
Dork grcg
ffi
uttrarnosc
fFlassrue
Argrllite
--
-l
Lominolad Aroilliic
J
-
Green grcy
Gr"cg blue
Ulr.rc - pde
blrr
Bonded Arqillitc ond
ftne Sondrlone
F-llt+s+.:l
_
@sl
Groded Sandstone *o
sArgrllitc
t,-:6,
sections through the Eastern Belt
FlG.z Lithology of klorus Group in
ffi
flocsrve firu Sqndslone
Scalc
Turo lhourond frcf
Bouldcn Stm. (nigr+ Branch)
ffi
llossi.re coarae So,.dslone sections through the Eastern Belt
FlG.z Lithology of klorus Group in -17 - WETHER. FOFJIATION Tlettrer Fonration is named. frcm the low hill at 4698'l! but the
tJpe section is in lowen and. right branch of Boulder Strea.n (fig. 2). The foruation consists of red colouretL argillites and sandstones
interbecLcted with g.ey and. green argillites anct i:npure sandstorsso Very
ra^re suharine lavas are associatetl w'ith red. argiLlites. The top antl
base of, the formtior H nar{ced by a trangitions into the afiacent fonn-
at1ons which do not contain red rccks. The ttriclcness of the formation
in Bould.er Strem is ISOO feet brt faulting and isoclinal folcting are
cormon and it is unlikely thet this is a tnre stratigraphic thickness. Map referencee given belqn as six figure nuobens u,:ithout the worcls
tmap refer,enoef refer to ttre Geologroal lrfap of the Red Hitt Cmplerc. -18- WARD FORI[dftON The formation is named. frcm ttrard Pass Strea but the true
section is taken a*s tJre right branch of Boulder Strean (*ig. 2). The
formation consists of green and grry sandstone and lanireted and. band.ed
argillites. The loeser part of the fomation is characteristically
marked. by a coarse green sand.stone overlying dark grey la^rnimtecl argiLlites
which pass downward. into the rect rocks of the Yiether Formation. The top
of tire fomation is everlnrhere faul-ted. The stratigraphicaUy highest
rocks are band.ecl grcy argillites and. fine-grained sandstones . The :rccks
genenally becme finer-6rainecl tor,'ards the top of the formation. Ihe
thickness in Boulder Strea-nn is ,+5O0f . As indicated. for ttre other
fomations tkris is unlikely to be a true stratigraphic thiclsress. pISInISUTIoN 0F THo r04gi.TroNs Eastern Be1t. A section of Pelorrs Group rocks describecl by
tr{aterhouse (ty5+) frcm the Lee River, 15 niles norttr of Chrone Strearn
is vecry siirilar to sections east of Recl HilI. In the l,ee River, red
rocks ortcropping ovetr a clistance of two and. a half miles are flankecl
on the west by blue and green argilllte and on the east by blue argill.ite
and. ninor treen sandst one. No sections througfr the whole width ctr the
Eastern BeLt were exarninecl betrveen Iree River ancl Star HiIt but it is con-
sidered. on the following evidence that tJ:e Eastern Belt continues nort,tt-
ward. at least as far as Iree lLiver w'ithout roaje change in strike and. only
uinor increase in wittth of fotmations. (i)
The strata erposecl in tributary streams of ttre left
branch of the \r'{airoa River strike unifomly at O2Oo. (fi)
Recl p&bles in ttrese streas indicate the presence of
TTe*rer Fortation in ttreir hea&raterso (i)
The strata erposecl in tributary streams of ttre left
branch of the \r'{airoa River strike unifomly at O2Oo. (fi)
Recl p&bles in ttrese streas indicate the presence of
TTe*rer Fortation in ttreir hea&raterso
-19- (fi)
Recl p&bles in ttrese streas indicate the presence of
i
i TTe*rer Fortation in ttreir hea&raterso (i-ii)
Red rocks, presrmably of the ltether Fomation, are
e:qrosed. on tlre summit of Rrrple Top, a hill which lies
on ttre t"$. of Wether Fornation at al4rroxlmatel-y rniclway
A
between Lee lliver and Star HiIL. It is therefore Iikely that the three subilivisj-ons of the
Pelonrs Group given by lYater*rouse (1964, fig. il are correlatives of
the three formations definecl above. Bm Nevis Anticline. The rocks in the Ben Nevi.s Anticli:re
are lithologically similar and have the salne broad. sequence as those in
the Eastern Be1t. Accordtngly, Fd colourecl rocks €rre correlatecl with
the Ttrether Fomation, and the rccks stratigraphically above anrlbelon
are identiflecl as Ylarcl ancl Star Formations respectively. The lfether Folsation varies consiclerably in thickress; on
Ben Nevis Ridge it is about 2AO feet ttrick, in ttre Wairoa River section
at least l OOO f eet and probab\y near 2000 f eet ttd ck, in the tJ4pe
secti.on l1oOO feet thick, and. pISInISUTIoN 0F THo r04gi.TroNs in the tee River it outcrops over a w'iclth
of 2$ miles (Waterhouse, 1964), Much of the thickenir€ is probably
facles controlled because there is a continuous section at least 4m
feet thick in the 'rtbiroa River; this is at least twice ttre fomation
thickness. on Ben Nevis Riclge. It is also possible that much of the
th:ickening is due to isoclinal folcling ancl strike faultirg (p.116). The lltettrer Formation is the on]3r formation of the PeLorus Group
with a stratigraphically ctefinecl top and bottom and it is not possibLe
to cletemine ntrether the Star or'Sard Fmations show sini]ar changes in
thickness, but it is unLikely that thickening alplies only to the
lTether Formation. -20- colmEt['T at{D pEIRoeRArIrr 0F rHE PEORUS CR0UP colmEt['T at{D pEIRoeRArIrr 0F rHE PEORUS CR0UP
F i e 1 d
d. e s c r i p t i o n. The peloms Group are h:ighly inclr:nated. dense rocks of vari ed. colour, and. grain size, cut by numerols thin
veins of quartz, a-lbite and epidote. The nost d.:istinctive and
characteristic rocks are very poorly sorted. greenr greX or blue sa'd-
stones containing s cattered. angular fragments up to a centineter across. McKay ( t g7g) referred. to ttr ese rrcks as aphanitic bnecci-as, a nan e whi ch
weIL indicates ttreir poor sorting, general medlum grain size and. angularity of fragnrents. In sections a fs' hundred. feet thick, the
most charaeteristic feature is vari ecl ttrlclaness of ind:ivid-ual bed.s;
massive se.ndstones €Lre interbed.d.ed. vrith finely laminated. argi.llites,
thick grad'ed bed.s and. band.ecl sand- ard. siltstones. The pred.onirrant
colours €lxe Srey and green, ht the red rccks of the Wether For"mation are
most d.:istinctive and. blue sandstone and argillites are conmon. Grading occurs on the scale of magnitude wiri-ch varies frcn bed.s
a fm,ction of an incli up to margr tens ctr feet thick. l[ic,no-c]ross-
stratification ls als o comraonly present bub large scale cross bed.*ing
has not b een obs erved. Penecontemporaneous d.eformation €Dclrress ed by intraforuational
foldlng, girring highly cmplex stnrctures on the s cale of about 10 to
1m feet is wid.espread. Sections otr strata ryith paral-1el strike and. dip over a distance of a lnrndred. yard.s or so are not Gorrrmdrr, and for thls
reason neasurenert otr strike and. dip of ind.irridual bectding planes is of
litt1e general structunal signif,lc€lnce. tbe strikeg a^rrd. dips shcnn on
the geological map ind-icate oonsid.erable thickness of strata of the orient-
ation gholryn. Obliteration of bectding by penecontemporaneous defomation -21- t.,
t
;f
- {,"'
It
')
t'. -r'
t: t.,
t
;f
- {,"'
It
')
t'. -r' t.,
t
;f
- {,"'
It
')
t'. -r' t: t: 'I
,a
:: :/'-,:
-:t?- 'I
,a
:: :/'-,: -:t?- is cormon in the laninatecl argillites. A typical example is shcmn in
fig. 3. 0n1y traces of the original bed.ding t" n:reserrred.. is cormon in the laninatecl argillites. A typical example is shcmn in
fig. 3. 0n1y traces of the original bed.ding t" n:reserrred.. Post-consolidation d-efornation is expressed. by numenous suaall
strike faults, isoclireL foliLing (anplitude of folds about JOO feet) and. bed.ding plane s1ip. colmEt['T at{D pEIRoeRArIrr 0F rHE PEORUS CR0UP This last is tlre most conspicuous - the fine-
grained. beds in a sequence of thick gr:ad.etl bed.s or nassive sand.stones
€Lre usually cnrnpLed., sheared and seametl with quartz veins (fig, L). O en eral-
p e t roRJaphy
ThePelomsGrorpareeither
lithic or feldspathic wackes. Quartz is rare, especially in the coarse-
gra:ined rocks which invariab\y contain less than 5 per cent quartz. Some finer-grained. roeks contain as much as 2O per cent qr:artz. Thinned
plagioclase is abundsnt and contains abundant incluslons probab$r of the
calcsilicates, pr.rnpellyite and. epidote. The plagioclase is in all cases
opticalLy positive and has an extinction angle of about 1Bo. Secause
of highLy refringent fust-like inclusions, measurement of refractive
ind.ex was not alwqys possible but in ttrose in whieh it was, the refractive
ind.ex was less than 1.545. The plagioclase is the?efore albite, but
the incLusions of ca1fi-silicate suggest that ttre albite was foruecl by
alteration of initia[y
more calcic plagioclase. lithic fragnents are
also abundant and are cmposed either of volcanic or serl'imentary rocks. Volcarric fra6ments €Lre generally spilitic wittr srall acicula.r Laths of
plagloclase rand.ornly orientated. irr an ind.eteminate matrjx,
More rarely,
coarseF-gainecl vblcanic rccks, vrith a cloleritic texture are pnesent. The se(timentary rock fragnents ane catrposecl of argillite, sinilar to the
finer-grainecl rock of the Pelorus Grorp and. are probably locally cleived. llono-minenalic fuagnents, present m\y in minor ancunts, irrclud.e iron- -23- rich qiclote, augite, and r"arely strongly pleochroic hornbl-ende. Fine-
grainecL aggregates of chloritic coroposition are also prresent. rich qiclote, augite, and r"arely strongly pleochroic hornbl-ende. Fine-
grainecL aggregates of chloritic coroposition are also prresent. The natrix of the rocks is recrystall.isecl but t]re clegree of re-
crystaLlisation varies wid.el-y frcm rock to rcclc. fn scne rocks both
matrix ancl lithic fragnents are al-nost obliterated. by recrystallisation. The recrystallisation is shown by small graltlar aggregates of green
punpellyite with its characteristic strong *ispersion and highly bj-re-
fringent epiclote. These fom cluster"s such as those shorn in fig. 5. * The rumbers refer
ttre Geolqy Detrlt. e
to ryecinens in the petrological colLection of
Victoria Unlvensi W of Ttlell-ingtoru
-24- Detailed.
d.escrip
tion No. rcgA"at A coarse-grra:ined. grey sandstone flm thick-grad.ed. beds at l$833. The r"ock is poorly sorted with subangular fragrnents up
to 2 mrn. in size. Becognisable fbagments ccmstitute J0 per cent of the
rcck and. are made up of argillite fragments 15 per cent, spilitic fra€-
ments 15 per cent, plag:ioclase 5O per cent, quartz 5 per cent, with
accessory chlorite aggregates and aug:ite. 'Ihe natrix is ccmposecl of
snal1 clusters of pr.rnpeLlyite and qliclote and. uniclentifiable, extreme$r
fine-grained. material. The rock is cut by veinlets of qtsa,frz containing
a Iittle punpellrit e. a Iittle punpellrit e. No. 10925 A eoarse sandgtone f rm a massive becl of recl and. green fleckecl sandstone at I+799n. The originaL clastic texture is
consiclerably noclified b5f extensive recrystallisation of the matrix and
some of the Lithic fragrnents. A third. of the fbagments are argillite,
another th:ircl spilitic volcanics and. the renainder composecl of plaglo-
clase, qr:artz (l-ess than 5 per cent) and. aggfegates of chlorite. * The rumbers refer
ttre Geolqy Detrlt. e
to ryecinens in the petrological colLection of
Victoria Unlvensi W of Ttlell-ingtoru
-24- * The rumbers refer
ttre Geolqy Detrlt. e
to ryecinens in the petrological colLection of
Victoria Unlvensi W of Ttlell-ingtoru
-24- lt"F
'6
J1..-
t
1a a
, .t;l
-L-tr
J*7v
\
t-t
D,I
/#
't trd
\
. ..+ .;
l
A4
-J ra
tr- ,
1tatl
' I
l|-
J^
---
t;-EA
Fig. ,. Clusters of granul ar
pumpellyite 1n recrygta.'l I lseC
Group impure sandstone spec. epidote and
natrix of Fel oms
no. IogzS (X r 50 ) . lt"F
'6
J1..-
t
1a a
, .t;l
-L-tr
J*7v
\
t-t
D,I
/#
't trd
\
. ..+ .;
l
A4
-J ra
tr- ,
1tatl
' I
l|-
J^
---
t;-EA lo
,(
i. a
t
J\
Flg. 6. Photomicrograph of submarine lava. from the
Pelorus Group. Criginal feldspar altered to e fine
grained mixture of albite end sericite. The matrix
is hernptite stained and almost opaaue. Spec. No.LO9?9
( x loo)
o€
ha. Flg. 6. Photomicrograph of submarine lava. from the
Pelorus Group. Criginal feldspar altered to e fine
grained mixture of albite end sericite. The matrix
is hernptite stained and almost opaaue. Spec. Detailed.
d.escrip
tion No.LO9?9
( x loo)
€ ( x loo) o€
-L
J-- o€
-L
J-- Ihe argillite fragnents are packed with very saLl granules of hematitet
ancl heanatite stains much of the reerystallised. natrix. Veins d quartzt
with epidote, albite and carbonate cut the rock. Ihe argillite fragnents are packed with very saLl granules of hematitet
ancl heanatite stains much of the reerystallised. natrix. Veins d quartzt
with epidote, albite and carbonate cut the rock. No. 10925 A massive coarse-gra;ined green sandstone at
l+54894. In thin section the poorly sorted. clastic textune is shovn by
aggregates of authigenlc epidote and pr:mpel\yite which outline the
boundaries of very alterecl fragments. Few fragnents are iil.entifiable
but nost appear to be of sedimentaty origin. It is probable, that
volcanic and plagioclase fragoents were initially present and are no
longer id.entifiable. Quartz, epid.ote ancl albite are accqssory, and the
authi.genic minerals include mica as weLL as epid.ote anil puropellyit e. The rnica occurs in alterecl arglllit e fragnents and in veins ctr quartz, No. 10927 A coarse-grained. green sand.stone flo tirick gracled
bed.s at 431916. The rock has a mod.erately well sorted. texture of angular
fragrnents up to ?m,. in size but nostly in the range of O.75 to 1.5 mm. The matrix (gfains less than O.hm. in size together with interstitial
recrystallisecl naterial) nakes up about 20 per cent of t.tre rock -
much less than'is usuaL in the Pel-orufl Group rocks. Volcarric fbagnents
constitute alnost lp per csrt, argillite 25 per cent, and quarbzt
pyroxene ancl brovn hornblend.e about 10 per cent of the rock. Submarine lavas interbecld.eil with ]"aninated. recl and. green
a^q:iIlites of the llether Fomation are found in Boulclen Strean at
U668to (No. 10928) and in Chrsre Strem at t+ffi795 (No. 10929). In hand
speci-nen the rocks are coloured purpLe andl vclr fine-grainecl. They may
be rnistaken for massive hlghly indurated red. agilIite. The lavas
ocsur as sa1l pods not more than 1O feet across and have been only -26- f,ound. in tlre Wettren Feuation. [trey are inttnate]y mlxed. rith. sedimerrtarly reek, but erposurE is not good enuttgb tp det,emine
thei.r precise mratjonohigr Probab|1r they are pl-lIor or
breocieted. piJ.lov lavas. ltlcrsecopical.ly, No. l0gn is a f[ne-
gralned altered. eptlitlc bagalt rrith ranilm\y or{.entct ecl elolgate
laths of alte'recl plagiocLaee naktrrg up abort 6O per sent of the
rook. Detailed.
d.escrip
tion Thege ere set in a matrix ecuiposetl of ftnofy granular
hmatite sJ.org dtJl ag6regatas of qrictote (ttg. 6). Th€
alterecl plagioclase la.ttrs are cqrposed. of plqgiocLase (presnroably
albtte) anel flinely tlirrtcleit musoovite (aetenuirled W x-F€v
ttlffraotton),
No. 10928 ts stmilar 5.n cuposition to No. 'lAgn
but is flnen-grsined. rhe felttslnr laths ane bent anrl ont-y
abqrt 0.5@. Long. Rare O.!im. dimeter aEygitales are flLleiL
wlth iron-rf.ah qlidote. -21- PRoVEI\IANCE Agp pFoSrTIoN4Ir n{VIRoNMEnm Generral. The Pelonrs Group is tJpical of flysch facies in
respect of, seiliraentarry stnrch.rres, absmce of fossils and. rari$r of
rrolcanic rocks. Ttre Large a.nourrt of volcanic seclimentary and. feldspath
fragnents ind.j-cate d.erivation from a rqidJy erocling source and the
presence of gradecl. bed.ding suggests that red.eposition was probably an
inportant agart of sed.imentation. In nany respects, theeforen the
association is typically eugeosJrnclinal with rapid. sedimentation in a
cleql water trorgh far frm a stabLe continsrtal platfom (nrntar ancl
Rod.gers, 1957), Most of the fragnents are of, volcan:ic origin, and. even the fragments ctr argillite have prcbably been d.erivect \r reclepos-
ition of volcanic mud.. Thus it appears probable that the Pelorus Grorp
fomed in a linear trough close\r related to rapiclJ,y eroding voLcanic
naterial - perhaps a line of voloanoes alorg the border of ttre trough. Massi rre sand stone. The tr:rbictite tgpothesis (Kuenen ancl
Migliorini, 1950) is nniclely hel-d to e:rplain the origin of graded. bed.s,
and Vlatenhouse (tf 5l) has suggested an arrciIIary mechanisn by which
great th:icknesses of laninatecl beds may be formed.. The general
tgpothesis, hovrever, only poor.Ly orplains tJle origin of massive coarse
sandstones zuch as those of the Pelorus Grcup. llary are lrOO feet
thick and aLthorgh sqne contain conglomerates ancL grit bancls, they
cmon\r strqrv no trace of becl&ing. These massive sandstones have
probably fomett by continros unbroken seili-mentation. It is suggested. -28- that tectonic actirrity fro tine to tine rai.sed a part of the margin
of the d.epositional trouglr within reach of wave erosion or perhaps evsr
above sea 1eve1, and. for a period. erosion was rapid. and. continuous with
the resulting detritus ctqrosited clirectly over the floor of the basin. If this is correct, then it nay be expected that massive
sandstones of the Pelonrs Grcnrp world. be of wid.e clistnibution ancl may
be used. as marher bed^s. This is, as Xetr wtproved. Red. colour of the Tlether Formation is &:e to a,bundant, finely
clissemireted granrles of hoatite distributecl throughout the natrix
ancl fraguents of the rccks. It is possible that the origin of, ttre hematite is reLated. to
ttre presence of subrnarine lavas, Ihe only s,rha^rl*te lavas founcl. in the
Pelorus Grorp Elre restrictecl. to ttre Ifet]rer Foruation ("td rocks) and. Reecl (lgSl) in clescribing the red argillites of the Mesozoic rocks of
Yfellingtm noted. PRoVEI\IANCE Agp pFoSrTIoN4Ir n{VIRoNMEnm ttrat nthe evidenc€o.o indicates that zubarine extrusion
of lavas is closely connectert witJr the fomation of red and, green
argi1lltesrf . The relationehip of red rocks ancl suharine lavas is however
prrcbably ind.ireet. The verf,r mall ano.rrrt of subnari^ne lavas in the
Tlether Fomation makes it haghly unlikely that they could. have caused. the developart of red. argillites. Rattrer, it is considened that both
red. r.ocks artcl Lavas are ttre rezuLt of a more f\rndaental @use. Such
a camse would be vigorous rmLcanisn, rvhich, acting over a Long periocl
formed a vast guantity of airborne voLcaruic astr. The henatite clevel'opecl
fbcn this by oxidation ancl settled to fotm the recl rocks. During the
sane period some magma rolLerl cLcmn the slope of the cLepoeitional trorgft
to form ttre zubarirp lavag. A9 _A9_ _A9_ 4Gn 0F $rE PEIORUS eR0rrP
--- -
No fossils are known fro the Pelorus Group and the
only evidence of ttre age of the nockg is ind.lrect. In the
Red HiIL srea the PeLorus Broup rccks ,lip paraL1d, to, and. young towarcls, tlre Lee River Grorp,
Althorrgh the cmtact
between the two Srorps is rnarlccl by a fault it is most probable
that the Fel,orus und.erlies ancl is hence oklen tha,n ttre L,ee
River Grcup. The Lee lliver srcup Ls on fossil evidence,
assi8ned by waterhorrse (tg6tr) to the €rly peruian and. therefore the Peloms Gnoup rocks are probably Cartonifercus. -30- IEE
RIVER
GROUP IEE
RIVER
GROUP The Lee River Grcup is defined. by TIat erhouse ( tg6t*) a.s ttre
trsedimentary, volcanic and. plutonic rnocks e>rposed betvreen the younger
Llaitai Gnoup ... and. the PeLoms Group.il (p. 4)
In the Red. Hill
area, apart frcm the rare subrnarine lavas in the Sether Fomation,
volcanic r^ocks are confinecL to the westenn fl-arrlc of the Ultramafic
Conplex near }{t. EILis and. near the northeastern and. southeastern
corner of the Complex (se. geological map). These together witJr
closely associated sedimentaly rocks are referecl to as the Lee River
Group. Stratigraphic sections through ttre Lee River Group are given
in fig. 7. Sections, rnrmbers 1 to 4 are e:ctrlosed. on t,}re south westelm
contact of ttre Complex, and. are shourr on figure n, page 8:- i
sections 5 to B are ecrposed in Porters, Ellis and. Diorite Streans a,nd. the ldotueka River respective\i'. Ttre most cmplete section, number 9,
is exposed on the ridge that passes over Mts. Gl-erurie and Ellis between
3ffi9&o and 45O9?o. lTaterhcuse, 1961+ recognised. three formati.ons in ttre Lee trLirrer
Group; the Lornest (tte Croiselles Volcanics) is seSlarated. frcm the
highest (ttre Patuki Volcani.cs) by a 2OOO feet thick se&i.mentary
formation (tne nai Sandstme), The sare overall sequence is shown in -31- ROAD
sEcTroil
RIDGE
sEcTt0rl
2
DRY
CREEK
trh
l+++++l
l+++++l
tQqit-
E
1111111il
lA^li^l
U-
XAITI.AIID
STREAT
PORTERS
STREAttI
5
ELLIS
STREAII
6
IOTUEKA
RIVER
RIDGE
sEcfl(I{
m
I
I
7
F
F
=
=
=
Eo
l! :
==r! (9
-
:ffi
l=!tr-
l++++{
l++++{l
ffi
-G
t--:t
ErI@
@
rum
l-1
Grcville Fumatim
toodd Peak Limstme
Sheet Volcanics
lhtamrphic tals
Argillites, sendstmes
Pillow Lavas
Volcanic Heccia
Sapntinite
hridotite
ElFaurt
l:l
Discsrfrmable Cmbcl
El
h&bh Cmfarnablr CCIbct
0
l(lw 200 30fiI $$
=:
=
G
o
E
o
c:,
Flr ,
SCALE
LEE RIVEI GTOUP Flr ,
LEE RIVEI GTOUP the RecL Hill area (seotion No. 9) and. probable corre"lations are
inclicatecl. in fig. f O,
Thene is no littrological difference
between the Croiselles and Patuki VoLcanics, but in the Retl HilL
Area the highest volcanics are sheet volcanics, reatlily &istinguished. in the fielct from pi1lov lavas and volcanic breccias lor,rer in
the Group. Accordingly, two formations are recognisecl. the RecL Hill area (seotion No. 9) and. probable corre"lations are
inclicatecl. in fig. GOAT FOREIATTON The Goat Foruation, defi-necL as the sedlnentarry and volcanic
rocks exposed. on the ni dge section (fig. 7 , ltro. 9) between WO935
and, l+2492O, is naned. frcm Goat Saclclle at Wl+932. ft characteris-
tlcal-Iy contains pillou lavas and derived. volcanic breccias and silt
and. sandston€so Sheet volcanics are verXr rareo The formation is
probably equival-ent to the whole of the Rai, ancl part of the Patuki
arrd. Croiselles Forurations of Tlaterhouse (lg6l+). The sed.irnentary and. volcanic mabers of ttre formation are shown separatel;r on the
geological map. The top of the fomation is marked by a thick bancl of pi11ol
lavas and volcanic breccias. These are in faul-t contact nrith dark
grenf argillites and green sandstones of the over\yin6 Glennie Formation. At the base of the formation is a 1OO feet thick band of volcanic
breccia Ln fauLt corrtact w:ith the PeLorus Group. The fomati.on
is about 5OOO feet thick, but the thickness is not accurate\r knonn
because of fauLting and peneeontemporaneous sltmping. IEE
RIVER
GROUP f O,
Thene is no littrological difference
between the Croiselles and Patuki VoLcanics, but in the Retl HilL
Area the highest volcanics are sheet volcanics, reatlily &istinguished
in the fielct from pi1lov lavas and volcanic breccias lor,rer in
the Group. Accordingly, two formations are recognisecl. Associatecl se*inentarSr rocks are inclucled. as members of one or
other of those fomationso
The two-fold. division reflects
what are thought to be f\rndanental diflfeences in ttre enviroment
of cleposition of the volcanics, not recognisecl in lllat erhouser s
three folit d.ivision. Associatecl se*inentarSr rocks are inclucled. as members of one or
other of those fomationso
The two-fold. division reflects
what are thought to be f\rndanental diflfeences in ttre enviroment
of cleposition of the volcanics, not recognisecl in lllat erhouser s
three folit d.ivision. Waterhouse also incLr.rdecl concordant 1enses of
serpentinites as members of the Patuld. ancl CroiselLes Fmations
but there is no assurance, on present evidence, that the
serpentinites are cmtenporaneous Trith affacent strata ancl there-
fore j-t is pnefemed. to separate aLI ultranafic rocks into one
un:tt - the Dun Mountain Ultranafics clescribed. I'ater. -33- -Con.tent Volcanic mpber. _ Three t;pes of volcan:lc rocks can be &is-
tinguishert in ttre fielil;
sheet volcanics, pillow lavas and volcanic
breccia. Sheet volcanics is ttre name used. here to describe tabular
boclies of volcanic or lgpabyssal rock. 0nly one sheet, about 10O
feet ttrick hee been id.eertifiecL as a tabuLa.r bo{y in the Goat Fomation -34- a
o
.d
P
tro
P
d
_od
o
+
!a
.F{
a
Bo
r-l
d.r{
A{
I
a
a0
.F{
Et, a
o
.d
P
tro
P
d
_od
o
+
!a
.F{
a
Bo
r-l
d.r{
A{
I
a
a0
.F{
Et, --35- ( "t 39991il and elseryvhere rocks rmith a sirnilar texture have inde-
tenn:inate forrn. In contrast to the over\rirrg G1-ennie Formation,
sheet volcanics are very rare. ( "t 39991il and elseryvhere rocks rmith a sirnilar texture have inde-
tenn:inate forrn. In contrast to the over\rirrg G1-ennie Formation,
sheet volcanics are very rare. lTeIL formed pillov lavas (fig. B) €Lre abundant in the
stratigraphically hisher parts of the Goat Fomation and. are vrell
e:q)osed at 398914. trlost outcrops of pi11on lavas shoe' scme evid.ence
of penecontemporareous movement, such as zones of brecciation and. highly contorted interlayered sedimentarXr rccks. lYith increase in
d.egree of d.efomation, the piIL or lavas grracLe into volcani c breccias. Volcanic breccia is the most ccmon nock ty? e. 0utcrops,
tlpical\y, show an ill
d.efined. but unmistakable bed.&ing wittr ind-ivictral
bed.s up to 50 feet thick. These are conposed of poorly sorted. fragnents of fin+grained. volcan:ics and are generally red in colour. fhe fragnents'rdn$6 in size from sand up to boulders several feet in
di-aneter, anC fragrnents of pi11cw lavas ancL bcnrldes cornprising a
ru.rnber of cenentecl pillows are cormon. Lee s typically, the volcan:ic
breccia nay be ccnposed of fragnents no larger than grit, but the
similariff in composition is shown in ttrin section. T,fith f\rrther
d.ecrease in particle size, the volcanic breccias grade into sandstonsso The general characteristics typical of volcanics of tJ:e Go
Formation are well surqarised by lber*rofel- (1932 p. Z,rO):
tfAll grad.ations errist between the smewhat brohen and. slightly &isturbed. fragnents of lava and the farthen-
tranisported. and bette sorted. lava derivatives which
enter jnto a tnre sed:i-nentaJ1/ rcck. The naterials in -36- Itall these cases €rre so sinilar and. Se&imenta%nerober Exposed. in the head waters of the left branch of the hiotueka
River is a thick sequence of gracled beds ard massive sandstone in the
nidd.le of the formation. This Ls ccuple*l$."intrefomationa1ly folded. [he beds are isoclinal\y folcled., as shown by frequent reversals in
younging direction obtained frcm Bracllr€ and. rnicro-cross bedd.ing; yet
the fold.ed rocks are confined. to a belt wh:ich is only broad.Jy flexured. The intnafonrational fol,ding was pr"esumab\r czused by s}:nping of un-
cons olidat ed. s ed.i-nents. -Con.tent the rocks so i-nt*
minglecl stmctural]J, thet it is a matter of great
ctifficulty at tjses to distinguish between the lavas and
ttre volcanic breccia or tuff r €Epecially sin ce the lava
not infrequenttry in its fl-ovr and pillcrv stmctures
sirnul-ates the breccia stmctur€ in a most confusing
fashion. rl Se&imenta%nerober. The sed.itrrentary member is c<r:lposed largely
of massive or grad.ed., coarse-grained. sandstones, but massive black
argi-11it es, and laninated andband.ed. grey or grey-gre en rocks are corunon. The mernber is litholqgically si-miLar to the Pelorus Group. Petrograph.v The sheet volcanics (Uos. 'lO93O anct 1q931) are tgryautono4rhic
granular albitisect rocks rrith large (l,mm. lotg) subheclral tabular laths
of altered. pla6ioclase (r,* albite with abundant inclusions) naking W
6D per cent of the rc*, subhedral titanifercus pleochroic augite
20 per cent, al,tered. ilnenite (n* lzucoxene and hecnatite) about 5 to
-37- -37- 10 per cent and an interstitial chLonitic me3ostasis naking up onLy
5 to.1O per cent. The comparratively coarse-grain *i-stinguishecl these
r"ocks frcm the piI1or lavas so that in handspecimen they are green
coLoured. with a ilistinctly mottlecl atrpearanceo Ihe pillo'r lavas and fragnents frm the volcanic breccias are
alL fine-grsined. spilites and generally vrith a variolitic
(No. 1O%2)
or intersertal (No. 10933) texture. In No. 1q932 crystallisation of
original glass has girrcn clenclritic crysta1 gron'th which cuts through
the earlier varioles of radiating albite aggregates. The rnatrix of
the volcanics i.s-usualty packed with snall granules of hematite. In
Nos. 10933 and ICD\Z a snall amount of wealcly pleochroic (probably
titaniferous) augite is present but in most, the ferromagnesians are
altered. to chlorite and./or actinolite. Altered titanmagnetite is a
cortrlon acc essory. The sedinentary rocks arne Lithic or quartzo-feldspathic sand-
wackes. Lithic fragnents are precloninantly vol-canic-derived. and have a
sj-niLa,r teehrre to the pi1Ior' lavas ancl flagnents frm the volcanic
breccias. In No. 10954 thee is a higher proportion of quartz, about
25 per cent, than is usual\r found. in the se*imentary r^ocks of the Recl
Hill Area, but otherrmise the sandstones arte sirni}ir to those of the
Pelorus Granp. Di stribution
and.
thickness fhe Get Fornation hag ben exoinetl closel;r only in the
vicinity of lt{t. ELI-is but is presumed. to contirme nort}mard in the
headrvaterg of the llaire. River. The thickness of ttre formation is -38- g:iven in section 9 of fig. 7 as about SOOO feet, but much of this may
be due to post-d"epositional thickening, such as penecontemporaneous
s}:npingt Metanorph:ic rocks near the north-eastern eontact are probably
d.erived. frm basic volcanics (p.8 6 ) and together Tfith associated
sdimentary rocks, are placed in the Goat Formation. At l&578O
volcanic rocks are exposecL in the scree-covered. slopes below the
eastern contact of ttre Complex. The rocks are volcanic breccias
si-nilar to those of the Goat Formation with rvhich they are colrelated.. D eDosition
al,
environm
ent The lithological sinilarity betvreen the sed:imentary roclcs of
the Goat Fomation and. Pelon.s Groups suggests a comparable d.epositlonb,L
environnent v*rich, because of ab sence of fossils , abundance of graclecl
bed.s, ed considerable thi.ckness, j-s thought to be d.eep water and
rapicl accumulation. The rrolcanics axe thought to have d.eriveE like the sed.inents,
from a source roarginal to the basin of d.eposition w'ith vast sulmarine
outp.ourirrg of basaltic nagna flcming down the sides of the basin and
forujag pillow l,.avag. fhen with redryosition perhaps in the nanner
of a subnarine laftar, poorly beddecl clqrosits of vol,canic breccia were
fomed. Some nagma probabl,y Lntnrd.ecl ttre voLcanic pi1.e to produce the
rare sheet volcanics. -39r- GTXNNIE IORIILNIION The Glennie Fomation is d.efined as the sedimentary and. rrclcanic rccks typicalJy exposetl in the section between 382940 and
l0ogr1o (eie. 7 section No. 9). The formation is about l0OO f eet
thick in the sorth antl at least I+BOO feet thick norttr of Porters Strean. It characteristically contains an abundance of sheet volcanics
( spilltic basalts and albite clolerites). In contrast to the Goat
For:nation, this formation contains only rare piLlow lavas if ar1y,
(none have been observed.) and. minor mounts of volcanj.c breccia. The
foruation is charaeterisecl by successive 10 - 100 feet thick sheets of
massive albite d.olerite and. spilitic basalt separated. by thin screens
of coarse clastic sediments includilg brecciated fi-ne-grained. volcanics
and. fragnents of angular quartz, sandstone and. arg:ill-ite. Its lower
borndary is narked by dark grcy argillites and 6reen sandstone in fauLt
contact rcith pillo,r lavas of the Goat Fornation; lts upper bcunda4r
by sheet volcanics in disconformable but regionally concordant contact
with the Maitai Grarp. $edisentanr menbgr. The sed.inentary member is c(mposed. of
green sflldstone ancL less ccrtrron, black and. grey argillites. Ther"e is
a genrenal increase in graln sise fro the base to the top of the member. Bedcling is rarely preservecl anct the rcclcs are either stmngly contorbed. or brecoiaterl, with lsrge angular fragnente of coarse green sandstone,
scatterect thrargfr a finer garrdstone natrix (fi6. 9). These breccias
probably foroecl by panecontenrporaneous clefomati on. -l1Q- i4
F!g. g. Penecontemporaneous breccia 1 sedirnentary
**ilb*t of Glennie Format ion. Angul ar fragrnents of
g?een sandstone (f i"ght ) surround"ed by mstrix of grey
lllit
(d
k) F!g. g. Penecontemporaneous breccia 1 sedirnentary
**ilb*t of Glennie Format ion. Angul ar fragrnents of
g?een sandstone (f i"ght ) surround"ed by mstrix of grey
arglllite
(d.ark). Jll- Volcanic menber. The volcanic member compri.ses a succession
of sheet-1ike bodies of spilitic basalt and. clolerite. The sheet-like
fo:m of the volcanics ls well ixlrown on tJre east flank of Mt. Glennie,
and in SlLis Strea.ur and. near the lYairau River at 3l+4738. The sheets
vary from 10 feet up to at least 100 feet thick, but most are about 25
feet thiclc. The centre of ttre sheets is nediurn-grai ned., with a
d.oleritic texhrre (u.g. I'lo. 1O%5) but about lr- feet from the dontact the
texture becomes j.ntersertal. GTXNNIE IORIILNIION T,rithin 2 to 5 feet of the contact, the
sheets are breccj.ated and intimately mixed vrith sedi-mentary rock, which
f onos a thin unmetamorphosed. screen betwe en the sh eets. Atgrood.esrna
prisus are cormon in the screens. The sheets are thought to be larra
fllows rather than d,olerite sills because of the settinentary screens,
the wid.e zone of brecciation, and ttre wiile chilled. margin It is
estinatecl that sheet volcanics make up at least p0 per cent of the
e
volcanic m/mbep, with voLcanic breccias only locally abund.ant, and
pi11ov,r lavas (lf any) very r€rreo Formation. Volcanic menbe VoLcanic breccias occur a.s Lensoid-sheed. masses enclosect in
sheet volcanics near tlne Yfairau River and as a ttrin bancl und.er\ring
the Yooclecl. Peak tj-mestone at 34677O. They are mtre highly c olorrreil
G oaf
than those of Jtl:t:ic Fomation, vr"ith green volcanic fragoents set in a
rd, henatite-rich rnatrix, and. are ccrnposecl of frapents of albite
clol-erite and spilitio basalt sinilar to the sheet volcanics. The breccias
are probably chamel fiilings causert by emsion cluring ttre clqlosition
of the fonnation. No pillow Lavag have been observed by the writen in the GLennie
Formation. Formation. Ii'iA. 10. Spilitic bas:lt, photornicro€paph IrTo.I093?.
Albite occurs as ts.bular laths and aeicrr.la.r grains;
intere;:ranul rr anhedral augite; mesost:sis of brown
chlorite devitrified gIass. Petrographl Sedj-mentaqr_rocks. fhe sed.:imentary rocJ<s are ccxnposecL of poor\r
sorted. angular fragnents of plagroclase, quartz, sed-irnentary and
volcanic rock fragments. Quartz is only abundant in the finer-graired. nocks such as No. 10935 ( a siltwacke) in wlr-ich i t makes up about IrO
per cent of tlre rock and. about & per cent of the iclentifiable fragents. The coarse-grained. rocks are ccnposed. predominant\y of lithic fragrents
but Elre so aLtered that relative proportions of fnagnents is impossible
to estimate. The alterration produets elre authigenic micas ( in ttre
finer-grained rceks) and. prehnite and. punpel\rite. Acce.ssory minerals
are exogenic epidote, chlorite and. pyroxs're. Volcanic rocks. At 31il+738, three steqrly *ipping, volcanic
sheets are wel-1 exposed" They are each approrimately 25 feet thick
and" have a brecciated zone about 3 feet thick separating tha. The
niit&le of the sheets (specimen No. '10936 l:u,s a meclium-grained., sub-
ophitic texture with zugite gmins (comprising 25 per cent of the r"ock)
2nnro in size, partly sumund.ing 1.5mm. tabuLar laths of albite (fO
per cent) which €lre charged. urith ninute grara:les of a highly refringent
mineral, probab\r qlld.ote. An i-nterstitial chloritic matrix makes up
about 20 per eent of the rock and the neoraind.er is ccmposecl of altered. skeletal ilnenite or titanmagnetite - ncrv r€presentecl by leucoxene and. irrcn ores - and accessor1r sphene, epiclote and a fm needles of apatite. About 2 feet frcm the contact, near the edge of the brecciated. zotre,
the rock (No. rcgn) has an int*sertal texture (rig. 10) in whictr
divergent laths of olougr albite nake up about I+5 per eent of the rock -t! 3- Ii'iA. 10. Spilitic bas:lt, photornicro€paph IrTo.I093?. Albite occurs as ts.bular laths and aeicrr.la.r grains;
intere;:ranul rr anhedral augite; mesost:sis of brown
chlorite devitrified gIass. -44- -44- with intergrarruLar antredral augite (tl per cent) grranules of iror ore
(5 p"" cent) ard ctrloritic and. iron-stained. matrix (J5 p"" cent). The volcanic fragnents of the narginal breccia (No. 1OglB) are verTr
fin€-grained., with a variolitic texture of highly acicuLa.r feld.spar
crystals set in an ind.etenrinate gtanular matrix. The clastic matrix
of the breccia is ccmposed. of grains of augite, feld.spar and. rock
fragruents. [lost of the other specimens collected thrcmghout the fotmation
are similar to those d.escribed. above. fn some the feLd.qpar is clear,
anhedral albite containing on3;r a fm <liscrete grains of epidote
(No. 10939) and. in others the feld.spar is strong$ zoned. Petrographl entirely of fre.gments w"ith per cent ferromagnesians have been found, but sqne rocks are cmposed
d.minant$r of albite with only minor femonagnesians (e.g. No. 1O9Ll). The volcanlc breccia is ccmposed. entirely of fre.gments w"ith
similar textures and conposi tions to the rocks described. above. Petrographl w'ith inner
zones alterecl to a mat of saussurite, and on\y the outer zons of
oligoclase and albite persj.st clear and unaltered. (No. 1O9l+O) . In
some rocks the augite is replaced by actinolitic arnphibole (No. 109,+1)
or uralitised. to a fine grainect mat of brown and green amphibole (No,
10919) . with intergrarruLar antredral augite (tl per cent) grranules of iror ore
(5 p"" cent) ard ctrloritic and. iron-stained. matrix (J5 p"" cent). The volcanic fragnents of the narginal breccia (No. 1OglB) are verTr
fin€-grained., with a variolitic texture of highly acicuLa.r feld.spar
crystals set in an ind.etenrinate gtanular matrix. The clastic matrix
of the breccia is ccmposed. of grains of augite, feld.spar and. rock
fragruents. [lost of the other specimens collected thrcmghout the fotmation
are similar to those d.escribed. above. fn some the feLd.qpar is clear,
anhedral albite containing on3;r a fm <liscrete grains of epidote
(No. 10939) and. in others the feld.spar is strong$ zoned. w'ith inner
zones alterecl to a mat of saussurite, and on\y the outer zons of
oligoclase and albite persj.st clear and unaltered. (No. 1O9l+O) . In
some rocks the augite is replaced by actinolitic arnphibole (No. 109,+1)
or uralitised. to a fine grainect mat of brown and green amphibole (No,
10919) . Apart fron these minor differences ttre sheet volcanics show
little variation in composition. Plagioclase is invariably very sodic
and. i-s usually aLbite, and- because of ttre generral abundance of granular
inclusions of cafi-sil-icates wa.s probably fotmed by aLteration of
initially
more calcic plagioclase. The relative proportions of
diff eent rnjnerals is also resrarkably corstant, feld.spar ccmtrrises
about 55 to 65 pe cent, femomagnesians (pyroxene or alterati-on Pro-
ctucts) n to JO per cent, itnenite (o" alteration proctucts) betneen 4
and 10 pen cent, and. the chleitic matrix is variable but cmon\r
about n to JO per cent. Accessory minerals are epidote (probably
ttzuterlc origin) sphene and. apatite. No rcclcs contajning nore than 50 -45- per cent ferromagnesians have been found, but sqne rocks are cmposed
d.minant$r of albite with only minor femonagnesians (e.g. No. 1O9Ll). The volcanlc breccia is ccmposed. entirely of fre.gments w"ith
similar textures and conposi tions to the rocks described. above. per cent ferromagnesians have been found, but sqne rocks are cmposed
d.minant$r of albite with only minor femonagnesians (e.g. No. 1O9Ll). The volcanlc breccia is ccmposed. MAITAI
GROUP The Maitai Gnoup is subdiuiclect into five fomations (Waterfrouse,
196t+) of which only ttre four lowest are present in the RecL HiIL area:
Stephens Formation
(absent) The Maitai Gnoup is subdiuiclect into five fomations (Waterfrouse,
196t+) of which only ttre four lowest are present in the RecL HiIL area:
Stephens Formation
(absent)
Waiua Formation
Greville Fomation
Tranway Sanclstone
'rYoocled. Peak Li-mestone Waiua Formation Waiua Formation Greville Fomation Tranway Sanclstone Tranway Sanclstone 'rYoocled. Peak Li-mestone Rocks of the lfiaitai Group form a gently ar.euate belt of
steep\r dipping rocks on the west of the rnappetl area. The lfooclecl Peak
Limestone anil Tramway Sand.stone are eucposecl on\y in the south of ttre
belt; north of the right branch of the Motueka Riven, the Greville
Fomation is faultetl against the Glennie Fmation. Dist'ribution
and.
thickness The secl-imentary member of the for:nation, found only in and north
of Porters Strean, occurs betn,een the Red HiIt ultra^nafics and the
over\ring sheet vol,canics. Sorth of Porters Strem, the sheet volcanics
occur up to the contact with the Complex and in places arne metarnorphosed. In all stratigraphic sections exaninecl the sed.jmentary rocks are faulted. against the ultra"nafics, and therefore only a minimr:n thickness BO0
feet - can be obtained for the menrber. I{orth of Portens Strearn, the volcanic member is faulted. agiuinst
the Gr-e\,:i11e Fonmation, ancl is at least 4000 feet thick. In the south
the thickness belween the top of the fortation and ttre contact vrith the
Conplex varies frqn l00O feet in the Wairzu Va1ley to only 4OO feet in
Maitlancl Strea. Dluch of this aglarent thinning is probably due to
transgressive intmsion by the ultra^mafi-c rtcks, but it is also possible
that the fornation d.oes not naintaj-n thickness latecrally and nray th:in
ancl thicken consi d.erably. The sed.:inenta:1r member was pr'obably d.epositecl in cleep water,
because of the s€me reasons d.ren for deql water dqrosition of the Goat
Fomatlon. Peneaont€mporaneous d.eformation was comron in both fomations,
causing the deveLopooent of the brecciatecl rocks and. intra-fomational
sh:rnping. In contr:ast, the volcanics were possibly clepositedl in re-
lative\r shallow water, because of the fossiliferous intenbecld.ecL sed.jmentaJ:f rrccks. If so thry are the olclest rtcks of the Upper
Paleozoic sequenc e on the western linb of the Nelson Syncline to
have been d,eposited in sliallow vrat er. In this respect they are more
close\r related. to the overlying Tlood.ed Peak Limestone and Tra.invray
Sandstone, than to the rest of the Lee River Gror4r. -47 - WOODED PEAI( II]ilESTONE Tlaterhouse gives this nane to the basal linestone of the
Maitai Group. The nane was initially
a1p liecl only to the lwest member
of f,hg limestone (Waterhouse, 1959) but, fiit can be used. in the broacler
sense as well.rr (Waterhouse, 1951+ p. 28). Here, it is used. in the
broaden sense as tJre calcareous and sedl-nentarXr rocks nhich overlie tfie
Glennie Fomation of the Le River Group and. underlie the Trarilrqy
$andstone. In ttre RecL Hill atrea the TlbodecL Pealc IrLnestone is covered. with
beech forest ancl is not welL e:qnsed. excqlt near ttre contact with the
voLcanics. -48- C ont ent In the south of the area the Ii^nestone (which is 14OO feet
thick there) rests clirectly upon the Glerunie Fomation brrt at 3l+O798
a blue-green sand.stone appears separating tlre trivo and progressive\r
thickening toward. the north, Ihe sandstone ressnbles the blue-green
sand.stone mernber of the Tranway Fomation but is inclucled as a menber
of the $Iooded Peak Li-mestqre. A thin section of the sandstone
(No. 10942) shows that it is poor\r sorted. felclspat]ric-sand-wacke with
a pred.minence of felcl.spar fraguents and abundant fragments of volcanic
rocks, clinopyroxene and chlorite. Sub-rcund.ed. quartz grai-ns make up
less than 5 per cent of the section. The linestone in eomtact with the volcanics is a clark to
light grey bancled. lirnestone, and intense foLding of the bands is
believecl to be caused by penecont€mpcraneous slumping of poorly con-
sol,iclated calcs,reous clSris (fig. 11 ),
H:igher in the formation unfoLd.ert
shale laninae and silt bsJrcls are abunclarrt. Within the limestone are
rare thick lenses of grit and. sandston€o These harre been mapped. as a
sErarate member of the formation alor€ with the blue-grey sandstone
d.escrj-bed above. The grit beds, scme of wh:ich are n feet thick, are
coryosed of about 50 per cent fra6nents of cal,cite antl the rest of
felclspathic, vol-carric antl chloritic fragments. Near ttre top of the
formation a sandy lJmestone which is rides,pread., pas6eg into the non-
calcareous rccls of the Tramwqy Sand.stcnxe. J$9- Distribution
ancl
thickpess 0n the watershed. betrrveen the Wairau ancL Motuelca River systems
the Tlooded Peak Limestone is 1Ip0 feet thick and. limestone is by far
the don:inant member. ?he formation thins northward*g to less than 5OO
feet thick at 337799 and the lower sandstone member is also abcut 50O
feet thick. Limestone is absent jn the lvlotueka Gorge at 335BOB but
large linestone bl-ocks in the strem becl at 337812 probably ind.icate a
smal1 outcrop of lirnestone nearby. This has not been found. in situ. Rel
ationship
to
Glennie
Formatio-4
anct
mod.e
of
d.epositl_qn anct
mod.e
of
d.epositl_qn The contact between H.mestone and rrclcanics is in parb well
eo?osed and follows a broaclly sinuous cun/e (fig. n, P. 81 )
Penecontemporaneous sh:qr folds in tJre Li-nestone ane connon at the
basC of the formation Ihe li-mestone was clear\r deposited. on an uneven
and. un&rlati:rg surface on the volcanics i.n the first instance as slunps
of calcareous clebris'into basins in the sea floor and later as a thicls
accumulation of Lj:nestone. Ilaterhor:se (t95l+ n. 29) suggestect that the
Iimestone Hrqlresents a vast calcareous bank dsi.vecl from the steady
accumulation of broken shel-Is of A&ggg4ggggtt arril that tt...Depcition was
probably at shaLl.or to moderate clepths...n. The thinning of the line-
stone to the north suggests thst the bank nay harrc been discontirmous
as a series of reefs rather than a contitnrous bank
The attitucte of
the vollcarulcs near the cortact is para3-lel to that of tbe linestcre. There is no evidence howeve for a major erosion break between the two
gro.rps, but lt j-s probable that the cmtact i.s d,isconfor:nab1e. -50- Flg. 11, Shal.y lamina.tion 1n Wooded Peak
folding 6f ltmestone te shown by traeing
f
Limeetore o Stump
sueh lamination Flg. 11, Shal.y lamina.tion 1n Wooded Peak
folding 6f ltmestone te shown by traeing
f
Limeetore o Stump
sueh lamination over d.istanees of serreral yard.s. Flg. are
12. Autoclastic brecela
of black argllllte. ln Tramway Sandetone. Fragoents Flg. are
12. Autoclastic brecela
of black argllllte. ln Tramway Sandetone. Fragoents -5f- IRAMWAT SANDSIONE The nane Tramway Sand.stone is g'iven to that forrnation of
sand-gtone with interbed.d.ed. banclecl siltstones that overlies ttre Tlooded. Peak Limestone and underli-es the ]arninated. ar6'i11ites of the Greville
Forruation (Waterfrouse, 1959) . Fig. L J.
Fossil iferous Tramway
Sta!y,'e).eavage dips to the
narked by aligned. cavities formed.
of Atomodegma ehel-ls, dipe steeply
orTl@aph.
Sand.st orl€ .
left, bed.ding
by weatherlng
to the right Cont'ent 0n the ritlge betwem Maitland ancl Beebys Streans the Tramwqy
Santlstone cornpris eg3 -
Grevirld Formation lrar.inatect argi11,ites..... .. ... ... souttr
Norbh
rramwaY sandstone
:::-:":;:"" "*'il""..:::::: ,:. lI;
Fine grff-dark 1r€Y fossilif eroug
siltstone
2OO
- ft
Black sulphurous argil-Lit€.... ... 50
- ft
Coarse geen sandston€........... 10O
2OO ft
Thickness
1OOO 50O ft The fomati.on ttrins nortlmarct by lateral grradation into
laninatecl argillites of the Greville Fomation. The tqrnost sand.stone
is UthoJ-qgica11y inrtj.stinguishable frm ttre sanilstone nember of the
Greville Fcrmation and the lowest san dstone is lithological\r verlr
sinilar to tJre lowen sand.stone naber of the lfoodecl Peak formation but
both are nqpped ao Tramway by cldinition. -52- The section ctrt by the Xotueka Riven at 3r5ffi8 coprises:-
Oreville Formation La'rrl natecl arg:iLlites
Tramway Fomation
Fault
Gratled. betls 5-10 ft thick .. r. lilassivg grggn sandstong .. . o. . .. .. ... . . Blug-green sgndstone ..............r... Banclgcl silt and s€n d;stone .o. .. . o.. .. o . Coargg gre6r sand.stong .. .o.... ... ..... Bancled grgy argiLlite .....o...o.o.... o
100 ft
5OO ft
200 ft
200 ft
5O0 ft
2m ft
Perid.otit e
f In the abserrce of Ii-nestone, tlre whole of the section is napped. as
Tramwqy Sandstone. The latenal faeies change betwegr massive green
sand.stone, gracled. becls and. laminatecl argiLlLtes of the GreviLle Formation
is particularly weLl shown ln this section. The gradetl becls contain
intrafornationaL breecia of argilLite which forn elorgate flattenetl
fragnents up to 8 inches long (fig. 12). Theee tend to lie para^Llel
with long ances pitchirg scuth west ancl flattened. in the planes of
bedcling. Tlre gouthwest Lineation probab\y ind.icates dLrection of
transport. fhe Trannay Sanclstone is cmon\r fossilifeous,
containing abunclant fossiLs otr ttre PetuLa,n pelecapocl Atomodesna. The
finer grained. members cmonlSr have a well tlerrcloped sfatgr oleavage
(rig. 1r). -53- i! :t! Fig. L J. Fossil iferous Tramway
Sta!y,'e).eavage dips to the
narked by aligned. cavities formed. of Atomodegma ehel-ls, dipe steeply
orTl@aph
Sand.st orl€ . left, bed.ding
by weatherlng
to the right -5It- PetroRraphy A thin section ( No. 1}9ry) cut frcm the sand.stcure fraction
of tfte grad.ed. beds in ttre l,lotueka River section shms that the rocks
are moderate$r weIL sorted (grain size 1 mm. rangirg fron O.2mm. to
?rrm,.) "trA coqposed Jargely of zubangulsr fragments of spilitic
and. clolenitic volcanic rccks. AlterecL feld.spar is abr.rndant antl clino-
pyroxene, calcite and chlorite fragnents a:re cormon virile sub-rouncled. quartz grains make up l-ess than 2 per cent of tl:e rocks. lhe rock is
best d.escribecl as a lithic u."eoriie. The steel-blue sandstone is a tlryical nenrber of the Tramwa,y
Sand-stone Formation and. is d.escribecl by lYaterhcuse ( tg6t*) elsewhere ip
the Ne1son €Lrea. ft is poorly sorted but of sirrilar ccaposition to
the grad.ed bed.g. Thioknesg The Tranway Sandstone in the Recl HiL[ area vari es frm 5OO
to llOO feet thick, as d.escribed. above. 8,....e.1 ationship
to
Wood.ed. Peak
Irirpestone 8,....e.1 ationship
to
Wood.ed. Peak
Irirpestone nship
to
Wood.ed.
Peak
Irirpestone The Tloocletl Peak Irinestone gracles laterally into the Tramvray :
Sanilstone. This is mqst clear$r shcmn on the north end. of the nidge
between Maitland and. BeebSrs Streams. There it ls posei.ble to walk
along ttre strike of beit*ing planes f!.@ Unestone to Tranway Sand.stone. At right a.ngles to the strlke hwever, ttr€ ctrange appears to be abnrpt,
sandy linestone passing into Don-c&lcareous sand-stone within a distance
of a few feet. qF Uode
of
d.eposition Tfaterhouse ( tg5tf) suggested. that the Tramway Sand-stone was
cLE>osited at moderate clepth, probably sligbtly gtreaten than tJ:at of the
1i-mestone. This view is supported. by ttle evidence of facies change
between Ii-nestone and sandstone and betureen sandstone and. lminated
argillit es cles cribed. below. Content In ttre Recl Hill area ttre Grev:i1le Fmati.on contains three
facies; eLminant and charaeteristic la:ninateil argillites, a coarse-
grained. green sandstone, and a voLcanic conglmerate. lfatehowe
(ll&, p. 3D d.escribed. similar facies elsewhere in the Nelson Upper
Paleozoic Be1t. The coarse green smdstone facies forms large lenses whleh
grad.e 1atera11y into larninated. argillites, ancl has been malped as a
separate member. l4ratters (in Watehouse , 1964) has given the petro-
gaphy of several ttrin sections of this facies frm ttre Greville Fotmation
norbh of the Red Hill €Lrea. The nocks are felclspanquartz-, volcanic-t
and alteed. feLdlspathic- arenites. Sinilar rccks are present in the Recl
HiIL area. One rock (No. 1O9l+[) from 325850 is unusual in containing
a high trnoportion of calcite as cl"astic grains and. veins. It is a
calcareous arenite and is a mod.erately weLL sorted., coarse sanclstone,
with caLcite lO pen cent, lithic fragrnents l+O per cent (vobanio ancL
sedlmentary rocks in e4ral abr:nclance) and. felitspar 1O per cent. Fragnents of quartz , chlorite and qt idote are acc es sory. -56- The conglonerate member was studiecl in d.etail because a
petrcgraphic d.escription of these rocks has not been previously
publishecl, The conglmerate is large\y massive but well d.efinecl
bed.ding and gracting is widespread. ft varies fro a coarse cobble to
a pebble conglmerate with a sanff matrix (fie. 1b). It is erposed. in Harvey Strea.n anil has been traced. santlward for 1 mile to the
Motueka River vrhere it thins out,
Large bollders of conglomerate in
the lorer part of the Motuelca Rlver suggest that anotl:er lens nay be
present ftrrttrer sqrth but that has not been found, in plaee. By far
the most cqrunon rrcck t54re in ttre cobbles and pebbl-es of the conglmerate
is a Ereen, porph5nritic volcanic r.ock, but also presemt are fine-grained. marble (or,ly one smaLl pebbIe found) and. rare seilimentary :rcclis. Several ttr-in sections of ttre porphyritic volcanic roclc were stuclied. All rpcks are consiilenably altered., the feldspar to alhite, punpellyite
artd/or calcite; the natrix to punpeLlyite and. chlorite; and. the ferro-
magnesianis nori represented. onLy by pseud.morphs of second.a;r5r minerals. Hcnvever the original texh;rne is well preserved and. id.entification of,
ttre volcanic rocks must tlepencL almost who1Ly on textr:re and. reLative
proportions of felsic to fenic phenocrysts as the original cmposition
of the minerals is lost by metamorphism. Content The conglonerate member was studiecl in d.etail because a
petrcgraphic d.escription of these rocks has not been previously
publishecl, The conglmerate is large\y massive but well d.efinecl
bed.ding and gracting is widespread. ft varies fro a coarse cobble to
a pebble conglmerate with a sanff matrix (fie. 1b). It is erposed. in Harvey Strea.n anil has been traced. santlward for 1 mile to the
Motueka River vrhere it thins out,
Large bollders of conglomerate in
the lorer part of the Motuelca Rlver suggest that anotl:er lens nay be
present ftrrttrer sqrth but that has not been found, in plaee. By far
the most cqrunon rrcck t54re in ttre cobbles and pebbl-es of the conglmerate
is a Ereen, porph5nritic volcanic r.ock, but also presemt are fine-grained. marble (or,ly one smaLl pebbIe found) and. rare seilimentary :rcclis. No" 1@l+5 A porplrynitic pJrroxene and.esite. E\-rhedral, altened
plagioclase occurs in tno generatlons as lfrrrma tahrlar ogystal-g ancl
as $0s,L1 elongate l-athsr Fm,. in gize. Thee is a weak\r tlefinecL
paralJ.ellsn in tlre crystals. Chlcite and calcite pseudmor?hg R-' Fi g. 1/i. Igne orrs congl onera.te frorn the
Greville Formation, Fi g. 1/i. Igne orrs congl onera.te frorn the
Greville Formation, -58- (prrcbably of pyroxene) have short, str:mpy' prisnatic and. equictjrnensional
octagonal cross sections. lTith this interpretation the proportion of
pyroxene to feldspar is about 123 suggestive of an and.esite rather than
basal t. An alterecl hornblende andesite. It has a
porphyritic texture with euhedra] 3rm . pla6ioclase crysta-ls naking up
l1o per cent of the rock and eutred.ral horriblencle 15 per cent. The
horrrblende is novr represented. by pseud.morphous finely div:id.ed. hematite
and. chlorite but the characteristic lozenge and. prisnatic sross section
are well preserved. (*ie. 15). The grrcundnass is of finely granular
chLorite and. calcite, pumpellyite is absent. No. 109_l+7 A fine-gralned volcanic rock with a felsitic
te:rtr:re of rznd.oml-y orimted. sralJ- acicular laths cf feldspar ix a
matrix (:O per cent) of finely d.ividetL sphene, pumpellyite and chlorite. No, 10ol+B A meclium-grained. igneor:s rock with subliedral
cliopsirtic augite 35 per cent, subhedral tabular felclspar W per cent
and a chloritic matrix 15 per cent. Sphene surrcr.rnd.s relict oPaque
grains and occurs as fine-g:rained, aggfegates in the natrix. The sedinentarlr roclcs d the conglomerate pebbles are
precloninantly green sand.stone, ancl red and green LminatecL argillites. These rccks are littrologically verXr si-Bilar to rocks of the Pelorous Group. Content -59- .ol
F{
hi
CG
cO
'rl
S
rCJ
E.-lC
E+
O(!Otr
mlcc'
coaEi
r:\3O0:
Xroc. or o
+-'
Ea>)
G'
.-l
Co0rb*
.ri
ftOP{C
F{ptr
CcCI+-
El+>r-o
(t. OJ-
>r
#c0L
./cho
.t-
rU
)-. 'a
Fl
ff
V:. .rl
f\
S
.r-l
H\J(LOLrA;
A<
>-
+'F
r-Cfu
\o+{Utr
,Ad
v
rQ.d
b0ill.-c
.A
.d
Fi
S. -rz,
O .ol
F{
hi
CG
cO
'rl
S
rCJ
E.-lC
E+
O(!Otr
mlcc'
coaEi
r:\3O0:
Xroc. or o
+-'
Ea>)
G'
.-l
Co0rb*
.ri
ftOP{C
F{ptr
CcCI+-
El+>r-o
(t. OJ-
>r
#c0L
./cho
.t-
rU
)-. 'a
Fl
ff
V:. .rl
f\
S
.r-l
H\J(LOLrA;
A<
>-
+'F
r-Cfu
\o+{Utr
,Ad
v
rQ.d
b0ill.-c
.A
.d
Fi
S. -rz,
O Fl
FJrd >r
O, -1
.c
c\
3'
.-l
. G-A
.c
CIOrr. .di
o'=*si
o' o,
F-
'rd F{ tr
g0/
fi.+o
F4
+
O
Q,
.-{
-d+
CcU
4.,jrE
r-rFrO
S'fijs
CE
h
\-/
td
oor
ito+a.aq,
rSS
rf\ c, .r{
t{r-i.E.co
rfid,l
A0L'rr_
.F{
O
.F{
F.,cd
-60- Fl
FJrd >r
O, -1
.c
c\
3'
.-l
. G-A
.c
CIOrr. .di
o'=*si
o' o,
F-
'rd F{ tr
g0/
fi.+o
F4
+
O
Q,
.-{
-d+
CcU
4.,jrE
r-rFrO
S'fijs
CE
h
\-/
td
oor
ito+a.aq,
rSS
rf\ c, .r{
t{r-i.E.co
rfid,l
A0L'rr_
.F{
O
.F{
F.,cd -60- -60- ReLationship
to
the
Tranwav
Sand.stone The lminatetl argillites in tJre loner part of tire fomation
grad.e l,atenalJ.y into Tranway Sand.stone, but nost of the Greville
Fomation is younger than the Tranway Sandstone. DistJibution
anct,thickness The Greville Fonnation foms a gent\r arcuate belt on the
west sid.e of the na14led. area (see geological map) . Tlre r'ocks &ip
unifomly steeply west, but maIL as5metric zig-zag folds with an
amplitud.e of about 1m feet a^re common in ttre upper part of the formation
Tno such folds are well e]T)osecl in the Motueka River at 325850. Thei.r
arcial planes, dip at about 600 to the east, para3-lel to the arial plane
of ttr e Nelsm syncline (p. 11 ) . Because of the unlarcmn extent of foLrling the thiclmess of
the Grev:i1le Fcomation carrnot be measured aceuratellr. The tlr-ickness
between forniation bornd.aries in tJre utrrper part of Beeby Streem is about
63Co feet and. tJle stratig::aphic thickness is there estinated. at between
IOOO and 6OOO feet, probably of the order of 5000 feet. ReLationship
to
the
Tranwav
Sand.stone WAIIIA TORMAIION The $Iairra, Fomation was mt studied in detail. ltre bcundary bertwesr
it ancl the Greville Formation was taken as the western linit of the
nalped. area. As elsenhere (Waterhouse, 19611) it consists prrecloninantl;r
of laninaterl recl and. gney argiflites but a coarser facies of a speclcled
red dntl green sand.stone is ercposed in the tr[otueka River at 3n855. -61- AGE OF THE ITATTAI GROUP The age of the Maitai Grcup is
rvtro gives a Ytazanian age fc the TIood.ecl
Forratiors o
discussed by Waterhouse (tg6+)
Peak, Tramway and Greville Forratiors o TORI,ESSE
EROUP The name Tqlesse Gnoup was formalLy proposecl by Suggate,
(lggl) for poorly f ossiliferous, non-schistose gre;rwackes and. argillites
that 1ie to the est of tj:e schi.st belt in the South Islancl of New
Zealand.. Ihese rocks have been earlier d.escribed. as uncLifferentiatetl
greSrwackes (erinatey, Harrington ancl 'Wood., 1961) o* Alpine Facies
(weunan, 1956). In tJre Recl Hill area the Torlese,Group occur to the scnrth as
a monotonous suc cession d be ds of r edepos ited faci es. Generally,
the rocks are grey to greenistr-grey grrywacke sand.stone ancl dark grey
argl11ites. Gra&ing and nicro-cross-stratification are widespread. hiicroecopical\y the rccks a:re poorl-y sorted. arrcl oomposecl of
f
a"ngular Jragnents of quartz, microcline antl plagiocLa.se. A typical
exmple, No. 'l}9l+9 is a quartz-f eldtrspathic wacke sandstone fron l+63759. The natrix (fbagpents less than 0.1m. irl size) constitute lO per oent
of tlre rock. The large fragments range up to 1.5mm. but nost are in
ttre rmge 0.5 to 0.75 rtro Of these, quarbz predoninates (tp p"" cent
of the rock), microcline (to per ceert), pbgioclase (5 p"" cent)
and. accessory sphene, biotite and. mugcovitet
Incipient -62- recrystallisation of ttre rnatrix is shown by the weak develotrxnent
of pr:npellyite and. vei-nLets of pretrn:ite. Quartz veins are rare in
the Torlesse Group. A few uiles east of, the mapped. area, a lens of fossiliferors
li-nestone occurs in ttre TorLesse Grarp. (L"naen, persr corrnl)
The
fossil-s have not been d.efinitely id.entified. but indicate a probablg
Triassic aBB. Although of si-nilar clepositional envirorment, the Torlesse
Gnoup d.iff ers fro the Pelon$r Grorp in age and provenance. Rupel\yite ancl epidote are the usual metaqhic minerals of the
Pelonrs Group whereas pwpel\nite ancl prehnite are the charactenistlc
minerals of the Torlesse Group in the Recl ItiIL area. Also, in
general, the rocks of the Pelonrs Grcup are more altered than the
Torlesse Granp. Tlheneas ttre Pelorus Grcup is dertvecl frcn basic
volcanics, the provenance of the Telesse Grcup, as jndicatect by
microcline, sphene, biotite and. an abundarpe of quartz, is probab\r
gra^nitic. In tliis respect the TorLesse Group of ttre BecL HiIL area
is si.rnilar to the lfesozoic grqrwackes and argillites of We]J-ington
(Reed, 1g57). -53- AUATERNARY
DEPO SITS AUATERNARY
DEPO SITS The geological nap of the Ret[ HiIl area shms two tSpes of
Quaternar3r d.4osits; river gravels a^nd. moraine. River gravels cover the Wairau va11ey bottom and. extencl
several hundreds of feet up the nalley walJs. Aggradation terraces
of several a€es a.re pnesery€dr.ttre highest of which is about four hundre
feet above the river. Some river gravels contain interbeclcl.ed consoli-
dated. siLtstones which dip at about 2Oo. These are probably nid to
early Quaternary in age. 0thers atre superficial recent deposits. Small areaa of rnoraine cover parts of the perid.otites of the
Red. Hill Ultranafic Conplex and. are evidently ttre remains of the more
extensive sheet that d.eveloped. chring Quaternar1r glaciations. Most of
ttte moraine is comtrnsed. ertr5re\r of rornd.ed. ancl subangular boulclers ard
pebbles of unserpentinised. penid.otites set in a very poorly sorted,
strongly cmented. matrix. (nig.15). The cement j-s thought to be
serpentine developed throrgh weathering of ttre matri:r. This is because
x-raf, cliffbaction patterns of the natrix harre revealed only serpentine,
but it is possible that 8 non-crystalline morphans material nay also
be present. The patch of meaine st ,567W is composed of angular ancl. round.ed. fragnents of l-inestone, fossiliferous smdstone and. argillite
of the Maitai Grot4l. It occurs 1200 feet above the Ilh,irau Rirrer and. was
presunably tmnspeted. at least a mile and a half fbcm the nearest out-
crop of ttre Maitai Grorp to the east. -64- -64- DUN [IOUNTATN
UI,TRAUAFTCS DUN [IOUNTATN
UI,TRAUAFTCS Drn Mcmntain Ultrmafics is a r€Ine usecl, ttrargh not formally
clefined., by llaterhouse (tg5t-) for the nqj or sheets of ultra.nafic rocks
in the Nelson Upper Paleozoic Belt. The snaller concordant sills and. bodies of ultraroafic nocks, ctistinguished by hj-m from the Drn Mountain
Ultranafics, are irnlud.ed. as members of ttre one or other fomations of
ttre Lee River Gro.rp. fn this thesis the name Drn Mqrntain Ultranafios
is appliecl to aIl, ultrenafic rocks of the Nelson Ultrarnafic Belt,
regardless of ttreir fmr or size. fn this sense, rD:n Mountain
Illtranaficgr is a teru recognising regional association and distinctive
lithologr of nappable igneous rcck masses. The tem has the sae
significance as tFmationr and. rGrcupr in stratigmphJ'. The Dnn lflountain Ultranaficg in t]re Red ]IiII ar€. comprise rocks
of ttre Recl Hill Gomplex and. numercR.rs soalL bodies that are distnibutect
wictely thro.rghout the Lee River Group ancl to a lesser extent, the
Mait&i Group arrl referrecl to as the Mine Intnrsions. The Dfiinor Intnrsions ar€ coqFo]sed of serpentinites or
serpentinisecl peridotite.*
The rock types of the Ultranafic Cmplex are nuch more varied.. Serpentinites occt.r at ttre margins of the
Complex and partly serpentinised. peniod.ite is cormon but most of the
rrccks are fresh and. unserpentinised.. Harzburgite, contain:ing about
20 per cent orthog>yro(ene and. subord.inate cliopside and spinel is the
predoinant rock ty?e and &rnite is the next rnost comnon. Other rtck
types are pyroxenite, wehrlite, therzolite and. felctspathic peniclotite
(fetaspar constitutes about 2 to 5 per cent of the rrcck). High\y
feltLspathic rocks, eucrites and anorthosite veins also occur but their
extreme larity makes it possible to refer to the rocks of the whol-e
Conplex as ultra^nafics. Tthsr referrirg specifically to feld-span-rich
rocks the term t gabb::oic t is used.o MINOR I}.IIRUSTONS Ultramafic rocks in orogenic belts characteristically occur
as smal1 concord.ant lentj-cular intnrsions. Benson (t926, p.59) wrote,
ItIt is very clear from many instances we have describecl how co:rectly
are the basic and ultrabasic rocks d.escribed. as conced.ant "itlu in
dislocated. mcuntairs.. .tf
More recsrt work shows that it is also
corutron for the ultrarnafic rocks to occur a,s highly sheared., slickensided
bod.ies crosscutting ttre eurclos5.ng strata. Taliafferro (lgp) obsernred. urany such bod.ie in the FranciseareKnowville rccks of California and
concluctetl that sme serpentinites had rmwed, generally upward., lorg
after consoliclation as a cold, probably rattrer plastic nass lnto the
crest of folcls or along faultg.n (op. cLt.r p. 1O2). &rylacenerrt in
ttris manner was oalled. by hin cokl intmsion and was clistirguished fnm
rorclinary intmsionf which involvect nhplacenent of t}le igneor:s rocks -66- as a magrna rising frcn ttre clepths in a molten or p1astic state...tl
( iUia. ) . ColcL irrtnrsion is a wld.e\r acc epted. nechanisn of eurplacem ent
sd, as Hess (lpSil pointecl out, cmplicates dating ttre initial
€m-
placement of periclotites. Long after initial intrusion, serpentinj-tes
and. arly involved ultramafics nay move upvard into younger over\ring
strata, and in the absence of arry critenia to dj-stinguish rcold.r frm
r ordlnaryt intmsiors the ul,tranafic rccks r &s a wholer n4X app ear
younger than they are. Marg:ina1 fzuLting ancl internal shearing are insutrficiesrt by them-
selves to distinguish ultraraafic colcl intnrsions because it is to be
oqrected. that r ordinaryt irrtrusions may be aJTected. by post-fltplacement
defotmation g'iving si-nilar featarres. High tenp,erature contact
netanorphim, if present, world inclicate an tordinatyt as opposed to a
rcoldf intnrsion but such contacts are rare or unlcncrwn for salIer
Alpine-tyTe uLtna^nafic boclies. Chesterran (tyeO) ha.s ctescribeil a
mineral- asssnblage of the gl.arrcophane-schist facies in gre5rwaclces ad-
jacent to sEaIL serpentinit e sills. Ihe develop,nent of the assob 1a6e
is attributecL to thsmal metmorphism, but Coleinan UgAl) ascribect
similar nineral assmblages to 1ow tenperahrre - trigh pr€s$rd meta-
scroatism, ed the intnrsion cjf the sil1s as a hot magna cannst be re-
gard.ed" as proved.. Conversly, tlre absence of a high temperature cmtact camob be
regard.ecl as proof of rcold.r intmsion. Coleman (in press) descr{.bed
in d.etail 1ow teoperatnrrre contacts of, the ultranafic bod.ie in the Nenr
Zealand Upper Paleozoic ancL cle&rced. frm this, tqether with the -67 _ I
{*t
)*t"l-* Fig, 18. Peridotite breecia. Round.ed
of unsheared serpentinised peridotite
serpentinite. MINOR I}.IIRUSTONS 'I'his occurs ag a ta.bur
and severa.l hrrnclred yard.s 1c_rhg s.nrl is
of peridotite al ons p fault. to subangular fraguents
in a. matrix of sheared. er body, 10 feet thiek
prohably a I cold. intrusionl
tt\ tt\ extensive marginal fzuLting of the bodies, that the ultramafic rocks
were aplaced- as r cold.r intmsions. Subsequent\r, Challis (tg6,5b)
recognised. high tenperature metmorphi.sm on part of the contact of
the Recl Hill Conplor. A sinilar contact is d.escribecl later in this
thesis (p.8t ). This ind.ieates ttrat the Conplex vras *try"{u
a
ver1r hot body . ,/./
/ /
The wid.th of the contact aureole of the Red HiIl Ultranafic Com-
plex is only about 5OO feet (p.82) otd probably the contact anound. sr:nal-ler bod.:ies lra.s proportionateLp' less. Thermal metanorphism affacent
to thick dol-erite sills is commonlr limitecl to within a f q inches of
the contact and if this relation is true also of ultranafic intmsions,
it is possible that arty high teruperature effect was so small as to be
readily obliterated by farlting. Therefore, althotrgh sone concordant
ultranafic bo&ies may have been mplaced into their present position
by rcold.t intmsion, evid.ence of shering or the absence of a high
tmperature contact is not sufficient to recognise them as such. The onLy ultramafic boclies which nay be reliab$r interpreted. a.s
f cold.r intrusions, are ttre sheared. ancl sli clcensidett bodies occupgring
fault zone s d:iscordant t o the surrouncling stre ta. I Cold.r intrlsions
of this Qrpe are conmql in the highly d.eformed. nocks of the Gorit For:nr-
ation north of the Recl HiIt Compl-ex and. in the brecciated. fa.rlt zones
wluich cut the Maitai Gnoup. They are shown on the Geological Map by
the Letter rSt. Those ur:Lthin the lfaitai Group are ccmnonly wal1,
isolated bodies only a fm feet in length surround.ect by fault pug but
some occur as large lenticular bodies like that in the fault exposecl in -69- Porbers Strean. that bod.y is a,bout B feet wid.e and. at least JO yard.s
1ong. Porbers Strean. that bod.y is a,bout B feet wid.e and. at least JO yard.s
1ong. 1ong. Serpentinite in ttre Maitai Gnoup invariab\r occurs in fatrlt
zorEs. t0old.f intmsion appears to be the onLy reasonable tgpothesi s
to account for their presffice. The serpentinites are probably d.erived
frm periclotite enclosed. vrithin the Lee Rlver Grorp uncler\ring the
lda{ta:i Group. MINOR I}.IIRUSTONS The clate of enplaeaent of the tcoLd.t intnrsions i-s
not considered. relevant in d.eternrining the age of the ultra^nafic rrccks
as a whoIe. A large scale nap of a s,rall area near l,lt. Ellls (nig. 17)
shows both concordant and. transgressive ultranafic I'linor Intnrsions in
the Goat Formation. It has ben necessatTr to exaggerate their width
in ord.er to shor thm on the map (flg. 17) but their general lentisuLar
fonn is still evidsrt. The transgressi.ve intnrsions are both more
nunerous and individually largeer (ZO feet thick) than those in the
I,laitai Group. Some have been traced. for mone than haLf a mile and. usually thin and. tlnicken throughout thei.r length. Unlike intnrsions
of the Maitai Group tkrey are cmposed. of serpentinisecl periilotite
rather than serpentinite. Comraonly the intmsions are highly deforred. Ttrith serpentinisect perid.otite preserved. only as blocks jn a matrix of
sheared. sepentinite (fig. 18). T7ilkinson ( 19fi) described similar
serltentinite breccias fron Queenslancl which are interpreted by h:fun as
fault fissure intnrsions of peritlotite which have been laten tisnrpted. by movernent on the fault. The faults along which many of the
serpentinite breccias a:ne found. in the Goat Fmation (sueh as that of
figure 18) are thought to be much ycunger (Upper ltresozoic) than the -70- jr
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(L -71- initial period of oplacaent of the ultramafic rocks (Per:mian). The breccias are ttrerefore thought to be f eolclr intmsions of
serpentinite which carriecl large blocks of penldotite into ttre fault. SeveraL concord.ant, lantieuLar bodies of serpentjnised. perid.otite occur in the napped. MINOR I}.IIRUSTONS area of figune 17. They are conmonly
shearecl but this is consistent with the general d-eforuation that caused-
the developnent of slaty clearrage in arg:i11ites in surround.ing strata. They are composed of serpentinised periodite which occurs in large
massive bl-ocks separated by only thin shear zones of serpentinite. Contacts are invariably sheared. No eviderce of high temperatul=
contact metmcrphism has been forrnd btrt rnarginal cliscolouration of
affacent sediments and- volcanics inteqpreted. a^s lcriv temperature meta-
sonatist si.milar to that at the contacts of the Red, Hill Cmnlex is
ugual, Transgressirre intmsions have not been described. elsevltrere in
the Upper PaLeozoic. Tlatenhouse (tg6+) describes many instances of
concord.a,nt bodies ancl it is possible that ttre bansgressive intnrsions
of the Red HilL area are colnnon only because of ttre strong d.efomation
and. fold.ecl stnrctur"e of the nccks in that area. -l2- RED HIII
UITRAIIAFIC
COUPI.EX RED HIII
UITRAIIAFIC
COUPI.EX The name Red. HiLI ULtranafie Complex is given to the body of
ultraafic ancl geneticalJy relatetl rccks that occurs between Mt.Glenni.e
and. the Wairau Far:lt. The Complex is considenect to be a thick and. teotonicall;r wid.ened. part of an eoctens ive singt e sheet of ultrarnafi c rccks (p. 13 ) ttrat
extend.s northlvartls at least as far as Dun Morntain (Uo Zealanct Geolog-
ical Sr:rvey, 1 :2JO TOOO nEr sheets, Nr:rnbers 14r1964i 16 rt96Z) . fn the Rec[ ]1111 area the sheet outcrqrs norLh of Mt. Glernie as
a belt of r'ock about 2000 feeb vricle in the headwaters of ttre rigbt branch
of the Wairoa River (Geolog:ical IIap). D-re to poe elqposure and. diffi-
culty of accesa, this part of the ultnanafic sheet was not eccaired. cloeeLy but Ls clearly ghcmn in aeniaL photographs. It is, hcrneve,
weLl erposed in a section cut by ttre left branch of the ltlairoa River,
a nlle north otr ttre napped area. There, the ultrmafic nocks, abcut
,OOO feet thick, are oarposecl of partry serpentinisecl trarzburgite which
ig, in places, weak]y foliated. oar.rsect by paralIeI. pLanar aggregatee of
orthopyrocene gzaLno. The narglns of ttre sheet sre sheared ancl clip
parallel to aQacent bedlt{ng ln the Lee River Group. Internal faulting
is nldespread., but large blockg of unsheared perd-dotite, several ahains
wid.e ere cormmo fhe sheet is aleo orposecl in the Lee River about six
niles to the norttr of tJre Wairoa &lver ancl bas been nqpped by Watertouse
( tgSt*) . -7 3- The Retl Hill- ULtrarnafi-c Complex covers &B.B square miles ancl. aecorting to grravity d.ata (Uatatrotf, 1.!63; and late d:iscussion p. qo)
it is at least a rnile and. pnobably a^lnost two ruiles thick. The Complex
is clividecL into two lithological units named the Basa1 and Upper Zones. Only the Basal Zone is shovvn on ttre Geologica-l Map. It consists of
rnassive non-layered harzburgite ft'hich has a strongly d.eveloped. prcto-
clastic tercture. The Upper Zone, whidr covtrs the roaind.en of the
Conpleoc, is cmposed of layened. and foliated. rocks of variecl composition. Harzburgite, dr nit e , and eucnite are pres ent , together w:ith rrei ns of
p;rcoxenite, anorthosite ancl pods of ctrroudte. the tems rBasalr and. tUpperf atre derived. fbm the relative positions of the two zones. RED HIII
UITRAIIAFIC
COUPI.EX Basal Zone rocks occur near ttre northern and eastern contacts which
from stnrctural consid.aations (p.88 ) """ consid.ened. to be at the base
of the Complex. Upper Zone rocks cover most of the area of the Cmplex. The Complex is cut by nrmerous clykes callecl the nafic {ykes eomposed. of
intemecliate or basic plagioc1ase, hornblende, ortho-, and clinopSnroxeneo
The $dcee are clense black rccks, which cut across ttre layering of the
penictotitee and. are closel-y paralLeL over the whole of the Conplex. Th
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i The petrolqgr and. cletailed clescripti.on of the pericLotites,
senpentinites ancl gabbrcic rocks of the Conplex, anil ttre intnrsive rnafic
Srkes, is givm l.ater in ttre thesis. Hers a general claseniption of the
relationship of the Cmplor to gurrcrrnd.ing strata is gJ.ven. -74- The
Marsinal
F.ault fhe contact of ttre Cmp1ex urith tJre errclosing rccks is
nearly eve3rwhere marked by onrshed and sheared, serpentinite in a
zone here called the margixal farrtrt. The only excqltion occurs near
Maitlancl Strean (at 5t€760) where masgive senpentinised pericLotites
are in direct contact with netaorphosed volcanLcs (p. g | ). At
that point a 10 fosb w:lcle silL-Iike borly of sheareil serpentinite,
about 20 yards fron tJle contact, is thought to mark the contintration
of the narginal fault. Cnrsheal serpentinite is easiJy eroded., but setS-nentary rtcks
nea^r ttre contact are usually strongly inctrrated. antl ver1r resistant to
erosion. Cqrsequently at ttre oontact of the CompJ-ex (against
seclLmentargr rcck) a broacl as5rnmetr{-c tranch sumcuntecl on one side
by kno1Ls of sand.,stone or argiLlLte (Cig. '',.9 ) tr"" derrelopecl. Volcanic rocks on the other rnncl, are comparatLvely easi\y erocled
and. the narginaL trench l-s broacl and the contact cl.efined. only by
vegetatl onal o crtralt. GroupE -,
Uoital anrl PelT* Groupo are in dlirect contact ulth the
Gmplex Ln a few pLaoes but norhere clo ul,tramafio moks cut intor o? clevelop high tenperahrre smtacts Trtth ttrese rocks. fhe abs€nce of
Lee nive Group rcoks at tlrese places ls ascr{bed to post-enplaoement
faultingt
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t-t -76- Meitai rccks are in contact rrith tJre Coplex for a short dis-
tance north of the right branch of the Motueka Riven (at 5588t0) ancl
thene it is evid.ent that the Glennie Fmation has been far:ltecl cut by
the conjunction of the nargnal fault with a splinte fault. Ilovaent
on ttre splinter fault shmn by the dispJ-acement d tire 'franway/Grernille
bornclarXr, indicates an qparent dovrnthrcn clisi-1.r,.g66stt1 to the west. ltie El1is Bault between Peloms anu Iree River Grcups cuts into
the marg:tnal fault at l+288ff., and accounts foi the cEsalpearance of the
Goat Fo:mation to the east. The lfard.s Pass Fault probably follows the
eastern oontact for some distance fncm the north-eastern corner of the
Compleoc and. the only rocks of ttre Goat Fomation that have been preserved. ocgtr in a saLL area to the south. Thus it is 1ikeLy t&at the Cornplex, before faultingrwas mtiregr
surrotrnd.ecl by Le Ri.ver Gror4l rpdrs and. was generally cornordsnt with
reqpectto the Maitai ancl Pelorue Gro4ls. At hm Mcmntain Laud.er (1g6il believes that the ultramafic rrcks
intntde and. are ycunger than tJle basaL MaLtai rccks. In par:bicular he
shows in his i&*lised. col.rnn the Dun Ultrabagics as ertting
Rangitoto Marble anct intnrcting the Rangitoto Grqrwaclce (fie. GroupE thesis or fig. 3., p. 8 Laud.er, 1951. This relationotrip is
on tlre geoS,oi.oa1 nap (Uuaer, 1965. rl*g. ,+). aonoss the
1a, p.i+this
not eviCent Ihe nature of ttre base of the Xaitai Rookg in the Dun Morrrrtsln
area has been ctisqrgsed by Tfatertsuse (lgSg) wtro suggests that nap cla.ta
are oonsietent with either faulttng, non-deposition or asd.nilation by
the ultrmaficg. Non-dgposition ls eninent\r reasonable gince on -77- I
Lautterb Map the Rangitoto Marbl,e thins rryidly norttrwaril of I[oocletL Peak
and nay lens out. Laucler also gives a clescription of severaI altered
rocks nmr to the contact of the Maitai Group with the serpentinites. One of these iles erves sp ecial msrtion. It is clesoribecl as a prehruite-
cordierite-chkite-sphene rcclc ancl i.s oqrsidenecl to have probab\y foamecl
frm greSrwacka The presence of cordierite suggests that ttre rocks nay
have been therual\r metanorphosed. dc high temperatures but it is by no
means olear whether tJre parent rock ig of l,iaitai age. Lauden states with
reference to these rccks (p. 27) tTrlost of these rocks are sj-roiLa"r to
those proclucecl. by metascrnatisn and metanorphim of, l,ittle [\rin Spilite
ancl it is difticmlt to say rvtrethe tJ:ey have been clenivecl fro uarble,
greywacke or voleanic noeks particularly as relations are cmrplicated. near tlre contact antl as no urmeteraorphosed. nocks &re pnesent near bytt. If ttre parent rrck were of Maitai age and. tJle aorclierd.te unequivocal$r
cLefiniti've of high tenperature metaorphisn ttre age of, intnrsion woulcL
be establishecl aa post-1,[altat. But t]rere is only one e:cample of cord-
ierite rcck ancl ttre age of that rock is uncertaln. The other contact
roclcnentionerl by Laud.en €chlbit relative\r 1ow terrperature asserdblages
(colenan, in press). I
Lautterb Map the Rangitoto Marbl,e thins rryidly norttrwaril of I[oocletL Peak
and nay lens out. Laucler also gives a clescription of severaI altered
rocks nmr to the contact of the Maitai Group with the serpentinites. One of these iles erves sp ecial msrtion. It is clesoribecl as a prehruite-
cordierite-chkite-sphene rcclc ancl i.s oqrsidenecl to have probab\y foamecl
frm greSrwacka The presence of cordierite suggests that ttre rocks nay
have been therual\r metanorphosed. dc high temperatures but it is by no
means olear whether tJre parent rock ig of l,iaitai age. Lauden states with
reference to these rccks (p. 27) tTrlost of these rocks are sj-roiLa"r to
those proclucecl. GroupE by metascrnatisn and metanorphim of, l,ittle [\rin Spilite
ancl it is difticmlt to say rvtrethe tJ:ey have been clenivecl fro uarble,
greywacke or voleanic noeks particularly as relations are cmrplicated. near tlre contact antl as no urmeteraorphosed. nocks &re pnesent near bytt. If ttre parent rrck were of Maitai age and. tJle aorclierd.te unequivocal$r
cLefiniti've of high tenperature metaorphisn ttre age of, intnrsion woulcL
be establishecl aa post-1,[altat. But t]rere is only one e:cample of cord-
ierite rcck ancl ttre age of that rock is uncertaln. The other contact
roclcnentionerl by Laud.en €chlbit relative\r 1ow terrperature asserdblages
(colenan, in press). -78- REI,ATTONSHIP TO THE Tffi R]VTR. GROTJP Apart frcn local transgressive contacts which can, in nost
caa es be as cribed. to clisp lacen ent cn najor splirrter feul ts ttrat pas s int o
the narginal fauLt, the Cmplex is essentially concordant with respeet
to the Lee River Grorp. But on the western margin of the Cmplex a
transgressive intnrsirre contact is weIL displayed. [he sed.:i-mentary
member of the Glennie Formation is onty found. irr, and norttr of Porters
Strearn; to the south, volcanic or metmorlfiosed volcanic rccks rire in
direct contaet with ttre Conrplex. Tbe restricted clistribution of the sedlimentary member cannot be
e:cpla-ined by faulting. The volcanic rccks in ttre vicinity of the
Maitland. Strem are in direct cmtact with the Complex and because of,
the themal metanorpLtjsm d volcmic rocks the sedj-mentary roeks nust
have been absent at the ti-roe cf intnrgion. lbo possible e:qllanations may be put forward to erplain the
absence of ttre sedimenta:qy member in the south of ttre area. (") The westesn contact of ttre Complex is a trarugressive, in-
tnrsive contact. The ultrmafic rcohs lntnrdecL at Least
part of the Glennie Formation cutting a.cr6 I ttre seclJmentary
member. Thl,g ll4rothesis carries the inplication that high
teoryerature metamorpluisn presunabl;r clerelopetl over the whole
nargin of the Conplor, has been faulted out in ttre north of
the western oontaot. (") The westesn contact of ttre Complex is a trarugressive, in-
tnrsive contact. The ultrmafic rcohs lntnrdecL at Least
part of the Glennie Formation cutting a.cr6 I ttre seclJmentary
member. Thl,g ll4rothesis carries the inplication that high
teoryerature metamorpluisn presunabl;r clerelopetl over the whole
nargin of the Conplor, has been faulted out in ttre north of
the western oontaot. (t) It is poesibLe that the uppemost volcanics of the Glennie
Fomation are yanngecr than the ultramafic t€cks. If Bor then
-79- (t) It is poesibLe that the uppemost volcanics of the Glennie
Fomation are yanngecr than the ultramafic t€cks. If Bor then -79- the sedimenta:ry rocks roay a-1so be yotrnger, and were perhaps
cLeposited in restrictecl. ba^sins sqlaratecl by elevatedt bLoclcs
of, netanorlhosed. volcartics. Later, the metamorphic and. sedimentaty rocks riere overlaid by fttrther rrolcanics of
tJre Glemie Fomation. Becarrse ttre gedimentary rtcks of the Glennie and. Goat Fornations
are lithologically sjsilar (it the case of (t) it would be ocpected. that the two wanld be consiclerably differert) the fi.rst erplanation
is prefered. Concord.ance
of
the
Red
Hill
Complex The thiekness of strata cut ch.ring intmsion neecL not be greater
than BO0 feet to acoount for the present distribution of ttre sedlmentary
mober of the GLerurie Forroation. This is saIL in comparison with the
scale of intrusion ancl total thickness of the Lee River Group. Thus
despite the ninor transgresslve west ern contact, tlre Cmplex is essent-
ia1Iy concordant with reqpect to the Lee River Group; the Goat Fetation
strikes parallel to the contact diene it is ad.Jacart to ttre Conpl-ex ancl
the sh€et volcanicg of the Glennie Fomation, folmd only to the west of
the Complex, are also reg:ionally para3-1e1 to the contact. The argrment for concordance is strmgthenecl when the whole of
the Nelson Ultramafic Belt is considerecL Frm Df Unrille Islanct to the
Wai.rau FauJ-t, a distance of, more than BO niIes, ultrramaflo rccks oocur
enclosect witlrin the l.,ee trLiver Branp (f:S. 1). As in ttre Recl HiLl arrea,
Mattai ancl Pelorus Oroups are in contact w:i-th the ultrmafic rocks in -80- various places but novvhere with a possible eeccqrtion d.o the ultrmafic
rocks cut either of, the tmo Grurps. The regioual concord.ance is of
inportance in cl.echrcing E3e of aplaceroent ctr the uLtraafic rccks
as well aa srt4portirg the oontention of essentiaL concordance of the
RecL Hill Conploc. The recognition of concorcliance i.s of considerable
stnrctural signi-ficance and. is requirecl for constmctlon of a
geological eross-section (p.98 ). Contact
lletamorphism Hieh tqrperatlre. Dr. C. A. Chailj-s tus clescribed high
toperature contact meta.morphisn of volcanic rocks on the south+restern
contact d the Conplerr (Chattis, 1965b). the metanorphic seguence
passes frm r:nal-tered spi1itic basaLts to anphibolite and pyroxelre
hornfels facies close to flne contact with ultranafic rceks. Challis
considers that the grade d contact metanehpisn in&icates i ttrnperafur.e
of enplacernent of the ultramafic rocks - an initial Eagna taperahrre -
of about 12OooC. (Ctra::is, 't965A). The nature of ttre contact affacent to the netarnorphosed volcanic
r"ocks is ctr oonsid.errable interest. fhe serpentinite zone nuround.i-ng
the Rect Hill ConpS,oc (p. f {5) is here much narrower ttran elsevrhere, ap1r
roxinate\y 1OO to 5O feet wlde. In fine iletail the oontact betreenr seF. pcrtinisecl perCdotite ancl netmorphic rocks is haghty trtegtrlar end. blocks
of netamephic rcck are erbine\y mcloged nithin the ultnana,f;lcs ancl vi.ce
v€.FBBe The egrtact nay be regardecl as a Eone, about 1@ feet wid.e, of,
an intinate milctrrre of ultranafic ancl netanorptric rcoks. Tfit]rin ttris
zone scrre of the boundaries betmeen serpentinised peritlotite ancl netanorpbl -81- ii
Irl1
,li\t\
\, 1
#
l+rlu' 1
lvi
!tr |
lc
Iil\
ti.; \
/ rl
(."'i
r
-€J
+frir
/h'\
v/\i
i
#i t
\
{/t \ \
\
r\ \, \, \'
\,\,, \
\
\\ \ \
\
\\.\,
\
". \\
\, \,
'.. \\
",
t'. \r. \
\\ \ \- '.. [\5-R""-
'\Jti-i, "..*. -[]--'
\r
['rp l{ u,t t------. -\l
Itt,
tt. I\I
I
W
---"'5
ScoLc ffi
/Soul+
J cruqh aone lr-l
Scctiont glvcn h Fi$7. Form lincl al opproximoht rco'irrlervdr. * Idar*t$ied specimcne. ffilW*ara hok tnrtfqc lFl Gto'''. Frrncfion
lf
Confact rncfamorpho lill Q"otcrr'-y
El n"t llrll conphr
Fig.20 S0|.JTH-WESTERN CONTACT p l{ u,t El
Fig.20 S0|.JTH-WESTERN CONTACT -#i rocks are markecl by a thin cmsh zone but in nany cases massive ser-
pertinisecl pericLotite is in direct contact with ttre metamorphics. This
is veqf clear\r clemmstrated by Specimen No. 11015 which comes fmr the
contact between a large block of anphibolite sumound.ed on three sicles
by nassive, Rorl-sheared. sepertinised. peridotite. In tJrin section
brown hornbl-ende of ttre mphibolite is sqlarated fro mesh tertured
serpentinisecl perid.otite by a 5rue wicle zone of chlorite, antigorite,
vesuvianite and magnetite. Contact
lletamorphism It is highly rrnlikely that the two rock tl4les
in this case can have been faultecl together and thenefore ttris particular
contact and the general contact zone in tJle area is verTr probab\y a
tme intnrsive cont act. A recent\y nade road-cut throrgh the contact near the Wairau
River provides a goocl section of metamorphic and voLcanic rocks which
was briefly exa.clned. by the writen. Metas@atisn ancl late regional
metaorphisur has altered. earlier pla,gioclase to aLbite and cal-o-gilicates
(hyAtogrossular, prehnite, ptmpellyite or qiclote). Of the fetrrc-
nagnesi.an minerals onJy hornblend.e antL pyroxene persist, but these,
with texture, suffice to ttlstinguish voLcanic rocks frcm the coarsF
gra-i.ned., hornbl-encte-bearing hornfels that occur near the contact. The
width ancl ertent of the netamorphic ar.rreole at ttre sorrth-western contact
ig shonn i-n figure 20. The positions of speci-nens idqrtifiecL as vol'carric
(containirg volcanic tencture) o" neta^morphic are girrcn. Slightly cnrghed. rcclcs observed. betvreen voJcanic and netanorphic outcrops in the nsfl
section, md crmsh sones e.Ls€nshee may indticate that sqne neta,no4h{d
rocks have been faultect otrt. It is likely however tbat the pressxt -83- wittth of about 500 feet approximates closeLy to the initial w:ldth of tJle
aureole. Ehis is conslcLeablr n€rrewer ttrarr the 6OOO foot contact
aureole of the Alpine-type periclotite body clescnibett by MacKenzie (1960)
and. consiclering the size of the Rect HiIt Cmplex, is vtry small. Metmorphic rccks are al,so expoaed at the norttr-eastern @rner
of the Conplex where the ftJ.lo'wing sequence is eqposed.:- Massive perictotite
Serlrntinisecl penicLotite . .. . o .. .. &OO f eet
Cnrghecl serpentinite . . .. .. .... . . . 70 feet
Coarge-grained aph:ibolite.. . . .. . .)
)
gratttng into
) :OO feet
)
Fine-gra;inecl hmfeIs... .. .. . .. . . .)
Cnrshed. serpentinite sill.o....... 10 feet Umetanorphosed. s edlnenta4y rccks . The 10 foot serpentinite rsil1f ls probably a tcol.clr intmsisr
of sertrlentinite in a fault separating the netamo4fiie frm non-metancrphic
rock8. Ihe fine-gratned. hwrfels (No. 10950) has a fine-grained
(O.05 to O.1m) granoblastic teoctrre, a.ndl is conrposed. of pleochroic,
strong\r bireffrJngent epidote arcl elongate pnimatic crystal,s of actinolite
with a snal1 anarrrt d quartz, sphene and. albite. Tbe rcok is cut by a
guartz, albite andl stilpnmalane bearing vei-n. Aggregates of, a weak\r
pleochrolc, pale yellor-grea ctrlorlte are founcl in saIL ancunts -8tlt- thrarghoub the slide. Contact
lletamorphism Bc*h texture and association with higher grade
s'nphibol-ite metmoqphics suggest that the rock is e hornfels. Itg
nineral assobla,6e is tbat of the aLbite-epiclote-horrrfels facies of
corrbact metanorphim (nyfe, Tumer and Ver*roogen, 1958). The fine-grained rocks grad.e into the coarsen-grainecL rocks. A
tlrin section ctr the co€rse-grained. anphibolite (No. 10951) ZO feet
away fron ttre ultnanafic rccks, shows a 6ranobLastic textrrre of stdrt
prisno (trmr.) of brown-greecr araphibole (Ny = 1.675 t.OOi , 2V negative
and. vertr large, Z^a = 27\ cmprisirg 75 pe cent of the section,
noclerately birefningent epidote (an negative and. large) about 15 per
cent, and. the rsaind.er non-Bagnetic opaque grrains, sphene, actinoLite
(riming ttre brcwn-green anphibole) ancl prehnite (as sieved. xenoblastic
crystala). Pbgroclase is abg$t but actinolite ancl prdrnite inclicate
retrogressirn metmorphic effects and original plagioclase ruay leve
given up line in ttre forroation of prehnite. The large ertirption angle
brown coLanr, and J-arge 21I ind.icate that ttre amphibole is a hornblend.e
rather than actinollte. Accor&ing to l!fe, turne antt Verhoogm (tgfg) the assembJage
hornblentte-epidote is restrictecl to regional netanephic facies. In
contact netaorlhic rockg the equivalent assemblages are hcnblend.e-
plagioclaee (hornbl.ercle hornfels facies) or actinolite-epid.ote (albtte-
epictote hornfeLs faciea). However tt ls consid.ered tftat the field
relatLons are una,abiguous andl lndioate a oontaot netm4hio origin of,
thege mokg. It ig probable that tbe hornblende-epiclote-plagiocLase
asseobla6e inclLcates higlrer 1oad. pressure ttran usual in contact metamor-
phosecl mckg. The co$dstence of intemecliate plagioolase ancl epidote in -85- r€€:tona1 netamorphic facies is attributecl to Fyfe, Turner ancl Vezitroqgsl
@59, p.zn) to trhiglr loact pressures; perhaps augnentect by non-loSrdrostatic
gtregsH. The paremt rock of flre anphibolite and. hornfels is probably badc
igneous rcck and is inferecl to be volcanic rocks of the Goat Fornation. Lrcm Tempenature_cojttacts . High terperature contact metamorphism
is present mJy ov€r a snall part of the total cirormference of the
Conplex. Elsewher€, volcarric and sedimentary rocks imediate\r adjacent
to the contact show only irnipiant, lon gracle metamorphisro. For instance,
speci.men No. ''10952, a typical sard-waclce of the Pelorus Group eoll-ected. nritlrin 4 inches of the contact at l+3589O shoTeg unalterecl clastic teucfure
although the natrix is extensively recrystallisetl with clusters of epictote
and. verlr coarse-grained., interlocking fibres of trenolite. fn hard
specimenr ttre rock is blea&d, very brittle and trard., but there is no
evid.ence of high temperature metanorphisn. Contact
lletamorphism Si-nilarly volcanic rocks
near the eastern contact are relatively rrnalteretl cmparect with the
rocks of tJre south-westem contact. The section erposed in the stream
bect at U4O771 ig3- Serp ent inis ed peri clotite
Cnrshed serpentinite .......... 50 feet
Bl^aokrirdrrated. argiLHte. o. .. . 25 feet
fndurateil, gren volcanicao . .. o !O f eet
Cnrshett serpentinite lens ..... 0-60 feet
Quart sose-felclspa ttric gandwacke. . -86- The black argtllite (No. rcg5il hs.s trace of the originalr v€rX
fine-grained-, claetic te*trrre pneservecl and contains scatterecl grains
of anguJar quartz (nittr seoond.arXr growbh of gqartz arcnnd. thejr efues)
and- epiclote. Ertensive rccrystallisation ls shown by abunctet, v€qr
fiae-grainecl fibnoue trmolite. The green voloanlcs (No. 1Og5D have
about a thl,rcl of the rock composeit of anhedral angite, 1m. acrogs,
some slroring shapea inherd.ted. fbcn orig:inal ophitfj texture. These
are set in a matrix of veSr fi.ne-6rained. ctrlorite ancl calc-siLicat es
(x-ray dl'ffraction patterns incti.cate the presence of chLorite and. prehnite not ttistirguiahd. micrcscoptoalJy). original felcLapar is
preer.ma,b\r cmpletel;r sanssllritised.. Acoegsory minerals are sphene and,
iron o:dcles. Hfgh toperature oontacts were probably ttevelopecl over ttre
tfiole of the intnrslve contaet but in nost places these have gince
been faultedL out. The Low taperatur.e contaots, characteriged by al.teration
limited to wlthin a fq feet d ttre rrltnnafic rccks, involre partial
clevelolment d a Lcv graae netanorl*ric mineral sssoblages senta{niry
$rch minerals aa pretrnite, 4i<lote ancl tnemo}[te. Such nLnerals g.e
typioal- d lcr teqlerature metaEonati-s relatecl to oerpentinites (CoLenan,
in preso), and. have prub&\y derelopedl rh.ring regional metanorlilnim, -87- TIIE EEOIOGICAI, CROSS-SECTION the
Its
A geological cross-section of the Recl HiIt Conplex accompenies
geolog:lcal nap. The line of section is shosrn on the nap a^s A - A?. construction was based on the foJ-lcming d.e&rctions ancl data. The
Shape
of
the
Basal
Contact The
Shape
of
the
Basal
Contact (i)
Dip of the basaL contact of the Gomplex. Ihe Conplex is
generally concorclant with respect to the Lee River Group and the basal
contact of the Conplex may be expectetl to be paral-lel to the strata of
the acljacent Goat Formatlon. 0n ttre nap these co'itacts are shcnrn ast
fauLtecl. They sre in fact zones of crushecl serlentinite ancL are
regard.ed. as planes of movement between fomations of ruidely ttifferent
strengths. 0n the southern encL of the eastern contast the basal contact
of the Conpleoc ttips 5Oo N.W. and at the eastern and western parts of the
northern contact it d.lps at 60o S.W. ancl 70o S.I[. respectively (U"p 1). Although the base of tbe Cmpl-ex is not ex;roaed on the eastern end of
the line of section fro consideration of those parts e:rposed to the north
and. scuth it pr"obably too tips west at about 5Oo. Ttris gives an
apparent dip of about JOo io the plane of the cross-section. At the
westecm end of the llne of section the basal contact is prestrned. to clip
more steep1y at about 7Oo N.T[., sr:b-paralle]- to the top of the Comploc. The tlip of the baeal contact is assuned to change graittrally bebween
these valueg. '
fhe great ridth of ol#crop of the Cmpler nay be dlue to folcling
or to repetition by faulting. -88- Drf d
(a) Shopc of the basal contact. Datq uecd for cor.gtrrcfoi, portton ond dlp o'f foultc, dtrplocernenf on
no&
a?-rurf
I
.f
lltlll
I
,
I
I
I
I
I,'i)"
I
I
I
I
l,ti
l
I
I
I
l>
lrt
t
..')r(,u^y."'rr""
tl
ll
Fig. 2l
(b) Ine Red llill Cornplex (rcc tcrt)
___
(
o
t t*'
o,?6'
I
CROSS-SECTION OF THE RED HILL COMPLEX. fauFr (t.ory liner) , di? of basal contadr. (rec tcrt)
6fi+occ Drf d
(a) Shopc of the basal contact. Datq uecd for cor gtrrcfoi portton ond dlp o'f foultc dtrplocernenf on
no&aa
a?-rurfrcc Drf d
( )
f
no&aa
a?-rurfrcc (a) Shopc of the basal contact. Datq uecd for cor.gtrrcfoi, portton ond dlp o'f foultc, dtrplocernenf on
I
.f
lltlll
I
,
I
I
I
I
I,'i)"
I
I
I
I
l,ti
l
I
I
I
l>
lrt
t
..')r(,u^y."'rr""
tl
ll
Fig. 2l
(b) Ine Red llill Cornplex (rcc tcrt)
___
(
o
t t*'
o,?6'
I
CROSS-SECTION OF THE RED HILL COMPLEX. The
Shape
of
the
Basal
Contact fauFr (t.ory liner) , di? of basal contadr. (rec tcrt)
6fi+occ ( ) Shopc of the basal
Datq uecd for cor.gtrrcfoi, portton ond dlp o'f foultc, dtrplocernenf on
fauFr (t.ory liner) , di? of basal contadr. (rec tcrt) Fau.ltine. A number of north-easterly striklng fauLts cut alnost
at right angles acroas the line of sectj.on. Only vertical movement is
assumecl to have occumed (p. 21il the a.urannt of which may be estimated. from the apparellt horizontal clisplacenent of the northern contact of the
Corrplex. Consiclering faulting alone and assr.rming tf,rat the dips of the
basal contact regularly increase in ctip fron east to west a profile of
the basal contact rnay be dettrcecl aB in figure 21a, Faulting it is
apparent, w:i1,1 cause consj.ilerabl-e tectonic relief of the base of the
Complex and. for simplici{y a tgpothetical zurface which passes through
the centre of rel.ief is clefinect. This is the rned:ian surface ancl is
shown in figure 21a. Fol,ctine. Possible folcling of the ba.sal contact of the Cmrplex is
suggested. by the southward. plunging Ben Nevis Anticline and. the foltlecl
layering within the Corrplex. The period. of zuch fold.ing (if any) wiff
be much greater than the tectonic relief eausecl by faulting and. w:ilI
hence be represented. by folcling of therroedian surfacef . Gravity data is of speial value in tleternlning the fom and the
approrinate deptlr, of the meclian surfacer &s the clepth to the base of
the Conplex m,y be estirnated. frcro isostatic anooalies due to the d.enser
ultramafic ttcks. The d.epth values so obtained. wiLl be relatecl to the
median surface ratler than tbe tnre base of the Complex beoause gravity
cl,ata tencls to mooth out irregularities in r"elief. Long period foliling
will thereforr be expectecL to be apparent fron a gravity auf,v€fo -90- Grauitv _DgEa, A gravity survesr covering, in part, the
southern ecctrenity of the Red. Hill. Compleec was carriecl out by l,ialahoff
(lgGZ). The rnaximum grav:ity anmally ch"re to ultranafic rocks is 40
mgals. and. changes .l:ittle over the exandred. area of the Cmpl-ex but
d.ecreases sharply toward.s its edlge, Irtalahoff interprets the iLata as
intlicating an almost horizontal sheet of ultrranafic rocks about 7000
feet thick. Grauitv _DgE Rather the forn of the base of the Cornplex approrirnates to that
illustratecL in fig. Z a where only faul-ting is presr:rnecl to have occurred,,
The base of the Conplex in the }ine of section is therefore inferred. to
be of that fm and the mecl-ian surface is considered. to be alrproxinategr
horizontal. The med:lan surface occurs at a ma:cimum clepth of about
11'OOO feet beneath the ground. surface, but is probebly shaLlower than
this beneath the line of section because the base of the Gomplex outcrops
only a short &istance to th e north. It is assulned in constmction of ttre
geological crcss-section to occur at a clepth of T'OOO feet. Long periocL fo1cLing such as may be ocpectetl fnon extend,ing the
Ben Nevis Anticline beneath the Co:rplex is not atrparent fror the gravity
Sunrey. Rather the forn of the base of the Cornplex approrirnates to that
illustratecL in fig. Z a where only faul-ting is presr:rnecl to have occurred,,
The base of the Conplex in the }ine of section is therefore inferred. to
be of that fm and the mecl-ian surface is considered. to be alrproxinategr
horizontal. The med:lan surface occurs at a ma:cimum clepth of about
11'OOO feet beneath the ground. surface, but is probebly shaLlower than
this beneath the line of section because the base of the Gomplex outcrops
only a short &istance to th e north. It is assulned in constmction of ttre
geological crcss-section to occur at a clepth of T'OOO feet. Grauitv _DgE The estirnation of thi.ckness is basecl on tLensity contrast of 0.6gt/
1.? cn1 obtained by assignlng a value of 5.1 gas/cn7 for the ultrqlnafic
Itris rralue of clensity ccn:trast
wet clensities of Pelon.s Group
the value of
Grorp rockg. o.5 gr"/"i,
arrd. 2.7 gn"/o 2 for the enclosing rocks. is probably excessive. Two values for
(which surrouncL the Conplex on the east anct north) axe 2.78 anct 2.BO gos/rrr3.;
,4
2.7 gns/cm'. applies only to Grevi-lle, lTaiua and. Torlesse
The clenrsity contrast should, on thi-s accotrnt, be rechrced to
A1so, the clensity of ultranafic rocks varies fron 2.34
and 2.68 for serpentinites to 3.Jt+ gr"/*2 for unaltered clunite and
tlrerefore a raLue of 3.3 gp"/^1 is an absolute upper lisit for the
avenage clensity of the Cmplex. It is believed a value & 3.2 gu/o^5. would be nore realistic. Tlre gravity contrast is ttrerefore f\rrther re&rcecl to O.t* gs/&
Con-
sequent$r the depth to the basaL oontact of the Cmplex shouLcl be increased. to 111000 feet. lfia1a]roff (ti d not calltsr the grav:ity surrry firrther nor*h than the
Pl"ateau, (il"p 1) but recent\r 6 witl.ely sqraratecl gravity values to the
north have been obtainecl. lhe clata bas been kindly made available by -91- Dr. T. Hathertor of Geoplgrsics Division, D:S.I.R. who wri.tes,
trfsostatic anmaly values range frm about -10 to 15 over the Maitai
(Strata) on the west sicle thror,rgh a naximrm nalue of +22 mgaIs. in the
certre to about -20 mgals. on the east side grvrlng an effect probably
due to the Rett Hill Complex of about 40 mgal-s.rr (pers. com.). Thus
on present evid.ence lilalahoff rs interlpretation of a flat lying sheet nay
be extrapolated. with reasonably certainty over the whole of the Complex. Dr. T. Hathertor of Geoplgrsics Division, D:S.I.R. who wri.tes,
trfsostatic anmaly values range frm about -10 to 15 over the Maitai
(Strata) on the west sicle thror,rgh a naximrm nalue of +22 mgaIs. in the
certre to about -20 mgals. on the east side grvrlng an effect probably
due to the Rett Hill Complex of about 40 mgal-s.rr (pers. com.). Thus
on present evid.ence lilalahoff rs interlpretation of a flat lying sheet nay
be extrapolated. with reasonably certainty over the whole of the Complex. Long periocL fo1cLing such as may be ocpectetl fnon extend,ing the
Ben Nevis Anticline beneath the Co:rplex is not atrparent fror the gravity
Sunrey. S}IAPE OF ITIE RED HII,I COMPLET fhe top of the Conplex io exposed. along the western contact ancl
in igtne 21b has been eurtratlol-ated to the east on t?re assunption that
it is sub-parall-el to the basal contact of the Coplec. The Red Hill Conplex (flg. 21b) ig therefore inferuecl to be a
tiltecl, and fauLtecl sheet-like bo{y of va:dable ttrlc}oness, on the west
abcut rr000 feet, ad ln the niilflle of the line of section about 8r00O feet -92- thick. tr\rther to the sorth where the d.epth of the ne&ian surface is
greater, the thickness of the sheet is also likely to be greatef, -
probab\r about 1 2,0OO feet. Before feulting the sheet must have been at least 12 miles
wicte (east-west Airectim) anct 10 nil,es long. Because its form
is sj-milar to that of the sheet that can be tmcecl north for 40 niles
to Dun lilorntain, the Recl HllL Complex is probabLy the southward, erten-
sion of that sheet. The break in the street. north of Mt. Glerurie
(g*ological map) is explalned as due to Upper Mesozoic ancl Tertiary
faulting. lhe original sheet of uLtr"aruaflcs rnay have eoctendecl fnrther
north than Dun Mountain. Therefore, al-thcnrgh the lsrcnn linits of t'he
sheet are lO mifes Long, 12 uiLes broad. and ,rOO0 to 12'OOO feet thick
the origanal areaL $ctent is likely to hsve been several ti-mes greater. Deta-ilecl. maplnng along the Upper Pal-eozoic Belts nay show hm nuch the
short breaks now eviclent in the geol,qica3. maps (Streets 1t+r16 and 22
of the Nsv Zealancl Geological Sunrcy, 1: SO'O00 series Beck, tg64i
Lensen, 1962; Iloocl, 1962) can be attribrutect to post-emplacement faultjrg -93- STRUCTURE AND PETROIOGY
OF
THE RED HIII,
COMPLEX,
NEISON. P A RT II. PETROGRAPHT. P A RT II. PETROGRAPHT. -94- INMO DUCTION Cutting ttr e periclotites ancl gabbros of the Red HiIt Complex are
a large nunber of calc-alkali basic dytces which are petrographically
of three kinds. Ihe most abundarrt are medir.m-grained, dark green,
usually mottled. rocks composecl of brourr-green hornb]ende, labradorite and
subordinate quartz, naed ttre hornblencle nicr.ogabbrcs. Derived. from these
are banded lqrcocratic-melanocratic rnocks probably forrned W s(€regation
of the felsic and. femic components of the hornblend.e microgabbros. L
i
f Cutting ttr e periclotites ancl gabbros of the Red HiIt Complex are
a large nunber of calc-alkali basic dytces which are petrographically
of three kinds. Ihe most abundarrt are medir.m-grained, dark green,
usually mottled. rocks composecl of brourr-green hornb]ende, labradorite and
subordinate quartz, naed ttre hornblencle nicr.ogabbrcs. Derived. from these
are banded lqrcocratic-melanocratic rnocks probably forrned W s(€regation
of the felsic and. femic components of the hornblend.e microgabbros. Lzucocratic veins composed of and.esine and. quartz cut the pericl.otite near
some bancletl dykes ancl are beLievecl to have formed. from filter pressed. felsic naterial d.erived. from the d;rkes. The third. kind, the pyroxene
mierogabbrps, are dark, a'lnost black, fine graineil rocks composed. of by-
tmnite, augite, tgpersthene and. comon\r scne recl-brcmn hornblend.e. Lzucocratic veins composed of and.esine and. quartz cut the pericl.otite near
some bancletl dykes ancl are beLievecl to have formed. from filter pressed. felsic naterial d.erived. from the d;rkes. The third. kind, the pyroxene
mierogabbrps, are dark, a'lnost black, fine graineil rocks composed. of by-
tmnite, augite, tgpersthene and. comon\r scne recl-brcmn hornblend.e. DSrkes are found. in all parts of the Cmplex but are most numercRrs
antl of greatest indivichral thickness in a wed.ge shaped zone extendirg
diagonalJ.y north-west to south-east across ttre Cmplex (U"p 1). li'ithin
the zone the ilykes, unifomly cmposed. of hornblende microgabbro or band.ed. rocks, attain a thickress of 6O feet butrncst are in the range 5 to 25 feet. At least 5O per cent of the total number of dykes occur within the zone
which constitutes only about JO per cent of ttre area. of ttre Conplex. Out-
side the zone, clykes are genorall;r more baalc, cottrposed of pyroxene micro-
gabbro, and €Lre only about 6 incheg (eis.2L) to 4 feet thick. The strike of ttre <tykes is generally uniforu sver tJre whole of
the 0ornplex ancl all clip steqly, wual.ly to the north-east. -9 5- Fig. 7L
Pyroxene mierogabbro dyke
cutting nassive harzburgite. (covered with lichens) Fig. Fig. 7L
Pyroxene mierogabbro dyke
cutting nassive harzburgite.
(covered with lichens) INMO DUCTION 7L
Pyroxene mierogabbro dyke
cutting nassive harzburgite. (covered with lichens) -96= Mineralog.v The hornblend.e micrcgabbrcs are composed. of hornblencle,
plag:roclase, quartzr opage minerals ancl usug'tl;r a trrace of biotite and
apatite. Hornblenlg is moderate.ly birefringent anel stronglr pleochroic
from dark green (z) throrgh brownish-green (Y) to pale yellow (x). Ihe
optic axial ang1e, estimatecl fron cunrafur'e of the isogyne, is about
BOo (negative). Zlc is about 23o. Sone hornblende is rirnmed ynith pale
green mphiboLe, prrcbabfy actinolite. Plagioclase is strong\y twinnecl on Car1sbad and albite 1aws. Courbined. Carlsbatl-albite tmLns have been used. to estinate cmposition. The large grains are zoned. with inner zones of bytcmnite and. qrter zones
about fu5'. L,ow gnad.e netacphisn has affected some noc}cs and plag:io-
clase is replaced witle albite, prehnite anct tgrdrogrossular. Comon\r
only the calcic inner zones have been altered. (ng. A3 ). Opaque minerals are black under reflectetl light ancl strongly
magnetic. Since the opaque mineral in sme meta^norphosed $rkes has
alteed. to qphene and ir"on o:dd€s, it is probab$r titaniferous magnetite. P
h Petrosraphv Conpositions of the'hornrblencle nicrogabbros varieg within narrow
Iimits. Ilornbl.ende and plaglocl.ase togethen make up 85-90 per aent of
tlre rock; plagioclase between l+0 ancl 50 pe cent and. hornblende between
15 arfi.50 per cent. Quarbz ie a conmon subord.inate constituent. Conpositions of the'hornrblencle nicrogabbros varieg within narrow
Iimits. Ilornbl.ende and plaglocl.ase togethen make up 85-90 per aent of
tlre rock; plagioclase between l+0 ancl 50 pe cent and. hornblende between
15 arfi.50 per cent. Quarbz ie a conmon subord.inate constituent. lilotlsl analSrses of five speoLneru fbo ridetry se5larated. firkes is gigerr in
Table vr- lilotlsl analSrses of five speoLneru fbo ridetry se5larated. firkes is gigerr in
Table vr-
92 -92- l;r.aT,I "'ru l;r.aT,I "'ru I'ti D.;f,, A)IYSJS-OF I.L'X.SI|XDE lF,Clt&.B]';R(:,S +,D j.leiTLSITI{II C,. f,'if,D3l:"Ji i'o. Fosition
i.-l-agiocl ase
]lor:rbl. : -l.g. ,fuar-bz ;ioa;iftg Ai)aiite
)o
Conp
li 006 392na
\-7
,.%r43
t+1
4
3
tr
tr
1 1 Cl 1
36e7 60
51
,ltle_h7
i7
i
g
x
tr
11Q12 361739 ]+5
\USy
)+2
j
j
tr
tr
ra13 3710i2
57
*r3o_48
j5
,
i
tr
tr
1 1 014 5i V855
1+3
i.tr- r
gro'CiLous 51
5
tr
tr
x -98- Texture is usuaLly porp[yritic or xencaonphic-granular. The
porphynitic rocks contain z-&nn. phenocrysts of strong$r zoneil
plagiocl-ase ccmstituting not raore than 20 per cent of the rock with
a grounftnass of hornblende and. weakly zoned. plagioclase grains O.5 - 0.7
in size. The xenmorphic-granular rccks are coa,rsa 6rained. yiith grain
size of plagioclase and. hornblend-e abcnrt 5-lrnmo Quartz occurs as
sna1l interstitial grains and. biotite is usually fo:nd. as very small
6rains near titaniferos ruagnetite. A tSplcal example of
xenmor?his-gr€rnular texture is sho,ln in figr.relS. Less coromonly,
the horrrblende microgabbrm €lre hypautmorphic-granular and fine to
medium grained. The pLagioclase occurs as snal1 (0.75m.) zoned
tabular laths with subbad.ral crystaI form, the hornblende is generally
anhecl.raL and. has a snaller grain-size (O.5nn.). The hornblende nicrrcgebbros 8e usually massive, unfoliatetl
nocks but a planar fabr{-c pro&rced by paralleI tabular plagioclase
laths, and. planar segregation of hornblende and quar-bz and plagioclase
is present in some rccks. By increase in the anount of segregation,
the clykes grad.e into the band.ed rocks cliscussed. bel,ow. 0rcler
of
crystallisation Few of ttre hornblencte nicrogabbrc dykes have a |tchillect contactrf
although ttre narginal rccks of many d.ykes are strongly altered" prestllr-
ably by metas@atisxn rel-ated. to adJacent senlnntinites. However' one
dyke near the base of the Complex (at t€?764) has a well preserved
fine-grainect contact ancL shows sevea,l interesting petrograph:ic features. The clyke is one of a series of aligned lensoid masses 70 feet long and
-99- Fi{;' 23
iiornbl tr-. ,'
altr:r',J tc
itnTl CI'f)],'rie-f r..nt11 .1 *;.:,tti-e
i-r', 11 ^pr11-1.:6,i6
(orey)1 -''-'-.-! -rel?s€ (1i.,iht). frrnel zcnrrs
11;rrlri'ilu,'\err|"r
(l',.!i,ekl titr^1,i|
rr,::rf ar^j =l ). :.niC-rt s"211lnn,
,-lf ll:..1"ioqr' :,<p
(
20). Fi{;' 23
iiornbl tr-. ,'
altr:r',J tc
itnTl CI'f)],'rie-f r..nt11 .1 *;.:,tti-e
i-r', 11 ^pr11-1.:6,i6
(orey)1 -''-'-.-! -rel?s€ (1i.,iht). frrnel zcnrrs
11;rrlri'ilu,'\err|"r
(l',.!i,ekl titr^1,i|
rr,::rf ar^j =l ). :.niC-rt s"211lnn,
,-lf ll:..1"ioqr' :,<p
(
20). ,,'ii, r 9+. Sl,ece l'tor
,jr-rt'he c.i ra,rI
') /' hl;i'it.ie eon-l tCt I,lCk ef ]rnr.nhl enr'ip mi ntiOf:','l:,}tIO. 11003. Fl i','iioclrse l"ths .Tc i,?r:-l.l pr. to rlyr-e .a1l s
pliencery-:'t s oJ' l-';/t^r.yi:nA Shov' ;.S fleek*lr-J gre.y rT.!.pins. -lOO- -lOO- 25 feet broad. and. dip steq>Iy neth-east. The surrcurd.ing perid.otibe
is par"bly serpentinised witlr:i.n n feet of the lntnrsion and wittr-in a
feru inches is strcngly sheared. At the contact (No. 11ooj) the
intrusive rock is very fine grained., dark coloured. and. d.ense. The
texture ie porptryritic Eith znrn. long, euheclral laths of zoned. plagiocIas
(*g.-5g) and euhed:al equidimerwional crystals of augite (1rr. in size)
equa-lly naking up about a quarten of th e rock. The ground.mass of
finely granular pJroxene, magnetite and. untwinned. plagioclase has a
grain size of about O.01mm, at th e contact, irpreasing to O.1mm, at
l+ cm frm ttre contact. Augite phenocrysts are mentled wittr hornblende
whlch increases in abund.ance towards tlr e centrre eventuall-y replacirlg
most of the plroxene. Itre textur"e of the contact rock is shown in
figure{ and. the pronounced parallelisn of pla6ioclase phenocrysts
shown i-n tkre photograph is .ttrotrgtrt to have d.eveloped by magrnatlc flow. Specinens (No. 11OOL and 110Q5) fmn 2 feet and 12 feet frm the contact
re spectively, c srtai n
, brovrn-green hornblend.e as ttr e on$r f errcmagre si an
of the grcundmass and. only in'the phenocrysts d.oes pJrraDcene exist as
sa1I relict grai.ns, suround.ecl by wid.e neaction rirns of hornblsrde. 25 feet broad. and. dip steq>Iy neth-east. 0rcler
of
crystallisation The surrcurd.ing perid.otibe
is par"bly serpentinised witlr:i.n n feet of the lntnrsion and wittr-in a
feru inches is strcngly sheared. At the contact (No. 11ooj) the
intrusive rock is very fine grained., dark coloured. and. d.ense. The
texture ie porptryritic Eith znrn. long, euheclral laths of zoned. plagiocIase
(*g.-5g) and euhed:al equidimerwional crystals of augite (1rr. in size)
equa-lly naking up about a quarten of th e rock. The ground.mass of
finely granular pJroxene, magnetite and. untwinned. plagioclase has a
grain size of about O.01mm, at th e contact, irpreasing to O.1mm, at
l+ cm frm ttre contact. Augite phenocrysts are mentled wittr hornblende
whlch increases in abund.ance towards tlr e centrre eventuall-y replacirlg
most of the plroxene. Itre textur"e of the contact rock is shown in
figure{ and. the pronounced parallelisn of pla6ioclase phenocrysts
shown i-n tkre photograph is .ttrotrgtrt to have d.eveloped by magrnatlc flow. Specinens (No. 11OOL and 110Q5) fmn 2 feet and 12 feet frm the contact
re spectively, c srtai n
, brovrn-green hornblend.e as ttr e on$r f errcmagre si an
of the grcundmass and. only in'the phenocrysts d.oes pJrraDcene exist as
sa1I relict grai.ns, suround.ecl by wid.e neaction rirns of hornblsrde. I
h
f h
i
i
(N
i In the centre of the intnrsion (No. 11005) the roek is composed. of 55 per cent plagioclase, 40 per cent hornblende and accessory quara"2,
opaque ninerafs, epiclote biotite and apatite. (The presence of epidote
is unusual, and. fountl on\r tn this intrusior.)
The plagioclase is zoned. frm Anr" to Ano-,. The tearture is porphyritic with plngioclase pheno-
O)
7r)
crysts constituting 25 per cent of the rock. -lO1- I'Ihile the rccks at ttre centre of the intmsion are petrograph-
ically sirnila.r to other hornblende microgabbrcs, the contact rock has
the rsineralory of a dolerj-te. Evid.ent\r d.uring coolirrg, pJrroxene and
calcig plagroclase crystallised first a.nd at a lcrver tanperature the
pJroxene 'altered to hornblend.e. A few other horriblende microgabbros
have relict pyroxene but most d.o not, and hornblend.e mary have crystallisetl
directly frm the ma6na, just as the hornblend"e in the g*rrn.iLr" of the
rocks d.escrlbed above. MIVDED DU$S AI{D I,EUCOCRAT]C VEINS The banclecL dykes have alternating lzucocratic and. melanocratic
leyers or lenticles about 1 to 3 cm. thick paral-Iel to the 4yke walls. Veinlets of leucocratic naterj-al cut across melanocratic layers, and
Leucocratic veins up to 10 cm. tluick occupy the marg:in of the {ykes and. in some places cut into the surroundirig (senpentinised) periclotite. Bantlect dykes have been traced. along their strilae into massive, unf oliated
hornblmde micrtgabbros and sme dykes have bancl.etl rocks near the margin
and hornblencle microgabbro in the mid.dle. Specinen No. 11005 is a $pical exmple of a bancled rock near
the nargin of a 1O feet thick hornblmd.e micrpgabbro dyke. The
lancocratic lqyers are 2 cm. thick and are ccmposed of 15 per cmt fine-
grained. quartz, 55 per cent fine-grainecl unzonecl plagioclase, n per
cent weakly zoned. plag:ioclase phenocrysts about ]nm. in diameter and. 5 per cent hornblende. The nelanocratie J-a;rers consist of about 90
per cent hornblerd.e and 10 per cent plagiocLase. -102- The le.rcocratic veins ( e.g. No, 11007) €Lre quartz-rich,
composect of about 5A-60 per cent fine-grained. quar*2, lO per cent
phenocrysts of unzoned. plag:ioclase and ttre renaind.er hornblend.e. The plagioclase is h." with Iittle variation in ccmposition in
2)
different leucocratic veins througho.rt the Complex. The tercture is
protocLastic (fig. 15)! the plagioelase phenocrysts are rounded. with
ra6ged. ed.ges, twin 'lame:Llae €Lre common$r bent and ttre grains show
unduLatory ectincticn. The quarbz gm:ins have strongly sutured. maryins and. also have undulatory extj-nction. Because of ttreir cLose
relationship the band.ed. rocks and. leucocratic veins were vtry probab\
d.erived from the hornblsrd.e microgabbros. The felsic cmponents
must have been very mobile as many leucocratic vej:rs are for:nd. at
least 100 feet frcn the nearest qyke. The band.ed ancL lzucocratic rccks are considered. to have
d.eveloped throrgh d.efotmatj-on acc mparryring crystaIlis ation of, th e
hornblend.e roicrogatibros. The nobile felsic ccaponents, the resichral
fluitls of the crystallising cpkes, were filterpressed" out into
segregation 'lnrninae arul layers lrithin the {yke, or if very nobile
t-(f,'rcbabIy ctepenclirg on tlre anount of qpartz) as veins along Jolnts
or fractures into the surrcrnding periclotites. -l03- J+-
t\t\ F'i-;, 35, Leucocratic vein sho',ring p1 a,"ioclase
in i,natrix of qu"rtz. llote directional fatrric
porphyroele,sts
i'nd unriul ntory in ,
of q
llote d ect o a
fatrric
extrnction of o'r.'rtz. i nd unriul ntory
]r'ig. MIVDED DU$S AI{D I,EUCOCRAT]C VEINS 26,
( ,'rbove )
the J:n 1 1
',11isrde structrrre at +he conta,et betrteen
and Jryrol{ene microcabbro (tretoiv). In this
is;,rie has heen hent through;.bout 30o. peri rl ct i te
€X3.[0rr1€ extrnction of o'r.'rtz. ]r'ig. 26,
( ,'rbove )
the J:n 1 1
',11isrde structrrre at +he conta,et betrteen
and Jryrol{ene microcabbro (tretoiv). In this
is;,rie has heen hent through;.bout 30o. peri rl ct i te
€X3.[0rr1€ ]r'ig. 26,
( ,'rbove )
the J:n 1 1
',11isrde structrrre at +he conta,et betrteen
and Jryrol{ene microcabbro (tretoiv). In this
is;,rie has heen hent through;.bout 30o. peri rl ct i te
€X3.[0rr1€ -104- Mineraloey The pyrcocene microgabbros are conposed of orthopyroxene,
clinopyroxene) anptribole, pl"agioclase and opaque minerals. The
conpositions of rninerals frrcn thr:ee specimens are g:iven in Table VIf . The cmposi-tions were estimatecl by optical methods. 0rthopSrr@(ene conposition was estinated by meas.r:ment of Z
refractive ind.ex of cleanage fm.gnents by tJ:e oil inmersion method
and., in Specimens Nos. 11010 and 11008, by universal stage ( orthoscopic)
measuraent of fV. There is good. agreernent betwegr the nalues
obtainecL frcrn refractive ind.ex and. optic an61e mea$rrements. The compositions varTr betvreen &1'^ ancl &r5, anct the ninenal is
therefore ln4rersthene. fn ttrin section, the ln4lersthene is weakly
pleochroic, frcm veqf pale recldish-brswrr (X) to verXr pale green (Z). Clinopvroxene composition was estimated. in Specimen No. 11010. The Y refractive ind.oc was measured to a probabl;r accurecy of ! OO2,
and. ZtI to an accuracy of about 10 and iB likeJy to be too 1or a value
rather than too trigh (Munro , 19(f). Using the ctetmination cliagra
in Deer and Othera, 1963br p. 132, ttre conposition is estimated. at
,.jg *tr6 *"r5. The mineral in ttrin seotion is very pale green and
tt"n-pl,eochroic. The compositions varTr betvreen &1'^ ancl &r5, anct the ninenal is
therefore ln4rersthene. fn ttrin section, the ln4lersthene is weakly
pleochroic, frcm veqf pale recldish-brswrr (X) to verXr pale green (Z). Clinopvroxene composition was estimated. in Specimen No. 11010. The Y refractive ind.oc was measured to a probabl;r accurecy of ! OO2,
and. ZtI to an accuracy of about 10 and iB likeJy to be too 1or a value
rather than too trigh (Munro , 19(f). Using the ctetmination cliagra
in Deer and Othera, 1963br p. 132, ttre conposition is estimated. at
,.jg *tr6 *"r5. The mineral in ttrin seotion is very pale green and
tt"n-pl,eochroic. tt"n-pl,eochroic. Anphibole is strong\r pleochroic f:rcm straw to rich re&brown. The birefringence is fair\y high for a hornblende (estinatecl at about
.Ary), the ?. refrsctive ind.s mod.erate (t.6lZ) and the nineraL is -105- TABTE VIII Moclal anallrsgr of nicroeabbros
No. Positi on
oPx. Opx. Aopht. FeIg. Opqgue
1 1008
1 1OO9
I 1010
t+zo800
blo788
tp7890
I
n
1g
E
2l+
30
tQ
I+5
59
1g
2
6
6
9
5 Position }tineru-l. l,Ieasua"ecl pmllerbies
Gou5rosition
I[o,
110O8 lt2o80o
Feld.qtar
Orthopy:ru:rc{1e
Awphibole
Carlsba.dl-a1b:lte
Z = 1.710 AI = 600
Zt = 1.6J2
o?s - hde
&%r
11CI09 r$,OfB8
FeId,:par
0rthopyrorcene
A,rqilribole
Car1sbad-e-lbtte
Z = 1.71+
Zr = 1.672 tV = B2o (-)
)a
E%o
110{ 0 I}q789O Fe.Lclspar
T = 1.:575 Ca-rLsrbadr
albtte
Z = 1.710 ff = $Bo
T = 1.700 T'f = Wo
Z) = 1.670
. tlr*hogryrcxsne
C1-inop;rrox€rre
.0,ry*rtbole
Angh- A?A
tutsc,rF%r )a
E%o -r4g5Pie optieally negative with a la.rge 2V ( gZo) . 0ptieal data alone €rre
insufficient to estinate the composition of the arnphibole but are
consistent vrith cormon hornblend.e in which the 1OO lilg,/fug+Fe2+Fe]+Un
ratio is abort 60 (Deer, Hcnrte a.nd zussnan, 1g63br p. 296). Plaeioclase colnposition was estinated. frcn Carlsbad-albite tyrins. The plagioclase is zoned and. in the larger phenocrysts may range in
composition frmr Ano, to An-. The zoning is not €ts marked. as in
cJ4
Ir. the pla6ioclase of the hornbLencle nicrcgabbros. The Y refractive
in&ices of several, gnains fr.cm Specimen No. 11OlO wee measured. and
ttre greatest value gpve an estimated. conaposition of AnrU. This is
similar to the cmposition estimated. frm Carlsbad-albite tw'ins (A"AZ). 0paque mineral is, like that of the hornblend.e micrqgabbro,
strong\r ma6netic, and on low gnade metaraorphism alter^g to give sphene. It is thenefore likely to be a titaniferous magnetite. P t
h Moclal anallrsgr of nicroeabbros .9@i@. Table VfII. The
l[oda]. ana\rs es
rock oonposition
of ttrree specinens are givm in
averages at about lO Pen cent -107- bytownite, 28 per cent a.rgite, 25 per cent lSpersthene plus hornblencLe
and7 per cent titaniferous magnetite. Hornblerxle occurs a.s large
poikilitic plates preferenti ally rqlLacin6 hS4rensthen e. Cmsequently
the roodal proportions of hornblend.e and hlpersthene vary consid.enably
in ctifferent thin s ections from one specimen. fexture The pyroxene microgabbros €Lre porphyritic (tttos . 11008 and. 11009)
arrd. glmerq)orphyritic (l-io. 11OlO) Trith 2-6wr. phenocrysts of zoned
plagiocLase ard 1 to 2n$. phenocrysts of hypersthene and. augite
altogether totalling not more than JO per cent of the rock. The
groundmass i-s xenomor?hic-granular and. consists of fine-grajned. (O.tnm.)
plagioclase, ortho- and clino-pyroxenes, hornblende and. titaniferous
magnetite. The hSpersthene phenocrysts are usually rinned by optically
continucnrs augite and augite com-onhr has a reaction rim of horrjblend.e. Magnetite occutst as intsr-tranular gna1I grains and as orientated rods
within grounctnass pJroxene crystals. Contacts The pytoxene microgabbros usually cut unserpartinised. peridotites. Imroediately ad.jacent to the olivj-ne and orthopyrocene
of the perid.otite there ls a reaction zone of saIL (0.05*t.) pris-
matic crystals or orthqpyz'oxene orientated with their 1or€ €Lxes
approximately perpendicular to the cmtact. These forrr a pallisade-
like stmcture. That il-l,ustrated. in figurel6 has been bent through
about JOo probabJy by flsw of magrna ch:riag d.evelopment of the reaction
zone. As the orthopyroxene crystals are considerably mone magnesian
than the $persthene in the centre of the 4yke (ZV of, ttre contact
crystals is large and positive in sign) tlrey probably d.evelopect by
reaction between tJre olivine of the peridotite anil high silica content
of the grke. Deformation Like the hornblencle microgabbnos the pyroxene microgabbros are
cmmonly d.efomed. Some have narrow shear zones near the margin of
the ftrkes. fn these ,zones the rck has a clastic textrrre and much of
the pyroxene is altered. to brown hornblende. The hornblmtte ind.icates
that defornation oocured. when ttre d;rke was stil1 ver1r hot. Other Cykes are strongly sheared. and the mi.nerals grarrulated. The second.ary ninerals d.evelopecl are brown-6reen, and. green hornblend.e, -108- actinolite, clinozoisite, $rdrogros sular, prehnit e, albite and. quartz. The variety of secondary minerals r:ang:ing from low temperature facies
to high taperature brrcwn hornblend.e in&icates that d.efor:nation and. recrystallisation occured. Iocal\r thnoughout the period of cooling. actinolite, clinozoisite, $rdrogros sular, prehnit e, albite and. quartz. The variety of secondary minerals r:ang:ing from low temperature facies
to high taperature brrcwn hornblend.e in&icates that d.efor:nation and. recrystallisation occured. Iocal\r thnoughout the period of cooling. CHEMTCAT AI{AI,YSB 1\ro nem chemical analyses of the nafic dykes ane gLven in Tab1e IK. Analysie I is of a hornblende microgabbro from ttre Basa-l Zone of the
Conplex. Itre petrqgrap$ of the epeci.nen j.s glven on page lol. The
anal;rseit speoinen wa.s taken 2 feet fron the contact of a {trke and hag
zuffered. cwtrlarative\y littLe cleuterie aLteration apart fro the tlevelop-
ment of hornbLend.e frcm original augite. Aiulyeis l+ is of a pJrroxsre
microgabbro whioh is descnlbect on pages to6-1o -109- The chemical constitutior of the hor:rbIend.e microgabbrt shows
nsrly siroilarities to ttrat of the avera€e thoLeiite from Haraii (Anafysis
3) , cliffering significantly only in higher soda ancl lovbr rnagnesia con-
tent. The wide difference in the normative cmponents, such as absence
of q:at*,2, appear€mce of 1J per cent olivine and tJre much higher albite
content of t}re horriblencte ni.cnogabbro nay be clirectly attributeil to its
highe soda content. These &ifferences in the norm and the chemical
ana 1;rs es are nin or howevetr , and the rock i s es serti alJy tholeiitic in
characten. fn several- respects the analysis of the hornblend.e
microgabbro is aLso very sinilar to that of a partly metamcrphosed vol-
canie rcck (.Anatysis 2) fro the Glennie Fornation ancL quotect by Chal}is
(1955b). Challisf s rock hcmever is describect by her as an mphibolite
(contains volcanic teortrrre with original augite partly replaced by actin-
oLitic-hornblend.e) and. is possiblr netasmatised by spilitization and
thermal metamorphigm. Too nuch relia^rpe cannot theefore be placecl in
the sinila.rity and. indeecl other analyses given by Challis show ferver
conaon featureg. The volcanic rccks are howevetr tholeiitic in character
and. are broaclly the sae m€tra t3rpe as the henbLencle microgabbrosr The pyroxene microgabbro also shors some obvious sinilarities
with ttre tholeiite but contains consiclerably mone line ancl. less sod.a. Quartz d.oes not sppear in the ncrm, presumab\y becar.rse o1' slightly lorer
silica and the higher li-me oont€$t. Althcugh no precisely siniLar rcek
tras been clescribed by McDsra1cl ancl Katsura (lg6t+) fuom Hawsii the low
alrrrnina anil alkali content of ttre p]"roxene lpicrcgabbror shows that it
too is brnoartSy tholeiitic. -ll0- IMTAUOAPHIST IMTAUOAPHIST fhe assenblages honrblearcle-labrailordte-quar-tz arril
b5rt ownit e-llypersthene-aueflte- ( tr onnU len cle) alth ougfr connon iB
plutonic anrl netanorphlc rooke tre most unueual in elgrkes. If
the {ykes w€rrc Lntntd,ecl into col.cl perid.obite t}re lceplaaensrt of
argito'by horrrblencle wouLdl be eqreetedl to be of verTr liqiteeL eortent. Tet in nalgr {ykes alnost oonplete or tstaL replacment hss oocurred.. this Eay be ,erplained as clue to a long peniod. sf dartenio a-Lteration
$roh as may be oqleotecL if the Qylces were lntrurtect trrto hot peridlotit€
otEt possiblgr, to a later Berdod. of meta^norphisn, '[his point is rehrrned. to :in dllssrlssion of the mode of
lntnrsd.on of the {fkes (p. ) I it is gufflcl,srt hee to inttLcete
that netano4*dam post-itattrrg qykB L$tnreion hag alElarently occurred.. -112- PERTDOTTTES
AND
EABBROS Internalty the Red. Hill Coplex consists of tno stratifo:m zones
rryhich may be &istiaguishecl in ternrs of compositim, texture and. stnlct-
ure of, the rccks. fn its l-orer part, the Cornllex consists of massive
(non-Lqyered. or-foliated) harzburgite with a strongly developed. prrctoclastic texhrre dreeas in its upper part the rocks Erne conposit-
i onal\y molre vari ed. rang:i ng frqn chrnite to eucri te ( gab brc ) , t ertu raI1y,
xenomo4rhic-granular ancL struchrrally, layenecl or fol,iatecl- Cutting
the periclotites ajre veins antL pegnatites, generally of pyroxerite but
sone of anorthosite. The two zones have been ca^Lled the Basa1 and
Upper Zones respectiveS;r, but only the Basal Zore has been shown on the
geol.ogical nap (U.p 1). The bcnrncLarlr between the two zdres has been
arbitra^nily d.efined at the first appearance of nesoscopic stnrchrres such
as foLiation or Jayering. This d.efinition is arbitrarlr to ttre eurtent
that while l,ayered rocks above the bcunclary nay contain protocLastic
tocfure this texbure is characterigtic of the Basal Zane. The strike and. ff.p of layering and. foliation, where present, is
ghovrn dr the geolryioal nap (tU"p 1). In nost rilh.ses the qmbol inclicates
the orientation of tJre only pLanar stnlcfr.rre present in the rocks but iJl
sme outorops bro cnoss-cutting planar stnrcfures €rre pnegertt. In
these ferw cases ttre gtrike and. ctip of ttre last formecl structure is tbat
strown. Reference lnay be made to Map If for the orientation o'f both the
early arrcl lete Etrrrctures which ocour in the vicinitSr of Por*erg Kn* -ll3- In ttre fol,Lowing section the petrograpfsr of the rccks of
the Recl Hill Conplec is given. This includes a d.escription not only
of ttre conposition anil tenchrre of the rocks but also their st:ucture. -114- In.troduction The fresh, r:naltered r"ocks of ttre Retl HiIL Complerc ar"e cmposed. of one or more of the five isonorphous mineral- groups, olivines,
orbhopyroxenes, c }inopynoxenes, f eld.spars an d. spinels . The prima4r
purpose of the mineralogical stu$r was to investigate the variation in
chemical composition of the minerals (vrittr respect to maj or conponents)
over the ntrole of ttre Complex. Deterrni,IBtive nethod.s. The composition of ttr e sil j-cat e minerals
Ivas es tina ted- by measureroent atr refracti ve indi ces by the oi 1 i mmersion
nettrod. (rr"ing sod.ium vryour light) and. in sme cases by cLirect,
orthoscopic measurement of tV on the universal stage. The cmposition
of the spinel was not tleteroined.. Deterrni,IBtive nethod. 0iLs spaced at 0.005 were used. for alrproxinate cLeteminatlon ancl
fc more accurate work oils luere nixed. to grve intesmed.iate values. The refractive indices of the standard. oiLs wa.s d.etemineiL before and
after use on an Abbe Refractoroete arrl ttre refbactive ind.ex of mixeil
oils was measlred on a liguid-fillecl priu refraotmeter calibratecL
against one of, the standartl oi1s. The neasurement d reflective ind.ex
W thi.s nethocl is oonsidered. to be accurate to ! .0O2. 0litrine d.oes not have a goocl oleavage and. thene is no d.dinite
assuranoe that measunenoents of the maxinr:ln refractive index xrill give
the trle value for ?r. Howevsr, careful measurement of the maximum (Z')
and. minimun (Xt) refractj.rre ind.ices of pmd.erecl saples gave in most
-115- eases a value for Zr-Xr close to the tnre birefringence of olivine and. therefore the neazured. values must 1ie close to the true values for Z
and. X. The cmposition rsas estinated. frcm the cur:ves given in Deer,
Horrie and Zussman (1963a, p.22) and. the rnean value of the trvo values
so obtainecl is that quoted. (faUte It). A variation of + .OO2 in
refractive index gives a variation ix coqposition of t 0.8 mole per cent 0rthopyroxene has a perfect {ZfO} cleavage and. therefore in
cmsheil sarnples grains a.re conmon with Z parallel to microscope stage
and. Z can be meazured. directly,
Variation of t .OO2 in refractive
ind.ex of ortlropyroxene gives a varia.tion in cmposition of I 3 moI. per cent. The deterninative cur:ves used. are those of Deer and others
(tgga, p, zB) . Clinopyroxene fba6rnents cornmonlr have some grains gtving optic
a:<is sections and therefore Y can be measured. clirectly. No attapt has
been made to estimate conposition of in&ividuaL cli-nopyroxene specimens
as optic properties may vaqf consideably due to minor substltuti-olts of
QrrO3r NarO and FerO, for the major couponents of CaO, I'tgO and FeO. In general the optic properties are sinilar to a chrome-diopside
arralysed by Hess (lgt*g), (Table rr). Feld.spar has tlro verTr g@d cleava6es and cl,eavffie fragrnents are
comon. Blrtcnnite and anorthite have the T directior almost in (OOt )
anct it can be measurect clirectly on (OOt) fragments. In practice it was
found. that Beasurensrt of nraxi.mrrm and rnini-nrrn refractive inilic es gave
values fairly close to Z ard. X. '![he d.eteminative curves used for
estimation of compos ition are ttrose g:iven by fuith (lgrt) . Deterrni,IBtive nethod. A variation -ll6- r#f
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fiIo of t .002 gives a nariation in cmtrlmition of ! 3.5 mol. per c€nt. Using the nean of the tlree inclependent measuremarts of X, f and. Z the
probable errcr of conposition is abort t 2 mol.. per cent. One feJ.d.spar,
estimated by the above method. Deterrni,IBtive nethod. to be composect of !B per cent anorth:ite,
was chsnically ana\ysecl (after optical measurenents were nad.e) and
gave a composition of 97.2 per cent anethite. Variation
in
conposition The esti-nated. composition of minerals frcm a nr:mber of &iffer-
ent localities and nock types j-s given in Table II. Speci-mens Nos. 10957-61 irnlusive were collected at 50 foot intervals at right angles
to a steeply-d.ipping layering but others are wid-eJy separated. throughout
the Upper and Basal Zones of the Complex. Apart fro the feld.spar of
speci-men No. 10916, aIL detsminations vrere made of the rcountry rockt
as opposed to veins. The follolving general conclusions sem justi-fied.. l[A
ratio of olivine and orthop.wpxeneo (")
There is no
significant rrariation in the Mg,/tr'e ratio: in ttre m:i:rerals frqn rocks of
the s€me tJpe frm dlffersrt parts of the Conplex. Hence thene is no
eviclence of t eryptic layering | . (U) The linits of variati on in
lvlg,/Fe ratio are small; olivine ranges frour togJ to FoBB ancl ortho-
pyro(ene frcm *9O to EnUr. fhe avera€e Mg/Fe ratio-. of ttre fsnic
minerals should. horever be weiglrted in favour of the more rlagnesial
mabers as the iron rich minerals occur in tlre eucrites which €Lre of
smalL. amcunt in corparison to the other rocks of the Complex. The
average values sre therefore estimatecl as "o9' for olivine and hrUU
for orthopyroxene. Clinop:rrox ene Ihe range jn meazuredl optic prqperties of The esti-nated. composition of minerals frcm a nr:mber of &iffer-
ent localities and nock types j-s given in Table II. Speci-mens Nos. 10957-61 irnlusive were collected at 50 foot intervals at right angles
to a steeply-d.ipping layering but others are wid-eJy separated. throughout
the Upper and Basal Zones of the Complex. Apart fro the feld.spar of
speci-men No. 10916, aIL detsminations vrere made of the rcountry rockt
as opposed to veins. The follolving general conclusions sem justi-fied.. l[A
ratio of olivine and orthop.wpxeneo (")
There is no
significant rrariation in the Mg,/tr'e ratio: in ttre m:i:rerals frqn rocks o
the s€me tJpe frm dlffersrt parts of the Conplex. Hence thene is no
eviclence of t eryptic layering | . (U) The linits of variati on in
lvlg,/Fe ratio are small; olivine ranges frour togJ to FoBB ancl ortho-
pyro(ene frcm *9O to EnUr. fhe avera€e Mg/Fe ratio-. of ttre fsnic
minerals should. horever be weiglrted in favour of the more rlagnesial
mabers as the iron rich minerals occur in tlre eucrites which €Lre of
smalL. amcunt in corparison to the other rocks of the Complex. Accurac-v of optical method.s in d.etemining cmposition. Composition detelsination W optical methods is open to err:ors other
than those of meazurementr €.g. considerable changes in refractive index
of olivine may be causeil by small amarnts of Mjr, Ti, or F"J+, rq>lacing
Mg or Fe2*. Sometimes th:is nay c€use a,s r.ruch as .oo5 change fron
the rnormal valuer giving an error of 4 moI. per cent. Despite potent-
iaI errcrs of this sort, Deer and. others (op. cit.) consid.er tlrat
more precise cletecminati.on can be obtained. frcn refractive ind.ex tJran
measurement of 2V. Ifillie
( tgf g) stated. that a single conoscopic
measurement of 2V on the r:ni.vesal stage nay be i.n error by as much as
3o, correspondi.ng to 5 moI. per cent. Munro Ugeil showea that ortho-
scopic measurement of A/ using eErilment siniLar to that araiLable to
the writer, usually gave results at least 20 snaller than the tme value
for large angleo at AI and for conoscopic measurement, between 0.5 ancl
1.Oo snaller. The va}res of ZII quoted. in Table II are therefore likely
to be about 2o lower tharl tnre value for l,arger angles, and about 10
lower for jntemed.late a4gles. -119- Variation
in
conposition The
average values sre therefore estimatecl as "o9' for olivine and hrUU
for orthopyroxene. Clinop:rrox.ene. Ihe range jn meazuredl optic prqperties of
elinopyroxene is snalL Buggesting onlSr a sm411 variation in chenieal
omposition. Also all specimens frcn I canntry r'ockr are green in
handspeci.men and are usually tinted. green in ttrin section. fhus the
clinopynoxeere is likeJy to be sirnila,r to the chrme-tliopslcle clescribed
by Hess (rg4g), (ralte rr). Clinop:rrox.ene -!2O- Feldspar. Calcium-rich plagioclases occur in feld.spathic-
peridotites 1q in tJle Upper Zone ard. the more sodic (aftfrougft still
arror-bhite in ccmposition) in the eucrites, high in the Upper Zone. This distrlbution may be intrpreted- as ind.icating rcrarptic layerirgr
but 8E there is no paral-lel variation in ttre fernic rniner,als of the
aQjacent rocks this intenlnetation is not consi.derecl. to be correct. The average composition of feldspar in the Complex should. be weighteiL
in favour of the more calcic menrbers as these are more abundant. Accordingly it is estirnated. tJrat the avera€e,composition is An96. fntroduction Nomenc1afure. The nomenclab:re used. for rocks cornposed. of
olivine, orthopjroxene and,/or clinopyroxene has been ad.apted. from the
classification in Slilliams, Trrrrier and. Gilbert (lgED ancl is summarised. i.n ttre triangular d.iagra of figure 28. Suborclinate ancmnts (less
tlnan 1O per cent) of a mineral are ind.icatect by a(jectives, €.g. diopsicLic-harzburgite. Spinel hovrever, is a constant accessory in the
perictotites and. is not nomally referred to. Rocks containing subordinate felclspar are tListinguishecl as
lfelclspathicr. Rocks containing essmti"al felilspar (greater the.n 10
per cent) and. clinopyroxene are teued. eucrites (tfre feJ-clspar is
invariab\y very calcic). the eucrites general.ly contain some olivine
and. orthopyroxene and. those containing a higher propction of olivine
than feldspar are termed. oLlvine-eucrites. -l2l- Jl rr.rr vtz
DLops-d',Lt.e,
28. clagglflcatlon of pyrorene beirtng :Berld,otl.teg. SpcrL*Lt Lta
Ftg. fi Q
Lhcr'zp/L.,;te
OLLvLna - ? {?olx'rn,Ltg
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g?('x-ern-Lt g SpcrL*Lt Lta DLops d ,L
28. clagglflcatlon of pyrorene beirtng :Berld,otl.teg. Ftg. -122- d
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8 88b5b65655 Basal
Z one The Basal Zone is composed" entirely of harzburgite (usually
cmtaining subordinate iLiopside) and- rare pyroxenite veins. Exanination
of the field. shows that thee is little
change in composition thrcughout
the Zone. The average composition of the Zone j-s therefore given
reasonably accurately by the avera€e of the modal anaflrses of Basal
Zone rrccks (faUte III) z 72 per cent olivinp, 23 per cent ortho-
pyroxene; 5 per cent clinopyroxene and. 2 p* cent spinel. oo
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m .1g3- Roelc identific+tion. The major rock fu4les can be easily
distinguistrecL in ttre field.. 0livine vreattrers preferentially frm
perid.otite and leaves the assocjated. ninerals in relj-ef. Caref\rl
exmination of the vreatheeil surface therefore enables identification
and. estinatj-on of the relative proportion of the rock folming minerals. Modal anal.vses of a nurnber of rock fi4les is given in Table IIf ,
and are believed. to be representati-ve of the Complex. The average
gnui n size is about 2nt. and. thin sections coveed. at least B, and-
usually, 1 0 square c entinetres . AII modal anal;rs es tyere mad e with
betrry een 1 50O and. 2OO0 points . UPper
Z' one The lmer part of the Utr4ler Zqre is also cmposed. largely of
harzburgite but feld.spathic peritLotite ancl d.r:nite are corrrcn. The
fel,clspathic periclotite invariably contains a conspicuous foliation (p.lfo )
caused by paralle1 orientation of feldspar aggregates. Even rryhen: the
rock oonsists of less than 5 per cent feldspar, the foliation is well
developed. and. easi\r obsenred. Ttre feldspathic-penid.otite occurs on\y
in pockets a few feet in dia^neter within non-feld.spathic harzburgite. -l2l|., The relative proportion of feld.spathic to non-feld.spathic harzburgite
in the l-ower part of the Uppe Zore is estimated. at about one to fuventy. Large irregulanshapecl ruasses of coarse-grained chrnite ancl
rarer $rldely sqlarated. veins or layers of mediun to coars+grained
dunite occur in t,l.e lovrer part of the Uppen Zone. The large masses
are rctrghly lenticuLar boclies measuring about l0O feet long by 1OO feet
wi-d-e. The contacts of the funite with enclosing harzburgite is sharp
on the scale of U:e map but d.iffuse over a distance of 5 feet or so. Knife-ectge contacts betvreen harzburgite and &rnite have not been obsenred Tovrards the upper part of the Upper Zone drrnite and pyroxenite
veins increase j-n abunciance and rcck tl4les becone more varied. Wetrn-
liter therzolite, euerite and. p;rroxenitehave all been observecl but the
most corrnaen rock types are still harzburgite and dunite. Feldspathic-
periclotite is not as cotmon a,s in the lower part of the Upper Zone. A t5rpical section through the utrper part of the Uppe Zone is
given bel-ow. The section is exposecl on a ridge between 364855 and
JBOB5O. Layering, lamination and. the attitude of the rock units are
all paralIel and the only cross-cutting stnrcfures are coars+grcained. pJmoxenite pegmati tes . Contact serpentinites. Contact serpentinites. 1OO ft. Dunite 15 ft. Olivine-cliopsictite (BO-9O p"r cent pyr','oxen e) Harzburgite (e5 per cent pynoxene) anct clunite
d 2 i
h
hi k
&ft Harzburgite (e5 per cent pynoxene) anct clunite
&ft layered. eadr 2 inches thick Drruite (cut W 3 inch-tluick veins of pynoxenite)
1O0 ft. Drruite (cut W 3 inch-tluick veins of pynoxenite)
1O0 ft. -125- 15 ft. 50 ft. 2 f1u. 60 ft. 150 f,t. 80 ft. 4 ft. io ft. 2 ftt. ,{O0 ft. 20 ft
50 ft. 15 ft. 100 ft,. 60 ft. Ollvine-Byrox€nl,te (7O p* cent pyroxei€.)
laninat ed. UPper
Z' one Harzburgite (m per cent pltroxene)
trbcnite
Dunite (a fem veins of pyroxenite)
Inarzburgite (eO-4'0 pen oent pyroxene)
antl &rnite lsyered J inohee ancl 2 inohes
thick respectively
Drnite
hlcrite
Harzburgite (3o per c-ent pyroxene)
Srerite
Iilarzburgite-dunite, I-ayered 6 inohes to
2 inohes. Cut hy pJrroxenite veins
Lherzolite (4O per eerrt pyroxene)
Dunite (py-roxeglite veins up to 3 lncheg thiek)
T[ehrlite (:O pen cent p]"roxqre) laninatecl
Harzburgltr (20 per eent p'Spoxene)
hmite. (ttote ttre abnrpt ctranges in nock t;pesr e.g. frcm lrarzburglte
to euerite to rtrnite. Ihayer (tg60) consLclers abnrpt rrariation in
nock tJpes to be a tlnrical featurt of Alpine-fipe periclotitee.) It Ls y€rtr cllf,fiault to estinate the averag€ conpoe{tlon of, t}re
Up4rer ?.one beaause of the smatl and large seale tqyerirg. Ilonever"
solue meaaune of tle relative proportions of the ninerale can be mafle -126- using the composition of ttre Basal Zones as a basis for cqrparison. The large proportion of dunite, suggesting c@parative o1-ivine-
enrichmffit, is of?set by the higher proportion of orthopyroxene in
the pyroxene-rich rock units and the la:ge nurnber of pyroxenite veins. 0vera11, the relative proportion of olivine to orthopJrroxene is
likely to be about the eerne a.s in the Basal Zone. ClinopJmoxene also
appears to be more cormron but this may be mislead.ing, as cljnopJroxene
is wiclely distributed thranghcut the Basal Zone and in the described. section it is concentrated. in l-ayers or veins and. is therefore more
conspicuous. The averege cortent of clinoplroxene is probably
betryeen J anct 7 per cent. Feld.spar occulrs a-lnost who11y withln the
eucrites ancl constitutes about l+.0 per cent of the rockSable III)
As there is a total of B feet of eucrite in the 160O foot thick
section, ttle proportion d feld.spar is of the onder of O.2 per cent. The section is regarcled. as typical. of, the ulrper part of the
Upper Zone, the avera€e composi-tion of which is therefore estimated. as 70 per cent olivine, 22 per cent orthoplmoxsre, 5 per cent
clirop5rroxene, 2 per cent spinal ancl 0.2 per cent feldspar. -127 - !/iff.E IV
cfffitrc,/f,., aiIALYss
W.1
-
e.7
0.4
7.5
o.13
4/r.Jr-
Q.7
0.1
O.1
o.05
0.1
o.oJ
hOOOprn
4500
rl
100 fl
50
rl
50 rl
2rl
20 rl
l+3.1
E
1.5
1.4
7.4
o.11
IQ.B
1'8
0.1
0.1
o. UPper
Z' one 15
0.8
0.q5
lo@pp
l|ooo ff
150 tl
70 rl
100 rf
2rl
50
rf
43.2
12'.2
o.8
5'1
C/.1
25-6
9.4
1.1
C.1
O'1
1.75
0.ol
55oopp
4OoO il
10o rl
70 fl
35A rr
2il
150 rl
gg .w
100.16 1 oo.38
sio2
Tio2
MroS
F"zo,
FeO
I,h0
ilgO
Ca0
ITarO
Ezd
H2o*
'ro5
%o
Cr
lii
Co
v
Ti
l.Io
Cu
Tota1 !/iff.E IV
cfffitrc,/f,., aiIALYss
W.1
-
e.7
0.4
7.5
o.13
4/r.Jr-
Q.7
0.1
O.1
o.05
0.1
o.oJ
hOOOprn
4500
rl
100 fl
50
rl
50 rl
2rl
20 rl
l+3.1
E
1.5
1.4
7.4
o.11
IQ.B
1'8
0.1
0.1
o. 15
0.8
0.q5
lo@pp
l|ooo ff
150 tl
70 rl
100 rf
2rl
50
rf
43.2
12'.2
o.8
5'1
C/.1
25-6
9.4
1.1
C.1
O'1
1.75
0.ol
55oopp
4OoO il
10o rl
70 fl
35A rr
2il
150 rl
gg .w
100.16 1 oo.38
sio2
Tio2
MroS
F"zo,
FeO
I,h0
ilgO
Ca0
ITarO
Ezd
H2o*
'ro5
A,n_+h's,is 1 . Protoclastic
Iurzbr:.rgite represent ative
of Basa-l Zctrie. ],lap ref eren ce t+3'o851
Anal.vsis 2. Feld*spathic
-
harzburgi-te fran near tlre
i:ase of Upper ?rt:.e. i'hp reference 410E05
furalvsis J. 01ir/:Lne-eucrite
from near top of Upiier Zone. I,lap reference 37fi57
1.!cda-1 ana-l-yses of speci-men
iven jn Table II[. Chern:icaL analyscs by J.A. Ii:ltchie
Spectrtgraphic analyses by
'!tI. C. Tennant. %o
Cr
lii
Co
v
Ti
l.Io
Cu
Tota1 -129- TASJE V. qffi,_Egj,r, Arr$IEtrs g.q jgpEiFTE
Vejn cuttir4g l:.arzbu4Ej.te near llt. Ch:rcme. I'Iap Ref . 417BoB. Spec5men No. 10956
Weight per cent
i,lolecular l,irrrber of ions
Iloportion
(lz(o) ). si02
Ti02
A1^0_
1)
F"eoJ
FeO
1,80
Ca0
Iiar0
lLo
PzaS
%oi
Hzr
Iotal
43'2
-€
36.3
O.J
0.15
less tiran 0.1
20.1
_i_'j
o. oo
o.5
o.J
{ 01 .00
Q.7192
a.3551
o. ool B
0.0021
O. J5Blr
o. oo55
si
.L]-
FJ*
Fu2+
7.996
7.939
o.026
o. o2b
3.996
0.106
Ootica]. F:mperbies. Cr to;>p
I'h
T0prm
l{i
5pp
Ti
lorrm
Co l Qpfn
l.'!c
?pfm
V
5IEn
Cu
l Qpim
1.574
1.583
1 .589
TI.Q Y
Iiolecular TreJscentaqe Anorth:ite : Albite 97.2 : 2.8
Itrx
TT
v
I'Iz
AI
10 R o c k
a n a__1 .v E e g Three new chernical analyses of rocks from the Red Hill Cmplex
are given in Tabl-e fV. The first is of a lineated. protoclastic
harzburerte wliich althou8fr by definition is includ.ect in the Upper Zone
of the Cmtplerc, occurs near ttre bound.ary with the Basal Zone, is
petrographically similar to Basal Zone r"ocks (c.f. TabLes fI and IfI) ,
and is therefore regarded. as represecrtative of the Basal Zorte. The
second., a fel-dspathis-perid.otite, is verTr sirnilar in chernical conposit-
ion, but contains slightly more a}:minir:m and ferric iron. The third. is an olivine eucrite fron the upper part of the Upper Zone anrl" althcuglr
not an abund.ant rock tJpe, it is consiCeed to be petrologicalJ.y
signlficant. Coruparison of the trace elaents Cr. Ni, Co. V, Tc, Mo and. Cu
of the three specimens clearly indicate the close genetic relationstrip
of the eucrite w:ith the more abundant harzburgite ancl feldspathic
perid otites , qffi,_Egj,r, Arr$IEtrs g.q jgpEiFTE ejn cuttir4g l:.arzbu4Ej.te near llt. Ch:rcme. I'Iap Ref . 417BoB. Ootica]. F:mperbies. 1.574
1.583
1 .589
TI.Q Y
Iiolecular TreJscentaqe Anorth:ite : Albite 97.2 : 2.8
Itrx
TT
v
I'Iz
AI
10 -129- DESCRIPTTON Rock textures of the Red HiIt Complex can be divicled. into two
groups, clastic and xenornorphic-gf,Brrular. Clastic textures may be
described., in a broad sense, as in 'iii11ians, I\rrner and Gilbert (1g54,
p. zil a.s rcck textures in which the constituent minerals rypear to
be fractured. Xenornorphic-granular tortures refer to non-clastic
textures in which alnost all of the constituent ninerals are anhed.rral. lil i n e r.a 1 a n a 1 v s e s A new analysis of feldsp€lr, frm a vejn crrtting lrarzburgite
near Chrone, is given in Table V. The computed. coposition , Mg7.z,
irdicates it to be a basic anorthite slnilar to a feld,spar recorded W
Tsuboi (lglil
from sn olivire-€usrite nottrle enclosed in tuff. Ihe
cleternd.natlon of ttre felcbpar conposition from optical properties (gavett
in Tables II and V) and the deteuminative curyes of Smtth (tgSl) -130- gives results in verTr close agresnent with the chemical analysis. Challis (tg6.f, shovsed. that the clinopyroxene of the ultramafic
rocks from the Red. Hill Complex have lovrer *r}j,
NarO and Ti02 content
than clinopyroxenes of peridotite nodules in volcanic rocks. Challis (tg6.f, shovsed. that the clinopyroxene of the ultramafic
rocks from the Red. Hill Complex have lovrer *r}j,
NarO and Ti02 content
than clinopyroxenes of peridotite nodules in volcanic rocks. In tliis respect th e clinoplnoxenes of the Red Hill Complex are sjmilar
to those of Dun llountain (refer to analyses given by Rms, Foster and
h:yers, '1954). -l3l- Clastic
textures Protoclast_ic. Rocks of the Basal Zone and some in the lower
part of the Upper Zone have a strongly d.eveloped. clastic texture. Becamse this texture is inferred. to have formed at high temperatures
(arr:.ngmp1acernentofflreConp1ex)itisreferred.toas@. A typic al eccanple of the t e:cture ( specinen No. 1097 5) i s illustr:at ed. in figure n. Fra8ments range in size from 5u-. down beLm resolution
of the microscope. The natrix (grains less than 2 mn. *cross),
coluposed of the sqme minerals as the pcrphyroclasts (fargengrains),
forms a clense mosaic of, grains ccnncn$r showing little
evid.ence of
d.eformation. The porptgrrocLa,sts on ttre other hand., are consid"erably
clefomecl and. occur as rounclecl. grains with high]y sutured. margins (fig. lO) . Several of the porplrtrnroclasts are spl.it into one or tiro sr ightly
separated parts. Along the fractures is a fj-ne-gr:ained modaLc of the
matrix. Bmt laurellae of orthopJnroxene (ng. 31), very strongly -132- Flg. 29. Protoclastic harzburgite. itounded
porphyroclasts of olivine and. orthopyroxene
in e gra.nulated. matrix of the same composition. Spec. No. fO9?5
( x 8). Flg. 29. Protoclastic harzburgite. itounded
porphyroclasts of olivine and. orthopyroxene
in e gra.nulated. matrix of the same composit
Spec. No. fO9?5
( x 8). Flg. 29. Protoclastic harzburgite. itounded
porphyroclasts of olivine and. orthopyroxene
in e gra.nulated. matrix of the same composition. Spec. No. fO9?5
( x 8). IT;
1) i,l
,,,
:uil
t'-/.t
,
r'\. t
/o
,d.--
f.,f
{
{
.T
t
F'i g. 3O. Margin of orthopyroxene
ln protoclastic harzburgite. porphyrocl ast
( x 50). L F'i g. 3O. Margin of orthopyroxene
ln protoclastic harzburgite. porphyrocl ast
( x 50). -133- J,. Fig. 31. lient
1n protoclastic
1I
1 ame 11 ae o f ort honyro--(e ne €g.a i_ ns
harzburgite. ( X 2.0). Fig. 31. lient
1n protoclastic
1 ame 11 ae o f ort honyro--(e ne €g.a i_ ns
harzburgite. ( X 2.0). lrl
r_)
Fig. 12. Xenomorphic-gnranul ar
u
text re In dunite ' (x2r'';t Fig. 12. Xenomorphic-gnranul ar
u
text re In dunite ' (x2r'';t -13r+- developed. transl-ation band.s with mptured. boundaries, ild the fractured. apPearance of the larger grains indicate that the toch:re is d.eformational
in origin. Original protoclastic tectur"e in some rocks has been consider-
ably mod.ifled by pct-deforuational rectystal-Iisation ("ee below) and in
sme cases has been conpletely obliteratecl by d.evel-opment of replace-
ment veins of &.rni.te. Clastic
textures For instance, at l+128E5, veins of dunite cut
at varying angles across country rock which has a well-d.erreloped proto-
clastic terture. The dunite (No. 10982) has a xencmorphic-equigranular
texture (fie. 52) drile the harzburgite within l+ inches of the vein
(I'lo. 1O9BJ) ir clistinctly protoclastic. Protoclastic textures also
occur in other specimens of the country rock and. are of regional erctent. The dunite veins, preslrmably fo:med clurlng cooling of the ultramafic
rocks, are clearly yonger than the protoclsstic texture which tlienefore,
must have d.eveloped. when the rocks were stil1 verlr hot. The most f-ikely
period. was cluring or before enplacement of the Complerc, wtren the ::ocks
nea^r ttre base of the ultra^nafic sheet must have been considerab\r
d.eforrned. Cataclastic terctr.rre. Ra6an UgAil riho d.escribecl very clear
examples of protoclastic tecctur"e in the Twin Sisters Drnite refered
to that tenhrre as rcataclasti.ct. It is preferred here to distinguish
d.eformational ol,asti,c textures formed. at high temperatures (protoclastic)
frcm those fomed at 1or tenperatures. The Latter are referrecl. to aa
cataclastic, the s€me meaning as given ln Tfillians, Thrner and. Gilberb
(rg*). -135- Fig. 33. Catacl r,stic texture
zane traversing perid-otite. (x j)
d.evelr-ro€d in a sheer
Specinen ITo. 109E5 Fig. 33. Catacl r,stic texture
zane traversing perid-otite. (x j)
d.evelr-ro€d in a sheer
Specinen ITo. 109E5 -136- Cataclastic texhrres are found. 1oca1ly clerrelopetl in rccks of
both the Upper and Basa1 Zmes. The.i' have formed along shear fractures
in the ul-trmafic rocks and are seltld more than a few inches wid.e. Although wicler zones of cataclasis may have d.erie1oped., these prcbab\r
pemittecl sufficient water to enten and. cmpletely serpentinise the
perid-otite and thus to obliterate the cataclastic textrure. A good. ocanple of cataclastic tectune is shown by specimen
No. 10985 an oLivine pyroxenite frosr ,969?4. A streer zone about 1cm. wid.e cmposecL of verTr finely-cmshed materiaL cnrts across the rock
(fig. 35). Ttre shear zone grades lateral\r throqgh increasinaly large
breccia fragroents into the normaL xencnror?hic-grarnrlar terctrre of the
country rcclc. fn hand. speciren ttre shear zone is observed only as
a linear, weathered indentation in the pyroxenite. The l-or toperature origin of catacLastic teocture is suggested
by its only 1ocal clevelotrmerrt and the absence of post defoma,tional
recrystalli zati cn. Xenonromhic - eranular texBres ldost rocks of the U1per Zone, all veins, and. lqyered rocks
have a xesroruorphic-gzanular texture. Most po\nnineralic rocks are
ineguigranular with indlnirlual grains rangirlg from O.fu. up to about
l1nm. (*igu . 34, 35) , but zuch monmi.neralic r"ockg aa clunite generally
have en €{luigrznular terhrre (fig. ,2). (Uote the possible eutreilral
6ratn of olivine In fJ,g. 52, ftre photomlcrograph (Spec. No. rc996)
is of thrnite in a foliatecl antt l-ryerett felclspathic trarzburgite-chrnite
qpence. Ehs signiflc&nce of a:hedra are refe:rect to on page 1l+5.) -137 - Fig. 34. Xenomorphic-rga.nu1a.r
eucrite. (Sp"eimen No.1O979)
texture
(
ol. ivine-
5)
in
X
Fig.35. Xenomorphic-grenular texture
( Sp"ciriren lio. 10964). 1n
(
euerite,
x r5). Fig. 34. Xenomorphic-rga.nu1a.r
eucrite. (Sp"eimen No.1O979)
texture
(
ol. ivine-
5)
in
X Fig.35. Xenomorphic-grenular texture
( Sp"ciriren lio. 10964). 1n
(
euerite,
x r5). Fig.35. Xenomorphic-grenular texture
( Sp"ciriren lio. 10964). 1n
(
euerite,
x r5). -138- Xmmorphic-granuLar rccks in the l-mer parb of the Ugrer Zone
frequently ccrrtain highly irregular grains (fig. 36) a texfurre
referued. to aa irrqular xenomorphic-gr:anu1ar. 0ther
types,
of
rock
texture Althouglr the miclespread fomation of ttunite by replacemmt
of prexisting peridotite (uod vice versa) i.s ilenonstrabLe ( p.:58 )
textural evid.ence of replacement is very rare. Appare,lrtly the
replacement d olivine by orthopyroxene tencled to fom a large number
of smal,l tliscrete individual grains. Iltis can be explained €rs due
to later recrystaLlisatist. If, as is to be expected., replacement
caused. the partial conversion of olivine grains to orthop;rroxene
then Later recrystallisatidr resulted. in regrowttr of the partly-re-
placed grain as trvo sqtarate grains, one of orthopSrrox€ne, the other
olivine. , Glear eviclerne cf partial replacenent of olivine by orttro-
pJrroxene is shonn in one instance, hcnever (fig. t*O). A single large
(6*o.) orthypyroxene grain encloses a ra6ged., partly absorbect grain of
oLivine. The oliuine rinolusionst have a sirrgl,e extinction position
indicatlng optical contlnuity. Note the tentlmcy for many of the
oLirrlne trinclugionsn to have a long axis parallel to the orthop;poxene
c-exial This per*ratrx illugttates preferential repSacment. Note aLso
that the exEolution lanellae (probably of Ga0-rich pSrroxane)only occur ns -139- centre of the orthoplrroxene grain. As the CaO content of ortho-
pyroxene is a function of temperature (At1as, 1952) and. is exsolved
during slow cooliry, it nray be conclud.ed. that the outer rims of the
grain ( 1ame11ae absent) aeveloped" at a loriuer temperature tlran the centre. Brcwn (lgSl p.528) has suggested that augite blebs in the centre of
orthopSnroxenes of the Skaergaarcl Complen are &re to i.nvq:sion of
monocli.nj-c to orthXhorobic pyroxene begi nnir€ first in the centne of tlr e
6ra6o w:ith subsequent material ecsolved frm the rim added. to the centre. Ttre eocample is hcwever not who11y anala6ous for though blebs of augite
are restricted. to the centrre, fine augite Jarnel-lae sjmilar to those
featured. here persist to the outermost margin of the grain. RICRYS l'Al,L $-;\IJ0 lil In ad.cliti on to 1ocal r,ecrystallisation that occurs in rreplace-
ment veins (p. l3O a gradual r€crystallisation process, nocli{ying orig-
inal protocLastic texture can be icl.entifiect ln ttre rrcks of the Basa.L
and. lower part of the Upper Zones. The first stage in the proces is shown by the cteve.Lolment of
irregu1€rr apoplrgrses on the marg:ins ctr pcphyroclasts in pmtoclastd.c
harzburgites of the BasaL Zore (eie. ,o). These qloptqrses, surrcnrnd.ed. by the natrix, are unl-ilcely to have persistect ctring protoclasis and. have pnobably groyrn by post-d.efonns,tional crecr3retolLisation ;
the
laqger grains asgirnilattng the saller, rellatively unstable graino of
the natr{x. -140- As 4ssinifation continued. the largen gruins began to interfere
ancl. tlevelop snooth unsuiured crystaI bo:ndaries (nig" . 37, J8). Rennants of the matnix of original protoclastic texture rnay sti[. be
observed interstitial to the larger grains (*iS. ,B). The final
stage in the pnccess w€rs complete obliteration of the protoclastic
texture ancl the cleveLotrment of xenomapSls-gr&nular texture. The irregular xenanorphic-granular te:rbure clescribed. above is
reatlily ecqplicable in te:ms of the reclystallisation process. It is
possible that late in tlre recrystaLl,isation process scae grains
assi-m:ilating the intensti.tial, finely-grarrulatecL nat eial wffe con-
strained by acljacent porphyrcclastsr sd the grains developecl long
apophyses penetrating along the crystaI bcunclaries Eith grrcwth o,rly
completed. when al-l- the natrix hacl been absorbed.. Most speci.rnens frm the lovrer part of the Upp en Zme show con-
siiltrab1-e nodification of original protocLastic te:chrre wtr-11e specinens
frqn the Basal Zone generally show only weak, if anyr eviilence of recry-
stallisation. ft is thenefore probable thst the degree d post-d.efom-
ational r'eorystallisation increages upvrartls i;n the Ccropl€c.- Pertraps
protoclastic texfure was tlevelopect in all nocks at one tise but &.re to
recrystallisation it is norir preserveA on\y in the rccks near the base of
the 0onp1ex. Ra6an (1g65) tras given geveral opeoific eranples d recrystalli-
sation in the trrin Sist€rs Dunlte - such as a tlin unstr:lainecl mogaic
zone outting a single strruined. crystal. Sinilar fe,tr.nes occur through-
out the Red llilt Complex. In one exaple a train of smaLL S&ins of -141- Fig. J5. Irreqular xenonorl,hic-granul .rr texturgr
hi fr
rd
t
Fig. 37. Smooth unsutured bounti
pyroxene grains in lrrotoelastic
noCified hy recrystrlr isation. : "i e , 1'r6trneen ortho-
harzhurgite llartly
( x ,o). fr
rd
t Fig. 37. Smooth unsutured bounti
pyroxene grains in lrrotoelastic
noCified hy recrystrlr isation. Fig.38. Interstitial
protoclastic texture.
remnants of the rnatrix oJ' original
( x 5o). RICRYS l'Al,L $-;\IJ0 lil : "i e , 1'r6trneen ortho-
harzhurgite llartly
( x ,o). Fig.38. Interstitial
protoclastic texture. remnants of the rnatrix oJ' original
( x 5o). -143- . /',
f,
l
'
;l
lrt, t
' l,'r, ,'
'
r'
{
I
.1'rt
,,,
t,l't
t'
I
;.i/
l "t'
/,It
I
't'
/
=.tr.'
.II. tjlE,. . t). 1t
?ig. 39. Grinr-rl rr. f*g:::onts of spinel enel osed
in orthop:/roxene (op*) and ol ivine ( of ) grains. ?ig. 39. Grinr-rl rr. f*g:::onts of spinel enel osed
in orthop:/roxene (op*) and ol ivine ( of ) grains. Iig. 40. Orthopyroxene,qr:-ins (d"rk) replacing
olivine (f ip-.ht ). 41l ol ivine resid.uals ha.ve
paralleL extinction -ocsitioir. il'
L{
'ff.'
-l4lr- Iig. 40. Orthopyroxene,qr:-ins (d"rk) replacing
olivine (f ip-.ht ). 41l ol ivine resid.uals ha.ve
paralleL extinction -ocsitioir. -l4lr- spinel crosses a. large otrhopyroxene grain anct attjaoent grains of
olivine (nS. 39). The spinel was probabl,y d.erived. frcm a single
spinel crystal'which becane 6ra^nu1atect by protoclasis. (SeveraL
eranpLes of saLL areas rich in fractured, spinel- gratno harre been ob-
served. in Basal Zone rocks.) The orthopyroxene evictent\r grew in situ
surrouncting ancL partly assimilating the grains of spinel. Note that
the spinel grains within the ethop;roxene are all smaller and. more
roundecl than those in t]re olivine. This probably neflects the greaten
absorption of aluuina into the pyroxene tJlan into the ollvjne lattice. The apparent alignment of the elongate grains par:a3.1e1 to orthop;roxene
c-axig may be &re to prefenred. absorption nomal to o-axis. textureg. Poikilitic orthopyroxdre enclosing graino d olivlne are of
cotmon occurrence. In gengral the enclcect grains are r*rolty entreilral
thougft a few gralns na6r show possi.ble crXrstal faceg. Ihe enclosecl
grains €lre -omaller ancl more round.ecl than ttre olivine grains wh:ieh nrake
up the renaind.er of the rtck
The orttropJrrucsre host is anhed.raL with
irregular boundarieg. Such poikilitic grains noay be interpreted. as
forued. either by rqll-acenent of ol,lvine by orthoplrro(ene, or by grcnttr
of an orthopSmocene peplyroclast slxnounding olivine grains of an
initiall.y protocl,astic matrix, or, aa has been clone by Challis ('lg6Sa),
aB inclloating oqrstal seAimatati.on fro a magna. In no caee hes ttre
writer obgenrecl tercbtrus iclenttoal to ttre autonephio-g€[tul^ar texfirres
cleecrdbecl frm the Stf.Llwater Cmpleuc by Jackson (t9gt ). Such teocfures -145- have wholJy euheclral grains of olivine sunrounded by a polkil;itic
megostasi g. I[ho11y euhedra]- crystals are eecceeclingly rare in t']re Red Hill
Cmplex and. errcn when pnesent such grains nake up only a very smaIl
fraction of the rock. For this reason ttre tecture of the noeks is
clescribed as xenonorphic-granulan A nossible euhedral graln hag been
featurect earl-ier (fig. tZ). E\rheclral olivj.nes, cleteruined. m the universal stage, showing
in scune cases [orO] s ections with t]r e clevelopnnent of F oO] ancl [t Ot]
faces hove al,so been observecl in neta.norphic layering of the Porters
Knob Outcrop (p. 248). Such errhedra a:re probably of netanorphic ori-gin. Althougfi euheclra in monmineralic metamorphic roc}cs are not ccunon they
are not unknownr B.g. euhedral grains of glaucophane occur in almost
monm:ineralic glaucophane-schists (perso comElo R.H. Cf.ark) and. have been obserned by ttre writer. The occurrence of arhedra in neta.nor$uic layening makeo it
invalicL to use anhecbal grelne a,s oonclusive evidlence of crystal
sedimentation. Niggli (+95t+, Rocb ancl ltineral Dep,osits, Tf.H. Freaan
a,nd. Co. p.23t+) notes in this respect trattopts to use the d.egree of
tdicno4rhisn d crXrstals as a means of reconstmcting the processes
of cr5ntallisation fro solution, or of recrygtalJisation in soliA
aggregates, are fraught with vety consiclerabLe difficulties. Too little
ariticis is brcught to bear. on such natters, antt this has given rise
to nany pobl.€os more inag:inary tbsn realtr. Cbal.Iis @6fu) oonsiclerg Eome rccb near the western barntlary
of tlre Rett InLt CmpJ-ex heve tgpautonorphic-granular textres resobling -1116- thoge of the Stillwater Cornplex and. by paraLle1 angtment has j-nterpreted. the Red. Hill layening as formecl by crystaJ- sed:imentation frcu a l-iquict
In,a8rna. textureg. This is reasonab\r intwpreted. as meaning that part or the
whole of Recl Hill Conploc passecl throtgh a liquiil magnatic stage. TLre writer hopes to eccamine at scme ftrture clate the eviclence of cr;rstal
sedinentation in the light of er:heclna in replacement veins and the
possibility that poikil-itic textures traJr also be of replacaent origin. At the present time Chal}lsts interpretation for the r.ocks shrdieal
by her is tentatively acceptetl- Zonine of cnrstals Chal}is (PeSil does not recorcl zoning in oliv:ines frcm the
Red Hi1l Conplex but she clescribes ancl illustnates one care d zming
in an orthop3rocene 6r'rain. This grain has an euhedral cor€ (*g+)
rith an anhedral- rin of coposition E 86. The rriter has previous\r
clescribect (p. Eil zoned. orthopSror(ene grains frcn protoclastlc
harzburg:iteg. The cores contain augite Lanraelae and the rins are frae
of such lanpllae. It was not poosible to cletemine any charge in
ug,/re natio between cores and. rig,Eof thege crystaIs.'. -146e,- 't The terrns f prima4rf ard I secondaryr are cwonlgr used. in the sae sense
but carry strorg genetic connotations. Prinarlr layering for instance,
wuaIly inplies la,yering fomed by crystal seAi$entation (e.g.Ttrff€rr 196t)
AB shown in a Later section there is no justification for assunirg thst
I earlyf 3-alrening has ctevelopecl ln a ctiffeent m€umer frq the f Laterr.
The terms f pnina^qrt and. f seconclaryr are therefore not used.
-149- f n t r o.c[ u e t j! o n The most conspicuous mesoscopic stmctures of the Red HiIt Ccnplex
are compositional layening, mireralqgically d.efined. foliation and jointing. Layering and foliation, evident\y fomed. &.rring or before enplaceraent of
the Complex, have gtreat stgnificance in cleter:oining ultramafic petnogenesis. Joirrting, presurnably largely d.evelopecl during post-emplacernent deformat ion,
is not likely to be so i-uportant and. has not thenefore been studied.. In the fo11owir6 section, the temr mesoscopic stnrctures refers iror:licitly
to l-ayering, foliation and allied rock stntcfures such €ul lineation or
lmination. Nmenclafure. I,ineation is tLefined by parall-e3- orientation of
elongate rnirerals or nireral aggregates. Foliation is a pla"nar stmeture ttre ind-ivichral folia of whlch
cannot be traced. more than a fer inehes and. is of three kinds. ft may
be oq)ressed. by paral-le1 orientation of tabular nj-nerals (fie. hl r (i) )
or aggregates (fi) ffi tJre foLia rnay be ilefinecl by srnall, wid"ely separated. coplanar niner:al grains (iii). ILre l-ast is the usual fom in which a
felclspathic foLiation occurs. lg@$lon i" pro&:cecl by numerous paraI1eI, close\r spaced vslns
or pLatelike boclies of mineral grains only one or two cryst al diameters
thick. It d.iff ers frcm f oljation i-n that inclirriduaL laninae are
persistent over Aistatrces of sevenal feet. -147- ---
o o
$&Aa
--.-Eq;€
1-'
J--
-:
r$b
€srizt. (i)
-
-
r.-?\
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_ \
, \ t,. \
|
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\. r. - . \ \. ,
,-'\r\
\l-r\\/
(l) Pccatlel -tabulor crgstals
F,3. r+r F0LrATI0N iillhfilfi, iiTfff,5:;;t:jlffli^. ---
o o
$&Aa
--.-Eq;€
1-'
J--
-:
r$b
€srizt. (i)
-
-
r.-?\
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(l) Pccatlel -tabulor crgstals
F,3. r+r F0LrATI0N iillhfilfi, iiTfff,5:;;t:jlffli^. -l$8- Lavering is a planar stmcture expressect by para1le1 tabul^a.r or
lenti cu lar b odies of rock of diff eri ng rnineralogi ca1 conposi tion. fn
this sense of the terrn, closely spaced parallel veins nay g"i ve a lqyered. stmcture. Tlr:is e:ctenslon of nor:rual usage is necessaJTr FS no clear
tistinction can be made betiveer mul-tiple para11e1 vei ns (for instance
durrite in harzburgite) and layering fomecl by some other mechanism. In s oroe out crops th ere are two int erse cting layered st mc tu res. These nrill be referred" to as t earlyf an d. f n t r o.c[ u e t j! o n r late r layering d epend.:ing on
the cross-cutting relationshi-p. * Description Lineation is not cotrnon in the Red Hill Complex and is only ob-
served. in the lwest zoclcs of the Upper Zcure, where it is produced by
paraIleI orientation of elengate aggregates of orthopyrcDcene grains. Ihe
lndiuidual grains shcrsr strongly preferred orientation with their c-EXss
parallel to the lineation (p. 171 ). triicroscopically, well cleveloped. lanellae paralle1 to (tm) can be observed. (l'to. 10967) and. usually the
grains are strongly cleavetl on [Zf O]. The laneJ-lae are distinct in that
they €lre utuch nore numercua, firrer and closely spaced ttran exsolution
1amel1ae and are probably translation laneLlae (Trrner and Tfeiss, i96j,
p. 359). The texture of the rock is protoclastic with only minor re-
cqrstallisation and erridently the lineation is a defomational featur"e. -149- Fig. 42. tineation (toprcentre) in protoclastic
harzburgite near bound.ary with Basal Zone. The
I'ineation deternined. by elcnga.te aggregates of
orthopyroxe ne . Fig. 42. tineation (toprcentre) in protoclastic
harzburgite near bound.ary with Basal Zone. The
I'ineation deternined. by elcnga.te aggregates of
orthopyroxe ne . Flg. 43. Feld.spathic fol iation
veins that were inclined steeply
Foliation parallel to I rfe veins
-l5o-
formed. frorn earlier
to the right. and dips to the left. Flg. 43. Feld.spathic fol iation
veins that were inclined steeply
Foliation parallel to I rfe veins
-l5o-
formed. frorn earlier
to the right. and dips to the left. Flg. 44. FeLd.spathlc foliation
a.ssociateiL
wttb d lopside ve ins. ( see text ) Flg. 44. FeLd.spathlc foliation
a.ssociateiL
wttb d lopside ve ins. ( see text ) -l5l- In strong\r weathered. surfaces (rig . tC) tkre lineation is easi\r obs enred
and. lies in the plane of foliation d.eveloped. nearby. In strong\r weathered. surfaces (rig . tC) tkre lineation is easi\r obs enred
and. lies in the plane of foliation d.eveloped. nearby. FoLiation. A weak foliatiqr d.dinecL by parallel a6gr"egat es of
orthopyroxene is comnmfy observed. in protoclasti e harzburdte slightly
higher i-n the Conplex (i... further fro the upper boundary of the Basal
Zoner than the lineatiod. Rarely a lineation can be obrved in the plane
of foliation but is very weak. The foliation is w'id.espread and is usually
paralIel to tldn layered stnrctures (aunite and Harzburgite) developed
higher stilL i:n the Conplex. The most cmspicuous ancl best d.evelopetL fol-iation occurs in
perid.otites containing a few per c ent of feldspar. The feldspar is
generally sparsely dissainated. Description to the extent ctr 5 per cent in patches
about a foot acro.ss, surrounding ttre patches or pockets is non-feldspan
bearing perid.otite of tire sane mineral conposition (1ess the feldspar)
and texture as the felilspatlric-paniclotite. The foliation is of tlpe (:.i.i)
(fie. 41); wictely sqrarated. srall feldspr gnains lyine in foU.a through-
out ttre rpclc. The feld.spathic foliation is smetimes accmpanled. by aJl
orthopyroxene foliation of the tlpe d.eseribed. above. Cmnonly a felclspath:ic foliation is essociatecl rith ttrin feld.spar
aqVor tliopsid.e bearing veins (fig. 43). t\vo periods of veining can be
clistinguistred., one part\r-dismpted. set dipping steqrly to the right,
the other cLlpping to the left otr the photograpLr. The foliaticn is sub-
paralle1 to the later veins ancl the felclspar ctr the foliation has
prob.bly has pr.obably been d.er{,ved. frcn the earlier veins. Anothen
enample (fi.g. tr4) atrms more clearLy the cterinatlon of felclspar frcm an
earlier vein. In this oase, the feldspar fol,ia are restrictect to a lr inch
-152- -152- wid.e zone which is traversed. ilown the miditle by a rveinr of diopside. The &iopside grains are discontigucus, prrcbab\r the result of re-
crystallisation of the perid.otite after injection of tlre vein. The vein
is considered. to have been initially
cqnposeil of' feldspar anct tt iopsid.e. A change in orientation of the stress pattexr rezulted. in migration of
the feldspar along schistosity planes and. recrystallisation of the
periclotite,
That recrystallisation has occulTed is evident in fabric
stardies (p,l8f , No. 1q997). Lanj-nation. As the prcportion of feld.spar in peridotite in-
creases, the felilspathic foliation becomes better tlefiffid, indiridual
fol-ia more persistent and. foliation grades into la^mination. An exmpl-e
of a stmcture internetiate between fol-iation ancl la^nination is shcrvn in
fi$rne 45. In this nock the proportion of feld.spar i-s about B per cent. A l"aninated, stmcture formed by closely-spaced veins ccmposect of
felilspar and dtiopside is illustratecl in figure {5. The veins cut a
thin\r-lqyerecl chrnite-harzburgte sequence, the residuals of which can
be recognised. between the laninae. ( a nana Erecimen frm ttre laninatecl. rrcck is c@tposed of felclspar and. d:iopsicle acquired from ttre veirs and
olivine and orthopJEocene fnom the layered sequence, i. €. it is a eucrite.)
In thin section (No. 1O9BO) tJ:e stnrcfure eviclent in ttre field can be re-
cognisect only with clifficulty;
aptr)arently recrysta-llisation has tendetl
to oblitenate on a microscopic scaLe the distinction between rreins and. Layering. Description Larqination is
the Upper Zone and in
a. cormon stnrcture throughout the utrper two th:ird.s of
aclclition to feldqgar, is comonly cmposed of
t*7). The lanrinatlon is confined. to a 6 inch banrl
pyroxene lainae (nig. -153- tr
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{1 -l 55- -l 55- cutting ctrnite ancl is parallel- to nerby layering in harzburgite. ting ctrnite ancl is parallel- to nerby layering in harzburgite. Orthoplroxene Lanination (nig. I*B) like that of felclsparr gracles
into pJroxene foliation with d.ecrease in the proportion of pyrocerre in
the rock. However, larni,nation is only cormon in the upper part of the
Utrper ?,one and ev:lcLerrtly scne factor otlie than the proportion d pyrox-
ene in ttre rock is necessa4r for its developnent. Laverine. tqyering is strongly cleveloped to the west of the right
branch of the Motuelra River anct altJrou,qh not very well ercposed. elservhere
is also recognisable over much of tJre rest of, the Recl Hill Gcmplex. It is absent ix t'he rccks in the lcrrest part of the Upper Zsre (oot o" the
mesoscopic plarar stnrctures are pJrroxene or felclspathic foliation)
as well as in the Baaal zone. rn generd, layering becmes i.ncreasinsl.y
well developed. towards the stratig:raphic top of the Complex. Description $ypica[y, layering is shown by alternating layers of dtunite ancl
pJnrcxene-bearing perid.otite, usually harzburgi.te (*iS. 49) each abort
bno inches to two feet thick, but consiclerable variation in thickness
and. composition of l-a;rers occurs. The pyroxene-bearing pericLotite layers usual\r are le.minated
follated parallel to layering (fis. 50) but in scne cutcrqrs this is
cliffioult to obsetrre. Ihis is because weathering otr cracks ancl. jointa
in ttre roclc results in deep etching of the surface, obscuring arly fryrr-
ination or foLiaticn that my be preeent.' Ihe barzburgite layers of
figure 51 , 'for instance, atre r oD close exmination, finely lminatecl
ln the marner il,l,ugtratetl in figure 5O. or I Deep etchJ.ng occurs prwalently in unserpentinised periclotd.tea; partly
acpentinlsed peicLotites ganerally reather even\r ancl tbe j.nilivichral
ninerral grrains can be eaelly recogrdoed. This is probabJy clue to Een-
pentine minenls closing srrface cracks foJ-Iming expa^nsion &ring
s erpentinLsation. 157 _157_ Superficially, the layeing i:r tfte Red" HiIL Complex resqnbles
fl
ll
lqyering jn ;tratiform Uomplexes such as t}re Still-rvater Gomplex, and
Challis ( f g5,fe)believes both have formed in a siudlar manner, i. €. by
crysta1 sed.imentation frm a crystallising basaltic magma. However,
nary features of the lqyeing of the Red. HiIt Complex are not consistent
with this hlpothesis. (i)
Grad.irg is only rarely observeci. in a leyered. sequence
(e.g. fig. fi) and. whene present the direction of grading is not the
sme everlnnhere. (i)
Grad.irg is only rarely observeci. in a leyered. sequence
(e.g. fig. fi) and. whene present the direction of grading is not the
sme everlnnhere. (ii)
Althou6h layering and foliation are general:y pararfej a
cross-cutting relationship is fbequent ]y obs ervecL. An example is shown
in figure 53, in which a dunlte layer '(para11el to others nearby) cuts
across, or is cut by, a vreak\r definecl. foliation in harzburgite. (Uote
that the fracture pattenn in the right-band part of the clunite 1ryer is
si-nilar to a stmcture ill,ustrratecl in Bowes, Tiright and. Park, '1961+,
plate 6 (t) thought by those writers to be a current-bed.d.ed. stmcture
fomed. by crystal seclimentation. It is considered. here to be a defom-
ational feature. ) Ancyther exmple is shorm in fig. 5l+ in wh-ich a combined felcls-
pathic ancl pJrroxene foliation cuts €Ln earlier layering of 2 inch dunite
layers in feLclspathic harzburgite. Description (i:.i)
Trno or more sets of layerirg are conmon\r d.evelopecl in
ortcrops near ttre hirge of the rnacroscopic folds (t*
below) n (fig". 55
arra 55). In figure 55, fine layering (note gnadling) itt harzburg:ite is
cut and displacetl by layers of cb.rnite and. larninated. harzburgite. In
figure 56, an early set (Sf ) of layers of d.unite ard harzburgite has been
-158- cutr d'isplaeed and. folded by mov€nent parall,el to the Lat6 set (SZ) of
chnite Jayers antt pyroxene veins. A pyroxene veln intnrded. afte St
and' before SZ ("td hence referrecl to as an S., pyroxene vein) has been
fold.ecl strongly by flcnr parallel to 52. A large-scale map of ttre Forters Knob area (U"p If in rear pocket)
shors the orientation of rearlyf ancl tl-ater Jayering in a satl area of
the Hed' Hill Cmrple:c. Outcrops on ttre li-ubs of the nacroscopic fold
whose hinge-line passes near Portens Knob usually have on\y a single set
d lqyening with or without a pararlel foliation. Near the hinge of ttre
foId.r it is risual for outcrops to have two sets of planar stmcfr.rres,
sometimes an St foliation cutting Eul St layering, but usually an SZ
layerfurg cutting an S., layering. In all cases the late set (Se) is pana1Lel to the si-ngle layering
of ttre eastern tim!, i.€. itips at about z5o to the south-eagt. (i") schlieren-like stnrctures (rigs. 57, 58 and. 5il arre cclmon in
parts of ttre Red. HiIL Cmplex.. most notab\r north.ryest of Porters Knob. Their fotm.tion is ascribed to plastic f1m with resulting disnrption and. attenration of original layerC-ng (rnost elearly evident in figs. 5T ancl 58)
and to the complex veinirg of magsive b^arzburgLte by ftrnite (probably of
rqrlacoent oriein), (fig. 59) . In ttrese peqrecte, layering of the Red RiLt Gomplex differs con-
sicteably fnm that of the tlstretlforn Cmplercean anil Ls ctrar':actenietic
of -[lpine-Qrpe periclotJ.te.-gabbrc complexes (ttrryer , 1g&). -159- Fig.49. Dunite-harzburgite
smooth; harzburgite strongly
d.unite layers. Iayering. Dunite glenerally
jointed and ln relief
above Fig.49. Dunite-harzburgite
smooth; harzburgite strongly
d.unite layers. Iayering. Dunite glenerally
jointed and ln relief
above d.unite layers. Fig. 50. Ha.rzburgite
Duntte (
finely
Itght ) and
lamina.ted.. harzburgite layers (dark). Fig. 50. Ha.rzburgite
Duntte (
finely
Itght ) and
lamina.ted.. harzburgite layers (dark). -160- .=a
-.-'t/
RiF,- ,1;;,.; -
;!. i:l:.{,,o /
lte$ia
lis
Plg. 51. Layered dunite ( srnooth surface ) and harzburglte
(troken), Plg. 51. -Flg. 54- Foliation cutt ing rayered. d.unite (deepry
etched ) and ferdspathic ha.rzburgrte layeSs. Fol iation
dips very steeply, and inclined- about 4oo to layering. Description Layered dunite ( srnooth surface ) and harzburglte
(troken), -l6l- F ig, 5?. Intersect ing 1"yers ;'nd
protoelasti-c h.rzbrlrgite ( finet;r
,lunite (fisnt) in
veins of
etchecl). Flg, 53. cutt ing
right of
Dr:nite 1r.yer (parallel to
foliateri hnrzbu-gite. Note
ph ot ogra ph. othe rs not ':lei:;n
fractrrre pal tern
1n
l-n
photo. )
dunite on Flg, 53. cutt ing
right of
Dr:nite 1r.yer (parallel to
foliateri hnrzbu-gite. Note
ph ot ogra ph. othe rs not ':lei:;n
fractrrre pal tern
1n
l-n
photo. )
dunite on -162- -Flg. 54- Foliation cutt ing rayered. d.unite (deepry
etched ) and ferdspathic ha.rzburgrte layeSs. Fol iation
dips very steeply, and inclined- about 4oo to layering. -Flg. 54- Foliation cutt ing rayered. d.unite (deepry
etched ) and ferdspathic ha.rzburgrte layeSs. Fol iation
dips very steeply, and inclined- about 4oo to layering. -163- q)
#d
cd cl
r-{ P
CIc
E '.+
OE
+ t-l
n\
CI rc,
+{q
q{rd
o
q0 <J
gc)
'r{
Fi
L5
ato
>r ri
6!o
r-l C)
rd+
os
.d ha
r-{ .Fl
Orf
-Oh+' . F{ .rl
g)
hgc
(d 5.-t
F1 d o
qroo+
. QC'.1
t"1gC
tr1 .'-l O
'trH
-.oo
hoxsr
.rl cd h
Fi r-l p.l q)
#d
cd cl
r-{ P
CIc
E '.+
OE
+ t-l
n\
CI rc,
+{q
q{rd
o
q0 <J
gc)
'r{
Fi
L5
ato
>r ri
6!o
r-l C)
rd+
os
.d ha
r-{ .Fl
Orf
-Oh+' . F{ .rl
g)
hgc
(d 5.-t
F1 d o
qroo+
. QC'.1
t"1gC
tr1 .'-l O
'trH
-.oo
hoxsr
.rl cd h
Fi r-l p.l q)
#d
cd cl
r-{ P
CIc
E '.+
OE
+ t-l
n\
CI rc,
+{q
q{rd
o
q0 <J
gc)
'r{
Fi
L5
ato
>r ri
6!o
r-l C)
rd+
os
.d ha
r-{ .Fl
Orf
-Oh+' . F{ .rl
g)
hgc
(d 5.-t
F1 d o
qroo+
. QC'.1
t"1gC
tr1 .'-l O
'trH
-.oo
hoxsr
.rl cd h
Fi r-l p.l -16IL ,
Fig. 56,. Cross-cuttlng layers. fEarlyl
and i s cut by | Ia te I l ayers of pa.rallel
'
;
.51
Iayering (Sr ) is 't1at lyrng
clunite,"rrrl 1'y-r.oren' te v0ins '
;
.51 Fig. 56,. Cross-cuttlng layers. fEarlyl
and i s cut by | Ia te I l ayers of pa.rallel
clipping at about 3Oo to the left. Description Iayering (Sr ) is 't1at lyrng
clunite,"rrrl 1'y-r.oren' te v0ins
- 165- - 165- - 165- suTgA d+ " uaxo...fii
3u1^{1 +E IJ. s I (
_sg t_
lru,r o+Tunp
Ts ) 3ut.r., r(u 1
.+Ja.[ a{+ o+ oO[ +ncqu += SutCcltp
IA1Ig.I1;r.l JO saa^,tei I OleI r fCi +nC sT !uo
,f1;re6r .s;a.fe1 8uT+lnc-ssoJC . 9q .8T.{ _sg t_ suTgA d+ " uaxo...fii
3u1^{1 +E IJ. s I (
lru,r o+Tunp
Ts ) 3ut.r., r(u 1
oO[
IA1Ig.I1;r.l JO saa^,tei I OleI r fCi +nC sT !uo
,f1;re6r .s;a.fe1 8uT+lnc-ssoJC . 9q .8T.{ a
0)
F
€9'J
.C.d+
Ec' o
'-l FJ
Hot{
-tf
FJ q-'t a
F ho
opA'
-l
'r{
v1j
r-l
G(L
I
rr-P
q
La\ P, O
JFr
rt1
O
h-: O .rl
.r{ .-l r{
qi "d ,l1o
Q-r A it)
OFraD. hh0
'ri(Ijq
CC -l
..{
+
t-{
o) ,q Q)
iao:>
.r-l
CJ
Fr r+
I
ooQr
a, c o
Lr\oxa)
rOC
b[r tr d
.Fl h rt
hp{ A
I
a0q
.a
a! G,
>r
(b
r-l
CI
{i'rl
Fa
Fr)p
N
Fro
.ri
I
0)+
.r{
!J
ar-
Lr\
a
h0
.Fl
Fq a
0)
F
€9'J
.C.d+
Ec' o
'-l FJ
Hot{
-tf
FJ q-'t a
F ho
opA'
-l
'r{
v1j
r-l
G(L
I
rr-P
q
La\ P, O
JFr
rt1
O
h-: O .rl
.r{ .-l r{
qi "d ,l1o
Q-r A it)
OFraD. hh0
'ri(Ijq
CC -l
..{
+
t-{
o) ,q Q)
iao:>
.r-l
CJ
Fr r+
I
ooQr
a, c o
Lr\oxa)
rOC
b[r tr d
.Fl h rt
hp{ A a
0)
F
€9'J
.C.d+
Ec' o
'-l FJ
Hot{
-tf
FJ q-'t a
F ho
opA'
-l
'r{
v1j
r-l
G(L
I
rr-P
q
La\ P, O
JFr
rt1
O
h-: O .rl
.r{ .-l r{
qi "d ,l1o
Q-r A it)
OFraD. hh0
'ri(Ijq
CC -l
..{
+
t-{
o) ,q Q)
iao:>
.r-l
CJ
Fr r+
I
ooQr
a, c o
Lr\oxa)
rOC
b[r tr d
.Fl h rt
hp{ A I
a0q
.a
a! G,
>r
(b
r-l
CI
{i'rl
Fa
Fr)p
N
Fro
.ri
I
0)+
.r{
!J
ar-
Lr\
a
h0
.Fl
Fq
-166- I
a0q
.a
a! G,
>r
(b
r-l
CI
{i'rl
Fa
Fr)p
N
Fro
.ri
I
0)+
.r{
!J
ar-
Lr\
a
h0
.Fl
Fq I
a0q
.a
a! Fig. 59. Harzburgite gchLieren in d.unite (ttgnter
coloured. ) . Probably formed. by intersect i.ng network
of d.unite veing eutting originar nassive harzburgite. Description G,
>r
(b
r-l
CI
{i'rl
Fa
Fr)p
N
Fro
.ri
I
0)+
.r{
!J ar-
Lr\
a
h0
.Fl
Fq -166- -166- +?.. l -I67- Veins and. Pegnatites. Planar or curvi/planar boflies of rock
composed of, one or mtre of the five constituent minerals of perid.otile
and gabbros (p.lf5 ) "r,,1 for"ned. by intrcd.uction of material intor or
replacement of , peritLotite or gabbm are referrecl to €rs vsins v*rer the
grain-size is 4proxi-nately the sane as ttre country rock or pegnatite
when much coarser. The &istinction between pqgnatites and verins is
arbitrary €ts the grain-size varies contirmally betTreen the trpo. For
convenience, veins will generally refer to bod.ies with a gnuln-size
less than 1cm. The criteria for recognition of veins and pegnatites, is general\r
a cros s- cutting relationshlp, thrrs ttre late layering d escribect above is
ascribed to multiple para1le1 vein f omation. Veins ancl pegnatites occur thrcughout the Conplex but are most
abundant and. thick near the stratigraphic tcp and- very rare, thin and
fine 6rained. in the Basa1 Zone. They ruay be ccmposed of dunite,
p;rroxenite, snorbhosite or a combination of pyr.oxene and feldspar. Chronitite veins have not been observed. but ehnonite @curs as euhedral
grains about one csrtj-netre across and. constitute about 'lO per cent of the
vsln. Fine-grained. yeins are gererally pLanar and. parallef to layering
(fig. 5l). Close inspection (rie. 6z) shows a close relationship
between layeri:rg and vqins. Much of the layering can be seen to have
formed. by vein injection wtrich subsequently becme clisrrrpteQ in part,
to form &iscrete, discontiguors grains. 0n1y ranants of the veins
renain rhich a.e traeed. laterally into layerings become tess well d.efined. ELg, 6(
0rthopyroxene pegmatite cutting
pyroxenite vein. Description -168- d.cdo
OF'
.qoh
f{ ci
Or{
EEo
cr' €
.q'ri
F{
OC,
\O qi t{
oOj
blp
r{-PN
q-r -d h
b0d
CH .-l ,C
Ot{
q)
'-lO|'f
.r{€5
Cc+r
+ d)q-{
q/ +'r{
A oqd
co
'r{ *)
o (!q
C\l F..r
\c ..o
r(PE0
hO +: F.r
'r{OO
f\Z
E d.cdo
OF'
.qoh
f{ ci
Or{
EEo
cr' €
.q'ri
F{
OC,
\O qi t{
oOj
blp
r{-PN
q-r -d h
b0d
CH .-l ,C
Ot{
q)
'-lO|'f
.r{€5
Cc+r
+ d)q-{
q/ +'r{
A oqd
co
'r{ *)
o (!q
C\l F..r
\c ..o
r(PE0
hO +: F.r
'r{OO
f\Z
E a
sl a)
Fri
oo
;- !(
(E0
Fl
t-
oq
fo
.d -q
ln
,r
Fr Fi
5o
p
N cf{
h o. $i-(ats
.l) 'rl
€o
.t-l
)-1
'dor-J
>{ l-1
.r{
qr
.ih
FCSF\
rUl
r-l\ohp
a
QC+
'r{ 5
F,{ O
-169: a
sl a)
Fri
oo
;- !(
(E0
Fl
t-
oq
fo
.d -q
ln
,r
Fr Fi
5o
p
N cf{
h o. $i-(ats
.l) 'rl
€o
.t-l
)-1
'dor-J
>{ l-1
.r{
qr
.ih
FCSF\
rUl
r-l\ohp
a
QC+
'r{ 5
F,{ O -169: -169: Fig.53. Two lar:ninated,
fol iated harzburgite. eucrite veins cutting Fig.53. Two lar:ninated,
fol iated harzburgite. eucrite veins cutting -l7O- EL
6(
0 th
pegmatite c tting ELg, 6(
0rthopyroxene pegmatite cutting
pyroxenite vein. -17 l- and. are eventualLy markecl only by aligned, but sqparate, pJroxeure grains
in the peridotite. Tkre *isnrption process is thought to be recrystall-
isation. and. are eventualLy markecl only by aligned, but sqparate, pJroxeure grains
in the peridotite. Tkre *isnrption process is thought to be recrystall-
isation. Veins of euerite ccnposition €lre shown in figure 63. They occur
as thin, tabular bodies cross-cutting an earlier pyroxene foliation
in harzburgite. Pegrnatites €Lre generally i megu 1ar in tl::icknes s and orient at icnr ,
frequently strrcng\r curved. and. undulatory. A py.roxene vein (fig. 6L)
para1Ie1 to vreak foliation in pyroxene-bearing ch:nite is eut by a coarse -
grained pegmatite of orthopyroxene. Note the change in thiclmess and
irregular boundaries of tl:e pqgnatite. An i-mportant obs ervation related to the genesi s of the veins ancl
pegmati te is that wherever tvro vei ns or p qmati tes cross- cut , the
coarse-grainecL veins (o" pegnatites) are invariably ycur€er than the
finer-grained. veins (or pegroatites). This observation is believed. Description to
indicate that the coarser rocks forued at lower taperatures than the
finer (p.2S8). TernDeratur€
of
f ornation
of
veinBo Tbe tlate layeningr (lescnibed. above has yer5r probably fometl by
netaorphia prooesses. ft i s therefore refered to ag met&orphic J.qy-
erirrg. ff Challiars UgeSd inteoryretation d toctrral and fabnic
oniteria ia correct s@e layening of tJre Recl Hil.1 Cmpleor is formed. by
orystal sedirnentation. Such layering nay be d.escribed. as rPrinarXr
LayerLngt in the sense of Ifragrer (1g63). -L72- Veins ancl pegnatj.tes cut both the Primary Layering
(Ctrattis, 1965a) and ttre meta^morphic layering ( e.g. fig. I | ) . ALgo
it is verlr probable that metanorphic la.yering itself is formecL by
multiple vei-n development (p.t4{ ). Therefore estination of the
taperature of vein fomation inclicates the tenperature of foruration
of m etarnoryhic laye rir€. Ivlost of these veins are probably of rsplac oent origin
The
rq>laeement process presr:rnably required. water to act as transporting
agent, but the minsal-s talc and. serpentine have not generally
d.eveloped. antl theefore temperature ctr vein formation ancl hence met+
norphio layering is probably in excess of 55OoC. (see fig. 2, Bowen anc
Iuttle, 1949). Some monomineral-ic feld.spattric veins cutting harz-
burgite have d.eveloped a reaction zone (itrctuain6 talc) against en-
cl-osing pe.nictotites. Estirnation of ttreir teryeraturre of oplacemmt i
possible from a shrdy of the reaction zone assernbl-a6e. 4@q-tlq+Atslein. Cutting massive ancl weak\r fol-iated harzburgite
near Chrome, is a. three inch wi de vein of anorthosite, &t the nargin
of rdnich is an inch nide reaction zone separating the feld.spar flnon
the harzburgite. A sinilar vein cutting layered rocks at 582885 is
shown jn figure 87. The vein hs^s a slightly sinuors form and was traced 120 feet
before tJrirming ancl Lensing out. The centre of the vein he,s a medium-
grad.etl aplitic texture btrt near the mcgi-n, the fel,dspar is coars€-
grainect, with aome grains up to 2cm. long. Ihe reaction zqne (No. 10956)
is cqlposect of talc, chlorite and. amphlbole, the optical, prqlerties of
rshich are gLven belqv: -173- qbgte N_ = 1.5971 Nx = 1.592 Ny estinatett 1 .593
z
Biref?ing ence about .005 qbgte N_ = 1.5971 Nx = 1.592 Ny estinatett 1 .593
z qbgte N_ = 1.5971 Nx = 1.592 Ny estinatett 1 .593
z Biref?ing ence about .005 Biref?ing ence about .005 (+ve) tv = 8o. (+ve) tv = 8o. X ray cliffraction patteur gives a 148 peak No anonnalous interfeence coLcurs. TernDeratur€
of
f ornation
of
veinBo The opticaL clata indicates that the drlonite is an Fe-rich
clinochlore according to tlre classification of lley (tgfA) r or a ilg-rictr
chLorite accorcling to ALbee (lg6Z). $pphi'hgJe Nz = 1 .6tP Ny = 1.632 Nx = 1.6n $pphi'hgJe Nz = 1 .6tP Ny = 1.632 Nx = 1.6n (-ve.) x about 8oo. znc = 190. colo,rr€eso znc = 190. colo,rr€eso The lack of colour and. optical properties ind.icate that tJre amphibole
is a tremolite (fr6'). In th.i.n section ttre ta-lc ancl troolite are jntirnately mixed. ancl
rqrlace olivine and enstatite of ttre country rock, ancl the chlonite
occurs a,s a zone separating tJle feldspar from the talc-trenolite
assemblage. Nowh*e is felclspar in cHrect contact s,'ith anything other
than ohlorite. The necessarlr caLcir:m of tJle annphibole and the
aLrminiun necessary for ttre chJ,orite is probably cterivetl frcm the feLcl-
spar. Thus the reection zbne is be:Lievecl to have fomed in the marner
indicated, in ttre following reaction. OLivine + enstatite + anorthite + water = talc + OLivine + enstatite + anorthite + water = talc +
aptribole + clinoctrlore. The tenperature &rring develolment of, the assoblage on the right
of ttre eguation may be approxlmately deteminecL, assuming a load pressure -174- of abotrt 1000 bars estinated frm the thidrness of the srp€r-incurobent
load. Serpentine is not present in the assenbl,a6e ancl therefore the
tenperatre was probab\r greater ttran its ulper stability li-it of 5OOoC. (Bowen ancl ftrttLe, 191+9) . A natural asgeobl,ege of olinootrLore-talc-treuollte has beeo
cl,esoribecl by DuJmell (tg&O) in contact metaorphosed ultramafic roclcs
surrcuncling a Erartz-nonzonlte intmsion in the Sierra Nevad.a. of
California. (Recordtecl in Turner and. Verhoogen, '1960, p.515.)
fhe ul,tranafic rccks are interbed.cled. with meta.norphosed basic rccks of the
hcnblende-hornfels facies vutrich is correlatect w:ith tenperahres bstweal
55o and 7oOoC. by Turner and. Verhoogen (rggO). It is probable therefore that the anorthosite vein was fomed. at a temperatu::e of about 5OOoC. As the anonthite was presunably
d.erived. frcrn the rocks of the Cmplex this is also the tenperature of
the country rock at the tirne of tJre vein fomation. The possibility that ttre veins and. netamoryhic J.ayering fonned. by loceIly d.evelqrecl high teryeratures in othenvise col-cL pericl.otite e€ut
be discoi.rnteil for the foLLming reason. Reaction Eones, such Ers that surrrounding the anorthite vsin
ilescribed above aJre ver1r rare. Yeb tf all ve{ns ancl neta^norphic layering
were forrned. TernDeratur€
of
f ornation
of
veinBo by intnrsion d hot aqueous solution, reaction zones inclucl-
Lng talc or even serpentine drould be .unj.verebl. It i.B ttreefore
concludeit that <hrring cleveLotrnent d the netanorph:ic layerlng the ultra-
nafic rccks as a whole were st a teurperatune higher thsn that of talo
fomation, i. e. great en ttran 550oC. -175- Introduetion The fabric of perid.otites has been emtensively shr&led in
recent years and a review of the subject and. consid.erable nevr
inforrnation is 6iven by Col1ee (1g6il. Most writers have described
fabric in. tetms of the orientation pattern of olivine. Th-is is
the raettrod. used. here. Olivine in perid.otite nodules, in layered. ultrramafic
intnrsions such as il- and Slqre, in neta.rnorphic olivinites as well a,s
i
in Alpine-t34pe perid.otite complecces, ccmnonly shms strong\r prefered. orientation of X (= fOtOJ ). fn layered or fissile peridotite the X
ances are usually cqrcentrated in a maximun norual to layering, but
shorb gir&Les have also been recordecl. Z(= Eoo] ) and Y (= [oot] )
€rxes do not alwqys show strong\r preferred. ori entation but single
na:cima do occur in peridotites of mar5r cliff esrt originsr B.B. Tnrner (tg+Z) and Ladurner (1.9nq d.escribe Y maxirna paral1el to
weak r$ lineation infemett to be of tectonic origin;
Raleidr (tg$)
shcmed. that Z axes tend. to lie paralle1 to folcl axes in bancleilibnites
fnon an Alpine tme periclotite, and in perid.otite noduLes Z maxi-na are
sometimes the nost strongly d.errel,opecl features of the ol:lvlne
orientation pattern (Cottee, 1963 g. 15). Thus the ctraracteristic
orientation pattern of olivine - a single X na:cirnun peqpenclicular to
layerirg and ttre Z aill Y axes concentrratecl in inclividual naxima or
pa*ly cliveloped girdles - is cormm to a 1-ar6e variety of perid,crtites. -17 6- The actual process by which tJre pr"eferred orientation of
olivine is achievecl, is the subject of much discussion. At present
there are two main dj.vj-sions of opinion on the orientation process
which nay be called. the magmatic and. tectonic Lgpotheseso Brcnnrn
(tgS6) and. Brothers ( t l5+) considen that ttre pneferred. ori entation of
olivine in scme peridotites (peridotite nodules and layered peridotites
h
of \um) is due to dimensional orientation of suspsrd.ed" olivine crystals
l
elther by crystal-settling cnr by Laminan-flom of magna. 0ther writers
(e.g., Turner, 19lQ; Ladr:rner, 1956; and Collee , 19$) regard. the
prefelred. orientation of olivine as a tectonite fabric formed in alr
analagous manner to the better und-erstood fabric of calcj-te or quartz
bearing lrccks. Introduetion The intersecting planar straretr:res of the Recl Hill Corplex pro-
vicle a unique olrportunity for exanining the d.evelolment of pteferred
ori entation of olivioe, and it w'ilL be shqivn that th e charact eristi c
orisrtation pattern of olivine can, in fact, orig:inate quite
unmbiguously by processes olnratj.ng in the solicl state. Two writers have recently shrdied. tJre olirrine fabric of
perictotites frcm the Nelson trltrafatic Belt. Battey (tggO) shored. that in a number of specirmens collected. fron hrn Mountain ttre Z olivire ar(es tend.ed to lie paral-lel to the
foltl axes in the affacent illaitai Sroup. X axes in the cliffermt
diagra.ms tend.ect to lie at some point in a girclle normal to Z, sugesting
that the various specimens were rctatecl about a&e Z ancis. -177 - Challis Uggnd has d.escribed. the fabric of layered. peridotites
from the Red HiIL Conplex. Alf specimens have r. X marcima perpendicular
to the plane of layering but Z rnaxirna in aQacert layers d.o not show
consistent d.irection of ori entation rvittrin the plane of layering,
Challis interprets the data in tenns of a crysta1 sedjrnentation
hypothesis for the origin of, the layering. Procedre. Thin sections were cut from selected, oriented. s,pecimens and the orientation of at least 50 and usually 60 olivine
grains was measured. for each diagran. Except for one specimen
(No. 10957, and- fig. (7 ) a11 diagrams zlre presented. vrith the primitive
circle horizontal and. north at the top of the page. All d.iagrams are
a lower henisphere plot on an equal area net. The indication marks at
the base of each diagmn point to tme south. The attitude of the
principle mesoscopic stmctures is ind.icated in each d.j.agran. Collee (tg6l) has discussed tJre smpling errors involved. in
the measrrerent of orientation of olivine axes anct in the constnrction
of the orientation diagrms. He shows that in rocks with strcng$r
developecL clinensional orientation of roinerals or those with inequi-
grarrular tertures sanpling ernors may re$It in irpotrect representation
of tJle preferred orl entation, and. zuggests that ttre errcrs may be reftrced
by avoiding tlouble measurement of grains and selecting grains along
lines rather than by rand.om sapling. That quite significant errors
may rezult, is evid.ent in some exmples given by him. -178- Althougft care was taken to rnini-ruise sanpling errors in tlre
present stu{y ertrrs are bound. to arise where onlJ W or 50 grains can
be measured. (suggested. Introduetion by Turner (lg+Z) to be adequate and usually the
rna:cirnru number available in most thin sections stu&ied. by ttre writer)
and. the rocks in rnany cases are strongly inequigranular in texture. Nevertheless in one inequigranular fine grlained specimen (No. 10987)
tvro lots of 40 grains each, r/ere ind.epenclently meazured. and plottect
on a dia6nm. The two dia6ranrs differecl on$r in trivial detail. For
this reason fine detail in the follcnning diagrms is ignored. and. only
the gross features of the pattern are regard.ed. as significant. The
f abric
d.iasrams Fabric ancl laye{ine. the oLivine oriemtation pattern of an
exmple (No. 1O9BB) of lryerecl periilotite is given in fig. 65. The
outcrop from which t,tre specimen was takan is shoun in figure 49, p. t(0. Each olivine a:cis shows strcngly prefenred. orierrtation and the X ma:cinum
is normal to lq;rerirrg. Fabric and lineatio+. Preferred ori entation diagraras of olivine
in a harzbutg:ite (specinen No. 10967) "r" given in figure 67. The
roek has a partly recrystallisecl protoclastic torture and. ortho-pyroxene
grains have strcng\r d.evelopea (loo) laellae. (see p.149). The
specimen, aJul the pni-nitive circ1e of ttre fabric dliagrans is approxl-
nately nonnal- to the lineation. Figure 67d shows the onientation of
n large grains d orthopyrox€ne. The Lineation is parallel to
c-a:rie of, orthqpyroDc€n e atfr" Z axes olivine. The X ancl Y €Lxes of olivine
a:le also concentrated. in single maxina. -179- (60 potnte)
Flg. 66
Spe c . rrb. (60 points)
Contourer LOfi, 5fi and 1 polnt per Lfi a.?ea. F{g. 6r. Specrrlor.10988
10989 (60 potnte)
F{g. 6r. Specrrlor.10988 Flg. 66
Spe c . rrb. (60 points)
l t
f
10989 (60 potnte)
F{g. 6r. Specrrlor.10988 Contourer LOfi, 5fi and 1 polnt per Lfi a.?ea. Contourer LOfi, 5fi and 1 polnt per Lfi a.?ea. -180- Flg. 67. Speo. rloo 1096?. Llneation vertlcal . trr I e.nd' Z show ortentatlon pattern of ollvine. ( jO polnts). (d) ehows ortenta.tion of orthopyroxene. (zo polnts). Flg. 67. Speo. rloo 1096?. Llneation vertlcal . trr I e.nd' Z show ortentatlon pattern of ollvine. ( jO polnts). (d) ehows ortenta.tion of orthopyroxene. (zo polnts). Contours t LOS, 4fi and, I point per Lfi oreao
_ - _ Contours t LOS, 4fi and, I point per Lfi oreao - -181- I
I
{-lA
t.=^
I
I
i* I
I
{-lA
t.=^
I
I
i* I
I
{-lA
t.=^
I
I
i*
r og8? Flg, 68. I
i\
Spec. no o
8O potnts)
Contours :
Fig. 69. (
I polnt per
]ofir.5fi-and
Specr no.10990. 60 polnts )
lfi Lr€&o Fig. 69. (
I polnt per
Specr no.10990. 60 polnts )
lfi L €& -182- ' t1". 70., SpecortorlOggf
,
. .(fOpoints)
:
Contoure t l}fi,
(fo polnts)
4fr and. I polnt per If 8,r€Br
jr83-
Flg. Sgieo. tloo !)ggz ' t1". 70., SpecortorlOggf
,
. .(fOpoints)
:
Contoure t l}fi,
(fo polnts)
4fr and. I polnt per If 8,r€Br
Flg. Sgieo. tloo !)ggz ' t1". The
f abric
d.iasrams 70., SpecortorlOggf
,
. .(fOpoints)
:
Contoure t l}fi (fo polnts)
r and. I polnt per If
8 r€Br
Flg. Sgieo. tloo !)ggz jr83- Flg. 72,
(60
. 5fi ,ana 1
Spec. noo10993
polnt s )
.Contours t LOfi,
Ftg.?3. Spec.rlo.I0994
'
(60 points)
polnt per Lfi Breor Flg. 72,
(60
Spec. noo10993
polnt s )
t LOfi Flg. 72,
(60
Spec. noo10993
polnt s ) 5fi ,ana 1
)
.Contours t LOfi,
polnt per Lfi Breor . 5fi ,ana 1
)
.Contours t LOfi,
polnt per Lfi Breor -l$tl-
' Fabric and {oliation. [ho speci:nens of foliated peri dotite
rrere sfirdied.. rrere sfirdied.. ( i)
Sp ecinen No. 1 O9B9 is frcm the outcrop shovrn in figure
85, and- was collected frqn the lorver left-hand. corner of the e4posed"
face, but in hand. specinen only the foliation can be obsenred. The
mesoscopic stmctures pressrt in the outcrop are an early layeri4g
(sr ) foliation (sz) and a &rnite ffke (s:) . 7' axes (rig. 65) are
stnongly c oncen trat ed. near the int ers ection of S,, and. S r. X axes
lie in a partly d.eveloped. gird.le with a broad mocirna approximately
normal to both St and Sr. The Y axes are much more scattered., but
tend. to be concent:e,ted. near S.,, or Sr. (,ii)
The preferred. orientation diagrams of a specimen (No. 109
of periclotite containilg a diopside vein (Sf) and- divergent felcls-
pathic foliation (SZ) frcm the outcrop illustrated. in figure lr4 are
g'iven in figr:re 58. Ttre Z €r^lces are concentrated. in two maxima, one
at the intersection of Sf and. Srr and the other on Sl, 25o fron the
intersection. X axes also lie in two weIL ilefinetL maxina, one normal
to St and. the other nomal to 52. Y ances shovr a much more d.iff\-rse
conc entrrati on but in g areral , Iie near St and S r. Fabric of tunite clvkes. Specimen IIo. 1o990 is frcm a ffke of
clun:ite cutbing foliated. feld.spathic harzburgite. The orcler of dunite
dyke antl foliation camot be detemined. unanbiguorsJy. The foliation
may have tleveloped. before or after fortation of ttre ihnite Srke. Ihe fabnic diagrams are given in figure 69. Z axes are strmngly
concentrated. at the intersection of S,, (aunitc dyke) and S, (fottati*) -185- in a single maximr.m. X ances lie in a girdle with strcngest maxj-ma
nomal to foliation. The
f abric
d.iasrams A weak concentration Lies nor:naL to ttre &rnite
dyke. As before, Y axes sholv less strong concentration but tend. to lie
ln a girdle. Ltg "= g
. Fabric and two s.gbs of cross:cuttinT Fabric &lagrams of four
specimens collectedl from the ortcrop near Portenrs Knob, illustrated. in figure 74 rvere preparecL (see also illustrations figs.lf -3pJJ0-sr). A description and discussion of the feahrres shown in this outcrop is
g;iven on page 4tt . The fold-ed, early layering is d.esignated S, and. the crosscutting veins and retrllacement {ykes constituting tJre seconcl
set of layering is designated. Sr. Two specimens frm the early lay-
ering, and. tvro frcm tJle later &rnites were stuatied, and their positions
in the outcrop are shown in figue 7l+. (i)
Speci-nen No. 10991 is frcm ttre thick, SZ layer near tfte
top of the outcrop. The X axes (*ig. 70) are ccncentratecl in a maxiuum
nomal, to S-, Z axes tend to lie in a broad. girdle, and Y atces show no
z
significant concentrat ion. (ii)
Specinen No. 10992 ie frcm the central thrnite $, vein
and. prreferred orientation diagrans are given in figure J1 . X axes
U-e in a girdle nonnal to the intersection of S., ancl $, the atrcngest
ocncentration at the pole of Sr. V "*es fom a Less weLl defined
g:irdle rith the strongest corcentration (ZS per cent d €uces faII within
the na:cinum) on Sr. Z a:Kes are concentratecL in a single maxi:ntrm at the
intersection of S,, ancl Sr. -186- O
-
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. o
rr)
#
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4.,
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(\
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i
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;-:. t-. !,
)q
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.g
'<r
t*-
i
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/r,
rl
Ct
f-::
.I
\tl O
-
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.r{
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c. Q:
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;-:. t-. !,
)q
+r. C/^
r0
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'<r
t*-
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rl
Ct
f-::
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-
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c. Q:
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f-::
.I -187- (i:-:.) Specinen No. The
f abric
d.iasrams 1@93 was collected. as far ffiay frm
mesoscopically eviCent SZ stmctures as was possible in the ortcrop,
and in hand specimen only S.' layering can be seen. Fabric diagrrams
(fig. 72) shovr Z a)ces Iie in a part girdle on 52, X axes frcm trvo rnaxima
one near the pole of 52, and" the other about 45o fror SZ and 5Oo from
51, Y €txes tend to be concentrated. near tJ.e north and. south edges of
the diagram. (i")
Specincn No. 1O99lr was collected. frcm wj-thin 6 inches
of the tlulck 52 dunite-harzburgite band. ne€r the tcp of the outcrop. Z a)ces (fig. 73) €Lre concentratecl near the jntersecti-on of, St and S,
and. form two madima, one on St and. the other on Sr. X axes fom a
short g:irdle ccurtaining two maxima, one nomal to St and the other
noual to 52. Y also forrns bvo maxirna; one a well-d.efined point
marci-mr:ro on S, and. the othen a broad band between S., and. Sr. Tectonic origin of preferred. orientation of oli:rine is clearly indicated. in the fo1lcming specimens. (i)
Specimen I'los. 10991 and 10992 frcm the Porters Knob outcrop. The central chrnite vein (No. 10992) is verXr probab\r of replacement
origin as ranants of St ean be traced across it showing neither
clilation nor offset but the orientati,on of the ol"ivine shors a well
d.efined X naxi-nur nolsual to S^ anrL a weak concentration norual to S,. zl
Such preferred orientation of I no:mral to S, must be rel-ated. to prooesses
operating in the solid. state. Specirnen No. 10991 from the thick layer
near the top of the sutcrqp also shows prcferrecl orientation of olivine, -188- X nonnal to 52. As this layer is al-so probably of replacernent origin
(see section on petrogenesis, stnrctural derrelopnent) this fabric too,
has d.eveloped. in the solid state. (ii)
The lineated. harzbr.rrgite (specimen No. 10957) afso shows
strcngly preferrecl orientation of olivine. As tlre textrre is proto-
clastic ancl bent lamellae etc. (p.132.) ind:icates that the rock has
suffered. consid.erable d.efomration it is most unlikely that the fabric
can have been intrerited. fnon a pre-d.eformational period and. has therefore
d.eveloped. during or after defo:matj-on, a€aln pr"esumably in the solicl stat (ii)
The lineated. harzbr.rrgite (specimen No. 10957) afso shows
strcngly preferrecl orientation of olivine. As tlre textrre is proto-
clastic ancl bent lamellae etc. (p.132.) ind:icates that the rock has
suffered. consid.erable d.efomration it is most unlikely that the fabric
can have been intrerited. fnon a pre-d.eformational period and. has therefore
d.eveloped. during or after defo:matj-on, a€aln pr"esumably in the solicl state. The origntation process of olivj-Isr. The close relatimship
between mesoscopic stmctures and. fabric is clearLy indicated- j-n the
diagrams. . Specirnens from outcrqrs containing a single mesoscopic
strrrctune, layering or lineation, have a fabric in which the thrce axes
of olivine are concentrated. in muLually perpendicular maxima, with X
perpend.icular to l-ayering end. Z lying para1le1 to lineation. A similar
but more ccnplicated. fabric is shown in specimens frcn outcrops coD-
tain5-ng two intersecting S pLanes. Double X maxima are commonly
present (Specimens Nos. 10989, 10987, 10990 and 10994) each near the
pole of one S plane. Some specimens with d.ouble X naxjma also have
double Y and. Z naxi-na and. it is possible that the fabric of these
specimens is contro1J"ed. Tectonic origin of preferred. orientation of oli:rine is clearly by two inclepend.ent gror4ls of olivine grains of
which one is relatecl to Sf and tJle other to S'
To examine thls possibility more closely two diagrms of speci-men
No. 't.0994 have been prepared. showing the orientation of ttrose olivine The origntation process of olivj-Isr. The close relatimship
between mesoscopic stmctures and. fabric is clearLy indicated- j-n the
diagrams. . Specirnens from outcrqrs containing a single mesoscopic
strrrctune, layering or lineation, have a fabric in which the thrce axes
of olivine are concentrated. in muLually perpendicular maxima, with X
perpend.icular to l-ayering end. Z lying para1le1 to lineation. A similar
but more ccnplicated. fabric is shown in specimens frcn outcrops coD-
tain5-ng two intersecting S pLanes. Double X maxima are commonly
present (Specimens Nos. 10989, 10987, 10990 and 10994) each near the
pole of one S plane. Some specimens with d.ouble X naxjma also have
double Y and. Z naxi-na and. it is possible that the fabric of these
specimens is contro1J"ed. by two inclepend.ent gror4ls of olivine grains of
which one is relatecl to Sf and tJle other to S' To examine thls possibility more closely two diagrms of speci-men
No. 't.0994 have been prepared. showing the orientation of ttrose olivine
grains whose X arces lie near the pole of S,, in figure 75a artd, near the
pole of SZ ir figr.rre 75b. In the first ctiagra Z a)ces are even\y
-189- distributed. between both na:clma ancl Y ances shm two concentratiors
narked Y1 *d Y1*. In ttre second. d.iagra^ra tlne 7, a)ces do not Iie in
only one of the naxirna but are even\y distributed. between both. All
Y axes hmever 1ie on or near Sr. Evidently the fabric cliagrams cannot
be entrl lai ned as du e to tw o ind.epend"ent grcup s of oli-vine grains ; the
eharrge in orientation of X from the pole of St to the pole of S, has
not involved the complete reorientation of all- axes of ind.ivid-ual grains,
but rather partial reor-iertation inrclvirg one or tvro a)ces only.of a
large numben of grains. This feature can best be ecpl-ained in terms
of rotation of gra:ins about me crystallographie rucis so that one other
a:cls moves to the new posj-tion. 0n this lgpothesis an explar:ation can be nade for ttre features
of ttre fabric of Speci-men No. 10994. The positions marked. X., Yt Zl
arrcl X, YZZZ.^I" considered. Tectonic origin of preferred. orientation of oli:rine is clearly to be the initial (related to S.,) and. final
(rebtecl to Sr) positions of the ances of olivine. Y1" fo an intenraed-
iate position between Y., and Yr. Sorne grains notated about Xt so
that their Z ances fell near Z, ancl Y axes near Y1". Others rrctated. about Zl ancl X ancl Y axes fe1I n€.r X2 *d. Y2. No rotaticn about
Yt al4)ears to have occurred. FoLloUing this initial rotation of say
7.' to Z2 f\rrther rctation has occumed. about Z, so that X moves from X.,
to X, cornpleting the reorientation of t}le grain, hrt this conplete re-
orientation has only occurrecl in a fsn of tlre grains. This tJpe of reoriqxtation ie consitlered to have occured. also
in othe epecJ.mena, ecqllrining tbe much greaten scatter of, Y than & or
Z ares. AlBo, it can be infenerl that rotation involved. a}nost com-
plete transition rather than gradual rotation frm the initial to flinel -190- Ftg. 75. Spec. noo LO994. f :-? e.A
'3 msh"
#-ft#-{'
J;*-. a "$f
a?'r)
,)y / Ftg. 75.
Spec. noo LO994. Ftg. 75. Spec. noo LO994. (*) Orlentatlon of ollvlne
the pole of Sr. gralns whose X-ax€B lle near (b) . Gralng whose X-axeE lle near the pole of. 52. position of axes for other:uris e a lart g:irdle rather than indi v:tdual naxima
would. be apparent in ttre fabric &iagrm, It should. be noted. that the
rnotation is apparent on 1y;
The c oncep t is merely a sernantic conrreni€rlc€r
Non-cmponental noveients such as recrystall-isation may give the obeer:ved. features of the fabric diagras as much a.s componental movements. It
is poesible for jnstance that grains n'ith a zuitab\r orientecl axis mqilr
uncler conditions d anisotropic stress, grs at ttre eKpense of Less
favouretl crystals. In fact ttre strong\y d.eveloped. fabric of the S,
&rnite layer in the nicldle of ttre Porters Knob outcro;l is better e:plained. by reerystalLisation than strain. Although it is eviclent that the
grains in that part of the outcrop have been rotated. tlrere is no evid.srce
of translation. Yet consid.erable translation would be required. to cause
rotation by cliscrete amounts of slip along intragranular slip planes. Cnrsta-l s etinentati on tnrpothesi s an d fabric. Cnrsta-l s etinentati on tnrpothesi s an d fabric. A nunber of, writers have interpreted the olivine fabric in
peridotites in terms of the crystal sedi.mentation tg4lothesis. X naxima
are ascribecl to crysta1 settling on a brcacl (OtO) face. Z rnarina, when
present, arpe thought to be &re to alighment of elongate crystals by flcn
of the nqnar Cha[is (lggEa) has ctted as evid.ence of crystal s€&i-
nentation t'he fact t'hat Z na:d-ma in acljacent lqyes do not shw paraI1e1
orientation. Such a fact is explained by the crystaL eedimentation tgr-
pothesio as due to cha^nge in direction of na6na flow. Challis, a^rgu6
that tgryotheats of tectorric d.efomation for the origin of fabric do r :: not
explain this observafion. -192- The fabric d specimens from the SZ layers of the Porters Knob
outorqr d.o not support Challisrs conclusion. Both show X nanima per
pendicular to S, Layering (No. 10991 and 10992) but the orieatation of
Z in both cLiffelrs consirlerab\r. In 10992 tJrenre is a clearly d.efined. Z maxina epprl)xi-matlng E - I[ but in 10991 t]rere is no clearly d.efinecl Z
maxi-na ancl certainly no significant orientation E - lT. The tro f,iagrams
citecl here are conparable to tho se given by Challis (lg6Sa). On\y if
the S, lalrers in ttre Porters Knob outcrop can be interpreted as formed. by orysta1- seAinentation is it possibS-e to interyret Chall.ief s observ-
ation as evicLence of crlrstal ge&imentati crn. The evidence clearly strown
in the photographs of the S, layecning (p.lSo ) O.oes not support the lly-
pothesis of crystal sedimentation for these Ia;rers. Relationship between laveins. foliation End veins. An irnportant
feature of ttre relationship bet.ween fabrio antl stnrcture is the close
sinilarity of prefereecl orientation of, olivine in speci-mens fm out-
crops containing intersecting planar stnrcfi:res, regar&Less of whether
these are foJ.iation, veins or layering. It is jrrf enrecl frcm thLs tfiat
the stmchrres are closely related in origin and pr"obably formecl, like
fabric, by anisotropic stresg. fntersec_Lion of S. gnct S.. The line of intersection ctr S, antl S^
in outcrqps containing two intensecting plarrar gtnrctures cloes not show
.consistent orientation ovtr ttre rfiole of the Gqle.rr or even in a malL
area of it. This ie clearly shown jn ttre 'nap of Porters Knob (U"p If) . RODTNGTTES Post-enplacoent hydrottremal activity is an important feature
of rnany Alpine-tJrye_ complexes manifestetl by the develotrment of
serpentinite from perldotite, metasomatisrs of sedi.mentary and igneow
rocks in contact vrith the conplexes and the developnent of rodingites. Several other tydrothermal- efTects also occur but these three are the
most conspicuous. Cnrsta-l s etinentati on tnrpothesi s an d fabric. -193- Itre ecly layering shows no consistent pattern of orientation but the
late (Sg) layer:i.ng, a,st of the hinge of the Ponters Knob Antifo:rn,
is para1le1 thrcughout the area. The foI*ing of the early layering
therefore appe€rrs to be dre to sone earlier a^nd. unrelated. period(s)
otr clefomati-on' Frcm this is can be seen that little tectonic
sign:ifieance can be attached. to ttre dir.ection of the line of
intersection. -I9rl- DESCRIPISON The rel-ative arocunts of serpentine and. unaltered. olivine anct
pyroxene in ultramafic rccks can be approxi-mately d.eterninecl in the
fle1d frm their ilensity, colour and. atrryearance in trancl speci-men. Can-
sequentl;r, it is possible to detemine the *irection of incnease in
d.egree of serpentlnization. Thi"s is tovrards the nargin as well €ul
towards mafic Srkes and shear zones of the periclotite. The uIt:snafic
r^ocks of the rnargin of tlre Complex are genera$r entirely serpentinized.. Cmplete\y serpentinized mclcg occur withir 200 feet of ttre contact,
and. frq there ttre degree of serpentinization decreases rapidly inwardst
fallirlg to zero at about 5m feet to 10m feet frm the contact. The uidth of this partly serpentinizetl zone is imegular. It i-s -195- thicker on the westem (1OOO feet) than on the eastern ancl northern
contacts (fm feet). The more basic nafic clykes cut' uns er?entinized. perid.crtites,
but the hornblende dykes invariably cut at least partly senpentiniz ed. rocks, and commonl-y the contact perid.otite is cmplete\y serpantinized. \{trere hornblend.e-bearing Qrkes are wid.ely separated., the d.egree of
serpentinization increases towards the $rkes and the w:idth of partial-
serpentinization is only about 2O feet for a 5 foot 4yke, and correspond-
irgly greater for ttrisker {ykes. Tlithin the nort}rwesterly trending
belt which contains most of the (ykes (p,9f,) aff the perj-dotite is
partly serpentinized., and tlre d.egree of serpentinization irnreases to-
vuard.s the $rkes. The relationship of serpentin:ization to shear zones is very
obvious. All noclc within 1O feet to 50 feet on either sid.e of, the
shear zone are at least partly serpentinized. Ilary of the shear zones
are evicl.ently faults d.eveloped dr:ring regional faultin6 (p.227 ) tong
after intnrsion of ttre perid.otite. SERPNITINIZCTTON . As the assemblage olivine-enstatite-water is unstable at t€n-
peratures below 6tloC. (Booen anct I\rttle, 191+9) it nay be inferred. that
since oplacenent d ttre Complex, whereven water was arrailable for
reaction, the olivine ancl enstatite will have al-tered. to talc or strpen-
tine, ancL the persistence of unaltered. perid.otite probably means that
for sdne reason water was not available for reaction. -196- As a considerable proportion of the ultrarnafic nocks of the
Recl IfiIL Conplac are partly or wholly serpentinized. a large amcunt of
water must have been required.. Hess (lgSil suggested. that the vrater
causing serpentinization in rnanSr Alpine-tfpe periclotites was derived
from vrithin the peridotite itself, but other unriters consider that
rnuch of the water was derived. frcm the zunrourrding sedi-nents (Turner
arrd Verhoogen, 196Ot p. 3n). The serpentinization of ultra:nafic rocks
in the Recl Hill Complex is beLieved to have been effected by water
d.erived frcm both scurces a.s well aa frcm the intnrsive mafic $rkes. ( ")
YIat er deri ved. fro wittrin the C mp1ex. The d eve lopent
of veins, rq>lacement bodies and. metanorphic layering requires a large
ancunt of water. Much of the wattr may have escaped. cluring eroplacement,
but scme would be retained and with falling ternperature would. have re-
actecl with the antgrclrcms nirrerals to form serpmtine, talc etc. llost of
the serpentinization due to this water would probably occur at, or near'
the ccntacts of the Complex. This follows frqr eonsideration of the
temperature gradiert ctring cooling. As Foon as tmperatures droppecl
belcn a critical vaIue, i.e. around. g.tpoC. water world react to form
tydrous phases. The critical toperatrrre vrqrld be reached. first nsr
the contact of the Comptrex and wa.terr would. flow to the contact to be
converted. into the tgrclrous minere.ls serpentine or talc. ff talc had
fomed. first, further rneaction at lmer taperahrres between olivine,
talc, ud wate wouLd. have produced. serpentine. Sme water may have
rsoainetl within the body of ttre Cornplex, but it is not likeJy to have
b
much
The fer
l
of d
l
t of small
t of talc As a considerable proportion of the ultrarnafic nocks of the
Recl IfiIL Conplac are partly or wholly serpentinized. a large amcunt of
water must have been required.. Hess (lgSil suggested. SERPNITINIZCTTON that the vrater
causing serpentinization in rnanSr Alpine-tfpe periclotites was derived
from vrithin the peridotite itself, but other unriters consider that
rnuch of the water was derived. frcm the zunrourrding sedi-nents (Turner
arrd Verhoogen, 196Ot p. 3n). The serpentinization of ultra:nafic rocks
in the Recl Hill Complex is beLieved to have been effected by water
d.erived frcm both scurces a.s well aa frcm the intnrsive mafic $rkes. ( ")
YIat er deri ved. fro wittrin the C mp1ex. The d eve lopent
of veins, rq>lacement bodies and. metanorphic layering requires a large
ancunt of water. Much of the wattr may have escaped. cluring eroplacemen
but scme would be retained and with falling ternperature would. have re-
actecl with the antgrclrcms nirrerals to form serpmtine, talc etc. llost o
the serpentinization due to this water would probably occur at, or near'
the ccntacts of the Complex. This follows frqr eonsideration of the
temperature gradiert ctring cooling. As Foon as tmperatures droppecl
belcn a critical vaIue, i.e. around. g.tpoC. water world react to form
tydrous phases. The critical toperatrrre vrqrld be reached. first nsr
the contact of the Comptrex and wa.terr would. flow to the contact to be
converted. into the tgrclrous minere.ls serpentine or talc. ff talc had
fomed. first, further rneaction at lmer taperahrres between olivine,
talc, ud wate wouLd. have produced. serpentine. Sme water may have
rsoainetl within the body of ttre Cornplex, but it is not likeJy to have
been much. The fer examples of development of small amcunts of talc -197- and ser?entine in other'lrise fresh peridotite well away frcm the contact,
Srkes or shear zqre, nay be ecplained. as caused by this residual water. (t) Externall.v d.gived. water. The ver1r large amcunts of water
requi-red. to conpletely serpentinize the rninor ultr:amafic bod:ies of the
Goat Fomation, was probab\r d.enived. fro outsiile the bod.y. There is
no reason to suppose that these ultranafic bodies contained a 6reater
proportion of ',r'ater than ttre Conrplerc and. thre was certainly not ernugh
water j-n tLre latter to cause conplete serpentinization. Also, the
serpentjni'zation along the shmr zoles in the Complex mtrst be derived. frm an octernal scurce. Assuu'ring an unli-mited. supply of water in the
rocks surrounillng the Conplex, it is surprising that all ultramafic
rocks have not been serpentinized. In fact, the wid.th of the serpen-
tirized. zone is very narow in ccmparisan w-ith the size of the Complex. SERPNITINIZCTTON this is especi.ally surprising because the peridotites ane verxr vrelI
jointed anct in Eaqy cases, strongly fractured. The probablig explanation
is that arsr crack wid.e enough to pemit ingress of water vroul-d. be closed. because of, the vo}ne increase of serpentinization. For tlris reasont
perid.otites are probably highly impervious rocks, and waten nay onLy
get insicle by fracturing ttre serpentinite sheath € by slow diffusion. (")
W t
frm the llafic Drkes
The mafic dykes are believed (t) Externall.v d.gived. water. The ver1r large amcunts of water
requi-red. to conpletely serpentinize the rninor ultr:amafic bod:ies of the
Goat Fomation, was probab\r d.enived. fro outsiile the bod.y. There is
no reason to suppose that these ultranafic bodies contained a 6reater
proportion of ',r'ater than ttre Conrplerc and. thre was certainly not ernugh
water j-n tLre latter to cause conplete serpentinization. Also, the (")
Waten frm the llafic Drkes. The mafic dykes are believed. to have intnrd.ecl tlre Cmplex over a lorg periocl cduoencirg when it was
still- fair\y hd, i.€. at abcnrt 5m - 6OOoC. (plf9 ). Some evidentl,y
contained a fatrly higb proportion of wate, because ctr the crystall-
ization of amphibole rattrer ttran pJrrox€ne, but the ancunt of serpentin-
ization is much greater than oan be expected if waten was ilerivecl sole\r -198- from the clykes. Probably the intmsion of tJre Qykes allored ad&itionaL
water from surrcund.ing strata to get insid.e tlre protective sheath
surrouniling the Conplex. The vri de distribution of partly serpentinizecL
rocks related. to the nafic Qrkes is e:cpla:inecl by the hlgh ternperature
of the peridotites pennitting rapid d:iffusion of' water away frcm the
vicinity of the dykes. 0ther
h.vdrous
phases Serpentine is not the only nineral to fom by hyd.ration of the
perid.otite thorgh it is by far the most ccrmon. Reference has alreaff
been rnade to talc, which occurs only in pyroxene-bearing periclotites,
presumably because of the higher silica content of those roek-s. Talc
is fcmnd. only in th-in section, md d.oes not fotm any mesoscopically
visible d.eposits. two hyd.ration products of feld.spar have been noted. Feld,spar
is often the on\y mineral to alter in scme perid.obites. fn some
speci-mens (e.g. No. 1)99il tlre feLd.spar grains have altsecl to a turbid.,
anisotropic material, id.entified by X-ray &lffraction studies aa tiyd-rc-
grossular, which contains sllghtly less than 1 molecule of water i.:r the
lattice (" = t t.9o8), (Yoder, ljn). Ansther alteration procluct is zoisite. A stralJ part of the
felclspar grain in specimen No. 10996 is replacecl by a finely-granuJar
naterial which has weak to noclerate birefringence and. refractive indoc
higher than olivine. On\r a very slall amount could be sqlaratecl frm
the rock and. by tJle oiL imersion nethod..gave a refractive ind.ex of
1 .695. C onsi d.eration of like1y chenical compositions, refractive jnd.oc -199- l birefringence stronglr zuggests that tJ:e mineral is zoisite. Zoisite is fq.rnd. only in a few tJrin sections of perid.otites
as very snal1 grains and is conrronly associated. wittr hydrogrcssulor. TECTONTC
INCIUSIONS lllunerous d.isorientated. exotic blocks of rock are found. in the
cntshed. serpentinite at the margin of the Complex. These are derived. fnom the aQjacent strata or mafic ffkes and follcmring Brothers ltff+)
arrct Col-aoan (tg6l ) are referreil to as t tectonic inclusions r . Co3-eman
(in press) d.escribecl. in cletail the nineralqlr and petrolory of tectonic
inclusions fnom N.Z. ultraroafic bo&ies inclucting Dun lfiountain and Red. HiIL,
Because of CoLaan's detri.iled. work only brief mention of the
tectonic inelusiorrs is mad.e here. Col,eroan (in press) considered. that ttre tectonic inc lusions are
metasmatised exogsnous blocks derived. frm three cliff erent types of
rocks; gabbr"o-basaltr argillite-greSnvackes , ed l-irnestone. The
tectonic inclusions of each tJ4le have distinctive nineral assembla,ges
d.eveloped. i.n zones sumound.ing a centnal unaltered or partly al-tered
core. The Babbror-basalt tJpe have an assemblage Wdrogossulai-
chlorite sllrrourtlecl by a skin of chlorite; ttre argillite-gre;nvacke tJrpe,
an assembl,a6e of albite-actinolite surnouncletL by an outer zone of
actinolite;
and the lirneetone Wpe have oute zones of the a,ssenbJ.a6e
hydrc gro s sula^r-prehni te-woL las t oni te . As the cores of the zoned. tectonic inclusions ane comon\r -200- Fig. 76. Type A Tectonle Inclueion. The incl usion Fig. 76. Type A Tectonle Inclueion. The
is cyllndrlcal with a dlameter of about 10
is surrounded. by crushed serpentinite at
of the Complex at 420898. incl usion
feetr and
the marein Fig. 76. Type A Tectonle Inclueion. The
is cyllndrlcal with a dlameter of about 10
is surrounded. by crushed serpentinite at
of the Complex at 420898. incl usion
feetr and
the marein -201- Fig. 77. Type B Tectonie Inelusion. The inclusion
is unzoned anc'l. is composed. of ?. ha.rd. a.nd. brittle
leucocratic rock
It is surrounded by erushed Berp Fig. 77. Type B Tectonie Inelusion. The inclusion
is unzoned anc'l. is composed. of ?. ha.rd. a.nd. brittle
leucocratic rock. It is surrounded. by erushed. Berp-
entinite of the rna,rgin of the Conaplex ( "t 41BB9B). Fig. 77. Type B Tectonie Inelusion. The inclusion
is unzoned anc'l. is composed. of ?. ha.rd. a.nd. brittle
leucocratic rock. It is surrounded. by erushed. Berp-
entinite of the rna,rgin of the Conaplex ( "t 41BB9B). -?o2- unaltered., Colenran pointeil out the roineral assembla6es cannot have been
forrned by metaorphism but rather are metasouratic, fomed. by reaction
between the core and. serpentinite surround-ing the incLusion. fn the R.ed. llilI area, a. TECTONTC
INCIUSIONS number of tectonic inclusions were
exarnined by the writer; aL1 fall into one of three Qpes. Limestcne
blocks vrere not found. as tectonic incluslortgr A. Core of altered. gabbro, $lrourdecl by a sheath of
actinolite-prehnite (fis. 76) . B. Core of [pdrogrossular - ctrlorite
ctiopsidic-pyroxene
(ris. 77). C.
Core of albite - actinolite. C. Core of albite - actinolite. The nineral, zoning of tlpe A. has a skin of dark-green, almost
trarrslucent antigorite (N, = 1.570) surnounding a leucocratic sheath
Gcmposecl of prehnite and. actinolite. Thin section No. 10997 is frm
the leucocratic sheath of a tectonic inclusion (Tfrpe l) at t+19899. The nineral, zoning of tlpe A. has a skin of dark-green, almost
trarrslucent antigorite (N, = 1.570) surnounding a leucocratic sheath
Gcmposecl of prehnite and. actinolite. Thin section No. 10997 is frm
the leucocratic sheath of a tectonic inclusion (Tfrpe l) at t+19899. Prehnite occurs as sieved., xen$lastic grains abcnrt 1mm. across and. was
'A
iclentified. frcn x-r1e.$ cliffraction pattern, It contai-ns inclusions of
actinollte (pale green amphibole, Z^, = 1Bo, tV )arge and. negative sign)
and a little
sphene. The core of the tectonic i:rcluslon (section No. 10998) has a pLanar fabric of flattened grains of brown-ge€r hornbLende. Ihese grains are rimed by strcngly pleochroic fibrorx actinollte (iron
rich) and. are sqlarateel by preturite, albite and trydrogrossular. Altered.,
zoned. plagoclase occurs as grains with tgl'clrogrossular cones ancl albite
ri-rosr md the gubhedral habit is still welJ shovrn, The rock is p€trc-
graphicafly s:imi Jgr f,s hornblende microgabbrcic $rkes which cut the
ultranafic rccks of the Conplex. -203- -203- TWe B. occurs Ers leucocratic blocks that show littl-e m:inerel zoning. The core is macle r4l of an assablage of bydrogrossular-cliopsicle and
wualJy sqne chlorite. Gr^anular hyd.rcgrossular, at the margln of the
inclusion, is dissoinated through serpentine ( section No. 10999) , and
increases in a:nornt toward.s the core. Locally developeil thrin veins of
fine-grained., radiating ancl pa^ralIel, acicular aggregates of prehnite
cut ttre serpentinite. In the core of the inclusj.on (ttrin section No. 11OOO), lrycbrc-
grossular occurs aa a turbid. matrix enclosing elongate, randomly
orientated prisns of colourless pyroxene ( fig. 7B). irleithe chlorite
nor serpentine are present. No. 11001 is a ttrin section frm another
TJ4le B. tectonic inclusion. Hydlrogrossular and pyroxene make up the
nqjor part of ttre section, but chlorite (p"1e green, verlr weakly
birefringent) r=placing pyroxene, is present in ninor ancunt. The
pyroxexe has a fli$rous hsbit is ili-opsidic in cmposition and is wealcly
pleochroic, $rith a brownish tint ln Z. (X = 1.691 Y = 1.698 Z = 1.713
(a11 + .o0l) T{ = 57o Z c about 45o). The tqrctrogrossul"ar tras:
& = 11.94 I
and. C.
Core of albite - actinolite. ri = 1.718 and according to the data of Yoder (lgSO) is
approxinately of the conposition JCaO.AI ZO3 2.5SiOx 1 HzO, '
Coleman also noted the assemblage hyclrcgrossular-chl-orite-
cliopsicle but it is not clear r*rether he considerecL tJle cliopsid.e to be
relict or zuthigenic. The fibrcus pyroxme in section l*lo. 11000 is
thoughfr to be authigenic, and, Icv temperature, authigenic diopsicte
associatecL w'ittr prehnite has bem observed by Mr D. Pal.mer in the CoLLins
Riven serpentinites (pers. com.). The alteration of p;rrocene to
chlorite is thought to be a retrogressive effect, the Pyroxene being the -20)4- Fig. ?8. Pibrous and prisrrra.tte authigenic pyroxene (rig.ht ). surrounded by hy,,{ro5grossul ar (tf aek ). Crossed nicols. ( x 4OO). Fig. ?8. Pibrous and prisrrra.tte authigenic pyroxene (rig.ht ). surrounded by hy,,{ro5grossul ar (tf aek ). Crossed nicols. ( x 4OO) Flg. 79. Rodlnglte veins cutting serpentinised" perici.otite, Flg. 79. Rodlnglte veins cutting serpentinised" perici.otite -205-. stable mirpral d.evelolnrl &rrirg lsw tmperafure metasmatism of tJle
inclusi on. $pe C. tectonic incl-usions €rtre vridespread. on alL contacts
and are also founcl in the cnrsh zones that traverse serpentinized. perictotite in the north-Trest of ttre Complex. A hard torgh
very fine-gra-ined., blue-coloured. argillite outorup at 388917 is a
typioal oraple. In thin section (No. 11m2) a mos&ic of very fine-
graS-ned albite crystals can be seen witlrin which are randonly
orientated, acicular prisns of pale green a.mphi.bole. Tkris, bec€u.rse
of its association with albite and. tfie fsr optical propenties obtainable
(pa1e gnean andl pleochrnoic, ecctinction inclined at betrveen 1Oo and. 2Oo) is ittentified. as actinolite. Reecl (lBfg) n " described. several
exaples of dove-grey argillite which occur as tectonic inclusions
and contact r"ocks at Drn Mqrntain. He ittentified albite and
tremolite-actinolite as a ccmon assemblage, and gave chemical
ana\rses in*icating about 5 to 7 per cant soda in the roclc. Reed. conclud.ed. that the rocks are soda-metasmatised argilLacecus rrccks. -206- STRUCTUITE AND
PETROIOGY STRUCTURE STRUCTURE -2O7 - DESCRTPTION lhe Recl ILilI area oonprises part of the sieqrly dLipping eastern
limb of the Nelson S5mc1ire, the rnajor stnrctural featu:re of the
Upper Paleozoic rcclcs of the northern parb of tJre South Islancl (TfeU.man,
'1956). In the area three separate tectonic belts €ttre recognised.,
namecL the Eastern, Central ancL Tfestern Belts. fhe Eastern and. iYestern
Belts are cooposecl of strata which strike paralle]- to the regional trenil
of the Ne1son SSmcl-ine and ttip steeply. ILte Eastern BeLt, drich has
been briefly described. on page l{ , cmprises rrocks of ttre Pelo ns Group,
The lfestern Belt is coslposecl of ttre Maitai Group ancl Glennie Fomation of
the Lee lliver Group (see geological rnap). The Centr:al Belt is ccmposed. of tlre Recl HiIt Ultrranafic Conpl-ex a^nd ttre foltLed roclcs of the Ben Nevis
and. EU.is Anticllr€Bo The rnaj cn structural f eatures of each belt are clescribed
oeparately be1ow. Ilarcls
Pass
Fault -
This previor-rsLy untlescribed. fauLt separates PeLor:us Grotp rccks
of, ttre Bastern BeLt frm those of the Ben Nevls Antic]ine. The trace
of the faul,t is shown on aLr photographs aB an i-ntecmittent linear
feature in ttre heavi\y bush-coverecl country north-east of ReiL HiLL. The fault is e4posed. in the tributary strens of the Left branch of
ttre Ifairoa Rlver as a brecciatecl zone et le,st 25O yeg.tls w'icle fiith -208- verbica-l clipping sheets of soft faultrpug up to lO feet w'ide
concentm,ted. near ttre centre. Fragments of hartl, brittLe 4ylonite occur
in the brecciatecl rcckg. Frm Warcls Pass it can be tru,ced. norttwarcl.s in an almost stnaight
line to the Linits of the natrped area anct if it conti-rnres, shculcl
intersect the Lee River near Anslm Stream. Santh of Wards Pass
alignecL streans ancl lan sad&les incLicate the trace d the fauIt, toward
the eastem nargin of tJre Recl Hill Cmplex. A najor cnrsh zone near
tlre north-eastern conbact of, the Recl Hill Cmplex can be traced for
several- hunclreils of yartls northwards towards Warrls Pass anct southilard.s
along the eastenr contact of the Conp1ecr, and is probably the najor
corrtinuation d the Wards Pass FauIL The faul,t trps venr eteetrrly
arrcl strikes O25o. The trace Lg atratght and the fanlt-prrg unconao]i-. datefl, euggesting fertiary or later movenent. Ilre nylonlte Ln ttre cnrsb
breocLa d the fanlt uone euggests t{rat the fault nqy be oldc and m,s
on\y reactivatecl in Tertia4y times. Ben
Nevl,B
Anttoline The Ben Nevi s Anticl,ine is aeparated fro the Eastern BeLt W
the Warcls Pass Fault. Ihe TletJren Fomation in tlre Ben Neni s Anticllne
prov:lcles a goocl marker beiL antl oan be traoed. fucrn ttre norttr d Ben Nevig
aror.ad. ttre nog6 of the a^ntLclLne as fer as Il+2932 ancl. fm Warcls Pass
Fau.Lt to I+5@lO. Between ttrese points, the posttion of the f,otmation
is inferrecl fro flre gmeal trend. of beittliqg plane. fhe fol,il plrrnge
sarthwestward. at about 5Oo, andt has a gneatly thiclcenetl, ateep\r <tipptng
fn
santhem 1i$. In &e lmer reacheg of ttre Wairoa River, dornstrem
A -209- frm W9tl+, no yarnging directions or marker bed.s were obtainecl anct
ttre structure is not well hown, but is consistert w:ith ttre a^nticline
clefined by the Tlether Formation. The three dirnensional form of the Ben Nev:is AnticLine carurot
be who11y deducecl fro its shape nortJr of the Recl. Anll Conplex. The
Pelonrs Grot4r veqr probably underLie ttre ultramafic r"ocks of the Cmplex
ancl, as elsewtrene, are likely to be essentially concordant with the basal-
contact of the Cornplex. Since on grav{ty ttata (p. I | ) it is establishecl. tJrat the Lase of the Gonrplex is app::o>inately horizontal the Pelorus
Grrup r1-'e like\y to have the sane a,ttitude. An alternative, ancL
prefen'sd. view (p.12 ) is that the basal, contaet tl-ips west varying frm
7Oo beneath the Westen contact to 5Oo beneath the eastern contact of
the Coruplex ancl is retrreatett by farrlting (p. ia ). If so the Pelorus
Group are likely to have the sme attitucle. This interpretation is
illustnatecl. in ttre geol,ogical Gnoss-Bection. The strike of the PeLorr.rs
Grorp, ancl otr the basal cqrtact of ttre Gonplex ttrerefore varies fron
approxiinately north-scuth beneath ttre ConpLecr to alprorirnatel;r E-W
norbh of ReiL Hill. This interpretction means ttrat a^s the PeLonrs
Group dip und.er the Conplex the Ben Nevis Articline unrolls to fom a
north-sonth trentli:rg monoclinaL stmctnrne. The antioline is cut by nurercus faults which, where obser:ved
aa cnrsh uones, atre narkect by tlre letter rft on the gsol.ogioa3- nap (U"p
1). ftqrosure bel,ov ttre bushline is poor but tJre larger fuu1ts are eviclent
on aerial. photographs aa llneations clefineit by alignetl streans a^ncl. lcrr
saddLes. The tlisplaceoart of ttre Tfiether Fonnation is sma]-l and ttre -210- faults appear to play a structurally subordinate role to fol-cting. Ben
Nevl,B
Anttoline The
faults in the north-east of ttre mappecl anea are id.entified. largeSy fnom
cn.sh zones but di,splacement is unknown because no clear mafker becl is
arrailable. The crush zones are about 2O yarcls wid.e anct fault d.is-
placement may be large. SnalJ fauLts with displacernent of a few inches or a few feet
were obserrrecl in the fielcl. Tlhey are generally parallel to the regional
trencl, steeply d.lpping ancl ctispl-ace strata dcmn to the easb but are
less colnmon tlran sirnila.r faults in ttre Eastern Be1t. The ELLis FauLt. The ruune ELlis Fault is given to the cunrecl
fault whi-ch defines the bornclary between the Goat Fornation and. the
Pelonrs Group north of tlre Rect HiLL Cmplex. About BOO yarrils east
of blt. ELLis the faul-t is exposect in a gnall sad.clle between the left and. rlght branches of the Wairoa River. ft has been traced. santharcls to
the Recl Hil-l Cmplex anil northwards for abotrt a rnil-e into the heaclvraters
of the night branch of the Wairoa River. North of ttre sadAle eoq)osure
is poor ancl tbe contact cannot be easi\y distinguisheil because ttre strata
of ttre two Gnoups are para1leI. South of t,tre sad&Le, the contact is
marked. by a fault, which becmes increasingly ohviors towarcL the Cmple:c,
where ttre strata of the Lee River Gror4r strike jnto the faul-t at an
angle of about lpo. The ELLis FauLt fhe fanlt ctips about 5Oo to the south west near l[t. ELLis but
about a quarter of a nile frcm the corrtact of the Rec[ Hil]- Cmpl,eoc
steqreno to af'nost vertioal. The fault €lrcs away frcm ttre Cmplex -21 l- a
X
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Fq ol stniki.ng initially nor"th-west and. sw:ings to strike appnoxinately
north-souttr. The pronounced. recurvahrre on tJre geologieal nap
(U"p 1) is due to corsiderable ctrange in height of topography cmbined. with dips of about 5Oo. (Elenation of ttre fault near Mt. Ellis,
1WO feet higber than 1 nile north and south of llt. El1is ). The curvature on the E11is Fault shorvs a cmfornity to the
general structure of the Ben Nevis Anticline and it is probable that
this reflects a close str:ucturel rel-ationship (p.229). E1lis
Anticline The Goat Fomation immediately north of the Cmplex is folctecl
in an asJrrnmetricaL, steeply p1ungrr€ (60o to 8Oo) arrticline which is
named ttre ELlis AnticLine. The southern Li-mb stlr l':r.:s :.:Lra.Il-eL to its
contact with the Cmplex and the northern iinb j.:r 1'olr1ed. into a broad. sSrnclinal fle:nre. TLre plunge of the fold is suggestecl by the steqr
clips otr strata at the nose of the anticline in the headwaters of the
Itotuetca River (fig. 17). A panorarna of the area is given in figure 80 The anticline is cut by faults of at leaet two a€eso The
earliest faults strike ee.st-west ancl are crrt ancl &isplacecl by north-
east striking faults which also clisplace the northern contaet of the
Cmplex. l[ar\y of the fau].ts have been lntnrcled by serpentinite
(p. 66) . The nortl>east faults are the csrtl.nuation of a major eet
of fauLts wtr:ich clrt the Cmp1ecr. These ar€ clescd.bed below. . These ar€ clescd.bed below. -tl3- Uacroscgpic struchrres in the Red. HilL C@plex. $}$. fhe ultraroafic rocks of tJre Upper ?'qre are finely layered. }[acroscopically the layerir€ d.efines fo],cl-Iike structilr€er The nost
conspicuous is the antifom the hinge of rvhich passes near Por*ens Knob
(tfre Porters Knob Antifom). Ifest of t]re hinge the lqyering generall-y
clips steep\r to the west or south west, ed east of tl:e hirge as far as
the Motueka River layenring tlips at about 5Oo to the scutbeast. The
folcl is an aalnnmetric antiforu with an axial plunge of about 25o to
the santh and with an axial plane dipping in an easterLy direction. Ma^fic {ykes cut across both limbs of the foLct $dth paral1eI
orientation ancL therefore post-d.ate folcling (p. 15). South of ttre lilotueka River, on the Platear, layerfug d.:ips at
about tpo to the south-east although sone fle!-lyirrg layering ocsurs
near the scuth-ryestern contact ctr ttre Complar. Very brcad. ainilarity of the Porters Knob Anbifom ancl other foLcl
strructureg in ttre Cmplex with the Ben Nevis At*icline suggest &
possible structural relati.onshi.p. North-easterly strikins faults. y
Conplecr are cut by a ntmber of netlr-easter\r striking fallts. Some
faults are hovever intmcled by clykesr €.8. near Porterg Knob. There were therefore two peniocls of faulting; one before and. one after
ryb intnrsion unless faulting ancl {yke intnrsion were contapcqnious. Ihe latest north-easterllr faults sut and clisplece ttre northerr contact
of the Retl Hill Cmplerc. -?LI+- The faults are markecl. by a narrour zone of emshecl ancl
sheared. serpenti.:aite bound.ed. by a zone about 25 feet wide of serpentjnisecl
periclotite. Ihey are usually iclentlfiable as lineations j-n aerial
photographs but all those marked. on the geological map have also been
observecl. in the fieldl. There are a large number of s",'alI faults with
inclividual displacement of on\r a few inches or feet nhich are not shown
on the nap but their cumulative displacement rnay be vely large. The
sna.ller faults are clownthrovrn to the east and movement is largely
vertical. The *lsplacemerrt of the larger faults is knc,wn only f or those
which cut the northern contact. Most show apparent downttrrcw to the
east. I,ike ttre smaller fault!, moveroent is probably vertica]-. .L11
faults dip steeply. Lowther Strea Fault. The name towther Strean Fault is 8:rven
to a maior fau1t wtrich cuts the westsn part of the Complex. It is welL
exposed. in Lolrther Stream as a 5O yard w'id.e zorle of cmshed and. shearecl
serpentjnite. The fault has been tracecl northward fron the south-
western contact as far as the Motueka River ancl was also observed. on the
uitlges and. stre€ms west of Portsrs Knob. The fault plane &Lps at about
/0o east. The ttisplacment is not lcrown but is possibly the sme as
ttre nortbeastenly strikjng faults since it is subparalLel to these. Norbh-+westerlv striklns fanlte s Norbh-+westerlv striklns fanlte shorn on the geoLoglca1 nap cut
the mafic {ykes md are narkecl by zones of ertrshed. serpentinite. The
fault af 39}8fr gives an qrparent sinistral displacenent of the hlnge,
of the Porters Knob Antiform hrt this is the on\y lmowzr eviclence of dis-
placaent. The faults are rel-I shown on aerial photog:raphs as aligned. etre€@s ancl sactdles. The fatlt pla.nes dip at about 65oto ttre santh-west. -215- The north-€8.8ter\y ancl norbh-westerJy striking fanlts in the
RecL Hilt Comple:r a^re pllbab\y of ttre s@e period. of clefomation
as those of siuilar orientation rftich cut tlre Ben Nevis AnticJine. EA,STIRN BE[,T Chrome
St ream
Fault A 50 yarcl. vrid.e cmsh zone is ercposed ln Chrme Strem at
l+71;197 but ttre fault has not been traced, beyond the stream. The faul-t
dieplaces a river-cut surface (vr:ith upthrow to the east) but not over-
lyinrg gravels (fig. 8).). It is therefore a youn6 fauIt, but without
very recent movement. It is probably a splinter of the fiairau Fault. EA,STIRN BE[,T Rocks of the Eastern Belt have a regional strike which swings
frcm 36Oo jn the south to OJOo in ttre norttre and. .liF steeply east. Irocal variation in strike ancl dip are c@mor ancl rare reversals in
younging clirection show that scme of the roclcs are isoclinally folcleil
Uost rocks young westwarcls and. are overh:nd. The hlnge line of two isocliml fol-tls are eqlosecL in Bor1cleor
Strean at l+78852 and. l+72BJl . Axes of the folds plunge scuth at 20 to
JOo arrd the eastern linbs are faultecl against the western lieb atr
inf erred. adjacent foLd-g. Numercus strtke faults cut the rocks but in the heavi-Jy bush-
covered. country it is not possible to trace ttrem begrond. their exposure
in gtrems. The larger faults have crush zones up to a few feet wide
and dip at betvreen 600 east and. BOo west. The sense of rlisplacement
is probably si^nilar to tlat of numerous sraller fauLts which have a d:Ls-
pl-acement of on\r a few inctres or feet. These are clownthrorn to the
east, with don:iruntly vertical morrement. Despite the faulting and. foltLing, of the Peloms Group noclcs, the
Eastern Belt shows e broadly si.nple stnrctural pattemr of thrce parallel
form,tions that can be traced for at lest 15 nil,eg along the strike
(p. l1). In general,, the rocks young westwards. The fol,tling ancl
faulting are ttrerefore conparatively mllor features superimposecl on the
regional gtnrcture of steqlly Aifping rtcks that young to the west. -216- The inferred. stmcture across the Eastern Belt is diagra.urnatically
sho$m in figure 8l . It is assumed. that folcling and. faulting are
clos e1y relatecl an d ttr e sense of d.ef ornetion i-s t]re sm e over the who le
iridth of the belt. Altirough locally the arnount of displacernent is
comparatively sme-'ll , the cunul.a.tive effect nnay be large, ild the
foruations may be considerrably vrider ttran their trle stratigraphic
thickness (p. l8). Ward Fonrnot on
We*hee Formation
Formqtion
Ftg
8lB. 6"n".allised cross- section of {he
Eastern Belf. WESTERN BE[,T Fqrr north-eastenJy stniking fzults cut tJre Maitai Grcup and
Glennie Fomation, ancl displace foruation bcnrndaries. One fault is ertrrosecl in Beebys Strean at 335796 as a 27 yard. wi.d.e -217 - \
ll F ig. 8L, Crush zone of Chrome Stream fa.uIt. The vred,ge shaped. lrodJ on the right, of the photogra.grh consists of til+ed sravels
ccntaining perid,otite pebbles and. crushecl roek. Recent graveLs
1ie on a r'latform cut, on t,he crush z,one and older g,reve1s. -21€- cmsh zone and contains snall coltl intnrsionsd srpentinite. It bag
been traced northwards over a step in the ridge between ttre l,lotueka
River and Beebys Strem to jain the naryinal fzult about JOO yards gouth
of ttre gorge in the right hanch of the lvlotuelca River. Asstuing mly
verticaL movostt the estinated. horizontal clisplacenrent of 10OO feet
between the Trarnway/Greville bcuntla:ry must be &re to a vetical dis-
placenent of e.bout l0OO feet. Cnrsh zones about 8O yartls are ecposed. in the right branch of
the Mcrtueka River at 510826 anct in Porters Strem at f42B$, and a
well clefinecl trace joins ttre two. A crush zone in EILis Strea at
360tf19 (eig.83 ) nay nark the continuation of the fault into the
rnarginal fault, but no traee has been obgerrred. on the ground. or on
aerial photographs between Ellis and Porters Stresns. Ihe amcunt of
clispJ-acernent is perhaps about 6OOO feet but the position of the ctisplace
fo:mation borndaries atre rnt aocurate\r knourn. Cn.sh zones are also ocposed. in the left branch of the Motuelca
River, Etti"s Strea.m and at 370915 ancl t8O95O, and are related to a
fauLt recogn:isable frm aerial photographs. Altholgh the sense of d.is-
pJa,cenent is f,be af,r€ aa.thst'of fanltg clescribed above, the a,ncnrnt of
d:iaplacenent is not acouratelSr knwn. fn contrast to the norttr-easter\r fzuIts ctrtting the Red. Hill
Coryla srcl Ben Nevls Arrticline, the abovte faults of the ltestern Belt
are clorrnthrown to the west. ftrey ane general\y otr"alght anct clip steeply,
and. their cnrsh zones are soft and uncementetl suggesting TentiarSr or
later Bge. Faul.ts wittr simi fui trend ancl clisplacernent ner Nelson, out
Tertiary ge*i-nentary rccks (gnrce , 196Z). _?lt_ f,&
t
i
,A
\
.F
&. Fig. 83. Crush
in the crushed
probably a I coLd
zone exposed ln Ellis
rock is a lensoid ma.ss
intrusionr. Streem. Enclosed
of seTpentinite, Fig. 83. WESTERN BE[,T Crush
in the crushed
probably a I coLd
zone exposed ln Ellis
rock is a lensoid ma.ss
intrusionr. Streem. Enclosed
of seTpentinite, -22O- A number of snall steepJgr-tlipping strike fzults rrith displace-
ment of only a few feet are found. in the Greville Fo:mation. They are
si.uilar to the rninor faults of the Eastenn Belt in that movement has
been d.minant\r vertical with downthrcrrn side to the east. Bed.ding
plane shear, ancl slaty cJ-eava6e are al-so commm, but the rock-s are
much less d.efomed than the Eastern Belt rpcks. The most distinctive minor stnrctures of the trtaitai Grcup are
zig-zag folcLs with an anplitucle of abort 100 feet. The arcial planes
clip at about 6O0 to the east, parallel to sLa,ty cleavage. IIXIRAU FAUI'T The frAirau FzuLt sqlarates the rpeks of ttre Upper Paleozoic
frcm the Mesozoic Grqrwackes of the Torlesse Grcup. Recent movaent
is shovrn by stqpped terraces and the fault trace is clearly seen in
aerial photog:raphs. Five niles east of the mapped. area, the Tfairau
Fault cuts a gr\cup of river temaces and ctioplace,nent ind.icates that
horizontal movement was gr.eeter ttran ttre verticd, with upthrcnv to the
east (Werlran, 1955). Transcument movenent on the fzult in tlre Red. Hill area is not demonstrable, but a fauLted. surface on river gr"avels
has a 10 foot venticaL cli.splaceurent w:ith upthrow to the west. lhe
Waj-rau Faul,t is the nejor norblman'cl continuation of the Alpine Fatrlt
(Sussate, 1965). -221- SUI&IARY OF DATA SUI&IARY OF DATA
( t) The stratigraphic cRrocession is
Haitat Grorp. Basal ll-nestone foIlowed. by sandstone
and laminated. argillites. Age; Latepermian
Glemie Formation. Sheet volcanics and ninor clastic
sediments. Age; Probab\r
Mid-Pemian. Goat Fmation. Pil1ow lavas ancl volcanic breccias and. minor clastic settiments. ASe; Probab\r
Ear\r-Permiar. Pel-wus Sroup. Voloanic clerivecL wackes. Age; Pnobably
Carb onif erous. Age; Probab\r
Mid-Pemian. Pil1ow lavas ancl volcanic breccias and. minor clastic settiments. ASe; Probab\r
Ear\r-Permiar. Voloanic clerivecL wackes. Age; Pnobably
Carb onif erous. Pel-wus Sroup All formations are concordert. All formations are concordert. ( Z) Ultranafi c rccks. ( Z) Ultranafi c rccks. The Reil Hill. Cmplex io a lens-like bocty abort 12r0OO feet tttiok
at its thickest parttwhich tlrins to l0OO feet. The Corotrllex ia part of an extensive sheet lrtrioh ecctencls at least
as fg: aa Dun lfio,rntain. [tre dineorsions of the sheet are lr
lerrgth lp railes, breaclth 12 niles or trore, tJricknes8 @ b
121000 feet. Il-ltranafic rocks fom an g]-ost contirnrous outcrop frtm DtUrnille
Isla,nd to the Wairau Farlt. -222- -222- The Ultramafic rccks intnrcle the lree Rirrer Group throughout
their length. In Otago and. SarthLanct a giniLar bel,t eocist in precioely the
sarue stratignaphic horizon (See Grin&Ley , 1956, Yfiatenhouse, 1964). In places the ultramafic rocks have netanorphsecl the Lee
River Grorp to high toperatures (Cha[is, 1965b). They harrc
possibLy netamorphosed the }laitai Gror4 at Drn Mountain (p. 7 7 )
ttrough the evidence is limited and. not unequivocal. (:) nrcture w:ithin the Recl Hill Complen. The stnrctr:re d the Complex is that of a broed sheet cut ancl
&rplicatect by a ntrmber of faults. The ultrtmaflcs are fine\y Layer"ecl near the stratigraph:ic
tcp of the sheet. Layerlng is of at last tnvo gererations. At Least one gener
ation ig of, netamortrihic cnigin, ancl is accqnpaniett by .$oliation
and. recrystallis ation Ira,yerlng is inclined ancl. clefines nacroscopic ancl mesoscopic
folil-llke stnrchrres. The netauphic layering fomecl at tenperatures in excess of
65ooco
,
t-) D5rkes. 65ooc (t-) D5rkes. A large number of naf,lo Qykes cut the ultranafic rcokg of the
Red Hil,l, Cmplex. Red Hil,l, Cmplex. lhey out th€ linbs of the maorosoopic fol.cls with paralleJ. orien-
fore
tatd on ancl tno{pogt ctate fo1clJ rrg tatd. on ancl tno{pogt-ctate fo1clJ.rrg. -223- The dykes are cut by north-eastenly
wh;ich also cut the northern contact
( and. north-westerl;r faults)
of the Gomp1ex. SUI&IARY OF DATA They are probably of ttre same age as Tertiary faults
of si-milar clisplaceumt and. orientatior in the Nelson Arerl
)
Comparism of folcl gtmctur:es. (Z) The Porters Knob Antifom ancl other fold. stnrchrres within
the Red. Hill Conplerc ma-rr also be regard.ed. as cLeveloping und.er
the
con&itions in whichn*jor axis of ccmpnession was aglroximate\y
E - T[. It is possible therefore that folcls within the Conplex
tLevelopecl cluring the sane period as ttre Ben Nevis Anticline antl
allied strucfirr€s, SUI&IARY OF DATA The dykes are cut by north-eastenly
wh;ich also cut the northern contact
Rare dyke intrud.e alor1g an earLier
The {ykes were intnrcled. as a liquid
loooo to 12oooc. ( and. north-westerl;r faults)
of the Gomp1ex. set of north-eastenly faul-ts. na€na of toperature about Rare dyke intrud.e alor1g an earLier
The {ykes were intnrcled. as a liquid
loooo to 12oooc. set of north-eastenly faul-ts. na€na of toperature about Afteor intru,sion scme $rkes were metamorphosed. to hornblende
microgabbros and. leucocratlc veins. The nafic ffkes show chemical affinities (Uased on two ana\rses)
w'ith the volcanic r.ocks of ttre Glennie Foruation. Both voLcanics
ancL cl;rkes are broadly tholeiitic in clc.racter. ( S) In general ttre Maitd, Lee River and. Pelorus Granps a:re only
sli-ghtly altered. The wid.espreacl occurence of authigenic
trn:npellyite incticates only l-ow gracle netarnorph:ism - lower tI:an
green echist. Some Glerurie VoLcanics are ttrerual\r rnetamorphoserl acljacent to
the ultranafic rocks. $proxene hornfel-s incl-icate a temperahrre
of oplacement of ttre uLtrranafic lpcks of about 1 eOOoC according
to charlis ( t95lu) . (6) ) Stmctures outsid.e the ultrarnafics. The stnrcture of the Eastern and lfestern Belts is simFlercorF
sistirrg of parallel steepl,y itippirg strata. These define the
eaeten linb of ttre Nelscrr S5rnc1ine, The Nelson SSrncline is verTr probably of U54r e Mesozoic age
becauge it ls sinilar to the Scuthland. Syncline (Grina1ey,
Ilarrington and Wood" 1959) which contains folttect Jurassis strata. -224- The Ben Nevis Anticline, the EILis Fault, the E11is Anticline,
and north-easterly and. north-w€sterly striking faults of the
Red" Hill Cornplex can be regard.ecl as belonging to a fa-iIiar
stnrctural patt ern. This stmctural pattemr is consistsrt with an axis of nain coupress-
ion approxlmately E. S.E.-W.N.If.. This Ejrees with the like]y
stress patten furing development of the Nelson Syncline. This stmctural pattemr is consistsrt with an axis of nain coupress
ion approxlmately E. S.E.-W.N.If.. This Ejrees with the like]y
stress patten furing development of the Nelson Syncline. Ihe najor faults in the westeorr belt differ frcm others of
siniLar orientation i:r being down-throwr to the west instead of
the east. They are probably of ttre same age as Tertiary faults
of si-milar clisplaceumt and. orientatior in the Nelson Arerl
)
Comparism of folcl gtmctur:es. stress patten furing development of the Nelson Syncline. Ihe najor faults in the westeorr belt differ frcm others of
siniLar orientation i:r being down-throwr to the west instead of
the east. PRINUPI,E DMUCTIO}E Frm sorn of tJne above cL*ta two pr5-nciple d.eductions can be made
regarding the r€e of the ultraruafic rccks a.ncl some of the stnrcfi.rres of
the area. the area. -225- Development
of the
Reil Hill,
a!'ea. tho altenative t5potheses can be put fomard to account for
the structnrral development of the Red. Hill €rr€&r The first of these
assunes structural unity throughout ttre Csrtral Belt. i.€. the folcling
of ttre ultranafic rocks was contempcraneouE w'ith fol<Ling of the Pelorus
Grorp. The second assumes that folcling of the uLtra^ma^*ic rocks occurecl
at an earLier period and. bears no dlrect reLationship to the Upper
Mesozoic foJ,tling. Aee of fomation of ttre Ben Nevis Anticline and alliecl. at:rrc!;reg. The confomity of the strucfural pattern of these stnrctures
to the NeLson Syncline strongty suggests the seme period. of cLeveloproent,
i. €. UFp er hleso zo ic. The Ben Nevi s Arrticli ne is therefore r"egariled
as a suborclinate folcl of Upper lvlesozoic &geo I'lost faults j.n the
Central Belt are probably of the sane a€e anct their fomation therefore
post-dates aplacement ancl cooling of the ultrarnaflc roc]rs. Age of the Ultrranafic Rocks. The ultranafic rocks are clearJy ycunger than the metanorphe ed. rocks of the lee R:lver Grot4r. No definite information is avail,able
on an upper limit of ege, howeveothe following points are of inportarree
in this respect. The uLtrramafic rocks intmd,e the lree River Grorp wherever they
outcrqi. Fon more than 80 rniles in the Nelson llltraroafic BeIt and. for
a sinilar dista.nce jrr the Otago Ultranafic Belt the ultra.mafic rocks
nowhere (witn one possible excrytion, see p age77 ) cut younger strata. Also the association of spilitic vol-canics and rlltrarnafic rocks is a
connon'one in orogenic zones. Several writss have cmsidered. this to
jxd.icate a distinct suite to which the teem Alpine-true has been gsyer. by Benson (lgzi) and. the tenn topttiol,itef by nany E\rropean writens
(e.g. Kunclig, 1956). fhe writer considers t&at the constant association
of ultramafic rccks with spilitic volcanics in ttre Nw Zealancl Upper
Paleozoj-c Belts strong$r inclicates a relationsh:ip both in space and time. The tine relationship is further zupporteil, by tlre chqnical
si.milarity of the nafic ffkes and the Lree River Gror4l vol-canicg. A.lso
Grindley (PSQ has shown that albite-dolerites intmtte the ultramafic
rocks in the Otago Ultmrnafic Belt a€ain erggesting Ff alprori-nate
contmporaneiSr. I
The weight of evid.ence is thenefore cqnsid.erecl to jndicate ttrat
the Retl HilJ. Complex is Pemian in l€€. The ulbra^nafio rocks were probably intnrd.ed. as a siII into ttre
voloanio trccks or possibly aplacecl as suharine flcns intmding slper-
ficial eediments and overlain by later volcanics. (See l.ater page260. -226- -226- Aee of fomation of ttre Ben Nevis Anticline and alliecl. at:rrc!;reg. Hylothegig I. Ihe ultnamafi.c roclics were apl,acecl as a sill in Pemi-an tine
anct fo1]ed bf Upper Mesogoic d.efomation. 1\ro alternativeg withLn ilre generaL bcnrnils of this [lrpobhesis
must b e o orsitlerecL (f ) The metano4rhia layening , f oliation, ud
recrystallisation ooourrBcl cluring regiom.l clefornatisr in tlre Uptrl er
lflesosoic. (ii)
Thege structuna]. and teorhrn.I featrres were
inherd.ted. fnon an e,r}[er period. d clefomation. Altsnatl-ve (i) my be dtiscqrnted. m the folS,owing grounds. -227 - It was shovrn that the metaorphic layering could not have fo:med. at
temperahrres of less than 65ooc (p.175). If it is posfulated. that
the generation of such stmcfi.rres occurred. after oplacenert and
cooling of the ultranafic roclcs it must be f\rrther postulated to
sustain ttre argurnent that the Cornplex was rdreatecl chring fold;ing. Such neheating if it occurred. diil notrhowever, affect the enclosing
secli-nents T*rich shorry only 1or gracle roetanorphiu. It must therefore
have been restrictecl to ttre ultra,sqfics. Ihe only agency to cause
relreating wou1d. appear to be the defomation caused by the foLcLing
itselJ. Yet Turner ancL Verhoogql (tgeo) state (p. 661) . nThe rvork of nonelastic d.eformation is ftissipatecl as heat. It can be shcnrn, hcmever, that even the nost drastic
d.efomation in rocks under strnesses reachlng their break-
ing strength is accomlE.nierl by a rise i-rr tenperature of
no more than 1Oo ffi sor SinilarJy, heat generatecl by uiscous
flon und.* stresses smch es are likely to d.eveLop within
rock unsses is negli€ible. Goguel has cmputecl the heat
eguival-ent ctr the mecharrical energy involvecl. in ttre clefornat-
ion of Ecrne secticns of the Jura Mountains and of the A1ps,
ancl firds it to be of the order of a fery caLories per gnan,
quite inzuffioient to produce any rnetamorphic effect. Nor
are such effects uisible in some of the intense\r deforued
sedlnents of these mcuntains. There is, in generaL, verlr
littl-e tletailed. correlatton betrveen gracLe of metaorphim
ancl d.egree of foliling, or between tines of clefomation
ancl of recry st alli sation . n
-216- ancl of recry st alli sation . n They go on to point out that the. tfassociation of pseud.o-
tacllylite veins in 4y1on:ltes suggests that frictional heat, when
rapi-d-\y generated. oan incLeecl bring about ftsion of the rocks afYected..rl
But such tthigh tenperatures hsve not been maintajned. sufficiently- 1or€
to permi.t che.nical recorstitution of the defomed. rockfr. (p. 66t) . Hylothegig I. It thus appears fr.ighly unlikely that ternperatures of even
n
100-C higher than the enclosirrg sediments could. be prod.ucecl 1et alone
the requirecl rnirrLnum of J5OoC (aszuraing the 1cnv grad.e metamorphis
iniLicates teupemtures no lr-igher ttran JOOoC). Alte.rnative (ii\
Statect in its simplest temas tJle trypothesis
requires that cluring the d"evelolnent of the Nelson S;rncline the RecL
Hill Conplex a^nd. the enclosing strata were subjeoted. to regional- tri-
axial stress in which the Greatest Principle Stress (G.P.S.) was at
right angles to the syrnlina1 aris. In the ReiL Hill ar€ the cl.irection
of the G.P.S. nay be taken as at right angLes to the strike of strata
of the Eastern ancl Westenn BeLts i.€. in the nonth of ttre area T[.N.T[.-
E.s.E. and. in tlre puth of the area alprrcrinately E-I[ (u"p rv). Ifith the G.P.S. acting in these ctlrrections subordirste foltls may d.evelop
rrith &res pa:nILeI to the sjnclinal axis. The orientations of the
Portens l(nob Antiform anil the Ben Nevis Anticljne agr€e fai-rly well with
ti:-is orientatlon. hrrthermore it nay be re&sona,b\y postulatecl ttrat
the mass of the he,ry Rett Hill Cmplex had. an influence on ttre adjacent
strata chring foLding gufficient to cause a genanal plunge of fold axee
und.er the ul.tranafic rrBBSr Strch a postuLate coulcl accotmt for the scuth
ward phrnging Ben Nevis Anticline and. also the sdlthwarTL plunge of fold.s
within the Conple:c itself. Alte.rnative (ii\
Statect in its simplest temas tJle trypothesis
requires that cluring the d"evelolnent of the Nelson S;rncline the RecL
Hill Conplex a^nd. the enclosing strata were subjeoted. to regional- tri-
axial stress in which the Greatest Principle Stress (G.P.S.) was at
right angles to the syrnlina1 aris. In the ReiL Hill ar€ the cl.irection
of the G.P.S. nay be taken as at right angLes to the strike of strata
of the Eastern ancl Westenn BeLts i.€. in the nonth of ttre area T[.N.T[.-
E.s.E. and. in tlre puth of the area alprrcrinately E-I[ (u"p rv). Ifith the G.P.S. acting in these ctlrrections subordirste foltls may d.evelop
rrith &res pa:nILeI to the sjnclinal axis. The orientations of the
Portens l(nob Antiform anil the Ben Nevis Anticljne agr€e fai-rly well with
ti:-is orientatlon. hrrthermore it nay be re&sona,b\y postulatecl ttrat
the mass of the he,ry Rett Hill Cmplex had. Hylothegig I. an influence on ttre adjacent
strata chring foLding gufficient to cause a genanal plunge of fold axee
und.er the ul.tranafic rrBBSr Strch a postuLate coulcl accotmt for the scuth-
ward phrnging Ben Nevis Anticline and. also the sdlthwarTL plunge of fold.s
within the Conple:c itself. -229- The strilce faults which are ilamn-thrown to the east could be
interpreted. on this \pothesis as high angle tlrnrsts; ttrig accorcls
reasonab\r well with observed. ctips. The north-westerly striking
faults, such as the EILis FauLt and the faults within the Complex could. be inter"pretecl as sinistral wrench faults. This again agees with the
ferv observecl d:isplacements. The EUis Anticline coulcl also be inter-
preted. as fomed. ch-ring the sme period. of d.efomation. Its E.N.E- T[.S;W. striki-ng axlal plane and steep plunge accounted. for by srguing that due
to its peculiar position between the Complex and. the northiuard.s euc-
tension of the ultnamafic sheet it suffened. 1ocaI cmpr€ssion due to
the influence of the Conplecc to regional stress. The relationship of ttre mafic ftfkes to Utrp er Mes ozoic
d.efomation is mt clear. The ffkes were presumably intnrilecl. along
tensional cracks and. therefore their orientation shouLcl fud.icate possibL
]'ines of tension. Such lines of tension may clevelop reg:ionally in the
&irecti-ons intlicated on [Iap fV. A relationship beg:ins to be feasib]-e
for those Qrkes nerr Rect Hill but is not shown at alL on those dykes
furthe south. The:efore ttre orientation of the c[rkes car:not be chre
entire$r to regional cmpreBsion. Irocal teorsional cnaoks roay be
expected. horuever paralJ.el to the hinge of fold*g. The ffkes in the far
north-,nest of the Cmp1ecc (about ,909?0) anil also the norttr-easterly
etriklng dykes at Porters Knob mqy be so interpreted., but the vast
najority of dykes occur in a veqf gentl,y arcuate weclge shapecl zone,
ooncave westwarcls, that ertearctg diagonally across the Corsple:q The
ounrature of this zme is the olposite to that aqtectecl if the ffkes -230- were related to regional fol.ding. Also the Qykes near Rec[ Hi1l,
and in the headwaters d Diorite and Ellis Streems, are o]rnost at
right angles to the axes of folding. No single postulate relating
the c[rkes to reg:lonal comp!:ession
theefore accounts satj,sfactorily for their orientation and it is thee-
fore consld.ered. that the dykes were not intrrded cluring Utrper llesozoic
d.efomation. They probablr represent a separate d.efomationaL
episode altogether. Hylothegig I. Since the Srkes post-d.ate folding of the ultra-
mafics they also post-date Ulper l{esozoi:c d.eforuation accorrting to
Ifipothesis I. Usin6 the d.ata given earlier ancl ttre consequences that follw
fron l{ypothesis f the c}rronolory be1ff tray be ccnstnrctecl. 7. Faultirrg: (mo*tt easterly ancl north-westerly faultswhich
cut the nafia dyke). 7. Faultirrg: (mo*tt easterly ancl north-westerly faultswhich
cut the nafia dyke). 6. Metanorphism of the cl;rkes. 5. fntnrsion of the ffkes. 4.' Faulting of the Porters Knob Arrtiform, later intnrded by $rkes. 5
F l i
f h
t
t 5. Foltting of the ult::a^nafics and enclosing strata. 2. Defonration of ttre ultramafics to give rnetanorphio layering. 1 . Enplacenent of ttr e ultramafi c s. (Uote: This chronolory iglores the rprth-e,sten\r stniking faults
in ttre Western BeIt which are cl,own-thrqvn west. These are
presumecl to be Upper Tertiary in age (p.211) and. not related. to th e U1p en Mesoaoic clefom ation. ) -231- 1 ancl 2 may folLow im'ne&iately or be cortempotr€ureous. Both
3 and. l+ occur very much later but nay occur together. 5 nust be
separatecL by a consid.erable ti-me lapse to accornt for reorientati-on
of G.P.S. but may be folLowecl. immediate\y by 6. 7 would. probably have
to fo1lor 5 after a long interval to al-lor reorientation of the G.P.S. This tlyaothesis therefore probably requires four periods of d.efomation
and. at least two separate phases of igneous acti{rity. Hvlothesis IJ The uLtranafic nocks were aplaced as a silL in Peruian tirnes
and layering ras fokleil during aplacement, The foltLed siI1 was
subjectecl to regional stress tLrring Upper lvlesozoic folcLing during which
the Ben Nevis Ar*icline ancL alliecl stmcfures d.eveloped. but d:id not itself
fold. The najor aclrrantage of this hypothesis is *rat the Qykes coulcl
have been intmd.ed. before Utrper l{esozoic folcling. Apart frm t}ris the
NE, IIW faults anil the Ben Nevis Arrticlines mqy be ascribed to Upper
Mesoz oic clefomati on. The chronolqgr would. nm be:- The chronolqgr would. nm be:- 7. Faulting of the Ultranafic Cornplex ancl Ben Nevis Anticl 6. FoJ-cling of the Ben NevLs anct Sllis Antidines. 5. I'letanorphisru of the nafic ffkes. lt- Dyt<e Intrrrsio n. lt- Dyt<e Intrrrsio n. 3. Fold-1ng ancl faulting of the ultrsnafic rooks. 2. Deforuation d ttre ultrarnafic rocks to give neta^norphic
layerirrg etc. 1. &placernentof the Ultramafic rocks. -232- 1, 2 ancL 3 n.ay follow i-ronediately or be contaporaneouso l+
may follm ver1r shortly after J sirpe d.eformation ctr ul-tranafics wa,s not
regional and on\r 1ocal reorientation of stress clirections is required.. 5 uray follcnv l+ irmeiLiately or even occur contemporaneously (see belor). 5 and 7 occur in the Upper Mesozoic. This hypothesis requires two
sqlarate periods of defomatlon and one peniod. of igneous activity. Pref erre cl H.rm othe sis . Sme tilting of the complex to the south may also have occured. dtuning UFper Mesozoic d.efo:matim resulting i-n the plunge on ttre fol-d. €DCes of ttre Porters Knob Antiforn. This is however speculatlve and th e
precise orientation of the fold.s witldn the Conplec before the Upper
ldes ozoic is not licrown. The ge neral pa^ralleU-sm of the layering on
the ut3tern linb of the Porters Knob Antifcnn to the strata of the
Ylestern Belt suggests that that 1i-nb was horizontal. Sme tilting of the complex to the south may also have occured. dtuning UFper Mesozoic d.efo:matim resulting i-n the plunge on ttre fol-d. €DCes of ttre Porters Knob Antiforn. This is however speculatlve and th e
precise orientation of the fold.s witldn the Conplec before the Upper
ldes ozoic is not licrown. The ge neral pa^ralleU-sm of the layering on
the ut3tern linb of the Porters Knob Antifcnn to the strata of the
Ylestern Belt suggests that that 1i-nb was horizontal. Pref erre cl H.rm othe sis . liypothesis II is preferred. because liypothesis II is preferred. because (i)
Four peri-od.s of d.efo:mation and tro period.s of igneous
aotivity must be postrLatecl for tlypothesis I and. only two
eeparate periocls of d.efomation and. one pbase of igneous
activity are necessarXr for hlpottresis II. (i)
Four peri-od.s of d.efo:mation and tro period.s of igneous
aotivity must be postrLatecl for tlypothesis I and. only two
eeparate periocls of d.efomation and. one pbase of igneous
activity are necessarXr for hlpottresis II. (ii) Thene is no evid.erce of metmo:rphisn to account for the
alteration of the dykes in post-Upper Megozoic times apart
from ttre Srkes thenselves. llypothesis II accounts for
the metanorphio by postulating their iltmsion into hot,
but cooling ultra.rnafic rccks, (p.25?). (ii) Thene is no evid.erce of metmo:rphisn to account for the
alteration of the dykes in post-Upper Megozoic times apart
from ttre Srkes thenselves. llypothesis II accounts for
the metanorphio by postulating their iltmsion into hot,
but cooling ultra.rnafic rccks, (p.25?). lhe main difficulty of ffirothesis II in comparison with Hypothesis
I is ttre sin:ilariff of ttre fold,s within the Complex w'ith those of the
Ben Nevis Anticline. Such coincid.ence is not hmev* unlike\y. The
controlling factor d most orogenic cleforuation is li-kely to be the
orientation of the original geosyncline. We1-lnan (lgg| bas shown tbat the geosynclir:al aris ig para11eL
to the q'cis of the l^ater Nelson S3meline and hence to the folcl axls of
the Ben Nerris furticLjne. Arly intnrsion of the ultra.mafic rocks is also -233- quite like\y to bear a close relatimship to the geosJrnlinal a^:cls. Ary folcLing that nay have then occurrecl is likely to conform to the
orientation d the 6eoslmclinal aris and. he,nce be paraI1el to the later
Nelson Syhcline aniL the suborclinate Ben Nevis AnticJjne. Consequmt upon h;4pothesis II it is postulatecl that erning the
Utrryer Lleso zoic d.efor"mation no foldlng occurred. within the Rec[ Hill Cm-
plex but the rocks were faulted. and tiltecl-
This resuiltecl in tilting
of the base of the Conplex d.o,vn to the west by slip along the strike faults Consequmt upon h;4pothesis II it is postulatecl that erning the
Utrryer Lleso zoic d.efor"mation no foldlng occurred. within the Rec[ Hill Cm-
plex but the rocks were faulted. and tiltecl-
This resuiltecl in tilting
of the base of the Conplex d.o,vn to the west by slip along the strike faults. SIIMIIART. The age of, the Ultrarnafic rocks is verlr prcbablgr Pemi-a.n. The age of tJ:e Ben Nevis Anticli-ne snd. r€lated faults is probabJy
Upp e Mes ozoic. If both these clefuctions are conect then folcling of the U].tranafic
1^ayening and. {yke intnrsion pnobably occurred. before the Upper Mesozoic. The most Iikely periocl of d.efornation anct Qyke intmsion is duning eln-
pl,acoent ctr ttre ll"ltrarna*lo rocks for it iE only at tttig perC-oil that it
ig possible to reasonably poefulate defomation aeconpanied by high
temperatures. -2311- OF
THE
RED
HItI
C0MPIEX,
NEISoN PART
IV P E T R 0 G E i'i E S I S. P E T R 0 G E i'i E S I S. -235- Petrogenesig In this section the origin and extent of metamorphic layring,
the mod.e of jntnrsion of, ttre nafic {ykes and tire nod.e of enplacement
of the Dun Mountxuin Ultranafics are cliscussed. 0rigj.n of }letqnorphi.c Laverine Metamorphic layering, such as ttrat f eturrecl in figures 52155,
55 and 55 is produced by closely spaced., nultiple veins. this is clearly
d.ernonstrable only in those outcrqls in which the rnetamorirhic layentng
can be seen to cut across an earlier stmchrre, but a^s will be shown
later there are reasons to srrgpose that the single layerirg visible
in narlp outcrops has formdd in the s€rne nannff, with earlier lqyering
conplete$r obliteratecl. In cliscussing the origin of metarnorphic layen
ing, therefore, elose attgrtion is given to the onigin of ttrose veins which
cut earlier stmctures. The origin of, the neta^ucorphic layening 6rven below is d.iscussed
in furo parts, firstly the role of replacenent reactions in the fomation
of veins and second.ly the role of deformation and acconparyirqg recr1r-
sta-Uisatim. Ihe dual rol-es of deforuation and. replaceroent in the
fotmation of netanorpluic layening is illustrated by clescribing in d.etail
the features of the Porbers Knob outcrop. Finally the erbent of neta-
norlftic layering ancl its possible node of developroent are discussed. -236- Rol,S
gf
Replacement
Reactions Bowen anct Tuttle (lgtril suggestecl that many of ttre apparently
inbmsive featr:res witlr.in perid.otite conplerces such as dunite veins and. dykes cutting periclotite may be fue to nhyclrottremal (pner:natolytic)
rearn&ngoent of mateial taking pJ-ace largely within tfte ma.gs itse.Lf.,.ff
( op. cit. p. 450) . Their e:rperimental stuclt es on tJre system
lfg0-SiO IHZO led then to consf,dg that kf at teqleratures above 65OoC
water und.ersaturatecl in silica nqy desi.licate harzburgite and fom drrnite,
ancl eilica saturated. water may resul-t in the formation of enstatite from
olivine with ttre development of pSrroxenite veins outti4g &.rruite. The reaction involvecL is
olirrine+ silica+
enstatite
ancl given an aqueous phase vrith which to transport silica then by change
in pressur€-t€uperature conditions it nay be possible to clrive the
reaction elttrer to the night or 1eft. Sj.milarly if CaO a.nd A1r0, are
soLubl,e in a water phase and. can be readily transportetl. then feJ.ctapar
anct cli-opsicle may form by repS.acement of ol-ivine or by clirect cleposition
from solution. Hcmeven, the olivine/engtatite reaction is of greatest
i-mpctanc e. i-mpctanc e. The treartrangenerrtr reactions ctescribeil by Boren and I\rttIe hre
egsentially rreplacenent reactionst. Hess (Qfi) rbscribecl in detail
ffkes, veins and. iregular na.s6es of chnite cutting pyroxene-bear{.rg
periclotite in trhe Stitlwater Cmplex and he later (ttess 1960)
interpretedl ttrese as fomecl by replacment. Lilnan (t964) a-1so d.es-
cribee clykeg of clunite otr probable ruplacement origin. fhree exmplee -237 - frcn the Red. HiIt Conple:c are citect belov: frcn the Red. HiIt Conple:c are citect belov: (i) In the cutcrop ilJ-r.rstrated in figure 85 three intersecting
tabu1ar clunite boclies are shown ne€Lr ttre tcp of the outcrq>. The
earliest is part of a layered. sequence of clunlte ancl felclspathic
harzburgite v*rich dips gently to the left of the photqgnaph, the secmd. is a steqlly cLipping vein d chrnite rdrioh is para1lel to foliation cutt-
ing the sequence and. tJre last fotmecl is a drrrite 4yke wtr"ich dips to the
rfght d the photogra$r. The Qyke must have fomecl by replacenent €ul
there is no cliaplacarent of tlre earlier stnrctures. Probably the second
vein d chrnite is also of replaceurent origin. (U)
The orig:ina-l planar stnrcture of lasrinatecl harzburglte i.rr
figure 86 d.oes not show the degree of cliaplacemeurt necessary if the
funite was whol-lgr of intnrsive origin. (iii)
targe borties of coarse-grrained. clunite, sumouncled by
Iqyerecl or foliated harzburgite were nentioned. eerlier (p.125). Rol,S
gf
Replacement
Reactions fhey
are strikingly siniLar to ttre bodies clescribect by Hess (tg:A) fron the
Stillwater Gonplex and like those have probab$r fomed. by' replacement. The rcpJacement origin of some dunite ig obvioug in ttrese outcrcps
and. nrnerous other orarylee have been obsenred.; veins of chnite cutting
prctoclastic harzturgite (p. l]5) anct foliatecl perid.otite (p.185 ) have
probably fomed. in the same nannero Th€ rqlJacoart origin d pyroxenite veins andl. pegnatites is not
so reatlLl5r qryarent aE they gel(b fonn ysy thiok tebul,er borH.es, But
pJBoxenl,te fomation is the conplaertaqy pnocess to funtte fomation,
invoLvlng ttre addition rsther than the resnoval of siLica, ancl it i"s t]rere-
fore probabl.E ttrat these veins tpo, have fomecl by replacemeut. -238- f- 3ffifi
Fig
85 R
l
f f ld
hi f 3ffifi
Fig, 85. Replacement of feldspethic herzburgite ( rinely etched)
by duntte ( smooth ). Ab ove hammer three tabul ar bodies of clunite
intersect. As t.here is no d,isplacement of the ea.rliest of the
dunite bodies ( fl at lylng) no dllatlon can have occurred.. The
laet formed dyke (dipping to the right of the photog.r.alh) must
have formed' by replacernent anri probably the others as ,rysll. Note s ( r ) Pyroxen ite veins traversing the centre of the clunite
d'ykes' (li) Folls.tion d.ipping paralIel to one of the dunite dykes f 3ffifi
Fig, 85. Replacement of feldspethic herzburgite ( rinely etched)
by duntte ( smooth ). Ab ove hammer three tabul ar bodies of clunite
intersect. As t.here is no d,isplacement of the ea.rliest of the
dunite bodies ( fl at lylng) no dllatlon can have occurred.. The
laet formed dyke (dipping to the right of the photog.r.alh) must
have formed' by replacernent anri probably the others as ,rysll. Note s ( r ) Pyroxen ite veins traversing the centre of the clunite
d'ykes' (li) Folls.tion d.ipping paralIel to one of the dunite dykes _ -239- Fig. 85. Replacennent of l aminated ha.rztrurgite ( ciark)
by dunite ( f igfrt coloured and scnooth). Fig. 85. Replacennent of l aminated ha.rztrurgite ( ciark)
by dunite ( f igfrt coloured and scnooth). -24O- 0 r cI e r
o f
r_ep l ac e m_e n t TVtrere veins of chrnite andt p3ryoxenite occur together, the pfroa-
enite veins cut, a^nd. are 1at er than the cLrnite. Ttris is shonn in
figure l! where chrnite veins aiFpirg to the right are cut by sub-
parallel laslinae of orthopyroxene, anil. also in figr:re 85 in which each
of the chrnite clykes are cut by certral veins of pJaoxmlte. fn scme
cutcrops the sequerne duruite-pJEa(enite is repeated, with early-forued
clunite-pyroxenite veins cut by later dunite-pyroxsrite veins. An
e:cmp1e can be seen ir figr.rre 56 , ancl has been widely obs erved thnougb
cnrt the Cmplex. CONMOIIII\G FACTORS OT RFI,ACMIA\M As suggested by Bowen and Trrttl-e (lgtrg) the principal, agent
of rql3.acement is probably a waterphase, Ilater vapour streaning
through cracks ancl fissures in the rrlr'{rra3Jy crystalline rocks tni1l
redistribute the nock compornnts, in sme regions forning ctunite and. in othes orttropSnroxme, clinq>yroxene and. feltlspar. In the reaction
suggested by Bowen ancl t\rttLe (lgt*g) silica is the nobile corponent,
and the nsin problen is to detersine und.er what cond:itioru the reaction
prrcceecls in a specific direction. Berurington (pSQ anggested. on ttremoclynanic 6rounds, the,t
the reaction i.s ousceptible to pressure; olivine tenclecL to fomd hi€h
load. preseure at tJre expense of srstatite if silica cotlcl be transported
out otr the systa. Ihe necessarTr activation energr of, the reaction aa
well aB local pressur gra.client he suggested, would. be proviclecl by 1ocaI
shear stress, with olivine clerreloping alorg the shear plane and silica
uigrating jrrto regicors of low gtness. There are manJr exmples of thrnite
_241_ occurring al-ong zones which, because of displacenent of jntersectirg
stmchrres, nay have been fcnmed at high shear stress, but there is
abundant erid.ence that shear is not a necessary prerequisite (e.g. fig. 85). occurring al-ong zones which, because of displacenent of jntersectirg
stmchrres, nay have been fcnmed at high shear stress, but there is
abundant erid.ence that shear is not a necessary prerequisite (e.g. fig. 85). Sd.th (tg58) suggested that chrnite fomed. at trieh ternperatures by
pereolating water vapour urd.ersetr:rated. in silica, and enstatite formed
as the tenperature fell and. water vapcur becme orrersaturatecl in
silica. Thus, in a cooling na.ss of ultra^mafic rcck funite mqy be €x-
pected. to fom during €rly sta6es d cooling and. pyroxenite veirrs at a
later stage. This e:cplanation. can only account for a single set of
dlunite and. eross-cutting pyroxenite vEins - it cloes not explain the
rqletition of ttre sequerrce ( see above). lhe nBin factor contrtl-lirg ttre direction in wliich the reaction
pnoceeds is corsid.erecl. by ttre rr:iter to be pressure, althorgh it is
agreecl that tmperatu:re also pJ-ays an inportant part. The solubility of silica in water irrcreases w:ith tenperrature and
pressure, ancl Kenneftr (tg!O) renarkecl that at high temperatures,
charges in pressure are mar*ect by najor changes in solubility. CONMOIIII\G FACTORS OT RFI,ACMIA\M $nall
flIuctuations of prcssure therefore, sr:ch as may be jncluced in a free
rrater vapotr phase rmithin an actively cLeformi.ng body of crXrstalline
rock, nay result in quite large changes in silica solubility anil her:oe
control the ctirection in ftich tlre replacement r.eacticn wiLJ- proceecL
It is sl€gested. ttrat <hrring actirn d.efonation, regions of hi6b pr\eo$rre
cteveloped in the nocks, and. water vapour escapecl thra€h arlailable -242- fracture zones to reg:ions of low pr"essure. The first nrsh of water
is llkely to be at higher pressunes than later fIow., anil hence is
undersaturated with resgrect to silica. As ttre pres$rne cbroppecL
saturation point was passecl and. sllica reacted to form enstatite. The
sequence may have been repeated over and. over again i-n tlre sane place. The nrmerous eccaples of a cbrnite clyke traversed. clown the
centre b5 a pJi:roxenite vein (".g. fig. B5r and an oraple shwn by
I,ipan, 116+, plate fr) d.emonstrate this roechanis. The pyroxenite
velns probably mark the site of ttre fn.cture along wtrj.ch ttre water
flcmed., forrrlrqg first the chrnite and then, with fallirrg pressure, the
p;nroxenite. Reactions. Most veins and metmoqphic layerirlg lnvolving orthopJrroxene and
oLivine are probabJy of retrllacenent origtn. Such veins could. be fomed. ttrrcugbout the eooling history of the ultranafic rocks if water can
cireulate ttrrcugh the rccks at rrarying pressures. ALgo as ttre rocks
cooled silica &issol-vecl in the water phase may be d.eposited. and. ortho-
pJrroxene formetl by replacernmt of olivine. The formation of, clunite
veins on the othen hancl agpears to cl,aantl loca1\y induced over-pP€ssur€e
of ttre water phase such ag nay be induced ctrring actine cleforuation of
the ultnanafic rc chs. Ma4y veinsrhmever; nay be fissurte fillings, d.qlositetl by clrcul.at-
lng waters in tensional cracks rhrring a clrop in pressur€ qr temperahrne. Veins of anorthositerfor irstance, coul,cl be eqrectetl. to be of such onigin
for it is cli-f;ficuIt to i-magine nepLacenent of olivine by felclspar c[re to
their total clissi.nilarity in 31_tl" stnrcfirre and content. Diopsicleton the othe hancl)may possibJy he fornecL by repl^acement eittrer
of olivine or orthopyroxene. Qniqntation o'f foliaticn ancl metanolrch-ic layerine. Fol-iation and. netmorphic layering are genenalty parallel where-
ever they occur together and. neither change orientation much over clis-
tances of geveraL hunclred.s cf yarils. For instance) tE€rr Porters Knob
netarnorphic la,yering and. an a,ssocjated. foliation (witfr rbre laninatior! have para1lel orientatim (Aip of about 25o to JOo to th" south east)
for more than bvo niles along the rlclge top. Such consistency of
or':ientation i-uplies that t,t.e clevelopment of layering is i.nducecl by a
najor d.eforuational epieod.e. Also in rna^ny cases the metancphic
layeing occupies gurfaces of strer whictr shctr considenable displacenent
of earlien structtrres across ttre layering. Presunably parallel
foliation al,so clevelcped. along such surfaces. lineatisr which Lies in
the plane of foliation presunably incticates the direction of ctispl,aceroen
but l-ineatlon is not sufficiently conmon to be of nuch use in regionaS-
malpirg. Recrrrstallisation. The deveS-opmerrt of sqne xslomar?h5.c-granular
te:rture has been ascribetl to recrystallisatidr d orig:inal- protoclastic
teurturc (pages 140 - l+5 ). The cbirrin8 fozee of the recrystallisation
bas ben suggested to be the instability of the fine gnained matrix with
a tend.eney to form €qtri-rl{mensional graine. Fabric shr&ies ancl fielct
obstrvationsrhcnever, suggest that recrystallisation is even more €D(-
tensive oausirg the reorientation of, fabric eloents witfiin a rcck ancl -2$5 the partial or total obliteration of earlier strlctunes such as velns
(p. 153 ). The forrce inducirg recrystallisation in ttrese cases is
suggested to be tectonic; und.er cond.itioru of long sustainecl stress,
pemanent strain nay occr.r by contirming recrystallisation of the noc}i the partial or total obliteration of earlier strlctunes such as velns
(p. 153 ). The forrce inducirg recrystallisation in ttrese cases is
suggested to be tectonic; und.er cond.itioru of long sustainecl stress,
pemanent strain nay occr.r by contirming recrystallisation of the noc}i Flcn stnrctr.re illustrates tJre latter proc€ssr Flow stnrctlrree
are corunm in Alpine-t34le peridotites (t'lrayer, 1963) at d several have been
previously described frm the RecL Hill Conplex (p. 'lg ). These €tre
attributed to viscous flm occurring ib.rring apJ-acenent of the ultra-
nafic rocks. The mechanisn of flcm probabl;r involved. exteruj-ve re-
crystallisation and plastic cleformation. It tentLecl to &ismpt the
veins forred. by replacenentl lsrninatlon foming fo]-iation (fig. 90);
and. tayering forning schlieren (nig. 58). Less intense deforration
tenclecl to d.estroy the sharp contacts of veins and to redistribute
mirerals over a wid.er zone. Contirruecl flcn over a long period may
possfblJ forn a honnq€necr.rs periclotite. Qniqntation o'f foliaticn ancl metanolrch-ic layerine. fn this ,respect deforration is
a complecoentarXr prccess to hyclrothermal actirrity; one e. d.iff erentiation
process and the othe an hmogenising prccess. IIeIL d.evelopecl
layering probab\y involves both processes. During clefotmation both fnactures ancl plagtic fl-cm occurred., B.gr
in figurc 56 a pJrroxenite vein (Sf ) presurnbly fomed'by ruplacement
along a fracture zone can be se€n to have been pJ-astical-ly d.efomecl by
flstr para-llel to metamorphic J,ayering (SZ). The vein is flm fold.ecl,
tluinning nhere subparallel to, and. thiekening where at r{-ght angJ-es to,
the S, J.ayering. This is en illustrratim of the concqlt of rrheiclitSrr
(Co"y, 195il. Dtring short-term severe stress rocks behave as brittle
solicl.s but ctring sustalnecl Lw intensity stress they nay behave as a
viscous fluid. -245- -245- o,f.rl
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bj- -247 - PORTTR.S K}rcB flNCROP The ti.tiarl roles of replaceune,nt and clefortation is iIlwtreted. in
tlre Porters Knob ortcrqr (eig, . 91 , 92, g5). tho sets of layering are
presentr a plastically d.efomed. early l^ayering (Sf ) cqnposecl of clunite
and. lininatedL lurzburgite cut by netarnorphic layering (Se) whi.ch tlips
at about 5Oo to the night of the photograph, The S, layering is compound., conposed. of zubpara1le1 chrnite,
orthoplrcncene antl feJ-clspar-tllopside veins. Drnite occurs as a ttrick
tabu}ar body (fig. 92 by hanrner) and a few thin veins (Cis. 92). The
Se ctunite veins are cut by vej-ns of orthoplrroxene foming a laninatecl
struchrre (ng. 91) anil a 1 inch thick vein (fig. 92, by traroner).. Fe1d.span-tli.qrsicle lmination is strown in l-cper left of figr:res 9Z {fl 9 The SZ chrnite veins occupy gurfaces of shear, and. the St lqyers
have been slrear fold.ed.. The central chrnite vein has beecr formecl by
re,pl,aoement aa relict St structr:res oan be traceiL across ttre vein show-
ing that neither dilation nor offset ha,s occunrecl ancl it is reasonable
to expect ttrat other S, structures have fomecl similarlly. The effect
of florv paral-lel to S, ia shown in figure !J. 0rigina1, S, nfroxene
la.uuination has been clisnrptecl and the pSrro:cene grains cliElersed. homo-
gareous\r thrcugh tlre oliv:ine matrix to fom a foliateil harzburglte, &d
thi.ck pyroxenite veins have.lost ttreir shar? bcunclaries and gracle into
ttre affacert layere. The sequern e of ilevelotrment of metarno4>hic lqytring appears to
be aa follows; -248- (i)
Orig:ina1 laywing zubjectect to shear with the fomation of
dunite valns aIorg, in most cases, plane s of morrenent . (ii) Orthopyroxene veinrs d.eveLoped. flrese were formed. zubpara1Lel
to earlier dunite veins grvlng a laninated, stnrcture or comparatively
thick in&iv:ichral veins. No d.isplacsnent apparently occurred. across
these veins. (ii) Orthopyroxene veinrs d.eveLoped. flrese were formed. zubpara1Lel
to earlier dunite veins grvlng a laninated, stnrcture or comparatively
thick in&iv:ichral veins. No d.isplacsnent apparently occurred. across
these veins. ( :. ii) Felctspar- cliop sicte lani nation na;r hav e form ecl cont emp oran eous ly
or later. (i") Further shear was general!1r concentrated. aJ-ong the th:ick
tabular bady near the tcp of the outcrop and. also caused. cl.errelotrroent
of the shear fold. in the original laSrering. Ccntinuecl movement, pro-
bably the result of recrystallisation, tenclecL to &isnrpt an initial
(SZ) l-abination to form foliation and recti#.tube the orthopyrcxene
(ao.l oS,ivine?) gralns thrcu6hout the periclotite. PORTTR.S K}rcB flNCROP Three features of this antcrop deserve special emphasis. Three features of this antcrop deserve special emphasis. (i)
The netanorphic lalrering converges to the night of, the
outcrop obliterating the ciginal folclecl lsyering that is so oonspicuous
on the left of ttre cnrtcmp (contrnre figs . 91 and gi). (i)
The netanorphic lalrering converges to the night of, the
outcrop obliterating the ciginal folclecl lsyering that is so oonspicuous
on the left of ttre cnrtcmp (contrnre figs . 91 and gi). (:.i) The netaorphic layening in this ortcmp is parallel to and
can be traced laterally into single layering clevelopecL firrther to the
eastr i.€. on the east linb of the Porters Knob Antifcm. (fif ) fne metamorphic lqyering exhibits ttre sae genenal
characteistics a^s the single layering deve1oped elsewhere in the Recl
Hitt Conplex. -fi!- a
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92
leta il of fi Fig. 92. leta.il of fir+rre 9l . Notet (t) Pyroxene vein (51-ack) cutting I later dunite
vein in eentre oi' t'l're :rhoto,qraph. Notet (t) Pyroxene vein (51-ack) cutting I later dunite
vein in eentre oi' t'l're :rhoto,qraph. ( ii ) )iopsiCe-felilspar lanination para11e1 to and
belorv the a"t1f,p:-r). r.'rrnite vein. PORTTR.S K}rcB flNCROP ( iii ) Very thin rir.tnite ve ins )rqf,'.'ssl't I rni n"ti rn pnci
cent::al dr-rnite vein. St 1ayerin11 hr,s lleen offset. ( iii ) Very thin rir.tnite ve ins )rqf,'.'ssl't I rni n"ti rn pnci
cent::al dr-rnite vein. St 1ayerin11 hr,s lleen offset. -251- 3'r"
1.1'$j g- q3- Detail of fieure 9r. Laminated lryer in lo..r,er left
th
ti
ti
f th
i
i i lor:'er left of' photogra.ph. (it) Disruntion of' l-aninEted. ba::zirurgite ni rring foliatecl. harzbu.'gi-te. (it) Disruntion of' l-aninEted. ba::zirurgite ni rring foliatecl. harzbu.'gi-te. ( f if ) flfftrse hounrt,"ries to p;/Toxene rreins lovrer eentre
of photogralh. ffi:IEt[T 0F IIETAMoRPHIC L.flrm.IIG. ffi:IEt[T 0F IIETAMoRPHIC L.flrm.IIG. orisrtation over the droLe of ttre l-inb, cllpping alprorimately 5Oo to
the S.E. (atttrough ttre etnike swings fro N.S. to E. T[. in f,ifferent
parts of the linb). The netamorph:ic lryering d.eveloped. on t}re hinge
of ttre Antifon is parall-eI to and in nargr casas ( zuch aa that of the
Porters Knob outcrop) can be traced. into ttre single layering of the
eastern hinge. ft is very probable f,herefore that a-1-1 Layering on the
eastern tinb of the Portss Knob Arrtiforu is of metanorphic origjn. (t-) Ihe layering on the western llrub of the Antiform is indis-
tinguishabl-e *n in kincl. fro t'trat of the eastetrr llnb. Al-so although
not tracecl stqp by step it'apparent\r continues arcund. the nose of the
Antifom (see Map Ir) into the layer{,ng of t}re eastsn limb. (f) Although crosscutting st!ructures in which the S, planes (fof-
iation encl layening) are paraLleL to the singLe layering d.evelopeil else-
where on the western li-rnb are rare (see for exaple Map II, ancl figrrre
wtr.ich shows felctqpathic foliation para1lel to the layering of the
eastern linb)1 lXrese exanpLes strongly srggest tnat layering too is
of, netamorphic origin. (6) fhe stnrctures d.evelop,ed. on the norbherrr end, of the Plateau
are iclentical to layering clevelopecl in the Porters Knob Antiforu. Cross-
cutting stmctures honever, althouglr cqmon are not so well d.eveloped. asrsay, the Porbere Knob Outcrop. (Z) It was earliejr nsted. tlat linestion near ttre top of ttre Basal
Zone lies in the pLane of foLiation dlevel-oped nearblr which is in turr
paraL1e1 to a wealc\y d.eveloped. layering present slightly higher in tbe
Cmpl,ex (p.151). This also snggests tJrat that la;rer:ing is of metancphic
origin -25i4- (8) [he &rnit€ Yd.ns which cut protoola.stl,o trarzburgite at
l+12885 6lre parallel to layer{ag cterctoBecl, nearby
rrtrtch {s
therefore prrobebl,y netano4lhic (p, t35). (E) Eina.l\yrtr" r:icte clerrelolmelt of, metaoryphic layering tlaro4tr-
art the Uppen Eone is err6geateil by €re geneaL mquirrmerrts of qonn-
positl.o.uaL elerclogaent of the rocks. It waa earill,er sugestedL tbaf,
aparb fm a trp.ee of felclspar the bulk coposLtion of the Uglen Zme
raa s:i.Ditar to that of the massLve antL uni.fom SEsaI 8one. Al,ttrrougb
ev$.dlenee of, ttrlg klnd ls d uno*tain iell.abLllty dbe to the eoctnene
dlJffieu$ in ilatemlnir'rg the average oopooltl.on of lagrerecl rccks it
alggeato that tbe lbper Zme has foroed by netruorphLc dll,fferentiatlon
of roaks of the sane c@positton aa the Basal Zone. -?FlL -?FlL },IODE OF DEIIE,OP!{TNT OF }IENA},IORFHIC I..ATM.I]\E @. ( t ) The ultranafic rocks were very probab$r intmtl.ed. as a sill
into flat-lying sediments. This i-upli.ee consid.erable horizontal move-
ment of the periclotite f ma6mat.t (Z) Layering is fomed. aIong, or parallel to, planes of shear. (:) layering is only d.eveloped. wldely in the upper parts of the
si1l. (t-) f,'ayering is pa:ra1leJ- over consid,erable d.istances. (l)
Sme Layeni.ng, notably ttrat on the western limb of (t-) f,'ayering is pa:ra1leJ- over consid,erable d.istances. (l)
Sme Layeni.ng, notably ttrat on the western limb of the Por-bers
Knob fuitifom is srubparallel to overlying sed-i.ments ancl thenefore, before
Upper }lesozoic d.efomation, was probably alproximately horizontal. (l)
Sme Layeni.ng, notably ttrat on the western limb of the Por-bers
Knob fuitifom is srubparallel to overlying sed-i.ments ancl thenefore, before
Upper }lesozoic d.efomation, was probably alproximately horizontal. Knob fuitifom is srubparallel to overlying sed-i.ments ancl thenefore, before
Upper }lesozoic d efomation was probably alproximately horizontal p
y g
Upper }lesozoic d.efomation, was probably alproximately horizontal. (5) lletanorphic Layering d.eveloped. when the rocks were hot. (Z) ChaLl-is (tg6fU) bas shorvn that the uLtramafic rocks
were intnrcl.ed. when verXr hot. (B) FoHing of the Porterg Knob Antiforn and alliecL structures
probab\y occurred. d.uring or shctly after anplacement of tJre sllL. It is conclud.ed that (a,) Layeri.ng d.eveloped. dur:ing oplacenent of the sill, because
(t-) makes it unLiJrely layering coulcl be an inherited. structurc: d-efotu-
ation accmtrnrgring aplacenent would be e:rpectecl to cmpletely ttisntpt
and contort earli er stnrctures. [he I early lqyering t which ie cut
by the netanozphic layer{,ng however, is posstbly guch an iritreritedl strtrstur
(p. 114) . The tem perictotite ilmagman is useal fu t'hesne sense €Ls in
Ver*roogen Ugbrp.510) ilUl,tranafic igneous uatsial injected at high
ternperature without prejuclice as to utreffrer it waa largely llquid or
large\y crystalline at the tine of, intnrsion,il
-256-
(U) Lqyer{.ng probably dwelopect along subliorizontal planes of shear. % sio. in t latcn
III
Lo
+to
3
o
.g
o
lr-S
0l(,(.o
O. g
Logcrtrrg
---
Uetnt
-- ---
- --
Paqrf,qt3"33
-E---
SccecotnG --'--
Tolc
ra-l-+
3oo
,ooo'c. F'lg. 88' Reratlonship between pegnatltee r v€lns and. ' 1 ayerlng. Layerlng forned durtng emplacement at htgb
temperatures and. und.er actlve d.eformation. oeclrlattng
pressures resulted ln al.ternate dunite and pyroxenlte
vel n fornatlon areas
h d d rtth horlzontal llnee F'lg. 88' Reratlonship between pegnatltee r v€lns and. ' 1 ayerlng. },IODE OF DEIIE,OP!{TNT OF }IENA},IORFHIC I..ATM.I]\E L
l
f
d d
t Layerlng forned durtng emplacement at htgb
temperatures and. und.er actlve d.eformation. oeclrlattng
pressures resulted ln al.ternate dunite and pyroxenlte
vel.n fornatlon. areas sheded. rtth horlzontal llnee
tndlcete ol tvlne f stl lss I .-1 enstatlte 3 vertloal I inee
enstatltet ortvlnelstrtca. Pegnatltes forned. after
enplaoenent during falIlng teryerature. (eee tert) -?;6;l-
a SUMIAITT Much Layering in the Recl Hil-L Cmp1ex is consiclered. to have
developed by a ocmbination of plastic cleformation anil replacoent re-
actions occulring chring eroplacement of, the ultranafic rocks. No cLear
di.stinction can be drawn between veins ancl metamortrihic layering - both
uuty have d.evelopecl by the sane processs r but while pegnoatites ancL
sqtre orthopyroxene veins probably cLevelopecL follwing emplacenent of ttre
ultra^mafic mass J-eyening is oonsid.eretL to have d.erreloped. d.lrirrg active
d.efotmation wtren ttre rocks were stilI very hot. The postulated. relat-
ionship is iil,uetratecl in figur.e 94. This figure shms wei6ht per cent silica ,lissolvetl in water plotted
against teuperature. The figure is diagrramatic but the eurve follows
in a general way the isobanic curves of Kenne{y ( tgf O) . Tenoperature was
probab\r falling carstantly d.uring and follcning emplacaent and. ttrus
ttre abscissa c€rn be regarcLed. as incLicating passage of ti:ne fron rigtrt to
left. hrring oplacenent ttre water pressur€ at any particular point in
the clefotming sheet would. have been oscillatirrg about €ur average value. Conseguently the water v€LpcRrr wouId. have becoe alternateLy nrpersaturrated. and. unilensaturated.rancl ait movecl fnm place to place along pJanes of
shear it transportedt silica and. effected. :splacement reaotions. t*s
could. have conti^nued. thrcughort oplacement of ttre ultrarnaflc sheet. After enplacaentrcluring coolirg, pynoxene pegnatites nay have
clevelqtetl along tengional cracks. The observation that Go&trBe-grainecl
pegnatites are invarlably younger tten finer-grained. veins of ttre s€me
coposition (p.td is ooruticterecl to incLicate that the firner grained. veine
clevelopecl dtrixg tihe perioil of oecillatlng pressures. At this stage the
degree of supesaturati,on of tJre rater vqrolr is likely to be J.arge
-258- -258- while the coarse-grainett pegmatj-tes foruecl after active mwement,
when ttre degree of supesaturation was probably smaIr. while the coarse-grainett pegmatj-tes foruecl after active mwement,
when ttre degree of supesaturation was probably smaIr. Mode
of
empLa cement
of
the
Mafie
Dykes. Hl4labyssal rocks of ttre nineral connpositior of ttre horrjblende
antl pJroxene microgabbros atre most urmsual yet chemi cally thqr are
sinilar to d.olerites, the most c<rrmcn of {yke rocks. Joharursen
(tgll r p. nil lists only one tgryabyssal rock of sinilar coposition to
the pyroxene nicrogabbroso Ihis was described by Colenan (tgt +) frcm
the Sutlbury district, Ontario and namecl Suclburite (lS per cent bytmnite,
25 per cent tglp*sthene, 25 per cent augite, 15 per cent nagnetite)
but was later considerect to be a mebamorphic rock (fncrrscn, 1935). Also {yke roclcs of the cooposttion and textur^e of tJre hornblencle nui.crc-
gabbros (attd of und.oubtedl igneous origrn) a^ne occeedingly rare. But
the assmblage hornblenile-labrad.orite-qr,rartz is ccrmm in metamorphosed. clolerite Cyke (e.g. Sutton anct Tfatson, 1951) . Also, large bodies
of plutonic rrccks of ttrese cmpositions are cornmon. Also {yke roclcs of the cooposttion and textur^e of tJre hornblencle nui.crc-
gabbros (attd of und.oubtedl igneous origrn) a^ne occeedingly rare. But
the assmblage hornblenile-labrad.orite-qr,rartz is ccrmm in metamorphosed. clolerite Cyke (e.g. Sutton anct Tfatson, 1951) . Also, large bodies
of plutonic rrccks of ttrese cmpositions are cornmon. Ihe tiffenences in m:lneralory between plutonic and trypabyssal
rocks of basaLtic compositton are generally explicabLe in tems of
different plysical condi tions o{ crystallisation; plgeourite persists
in ttre more quicklgr cooLed lS4labyssa-1 r,ocks but inverts to trypersthene
tfuring slcnr colling of the plutonic :rccks; hornblend.e clevelops und.er
high water pressures ancl slm cooling of tJre pLutonLc rmb but may only
be partly cLerrel,oped. in the more quickJy cooled. lgpabyssal. rocks. Thus -259- nhile of und.cubtect lqpabyssal naturer(tfruy are usually only 6 inctres to
2 feet wide) the mineralqgr of, the pyroxene microgabbros is not
charactsistic of rapid. cooUng but rather sl,ctr coolirg of plutoni.c or
netanorphic mclcg. It is ccngicloced. that these feafi.rres are chre to intnrsion of, the
Srkes into ultrarnafic rocks which were at temperatures close to ttre
crystallisaticn temperature of the Srkes, perhEls about 5OO-BOOoC. It
is consiclerecL most unlike\y tJrat the thin pJrroxile micr"ogabbros
(containing tnrpesthene) cou].d. have been j-ntmd.ed. into cold. (about
2O0oC. or less) periclotite rvhictr is one of the best con&rctors of heat,
for rapid chiLling would resuLt and tgpersthene wo.rld, not be e:qrected. to crystallise. The bandecl ancl leucocratic rocks are also reacll\r erpS-ained by
intmsion of tlykes into hot carntqy rock. Mode
of
empLa cement
of
the
Mafie
Dykes. ThB almost ccnplete segre-
gation ctr feLsic antl foic cmporents in scme ffkes is unli]cly to have
been efTected. clrrtng qui-ck cooLing ancl certainly the leucocratic vsins
e:rtending up to 100 yartls fum the parent q3rke woulcl nort be e4tectefu
ff, however, the teurperature of the dyke uas nairrtained at about 6O0oC. it ig conceivable that at 1000 bars water pressure a nlrtu:e of guar*z
ancl andesine nqlr be sufficientltrr nnobile to flor readlily cluning cleformat-
ion ancl intnrcle the crystalline hornbLencle in the segregaied. Srkes or
intnrcle jointa or figsures in the periclotite. If ttre ffkes were in-
tnrclecl into ttre hot ultranafic rccks as suggested, such deformation would. be expected to occur ln the waning sta6es of eoplacenent anil foLding
of ttre Ooplex. -26O- Altttouglr tnany {ykes were probably intnrded ixto hot country rock
others were enplaced. at lorryer teraperatureg. Thl s is suggestecl. by the
hornblend.e micrrgabbro dyke near ttre base of the Ccnplex and. described
on p. 91 . The relatively wid.e chiLled zone and. the eontriasted. nineralogy between the contact and the more s1wrLy cooled centre of the
intnrsion suggest irrtmsion lnto conparatively cold peridotite. Dyke intnrsion pnobably occurred. over a lorg pe,riod. thenefone
corunencing shortly after the anplacenent ancl folding and. continuing
throtghout the cooling of the ultramefic rocks. Their orientation
suggests that thef were empl,aced. as gmtly inclined. sills. Ilest of
Porters Knob ttre orientation of, the dykes ancl layerlng is approxi-mate\y
the sane although the ffkes appear to cut across layeriry at an ar61e of
a few degress. The S,ayering there is subparallel to the strata of the
I'{aitai Group and. 'like the strata vras probably tilte<1 chrrirg the Upper
llesozoi.c. Thus ttre {ykes and. layenlr€ were probab$r subhorizontal
before til ting. As the {ykes generally Lie in a zone extendirrg from
the stratigraphic top of the Cmplex to near the Baeal Zone, the {ykes
were prcbab\r gent3y inclinecl. The Qykes nay have been intnrclecL a-long
planes of sher sinilar to those cleveloped cluring flor of the nobiLe
but virfually crystalline f peridottte magnar. fhese planes, it rnust be
postuLatecl, fcmed, duning ttr.e raning stages of deformation folloring
enplaoement of tJre ultranafics. -261- ![oDE 0r ntrlArnmNl gI rHE &Eg HIUI ColP_.rtffi Challis UgASd suggests that the Recl. HilL Cmplex represents
a tteq> leve1 magna chamber of, a Permian volcano. The lqyecing is
considened to be prinary Jayer"ing ancl the ultramafic nocks the
accumulates foraed. at the base of the charnber. Certain evidence given
by ChaLlisrhwevel appears to the present writer to indicate that the
uLtranafic rocks, even if formett by gravit;r sedimentation undes"wslt scue
intnrsion into their present position as a pgi.&tite rmagnar. (i)
The prinaarJr layering ctescribecl by ghallis (tg6Sa) clips
at 1Oo to the east a^nd. is situatecL about )00 yards or less fro the
contaot which clips at &o to the west. ft is most unl,ilcely that tlris
layering could have escapecl the regional tilting movements which caused. the ttip of the contact. Therefore it is probable that in the Pennian
the primary layering was stanctirg alnost vertical, This suggests that the ulbenafio rocks were corsicLerably d.efomed.,
probably chrring their apl-acement. (ii)
The netanorphic contact clescribecL by Chal]in (lg6Sa) ancl
(B6St) oceurs near the western bcunclary of the RecI HiLt Cmplex. This
is at the stratigraph'ic top of the Conplex. At this part of the Gon-
tact the ultramafic rocks are in clirect, unfaulted. ccntact (p"g" 8l thLs
thesig, ed Cha11is , 1965a) ritf, the netanorphogerl volcanics. This
strcng$r smggests that tbe ultruuefic rocks were enpLaced into their
present position aB bot rockg cmpooed, af least in ttre top parts of the
siLL, of pericLotite. Thie suggests e-Flacement as a peridotite Inagmar. The €rgtrment for intmsion cf the Cmplerc ag a peridotite rmagnat -262- is also suggested by the foregoing argument on t&e origin ancl notle of
d.anelo1m*rt of the netamorphic layenlng. is also suggested by the foregoing argument on t&e origin ancl notle of
d.anelo1m*rt of the netamorphic layenlng. Althcugh oplacecl as a silI (tecarae d the metaor?hosed rocks on
Ltg ultper ccnrtect) tfre Recl H1LL Cmplex may have been oplaced. at corlr
si derable deptlr or under only a thin cov€ct of volcani c nat eriaL. In
MaitLanct Strean the ul.traarafic sheet is coverecl W only about 1OOO feet
of volcanics and. metmorphic ttcls. At one srdt of this section tfte
contact is inttalsive ancl unfaulterl and. at the other it is probably a
disconfomable contact with tl:e Wooclecl. Peak Limeetone. Faultirg in
this section ig probab\r not i-rnlnrtant. E1ser*lere the Glerurie Fomation
is very nuch t}::icker; qp to IrB0o feet in Porbers Streau. ![oDE 0r ntrlArnmNl gI rHE &Eg HIUI ColP_.rtffi This
suggests that sone erosion tray have occurrecl before ctepooition of the
Maitai Grcup ancl the volcanic s were at one stage thicker ttran at present. Thus if ttre rrltra.mafics were intnrdecl aften cteposition of the Glennie
Volcerrics tJrqy may have been intmdecl at oonsiderable rtepth, ssy a mile
or so overburd€n. Howeverrttre na*lc {ykes inclicate that af,ten intnrsion of t}re ultrra-
nafics there was a periotl of basaltf.c activity ibr:ing which, it is poso-
ib1e, much of tJre GlenrLe Volcarrloo mqy have been enrpteil. Theefore
ttre Gmplex nay have been aplaoecl uncle only a tlrln coyer of voloard.c
nate,nial. There ls no clecLsive evidlence to incH.cate v*rich of these bgpotheee
is oonrect but tro LLnes of evlclemce ge@ to the nzCten to lndllcete sha,l]-ow
rcther tlun deep apLacenent of ttre ultranafLce. -26}| (t) The GLertrie Voloanics ctiffer frm the Goat Volcanics in folm -
sheets as against pi1lons. Ehey als o contain Atomodesma prisns
zuggesting relatively shallcnr water detrnsition whenneas ttre abundent
voleanic breccias ancL pillov lavas of ttre Goat Formation and. the
interbecldecl olastic sedinents su$iesbr d.eep water cleposition. Al-so
the Glenn:ie Foretion contains a ciistirctive red. ancl gneen breccia con-
sisting of gr€en volcanic fragnents set in a hematized. matrjx. This
nay Qe erq>ected. to form uncler subaerial con&itionso Although none of
this evid.ence is conclusive it su6gests that the Glsnie volcanics were
cleposited at or near see leve1 while the Goat volcanics were d.epositect
in deep water. If ttre ultranafics pre-clate the Glerrrie volcarrics these
points are reailily e4rlained as d.ue to the lifting of the sea floor
ch-rring i-ntnrsion. As the Red Hill CmpJ.ex is at least J'OOO and. as
nuch as 12r00O feet thick the s€. floor must have been lifted by a
proportional eLmqmt. ft woulcl be e:cpectecl that consicl.erable cliffenences
wouLd occur betneen ttrose volcanics cleposited. beforerand. those after,
errplacement. (t) The GLertrie Voloanics ctiffer frm the Goat Volcanics in folm -
sheets as against pi1lons. Ehey als o contain Atomodesma prisns
zuggesting relatively shallcnr water detrnsition whenneas ttre abundent
voleanic breccias ancL pillov lavas of ttre Goat Formation and. the
interbecldecl olastic sedinents su$iesbr d.eep water cleposition. Al-so
the Glenn:ie Foretion contains a ciistirctive red. ancl gneen breccia con-
sisting of gr€en volcanic fragnents set in a hematized. matrjx. This
nay Qe erq>ected. ![oDE 0r ntrlArnmNl gI rHE &Eg HIUI ColP_.rtffi to form uncler subaerial con&itionso Although none of (t) If, horrever, the ultranafics were intmded aften deposition of
ttre Glerunie volcanics these points nust be explained by scme sqrarate and. unrelated postul"ate. If the Glernie voLcanlcs are shallow-weter
cleposits ancl pre-clate the ultramafics, it is cliffioult to gee how ttrry
cou1-tl have been pr€servecl foLlorning intnrsion for most probably they
worlcl have been Liftecl above wa,ve baee and. consequently repidty erodecL. (Z) fhe Gl-ennie vo.Lcanicg stre, at the fs places whse it is possible -?64- to measure clips, para1le1 to the over\ring Maitai Group. Yet irrtmsion
of the ultrarnafics apparentlr involved corsiclerable deforrnation causing
folding of the metanorl*ric l,ayering. ft would be eccpected. that superl
incunbent strata wouLd. be siruilarly clefomecl. If the Glennie volcanics
were cleposited. after intnrsion their concordance is reattily erplainecl. If cl.eposited before intmsion it mr-rst be m,intained that folding was
intrafcumational as clict not affect ttre overlying strata. Tluis, though
possible, is ctifficult to i-magine. For these reasons ehallow intmsion, before a substantial part
of the Glennj-e volcanics were empted. appears to be the most reasonable
p ostulate. The ultimate origin of the ul.trarnafic rrcks nqy have been €rs
accumulates at the base of a Perrian volcano, as sugestecl by Chall-is
(tggSa)r sd later intmclecl into the preeent site, or posslbLy fomed. frm a ligicl periclotite rnEyna frm which crlnstaL settling took place
to fom a prinrary layering. Such a perrldotite na€ma nay eucist at
geologicalJy possib1e teroperatures (crart and $fe, 1951). The Recl HiIL CoropJ.ex is therefore considerecl to have been oplaced. as a near surface zubraarine intnrsion of crystalline periclotitetmagrnat
which metamorl*rosecl superficial clqtosits. The cover ilcludirg intnr<lect
clastLc sedirents was probebly no mtre than 1000 feet tluick ancl possibly
nuclt lesg il pJ.aceo. lhe ultnmafics were later overLain and irrtmttect
by basaLtio magna. Irirnestone waa clqlositecl as reefs on those parts
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1960, Rept.l pt. l}t pr 2OB-lr5 Chesteruran, C.W., 1960r fntnrsive ultrabatlc rocks anct thel,r
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Rige. Sclencer y. W po l+77-\85 Flenlngl C.A., (Ea. ) L959, Hocbstetter. Geolory of New ZaaLand. H Flenlngl C.A., (Ea. ) L959, Hocbstetter. Geolory of New ZaaLand. H N.Z. Governnent H,nter, l?.fipp. N.Z. Governnent H,nter, l?.fipp. -269- tlett, J.S., 1!12, lhe 6eologr of the llzaril anil l{enea6e. Geol. Surr. enolr to sbeet 559 ffie, f,.S., Tut'net, F.Jre anil Verhoo6en, J., ].9fi, Metaoorphlo reactLona
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https://openalex.org/W2009431940
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https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0039374&type=printable
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English
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Cilostazol Inhibits Accumulation of Triglyceride in Aorta and Platelet Aggregation in Cholesterol-Fed Rabbits
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PloS one
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Abstract Cilostazol is clinically used for the treatment of ischemic symptoms in patients with chronic peripheral arterial obstruction
and for the secondary prevention of brain infarction. Recently, it has been reported that cilostazol has preventive effects on
atherogenesis and decreased serum triglyceride in rodent models. There are, however, few reports on the evaluation of
cilostazol using atherosclerotic rabbits, which have similar lipid metabolism to humans, and are used for investigating the
lipid content in aorta and platelet aggregation under conditions of hyperlipidemia. Therefore, we evaluated the effect of
cilostazol on the atherosclerosis and platelet aggregation in rabbits fed a normal diet or a cholesterol-containing diet
supplemented with or without cilostazol. We evaluated the effects of cilostazol on the atherogenesis by measuring serum
and aortic lipid content, and the lesion area after a 10-week treatment and the effect on platelet aggregation after 1- and
10-week treatment. From the lipid analyses, cilostazol significantly reduced the total cholesterol, triglyceride and
phospholipids in serum, and moreover, the triglyceride content in the atherosclerotic aorta. Cilostazol significantly reduced
the intimal atherosclerotic area. Platelet aggregation was enhanced in cholesterol-fed rabbits. Cilostazol significantly
inhibited the platelet aggregation in rabbits fed both a normal diet and a high cholesterol diet. Cilostazol showed anti-
atherosclerotic and anti-platelet effects in cholesterol-fed rabbits possibly due to the improvement of lipid metabolism and
the attenuation of platelet activation. The results suggest that cilostazol is useful for prevention and treatment of
atherothrombotic diseases with the lipid abnormalities. Citation: Ito H, Uehara K, Matsumoto Y, Hashimoto A, Nagano C, et al. (2012) Cilostazol Inhibits Accumulation of Triglyceride in Aorta and Platelet Aggregation in
Cholesterol-Fed Rabbits. PLoS ONE 7(6): e39374. doi:10.1371/journal.pone.0039374 Editor: Peter J. Lenting, Institut National de la Sante´ et de la Recherche Me´dicale, France Editor: Peter J. Lenting, Institut National de la Sante´ et de la Recherche Me´dicale, France ed January 19, 2012; Accepted May 21, 2012; Published June 22 Copyright: 2012 Ito 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: The authors have no support or funding to report. Competing Interests: The authors are researchers of the pharmaceutical company which produces and sells cilostazol. This does not alter the authors’
adherence to all the PLoS ONE policies on sharing data and materials. * E-mail: h_ito@research.otsuka.co.jp Hideki Ito1*, Kenji Uehara1, Yutaka Matsumoto1, Ayako Hashimoto1, Chifumi Nagano2, Manabu Niimi2,
Goro Miyakoda1, Keisuke Nagano1 Hideki Ito1*, Kenji Uehara1, Yutaka Matsumoto1, Ayako Hashimoto1, Chifumi Nagano2, Manabu Niimi2,
Goro Miyakoda1, Keisuke Nagano1 1 First Institute of New Drug Discovery, Otsuka Pharmaceutical Co., Ltd., Tokushima, Japan, 2 Free Radical Research Project, Otsuka Pharmaceutical Co., Ltd., Tokushima,
Japan ry, Otsuka Pharmaceutical Co., Ltd., Tokushima, Japan, 2 Free Radical Research Project, Otsuka Pharmaceutical Co., Ltd., Tokushima, 1 First Institute of New Drug Discovery, Otsuka Pharmaceutical Co., Ltd., Tokushima, Japan, 2 Free Radical Research Project, Otsuka
Japan PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 Atherosclerotic Area and Aortic Lipids The rate of the atherosclerotic area in the whole aorta in the
control group was 44.4613.6% and it was significantly attenuated
by cilostazol treatment (28.8610.3%, p = 0.0185) as shown in
Figure 1. The reduction in atherosclerotic areas by cilostazol
treatment was also significant in both the thoracic aorta (control :
cilostazol, 48.4612.2:35.8612.6%, p = 0.0443) and the abdomi-
nal
aorta
(control
:
cilostazol,
38.2616.2:17.6612.6%,
p = 0.0087). On the other hand, the triglyceride (TG) content in
the cilostazol group was significantly lower than in the control
group in the arch and the whole aorta (arch: 4.061.1 versus
2.060.4 mg/g, p = 0.006, whole: 3.561.3 versus 1.560.4 mg/g,
p = 0.029) as shown in Figure 2. The total cholesterol (TC)
contents in the cilostazol group tended to be lower than in the
control group in the arch and the whole artery (arch: 45.8614.2
versus
28.0611.0 mg/g,
p = 0.058,
whole:
24.168.2
versus
14.465.7 mg/g,
p = 0.062). The
free
cholesterol
(FC)
and
phospholipid (PL) did not differ between the control and cilostazol Cilostazol Reduced Aortic Triglyceride in Rabbits Cilostazol Reduced Aortic Triglyceride in Rabbits groups in each region. The wet weights of the aortas showed no
differences between the control group and cilostazol group. groups in each region. The wet weights of the aortas showed no
differences between the control group and cilostazol group. activity, and lack an analogue of human apolipoprotein A-II,
providing a unique system in which to assess the effects of human
transgenes on plasma lipoproteins and atherosclerosis susceptibility
[23–24]. Additionally, as the rabbits become hyperlipidemic by
eating a high fat diet, it makes them an appropriate model to assess
the effects of drugs for their potential use in the treatment of
dyslipidemia. Intimal Macrophages The results of immunohistochemical staining of macrophages in
the proximal ascending aorta are shown in Figure 3. The mean
values of the macrophage-positive areas did not differ between the
control
group
(1.3260.71 mm2)
and
the
cilostazol
group
(1.4661.33 mm2). However, two of the five samples in the
cilostazol group did not have a macrophage-positive area,
although all samples in the control group had macrophages. Additionally, the same section was stained by the Elastica-van
Gieson method. The ratio of intima/media thickness in the aorta
when measured at the same location did not differ between the
two groups (data not shown). In the present study, we evaluated whether cilostazol prevents
atherogenesis and platelet aggregation in hypercholesterolemic
rabbits as they have more similar pathologic characteristics to
human atherosclerosis than mice. Serum Lipids and Other Biomarkers Changes in serum lipids and other biomarkers are shown in
Table 1. Serum TC, TG and PL levels were gradually elevated
until the 10th week in the control group fed the 0.5% cholesterol
diet. The elevation of the serum lipids was significantly reduced by
cilostazol treatment; TC: p = 0.0435, TG: p = 0.0105 and PL:
p = 0.0144 (group*time interaction in repeated measures analysis of
variances). Serum FC also increased in the control group and
tended to be suppressed by cilostazol treatment (p = 0.1169,
group*time). Serum HDL-C did not show any change in the
control but increased in the cilostazol group from the 2nd week to
the 4th week (p = 0.0239, group*time, p = 0.0361, group differ-
ence). Using serum glutamate oxaloacetate transaminase (GOT),
glutamate pyruvate transaminase (GPT) and alkaline phosphatase
(ALP) as indices of hepatic function no differences between the
control and cilostazol groups were noted. Serum C-reactive protein
(CRP), an index of inflammation, markedly increased until the 10th
week although the CRP levels contained considerable individual
variability. Cilostazol did not affect the elevation of serum CRP. By
serum TG monitoring by HPLC, the high fat diet increased TG in
very low-density lipoprotein and chylomicron fractions, and
cilostazol reduced TG in the same fractions (Figure 5). Figure 1. Comparison of atherosclerotic areas in aorta. Plaques
areas in the aorta of a typical animal in each group are shown by black
areas (A). Individual values in the control group are shown by closed
triangles (previous study) and closed circles (present study) and those in
the cilostazol group by opened triangles (previous study) and opened
circles (present study) and the horizontal bars in each group represent
the mean and the vertical bars are the SD (B). Control [n = 10], cilostazol
[n = 10]. *: p,0.05, **: p,0.01 versus control by a two-way ANOVA. doi:10.1371/journal.pone.0039374.g001 Platelet Aggregation Platelet aggregability was expressed as a platelet aggregatory
threshold index (PATI) value which is the concentration of agonist
required to cause 50% platelet aggregation. Thus, if the PATI
value for a certain condition is high, it means that platelet
aggregability is suppressed under that condition. The PATI value
for the high cholesterol diet was significantly lower than that in
a normal diet indicating that platelet aggregability was enhanced
by high-cholesterol feeding (Figure 4-A). When rabbits were fed
a normal diet, cilostazol significantly inhibited the platelet
aggregation 1 week after drug treatment (Figure 4-B). Further-
more, cilostazol significantly prevented the platelet aggregation 1
week after drug treatment in rabbits fed a 0.5% cholesterol diet
(Figure 4-C). The inhibitory effect of cilostazol was maintained 10
weeks after drug treatment. A significant linear correlation was
observed between the serum TC concentrations and the PATI
values prior to drug treatment (Figure 4-D, correlation coefficient:
r = –0.6897, p,0.001). Figure 1. Comparison of atherosclerotic areas in aorta. Plaques
areas in the aorta of a typical animal in each group are shown by black
areas (A). Individual values in the control group are shown by closed
triangles (previous study) and closed circles (present study) and those in
the cilostazol group by opened triangles (previous study) and opened
circles (present study) and the horizontal bars in each group represent
the mean and the vertical bars are the SD (B). Control [n = 10], cilostazol
[n = 10]. *: p,0.05, **: p,0.01 versus control by a two-way ANOVA. doi:10.1371/journal.pone.0039374.g001 Introduction Cilostazol, a selective inhibitor of phosphodiesterase 3, is
a vasodilating anti-platelet drug [9]. It has been used for the
treatment
of
ischemic
symptoms
in
patients
with
chronic
peripheral arterial obstruction and for the secondary prevention
of brain infarction [9–10]. In experimental studies, cilostazol has
been shown to prevent thrombus formation indicating its potent
anti-thrombotic effect based on its inhibitory action towards
platelet function [11–12]. Recently, it has been reported that
cilostazol attenuated atherosclerosis in low density lipoprotein
receptor knock out mice and Apo-E knock out mice [13–15]. Some reports indicated that cilostazol improved lipid metabolism. For example, cilostazol decreased serum triglyceride and increased
the serum high-density lipoprotein cholesterol (HDL-C) in mice
[13–15], rats [16–17] and human [18–22]. In the present study,
we analyzed for the first time, the serum lipoprotein from rabbits
treated with cilostazol using high-performance liquid chromatog-
raphy (HPLC). According to the response-to-injury hypothesis, endothelial
dysfunction triggers atherosclerosis progression [1]. Platelets are
activated and aggregated on the exposed subendothelial tissues
when the endothelium is wounded in the atherosclerotic lesion. Atherosclerosis also progresses with an elevation of serum
cholesterol, and platelets have been shown to be activated in
patients and rabbits with hypercholesterolemia [2–3]. If the
hypercholesterolemia continues for a long period, atherosclerosis
progresses in major arteries, and eventually may result in
cardiovascular diseases. Since platelets play a pivotal role in
atherosclerosis progression, they represent a key target for anti-
atherothrombotic therapy [4]. For the evaluation of platelet function in atherothrombotic
diseases, platelet aggregation can be measured. However, the
conventional light transmission method [5] is not suitable for the
measurement of platelet aggregation under a hyperlipidemic
condition because the chylous plasma hampers light transmission. As an alternative method, platelet aggregation can be measured
using whole blood with impedance or screen filtration pressure
(SFP) [6–7]. The SFP method has been demonstrated to be
reproducible in addition to being easy to handle [8]. Transgenic mice and rabbits have been extensively used as
atherosclerosis-prone experimental animals. However, mice and
rats are naturally deficient in cholesteryl ester transfer protein
activity, unlike humans and rabbits. It is known that New Zealand
White rabbits have low plasma total cholesterol concentrations,
high cholesteryl ester transfer protein activity, low hepatic lipase PLoS ONE | www.plosone.org 1 June 2012 | Volume 7 | Issue 6 | e39374 Serum Concentration of Cilostazol Each morning, blood samples were collected to measure the
cilostazol concentration in serum 1 hour after feeding. The serum
concentrations of cilostazol were 256686 ng/mL from rabbits fed
a normal diet and 2946198 ng/mL from rabbits fed a high- PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 2 Cilostazol Reduced Aortic Triglyceride in Rabbits Figure 2. Effects of cilostazol on the lipid contents in the atherosclerotic aorta. Amounts of triglyceride (A), total cholesterol (B), free
cholesterol (C) and phospholipid (D) in different regions of the aorta. Individual values of the control group are shown by closed columns and those
of the cilostazol group by opened columns. Data represent means 6 S.D. Control [n = 5], cilostazol [n = 5]. *: p,0.05, **: p,0.01 versus control by t-
test. doi:10.1371/journal.pone.0039374.g002 Figure 2. Effects of cilostazol on the lipid contents in the atherosclerotic aorta. Amounts of triglyceride (A), total cholesterol (B), free
cholesterol (C) and phospholipid (D) in different regions of the aorta. Individual values of the control group are shown by closed columns and those
of the cilostazol group by opened columns. Data represent means 6 S.D. Control [n = 5], cilostazol [n = 5]. *: p,0.05, **: p,0.01 versus control by t-
test. doi:10.1371/journal.pone.0039374.g002 doi:10.1371/journal.pone.0039374.g002 cholesterol
diet,
approximately
one-third
of
that
normally
obtained in the clinic. cilostazol [17]. On the other hand, Tani et al. have demonstrated
that cilostazol increased lipoprotein lipase activity, resulting in
a decrease in serum TG levels in streptozotocin-induced diabetic
rats [16]. These cilostazol-induced actions might contribute to the
reduction of serum TG in hypercholesterolemic rabbits. It is also
known that pharmacological agents that increase intracellular
cyclic AMP levels can enhance HDL3-mediated, sterol efflux from
cholesterol-loaded human skin fibroblasts and bovine aortic
endothelial cells [26]. The mild elevation of HDL-C by cilostazol
treatment noted in this study might be due to the same mode of
action because cilostazol increases intracellular cyclic AMP levels
by inhibiting phosphodiesterase 3. It is well-known that a high
level of low-density lipoprotein cholesterol and a low level of HDL-
C are principal risk factors for coronary heart disease and stroke
[27–28]. Serum TG is also one of the principal risk factors for
arterial thrombotic diseases [29–30]. Decreasing serum and aortic
TG by cilostazol treatment may contribute to the prevention of the
atherothrombotic diseases. June 2012 | Volume 7 | Issue 6 | e39374 PLoS ONE | www.plosone.org Cilostazol Reduced Aortic Triglyceride in Rabbits The anti-atherosclerotic efficacy of cilostazol
was analyzed using the combined results from the dual study. A
significant linear correlation was observed between serum TG and
aortic TG (correlation coefficient: r = 0.5745) but no correlation
between serum CRP and aortic TG was noted. In addition, from
the result obtained for the serum TG monitoring by HPLC, it was
speculated that the reduction of triglyceride in both very low-
density lipoprotein and chylomicron by cilostazol might contribute
to the reduction of triglyceride accumulation in the aorta. Clarification of the mechanism of TG reduction by cilostazol
requires further study. The evaluation of the atherosclerotic area is
meaningful to detect whether the plaque is abundant or not. Actually, more plaques were observed on the thoracic aorta than
on the abdominal aorta and the plaques were abundant around
the arterial bifurcation. It is possible that irregular local shear stress
might be involved in the plaque formation at such areas. The local
shear stress is one of the important factors affecting platelet
functions. Cilostazol inhibited the shear stress-induced platelet
aggregation [31]. detail the effects of cilostazol on serum lipids, aorta lipids, and
platelet aggregation. The anti-atherosclerotic efficacy of cilostazol
was analyzed using the combined results from the dual study. A
significant linear correlation was observed between serum TG and
aortic TG (correlation coefficient: r = 0.5745) but no correlation
between serum CRP and aortic TG was noted. In addition, from
the result obtained for the serum TG monitoring by HPLC, it was
speculated that the reduction of triglyceride in both very low-
density lipoprotein and chylomicron by cilostazol might contribute
to the reduction of triglyceride accumulation in the aorta. Clarification of the mechanism of TG reduction by cilostazol
requires further study. The evaluation of the atherosclerotic area is
meaningful to detect whether the plaque is abundant or not. Actually, more plaques were observed on the thoracic aorta than
on the abdominal aorta and the plaques were abundant around
the arterial bifurcation. It is possible that irregular local shear stress
might be involved in the plaque formation at such areas. The local
shear stress is one of the important factors affecting platelet
functions. Cilostazol inhibited the shear stress-induced platelet
aggregation [31]. In summary, cilostazol improved lipid levels in serum and
atherosclerotic aorta and inhibited the platelet aggregation
detected using a SFP whole blood aggregometer in hypercholes-
terolemic rabbits. Cilostazol Reduced Aortic Triglyceride in Rabbits Cilostazol may be useful to prevent atheroscle-
rotic progression through its anti-platelet effect and help to
improve lipid abnormalities in hypercholesterolemic patients. Cilostazol Reduced Aortic Triglyceride in Rabbits Two of the five samples in
the cilostazol group were not stained by the RAM11 antibody (the right
image of cilostazol), although all samples were stained in the control
group. doi:10.1371/journal.pone.0039374.g003 Figure 3. Immunohistochemical staining of macrophages in the
proximal ascending aorta. Cross sections of the proximal ascending
aorta were stained by an anti-macrophage RAM11 antibody. The brown
part represents the macrophage-positive area. Typical images are
shown for the control and cilostazol groups. Two of the five samples in
the cilostazol group were not stained by the RAM11 antibody (the right
image of cilostazol), although all samples were stained in the control
group. doi:10.1371/journal.pone.0039374.g003 During the development of atherosclerosis, the interaction
between platelets and the vascular wall is critical. When the
vascular walls are damaged, platelets adhere to the subendothelial
surface containing collagen fibers and aggregate [1,38]. Platelet
sensitivity is enhanced with hypercholesterolemia in rabbits and
human [2–3]. Son et al. reported that the platelet aggregation in
the hypercholesterolemic rabbit was induced by a low concentra-
tion of collagen [3]. In the present study, platelet aggregability in
hypercholesterolemic rabbits was also enhanced, and this hyper-
reactivity was maintained for up to 10 weeks when fed a 0.5%
cholesterol diet. The correlation between the serum TC concen-
tration and the PATI was significant; the higher the serum TC, the
lower the PATI. It is known that lowering of the serum TC
attenuates platelet aggregation as well as atheroma formation [39]. Cilostazol inhibits platelet aggregation by various agonists, in
particular, it strongly inhibits platelet aggregation induced by
collagen [11], one of the major components of the subendothe-
lium. The inhibitory effect of cilostazol on platelet aggregation was
maintained throughout the duration of this study. Thus, the anti-
atherosclerotic effect of cilostazol might partly result from its
sustained anti-platelet effect. Figure 3. Immunohistochemical staining of macrophages in the
proximal ascending aorta. Cross sections of the proximal ascending
aorta were stained by an anti-macrophage RAM11 antibody. The brown
part represents the macrophage-positive area. Typical images are
shown for the control and cilostazol groups. Two of the five samples in
the cilostazol group were not stained by the RAM11 antibody (the right
image of cilostazol), although all samples were stained in the control
group. d i 0 3
/j
l
00393
003 detail the effects of cilostazol on serum lipids, aorta lipids, and
platelet aggregation. PLoS ONE | www.plosone.org Discussion The present study is the first to evaluate the effects of cilostazol
on atherosclerosis and ex vivo platelet aggregation in hypercho-
lesterolemic rabbits. We showed that cilostazol significantly
reduced the atherosclerotic area and the serum TG and increased
the serum HDL-C in addition to reducing TC and PL in
hypercholesterolemic rabbits. Additionally, it is particularly worth
noting that cilostazol significantly reduced the aortic TG in the
rabbits although aortic lipids were not measured in the previous
studies of atherosclerotic mice [13–15]. Cilostazol strongly re-
duced serum triglycerides with a slight increase in HDL-
cholesterol after 2 and 4 weeks of treatment. The results agree
well with the results from patients with peripheral arterial disease
(PAD) [18–20]. Cilostazol may be more effective at reducing
serum TG than increasing the HDL-C. Others have also reported
that cilostazol reduced pro-atherogenic lipoproteins such as
remnants-like particles, which is a strong contributor to cardio-
vascular risk, in the plasma of patients with PAD and/or type 2
diabetes [18–22]. Hirano et al. has reported that TG deposits were
found in the cardiac arteries of a patient with cardiomyopathy
[25], and the reduction of aortic TG content has clinical
implication. Maeda et al. studied the effect of cilostazol on the
TG secretion from the liver using an inhibitor of lipoprotein lipase
in rats, and found that the rate of TG secretion was decreased by In contrast to the significant reduction in triglyceride content in
the aorta, treatment with cilostazol did not show a statistically
significant effect on the atherosclerotic area. We have investigated
the anti-atherosclerotic effect of cilostazol by treatment in a dose-
dependent
manner
(0.1,
0.3
and
1.0%
cilostazol
diet)
in
cholesterol-fed rabbits ahead of the present study, and we observed
that a 0.3% cilostazol diet tended to reduce the atherosclerotic
area. Therefore, in this study, we confirmed the reproducibility of
the anti-atherosclerotic effect of cilostazol and examined in more June 2012 | Volume 7 | Issue 6 | e39374 PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 3 June 2012 | Volume 7 | Issue 6 | e39374 Cilostazol Reduced Aortic Triglyceride in Rabbits Cilostazol Reduced Aortic Triglyceride in Rabbits Figure 3. Immunohistochemical staining of macrophages in the
proximal ascending aorta. Cross sections of the proximal ascending
aorta were stained by an anti-macrophage RAM11 antibody. The brown
part represents the macrophage-positive area. Typical images are
shown for the control and cilostazol groups. Two of the five samples in
the cilostazol group were not stained by the RAM11 antibody (the right
image of cilostazol), although all samples were stained in the control
group. doi:10.1371/journal.pone.0039374.g003 [32]. The results in this study might partially reflect the inhibitory
effect of cilostazol on the monocyte adhesion. However, further
study is warranted to elucidate the exact effect of cilostazol on
macrophage accumulation in atherosclerotic plaques. It has recently been reported that cilostazol inhibited the uptake
of modified low-density lipoprotein cholesterol and foam cell
formation in mouse peritoneal macrophages by reduction in the
expression of scavenger receptors [33]. Moreover, cilostazol has
been shown to inhibit the proliferation of smooth muscle cells and
protect from endothelial injury [34–35]. Monocyte adhesions to
the endothelium and platelets are also prevented by cilostazol [36–
37]. Thus, the pleiotropic effects of cilostazol, such as its anti-
platelet, anti-atherosclerotic and anti-inflammatory actions may be
important for preventing the progression of atherosclerotic disease. The light transmission method has been generally used for the
measurement of platelet aggregation. In this conventional method,
the change in light transmission following addition of an agonist is
traced as a parameter of platelet aggregation, where the light
transmission of the platelet-poor plasma is set at 100% and that of
the platelet-rich plasma as 0%. Therefore, the method is unsuitable
for measuring platelet aggregation when the plasma is clouded due
to hyperlipidemia. Thus, in the present study, we measured platelet
aggregation using a SFP aggregometer as it is not affected by the
turbidity of plasma. The method is also easy as the preparation of
platelets by centrifugation is unnecessary. Additionally, generally
results obtained using the SFP method correlate well to the results
obtained by the light transmission method [5]. Figure 3. Immunohistochemical staining of macrophages in the
proximal ascending aorta. Cross sections of the proximal ascending
aorta were stained by an anti-macrophage RAM11 antibody. The brown
part represents the macrophage-positive area. Typical images are
shown for the control and cilostazol groups. Experimental Animals From the immunostaining analysis of the macrophages in the
proximal ascending aorta, there was no difference between the
macrophage-positive areas in the two groups. However, it may be
a notable result that 2 of the 5 samples in the cilostazol group were
not stained by the anti-macrophage antibody, while all samples
were stained in the control group. Cilostazol inhibited the
monocyte adhesion to endothelia activated by remnant lipoprotein Seven-week-old male rabbits (New Zealand White) were
purchased from Kitayama Labes (Nagano, Japan). To minimize
the number of the animals used, the rabbits were washed out for 2
weeks between the first platelet aggregation study with a normal
cholesterol diet and the second aggregation study with 0.5%
cholesterol diet. Rabbits were fed each particular diet at 100 g/ June 2012 | Volume 7 | Issue 6 | e39374 June 2012 | Volume 7 | Issue 6 | e39374 4 Cilostazol Reduced Aortic Triglyceride in Rabbits Figure 4. Platelet aggregation in rabbits. Comparison of platelet aggregation between normal and hypercholesterolemic rabbits (A). Effect of
cilostazol on platelet aggregation in normal rabbits (B) or hypercholesterolemic rabbits (C). The control group are shown by closed circles and the
cilostazol group by open circles. Correlation between serum TC and PATI values (D). Normal rabbits are shown by closed triangles and
hypercholesterolemic rabbits by open triangles. Data represent means 6 S.D. Normal rabbit study: control [n = 8], cilostazol [n = 8],
hypercholesterolemic rabbit study: control [n = 5], cilostazol [n = 5]. **: p,0.01 versus control by t-test. PATI: Platelet aggregatory threshold index,
TC: total cholesterol, R: correlative rate. doi:10.1371/journal.pone.0039374.g004 Figure 4. Platelet aggregation in rabbits. Comparison of platelet aggregation between normal and hypercholesterolemic rabbits (A). Effect of
cilostazol on platelet aggregation in normal rabbits (B) or hypercholesterolemic rabbits (C). The control group are shown by closed circles and the
cilostazol group by open circles. Correlation between serum TC and PATI values (D). Normal rabbits are shown by closed triangles and
hypercholesterolemic rabbits by open triangles. Data represent means 6 S.D. Normal rabbit study: control [n = 8], cilostazol [n = 8],
hypercholesterolemic rabbit study: control [n = 5], cilostazol [n = 5]. **: p,0.01 versus control by t-test. PATI: Platelet aggregatory threshold index,
TC: total cholesterol, R: correlative rate. doi:10.1371/journal.pone.0039374.g004 day/animal. All experimental procedures were performed in
accordance with the Guidelines for Animal Care and Use of
Otsuka Pharmaceutical Co., Ltd. Evaluation of Cilostazol on Platelet Aggregation The SFP whole blood aggregometer was from Mebanix Co.,
Ltd. (WBA analyzer, Yokohama, Japan). Cilostazol was synthe-
sized at Otsuka Pharmaceutical Co., Ltd. Collagen was purchased
from Nycomed Arzneimittel Gmbh. (Munchen, Germany) and
sodium citrate from Sysmex (Kobe, Japan). Evaluation of Cilostazol on Platelet Aggregation
We firstly evaluated the platelet aggregation in rabbits fed
a normal diet. Platelet aggregation was measured in twenty rabbits
and the PATI (pre) before drug treatment was calculated for each
animal. The rabbits were then divided into two groups (control
group and cilostazol group) with eight animals per group, and four
animals were excluded because of an outlier PATI. The PATI
(post) was measured 1 week after drug treatment, then, all the
rabbits were fed the normal diet for 2 weeks to wash out the drug. Next, the platelet aggregation was evaluated in rabbits fed a 0.5% Experimental Animals The ethics committee specifi-
cally approved this study. described [7]. Briefly, blood was collected from animals into plastic
syringes containing sodium citrate at a final concentration of
0.38%. Suspensions of collagen were prepared at 10 times the final
concentrations at 4uC. Four reaction tubes containing 200 mL
aliquots of whole blood with a stirring bar were placed in the
incubation chamber at 37uC. The reaction tubes were pre-
incubated for 1 min at 37uC, and then 22.2 mL each of four
concentrations of collagen were added. Five minutes thereafter,
the filter-unit syringe with a screen micro-sieve was used to suck
the blood samples. A pressure sensor was connected to the syringe. A negative pressure of –130 mmHg was set as 100% and 0 mmHg
as 0%. The platelet aggregation of each reaction tube was
determined as the pressure rate (%). The concentration of agonist
causing a 50% change of pressure rate was calculated and
expressed as the platelet aggregatory threshold index (PATI). Design of Experiments We first evaluated the platelet aggregation in rabbits fed
a normal diet in the presence or absence of cilostazol, and then all
the rabbits were fed the normal diet for 2 weeks to wash out the
drug. Next, the platelet aggregation was evaluated in rabbits fed
a high cholesterol diet. Finally, we evaluated the atherosclerotic
area in aorta and the lipids in the serum and aorta. Using the
combined results from the dual study, the evaluation of the
atherosclerotic area was carried out. PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 Measurement of Platelet Aggregation by SFP
Aggregometer Measurement of platelet aggregation with the SFP aggreg-
ometer was carried out according to the method previously PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 5 Cilostazol Reduced Aortic Triglyceride in Rabbits Table 1. Changes of serum lipids and biomarkers. Group
Pre
2W
4W
6W
8W
10W
TC
Control
475644
11096133
14926148
17816143
21476491
23986379
Cilostazol
422653
9636269
11406449
12836627
14666579
16186705
*
TG
Control
2168
37613
60625
110663
523626
569655
Cilostazol
2163
26611
47624
59641
445671
470668
*
FC
Control
10569
236637
539672
359659
5206101
5966124
Cilostazol
98612
219640
4326168
2626135
3596182
3936172
HDLC
Control
2264
3166
3268
3464
2864
3066
Cilostazol
2265
3867
4067
3465
3164
2567
*, {
PL
Control
183614
352628
442630
525648
630656
7646198
Cilostazol
181625
344671
4116136
4206166
4746180
5206213
*
GOT
Control
23612
33633
31618
2768
3069
45643
Cilostazol
32630
32625
30614
26611
28611
2569
GPT
Control
38613
45624
52626
40612
4468
56631
Cilostazol
946100
75659
80651
66642
61630
72645
ALP
Control
6546178
401696
4866137
412659
364678
374691
Cilostazol
6636303
3366155
4626177
3846127
3596129
4316171
CRP
Control
9556346
784363115
416764111
13418615039
11164610216
937606186537
Cilostazol
166561119
965364829
609764856
17544619860
996567674
23683621739
Concentrations of serum lipids and biomarkers were measured before and 2, 4, 6, 8, 10 weeks after drug administration. Data represent means 6 S.D. Control [n = 5],
cilostazol [n = 5]. *: p,0.05 (group*time), {: p,0.05 (group) versus control by repeated measures ANOVA. TC: total cholesterol, TG: triglyceride, FC: free cholesterol, HDL-
C: high density lipoprotein cholesterol, PL: phospholipid, GOT: glutamate oxaloacetate transaminase, GPT: glutamate pyruvate transaminase, ALP: alkaline phosphatase,
and CRP: C-reactive protein. TC, TG, FC, HDL, PL is shown at mg/dL, GOT, GPT, ALP at U/L and CRP at ng/mL. doi:10.1371/journal.pone.0039374.t001 Concentrations of serum lipids and biomarkers were measured before and 2, 4, 6, 8, 10 weeks after drug administration. Data represent means 6 S.D. Control [n = 5],
cilostazol [n = 5]. *: p,0.05 (group*time), {: p,0.05 (group) versus control by repeated measures ANOVA. TC: total cholesterol, TG: triglyceride, FC: free cholesterol, HDL-
C: high density lipoprotein cholesterol, PL: phospholipid, GOT: glutamate oxaloacetate transaminase, GPT: glutamate pyruvate transaminase, ALP: alkaline phosphatase,
and CRP: C-reactive protein. TC, TG, FC, HDL, PL is shown at mg/dL, GOT, GPT, ALP at U/L and CRP at ng/mL. doi:10.1371/journal.pone.0039374.t001 cholesterol diet. Measurement of Serum Lipids and other Biomarkers Measurement of Serum Lipids and other Biomarkers
For the rabbits fed the high cholesterol diet, the blood was
collected before and 2, 4, 6, 8 and 10 weeks after drug treatment,
and the serum was obtained by centrifuging it at 20006g for 10
minutes at room temperature. Total cholesterol, TG, FC, PL and
HDL-C were measured as serum lipids, and GOT, GPT and ALP
were measured as indices of hepatic functions and CRP was used
as an index of inflammation. Serum lipids excluding FC, and
GOT, GPT and ALP were measured by the multi-function
automatic analyzer system (BiOLis 24i, Tokyo Boeki Machinery
Ltd, Tokyo, Japan). Serum FC was measured using a multi-plate
reader (Soft MAX Pro, Spectra MAX 190, Molecular Devices,
CA, USA) using reagents for the BiOLis 24i. Serum CRP was
measured by an enzyme-linked immunosorbent assay kit (Shi-
bayagi, Gunma, Japan). Lipoproteins were analyzed by HPLC
from 10 week serum samples. Serum was fractionated by gel
chromatography using a column for lipoprotein analyses (TSKgel
LipopropakXL, Tosoh, Japan). After gel filtration, lipoprotein was
colored with TG reaction liquid in reaction coils, and the
absorbance at 600 nm was monitored, and the elution pattern
was recorded. Figure 5. Serum TG analysis by HPLC. Lipoproteins in 10 week
treatment serum samples were analyzed by HPLC. The mean value of
the control group is shown by a red line and the cilostazol group by the
blue line and the normal diet group by the green line. Control [n = 5],
cilostazol [n = 5], normal diet [n = 3]. doi:10.1371/journal.pone.0039374.g005 Figure 5. Serum TG analysis by HPLC. Lipoproteins in 10 week
treatment serum samples were analyzed by HPLC. The mean value of
the control group is shown by a red line and the cilostazol group by the
blue line and the normal diet group by the green line. Control [n = 5],
cilostazol [n = 5], normal diet [n = 3]. doi:10.1371/journal.pone.0039374.g005 Measurement of Platelet Aggregation by SFP
Aggregometer The total cholesterol in serum was measured
before and after feeding the 0.5% cholesterol diet for a week. After
feeding the 0.5% cholesterol diet for 1 week, platelet aggregation
was determined as the PATI (pre) for the high cholesterol diet
before drug treatment. Ten rabbits were excluded since the serum
TC level was too high (.700 mg/dL) or too low (,300 mg/dL)
or because of the outlier PATI, and the remaining animals were
allocated into two groups (control group and cilostazol group) with
five animals per group. A 0.5% cholesterol diet and 0.5%
cholesterol plus 0.3% cilostazol diet were fed to the control group cholesterol diet. The total cholesterol in serum was measured
before and after feeding the 0.5% cholesterol diet for a week. After
feeding the 0.5% cholesterol diet for 1 week, platelet aggregation
was determined as the PATI (pre) for the high cholesterol diet
before drug treatment. Ten rabbits were excluded since the serum
TC level was too high (.700 mg/dL) or too low (,300 mg/dL)
or because of the outlier PATI, and the remaining animals were
allocated into two groups (control group and cilostazol group) with
five animals per group. A 0.5% cholesterol diet and 0.5%
cholesterol plus 0.3% cilostazol diet were fed to the control group and the cilostazol group, respectively for 10 weeks. The platelet
aggregation was measured and the PATI (post) 1 week and 10
weeks after drug treatment was calculated for the rabbits fed a high
cholesterol diet. References 13. Lee JH, Oh GT, Park SY, Choi JH, Park JG, et al. (2005) Cilostazol reduces
atherosclerosis by inhibition of superoxide and tumor necrosis factor-alpha
formation in low-density lipoprotein receptor-null mice fed high cholesterol. J Pharmacol Exp Ther 313: 502–509. 1. Ross R (1999) Atherosclerosis–an inflammatory disease. N Engl J Med 340:
115–126. 2. Sener A, Ozsavci D, Oba R, Demirel GY, Uras F, et al. (2005) Do platelet
apoptosis, activation, aggregation, lipid peroxidation and platelet-leukocyte
aggregate formation occur simultaneously in hyperlipidemia? Clin Biochem 38:
1081–1087. 14. Takase H, Hashimoto A, Okutsu R, Hirose Y, Ito H, et al. (2007) Anti-
atherosclerotic effect of cilostazol in apolipoprotein-E knockout mice. Arznei-
mittelforschung 57: 185–191. 3. Son DJ, Lee HW, Shin HW, Lee JJ, Yoo HS, et al. (2008) Enhanced release of
sphingosine-1-phosphate from hypercholesterolemic platelets: role in develop-
ment of hypercholesterolemic atherosclerosis. Prostaglandins Leukot Essent
Fatty Acids 78: 383–390. 15. Yoshikawa T, Mitani K, Kotosai K, Nozako M, Miyakoda G, et al. (2008)
Antiatherogenic effects of cilostazol and probucol alone, and in combination in
low density lipoprotein receptor-deficient mice fed with a high fat diet. Horm
Metab Res 40: 473–478. 4. Davı` G, Patrono C (2007) Platelet activation and atherothrombosis. N Engl J Med
357: 2482–2494. 16. Tani T, Uehara K, Sudo T, Marukawa K, Yasuda Y, et al. (2000) Cilostazol,
a selective type III phosphodiesterase inhibitor, decreases triglyceride and
increases HDL cholesterol levels by increasing lipoprotein lipase activity in rats. Atherosclerosis 152: 299–305. 5. Born GV, Hume M (1967) Effects of the numbers and sizes of platelet aggregates
on the optical density of plasma. Nature 215: 1027–1029. 6. Cardinal DC, Flower RJ (1980) The electronic aggregometer: a novel device for
assessing platelet behavior in blood. J Pharmacol Methods 3: 135–158. 17. Maeda E, Yoshino G, Nagata K, Matsuba K, Matsushita M, et al. (1993) Effect
of cilostazol on triglyceride metabolism in rats. Curr Ther Res 54: 420–424. 7. Ozeki Y, Sudo T, Toga K, Nagamura Y, Ito H, et al. (2001) Characterization of
whole blood aggregation with a new type of aggregometer by a screen filtration
pressure method. Thromb Res 101: 65–72. 18. Nakamura N, Hamazaki T, Johkaji H, Minami S, Yamazaki K, et al. (2003)
Effects of cilostazol on serum lipid concentrations and plasma fatty acid
composition in type 2 diabetic patients with peripheral vascular disease. Clin
Exp Med. 2 : 180–184. 8. Measurement of Aortic Lipids After obtaining the photograph, the thoracic aorta was further
separated into the arch and the residual thoracic aorta. The wet
weights of the aortas (arch, thoracic aorta, and abdominal aorta)
were weighed by an electronic balance (CP225D, Sartorius,
Tokyo, Japan). The aortas were chopped into fine pieces. The
extraction liquid (chloroform/methanol (2:1, v/v)) was added to
the chopped arteries, and they were homogenized by a digital
homogenizer (As-one, Osaka, Japan). The homogenates were
centrifuged at 8006g for 10 minutes. The upper-layer solution was
transferred into another tube and mixed with 0.36 M CaCl2/50%
methanol. The mixture was centrifuged at 8006g for 10 minutes,
and this washing procedure was repeated twice. The 100 mL
aliquot of the solution used to extract lipids was dried with 50%
Triton X-100 in chloroform on a dry-block bath (As-one, Osaka, Histochemical Staining of the Aortic Cross Section Proximal ascending aortas were fixed with 10% neutral buffered
formalin, embedded in paraffin, sectioned at 3 mm and adhered to
APS coated slides. Sections were stained with an automatic
immunohistochemical staining system (Venatana HX system
Discovery, Roche-Diagnostics) using a mouse monoclonal anti-
body against rabbit macrophage, RAM11 (1:200, Dako). Addi-
tionally, the same section was stained by the Elastica-van Gieson
method. Author Contributions Conceived and designed the experiments: HI GM KN. Performed the
experiments: HI KU YM AH CN MN. Analyzed the data: HI. Contributed reagents/materials/analysis tools: KH HI. Wrote the paper:
HI. Conceived and designed the experiments: HI GM KN. Performed the
experiments: HI KU YM AH CN MN. Analyzed the data: HI. Contributed reagents/materials/analysis tools: KH HI. Wrote the paper:
HI. Measurement of Atherosclerotic Areas The analysis of the atherosclerotic lesion was performed by
Daugherty’s method with a slight modification [40]. Following the
last platelet aggregation study, rabbits were anesthetized by an
injection of pentobarbital sodium (40 mg/mL at volume of 1 mL/ PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 6 Cilostazol Reduced Aortic Triglyceride in Rabbits kg animal) into the ear vein and were held on an experimental
plate and their body hair was shaved. The abdomen and chest
were opened, and then blood (60 mL) was collected from the
abdominal vein. The aorta was perfused with ice-cold saline. The
length of the aorta from the origin of the aortic arch to a femoral
artery bifurcation was measured, and the aorta was excised and
placed in cold saline. The aorta was cut into two regions at the
diaphragm, i.e. the thoracic aorta including the arch and the
abdominal aorta, and was trimmed to remove extraneous tissues
under the stereomicroscope (SMZ800, Nikon, Tokyo, Japan), then
longitudinally incised, and the intimal sides were exposed. The
aortas were pinned on black rubber plates and photographed with
a digital camera (D80, Nikon, Tokyo, Japan). The whole intimal
and atherosclerotic areas were analyzed using image analyzers
(Photoshop, Adobe Systems, Tokyo, Japan and WinROOF,
Mitani Corporation, Tokyo, Japan). The ratio of the atheroscle-
rotic area to the whole intimal area was calculated. Plaque areas of
unstained aortas were measured in the present study because the
plaque areas strongly correlated with the Sudan IV staining areas
in the preliminary study (correlation coefficient: r = 0.9898). Japan). Isopropanol was added to the dried sample. Lipids (TC,
TG, FC and PL) in the samples were measured as serum lipids. Statistical Analysis For the PATI values, lipids in the aorta and the rate of RAM11
positive cells, the differences between the control group and the
cilostazol group were statistically analyzed by a t-test. For serum
lipids, the differences between two groups were statistically
analyzed by repeated measures analysis of variance (ANOVA). The rate of the atherosclerotic area was statistically analyzed by
using two-way ANOVA. Factors included in the ANOVA model
were group and time interaction. The correlations between the
serum TC concentrations and PATI values, the serum TC and
serum TG, the plaque areas and the Sudan IV staining areas were
evaluated using Pearson’s correlation coefficient and correlation
coefficient test. Values were expressed as means 6 S.D. A p-value
,0.05 was considered significant. Analyses were performed using
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sclerosis Prevention Study (AFCAPS/TexCAPS). Am J Cardiol 93: 136–141. 36. Mori D, Ishii H, Kojima C, Nitta N, Nakajima K, et al. (2007) Cilostazol inhibits
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beneficial effects in treatment of intermittent claudication: results from
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678–686. 9. Kambayashi J, Liu Y, Sun B, Shakur Y, Yoshitake M, et al. (2003) Cilostazol as
a unique antithrombotic agent. Curr Pharm Des 9: 2289–2302. 10. Matsumoto M (2005) Cilostazol in secondary prevention of stroke: impact of the
Cilostazol Stroke Prevention Study. Atheroscler Suppl 6: 33–40. 20. Elam MB, Heckman J, Crouse JR, Hunninghake DB, Herd JA, et al. (1998)
Effect of the novel antiplatelet agent cilostazol on plasma lipoproteins in patients
with intermittent claudication. Arterioscler Thromb Vasc Biol. 18: 1942–1947. Cilostazol Stroke Prevention Study. Atheroscler Suppl 6: 33–40 11. Kimura Y, Tani T, Kanbe T, Watanabe K (1985) Effect of cilostazol on platelet
aggregation and experimental thrombosis. Arzneimittelforschung 35: 1144–
1149. 21. Toyota T, Oikawa S, Abe R, Sano R, Suzuki N, et al. (2001) Effect of Cilostazol
on Lipid, Uric Acid and Glucose Metabolism in Patients with Impaired Glucose
Tolerance or Type 2 Diabetes Mellitus: A Double-Blind, Placebo-Controlled
Study. Clin Drug Invest. 21: 325–335. 12. Kohda N, Tani T, Nakayama S, Adachi T, Marukawa K, et al. (1999) Effect of
cilostazol, a phosphodiesterase III inhibitor, on experimental thrombosis in the
porcine carotid artery. Thromb Res 96: 261–268. PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 7 PLoS ONE | www.plosone.org Cilostazol Reduced Aortic Triglyceride in Rabbits (2009) Baseline blood pressure, low- and high-density lipoproteins, and
triglycerides and the risk of vascular events in the Stroke Prevention by
Aggressive Reduction in Cholesterol Levels (SPARCL) trial. Atherosclerosis 204:
515–520. 37. Ito H, Miyakoda G, Mori T (2004) Cilostazol inhibits platelet-leukocyte
interaction by suppression of platelet activation. Platelets 15: 293–301. 38. Ross R, Glomset J, and Harker L (1977) Response to injury and atherogenesis. Am J Pathol 86: 675–684. 29. Gotto AM Jr (2002) High-density lipoprotein cholesterol and triglycerides as
therapeutic targets for preventing and treating coronary artery disease. Am
Heart J 144: S33–42. 39. D Shanmuganayagam, T.F Warner, C.G Krueger, J.D Reed, J.D Folts (2007)
Concord grape juice attenuates platelet aggregation, serum cholesterol and
development of atheroma in hypercholesterolemic rabbits. Atherosclerosis 190:
135–142. 30. Aronis A, Madar Z, Tirosh O (2008) Lipotoxic effects of triacylglycerols in
J774.2 macrophages. Nutrition 24: 167–176. 40. Daugherty A, Zweifel BS, Schonfeld G (1989) Probucol attenuates the
development of aortic atherosclerosis in cholesterol-fed rabbits. Br J Pharmacol
98: 612–618. 31. Minami N, Suzuki Y, Yamamoto M, Kihira H, Imai E, et al. (1997) Inhibition of
shear stress-induced platelet aggregation by cilostazol, a specific inhdbitor of PLoS ONE | www.plosone.org June 2012 | Volume 7 | Issue 6 | e39374 8 8
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A fast low noise CMOS charge sensitive preamplifier for column parallel CCD readout
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public-domain
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NP2.S-49
2011 IEEE Nuclear Science Symposium Conference Record
A Fast Low Noise CMOS Charge Sensitive
Preamplifier For Column Parallel CCD Readout.
J.P. Walder, Peter Denes, Carl Grace, Henrik von der Lippe, Bob Zheng.
Abstract-A fast, low noise charge sensitive preamplifier for
column parallel CCD readout application is presented. This
prototype has been implemented on a commercial CMOS 6Snm
process.
This
transconductance
preamplifier
amplifier
consists
with
of
a
capacitive
two
signal and the transfer gate charge injection. These CCOs will
be clocked at a column rate of up to 10 MHz.
stage
feedback
to
CPl
accommodate two gain ranges and a second transconductance
CP2
CP3
!Pi
!P2
CPOUT V Barrier
CP3
I I I I I I I I
amplifier to reset the circuit. An equivalent noise charge of 37
electrons for a lOOns readout cycle time is achieved for a power
consumption of SmW. Novel design techniques used in this
/
circuit will be presented in detail along with measurement results
obtained on the prototype.
I.
Serial
INTRODUCTION
Serial
Pixel
HERE is increasing scientific interest in the use of X-ray
Tlight sources for imaging of dynamic processes.
�
�c
c
Floating
Pi xel
Diffusion
This will
Fig. I. Conceptual diagram of a column parallel CCD output structure.
require advanced detectors and low-noise cameras operating at
unprecedented frame rates with pixel rates exceeding 100
Instead of a buffer amplifier,the output of the CCO is a
Gpixel/s [1].
floating diffusion,which means that the preamplifier reads out
A fast,low noise charge sensitive preamplifier for column
the signal charge packet destructively. In order to do this
parallel CCD readout application is presented. This prototype
successfully at the requisite 10 MHz rate,the input stage must
has been implemented in a commercial CMOS 65nm process.
be charge-sensitive,fast,low-noise,and capable of accepting
This circuit is used as the front end amplifier of a 16 channel
from and returning to the CCO large amounts of charge during
mixed mode digitizer. This preamplifier consists of a two
its transfer phase (the transfer gate charge injection),while
stage trans-conductance amplifier with capacitive feedback to
still sensing small signal charge packets. To meet anticipated
accommodate two gain ranges and a second trans-conductance
interfacing and imaging performance requirements,the
amplifier to reset the circuit. An equivalent noise charge of 37
preamp must satisfy the specifications in Table 1.
electrons for a lOOns readout cycle time is achieved. Novel
design techniques have been used in this circuit to reach this
TABLE I. PREAMPLIFIER REQUIREMENTS
performance. This paper is organized as follows: Section II
presents the preamplifier requirements. Section III describes
Full scale input charge
the circuit architecture and details the schematic. Chip layout
is discussed in Section IV. Experimental results are presented
Transfer gate charge
in section V.
50.103 e6
and 10 e>200000 e-
injection
Input capacitance
II. PREAMPLIFIER REQUIREMENTS.
500
fF or less
Settling time
<
Fig. 1 shows the output stage of a column parallel CCO
Reset time
<
recently designed in our laboratory. One notable aspect of this
Charge loss due to finite
CCO is its lack of an output source-follower. The <1>,,2,3
terminals transfer the charges along the serial register while
DC gain
the terminal
Readout cycle time
floating diffusion. As these terminals are clocked,a large
amount of charge injection is created by the
Preamplifier pitch
<l>out clock
transitions. The preamplifier reads out the charge deposited on
lOOns,150ns,200ns
50llm
III. CIRCUIT ARCHITECTURE.
the floating diffusion. This charge is the sum of the video
The preamplifier block diagram is shown in Fig. 2. The circuit
Manuscript received November 4,2011.
This work was supported by the United States Department of Energy under
Contract No. DE-AC02-05CH1123 I.
J.P. Walder, Peter Denes, Carl Grace, Henrik von der Lippe, Bob Zheng
are with the Lawrence Berkeley National Laboratory,
Berkeley CA 94720 USA.
(telephone: 5 I 0-486-7441,e-mail: jpwalder@lbl.gov).
U.S. Government work not protected by U.S. copyright
15ns
1%
> lO-bit
Linearity
<l>ouh called transfer gate,brings the signal to a
15 ns
consists of a low noise,high DC gain core amplifier labeled
A1. A set of switches,S'a and SIb,change the gain setting
from 50ke- to 1Me- ranges.
A second switched trans-conductance amplifier labeled A2
resets the feedback capacitor Cf50k and CflM and is activated
by the switch S2. Two external reference voltages Vrefl
721
DC voltages of the
(850mV) and Vrefl (1.2V) set the
The output of the differential pair is folded to increase swing
preamplifier output and input respectively. The capacitor
Cp
and then drives common-source amplifier MN6 and MP5.
represents all the parasitic capacitances present at the input
The output is then buffered by the source follower consisting
(i.e. bonding wire,bonding pads and
of MN7 and MN8. The feedback capacitors
CCO floating diffusion).
The full scale voltage at the output ranges from 850mV to
350mV.
Ccompl,2 are used to
implement cascoded compensation by feeding back a portion
of the output signal to the folding node. This technique greatly
S1a
S1b
7 1M
T
improves high frequency negative power supply noise
reduction [2]. To preserve the loop stability and keep the
(30OfF)
preamplifier rise time independent of gain setting,a switched
Miller capacitor network has been added.
The conversion gain of the circuit,in the limit of large open
loop gain,is approximately
Cf50k (16fF)
To CCD floating
diffusion
-----_A1
----J- ---�
__
.----+
Vref2
CP(500fF)
lICr. In reality the output voltage
is given by
Output
-.-L
Valli =
I
Fig. 2. Preamplifier block diagram.
-=Q::.!i"-cn
(2)
__
C:::-C + .--l'..
f
Ao
Where Ao is the
DC open loop gain. For a charge loss of 1%,
Ao has to be larger than 6000. This is achieved by combining a
A. Core Amplifier.
folded cascode stage followed by a common source amplifier.
Fig. 3 shows the schematic of the core amplifier. The single
ended output of the
CCO is sensed by differential pair MN I
and MN2. While differential sensing increases the input noise
for a given current,it greatly improves the ability of the
preamp to reject low frequency noise on the negative power
The diode 01 across the compensation capacitor prevents the
transistor MN6 to enter in the linear region when a large
amount of charge injection from the
close to 15ns.
supply. The differential pair does this by transforming noise
B.
on the negative power supply into a common-mode signal.
This is critical here because the output voltage due to a power
supply variation is given by
v OUi =
1
PSRR vdd
Cp
Cr
Vdd+
Cp
I
PSRR vss Cf
CCO is injected into the
preamplifier. The recovery time is the greatly improved and is
Reset transconductance amplifier.
The schematic of the transconductance amplifier,resetting the
preamplifier,is shown in Fig. 4.
VODA
(I)
Vss
where, PSRRvdd and PSRRvss are the power supply rejection
ratio of the positive and negative supply respectively.
Equation (1) shows that the output voltage vOU! is multiplied by
the voltage close loop gain Cp/Cr which in this case is
Vout
approximately 64 for the 50ke- range. Even low-amplitude
noise on the negative power supply would render the preamp
inoperable in the sense it would be impossible to separate the
signal from power supply bounce.
VDOA
Vbiasp
MPO
MPl
01
MP2
L:!�'
1. ..f
G1M,
G1Mb
Cc� �p2
-
-
Fig. 4. Reset transconductance amplifier schematic.
As the reset time allowed for the preamp in the highest
channel rate case (1OMHz) case has to be less than 15ns,an
G1M
G1Mb
active reset circuit is required. The OTA uses half of a
symmetrical architecture [3] and the current mirror outputs are
energized by the Reset and Resetb switches only when the
preamplifier is being reset. Because a low transconductance is
required here for stability and noise purposes,the differential
pair MPI and MP2 is biased with a large
I1Gm ratio,where Gm
is the differential pair tranconductance and is the tail current
Vbiasn
of the differential input pair. Two banks of current sources
with different aspect ratios have been implemented depending
Hg.
J.
Lore amplifier schematic.
on the preamplifier gain settings. They are controlled by the
G1M and G1Mb switches.
722
C. Correlated double sampler and gated integrator.
noise referred to the preamplifier input for different
integration periods is shown in Table II.
TABLE II. NOISE SIMULATION RESULTS.
To remove the reset noise from the reset amplifier A2 in Fig.2,
a correlated double sampler (CDS) with a gated integrator has
been implemented on chip. This is a powerful,widely used
Integration
time:
technique to suppress reset noise in solid-state imagers [3]. It
also reduces the thermal and I lf noise of the preamplifier. The
basic concept is to take two samples of the preamplifier
output: the first after the preamplifier is reset and the second
lOOns
37e-
2 X SOns
lS0ns
26e-
2X 7Sns
200ns
23.Se-
D.
to both samples,taking their difference can reject the charge
Noise (ENC)
2 X 2Sns
when the signal charge packet is available at the CCD output.
Since the charge injection from the reset operation is common
Readout cycle
Simulation results.
Fig.6 shows a transient simulation of the preamplifier.
injection while retaining the signal. The dual-slope CDS
technique is conceptually simple to implement. The input
--======::;----;====::::=
after preamplifier reset is integrated in one direction. Then,
Transfer gate
r::
the output charge packet (which includes both charge injection
signal
(2S0ke)
and signal) is read out. The output voltage of the integrator is
then proportional to the signal charge,and the reset noise is
JL
charge injection +
�
�::
, ..
canceled. A block diagram of this circuit is shown in Fig.S.
RESET
1p,2p,3p
001,4001,6001
n
� ::
I"
Reset pulse
Input charge
JL
'---
...
OOi..
OJ..
Fig. 6. Preamplifier transient simulation: SOke- input signal,200ke- transfer
gate charge injection, lOOns cycle time.
The first plateau,shown on the lower trace,is the sum of the
transfer gate charge injection and the video signal while the
RESET
Vom
Fig. 5. Correlated double sampler (CDS) and gated integrator block diagram.
The CDS is implemented using fully differential circuits to
improve both the signal-to-noise ratio at the integrator output
and to be compatible with the digitizer which samples its
output. The single-ended output of the preamplifier is
converted to differential by sending the preamp output through
two paths. One path goes directly to the integrator's inverting
input and the other goes through a unity-gain inverting
second plateau is the remaining signal to be read out. The
upper trace is the output voltage of the preamplifier showing
the image of the input charge along with its reset phase.
The linearity performance of the preamp in SOke- mode and
with a 100 ns cycle time is shown Fig.7. The peak
nonlinearity (at full-scale) is less than -O.I S bit at a 10-bit
level,indicating that the preamp is capable of approximately
12-bit linearity performance in this mode. The linearity is
degraded somewhat in the lower sensitivity mode and is
amplifier before it reaches the integrator's non inverting input.
about1O-bit.
Because the inverting amplifier has finite bandwidth,the
o
phase difference between the two signals is not exactly 180
degrees,but since the channel rate is limited to 10 MHz,the
performance. Three different integration periods are
-0.04
available: 2Sns,SOns and 7Sns. These different integration
-0.06
periods provide the same level of reset noise rejection but
integrating.
The noise power P after transmission through this filter is
with
2
=
-
:.c
6
�
c
0
'';::;
.
-0.12
-0.14
I 2 1r
ro
:;
OJ
Cl
-0.1
given by
d
1.2
-0.08
provide thermal noise rejection proportional to the time spent
p=
1
-0.02
phase mismatch does not significantly affect the CDS
jIH(W�2(WO+ �) W
.
IH(w� m22m sm2m(1+�)
Integral non linearity
Normalized input charge
Fig. 7. Preamplifier nonlinearity simulation: 200ke- transfer gate charge
injection,SOke- full scale, lOOns cycle time.
4 sin
(3)
where Wo,Fo indicate the relative magnitude of the white,lIf
The simulated transfer function of the power supplies to the
output is shown in Fig.8. Without the specialized design
preamplifier noise. 't is the reset and signal integration period
techniques discussed above to desensitize the circuit from
and
noise in both ground and positive rail,there would have been
�
the time interval in between them. With a thermal noise
of 2nVIrt Hz and a 1If noise of 31lV at 1Hz referred to the
significant power-supply gain,rather than the attenuation
input of the core amplifier differential pair,a simulated total
achieved here.
723
10�--�---,----,----,---,----,----,---,----,
l- v'"/v� -t:::::=t:: ::=:=t=:4
-t---t---t--..
... .
-
/
..
.
'
1- · · ···
./ ,/
SOKe ra,jge
-o 0-/----I-----I---,."-+----I-='-'-"-1=---+----t-"-----I----+I
. • / ,/
/ . .... ... ..... .
Vo.lJi'!tdd.
./
/!
,.. '---- +---_+_-- -+----+----+---,,+-'-1
,+ --200-/----1-----1.,.:-----,
_-30.0
"
> ·40.0
.
//.: 1./
1 e range
. . .. . VQ.ii./Vdd�
--.,/, ,17. "-./-/
7"'+-! ... ....-..... .....-+'
. ..........+
..
.
.
........ ............. ... . ..... . .
1 -: ::
�� ..
.�•........ "
-500-/---,.:-1--1"---1----+----1-----1----+----1-----1---1
.'// / ..•../
-60·ot,.L--7'+----I
----+----I-----I----+----I-----I---1
./'/�
-700-/....,."-. -1-----1----+----1-----1----+----1-----1---M �
� 0 1--�10�
2 ---+10�
3 --1�0.--�10�
10 �
0 --1
5 ---+
I�
�� 10 9
106�-- 01� 7 --�
fr�qutncy(Hz)
Fig. 8. Preamplifier power supply sensitivity.
IV.
PREAMPLIFIER LAYOUT.
The circuit has been implemented in a CMOS 65nm mixed
mode process. The active area is about 170um x 200um for
each preamplifier. The two trans-conductance amplifiers are
located on the upper part of the layout,while the switched
capacitor banks are drawn on the bottom. Fig.9 shows the
preamplifier layout. Four preamplifiers have been placed in a
row with their input pads located on the left hand side to
match the 50llm pitch of the CCD. Care have been taken to
lower the trace resistance by using the top metal layers which
have a low resistivity per square.
Fig. I I. Test board photograph.
They will be reported in one of the Transactions on Nuclear
Science (TNS) issues.
VI.
CONCLUSION
A fast, low noise charge sensitive preamplifier for
column parallel CCD readout application is presented.
An equivalent noise charge of 37 electrons for a lOOns readout
cycle time is achieved. Novel design techniques have been
used in this circuit to reach these performances. This prototype
Fig.9. Preamplifier layout.
has been implemented in a commercial CMOS 65nm process.
The total power consumption is 5mW with a power supply
voltage of 1.8V as we are using quarter microns devices.
V. EXPERIMENTAL RESULTS
A photograph of the custom test board is shown in Fig 10. The
circuit is functional. Fig. 11 shows an oscilloscope screenshot
of the gated integrator output shown in Fig. 5 for a readout
REFERENCES
[ I]
[2]
cycle time of 200ns. The upper trace corresponds to the charge
injected to the preamplifier including the transfer gate charge
injection. The lower trace is the gated integrator output for a
[3]:
full scale input charge in the 50ke- mode. Noise and linearity
measurements haven't been performed by the time of this
conference record.
724
J.N. Corlett, et aI., "Design Studies for a VUV soft x-ray FEL Facility
at LBNL" Proceedings ofIPAC 2010,Kyoto,Japan
David B. Ribner and Miles A. Copeland, "Design Techniques for
Cascoded CMOS Op Amps with Improved PSRR and Common-Mode
Input Range" IEEE JSSC vol sc-19,no. 6,December 1984.
J.-P. Walder et ai, "A Low Power, Wide Dynamic Range Multigain
Signal Processor for the SNAP CCD", IEEE Transactions on nuclear
science, VOL.51, No.5, October 2004.
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https://openalex.org/W1904614428
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https://bmcplantbiol.biomedcentral.com/counter/pdf/10.1186/s12870-015-0583-5
|
English
| null |
Differential tissue accumulation of 2,3,7,8-Tetrachlorinated dibenzo-p-dioxin in Arabidopsis thaliana affects plant chronology, lipid metabolism and seed yield
|
BMC plant biology
| 2,015
|
cc-by
| 10,600
|
© 2015 Hanano et al. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link
to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication
waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless
otherwise stated. Abstract Background: Dioxins are one of the most toxic groups of persistent organic pollutants. Their biotransmission through
the food chain constitutes a potential risk for human health. Plants as principal actors in the food chain can play a
determinant role in removing dioxins from the environment. Due to the lack of data on dioxin/plant research, this study
sets out to determine few responsive reactions adopted by Arabidopsis plant towards 2,3,7,8-tetrachlorodibenzo-p-dioxin
(TCDD), the most toxic congener of dioxins. Results: Using a high resolution gas chromatography/mass spectrometry, we demonstrated that Arabidopsis plant
uptakes TCDD by the roots and accumulates it in the vegetative parts in a tissue-specific manner. TCDD mainly
accumulated in rosette leaves and mature seeds and less in stem, flowers and immature siliques. Moreover, we observed
that plants exposed to high doses of TCDD exhibited a delay in flowering and yielded fewer seeds of a reduced oil
content with a low vitality. A particular focus on the plant fatty acid metabolism showed that TCDD caused a significant
reduction in C18 unsaturated fatty acid level in plant tissues Simultaneously TCDD induced the expression of 9 LOX and Results: Using a high resolution gas chromatography/mass spectrometry, we demonstrated that Arabidopsis plant
uptakes TCDD by the roots and accumulates it in the vegetative parts in a tissue-specific manner. TCDD mainly
accumulated in rosette leaves and mature seeds and less in stem, flowers and immature siliques. Moreover, we observed
that plants exposed to high doses of TCDD exhibited a delay in flowering and yielded fewer seeds of a reduced oil
content with a low vitality. A particular focus on the plant fatty acid metabolism showed that TCDD caused a significant
reduction in C18-unsaturated fatty acid level in plant tissues. Simultaneously, TCDD induced the expression of 9-LOX and
13-LOX genes and the formation of their corresponding hydroperoxides, 9- and 13-HPOD as well as 9- or 13-HPOT,
derived from linoleic and linolenic acids, respectively. that plants exposed to high doses of TCDD exhibited a delay in flowering and yielded fewer seeds of a reduced oil
content with a low vitality. A particular focus on the plant fatty acid metabolism showed that TCDD caused a significant
reduction in C18-unsaturated fatty acid level in plant tissues. Simultaneously, TCDD induced the expression of 9-LOX and
13-LOX genes and the formation of their corresponding hydroperoxides, 9- and 13-HPOD as well as 9- or 13-HPOT,
derived from linoleic and linolenic acids, respectively. RESEARCH ARTICLE
Open Access
Differential tissue accumulation of 2,3,7,8-
Tetrachlorinated dibenzo-p-dioxin in
Arabidopsis thaliana affects plant
chronology, lipid metabolism and seed yield
Abdulsamie Hanano1,2*, Ibrahem Almousally1,2, Mouhnad Shaban1,2, Nour Moursel1,2, AbdAlbaset Shahadeh1,3
and Eskander Alhajji1,4
Hanano et al. BMC Plant Biology (2015) 15:193
DOI 10.1186/s12870-015-0583-5 RESEARCH ARTICLE
Open Access
Differential tissue accumulation of 2,3,7,8-
Tetrachlorinated dibenzo-p-dioxin in
Arabidopsis thaliana affects plant
chronology, lipid metabolism and seed yield
Abdulsamie Hanano1,2*, Ibrahem Almousally1,2, Mouhnad Shaban1,2, Nour Moursel1,2, AbdAlbaset Shahadeh1,3
and Eskander Alhajji1,4
Hanano et al. BMC Plant Biology (2015) 15:193
DOI 10.1186/s12870-015-0583-5 Hanano et al. BMC Plant Biology (2015) 15:193
DOI 10.1186/s12870-015-0583-5 Differential tissue accumulation of 2,3,7,8-
Tetrachlorinated dibenzo-p-dioxin in
Arabidopsis thaliana affects plant
chronology, lipid metabolism and seed yield nano1,2*, Ibrahem Almousally1,2, Mouhnad Shaban1,2, Nour Moursel1,2, AbdAlbaset Shahadeh1,3
Alhajji1,4 Abdulsamie Hanano1,2*, Ibrahem Almousally1,2, Mouhnad Shaban1,2, Nour Moursel1,2, AbdAlbaset Shahadeh1,3
and Eskander Alhajji1,4 Abstract Conclusions: The current work highlights a side of toxicological effects resulting in the administration of
2,3,7,8-TCDD on the Arabidopsis plant. Similarly to animals, it seems that plants may accumulate TCDD in their lipids by
involving few of the FA-metabolizing enzymes for sculpting a specific oxylipins “signature” typified to plant
TCDD-tolerance. Together, our results uncover novel responses of Arabidopsis to dioxin, possibly emerging to
overcome its toxicity. * Correspondence: ashanano@aec.org.sy
1Atomic Energy Commission of Syria (AECS), B.P. Box 6091, Damascus, Syria
2Department of Molecular Biology and Biotechnology, Atomic Energy
Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria
Full list of author information is available at the end of the article Background extremely hydrophobic. Therefore, dioxins can persist in
the environment and bioaccumulate at the top of food
chain [1]. Humans may become exposed to dioxins
mainly through food and less by inhalation or dermal
contact. 2,3,7,8-Tetrachlorodibenzo-p-dioxin (TCDD), with
a toxic equivalency factor (TEF) of 1.0, is the most toxic
congener of dioxins. Consequently, TCDD was used as a
good candidate for investigations of the physiological and
toxicological effects of this class of chemicals [2–5]. Polychlorinated dibenzo-p-dioxins (PCDDs) and poly-
chlorinated dibenzofurans (PCDFs), collectively termed
dioxins, are the most toxic group of Persistent Organic
Pollutants (POPs). Composed of two aromatic rings
linked via one (PCDFs) or two atom of oxygen (PCDDs)
and one to eight related chlorine atoms, these halo-
genated
chemicals
are
structurally
very
stable
and In mammals, dioxins essentially accumulate in fats
because of their high lipophilicity. For example, they
reached maximal levels in liver adipose lipids and in
milk lipid droplets [6]. In contrast low levels of these * Correspondence: ashanano@aec.org.sy
1Atomic Energy Commission of Syria (AECS), B.P. Box 6091, Damascus, Syria
2Department of Molecular Biology and Biotechnology, Atomic Energy
Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria
Full list of author information is available at the end of the article * Correspondence: ashanano@aec.org.sy
1Atomic Energy Commission of Syria (AECS), B.P. Box 6091, Damascus, Syria
2Department of Molecular Biology and Biotechnology, Atomic Energy
Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria
Full list of author information is available at the end of the article Page 2 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 xenobiotics were measured in brain tissue [7]. The affin-
ity of dioxins to lipids seems to be modulated by the
biochemical nature of the particular lipids concerned. The accumulation of dioxins was observed to be highest
in the lipid fraction composed of triglycerides than in
those composed of phospholipids [8]. Also, it is well
known that TCDD seriously affects lipid metabolism in
exposed mammals. For example, exposure to TCDD
increases membrane lipid oxidation and phospholipase
(PLA2) activity, which in turn could increase the pool of
free arachidonic acid (AA) [9, 10]. Moreover, exposure
to TCDD may target AA metabolism downstream of
PLA2 by inducing the enzymes which metabolize such
fatty acids, the cytochrome P450, the cyclooxygenase
and probably the lipoxygenase pathways [11, 12]. Background uptake of TCDD by Arabidopsis provoked an enhanced
level of hydrogen peroxide H2O2 and a massive stimula-
tion of anti-oxidative enzyme activities [20]. In the current
study, three main issues were therefore addressed: i)
Determination of the accumulation and translocation of
TCDD in the tissues of Arabidopsis during a whole
growth cycle. ii) Effect of TCDD on the chronology of
principal growth stages of Arabidopsis and its consequent
impact on plant yield. iii) As TCDD has a high affinity to
lipids, modifications in fatty acids content and their perox-
idation in Arabidopsis tissues and seeds after exposure to
TCDD were demonstrated. Findings from this work will
contribute to understand how plants respond to dioxins in
the environment, a question which is of great importance. At the bottom of the food chain, plants are increas-
ingly and persistently exposed to PCDD/Fs. Such xeno-
biotics cannot be used for nutrition or as a source of
energy, but are nevertheless taken up and accumulated
in plant tissues. PCDD/Fs-bioaccumulation in plant may
has a serious impact on plant health, but also can
contribute to bio-transmission of these xenobiotics to
the top of food chain. These concerns led research
efforts to focus on the biological capacity of plants to
uptake contaminants from the soil via their roots and
then translocate them into upper parts for storage, a
mechanism called phytoextraction [13]. Due to their
high hydrophobicity and low mobility, uptake of dioxins
may not be readily accomplished by a passive diffusion
in plants [14]. There are however, a very limited number
of reports about the capacity of a few plants to uptake
dioxins from the environment. For example, it has been
documented that a variety of zucchini plant (Cucurbita
pepo L.) accumulated various dioxin congeners and that
their accumulation in roots depended on their hydro-
phobicity [15]. Uptake by plants of polychlorinated
biphenyl (PCBs), few of them known also as dioxin-like
compounds, has been more commonly reported. It has
been found that some plant species, such as Solidago
canadensis, Vicia
cracca,
Chrysanthemum
sp.,
and
Polygonumpersicaria sp., specifically transmitted PCBs
into aerial parts and they are known as PCBs accumu-
lators [16, 17]. Results TCDD is up-taken and accumulated in Arabidopsis tissues
HR/GC-MS diagrams presented in Additional file 1 show
the presence of a single peak, corresponding to the TCDD
(RT = 5.22 ± 0.4 min), in the organic extracts from the
root of 30-days old Arabidopsis plants grown in the pres-
ence of various concentrations of TCDD 10, 50 and
100 ng L−1 (A, B and C, respectively). Similarly, the TCDD
peak was also detected in the extracts from the shoot of
the same plants (D, E and F). Compared to the standard Fig. 1 Detection and quantification of TCDD in Arabidopsis tissues by
HR/GC-MS. Plants were grown for 30-days in glass tubes containing
MS media supplemented with various concentrations of TCDD 0, 10,
50 and 100 ng L−1. In each treatment, shoots and roots of plant were
taken and subjected separately to the extraction and analysis of TCDD. Concentration of TCDD in plant tissues was expressed as pg g−1 fresh
weight. Inset, a representative HR/GC-MS diagram indicating the peak
of TCDD (Retention time ≈5.22) in the plant extract. Three
measurements were done for three individual plants. Data are
mean values ± SD (n = 6) In common with animals, plant lipids and their metabo-
lites, mainly those derived from C18-unsaturated fatty
acids are involved in many biological functions enabling
plant to overcome biotic and abiotic stress including
environmental
pollutants
[18,
19]. In
contrast,
the
biological connections between dioxins and plant lipids
remain largely unknown. We recently described that
TCDD
administration
to
Arabidopsis
plant
caused
phytotoxicity effects including a decrease in seed germin-
ation, in fresh weight and in chlorophyll content, but it
induced the formation of lateral roots. Additionally, the Fig. 1 Detection and quantification of TCDD in Arabidopsis tissues by
HR/GC-MS. Plants were grown for 30-days in glass tubes containing
MS media supplemented with various concentrations of TCDD 0, 10,
50 and 100 ng L−1. In each treatment, shoots and roots of plant were
taken and subjected separately to the extraction and analysis of TCDD. Concentration of TCDD in plant tissues was expressed as pg g−1 fresh
weight. Inset, a representative HR/GC-MS diagram indicating the peak
of TCDD (Retention time ≈5.22) in the plant extract. Three
measurements were done for three individual plants. Data are
mean values ± SD (n = 6) Fig. 1 Detection and quantification of TCDD in Arabidopsis tissues by
HR/GC-MS. TCDD affects lipid metabolism and induces a high level of
lipid peroxidation in Arabidopsis TCDD is known to affect lipids in mammals [10]. We
investigated whether it has the same effect in plants by
analyzing the content of the most abundant unsaturated
fatty acids i.e. oleic (C18:1), linoleic (C18:2) and linolenic
(C18:3) in post 36-day TCDD-exposed plants (Fig. 5a). TCDD exposure led to a decrease in the content of all
these fatty acids with linolenic acid being the most
affected. Compared with control, the content of C18:3
declined 2.3 fold in plant tissues after exposure to
50 ng L−1, while the contents of C18:2 and C18:1 were
reduced 1.7 and 1.3 fold, respectively. These results
suggest that exposure to TCDD provokes a net reduc-
tion of the C18-unsaturated FA content in Arabidopsis
tissues. Moreover, it is well known that the exposure of
plants to xenobiotic leads to lipid peroxidation [21]. To
test this possibility, we measured the levels of total lipid
peroxides over time in whole Arabidopsis plants after Results Plants were grown for 30-days in glass tubes containing
MS media supplemented with various concentrations of TCDD 0, 10,
50 and 100 ng L−1. In each treatment, shoots and roots of plant were
taken and subjected separately to the extraction and analysis of TCDD. Concentration of TCDD in plant tissues was expressed as pg g−1 fresh
weight. Inset, a representative HR/GC-MS diagram indicating the peak
of TCDD (Retention time ≈5.22) in the plant extract. Three
measurements were done for three individual plants. Data are
mean values ± SD (n = 6) Page 3 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 100 ng L−1 TCDD, respectively (Fig. 3). The stages of leaf
formation and siliques ripening were especially affected
with completion delayed 16 and 18 days at the highest dose
of TCDD (100 ng L−1). Therefore the subsequent delay in
flowering time (16 days) was marked. The duration of
germination and flowering stages were not influenced by
TCDD. Altogether, these data indicate that TCDD slows
down the Arabidopsis growth cycle mainly by affecting leaf
development and siliques maturation. curve of commercial TCDD (G), the content of TCDD in
plant tissues paralleled its initial concentration in the
media. Plants roots exposed to 10, 50 and 100 ng L−1 of
TCDD contained 22.6 ± 1.5, 71.3 ± 2.2 and 77.6 ± 2.4 pg g−1
FW TCDD, respectively (Fig. 1), while TCDD-content in
the shoots did not exceeded 14.4 ± 0.8, 47.1 ± 1.4 and 54.2
± 2.0 pg g−1 FW. The recovery of TCDD from the spiked
samples was approximately 97 % (data not shown). These
results indicate that TCDD is taken up by the roots and
subsequently
translocated
into
the
aerial
parts
of
Arabidopsis. TCDD uptake depends on the growth stage of
Arabidopsis The effect of TCDD on the productivity of Arabidopsis
was addressed. Seeds produced from TCDD-exposed
plants were qualitatively and quantitatively examined. First, siliques number per plant decreased markedly
from 80 siliques in non-exposed plants to 64, 45 and 43
siliques in TCDD-exposed plants at the indicated doses,
as shown in Fig. 4a. Moreover, the mean weight of
Arabidopsis seeds was seriously affected as a function of
TCDD administration. The mean weight per plant was sig-
nificantly reduced from 98 mg in control plants to 81, 64
and 61 mg in TCDD-exposed plants at indicated concen-
trations, respectively (Fig. 4a). Next, we examined the oil
content in the harvested seeds as a relationship of TCDD-
exposure. Figure 4b shows that seeds lost approximately 20,
50 and 54 % of their total oil as a result of TCDD treatment
with the indicated concentrations. Furthermore, the vitality
of seeds produced from the TCDD-treated plants have de-
creased by half compared with those produced from non-
treated plants (Fig. 4c). These results indicate that exposure
to TCDD yields plants with fewer seeds of a reduced oil
content and a low vitality. To determine a possible variation in the plant capacity to
uptake the TCDD throughout the plant life cycle, we
quantified the content of TCDD in Arabidopsis shoot and
root at different stages of development, corresponding to
6, 12, 24, 48 and 60 days after TCDD administration. As
shown in Fig. 2a, we started to detect the TCDD on day
12 in the shoot of Arabidopsis with its content reaching 6
± 0.8, 23 ± 1.3 and 26 ± 1.5 pg g−1 FW. TCDD content had
doubled on day 24 and tripled on day 36, then reached a
plateau on day 48 post TCDD-exposure. Similarly, TCDD
found to be detected in Arabidopsis root on day 12 and its
accumulation tended to peak 36 days after treatment
(Fig. 2b). Globally, the TCDD accumulation tended to be
superposed in the shoots and roots of Arabidopsis through-
out the plant life cycle. These data indicate that the TCDD
uptake capacity of Arabidopsis varies throughout its life
cycle and reaches its maximum on day 36. TCDD is accumulated mainly in leaves and seeds of
Arabidopsis We next evaluated the accumulation of TCDD in the
upper parts of the Arabidopsis plant: i.e. leaves, stem,
flowers, siliques and seeds. Leaves were the most active
accumulators of TCDD, followed by seeds and siliques
(Fig. 2c). Leaves accumulated TCDD at levels 5 to 6
times higher than stems and 10 to 15 times higher than
flowers. Thus it seems that TCDD accumulates preferen-
tially in leaves and seeds. TCDD shifts up the chronology of principal growth stages
of Arabidopsis We previously reported that TCDD had an inhibiting effect
on the seed germination of Arabidopsis and affected the
biomass and morphology of survival plants [20]. Here, we
investigated the chronological effect of TCDD on the life
cycle of the Arabidopsis plant including principal growth
stages: i.e. germination, leaf formation, flowering and
siliques ripening. Compared with controls, completion of
the growth stages of TCDD-treated plants were delayed 13,
24 and 30 days when they were exposed to 10, 50 and Hanano et al. BMC Plant Biology (2015) 15:193 Page 4 of 13 treatment with TCDD. The data in Fig. 5b shows that
lipid peroxides increased progressively and significantly
in TCDD exposed plants aged between 24 and 36 days
on days 48 and 60 but remained slightly higher in the
same tissues of control plants (Fig. 5b). These data sug-
gest that exposure to TCDD induces lipid peroxidation
Fig. 2 Differential accumulation of TCDD in various tissues of Arabidopsis as a function of the growth stage. Arabidopsis seeds were sown
directly on TCDD-supplemented MS media. TCDD content was quantified in the shoot (a) and in the root (b) of Arabidopsis by HR/GC-MS at the
indicated times. TCDD content was then quantified in the leaves, stem, flowers, siliques and seeds of 60-days old plants grown in the presence of
10, 50 and 100 ng L−1 TCDD (c). Three measurements were taken for three individual plants at indicate times. Values are mean ± SD (n = 6). FW: fresh weight Fig 2 Diff
ti l
l ti
f TCDD i
i
ti
f A bid
i
f
ti
f th
th t
A bid
i
d Fig. 2 Differential accumulation of TCDD in various tissues of Arabidopsis as a function of the growth stage. Arabidopsis seeds were sown
directly on TCDD-supplemented MS media. TCDD content was quantified in the shoot (a) and in the root (b) of Arabidopsis by HR/GC-MS at the
indicated times. TCDD content was then quantified in the leaves, stem, flowers, siliques and seeds of 60-days old plants grown in the presence of
10, 50 and 100 ng L−1 TCDD (c). Three measurements were taken for three individual plants at indicate times. Values are mean ± SD (n = 6). FW: fresh weight Fig. 2 Differential accumulation of TCDD in various tissues of Arabidopsis as a function of the growth stage. Arabidopsis seeds were sown
directly on TCDD-supplemented MS media. TCDD shifts up the chronology of principal growth stages
of Arabidopsis TCDD content was quantified in the shoot (a) and in the root (b) of Arabidopsis by HR/GC-MS at the
indicated times. TCDD content was then quantified in the leaves, stem, flowers, siliques and seeds of 60-days old plants grown in the presence of
10, 50 and 100 ng L−1 TCDD (c). Three measurements were taken for three individual plants at indicate times. Values are mean ± SD (n = 6). FW: fresh weight Fig. 2 Differential accumulation of TCDD in various tissues of Arabidopsis as a function of the growth stage. Arabidopsis seeds were sown
directly on TCDD-supplemented MS media. TCDD content was quantified in the shoot (a) and in the root (b) of Arabidopsis by HR/GC-MS at the
indicated times. TCDD content was then quantified in the leaves, stem, flowers, siliques and seeds of 60-days old plants grown in the presence of
10, 50 and 100 ng L−1 TCDD (c). Three measurements were taken for three individual plants at indicate times. Values are mean ± SD (n = 6). FW: fresh weight treatment with TCDD. The data in Fig. 5b shows that
lipid peroxides increased progressively and significantly
in TCDD-exposed plants aged between 24 and 36 days. Lipid peroxidation considerably declined in these plants on days 48 and 60 but remained slightly higher in the
same tissues of control plants (Fig. 5b). These data sug-
gest that exposure to TCDD induces lipid peroxidation
in Arabidopsis tissues. Page 5 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 Fig. 3 Chronological effect of TCDD on the principal growth stages of Arabidopsis plant. a. A representative image of plants growth in the
presence or absence of TCDD under in vitro conditions. Seeds were directly sown into MS-tubes and left for germination as described before. Image was taken on day 30 after sowing. b. Presentation idea is inspired from Boyes et al., [44]. Plants were grown in the presence of TCDD with
the indicated doses. Start-point and end-point for each stage of Arabidopsis development including germination, leaves formation, flowering and
siliques ripening were determined according to Boyes et al. [44]. Measurements for each stage were taken for six individual plants. Data are mean
values ± SD (n = 6) Fig. 3 Chronological effect of TCDD on the principal growth stages of Arabidopsis plant. a. A representative image of plants growth in the
presence or absence of TCDD under in vitro conditions. TCDD shifts up the chronology of principal growth stages
of Arabidopsis Seeds were directly sown into MS-tubes and left for germination as described before. Image was taken on day 30 after sowing. b. Presentation idea is inspired from Boyes et al., [44]. Plants were grown in the presence of TCDD with
the indicated doses. Start-point and end-point for each stage of Arabidopsis development including germination, leaves formation, flowering and
siliques ripening were determined according to Boyes et al. [44]. Measurements for each stage were taken for six individual plants. Data are mean
values ± SD (n = 6) Fig. 3 Chronological effect of TCDD on the principal growth stages of Arabidopsis plant. a. A representative image of plants growth in the
presence or absence of TCDD under in vitro conditions. Seeds were directly sown into MS-tubes and left for germination as described before. Image was taken on day 30 after sowing. b. Presentation idea is inspired from Boyes et al., [44]. Plants were grown in the presence of TCDD with
the indicated doses. Start-point and end-point for each stage of Arabidopsis development including germination, leaves formation, flowering and
siliques ripening were determined according to Boyes et al. [44]. Measurements for each stage were taken for six individual plants. Data are mean
values ± SD (n = 6) Page 6 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 Fig. 4 Effect of TCDD on seed yield of Arabidopsis. a. The final
number of siliques per plant was determined after the completion of
flower production. Yield is reported as the desiccated mass (mg) of
seed produced per plant. b. Seed oil content is expressed as
percentage of seed dry weight. c. Vitality of seeds produced from
TCDD-treated plants compared with seeds of non-treated plants. Ten
seeds were sown on MS-plate and left for germination as described
before. Three measurements were taken for three individual plants. Data are mean values ± SD (n = 6). DW: dry weight. Three independent
biological experiments were analyzed. Statistical significance of the
data was evaluated by ANOVA analysis. Asterisks indicate significant
differences between treatment and control: *P < 0.05 (significant);
**P < 0.01 (very significant) TCDD-induced hydroperoxides are essentially derived
from LOXs pathways Unsaturated fatty acid hydroperoxides can be formed either
chemically [22] or enzymatically under the action of
α-dioxygenases (α-DOX) [23] and lipoxygenases (LOX)
[24]. Arabidopsis contains six genes encode LOXs [25]
and at least two genes encode α-DOXs [26]. Transcrip-
tional analysis of LOXs genes showed an up-regulation of
LOX1, LOX4, LOX3 and LOX5 in whole plants aged
36 days after exposure to TCDD, whereas the expression
levels of LOX2 and LOX6 were not affected (Fig. 6a). The
expression of LOX1, LOX4, LOX3 and LOX5 was signifi-
cantly increased in treated plants for 36 days compared to
control and reached about 12, 11, 7 and 4.5 fold, respect-
ively (Fig. 6b). Accordingly, the hydroperoxides deriving
from C18:2 and C18:3, under 9-LOX and 13-LOX cataly-
sis, accumulated and reached their maximum on day 36
then declined on days 48 and 60. The accumulation of
hydroperoxide derivatives from C18:2 were higher than
those of C18:3, the highest being 9-HPOD (6.2 fold)
followed by 13-HPOD (5.1 fold) then 13-HPOT (4.0 fold)
and 9-HPOT (3.3 fold) as shown in Fig. 6c, d, e, f, g and h. These results taken together suggest that the exposure of
Arabidopsis to a high dose of TCDD leads to the accumu-
lation of fatty acid hydroperoxides probably resulting from
the up-regulation of LOX genes expression. Discussion
h a. Content of major C18-fatty acids (%) in Arabidopsis shoot on day 36 after exposure to
TCDD at indicated doses. b. Total hydroperoxides produced by untreated and TCDD-treated Arabidopsis tissues was monitored using FOX-1 assay
at various stage of development. Three independent plants were examined at each concentration of TCDD. Three measurements were taken per
extract. Data are mean values ± SD (n = 6). FW: fresh weight. Statistical significance of the data was evaluated by ANOVA analysis. Asterisks indicate
significant differences in lipid peroxides according to the plant age compared to germination stage (6 days): *P < 0.05 (significant); **P < 0.01
(very significant) Fig. 5 Lipid peroxidation as response to TCDD-exposure. a. Content of major C18-fatty acids (%) in Arabidopsis shoot on day 36 after exposure to
TCDD at indicated doses. b. Total hydroperoxides produced by untreated and TCDD-treated Arabidopsis tissues was monitored using FOX-1 assay
at various stage of development. Three independent plants were examined at each concentration of TCDD. Three measurements were taken per
extract. Data are mean values ± SD (n = 6). FW: fresh weight. Statistical significance of the data was evaluated by ANOVA analysis. Asterisks indicate
significant differences in lipid peroxides according to the plant age compared to germination stage (6 days): *P < 0.05 (significant); **P < 0.01
(very significant) natural ability of various plant species to take up dioxins/
furans from their environment [27–30]. From the upper
parts, we observed that the highest levels of TCDD were
found in leaves and mature seeds of Arabidopsis. The
accumulation of TCDD in seeds can be explained by the
high affinity of TCDD toward lipids that are abundantly
present in Brassicaceae seeds [31]. Indeed, it is well known
that dioxins essentially bioaccumulate in animal fats
because of their high lipophilicity [6]. Accordingly, dioxin
and dioxin-like compounds were often detected in rape
and olive oils [32, 33]. Moreover, the sorption of hydro-
phobic organic compounds (HOC) by lipid bodies of
rapeseeds as a HOC-removal strategy is well documented
[34, 35]. Similarly, the high concentration of TCDD in
leaves might result from the high affinity of TCDD for the
lipid-membrane of chloroplasts, mitochondria and peroxi-
somes. In this context, it is known that the major
xenobiotic-oxidations catalyzed by enzymatic systems take
place in the endoplasmic reticulum and in the membrane
of chloroplasts and peroxisomes [36]. Discussion
h We have recently reported that the immediate uptake of
2,3,7,8-TCDD by Arabidopsis yielded various phytotoxi-
cological effects [20]. Herein, we have shown that the
accumulation and translocation of TCDD in Arabidopsis
plant depended on the growth stage. Moreover, TCDD-
exposed Arabidopsis plants were affected in their lipid
metabolism, flowered late and produced less seeds than
non-exposed plants. These results are summarized in Fig. 7. Using HR/GC-MS analysis, we showed that TCDD-
accumulation in Arabidopsis plants was ordered in a
tissues-specific manner, mainly in the root and less in
the shoot. These estimations confirm our previous data
[20] and come in line with previous reports on the We have recently reported that the immediate uptake of
2,3,7,8-TCDD by Arabidopsis yielded various phytotoxi-
cological effects [20]. Herein, we have shown that the
accumulation and translocation of TCDD in Arabidopsis
plant depended on the growth stage. Moreover, TCDD-
exposed Arabidopsis plants were affected in their lipid
metabolism, flowered late and produced less seeds than
non-exposed plants. These results are summarized in Fig. 7. Using HR/GC-MS analysis, we showed that TCDD-
accumulation in Arabidopsis plants was ordered in a
tissues-specific manner, mainly in the root and less in
the shoot. These estimations confirm our previous data
[20] and come in line with previous reports on the Hanano et al. BMC Plant Biology (2015) 15:193 Page 7 of 13 Page 7 of 13 Fig. 5 Lipid peroxidation as response to TCDD-exposure. a. Content of major C18-fatty acids (%) in Arabidopsis shoot on day 36 after exposure to
TCDD at indicated doses. b. Total hydroperoxides produced by untreated and TCDD-treated Arabidopsis tissues was monitored using FOX-1 assay
at various stage of development. Three independent plants were examined at each concentration of TCDD. Three measurements were taken per
extract. Data are mean values ± SD (n = 6). FW: fresh weight. Statistical significance of the data was evaluated by ANOVA analysis. Asterisks indicate
significant differences in lipid peroxides according to the plant age compared to germination stage (6 days): *P < 0.05 (significant); **P < 0.01
(very significant) Fig. 5 Lipid peroxidation as response to TCDD-exposure. a. Content of major C18-fatty acids (%) in Arabidopsis shoot on day 36 after exposure to
TCDD
i di
d d
b T
l h d
id
d
d b
d
d TCDD
d A bid
i
i
i
d
i
FOX 1 Fig. 5 Lipid peroxidation as response to TCDD-exposure. Discussion
h The four
major hydroperoxide fatty acids (9-HPOD, 13-HPOD, 9-HPOT, and 13-HPOT) of Arabidopsis were extracted and quantified as described in methods. For each hydroperoxide, three measurements were taken in three individual plants. Data are mean values ± SD (n = 6). FW: fresh weight. Statistical
significance of the data was evaluated by ANOVA analysis and Duncan’s multiple range test. Asterisks indicate significant differences in lipid
peroxides according to the plant age compared to germination stage (6 days): *P < 0.05 (significant); **P < 0.01 (very significant) family transporters engaged in transport of organic xenobi-
otics [39]. From them, P-glycoprotein, identified in plants
[40] as a vacuolar glutathione-conjugate transporter, has
some attractions to be involved in TCDD transportation. Another possible and potential transporter of TCDD can
be a protein, called MRP (Multidrug Resistance-associated
Protein), which is recognized as a glutathione-conjugate
transporter [41, 42]. However, the nature and the mechan-
ism of TCDD transportation is still yet uncharacterized. The chemical transformation of lipophilic xenobiotics in
plants is of two types: phase I, the activation reactions and
phase II, the conjugation reactions. The primary function
of the phase I is to create reactive sites in the xenobiotic
by the addition of functional groups (e.g. hydroxyl or
carboxyl) which make it more hydrophilic and prepare it
therefore for phase II reactions, the conjugation to gluta-
thione [38]. After having achieved these two protective
phases, such xenobiotics are transported and accumulated
in apoplastic cell walls or central vacuoles in plant cells. Biochemical, molecular, and genetic evidences have been
reported on the functions of a handful of ATP-binding
cassette and multidrug and toxic compound extrusion The chemical transformation of lipophilic xenobiotics in
plants is of two types: phase I, the activation reactions and
phase II, the conjugation reactions. The primary function
of the phase I is to create reactive sites in the xenobiotic
by the addition of functional groups (e.g. hydroxyl or
carboxyl) which make it more hydrophilic and prepare it
therefore for phase II reactions, the conjugation to gluta-
thione [38]. After having achieved these two protective
phases, such xenobiotics are transported and accumulated
in apoplastic cell walls or central vacuoles in plant cells. Biochemical, molecular, and genetic evidences have been
reported on the functions of a handful of ATP-binding
cassette and multidrug and toxic compound extrusion p
y
A chronological effect on the principle growth stages has
been also observed. Discussion
h Accordingly, data
published from proteomic analyses carried out on whole tissue/organ preparations of Arabidopsis revealed a total
of 265 environmental stress responding proteins. Most of
them were located in chloroplast, mitochondria and per-
oxisome [37]. Thus, accumulation of dioxins in vegetative
tissues and in seeds may reflect their biological fate in
plants and suggest a possible tissue-specific mechanism
for accumulation and subsequent detoxification of TCDD
in plants. A point of a particular importance is the mechanism
responsible of translocation of TCDD in plant. Although
the molecular and biochemical mechanisms involved in
reception, translocation, genes activation and enzymes
metabolism of TCDD are well documented in mammals,
no data however are available to date about these mecha-
nisms in plants. As many of xenobiotics including dioxins
are highly lipophilic, they can accumulate to toxic levels in
the plant tissues, unless effective means of detoxification
are present. In the case of TCDD, one of the most active
detoxification systems in plants can probably disposed of
this xenobiotic by two sequential processes: a chemical
transformation and a subsequent compartmentation [38]. Hanano et al. BMC Plant Biology (2015) 15:193 Page 8 of 13 Fig. 6 (See legend on next page.) Page 9 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 (See figure on previous page.)
Fig. 6 Accumulation of LOX-derived fatty acids hydroperoxides in TCDD-exposed Arabidopsis. a. Transcriptional fold changes of lipoxyganse
encoding genes (LOXs) in whole plants after exposure to TCDD (0, 10, 50 and 100 ng L−1) for 6, 12, 24, 36, 48 and 60 days. For each gene, the
transcript level was estimated by qRT-PCR as described in methods. b. Quantification of LOX genes expression in Arabidopsis tissues after
treatment with indicated concentrations of TCDD for 36 days. Three measurements were taken in three cDNAs prepared from three individual
plants for each TCDD-treatment. Different lowercase letters indicate significant differences in the expression for each LOX gene according to
various concentrations of TCDD and control: aP < 0.05 (significant); bP < 0.01 (very significant). Asterisks indicate significant differences between the
expression of LOXs genes according to each treatment: *P < 0.05 (significant); **P < 0.01 (very significant). c and d. UV-HPLC-separation of
9- or 13-HPOD and 9- or 13-HPOT extracted from TCDD-exposed Arabidopsis tissues at different stages of development. e, f, g and h. Discussion
h Regardless of the level of exposure, our
results showed that the TCDD-content was maximal on
day 36 post-administration. At this developmental stage,
Arabidopsis possesses a complete rosette growth and an
initial emergence of inflorescence. The high level of TCDD
found in plant tissues at this stage of growth could be
explained by the optimal development and extension of the
lateral roots of Arabidopsis which seemed to be induced by
TCDD [43]. Moreover, the biomass of vegetative tissues
reached its maximum in this stage [20, 44]. Absorption of
TCDD delayed flowering time (up to 16 days at highest
dose of TCDD) through presently undetermined mecha-
nisms. One possible mode of action of TCDD might be
linked to its up-regulation of various MYB transcription
factor genes in the root of Arabidopsis [20]. Flowering time
is in part regulated through the transcriptional regulation
of Flowering Locus T (FLT). Interestingly, it was recently
reported that a MYB transcription factor Early Flowering
MYB protein (EFM) plays an important role in directly
repressing FLT expression in the root and leaf vasculature
under normal conditions [45]. Following this hypothesis,
the activating of MYB factors by TCDD would repress FLT
and thus delays flowering. Alternatively, the strong decline
of C18:3 might indicate a role of PUFAs in response to
TCDD. In particular, TCDD might act through oxidized
lipids. We observed here that the amount of lipid peroxides
tripled 36 days after exposure to TCDD, this effect seems
similar to the previous increase level of lipid peroxides in
suspensions of tobacco cells when submitted to dioxins
exposure [28]. Lipid oxidation is derived from chemical and
enzymatic processes [24]. However the parallel rise in Fig. 7 Representative schema for TCDD accumulation and its
subsequent physiological and biochemical effects on Arabidopsis. TCDD is up-taken by the root and accumulated into the upper parts
especially in the leaves and the mature seeds. The salient biological
features affected by TCDD-exposed plant are: flowering time, siliques
repining and seeds yield. Polyunsaturated fatty acids (PUFAs) and
their metabolism are seriously alerted by TCDD. Thus, the role of
lipid metabolism as a response to TCDD-exposure in plant merits a
particular focus Fig. 7 Representative schema for TCDD accumulation and its
subsequent physiological and biochemical effects on Arabidopsis. TCDD is up-taken by the root and accumulated into the upper parts
especially in the leaves and the mature seeds. TCDD analysis by HR-GC/MS TCDD analysis by HR-GC/MS
2,3,7,8-TCDD content was quantified in the cleaned
extracts of plant tissues of Arabidopsis by GC/MS using
an Agilent Technologies 7890 GC System (USA) coupled
to an AMD 402 high resolution mass spectrometer
(Germany). Details of the MS analysis and quality control
are described in EPA methods 1613B and 1668A. One-μL
aliquot of the sample was injected into an Agilent DB-5
MS fused silica capillary column (60 m × 250 μm ID, film
thickness 0.25 μm) with helium as carrier gas at a constant
flow rate of 1.6 mL min−1. The oven temperature program
was as described by Shen et al., [51] as following: start at
150 °C, held for 1 min, increased to 200 °C at 12 °C min−1,
increased to 235 °C at 3 °C min−1 and held for 8 min, and
finally increased to 290 °C at 8 °C min−1 and held for
20 min. Quantification was performed using an isotope
dilution method. Extraction and cleanup of TCDD from plant tissues Extraction and cleanup of TCDD from plant tissues
The extraction and cleanup of TCDD were carried out as
described before [20]. In brief, approximately two grams
of plant tissues were ground in liquid nitrogen with a
ceramic mortar and pestle. Powders were mixed with
2 mL of 37 % HCl and 5 mL of 2-propanol, homogenized
and then extracted with 3 mL of hexane by shaking
vigorously overnight. After a brief centrifugation, the
organic phase was taken for a second extraction for an
hour. The combined extracts were evaporated to dryness
and re-dissolved in 1 mL of hexane, acidified with 125 μL
HCl (2 M) and then extracted twice with 1 mL of hexane. The extract were cleaned up with the small column (0.5 g
anhydrous Na2SO4 on top, 1.0 g of florisil at the bottom). This column was activated with 3 mL of dichloromethane
(DCM)/hexane/methanol (50:45:5) and then with 5 mL
DCM/hexane/methanol of for elution. The eluates were
evaporated to dryness and dissolved in 100 μL hexane for
GC/MS analysis. A spiked sample with a known concen-
tration of TCDD (50 ng mL−1) was done to validate our
extraction and purification procedure. Methods Arabidopsis culture conditions and TCDD treatment
Arabidopsis thaliana ecotype Columbia 0 (Col0) seeds
were sterilized with 70 % alcohol and spread on solid
Murashige and Skoog (Duchefa Biochimie, Netherlands)
medium supplemented with 1.5 % sucrose. 2,3,7,8-tetra-
chlorodibenzo-p-dioxin (2,3,7,8-TCDD dissolved in tolu-
ene at 10 μg mL−1, purity 99 %) was purchased from
Supelco Inc., USA. Arabidopsis seeds were sown directly
into glass tubes (30 cm length × 2.5 cm diameter) con-
taining 25 mL of MS media already prepared, autoclaved
and supplemented with 2,3,7,8-TCDD at various concen-
trations 0, 10, 50 and 100 ng L−1. Toluene was added
into the control plate to account for the effects of this
solvent. Culture conditions were adjusted as we previ-
ously described [20]. Responses to TCDD were analyzed
along of plant life cycle. To determine the chronological Discussion
h The salient biological
features affected by TCDD-exposed plant are: flowering time, siliques
repining and seeds yield. Polyunsaturated fatty acids (PUFAs) and
their metabolism are seriously alerted by TCDD. Thus, the role of
lipid metabolism as a response to TCDD-exposure in plant merits a
particular focus Page 10 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 transcripts levels of 9-LOX and 13-LOX genes with the
accumulations of 9- and 13-OOH deriving from linolei (n)
ic acids suggests that the Arabidopsis response to TCDD
occurred predominantly via LOX pathway. The involve-
ment of the LOX pathway in responses of plants to tress-
induced senescence [46] and heavy metals tolerance [47]
has been reported. The LOX pathway is also involved dur-
ing the regulation of lateral root development and flowering
[48]. In particular, transition from vegetative growth to
flowering in Arabidopsis was associated with the accumula-
tion of 13-HPOT, resulting from the oxidation of linolenic
acid by LOX [49]. It is tempting to hypothesize that the
delay of accumulation of 13-HOO-FA in TCDD-treated
plants might postpone flowering time. In addition oxylipins
deriving from the reduction of 13-OOH-FA might play a
role in the control of flowering transition. Indeed, overex-
pression of the caleosin/peroxygenase RD20 that catalyzes
the formation of OH-FA led to early flowering whereas
plants deprived of this caleosin flowered later than the
control [50]. effect of TCDD, the timing and therefore the period of
the main four stages of plant development including
germination, leaves formation, flowering and siliques
ripening were measured in the presence or absence of
TCDD. The Start-point and end-point for each stage
were determined according to Boyes et al., [44]. Representa-
tive plant tissues were separately frozen in liquid nitrogen
and kept at – 80 °C for TCDD extraction procedures. Conclusions In conclusion, as Fig. 7 summarized, the current work
highlights a side of toxicological effects related to the
administration of 2,3,7,8-TCDD on the Arabidopsis
plant. In a tissue-specific manner, the highest TCDD
levels were detected in rosette leaves and mature seeds
and affected lipid metabolism. Similarly to animals,
plants may accumulate TCDD in their lipids by involving
few of the FA-metabolizing enzymes for sculpting a new
oxylipins “signature” typified to plant TCDD-tolerance. Together, our results will contribute to a better under-
standing of the mechanisms adopted by plants in
response to dioxin contamination, and therefore, these
potential strategies protect the plants as well as their
environment. Total lipid extraction and fatty acid quantification Total lipid extraction and fatty acid quantification
Mature seeds were harvested from TCDD-treated or
control plants and analyses were performed on 2 mg of
dried seeds. For plant tissues lipid analysis, 36-day old
plant shoot was taken from control and TCDD-treated Page 11 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 Page 11 of 13 plants (100 mg). Total fatty acid was extracted with
chloroform/methanol (1:2) (v/v) and were then methyl-
ated using 1 % (v/v) sulfuric acid in methanol at 100 °C
for 2 h, as described previously [52]. The resulting fatty
acid methyl esters (FAMEs) were extracted in hexane and
analyzed by a GC-MS (Agilent 6850) as described previ-
ously by Murayama et al., [53]. FAs were identified and
their relative amounts were calculated from their respect-
ive chromatographic peak areas compared with a FAME
mixture used as a fatty acid standard. Seed lipids content
was expressed as percentage of dry weight and the content
in FAs was related to the fresh weight of plant tissues and
later transformed into percentages of the total fatty acids
obtained as described previously [43]. and their quantification were carried out on a Jasco
LC-2000 plus series HPLC system (Jasco, USA) using a
UV-detector (RF-10Axl, Shimadzu) (234 nm) and a C18
column (Eclipse XDB-C18 150 × 4.6 mm, 5 μm; Agilent,
USA). The analysis was performed using a mobile
phase of acetonitrile/water/acetic acid (50/50/0.1, v/v/v)
at a flow rate of 0.6 mL min−1. FA-hydroperoxides were
quantified using their respective standards. Fatty acid hydroperoxides characterization Fatty acids hydroperoxides were extracted from Arabidop-
sis tissues and analyzed according to Göbel et al., [55] with
brief modifications. Two grams of plant tissues were imme-
diately ground in liquid nitrogen. After adding 10 mL of
extraction solvent (n-hexane:2-propanol, 3/2 (v/v) with
0.025 % (w/v) butylated hydroxytoluene), mixture was
immediately ultra-homogenized for 30 s on ice. A spiked
sample with 10 μM of each hydroperoxide was used as a
control. The extract was then shaken for 10 min and
centrifuged at 3,000 × g at 4 °C for 10 min. The upper phase
was collected, and a 6.7 % (w/v) solution of potassium
sulfate was added up to a volume of 16.2 mL. After vigor-
ous shaking and a brief centrifugation at 4 °C for 10 min
the upper layer was subsequently taken and dried under
streaming nitrogen. Hydroperoxides were taken within
25 μL of acetonitrile/water/acetic acid (50/50/0.1) (v/v/v) RNA extraction, reverse transcription and quantitative
RT-PCR Two grams of plant material were used to total RNA ex-
traction using an RNeasy kit according to the manufac-
turer’s instructions (Qiagen, Germany). Quality of extracted
RNAs was controlled on agarose gel and their concentra-
tion was measured by Nanodrop (Nano Vue, GE Health-
care). Reverse transcription reaction (RT) was carried out
according to Hanano et al., [56]. Real-time PCR was per-
formed in 48-well plates using a StepOne cycler from Ap-
plied Biosystems, USA as described by Czechowski et al. [57]. Briefly, 25 μL reaction mixtures contained 0.5 μΜ of
each specific oligonucleotide primer for the target (LOXs)
and the reference genes (SAND and TIP41) (Table 1),
12.5 μL of SYBR Green PCR mix (Bio-Rad, USA) and
100 ng cDNA. QPCR conditions were as described before
[20]. The relative expression of target genes was normalized
using two reference genes SAND and TIP41 [58]. Each
point was replicated in triplicate and the average of CT was
taken. Subsequently, the relative quantification RQ of LOXs
gene was calculated directly by the software of the qPCR
system. The sequences of amplified regions were confirmed
by sequencing on an ABI 310 Genetic Analyzer (Applied
Biosystems)
using
Big
Dye Terminator
kit
(Applied
Biosystems). Lipid peroxides quantification FOX-1 assay was applied to monitoring the total hydro-
peroxides produced by untreated and TCDD-treated
Arabidopsis tissues as described by Jiang et al., [54]. Total hydroperoxides was analyzed spectrophotometric-
ally assay by measuring the oxidation of xylenol orange
(FOX-1) at 560 nm. References 1. Pollitt F. Polychlorinated dibenzodioxins and polychlorinated dibenzofurans. Regul Toxicol Pharmacol. 1999;30:63–8. 1. Pollitt F. Polychlorinated dibenzodioxins and polychlorinated dibenzofurans. Regul Toxicol Pharmacol. 1999;30:63–8. 1. Pollitt F. Polychlorinated dibenzodioxins and polychlorinated dibenzofurans. Regul Toxicol Pharmacol. 1999;30:63–8. 2. Poland A, Knutson JC. 2,3,7,8-tetrachlorodibenzo-p-dioxin and related
halogenated aromatic hydrocarbons: examination of the mechanism of
toxicity. Annu Rev Pharmacol Toxicol. 1982;22:517–54. 3. Huuskonen H, Unkila M, Pohjanvirta R, Tuomisto J. Developmental toxicity
of 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) in the most TCDD-resistant
and -susceptible rat strains. Toxicol Appl Pharmacol. 1994;124(2):174–80. 4. Baker TK, Kwiatkowski AP, Madhukar BV, Klaunig JE. Inhibition of gap junctional
intercellular communication by 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) in
rat hepatocytes. Carcinogenesis. 1995;16(10):2321–6. 5. Lindén J, Lensu S, Tuomisto J, Pohjanvirta R. Dioxins, the aryl hydrocarbon
receptor and the central regulation of energy balance. Front
Neuroendocrinol. 2010;31:452–78. 6. Ulaszewska MM, Zuccato E, Davoli E. PCDD/Fs and dioxin-like PCBs in
human milk and estimation of infants' daily intake: a review. Chemosphere. 2011;83(6):774–82. 26. Bannenberg G, Martínez M, Rodríguez MJ, López MA, Ponce De León I,
Hamberg M, et al. Functional Analysis of α-DOX2, an Active α-Dioxygenase
Critical for Normal Development in Tomato Plants. Plant Physiol. 2009;151:1421–32. Regul Toxicol Pharmacol. 1999;30:63–8. 2. Poland A, Knutson JC. 2,3,7,8-tetrachlorodibenzo-p-dioxin and related
halogenated aromatic hydrocarbons: examination of the mechanism of
toxicity. Annu Rev Pharmacol Toxicol. 1982;22:517–54. 3. Huuskonen H, Unkila M, Pohjanvirta R, Tuomisto J. Developmental toxicity
of 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) in the most TCDD-resistant
and -susceptible rat strains. Toxicol Appl Pharmacol. 1994;124(2):174–80. 4. Baker TK, Kwiatkowski AP, Madhukar BV, Klaunig JE. Inhibition of gap junctional
intercellular communication by 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) in
rat hepatocytes. Carcinogenesis. 1995;16(10):2321–6. 5. Lindén J, Lensu S, Tuomisto J, Pohjanvirta R. Dioxins, the aryl hydrocarbon
receptor and the central regulation of energy balance. Front
Neuroendocrinol. 2010;31:452–78. 6. Ulaszewska MM, Zuccato E, Davoli E. PCDD/Fs and dioxin-like PCBs in
human milk and estimation of infants' daily intake: a review. Chemosphere. 2011;83(6):774–82. 2. Poland A, Knutson JC. 2,3,7,8-tetrachlorodibenzo-p-dioxin and related
halogenated aromatic hydrocarbons: examination of the mechanism of
toxicity. Annu Rev Pharmacol Toxicol. 1982;22:517–54. 27. Wang Y, Oyaizu H. Evaluation of the phytoremediation potential of four
plant species for dibenzofuran-contaminated soil. J Hazard Mater. 2009;168(2–3):760–4. 3. Huuskonen H, Unkila M, Pohjanvirta R, Tuomisto J. Developmental toxicity
of 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) in the most TCDD-resistant
and -susceptible rat strains. Toxicol Appl Pharmacol. 1994;124(2):174–80. 28. Zhang B, Zhang H, Jin J, Ni Y, Chen J. Additional file 9. Al-Bayati ZA, Stohs SJ. The possible role of phospholipase A2 in hepatic
microsomal lipid peroxidation induced by 2,3,7,8-tetrachlorodibenzo-p-dioxin
in rats. Arch Environ Contam Toxicol. 1991;20(3):361–5. Additional file 1: Detection of TCDD in Arabidopsis tissues by
HR/GC-MS. Diagrams indicate the presence of TCDD (Retention time ≈
5.22) in the root (A, B and C) and in the shoot (D, E, and F) of 30-days old
Arabidopsis exposed to various concentrations of TCDD 10, 50 and
100 ng L−1, respectively. G. TCDD standard. Three measurements were
taken for three individual plants. Data are mean values ± SD (n = 6). (PDF 204 kb) Additional file 1: Detection of TCDD in Arabidopsis tissues by
HR/GC-MS. Diagrams indicate the presence of TCDD (Retention time ≈ HR/GC MS. Diagrams indicate the presence of TCDD (Retention time
5.22) in the root (A, B and C) and in the shoot (D, E, and F) of 30-days old
Arabidopsis exposed to various concentrations of TCDD 10, 50 and
100 ng L−1, respectively. G. TCDD standard. Three measurements were
taken for three individual plants. Data are mean values ± SD (n = 6). (PDF 204 kb) 10. Lawrence BP, Kerkvliet NI. Role of altered arachidonic acid metabolism in
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C57Bl/6 mice. Toxicol Sci. 1998;42(1):13–22. 11. Rifkind AB, Gannon M, Gross SS. Arachidonic acid metabolism by
dioxin-induced cytochrome P-450: a new hypothesis on the role of
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dioxin-induced cytochrome P-450: a new hypothesis on the role of
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regioisomer selectivity and immunochemical comparison of the
TCDD-induced P450s to CYP1A4 and 1A5. Toxicol Appl Pharmacol. 1998;150(1):106–16. Abbreviations 9-HPOD: 9 (S)-hydroperoxyoctadecadienoic acid; 13-HPOD: 13
(S)-hydroperoxyoctadecadienoic acid; 9-HPOT: 9
(S)-hydroperoxyoctadecatrienoic acid; 13-HPOT: 13
(S)-hydroperoxyoctadecatrienoic acid; TCDD: 2,3,7,8-polychlorinateddibenzo-
p-dioxins; PCDDs: Polychlorinated dibenzo-p-dioxins; PCDFs: Polychlorinated
dibenzofurans; PUFAs: Polyunsaturated fatty acids; TEF: Toxic equivalency
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advances and new possibilities. Environ Sci Technol. 2005;39(24):9377–90. 14. Collins C, Fryer M, Grosso A. Plant uptake of non ionic organic chemicals. Environ Sci Technol. 2006;40(1):45–52. Statistical analysis All data presented were expressed as means ± standard de-
viation (SD). Statistical analysis was performed using STA-
TISTICA software, version10 (StatSoft Inc.). Comparisons
between control and treatments were evaluated by ANOVA Table 1 List of primers used in this study
Gene
AGI
Amplicon (bp)
Forward primer (5'-3')
Reverse primer (5'-3')
LOX1
At1g55020
168
CACATGAAACACCAGCGACG
GTGTCCCTCCAAGTACAGGC
LOX2
At3g45140
190
CGATGTTGGTGACCCTGACA
TGAAGTGCCCTTGGCTGTAG
LOX3
At1g17420
143
ACGACCTTGGAAATCCCGAC
TGGCTTCTCTACTCGGCTCT
LOX4
At1g72520
152
GGCGGGTGGAGAAACCATTA
AGCGAAGTCCTCAGCCAAAA
LOX5
At3g22400
111
GGCTCTCCCAAAAGACCTCC
TCTAAACCGTCGACCGCAAA
LOX6
At1g67560
198
TTCGGACAGTACCCGTTTGG
GTCAGGGGAATGCGTTGAGA
DIOX
At3g01420
113
AGACATTGTTCCCCACGACC
TGAACTCGTTGTACCGTGGG
SAND
AT2G28390
76
GGATTTTCAGCTACTCTTCAAGCTA
CTGCCTTGACTAAGTTGACACG
TIP41
AT4G34270
96
GAACTGGCTGACAATGGAGTG
ATCAACTCTCAGCCAAAATCG Table 1 List of primers used in this study Page 12 of 13 Page 12 of 13 Hanano et al. BMC Plant Biology (2015) 15:193 analysis and multiple comparisons, Duncan’s multiple range
test. Difference from control was considered significant as
P < 0.05 or very significant as P < 0.01. 7. Ishida T, Matsumoto Y, Takeda T, Koga T, Ishii Y, Yamada H. Distribution of
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polychlorinated biphenyl-(PCB-) contaminated soil. Int J Phytoremediation. 2006;8(3):199–221. AH carried out the experiments related to lipid metabolism, designed and
wrote the manuscript. IA, MS, NM, AS and EA carried out all experimental
work. All authors read and approved the final manuscript. 17. Ficko SA, Rutter A, Zeeb BA. Potential for phytoextraction of PCBs from
contaminated soils using weeds. Sci Total Environ. 2010;408(16):3469–76. Competing interests 15. Inui H, Wakai T, Gion K, Yamazaki K, Kim YS, Eun H. Congener specificity in
the accumulation of dioxins and dioxin-like compounds in zucchini plants
grown hydroponically. Biosci Biotechnol Biochem. 2011;75:705–10. The authors declare that they have no competing interests. The authors declare that they have no competing interests. Acknowledgements 18. Howe GA, Schilmiller AL. Oxylipin metabolism in response to stress. Curr
Opin Plant Biol. 2002;5(3):230–6. We would like to thank Prof. Dr. Ibrahim OTHMAN, Director General of the
AECS and Dr. Nizar MIRALI, Head of the Department of Molecular Biology
and Biotechnology for their support. We also kindly thank Dr. Raimo
POHJANVIRTA, School of Pharmacy, University of Eastern Finland, Finland, Dr. Elizabeth BLEE, IBMP of Strasbourg, France and Peter LAMONT from Ecology
Department of Scottish Marine Institute, UK for their precious help in
criticizing reading of the manuscript. 19. Eckardt NA. Oxylipin signaling in plant stress responses. Plant Cell. 2008;20(3):495–7. 20. Hanano A, Almousally I, Shaban M. Phytotoxicity effects and biological
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1 1Atomic Energy Commission of Syria (AECS), B.P. Box 6091, Damascus, Syria. 2Department of Molecular Biology and Biotechnology, Atomic Energy
3 1Atomic Energy Commission of Syria (AECS), B.P. Box 6091, Damascus, Syria. 2Department of Molecular Biology and Biotechnology, Atomic Energy
Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria. 3Department of
Chemistry, Atomic Energy Commission of Syria (AECS), P.O. Box 6091,
Damascus, Syria. 4Department of Protection and Safety, Atomic Energy
C
i i
f S i (AECS) P O B
6091 D
S i 1Atomic Energy Commission of Syria (AECS), B.P. Box 6091, Damascus, Syria. 2Department of Molecular Biology and Biotechnology, Atomic Energy 1Atomic Energy Commission of Syria (AECS), B.P. Box 6091, Damascus, Syria. 2Department of Molecular Biology and Biotechnology, Atomic Energy
Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria. 3Department of
Chemistry, Atomic Energy Commission of Syria (AECS), P.O. Box 6091,
Damascus, Syria. 4Department of Protection and Safety, Atomic Energy
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Chemistry, Atomic Energy Commission of Syria (AECS), P.O. Box 6091, Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria. 3Department of
Chemistry, Atomic Energy Commission of Syria (AECS), P.O. Box 6091,
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plants: identification of a pathogen-inducible oxygenase (piox) as an
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Chem. 1999;274:24503–13. Damascus, Syria. 4Department of Protection and Safety, Atomic Energy
Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria. Damascus, Syria. 4Department of Protection and Safety, Atomic Energy
Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria. Damascus, Syria. 4Department of Protection and Safety, Atomic Energy
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2.
Poland A, Knutson JC. 2,3,7,8-tetrachlorodibenzo-p-dioxin and related
halogenated aromatic hydrocarbons: examination of the mechanism of
toxicity. Annu Rev Pharmacol Toxicol. 1982;22:517–54.
3.
Huuskonen H, Unkila M, Pohjanvirta R, Tuomisto J. Developmental toxicity
of 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) in the most TCDD-resistant
and -susceptible rat strains. Toxicol Appl Pharmacol. 1994;124(2):174–80.
4.
Baker TK, Kwiatkowski AP, Madhukar BV, Klaunig JE. Inhibition of gap junctional
intercellular communication by 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) in
rat hepatocytes. Carcinogenesis. 1995;16(10):2321–6.
5.
Lindén J, Lensu S, Tuomisto J, Pohjanvirta R. Dioxins, the aryl hydrocarbon
receptor and the central regulation of energy balance. Front
Neuroendocrinol. 2010;31:452–78.
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• Convenient online submission
• Thorough peer review
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• Immediate publication on acceptance
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and take full advantage of: 50. Blee E, Boachon B, Burcklen M, Le Guedard M, Hanano A, Heintz D, et al. The reductase activity of the Arabidopsis caleosin RESPONSIVE TO
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acid sensitivity, and tolerance to oxidative stress. Plant Physiol. 2014;166(1):109–24. • Convenient online submission 51. Shen H, Han J, Tie X, Xu W, Ren Y, Ye C. Polychlorinated dibenzo-p-dioxins/furans
and polychlorinated biphenyls in human adipose tissue from Zhejiang Province. China Chemosphere. 2009;74(3):384–8. 52. Katavic V, Reed DW, Taylor DC, Giblin EM, Barton DL, Zou J, et al. Alteration
of seed fatty acid composition by an ethyl methanesulfonate-induced
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activity. Plant Physiol. 1995;108(1):399–409. 52. Katavic V, Reed DW, Taylor DC, Giblin EM, Barton DL, Zou J, et al. Alteration
of seed fatty acid composition by an ethyl methanesulfonate-induced
mutation in Arabidopsis thaliana affecting diacylglycerol acyltransferase
activity. Plant Physiol. 1995;108(1):399–409.
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Megaeventos e Turismo: um estudo bibliométrico dos periódicos brasileiros de turismo
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ISSN: 1983-7151
Megaeventos e Turismo: um
estudo bibliométrico dos
periódicos brasileiros de
turismo
Mega-events and Tourism: a bibliometric study of Brazilian
tourism journals
Mega eventos y turismo: un estudio bibliométrico de los
periódicos brasileños de turismo
Amanda Cabral da Silva
Universidade de São Paulo – USP.
Mestranda em Turismo na Escola de Artes, Ciências e Humanidades da
Universidade de São Paulo - USP.
São Paulo, São Paulo, Brasil.
amanda.cabral012@gmail.com
Debora Cordeiro Braga
Universidade de São Paulo – USP.
Docente do Programa de pós-graduação em Turismo da Escola de Artes, Ciências
e Humanidades da Universidade de São Paulo – USP.
Doutora Ciências da Comunicação pela Escola de Comunicações e Artes da
Universidade de São Paulo – USP.
São Paulo, São Paulo, Brasil.
bragadc@usp.br
Fillipe Soares Romano
Universidade de São Paulo - USP
M
t
d
T
i
E
l d A t
Ciê
i
H
id d
d ISSN: 1983-7151 PALAVRAS-CHAVE: megaeventos, turismo, bibliometria. PALAVRAS-CHAVE: megaeventos, turismo, bibliometria. ABSTRACT: This is a descriptive, exploratory study that analyzes the production of scientific
knowledge of Brazilian tourism journals in relation to the subject of “mega-events” in the
period 2010-2015, through a bibliometric study. Understanding how scholars are producing and
publishing knowledge about mega-events in Brazilian journals is important, in view of Brazil’s
leading role as a host country for sports mega-events in 2014 and 2016. Among the 1,760
articles published from January 2010 to December 2015, twelve articles on mega-events were
identified. Of these, nine were about sports mega-events, one focused on a musical mega-event,
another was about tourism strategy, and the last one was about mega-events tourism. Thus, it
was possible to understand the diversity of studies on mega-events and how their themes can
contribute to tourism. Fillipe Soares Romano
Universidade de São Paulo - USP
Mestrando em Turismo na Escola de Artes, Ciências e Humanidades da
Universidade de São Paulo - USP. Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 633 Doi: 10.14210/rtva.v18n2.p633-659
São Paulo, São Paulo, Brasil. fillipe.romano@usp.br Doi: 10.14210/rtva.v18n2.p633-659
São Paulo, São Paulo, Brasil. fillipe.romano@usp.br Data de submissão: 14/04/2016
Data de aprovação: 19/07/2016 Data de submissão: 14/04/2016
Data de aprovação: 19/07/2016 RESUMO: O presente trabalho, uma pesquisa descritiva exploratória, tem como principal objetivo
a análise da produção do conhecimento científico dos periódicos nacionais brasileiros de turismo
quanto a publicações acerca do tema megaeventos, entre os anos de 2010 e 2015, por meio de
um estudo bibliométrico. Compreender o quanto os estudiosos estão disseminando os dados de
suas pesquisas nesses canais de divulgação científica se faz importante pela atual conjuntura do
Brasil como país sede de megaeventos. Dentre os 1.760 artigos publicados no período pesquisado,
identificaram-se 12 artigos sobre megaeventos, dos quais nove abordavam megaeventos esportivos,
um megaevento musical, outro sobre estratégia turística e um sobre turismo de megaeventos. Sendo assim, foi possível compreender a diversidade de estudos sobre megaeventos e como suas
temáticas podem contribuir para o turismo. KEYWORDS: mega-events, tourism, bibliometrics. KEYWORDS: mega-events, tourism, bibliometrics. RESUMEN: Este estudio es una investigación descriptiva exploratoria que busca como principal
objetivo el análisis de la producción del conocimiento científico de los periódicos nacionales
brasileños de turismo en relación a las publicaciones acerca del tema de los mega eventos
entre los años 2010 y 2015, mediante un estudio bibliométrico. Es importante comprender
las producciones y publicaciones de los estudiosos acerca de mega eventos en los periódicos
brasileños, ya que el país va a abrigar mega eventos deportivos en 2014 y 2016. De los 1.760
artículos publicados en el periodo de enero de 2010 a diciembre de 2015, se identificaron 12
artículos sobre mega eventos; de estos, nueve eran sobre mega eventos deportivos, uno sobre
mega eventos musicales, uno sobre estrategia turística y uno sobre turismo de mega eventos. Así, fue posible comprender la diversidad de estudios sobre mega eventos y cómo sus temáticas
pueden contribuir con el turismo. PALABRAS CLAVE: Mega eventos; Turismo; Bibliometría. Disponível em: www.univali.br/periodicos Disponível em: www.univali.br/periodicos 634 ISSN: 1983-7151 Doi: 10.14210/rtva.v18n2.p633-659 O artigo encontra-se estruturado do seguinte modo: a primeira seção é
teórica, com a discussão de conceitos e relações entre turismo e megaeventos. Em
seguida, é exposta a descrição do método e dos procedimentos metodológicos
empregados na pesquisa. Depois é apresentada a seção analítica, que avalia
dados quantitativos de artigos publicados nos periódicos selecionados;
relaciona os anos de publicação dos 12 artigos específicos sobre megaeventos,
com a realização dos megaeventos esportivos no Brasil; aborda dados sobre
os autores e seus vínculos institucionais para verificar reincidências; e, por
fim, discute dados qualitativos dos artigos analisados. As considerações finais
ressaltam as respostas encontradas em razão do objetivo e suas relações com
as referências teóricas adotadas, finalizando o trabalho. INTRODUÇÃO INTRODUÇÃO U U
m dos grandes desafios do estudo do turismo não está mais
em investigar o fenômeno para torná-lo uma área consolidada
na academia, mas sim em sair da tradicional produção de
conhecimento em temas definidos como fundamentais ao turismo para dialogar
com outras áreas do conhecimento, dado seu caráter transdisciplinar (Veal,
2011). Assim, este trabalho buscou explorar a aproximação entre o estudo do
turismo e dos megaeventos, tema presente na atual realidade brasileira. O estudo do turismo de eventos, como área de pesquisa, é recente. Foi
especialmente nos anos 1980 que o tema ganhou maior relevância acadêmica. Nessas últimas quatro décadas, trabalhos sobre o tema se ampliaram,
tornando-o área de pesquisa em diversas universidades ao redor do mundo
(Getz, 2008). O progresso de uma base de estudo consolidada da área de
turismo de eventos e, consequentemente, megaeventos, é primordial para
o avanço do conhecimento científico-acadêmico, para contribuir direta e
indiretamente com outras áreas do saber. O presente trabalho analisa artigos sobre a temática megaeventos
publicados nos últimos cinco anos, de janeiro de 2010 a dezembro de 2015,
em periódicos nacionais de turismo com classificação Qualis da Comissão de
Aperfeiçoamento de Pessoal de Nível Superior (CAPES). O objetivo é avaliar a
importância e a relevância da temática frente a todos os artigos publicados
no mesmo período. Investigar o que é publicado ajuda a compreender se há
escassez ou concentração temática de autores nos estudos dos megaeventos
pela vertente do turismo. Esta pesquisa tem caráter descritivo e exploratório, sendo fundamentada em
dados consolidados resultantes de uma análise bibliométrica, baseada na lei de
dispersão do conhecimento científico de Bradford (Araújo, 2006), que busca
compreender como se dá a publicação de trabalhos que relacionam turismo e
megaeventos. O estudo parte de um universo de 1.760 artigos publicados em
13 periódicos, dos quais apenas 12 trabalhos têm megaeventos no título ou
nas palavras-chave. 635 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Doi: 10.14210/rtva.v18n2.p633-659 O TURISMO E OS MEGAEVENTOS: CONCEITOS E RELAÇÕES O turismo é um dos fenômenos mais marcantes do mundo contemporâneo. Essa colocação está embasada em literatura específica que afirma que esse é um
fenômeno contemporâneo, apesar de suas origens remotas, visto que o deslocamento
é uma ação inerente ao ser humano. O homem, inicialmente compreendido como
nômade, após a evolução social em vida urbana tornou-se sedentário, retomando
a grande mobilidade apenas na atualidade (Ruschmann e Solha, 2006). É fácil perceber que o turismo é um dos setores mais globalizados da
economia mundial. Ele se desenvolveu e aperfeiçoou-se intensamente
nos últimos 100 anos, sendo que o século XX chegou a ser chamado
de século do turismo. Hoje estamos no Brasil, amanhã podemos
estar, sem grandes complicações em Cingapura, na África do Sul ou
na Holanda. (Panosso Netto, 2010, p.11, grifo do autor). O fenômeno do turismo, altamente impactado pela globalização, transcende
viagens que priorizam apenas o lazer como seu motivo principal. Cada vez mais,
as viagens são planejadas e organizadas em prol de trabalho, estudos, eventos
e diversos outros propósitos (Freitag, Tiscoski e Moretto Neto, 2010). Graças ao
chamado processo de globalização, distâncias foram reduzidas, a comunicação
progrediu e permitiu ao homem experimentar novas vivências nunca antes
imaginadas (Silva, Carvalho e Silva, 2009). Disponível em: www.univali.br/periodicos 636 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 ISSN: 1983-7151 O Plano Nacional de Turismo 2013-2016, documento oficial brasileiro
que consolida a política nacional de turismo, destaca o Brasil como destino
internacional de eventos, com a 7ª colocação no ranking da International
Congress and Convention Association (ICCA) 2011, com realização de 304
eventos (Brasil, 2013). Dados recentes da ICCA mostram que ocorreram 291
eventos internacionais no Brasil em 2014 (ICCA, 2014) – comparativamente
aos 62 eventos realizados em 2003, houve aumento de 469%. Não há dados
sobre os fatores que motivaram a evolução, apenas o enaltecimento do setor
de eventos. Acredita-se que a dinâmica do setor, a globalização, o período de
estabilidade econômica do Brasil, na época, e a evidência mundial do país são
fatores que contribuíram para esse salto. Um evento é definido por Britto e Fontes (2002) como a junção de esforços
e ações com planejamento prévio, no qual se busca o alcance de resultados
estabelecidos junto ao seu público-alvo. Já o turismo de eventos tem como
propósito o planejamento e a organização dessa demanda específica. De acordo
com Getz (2008), o universo dos eventos é classificado com base em sua natureza,
como o valor turístico atribuído. Assim, os eventos são divididos em dois grupos:
eventos ordinários, que ocorrem sem um objetivo claro e específico; e eventos
especiais, nos quais a duração é limitada, são atrativos para turistas, atraem a
atenção da mídia e geram impacto nos locais em que são realizados. Os eventos
especiais podem ser classificados de acordo com sua natureza, como celebrações
culturais, eventos políticos e de Estado, eventos de arte e entretenimento, eventos
de negócios e de comércio, eventos educacionais e científicos, competições
esportivas e eventos privados. Getz (2008) também classifica os eventos especiais
de acordo com seu potencial turístico, como os de principal interesse neste
estudo, os megaeventos, os eventos marcantes e os eventos locais. Para Lohmann e Panosso Netto (2008), os eventos são de especial interesse
para o turismo. Tanto os que ocorrem uma vez, quanto os que se repetem
com frequência, porque fazem parte da estratégia e da promoção marketing
dos destinos. Kotller, Gertner, Rein e Haider (2006) discutem em profundidade especificidades
e conceitos relacionados a marketing de destino, por eles chamado de marketing 637 6
Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Doi: 10.14210/rtva.v18n2.p633-659 de lugar, porque a obra não se refere apenas a cidades turísticas. Defendem
que marketing de lugares é o uso de ferramentas do marketing para enfrentar
o desafio do crescimento no âmbito de lugares, atraindo investimentos,
moradores e visitantes, e discutem como as comunidades e as regiões podem
competir e desenvolver-se na economia global. Se os megaeventos evidenciam
as cidades e os países sede na mídia, captam investimentos para esses espaços e
exigem construções e adequações do espaço público, então são genuinamente
uma ferramenta de marketing de lugar. Funk e Bruun (2007) reforçam que os
eventos turísticos, como no caso dos megaeventos, são altamente promissores
para o desenvolvimento da atividade turística, visto que tendem a ampliar e
diversificar o mercado turístico no local sede. Ao se discutir a influência dos megaeventos sobre os destinos, é relevante
destacar que não são todos os eventos que podem ser definidos como ‘mega’,
visto que existem muitas definições para o termo megaeventos. Apresentar
a definição de Roche (1994), precursor dos estudos sobre megaeventos, é
importante porque, apesar de ter sido construída no século passado, mantém-
se atual por abordar elementos como “duração”, “resultados permanentes”
– que podem ser entendidos como legados – e “local sede”. Para Roche
(1994), megaevento é “um acontecimento de curta duração, com resultados
permanentes nas cidades e/ou países que o sediam e está associado à criação
de infraestruturas e facilidades para o evento” (p. 19, tradução nossa). Entretanto,
esse conceito não faz referências à comunidade local ou ao público visitante. Já a definição de megaeventos de Hall (2006) perpassa pela grandiosidade
de público, mas o que se destaca é o público-alvo definido, além de seus efeitos
políticos, grande divulgação pela mídia, construção de diversas estruturas para
servir a infraestruturas, como também o impacto econômico e social no país-sede. Jago, Dwyer, Lipman, Lill e Vorster (2010) ressaltam a importância de
planejamento para que os megaeventos estejam conectados a eventos menores
que contribuam para uma imagem positiva do local-sede. A realização de um
megaevento deve fazer parte de um plano de desenvolvimento. Essa questão é
ainda mais evidenciada em países em desenvolvimento, nos quais os resultados
tendem a propiciar maiores benefícios a longo prazo. Disponível em: www.univali.br/periodicos 638 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Doi: 10.14210/rtva.v18n2.p633-659 Doi: 10.14210/rtva.v18n2.p633-659 Doi: 10.14210/rtva.v18n2.p633-659 de reestruturação de uma cidade nas mais diversas áreas, como
transporte, segurança, habitação e educação, entre outros. Nessa
esfera, o turismo pode se transformar em um benefício que perdura
não só durante o evento, mas também depois que ele termina. (Pace;
Hardt e Figueiredo, 2015, p. 23, tradução nossa). de reestruturação de uma cidade nas mais diversas áreas, como
transporte, segurança, habitação e educação, entre outros. Nessa
esfera, o turismo pode se transformar em um benefício que perdura
não só durante o evento, mas também depois que ele termina. (Pace;
Hardt e Figueiredo, 2015, p. 23, tradução nossa). de reestruturação de uma cidade nas mais diversas áreas, como
transporte, segurança, habitação e educação, entre outros. Nessa
esfera, o turismo pode se transformar em um benefício que perdura
não só durante o evento, mas também depois que ele termina. (Pace;
Hardt e Figueiredo, 2015, p. 23, tradução nossa). Mas vale apontar que os impactos podem não ser totalmente positivos ou
totalmente negativos, inclusive o turístico. A escala e a dimensão dos impactos
estão estritamente ligadas ao cenário analisado. Assim os legados dependem
da área a ser analisada para serem considerados positivos, negativos ou um
pouco dos dois (Owen, 2005). Estudos mostram que há autores que diferenciam impactos de legados,
reforçando que impactos são mais frequentemente considerados como
consequência a um efeito adverso, um resultado prejudicial ou destrutivo. Enquanto o termo legado é mais frequentemente usado ao apresentar efeitos
positivos. Portanto, é possível dizer que legado também tende a ser utilizado
em associação com os efeitos que são de maior duração (Romano, Vico, Silva
e Uvinha, 2015). Assim, ao se estudar os pontos positivos, ou legado, dos megaeventos, a
área de projeção da imagem do destino-sede aparece como um dos principais. Como uma possível alavanca para o turismo no Brasil, principalmente os
esportivos, como no caso da Copa do Mundo Fifa realizada em 2014, e
as Olimpíadas e Paralimpíadas de Verão Rio 2016. Além dos esportivos,
todos os megaeventos sediados no país merecem grande atenção, pela
oportunidade de o turista conhecer a localidade (cidades, país), estender
sua estadia e, também, voltar em outras ocasiões (Marcellino, 2013). ISSN: 1983-7151 Nessa linha de raciocínio, autores como Rodrigues, Dacosta, Pinto e Terra
(2008), Reis (2008) e Santos (2000) destacam que os megaeventos são como
grandes catalizadores e facilitadores de investimentos, no intuito de não ter
um fim em si mesmo: quando estrategicamente planejados, propiciam efetivas
transformações em níveis de infraestrutura, sociocultural, organizacional,
como também impulsionam o setor de turismo, criam empregos, consumo,
arrecadação de impostos, financiamentos. As definições de megaeventos esportivos não se diferem significativamente
das definições gerais de megaeventos, salvo destaque para o caráter competitivo
e a realização periódica quadrienal, como a dos autores Ribeiro, Soares e Dacosta
(2014), que adotam uma definição de megaeventos esportivos convergente
com a definição de Roche (1994). Para efeito de definição, compreendemos um megaevento esportivo
como uma competição que, para ser realizada, necessita de grande
aporte financeiro, logístico e humano. Apresenta também grande
poder de atração de mídia e é realizada regularmente a cada período
de 4 anos (Ribeiro, Soares e Dacosta, 2014, p. 450). Assim, não se vê necessidade de diferenciar as características e as influências de
megaeventos das de megaeventos esportivos nesta discussão teórica. Quando se estudam megaeventos, as palavras legados e impactos são as
primeiras a surgirem. Tavares (2007), com o intuito de diferenciá-las, coloca que
os legados estão atrelados à ideia de longo prazo, com ações permanentes,
que têm início no presente e que, se planejados adequadamente, podem ser
positivos e benéficos, enquanto os impactos têm o caráter mais imediatista,
com menor duração. A reflexão de Pace, Hardt e Figueiredo (2015) sobre megaeventos congrega
áreas que podem ser estudadas separadamente para a avaliação dos legados,
inclusive os relacionados ao turismo: O grande legado de megaeventos esportivos pode não estar ligado
aos resultados dos jogos em si, mas a outros benefícios que chegam
até à população. Grandes eventos são um importante catalisador
para melhoria na qualidade de vida e podem acelerar o processo 639 evista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Doi: 10.14210/rtva.v18n2.p633-659
de reestruturação de uma cidade nas mais diversas áreas, como
transporte, segurança, habitação e educação, entre outros. Nessa
esfera, o turismo pode se transformar em um benefício que perdura
não só durante o evento, mas também depois que ele termina. (Pace;
Hardt e Figueiredo, 2015, p. 23, tradução nossa). Disponível em: www.univali.br/periodicos ISSN: 1983-7151 2002; Lohmann e Panosso Netto, 2008). Consequentemente, há grande
contribuição na divulgação dos atrativos, recursos naturais, culturais e artificiais
da sede do evento. Para o turismo, os megaeventos são uma oportunidade e
um relevante negócio a ser desenvolvido (Alberini, 2014). Também durante a realização dos megaeventos, o turismo é o setor mais
disputado pelos países. Os produtos turísticos – como passagens aéreas, rodoviárias,
diárias hoteleiras, refeições, suvenires e serviços em geral – são vendidos no
atacado e consumidos em grande escala (Matias, 2008; Oliveira 2002). Os megaeventos são equivalentes a outros esforços que cidades-sede
adotam para o incremento do turismo e a visibilidade do destino, no intuito
de aumentar o fluxo turístico internacional, impulsionando também o turismo
doméstico. São estratégias que envolvem uma combinação de esforços urbanos
e locais em prol do benefício não apenas da cidade, destino-sede, mas também
do país. Os megaeventos têm a capacidade de reinventar a metrópole e alçá-
la a um patamar de importância no contexto mundial. Bem-sucedidos, os
megaeventos projetam a imagem da cidade em âmbito nacional e internacional
(Tyler, Guerrier e Robertson, 2001). Os diversos elementos ligados aos megaeventos são articulados diretamente
com a proposta de desenvolvimento urbano e o segmento turístico, quanto à
criação de infraestrutura e facilidades para sua realização, que podem e devem
ser estendidas à comunidade local na busca por resultados benéficos para todos
atores envolvidos. Com esse propósito, o megaevento é considerado bem-
sucedido quando propicia a divulgação de uma imagem positiva da cidade-
sede em âmbito internacional e permite legados positivos para a comunidade
local e turistas, minimizando os impactos negativos. Doi: 10.14210/rtva.v18n2.p633-659 Em um
mundo com distâncias reduzidas pelo advento dos avanços tecnológicos,
políticos, econômicos, culturais, entre diversos outros, os megaeventos
acabam por permitir uma espécie de vitrine da cidade e país que o sedia, por
enfatizar seus aspectos positivos e torná-los conhecidos internacionalmente
(Ishiy, 1998). Desse modo, os megaeventos se colocam diante do mercado como uma
grande ferramenta de marketing e, também, uma grande influenciadora de
escolhas, perpassando diversas atividades socioeconômicas (Britto e Fontes, 640 Disponível em: www.univali.br/periodicos PROCEDIMENTOS METODOLÓGICOS O conteúdo de análise desta pesquisa é a produção científica sobre
megaeventos nos artigos publicados em periódicos acadêmicos brasileiros de
turismo no período de janeiro de 2010 a dezembro de 2015. A delimitação
temporal foi escolhida em função da proximidade com a realização dos 641 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Doi: 10.14210/rtva.v18n2.p633-659 megaeventos esportivos no Brasil, embora Pace, Hardt e Figueiredo (2015)
indiquem que pouco se publicou sobre o tema. (. . .) apesar do fato do tema “megaeventos esportivos” estar
repetidamente na mídia devido à escolha do Brasil como país-sede
para a Copa do Mundo 2014 e a cidade do Rio de Janeiro como sede
dos Jogos Olímpicos de 2016, os números não são significativos no
campo científico com relação às contribuições acadêmicas sobre esse
assunto. (Pace; Hardt e Figueiredo, 2015, p. 34, tradução nossa). O processo de seleção das revistas iniciou-se com a busca na lista de
classificação de periódicos Qualis-CAPES de 2014 usando-se como filtro de
pesquisa a área de avaliação Administração, Ciências Contábeis e Turismo
e o título Turismo. A lista geral relaciona 15 periódicos, dos quais dois são
publicados na Argentina, portanto descartados de imediato. Apesar de a
revista Arquiteturismo (Qualis B4) indicar em seu website que “é um periódico
online mensal sobre as múltiplas relações entre arquitetura e turismo”
(ARQUITETURISMO, s/d), os trabalhos que publicam apenas tangenciam
turismo, dedicando-se mais a questões de patrimônio arquitetônico. Portanto,
não se trata de um periódico especializado em turismo, de modo que também
foi descartado da pesquisa. Em seguida, realizou-se uma busca nos websites dos programas de pós-
graduação em Turismo recomendados pela CAPES e detectou-se que há um
periódico da área que não tem Turismo no título, mas é especializado e conta
com classificação Qualis-CAPES. Portanto, no total, o universo de periódicos
considerados nesta pesquisa somou 13 revistas. Quadro 1 – Periódicos nacionais especializados de turismo selecionados para a pesquisa
No. PROCEDIMENTOS METODOLÓGICOS ISSN
Título
Classificação Qualis 2014 Área
de Administração, Ciências
Contábeis e Turismo
1
1677-6976
Caderno Virtual de Turismo (UFRJ)
B1
2
1982-5838
Cultur: Revista de Cultura e Turismo
B4
3
2316-5812
ReAT - Revista Eletrônica de Administração e Turismo
B3
4
1980-6965
Revista Acadêmica Observatório de Inovação
do Turismo
B4
5
1983-9391
Revista Brasileira de Ecoturismo
B3
6
1982-6125
Revista Brasileira de Pesquisa em Turismo
B2
7
2236-6040
Revista Iberoamericana de Turismo
B4 dicos nacionais especializados de turismo selecionados para a pesquisa
Classificação Qualis 2014 Área Disponível em: www.univali.br/periodicos 642 ISSN: 1983-7151
No. ISSN
Título
Classificação Qualis 2014 Área
de Administração, Ciências
Contábeis e Turismo
8
1645-9261
Revista Turismo e Desenvolvimento (on-line)
B4
9
1984-4867
Revista Turismo em Análise
B2
10
2316-1493
Revista Turismo Estudos e Práticas
B4
11
2178-9061
Rosa dos Ventos
B3
12
1983-5442
Turismo e Sociedade
B4
13
1983-7151
Turismo: Visão e Ação (online)
B2 ISSN: 1983-7151 Fonte: Qualis-CAPES, 2014. Como critério de seleção dos artigos, foram considerados os que tinham o
termo “megaeventos” no título ou em palavras-chave. Artigos que não utilizaram
a palavra “megaeventos” não foram considerados por não evidenciarem que o
trabalho tratava diretamente o tema. O método para realização deste estudo é a bibliometria que, segundo Veal
(2011, p. 91), é “um termo acadêmico que se refere ao processo de identificar e
estudar pesquisas anteriormente publicadas, relevantes ao tema de interesse”. Araújo e Alvarenga (2011, p. 57) acrescentam que: (. . .) a bibliometria não se relaciona ou se aplica somente à
cienciometria, mas a outros contextos e insumos de conhecimentos
passíveis de serem analisados por métricas diversificadas a partir
de variáveis distintas e que aparecem na literatura publicada com
denominações bem peculiares. (Araújo e Alvarenga, 2011, p.57). A proposta é apresentar um quadro das revistas brasileiras de turismo quanto
à sua produção acerca de megaeventos. Os dados foram coletados dos websites
por meio de visitas aos endereços eletrônicos das revistas, procedimento
compreendido como coleta de campo, visto que cada revista foi entendida
como fonte primária de dados. Apesar de o objetivo principal deste trabalho tratar de compreender como a
temática megaeventos é abordada na comunicação científica especializada em
turismo, este estudo bibliométrico permite análises mais amplas. Para Hall (2011),
“a maior utilidade da bibliometria em estudos de turismo relaciona-se à avaliação
de periódicos, bem como daqueles que neles publicam” (p. 17, tradução nossa). PROCEDIMENTOS METODOLÓGICOS Assim, além de avaliar as temáticas dos artigos, as análises se estendem às revistas
científicas e aos autores dos trabalhos selecionados para este estudo. Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 643 Doi: 10.14210/rtva.v18n2.p633-659 Doi: 10.14210/rtva.v18n2.p633-659 A bibliometria pode adotar diversos métodos de análise e ser utilizada para
uma enormidade de fins. O presente trabalho usa a Lei de Bradford, que também
é conhecida como Lei de Dispersão do Conhecimento Científico (Araújo, 2006),
para indicar a relevância dos periódicos pesquisados sobre o tema megaeventos. Segundo Donohue (1973, p. 17, apud Araújo, 2006, p. 15), essa lei se verifica
ao colocar os periódicos em ordem decrescente de produtividade de artigos
sobre determinado tema, podendo-se distinguir um núcleo de periódicos mais
particularmente devotado ao tema e vários grupos ou zonas que incluem o
mesmo número de artigos que o núcleo. Como foi levantado um número pequeno de periódicos especializados em
turismo e também um restrito número de artigos sobre megaeventos, não foi
possível chegar ao “multiplicador de Bradford (Bm)”, uma vez que não há um
grupo de periódicos que se destaque como grupo principal de divulgação do
conhecimento em turismo e megaeventos. Estudos bibliométricos também podem verificar a aplicação da Lei de Lotka,
que analisa a produtividade dos pesquisadores (Araújo, 2006). No início do
século XX, o estudioso que dá nome à lei descobriu que uma larga porção da
literatura científica é produzida por um pequeno número de autores e, por
outro lado, um grande número de pequenos autores se iguala, em produção,
ao produzido por aqueles que publicam muito. Na presente pesquisa não foram
destacados autores com produção suficiente que permitisse atestar a coerência
da lei, já que nenhum autor aparece em mais de um artigo. Em contrapartida, como a quantidade de artigos publicados sobre
megaeventos nos periódicos especializados da área de turismo é pequena,
optou-se por análises qualitativas que indicassem as especificidades dos artigos. Foram avaliados os tipos de pesquisas realizadas, as áreas objeto de estudo,
os títulos, as palavras-chave e os resumos de cada artigo para compreender
e avaliar os temas, a partir dos conceitos de megaeventos discutidos no
referencial teórico. PROCEDIMENTOS METODOLÓGICOS Com relação aos autores, listaram-se as instituições de
vínculo na época da publicação do artigo e apontou-se a participação em
grupos de pesquisa, programas de pós-graduação ou financiamentos, quando
havia algum destaque a esse respeito, para verificar se existia concentração 644 Disponível em: www.univali.br/periodicos 1
No editorial, o editor chama de Dossiê sobre Megaeventos (BAHL, 2014), no qual foram publicados oito artigos,
mas apenas quatro usavam o termo megaeventos no título ou nas palavras-chave. ISSN: 1983-7151 de pesquisas, apoio de alguma instituição de ensino superior ou agência de
fomento ao tema megaeventos. Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 MEGAEVENTOS NOS PERIÓDICOS NACIONAIS DE TURISMO Dentre os 1.760 artigos publicados no período de janeiro de 2010 a
outubro de 2015, identificaram-se 12 artigos dedicados aos megaeventos nos
periódicos de turismo com Qualis CAPES, conforme informação apresentada
na Tabela 1. Tabela 1 – Periódicos e quantidade de artigos publicados de 2010 a 2015
Revistas
Número de
edições
Artigos
publicados
Artigos sobre
megaeventos
% de artigos
sobre
megaeventos
Turismo e Sociedade
16
141
4
2,8
Revista Turismo em Análise
18
180
2
1,1
Caderno Virtual de Turismo
20
167
1
0,6
Cultur: Revista de Cultura e Turismo
16
123
1
0,8
Revista Acadêmica Observatório de
Inovação do Turismo
15
77
1
1,3
Revista Turismo Estudos e Práticas
10
57
1
1,8
Rosa dos Ventos
21
178
1
0,6
Turismo: Visão e Ação
18
150
1
0,7
ReAT: Revista Eletrônica de
Administração e Turismo
7
44
0
0
Revista Brasileira de Ecoturismo
25
329
0
0
Revista Brasileira de Pesquisa
em Turismo
18
143
0
0
Revista Iberoamericana de Turismo
13
109
0
0
Revista Turismo e Desenvolvimento
9
62
0
0
Total
206
1760
12
0,7
Fonte: Autores, 2016. la 1 – Periódicos e quantidade de artigos publicados de 2010 a 2015
% Fonte: Autores, 2016. Como dito anteriormente, o número de periódicos especializados em turismo
no Brasil é reduzido e ainda menor o número de publicações sobre megaeventos
no período estudado. Assim, não há como analisar em profundidade a dispersão
do conhecimento científico sobre megaeventos em turismo, mas é possível
afirmar que 61% dos periódicos pesquisados publicaram artigos sobre a temática
em questão e que há uma revista, a Turismo e Sociedade, que se destaca, com
quatro artigos, em um número especial dedicado a megaeventos1. Em segundo
lugar, a Tabela 1 mostra que a Revista Turismo e Análise publicou dois artigos. Assim, esses dois periódicos formam um primeiro grupo com a concentração do evista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 645 Doi: 10.14210/rtva.v18n2.p633-659
conhecimento científico sobre megaeventos em turismo. As demais seis revistas,
objeto deste estudo, publicaram apenas um artigo. Doi: 10.14210/rtva.v18n2.p633-659 conhecimento científico sobre megaeventos em turismo. As demais seis revistas,
objeto deste estudo, publicaram apenas um artigo. conhecimento científico sobre megaeventos em turismo. As demais seis revistas,
objeto deste estudo, publicaram apenas um artigo. Outro dado analisado é a pouca representatividade que a temática
megaeventos tem sobre o total de artigos publicados pelos periódicos no período
de cinco anos pesquisados. A média é de 0,7% artigos sobre megaeventos. Na
revista Turismo e Sociedade, esse percentual é de 2,8%; e na Revista Turismo em
Análise, 1,1%. Os demais periódicos têm números muito diferentes de total de
artigos publicados, mas dois deles (Revista Acadêmica Observatório de Inovação
do Turismo e Revista Turismo Estudos e Práticas), embora com apenas um artigo
publicado cada, terminam por ter um percentual de representação maior que o
da Revista Turismo em Análise. Resgatando os dados sobre a classificação Qualis da Tabela 1, não é possível
identificar tendência de busca, por parte dos autores, por periódicos mais
qualificados ou não, pois a Turismo e Sociedade é B4, a Revista Turismo em
Análise é B2 e, entre os periódicos que publicaram um único artigo, há B1, B2,
B3 e B4. Importante destacar que não existem periódicos especializados em
turismo publicados no Brasil com Qualis superior a B1. Quadro 2 – Ano de publicação por periódico
Título
Revista
Ano (volume,
número)
1. Megaeventos: uma estratégia de atração turística? Revista Turismo e Sociedade
2014 (v.7, n. 1)
2. Fonte: Autores, 2016. A gastronomia brasileira na Copa do Mundo de Futebol da
Fifa 2014: uma breve análise
Revista Turismo e Sociedade
2014 (v. 7, n. 1)
3. Megaeventos esportivos: reflexões sobre sustentabilidade e
suas relações com o turismo
Revista Turismo e Sociedade
2014 (v. 7, n. 1)
4. Copa do Mundo no Brasil: entre expectativas elevadas e
benefícios imprecisos
Revista Turismo e Sociedade
2014 (v. 7, n. 1)
5. Percepção do residente em relação a turismo de
megaevento: análise bibliométrica de periódicos
internacionais e latino-americanos
Revista Turismo em Análise
2013 (v. 24, n. 3)
6. Pesquisa de identificação do perfil e satisfação dos
turistas e visitantes de Brasília durante a Copa do
Mundo 2014
Revista Turismo em Análise
2015 (v. 26, n. 1
Especial)
7. Megaeventos esportivos e relações internacionais como
estratégia de atração turística
Revista Acadêmica
Observatório de Inovação do
Turismo
2012 (v. 7, n. 1)
8. A hospitalidade urbana de Fortaleza-CE frente ao
megaevento Copa do Mundo 2014
Turismo: Estudos e Práticas
2013 (v. 2, n. 2)
9. Cidade mercadoria cidade-vitrine, cidade turística: a
espetacularização do urbano nos megaeventos esportivos
Caderno Virtual de Turismo
2014 (v. 14, n. Especial) 646 ISSN: 1983-7151 10. Public participation in environmental impact
assessment (EIA) and major sports events: a
comparative analysis of the London 2012 Olympic
Games and the Rio 2007 Pan American Games
Rosa dos Ventos
2014 (v. 6, n. 4)
11. Um modelo conceitual de megaeventos musicais
Cultur: Revista de Cultura e
Turismo
2015 (v. 9, n. 2)
12. As mudanças na imagem das cidades de Curitiba e
Florianópolis: um estudo sobre os reflexos da divulgação das
cidades sedes para a Copa do Mundo da Fifa 2014
Turismo Visão e Ação
2015 (v. 17, n. 2)
Fonte: Autores, 2016. Fonte: Autores, 2016. Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Fonte: Autores, 2016. O Quadro 2 relaciona os 12 artigos, com seus respectivos anos de
publicação, a fim de compreender se o tema de megaeventos sediados pelo
Brasil seria objeto de estudo dessas publicações. Como dito anteriormente,
todos os artigos da Turismo e Sociedade foram editados conjuntamente em
um número especial sobre megaeventos lançado no início do ano de 2014. Pelos títulos, pode-se afirmar que dois desses artigos são de temáticas ligadas
à Copa do Mundo, que seria realizada em meados de 2014. Os outros dois
tratam de temas correlatos à discussão de megaeventos e turismo, um discute
o megaevento como estratégia de divulgação turística e outro aborda relações
entre megaeventos, sustentabilidade e turismo. Na Revista Turismo em Análise, há um artigo publicado em 2013 que,
coincidentemente, traz um estudo bibliométrico, e outro em 2015 dedicado
ao estudo da satisfação dos visitantes da Copa do Mundo de 2014 no Brasil,
publicado em um número especial sobre o tema demanda turística. Analisando os artigos publicados pelo segundo grupo de periódicos, há
um publicado em 2012 que não trata dos megaeventos esportivos que seriam
realizados no Brasil, mas de megaeventos como estratégia de marketing
turístico internacional. Outro foi publicado em 2013 e o tema Copa do Mundo
2014 (Brasil) figura no título. Dois artigos foram publicados no ano de 2014:
um fez parte de um número especial sobre hospitalidade e políticas públicas
de turismo e discutiu a questão da espetacularização de cidades em razão dos
megaeventos esportivos; outro faz comparações sobre processo de avaliação
de impactos ambientais entre as Olimpíadas de Londres 2012 e os Jogos Pan-
Americanos Rio 2007. Dos artigos publicados em 2015, um trata de megaeventos
musicais e outro aborda diretamente os resultados da Copa do Mundo de 2014
na imagem da cidade de Curitiba. Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 647 Doi: 10.14210/rtva.v18n2.p633-659 Doi: 10.14210/rtva.v18n2.p633-659 Assim, pode-se dizer que, dos artigos pesquisados, menos da metade teve
como foco de estudo os megaeventos esportivos realizados ou em fase de
organização à época das publicações. O levantamento mostrou que, entre 2010 e 2012, é nula a publicação sobre
a temática megaeventos em periódicos brasileiros e que, de fato, as realizações
dos megaeventos esportivos no Brasil geraram pesquisas e, consequentemente,
publicações, pois a Copa do Mundo de 2014 aparece em 5 dos títulos dos 12
artigos publicados, ou seja, 41%. Fonte: Autores, 2016. O Quadro 3 detalha os autores, as instituições de vínculo e os programas de
pós-graduação vinculados a cada artigo encontrado. Quadro 3 – Dados sobre artigos, autores e vínculos institucionais
Título
Autores
Instituição de vínculo
Programa de pós-
graduação
1. Megaeventos: uma estratégia
de atração turística? Bruno Alberini
Centro Universitário FAE
Business School, Paraná,
Brasil
Especialização em
Marketing FAE
2. A gastronomia brasileira na
Copa do Mundo de Futebol da
Fifa 2014: uma breve análise
Maria Henriqueta S. G. Gimenes-Minasse
Universidade Federal do
Paraná, Brasil
Doutorado em
História UFPR
3. Megaeventos esportivos:
reflexões sobre sustentabilidade
e suas relações com o turismo
Tassiana Hille Pace
Pontifícia Universidade
Católica do Paraná, Brasil
Doutorado em
Arquitetura e
Urbanismo na
PUCPR
Letícia Antunes
Hardt
Pontifícia Universidade
Católica do Paraná, Brasil
Programa de Pós
Graduação em
Gestão Urbana
PUCPR
4. Copa do Mundo no Brasil:
entre expectativas elevadas e
benefícios imprecisos
Olga Lúcia C. de F. Firkowski
Universidade Federal do
Paraná, Brasil
Mestrado em
Geografia UFPR
Patricia Baliski
Universidade Federal do
Paraná, Brasil
Mestrado em
Geografia UFPR
Alexandre Gomes
Ferreira
Universidade Federal do
Paraná, Brasil
Mestrado em
Geografia UFPR
5. Percepção do residente
em relação a turismo
de megaevento: análise
bibliométrica de periódicos
internacionais e latino-
americanos
Marcelo Chiarelli
Milito
Universidade Federal do
Rio Grande do Norte,
Brasil
Mestrado em
Turismo UFRN
Sérgio Marques
Universidade Federal do
Rio Grande do Norte,
Brasil
Programa de Pós-
Graduação em
Turismo UFRN
Mauro Lemuel
Universidade Federal do
Rio Grande do Norte,
Brasil
Programa de Pós-
Graduação em
Turismo UFRN Quadro 3 – Dados sobre artigos, autores e vínculos institucionais Disponível em: www.univali.br/periodicos 648 ISSN: 1983-7151
Título
Autores
Instituição de vínculo
Programa de pós-
graduação
6. Pesquisa de identificação do
perfil e satisfação dos turistas e
visitantes de Brasília durante a
Copa do Mundo 2014
Karen Graziele
Furlan Basso
Universidade
Tecnológica de Dalian,
China
Doutorado em
Gestão do Turismo
na Faculdade de
Economia e Gestão
Thamyris Carvalho
Andrade
Universidade de Brasília,
Brasil
Mestrado em
Turismo no Centro
de Excelência em
Turismo da UNB
Ariadne Pedra
Bittencourt
Universidade Latino-
Americana e do Caribe,
México
Mestrado em Gestão
do Turismo e Meio
Ambiente
7. Cidade mercadoria cidade-
vitrine, cidade turística: a
espetacularização do urbano
nos megaeventos esportivos
Gilmar Mascarenhas
de Jesus
Universidade do Estado
do Rio de Janeiro, Brasil. Programa de Pós-
graduação em
Geografia UERJ
8. Fonte: Autores, 2016. Um modelo conceitual de
megaeventos musicais
Fabrício Silva
Barbosa
Universidade Federal
do Estado do Rio de
Janeiro, Brasil
Doutorado da Escola
de Engenharia de
Produção UNIRIO
Annibal José
Scarvada
Universidade Federal
do Estado do Rio de
Janeiro, Brasil
Doutorado da Escola
de Engenharia de
Produção UNIRIO
9. Megaeventos esportivos e
relações internacionais como
estratégia de atração turística
Iata Oliver
Fernandes Silva
Universidade Anhembi
Morumbi, Brasil
Mestrado
em Hospitalidade
UAM
10. A hospitalidade urbana
de Fortaleza-CE frente ao
megaevento Copa do Mundo
2014
Maraísa Nunes
Cavalcanti
Faculdade Nordeste,
Brasil
Bacharelado em
Turismo
Ingrid Carneiro de
Lima
Universidade Federal do
Ceará, Brasil
Mestrado em
Geografia UFC
11. Public participation
in environmental impact
assessment (EIA) and major
sports events: a comparative
analysis of the London 2012
Olympic Games and the Rio
2007 Pan American Games
Gisele Silva Pereira
Universidade Federal de
Pelotas, Brasil
Departamento de
Turismo
Suzana Maria de
Conto
Universidade Caxias do
Sul, Brasil
Programas de
Pós-Graduação em
Turismo da UCS
12. As mudanças na imagem
das cidades de Curitiba e
Florianópolis: um estudo sobre
os reflexos da divulgação das
cidades sedes para a Copa do
Mundo da Fifa 2014
Stefanie Fontanete
Trotta
Não informado
Graduação
em Relações
Internacionais
Vivian Iara Strehlau
Fundação Getúlio
Vargas, São Paulo, Brasil
Doutorado em
Administração de
Empresas
Frederico de Araujo
Turolla
Fundação Getúlio
Vargas, São Paulo, Brasil
Doutorado em
Economia de
Empresas
Fonte: Autores, 2016. ISSN: 1983-7151 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Fonte: Autores, 2016. O Quadro 3 revela que, no total, foram 24 pesquisadores que publicaram
sobre megaeventos. Há quatro artigos com um único autor, quatro com dois evista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 649
Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 649 Doi: 10.14210/rtva.v18n2.p633-659 Doi: 10.14210/rtva.v18n2.p633-659 autores e outros quatro com três autores. Vale destacar que nenhum autor se
repete entre os artigos estudados. autores e outros quatro com três autores. Vale destacar que nenhum autor se
repete entre os artigos estudados. Assim, é possível supor que os trabalhos publicados não geraram materiais
suficientes para mais de um artigo ou que os estudos não são resultantes de
grupos de pesquisa que investigam a temática com continuidade e intensidade
para produzir artigos com constância. Tal desconfiança se baseia em resultados
de outros estudos bibliométricos, como o realizado por Milito, Marques e
Alexandre (2013), que esclarecem: ´
Nas revistas internacionais se observou 10 pesquisadores, no universo
de 166, que publicaram mais de um artigo sobre o tema na última
década (. . .) O fato de que existem autores que fazem 5 publicações ou
mais em uma década, nas duas revistas internacionais mais relevantes
da área e sobre o tema em questão, pode ser considerado um indicativo
que existem especialistas internacionais sobre o tema. (p. 497). Os dados referentes aos vínculos institucionais indicam uma diversidade
institucional de origem dos pesquisadores que publicaram sobre megaeventos,
mas há um destaque: a Turismo e Sociedade, publicada pela Universidade
Federal do Paraná (UFPR), publicou os quatro artigos de autores de instituições
sediadas no estado do Paraná, concentração local não recomendada pelos
critérios de qualificação de periódicos científicos, mas aceitável por se tratar de
um número especial. A distribuição geográfica das instituições de ensino a que os autores estão
vinculados indicam concentração nos estados da região Sul, com quatro artigos de
autores provenientes do Paraná e um do Rio Grande do Sul. Em seguida, destacam-
se os estados da região Sudeste, com dois artigos de autores provenientes de
instituição de ensino superior (IES) de São Paulo e dois do Rio de Janeiro. Dois
artigos são de autores de instituições sediadas em capitais de estados do Nordeste. Não há artigo publicado por pesquisadores de instituições da região Norte. ISSN: 1983-7151 dois de arquitetura e urbanismo, dois de engenharia da produção, um de
marketing, um de história, um de relações internacionais, um de administração
e um de economia. Portanto, a maioria dos autores (21%) são pesquisadores da
área de turismo e o caráter interdisciplinar da temática megaeventos e turismo
foi evidenciada com a variedade de área dos pesquisadores. 651
Revista Turismo
Visão e Ação
Eletrônica Vol 18
n 3
set
dez 2016
foi evidenciada com a variedade de área dos pesquisadores. Quadro 4 – Título, palavras-chave e principais resultados extraídos dos artigos
Título
Palavras-chave
Principais resultados extraídos do artigo
1. Megaeventos: uma
estratégia de atração
turística? Megaeventos,
Estratégias,
Atratividade
turística,
Copa do Mundo de
Futebol
Megaeventos podem contribuir com a promoção da
imagem do país-sede. Megaeventos esportivos como uma estratégia viável no
estímulo à atratividade turística; ao desenvolvimento
sociocultural; oportunidade de modernização. 2. A gastronomia brasileira
na Copa do Mundo de
Futebol da Fifa 2014: uma
breve análise
Gastronomia,
Megaeventos, Copa
do Mundo 2014,
Brasil
Avaliação parcial das ações poderiam ser desenvolvidas
de forma mais adequada, constatando-se esforços
mínimos para divulgação do patrimônio gastronômico
brasileiro. Com a inexistência de relatórios parciais e a finalização
do artigo concomitantemente ao andamento das
atividades, recomendou-se avaliação posterior ao
término do evento, no que tange a fluxos turísticos de
médio e longo prazos. 3. Megaeventos
esportivos: reflexões sobre
sustentabilidade e suas
relações com o turismo
Megaeventos,
sustentabilidade,
turismo,
legados
Em eventos anteriores, as ações foram pontuais
e isoladas, não produzindo legado para cidade e
população local. Considerar de forma integrada as variáveis ambientais
e socioeconômicas no planejamento de infraestrutura
para salvaguarda da sustentabilidade. 4. Copa do Mundo no Brasil:
entre expectativas elevadas
e benefícios imprecisos
Copa do Mundo,
megaevento,
transformações
urbanas,
Curitiba
Disparidade na distribuição de investimentos entre
regiões brasileiras. Em Curitiba, cidade foco do estudo, as grandes
transformações deram-se na ligação do aeroporto
ao estádio, não viabilizando solução para o problema
urbano da cidade e sim das necessidades impostas
pelo megaevento, resultando acentuação nas
desigualdades de políticas públicas e sociais. 5. Percepção do
residente em relação a
turismo de megaevento:
análise bibliométrica de
periódicos internacionais
e latino-americanos
Turismo,
megaeventos,
residentes, américa
latina,
bibliometria
A partir do recorte, evidenciou-se presença nas
discussões acadêmicas, porém as publicações
provenientes e voltadas ao continente latino estão
à margem do marco teórico. Fonte: Autores, 2016. Só há
um artigo com autores com vínculo a IES estrangeiras e que também tem um
autor vinculada à uma IES da região Centro-Oeste. Disponível em: www.univali.br/periodicos
650
Quando se analisam os cursos da última formação ou o vínculo dos
pesquisadores, observa-se que, dos 24 autores, nove têm relação direta com
turismo e um com hospitalidade. Dos demais, cinco são da área de geografia, ISSN: 1983-7151 Recomenda-se maior
contingente de publicações sobre a temática e uso
de técnicas e teorias considerando o contexto local. Necessidade de outras pesquisas, inclusive estudos
bibliométricos na mesma vertente com outros recortes. 6. Pesquisa de identificação
do perfil e satisfação dos
turistas e visitantes de
Brasília durante a Copa do
Mundo 2014
Turismo, pesquisa
de perfil de
visitantes,
Megaeventos
esportivos,
demanda turística
Perfil visitante no estádio: 34% de São Paulo (nacional);
29% Colômbia (internacional). Perfil aeroporto:
motivação da viagem, 40,9% negócios ou trabalho;
53% pernoitam 1 a 3 dias em Brasília; 57% hospedados
em hotéis; 64,9% viajam com familiares ou amigos;
35% pela primeira vez no destino. Avaliações de
satisfação entre muito bom e bom sobre o aeroporto. Recomendações de procedimentos a serem
considerados nesse tipo de pesquisa. Turismo, pesquisa
de perfil de
visitantes,
Megaeventos
esportivos,
demanda turística Turismo, pesquisa
de perfil de
visitantes,
Megaeventos
esportivos,
demanda turística 651 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Doi: 10.14210/rtva.v18n2.p633-659
Título
Palavras-chave
Principais resultados extraídos do artigo
7. Cidade mercadoria
cidade-vitrine,
cidade turística: a
espetacularização
do urbano nos
megaeventos esportivos
Megaeventos
esportivos, cidade
espetáculo,
políticas urbanas
A cidade espetáculo não atende a todos, ao mesmo
tempo que o “sucesso” na promoção do turismo
acarreta um custo social, cultural e ambiental. Articulação entre “turistificação” e interesses do
empreendedorismo urbano; mercantilização de
pedaços em vez do espaço. 8. Um modelo conceitual
de megaeventos musicais
Gestão de
serviços, eventos,
entretenimento,
música
Identificação das etapas para o planejamento
estratégico em megaevento. Elaboração de um modelo conceitual. 9. Megaeventos
esportivos e relações
internacionais como
estratégia de atração
turística
Copa do Mundo,
Olimpíadas,
turismo,
relações
internacionais
Por meio de medidas e ajuda do poder público-
privado, buscam explorar, com máxima eficiência, a
realização dos megaeventos esportivos consolidando o
Brasil como um país bonito, alegre, próspero, seguro e
líder para o mundo. Ressalta também que a aferição dos resultados ainda é
muito recente, pois espera-se um primeiro balanço pós
Copa2014 para reajustes nas Olimpíadas. 10. A hospitalidade
urbana de Fortaleza-CE
frente ao megaevento
Copa do Mundo 2014
Hospitalidade urbana,
sinalização turística,
megaevento, Copa
do Mundo
Evidenciou-se que a hospitalidade urbana deve ser voltada
inicialmente para o bem-estar dos moradores, mesmo que
eles não apreciem, conheçam ou percebam a cidade e seus
recursos. Insatisfação relevante na infraestrutura física da cidade para
receber os turistas. ISSN: 1983-7151 Atores sociais esperançosos com as mudanças positivas
causadas pelo megaevento. 11. Public participation
in environmental impact
assessment (EIA) and
major sports events: a
comparative analysis of
the London 2012 Olympic
Games and the Rio 2007
Pan American Games
Avaliação de
impacto ambiental,
participação
pública,
megaeventos
esportivos,
Jogos Olímpicos,
Jogos Pan
Americanos
Resultados demonstraram que há evidências da
participação pública no processo de Avaliação de
Impacto Ambiental (AIA), apresentam a tomada de
decisão e o processo de planejamento para Londres
2012 e Vila Pan Americana dos Jogos do Rio 2007. Recomendação específica sobre a participação do
público é proposto para o contexto brasileiro, a fim de
reforçar o seu quadro regulamentar para licenciamento
ambiental. Encoraja-se a realização de pesquisas nessa
temática envolvendo as participações populares no
planejamento e legado dos megaeventos. 12. As mudanças na
imagem das cidades de
Curitiba e Florianópolis: um
estudo sobre os reflexos
da divulgação das cidades
sedes para a Copa do
Mundo da Fifa 2014
Megaeventos, marca
de lugar, imagem de
destino,
Curitiba, Florianópolis
Os resultados indicam que, apesar de haver uma diferença
menor no número de reportagens encontradas nos
jornais The New York Times e El País, houve um aumento
na avaliação positiva destas, permitindo acreditar que a
divulgação trouxe reflexos positivos para as cidades. Curitiba – análise de 91 artigos no The New York Times
(45) e El País (46), em que os temas são: 30% infraestrutura;
15% cultura; 12% economia. Maior retorno na projeção da
imagem ao investir em infraestrutura e sustentabilidade. Florianópolis – análise de 32 artigos no The New York Times
(14) e El País (18), sendo: 29% referentes à cultura; 13% ao
turismo. A imagem está fortemente apoiada em turismo. Fonte: Autores, 2016. O Quadro 4 apresenta uma análise referente às palavras-chave e aos principais Doi: 10.14210/rtva.v18n2.p633-659 Doi: 10.14210/rtva.v18n2.p633-659 12. As mudanças na
imagem das cidades de
Curitiba e Florianópolis: um
estudo sobre os reflexos
da divulgação das cidades
sedes para a Copa do
Mundo da Fifa 2014 Fonte: Autores, 2016. Disponível em: www.univali.br/periodicos
652
O Quadro 4 apresenta uma análise referente às palavras-chave e aos principais
resultados obtidos pelos estudos, extraídos das discussões dos resultados e/
ou da conclusão do artigo, que foram lidos integralmente na busca de melhor Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 2 Para a análise das palavras-chave, foram consideradas idênticas as palavras no singular e no plural. Também foram considera
dos sinônimos: Copa do Mundo de Futebol, Copa de Futebol, Copa do Mundo e Copa do Brasil. Tais diferenças são consequên
cias da falta de um thesaurus consolidado da área, que dificulta muito os estudos bibliométricos. ISSN: 1983-7151 compreensão acerca do que foi discutido no artigo. Optou-se pela análise desses
itens dos artigos por serem os resumos limitados por um número máximo de
palavras ou caracteres em cada periódico. Com este trabalho acurado de análise,
considera-se que os dados do presente estudo permitem avaliar a interação
que cada pesquisa faz entre megaeventos e turismo. Analisando, especificamente, as palavras-chaves2, observa-se que dois artigos
não têm “megaeventos’ entre as palavras-chave, “megaeventos” aparece em
sete artigos e “megaeventos esportivos” em três, sendo que “Copa do Mundo
de Futebol” aparece como palavra-chave de cinco artigos, corroborando com
a ideia de que a realização de megaeventos esportivos no Brasil deveria gerar
produções científicas. Por outro lado, “turismo” e o adjetivo “turística” figuram entre as palavras-chave
de apenas seis artigos. Dos outros seis que não referenciam a atividade turística ou
o turismo nas palavras-chave, foi necessário aprofundar a análise dos conteúdos
dos artigos para confirmar se a relação com o turismo estava presente. O resultado foi que o artigo 2 trata de gastronomia como patrimônio cultural
e os resultados indicam a necessidade de pesquisas após a Copa do Mundo
2014 junto à demanda turística, de modo que há relação com turismo. Considerando os resultados do artigo 4, apreende-se que o trabalho discute
a questão da desigualdade social e as transformações urbanas geradas com
obras realizadas para a Copa do Mundo, considerando o turismo somente
no levantamento de informações no que se refere a transformações urbanas,
citando a infraestrutura turística de placas informativas. O artigo 7 tem relação direta com turismo, pois avalia o custo elevado do
megaevento como estratégia de promoção turística e as consequências da
“turistificação” dos lugares. O artigo 8 de fato não tem qualquer relação com turismo: trata de
processos para a realização de um megaevento de música como uma
atividade de entretenimento. 2 Para a análise das palavras-chave, foram consideradas idênticas as palavras no singular e no plural. Também foram considera
dos sinônimos: Copa do Mundo de Futebol, Copa de Futebol, Copa do Mundo e Copa do Brasil. Tais diferenças são consequên
cias da falta de um thesaurus consolidado da área, que dificulta muito os estudos bibliométricos. 653 Doi: 10.14210/rtva.v18n2.p633-659 A avaliação de impacto ambiental de megaeventos esportivos é o foco do
artigo 11, que também enaltece a importância da participação popular no
processo de planejamento e de avaliar consequências, entretanto seu conteúdo
não menciona turismo. ISSN: 1983-7151 Por fim, o artigo 12 estuda a divulgação das cidades de Curitiba e Florianópolis
em função da Copa do Mundo do Brasil sob o olhar dos conceitos de marca
de lugar e imagem dos destinos e conclui que a imagem dessas cidades está
fortemente apoiada em turismo. Portanto, dos doze artigos avaliados, três tratam de megaeventos, mas,
nas palavras-chave e nos resultados extraídos de seus conteúdos, não é
evidenciada a relação dos trabalhos com o estudo do turismo, apesar de terem
sido publicados em periódicos especializados da área. Por outro lado, é possível destacar que os principais temas abordados no
referencial teórico sobre megaeventos (como legado, impactos, participação da
comunidade, marketing de lugar, infraestrutura urbana e facilidades construídas
para o evento) figuram nas discussões teóricas dos artigos investigados. CONSIDERAÇÕES FINAIS O objetivo deste estudo foi analisar o conhecimento científico dos periódicos
de turismo brasileiros quanto à produção acerca de megaeventos nos últimos
cinco anos, por meio de um estudo bibliométrico. Dentre os 1.760 artigos publicados de janeiro de 2010 a dezembro de
2015, em 13 periódicos de turismo analisados, apenas 12 foram sobre
megaeventos, representando cerca de 0,02% dos trabalhos no período
de cinco anos, mostrando restrita produção científica dos pesquisadores
no estudo e na publicação nos periódicos nacionais sobre o tema, em
contraposição a uma fase auge do Brasil como sede de jogos mundiais. Dos
artigos identificados, nove eram referentes a megaeventos esportivos, um
sobre megaeventos musicais, outro sobre estratégia turística e um sobre
turismo de megaeventos. Disponível em: www.univali.br/periodicos 654 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 ISSN: 1983-7151 A partir das definições levantadas no referencial teórico, discutidas por
pesquisadores que relacionam megaeventos e turismo, é possível afirmar que,
dos 12 artigos encontrados: quatro abordam temáticas que se aproximam
das discussões de megaeventos como um elemento do marketing de cidades,
estudando a imagem ou a capacidade de atração de turistas de cidades-
sede; três valorizam a participação da comunidade local nos processos de
planejamento e execução de megaeventos, priorizando os moradores quando
se pensa em legado; dois exploram diretamente o conceito de legado e
sua aplicabilidade; um avalia a satisfação dos visitantes que participaram de
um megaevento; um aborda a importância do planejamento urbano para o
sucesso de megaeventos; e, por fim, o último traz dados pontuais sobre etapas
a serem seguidas no planejamento de um megaevento. Assim, conclui-se que
as abordagens de megaeventos nos periódicos brasileiros coincidem com as
reflexões das pesquisas internacionais sobre o tema. Entretanto, o levantamento realizado indica uma marginal importância dada
à relação “megaeventos e turismo” pelos pesquisadores brasileiros, o que não se
justifica, considerando-se o fato de o país ter sediado, na última década, importantes
megaeventos, além dos esportivos. Dos artigos publicados, um foi no ano de 2012,
dois em 2013, seis em 2014 e três em 2015, o que mostra um pequeno aumento
no número de publicações sobre megaeventos nos últimos dois anos. Entretanto, a variedade de área de pesquisa dos autores e de instituições
de ensino de origem indica o quão importante são as diferentes visões do
setor e sua relação com o turismo, o que contribui com críticas e impulsiona
no questionamento dos megaeventos, mesmo que nem todos trabalhos
tenham relação direta com o estudo do turismo. Os dados revelam que há uma
diversificação da produção científica sobre megaeventos beneficiando setores
direta e indiretamente relacionados, além de contribuir com a qualidade da
produção intelectual ligada a turismo. Este estudo entende a necessidade de mais produção acerca de turismo e
megaeventos que tenham como fundamentação a importância de um segmento
para o outro, bem como infinitas possibilidades de incremento de ações que
permitam um benefício mútuo entre essas atividades. 655 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. ISSN: 1983-7151 2016 Doi: 10.14210/rtva.v18n2.p633-659 Vale ressaltar que o trabalho analisa somente artigos que usam megaeventos
no título ou nas palavras-chave e revistas nacionais com a palavra turismo no
nome ou ligadas aos programas de pós-graduação em turismo, havendo, no
entanto, diversos trabalhos publicados em outros veículos (revistas das áreas de
educação física, políticas públicas, educação, meio ambiente) que se correlacionam
ao conceito multidisciplinar de turismo. São cada vez mais necessários estudos
críticos com análises aprofundadas na teoria e na realidade. Este artigo espera
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Mariana Aldrigui. São Paulo: Aleph. 659 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016
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FLAGSHIP UNIVERSITIES’ PERSONNEL POTENTIAL DEVELOPMENT MECHANISMS IN RUSSIA
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Universitetskoe upravlenie: praktika i analiz
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рансформация профессионального поля высшего образования и задачи управления рансформация профессионального поля высшего образования и задачи управления DOI 10.15826/umpa.2019.01-2.005 МЕХАНИЗМЫ РАЗВИТИЯ КАДРОВОГО ПОТЕНЦИАЛА
ОПОРНЫХ УНИВЕРСИТЕТОВ РОССИИ 2019; 23(1–2): 72–80. DOI: 10.15826/umpa.2019.01-2 DOI 10.15826/umpa.2019.01-2.005 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis МЕХАНИЗМЫ РАЗВИТИЯ КАДРОВОГО ПОТЕНЦИАЛА
ОПОРНЫХ УНИВЕРСИТЕТОВ РОССИИ Г. В. Суровицкая
Пензенский государственный университет
Россия, 440026, г. Пенза, ул. Красная, 40; gvs_kachestvo@inbox.ru Аннотация. В статье представлены материалы исследования механизмов развития кадрового потенциала опорных
университетов. Целью данной обзорной статьи является классификация форм, методов и инструментов развития
кадрового потенциала опорных университетов, а также оценка эффективности механизмов развития кадрового
потенциала с использованием данных мониторинга эффективности вузов 2016–2018 гг. По результатам иссле-
дования установлено, что в программах развития опорных университетов представлены такие формы развития
кадрового потенциала, как развитие систем эффективных контрактов, привлечение молодых научно-педагоги-
ческих работников, совершенствование систем непрерывного образования, формирование кадрового резерва,
поддержание высококвалифицированного кадрового потенциала, повышение привлекательности университетов
как мест развития карьеры. Данные формы реализуются посредством методов и инструментов, которые носят как
инвариантный, так и специфический характер. По состоянию на конец 2017 г. не наблюдается заметного роста
доли педагогических работников опорных университетов возрастной категории моложе 40 лет, массивы значений
данного показателя слабо коррелированы с массивами значений ряда других важных показателей. Проведенное
авторами исследование не претендует на полноту картины относительно всей группы потенциальных опорных
университетов, так как охватывает победителей конкурсов 2015 и 2017 г. Вместе с тем исследование позволяет
сформировать основные направления повышения эффективности механизмов развития кадрового потенциала
в опорных университетах. Проблема совершенствования механизмов развития кадрового потенциала опорных университетов решена за счет
выявления лучших практик в формировании механизмов развития кадрового потенциала опорных университе-
тов и использования подхода к оценки их эффективности в срезе различных групп данных университетов, что
составляет новизну и оригинальность статьи. Практическая значимость исследования выражается в методологическом потенциале предложенных классифика-
ций форм, методов и инструментов развития кадрового потенциала опорных университетов для использования
в практике региональных университетов без особого статуса. Практическая значимость исследования выражается в методологическом потенциале предложенных классифика-
ций форм, методов и инструментов развития кадрового потенциала опорных университетов для использования
в практике региональных университетов без особого статуса. Статья представляет попытку обобщить подходы к развитию кадрового потенциала отечественных опорных
университетов и установить на этой основе пути повышения эффективности механизмов HR-менеджмента. Она
может быть интересна для исследователей механизмов университетского управления в контексте реализации
программ развития вузов. р
р
р
у
Ключевые слова: опорный университет, кадровый потенциал, механизм развития, эффективность. Для цитирования: Суровицкая Г. В. Механизмы развития кадрового потенциала опорных университетов России. Университетское управление: практика и анализ. 2019; 23(1–2): 72–80. DOI: 10.15826/umpa.2019.01-2.005 лючевые слова: опорный университет, кадровый потенциал, механизм развития, эффективность. ля цитирования: Суровицкая Г. В. Механизмы развития кадрового потенциала опорных университе
(
)
/ ля цитирования: Суровицкая Г. В. Механизмы развития кадрового потенциала опорных университе
ниверситетское управление: практика и анализ. DOI 10.15826/umpa.2019.01-2.005 FLAGSHIP UNIVERSITIES’ PERSONNEL POTENTIAL DEVELOPMENT
MECHANISMS IN RUSSIA G. V. Surovitskaya
Penza State University
40 Krasnaya str., Penza, 440026, Russian Federation; gvs_kachestvo@inbox.ru Abstract. The article reviews the research on flagship universities’ personnel potential development mechanisms. The
purpose of this review is to classify the forms, methods, and tools for the human resources development in flagship
universities, as well as to assess the effectiveness of mechanisms for the human resources development with the help of
2016–2018 monitoring data of the universities effectiveness. According to the results of the study, the flagship universities’
development programs have been designed to present such forms of human resources development as developing effective
contract systems, involving young scientific and pedagogical workers, improving continuous education systems, form-
ing a personnel reserve, maintaining highly qualified personnel potential, and increasing the universities’ attractiveness 72 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis Суровицкая Г. В. Механизмы развития кадрового потенциала as places of career development. These forms are implemented through methods and tools that are both invariant and
specific. As for the end of 2017, there is no noticeable increase in the share of flagship universities’ teachers younger than
40, the arrays of values of this indicator being poorly correlated with the arrays of values of other important indicators. The authors’ study does not claim to be a complete description of the whole group of potential reference universities, as
it covers the winners of 2015 and 2017 competitions. However, the research makes it possible to generate the basic direc-
tions of personnel potential development mechanisms efficiency increase in flagship universities. The problem of improving the mechanisms of flagship universities’ human resources development is solved by identifying
best practices in forming mechanisms for the human resources development in flagship universities and by approaching
to assessing their effectiveness in the context of different groups of these universities. This makes the article original
and brand-new. The practical significance of the study lies in the methodological potential of the proposed classifications of forms,
methods and tools for the development of flagship universities’ human resources, these classifications to be used in the
practice of regional universities without special status. The article attempts at generalizing approaches to the human resources development of the universities in this country
and at distinguishing on this basis certain ways to improve the effectiveness of HR-management mechanisms. It may
be of interest to researchers of university governance mechanisms in the context of university development programs. Keywords: flagship university, human resources, development mechanism, efficiency
For citation: Surovitskaya G. V. Flagship Universities’ Personnel Potential Development Mechanisms in Russia. University
Management: Practice and Analysis. 2019; 23(1–2): 72–80. (In Russ.). DOI: 10.15826/umpa.2019.01-2.005 The article attempts at generalizing approaches to the human resources development of the universities in this country
and at distinguishing on this basis certain ways to improve the effectiveness of HR-management mechanisms. It may
be of interest to researchers of university governance mechanisms in the context of university development programs. Keywords: flagship university, human resources, development mechanism, efficiency be of interest to researchers of university governance mechanisms in the context of university development programs. Keywords: flagship university, human resources, development mechanism, efficiency
For citation: Surovitskaya G. V. Flagship Universities’ Personnel Potential Development Mechanisms in Russia. University
Management: Practice and Analysis. 2019; 23(1–2): 72–80. (In Russ.). DOI: 10.15826/umpa.2019.01-2.005 For citation: Surovitskaya G. V. рансформация профессионального поля высшего образования и задачи управления дрового потенциала. В то же время такие методы
измерения кадрового потенциала университетов,
как анализ кадровой статистики, опросы персона-
ла, метод фокус-групп и др. [11], не обеспечивают
одновременное получение значений показателей со-
стояния кадрового потенциала всех университетов,
входящих в группу опорных университетов страны. Поэтому оценка эффективности механизмов разви-
тия кадрового потенциала опорных университетов
опирается на анализ динамики показателей кадро-
вого потенциала модели мониторинга эффектив-
ности вузов Минобрнауки Российской Федерации. ствованием систем непрерывного образования
работников университетов. Мероприятия в дан-
ной сфере запланированы в программах развития
20 из 33 опорных университетов. Создание и совершенствование систем подбо-
ра и оценки персонала немыслимо без формирова-
ния кадрового резерва. Такие мероприятия запла-
нированы в программах развития 20 из 33 опор-
ных университетов. Поддержание и развитие высококвалифи-
цированного кадрового потенциала нашло свое
отражение в мероприятиях программ развития
28 из 33 опорных университетов. Классификация форм, методов
и инструментов развития кадрового
потенциала опорных университетов Целесообразно отметить и еще одну форму
развития кадрового потенциала – повышение при-
влекательности университета как места развития
карьеры. Мероприятия в данной области запла-
нированы в программах развития 8 из 33 опорных
университетов. Под механизмом развития кадрового по-
тенциала университета будем понимать сово-
купность взаимодействующих форм, методов
и инструментов организации и проведения ме-
роприятий по развитию кадрового потенциала
в рамках реализации программ развития универ-
ситетов. Данное определение не претендует на ис-
черпывающую полноту описания особенностей
механизмов развития кадрового потенциала уни-
верситетов. В то же время на его основе разра-
ботана авторская классификация форм, методов
и инструментов развития кадрового потенциала
опорных университетов России. Таким образом, можно представить следую-
щую классификацию форм развития кадрового
потенциала, наиболее часто используемых в прак-
тике опорных университетов (рис. 1). Методы развития кадрового потенциала це-
лесообразно отнести к двум большим группам –
группе инвариантных методов, которые в той
или иной степени наблюдаются при реализации
большинства форм развития кадрового потенци-
ала, и группе специфических методов, которые
проявляются в рамках отдельных форм развития
кадрового потенциала. Анализ программ развития опорных универ-
ситетов показал определенную диверсификацию
механизмов развития кадрового потенциала опор-
ных университетов. Большинство наблюдаемых
форм развития кадрового потенциала носит вну-
триуниверситетский (корпоративный) характер. Надуниверситетские формы практически не за-
действованы. В группе инвариантных методов выделим про-
ектные методы, в рамках которых развитие кадро-
вого потенциала осуществляется при разработке
и реализации проектов, в том числе и стратегиче-
ских. В качестве примеров приведем стратегиче-
ский проект Магнитогорского государственного
технического университета им. Г. И. Носова по соз-
данию научно-образовательного центра новых ма-
териалов и iSmArt-металлургии, в рамках которо-
го формируется система поддержки талантливой
молодежи, пилотный проект «Учебный ассистент»
Череповецкого государственного университета,
проект «Разработка и внедрение новой модели
трудовых отношений» Самарского государствен-
ного технического университета, проект Вятского
государственного университета «Ассистент». Последний нацелен на поддержку аспирантов и мо-
лодых научно-педагогических работников, показав-
ших хорошую публикационную активность: в пер-
вые годы работы над диссертационным исследова-
нием им на конкурсной основе будет предоставлена
возможность заключения с университетом эффек-
тивного контракта по должности «ассистент». Важнейшей формой развития кадрового по-
тенциала опорных университетов является вне-
дрение эффективного контракта. Мероприятия,
связанные с функционированием и развитием
систем эффективных контрактов, представлены
в программах развития 18 из 33 опорных уни-
верситетов. Работа с молодыми специалистами представ-
ляет собой один из ключевых трендов развития
кадрового потенциала. Так и или иначе меропри-
ятия по привлечению и закреплению молодых
научно-педагогических работников представ-
лены в программах развития 20 из 33 опорных
университетов. 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis Суровицкая Г. В. Механизмы развития кадрового потенциала Flagship Universities’ Personnel Potential Development Mechanisms in Russia. University
Management: Practice and Analysis. 2019; 23(1–2): 72–80. (In Russ.). DOI: 10.15826/umpa.2019.01-2.005 а современном этапе развития системы выс-
шего образования страны реализуется проект
по созданию и развитию опорных университетов,
призванных стать драйверами регионального со-
циально-экономического развития. Пока в проекте
участвуют 33 университета, находящиеся на тер-
ритории 32 регионов и реализующие програм-
мы развития, включающие блоки мероприятий
по развитию кадрового потенциала. давательского состава, особенно доли молодых
педагогических работников, негативно сказывает-
ся на качестве образования [9]. Решение отмечен-
ных проблем может быть обеспечено в результате
формирования и реализации программ развития
университетов [10]. у
р
[
]
На момент разработки программ развития
опорных университетов – первая волна – 2015 г.,
вторая волна – 2017 г., еще не были запущены на-
циональные проекты, нацеленные на достижение
целей Указа Президента Российской Федерации
от 07.05.2018 № 204 «О национальных целях
и стратегических задачах развития Российской
Федерации на период до 2024 года». По мнению
автора, эффективная реализация национальных
проектов, в первую очередь национальных про-
ектов «Образование» и «Наука», во многом зави-
сит от наработанного потенциала ведущих уни-
верситетов России. Реализация же региональных
проектов в составе федеральных и национальных
проектов потребует развития кадрового потенци-
ала университетов региональных. Поэтому опыт
опорных университетов по разработке и совер-
шенствованию механизмов развития кадрового
потенциала представляет интерес как для ис-
следователей российской системы высшего об-
разования, так и для менеджеров региональных
университетов. Необходимо подчеркнуть целесообразность
создания различных региональных механизмов
для первоначального накопления опыта, в том
числе и в сфере развития кадрового потенциа-
ла, и для обеспечения эффективного масштаби-
рования лучших практик на страну в целом [1]. Кадровый потенциал, являясь основной компо-
нентой потенциала университетов, отражает по-
тенциальные возможности персонала в долго-
срочной перспективе [2]. Ряд исследователей от-
мечает недостаточную эффективность механизмов
стимулирования профессионального роста, при-
влечения высококвалифицированного персонала,
обеспечения высокой публикационной активно-
сти научно-педагогических работников, развития
международного сотрудничества [3–6], указывает
на значение развития кадрового потенциала как
составной части потенциала интеллектуально-
го [7]. В рамках ресурсного подхода к анализу
кадрового потенциала выявлен ряд показателей,
влияющих на эффективность университетов. Так, возрастные характеристики профессорско-
преподавательского состава существенно вли-
яют на развитие его квалификационных и ком-
петентностных характеристик [8], что на фоне
сокращения численности профессорско-препо- Методология проведенного исследования ба-
зируется на сравнительном анализе содержания
мероприятий по развитию кадрового потенциала,
представленных в программах развития опорных
университетов, с целью классификации наиболее
распространенных форм, методов и инструмен-
тов, входящих в состав механизмов развития ка- 73 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis рансформация профессионального поля высшего образования и задачи управления менты реализации программы поддержки функ-
ционирования докторантуры (Волгоградский
государственный технический университет), ин-
струменты улучшения жилищных условий моло-
дых научно-педагогических работников (Донской
государственный университет, Марийский госу-
дарственный университет). та, Мурманского арктического государственного
университета, Петрозаводского государственного
университета, Тюменского индустриального уни-
верситета. Спектр специфических методов развития
кадрового потенциала, используемых в практи-
ке опорных университетов, достаточно широк. Сюда могут быть отнесены разработка и введение
в действие периодически обновляемой системы
требований конкурсного отбора научно-педагоги-
ческих работников, повышение требований к дру-
гим категориям работников; совершенствование
системы аттестации персонала (Воронежский
государственный технический университет);
реализация персонифицированных программ
профессионально-личностного роста научно-пе-
дагогических работников, имидж-консультиро-
вание и имидж-конструирование научно-педаго-
гических работников (Мурманский арктический
государственный университет); формирование
единой корпоративной культуры вуза нового об-
разца (Тюменский индустриальный универси-
тет); проведение конкурсов профессионального
мастерства научно-педагогических работни-
ков (Уфимский государственный нефтяной тех-
нический университет); модернизация программ
дополнительного профессионального образования
ключевого персонала, в том числе, с привлечени-
ем зарубежных партнеров (Костромской госу-
дарственный университет); создание HR-службы
университета (Псковский государственный уни-
верситет, Сибирский государственный медицин-
ский университет, Костромской государственный
университет). Необходимо подчеркнуть, что ни в одной про-
грамме развития опорных университетов первой
волны не представлены мероприятия по развитию
кадрового потенциала в рамках системы внутрен-
ней независимой оценки качества образования (хо-
тя ряд университетов, например, Калмыцкий госу-
дарственный университет им. Б. Б. Городовикова,
в других разделах программ развития отразили
внутривузовские системы контроля качества
образования). На момент разработки программ
развития письмом Министерства образования
и науки Российской Федерации от 03.04.2015
№ АП‑512/02 «О направлении Методических
рекомендаций по независимой системе оценки
качества образования» определен ряд направ-
лений оценки качества работы педагогических
работников. Они уточнены в Методических ре-
комендациях по организации и проведению в об-
разовательных организациях высшего образо-
вания внутренней независимой оценки качества
образования по образовательным программам
высшего образования – программам бакалаври-
ата, программам специалитета и программам
магистратуры (далее по тексту – Методические
рекомендации) (письмо Министерства образова-
ния и науки Российской Федерации от 15.02.2018
№ 05–436 «О Методических рекомендациях»). Поскольку наличие системы внутренней оцен-
ки качества образования является обязательным
требованием ФГОС3++, это может стать новой
формой развития кадрового потенциала. В соот-
ветствии с Методическими рекомендациями в ча-
сти организации и проведения внутренней неза-
висимой оценки качества работы педагогических
работников образовательных организаций целесо-
образно отметить такие методы развития кадро-
вого потенциала, как проведение конкурсов педа-
гогического мастерства, системный мониторинг
уровня квалификации ППС, анализ портфолио их
профессиональных достижений, оценка качества
работы ППС обучающимися. 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis Классификация форм, методов
и инструментов развития кадрового
потенциала опорных университетов Еще одна форма развития кадрового потенци-
ала опорных университетов связана с совершен- 74 Суровицкая Г. В. Механизмы развития кадрового потенциала Рис. 1. Формы развития кадрового потенциала опорных университетов
Fig. 1. Forms of flagship universities’ personnel potential development
Формы развития кадрового потенциала опорных университетов
Функционирование и развитие систем эффективных контрактов
Привлечение и закрепление молодых научно-педагогических
работников
Совершенствование системы непрерывного образования
работников университетов
Формирование и развитие кадрового резерва
Поддержание и развитие высококвалифицированного кадрового
потенциала
Повышение
привлекательности
университета
как
места
развития карьеры Рис. 1. Формы развития кадрового потенциала опорных университетов
Fig. 1. Forms of flagship universities’ personnel potential development ляется создание сервисов в ходе цифровой транс-
формации университетов. В программе развития
Волгоградского государственного технического
университета запланировано создание внутри-
корпоративного ресурса для мониторинга пока-
зателей результативности академической, научной
и управленческой деятельности. В программе раз-
вития Марийского государственного университе-
та планируется реализация сервисов повышения
конкурентоспособности кадрового потенциала. Инвариантным методом развития кадрового
потенциала является организация и проведение
внутривузовских конкурсов, грантов. Так, в про-
грамме развития Калмыцкого государственно-
го университета им. Б. Б. Городовикова данный
конкурс направлен на поддержку докторан-
тов, аспирантов, преподавателей и сотрудников. Реализация грантовой программы поддержки
проектов, реализуемых с участием аспирантов
и молодых научно-педагогических кадров, плани-
руется в Волгоградском государственном техни-
ческом университете. В Донском государственном
техническом университете грантовая программа
им. Л. В. Красниченко предполагает развитие ка-
дрового потенциала за счет поддержки научно-
исследовательской деятельности на базе центров
превосходства университета. ур
р
К инвариантным методам до определенной
степени может быть отнесено внедрение систе-
мы международного рекрутинга и привлечения
иностранных научно-педагогических работников
для работы по трудовым договорам (Воронежский
государственный технический университет,
Донской государственный технический универ-
ситет, Калмыцкий государственный универ-
ситет им. Б. Б. Городовикова, Магнитогорский
государственный технический университет
им. Г. И. Носова, Новгородский государствен-
ный университет им. Ярослава Мудрого, Омский
государственный технический университет,
Сыктывкарский государственный университет
им. Питирима Сорокина, Ульяновский государ-
ственный университет). Автор считает целесообразным отнести
к инвариантным методам развития кадрового по-
тенциала и развитие института наставничества,
тьюторства. Мероприятия в данной сфере пред-
ставлены в программах развития Нижегородского
государственного технического университе-
та им. Р. Е. Алексеева, Новгородского государ-
ственного университета им. Ярослава Мудрого,
Псковского государственного университета,
Самарского государственного технического уни-
верситета, Сыктывкарского государственного
университета им. Питирима Сорокина. Наконец, к инвариантным методам отнесем
дифференциацию карьерных траекторий сотруд-
ников: образовательной, исследовательской, ад-
министративной, что представлено в программах
развития Вятского государственного университе- Еще одним инвариантным методом развития
кадрового потенциала опорных университетов яв- 75 Суровицкая Г. В. Механизмы развития кадрового потенциала Масштабный проект по определению значений
критериев может быть организован при поддерж-
ке Министерства науки и высшего образования
Российской Федерации. Для целей настоящего
исследования хороший потенциал имеет модель
мониторинга эффективности вузов. На текущий
момент известны результаты мониторинга 2016,
2017, 2018 г., которые обобщают результаты де-
ятельности вузов в 2015, 2016, 2017 г. соответ-
ственно. То есть имеется возможность оценки
эффективности механизмов развития кадрового
потенциала опорных университетов первой вол-
ны на момент начала их участия в проекте (2015),
а также по итогам первого (2016) и второго (2017)
года реализации программ развития. Для опорных
вузов второй волны возможна оценка эффектив-
ности механизмов развития кадрового потенци-
ала на момент начала участия в проекте (2016)
и по итогам первого года реализации программ
развития (2017). Если говорить о надуниверситетских меха-
низмах развития кадрового потенциала универ-
ситетов, то они, по-видимому, носят пороговый
характер. Порог «срабатывания» зависит от эф-
фективности корпоративных механизмов разви-
тия кадрового потенциала, поэтому на создание
адекватных надуниверситетских форм развития
кадрового потенциала опорных университетов по-
требуется определенное время. рансформация профессионального поля высшего образования и задачи управления Соответственно,
к инструментам развития кадрового потенциа-
ла в рамках данной формы можно отнести поло-
жения о конкурсах педагогического мастерства,
планы и отчеты в рамках процедур мониторинга,
анкеты и отчеты в рамках проведения опросов об-
учающихся. Инструменты развития кадрового потенциала
также могут быть инвариантными и специфиче-
скими. К инвариантным инструментам отнесем: эф-
фективный контракт, портфолио и рейтинги на-
учно-педагогических работников, конкурсные
инструменты поддержки их научных инициатив,
программы переподготовки и повышения ква-
лификации научно-педагогических работников,
планы и отчеты в сфере развития кадрового по-
тенциала, информационные системы поддержки
этого вида деятельности. Примерами специфических инструментов
развития кадрового потенциала являются инстру-
менты инсталляции методик и алгоритмов движе-
ния WorldSkills в практику университета в соот-
ветствии с современными стандартами и передо-
выми технологиями под потребности экономики
региона (Магнитогорский государственный тех-
нический университет им. Г. И. Носова); инстру- 76 Эффективность механизмов развития
кадрового потенциала опорных
университетов На основе результатов систематизации форм,
методов и инструментов развития кадрового по-
тенциала опорных университетов разработана
модель эффективности механизмов развития ка-
дрового потенциала. Она содержит показатели
двух групп. Первая группа включает показатели,
характеризующие состояние кадрового потенци-
ала университета. Вторая группа показателей ха-
рактеризует развитие кадрового потенциала. Интерес представляют не только результаты
отдельных университетов, но усредненные резуль-
таты по группам опорных университетов. В табл. 1 показана динамика усредненных зна-
чений показателей состояния кадрового потенци-
ала для различных групп опорных университетов. Для обеспечения релевантности критериев
целесообразно использовать такие, которые одно-
временно определяются для всех университетов. Таблица 1 Показатели состояния кадрового потенциала 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis рансформация профессионального поля высшего образования и задачи управления Как видно из табл. 1, по итогам 2017 г. опор-
ные университеты первой волны (два года реа-
лизации программ развития) опережали опорные
университеты второй волны (один год реали-
зации программ развития) по 7 из 9 показате-
лей состояния кадрового потенциала. Причем
группа университетов второй волны, опережая
по показателям «Доля ППС, имеющего ученые
степени» и «Доля ППС возрастной категории
моложе 65 лет», заметно уступает группе опор-
ных университетов первой волны по показателю
«Доля ППС возрастной категории моложе 40 лет». На старте проекта группа опорных университетов
второй волны (2016) была несколько более конку-
рентоспособной по сравнению с группой опорных
университетов первой волны (2015). зов. В то же время, данные частного рейтинга
«Социализация» Национального рейтинга уни-
верситетов в определенной степени коррелируют
с данными по средней заработной плата ППС (без
внешних совместителей и работающих по дого-
ворам ГПХ). Так по итогам первого года реализа-
ции программ развития опорных университетов
первой волны наименьшее количество баллов
в рейтинге в рейтинге «Социализация» получил
Костромской государственный университет (234-
е место, 378 баллов) [12]. За тот же период уни-
верситет оказался наименее конкурентоспособ-
ным в своей группе по средней заработной плата
ППС (30,82 тыс. руб.). Такое положение дел сохра-
нилось и в течение второго года реализации про-
грамм развития опорных университетов первой
волны. Лидер в группе опорных университетов
в рейтинге «Социализация» по итогам 2017 г. –
Новосибирский государственный технический
университет (30-е место, 557 баллов) – демонстри-
рует конкурентный уровень средний заработной
платы ППС и научных работников (63,03 тыс. руб. и 95,20 тыс. руб. соответственно). Среди опорных университетов второй вол-
ны по итогам первого года реализации программ
развития более конкурентоспособна первая груп-
па, хотя на старте проекта доминировала вторая
группа. По показателю «Доля ППС, имеющего ученые
степени» наилучший результат у Белгородского
государственного технологического университета
им. В. Г. Шухова – 88,24 %. По показателю «Доля ППС возрастной кате-
гории моложе 40 лет» по итогам 2017 г. лидирует
Омский государственный технический универ-
ситет (39,15 %). Однако на момент начала проек-
та (2015) значение данного показателя составляло
43,96 %, то есть падение составило более 10 %. Максимального значения показателя «Доля
научных работников, имеющих ученые сте-
пени» – 100 % – достигли Уфимский государ-
ственный нефтяной технический университет
и Калмыцкий государственный университет
им. Б. Б. Городовикова. 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis Table 1 77
2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis
Table 1
Indicators of the state of human resources
Показатели
Опорные универси-
теты первой волны
Опорные университеты второй волны
в целом
1 группа
2 группа
2015
2016
2017
2016
2017
2016
2017
2016
2017
Общая численность работников образовательной ор-
ганизации (без внешних совместителей и работающих
по договорам ГПХ), чел. 1841
2558
2512
1453
1338
1682
1566
1321
1208
Общая численность ППС (без внешних совместителей
и работающих по договорам ГПХ), чел. 683
991
954
546
508
603
570
514
473
Общая численность научных работников (без внешних
совместителей и работающих по договорам ГПХ), чел. 26
21
24
22
18
22
21
23
17
Доля ППС, имеющего ученые степени, %
70,2
70,9
71,7
76,3
77,5
76,3
78,1
76,3
77,1
Доля научных работников, имеющих ученые степени, %
47,6
54,3
57,6
51,7
48,8
47,0
54,8
54,4
45,3
Доля ППС возрастной категории моложе 65 лет, %
81,8
82,6
82,4
84,1
84,0
81,0
81,6
85,8
85,4
Доля ППС возрастной категории моложе 40 лет, %
36,1
35,4
33,3
29,9
27,9
27,7
26,5
31,2
28,7
Средняя заработная плата ППС (без внешних совмести-
телей и работающих по договорам ГПХ), тыс. руб. 41,9
44,4
50,5
42,6
49,8
47,3
56,9
39,9
45,7
Средняя заработная плата научных работников (без
внешних совместителей и работающих по договорам
ГПХ), тыс. руб. 67,1
66,6
87,1
68,4
69,5
60,1
83,0
73,1
61,8
[Составлено автором по данным мониторинга эффективности вузов] Indicators of the state of human resources 77 Суровицкая Г. В. Механизмы развития кадрового потенциала По итогам 2017 г. по сравнению с 2016 г. 16
из 22 (73 %) опорных университетов показали сни-
жение доли ППС возрастной категории моложе
40 лет в интервале от 3,18 до 27,69 %. Причем у 12
из 22 (55 %) по итогам 2017 г. значение данного
показателя ниже 30 %. Самое низкое значение по-
казателя в 2017 г. наблюдается для Новгородского
государственного университета им. Ярослава
Мудрого (16,77 %). Среди групп опорных уни-
верситетов, представленных в таблице 1, самое
низкое значение показателя (26,5 %) демонстриру-
ет первая группа второй волны, хотя для данной
группы наблюдаются самые низкие темпы паде-
ния значения показателя (–4 %), самые высокие
темпы падения показателя (–8 %) наблюдаются
для второй группы второй волны. тов России пока не привела к заметным эффек-
там в сфере развития кадрового потенциала. Цели
развития опорных университетов должны быть
скорректированы с учетом задач реализации на-
циональных проектов «Образование» и «Наука». Реализация данных проектов потребует суще-
ственной эффективности кадрового потенциала
опорных университетов, что обусловливает це-
лесообразность использования инновационных
методов совершенствования механизмов разви-
тия кадрового потенциала. Важнейшим направ-
лением внедрения инноваций должно стать соз-
дание и развитие систем внешней и внутренней
независимой оценки качества образования. Для
формирования надуниверситетских механизмов
развития кадрового потенциала критически важно
достичь определенного уровня развития, при ко-
тором существенно выше доля молодых научно-
педагогических работников, наиболее восприим-
чивых к инновациям в области HR-менеджмента
и новым методам работы. Эти методы обеспечат
задействование резервов надуниверситетских
форм развития кадрового потенциала, в том числе
и на основе использования опыта развития персо-
нала и продвижения в международных рейтингах
ведущих университетов страны. Массивы значений показателей «Доля ППС
возрастной категории моложе 65 лет» и «Доля
ППС возрастной категории моложе 40 лет» для
опорных университетов как первой, так и второй
волны за все время наблюдений коррелируют не-
значительно. Для группы опорных университетов
первой волны коэффициент корреляции массивов
в 2015 г. равен 0,15, в 2016 г. – 0,23, в 2017 г. – 0,16. Для группы опорных университетов второй вол-
ны в 2016 году – 0,11, а в 2017 году корреляция
массивов не наблюдается (–0,07). Не наблюдается
также корреляция данных массивов в 2017 г. для
всей группы опорных университетов. В тот же пе-
риод эти массивы не коррелировали и с массивом
значений показателя «Средняя заработная плата
ППС (без внешних совместителей и работающих
по договорам ГПХ)». рансформация профессионального поля высшего образования и задачи управления По итогам двух лет реализации программ раз-
вития 8 из 11 (73 %) опорных университетов пер-
вой волны по показателю «Доля ППС возрастной
категории моложе 40 лет» показали результаты,
которые несколько хуже значений данного пока-
зателя на момент начала проекта. По-видимому,
сказалось присоединение более слабых вузов в ка-
честве структурных подразделений. Максимальное значение показателя «Доля
ППС возрастной категории моложе 65 лет» наблю-
дается для Алтайского государственного универ-
ситета (93,03 %). По уровню средней заработной платы ППС
и научных работников наиболее конкуренто-
способны опорные университеты второй вол-
ны. По итогам 2017 г. средняя заработная плата
ППС (без внешних совместителей и работаю-
щих по договорам ГПХ) в Мурманском арктиче-
ском государственном университете составила
70,50 тыс. руб., средняя заработная плата научных
работников (без внешних совместителей и рабо-
тающих по договорам ГПХ) в Тульском государ-
ственном университете составила 137,92 тыс. руб. За все время реализации проекта из опорных
университетов первой волны только Костромской
государственный университет показывал значение
показателя «Доля ППС возрастной категории мо-
ложе 40 лет» ниже 30 % (24,52 % в 2015 г., 25,57 %
в 2016 г. и 25,47 % в 2017 г.). Представленные в его
программе развития университета мероприятия
по развитию системы непрерывного образова-
ния ключевого персонала, в том числе, создание
межвузовской системы переподготовки и повы-
шения квалификации, модернизация программ
дополнительного профессионального образования
ключевого персонала, развитие инновационной
готовности и проектных компетенций ключевого
персонала, должны быть дополнены блоком более
эффективных мероприятий по повышению доли
ППС возрастной категории моложе 40 лет. Для анализа эффективности механизмов мо-
дернизации основных видов деятельности опор-
ных университетов могут быть использованы
данные Национального рейтинга университетов,
формируемого Международной информацион-
ной группой «Интерфакс». Однако эти данные
не позволяют определить эффективность ме-
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of Ural University, 2016, 215 p. 11. Zajceva E. V., Zaparij V. V., Kljuev A. K., Kul’pin S. V.,
Shkurin D. V. Organizacionno-kadrovyj potencial univer-
siteta: metodologija i metodika izmerenija [Organizational
and personnel potential of the University: methodology and
measurement methodology]. Galina V. Surovitskaya – Dr. hab. (Economics), Associate Professor, Head of Quality Management Department, Penza State
University; 8‑905‑36‑736‑98; gvs_kachestvo@inbox.ru. Информация об авторе / Information about the author: Суровицкая Галина Владимировна – доктор экономических наук, доцент, начальник отдела менедж
Пензенского государственного университета; 8‑905‑36‑73‑698; gvs_kachestvo@inbox.ru. Суровицкая Галина Владимировна – доктор экономических наук, доцент, начальник отдела менеджмента качества
Пензенского государственного университета; 8‑905‑36‑73‑698; gvs_kachestvo@inbox.ru. Galina V. Surovitskaya – Dr. hab. (Economics), Associate Professor, Head of Quality Management Departm
University; 8‑905‑36‑736‑98; gvs_kachestvo@inbox.ru. Galina V. Surovitskaya – Dr. hab. (Economics), Associate Professor, Head of Quality Management Department, Penza State
University; 8‑905‑36‑736‑98; gvs_kachestvo@inbox.ru. 80 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analysis 2019; 23(1-2): 72–80 Университетское управление: практика и анализ / University Management: Practice and Analys
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https://openalex.org/W3194226021
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https://link.springer.com/content/pdf/10.1007/s00222-021-01065-x.pdf
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English
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Babai’s conjecture for high-rank classical groups with random generators
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Inventiones mathematicae
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cc-by
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Invent. math. (2022) 227:149–210
https://doi.org/10.1007/s00222-021-01065-x B Urban Jezernik
urban.jezernik@fmf.uni-lj.si Babai’s conjecture for high-rank classical groups
with random generators Sean Eberhard1 · Urban Jezernik2 Received: 20 May 2020 / Accepted: 21 July 2021 / Published online: 17 August 2021
© The Author(s) 2021 Abstract Let G = SCln(q) be a quasisimple classical group with n large, and
let x1, . . . , xk ∈G be random, where k ≥qC. We show that the diameter of
the resulting Cayley graph is bounded by q2nO(1) with probability 1 −o(1). In the particular case G = SLn(p) with p a prime of bounded size, we show
that the same holds for k = 3. 2
Department of Mathematics, Faculty of Mathematics and Physics, University of
Ljubljana, Jadranska 21, 1000 Ljubljana, Slovenia Sean Eberhard
eberhard@maths.cam.ac.uk Contents 1 Introduction
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
2 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
3 Word maps, queries, and trajectories
. . . . . . . . . . . . . . . . . . . . . . . . . . 161
4 The probability of small support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
5 Expected values of characters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 1 Introduction
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
2 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
3 Word maps, queries, and trajectories
. . . . . . . . . . . . . . . . . . . . . . . . . . 161
4 The probability of small support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
5 Expected values of characters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 S. 1
Centre for Mathematical Sciences, Wilberforce Road, Cambridge CB3 0WB, UK Contents . . . . . . . . . 172
8 Closed trajectories with only one coincidence . . . . . . . . . . . . . . . . . . . . . . 180
9 Expansion in low-degree representations
. . . . . . . . . . . . . . . . . . . . . . . . 184
10 Diameter of the Cayley graph . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Appendix A: Analogous arguments for Sn . . . . . . . . . . . . . . . . . . . . . . . . . 199
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 Contents Eberhard has received funding from the European Research Council (ERC) under the
European Union’s Horizon 2020 research and innovation programme (Grant Agreement No. 803711) U. Jezernik has received funding from the European Research Council (ERC) under
the European Union’s Horizon 2020 research and innovation programme (grant agreement
No. 741420). S. Eberhard has received funding from the European Research Council (ERC) under the
European Union’s Horizon 2020 research and innovation programme (Grant Agreement No. 803711) U. Jezernik has received funding from the European Research Council (ERC) under
the European Union’s Horizon 2020 research and innovation programme (grant agreement
No. 741420). Sean Eberhard
eberhard@maths.cam.ac.uk 123 3 S. Eberhard, U. Jezernik 150 6 Reaching a normal subset: the xw(y, z) trick . . . . . . . . . . . . . . . . . . . . . . 169
7 Obtaining an element of minimal degree
. . . . . . . . . . . . . . . . . . . . . . . . 172
8 Closed trajectories with only one coincidence . . . . . . . . . . . . . . . . . . . . . . 180
9 Expansion in low-degree representations
. . . . . . . . . . . . . . . . . . . . . . . . 184
10 Diameter of the Cayley graph . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Appendix A: Analogous arguments for Sn . . . . . . . . . . . . . . . . . . . . . . . . . 199
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 6 Reaching a normal subset: the xw(y, z) trick . . . . . . . . . . . . . . . . . . . . . . 169
7 Obtaining an element of minimal degree
. . . . . . . . . . . . . . . 1 Introduction Let G be a group and S a symmetric (S = S−1) subset of G. Write Cay(G, S)
for the associated Cayley graph: the graph whose vertices are the elements
g ∈G and whose edges are pairs {g, sg} with g ∈G, s ∈S. The graph
Cay(G, S) is connected if and only if S generates G, and its diameter is equal
to the smallest d such that (S ∪{1})d = G. A well-known conjecture of Babai
[9] states that diam Cay(G, S) = (log |G|)O(1), uniformly over all nonabelian finite simple groups G and symmetric generating
sets S. In other words, every connected Cayley graph of a nonabelian finite
simple group has diameter within a power of the trivial lower bound. By the classification of finite simple groups, Babai’s conjecture splits into
essentially three broad cases: 1. Groups of Lie type of bounded rank over Fq with q →∞; 2. Classical groups of unbounded rank over Fq with q arbitrary; 3. Alternating groups An with n →∞. For groups of Lie type and bounded rank, Babai’s conjecture is now com-
pletely resolved, following breakthrough work of Helfgott [23], Pyber–Szabó
[39], and Breuillard–Green–Tao [5]. In the other two cases the conjecture
remains open. For the alternating groups, Helfgott and Seress [25] proved
that diam Cay(An, S) = exp O((log n)4 log log n). For comparison, Babai’s conjecture (folkloric in this case) asserts that diam Cay(An, S) = nO(1); thus we have a quasipolynomial bound instead of the expected polynomial
bound. The case of classical groups of unbounded rank on the other hand is
still wide open. The best bounds currently known are due to Biswas–Yang and thus we have a quasipolynomial bound instead of the expected polynomial
bound. The case of classical groups of unbounded rank on the other hand is
still wide open. The best bounds currently known are due to Biswas–Yang and 123 151 Babai’s conjecture for random generators Halasi–Maróti–Pyber–Qiao: Halasi–Maróti–Pyber–Qiao: alasi–Maróti–Pyber–Qiao: diam Cay(G, S) ≤q O(n(log n+log q)3)
([BY17]);
diam Cay(G, S) ≤q O(n(log n)2)
([HMPQ19]). (1) (1) By contrast, Babai’s conjecture in this case asserts that diam Cay(G, S) ≤(n log q)O(1), so we are still exponentially stupid. A key open case is the family of groups
SLn(2) with n tending to infinity. so we are still exponentially stupid. A key open case is the family of groups
SLn(2) with n tending to infinity. 1 Throughout the paper, we use the terms “almost surely” or “with high probability” to mean
with probability 1 −o(1) as the relevant parameters tend to infinity. 1 Introduction In all cases, an important subproblem is the case of random generators
(see, e.g., [38, Problem 10.8.6]). Let k ≥2 be a small constant and let
S = {x±1
1 , . . . , x±1
k }, where x1, . . . , xk ∈G are uniform and independent. For groups of Lie type of bounded rank, it was proved by Breuillard, Green,
Guralnick, and Tao [4] that Cay(G, S) is almost surely1 an expander, and in
particular diam Cay(G, S) = O(log |G|). There is no consensus about whether such a strong bound is likely to hold for
groups of unbounded rank. Babai’s conjecture for An and random generators
was an open problem for some time. The first polynomial bound was proved
by Babai and Hayes, and the exponent has been lowered by Schlage-Puchta
and Helfgott–Seress–Zuk: diam Cay(An, S) ≤n7+o(1)
([BH05]);
diam Cay(An, S) ≤O(n3 log n)
([SP12]);
diam Cay(An, S) ≤n2(log n)O(1)
([HSZ15]). (2) diam Cay(An, S) ≤n7+o(1)
([BH05]);
diam Cay(An, S) ≤O(n3 log n)
([SP12]);
diam Cay(An, S) ≤n2(log n)O(1)
([HSZ15]). (2) (2) In this paper we consider the case of high-rank classical groups over a small
field. Recall that these are obtained from the groups GLn(q), Spn(q), GO(±)
n
(q), GUn(q), of automorphisms of a finite vector space V = Fn
q, in the latter three cases
equipped with a nondegenerate alternating, quadratic, or hermitian form, 12 3 152 S. Eberhard, U. Jezernik respectively. Throughout we write GCln(q) for any of these groups, and
SCln(q) for the corresponding derived subgroup respectively. Throughout we write GCln(q) for any of these groups, and
SCln(q) for the corresponding derived subgroup SLn(q), Spn(q), (±)
n
(q), SUn(q). We will write Cln(q) for any intermediate group: We will write Cln(q) for any intermediate group: SCln(q) ≤Cln(q) ≤GCln(q). Omitting a few small exceptional cases, SCln(q) is a quasisimple group, so
Babai’s conjecture applies.2 For SCln(q) with n large and random generators,
the best bound out there is just the uniform bound (1). Omitting a few small exceptional cases, SCln(q) is a quasisimple group, so
Babai’s conjecture applies.2 For SCln(q) with n large and random generators,
the best bound out there is just the uniform bound (1). There is a promising programme of Pyber, which aims to prove Babai’s
conjecture in three steps. 2 The diameter of SCln(q) with respect to a set S is essentially the same (up to a factor of 3)
as the diameter of the simple quotient PSCln(q) with respect to S mod Z. Indeed, if Sd = G
then certainly Sd Z = G, and conversely if Sd Z = G then it is possible to show that S3d = G.
Hence there is no need to consider PSCln(q) explicitly. p
q
n(q)
p
,
then certainly Sd Z = G, and conversely if Sd Z = G then it is possible to show that S3d = G.
Hence there is no need to consider PSCln(q) explicitly. y
,
y
Hence there is no need to consider PSCln(q) explicitly. The diameter of SCln(q) with respect to a set S is essentially the same (up to a factor of 3)
the diameter of the simple quotient PSCln(q) with respect to S mod Z. Indeed, if Sd = G
d
d
3d 1 Introduction Let x, y, z be elements of G chosen uniformly at random, and let
S = {x±1, y±1, z±1}. Then with probability 1 −e−cn we have Theorem 1.2 Let SLn(p) ≤G ≤GLn(p), where p is prime and log p <
cn/ log2 n. Let x, y, z be elements of G chosen uniformly at random, and let
S = {x±1, y±1, z±1}. Then with probability 1 −e−cn we have ⟨S⟩≥SLn(p), and
diam Cay(⟨S⟩, S) ≤nO(log p). Second, assuming we have sufficiently many random generators depending
on q, we will do step 3 in a particularly satisfactory way. In fact, we will prove
that the Schreier graph of the action of G on O(1)-tuples of vectors is almost
surely a union of expander graphs. (The analogous result for the symmetric
group is a result of Friedman, Joux, Roichman, Stern, and Tillich [15], and
was essential in [26].) Theorem 1.3 Let G = Cln(q), and let x1, . . . , xk ∈G be random. Let W
be the set of r-tuples of vectors in the natural module V = Fn
q. Assume that
r < cn1/3, and that k ≥qCr3. Then almost surely the Schreier graph of G
generated by x1, . . . , xk on any of its orbits in W has a uniform spectral gap. Theorem 1.3 Let G = Cln(q), and let x1, . . . , xk ∈G be random. Let W
be the set of r-tuples of vectors in the natural module V = Fn
q. Assume that
r < cn1/3, and that k ≥qCr3. Then almost surely the Schreier graph of G
generated by x1, . . . , xk on any of its orbits in W has a uniform spectral gap. As we will explain, this implies that if we have an element of minimal degree
then by conjugation we can rapidly obtain a full conjugacy class of elements
of minimal degree, and it follows in short order that the diameter of G is not
too large. This completes the proof of Babai’s conjecture for SCln(q) for k
random generators, as long as k is sufficiently large compared to q. Theorem 1.4 There are constants c, C > 0 so that the following holds. Let
G = Cln(q), where n > C. Let x1, . . . 1 Introduction The programme is motivated by the positive solution
in the case of random generators in alternating groups, especially the result
of Babai–Beals–Seress [3] that diam Cay(An, S) ≤nO(1) provided only that
S contains an element of degree at most n/(3 + ϵ). Here the degree of a
permutation is the number of non-fixed points. Analogously, the degree of an
element g ∈GLn(q) is defined to be the rank of g−1, and Pyber’s programme
is the following. . Given some generators, find an element whose degree is at most (1 −ϵ)n. 1. Given some generators, find an element whose degree is at most (1 −ϵ)n. 2. Given an element of degree (1 −ϵ)n, find an element of minimal degree. 3. Given an element whose degree is minimal, finish the proof. g
,
g
(
)
2. Given an element of degree (1 −ϵ)n, find an element of minimal degree. 3 Given an element whose degree is minimal finish the proof . Given an element of degree (1 −ϵ)n, find an element of minimal degree. Gi
l
h
d
i
i i
l fii h h
f 2. Given an element of degree (1 −ϵ)n, find an element of minimal degree. 3. Given an element whose degree is minimal, finish the proof. . Given an element whose degree is minimal, finish the proof. In the case of alternating groups, step 3 is essentially trivial, since there are
only O(n3) 3-cycles in An, but for SCln(q) it is highly nontrivial. In the case
of SLn(p), p prime, step 3 was accomplished recently by Halasi [22]. We have two things to contribute in the case of large n, small q. First,
assuming we have at least 3 random generators, we will do steps 1 and 2 of
Pyber’s programme. Theorem 1.1 Let G = Cln(q), and assume log q < cn/ log2 n for a suffi-
ciently small constant c > 0. Let x, y, z ∈G be random. Then with probability
1 −e−cn there is a word w ∈F3 of length nO(log q) such that w(x, y, z) has
minimal degree in G′ = SCln(q). Combined with Halasi’s result, this settles Babai’s conjecture for SLn(p),
p prime and bounded, with at least 3 random generators. 12 3 153 Babai’s conjecture for random generators Theorem 1.2 Let SLn(p) ≤G ≤GLn(p), where p is prime and log p <
cn/ log2 n. 1 Introduction , xk be elements of G chosen uniformly
at random, where k > qC, and let S = {x±1
1 , . . . , x±1
k }. Then with probability
1 −q−cn we have ⟨S⟩≥SCln(q), and
diam Cay(⟨S⟩, S) ≤q2nC. Corollary 1.5 Babai’s conjecture holds in the following two cases: This is a modest improvement, but it is interesting for being conjecturally
sharp for any proof which uses elements of small support as a stepping stone. Decreasing the exponent 2 appears to require a radically new idea. Corollary 1.5 Babai’s conjecture holds in the following two cases: Corollary 1.5 Babai’s conjecture holds in the following two cases: Corollary 1.5 Babai’s conjecture holds in the following two cases: n(p), p prime and bounded, and at least 3 random generators;
C (1) SLn(p), p prime and bounded, and at least 3 random generator p
p p
g
(2) SCln(q) and at least qC random generators, where C is an absolute con-
stant. (2) SCln(q) and at least qC random generators, where C is an absolute con-
stant. Our method does not depend on the classification of finite simple groups
(CFSG) in any way. Having a CFSG-free method is valuable for transparency,
but moreover we think it is essential for attacking Babai’s conjecture. It is
well-known that two random elements of SCln(q) almost surely generate the
group: this is a result of Kantor and Lubotzky [30]. Kantor and Lubotzky rely 3 154 S. Eberhard, U. Jezernik on CFSG through Aschbacher’s theorem, so unfortunately their method does
not adapt well to proving diameter bounds. By contrast, in [14] the first author
and Virchow found a CFSG-free proof in the case of SLn(q) and expressed the
hope that the method would be generalizable. We recycle several ideas from
that paper in the present one. Perhaps the most important idea in our method is the idea that if x, y, z ∈G
are random and independent, then the elements xw(y, z) for all short words
w ∈F2 behave roughly independently, which allows us to imitate having
many more than just 3 generators. This is a more powerful version of the “xyi
trick”, which comes originally from [3, Sect. 4] and has been essential in all
subsequent work on the random generator subproblem in high rank. Let us mention one further result, of independent interest. In the appendix
we give analogous arguments for An, based on the standard fanciful idea that
An = PSLn(1). The value of doing so is mostly motivational, but we also
obtain a new result. Provided k ≥3, we sharpen (2) to diam Cay(An, S) ≤O(n2 log n). This is a modest improvement, but it is interesting for being conjecturally
sharp for any proof which uses elements of small support as a stepping stone. Decreasing the exponent 2 appears to require a radically new idea. 123 Reader’s guide For each classical group we find a large
normal set C, all of whose fibres over Gab are large (allowing us to ignore
linear characters), and a small integer m such that for every g ∈C the power
gm has minimal degree in SCln(q). This completes the proof of Theorem 1.1. Once we have an element of minimal degree, we can act on that element by
conjugation. Since the minimal degree in all cases is at most 2, this action is a
constituent of the usual permutation action on 4-tuples of vectors. We analyze
this action by again using the language of trajectories and coincidences, and the
trace method: we bound a high moment of the second eigenvalue by bounding
the trace of the corresponding power of the adjacency matrix, interpretting
the latter in terms of closed trajectories. This is analogous to a result for the
symmetric group due to Friedman, Joux, Roichman, Stern, and Tillich [15],
buildingonearlierworkofBroder–Shamir[8].However,inthecaseofclassical
groups there are some extra combinatorial complications that do not arise for
symmetric groups. The other main ingredient is the construction of an appropriate normal set
C. This is the subject of Sect. 7. For each classical group we find a large
normal set C, all of whose fibres over Gab are large (allowing us to ignore
linear characters), and a small integer m such that for every g ∈C the power
gm has minimal degree in SCln(q). This completes the proof of Theorem 1.1. Once we have an element of minimal degree, we can act on that element by
conjugation. Since the minimal degree in all cases is at most 2, this action is a
constituent of the usual permutation action on 4-tuples of vectors. We analyze
this action by again using the language of trajectories and coincidences, and the
trace method: we bound a high moment of the second eigenvalue by bounding
the trace of the corresponding power of the adjacency matrix, interpretting
the latter in terms of closed trajectories. This is analogous to a result for the
symmetric group due to Friedman, Joux, Roichman, Stern, and Tillich [15],
buildingonearlierworkofBroder–Shamir[8].However,inthecaseofclassical
groups there are some extra combinatorial complications that do not arise for
symmetric groups. We first focus (Sect. 8) on describing the structure of a closed trajectory
with only one coincidence. Reader’s guide We first record some preliminaries (Sect. 2) regarding asymptotic notation,
Cayley and Schreier graphs, classical groups and their associated formed
spaces and the notions of degree and support, and adjacency operators. Next we turn to a more specialized preparatory section (Sect. 3) dealing
with word maps, where we introduce the vocabulary of queries, coincidences,
and trajectories. Briefly, the idea is that if w ∈Fk is a given word, v ∈V a
given vector, and x1, x2, . . . , xk ∈G random, then evaluating w(x1, . . . , xk)v
can be thought of as a kind of random walk. As much as possible we recycle
the key language used by [15] in the case of the symmetric group. The tools
of this section will be used in two essentially different ways in the rest of the
paper. We proceed (Sect. 4) by showing that a given short word w evaluated at
random elements x1, . . . , xk ∈G almost surely has large support (Theo-
rem 4.2). This is a kind of antithesis to step 1 of Pyber’s programme: all
sufficiently short words in random generators will in fact fail to have degree
(1 −ϵ)n. However, this is interesting when combined with recent character
bounds of Guralnick–Larsen–Tiep [18,19], as it implies that the character ratio 123 Babai’s conjecture for random generators 155 χ(w(x1, . . . , xk))/χ(1) is almost surely small for each nonlinear character χ
(Corollary 5.3). χ(w(x1, . . . , xk))/χ(1) is almost surely small for each nonlinear character χ
(Corollary 5.3). This bound on the expectation of χ(w(x1, . . . , xk))/χ(1) is one of the two
main ingredients in the “xw(y, z) trick”, which is the subject of Sect. 6. This
trick shows that, given random generators x0, x1, . . . , xk, one can almost surely
find a short word x0w(x1, . . . , xk) lying in a given normal subset C ⊆G, pro-
vided that the density of C is large compared to the expected values of character
ratios. The trick is a simple consequence of the second moment method, fol-
lowing the observation that the elements x0w(x1, . . . , xk) for various w are
approximately pairwise independent. pp
y p
p
The other main ingredient is the construction of an appropriate normal set
C. This is the subject of Sect. 7. 2.1 Asymptotic notation Many of the arguments we will use are of asymptotic nature and we adopt
standard asymptotic notation to state these. Given functions f, g, we write
f ≪g or equivalently f = O(g) to denote that there are absolute constants
N, C > 0 so that | f (n)| ≤C · g(n) for all n ≥N. Let f ≍g mean that
f ≪g and g ≪f . We write f = o(g) to denote that for every ϵ > 0 there
is a constant N so that | f (n)| ≤ϵ · g(n) for all n ≥N. Let f = ω(g) mean
that g = o( f ). We will generally write statements that involve anonymous (usually abso-
lute) constants by using c for small constants and C for big constants. Reader’s guide We deal with the motivational case of G acting on
V first, and then generalize to the action on tuples of vectors. These results are then (Sect. 9) used to show that, in an orbit of G of size
N, the probability that a trajectory closes is close to 1/N, with a small relative
error. Again we first deal with the motivational case of G acting on V . Provided
that we have sufficiently many generators in terms of q, these bounds are good
enough for the trace method to work. This completes the proof of Theorem 1.3. Fi
ll
i S
t 10
ll
t
lt
d d d
Th
1 2
d 1 4 Finally, in Sect. 10 we collect results and deduce Theorems 1.2 and 1.4. Many (but not all) of our arguments have natural analogues for the symmet-
ric group. For independent interest and for motivation, these are presented in
Appendix A. 123 12 3 156 S. Eberhard, U. Jezernik 2 Preliminaries This section fixes some notation and definitions that will be relevant throughout
the paper. The reader needing an introduction to expansion, particularly in
Cayley and Schreier graphs, could consult Kowalski [31]. For an introduction
to classical groups, see Aschbacher [2, Chapter 7] or Grove [20]. 2.3 Classical groups Throughout the paper we write SCln(q) ≤GCln(q) ≤GLn(q) for any of the
following groups: GCln(q) : GLn(q), Spn(q), GO(±)
n
(q), GUn(q),
SCln(q) : SLn(q), Spn(q), (±)
n
(q),
SUn(q). In all cases the defining module is V = Fn
q. We sometimes refer to the first
case as the linear case. We make the following conventions in the other cases
(notation in other literature sometimes differs, particular in the GU case): Spn: n must be even. (±) Spn: n must be even. ( ) GO(±)
n
: n(q) = SOn(q)′. If n is even there are two possibilities, denoted
GO+
n (q) and GO−
n (q), depending on the choice of quadratic form. If
n is odd there is only GOn(q), and q must be odd. GUn : q must be a square q2
0. The field automorphism of Fq of order 2 is
denoted θ. GUn : q must be a square q2
0. The field automorphism of Fq of order 2 is
denoted θ. We write Cln(q) for any intermediate group: We write Cln(q) for any intermediate group: We write Cln(q) for any intermediate group: SCln(q) ≤Cln(q) ≤GCln(q). Note that any such group corresponds to a subgroup of the abelianization
GCln(q)ab, which is given as follows: GLn(q)ab ∼= F×
q ,
Spn(q)ab ∼= 1,
GO(±)
n
(q)ab ∼= C2 × C2
(q odd, n ≥2),
GO±
n (q)ab ∼= C2
(q even, n even),
GUn(q)ab ∼= {u ∈Fq : uuθ = 1}. (q odd, n ≥2),
(q even, n even), (q even, n even), 2.2 Cayley and Schreier graphs Let G be a group with generating set S satisfying S = S−1. The (undirected,
left) Cayley graph Cay(G, S) is the graph whose vertices are elements of G
and whose edges are pairs {g, sg} for g ∈G, s ∈S. More generally, the (undirected) Schreier graph Sch(G, S, ) associated
to a transitive action of G on a set is the graph whose vertices are elements
of and whose edges are pairs {ω, sω} for ω ∈, s ∈S. Cayley graphs are
Schreier graphs for the left regular representation of G on itself. Let be a connected graph. One can view as a metric space in the
following way. Define the length of a path in to be the number of edges on the
path, and let the distance d(v1, v2) between any two vertices v1, v2 ∈V ()
be the length of the shortest path between v1, v2. The diameter of a graph
is diam =
max
v1,v2∈V () d(v1, v2). diam =
max
v1,v2∈V () d(v1, v2). The diameter of Cay(G, S) is just the smallest d ≥0 such that (S ∪{1})d = The diameter of Cay(G, S) is just the smallest d ≥0 such that (S ∪{1})d =
G. G. 12 123 157 Babai’s conjecture for random generators 2.4 Binary and quadratic forms In all cases we write f for the defining invariant binary form; thus f is zero
in the linear case, alternating in the symplectic case, symmetric in the orthog-
onal case, and hermitian in the unitary case. Except in the linear case, f is
nondegenerate. In the orthogonal case, we write Q for the relevant quadratic form. Recall
that Q is related to f by Q(u + v) = Q(u) + Q(v) + f (u, v);
(3) (3) S. Eberhard, U. Jezernik 158 in particular, in odd characteristic, in particular, in odd characteristic, particular, in odd characteristic, Q(v) = f (v, v)/2. In even characteristic, Q is not determined by f , but is part of the defining
data (and f is determined by Q via (3)). In the unitary case we write Q for
the function Q(v) = f (v, v), which we may regard as a quadratic form over Fq0. In the other cases define
Q ≡0. Define also q0 = q in the orthogonal case and q0 = 1 in the linear and
symplectic cases, so that Q always takes values in a q0-element space. which we may regard as a quadratic form over Fq0. In the other cases define
Q ≡0. Define also q0 = q in the orthogonal case and q0 = 1 in the linear and
symplectic cases, so that Q always takes values in a q0-element space. It is important that we are able to count solutions to Q(v) = x in any affine
subspace. Lemma 2.1 Let v0 + W be an affine subspace of V of codimension s. The
number of v ∈v0+W with a specified value of Q(v) is within qn−s/q0±qn/2. Proof. (Cf. Dickson [11, Chapter IV].) This is trivial in the linear and sym-
plectic cases: Q ≡0, so the number is exactly qn−s. The unitary case reduces
to the orthogonal case by restriction of scalars, so it suffices to consider the
orthogonal case. For x ∈Fq, let (x) = |{v ∈v0 + W : Q(v) = x}|. The Fourier transform of is The Fourier transform of is (χ) =
x∈Fq
(x)χ(x)
(χ ∈
Fq)
=
w∈W
χ(−Q(v0 + w)). 2.4 Binary and quadratic forms (χ ∈
Fq) (χ ∈
Fq) For nontrivial χ we have For nontrivial χ we have |(χ)|2 =
w,h∈W
χ(−Q(v0 + w) + Q(v0 + w + h))
=
w,h∈W
χ(Q(h) + (v0 + w, h)). The sum over w is zero unless h ∈W ⊥. Note that dim W ⊥= s. Hence
|(χ)|2 ≤|W| |W ⊥| = qn. The sum over w is zero unless h ∈W ⊥. Note that dim W ⊥= s. Hence
|(χ)|2 ≤|W| |W ⊥| = qn. The sum over w is zero unless h ∈W ⊥. Note that dim W ⊥= s. Hence |(χ)|2 ≤|W| |W ⊥| = qn. |(χ)|2 ≤|W| |W ⊥| = qn. 123 123 123 12 159 Babai’s conjecture for random generators By Fourier inversion we have By Fourier inversion we have (x) = qn−s−1 + 1
q
1̸=χ∈
Fq
(χ)χ(x), (x) = qn−s−1 + 1
q
1̸=χ∈
Fq
(χ)χ(x),
so
|(x) −qn−s−1| ≤1
q
1̸=χ∈
Fq
|(χ)| ≤qn/2. so
|(x) −qn−s−1| ≤1
q
1̸=χ∈
Fq
|(χ)| ≤qn/2. so |(x) −qn−s−1| ≤1
q
1̸=χ∈
Fq
|(χ)| ≤qn/2. Relatedly, we have Witt’s lemma, which characterizes the orbits of GCln(q)
in terms of f and Q. Relatedly, we have Witt’s lemma, which characterizes the orbits of GCln(q)
in terms of f and Q. Lemma 2.2 (Witt’s lemma) Let u1, . . . , uk, v1, . . . , vk ∈V be vectors such
that m⟨u1, . . . , uk⟩= dim⟨v1, . . . , vk⟩
f (ui, u j) = f (vi, v j)
(1 ≤i, j ≤k)
Q(ui) = Q(vi)
(1 ≤i ≤k). Then there is an element g ∈GCln(q) such that gui = vi for each 1 ≤i ≤k. If k ≤n −2 there is such an element in SCln(q). Proof See, e.g., [2, Sect. 20]. Then there is an element g ∈GCln(q) such that gui = vi for each 1 ≤i ≤k. If k ≤n −2 there is such an element in SCln(q). Proof See, e.g., [2, Sect. 20]. Then there is an element g ∈GCln(q) such that gui = vi for each 1 ≤i ≤k. If k ≤n −2 there is such an element in SCln(q). Proof See, e.g., [2, Sect. 20]. Proof. (Cf. [35, Lemma 3.1].) Clearly |CG(g)| ≤|CMn(Fq)(g)|. Note that CMn(Fq)(g) is a vector space over Fq, so it will suffice to bound
its dimension. Consider g as an element of GLn(Fq) and decompose it into
Jordan blocks. For each eigenvalue λ of g, let πλ be the partition whose parts
are the sizes of Jordan blocks associated to λ. Denote by Si(π) the sum of ith
powers of the parts of a partition π and let π′ be the transposed partition of π. By [27, Sect. 1.3], dim CMn(Fq)(g) =
λ
S2(π′
λ). The largest part of π′
λ is the dimension of Vλ, so The largest part of π′
λ is the dimension of Vλ, so S2(π′
λ) ≤S1(π′
λ) dim Vλ. Combined with
λ S1(π′
λ) = n, this implies
dim CMn(Fq)(g) ≤n max
λ
dim Vλ = n(n −supp g). S2(π′
λ) ≤S1(π′
λ) dim Vλ. Combined with
λ S1(π′
λ) = n, this implies Combined with
λ S1(π′
λ) = n, this implies 2.5 Degree and support The concepts of degree and support are essential in the rest of the paper. Both
concepts are analogous to the size of the support of a permutation, defined as
the set of non-fixed points. The degree of an element g ∈GLn(q) is deg g = rank(g −1); the support of g ∈GLn(q) is the support of g ∈GLn(q) is supp g = min
λ∈Fq
rank(g −λ) (the former definition follows [10] and [24]; the latter definition follows
Larsen–Shalev–Tiep [37]). Equivalently, if Vλ = ker(g −λ) denotes the λ-
eigenspace of g (for λ ∈Fq), then (the former definition follows [10] and [24]; the latter definition follows
Larsen–Shalev–Tiep [37]). Equivalently, if Vλ = ker(g −λ) denotes the λ-
eigenspace of g (for λ ∈Fq), then deg g = codim V1, 3 160 S. Eberhard, U. Jezernik supp g = min codim Vλ. supp g = min
F
codim Vλ. Support is closely related to the size of the centralizer, as in the following
lemma. Lemma 2.3 For g ∈G ≤GLn(q), Lemma 2.3 For g ∈G ≤GLn(q), |CG(g)| ≤qn(n−supp g). Proof. (Cf. [35, Lemma 3.1].) Clearly 2.6 Adjacency operator Given any group G and x1, . . . , xk ∈G, let A = Ax1,...,xk = 1
2k
k
i=1
(xi + x−1
i
). This is an element of the group algebra C[G]. Given any C[G]-module W,
we may consider the action of A on W. Since A is self-adjoint its spectrum is
real. Write ρ(A, W) for the spectral radius of A. 123 161 Babai’s conjecture for random generators We are most interested in permutation modules. If G acts transitively on
a set then there is a corresponding permutation module C[] containing
a single copy of the trivial representation, denoted C[]G. Let W = C[]0
denote the orthogonal complement of C[]G. The spectral gap is 1−ρ(A, W). Equivalently, if A acting on C[] has spectrum 1 = λ1 ≥λ2 · · · ≥λN ≥−1, where N = ||, then where N = ||, then ρ(A, W) = max(λ2, −λN), ρ(A, W) = max(λ2, −λN), so the spectral gap is min(1 −λ2, 1 −|λN|). min(1 −λ2, 1 −|λN|). We say the action of x1, . . . , xk on is expanding if the spectral gap is bounded
away from zero. This is equivalent to rapid mixing of the random walk on . 3.2 Queries and coincidences 2 Queries and coincidences Let G = Cln(q) be a classical group and V = Fn
q the defining module. Let
x1, . . . , xk ∈G. Define a query to be a pair (ξ, v), where ξ ∈{ξ±1
1 , . . . , ξ±1
k }
and v ∈V ; the result of the query is ξv. After any finite sequence of queries (w1, v1), (w2, v2), . . . , (wt−1, vt−1) the known domain of a letter ξ at time t is the known domain of a letter ξ at time t is Dt
ξ = span{vi : wi = ξ, i < t} + span{wivi : wi = ξ−1, i < t}. Suppose we make a further query (wt, vt). If vt ∈Dt
wt, then the result wtvt is
determined already by the values of w1v1, . . . , wt−1vt−1; we call this a forced
choice. Otherwise, we say the query is a free choice. Suppose we make a further query (wt, vt). If vt ∈Dt
wt, then the result wtvt is
determined already by the values of w1v1, . . . , wt−1vt−1; we call this a forced
choice. Otherwise, we say the query is a free choice. Let R be some subset of V fixed in advance. If a query (wt, vt) is a free
choice and yet wtvt ∈span R + span{v1, w1v1, . . . , vt−1, wt−1vt−1, vt} then we say the result of the query is a coincidence. then we say the result of the query is a coincidence. then we say the result of the query is a coincidence. The language is most interesting when x1, . . . , xk ∈G are chosen randomly. Then, by Witt’s lemma, whenever (ξ, v) is a free choice, ξv is, conditionally on
the result of previous queries, uniformly distributed among vectors satisfying
the relevant independence and form conditions. In particular, coincidences are
unlikely. We formalize these key points in the following lemmas. Lemma 3.2 Let x ∈G be uniformly random, and let u1, . . . , ut be lin-
early independent, where t ≤n −2. Then, conditionally on the values of
v1 = xu1, . . . , vt−1 = xut−1, the value of xut is uniformly distributed among
vectors vt such that ui →vi defines an isometric isomorphism ⟨u1, . . . , ut⟩→
⟨v1, . 3.1 Word maps Write Fk = F{ξ1, . . . , ξk} for the free group with generators {ξ1, . . . , ξk}. Let
w ∈Fk have length ℓ, and let w = wℓ· · · w1
(wi ∈{ξ±1
1 , . . . , ξ±1
k }) be the reduced expression of w. Let G be a finite group and x1, . . . , xk ∈G. Write w = w(x1, . . . , xk) for the image of w under the homomorphism Fk →G defined by ξi →xi. for the image of w under the homomorphism Fk →G defined by ξi →xi. Usually, but not always, x1, . . . , xk will be chosen randomly. The following
lemma is often useful for reducing to the cyclically reduced case. Lemma 3.1 If x1, . . . , xk ∈G are uniform and independent then w is just the
image of w under a uniformly random homomorphism Fk →G. In particular,
the distribution of w depends only on the automorphism class of w. 123 12 3 162 S. Eberhard, U. Jezernik 3.2 Queries and coincidences . . , vt⟩, or in other words such that vt
/∈span{v1, . . . , vt−1} and
f (ui, ut) = f (vi, vt) for each i ≤t and Q(ut) = Q(vt). Proof For each such vt, Witt’s lemma asserts that there is at least one suitable
x ∈G. The distribution is uniform by the orbit–stabilizer theorem. Lemma 3.3 Let x1, . . . , xk ∈G be uniformly random and independent, and
let (w1, v1), (w2, v2), . . . , (wt−1, vt−1) be a sequence of queries. Assume that (wt, vt) is a free choice. Assume be a sequence of queries. Assume that (wt, vt) is a free choice. Assume dim⟨v1, . . . , vt⟩≤n −2. dim⟨v1, . . . , vt⟩≤n −2. dim⟨v1, . . . , vt⟩≤n −2. 12 123 Babai’s conjecture for random generators 163 Then, conditionally on the values of w1v1, . . . , wt−1vt−1, the result wtvt of
the query (wt, vt) is uniformly distributed outside Dt
w−1
t
subject to (i < t, wi = wt),
(i < t, wi = w−1
t
), f (wivi, wtvt) = f (vi, vt)
(i < t, wi = wt),
f (vi, wtvt) = f (wivi, vt)
(i < t, wi = w−1
t
),
Q(wtvt) = Q(vt). In particular, the conditional probability that wtvt is a coincidence is
bounded by qd
qn−s/q0 −qs −qn/2 qn−s/q0 −qs −qn/2 (provided the denominator is positive), where (provided the denominator is positive), where d = dim(span R + span{v1, w1v1, . . . , vt−1, wt−1vt−1, vt})
and s is the number of i < t with wi ∈{wt, w−1
t
}. d = dim(span R + span{v1, w1v1, . . . , vt−1, wt−1vt−1, vt})
and s is the number of i < t with wi ∈{wt, w−1
t
}. Proof The first part of the lemma is immediate from the previous lemma. For
the second part, note that wtv is drawn from an affine subspace of codimension
at most s, less a subspace of dimension at most s, subject only to the quadratic
condition; by Lemma 2.1 there are at least qn−s/q0 −qn/2 −qs possibilities,
so we get at least the denominator claimed. Remark 3.4 In the linear case there are no form conditions, so we get the
simpler bound qd/(qn −qs) for the probability of a coincidence. 3.3 Trajectories Let w ∈Fk, and let w = wℓ· · · w1
(wi ∈{ξ±1
1 , . . . , ξ±1
k }) be the reduced expression. For each v ∈V , the trajectory of v is the sequence
of queries (wt, vt−1), where v0 = v and for each t ≥1 the vector vt is the
result of the query (wt, vt−1); in other words, the sequence v0, v1, . . . , vℓis
defined by v0 = v,
vt = wtvt−1
(1 ≤t ≤ℓ). (1 ≤t ≤ℓ). The following lemma is trivial but essential. The following lemma is trivial but essential. 123 123 123 3 164 S. Eberhard, U. Jezernik Lemma 3.5 Suppose v ̸= 0 and vℓ∈span R. Then there is at least one
coincidence in the trajectory of v. Proof Since D1
w1 = 0, the first query (w1, v0) is free. For each t ≥1, if
(wt, vt−1) is free and not a coincidence then vt = wtvt−1 /∈span R + span{v0, . . . , vt−1}, while while Dt+1
wt+1 ≤span{v0, . . . , vt−1}; Dt+1
wt+1 ≤span{v0, . . . , vt−1}; hence the query (wt+1, vt) is also free. Finally if (wℓ, vℓ−1) is free and not a
coincidence then vℓ/∈span R. hence the query (wt+1, vt) is also free. Finally if (wℓ, vℓ−1) is free and not a
coincidence then vℓ/∈span R. More generally for any r ≥1 we consider the joint trajectory of an r-tuple (v1, . . . , vr) ∈V r, which is simply the r-tuple of individual trajectories, with the queries
(wt, vt−1
i
) ordered lexicographically by (t, i); i.e., we answer the queries (w1, v0
1)
(w1, v0
2)
· · ·
(w1, v0
r )
(w2, v1
1)
(w2, v1
2)
· · ·
(w2, v1
r )
... (w1, v0
1)
(w1, v0
2)
· · ·
(w1, v0
r )
(w2, v1
1)
(w2, v1
2)
· · ·
(w2, v1
r )
... in reading order. Write ≺for this order, i.e., (t′, i′) ≺(t, i) if t′ < t or t′ = t
and i′ < i. The following lemma generalizes the previous one. Lemma 3.6 Suppose vi /∈span{v1, . . . , vi−1} and vℓ
i ∈span R. Then there is
at least one coincidence in the trajectory of vi (during the joint trajectory of
v1, . . . 3.3 Trajectories , vr). Proof At time (1, i), we have Proof At time (1, i), we have D(1,i)
w1
≤span{v1, . . . , vi−1}, so the first query (w1, v0
i ) is free. For each t ≥1, if (wt, vt−1
i
) is free and not
a coincidence then vt
i = wtvt−1
i
/∈span R + span{vt′
i′ : (t′, i′) ≺(t, i)} vt
i = wtvt−1
i
/∈span R + span{vt′
i′ : (t′, i′) ≺(t, i)} 123 123 12 Babai’s conjecture for random generators 165 (the vectors vt′
i′ with t′ = t and i′ < i get included because they are results of
previous queries), while (the vectors vt′
i′ with t′ = t and i′ < i get included because they are results of
previous queries), while D(t+1,i)
wt+1
≤span{vt′
i′ : (t′, i′) ≺(t, i)}; hence the query (wt+1, vt
i ) is also free. Finally if (wℓ, vℓ−1
i
) is free and not a
coincidence then vℓ
i /∈span R. hence the query (wt+1, vt
i ) is also free. Finally if (wℓ, vℓ−1
i
) is free and not a
coincidence then vℓ
i /∈span R. 4 The probability of small support If
t < ℓ, then by Lemma 3.3, the probability that step (t, i) is a coincidence is
bounded by Proof Let v1, . . . , vr be a basis for U. Consider the joint trajectory of
v1, . . . , vr. By Lemma 3.6 with R = {v1, . . . , vr}, we can have wU = U
only if there is at least one coincidence in each individual trajectory. We take
a union bound over all possibilities for when the coincidences could occur. If
t < ℓ, then by Lemma 3.3, the probability that step (t, i) is a coincidence is
bounded by q(t+1)r
qn−ℓr−1 −qℓr −qn/2 ; indeed there are at most tr + i ≤(t + 1)r ≤ℓr previous vectors. If t = ℓ,
assuming vℓ
j ∈U for j < i, we actually get a slightly stronger bound: qℓr
qn−ℓr−1 −qℓr −qn/2 . q
qn−ℓr−1 −qℓr −qn/2 . Summing over t, the probability that there is a coincidence in the trajectory of
vi is bounded by Summing over t, the probability that there is a coincidence in the trajectory of
vi is bounded by (1 + 1 + q−r + q−2r + · · · )
qℓr
qn−ℓr−1 −qℓr −qn/2 . Taking the product over i gives the claimed bound. Taking the product over i gives the claimed bound. In the following proof we will refer to the “q-binomial coefficient”, defined
by x
r
q
= (qx −1)(qx −q) · · · (qx −qr−1)
(qr −1)(qr −q) · · · (qr −qr−1) . When x is a nonnegative integer this is the number of r-dimensional subspaces
of Fx
q. For x ≥r note that x →
x
r
q is increasing and nonnegative, and When x is a nonnegative integer this is the number of r-dimensional subspaces
of Fx
q. For x ≥r note that x →
x
r
q is increasing and nonnegative, and x
r
q
= qxr−r2 (1 −q−x+r−1) · · · (1 −q−x)
(1 −q−r) · · · (1 −q−1)
≍qxr−r2. The following theorem will be used for an unspecified, but fixed, δ > 0. Theorem 4.2 There are constants c, C > 0 such that the following holds for
all δ > 0. 4 The probability of small support Let G be a finite group, let w ∈Fk, let x1, . . . , xk ∈G be random, and
consider w = w(x1, . . . , xk). The probability that w = 1 quantifies the extent
to which w is “almost a law” in G. This probability is a well-studied quantity,
particularly when G is simple. For example, it is known that for any w ̸= 1
there is some c = c(w) > 0 such that P(w = 1) ≤|G|−c for all sufficiently
large finite simple groups G (Larsen–Shalev [35, Theorem 1.1]). For groups of large rank (our particular interest), the following bounds have
been proved recently. Let ℓ> 0 be the reduced length of w. 1. For G = An or G = Sn, if ℓ< cn1/2 then 1. For G = An or G = Sn, if ℓ< cn1/2 then P(w = 1) ≤e−cn/ℓ2 (Eberhard [12, Lemma 2.2]). (
[
])
2. For any classical group G = Cln(q), if ℓ< cn then 2. For any classical group G = Cln(q), if ℓ< cn then P(w = 1) ≤|G|−c/ℓ (Liebeck–Shalev [36, Theorem 4]). (Liebeck–Shalev [36, Theorem 4]). The proofs of these estimates can be adapted to show more, namely that with
high probability w has large support. In this section we explain this observation
in detail in the case of G = Cln(q). For the case of G = An or G = Sn, see
the appendix (Subsection A.2). The following lemma generalizes a key step from the argument of [36,
Theorem 4]. Lemma 4.1 Let G = Cln(q) be a classical group of dimension n. Let V = Fn
q
be the natural module, and let U ≤V be a subspace of dimension r ≤n −2. Let w ∈Fk be a nontrivial word of length ℓ≤(n
2 −2)/r. Then P (wU = U) ≤
Cqr
qℓr
qn−ℓr−1 −qℓr −qn/2
r
, 123 166 S. Eberhard, U. Jezernik where Cqr = 1 + (1 −q−r)−1 ≤3. Proof Let v1, . . . , vr be a basis for U. Consider the joint trajectory of
v1, . . . , vr. By Lemma 3.6 with R = {v1, . . . , vr}, we can have wU = U
only if there is at least one coincidence in each individual trajectory. We take
a union bound over all possibilities for when the coincidences could occur. 4 The probability of small support Let G = Cln(q) be a classical group of dimension n, and let w ∈Fk
be a nontrivial word of reduced length ℓ< δ2n/20. Assume qδn > C. Then The following theorem will be used for an unspecified, but fixed, δ > 0. P (supp w ≤(1 −δ)n) ≤|G|−cδ2/ℓ. 123 123 Babai’s conjecture for random generators 167 Proof Let x1, . . . , xk be chosen independently and uniformly from G. Suppose
some eigenspace Vλ ≤Fq
n of w has dimension at least δn. Let d = [Fq(λ) :
Fq]. Let be the set of d Galois conjugates of λ. Since dim Vλ′ = dim Vλ for
each λ′ ∈, dim Vλ ≤n/d, so d ≤1/δ. Let W ≤Vλ be an r-dimensional
subspace defined over Fq(λ) ∼= Fqd. Then there is a conjugate subspace W ′ ≤
Vλ′ for each λ′ ∈, and the sum U =
λ′∈ W ′ is a dr-dimensional and
Fq-rational since it is fixed by the Galois group, so it may be identified with
a dr-dimensional subspace of V . Since U ∩Vλ = W, this correspondence
W →U is injective. Hence the number of dr-dimensional subspaces of V
preserved by w is at least
δn
r
qd. q
Since ℓd ≤ℓ/δ < δn/20, we may choose an integer r > 0 such that
ℓdr ∈[δn/5, δn/4]. Now by the previous lemma and Markov’s inequality, the
probability that the number of dr-dimensional subspaces of V preserved by
w is at least
δn
r
qd is bounded by n
dr
q
δn
r
qd
3
qℓdr
qn−ℓdr−1 −qℓdr −qn/2
dr
≍qdrn−d2r2
(qd)δrn−r2
3
qℓdr
qn−ℓdr−1 −qℓdr −qn/2
dr
≤O
q−δn+2ℓdr+r−dr+1dr
≤O(1)δn/4ℓ
q−δn+2δn/4+δn/4 δn/5ℓ
= O(1)δn/ℓq−1
20δ2n2/ℓ. Taking the sum over all d ≤1/δ, it follows that Taking the sum over all d ≤1/δ, it follows that Taking the sum over all d ≤1/δ, it follows that P (supp w ≤(1 −δ)n) = P
max
λ∈Fq
dim Vλ ≥δn
≤δ−1O(1)δn/ℓq−1
20δ2n2/ℓ. Assuming qδn is sufficiently large, the first two factors are negligible compared
to the third. Remark 4.3 The restriction ℓ< cδ2n in Theorem 4.2 is essential, and related
to our reliance on linear algebra. For example, let G = SLn(q), and suppose
w is a word of length ℓ≈10n. We do not know how to bound P(w = 1)
satisfactorily. 4 The probability of small support Is it true that P(w = 1) ≤q−cn for some c > 0? Certainly w
cannot be a law, because SLn(q) contains SL2(q⌊n/2⌋) and the shortest law in
SL2(q⌊n/2⌋) has length at least (q⌊n/2⌋−1)/3 (see Hadad [21, Theorem 2]). The question is whether it can be an almost-law. 12 3 168 S. Eberhard, U. Jezernik 5 Expected values of characters Throughout this section let G = Cln(q) be a classical group and χ ∈Irr G a
nonlinear character. Our aim is to bound Ex1,...,xk
|χ(w)|
χ(1)
when w is a fixed nontrivial word of length cn, evaluated at random
x1, . . . , xk ∈G. The proof consists of two steps: . By the previous section, with high probability w has large support. 1. By the previous section, with high probability w has large support. 2. By recent character bounds of Guralnick, Larsen, and Tiep [18,19], if w
has large support then |χ(w)| ≤χ(1)ϵ. 2. By recent character bounds of Guralnick, Larsen, and Tiep [18,19], if w
has large support then |χ(w)| ≤χ(1)ϵ. We first deal with elements of large support. We first deal with elements of large support. Lemma 5.1 For every ϵ > 0 there is a δ > 0 such that the following holds. Let g ∈G with supp g ≥(1 −δ)n. Then |χ(g)| ≤χ(1)ϵ. Proof By Lemma 2.3, |CG(g)| ≤qδn2. Hence by the character bound [18,
Theorem 1.3] we have |χ(g)| ≤χ(1)ϵ. Theorem 5.2 There is a constant c > 0 such that the following holds. Let
w ∈Fk be a fixed nontrivial word of reduced length less than cn. Then Ex1,...,xk
|χ(w)|
χ(1)
< q−cn. Proof Let δ be as in the previous lemma with ϵ = 1/2. By conditioning on
whether or not supp w < (1 −δ)n, we have Proof Let δ be as in the previous lemma with ϵ = 1/2. By conditioning on
whether or not supp w < (1 −δ)n, we have Ex1,...,xk
|χ(w)|
χ(1)
≤Px1,...,xk (supp w < (1 −δ)n)
+
max
x1,...,xk:supp w≥(1−δ)n
|χ(w)|
χ(1)
. It follows from Theorem 4.2 that It follows from Theorem 4.2 that Px1,...,xk(supp w < (1 −δ)n) ≤q−c1n for some constant c1 > 0. The other summand is bounded by Lemma 5.1: for some constant c1 > 0. The other summand is bounded by Lemma 5.1: max
x1,...,xk : supp w≥(1−δ)n
|χ(w)|
χ(1)
≤χ(1)−1/2 ≤q−c2n for some constant c2 > 0. (Here we used χ(1) ≥qc3n: see [32].) 123 12 Babai’s conjecture for random generators 169 Our main interest is the case in which w is the result of a simple random
walk in Fk. With high probability the result of the random walk is nontrivial,
so we can apply the above theorem. 5 Expected values of characters Corollary 5.3 There is a constant c > 0 such that the following holds. Let w
be the result of a simple random walk of length ℓ< cn in Fk. Then Ex1,...,xk∈G,w
|χ(w)|
χ(1)
< q−cn + k−cℓ. Proof By conditioning on whether or not the word w is trivial, we get Ex1,...,xk,w
|χ(w)|
χ(1)
≤
max
0<|w|<cn Ex1,...,xk
|χ(w)|
χ(1)
+ Pw(w = 1). The first term is bounded by Theorem 5.2. The second term is the return
probability of a simple random walk on a 2k-regular tree, which is at most
k−cℓfor a constant c > 0 (see [29, Theorem 3 and Lemma 2.2] or [15,
Appendix B]). 6 Reaching a normal subset: the xw(y, z) trick In this section, something of an interlude, let G be any finite group, and let
C be a normal (i.e., conjugacy-closed) subset of a group G. We will develop
a criterion ensuring that one can, with high probability as x, y, z ∈G are
chosen uniformly at random, find a word w ∈F2 of at most a prescribed
length such that xw(y, z) ∈C. The criterion applies to sets C whose density
is large compared to the expected values of characters. This is a variation of
the technique used in [13, Sect. 4]; see also [14, Sect. 2]. The following theorem expresses the most general such estimate we will
need, in which we further allow arbitrary weights to be attached to elements
of C. We express the result in terms of a nonnegative conjugation-invariant
function (class function) f on G. We define the L p norm of f by ∥f ∥p
p =
1
|G|
x∈G
| f (x)|p
(p ∈{1, 2}), and we use the standard inner product on functions on G defined by ⟨f, g⟩=
1
|G|
x∈G
f (x)g(x). 3 12 170 S. Eberhard, U. Jezernik Theorem 6.1 Let f be a nonnegative and conjugation-invariant function on
G, and let ℓbe a positive integer. Let x0, x1, . . . , xk be elements of G chosen
uniformly at random. Let E be the event that f (x0u) = 0 for every word
u ∈Fk of length at most ℓ. Let w be the result of a simple random walk of
length 2ℓin Fk. Then3 Px0,...,xk (E) ≤
1
∥f ∥2
1
1̸=χ∈Irr G
|⟨f, χ⟩|2Ex1,...,xk,w
χ(w)
χ(1)
. In particular, Px0,...,xk (E) ≤∥f ∥2
2
∥f ∥2
1
max
1̸=χ∈Irr G
⟨f,χ⟩̸=0
Ex1,...,xk,w
χ(w)
χ(1)
. Proof. Let A = Ax1,...,xk be the adjacency operator defined in Sect. 2.6, and
consider its natural action on L2(G). Let X = Aℓf (x0), regarded as a random
variable dependent on x0, x1, . . . , xk, and note that E is precisely the event
X = 0. By Chebyshev’s inequality, P(X = 0) ≤Var X
(EX)2 . (4) (4) The first moment is EX = ∥f ∥1. EX = ∥f ∥1. The second moment is EX2 = Ex1,...,xk∥Aℓf ∥2
2 = Ex1,...,xk⟨A2ℓf, f ⟩. (5) (5) Since f is conjugation-invariant, we can expand this further in terms of char-
acters. 6 Reaching a normal subset: the xw(y, z) trick By orthogonality of characters, if τx is the translation operator defined
by τx(h)(y) = h(x−1y), we have Since f is conjugation-invariant, we can expand this further in terms of char-
acters. By orthogonality of characters, if τx is the translation operator defined
by τx(h)(y) = h(x−1y), we have ⟨τxχ, ψ⟩=
χ(x−1)/χ(1) if χ = ψ,
0
else. Hence Hence ⟨A2ℓχ, ψ⟩= 0
(χ ̸= ψ), 3 Note that the distribution of w is symmetric, so Ex1,...,xk,wχ(w)/χ(1) is real. 123 123 171 Babai’s conjecture for random generators and ⟨A2ℓχ, χ⟩= Ew
χ(w)
χ(1)
, ⟨A2ℓχ, χ⟩= Ew
χ(w)
χ(1)
, where w is the result of a simple (symmetric) random walk of length 2ℓin Fk. Hence, from (5), EX2 =
χ∈Irr G
|⟨f, χ⟩|2Ex1,...,xk,w
χ(w)
χ(1)
. The χ = 1 term is ∥f ∥2
1, which is the same as (EX)2. Hence the first part of
the theorem follows from (4). The second part holds because
χ∈Irr G
|⟨f, χ⟩|2 = ∥f ∥2
2.
χ∈Irr G
|⟨f, χ⟩|2 = ∥f ∥2
2. Corollary 6.2 Let C be a normal subset of G. Write Corollary 6.2 Let C be a normal subset of G. Write C =
α∈Gab
Cα, where Cα = C ∩αG′ is the fibre of C over α ∈Gab. Let δα = |Cα|/|G′| be the
fibre density, and let δ = minα∈Gab δα. Assume δ > 0. where Cα = C ∩αG′ is the fibre of C over α ∈Gab. Let δα = |Cα|/|G′| be the
fibre density, and let δ = minα∈Gab δα. Assume δ > 0. α∈G
Let x0, x1, . . . , xk ∈G be chosen uniformly at random, and let E be the
event that for every word u ∈Fk of length at most ℓwe have x0u /∈C. Let w
be the result of a simple random walk of length 2ℓin Fk. Then P(E) ≤δ−1 max
χ∈Irr G
χ(1)>1
Ex1,...,xk,w
χ(w)
χ(1)
. Proof. In the previous theorem, take Proof. In the previous theorem, take f =
α∈Gab
1Cα
δα
. Then ∥f ∥1 = 1, and ∥f ∥2
2 =
1
|Gab|
α∈Gab
δ−1
α
≤δ−1. 172 S. Eberhard, U. Jezernik Thus hus P(E) ≤δ−1
max
1̸=χ∈Irr G
⟨f,χ⟩̸=0
Ex1,...,xk,w
χ(w)
χ(1)
. Now if χ ̸= 1 is one-dimensional then χ factors through Gab, so ⟨f, χ⟩=
1
|Gab|
α∈Gab
χ(α) = 0. Hence P(E) ≤δ−1
max
1̸=χ∈Irr G
χ(1)>1
Ex1,...,xk,w
χ(w)
χ(1)
. 7 Obtaining an element of minimal degree 7 Obtaining an element of minimal degree Let G = GCln(q). Let s be the minimal degree of a nontrivial element of
SCln(q); thus s = 2 in the orthogonal case and s = 1 otherwise. Let M = {g ∈SCln(q) : deg g = s}. M = {g ∈SCln(q) : deg g = s}. In this section we exhibit a large normal subset Cd ⊆G with an integer param-
eter d whose qd −1 power is contained in M. We will use Cd in combination
with Corollaries 5.3 and 6.2 to obtain an element of minimal degree as a short
word in random generators. Proposition 7.1 There is a constant C > 0 so that the following holds. Let
d ∈[2, n] be an integer parameter. Assume qd > Cn. Then there is a normal
subset Cd ⊆G with the following properties. (1) For every α ∈Gab, if Cd;α is the fibre of Cd over α, then |Cd;α|
|G|
≥exp
−O(d2 log q) −O(d−1n log n)
. (2) For every g ∈Cd, we have (2) For every g ∈Cd, we have gκ(qd−1) ∈M, where κ = 2 if G is orthogonal in even characteristic, and κ = 1 other-
wise. where κ = 2 if G is orthogonal in even characteristic, and κ = 1 other-
wise. where κ = 2 if G is orthogonal in even characteristic, and κ = 1 other-
wise. The proof is split into cases depending on the type of G. 123 123 173 Babai’s conjecture for random generators The linear case 7.1 The linear case Let G = GLn(q). In this case M is the set of transvections. Let V be the
natural module for G. Write n −3 = kd + r,
(0 ≤r < d), let k =
n−3
d
and r = n −3 −kd. Decompose V as
V = L ⊕V1 ⊕· · · ⊕Vk ⊕R ⊕W, i.e., let k =
n−3
d
and r = n −3 −kd. Decompose V as V = L ⊕V1 ⊕· · · ⊕Vk ⊕R ⊕W, where dim L = 2, dim Vi = d, dim R = 1, and dim W = r. Fix a basis for
each of the subspaces. where dim L = 2, dim Vi = d, dim R = 1, and dim W = r. Fix a basis for
each of the subspaces. We now define a particular element g ∈GL(V ) respecting the above decom-
position. We define g by its action on the chosen basis for each of the subspaces
above. Subspace L: Let g act as a transvection on L, say
1
1
0
1 . Note that
(g|L)qd−1 = (g|L)−1 is also a transvection. Subspace Vi : Let pi be a monic irreducible polynomial of degree d over Fq. Identify Vi with Fq[t]/(pi(t)). The variable t acts on the latter
space by multiplication. Let g act on Vi as multiplication by t. Note that the minimal polynomial of this transformation is pi,
and (g|Vi)qd−1 = 1. Subspace Vi : Let pi be a monic irreducible polynomial of degree d over Fq. Identify Vi with Fq[t]/(pi(t)). The variable t acts on the latter
space by multiplication. Let g act on Vi as multiplication by t. Note that the minimal polynomial of this transformation is pi,
and (g|Vi)qd−1 = 1. Subspace R: Let α ∈Gab. Let g act on R as the scalar det(α)/ k
i=1(−1)d pi
(0). Subspace W: Let g act trivially on W. Let Id denote the set of monic irreducible polynomials of degree d over Fq. For every tuple p1, . . . , pk ∈Id with pi ̸= pi′ for i ̸= i′ and α ∈Gab we thus
have an element g = gp1,...,pk;α ∈G. Let gG
p1,...,pk;α denote the conjugacy
class of gp1,...,pk;α (this class does not depend on the order of p1, . . . , pk). Let Cd;α =
{p1,...,pk}∈(Id
k )
gG
p1,...,pk;α. gG
p1,...,pk;α 7.1 The linear case The union is disjoint, because the minimal polynomial of each element of
gG
p1,...,pk;α is divisible by p1(t) · · · pk(t) (the other factors are (t −1)2 and
(t −λ) for λ = det(α)/ k
i=1(−1)d pi(0) if λ ̸= 1). Finally let Cd =
α∈Gab
Cd;α. Cd =
α∈Gab
Cd;α. 123 12 3 174 S. Eberhard, U. Jezernik Remark 7.2 This is a variation of the construction in [14, Sect. 3.2]. Remark 7.2 This is a variation of the construction in [14, Sect. 3.2]. Proof of Proposition 7.1 for GL. By construction, Cd;α is the fibre of Cd over
α, and for every p1, . . . , pk, α we have gqd−1
p1,...,pk;α ∈M. It remains only to
estimate the density of Cd;α. ;
For g = gp1,...,pk;α, we have (as in the proof of Lemma 2.3) |CG(g)| ≤|CMn(Fq)(g)| = qn+r2+O(r). |CG(g)| ≤|CMn(Fq)(g)| = qn+r2+O(r). Therefore |Cd;α| ≥
|Id|
k
·
|G|
qn+r2+O(r) . (6) (6) (6) Recall that Recall that |Id| = qd/d −O(qd/2/d). |Id| = qd/d −O(qd/2/d). In particular, by the hypothesis qd > Cn we have |Id| > k, and in fact |Id|
k
=
qd/d −O(qd/2/d)
k
≥
qd/d −O(qd/2/d)
k
k
=
qd(1 −O(q−d/2)
dk
k
≥qn−2−r
nn/d
· e−O
n/d·q−d/2
. Hence, from (6), since r < d, Hence, from (6), since r < d, |Cd;α|
|G|
≥exp
−(d2 + O(d)) log q −n
d log n −O(n/d · q−d/2)
. This proves the proposition. This proves the proposition. 7.2 Other classical groups . , wκ+1⟩aretotallysingularsubplanes,and f
is represented with respect to v1, . . . , vκ+1, w1, . . . , wκ+1
by 0
I
±I
0
. Symplectic case: Let g act on L as the transvection 7.2 Other classical groups Let G = GCln(q), where GCl ̸= GL. Let V be the natural module for G
equipped with a nondegenerate binary form f and possibly a quadratic form
Q. By Witt’s decomposition theorem, there is an orthogonal decomposition of
V of the form V of the form V = H ⊥Van, V = H ⊥Van, 12 123 Babai’s conjecture for random generators 175 where H is an orthogonal direct sum of hyperbolic planes and Van is
anisotropic, and dim Van ≤2 by the Chevalley–Warning theorem. Let δ =
dim Van + 4 + 2κ, where κ = 2 if G is orthogonal in even characteristic, and
κ = 1 otherwise. Let D = 2d and write n −δ = kD + r,
(0 ≤r < D), i.e., let k = ⌊(n −δ)/D⌋and r = n −δ −kD. Write the hyperbolic space H
as i.e., let k = ⌊(n −δ)/D⌋and r = n −δ −kD. Write the hyperbolic space H
as as H = L ⊥V1 ⊥· · · ⊥Vk ⊥R ⊥W ′, where each constituent is an orthogonal direct sum of hyperbolic planes with
dim L = 2κ + 2, dim Vi = D, dim R = 2, and dim W ′ = r. Let W = W ′ ⊥
Van. Thus we have the following orthogonal decomposition of V : V = L ⊥V1 ⊥· · · ⊥Vk ⊥R ⊥W. (7) (7) Fix a hyperbolic basis for each of the hyperbolic spaces, and fix a basis for W. Fix a hyperbolic basis for each of the hyperbolic spaces, and fix a basis for W. We now define a particular element g ∈GCl(V ) respecting the decompo-
sition (7). As before we will define g by its action on the chosen bases. Fix a hyperbolic basis for each of the hyperbolic spaces, and fix a basis for W. We now define a particular element g ∈GCl(V ) respecting the decompo-
sition (7). As before we will define g by its action on the chosen bases. We now define a particular element g ∈GCl(V ) respecting the decompo-
sition (7). As before we will define g by its action on the chosen bases. Subspace L: Let v1, . . . , vκ+1, w1, . . . , wκ+1 be the chosen hyperbolic
basis for L, i.e., such that L1 = ⟨v1, . . . , vκ+1⟩and
L2 = ⟨w1, . . Symplectic case: Let g act on L as the transvection Symplectic case: Let g act on L as the transvection ⎛
⎜⎜⎝
1
0
1
0
0
1
0
0
0
0
1
0
0
0
0
1
⎞
⎟⎟⎠. Unitary case: Pick λ ∈Fq be such that λ + λθ = 0 (where θ is the field
automorphism) and let g act on L as the transvection Unitary case: Pick λ ∈Fq be such that λ + λθ = 0 (where θ is the field
automorphism) and let g act on L as the transvection ⎛
⎜⎜⎝
1
0
λ
0
0
1
0
0
0
0
1
0
0
0
0
1
⎞
⎟⎟⎠. 176 S. Eberhard, U. Jezernik Orthogonal case: Let g|L be represented by the matrix Orthogonal case: Let g|L be represented by the matrix Orthogonal case: Let g|L be represented by the matrix A
0
0
A−T
, A
0
0
A−T
, where in odd characteristic A =
1
1
0
1
and in even characteristic A =
⎛
⎝
1
1
0
0
1
1
0
0
1
⎞
⎠. In all cases we have g|L ∈SCl(L) and (g|L)κ(qd−1) ̸= 1. In all cases we have g|L ∈SCl(L) and (g|L)κ(qd−1) ̸= 1. Subspace Vi: Fix a monic irreducible polynomial pi ∈Fq[t] of degree d. Let v1, . . . , vd, w1, . . . , wd be the chosen hyperbolic basis
for Vi. Thus there is a decomposition g|L
( )
(g|L)
̸
Subspace Vi: Fix a monic irreducible polynomial pi ∈Fq[t] of degree d. Let v1, . . . , vd, w1, . . . , wd be the chosen hyperbolic basis
for Vi. Thus there is a decomposition Vi = Vi,1 ⊕Vi,2 into totally singular subspaces Vi,1 = ⟨v1, . . . , vd⟩and
Vi,2 = ⟨w1, . . . , wd⟩with f (va, wb) = δab. Identify Vi,1
with Fq[t]/(pi(t)). The variable t acts on the latter space
by multiplication. By Witt’s lemma, this action extends
to the space Vi. This extension is moreover unique pro-
vided we demand that it preserves the decomposition of Vi
(see [28, Hilfssatz 3.1]). Let g|Vi be defined by this unique
extension. The minimal polynomial of this transformation can be
determined as follows (see [41]). In the symplectic and
orthogonal cases, let p∗(t) = p(0)−1td p(t−1). p
Subspace R: Let α ∈Gab. Unitary case: Let g act as the matrix Unitary case: Let g act as the matrix Unitary case: Let g act as the matrix a
0
0 a−θ
, where a ∈Fq satisfies a1−θ k
i=1 pi(0)1−θ = det α. Such
an element always exists since det α has norm 1. where a ∈Fq satisfies a1−θ k
i=1 pi(0)1−θ = det α. Such
an element always exists since det α has norm 1. Orthogonal case: The natural map GO(R)ab →Gab is bijective.4 Let g act
on R so that for every linear character λ of G we have λ(g|R)
k
i=1
λ(g|Vi ) = λ(α). In all cases note that (g|R)κ(qd−1) is trivial.5 In all cases note that (g|R)κ(qd−1) is trivial.5
Subspace W: Let g act trivially on W. Subspace W: Let g act trivially on W. For every k-tuple p1, . . . , pk ∈Id and every α ∈Gab, we thus have an
element g = gp1,...,pk;α ∈G. The conjugacy class gG
p1,...,pk;α is invariant
under reordering p1, . . . , pk, and under replacing any pi by p∗
i . Conversely,
gG
p1,...,pk;α is determined by p1(t)p∗
1(t) · · · pk(t)p∗
k(t) and α. Let I′
d be the set
of unordered pairs {p, p∗} of monic irreducible polynomials p, p∗∈Id with
p ̸= p∗. Let Cd;α =
gG
p1,...,pk;α : {{p1, p∗
1}, . . . , {pk, p∗
k}} ∈
I′
d
k
, The union is disjoint, because the minimal polynomial of every element of
gG
p1,...,pk; j is divisible by p1(t)p∗
1(t) · · · pk(t)p∗
k(t) and has no other nonlinear
factors. Finally let The union is disjoint, because the minimal polynomial of every element of
gG
p1,...,pk; j is divisible by p1(t)p∗
1(t) · · · pk(t)p∗
k(t) and has no other nonlinear
factors. Finally let Cd =
α∈Gab
Cd;α. Proof of Proposition 7.1 for other classical groups Byconstruction, gp1,...,pk;α
lies over α and gκ(qd−1)
p1,...,pk;α ∈M. We must estimate the density of Cd;α. Proof of Proposition 7.1 for other classical groups Byconstruction, gp1,...,pk;α
lies over α and gκ(qd−1)
p1,...,pk;α ∈M. We must estimate the density of Cd;α. 4 Note that GO(R) ∼= GO+
2 (q) ∼= D2(q−1). In odd characteristic, Gab ∼= C2 × C2, and
determinant and spinor norm are independent characters on GO+
2 (q). 5 The existence of an even-order linear character of GOn(q) in even characteristic is why we
need the extra factor of 2 in that case. 4 Note that GO(R) ∼= GO+
2 (q) ∼= D2(q−1). In odd characteristic, Gab ∼= C2 × C2, and
determinant and spinor norm are independent characters on GO+
2 (q). In even characteristic,
Gab ∼= C2, and the Dickson invariant is nontrivial on GO+
2 (q). Symplectic case: Let g act on L as the transvection In the uni-
tary case, let p∗(t) = pθ(0)−1td pθ(t−1), where θ acts on
the coefficients. The minimal polynomial of g acting on
Vi is ∗-symmetric, divisible by pi (since pi is irreducible),
and hence also divisible by p∗
i . Under the assumption that
pi ̸= p∗
i , the minimal polynomial of g|Vi must therefore
be equal to pi p∗
i . If pi = p∗
i then the minimal polynomial
is pi. Subspace R: Let α ∈Gab. Symplectic case: Let g act trivially on R. (Note Gab is trivial.) Symplectic case: Let g act trivially on R. (Note Gab is trivial.) Symplectic case: Let g act trivially on R. (Note Gab is trivial.) 12 123 Babai’s conjecture for random generators 177 Unitary case: Let g act as the matrix In even characteristic,
Gab ∼= C2, and the Dickson invariant is nontrivial on GO+
2 (q). 2
5 The existence of an even-order linear character of GOn(q) in even characteristic is why we
need the extra factor of 2 in that case. 12 3 3 178 S. Eberhard, U. Jezernik Consider g = gp1,...,pk;α for some p1, . . . , pk ∈I′
d with pi ̸= pi′, p∗
i′ for
i ̸= i′. Let h ∈CG(g). Then h preserves each Vi,1 and Vi,2, those being the pi-
and p∗
i -primary subspaces of g. The restrictions of h to Vi,1 and Vi,2 determine
one another, and there are at most qd possibilities for h|Vi,1 (as in Lemma 2.3). Hence, since δ = O(1), |CG(g)| ≤(qd)k| Mr+δ(Fq)| ≤qdk+r2+O(r)+O(1). Therefore |Cd;α| ≥
|I′
d|
k
·
|G|
qdk+r2+O(r)+O(1) . The number of monic irreducible polynomials of degree d over Fq is qd/d −
O(qd/2/d), while the number of ∗-symmetric polynomials of degree d is at
most qd/2, so The number of monic irreducible polynomials of degree d over Fq is qd/d −
O(qd/2/d), while the number of ∗-symmetric polynomials of degree d is at
most qd/2, so |I′
d| = (qd/d −O(qd/2))/2 ≥cqd/d. By the hypothesis qd > Cn this is at least k, and in fact By the hypothesis qd > Cn this is at least k, and in fact |I′
d|
k
≥
cqd
dk
k
≥qdk exp (−O(k log n)) , so |Cd;α|
|G|
≥exp
−O(d2 log q) −O(d−1n log n)
. This proves the proposition. This proves the proposition. This proves the proposition. 7.3 Collecting results We now collect the results from the previous sections to conclude that with
high probability as three random elements from G are chosen uniformly at
random, there is a short word in these elements that belongs to M. Theorem 7.3 There are constants c, C > 0 so that the following holds. Let
G = Cln(q), where log q < cn log−2 n. Let x, y, z be elements of G chosen
uniformly at random. Let M be the event that there exists a word w ∈F3 of
length at most nC log q such that w(x, y, z) ∈M. Then Px,y,z(M) ≥1 −e−cn. 12 123 179 Babai’s conjecture for random generators Proof By Corollaries 5.3 and 6.2 there are constants c1, c2 > 0 and C1, C2
such that the following holds. Let ℓ= ⌊c1n/2⌋, and let E be the event that
every word u ∈F2 of length at most ℓsatisfies xu(y, z) /∈Cd. Then Proof By Corollaries 5.3 and 6.2 there are constants c1, c2 > 0 and C1, C2
such that the following holds. Let ℓ= ⌊c1n/2⌋, and let E be the event that
every word u ∈F2 of length at most ℓsatisfies xu(y, z) /∈Cd. Then P(E) ≤max
α∈Gab
|G′|
|Cd;α|(q−c1n + 2−c12ℓ)
≤exp(C1d2 log q + C1d−1n log n −c2n),
(8) (8) provided qd > C2n. Take d ∼C3 log n for a constant C3. If log q < cn/ log2 n
for a sufficiently small constant c so that c, C3 satisfy C1C2
3c +C1/C3 −c2 <
−c, then P(E) ≤e−cn. On the other hand suppose E fails, i.e., suppose there is a word u of length
at most c1n such that xu(y, z) ∈Cd. Let w ∈F3 be the word w = (ξ1u(ξ2, ξ3))κ(qd−1). The length of w is at most κ(qd −1)(1 + c1n/2) ≤nC log q, and w(x, y, z) = (xu(y, z))κ(qd−1) ∈M. ence Ec ⊆M. This completes the proof. Hence Ec ⊆M. This completes the proof. Hence Ec ⊆M. This completes the proof. This completes the proof of Theorem 1.1. C If we are allowed qC random generators, we can reach the set M using
shorter words. Theorem 7.4 There are constants c, C > 0 so that the following holds. Let
G = Cln(q), where n > C. Let x0, x1, . . . , xk be elements of G chosen
uniformly at random, where k > qC. 7.3 Collecting results Let M be the event that there exists a
word w ∈Fk+1 of length at most q2nC such that w(x0, . . . , xk) ∈M. Then Px0,...,xk(M) ≥1 −q−cn. Proof Follow the proof of the previous theorem, replacing u ∈F2 with u ∈Fk. Since log k > C log q, we can replace (8) with the bound Proof Follow the proof of the previous theorem, replacing u ∈F2 with u ∈Fk. Since log k > C log q, we can replace (8) with the bound P(E) ≤max
α∈Gab
|G′|
|Cd;α|q−c2n ≤exp(C1d2 log q + C1d−1n log n −c2n log q), ≤exp(C1d2 log q + C1d−1n log n −c2n log q), ≤exp(C1d2 log q + C1d−1n log n −c2n log q), 123 12 3 180 S. Eberhard, U. Jezernik provided qd > C2n. Take d = max(⌈C3 log n/ log q⌉, 2) for sufficiently large
C3. As long as n > C we find P(E) ≤q−cn. Note that qd ≤q2nC in this
case. The rest of the argument is the same. 8 Closed trajectories with only one coincidence A trajectory is closed if vℓ= v0. In Sect. 9 we will need to understand the
structure of closed trajectories with only one coincidence. More generally the
joint trajectory of an r-tuple (v1, . . . , vr) is called closed if each individual
trajectory is closed, and we will need to understand the structure of closed
joint trajectories with only one coincidence in each individual trajectory. We
begin with the single-trajectory case, for motivation. Lemma 8.1 Assume w is nontrivial and cyclically reduced. Suppose the tra-
jectory v0, . . . , vℓis closed, and suppose there is only one coincidence, at step
t say. Then w = (wd · · · w1)ℓ/d,
where d = gcd(t, ℓ). In particular if w is not a proper power then t = ℓ. Proof Let w = · · · w1wℓ· · · w1 be the left-infinite ℓ-periodic extension of w. Since vℓ= v0, the trajectory
of v under w (defined in the obvious way) is just the ℓ-periodic extension of
v0, . . . , vℓ, and still there is only one coincidence, at step t. The choices at
steps 1, . . . , t are free and all subsequent choices are forced (as in the proof
of Lemma 3.5). We claim that w is in fact gcd(t, ℓ)-periodic, and it suffices to
prove that it is t-periodic. Since the choices at steps 1, . . . , t −1 are free and not coincidences, the
choice at step t is a coincidence, and all subsequent choices are forced, the
vectors v0, . . . , vt−1 are linearly independent and the whole trajectory is con-
tained in their span. In particular vt = a0v0 + · · · + at−1vt−1
(a0, . . . , at−1 ∈Fq). (9) (9) Given that step t + 1 is forced, we must have vi ∈Dt+1
wt+1 for each i such that
ai ̸= 0. Thus either wt+1 = wi+1 or wt+1 = w−1
i
(i > 0). Similarly, vℓ−1 = b0v0 + · · · + bt−1vt−1
(b0, . . . , bt−1 ∈Fq), 123 123 Babai’s conjecture for random generators 181 and vℓ= v0 is forced. Since wℓ̸= w−1
1 , we must have wℓ= wt and a0 ̸= 0
(see Remark 8.2 for more details). Therefore and vℓ= v0 is forced. Consider now the trajectory of v1 under w′ = ww−1
1
= · · · w3w2. The trajectory is just v1, v2, . . . , vℓ, v0, v1, . . .. By (9) and a0 ̸= 0, v1, . . . , vt
are linearly independent, and, for every letter ξ, The trajectory is just v1, v2, . . . , vℓ, v0, v1, . . .. By (9) and a0 ̸= 0, v1, . . . , vt
are linearly independent, and, for every letter ξ, span{vi | 0 < i ≤t, vi ∈Dt+1
ξ
} = span{vi | 0 ≤i < t, vi ∈Dt
ξ}. Therefore the trajectory of v1 also has just one coincidence, again at step t
(when vt+1 is chosen). Therefore by the same argument we must have w′
t+1 =
w′
1, or wt+2 = w2. wt+2 = w2. Repeating this argument as many times as necessary proves that w is t-periodic,
as claimed. Remark 8.2 If t = ℓ, we must have a0 = 1 and all other ai = 0. The general
case t < ℓis more complicated, but we can still describe the possibilities. From (9), because step t + 1 is forced we must have vt+1 = wt+1vt =
t−1
i=0
aivi±1,
(10) (10) the signs depending on whether wt+1 = wi+1 or wt+1 = w−1
i
(ai ̸= 0). At
the next step, the signs depending on whether wt+1 = wi+1 or wt+1 = w−1
i
(ai ̸= 0). At
the next step, vt+2 =
t−1
i=0
aivi±1±1, and so on. We make a few observations: and so on. We make a few observations: 8 Closed trajectories with only one coincidence Since wℓ̸= w−1
1 , we must have wℓ= wt and a0 ̸= 0
(see Remark 8.2 for more details). Therefore wt+1 = w1. Consider now the trajectory of v1 under Consider now the trajectory of v1 under and so on. We make a few observations: 1. The vectors vi±1, etc, obey a no-crossing rule: we cannot have vi
ws+1
−−−→vi+1,
vi+1 ws+1
−−−→vi, vi+1 ws+1
−−−→vi, vi+1 ws+1
−−−→vi, 3 12 182 S. Eberhard, U. Jezernik as then we would have both ws+1 = wi+1 and ws+1 = w−1
i+1, for some i. Similarly there is a no meeting rule: we cannot have as then we would have both ws+1 = wi+1 and ws+1 = w−1
i+1, for some i. . Similarly, there is a no-meeting rule: we cannot have as then we would have both ws+1 = wi+1 and ws+1 = w−1
i+1, for some i. as then we would have both ws+1 = wi+1 and ws+1 = wi+1, for some i. 2. Similarly, there is a no-meeting rule: we cannot have i+1
2. Similarly, there is a no-meeting rule: we cannot have vi
ws+1
−−−→vi+1,
vi+2 ws+1
−−−→vi+1, vi
ws+1
−−−→vi+1, vi+2 ws+1
−−−→vi+1, as then we would have both ws+1 = wi+1 and ws+1 = w−1
i+2, but the
expression for w is supposed to be reduced. as then we would have both ws+1 = wi+1 and ws+1 = w−1
i+2, but the
expression for w is supposed to be reduced. 3. Finally, there is a time-consistency rule: we cannot have vi
ws+1
−−−→vi+1 ws+2
−−−→vi, as then we would have ws+1 = wi+1 and ws+2 = w−1
i+1, but again the
expression for w is supposed to be reduced; nor could we have vi
ws+1
−−−→vi−1 ws+2
−−−→vi, as then we would have ws+1 = w−1
i
and ws+2 = wi. Since a0 ̸= 0 and wt+1v0 = v1, the only resolution is that as then we would have ws+1 = w−1
i
and ws+2 = wi. Since a0 ̸= 0 and wt+1v0 = v1, the only resolution is that vt+s =
t−1
i=0
aivi+s for all s ≥0 (extending ℓ-periodically). In other words, the sequence (vs) in
span{v0, . . . , vt−1} corresponds with the sequence (Xs) in Fq[X]/( f ), where f = Xt −at−1Xt−1 −· · · −a0X0. Since vℓ= v0 we must have Since vℓ= v0 we must have f | Xℓ−1. Conversely, if f is a divisor of Xℓ−1, and if the period of w divides t and
i −i′ whenever ai ̸= 0 and ai′ ̸= 0, then a one-coincidence trajectory of this
type exists. and so on. We make a few observations: We now consider closed joint trajectories with only one coincidence in each
individual trajectory. The following lemma generalizes Lemma 8.1. Lemma 8.3 Assume w is nontrivial and cyclically reduced. Let v1, . . . , vr ∈
V be linearly independent. Suppose the joint trajectory of v1, . . . , vr is closed. 123 Babai’s conjecture for random generators 183 Supposethereisjustonecoincidenceineachindividualtrajectory,andsuppose
the coincidence in the trajectory of vi occurs at step (ti, i). Then Supposethereisjustonecoincidenceineachindividualtrajectory,andsuppose
the coincidence in the trajectory of vi occurs at step (ti, i). Then w = (wd · · · w1)ℓ/d,
where d = gcd(t1, . . . , tr, ℓ). In particular if w is not a proper power then ti = ℓfor each i. In particular if w is not a proper power then ti = ℓfor each i. Proof As in the proof of Lemma 8.1, let w be the left-infinite ℓ-periodic exten-
sionofw,andnotethatthetrajectoryofv1, . . . , vr under w isjusttheℓ-periodic
extension of the trajectory under w, and there are no further free choices. The choice at step (t, i) must be free for t ≤ti and forced for t > ti. Therefore the vectors (vt
i )1≤i≤r,0≤t<ti are linearly independent and the whole
trajectory is contained in their span. Since there is a coincidence at step (ti, i),
we have vti
i =
(t, j)≺(ti,i)
ait jvt
j
(ait j ∈Fq),
(11) (11) where ait j = 0 whenever t ≥t j (and (t, j) ≺(ti, i) means t < ti or t = ti
and j < i, as in Sect. 3.3). Let A0 be the r × r matrix where ait j = 0 whenever t ≥t j (and (t, j) ≺(ti, i) means t < ti or t = ti
and j < i, as in Sect. 3.3). Let A0 be the r × r matrix A0 = (ai0 j : 1 ≤i, j ≤r). A0 = (ai0 j : 1 ≤i, j ≤r). The matrix A0 must be nonsingular, for otherwise we could not have
(vℓ
1, . . . , vℓ
r ) = (v0
1, . . . , v0
r ). In particular, for each i there is some j such
that ai0 j ̸= 0. Since step (ti + 1, i) is forced, the value of wti+1v0
j must be
known; hence wti+1 = w1. Consider the joint trajectory of (v1
1, . . . , v1
r ) under Consider the joint trajectory of (v1
1, . . . , v1
r ) under w′ = ww−1
1
= · · · w3w2, which is just (vt
i )1≤i≤r,t≥1. Since A0 is nonsingular, we have span{vt
i : 1 ≤i ≤r, 1 ≤t ≤ti} = span{vt
i : 1 ≤i ≤r, 0 ≤t ≤ti −1}. Therefore the vectors (vt
i )1≤i≤r,1≤t≤ti are linearly independent, and the
joint trajectory of (v1
1, . . . , v1
r ) under w′ has the same behaviour as that of
(v1, . . . In particular if w is not a proper power then ti = ℓfor each i. Then there must exist a matrix E ∈Mr(Fq[Z]) with Write fi =
j pi j X j for some pi j ∈Fq[Z] and let F = (pi j : 1 ≤i, j ≤r). Then there must exist a matrix E ∈Mr(Fq[Z]) with (Zℓ−1)I = E F. This is possible if and only if det F divides Zℓ−1. This is possible if and only if det F divides Zℓ−1. In particular if w is not a proper power then ti = ℓfor each i. , vr) under w: the trajectory of v1
i has just one coincidence, at step
(ti, i) (when vti+1
i
is chosen). Therefore by the same argument w′
ti+1 = w′
1,
or or wti+2 = w2. 12 3 184 S. Eberhard, U. Jezernik Repeating the argument as many times as necessary, we conclude that the
period of w divides ti for each i. Repeating the argument as many times as necessary, we conclude that the
period of w divides ti for each i. Remark 8.4 The discussion in Remark 8.2 generalizes too. From (11) and
forcedness, we have vti+1
i
=
(t, j)≺(ti,i)
ait jvt±1
j
(i ∈{1, . . . ,r}),
(12) (12) where the signs are chosen depending on whether wt+1 = w1 or wt = w−1
1 . The latter case can arise only for t > 0, so no v0
j can appear in this expression. Hence (12) is the analogue of (10) for the joint trajectory of (v1
1, . . . , v1
r ). As
before there are no-crossing, no-meeting, and time-consistency rules for the
indices t such that ait j ̸= 0 for some i, j, so in fact we can never have vt−1
j
. We conclude that vti+s
i
=
(t, j)≺(ti,i)
ait jvt+s
j for all s ≥0, and hence the trajectory of (vs
1, . . . , vs
r) corresponds with
the trajectory of (Zs X1, . . . , Zs Xr) in the Fq[Z]-module (Fq[Z]X1 ⊕· · · ⊕
Fq[Z]Xr)/⟨f1, . . . , fr⟩, where for all s ≥0, and hence the trajectory of (vs
1, . . . , vs
r) corresponds with
the trajectory of (Zs X1, . . . , Zs Xr) in the Fq[Z]-module (Fq[Z]X1 ⊕· · · ⊕
Fq[Z]Xr)/⟨f1, . . . , fr⟩, where fi = Zti Xi −
(t, j)≺(ti,i)
ait j Zt X j, and we must have and we must have ⟨(Zℓ−1)X1, . . . , (Zℓ−1)Xr⟩⊆⟨f1, . . . , fr⟩. Write fi =
j pi j X j for some pi j ∈Fq[Z] and let F = (pi j : 1 ≤i, j ≤r
Then there must exist a matrix E ∈Mr(Fq[Z]) with Write fi =
j pi j X j for some pi j ∈Fq[Z] and let F = (pi j : 1 ≤i, j ≤r). 9 Expansion in low-degree representations We turn now to the proof of Theorem 1.3. We again consider the action of
G = Cln(q) on linearly independentr-tuples of vectors, and we again consider
trajectories under the action of a fixed word w ∈Fk, much as in Sect. 4. The 123 Babai’s conjecture for random generators 185 difference is mainly one of parameter regime. In Sect. 4 we consideredr-tuples
with r as large as cn for constant c, and we were satisfied with somewhat crude
bounds. In this section we consider r = O(1), and we seek sharper bounds. Our aim is to show that, in an orbit of G of size N, the probability that a
trajectory under a given word closes is close to 1/N, with a small relative
error; if we can do this it follows that there is a uniform spectral gap. We begin
with the case of r = 1, which contains most of the key ideas. 9.1 The defining representation Now let x1, . . . , xk
∈
G be chosen uniformly at random. Let w
=
w(x1, . . . , xk). Let v ∈V \{0}. Let N = |Gv|. By Witt’s lemma (Lemma 2.2),
N is the number of u ∈V \ {0} such that Q(u) = Q(v). Thus, by Lemma 2.1,
N = qn/q0 + O(qn/2). More generally, if U ≤V is a subspace of dimension
d then |Gv ∩U| = qd/q0 + O(qn/2). Lemma 9.1 Assume w is nontrivial and not a proper power. Assume ℓ< n/4.
Then Lemma 9.1 Assume w is nontrivial and not a proper power. Assume ℓ< n/4. Then Lemma 9.1 Assume w is nontrivial and not a proper power. Assume ℓ< n/4. Then P(wv = v) ≤1
N
1 + O(q2ℓ−n/2)
. Proof By Lemma 3.1 we may also assume that w is cyclically reduced, as
replacing w by its cyclic reduction can only decrease its length. In this case
Lemma 8.1 implies that the event that wv = v is contained in the union of the
following two events: Proof By Lemma 3.1 we may also assume that w is cyclically reduced, as
replacing w by its cyclic reduction can only decrease its length. In this case
Lemma 8.1 implies that the event that wv = v is contained in the union of the
following two events: E1: the trajectory v0, . . . , vℓhas exactly one coincidence, occuring at step
ℓ, and vℓ= v0,
0
ℓ E1: the trajectory v0, . . . , vℓhas exactly one coincidence, occuring at step
ℓ, and vℓ= v0,
0
ℓ E2: the trajectory v0, . . . , vℓhas at least two coincidences. We can bound the probability of E2 using Lemma 3.3. Suppose there is a
free choice at step t ≤ℓ. There are t previous vectors, so the probability of a
coincidence, conditional on previous steps, is bounded by qt
qn−t −qt−1 −qn/2 . Similarly, the conditional probability of a coincidence at a later step t′ is
bounded by qt′−1
qn−t′ −qt′−1 −qn/2 . 12 123 3 186 S. Eberhard, U. Jezernik Summing over t < t′ ≤ℓ, we find, using ℓ< n/4, Summing over t < t′ ≤ℓ, we find, using ℓ< n/4, P(E2) ≤
1≤t<t′≤ℓ
qt+t′−1
(qn−ℓ−qℓ−1 −qn/2)2
≪q4ℓ−2n ≤q4ℓ−n/N < q2ℓ−n/2/N. Hence we may focus on the event E1. In the linear case (Cl = SL), vℓis
chosen uniformly at random outside a linear subspace of dimension at most
ℓ−1, so the probability of E1 is bounded by 1
qn −qℓ−1 = 1
N
1 + O(qℓ−n)
. This completes the proof in this case. This completes the proof in this case. In general, the situation is complicated by form conditions, as previous
choices may significantly impact the probability that vℓ= v0, even if there
were no previous coincidences. ℓ Let ξ = wℓ. Lemma 9.1 Assume w is nontrivial and not a proper power. Assume ℓ< n/4.
Then 123 Babai’s conjecture for random generators Babai’s conjecture for random generators 187 w = w · · · w −s+1
u
· · · wt+s · · · wt+1
u−1
· · ·
(t ∈T1)
w = w · · · w −s+1
u
· · · wt · · · wt−s+1
u
· · ·
(t ∈T2)
w =
u
w · · ·
u
wt · · · w −s+1 · · · wt−s+1 · · ·
(t ∈T3) w = w · · · w −s+1
u
· · · wt+s · · · wt+1
u−1
· · ·
(t ∈T1)
w = w · · · w −s+1
u
· · · wt · · · wt−s+1
u
· · ·
(t ∈T2)
w =
u
w · · ·
u
wt · · · w −s+1 · · · wt−s+1 · · ·
(t ∈T3) w = w · · · w −s+1
u
· · · wt+s · · · wt+1
u−1
· · ·
(t ∈T1)
w = w · · · w −s+1
u
· · · wt · · · wt−s+1
u
· · ·
(t ∈T2)
w =
u
w · · ·
u
wt · · · w −s+1 · · · wt−s+1 · · ·
(t ∈T3) Fig. 1 The word w and one of its maximal subwords matching a prefix u. Each occurence of
the letter wℓor w−1
ℓ
is the end of one such subword. In the wℓ= w−1
t+1 case we must have
t + s < ℓ−s Fig. 2 The case
t = ℓ−s ∈T3. In this case
we must have t −s > 0, or
else w = u2
w = w · · · w −s+1
u
wt · · · wt−s+1
u
· · · Fig. 2 The case
t = ℓ−s ∈T3. In this case
we must have t −s > 0, or
else w = u2 case
T3. In this case
ve t −s > 0, or
w = w · · · w −s+1
u
wt · · · wt−s+1
u
· · · Fig. 2 The case
t = ℓ−s ∈T3. In this case
we must have t −s > 0, or
else w = u2 Write Ct for this condition. Lemma 9.1 Assume w is nontrivial and not a proper power. Assume ℓ< n/4.
Then The choice of vℓis subject to one linear constraint for every
occurence of ξ = wℓas wt or w−1
t+1 for some t < ℓ. Each such occurence
is the end of a maximal subword matching a prefix u = wℓ· · · wℓ−s+1 of w,
forward in the case ξ = wt and backward in the case ξ = w−1
t+1 (see Fig. 1). Write s = s(t) and u = u(t). Define T1 = {t < ℓ: ξ = w−1
t+1},
T2 = {t < ℓ: ξ = wt, ℓ−s(t) > t},
T3 = {t < ℓ: ξ = wt, ℓ−s(t) ≤t}. Note that, for t ∈T1, we must have t + s < ℓ−s, because wℓ· · · wt+1 is
reduced. In the ξ = wt case it is possible that the subword overlaps (or is
adjacent to) the matching prefix, and the division into T2 and T3 reflects this
possibility. The choice of vℓat step ℓis constrained by the linear conditions f (vℓ, vt) = f (vℓ−s, vt+s)
(t ∈T1)
f (vℓ, vt) = f (vℓ−s, vt−s)
(t ∈T2 ∪T3) (t ∈T2 ∪T3) (where s = s(t)). We need to determine whether v0 is in this affine subspace. Obviously this is the case if and only if (where s = s(t)). We need to determine whether v0 is in this affine subspace. Obviously this is the case if and only if f (v0, vt) = f (vℓ−s, vt+s)
f (v0, vt) = f (vℓ−s, vt−s) (t ∈T1) f (v0, vt) = f (vℓ−s, vt−s) (t ∈T2 ∪T3). Lemma 9.1 Assume w is nontrivial and not a proper power. Assume ℓ< n/4.
Then If t′ = ℓ−s
then w must be a proper power =
u
u
u
w · · · wt+1
u
wt · · · w −s+1w −s · · · wt−s+1 wt−s · · · wt · · · w1
w =
u
u
u
w · · · wt+1
u
wt · · · w −s+1w −s · · · w1 Fig. 3 The case t ∈T4 ⊆T3. Here t = ℓ−s′ for some t′ ∈T2 with t′ −s′ = 0. If t′ = ℓ−s
then w must be a proper power Fig. 3 The case t ∈T4 ⊆T3. Here t = ℓ−s′ for some t′ ∈T2 with t′ −s′ = 0. If t′ = ℓ−s
then w must be a proper power This system is consistent if and only if This system is consistent if and only if f (vt′, v0) = f (vℓ−s, vt−s). Fort ∈T4 letusredefineCt tobethisreducedcondition.Certainlyt−s < ℓ−s,
andift′ = ℓ−s thenwu′ = u′w,sow isaproperpower,contrarytohypothesis. Hence Ct is settled at step ℓ−s ≤t. Fort ∈T4 letusredefineCt tobethisreducedcondition.Certainlyt−s < ℓ−s,
andift′ = ℓ−s thenwu′ = u′w,sow isaproperpower,contrarytohypothesis. Hence Ct is settled at step ℓ−s ≤t. Now consider any step t ∈{1, . . . , ℓ−1}, and consider all those conditions
Ct′ which are settled at step t. These conditions are Ct′ for t′ ∈T1 ∪T2 ∪T4
such that ℓ−s′ = t, as well as Ct if t ∈T ′
3, i.e., f (vt, vt′+s′) = f (v0, vt′)
(t′ ∈T1, ℓ−s′ = t)
f (vt, vt′−s′) = f (v0, vt′)
(t′ ∈T2, ℓ−s′ = t)
f (vt, vt′−s′) = f (vt′′, v0)
(t′ ∈T4, ℓ−s′ = t)
f (vt, v0) = f (vt−s, vℓ−s)
(if t ∈T ′
3.) f (vt, vt′+s′) = f (v0, vt′)
(t′ ∈T1, ℓ−s′ = t)
f (vt, vt′−s′) = f (v0, vt′)
(t′ ∈T2, ℓ−s′ = t)
f (vt, vt′−s′) = f (vt′′, v0)
(t′ ∈T4, ℓ−s′ = t)
f (vt, v0) = f (vt−s, vℓ−s)
(if t ∈T ′
3.) We claim that these affine conditions for vt are independent, and it suffices to
demonstrate that the indices t′ + s′ (t′ ∈T1, ℓ−s′ = t), t′ −s′ (t′ ∈T2 ∪T4,
ℓ−s′ = t), and 0 if t ∈T ′
3 are all distinct. Since s′ = ℓ−t is a constant,
the indices t′ + s′ are all distinct for t′ ∈T1, as are the indices t′ −s′ for
t′ ∈T2 ∪T4. Moreover we cannot have t1 + s1 = t2 −s2 for t1 ∈T1 and
t2 ∈T2 ∪T4 with ℓ−s1 = ℓ−s2 = t, because then we would have wt1+s1 =
w−1
t2−s2+1 = w−1
t1+s1+1, in contradiction with the reducedness of w. If t′−s′ = 0
for some t′ ∈T2 then t ∈T4 by definition, so t /∈T ′
3. Finally, if t′ ∈T4 then
we cannot have t′ −s′ = 0 unless w is a proper power, as discussed. We claim that these affine conditions for vt are independent, and it suffices to
demonstrate that the indices t′ + s′ (t′ ∈T1, ℓ−s′ = t), t′ −s′ (t′ ∈T2 ∪T4,
ℓ−s′ = t), and 0 if t ∈T ′
3 are all distinct. 123 Lemma 9.1 Assume w is nontrivial and not a proper power. Assume ℓ< n/4.
Then For t ∈T1 ∪T2, the truth or falsity of Ct is
determined at step ℓ−s, because ℓ−s > t + s in the t ∈T1 case and
ℓ−s > t in the t ∈T2 case. The condition is not determined before step ℓ−s
by maximality of u(t). For t ∈T3, Ct is settled at step t, because t ≥ℓ−s. The condition is not settled before step t because wt = wℓ̸= w−1
1
(since w is
cyclically reduced). Note that we may have ℓ−s = t for t ∈T3: this is the case in which the
subword is adjacent to the prefix (see Fig. 2). In this case the condition Ct is f (v0, vt) = f (vt, vt−s). However, we cannot have also t −s = 0, for then we would have w = u2. Hence, by linear independence of v0, . . . , vt−1, still the condition Ct is settled
at step t and not before. Note, however, if G unitary then Ct is linear only over
Fq0 (because the form f is only sesquilinear). q
There is a case that may arise in which the various conditions Ct′ settled
at a given step t are not independent. This is the case in which t ∈T3 and
t = ℓ−s′ for some t′ ∈T2, where s′ = s(t′), and t′ −s′ = 0 (see Fig. 3). Let
T4 be the set of such steps t and let T ′
3 = T3 \ T4. If t ∈T4 then we have an
overdetermined pair of conditions f (v0, vt′) = f (vt, v0)
(Ct′)
f (v0, vt) = f (vℓ−s, vt−s)
(Ct). f (v0, vt′) = f (vt, v0)
(Ct′)
f (v0, vt) = f (vℓ−s, vt−s)
(Ct). 123 3 188 S. Eberhard, U. Jezernik w =
u
u
u
w · · · wt+1
u
wt · · · w −s+1w −s · · · wt−s+1 wt−s · · · wt · · · w1
w =
u
u
u
w · · · wt+1
u
wt · · · w −s+1w −s · · · w1
Fig. 3 The case t ∈T4 ⊆T3. Here t = ℓ−s′ for some t′ ∈T2 with t′ −s′ = 0. This system is consistent if and only if Since s′ = ℓ−t is a constant,
the indices t′ + s′ are all distinct for t′ ∈T1, as are the indices t′ −s′ for
t′ ∈T2 ∪T4. Moreover we cannot have t1 + s1 = t2 −s2 for t1 ∈T1 and
t2 ∈T2 ∪T4 with ℓ−s1 = ℓ−s2 = t, because then we would have wt1+s1 =
w−1
t2−s2+1 = w−1
t1+s1+1, in contradiction with the reducedness of w. If t′−s′ = 0
for some t′ ∈T2 then t ∈T4 by definition, so t /∈T ′
3. Finally, if t′ ∈T4 then
we cannot have t′ −s′ = 0 unless w is a proper power, as discussed. p
p
p
Hence, by linear independence of v0, . . . , vt−1, the h (say) conditions Ct′
settled at step t consist of h independent affine linear conditions for vt, or, in
the unitary case, if t = ℓ−s ∈T3, 2h independent affine linear conditions over
Fq0. Suppose vt is drawn from a subspace of codimension d (d is the number
of previous occurences of wt or w−1
t
). Then, by Lemma 2.1 and Lemma 3.3,
the probability that all these conditions are satisfied, conditional on the past Babai’s conjecture for random generators 189 trajectory v0, . . . , vt−1, is trajectory v0, . . . , vt−1, is trajectory v0, . . . , vt−1, is y
qn−d−h/q0 + O(qd + qn/2)
qn−d/q0 + O(qd + qn/2)
= q−h
1 + O(qh+d−n/2q0)
= q−h
1 + O(qℓ+t−n/2)
(13) (13) (in the second line we used h < ℓ, d < t, and q0 ≤q). (in the second line we used h < ℓ, d < t, and q0 ≤q). Suppose H = |T1| + |T2| + |T ′
3| + |T4| (i.e., let H + 1 be the number of
appearances of wℓor w−1
ℓ
in w). Taking the product of (13) over all t, the
probability that Ct′ is satisfied for every t′ ∈T1 ∪T2 ∪T ′
3 ∪T4 is q−H
1 + O(q2ℓ−n/2)
. q−H
1 + O(q2ℓ−n/2)
. The conditions Ct are prequisite to the event vℓ= v0. If all these conditions
are satisfied, then at step ℓthe vector vℓis drawn from an affine subspace of
codimension H which includes v0. Note also that Q(vℓ−1) = Q(v0). Hence,
from Lemma 3.3, P(vℓ= v0 | v0, . . . This system is consistent if and only if , vℓ−1) =
1
qn−H/q0 −O(q H) −O(qn/2). Hence the overall probability of E1 is bounded by Hence the overall probability of E1 is bounded by q−H
1 + O(q2ℓ−n/2)
qn−H/q0 −O(q H) −O(qn/2) =
1
qn/q0
1 + O(q2ℓ−n/2)
= 1
N
1 + O(q2ℓ−n/2)
. Thus in all cases the error is bounded as claimed. Thus in all cases the error is bounded as claimed. Remark 9.2 In the linear case, the hypothesis that w is not a proper power is
needed only to ensure that the event vℓ= v0 is contained in E1 ∪E2; we
do not need the hypothesis in order to bound P(E1) or P(E2). By contrast,
at least in the orthogonal case, we do need this hypothesis in order to bound
P(E1) satisfactorily, so at least some of the complexity of the above proof is
necessary. Suppose G = GOn(q) and w = u2 for some word u of length ℓ/2. Then the choice of vℓis constrained by f (vℓ, vℓ/2) = f (uvℓ/2, uv0) = f (vℓ/2, v0) = f (v0, vℓ/2). Hence vℓis always restricted to an affine hyperplane that includes v0, so the
probability that wv = v will be at least approximately q/N, even conditionally
on there being only one coincidence. 3 190 S. Eberhard, U. Jezernik Remark 9.3 On the other hand, it is usually possible to cyclically rotate w so
that much of the complexity in the previous proof disappears. For example, if
w can be cyclically rotated so that it has no square prefix, then, after such a
rotation, T3 = ∅. Not every non-proper-power has this property,6 but almost
all words do. Remark 9.3 On the other hand, it is usually possible to cyclically rotate w so
that much of the complexity in the previous proof disappears. For example, if
w can be cyclically rotated so that it has no square prefix, then, after such a
rotation, T3 = ∅. Not every non-proper-power has this property,6 but almost
all words do. We can now prove that the permutation action of uniformly random
x1, . . . , xk ∈G on an orbit Gv ⊆V has a uniform spectral gap. Assume
v ̸= 0. Eλℓ≪k−cℓqn + q2ℓ−n/2. This system is consistent if and only if As usual let A be the normalized adjacency operator A = 1
2k
k
i=1
(xi + x−1
i
) acting on C[Gv], and let 1 = λ1 ≥λ2 ≥· · · ≥λN be the spectrum. Let
λ = max(λ2, −λN). Then, for even ℓ, acting on C[Gv], and let 1 = λ1 ≥λ2 ≥· · · ≥λN be the spectrum. Let
λ = max(λ2, −λN). Then, for even ℓ, 1 + λℓ≤tr Aℓ= Ew|{u ∈Gv : wu = u}|, where w is the result of a simple random walk of length ℓin Fk. Let P ⊆Fk
be the set of proper powers wm (w ∈Fk, m ≥2). Then where w is the result of a simple random walk of length ℓin Fk. Let P ⊆Fk
be the set of proper powers wm (w ∈Fk, m ≥2). Then Eλℓ≤Ex1,...,xkEw|{u ∈Gv : wu = u}| −1
= Ew
P(wv = v) −1
N
N ≤P(w ∈P)N +
max
w/∈P,|w|≤ℓ
P(wv = v) −1
N
N. By [15, Lemma 2.6], P(w ∈P) ≪ℓ
2k −1
k2
ℓ/2
≪k−cℓ. By Lemma 9.1, max
w/∈P,|w|≤ℓP(wv = v) ≤1
N
1 + O(q2ℓ−n/2)
, provided ℓ< n/4. Hence provided ℓ< n/4. Hence Eλℓ≪k−cℓqn + q2ℓ−n/2. 6 e.g., xxyxxyxxyxy 12 123 Babai’s conjecture for random generators 191 Take ℓ∼n/5. If log k/ log q is sufficiently large then Take ℓ∼n/5. If log k/ log q is sufficiently large then Take ℓ∼n/5. If log k/ log q is sufficiently large then Eλℓ≤q−c′ℓ. Eλℓ≤q−c′ℓ. Hence, by Markov’s inequality, P(λ ≥q−c′/2) = P(λℓ≥q−c′ℓ/2) ≤qc′ℓ/2Eλℓ≤q−c′ℓ/2 ≤q−c′′n,
so almost surely λ < q−c′/2. 9.2 The action on r-tuples We now generalize the argument of the previous subsection to r-tuples of
vectors, wherer is bounded. It will be convenient to use the following notation. For v, v′ ∈V r, let f (v, v′) denote the r × r matrix f (v, v′)i j = f (vi, v′
j). Define also Q(v)i = Q(vi). Let v = (v1, . . . , vr) ∈V r, where v1, . . . , vr ∈V are linearly independent. Let N = |Gv|. By Witt’s lemma, N is the number of v′ ∈V r with v′
1, . . . , v′
r
linearly independent such that f (v, v) = f (v′, v′) and Q(v) = Q(v′). In the
linear case, N = (qn −1)(qn −q) · · · (qn −qr−1)
= qrn
1 −O(q−n+r−1)
. In the other cases we have, inductively, using Lemma 2.1, N = |G(v1, . . . , vr−1)|(qn−r+1/q0 + O(qn/2))
= qrn−r(r−1)/2/qr
0
1 + O(q−n/2+r−1q0)
. (14) (14) Lemma 9.4 Assume w is nontrivial and not a proper power. Assume ℓr2 <
n/4. Then P(wv = v) ≤1
N
1 + O(q2ℓr−n/2)
. 123 192 S. Eberhard, U. Jezernik Proof Again we may assume w is cyclically reduced. In this case Lemma 8.3
implies that the event that wv = v is contained in the union of the following
two events: Proof Again we may assume w is cyclically reduced. In this case Lemma 8.3
implies that the event that wv = v is contained in the union of the following
two events: E1: the joint trajectory (vt
i ) has exactly one coincidence in each individual
trajectory, each occuring at the final step t = ℓ, and vℓ
i = v0
i for each
i, E1: the joint trajectory (vt
i ) has exactly one coincidence in each individual
trajectory, each occuring at the final step t = ℓ, and vℓ
i = v0
i for each
i, E2: the joint trajectory (vt
i ) has at least r + 1 coincidences. Again we can bound the probability of E2 using Lemma 3.3. Suppose there is
a free choice at step (t, i). There are at most tr + i −1 ≤ℓr previous vectors,
so the conditional probability of a coincidence is bounded by qtr+i−1
qn−ℓr −qℓr−1 −qn/2 = qtr+i−1+ℓr−n
1 + O(qℓr−n/2)
. 9.2 The action on r-tuples Hence the probability of E2 is bounded by (summing over all possibilities for
r + 1 coincidences) q(2ℓr−n)(r+1)
1 + O(rqℓr−n/2)
≪q(2ℓr−n)(r+1). Using N ≤qrn, this is at most Using N ≤qrn, this is at most Using N ≤qrn, this is at most q2ℓr(r+1)−n/N ≤q2ℓr−n/2/N. Hence we may focus on the event E1. In the linear case, for each i the vector
vℓ
i is chosen uniformly at random outside a linear subspace of dimension at
most ℓr, so the probability of E1 is bounded by
1
qn −qℓr
r
= q−rn
1 + O(rqℓr−n)
= 1
N
1 + O(rqℓr−n)
. This completes the proof in this case. This completes the proof in this case. As in the previous subsection, the general situation is complicated by form
conditions, but fortunately few changes are necessary in the r > 1 case. Let
ξ = wℓ. Assume there are H + 1 occurences of ξ or ξ−1 in w, and consider
the H maximal subwords u ending with ξ or ξ−1 and matching a proper prefix
of w, as in Fig. 1. Define T1, T2, and T3 = T ′
3 ∪T4 as before. The choice of vℓat step ℓis constrained by the linear conditions f (vℓ, vt) = f (vℓ−s, vt+s)
(t ∈T1) (t ∈T1) 123 123 193 Babai’s conjecture for random generators f (vℓ, vt) = f (vℓ−s, vt−s)
(t ∈T2 ∪T3) (t ∈T2 ∪T3) (where s = s(t)). For t ∈T1 ∪T2 ∪T ′
3 we have a condition Ct defined by (where s = s(t)). For t ∈T1 ∪T2 ∪T ′
3 we have a condition Ct defined by f (v0, vt) = f (vℓ−s, vt+s)
(t ∈T1)
f (v0, vt) = f (vℓ−s, vt−s)
(t ∈T2 ∪T ′
3). (t ∈T1)
(t ∈T2 ∪T ′
3). (t ∈T2 ∪T ′
3). For t ∈T4 the condition Ct is the reduced condition f (vt′, v0) = f (vℓ−s, vt−s). Conditional on linear independence of vt
i for 1 ≤i ≤r and t < ℓ, it can be
verified exactly as in the r = 1 case that the conditions settled at any given
step t < ℓare precisely Ct′ for t′ ∈T1 ∪T2 ∪T4 and ℓ−s′ = t, as well as Ct
if t ∈T ′
3, and these conditions are linearly independent. Suppose at step t < ℓthere are h conditions Ct′ to be settled. 9.2 The action on r-tuples Assume first
that we are not in the case t = ℓ−s ∈T ′
3 (the case in which the subword is
adjacent to the prefix, as in Fig. 2). Let d be the number of previous occurences
of wt or w−1
t
. Then, by Lemma 3.3, at step (t, i) the vector vt
i is drawn
from an affine subspace of codimension d′ = dr + i −1, less a subspace of
dimension d′, subject to the quadratic condition Q(vt
i ) = Q(vt−1
i
). Hence,
using Lemma 2.1, the probability that ji-component of each Ct′ is satisfied
for each j ∈{1, . . . ,r} is qn−d′−hr/q0 + O(qd′ + qn/2)
qn−d′/q0 + O(qd′ + qn/2)
= q−hr
1 + O(qhr+d′−n/2q0)
= q−hr
1 + O(qℓr+(t−1)r+i−1−n/2)
(15) (15) (using h < ℓ, d′ ≤(t −1)r + i −1, and q0 ≤q). Taking the product over all
i, the probability that each Ct′ is satisfied after step t is q−hr2
1 + O(qℓr+tr−n/2)
. (16) (16) The case t = ℓ−s ∈T ′
3 is slightly different. In this case the ji-component
of Ct is The case t = ℓ−s ∈T ′
3 is slightly different. In this case the ji-component
of Ct is f (v0
j, vt
i ) = f (vt
j, vt−s
i
). This condition is settled at step (t, k), where k = max(i, j). Hence 2k −1
components of Ct are settled at step (t, k). Therefore, in this case, (15) must 12 194 S. Eberhard, U. Jezernik be replaced with be replaced with be replaced with eplaced with q−(h−1)r−(2i−1)
1 + O(qℓr+(t−1)r+i−1−n/2)
. Taking the product over all i again gives (16). Taking the product over all i again gives (16). Taking the product over all i again gives (16). Taking the product of (16) over all t, the probability that Ct′ is satisfied for
every t′ ∈T1 ∪T2 ∪T ′
3 ∪T4 is q−Hr2
1 + O(q2ℓr−n/2)
. (17) (17) Finally, if all the conditions Ct are satisfied, then for each i the vector vℓ
i is
drawn from an affine subspace of codimension Hr + i −1 which includes v0
i ,
less a subspace of dimension Hr + i −1, subject to the quadratic condition
Q(vℓ
i ) = Q(vℓ−1
i
) = Q(v0
i ). 9.2 The action on r-tuples Hence P(vℓ
i = v0
i | (vt
j, (t, j) ≺(ℓ, i)))
=
1
qn−Hr−i+1/q0 −O(q Hr+i−1) −O(qn/2)
= (qn−Hr−i+1/q0)−1
1 + O(q Hr+i−1−n/2q0) P(vℓ
i = v0
i | (vt
j, (t, j) ≺(ℓ, i))) = qn−Hr−i+1/q0 −O(q Hr+i−1) −O(qn/2)
= (qn−Hr−i+1/q0)−1
1 + O(q Hr+i−1−n/2q0) Hence the conditional probability that vℓ= v0 is (qnr−Hr2−r(r−1)/2/qr
0)−1
1 + O(q(H+1)r−n/2)
. Hence the overall probability of E1 is, multiplying the previous line by (17), (qnr−r(r−1)/2/qr
0)−1
1 + O(q2ℓr−n/2)
. Comparing with (14), this is N −1
1 + O(q2ℓr−n/2)
. Thus in all cases the error is bounded as claimed. Thus in all cases the error is bounded as claimed. Thus in all cases the error is bounded as claimed. Thus in all cases the error is bounded as claimed. We can now prove that the permutation action of uniformly random
x1, . . . , xk ∈G on an orbit Gv ⊆V r has a uniform spectral gap. The argu-
ment is little different from that in the previous subsection. We may assume
v1, . . . , vr are linearly independent, by reducing r if necessary. Suppose the
adjacency operator A acting on C[Gv] has spectrum 1 = λ1 ≥· · · ≥λN. Let 123 Babai’s conjecture for random generators 195 λ = max(λ2, −λN). For even ℓ, let w be the result of a simple random walk
of length ℓin Fk. Then λ = max(λ2, −λN). For even ℓ, let w be the result of a simple random walk
of length ℓin Fk. Then Eλℓ≤P(w ∈P)N +
max
w/∈P,|w|≤ℓ
P(wv = v) −1
N
N. We bound P(w ∈P) as before, while by Lemma 9.4 we have We bound P(w ∈P) as before, while by Lemma 9.4 we have max
w/∈P,|w|≤ℓP(wv = v) ≤1
N
1 + O(q2ℓr−n/2)
, provided ℓr2 < n/4. Hence provided ℓr2 < n/4. Hence provided ℓr2 < n/4. Hence Eλℓ≪k−cℓqrn + q2ℓr−n/2. Take ℓ∼n/(5r2). If log k/ log q ≥Cr3, for a sufficiently large constant C,
then Eλℓ≤q−c′ℓ. Hence, by Markov’s inequality, P(λ ≥q−c′/2) ≤qc′ℓ/2Eλℓ≤q−c′ℓ/2 < q−c′′n/r2,
so almost surely λ < q−c′/2, as before. 9.3 Other low-degree representations The result of the final argument of the previous subsection can be expressed
as follows. Theorem 9.5 Let C[V r]0 be the orthogonal complement of C[V r]G in C[V r]. Let x1, . . . , xk ∈G be uniform and independent, where k ≥qCr3 and r <
cn1/4. Let ρ = ρ(A, C[V r]0) be the spectral radius of A = Ax1,...,xk acting
on C[V r]0. Then P(ρ > q−c) < q−cn/r2. Proof. ByWitt’slemma,thereare O(qr2)orbitsof G on V r.Let Gv1, . . . , Gvs
be a decomposition of V r into G-orbits, where s ≪qr2. Then C[V r]0 = C[Gv1]0 ⊕· · · ⊕C[Gvs]0. 196 S. Eberhard, U. Jezernik Let ρi = ρ(A, C[Gvi]0) be the spectral radius of A on C[Gvi]0. Then Let ρi = ρ(A, C[Gvi]0) be the spectral radius of A on C[Gvi]0. Then ρ = max
1≤i≤s ρi. ρ = max
1≤i≤s ρi. ρ = max
1≤i≤s ρi. From the previous subsection (possibly with a smaller r, if the components of
vi are not linearly independent), for each i we have From the previous subsection (possibly with a smaller r, if the components of
vi are not linearly independent), for each i we have P(ρi > q−c) < q−c′n/r2. Hence Hence P(ρ > q−c) ≪qr2−c′n/r2 < q−c′′n/r2. Our main interest is the conjugation action of G on a conjugacy class C ⊆
SCln(q) of elements of degree s = O(1), which is actually a quotient of an
orbit of G on V s ⊕(V ∗)s, where V ∗is the dual space. It is possible to repeat
the analysis of the previous subsection allowing also r factors of V ∗, but in
fact this generalization follows formally, since C[V ∗] ∼= C[V ] (as both have
character χ(g) = qdim ker(g−1)), so C[V r ⊕(V ∗)r] ∼= C[V ]⊗r ⊗C[V ∗]⊗r ∼= C[V ]⊗2r ∼= C[V 2r]. Corollary 9.6 (the conjugation action on M is expanding) Let x1, . . . , xk ∈
G be independent and uniformly random, where k > qC and n > C. Let
ρ = ρ(A, C[M]0) be the spectral radius of A acting on C[M]0. Then P(ρ > q−c) ≤q−cn. Proof We claim that C[M] is contained in C[V 2s]. The map V s ⊕(V ∗)s →Mn(Fq)
(vi, φi) →1 +
s
i=1
vi ⊗φi. 9.3 Other low-degree representations is a map of permutation representations (where G acts by conjugation on
Mn(Fq)), and hence induces a map of C[G]-modules C[V s ⊕(V ∗)s] →
C[Mn(Fq)]. The module C[M] is contained in the image, so it is isomorphic
to a submodule of C[V s ⊕(V ∗)s] ∼= C[V 2s] by complete reducibility. Hence
the result follows from the previous theorem with r = 2s. is a map of permutation representations (where G acts by conjugation on
Mn(Fq)), and hence induces a map of C[G]-modules C[V s ⊕(V ∗)s] →
C[Mn(Fq)]. The module C[M] is contained in the image, so it is isomorphic
to a submodule of C[V s ⊕(V ∗)s] ∼= C[V 2s] by complete reducibility. Hence
the result follows from the previous theorem with r = 2s. 123 12 123 123 Babai’s conjecture for random generators 197 10 Diameter of the Cayley graph We now collect results from the previous sections and bound the diameter of
the Cayley graph of the subgroup of Cln(q) generated by random elements. 7 Alternatively, we could just cite [30]. The given argument avoids CFSG. 10.1 GLn( p) and 3 random elements By a straightforward adaptation of [14, Lemma 5.2] (assuming n > 6, say),
⟨w1(x, y, z), w2(x, y, z)⟩≥SLn(p). ence indeed ⟨S⟩≥SLn(p). ′
2 In particular, using Schreier generators, there is a symmetric set S′ ⊆S2p ∩
SLn(p) such that ⟨S′⟩= SLn(p). In particular, using Schreier generators, there is a symmetric set S′ ⊆S2p ∩
SLn(p) such that ⟨S′⟩= SLn(p). Meanwhile, by Theorem 1.1, with probability 1−e−cn there is another word
w of length nO(log p) such that Meanwhile, by Theorem 1.1, with probability 1−e−cn there is another word
w of length nO(log p) such that Meanwhile, by Theorem 1.1, with probability 1−e−cn there is another word
w of length nO(log p) such that w(x, y, z) ∈M. w(x, y, z) ∈M. Let X = S′ ∪{w(x, y, z)±1}. By [22, Theorem 1.5] we have Let X = S′ ∪{w(x, y, z)±1}. By [22, Theorem 1.5] we have
diam Cay(SLn(p), X) ≪pn12. diam Cay(SLn(p), X) ≪pn12. As |⟨S⟩/ SLn(p)| < p, we thus have As |⟨S⟩/ SLn(p)| < p, we thus have diam Cay(⟨S⟩, S) ≪p2n12+C log p = nO(log p). This completes the proof. This completes the proof. 10.1 GLn( p) and 3 random elements In this subsection we prove Theorem 1.2. Recall that SLn(p) ≤G ≤GLn(p),
where p is prime and log p < cn/ log2 n, the elements x, y, z ∈G are chosen
uniformly at random, and S = {x±1, y±1, z±1}. We claim that with probability
1 −e−cn we have ⟨S⟩≥SLn(p), and
diam Cay(⟨S⟩, S) ≤nO(log p). First we show that ⟨S⟩≥SLn(p) with high probability. The argument is a
slight modification of [14, Sect. 5].7 Let C1 be the set of all irreducible g ∈GLn(p) of order d(pn −1)/(p −1)
for some d | (p −1). Each such g is equivalent to the multiplication action
of some x ∈Fpn of the same order, and det g = N(x). Therefore, for each
α ∈Gab ∼= F×
p , the GLn(p)-classes in C1;α = C1 ∩αG′ are in bijection with
elements of Fpn, up to Galois conjugacy, of order d(pn −1)/(p −1) and
norm α, where d is the order of α. Note there are φ(d) elements α of order d. Moreover, each such g ∈G has centralizer isomorphic to F×
pn. Hence |C1;α|
| GLn(p)| = φ(d(pn −1)/(p −1))/φ(d)
n(pn −1)
> e−o(n). Here we used the standard estimate φ(m) ≫m/ log log m. 1 Here we used the standard estimate φ(m) ≫m/ log log m. 1 Let C2 be the set of all g ∈GLn(p) of order pn−1 −1 splitting V as ℓ⊕W
for some ℓ, W with dim ℓ= 1, dim W = n −1. A similar calculation shows
that |C2;α|
| GLn(p)| > e−o(n) for each α ∈F×
p in this case as well. (In fact, C2 is uniform over det fibres.)
Hence, by Corollaries 5.3 and 6.2 as in the proof of Theorem 7.3, with
probability at least 1 −e−cn there are words w1, w2 such that for each α ∈F×
p in this case as well. (In fact, C2 is uniform over det fibres.)
Hence, by Corollaries 5.3 and 6.2 as in the proof of Theorem 7.3, with
probability at least 1 −e−cn there are words w1, w2 such that wi(x, y, z) ∈Ci
(i ∈{1, 2}). 12 3 198 S. Eberhard, U. Jezernik By a straightforward adaptation of [14, Lemma 5.2] (assuming n > 6, say),
⟨w1(x, y, z), w2(x, y, z)⟩≥SLn(p). By a straightforward adaptation of [14, Lemma 5.2] (assuming n > 6, say),
⟨w1(x, y, z), w2(x, y, z)⟩≥SLn(p). This completes the proof. Corollary 1.5(2) follows immediately for q < nO(1), since log |G| ≍
n2 log q. If q is larger then the claim follows from Alon–Roichman [1], which
implies that the Cayley graph on Cn2 log q random generators is almost surely
an expander. Acknowledgements
We thank László Pyber, Endre Szabó, and Péter Varjú for helpful discus-
sions. Thanks are due to Emmanuel Breuillard and Bob Guralnick for discussions pertaining
to the low-degree representation theory of SCln(q), and to Aner Shalev for discussions about
character bounds. We thank Zoltán Halasi for sharing the preprint [22]. We would also like
to thank two anonymous referees for a thorough inspection of the paper and suggesting many
improvements. Funding Open access funding provided by ELKH Alfréd Rényi Institute of Mathematics. Funding Open access funding provided by ELKH Alfréd Rényi Institute of Mathematics 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/. Hence diam Cay(⟨S⟩, S) ≪q2nC2+1. diam Cay(⟨S⟩, S) ≪q2nC2+1. 10.2 Classical groups and qC random elements In this subsection we prove Theorem 1.4. Recall that G = Cln(q), where
n > C, elements x1, . . . , xk ∈G are chosen uniformly at random where
k > qC, and S = {x±1
1 , . . . , x±1
k }. We claim that with probability 1 −q−cn
we have ⟨S⟩≥SCln(p), and
diam Cay(⟨S⟩, S) ≤q2nC. By Theorem 7.4, with probability at least 1 −q−c1n there is a word w of
length at most q2nC1 so that w(x1, . . . , xk) ∈M. Let C be the conjugacy class of w(x1, . . . , xk) in G. Note that C ⊆SCln(q). It follows from Corollary 9.6 that, with probability at least 1 −q−c2n, the
conjugation action of G on C is expanding with spectral gap bounded away
from zero. Hence (see, e.g., [31, Proposition 3.1.5 and Proposition 3.3.6]) diam Sch(G, S, C) ≪log |C|. diam Sch(G, S, C) ≪log |C|. diam Sch(G, S, C) ≪log |C|. 12 123 Babai’s conjecture for random generators 199 It follows that with probability at least 1−q−c3n, every element of C is a word
in S of length at most It follows that with probability at least 1−q−c3n, every element of C is a word
in S of length at most q2nC1 + O(log |C|) ≪q2nC2. q2nC1 + O(log |C|) ≪q2nC2. This already proves that ⟨S⟩≥SCln(q). It follows from [33] that
diam Cay(SCln(q), C) ≪log | SCln(q)|/ log |C| ≪n. This already proves that ⟨S⟩≥SCln(q). It follows from [33] that
diam Cay(SCln(q), C) ≪log | SCln(q)|/ log |C| ≪n. Hence Appendix A: Analogous arguments for Sn In this appendix we give analogous arguments for Sn. The main reason to do
so is to motivate and give context to some of the arguments in the main body,
as the arguments in the context of Sn are easier and somewhat more natural,
involving only trajectories of points rather than vectors. A secondary reason
is that a couple results are actually new, and of independent interest: 3 S. Eberhard, U. Jezernik 200 1. if w is a word of length o(n1/2), then with high probability w has o(n)
fixed points (Theorem A.4); 1. if w is a word of length o(n1/2), then with high probability w has o(n)
fixed points (Theorem A.4); 2. the Cayley graph with respect to three random generators almost surely
has diameter O(n2 log n). A.1 Queries and trajectories The following definitions only slightly generalize those in [8,15]. g
y
g
y g
Let G = Sn and = {1, . . . , n}. Let x1, . . . , xk ∈G. Define a query to b
a pair (ξ, v), where ξ ∈{ξ±1
1 , . . . , ξ±1
k } and v ∈; the result of the query i Let G = Sn and = {1, . . . , n}. Let x1, . . . , xk ∈G. Define a query to be
a pair (ξ, v), where ξ ∈{ξ±1
1 , . . . , ξ±1
k } and v ∈; the result of the query is Let G = Sn and = {1, . . . , n}. Let x1, . . . , xk ∈G. Define a query to be
a pair (ξ, v), where ξ ∈{ξ±1
1 , . . . , ξ±1
k } and v ∈; the result of the query is
ξv. After any finite sequence of queries k
ξv. After any finite sequence of queries (w1, v1), (w2, v2), . . . , (wt−1, vt−1) the known domain of a letter ξ at time t is the known domain of a letter ξ at time t is Dt
ξ = {vi : wi = ξ, i < t} ∪{wivi : wi = ξ−1, i < t}. Suppose we make a further query (wt, vt). If vt ∈Dt
wt, then the result wtv is
determined already by the values of w1v1, . . . , wt−1vt−1; we call this a forced
choice. Otherwise, we say the query is a free choice. Let R be some subset of fixed in advance. If a query (wt, vt) is a free
choice and yet wtvt ∈R ∪{v1, w1v1, . . . , vt−1, wt−1vt−1, vt} then we say the result of the query is a coincidence. then we say the result of the query is a coincidence. Again, the language is most interesting when x1, . . . , xk ∈G are chosen
randomly. The following lemma is trivial, and parallels Lemma 3.3. Lemma A.1 Let x1, . . . , xk ∈G be uniformly random and independent, and
let (w1, v1), (w2, v2), . . . , (wt−1, vt−1) be a sequence of queries. Assume that (wt, vt) is a free choice. A.1 Queries and trajectories Then, con-
ditionally on the values of w1v1, . . . , wt−1vt−1, the result wtvt of the query
(wt, vt) is uniformly distributed in \ Dt
w−1
t . be a sequence of queries. Assume that (wt, vt) is a free choice. Then, con-
ditionally on the values of w1v1, . . . , wt−1vt−1, the result wtvt of the query
(wt, vt) is uniformly distributed in \ Dt
w−1
t . t
In particular, the conditional probability that wtv is a coincidence is
bounded by d
n −s , 123 12 123 Babai’s conjecture for random generators 201 where re where d = |R ∪{v1, w1v1, . . . , vt−1, wt−1vt−1, vt}| and s is the number of i < t with wi ∈{wt, w−1
t
}. Let w ∈Fk, and let w = wℓ· · · w1
(wi ∈{ξ±1
1 , . . . , ξ±1
k }) be the reduced expression. For each v ∈, the trajectory of v is the sequence
of queries (wt, vt−1), where v0 = v and for each t ≥1 the vector vt is the
result of the query (wt, vt−1); in other words, the sequence v0, v1, . . . , vℓis
defined by v0 = v,
vt = wtvt−1
(1 ≤t ≤ℓ). Note that if step t is free and not a coincidence then step t + 1 is also free, and
hence if vℓ∈R then there must be at least one coincidence in the trajectory
(cf. Lemma 3.5). More generally for any r ≥1 the joint trajectory of an r-tuple v1, . . . , vr ∈
is simply the r-tuple of individual trajectories, with the queries (wt, vt−1
i
)
ordered lexicographically by (t, i). Again write ≺for this order, i.e., (t′, i′) ≺
(t, i) if t′ < t or t′ = t and i′ < i. Note that if step (t, i) is free and not a
coincidence then vt
i = wtvt−1
i
/∈R ∪{vt′
i′ : (t′, i′) ≺(t, i)}; while D(t+1,i)
wt+1
⊆{vt′
i′ : (t′, i′) ≺(t, i)}; hence step (t + 1, i) is also free. Hence if vℓ
i ∈R then there must be at least
one coincidence in the trajectory of vi. This observation is recorded as the
following lemma (cf. Lemma 3.6). hence step (t + 1, i) is also free. A.1 Queries and trajectories Hence if vℓ
i ∈R then there must be at least
one coincidence in the trajectory of vi. This observation is recorded as the
following lemma (cf. Lemma 3.6). Lemma A.2 Suppose vi
/∈{v1, . . . , vi−1} and vℓ
i
∈R. Then there is at
least one coincidence in the trajectory of vi (during the joint trajectory of
v1, . . . , vr). 12 3 202 S. Eberhard, U. Jezernik A.2 The probability of small support For g ∈Sn, define For g ∈Sn, define fix g = {v ∈ : gv = v}. In this section we show that if w is a short word then almost surely | fix w| is
small.Thefollowinglemmaissimilartotheargumentusedin[12,Lemma2.2];
the only difference is that the set R is fixed in advance. In this section we show that if w is a short word then almost surely | fix w| is
small.Thefollowinglemmaissimilartotheargumentusedin[12,Lemma2.2];
the only difference is that the set R is fixed in advance. Lemma A.3 Let G = Sn. Let R ⊆ be a subset of size r. Let w ∈Fk be a
nontrivial word of length ℓ< n/r. Then P(wR = R) ≤
ℓ2r
n −ℓr
r
. Proof Let R = {v1, . . . , vr} and consider the joint trajectory of v1, . . . , vr. By
Lemma A.2, we can have wR = R only if there is at least one coincidence in
each individual trajectory. We take a union bound over all possibilities for when
the coincidences could occur. By Lemma A.1, the conditional probability that
step (t, i) is a coincidence is bounded by Proof Let R = {v1, . . . , vr} and consider the joint trajectory of v1, . . . , vr. By
Lemma A.2, we can have wR = R only if there is at least one coincidence in
each individual trajectory. We take a union bound over all possibilities for when
the coincidences could occur. By Lemma A.1, the conditional probability that
step (t, i) is a coincidence is bounded by ℓr
n −ℓr ; indeed there are at most ℓr previous points (if t = ℓ, assuming vℓ
j ∈R for
j < i). There are ℓr possibilities for when the first coincidences might occur. Hence the claimed bound holds. indeed there are at most ℓr previous points (if t = ℓ, assuming vℓ
j ∈R for
j < i). There are ℓr possibilities for when the first coincidences might occur. Hence the claimed bound holds. Theorem A.4 There is a constant c > 0 such that the following holds for all
f ≥0. Let G = Sn, and let w ∈Fk be a nontrivial word of reduced length
ℓ< cf 1/2. Then P (| fix w| ≥f ) ≤exp
−cf/ℓ2
. Proof Let x1, . . . A.2 The probability of small support , xk be chosen independently and uniformly from G. Let
F = | fix w|. By the lemma, for any subset R ⊆ of size r (for r < n/ℓ) we
have P(R ⊆fix w) = P(wR = R) ≤
rℓ2
n −rℓ
r
. 12 123 Babai’s conjecture for random generators 203 Therefore, by a union bound, E
F
r
≤
n
r
rℓ2
n −rℓ
r
. Since x →
x
r
is increasing for x > r, for r < f/2 we have P (F ≥f ) ≤
f
r
−1
E
F
r
≤
nr
( f −f/2)r
rℓ2
n −rℓ
r
=
nrℓ2
( f/2)(n −rℓ)
r Take r ∼f/(4ℓ2). The conclusion is Take r ∼f/(4ℓ2). The conclusion is P(F ≥f ) ≤exp
−cf/ℓ2 for some constant c > 0. Remark A.5 If ℓ< c log log n, a stronger bound is proved in [35, Sect. 2]. Remark A.5 If ℓ< c log log n, a stronger bound is proved in [35, Sect. 2]. A.3 Expected values of characters A notable difference between Sn and Cln(q) is that Sn has several low-degree
characters: for example, the irreducible component of the standard represen-
tation has degree n −1. However, we can show that the expected value of
|χ(w)|/χ(1) is smaller than χ(1)−c using the Larsen–Shalev character bound
[34]. For most characters, χ(1) is exponentially large in n, so this bound is
similar in strength to Theorem 5.2. In application, low-degree characters may
have to be treated specially (as in the next section). Theorem A.6 Let G = Sn. Let w ∈Fk be a fixed nontrivial word of reduced
length ℓ. Then, for any f ≥Cℓ2, Ex1,...,xk
|χ(w)|
χ(1)
< exp
−cf/ℓ2
+ χ(1)−log(n/f )
2 log n +o(1). In particular, taking f = n1/2, for ℓ< cn1/4 we have In particular, taking f = n1/2, for ℓ< cn1/4 we have Ex1,...,xk
|χ(w)|
χ(1)
< exp(−cn1/2/ℓ2) + χ(1)−1/4+o(1). 123 3 204 S. Eberhard, U. Jezernik Proof By conditioning on whether or not | fix w| ≥f , we have Ex1,...,xk
|χ(w)|
χ(1)
≤Px1,...,xk (| fix w| ≥f ) +
max
x1,...,xk
| fix w|< f
|χ(w)|
χ(1)
. The first term is bounded by Theorem A.4. The second term is bounded by
[34, Theorem 1.3]. The following corollary follows exactly as in Sect. 5. Corollary A.7 There is a constant c > 0 such that the following holds. Let w
be the result of a simple random walk of length ℓ< cn1/4 in Fk. Then Ex1,...,xk∈G,w
|χ(w)|
χ(1)
< exp(−cn1/2/ℓ2) + χ(1)−1/4+o(1) + k−cℓ. A.4 Expansion in low-degree representations: a brief survey Let G = Sn, let x1, . . . , xk ∈G be random, where k ≥2 and bounded, and
consider the action of x1, . . . , xk on = {1, . . . , n}. The resulting Schreier
graph is one of the standard models for a random 2k-regular graph, and the
spectral properties of this graph are well studied. The earliest results on the
combinatorial expansion of bounded-degree random graphs essentially coin-
cide with the dawn of expansion, beginning with Barzdin–Kolmogorov and
Pinsker (see Gromov–Guth [17, Sect. 1.2] for some history), and such results
are equivalent to lower bounds on the spectral gap by the discrete Cheeger
inequality (due to Dodziuk and Alon–Milman): see Kowalski [31, Sect. 4.1]. Such bounds are weak, however. The strongest results on the spectral gap of
a random regular graph are based on the trace method, which is an adaptation
of Wigner’s proof of the semicircle law to the bounded-degree setting. These
results begin with Broder and Shamir [8]. Let ρ be the spectral radius of A on
C[]0. Broder and Shamir proved that Let G = Sn, let x1, . . . , xk ∈G be random, where k ≥2 and bounded, and
consider the action of x1, . . . , xk on = {1, . . . , n}. The resulting Schreier
graph is one of the standard models for a random 2k-regular graph, and the
spectral properties of this graph are well studied. The earliest results on the
combinatorial expansion of bounded-degree random graphs essentially coin-
cide with the dawn of expansion, beginning with Barzdin–Kolmogorov and
Pinsker (see Gromov–Guth [17, Sect. 1.2] for some history), and such results
are equivalent to lower bounds on the spectral gap by the discrete Cheeger
inequality (due to Dodziuk and Alon–Milman): see Kowalski [31, Sect. 4.1]. Such bounds are weak, however. The strongest results on the spectral gap of
a random regular graph are based on the trace method, which is an adaptation
of Wigner’s proof of the semicircle law to the bounded-degree setting. These
results begin with Broder and Shamir [8]. Let ρ be the spectral radius of A on
C[]0. Broder and Shamir proved that ρ ≪k−1/4. In particular, ρ is bounded away from 1 as long as k is large enough. 8 The authors state only n2(log n)c, but a careful inspection of the proof gives n2(log n)2ω(1),
for an arbitrarily slowly growing ω(1). A word v of length ω(1) is obtained such that v(x, y)O(n)
has support less than n/4. A random commutator process is then used to iteratively reduce the
support. Each step quadruples the length of the word and roughly squares the density of the
support, so the whole process multiplies the length of the word by O((log n)2). Thus a word w
of length n(log n)2ω(1) is obtained such that w(x, y) has support 3. A.4 Expansion in low-degree representations: a brief survey On the
other hand, there is a deterministic lower bound In particular, ρ is bounded away from 1 as long as k is large enough. On the
other hand, there is a deterministic lower bound ρ ≥(2k −1)1/2/k + O(1/ log2k n), usually attributed to Alon and Boppana. The conjecture, due to Alon, that
almost surely usually attributed to Alon and Boppana. The conjecture, due to Alon, that
almost surely ρ = (2k −1)1/2/k + ok(1) 123 123 12 Babai’s conjecture for random generators 205 remained open for some time, but was finally and famously settled by Fried-
man, using an ingenious elaboration of the trace method: see [16] for the proof,
andformuchmorebackground.(SeealsoBordenave[7]forasimplifiedproof.)
The trace method also generalizes well, unlike the pure “counting” proof of
expansion. Consider the action of A on C[
r
] for bounded r. This action was
studied by Friedman–Joux–Roichman–Stern–Tillich [15], who showed that
there is almost surely a uniform spectral gap. Their method is an elaboration
of the Broder–Shamir method, and was direct inspiration for the argument
of Sects. 8 and 9. We quote their result here, which will be used in the next
section: remained open for some time, but was finally and famously settled by Fried-
man, using an ingenious elaboration of the trace method: see [16] for the proof,
andformuchmorebackground.(SeealsoBordenave[7]forasimplifiedproof.) remained open for some time, but was finally and famously settled by Fried-
man, using an ingenious elaboration of the trace method: see [16] for the proof,
andformuchmorebackground.(SeealsoBordenave[7]forasimplifiedproof.) The trace method also generalizes well, unlike the pure “counting” proof of
expansion. Consider the action of A on C[
r
] for bounded r. This action was
studied by Friedman–Joux–Roichman–Stern–Tillich [15], who showed that
there is almost surely a uniform spectral gap. Their method is an elaboration
of the Broder–Shamir method, and was direct inspiration for the argument
of Sects. 8 and 9. We quote their result here, which will be used in the next
section: Theorem A.8 Let G
=
Sn, and x1, . . . , xk
∈
G random. Let ρ
=
ρ(A, C[
r
]0) be the spectral radius of A = Ax1,...,xk acting on C[
r
]0. Then, for fixed k, r, and ϵ > 0, P
ρ > (1 + ϵ)(
√
2k −1/k)1/(r+1)
= o(1). A.5 Diameter with respect to 3 random elements Let G = Sn. Let x1, . . . , xk ∈G be random, and let S = {x±1
1 , . . . , x±1
k }. Helfgott, Seress, and Zuk [26] showed that, if k ≥2, then with high probabil-
ity8 diam Cay(⟨S⟩, S) ≪n2(log n)2+o(1). We show in this section that if k ≥3 then with high probability diam Cay(⟨S⟩, S) ≪n2 log n. diam Cay(⟨S⟩, S) ≪n2 log n. While this is only a modest improvement, it is interesting for being conjec-
turally sharp for any proof which uses elements of small support as a stepping
stone: it seems unlikely that an element of small support can be obtained in
fewer than O(n log n) steps on average, and a generic element of An cannot
be written as a product of fewer than O(n) elements of small support. The argument is most closely related to the argument of Schlage-Puchta
[40], which shows that for k = 2 the diameter is bounded by O(n3 log n). 12 3 206 S. Eberhard, U. Jezernik We get a saving for k ≥3 by replacing the xyi trick with the more powerful
xw(y, z) trick. A.5.1 Alternative 1 A.5.1 Alternative 1 Write n −5 = n′ + r where 3 ∤n′ and r ∈{4, 5}. Let C ⊆Sn be the normal subset of all elements
whose cycle type is either (1, 1, 3,r, n′) or (2, 3,r, n′). Note that where 3 ∤n′ and r ∈{4, 5}. Let C ⊆Sn be the normal subset of all elements
whose cycle type is either (1, 1, 3,r, n′) or (2, 3,r, n′). Note that |C|
n! =
1
2! · 3 · r · n′ +
1
2 · 3 · r · n′ ≍1/n, while if sgn is the sign character then while if sgn is the sign character then while if sgn is the sign character then ⟨1C, sgn⟩=
(−1)r+n′
2! · 3 · r · n′ −(−1)r+n′
2 · 3 · r · n′ = 0. Let x, y, z ∈G be random. Then by Theorem 6.1 with f = 1C and Corol-
lary A.7, if E is the event that every word u ∈F2 of length at most ℓ< cn1/4
satisfies xu(y, z) /∈C and w is the result of a simple random walk of length
2ℓin F2, Px,y,z(E)
≪n2
1̸=χ∈Irr G
|⟨1C, χ⟩|2Ey,z,w
χ(w)
χ(1)
≤n2
1̸=χ∈Irr G
|⟨1C, χ⟩|2
exp(−cn1/2/ℓ2) + χ(1)−1/4+o(1) + 2−cℓ
. Fixing ℓ= ⌊C log n⌋for a sufficiently large constant C, we have, for suffi-
ciently large n, P(E) ≪n2
1̸=χ∈Irr G
|⟨1C, χ⟩|2
χ(1)−1/5 + n−100
. (18) (18) Let X be the set of characters χ ∈Irr G such that χ(1) < n1000. The part
of the sum (18) with χ /∈X is bounded by n2
χ /∈X
|⟨1C, χ⟩|2n−100 ≪n−98
χ∈Irr G
|⟨1C, χ⟩|2 ≍n−99. 123 207 Babai’s conjecture for random generators Now consider some χ ∈X. Let π ∈C. It follows from the Murnaghan–
Nakayama rule (splitting off an n′-cycle) that |χ(π)| = O(1). Hence |⟨1C, χ⟩| ≪|C|
|G| ≍n−1. It follows from the hook length formula that |X| = O(1). Hence, since
⟨1C, sgn⟩= 0, It follows from the hook length formula that |X| = O(1). Hence, since
⟨1C, sgn⟩= 0, n2
1̸=χ∈X
|⟨1C, χ⟩|2(χ(1)−1/5 + n−100) ≪n−1/5 (the main term coming from the characters of degree n−1). Hence, from (18) (the main term coming from the characters of degree n−1). Hence, from (18), P(E) ≪n−1/5. A.5.1 Alternative 1 We conclude that with high probability there is a word w ∈F3 of length
O(log n) such that w(x, y, z) ∈C. Hence there is a word w′ = w2rn′ of
length O(n log n) such that w′(x, y, z) is a 3-cycle. With high probability the
conjugation action of x, y, z on the set of 3-cycles has a uniform spectral gap
(by Theorem A.8), so it follows that every 3-cycle is a word in x, y, z of length
O(n log n). Thus every element of An is a word in x, y, z of length O(n2 log n). A.5.2 Alternative 2 By Theorem A.8 (and inspecting the proof), the conjugation action of
x, y, z on the set of 101-cycles has spectral gap at least δ with probability at
least there is a word w ∈F3 of length O(log n) such that w(x, y, z) ∈C. Hence
there is a word w′ = wr!n′ of length O(n log n) such that w′(x, y, z) is a 101-
cycle. By Theorem A.8 (and inspecting the proof), the conjugation action of
x, y, z on the set of 101-cycles has spectral gap at least δ with probability at
least 1 −O(n−1+O(δ)+o(1)). Taking δ = 1/ log n (say), it follows that every 101-cycle is a word in x, y, z
of length O(n log n), and hence the diameter of Cay(⟨S⟩, S) is O(n2 log n),
with probability 1 −n−1+o(1). References 1. Alon, N., Roichman, Y.: Random Cayley graphs and expanders. Random Struct. Algorithms
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bound on the diameter of the symmetric group. In: Proceedings of the Sixteenth Annual
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7 B
d
C
A
f f F i d
’
d i
l
Th
d i
i y p
g
, pp
,
(
)
7. Bordenave, C.: A new proof of Friedman’s second eigenvalue Theorem and its extension
to random lifts. Ann. Sci. de l’Ecole normale supérieure (2019) y p
g
pp
7. Bordenave, C.: A new proof of Friedman’s second eigenvalue Theorem and its extensio
to random lifts. Ann. Sci. de l’Ecole normale supérieure (2019) 8. Broder, A., Shamir, E.: On the second eigenvalue of random regular graphs. A.5.2 Alternative 2 A.5.2 Alternative 2 The crude bound n−1/5 for the probability can be improved as follows. Write n −101 = n′ + r where 101 ∤n′ and r ∈{99, 100}. Let C ⊆Sn be the normal subset of all
elements having both a 101-cycle and an n′-cycle (the remaining part is an
arbitrary element of Sr). Assuming n′ > 101, where 101 ∤n′ and r ∈{99, 100}. Let C ⊆Sn be the normal subset of all
elements having both a 101-cycle and an n′-cycle (the remaining part is an
arbitrary element of Sr). Assuming n′ > 101, |C|
n! =
1
101n′ ≍1/n, and as before we have ⟨1C, sgn⟩= 0. In fact, ⟨1C, χ⟩= 0 for all low-degree
χ. and as before we have ⟨1C, sgn⟩= 0. In fact, ⟨1C, χ⟩= 0 for all low-degree
χ. Lemma A.9 If 1 ̸= χ ∈Irr G and ⟨1C, χ⟩̸= 0, then χ(1) ≫n98. Proof. It is well-known that characters of Sn are parameterized by partitions
λ ⊢n. Let χ = χλ be a character such that ⟨1C, χ⟩̸= 0. By the Murnaghan–
Nakayama rule, it must be the case that λ can be obtained by starting from (r) Proof. It is well-known that characters of Sn are parameterized by partitions
λ ⊢n. Let χ = χλ be a character such that ⟨1C, χ⟩̸= 0. By the Murnaghan–
Nakayama rule, it must be the case that λ can be obtained by starting from (r) 12 3 208 S. Eberhard, U. Jezernik and adding a 101-rim-hook and an n′-rim-hook. Hence if χ is nontrivial and
n is sufficiently large then λ1 ≤n −100 and λ′
1 ≤n −98. From the hook
length formula it follows that, for sufficiently large n, and adding a 101-rim-hook and an n′-rim-hook. Hence if χ is nontrivial and
n is sufficiently large then λ1 ≤n −100 and λ′
1 ≤n −98. From the hook
length formula it follows that, for sufficiently large n, χ(1) ≥χ(99,1n−99)(1) =
n! n 98! (n −99)! ≍n98. It follows as before that, with probability at least 1 −O(n−98/5), there is a word w ∈F3 of length O(log n) such that w(x, y, z) ∈C. Hence
there is a word w′ = wr!n′ of length O(n log n) such that w′(x, y, z) is a 101-
cycle. References In: 28th Annual
Symposium on Foundations of Computer Science (sfcs 1987), pp. 286–294 (1987) 9. Babai, L., Seress, Á.: On the diameter of permutation groups. Eur. J. Combin. 13(4), 231–
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Leipzig B.G (1901) 12. Eberhard, S.: The trivial lower bound for the girth of Sn. arXiv e-prints, arXiv:1706.0997
(2017) 13. Eberhard, S., Virchow, S.-C.: The probability of generating the symmetric group. Comb
natorica 39(2), 273–288 (2019) 14. Eberhard, S., Virchow, S.-C.: Random generation of the special linear group. Trans. Am. Math. Soc., to appear (2020) 15. Friedman, J., Joux, A., Roichman, Y., Stern, J., Tillich, J.-P.: The action of a few per-
mutations on r-tuples is quickly transitive. Random Struct. Algorithms 12(4), 335–350
(1998) 16. Friedman, J.: A proof of Alon’s second eigenvalue conjecture and related problems. Mem. Am. Math. Soc., 195(910):viii+100 (2008) 17. Gromov, M., Guth, L.: Generalizations of the Kolmogorov–Barzdin embedding estimates. Duke Math. J. 161(13), 2549–2603 (2012) 18. Guralnick, R.M., Larsen, M., Tiep, P.H.: Character levels and character bounds. II. arXiv
e-prints, arXiv:1904.08070 (2019) 19. Guralnick, R.M., Larsen, M., Tiep, P.H.: Character levels and character bounds. Forum
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30. Kantor, W.M., Lubotzky, A.: The probability of generating a finite classical group. Geom. Dedicata. 36(1), 67–87 (1990) 30. Kantor, W.M., Lubotzky, A.: The probability of generating a finite classical group. Geom
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Alginate-pectin microparticles loaded with nanoemulsions as nanocomposites for wound healing
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Drug delivery and translational research
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| ERROR: type should be string, got "https://doi.org/10.1007/s13346-022-01257-9\nDrug Delivery and Translational Research (2023) 13:1343–1357 https://doi.org/10.1007/s13346-022-01257-9\nDrug Delivery and Translational Research (2023) 13:1343–1357 ORIGINAL ARTICLE ORIGINAL ARTICLE Abstract This work combines natural polymers with nanoemulsions (NEs) to formulate nanocomposites as an innovative wound dress-\ning. Spray-drying has been used to produce alginate-pectin in situ gelling powders as carriers for NEs loaded with curcumin \n(CCM), a model antimicrobial drug. The influence of NEs encapsulation in polymer-based microparticles was studied in \nterms of particle size distribution, morphology, and stability after spray-drying. NEs loading did not affect the size of micro-\nparticles which was around 3.5 µm, while the shape and surface morphology analyzed using scanning electron microscope \n(SEM) changed from irregular to spherical. Nanocomposites as dried powders were able to form a gel in less than 5 min \nwhen in contact with simulated wound fluid (SWF), while the value of moisture transmission of the in situ formed hydrogels \nallowed to promote good wound transpiration. Moreover, rheologic analyses showed that in situ formed gels loaded with NEs \nappeared more elastic than blank formulations. The in situ formed gel allowed the prolonged release of CCM-loaded NEs in \nthe wound bed, reaching 100% in 24 h. Finally, powders cytocompatibility was confirmed by incubation with keratinocyte \ncells (HaCaT), proving that such nanocomposites can be considered a potential candidate for wound dressings. Keywords Nanocomposite · Nanoemulsion · Alginate · Pectin · In situ gelling powder · Wound healing Chiara Amante1 · Valentina Andretto2 · Annalisa Rosso2 · Geraldine Augusti2 · Stefania Marzocco1 · Giovanna Lollo2 · \nPasquale Del Gaudio1 Accepted: 1 November 2022 \n© The Author(s) 2022\n/ Published online: 13 December 2022 Introduction Oleoyl polyoxyl-6 glycerides (Labrafil®M1944CS) was \nsupplied by Gattefossé (Saint-Priest, France). Sodium alginate \nKelton LVCR from brown algae (1% viscosity 35 mPa s; man-\nnuronic/guluronic ratio 70/30) was kindly donated by Dompè \nS.p.A (L'Aquila, Italy). Pectin Amid CF 025 D (amidated low \nmethoxyl grade, degree of esterification 23–28%, degree of ami-\ndation 22–25%, molecular weight 120 kDa) was kindly offered \nby Herbstreith & Fox (Werder/Havel, Germany). Sodium chlo-\nride (NaCl) and phosphate buffered saline (PBS) tablets (pH 7.4) \nwere acquired from VWR International (Fontenay-sous-Bois, \nFrance). Mycological peptone was purchased from Oxoid Ltd, \nBasingstoke, Hants, UK) and fetal bovine serum (FBS), quali-\nfied, heat inactivated from Gibco (Thermo Fischer Scientific, Bra-\nzil). Penicillin (10,000 U/mL) and 10 mg/mL streptomycin and \nDulbecco’s Modified Eagle’s Medium (DMEM) were acquired \nfrom Euroclone (Euroclone, Milan, Italy). 3-(4,5-dimethylthiazol-\n2-yl)-2,5-diphenyltetrazolium (MTT) and DMSO were bought \nfrom Sigma (Sigma Aldrich, Milan, Italy). Dichloromethane, \nmethanol, ethanol, acetonitrile (HPLC grade), formic acid, and \nsodium taurocholate hydrate 96% were purchased from Thermo \nFisher Scientific (Illkirch, France). Milli-Q® water was obtained \nusing a Milli-Q® Academic System from Merck-Millipore (Saint-\nQuentin-en-Yvelines, France). such as polymeric scaffold is necessary [13]. Hydrogel-based \nnanocomposites are one of the most promising agents for \nwound healing thanks to their ability to favor skin adhesion \nmaintaining a moist and cool environment [14]. Therefore, this work focused on the design of nanocompos-\nites for direct wound application to deliver lipophilic drugs. To \nthis aim alginate-pectin in situ gelling powders were embedded \nwith curcumin-loaded NEs. In a previous work, we demonstrated \nthat alginate with high mannuronic content and amidated pectin \nwith a low degree of methylation were forming powders able to \nquickly gelify when in contact with wound fluids [15]. Sodium \nalginate with a high mannuronic content (over 65%) has been \nselected for its ability to form a soft and flexible hydrophilic gel \nthrough Ca/Na ionic exchange when in contact with the wound \nexudates and because it induces cytokine production by human \nmonocytes, useful in the wound healing process [16]. To enhance \nthe in situ gel-forming rate, low methoxyl grade pectin that geli-\nfies ionotropically when in contact with bivalent cations present \nin the exudate has been associated with sodium alginate [17]. g\n[\n]\nAs a model drug for wound healing purposes, curcumin \n(CCM), 1,7-bis-(4-hydroxy-3-methoxyphenyl)-1,6-heptadiene-\n2,5-dione, has been selected as a model hydrophobic drug. Introduction controlled release at the wound site [2–4]. The combination \nof different materials into a single formulation can enhance \nthe specific properties of the single components leading to \nunique physicochemical and biological characteristics that \nthe separate systems cannot achieve individually [5].f The recent advancements in nanotechnology have provided \nsuitable strategies to overcome most of the inconveniences \nassociated with conventional dressings, such as bacterial \ninfections, while offering cell-type specificity [1]. In par-\nticular, nanosystems have been combined with macro- and \nmicrostructures to develop nanocomposites aimed at increas-\ning the stability of the encapsulated drug and promoting Different studies have reported the preparation of nano-\ncomposites loaded with antibiotics (gentamicin and rifa-\nmycin), anti-inflammatory agents, or other biomolecules, \nto increase drug residence time in the wound sites, thus \nenhancing their activity [6, 7]. Also, composites containing \ngelatin, hyaluronic acid, and chondroitin sulfate associated \nwith asiatic acid, ZnO, and CuO nanoparticles have been \ndescribed as effective wound dressing scaffolds for second-\ndegree burn wounds [8]. Giovanna Lollo and Pasquale Del Gaudio contributed equally to this \nwork. *\t Giovanna Lollo \n\t\ngiovanna.lollo@univ-lyon1.fr\n *\t Pasquale Del Gaudio \n\t\npdelgaudio@unisa.it\n1\t\nDepartment of Pharmacy, University of Salerno, Via \nGiovanni Paolo II, 132, 84084 Fisciano, SA, Italy\n2\t\nUniversity of Lyon, Université Claude Bernard Lyon 1, \nCNRS, LAGEPP UMR 5007, 43 Bd 11 Novembre 1918, \n69622 Villeurbanne, France Giovanna Lollo and Pasquale Del Gaudio contributed equally to this \nwork. *\t Giovanna Lollo \n\t\ngiovanna.lollo@univ-lyon1.fr\n *\t Pasquale Del Gaudio \n\t\npdelgaudio@unisa.it\n1\t\nDepartment of Pharmacy, University of Salerno, Via \nGiovanni Paolo II, 132, 84084 Fisciano, SA, Italy\n2\t\nUniversity of Lyon, Université Claude Bernard Lyon 1, \nCNRS, LAGEPP UMR 5007, 43 Bd 11 Novembre 1918, \n69622 Villeurbanne, France Giovanna Lollo and Pasquale Del Gaudio contributed equally to this \nwork. Giovanna Lollo and Pasquale Del Gaudio contributed equally to this \nwork. Along with nanocomposites, nanoemulsions (NEs) com-\nposed of an oily core stabilized by a surfactant shell [4, 9] have \nbeen described for wound healing applications [10]. NEs incor-\nporating poorly water-soluble drugs in the oil droplet phase can \nbe used to deliver lipophilic compounds to the superficial stra-\ntum corneum after topical application [11, 12]. However, since \nthe viscosity of these systems is not high enough for a direct \nskin application, their encapsulation in a secondary structure (0121 3456789)\n3 Drug Delivery and Translational Research (2023) 13:1343–1357 1344 Polyoxyethylene (40) stearate (Myrj®52) and curcumin (CCM) \nwere acquired from Sigma-Aldrich (St. Quentin-Fallavier, \nFrance). Introduction CCM \nis a yellow phenolic pigment obtained from the rhizomes of tur-\nmeric (Curcuma longa), a tropical plant native to Southern Asia \n[18]. CCM, interfering with the inflammatory, proliferative, \nand remodeling phases and preventing oxidative damage, plays \na great role in the treatment of wounds [19]. Moreover, recent \nstudies showed that CCM possesses antibacterial activity against \na broad range of microorganisms, including common bacteria \nthat are detected in wounds: Staphylococcus aureus, Escheri-\nchia coli, and Pseudomonas aeruginosa [20]. Its bacteriostatic \nactivity is linked to the interference with cellular processes by \ntargeting DNA and proteins, cell wall and membrane damages, \nand inhibition of bacterial quorum sensing [21]. Here, nano-\ncomposites were produced by mini spray-drying, and the influ-\nence of the addition of CCM-loaded NEs to the alginate-pectin \npowders was studied. Morphological analysis and particle size \ndistribution, thermal behavior, fluid uptake ability, water vapor \ntransmission rate, and viscoelastic properties of the powders \nwere assessed. In vitro studies on the spontaneously immortal-\nized human keratinocytes and cell line derived from adult skin \n(HaCat) have been performed to study the biocompatibility of \nselected powders. Preparation of curcumin‑loaded nanoemulsions Nanoemulsions (NEs) were prepared by emulsion phase \ninversion technique coupled with high stirring energy input \nas previously described [4]. Briefly, NEs composed of an oil \ncore of medium chain triglycerides (MCT) were stabilized \nby a shell of surfactants, made of a mixture of polyoxyeth-\nylene (40) stearate (Myrj®52) and oleoyl polyoxyl-6 glyc-\nerides (Labrafil®M1944CS), hydrophilic and hydrophobic \nsurfactants, respectively. To prepare the oil phase, the MCT \noil core and surfactants were homogenized under magnetic \nstirring (750 rpm) using a thermostated bath at 80 °C. Then, \nthe aqueous phase (PBS 5 mM pH 7.4), heated up to 80 °C, \nwas added into the organic melt phase. The process of high \nstirring was then performed in two cycles of 10 min using a \nrotor–stator disperser (T25 digital Ultra-Turrax® equipped \nwith an S25N10G shaft, IKA®-Werke GmbH & Co. KG, \nStaufen, Germany) rotating at 11,000 rpm at 80 °C. The \nresulting colloidal system was cooled to room temperature \nunder magnetic stirring for 30 min. CCM was added to the \noil phase during NEs preparation. Nanoemulsions were pre-\npared with a lipid concentration in the final phase of 142.86 \nw/v with 1.33% (w/w) of curcumin. Materials Medium-chain triglycerides, MCT (Miglyol®812), was purchased \nfrom Cremer Oleo GmbH & Co. KG (Hamburg, Germany). All studies and measurements presented in this work were \nperformed in triplicate. 1 3 1345 Drug Delivery and Translational Research (2023) 13:1343–1357 Static light scattering Particle size distribution and mean diameter of powders pro-\nduced by spray-drying were evaluated by Static Light Scatter-\ning Coulter LS 13,320 (Beckman Coulter, Inc., Fullerton, CA, \nUSA). About 6 mg of AP-11, AP-11-NE0.1, and AP-11-NE0.2 \nwas diluted in 6 mL of dichloromethane (DCM) and soni-\ncated three times for 10 min. After sonication, some drops of \neach formulation were placed in DCM under constant stirring, \nusing the micro liquid module making the average of three \nmeasurements for the sample. Results, calculated by instru-\nment software using the Fraunhofer model, were expressed as \nmean diameter, and to evaluate the width of particle distribu-\ntion span, Eq. 1 was used: (1)\nSpan value = d90 −d10\nd50 (1) The spray-dried powders were recovered and kept in \nclosed vials to avoid moisture absorption. The process yield \nwas calculated as the ratio between the amount of powders \nobtained and the total amount of processed material. where d10, d50, and d90 indicate the volume diameters at \n10th, 50th, and 90th percentiles, respectively. All powders were produced in triplicate. All powders were produced in triplicate. Size distribution and surface potential \nof nanoemulsions and nanocomposites Powder fluid uptake studies were conducted to evaluate the \nbehavior of the powders when in contact with simulated wound \nfluid (SWF) containing 50% of FBS and 50% diluent com-\nposed of 0.1% (w/v) peptone, a peptic digest of animal tissue, \nand 0.9% (w/v) sodium chloride [22]. For fluid uptake ability \nstudies conducted on dry powders, a Franz-type diffusion cell \nwas used in an open configuration, without the donor chamber, \nwith a total volume of 5 mL and a permeation area of 0.6 cm2. The size distribution and surface potential of the NEs were \nstudied using the Malvern Zetasizer® Nano ZS instrument \n(Malvern Instruments S.A., Worcestershire, UK). Particle \nsize and polydispersity index (PDI) were determined by \ndynamic light scattering (DLS) diluting all samples with \nMilli-Q water to ensure the correct calculation of size distri-\nbution. Analyses were carried out at 25 °C with an angle of \ndetection of 173°. The ζ–potential was calculated from the \nmean electrophoretic mobility measured for samples diluted \nin NaCl 1 mM. Measurements were performed in triplicate. The stability of NEs was followed for 28 days upon storage \nat 4 °C, measuring, at regular time points, particle size, PDI, \nand ζ–potential. p\nAbout 8 mg of dried powder weighed on a microbalance \n(MTS Mettler Toledo, USA) was spread over a previously \nweighed HVLP nitrocellulose membrane (0.45 µm, Merck \nMillipore, Darmstadt, Germany). The membrane was in con-\ntact with a Franz cell (Hanson Research, USA), filled with \nSWF thermostated at 37 °C under stirring (200 rpm). At \nscheduled time intervals, the membrane with the sample was \nweighted, to establish the amount of fluid absorbed by the dry \npowder, and the Franz cell was refilled to maintain constant \nthe volume of fluid during the entire experiment. Fluid uptake \nwas calculated as the ratio between the weight of the gel and \nthe weight of the dried powder producing the gel, using the \nfollowing equation [23]: Preparation of alginate‑pectin powders \nand nanocomposites powders 250 FEG microscope with 10-kV accelerating voltage. Before \nmicroscopy, the powders were deposited on a flat steel holder \nand coated under a vacuum by cathodic sputtering with copper \n(10-nm layer). To produce alginate-pectin (AP-11) powders and nanocom-\nposites made of alginate-pectin with CCM-loaded NEs (AP- \n11-NE), mini spray-dryer (Mini Spray Dryer Büchi B 290, \nBüchi, Rungis, France) was used. AP solution was pre-\npared by dissolving both polymers in Milli-Q under vig-\norous stirring for 1 h (500 rpm). The total concentration \nof polymers was set at 1% (w/v), and an alginate-pectin \nmass ratio of 1:1 was used. For the preparation of nano-\ncomposites, AP-11-NE0.1, and AP-11-NE0.2, two different \nconcentrations of NEs were added, to obtain a final concen-\ntration of 0.1% and 0.2% w/w, to the AP solution under a \nslight stirring (250 rpm) for 15 min before the spray-drying \nprocess. All formulations were processed with optimized \nparameters: aspirator 100%, drying airflow 560–580 L/h, \nair pressure 6 atmospheres, feed rate 3 mL/min, 120 °C \ninlet temperature, 65–68 °C outlet temperature, and nozzle \ndiameter 0.7 mm. Rheological measurements Tetrafluoroethylene was then used to cover the edge of \nthe hydrogel disks to avoid boundary loss [24]. This system \nwas kept in an incubator at 37 ± 0.5 °C with a humidity of \n32 ± 0.2%. At defined time points, weight loss was noted and \nplotted against time. The rheological properties of in situ gelled powders were \nevaluated through a MCR 302 rheometer (Anton Paar, Les \nUlis, France) fitted with a 25 mm plate-plate geometry \n(PP25 with a diameter of 24.985 mm). Each powder was \ntreated with 1 mL of SWF to form a gel in around 2 min. The \ndistance between the plates was set at 0.5 mm, and the sys-\ntem was heated at 37 °C. Amplitude sweep tests were per-\nformed setting strain amplitude in the range of 0.01–200% \nand angular frequency at ω = 10 rad/s. WVTR was calculated as the ratio between the slope of the \nplot and the area of the disk normalized respect the amount \nof AP when in contact with SWF, by the following formula: (3)\nWVTR = Slope\nA (3) Curcumin‑loaded nanoemulsions: drug loading \nand encapsulation efficiency where A is the area of the sample in m2. Water evaporation rate from in situ formed hydrogel was \nobtained as loss of weight over time by using the same pro-\ncedure described above. After regular intervals, the weight \nwas noted. The weight remaining was calculated by the fol-\nlowing equation: The amount of CCM loaded in the NEs was quantified by \nUHPLC (ultrahigh-performance liquid chromatography) \nequipped with a PDA detector using the method reported in \nthe literature [25, 26]. Pure CCM for the calibration curve \nand NEs were dissolved in methanol/acetonitrile (50:50). AP-\n11-NE powders were solubilized in methanol/acetonitrile and \nmaintained under a stirring for 2 h to allow the complete \ndissolution of CCM from formulations. All the samples were \nvortexed for 5 min and filtered using a nylon filter of 0.22 μm \n(Whatman GmbH, Dassel, Germany) before injection in the \nUHPLC system. The UHPLC apparatus consisted of UHPLC \nWaters Acquity Arc Quaternary Solvent Manager-R and \nWaters Acquity Arc Sample Manager FTN-R, equipped \nwith Waters Acquity UHPLC 2998 PDA Detector. CCM \nwas detected using an RPC18 column (Kinetex 5 μm C18 \n100 Å, 150 × 4.6 mm, Phenomenex, Torrance, CA, USA), set \nat 30 °C, using acetonitrile and deionized water 0.1% formic \nacid (50:50) as mobile phase at a flow rate of 1 mL/min. The injection volume was 10 μL, the detection wavelength \nwas 423 nm, and the total run time was 7 min. The chroma-\ntogram of CCM exhibited a characteristic peak at 4.7 min. The UHPLC calibration curve was linear (R2 = 0.999) in the \nconcentration range of 0.04–40 μg/mL. The method was vali-\ndated according to ICH Q2(R1) guidelines. Detection and \nquantification limits (LOD and LOQ) were 0.00120 μg/mL \nand 0.0425 μg/mL, respectively. (4)\nWeight increase = Wt\nW0 × 100 (4) Morphological analysis The morphology of the nanocomposites was analyzed through \nscanning electron microscopy (SEM) at the “Centre Tech-\nnologique des Microstructures” (CTμ) facility of the Univer-\nsity of Lyon. SEM images were obtained with a FEI Quanta (2)\nFluid uptake (%) = Ww\nWd × 100 (2) 1 3 3 Drug Delivery and Translational Research (2023) 13:1343–1357 1346 Differential scanning calorimetry where Ww is the weight of the wet formulation and Wd is the \nweight of the dry formulation. All analyses were performed \nat least in triplicate. Differential Scanning Calorimetry (DSC) Q200® instru-\nment by TA Instruments (New Castle, DE, USA) was used \nto determine the thermal characteristics of powders. About \n5–6 mg of each sample was placed in an aluminum pan (40 \nµL) perforated. Samples were subjected to both heating \nand cooling cycles in a range from + 20 °C to + 180 °C and \nfrom + 180 °C to − 80 °C, respectively. All DSC analyses \nwere performed setting the flow rate at 10 ℃/min and the \nnitrogen atmosphere at 50 mL/min. Water evaporation from hydrogel 5–6 mg of each sample was placed in an aluminum pan (40 \nµL) perforated. Samples were subjected to both heating \nand cooling cycles in a range from + 20 °C to + 180 °C and \nfrom + 180 °C to − 80 °C, respectively. All DSC analyses \nwere performed setting the flow rate at 10 ℃/min and the \nnitrogen atmosphere at 50 mL/min. Water vapor transmission rate (WVTR) to determine the \nmoisture permeability of the wound dressing was performed \nas described by ASTM standard (ASTM Standard, 2010). Briefly, a 25-mm hydrogel disk, formed from each powder \naccurately weight and normalized respect the amount of AP \nwhen in contact with SWF, was mounted on the top of a \nplastic tube containing 20 mL of distilled water.l In vitro test Preliminary analyses conducted on NEs aimed at maxi-\nmizing drug loading while maintaining the nanometric \nsize (around 100 nm) and stability led to the formulation of \nnanosystems with a lipid concentration in the final phase of \n142.86 w/v loaded with 1.33% (w/w) of CCM. Due to the \nlipophilic character of CCM, the drug encapsulation effi-\nciency was very high (96.46 ± 5.66%), and the drug loading \nwas 1.29 ± 0.10%. Nanoemulsions formulation, physicochemical \ncharacterization, and stability NEs loaded with CCM were prepared by emulsion phase \ninversion technique coupled with a high stirring energy pro-\ncess, as previously described [29]. CCM was chosen as a \nhydrophobic model drug for its ability to enhance the wound \nhealing process [30, 31]. MTT test The effect of the powders on the vitality of HaCaT cells was \nevaluated using a colorimetric assay with 3-(4,5-dimethylthiazol-\n2-yl)-2,5-diphenyltetrazolium bromide (MTT), as previously \nreported [28]. Briefly, HaCaT cells (5 × 103 cells/well) were plated \non 96-well plates and allowed to adhere for 24 h at 37 °C. After \nthat, the medium was substituted with either fresh medium alone \nor one containing serial dilutions of powders (25, 50, 100 μg/\nmL) and incubated for 24, 48, and 72 h. 6-Mercaptopurine was \nused as a positive control. Then, 25 µL of MTT (5 mg/mL) was \nadded, and the cells were incubated for further 3 h. Cells were \nthen lysed, and the dark blue crystals were solubilized with 100 \nµL of a solution containing 50% (v/v) N,N-dimethylformamide, \n20% (w/v) SDS with an adjusted pH of 4.5. The absorbance of \nthe resulting solution in each well was recorded at 570 nm using \nan automated microplate reader (Titertek Multiskan MCC/340-\nDASIT, Cornaredo, Milan, Italy). Each sample was measured at \nleast in triplicate, in three different experiments. The antiprolifera-\ntive activity was calculated as % viability: 100 – [(OD treated/OD \ncontrol) × 100], where OD is the optical density. In vitro release studies of nanoemulsions from AP‑11‑NE \nnanocomposites Data are reported as mean ± standard deviation (SD) of \nat least three independent experiments, each in triplicate. Analysis of variance and Bonferroniʼs test were used for data \nanalysis to perform multiple comparisons, using GraphPad \nPrism 8 (GraphPad Software). A P value less than 0.05 was \nconsidered significant. The in vitro release of NEs from AP-11-NE nanocompos-\nites was evaluated in SWF by cumulative study, in non-sink \nconditions, analyzing the CCM-loaded NEs by UHPLC as \npreviously described. 2.5 mL of SWF were added on top of \nthe AP-11-NE0.1 and AP-11-NE0.2 placed in a glass vial of \n3 mL. 60 mg of powders of each sample were used. Vials were \nkept under a slight stirring at 37 °C. At predetermined time \npoints, 200 μL were removed and replaced with fresh fluid. Samples were dissolved in 600 μL of methanol/acetonitrile \n(50:50) vortexed for 5 min and centrifugated for 2 min at 1200 \nRCF to remove the polymers. In the supernatants, 10 µg/mL \nof CCM as an internal standard was added to allow cor-\nrect detection of the drug. The analyses were performed in \ntriplicate. Solubility of curcumin A saturated solution of CCM was prepared in SWF under \nstirring (750 rpm) at room temperature and left overnight \nto reach equilibrium. Then, the sample was centrifuged \ntwo times at 1200 RCF for 10 min, and the supernatant was \ncollected and filtrated with a 0.22-μm nylon syringe filter \n(Whatman GmbH, Dassel, Germany). 200 μL of supernatant \nwere mixed with 600 μL of methanol/acetonitrile (50:50), \nand the sample was injected into the UHPLC system for \nCCM detection. Residual water content Water content contained in the powders was determined by \nThermo Gravimetric Analysis (TGA) on NETZSCH TG \n209F1 (NETZSCH-Gerätebau, Germany) using NETZSCH Water content contained in the powders was determined by \nThermo Gravimetric Analysis (TGA) on NETZSCH TG \n209F1 (NETZSCH-Gerätebau, Germany) using NETZSCH \nProteus 6.1 software to analyze the data. About 5 mg of the \npowder was placed in ceramic crucibles and heated from 20 \n°C to 1000 °C at a heating rate of 10 °C/min, under a nitrogen \natmosphere with a nominal gas flow rate of 30 mL/min. Proteus 6.1 software to analyze the data. About 5 mg of the \npowder was placed in ceramic crucibles and heated from 20 \n°C to 1000 °C at a heating rate of 10 °C/min, under a nitrogen \natmosphere with a nominal gas flow rate of 30 mL/min. In addition, the water content of the particles was quanti-\nfied by Karl-Fischer titration using an 889 KF Coulometer \n(Metrohm Ltd., Herisau, Switzerland) equipped with an \noven (860 KF Thermoprep). A solution of HYDRANAL \n(HYDRANAL™, Coulomat AG) was used as a titrant. The \nairflow rate was set at 100 mL/min and the oven temperature \nat 120 °C. The extraction time was set at 500 s, and the drift \ntime was 10 µg/min. Each powder was tested in triplicate. 3 1347 Drug Delivery and Translational Research (2023) 13:1343–1357 MTT test The loading of CCM in NEs was calculated as the ratio \nbetween the CCM detected and the total weight of NEs, \nwhile the loading of NEs in AP powders was calculated \nthrough the quantization of CCM as the ratio between the \nCCM detected and the total weight of the powder. Encapsu-\nlation efficiency (E.E.) was calculated as the ratio of CCM \ndetected to the amount of CCM initially loaded in the NE. The analyses were performed in triplicate. Cell culture conditions Immortal keratinocyte (HaCaT) cell line derived from nor-\nmal adult human skin was purchased from CLS Cell Lines \nService GmbH (Eppelheim, Germany, accession number \n300493) [27]. The cells were cultured with Dulbecco’s Mod-\nified Eagle’s Medium (DMEM) containing 10% (v/v) fetal \nbovine serum (FBS) and 1% (v/v) penicillin–streptomycin, \nat 37 °C in a humidified atmosphere of 5% CO2/ 95% air. The stability of NEs stored at 4 °C was followed over 28 days. Macroscopic aspects (presence of aggregates, cream formation, 1 3 Drug Delivery and Translational Research (2023) 13:1343–1357 1348 Fig. 1 Stability study of NEs stored at 4 °C for 28 days. Data are shown \nas mean ± S.D., n = 3; ***, **, and * denote P < 0.001, P < 0.01, and \nP < 0.05, respectively, formulations vs control total polymers concentration was fixed at 1% (w/v), two dif-\nferent concentrations of NEs were added to obtain a final \nconcentration in nanocomposites of 0.1% and 0.2% w/w. The main characteristics of nanocomposites were reported \nin Table 1. Both nanocomposites AP-11-NE0.1 and AP-\n11-NE0.2 were characterized by relatively high process \nyield without difference to microparticles AP-11. However, \nthe increase of the NEs concentration determined a reduc-\ntion of E.E., ranging from 57% for AP-11-NE0.1 to 50% for \nAP-11-NE0. 2. The stability of the NEs after spray-drying was assessed \nby monitoring their physicochemical features after encapsu-\nlation in AP microparticles. After solubilization of micro-\nparticles in water, the complete dispersion led to the libera-\ntion of nanoencapsulated material with an increase in NEs \ndiameter in NE0.1 and NE0.2 (viz., 0.1% and 0.2% nanoe-\nmulsions loaded in AP particles) from 103 to 205 nm and \n238 nm, respectively. As shown in Table 2, PDI also showed \nan increase from 0.2 to 0.3 or to 0.4, respectively. Moreover, \nthe ζ-potential of the NEs-loaded AP microparticles moved \nfrom a slightly negative value to a highly negative value \n(from − 15 to − 21 or − 29 mV). On the contrary, ζ-potential \nfor AP-11-NE0.1 and AP-11-NE0.2 remains unchanged \ncompared to AP blank particles. These results suggest a \nphysical interaction between polymers and NEs. Fig. 1 Stability study of NEs stored at 4 °C for 28 days. Cell culture conditions Data are shown \nas mean ± S.D., n = 3; ***, **, and * denote P < 0.001, P < 0.01, and \nP < 0.05, respectively, formulations vs control The water content of the spray-dried powders (Table 2), \nevaluated by Karl Fisher titration, showed that the addition \nof NEs to AP-11 polymers led to a reduction in the amount of \nwater entrapped during the spray-drying process, probably \ndue to the added hydrophobic character. or color changes), physicochemical properties (particle size, \npolydispersity, and zeta potential), and drug leakage were evalu-\nated. No sample degradation or changing of color was observed, \nand mean size, PDI, and surface potential remained stable during \nthe studied period (Fig. 1). In addition, the amount of encapsu-\nlated CCM remained unchanged at the storage condition of 4 °C \nas confirmed by UHPLC analysis. Morphology, as well as the dimensional distribution of \nmicroparticles, was affected by NEs content. AP-11 presented \na morphology “deflated balloons” (Fig. 2a, d) which, in the \nnanocomposites, has been moved to spherical shapes with \npores and small cracks due to the presence of NEs on the \nsurface of the microparticles (Fig. 2b, c, e, f). Moreover, dimensional distribution analyses performed \nby static laser scattering revealed that all the microparticles \npresent a single peak particle size distribution with span \nvalues less than 2, with a mean diameter of about 3.5 μm, in \naccordance with SEM analyses. Production and physicochemical characterization \nof nanocomposites Once assessed the stability and encapsulation efficiency of \nCCM in NEs, an original nanocomposite composed of an \nalginate-pectin blend with NEs was produced using spray-\ndrying. Based on previous work [15], alginate-pectin (AP) \npowder in a ratio 1:1 was chosen as a carrier (AP-11). While The thermal properties of the materials were analyzed \nusing both TGA and DSC. Figure 3 shows the TGA profiles \nof alginate and pectin polymers in comparison with those \nof the different microparticles. The degradation profile of Table 1 Main properties of \nalginate-pectin microparticles \nand nanocomposites\nSample\nPolymer concentration \n% (w/w)\nNE % (w/w)\nProcess \nyield (%)\nDrug content \n(%) ± SD\nE.E. (%) ± SD\nAP-11\n1\n-\n67.0\n-\n-\nAP-11-NE0.1\n1\n0.1\n65.0\n0.08 ± 0.00\n57.60 ± 3.89\nAP-11-NE0.2\n1\n0.2\n65.1\n0.14 ± 0.00\n50.47 ± 0.59 Sample\nPolymer concentration \n% (w/w)\nNE % (w/w)\nProcess \nyield (%)\nDrug content \n(%) ± SD\nE.E. (%) ± SD\nAP-11\n1\n-\n67.0\n-\n-\nAP-11-NE0.1\n1\n0.1\n65.0\n0.08 ± 0.00\n57.60 ± 3.89\nAP-11-NE0.2\n1\n0.2\n65.1\n0.14 ± 0.00\n50.47 ± 0.59 1 3 1349 Drug Delivery and Translational Research (2023) 13:1343–1357 investigated using DSC (Fig. 4). NEs (after water evapora-\ntion) showed a melting peak (Fig. 4-1a) at around 48 °C and \na second peak at lower temperatures (below 40 °C) suggest-\ning the presence of a second crystalline phase, ascribable to \na polymorphic form of the stearic acid of polyoxyethylene \n(40) stearate resulting from its mixing with oleoyl poly-\noxyl-6 glycerides and MCT excipient [33]. In addition, a \nbroad crystallization peak from 0 °C to 22 °C upon cooling \nand a second melting peak at − 50 °C (Fig. 4-2a) referred \nto as MCT polymorphism was present [33, 34]. AP-11-NE \npowders were analyzed to estimate the influence of the dry-\ning process on the structure of NEs loaded. After the water \nevaporation, the melting and crystallization peaks of polyox-\nyethylene (40) stearate were visible according to the amount \nof NEs loaded in the powders (Fig. 4b, c). On the contrary, \nalginate and pectin did not show any signal (Fig. 4d, e, f, g). Also, curcumin (Fig. Production and physicochemical characterization \nof nanocomposites Water vapor transmission rate (WVRT) of the in situ \nformed hydrogels was measured to evaluate if the wound \ndressings are able to maintain proper moisture on the \nwound bed. All hydrogel formulations presented WVTR \nvalues between 85 and 89 g/m2h resulting then as an ade-\nquate barrier able to protect the wound while promoting \ngood transpiration. The rate of water evaporation from \nhydrogels was measured to evaluate their ability to retain \nthe water within the dressings over time even when exu-\ndate is not poured out from the wound anymore. Figure 6 \nshows the fluid loss evaluated as the weight decrease of \nFig. 3 Thermogravimetric \ncurves of alginate raw material \n(black), pectin raw material \n(green), AP before spray-drying \n(light blue) AP-11 (red), AP-\n11-NE0.1 (blue), and AP-\n11-NE0.2 (violet). (Color figure \nonline) Fig. 3 Thermogravimetric \ncurves of alginate raw material \n(black), pectin raw material \n(green), AP before spray-drying \n(light blue) AP-11 (red), AP-\n11-NE0.1 (blue), and AP-\n11-NE0.2 (violet). (Color figure \nonline) values between 85 and 89 g/m2h resulting then as an ade-\nquate barrier able to protect the wound while promoting \ngood transpiration. The rate of water evaporation from \nhydrogels was measured to evaluate their ability to retain \nthe water within the dressings over time even when exu-\ndate is not poured out from the wound anymore. Figure 6 \nshows the fluid loss evaluated as the weight decrease of was very quick, but the water uptake was lower due to the \npresence of NEs which enhanced the hydrophobicity of the \nsystems, as confirmed also by Karl Fisher’s analysis. was very quick, but the water uptake was lower due to the \npresence of NEs which enhanced the hydrophobicity of the \nsystems, as confirmed also by Karl Fisher’s analysis. Water vapor transmission rate (WVRT) of the in situ \nformed hydrogels was measured to evaluate if the wound \ndressings are able to maintain proper moisture on the \nwound bed. All hydrogel formulations presented WVTR Water vapor transmission rate (WVRT) of the in situ \nformed hydrogels was measured to evaluate if the wound \ndressings are able to maintain proper moisture on the \nwound bed. All hydrogel formulations presented WVTR Fig. 4 DSC thermograms of NEs (a), AP-11-NE0.1 (b), AP-11-NE0.2 \n(c), AP in combination before spray-drying (d), AP-11 after spray-drying \n(e), pectin raw material (f), alginate raw material (g), and curcumin raw \nmaterial (h). Production and physicochemical characterization \nof nanocomposites 4h) did not exhibit any signal because \nits typical melting is visible at around 180 °C [35], outside \nthe range of interest.l Table 2 Physicochemical properties of NEs before and after encapsu-\nlation in AP particles, AP-11 microparticles, and moisture content of \nAP-11, AP-11-NE0.1, and AP-11-NE.0.2 *NE.01 and NE.02 represent the nanoemulsions released by a spray-\ndried particle, AP-11-NE0.1 and AP-11-NE0.2, respectively\nSize (nm) ± SD\nPDI\nζ–potential \n(mV) ± SD\nH2o % \n(w/w) ± SD\nNEs\n103.90 ± 2\n0.2\n-15 ± 1\n-\nNE0.1*\n205.13 ± 2\n0.3\n-21 ± 2\n-\nNE0.2*\n238.97 ± 5\n0.4\n-30 ± 2\n-\nAP-11\n3517 ± 90\n0.3\n-52 ± 2\n9.27 ± 0.04\nAP-11-NE0.1\n3338 ± 65\n0.2\n-51 ± 4\n6.07 ± 0.05\nAP-11-NE0.2\n3325 ± 79\n0.3\n-50 ± 3\n5.54 ± 0.09 alginate has shown a three-stage process: below 150 °C, \nthe weight loss is associated with humidity release while at \n237 °C and 750 °C, it is correlated to the rupture of chains, \nfragments, and monomers [32]. Differently, pectin presented \ntwo main weight loss steps. The degradation patterns of the \nother samples were very similar to alginate and pectin raw \nmaterial with a weight loss below 150 °C due to the removal \nof moisture, followed by a sharp weight loss at 230 °C due \nto the degradation of the polymer backbone. To evaluate the influence of NEs on the powders ability to \nbecome a gel in situ, AP-11 and AP-11-NEs were placed in \ncontact with simulated wound fluid (SWF), and, at scheduled \ntime points, the increase in weight was calculated. Figure 5 \nshows that AP-11 became gel in less than 5 min increas-\ning almost 7 times its weight after 15 min. As expected, a \ndifferent trend was observed for AP-11-NEs. The swelling The state of the shell (crystalline or amorphous) of \nthe NEs loaded with curcumin and of the powders was Fig. 2 SEM microphotographs at two different magnifications of AP-11 (a, d), AP-11-NE0.1 (b, e), and AP-11-NE0.2 (c, f) EM microphotographs at two different magnifications of AP-11 (a, d), AP-11-NE0.1 (b, e), and AP-11-NE0.2 (c, f) 1 3 3 Drug Delivery and Translational Research (2023) 13:1343–1357 1350 was very quick, but the water uptake was lower due to the \npresence of NEs which enhanced the hydrophobicity of the \nsystems, as confirmed also by Karl Fisher’s analysis. Production and physicochemical characterization \nof nanocomposites AP-11 showed that approximately \n12% of water was retained, while AP-11-NE0.1 and AP-\n11-NE0.2 retained 10% and 11% water, respectively. It \nsuggests that AP hydrogel, also when loaded with NEs, \nloses most of its water content in a short time, but can \nretain almost a proper amount of humidity even when \nexposed to air in dry conditions. the different formulations after the removal of SWF. It can \nbe observed that the loss of water rapidly increased in the \nfirst 12 h, whereas after 72 h, there was almost no water \nloss from the hydrogels even though hydrogels were not \ncompletely dried yet. AP-11 showed that approximately \n12% of water was retained, while AP-11-NE0.1 and AP-\n11-NE0.2 retained 10% and 11% water, respectively. It \nsuggests that AP hydrogel, also when loaded with NEs, \nloses most of its water content in a short time, but can \nretain almost a proper amount of humidity even when \nexposed to air in dry conditions. showed that G′ was much higher than G″. For the AP-\n11-NEs, an increase in the gap between the storage and loss \nmodulus was reported, according to the NEs concentration, \ndemonstrating the prevalent gel-like behavior. This pattern \ncan be better explained through the loss factor that represents \nthe ratio between viscous and elastic components (purely \nelastic, δ = 0; purely viscous, δ = 90) [36]. For the powder \nloaded with NEs, the loss factor decreased (Fig. 7 panel B) \nindicating an increase in structure formation and gelation. Production and physicochemical characterization \nof nanocomposites Panel 1 represents the heating cycle from + 20 °C to 180 °C \nwhile panel 2 cooling performed from + 180 °C to − 80 °C both at 10 °C/\nmin material (h). Panel 1 represents the heating cycle from + 20 °C to 180 °C \nwhile panel 2 cooling performed from + 180 °C to − 80 °C both at 10 °C/\nmin material (h). Panel 1 represents the heating cycle from + 20 °C to 180 °C \nwhile panel 2 cooling performed from + 180 °C to − 80 °C both at 10 °C/\nmin Fig. 4 DSC thermograms of NEs (a), AP-11-NE0.1 (b), AP-11-NE0.2 \n(c), AP in combination before spray-drying (d), AP-11 after spray-drying \n(e), pectin raw material (f), alginate raw material (g), and curcumin raw 1 3 Drug Delivery and Translational Research (2023) 13:1343–1357 1351 Fig. 5 Simulated wound fluid \nuptake of AP-11, AP-11-NE0.1, \nand AP-11-NE0.2 the different formulations after the removal of SWF. It can \nbe observed that the loss of water rapidly increased in the \nfirst 12 h, whereas after 72 h, there was almost no water \nloss from the hydrogels even though hydrogels were not \ncompletely dried yet. AP-11 showed that approximately \n12% of water was retained, while AP-11-NE0.1 and AP-\n11-NE0.2 retained 10% and 11% water, respectively. It \nsuggests that AP hydrogel, also when loaded with NEs, \nloses most of its water content in a short time, but can \nretain almost a proper amount of humidity even when \nd\ni i d\ndi i\nshowed that G′ was much higher than G″. For the AP-\n11-NEs, an increase in the gap between the storage and loss \nmodulus was reported, according to the NEs concentration, \ndemonstrating the prevalent gel-like behavior. This pattern \ncan be better explained through the loss factor that represents \nthe ratio between viscous and elastic components (purely \nelastic, δ = 0; purely viscous, δ = 90) [36]. For the powder \nloaded with NEs, the loss factor decreased (Fig. 7 panel B) \nindicating an increase in structure formation and gelation. I\nit\nl\nt d\nFig. 5 Simulated wound fluid \nuptake of AP-11, AP-11-NE0.1, \nand AP-11-NE0.2 the different formulations after the removal of SWF. It can \nbe observed that the loss of water rapidly increased in the \nfirst 12 h, whereas after 72 h, there was almost no water \nloss from the hydrogels even though hydrogels were not \ncompletely dried yet. In vitro release study The in situ gelled powders viscoelastic properties were \nassessed through rheological measurements performing \nan amplitude sweep test, which depicts the variation of \ndynamic storage modulus (G′) and loss modulus (G″) \ndepending on the shear strain (γ). All formulations (Fig. 7) In vitro release studies of the NEs from nanocomposites \nwere carried out in SWF. The study was carried out in \nnon-sink conditions, and a cumulative release study was \nperformed. All nanocomposites showed a similar profile. 1 3\nFig. 6 Weight loss from hydro-\ngels made on alginate-pectin \nand alginate-pectin loaded with \nnanoemulsions, after 120 h 1 3 3 AP-11-NE0 1 released about 75% of the encapsulated NEs\nIn vitro cytotoxicity\nFig. 7 Rheological characterization of AP-11, AP-11-NE0.1, and AP-11-NE0.2. Storage G' and loss G\" moduli evaluated via amplitude sweep \ntest (Panel A) and strain dependent tangent of loss factor (Panel B)\n1352\nDrug Delivery and Translational Research (2023) 13:1343–1357 Drug Delivery and Translational Research (2023) 13:1343–1357 1352 Fig. 7 Rheological characterization of AP-11, AP-11-NE0.1, and AP-11-NE0.2. Storage G' and loss G\" moduli evaluated via amplitude sweep \ntest (Panel A) and strain dependent tangent of loss factor (Panel B) In vitro cytotoxicity The in vitro cell \nviability assay was conducted by exposing cells to AP-11 and \nnanocomposites for 24, 48, and 72 h at three different systems \nconcentrations (25, 50, 100 µg/mL). As shown in Fig. 9A, the \nantiproliferative activity for the blank formulation AP-11 was \nfound to be time and dose-dependent. The increase in powder \nconcentration led to an increase in antiproliferative activity. properties, morphology, and size distribution were stud-\nied. As reported in the literature, microparticles obtained \nby spray-drying present different morphologies depending Fig. 9 Antiproliferative activity of in situ gel powders assessed \nby MTT test on HaCaT cells after 24, 48, and 72 h of treatment. Panel A: blank formulation AP-11 at different concentrations (25, \n50, 100 µg/mL). Panel B: nanocomposites AP-11-NE0.1 and AP-\n11-NE0.2 in comparison with AP-11 at 25 µg/mL. Data are expressed \nas mean ± SEM. Mercaptopurine (1 µM) was used as a positive con-\ntrol. ***, **, and * denote P < 0.001, P < 0.01, and P < 0.05, respec-\ntively, formulations vs control In vitro cytotoxicity AP-11-NE0.1 released about 75% of the encapsulated NEs \nafter 8 h, followed by a prolonged release up to 24 h reach-\ning 100% of NEs release, whereas in AP-11-NE0.2 with \nthe doubled content of the NEs release decreased from 75 \nto 65% after 8 h and from 100 to 98% after 24 h (Fig. 8). AP-11-NE0.1 released about 75% of the encapsulated NEs \nafter 8 h, followed by a prolonged release up to 24 h reach-\ning 100% of NEs release, whereas in AP-11-NE0.2 with \nthe doubled content of the NEs release decreased from 75 \nto 65% after 8 h and from 100 to 98% after 24 h (Fig. 8). Since the biocompatibility of any wound dressing is essential \nto assure the safety of the wounds, the cytotoxicity of the \npowders on HaCaT cells expressed as an antiproliferative 1 3 Drug Delivery and Translational Research (2023) 13:1343–1357 1353 activity through the MTT test was evaluated. The in vitro cell \nviability assay was conducted by exposing cells to AP-11 and \nnanocomposites for 24, 48, and 72 h at three different systems \nconcentrations (25, 50, 100 µg/mL). As shown in Fig. 9A, the \nantiproliferative activity for the blank formulation AP-11 was \nfound to be time and dose-dependent. The increase in powder \nconcentration led to an increase in antiproliferative activity. After 72 h, the powders at the maximum concentration of \nsystems tested (100 µg/mL) exhibited a value of antiprolifera-\ntive activity slightly higher than 30% that according to ISO \n10993–5 is considered cytotoxic [37]. Differently, nanocom-\nposites AP-11-NE0.1 and AP-11-NE0.2, after 72 h, only at \n25 µg/mL did not exhibit toxicity (Fig. 9B). Discussion\nIn this work, we developed a tailored hybrid system made \nof CCM-loaded NEs associated with alginate-pectin matrix \nto vehicle lipophilic drugs and maximize adherence to the \nwound. Hydrophobic drugs, once incorporated into NEs, \ncan penetrate efficiently into the skin and through the sub-\ncutaneous barrier [38]. However, NEs suspensions are not \nviscous enough to be directly applied to the wound bed [13]. The composites here produced by spray-drying in the form \nof microparticles are intended to enhance the contact time \nat the dressing site prolonging the release of NEs from the \nhydrophilic matrix. The first step in the design of adherent nanocomposites \nproperties, morphology, and size distribution were stud-\nied. As reported in the literature, microparticles obtained \nby spray-drying present different morphologies depending \nFig. In vitro cytotoxicity 8 Nanoemulsions released \nfrom the nanocomposite AP-\n11-NE0.1 and AP-11-NE0.2 \nperformed in simulated wound \nfluid activity through the MTT test was evaluated. The in vitro cell \nviability assay was conducted by exposing cells to AP-11 and \nnanocomposites for 24, 48, and 72 h at three different systems \nconcentrations (25, 50, 100 µg/mL). As shown in Fig. 9A, the \nantiproliferative activity for the blank formulation AP-11 was \nfound to be time and dose-dependent. The increase in powder \nconcentration led to an increase in antiproliferative activity. After 72 h, the powders at the maximum concentration of \nsystems tested (100 µg/mL) exhibited a value of antiprolifera-\ntive activity slightly higher than 30% that according to ISO \n10993–5 is considered cytotoxic [37]. Differently, nanocom-\nposites AP-11-NE0.1 and AP-11-NE0.2, after 72 h, only at \n25 µg/mL did not exhibit toxicity (Fig. 9B). properties, morphology, and size distribution were stud-\nied. As reported in the literature, microparticles obtained \nby spray-drying present different morphologies depending \nFig. 8 Nanoemulsions released \nfrom the nanocomposite AP-\n11-NE0.1 and AP-11-NE0.2 \nperformed in simulated wound \nfluid activity through the MTT test was evaluated. The in vitro cell \nviability assay was conducted by exposing cells to AP-11 and \nnanocomposites for 24, 48, and 72 h at three different systems \nconcentrations (25 50 100 µg/mL) As shown in Fig 9A the\nproperties, morphology, and size distribution were stud-\nied. As reported in the literature, microparticles obtained \nby spray-drying present different morphologies depending \nFig. 8 Nanoemulsions released \nfrom the nanocomposite AP-\n11-NE0.1 and AP-11-NE0.2 \nperformed in simulated wound \nfluid Fig. 8 Nanoemulsions released \nfrom the nanocomposite AP-\n11-NE0.1 and AP-11-NE0.2 \nperformed in simulated wound \nfluid activity through the MTT test was evaluated. The in vitro cell \nviability assay was conducted by exposing cells to AP-11 and \nnanocomposites for 24, 48, and 72 h at three different systems \nconcentrations (25, 50, 100 µg/mL). As shown in Fig. 9A, the \nantiproliferative activity for the blank formulation AP-11 was \nfound to be time and dose-dependent. The increase in powder \nconcentration led to an increase in antiproliferative activity. After 72 h, the powders at the maximum concentration of \nsystems tested (100 µg/mL) exhibited a value of antiprolifera-\ntive activity slightly higher than 30% that according to ISO \n10993–5 is considered cytotoxic [37]. Differently, nanocom-\nposites AP-11-NE0.1 and AP-11-NE0.2, after 72 h, only at \n25 µg/mL did not exhibit toxicity (Fig. 9B). activity through the MTT test was evaluated. Discussion In this work, we developed a tailored hybrid system made \nof CCM-loaded NEs associated with alginate-pectin matrix \nto vehicle lipophilic drugs and maximize adherence to the \nwound. Hydrophobic drugs, once incorporated into NEs, \ncan penetrate efficiently into the skin and through the sub-\ncutaneous barrier [38]. However, NEs suspensions are not \nviscous enough to be directly applied to the wound bed [13]. The composites here produced by spray-drying in the form \nof microparticles are intended to enhance the contact time \nat the dressing site prolonging the release of NEs from the \nhydrophilic matrix. The first step in the design of adherent nanocomposites \nwas the optimization of NEs loaded with curcumin. NEs \nobtained via the emulsion phase inversion technique coupled \nwith high stirring energy input presented physicochemical \ncharacteristics in accordance with the results reported in a \nprevious study [29]. Then, NEs have been combined with \nthe alginate-pectin matrix to obtain the nanocomposites, and \nthe impact of oil and surfactants on the microparticulate Fig. 9 Antiproliferative activity of in situ gel powders assessed \nby MTT test on HaCaT cells after 24, 48, and 72 h of treatment. Panel A: blank formulation AP-11 at different concentrations (25, \n50, 100 µg/mL). Panel B: nanocomposites AP-11-NE0.1 and AP-\n11-NE0.2 in comparison with AP-11 at 25 µg/mL. Data are expressed \nas mean ± SEM. Mercaptopurine (1 µM) was used as a positive con-\ntrol. ***, **, and * denote P < 0.001, P < 0.01, and P < 0.05, respec-\ntively, formulations vs control 1 Drug Delivery and Translational Research (2023) 13:1343–1357 1354 carried out at 37 °C to simulate the body temperature. With the \ntemperature rising, the particles tend to move disorderly due \nto a higher Brownian thermal energy, and consequently, while \nthe mobility of macromolecule segments increases, the dura-\ntion of relaxation processes is reduced [44, 45]. As shown in \nFig. 7A the addition of NEs led to an increase of both moduli \nproportionally to the NEs concentration, whereby the growth \nof G' is significantly stronger than that of G\". This effect is \ncorrelated to the influence of the nanoparticles on the mobil-\nity of the polymers chains that might determine an increased \nrigidity of the structure and, as a consequence, stability on the \nwound [45]. Moreover, as reported in Fig. Discussion A rapid hydrogel formation is a crucial charac-\nteristic for the in situ gelling powders intended to be applied \nto the wound with high exudate production. As expected, \nfluid uptake was strictly correlated to NEs concentration. Compared to the blank formulation, nanocomposites showed \nlower water uptake (Fig. 5) probably due to the presence of \nthe NEs that physically impaired the movement of the poly-\nmer chains during the uncoiling connected to the interaction \nwith water. Modifications such as the addition of hydropho-\nbic nanoparticles in a hydrogel system have been reported \nto influence the swelling properties of hydrogel. Nanoparti-\ncles, replacing the space occupied by water molecules, led to \na reduction of water uptake into the polymer structure [41]. The release profiles of the NEs from nanocomposites \n(Fig. 8) are due to the coexistence of different condi-\ntions, including the porosity of the particles, heteroge-\nnous NEs distribution, and the hydrophilic properties of \nthe polymers, which once in contact with SWF diffused \ninto the system, swell and form a gel, causing the system \ndissolution. After the formation of the gel, which takes \nplace in a few minutes, the dissolved NEs molecules dif-\nfuse through the hydrated polymeric network out of the \nsystem resulting in their continuous release. In addition \n(after 8 h), the bioerosion of the polymer might be the \nmain driving force of the sustained release of NEs [47, \n49]. CCM, as any other possible drug, loaded into NEs \nis protected by hydrolysis and various other enzymatic \ndegradations while the environment of the wound would \nlead to the NEs dissociation and the consequent delivery \nof CCM [50]. p\np y\n[\n]\nDressing transpiration is another key parameter of wound \ndressing needed to both prevent an excessive wet condition \nduring wound care and reduce pain removal of the dressing \nafter its use. All hydrogels formed in situ showed WVTR val-\nues between 85 and 89 g/m2h. These values are in the appropri-\nate range to prevent wound dehydration or occlusion phenom-\nena [42]. Moreover, the amount of water retained by gels even \nafter 72 h with the wound in the dry state is enough to avoid \ncomplete gel drying, thus allowing its easy removal at the end \nof the treatment. WWTR and water loss from hydrogels loaded \nwith NEs were similar to those of the unloaded AP hydrogels \n(Fig. 6). Discussion 7B, the addition of \nNEs causes a reduction of the loss factor which, when lower \nthan 1, indicates a clear prevalence of gel behavior [46]. This \nreduction determines an increase in the elasticity of the gels, a \nvery useful property for wound healing devices. on the features of the initial raw material and processing \nconditions [39]. In presence of NEs, microparticles did not \nshow the typical morphology of “deflated balloons” but \nexhibited good sphericity and porous surface due to the \nglobal increase of droplet loading with NEs before drying. The encapsulation of NEs in AP did not affect nanocompos-\nites size distribution and surface charge, contrarily to what \nwas previously reported [40]. In fact, they exhibited a mean \ndiameter of around 3.5 µm characterized by a single peak \nwith a span value of less than 2.i To verify possible particles internal structure modifica-\ntions due to the interaction with the NEs, the thermal behav-\nior of AP-11 microparticles and nanocomposites was investi-\ngated by DSC (Fig. 4). In nanocomposites, the characteristic \nmelting and crystallization peaks of NEs were shifted to \nlower temperatures. This result suggests the presence of NEs \nin the alginate-pectin matrix as supported by previous work \n[40], confirming the hypothesis of an interaction between \nNEs and polymer matrix, also highlighted by the variation \nof the NEs physicochemical properties after the dissolution \nof the microparticles in which they were embedded. In vitro release studies were carried out in SWF in order \nto evaluate the ability of the polymer matrix to effectively \nrelease NEs loaded with CCM in a sustained manner. This \nkind of study is generally carried out in sink conditions, \nwhere the maximum drug concentration in the bulk fluid \ndoes not exceed about 20% of the drug’s solubility [47]. For poorly water-soluble drugs, high dissolution medium \nvolumes are required to maintain a low ratio of particles to \nmedium volume, which however results in a loss of accuracy \nfor the measurement of drug content [48]. In some cases, \nsink conditions do not guarantee that no saturation occurs, \ntherefore, the release of NEs via curcumin from nanocom-\nposites was performed in non-sink conditions, to avoid \nunderestimation of the drug. Following the physicochemical studies and the analyses \nof the physical interactions characterizing the nanocom-\nposite, the gelling properties, and fluid permeability were \ninvestigated. Competing interests The authors declare no competing interests. Open Access This article is licensed under a Creative Commons Attri-\nbution 4.0 International License, which permits use, sharing, adapta-\ntion, distribution and reproduction in any medium or format, as long \nas you give appropriate credit to the original author(s) and the source, \nprovide a link to the Creative Commons licence, and indicate if changes \nwere made. The images or other third party material in this article are \nincluded in the article's Creative Commons licence, unless indicated \notherwise in a credit line to the material. If material is not included in \nthe article's Creative Commons licence and your intended use is not \npermitted by statutory regulation or exceeds the permitted use, you will \nneed to obtain permission directly from the copyright holder. To view a \ncopy of this licence, visit http://creativecommons.org/licenses/by/4.0/. Discussion This similarity suggests that although the presence of \na lipophilic portion, nanocomposites could be able to maintain \na suitable fluid balance in the wound bed, which might enhance \nboth cellular migration and reepithelization [43]. Concerning \nthe rheological study (Fig. 7), the amplitude sweep test was Finally, the biocompatibility of nanocomposites on human \nkeratinocytes (HaCaT) was assessed by monitoring cell meta-\nbolic activity (MTT assay) to ensure the safety of the formula-\ntions when applied to the wound. HaCaT cells are widely used to \ntest the compatibility of wound dressings as skin consists of dif-\nferent types of cells: keratinocytes, melanocytes, and fibroblasts 1 3 3 1355 Drug Delivery and Translational Research (2023) 13:1343–1357 [51]. In a previous work, we demonstrate that AP-11 powders \nwere not toxic in the range of 0.01–10 µg/mL [24]. In this work, \nwe tested the concentrations ranging from 25 to 100 µg/mL to \nverify the possibility to use a larger amount of powders on the \nwound. AP-11 did not show any significant cytotoxicity after \n72 h for any of the tested concentrations, except at 100 µg/mL, \nresulting well tolerated by keratinocytes (Fig. 9A). On the con-\ntrary, AP-11-NE0.1 and AP-11-NE0.2 reduced the metabolic \nactivity of cells after 48 h at the 50 and 100 µg/mL in a dose-\ndependent manner (Fig. S1). At 25 µg/mL and up to 72 h of \nexposure, both nanocomposites were non cytotoxic (Fig. 9B), \nindicating the possibility to apply the hydrogels for a prolonged \ntime on the wound bed, thus reducing the patients’ pain caused \nby frequent removal of the formulations. However, since cel-\nlular respiration might be altered by the shielding effect of the \nhydrogels, further studies will be needed to assess wound heal-\ning properties in vivo. has received funding from the National Research Agency (ANR), HyDNano \nproject (ANR-18-CE18-0025- 01). This work was supported by a grant from \nRegione Campania (I), POR Campania FESR 2014/2020, “Fighting Cancer \nresistance: Multidisciplinary integrated Platform for a technological Inno-\nvative Approach to Oncotherapies (Campania Oncotherapies)” [Project N. B61G18000470007]. has received funding from the National Research Agency (ANR), HyDNano \nproject (ANR-18-CE18-0025- 01). This work was supported by a grant from \nRegione Campania (I), POR Campania FESR 2014/2020, “Fighting Cancer \nresistance: Multidisciplinary integrated Platform for a technological Inno-\nvative Approach to Oncotherapies (Campania Oncotherapies)” [Project N. B61G18000470007]. Data availability Not applicable. Conclusions Nanocomposites combining NEs with alginate-pectin pow-\nders intended for the controlled release of lipophilic drugs \nto be delivered directly to the wound bed were successfully \ndesigned. This study proposed a novel approach using a \nspray-drying process to load nanosystems into in situ gel-\nling microparticles composed of a natural polymeric blend. Nanocomposites could improve wound management thanks \nto their ability to rapidly form a hydrogel when in contact \nwith simulated wound fluid providing optimal water vapor \ntransmission rate. The combination of polymers and NEs \nenhanced the elastic properties of the in situ formed gel \nand lead to the sustained release of the drug-loaded NEs. In vitro cytocompatibility demonstrated that nanocomposites \nwere well tolerated by keratinocytes, allowing a prolonged \napplication of the powder on the wound bed. Globally, the \nunique combination of NEs loaded into an in situ forming \ngel microparticulate powder can be considered a promising \ncandidate for novel wound dressings. Ethics approval and consent to participate Not applicable. Consent for publication All authors have read and agreed to the pub-\nlished version of the manuscript. References 1. Hamdan S, Pastar I, Drakulich S, Dikici E, Tomic-Canic M, Deo \nS, Daunert S. Nanotechnology-driven therapeutic interventions \nin wound healing: potential uses and applications. ACS Cent Sci. 2017;3:163–75. 2. Kung M-L, Lin P-Y, Peng S-W, Wu D-C, Wu W-J, Yeh B-W, \nTai M-H, Hung H-S, Hsieh S. Biomimetic polymer-based Ag \nnanocomposites as a antimicrobial platform. Appl Mater Today. 2016;4:31–9. https://doi.org/10.1016/j.apmt.2016.05.003. 3. Teixeira MA, Paiva MC, Amorim MTP, Felgueiras HP. 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Cerciello A, Del Gaudio P, Granata V, Sala M, Aquino RP, Russo \nP. References Synergistic effect of divalent cations in improving technological \nproperties of cross-linked alginate beads. Int J Biol Macromol. 2017;101:100–6. https://doi.org/10.1016/j.ijbiomac.2017.03.077. 39. Nandiyanto ABD, Okuyama K. Progress in developing spray-\ndrying methods for the production of controlled morphology \nparticles: From the nanometer to submicrometer size ranges. Adv Powder Technol. 2011;22:1–19. https://doi.org/10.1016/j.\napt.2010.09.011. g\nj j\n\t23. Yoon DS, Lee Y, Ryu HA, Jang Y, Lee K-M, Choi Y, Choi WJ, \nLee M, Park KM, Park KD, et al. Cell recruiting chemokine-\nloaded sprayable gelatin hydrogel dressings for diabetic wound \nhealing. Acta Biomater. 2016;38:59–68. https://doi.org/10.1016/j.\nactbio.2016.04.030. 40. Hosseini SM, Hosseini H, Mohammadifar MA, Mortazavian \nAM, Mohammadi A, Khosravi-Darani K, Shojaee-Aliabadi S, \nDehghan S, Khaksar R. Incorporation of essential oil in alginate 24. Amante C, Esposito T, Del Gaudio P, Di Sarno V, Porta A, Tosco A, \nRusso P, Nicolais L, Aquino RP. A novel three-polysaccharide blend 1 3 1357 Drug Delivery and Translational Research (2023) 13:1343–1357 microparticles by multiple emulsion/ionic gelation process. Int J \nBiol Macromol. 2013;62:582–8. https://doi.org/10.1016/j.ijbiomac.\n2013.09.054. from pre-crosslinked alginate as a new tool in semi solid extrusion \n3D printing process. Carbohyd Polym. 2022;276: 118746. https://\ndoi.org/10.1016/j.carbpol.2021.118746. 47. 41. Schoener CA, Hutson HN, Peppas NA. pH-responsive hydrogels \nwith dispersed hydrophobic nanoparticles for the delivery of hydro-\nphobic therapeutic agents. 2012;61:874–879. https://doi.org/10.\n1002/pi.4219. 47. Siepmann J, Siepmann F. Sink conditions do not guarantee the \nabsence of saturation effects. Int J Pharm. 2020;577: 119009. https://doi.org/10.1016/j.ijpharm.2019.119009. 48. Abouelmagd SA, Sun B, Chang AC, Ku YJ, Yeo Y. Release kinet-\nics study of poorly water-soluble drugs from nanoparticles: are we \ndoing it right? Mol Pharm. 2015;12:997–1003. https://doi.org/10.\n1021/mp500817h. p\n\t42. Gwosdow AR, Cunningham JJ, Lydon M, Rascati R, Berglund LG. Evaporative water losses through a temporary wound dressing under \nsimulated wound conditions. J Burn Care Rehabil. 1993;14:450–4. https://doi.org/10.1097/00004630-199307000-00009. 49. Faisant N, Siepmann J, Richard J, Benoit JP. Mathematical mod-\neling of drug release from bioerodible microparticles: effect of \ngamma-irradiation. Eur J Pharm Biopharm. 2003;56:271–9. https://doi.org/10.1016/S0939-6411(03)00104-8. 43. De Cicco F, Reverchon E, Adami R, Auriemma G, Russo P, Calabrese \nEC, Porta A, Aquino RP, Del Gaudio P. In situ forming antibacterial \ndextran blend hydrogel for wound dressing: SAA technology vs. spray \ndrying. Carbohydrate Polymers. 2014;101:1216–24. https://doi.org/\n10.1016/j.carbpol.2013.10.067.l 50. Kaur G, Mehta SK. Developments of Polysorbate (Tween) based \nmicroemulsions: preclinical drug delivery, toxicity and antimicro-\nbial applications. Int J Pharm. 2017;529:134–60. https://doi.org/\n10.1016/j.ijpharm.2017.06.059. j\n\t44. Li Z, Li D, Dong J, Cui H, Yao J. References Study of temperature influ-\nence on the rheological behavior of magnetic fluids. J Magn Magn \nMater. 2022;545: 168757. https://doi.org/10.1016/j.jmmm.2021.\n168757. j jp\n\t51. Roy N, Saha N, Humpolicek P, Saha PJSM. Permeability and \nbiocompatibility of novel medicated hydrogel wound dressings. 2010;8:338–57. 45. Münstedt H. Rheological measurements and structural analysis of \npolymeric materials. Polymers (Basel). 2021;13:1123. Publisher's Note Springer Nature remains neutral with regard to \njurisdictional claims in published maps and institutional affiliations. Publisher's Note Springer Nature remains neutral with regard to \njurisdictional claims in published maps and institutional affiliations. 46. Falcone G, Mazzei P, Piccolo A, Esposito T, Mencherini T, \nAquino RP, Del Gaudio P, Russo P. Advanced printable hydrogels 1 3"
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Appearances Can Be Deceptive: Revealing a Hidden Viral Infection with Deep Sequencing in a Plant Quarantine Context
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Abstract Comprehensive inventories of plant viral diversity are essential for effective quarantine and sanitation efforts. The safety of
regulated plant material exchanges presently relies heavily on techniques such as PCR or nucleic acid hybridisation, which
are only suited to the detection and characterisation of specific, well characterised pathogens. Here, we demonstrate the
utility of sequence-independent next generation sequencing (NGS) of both virus-derived small interfering RNAs (siRNAs)
and virion-associated nucleic acids (VANA) for the detailed identification and characterisation of viruses infecting two
quarantined sugarcane plants. Both plants originated from Egypt and were known to be infected with Sugarcane streak
Egypt Virus (SSEV; Genus Mastrevirus, Family Geminiviridae), but were revealed by the NGS approaches to also be infected by
a second highly divergent mastrevirus, here named Sugarcane white streak Virus (SWSV). This novel virus had escaped
detection by all routine quarantine detection assays and was found to also be present in sugarcane plants originating from
Sudan. Complete SWSV genomes were cloned and sequenced from six plants and all were found to share .91% genome-
wide identity. With the exception of two SWSV variants, which potentially express unusually large RepA proteins, the SWSV
isolates display genome characteristics very typical to those of all other previously described mastreviruses. An analysis of
virus-derived siRNAs for SWSV and SSEV showed them to be strongly influenced by secondary structures within both
genomic single stranded DNA and mRNA transcripts. In addition, the distribution of siRNA size frequencies indicates that
these mastreviruses are likely subject to both transcriptional and post-transcriptional gene silencing. Our study stresses the
potential advantages of NGS-based virus metagenomic screening in a plant quarantine setting and indicates that such
techniques could dramatically reduce the numbers of non-intercepted virus pathogens passing through plant quarantine
stations. Citation: Candresse T, Filloux D, Muhire B, Julian C, Galzi S, et al. (2014) Appearances Can Be Deceptive: Revealing a Hidden Viral Infection with Deep Sequencing
in a Plant Quarantine Context. PLoS ONE 9(7): e102945. doi:10.1371/journal.pone.0102945 Editor: Hanu Pappu, Washington State University, United States of America Editor: Hanu Pappu, Washington State University, United States of America Editor: Hanu Pappu, Washington State University, United States of America Received January 31, 2014; Accepted June 24, 2014; Published July 25, 2014 Copyright: 2014 Candresse et al. Abstract This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Copyright: 2014 Candresse et al. This is an open-access article distributed under the terms of the Creative Commons
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This work was supported by the ANR French National Research Agency (Netbiome Program, SafePGR Project). AV and DPM are supported by the
National Research Foundation of South Africa. BM is funded by the University of Cape Town. The funders had no role in study design, data collection and analysis,
decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * Email: philippe.roumagnac@cirad.fr * Email: philippe.roumagnac@cirad.fr Appearances Can Be Deceptive: Revealing a Hidden Viral
Infection with Deep Sequencing in a Plant Quarantine
Context Thierry Candresse1,2, Denis Filloux3, Brejnev Muhire4, Charlotte Julian3, Serge Galzi3, Guillaume Fort3,
Pauline Bernardo3, Jean-Heindrich Daugrois3, Emmanuel Fernandez3, Darren P. Martin4,
Arvind Varsani5,6,7, Philippe Roumagnac3* 1 INRA, UMR 1332 Biologie du Fruit et Pathologie, CS 20032, 33882 Villenave d’Ornon Cedex, France, 2 Universite´ de Bordeaux, UMR 1332 Biologie du Fruit et Pathologie,
CS 20032, 33882 Villenave d’Ornon Cedex, France, 3 CIRAD, UMR BGPI, Campus International de Montferrier-Baillarguet, 34398 Montpellier Cedex-5, France,
4 Computational Biology Group, Institute of Infectious Diseases and Molecular Medicine, University of Cape Town, Cape Town, South Africa, 5 School of Biological
Sciences and Biomolecular Interaction Centre, University of Canterbury, Christchurch, New Zealand, 6 Department of Plant Pathology and Emerging Pathogens Institute,
University of Florida, Gainesville, Florida, United States of America, 7 Electron Microscope Unit, Division of Medical Biochemistry, Department of Clinical Laboratory
Sciences, University of Cape Town, Observatory, South Africa July 2014 | Volume 9 | Issue 7 | e102945 VANA extraction from viral particles, cDNA amplification
and sequencing One gram of leaf material from the VARX and USDA plants
were ground in Hanks’ buffered salt solution (HBSS) (1:10) with
four ceramic beads (MP Biomedicals, USA) using a tissue
homogeniser (MP biomedicals, USA). The homogenised plant
extracts were centrifuged at 3,2006g for 5 min and 6 ml of the
supernatants were further centrifuged at 8,2286g for 3 min. The
resulting supernatants were then filtered through a 0.45 mm sterile
syringe filter. The filtrate was then centrifuged at 148,0006g for
2.5 hrs at 4uC to concentrate viral particles. The resulting pellet
was resuspended overnight at 4uC in 200 ml of HBSS. Non-
encapsidated nucleic acids were eliminated by adding 15 U of
bovine pancreas DNase I (Euromedex) and 1.9 U of bovine
pancreas RNase A (Euromedex, France) followed by incubation at
37uC for 90 min. Total nucleic acids were finally extracted from
virions using a NucleoSpin 96 Virus Core Kit (Macherey-Nagel,
Germany) following the manufacturer’s protocol. The amplifica-
tion of extracted nucleic acids was performed as described by
Victoria et al. [14] and aimed at detecting both RNA and DNA
viruses. Reverse transcriptase priming and amplification of nucleic
acids were used for detecting RNA viruses. A Klenow Fragment
step was included in the protocol in order to detect DNA viruses as
demonstrated by Froussard [27]. Briefly, viral cDNA synthesis was
performed by incubation of 10 ml of extracted viral nucleic acids
with 100 pmol of primer DoDec (59-CCT TCG GAT CCT CCN
NNN NNN NNN NN-39) at 85uC for 2 min. The mixture was
immediately placed on ice. Subsequently, 10 mM dithiothreitol,
1 mM of each deoxynucloside triphosphate (dNTP), 4 ml of 56
Superscript buffer, and 5 U of SuperScript III (Invitrogen, USA)
were added to the mixture (final volume of 20 ml), which was then Here we describe the application of siRNA- and VANA-
targeted NGS approaches to the analyses of two Egyptian
sugarcane plants maintained for a number of years at the CIRAD
Sugarcane Quarantine Station in Montpellier, France. These
plants were both known to be infected with Sugarcane streak
Egypt Virus (SSEV; Family Geminiviridae, Genus Mastrevirus)
and were maintained for use as positive controls during the
application of diagnostic tools for SSEV detection in sugarcane
plants passing through the quarantine station. Using the siRNA-
and
VANA-targeted
NGS
approaches,
we
discovered
and
characterized a novel highly divergent mastrevirus from these
two plants. Plant material and sugarcane quarantine DNAs collection Three main classes
of nucleic-acids have been targeted by such analyses: (1) virion-
associated nucleic acids (VANA) purified from viral particles
[13,14]; (2) double-stranded RNAs (dsRNA) [15]; and (3) virus-
derived small interfering RNAs (siRNAs) [16]. Large numbers of
both known and new plant and fungus infecting DNA and RNA
viruses and viroids have been detected using these approaches
[12,17–21]. A major shortcoming of these metagenomic approaches is,
however, that they remain technically cumbersome and too
expensive for routine diagnostic applications on collections of
eukaryotic hosts - even if barcoded primers are used to bulk-
sequence pooled samples from multiple sources [15]. Although
prohibitive for high throughput diagnostics, the costs of NGS in
the context of viral diversity research are often offset by the vast
volumes of useful data that can be generated on viral population
dynamics, co-infections, mutation frequencies and genetic recom-
bination [22–24]. VANA extraction from viral particles, cDNA amplification
and sequencing Introduction The major challenge of using classical nucleic acid sequence-
informed detection tools such as polymerase chain reaction (PCR)
or Southern hybridisation assays, is that despite being highly
sensitive, these techniques are generally either species or, at best,
genus-specific. In addition, such tools lack the capacity to detect,
let alone identify, pathogens that are unknown, poorly character-
ized or highly variable. Although it might be argued that the most
economically important pathogens tend to be well characterized
and that it is therefore not a serious issue that many of the more
obscure pathogens go undetected, it is becoming better appreci-
ated that the ‘‘importance’’ of any particular pathogenic microbe
is very difficult to define. Specifically, the environmental and When attempting to prevent the spread of plant diseases,
comprehensive inventories of viral diversity are fundamental both
for effective quarantine and sanitation efforts, and to ensure that
plant materials within biological resource centres (BRCs) can be
safely distributed [1,2]. Detection of pathogens is one of the most
critical quarantine and BRC operations. Ideally, the tools used for
this purpose must be both sensitive enough to accurately detect the
presence of even extremely low amounts of pathogen nucleic acids
or proteins, and provide sufficient specific information to identify
the genetic variants/strains of whatever pathogens are present. 1 July 2014 | Volume 9 | Issue 7 | e102945 PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org July 2014 | Volume 9 | Issue 7 | e102945 Viral Metagenomics in a Plant Quarantine Context Plant material and sugarcane quarantine DNAs collection Plant material and sugarcane quarantine DNAs collection
Leaves presenting typical symptoms of sugarcane streak disease
were sampled from two sugarcane plants that had previously been
found to be infected with Sugarcane streak Egypt virus (SSEV)
and had been kept in a quarantine greenhouse at the CIRAD
Sugarcane Quarantine Station, in Montpellier, France. The two
sugarcane
plants,
VARX
and
USDA
(which
was
initially
maintained at USDA-APHIS Plant Germplasm Quarantine
before being transferred to CIRAD in 2007), were both initially
collected in Egypt during two independent sampling surveys in the
late 1990s [25,26]. These sampling surveys were both carried out
on experimental stations and commercial lands in close collabo-
ration with Egyptian authorities (Sugar Crop Research Institute
(SCRI), Dr Abdel Wahab I. Allam (Director of SCRI) regarding
VARX; and Agricultural Genetic Engineering Research Institute,
Dr N.A. Abdallah, and Dr M.A. Madkour regarding USDA). In
addition, leaves from six sugarcane plants originating from Sudan
(B0065, B0067, B0069, D0002, D0003 and D0005, Table S1) and
maintained at the CIRAD Sugarcane Quarantine Station were
also used (Material Transfer Agreements between CIRAD and
Kenana Sugar Co. Ltd). DNAs from these six plants were
extracted using the DNeasy Plant Mini Kit (Qiagen). In addition,
DNA was extracted from an additional 18 frozen leaf samples (2
20uC), including 17 samples originating from Sudanese sugarcane
plants, which had passed through the Montpellier Quarantine
station between 2000 and 2009 and one which had been obtained
from a sugarcane seedling grown from sugarcane true seeds [fuzz]
developed in Guadeloupe from a biparental cross involving plants
H70-6957 and B86-049 using the DNeasy Plant Mini Kit (Table
S1). Whereas ‘‘sequence-dependent’’ microbial detection methods,
which are generally based on PCR or nucleic acid hybridisation,
can only be used to target known pathogens, sequence-indepen-
dent next generation sequencing (NGS) based approaches can
potentially provide an ideal platform for identifying almost all
known and unknown microbes present in any particular host
organism [5,7–9]. Coupled with innovative sample processing
procedures, ‘‘metagenomics’’ applications of NGS [10] have
already enabled the identification of novel pathogens through
the rapid and comprehensive characterization of microbial strains
and isolates within environmental and host tissue samples [9,11]. In addition to numerous applications in the study of animal
infecting viruses, NGS-based metagenomics approaches have also
been used to detect plant infecting viruses [12]. Materials and Methods economic impacts of a particular pathogen can vary widely with
varying climatic and ecological conditions and there are large
numbers of microbes that are presently not classified as pathogens
(or at least which are not noticeably pathogenic to humans or to
domesticated plants and animals), which will eventually emerge as
important future pathogens [3]. Also, since non-domesticated
plant and animal species and countless numbers of microbes which
contribute to natural terrestrial ecosystems [4–6] can also
potentially be threatened by exotic pathogens, the unconstrained
global dissemination of apparently harmless fungi, viruses and
bacteria could have serious environmental and economic impacts. VANA extraction from viral particles, cDNA amplification
and sequencing This novel virus was also identified in other sugarcane
plants originating from Sudan that exhibited white spots on the
base of their leaf blades that become fused laterally, so as to appear
as chlorotic stripes. Accordingly, we have proposed naming this
virus Sugarcane white streak Virus (SWSV). In addition, we
present a detailed analysis of siRNAs derived from the SWSV and
SSEV variants infecting the two analysed sugarcane plants. PLOS ONE | www.plosone.org July 2014 | Volume 9 | Issue 7 | e102945 2 Viral Metagenomics in a Plant Quarantine Context Viral Metagenomics in a Plant Quarantine Context incubated at 25uC for 10 min, followed by 42uC incubation for
60 min and 70uC incubation for 5 min before being placed on ice
for 2 min. cDNAs were purified using the QiaQuick PCR cleanup
kit (Qiagen). Priming and extension was then performed using
Large (Klenow) Fragment DNA polymerase (Promega). First,
20 ml of cDNA in the presence of 4.8 mM of primer DoDec were
heated to 95uC for 2 min and then cooled to 4uC. 2.5 U of
Klenow Fragment, 10X Klenow reaction buffer and 0.4 mM of
each dNTP (final volume of 25 ml) were added. The mixture was
incubated at 37uC for 60 min followed by 75uC enzyme heat
inactivation for 10 min. PCR amplification was carried out using
5 ml of the reaction described above in a 20 ml reaction containing
2 mM primer (LinkerMid50 primer for VARX: 59-ATC GTA
GCA GCC TTC GGA TCC TCC-39 and LinkerMid52 primer
for USDA: 59-ATG TGT CTA GCC TTC GGA TCC TCC-39),
and 10 ml of HotStarTaq Plus Master Mix Kit (Qiagen). The
following cycling conditions were used: one cycle of 95uC
for 5 min, five cycles of 95uC for 1 min, 50uC for 1 min, 72uC
for 1.5 min, 35 cycles of 95uC for 30 sec, 50uC for 30 sec, 72uC for
1.5 min +2 sec at each cycle. An additional final extension for
10 min at 72uC was then performed. DNA products were pooled
(VARX and USDA products and 94 additional products obtained
from other quarantine samples), cleaned up using the Wizard SV
Gel and PCR Clean-Up System (Promega) and sequenced on 1/
8th of a 454 pyrosequencing plate using GS FLX Titanium
reagents (Beckman Coulter Cogenics, USA). siRNA extraction and sequencing The nucleic acid extraction and sequencing approach of Kreuze
et al. [16] was used with slight modifications. Total RNAs were
extracted from 100mg of VARX fresh leaf material using Trizol
(Invitrogen) following the manufacturer’s instructions. Small RNA
libraries were directly generated from total RNAs. Small RNAs
ligated with 39 and 59 adapters were reverse transcribed and PCR
amplified (30 sec at 98uC; [10 sec at 98uC, 30 sec at 60uC, 15 sec
at 72uC] 613 cycles; 10 min at 72uC) to create cDNA libraries
selectively enriched in fragments having adapter molecules at both
ends. The last step was an acrylamide gel purification of the 140–
150 nt amplified cDNA constructs (corresponding to cDNA inserts
from siRNAs +120 nt from the adapters). Small RNA libraries
were checked for quality and quantified using a 2100 Bioanalyzer
(Agilent). The library was then sequenced on one lane of a HiSeq
Illumina as single-end 50 base reads. VANA extraction from viral particles, cDNA amplification
and sequencing 59-GCT GAA ACC TAT GGC AAA GA-39 and SWSV-R1
reverse primer 59-AGC CTC TCT ACA TCC TTT GC-39; and
pair2 ECORI-1F forward primer 59-GAA TTC CCA GAG CGT
GGT A-39 and ECORI-2R reverse primer 59-GAG TTG AAT
TCC GGT ACC AAG GAC-39) were complementary to
sequences within the rep gene of SWSV. Total DNAs from the
two sugarcane plants described above (VARX and USDA) were
extracted using the DNeasy Plant Mini Kit (Qiagen) and screened
for SWSV using the two pairs of primers and GoTaq Hot Start
Master Mix (Promega) following the manufacturer’s protocol. Amplification conditions consisted of an initial denaturation at
95uC for 2 min, 35 cycles at 94uC for 10 sec, 55uC for 30 sec,
68uC for 3 min, and a final extension step at 68uC for 10 min. Amplification products of ,2.8 Kbp were gel purified, ligated to
pGEM-T (Promega) and sequenced by standard Sanger sequenc-
ing using a primer walking approach. Reverse transcriptase priming and amplification of nucleic acids
were carried out in order to detect the intron of the rep gene. Total
RNAs from VARX were extracted using the RNeasy Plant Mini
Kit (Qiagen). DNase treatment of extracted RNAs was carried out
using RQ1 RNase-Free DNase (Promega) following the manufac-
turer’s
protocol. Viral
cDNA
synthesis
was
performed
by
incubation of 1 ml of DNase treated RNAs with 15 ml of RNase
free water, 0.6 mM of each primers (SWSV_F2: 59-ACC ATG
TGC TGC CAG TAA TT-39 and ECORI-2R: 59-GAG TTG
AAT TCC GGT ACC AAG GAC-39), and 0.4 mM of mixed
deoxynucloside triphosphate (dNTPs), 5 ml of 5X Qiagen OneStep
RT-PCR Buffer and 1 ml of Qiagen OneStep RT-PCR Enzyme
Mix. Tubes were first placed at 50uC for 30 min for cDNA
synthesis. PCR amplification was then carried out using the
following cycling conditions: One cycle of 95uC for 15 min, 35
cycles of 94uC for 1 min, 55uC for 1 min, 72uC for 1 min. An
additional final extension for 10 min at 72uC was then performed. Amplification products were gel purified, ligated to pGEM-T
(Promega) and sequenced by standard Sanger sequencing. PCR detection tests DNAs extracted from 17 sugarcane plants originating from
Sudan kept at 220uC or six freshly extracted from plants
maintained at the CIRAD Sugarcane Quarantine Station were
screened for SWSV. DNA extracted from one sugarcane seedling
grown from true seeds (fuzz) was also screened for SWSV. PCR
amplification was carried out using the two pairs of primers
described above (SWSV_F1 and SWSV_R1; ECORI-1F and
ECORI-2R) using GoTaq Hot Start Master Mix (Promega)
following the manufacturer’s protocol. Amplification products of
,2.8 Kbp were gel purified, ligated to pGEM-T (Promega) and
sequenced as described above. Plants infected with SWSV were
also screened for all known sugarcane-infecting mastreviruses:Su-
garcane streak Egypt Virus, Sugarcane streak virus, Maize streak
virus, Sugarcane streak Reunion virus, Eragrostis streak virus and
Saccharum streak virus. PCR amplification was carried out using
1 ml of DNA template in a 25 ml reaction containing 0.2 mM of
each broad spectrum primer (SSV_1732F: 59-CAR TCV ACR
TTR TTY TGC CAG TA-39 and SSV_2176R: 59-GAR TAC
CTY TCH ATG MTH CAG A-39) and GoTaq Hot Start Master
Mix (Promega) following the manufacturer’s protocol. The
following cycling conditions were used: One cycle of 95uC for
2 min, 35 cycles of 94uC for 1 min, 53uC for 1 min, 72uC for
1 min. An additional final extension for 10 min at 72uC was then
performed. Sequence assembly Analyses
of
reads
produced
by
either
Illumina
(siRNA
sequencing)
or
454
GS
FLX
Titanium
(Amplified-VANA
sequencing) were performed using CLC Genomics Workbench
5.15. De novo assemblies of contigs were performed with a
minimal contig size set at 100 bp and 200 bp for Illumina and 454
GS FLX Titanium reads, respectively. A posteriori mapping of
reads against the complete genomes of SWSV (once the full
genome had been cloned and sequenced) or SSEV or against parts
of these genomes were also performed using CLC Genomics
Workbench 5.15. Primary sequence outputs have been deposited
in the sequence read archive of GenBank (accession numbers:
VANA_USDA dataset: SRR1207274; VANA_VARX dataset:
SRR1207275; siRNA_VARX dataset: SRR1207277). siRNA Illumina sequencing from the VARX sugarcane
plant A total of 15,275,640 raw reads were generated from the
VARX sugarcane sample, which were then filtered down to
3,945,108 high quality reads in the 21 to 24 nt size range of
siRNAs. From these reads, 226 contigs were obtained by de novo
assembly, six of which showed significant degrees of similarity to
mastreviruses based on BLASTx [35] searches (Table2). Of these
six contigs, two (contigs #121 and #176) had a high degree of
identity to SSEV while the remaining four were more distantly
related to known mastreviruses. Three of these four contigs
(contigs #44, #86 and #101) apparently corresponded with a
mastrevirus capsid protein (CP) gene and the other one (contigs
#79) with a movement protein (MP) gene, while the cumulative
contig length of 761 bp corresponded to slightly more than a
quarter of a typical mastrevirus genome (Table2). p
(
p
)
Given the genomic coordinates of pairing nucleotides within the
HCSS, we investigated whether there was any significant trend for
more reads (looking both at all reads collectively and at the 21 nt,
22 nt, 23 nt and 24 nt long reads separately) occurring within
secondary structures predicted to occur within (i) the full genomes,
(ii) the virion-strand transcripts and (iii) the complementary-strand
transcripts. The reads were mapped to the secondary structures
and we counted how many nucleotides were located at paired and
unpaired sites. While Kolmogorov-Smirnov tests (implemented in
R; www.r-project.org) were used to determine whether the
distribution of reads between paired and unpaired sites were
different, Wilcoxon rank-sum tests (also implemented in R, www.r-
project.org) indicated whether there were significantly more reads
at paired sites compared to unpaired sites and vice versa. Whereas
the Kolmogorov-Smirnov tests were used to indicate whether any
associations existed between siRNA locations and base pairing
within nucleic acid secondary structures, the Wilcoxon rank-sum
tests were used to determine whether detected associations were Following the cloning and sequencing of the full genome of the
new mastrevirus (SWSV; see below) it was determined that 0.59%
of the Illumina reads obtained from the VARX plant could be
mapped to this genome (Figure 1) to generate contigs that covered
96.3% of the genome at an average depth of 185X with only seven
gaps of between three and 40 nucleotides. 454-based sequencing of VANA from the VARX and
USDA sugarcane samples This approach was used in an attempt to detect both RNA and
DNA viruses that may be present in the two sugarcane plants [27]. A total of 2612 and 1635 reads were respectively obtained from
the VARX and USDA plants following length and quality
filtering. One hundred and eight and 18 contigs were produced
by de novo assembly from the VARX- and USDA-derived reads,
respectively. Two contigs from the VARX plant (2706 nt and
412 nt) and two from the USDA plant (2706 nt and 649 nt),
encoded proteins with between 91 and 100% sequence identity
with previously described SSEV proteins (Table1). BLASTx
analysis revealed that an additional two contigs from the VARX
plant (2122 and 127 nt) and three contigs from the USDA plant
(1836, 196 and 312 nt) were homologous with known mastre-
viruses but were nevertheless only distantly related to mastrevirus
sequences currently deposited in GenBank (Table1). A posteriori mapping of VANA 454 reads obtained from the
VARX and USDA plants against the complete SWSV genome
(see below), revealed that 23.9% (625/2612) and 16.1% (264/
1635) of the total reads were derived from this genome and that
these yielded complete genome coverage at an average depth of
81X and 29X, respectively. Interestingly, a ,120 nt long region of
very low coverage (,4X) was identified, which mapped to the
large intergenic region (LIR) of the SWSV genome (Figure 1). A mapping analysis performed with the genome of SSEV
indicated that the corresponding values were 53.5% of reads
(1398/2612, 159X average coverage depth) and 75% of reads
(1227/1635, 138X coverage) for the VARX and USDA plants,
respectively (Figure S1). Test for associations between siRNAs and SWSV/SSEV
genomic and transcript secondary structures The SWSV/SSEV full genome sequences and predicted
unspliced complementary and virion strand transcripts were
separately
folded
using
Nucleic
Acid
Secondary
Structure
Predictor [34], with the sequence conformation set as circular
DNA, at a temperature of 25uC. NASP generates a list of all
secondary structures detectable within given DNA or RNA
sequences and through simulations it demarcates a set of structures
referred to as a ‘‘high confidence structure set’’ (HCSS), that
confers a higher degree of thermodynamic stability (lower free
energy) to the sequences than what would be expected to be
achievable by randomly generated sequences with the same base
composition (with a p, = 0.05). Viral Metagenomics in a Plant Quarantine Context positive (siRNAs tended to occur at structured sites) or negative
(siRNAs tended to occur outside of structured sites). Sequence analyses q
y
Six complete genomes of the novel mastrevirus were recovered
from plants VARX, USDA, A0037, B0069, D0005 and E0144
(Table S1) and were aligned with the genomes of representative
mastreviruses
using
MUSCLE
(with
default
settings)
[28]. Similarly, the predicted replication associated protein (Rep) and
capsid protein (CP) amino acid sequences encoded by the viruses
within the full-genome dataset were also aligned using MUSCLE. Maximum likelihood phylogenetic trees were inferred for the full
genomes (TN93+G+I nucleotide substitution model chosen as the
best-fit using jModelTest [29]), Rep (WAG+G+F amino acid
substitution model chosen as the best-fit using ProtTest [30]) and
CP (rtREV+G+F amino acid substitution model chosen as the
best-fit using ProtTest) datasets with PHYML [31]. Approximate
likelihood ratio tests (aLRT) were used to infer relative supports for
branches (with branches having ,80% support being collapsed). All pairwise identity analysis of the full genome nucleotide
sequences, capsid protein (CP) amino acid sequences, replication
associated protein (Rep) amino acid sequences and movement
protein (MP) amino acid sequences were carried out using the
MUSCLE-based pairwise alignment and identity calculation
approach implemented in SDT v1.0 [32]. The full genome
sequence alignment of representative mastrevirus genome se-
quences together with SWSV was used to detect evidence of
recombination in SWSV using RDP 4.24 with default settings
[33]. Sequences are deposited in GenBank under accession
numbers (SWSV-A [SD-VARX-2013] - KJ187746; SWSV-A
[SD -USDA-2013] - KJ187745; SWSV-B [SD -B0069-2013] –
KJ210622; SWSV-B [SD -D0005-2013] - KJ187747; SWSV-B
[SD -E0144-2013] - KJ187748 and SWSV-C [SD -A0037-2013] -
KJ187749). July 2014 | Volume 9 | Issue 7 | e102945 SWSV genome amplification, cloning and sequencing SWSV genome amplification, cloning and sequencing
Two partially overlapping SWSV specific PCR primer pairs
were designed so as to avoid any potential cross-hybridization to
63 representative species of the family Geminiviridae, including
SSEV. These two primer pairs (pair1: SWSV_F1 forward primer July 2014 | Volume 9 | Issue 7 | e102945 PLOS ONE | www.plosone.org 3 Viral Metagenomics in a Plant Quarantine Context Acronyms used are as follows: SSEV (Sugarcane streak Egypt virus), DDSMV (Digitaria didactyla striate mosaic virus), BCSMV (Bromus catharticus striate mosaic virus), MSV (Maize streak virus).
doi:10 1371/journal pone 0102945 t001 Table 1. Lengths, numbers of reads and BlastX analysis results for VANA 454 de novo contigs from sugarcane plants VARX and USDA with detectable homology to mastreviral
sequences. Sample
Contig
Contig length (bp)
Number of reads
BlastX Virus
BlastXLocus
BlastX e-value
Percent identity
VARX
#1
2706
1387
SSEV (NP_045945)
RepA
0.00
100%
#2
2122
470
DDSMV (YP_003915158)
CP
3.84E–56
70%
#3
412
11
SSEV (AAC98076)
MP
2.07E–8
95,2%
#7
127
1
BCSMV (YP_004089628)
RepA
1.72e–10
71%
USDA
#1
2706
1128
SSEV (NP_04945)
RepA
9.20E–177
99.2%
#2
1836
82
DDSMV (YP_003915158)
CP
1.04E–56
48.8%
#3
649
12
SSEV (NP_04945)
RepA
2.80E–66
91.1%
#4
196
37
MSV (CAA10092)
RepA
1.34E–8
56.2%
#13
312
83
SSEV (AAF76868)
RepA
1.65E–30
84.3%
Acronyms used are as follows: SSEV (Sugarcane streak Egypt virus), DDSMV (Digitaria didactyla striate mosaic virus), BCSMV (Bromus catharticus striate mosaic virus), MSV (Maize streak virus). Illumina-based
siRNA
sequencing
(Figure 1). As
has
been
previously observed for other viruses, genome coverage was highly
heterogeneous (Figure 1). However, a clear general trend could be
observed, with the region corresponding to the virion sense V1
and V2 ORFs (encoding CP and MP proteins, respectively),
showing an average coverage depth of ,436X and the comple-
mentary sense C1 ORF showing an average coverage of only
,38X. Coverage of the non-coding large and small intergenic
regions and the presumed C1 ORF intron were even lower at
17.5X and 6.8X, respectively. Illumina-based
siRNA
sequencing
(Figure 1). As
has
been
previously observed for other viruses, genome coverage was highly
heterogeneous (Figure 1). However, a clear general trend could be
observed, with the region corresponding to the virion sense V1
and V2 ORFs (encoding CP and MP proteins, respectively),
showing an average coverage depth of ,436X and the comple-
mentary sense C1 ORF showing an average coverage of only
,38X. Coverage of the non-coding large and small intergenic
regions and the presumed C1 ORF intron were even lower at
17.5X and 6.8X, respectively. It is also noteworthy that besides differences in coverage depth,
these various genomic regions of SWSV also showed differences in
the siRNA size classes that they yielded. Acronyms used are as follows: SSEV (Sugarcane streak Egypt virus), DDSMV (Digitaria didactyla striate mosaic virus), BCSMV (Bromus catharticus striate mosaic virus), MSV (Maize streak virus).
doi:10 1371/journal pone 0102945 t001 While there was an
enrichment of the 21 and 22 nt siRNA size classes amongst the
total siRNA reads mapping to the V1 and V2 ORFs, there was a
depletion of the 21 nt siRNA size classes and an enrichment of the
24 nt size class amongst total siRNA reads mapping to the C1
ORF (Figure 2). The LIR and, to a lesser extent, the SIR showed a
pattern similar to the C1 ORF region (data not shown). The C1
intron, however, had an extreme over-representation of the 24 nt
size class with the other size classes being either nearly (22 nt) or
totally (21 and 23 nt) absent (Figure 2). Since the VARX plant was also infected with SSEV, a similar
analysis of SSEV-derived siRNAs was performed. Mapping
against the genome of SSEV (NC_001868) demonstrated that
0.17% of total reads (6572) were derived from it and that these
reads covered 98.6% of the SSEV genome at an average depth of
55X, leaving only 4 gaps of between 5 and 15 nucleotides (Figure
S1). Although showing some high degrees of local heterogeneity,
genome coverage of SSEV was less biased when comparing the
different genomic regions. Nevertheless a similar trend to that
associated with SWSV was observed with a higher depth of
coverage for the virion sense V1–V2 ORFs (76.5X) than for both
the complementary sense C1 ORF (37.6X) and the non-coding
regions (46X). Also, as for SWSV, the 21–22 nt siRNA size classes
were enriched amongst those mapping to the virion sense ORFs
and the 24 nt, siRNA size class was enriched amongst those
mapping to the complementary sense C1 ORF (Figure S1). However, unlike for SWSV, no strong siRNA size-class biases
were observed for the non-coding regions (data not shown). By collectively using the Illumina siRNA reads and the 454
VANA reads it was possible to assemble a single genome of the
novel mastrevirus from both the VARX and USDA plants. SWSV siRNA Illumina sequencing from the VARX sugarcane
plant These gaps were located
within the large intergenic region (three gaps) and within the
probable replication associated protein (Rep) gene (four gaps;
Figure 1) encoded by the C1 ORF. It is noteworthy that the
,120 nt long region of very low coverage (,4X) identified using
the VANA approach mapped to the same part of the LIR region
of the SWSV genome that remained uncovered during the July 2014 | Volume 9 | Issue 7 | e102945 PLOS ONE | www.plosone.org July 2014 | Volume 9 | Issue 7 | e102945 4 Viral Metagenomics in a Plant Quarantine Context July 2014 | Volume 9 | Issue 7 | e102945 Associations between siRNAs and SWSV/SSEV genomic
and transcript secondary structures It has been previously determined that nucleic acid structures
can have an appreciable impact on both the distribution of siRNA
targets [36,37], and the operational efficiency of small RNA
mediated anti-viral and anti-viroid defences [37,38]. We detected
strong evidence for the presence of ssDNA secondary structures in
both the SWSV (30 high confidence structure set (HCSS)
identified) and SSEV (29 HCSS structures identified) genomes
(Table 3). The distributions of the HCSS structural elements were,
however, different in the predicted virion and complementary
strand transcripts of the two viruses, with only two HCCS
structures detected in the SWSV complementary strand transcript
and none being detected in the SSEV virion strand transcript (so
that this particular transcript was not analysed further). We detected a strong association between the absence of
predicted secondary structures within the ssDNA SWSV genome
and increased frequencies of corresponding 22, 23 and 24 nt long
siRNAs (p-values ,0.008; Table 3). Curiously, we found a July 2014 | Volume 9 | Issue 7 | e102945 July 2014 | Volume 9 | Issue 7 | e102945 5 Viral Metagenomics in a Plant Quarantine Context Figure 1. SWSV genome coverage following NGS. The genomic organization of SWSV is schematically shown above the graph. While relative
degrees of coverage achieved after a posteriori mapping of reads produced by Illumina-based siRNA sequencing against the SWSV genome is
indicated in green, the coverage achieved after mapping reads produced by 454 GS FLX Titanium-based VANA sequencing is indicated in blue. doi:10.1371/journal.pone.0102945.g001 Figure 1. SWSV genome coverage following NGS. The genomic organization of SWSV is schematically shown above the graph. While relative
degrees of coverage achieved after a posteriori mapping of reads produced by Illumina-based siRNA sequencing against the SWSV genome is
indicated in green, the coverage achieved after mapping reads produced by 454 GS FLX Titanium-based VANA sequencing is indicated in blue. doi:10.1371/journal.pone.0102945.g001 different association when considering the predicted SWSV RNA
transcripts with 21 nt siRNA reads displaying a strong tendency to
correspond with nucleotide sites that were predicted to be base
paired in both the virion and complementary strand transcripts (p-
values ,2.49610-6) and the 22, 23 and 24 siRNA size classes
displaying a similar tendency with respect to the virion strand
transcript (p-values ,6.07610-13). not so far been reported. Associations between siRNAs and SWSV/SSEV genomic
and transcript secondary structures The novel mastrevirus was, however,
detected in five sugarcane plants originating from Sudan (A0037,
B0065, B0069, D0005 and E0144) out of the 23 screened (Table
S1). Complete SWSV genomes from four sugarcane plants (A0037,
B0069, D0005 and E0144) were cloned and sequenced. The
genomes of these isolates have .91% genome-wide identity with
those recovered from the VARX and USDA sugarcane plants. Phylogenetic analyses of the full genomes (Figure 3) and of the
amino acid sequences that they likely encode (Figure 4) confirmed
that the isolates obtained from the Sudanese sugarcane plants also
belong to the SWSV species. The six isolates can be further
classified into 3 strains, SWSV-A (VARX, USDA), -B (B0069,
D0005, E0144) and -C (A0037) (Figure S3) based on the proposed
classification of mastrevirus strains outlined by Muhire et al. [32]. Similar to SWSV, for the SSEV full genome there was an
association between the absence of ssDNA structural elements and
increased frequencies of 22 nt siRNAs. Also similar to SWSV the
22, 23 and 24 nt long siRNAs display a significant tendency to
correspond with transcript nucleotides that are base-paired within
secondary structural elements. A novel sugarcane-infecting mastrevirus originating from
the Nile region Using primers that allow the amplification of all sugarcane-
infecting mastreviruses, including Sugarcane streak Egypt Virus,
Sugarcane streak virus, Maize streak virus, Sugarcane streak
Reunion virus, Eragrostis streak virus and Saccharum streak virus,
the five sugarcane plants originating from Sudan were shown to be
free of co-infection with other known mastreviruses. Three of them
are still maintained at the CIRAD sugarcane quarantine station
(B0065, B0069 and D0005) and exhibit white spots on the base of
their leaf blades, around the blade joint where the two wedge
shaped areas called ‘‘dewlaps’’ are located (Figure S4). These spots
can become fused laterally, so as to appear as chlorotic stripes
(Figure S4). It is noteworthy that the SWSV infected D0005 plant
displayed very little evidence of these spots (only one leaf out of
eight exhibited tiny white spots that resembled thrip damage) and
it is therefore very likely that SWSV infections could escape visual
inspection (Figure S4). Given that three of the infected sugarcane
varieties exhibited mild foliar symptoms, i.e. white spots on the
base of their leaf blades that become fused laterally, so as to appear
as chlorotic stripes, we propose naming the new species Sugarcane
white streak Virus. g
The complete genome of SWSV, as recovered from the VARX
and USDA plants, is most similar to that of Wheat dwarf India
virus (WDIV, Accession number NC_017828), with which it
shares 61% genome-wide identity. Whereas the Rep and MP
amino acid sequences of SWSV are also most similar to those of
WDIV (54.4% and 44.8% identity, respectively), the CP is most
similar to that of Panicum streak virus (PanSV, NC_001647,
51.4–53.9%). Based on the 78% species demarcation threshold set
by the Geminivirus study group of the ICTV [32], it is clear that
the novel mastrevirus should be considered a new species within
the genus Mastrevirus of the Family Geminiviridae (Figure S2). This is further confirmed by phylogenetic analyses performed on
both the full genome (Figure 3) and on the amino acid sequences
of its encoded proteins (Figure 4). The new virus clearly clusters
with mastreviruses on a branch that is not closely associated with
any other species classified within this genus. Whereas the CP of
SWSV clusters within the virus clade including the various African
streak viruses, Australasian striate mosaic viruses, Digitaria streak
virus (DSV) and WDIV, the Reps cluster with the African streak
viruses and WDIV (Figure 4). Viral Metagenomics in a Plant Quarantine Context respects, very similar to those of all other previously described
mastreviruses. The one exceptional feature of the SWSV genomes
is that in case of the VARX and USDA isolates alternative splicing
of complementary sense transcripts likely results in the expression
of both a standard Rep (which is predicted to be 396 amino acids
long), and a rather unusual RepA of 418 amino acids long. This is
the only known occurrence in any geminivirus of a RepA that is
larger than Rep. Table 2. Lengths, numbers of reads and BlastX analysis results for siRNA de novo contigs from sugarcane plant VARX with detectable homology to mastreviral sequences. Virus
Contig
Contig length (bp)
Number of reads
BlastX Virus
BlastXLocus
BlastX e-value
Percent identity
SSEV
#121
101
270
SSEV (AAF76871)
CP
2.60E–9
100%
#176
133
520
SSEV (AAC98080)
MP
7.22E–15
100%
SWSV
#44
117
914
SacSV (YP_003288767)
CP
7,16E–06
68%
#79
275
7640
WDIV (YP_006273068)
MP
3,29E–11
70%
#86
258
1649
WDIV (YP_006273069)
CP
6,78E–20
50%
#101
111
1284
SSRV (ABZ03975)
CP
1,94E–05
64%
Acronyms used are as follows: SSEV (Sugarcane streak Egypt virus), SWSV (Sugarcane white streak virus), SacSV (Saccharum streak virus), WDIV (Wheat dwarf India virus), SSRV (Sugarcane streak Reunion virus). doi:10 1371/journal pone 0102945 t002
| Table 2. Lengths, numbers of reads and BlastX analysis results for siRNA de novo contigs from sugarcane plant VARX with detectable homology to mastreviral sequences. Virus
Contig
Contig length (bp)
Number of reads
BlastX Virus
BlastXLocus
BlastX e-value
Percent identity
SSEV
#121
101
270
SSEV (AAF76871)
CP
2.60E–9
100%
#176
133
520
SSEV (AAC98080)
MP
7.22E–15
100%
SWSV
#44
117
914
SacSV (YP_003288767)
CP
7,16E–06
68%
#79
275
7640
WDIV (YP_006273068)
MP
3,29E–11
70%
#86
258
1649
WDIV (YP_006273069)
CP
6,78E–20
50%
#101
111
1284
SSRV (ABZ03975)
CP
1,94E–05
64%
Acronyms used are as follows: SSEV (Sugarcane streak Egypt virus), SWSV (Sugarcane white streak virus), SacSV (Saccharum streak virus), WDIV (Wheat dwarf India virus), SSRV (Sugarcane streak Reunion virus). doi:10 1371/journal pone 0102945 t002 (Sugarcane white streak virus), SacSV (Saccharum streak virus), WDIV (Wheat dwarf India virus), SSRV (Sugarcane streak Reu Given the uniqueness of this apparent genome organisation in
the USDA and VARX isolates the correct identification of the
intron within the complementary sense transcript was verified. Analysis of recombination All the SWSV genome sequences determined here share
evidence of the same ancestral recombination event in the short
intergenic region - corresponding to genomic coordinates 1419–
1468 in the USDA isolate (p = 3.821610-7 for the GENECONV,
MAXCHI
and
RDP
methods
implemented
in
RDP4.24). Corresponding coordinates are known to be very common sites
of recombination in mastreviruses [39] and the fragment that they
delimit in SWSV has apparently been derived from something
resembling an African streak virus. Viral Metagenomics in a Plant Quarantine Context RT-PCR reactions targeting the complementary sense transcript
clearly indicated the presence of a mixture of spliced and non-
spliced complementary sense mRNA transcripts, and confirmed
that the correct locations of the acceptor and donor sites of the
66 nt long SWSV intron had been identified (Figure S5). Genome analysis of SWSV SWSV was not detected in sugarcane seedlings derived from
sugarcane true seeds under sterile insect-proof conditions, in
agreement with the fact that seed transmission of geminiviruses has The SWSV genomes recovered from the various sugarcane
plants were between 2828 and 2836 nt and are, in almost all July 2014 | Volume 9 | Issue 7 | e102945 PLOS ONE | www.plosone.org 6 Viral Metagenomics in a Plant Quarantine Context July 2014 | Volume 9 | Issue 7 | e102945 Discussion (A) The size distributions of total reads, (B) The size distributions of reads mapping to the rep gene C-sense intronic region of SWSV, (C)
The size distributions of reads mapping to the V1–V2 ORFs region of SWSV and (D) The size distributions of reads mapping to the C1 ORF region of
SWSV. doi:10.1371/journal.pone.0102945.g002
Viral Metagenomics in a Plant Quarantine Context Figure 2. Size distribution of sequenced siRNAs obtained from the VARX plant. The histograms represent the numbers of siRNA reads in
each size class. (A) The size distributions of total reads, (B) The size distributions of reads mapping to the rep gene C-sense intronic region of SWSV, (C)
The size distributions of reads mapping to the V1–V2 ORFs region of SWSV and (D) The size distributions of reads mapping to the C1 ORF region of
SWSV. doi:10.1371/journal.pone.0102945.g002 predicted secondary structures within both the single stranded
DNA (ssDNA) genomes of these viruses and their predicted single
stranded
RNA
(ssRNA)
complementary
and
virion
strand
transcripts. However, whereas significantly more siRNAs corre-
sponded with unstructured regions of the ssDNA genome, for the
transcripts significantly more siRNAs corresponded with struc-
tured regions of ssRNA. It is plausible that base-paired nucleotides
within transcript RNA molecules are protected from siRNA
binding and that the secondary structures evident both in
transcripts produced by SWSV, SSEV and in mastrevirus
genomes in general [43] may represent an evolutionary adaptation
for viral persistence. In mammalian RNA viruses there is an
association between degrees of genomic secondary structure and
infection duration with viruses having highly structured genomes
tending to cause chronic infections and viruses with unstructured
genomes tending to cause acute infections [44,45]. the RNA silencing-based plant antiviral defences [40]. Adopting a
metagenomic approach and randomly sequencing these siRNAs is
therefore an extremely powerful way to discover and characterise
previously unknown plant viruses and viroids [16,41]. In addition
to providing evidence for the presence of the two mastreviruses co-
infecting the VARX sugarcane plant, this approach provided
information on the interaction of the plant antiviral silencing
machinery and these two viruses. Although these aspects have
been studied previously in geminiviruses in the Begomovirus genus
(Blevins et al., 2006; Akbergenov et al., 2006; Rodrı´guez-Negrete
et al., 2009; Yang et al., 2011; Aregger et al., 2012), very little
comparable
information
has
previously
been
available
for
mastreviruses. Discussion We have performed NGS-based analyses of both siRNA and
VANA isolated from sugarcane plants originating from Egypt. Both sequence-independent NGS approaches revealed the pres-
ence of a novel mastrevirus, SWSV, which had so far escaped
routine quarantine detection assays, possibly because it was
present in mixed infection with SSEV. The procedures used for
the discovery of SWSV pave the way towards the application of
NGS-based quarantine detection procedures. Such procedures
would likely be hierarchical with a first stage sequence-indepen-
dent NGS step followed by sequence-dependent secondary assays. Whereas the first step would be to identify novel viruses within a
single plant (perhaps one displaying apparent disease symptoms),
the second step would be to use sequence dependent approaches to
both confirm the presence of any novel virus(es) identified in the
original host, and identify the presence of this(ese) virus(es) in
larger plant collections. A major strength of such an approach is
that it would also yield complete genome sequences. The present study also confirms that both VANA [13] and
siRNA [16] can be successfully targeted by metagenomics
approaches for the discovery and characterization of plant-
infecting DNA viruses. The VANA-based 454 pyrosequencing
approach has several advantages as it initially combines reverse-
transcriptase priming and a Klenow Fragment step, which
potentially enables the detection of both RNA and DNA viruses. Additionally, up to 96-tagged amplified DNAs (cDNA and DNAs
amplified using the Klenow Fragment step) can be pooled and
sequenced in multiplex format [15] making this approach very
useful for routine diagnostic screening of plants within BRCs and
quarantine stations. However, validation using plants infected or
co-infected with RNA and DNA viruses needs to be carried out in
order to determine the sensitivity and specificity levels of this 454-
based VANA sequencing approach. Virus-derived siRNAs naturally accumulate in virus-infected
plants as a consequence of the action of Dicer enzymes as part of July 2014 | Volume 9 | Issue 7 | e102945 7 Viral Metagenomics in a Plant Quarantine Context Figure 2. Size distribution of sequenced siRNAs obtained from the VARX plant. The histograms represent the numbers of siRNA reads in
each size class. Discussion The siRNA distributions observed here for SWSV and SSEV,
perhaps unsurprisingly, seem to largely parallel those previously
reported for begomoviruses. In particular, the differences in size
classes observed between different genome regions suggest that
mastreviruses are subject both to transcriptional gene silencing,
based on 24 nt long siRNAs produced through the action of
DCL3, and to post-transcriptional gene silencing (PTGS) medi-
ated by the 21–22 nt long siRNAs produced through the action of
the antiviral Dicers DCL4 and DCL2 (Rodrı´guez-Negrete et al.,
2009; Aregger et al., 2012). The action of the former mechanism is
particularly evident in the siRNAs mapping to the SWSV intron
but is also, to a lesser extent, evident in the siRNAs mapping to
both the non-coding regions and the complementary sense ORFs
of SWSV and SSEV. On the other hand, the 21–22 nt siRNA size
classes associated with PTGS are particularly evident in the
siRNAs mapping to the two virion sense ORFs which are known
to be more actively transcribed in mastreviruses than their
complementary sense counterparts [42]. In both analysed Egyptian sugarcane accessions, VARX and
USDA, SWSV was found to be present in co-infections with
SSEV. Both sugarcane plants were independently collected in
Egypt which suggests that SWSV infection of Egyptian sugarcane
plants may not be a rare phenomenon. SWSV was also detected in
SSEV-free plants that originated from Sudan. It is noteworthy that
one of the Sudanese plants from which SWSV was isolated,
E0144, was initially grown in Sudan in 1992 before being
transferred to Barbados in 1998 and subsequently sent back to the
CIRAD Sugarcane Quarantine Station in 2009 (unpublished data,
CIRAD Sugarcane Quarantine Station). Assuming that SWSV
did not infect this plant in Barbados between 1998 and 2009, it is
plausible that SWSV was present along the Nile basin at least from
the late 1980s. Interestingly, as a consequence of indel polymor-
phisms in the 66 nt long SWSV intron, the Egyptian SWSV
isolates VARX and USDA have a highly unusual genome
organization and likely express a RepA protein that, while having For both SWSV and SSEV we detected a significant association
between the frequencies of siRNAs and the presence/absence of PLOS ONE | www.plosone.org July 2014 | Volume 9 | Issue 7 | e102945 8 Viral Metagenomics in a Plant Quarantine Context able 3. Associations between siRNAs and SWSV/SSEV genomic and transcript secondary structures in the HCSS. 9
July 2014 | Volume 9 | Issue 7 | e102945 Discussion quence name
Component
Length
Number of structures
siRNA type
Probability if association
between siRNAs and
secondary structure (KS
Test)
Probability of no
association between
siRNAs and base-paired
nucleotides (WRS test)
Probability of no
association between siRNAs
and unpaired nucleotides
(WRS test)
WSV
Full genome
2830
30
All
5.6961025
0.999
6.2061024
21
0.205
0.590
0.410
22
3.3561026
0.992
0.008
23
0.0005
0.999
6.8161024
24
3.4861029
0.999
2.6761026
V-strand transcript
1222
16
All
0
1.80610215
1
21
0.022
4.93610217
1
22
0
4.1610217
1
23
8.23610214
1.10610216
1
24
0
6.07610213
1
C-strand transcript
1446
2
All
2.0061024
0.100
0.899
21
1.7861027
2.4961026
0.999
22
0.409
0.122
0.877
23
0.008
0.925
0.075
24
0.003
0.970
0.029
EV
Full genome
2706
29
All
0.007
0.889
0.111
21
0.016
0.737
0.263
22
0.0001
0.999
0.001
23
0.140
0.861
0.139
24
0.209
0.499
0.501
V-strand transcript
1131
0
NA
NA
NA
NA
C-strand transcript
1406
13
All
0.002
0.019
0.981
21
0.670
0.465
0.535
22
0.006
0.025
0.975
23
0.002
0.001
0.999
24
0.041
0.023
0.977
:10.1371/journal.pone.0102945.t003 July 2014 | Volume 9 | Issue 7 | e102945 July 2014 | Volume 9 | Issue 7 | e102945 PLOS ONE | www.plosone.org 9 Viral Metagenomics in a Plant Quarantine Context 3. Maximum-likelihood phylogenetic tree of 63 virus isolates representing each known mastrevirus species (including major
) and the 6 SWSV isolates determined in this study. Tree branches are coloured according to the geographical origins of the viruses. es marked with filled and open circles respectively have .95% and 80–94% approximate likelihood ratio test support; branches having ,80%
were collapsed. The phylogenetic tree is rooted using the full genome sequence of Dicot-infecting mastreviruses. 371/journal.pone.0102945.g003 Figure 3. Maximum-likelihood phylogenetic tree of 63 virus isolates representing each known mastrevirus species (including major
strains) and the 6 SWSV isolates determined in this study. Tree branches are coloured according to the geographical origins of the viruses. Branches marked with filled and open circles respectively have .95% and 80–94% approximate likelihood ratio test support; branches having ,80%
support were collapsed. The phylogenetic tree is rooted using the full genome sequence of Dicot-infecting mastreviruses. doi:10.1371/journal.pone.0102945.g003 the same N- and C-terminus sequences as Rep, is 22 amino acids
longer than Rep. that there may have been other undetected recent introductions of
mastreviruses to the Americas. July 2014 | Volume 9 | Issue 7 | e102945 Discussion Although insect transmission of
mastreviruses in the New World remains to be reported, it is
noteworthy that one of the three mastrevirus species that has so far
been detected in the Americas was isolated from a dragonfly which
had possibly eaten a plant feeding insect that was carrying the
virus [48]. The presence of SWSV in Barbados offers an
opportunity to investigate possible natural transmission of the
virus by screening sugarcane planted near the SWSV infected The recent discoveries of SWSV and other highly divergent
mastreviruses [46,47] suggest that this geminivirus genus likely
encompasses a far greater diversity and has a greater global
distribution than has been previously appreciated. The SWSV
isolate from the Sudanese sugarcane plant that had been
propagated in Barbados represents only the third instance of
discovery of mastreviruses in the New World [16,48], and suggests July 2014 | Volume 9 | Issue 7 | e102945 PLOS ONE | www.plosone.org 10 Viral Metagenomics in a Plant Quarantine Context Viral Metagenomics in a Plant Quarantine Context Figure 4. Maximum-likelihood phylogenetic tree of Rep (A) and CP (B) proteins. Tree branches are coloured according to the geographical
origins of the viruses. Branches marked with filled and open circles are respectively have .95% and 80–94% approximate likelihood ratio test
support; branches having ,80% support were collapsed. doi:10.1371/journal.pone.0102945.g004 Figure 4. Maximum-likelihood phylogenetic tree of Rep (A) and CP (B) proteins. Tree branches are coloured according to the geographical
origins of the viruses. Branches marked with filled and open circles are respectively have .95% and 80–94% approximate likelihood ratio test
support; branches having ,80% support were collapsed. doi:10.1371/journal.pone.0102945.g004 E0144 accessions. Phylogenetic analyses of any SWSV genomes
sampled from such plants should reveal their likely recent
transmission histories. situation with SWSV might closely match that of Sugarcane yellow
leaf virus (SCYLV), which remained unnoticed for at least 30
years during its spread throughout the world [49]. In order to
accurately determine the potential economic impacts of the
dissemination of SWSV, additional studies assessing the pathoge-
nicity of this virus are certainly warranted. Given the relatively high degrees of sequence divergence
observed between the different SWSV isolates described here
(,9%), it is plausible that the natural geographical range of SWSV
is broader than just the Nile basin. Also, the global dissemination
of sugarcane cuttings, the absence of SWSV diagnostic tools, and
the fact that SWSV induces, at least in one case, extremely mild
symptoms in sugarcane imply that SWSV may have already been
unknowingly
distributed
throughout
the
sugarcane
growing
regions of the world. The failure of established sugarcane
quarantine diagnostics in this regard provides a dramatic example
of how potentially pathogenic viruses can evade the screening
procedures of quarantine facilities and may spread worldwide
through international plant material exchanges. In this regard the Our study stresses both the potential advantages of NGS-based
virus metagenomic screening in a plant quarantine setting, and the
need to better assess viral diversity within plants that are destined
for exotic habitats. It indicates that a combination of sequence-
independent NGS-based partial viral genome sequencing coupled
with sequence-dependent Sanger-based full genome cloning and
sequencing is likely to reduce the number of non-intercepted virus
pathogens passing through plant quarantine stations, while at the
same time alerting authorities to the presence and potential spread
of viruses with unknown pathogenic potentials. July 2014 | Volume 9 | Issue 7 | e102945 References Willner D, Hugenholtz P (2013) From deep sequencing to viral tagging: recent
advances in viral metagenomics. Bioessays 35: 436–442. 23. Simmons HE, Dunham JP, Stack JC, Dickins BJ, Pagan I, et al. (2012) Deep
sequencing reveals persistence of intra- and inter-host genetic diversity in natural
and greenhouse populations of zucchini yellow mosaic virus. J Gen Virol 93:
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and Evolution 25: 1253–1256. 16. Kreuze JF, Perez A, Untiveros M, Quispe D, Fuentes S, et al. Viral Metagenomics in a Plant Quarantine Context Viral Metagenomics in a Plant Quarantine Context Figure S5
Reverse transcriptase priming and amplifi-
cation of nucleic acids were carried out in order to
detect the rep gene C-sense intronic region. (A) Agarose gel
detection of presence of a mixture of spliced and non-spliced
complementary sense mRNA transcripts. 1: 1 Kb ladder; 2:
Reverse transcriptase priming and amplification of nucleic acids
without
DNase
treatment
of
extracted
RNAs;
3:
Reverse
transcriptase priming and amplification of nucleic acids with
DNase treatment of extracted RNAs. (B) 66 nt long SWSV intron
nucleotidic sequence and splice donor and acceptor sites. The
sequence of the intron (in lower case) and its flanking exons (upper
case) are shown. The 59 (donor) and 39 (acceptor) splice sites are
underlined (lower case). Supporting Information Figure S1
(A) Genome coverages obtained after a posteriori
mapping against the complete genome of SSEV of reads produced
by Illumina (siRNA sequencing). The genomic organization of
SSEV is schematically shown at the top of the figure. (B) Size
distribution of sequenced siRNAs obtained from the VARX plant
mapping on the V1–V2 ORFs region of SSEV. Histograms
represent the number of siRNA reads in each size class. and (C)
Size distribution reads mapping on C1–C2 ORFs region of SSEV. (TIF) Figure S1
(A) Genome coverages obtained after a posteriori
mapping against the complete genome of SSEV of reads produced
by Illumina (siRNA sequencing). The genomic organization of
SSEV is schematically shown at the top of the figure. (B) Size
distribution of sequenced siRNAs obtained from the VARX plant
mapping on the V1–V2 ORFs region of SSEV. Histograms
represent the number of siRNA reads in each size class. and (C)
Size distribution reads mapping on C1–C2 ORFs region of SSEV. (TIF) References 17. Al Rwahnih M, Daubert S, Golino D, Rowhani A (2009) Deep sequencing
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sequencing of Hop stunt viroid-derived small RNAs from cucumber leaves and
phloem. Mol Plant Pathol 11: 347–359. 6. van der Heijden MG, Bardgett RD, van Straalen NM (2008) The unseen
majority: soil microbes as drivers of plant diversity and productivity in terrestrial
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myco-like DNA viruses discovered in the faecal matter of various animals. Virus
Res 177: 209–216. 7. Li L, Delwart E (2011) From orphan virus to pathogen: the path to the clinical
lab. Curr Opin Virol 1: 282–288. 22. Borucki MK, Chen-Harris H, Lao V, Vanier G, Wadford DA, et al. (2013)
Ultra-Deep Sequencing of Intra-host Rabies Virus Populations during Cross-
species Transmission. PLoS Negl Trop Dis 7: e2555. 8. Mokili JL, Rohwer F, Dutilh BE (2012) Metagenomics and future perspectives in
virus discovery. Curr Opin Virol 2: 63–67. 9. (TIF) Table S1
List of the sugarcane varieties from the
CIRAD Sugarcane Quarantine Station (SQS) that were
screened for the presence of all known sugarcane-
infecting mastreviruses and SWSV. (DOC) Figure S3
(A) Maximum-likelihood phylogenetic tree of six
SWSV isolates. The six isolates can be classified into 3 strains,
SWSV-A (VARX, USDA), -B (B0069, D0005, E0144) and -C
(A0037). (B) Genome-wide pairwise nucleotide similarity score
matrix, the 94% strain demarcation threshold set by the
Geminivirus study group of the ICTV (Muhire et al. 2013) is
indicated (green coloured below 94% and pink-red coloured above
94%). Figure S4
Symptoms caused by SWSV on B0065, B0069
and D0005 plants. Conceived and designed the experiments: TC DF PR. Performed the
experiments: BM CJ SG GF JHD EF PB. Analyzed the data: TC DF BM
DPM AV PR. Wrote the paper: TC DPM AV PR. Acknowledgments The authors are grateful to Se´bastien Theil for depositing NGS datasets in
GenBank. Figure S2
Two-dimensional genome-wide percentage
pairwise nucleotide identity plot of monocot-infecting
mastreviruses including the six novel SWSV isolates
from this study. Figure S2
Two-dimensional genome-wide percentage
pairwise nucleotide identity plot of monocot-infecting
mastreviruses including the six novel SWSV isolates
from this study. Viral Metagenomics in a Plant Quarantine Context PLOS ONE | www.plosone.org July 2014 | Volume 9 | Issue 7 | e102945 11 Viral Metagenomics in a Plant Quarantine Context Viral Metagenomics in a Plant Quarantine Context 31. Guindon S, Delsuc F, Dufayard JF, Gascuel O (2009) Estimating maximum
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of Viruses in Sweetpotato from Honduras and Guatemala Augmented by Deep-
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y
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37. Itaya A, Zhong X, Bundschuh R, Qi Y, Wang Y, et al. References (2009) Complete
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protein evolution. Bioinformatics 21: 2104–2105. PLOS ONE | www.plosone.org July 2014 | Volume 9 | Issue 7 | e102945 July 2014 | Volume 9 | Issue 7 | e102945 12 Viral Metagenomics in a Plant Quarantine Context (2007) A structured viroid
RNA serves as a substrate for dicer-like cleavage to produce biologically active
small RNAs but is resistant to RNA-induced silencing complex-mediated
degradation. J Virol 81: 2980–2994. 47. Kraberger S, Thomas JE, Geering AD, Dayaram A, Stainton D, et al. (2012)
Australian monocot-infecting mastrevirus diversity rivals that in Africa. Virus
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escape from RNA interference by evolving an alternative structure in its RNA
genome. Nucleic Acids Res 33: 796–804. 48. Rosario K, Padilla-Rodriguez M, Kraberger S, Stainton D, Martin DP, et al. (2013) Discovery of a novel mastrevirus and alphasatellite-like circular DNA in
dragonflies (Epiprocta) from Puerto Rico. Virus Res 171: 231–237. g
39. Varsani A, Monjane AL, Donaldson L, Oluwafemi S, Zinga I, et al. (2009)
Comparative analysis of Panicum streak virus and Maize streak virus diversity,
recombination patterns and phylogeography. Virol J 6: 194. 49. Komor E, ElSayed A, Lehrer AT (2010) Sugarcane yellow leaf virus
introduction and spread in Hawaiian sugarcane industry: Retrospective
epidemiological study of an unnoticed, mostly asymptomatic plant disease. European Journal of Plant Pathology 127: 207–217. recombination patterns and phylogeography. Virol J 6: 194. 40. Voinnet O (2005) Induction and suppression of RNA silencing: insights from
viral infections. Nat Rev Genet 6: 206–220. PLOS ONE | www.plosone.org July 2014 | Volume 9 | Issue 7 | e102945 PLOS ONE | www.plosone.org 13
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https://openalex.org/W3010365485
|
https://europepmc.org/articles/pmc7212197?pdf=render
|
English
| null |
Targeting alveolar macrophages shows better treatment response than deletion of interstitial macrophages in EGFR mutant lung adenocarcinoma
|
Immunity, inflammation and disease
| 2,020
|
cc-by
| 4,414
|
Received: 1 November 2019 |
Revised: 17 January 2020 |
Accepted: 14 February 2020 Received: 1 November 2019 |
Revised: 17 January 2020 |
Accepted: 14 February 2020 Received: 1 November 2019 |
Revised: 17 January 2020 |
Accepted: 14 February 2020
DOI: 10.1002/iid3.293 DOI: 10.1002/iid3.293 O R I G I N A L R E S E A R C H O R I G I N A L R E S E A R C H Abstract Abstract
Introduction: Alveolar macrophages (AMs) are critical in the development of
lung adenocarcinoma driven by epidermal growth factor receptor (EGFR)
mutations. Whether interstitial macrophages (IMs) are also involved in lung
tumorigenesis is still unclear. Thus, the aim of this study is to evaluate the role
of both AM and IM in the development of EGFR mutant driven lung
adenocarcinoma. 2Translational Lung Research Center
Heidelberg (TRLC), German Center for
Lung Research (DZL), Heidelberg,
Germany Kristina Alikhanyan1
|
Yuanyuan Chen1
|
Simone Kraut1
|
R 1Department of Molecular Thoracic
Oncology, German Cancer Research
Center, Heidelberg, Germany
2Translational Lung Research Center
Heidelberg (TRLC), German Center for
Lung Research (DZL), Heidelberg,
Germany 1Department of Molecular Thoracic
Oncology, German Cancer Research
Center, Heidelberg, Germany - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
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.
© 2020 The Authors. Immunity, Inflammation and Disease published by John Wiley & Sons Ltd.
Abbreviations: AMs, alveolar macrophages; IMs, interstitial macrophages; IT, intratracheal; IV, intravenous; NSCLC, non–small cell lung cancer. Immun Inflamm Dis. 2020;8:181–187. Correspondence p
Rocio Sotillo, Department of Molecular
Thoracic Oncology, German Cancer
Research Center, 69120 Heidelberg,
Germany. Methods: We used the EGFR mutant doxycycline‐inducible mouse model of
lung
adenocarcinoma
to
deplete
interstitial
or
AMs
by
clodronate‐
encapsulated liposomes administered intravenously (IV) and intratracheally
(IT), respectively. Tumor burden, AMs, and the tumor microenvironment
were examined by immunohistochemistry, bronchoalveolar lavage fluid or
flow cytometry. Email: r.sotillo@dkfz-heidelberg.de Results: Clodronate treatment resulted in a significant reduction of tumor
burden compared with vehicle liposomes alone. Elimination of AMs re-
sulted in a significant reduction of proliferation compared with IV treat-
ment. However, both treatments resulted in a significantly higher number
of Ki67 positive cells compared with control mice, suggesting that tumor
cells still proliferate despite the treatment. The number of natural killer
cells decreased during tumor development, and it remained low even after
the elimination of AMs. We also observed that IT instillation of clodronate
significantly increased the number of CD8+ T cells, which was higher
compared with vehicle‐treated mice and mice where only IMs were de-
pleted. The similar trend was observed in immunohistological analyses of
CD8+ T cells. Conclusions: These results suggest that the reduction of AMs has a stronger
impact on restricting tumor progression compared with targeting IMs. The
depletion of AMs leads to an elevated infiltration of CD8+ T cells into the lung Immun Inflamm Dis. 2020;8:181–187. wileyonlinelibrary.com/journal/iid3
|
181
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
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. Kristina Alikhanyan1
|
Yuanyuan Chen1
|
Simone Kraut1
|
Rocio Sotillo1,2 hanyan1
|
Yuanyuan Chen1
|
Simone Kraut1
|
Rocio Sotillo1,2 2.1
|
Animals All animal studies were performed at the DKFZ animal
facilities, with ethical approval from the corresponding
Animal Welfare and Ethical Review Bodies and national
and
European
legislation. Bitransgenic
tetracycline‐
inducible human EGFRL858R (TetO‐EGFRL858R) animals
together with a reverse tetracycline transactivator (rtTA)
driven by the Clara cell secretory protein (CCSP) pro-
moter were used.10 Control group carried only CCSP‐
rtTA. When mice were 4 weeks old, they were fed with
doxycycline‐impregnated food pellets (625 ppm; Harlan
Laboratories) to express the EGFR mutant transgene. TetO‐EGFRL858R and CCSP‐rtTA transgenic mice were
genotyped as described by Politi et al.10 Only mice with
proven expression of EGFRL858R in lung tissue by quan-
titative polymerase chain reaction were included in the
study (data not shown). During the past decades, many researchers have
shifted their focus from the malignant cancer cell itself
to the tumor microenvironment and their complex in-
teractions. Macrophages are one of the dominating
immune cells in the tumor microenvironment and in
response to different stimuli, they can alter their phe-
notypes having extremely different effects on tumor-
igenesis.5 There are two main types of macrophages:
the classically activated M1 which are involved in the
inflammatory response and antitumour immunity and
M2 that perform anti‐inflammatory and protumori-
genic activities.6 Tumor‐associated macrophages clo-
sely resemble the M2‐polarized macrophages and their
density negatively correlates with NSCLC patient sur-
vival.7 Besides their phenotype, lung macrophages are
classified based on their anatomical location into three
types: alveolar macrophages (AMs), interstitial mac-
rophages (IMs), and intravascular/marginated vascular
macrophages.8 K E Y W O R D S alveolar macrophages, clodronate liposomes, EGFR mutation, interstitial macrophages,
lung cancer 2
|
METHODOLOGY Fifteen percent of lung adenocarcinomas are driven by
epidermal growth factor receptor (EGFR) mutations.1
Targeted therapy revolutionized the treatment of EGFR
mutant non–small cell lung cancer (NSCLC) with im-
proved response rates over standard chemotherapy,
and has become the standard first‐line treatment for
patients harboring EGFR mutations.2 However, re-
sistance often occurs3 due to which the 5‐year survival
rate of patients carrying EGFR mutations almost did
not change.4 Therefore, there is an urgent need to de-
velop new strategies to improve long‐term outcomes
for this disease. 2.2
|
Treatments Clodronate
(dichloromethylene
diphosphonate)
en-
capsulated liposomes or phosphate buffer saline (PBS)
control
liposomes
were
purchased
from
www. clodronateliposomes.org. To deplete IMs, when mice
started receiving doxycycline food (4 weeks old), 10 µL/g
clodronate‐liposome or vehicle (PBS control liposomes)
were administered via intravenous route every 4th day
for 30 days. To eliminate AMs, under brief anesthesia, a
bolus (50 µL) of a suspension of liposome‐encapsulated
clodronate or vehicle was injected intratracheally (IT)
every 4th day for 30 days (Figure 1A). Oncogenic EGFR signaling results in the expansion of an
overwhelming number of AMs with an immunosuppressive
phenotype, and their selective depletion results in a dramatic
decrease of tumor burden.9 Nevertheless, the role of IMs in
the progression of EGFR mutant lung adenocarcinoma re-
mains undefined and is not known if the reduction of IMs
could have an increased effect on tumor burden reduction
compared to AMs. Correspondence © 2020 The Authors. Immunity, Inflammation and Disease published by John Wiley & Sons Ltd. Abbreviations: AMs, alveolar macrophages; IMs, interstitial macrophages; IT, intratracheal; IV, intravenous; NSCLC, non–small cell lung cancer. wileyonlinelibrary.com/journal/iid3 181 182 ALIKHANYAN ET AL. that might be responsible for tumor growth impairment. Altogether, elim-
ination of AMs is a better strategy to reduce EGFR mutant tumor growth and is
less toxic, suggesting the selectively targeting of AMs to complement estab-
lished therapies. 2.3
|
Histology Mice were euthanized by cervical dislocation per institutional
guidelines. Lungs were cleared of circulating blood cells by ALIKHANYAN ET AL. 183 ANYAN ET AL. FIGURE 1
A, Schematic representation of the experiment. Control group carries only CCSP‐rtTA. Experimental groups of
bitransgenic TetO‐EGFRL858R/CCSP‐rtTA animals were randomized to receive either PBS‐liposomes IV or IT (vehicle group); clodrona
liposomes IV (clodronate IV group) or IT (clodronate IT group). When mice were 4 weeks old, all groups were fed with doxycycline‐
impregnated food for 30 days and were euthanized at 8‐week‐old age. During the doxycycline‐receiving period, every 4th day PBS‐liposom
IV and IT, clodronate‐liposomes intravenously and intratracheally were given to vehicle group, clodronate IV group and clodronate I
group, respectively. B, Tumor burden of control and experimental groups of mice with EGFRL858R‐driven lung adenocarcinoma, measu
by lung weight and (c) number of nuclei per mm2. Data are presented as mean ± SEM (control, n = 5; vehicle, n = 8; clodronate IV, n =
clodronate IT, n = 7). *P < .05, **P < .01, ****P < .001 (one‐way ANOVA, Tukey's multiple comparisons). D, Representative micro‐CT
images of control mice (upper panel) showing the normal lung tissue (L) and vehicle‐treated mice (lower panel) with tumors (T). E,
Representative histological sections of the lungs stained with hematoxylin and eosin. Scale bar = 100 μm, insert 20 μm. ANOVA, analysi
variance; CCSP‐rtTA, Clara cell secretory protein‐reverse tetracycline transactivator; CT, computed tomography; EGFR, epidermal grow
factor receptor; IT, intratracheal; IV, intravenous; PBS, phosphate buffer saline
ALIKHANYAN ET AL. | FIGURE 1
A, Schematic representation of the experiment. Control group carries only CCSP‐rtTA. Experimental groups of
bitransgenic TetO‐EGFRL858R/CCSP‐rtTA animals were randomized to receive either PBS‐liposomes IV or IT (vehicle group); clodronate‐
liposomes IV (clodronate IV group) or IT (clodronate IT group). When mice were 4 weeks old, all groups were fed with doxycycline‐
impregnated food for 30 days and were euthanized at 8‐week‐old age. During the doxycycline‐receiving period, every 4th day PBS‐liposomes
IV and IT, clodronate‐liposomes intravenously and intratracheally were given to vehicle group, clodronate IV group and clodronate IT
group, respectively. B, Tumor burden of control and experimental groups of mice with EGFRL858R‐driven lung adenocarcinoma, measured
by lung weight and (c) number of nuclei per mm2. Data are presented as mean ± SEM (control, n = 5; vehicle, n = 8; clodronate IV, n = 8;
clodronate IT, n = 7). 2.3
|
Histology *P < .05, **P < .01, ****P < .001 (one‐way ANOVA, Tukey's multiple comparisons). D, Representative micro‐CT
images of control mice (upper panel) showing the normal lung tissue (L) and vehicle‐treated mice (lower panel) with tumors (T). E,
Representative histological sections of the lungs stained with hematoxylin and eosin. Scale bar = 100 μm, insert 20 μm. ANOVA, analysis of
variance; CCSP‐rtTA, Clara cell secretory protein‐reverse tetracycline transactivator; CT, computed tomography; EGFR, epidermal growth
factor receptor; IT, intratracheal; IV, intravenous; PBS, phosphate buffer saline Antibodies against CD8 T cells (1:100; 14‐0808‐80;
Thermo Fisher Scientific) and Ki67 (ready‐to‐use; 275R‐18;
Medac) were used for immunohistochemical analysis. Ten
regions of interest of 1 mm2 each per section were analyzed
(Figure
S2). The
sections
were
counterstained
with
hematoxylin. Images were acquired with a TG3‐951I perfusion of the right ventricle with PBS, and the whole
lungs were excised and embedded in paraffin. Lung tissues
were cut into 5 μm sections and stained with hematoxylin
and eosin to assess the lung pathological changes using light
microscopy. The number of nuclei was counted using the
StrataQuest Analysis Software. 184 ALIKHANYAN ET AL. TissueFAXS‐i‐plus (fluorescence and bright‐field) system for
the scanning and analysis of slides and analyzed with
StrataQuest Analysis Software. Bars indicate magnifications. PET/SPECT/CT; Siemens) in the Core Facility Small
Animal Imaging of DKFZ. The mice were anesthetized
with sevoflurane
(2.5%
vol/vol)
for
immobilization. The total anesthetic duration per mouse was less than
60 minutes. PET/SPECT/CT; Siemens) in the Core Facility Small
Animal Imaging of DKFZ. The mice were anesthetized
with sevoflurane
(2.5%
vol/vol)
for
immobilization. The total anesthetic duration per mouse was less than
60 minutes. 2.5
|
Flow cytometry Whole lungs were dissociated into single‐cell suspensions
using the gentleMACS Dissociator. Red blood cell lysing
buffer (Sigma‐Aldrich) was used for red cell lysis. Lung cells were blocked with anti‐mouse CD16/32
(101319; Biolegend) and then stained with antibodies
PerCP anti‐mouse/human CD11b (101229; Biolegend),
Brilliant Violet 421 anti‐mouse F4/80 (123137; Biolegend),
APC/Cy7 anti‐mouse CD45 (103116; Biolegend), PerCP/
Cy5.5 anti‐mouse CD11c (117328; Biolegend), PE Siglec‐F
(552126; BD Biosciences), PerCP/Cy5.5 anti‐mouse CD4
(100540; Biolegend), PE/Cy7 anti‐mouse CD3ε (100320;
Biolegend), Brilliant Violet 421 anti‐mouse CD335 (NKp46)
(137612; Biolegend), APC anti‐mouse CD8a (100712; Bio-
legend), Brilliant Violet 421 anti‐mouse Ly‐6G/Ly‐6C (Gr1)
(108433; Biolegend) and Zombie Aqua Fixable Viability Kit
(423102; Biolegend). Flow cytometric data acquisition was
performed on BD FACS Canto II machine and data ana-
lysis was performed using FlowJo software. Gating for CD45+AquaZombie−Siglec‐F+CD11c+Gr1−
cells was used for AMs; CD45+AquaZombie−F4/80+CD11b
+Gr1−for IMs CD45+AquaZombie−NKp46+ for natural
killer (NK) cells, CD45+AquaZombie−CD3+CD8+ for CD8
T cells. 3
|
RESULTS Taking advantage of an animal model in which mutant
EGFR is expressed in the lung after doxycycline ex-
posure,10 we studied the role of macrophages during tu-
morigenesis by using clodronate‐encapsulated liposomes,
an efficient reagent for the selective reduction of mac-
rophages. To exclusively deplete AMs, we administered
clodronate IT to avoid systemic circulation. For the sys-
temic depletion of myeloid cells in the lung, bone mar-
row, liver, spleen, and other tissues clodronate liposomes
were given intravenously (IV)11 (Figure 1A). To test
whether AMs and IMs are equally involved in tumor
growth and survival, we assessed tumor burden in mice
both by lung weight (Figure 1B) and the number of nu-
clei/mm2 (Figure 1C). EGFR mutant mice fed with dox-
ycycline food for 30 days and receiving vehicle liposomes
presented a dramatic increase in tumor burden compared
with control animals which did not express mutant
EGFR, shown by increased lung weight (Figure 1B), in-
creased number of nuclei/mm2 (Figure 1C) or micro‐CT
scan of the entire lung (Figure 1D). Interestingly, 4 weeks
of clodronate treatment IT as well as IV resulted in a
significant reduction of tumor burden compared with
vehicle liposomes alone, though the lowest tumor burden
was observed in IT‐treated mice (Figures 1B,C,E and S1). To further ascertain that clodronate treatment reduced
the number of macrophages, we counted the absolute
number of AMs in the BALF and performed FACS ana-
lyses of IMs. As already described by Wang et al9 the
number of AMs increased significantly when mice were
fed doxycycline for 4 weeks from an average of 0.5136
million AMs in the lungs of control mice (no EGFR ex-
pression) to 10.73 million (EGFR mutant expressing an-
imals)
(Figure
2A). As
expected,
IT
injection
of
clodronate significantly reduced AMs (1.439 million) 2.7
|
Statistical analysis The trachea was cannulated and ice‐cold 0.6 mM ethylene-
diaminetetraacetic acid in PBS (1 mL) was instilled slowly
into the lungs. The suspension was then removed and the
washout was repeated eight times. The bronchoalveolar la-
vage fluid (BALF) was centrifuged for 10 minutes at
2000 rpm and the cell pellets were pooled and resuspended
in 1 mL of PBS. The total number of living cells in BALF was
counted with a Cellometer using trypan blue staining. Hundred cells were analyzed by fluorescence‐activated cell
sorting (FACS) for AMs and the percentage was extrapolated
to a total number of AMs in the BALF. Statistical significance was calculated by one‐way analy-
sis of variance (ANOVA). Data were analyzed using
GraphPad Prism 8 (GraphPad software). We considered
all P values .05 as significant. The data shown in each
figure represent the mean of three or more independent
experiments. 2.6
|
Micron‐scale computed
tomography Micro‐computed tomography (CT) examinations were
performed on a special small animal scanner (Inveon ALIKHANYAN ET AL. 185 while IV administration resulted also in a significant re-
duction of macrophages (4.635 million), although less
pronounced. In
addition,
the
number
of
IMs
(Figure 2B,C) was much lower in the IV‐treated group
compared with the other groups. Importantly, the per-
centage of IMs was high in vehicle‐treated animals and it
stayed at the same level in IT‐treated ones, despite the
reduction in tumor burden. Next, to better understand
whether the reduction of macrophages by clodronate
treatment resulted only in the killing of tumor cells or
whether it had an effect on proliferation, we measured
the percentage of Ki67 stained cells among the different
groups (Figures 2D,E and S2). As expected, the percen-
tage of Ki67 positive cells in the samples with continuous
EGFR signaling (vehicle liposomes) was significantly
higher
(2.45% ± 0.214%) than
in
the
control
group
(0.15% ± 0.017%) (Figure 2E). Elimination of AMs by IT
treatment of clodronate resulted in a significant reduc-
tion in Ki67 positive cells (0.75% ± 0.068%) compared
with IV treatment (1.57% ± 0.136%), which can explain
the lower tumor burden in IT‐treated group compared
with IV‐treated one. Notably, both treatments resulted in a significantly higher number of Ki67 positive cells
compared with control mice, suggesting that tumor cells
still proliferate despite the treatment (Figure 2D,E), al-
though significantly less than in a vehicle‐treated group. To characterize the immune landscape of lung tissues
after the elimination of AMs or IMs, we performed flow
cytometry analysis of NK cells, CD3+ T cells, and CD8+
T cells. As shown in Figure 3A,B, the number of NK cells
decreased during tumor development, and it remained
low even after the elimination of AMs. However, we
observed that IT instillation of clodronate significantly
increased the number of T cells (Figures 3A and 3C),
mainly CD8+ T cells, which was significantly higher
compared with vehicle‐treated mice and mice where only
IMs were depleted (Figure 3D). To validate these data, we
further analyzed CD8+ T cells by immunohistochemistry
(Figure 3E,F) and observed a similar trend, suggesting
that elimination of AMs indeed increased cytotoxic
CD8+ T‐cell infiltration in the lung, which might explain
the lower tumor burden of this group. 2.6
|
Micron‐scale computed
tomography Altogether, elim-
ination of AMs suggests a better strategy to reduced
EGFR mutant tumor growth and in addition less toxic FIGURE 2
A, Absolute number of AMs in bronchoalveolar lavage fluid (BALF). B, Representative flow cytometry plots of the gating
strategy, (upper panel), live CD45+ and Gr1−were then analyzed for CD11b and F4/80 expression (lower panel). Gates were set based on
background staining in fluorescence minus one controls. C, Data from three independent experiments are summarized as mean ± SEM and
plotted in the bar graph (control, n = 5; vehicle, n = 8; clodronate IV n = 8; clodronate IT, n = 7). *P < .05, **P < .01, ****P < .001 (one‐way
ANOVA, Tukey's multiple comparisons). D, Representative histological sections of the lungs showing Ki67 positive cellular staining. Scale
bar = 100 μm, insert 20 μm. E, Percentage of Ki67+ cells. Ten regions of interest of 1 mm2 per mouse were analyzed with a minimum of
100.000 cells counted per condition. Values represent mean ± SEM; n = 4 mice per group. AM, alveolar macrophage; ANOVA, analysis of
variance; IT, intratracheal; IV, intravenously FIGURE 2
A, Absolute number of AMs in bronchoalveolar lavage fluid (BALF). B, Representative flow cytometry plots of the gating
strategy, (upper panel), live CD45+ and Gr1−were then analyzed for CD11b and F4/80 expression (lower panel). Gates were set based on
background staining in fluorescence minus one controls. C, Data from three independent experiments are summarized as mean ± SEM and
plotted in the bar graph (control, n = 5; vehicle, n = 8; clodronate IV n = 8; clodronate IT, n = 7). *P < .05, **P < .01, ****P < .001 (one‐way
ANOVA, Tukey's multiple comparisons). D, Representative histological sections of the lungs showing Ki67 positive cellular staining. Scale
bar = 100 μm, insert 20 μm. E, Percentage of Ki67+ cells. Ten regions of interest of 1 mm2 per mouse were analyzed with a minimum of
100.000 cells counted per condition. Values represent mean ± SEM; n = 4 mice per group. Rocio Sotillo
http://orcid.org/0000-0002-0855-7917 Rocio Sotillo
http://orcid.org/0000-0002-0855-7917 Rocio Sotillo Rocio Sotillo DATA AVAILABILITY STATEMENT since IV injection of clodronate was accompanied by
pathological changes in spleen and liver (Figure S3A‐D),
hinting its high toxicity. All data is shown within the manuscript, figures, and
Supporting Information. Our data show that AMs play a more potent role in
driving EGFR mutant lung adenocarcinoma development
compared with IMs. Moreover, depletion of AMs in the
lung results in an elevated number of CD8+ T‐cell in-
filtration, tumor cell killing, and better prognosis after
treatment. Therefore, selectively targeting alveolar rather
than IMs will help to progress the development of specific
AM‐targeted therapies which can add complementary
benefits to established therapies. REFERENCES 1. Tfayli AH, Fakhri GB, Assaad Al MS. Prevalence of the
epidermal growth factor receptor mutations in lung ade-
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Micron‐scale computed
tomography E, Representative images of lung tissues
stained for anti‐CD8. Scale bar = 20 μm. F, Percentage of CD8+ T cells. Values
represent mean ± SEM; n = 4 mice per
group. All data in B‐D are presented as
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*P < .05, **P < .01, ***P < .001 (one‐way
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|
Micron‐scale computed
tomography AM, alveolar macrophage; ANOVA, analysis of
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pathological changes in spleen and liver (Figure S3A‐D),
hinting its high toxicity
DATA AVAILAB
All data is shown
Supporting Inform
186
| FIGURE 3
A, Representative
cytometry plots of the gating strateg
panel), live CD45+ cells were then
for NKp46 and CD3 (lower left pan
CD8 and CD4 cells (lower right pa
B, Percentage of NKp46+ cells out
CD45+ cells. C, Percentage of CD3
in alive CD45+ cells and (D) perce
CD8+ T cells out of CD3+ T cells. E, Representative images of lung ti
stained for anti‐CD8. Scale bar = 20
F, Percentage of CD8+ T cells. Val
represent mean ± SEM; n = 4 mice
group. All data in B‐D are presente
mean ± SEM (control, n = 5; vehicl
clodronate IV n = 8; clodronate IT,
*P < .05, **P < .01, ***P < .001 (one
ANOVA, Tukey's multiple compar
ANOVA, analysis of variance; IT,
intratracheally; IV, intravenously; N
natural killer
186
|
ALIKHAN | | ALIKHANYAN ET AL. 186 FIGURE 3
A, Representative flow
cytometry plots of the gating strategy, (upper
panel), live CD45+ cells were then analyzed
for NKp46 and CD3 (lower left panel) or for
CD8 and CD4 cells (lower right panel). B, Percentage of NKp46+ cells out of alive
CD45+ cells. C, Percentage of CD3+ T cells
in alive CD45+ cells and (D) percentage of
CD8+ T cells out of CD3+ T cells. E, Representative images of lung tissues
stained for anti‐CD8. Scale bar = 20 μm. F, Percentage of CD8+ T cells. Values
represent mean ± SEM; n = 4 mice per
group. All data in B‐D are presented as
mean ± SEM (control, n = 5; vehicle, n = 8;
clodronate IV n = 8; clodronate IT, n = 7);
*P < .05, **P < .01, ***P < .001 (one‐way
ANOVA, Tukey's multiple comparisons). ANOVA, analysis of variance; IT,
intratracheally; IV, intravenously; NK,
natural killer FIGURE 3
A, Representative flow
cytometry plots of the gating strategy, (upper
panel), live CD45+ cells were then analyzed
for NKp46 and CD3 (lower left panel) or for
CD8 and CD4 cells (lower right panel). B, Percentage of NKp46+ cells out of alive
CD45+ cells. C, Percentage of CD3+ T cells
in alive CD45+ cells and (D) percentage of
CD8+ T cells out of CD3+ T cells. macrophages. Clin Cancer Res. 2017;23:778‐788. https://
doi.org/10.1158/1078‐0432.CCR‐15‐2597 3. Sequist LV, Waltman BA, Dias‐Santagata D, et al. Genotypic
and histological evolution of lung cancers acquiring resistance
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Varmus HE. Lung adenocarcinomas induced in mice by mu-
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ceptors. Genes & Development. 2006;20:1496‐1510. https://doi. org/10.1101/gad.1417406 4. Okamoto I, Morita S, Tashiro N, et al. Real world treatment
and outcomes in EGFR mutation‐positive non‐small cell lung
cancer: long‐term follow‐up of a large patient cohort. Lung
Cancer. 2018;117:14‐19. https://doi.org/10.1016/j.lungcan.2018. 01.005 11. Fritz JM, Tennis MA, Orlicky DJ, et al. Depletion of tumor‐
associated macrophages slows the growth of chemically in-
duced mouse lung adenocarcinomas. Front Immunol. 2014;5:
587. https://doi.org/10.3389/fimmu.2014.00587 5. Conway EM, Pikor LA, Kung SHY, et al. Macrophages, in-
flammation, and lung cancer. Am J Respir Crit Care Med. 2016;
193:116‐130. https://doi.org/10.1164/rccm.201508‐1545CI 587. https://doi.org/10.3389/fimmu.2014.00587 6. Chanmee T, Ontong P, Konno K, Itano N. Tumor‐associated
macrophages as major players in the tumor microenvironment. Cancers
(Basel). 2014;6:1670‐1690. https://doi.org/10.3390/
cancers6031670 CONFLICT OF INTERESTS The authors declare that there are no conflict of interests. The authors declare that there are no conflict of interests. ALIKHANYAN ET AL. 187 SUPPORTING INFORMATION Additional supporting information may be found online
in the Supporting Information section. 7. Chen JJ, Yao P‐L, Yuan A, et al. Up‐regulation of tumor
interleukin‐8 expression by infiltrating macrophages: its
correlation with tumor angiogenesis and patient survival in
non‐small cell lung cancer. Clin Cancer Res. 2003;9:729‐737. How to cite this article: Alikhanyan K, Chen Y,
Kraut S, Sotillo R. Targeting alveolar macrophages
shows better treatment response than deletion of
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adenocarcinoma. Immun Inflamm Dis. 2020;8:
181–187. https://doi.org/10.1002/iid3.293 8. Barletta KE, Cagnina RE, Wallace KL, Ramos SI, Mehrad B,
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guishing between marginated, interstitial, and alveolar cells in
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by
alveolar
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https://digitalcommons.unl.edu/cgi/viewcontent.cgi?article=1071&context=chemengall
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English
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Metabolic engineering of the pentose phosphate pathway for enhanced limonene production in the cyanobacterium Synechocysti s sp. PCC 6803
|
Scientific reports
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This Article is brought to you for free and open access by the Chemical and Biomolecular Engineering, Department of at DigitalCommons@University
of Nebraska - Lincoln. It has been accepted for inclusion in Chemical and Biomolecular Engineering -- All Faculty Papers by an authorized
administrator of DigitalCommons@University of Nebraska - Lincoln. University of Nebraska - Lincoln
DigitalCommons@University of Nebraska - Lincoln
Chemical and Biomolecular Engineering -- All
Faculty Papers
Chemical and Biomolecular Engineering,
Department of University of Nebraska - Lincoln
DigitalCommons@University of Nebraska - Lincoln
Chemical and Biomolecular Engineering -- All
Faculty Papers
Chemical and Biomolecular Engineering,
Department of Lin, Po-Cheng; Saha, Rajib; Zhang, Fuzhong; and Pakrasi, Himadri B., "Metabolic engineering of the pentose phosphate pathway for
enhanced limonene production in the cyanobacterium Synechocystis sp. PCC 6803" (2017). Chemical and Biomolecular Engineering --
All Faculty Papers. 70.t http://digitalcommons.unl.edu/chemengall/70 Metabolic engineering of the
pentose phosphate pathway for
enhanced limonene production in
the cyanobacterium Synechocystis
sp. PCC 6803 Received: 2 November 2017
Accepted: 30 November 2017
Published: xx xx xxxx Received: 2 November 2017
Accepted: 30 November 2017
Published: xx xx xxxx Po-Cheng Lin1, Rajib Saha2,3, Fuzhong Zhang1 & Himadri B. Pakrasi1,2 Isoprenoids are diverse natural compounds, which have various applications as pharmaceuticals,
fragrances, and solvents. The low yield of isoprenoids in plants makes them difficult for cost-effective
production, and chemical synthesis of complex isoprenoids is impractical. Microbial production of
isoprenoids has been considered as a promising approach to increase the yield. In this study, we
engineered the model cyanobacterium Synechocystis sp. PCC 6803 for sustainable production of a
commercially valuable isoprenoid, limonene. Limonene synthases from the plants Mentha spicata and
Citrus limon were expressed in cyanobacteria for limonene production. Production of limonene was
two-fold higher with limonene synthase from M. spicata than that from C. limon. To enhance isoprenoid
production, computational strain design was conducted by applying the OptForce strain design
algorithm on Synechocystis 6803. Based on the metabolic interventions suggested by this algorithm,
genes (ribose 5-phosphate isomerase and ribulose 5-phosphate 3-epimerase) in the pentose phosphate
pathway were overexpressed, and a geranyl diphosphate synthase from the plant Abies grandis was
expressed to optimize the limonene biosynthetic pathway. The optimized strain produced 6.7 mg/L
of limonene, a 2.3-fold improvement in productivity. Thus, this study presents a feasible strategy to
engineer cyanobacteria for photosynthetic production of isoprenoids. Recent studies have demonstrated the potential of using cyanobacteria as biological platforms to produce fuels
and high-value chemicals1,2. Harnessing solar energy using the photosynthetic apparatus, atmospheric CO2 is
fixed into sugars, which can be further converted to desired products by engineered cyanobacteria. Due to the
recent development of genetic tools for model cyanobacteria3, expression of heterologous genes and pathways has
become more feasible, thus facilitating the construction of engineered cyanobacteria for biotechnological applica-
tions. In this study, we engineered the model cyanobacterium Synechocystis sp. PCC 6803 (hereafter, Synechocystis
6803) for production of a commercially valuable isoprenoid, limonene. p
y
p
Isoprenoids are one of the most diverse groups of natural products, with more than 55,000 compounds4. Isoprenoids have multiple commercial applications, including natural pharmaceuticals, nutraceuticals, solvents,
and perfume components5,6. To date, commercially-used isoprenoids are mainly extracted from plants, but the
low quantities of these naturally-produced chemicals have become an impediment for cost-effective produc-
tion. Successful microbial production of valuable isoprenoids by engineered yeast and E. Metabolic engineering of the pentose phosphate
pathway for enhanced limonene production in the
cyanobacterium Synechocystis sp. PCC 6803 Po-Cheng Lin
Washington University Rajib Saha
National University of Singapore, rsaha2@unl.edu Fuzhong Zhang
Washington University
Himadri B. Pakrasi
Washington University, Pakrasi@wustl.edu Fuzhong Zhang
Washington University Himadri B. Pakrasi
Washington University, Pakrasi@wustl.edu Follow this and additional works at: http://digitalcommons.unl.edu/chemengall Lin, Po-Cheng; Saha, Rajib; Zhang, Fuzhong; and Pakrasi, Himadri B., "Metabolic engineering of the pentose phosphate pathway for
enhanced limonene production in the cyanobacterium Synechocystis sp. PCC 6803" (2017). Chemical and Biomolecular Engineering --
All Faculty Papers. 70. htt //di it l
l d / h
ll/70 http://digitalcommons.unl.edu/chemengall/70 www.nature.com/scientificreports www.nature.com/scientificreports Received: 2 November 2017
Accepted: 30 November 2017
Published: xx xx xxxx Metabolic engineering of the
pentose phosphate pathway for
enhanced limonene production in
the cyanobacterium Synechocystis
sp. PCC 6803 The MEP pathway is a seven-step pathway that starts with glyceraldehyde 3-phosphate (GAP) and pyruvate, and
ends with IPP and DMAPP. Further, IPP and DMAPP undergo a series of head-to-tail condensations to produce
diphosphate substrates, which are then converted to isoprenoids by isoprenoid synthases. To increase isoprenoid
production, the amounts of IPP and DMAPP need to be enhanced by increasing the carbon flux toward the MEP
pathway. p
y
Attempts have been made to engineer the MEP pathway for improving cyanobacterial limonene production. However, production titers are extremely low compared to other compounds such as ethanol11, butanol12, and free
fatty acid13. Genes involving in the bottlenecks of the MEP pathway were overexpressed in Synechocystis 680314. The recombinant strain showed a 1.4-fold increase of limonene, and the final titer reached 1 mg/L after 30-day
cultivation14. In addition, researchers used similar strategies to engineer the MEP pathway in the nitrogen-fixing
cyanobacterium Anabaena sp. PCC 7120 for production of limonene15. The limonene yield increased up to
6.8-fold. However, the final titer remained low (0.5 mg/L over 12-day incubation)15. i
A previous in vitro study suggested that isoprenoid production in Synechocystis 6803 is stimulated by com-
pounds in the pentose phosphate (PP) pathway but not by substrates in the MEP pathway16. Using Synechocystis
6803 cell extracts, isoprenoid biosynthesis was significantly improved by supplying xylulose 5-phosphate (X5P)
in the PP pathway, whereas providing substrates (GAP, pyruvate, and MEP) in the MEP pathway showed lower
stimulation of isoprenoid production16. These results indicated a connection between the PP pathway and isopre-
noid production in Synechocystis 6803. p
y
y
In addition to experimental engineering approaches, computational strain design techniques can be useful to
develop non-intuitive genetic interventions to achieve the desired level of production of a particular bioproduct. To this end, the OptForce procedure17 first characterizes the wild-type strain in the form of reaction flux ranges
by utilizing the 13C MFA (Metabolic Flux Analysis) flux estimations as additional regulations. OptForce then con-
trasts the wild-type flux ranges with those in the overproducing phenotype. As a result, the algorithm identifies a
set of genetic interventions (i.e., up/down-regulations and deletions) that must happen in the metabolic reaction
network for a desired level of yield. Finally, OptForce pinpoints the minimal interventions (from these changes)
that are directly related to achieving the desired yield. These strategies can then be tested in an experimental
setting. Metabolic engineering of the
pentose phosphate pathway for
enhanced limonene production in
the cyanobacterium Synechocystis
sp. PCC 6803 coli have been demon-
strated7,8, whereas fewer researchers have studied production of isoprenoids by cyanobacteria. To improve
photosynthetic production of isoprenoids, optimization of isoprenoid biosynthetic pathways in cyanobacteria is
needed using metabolic engineering coupled with computational approaches. g
g
g
p
p
pp
Limonene is a 10-carbon isoprenoid produced by plants. (R)-limonene has a characteristic fragrance of
orange, and commonly exists in the rinds of citrus fruits. It is commercially used as a fragrance in perfumes or a 1Department of Energy, Environmental & Chemical Engineering, Washington University, St. Louis, MO, 63130,
USA. 2Department of Biology, Washington University, St. Louis, MO, 63130, USA. 3Present address: Department of
Chemical & Biomolecular Engineering, University of Nebraska–Lincoln, Lincoln, NE, 68588, USA. Correspondence
and requests for materials should be addressed to H.B.P. (email: Pakrasi@wustl.edu) Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 1 1 www.nature.com/scientificreports/ Figure 1. Schematic representation of engineering Synechocystis 6803 for production of limonene. Codon-
optimized limonene synthases from Mentha spicata and Citrus limon were heterologously expressed in
Synechocystis 6803 to produce S-limonene and R-limonene, respectively. The limonene biosynthetic pathway
was optimized by overexpressing genes in the pentose phosphate (PP) pathway and a geranyl diphosphate
synthase from Abies grandis. G3P, glyceraldehyde 3-phosphate; MEP, methylerythritol-4-phosphate; IPP,
isopentenyl diphosphate; DMAPP, dimethylallyl diphosphate; GPP, geranyl diphosphate; lims, limonene
synthase; gpps, geranyl diphosphate synthase. Figure 1. Schematic representation of engineering Synechocystis 6803 for production of limonene. Codon-
optimized limonene synthases from Mentha spicata and Citrus limon were heterologously expressed in
Synechocystis 6803 to produce S-limonene and R-limonene, respectively. The limonene biosynthetic pathway
was optimized by overexpressing genes in the pentose phosphate (PP) pathway and a geranyl diphosphate
synthase from Abies grandis. G3P, glyceraldehyde 3-phosphate; MEP, methylerythritol-4-phosphate; IPP,
isopentenyl diphosphate; DMAPP, dimethylallyl diphosphate; GPP, geranyl diphosphate; lims, limonene
synthase; gpps, geranyl diphosphate synthase. solvent in cleaning products. (S)-Limonene is a precursor for the biosynthesis of (S)-menthol, which is the major
component of mint. Recently, limonene has been evaluated as a “drop-in” replacement for diesel9 and jet fuels10. The fully hydrogenated form of limonene was used as a diesel additive, exhibiting similar chemical properties
compared to diesel fuel9. Moreover, the physical properties of limonene, such as viscosity, freezing point, and
boiling point, are highly comparable to aviation fuel Jet A-110. g
g y
Cyanobacteria use the methylerythritol 4-phosphate (MEP) pathway to produce isopentenyl pyrophosphate
(IPP) and dimethylallyl pyrophosphate (DMAPP), which are the building blocks for isoprenoid biosynthesis. Results
E
i Engineering Synechocystis 6803 for production of limonene. Limonene is a C10 cyclic isoprenoid
converted from geranyl diphosphate (GPP). Due to the complex nature of carbocation rearrangement from
GPP to limonene, limonene synthase produces not only limonene but also other monoterpenes such as bicyclic
α-pinene and acyclic mycene20. To avoid the production of other unwanted byproducts, we chose limonene syn-
thases which have the highest specificity for limonene production. Based on previous studies, limonene synthase
from Citrus limon and Mentha spicata produce limonene of high purity. Expression of each of these limonene
synthases in E. coli showed that the former produces 99% pure (R)-limonene21, and the latter generates 94% of
(S)-limonene22. The coding sequences of lims were codon optimized for Synechocystis 6803, and the plastid target-
ing sequences were removed23,24. The truncated enzyme is known to have better catalytic activity than the native
protein25. Genes were cloned into a pCC5.2 neutral-site-targeting plasmid and driven by the trc1O promoter for
higher level expression of lims (Fig. 2A). Expression of an enhanced yellow fluorescent protein (EYFP) from the
pCC5.2 endogenous plasmid is 8 to 14 times higher than that on the chromosome26. When the lims was cloned into a suicide plasmid and transformed into E. coli, we found that the gene accu-
mulated random mutations in the E. coli host, leading to changes in amino acid residues or truncated proteins. This was presumably because the lims product is toxic to E. coli cells. To introduce a lims without mutations into
Synechocystis 6803, we circumvented the E. coli cloning step by first cloning the lims into the suicide plasmid via
Gibson assembly, and used the assembled product as template for PCR to amplify the lims cassette flanked by
upstream and downstream homologous sequences of the neutral site in pCC5.226. Subsequently, the PCR product
was directly used for natural transformation into Synechocystis 6803. The lims was introduced into Synechocystis
6803 genome via double homologous recombination (Fig. 2A). DNA sequencing results showed that the lims has
no mutation in Synechocystis 6803 (data not shown). Mutants were fully segregated after re-streaking the cells
several times on BG-11 plates with antibiotics. Limonene production by engineered Synechocystis 6803 was tested by incubating cultures for 7 days. Because
of the volatility of limonene, a dodecane overlay was applied on cultures to collect limonene in the organic layer. Metabolic engineering of the
pentose phosphate pathway for
enhanced limonene production in
the cyanobacterium Synechocystis
sp. PCC 6803 g
In this work, we engineered Synechocystis 6803 for photosynthetic limonene production (Fig. 1). To construct
limonene-producing strains, genes encoding limonene synthase (lims) from Mentha spicata and Citrus limon were
introduced into Synechocystis 6803. For generating computation-driven non-intuitive strain engineering strate-
gies, we applied the OptForce algorithm17 on the genome-scale Synechocystis 6803 model iSyn73118 and also uti-
lized 13C MFA flux estimations19 under photosynthetic wild-type condition. OptForce predicted the up-regulation
of two PP pathway genes, ribose 5-phosphate isomerase (rpi) and ribulose 5-phosphate 3-epimerase (rpe), in
limonene-producing strains in order to divert the carbon flux toward limonene production. Furthermore, based
on the prediction made by OptForce to further improve limonene production, a geranyl diphosphate synthase Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 2 www.nature.com/scientificreports/ Figure 2. Production of limonene by engineered Synechocystis 6803. (A) Introduction of limonene synthases
into a neutral site on endogenous pCC5.2 plasmid to create limonene-producing mutants. (B) Time-course
limonene production. Results were mean ± SD of three biological replicates. lims (Ms), limonene synthase from
M. spicata; lims (Cl), limonene synthase from C. limon; Ptrc1O, trc1O promoter; NS, neutral site; Ter, terminator;
KmR, kanamycin resistance cassette. Figure 2. Production of limonene by engineered Synechocystis 6803. (A) Introduction of limonene synthases
into a neutral site on endogenous pCC5.2 plasmid to create limonene-producing mutants. (B) Time-course
limonene production. Results were mean ± SD of three biological replicates. lims (Ms), limonene synthase from
M. spicata; lims (Cl), limonene synthase from C. limon; Ptrc1O, trc1O promoter; NS, neutral site; Ter, terminator;
KmR, kanamycin resistance cassette. (gpps) from Abies grandis was expressed to optimize the limonene production pathway. The final recombinant
strain led to a 2.3-fold improvement in yield, producing 6.7 mg/L of limonene in 7 days. The metabolic engineer-
ing strategies used in this study demonstrate the feasibility of increasing limonene production in Synechocystis
6803 and can be applied to phototrophic production of other high-value isoprenoids. Results
E
i It
has been reported that over 99% of limonene escapes from the cyanobacterial cultures14, and covering an organic
overlay on cultures had little influence on growth in cyanobacteria23. The limonene yield by the strain expressing
lims from M. spicata was two-fold higher than that by the strain expressing lims from C. limon (Fig. 2B). These
results suggest that the limonene synthase from M. spicata exhibited better catalytic activity in Synechocystis 6803,
and hence, the strain was used for further engineering. Computational modeling. The iSyn731 metabolic model of Synechocystis 680318 was used to perform the
computational strain designs using the OptForce algorithm17 for overproduction of limonene. Based on the cur-
rent understanding as reported in literature16,27, a connection between Calvin Benson Cycle (CBC)/PP pathway
and MEP pathway (Fig. 3) was included in the iSyn731 model. By superimposing the photoautotrophic flux meas-
urements19 of 31 reactions of central carbon metabolism including the CBC and PP pathways of Synechocystis
6803 onto the iSyn731 model, the phenotypic space of the base strain was defined. All simulations were performed Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 3 www.nature.com/scientificreports/ Figure 3. Metabolic interventions predicted by the OptForce algorithm. Up-regulation of rpe, rpi, and gpps
(showed with pink arrows) leads to the improved production yield of limonene. Figure 3. Metabolic interventions predicted by the OptForce algorithm. Up-regulation of rpe, rpi, and gpps
(showed with pink arrows) leads to the improved production yield of limonene. for a basis of 100 millimoles of CO2 plus H2CO3 uptake and unlimited photon supply19. The uptake fluxes for the
remaining metabolites present in the BG11 medium was set to -1,000 and the non-growth associated ATP main-
tenance was set at 8.39 mmole/gDW-h. In addition, the biomass flux was fixed at the optimal value subject to the
experimental flux measurements19. The upper bound of the fluxes of the remaining reactions was set to 1,000
mmole/gDW-h, whereas the lower bound was set to zero and -1,000 mmole/gDW-h for irreversible and reversible
reactions, respectively.l for a basis of 100 millimoles of CO2 plus H2CO3 uptake and unlimited photon supply19. The uptake fluxes for the
remaining metabolites present in the BG11 medium was set to -1,000 and the non-growth associated ATP main-
tenance was set at 8.39 mmole/gDW-h. In addition, the biomass flux was fixed at the optimal value subject to the
experimental flux measurements19. Results
E
i The upper bound of the fluxes of the remaining reactions was set to 1,000
mmole/gDW-h, whereas the lower bound was set to zero and -1,000 mmole/gDW-h for irreversible and reversible
reactions, respectively.l p
y
Similarly, the limonene overproducing phenotype was obtained by maximizing and minimizing each flux of
the metabolic model iteratively subject to the network stoichiometry, uptake and medium conditions, regulatory
constraints, and overproduction target. In this work, a minimum production yield of 85% of the theoretical max-
imum of limonene (i.e., 15.3 mmole/gDW-h) was set as the overproduction target, while the biomass flux was
constrained to be at least 10% of its theoretical maximum (i.e., 0.021 h−1) with the basis of 100 millimoles of car-
bon fixed (i.e., CO2 plus H2CO3). The remaining parameter values including medium conditions and regulatory
constraints were the same as those in the wild-type. By contrasting the maximal range of flux variability between
the wild-type strain and the over-producing strain to meet the pre-specified yield of limonene, OptForce was
used to identify the minimal set of genetic interventions (i.e., deletions and up-/down-regulations). In order to
first explore non-intuitive interventions, reactions from the MEP and isoprenoid biosynthesis pathways were not
considered as the candidates for any form of intervention. Integer cuts were used to identify alternative optimal
solutions (i.e., alternative genetic intervention choices) to achieve the minimum production yield of limonene
as specified earlier. The termination criterion for the OptForce procedure was set as either meeting a production
yield of at least 85% of the theoretical maximum for limonene or exceeding the maximum allowable number of
reaction interventions (i.e., three). Note that the OptForce procedure works at the reaction level, which is why the
set of genetic manipulations can subsequently be identified by using gene-protein-reaction (GPR) associations
from the iSyn731 model. Thus, the OptForce procedure identified up-regulation of rpi and rpe as the best possible
solution, which can lead up to limonene yield at 89% of its theoretical maximum (i.e., 16.02 mmole/gDW-h). By
up-regulating these two genes, OptForce suggested to force more flux from the CBC/PP pathway toward MEP
pathway that can ultimately increase the production yield of limonene (Fig. 3). Once the set of non-intuitive inter-
ventions was obtained, as a next step, it was logical to explore if their combination with any of the intuitive one(s) Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 4 tificreports/
Figure 4. Results
E
i Increased limonene production by genetic modifications. Two genes in the PP pathway (rpi and rpe)
were overexpressed in Synechocystis 6803 to divert carbon flux toward limonene production. The Abies grandis
GPPS 2 that specifically produce GPP was expressed to ensure sufficient GPP for limonene production. Ms,
Mentha spicata; Ag, Abies grandis. Results were mean ± SD of three biological replicates. www.nature.com/scientificreports/ Figure 4. Increased limonene production by genetic modifications. Two genes in the PP pathway (rpi and rpe)
were overexpressed in Synechocystis 6803 to divert carbon flux toward limonene production. The Abies grandis
GPPS 2 that specifically produce GPP was expressed to ensure sufficient GPP for limonene production. Ms,
Mentha spicata; Ag, Abies grandis. Results were mean ± SD of three biological replicates. from the MEP and isoprenoid biosynthesis pathways could further improve the limonene production yield that
was otherwise not possible to achieve individually (i.e., by the non-intuitive candidates or by the intuitive ones). With a target of a minimum production yield of 90% of the theoretical maximum of limonene, the OptForce
procedure identified the up-regulation of gpps, rpe, and rpi that could lead the limonene production yield to 16.56
mmole/gDW.h (i.e., 92% of its theoretical maximum). Thus, the proposed interventions combined the amplifica-
tion (i.e., push) of flux from the CBB/PP pathway to MEP pathway with a similar increase (i.e., pull) in the flux of
the limonene synthesis. As reported in the literature28, this kind of push-and-pull strategy can achieve the desired
level of production yield with minimal effects caused by feedback inhibition. Genetic interventions of the PP pathway to improve limonene production. Based on the predic-
tion of the OptForce procedure, up-regulation of rpi and rpe genes in the PP pathway increases the flux toward
limonene production. To test this hypothesis, the rpi and rpe genes driven by the Synechocystis 6803 native rbcL
promoter were expressed on a replicating plasmid in the limonene-producing strain, resulting in 1.3-fold increase
in limonene yield (3.7 mg/L) after 7 days of cultivation (Fig. 4). Furthermore, we introduced a gene encoding a
specific GPP synthase (GPPS) to optimize the limonene biosynthetic pathway. In Synechocystis 6803, formation
of GPP is catalyzed by a farnesyl diphosphate (FPP) synthase, CrtE. It performs consecutive condensation of
IPP with DMAPP, and only synthesizes GPP as an intermediate29. Results
E
i Although the PP pathway was engineered to
stimulate the limonene yield, it is possible that the native isoprenoids pathway in Synechocystis 6803 provides
insufficient GPP for limonene production since the flux is diverted toward FPP formation for pigment synthesis. In addition, OptForce also predicted an increase (i.e., from 89% to 92% of maximum theoretical limonene yield)
when up-regulation of rpe and rpi was combined with the up-regulation of gpps. It was reported that the GPPS
2 from Abies grandis specifically produces GPP30. Expressing this specific gpps with lims, the limonene yield
increased 1.4-fold (4.1 mg/L) (Fig. 4). Finally, coexpression of rpi, rpe, gpps and lims resulted in a remarkable
(2.3-fold) enhancement in productivity (6.7 mg/L) (Fig. 4). Pigment content in engineered Synechocystis 6803. Carotenoids and the phytol tail of chlorophyll,
photosynthetic pigments, are derived from geranylgeranyl diphosphate (GGPP), a C20-intermediate for isopre-
noid synthesis. Hence, production of limonene is expected to divert carbon flux away from pigment synthesis. To
investigate the effect of limonene production on pigment content in engineered Synechocystis 6803, we extracted
and quantified the chlorophyll and carotenoid contents. The chlorophyll content decreased over 30% in the gpps
expression strains, whereas carotenoid levels were similar among the limonene-producing strains (Fig. 5). These
results indicate that the specific GPPS diverts the carbon flux away from pigment synthesis. Discussion In this study, we combined metabolic engineering with model-driven strain design strategies to engineer
Synechocystis 6803 for enhanced limonene production. To generate limonene-producing Synechocystis 6803, we
first constructed a suicide plasmid26 to engineer the lims into the neutral site on the pCC5.2 endogenous plas-
mid via double homologous recombination. This is the first time that the endogenous plasmid of Synechocystis
6803 has been used for enhanced production for the purpose of metabolic engineering. Expression of a gene
on the pCC5.2 plasmid leads to higher expression level than that on the chromosome as well as the RSF1010 Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 5 www.nature.com/scientificreports/ p
Figure 5. Pigment content of engineered Synechocystis 6803 strains. Chlorophyll and carotenoid contents of
limonene-producing strains. Ms, Mentha spicata; Ag, Abies grandis. Results were mean ± SD of three biological
replicates. Figure 5. Pigment content of engineered Synechocystis 6803 strains. Chlorophyll and carotenoid contents of
limonene-producing strains. Ms, Mentha spicata; Ag, Abies grandis. Results were mean ± SD of three biological
replicates. self-replicating plasmid26. Furthermore, during the stationary phase of cell growth, the copy numbers of the
endogenous plasmids (pCA2.4, pCB2.4, pCC5.2) in Synechocystis 6803 are 3 to 7 per chromosome31. Using the
endogenous plasmid to express the lims gene driven by the constitutive promoter trc1O allows high expression
level at the stationary phase, decoupling growth and production, and thus leading to higher levels of production
of limonene. self-replicating plasmid26. Furthermore, during the stationary phase of cell growth, the copy numbers of the
endogenous plasmids (pCA2.4, pCB2.4, pCC5.2) in Synechocystis 6803 are 3 to 7 per chromosome31. Using the
endogenous plasmid to express the lims gene driven by the constitutive promoter trc1O allows high expression
level at the stationary phase, decoupling growth and production, and thus leading to higher levels of production
of limonene. The higher yield with limonene synthase from M. spicata than that from C. limon may be due to the differ-
ence in enzyme kinetics of LIMS. Unfortunately, the kinetic parameters (both Km and kcat) are only available for
the enzyme from M. spicata25. In addition, it may be attributed to different protein expression levels. Although
the same promoter was used to control the lims from two plant species, protein expression may vary because
of different mRNA sequences and codon usage. To date, the highest reported limonene productivity in cyano-
bacteria was achieved by engineered Synechococcus sp. PCC 700223. Discussion In their study, only a lims from M. spicata
was overexpressed, and the yield was over 4 mg/L in 4 days23. Our results also suggested that the LIMS from M. spicata performed better in limonene production (Fig. 2B). The doubling time of Synechococcus 7002 is shorter than
Synechocystis 680332. Thus, the higher limonene yield from Synechococcus 7002 may be due to its faster growth rate. A recent study engineered Synechococcus elongatus PCC 7942 to produce limonene, achieving a 100-fold improve-
ment in productivity33. However, it should be noted that such significant increase is due to the low productivity of
the original strain, which produced merely 8.5 μg/L/OD/d of limonene. The best producing strain in this study, with
a lims (M. spicata) controlled by the pea plant psbA promoter, produced 2.5 mg/L limonene in 5 days33. (
p
)
y
p
p
p
p
, p
g
y
Previously, researchers have engineered Synechocystis 6803 for limonene production by overexpressing genes
involved in the bottleneck steps of the MEP pathway14. It is known that enzymes 1-deoxy-D-xylulose-5-phosphate
synthase (DXS) and isopentenyl diphosphate isomerase (IDI) catalyze the rate-limiting reactions in the MEP
pathway34,35. With the introduction of an additional copy of endogenous dxs, idi, and gpps genes, the engineered
Synechocystis 6803 produced 1.4-fold higher yield than that of the parent strain14. However, such improvement
was less effective than the strategy used in the current study. As mentioned in the Results section, the endogenous
gpps gene may not be suitable for enhancing the production of limonene. In addition, the MEP pathway is highly
regulated at genetic and metabolic levels36. Expressing endogenous genes in the MEP pathway may be subject to
native regulations, presenting a less effective engineering approach. g
p
gf
g
g pp
Instead of manipulating the MEP pathway, we took a systematic model-driven metabolic engineering
approach for finding genetic interventions in order to increase the limonene production yield. As explained in
the Materials and Methods section, the OptForce procedure finds the minimal interventions to reach a desired
production target. To this end, we employed OptForce on our previously developed genome-scale model iSyn731
in order to ‘push’ more flux to MEP pathway and also to create better ‘pull’ for limonene synthesis (Fig. 3). Discussion From
this in silico analysis, by up-regulating rpe and rpi, the metabolite pool of X5 P was found to be increased that,
eventually, led to increased flux through the connection between the CBC/PP pathway and the MEP pathway. In addition, up-regulation of gpps created an improved ‘pull’ for limonene synthesis. Thus, the combination of
this push-and-pull mechanism was proposed to be the best strategy to improve limonene yield by circumventing
additional regulations (e.g. feedback inhibition). Interestingly, the same rationale could be applied to engineer
cyanobacteria to produce other isoprenoid compounds.i y
p
p
p
Expression of the specific gpps modestly increased the limonene titer (Fig. 4), whereas the cellular chlorophyll con-
tent was greatly influenced (Fig. 5). Synthesis of limonene and the phytol tail of chlorophyll requires the same precur-
sors, IPP and DMAPP. Table 1 compares the changes in chlorophyll and limonene contents between the strain with lims
only and the two gpps-expressing strains. Compared to the lims-expressing strain, additional expression of gpps resulted
in similar level of decrease in chlorophyll content in both strains. However, expression of rpi and rpe genes further led Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 6 www.nature.com/scientificreports/ Strains
lims
lims, gpps
lims, gpps, rpi, rpe
Chlorophyll*
66
49
47
Limonene*
53
81
122
Table 1. Comparison of chlorophyll and limonene contents. *Presented as μM/OD730 isoprenes. Table 1. Comparison of chlorophyll and limonene contents. *Presented as μM/OD730 isoprenes. to 1.5-fold higher limonene productivity in the gpps-expressing strains (122 vs. 81 μM/OD730 isoprene unit). This result
suggests that up-regulation of rpi and rpe enhances the carbon flux toward limonene synthesis. to 1.5-fold higher limonene productivity in the gpps-expressing strains (122 vs. 81 μM/OD730 isoprene unit). This result
suggests that up-regulation of rpi and rpe enhances the carbon flux toward limonene synthesis. gg
g
p
pl
y
Our results showed that overexpressing the genes in the PP pathway led to improved limonene production,
suggesting an unidentified connection between the PP pathway and isoprenoids biosynthesis (Fig. 4). Our obser-
vation is consistent with previous in vitro study using Synechocystis 6803 cell lysate16. However, the connection
between the PP pathway and isoprenoids biosynthesis remains to be elucidated. It was first shown that in vitro
isoprenoid production increased significantly by providing substrates in the PP pathway16, while a recent study
showed that increased production of isoprenoids by PP pathway substrates does not occur through the MEP
pathway37. Chemicals and reagents. i Culture medium and condition. All strains were maintained in liquid BG-11 medium or on solid BG-11
lates with appropriate antibiotics at 30 °C continuous white light (50 μmoles photons m−2s−1). DNA manipulations. Coding sequences of lims from Mentha spicata and Citrus limon were codon opti-
mized for Synechocystis 6803 and synthesized by IDT (San Jose, CA, USA). The genes were cloned into a suicide
plasmid, allowing gene insertion into the neutral site (NSP1) on the endogenous plasmid pCC5.2 in Synechocystis
680326. The constructed plasmids were directly used as templates for PCR to amplify a fragment which con-
tains the lims and a kanamycin resistance cassette flanking by upstream and downstream homologous sequences
of the NSP1 (Fig. 2A). The PCR product was then purified by DNA electrophoresis, and the linear DNA was
transformed into Synechocystis 6803. The rpi, rpe, and gpps genes were cloned into a broad-host-range plasmid
RSF1010 harboring a spectinomycin resistance cassette38. All the cloning works were done by Gibson isothermal
DNA assembly method39. Strains construction and transformation. The lims expression cassette was transformed into
Synechocystis 6803 through homologous recombination. Cells at mid-log phase (OD730 of 0.4 to 0.6) were incu-
bated with 600 ng of linear DNA overnight at 30 °C in the dark. Cells were then grown on BG-11 plates supple-
mented with 10 μg/mL of kanamycin for selection of transformants. Colonies were patched on BG-11 plates with
20 μg/mL of kanamycin for segregation. PCR was used to verify strain segregation. For the construction of rpi,
rpe, and gpps expressing strains, self-replicating plasmids (600 ng per transformation) were transformed into the
strain expressing lims. Transformants were selected by BG-11 plates with 2 μg/mL of spectinomycin and 5 μg/mL
of kanamycin. Limonene production by engineered cyanobacteria. Strains were inoculated in BG-11 medium with
kanamycin (10 μg/mL) and spectinomycin (4 μg/mL) to mid-log phase at 30 °C with continuous white light (50
μmoles photons m−2s−1). Cells were collected by centrifugation at 7,000 x g, and washed by BG-11 medium to
remove antibiotics. To test limonene production, the initial OD730 was adjusted to 0.34 (~0.5 g/L of biomass), and
50 mL of cell cultures were grown in 250-mL flasks at 30 °C with continuous white light (130 μmoles photons
m−2s−1). A 10% (v/v) dodecane overlay was covered on top of cultures to trap evaporated limonene. Quantification of limonene. Discussion By removing the terminal enzyme of the MEP pathway in Synechocystis 6803 cell lysate, isoprenoid
synthesis still increased by substrates in the PP pathway37. Taken together, it is still unclear how the PP pathway
and isoprenoid production are connected in Synechocystis 6803. While our results made a strong argument for
this connection, further investigation needs to be conducted to explore the details in terms of chemical conver-
sions and genes/enzymes associated. From the modeling context, these details sometimes do not make much of a
difference if they only involve aggregating linear reaction steps. Conclusions In this study, we engineered the model cyanobacterium Synechocystis 6803 to produce the isoprenoid, limonene. We applied computational strain design by using the OptForce procedure to identify minimal genetic interven-
tions for improving limonene yield. Based on the prediction, the rpi and rpe genes in the PP pathway were overex-
pressed, and a specific gpps was introduced to optimize the limonene biosynthetic pathway. The final engineered
strain produced 6.7 mg/L of limonene, which is a 2.3-fold improvement in productivity. The approach that we
demonstrated can be applied to engineer cyanobacteria to produce other valuable isoprenoids. Materials and Methods Chemicals and reagents. All chemicals were purchased from Sigma-Aldrich (St. Louis, MO, USA) unless
otherwise specified. Phusion DNA polymerase were purchased from Thermo Fisher Scientific (Waltham, MA,
USA). Identification of engineering interventions via OptForce.
We applied the OptForce algorithm1 Maximize vbiomass or vls
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Nutrients
Light, Carbon source(s), Micro
nutrients
(3
Nutrients
Nutrients
max (3) Step 2: Characterize the wild-type phenotype Step 2: Characterize the wild-type phenotype
Maximize/Minimize
∀∈
v
j
j
reactions without experimental flux measurements
Subject to Step 2: Characterize the wild-type phenotype
Maximize/Minimize
∀∈
v
j
j
reactions without experimental flux measurements
Subject to Maximize/Minimize
∀∈
v
j
j
reactions without experimental flux measurements
Subject to Maximize/Minimize
∀∈
v
j
j
reactions without experimental flux measurements
b ∑
=
∀
∈
… …
=
s v
0
i
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, n
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j
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≤
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v
a v
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j j
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j
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max
∀
∈
−
Nutrients
Light, Carbon source(s), Micro
nutrients
(3)
Nutrients
max ∑
=
∀
∈
… …
=
s v
0
i
1,
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Nutrients
Light, Carbon source(s), Micro
nutrients
(3)
Nutrients
max
≥
v
v
(4)
biomass
biomass
max ∑
=
∀
∈
… …
=
s v
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i
1,
, n
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j
m
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≤
≤
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∈
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v
a v
j
1,
, m
(2)
j j
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j
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≤
∀
∈
−
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v
0
Nutrients
Light, Carbon source(s), Micro
nutrients
(3)
Nutrients
Nutrients
max
≥
v
v
(4)
biomass
biomass
max
3: Characterize the limonene over-producing phenotype
mize/Minimizevj ∀ j ∈ 1, ……,m ≤
≤
∀
∈
… …
a v
v
a v
j
1,
, m
j j
min
j
j j
max ≤
≤
∀
∈
−
v
v
0
Nutrients
Light, Carbon source(s), Micro
nutrients
(3
Nutrients
Nutrients
max (4) ≥
v
v
biomass
biomass
max Step 3: Characterize the limonene over-producing phenotype
Maximize/Minimizevj ∀ j ∈ 1, ……,m
Subject to ∑
=
∀
∈
… …
=
s v
0
i
1,
, n
j
m
ij j
1 ∑
=
∀
∈
… …
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j
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v
a v
j
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j j
max
∀
∈
−
Nutrients
Light, Carbon source(s), Micro
nutrients
(3)
trients
x
≥
. Identification of engineering interventions via OptForce.
We applied the OptForce algorithm1 Identification of engineering interventions via OptForce. We applied the OptForce algorithm on
the genome-scale Synechocystis 6803 model iSyn73118. In order to characterize the wild-type phenotype, we uti-
lized 13C MFA flux estimations19 under photosynthetic condition. Below is the step-by-step procedure that we
followed: ollowed:
tep 1: Identify the maximum biomass and limonene yields under photosynthetic condition. Step 1: Identify the maximum biomass and limonene yields under photosynthetic condition. Step 1: Identify the maximum biomass and limonene yields under photosynthetic condition. www.nature.com/scientificreports/ www.nature.com/scientificreports/ Scientific). The oven temperature program initiated at 60 °C, and increased at 12 °C/min to 300 °C. Limonene was
quantified using a (R)-limonene standard. Scientific). The oven temperature program initiated at 60 °C, and increased at 12 °C/min to 300 °C. Limonene was
quantified using a (R)-limonene standard. Identification of engineering interventions via OptForce. We applied the OptForce algorithm17 on
the genome-scale Synechocystis 6803 model iSyn73118. In order to characterize the wild-type phenotype, we uti-
lized 13C MFA flux estimations19 under photosynthetic condition. Below is the step-by-step procedure that we
followed: Chemicals and reagents. i Limonene samples were prepared by diluting 10 μL of dodecane overlay in
990 μL of ethyl acetate, and analyzed using a gas chromatography instrument with a flame ionization detector
(Hewlett-Packard model 7890 A, Agilent Technologies, CA, USA) equipped with a 30 m DB5-MS column (J&W Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 7 ≤
≤
∀
∈
−
v
v
0
Nutrients
Light, Carbon source(s), Micro
nutrients
Nutrients
Nutrients
max ≤
≤
∀
∈
−
v
v
0
Nutrients
Light, Carbon source(s), Micro
nutrients
Nutrients
Nutrients
max ≥
. v
v
0 1
biomass
biomass
max References Proceedings of the Nationa
Academy of Sciences of the United States of America 109, 6018–6023 (2012).i Lan, E. I. & Liao, J. C. ATP drives direct photosynthetic producti y f
f
f
3. Liu, X., Sheng, J. & Curtiss, R. 3rd Fatty acid production in genetically modified cyanobacteria. Proceedings of the National Academy
of Sciences of the United States of America 108, 6899–6904 (2011). 13. Liu, X., Sheng, J. & Curtiss, R. 3rd Fatty acid production in genetica
of Sciences of the United States of America 108, 6899–6904 (2011). 14. Kiyota, H., Okuda, Y., Ito, M., Hirai, M. Y. & Ikeuchi, M. Engineering of cyanobacteria for the photosynthetic production of
limonene from CO2. Journal of biotechnology 185, 1–7 (2014). limonene from CO2. Journal of biotechnology 185, 1–7 (2014). f
gy
5. Halfmann, C., Gu, L. & Zhou, R. Engineering cyanobacteria for the production of a cyclic hydrocarbon fuel from CO2 and H2O
Green Chemistry 16, 3175–3185 (2014). y
16. Ershov, Y. V., Gantt, R. R., Cunningham Jr, F. X. Jr. & Gantt, E. Isoprenoid biosynthesis in Synechocystis sp. strain PCC6803 is
stimulated by compounds of the pentose phosphate cycle but not by pyruvate or deoxyxylulose-5-phosphate. Journal of bacteriology
184, 5045–5051 (2002). 7. Ranganathan, S., Suthers, P. F. & Maranas, C. D. OptForce: an optimization procedure for identifying all genetic manipulation
leading to targeted overproductions. PLoS Comput Biol 6, e1000744 (2010). 8. Saha, R. et al. Reconstruction and comparison of the metabolic potential of cyanobacteria Cyanothece sp. ATCC 51142 and
Synechocystis sp. PCC 6803. PloS one 7, e48285 (2012). y
y
p
9. Young, J. D., Shastri, A. A., Stephanopoulos, G. & Morgan, J. A. Mapping photoautotrophic metabolism with isotopically
nonstationary 13C flux analysis. Metabolic engineering 13, 656–665 (2011).i yl
y
g
g
(
)
20. Bohlmann, J., Steele, C. L. & Croteau, R. Monoterpene synthases from grand fir (Abies grandis). cDNA isolation, characterization,
and functional expression of myrcene synthase, (−)-(4S)-limonene synthase, and (-)-(1S,5S)-pinene synthase. The Journal of
biological chemistry 272, 21784–21792 (1997). g
y
21. Lucker, J. et al. Monoterpene biosynthesis in lemon (Citrus limon). cDNA isolation and functional analysis of four monoterpene
synthases. European journal of biochemistry / FEBS 269, 3160–3171 (2002). 22. Colby, S. M., Alonso, W. R., Katahira, E. J., McGarvey, D. J. & Croteau, R. 4S-limonene synthase from the oil glands of spearmint
(Mentha spicata). ∑
≤
of direct manipulations
k
# (8) Here, Sij is the stoichiometric coefficient of metabolite i in reaction j and vj is the flux value of reaction j. Parameters vj,min and vj,max denote the minimum and maximum allowable fluxes for reaction j, respectively. Vbiomass
and vls represent biomass and limonene synthesis reactions under photosynthetic conditions, whereas vmax
biomass
and vmax
ls represent the maximum theoretical yields of biomass and limonene under photosynthetic conditions. The minimal levels of biomass and the minimal target yield of limonene were set to be 10% of maximum biomass
and 85% or 90% of maximum limonene yield, respectively. Finally, k represents the maximum number of inter-
ventions allowed. Pigment content analysis. Cell cultures (1 mL) were collected by centrifugation at 16,000 x g for 7 min,
and the supernatants were removed. To extract pigments in Synechocystis, pre-cooled methanol (1 mL) was added
to the pellets, and mixed thoroughly by pipetting and vortexing. Samples were incubated at 4 °C for 20 mins, and
centrifuged at 16,000 x g for 7 min. The supernatants were removed for a spectroph-otometer analysis to quantify
the concentrations of carotenoids and chlorophyll. The following equations were used to calculate the pigment
content:
μ
=
. ×
−
. ×
A
A
chlorophyll ( g/mL)
(16 29
)
(8 54
)
665
552
40;
μ
=
×
−
g
A
carotenoids (
/mL)
[(1000
)
470
µ
. × Chl
g mL
(2 86
[
/
])]/221
a
41. References 1. Oliver, J. W. & Atsumi, S. Metabolic design for cyanobacterial chemical synthesis. Photosynthesis research 120, 249–261 (2014). 1. Oliver, J. W. & Atsumi, S. Metabolic design for cyanobacterial chemical synthesis. Photosynthesis research 120, 249–261 (2014)
2. Angermayr, S. A., Gorchs Rovira, A. & Hellingwerf, K. J. Metabolic engineering of cyanobacteria for the synthesis of comm 1. Oliver, J. W. & Atsumi, S. Metabolic design for cyanobacterial chemical synthesis. Photosynthesis research 120, 249–261 (2014). 2. Angermayr, S. A., Gorchs Rovira, A. & Hellingwerf, K. J. Metabolic engineering of cyanobacteria for the synthesis of comm
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2. Lan, E. I. & Liao, J. C. ATP drives direct photosynthetic production of 1-butanol in cyanobacteria. Identification of engineering interventions via OptForce.
We applied the OptForce algorithm1 v
v
0 1
(5)
biomass
biomass
max
≥
. v
v
0 9
(6)
ls
ls
max ≤
≤
∀
∈
… …
a v
v
a v
j
1,
, m
j j
min
j
j j
max ≤
≤
∀
∈
… …
a v
v
a v
j
1,
, m
j j
min
j
j j
max ≤
≤
∀
∈
−
v
v
0
Nutrients
Light, Carbon source(s), Micro
nutrients
Nutrients
Nutrients
max ≥
. v
v
0 1
biomass
biomass
max ≥
. v
v
0 9
ls
ls
max (6) Step 4: Identify the MUST setsl Step 4: Identify the MUST sets
In this step, fluxes ranging from step 2 and step 3 were compared to identify three different sets: reactions to
be up-regulated (MUSTU), down-regulated (MUSTL), and deleted (MUSTX). Step 5: Identify the minimal engineering interventions p
y
In this step, fluxes ranging from step 2 and step 3 were compared to identify three different sets: reactions to
be up-regulated (MUSTU), down-regulated (MUSTL), and deleted (MUSTX). St
5 Id
tif th
i i
l
i
i
i t
ti g
g
Step 5: Identify the minimal engineering interventions Step 5: Identify the minimal engineering interventions Maximize vj Maximize vj
(over MUST sets)
Subject to
Minimize vj
(over MUST sets)
Subject to
∑
=
∀
∈
… …
=
s v
0
i
1,
, n
(1)
j
m
ij j
1 j
(over MUST sets) Subject to Minimize vj j
(over MUST sets) ∑
=
∀
∈
… …
=
s v
0
i
1,
, n
(1)
j
m
ij j
1 ∑
=
∀
∈
… …
=
s v
0
i
1,
, n
(1)
j
m
ij j
1 (1) 8 Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y www.nature.com/scientificreports/ ≤
≤
∀
∈
… …
a v
v
a v
j
1,
, m
j j
min
j
j j
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35. Wang, C. W., Oh, M. K. & Liao, J. Acknowledgements g
Funding to support this work was provided by the Office of Science (BER), U. S. Department of Energy, to
HBP. PCL was supported by a fellowship from the McDonnell International Scholars Academy at Washington
University. We thank all members of the Pakrasi research group for collegial discussions. Funding to support this work was provided by the Office of Science (BER), U. S. Department of Energy, to
HBP. PCL was supported by a fellowship from the McDonnell International Scholars Academy at Washington
University We thank all members of the Pakrasi research group for collegial discussions References cDNA isolation, characterization, and bacterial expression of the catalytically active monoterpene cyclase. The
Journal of biological chemistry 268, 23016–23024 (1993). Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 9 www.nature.com/scientificreports/ Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y Additional Informationh Competing Interests: The authors declare that they have no competing interests. Competing Interests: The authors declare that they have no competing interests. Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps and
institutional affiliations. Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps an
institutional 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
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copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/. © The Author(s) 2017 Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 10
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English
| null |
Association of early postnatal transfer and birth outside a tertiary hospital with mortality and severe brain injury in extremely preterm infants: observational cohort study with propensity score matching
|
BMJ. British medical journal
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RESEARCH RESEARCH on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloade Kjell Helenius,1,2,3 Nicholas Longford,3 Liisa Lehtonen,1,2 Neena Modi,3 Chris Gale,3
on behalf of the Neonatal Data Analysis Unit and the United Kingdom Neonatal Collabo 1Department of Paediatrics and
Adolescent Medicine, Turku
University Hospital, Turku,
Finland
2Department of Clinical
Medicine, University of Turku,
Turku, Finland
3Section of Neonatal Medicine,
Department of Medicine,
Chelsea and Westminster
campus, Imperial College
London, London SW10 9NH, UK
Correspondence to: C Gale
christopher.gale@imperial.ac.uk
(or @DrCGale on Twitter;
ORCID 0000-0002-1089-7945)
Additional material is published
online only. To view please visit
the journal online. Cite this as: BMJ 2019;367:l5678
http://dx.doi.org/10.1136/bmj.l5678
Accepted: 31 August 2019 odds of death before discharge (odds ratio 1.22, 95%
confidence interval 0.92 to 1.61) but significantly
higher odds of severe brain injury (2.32, 1.78 to 3.06;
number needed to treat (NNT) 8) and significantly
lower odds of survival without severe brain injury
(0.60, 0.47 to 0.76; NNT 9). Compared with controls,
infants in the non-tertiary care group had significantly
higher odds of death (1.34, 1.02 to 1.77; NNT 20) but
no significant difference in the odds of severe brain
injury (0.95, 0.70 to 1.30) or survival without severe
brain injury (0.82, 0.64 to 1.05). Compared with
infants in the upward transfer group, infants in the
non-tertiary care group had no significant difference
in death before discharge (1.10, 0.84 to 1.44) but
significantly lower odds of severe brain injury (0.41,
0.31 to 0.53; NNT 8) and significantly higher odds
of survival without severe brain injury (1.37, 1.09 to
1.73; NNT 14). No significant differences were found
in outcomes between the horizontal transfer group
(n=305) and controls (n=1525). What is already known on this topic Early postnatal transfer of extremely preterm infants between hospitals increased
in England after the introduction of a networked model of neonatal care
In the context of modern care and specialised transfer teams, the association
between early postnatal transfers and neonatal outcomes is not known Conclusions In extremely preterm infants, birth in a non-tertiary
hospital and transfer within 48 hours are associated
with poor outcomes when compared with birth in a
tertiary setting. We recommend perinatal services
promote pathways that facilitate delivery of extremely
preterm infants in tertiary hospitals in preference to
postnatal transfer. Introduction 2181 infants, 727 from each group (upward transfer,
non-tertiary care, and control) were well matched. Compared with controls, infants in the upward
transfer group had no significant difference in the About one in 20 preterm infants in high income
countries are born at less than 28 weeks’ gestation
(5.7% in the United Kingdom and 7% in the United
States)1 2; these extremely preterm infants are at
high risk of death and neonatal morbidity, such as
periventricular and intraventricular haemorrhage3 4
and long term disability.5 6 Caring for extremely
preterm infants is complex, and previous studies have
shown optimal outcomes when care is provided in
tertiary hospitals.7-11 Such hospitals have a delivery
unit equipped and staffed to provide a full range of
perinatal and obstetric care for mothers, and a neonatal
intensive care unit in which extremely preterm infants
can be stabilised and receive ongoing care. Several
national guidelines recommend a regionalised model
of care for extremely preterm infants, where the goal is
to deliver these infants in tertiary hospitals.12-14 ober 2024 by guest. Protected by copyright. guest. Protected by copyright. What is already known on this topic
Early postnatal transfer of extremely preterm infants between hospitals increased
in England after the introduction of a networked model of neonatal care
In the context of modern care and specialised transfer teams, the association
between early postnatal transfers and neonatal outcomes is not known
What this study adds
In extremely preterm infants, birth in a non-tertiary hospital is associated with
an increased risk of death, and transfer in the first 48 hours is associated with
an increased risk of severe brain injury, compared with infants born in hospitals
with tertiary neonatal care who are not transferred in the first 48 hours
Perinatal services should promote pathways that facilitate delivery of extremely
preterm infants in tertiary hospitals in preference to postnatal transfer Participants Extremely preterm infants born at less than 28
gestational weeks between 2008 and 2015
(n=17 577) grouped based on birth hospital and
transfer within 48 hours of birth: upward transfer
(non-tertiary to tertiary hospital, n=2158), non-tertiary
care (born in non-tertiary hospital; not transferred,
n=2668), and controls (born in tertiary hospital;
not transferred, n=10 866). Infants were matched
on propensity scores and predefined background
variables to form subgroups with near identical
distributions of confounders. Infants transferred
between tertiary hospitals (horizontal transfer) were
separately matched to controls in a 1:5 ratio. Setting National health service neonatal care in England;
population data held in the National Neonatal
Research Database. Abstract To determine if postnatal transfer or birth in a non-
tertiary hospital is associated with adverse outcomes. Observational cohort study with propensity score
matching. Main outcome measures Death, severe brain injury, and survival without severe
brain injury. Abstract
Objective odds of death before discharge (odds ratio 1.22, 95%
confidence interval 0.92 to 1.61) but significantly
higher odds of severe brain injury (2.32, 1.78 to 3.06;
number needed to treat (NNT) 8) and significantly
lower odds of survival without severe brain injury
(0.60, 0.47 to 0.76; NNT 9). Compared with controls,
infants in the non-tertiary care group had significantly
higher odds of death (1.34, 1.02 to 1.77; NNT 20) but
no significant difference in the odds of severe brain
injury (0.95, 0.70 to 1.30) or survival without severe
brain injury (0.82, 0.64 to 1.05). Compared with
infants in the upward transfer group, infants in the
non-tertiary care group had no significant difference
in death before discharge (1.10, 0.84 to 1.44) but
significantly lower odds of severe brain injury (0.41,
0.31 to 0.53; NNT 8) and significantly higher odds
of survival without severe brain injury (1.37, 1.09 to
1.73; NNT 14). No significant differences were found
in outcomes between the horizontal transfer group
(n=305) and controls (n=1525). 1Department of Paediatrics and
Adolescent Medicine, Turku
University Hospital, Turku,
Finland
2Department of Clinical
Medicine, University of Turku,
Turku, Finland
3Section of Neonatal Medicine,
Department of Medicine,
Chelsea and Westminster
campus, Imperial College
London, London SW10 9NH, UK
Correspondence to: C Gale
christopher.gale@imperial.ac.uk
(or @DrCGale on Twitter;
ORCID 0000-0002-1089-7945)
Additional material is published
online only. To view please visit
the journal online. Cite this as: BMJ 2019;367:l5678
http://dx.doi.org/10.1136/bmj.l5678
Accepted: 31 August 2019 What this study adds In extremely preterm infants, birth in a non-tertiary hospital is associated with
an increased risk of death, and transfer in the first 48 hours is associated with
an increased risk of severe brain injury, compared with infants born in hospitals
with tertiary neonatal care who are not transferred in the first 48 hours
Perinatal services should promote pathways that facilitate delivery of extremely
preterm infants in tertiary hospitals in preference to postnatal transfer When women at risk of extremely preterm delivery
present at non-tertiary hospitals, transfer to a tertiary
hospital can occur either before delivery (prenatal or in the bmj | BMJ 2019;367:l5678 | doi: 10.1136/bmj.l5678 1 1 RESEARCH utero transfer) or after delivery following stabilisation
of the infant in the non-tertiary hospital (postnatal
transfer). In England, postnatal transfers increased
after the reorganisation of care into regional networks
in 2007.15 16 During 2009-10 less than 50% of infants
born at 27 and 28 weeks’ gestation in England were
delivered in high volume (>2000 annual neonatal
intensive care days) hospitals, whereas reports from
New South Wales, Australia, and Finland showed that
85% and 95%, respectively, of infants born at less
than 28 weeks’ gestation were delivered in tertiary
hospitals.17-19 Although historical studies show that
preterm infants who underwent postnatal transfer
had higher rates of adverse outcomes than infants
born in tertiary hospitals,20-22 recent studies have
shown equivocal results on the association between
early postnatal transfer and outcomes.23-27 It is
unclear whether the association between postnatal
transfer and adverse outcomes persists in the context
of modern neonatal care and dedicated neonatal
transfer services. Harms associated with postnatal
transfer might relate to suboptimal stabilisation at a
non-tertiary hospital, the transfer of sicker infants, or
the transfer itself. This is relevant to the organisation
of perinatal health services because early postnatal
transfers are increasingly common in the UK and other
high income countries following the introduction of
highly specialised neonatal transfer services.15 28 randomised controlled trial29 showed high data
agreement and a high coverage of infants included
in the NNRD compared with national statistics; for
infants born at 25 gestational weeks or more the NNRD
covers close to 100% of national live births and about
70% and 90% of infants born at 23 and 24 gestational
weeks, respectively. What this study adds The NNRD contains a clinical
dataset (the National Neonatal Data Set), which is an
approved NHS information standard for England and
contained within the NHS Data Dictionary (see data
items at www.datadictionary.nhs.uk/data_dictionary/
messages/clinical_data_sets/data_sets/national_
neonatal_data_set/national_neonatal_data_set_-_
episodic_and_daily_care_fr.asp?shownav=1.)30 on 23 October 2024 by guest. Pro
http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from English neonatal units are organised in regional
networks of non-tertiary and tertiary neonatal units. The intention is for infants requiring high level care to
receive it in a tertiary neonatal unit, with step-down
transfer to a non-tertiary neonatal unit within the
same network when appropriate. Neonatal units in
English hospitals are classified as special care baby
units, local neonatal units, and neonatal intensive care
units31; in this study neonatal intensive care units are
referred to as tertiary neonatal units. These definitions
differ slightly from those of the American Academy
of Paediatrics. Local neonatal units in the UK are
generally expected to be able to care for uncomplicated,
singleton infants from 27 weeks’ gestation onwards
and twins or higher order multiples from 28 weeks’
gestation onwards and to arrange in utero transfer
when delivery is expected at lower gestational ages
or postnatal transfer after delivery of an infant at a
lower gestational age. Variation exists within England,
however, and many networks apply a gestational age of
28 weeks as the threshold for referral from a hospital
with a local neonatal unit to one with a tertiary
neonatal unit. Special care baby units are expected to
be able to care for uncomplicated, singleton infants of
32 weeks’ gestation onwards and to transfer infants at
lower gestational ages. One aim of this organisational
framework is to deliver extremely preterm infants
at hospitals with tertiary neonatal units. Since the
introduction of a networked model of neonatal care,
however, postnatal transfers in England have become
more frequent.15 Dispatching resuscitation teams to
assist at the delivery of extremely preterm deliveries is
not standard practice in England.i We examined the association between outcomes
and early postnatal transfer and ongoing non-tertiary
neonatal care in extremely preterm infants born in
England. We also sought to separate the possible effects
of postnatal transfer from those of delivery and initial
stabilisation in a non-tertiary hospital. What this study adds Because these
research questions are not amenable to a randomised
controlled trial, we conducted an observational study
applying propensity score matching to form groups
for comparison with near identical distributions of
background and potential confounder variables. Our
hypothesis was that mortality and severe brain injury
would be higher in transferred infants compared with
non-transferred infants born in tertiary hospitals. doi: 10.1136/bmj.l5678 | BMJ 2019;367:l5678 | the bmj Methods We performed a retrospective cohort study of all
infants born before 28 weeks’ gestation and admitted
to neonatal units in England from 1 January 2008 to
31 December 2015. Data were extracted from the UK
National Neonatal Research Database (NNRD), which
holds deidentified descriptive (eg, birth weight), daily
(eg, daily respiratory support), episodic (eg, surgery),
and diagnostic data extracted from routine electronic
health records for all infants admitted to national
health service neonatal units in England from 2012
to present, and most infants from 2008 to 2011. In
England, neonatal care for extremely preterm infants is
not provided outside the NHS. Data are cleaned before
inclusion in the NNRD; records with implausible data
configurations are queried and, if necessary, corrected
by the treating clinicians. A formal comparison of
NNRD data with case record forms from a multicentre, guest. Protected by copyright. We defined four groups of infants based on birth
hospital and transfer status at 48 hours, selected
a priori based on previous work.15 25 The upward
transfer group comprised infants born in a hospital
with a local neonatal unit and transferred to a tertiary
hospital within 48 hours. The non-tertiary care group
comprised infants born in a hospital with a local
neonatal unit and not transferred within 48 hours; this
group was not prespecified in the protocol and analysis
was undertaken when it became apparent that many
infants were defined as belonging within this group. The horizontal transfer group comprised infants born
in a tertiary hospital and transferred within 48 hours
to a different tertiary hospital for non-clinical reasons doi: 10.1136/bmj.l5678 | BMJ 2019;367:l5678 | the bmj RESEARCH on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from care, severe brain injury, and their combination:
survival without severe brain injury. Severe brain
injury was defined as grade 3 or 4 periventricular
or intraventricular haemorrhage,33 porencephalic
cysts, post-haemorrhagic hydrocephalus, or cystic
periventricular leucomalacia on ultrasound scan; a
preterm component of the UK Department of Health
definition of brain injuries occurring during or soon
after birth.34 35 Infants with no recorded ultrasound
scan and no diagnosis of brain injury were coded as
unknown for severe brain injury and dropped from the
analyses of severe brain injury. Infants with missing
data on mortality were dropped from the analysis on
death before discharge. Statistical analysis The study protocol was sent to all English neonatal
units on 31 August 2016 and published on the
National
Neonatal
Research
Database
website
(www.imperial.ac.uk/neonatal-data-analysis-unit/
our-research/past-research-projects/)
before
data
extraction (see supplementary file). We deviated from
the study protocol by limiting analysis to infants born
in England because of a high rate of missing data in
infants born in Scotland and Wales and transferred to
or from neonatal units that did not contribute data to
the NNRD in the study period. Data were analysed with statistical software packages
R (version 3.2.5) and IBM SPSS (version 21.0. IBM;
Armonk, NY) using the potential outcomes framework. This involved forming matched within treatment
groups that were well balanced on the background
variables. Matching was accomplished by propensity
analysis, which entailed fitting a logistic regression
of the treatment assignment (a variable that indicates
upward transfer, non-tertiary care, or control) as the
outcome and all the available background variables as
the covariates (table 1, see full list in supplementary
table 1). The regression model was supplemented by
adding interactions of covariates one at a time and
selecting the model with superior balance. The output
of this analysis is a set of propensity scores. To reduce
residual confounding we then trimmed the propensities
by excluding infants with extreme propensities. The three largest groups of infants (control, upward
transfer, and non-tertiary care) were matched 1:1:1,
replicated 50 times, forming triplets of infants with one
infant from each group.36 Caliper matching based on
the logits of propensities was applied with the caliper
width set to 0.1. Each triplet consisted of one infant
from the upward transfer group, one from the non-
tertiary care group, and one from the control group,
born in the same year and regional network. The
triplets were also matched on sex, gestational week,
and use of antenatal steroids, which were regarded
as principal covariates. The success of the matching
process is illustrated by standardised differences of
the background variables across each group before
and after matching. Methods Infants missing relevant data
for the analysis of survival without severe brain injury
were dropped from the analysis of survival without
severe brain injury—for example, infants who survived
but had missing data on severe brain injury. such as insufficient capacity. The control group
comprised infants born in a tertiary hospital and not
transferred within 48 hours.i For the primary analysis we identified matched groups
of infants from non-tertiary care, upward transfer, and
control. Comparisons undertaken between these three
matched groups took place between infants in the
upward transfer and control groups to evaluate the
associations between birth at and initial stabilisation
in a hospital with a local neonatal unit and early
postnatal transfer; between infants in the non-tertiary
care and control groups to evaluate the associations
between birth, initial stabilisation, and care in a
hospital with a local neonatal unit without early
postnatal transfer; and between infants in the upward
transfer and non-tertiary care groups to evaluate the
association between early postnatal transfer compared
with continuing care in a local neonatal unit, among
infants born in a local neonatal unit.i Detailed definitions of covariates and outcomes
are provided in the supplementary file. The number
needed to treat (NNT) was defined as the number of
infants needed to be delivered in a tertiary hospital
to avoid one case of the outcome (death, severe brain
injury, or death or severe brain injury). In a secondary analysis we identified matched
groups of infants in horizontal transfer and control
groups to evaluate the association between early
postnatal transfer and initial stabilisation in a tertiary
hospital (to separate postnatal transfer from initial
stabilisation at a lower intensity hospital). Results The population consisted of 18 213 extremely preterm
infants. After exclusions and separately matching
infants born before 23 weeks, 17 577 infants were
retained (fig 1). A total of 3550 (20.2%) of the extremely
preterm infants were transferred within 48 hours of
birth. Early postnatal transfers increased from 18.4%
in 2008 to 21.0% in 2015 (P=0.03). The proportion of
infants born in hospitals with a local neonatal unit and
not transferred within 48 hours declined from 21.4%
in 2008 to 9.6% in 2015 (P<0.001). To evaluate the appropriateness of the selected
caliper width, we matched infants using calipers
of widths 0.05, 0.15, and 0.2 in addition to 0.1 and Table 1 | Background characteristics before propensity score matching of extremely preterm infants (<28 gestational weeks) born in England in 2008 to
2015, by hospital of birth and transfer status at 48 hours of age. Patient and public involvement Patient and public involvement
Owing to the retrospective nature of the study
utilising an existing research database, there was no
direct involvement of patients or public. However,
parents are informed of the inclusion of deidentified
data on their infants into the NNRD and offered the
opportunity to opt-out; to date no opt-out requests
have been received. Parents are represented on the
steering board of the Neonatal Data Analysis Unit,
which oversees the NNRD. We will disseminate
results through press releases, scientific meetings,
social media, and directly to parents and families
and professional and health policy organisations. Examples include Bliss, the UK charity for sick and
preterm babies, the European Foundation for the Care
of Newborn Infants, British Association of Perinatal
Medicine, and the UK Maternal and Neonatal Health
Policy Unit. The horizontal transfer group was much smaller
than the other three groups and therefore could not
be incorporated into the three way matching; instead,
we matched these infants separately to controls using
the same principles, but by matching one infant in
the horizontal transfer group to five infants from the
control group. The outcomes were assessed in a similar
way, using the two tailed t test for estimating the
differences in outcomes between the two groups. Sensitivity analyses We performed two further paired, matched analyses
between infants in the upward transfer group and
control group and between infants in the non-tertiary
care group and control group. These analyses required
the formation of two matched groups (rather than
three in the primary analysis) and therefore facilitated
the formation of larger matched groups. With these
analyses we tested the robustness of the primary
findings in larger groups of infants, with different
distributions of background data. Statistical analysis http://www.bmj.com/
J: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-tertiary care=infants born in hospitals with local neonatal
units and not transferred within 48 hours of birth; controls=infants born in tertiary hospitals and not transferred within 48 hours of birth.
*Controls versus upward transfer group.
†Controls versus non tertiary care group s with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-tertiary care=infants born in hospitals with local neonatal
s of birth; controls=infants born in tertiary hospitals and not transferred within 48 hours of birth. Statistical analysis No universally accepted limits
exist for how small the standardised differences
should be to indicate a good match, but one study
suggested no concern for standardised differences y p
We extracted data from the NNRD on the variables
gestational age, sex, multiplicity, maternal smoking,
mode of delivery, use of antenatal steroids, year
and month of first neonatal admission, network
of first neonatal admission, birth weight z score,32
Apgar scores at one and five minutes after birth, and
surfactant administered in the delivery room. These
variables were included in the propensity analysis on
which matching was based. Infants who died in the
delivery room or were stillborn were excluded as these
are incompletely captured in the NNRD. Infants with a
diagnosis of trisomy 13, 18, or 21 or severe congenital
malformations requiring early surgical intervention
were excluded (see supplementary file) because they
are more likely to be transferred or to receive palliative
care, and these conditions are associated with adverse
outcomes. Infants for whom the indication for transfer
was cardiac care or surgery were excluded for the same
reason. We also excluded infants with missing data
on gestational age, sex, or birth weight because these
variables were essential for the propensity matching
and were likely to have a large impact on the outcomes. Data on infants with a birth weight z score greater than
4 or less than −4 were excluded as improbable. The
outcomes were death before discharge from neonatal uest. Protected by copyright. 3 the bmj | BMJ 2019;367:l5678 | doi: 10.1136/bmj.l5678 RESEARCH between −0.2 and 0.2, and for large study samples for
standardised differences between −0.1 and 0.1.36 The
supplementary file provides a detailed description of
the matching process. The methods are described in
the literature.37-40 Birth weight z scores are not defined
for infants born less than 23 gestational weeks because
there are no relevant UK reference values. These infants
were matched separately, using birth hospital level,
sex, use of antenatal steroids, and birth weight (within
30 g). After we had carried out matching in the three
intervention groups, we estimated the differences in
outcomes using the two tailed t test. assessed the overall balance of background variables
for each width. We also evaluated the impact of
matching infants only on the propensity score,
without additional matching on principal background
variables. on 23 October 2024 by guest. Protected by copyright. Results Values are numbers (percentages) unless stated otherwise
Characteristics
Controls (n=10 866)
Upward transfer
(n=2158)
Standardised
difference*
Non-tertiary care
(n=2668)
Standardised
difference†
Standardised
difference‡
Median (interquartile range) gestational weeks
26.0 (24.9-27.0)
25.6 (24.6-26.4)
−0.21
27.0 (26.3-27.6)
0.51
−0.70
Mean (SD) birth weight (g)
807 (188)
797 (172)
0.06
931 (193)
0.50
−0.50
Mean (SD) birth weight z score
−0.20 (0.89)
−0.03 (0.82)
0.22
0.02 (0.89)
0.25
−0.05
Boys
5799 (53.4)
1207 (55.9)
−0.03
1463 (54.8)
−0.03
−0.02
Multiple birth
2995 (27.6)
497 (23.1)
−0.09
556 (20.8)
−0.15
0.03
Missing
2 (0)
2 (0)
0 (0)
Smoking in pregnancy
1733 (19.5)
418 (22.1)
0.08
503 (21.7)
0.04
−0.02
Missing
1998 (18.4)
263 (12.2)
349 (13.1)
Caesarean delivery
4028 (40.1)
680 (32.9)
0.16
1208 (48.5)
0.21
0.23
Missing
819 (7.5)
93 (4.3)
177 (6.6)
Surfactant during resuscitation
9780 (94.0)
2035 (97.3)
0.08
2446 (93.7)
0.01
0.11
Missing
466 (4.3)
66 (3.1)
58 (2.2)
Antenatal steroids
9897 (92.4)
1714 (80.3)
−0.25
2255 (86.5)
−0.12
−0.11
Missing
153 (1.4)
24 (1.1)
60 (2.2)
Apgar score <3 at 1 min
1847 (19.5)
467 (23.7)
−0.10
409 (17.1)
−0.06
0.12
Missing
1392 (12.8)
186 (8.6)
275 (10.3)
Apgar score <3 at 5 min
385 (4.1)
101 (5.2)
−0.02
80 (3.4)
−0.02
0.05
Missing
1426 (13.1)
215 (10.0)
331 (12.4)
Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-tertiary care=infants born in hospitals with local neonatal
units and not transferred within 48 hours of birth; controls=infants born in tertiary hospitals and not transferred within 48 hours of birth. Table 1 | Background characteristics before propensity score matching of extremely preterm infants (<28 gestational weeks) born in England in 2008 to
2015, by hospital of birth and transfer status at 48 hours of age. Values are numbers (percentages) unless stated otherwise Table 1 | Background characteristics before propensity score matching of extremely preterm infants (<28 gestationa
2015, by hospital of birth and transfer status at 48 hours of age. Values are numbers (percentages) unless stated ot cteristics before propensity score matching of extremely preterm infants (<28 gestational weeks) born in England in
nd transfer status at 48 hours of age. Values are numbers (percentages) unless stated otherwise doi: 10.1136/bmj.l5678 | BMJ 2019;367:l5678 | the bmj 4 RESEARCH match is illustrated by the distribution of background
variables and the standardised differences between
the matched groups (table 2). Results The standardised diff
erences after matching were smaller for all background
variables compared with those in the unmatched
groups (standardised differences ranging from 0.00
to 0.70 in the unmatched groups and from 0.00 to
0.068 in the matched groups). Supplementary table
1 displays summaries of all background variables
that were used in the propensity analysis, and the
standardised differences of the matched groups;
standardisation is applied to this table so that the
balances for the variables would be on compatible
scales. Data on severe intraventricular haemorrhage
were missing for at least one infant in 22 triplets,
reducing the total number of comparable triplets to
705. Excluding triplets with missing data on survival
yielded 571 triplets for analysis of death before
discharge and 593 triplets for analysis of survival
without severe brain injury. Of the 17 577 infants, 10 866 (61.8%) were in the
control group, 2158 (12.3%) in the upward transfer
group, 2668 (15.2%) in the non-tertiary care group,
and 306 (1.7%) in the horizontal transfer group. The
remaining 1579 infants were born in hospitals with
either a special care baby unit or a maternity unit and
transferred to a tertiary hospital (n=757), transferred
downward to non-tertiary hospitals (n=70), born and
remained in hospitals with a special care baby unit
(n=123), had an unknown or unusual transfer pattern
(transfer from a hospital with a special care baby unit or
a local neonatal unit to a hospital with a local neonatal
unit, n=259), or had an unknown or unusual place of
birth (home, in transit, maternity units, out of country,
n=370). Table 1 shows the background characteristics
and standardised differences of the control, upward
transfer, and non-tertiary care groups. The median
gestational age was 25.6 weeks in the upward transfer
group, 26.0 weeks in the control group, and 27.0
weeks in the non-tertiary care group. on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from The intervention groups were matched after
propensity score assignment. The matching of infants
in the upward transfer, non-tertiary care, and control
groups yielded 727 triplets comprised of one infant
from each group (2181 infants). The quality of the Table 3 shows the estimated between group
differences for the comparisons of upward transfer
group with controls, non-tertiary care group with
controls, and upward transfer group with non-tertiary
care group. the bmj | BMJ 2019;367:l5678 | doi: 10.1136/bmj.l5678 Sensitivity analyses To independently compare early postnatal transfer with
controls, and ongoing non-tertiary neonatal care with
controls, we conducted matched pairwise (rather than
matched triplet) analyses. These sensitivity analyses
involved separately matching upward transferred
infants with controls and non-tertiary care infants
with controls; this approach resulted in larger matched
groups for pairwise comparison. When comparing
upward transfer and control groups, the propensity
score matching yielded 1825 pairs of infants. After
matching, infants who underwent upward transfer
had no significant difference in the odds of death
before discharge (1.06, 0.92 to 1.23) but significantly
higher odds of severe brain injury (1.38, 1.19 to
1.60) and significantly lower odds of survival without
severe brain injury (0.84, 0.74 to 0.96) compared
with controls (table 5). The NNT to prevent one case
of severe brain injury was 18 (95% confidence interval
12 to 33) and to prevent one case of death or severe
brain injury was 24 (14 to 105). When comparing
non-tertiary care with control groups, propensity
score matching yielded 2519 matched pairs of infants. Infants in the non-tertiary care group had higher odds
of death before discharge (1.33, 95% confidence
interval 1.19 to 1.49), no significant difference in the
odds of severe brain injury (1.00, 0.88 to 1.14), and
lower odds of survival without severe brain injury
(0.81, 0.73 to 0.89) compared with controls (table 6). The NNT to prevent one case of death was 24 (95% To compare horizontal transfer and control groups,
the propensity score matching was performed by
matching each transferred infant to five controls, to
exploit the relative abundance of infants in the control
group. The groups were well matched on background
variables (see supplementary table 2). This yielded
1525 matched control infants for the 305 horizontally
transferred infants (table 4). Compared with controls,
infants in the horizontal transfer group did not have a Table 2 | Background characteristics after propensity score matching of extremely preterm infants (<28 gestational weeks) born in England in 2008 to
2015, by hospital of birth and transfer status at 48 hours of age. Results Compared with controls, infants in the Study infants
Excluded
Congenital anomalies
Transfer for surgical or cardiac care
Missing gestational age
Missing birth weight
Extreme z score*
Missing or indeterminate sex
365
44
89
118
17
3
636
18 213
Final population
17 577
Infants transferred within 48 hours of birth
3550
Upward
transfer group
2158
Horizontal
transfer group
Other transfers
1086
Infants not transferred within 48 hours of birth
14 027
306
SCBU or maternity
unit to tertiary
hospital
Unknown transfer
Downward
transfer
Non-tertiary
horizontal
transfer
Upward transfer
to LNU hospitals
757
114
70
76
69
Missing data
Survival without
severe brain
injury
Survival
Severe brain injury
151
215
23
Missing data
Survival without
severe brain injury
Survival
Severe brain injury
16
26
7
Infants born in
tertiary hospitals
= control group
Infants born in LNU
hospitals = non-tertiary
care group
Born elsewhere
Home or in transit
SCBU hospitals
Non-hospital
maternity unit
Unknown
152
123
88
130
Missing data
Survival without
severe brain
injury
Survival
Severe brain injury
636
628
277
Survival without
severe brain
injury
Survival
Severe brain injury
117
127
22
10 866
2668
493
Missing data
Fig 1 | Flowchart of selection process of extremely preterm infants born less than 28 gestational weeks in England between 1 January 2008 and 31
December 2015. *74 infants born at less than 23 weeks without z score were matched based on sex, birth weight, and steroid use and were included
in analyses. SCBU=special care baby unit; LNU=local neonatal unit
on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
aded from on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/ guest. Protected by copyright. Fig 1 | Flowchart of selection process of extremely preterm infants born less than 28 gestational weeks in England between 1 January 2008 and 31
December 2015. *74 infants born at less than 23 weeks without z score were matched based on sex, birth weight, and steroid use and were included
in analyses. SCBU=special care baby unit; LNU=local neonatal unit the bmj | BMJ 2019;367:l5678 | doi: 10.1136/bmj.l5678 5 RESEARCH upward transfer group had no significant difference
in the odds of death before discharge (1.22, 95%
confidence interval 0.92 to 1.61) but significantly
higher odds of severe brain injury (2.32, 1.78 to 3.06)
and significantly lower odds of survival without severe
brain injury (0.60, 0.47 to 0.76). Results The NNT to prevent
one case of severe brain injury was 8 (95% confidence
interval 6 to 11) and to prevent one case of death or
severe brain injury was 9 (6 to 17). Compared with
controls, infants in the non-tertiary care group had
significantly higher odds of death before discharge
(1.34, 95% confidence interval 1.02 to 1.77) but no
significant difference in the odds of severe brain injury
(0.95, 0.70 to 1.30) or survival without severe brain
injury (0.82, 0.64 to 1.05). The NNT to prevent one
case of death was 20 (95% confidence interval 10 to
435). Compared with infants in the upward transfer
group, infants in the non-tertiary care group had
no significant difference in the odds of death before
discharge (95% confidence interval 1.10, 0.84 to 1.44)
but significantly lower odds of severe brain injury
(0.41, 0.31 to 0.53) and significantly higher odds of
survival without severe brain injury (1.37, 1.09 to
1.73). The NNT to prevent one case of severe brain
injury was 8 (95% confidence interval 6 to 11) and to
prevent one case of death or severe brain injury was
14 (8 to 58). statistically significant difference in the odds of death
before discharge (1.09, 95% confidence interval 0.80
to 1.42), severe brain injury (1.16, 0.83 to 1.54), or
survival without severe brain injury (0.91, 0.71 to
1.15). on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-tertiary care=infants born in hospitals with local neonatal
units and not transferred within 48 hours of birth; control=infants born in tertiary hospitals and not transferred within 48 hours of birth.
*Controls versus upward transfer group.
†Controls versus non tertiary care group Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-tertiary care=
units and not transferred within 48 hours of birth; control=infants born in tertiary hospitals and not transferred within 48 hours of birth.
*Controls versus upward transfer group units and not transferred within 48 hours of birth; control=infants born in tertiary hospitals and not transferred within 48 hours of birth.
*Controls versus upward transfer group.
†Controls versus non tertiary care group s with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-tertiary care=infants born in hospitals with local neonatal
s of birth; control=infants born in tertiary hospitals and not transferred within 48 hours of birth. †Controls versus non-tertiary care group.
‡Upward transfer group versus non-tertiary care group. s e ed
t
48 ou s o b t ; co t ol
a ts bo
te t a y osp tals a d ot t a s e ed
t
48 ou s o b t .
upward transfer group.
non-tertiary care group p
y
p
;
y
p
red within 48 hours of birth; control=infants born in tertiary hospitals and not transferred within 48 hours of birth.
ard transfer group.
tertiary care group Sensitivity analyses Values are numbers (percentages) unless stated otherwise
Characteristics
Controls
(n=727)
Upward transfer
(n=727)
Standardised
difference (matched)*
Non-tertiary care
(n=727)
Standardised
difference (matched)†
Standardised difference
(matched)‡
Median (interquartile range)
gestational weeks
26.0 (25.0-27.0)
26.0 (25.0-27.0)
0.000
26.0 (25.0-27.0)
0.000
0.000
Mean (SD) birth weight (g)
900 (56)
900 (69)
−0.012
888 (65)
0.015
0.027
Mean (SD) birth weight z score
0.099 (0.24)
0.103 (0.26)
−0.024
0.099 (0.25)
0.030
0.054
Boys
298 (41.0)
298 (41.0)
0.000
298 (41.0)
0.000
0.000
Multiple birth
158 (21.7)
162 (22.3)
−0.009
172 (23.7)
−0.033
−0.024
Missing
0
0
1
Smoking in pregnancy
129 (20.1)
157 (24.1)
−0.068
146 (23.4)
−0.056
0.012
Missing
86 (11.8)
76 (10.5)
103 (14.2)
Caesarean delivery
416 (57.2)
405 (55.7)
0.010
398 (54.7)
0.046
0.036
Missing
0
0
0
Surfactant during resuscitation
701 (97.9)
695 (98.0)
−0.006
683 (95.9)
0.022
0.025
Missing
11 (1.5)
18 (2.5)
15 (2.1)
Antenatal steroids
565 (80.5)
565 (78.9)
0.000
565 (81.2)
0.000
0.000
Missing
25 (3.4)
11 (1.5)
31 (4.3)
Apgar score <3 at 1 min
144 (21.7)
144 (21.8)
−0.014
139 (20.9)
−0.016
−0.017
Missing
64 (8.8)
67 (9.2)
62 (8.5)
Apgar score <3 at 5 min
34 (5.3)
34 (5.3)
−0.050
25 (3.8)
−0.049
0.005
Missing
84 (11.6)
82 (11.3)
74 (10.2) Table 2 | Background characteristics after propensity score matching of extremely preterm infants (<28 gestational w
2015, by hospital of birth and transfer status at 48 hours of age. Values are numbers (percentages) unless stated ot guest. Protected by copyright. doi: 10.1136/bmj.l5678 | BMJ 2019;367:l5678 | the bmj 6 RESEARCH on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Sensitivity analyses Downloaded from Table 3 | Comparison of outcomes between propensity score matched extremely preterm infants (<28 gestational weeks) born in England in 2008 to
2015, by hospital of birth and transfer status within 48 hours
Outcomes
No (%; 95% CI)
Effect size % (95% CI)
Odds ratio (95% CI); P value
Upward
transfer
Non-tertiary
care
Controls
Upward
transfer
v controls
Non-tertiary
care v controls
Non-tertiary care
v upward transfer
Upward
transfer
v controls
Non-tertiary
care v controls
Non-tertiary
care v upward
transfer
Death before
discharge
(n=571)
140 (24.5;
(20.9 to 28.1)
150 (26.3;
22.6 to 30.0)
120 (21.0;
17.6 to 24.4)
3.50
(−1.47 to 8.47)
5.25
(0.23 to 10.27)
1.75
(−3.40 to 6.90)
1.22
(0.92 to 1.61);
0.16
1.34
(1.02 to 1.77);
0.04
1.10
(0.84 to 1.44);
0.50
Severe brain
injury (n=705)
194 (27.5;
24.2 to 30.9)
95 (13.5;
10.9 to 16.1)
99 (14.0;
11.4 to 16.7)
13.48
(9.22 to 17.74)
−0.56
(−4.24 to 3.12)
−14.04
(−18.28 to −9.80)
2.32
(1.78 to 3.06);
<0.001
0.95
(0.70 to 1.30);
0.76
0.41
(0.31 to 0.53);
<0.001
Survival without
severe brain injury
(n=593)
338 (57.0;
42.9 to 61.1)
382 (64.4;
60.5 to 68.4)
408 (68.8;
65.0 to 72.6)
11.80
(6.21 to 17.39)
−4.38
(1.11 to −9.87)
7.42
(1.75 to 13.09)
0.60
(0.47 to 0.76);
<0.001
0.82
(0.64 to 1.05);
0.11
1.37
(1.09 to 1.73);
0.009
Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-tertiary care=infants born in hospitals with local neonatal
units and not transferred within 48 hours of birth; controls=infants born in tertiary hospitals and not transferred within 48 hours of birth. ween propensity score matched extremely preterm infants (<28 gestational weeks) born in England in 2008 to
status within 48 hours Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; non-terti
units and not transferred within 48 hours of birth; controls=infants born in tertiary hospitals and not transferred within 48 hours of birth. injury.34 We used individual data from a population
level dataset of more than 17 000 extremely preterm
infants, making this one of the largest studies to
date. We applied a robust approach, using propensity
score matching for multiple treatments and matching
additionally on predefined principal variables to
account for measured confounders. Discussion By applying a robust matched analysis we found
that extremely preterm infants born in a site without
tertiary neonatal care had a higher risk of adverse
outcomes. These results are from a high income,
centrally funded, national healthcare system with
high uptake of antenatal steroids and routine use of
specialised neonatal transfer services. This association
between non-tertiary birth and adverse outcomes is
seen in both infants who underwent early postnatal
transfer and infants who remained in a non-tertiary
neonatal hospital. Through the application of careful matching we
have limited the potential for measured confounders
to influence the result. Nevertheless, important
unmeasured factors need to be considered, including
type and management of obstetric conditions, and
stillbirths and delivery room deaths. In the analyses we
did not match for obstetric variables such as placental
disorders, presentation, and pre-eclampsia because
they are not consistently recorded in the NNRD. The y guest. Protected by copyright. Sensitivity analyses The formed groups
were well balanced for distributions of covariates, and
independently matched pairwise sensitivity analyses
confirmed our findings. The predefined principal
variables for matching were sex, gestational age, and
use of antenatal steroids, all of which have a major
impact on outcome.41 The final matched groups were
similar for all measured background variables. confidence interval 15 to 57) and to prevent one case
of death or severe brain injury was 24 (14 to 73).ff The effect of using different caliper widths was
evaluated (0.05, 0.1, 0.15, and 0.2) for propensity
score matching. The rates of outcomes were robust to
changes in caliper width (see supplementary table 3). Contrary to expectations, the balance between upward
transfer and non-tertiary care groups was improved
with increasing caliper width, but the balance between
controls and the other groups declined with increasing
caliper width. The rates of outcomes changed only
marginally. The caliper width of 0.1 was retained. The balance of background variables was evaluated
also using only propensity scores; this did not yield
a superior match compared with matching on both
propensity score and principal variables and did not
result in materially different rates of outcomes across
the different groups (see supplementary table 4). The main limitation of this study is that propensity
score matching does not account for unmeasured
confounders. This limitation could be dealt with by an
instrumental variable approach, but we were unable
to identify a suitable instrument in the available data. However, the features of propensity score matching
enable reliable comparisons using observational
data by eliminating the chance for errors resulting
from false assumptions of the nature of background
variables, and eliminating the temptation of selecting
the most attractive statistical model.36 42 We used all
available pretreatment variables in the propensity
score, as suggested previously.43 Strengths and limitations of this study Our study has notable strengths. We prespecified our
protocol and analysis plan and focused on the objective,
clinically important outcomes, death and severe brain Table 4 | Comparison of outcomes after pairwise matching extremely preterm infants transferred between tertiary hospitals within 48 hours of birth
with non-transferred infants born in tertiary hospitals
Outcomes
No (%; 95% CI)
Effect size % (95% CI)
Odds ratio (95% CI)
P value
Horizontal transfer (n=305)
Controls (n=1525)
Death before discharge
64 (21.0; 15.4 to 26.8)
299 (19.6; 14.0 to 25.4)
1.41 (−4.39 to 7.20)
1.09 (0.80 to 1.42)
0.55
Severe brain injury
52 (17.0; 12.1 to 22.1)
230 (15.1; 10.1 to 20.1)
2.02 (−3.04 to 7.07)
1.16 (0.83 to 1.54)
0.36
Survival without severe brain injury
199 (65.2; 58.6 to 71.8)
1028 (67.4; 60.8 to 74.0)
−2.14 (−8.91 to 4.64)
0.91 (0.71 to 1.15)
0.43
Horizontal transfer=infants born in tertiary hospitals and transferred to another tertiary hospital within 48 hours of birth; controls=infants born in tertiary hospitals and not transferred within 48
hours of birth. Table 4 | Comparison of outcomes after pairwise matching extremely preterm infants transferred between tertia
with non-transferred infants born in tertiary hospitals the bmj | BMJ 2019;367:l5678 | doi: 10.1136/bmj.l5678 7 RESEARCH on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from Table 5 | Sensitivity analysis: pairwise matching of extremely preterm infants born in non-tertiary hospitals and
transferred to tertiary hospitals within 48 hours of birth (upward transfer group) compared with non-transferred infants
born in tertiary hospitals (control group)
Outcomes
No (%; 95% CI)
Effect size % (95% CI)
Odds ratio (95% CI) P value
Upward transfer (n=1825)
Controls (n=1825)
Death before discharge
523 (28.7; 26.6 to 30.8)
500 (27.4; 25.3 to 29.5)
1.30 (−1.68 to 4.28)
1.06 (0.92 to 1.23)
0.38
Severe brain injury
471 (25.8; 23.9 to 27.8)
368 (20.2; 18.4 to 22.0)
5.68 (3.03 to 8.31)
1.38 (1.19 to 1.60)
<0.001
Survival without
severe brain injury
1025 (56.2; 53.9 to 58.4)
1101 (60.3; 58.1 to 62.6) −4.16 (−7.36 to −0.96)
0.84 (0.74 to 0.96)
0.009
Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; controls=infants born in
tertiary hospitals and not transferred within 48 hours of birth. Strengths and limitations of this study Table 5 | Sensitivity analysis: pairwise matching of extremely preterm infants born in non-tertiary hospitals and
transferred to tertiary hospitals within 48 hours of birth (upward transfer group) compared with non-transferred infants
born in tertiary hospitals (control group)
Outcomes
No (%; 95% CI)
Effect size % (95% CI)
Odds ratio (95% CI) P value
Upward transfer (n=1825)
Controls (n=1825)
Death before discharge
523 (28.7; 26.6 to 30.8)
500 (27.4; 25.3 to 29.5)
1.30 (−1.68 to 4.28)
1.06 (0.92 to 1.23)
0.38
Severe brain injury
471 (25.8; 23.9 to 27.8)
368 (20.2; 18.4 to 22.0)
5.68 (3.03 to 8.31)
1.38 (1.19 to 1.60)
<0.001
Survival without
severe brain injury
1025 (56.2; 53.9 to 58.4)
1101 (60.3; 58.1 to 62.6) −4.16 (−7.36 to −0.96)
0.84 (0.74 to 0.96)
0.009
Upward transfer=infants born in hospitals with local neonatal units and transferred to tertiary hospitals within 48 hours of birth; controls=infants born in
tertiary hospitals and not transferred within 48 hours of birth. on 23 October 2024 by guest. Protected by cop
http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from on 23 October 2024 by guest. Prote
http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from type and management of obstetric factors impact on
neonatal outcomes and might have influenced our
results. However, because complicating obstetric con
ditions are associated with worse neonatal outcomes44
and are concentrated in tertiary hospitals, their
exclusion from the analysis is likely to lead to an
underestimate of any benefit associated with birth in a
tertiary hospital.45 A further limitation of this study is
the exclusion of stillborn infants and those who died in
the delivery room. This was unavoidable because the
NNRD is primarily designed to hold data on neonatal
admissions and has incomplete data on stillbirths and
delivery room deaths. Because initiation of intensive
care for the most extremely preterm infants is more
common in tertiary hospitals,46 the most compromised
and extremely preterm infants, with the highest
rates of adverse outcomes, were more likely to have
survived to admission in tertiary hospitals. Therefore
any bias introduced by the exclusion of deaths in the
delivery room is likely to be in the opposite direction
to our findings and in favour of non-tertiary hospitals. Results in the context of other studies Results in the context of other studies
Our results are in accord with previous work,
including a study of 67 596 very low birth weight
infants born in the USA between 1997 and 2004. This study concluded that postnatal transfer within
48 hours was associated with a higher rate of
intraventricular haemorrhage (all grades).24 However,
the study had several limitations. Infants were
identified by birth weight rather than gestational age
even though decisions about antenatal transfer tend
to be guided by gestational age. As a result, infants
small for gestational age—recognised to have a higher
prevalence of neonatal morbidities, are likely to have
been overrepresented in the transfer group, potentially
biasing the results. Furthermore, potential perinatal
confounders, such as use of antenatal steroids were
not included in the analysis, whereas postnatal
diagnoses (eg, necrotising enterocolitis) were included
as confounders, even though they might have Table 6 | Sensitivity analysis: pairwise matching of extremely preterm non-transferred infants born in non-tertiary hospitals with local neonatal units
(non-tertiary care group) compared with non-transferred infants born in tertiary hospitals (control group)
Outcomes
No (%; 95% CI)
Effect size % (95% CI)
Odds ratio (95% CI)
P value
Non-tertiary care (n=2519)
Controls (n=2519)
Death before discharge
529 (21.0; 18.5 to 23.5)
421 (16.7; 14.2 to 19.2)
4.29 (1.77 to 6.81)
1.33 (1.19 to 1.49)
<0.001
Severe brain injury
327 (13.0; 10.9 to 15.2)
328 (13.0; 10.8 to 15.2)
−0.03 (−2.23 to 2.18)
1.00 (0.88 to 1.14)
0.98
Survival without severe brain injury
1753 (69.6; 66.8 to 72.5)
1864 (74.0; 71.1 to 76.8)
−4.32 (−7.26 to −1.37)
0.81 (0.73 to 0.89)
<0.001
Non-tertiary care=infants born in hospitals with local neonatal units and not transferred within 48 hours of birth; controls=infants born in tertiary hospitals and not transferred within 48 hours of
birth. Strengths and limitations of this study We also recognise that we were unable to identify
infants who underwent in utero transfer to tertiary
hospitals before delivery because these data are not
systematically captured in the NNRD. This would
have permitted comparison between in utero and
postnatally transferred infants. gestational age before matching in the upward transfer
group was lower than in the control group. This
indicates that many extremely preterm infants are not
born in a tertiary hospital. Extremely
preterm
infants
contribute
dispro
portionately to both neonatal deaths and perinatal
brain injuries.34 Our study indicates that prioritising
near universal delivery of extremely preterm infants
in a setting with tertiary neonatal services, as found
in many other high income countries,17 49 50 is likely
to reduce neonatal death and brain injury.35 The rate
of severe brain injury was not significantly higher in
non-transferred infants who remained in non-tertiary
neonatal hospitals compared with controls. This
finding has two possible explanations: these infants
might have died before severe brain injury was detected,
as mortality was higher in this group, or there may be
a mechanistic link between early postnatal transfer
and brain injury related to physiological instability or
vibration injury during transport.51 Interpretation of the findingsi Downloaded from Redhill; K Abdul Khader, Epsom General Hospital, Epsom; Ruth
Shephard, Frimley Park Hospital, Camberley; Sanghavi Rekha, Furness
General Hospital, Barrow-in-Furness; Belal Abuzgia, George Eliot
Hospital, Nuneaton; Mukta Jain, Gloucester Royal Hospital, Gloucester;
Simon Pirie, Good Hope Hospital, Sutton Coldfield; Pinki Surana, Great
Western Hospital, Swindon; Stanley Zengeya, Guy’s and St Thomas’
Hospital, London; Timothy Watts, Harrogate District Hospital,
Harrogate; Sobia Balal, Hereford County Hospital, Hereford; Cath
Seagrave, Hillingdon Hospital, Uxbridge; Tristan Bate, Hinchingbrooke
Hospital, Huntington; Hilary Dixon, Homerton Hospital, London;
Narendra Aladangady, Hull Royal Infirmary, Hull; Hassan Gaili, Ipswich
Hospital, Ipswich; Matthew James, James Cook University Hospital,
Middlesborough; Mithilesh Lal, James Paget Hospital, Gorleston;
Priyadarshan Ambadkar, Kettering General Hospital, Kettering;
Poornima Pandey, Kings College Hospital, Camberwell; Ann Hickey,
King’s Mill Hospital, Sutton-in-Ashfield; Simon Rhodes, Kingston
Hospital, Kingston-upon-Thames; Vinay Pai, Lancashire Women and
Newborn Centre, Burnley; Meera Lama, Leeds Neonatal Service,
Leeds; Lawrence Miall, Leicester General Hospital, Leicester; Jonathan
Cusack, Leicester Royal Infirmary, Leicester; Venkatesh Kairamkonda,
Leighton Hospital, Crewe; Michael Grosdenier, Lincoln County
Hospital, Lincoln; Lakshmi Kollipara, Lister Hospital, Stevenage;
Jonathan Kefas, Liverpool Women’s Hospital, Liverpool; Bill Yoxall,
Luton and Dunstable Hospital, Luton; Jennifer Birch, Macclesfield
District General Hospital, Macclesfield; Gail Whitehead, Manor
Hospital, Walsall; Raghavendra Krishnamurthy, Medway Maritime
Hospital, Gillingham; Palaniappan Sashikumar, Milton Keynes General
Hospital, Milton Keynes; Indranil Misra, New Cross Hospital,
Wolwerhampton; Tilly Pillay, Newham General Hospital, Plaistow;
Imdad Ali, Nobles Hospital, Isle of Man; Prakash Thiagarajan, Norfolk
and Norwich University Hospital, Norwich; Mark Dyke, North Devon
District Hospital, Barnstaple; Michael Selter, North Manchester
General Hospital, Manchester; Prakash Kamath, North Middlesex
University Hospital, Edmonton; Lesley Alsford, North Tyneside General
Hospital (previously Wansbeck), Cramlington; Vivien Spencer,
Northampton General Hospital, Northampton; Subodh Gupta,
Northwick Park Hospital, Harrow; Richard Nicholl, Nottingham City
Hospital, Nottingham; Steven Wardle, Nottingham University Hospital
(QMC), Nottingham; Steven Wardle, Ormskirk District General Hospital,
Ormskirk; Sandip Chakrabarti, Oxford University Hospitals, John
Radcliffe Hospital, Oxford; Eleri Adams, Peterborough City Hospital,
Peterborough; Katharine McDevitt, Pilgrim Hospital, Boston; Ajay
Reddy, Pinderfields General Hospital (Pontefract General Infirmary),
Pontefract; David Gibson, Poole General Hospital, Poole; Minesh
Khashu, Princess Alexandra Hospital, Harlow; Chinnappa Reddy,
Princess Anne Hospital, Southampton; Freya Pearson, Princess Royal
Hospital, Haywards Heath; Philip Amess, Princess Royal Hospital
(previously Royal Shrewsbury Hospital), Shrewsbury; Sanjeev
Deshpande, Princess Royal University Hospital, Orpington; Elizabeth
Sleight, Queen Alexandra Hospital, Portsmouth; Charlotte Groves,
Queen Charlotte’s Hospital, East Acton; Sunit Godambe, Queen
Elizabeth Hospital, Gateshead; Dennis Bosman, Queen Elizabeth
Hospital, King’s Lynn; Glynis Rewitzky, Queen Elizabeth Hospital,
Woolwich; Olutoyin Banjoko, Queen Elizabeth the Queen Mother
Hospital, Margate; Niraj Kumar, Queen’s Hospital, Burton on Trent;
Dominic Muogbo, Queen’s Hospital, Romford; Wilson Lopez, Rosie
Maternity Hospital, Cambridge; Angela D’Amore, Rotherham District
General Hospital, Rotherham; Shameel Mattara, Royal Albert Edward
Infirmary, Wigan; Christos Zipitis, Royal Berkshire Hospital, Reading;
Peter De Halpert, Royal Bolton Hospital, Bolton; Paul Settle, Royal
Cornwall Hospital, Truro; Paul Munyard, Royal Derby Hospital, Derby;
John McIntyre, Royal Devon and Exeter Hospital, Exeter; David Bartle,
Royal Hampshire County Hospital, Winchester; Katie Pain, Royal
Lancaster Infirmary, Lancaster; Joanne Fedee, Royal Oldham Hospital,
Oldham; Natasha Maddock, Royal Preston Hospital, Preston; Richa
Gupta, Royal Stoke University Hospital, Stoke-on-Trent; Alison Moore,
Royal Surrey County Hospital, Guildford; Charles Godden, Royal Sussex
County Hospital, Brighton; Philip Amess, Royal United Hospital, Bath;
Stephen Jones, Royal Victoria Infirmary, Newcastle-upon-Tyne; Alan
Fenton, Russells Hall Hospital, Dudley; Subramanian Mahadevan,
Salisbury District Hospital, Salisbury; Nick Brown, Scarborough
General Hospital, Scarborough; Kirsten Mack, Scunthorpe General
Hospital, Scunthorpe; Pauline Adiotomre, South Tyneside District occurred after the intervention (transfer) and could
potentially have been related to transfer. Interpretation of the findingsi pi
g
Our findings indicate that birth in a non-tertiary
hospital and early postnatal transfer are associated
with an increase in death and severe brain injury,
even in the context of specialised neonatal transport
services and advanced neonatal care. This suggests
that approaches to reduce preterm mortality and
morbidity47 should focus on ensuring, whenever
possible, that extremely preterm infants are born in a
setting with tertiary neonatal care.48 These data also
indicate room for improvement in the current English
networked model of neonatal care, as the median guest. Protected by copyright. Table 6 | Sensitivity analysis: pairwise matching of extremely preterm non-transferred infants born in non-tertiary hospitals with local neonatal units
(non-tertiary care group) compared with non-transferred infants born in tertiary hospitals (control group)
Outcomes
No (%; 95% CI)
Effect size % (95% CI)
Odds ratio (95% CI)
P value
Non-tertiary care (n=2519)
Controls (n=2519)
Death before discharge
529 (21.0; 18.5 to 23.5)
421 (16.7; 14.2 to 19.2)
4.29 (1.77 to 6.81)
1.33 (1.19 to 1.49)
<0.001
Severe brain injury
327 (13.0; 10.9 to 15.2)
328 (13.0; 10.8 to 15.2)
−0.03 (−2.23 to 2.18)
1.00 (0.88 to 1.14)
0.98
Survival without severe brain injury
1753 (69.6; 66.8 to 72.5)
1864 (74.0; 71.1 to 76.8)
−4.32 (−7.26 to −1.37)
0.81 (0.73 to 0.89)
<0.001
Non-tertiary care=infants born in hospitals with local neonatal units and not transferred within 48 hours of birth; controls=infants born in tertiary hospitals and not transferred within 48 hours of
birth. doi: 10.1136/bmj.l5678 | BMJ 2019;367:l5678 | the bmj 8 RESEARCH on 23 October 2024 by guest. Protected by copyright. http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Interpretation of the findingsi We avoided
these limitations by forming matched groups based
exclusively on factors that preceded early postnatal
transfer and including gestational age and use of
antenatal steroids, which have a strong influence on
outcome. Our study included the comparison of infants
transferred between tertiary hospitals. This analysis
was aimed at separating any possible effects relating
to early postnatal transfer from delivery room care
and initial stabilisation at a non-tertiary hospital. Three studies attempted similar comparisons,52-54 all
single centre studies with small sample sizes, and two
were undertaken more than 20 years ago. We did not
find a statistically significant detrimental association
between horizontal transfer and outcomes, but this
result should be treated with caution. Although our
study included the largest described population of
horizontally transferred infants, the size of this group
was small, comprising only 306 infants in an eight
year period. the bmj | BMJ 2019;367:l5678 | doi: 10.1136/bmj.l5678 Conclusions and policy implications p
y
p
Extremely preterm birth in a non-tertiary neonatal
setting is associated with a higher risk of death and
lower survival without severe brain injury compared
with infants born in a tertiary neonatal setting. These
findings are in the context of specialised neonatal
transfer services, high uptake of antenatal steroids,
and the application of evidence based perinatal care. This has important policy implications for perinatal
health services, indicating that care pathways that
promote the birth of extremely preterm infants in
hospitals with tertiary perinatal facilities should be
considered a priority. Electronic patient data recorded at participating neonatal units that
collectively form the United Kingdom Neonatal Collaborative (UKNC)
are transmitted to the Neonatal Data Analysis Unit (NDAU) to form the
National Neonatal Research Database (NNRD). NM established and
directs the NNRD. We thank the families that agreed to the inclusion of
their infants’ data in the NNRD, the health professionals who recorded
the data, and Evgeniy Statnikov, Richard Colquhoun, and Surbhi Shah
at the NDAU for statistical and administrative support. on 23 October 2024 by guest. Protected by copyr
http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from NM, LL, and CG acted as guarantors and all authors accept full
responsibility for the work and the conduct of the study. KH, CG and NL
had full access to all the data in the study and take full responsibility
for the integrity of the data and accuracy of the data analysis. The
corresponding author attests that all listed authors meet authorship
criteria and that no others meeting the criteria have been omitted. p
12 American Academy of Pediatrics Committee on Fetus And Newborn. Levels of neonatal care. Pediatrics 2012;130:587-97. doi:10.1542/
peds.2012-1999 f 13 Ministry for Social Affairs and Health. Finland. Sosiaali- ja
terveysministeriö: yhtenäiset päivystyshoidon perusteet työryhmän
raportti. http://urn.fi/URN:ISBN:978-952-00-2963-0. Accessed
November 23, 2018. 14 Queensland Government D of H. CSCF Neonatal Services. www. health.qld.gov.au/__data/assets/pdf_file/0023/444272/cscf-
neonatal.pdf. Accessed November 23, 2018. Funding: CG was funded by the UK Medical Research Council (grant
No MR/N008405/1) and KH by the Foundation of Neonatal Research
of southwest Finland. The funding bodies played no role in the
design and conduct of the study; collection, management, analysis,
or interpretation of the data; preparation, review, or approval of the
manuscript; or decision to submit the manuscript for publication. All
researchers are independent from funders. 15 Gale C, Santhakumaran S, Nagarajan S, Statnikov Y, Modi N, et
al, Neonatal Data Analysis Unit and the Medicines for Neonates
Investigator Group. Impact of managed clinical networks on NHS
specialist neonatal services in England: population based study. BMJ 2012;344:e2105. doi:10.1136/bmj.e2105 16 Bliss. Bliss baby report 2015 - England. www.bliss.org.uk/
babyreport. Accessed July 17, 2017. 16 Bliss. Bliss baby report 2015 - England. babyreport. Accessed July 17, 2017. 17 Lui K, Abdel-Latif ME, Allgood CL, et al, New South Wales and
Australian Capital Territory Neonatal Intensive Care Unit Study
Group. Improved outcomes of extremely premature outborn infants:
effects of strategic changes in perinatal and retrieval services. Pediatrics 2006;118:2076-83. doi:10.1542/peds.2006-1540 Competing interests: All authors completed the ICMJE uniform
disclosure form at www.icmje.org/coi_disclosure.pdf and declare: no
support from any organisation for the submitted work; no financial
relationships with any organisations that might have an interest in the
submitted work in the previous three years; no other relationships or
activities that could appear to have influenced the submitted work. 18 Helenius K, Helle E, Lehtonen L. Amount of antenatal care days in
a context of effective regionalization of very preterm deliveries. J
Pediatr 2016;169:81-6. 1
Office for National Statistics. www.ons.gov.uk/. Accessed May 19,
2017.
2
Hamilton BE, Martin JA, Osterman MJKS, Curtin SC, Mathews TJ. Births:
Final data for 2014. Natl Vital Stat Rep 2015;64:1-64.
3
Stoll BJ, Hansen NI, Bell EF, et al, Eunice Kennedy Shriver National
Institute of Child Health and Human Development Neonatal Research
Network. Trends in care practices, morbidity, and mortality of
extremely preterm neonates, 1993-2012. JAMA 2015;314:1039-51.
doi:10.1001/jama.2015.10244
4
Costeloe KL, Hennessy EM, Haider S, Stacey F, Marlow N, Draper
ES. Short term outcomes after extreme preterm birth in England:
comparison of two birth cohorts in 1995 and 2006 (the EPICure
studies). BMJ 2012;345:e7976. doi:10.1136/bmj.e7976 Conclusions and policy implications Contributing neonatal units and clinical leads: Airedale General
Hospital, Keighley; Matthew Babirecki, Arrowe Park Hospital, Upton;
Anand Kamalanathan, Barnet Hospital, Barnet; Tim Wickham, Barnsley
District General Hospital, Barnsley; Kavi Aucharaz, Basildon Hospital,
Basildon; Aashish Gupta, Basingstoke and North Hampshire Hospital,
Basingstoke; Nicola Paul, Bassetlaw District General Hospital,
Worksop; Lai Men Wong, Bedford Hospital, Bedford; Anita Mittal,
Birmingham City Hospital, Birmingham; Penny Broggio, Birmingham
Heartlands Hospital, Birmingham; Pinki Surana, Birmingham Women’s
Hospital, Birmingham; Anju Singh, Bradford Royal Infirmary, Bradford;
Sunita Seal, Broomfield Hospital, Chelmsford; Ahmed Hassan,
Calderdale Royal Hospital, Halifax; Karin Schwarz, Chelsea and
Westminster Hospital, London; Mark Thomas, Chesterfield and North
Derbyshire Royal Hospital, Chesterfield; Aiwyne Foo, Colchester
General Hospital, Colchester; Jo Anderson, Conquest Hospital, St
Leonards-on-Sea; Graham Whincup, Countess of Chester Hospital,
Chester; Stephen Brearey, Croydon University Hospital, Thorton Heath;
John Chang, Cumberland Infirmary, Carlisle; Khairy Gad, Darent Valley
Hospital, Dartford; Abdul Hasib, Darlington Memorial Hospital,
Darlington; Mehdi Garbash, Derriford Hospital, Plymouth; Alex
Allwood, Diana Princess of Wales Hospital, Grimsby; Pauline
Adiotomre, Doncaster Royal Infirmary, Doncaster; Nigel Brooke, Dorset
County Hospital, Dorchester; Abby Deketelaere, East Surrey Hospital, 9 the bmj | BMJ 2019;367:l5678 | doi: 10.1136/bmj.l5678 RESEARCH Carrie Heal, Stoke Mandeville Hospital, Aylesbury; Sanjay Salgia,
Sunderland Royal Hospital, Sunderland; Majd Abu-Harb, Tameside
General Hospital, Ashton-under-Lyne; Jacqeline Birch, Taunton and
Somerset Hospital, Taunton; Chris Knight, The Jessop Wing, Sheffield;
Simon Clark, The Royal Free Hospital, London; Marice Theron, The
Royal London Hospital - Constance Green, London; Vadivelam Murthy,
Torbay Hospital, Torquay; Siba Paul, Tunbridge Wells Hospital,
Pembury; Hamudi Kisat, University College Hospital, London; Giles
Kendall, University Hospital Coventry, Coventry; Kate Blake, University
Hospital Lewisham, Lewisham; Ozioma Obi, University Hospital of
North Durham, Durham; Mehdi Garbash, University Hospital of North
Tees, Stockton-on-Tees; Hari Kumar, Victoria Hospital, Blackpool; Chris
Rawlingson, Warrington Hospital, Warrington; Delyth Webb, Warwick
Hospital, Warwick; Sumedha Bird, Watford General Hospital, Watford;
Sankara Narayanan, West Cumberland Hospital, Whitehaven; no lead,
West Middlesex University Hospital, Isleworth; Elizabeth Eyre, West
Suffolk Hospital, Bury St Edmunds; Ian Evans, Wexham Park Hospital,
Slough; Rekha Sanghavi, Whipps Cross University Hospital,
Leytonstone; Caroline Sullivan, Whiston Hospital, Prescott; Ros Garr,
Whittington Hospital, London; Wynne Leith, William Harvey Hospital,
Ashford; Vimal Vasu, Worcestershire Royal Hospital, Worcester; Liza
Harry, Worthing Hospital, Worthing; Katia Vamvakiti, Wythenshawe
Hospital, Wythenshawe; Gopi Vemuri, Yeovil District Hospital, Yeovil;
Megan Eaton, York District Hospital, York; Mahmoud Samy. 5
Mukerji A, Shah V, Shah PS. Periventricular/intraventricular
hemorrhage and neurodevelopmental outcomes: A meta-analysis. Pediatrics 2015;136:1132-43. on 23 October 2024 by guest. Protected by copyr
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Serenius F, Ewald U, Farooqi A. et al, Extremely Preterm Infants
in Sweden Study Group. Neurodevelopmental outcomes among
extremely preterm infants 6.5 years after active perinatal care
in Sweden. JAMA Pediatr 2016;170:954-63. doi:10.1001/
jamapediatrics.2016.1210 i 7
Lasswell SM, Barfield WD, Rochat RW, Blackmon L. Perinatal
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Watson SI, Arulampalam W, Petrou S, et al, Neonatal Data Analysis
Unit and the NESCOP Group. The effects of designation and volume of
neonatal care on mortality and morbidity outcomes of very preterm
infants in England: retrospective population-based cohort study. BMJ
Open 2014;4:e004856. doi:10.1136/bmjopen-2014-004856 9
Rautava L, Lehtonen L, Peltola M, et al, PERFECT Preterm Infant Study
Group. The effect of birth in secondary- or tertiary-level hospitals in
Finland on mortality in very preterm infants: a birth-register study. Pediatrics 2007;119:e257-63. doi:10.1542/peds.2006-1964
Phibb CS B k
LC C
h
AB D
i l
B S h i SK Phibb Pediatrics 2007;119:e257-63. doi:10.1542/peds.2006-1964 10 Phibbs CS, Baker LC, Caughey AB, Danielsen B, Schmitt SK, Phibbs
RH. Level and volume of neonatal intensive care and mortality in
very-low-birth-weight infants. N Engl J Med 2007;356:2165-75. doi:10.1056/NEJMsa065029 f 11 Lorch SA, Baiocchi M, Ahlberg CE, Small DS. The differential
impact of delivery hospital on the outcomes of premature infants. Pediatrics 2012;130:270-8. doi:10.1542/peds.2011-2820 Contributors: All authors contributed to the study planning. NL
conducted the statistical analysis and all authors contributed to the
interpretation of data. KH drafted the initial manuscript and NL, LL,
NM, and CG reviewed the manuscript for intellectual content. All
authors approved the final version of the manuscript for publication. NM, LL, and CG acted as guarantors and all authors accept full
responsibility for the work and the conduct of the study. KH, CG and NL
had full access to all the data in the study and take full responsibility
for the integrity of the data and accuracy of the data analysis. The
corresponding author attests that all listed authors meet authorship
criteria and that no others meeting the criteria have been omitted. Contributors: All authors contributed to the study planning. NL
conducted the statistical analysis and all authors contributed to the
interpretation of data. KH drafted the initial manuscript and NL, LL,
NM, and CG reviewed the manuscript for intellectual content. All
authors approved the final version of the manuscript for publication. Conclusions and policy implications doi:10.1542/peds.2015-0944 5
Mukerji A, Shah V, Shah PS. Periventricular/intraventricular
hemorrhage and neurodevelopmental outcomes: A meta-analysis. Pediatrics 2015;136:1132-43. doi:10.1542/peds.2015-0944 on 23 October 2024 by guest. Protected by copyr
http://www.bmj.com/
BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from doi:10.1016/j.jpeds.2015.10.062 ii Ethical approval: This study was approved by East Midlands-
Leicester South research ethics committee (16/EM/0351) and
approval for inclusion of the data in this study was obtained from all
English neonatal units. 19 Parturients, deliveries and births - THL. www.thl.fi/en/web/thlfi-
en/statistics/statistics-by-topic/sexual-and-reproductive-health/
parturients-deliveries-and-births. Accessed July 17, 2017. 20 Lamont RF, Dunlop PDM, Crowley P, Levene MI, Elder MG. Comparative mortality and morbidity of infants transferred in
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References 1. Figueras F, Cruz-Martinez R, Sanz-Cortes M, Arranz A, Illa M, Botet F, Costas-
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Kennedy Shriver National Institute of Child Health and Human
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perinatal complications in preterm growth-restricted fetuses. Austr New
Zeal J Obstet Gynecol 2011, 51:204-209. 2. Damodaram M, Story L, Kulinskaya E, Rutherford M, KUMAR S: Early adverse
perinatal complications in preterm growth-restricted fetuses. Austr New
Zeal J Obstet Gynecol 2011, 51:204-209. 3. Been JV, Zimmermann LJI: Histological chorioamniositis and respiratory
outcome in preterm infants. Arch Dis Child Fetal Neonatal Ed 2009, 94:
F218-25. Neonatal resuscitation and postnatal management
during the first minutes of life also play an important
role in determining early and long-term outcome of
VLBW. A multifaced intervention in respiratory care in
the delivery room immediately after birth, including a
sustained lung inflation procedure and a non invasive 4. Te Pas AB, Walther FJ: A randomized, controlled trial of delivery-room
respiratory management in very preterm infants. Pediatrics 2007,
120:322-329. 5. Oh W, Fanaroff AA, Carlo WA, Donovan EF, McDonald SA, Poole WK, Eunice
Kennedy Shriver National Institute of Child Health and Human
Development Neonatal Research Network: Effects of delayed cord
clamping. J Perinatol 2011, 31(Suppl 1):S68-71. 6. MEETING ABSTRACT Open Access Open Access © 2014 Mosca et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons
Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and reproduction in
any medium, provided the original work is properly cited. The Creative Commons Public Domain Dedication waiver (http://
creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Mosca et al. Italian Journal of Pediatrics 2014, 40(Suppl 1):A9
http://www.ijponline.net/content/40/S1/A9 1.
Figueras F, Cruz-Martinez R, Sanz-Cortes M, Arranz A, Illa M, Botet F, Costas-
Moragas C, Gratacos E: Neurobehavioral outcomes in preterm, growth-
restricted infants with and without prenatal advanced signs of brain-
sparing. Ultrasound Obstet Gynecol 2011, 38:288-94. NICU, Fondazione IRCCS Ca’ Granda - Ospedale Maggiore Policlinico,
Università degli Studi di Milano, Milan, Italy The management of extremely preterm infants
Fabio Mosca*, Mariarosa Colnaghi, Monica Fumagalli
From 70th Congress of the Italian Society of Pediatrics, Joint National Meeting SIP, SICuPP, SITIP
Palermo, Italy. 11-14 June 2014 Extreme prematurity is associated with an increased risk
of mortality, morbidities and long-term neurodevelop-
mental impairment. starting ventilation, seems to be effective in improving
respiratory outcome [4]. Delayed umbilical cord clamping has received increas-
ing attention in the management at birth of preterm
infants as it seems to be beneficial and safe, being asso-
ciated with less delivery room resuscitation interven-
tions, improved haemodynamic stability and decreased
rates of intraventricular hemorrhage [5]. Optimizing prenatal, perinatal and postnatal care is
essential to improve long-term outcome of extremely
preterm babies. Intrauterine growth restriction (IUGR) has been asso-
ciated with a poorer neurological outcome and prenatal
care should aim to an optimal balance between mini-
mizing fetal injury or death versus the risks of iatrogenic
preterm delivery. In the clinical phase of IUGR, hemo-
dynamic adaptation occurs with blood flow redistribu-
tion preferentially to the brain, the so-called “brain
sparing effect”. However, controversy remains as to
whether “brain-sparing” indicates a higher risk of brain
injury or is a protective mechanism [1]. Different pathophysiological mechanisms are involved
in injuring the premature brain, in particular infection-
inflammation, pre- and/or postnatal malnutrition, and
abnormalities in systemic and cerebral haemodynamics
and oxygen supply. Preventative measures are key to
reduce neurological morbidities in an extremely preterm
population and research projects are focusing on the pos-
sibility to stabilize cerebral oxygenation in the first days
of life through the application of cerebral near-infrared
spectroscopy oximetry and implementation of clinical
treatment guidelines in order to reduce the risk of brain
damage [6]. The mechanisms underlying fetal growth restriction,
also determine a limitation of lung growth and matura-
tion, thus making the lung more vulnerable to postnatal
damage and increasing the risk of bronchopulmonary
dysplasia (BPD), the most significant respiratory compli-
cation of prematurity [2]. Current evidence suggests that
the risk of BPD may be partially related to other antena-
tal factors as choriamniositis (CA), which is a leading
cause of very preterm delivery. Whereas CA promotes
lung maturation, mediated by prenatal inflammation
mechanisms, and thereby decreases the severity of
respiratory distress syndrome, it also seems to increase
the risk of BPD, making the lung more susceptible to
subsequent postnatal insults [3]. 2.
Damodaram M, Story L, Kulinskaya E, Rutherford M, KUMAR S: Early adverse
perinatal complications in preterm growth-restricted fetuses. Austr New
Zeal J Obstet Gynecol 2011, 51:204-209. Published: 11 August 2014 References Hyttel-Sorensen S, Austin T, van Bel F, Benders M, Claris O, Dempsey E,
Fumagalli M, Greisen G, Grevstad B, Hagmann C, Hellström-Westas L,
Lemmers P, Lindschou J, Naulaers G, van Oeveren W, Pellicer A, Pichler G, NICU, Fondazione IRCCS Ca’ Granda - Ospedale Maggiore Policlinico,
Università degli Studi di Milano, Milan, Italy Page 2 of 2 Page 2 of 2 Mosca et al. Italian Journal of Pediatrics 2014, 40(Suppl 1):A9
http://www.ijponline.net/content/40/S1/A9 Mosca et al. Italian Journal of Pediatrics 2014, 40(Suppl 1):A9
http://www.ijponline.net/content/40/S1/A9 Mosca et al. Italian Journal of Pediatrics 2014, 40(Suppl 1):A9
http://www.ijponline.net/content/40/S1/A9 Roll C, Skoog M, Winkel P, Wolf M, Gluud C: A phase II randomized clinical
trial on cerebral near-infrared spectroscopy plus a treatment guideline
versus treatment as usual for extremely preterm infants during the first
three days of life (SafeBoosC): study protocol for a randomized
controlled trial. Trials 2013, 14:120. doi:10.1186/1824-7288-40-S1-A9
Cite this article as: Mosca et al.: The management of extremely preterm
infants. Italian Journal of Pediatrics 2014 40(Suppl 1):A9. Roll C, Skoog M, Winkel P, Wolf M, Gluud C: A phase II randomized clinical
trial on cerebral near-infrared spectroscopy plus a treatment guideline
versus treatment as usual for extremely preterm infants during the first
three days of life (SafeBoosC): study protocol for a randomized
controlled trial. Trials 2013, 14:120. doi:10.1186/1824-7288-40-S1-A9
Cite this article as: Mosca et al.: The management of extremely preterm
infants. Italian Journal of Pediatrics 2014 40(Suppl 1):A9. doi:10.1186/1824-7288-40-S1-A9
Cite this article as: Mosca et al.: The management of extremely preterm
infants. Italian Journal of Pediatrics 2014 40(Suppl 1):A9. Submit your next manuscript to BioMed Central
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English
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Monitoring extinction risk and threats of the world’s fishes based on the Sampled Red List Index
|
Reviews in fish biology and fisheries
| 2,022
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cc-by
| 11,461
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Rafael Miranda · Imanol Miqueleiz · William Darwall · Catherine Sayer · Nicholas K. Dulvy ·
Kent E. Carpenter · Beth Polidoro · Nadia Dewhurst‑Richman · Caroline Pollock ·
Craig Hilton‑Taylor · Robin Freeman · Ben Collen · Monika Böhm Received: 7 July 2021 / Accepted: 10 March 2022
© The Author(s) 2022 Received: 7 July 2021 / Accepted: 10 March 2022
© The Author(s) 2022 threatened with extinction, resulting in a sampled RLI
of 0.914 for all species, 0.968 in marine and 0.862 in
freshwater ecosystems. Our sample showed fishing as
the principal threat for marine species, and pollution
by agricultural and forestry effluents for freshwater
fishes. The sampled list provides a robust representa-
tion for tracking trends in the conservation status of
the world’s fishes, including disaggregated sampled
indices for marine and freshwater fish. Reassessment
and backcasting of this index is urgent to check the
achievement of the commitments proposed in global
biodiversity targets. Abstract Global biodiversitytargets require us to
identify species at risk of extinction and quantify
status and trends of biodiversity. The Red List Index
(RLI) tracks trends in the conservation status of entire
species groups over time by monitoring changes in
categories assigned to species. Here, we calculate this
index for the world’s fishes in 2010, using a sampled
approach to the RLI based on a randomly selected
sample of 1,500 species, and also present RLI splits
for freshwater and marine systems separately. We fur-
ther compare specific traits of a worldwide fish list to
our sample to assess its representativeness. Overall,
15.1% of species in the sample were estimated to be B. Polidoro
School of Mathematics and Natural Sciences, Arizona
State University, 4701 W. Thunderbird Rd, Glendale,
AZ 85306, USA B. Polidoro
School of Mathematics and Natural Sciences, Arizona
State University, 4701 W. Thunderbird Rd, Glendale,
AZ 85306, USA R. Miranda · I. Miqueleiz (*)
Institute of Biodiversity and Environment (BIOMA),
Biodiversity Data Analytics and Environmental Quality
(BEQ) Group, Universidad de Navarra, Irunlarrea 1,
E‑31008 Pamplona, Navarra, Spain
e-mail: imiqueleiz@alumni.unav.es N. Dewhurst‑Richman
Department of Geography, University College London,
Gower Street, London WC1E 6BT, UK W. Darwall · C. Sayer · C. Pollock · C. Hilton‑Taylor
International Union for Conservation of Nature,
Global Species Programme, Pembroke Street,
Cambridge CB2 3QZ, UK R. Freeman · M. Böhm
Institute of Zoology, Zoological Society of London, Outer
Circle, Regent’s Park, London NW1 4RY, UK N. K. Dulvy
Earth To Ocean Research Group, Simon Fraser University,
Burnaby, BC V5A 1S6, Canada B. Collen
Centre for Biodiversity and Environment Research,
University College London, Gower Street, London, UK K. E. Rev Fish Biol Fisheries
https://doi.org/10.1007/s11160-022-09710-1 Rev Fish Biol Fisheries
https://doi.org/10.1007/s11160-022-09710-1 ORIGINAL RESEARCH Monitoring extinction risk and threats of the world’s fishes
based on the Sampled Red List Index Rafael Miranda · Imanol Miqueleiz · William Darwall · Catherine Sayer · Nicholas K. Dulvy ·
Kent E. Carpenter · Beth Polidoro · Nadia Dewhurst‑Richman · Caroline Pollock ·
Craig Hilton‑Taylor · Robin Freeman · Ben Collen · Monika Böhm Introduction While the extinction risk of nearly all terrestrial
vertebrates has been assessed (Butchart et al. 2004;
Hoffmann et al. 2010; Cox et al. 2022) there are still
substantial data gaps in other species groups (Col-
len et al. 2014; Miqueleiz et al. 2020). To address
this situation, the sampled Red List Index (sRLI) was
devised to expand taxonomic coverage of the IUCN
Red List in a way that also allows aggregation of
under-represented taxonomic groups into global bio-
diversity indicators (Baillie et al. 2008). A random
sample of 900 non-Data Deficient species (i.e. spe-
cies with sufficient data to estimate extinction risk)
from a highly speciose taxonomic group (i.e. a class
or order or family) was originally shown sufficiently
large to accurately estimate the direction of trends in
extinction risk (e.g. for birds (Baillie et al. 2008)). Subsequently, this approach has been applied to rep-
tiles (Böhm et al. 2013), dragonflies (Clausnitzer
et al. 2009), plants (Brummitt et al. 2015) and fresh-
water molluscs (Böhm et al. 2020). However, while
providing a ‘shortcut’ for the inclusion of highly spe-
cies-rich groups into the RLI, there have so far only
been single baseline assessments completed, and no
repeated assessments to show temporal trends are
so far available (Henriques et al. 2020). Initial sam-
pled assessments for other species groups are still
work in progress (e.g., butterflies (Lewis and Senior
2011)). There is an urgent need to deliver the findings
of these assessments and devise a future sustainable
approach for sRLI reassessments, given that new tar-
gets for biodiversity will be set at the 15th Meeting
of the Conference of the Parties to the Convention on
Biological Diversity in 2022. In 2020, the UN Decade of Biodiversity came to its
culmination, requiring a stocktake of the world’s pro-
gress towards the Aichi Targets, set by the Conven-
tion on Biological Diversity in 2010. Following our
failure to reach the previous 2010 target to achieve a
significant reduction in the rate of biodiversity loss
by 2010 (Butchart et al. 2010), none of the Aichi Tar-
gets were fully met at the global level (Secretariat of
the Convention on Biological Diversity 2020). Keywords Biodiversity loss · Conservation
status · Fishes · Global assessment · IUCN Red List ·
Threatened species List reached the major milestone of 100,000 species
assessed, the culmination of more than ten years of
increased investment in species assessments through
various targeted projects and a taxonomic and spatial
expansion of the IUCN SSC Species Specialist Group
network (IUCN 2020). Rafael Miranda · Imanol Miqueleiz · William Darwall · Catherine Sayer · Nicholas K. Dulvy ·
Kent E. Carpenter · Beth Polidoro · Nadia Dewhurst‑Richman · Caroline Pollock ·
Craig Hilton‑Taylor · Robin Freeman · Ben Collen · Monika Böhm Carpenter
Department of Biological Sciences, Old Dominion
University, 5115 Hampton Blvd., Norfolk, VA 23529,
USA K. E. Carpenter
Department of Biological Sciences, Old Dominion
University, 5115 Hampton Blvd., Norfolk, VA 23529,
USA M. Böhm
Global Center for Species Survival, Indianapolis Zoo,
Indianapolis, IN 46222, USA M. Böhm
Global Center for Species Survival, Indianapolis Zoo,
Indianapolis, IN 46222, USA ol.: (01 )
3 Rev Fish Biol Fisheries Introduction This
includes Aichi Target 12 which stipulated that “by
2020, the extinction of known threatened species has
been prevented and their conservation status, particu-
larly of those most in decline, has been improved and
sustained” (Secretariat of the Convention on Biologi-
cal Diversity 2020). y
Monitoring global extinction risk of biodiversity
(Butchart et al. 2004; Baillie et al. 2008) presents one
way to track progress towards Aichi Target 12.Threats
continue to increase, resulting in declines in the abun-
dance and distribution of species (Tilman et al. 2017;
WWF 2020). A recent global assessment of the state
of biodiversity by the Intergovernmental Science-Pol-
icy Platform on Biodiversity and Ecosystem Services
(IPBES) estimated that up to one million species are
at risk of extinction (Ruckelshaus et al. 2020). This
estimate relies on inferences from the extinction
risk of species assessed by the International Union
for Conservation of Nature (IUCN) Red List of
Threatened Species, arguably the most comprehen-
sive inventory on species’ extinction risk worldwide
(Rodrigues et al. 2006). The IUCN Red List splits
the continuous scale of species’ extinction risk into
seven categories, ranging from Least Concern (LC)
and Near Threatened (NT) to the threatened catego-
ries (Vulnerable VU, Endangered EN and Critically
Endangered CR) to Extinct in the Wild (EW) and
Extinct (EX); an additional category of Data Defi-
cient (DD) is used for species with insufficient data
to evaluate their extinction risk (IUCN 2012). Spe-
cifically, the IUCN Red List uses a set of five crite-
ria to assign species to one of the three threatened
categories (VU, EN, CR). In 2019, the IUCN Red Fishes are by far the most species-rich group of
vertebrates, with 36,105 species currently recog-
nised (Fricke et al. 2022), approximately the same
number of species as that of all non-fish vertebrates
combined. Covering freshwater and marine habitats,
assessing the status of the world’s fish is of utmost
importance to ecosystem function and human wellbe-
ing. For example, marine fish provide a vital income
and food source for coastal communities around the
world, and are of particular importance in tackling 1
Vol:. 1 3
(1234567890) Rev Fish Biol Fisheries micronutrient deficiencies in humans (Hutchings
2000). et al. 2011), Europe (Freyhof and Brooks 2011), Indo-
Burma (Allen et al. 2012), Madagascar and the Indian
Ocean islands (Máiz-Tomé et al. 2018), and Mexico
(Contreras-MacBeath et al. Introduction 2020), which have started
to fill the assessment gap for freshwater fishes, and
other freshwater species, on the IUCN Red List. Cur-
rently, the IUCN-Toyota Red List Partnership (https://
www.iucn.org/theme/species/our-work/iucn-red-list-
threatened-species/iucn-toyota-partnership) aims to
complete the global comprehensive assessment of
freshwater fishes.i The IUCN Global Species Programme started the
Global Marine Species Assessment in 2005, with the
target to assess the extinction risk of 20,000 marine
species for the IUCN Red List, of which approxi-
mately 17,000 are marine fishes. Currently, extinc-
tion risk for more than 16,000 marine species has
been evaluated9, including reef-building corals (Car-
penter et al. 2008), mangroves (Polidoro et al. 2010),
seagrasses (Short et al. 2011), sea snakes (Eifes et al. 2013), sea cucumbers (Purcell et al. 2014), and cone
snails (Peters et al. 2013). Most assessments have
been for fishes (~ 11,700 species (IUCN 2020)), often
spearheaded by taxon-specific IUCN Species Sur-
vival Commission (SSC) Specialist Groups, includ-
ing hagfishes (Knapp et al. 2011), tunas and billfishes
(Collette et al. 2011), parrotfishes and surgeonfishes
(Comeros-Raynal et al. 2012), groupers (Sadovy de
Mitcheson et al. 2013), sharks and rays (Dulvy et al. 2014), tarpons, ladyfishes and bonefishes (Adams
et al. 2014), anguillid eels (Jacoby et al. 2015), por-
gies (Comeros-Raynal et al. 2016), and pufferfishes
(Stump et al. 2018). Many additional marine fish
assessments have come from regional initiatives, fur-
ther broadening the taxonomic coverage of the Red
List (IUCN 2012). These include nearly all nearshore
and many deep sea marine fishes from the Mediter-
ranean (Abdul Malak et al. 2011), Eastern Cen-
tral Pacific (Polidoro et al. 2012), Western Central
Atlantic and Gulf of Mexico (Linardich et al. 2019;
Strongin et al. 2020), Oceania (Pippard et al. 2017),
European waters (Fernandes et al. 2017), Eastern
Central Atlantic (Polidoro et al. 2017), and Persian
Gulf (Buchanan et al. 2019). i
Still, only 61% of fish have been assessed by the
IUCN Red List (currently just over 20,000 species),
compared to 91% of mammals, 100% of birds, 87%
of amphibians and 87% of reptiles (IUCN 2021). A
sampled assessment of 1,500 fishes was initially com-
pleted in 2010, as part of the development of the sRLI
as a global biodiversity indicator (Baillie et al. 2008,
2010). Here, we provide the long-overdue presenta-
tion and analysis of the results, updated to include
the latest knowledge on species status. A sampled Red List Index for the world’s fish To incor-
porate uncertainty introduced by DD species, we cal-
culated upper and lower bounds of threat proportions
by assuming that (a) no DD species were threatened
[lower margin: Propthr = (CR + EN + VU)/(N-EX)],
and (b) all DD species were threatened [upper mar-
gin;
Propthr = (CR + EN + VU + DD)/(N-EX)]. We
also estimated the sampled Red List Index in 2010,
following the modified formula of Butchart et al. (2007). RLIt = 1 −
∑
s Wc(t,s)
WEX × N Several species (167) have been subsequently reas-
sessed as part of other assessment processes (e.g. by the Freshwater Biodiversity Unit or the Global
Marine Species Assessment). In reassessments, spe-
cies may change Red List category due to actual
improvements or deteriorations of their conservation
status (termed “genuine change”) or due to improved
knowledge on the species or changed taxonomy
(termed “nongenuine change” (IUCN Standards and
Petitions Committee 2019)). We summarised the
number of reassessments already carried out, and the
number of category changes due to genuine and non-
genuine changes, based on the latest status of species
on the IUCN Red List v. 2020–1. Since only genu-
ine changes are reflected in the sRLI, nongenuine
changes from reassessments have to be accounted for
by amending the original erroneous category through
a process of “backcasting” (IUCN Standards and Peti-
tions Committee 2019). Here, we integrated improved
knowledge from recent reassessments by adopting
the reassessed categories for species undergoing non-
genuine changes as the 2010 Red List category. A full where W is the category weight (category weights
increase from 0 for LC in equal steps to 5 for EX and
EW) for species S at time t; and N is the total number
of assessed species, excluding those considered DD. Thus, RLI values can vary from 0 (all species are EX)
to 1 (all species are LC). In this way, we produced an
sRLI for all fish. A recent re-visit of the sRLI sample
size, analysing data for a broader set of species than
in the original sRLI paper by Baillie et al. (2008),
suggested that 200 to 400 non-DD species are suf-
ficient to accurately detect trend in RLI (Henriques
et al. 2020). Thus, we also produced sRLI values for
freshwater and marine fish separately, given that for
both individually, sample size exceeded 400 non-DD
species. Introduction We pursue two
goals: firstly, we present the first global assessment of
extinction risk for a random sample of fishes, high-
lighting major threats impacting fishes in marine and
freshwater environments, and put the findings in the
context of the conservation status of other non-fish
species groups, including others assessed under the
sRLI approach. Secondly, despite providing a ‘short-
cut’ to achieve RLIs for species-rich groups, the sRLI
approach has so far only produced single status points
rather than trends over time. Here, we investigate the
representativeness of the sRLI sample in terms of
taxonomic, biological and ecological traits, to ensure
that going forward, the sRLI for fishes presents a
robust indicator which adequately reflects the high
trait and ecological diversity of this species group. Additionally, we investigate whether the current fish
sRLI can form the basis for disaggregated indices
for freshwater and marine fish, as a workable solu-
tion to standalone indicators without imposing a new
workload on already overburdened Red List asses-
sors. This global assessment and definition of a way
forward are of particular importance since the sRLI
for fishes is now due for reassessment to evaluate the
trends in the conservation status of the world’s fishes. More than 30,000 freshwater species have now
been assessed for the IUCN Red List (IUCN 2012),
including comprehensive assessments for freshwater
crabs, freshwater shrimps and crayfish, and sampled
assessments for freshwater molluscs (Cumberlidge
et al. 2009; Richman et al. 2015; Böhm et al. 2020). The Freshwater Biodiversity Unit, within the IUCN
Global Species Programme, has been central to the
assessment effort for freshwater species, including
fishes, generally carried out on a region-by-region
basis (IUCN 2020). There have been several regional
assessments that include freshwater fishes, for
instance for the Eastern Himalaya (Allen et al. 2010),
Western Ghats (Molur et al. 2011), Africa (Darwall 3
0123456789) 1
ol.: (01 Rev Fish Biol Fisheries A sampled Red List Index for the world’s fish A sampled Red List Index for the world’s fish We calculated proportions of threatened species in
our sample by assuming that DD species will fall into
threatened categories in the same proportion as non-
DD species, as per previous studies on other species
groups (Hoffmann et al. 2010; Richman et al. 2015;
Böhm et al. 2020): In 2009, a random sample of 1,500 species (the
Sampled List) was drawn from Eschmeyer’s Catalog
of fishes (Baillie et al. 2010) to evaluate the status
and trends of fishes, according to the sRLI protocol
(Baillie et al. 2008). A sample size of 900 non-Data
Deficient species was considered sufficiently large
to detect the correct trend direction in the extinction
risk of a group, while a sample of 1,500 species was
deemed to be large enough to also account for up to
40% data deficiency in under-studied groups (Bail-
lie et al. 2008). Extinction risk of every species in
the sample was assessed according to the IUCN Red
List Categories and Criteria (IUCN 2012) through
consultation with experts of relevant IUCN SSC Spe-
cialist Groups and other species experts. Categories
were assigned based on quantitative thresholds relat-
ing to population reductions (criterion A), restricted
geographic distribution and decline or fragmentation
(criterion B), population size and decline (criterion
C), extremely small population size or restricted dis-
tribution (criterion D) and/or quantitative analyses
(criterion E) (IUCN 2012). Initial assessment was
completed in 2010. Propthr = (CR + EN + VU)∕(N −EX −DD), where N is the total number of species in the sam-
ple, CR, EN and VU are the numbers of threatened
species, and DD and EX are the numbers of species
in the DD and EX categories, respectively. To incor-
porate uncertainty introduced by DD species, we cal-
culated upper and lower bounds of threat proportions
by assuming that (a) no DD species were threatened
[lower margin: Propthr = (CR + EN + VU)/(N-EX)],
and (b) all DD species were threatened [upper mar-
gin;
Propthr = (CR + EN + VU + DD)/(N-EX)]. We
also estimated the sampled Red List Index in 2010,
following the modified formula of Butchart et al. (2007). where N is the total number of species in the sam-
ple, CR, EN and VU are the numbers of threatened
species, and DD and EX are the numbers of species
in the DD and EX categories, respectively. Methods backcasting of all nongenuine changes will be carried
out following a complete reassessment of the Sam-
pled List in the near future. A sampled Red List Index for the world’s fish The threats impacting each species were recorded
during the Red List assessments, following the
IUCN’s unified threats classification scheme (Salaf-
sky et al. 2008). We summarised the frequency of
threats for threatened (VU, EN, CR) and non-threat-
ened species (LC and NT). We also analysed species 1
Vol:. 3
(
3 56 890) Rev Fish Biol Fisheries span is the approximate maximum age individuals of
a given species are estimated to reach, and generation
time is the average age of parents within the cohort. Trophic level is the position of species in the food
chain, determined by the number of energy-transfer
steps to that level (Froese and Pauly 2016). Trophic
levels reported in FishBase are derived from Ecopath
(Pauly et al. 2000). The index of intrinsic vulnerabil-
ity to fisheries presented in FishBase is calculated via
an expert system developed for fishes that integrates
life history and ecological characteristics (Cheung
et al. 2005). These biological traits collected from
FishBase are not based on direct observations, but are
obtained from algorithmic relationships of other vari-
ables (e.g. total length or maximum reported age). population trends, which are recorded as unknown,
decreasing, stable and increasing populations on the
IUCN Red List (IUCN 2012). Species distribution was mapped – where possible
– for all assessed species for which the distribution
could be mapped (n = 1,484). For some species, spe-
cifically DD species, distribution data was too uncer-
tain to allow mapping. To visualise the distribution
pattern of our Sampled List, we selected only those
parts of a species’ distribution map where the species
was considered extant or probably extant, resident,
and native or reintroduced70, resulting in 1,473 spe-
cies remaining. We mapped species richness, threat-
ened species richness and DD species richness of our
sample by overlaying a grid with 1° grid cells onto
the respective aggregated species’ distribution and
summing the number of species occurring in each
grid cell. We normalised species richness relative to
the richest cell to derive a synthetic pattern of species
richness ranging from zero (no species present) to
one (highest species richness), as described in Collen
et al. (2014). We created richness maps for freshwater
(n = 714) and marine species (n = 799), separately. All
maps were created in R Studio v. 1.2.1335 and R Stu-
dio v. 3.6.0 (R Development Core Team 2019). A sampled Red List Index for the world’s fish Subsequently, we compared the taxonomic, geo-
graphic, ecological, and biological representativeness
of the full list of fish against traits of our Sampled
List, to assess whether the randomly Sampled List
adequately represents taxonomic, spatial, and bio-
logical trait diversity of global fishes. Furthermore,
we included separate analyses for DD species, test-
ing their representativeness; in addition to showing us
whether fishes with any particular traits or from any
particular regions are understudied, any patterns of
bias in DD species would also be reflected in the non-
DD species which make up the sRLI. Full and Sam-
pled lists of fish species were tested for differences
in the number of species among taxonomic orders,
among FAO areas and among habitat types, using
chi-square tests (R Development Core Team 2019). To assess the representativeness of biological traits,
we used non-parametric analyses because the normal
distribution assumption was not met in these data
sets, even after data transformation. First, two-tailed
(Wilcoxon) Mann–Whitney U test was used to exam-
ine whether the medians of the two samples were dif-
ferent. Second, Kolmogorov–Smirnov tests were used
to assess whether the distributions were equal, inde-
pendently of differences in other descriptive param-
eters as mean or variance (R Development Core Team
2019). We tested power of the analyses using package
pwr package (version 1.3–0) in R. Status of fishes The most commonly stated threat to fishes is
exploitation (34.9%), especially for marine fishes
(44%). However, pollution is the most prominent
threat to fish species (49.4% of the 176 threatened
species), particularly from agricultural or forestry
effluent, domestic and urban wastewater and indus-
trial effluents, and is particularly prominent for fresh-
water species (63%) (Fig. 2). Natural system modifi-
cations such as dams and channelling in freshwater
ecosystems (9%), invasive species (6.5%), and habitat
loss for urban development (4.9%) were also affect-
ing species, especially threatened freshwater species
(Fig. 2). In the 1,500-species sample, 178 species were
assessed as threatened with extinction in 2010: 105
were Vulnerable, 40 Endangered and 33 Critically
Endangered (Fig. 1a). Another 320 species (21.3%)
were assessed as Data Deficient in 2010, 961 as Least
Concern, 41 as Near Threatened, and no species were
assessed as Extinct or Extinct in the Wild. Since
2010, 441 species have been reassessed; of these,
272 retained their Red List category and 169 changed
status, 157 due to non-genuine reasons. Of these 157
non-genuine status changes, 54 species changed to
a non-Data Deficient category, 18 moved to a Data
Deficient category, 40 led to increased extinction
risk and 45 to reduced extinction risk. Taking these
non-genuine changes into account, the 1,500-species
sample contained 177 threatened species (85 Vulner-
able, 59 Endangered, 33 Critically Endangered), 39
Near Threatened, 998 Least Concern and 285 Data
Deficient species in 2010. One species was listed as
Extinct (Barbodes herrei (Fowler 1934)). Normalised species richness in the sample is
shown in Fig. 3. Highest species richness and threat-
ened species richness for marine fishes in our sam-
ple are located in Southeast Asia, and secondarily
around tropical islands in the Caribbean Ocean. Data
Deficient species richness of our sample was highest
in Southeast Asian waters and along the north and
western Australian coast. Freshwater species richness
in our sample was highest in Southeast Asia and the
Amazon Basin, whereas threatened species are con-
centrated mainly in Southeast Asia. Data Deficient
freshwater species richness in our sample was highest
in parts of Southeast and Eastern Asia. Thus, we estimated 14.6% of species threatened
with extinction in 2010, with a lower threat estimate
of 11.8%, and an upper threat estimate of 30.1%. Over half of our threatened species (58%) were
assessed under restricted geographical range size (cri-
terion B) and 30% under population reduction (crite-
rion A). Status of fishes Fifteen percent of threatened species were
classified based on criterion D2 (only used for VU
species, listed based on restricted area of occupancy
or number of locations with a plausible future threat
that could drive the taxon to CR or EX in a very short
time), while only three and four species were clas-
sified under criterion D/D1 (very small population
size) and criterion C (small, declining populations),
respectively (Fig. 1b). Recorded population trends
of sampled species were mainly unknown (66%),
although 12% showed decreasing populations, 21%
were stable, and only six species showed increasing
populations. Taxonomic, ecological, and biological trait data Taxonomic, ecological, and biological trait data To obtain a full picture of trait and ecology of the
world’s fishes, we extracted information on taxonomy,
distribution, preferred habitat and biological traits for
the full list of 33,112 fish species from the FishBase
online database (Froese and Pauly 2016). The Sam-
pled List was taxonomically matched to FishBase tax-
onomy (Froese and Pauly 2016). We determined the
number of species in each order according to the Fish-
Base taxonomy and obtained the number of species
for marine and inland waters per FAO Major Fishing
Areas (http://www.fao.org/fishery/area/search/). We
extracted the following habitat information (particu-
lar habitat preferred by each species, adapted from
Holthus and Maragos 1995): pelagic, benthopelagic,
demersal, reef-associated, bathypelagic and bathyde-
mersal, according to the glossary of FishBase (Froese
and Pauly 2016). We summarised the number of spe-
cies in each habitat type. We collected the following biological traits from
FishBase (Froese and Pauly 2016): life span, genera-
tion time, trophic level and vulnerability index. Life 1 3
0123456789) 1 3
ol.: (0123456789) 1
Vol.: (01 Rev Fish Biol Fisheries The sRLI in 2010 was 0.914 (N = 1,214 species) for
the world’s fishes, 0.968 for marine fishes (N = 630)
and 0.862 for freshwater species (N = 616; Fig. 1c).i The sRLI in 2010 was 0.914 (N = 1,214 species) for
the world’s fishes, 0.968 for marine fishes (N = 630)
and 0.862 for freshwater species (N = 616; Fig. 1c).i Results Status of fishes Representativeness of the Sampled List In both the full and the Sampled List of fishes, the
largest order is the Perciformes, which includes
both freshwater and marine species. The next larg-
est orders are represented primarily or exclusively by
freshwater species belonging to the Cypriniformes,
Siluriformes and Characiformes (Fig. 4). In terms of
spatial distribution, both lists show that species rich-
ness is highest in the Western Central Pacific and
Northwest Pacific. In inland waters, tropical areas of
Asia and South America are the most species-rich. In
terms of habitat preference, most fish species prefer
pelagic and benthopelagic habitats, followed by reef-
associated ecosystems, in both the full and sampled
lists (Fig. 4). Chi-square tests showed no significant
differences in the proportion of species among orders,
FAO areas and preferred habitats between the full and
the Sampled List (Table 1). Similarly, there are no In our sample, 805 species were marine and 733
freshwater (40 species were found in both marine and
freshwater). The percentage of species threatened
with extinction varies from 5.7% threatened in marine
fishes (lower: 4.5%; upper 26.2%) to 24.8% in fresh-
water fishes (lower: 20.7%; upper 37.2%, Fig. 1a). 1
Vol:. 3
(1234567890) Rev Fish Biol Fisheries Fig. 1 Status of the world’s fishes, based on a random sam-
ple of 1,500 species: A) IUCN Red List Categories for the
full sample, freshwater and marine species; B) Percentage of
species assigned via the different IUCN Red List Criteria; C)
Red List Indices for birds, mammals, amphibians and cor-
als (source: IUCN), crayfish (Richman et al. 2015), freshwa-
ter crabs (Cumberlidge et al. 2009), freshwater shrimps (De
Grave et al. 2015), and estimated Red List Indices based on a
sampled approach for dragonflies and damselflies (Clausnitzer
et al. 2009), reptiles (Böhm et al. 2013), plants (Brummitt et al. 2015) and fishes, distinguishing marine (M) and freshwater
(FW) species (black circle, this study). Taxa not yet reassessed
appear as a single point Fig. 1 Status of the world’s fishes, based on a random sam-
ple of 1,500 species: A) IUCN Red List Categories for the
full sample, freshwater and marine species; B) Percentage of
species assigned via the different IUCN Red List Criteria; C)
Red List Indices for birds, mammals, amphibians and cor-
als (source: IUCN), crayfish (Richman et al. 2015), freshwa-
ter crabs (Cumberlidge et al. 2009), freshwater shrimps (De
Grave et al. Representativeness of the Sampled List 5.1: Hunting & collecting terrestrial animals, 5.2: Gathering
terrestrial plants, 5.3: Logging & wood harvesting, 5.4: Fishing
& harvesting aquatic resources, 9.1: Domestic & urban waste
water, 9.2: Industrial & military effluents, 9.3: Agricultural &
forestry effluents, 9.4: Garbage & solid waste, 9.5: Air-borne
pollutants Fig. 2 Number of species threatened (dark grey) and not
threatened (light grey) classified to each of the main threat cat-
egories for the Sampled Red List of fishes of the IUCN Red
List, distinguishing marine and freshwater species. Threats are
classified according to the Threats Classification Scheme (Ver-
sion 3.2) of the IUCN Red List. Diagrams in the right show
threat subcategories for biological resource use and pollution. 5.1: Hunting & collecting terrestrial animals, 5.2: Gathering
terrestrial plants, 5.3: Logging & wood harvesting, 5.4: Fishing
& harvesting aquatic resources, 9.1: Domestic & urban waste
water, 9.2: Industrial & military effluents, 9.3: Agricultural &
forestry effluents, 9.4: Garbage & solid waste, 9.5: Air-borne
pollutants biodiversity is highly threatened with extinction (Col-
len et al. 2014; Richman et al. 2015; Böhm et al. 2020).i significant differences in estimated biological traits
(life span, generation time, trophic level and vul-
nerability index) comparing full and Sampled Lists
(Table 2). The Sampled List is also representative
of DD species, with no significant differences found
between DD species in the Sampled List and the full
list of fish species except for the generation time,
which is higher for DD species in the Sampled List
(Tables 1 and 2). The overall sRLI for fishes is similar to the Red
List Index for birds (Hoffmann et al. 2010), and drag-
onflies and damselflies (Clausnitzer et al. 2009), and
higher than for the remaining evaluated taxonomic
groups (Fig. 1). Overall, the sRLI for marine fishes
is the highest of the Red List indices calculated so far
(bar the historical index estimated for reef-building
corals pre-1998 (Carpenter et al. 2008)). Our esti-
mate of 5.7% of marine fish threatened with extinc-
tion is lower than threat levels found in other studies
on extinction risk of marine fishes: regional shore-
fishes (5–9.4% Buchanan et al. 2019; Linardich et al. 2019)), sharks and rays (32% (Dulvy et al. 2021)),
hagfishes (12% (Knapp et al. 2011)), groupers (12%
(Sadovy de Mitcheson et al. 2013)), tarpons, lady-
fishes and bonefishes (12.5% (Adams et al. 2014)),
porgies (8.6% (Comeros-Raynal et al. 2016)), and
pufferfishes (7.9% (Stump et al. 2018)). Representativeness of the Sampled List 2015), and estimated Red List Indices based on
sampled approach for dragonflies and damselflies (Clausnitz
et al. 2009), reptiles (Böhm et al. 2013), plants (Brummitt et
2015) and fishes, distinguishing marine (M) and freshwa
(FW) species (black circle, this study). Taxa not yet reassess
appear as a single point Fig. 1 Status of the world’s fishes, based on a random sam-
ple of 1,500 species: A) IUCN Red List Categories for the
full sample, freshwater and marine species; B) Percentage of
species assigned via the different IUCN Red List Criteria; C)
Red List Indices for birds, mammals, amphibians and cor-
als (source: IUCN), crayfish (Richman et al. 2015), freshwa-
ter crabs (Cumberlidge et al. 2009), freshwater shrimps (De
Grave et al. 2015), and estimated Red List Indices based on a
sampled approach for dragonflies and damselflies (Clausnitzer
et al. 2009), reptiles (Böhm et al. 2013), plants (Brummitt et al. 2015) and fishes, distinguishing marine (M) and freshwater
(FW) species (black circle, this study). Taxa not yet reassessed
appear as a single point Grave et al. 2015), and estimated Red List Indices based on a
sampled approach for dragonflies and damselflies (Clausnitzer
et al. 2009), reptiles (Böhm et al. 2013), plants (Brummitt et al. 2015) and fishes, distinguishing marine (M) and freshwater
(FW) species (black circle, this study). Taxa not yet reassessed
appear as a single point Fig. 1 Status of the world’s fishes, based on a random sam-
ple of 1,500 species: A) IUCN Red List Categories for the
full sample, freshwater and marine species; B) Percentage of
species assigned via the different IUCN Red List Criteria; C)
Red List Indices for birds, mammals, amphibians and cor-
als (source: IUCN), crayfish (Richman et al. 2015), freshwa-
ter crabs (Cumberlidge et al. 2009), freshwater shrimps (De 3
0123456789) 1
ol.: (01 Rev Fish Biol Fisheries Fig. 2 Number of species threatened (dark grey) and not
threatened (light grey) classified to each of the main threat cat-
egories for the Sampled Red List of fishes of the IUCN Red
List, distinguishing marine and freshwater species. Threats are
classified according to the Threats Classification Scheme (Ver-
sion 3.2) of the IUCN Red List. Diagrams in the right show
threat subcategories for biological resource use and pollution. Representativeness of the Sampled List This is unsur-
prising as threat tends to be greatest in shallower
waters because of likely greater interaction with fish-
ing gears and higher fishing pressure and a random Discussion The first assessment of the Sampled List presented
here provides a baseline of the extinction risk of the
world’s fish, against which to track future trends. Overall, we show that around 15% of fish species
in our sample are estimated to be threatened with
extinction and that threat is higher in freshwaters
than marine systems. Our results confirm previous
findings on the alarming conservation status of fresh-
water fishes (Pelayo-Villamil et al. 2015; Arthington
et al. 2016) in the same way that other freshwater 1 3
. (1234567890) 1
Vol:. Rev Fish Biol Fisheries Fig. 3 Species richness of the sampled assessment, show-
ing normalised species richness per grid cell: A) all fresh-
water fish (n = 714 species); B) all marine fish (n = 799); C)
Data Deficient (DD) freshwater fish (n = 114); D) DD marine
fish (n = 173); E) threatened freshwater fish (CR, EN, VU;
n = 133); F) threatened marine fish (n = 34) Fig. 3 Species richness of the sampled assessment, show-
ing normalised species richness per grid cell: A) all fresh-
water fish (n = 714 species); B) all marine fish (n = 799); C) Data Deficient (DD) freshwater fish (n = 114); D) DD marine
fish (n = 173); E) threatened freshwater fish (CR, EN, VU;
n = 133); F) threatened marine fish (n = 34) sample of marine fishes will include more deepwa-
ter species than the assessment processes. The sRLI
calculated for freshwater fishes is much lower and
similar to the RLI for mammals and plants (Brum-
mitt et al. 2015). It is slightly higher than RLIs for
other freshwater groups, reflecting a lower estimated
threat level than crayfishes (Richman et al. 2015),
freshwater crabs (Cumberlidge et al. 2009), fresh-
water molluscs (Böhm et al. 2020) and freshwater
shrimps (De Grave et al. 2015). However, note that
the sRLI protocol was not developed to accurately
estimate the proportion of threatened species in a
taxonomic group, but to accurately detect extinction
risk trends in a species group over time (Baillie et al. 2008). Thus, our threat estimates of 14.5% of fish
species threatened with extinction, derived from our
sample, should be treated with caution and may only
be broadly indicative of overall levels of threat within
fishes. Discussion using trait-based methods (Bland et al. 2015). Reducing data deficiency is thus important to produce
more robust extinction risk patterns and RLI values in
future (Bland and Böhm 2016). With data deficiency
in our sample highest in parts of Southeast Asia, this
region would make a logical place to target to reduce
DD, specifically for marine fish for which DD cur-
rently produces wide margins of uncertainty around
estimated threat levels. Fishes are among the most diverse classes of ver-
tebrates with significant differences between marine
and freshwater environmental realms. Despite dif-
ferences between realms, our results consistently
show exploitation and pollution are the main threats
to both marine and freshwater fishes (Fig. 2). In the
marine realm, overexploitation is overwhelmingly
prominent in assessments of nearshore and epipe-
lagic fishes (Knapp et al. 2011; Dulvy et al. 2014;
Stump et al. 2018). Despite low overall threat lev-
els of marine fishes in our study, in 2015 only 7% of
globally assessed stocks were underfished according
to the FAO (FAO 2018), and increases in exploita-
tion pressure in future may lead to further declines
in species. Safeguarding marine fish diversity needs
the urgent engagement of different stakeholders to
ensure the sustainability of this resource while also
addressing the United Nations Sustainable Develop-
ment Goals, e.g. such as SDG2 on combatting hun-
ger and malnutrition and SDG14 on preserving life
below water. IUCN Red List evaluations for marine
fishes are important to achieve their survival and that
of human communities which rely on them for food. Despite the difficulties of integrating fisheries data
into the IUCN Red List evaluation process (Davies
and Baum 2012; Millar and Dickey-Collas 2018;
Miqueleiz et al. 2022), we consider that current threat
levels require the commitment of all parties involved
to ensure marine fish conservation. Population trends were lacking for many marine
fishes beyond coastal areas, as most of our knowledge
on the marine realm comes from coastal, intertidal
or neritic habitats: for example, 73% of marine fish
species assessed on the IUCN Red List occur in these
habitats (IUCN 2020). This is especially problematic
since marine fishes were predominantly assessed as
threatened under criterion A (Fig. 1B), i.e. because
of a population reduction over ten years or three i
The impact of human settlements and cities around
aquatic ecosystems and increasing water demand
have led to the degradation of freshwater biodiversity
(Pelayo-Villamil et al. Discussion However, ongoing work to test the accuracy of
the sRLI in establishing proportions of threat in taxo-
nomic groups suggests that such estimates fall within
acceptable margins of error and give a good represen-
tation of the relative threat level of a taxonomic group
(Henriques, unpublished data).i High levels of data deficiency introduce uncer-
tainty into assessments of threat levels of taxo-
nomic groups and the resulting RLIs (Butchart and
Bird 2010). With improved knowledge of species, 1
ol.: (01 3
123456789) 3
123456789) Rev Fish Biol Fisheries 3
(1234567890) 1
Vol:. ( Rev Fish Biol Fisheries generations. Results offered by the Living Planet
Index, a measure of the trends of global biodiversity
based on population trends of vertebrate species from
around the world (McRae et al. 2017), showed an
average decline of around 52% for monitored marine
vertebrate populations since 1970 (WWF 2015),
compared to 84% for freshwater vertebrate popula-
tions (WWF 2020). This suggests that the risk of
population declines for those species with unknown
populations trends in our sample should not be under-
estimated, and that we need to push efforts towards
better monitoring and estimating populations. Fig. 4 Comparison among Global List of fishes (blue) and
Sampled list (brown) used to estimate the Sampled Red List
indices for all fishes, and marine and freshwater species sepa-
rately. A) Number of species belonging to the 15 more exten-
sive orders; B) number of species distributed by FAO Major
Fishing Areas; C) percentage of species habitat preferences,
according to FishBase (adapted from Holthus and Maragos
1995)
◂ Fig. 4 Comparison among Global List of fishes (blue) and
Sampled list (brown) used to estimate the Sampled Red List
indices for all fishes, and marine and freshwater species sepa-
rately. A) Number of species belonging to the 15 more exten-
sive orders; B) number of species distributed by FAO Major
Fishing Areas; C) percentage of species habitat preferences,
according to FishBase (adapted from Holthus and Maragos
1995)
◂ reassessments have led to reassignment of DD spe-
cies to non-DD categories (e.g. in birds (Butchart
and Bird 2010) and reptiles (Bland and Böhm 2016)). With close to one third of species in the Sampled List
for fishes having undergone reassessment already
(160 marine and 305 freshwater species), there are
already 34 fewer species listed as DD; these changes
to non-DD status have been mostly attributed to the
marine realm. Discussion Conversely, designation of species to
the DD category has also occurred as uncertainty
was not previously accurately acknowledged in some
assessments (18 species). Overall, the level of data
deficiency in our Sampled List of fishes is compara-
ble to that found in other species groups such as cray-
fish (Richman et al. 2015) and reptiles (Böhm et al. 2013), and lower than that observed in freshwater
crabs (Cumberlidge et al. 2009) and freshwater mol-
luscs (Böhm et al. 2020). While DD species should
be considered as potentially threatened until their sta-
tus can be properly assessed (IUCN 2012), they can-
not contribute to the Red List Index (Butchart et al. 2004) unless we improve our knowledge on these
species or their status can be meaningfully predicted,
e.g. using trait-based methods (Bland et al. 2015). Reducing data deficiency is thus important to produce
more robust extinction risk patterns and RLI values in
future (Bland and Böhm 2016). With data deficiency
in our sample highest in parts of Southeast Asia, this
region would make a logical place to target to reduce
DD, specifically for marine fish for which DD cur-
rently produces wide margins of uncertainty around
estimated threat levels. reassessments have led to reassignment of DD spe-
cies to non-DD categories (e.g. in birds (Butchart
and Bird 2010) and reptiles (Bland and Böhm 2016)). With close to one third of species in the Sampled List
for fishes having undergone reassessment already
(160 marine and 305 freshwater species), there are
already 34 fewer species listed as DD; these changes
to non-DD status have been mostly attributed to the
marine realm. Conversely, designation of species to
the DD category has also occurred as uncertainty
was not previously accurately acknowledged in some
assessments (18 species). Overall, the level of data
deficiency in our Sampled List of fishes is compara-
ble to that found in other species groups such as cray-
fish (Richman et al. 2015) and reptiles (Böhm et al. 2013), and lower than that observed in freshwater
crabs (Cumberlidge et al. 2009) and freshwater mol-
luscs (Böhm et al. 2020). While DD species should
be considered as potentially threatened until their sta-
tus can be properly assessed (IUCN 2012), they can-
not contribute to the Red List Index (Butchart et al. 2004) unless we improve our knowledge on these
species or their status can be meaningfully predicted,
e.g. Discussion Power of the analyses was equal to 1 in all cases Realms
χ2
Df
P
Orders
Total
36.31
46
0.846
Total DD
30.19
30
0.456
Marine
33.85
36
0.571
Freshwater
25.75
34
0.844
FAO areas
Total
33.99
25
0.108
Total DD
25.63
25
0.427
Marine
15.60
18
0.620
Freshwater
12.26
6
0.056
Habitat
Total
55.15
7
0.597
Total DD
7.85
7
0.346
Marine
79.12
7
0.340
Freshwater
66.93
7
0.462 in the sRLI assessments. Rivers are highly connected
linear structures (Hermoso et al. 2017): they are col-
lectors of terrestrial impacts of the landscapes they
drain, conducting them downstream. Management
plans therefore need to consider the unique character-
istics of freshwater systems and their high connectiv-
ity (Hermoso et al. 2016, 2017).i i
In this study, we calculated the baseline sRLI
for 2010, the year in which the assessments of the
selected 1,500 species were concluded, updated based
on recent knowledge gathered through reassessments
which have resulted in non-genuine changes of Red
List status of 157 species. The index results published
here provide the baseline towards monitoring global
extinction risk in this highly species-rich group,
allowing us to track future changes and trends in the
conservation status of the world’s fishes. Specifically,
through a future full reassessment of the sample, this
index enables us to track improvements or deteriora-
tions in the status of the world’s fishes. However, pre-
vious sRLI assessments have so far mainly achieved a
single status point, and are still struggling to present
trends in extinction risk over time, mainly due to Red
Listing requiring considerable time and resources
(Juffe-Bignoli et al. 2016). Recent work has shown
that where reassessments occur every ten years, ran-
domly drawn samples of 400 non-DD species from
the full species list may be sufficient to accurately
show direction of RLI trend of a group (Henriques
et al. 2020), thus reducing some of the time and y
Our study provides the first in-depth test of repre-
sentativeness of the sRLI — including the separate
disaggregated indices obtained for marine, freshwa-
ter, and also DD species — in terms of geographic,
ecological and trait diversity. Discussion 2015; Arthington et al. 2016),
especially through water pollution, dams and water
extraction, river fragmentation, habitat loss, and
establishment of non-native species (Arthington et al. 2016), all threats which were prominently recorded 1
ol.: (01 3
123456789) Rev Fish Biol Fisheries significantly higher proportion of threatened spe-
cies compared to marine fishes that occur in waters
deeper than 300 m (Polidoro et al. 2017). Similarly,
deep sea fishes are often assumed to be LC because
of a lack of intense fishing pressure on these fishes,
although low growth rates, late maturity, low fecun-
dity and long lifespans of many deep sea fishes make
them particularly vulnerable to any level of exploita-
tion (Baker et al. 2009). Here, we again showed that
there were no significant differences in the propor-
tions among taxonomic groups, geographic regions
and habitat types between the Sampled and full list of
fishes, while also showing representativeness of other
biological traits (life span, generation time, trophic
level and vulnerability index), both in the sRLI for
fish and its disaggregates into freshwater and marine
fishes, respectively. The Sampled List seems to not
only be sufficiently large to accurately detect trend
direction in the extinction risk of the world’s fishes
(Baillie et al. 2008; Henriques et al. 2020), but also to
be representative of the world’s fish taxonomic, trait
and ecological diversity. In terms of spatial represent-
ativeness, the data generated by the global freshwater
fish assessment— once completed — can be used to
re-evaluate the representativeness of our sRLI sample
of freshwater fishes spatially (Fig. 3). Table 1 Values of Chi-square distribution (χ2), degrees of
freedom (df) and probability values (P) comparing Global
(33,112 spp.) and Sampled List (1,500 spp.) by orders, FAO
areas and habitats, and considering total, Data Deficient spe-
cies (total DD), and marine and freshwater species separately. Data was obtained from FishBase (Froese and Pauly 2016). Power of the analyses was equal to 1 in all cases Table 1 Values of Chi-square distribution (χ2), degrees of
freedom (df) and probability values (P) comparing Global
(33,112 spp.) and Sampled List (1,500 spp.) by orders, FAO
areas and habitats, and considering total, Data Deficient spe-
cies (total DD), and marine and freshwater species separately. Data was obtained from FishBase (Froese and Pauly 2016). Discussion This is particularly
important since the sRLI method at present randomly
draws species from the species list; stratification of
the sample according to key measures was originally
considered, but was rejected as a workable strategy
due to the general lack of knowledge on any of these
factors prior to the assessment process (Baillie et al. 2008). Thus far, tests have only been carried out to
show that the recommended sRLI sample sizes are
large enough to accurately reflect species group
attributes regarding biogeographic realm, ecosystem
types and taxonomy (Baillie et al. 2008; Henriques
et al. 2020). Representativeness is important since,
for example, marine fishes that are restricted to the
continental shelf, and especially those that occupy
shallow habitats of less than 50 m depth, have a 1 3
l:. (1234567890) 1
Vol:. Rev Fish Biol Fisheries Table 2 Descriptive statistics (number N, mean, standard
error SE and median) of biological traits, Mann–Whitney U
test for equal medians (U) and Kolmogorov–Smirnov test for
equal distributions (D) and associated probabilities, compar-
ing features of Global (GL) and Sampled List (SL) of freshwa- ter (FW) and marine (M) fishes included on FishBase (Froese
and Pauly 2016). Besides, GL and Data deficient species (DD)
were compared for both marine and freshwater realms (All). Discussion Power of the analyses was equal to 1 in all cases Traits
Realm
List
N
Mean
SE
Median
U
P
D
P
Trophic level
FW
GL
14,848
3.04
0.48
3.10
4.71 × 106
0.562
0.045
0.145
SL
712
3.03
0.50
3.11
M
GL
15,262
3.42
0.46
3.40
5.32 × 106
0.637
0.034
0.405
SL
745
3.42
0.50
3.40
All
GL
29,266
3.25
0.003
3.27
4.41 × 106
0.0728
0.078
0.066
DD
284
3.30
0.03
3.30
Vulnerability
FW
GL
15,997
20.87
14.45
14.47
2.43 × 106
0.981
0.030
0.780
SL
714
21.5
13.90
15.77
M
GL
15,854
27.37
16.04
24.72
3.91 × 106
0.440
0.034
0.498
SL
745
27.36
15.40
24.73
All
GL
30.838
25.43
0.09
21.55
4.66 × 106
0.0898
0.076
0.077
DD
286
27.04
0.99
24.24
Life span
FW
GL
12,024
5.80
7.23
3.70
3.24 × 106
0.118
0.045
0.214
SL
560
5.72
6.00
3.90
M
GL
13,265
7.73
7.94
5.40
4.26 × 106
0.354
0.043
0.183
SL
657
7.28
6.30
5.10
All
GL
24,282
7.035
0.05
4.60
2.97 × 106
0.497
0.049
0.623
DD
239
7.22
0.47
4.70
Generation time
FW
GL
12,011
2.21
2.56
1.51
3.25 × 106
0.214
0.043
0.282
SL
558
2.15
2.00
1.58
M
GL
13,259
2.80
2.66
2.11
4.25 × 106
0.273
0.041
0.241
SL
657
2.67
2.20
2.00
All
GL
24,269
2.61
0.02
1.8
3.162 × 106
0.016
0.111
0.005
DD
239
3.02
0.19
2.19 resource constraints from the reassessment process. Applying this reduced sample size to our sRLI for
fishes, the respective sample sizes for marine (631
non-DD species) and freshwater fishes (617 non-DD
species) are large enough to function as stand-alone,
disaggregated indices.i in recent years (i.e. changes because of improved data
rather than actual improvements or deteriorations in
extinction risk status). We also identified thirteen
genuine status changes from 441 reassessments car-
ried out so far. Based on this preliminary work, we
next need to prioritise reassessments of those species
which were in threatened or Near Threatened catego-
ries in 2010. As in other assessment processes, Least
Concern species may be fast-tracked more rapidly
through the assessment process (Red List Technical
Working Group 2018). Finally, application of ret-
rospective assessments to assess past extinction risk
status from a present perspective (Hoffmann et al. 2011; Di Marco et al. 2014; Kyne et al. 2020) should
be considered to derive long-term trends in extinction
risk over time. Ethical approval Not applicable. Open Access This article is licensed under a Creative Com-
mons 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 Crea-
tive 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/. Availability of data and material All data were obtained
from public and open-access repositories. Availability of data and material All data were obtained
from public and open-access repositories. Baillie JEM, Griffiths J, Turvey ST et al (2010) Evolution Lost:
Status and Trends of the World’s Vertebrates. Zoological
Society of London, Londoni Code availability All code used in the study is explained in
the manuscript. Baker KD, Devine JA, Haedrich RL (2009) Deep-sea fishes
in Canada’s Atlantic: Population declines and predicted
recovery times. Environ Biol Fishes 85:79–88. https://doi.
org/10.1007/s10641-009-9465-8 Discussion A reassessment would allow us to check how fishes
fared against Aichi Target 12, and provide a starting
point for better conservation action and management
for these vital aquatic resources. Many of the origi-
nal assessments have already undergone (20,878 fish
species) or are in the process of reassessment of their
IUCN Red List status. As such, as a first step for reas-
sessment of the sRLI, we have already collated recent
reassessments and produced preliminary updates of
the 2010 status of those species which had under-
gone non-genuine changes in their assessment status 1
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Historic constructions of the early multinational: on power, politics and culture in Pan Am narratives
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This is an electronic reprint of the original article.
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Historic constructions of the early multinational : On power, politics and culture in
Pan Am narratives
Kivijärvi, Marke; Mills, Albert J.; Mills, Jean Helms
Kivijärvi, M., Mills, A. J., & Mills, J. H. (2018). Historic constructions of the early
multinational : On power, politics and culture in Pan Am narratives. International
Journal of Business and Globalisation, 20(2), 222-250.
https://doi.org/10.1504/IJBG.2018.10010230
2018 This is an electronic reprint of the original article. This reprint may differ from the original in pagination and typographic detail. Author(s):
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Historic constructions of the early multinational : On power, politics and culture in
Pan Am narratives
Kivijärvi, Marke; Mills, Albert J.; Mills, Jean Helms
Kivijärvi, M., Mills, A. J., & Mills, J. H. (2018). Historic constructions of the early
multinational : On power, politics and culture in Pan Am narratives. International
Journal of Business and Globalisation, 20(2), 222-250. https://doi.org/10.1504/IJBG.2018.10010230
2018 This is an electronic reprint of the original article.
This reprint may differ from the original in pagination and typographic detail. This is an electronic reprint of the original article. This reprint may differ from the original in pagination and typographic detail. Author(s): Kivijärvi, Marke; Mills, Albert J.; Mills, Jean Helms Please cite the original version:
Kivijärvi, M., Mills, A. J., & Mills, J. H. (2018). Historic constructions of the early
multinational : On power, politics and culture in Pan Am narratives. International
Journal of Business and Globalisation, 20(2), 222-250. https://doi.org/10.1504/IJBG.2018.10010230 All material supplied via JYX is protected by copyright and other intellectual property rights, and
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material may be duplicated by you for your research use or educational purposes in electronic or
print form. You must obtain permission for any other use. Electronic or print copies may not be
offered, whether for sale or otherwise to anyone who is not an authorised user. 1 Int. J. Business and Globalisation, Vol. X, No. Y, xxxx Albert J. Mills Albert J. Mills
Sobey School of Business,
Saint Mary’s University,
Sobey Building, 903 Robie Street,
Halifax, Nova Scotia, B3H 3C3, Canada
and
Business School,
University of Eastern Finland,
Kuopio, Finland
Email: albert.mills@smu.ca Copyright © 20XX Inderscience Enterprises Ltd. Historic constructions of the early multinational:
on power, politics and culture in Pan Am narratives Marke Kivijärvi*
Jyväskylä University School of Business and Economics,
University of Jyväskylä,
P.O. Box 35,
FI-40014, Jyväskylä, Finland
Email: marke.t.kivijarvi@jyu.fi
*Corresponding author Marke Kivijärvi*
Jyväskylä University School of Business and Economics,
University of Jyväskylä,
P.O. Box 35,
FI-40014, Jyväskylä, Finland
Email: marke.t.kivijarvi@jyu.fi
*Corresponding author M. Kivijärvi et al. Reference to this paper should be made as follows: Kivijärvi, M., Mills, A.J. and Helms Mills, J. (xxxx) ‘Historic constructions of the early multinational:
on power, politics and culture in Pan Am narratives’, Int. J. Business and
Globalisation, Vol. X, No. Y, pp.xxx–xxx. Biographical notes: Marke Kivijärvi is a University Teacher of management
and leadership at the Jyväskylä University School of Business and Economics. She received her PhD from the University of Eastern Finland – focusing on
postcolonial discourse in Finnish business actors’ strategy making vis-à-vis the
Chinese market. Her research focuses on postcolonialism and gendered
discourses of management and leadership. Albert J. Mills is Professor of management and Director of the PhD
(Management) program at the Sobey School of Business, Saint Mary’s
University, Canada. His primary interest lays in the study of historiography, the
sociology of management knowledge, gender, and management and
organisational studies. His 40 books and edited collections include
Management
and
Organization
Theory
over
Time:
Development,
Dissemination, and Context (Emerald, in press); The Routledge Companion to
Management & Organizational History (2015); ANTi-History: Theorizing the
Past, History, Historiography in Management and Organizational Studies
(IAP, 2012); and Sex, Strategy and the Stratosphere: The Gendering of Airline
Cultures (Palgrave, 2006). He is the Co-Editor of Qualitative Research in
Organizations and Management: An International Journal. Jean Helms Mills is a Professor of Management in the Sobey School of
Business, Saint Mary’s University, Canada, Docent at Jyväskylä University
School of Business, Finland and has been a Senior Research Fellow at Hanken
School of Economics, Helsinki, since 2008. She has presented her work on
historiography, critical sensemaking, gender, culture and change at numerous
conferences and published in various journals. Currently, she is a Co-Editor of
Qualitative Research in Organizations and Management and Associate Editor
for Gender, Work and Organization. She is past divisional Co-Chair of the
Critical Management Studies Division of The Academy of Management. This paper is a revised and expanded version of a paper entitled ‘Historic
constructions of the early multinational: on power, politics and culture in Pan
Am’ presented at 9th International Conference in Critical Management Studies,
Leicester, 8–10 July 2015. Jean Helms Mills Sobey School of Business,
Saint Mary’s University,
Sobey Building, 903 Robie Street,
Halifax, Nova Scotia, B3H 3C3, Canada
Email: jean.mills@smu.ca Abstract: This paper examines how Pan American World Airways (Pan Am) –
an early incarnation of a multinational enterprise (MNE) – developed its image
as an international company. In particular we examine how the company
developed and managed potentially conflicting narratives, including the
modernising US company and the airline of ‘the Americas’ (specifically South
America); the carrier of US national interests and the politically neutral actor
serving to unify cultures; the purveyor of exotic experiences and the pioneer of
modernism. Through a focus on organisational narratives we reveal the
powerful influence of such story telling (through design and serendipity) on
images of the peoples and countries where the MNE operates. In contributing
to the narrative turn in business history we argue for a relational approach to
narrative analysis. Keywords: business history; corporate archives; narrative; international
business; multinational companies; postcolonialism; airlines; relationalism. Copyright © 20XX Inderscience Enterprises Ltd. 2 M. Kivijärvi et al. 1
Introduction In this article we explore the challenges and resolve of Pan American World Airways
(Pan Am) as an early form of the multinational enterprise. Through analysis of some of
the major narratives produced by the airline we examine how those narratives serve to
make sense of the potential conflicts involved in being primarily headquartered in one
(Western) country (see Figure 1) while operating in several others (especially so-called
third world countries of ‘the South’), and how this in turn is linked to the construction of
corporate identity as an international company (or MNE). Drawing on narrative analysis (Carr, 1991), we draw insights for the development of
multinational corporate identity; the role of the multinational enterprise in the production
and performance of postcoloniality (i.e., Western productions of images and Historic constructions of the early multinational Historic constructions of the early multinational 3 understandings of non-Western subjects (Amoko, 2006); contribute to the case for an
historic turn in business studies (Booth and Rowlinson, 2006) and argue for the use of
narrative analysis in business history. Furthermore, we take the position that analysing
how multinational enterprises constructed their understanding of being an international
company in the past, allows us to understand the complexities framing MNE’s today. To
that end we employ historic analysis as a means to discover how ideas of the
multinational enterprise are constructed and change over time. Figure 1
Pan Am’s headquarters in New York (built in 1963) (see online version for colou
Note: All images and photographs in this article are reproduced with kind permission of
the Panam Historical Foundation. Figure 1
Pan Am’s headquarters in New York (built in 1963) (see online version for colours) Note: All images and photographs in this article are reproduced with kind permission of
the Panam Historical Foundation. As MNEs have become key drivers of globalisation, they have simultaneously become
open to critical questioning including postcolonial commentaries with claims that
multinational corporations from Europe and the USA enact imperial practices in Asia,
Africa and South America (Banerjee et al., 2009). According to some postcolonial
scholars, the power and control of MNEs over their operating environment have
“made management into the spearhead of neo-colonialism in the age of decolonization”
[Frenkel and Shenhav, (2006), p.871]. Nonetheless, in spite of the growing interest in
postcolonial analyses within management and organisation studies, empirical illustrations
from organisational settings are scarce (for exceptions see Mir et al., 2008). 1
Introduction Boussebaa
and Morgan (2014, p.102) propose that examinations of the imperial nature of
multinationals may benefit, among others, from “more exploration of the history of
MNCs and their function in the imperial enterprise of yesteryear”. Accordingly, this
paper seeks to deepen our empirically grounded and historical understanding of the issues
of power that frame multinational corporations. To achieve this aim we deploy
postcolonial theory (Said, 1979; Young, 2001) for analysis of how organisational
narratives serve to construct the MNE identity and, in the process, draw on postcolonial
understanding of the firm. This, in large part, draws us to Pan Am, an airline whose
growth owes much to the building of its routes throughout South America and the
Caribbean and with the direct assistance of the US State Department. Our empirical study consists of a critical examination of narratives produced by
Pan Am. We view Pan Am as an early MNE (Wilkins, 1974), which was the primary and M. Kivijärvi et al. M. Kivijärvi et al. 4 largest US-based international airline in operation between 1927–1991. By the early
1940s alone the airline was operating flights to every continent across the globe. We
focus on the time period 1927 to the early 1940s to trace the relationship between the
airline’s development and its image(s) as an international company. In this paper we reveal how the overall narrative of Pan Am rests on glorifying the
company’s technological advantage and its position as the leading international air
carrier. Our detailed analysis of the international aspects of the case illustrates that the
various company narratives intertwine culture, politics and power in ways that help to
sustain the integrity of the multinational firm in the eyes of different audiences, the local
international markets and the home country. That is, in spite of the seeming neutrality of
the narratives, a critical deconstruction of the stories reveals the underlying processes that
imbue power and control over the international territories in which this US company
operates and raise the question of the role that Pan Am played in laying the ground work
for the post-World War II neo-colonial actions of the US Government in much of Latin
America and beyond (Ellsberg, 2002; Mignolo, 1991; Zinn, 1999). Through historical analysis, and specifically narrative analysis, we provide an
effective means to explore the dynamics framing the processes through which MNC
identity is shaped over time. 1
Introduction Moreover, through the empirical illustration of the
postcolonial nature of Pan Am narratives, the paper provides a historic deconstruction of
and contextualised explanation for the multiple issues of power that still resonate in MNE
actions today. 2
Theoretical background 2.1 Business history and narrative analysis: a relational approach 2.1 Business history and narrative analysis: a relational approach Although narrative analysis has made an impact within the discipline of history as a
whole (Carr, 1991) its influence on business history has been much more limited
(Rowlinson et al., 2014). In large part this may be due to the continued dominance of
realist philosophy in business history (Durepos and Mills, 2012a) and resistance to the
apparent relativism of poststructuralist historiography (Jenkins, 1991; Munslow, 2010) in
which narratives can be seen as an alternative to realism (Iggers, 1997). Indeed, there is
considerable ambiguity in narrative approaches to history, with some historians
suggesting that narratives are constructions of real events and actors (Carr, 1991) and
others suggesting that the past and history are ontologically dissonant and thus history
can never be anything but a narration of an assumed past (Munslow, 2010). In the former
approach narratives approximate to a real and truthful account – a single truth that is
subject to modification as other evidence is unearthed. In the latter approach narratives
depend on a number of factors (e.g., the storytellers, time, context and the historian) that
are influenced by socio-political effects, providing a plurality of potential narratives. The position taken in this paper, although closer to the latter (poststructural) approach
incorporates elements of both approaches. To begin with, one of our starting positions is,
what we call, small ‘r’ real. That is to say that we view the stories that are told (by those
involved in events and the historians who narrate them) as having some material basis
viz. Juan Trippe was the President of Pan Am for much of its early years; the textual
materials produced by the airline were produced by people with a range of purposes
(conscious and unconscious; deliberate and unintentional). We nonetheless reject the Historic constructions of the early multinational 5 notion that narrative accounts represent or approximate to some actual historical truth. Indeed, we go beyond White (1973) and poststructuralist historiography in the argument
that so-called facts depend on the narrative skills of the historian. Rather, we contend,
these ‘facts’ also depend on the historian’s interface with actor-networks (Durepos and
Mills, 2012b) and the relationship of the discipline of History with public and popular
histories (Kalela, 2012) – all of which provide the potential for multiple narratives. Finally, we eschew relativism for relationalism (Durepos and Mills, 2012a, 2012b;
Durepos et al., 2012). 2.1 Business history and narrative analysis: a relational approach While relativists contend that a lack of empirically verifiable
grounding means that all (narrative) accounts are more of less equal, relationalists seek to
understand narrative accounts through their empirically verifiable grounding in
actor-networks (Latour, 2005). Far from producing realist accounts of history, the relationalist (or ANTi-History)
approach (Durepos and Mills, 2012a) view history as discursive rather than factual
(see also Jenkins et al., 2007). To that end, we contend that the importance of history is
not its representational value (e.g., based on a true story) as much as its socio-political
influence in legitimising and encouraging certain values and beliefs. For example,
existing histories of Pan Am (Bender and Altschul, 1982) tend to glorify men and
machines to the exclusion of women and service (Dye and Mills, 2011) as if the
disparities are explained away through reference to their underlying representation of the
truth. A relational approach, on the other hand, would seek to understand how has a given
history been produced and how does its processes of production influence people’s
understandings of reality? In short, we propose a sociology of historical knowledge
geared to understanding how certain elements of the past come to be produced as history 3.1 Narratives and the study of Pan Am Research for this paper arose out of a much larger study of Pan Am and involved
narrative analysis of several existing written histories (Bender and Altschul, 1982), other
airline and aviation histories (Newton, 1978); and archived material from ‘Special
Collection 341 Pan American World Airways’, housed at the University of Miami’s Otto
Richter Library. Research for this paper arose out of a much larger study of Pan Am and involved
narrative analysis of several existing written histories (Bender and Altschul, 1982), other
airline and aviation histories (Newton, 1978); and archived material from ‘Special
Collection 341 Pan American World Airways’, housed at the University of Miami’s Otto
Richter Library. Our archival research entailed reading through a range of draft corporate histories and
numerous other archived materials, including annual general reports, in-house
newsletters, advertisements, news reports, travelogues and various other corporate
materials. Essentially we were looking for various and predominant stories that the airline
constructed (either deliberately and consciously or unconsciously and inadvertently)
about themselves and others (e.g., nationals of the various countries served by the
airline). We were interested in the stories that the airline was constructing and their
socio-political impact rather than seeking out any verifiable truth. p
p
g
y
Using a postcolonial lens (i.e., how positions of colonial dominance are created,
maintained and challenged – Mignolo, 1991; Mir et al., 2008), we were particularly
interested in understanding how a company of Pan Am’s geographical reach and
economic and political power contributed to (Western) understandings of the USA and of
Latin America. To that end, we draw on historical analysis for the purposes of
understanding both how history is received and understood through narratives and how
narratives themselves appear to those involved as historical truths or knowledge. Thus,
rather than treating the past as ‘an instrument for present-day concerns’ [Kipping and
Üsdiken, (2008), p.113], we use the historical perspective to examine in detail the
so-called effect of truths carried by historical narratives, the establishment of power
relations though these narratives, and the actions such narratives help to set in motion. Kipping and Üsdiken (2008) recognise international business as one of the exceptions in
management studies that have more widely applied historical research. As Scott and
Christensen (1995) contend, organisations are embedded not only in current pressures but
are also influenced by past circumstances. 3
The research case – Pan Am Pan Am was a US-based international aviation company operating from 1927 until 1991. The airline is often discussed through references to its glorious and pioneering history in
aviation engineering, such as the development of jet aircraft and the building of one of
the earliest computerised reservation system. Even more so, Pan Am is heralded as the
company that flew the largest amount of international air routes of its time: it is this
multinational character of the company, with its engagement with numerous countries
across the globe, which is the focus of our interest. Since its inception, Pan Am grew to become the primary aviation company in the
USA, and the most significant player in international aviation in its time. The
establishment of Pan Am took place with the support of the US Government, specifically
the State Department, which worked to block the airlines of other foreign powers from
gaining significant position in the air routes form South America to the USA as well as
helping the airline to establish air power in the southern hemisphere (Daley, 1980). In a
short space of time (largely between 1927 and 1930), Pan Am’s international system
covered routes throughout Latin America (see Figure 2) and then on to China (1935) and
other countries across the globe. The international growth of the company and the existence of an extensive archive
provides us with opportunities to deconstruct the narrative processes associated with its
growth into an international system and also to reflect on how understandings of the
company and the changes are shaped by its complex role in the USA. 6 M. Kivijärvi et al. Figure 2
Pan Am’s routes by 1930 (see online version for colours) Figure 2
Pan Am’s routes by 1930 (see online version for colours) Figure 2
Pan Am’s routes by 1930 (see online version for colours) g
y
(
)
3.1 Narratives and the study of Pan Am 3.1 Narratives and the study of Pan Am 3.2 Multinational companies and power Postcolonial studies originate from Said’s path-finding 1979 publication orientalism,
where he explored the power structures framing European colonisers’ discourse on their
colonies (Young, 2001). Building on Foucault’s notion of discourse, Said examined
Western representations of the Middle East and its Islamic Arab peoples in European
scholarly and literary writing. Among postcolonial scholars there is consensus that today
Western colonialism is taking place through political, economic, and cultural hegemony,
instead of the traditional expansion and territorial control. We thus join the critical and
postcolonial studies in management and organisation, viewing postcolonialism as a
theoretical approach that can be used in contemporary society to address the continuing
imprint of the colonial legacy on the West and non-West (Prasad, 2003). We use it for the
purposes of providing a ‘comprehensive critique and deconstruction of the constitutive
practices and discourses of neo-colonialism’ [Banerjee et al., (2009), p.8]. Postcolonial studies have entered organisation and management research during the
last decade, criticising Western hegemony of management practices and discourses
(Frenkel, 2008; Prasad, 2003; Westwood and Jack, 2008). Critiques of international
management literature point out how mainstream international management scholars
have come to depict Western corporations as the source of managerial knowledge, which
is to be transferred to and replicated in local subsidiaries (Frenkel, 2008; Jackson, 2012). Postcolonial critiques have been predominantly directed at the power asymmetries that
frame multinational action. While Said and others explored postcolonialiality (Amoko,
2006) through literary studies there are few analyses focusing on the discursive
production of neo-colonial power relations in organisational settings (Hartt et al., 2012). The context of the multinational company provides, however, a compelling setting for
postcolonial analysis. We argue that there is lack of empirically grounded discussion of how people in
multinationals develop ideas of the organisation and other organisations. There is also a
lack of studies that show how these processes of portraying multinational action through
power imposed on (non-Western) people as others became the taken-for-granted
discourses of MNE’s today. We suggest that answering these questions are made possible
through historic narrative inquiry of the early multinational companies. It is through
narrative inquiry that we can reach contextual understanding of the conditions
(both political and economic) under which multinationals construct and enact their
identity. 3.2 Multinational companies and power Thus examination of the narratives evoked to produce the multinational
company’s action in the web of relations, may help us understand the postcolonial
processes it legitimised and set in motion and how these actions were developed and
self-evidently adopted by MNC’s of today. 3.1 Narratives and the study of Pan Am Our study continues these efforts by focusing
on the role of narratives in the construction of MNE identity. 7 Historic constructions of the early multinational 4.1 Working in the archives In our analysis of the Pan Am collection we focused on materials dealing with the
airline’s international expansion/overseas operations, which provided a means to
establish understanding of how these narratives produced Pan Am’s identity as an
international firm. We relied mostly on company-produced materials, as our interest was M. Kivijärvi et al. 8 to examine how Pan Am relates to its transformation into a multinational company
through narratives. This involved analysis of such things as transcripts of chief
executives’ speeches, press releases by the Pan Am public relations divisional office,
advertisements, annual reports, internal correspondence and minutes of meetings, and
company newsletters (including the Clipper, which was the official in-house newsletter
and New Horizons, which was a periodical published for the personnel of the Pan Am). However, we also included newspaper articles and published books to explain how
particular versions of Pan Am’s identity became widely adopted in the public narrative. Moreover, we draw on drafts of an unpublished company history, found in the archives,
as illustrations of the politics involved in Pan Am’s identity construction. For example,
the correspondence between the author of one of Pan Am’s histories and Pan Am
representatives reveal how the airline’s leaders aimed at sustaining particular views of the
company to the public, and in maintaining control over how the story of Pan Am is to be
told (Durepos et al., 2008a). 4.2 Narrative analysis We take the position that narratives are very much involved in constructing identities, not
only of the individuals but also of organisations (Boje, 2010; McKenna, 2010). The
narrative approach, thus, can be used to explore the ‘role of narrative in the social
construction of historical accounts’ (Bryman et al., 2011). This means that rather than
looking for evidence of the historical facts (Boje, 2010; White, 1973), we seek to
understand the role that stories play in constructing corporate identity and the
implications for others in the organisational field (DiMaggio, 1988) and operating
environments. Narratives are produced for different audiences (Eriksson and Kovalainen, 2008), and
this is particularly important when analysing the identity construction of multinational
firms, which by nature are embedded in several stakeholders. Therefore, in addition to
identifying the shared narrative expressed in the various documents, we recognise that the
stories directed at different audiences may portray the company in different lights. Narratives include a performative element (Eriksson and Kovalainen, 2008), which leads
us to ask what it is that the narratives do. Thus, in our reading of the various archival
documents we sought to understand the ‘functions’ of the different narratives [Bryman
et al., (2011), p.420], which means that our concern was not only with identifying the
narratives, but what purposes these narratives served in constructing Pan Am’s identity,
what kinds of identity do they convey and how do they portray the company and others. We can see Pan Am’s intervention in also how it tries to control the narratives
constructed by others. This means that we see the power that is invested in storytelling
and it allows us to point out the postcolonial nature of the identity construction, in
particular. Stories are not only a way to produce self-identity, but they also build relations to
others (Eriksson and Kovalainen, 2008), and in the paper we examine, in particular, how
the narrative identity constructions of Pan Am set up postcolonial relations to its
international counterparts. Narrative analysis is suitable for analysing historical accounts
and their development for it is sensitive to the way by which stories meld together
temporal patterns and events (Bryman et al., 2011). 4.2 Narrative analysis Finally, narratives are arguably
always shaped by the social context in which they are produced (Eriksson and 9 Historic constructions of the early multinational Kovalainen, 2008), allowing us to expose and understand the political and other
contextual processes mediating how Pan Am situates itself as a multinational company. Our analysis is guided by the following questions: How is the identity of Pan Am
produced through company narrative accounts? How do they change over time? How do
the narrative identities relate to and influence the wider context of the MNE? Finally,
how do the narratives serve to set up power relations? Our narrative reading of the extensive archival materials involved, at the textual level,
an analysis of the metaphoric expressions, tone, wording and other linguistic means used
to portray and construct Pan Am and its relation to its international markets. The
interpretative process of going back and forth between the materials and sensitising these
to our postcolonial theoretical lenses, have led to the identification of the narratives
involved in constructing the multinational character of Pan Am. These will be discussed
in-depth in the following sections. 5
Pan Am: a brief chronology of developments, 1927–1941 I (Miami); Division II (Mexico City and Brownsville); and Division III (Cristobal)1 – see
Figures 3 and 4. I (Miami); Division II (Mexico City and Brownsville); and Division III (Cristobal)1 – see
Figures 3 and 4. I (Miami); Division II (Mexico City and Brownsville); and Division III (Cristobal) – see
Figures 3 and 4. Figure 3
A crowd gather at Miami airport to greet the opening of Pan Am’s coordinated route
system (January 9, 1929)
Figure 4
A Pan Am flight takes off from Miami airport
1930 saw ACA’s acquisition of Sociedad Colombo-Alemana de Transportes Aéreos
(SCADTA) of Colombia; New York, Rio, Buenos Aires Lines; and Panair do Brasil. They also established an operation arrangement with the British Imperial Airways, to fly
into Bermuda. The annual report for the year continues to praise the US Government for
its assistance and refers to the relations “between the various operating units of [the Pan
Am] System and the thirty-one foreign countries to which service is available” [Aviation
Corporation, (1930), p.7]. Relationships with ‘foreign governments’ are described as
‘increasingly cordial’ and reference is made to “the esprit de corps on the part of all
personnel [as] already traditional, reflecting loyalty and devotion to the system and pride
in its service” (ibid, pp.7, 11). By 1931, the airline was organised into Caribbean,
Western and Brazilian Divisions (ibid, p.3), serving 36 ‘countries and colonies’ over
20,664 ‘international’ route miles, up from 251 in 1928 [Pan American Airways, (1931a),
p.12, (1931b)]. The following year Pan Am’s routes circled the Americas, from
Brownsville (Texas) and Miami (Florida) down to Buenos Aires (Argentine) and back. Figure 3
A crowd gather at Miami airport to greet the opening of Pan Am’s coordinated route
system (January 9, 1929) Figure 3
A crowd gather at Miami airport to greet the opening of Pan Am’s coordi
system (January 9, 1929)
Figure 4
A Pan Am flight takes off from Miami airport Figure 4
A Pan Am flight takes off from Miami airport 1930 saw ACA’s acquisition of Sociedad Colombo-Alemana de Transportes Aéreos
(SCADTA) of Colombia; New York, Rio, Buenos Aires Lines; and Panair do Brasil. They also established an operation arrangement with the British Imperial Airways, to fly
into Bermuda. 5
Pan Am: a brief chronology of developments, 1927–1941 Pan American Airways, Inc., was established in 1927 by an amalgam of three small
airline companies anxious to take advantage of US mail contracts being awarded by the
Postmaster General’s office. The contracts were aimed at more speedy and effective mail
delivery between the USA and much of Central and South America (Daley, 1980). Juan
Trippe was named President and General Manager of Pan Am. The airline operated under
a holding company called the Aviation Corp of America and was awarded a contract to
carry mail from Miami and Key West, Florida (USA) to Havana (Cuba). In 1928 the
holding company merged with another aviation holding company to form the Aviation
Corp of the Americas (ACA). As we shall see below, the seemingly inconsequential
adding of an ‘s’ to the end of the name had huge consequences for how the company was
positioning itself. Following the inauguration of its first commercial flight from Key
West (Florida) to Havana (Cuba) in 1927, Pan Am rapidly occupied the position of
number one carrier to and within South America. From the beginning of 1929 the airline
expanded rapidly through acquisitions of existing airlines throughout Central and South
America, starting with Compania Mexicana de Aviacion (CMA). By the end of 1929 Pan
Am had also acquired Peruvian Airways, and Chilean Airways, and a fifty percent share
in a new Pan American-Grace Airways (Panagra) company. y
g
p
y
Detailing these developments in its first annual report [Aviation Corporation, (1928),
p.4], the airline indicated that it had gone from one international fight (Key
West–Havana) to a point where it now consisted of three ‘divisions’ – Caribbean
(including Miami, Cuba, Haiti, the Dominican Republic and Puerto Rica); Central
America (including operations in Yucatan, Honduras, Guatemala, Salvador, Nicaragua,
Costa Rica, Panama, and ‘the Canal Zone’; and Mexican (Brownsville, Texas; Mexico
and part of Yucatan) (Aviation Corporation of the Americas, ‘Annual Report’, pp.4–5). The 1929 ACA Annual Report refers to the airline routes as a system serving
‘28 countries and colonies’ throughout Central and South America, and the company
thanks the US Government for ‘its progressive and far sighted policy’ in support of
Pan Am’s efforts throughout the region [Aviation Corporation, (1929), p.2]. Airline
Divisions were now divided according to key operations locations, consisting of Division 10 M. Kivijärvi et al. 5
Pan Am: a brief chronology of developments, 1927–1941 The annual report for the year continues to praise the US Government for
its assistance and refers to the relations “between the various operating units of [the Pan
Am] System and the thirty-one foreign countries to which service is available” [Aviation
Corporation, (1930), p.7]. Relationships with ‘foreign governments’ are described as
‘increasingly cordial’ and reference is made to “the esprit de corps on the part of all
personnel [as] already traditional, reflecting loyalty and devotion to the system and pride
in its service” (ibid, pp.7, 11). By 1931, the airline was organised into Caribbean,
Western and Brazilian Divisions (ibid, p.3), serving 36 ‘countries and colonies’ over
20,664 ‘international’ route miles, up from 251 in 1928 [Pan American Airways, (1931a),
p.12, (1931b)]. The following year Pan Am’s routes circled the Americas, from
Brownsville (Texas) and Miami (Florida) down to Buenos Aires (Argentine) and back. 1930 saw ACA’s acquisition of Sociedad Colombo-Alemana de Transportes Aéreos
(SCADTA) of Colombia; New York, Rio, Buenos Aires Lines; and Panair do Brasil. They also established an operation arrangement with the British Imperial Airways, to fly
into Bermuda. The annual report for the year continues to praise the US Government for
its assistance and refers to the relations “between the various operating units of [the Pan
Am] System and the thirty-one foreign countries to which service is available” [Aviation
Corporation, (1930), p.7]. Relationships with ‘foreign governments’ are described as
‘increasingly cordial’ and reference is made to “the esprit de corps on the part of all
personnel [as] already traditional, reflecting loyalty and devotion to the system and pride
in its service” (ibid, pp.7, 11). By 1931, the airline was organised into Caribbean,
Western and Brazilian Divisions (ibid, p.3), serving 36 ‘countries and colonies’ over
20,664 ‘international’ route miles, up from 251 in 1928 [Pan American Airways, (1931a),
p.12, (1931b)]. The following year Pan Am’s routes circled the Americas, from
Brownsville (Texas) and Miami (Florida) down to Buenos Aires (Argentine) and back. 11 11 Historic constructions of the early multinational Figure 5
The China Clipper flies over Pearl Harbour, November 1935 (see online
for colours) Figure 5
The China Clipper flies over Pearl Harbour, November 1935 (see online version
for colours) 5.1 A retrospective narrative history On 1 January 1942, the Public Relations Department of Pan Am’s Eastern Division
developed, what it called, a ‘Story of the Eastern (‘Mother’) Division. Pan American
Airways System, 1927–1942’. It is not clear why the 39-page story was developed but a
later commentator has speculated that it was ‘propaganda’ geared to the onset of World
War II and the potential for US involvement (Pan American World Airways, 1942). From
the very opening the story attempts to establish Pan Am’s roots as pioneering of the most
dramatic kind, likening the airline to the Spanish conquistadores and painting a picture of
an undiscovered terrain below the borders of the USA. It sets up the notion of Pan Am as
a heroic, pioneering, technologically advanced, and international company and its
neighbours to the South as passive, backward, in need to help and discovery: “The old-time explorers, the bloody conquistadores driving their conquests
through virgin lands with sword and flame, the hardy pioneers of both
Americas slashing their settlements out of the wilderness – these are well
matched by the Americans of 1927 and succeeding years who pushed the
pioneering inter-American airline from Florida south, throwing the great loops
of the international ‘railway lines of the air’ around and across the Caribbean
sea, over the rough reaches of Mexico and Central America, down the Pacific
coast, over the lofty Andes, barrier of the ages, and around the great South
American continent. These great tasks with all their complicated detail called
for pioneering of a type similar to that which has marked all the world’s great
periods of progress.” M. Kivijärvi et al. M. Kivijärvi et al. Figure 5
The China Clipper flies over Pearl Harbour, November 1935 (see online version
for colours)
Figure 6
CNAC routes (see online version for colours)
Over the next decade or so, the company continued to acquire airlines throughout Central
and South America, including the Bahamas, Colombia, Cuba, Dominican Republic,
Guatemala, Honduras, Mexico, Nicaragua, Panama, and Venezuela but also Alaska
(1932) and China (Mills, 2006). It was also developing a range of new international
routes outside of the region, starting with the acquisition of Pacific Alaska Airways in
1932 and a substantial holding (45%) in China National Aviation Corp (CNAC) in
1933 – see Figures 5 and 6; flights from the USA to ‘Australasia, via Canton Island and
New Caledonia’ (1940) and to Africa in 1942; and flights from South America to Europe
in 1941. In 1934 the airline added a ‘Pacific’ Division to its existing Caribbean, Western
and Brazilian Divisions (Pan American Airways Corporation, 1934) but acquisitions
were moving fast and in 1935 the divisions were renamed Western, Eastern and Pacific
[Pan American Airways Corporation, (1935), p.3]. An Atlantic Division was added in
1937 (ibid, p.3) but in 1943, facilitated by a shift from seaplanes to land planes, the
Eastern and Western Divisions were merged to form the Latin American Division
(Pan American World Airways, 1943). Figure 6
CNAC routes (see online version for colours) Over the next decade or so, the company continued to acquire airlines throughout Central
and South America, including the Bahamas, Colombia, Cuba, Dominican Republic,
Guatemala, Honduras, Mexico, Nicaragua, Panama, and Venezuela but also Alaska
(1932) and China (Mills, 2006). It was also developing a range of new international
routes outside of the region, starting with the acquisition of Pacific Alaska Airways in
1932 and a substantial holding (45%) in China National Aviation Corp (CNAC) in
1933 – see Figures 5 and 6; flights from the USA to ‘Australasia, via Canton Island and
New Caledonia’ (1940) and to Africa in 1942; and flights from South America to Europe
in 1941. In 1934 the airline added a ‘Pacific’ Division to its existing Caribbean, Western
and Brazilian Divisions (Pan American Airways Corporation, 1934) but acquisitions
were moving fast and in 1935 the divisions were renamed Western, Eastern and Pacific
[Pan American Airways Corporation, (1935), p.3]. An Atlantic Division was added in
1937 (ibid, p.3) but in 1943, facilitated by a shift from seaplanes to land planes, the
Eastern and Western Divisions were merged to form the Latin American Division
(Pan American World Airways, 1943). 12 5.2 The pioneer of international airways As fanciful as the public relations’ story is it was arguably developed from numerous
Pan Am narrative accounts over the years. Throughout the reading of Pan Am materials
there is evidence of a meta-(or all-encompassing) narrative that constructs the airline as a
heroic, pioneering, technologically advanced and international company. As early as February 1930, in the first volume of its Pan American Air Ways
newsletter, the airline told employees, “Pan American is greatest operator of big airlines”
and “P.A.A. [Pan American Airways] leads the world” [Pan American Airways
Corporation, (1930), pp.1, 6]. This particular story cites evidence that Pan Am is the
“world’s largest commercial operator of multi-engine transport planes and the largest
unified air transportation system in the western hemisphere” (Ibid). This story praised
Pan Am’s technological advantage as globally unique, and also constructed the
company’s international might. The narrative is one of many over the years that highlight
Pan Am’s introduction of groundbreaking innovations that provide even faster access to
remote areas. Elsewhere the company was already developing the theme of being a
world-beater or world best, with references to the ‘world’s greatest air transport system’
(Pan American Airways, 1930b). These stories show Pan Am’s identity as an
international company that is rooted in this overarching story of a pioneer and leading
company in international aviation. One of the airline’s earliest references to its ‘pioneering’ role can be found in a 1930
edition of its newsletter. Although the headline – ‘Pioneer?’ – appears to question its
status the article goes on to state that “three years ago we started of a great and romantic
venture [that] captured the imagination of the public, the editor, the business man. Today
we have arrived” (Pan American Airways, 1930c). It goes on to detail its technological 13 Historic constructions of the early multinational feats and its geographical reach. A similar story is told to the shareholders through the
pages of the 1930 Annual Report and references to ‘considerable pioneering extension
and development work’ [Pan American Airways, (1931a), p.11]. 5.2 The pioneer of international airways Interwoven through its narrative Pan Am also portrayed itself as a company that was
jumping from one success to another as a pioneer in every field it entered, being the “first
US airline to pioneer and develop over-ocean flying, the first to work with manufacturers
in developing a number of plane types, … the first to unite [through air service] the US
and strategic Alaska … [and] the first airline system to introduce modern flight
procedures in Latin America …” (Pan American World Airways, 1944). This was a
powerful, dominant narrative of the firm, which eventually became reproduced and
supported, produced, and hailed by external voices such as the newspapers. This pioneering nature was seen as one of the causes for its international success. Since its inception in 1927 Pan Am rapidly developed its international network and hence
its identity relied heavily on notions of being an international company. This identity is
constructed by claiming that ‘P.A.A. leads world’. Pan Am was frequently cited as the
‘leading’ airline. The unique dominant character of the airline is enforced through
comparisons to competitors (e.g., references to ‘no other airline’ can compare with Pan
Am in many key areas of aviation). Not only was Pan Am recognised for having the
widest international routes in Latin America, but it was also cited that its routes and
number of aircraft outran all foreign competitors. However, the multinational character of the company would come to mean that its
identity construction is multifaceted by nature, and through our analysis we explored
what kinds of narratives were generated to explain and construct Pan Am as an
international airline. The international aspects of the company necessitate the
construction of different narratives that appeal to the different stakeholders of the
multinational firm. 5.3 Airline of the Americas In an early report, speaking to employees through Pan American Air Ways senior
managers stated that “our real job … isn’t just busy running an air line … but is the
bringing together into happy, profitable relationships, the seventy-five millions of South
America and the hundred and fifty millions of North America… Pan American Airways
System is not just a United States company. It is a national company in each country it
serves and becomes more so as its service is of greater value” (Pan American Airways,
1930a). However, this emerging narrative of the airline’s international character had a
political nature, built out of concerns of reducing potential worries throughout the region
that Pan Am would be seen as primarily serving US national interests. In striving for, at
least the appearance of, political neutrality, the discourse of internationality provided a
good opportunity. In building the truly international airline Pan Am adopted the rhetoric
of talking about the company as an ‘international system’, which helped to frame the
company as a unified front bringing together the Americas and include the welfare of its
South American affiliates. It was cited as the airline of the ‘Americas’, and there was
equality with ‘sister governments’. The rhetoric employed in these narrations highlight
the equality of the US-based Pan Am and its international markets. Nonetheless, the narrative served to obfuscate Pan Am’s expansionist role in which it
worked through local dictators (starting with Cuba’s Machado through to Argentina’s
Peron) to establish control of local airlines and its illegal activities in the acquisition of
national airlines in Mexico and Colombia despite those countries laws against foreign
ownership of their airlines (Daley, 1980). With the defeat of Herbert Hoover in the US elections of 1932 Pan Am’s
internationalist narrative was somewhat strengthened with the election of Franklin
Delano Roosevelt and his adoption of the ‘good neighbour’ policy. The policy became
known for its aims of non-interventionist foreign policy, particularly in the Southern
Hemisphere and Latin America, and to create reciprocal trade relations with the other
American republics (Patel, 2015). This policy provided a setting from which we can see
the rise of the all-American identity of Pan Am. The academic research published during
WWII also recognised Pan Am as a company that was ‘serving inter-American needs’
[Lockwood and Smith, (1941), p.676]. 5.3 Airline of the Americas Pan Am became renowned for its wide routes in Latin America. However, from the
beginning there were questions about its role and relationship with the US Government. There is little doubt that, in a number of ways, the airline served as ‘the chosen
instrument of US State Department policy’ in Latin America (Bender and Altschul,
1982). Nonetheless, in order to position itself as an international company – attracting
passengers not only from the USA to Latin America but also from Latin America to other
Latin American countries and to the USA itself – it also carefully worked, on occasion, to
present itself as politically neutral. Trying where possible to show its development role as working through and with
Latin American Governments, the airline often presented itself as the ‘Airline of the
Americas’ in which it attempted to appear to be politically neutral. Thus, for example, in
the 1929 Annual Report the airline’s efforts to acquire a number of Latin American
airlines is described as “a community effort on the part of the United States aviation
industry to extend safe and reliable American air transport service to the foreign field”
[Aviation Corporation, (1929), p.4]. It then goes on to claim that “28 countries and
colonies have co-operated in the establishment of this international service…” (Ibid, p.4). On various occasions the airline would stress direct cooperation with the leaders of
various Latin American countries. For example, in 1932 Pan Am reported on its M. Kivijärvi et al. 14 acquisition of Cuba’s national airline, citing the support of Cuba’s “President Gerardo
Machado [as having] championed the establishment of modern air transportation in
Cuba” [Pan American Airways, (1932), p.4]. Two decades later airline President Juan
Trippe praised Eva Peron, wife of Argentinian President Juan Peron, for christening the
company’s Clipper Friendship plane, citing this as “the newest evidence of the close
ties that exist between [the United States] and Argentina” (Pan American Airways,
1950) – see Figure 7. In private, Pan Am executives were concerned that the airline’s image would become
overly associated with the US State Department rather than with Americanism as a
whole. 5.3 Airline of the Americas During this time we can see Pan Am’s
international narrative becoming even more centre-stage in its telling and
presentation throughout company materials. The narrative serves to combat potential
counter-narrations on the company’s imperialist conquest by emphasising national
freedom. As a part of the ‘international system’, Pan Am is ‘handing power’ to the
nationalised affiliates. Pan Am declares that ‘our real job’ is to be a national company in
every market, to seek friendship and equality. Pan America’s role as an integrator is
stressed as Pan Am states that through its airline routes the barrier between north and
south are removed for the first time. These helped to portray the company in a favourable
light. This narrative is supporting the idea of the airline of the Americas and reproduces 15 Historic constructions of the early multinational Historic constructions of the early multinational the multinational firm as a nationally and politically independent actor. The use of this
narrative can be seen as a way to silence any potential counter narratives that might voice
critique against Pan Am’s treatment of the South American markets. The narrative construction of the All American identity was supported through three
interlinked storylines/sub-narratives that constructed Pan Am’s identity as the
moderniser, the barer of social welfare, and an agent of cultural integration – see
Figure 7. Figure 7
Pan Am President Juan Trippe looks over his empire Figure 7
Pan Am President Juan Trippe looks over his empire 5.3.1 The moderniser The first of these portrayed Pan Am as the one who would bring modernity to the South
American markets in which it operated. For example, Pan Am’s 1943 involvement in
‘setting up of operations of the newly formed Aerovias Venezolanos, S.S. airline,
(Avensa)’ is described as being ‘called in to contribute its ‘know-how’ on technical
organisation’ – adding that it was also participating as ‘a minority stockholder’ [Pan
American Airways, (1943), p.13]. The stories employed aviation technology as the
metaphor for modernity. By spreading the technological advances to others, Pan Am is
modernising them and offering them access to the need that local ‘business men’ must
have. Aviation technology is constructed as the means that provides each market the
opportunities to meet the requirements of modern business life (e.g., provides the Latin
American businessmen the rapid mode of transportation that they supposedly need in the
hectic business). Also the notions that Pan Am offered training and modernisation
opportunities were widely used arguments in the narrative. Lockwood and Smith (1941)
acknowledge that the training and technical assistance offered by the USA to other
American republics was an important contribution to hemispheric prosperity. They also
claim that the programs initiated by Pan Am involve ‘the most ambitious program’
(ibid, p.679). By spreading the aviation gospel Pan Am narratives simultaneously
sustained the taken-for-granted notions that US technology is vital for the development of
Latin America – see Figure 8. The story is embedded with the underlying assumption that
Latin American markets are following the Western trajectory of development and
modernisation, and that the development process can be achieved through the support
from Pan Am (this relies very much on the same rhetoric that has been used to legitimise
and justify multinational corporations operations today in the developing and third world M. Kivijärvi et al. 16 countries). Accordingly, Pan Am is positioned as the aviation expert, who will transfer its
knowledge to the subsidiary firms (placing Pan Am in the lead of the Latin American
markets’ development). The superior aviation technology possessed by Pan Am is
enrolled as a vehicle in spreading the latest aviation technology to the international
markets and setting their development in motion. 5.3.2 The social actor Secondly, the ‘de-politicised’ character of Pan Am was further supported by highlighting
its social roles in the sister markets. It highlighted the social good and benefits that are
brought by Pan Am to the local markets: In “its role as a good citizen of the countries it
serves, Pan American has been both counselor and helping hand in the formation of a
dozen Latin American airlines” [Pan American Airways, (1957), p.4]. The sub-narrative was constructing Pan Am as a socially responsible actor and it
lends itself to what has today come to be known as corporate social responsibility, which
is one of the major themes in debates on multinational corporations (Banerjee, 2007). This involved not only bringing them economic prosperity but also introducing social and
cultural benefits. Multinational companies today play with similar images (ibid). 5.3.1 The moderniser This narrative has parallels to
contemporary postcolonial critiques that consider globalisation as a major driving force
that sustains the power divide created in the colonial era, as it diffuses Western culture
and capitalist society (Banerjee and Linstead, 2001) and overall Western control of the
global economy (Frenkel and Shenhav, 2006). Figure 8
Pan Am in old Cuba (see online version for colours)
5 3 2 The social actor Figure 8
Pan Am in old Cuba (see online version for colours)
5.3.2 The social actor
Secondly, the ‘de-politicised’ character of Pan Am was further supported by highlighting
its social roles in the sister markets. It highlighted the social good and benefits that are
brought by Pan Am to the local markets: In “its role as a good citizen of the countries it
serves, Pan American has been both counselor and helping hand in the formation of a
dozen Latin American airlines” [Pan American Airways, (1957), p.4]. The sub-narrative was constructing Pan Am as a socially responsible actor and it
lends itself to what has today come to be known as corporate social responsibility, which
is one of the major themes in debates on multinational corporations (Banerjee, 2007). This involved not only bringing them economic prosperity but also introducing social and Figure 8
Pan Am in old Cuba (see online version for colours) d Cuba (see online version for colours) 5.3.3 The integrator of cultures Finally, the creation of all-American identity was derived from the storyline of cultural
integration. Pan Am assumed the position of a node between the North and South: Finally, the creation of all-American identity was derived from the storyline of cultural
integration. Pan Am assumed the position of a node between the North and South: Probably nowhere in the world has air transportation made such an important
impact on culture and economy as in Latin America – the birthplace and cradle
of Pan American. Just as railroads played the key role in unifying and
developing the United States, it was the airplane – which could soar over sea,
mountains and jungles – that played the same vital part in bringing together the
American nations. From its start as the pioneer in the field of international
transportation, Pan American has emerged as the largest operator of air
transportation in Latin America today. It’s career over the past three decades
aptly illustrated the advancement in making true neighbors out of the world’s
peoples. [Pan American Airways, (1957), p.1–2] 17 Historic constructions of the early multinational Historic constructions of the early multinational The pioneering role is recited here, now claiming that Pan Am is the first airline
(and, by implication, the first organisation) to link North and South (see Figure 9). The
narrative puts forth the idea that companies can act as messengers of globalisation. Pan
Am was portrayed as uniting people, and even educating people on cross-cultural issues. Constructing Pan Am as an agent of cultural awareness involves claiming that Pan Am
provides two-directional cultural education, allows it to unify North and South America,
bringing people together and across any cultural boundaries that may exist. The story
makes use of the international trope to characterise Pan Am as an international company
that provides people the opportunity to reach out to other cultures and learn about them2
(see Figure 10). The pioneering role is recited here, now claiming that Pan Am is the first airline
(and, by implication, the first organisation) to link North and South (see Figure 9). The
narrative puts forth the idea that companies can act as messengers of globalisation. Pan
Am was portrayed as uniting people, and even educating people on cross-cultural issues. Constructing Pan Am as an agent of cultural awareness involves claiming that Pan Am
provides two-directional cultural education, allows it to unify North and South America,
bringing people together and across any cultural boundaries that may exist. The story
makes use of the international trope to characterise Pan Am as an international company
that provides people the opportunity to reach out to other cultures and learn about them2
(see Figure 10). The pioneering role is recited here, now claiming that Pan Am is the first airline
(and, by implication, the first organisation) to link North and South (see Figure 9). The
narrative puts forth the idea that companies can act as messengers of globalisation. Pan
Am was portrayed as uniting people and even educating people on cross cultural issues The pioneering role is recited here, now claiming that Pan Am is the first airline
(and, by implication, the first organisation) to link North and South (see Figure 9). The
narrative puts forth the idea that companies can act as messengers of globalisation. Pan Am was portrayed as uniting people, and even educating people on cross-cultural issues. Historic constructions of the early multinational Constructing Pan Am as an agent of cultural awareness involves claiming that Pan Am
provides two-directional cultural education, allows it to unify North and South America,
bringing people together and across any cultural boundaries that may exist. The story
makes use of the international trope to characterise Pan Am as an international company
that provides people the opportunity to reach out to other cultures and learn about them2
(see Figure 10). Figure 9
Pan Am’s integration of north and south (see online version for colours) Figure 9
Pan Am’s integration of north and south (see online version for colours) Figure 9
Pan Am’s integration of north and south (see online version for colours)
From a postcolonial perspective, these metaphors however construct hierarchical
relations of interdependency and dominance, positioning Pan Am (and behind it the
USA) as having experienced and presumably learned from unification to be able to assist
the Latin American countries. In this positioning Pan Am was a forerunner in the
development of the idea of the MNE as a socially useful force in the world. To conclude on the nature of the ‘all American’ narrative, it aimed at justifying
Pan Am’s international acquisitions through maintaining national control, modernisation
of locals and improved service, as well as the increase of social welfare and cultural
richness. From a postcolonial perspective, these metaphors however construct hierarchical
relations of interdependency and dominance, positioning Pan Am (and behind it the
USA) as having experienced and presumably learned from unification to be able to assist
the Latin American countries. In this positioning Pan Am was a forerunner in the
development of the idea of the MNE as a socially useful force in the world. To conclude on the nature of the ‘all American’ narrative, it aimed at justifying
Pan Am’s international acquisitions through maintaining national control, modernisation
of locals and improved service, as well as the increase of social welfare and cultural
richness. 18 M. Kivijärvi et al. Figure 10
A Pan Am view of exploring other cultures (see online version for colours)
5.4 The US story of success
Whereas most of Pan Am’s narratives were driven by the desire to appear detached from
any nationalist, political interests, there were other contradictory narratives being
produced by the same company. This was particularly evident in the narrative of
organisational success. Historic constructions of the early multinational When reciting and identifying the process through which Pan Am grew into one of the
largest airlines in the world, the narratives draw on national sentiments and postcolonial
imagery. The narrative underscores Pan Am’s business acumen, and its determination to
achieve international expansion. In this story the expansion becomes told as a conquest,
and Pan Am’s role as a source of US national pride is centre-stage. The national
sentiments and political linkages are apparent here (see Figure 12): Air express service for the shipment of good between the United States and
seventeen Latin American countries was inaugurated on June 4th by the Pan
American Airways… In the interest of American business, which for several
years has stressed the need for a rapid and dependable means of transport for
export merchandise, the study of air express through the many countries served
on the international airway was undertaken. After two years of pioneering and
research the system has been perfected to the point where it can function to
these seventeen countries with the same reliability and efficiency that have
distinguished the US international mail service. [Pan American Airways,
(1931b), p.129, 132] Figure 12 Pan Am a world leader (see online version for colours)
The narration highlights Pan Am as a leading company, which through its unprecedented
determination and speed acquires new flight routes to its international system. This
narrative on Pan Am’s internationalisation process serves, we argue, to sustain the
colonising project in which colonies have traditionally been assigned to the role of
“providing resources to enable the development of Western economies rather than
industrializing in their own right” [Young, (2001), p.49] – see Figure 13. Pan Am is
represented as a calculative, rational actor, targeting international markets according to its
needs. Its evaluation of the potential partners was an outside process, objectifying the
partners (they could be replaceable). Altogether, the management of foreign operations
and the conduct of international strategies are typically built upon the ‘home-centric
mindset’, where home-based organisations execute and oversee operations in the target
market thus underlining the ‘us versus them dichotomy’ (Brannen and Doz, 2010, p. 238). Pan Am thus legitimised and naturalised its own focal power position. Figure 12 Pan Am a world leader (see online version for colours) The narration highlights Pan Am as a leading company, which through its unprecedented
determination and speed acquires new flight routes to its international system. Historic constructions of the early multinational This narrative tells about a US company that has the
business acumen to conquer new markets and become a dominant force in its operating
markets – a dominance that Pan Am could hardly refrain from linking to the notion of
Americanism (Hartt et al., 2012). See Figure 11. Figure 10
A Pan Am view of exploring other cultures (see online version for colours) Figure 10 Figure 10
A Pan Am view of exploring other cultures (see online version for colours)
5.4 The US story of success 10
A Pan Am view of exploring other cultures (see online version for colours) 5.4 The US story of success Whereas most of Pan Am’s narratives were driven by the desire to appear detached from
any nationalist, political interests, there were other contradictory narratives being
produced by the same company. This was particularly evident in the narrative of
organisational success. This narrative tells about a US company that has the
business acumen to conquer new markets and become a dominant force in its operating
markets – a dominance that Pan Am could hardly refrain from linking to the notion of
Americanism (Hartt et al., 2012). See Figure 11. Figure 11
Pan American and Americanism (see online version for colours) Figure 11
Pan American and Americanism (see online version for colours) 19 Historic constructions of the early multinational Figure 13
Postcolonial imagery (see online version for colours) l imagery (see online version for colours) Figure 13
Postcolonial imagery (see online version for colours) Historic constructions of the early multinational This
narrative on Pan Am’s internationalisation process serves, we argue, to sustain the
colonising project in which colonies have traditionally been assigned to the role of
“providing resources to enable the development of Western economies rather than
industrializing in their own right” [Young, (2001), p.49] – see Figure 13. Pan Am is
represented as a calculative, rational actor, targeting international markets according to its
needs. Its evaluation of the potential partners was an outside process, objectifying the
partners (they could be replaceable). Altogether, the management of foreign operations
and the conduct of international strategies are typically built upon the ‘home-centric
mindset’, where home-based organisations execute and oversee operations in the target
market thus underlining the ‘us versus them dichotomy’ (Brannen and Doz, 2010, p. 238). Pan Am thus legitimised and naturalised its own focal power position. 20 M. Kivijärvi et al. Figure 13
Postcolonial imagery (see online version for colours) 6.2 Pan Am as Precursor of the modern MNE 6.2 Pan Am as Precursor of the modern MNE As discussed earlier, the narratives of Pan Am back in the first half of the 20th century
may well have contributed to the development of the idea of the multinational over time,
with an influence through to todays’ MNE’s (Westwood and Jack, 2008). We underscore,
that through historic analysis of the development of these narratives in a particular
socio-politic and economic setting, we can read into the roots and possible explanations
of these narratives (how they were constructed to secure the company’s identity in the
global turmoil) as well as highlight some of the far-reaching consequences (the
naturalisation of projecting postcolonial images of the other and dominant position of the
MNE over its subsidiaries, in particular). The narratives about Pan Am show how the
company was considering its multiple stakeholders, the US Government, its employees,
and the governments and people in the international markets. Present day research has
made similar illustrations of the multifaceted nature of multinational identity construction
[e.g., Vaara and Tienari (2011) note based on narrative analysis how a merging financial
services group emphasised Nordic interests and equality of the Scandinavian countries
involved as a means to legitimise the merger]. Historic constructions of the early multinational 21 6.1 Narratives, company history and context We drew on postcolonial theory (Said, 1979; Young, 2001) to critically examine the
narratives produced by Pan Am. Through extensive archival research3 we examined a
wealth of materials to try to understand if and how Pan Am drew on storytelling to create
a powerful image of itself and, in the process, of its history. We were able to identify
three powerful but contradictory meta-narratives – the pioneer, the all-Americas company
and the successful US multinational. Nonetheless, each narrative arguably served to
establish the notion of Western (in this case, specifically Northern) supremacy and laid
the ground for later postcolonial notions that have permeated corporate histories. Postcoloniality (i.e., Western representation of the ‘other’) is inherent in each of
Pan Am’s major narratives. The professed pioneering role evokes images of Western
progress over more primitive peoples and lands. The all-Americas role evokes the idea
that the peoples of Latin America need and can be helped (by a benevolent Western
company) to achieve not only economic and political progress but also much needed
integration and a civilising force. Through both narratives we can see reference to the
successful US company whose very successes speaks to the superior experiences and
knowledge of US citizens operating in Latin America. Through these narratives we
glimpse contrasting images of the North American (from the USA) and the ‘idea of Latin
America’ (Mignolo, 1991). Created not so much through the kind of literary images that
Said (1979) focused on but the powerful storytelling and associated practices of
companies such as Pan Am and the United Fruit Company. 6
Discussion and conclusions As we stated at the beginning of this paper, our interest in organisational narratives is
focused on how Pan American Airways positioned itself as a multinational company
through the use of storytelling and what are the implications for: 1
the countries in which the airline operated 2
our understanding of narratives and the role of the MNE 3
the implications for history making. We will discuss each in turn. We will discuss each in turn. Historic constructions of the early multinational 6.3 Narratives as/and history We examined selective dominant narratives that were generated about Pan Am (e.g.,
histories and how they present Pan Am), and this leads us to highlight what role do
narratives play in the development of company histories, and discuss what kinds of,
effects narratives have on the various peoples that the airline dealt with. We highlight that M. Kivijärvi et al. 22 from the perspective of the MNE the narratives were helpful in portraying its actions in a
positive light. Today, storytelling on success has come to be an inherent part of the genre
of corporate history, in which “innovation, change or pioneering products or managerial
methods drive the narrative forward as the company grows from strength to strength”
(Delahaye et al., 2009). For Pan Am, especially the narrative of the heroic, pioneering,
all-Americas character helped to develop company history in ways that helped to reduce
resistance from the local governments. However, from another viewpoint, these narratives created and naturalised a
postcolonial relation. The all-Americas narrative highlighted the role that Pan Am as an
international company takes in (what has become known as) globalisation and
transcending cultures. In spite of the aims of this narrative to construct a sense of mutual
appreciation of cultures and equality, the narrative produces a direction from the North to
the South. It helps to sustain the hierarchical notions and the idea that the others will be
helped to modernisation. Thereby Pan Am was portrayed as conducting the global
project, bringing both modernity as well as social benefits. Our focus on company-produced narratives unavoidably represents ‘formal’
narratives of the firm (Boje, 2008). This may explain the need to produce different
versions of the company to please the company’s various stakeholders both in the US
terrain and it various international markets. Our findings illustrate that narratives provide
an effective means for Pan Am to sustain the heroic image of the company in the eyes of
different audiences. While the company tried to portray itself as an all-Americas
company that has the interest of its international collaborators in mind, the postcolonial
reading of the narrative brings forth the problematic nature of these stories. Specifically,
in spite of the multi-sidedness of the narratives, they all convey the centrality and heroic
nature of the multinational company in ways that silenced other versions of the company
identity. Historic constructions of the early multinational Historic constructions of the early multinational Analyses of company histories of Pan Am suggest a powerful role for narratives in
their construction. At one level we have the narratives themselves that are embedded in
each particular history. As White has already explored in great depth, histories can be
view as narrative accounts of events (White, 1973). Thus, White goes on to suggest that
each history draws on powerful (Western) narrative style of romance, comedy, satire, and
tragedy in the telling (White, 1984). Much of the history of Pan Am is written in the
romantic style, with Juan Trippe as the inevitable hero: most of the Latin American
leaders are but players in the story of Juan Trippe. The airline itself is also cast as a
heroic figure – that of the pioneer company that triumphs in the face of adversity. Many
of the same histories also contain a strong comedic element of Pan Am as a unifying
force (Bender and Altschul, 1982; Daley, 1980; Turner, 1976). In one case a satirical
approach is taken as the forces for good are seen as containing the seeds of destruction
(Josephson, 1943). In at least one other history the story is told as tragedy (Gandt, 1995). Drawing on the debates around the role of narratives in history we might ask whether,
regardless of style, if historical narratives are re-presentations of factual events, fictional
accounts, or somewhere in between (Carr, 1991)? Certainly each historical account draws
on a series of people and events whose time, place and utterances are subject to
verification. However, as White contends, which ‘facts’ are focussed on and how stories
are constructed around those ‘facts’ depends on the constructions of narratives by the
respective historian (White, 1987). So, at the very least, there is an element of fiction in
each attempt at representation. If we move to the organisational level there are also the narratives that were generated
by the airline itself – often romantic and comedic, sometimes tragic (especially in the
post-war era when it faced competition on many of its previously monopoly routes), and
sometime satirical (as the airline responded to what it saw as government inspired
negative changes to the airline industry). Few historical accounts, if any, can avoid the
influence of organisational storytelling (Boje, 2008). 6.3 Narratives as/and history In particular, these forms of presentation marginalise the ‘international system’
(Pan Am’s own rhetoric to describe the company) and fail to produce a space where the
voices of the subsidiary firms would be heard. The findings derived through archival research methods lead us to ask how the
narratives of the multinational company produced in the past to construct its position as
an international company could be used to understand some of the complexities framing
multinational action even today. As we know from the postcolonial critiques presented
toward today’s multinational companies, the postcolonial narratives and actions once put
forward by Pan Am (and other early MNE’s) have become widely taken-for-granted
notions for multinational action (see for example, Banerjee, 2007; Banerjee and Linstead,
2001). Through understanding the history of MNE’s we can understand the situational
factors that led to a postcolonial set up at those times (e.g., the political environment in
the USA immediately prior to WWII and into the Cold War era). However, we need to
start asking questions as to how we can avoid repeating and sustaining these notions and
produce MNEs that are more equivocal. To find solutions one needs to ask, for example,
how could the company narratives told by MNE’s be developed in ways that include
other actors rather than the focal firm alone? Future studies from a business historical
perspective could seek to explore various archives for the Others’ voice, and examine
how they co-produced Pan Am4 or indeed produced ante-narratives (Boje, 1991). It is by
hearing and investigating the stories of the ‘others’ in the MNE network that we can take
forward the ideas of how the dominant narratives can be resisted through their
deconstruction and the development of alternative narratives (Krysa et al., 2016). 23 Historic constructions of the early multinational Lemisch (1975), for example, has shown how eminent US historians have acted
to naturalise a focus on big business during the Cold War, literally rewriting history in
line with newer dominant discourses. More specifically, Durepos et al. (2008a) has
revealed how a group of powerful corporate actors influenced the development and
shaping of a heroic account of Juan Trippe and the development of Pan Am. An
important influence on the socio-political writing will depend in large part on archives of
materials. Who and why the materials are collected are not inconsequential to the
histories that get told (Mills and Mills, 2011). This is particularly important for
postcolonial analysis where the voices of the ‘other’ are missing (Decker, 2013) Like
Decker (2013) we found the voices of the Latin American ‘other’ missing from the
Pan Am archive. What we did find were numerous accounts told through the official and
semi-formal accounts of senior managers and certain employees. We also found
considerable written accounts and interviews that had been developed/collected by a
historian hired by the airline to write a corporate history. That history was never fully
developed or published but much of it found its way into subsequent histories. Our
treatment of the narrative accounts was influenced by the following approach: 1
we adopted a postcolonial lens to view the potential impact of the found narratives
on the production of the MNC and ‘the idea of Latin America’ 2
we treated the corporate narratives as evidence not of a history of the company per se
but rather of a way of thinking 3
we treated the material and our own narrative (surely satirical in style) in a reflective
manner, which encourages the reader to treat our account – as all such accounts – as
a history of sorts. The purpose of this paper was to examine how - using a postcolonial lens - multinational
identity is produced in historical narratives. To achieve this goal, we presented a narrative
analysis of the Pan Am and how it constructed itself as an international company. While
we claim that narratives are a worthy and useful focus for understanding corporate
identity and its influence on various actors, we do not claim that all MNE’s – then or
now – follow a similar trajectory. Historic constructions of the early multinational Analysis of existing histories of Pan
American Airlines indicates that all of the company-generated narratives were drawn on
to develop accounts of the airline’s history. These may have been viewed through the
prism of objectivity but they nonetheless serve to influence and shape the direction of the
written histories. This brings us to a third level, the narrative influences of public, popular and
disciplinary historical accounts on the historian. As Kalela (2012) argues, the historian
does not start with a blank slate. He or she has some sense of a company (person, or
event) before they start out to write a history. That sense, again held up to the prism of
objectivity, is nonetheless influenced by a series of powerful stories about the subject of
each history. For example, to what extent is our understanding of Pan American Airways
influenced by such things as public hearings of the companies activities, movie (and
recently television) accounts of the company, novels (see for example Follett, 1991) and
existing histories? And how are we able to objectively account for their influences? That
brings us to yet another level – audience. How far are historical accounts influenced by
powerful meta-narratives (Lyotard, 1993) and specific audiences within those
meta-narratives (Foucault, 1965)? For example, accounts of big business during the
Depression in the USA were arguably influenced by widespread hostility to big business
organisations. A similar focus on big business during the Cold War era arguably
encouraged a ‘rewrite’ of history to move the story of big business from that of Robber
Barons to a vitally important and positive force in the development of the USA (Lemisch, M. Kivijärvi et al. 24 1975). Carr (1991) adds to the debate in the contention that narrative accounts are not
simply devoid of reality but are somehow related to what he calls the pre-theory or
pre-narrative state of lived experience, i.e., the influence of storytelling on people’s sense
of self and events. He suggests that the development of narratives be they at corporate or
disciplinary level (i.e., the writing of history), somehow build on the fragments of storied
accounts of people as they express their lives. Finally there is some evidence of a powerful socio-political layer where narratives are
influenced by networks of actors who enrol others to a specific way of viewing
knowledge (Munslow, 2010), specifically ‘knowledge of the past’ (Durepos and Mills,
2012a). Historic constructions of the early multinational What we are contending is that in the ability of the
MNE to maintain a successful image across its various jurisdictions it is a useful exercise
to study the role of narratives over time. Such narratives, we conclude, are not simple
inventions of the publicity departments of MNE’s (although invariably some are) but are
rather complex stories that arise in response to various pressures and come to constitute
not a history of the organisation but rather powerful (but inevitably flawed) stories that
work (where they do work) in tandem with material practices. In summary, we have tried to understand the various uses of narrative by early
MNE’s and the outcome for the peoples of the countries they interact with, in particular Historic constructions of the early multinational 25 the development and maintenance of postcoloniality. Recent evidence suggests that
MNE’s operating in so-called developing countries often use a mixture of narratives to
position themselves as ‘good employers’ of local labour and good international citizens
while, paradoxically, contributing to imagery of western superiority (Banerjee, 2007). Banerjee and Linstead (2001) argue that this imagery constitutes a modern form of
colonialism, replacing literary stories of western imperialism (Said, 1979) with western
narratives of business knowledge. In the words of Banerjee et al. (2009, p.8), the
narratives of the modern MNE and their associated hiring practices are ‘constitutive
practices and discourses of neo-colonialism’ and inhibit ‘organisational knowledge
transfer’ [Mir et al., (2008), p.203]. Acknowledgements This research has been funded by the strategic funding of the University of
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Although the following year they were still referring to the Caribbean and the Mexican
Divisions. From 1930, the annual reports were issued in the name of the airline, which was
then called Pan American Airways Corporation. In 1941, the airline name was changed to Pan
American World Airways. 3
We use the term ‘archival’ in both the restricted sense of a ‘housed’ collection of corporate
documents and the Foucauldian (1972) sense of a field of inter-related documents and
artefacts (see Mills and Mills, 2011). This involved analysis not only of archived materials
(at the Otto Richter Library) but also newspaper accounts and especially existing written
histories that we also treated as narrative accounts. 2
In later years this would be replaced with the notion of globalisation and the narrative of
MNE’s as vehicles of globalisation; however, while MNE’s are often accused of imposing
Western culture on the host markets, the Pan Am rhetoric claims to provide mutual learning. Notes 1
Although the following year they were still referring to the Caribbean and the Mexican
Divisions. From 1930, the annual reports were issued in the name of the airline, which was
then called Pan American Airways Corporation. In 1941, the airline name was changed to Pan
American World Airways. 1
Although the following year they were still referring to the Caribbean and the Mexican
Divisions. From 1930, the annual reports were issued in the name of the airline, which was
then called Pan American Airways Corporation. In 1941, the airline name was changed to Pan
American World Airways. 2
In later years this would be replaced with the notion of globalisation and the narrative of
MNE’s as vehicles of globalisation; however, while MNE’s are often accused of imposing
Western culture on the host markets, the Pan Am rhetoric claims to provide mutual learning. 3
We use the term ‘archival’ in both the restricted sense of a ‘housed’ collection of corporate
documents and the Foucauldian (1972) sense of a field of inter-related documents and
artefacts (see Mills and Mills, 2011). This involved analysis not only of archived materials
(at the Otto Richter Library) but also newspaper accounts and especially existing written
histories that we also treated as narrative accounts. 4
Here we are referring to Foucault’s (1972) sense of the archive as ‘a field of inter-related
documents and artefacts’ (see note 3). 4
Here we are referring to Foucault’s (1972) sense of the archive as ‘a field of inter-related
documents and artefacts’ (see note 3).
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STRATEGI PEMASARAN DIGITAL DALAM MENINGKATKAN PENJUALAN DI ERA DISRUPSI MENURUT EKONOMI ISLAM (Studi Kasus Pada Dapur Onah Donat dan Cake Di Desa Werungotok Kecamatan Nganjuk, Kabupaten Nganjuk)
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Kata Kunci: Strategi, Pemasaran Digital, Penjualan, Disrupsi, Ekonomi Islam This is an open access article under CC-BY-SA license. This is an open access article under CC-BY-SA license. ABSTRACT As a result of the many business competitions with similar products and the result of the Covid-19
pandemic, the Onah Donut and Cake Kitchen experienced a decrease in sales volume. The purpose
of this study: 1. To find out the Digital Marketing Strategy for Onah Donut and Cake Kitchens in
Increasing Sales in the Disruptive Era 2. To Know the Islamic Economic Review of the Digital
Marketing Strategy for Onah Donuts and Cake Kitchens in Increasing Sales In the Era of
Disruption. This study uses a qualitative descriptive research approach. Primary data: results of
interviews with the owner of the Onah Donut and Cake Kitchen and employees. Secondary Data:
books and journals. Data Collection Methods: Observation, Interview and Documentation. Data
Analysis: data presentation, data reduction and conclusion drawing. Research Results: 1. Digital
Marketing Strategy for Onah Donuts and Cake Kitchen to increase sales in the era of disruption,
namely by utilizing social media via Facebook, WhatsApp, Instagram Tiktok, the strategy is:
building credibility or trust in social media, attracting potential customers, building
relationships/friendships on Social Media, Sharing Accurate Content, Creating Valuable Content,
Using Good and Attractive Images, Crowdsource For Interesting and Authentic Content, Limit
Social Media Platforms. 2. Review of Islamic Economics Against Marketing Strategy in Increasing
Sales in the Era of Disruption It is in accordance with Islamic Economics such as acting honestly in
promoting on social media and not cheating, always being trustworthy, not forcing consumers to
buy products or in accordance with agreements on social media, does not vilify competitors and is
friendly in serving consumers. Keywords: Strategy, Digital Marketing, Sales, Disruption, Islamic Economics y
j
g
2Andy Prasetyo Wati Dkk, Digital Marketing. Malang: Literindo Berkah Karya, 2020, 11. 1 Nurahmi Hayani, Manajemen Pemasaran Bagi Pendidikan Ekonomi. Pekanbaru: Suska Press, 2012, 86. ABSTRAK Akibat dari banyaknya persaingan bisnis dengan produk serupa dan akibat dari pandemi covid-
19 pada Dapur Onah Donat dan Cake mengalami penurunan volume penjualan. Tujuan Penelitian ini: 1. Untuk Mengetahui Strategi Pemasaran Digital Dapur Onah Donat Dan Cake Dalam Meningkatkan
Penjualan Di Era Disrupsi, 2.Untuk Mengetahui Tinjauan Ekonomi Islam Terhadap Strategi Pemasaran
Digital Dapur Onah Donat Dan Cake dalam Meningkatkan Penjualan Di Era Disrupsi. Penelitian ini
menggunakan pendekatan penelitian deskriptif kualitatif. Data primer: hasil wawancara dengan pemilik
Dapur Onah Donat dan Cake dan Karyawan. Data Sekunder: buku-buku dan jurnal. Metode
Pengumpulan data: Observasi, Wawancara dan Dokumentasi. Analisis Data: penyajian data, reduksi
data dan penarikan kesimpulan. Hasil Penelitian: 1. Strategi Pemasaran Digital Dapur Onah Donat Dan
Cake untuk meningkatkan penjualan di era disrupsi yaitu dengan memanfaatkan sosial media melalui
facebook, whatsaap, instagram tiktok strateginya yaitu: membangun Kredibilitas atau kepercayaan di
media sosial, Menarik Pelanggan Potensial, Membangun Relasi/pertemanan di Media Sosial, Membagi
Konten yang Diakurasikan, Membuat Konten yang Valuable, Menggunakan Gambar yang Baik dan
Menarik, Crowdsource Untuk Konten Menarik dan Otentik,Batasi Platform Media Sosial. 2. Tinjauan
Ekonomi Islam Terhadap Strategi Pemasaran dalam Meningkatkan Penjualan Di Era Disrupsi Sudah
sesuai dengan Ekonomi Islam seperti bertindak jujur dalam melakukan promosi di media sosial dan
tidak berbuat curang, selalu amanah, tidak memaksa konsumen untuk membeli produk atau sesuai
dengan kesepakatan di media sosial, tidak menjelek-jelekkan pesaing serta ramah dalam melayani
konsumen. Kata Kunci: Strategi, Pemasaran Digital, Penjualan, Disrupsi, Ekonomi Islam This is an open access article under CC-BY-SA license. This is an open access article under CC-BY-SA license. 168 Iswanto – Strategi Pemasaran Digital 169 Iswanto – Strategi Pemasaran Digital 169 PENDAHULUAN Perkembangan dunia usaha menunjukkan adanya gejala persaingan yang semakin
meningkat ke arah penguasaan pasar yang semakin luas. Baik perusahaan besar maupun kecil,
saling bersaing untuk merebut tempat pemasaran dengan berbagai macam cara dan usaha agar
perusahaan mampu menjual produk sebanyak-banyaknya pada konsumen yang membutuhkan. Oleh
karena itu, perusahaan harus mampu menguasai pasar yang luas dengan metode strategi pemasaran
yang telah dikuasai dengan baik agar dapat meningkatkan penjualannya dengan grafik naik. Dengan
adanya strategi pemasaran ini diharapkan dapat meminimalisir kegagalan atau matinya suatu usaha. Strategi merupakan hal yang sangat penting bagi perusahaan dimana strategi merupakan
suatu cara mencapai tujuan dari sebuah perusahaan.1 Strategi pemasaran merupakan proses dinamis
dan inovatif perencanaan perusahaan dalam memasarkan dan memperkenalkan produk maupun jasa
yang ditawarkan kepada konsumen untuk mencapai tujuan tertentu dengan semua resiko yang ada. Baik melalui cara-cara tradisional maupun modern seperti digital marketing. Strategi pemasaran
dapat dilakukan dengan 4P yaitu tempat yang strategis (place), produk yang bermutu (product),
harga yang kompetitif (price), dan promosi yang gencar (promotion). Era baru pemasaran digital/ digital marketing telah masuk ke dalam praktik kehidupan
masyarakat modern. Pasar-pasar baru dan produsen-produsen baru telah tercipta dengan
menggunakan internet. digital marketing/ pemasaran digital adalah istilah umum untuk pemasaran
barang atau jasa yang ditargetkan, terukur, dan interaktif dengan menggunakan teknologi digital. Istilah lain dari pemasaran digital adalah online marketing atau internet marketing.2 Teknologi 170 Jurnal Dinamika Ekonomi Syariah, Vol 10, No. 2, Juli 2023, Hal. 168 - 177 170 digital menjadi salah satu penggerak utama perkembangan perekonomian didunia, khususnya
disektor industri dan perdagangan. Kemajuan teknologi digital membawa kita pada revolusi industri
4.0, tren baru dalam dunia teknologi yang demikian semakin canggih. Oleh karena itu banyak
perusahaan mengevaluasi bentuk strategi bisnis dan pemasarannya untuk menggandeng konsumen
lebih dekat. Dengan semakin banyaknya pesaing maka perusahaan meningkatkan kegiatan
pemasarannya, sebab setiap kegiatan perusahaan haruslah dapat memuaskan konsumen dan
mempertahankan pelanggan sehingga dapat meningkatkan penjualan atau laba perusahaan.3 Era dirupsi membuat banyak perubahan bagi masyarakat dalam berbagai aspek
kehidupannya. Disrupsi juga didukung dengan hadirnya perkembangan dan inovasi teknologi yang
memproses informasi dengan cepat. Hal ini juga berlaku pada pemasaran yang harus menyesuaikan
perilaku masyarakat modern saat ini. Milenial sebagai presentase pengguna internet paling besar
menjadi pasar potensial bagi pemasar atau penyedia konten untuk menarik mereka dengan
pendekatan yang jauh berbeda dari generasi sebelumya. PENDAHULUAN Agama Islam merupakan suatu agama yang tidak melarang apabila umatnya mempunyai rencana atau
keinginan untuk berhasil dalam usahanya, namun harus sesuai dengan syarat dan tidak bertentangan
ajaran syariat Islam. Islam memberikan suatu sintesis dan rencana yang dapat direalisasikan melalui
bimbingan. Perencanaan tidak lain daripada memanfaatkan karunia Allah SWT secara sistematika untuk
mencapai tujuan tertentu, dengan memperhatikan kebutuhan masyarakat dan nilai kehidupan yang
berubah-ubah dalam arti yang lebih luas, perencanaan menyangkut persiapan menyusun rancangan
untuk setiap kegiatan ekonomi. Strategi pemasaran dalam islam juga diperbolehkan, tetapi harus
berpegang pada kebenaran dan kenyataan, namun hal ini harus sesuai dengan syariat islam. Akibat pandemi covid 19 dan pesaing serupa yang semakin banyak sehingga menurunkan
volume penjualan tetapi masih mampu mempertahankan usahanya dengan melakukan beberapa
langkah konkrit agar hasil produksinya tetap dapat dipasarkan. pada Dapur Onah donat dan cake juga
mengalami penurunan penjualan dan harus bisa menstabilkan penjualannya kembali. 3Miftahol Arifin, Moh. Kurdi, Syaiful Anwar, Strategi Pemasaran Digital Dalam Meningkatkan Volume Penjualan Pada Amanda Cake Di Era
Revolusi Industri 4.0. Journal Missy Management And Business Strateg, I. 2021, 32. 3Miftahol Arifin, Moh. Kurdi, Syaiful Anwar, Strategi Pemasaran Digital Dalam Meningkatkan Volume Penjualan Pa
Revolusi Industri 4.0. Journal Missy Management And Business Strateg, I. 2021, 32. METODE PENELITIAN Penelitian ini merupakan penelitian lapangan dengan menggunakan pendekatan penelitian
deskriptif kualitatif. Sumber data dalam penelitian kualitatif ini adalah orang atau narasumber. Data
dalam penelitian ini adalah orang atau narasumber yaitu pihak Dapur Onah Donat dan Cake (pemilik)
dan karyawan. Penelitian ini dilakukan di Dapur Onah Donat dan Cake yang berlokasi di Desa
Werungotok Kecamatan Nganjuk Kabupaten Nganjuk. Alasan peneliti melakukan penelitian di
Dapur Onah Donat dan Cake karena bisnis tersebut tergolong masih baru tetapi sudah mempunyai
dua cabang outlet serta bisa mempertahankan bisnisnya dari pesaing bisnis serupa. Dalam prosedur
pengumpulan data menggunakan Observasi, Wawancara dan Dokumentasi. Sedangkan dalam
analisis data menggunaan data Reduksi dimana bentuk analisis yang menajamkan dan mengarahkan
data sedemikian rupa sehingga diperoleh kesimpulan akhir dan diverifikasi, kedua Penyajian data
yang mana menemukan pola-pola yang bermakna memberikan kemungkinan adanya penarikan
kesimpulan dan pengambilan tindakan juga menemukan suatu makna dari data yang diperoleh, Iswanto – Strategi Pemasaran Digital 171 ketiga penarikan kesimpulan/verifikasi yang mana ditahap ini mencari makna atau arti dari simbol-
simbol, mencatat, keteraturan pola, penjelasan-penjelasan, dan alur sebab akibat yang terjadi. HASIL DAN PEMBAHASAN
Strategi Pemasaran Digital pada Dapur Onah Donat Dan Cake untuk meningkatkan
penjualan di era disrupsi HASIL DAN PEMBAHASAN
Strategi Pemasaran Digital pada Dapur Onah Donat Dan Cake untuk meningkatkan
penjualan di era disrupsi Untuk menjaga keberlangsungan usaha maka perusahaan harus memiliki strategi
pemasaran yang kreatif dan inovatif untuk mendapatkan perhatian dari pelanggan atau
konsumen. Strategi pemasaran merupakan rencana yang menjabarkan ekspektasi perusahaan
akan dampak dari berbagai aktivitas atau program pemasaran. Pada Dapur Onah Donat dan
Cake menggunakan strategi pemasaran digital dengan memanfaatkan sosial media seperti
Facebook, Whatsapp, Instagram dan tik tok. Digital marketing adalah istilah umum untuk
pemasaran barang atau jasa yang ditargetkan, terukur, dan interaktif dengan menggunakan
teknologi digital sedangkan Sosial media marketing adalah pemasaran menggunakan situs media
sosial untuk meningkatkan visibilitas di internet dan untuk mempromosikan produk dan layanan. metode pemasaran online yang saat ini sangat booming dibandingkan dengan jenis pemasaran
lainnya karena Pengguna media sosial dapat mengakses kapan saja dan dimana saja, dapat diakses
melalui komputer maupun melalui mobile/smart phone. strategi pemasaran digital pada Dapur
Onah Donat dan Cake untuk meningkatkan penjualan di era disrupsi dengan memanfaatkan
media sosial sebagai berikut: 1. Strategi Media Sosial Marketing dengan Membangun Kredibilitas Membangun kepercayaan untuk suatu bisnis di media sosial tidaklah serumit yang
dibayangkan. membangun brand awareness dapat dilakukan untuk yaitu dengan
menciptakan visibilitas online yang merupakan representasi dari bisnisnya. 3. Membangun Relasi/pertemanan di Media Sosial METODE PENELITIAN Dengan mengakurasikan konten dapat meningkatkan rangking seo pada mesin
pencari, membangun bisnis dengan baik dan menambah jumlah followers. Dalam hal ini yang sudah digunakan Dapur Onah Donat dan Cake untuk
membagikan konten yang diakurasikan yaitu membuat postingan yang semenarik mungkin
dengan foto atau video asli tidak mengambil dari orang lain dan juga menambahkan copy
writing atau caption, kreatif dan inovatif dalam membuat konten. 5. Membuat Konten yang Valuable
Ciri konten yang valuable yaitu dapat menjawab pertanyaan para pembacanya,
dapat menyelesaikan masalah dan memberikan manfaat bagi yang membacanya. Dengan
memposting konten yang valuable, mendapatkan banyak manfaat seperti reputasi bisnis
semakin membaik, ranking SEO semakin tinggi, para influencer akan merekomendasikan
ke lainnya. Pada strategi ini yang diterapkan pada Dapur Onah Donat dan Cake dalam
membuat konten yang valuable yaitu dengan menggunakan aturan tertentu seperti fokus
dalam mempromosikan konten produknya. Dalam hal ini yang dimaksudkan tidak
menjatuhkan produk orang lain atau menjelek-jelekkan produk orang lain sehingga dengan
adanya konten yang valuable diharapkan dapat memberikan informasi yang bermanfaat
bagi konsumen dan dapat menarik minat konsumen untuk membeli produk. 5. Membuat Konten yang Valuable
Ciri konten yang valuable yaitu dapat menjawab pertanyaan para pembacanya,
dapat menyelesaikan masalah dan memberikan manfaat bagi yang membacanya. Dengan
memposting konten yang valuable, mendapatkan banyak manfaat seperti reputasi bisnis
semakin membaik, ranking SEO semakin tinggi, para influencer akan merekomendasikan
ke lainnya. 5. Membuat Konten yang Valuable
Ciri konten yang valuable yaitu dapat menjawab pertanyaan para pembacanya,
dapat menyelesaikan masalah dan memberikan manfaat bagi yang membacanya. Dengan
memposting konten yang valuable, mendapatkan banyak manfaat seperti reputasi bisnis
semakin membaik, ranking SEO semakin tinggi, para influencer akan merekomendasikan
ke lainnya. Pada strategi ini yang diterapkan pada Dapur Onah Donat dan Cake dalam
membuat konten yang valuable yaitu dengan menggunakan aturan tertentu seperti fokus
dalam mempromosikan konten produknya. Dalam hal ini yang dimaksudkan tidak
menjatuhkan produk orang lain atau menjelek-jelekkan produk orang lain sehingga dengan
adanya konten yang valuable diharapkan dapat memberikan informasi yang bermanfaat
bagi konsumen dan dapat menarik minat konsumen untuk membeli produk. 6. Menggunakan Gambar yang Baik dan Menarik
Penggunaan gambar yang baik dan menarik dapat menarik perhatian pelanggan
dengan cepat, dapat digunakan untuk mengedukasi pelanggan serta membuat informasi
menjadi mudah dicerna bagi pelanggan. METODE PENELITIAN dengan
menggambarkan identitas brand secara visual. Kamu juga harus mendesain tampilan
website, blog, dan media sosial sesuai dengan jenis bisnisnya. Strategi pada Dapur Onah Donat dan cake dalam membangun kredibilitas atau
kepercayaan konsumen dengan cara memperbanyak pengikut atau followers, memposting
orderan ke media sosial yang semenarik mungkin dan juga mengupload review produk atau
testimoni dari pelanggan. Hal itu dilakukan dengan tujuan agar calon pembeli baru percaya
dengan produk tersebut dan tertarik untuk membelinya sehingga dapat meningkatkan
penjualan. 2. Menarik Pelanggan Potensial
Strategi media sosial marketing untuk bisnis skala kecil juga bisa dilakukan melalui
Facebook dan Instagram. Hal tersebut bisa dijadikan untuk menarik pelanggan potensial. dengan cara membagikan postingan yang semenarik mungkin agar calon pembeli baru
tertarik terhadap produk-produk yang dijual. Strategi Dapur Onah Donat dan Cake dalam
menarik pelanggan potensial dengan cara membuat postingan yang menarik mengenai
produk yang akan dijual, menguplot tester-tester produk ke media sosial Facebook dan
Instagram karena dua media sosial tersebut yang berpengaruh terhadap peningkatan
penjualan pada dapur Onah dan juga kedua media sosial seperti facebook dan instagram
sampai saat ini lebih banyak diminati terutama kaum muda. 172 Jurnal Dinamika Ekonomi Syariah, Vol 10, No. 2, Juli 2023, Hal. 168 - 177 Relasi merupakan hal terpenting dari media sosial. Memiliki relasi yang bagus akan
memudahkan langkah untuk melakukan pemasaran produk. Sehingga dapat memanfaatkan
media sosial yang dimiliki untuk mulai membangun jaringan dengan pihak-pihak yang
berpotensial menjadi konsumen. Pada Dapur Onah Donat dan Cake juga menerapkan
strategi ini melalui memberikan konten yang menarik, memberikan pelayanan yang baik
dan ramah terhadap pelanggan yang bertanya di media sosial. dengan demikian diharapkan
dapat menambah follower sehingga semakin banyak orang yang mengetahui produk-
produk yang dijual pada dapur onah dengan begitu maka dapat menarik calon pembeli baru
dan meningkatkan volume penjualan. 4. Membagi Konten yang Diakurasikan
Media sosial merupakan salah satu tempat dimana akurasi sebuah konten memiliki
nilai yang sangat penting. akurasi sebuah konten juga merupakan proses untuk menemukan
konten yang berkualitas dari seluruh website yang nantinya akan kamu bagikan di media
sosial. Dengan mengakurasikan konten dapat meningkatkan rangking seo pada mesin
pencari, membangun bisnis dengan baik dan menambah jumlah followers. 4. Membagi Konten yang Diakurasikan
Media sosial merupakan salah satu tempat dimana akurasi sebuah konten memiliki
nilai yang sangat penting. akurasi sebuah konten juga merupakan proses untuk menemukan
konten yang berkualitas dari seluruh website yang nantinya akan kamu bagikan di media
sosial. METODE PENELITIAN Pada Dapur Onah Donat dan Cake dalam menggunakan gambar atau video juga
harus yang baik dan menarik, Karena dengan gambar yang baik dan menarik dapat
memikat konsumen baru supaya tertarik terhadap apa yang di kontenkan sehingga
berpotensi menjadi pelanggan baru. Penggunaan gambar yang baik dan menarik dapat menarik perhatian pelanggan
dengan cepat, dapat digunakan untuk mengedukasi pelanggan serta membuat informasi
menjadi mudah dicerna bagi pelanggan. Pada Dapur Onah Donat dan Cake dalam menggunakan gambar atau video juga
harus yang baik dan menarik, Karena dengan gambar yang baik dan menarik dapat
memikat konsumen baru supaya tertarik terhadap apa yang di kontenkan sehingga
berpotensi menjadi pelanggan baru. Crowdsource adalah metode yang digunakan untuk menampung banyak orang yang
ingin melakukan sesuatu untuk mencapai tujuan. Hal ini bisa dilakukan dengan membuat Iswanto – Strategi Pemasaran Digital 173 hashtag menarik terhadap bisnis yang dijalankan. Hashtag tersebut bisa digunakan untuk
melacak interaksi dengan pelanggan. Penggunaan Crowdsource pada Dapur Onah Donat dan Cake juga melalui market
place dan link hastag. Dengan adanya hastag orang yang ingin mencari topik-topik tertentu
bisa langsung mengetik dan menemukannya dengan cepat dan hal ini akan mempermudah
dalam pencarian produk dapur onah yang diinginkan. 8. Batasi Platform Media Sosial
Platform media sosial adalah aplikasi atau situs web tempat pengguna dapat
membuat dan berbagi konten serta menemukan dan terhubung dengan pengguna lain. Banyaknya platform yang tersedia akan membuat sulit untuk membangun keberadaan yang
kuat di setiap platform. Menggunakan banyak sosial media tanpa adanya fokus yang jelas
juga akan sangat membuang waktu karena tidak akan memberikan hasil apapun. Pada Dapur Onah Donat dan Cake juga menerapkan pembatasan platform media
sosial dan hanya berfokus pada facebook dan Whatsapp saja. Alasan pemilik Dapur Onah
Donat dan Cake berfokus pada dua media sosial itu adalah karena dua media sosial itu
yang berpengaruh terhadap tingkat volume penjualan dari pada media sosial yang lainnya 8. Batasi Platform Media Sosial
Platform media sosial adalah aplikasi atau situs web tempat pengguna dapat
membuat dan berbagi konten serta menemukan dan terhubung dengan pengguna lain. Banyaknya platform yang tersedia akan membuat sulit untuk membangun keberadaan yang
kuat di setiap platform. Menggunakan banyak sosial media tanpa adanya fokus yang jelas
juga akan sangat membuang waktu karena tidak akan memberikan hasil apapun. Pada Dapur Onah Donat dan Cake juga menerapkan pembatasan platform media
sosial dan hanya berfokus pada facebook dan Whatsapp saja. METODE PENELITIAN Alasan pemilik Dapur Onah
Donat dan Cake berfokus pada dua media sosial itu adalah karena dua media sosial itu
yang berpengaruh terhadap tingkat volume penjualan dari pada media sosial yang lainnya Tinjauan Ekonomi Islam Terhadap Strategi Pemasaran Digital Dapur Onah Donat Dan Cake
Dalam Meningkatkan Penjualan Di Era Disrupsi Berdasarkan hasil wawancara dan observasi terkait dengan tinjauan ekonomi Islam
terhadap strategi pemasaran digital dalam meningkatkan penjualan di era disrupsi (dimana
perubahan signifikan tatanan era) sudah sesuai dengan syariat Islam. Karakteristik yang
dijalankan oleh perusahaan berlandaskan pada konsep strategi pemasaran dalam Islam,
diantaranya adalah: 174 Jurnal Dinamika Ekonomi Syariah, Vol 10, No. 2, Juli 2023, Hal. 168 - 177 Seorang marketer syariah harus tunduk kepada hukum-hukum syariah, juga senantiasa
menjahui segala larangan-larangannya dengan sukarela dan nyaman didorong oleh bisikan
dari dalam bukan paksaan dari luar. Oleh sebab itu, jika suatu saat hawa hafsu menguasai
dirinya lalu ia melakukan pelanggaran terhadap perintah dan larangan syariah, misalnya
mengambil uang yang bukan haknya, memberikan keterangan palsu, ingkar janji dan
sebagainya, maka ia akan merasa berdosa, kemudian segera bertobat dan menyucikan diri
dan penyimpangan yang dilakukan. Ia akan senantiasa memelihara hatinya agar tetap hidup
dan memancarkan cahaya kebaikan dalam segala aktivitas bisnisnya. Hati adalah sumber
bagi segala kebaikan dan kebahagian seseorang. Bahkan bagiseluruh mahluk yang dapat
berbicara, hati merupakan kesempurnaan hidup dan cahayanya. Allah Swt berfirman dalam
Qur’an Surat Al-An’am ayat 122 yang Artinya: “Dan apakah orang yang sudah mati
kemudian dia Kami hidupkan dan Kami berikan kepadanya cahaya yang terang, yang
dengan cahaya itu dia dapat berjalan di tengah-tengah masyarakat manusia, serupa
dengan orang yang keadaannya berada dalam gelap gulita yang sekali-kali tidak dapat
keluar dari padanya? Demikianlah Kami jadikan orang yang kafir itu memandang baik
apa yang telah mereka kerjakan”. (QS Al-An’am: 122)4 Betapa pentingnya hati dan hati sangat berperan dalam kehidupan jiwa manusia,
karena hati yang bersih akan melahirkan jiwa yang bersih dan selalu taat serta tunduk
terhadap perintah Allah SWT. Berbeda dengan hati yang mati, ia tidak dapat membedakan
antara yang baik dan yang buruk. Dari hasil wawancara tersebut menunjukan bahwa ketuhanan atau rabbaniyah
adalah satu keyakinan yang bulat, bahwa semua gerak-gerik manusia selalu berada di
bawah pengawasan Allah SWT. Oleh sebab itu, semua insan harus berperilaku sebaik
mungkin, tidak berperilaku licik, suka menipu, mencuri milik orang lain, suka memakan
harta orang lain dengan jalan yang batil dan sebagainya. Dalam hal ini para pemilik maupun karyawan Dapur Onah Donat dan Cake telah
bertindak jujur dan benar dalam melakukan pemasaran, seperti dengan tidak menutupi
kelemahan produk yang dijual. Tidak melakukan promosi palsu. Dalam dunia usaha harus
berlaku jujur, benar dan lurus dalam melakukan semua aktifitas bisnisnya dan tidak
menipu konsumennya, tidak berlaku curang, maupun berkata bohong. sadar bahwa dengan
berbuat baik dan bertindak sebagaimana yang telah diatur dalam agama merupakan modal
awal bagi keselamatan dirinya dan hartanya dari kemurkaan Allah dan keberkahan atas
harta yang dimilikinya serta merupakan modal kepercayaan para konsumen atau pelanggan
terhadap keberlangsungan bisnisnya. 2. 4Kementrian Agama Republik Indonesia. Al-Qur’an dan terjemahannya. Jakarta: Kemenag, 2019, 143. 1. Ketuhanan (Rabbaniyah) Ketuhanan dalam pemasaran maksudnya adalah dalam setiap langkah, aktifitas,
dan kegiatan pemasaran harus sesuai dengan prinsip ekonomi Islam yaitu selalu
mengedepankan kejujuran dan kebenaran. Menurut hasil wawancara yang telah peneliti
paparkan dalam bab sebelumnya bahwa Dapur Onah Donat dan Cake dalam menjalankan
usahanya baik dari segi pemasaran maupun produksi sudah sesuai dengan etika bisnis
secara Islam, yaitu tidak hanya melihat segi keduniaan saja, tetapi juga selalu ingat pada
Allah bahwa setiap orang yang menjalankan usahanya sah-sah saja menggunakan berbagai
strategi pemasaran tetapi harus di ingat peraturan Allah tidak boleh diabaikan. Pemasaran syariah harus membentengi diri dengan nilai-nilai spiritual karena
pemasaran memang akrab dengan penipuan, sumpah palsu, riswah (suap), korupsi. Dari
hati yang paling dalam, seorang syariah pemasaran menyakini bahwa Allah Swt selalu
dekat dan mengawasi ketika dia sedang melaksanakan segala macam bentuk bisnis, dia
pun yakin Allah Swt akan meminta pertanggung jawaban dirinya atas pelaksanaan syariat
itu pada hari ketika semua orang dikumpulkan untuk diperlihatkan amal-amalnya di hari
kiamat. 174 Jurnal Dinamika Ekonomi Syariah, Vol 10, No. 2, Juli 2023, Hal. 168 - 177 174 Jurnal Dinamika Ekonomi Syariah, Vol 10, No. 2, Juli 2023, Hal. 168 - 177 Etis (Akhlaqiyyah)
Perusahaan harus selalu mengedepankan akhlak dalam seluruh aspek hidupnya
terutama dalam mencari nafkah, dalam memasarkan produknya Dapur Onah Donat dan
Cake mengedepankan pada etika bisnis secara Islam seperti tidak berlaku curang dalam
mempromosikan di media sosial dan juga tidak pernah memaksa konsumen untuk membeli
produknya. Dalam Al-Qur’an, keharusan bersikap jujur dalam dunia bisnis seperti
berdagang, berniaga atau jual beli, sudah diterangkan dengan sangat jelas yaitu bahwa
sesungguhnya Allah SWT telah menganjurkan kepada seluruh umat manusia pada Iswanto – Strategi Pemasaran Digital 175 umumnya dan kepada para pelaku bisnis khususnya untuk berperilaku jujur dalam
menjalankan roda bisnisnya dalam bentuk apapun. Dalam Al-Qur’an keharusan bersikap jujur dalam dunia bisnis sudah diterangkan sangat
jelas dan tegas: “Sempurnakanlah takaran dan janganlah kamu termasuk orang-orang
yang merugikan, dan timbanglah dengan timbangan yang lurus, dan janganlah kamu
merugikan manusia pada hak-haknya dan janganlah kamu merajalela di muka bumi
dengan membuat kerusakan”. (QS Asy-Syu’ara: 181-183)5 dari ayat diatas kita dapat mengambil satu pengertian bahwa sesungguhnya Allah
Swt telah menganjurkan kepada seluruh umat manusia pada umumnya, dan kepada para
pelaku bisnis khususnya untuk berlaku jujur dalam menjalankan roda bisnisnya dalam
bentuk apapun. Maksud dari nilai jujur dalam kegiatan pemasaran dapat diwujudkan
dengan pemberian informasi yang benar akan produk yang dipasarkan oleh marketer. Tidak ada informasi yang disembunyikan mengenai obyek yang dipasarkan.Tidak
mengurangi dan menambahi artinya seseorang yang bekerja sebagai marketer dituntut
untuk berkata dan bertindak secara benar, sesuai dengan kondisi ril produk yang
ditawarkan. Dari hasil wawancara dengan narasumber menjelaskan bahwa perusahaan dalam
menjalankan bisnisnya juga tidak pernah menjelek-jelekkan pesaing, amanah, jujur dalam
memposting konten sesuai dengan yang dijual, tidak menipu maupun bersikap curang,
melayani dengan ramah karena bagi perusahaan lebih penting untuk fokus
mengembangkan produk dan pemasaran yang lebih luas dari pada harus fokus kepada
pesaing, memberikan pelayanan sebaik mungkin kepada konsumen dengan lemah lembut
dan penuh keikhlasan. 5 Kementrian Agama Republik Indonesia. Al-Qur’an dan terjemahannya. Jakarta: Kemenag, 2019, 374. 3. Realistis (Waqi’iyah) Realistis atau waqi’iyah yang artinya sesuai dengan kenyataan, jangan mengada-
ada apalagi yang menjurus kepada kebohongan. Semua transaksi yang dilakukan harus
berlandasan pada realita, tidak membeda-bedakan orang, suku, warna kulit. Semua
tindakan penuh dengan kejujuran. Bahkan ajaran Rasulullah SAW tentang sifat realistis ini
ialah jika anda menjual barang ada cacatnya, maka katakan kepada calon pembeli, bahwa
barang ini ada sedikit cacat. Jika pembeli setelah diberitahu masih tetap ingin memiliki
barang tersebut, itu lebih baik. Tidak boleh bersumpah, bahwa barang tersebut betul-betul
baik dan sempurna, padahal ada cacatnya. Bahan makanan yang basah jangan disimpan di
bawah, tapi naikkan ke atas agar dapat dilihat oleh pembeli. Demikian mulianya ajaran
Rasulullah Saw sangat realistis. Pada Dapur Onah Donat dan Cake juga menerapkan
seperti apa yang diajarkan Rosullulah SAW dengan demikian mampu menjaga
kepercayaan konsumen dapur onah. 4. Humanistis (Al-Insanniyah) 4. Humanistis (Al-Insanniyah)
Humanistis berarti berperikemanusiaan hormat menghormati sesama. Pemasaran
berusaha membuat kehidupan menjadi lebih baik. Jangan sampai kegiatan pemasaran Humanistis berarti berperikemanusiaan hormat menghormati sesama. Pemasaran
berusaha membuat kehidupan menjadi lebih baik. Jangan sampai kegiatan pemasaran 176 Jurnal Dinamika Ekonomi Syariah, Vol 10, No. 2, Juli 2023, Hal. 168 - 177 malah merusak tatanan hidup di masyarakat, menjadikan kehidupan bermasyarakat
terganggu seperti hidupnya gerombolan hewan, tidak ada aturan dan yang kuat yang
berkuasa. Juga dari segi pemasar sendiri, jangan sampai menjadi manusia serakah, mau
menguasai segalanya, menindas dan merugikan orang lain. Keistimewaan syariah marketing yang lain yaitu humanistis universal, dengan
memiliki nilai humanistis seorang pemasar akan terkontrol dan seimbang (tawazun), bukan
menjadi manusia yang serakah, yang menghalalkan segala cara untuk meraih keuntungan
yang sebesar-besarnya. Sifat humanistis dan universal syariat Islam adalah prinsip
ukhuwwah insaniyyah (persaudaraan antar manusia). Dari hasil wawancara dengan narasumber bahwa Dapur Onah Donat dan Cake
dalam menjalankan bisnisnya berpegang teguh pada humanistis atau berasaskan pada
kemanusiaan hal ini terlihat pada saat penetapan harga produk, pemilik perusahaan
memiliki sistem tersendiri dalam menetapkan harga dengan cara mengambil keuntungan
secukupnya karena mempertimbangkan sisi kemanusiaan yang tidak ingin menindas atau
merugikan orang lain dan tidak memaksa untuk membeli produk atau sesuai dengan
kesepakatan di media sosial. KESIMPULAN Berdasarkan hasil penelitian yang dilakukan di Dapur Onah Donat dan Cake, dapat
disimpulkan bahwa Strategi Pemasaran Digital Dapur Onah Donat Dan Cake untuk
meningkatkan penjualan di era disrupsi yaitu dengan memanfaatkan sosial media melalui
facebook, whatsaap, instagram tiktok strateginya yaitu: Membangun Kredibilitas atau
kepercayaan di media sosial, Menarik Pelanggan Potensial, Membangun Relasi/pertemanan di
Media Sosial, Membagi Konten yang Diakurasikan, Membuat Konten yang Valuable,
Menggunakan Gambar yang Baik dan Menarik, Crowdsource Untuk Konten Menarik dan
Otentik. Sedangkan Tinjauan Ekonomi Islam Terhadap Strategi Pemasaran Digital Dapur Onah
Donat Dan Cake Dalam Meningkatkan Penjualan Di Era Disrupsi sudah sesuai dengan Ekonomi
Islam. Karena Dalam hal ini para pemilik maupun karyawan Dapur Onah Donat dan Cake telah
bertindak jujur dan benar dalam melakukan pemasaran, seperti dengan tidak menutupi
kelemahan produk yang dijual. Tidak melakukan promosi palsu, tidak menipu konsumennya,
tidak berlaku curang, maupun berkata bohong. Tidak pernah menjelek-jelekkan pesaing, amanah,
jujur dalam memposting konten sesuai dengan yang dijual, tidak menipu maupun bersikap
curang, melayani dengan ramah. Pada Dapur Onah Donat dan Cake dalam memposting konten
sesuai dengan kenyataan dan tidak mengada-ada, misal menutupi kelemahan produk dengan
demikian mampu menjaga kepercayaan konsumen dapur onah. Dan dalam menjalankan
bisnisnya berpegang teguh pada humanistis atau berasaskan pada kemanusiaan hal ini terlihat
pada saat penetapan harga produk, dan tidak memaksa untuk membeli atau sesui dengan
kesepakatan di media sosial. Iswanto – Strategi Pemasaran Digital 177 REFERENSI Abdullah, Thamrin, Tantri Franscis. Manajemen Pemasaran, Raja Grafindo Persada, Jakarta, 2012. Alma, Buchari dkk. Manajemen Bisnis Syariah, Alpabeta, Bandung, 2014. j
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Volume Penjualan Pada Amanda Cake Di Era Revolusi Industri 4.0, Journal Missy
Management And Business Strategy, I, 2021. Astuti, Miguna. Pengantar Manajemen Pemasaran, Deepublish, Yogyakarta, 2020. Haryanti, Nik. Metode Penelitian ekonomi, Manggu Makmur Tanjung Lestari, Bandung, 2019. Hayani, Nurahmi. Manajemen Pemasaran Bagi Pendidikan Ekonomi, Suska Press, Pekan Baru,
2012. nesia, Kementrian Agama Republik. Al-Qur’an dan terjemahannya. Kemenag, Jakarta, 2019 Iswanto, Juni. Penerapan E-Commerse Dalam Penjualan Jamu Tradisional Al-Qomar, Jurnal
Dinamika Ekonomi Syariah, I, Januari 2019. Mahzura, T Alvi Syahril. Pemanfaatan E-Commerce Dalam Peningkatan Penjualan Pada Burger
Sei Putih Kota Medan, Jurnal Ekonomi Bisnis Manajemen Prima, I, 2020. Mardawani. Praktis Penelitian Kualitatif Teori Dasar Dan Analisis Data Dalam Perspektif: Teori
Dasar Dan Analisis Data Dalam Perspektif Kualitatif, CV Budi Utama, Yogyakarta, 2020. Musnaini, Dkk. Digital Marketing, CV. Pena Persada Redaksi, Purwokerto, 2020. Nurul, Huda. Pemasaran Syariah Teori dan Aplikasi, Kencana, Depok, 2017. Nurul, Huda. Pemasaran Syariah Teori dan Aplikasi, Kencana, Depok, 2017. Rachmat. Manajemen Strategi, Cv Pustaka Setia, Bandung, 2014. Nurul, Huda. Pemasaran Syariah Teori dan Aplikasi, Kencana, Depok, 2017. Rachmat. Manajemen Strategi, Cv Pustaka Setia, Bandung, 2014. y
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Depok, 2017. Sabila, Nur. Pengantar Belajar Digital Marketing, NKUST, Semarang, 2019. Samsu. Metode Penelitian: (Teori Dan Aplikasi Penelitian Kualitatif, Kuantitatif, Mixed Methods,
Serta Research & Development), Pusaka, Jambi, 2017. Saprijal, Makmur. Strategi Pemasaran Dalam Meningkatkan Volume Penjualan (Studi S-Mart
Swalayan Pasir Pangara), Jurnal Ilmiah Cano Ekonomos, I, Januari 2015. Sefudin, Akhmad dan Darwin, Muhammad. Perbandingan Teori Disrupsi Pada Marketing Di Era
Industri 4.0 Menurut Hermawan Kertajaya Dan Rhenald Kasali, Jurnal Ilmiah Manajemen,
II. 2020. Sitorus, Onny Fitriana. Strategi Promosi Pemasaran, Uhamka, Jakarta, 2017. Sugiyono. Memahami Penelitian Kuantitatif, Kualitatif Dan R&D, Alfabeta, Bandung, 2017
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Pemberdayaan Peternak Marginal: Studi Kasus di Wilayah Banguntapan Bantul
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Jurnal Pengabdian Kepada Masyarakat (Indonesian Journal of Community Engagement)/Jurnal pengabdian kepada masyarakat (Indonesian journal of community engagement)
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ABSTRAK Beberapa tahun terakhir, di daerah pinggiran kota banyak ditemukan permasalahan tentang
keterbatasan sumber daya alam untuk produksi peternakan dan pertanian. Penurunan kualitas serta
penyempitan lahan pertanian akibat pengembangan perumahan telah menyebabkan munculnya
permasalahan ekonomi dan lingkungan bagi masyarakat petani peternak di wilayah tersebut. Sebagian
besar warga petani peternak memiliki tingkat pendidikan yang rendah, lahan yang sempit, jumlah ternak
sedikit, dan belum mampu memberdayakan potensi lahan, ternak, serta tanaman untuk meningkatkan
kesejahteraan hidup. Kegiatan pengabdian kepada masyarakat ini bertujuan untuk mengembangkan
wawasan dan kemampuan petani peternak marginal dalam menerapkan sistem pertanian peternakan
terpadu. Upaya yang dilakukan adalah peningkatan pengetahuan dan kecakapan warga dalam budi
daya ternak, budi daya tanaman, dan pengelolaan limbah. Pengembangan masyarakat dilakukan
dengan pendekatan partisipasi aktif masyarakat (pembelajaran berpusat pada petani peternak) dan
pendampingan oleh pakar serta praktisi pertanian peternakan terpadu. Selain itu, pengembangan
kelembagaan dan jejaring kerja sama juga dilakukan dengan berbagai pihak terkait. Hasil yang diperoleh adalah keberhasilan warga membudidayakan domba dan tanaman pangan
di lahan kosong (terlantar) dan pekarangan dengan menerapkan sistem pertanian peternakan terpadu. Masyarakat peternak mampu mengolah limbah ternak menjadi pupuk organik dan limbah pertanian
menjadi pakan ternak secara mandiri. Peternak dan masyarakat juga telah mengembangkan budi daya
tanaman hortikultura dan sayuran di lahan terlantar serta pekarangan yang belum dimanfaatkan. Selain
itu, kelompok ternak juga berhasil menjalin kerja sama dengan masyarakat di sekitarnya untuk menjamin
keberlanjutan pelestarian lingkungan dan peningkatan kesejahteraan. Berdasarkan hasil kegiatan
pengembangan masyarakat tersebut dapat disimpulkan bahwa partisipasi aktif warga (peternak dan
petani) dan pendampingan dalam praktik pengembangan sistem usaha tani-ternak terpadu merupakan
faktor kunci yang sangat menentukan keberhasilan proses tranformasi budaya pertanian di kalangan
masyarakat tani ternak marginal. Keberhasilan peternak dan petani mengembangkan sistem peternakan
pertanian terpadu menjadi aset penting dalam menjamin ketahanan pangan, keamanan serta pelestarian
lingkungan, konservasi sumber daya alam, dan kualitas hidup yang lebih baik. Kata kunci: pemberdayaan, pertanian terpadu, daerah marginal, petani, peternak ABSTRACT Over the recent years, villagers in the countryside have faced the problem of limited resources
for livestock and crop productions. Decreased land quality and agricultural land area with respect to 163 Indonesian Journal of Community Engagement
Vol. 02, No. 02, Maret 2017 the increased need for housing land has resulted in economic and environmental problems for livestock
farmers in this area. Most livestock farmers have poor standard of education, limited ownership of land
and livestock, and are not capable of managing the natural resources in sustainable ways. The present
services for small livestock farmers are aimed to transform the unintegrated livestock and agricultural
farming into a sustainable integrated system in the marginal community. Some efforts were conducted
to improve knowledge and skills in zero waste system in livestock and agricultural farming by livestock
farmers in marginal areas. The present community development programs were conducted using farmer-
centered learning methods (participative learning) and mentoring by professionals on the implementation
of sustainable integrated farming system (learning by practice). Furthermore, institutional development
and cooperative networking with related parties were carried out. Results showed that the livestock
farmers were able to adopt integrated farming practices and the community was capable of independently
producing organic fertilizer from livestock wastes and converting agricultural byproducts into animal
feed. Both farmers and villagers have come together to cultivate fruit and vegetable plantations in vacant
lands and back yards which were previously unused. The farmers’ group has successfully networked with
the related partners to ensure sustainability of environmental conservation efforts and improvement of
livelihood. In conclusion, active participation of farmers in the marginal area throughout the development
process and mentored-practice are key factors for successful agricultural transformation in the marginal
community. Implementation of the sustainable integrated farming system will ensure food security,
environmental protection and safety, conservation of natural resources, and better quality of life. Keywords: empowerment, integrated farming, marginal area, farmer 1. PENDAHULUAN Masyarakat di wilayah pedesaan pinggiran kota umumnya menghadapi permasalahan
pelik terkait lahan yang semakin sempit dan sumber daya yang terbatas. Penduduk wilayah
tersebut sebagian besar berprofesi sebagai buruh, perajin, petani penggarap, dan pegawai
negeri atau swasta. Di beberapa wilayah, lahan pertanian di wilayah ini dijadikan tambang
tanah untuk bahan baku industri batu bata atau dijadikan wilayah permukiman penduduk
sehingga terjadi kerusakan serta penurunan kualitas dan luasan lahan untuk agrobisnis
(pertanian dan peternakan). Jenis tanaman yang dibudidayakan oleh penduduk di wilayah ini
pada umumnya adalah padi, kacang tanah, dan jagung. Sementara area pekarangan umumnya
tidak digunakan sebagai lahan produktif. Sebagian petani atau buruh di wilayah tersebut memelihara ternak potong (sapi,
domba, kambing) sebagai usaha sambilan di tanah yang tidak digarap, yakni di pinggir area
persawahan. Pemeliharaan ternak sebagian besar dilakukan secara tradisional. Pakan ternak
umumnya hanya berupa rumput lapangan dan dedaunan tanaman keras. Bahan pakan ternak
pada musim panen sebenarnya sangat murah dan melimpah. Jerami padi dan bekatul atau
dedak jarang digunakan untuk pakan ternak. Masyarakat peternak awam masih belum
mengenal dan menerapkan teknologi pengolahan dan pengawetan pakan ternak. Demikian
pula sisa pakan dan limbah kotoran ternak, baik padat maupun cair tidak dikelola secara
tepat dan tidak diolah sebagai pupuk tanaman di lahan pertanian mereka, bahkan dibiarkan
bertebaran. Hal tersebut berpotensi menjadi sumber pencemaran lingkungan. Pengetahuan
masyarakat pun masih sangat terbatas, terutama mengenai penyakit ternak dan penyakit
zoonosis. 164 Pemberdayaan Peternak Marginal:
Studi Kasus di Wilayah Banguntapan Bantul Pemberdayaan Peternak Marginal: Sejumlah permasalahan yang ada di tengah masyarakat tersebut memerlukan penye
lesaian yang efektif dan cepat, namun mudah dilakukan secara mandiri oleh masyarakat. Salah
satu alternatif solusi yang tepat adalah penerapan sistem sustainable integrated farming, yakni
memadukan usaha ternak dan tani di kawasan tersebut. Dalam sistem sustainable integrated
farming, limbah pertanian dimanfaatkan untuk mendukung ketersediaan pakan ternak yang
berkualitas, sedangkan limbah peternakan diolah dan dimanfaatkan untuk meningkatkan
mutu kesuburan lahan dan produktivitas tanaman pangan atau pakan ternak (Anonim, 2013;
Sutanto, 2006). Untuk memulai gerakan perubahan masyarakat menuju budaya pertanian
petenakan terpadu yang berkelanjutan (sustainable integrated farming) di wilayah marginal,
pengembangan masyarakat marginal perlu dilakukan secara arif dan sesuai dengan situasi
kondisi mereka. Kegiatan pengabdian masyarakat ini bertujuan untuk mengembangkan wawasan dan
kemampuan masyarakat awam dalam bidang usaha peternakan dan pertanian melalui proses
pembelajaran berbasis masyarakat serta pendampingan oleh akademisi dan praktisi/pelaku
usaha. 1. PENDAHULUAN Melalui hal tersebut diharapkan akan terwujud masyarakat yang mampu melakukan
konservasi dan pemberdayaan sumber daya lahan serta ternak yang dimiliki secara mandiri. Selain itu, kegiatan ini diharapkan mampu mendukung masyarakat dalam upaya meningkatkan
pendapatan ekonomi dan kesejahteraan hidup melalui peningkatan produktivitas ternak dan
pertanian serta terwujudnya perbaikan dan pelestarian lahan serta lingkungan. 2. MATERI DAN METODE Kegiatan ini dilakukan di Kampung Kranginan, Kecamatan Banguntapan, Kabupaten
Bantul, Daerah Istimewa Yogyakarta pada tahun 2015. Kampung ini terdiri atas 66 keluarga
dengan jumlah penduduk sekitar 180 jiwa. Kegiatan pengabdian kepada masyarakat ini
melibatkan kelompok ternak domba dan kambing lokal yang bernama Margo Rukun dan be
berapa pemangku kepentingan yang terkait. Kelompok ternak ini beranggotakan 12 keluarga
petani penggarap yang dikategorikan sebagai keluarga prasejahtera (5 orang lulusan SD, 5
orang lulusan SMP, dan 2 orang lulusan SMK). Jumlah ternak yang dipelihara adalah 36 domba
dan 4 ekor kambing bligon. Hewan-hewan tersebut berada di kandang panggung kelompok
seluas 150 m2 yang berlokasi di atas lahan pertanian yang tidak dikerjakan seluas 300 m2. Hewan-hewan itu berada di petak kandang panggung kelompok, dipelihara secara intensif,
serta diberi pakan berupa rumput lapangan sebanyak dua kali setiap hari (pagi dan sore). Pakan berupa rumput lapangan segar tersebut diambil setiap hari dari lahan pertanian. Akan
tetapi, limbah kotoran dan sisa pakan tidak dimanfaatkan oleh petani peternak setempat. Kegiatan pengabdian masyarakat ini diawali dengan melakukan kajian/evaluasi ter
hadap situasi dan kondisi masyarakat serta lingkungan dengan melibatkan petani, buruh tani,
peternak, masyarakat umum, pemangku wilayah setempat, dan mitra kerja yang terkait. Kajian/
evaluasi dilakukan dalam suatu focus group discussion (FGD). Kegiatan selanjutnya adalah 165 Indonesian Journal of Community Engagement
Vol. 02, No. 02, Maret 2017 perumusan masalah dan pengambilan keputusan yang terkait dengan solusi, perencanaan,
dan pelaksanaan program penyelesaian permasalahan berbasis potensi lokal dan pemberian
kesempatan serta peran sentral kepada warga masyarakat dalam setiap tahapan kegiatan
sehingga proses pemberdayaan masyarakat dapat berlangsung (Alfitri, 2011). perumusan masalah dan pengambilan keputusan yang terkait dengan solusi, perencanaan,
dan pelaksanaan program penyelesaian permasalahan berbasis potensi lokal dan pemberian
kesempatan serta peran sentral kepada warga masyarakat dalam setiap tahapan kegiatan
sehingga proses pemberdayaan masyarakat dapat berlangsung (Alfitri, 2011). Dengan kegiatan pengabdian tersebut, warga masyarakat ditingkatkan wawasan dan
kecakapannya dalam hal budi daya pertanian dan peternakan serta implementasi sistem
pertanian peternakan terpadu melalui ceramah, diskusi, pelatihan, dan pendampingan praktik
budi daya tanaman serta ternak di lapangan oleh akademisi dan praktisi. Dalam proses pem
binaan kemampuan kelembagaan, kelompok ternak difasilitasi untuk membangun kerja sama
dengan kelompok usaha pengolah limbah, kelompok pedagang sayur, dan kelompok pembudi
daya tanaman buah. Perkembangan proses pemberdayaan masyarakat dipantau dan dianalisis
dengan metode pengamatan perubahan pandangan, sikap masyarakat target, dan tumbuhnya
usaha pertanian peternakan terpadu. 3. HASIL DAN PEMBAHASAN Dari hasil kajian awal melalui diskusi (FGD) antara peternak, pengurus kelompok,
dan pemangku wilayah setempat diketahui bahwa (a) hewan ternak pertumbuhannya lambat,
sering sakit, bahkan mati; (b) limbah kandang dibuang tanpa pemanfaatan; (c) peternak belum
mampu mengolah limbah pertanian padi sebagai pakan ternak; (d) lahan kosong di sekitar
kandang seluas 150 m2 tidak dimanfaatkan; (e) peternak belum mampu mengolah limbah
ternak menjadi pupuk kandang; (f) peternak belum memiliki pengetahuan dan kecakapan di
bidang budi daya tanaman pakan ternak dan hortikultura, baik di lahan pertanian maupun
lingkungan rumah tangga (pekarangan) yang kosong. Selanjutnya, pemeriksaan kesehatan
ternak dilakukan oleh tenaga medis dari Fakultas Kedokteran Hewan, UGM didampingi
oleh segenap peternak. Hasil pemeriksaan klinis ternak menunjukkan adanya kasus
undernutrition, cacingan, orf, diare, dan kembung. Pada saat pemeriksaan dilakukan, tenaga
medis menunjukkan gambaran kondisi tubuh dan perilaku hewan yang fisiologisnya normal
atau yang mengalami penyimpangan patologis kepada peternak. Hasil penelitian laboratory
(parasitologi) menunjukkan adanya prevalensi infestasi parasit gastrointestinal, yakni
infestasi cacing gilig 85%, infestasi cacing daun 5%, dan kosidiosis 100%. Infestasi parasit ini
ditemukan pada semua kelompok umur. Selama kegiatan berlangsung terjadi kematian dua
ekor domba akibat anemia dan diare. Permasalahan kesehatan ini juga dapat menjadi sumber
permasalahan pencemaran lingkungan dan kesehatan bagi masyarakat di sekitarnya. Terkait
dengan situasi dan kondisi kesehatan ternak serta lingkungan tersebut kemudian dilakukan
FGD dan penyuluhan tentang budi daya ternak serta tani terpadu oleh pakar peternakan
dari Fakultas Kedokteran Hewan, UGM; Fakultas Peternakan, UGM; dan Fakultas Pertanian,
UGM. Selain itu, studi lapangan ke kelompok usaha pupuk organik dan hortikultura juga
dilakukan di wilayah Salakan, Banguntapan, Bantul (Gambar 1—4). 166 Pemberdayaan Peternak Marginal: y
g
Studi Kasus di Wilayah Banguntapan Bantul Gambar 1—4 Peningkatan Wawasan Usaha Tani dan Ternak Terpadu dengan Praktisi dan Pakar
Sistem Pertanian Peternakan Terpadu Gambar 1—4 Peningkatan Wawasan Usaha Tani dan Ternak Terpadu dengan Praktisi dan Pakar
Sistem Pertanian Peternakan Terpadu Berdasarkan hasil kajian awal tersebut, warga kelompok ternak Margo Rukun bersama-
sama dengan elemen masyarakat mengambil keputusan untuk menjalankan beberapa program
guna mengatasi masalah peternakan dan lingkungan melalui beberapa kegiatan, yakni
pemberantasan serta pengendalian penyakit ternak; pengolahan pupuk organik berbasis limbah
peternakan dan pertanian; pengolahan serta pengawetan pakan ternak berbasis limbah pertanian;
pemanfaatan pupuk organik untuk pertanian; dan pengembangan budi daya tanaman sayuran
serta buah di lahan pertanian yang terlantar/marginal, yaitu di lahan pekarangan. Peternak
bersama pemangku wilayah setempat serta mitra usaha menyepakati adanya pemaduan usaha
ternak dan tani. 3. HASIL DAN PEMBAHASAN Mitra kerja dari perguruan tinggi (UGM) serta praktisi usaha pupuk organik
dan hortikultura menjadi pendamping dalam proses implementasi kegiatan. Dari sisi usaha pertanian yang ada di wilayah Kranginan ditemukan by product yang
sangat bernilai untuk mendukung usaha peternakan, yakni limbah hijauan dan bekatul/dedak. Menurut Udiyono (1987), bekatul/dedak merupakan bahan baku pakan ternak yang memiliki
kandungan serat kasar, protein, lemak, dan abu/mineral. Bolsen et al. (1996) juga mengatakan
bahwa dedak merupakan sumber karbohidrat yang mudah tersedia. Warga kelompok ternak
juga tertarik dengan penguasaan teknologi pengolahan pakan ternak berbasis bekatul padi. Oleh karena itu, peternak mendapat pelatihan dan pendampingan dalam mengolah dan 167 Indonesian Journal of Community Engagement
Vol. 02, No. 02, Maret 2017 mengawetkan pakan hijauan serta bekatul menjadi pakan fermentasi. Selain itu, peternak
juga berlatih membuat medicated urea molasses mineral block (MUMMB) dengan bahan baku
berupa bekatul, molases, mineral mix, dan obat cacing sebagai sediaan pakan ternak domba. Kegiatan pengolahan pakan ternak disajikan pada gambar 5—8. mengawetkan pakan hijauan serta bekatul menjadi pakan fermentasi. Selain itu, peternak
juga berlatih membuat medicated urea molasses mineral block (MUMMB) dengan bahan baku
berupa bekatul, molases, mineral mix, dan obat cacing sebagai sediaan pakan ternak domba. Kegiatan pengolahan pakan ternak disajikan pada gambar 5—8. Penambahan obat cacing di dalam pembuatan MUMMB merupakan langkah praktis
untuk menekan infestasi cacing gastrointestinal yang terjadi pada domba kelompok ternak. Urea molasses mineral block bermanfaat untuk mengontrol infestasi cacing gastrointestinal
pada ternak ruminansia (Knox dan Wan Zahari, 1997). Selain itu, pemberian MUMMB juga
diketahui efektif dan praktis untuk mengatasi infestasi parasit gasrointestinal pada peter
nakan ruminansia (Rafiq et al., 2004). Produk olahan ini sangat disukai ternak dan mampu
mengawetkan bekatul sebagai pakan ternak. Sariubang (2010) menegaskan bahwa pakan
ternak olahan berbasis limbah pertanian yang dicampur dengan molases dan mineral mix
memiliki palatabilitas yang baik bagi ternak. Gambar 5—8 Praktik Pengolahan dan Pemberian Pakan Ternak Berbasis Limbah Pertanian Gambar 5—8 Praktik Pengolahan dan Pemberian Pakan Ternak Berbasis Limbah Pertanian Gambar 5—8 Praktik Pengolahan dan Pemberian Pakan Ternak Berbasis Limbah Pertanian Upaya pengolahan pupuk organik berbasis limbah peternakan domba yang dioptimal
kan dengan bioaktivasi EM4 dilakukan warga masyarakat dengan fasilitas sederhana, yaitu
bak dan terpal. Warga mampu melakukan proses pengolahan limbah ternak dan tani menjadi
pupuk organik dengan metode tersebut. Hasilnya pun memuaskan. 3. HASIL DAN PEMBAHASAN Proses pengolahan ko
toran ternak dan limbah pakan/tanaman menjadi kompos tersebut selain bertujuan untuk 168 Pemberdayaan Peternak Marginal:
Studi Kasus di Wilayah Banguntapan Bantul menghasilkan pupuk organik yang mengandung unsur hara makro dan mikro yang ber
manfaat juga bertujuan untuk menanggulangi kurangnya unsur hara di dalam tanah. Ketersediaan hara yang berasal dari limbah pertanaman, limbah ternak, pupuk kandang,
kompos, vermikompos, dan pupuk hijau sangat potensial untuk pengelolaan hara secara
terpadu sehingga dapat memperbaiki kualitas tanah serta kesuburan/produktivitas tanaman
dan menekan/membunuh agen infeksi yang ada di dalam kotoran ternak. Sutanto (2006)
menegaskan bahwa “pengomposan” dapat mendukung perbaikan nutrisi tanaman serta
perbaikan kesuburan tanah. Selain itu, Hays (1996), Pell (1997), Lung et al. (2001), dan Marin
et al. (2014) melaporkan bahwa pengeringan dan “pengomposan” dapat menurunkan atau
membasmi berbagai agen infeksi dalam feses ternak. Kelompok ternak Margo Rukun juga memutuskan untuk mengintegrasikan
usaha ternak dengan usaha tani. Hal tersebut merupakan keputusan yang sangat tepat untuk
optimalisasi dan konservasi sumber daya lahan. Hal ini sejalan dengan pendapat Prasetyastuti
(1985) yang menyatakan bahwa lahan yang potensial untuk pengembangan peternakan
ruminansia potong adalah lahan garapan tanaman pangan (sawah, tanah tegalan, dan ladang),
lahan padang rumput, dan rawa. Pilihan masyarakat untuk memelihara domba di wilayah
ini sejalan dengan pendapat Hasnudi dan Saleh (2004) yang menyatakan bahwa peternakan
ruminansia di Indonesia merupakan bagian integral dari sistem usaha tani terpadu yang
menghasilkan pupuk kandang (organik), yang dapat menyuburkan lahan pertanian sehingga
produktivitas usaha tani meningkat. Julendra et al. (2013) juga menegaskan bahwa sistem
pertanian terpadu berbasis ruminansia serta usaha ternak dan tani dapat berjalan secara
simultan dan efisiensi apabila memanfaatkan limbah hasil usaha yang satu sebagai input bagi
usaha yang lain tanpa mengeluarkan biaya yang tinggi. Selain itu, keputusan warga Dusun
Kranginan untuk menempatkan kandang ternak domba dan kambing serta lokasi pengolahan
limbah peternakan dan pertanian menjadi kompos di pinggir area persawahan di pinggir
kampung adalah sangat ekonomis karena memungkinkan dilakukannya penekanan biaya
transportasi, bahan pakan ternak, dan pupuk organik ke lahan pertanian. Sejumlah lahan “menganggur” terdapat di sekitar kompleks perkandangan yang tidak
dimanfaatkan. Selain itu, sejumlah tanah yang tidak ditanami dan belum dioptimalkan untuk
menghasilkan bahan pangan, obat, atau taman hijau juga terdapat di pekarangan atau di sekitar
rumah penduduk. Beberapa peternak berinisiatif untuk menanam tanaman sayur, buah-
buahan, dan taman dengan memanfaatkan limbah kandang sebagai media tumbuh atau pupuk
organik. 3. HASIL DAN PEMBAHASAN Melalui serangkaian penyuluhan dan pelatihan oleh pakar pertanian dari Fakultas
Pertanian UGM, mahasiswa klaster agro, praktisi pengolah pupuk organik berbasis limbah
peternakan, praktisi pembudi daya bibit buah, dan warga peternak serta petani di wilayah ini
menerapkan sistem pemanfaatan limbah ternak dan pertanian melalui budi daya tanaman di
lahan pertanian terlantar atau pekarangan yang kosong (Gambar 9—12). Anggota kelompok
ternak melakukan proses uji coba pengolahan lahan pertanian dan pembuatan media tanam
dengan menggunakan pupuk organik/kandang. Dengan memanfaatkan pupuk kompos
berbasis limbah peternakan dan pertanian, warga peternak dan masyarakat mengembangkan
budi daya tanaman sayur, buah, dan obat, antara lain, terung, cabai, sawi, tomat, kacang
panjang, jahe, dan buah tin. Selain itu, kompos juga dimanfaatkan untuk pemupukan di lahan
pertanian yang berupa budi daya padi, pisang, dan rumput (Gambar 13—16). 169 Indonesian Journal of Community Engagement
Vol. 02, No. 02, Maret 2017 Gambar 9—12 Praktik Pemanfaatan Limbah Ternak untuk Pupuk Tanaman Obat dan Hortikultura Gambar 9—12 Praktik Pemanfaatan Limbah Ternak untuk Pupuk Tanaman Obat dan Hortikultura Gambar 9—12 Praktik Pemanfaatan Limbah Ternak untuk Pupuk Tanaman Obat dan Hortikultura Gambar 13—16 Budi Daya Tanaman Sayuran, Buah, dan Pangan yang Lain di Lahan Pekarangan
dan Pertanian serta Rumput Pakan Ternak di Pematang Sawah r 13—16 Budi Daya Tanaman Sayuran, Buah, dan Pangan yang Lain di Lahan Pekarangan
dan Pertanian serta Rumput Pakan Ternak di Pematang Sawah 170 Pemberdayaan Peternak Marginal:
Studi Kasus di Wilayah Banguntapan Bantul Sistem peternakan-pertanian terpadu untuk mengoptimalkan produktivitas ternak
dan tanaman serta meningkatkan kualitas sumber daya alam dan lingkungan dipilih atas
dasar/pertimbangan multifungsionalitas kegiatan usaha di tengah masyarakat Kranginan,
Banguntapan, Bantul. Sistem pertanian peternakan terpadu menjadi aset penting dalam upaya
mewujudkan ketahanan pangan, peningkatan kesejahteraan, dan lingkungan yang produktif,
sehat, hijau, serta lestari. Siswati dan Nizar (2012) menjelaskan bahwa pemaduan usaha ternak
dan tanaman hortikultura akan memberi kemanfaatan yang luas, yakni peningkatan produksi
pangan asal ternak (seperti daging dan susu) dan penyediaan pupuk organik yang bermanfaat
untuk peningkatan mutu serta pelestarian lahan kritis, peningkatan efisiensi biaya produksi,
baik peternakan maupun pertanian, dan peningkatan pendapatan petani peternak. Selanjutnya,
Adimihardja (2006) juga menegaskan bahwa pertanian mampu membuka lapangan kerja dan
menjadi sumber penghidupan bagi warga masyarakat yang memiliki keterbatasan keterampilan
dan pendidikan. Hal serupa disampaikan oleh Mardiharini (2011), yakni pemanfaatan lahan
pekarangan untuk tanaman obat, tanaman pangan, dan hortikultura berpotensi mendukung
pemenuhan kebutuhan keluarga, bahkan meningkatkan pendapatan penghasilan rumah tangga. 3. HASIL DAN PEMBAHASAN Keberhasilan penerapan sisem pertanian terpadu dengan mengoptimalkan potensi
pekarangan juga telah dibuktikan di wilayah Jawa Tengah. Oelviani dan Utomo (2015) me
laporkan bahwa implementasi sistem pertanian terpadu di lahan pekarangan di Desa Plukaran,
Gembong, Pati, Jawa Tengah berhasil meningkatkan kesejahteraan keluarga dan mendukung
ketahanan pangan secara berkelanjutan. Hal tersebut sesuai dengan pendapat Yuliani (2014) yang
mengatakan bahwa integrasi usaha tanaman pangan dan ternak yang menerapkan prinsip zero
waste dan lokasi pengolahan limbah yang dekat dengan lokasi produksi peternakan pertanian
dapat meningkatkan produktivitas lahan dan ternak, meminimalkan biaya transportasi, dan
meningkatkan kualitas lingkungan dengan menekan tingkat pencemaran lingkungan serta
mendukung ketahanan pangan. Pamungkas dan Hartati (2004) juga menambahkan bahwa
integrasi ternak dengan tanaman pangan dapat meningkatkan partisipasi masyarakat dalam
mewujudkan usaha agrobisnis yang berdaya saing, ramah lingkungan, dan mandiri. Respons masyarakat terhadap proses pemberdayaan berupa (a) perubahan sikap, yaitu
mau menerima gagasan-gagasan baru dan (b) perubahan perilaku, yaitu mau menggarap
lahan di sekitar kandang dan rumah hunian yang selama ini tidak dimanfaatkan, yakni
dengan memanfaatkan pupuk organik berbasis limbah peternakan/rumah tangga dan
menanam tanaman hortikultura serta tanaman pakan secara bersama-sama atau pun
pribadi di lingkungan masing-masing. Hal tersebut mengindikasikan bahwa proses transfer
pengetahuan dan kecakapan kepada warga masyarakat berjalan dengan baik (berhasil) dan
sangat signifikan. Proses tersebut dilakukan melalui serangkaian penyuluhan dan pelatihan
oleh pakar dan praktisi di unit usaha yang telah berhasil mengembangkan sistem integrated
farming serta pelibatan warga secara aktif dalam proses perencanaan, implementasi, dan
evaluasi program penyelesaian masalah atau pengembangan usaha tani ternak mereka. Masyarakat menilai bahwa kegiatan–kegiatan pengembangan yang telah dipilih
merupakan solusi bagi permasalahan usaha dan lingkungan mereka. Mereka juga menilai
bahwa langkah peningkatan wawasan dan kecakapan yang menyangkut hal-hal mendesak dan
penting untuk diatasi oleh warga; pemberian kesempatan kepada warga untuk berpartisipasi 171 Indonesian Journal of Community Engagement
Vol. 02, No. 02, Maret 2017 aktif dalam setiap tahapan kegiatan; dan adanya solusi berbasis bahan dan peralatan yang
dimiliki telah berhasil mengantaran mereka mencapai target perubahan sikap dan perilaku
sebagai petani peternak di wilayahnya. Peningkatan wawasan dan perubahan sikap masyarakat
tersebut menyebabkan adanya perubahan perilaku positif berupa aktivitas pengelolaan dan
pemanfaatan limbah ternak serta pertanian untuk mendukung usaha tani ternak terpadu serta
untuk pemanfaatan dan perbaikan kualitas lahan kritis atau terlantar. Hal ini sesuai dengan
hasil penelitian Darmawan dan Fadjarajani (2016) yang menunjukkan bahwa pengetahuan
dan sikap sangat berpengaruh kuat terhadap perilaku seseorang, khususnya perilaku terhadap
lingkungannya. 4. KESIMPULAN Partisipasi aktif warga (peternak dan petani) dan pendampingan dalam praktik
pengembangan sistem usaha tani-ternak terpadu merupakan faktor kunci yang sangat
menentukan keberhasilan proses tranformasi budaya pertanian bagi masyarakat tani
ternak kecil di wilayah marginal. Karakteristik masyarakat dan sumber daya, baik manusia
maupun alam menjadi hal penting untuk diperhatikan dengan saksama dalam setiap proses
pengembangan masyarakat yang berkelanjutan sehingga kemandirian masyarakat serta
peningkatan kualitas dan kesejahteraan hidup berbasis potensi lokal dapat diwujudkan dengan
efektif dan efisien. 3. HASIL DAN PEMBAHASAN Selain itu, rangkaian implementasi proses kegiatan di wilayah Kranginan
dilaksanakan dengan partisipasi aktif segenap warga peternak petani sehingga hal tersebut
sangat mendukung berkembangnya unsur self selection, self decision, self development, self
coordination, dan learning by doing bagi para peternak petani tersebut. Hal itu merupakan
unsur penting dalam menjamin proses dan keberhasilan pemberdayaan masyarakat. Menurut
Alfitri (2011), unsur-unsur tersebut merupakan elemen penting dalam proses pembiasaan
untuk berdaya sehingga apabila hal itu berlanjut terus dan semakin kuat akan dapat berjalan
dengan sendirinya dan pada akhirnya akan terwujud masyarakat mandiri. DAFTAR PUSTAKA Adimihardja, A. 2006. “Usaha Mempertahankan Multifungsi Pertanian Sawah” dalam Seminar
“Multifungsi dan Revitalisasi Pertanian”. Asean, Indonesian Soil Research Institute,
MAFF Japan. BB Litbang SDLP, Bogor. Alfitri. 2011. Community Development - Teori dan Aplikasi. Yogyakarta: Pustaka Pelajar Anonim. 2013. A Common Codex for Integrated Farming. European Initiative for Sustainable
Development in Agriculture. Bonn Germany. Bolsen, K.K. et al. 1996. “Silage Fermentation and Silage additives (Rev.)” dalam Asian-
Australian J. of Anim. Sci., 9(5): 483—493. Darmawan, D. dan Fadjarajani. 2016. “Hubungan antara Pengetahuan dan Sikap Pelestarian
Lingkungan dengan Perilaku Wisatawan dalam Menjaga Kebersihan Lingkungan”
dalam Jurnal Geografi, 4(1): 37—49. 172 Pemberdayaan Peternak Marginal:
Studi Kasus di Wilayah Banguntapan Bantul Pemberdayaan Peternak Marginal: y
g
Studi Kasus di Wilayah Banguntapan Bantul Hasnudi dan Saleh. 2004. “Rencana Pemanfaatan Lahan Kering untuk Pengembangan Usaha
Peternakan Ruminansia dan Usaha Tani Terpadu di Indonesia”. Universitas Sumatera
Utara. Hays, J.C. 1996. “Pathogen Destruction and Biosolids Composting” dalam Biocycle, 37(6):
67—76. Knox, M. dan Wan Zahari. 1997. “Urea-Molasses Blocks for Parasite Control”. Hlm. 23–38,
“In: Biological Control of Gastro-Intestinal Nematodes of Ruminants Using Predacious
Fungi” dalam FAO Animal Production and Health Paper, No. 141. Lung, A.J. et al. 2001. “Destruction of Escherichia coli O157:H7 and Salmonella Enteritidis in
Cow Manure Composting” dalam J Food Prot, 64: 1309–1314. Mardiharini, M. 2011. “Model Kawasan Rumah Pangan Lestari dan Pengembangannya ke
Seluruh Provinsi di Indonesia” dalam Warta Penelitian dan Pengembangan Pertanian,
33(6): 3—5. Marin, J.M. et al. 2014. “Fate of non O157 Shigatoxigenic Escherichia coli in Ovine Manure
Composting” dalam Arq. Bras. Med. Vet. Zootec., 66: 1771—1778. Oelviani, R. dan Utomo. 2015. “Sistem Pertanian Terpadu di Lahan Pekarangan Mendukung
Ketahanan Pangan Keluarga Berkelanjutan: Studi Kasus di Desa Plukaran, Kecamatan
Gembong, Kabupaten Pati, Jawa Tengah” dalam Pros Sem Nas Masy Biodiv Indon, 1(5):
1197—1202. Pamungkas, D. dan Hartati. 2004. “Peranan Ternak dalam Kesinambungan Sistem Usaha
Pertanian” dalam “Prosiding Seminar Nasional Sistem Integrasi Tanaman-Ternak”. Denpasar, 20—22 Juli 2004. Puslitbang Peternakan, BPTP Bali dan Casren. Hlm. 93—
103. Pell, A.N. 1997. “Manure and Microbes—Public and Animal Health Problem” dalam J Dairy
Sci, 80: 2673—2681. Prasetyastuti, T.E. 1985. “Pendugaan Kapasitas Peningkatan Populasi Ternak Ruminansia
Potong Berdasarkan sumber Daya Lahan di Provinsi Jawa Barat”. Karya Ilmiah, Fakultas
Peternakan, Institut Pertanian Bogor, Bogor. Tidak Diterbitkan. Rafiq, K. et al. 2004. “Studies of Anti-Nematodal Effects of Medicated Urea-Molasses Blocks
Againts Gastrointestinal Nematodiasis in Indigenous Dairy Cows of Bangladesh”
dalam Pakistan Journal of Biological Science, 7(1): 73—78. Sariubang, M. 2010. Sutanto, R. 2006. Pertanian Organik, Menuju Pertanian Alternatif dan Berkelanjutan.
Yogyakarta: Kanisius. DAFTAR PUSTAKA “Sistem Usaha Tani Integrasi Pembibitan Sapi Bali dengan Tanaman Padi
pada Lahan Sawah” dalam Jurnal Agrisistem, 6(1): 36—41. Siswati, L. dan Nizar. 2012. “Model Pertanian Terpadu Tanaman Hortikultura dan Ternak Sapi
untuk Meningkatkan Pendapatan Petani” dalam Jurnal Peternakan Indonesia, 14(2):
379—384. Sutanto, R. 2006. Pertanian Organik, Menuju Pertanian Alternatif dan Berkelanjutan. Yogyakarta: Kanisius. 173 Indonesian Journal of Community Engagement
Vol. 02, No. 02, Maret 2017 Udiyono. 1987. “Kemungkinan Penggunaan Dedak Beras sebagai Bahan Pembuat Enzim”
dalam “Simposium Bioproses dalam Industri Pangan”. Tanggal 12—14 Januari 1987,
Yogyakarta. Hlm. 326—334. Yuliani, D. 2014. “Sistem Integrasi padi Ternak untuk Mewujudkan Kedaulatan Pangan” dalam
Jurnal Agroteknologi 4(2): 15-26 Yuliani, D. 2014. “Sistem Integrasi padi Ternak untuk Mewujudkan Kedaulatan Pangan” dalam
Jurnal Agroteknologi 4(2): 15-26 Julendra, H. et al. 2013. “Evaluasi Penerapan Sistem Pertanian Terpadu Berbasis Sapi Potong di
Delapan Lokasi dengan Letak Geografis yang Berbeda” dalam “Seminar Nasional dan
Workshop: Peningkatan Inovasi dalam Menanggulangi Kemiskinan, LIPI”. Diakses pada
tanggal 13 April 2017 melalui https://www.researchgate.net/publication/ 273140190. Udiyono. 1987. “Kemungkinan Penggunaan Dedak Beras sebagai Bahan Pembuat Enzim”
dalam “Simposium Bioproses dalam Industri Pangan”. Tanggal 12—14 Januari 1987,
Yogyakarta. Hlm. 326—334. Yuliani, D. 2014. “Sistem Integrasi padi Ternak untuk Mewujudkan Kedaulatan Pangan” dalam
Jurnal Agroteknologi 4(2): 15-26 LAMAN Julendra, H. et al. 2013. “Evaluasi Penerapan Sistem Pertanian Terpadu Berbasis Sapi Potong di
Delapan Lokasi dengan Letak Geografis yang Berbeda” dalam “Seminar Nasional dan
Workshop: Peningkatan Inovasi dalam Menanggulangi Kemiskinan, LIPI”. Diakses pada
tanggal 13 April 2017 melalui https://www.researchgate.net/publication/ 273140190. 174
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ANALYTICAL STUDY OF FACIAL NERVE INJURY IN TRAUMATIC FACIAL NERVE PALSY.
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ANALYTICAL STUDY OF FACIAL NERVE INJURY IN TRAUMATIC FACIAL NERVE PALSY. Dr. N. Dhinakaran1, Dr. B. Muthu Kumar2 and Dr. M. Robin Richards3. 1. MS ENT,Professor and HOD, Dept of ENT, Madurai Medical College , Madurai. 2. MS ENT, Assistant Professor, Dept of ENT, Madurai Medical College, Madurai. 3. PG in ENT, Madurai Medical College, Madurai. …………………………………………………………………………………………………….... Manuscript Info
Abstract
……………………. ………………………………………………………………
Manuscript History
Received: 07 December 2017
Final Accepted: 09 January 2018
Published: February 2018
Keywords:-
Facial Nerve, Road Accident, temporal
bone fracture. Traumatic facial paralysis is not altogether uncommon. Though
incidence of postoperative facial palsy has declined considerably in
recent years, thanks because of improvement in microsurgical
techniques for mastoid surgery, yet accidents still happen occasionally. However, there seems to be a higher occurrence of facial paralysis due
to increase in road side accidents. Results of surgery are rewarding,
though recovery may not be complete. Present paper describes our
experience of treating 20 such cases. However, cases requiring nerve
decompression procedures only have been included in the present
study. Surgical technique has been briefly discussed along with
relevant review of literature. Copy Right, IJAR, 2018,. All rights reserved. …………………………………………………………………………………………………….... Introduction:-
Facial paralysis has been a subject of particular interest to the Otolaryngologists for several decades. Role of
surgical intervention in traumatic facial palsy is clearly established. Most authors are of opinion that the facial nerve
should be explored as early as possible in cases of complete paralysis of immediate onset following an injury,
whether due to mastoid surgery or due to fracture of the temporal bone. Copy Right, IJAR, 2018,. All rights reserved. Facial paralysis has been a subject of particular interest to the Otolaryngologists for several decades. Role of
surgical intervention in traumatic facial palsy is clearly established. Most authors are of opinion that the facial nerve
should be explored as early as possible in cases of complete paralysis of immediate onset following an injury,
whether due to mastoid surgery or due to fracture of the temporal bone. Techniques of the facial nerve surgery were originally described by Ballance and Duel (1938), and were later
developed by Bunnel (1937); Martin (1955); Kettel (1957); Jonkess (1972) ; Lathrop (1965) and Sade (1975). The
goal common to all these operations to repair the injured facial nerve, be it by decompression, direct anastomosis,
re-routing, or a free nerve graft. ANALYTICAL STUDY OF FACIAL NERVE INJURY IN TRAUMATIC FACIAL NERVE PALSY. Aim of the present paper is to critically evaluate different factors which may
influence quality of recovery of the facial movements following a nerve decompression in traumatic facial nerve
palsy ISSN: 2320-5407 ISSN: 2320-5407 Int. J. Adv. Res. 6(2), 487-489 Journal Homepage: -www.journalijar.com
Article DOI:10.21474/IJAR01/6463
DOI URL: http://dx.doi.org/10.21474/IJAR01/6463 Materials And Methods:- This study is based on experience of 20 patients in whom facial nerve decompression was performed for traumatic
facial palsy in Department of ENT, Madurai Medical College, Madurai between 2016 -2017. The aim of this study
is to evaluate the distribution and type of temporal bone fractures in patients presenting with traumatic facial nerve
palsy, interval between the onset of the injury and the time of onset of facial palsy. Under general anesthesia, by a
postauricular incision, cortical mastoidectomy done. Posterior canal wall was lowered by removing the facial bridge
and lowering the facial ridge. The bony fragments impinging of the facial nerve was removed and the facial nerve
was decompressed 270 degrees. 487
Corresponding Author:- N. Dhinakaran. Address:- MS ENT,Professor and HOD, Dept of ENT, Madurai Medical College , Madurai. 487
Corresponding Author:- N. Dhinakaran. Address:- MS ENT,Professor and HOD, Dept of ENT, Madurai Medical College , Madurai. 487 ISSN: 2320-5407 Int. J. Adv. Res. 6(2), 487-489 Int. J. Adv. Res. 6(2), 487-489 Int. J. Adv. Res. 6(2), 487-489 Int. J. Adv. Res. 6(2), 487-489 Observations:- All patients were subjected to a thorough clinical examination before the facial nerve exploration. Audiological tests
were done in all except a small number of head injury cases which were operated the same day as emergency
procedures. Approximate site of the lesion of the facial nerve was determined by Schirmer's test and evaluating
sensation of the taste. Tests for salivary flow was not carried out. CT temporal bones were done in cases of
accidental injuries and the site of the fracture was identified. Electrodiagnostic tests such as the nerve excitability
and strength duration were not carried out routinely in the present series. Age incidence of the patients is described in Table I. In facial paralysis due to accidental injuries, a majority of the patients were between 21-50 years. Youngest patient
in the series was a child of 20 years while the oldest patient was 57 years of age. There were 18 male and 2 female
patients. Age(years)
Facial Palsy in RTA
Percentage(%)
<10
0
0
11-20
1
5
21-30
5
25
31-40
6
30
41-50
5
25
>50
3
3
Sex
Facial Palsy in RTA
Percentage
Male
18
90
Female
2
10 Table II describes the time interval between onset of facial paralysis and subsequent nerve decompression. Most of
the patient presented to us within one week of injury. Interval Between Injury and Surgery
Facial Palsy in RTA
Within 48 hrs
7
Within 1 week
10
Within 1 month
2
More than 1 month
1
Total Number of cases
20
Table 3:- describes the site of facial nerve injury in the temporal bone. At the nerve decompression, site of the facial nerve injury was located in Horizontal segment of the facial nerve in
as many as 15 cases (75%). 3 cases (15%) the lesion was found in geniculate ganglion of the facial nerve. Site of lesion
No of Patients
Labynthine segment
1
Geniculate ganglion
3
Tympanic segment
15
Vertical Segment
1
All patients were given similar treatments including antibiotics and support treatments. Stitches were removed after
a week and facial function rehabilitation exercises began .Among 20 patients who had facial nerve decompression,
19 patients recovered from the palsy. All patients were given similar treatments including antibiotics and support treatments. Stitches were removed after
a week and facial function rehabilitation exercises began .Among 20 patients who had facial nerve decompression,
19 patients recovered from the palsy. ISSN: 2320-5407 Int. J. Adv. Res. 6(2), 487-489 Int. J. Adv. Res. 6(2), 487-489 ISSN: 2320-5407 On the surgical approach, the mastoid approach is used for tympanic and vertical segment injury, the external ear
canal approach for horizontal segment injury with combined ossicular chain disruption in longitudinal temporal
bone fractures, the middle cranial fossa approach for geniculate ganglion and labyrinthine segment or the internal
auditory canal segment injury with good hearing and vestibular function; and the mastoid–middle cranial fossa
approach for decompression of the entire course. When there is completely normal hearing and the injury site is
above the geniculate ganglion, translabyrinthine approach is usually recommended. Discussion:- Approximately 15–25% of the longitudinal and 50% of the transverse temporal bone Fractures result in facial
Paralysis. Facial nerve decompression in temporal bone fractures can significantly improve clinical outcomes. Facial
nerve decompression led to good results within 3 months after injury. If early decompression of TFP was missed,
late decompression could still be applied with certain efficacy. We think that surgical intervention should be done as
soon as possible. If the patients has missed the chance of early intervention, surgery should be done when EMG
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Universitatis Series, Medicine & Biology 2003;10:145-7. 3. Dragoljub Popovic, Milan Stankovic, Zorica Popovic, Dusan Mulisavljevic. Traumatic facial palsy. Facta
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7. Sherwen PJ, Thong NC. Bilateral facial nerve palsy : A case report and literature review. J Otolaryngol
1987;16:28-32. 7. Sherwen PJ, Thong NC. Bilateral facial nerve palsy : A case report and literature review. J Otolaryngol
1987;16:28-32. 8. Zhigang Cai, Guangyan Yu, Daquan Ma, Jing Tan, Zhaohui Yang, Xiaoming Zhang. Experimental studies on
traumatic facial nerve injury. J Laryngol Otol 1998;112:243-247. 8. Zhigang Cai, Guangyan Yu, Daquan Ma, Jing Tan, Zhaohui Yang, Xiaoming Zhang. Experimental studies on
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331 models facing new b → sμ + μ − data
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331 models facing new b →sµ+µ−data Andrzej J. Buras,a,b Fulvia De Fazioc and Jennifer Girrbacha,b
aTUM Institute for Advanced Study, Lichtenbergstr. 2a, D-85747 Garching, Germany
bPhysik Department, Technische Universit¨at M¨unchen,
James-Franck-Straße, D-85747 Garching, Germany
cIstituto Nazionale di Fisica Nucleare, Sezione di Bari, Via Orabona 4, I-70126 Bari, Italy
E-mail: andrzej.buras@tum.de, fulvia.defazio@ba.infn.it,
jennifer.girrbach@tum.de JHEP02(2014)112 Abstract: We investigate how the 331 models, based on the gauge group SU(3)C ×
SU(3)L×U(1)X face new data on Bs,d →µ+µ−and Bd →K∗(K)µ+µ−taking into account
present constraints from ∆F = 2 observables, low energy precision measurements, LEP-II
and the LHC data. In these models new sources of flavour and CP violation originate
dominantly through flavour violating interactions of ordinary quarks and leptons with a
new heavy Z′ gauge boson. The strength of the relevant couplings is governed by four new
parameters in the quark sector and the parameter β which in these models determines the
charges of new heavy fermions and gauge bosons. We study the implications of these models
for β = ±n/
√
3 with n = 1, 2, 3. The case β = −
√
3 leading to Landau singularities for
MZ′ ≈4 TeV can be ruled out when the present constraints on Z′ couplings, in particular
from LEP-II, are taken into account. For n = 1, 2 interesting results are found for MZ′ <
4 TeV with largest NP effects for β < 0 in Bd →K∗µ+µ−and the ones in Bs,d →µ+µ−for
β > 0. As Re(CNP
9 ) can reach the values −0.8 and −0.4 for n = 2 and n = 1, respectively the
Bd →K∗µ+µ−anomalies can be softened with the size depending on ∆Ms/(∆Ms)SM and
the CP-asymmetry Sψφ. A correlation between Re(CNP
9 ) and B(Bs →µ+µ−), identified for
β < 0, implies for negative Re(CNP
9 ) uniquely suppression of B(Bs →µ+µ−) relative to its
SM value which is favoured by the data. In turn also Sψφ < SSM
ψφ is favoured with Sψφ having
dominantly opposite sign to SSM
ψφ and closer to its central experimental value. Another
triple correlation is the one between Re(CNP
9 ), B(Bs →µ+µ−) and B(Bd →Kµ+µ−). NP
effects in b →sν¯ν transitions, K+ →π+ν¯ν and KL →π0ν¯ν turn out to be small. Published for SISSA by
Springer
Received: December 18, 2013
Accepted: February 1, 2014
Published: February 26, 2014 Open Access, c⃝The Authors.
Article funded by SCOAP3. Keywords: Rare Decays, Beyond Standard Model, B-Physics 331 models facing new b →sµ+µ−data We
find that the absence of Bd →K∗µ+µ−anomalies in the future data and confirmation of
the suppression of B(Bs →µ+µ−) relative to its SM value would favour β = 1/
√
3 and
MZ′ ≈3 TeV . Assuming lepton universality, we find an upper bound |CNP
9
| ≤1.1(1.4)
from LEP-II data for all Z′ models with only left-handed flavour violating couplings to
quarks when NP contributions to ∆Ms at the level of 10%(15%) are allowed. Keywords: Rare Decays, Beyond Standard Model, B-Physics Keywords: Rare Decays, Beyond Standard Model, B-Physics ArXiv ePrint: 1311.6729 ArXiv ePrint: 1311.6729 ArXiv ePrint: 1311.6729 Open Access, c⃝The Authors. Article funded by SCOAP3. doi:10.1007/JHEP02(2014)112 2
The 331 models and their couplings
4
2.1
The 331 models
4
2.2
The couplings
6
2.3
Various 331 models
8 JHEP02(2014)112 3
Master formulae for one-loop functions and Wilson coefficients
3.1
New physics contributions 3
Master formulae for one-loop functions and Wilson coefficients p
3.1
New physics contributions 3.1
New physics contributions 3.2
Correlations 4
Crucial observables
4.1
∆F = 2 observables
4.2
b →sµ+µ−observables 5
Strategy for numerical analysis 1
Introduction The great expectations to find New Physics (NP) at the LHC did not materialize until
now. In particular the order of magnitude enhancements of the branching ratio for Bs →
µ+µ−decay over its Standard Model (SM) value, possible in supersymmetric models and
models with tree-level heavy neutral scalar and pseudoscalar exchanges, are presently ruled
out. This is also the case of O(1) values of the CP-asymmetry Sψφ which could also be
accommodated in these models. A recent review can be found in [1]. While for the models in question these new flavour data are a big disappointment,
for other models like the ones with constrained minimal flavour violation (CMFV), 331
models [2] and Littlest Higgs Model with T-parity [3] they brought a relief as in these
models NP effects were naturally predicted to be small. On the other hand the most recent
data from LHCb and CMS bring new challenges for the latter models: JHEP02(2014)112 • The LHCb and CMS collaborations presented new results on Bs,d →µ+µ−[4–6]. While the branching ratio for Bs →µ+µ−as stated above turns out to be rather
close to the SM prediction, although a bit lower than the latter, the central value
for the one of Bd →µ+µ−is by a factor of 3.5 higher than its SM value. While
this result invites us to speculate about NP behind it, the large experimental error
precludes any clear cut conclusions. • LHCb collaboration reported new results on angular observables in Bd →K∗µ+µ−
that show departures from SM expectations [7, 8]. Moreover, new data on the ob-
servable FL, consistent with LHCb value in [7] have been presented by CMS [9]. • LHCb collaboration reported new results on angular observables in Bd →K∗µ+µ−
that show departures from SM expectations [7, 8]. Moreover, new data on the ob-
servable FL, consistent with LHCb value in [7] have been presented by CMS [9]. In particular the anomalies in Bd →K∗µ+µ−triggered two sophisticated analy-
ses [10, 11] with the goal to understand the data and to indicate what type of NP could
be responsible for these departures from the SM. Subsequently several other analyses of
these data have been presented in [12–17] and very recently in [18]. The outcome of these efforts can be summarized briefly as follows. 6
Numerical analysis 6
Numerical analysis 6
Numerical analysis
6.1
CMFV case
6.2
Non-CMFV case (Bs-system)
6.2.1
Preliminaries
6.2.2
Results
6.3
Non-CMFV case (Bd-system)
6.4
Non-CMFV case for b →sν¯ν, K+ →π+ν¯ν and KL →π0
6.4.1
Preliminaries
6.4.2
The b →sν¯ν transitions
6.4.3
K+ →π+ν¯ν, KL →π0ν¯ν and KL →µ+µ−decay 6.1
CMFV case 6.2
Non-CMFV case (Bs-system)
6.2.1
Preliminaries
6.2.2
Results 7
Low and high energy constraints 7
Low and high energy constraints 7.1
Low energy precision observables 7.2
LEP-II constraints 7.2
LEP-II constraints 8
Summary and conclusions 8
Summary and conclusions A Expressions for couplings in various 331 models B LEP-II constraints B LEP-II constraints
4 C The β = ±
√
3 models
44 – i – 1
Introduction There seems to
be a consensus among different groups that NP definitely affects the Wilson coefficient
C9 [10, 11, 13, 17, 18] with the value of the shift in C9 depending on the analysis considered: −1.9 ≤CNP
9
≤−0.5. (1.1) (1.1) There is also a consensus that small negative NP contributions to the the Wilson coefficient
C7γ could together with CNP
9
provide the explanation of the data [10, 11]. On the other
hand as seen in the analyses in [11, 13, 17], a particularly successful scenario is the one
with participation of right-handed currents CNP
9
< 0,
C′
9 > 0,
C′
9 ≈−CNP
9
. (1.2) (1.2) However a very recent analysis in [18] challenges this solution favouring the one with NP
contributions dominantly represented by CNP
9
≈−1.5 with much smaller NP contributions
to the remaining Wilson coefficients, in particular C′
9. However a very recent analysis in [18] challenges this solution favouring the one with NP
contributions dominantly represented by CNP
9
≈−1.5 with much smaller NP contributions
to the remaining Wilson coefficients, in particular C′
9. – 1 – For the models presented here sorting out these differences is important as in these
models C′
9 = 0 and as demonstrated in [2, 19] NP contributions to C7γ are totally negligible. Thus CNP
9
remains the only coefficient which could help in explaining the Bd →K∗µ+µ−
anomalies. In our view this is certainly not excluded [10, 12–15, 18], in particular if these
anomalies would soften with time. It should be emphasized at this point that these analyses
are subject to theoretical uncertainties, which have been discussed at length in [10, 20–24]
and it remains to be seen whether the observed anomalies are only result of statistical
fluctuations and/or underestimated theoretical uncertainties. Assuming that indeed NP is at work here, one of the physical mechanisms behind these
deviations that seems to emerge from these studies is the presence of tree-level Z′ exchanges. In [19] we have presented an anatomy of Z′ contributions to flavour changing neutral current
processes (FCNC) identifying various correlations between various observables character-
istic for this NP scenario. Recently we have analyzed how this scenario faces the new data
listed above [13] including the correlation with the values of CBq = ∆Mq/(∆Mq)SM, Sψφ
and SψKS which should be precisely determined in this decade. 1
Introduction scenario are the 331 models based
on the gauge group SU(3)C × SU(3)L × U(1)X [26, 27]. A detailed analysis of FCNC pro-
cesses in one of these models has been presented by us in [2]. Selection of earlier analyses
of various aspects of these models related to our paper can be found in [28–37]. The nice feature of these models is a small number of free parameters which is lower
than present in the general l.h.s. scenario considered in [13, 19]. This allows to find certain
correlations between different meson systems which is not possible in the general case. Indeed the strength of the relevant Z′ couplings to down-quarks is governed by two mixing
parameters, two CP-violating phases and the parameter β which defines1 a given 331 model
and determines the charges of new heavy fermions and gauge bosons. Thus for a given
MZ′ and β there are only four free parameters to our disposal. In particular for a given
β, the couplings of Z′ to leptons are fixed. As evident from the general analysis of l.h.s. scenario in [13], knowing the latter couplings simplifies the analysis significantly, increasing
simultaneously the predictive power of the theory. JHEP02(2014)112 In [2] the relevant couplings have been presented for arbitrary β but the detailed FCNC
analysis has been only performed for β = 1/
√
3. While this model provides interesting
results for Bs,d →µ+µ−, it fails in the case of anomalies in Bd →K∗µ+µ−because in this
model the coupling ∆µ¯µ
V (Z′) and consequently the Wilson coefficient CNP
9
turn out to be
very small. It has been pointed out recently in [14] that for β = −
√
3 a very different picture arises. Indeed in this case ∆µ¯µ
V (Z′) is much larger than for β = 1/
√
3 so that the Bd →K∗µ+µ−
anomaly can be in principle successfully addressed. Simultaneously the coupling ∆µ¯µ
A (Z′)
turns out to be small so that NP contributions to Bs →µ+µ−are small in agreement
with the data. Moreover aligning the new mixing matrix VL with the CKM matrix, the
authors end up with a very simple model in which the only new parameter relevant for
their analysis is MZ′ and the negative sign of CNP
9
required by the Bd →K∗µ+µ−anomaly
is uniquely predicted. 1
Introduction JHEP02(2014)112 The dominant role in [13] was played by the so-called l.h.s. scenario in which the flavour
violating couplings of Z′ to quarks were purely left-handed. While, in agreement with [11]
and recently with [17] it has been found that the presence of right-handed couplings leading
to a non-vanishing C′
9 gives a better description of the data than the l.h.s. scenario, it is
clear that in view of theoretical and experimental uncertainties the l.h.s. scenario remains
as a viable alternative. The nice virtue of the l.h.s. scenario is that for certain choices of the Z′ couplings the
model resembles the structure of CMFV or models with U(2)3 flavour symmetry. Moreover
as no new operators beyond those present in the SM are present, the non-perturbative
uncertainties are the same as in the SM, still allowing for non-MFV contributions beyond
those present in U(2)3 models. In particular the stringent CMFV relation between ∆Ms,d
and B(Bs,d →µ+µ−) [25] valid in the simplest U(2)3 models is violated in the l.h.s. scenario as analyzed in detail in [13]. Another virtue of the l.h.s. scenario is the paucity of
its parameters that enter all flavour observables in a given meson system which should be
contrasted with most NP scenarios outside the MFV framework. Indeed, if we concentrate
on B0
s −¯B0
s mixing, b →sµ+µ−and b →sν¯ν observables, for a given mass MZ′ there
are only four new parameters to our disposal: the three couplings (our normalizations of
couplings are given in section 2) ∆sb
L (Z′),
∆µ¯µ
A (Z′),
∆µ¯µ
V (Z′),
(1.3) (1.3) of which the first one is generally complex and the other two real. The couplings ∆µ¯µ
A,V (Z′)
are defined in (2.13) and due to SU(2)L symmetry implying in l.h.s. ∆ν¯ν
L (Z′) = ∆µ¯µ
L (Z′)
one also has ∆ν¯ν
L (Z′) = ∆µ¯µ
V (Z′) −∆µ¯µ
A (Z′)
2
. (1.4) (1.4) Extending these considerations to Bd and K meson systems brings in four additional pa-
rameters, the complex couplings: Extending these considerations to Bd and K meson systems brings in four additional pa-
rameters, the complex couplings: ∆db
L (Z′),
∆sd
L (Z′). (1.5) (1.5) – 2 – – 2 – Thus in this general l.h.s. scenario we deal with eight new parameters. Further re-
duction of parameters is only possible in a concrete dynamical model. In this context an
interesting class of dynamical models representing l.h.s. 1Up to the choice of the representation of the gauge group according to which the fermions should
transform, as will be better clarified in the next section. 1
Introduction Unfortunately this model has several problems, in particular in the MFV limit consid-
ered in [14], which in our view eliminates it as a valid description of the present flavour
data. As discussed in appendix C these problems originate in the known fact that the
331 models with β = ±
√
3 imply a Landau singularity for sin2 θW = 0.25 and this value is
reached through the renormalization group evolution of the SM couplings for MZ′ typically
around 4 TeV, scales not much higher than the present lower bounds on MZ′. Yet, the observation of the authors of [14] that negative values of β could provide
solution to Bd →K∗µ+µ−anomalies motivates us to generalize our phenomenological
analysis of 331 model in [2] from β = 1/
√
3 to arbitrary values of β, both positive and
negative, for which the Landau singularity in question is avoided up to the very high scales,
even as high as GUTs scales. This generalization is in fact straight forward as in [2] we – 3 – have provided formulae for the Z′ couplings to quarks and leptons for arbitrary β2 and the
expressions for various flavour observables as functions of β can be directly obtained from
the formulae of that paper. In this context we will concentrate our analysis on the cases
β = ±n/
√
3 with n = 1, 2 choosing MZ′ = 3 TeV in order to satisfy existing bounds from
flavour conserving observables. A simple scaling law allows then to obtain predictions for
other values of MZ′. However, in contrast to our numerical analysis in [2] which assumed certain fixed values
of
q
ˆBBsFBs and
q
ˆBBdFBd we will investigate in the spirit of our recent paper [13] how
our results depend on JHEP02(2014)112 CBq =
∆Mq
(∆Mq)SM
,
Sψφ,
SψKS
(1.6) (1.6) which should be precisely determined in this decade. which should be precisely determined in this decade. Our paper is organized as follows. In section 2 we review very briefly the basic aspects
of 331 models, recalling their free parameters and the general formulae for the couplings
of Z′ to quarks and leptons for arbitrary β. We also present a table with the values of
flavour diagonal couplings of Z′ to quarks and leptons for n = 1, 2, 3 which should facilitate
other researchers to test precisely these models in processes not considered by us. 1
Introduction In
section 3 we collect formulae for various Wilson coefficients and one-loop master functions
in terms of the couplings of section 2. This will allow us to identify certain properties
and correlations between various observables that will be explicitly seen in our numerical
analysis. As all relevant formulae for various branching ratios and other observables have
been presented in [2] we recall in section 4 only crucial observables and their status in the
SM and experiment. The strategy for our analysis is presented in section 5 and its execution
in section 6. In section 7 we present predictions for low energy precision observables which
could provide additional tests of the models considered and analyse also the bounds from
LEP-II. We also comment on the bounds on MZ′ from the LHC. We summarize the main
results of our paper in section 8. Some useful information can also be found in three
appendices. 2See also [31]. 2.1
The 331 models The name 331 encompasses a class of models based on the gauge group SU(3)C ×SU(3)L ×
U(1)X [26, 27], that is at first spontaneously broken to the SM group SU(3)C × SU(2)L ×
U(1)Y and then undergoes the spontaneous symmetry breaking to SU(3)C × U(1)Q. The
extension of the gauge group with respect to SM leads to interesting consequences. The
first one is that the requirement of anomaly cancellation together with that of asymptotic
freedom of QCD implies that the number of generations must necessarily be equal to the
number of colours, hence giving an explanation for the existence of three generations. Furthermore, quark generations should transform differently under the action of SU(3)L. – 4 – In particular, two quark generations should transform as triplets, one as an antitriplet. Choosing the latter to be the third generation, this different treatment could be at the
origin of the large top quark mass. This choice imposes that the leptons should transform as
antitriplets. However, one could choose a different scenario in which the role of triplets and
antitriplets is exchanged, provided that the number of triplets equals that of antitriplets,
in order to fulfil the anomaly cancellation requirement. Therefore, different versions of the
model are obtained according to the way one fixes the fermion representations. The fermion
representations for specific 331 models analyzed in our paper are described in detail in [2]. p
p
y
p p
A fundamental relation holds among some of the generators of the group: JHEP02(2014)112 Q = T3 + βT8 + X,
(2.1) (2.1) where Q indicates the electric charge, T3 and T8 are two of the SU(3) generators and X is
the generator of U(1)X. β is a key parameter that defines a specific variant of the model. The 331 models comprise several new particles. There are new gauge bosons Y and V and
new heavy fermions, all with electric charges depending on β. Also the Higgs system is
extended. As analyzed in detail in [31] and stated in that paper β can be arbitrary. 2.1
The 331 models This
represents a very appealing feature, since Z′ mediates tree level flavour changing neutral – 5 – currents (FCNC) in the quark sector and could be responsible for the recent anomalies as
indicated by their recent extensive analyses currents (FCNC) in the quark sector and could be responsible for the recent anomalies as
indicated by their recent extensive analyses. As in the SM, quark mass eigenstates are defined upon rotation of flavour eigenstates
through two unitary matrices UL (for up-type quarks) and VL (for down-type quarks). The
relation VCKM = U †
LVL
(2.6) (2.6) holds in analogy with the SM case. However, while in the SM VCKM appears only in
charged current interactions and the two rotation matrices never appear individually, this
is not the case in this model and both UL and VL can generate tree-level FCNCs mediated
by Z′ in the up-quark and down-quark sector, respectively. But these two matrices have
to satisfy the relation (2.6). A useful parametrization for VL which we have used in [2] is JHEP02(2014)112 VL =
˜c12˜c13
˜s12˜c23eiδ3 −˜c12˜s13˜s23ei(δ1−δ2)
˜c12˜c23˜s13eiδ1 + ˜s12˜s23ei(δ2+δ3)
−˜c13˜s12e−iδ3 ˜c12˜c23 + ˜s12˜s13˜s23ei(δ1−δ2−δ3) −˜s12˜s13˜c23ei(δ1−δ3) −˜c12˜s23eiδ2
−˜s13e−iδ1
−˜c13˜s23e−iδ2
˜c13˜c23
. (2 7)
(2.7) (
)
This matrix implies through (2.6) new sources of flavour violation in the up-sector. However, when UL = 1 as used in [14] VL = VCKM and we deal with a particular simple
CMFV model. With this parametrization, the Z′ couplings to quarks, for the three meson systems,
K, Bd and Bs
d
bd
b K, Bd and Bs ∆sd
L (Z′),
∆bd
L (Z′)
∆bs
L (Z′)
(2.8) (2.8) being proportional to v∗
32v31, v∗
33v31 and v∗
33v32, respectively, depend only on four new
parameters (explicit formulae are given in [2]): ˜s13,
˜s23,
δ1,
δ2 . (2.9) (2.9) Here ˜s13 and ˜s23 are positive definite and δi in the range [0, 2π]. Therefore for fixed MZ′
and β, the Z′ contributions to all processes analyzed by us depend only on these parameters
implying very strong correlations between NP effects to various observables. Indeed, as
seen in (2.7) the Bd system involves only the parameters ˜s13 and δ1 while the Bs system
depends on ˜s23 and δ2. Moreover, stringent correlations between observables in Bd,s sectors
and in the kaon sector are found since kaon physics depends on ˜s13, ˜s23 and δ2 −δ1. 2.1
The 331 models A
very constraining feature of this models is that the diagonal couplings of Z′ to quarks and
leptons are fixed for a given β, except for a weak dependence on MZ′ due to running of
sin2 θW
provided β differs significantly from ±
√
3. 2.1
The 331 models Yet due to
the fact that in 331 models
2
2 2 M2
Z′ =
g2u2c2
W
3[1 −(1 + β2)s2
W ]
(2.2) (2.2) where u is the vacuum expectation value related to the first symmetry breaking it is evident
that only values of β satisfying where u is the vacuum expectation value related to the first symmetry breaking it is evident
that only values of β satisfying [1 −(1 + β2)s2
W ] > 0
(2.3) (2.3) are allowed. With the known value of s2
W this means that |β| ≤
√
3
(2.4) (2.4) and in fact the only explicit models analyzed in the literature are the ones with β = ±1/
√
3
and β = ±
√
3. But only for β = ±1/
√
3 one can avoid the presence of exotic charges both
in the fermion and gauge boson sectors. If one considers only and in fact the only explicit models analyzed in the literature are the ones with β = ±1/
√
3
and β = ±
√
3. But only for β = ±1/
√
3 one can avoid the presence of exotic charges both
in the fermion and gauge boson sectors. If one considers only β = ± n
√
3,
n = 1, 2, 3
(2.5) (2.5) then for n = 1 there are singly charged Y ± bosons and neutral ones V 0( ¯V 0), while for
n = 3 one finds instead two new singly charged bosons V ± and two doubly charged ones
Y ±±. For n = 2 exotic charges ±1/2 and ±3/2 for gauge bosons are found. From table 1
in [2] we also find that while for n = 1 no exotic charges for heavy fermions are present,
for n = 2 heavy quarks carry exotic electric charges ±5/6 and ±7/6 while heavy leptons
±1/2 and ±3/2. Discovering such fermions at the LHC would be a spectacular event. We
refer to [2] for further details. In principle β could be a continuous variable satisfying (2.4)
but in the present paper we will only consider the cases n = 1, 2, 3. Most importantly for our paper for all β a new neutral gauge boson Z′ is present. 2.2
The couplings We will now recall those couplings for arbitrary β that are relevant for our paper. The
expressions for other couplings and masses of new gauge bosons and fermions as well as
expressions for their electric charges that depend on β can be found in [2]. Central for our analysis is the function Central for our analysis is the function f(β) =
1
1 −(1 + β2)s2
W
> 0
(2.10) (2.10) here the positivity of this function results from the reality of MZ′ as stressed above. where the positivity of this function results from the reality of MZ′ as stressed above – 6 – The following properties should be noted: The following properties should be noted: • For β ≈
√
3 there is a Landau singularity for s2
W = 0.25. As at MW one has s2
W ≈0.23
(with exact number depending on its definition considered) and renormalization group
evolution of weak couplings increases s2
W with increasing scale, s2
W (MZ′) reaches 0.25
and the singularity in question for MZ′ ≈4 TeV. • For |β| ≤
√
3 −0.20 this problem does not arise even up to the GUTs scales. • For |β| ≤
√
3 −0.20 this problem does not arise even up to the GUTs scales. While we will specifically consider only the cases β = ±n/
√
3 with n = 1, 2, 3 we list
here the formulae for the relevant couplings for arbitrary real β ̸=
√
3 satisfying (2.4). The
case β =
√
3 is considered separately in appendix A. JHEP02(2014)112 The important point which we would like to make here is that the couplings of Z′ to
quarks and leptons have to be evaluated at the scale µ at which Z′ is integrated out, that
is at µ = O(MZ′) and not at MW . For n = 1 this difference is irrelevant. For n = 2 it
plays a role if acceptable precision is required and it is crucial for n = 3. The values of
couplings listed by us and in appendix A correspond to µ = MZ′ with the latter specified
below. 2.2
The couplings Denoting the elements of the matrix VL in (2.7) by vij, the relevant couplings for
quarks are then given as follows: ∆ij
L(Z′) = g
√
3cW
p
f(β)v∗
3iv3j ,
(2.11a)
∆ji
L(Z′) =
h
∆ij
L(Z′)
i⋆
,
∆u¯u
L (Z′) = ∆d ¯d
L (Z′)
(2.11b)
∆d ¯d
L (Z′) =
g
2
√
3cW
p
f(β)
−1 + (1 + β
√
3)s2
W
,
(2.11c)
∆u¯u
R (Z′) =
g
2
√
3cW
p
f(β) 4
√
3βs2
W = −2∆d ¯d
R (Z′) ,
(2.11d)
∆d ¯d
V (Z′) =
g
2
√
3cW
p
f(β)
−1 + (1 −β
√
3)s2
W
,
(2.11e)
∆d ¯d
A (Z′) =
g
2
√
3cW
p
f(β)
h
1 −(1 +
√
3β)s2
W
i
,
(2.11f)
∆u¯u
V (Z′) =
g
2
√
3cW
p
f(β)
−1 + (1 + 5
√
3β)s2
W
,
(2.11g)
∆u¯u
A (Z′) =
g
2
√
3cW
p
f(β)
h
1 −(1 −
√
3β)s2
W
i
. (2.11h) (2.11h) The diagonal couplings are valid for the first two generations of quarks neglecting the very
small non-diagonal contributions in the matrices VL and UL. For the third generation there
is an additional term which can be found in [2]. For leptons we have For leptons we have ∆ν¯ν
L (Z′) =
g
2
√
3cW
p
f(β)
h
1 −(1 +
√
3β)s2
W
i
,
(2.12a)
∆µ¯µ
L (Z′) = ∆ν¯ν
L (Z′) ,
(2.12b) (2.12a) (2.12b) Figure 1. ∆ν¯ν
L (Z′) (red), ∆µ¯µ
V (Z′) (blue) and ∆µ¯µ
A (Z′) (green) as functions of β for s2
W = 0.249
and g = 0.633. This plot applies to β ̸=
√
3. JHEP02(2014)112 Figure 1. ∆ν¯ν
L (Z′) (red), ∆µ¯µ
V (Z′) (blue) and ∆µ¯µ
A (Z′) (green) as functions of β for s2
W = 0.249
and g = 0.633. This plot applies to β ̸=
√
3. 2.2
The couplings ∆µ¯µ
R (Z′) = −g β s2
W
cW
p
f(β)
(2.12c)
∆µ¯µ
V (Z′) =
g
2
√
3cW
p
f(β)
h
1 −(1 + 3
√
3β)s2
W
i
,
(2.12d)
∆µ¯µ
A (Z′) =
g
2
√
3cW
p
f(β)
h
−1 + (1 −
√
3β)s2
W
i
(2.12e) where we have defined ∆µ¯µ
V (Z′) = ∆µ¯µ
R (Z′) + ∆µ¯µ
L (Z′),
∆µ¯µ
A (Z′) = ∆µ¯µ
R (Z′) −∆µ¯µ
L (Z′). (2.13) (2.13) These definitions also apply to other leptons and quarks. ¯
¯ These definitions also apply to other leptons and quarks. se definitions also apply to other leptons and quarks. ¯
¯ In figure 1 we show ∆ν¯ν
L (Z′), ∆µ¯µ
V (Z′) and ∆µ¯µ
A (Z′) as functions of β for s2
W = 0.249
and g = 0.633 corresponding to MZ′ = 3 TeV. We observe the following features: • ∆ν¯ν
L (Z′) and ∆µ¯µ
A (Z′) have definitive signs in the full range of β: positive and negative,
respectively. • ∆µ¯µ
V (Z′) can have both signs and for fixed |β| its magnitude is larger for β < 0. In fact
the models with negative β are then favoured by the Bd →K∗µ+µ−anomalies. As
noticed in [14] in this case in the limit of CMFV one automatically obtains CNP
9
< 0
as required by experiment. If there are new sources of flavour violation represented
by the matrix VL then the region (oasis) in the space of new parameters has to be
chosen for which in the case of negative β one still has Re(CNP
9 ) < 0. This will in
turn have consequences for other processes as we will see below. 2.3
Various 331 models It is instructive to list the values of the resulting couplings for the models with n = 1, 2, 3
in (2.5). We do this for flavour diagonal couplings in table 1 for s2
W = 0.249 and g = 0.633
valid at MZ′ = 3 TeV except for n = 3, where we use MZ′ = 2 TeV in order not to be
too close to the Landau singularity. In appendix A we give explicit formulae for these
couplings in terms of sin2 θW as well as expressions for flavour violating couplings. Here
and in appendix A we give also Z-couplings. – 8 – β in Z′ couplings
Z couplings
1/
√
3
−1/
√
3
2/
√
3
−2/
√
3
√
3
−
√
3
∆u¯u
L
-0.172
-0.215
-0.191
-0.299
-0.849
-1.672
0.257
∆u¯u
R
0.086
-0.086
0.216
-0.216
1.645
-1.645
-0.115
∆u¯u
V
-0.087
-0.301
0.026
-0.515
0.796
-3.316
0.143
∆u¯u
A
0.258
0.130
0.407
0.082
2.494
0.027
-0.372
∆d ¯d
L
-0.172
-0.215
-0.191
-0.299
-0.849
-1.672
-0.315
∆d ¯d
R
-0.043
0.043
-0.108
0.108
-0.822
0.822
0.057
∆d ¯d
V
-0.215
-0.172
-0.299
-0.191
-1.672
-0.849
-0.257
∆d ¯d
A
0.130
0.258
0.082
0.407
0.027
2.494
0.372
∆µ¯µ
L
0.130
0.258
0.082
0.407
0.027
2.494
-0.199
∆µ¯µ
R
-0.128
0.128
-0.324
0.324
0.054
2.467
0.172
∆µ¯µ
V
0.001
0.386
-0.242
0.731
0.080
4.961
-0.028
∆µ¯µ
A
-0.258
-0.130
-0.407
-0.082
0.027
-0.027
0.372
∆ν¯ν
L
0.130
0.258
0.082
0.407
0.027
2.494
0.372
Table 1. Diagonal Z′ couplings to fermions for different β and SM Z couplings to fermions (last
column). We have used sin2 θW = 0.249 for β = ±1/
√
3 and β = ±2/
√
3, sin2 θW = 0.246 for
β = ±
√
3 and sin2 θW = 0.231 for Z-couplings. JHEP02(2014)112 Table 1. Diagonal Z′ couplings to fermions for different β and SM Z couplings to fermions (last
column). We have used sin2 θW = 0.249 for β = ±1/
√
3 and β = ±2/
√
3, sin2 θW = 0.246 for
β = ±
√
3 and sin2 θW = 0.231 for Z-couplings. 3.1
New physics contributions We collect here for completeness the corrections to SM one-loop functions and relevant
Wilson coefficients as functions of the couplings listed in the previous section. In the case of ∆F = 2 transitions governed by the function S we have We collect here for completeness the corrections to SM one-loop functions and relevant
Wilson coefficients as functions of the couplings listed in the previous section. p
g
p
In the case of ∆F = 2 transitions governed by the function S we have ∆S(Bq) =
"
∆bq
L (Z′)
λ(q)
t
#2
4˜r
M2
Z′g2
SM
,
∆S(K) =
"
∆sd
L (Z′)
λ(K)
t
#2
4˜r
M2
Z′g2
SM
(3.1) (3.1) where g2
SM = 4GF
√
2
α
2π sin2 θW
,
λ(K)
i
= V ∗
isVid,
λ(q)
t
= V ∗
tbVtq
(3.2) (3.2) and ˜r is a QCD factor calculated in [2]. One finds ˜r = 0.965, ˜r = 0.953 and ˜r = 0.925 for
MZ′ = 2, 3, 10 TeV, respectively. It should be remarked that g2
SM and sin2 θW appearing
outside the Z′ couplings, like in (3.7) and (3.8) below, should be evaluated at MZ with
input values given in table 3 as they are just related to the overall normalization of Wilson
coefficients and rescale relative to SM contributions. For decays Bq →µ+µ−with q = d, s governed by the function Y one has ∆Y (Bq) =
"
∆µ¯µ
A (Z′)
M2
Z′g2
SM
#
∆qb
L (Z′)
V ∗
tqVtb
(3.3) (3.3) – 9 – and for KL →µ+µ− and for KL →µ+µ− ∆Y (K) =
"
∆µ¯µ
A (Z′)
M2
Z′g2
SM
#
∆sd
L (Z′)
V ∗
tsVtd
. (3.4) (3.4) Similarly for b →qν¯ν transitions governed by the function X one finds ∆X(Bq) =
∆νν
L (Z′)
g2
SMM2
Z′
∆qb
L (Z′)
V ∗
tqVtb
(3.5) (3.5) and for K+ →π+ν¯ν and KL →π0ν¯ν
∆X(K) =
∆ν¯ν
L (Z′)
g2
SMM2
Z′
∆sd
L (Z′)
V ∗
tsVtd
. (3.6) and for K+ →π+ν¯ν and KL →π0ν¯ν and for K+ →π+ν¯ν and KL →π0ν¯ν ∆X(K) =
∆ν¯ν
L (Z′)
g2
SMM2
Z′
∆sd
L (Z′)
V ∗
tsVtd
. 3.1
New physics contributions (3.6) JHEP02(2014)112 (3.6) The corrections from NP to the Wilson coefficients C9 and C10 relevant for b →sµ+µ−
transitions and used in the recent literature are given as follows3 sin2 θW CNP
9
= −
1
g2
SMM2
Z′
∆sb
L (Z′)∆µ¯µ
V (Z′)
V ∗
tsVtb
,
(3.7)
sin2 θW CNP
10 = −
1
g2
SMM2
Z′
∆sb
L (Z′)∆µ¯µ
A (Z′)
V ∗
tsVtb
. (3.8) (3.7) (3.8) 3.2
Correlations 3The coefficients CV and CA in [2] are obtained by multiplying C9 and C10 by sin θ2
W , respectively. 3.2
Correlations – 10 – β
1/
√
3
−1/
√
3
2/
√
3
−2/
√
3
√
3
−
√
3
R1
−0.004
−2.98
0.59
−8.87
3.0
−185.5
R2
−1.99
−0.50
−4.94
−0.20
1.0
−0.01
R3
0.61
1.22
0.39
1.93
0.13
11.8
R4
0.67
0.67
0.42
0.42
0.016
0.016
R5
0.50
1.00
0.25
1.25
0.016
1.49
R6
−1.00
−0.50
−1.25
−0.25
0.016
−0.016 Table 2. Values of the ratios Ri for different β setting sin2 θW = 0.249 except for β = ±
√
3 where
we use s2
W = 0.246. Table 2. Values of the ratios Ri for different β setting sin2 θW = 0.249 except for β = ±
√
3 where
we use s2
W = 0.246. JHEP02(2014)112 Two important points should be noticed here. These two ratios have to be equal to each
other. Moreover they are the same in the two oases resulting from ∆F = 2 constraint. Two important points should be noticed here. These two ratios have to be equal to each
other. Moreover they are the same in the two oases resulting from ∆F = 2 constraint. Next the ratios R2 = ∆Y (Bq)
∆X(Bq) = ∆Y (K)
∆X(K) = ∆µ¯µ
A (Z′)
∆ν¯ν
L (Z′)
(3.11) (3.11) express the relative importance of Z′ contributions within a given meson system to decays
with muons and neutrinos in the final state. While investigating the numbers for R2 in
table 2 we should recall that in the SM Y ≈1.0 while X ≈1.5 which means that it is
easier to make an impact on decays to muons. While from this ratio we cannot conclude
whether a given branching ratio is enhanced or suppressed as the quark couplings cancel
in this ratio, the message is clear: • For β > 0 NP effects in decays to muons governed by axial-vector couplings are much
larger than in decays to neutrinos, whereas the opposite is true for β < 0. Therefore
in the latter case which is chosen by the Bd →K∗µ+µ−anomaly we can expect also
measurable effects in decays to neutrinos. • Very importantly in all models, except β =
√
3, considered NP effects in Bs →µ+µ−
are anti-correlated with the ones in b →sν¯ν transitions. • Very importantly in all models, except β =
√
3, considered NP effects in Bs →µ+µ−
are anti-correlated with the ones in b →sν¯ν transitions. 3.2
Correlations 3.2
Correlations These formulae imply certain relations that are useful for the subsequent sections. First of
all we have the ratio These formulae imply certain relations that are useful for the subsequent sections. First of
all we have the ratio R1 = CNP
9
CNP
10
= Re(CNP
9 )
Re(CNP
10 ) = Im(CNP
9 )
Im(CNP
10 ) = ∆µ¯µ
V (Z′)
∆µ¯µ
A (Z′),
(3.9) (3.9) which involves only leptonic couplings and depends only on β. This ratio is given in table 2
for different values of β and s2
W = 0.249 except for β = ±
√
3 where we use s2
W = 0.246. We observe that for β < 0 these two coefficients are predicted to have opposite signs
independently of the Z′ couplings to quarks and as CSM
10 and CSM
9
have also opposite signs
(see (4.13)). Re(CNP
9 ) and NP contributions to B(Bs →µ+µ−) are correlated with each
other. This means that Re(CNP
9 ) < 0 required by Bd →K∗µ+µ−data implies for β < 0
uniquely suppression of B(Bs →µ+µ−) relative to its SM value which is favoured by the
data. On the other hand for β = 1/
√
3 the ratio in (3.9) is tiny and for β > 1/
√
3 it is
positive implying that NP contributions to B(Bs →µ+µ−) and Re(CNP
9 ) are anti-correlated
with each other. Consequently in this case Re(CNP
9 ) < 0 required by Bd →K∗µ+µ−
anomaly implies the enhancement of B(Bs →µ+µ−) which is presently not supported by
the data but this could change in the future. We will see all this explicitly in section 6. A complementary relation valid in any l.h.s. model that this time does not depend on
the lepton couplings is [13] Im(CNP
9 )
Re(CNP
9 ) = Im(CNP
10 )
Re(CNP
10 ) = tan(δ2 −βs). (3.10) (3.10) 3The coefficients CV and CA in [2] are obtained by multiplying C9 and C10 by sin θ2
W , respectively. 3.2
Correlations • Very importantly in all models, except β =
√
3, considered NP effects in Bs →µ+µ−
are anti-correlated with the ones in b →sν¯ν transitions. Important are also the relations between the Z′ contributions to ∆F = 1 (X and Y
functions) and ∆F = 2 (S functions) observables. We have ∆X(Bq)
p
∆S(Bq)∗= aq
∆ν¯ν
L (Z′)
2
√
˜rgSMMZ′ = −aq
0.085
√
˜r
3 TeV
MZ′
R3
(3.12) (3.12) where where R3 =
1 −(1 +
√
3β)s2
W
q
1 −(1 + β2)s2
W
,
(3.13) (3.13) ad = 1 and as = −1. We also have
∆X(K)
p
∆S(K)
=
∆X(Bs)
p
∆S(Bs)∗. (3.14) ad = 1 and as = −1. We also have ∆X(K)
p
∆S(K)
=
∆X(Bs)
p
∆S(Bs)∗. (3.14) (3.14) – 11 – As presently the constraints on 331 models are dominated by ∆F = 2 transitions we
observe that for a given allowed size of ∆S(Bq), NP effects in the functions in question
are proportional to 1/MZ′ and this dependence is transfered to branching ratios in view
of the fact that the dominant NP contributions are present there as interference between
SM and NP contributions. That these effects are only suppressed like 1/MZ′ and not like
1/M 2
Z′ is the consequence of the increase with MZ′ of the allowed values of the couplings
∆ij
L(Z′) extracted from ∆F = 2 observables, the point already stressed in [2]. In summary,
denoting by ∆ONP(M(i)
Z′ ) NP contributions to a given ∆F = 1 observable in Bs and Bd
decays at two ((i = 1, 2) different values M(i)
Z′ we have a scaling law JHEP02(2014)112 ∆ONP(M(1)
Z′ ) = M(2)
Z′
M(1)
Z′
∆ONP(M(2)
Z′ ). (3.15) (3.15) independently of β and CBq. However the size of NP effect will depend on these two
parameters as seen already in the case of β in table 2 and we will see this more explicitly
in section 6. While this scaling law would apply in the case of the absence of correlations between
Bq and K systems also to K decays, in the 331 models the situation is different as we will
now demonstrate. 3.2
Correlations Indeed in these models there is a correlation between the Z′ effects in
∆F = 2 master functions in different meson systems ∆S(K)
∆S(Bd)∆S(Bs)∗= M2
Z′g2
SM
4˜r
∆sd
L (Z′)
∆bd
L (Z′)∆bs∗
L (Z′)
2
= 3.68
˜r
MZ′
3 TeV
2
R4
(3.16) (3.16) where R4 = 1 −(1 + β2)s2
W . (3.17) (3.17) Here and in following equations we set |Vtb| = 1 and ˜c13 = ˜c23 = 1 if necessary. As the
present data and lattice results imply |∆S(Bq)| < 0.25 and R4 < 0.7 in all models, NP
effects in εK are typically below 10%, which is welcome as with input parameters in table 3
εK within the SM is in good agreement with the data. Combining then relations (3.11), (3.12), (3.14) and (3.16) we find ∆X(K) = 0.16
˜r R5
p
∆S(Bd)∆S(Bs)∗,
R5 = R3
p
R4
(3.18)
∆Y (K) = 0.16
˜r R6
p
∆S(Bd)∆S(Bs)∗,
R6 = R2R3
p
R4
(3.19) (3.18) (3.19) with the values of R5 and R6 given in table 2. We observe that ∆X(K) and ∆Y (K) do not
depend on MZ′ when the parameters in VL are constrained through B0
s,d −¯B0
s,d mixings. This fact has already been noticed in [2] but these explicit relations are new. with the values of R5 and R6 given in table 2. We observe that ∆X(K) and ∆Y (K) do not
depend on MZ′ when the parameters in VL are constrained through B0
s,d −¯B0
s,d mixings. This fact has already been noticed in [2] but these explicit relations are new. For the models considered in detail by us R5 < 1.3 and as |∆S(Bq)| < 0.25 we find
that |∆X(K)| ≤0.05 which implies a correction to K+ →π+ν¯ν and KL →π0ν¯ν of at
most 10% at the level of the branching ratios. 3.2
Correlations – 12 – As far as the Wilson coefficients CNP
9
and CNP
10 are concerned we have two important
relations As far as the Wilson coefficients CNP
9
and CNP
10 are concerned we have two important
relations (∆S(Bq))∗= 4˜rg2
SMM2
Z′ sin4 θW
"
CNP
9
∆µ¯µ
V (Z′)
#2
= 0.327
"
CNP
9
∆µ¯µ
V (Z′)
#2 MZ′
3 TeV
2
,
(3.20)
(∆S(Bq))∗= 4˜rg2
SMM2
Z′ sin4 θW
"
CNP
10
∆µ¯µ
A (Z′)
#2
= 0.327
"
CNP
10
∆µ¯µ
A (Z′)
#2 MZ′
3 TeV
2
,
(3.21) (3.20) (3.21) which we have written in a form suitable for the analysis in section 6. We recall that
SSM = S0(xt) = 2.31. Both relations are valid for Bs and Bd systems as indicated on the
l.h.s. of these equations and the Wilson coefficients on the r.h.s. should be appropriately
adjusted to the case considered. JHEP02(2014)112 The virtue of these relation is their independence of the new parameters in (2.9) so
that for a given β the size of CNP
9
and CNP
10
allowed by the ∆F = 2 constraints can be
found. In particular in the case of a real CNP
9
and CNP
10 , corresponding to VL = VCKM,
∆S(Bq) and ∆Mq will be enhanced which is only allowed if the SM values of ∆Mq will
turn out to be below the data. If this will not be the case the only solution is to misalign
VL and VCKM which results in complex CNP
9
and CNP
10 and consequently novel CP-violating
effects. Crucial observables 4
Crucial observables 4.1
∆F = 2 observables 4.1
∆F = 2 observables 4.1
∆F = 2 observables The B0
s −¯B0
s observables are fully described in 331 models by the function The B0
s −¯B0
s observables are fully described in 331 models by the function S(Bs) = S0(xt) + ∆S(Bs) ≡|S(Bs)|e−i2ϕBs,
(4.1) (4.1) where S0(xt) is the real one-loop SM box function and the additional generally complex
term has been given in (3.1). The two observables of interest, ∆Ms and Sψφ are then given by ∆Ms = G2
F
6π2 M2
W mBs|V ∗
tbVts|2F 2
Bs ˆBBsηB|S(Bs)|
(4.2) (4.2) and and Sψφ = sin(2|βs| −2ϕBs) ,
Vts = −|Vts|e−iβs. (4.3) (4.3) th βs ≃−1◦. Here and in the rest of the paper we use the standard phase conventions
r the elements of the CKM matrix [38]. In the case of B0
d system the corresponding formulae are obtained from (4.1) and (4.2)
by replacing s by d. Moreover (4.3) is replaced by In the case of B0
d system the corresponding formulae are obtained from (4.1) and (4.2)
by replacing s by d. Moreover (4.3) is replaced by SψKS = sin(2β −2ϕBd) ,
Vtd = |Vtd|e−iβ. (4.4) (4.4) With the input for |Vub| and |Vcb| in table 3 and γ = 68◦there is a good agreement of the
SM with data on SψKS and εK. With the input for |Vub| and |Vcb| in table 3 and γ = 68◦there is a good agreement of the
SM with data on SψKS and εK. SM with data on SψKS and εK. – 13 – – 13 – In the SM one has4 In the SM one has4 (∆Ms)SM = 18.8/ps ·
q
ˆBBsFBs
266 MeV
2 S0(xt)
2.31
|Vts|
0.0416
2 h ηB
0.55
i
,
(4.5)
(∆Md)SM = 0.54/ps ·
q
ˆBBdFBd
218 MeV
2 S0(xt)
2.31
|Vtd|
8.8 · 10−3
2 h ηB
0.55
i
. (4.6) (4.5) (4.6) For the central values of the parameters in table 3 there is a good agreement with the very
accurate data [40]: JHEP02(2014)112 ∆Ms = 17.69(8) ps−1,
∆Md = 0.510(4) ps−1 ,
(4.7) (4.7) even if both central values are by 5−6% above the data. 4.1
∆F = 2 observables With the most recent values from
the Twisted Mass Collaboration [41] q
ˆBBsFBs = 262(10) MeV,
q
ˆBBdFBd = 216(10) MeV,
(4.8) (4.8) that are not yet included in the FLAG average, the central value of ∆Ms would go down
to 18.2/ps. that are not yet included in the FLAG average, the central value of ∆Ms would go down
to 18.2/ps. erning Sψφ and SψKS we have Concerning Sψφ and SψKS we have Concerning Sψφ and SψKS we have Sψφ = −
0.04+0.10
−0.13
,
SψKS = 0.679(20)
(4.9) (4.9) with the second value known already for some time [40] and the first one being the most
recent average from HFAG [40] close to the earlier result from the LHCb [42]. The first
value is consistent with the SM expectation of 0.04. This is also the case of SψKS for the
values of |Vub| and |Vcb| used by us. with the second value known already for some time [40] and the first one being the most
recent average from HFAG [40] close to the earlier result from the LHCb [42]. The first
value is consistent with the SM expectation of 0.04. This is also the case of SψKS for the
values of |Vub| and |Vcb| used by us. 4.2
b →sµ+µ−observables 4.2
b →sµ+µ−observables The two Wilson coefficients that receive NP contributions in 331 models are C9 and C10. We decompose them into the SM and NP contributions:5 C9 = CSM
9
+ CNP
9
,
C10 = CSM
10 + CNP
10 ,
(4.10) (4.10) where NP contributions have been given in (3.7) and (3.8) and the SM contributions are
given as follows sin2 θW CSM
9
= sin2 θW P NDR
0
+ [ηeffY0(xt) −4 sin2 θW Z0(xt)],
(4.11)
sin2 θW CSM
10 = −ηeffY0(xt)
(4.12) (4.11) (4.12) with all the entries given in [13, 19] except for ηeffwhich is new and given below. We have
then with all the entries given in [13, 19] except for ηeffwhich is new and given below. We have
then CSM
9
≈4.1,
CSM
10 ≈−4.1 . (4.13) (4.13) 4The central value of |Vts| corresponds roughly to the central |Vcb| = 0.0424 obtained from tree-level
clusive decays [39]. y [
]
5These coefficients are defined as in [19] and the same definitions are used in [10, 11]. [
]
5These coefficients are defined as in [19] and the same definitions are used in [10, 11]. – 14 – In the case of Bs →µ+µ−decay one has [43–45] B(Bs →µ+µ−)
B(Bs →µ+µ−)SM
=
1 + Aµµ
∆Γ ys
1 + ys
|P|2,
P = C10
CSM
10
≡|P|eiϕP ,
(4.14) (4.14) where where B(Bs →µ+µ−)SM =
1
1 −ys
B(Bs →µ+µ−)SM ,
(4.15)
B(B
+
−)
G2
F
α
2
F 2
2
s
1
4m2µ |V ∗V |2
2 Y (
)2 B(Bs →µ+µ−)SM =
1
1 −ys
B(Bs →µ+µ−)SM ,
(4.15) (4.15) ys
B(Bs →µ+µ−)SM = τBs
G2
F
π
α
4π sin2 θW
2
F 2
Bsm2
µmBs
s
1 −4m2µ
m2
Bs
|V ∗
tbVts|2 η2
effY0(xt)2 , JHEP02(2014)112 (4.16) Aµµ
∆Γ = cos(2ϕP −2ϕBs),
ys ≡τBs
∆Γs
2
= 0.062 ± 0.009
(4.17) (4.17) with the later value being the latest world average [40]. The bar indicates that ∆Γs effects
have been taken into account. In the SM and CMFV Aµµ
∆Γ = 1 but in the 331 models it is
slightly smaller and we take this effect into account. Generally as shown in [45] Aµµ
∆Γ can
serve to test NP models as it can be determined in time-dependent measurements [43, 44]. 4.2
b →sµ+µ−observables Of interest is also the CP asymmetry Ss
µµ = sin(2ϕP −2ϕBs),
(4.18) (4.18) which has been studied in detail in [19, 45] in the context of Z′ models. In the case of
Bd →µ+µ−decay the formulae given above apply with s replaced by d and yd ≈0. Explicit formulae for Bd →µ+µ−can be found in [19]. Concerning the the status of the branching ratios for Bs,d →µ+µ−decays we have
B(Bs →µ+µ−)SM = (3.65 ± 0.23)×10−9,
B(Bs →µ+µ−) = (2.9 ± 0.7)×10−9,
(4.19)
B(Bd →µ+µ−)SM = (1.06 ± 0.09)×10−10,
B(Bd →µ+µ−) =
3.6+1.6
−1.4
×10−10. (4.20) Concerning the the status of the branching ratios for Bs,d →µ+µ B(Bs →µ+µ−)SM = (3.65 ± 0.23)×10−9,
B(Bs →µ+µ−) = (2.9 ± 0.7)×10−9,
(4.19)
B(Bd →µ+µ−)SM = (1.06 ± 0.09)×10−10,
B(Bd →µ+µ−) =
3.6+1.6
−1.4
×10−10. (4.20) The SM values are based on [46] in which NLO corrections of electroweak origin [47]
and QCD corrections up to NNLO [48] have been taken into account. These values are
rather close to the ones presented previously by us [45, 49] but the inclusion of these
new higher order corrections that were missing until now reduced significantly various
scale uncertainties so that non-parametric uncertainties in both branching ratios are below
2%. The experimental data are the most recent averages of the results from LHCb and
CMS [4–6]. The calculations performed in [47, 48] are very involved and in analogy to the QCD
factors, like ηB and η1−3 in ∆F = 2 processes, we find it useful to include all QCD and
electroweak corrections into ηeffintroduced in (4.12) that without these corrections would
be equal to unity. Inspecting the analytic formulae in [46] one finds then ηeff= 0.9882 ± 0.0024 . (4.21) (4.21) ηeff= 0.9882 ± 0.0024 . The small departure of ηefffrom unity was already anticipated in [49, 50] but only
the calculations in [46–48] could put these expectations and conjectures on firm footing. – 15 – Indeed, in order to end up with such a simple result it was crucial to perform such involved
calculations as these small corrections are only valid for particular definitions of the top-
quark mass and of other electroweak parameters involved. In particular one has to use in
Y0(xt) the MS-renormalized top-quark mass mt(mt) with respect to QCD but on-shell with
respect to electroweak interactions. This means mt(mt) = 163.5 GeV as calculated in [46]. 4.2
b →sµ+µ−observables Moreover, in using (4.21) to calculate observables like branching ratios it is important to
have the same normalization of effective Hamiltonian as in the latter paper. There this
normalization is expressed in terms of GF and MW only. Needless to say one can also use
directly the formulae in [46]. In the present paper we follow the normalization of effective Hamiltonian in [51] which
uses GF , α(MZ) and sin2 θW and in order to be consistent with the calculation in [46] our
ηeff= 0.991 with mt(mt) unchanged. Interestingly also in the case of K+ →π+ν¯ν and
KL →π0ν¯ν the analog of ηeff, multiplying this time X0(xt), is found with the normaliza-
tions of effective Hamiltonian in [51] and definition of mt as given above to be within 1%
from unity [52]. JHEP02(2014)112 In the case of B →K∗µ+µ−we will concentrate our discussion on the Wilson coeffi-
cient CNP
9
which can be extracted from the angular observables, in particular ⟨FL⟩, ⟨S5⟩
and ⟨A8⟩, in which within the 331 models NP contributions enter exclusively through this
coefficient. On the other hand Im(CNP
10 ) governs the CP-asymmetry ⟨A7⟩. Useful approxi-
mate expressions for these angular observables at low q2 in terms of CNP
9
, CNP
10 and other
Wilson coefficients have been provided in [11]. Specified to 331 models they are given as
follows ⟨FL⟩≈0.77 + 0.05 Re CNP
9 ,
(4.22)
⟨S4⟩≈0.29,
(4.23)
⟨S5⟩≈−0.14 −0.09 Re CNP
9 . (4.24)
⟨A7⟩≈0.07 Im CNP
10 ,
(4.25)
⟨A8⟩≈0.04 Im CNP
9 ,
(4.26)
⟨A9⟩≈0. (4.27) ⟨FL⟩≈0.77 + 0.05 Re CNP
9 ,
(4.22)
⟨S4⟩≈0.29,
(4.23)
⟨S5⟩≈−0.14 −0.09 Re CNP
9 . (4.24)
⟨A7⟩≈0.07 Im CNP
10 ,
(4.25)
⟨A8⟩≈0.04 Im CNP
9 ,
(4.26)
⟨A9⟩≈0. (4.27) ⟨FL⟩≈0.77 + 0.05 Re CNP
9 ,
(4.22)
⟨S4⟩≈0.29,
(4.23)
⟨S5⟩≈−0.14 −0.09 Re CNP
9 . (4.24)
⟨A7⟩≈0.07 Im CNP
10 ,
(4.25)
⟨A8⟩≈0.04 Im CNP
9 ,
(4.26)
⟨A9⟩≈0. (4.27) (4.27) Note that NP contributions to ⟨S4⟩and ⟨A9⟩vanish in 331 models due to the absence
of right-handed currents in these models. Eliminating Re CNP
9
from these expressions in favour of ⟨S5⟩one finds [13] ⟨FL⟩= 0.69 −0.56⟨S5⟩,
(4.28) (4.28) which shows analytically the point made in [10, 11] that NP effects in FL and S5 are
anti-correlated as observed in the data. 4.2
b →sµ+µ−observables Values of the experimental and theoretical quantities used as input parameters. imaginary part for this coefficient. The details behind these two results that differ by a
factor of two is discussed in [11]. In fact inspecting figures 3 and 4 of the latter paper one
sees that if the constraints from AFB and B →Kµ+µ−were not taken into account CNP
9
≈ imaginary part for this coefficient. The details behind these two results that differ by a
factor of two is discussed in [11]. In fact inspecting figures 3 and 4 of the latter paper one
sees that if the constraints from AFB and B →Kµ+µ−were not taken into account CNP
9
≈
−1.4 alone could explain the anomalies in the observables FL and S5. But the inclusion of
these constraints reduces the size of this coefficient Yet values of CNP
9
≈−(1 2−1 0) seem 9
−1.4 alone could explain the anomalies in the observables FL and S5. But the inclusion of
these constraints reduces the size of this coefficient. Yet values of CNP
9
≈−(1.2−1.0) seem
to give reasonable agreement with all data and the slight reduction of departure of FL and
S5 from their SM values in the future data would allow to explain the two anomalies with
the help of CNP
9
only as suggested originally in [10]. −1.4 alone could explain the anomalies in the observables FL and S5. But the inclusion of
these constraints reduces the size of this coefficient. Yet values of CNP
9
≈−(1.2−1.0) seem
to give reasonable agreement with all data and the slight reduction of departure of FL and
S5 from their SM values in the future data would allow to explain the two anomalies with
the help of CNP
9
only as suggested originally in [10]. Similarly a very recent comprehensive Bayesian analysis of the authors of [53, 54] in [15]
finds that although SM works well, if one wants to interpret the data in extensions of the
SM then NP scenarios with dominant NP effect in C9 are favoured although the inclusion
of chirality-flipped operators in agreement with [11] would help to reproduce the data. This
is also confirmed in [13, 17]. 4.2
b →sµ+µ−observables which shows analytically the point made in [10, 11] that NP effects in FL and S5 are
anti-correlated as observed in the data. Indeed, the recent B →K∗µ+µ−anomalies imply the following ranges for CNP
9
[10, 11]
respectively respectively CNP
9
= −(1.6 ± 0.3),
CNP
9
= −(0.8 ± 0.3) . (4.29) (4.29) As CSM
9
≈4.1 at µb = 4.8 GeV, these are very significant suppressions of this coefficient. We note that C9 remains real as in the SM but the data do not yet preclude a significant As CSM
9
≈4.1 at µb = 4.8 GeV, these are very significant suppressions of this coefficient. We note that C9 remains real as in the SM but the data do not yet preclude a significant – 16 – GF = 1.16637(1) × 10−5 GeV−2
[55]
mBd = mB+ = 5279.2(2) MeV [38]
MW = 80.385(15) GeV
[55]
mBs = 5366.8(2) MeV
[38]
sin2 θW = 0.23116(13)
[55]
FBd = (190.5 ± 4.2) MeV
[56]
α(MZ) = 1/127.9
[55]
FBs = (227.7 ± 4.5) MeV
[56]
αs(MZ) = 0.1184(7)
[55]
FB+ = (185 ± 3) MeV
[57]
mu(2 GeV) = (2.1 ± 0.1) MeV
[58]
ˆBBd = 1.27(10), ˆBBs = 1.33(6) [56]
md(2 GeV) = (4.73 ± 0.12) MeV
[58]
ˆBBs/ ˆBBd = 1.01(2)
[41]
ms(2 GeV) = (93.4 ± 1.1) MeV
[58]
FBd
q
ˆBBd = 216(15) MeV
[56]
mc(mc) = (1.279 ± 0.013) GeV
[59]
FBs
q
ˆBBs = 266(18) MeV
[56]
mb(mb) = 4.19+0.18
−0.06 GeV
[55]
ξ = 1.268(63)
[56]
mt(mt) = 163.5(9) GeV
[38]
ηB = 0.55(1)
[60]
Mt = 173.1(9) GeV
[61]
∆Md = 0.510(4) ps−1
[40]
mK = 497.614(24) MeV
[55]
∆Ms = 17.69(8) ps−1
[40]
FK = 156.1(11) MeV
[58]
SψKS = 0.679(20)
[55]
ˆBK = 0.766(10)
[56]
Sψφ = −(0.04+0.10
−0.13)
[40]
κϵ = 0.94(2)
[62, 63]
∆Γs/Γs = 0.123(17)
[40]
ηcc = 1.87(76)
[64]
τBs = 1.516(11) ps
[40]
ηtt = 0.5765(65)
[60]
τBd = 1.519(7) ps
[40]
ηct = 0.496(47)
[65]
τB± = 1.641(8) ps
[40]
∆MK = 0.5292(9) × 10−2 ps−1
[55]
|Vus| = 0.2252(9)
[40]
|ϵK| = 2.228(11) × 10−3
[55]
|Vcb| = (42.4(9)) × 10−3
[39]
B(B+ →τ +ν) = (0.96 ± 0.26) × 10−4 [40]
|Vub| = (3.6 ± 0.3) × 10−3
[38]
Table 3. Values of the experimental and theoretical quantities used as input parameters. JHEP02(2014)112 Table 3. 5
Strategy for numerical analysis 5 In our numerical analysis we will follow our recent strategy applied to general l.h.s. models
in [13] with the following significant simplification in the case of 331 models. The leptonic
couplings of Z′ are fixed for a given β and this allows us to avoid a rather involved numerical
analysis that in [13] had as a goal finding the optimal values of these couplings. Even if β
is not fixed and varying it changes the leptonic couplings in question, the ∆µ¯µ
V , ∆µ¯µ
A and
∆ν¯ν
L couplings are correlated with each other and finding one day their optimal values in
331 models will also select the optimal value of β fixing the electric charges of new heavy
gauge bosons and fermions. Of course also quark couplings will play a prominent role in
this analysis, although even if they depend on β, their correlation with leptonic couplings
is washed out by the new parameters in (2.9). JHEP02(2014)112 Clearly NP contributions in any extension of the SM are constrained by ∆F = 2 pro-
cesses which presently are subject to theoretical and experimental uncertainties. However,
it is to be expected that in the flavour precision era ahead of us, which will include both
advances in experiment and theory, in particular lattice calculations, it will be possible to
decide with high precision whether ∆Ms and ∆Md within the SM agree or disagree with the
data. For instance already the need for enhancements or suppressions of these observables
would be an important information. Similar comments apply to Sψφ and SψKS as well as
to the branching ratios B(Bs,d →µ+µ−) and angular observables in Bd →K∗µ+µ−. In
particular correlations and anti-correlations between suppressions and enhancements al-
low to distinguish between various NP models as can be illustrated with the DNA charts
proposed in [1]. In order to monitor this progress in the context of the 331 models we will consider
similarly to [13] the following five bins for CBs and CBd in (1.6) CBs = 0.90 ± 0.01 (yellow),
0.96 ± 0.01 (green),
1.00 ± 0.01 (red),
CBs = 1.04 ± 0.01 (blue),
1.10 ± 0.01 (purple)
(5.1) (5.1) and similarly for CBd. 4.2
b →sµ+µ−observables However, as we remarked at the beginning of our paper, a
very recent analysis in [18] challenges the solution with significant right-handed currents
and we are looking forward to the consensus on this point in the future. References to
earlier papers on B →K∗µ+µ−by all these authors can be found in [10, 11, 54] and [1]. – 17 – 5
Strategy for numerical analysis This strategy avoids variations over non-perturbative parameters
like FBs
q
ˆBBs and can be executed here because in 331 models these ratios have a very
simple form CBs = |S(Bs)|
S0(xt) ,
CBd = |S(Bd)|
S0(xt)
(5.2) (5.2) and thanks to the presence of a single operator do not involve any non-perturbative un-
certainties. Of course in order to find out the experimental values of these ratios one has
to handle these uncertainties but this is precisely what we want to monitor in the coming
years. The most recent update from Utfit collaboration reads CBs = 1.08 ± 0.09,
CBd = 1.10 ± 0.17 . (5.3) (5.3) However, it should be stressed that such values are sensitive to the CKM input and in fact
as seen in (4.5) and (4.6) with the central values of CKM parameters in table 3 we would
rather expect the central values of CBs and CBd to be below unity. In order to have full – 18 – picture we will not use the values in (5.3) but rather investigate how the results depend on
the bins in (5.1). Concerning Sψφ and SψKS we will vary them in the ranges Concerning Sψφ and SψKS we will vary them in the ranges −0.14 ≤Sψφ ≤0.09,
0.639 ≤SψKS ≤0.719
(5.4) (5.4) corresponding to 1σ and 2σ ranges around the central experimental values for Sψφ and
SψKS, respectively. Finally, in order to be sure that the lower bounds from LEP-II and LHC on MZ′ are
satisfied we will present the results for β = ±1/
√
3 and β = ±2/
√
3 for MZ′ = 3 TeV. We will return to this issue in section 7. The scaling law in (3.15) allows to translate our
results for observables in Bs and Bd decays into results for other choices of MZ′. As we
have shown in (3.18) and (3.19) the MZ′ dependence cancels out in ∆X(K) and ∆Y (K). JHEP02(2014)112 6.1
CMFV case CBs, CBd, B(Bs →µ+µ−) and B(Bd →µ+µ−) in the CMFV limit as functions of MZ′
for the four chosen values of β with the colour coding given in (6.2). The gray regions show the
UTfit range from eq. (5.3) and the experimental range B(Bs →µ+µ−) = (2.9 ± 0.7) · 10−9. The
region for Bd →µ−µ−is outside the range of the plot. Figure 3. Correlations CBs versus CNP
9
and B(Bs →µ+µ−) versus CNP
9
in the CMFV limit for
different values of β, varying MZ′ in the range 2 −5 TeV. Colour coding in (6.2). The gray regions
show the UTfit range from eq. (5.3) and the experimental range B(Bs →µ+µ−) = (2.9±0.7)·10−9. Figure 2. CBs, CBd, B(Bs →µ+µ−) and B(Bd →µ+µ−) in the CMFV limit as functions of MZ′
for the four chosen values of β with the colour coding given in (6.2). The gray regions show the
UTfit range from eq. (5.3) and the experimental range B(Bs →µ+µ−) = (2.9 ± 0.7) · 10−9. The
region for Bd →µ−µ−is outside the range of the plot. JHEP02(2014)112 Figure 2. CBs, CBd, B(Bs →µ+µ−) and B(Bd →µ+µ−) in the CMFV limit as functions of MZ′
for the four chosen values of β with the colour coding given in (6.2). The gray regions show the
UTfit range from eq. (5.3) and the experimental range B(Bs →µ+µ−) = (2.9 ± 0.7) · 10−9. The
region for Bd →µ−µ−is outside the range of the plot. Figure 3. Correlations CBs versus CNP
9
and B(Bs →µ+µ−) versus CNP
9
in the CMFV limit for
different values of β, varying MZ′ in the range 2 −5 TeV. Colour coding in (6.2). The gray regions
show the UTfit range from eq. (5.3) and the experimental range B(Bs →µ+µ−) = (2.9±0.7)·10−9. Figure 3. Correlations CBs versus CNP
9
and B(Bs →µ+µ−) versus CNP
9
in the CMFV limit for
different values of β, varying MZ′ in the range 2 −5 TeV. Colour coding in (6.2). The gray regions
show the UTfit range from eq. (5.3) and the experimental range B(Bs →µ+µ−) = (2.9±0.7)·10−9. has to be increased well above MZ′ = 4 TeV at which Landau singularity is present,
that is beyond the range of validity of this model. The authors of [14] working with
s2
W = 0.231 could not see these large enhancements of CBs and CBd . 6.1
CMFV case It will be instructive to begin our numerical analysis with a particular case, considered
in [14], in which It will be instructive to begin our numerical analysis with a particular case, considered
in [14], in which (6.1) VL = VCKM. (6.1) In this case the CP-asymmetries Sψφ and SψKS equal the SM ones and the Wilson coeffi-
cients CNP
9
and CNP
10 remain real as in the SM. Moreover, having only two new variables to
our disposal, β and MZ′, we find very concrete predictions and a number of correlations. In presenting our results in this section we choose the following colour coding for β: In presenting our results in this section we choose the following colour cod β = −2
√
3 (red),
β = −1
√
3 (blue),
β =
1
√
3 (green),
β =
2
√
3 (yellow). (6.2) (6.2) The cases of β = ±
√
3 will be considered separately. In figure 2 we show CBs, CBd, B(Bs →µ+µ−) and B(Bd →µ+µ−) as functions of MZ′
for the four chosen values of β. The values below 1.5 TeV are presented only for illustration
as such low masses appear rather unrealistic on the basis of messages from the LHC. In
figure 3 we show the correlations CBs versus CNP
9
and B(Bs →µ+µ−) versus CNP
9
for
different values of β, varying MZ′ in the range 2 −5 TeV. We observe: • As already pointed out in [13] and known from CMFV scenario CBs and CBd are
bound to be above unity but this enhancement for the values of β in (6.2) is not as
severe as in the β = −
√
3 case considered in [14]. It should be noted that the sign of
β does not matter in these plots and the red and blue lines shown there are equivalent
to yellow and green lines, respectively. • The case of β = ±
√
3 is shown separately in figure 4 for fixed s2
W = 0.246, corre-
sponding to MZ′ = 2 TeV only as an illustration. Only values of MZ′ away from
singularity are shown and to bring CBs and CBd down to the acceptable values MZ′ – 19 – Figure 2. 6.1
CMFV case One can
also check that for β = −
√
3 and MZ′ < 3.5 TeV, in order to stay away from the – 20 – Figure 4. CBs and CBd as functions of MZ′ for β = ±
√
3 in the CMFV limit. The gray regions
show the UTfit range from eq. (5.3). JHEP02(2014)112 Figure 4. CBs and CBd as functions of MZ′ for β = ±
√
3 in the CMFV limit. The gray regions
show the UTfit range from eq. (5.3). singularity, |CNP
9
| is much larger than indicated by the data. Clearly, as suggested
in [66, 67] one could improve this situation by shifting the singularity above 4 TeV
through addition of other matter but then the model is a different one and one would
have to investigate what impact this additional matter has for observables considered
here. • As evident from our formulae for the ∆µ¯µ
A (Z′) couplings in the case of CMFV the
branching ratios B(Bs →µ+µ−) and B(Bd →µ+µ−) can only be suppressed with
respect to the SM. This is welcome in the case of B(Bs →µ+µ−) but not for
B(Bd →µ+µ−) where the present data would favour an enhancement. But even
in the case of B(Bs →µ+µ−) not all values of MZ′ are consistent with the 1σ
experimental range for B(Bs →µ+µ−). In fact for the case β = 2/
√
3 (yellow) values
MZ′ ≤2 TeV are outside this range. • As evident from our formulae for the ∆µ¯µ
A (Z′) couplings in the case of CMFV the
branching ratios B(Bs →µ+µ−) and B(Bd →µ+µ−) can only be suppressed with
respect to the SM. This is welcome in the case of B(Bs →µ+µ−) but not for
B(Bd →µ+µ−) where the present data would favour an enhancement. But even
in the case of B(Bs →µ+µ−) not all values of MZ′ are consistent with the 1σ
experimental range for B(Bs →µ+µ−). In fact for the case β = 2/
√
3 (yellow) values
MZ′ ≤2 TeV are outside this range. • As evident from our formulae for the ∆µ¯µ
A (Z′) couplings in the case of CMFV the
branching ratios B(Bs →µ+µ−) and B(Bd →µ+µ−) can only be suppressed with
respect to the SM. This is welcome in the case of B(Bs →µ+µ−) but not for
B(Bd →µ+µ−) where the present data would favour an enhancement. 6We do not show the SM point in the plots as it corresponds to the point where various curves cross
each other and in any case for coefficients that vanish in the SM it is obvious where the SM point is placed
in the plot. 6.2.1
Preliminaries JHEP02(2014)112 Assuming next that the matrix VL in (2.7) differs from the CKM matrix one has to find
first the ranges of parameters (oases) for which a given 331 model agrees with the ∆F = 2
data. The outcome of this search, for a given CBs (or CBd below), are two oases in the
space (˜s23, δ2) for Bs-system and in the space (˜s13, δ1) for the Bd-system. We will not show
these oases as they have structure similar to the ones shown in [2, 19]. We only recall
that the two oases differ by a 180◦shift in the phases δ1,2 which implies flips of signs of
NP contributions to various ∆F = 1 observables. As the ∆F = 2 observables do not
change under this shift of phases, the correlation of a given ∆F = 2 observable like Sψφ
and ∆F = 1 observable like B(Bs →µ+µ−) in one oasis is changed to the anti-correlation
in another oasis and vice versa. Measuring these two observables one can then determine
the favoured oasis and subsequently make predictions for other observables. We will next investigate what happens for the four different values of β considered
by us and how the correlations between observables depend on the value of CBs using
the colour coding in (5.1). We recall that all results for β = ±1/
√
3 and β = ±2/
√
3 are
obtained for MZ′ = 3 TeV in order to be sure that the LHC lower bound on MZ′ is satisfied,
although as we will discuss in the next section, for β = ±1/
√
3 also values MZ′ ≈2.5 TeV
are consistent with these bounds. The results for ∆F = 1 observables for MZ′ ̸= 3 TeV
can be obtained by using the scaling law in (3.15). Then NP effects in β = ±1/
√
3 could
still be by a factor 1.2 larger than shown in the plots below. Concerning the case of β = −
√
3, the problem with too a large CBs can now be
avoided by properly choosing VL but the other problems of this scenario, mentioned at the
beginning of our paper and listed in appendix C, cannot be avoided in this manner and we
will not discuss this case any more. 6.1
CMFV case But even
in the case of B(Bs →µ+µ−) not all values of MZ′ are consistent with the 1σ
experimental range for B(Bs →µ+µ−). In fact for the case β = 2/
√
3 (yellow) values
MZ′ ≤2 TeV are outside this range. • The requirement of CNP
9
< 0 excludes in the CMFV case β > 0. The case of
¯ • The requirement of CNP
9
< 0 excludes in the CMFV case β > 0. The case of
β = −2/
√
3 is clearly favoured as then the coupling ∆µ¯µ
V (Z′) is largest and values
CBs ≈1.2 would be sufficient to soften significantly the Bd →K∗µ+µ−anomaly. For
β = −2/
√
3 and MZ′ ≥2 TeV NP effects in B(Bs →µ+µ−) and B(Bd →µ+µ−) are
small, in the ballpark of 5 −10% of the SM values. To summarize, in this scenario for quark couplings the case β = −2/
√
3 is performing
best as due to large value of ∆µ¯µ
V (Z′) it allows to obtain CNP
9
≈−1.0 for CBs ≈1.2. Yet a
value CBs ≈1.2 could be problematic when the data improve. For β = −1/
√
3 which does
not introduce exotic charges the required values of CBs to get sufficiently negative CNP
9
are even larger and the positive values of β are excluded by the required sign of the latter
coefficient. Thus on the whole the idea of the authors of [14] to consider negative values of β was a
good one but their choice β = −
√
3 is excluded on the basis of the constraints on CBs and
CBd when the correct values of sin θ2
W at MZ′ are used. Moreover LEP-II data on leptonic
Z′ couplings exclude this case as we will see in the next section. – 21 – It should finally be noted that NP physics effects in figures 2 and 3 appear to be
significantly larger than found by us in [2]. One reason for this are different values of β
considered here but the primary reason is that the constraints from ∆Ms and ∆Md require
the matrix VL to be even more hierarchical than VCKM and VL = VCKM in 331 models
appears to be problematic as we have just seen. The case VL ̸= VCKM is much more
successful as we will demonstrate now. 6.2.2
Results In figure 5 we show B(Bs →µ+µ−) versus Re(CNP
9 ) for the four models considered. These
four plots exhibit the structure identified through the ratio R1 in (3.9) for which numerical
values have been given in table 2. In particular we observe the following features:6 • For a given CBs ̸= 1, one can always find an oasis in which Re(CNP
9 ) is negative
softening significantly the Bd →K∗µ+µ−anomalies. However while for β = −2/
√
3 – 22 – Figure 5. Correlation B(Bs →µ+µ−) versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting
MZ′ = 3 TeV and different values of CBs with their colour coding in (5.1). The gray regions show
the experimental range B(Bs →µ+µ−) = (2.9 ± 0.7) · 10−9. JHEP02(2014)112 Figure 5. Correlation B(Bs →µ+µ−) versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting
MZ′ = 3 TeV and different values of CBs with their colour coding in (5.1). The gray regions show
the experimental range B(Bs →µ+µ−) = (2.9 ± 0.7) · 10−9. and β = −1/
√
3 the values Re(CNP
9 ) = −0.8 and Re(CNP
9 ) = −0.4 can be reached
respectively, this is not possible for models with β > 0. • For β < 0 the branching ratio B(Bs →µ+µ−) remains SM-like although in accordance
with the relation (3.9) it is suppressed relative to its SM value for negative Re(CNP
9 ). For the largest values of CBs (purple and blue lines) this suppression can reach for
most negative values of Re(CNP
9 ) 4% and 7% for β = −2/
√
3 and β = −1/
√
3, re-
spectively. The slope of the strict correlation between these two observables depends
on β. This correlation is presently supported by the data for both observables even
if the effects in B(Bs →µ+µ−) are small. • Looking at these four plots simultaneously we note that going from negative to pos-
itive values of β the correlation line moves counter clock-wise with the center of
the clock placed at the SM value. 6.2.2
Results This of course means that with increasing beta
the correlation B(Bs →µ+µ−) versus Re(CNP
9 ) observed for β < 0 changes into
anti-correlation for β > 0, which is rather pronounced in the case of β = 2/
√
3. Consequently the suppression of B(Bs →µ+µ−) implies positive values of Re(CNP
9 )
which is not what we want to understand Bd →K∗µ+µ−data. We also note that
for β > 0 Re(CNP
9 ) remains small but the effects in B(Bs →µ+µ−) can be larger – 23 – Figure 6. Correlations Sψφ versus B(Bs →µ+µ−) for β = ±1/
√
3 and β = ±2/
√
3 setting
MZ′ = 3 TeV and different values of CBs with their colour coding in (5.1). The gray regions show
the experimental range for B(Bs →µ+µ−) and Sψφ. JHEP02(2014)112 Figure 6. Correlations Sψφ versus B(Bs →µ+µ−) for β = ±1/
√
3 and β = ±2/
√
3 setting
MZ′ = 3 TeV and different values of CBs with their colour coding in (5.1). The gray regions show
the experimental range for B(Bs →µ+µ−) and Sψφ. than for β < 0. These scenarios would be the favorite ones if the Bd →K∗µ+µ−
anomalies decreased or disappeared in the future while the experimental branching
ratio B(Bs →µ+µ−) turned out to be indeed by 20% suppressed below its SM value
as present central experimental and SM values seem to indicate. In this case the
model with β = 1/
√
3 would be the winner. This pattern of effects for negative and positive values of β is also seen in figures 6
and 7 where we show the correlations between Sψφ versus B(Bs →µ+µ−) and Sψφ versus
Re(CNP
9 ), respectively. In particular we find that for models with β < 0 for most negative
values of Re(CNP
9 ) and smallest values of B(Bs →µ+µ−) the negative values of Sψφ are
favoured. But as the values of Sψφ are rather sensitive for a given value of CBs to the value
of B(Bs →µ+µ−), away from the lower bound on this branching ratio also positive values
of Sψφ are allowed. This is in particular the case for largest values of CBs. Bearing this ambiguity in mind, we identify therefore for a given CBs a triple correla-
tion between Re(CNP
9 ), B(Bs →µ+µ−) and Sψφ that is an important test of this model. 6.2.2
Results Interestingly the requirement of a most negative Re(CNP
9 ) shifts automatically the other
two observables closer to the data. While the departure of Sψφ from its SM value is already a clear signal of new sources
of CP-violation in ∆F = 2 transitions, non-vanishing imaginary parts of C9 and C10 are – 24 – Figure 7. Correlations Sψφ versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV
and different values of CBs with their colour coding in (5.1). JHEP02(2014)112 Figure 7. Correlations Sψφ versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV
and different values of CBs with their colour coding in (5.1). signals of such new effects in ∆F = 1 transitions. In figures 8 and 9 we show the correlations
Im(CNP
9 ) versus Re(CNP
9 ) and Im(CNP
10 ) versus Re(CNP
10 ), respectively. The fact that the
pattern in both figures for a given β is the same, even if the size of NP effects differs, is
related to the relation (3.10). signals of such new effects in ∆F = 1 transitions. In figures 8 and 9 we show the correlations
Im(CNP
9 ) versus Re(CNP
9 ) and Im(CNP
10 ) versus Re(CNP
10 ), respectively. The fact that the
pattern in both figures for a given β is the same, even if the size of NP effects differs, is
related to the relation (3.10). We again observe that for β < 0 NP effects are mainly seen in Im(CNP
9 ) while for
β > 0 in Im(CNP
10 ). In particular for β = 1/
√
3 NP effects in C9 practically vanish which is
a good test of this model. Dependently on the values of CBs and |β|, the CP-asymmetry
⟨A8⟩could reach (2 −3)% and the asymmetry ⟨A7⟩even (3 −4)% for β < 0 and β > 0,
respectively. Finally in figures 10 and 11 we show the correlations Re(CNP
10 ) versus Re(CNP
9 ) and
Im(CNP
10 ) versus Im(CNP
9 ) for the four 331 models considered by us. These results follow
from (3.9). 6.2.2
Results New sources of CP-violation can also be tested in Bs →µ+µ−through the asymmetry
Sµµ defined in (4.18) and studied in detail in [19, 45] in the context of general Z′ models. In figure 12 we show the correlation of Ss
µµ versus B(Bs →µ+µ−) in 331 model considered. As expected the effects in the models with β > 0 are larger than for β < 0. Similar to the
case of Sψφ the required suppression of B(Bs →µ+µ−) favours negative values of Ss
µµ in
all models. As stressed in [11] the Wilson coefficient CNP
9
by itself has difficulty in removing com-
pletely the anomalies in Bd →K∗µ+µ−due to the constraint from Bd →Kµ+µ−. We – 25 – Figure 8. Correlations Im(CNP
9 ) versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ =
3 TeV and different values of CBs with their colour coding in (5.1). JHEP02(2014)112 Figure 8. Correlations Im(CNP
9 ) versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ =
3 TeV and different values of CBs with their colour coding in (5.1). have seen that even without this constraint the values of Re CNP
9
have to be larger than
−0.8 but this could turn out to be sufficient to reproduce the data when they improve. Still it is of interest to have a closer look at Bd →Kµ+µ−within the four 331 models
analysed by us. To this end the approximate formula for the branching ratio confined to large q2 region
by the authors of [11] is very useful. Lattice calculations of the relevant form factors are
making significant progress here [68, 69] and the importance of this decay will increase
in the future. Neglecting the interference between NP contributions the formula of [11]
reduces in 331 models to 107 × B(Bd →Kµ+µ−)[14.2,22] = 1.11 + 0.27 Re(CNP
9 )
1 −1
R1
,
(6.3) (6.3) where we have used (3.9) to express Re(CNP
10 ) in terms of Re(CNP
9 ). The error on the first
SM term is estimated to be 10% [68, 69]. This should be compared with the LHCb result 107 × B(Bd →Kµ+µ−)[14.2,22] = 1.04 ± 0.12
(LHCb). 6.2.2
Results (6.4) (6.4) Using (6.3) we show in figure 13 the correlation between B(Bd →Kµ+µ−)[14.2,22] and
Re(CNP
9 ) for the four 331 models in question. Using (6.3) we show in figure 13 the correlation between B(Bd →Kµ+µ−)[14.2,22] and
Re(CNP
9 ) for the four 331 models in question. We observe that the pattern of the correlations is similar to the ones in figure 5 which
originates in the fact that B(Bd →Kµ+µ−)[14.2,22] is strongly correlated with B(Bs → – 26 – Figure 9. Im(CNP
10 ) versus Re(CNP
10 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). JHEP02(2014)112 Figure 9. Im(CNP
10 ) versus Re(CNP
10 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). µ+µ−) within l.h.s. models as already shown in [13] for a general l.h.s. model. Moreover,
as R1 is fixed in a given model and its values have been collected in table 2 the straight
lines in figure 5 can be easily understood. µ+µ−) within l.h.s. models as already shown in [13] for a general l.h.s. model. Moreover,
as R1 is fixed in a given model and its values have been collected in table 2 the straight
lines in figure 5 can be easily understood. There are two messages from this exercise: • Our results for Re(CNP
9 ) are fully in accordance with the present data on B(Bd →
Kµ+µ−)[14.2,22]. • On the basis of figures 5 and 13 there is a triple correlation between B(Bd →
Kµ+µ−)[14.2,22], Re(CNP
9 ) and B(Bs →µ+µ−) which constitutes an important test
for the models in question. We indicate this correlation in figure 13 by showing when
the latter branching ratio is suppressed (black) or enhanced (yellow) with respect to
its SM value in accordance with the colour coding in DNA-charts of [1]. 6.3
Non-CMFV case (Bd-system) We have seen in the case of the MFV limit that B(Bd →µ+µ−) is predicted to be suppressed
relative to its SM value when Re(CNP
9 ) is negative. This moves the theory away from the
central value of the experimental branching ratio. However, in the non-MFV case we can
choose the particular oasis in the space (˜s13, δ1) in which B(Bd →µ+µ−) is enhanced. – 27 – Figure 10. Re(CNP
10 ) versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). JHEP02(2014)112 Figure 10. Re(CNP
10 ) versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). In the left upper panel of figure 14 we show B(Bd →µ+µ−) versus SψKS again for
β = −2/
√
3 and different bins of CBd. We observe that the values of B(Bd →µ+µ−) are
SM-like and as already expected from the values of ∆µ¯µ
A the central experimental value of
this branching ratio cannot be reproduced in this model. More interesting results are found for β > 0. In the right upper panel of figure 14
we show B(Bd →µ+µ−) versus SψKS for β = 2/
√
3. We observe that now enhancement
of B(Bd →µ+µ−) can reach 20% over its SM value but still far away from the central
experimental value. For β = −1/
√
3 and β = 1/
√
3 NP effects turn out to be larger and
smaller relative to β = ∓2/
√
3 respectively, as one could deduce from the values of the
axial-vector couplings. Next in figure 15 we show B(Bd →µ+µ−) versus B(Bs →µ+µ−) for the four models
considered with the colour coding for β given in (6.2). We also show the CMFV line. As
the uncertainty in the latter line should be reduced to a few percent in this decade, this
plot could turn out to be useful for testing and distinguishing the four 331 models. 6.4
Non-CMFV case for b →sν¯ν, K+ →π+ν¯ν and KL →π0ν¯ν 6.4
Non-CMFV case for b →sν¯ν, K+ →π+ν¯ν and KL →π0ν¯ν 6.4
Non-CMFV case for b →sν¯ν, K+ →π+ν¯ν and KL →π0ν¯ν
6.4.1
Preliminaries 6.4.1
Preliminaries Finally, we turn our discussion to decays with neutrinos in the final state. We recall that
for given β, CBd, CBs and the chosen oases in Bd and Bs systems the corresponding oasis – 28 – Figure 11. Im(CNP
10 ) versus Im(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). JHEP02(2014)112 Figure 11. Im(CNP
10 ) versus Im(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). including its size is fixed so that definite predictions for b →sν¯ν transition, K+ →π+ν¯ν
and KL →π0ν¯ν can be made. including its size is fixed so that definite predictions for b →sν¯ν transition, K+ →π+ν¯ν
and KL →π0ν¯ν can be made. The inspection of the correlations presented in section 4 teaches us about the following
facts: The inspection of the correlations presented in section 4 teaches us about the following
facts: • NP effects in εK are small but this is not a problem as with our nominal values of
|Vub|, |Vcb| and γ SM value of εK agrees well with the data. • For β > 0 NP effects in these decays are found to be small but are larger in the cases
with β < 0 where Z′ couplings to neutrinos are largest. • Similarly NP effects in K+ →π+ν¯ν and KL →π0ν¯ν are small as we have already
expected on the basis of the relation (3.18). • Similarly NP effects in K+ →π+ν¯ν and KL →π0ν¯ν are small as we have already
expected on the basis of the relation (3.18). • Similarly NP effects in K+ →π+ν¯ν and KL →π0ν¯ν are small as we have already
expected on the basis of the relation (3.18). 4.2
The b →sν¯ν transitions 6.4.2
The b →sν¯ν transitions In the absence of right-handed currents one finds [70] =
B(B →Kν¯ν)
B(B →Kν¯ν)SM
=
B(B →K∗ν¯ν)
B(B →K∗ν¯ν)SM
=
B(B →Xsν¯ν)
B(B →Xsν¯ν)SM
=
|XL(Bs)|2
|ηXX0(xt)|2 ,
(6.5) (6.5) with XL(Bs) = ηXX0(xt) + ∆X(Bs)
(6.6) (6.6) – 29 – Figure 12. Ss
µµ versus B(Bs →µ+µ−) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). The gray regions show the experimental
range for B(Bs →µ+µ−). JHEP02(2014)112 Figure 12. Ss
µµ versus B(Bs →µ+µ−) for β = ±1/
√
3 and β = ±2/
√
3 setting MZ′ = 3 TeV and
different values of CBs with their colour coding in (5.1). The gray regions show the experimental
range for B(Bs →µ+µ−). and ∆X(Bs) given in (3.5). The QCD factor ηX = 0.994 [71]. In this case the NLO
electroweak corrections are of the order of one per mil [52] when similarly to our discus-
sion of ηeffin the context of Bs,d →µ+µ−decays one uses the normalization of effective
Hamiltonian in [51] and the top quark mass is evaluated in the MS scheme for QCD and
on-shell with respect to electroweak interactions. Thus accidentally ηeffthat includes both
QCD and electroweak corrections turns out in this scheme to be practically the same for
K →πν¯ν and Bs,d →µ+µ−decays. The equality of these three ratios is an important test of any l.h.s. scenario. The
violation of them would imply the presence of right-handed couplings at work [70, 72, 73]. In the context of Z′ models this is clearly seen in figure 20 of [19]. The SU(2)L relation in (1.4) satisfied in any l.h.s. model, therefore also in the 331
models presented by us, implies a correlation between Rν¯ν, B(Bs →µ+µ−) and CNP
9
as
shown for a general l.h.s. model in figure 9 of [13]. In figure 16 we show one of these ratios versus B(Bs →µ+µ−) for the models consid-
ered. We observe that in all models considered we have an anti-correlation between these
two observables. But the predicted NP effects in all models are rather small. The same
conclusion has been reached for general l.h.s. models in [11, 13]. – 30 – Figure 13. 6.4.3
K+ →π+ν¯ν, KL →π0ν¯ν and KL →µ+µ−decays The formulae for these decays have been given in [19] and will not be repeated here. In
figure 17 we show the correlation between B(K+ →π+ν¯ν) and B(KL →π0ν¯ν) and the
one between B(K+ →π+ν¯ν) and B(KL →µ+µ−) for the four models considered. The
effects are rather small. What is interesting are the SM values in the middle of both plots
that are enhanced over the usual values quoted as a consequence of inclusive value of |Vcb|
used by us. 6.4.2
The b →sν¯ν transitions Correlation B(Bd →Kµ+µ−)[14.2,22] versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3
setting MZ′ = 3 TeV, B(Bs →µ+µ−) ≤B(Bs →µ+µ−)SM (black) and B(Bs →µ+µ−) ≥B(Bs →
µ+µ−)SM (yellow) . The gray regions show the experimental range for B(Bd →Kµ+µ−)[14.2,22]
in (6.4). JHEP02(2014)112 Figure 13. Correlation B(Bd →Kµ+µ−)[14.2,22] versus Re(CNP
9 ) for β = ±1/
√
3 and β = ±2/
√
3
setting MZ′ = 3 TeV, B(Bs →µ+µ−) ≤B(Bs →µ+µ−)SM (black) and B(Bs →µ+µ−) ≥B(Bs →
µ+µ−)SM (yellow) . The gray regions show the experimental range for B(Bd →Kµ+µ−)[14.2,22]
in (6.4). 6.4.3
K+ →π+ν¯ν, KL →π0ν¯ν and KL →µ+µ−decays 7.1
Low energy precision observables Low energy precision observables provide additional bounds on the parameters of the mod-
els considered, in particular on the allowed range of MZ′ as investigated recently in the
context of β = −
√
3 model in [14]. We want to add that in concrete models studied here the
signs of deviations from SM predictions for these observables are fixed providing additional
tests beyond the lower bounds on MZ′. In what follows we will present the predictions for – 31 – Figure 14. Correlation B(Bd →µ+µ−) versus SψKS for β = ±1/
√
3 and β = ±2/
√
3 setting
MZ′ = 3 TeV and different values of CBs with their colour coding in (5.1). Figure 15. Correlation B(Bd →µ+µ−) versus B(Bs →µ+µ−) for the four models considered in
the paper. The colour coding for β is given in (6.2). The straight line represents CMFV. Figure 14. Correlation B(Bd →µ+µ−) versus SψKS for β = ±1/
√
3 and β = ±2/
√
3 setting
MZ′ = 3 TeV and different values of CBs with their colour coding in (5.1). JHEP02(2014)112 Figure 14. Correlation B(Bd →µ+µ−) versus SψKS for β = ±1/
√
3 and β = ±2/
√
3 setting
MZ′ = 3 TeV and different values of CBs with their colour coding in (5.1). Figure 15. Correlation B(Bd →µ+µ−) versus B(Bs →µ+µ−) for the four models considered in
the paper. The colour coding for β is given in (6.2). The straight line represents CMFV. Figure 15. Correlation B(Bd →µ+µ−) versus B(Bs →µ+µ−) for the four models considered in
the paper. The colour coding for β is given in (6.2). The straight line represents CMFV. three such observables, considered also in [14], separately in each model from which the
lower bounds on MZ′ follow. We begin with the effect due to a Z′ gauge boson on the weak charge of a nucleus
consisting of Z protons and N neutrons calculated in [74]. In translating this result into
our notation one should note that the vector and axial-vector couplings fV,A defined in [74] – 32 – Figure 16. B(Bs →µ+µ−) versus the ratio in (6.5) for all four β = ± 2
√
3, ± 1
√
3. Figure 17. Correlations between rare K decays for different values of β using the colour coding
in (6.2). Figure 16. 7.1
Low energy precision observables B(Bs →µ+µ−) versus the ratio in (6.5) for all four β = ± 2
√
3, ± 1
√
3. JHEP02(2014)112 Figure 16. B(Bs →µ+µ−) versus the ratio in (6.5) for all four β = ± 2
√
3, ± 1
√
3. Figure 17. Correlations between rare K decays for different values of β using the colour coding
in (6.2). Figure 17. Correlations between rare K decays for different values of β using the colour coding
in (6.2). are not equal to our couplings ∆V,A(Z′) but are related through are not equal to our couplings ∆V,A(Z′) but are related through fV = ∆V (Z′)
2
,
fA = −∆A(Z′)
2
. (7.1) (7.1) – 33 – We find then (∆e¯e
A (Z′) = ∆µ¯µ
A (Z′))
∆QW (Z, N) =
1
√
2GF
∆e¯e
A (Z′)
M2
Z′
h
(2Z + N)∆u¯u
V (Z′) + (Z + 2N)∆d ¯d
V (Z′)
i
(7.2) then (∆e¯e
A (Z′) = ∆µ¯µ
A (Z′)) (
A (
)
A (
))
∆QW (Z, N) =
1
√
2GF
∆e¯e
A (Z′)
M2
Z′
h
(2Z + N)∆u¯u
V (Z′) + (Z + 2N)∆d ¯d
V (Z′)
i
(7.2) ∆QW (Z, N) =
1
√
2GF
∆e¯e
A (Z′)
M2
Z′
h
(2Z + N)∆u¯u
V (Z′) + (Z + 2N)∆d ¯d
V (Z′)
i
(7.2) (7.2) which has an additional overall factor of −1/4 relative to the corresponding expression
in [14] where fV,A = ∆V,A have been used.7 We have then ∆QW (Z, N) = (0.67) 10−2
3 TeV
MZ′
2
∆e¯e
A (Z′)
h
(2Z + N)∆u¯u
V (Z′) + (Z + 2N)∆d ¯d
V (Z′)
i
. (7.3) (7.3) JHEP02(2014)112 (
)
Similarly for the effective shift in the weak charge of electron that can be studied in
Møller scattering we find Similarly for the effective shift in the weak charge of electron that can be studied in
Møller scattering we find ∆Qe
W = (0.67) 10−2
3 TeV
MZ′
2
∆e¯e
A (Z′)∆e¯e
V (Z′). (7.4) (7.4) For the violation of the first row CKM unitarity expressed through ˜∆CKM ≡1 −
X
q=d,s,b
|Vuq|2
(7.5) (7.5) one has for MZ′ ≫MW [12–14, 75] ˜∆CKM =
3
4π2
M2
W
M2
Z′
ln M2
Z′
M2
W
∆µ¯µ
L (Z′)
h
∆µ¯µ
L (Z′) −∆d ¯d
L (Z′)
i
. 7.1
Low energy precision observables (7.6) (7.6) In table 4 we show predictions for these shifts in four models considered by us and in each
case the lower bound on MZ′ that follows from present experimental bounds. In the first
case we use, as in [14], Cesium nucleus with Z = 55 and N = 78. We observe that the 90%
CL experimental bounds [38, 76] |∆QCs
W | ≤0.6,
|∆Qe
W | ≤0.016,
| ˜∆CKM| ≤0.001
(7.7) (7.7) are well satisfied and the lower bounds on MZ′ are significantly below the values used by
us. We indicated by dashes lower bounds on MZ′ below 1 TeV. In order to obtain these
bounds we neglected running of sin2 θW from 3 TeV down to these bounds. Including it
would further weaken these bound but this effect is minor. 7The authors of [14] confirm our findings. 8We prefer not to use e+e−→e+e−due to other contributions like Babha scattering. 7.2
LEP-II constraints Recently the final analysis of LEP-II data by the LEP electroweak working group appeared
in [77] which allows us to check whether the values for MZ′ for the six 331 models considered
by us are consistent with these data. The data relevant for us correspond to the range of
center of mass energy 189 GeV ≤√s ≤207 GeV. In our numerical calculations we will set
√s = 200 GeV. – 34 – β
1/
√
3
−1/
√
3
2/
√
3
−2/
√
3
∆QCs
W
0.106
0.080
0.158
0.075
Min(MZ′)[ TeV]
1.26
1.10
1.54
1.06
103 × ∆Qe
W
−0.002
−0.334
0.656
−0.402
Min(MZ′)[ TeV]
−
−
−
−
104 × ˜∆CKM
0.154
0.482
0.088
1.13
Min(MZ′)[ TeV]
−
−
−
1.01 Table 4. Prediction for various observables for different β setting MZ′ = 3 TeV. Only lower bounds
on MZ′ above 1 TeV resulting from present constraints on these observables are shown. Table 4. Prediction for various observables for different β setting MZ′ = 3 TeV. Only lower bounds
on MZ′ above 1 TeV resulting from present constraints on these observables are shown. JHEP02(2014)112 The fundamental for this analysis is the formula (3.8) in this paper [78]8 Leff= 4π
Λ2
±
X
i,j=L,R
ηij¯eiγµei ¯fjγµfj,
(f ̸= e). (7.8) (7.8) In this formula ηij = ±1 or ηij = 0. The different signs of ηij allow to distinguish between
constructive (+) and destructive (−) interference between the SM and NP contribution. Λ± is the scale of the contact interaction which can be related to MZ′ after proper rescaling
of ηij. The lower bounds on Λ± presented in table 3.15 of [77] apply to certain choices of
ηij that are defined in table 3.14 of that paper. In this formula ηij = ±1 or ηij = 0. The different signs of ηij allow to distinguish between
constructive (+) and destructive (−) interference between the SM and NP contribution. Λ± is the scale of the contact interaction which can be related to MZ′ after proper rescaling
of ηij. The lower bounds on Λ± presented in table 3.15 of [77] apply to certain choices of
ηij that are defined in table 3.14 of that paper. 7.2
LEP-II constraints Indeed for the case e+e−→µ+µ−we obtain from (7.10) the bound and ∆l¯l
L(Z′) = ∆l¯l
R(Z′) , respectively, the combination of (7.10) and (3.20) allows to derive
upper bounds on |CNP
9
| that go beyond the 331 models and apply to l.h.s. scenario for Z′
generally. Indeed for the case e+e−→µ+µ−we obtain from (7.10) the bound MZ′
∆µ¯µ
V
≥a Λ−
√
4π ≡K
(7.11) (7.11) with a=1 for LL−and RR−and a = 1/2 for V V −. From table 3.15 in [77] we find then
K = 2.77 TeV (LL−),
K = 2.62 TeV (RR−),
K = 2.30 TeV (VV−). (7.12) with a=1 for LL−and RR−and a = 1/2 for V V −. From table 3.15 in [77] we find then
K = 2.77 TeV (LL−),
K = 2.62 TeV (RR−),
K = 2.30 TeV (VV−). (7.12) Therefore (3.20) can be rewritten as an upper bound on |CNP
9
| as follows: JHEP02(2014)112 |CNP
9
| ≤2.52 TeV
K
r
|∆S|
0.231. (7.13) (7.13) The last factor becomes unity for a 10% contribution from NP to ∆Ms and consequently
in this case the maximal by LEP-II allowed values for |CNP
9
| read: 0.91, 0.96 and 1.10, for
LL−, RR−and V V −, respectively. The latter case is the one considered in [10] and also
has similar structure to β = −
√
3 model without specification of actual values of the muon
couplings. We conclude that for a 10% shift in S it is impossible in these models to obtain
CNP
9
= −1.5 as found in [10]. Only for effects S in the ballpark of 20% could such large
negative values of CNP
9
be obtained. While these results look similar to the ones shown
in figure 3, they are more general as they do not assume CMFV and 331 models at work
and moreover take into account LEP-II data. Needless to say these LEP-II bounds can be
significantly weakened by breaking lepton universality in Z′ couplings and suppressing Z′
couplings to electrons relative to the muon ones. As far as the bound on |CNP
10 | is concerned the bounds obtained for LL−and RR−apply
also to this coefficient with ∆V replaced by ∆A. For V V −this coefficient vanishes. 7.2
LEP-II constraints In the models considered by us there is the overall minus sign due to Z′ propagator
relative to the SM contribution which we include in the definition of ηij so that with ηef
ij (Z′) = −∆e¯e
i (Z′)∆f ¯f
j (Z′),
(7.9) (7.9) we obtain the relation we obtain the relation MZ′ = Λ±
√
4π
q
|∆e¯e
i (Z′)∆f ¯f
j (Z′)|. (7.10) (7.10) As we know the signs of ηij in each model we know in each case whether the bound on
Λ+ or Λ−should be used. In tables 5–7 we list the values of the couplings ηij for the six
models considered by us together with the corresponding values for ηij(Z) for which the
minus sign in (7.9) should be omitted as the energies involved at LEP-II √s > MZ. As we know the signs of ηij in each model we know in each case whether the bound on
Λ+ or Λ−should be used. In tables 5–7 we list the values of the couplings ηij for the six
models considered by us together with the corresponding values for ηij(Z) for which the
minus sign in (7.9) should be omitted as the energies involved at LEP-II √s > MZ. The case of β = −
√
3 is easy to test in the case of e+e−→µ+µ−as in this case we deal
with the model V V −of [77]. We find then the lower bound for MZ′ of 11 TeV, well above
the validity of this model. We would like to emphasize that this bound is quoted here
only as an illustration. As discussed in appendix C the coupling αX at scales above 1 TeV
is too large to trust perturbation theory and calculating only tree diagrams misrepresents
the real situation. Whether a non-perturbative dynamics would cure this model remains
to be seen. Before turning to explicit four models analyzed by us let us note that in the LL−,
RR−and V V −models for couplings in [77], which correspond to ∆l¯l
R(Z′) = 0, ∆l¯l
L(Z′) = 0 – 35 – and ∆l¯l
L(Z′) = ∆l¯l
R(Z′) , respectively, the combination of (7.10) and (3.20) allows to derive
upper bounds on |CNP
9
| that go beyond the 331 models and apply to l.h.s. scenario for Z′
generally. 7.2
LEP-II constraints sin2 θW = 0.231 for Z-couplings. JHEP02(2014)112 Concerning the LHC bounds on MZ′ from ATLAS and in particular CMS [79], the
authors of [14] using MAdGraph5 and CTEQ611 parton distribution functions derived for
the β = −
√
3 model a 95% CL bound of MZ′ > 3.9 TeV. As these bounds are based on
the Drell-Yan process and are dominated by Z′ couplings to up-quarks and muons that in
331 models equal to those of electrons, the values of ηij in table 7 can give us a hint what
happens in the models considered by us. As the relevant ηij in the models considered in detail by us are much lower than
the ones in the β = −
√
3 model, the lower bounds on MZ′ in these models must be
significantly lower than 3.9 TeV. On the other hand the couplings in the β = ±2/
√
3
models are comparable, even if slightly larger than the ones of Z boson. Therefore, we
expect that lower bound on MZ′ could be slightly larger than the one reported by CMS
(MZ′ > 2.9 TeV) and our choice of MZ′ = 3.0 TeV could be consistent with LHC bounds. Yet in order to find it out a dedicated analysis would be necessary.9 As far as the LHC
bounds for β = ±1/
√
3 are concerned the analysis in [81] indicates that in these models
one could still have MZ′ ≈2.5 TeV. This would allow to enhance NP effects in all ∆F = 1
observables in these models by roughly a factor of 1.2 A complementary lower bound
MZ′ ≥1 TeV for 331 models with β = −1/
√
3 was derived in [82] using dark matter data. However, this bound is based on further assumptions regarding the relevance of 331 models
to the cosmological dark matter abundance and is not on the same footing as the other
bounds discussed by us. As we have provided all information on the couplings necessary to perform such an
analysis in the β = ±2/
√
3 and β = ±1/
√
3 models, collider experimentalists and phe-
nomenologists having the relevant codes could derive precise lower bounds on MZ′ in the
models in question. 7.2
LEP-II constraints But for
the case AA−in [77] that corresponds to ∆l¯l
L(Z′) = −∆l¯l
R(Z′), we find the analogue of the
ratio K to be 1.89 TeV and slightly weaker bound than for |CNP
9
| in the V V −case. Thus
LEP-II bounds on |CNP
10 | are weaker than the bounds presently available from Bs →µ+µ−. For the remaining models considered by us a complication arises due to the fact that
the values of ηij in the simple models studied in [77] and listed in table 3.14 of that paper
do not correspond to our models in which generally all combinations of L and R contribute. However, even without new global fits in these models, which would be beyond the
scope of our paper we have checked by using the tables 5–7, the formulae in appendix B
and the table 3.15 of [77] that the four models considered in detail by us satisfy all LEP-II
bounds. In fact our findings are as follows: • For the cases n = −1, 1, 2 the lower bounds on MZ′ are significantly below 2 TeV,
typically close to 1 TeV. • For the cases n = −1, 1, 2 the lower bounds on MZ′ are significantly below 2 TeV,
typically close to 1 TeV. • For β = −2
√
3 the lower bound on MZ′ is below 2 TeV but its precise value would
require a more sophisticated analysis. In any case it appears that the LHC bound of
approximately 3 TeV in this model is stronger that LEP-II bounds. – 36 – β
1/
√
3
−1/
√
3
2/
√
3
−2/
√
3
√
3
−
√
3
Z couplings
LL
−0.168
−0.666
−0.068
−1.65
−0.01
−62.0
0.396
RR
−0.165
−0.165
−1.05
−1.05
−0.03
−60.5
0.296
LR
0.166
−0.331
0.267
−1.32
−0.02
−61.2
−0.342
RL
0.166
−0.331
0.267
−1.32
−0.02
−61.2
−0.342
Table 5. Values of 10 × ηij for different β relevant for e+e−→ℓ+ℓ−using sin2 θW = 0.249 for
β = ±1/
√
3 and β = ±2/
√
3 and sin2 θW = 0.246 for β =
√
3. sin2 θW = 0.231 for Z-couplings. Table 5. Values of 10 × ηij for different β relevant for e+e−→ℓ+ℓ−using sin2 θW = 0.249 for
β = ±1/
√
3 and β = ±2/
√
3 and sin2 θW = 0.246 for β =
√
3. 9Recently the bound MZ′ ≥3.2 TeV in this model resulting from the LHC has been derived in [80]. 7.2
LEP-II constraints If these bounds turn out in the future to be stronger or weaker than
MZ′ = 3.0 TeV our scaling law in (3.15) will allow us to translate all results presented in
our paper into the new ones. 8
Summary and conclusions We have generalized our phenomenological analysis of flavour observables in the particular
331 model with β = 1/
√
3 presented in [2] to the cases β = −1/
√
3, β = ±2/
√
3 and
β = ±
√
3 and confronted these models with the most recent data on Bs,d →µ+µ−and 9Recently the bound MZ′ ≥3.2 TeV in this model resulting from the LHC has been derived in [80]. – 37 – β
1/
√
3
−1/
√
3
2/
√
3
−2/
√
3
√
3
−
√
3
Z couplings
LL
0.223
0.555
0.157
1.22
0.23
−41.6
0.626
RR
−0.055
−0.055
−0.351
−0.351
0.44
−20.2
0.098
LR
0.055
−0.110
0.089
−0.440
0.22
−20.5
−0.113
RL
−0.221
0.276
−0.618
0.969
0.45
41.1
−0.542 β
1/
√
3
−1/
√
3
2/
√
3
−2/
√
3
√
3
−
√
3
Z couplings
LL
0.223
0.555
0.157
1.22
0.23
−41.6
0.626
RR
−0.055
−0.055
−0.351
−0.351
0.44
−20.2
0.098
LR
0.055
−0.110
0.089
−0.440
0.22
−20.5
−0.113
RL
−0.221
0.276
−0.618
0.969
0.45
41.1
−0.542
Table 6. Values of 10 × ηij for different β relevant for e+e−→d ¯d using sin2 θW = 0.249 for
β = ±1/
√
3 and β = ±2/
√
3 and sin2 θW = 0.246 for β =
√
3. sin2 θW = 0.231 for Z-couplings. Table 6. Values of 10 × ηij for different β relevant for e+e−→d ¯d using sin2 θW = 0.249 f
β = ±1/
√
3 and β = ±2/
√
3 and sin2 θW = 0.246 for β =
√
3. sin2 θW = 0.231 for Z-couplings. β
1/
√
3
−1/
√
3
2/
√
3
−2/
√
3
√
3
−
√
3
Z couplings
LL
0.223
0.555
0.157
1.22
0.23
−41.6
−0.511
RR
0.110
0.110
0.702
0.702
−0.88
40.5
−0.198
LR
−0.111
0.221
−0.178
0.86
−0.44
41.0
0.229
RL
−0.221
0.276
−0.618
0.969
0.45
41.1
0.442
Table 7. Values of 10 × ηij for different β relevant for e+e−→u¯u using sin2 θW = 0.249 for
β = ±1/
√
3 and β = ±2/
√
3 and sin2 θW = 0.246 for β =
√
3. sin2 θW = 0.231 for Z-couplings. JHEP02(2014)112 Table 7. In more detail our findings are as follows: 8
Summary and conclusions In more detail our findings are as follows: – 38 – • Analyzing the models with β = ±1/
√
3 and β = ±2/
√
3 we find that for β > 0
measurable NP effects are allowed in Bs,d →µ+µ−, sufficient to suppress B(Bs →
µ+µ−) down to its central experimental value. On the other hand as mentioned
above B(Bd →µ+µ−) even if reaching values 20% above SM result, is still well
below the experimental central value. Thus we expect that the experimental value
of B(Bd →µ+µ−) must go down if these models should stay alive. For β > 0,
the Bd →K∗µ+µ−anomaly cannot be explained and in fact the anti-correlation
between B(Bs →µ+µ−) and Re(CNP
9 ) predicted in this case is not in accordance with
the present data. On the other hand in the case of the absence of Bd →K∗µ+µ−
anomalies in the future data and confirmation of the suppression of B(Bs →µ+µ−)
relative to its SM value the model with β = 1/
√
3 and MZ′ ≈3 TeV would be
favoured. JHEP02(2014)112 • Presently, more interesting appear models with β < 0 where NP effects in B(Bs →
µ+µ−) and Re(CNP
9 ) bring the theory closer to the data. Moreover we identified a
triple correlation between Re(CNP
9 ), B(Bs →µ+µ−) and Sψφ that for Re(CNP
9 ) <
−0.5 required by Bd →K∗µ+µ−anomalies implies uniquely suppression of B(Bs →
µ+µ−) relative to its SM value which is favoured by the data. In turn also Sψφ < SSM
ψφ
is favoured with Sψφ having dominantly opposite sign to SSM
ψφ and closer to its central
experimental value. Figures 5–7 show these correlations in explicit terms. • Another important triple correlation is the one between Re(CNP
9 ), B(Bs →µ+µ−)
and Bd →Kµ+µ−. It can be found in figure 13. • Another important triple correlation is the one between Re(CNP
9 ), B(Bs →µ+µ−)
and Bd →Kµ+µ−. It can be found in figure 13. • Our study of b →sν¯ν transitions, K+ →π+ν¯ν and KL →µ+µ−shows that NP
effects in these decays in the models considered are typically below 10% at the level
of the branching ratios. NP effects in KL →π0ν¯ν can reach 20%. • We have demonstrated how the effects found by us are correlated with the departures
of CBs and CBd from unity. 8
Summary and conclusions Values of 10 × ηij for different β relevant for e+e−→u¯u using sin2 θW = 0.249 for
β = ±1/
√
3 and β = ±2/
√
3 and sin2 θW = 0.246 for β =
√
3. sin2 θW = 0.231 for Z-couplings. Bd →K∗µ+µ−. We have also presented predictions of these models for b →sν¯ν transitions
and decays K+ →π+ν¯ν, KL →π0ν¯ν and KL →µ+µ−. Bd →K∗µ+µ−. We have also presented predictions of these models for b →sν¯ν transitions
and decays K+ →π+ν¯ν, KL →π0ν¯ν and KL →µ+µ−. Our three most important messages from this analysis are as follows: Our three most important messages from this analysis are as follows: • The 331 models analyzed by us do not account for the Bd →K∗µ+µ−anomalies if
the latter require Re(CNP
9 ) ≤−1.3 as indicated by the model independent analysis
in [10]. On the other hand, these models could be in accordance with the outcome
of the analyses in [11, 13, 15, 17] provided the required size of C′
9 in some of these
papers will decrease with time (see also [18] where the impact of a NP contribution
to C′
9 on these anomalies is discussed). • Going beyond 331 models and assuming lepton universality we find an upper bound
|CNP
9
| ≤1.1(1.4) from LEP-II data for all Z′ models within l.h.s. scenario, when NP
contributions to ∆Ms at the level of 10%(15%) are allowed. We conclude therefore
that it is unlikely that values like Re(CNP
9 ) = −1.5 can be accommodated in Z′
models of l.h.s. type when lepton universality is assumed. As the 331 models not
analyzed by us belong to this class of models, this finding applies to them as well. • The central experimental value of B(Bd →µ+µ−) from LHCb and CMS cannot be
reproduced in the 331 models, although an enhancement by 20% over its SM value
is possible. A general l.h.s. scenario can do much better as demonstrated in [13]. But then the universality in lepton couplings has to be broken to satisfy LEP-II
constraints and the diagonal Z′ couplings to quarks must be smaller than in 331
models considered by us to avoid the bounds on MZ′ from LHC. Acknowledgments We thank in particular Francois Richard for informative discussions on the bounds on Z′
couplings from LEP-II data, Christoph Bobeth, Martin Gorbahn and Mikolaj Misiak for
discussions related to Bs →µ+µ−and David Straub in connection with the decay Bd →
K∗(K)µ+µ−. Extensive E-mail exchanges with Ulrich Haisch in the context of the β =
−
√
3 model were very enjoyable. Thanks go also to Quim Matias. This research was done
and financed in the context of the ERC Advanced Grant project “FLAVOUR”(267104)
and was partially supported by the DFG cluster of excellence “Origin and Structure of the
Universe”. JHEP02(2014)112 8
Summary and conclusions As the latter departures depend sensitively on the
precision of lattice non-perturbative calculations, the future of 331 models does not
only depend on experimental progress but also on progress of latter calculations. • As a by-product we have presented bounds on 331 models from low energy precision
experiments and provided enough information on the couplings of Z′ to quarks and
leptons that a sophisticated analyses of LEP-II observables and of LHC constraints
could be performed in the future. • Finally, the model with β = −
√
3 can be ruled out on the basis of the data for various
observables, in particular the final results from LEP-II. But even if renormalization
group effects in sin2 θW are not taken into account, the resulting lower bounds on MZ′
are higher than the upper bounds implied by the Landau singularity. On the other
hand the model with β =
√
3 does not predict significant departures from the SM. Whether the models with β = −1/
√
3 and β = −2/
√
3 or with β = 1/
√
3 and β = 2/
√
3
will be favoured by the data will depend on the future of the experimental results for – 39 – Bs,d →µ+µ−, Bd →K∗(K)µ+µ−and future values of CBq. The numerous plots presented
in our paper should allow to monitor these developments. Most importantly, the values
of MZ′ considered in our paper are sufficiently low that this new gauge boson could be
discovered in the next run of the LHC and its properties could even be studied at a future
ILC [80]. A
Expressions for couplings in various 331 models In obtaining the results below we use for β = ±1/
√
3 and β = ±2/
√
3 the values sin2 θW =
0.249 and g = 0.633 corresponding to MZ′ = 3 TeV. We stress that for these models the
dependence of the couplings on MZ′ for 1 TeV ≤MZ′ ≤5 TeV, unless they are very small,
is basically negligible assuring the scaling law (3.15). β = ±1/
√
3. A
Expressions for couplings in various 331 models For both signs we have ∆ij
L(Z′) = g
√
3cW
q
f(1/
√
3)v∗
3iv3j = 0.388 v∗
3iv3j
(A.1) (A.1) Next for β = 1/
√
3 we have Next for β = 1/
√
3 we have Next for β = 1/
√
3 we have ∆d ¯d
V (Z′) =
g
2
√
3cW
q
f(1/
√
3)
−1 + 2
3s2
W
= −0.215 ,
(A.2a)
∆d ¯d
A (Z′) =
g
2
√
3cW
q
f(1/
√
3)
1 −2s2
W
= 0.130 ,
(A.2b)
∆u¯u
V (Z′) =
g
2
√
3cW
q
f(1/
√
3)
−1 + 8
3s2
W
= −0.087 ,
(A.2c)
∆u¯u
A (Z′) =
g
2
√
3cW
q
f(1/
√
3) [1] = 0.258 ,
(A.2d)
∆ν¯ν
L (Z′) =
g
2
√
3cW
q
f(1/
√
3)
1 −2s2
W
= 0.130 ,
(A.2e)
∆µ¯µ
V (Z′) =
g
2
√
3cW
q
f(1/
√
3)
1 −4s2
W
= 0.001 ,
(A.2f)
∆µ¯µ
A (Z′) =
g
2
√
3cW
q
f(1/
√
3) [−1] = −0.258
(A.2g) – 40 – – 40 – and for β = −1/
√
3 ∆d ¯d
V (Z′) =
g
2
√
3cW
q
f(1/
√
3)
−1 + 4
3s2
W
= −0.172 ,
(A.3a)
∆d ¯d
A (Z′) =
g
2
√
3cW
q
f(1/
√
3) [1] = 0.258 ,
(A.3b)
∆u¯u
V (Z′) =
g
2
√
3cW
q
f(1/
√
3)
−1 −2
3s2
W
= −0.301 ,
(A.3c)
∆u¯u
A (Z′) =
g
2
√
3cW
q
f(1/
√
3)
1 −2s2
W
= 0.130 ,
(A.3d)
∆ν¯ν
L (Z′) =
g
2
√
3cW
q
f(1/
√
3) [1] = 0.258 ,
(A.3e)
∆µ¯µ
V (Z′) =
g
2
√
3cW
q
f(1/
√
3)
1 + 2s2
W
= 0.386 ,
(A.3f)
∆µ¯µ
A (Z′) =
g
2
√
3cW
q
f(1/
√
3)
−1 + 2s2
W
= −0.130
(A.3g) JHEP02(2014)112 β = ±2/
√
3. For both signs we have β = ±2/
√
3. For both signs we have β = ±2/
√
3. A
Expressions for couplings in various 331 models For both signs we have ∆ij
L(Z′) = g
√
3cW
q
f(2/
√
3)v∗
3iv3j = 0.489 v∗
3iv3j
(A.4) Next for β = 2/
√
3 we have Next for β = 2/
√
3 we have Next for β = 2/
√
3 we have ∆d ¯d
V (Z′) =
g
2
√
3cW
q
f(2/
√
3)
−1 + 1
3s2
W
= −0.299 ,
(A.5a)
∆d ¯d
A (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 −3s2
W
= 0.082 ,
(A.5b)
∆u¯u
V (Z′) =
g
2
√
3cW
q
f(2/
√
3)
−1 + 13
3 s2
W
= 0.026 ,
(A.5c)
∆u¯u
A (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 + s2
W
= 0.407 ,
(A.5d)
∆ν¯ν
L (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 −3s2
W
= 0.082 ,
(A.5e)
∆µ¯µ
V (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 −7s2
W
= −0.242 ,
(A.5f)
∆µ¯µ
A (Z′) =
g
2
√
3cW
q
f(2/
√
3)
−1 −s2
W
= −0.407
(A.5g) and for β = −2/
√
3 and for β = −2/
√
3 and for β = −2/
√
3 ∆d ¯d
V (Z′) =
g
2
√
3cW
q
f(2/
√
3)
−1 + 5
3s2
W
= −0.191 ,
(A.6a)
∆d ¯d
A (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 + s2
W
= 0.407 ,
(A.6b)
∆u¯u
V (Z′) =
g
2
√
3cW
q
f(2/
√
3)
−1 −7
3s2
W
= −0.515 ,
(A.6c) – 41 – – 41 – ∆u¯u
A (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 −3s2
W
= 0.082 ,
(A.6d)
∆ν¯ν
L (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 + s2
W
= 0.407 ,
(A.6e)
∆µ¯µ
V (Z′) =
g
2
√
3cW
q
f(2/
√
3)
1 + 5s2
W
= 0.731 ,
(A.6f)
∆µ¯µ
A (Z′) =
g
2
√
3cW
q
f(2/
√
3)
−1 + 3s2
W
= −0.082
(A.6g) (A.6g) These results confirm the ones seen in figure 1. A
Expressions for couplings in various 331 models For completeness we also list the
formulae for β = ±
√
3 in order to demonstrate that for β =
√
3 the couplings are too small
to provide relevant NP effects, while for β = −
√
3 they are too large to be consistent with
the flavour data and LEP-II bounds for MZ′ < 4 TeV, for which this model is valid because
of the Landau singularities in question. In order to stay away from this singularity we give
the values of couplings for MZ′ = 2 TeV, that is for sin2 θW = 0.246 and g = 0.636. JHEP02(2014)112 β = ±
√
3. For both signs we have β = ±
√
3. For both signs we have ∆ij
L(Z′) = g
√
3cW
q
f(
√
3)v∗
3iv3j = 2.52 v∗
3iv3j
(A.7) (A.7) In the case of β =
√
3 the formulae for leptonic couplings are modified [2]. We have
then In the case of β =
√
3 the formulae for leptonic couplings are modified [2]. A
Expressions for couplings in various 331 models We have
then ∆d ¯d
V (Z′) =
g
2
√
3cW
q
f
√
3) [−1] = −1.672 ,
(A.8a)
∆d ¯d
A (Z′) =
g
2
√
3cW
q
f(
√
3)
1 −4s2
W
= 0.027 ,
(A.8b)
∆u¯u
V (Z′) =
g
2
√
3cW
q
f(
√
3)
−1 + 6s2
W
= 0.796 ,
(A.8c)
∆u¯u
A (Z′) =
g
2
√
3cW
q
f(
√
3)
1 + 2s2
W
= 2.494 ,
(A.8d)
∆ν¯ν
L (Z′) =
g
2
√
3cW
q
f(
√
3)
1 −4s2
W
= 0.027 ,
(A.8e)
∆µ¯µ
V (Z′) =
3g
2
√
3cW
q
f(
√
3)
1 −4s2
W
= 0.080 ,
(A.8f)
∆µ¯µ
A (Z′) =
g
2
√
3cW
q
f(
√
3)
1 −4s2
W
= 0.027
(A.8g) and for β = −
√
3 and for β = −
√
3
q and for β = −
√
3 and for β = −
√
3 ∆d ¯d
V (Z′) =
g
2
√
3cW
q
f
√
3)
−1 + 2s2
W
= −0.849 ,
(A.9a)
∆d ¯d
A (Z′) =
g
2
√
3cW
q
f(
√
3)
1 + 2s2
W
= 2.494 ,
(A.9b)
∆u¯u
V (Z′) =
g
2
√
3cW
q
f(
√
3)
−1 −4s2
W
= −3.316 ,
(A.9c) – 42 – – 42 – ∆u¯u
A (Z′) =
g
2
√
3cW
q
f(
√
3)
1 −4s2
W
= 0.027 ,
(A.9d)
∆ν¯ν
L (Z′) =
g
2
√
3cW
q
f(
√
3)
1 + 2s2
W
= 2.49 ,
(A.9e)
∆µ¯µ
V (Z′) =
g
2
√
3cW
q
f(
√
3)
1 + 8s2
W
= 4.96 ,
(A.9f)
∆µ¯µ
A (Z′) =
g
2
√
3cW
q
f(
√
3)
−1 + 4s2
W
= −0.027
(A.9g) (A.9d) (A.9g) SM couplings of Z. For comparison we give the couplings of Z boson that we evaluate
with g = 0.652 and sin2 θW = 0.23116 as valid at MZ. A
Expressions for couplings in various 331 models The non-diagonal couplings vanish
at tree-level and the diagonal ones are given as follows: JHEP02(2014)112 ∆d ¯d
V (Z) =
g
2cW
−1 + 4
3s2
W
= −0.257 ,
(A.10a)
∆d ¯d
A (Z) =
g
2cW
= 0.372 ,
(A.10b)
∆u¯u
V (Z) =
g
2cW
1 −8
3s2
W
= 0.143 ,
(A.10c)
∆u¯u
A (Z) = −g
2cW
= −0.372 ,
(A.10d)
∆ν¯ν
L (Z) =
g
2cW
= 0.372 ,
(A.10e)
∆µ¯µ
V (Z) = −g
2cW
1 −4s2
W
= −0.028 ,
(A.10f)
∆µ¯µ
A (Z) =
g
2cW
= 0.372
(A.10g) B
LEP-II constraints q
One can define the shift in the cross section due to NP contributions simply as follows: q
One can define the shift in the cross section due to NP contributions simply as follow ∆σNP = σ(e+e−→f ¯f) −σSM. (B.8) (B.8) In view of small NP effects only the interference between NP and SM matters and we fin σSM = πα2sNc
3
|ASM
LL |2 + |ASM
RR|2 + |ASM
LR|2 + |ASM
RL|2
(B.9) (B.9) and ∆σNP = 2πα2sNc
3
ASM
LL ANP
LL + ASM
RRANP
RR + ASM
LRANP
LR + ASM
RLANP
RL
. (B.10) (B.10) Analogous formulae can be derived for corrections to FB and LR asymmetries. C
The β = ±
√
3 models B
LEP-II constraints We will list here formulae which we used to verify that the four 331 models investigated by
us satisfy LEP-II constraints on MZ′. To this end we generalized the usual SM expressions
to include Z′ contribution. In this context we found the presentation in the book of Burgess
and Moore [83] useful. The cross section for e+e−→f ¯f where f is a lepton or quark is given in terms of
helicity amplitudes Aef
ij by σ(e+e−→f ¯f) = πα2sNc
3
|Aef
LL(s)|2 + |Aef
RR(s)|2 + |Aef
LR(s)|2 + |Aef
RL(s)|2
,
(B.1)
where Nc = 3(1) for quarks (leptons). σ(e+e−→f ¯f) = πα2sNc
3
|Aef
LL(s)|2 + |Aef
RR(s)|2 + |Aef
LR(s)|2 + |Aef
RL(s)|2
,
(B.1) (B.1) where Nc = 3(1) for quarks (leptons). here Nc = 3(1) for quarks (leptons). For FB and LR asymmetries we have AFB(e+e−→f ¯f) = 3
4
|Aef
LL(s)|2 + |Aef
RR(s)|2 −|Aef
LR(s)|2 −|Aef
RL(s)|2
|Aef
LL(s)|2 + |Aef
RR(s)|2 + |Aef
LR(s)|2 + |Aef
RL(s)|2
(B.2) (B.2) – 43 – and ALR(e+e−→f ¯f) =
|Aef
LL(s)|2 + |Aef
LR(s)|2 −|Aef
RR(s)|2 −|Aef
RL(s)|2
|Aef
LL(s)|2 + |Aef
RR(s)|2 + |Aef
LR(s)|2 + |Aef
RL(s)|2
. (B.3) (B.3) The helicity amplitudes are given for MZ′ ≫√s in the Z′ models generally as follows
(we drop the argument s) The helicity amplitudes are given for MZ′ ≫√s in the Z′ models generally as follows
(we drop the argument s) Aef
ij = ASM
ij
+ ANP
ij ,
i, j = L, R
(B.4) (B.4) JHEP02(2014)112 Defining then ηef
ij (Z′) = −∆e¯e
i (Z′)∆f ¯f
j (Z′),
(B.5) (B.5) where the minus sign comes from Z′ propagator but where the minus sign comes from Z′ propagator but ηef
ij (Z) = ∆e¯e
i (Z)∆f ¯f
j (Z),
(B.6) (B.6) without this minus sign (√s > MZ) we have ASM
ij
= QeQf
s
+
1
4πα
"
ηef
ij (Z)
s −M2
Z
#
,
ANP
ij
=
1
4πα
"
ηef
ij (Z′)
M2
Z′
#
. (B.7) (B.7) Here the first term in the SM contribution represents photon contribution. Note that for the
values of MZ′ considered, s in the Z′ propagator can be neglected, while for √s = 200 GeV
one has
q
s −M2
Z = 178 GeV. C
The β = ±
√
3 models Here we list the problems of β = ±
√
3 models which originate in the value of the coupling
gX which is not free but for a fixed β is given in terms of g and sin2 θW as follows: g2
X = g2
6 sin2 θW
1 −(1 + β2) sin2 θW
. (C.1) (C.1) This formula implies for β = ±
√
3 a Landau singularity for sin2 θW = 0.25 and this
value is reached through the renormalization group evolution of the SM couplings for – 44 – MZ′ typically around 4 TeV [28, 84].10
Therefore these models as they stand, even if
VL ̸= VCKM, can only be valid for MZ′ < 4 TeV. Although in principle some new dynamics
entering around these scales could shift the Landau singularity to higher scales, in particular
supersymmetry [66, 67], one should realize that even at µ = 80 GeV the coupling would be
as large as αX ≈0.6 that is much larger than all couplings of the SM. At the relevant scales
of order few TeV αX ≥2.5 implying that perturbative calculations cannot be trusted even
in the presence of a large MZ′. This is not the problem for other four models discussed by
us, where at µ = 3 TeV, the coupling αX equals approximately 0.07 and 0.11 for β = ±1/
√
3
and β = ±2/
√
3, respectively. The related problems are as follows The related problems are as follows JHEP02(2014)112 • Noting that the masses of the new charged gauge bosons V and Y are related within
1% accuracy to MZ′ through • Noting that the masses of the new charged gauge bosons V and Y are related within
1% accuracy to MZ′ through • Noting that the masses of the new charged gauge bosons V and Y are related within
1% accuracy to MZ′ through MV = MY = MZ′
q
1 −(1 + β2)s2
W ,
(C.2) (C.2) we find for |β| =
√
3 and s2
W = 0.24−0.25, valid for MZ′ in the ballpark of a few TeV,
the masses of other heavy gauge bosons MV = MY ≤MZ′/5. This is basically ruled
out by the LHC for MZ′ ≤4 TeV. However, a dedicated study would be necessary in
order to put this statement on the firm footing. 11We thank Francois Richard for pointing out the inconsistency of the model in [14] with the LEP-II data
even in the absence of RG effects. We refer to his analysis of 331 models in [80], where the prospects for
testing 331 models at the future ILC are presented. 10In fact we confirmed Frampton’s result that at one-loop level the singularity is reached precisely
MZ′ = 4 TeV and this result is practically unchanged at NLO. We thank David Straub for checking this C
The β = ±
√
3 models This is not a problem for |β| = 1/
√
3
and |β| = 2/
√
3, where we find MV = MY ≈0.8 MZ′ and MV = MY ≈0.7 MZ′,
respectively. we find for |β| =
√
3 and s2
W = 0.24−0.25, valid for MZ′ in the ballpark of a few TeV,
the masses of other heavy gauge bosons MV = MY ≤MZ′/5. This is basically ruled
out by the LHC for MZ′ ≤4 TeV. However, a dedicated study would be necessary in
order to put this statement on the firm footing. This is not a problem for |β| = 1/
√
3
and |β| = 2/
√
3, where we find MV = MY ≈0.8 MZ′ and MV = MY ≈0.7 MZ′,
respectively. • With the matrix VL equal to the CKM matrix we find that even for values of MZ′ =
(5 −7) TeV as considered in [14] the mass differences ∆Ms and ∆Md are enhanced
at least by a factor of two (CBs,d ≈2) relative to the SM values. In our view it
is unlikely that the future lattice values of
q
ˆBBsFBs and
q
ˆBBdFBd would change
so much to allow for a satisfactory description of the data for ∆Ms,d in this model. While choosing VL ̸= VCKM would remove this problem, this does not help because
of the last difficulty. • It turns out that the size of predicted coupling ∆µ¯µ
V (Z′) in this model implies through
LEP-II data a lower bound on MZ′ of order of 10 TeV when RG effects in sin2 θW
are taken into account.11
This value is outside the validity of the model unless
complicated new dynamics is introduced at scales of few TeV. Open Access. This article is distributed under the terms of the Creative Commons
Attribution License (CC-BY 4.0), which permits any use, distribution and reproduction in
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Avaliação da rede de centros de atenção psicossocial: entre a saúde coletiva e a saúde mental
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Rev Saúde Pública 2009;43(Supl. 1):16-22 Rev Saúde Pública 2009;43(Supl. 1):16-22 Rosana Teresa Onocko CamposI
Juarez Pereira FurtadoII
Eduardo PassosIII
Ana Luiza FerrerIV
Lilian MirandaIV
Carlos Alberto Pegolo da
GamaIV RESUMO OBJETIVO: Avaliar os modelos assistenciais, de gestão e de formação de
trabalhadores de uma rede centros de atenção psicossocial (CAPS). MÉTODOS: Pesquisa avaliativa qualitativa, sustentada pela hermenêutica
gadameriana, realizada na cidade de Campinas (SP), em 2006-2007. Os dados
foram coletados por meio de 20 grupos focais, em CAPS III, realizados com
diferentes grupos de interesse (trabalhadores, gestores municipais, usuários,
familiares e gestores locais). Após a transcrição do material gravado de cada
grupo, foram construídas narrativas, seguindo o referencial teórico de Ricoeur. Na segunda etapa de grupos focais essas narrativas foram apresentadas
aos participantes para contestá-las, corrigi-las e validá-las. Os resultados
preliminares foram discutidos em ofi cinas para elaboração de um guia de
boas práticas em CAPS III. RESULTADOS: Foram identifi cados pontos fortes e fragilidades no que
concerne à atenção à crise, articulação com a rede básica, formulação de
projetos terapêuticos, gestão e organização em equipes de referência, formação
educacional e sofrimento psíquico. I Departamento de Medicina Preventiva e
Social. Faculdade de Ciências Médicas. Universidade Estadual de Campinas
(UNICAMP). Campinas, SP, Brasil CONCLUSÕES: A rede de centros de atenção psicossocial em Campinas
destaca-se pela sua originalidade na implantação de seis CAPS III , e pela sua
efi cácia na continência com usuários e familiares no momento da crise e na
reabilitação. A organização por técnico e/ou equipe de referência prevalece,
assim como a construção de projetos terapêuticos. A redução das equipes
noturnas desponta como principal problema e fonte de estresse para os
trabalhadores. A formação dos profi ssionais se mostrou insufi ciente para os
desafi os enfrentados por esses serviços. II Universidade Federal de São Paulo. São
Paulo, SP, Brasil III Universidade Federal Fluminense. Rio de
Janeiro, RJ, Brasil IV Programa de Pós-Graduação em Saúde
Coletiva. UNICAMP. RESUMO Campinas, SP, Brasil Correspondência | Correspondence:
Rosana Teresa Onocko-Campos
Departamento de Medicina Preventiva e Social
Universidade Estadual de Campinas
Caixa Postal 6111
Cidade Universitária Zeferino Vaz - Barão
Geraldo
13081-970 Campinas, SP, Brasil
E-mail: rosanaoc@mpc.com.br
Recebido: 19/11/2008
Revisado: 11/05/2009
Aprovado: 13/05/2009 Correspondência | Correspondence:
Rosana Teresa Onocko-Campos
Departamento de Medicina Preventiva e Social
Universidade Estadual de Campinas
Caixa Postal 6111
Cidade Universitária Zeferino Vaz - Barão
Geraldo
13081-970 Campinas, SP, Brasil
E-mail: rosanaoc@mpc.com.br
Recebido: 19/11/2008
Revisado: 11/05/2009
Aprovado: 13/05/2009 Correspondência | Correspondence:
Rosana Teresa Onocko-Campos
Departamento de Medicina Preventiva e Social
Universidade Estadual de Campinas
Caixa Postal 6111
Cidade Universitária Zeferino Vaz - Barão
Geraldo
13081-970 Campinas, SP, Brasil
E-mail: rosanaoc@mpc.com.br
Recebido: 19/11/2008
Revisado: 11/05/2009
Aprovado: 13/05/2009 DESCRITORES: Serviços de Saúde Mental. Pessoal de Saúde. Gestão em
Saúde. Reforma dos Serviços de Saúde. Pesquisa Qualitativa. Pesquisa
Avaliativa. 17 Rev Saúde Pública 2009;43(Supl. 1):16-22 ABSTRACT OBJECTIVE: To analyze the assistance, management and workers’ education
models of a network of psychosocial healthcare services (CAPS). METHODS: This is a qualitative evaluation research, supported by the
Gadamerian hermeneutics, carried out in the city of Campinas, Southeastern
Brazil, in 2006-2007. Data were collected through 20 focus groups in centers
known as CAPS III, with different groups of stakeholders (workers, municipal
managers, users, family members and local managers). After the transcription
of each group’s recorded material, narratives were constructed following
Ricoeur’s theoretical framework. At the second stage of the focus groups,
these narratives were presented to the participants, who could contest, correct
and validate them. The preliminary results were discussed in workshops, with
the aim of developing a good practice guide in CAPS III. RESULTS: The study identifi ed strong points and weaknesses concerning the
care provided during the crisis, articulation with the primary care network,
formulation of therapeutic projects, management and organization in reference
teams, educational background and psychological distress. CONCLUSIONS: The network of psychosocial care centers in Campinas
stands out due to its originality in the implementation of six CAPS III and to
its effi cacy in providing comprehensive assistance to users and family members
in the moment of crisis and in rehabilitation. The organization in reference
technician and/or team prevails, as well as the development of therapeutic
projects. Night teams reduction is the most important problem and the main
source of workers’ stress. The professionals’ education proved to be insuffi cient
to deal with the challenges faced by these services. DESCRIPTORS: Mental Health Services. Health Personnel. Health
Management. Health Care Reform. Qualitative Research. Evaluation
Research. INTRODUÇÃO trabalho com a psicose7,8 conferem ao CAPS desafi os
e necessidade de constante acompanhamento e análise. Os aspectos institucionais da Reforma Psiquiátrica,
atualizados nos CAPS, apresentam relações entre
intersubjetividade, gestão, formação profi ssional e
clínica.10 Assim, é necessária uma abordagem avaliativa
que contemple a pluralidade e interdisciplinaridade de
tais relações. Os centros de atenção psicossocial (CAPS) são consi-
derados serviços estratégicos para a organização da
rede de atenção à saúde mental em um determinado
território e para a consolidação da Reforma Psiquiátrica
brasileira. Sua implantação e qualifi cação vêm sendo
incentivadas pelo Ministério da Saúde, de tal modo que
o número de centros mais do que dobrou nos últimos
cinco anos anos. Além disso, algumas portarias foram
criadas para incrementar as políticas de fi nanciamento
e qualifi cação assistencial.a O presente estudo teve por objetivo analisar os modelos
assistenciais, de gestão e de formação dos trabalhadores
de uma rede de centros de atenção psicossocial. Na condição de serviços públicos de saúde mental no
campo da saúde coletiva,1,3 devem garantir acesso,
integralidade e resolutividade na assistência prestada,
agregando os diferentes níveis de atenção (primário,
secundário e terciário) em uma unidade, gerando refl e-
xões concernentes ao modelo assistencial e à clínica
10 A complexidade na organização da assistência e
os impactos subjetivos nos profi ssionais próprios do a Ministério da Saúde. Relatório de gestão de saúde mental: 2003-2006. Brasília (DF); 2007. Formas de atenção ao usuário em momentos de
crise Os participantes avaliaram como positiva a perma-
nência do usuário com a mesma equipe nos momentos
de crise, fato permitido pela existência de leitos nos
CAPS III, sendo um importante diferencial em relação
ao modelo hospitalar. Usuários e familiares conside-
raram continente a rede de saúde mental (em especial
CAPS e SAMU). Foram relatadas como difi culdades: os
entraves na formação de parcerias com a rede como um
todo, o recebimento e acompanhamento de pacientes
ainda desconhecidos pela equipe, sobretudo à noite
e nos fi ns de semana, pois nesses períodos críticos
costumam trabalhar no CAPS apenas profi ssionais de
enfermagem, em esquema de plantão. Ainda, relatou-se
como necessário objetivar os critérios de indicação de
leito-noite, que tem sido utilizado no limite ou acima
de sua capacidade durante o período em estudo. A construção narrativa consistiu no encadeamento dos
núcleos argumentais presentes no material transcrito,
mas editado à maneira de uma história que se deixa
seguir, na leitura. Na segunda etapa essas narrativas
foram apresentadas aos mesmos participantes dos
grupos focais, que puderam contestá-las, corrigi-las e
validá-las. Houve perda insignifi cante de sujeitos entre
uma etapa e outra (três pessoas de um total de 120). Após transcrição do material da segunda etapa de
grupos focais, foram construídas novas narrativas,
que, juntamente com aquelas dos primeiros grupos,
foram analisadas e constituíram-se material-base para
as ofi cinas de construção de parâmetros e dispositivos
avaliativos, que aconteceram posteriormente. Foram indicadas duas concepções antagônicas de crise:
uma ligada à emergência de sintomas a serem contidos
e outra que compreende o momento como de extrema
fragilidade e oportunidade de reconstruções. Não havia
acompanhamento sistemático dos usuários internados
em leitos psiquiátricos fora do CAPS. Ainda, usuários
e familiares queixaram-se do desaparecimento de
pertences pessoais durante utilização do leito-noite. As ofi cinas objetivaram o processamento dos resultados
da pesquisa. Para tanto, a participação foi ampliada,
incluindo, além dos grupos de interesse descritos para
a realização dos grupos focais, trabalhadores de outros
serviços da rede de saúde, como Serviço de Atendimento
Móvel de Urgência (SAMU), unidades básicas de saúde,
centros de convivência, supervisores de CAPS, abran-
gendo cerca de 300 participantes ao total. Procuramos
assim valer-nos de uma técnica de criação de consenso
que diversifi casse e ampliasse a participação e não da
já consagrada técnica de Delphi.17 O objetivo de nossa
inovação foi radicalizar a pactuação dialógica entre os
múltiplos grupos de interesse envolvidos. MÉTODOS O estudo constitui uma pesquisa avaliativa, condu-
zida entre 2006-2007, na qual associamos temáticas
e categorias advindas da saúde coletiva, tais como
gestão e subjetividade,11,12 com a avaliação qualitativa, a Ministério da Saúde. Relatório de gestão de saúde mental: 2003-2006. Brasília (DF); 2007. Avaliação da rede de CAPS
Onocko Campos R et al 18 CAPS, 2) Projeto terapêutico individual e práticas
grupais, 3) Atenção à crise, 4) Formação profi ssional
e sofrimento dos trabalhadores e 5) Gestão. O tema das
relações dos CAPS com a rede de serviços de saúde em
geral permaneceu transversal a todas as ofi cinas. Na
primeira sessão, apresentamos aos participantes uma
lista de problemas, controvérsias e soluções relativos a
cada tema que identifi camos nas narrativas dos grupos
focais; os participantes elegeram quais necessitariam
de monitoramento avaliativo. Na segunda sessão, as
mesmas ofi cinas procederam à elaboração de parâme-
tros e dispositivos avaliativos para o monitoramento. participativa e construtivista,2,4,6 tendo em vista a insti-
tucionalização das políticas públicas de saúde mental
para os novos serviços3 e às vicissitudes identifi cadas
pelos trabalhadores e usuários em seus cotidianos de
trabalho ou na freqüência aos serviços. A abordagem foi qualitativa com referencial teórico
apoiado na hermenêutica gadameriana.5 O trabalho de
campo foi desenvolvido na cidade de Campinas (SP)
em função da complexidade e extensão do seu sistema
de saúde mental e do pioneirismo na implantação de
seis CAPS III (com acolhimento diuturno). Os dados foram coletados por meio de 20 grupos focais,9
realizados com os grupos de interesse (stakeholders):14
12 grupos com trabalhadores de cada um dos seis
CAPS, dois grupos com o colegiado municipal de
saúde mental, dois grupos com os gerentes dos CAPS
envolvidos, dois grupos com familiares de usuários dos
seis CAPS e dois grupos com usuários. Esses grupos
participaram de duas etapas. Na primeira, havia um
roteiro com questões disparadoras da discussão, abran-
gendo as temáticas de interesse da pesquisa, sendo os
roteiros diferentes em alguns aspectos segundo o grupo
de interesse. Após a transcrição do material gravado
desses grupos, foram construídas narrativas13 de cada
um deles, seguindo o referencial teórico de Ricoeur.15,16
A construção narrativa consistiu no encadeamento dos
núcleos argumentais presentes no material transcrito,
mas editado à maneira de uma história que se deixa
seguir, na leitura. Na segunda etapa essas narrativas
foram apresentadas aos mesmos participantes dos
grupos focais, que puderam contestá-las, corrigi-las e
validá-las. MÉTODOS Houve perda insignifi cante de sujeitos entre
uma etapa e outra (três pessoas de um total de 120). A pesquisa foi aprovada pelo Comitê de Ética em
Pesquisa da Universidade Estadual de Campinas
(Processo No 396/2004). Todos os sujeitos assinaram
o termo de consentimento livre e esclarecido. Gestão Fizeram parte da avaliação os relatos referentes ao reco-
nhecimento da responsabilidade do gestor com a clínica
desenvolvida, o reconhecimento das passagens de
plantão como dispositivo privilegiado de contato com
o cotidiano do serviço e a crítica ao modo de funcio-
namento dos noturnos estruturarem-se de maneira
semelhante às rotinas dos hospitais psiquiátricos. Os
participantes mencionaram a inexistência de plano de
cargos e salários, isonomia e avaliação dos trabalha-
dores. As supervisões clínicas e institucionais, embora
muito valorizadas pelos trabalhadores prescindiam de
instâncias de acompanhamento e avaliação. Relata-
ram-se difi culdades de gerenciamento de médicos por
profi ssionais não médicos e difi culdades decorrentes do
oferecimento de assistência 24h de enfermagem, mas
não de equipe multidisciplinar. Projeto Terapêutico Individual (PTI) e
Profi ssional/Equipe de Referência Na avaliação desse tema, o PTI foi considerado como
consolidado nos serviços, sendo avaliado periodica-
mente e com o cuidado de não torná-lo protocolar. O
trabalho em equipes de referência foi preferido por
permitir e melhorar a discussão dos casos. Consideran-
do-se a centralização das práticas de acompanhamento
no profi ssional de referência, importantes relações de
confi ança puderam ser constituídas, entretanto, poderia
haver difi culdade de compartilhamento de responsa-
bilidades pelo caso. Relatou-se número excessivo de
usuários por profi ssional de referência. Foram citados como parâmetros avaliativos a parti-
cipação regular dos gestores dos CAPS nos fóruns
intersetoriais, nas intervenções do CAPS no território,
nas atividades que incluem familiares e a existência
de conselho gestor e outros arranjos participativos da
gestão, como as assembléias. Quanto aos parâmetros avaliativos, indicou-se veri-
fi cação periódica da percentagem de usuários que:
utilizam outros recursos da rede, tiveram seu PTI
discutido no último ano, foram atendidos por outros
profi ssionais, além do seu técnico de referência. Para a avaliação da gestão dos CAPS, propôs-se ainda
que os serviços questionem-se sobre a participação dos
gestores nas decisões clínicas e na construção dos PTI,
sobre a existência de supervisão clínico-institucional,
de formação continuada, de atenção interdisciplinar na
atenção à crise durante a noite e nos fi ns de semana e de
participação da equipe noturna na discussão dos PTI. No que se refere aos dispositivos avaliativos, foram
sugeridas as criações de ofi cinas para os trabalhadores
com objetivo de apresentar e discutir o trabalho que
fazem e o referencial teórico que adotam e de ofi cinas
voltadas para usuários e familiares, com o objetivo
de esclarecê-los acerca dos principais medicamentos
utilizados e das formas de estruturação do serviço. Formas de atenção ao usuário em momentos de
crise Como parâmetros avaliativos, foi indicada a verifi cação
periódica da taxa de ocupação e permanência nos
leitos, bem como percentagens referentes a: atendi-
mentos a pacientes em crise sem ocupação de leitos,
usuários encaminhados para uso de leitos em outros
serviços, usuários com diagnóstico de co-morbidade
que demandam acompanhamento intensivo. Foram realizadas dez ofi cinas em duas sessões, divi-
didas pelas seguintes temáticas: 1) Concepção de Como dispositivos avaliativos, os participantes suge- 19 Rev Saúde Pública 2009;43(Supl. 1):16-22 mais convenientes e com a presença do técnico de
referência de seu familiar. riram a criação de um grupo de apoio composto por
profi ssionais dos vários CAPS a ser acionado para
avaliação de risco quando uma equipe considerar a
possibilidade de encaminhar algum usuário para inter-
nação em hospital. Em relação aos parâmetros avaliativos, foram relatados:
planejamento de recursos e competências necessárias
para desenvolver as práticas grupais; a existência de
grupos para familiares e critérios de participação, bem
como à inclusão de usuários na construção e avaliação
dos grupos oferecidos, mapeamento dos grupos exis-
tentes dentro e fora do território do CAPS, e o estabele-
cimento de parcerias com outros serviços da rede para
a realização de grupos. Os participantes das ofi cinas ainda propuseram que os
serviços avaliem a dosagem e eventuais associações
entre medicações, revisão da prescrição em momentos
de crise, avaliação dos pacientes em uso de leito-
noite, intensifi cação do acompanhamento oferecido
às famílias, estabelecimento de comunicação entre os
profi ssionais sobre os motivos do uso do leito e da alta,
e compartilhamento das decisões tomadas durante a
crise com a família. Foi também proposto explicitar os
critérios de encaminhamento para internação em outros
serviços, assim como garantir o acompanhamento
de eventuais internações, além de recomendarem a
disponibilidade do serviço para a atenção domiciliar
aos pacientes em crise. Não foram mencionados dispositivos avaliativos. Práticas de grupo Os participantes avaliaram que alguns CAPS defi -
niam-se como alternativos ao manicômio e outros como
substitutivos, sendo diferentes entre si quanto ao número
de internações psiquiátricas que indicam. Houve dife-
renças também quanto à construção de parceria com a
Rede (potencializada nos CAPS sob gestão direta da
secretaria municipal de saúde) e quanto à gestão do coti- Os participantes avaliaram que tais práticas acontecem
em todos os CAPS, sob diversas modalidades, porém
não são discutidas ou supervisionadas entre os profi s-
sionais. Já os usuários referiram-se aos grupos como
importante espaço de aprendizagem e trocas, enquanto
os familiares descreveram-nos como oportunidades de
suporte, mas gostariam que acontecessem em horários Avaliação da rede de CAPS
Onocko Campos R et al 20 diano (facilitada nos CAPS sob administração de uma
organização não-governamental, em co-gestão com a
prefeitura). Os coordenadores de unidades básicas se
mostraram como tendo idéia vaga e distorcida sobre o
trabalho do CAPS, independentemente do número de
pacientes que sua unidade encaminhou para a Saúde
Mental. Os agentes de saúde estudados desconheciam a
função dos CAPS e afi rmaram praticar ações de saúde
mental baseadas em senso comum. que salientaram a importância de se refl etir sobre a
existência e a duração das reuniões de equipe, a parti-
cipação de todos nas decisões coletivas, o diálogo entre
as diversas abordagens clínicas, as estratégias utilizadas
para a recepção e o acompanhamento de usuários, a
existência, regularidade e garantia de fi nanciamento
das supervisões, a adequação da linguagem utilizada
na supervisão aos diversos integrantes da equipe, bem
como sua capacidade de provocar um auto-questiona-
mento na equipe em questão e de discutir os PTI. Foi indicada como parâmetro avaliativo a identifi cação
do número de serviços que compartilham projetos com
o CAPS e como dispositivos avaliativos: criação de um
fórum regular dos CAPS, onde esses serviços pudessem
compartilhar problemas e soluções, constituição de
conselhos locais nos CAPS e registro dos encontros e
da prestação de contas realizados nos serviços. As ofi cinas propuseram também estimular a realização
de passagem de plantão entre as equipes do dia e da
noite, questionar o paradigma que sustenta o trabalho
da noite, averiguar a coerência entre as equipes diurna
e noturna acerca dos critérios de indicação do leito-
noite e a possibilidade de a equipe noturna participar
das reuniões de equipe e ter suas questões conside-
radas. Práticas de grupo Enfatizou-se a necessidade de capacitações
de qualidade com critérios transparentes de ingresso
quando fi nanciadas pelo poder público, de fl exibilidade
da gestão para a participação dos trabalhadores nos
processos de formação permanente e de apoio para que
os profi ssionais também possam tornar-se formadores,
transmitindo sua experiência. Sobre a relação do CAPS com a rede, as ofi cinas ainda
propuseram que os serviços conhecessem as concepções
que as UBS possuem do trabalho dos CAPS, fi zessem
o mapeamento do percurso do usuário pela rede até
chegar ao CAPS, adequassem os CAPS à Portaria 336a
(que regulamenta os CAPS) e melhorassem a qualidade
da alimentação oferecida aos usuários. a Ministério da Saúde. Legislação em saúde mental. 2. ed. Brasília; 2002. CONSIDERAÇÕES FINAIS E RECOMENDAÇÕES 1):16-22 •
urge expandir tanto os cursos de especialização
como redefi nir os planos curriculares de várias
profi ssões da saúde; •
urge expandir tanto os cursos de especialização
como redefi nir os planos curriculares de várias
profi ssões da saúde; diferença, ao reconhecimento da expertise de vida e não
somente da academia ou da gestão de serviços. A inovação metodológica do estudo está na utilização
da abordagem narrativa para o tratamento do material
produzido pelos grupos focais, assim como no posterior
manuseio participativo destes textos: com a extração
dos núcleos argumentais e sua transformação, nas
ofi cinas, em indicadores e analisadores. Essas inova-
ções foram provocadas pelo interesse dos pesquisa-
dores5 em produzir intervenções dialógicas e também
pelo próprio objeto de pesquisa, pois ainda há pouca
literatura a respeito das “caixas-pretas” dos processos
de trabalho nos CAPS. •
é importante defi nir planos de cargos e salários,
processos seletivos e normas de estabilidade que
permitam qualifi car e retomar a necessária isonomia
no trabalho nos CAPS; •
a formação continuada dos profi ssionais dos CAPS
deveria ser estimulada. Em relação a isso, as super-
visões clínico-institucionais são escassas e existe o
risco de transformar-se em espaço de “saber-poder”
que opera sobre as equipes, com total descolamento
da gestão local; A exploração das narrativas propiciou o aparecimento
de histórias “não-ainda-narradas”.15 Com esta escolha,
pretendíamos não somente contar uma história única e
cronologicamente arranjada, mas, sobretudo, compre-
ender os processos de trabalho e as trocas que acon-
tecem no cotidiano dos CAPS. •
o estímulo e o reforço à gestão democrática e à
formação de gestores também devem ser consi-
derados: ao gestor local cabe, afi nal, a gestão da
clínica do CAPS, de suas relações com a rede de
saúde como um todo e da própria equipe multipro-
fi ssional; Percebemos que, apesar das divergências discursivas,
os trabalhadores puderam identifi car muitos problemas
comuns e necessidade de estratégias conjuntas para seu
enfrentamento. Há atualmente um fórum de trabalha-
dores de CAPS constituindo-se em Campinas, o que
será uma inovação para o processo de trabalho em
saúde mental, para a qual nossa pesquisa contribuiu. Diz Gadamer5 que, quando se logra compreender,
compreende-se sempre de maneira diferente, por isso
produtiva. CONSIDERAÇÕES FINAIS E RECOMENDAÇÕES •
os usuários e familiares deveriam contar com mais
informações viabilizadas pelos serviços públicos
de saúde em relação às doenças, aos tratamentos
e às medicações, fortalecendo sua participação e
autonomia; •
é importante debater a temática da porta de entrada
dos CAPS e de sua inserção no território. Familiares
e usuários destacam a importância dos serviços
serem plásticos e adaptados às suas possibili-
dades, possibilitando atender urgências: horários
das reuniões, atenção à crise em domicílio, por
exemplo; Classicamente se afi rma que a pesquisa qualitativa não
produz explicações, senão interpretações que ampliam
nossa compreensão do objeto em estudo. Suas possíveis
generalizações não se colocam ao nível da empiria, mas
ao teórico-conceitual. Nesse sentido, esperamos que os
consensos sobre o que sejam analisadores, indicadores
e parâmetros para uma rede de CAPS III possam ser de
utilidade para outros pesquisadores e para os próprios
gestores do SUS em suas esferas local e federal. •
os CAPS fazem parte de uma política efi caz de
saúde mental voltada para os pacientes psicóticos
e neuróticos muito graves que tenham ou não
atravessado pela experiência de ser asilado. Esta
política deve ser ampliada e sustentada garantindo
sua viabilidade em termos de recursos, capacitação
e contratações; Nosso estudo de uma rede municipal de CAPS III
permanece inédito, pela instalação recente desses
serviços no Brasil e por não termos serviços seme-
lhantes na bibliografi a internacional, nem ainda outros
estudos publicados no contexto brasileiro. A proposta
que os CAPS III assumem de tratar a crise longe do
hospital psiquiátrico é interesse de outros sistemas
nacionais de saúde que estejam preocupados com a
melhora da assistência à saúde mental. •
é necessário o desenho de uma política pública
voltada para outros problemas prevalentes de saúde
mental, como caracterizam as crises subjetivas de
outra ordem: violência, somatizações, depressão,
drogadicção dentre outros, de maneira a defi nir os
papéis e os perfi s das várias instâncias envolvidas
na assistência à saúde mental. Em nossa pesquisa, os CAPS mostraram-se um campo
rico em práticas e sistematizações que indicam avanços
consolidados para a organização do serviço. A inclusão
de trabalhadores, familiares e usuários tanto nos grupos
focais como nas ofi cinas potencializou os dispositivos
da pesquisa participativa e outorgou ao material nelas
produzido uma ênfase na diversidade, ao respeito pela Evidentemente, a compreensão que pudemos obter
apresenta marcas características da rede de saúde
mental de Campinas, de sua formação histórica e social. CONSIDERAÇÕES FINAIS E RECOMENDAÇÕES Os participantes avaliaram como fontes de sofrimento:
contato com a loucura e com as carências sociais
dos usuários, grande demanda, falta de recursos,
difi culdades de diálogo com a rede básica, falta de
discriminação entre os espaços abertos aos usuários
e aqueles privativos aos trabalhadores e, difi culdades
de relacionamento na equipe em relação à hierarquia
institucional, principalmente para os profi ssionais de
enfermagem de nível médio. Em Campinas, a expansão da rede de CAPS ocorreu
em virtude do esforço e da coragem de gestores e traba-
lhadores em suas mais variadas formações produzindo:
reabilitação, acompanhamento em meio comunitário,
favorecimento da autonomia e efetiva superação do
modelo centrado no hospital psiquiátrico. Esse efeito
das políticas públicas de saúde mental não pode ser
menosprezado na discussão sobre recursos. As fragilidades observadas na rede de saúde mental de
Campinas apontam a necessidade de oferecer elementos
normativos que viabilizem a extensão da assistência
noturna e de fi m de semana à equipe multiprofi ssional
como um todo. A sua falta coloca os CAPS III em
risco de repetirem a fragmentação dia/noite, velha e
desagradável conhecida do hospital psiquiátrico. Em
Campinas, o fato de os médicos estarem de plantão à
distância (SAMU) é, por um lado, fonte de retaguarda
para a rede como um todo e, por outro, fonte de intenso
estresse quando se trata de pacientes não conhecidos
pelas equipes ou com potenciais problemas clínicos
não psiquiátricos associados. A organização dos plantões noturnos e de fins de
semana foi relatada como maior fonte angústia, pois
os profi ssionais permanecem em contato direto com os
pacientes em crise por períodos prolongados, tomando
sozinhos decisões importantes sobre os casos. Várias
doenças (hipertensão, depressão, entre outras) foram
associadas a somatizações do sofrimento pelo/no
trabalho. As passagens de plantões, reuniões de equipe
e supervisões foram referidas com formas de auxiliar a
lidar com o sofrimento. Indicou-se como parâmetro avaliativo a percentagem de
trabalhadores envolvidos com algum tipo de formação
profi ssional, bem como daqueles que recebem subsídios
da instituição para tal. Algumas recomendações podem ser formuladas a partir
dos achados de nossa investigação e as oferecemos
como subsidio para a necessária e permanente refor-
mulação das políticas públicas da área: Dentre os aspectos propostos para serem levados em
conta na avaliação do serviço, houve participantes 21 Rev Saúde Pública 2009;43(Supl. CONSIDERAÇÕES FINAIS E RECOMENDAÇÕES Contudo, nossa abordagem avaliativa, inspirada nas
avaliações de quarta geração,6 permitiu-nos apreender
as práticas dos CAPS na sua complexidade, compostas Avaliação da rede de CAPS
Onocko Campos R et al 22 vieses caberia falar de limites de nossa investigação,
limites dados pela metodologia que priorizou a compre-
ensão à descrição objetiva, e a produção de consensos
participativos à produção de verdades neutras. pelas várias opiniões e versões nas quais o que se coloca
não é qual é a verdadeira, senão que, sendo todas verda-
deiras elas exprimem um posicionamento singular no
campo histórico-social. Assim, mais do que de possíveis )
Apresentado no II Seminário Internacional de Pesquisa de Serviços de Saúde Mental, realizado em Campinas, SP, em 2007.
Artigo submetido ao processo de julgamento por pares adotado para qualquer outro manuscrito submetido a este periódico,
com anonimato garantido entre autores e revisores. Editores e revisores declaram não haver confl ito de interesses que
pudesse afetar o processo de julgamento do artigo.
Os autores declaram não haver conflito de interesses REFERÊNCIAS 9. Morgan DL. Focus groups as qualitative research. Thousand Oaks: Sage; 1997. 1. Delgado PG, Gomes MPC, Coutinho ESF. Novos rumos
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311X2001000300001 10. Onocko Campos R. Clínica: a palavra negada: sobre
as práticas clínicas nos serviços substitutivos de saúde
mental. Saude Debate. 2001;25(58):98-111. 2. Furtado JP. Um método construtivista para a avaliação
em saúde. Cienc Saude Coletiva. 2001;6(1):165-82. DOI: 10.1590/S1413-81232001000100014 11. Onocko Campos R. La gestion: espace
d’interevention, d’analyse et de especifi cités
techniques. Rev Prat Cah Med Utop. 2003;2(1):139-
54. 3. Furtado JP, Onocko Campos R. A transposição das
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novos serviços. Rev Latinoam Psicopatol Fundam. 2005;8(1):109-22. 12. Onocko Campos R. O planejamento no labirinto: uma
viagem hermenêutica. São Paulo: Hucitec; 2003. 4. Furtado JP. Avaliação para o conhecimento e a
transformação. In: Bosi ML, Mercado F. Avaliação
qualitativa em saúde. Rio de Janeiro: Vozes; 2006. p.191-206. 13. Onocko Campos R. O encontro trabalhador-usuário
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psicanalítica ao tema do sujeito na saúde coletiva. Cien Saude Coletiva. 2005;10(3):573-83. DOI:
10.1590/S1413-81232005000300015 13. Onocko Campos R. O encontro trabalhador-usuário
na atenção à saúde: uma contribuição da narrativa
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de uma hermenêutica fi losófi ca. Petrópolis: Vozes;
1997. 14. Patton MQ. Utilization-focused evaluation. Beverly
Hills: Sage; 1997. 14. Patton MQ. Utilization-focused evaluation. Beverly
Hills: Sage; 1997. 6. Guba EG, Lincoln YS. Fourth generation evaluation. Newbury Park: Sage; 1989. 15. Ricoeur P. Interpretação e ideologias. Rio de Janeiro:
Francisco Alves; 1990. 15. Ricoeur P. Interpretação e ideologias. Rio de Janeiro:
Francisco Alves; 1990. 7. Kaës R. Realidade psíquica e sofrimento nas
instituições. In: Kaës R, Bleger J, Enriquez E, Fornani
F, Fustier P. A instituição e as instituições. São Paulo:
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Admin. 2000;1(12):55-65. 8. Marazina I. Trabalhador da saúde mental: encruzilhada
da loucura. SaudeLoucura. 1991;1(1):69-74. Apresentado no II Seminário Internacional de Pesquisa de Serviços de Saúde Mental, realizado em Campinas, SP, em 2007. Pesquisa fi nanciada pelo Ministério da Saúde e Conselho Nacional de Desenvolvimento Científi co e Tecnológico (CNPq –
Proc. nº 554426/2005-6).
Apresentado no II Seminário Internacional de Pesquisa de Serviços de Saúde Mental, realizado em Campinas, SP, em 2007.
Artigo submetido ao processo de julgamento por pares adotado para qualquer outro manuscrito submetido a este periódico,
com anonimato garantido entre autores e revisores. Editores e revisores declaram não haver confl ito de interesses que
pudesse afetar o processo de julgamento do artigo.
Os autores declaram não haver confl ito de interesses Pesquisa fi nanciada pelo Ministério da Saúde e Conselho Nacional de Desenvolvimento Científi co e Tecnológico (CNPq –
Proc. nº 554426/2005-6). REFERÊNCIAS Artigo submetido ao processo de julgamento por pares adotado para qualquer outro manuscrito submetido a este periódico,
com anonimato garantido entre autores e revisores. Editores e revisores declaram não haver confl ito de interesses que
pudesse afetar o processo de julgamento do artigo. O
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Using elastography-based multilayer perceptron model to evaluate renal fibrosis in chronic kidney disease
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Table S1. Etiology of CKD Table S1. Etiology of CKD Table S1. Etiology of CKD
Diagnosis
Number
IgA nephropathy
Membranous nephropathy
Minimal change nephropathy
Mesangial proliferative glomerulonephritis
Lupus nephritis
Focal segmental glomerular sclerosis
Diabetic nephropathy
Others
Unknowns
72 (44.4%)
34 (21.0%)
16 (9.9%)
9 (5.6%)
9 (5.6%)
8 (4.9%)
6 (3.7%)
5 (3.0%)
3 (1.9%)
Notes: Categorical variables are presented as n (%). Abbreviations: CKD, chronic kidney disease. Table S2. The Network Information of MLP model
Layer
Parameter
Variable
Input Layer
Factors
Sex
Diabetes
Hypertension
Cardiovascular Disease
Covariates
Age
BMI
eGFR
BUN
Serum creatinine
Serum uric acid
Serum albumin
UACR
Renal length
Renal parenchyma thickness
RI
SWE value
Number of Unitsa
20
Rescaling Method for Covariates
Standardized Table S2. The Network Information of MLP model Number of Unitsa
Rescaling Method for Covariates Hidden Layer(s)
Number of Hidden Layers
1
Number of Units in Hidden Layer 1a
4
Activation Function
Hyperbolic tangent
Output Layer
Dependent Variables
Moderate-severe renal fibrosis
Number of Units
2
Activation Function
SoftMax
Error Function
Cross-entropy
Note: a. Excluding the bias unit. Abbreviations: MLP, multilayer perceptron; BMI, body mass index; eGFR, estimated glomerular
filtration rate; BUN, blood urea nitrogen; UACR, urinary albumin creatinine ratio; RI, resistive
index; SWE, shear wave elastography. Table S3. Diagnostic performance of the ensemble models
Index
Training cohort
Test cohort
AUC
(95% CI)
Sensitivity
(95% CI)
Specificity
(95% CI)
Accuracy
(95% CI)
AUC
(95% CI)
Sensitivity
(95% CI)
Specificity
(95% CI)
Accura
(95% C
XGBoost 0.97 (0.94-0.99)
0.94
0.93
0.92
0.77 (0.63-0.91)
0.71
0.88
0.71
Random
Forest
1.00 (1.00-1.00)
1.00
1.00
0.98
0.78 (0.64-0.91)
0.71
0.83
0.73
Abbreviations: XGBoost, eXtreme Gradient Boosting; AUC, area under the curve; CI,
confidence level. Hidden Layer(s) Table S3. Diagnostic performance of the ensemble models
Index
Training cohort
Test cohort
AUC
(95% CI)
Sensitivity
(95% CI)
Specificity
(95% CI)
Accuracy
(95% CI)
AUC
(95% CI)
Sensitivity
(95% CI)
Specificity
(95% CI)
Accuracy
(95% CI)
XGBoost 0.97 (0.94-0.99)
0.94
0.93
0.92
0.77 (0.63-0.91)
0.71
0.88
0.71
Random
Forest
1.00 (1.00-1.00)
1.00
1.00
0.98
0.78 (0.64-0.91)
0.71
0.83
0.73
Abbreviations: XGBoost, eXtreme Gradient Boosting; AUC, area under the curve; CI,
confidence level. Table S3. Diagnostic performance of the ensemble models Figure S1. ROC curves of the ensemble models Figure S1. ROC curves of the ensemble models
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О тибетском и монгольском ксилографических изданиях «Повести о Лунной кукушке» (по материалам Национального музея Тувы и архива КалмНЦ РАН)
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Novye issledovaniâ Tuvy
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О тибетском и монгольском ксилографических изданиях
«Повести о Лунной кукушке» (по материалам
Национального музея Тувы и архива КалмНЦ РАН)* Деляш Н. Музраева
Калмыцкий научный центр Российской академии наук, Российская Федерация, Деляш Н. Музраева
Калмыцкий научный центр Российской академии наук, Российская Федерация,
Рита П. Сумба
Национальный музей им. Алдан-Маадыр Республики Тыва, Российская Федерация Рита П. Сумба
Национальный музей им. Алдан-Маадыр Республики Тыва, Российская Федерация В статье описывается один из буддийских текстов, имеющих фабульную основу, полу
чивший широкое распространение в среде монголов, бурят, калмыков, известный также
тувинцам. Это хорошо известное в монголоведении сочинение с кратким названием «По
весть о Лунной кукушке» (1737). О том, что этот памятник был известен тувинским
буддистам, свидетельствует ксилографическое издание этого сочинения на тибетском
языке, хранящееся ныне в фондах Национального музея им. Алдан-Маадыр Республики
Тыва. Тибетский ксилограф из музея Тувы озаглавлен «Повесть о птице, преисполненной мыс
лью о достижении просветления, прозванной Лунная кукушка с голубой шеей, известная
под названием „Украшение слуха тех, кто познал, что все предметы материального
мира не имеют сущности“» (тиб. Byang chub kyi sems mnga' ba'i bya mgrin sngon zla ba
rtogs pa brjod pa 'khor ba mtha' dag la snying po med par mthong ba rnams kyi rna rgyan
ces bya ba bzhugs so). Ксилографическое издание на монгольском языке из архива КалмНЦ
РАН имеет название «Повесть о птице-бодхисаттве по имени Лунная кукушка с голу
бой шеей, именуемая «Украшением слуха познавших, что материальный мир не имеет
сущности» (монг. Bodi sedkil tegüsügsen köke qoγolai-tu Saran kökege neretü sibaγun-u tuγuǰi
orčilang-un bükün-i ǰirüken ügei kemen medegčid-üп čikin-ü čimeg). Дается описание ксилографического издания в Туве в сопоставлении с текстом мон
гольского перевода по ксилографу из фондов КалмНЦ РАН. Ключевые слова: буддизм; письменный источник; буддийская литература; Тува; Кал
мыкия; музей; архив; ксилографы; Повесть о Лунной кукушке; тибетский язык; монголь
ский язык * Исследование проведено в рамках государственной субсидии — проект «Устное и письменное наследие монгольских народов
России, Монголии и Китая: трансграничные традиции и взаимодействия» (регистрационный номер АААА-А19-119011490036-1). THE NEW RESEARCH OF TUVA THE NEW RESEARCH OF TUVA www.nit.tuva.asia Novye issledovaniia Tuvy For citation: For citation:
Muzraeva D. N. and Sumba R. P. ‘The Tale of the Moon Cuckoo’: Tibetan- and Mongolian-language xylographic editions revisited
(a case study of materials stored in the National Museum of the Tuva Republic and the Archive of Kalmyk Scientific Center of the
RAS). The New Research of Tuva. 2019, № 4. URL: https://nit.tuva.asia/nit/article/view/886 (access date ...). DOI: 10.25178/
nit.2019.4.8 Для цитирования: Музраева Д. Н., Сумба Р. П. О тибетском и монгольском ксилографических изданиях «Повести о Лунной кукуш
ке» (по материалам Национального музея Тувы и архива КалмНЦ РАН) [Электронный ресурс] // Новые исследо
вания Тувы. 2019, № 4. URL: https://nit.tuva.asia/nit/article/view/886 (дата обращения: дд.мм.гг.). DOI: 10.25178/
nit.2019.4.8 Музраева Деляш Николаевна — кандидат филологических наук, доцент, ведущий научный сотрудник, заведую
щий отделом монгольской филологии, Калмыцкий научный центр Российской академии наук. Адрес: 358000, Рос
сия, г. Элиста, ул. И. К. Илишкина, д. 8. Тел.: +7 (917) 680-80-21. Эл. адрес: deliash@mail.ru
ORCID ID: 0000-0002-8619-9369 Сумба Рита Петровна — научный сотрудник отделa культуры, искусства и религии Национального музея им. Алдан-Маадыр
Республики Тыва. Адрес: 667000, Россия, г. Кызыл, ул. Титова, д. 30. Тел.: +7 (923) 384-32-91. Эл. адрес: risu1232001@yahoo.de
ORCID ID: 0000-0002-6296-2809 Muzraeva Delyash Nikolaevna, Candidate of Philology, Leading Research Associate, Head of Department of Mongolian Philology,
Kalmyk Scientific Center of the Russian Academy of Sciences. Postal address: 8 Ilishkin St., 358000 Elista, Russian Federation. Tel.:
+7 (917) 680-80-21. E-mail: deliash@mail.ru Muzraeva Delyash Nikolaevna, Candidate of Philology, Leading Research Associate, Head of Department of Mongolian Philology,
Kalmyk Scientific Center of the Russian Academy of Sciences. Postal address: 8 Ilishkin St., 358000 Elista, Russian Federation. Tel.:
+7 (917) 680-80-21. E-mail: deliash@mail.ru (
)
@
Sumba Rita Petrovna, Research Associate, Department of Culture, Science and Religion, Aldan Maadyr National Museum of the Tuva
Republic. Postal address: 30 Titov St., 667000 Kyzyl, Russian Federation. Tel.: +7 (923) 384-32-91. E-mail: risu1232001@yahoo.de (
)
Sumba Rita Petrovna, Research Associate, Department of Culture, Science and Religion, Aldan Maadyr National Museum of the Tuva
Republic. Postal address: 30 Titov St., 667000 Kyzyl, Russian Federation. Tel.: +7 (923) 384-32-91. E-mail: risu1232001@yahoo.de 99 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ
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№4 THE NEW RESEARCH OF TUVA НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ Novye issledovaniia Tuvy www.nit.tuva.asia ‘The Tale of the Moon Cuckoo’:
Tibetan- and Mongolian-language xylographic editions revisited
(a case study of materials stored in the National Museum of the Tuva
Republic and the Archive of Kalmyk Scientific Center of the RAS)* Delyash N. Muzraeva
Kalmyk Scientific Center of the Russian Academy of Sciences, Russian Federation,
Rita P. Sumba
Aldan-Maadyr National Museum of the Tuva Republic, Russian Federation The article describes one Buddhist text with a plot basis widely spread among the Mongols, Buryats, Kalmyks, and also known
to the Tuvans. This composition is the well-known essay ‘The Tale of the Moon Cuckoo’. The fact that this monument was known
to Tuvan Buddhists is indicated by a Tibetan-language xylographic edition of this work (code 3-96 // 3676/378) stored in the
Aldan Maadyr National Museum of the Tuva Republic. y
f
The mentioned Tibetan-language xylograph is titled ‘The Tale of the Bird Aspiring after Enlightenment, Nicknamed the Blue-
Necked Moon Cuckoo, and Known as ‘Delight to the Hearing of Those Who Have Conceived That All Objects of the Material
World Have No Essence’ (Tib. Byang chub kyi sems mnga' ba'i bya mgrin sngon zla ba rtogs pa brjod pa 'khor ba mtha' dag la
snying po med par mthong ba rnams kyi rna rgyan ces bya ba bzhugs so). The Mongolian-language xylographic edition from
the Archive of the Kalmyk Scientific Center of the Russian Academy of Sciences bears the title ‘The Tale of the Bird-Bodhisattva
Named the Blue-Necked Moon Cuckoo, Entitled ‘Delight to the Hearing of Those Who Have Conceived That the Material World
Has No Essence” (Mong. Bodi sedkil tegüsügsen köke qoγolai-tu Saran kökege neretü sibaγun-u tuγuǰi orčilang-un bükün-i
ǰirüken ügei kemen medegčid-üп čikin-ü čimeg). ǰ
g
g
g)
The paper provides a description of the Tuva-based woodblock publication and compares it with the Mongolian-language
translation according to the xylograph from Kalmyk Scientific Center of the RAS. Keywords: Buddhism; written sources; Buddhist literature; Tuva; Kalmykia; museum; archive; xylographs; Tale of the Moon
Cuckoo; Tibetan language; Mongolian language * The reported study was funded by government subsidy — project name ‘Oral and Written Heritage of the Mongolic Peoples of Russia,
Mongolia and China: Cross-Border Traditions and Interactions’ (registration number AAAA-A19-119011490036-1). For citation:
Muzraeva D. N. and Sumba R. P. ‘The Tale of the Moon Cuckoo’: Tibetan- and Mongolian-language xylographic editions revisited
(a case study of materials stored in the National Museum of the Tuva Republic and the Archive of Kalmyk Scientific Center of the
RAS). The New Research of Tuva. 2019, № 4. URL: https://nit.tuva.asia/nit/article/view/886 (access date ...). DOI: 10.25178/
nit.2019.4.8 1 Геша Вангьял (тиб. ngag dbang dbang rgyal) — известный калмыцкий буддийский монах. В 1923–1935 гг. по рекомендации
Агвана Доржиева — наставника и доверенного лица Далай-ламы XIII, был направлен в Тибет и проходил обучение в монастыре
Дрепунг Гоманг в Лхасе, являющемся одним из трех главных монастырей школы Гелуг, где спустя два года защитил степень
геше. В 1955 г. был вынужден уехать в США, где в 1958 г. основал буддийский монастырь, в котором прослужил вплоть до
своей кончины. Геше Вангьял — автор ряда переводов буддийских сочинений; среди его учеников известные буддологи —
Р. Турман, Дж. Хопкинс и др.
2 Дагпу Лобсан-Данби-Джалцан (тиб. stag-phu-ba blo-bzang bstan-pa’i rgyal-mtshan) — один из наиболее известных тибетских
воплощенных лам линии преемственности Дагпу; упоминания о нем в сочинениях современников, цитирование «Повес
ти …» в трудах более поздних тибетских и монгольских авторов свидетельствуют о нем как о незаурядной личности, весьма
просвещенном буддийском деятеле средневековья (Повесть о Лунной кукушке, 2004: 18–22).
3 В тибетской традиции принята классификация, согласно которой различают «внешнюю» биографию (тиб. phyi'i rnam thar), а
также «внутреннюю» (тиб. nang gi rnam thar) и «тайную» (тиб. gsang ba'i rnam thar) (Востриков, 1962: 112).
4 гуши (от кит. го ши ʻгосударственный наставникʼ — высший титул, который мог получить лама во времена маньчжурской
династии Цин (1644–1912) в Китае). Монголы стали использовать форму «гуши» или «дайгуши» в качестве почетного
именования переводчика буддийских текстов (см.: Успенский, 2011: 107–109).
5 О нем см. Успенский, 2011: 17, 105–107 и др. Введение Культуре народов России, традиционно исповедующих буддизм (калмыков, бурят, тувинцев), при
сущи общие черты, затрагивающие не только ритуальную сторону религиозных обрядов, повседнев
ную литургическую службу в буддийских храмах, но и систему религиозного образования, а также
проповедническую деятельность буддийских священнослужителей, заботившихся о популяризации
своего учения среди мирян. В последнем из указанных видов деятельности буддийского духовенства
важная роль отводилась письменным источникам. Изучение состава и содержания религиозных
текстов, имевших хождение в ламской среде, сохранившихся к началу XXI в. и хранящихся ныне в
книжных фондах Калмыкии и Тувы (Бичелдей, 2011; Мирзаева, 2018; Мирзаева, Тувшинтугс, 2019;
Музраева, 2018; Музраева, Сумба, 2019: Электр. ресурс; Сумба, 2019: Электр. ресурс; см. также обзор
Bakaeva, 2014), будет способствовать выявлению общего корпуса текстов, приемов проповеднической
деятельности, а также постановки учебного дела при буддийских монастырях. При этом необходимо дать описание образцов текстов, имеющих фабульную основу, получивших
широкое распространение у монголов, бурят, калмыков, известные тувинцам. Одним из таких сочи 100 THE NEW RESEARCH OF TUVA
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нений является хорошо известное в монголоведении под кратким названием сочинение «Повесть о
Лунной кукушке». Один из образцов монгольской версии (Bodi sedkil) в настоящее время хранится в
Научном архиве Калмыцкого научного центра РАН (далее — КалмНЦ РАН). В фондах Национального
музея Республики Тыва имеется тибетский ксилограф «Повести…», изданный в тибетском монастыре
Дрепунг (Byang chub). Перевод на русский язык монгольской версии был осуществлен в 2004 г. (Повесть
о Лунной кукушке, 2004). О тибетской версии в отечественной востоковедческой литературе имеется
не так много сведений. В данной публикации предполагается дать описание известных изданий текста
этого памятника. THE NEW RESEARCH OF TUVA
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№4 THE NEW RESEARCH OF TUVA Novye issledovaniia Tuvy нений является хорошо известное в монголоведении под кратким названием сочинение «Повесть о
Лунной кукушке». Один из образцов монгольской версии (Bodi sedkil) в настоящее время хранится в
Научном архиве Калмыцкого научного центра РАН (далее — КалмНЦ РАН). В фондах Национального
музея Республики Тыва имеется тибетский ксилограф «Повести…», изданный в тибетском монастыре
Дрепунг (Byang chub). Перевод на русский язык монгольской версии был осуществлен в 2004 г. (Повесть
о Лунной кукушке, 2004). О тибетской версии в отечественной востоковедческой литературе имеется
не так много сведений. В данной публикации предполагается дать описание известных изданий текста
этого памятника. Введение В данной статье впервые дается описание ксилографического издания памятника «Повесть о Лун
ной кукушке» на тибетском языке, сохранившегося в Туве, в сопоставлении с текстом монгольского
перевода по ксилографу из фондов КалмНЦ РАН, а также с английским переводом Геше Вангьяла1
(1901–1983). Подобная публикация позволит популяризировать интереснейший памятник, имеющий
более чем двухсотлетнюю историю, хорошо известный в буддийском мире, в востоковедческих кругах,
будет способствовать дальнейшему его изучению, подготовке сводного текста тибетского оригинала и
его переводов. Источниковой базой послужили тибетское ксилографическое издание Byang chub kyi sems mnga’ ba’i
bya mgrin sngon zla ba ’i rtogs pa brjod pa ’khor ba mtha’ dag snying po med par mthong ba rnams kyi rna rgyan
zhes bya ba bzhungs so (‘Повесть о птице, преисполненной мыслью о достижении просветления, по имени
Лунная кукушка с голубой шеей, именуемая «Украшением слуха тех, кто познал, что все предметы
сансары не имеют сущности»’) (шифр 3–96 // 3676/378. 133 л., размер листов 54,5х8,5 см, размер текста
49,5х8 см), хранящееся в фонде Национального музея Республики Тыва (Byang chub), а также бурятский
ксилограф на монгольском языке Bodi sedkil tegüsügsen kökе qoγolai-tu Saran kökege neretü sibaγun-u
tuγuǰi orčilang-un bükün-i ǰirüken ügei kemen medegčid-ün čikin-ü čimeg kemekü orusiba (‘Повесть о птице-
бодхисаттве по имени Лунная кукушка с голубой шеей, именуемая «Украшение слуха познавших, что
материальный мир не имеет сущности»’) (шифр Ф–8 (Фонд редких рукописей), опись 1, ед. хр. 194) из
Научного архива КалмНЦ РАН (Bodi sedkil). Сведения из колофонов об авторе и переводчике Автором данного сочинения является Дагпу Лобсан-Данби-Джалцан2 (1714–1762). Согласно коло
фону, сочинение, представляющее собой его «тайную» биографию3, было записано по просьбе его
учеников. Год его создания — 1737. Отметим, что обращение к текстам данного памятника позволяет сфокусировать внимание на при
роде особых способностей, которыми были наделены буддийские адепты и которые они применяли в
практике медитации с целью совершенствования интеллектуального потенциала. На монгольский язык это сочинение было переведено в 1780 г. известным литератором XVIII в. Дай
гуши4 Агвандампилом (Агванданпэлом) (1700–1780) (Повесть о Лунной кукушке, 2004: 28–33). Монгольский перевод был осуществлен по повелению одного из влиятельных лам Внутренней
Монголии Джанджа-хутухты Ролби-Дордже (Рольбий-Дорчжэ) (1717–1786)5 — одного из самых
известных представителей линии перерождений в школе Гелуг во Внутренней Монголии. Именно 101 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ
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под руководством Джанджа Ролби-Дордже в период с 1742 г. по 1749 г. велась работа по переводу на
монгольский язык и изданию второй части буддийского канона Данджура (Монголын уран зохиолын
тойм, 1977: 385–386; Цэрэнсодном, 1987: 314–316). Примечательно, что столь крупномасштабное
мероприятие Ролби-Дордже счел необходимым предварить составлением тибетско-монгольского тер
минологического словаря «Источник мудрецов» (крат. тиб. Dag yig mkhas pa'i 'byung gnas; монг. Merged
γarqu-yin oron) (Монголын уран зохиолын тойм, 1976: 385). В этой работе также принимал участие Дай
гуши Агвандампил (там же: 385–386). THE NEW RESEARCH OF TUVA под руководством Джанджа Ролби-Дордже в период с 1742 г. по 1749 г. велась работа по переводу на
монгольский язык и изданию второй части буддийского канона Данджура (Монголын уран зохиолын
тойм, 1977: 385–386; Цэрэнсодном, 1987: 314–316). Примечательно, что столь крупномасштабное
мероприятие Ролби-Дордже счел необходимым предварить составлением тибетско-монгольского тер
минологического словаря «Источник мудрецов» (крат. тиб. Dag yig mkhas pa'i 'byung gnas; монг. Merged
γarqu-yin oron) (Монголын уран зохиолын тойм, 1976: 385). В этой работе также принимал участие Дай
гуши Агвандампил (там же: 385–386). под руководством Джанджа Ролби-Дордже в период с 1742 г. по 1749 г. велась работа по переводу на
монгольский язык и изданию второй части буддийского канона Данджура (Монголын уран зохиолын
тойм, 1977: 385–386; Цэрэнсодном, 1987: 314–316). Примечательно, что столь крупномасштабное
мероприятие Ролби-Дордже счел необходимым предварить составлением тибетско-монгольского тер
минологического словаря «Источник мудрецов» (крат. тиб. Dag yig mkhas pa'i 'byung gnas; монг. Merged
γarqu-yin oron) (Монголын уран зохиолын тойм, 1976: 385). В этой работе также принимал участие Дай
гуши Агвандампил (там же: 385–386). Из истории изучения памятника Многие вопросы изучения рассматриваемого памятника были освещены в зарубежной и оте
чественной востоковедной литературе (Tibetische Handschriften und Blockdrucke, 1981; Повесть о Лун
ной кукушке, 2004 и мн. др.). Описание двух ксилографов хотелось бы дополнить сведениями о китайских изданиях с аналогичным
названием. Речь идет о сочинении известного литератора Внутренней Монголии В. Инжинаша
(1837–1892), известном под названием «Шастра лунной кукушки» (монг. Saran kököge-yin šastir). Как
пишет известный монголовед Л. Г. Скородумова, в этом романе, созданном в 1854 г., повествуется о
детских и юношеских годах главного героя по имени Пу юй (Уюй), наследника состоятельного рода,
которые прошли в богатом аристократическом китайском доме (Скородумова, 2017: 84). В сочинении
описываются игры, романтические взаимоотношения главного героя с тремя сестрами и другими
родственницами. При этом исследовательница отмечает, что у Инжинаша нет никакой религиозной
подоплеки. Совпадение же в названиях («Лунная кукушка») было вызвано тем, что в Южной Монголии
хорошо был известен сюжет буддийского повествования о Лунной кукушке (там же). История перевода тибетского памятника на монгольские языки тесно связана с деятельностью мон
гольских, калмыцких и бурятских священнослужителей. То, что калмыки вновь и вновь обращались
к этому источнику, не случайно. Здесь хотелось бы сказать несколько слов о переводе известного
калмыцкого буддийского священнослужителя Геше Вангъяла, выполненного им с тибетского на
английский язык. Факт создания перевода Геше Вангъялом хорошо известен, но мало исследований
в отечественном востоковедении, посвященных этому труду. Этот перевод, выполненный в 1950-е гг.,
вышел в свет в 1982 г. в Нью-Йорке (Geshe Wangyal, 1982). В предисловии к переводу автор пишет,
что сочинение «Принц, превратившийся в кукушку: история освобождения» (“The Prince Who Became
a Cuckoo: A Tale of Liberation”) — это не просто описание истории жизни царевича Дхармананды, а
также последующей жизни в облике кукушки, но и рассказ о том, как практиковать буддизм, используя
специальные приемы, которые практикуются Сутраяной и Тантраяной тибетского буддизма (там же:
vii). Автор перевода обращает внимание на то, что, читая эту книгу, можно ознакомиться со всеми
стадиями этой практики (там же). Геше Вангьял своим трудом перенес на американскую почву традицию передачи классического
тибетского текста, излагающего основные постулаты буддийского учения в XX в., тем самым сохранил
и создал условия для его популяризации в Америке и Европе. Краткое содержание текста «Повести…» В «Повести …» дается описание видений и снов, которые являлись автору — Дагпу Лобсан-Дан
би-Джалцану, начиная с детского возраста. Из этих фрагментарных эпизодов, записанных и выстро
енных последовательно, сложилось повествование, в котором описывались события одного из пред
шествовавших перерождений тибетского автора. Сочинение с подобной занимательной фабулой не
могло не найти отклика со стороны читателей и слушателей. Первыми были ученики, по просьбе
которых и была записана история индийского царевича, в которого в одной из прошлых жизней во
площался Дагпу. В повести главным действующим лицом является индийский царевич Дхармананда (тиб. chos kyi dga'
ba; монг. Nom-un bayasqulang ʻРадость ученияʼ), который обучившись практике «переноса сознания»,
сумел превратиться в кукушку (букв. «войти в тело» кукушки). В силу козней приближенного сановника,
он не смог обернуться вновь человеком и последний отрезок жизни оставался кукушкой. Будучи в
облике птицы, сумел внять наставлениям божеств, которые являлись к нему в образе людей и животных,
проникся Учением Будды и, вплоть до своей кончины, стал проповедовать его среди зверей и птиц. 102 THE NEW RESEARCH OF TUVA
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Фото 1. Титульный лист ксилографа на тибетском языке из Национального музея Тувы (шифр 3–96 // 3676/378). Photo 1. The title page of a xylograph in Tibetan from the National Museum of Tuva (code 3–96 // 3676/378). Фото 2. Лист 1б ксилографа на тибетском языке из Национального музея Тувы. Photo 2. Sheet 1b of a Tibetan xylograph from the National Museum of Tuva. THE NEW RESEARCH OF TUVA
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Фото 1. Титульный лист ксилографа на тибетском языке из Национального музея Тувы (шифр 3–96 // 3676/378). Photo 1. The title page of a xylograph in Tibetan from the National Museum of Tuva (code 3–96 // 3676/378). THE NEW RESEARCH OF TUVA
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№4 Фото 1. Титульный лист ксилографа на тибетском языке из Национального музея Тувы (шифр 3–96 // 3676/378). Photo 1. The title page of a xylograph in Tibetan from the National Museum of Tuva (code 3–96 // 3676/378). Фото 2. Лист 1б ксилографа на тибетском языке из Национального музея Тувы. Photo 2. Sheet 1b of a Tibetan xylograph from the National Museum of Tuva. Фото 2. Лист 1б ксилографа на тибетском языке из Национального музея Тувы. Photo 2. Sheet 1b of a Tibetan xylograph from the National Museum of Tuva. Фото 2. Краткое содержание текста «Повести…» I глава
Yab yum gyi rtogs pa brjod pa mdor bsdus
pa dang | 'phos shing lhums su zhugs pa'i
skabs dang pa'o
(ʻГлава первая, обобщенно повест
вующая об истории жизни отца и
матери, а также о том, как был зачатʼ)
Tere qa
quriyaγsa
terigün b
(ʻПервая
о царе и
в лоно [ц
II глава
sKu byis pa'i skabs dang chos blon gsum
nub phyogs su gshegs pa'i skabs te gnyis
pa'o
(ʻВторая глава о младенчестве, а
также об изгнании трех сановников в
западном направленииʼ)
Qan köb
γurban tü
üy-e-yin
(ʻВторая
младенч
сановни
западʼ)
III глава
sKu gzhon nu'i skabs dang | grongs 'jug
sbyangs shing yum zhi bar gshegs pa'i
skabs te gsum pa'o
(ʻТретья глава о молодых годах, об
обучении
способности
переноса
сознания (вхождения в тела умерших
существ) и о кончине материʼ)
Qan köb
tür oroqu
qaliγsan
(ʻТретья
о том, к
сознани
скончал
IV глава
Grong 'jug gi rkyen gyis bya'i lus su gyur pa
dang sprul pa'i bya dang mjal ba sogs kyi
skabs te bzhi pa'o
(ʻЧетвертая глава о том, как посред
ством
способности
вхождения
в
тела умерших существ обрел тело
птицы, а также встреча с птицей-
перерожденцем и проч.ʼ)
Kegür-tü
bey-e-tü
aγulǰaγsa
(ʻЧетвер
воначал
встречал
как с по
преврат
V глава
Bya rnams la thog mar chos gsungs pa bla
ma dri med dpal ldan las thun mong ma
yin pa'i gdam pa dang lung bstan thob pa'i
skabs te lnga pa'o
(ʻПятая глава о преподании птицам
основ
учения,
о
получении
от
ламы Дримедпала общих и особых
наставлений и пророчествʼ)
Tedeger
nomlan t
ača yerü
oluγsan ü
(ʻПятая
наставля
от ламы
Сиятель
таинств Тиб. Монг. Краткое содержание текста «Повести…» I глава
Yab yum gyi rtogs pa brjod pa mdor bsdus
pa dang | 'phos shing lhums su zhugs pa'i
skabs dang pa'o
(ʻГлава первая, обобщенно повест
вующая об истории жизни отца и
матери, а также о том, как был зачатʼ)
Tere qaγan qatun qoyar-un domoγ-i tobčilan
quriyaγsan-luγ-a kebelin-e orosiγsan üy-e-yin
terigün bölög
(ʻПервая глава, кратко повествующая историю
о царе и царице и о том периоде, когда проник
в лоно [царицы Матимахани]1ʼ)
II глава
sKu byis pa'i skabs dang chos blon gsum
nub phyogs su gshegs pa'i skabs te gnyis
pa'o
(ʻВторая глава о младенчестве, а
также об изгнании трех сановников в
западном направленииʼ)
Qan köbegün-ü nilq-a čaγ-un üy-e-lüge nom-un
γurban tüsimed kögegdeǰü örön-e ǰüg-tür oduγsan
üy-e-yin qoyaduγar bölög
(ʻВторая глава, [в которой повествуется] о
младенческих годах царевича и о том, как три
сановника были изгнаны и отправились на
западʼ)
III глава
sKu gzhon nu'i skabs dang | grongs 'jug
sbyangs shing yum zhi bar gshegs pa'i
skabs te gsum pa'o
(ʻТретья глава о молодых годах, об
обучении
способности
переноса
сознания (вхождения в тела умерших
существ) и о кончине материʼ)
Qan köbegün-ü baγ-a nasun-u üy-e-lüge kegür-
tür oroqu ubadis-i suduluγsan qoyin-a eke qatun
qaliγsan üy-e-yin γutaγar bölög
(ʻТретья глава об отроческих годах царевича,
о том, как [он] обучился практике переноса
сознания и о том, как вскоре после этого
скончалась царица-матьʼ)
IV глава
Grong 'jug gi rkyen gyis bya'i lus su gyur pa
dang sprul pa'i bya dang mjal ba sogs kyi
skabs te bzhi pa'o
(ʻЧетвертая глава о том, как посред
ством
способности
вхождения
в
тела умерших существ обрел тело
птицы, а также встреча с птицей-
перерожденцем и проч.ʼ)
Kegür-tür oroqu-yin nokočel-iyer kökege sibaγun
bey-e-tü boluγsan-u üy-e-lüge qubilγan sibaγun-a
aγulǰaγsan terigüten-ü üy-e-yin dötüger bölög
(ʻЧетвертая глава, повествующая о том пер
воначальном периоде, когда [царевич] по
встречался с птицей-хубилганом после того,
как с помощью средства переноса сознания
превратился в кукушкуʼ)
V глава
Bya rnams la thog mar chos gsungs pa bla
ma dri med dpal ldan las thun mong ma
yin pa'i gdam pa dang lung bstan thob pa'i
skabs te lnga pa'o
(ʻПятая глава о преподании птицам
основ
учения,
о
получении
от
ламы Дримедпала общих и особых
наставлений и пророчествʼ)
Tedeger kemebesü urida sibaγun-nuγud-a nom-i
nomlan tegün-ü qoyin-a Kkir ügei čoγtu blam-a-
ača yerü kiged yerü busu-yin ubadis-luγ-a bosoγ
oluγsan üy-e-yin tabduγar bölög
(ʻПятая глава, о том времени, когда [царевич]
наставлял в учении птиц, а затем получил
от ламы Хир Угэй Цогту («Непорочного
Сиятельного») наставления о пророчествах и
таинствах, обычных и чудесныхʼ)
1З
б
б (ʻТретья глава об отроческих годах царевича,
о том, как [он] обучился практике переноса
сознания и о том, как вскоре после этого
скончалась царица-матьʼ) Kegür-tür oroqu-yin nokočel-iyer kökege sibaγun
bey-e-tü boluγsan-u üy-e-lüge qubilγan sibaγun-a
aγulǰaγsan terigüten-ü üy-e-yin dötüger bölög
(ʻЧетвертая глава, повествующая о том пер
воначальном периоде, когда [царевич] по
встречался с птицей-хубилганом после того,
как с помощью средства переноса сознания
превратился в кукушкуʼ) (ʻЧетвертая глава о том, как посред
ством
способности
вхождения
в
тела умерших существ обрел тело
птицы, а также встреча с птицей-
перерожденцем и проч.ʼ) Tedeger kemebesü urida sibaγun-nuγud-a nom-i
nomlan tegün-ü qoyin-a Kkir ügei čoγtu blam-a-
ača yerü kiged yerü busu-yin ubadis-luγ-a bosoγ
oluγsan üy-e-yin tabduγar bölög
(ʻПятая глава, о том времени, когда [царевич]
наставлял в учении птиц, а затем получил
от ламы Хир Угэй Цогту («Непорочного
Сиятельного») наставления о пророчествах и
таинствах, обычных и чудесныхʼ) Tedeger kemebesü urida sibaγun-nuγud-a nom-i
nomlan tegün-ü qoyin-a Kkir ügei čoγtu blam-a-
ača yerü kiged yerü busu-yin ubadis-luγ-a bosoγ
oluγsan üy-e-yin tabduγar bölög Bya rnams la thog mar chos gsungs pa bla
ma dri med dpal ldan las thun mong ma
yin pa'i gdam pa dang lung bstan thob pa'i
skabs te lnga pa'o γ
γ
(ʻПятая глава, о том времени, когда [царевич]
наставлял в учении птиц, а затем получил
от ламы Хир Угэй Цогту («Непорочного
Сиятельного») наставления о пророчествах и
таинствах, обычных и чудесныхʼ) (ʻПятая глава о преподании птицам
основ
учения,
о
получении
от
ламы Дримедпала общих и особых
наставлений и пророчествʼ) 1 Здесь и далее в таблице в квадратных скобках мы приводим пояснения к тексту. Краткое содержание текста «Повести…» Лист 1б ксилографа на тибетском языке из Национального музея Тувы. Photo 2. Sheet 1b of a Tibetan xylograph from the National Museum of Tuva. Фото 3. Титульный лист и лист 2а ксилографа на монгольском языке из Научного архива КалмНЦ РАН
(шифр Ф–8, опись 1, ед. хр. 194). Photo 3. The title page and page 2a of the xylograph in Mongolian from the Scientific Archive of KalmSC of the RAS
(code F–8, inventory 1, unit 194). Фото 3. Титульный лист и лист 2а ксилографа на монгольском языке из Научного архива КалмНЦ РАН
(шифр Ф–8, опись 1, ед. хр. 194). Фото 3. Титульный лист и лист 2а ксилографа на монгольском языке из Научного архива КалмНЦ РАН
(шифр Ф–8, опись 1, ед. хр. 194). Photo 3. The title page and page 2a of the xylograph in Mongolian from the Scientific Archive of KalmSC of the RAS
(code F–8, inventory 1, unit 194). Photo 3. The title page and page 2a of the xylograph in Mongolian from the Scientific Archive of KalmSC of the RAS
(code F–8, inventory 1, unit 194). 103 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ
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№4 THE NEW RESEARCH OF TUVA Сопоставительный анализ тибетского и монгольского текстов Сопоставительный анализ тибетского и монгольского текстов Сопоставительный анализ текстов рукописей и ксилографов на тибетском языке, которые в нас
тоящее время хранятся в самых разных востоковедных центрах и библиотеках, показывает, что все
они идентичны и композиционно подразделяются на 9 глав. Приведем названия глав тибетского
ксилографа и сопроводим этот перечень названиями глав печатного издания на монгольском языке в
транслитерации и переводе. Тиб. 1 Здесь и далее в таблице в квадратных скобках мы приводим пояснения к тексту. Краткое содержание текста «Повести…» 104 THE
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VI глава
'Phags pa thugs rje chen po yab yum gyis
lung bstan cing dge 'dun rnams kyis shing
rtar gdan drangs pa dang rgyal bu brdzun
ma pham par mdzad cing gser bzang ma
dang slar mjal ba sogs 'thor bu sna tshogs
gyi skabs te drug pa'o
(ʻШестая глава о пророчестве Авало
китешвары и его женской ипостаси
[Тары], о водружении общиной мо
нахов на деревянную колесницу, по
беде лже-царевича, новой встрече с
Сэрсанмой и многими другимиʼ)
Qutuγ-tu yeke nigü
eked-ece bošoγ ög
ǰalaγsan-luγ-a: qa
qoyin-a: Sayin alt
keseg busaγ eldeb ǰ
(ʻШестая глава о
внял наставлени
Хоншим Бодиса
монахи приглас
после низложен
повстречался с [ц
о многом другом
VII глава
Rang gi 'dul rnams la tshigs bcad glu
dbyangs su sdebs pa rgya mtsho lta bu'i
mang nas | blo dman gyis go bde zhing |
deng dus nye bar 'kho ba 'ga' zhig smras
pa'i skabs te bdun pa'o
(ʻСедьмая глава о произнесении тем,
кого [следует усмирить], из мно
жества —
подобно
океану —
ме
лодичных стихов, легких для по
нимания, а также о необходимых в
данный момент вещах)
Saran kökege öber
egesiglegsen silüg-
dotor-a-ača: doo
böged: edüge üy-e
ogülegsen üy-e-yin
(ʻСедьмая глава
кукушка читала
огромного коли
мелодичных сти
тех, кто являет
легкими для пон
ходимыми имен
VIII глава
Slar Varaṇāsir 'dzom ste bla ma dri med
pa'i dpal gyi zhal mjal zhing lung bstan
thob pa sogs kyi skabs te brgyad pa'o
(ʻВосьмая глава о повторной встрече
в Варанаси, о встрече с ламой Дри
медпалом и получении от него на
ставленийʼ)
Varanasi-yin qar
edlekü bolbai: tey
učiraldun kkir üg
bošoγ ögdegsen te
bölög
(ʻВосьмая глава,
времени, когда
ланраджа, Индза
вновь повстреча
Варанаси, встре
(«Непорочного С
него] наставлени
IX глава
mThar sku gshegs pa'i skabs te dgu pa'o
(ʻДевятая глава о кончинеʼ)
Ecüs-tür töröl aral
(ʻДевятая глава,
когда в конце
поменял рожден НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ THE NEW RESEARCH OF TUVA №4 Qutuγ-tu yeke nigülesügči Qomsim Bodisung ečige
eked-ece bošoγ ögden: quvaraγ-ud morin tergeber
ǰalaγsan-luγ-a: qaγurm-a qan kobegün ilaγdaγsan
qoyin-a: Sayin altan qatun ǰiči učiraγsan üy-e-yin
keseg busaγ eldeb ǰüil-ün ǰirγuduγar bölög
(ʻШестая глава о том времени, когда [царевич]
внял наставлениям Великого Милосердного
Хоншим Бодисатвы, отца и матери, когда
монахи пригласили его в колесницу, когда
после низложения лжецаревича [он] вновь
повстречался с [царицей] Сайн Алтан, а также
о многом другомʼ) 'Phags pa thugs rje chen po yab yum gyis
lung bstan cing dge 'dun rnams kyis shing
rtar gdan drangs pa dang rgyal bu brdzun
ma pham par mdzad cing gser bzang ma
dang slar mjal ba sogs 'thor bu sna tshogs
gyi skabs te drug pa'o Qutuγ-tu yeke nigülesügči Qomsim Bodisung ečige
eked-ece bošoγ ögden: quvaraγ-ud morin tergeber
ǰalaγsan-luγ-a: qaγurm-a qan kobegün ilaγdaγsan
qoyin-a: Sayin altan qatun ǰiči učiraγsan üy-e-yin
keseg busaγ eldeb ǰüil-ün ǰirγuduγar bölög (ʻШестая глава о том времени, когда [царевич]
внял наставлениям Великого Милосердного
Хоншим Бодисатвы, отца и матери, когда
монахи пригласили его в колесницу, когда
после низложения лжецаревича [он] вновь
повстречался с [царицей] Сайн Алтан, а также
о многом другомʼ) (ʻШестая глава о пророчестве Авало
китешвары и его женской ипостаси
[Тары], о водружении общиной мо
нахов на деревянную колесницу, по
беде лже-царевича, новой встрече с
Сэрсанмой и многими другимиʼ) Rang gi 'dul rnams la tshigs bcad glu
dbyangs su sdebs pa rgya mtsho lta bu'i
mang nas | blo dman gyis go bde zhing |
deng dus nye bar 'kho ba 'ga' zhig smras
pa'i skabs te bdun pa'o Saran kökege öber-ün nomoγadqaγdaqun-nuγud-a
egesiglegsen silüg-üd inu dalai metü yeke olan-u
dotor-a-ača: dooratu oyutan medeküy-e kilbar
böged: edüge üy-e-de čiqula keregtü nigen kedün-i
ogülegsen üy-e-yin doloduγar bölög (ʻСедьмая глава о том времени, когда Лунная
кукушка читала проповеди некоторыми из
огромного количества, подобного океану,
мелодичных стихов, предназначенными для
тех, кто является ее объектом усмирения,
легкими для понимания низких умом и необ
ходимыми именно в этот период времениʼ) (ʻСедьмая глава о произнесении тем,
кого [следует усмирить], из мно
жества —
подобно
океану —
ме
лодичных стихов, легких для по
нимания, а также о необходимых в
данный момент вещах) Varanasi-yin qariyatu ulus amur ǰirγalang-i
edlekü bolbai: teyin kü Varanasi-yin oron-dur ǰiči
učiraldun kkir ügei blam-a-yin gegen-e aγulǰaǰu
bošoγ ögdegsen terigüten-ü üy-e-yin nayimaduγar
bölög (ʻВосьмая глава, [повествующая] о периоде
времени, когда [царевич-кукушка, царь Ку
ланраджа, Индзанадхара и другие сановники]
вновь повстречались друг с другом в стране
Варанаси, встретили ламу Хир Угэй Цогту
(«Непорочного Сиятельного») и получили [от
него] наставленияʼ) Ecüs-tür töröl aralǰiγsan üy-e-yin yisüdüger bölög
(ʻДевятая глава, [повествующая] о периоде,
когда в конце [жизни царевич-кукушка]
поменял рождениеʼ) Ecüs-tür töröl aralǰiγsan üy-e-yin yisüdüger bölög
(ʻДевятая глава, [повествующая] о периоде,
когда в конце [жизни царевич-кукушка]
поменял рождениеʼ) Приведенные выше перечни глав тибетского текста и монгольского перевода показывают, на
сколько тонко в последнем передаются нюансы, детали исходного текста. Краткое содержание текста «Повести…» Монгольский переводчик
добавляет лишь отдельные слова и частицы для уточнения своего перевода. В данной публикации мы сочли возможным представить для сравнения фрагмент из тибетского
текста, его монгольский перевод, а также соответствующий английский перевод Геше Вангъяла. 105 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ
www.nit.tuva.asia
THE NEW RESEARCH OF TUVA
Novye issledovaniia Tuvy
2019
№4
Тиб. Монг. перевод
Дай гуши Агвандампила
Англ. перевод
Геше Вангъяла
dkon mchog gsum la snying nas
mgos phyag 'tshal //
sdug bsngal mun pa sel bar byin
gyis rlobs //
gting mtha' med pa'i 'khor ba'i
rgya mtsho 'dir //
nyon mongs sdug bsngal na kras
rab gtses pa'i //
bdag sogs 'gro rnams srid las
bsgral du gsol //
(‘Всем сердцем поклоняюсь
Трем драгоценностям! Даруйте благословение для
того, чтобы рассеять тьму
страданий. Соизвольте освободить из
сансары меня и других жи
вых существ, которые под
вергаются неимоверным
истязаниям морского чудо
вища
в
этом
бездонном
океане бесконечного круго
ворота страданий от помра
чений’)
(Byang chub, л. 55б–56а)
Ünen kü γurban erdeni-de ǰirüken-
ečegen bisiren mörgümü bi:
Ürgülǰi
eyimü
yeke
ǰobalang-un
qarangγuy-yi arilγan adistidla:
Üǰügür kiǰaγar ügei ene orčilang-un
dalai dotor-a:
Üimen ǰobaqui nisvanis-un matar-iyar
masi yeke könögegdegsen:
Ütele bi terigüten amitan-i sansar-un
dalai-ača getülgen soyurqa::
(ʽВоистину от всего сердца покло
няюсь Трем драгоценностям! Постоянно, рассеивая тьму великих
страданий, даруйте благословение. Соизвольте вызволить из океана
сансары меня и других живых
существ,
Которые в этом безбрежном океане
сансары подверглись
неимоверным истязаниям чудо
вища помрачений’)
(Bodi sedkil, л. 71б)
ʽI bow down with all my heart to
the Three Jewels;
I beg you to clear away this dark
misery. Please, rescue me and all other
beings
From this bottomless ocean of
cyclic existence
Wherein we are tortured by those
serpents,
The miseries brought on by our
fettering passionsʼ
(‘Я всем сердцем поклоняюсь
Трем драгоценностям! Я молю вас о том, чтобы ус
транили тьму страданий. Пожалуйте спасение мне и
всем живым существам от
бездонного океана круговорота
жизни,
В котором нас мучают эти
змеи,
Где мы страдаем от наших
страстей’)
(Geshe Wangyal, 1982: 86) (‘Всем сердцем поклоняюсь
Трем драгоценностям! Даруйте благословение для
того, чтобы рассеять тьму
страданий. Соизвольте освободить из
сансары меня и других жи
вых существ, которые под
вергаются неимоверным
истязаниям морского чудо
вища
в
этом
бездонном
океане бесконечного круго
ворота страданий от помра
чений’) Соизвольте вызволить из океана
сансары меня и других живых
существ, (Byang chub, л. 55б–56а) Заключение Подводя итог анализу, нам хотелось бы выразить надежду, что данная публикация вызовет интерес
к памятнику со стороны широкого круга читателей. Как нам кажется, связи этого произведения с
тибетским, монгольским и тувинским фольклором, оригинальной и переводной литературой еще
недостаточно изучены, между тем они обещают интересные перспективы. Со времени издания монгольской версии (малым тиражом) прошло 15 лет, в то время как внимание
к этому памятнику возрастает. Возможно, публикация данной статьи позволит решить вопрос о вто
ром издании этого сочинения, являющегося образцом популярного буддизма и ярким примером
средневековой литературы Центральной Азии. Подобная публикация могла бы привлечь данные о
ксилографическом издании тибетского оригинала памятника из музейного фонда Тувы к дальнейшим
археографическим поискам среди тибетских рукописей и ксилографов, хранящихся в библиотеках и
архивах. Факт наличия версий этого письменного памятника в фондах Калмыкии и Тувы свидетельствует
об общих истоках религиозных текстов. Письменные источники проникали в среду лам и мирян из
известных буддийских центров. Цель, которую преследовали буддийские проповедники и в среде
ойратов и калмыков, и в среде тувинцев, была одна — популяризировать буддийское учение, основные
его постулаты, к чему привлекались тексты с занимательным сюжетом, каковым и является «Повесть
о Лунной кукушке» (на тибетском и монгольском языках). документальное наследие буддизма. Мат-лы Межд. науч.-практ. конф. / отв. ред. В. В. Минаев. М. : РГГУ.
359 с. С. 228–233. (На англ. яз.) Geshe, Wangyal (1982) The Prince Who Became a Cuckoo: A Tale of Liberation / translated and edited by
Geshe Wangyal. NY, Theatre Arts Books Publ. 200 p. Tibetische Handschriften und Blockdrucke (1981) Teil 8 (Sammlung Waddell der Staatsbibliothek
Preussischer Kulturbesitz Berlin) beschrieben von Dieter Schuh. Wiesbaden, Franz Steiner Verlag GMBH. 394 p. Дата поступления: 26.08.2019 г. Дата поступления: 26.08.2019 г. Дата поступления: 26.08.2019 г. документальное наследие буддизма. Мат-лы Межд. науч.-практ. конф. / отв. ред. В. В. Минаев. М. : РГГУ.
359 с. С. 228–233. Востриков, А. И. (1962) Тибетская историческая литература. М. : Издательская фирма «Восточная
литература». 427 с. Востриков, А. И. (1962) Тибетская историческая литература. М. : Издательская фирма «Восточная
литература». 427 с. Мирзаева, С. В. (2018) «Арья-бхадрачарья-пранидхана-раджа» («Зангчо монлам») в письменной
традиции буддизма ваджраяны // Вестник Калмыцкого института гуманитарных исследований РАН. № 2 (36). С. 131–143. Мирзаева, С. В., Тувшинтугс, Б. (2019) Монголоязычные версии «Сутры о восьми светоносных»
(монг. Найман гэгээн, калм. Нәәмн гегән): об истории изучения и списках в фондохранилищах России
// Oriental Studies. № 44(4). С. 716–727. Монголын уран зохиолын тойм [История монгольской литературы] (1976). 2-р боть. Улаанбаатар :
Шинжлэх ухааны академийн хэвлэл. 672 х. (На монг. языке). Музраева, Д. Н. (2018) Коллекция тибетских и монгольских письменных источников Калмыцкого
научного центра РАН, поступившая от Э. Б. Убушиева. Штрихи к портрету фондообразователя по
дарственным записям // Вестник архивиста. № 4. С. 1206–1216. Музраева, Д. Н., Сумба, Р. П. (2019) О ксилографическом сборнике буддийских текстов на монгольском
языке из Национального музея Тувы [Электронный ресурс] // Новые исследования Тувы. № 2. URL:
https://nit.tuva.asia/nit/article/view/852 (дата обращения: 23.06.2019). DOI: 10.25178/nit.2019.2.12 Повесть о Лунной кукушке. Монгольская версия. Факсимиле ксилографа / предисловие, трансли
терация, перевод, комментарии, глоссарий и приложения Д. Н. Музраевой (2004) / отв. ред. И. В. Куль
ганек / «Письменное наследие народов Центральной Азии». Вып. I. Элиста : АПП «Джангар». 576 с. Скородумова, Л. Г. (2017) Рукописное наследие В. Инжинаша: «Повесть о лунной кукушке» // Куль
турное наследие монголов: рукописные и архивные собрания Санкт-Петербурга и Улан-Батора. III Межд. конф. при поддержке Президента Монголии (Санкт-Петербург, 20–22 апреля 2017 г.). Программа. Тезисы. СПб. ; Улан-Батор : б/и. 110 с. С. 84. Сумба, Р. П. (2019) Письменные источники на тибетском языке из фондов Национального музея
Тувы [Электронный ресурс] // Новые исследования Тувы. № 2. URL: https://nit.tuva.asia/nit/article/
view/850 (дата обращения: 23.06.2019). DOI: 10.25178/nit.2019.2.11 Сумба, Р. П. (2019) Письменные источники на тибетском языке из фондов Национального музея
Тувы [Электронный ресурс] // Новые исследования Тувы. № 2. URL: https://nit.tuva.asia/nit/article/
view/850 (дата обращения: 23.06.2019). DOI: 10.25178/nit.2019.2.11 Успенский, В. Л. (2011) Тибетский буддизм в Пекине. СПб. : Студия «НП Принт». 368 с. Цэрэнсодном, Д. (1987) Монгол уран зохиол (XIII–XX зууны эхэн) [Монгольская литература (XIII —
начало XX в.)]. Улаанбаатар : БНМАУ‑ын ардын Боловсролын Яамны Сурах бичиг, сэтгүүлийн нэгдсэн
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& Archeology of Eurasia. Vol. 53. Iss. 4. Pp. 21−46. www.nit.tuva.asia №4 документальное наследие буддизма. Мат-лы Межд. науч.-практ. конф. / отв. ред. В. В. Минаев. М. : РГГУ. 359 с. С. 228–233. СПИСОК ЛИТЕРАТУРЫ Бичелдей, У. П. (2011) Собрание буддийских рукописей и ксилографов в фондах Национального му
зея Республики Тыва как памятники духовной культуры тувинского народа // Память мира: историко- 106 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ THE NEW RESEARCH OF TUVA www.nit.tuva.asia Mirzaeva, S. V. (2018) «Ar'ya-bhadrachar'ya-pranidhana-radzha» («Zangcho monlam») v pis'mennoi tra
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the Kalmyk Scientific Center of the RAN by E. B. Ubushiev. Using donation inscriptions to touch up the portrait
of donator]. Herald of an Archivist, no. 4, pp. 1206–1216. (In Russ.). Muzraeva D. N. and Sumba R. P. (2019) O ksilograficheskom sbornike buddiiskikh tekstov na mongol'skom
yazyke iz Natsional'nogo muzeya Tuvy [On a xylographic compilation of Buddhist texts in Mongolian language
from the National Museum of the Republic of Tuva]. The New Research of Tuva, no. 2 [online] Available at:
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Russ. and Mong.). Skorodumova, L. G. (2017) Rukopisnoe nasledie V. Inzhinasha: «Povest' o lunnoi kukushke» [The manuscript
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of the Mongols: manuscript and archival collections of St. Petersburg and Ulaanbaatar. 3d International Conference
with the support of the President of Mongolia]. Program. Theses. St. Petersburg, Ulaanbaatar. 110 p. REFERENCES Bicheldei, U. P. (2011) Sobranie buddiiskikh rukopisei i ksilografov v fondakh Natsional'nogo muzeya Res
publiki Tuva kak pamyatniki duhovnoi kul'tury tuvinskogo naroda [The collected Buddhist manuscripts and
xylographs of the National Museum of the Tuva Republic as monuments of spiritual culture of the Tuvan
people]. In: Pamyat' mira: istoriko-dokumental'noe nasledie buddizma [Memory of the world: historical and
documentary heritage of Buddhism]. Proceedings of the International Scientific Conf. / ed. by V. V. Minaev. Moscow, Russian State University for the Humanities. 229 p. Pp. 228–233. (In Russ.). Vostrikov, A. I. (1962) Tibetskaya istoricheskaya literatura [Tibetan historical literature]. Moscow, Vost. Lit. 427 p. (In Russ.). 107 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ
www.nit.tuva.asia
THE NEW RESEARCH OF TUVA
Novye issledovaniia Tuvy
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№4 THE NEW RESEARCH OF TUVA НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia P. 84. (In
Russ.). Sumba, R. P. (2019) Pis'mennye istochniki na tibetskom yazyke iz fondov Natsional'nogo muzeya Tuvy
[Written sources in Tibetan language in the collections of the National Museum of the Republic of Tuva]. The New Research of Tuva, no. 2. [online] Available at: https://nit.tuva.asia/nit/article/view/850 (access date
23.06.2019). DOI: 10.25178/ nit.2019.2.11. (In Russ.). Uspensky, V. L. (2011) Tibetskiy buddizm v Pekine [Tibetan Buddhism in Beijing]. St. Petersburg, NP-Print. 368 p. (In Russ.). Uspensky, V. L. (2011) Tibetskiy buddizm v Pekine [Tibetan Buddhism in Beijing]. St. Petersburg, NP-Print. 368 p. (In Russ.). Tserensodnom, D. (1987) Mongol uran zohiol (XIII–XX zuuny 'eh'en) [Mongolian literature (18th – beginning of
the 20th century)]. Ulaanbaatar, Ministry of National Education of MPR. 439 p. (In Mong.). Tserensodnom, D. (1987) Mongol uran zohiol (XIII–XX zuuny 'eh'en) [Mongolian literature (18th – beginning of
the 20th century)]. Ulaanbaatar, Ministry of National Education of MPR. 439 p. (In Mong.). Bakaeva, E. P. (2014) Research on the History of Buddhism in Kalmykia at the Present Stage. Anthropology
& Archeology of Eurasia, vol. 53, iss. 4, pp. 21−46. Geshe, Wangyal (1982) The Prince Who Became a Cuckoo: A Tale of Liberation. Transl. and ed. by Geshe
Wangyal. New York, Theatre Arts Books Publ. 200 p. (In Eng.). Tibetische Handschriften und Blockdrucke [Tibetan manuscripts and xylographs] (1981) Part 8 (Waddell
Collection of State Library, Prussian Cultural Heritage Foundation, Berlin) comp. by D. Schuh. Wiesbaden,
Franz Steiner Verlag GmbH. 394 p. (In Germ.). Submission date: 26.08.2019. Submission date: 26.08.2019. 108
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English
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Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for glioblastoma
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Oncogene
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cc-by
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Abstract Despite the existence of many clinical and molecular factors reported that contribute to survival in glioblastoma, prevailing
studies fell into partial or local feature selection for survival analysis. We proposed a feature selection strategy including not
only joint covariate detection but also its evaluations, and performed it on miRNA expression profiles with glioblastoma. MiR-10b and miR-222 were selected as the most significant two-dimensional feature. Crucially, we integrated in vitro
experiments on GBM cells and in vivo studies on a mouse model of human glioma to elucidate the synergistic effects
between miR-10b and miR-222. Inhibition of miR-10b and miR-222 strongly suppress GBM cells growth, invasion, and
induce apoptosis by co-targeting PTEN and leading to activation of p53 ultimately. We also demonstrated that miR-10b and
miR-222 co-target BIM to induce apoptosis independent of p53 status. The results define mir-10b and mir-222 important
roles in gliomagenesis and provided a reliable survival analysis strategy. Stepwise detection and evaluation reveal miR-10b and miR-222 as a
remarkable prognostic pair for glioblastoma Bo Sun1
●Xudong Zhao
2
●Jianguang Ming1
●Xing Liu3
●Daming Liu1
●Chuanlu Jiang1 Received: 11 July 2018 / Revised: 31 March 2019 / Accepted: 1 May 2019 / Published online: 9 July 2019
© The Author(s) 2019. This article is published with open access Introduction MiRNAs (miRNAs) have been found to play important
roles in most biological processes, including cancer. MicroRNAs are a class of small (19–25 nucleotides), non-
coding regulatory RNAs that regulate gene expression by
complementary binding with the 3′-untranslated region
(UTR) of target mRNAs and causing their degradation or
suppressing
mRNA
translation
[3]. Many
miRNAs
involved in pathogenesis of GBM and viewed as prognostic
markers have been demonstrated [4, 5]. Glioblastoma multiforme (GBM), the highest grade of
glioma with a median survival of only ~15 months, is the
most common malignant primary brain tumor in adults [1]. Despite the intensive research and aggressive treatments
during the past decade, prognosis for patients diagnosed
with GBM remained frustrated [2]. There is still a critical
need for new molecular targets and effective approaches to
treat this devastating disease. Many studies have focused on miRNA expression pro-
files in GBM, and provided signatures predicting survival. Anyway, most of these works fell into inappropriate sta-
tistical analyses, which made the consequent discovery
unreliable. Niyazi et al. [6] used a survival cutoff value
defined by the median survival days to separate long-term
and short-term survivors. Besides, a variety of statistics
were utilized for detection of differentially expressed indi-
viduals of miRNAs. However, stratification on patients
using survival time is ill-conceived considering the right
censoring of survival time. Cheng et al. [7] employed the
univariate Cox regression analysis to evaluate individual
miRNAs, the expression levels of which were consistent
with overall survival. In fact, the usage of univariate
regression satisfies the assumption that miRNAs are inde-
pendent of each other. However, they kept using the
regression coefficients from univariate regression as the
weights of a linear combination of miRNA expression These authors contributed equally: Bo Sun, Xudong Zhao These authors contributed equally: Bo Sun, Xudong Zhao 1
Department of Neurosurgery, the Second Affiliated Hospital of
Harbin Medical University, 150086 Harbin, China
2
College of Information and Computer Engineering, Northeast
Forestry University, 150040 Harbin, China
3
Beijing Neurosurgical Institute, 100050 Beijing, China Oncogene (2019) 38:6142–6157
https://doi.org/10.1038/s41388-019-0867-6 Oncogene (2019) 38:6142–6157
https://doi.org/10.1038/s41388-019-0867-6 ARTICLE ARTICLE ARTICLE ARTICLE Supplementary information The online version of this article (https://
doi.org/10.1038/s41388-019-0867-6) contains supplementary
material, which is available to authorized users. Supplementary information The online version of this article (https://
doi.org/10.1038/s41388-019-0867-6) contains supplementary
material, which is available to authorized users. Supplementary information The online version of this article (https://
doi.org/10.1038/s41388-019-0867-6) contains supplementary
material, which is available to authorized users. * Xudong Zhao
zhaoxudong@nefu.edu.cn
* Chuanlu Jiang
jcl6688@163.com * Xudong Zhao
zhaoxudong@nefu.edu.cn 1
Department of Neurosurgery, the Second Affiliated Hospital of
Harbin Medical University, 150086 Harbin, China 2
College of Information and Computer Engineering, Northeast
Forestry University, 150040 Harbin, China Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for. . . 6143 levels for calculating subsequent risk scores. On the con-
trary, Chen et al. [8] and Zhang et al. [9] employed the
univariate Cox regression on each miRNA expressions for
selection of individually significant miRNAs associated
with survival time, respectively. In addition, Zhang et al. [9]
adopted permutation and false discovery rate for achieving
more accurate selection results. Focusing on the selected
individually significant miRNAs, both of them considered
the multivariate Cox regression for obtaining risk scores. Anyway, this practice violated the assumption on former
usage of the univariate Cox regression. Instead, Srinivasan
et al. [10] employed the multivariate Cox regression on all
miRNAs, and selected those with significant regression
coefficients as the miRNA candidates for further evaluation. However, this top-down strategy of miRNA selection
probably may obtain redundant miRNAs. Furthermore,
Niyazi et al. [11] employed a forward-selection algorithm,
which was actually regarded as an incremental method, to
select significant miRNAs. However, this kind of heuristic
method cannot effectively prevent local optimization. Fig. 1, the proposed feature selection strategy contained
four parts, i.e., selection of features consistent with patients’
survival time, quantitative evaluation of the selected fea-
tures, selection of features associated with categories of
patients with different survival risks and qualitative eva-
luation of the selected features. In Fig. 1, the main diagonal
two parts refer to JCDSA-based feature selection, as has
been expressed in our previous work [12, 13]; while, the
accessory diagonal two parts correspond to its evaluation. Moreover, we implemented the feature selection strategy
on miRNA expression data (Level 3) of 548 patients with
GBM publicly available at TCGA (http://cancergenome.nih. gov) and indicated miR-10b and miR-222 to be the most
significant pair associated with overall survival outcomes in
patients with GBM. Selection of features consistent with patients’
survival time MiRNA expression data (Level 3) of 548 patients with GBM
downloaded from TCGA was processed. There are many
regression models for right censoring [14], which refers to
the phenomenon that patients with cancer still survive till
after the nearest follow-up time. Following the assumption
that censoring is independent of survival time, we utilized
Cox proportional hazards regression [15] to select features
consistent with patients’ survival time for simplicity. Fea-
tures were from one dimension to higher dimension. In other
words, we enumerated on individual, double and triple
combinations of miRNA expressions to search features in
that dimension, which were thought to be consistent with
patients’ survival time. Permutations by re-ordering the
survival time for 10,000 rounds were made. Moreover,
significant features, each component of which kept a small p
value (p ≤0.001), were selected as shown in Supplementary
Table S1, Table S2, and Table S3. As a result, 9 individuals,
26 pairs, and 68 triples of miRNAs were selected. More
details about how the p-values were obtained could be seen
in the method part of our previous work [12, 13]. In order to check whether each selected pair was of
multivariate significance or not, we made partial likelihood
ratio test on each selected miRNA pair. Taking the selected
pair miR-222 and miR-10b as an example, the log partial
likelihood function ║, the statistic T, and the corresponding
p-value were listed in Table 1. More details could be seen in
“Methods section”. Selection of features associated with stratifications
of patients After quantitative evaluation, we moved on to selection of
features associated with stratification of patients. In practice,
clinical patients are commonly classified into low-risk and
high-risk group, which conforms to therapists’ decision-
making process. We employed log-rank test to assess the
statistical significance of differences between the two risk
groups. A risk score on each sample was obtained using the
linear combination on the components’ expression levels of
each selected miRNA candidate weighted by Cox regres-
sion coefficients. For simplicity, a cutoff threshold was
derived from the median risk score. Thereafter, patients
were stratified using their risk scores. According to log-rank
test, we proposed a permutation test and calculated the
corresponding p-value. For each of the 26 significant
miRNA pair, p-value corresponding to log-rank test was Supplementary information The online version of this article (https://
doi.org/10.1038/s41388-019-0867-6) contains supplementary
material, which is available to authorized users. Crucially, we identified that miR-10b
and miR-222 promote GBM tumorigenesis by collectively
targeting phosphatase and tensin homolog (PTEN) which
activates the p53 pathway by suppressing mouse double
minute 2 protein (MDM2). Besides, we further demon-
strated miR-10b and miR-222 co-target Bcl2l11 (BIM) that
induces apoptosis of GBM cells without p53 activation. In
addition, inhibition of miR-10b and miR-222 in model mice
with intracranial glioma resulted in significant reduction of In this paper, we developed a feature selection strategy
including not only joint covariate detection for survival
analysis but also the corresponding evaluation. As shown in Fig. 1 A framework indicating the strategy containing not only JCDSA-based feature selection but also the corresponding evaluations Fig. 1 A framework indicating the strategy containing not only JCDSA-based feature selection but also the corresponding evaluations 6144 B. Sun et al. Table 1 Comparisons between
univariable and
multivariable model
Model
Variable
Coefficient
HR
95% CIE
P-value
Univariable
miR-222
0.2456
1.2783
[1.1848, 1.3793]
0.0001
miR-10b
0.0360
1.0367
[0.9701, 1.1078]
0.2824
Multivariablea
miR-222
0.3061
1.3581
[1.2493, 1.4766]
0.0001
miR-10b
0.1412
1.1517
[1.0675, 1.2425]
0.0004
all(^β) = −2.354 × 103, ll(0) = −2.3815 × 103, T ~ χ2 (2), p = 1.14 × 10−12 Table 1 Comparisons between
univariable and
multivariable model tumor growth. In summary, our experimental results
demonstrated a reliable survival analysis strategy, and
suggested a potential new therapeutic approach in the
treatment of GBM. Then, we made a cross dimension comparison for under-
fitting avoidance. Taking one selected pair miR-10b and
miR-222 as an example, it was found that not miR-10b but
miR-222 was individually significant (see Supplementary
Table S1). Thus, we have to discuss whether miR-10b is
still needed or not. Based on the Cox hazards assumption
[15], hazard ratio is strongly associated with Cox regression
coefficients. That is, whether miR-10b is necessary or not
depends on the coefficient change of miR-222. Table 1
integrated Cox regression coefficient with hazard ratio (HR)
between different patients’ risk groups and 95% confidence
interval estimate (CIE), together with p-values corre-
sponding to survival time. We calculated the change ratio of
Cox regression coefficients corresponding to miR-222, as
was expressed aΔ^β = (0.3061−0.2456)/0.3061 = 0.1976. The change ratio was considered large, which demonstrates
the effectiveness of the pair miR-222 and miR-10b rather
than only miR-222. Qualitative evaluation of the selected features Other than quantitative analyses, clinicians prefer qualita-
tive results in practice. Kaplan–Meier survival analysis is
commonly used to show differences between the two
patients’ risk groups. We listed four Kaplan–Meier plots for
visualization analysis, as illustrated in Fig. 2. The first three
panels, i.e., Fig. 2a–c, indicated survival differences using
the most quantitatively significant miRNA individual, pair
and triple, respectively. After making a careful comparison,
we demonstrated that the selected miR-222 and miR-10b
together kept the best performance. In addition, we parti-
cularized all possible combinations of individual significant
miRNAs and showed the Kaplan–Meier plot corresponding
to the combination with the best performance, as shown in
Fig. 2d. Comparisons between Fig. 2b, d indicated that the
significant pair which kept best performance was not
composed of significant individuals. Moreover, we depicted a proportional risk-score analysis
to show the effectiveness of our selected significant miRNA
pair, as illustrated in Fig. 2e. Patients were re-ordered from
the smallest to the biggest risk score. The corresponding
follow-up days of patients and the weighted expression
levels of the two miRNAs were listed. The median risk
score was regarded as a cutoff value, which was utilized to
divide patients into a low-risk group at the left side and a
high-risk group at the right side. It could be seen in the
scatterplot of each patient’s following-up day that the low-
risk group kept more patients with longer survival days than
those in the high-risk group. In other words, miR-222 and
miR-10b could stratify patients’ survival risks. Corre-
sponding to the risk scores of patients, a proportional
heatmap representing the weighted expression levels of the
two miRNAs derived from Cox regression coefficients was
shown. It could be seen that miR-222 was an over-
expressed variable for the risk of death. As to miR-10b, it
was a little hard to find any obvious change on expression
levels between the high-risk and low-risk group. In assis-
tance of the estimated HR and the 95% CIE listed in Table 1,
we confirmed that miR-10b was an over-expressed variable. It could be seen that the 95% CIE of estimated HR included
one, which indicated that there might be no apparent Quantitative evaluation of the selected features After selecting features consistent with survival time, sig-
nificant individuals, pairs or triples were sent for quantita-
tive evaluation. Dimensional enumeration cannot go on
ceaselessly. Therefore, Occam’s Razor [16] was considered
in order to decide when to terminate feature enumeration. After making a careful comparison among the p-values
from
one-dimensional,
two-dimensional,
and
three-
dimensional features, we decided to choose the 26 pairs
of miRNA rather than 68 triples for further screening on
account of the overfitting avoidance. Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for. . . 6145 difference between the high-risk and low-risk group. How-
ever, it excluded one in the corresponding multivariable Cox
regression model, which verified that miR-10b together with
miR-222 was over-expressed for the risk of death. calculated. Those with their p-values < 0.001 were thought to
be discriminative and selected. Thus, six significant miRNA
pairs, which were not only consistent with patients’ survival
time but also associated with differentiation between patients’
risk groups, were further selected as listed in Supplementary
Table S4. Furthermore, we more stringently controlled the
threshold of p-value to be 0.0005, and ultimately selected the
pair miR-222 and miR-10b for further analysis. More details
about how the p-values were obtained could be seen in the
method part of our previous work [12, 13]. MiR-10b and miR-222 regulate glioma cells
proliferation and invasiveness via p53 pathway To identify the tumorigenic roles of miR-10b and miR-222
in GBM, we determined whether downregulation of these
miRNAs would have effects on the viability and invasive-
ness of GBM cells. As shown in Fig. 3a, striking reduce of
the growth was observed in all three cell lines by trans-
fecting miRNA inhibitors. Similarly, inhibition of miR-10b
and miR-222 also decreased the cell proliferation in all the
cell lines by the EdU proliferation assay (Fig. 3b, Supple-
mentary Fig. S1). Moreover, the transwell assay revealed
that miR-10b and miR-222 regulated the invasion capacity
of GBM cells compared with negative control (Fig. 3c). To
further elucidate the underlying mechanism or potential
synergistic effects between miR-10b and miR-222, we uti-
lized DIANA miRPath [17] which provided high quality
experimentally
validated
miRNA/gene
interactions
to
identify the KEGG pathway that was targeted by both miR-
10b
and
miR-222. Consequently,
Cell
cycle
and
p53 signaling were ranked among the four pathways likely
to be co-regulated by miR-10b and miR-222 (Supplemen-
tary Table S5). To verify this conjecture, p53 transcriptional
activity was measured by the luciferase assay. We showed
that inhibition of miR-10b and miR-222 significantly
enhanced the p53 transcriptional activity relative to the
control in LN229 (Fig. 3d). It was noteworthy that the
protein level of p53 was increased in LN229, but there was
no change in U87MG(Fig. 3e). Besides, neither LN229 or
U87MG showed any change in mRNA level of p53 (Sup-
plementary Fig. S2), even if both cell lines contained
functional p53 [18]. Then we found that both miR-10b and
miR-222 could not bind p53 mRNA by using the miRWalk
target prediction program [19]. Based on these results, we
speculated that miR-10b and miR-222 may influence p53
transcriptional activity and result in different presentations
between LN229 and U87MG cell lines by other mechanism
without directly targeting p53. Downregulation of miR-10b and miR-222 results in
p53 activation by suppressing MDM2 To test whether miR-10b and miR-222 could
modulate the expression of MDM2, we tested the protein
levels of MDM2 in LN229 and U87MG cells that was
treated with the inhibitor of miR-10b and miR-222. As
expected, the protein levels of MDM2 were markedly
reduced in LN229 and still did not change in U87MG (Fig. 4b). To further testify the accumulation of p53 due to the
inhibition of MDM2 by miR-10b and miR-222, LN229
cells with stable MDM2 knockdown were established. The
knockdown efficiency of MDM2 on LN229 was tested by
WB (Supplementary Fig. S3). The inhibition of miR-10/222
in MDM2 knockdown of LN229 cells did not change the
p53 levels (Fig. 4c). These results confirmed that the
accumulation of p53 in LN229 that treated with As-miR-
10b and As-miR-222 was mediated by MDM2. The co-
immunoprecipitation (Co-IP) assay in LN229 was per-
formed to check the binding status of MDM2-p53. The
results just consistent with the suppression of MDM2 and
the less MDM2-p53 binding (Supplementary Fig. S4). The
ability of MDM2 to shuttle between the nucleus and the
cytoplasm is required to bind p53 and depends on the
phosphorylation of MDM2 by phosphatidylinositol 3′-
kinase (PI3K)/AKT pathway [21]. Hence, we utilized
immune-fluorescence (IF) analysis to further confirm the
expression and nucleus shuttle of MDM2 and the western
blot for the analysis of PI3K/AKT activation. The IF ana-
lysis indicates that the expression of MDM2 was sig-
nificantly reduced and the MDM2 shuttling defect is not
apparent (Fig. 4d). However, the levels of MDM2 Ser166
and AKT Ser473 were both reduced in LN229 tested by
WB (Fig. 4e). Base on all above results, we concluded that
the target genes of miR-10b and miR-222 in GBM cells
could downregulate the expression of MDM2 and inhibit
AKT activation to phosphorylate MDM2 as well. p
g
g
We constructed dual-luciferase reporter plasmids con-
taining either wild-type or mutated 3′UTRs of PTEN for
miR-10 or miR-222 (miR-222wt/miR-10bwt, miR-222wt/
miR-10bmut,
miR-222mut/miR-10bwt). The
seed-bind
sequence and mutations designed were indicated in Sup-
plementary Fig. S5. The luciferase activity results verified
that miR-10b and miR-222 could co-target PTEN. Mean-
while, downregulation of miR-10b and miR-222 also
increased PTEN expression demonstrated by RT-PCR (Fig. 5a). Interestingly, only LN229 bears wild-type PTEN, both
U87MG and U251 lost functional PTEN expression. That’s
probably the reason why U87MG and LN229 represented
so many differences in WB results. Downregulation of miR-10b and miR-222 results in
p53 activation by suppressing MDM2 To clearly demonstrate
the mechanism, we transfected both U87MG and U251 with
wild-type PTEN plasmid (Supplementary Fig. S6) and
tested PTEN/MDM2/p53 protein levels (Fig. 5b). Finally, it
was all confirmed in both LN229 and U87PTEN+ cells that
inhibition of miR-10b and miR-222 increased PTEN level
that suppressed MDM2 and resulted in accumulation pro-
tein of p53. The IF analysis of PTEN was in accord with the
WB results and just opposite of MDM2 (Fig. 5c). The data
about U251PTEN+ was not shown due to the mutant of p53. As the highly molecular heterogeneity of GBM from dif-
ferent individuals and the genetically unstable of culture cell
lines, we confirmed the roles of miR-10b and miR-222 in
PTEN/MDM2/p53 interactions by using two primary GBM
patients derived cells (H1 and H3) (Fig. 5d). In summary,
miR-10b and miR-222 promote glioblastoma cell growth by
targeting PTEN to disturb p53 function. Inhibition of miR-10b and miR-222 induces cell cycle
arrest and apoptosis by PTEN/p53-dependent and
-independent ways The activation of p53 facilitates the cellular response to
genotoxic stress, and initiates DNA repair, cell-cycle arrest,
and importantly, apoptosis [24]. We first examined whether
inhibition of miR-10b and miR-222 could induce apoptosis
in three cell lines bearing different PTEN/p53 status
(LN229pten+/p53+,
U87MGpten–/p53+,
and
U251pten−/p53−)
[25, 26]. The results revealed that inhibition of miR-10b and
miR-222 induced the apoptosis in all three cell lines (Fig. 6a), and the expressions of several principle genes regulated
the apoptosis (including BAX, PUMA, and caspase 3) were
also elevated in all cell lines (Supplementary Fig. S7). Meanwhile, our previous study demonstrated that miR-222
targeted BCL2 binding component 3 (PUMA) to induce
apoptosis independent of p53 status [27]. Accordingly, we
hypothesized that inhibition of miR-10b and miR-222 to The activation of p53 facilitates the cellular response to
genotoxic stress, and initiates DNA repair, cell-cycle arrest,
and importantly, apoptosis [24]. We first examined whether
inhibition of miR-10b and miR-222 could induce apoptosis
in three cell lines bearing different PTEN/p53 status
(LN229pten+/p53+,
U87MGpten–/p53+,
and
U251pten−/p53−) Downregulation of miR-10b and miR-222 results in
p53 activation by suppressing MDM2 As
expected, the protein levels of MDM2 were markedly
reduced in LN229 and still did not change in U87MG (Fig. 4b). To further testify the accumulation of p53 due to the
inhibition of MDM2 by miR-10b and miR-222, LN229
cells with stable MDM2 knockdown were established. The
knockdown efficiency of MDM2 on LN229 was tested by
WB (Supplementary Fig. S3). The inhibition of miR-10/222
in MDM2 knockdown of LN229 cells did not change the
p53 levels (Fig. 4c). These results confirmed that the
accumulation of p53 in LN229 that treated with As-miR-
10b and As-miR-222 was mediated by MDM2. The co-
immunoprecipitation (Co-IP) assay in LN229 was per-
formed to check the binding status of MDM2-p53. The
results just consistent with the suppression of MDM2 and
the less MDM2-p53 binding (Supplementary Fig. S4). The
ability of MDM2 to shuttle between the nucleus and the
cytoplasm is required to bind p53 and depends on the
phosphorylation of MDM2 by phosphatidylinositol 3′-
kinase (PI3K)/AKT pathway [21]. Hence, we utilized
immune-fluorescence (IF) analysis to further confirm the
expression and nucleus shuttle of MDM2 and the western
blot for the analysis of PI3K/AKT activation. The IF ana-
lysis indicates that the expression of MDM2 was sig-
nificantly reduced and the MDM2 shuttling defect is not
apparent (Fig. 4d). However, the levels of MDM2 Ser166
and AKT Ser473 were both reduced in LN229 tested by
WB (Fig. 4e). Base on all above results, we concluded that
the target genes of miR-10b and miR-222 in GBM cells
could downregulate the expression of MDM2 and inhibit
AKT activation to phosphorylate MDM2 as well. and miR-222 could co-target PTEN that accounts for all
above presentations. Meanwhile, analysis of mir-10b and
mir-222 predicted targets by miRWalk revealed that PTEN
as a predicted target gene of the two miRNAs [19]. transfected with miR-10b/-222 inhibitors combined with the
treatment of MG132, a potent inhibitor of proteasome, and
treated with MG132 alone as control group. The western
blot (WB) results suggested that inhibition of miR-10b and
miR-222 resulted in the increased protein level of p53 by
inhibition of proteolysis (Fig. 4a). Mouse double minute 2
protein (MDM2) is known as a key p53 inhibitor which can
directly bind p53, promote its ubiquitination and shuttle it to
cytoplasm, where it is subsequently degraded by the pro-
teasome [20]. Downregulation of miR-10b and miR-222 results in
p53 activation by suppressing MDM2 We have revealed that the increased protein level of p53
was not due to the enhance of transcription of p53. There-
fore, we speculated that inhibition of miR-10b and miR-222
increased the level of p53 protein by post-translational
modification, which stabilized and inhibited degradation of
the p53 protein. To test this hypothesis, LN229 cells were Fig. 2 Qualitative evaluation of the selected features. a Kaplan–Meier
plots using the most individually significant miRNA, i.e. miR-222. b
Kaplan–Meier plots using the most significant pair, i.e., miR-222 and
miR-10b. c Kaplan–Meier plots using the most significant triple, i.e.,
miR-221, miR-10b, and miR-17-5p. d Kaplan–Meier plots that
combine individually significant miRNAs, i.e. miR-17-5p and mi
487b. e Risk-score analysis including a plot of each patient’s risk sco
value, a scatterplot of each patient’s following-up day and a prop
tional heatmap that indicates the weighted expression levels of mi
222 and miR-10b
6146
B. Sun et B. Sun et al. 6146 Fig. 2 Qualitative evaluation of the selected features. a Kaplan–Meier
plots using the most individually significant miRNA, i.e. miR-222. b
Kaplan–Meier plots using the most significant pair, i.e., miR-222 and
miR-10b. c Kaplan–Meier plots using the most significant triple, i.e.,
miR-221, miR-10b, and miR-17-5p. d Kaplan–Meier plots that combine individually significant miRNAs, i.e. miR-17-5p and miR-
487b. e Risk-score analysis including a plot of each patient’s risk score
value, a scatterplot of each patient’s following-up day and a propor-
tional heatmap that indicates the weighted expression levels of miR-
222 and miR-10b Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for. . . 6147 transfected with miR-10b/-222 inhibitors combined with the
treatment of MG132, a potent inhibitor of proteasome, and
treated with MG132 alone as control group. The western
blot (WB) results suggested that inhibition of miR-10b and
miR-222 resulted in the increased protein level of p53 by
inhibition of proteolysis (Fig. 4a). Mouse double minute 2
protein (MDM2) is known as a key p53 inhibitor which can
directly bind p53, promote its ubiquitination and shuttle it to
cytoplasm, where it is subsequently degraded by the pro-
teasome [20]. To test whether miR-10b and miR-222 could
modulate the expression of MDM2, we tested the protein
levels of MDM2 in LN229 and U87MG cells that was
treated with the inhibitor of miR-10b and miR-222. MiR-10b and miR-222 directly target PTEN in GBM
cells [25, 26]. The results revealed that inhibition of miR-10b and
miR-222 induced the apoptosis in all three cell lines (Fig. 6a), and the expressions of several principle genes regulated
the apoptosis (including BAX, PUMA, and caspase 3) were
also elevated in all cell lines (Supplementary Fig. S7). Meanwhile, our previous study demonstrated that miR-222
targeted BCL2 binding component 3 (PUMA) to induce
apoptosis independent of p53 status [27]. Accordingly, we
hypothesized that inhibition of miR-10b and miR-222 to [25, 26]. The results revealed that inhibition of miR-10b and
miR-222 induced the apoptosis in all three cell lines (Fig. 6a), and the expressions of several principle genes regulated
the apoptosis (including BAX, PUMA, and caspase 3) were
also elevated in all cell lines (Supplementary Fig. S7). Meanwhile, our previous study demonstrated that miR-222
targeted BCL2 binding component 3 (PUMA) to induce
apoptosis independent of p53 status [27]. Accordingly, we
hypothesized that inhibition of miR-10b and miR-222 to PTEN is regarded as a well-known antagonizer for PI3K/
AKT pathway by negatively regulating AKT activation
through PIP3 dephosphorylation [22]. Besides, PTEN also
inhibits MDM2 by suppressing its P1 promoter, blocking
MDM2 nuclear translocation and destabilizing the MDM2
protein [23]. These findings led us to test whether miR-10b B. Sun et al. 6148 Fig. 3 Inhibition of miR-10b and miR-222 suppressed the GBM cells
proliferation and invasiveness by activation of p53. a LN229, U87MG,
and U251 cells were transfected As-miR-10b or/and As-miR-222 and
harvested after 24, 48, and 72 h. Cell viability was analyzed by CCK‐8
b R
i
l
f
h
EdU
lif
i
f
and pGL4.74 [hRluc/TK] vector plasmids. 24 h after transfection, the
cells were treated with miR-Scr, As-miR-10b, As-miR-222, and As-
miR-10b/222 for 24 h. Cells were only stimulation with doxorubicin
(5 mM) for 18 h as positive control. The data were represented as
d (
3) *
0 01
bl
W
bl
6148
B. Sun et al. Fig. 3 Inhibition of miR-10b and miR-222 suppressed the GBM cells
proliferation and invasiveness by activation of p53. a LN229, U87MG,
and U251 cells were transfected As-miR-10b or/and As-miR-222 and
harvested after 24, 48, and 72 h. Cell viability was analyzed by CCK‐8
assay. b Representative results of the EdU proliferation assay of
LN229. All cells were transfected with miRNA inhibitors and labeled
with EdU (red), Hoechst 33342 (blue). c Representative images of
Transwell assays of cells after transfection with miRNA inhibitor. Fig. 3 Inhibition of miR-10b and miR-222 suppressed the GBM cells
proliferation and invasiveness by activation of p53. a LN229, U87MG,
and U251 cells were transfected As-miR-10b or/and As-miR-222 and
harvested after 24, 48, and 72 h. Cell viability was analyzed by CCK‐8
assay. b Representative results of the EdU proliferation assay of
LN229. All cells were transfected with miRNA inhibitors and labeled
with EdU (red), Hoechst 33342 (blue). c Representative images of
Transwell assays of cells after transfection with miRNA inhibitor. d
LN229 cells were co-transfected with pGL4.38 [luc2P/p53 RE/Hygro] MiR-10b and miR-222 directly target PTEN in GBM
cells b
Western blot analysis showed
the levels of MDM2 after
inhibition of miR-10b and miR-
222 in LN229 and U87MG. c
The level of p53 was tested by
WB, after inhibition of miR-10b
and miR-222 in LN229 with
MDM2 stable knockdown. d
Representative images of IF
using anti-MDM2 antibody
shows the subcellular
distribution of MDM2 protein. e
Western blot analysis showed
the levels of MDM2 Ser166 and
AKT Ser473 in LN229 cells that
transfected with miRNA
inhibitors as indicated. The
results have been correct with
the downregulation of
total MDM2 Fig. 4 Downregulation of miR-
10b and miR-222 suppressed the
express of MDM2. a LN229
cells were treated with MG132
(10 μmol/L) alone for 6 h and
harvested different hours after
treatment as control. Cells were
transfected with As-miR-10b/
222 for 24 h and together with
MG132 (10 μmol/L) treatment
as compared. The difference
levels of p53 between the two
groups were analysis by WB. b
Western blot analysis showed
the levels of MDM2 after
inhibition of miR-10b and miR-
222 in LN229 and U87MG. c
The level of p53 was tested by
WB, after inhibition of miR-10b
and miR-222 in LN229 with
MDM2 stable knockdown. d
Representative images of IF
using anti-MDM2 antibody
shows the subcellular
distribution of MDM2 protein. e
Western blot analysis showed
the levels of MDM2 Ser166 and
AKT Ser473 in LN229 cells that
transfected with miRNA
inhibitors as indicated. The
results have been correct with
the downregulation of
total MDM2 expected, the luciferase activity showed significant differ-
ences among the three reporters that transfected with miR-10b
or miR-222 mimics (Fig. 6b). In addition, the high expression
of mRNA and protein of BIM were also detected by WB and
RT-PCR in all cell lines (Fig. 6c). These data confirmed that
miR-10b and miR-222 also directly modulated BIM expres-
sion by binding to the 3′UTR to induce apoptosis by p53
independent mode. expected, the luciferase activity showed significant differ-
ences among the three reporters that transfected with miR-10b
or miR-222 mimics (Fig. 6b). In addition, the high expression
of mRNA and protein of BIM were also detected by WB and
RT-PCR in all cell lines (Fig. 6c). These data confirmed that
miR-10b and miR-222 also directly modulated BIM expres-
sion by binding to the 3′UTR to induce apoptosis by p53
independent mode. induce apoptosis in GBM cells may exist a mechanism
independent of p53 activation. MiR-10b and miR-222 directly target PTEN in GBM
cells d
LN229 cells were co-transfected with pGL4.38 [luc2P/p53 RE/Hygro]
and pGL4.74 [hRluc/TK] vector plasmids. 24 h after transfection, the
cells were treated with miR-Scr, As-miR-10b, As-miR-222, and As-
miR-10b/222 for 24 h. Cells were only stimulation with doxorubicin
(5 mM) for 18 h as positive control. The data were represented as
mean ± s.d. (n = 3), *p < 0.01 versus scramble group. e Western blot
analysis showed the level of p53 after inhibition of miR-10b and miR-
222 in LN229 and U87MG. GAPDH was used as an internal control. The RT-PCR results for TP53 mRNA in LN229 and U87MG were
show in Supplementary Fig. S2 Fig. 3 Inhibition of miR-10b and miR-222 suppressed the GBM cells
proliferation and invasiveness by activation of p53. a LN229, U87MG,
and U251 cells were transfected As-miR-10b or/and As-miR-222 and
harvested after 24, 48, and 72 h. Cell viability was analyzed by CCK‐8
assay. b Representative results of the EdU proliferation assay of
LN229. All cells were transfected with miRNA inhibitors and labeled
with EdU (red), Hoechst 33342 (blue). c Representative images of
Transwell assays of cells after transfection with miRNA inhibitor. d
LN229 cells were co-transfected with pGL4.38 [luc2P/p53 RE/Hygro] and pGL4.74 [hRluc/TK] vector plasmids. 24 h after transfection, the
cells were treated with miR-Scr, As-miR-10b, As-miR-222, and As-
miR-10b/222 for 24 h. Cells were only stimulation with doxorubicin
(5 mM) for 18 h as positive control. The data were represented as
mean ± s.d. (n = 3), *p < 0.01 versus scramble group. e Western blot
analysis showed the level of p53 after inhibition of miR-10b and miR-
222 in LN229 and U87MG. GAPDH was used as an internal control. The RT-PCR results for TP53 mRNA in LN229 and U87MG were
show in Supplementary Fig. S2 Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for. . . 6149 induce apoptosis in GBM cells may exist a mechanism
expected, the luciferase activity showed significant differ-
Fig. 4 Downregulation of miR-
10b and miR-222 suppressed the
express of MDM2. a LN229
cells were treated with MG132
(10 μmol/L) alone for 6 h and
harvested different hours after
treatment as control. Cells were
transfected with As-miR-10b/
222 for 24 h and together with
MG132 (10 μmol/L) treatment
as compared. The difference
levels of p53 between the two
groups were analysis by WB. MiR-10b and miR-222 directly target PTEN in GBM
cells (n = 3), *p < 0.01 versus vector group for each
plasmid. Inhibition of miR-10b and miR-222 increased PTEN
expression test by RT-PCR. b Western blot analysis for PTEN,
MDM2, and p53 in LN229 and U87MGPTEN+. All cells were harvested at 48 h after transfection with miR-Scr or As-miR-10b/222
as previously indicated. c Representative images of IF using anti-
PTEN antibody showed the level and subcellular distribution of PTEN
protein in LN229. d Western blot analysis of PTEN and p53 in glioma
derived primary cell cultures after transfection with As-miR-10b/222
as indicated. GAPDH was used as loading control Fig. 5 MiR-10b and miR-222 direct target PTEN in GBM. a Luci-
ferase reporter assays in glioma cells after co-transfection of cells with
P1, P2, and P3 plasmids and miRNA mimics. The data was repre-
sented as mean ± s.d. (n = 3), *p < 0.01 versus vector group for each
plasmid. Inhibition of miR-10b and miR-222 increased PTEN
expression test by RT-PCR. b Western blot analysis for PTEN,
MDM2, and p53 in LN229 and U87MGPTEN+. All cells were cells (LN229-Luc) and divided into four group (n = 4/
group, that were separately transfected with As-miR-10b,
As-miR-222, As-miR-10b/222, and scrambled as negative
control). We assessed tumor growth of the four mice groups
by bioluminescence imaging every week. All the miRNA
inhibitors transfected groups showed considerable reduction
of tumor compared with the scrambled group (Fig. 7a). Immunohistochemistry (IHC) analysis confirmed that inhi-
bition of miR-10b and miR-222 increased PTEN and p53
levels in tumor, compared with the control group (Fig. 7b). Altogether, these results indicated that downregulation of
miR-10b and miR-222 suppressed GBM tumor growth by
targeting PTEN/p53 similarly in vivo. untranslated regions of p27/Kip1 [29]. In addition, silencing
of miR-10b caused de-repression of CDKN1A/p21 by
direct targeting its 3′ UTR and led to reduction of glioma
cell growth [30]. p27Kip1 and p21Cip1 are thought to suppress
tumor growth and prevent cell cycle progression by inhi-
biting Cdk2-cyclin E/A kinases [31]. In according to these
previous studies, we confirmed the levels of p21 and p27
were all increased in GBM cells that transfected with miR-
10b/-222 inhibitors (Fig. 6e). These data might indicate how
inhibition of miR-10b and miR-222 could induce cell cycle
arrest without activation of p53 in U87MG and U251 cells. Anti-miR-10b/miR-222 attenuate growth of GBM
cells in vivo To verify the physiological evidence of miR-10b and miR-
222 regulation to glioblastoma cell growth, we further
assessed the antitumor efficacy of As-miR-10b/miR-222
in vivo. We adopted nude mice bearing intracranial glioma MiR-10b and miR-222 directly target PTEN in GBM
cells To test this hypothesis, we focused on the targets of miR-
10b and miR-222 that could modulate apoptosis. Thereafter,
we found BIM/BCL2L11 had putative binding sites for both
miR-10b and miR-222 by using the miRWalk target predic-
tion program [19]. BIM, a proapoptotic BH3-only protein of
the Bcl-2 family, is an essential initiator of apoptosis [28]. To
validate the direct binding and targeting for miR-10b and
miR-222, we also constructed dual-luciferase reporter plas-
mids containing either wild-type or mutated 3′UTRs of BIM
(miR-222wt/miR-10bwt, miR-222wt/miR-10bmut, and miR-
222mut/miR-10bwt). The seed-bind sequence and mutations
were designed and indicated in Supplementary Fig. S8. As The flow cytometry analysis showed that LN229 exhib-
ited cell cycle arrest at G1 phase after inhibition of miR-10b
and miR-222 (Fig. 6d). However, without activation of p53,
U87MG and U251 similarly accumulated in G1 phase in
both miR-10b/222 inhibition group (Supplementary Fig. S9). MiR-222
has
been
validated
to
target
the
3′ B. Sun et al. 6150 Fig. 5 MiR-10b and miR-222 direct target PTEN in GBM. a Luci-
ferase reporter assays in glioma cells after co-transfection of cells with
P1, P2, and P3 plasmids and miRNA mimics. The data was repre-
sented as mean ± s.d. (n = 3), *p < 0.01 versus vector group for each
plasmid. Inhibition of miR-10b and miR-222 increased PTEN
expression test by RT-PCR. b Western blot analysis for PTEN,
MDM2, and p53 in LN229 and U87MGPTEN+. All cells were
harvested at 48 h after transfection with miR-Scr or As-miR-10b/222
as previously indicated. c Representative images of IF using anti-
PTEN antibody showed the level and subcellular distribution of PTEN
protein in LN229. d Western blot analysis of PTEN and p53 in glioma
derived primary cell cultures after transfection with As-miR-10b/222
as indicated. GAPDH was used as loading control harvested at 48 h after transfection with miR-Scr or As-miR-10b/222
as previously indicated. c Representative images of IF using anti-
PTEN antibody showed the level and subcellular distribution of PTEN
protein in LN229. d Western blot analysis of PTEN and p53 in glioma
derived primary cell cultures after transfection with As-miR-10b/222
as indicated. GAPDH was used as loading control Fig. 5 MiR-10b and miR-222 direct target PTEN in GBM. a Luci-
ferase reporter assays in glioma cells after co-transfection of cells with
P1, P2, and P3 plasmids and miRNA mimics. The data was repre-
sented as mean ± s.d. Discussion We have presented a method named as joint covariate
detection [12] for selection of features by bottom-up Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for. . . 6151 Fig. 6 Inhibition of miR-10b and miR-222 induced cell cycle arrest
and apoptosis of GBM cells, and BIM was co-targeted by miR-10b
and miR-222. a The LN229, U87MG, and U251 cells were transfected
with indicated miRNA inhibitors for 72 h, and the promotion of
apoptosis was measured by AnnexinV‐FITC/PI double staining. b
Luciferase reporter assays in glioma cells after co-transfection of cells
with B1, B2, and B3 plasmids and miRNA mimics. The data were
represented as mean ± s.d. (n = 3), *p < 0.01 versus vector group for
each plasmid. c Western blot and RT-PCR analysis for BIM in LN229,
U251, and U87MG. d Cell cycle analysis of miR-Scr and As-miR-
10b/222 transfected cells in LN229, and overview of the cell cycle. e
Western blot analysis for p21 and p27 in U251 and U87MG after
transfection as indicated Fig. 6 Inhibition of miR-10b and miR-222 induced cell cycle arrest
and apoptosis of GBM cells, and BIM was co-targeted by miR-10b
and miR-222. a The LN229, U87MG, and U251 cells were transfected
with indicated miRNA inhibitors for 72 h, and the promotion of
t
i
d b
A
i V FITC/PI d
bl
t i i
b
represented as mean ± s.d. (n = 3), *p < 0.01 vers
each plasmid. c Western blot and RT-PCR analysis
U251, and U87MG. d Cell cycle analysis of mi
10b/222 transfected cells in LN229, and overview
W
t
bl t
l
i
f
21
d
27 i
U251 Fig. 6 Inhibition of miR-10b and miR-222 induced cell cycle arrest
and apoptosis of GBM cells, and BIM was co-targeted by miR-10b
and miR-222. a The LN229, U87MG, and U251 cells were transfected
with indicated miRNA inhibitors for 72 h, and the promotion of
apoptosis was measured by AnnexinV‐FITC/PI double staining. b
Luciferase reporter assays in glioma cells after co-transfection of cells
with B1, B2, and B3 plasmids and miRNA mimics. The data were represented as mean ± s.d. (n = 3), *p < 0.01 versus vector group for
each plasmid. c Western blot and RT-PCR analysis for BIM in LN229,
U251, and U87MG. Discussion But the interaction
between PTEN and p53 was not explored in any miR-222
or miR-10b function studies. We demonstrated for the first
time that miR-10b and miR-222 co-target PTEN in GBM
and elucidated the activation of p53 by PTEN/MDM2
interaction. PTEN and TP53 are the two key tumor sup-
pressor genes. Although they are functionally distinct and
involved in different pathway, reciprocal cooperation has
been well proposed, as PTEN is thought to regulate
p53 stability by suppressing MDM2, and p53 to enhance
PTEN transcription [38]. Meanwhile, PTEN and TP53 are
also the most commonly mutated genes in human cancer bioinformatics analysis (i.e., DIANA [28]). Then we con-
firmed that the activation of p53 due to the suppression of
MDM2 expression and the blocking of phosphorylation
MDM2 by p-AKT. Ultimately, it was confirmed that these
cellular responses were mediated by increased expression of
PTEN, which is co-targeted by miR-10b and miR-222. MiR-222 has been reported that directly target PTEN in
aggressive non-small cell lung cancer, hepatocarcinoma,
and gastric carcinoma [35, 36]. Meanwhile, miR-10b was
found to regulate the self-renewal of the breast cancer stem
cell phenotype by targeting PTEN [37]. But the interaction
between PTEN and p53 was not explored in any miR-222
or miR-10b function studies. We demonstrated for the first
time that miR-10b and miR-222 co-target PTEN in GBM
and elucidated the activation of p53 by PTEN/MDM2
interaction. PTEN and TP53 are the two key tumor sup-
pressor genes. Although they are functionally distinct and
involved in different pathway, reciprocal cooperation has
been well proposed, as PTEN is thought to regulate
p53 stability by suppressing MDM2, and p53 to enhance
PTEN transcription [38]. Meanwhile, PTEN and TP53 are
also the most commonly mutated genes in human cancer but not least, we divided joint covariate detection into
sequential steps, i.e., selection of features consistent with
survival time and selection of features associated with
stratification of patients, which significantly reduced the
processing time and made possible the accomplishment of
triple feature enumeration. Using High-performance com-
puting (HPC) which kept 960 cores in 40 nodes, we became
the first to fulfill triple feature enumeration on miRNA
expression data (Level 3) of 548 patients with GBM
downloaded from TCGA spending over 48 days. Mir-10b and miR-222 have been well demonstrated as
important onco-miRNAs that promote tumorigenesis and
maintain malignancy in GBM cells [30]. Discussion d Cell cycle analysis of miR-Scr and As-miR-
10b/222 transfected cells in LN229, and overview of the cell cycle. e
Western blot analysis for p21 and p27 in U251 and U87MG after
transfection as indicated Besides, our contributions are several folds. First,
quantitative evaluation of the selected features consistent
with survival time was considered. In order to decide when
to terminate feature enumeration, Occam’s Razor and cross
dimension comparison were utilized for overfitting and
under-fitting avoidance, respectively. Second, qualitative
evaluation of the selected features associated with stratifi-
cation of patients was also made including a proportional
heatmap. As was firstly provided, the proportional heatmap
considers the correlation of each component of the selected
feature, which is totally different from the traditional exhi-
bition of expression values of significant individuals. In that
way, potential variable (e.g., miR-10b) might probably
submerge on account of the significant individuals (e.g. miR-222) with absolutely large expression values. The
above two points have been visually shown in Fig. 2. Last enumeration of variables, and have provided a tool named as
JCDSA, i.e., a joint covariate detection tool for survival
analysis [13]. Joint covariate detection resolved the problem
of partial or local feature selection by variable enumeration. It has been revealed that dimensional features considered to
be significant may not be composed of variables individually
significant by comparisons within joint covariate detection
on different dimensions or between joint covariate detection
and other prevailing model (e.g., random survival forest
[32]) for feature selection on simulation data, which also
helps to demonstrate that joint covariate detection can select
true features rather than false positives [13]. However, it
lacks evaluation steps for feature confirmation. Therefore,
we proposed evaluations of JCDSA-based feature selection,
which together with joint covariate detection formed a
bottom-up feature selection strategy as shown in Fig. 1. B. Sun et al. 6152 Fig. 7 Downregulation of miR-10b and miR-222 inhibited tumor
growth in vivo. a Representative luminescence imaging for As-miR-
10b/222 transfected LN229-luc tumors versus scramble-treated con-
trols (images were taken in the third week after treatment). b PTEN
and p53 expression after transfecting in tumor sections following IHC
analysis (*the bars represent 100 μm). c Schematic representation of
the pattern for miR-10b and miR-222 participated in tumorigenicity of
GBM. Model summarizes the contribution of miR-10b and miR-222 to
target PTEN and BIM to suppress p53 pathway. Discussion PUMA, p21 and p27
were also involved in the regulation of tumor by miR-10b/222. MiR-
10b target gene was shown in yellow. MiR-222 target genes were
shown in green. Co-target genes by miR-10b and miR-222 were
shown in red tumor
As-miR-
ed con-
PTEN
ng IHC
ation of
icity of
GBM. Model summarizes the contribution of miR-10b and miR-222 to
target PTEN and BIM to suppress p53 pathway. PUMA, p21 and p27
were also involved in the regulation of tumor by miR-10b/222. MiR-
10b target gene was shown in yellow. MiR-222 target genes were
shown in green. Co-target genes by miR-10b and miR-222 were
shown in red Fig. 7 Downregulation of miR-10b and miR-222 inhibited tumor
growth in vivo. a Representative luminescence imaging for As-miR-
10b/222 transfected LN229-luc tumors versus scramble-treated con-
trols (images were taken in the third week after treatment). b PTEN
and p53 expression after transfecting in tumor sections following IHC
analysis (*the bars represent 100 μm). c Schematic representation of
the pattern for miR-10b and miR-222 participated in tumorigenicity of Fig. 7 Downregulation of miR-10b and miR-222 inhibited tumor
growth in vivo. a Representative luminescence imaging for As-miR-
10b/222 transfected LN229-luc tumors versus scramble-treated con-
trols (images were taken in the third week after treatment). b PTEN
and p53 expression after transfecting in tumor sections following IHC
analysis (*the bars represent 100 μm). c Schematic representation of
the pattern for miR-10b and miR-222 participated in tumorigenicity of GBM. Model summarizes the contribution of miR-10b and miR-222 to
target PTEN and BIM to suppress p53 pathway. PUMA, p21 and p27
were also involved in the regulation of tumor by miR-10b/222. MiR-
10b target gene was shown in yellow. MiR-222 target genes were
shown in green. Co-target genes by miR-10b and miR-222 were
shown in red bioinformatics analysis (i.e., DIANA [28]). Then we con-
firmed that the activation of p53 due to the suppression of
MDM2 expression and the blocking of phosphorylation
MDM2 by p-AKT. Ultimately, it was confirmed that these
cellular responses were mediated by increased expression of
PTEN, which is co-targeted by miR-10b and miR-222. MiR-222 has been reported that directly target PTEN in
aggressive non-small cell lung cancer, hepatocarcinoma,
and gastric carcinoma [35, 36]. Meanwhile, miR-10b was
found to regulate the self-renewal of the breast cancer stem
cell phenotype by targeting PTEN [37]. Oligonucleotides, reagents treatment including GBM [39]. Numerous investigations have shown
that the inactivation of both genes is required for glioma-
genesis [40]. The significance of our study on miR-10b and
miR-222 is that it further reveals the mechanism of PTEN
and p53 inactivation in gliomas. The miR-10b and miR-222 inhibitors (As-miR-10b, As-
miR-222), mimics and corresponding control RNA were
obtained from GeneP Pharma (Suzhou, china; see Supple-
mentary Table S6 for detailed sequences). Cells were
transfected with mimics or inhibitor of miRNAs using
Lipofectamine 2000 (Invitrogen; LS11668019) according to
the manufacturer’s instructions. MG132(S2619) and Dox-
orubicin(S1208) were obtained from Selleck Chemical. We
purchased G418(E859) from Amresco. The apoptosis in U87MG and U251 cells induced by
inhibition of miR-10b and miR-222 attracted our attentions
to the mechanism independent of PTEN/TP53 status. Resistance to apoptosis is a major obstacle in GBM therapy
[41]. We further identified the proapoptotic molecule BIM
as a common target of miR-10b and miR-222 in GBM. BIM
is localized to the mitochondria where it initiates the
mitochondrial cell death pathway by directly activating
Bax/Bak-dependent
apoptosis
[5]. Mir-10b
has
been
demonstrated to control the growth of gliomas by targeting
BIM [30]. However, miR-222 was only reported to target
BIM in PC12 cells [42]. BIM is downregulated in 29% of
GBM cases based on TCGA analysis [5]. The further study
of miR-10b and miR-222 in cell cycle arrest and apoptosis
suggested their roles in tumorigenicity independent of
PTEN/p53 interaction and probably explained the reason
for the downregulation of BIM in such GBM patients. In
summary, our results demonstrated the central roles of miR-
10b and miR-222 in well-known tumor suppressor genes’
network and novel apoptosis inducement as schematically
illustrated in Fig. 7c. Inhibition of miR-10b and miR-222 in
model mice with intracranial glioma resulted in significant
reduction of tumor growth. The study therefore represents
combination of miR-10b and miR-222 could be a promising
therapeutic strategy for GBM patient. Plasmids and short hairpin RNA transfection The PTEN (NM_000314) plasmid and plain vector (CMV-
MCS-EGFP-SV40-Neomycin)
were
purchased
and
con-
structed from Genechem Company (Shanghai, China). The
shMDM2-Plko.1-Puro plasmids and Control short hairpin
RNA (shRNA) vector were constructed from Ribobio Com-
pany. The
MDM2
shRNA1,
shRNA2,
shRNA3,
and
shRNA4 sequence were listed in Supplementary Table S7. The
plasmid profiles were show in Supplementary Fig. S10. Stable
cell line for the expression of PTEN or knockdown MDM2
were selected using 0.8 mg/mL G418 (Amresco) for 2 weeks
and then cultured in 10% FBS with 0.4 mg/mL G418. G418-
resistant colonies were cloned or pooled for analysis. Cell lines culture The human glioma cell lines, U87MG, U251, and LN229,
were purchased from Chinese Academy of Sciences Cell
Bank. To avoid cross-contamination, all cell lines have been
confirmed by short tandem repeat (STR) tests. We also test
for mycoplasma contamination. The LN229 cells were
cultured in Dulbecco’s modified Eagle’s medium (DMEM)/
F12 (Corning) supplemented with 10% fetal bovine serum
(Gibco) and 1% antibiotic (Sigma). The U87 and U251 cells
were maintained in Dulbecco’s modified Eagle’s medium
(Gibco)
supplemented
with
10%
fetal
bovine
serum
(Gibco). Patient derived glioma cells were grown in DMEM
(F-12) supplemented with B-27 (Thermo Fisher Scientific;
17504044),
20 ng/ml
basic
fibroblast
growth
factor
(Peprotech; 100-18B) and 20 ng/ml epidermal growth factor
(Peprotech; AF-100-15). All cells were incubated at 37 °C
in a 5% CO2 atmosphere. Discussion Notably, the high
expression of miR-10b and miR-222 were both significantly
associated
with
poor
survival
in
glioma
patients
[30, 33, 34]. In our study, we implemented a strategy
containing not only JCDSA-based feature selection but also
the corresponding evaluations and found out miR-10b and
miR-222 as the most significant pair associated with overall
survival in patients with GBM. To testify the result and
clarify the molecular mechanism that these miRNAs
involved, we first focused on the p53 pathway by Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for. . . 6153 Methods In order to make an assurance on selecting significant
miRNA pairs other than individual miRNAs, a comparison
of Cox proportional hazard regression coefficients was
made between multivariable regression on the significant
pair and univariable regression on the corresponding indi-
vidually significant variable, which was a part of that sig-
nificant pair. Note that the established model was a
multivariable one. Thus, partial likelihood ratio test [14]
denoted as T was calculated as follows, ð1Þ T ¼ 2 ll ^β
ll 0
ð Þ
;
ð1Þ Flow cytometry assays Cells were transfected with As-miR-222, As-miR-10b,
As-miR-222/10b, and miR-Scr for 48 h. The medium was
replaced with serum-free medium for 24 h, and the cells
were collected and fixed with 75% ethanol at 4 °C over-
night. The supernatant was discarded, and the cells were
washed twice with ice-cold phosphate-buffered saline. The cells were re-suspended in 500 μL propidium iodide
(BD) staining buffer for 30 min at room temperature. Stained cells were analyzed on a FACSCanto II (BD
Biosciences, USA). The FITC Annexin V Apoptosis
Detection Kit I (BD Pharmingen;559763) was used to
detect and quantify apoptosis by flow cytometry. In brief,
U87MG, U251 and LN229 cells in the log phase of
growth reached 70–80% confluence. After 36 h or 72 h of RNA extraction, cDNA synthesis and quantitative
real-time PCR Cell-Light 5-Ethynyl-2′-deoxyuridine (EdU) Cell Prolifera-
tion Kit (RiboBio; C10310) was used to investigate the
proliferation of GBM cells according to the manufacturer’s
instructions. In brief, all cells were seeded in a 96-well plate,
and the medium was replaced with 100 μL of 10 μM EdU
medium in each well. The cells were then incubated for 2 h
and fixed with 4% paraformaldehyde. The formaldehyde
was neutralized with 2 mg/mL glycine solution, after which
the cells were subjected to 0.5% Triton X-100 permeabili-
zation. Then, the cells were stained with Apollo® reaction
cocktail and incubated for 30 mins. The cells were subse-
quently counterstained with Hoechst 33342 for 20 mins and
imaged via fluorescence microscopy (Nikon, Japan). Total RNA was isolated from cell lines using TRIzol
reagent (Invitrogen;15596026). The cDNAs were prepared
with the use of PrimeScript RT reagents Kit (TaKaRa;
RR037) as the manufacturer’s protocol. QRT-PCR was
performed in LightCycler2.0 (Roche Diagnostics, USA) in
triplicate
and
normalized
with
glyceraldehyde
3-
phosphatedehydrogenase (GAPDH) or U6 as endogenous
control. The real-time PCR primers were shown in Sup-
plementary Table S8. The primers for detection of miRNA
and U6 were designed by GenePharma (Suzhou, China). The primers for detection of genes were designed by San-
gon Biotech (Shanghai, China). The transwell invasion assay Invasion assays were performed in a 24-well Transwell
chamber (Corning). In brief, cells transfected with As-miR-
10b, As-miR-222, As-miR-10b/222, and miR-Scr were
seeded at a density of 5 × 104 cells per upper well in 200 μL
of culture medium (DMEM/F12, 4% FBS), and the lower
chamber was filled with 500 μL of medium (DMEM/F12,
50% FBS). After 24 h, the upper surface was removed by
scrubbing with a cotton-tipped stick, while the lower sur-
face was fixed with methanol for five minutes, air-dried, and
stained with hematoxylin and eosin. All experiments were
performed in triplicate. Immunofluorescence(IF)
and
immunohistochemistry
(IHC) assay were performed as previously described
[43, 44]. The cell lines were treated with transfections as
above described. After 48 h, the cells were fixed in 4%
paraformaldehyde,
permeabilized
with
0.1%
Triton,
blocked with 1 % BSA, and incubated with mouse anti-
MDM2 antibody (Abcam; ab16895,1:200), rabbit anti-
PTEN
antibody
(Proteintech;22034-1-AP,1:200)
and
Alexa Fluor 594 and 488-labeled secondary antibody
(1:1000, Invitrogen). Nuclei were counterstained using
4′,6-diamidino-2- phenylin- dole (DAPI; Sigma; 28718-
90-3). The slides were examined by fluorescence micro-
scope (Nikon, Japan). Rabbit anti-p53(Proteintech;10442-
1-AP,1:800) and mouse anti-PTEN(Proteintech;60300-1-
lg,1:800) were used for IHC. Cell proliferation assay where ll denotes the log partial likelihood function. T
follows a χ2 distribution with k degrees of freedom. k
denotes the feature dimension. If its corresponding p-value
is significance together with significant p-values in each
component (see the method part of our previous work [12]),
the selected features are quantitatively confirmed. The glioma cells growth treated by As-miR-10b, As-miR-
222, and As-miR-10b/222 were evaluated using the Cell
counting kit-8 (CCK-8) (Dojindo, CK04) assay according
to the manufacturer’s instructions. In brief, cells were B. Sun et al. 6154 transfection as above mentioned, the cells were harvested
and collected by centrifugation. Cells were re-suspended
(1 × 106 cells/ml) with binding buffer. Then added 5 μl of
FITC annexin V and 5 μl PI and incubated for 15 min. Then, the stained cells were immediately analyzed using
by FACSCanto II. seeded at density of 3000–5000 cells/well in a 96-well plate
and incubated overnight. After transfections for 24, 48, and
72 h, CCK-8 (10 μl, 10%) was added to each well once
every hour before incubation ended. Then its absorbance at
450 nm was measured by a microplate reader (IMARK). All
experiments were repeated in triplicate. Tumor xenograft study p27/KIP1(Proteintech; 25614-1-AP, 1:1000), mouse anti-
AKT-phospho-S473 (Proteintech; 66444-1-lg, 1:1000), rab-
bit anti-PUMA(Santa Cruz Biotechnology;sc-28226,1:1000). Following incubation in HRP labeled secondary antibody
(Introvigen), protein bands were scanned with the ECL sys-
tem and detected by Gel Doc 2000 (Bio-Rad). All Western
blot results were confirmed from triplicate experiments. Nuclear and Cytoplasmic Protein Extraction Kit (Beyotime
Biotechnology; P0028) was used to nuclear protein extracted. Co-immunoprecipitation (co-IP) assays were performed with
PureProteome Protein A/G Mix Magnetic Beads (Merck
Millipore) as described in the manufacturer’s protocol. Mouse
anti-p53(Cell
Signaling
Technology;
#2524,1:200)
and
mouse anti-MDM2(Abcam; ab16895,1:200) for the co-IP
assays. After transfection of 48 h, cells were lysed using RIPA
buffer (Thermo Fisher Scientific;89900) and incubated with
20 μL of protein-A/G PLUS-Agarose beads and 1 μg of the
appropriate primary antibodies at 4 °C overnight. After
washing three times with RIPA and the samples were ana-
lyzed through Western blotting. In brief, 5-week–old female BALB/c-nude mice were used
for orthotropic xenograft models. The LN229 cells have
been transfected with luciferase lentivirus. Then these cells
were transfected with As-miR-222, As-miR-10b, As-miR-
222/10b, miR-Scr, and intracranially injected into the right
hemisphere of mouse (LN229-luc 3 × 105 cells in 3 μl per
mouse, all healthy mice were randomly divided into four
groups, six mice/group). The intracranial tumors were
measured as average radiance (photons/s/cm2/sr) by IVIS
Lumina Imaging System (Xenogen) every week. At the end
of the 3 weeks, the parallel groups of xenograft-bearing
mice were killed. Cryosections (4 mm) were stained and
used for IHC. These procedures were performed following
approval by the Harbin Medical University Institutional
Animal Care and Use Committee. Western blot, immunoprecipitation analysis Western blotting and immunofluorescence assays were per-
formed as previously described [45]. Primary antibodies
included mouse anti-MDM2 (Abcam; ab16895,1:1000), rab-
bit anti-MDM2-phospho-S166 (Abcam; ab170880,1:1000),
mouse anti-p53 (Cell Signaling Technology; #2524, 1:1000),
rabbit anti-BAX (Cell Signaling Technology; #2774,1:1000),
rabbit anti-BIM (Cell Signaling Technology; #2933, 1:1000),
rabbit anti-p21/CDKN1A (Proteintech; 10355-1-AP,1:1000),
rabbit anti-p53 (Proteintech; 10442-1-AP, 1:1000), rabbit
anti-PTEN (Proteintech; 22034-1-AP, 1:1000), rabbit anti- 6155 Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for. . . Luciferase reporter assay Acknowledgements This work is supported by the National Key
Research and Development Plan (No. 2016YFC0902500); the National
Natural Science Foundation of China (No. 81702972, No. 81572701, and
No. 81772666); the Special Fund Project of Translational Medicine in the
Chinese-Russian Medical Research Center (No. CR201417). Besides,
Xudong Zhao would like to thank the financial support of Fundamental
Research Funds for the Central Universities (No. 2572018BH01) and
Specialized Personnel Start-up Grant (No. 41113237). Luciferase reporter assay was performed as described pre-
viously. In brief, 3′-UTR sequences and the mutant
sequences of PTEN and BIM containing the putative miR-
10b and miR-222 binding sites were cloned into the plasmid
SV40-Luc-MCS report vectors (GeneChem, GV272). We
designed three PTEN reporter vectors, namely P1 plasmid
(miR-10b WT/miR-222 WT), P2 plasmid (miR-10b WT/
miR-222 Mut), P3 plasmid (miR-10b Mut/miR-222 WT). The three BIM vectors designed as B1 plasmid (miR-10b
WT/miR-222 WT), B2 plasmid (miR-10b WT/miR-222
Mut), B3 plasmid (miR-10b Mut/miR-222 WT; see Sup-
plementary Fig. S5 and S8 for detailed sequences infor-
mation). The next day, cells were co-transfected with P1-P3
and B1-B3 reporter plasmids and miR-10b and miR-222
mimics. 48 h after transfection, cell lysates were prepared,
and luciferase reporter activity was quantified with a Dual-
Luciferase Reporter Assay System (Promega). Author contributions B.S. and X.D.Z. conceived the original idea and
performed the systematic literature review. X.D.Z. and C.L.J. managed
the project. X.D.Z. designed and actualized the statistical method. J.G.M. preformed experiments. X.L. contributed to collection and assembly of
clinical data. B.S. and X.D.Z. analyzed the data and revised the draft. X.L. and D.M.L. participated in the interpretation of the results. B.S. and
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interest. Conflict of interest The authors declare that they have no conflict of
interest. To measure activation of the p53 response element, cells
were seeded at 2 × 103 cells/well in 96-well plates and
allowed to settle overnight. The next day, cells were co-
transfected
with
pGL4.38
[luc2P/p53
RE/Hygro]
and
pGL4.74 [hRluc/TK] vector plasmids (E692A, E365A
Promega) (in a 10:1 mass ratio). 24 h after transfection, the
cells were treated with miR-Scr, As-miR-10b, As-miR-222,
and As-miR-10b/222 for 24 h and stimulation with doxor-
ubicin (5 mM) for 18 h as control. Cell lysates were pre-
pared 24 hours after treatment and luciferase reporter
activity was quantified with a Dual-Luciferase Reporter
Assay System (Promega). Ethics statement Informed consent was obtained from the two GBM
patients involved in this study, and the study protocol was approved by
the Clinical Research Ethics Committee of The Second Affiliated
Hospital of Harbin Medical University. The protocol for animal stu-
dies was also approved by the Clinical Research Ethics Committee of
The Second Affiliated Hospital of Harbin Medical University. All
documents have been preserved. Publisher’s note: Springer Nature remains neutral with regard to
jurisdictional claims in published maps and institutional affiliations. Open Access This article is licensed under a Creative Commons
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indicated otherwise in a credit line to the material. If material is not
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genetic silencing of miR-338 facilitates glioblastoma progression
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https://openalex.org/W2116758931
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https://ro-journal.biomedcentral.com/counter/pdf/10.1186/s13014-014-0305-4
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English
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Radiation therapy at the end of life: a population-based study examining palliative treatment intensity
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Radiation oncology
| 2,015
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cc-by
| 7,647
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Abstract Background: To examine factors associated with the use of radiation therapy (RT) at the end of life in patients with
breast, prostate, or colorectal cancer. Methods: Using data from the Surveillance, Epidemiology, and End Results (SEER) – Medicare database, patients
were over age 65 and diagnosed between January 1, 2004 and December 31, 2011 with any stage of cancer
when the cause of death, as defined by SEER, was cancer; or with stage 4 cancer, who died of any cause. We
employed multiple logistic regression models to identify patient and health systems factors associated with
palliative radiation use. Results: 50% of patients received RT in the last 6 months of life. RT was used less frequently in older patients and in
non-Hispanic white patients. Similar patterns were observed in the last 14 days of life. Chemotherapy use in the last
6 months of life was strongly correlated with receiving RT in the last 6 months (OR 2.72, 95% CI: 2.59-2.88) and last
14 days of life (OR 1.55, 95% CI: 1.40-1.66). Patients receiving RT accrued more emergency department visits,
radiographic exams and physician visits (all comparisons p < 0.0001). Conclusions: Among patients with breast, colorectal, and prostate cancer, palliative RT use was common. End-of-life RT correlated with end-of-life chemotherapy use, including in the last 14 days of life, when treatment
may cause increased treatment burden without improved quality of life. Research is needed optimize the role
and timing of RT in palliative care. Keywords: Palliative care, SEER-Medicare, Radiation therapy, Radiotherapy, Radiation oncology, End-of-life care Keywords: Palliative care, SEER-Medicare, Radiation therapy, Radiotherapy, Radiation oncology Treatment in this time period must achieve the dual
aims of improving or sustaining quality of life, while
minimizing treatment time and burden. Radiation ther-
apy (RT) is commonly used to palliate symptoms of
metastatic cancer or prevent impending severe morbid-
ity, and single-fraction RT can be more cost effective
than alternative methods of pain relief, including pain
medication or chemotherapy [7-9]. However, RT re-
quires daily treatment that can also cause limited short-
term side effects, and it can require weeks after initiation
of treatment to realize optimal palliation [10,11]. Kress et al. Radiation Oncology (2015) 10:15
DOI 10.1186/s13014-014-0305-4 * Correspondence: Marieadele.kress@gmail.com
1Huron River Radiation Oncology, 5301 E Huron River Dr Ann Arbor,
Michigan 48106, USA
Full list of author information is available at the end of the article Radiation therapy at the end of life:
a population-based study examining
palliative treatment intensity Marie-Adele Sorel Kress1*, Roxanne E Jensen2, Huei-Ting Tsai2, Tania Lobo2, Andrew Satinsky1
and Arnold L Potosky2 © 2015 Kress 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. Abstract As a
result, the timeliness of the use of RT is critical at the
end of life: it needs to occur early enough to have mean-
ingful clinical impact, and it may be inappropriate at the In the last six months of life, cancer patients may
undergo aggressive, costly care that often does not
change their disease course, quality of life, or life expect-
ancy [1,2]. Patients with breast, prostate and colorectal
cancer often experience prolonged survival with meta-
static or incurable disease, allowing time for a gradual
shift in the focus of their medical care [3,4]. During this
time, the goals of care can shift from cancer-directed
treatment to comfort-directed care, addressing symp-
toms, physical function, and psychosocial health [5,6]. * Correspondence: Marieadele.kress@gmail.com
1Huron River Radiation Oncology, 5301 E Huron River Dr Ann Arbor,
Michigan 48106, USA
Full list of author information is available at the end of the article Page 2 of 9 Kress et al. Radiation Oncology (2015) 10:15 Page 2 of 9 immediate-end of life due to high cost and burden of
treatment time. stage 4 cancer or died with cancer as the confirmed cause
of death despite initial diagnosis of stage 0 – 3 disease be-
tween 2004 and 2011. Patients were included if they were
diagnosed at age 65 or older (n = 454,633), were not
treated in a Health Maintenance Organization and were
continuously eligible for Part A and B Medicare (n =
283,909), and who died on or before December 31, 2011
(n = 103,315). Subjects were included if they died between
January 1, 2004 and December 31, 2011 of any stage of
cancer when the cause of death, as defined by SEER, was
cancer; or who were initially diagnosed with stage 4 cancer
and died of any cause during this time period (n = 58,726),
and for whom the diagnosed cancer was the subject’s only
malignancy or their first of no more than two malignan-
cies (n = 42,141). We excluded subjects whom we sus-
pected of errors in data linkage, or who had dual coverage
(e.g., used VA services). Thus, we excluded cases who had
only denied claims (n = 42), who had claims after death
(n = 120), who had no claims after date of diagnosis
(n = 795), who did not have any claims in the last six
months before death (n = 1396). Abstract We excluded 5 cases that
had only an Image Guided Radiation Therapy (IGRT)
code due to possible cross-referencing with pure diagnos-
tic, non-therapeutic imaging. The final cohort included
39,619 patients. The American Society of Clinical Oncology (ASCO)
added the use of chemotherapy in the last fourteen days
of life as one of its Quality Oncology Practice Initiative
(QOPI) measures, demonstrating the importance of lim-
iting treatment burden toward the end of life [12,13]. Similarly, the American Society for Radiation Oncology
(ASTRO) has released a guideline statement regarding
the treatment of patients with bone metastases, a com-
mon site for treatment at the end of life [14]. However,
no current RT guidelines exist regarding an appropriate
paradigm
for
decision-making
with
respect
to
the
utilization of RT at the end of life. Studies have demon-
strated dependence of palliative RT use on multiple clin-
ical and non-clinical factors [15-18]. However, these
studies did not address the use of RT in the setting of pa-
tients with recurrent or progressive disease, nor did they
specifically address treatment practices at the end of life,
or the relationship between use of RT and other cancer-
directed therapies, such as chemotherapy or surgery. In this study, we address these issues in our examination
of utilization of end-of-life RT among a population-based
cohort of patients with breast, prostate, or colorectal can-
cer six months prior to death. We evaluated sociodemo-
graphic, clinical, health care environmental, and quality
indicators associated with the use of RT during this time
period. In particular, this study aimed to examine possible
indicators of quality, such as treatment in the last 14 days
of life. Measures
O
i Our primary outcome, palliative radiotherapy, was iden-
tified in patient claims files using Healthcare Common
Procedure Coding System (HCPCS) codes (Additional
file 1). Radiation therapy was considered in the last
6 months of life and separately in the last 14 days of life. Palliative radiotherapy was defined by a combination of
patient cohort (all patients with stage 4 cancer would
have been treated, by definition, with palliative intent)
and cause of death (earlier-stage patients who died due
to cancer). Methods Data source and study cohort definition Data source and study cohort definition This study used data from the Surveillance, Epidemi-
ology, and End Results (SEER) – Medicare linked data-
base, which links persons in the SEER database with
their clinical Medicare claims files. The SEER database is
a database supported by the National Cancer Institute
that includes information on patients diagnosed with
cancer, about whom data was collected in 17 geographic
areas covering 25% of the U.S. population [19]. The
Medicare claims files include diagnostic and procedure
codes for linked patients, and the linked database also
provides sociodemographic information regarding per-
sons in the database. Independent variables included the following clinical
and sociodemographic factors: sex, race/ethnicity, age at
diagnosis, marital status (unmarried, including: single,
separated, divorced, or widowed; compared with mar-
ried, including common law), Charlson index of comor-
bidity (calculated for two years prior to the last six
months of life) [20]. We also included Census Tract level
variables at the time of initial cancer diagnosis including:
Region, Urban/Rural setting (divided into “Urban,” “Metro
Urban,” and “Rural”), median household income (above/
below median income of $43,000), and education (percent
of persons over age 25 with a high school education only
above/below median of 28%). Clinical variables included
year of diagnosis, cancer type, stage at diagnosis (0–3, 4),
cause of death, time from diagnosis until death and the use
of prior radiation (radiation therapy received prior to the
last 6 months of life). The use of surgery, chemotherapy, We identified 614,214 patients diagnosed with prostate,
breast, or colorectal cancer between January 1, 2004 and
December 31, 2011 (Figure 1). Prostate, breast, and colo-
rectal cancer were chosen for their high relative incidence
and due to patients’ similar potential prolonged life with
metastatic or advanced disease. With this group of three
malignancies, the disease course and its subsequent treat-
ment was more likely to have similar aims in the palliative
setting. We investigated a cohort who either died with Page 3 of 9 Kress et al. Radiation Oncology (2015) 10:15 Figure 1 Cohort development from SEER-Medicare linked database. Cohort development from SEER-Medicare linked database palliative radiation use. Third, we performed chi-square
tests for categorical variables and t-tests for continuous
variable to compare the distribution of demographic and
clinical factors between patients who did or did not get
radiation in the last 6 months and 14 days of their lives. Data source and study cohort definition Fourth, we created multiple logistic regression models to
identify those factors independently associated with pal-
liative radiation use (as the binary dependent variable),
adjusting for all other patients’ sociodemographics and
clinical factors. Final results are presented as odds ratios
with 95% confidence interval. All p-values were two-
sided, and a p-value smaller than 0.01 was considered
statistically significant. All analyses were conducted
using the SAS 9.2 software (Cary, NC). and radiologic examinations in the last 6 months were
identified using a comprehensive list of HCPCS/Current
Procedure Terminology (CPT) codes in the last 6 months
of life (Additional file 1). Total inpatient days, emergency
department visits, and physician visits were also calculated
for the last six months of life. Using a method developed by other investigators, pa-
tients were also designated as having had radiation in a
freestanding facility versus a hospital-based or other type
of facility by comparing the outpatient and carrier claims
files [21]. Statistical analyses We first calculated summary statistics regarding the dis-
tributions of total inpatient days, emergency department
visits, radiologic exams and physician visits to assess dif-
ferences in utilization of healthcare between patients
with and without palliative radiation use in the last
6 months of life. We then calculated percentages of Results Receipt of radiation in the last six months of life
Among the 39,619 patients included in this cohort, 50%
received RT in the last six months of life. Bivariable Page 4 of 9 Kress et al. Radiation Oncology (2015) 10:15 analysis of RT use according to multiple sociodemo-
graphic, clinical, and health systems characteristics is
presented in Table 1. Of patients aged 65–69, 63% re-
ceived RT; rates of RT decreased through the oldest co-
hort, age > 85, with 38% receiving RT (trend from 65 to
over 85, p < 0.0001). RT was used less commonly in non-
Hispanic whites, as compared with all other racial/ethnic
groups (p < 0.0001). Between 2004 and 2009, an increasing
percentage of patients were treated with RT each year
(p < 0.0001). When separated by stage, 54% of those with
stage 0–3 cancer at diagnosis received RT in the last
6 months of life; 51% of those with stage 4 cancer received
RT in the last 6 months of life (p < 0.0001). When evaluat-
ing the time alive from diagnosis until death, 55% of pa-
tients alive for 6 months or fewer received RT, while those
alive for longer periods of time had rates of RT ranging
from 46-48%. 6 months of life (OR 2.78, CI 2.63-2.93) or surgery in the
last 6 months of life (OR 1.17, CI 1.11-1.23). Patients with
stage 4 were less likely to undergo RT than those initially
diagnosed with stage 0–3 (OR 0.70, CI 0.66-0.73). Receipt of radiation in the last fourteen days of life
5,723 patients (14%) received RT within the last four-
teen days of life; sociodemographic and clinical factors
related to their treatment are also presented in Table 1. Fourteen percent of non-Hispanic white patients re-
ceived RT during this time period, while 17% of all
other racial/ethnic groups received RT (p < 0.0001). Of
patients age 65–69, 20% received RT in the last four-
teen days of life; rates of RT decreased through the oldest
cohort, age > 85, with 11% of patients in that age group re-
ceiving RT (p < 0.0001). Eighteen percent of patients alive
for 6 months or fewer from diagnosis until death received
RT, compared to 12% of all other groups (p < 0.0001). Results Among patients receiving chemotherapy in the last 14 days
of life, 36% of these patients also received RT, while 9-15%
of patients not receiving chemotherapy in the last 14 days
received RT during this time period (p < 0.0001). Fifty-two percent of patients with radiation prior to
the last six months also had RT in the last 6 months of
life, while only 46% of those with no prior history of RT
received it at the end of life (p < 0.0001). Thirty-five per-
cent of patients had surgery in the last six months of life,
with proportionally more patients undergoing RT who
also had surgery during the last 6 months of life
(p < 0.0001). The results of multivariate analysis of radiation therapy
use in the last fourteen days of life were overall similar to
the findings for RT given during the last six months of life
and are presented in Additional file 4. However, a few not-
able differences include that patients with prostate cancer
approached the rate of radiation therapy use of breast can-
cer patients in the last fourteen days of life. Additionally,
radiation therapy was less associated with other high-
treatment-intensity interventions in the last fourteen days
of life than in the last six months of life. Patients who received RT in the six months of life
(n = 19,856) were compared with those not treated with
RT during this time period (n = 19,763). There were sig-
nificant differences in subjects’ utilization of additional
health care resources, presented in Table 2. Mean total
inpatient days in the last six months of life did not differ
between the two groups. Emergency Department visits,
radiologic exams, and physician visits were all higher
among patients receiving RT at the end of life (p < 0.0001
for all three comparisons). Discussion This study is the first to examine the use of RT at the
end of life for major solid cancers with a relatively long
natural history, including analysis of outcomes both for
patients with metastatic cancer and those who died due
to cancer after an initial diagnosis of non-metastatic dis-
ease. The goal of this study was to examine a generalizable
group of patients who would be most likely to receive pal-
liative, non-curative RT, regardless of stage at initial diag-
nosis. In our cohort of palliative patients, half of all
patients received at least one course of RT within 6 months
of death, and even in the last 14 days of life. Our study included patients initially diagnosed with
cancer stages 0–3 who died due to cancer and those ini-
tially diagnosed with stage 4 cancer who died of any
cause. We initially explored these two groups using two
separate multivariate logistic models with respect to the
multiple factors related to the receipt of palliative RT at
the end of life. We found that the association between
sociodemographic and clinical factors and receipt of pal-
liative RT was similar across the two groups (Additional
files 2 and 3). Therefore, for subsequent analysis, we
combined the groups and included stage at diagnosis as
a covariate. Radiation use decreased with increasing age and was
less common among non-Hispanic white patients, after
controlling for all other characteristics. These trends
were consistent when looking both at the last six
months and last fourteen days of life, and are similar to
results reported in other studies of palliative radiother-
apy [15-18], palliative chemotherapy [22], and end-of-life
care in general [23,24]. One recent study examined the
use of radiation therapy in the last 30 days of life among Multivariate analysis of the entire study cohort is pre-
sented in Table 3. Non-white patients were more likely
to receive RT than non-Hispanic white patients (OR
1.18, CI 1.12-1.25). The odds of receiving RT decreased
with increasing age, with patients over age 85 least likely
to receive RT (OR 0.41, CI 0.38-0.44). RT was used more
often in patients also receiving chemotherapy in the last Page 5 of 9 Page 5 of 9 Kress et al. Discussion Radiation Oncology (2015) 10:15 life: within six months or fourteen days of death
All
6 Months
14 Days
n
n (%)
p value
n (%)
p value
39,619
19856 (50)
5723 (14)
20,722
0.0183
<.0001
10268 (50)
2834 (14)
18,897
9588 (51)
2889 (15)
30,904
<.0001
<.0001
15106 (49)
4279 (14)
4,791
2606 (54)
763 (16)
2,250
1268 (56)
399 (18)
1,674
876 (52)
282 (17)
30,904
<.0001
<.0001
15106 (49)
4279 (14)
8,715
4750 (55)
1444 (17)
5,308
<.0001
<.0001
3328 (63)
1071 (20)
6,154
3633 (59)
1065 (17)
7,367
4027 (55)
1160 (16)
8,599
4206 (49)
1138 (13)
12,191
4662 (38)
1289 (11)
17,075
0.2403
0.0835
8628 (51)
2558 (15)
10,203
5048 (49)
1436 (14)
12,341
6180 (50)
1729 (14)
17,246
<.0001
<.0001
8768 (51)
2597 (15)
15,733
7666 (49)
2129 (14)
4,082
2111 (52)
633 (16)
2,558
1311 (51)
364 (14)
20,695
<.0001
<.0001
10908 (53)
3312 (16)
11,506
5666 (49)
1575 (14)
7,410
3279 (44)
835 (11)
8
3 (38)
1 (13)
19,689
0.0053
0.0107
10017 (51)
2925 (15)
19,686
9739 (49)
2772 (14)
244
100 (41)
26 (11)
19,693
<.0001
<.0001
9664 (49)
2707 (14)
19,694
10096 (51)
2992 (15)
232
96 (41)
24 (10) Table 1 Radiation therapy at the end of life: within six months or fourteen days of death
All
6 Months
14 Days
n
n (%)
p value
n (%)
p value
Total
39,619
19856 (50)
5723 (14)
Sex
20,722
0.0183
<.0001
Female
10268 (50)
2834 (14)
Male
18,897
9588 (51)
2889 (15)
Race/ethnicity
30,904
<.0001
<.0001
Non-Hispanic White
15106 (49)
4279 (14)
Non-Hispanic Black
4,791
2606 (54)
763 (16)
Hispanic
2,250
1268 (56)
399 (18)
Other
1,674
876 (52)
282 (17)
Race/ethnicity
30,904
<.0001
<.0001
Non-Hispanic White
15106 (49)
4279 (14)
All others
8,715
4750 (55)
1444 (17)
Age at diagnosis
5,308
<.0001
<.0001
Age 65 - 69
3328 (63)
1071 (20)
Age 70 - 74
6,154
3633 (59)
1065 (17)
Age 75 - 79
7,367
4027 (55)
1160 (16)
Age 80 - 84
8,599
4206 (49)
1138 (13)
85+
12,191
4662 (38)
1289 (11)
Charlson index
17,075
0.2403
0.0835
0
8628 (51)
2558 (15)
1
10,203
5048 (49)
1436 (14)
2 or more
12,341
6180 (50)
1729 (14)
Census region
17,246
<.0001
<.0001
West
8768 (51)
2597 (15)
South
15,733
7666 (49)
2129 (14)
North
4,082
2111 (52)
633 (16)
East
2,558
1311 (51)
364 (14)
Urban/rural
20,695
<.0001
<.0001
Urban
10908 (53)
3312 (16)
Metro Urban
11,506
5666 (49)
1575 (14)
Rural
7,410
3279 (44)
835 (11)
Missing/unknown
8
3 (38)
1 (13)
Median income
19,689
0.0053
0.0107
Above median (43 K)
10017 (51)
2925 (15)
Below median (43 K)
19,686
9739 (49)
2772 (14)
Missing/ unknown
244
100 (41)
26 (11)
High school only
19,693
<.0001
<.0001
Above median (28%)
9664 (49)
2707 (14)
Below median (28%)
19,694
10096 (51)
2992 (15)
Missing/unknown
232
96 (41)
24 (10) Table 1 Radiation therapy at the end of life: within six months or fourteen days of death Table 1 Radiation therapy at the end of life: within six months or fourteen days of death Page 6 of 9 Kress et al. Discussion Radiation Oncology (2015) 10:15 patients who died due to cancer and found significantly
lower rates of radiation therapy use [16]. Our study dem-
onstrated higher rates of utilization both due to the larger
time window examined as well as the inclusion of patients
dying from causes other than cancer. Discussion These differences in
treatment practice according to age and racial/ethnic
group cannot be attributed to relative life expectancy or
comorbidity,
and
thus
might
represent
unmeasured
Table 1 Radiation therapy at the end of life: within six months or fourteen days of death (Continued)
Marital status
21,554
<.0001
<.0001
Unmarried
10199 (47)
2796 (13)
Married
15,354
8357 (54)
2553 (17)
Missing/unknown
2,711
1300 (48)
374 (14)
Year of diagnosis
8,903
<.0001
<.0001
2004
4257 (48)
1207 (14)
2005
8,092
4009 (50)
1156 (14)
2006
7,312
3611 (49)
996 (14)
2007
6,239
3258 (52)
971 (16)
2008
5,194
2674 (51)
790 (15)
2009
3,879
2047 (53)
603 (16)
Cancer type
8,629
<.0001
<.0001
Breast
4641 (54)
1292 (15)
Colorectal
21,469
10318 (48)
3039 (14)
Prostate
9,521
4897 (51)
1392 (15)
Stage
11,115
<.0001
<.0001
0-3
5907 (53)
1634 (15)
4
28,504
13949 (49)
<.0001
4089 (14)
<.0001
Cause of death
30,293
15740 (52)
4508 (15)
Cancer
Non Cancer
9,326
4116 (44)
1215 (13)
Time from diagnosis to death
17,006
<.0001
<.0001
0 days to 6 months
9323 (55)
3089 (18)
6 months to 1 year
6,065
2910 (48)
719 (12)
1 - 3 years
12,160
5623 (46)
1407 (12)
More than 3 years
4,388
2000 (46)
508 (12)
Prior radiation
13,303
<.0001
<.0001
No
6157 (46)
2036 (15)
Yes
26,316
13699 (52)
3687 (14)
Radiation Facility
19,763
No radiation
0 (0)
0 (0)
Hospital-based or Other
14,442
14442 (100)
4330 (30)
Freestanding
5,414
5414 (100)
1393 (26)
Surgery (last 6 months of life)
25,873
<.0001
<.0001
No
12681 (49)
3616 (14)
Yes
13,746
7175 (52)
2107 (15)
Chemotherapy
1,585
<.0001
<.0001
Last 14 days of life
1169 (74)
577 (36)
Last 6 months of life, but not last 14 days
10,999
7076 (64)
1655 (15)
None in last 6 months before death
4,203
1694 (40)
396 (9)
Never
22,832
9917 (43)
3095 (14) Table 1 Radiation therapy at the end of life: within six months or fourteen days of death (Continued) Table 1 Radiation therapy at the end of life: within six months or fourteen days of death (Continu er and found significantly
use [16]. Our study dem-
ion both due to the larger
s the inclusion of patients
dying from causes other than cancer. Discussion Table 2 Health care resource utilization in the last six
months of life
All
No RT1
Yes RT
p value
Total inpatient days
25 (79)
22 (82)
27 (71)
0.38
Median (standard deviation (SD))
Total emergency
department visits
2 (3)
1 (3)
2 (3)
<.0001
Median (SD)
Total radiologic exams
10 (11)
6 (7)
14 (11)
<.0001
Median
Total physician visits
20 (21)
13 (15)
27 (23)
<.0001
Median
1RT defined as radiation therapy within the last six months of life. Table 2 Health care resource utilization in the last six
months of life Table 3 Multivariate model1: radiation in last six
months of life2 1RT defined as radiation therapy within the last six months of life. variables, such as patient or family preference or cultural
beliefs. It is possible that older patients, as well as those
who have been alive with cancer for a longer period of
time, have lower RT utilization as part of a broader pat-
tern of low resource utilization at the end of life. RT use was also associated with higher utilization of
health care resources, including chemotherapy use, surgery,
physician visits, emergency department visits, and number
of radiologic exams. Increased health care utilization at end
of life has been shown to be an expensive, nuanced issue
[1,2]. These findings have implications regarding the quality
and appropriateness of care at the end of life. Well-
timed
palliative
radiotherapy
can
alleviate
cancer-
related symptoms and thereby improve patients’ quality
of life in a cost-effective manner. It is possible that this
“window” of appropriate care includes the last 6 months
of life, as examined in this study. It is impossible in this
study to discern whether RT use prevented further in-
terventions (i.e. additional surgery, chemotherapy, or
hospitalizations), was part of a general pattern of “high-
utilization” of health care resources at the end of life
among selected patients, or affected patients’ quality of
life. However, our data suggest that end of life RT con-
forms to similar utilization patterns as other cancer treat-
ments, such as chemotherapy, either when comparing
longer and shorter time windows (6 months vs. 14 days)
or comparing patients diagnosed with metastatic vs. non-
metastatic cancer. Cancer-directed treatment within the
last 2 weeks of life may not always be appropriate. Discussion Table 3 Multivariate model1: radiation in last six
months of life2
OR
95% CI
P value
Race/ethnicity
Non-Hispanic White
All Others
1.18
1.12
1.25
<.0001
Age at diagnosis
Age 65 - 69
Age 70 - 74
0.86
0.79
0.93
0.0002
Age 75 - 79
0.74
0.68
0.80
<.0001
Age 80 - 84
0.61
0.57
0.66
<.0001
85+
0.41
0.38
0.44
<.0001
Charlson index
0
1
1.01
0.96
1.07
0.6427
2 or more
1.07
1.01
1.13
0.0144
Marital status
Unmarried
Married
1.15
1.10
1.20
<.0001
Cancer type
Breast
Colorectal
0.65
0.62
0.69
<.0001
Prostate
0.82
0.76
0.88
<.0001
Prior radiation
No
Yes
1.45
1.37
1.53
<.0001
Surgery (last 6 months of life)
No
Yes
1.17
1.11
1.23
<.0001
Chemotherapy (last 6 months of life)
No
Yes
2.78
2.63
2.93
<.0001
Stage at diagnosis
0-3
4
0.70
0.66
0.73
<.0001
1Referent group is the first line in each category, unless otherwise indicated. 2Additional factors for which we controlled in the multivariate model included
census region, urban/rural designation, education, and time alive from
diagnosis until death. Table 3 Multivariate model1: radiation in last six
months of life2
OR
95% CI
P value
Race/ethnicity
Non-Hispanic White
All Others
1.18
1.12
1.25
<.0001
Age at diagnosis
Age 65 - 69
Age 70 - 74
0.86
0.79
0.93
0.0002
Age 75 - 79
0.74
0.68
0.80
<.0001
Age 80 - 84
0.61
0.57
0.66
<.0001
85+
0.41
0.38
0.44
<.0001
Charlson index
0
1
1.01
0.96
1.07
0.6427
2 or more
1.07
1.01
1.13
0.0144
Marital status
Unmarried
Married
1.15
1.10
1.20
<.0001
Cancer type
Breast
Colorectal
0.65
0.62
0.69
<.0001
Prostate
0.82
0.76
0.88
<.0001
Prior radiation
No
Yes
1.45
1.37
1.53
<.0001
Surgery (last 6 months of life)
No
Yes
1.17
1.11
1.23
<.0001
Chemotherapy (last 6 months of life)
No
Yes
2.78
2.63
2.93
<.0001
Stage at diagnosis
0-3
4
0.70
0.66
0.73
<.0001
1Referent group is the first line in each category, unless otherwise indicated. 2Additional factors for which we controlled in the multivariate model included
census region, urban/rural designation, education, and time alive from
diagnosis until death. Discussion These differences in
treatment practice according to age and racial/ethnic
group cannot be attributed to relative life expectancy or
comorbidity,
and
thus
might
represent
unmeasured
e end of life: within six months or fourteen days of death (Continued)
21,554
<.0001
<.0001
10199 (47)
2796 (13)
15,354
8357 (54)
2553 (17)
2,711
1300 (48)
374 (14)
8,903
<.0001
<.0001
4257 (48)
1207 (14)
8,092
4009 (50)
1156 (14)
7,312
3611 (49)
996 (14)
6,239
3258 (52)
971 (16)
5,194
2674 (51)
790 (15)
3,879
2047 (53)
603 (16)
8,629
<.0001
<.0001
4641 (54)
1292 (15)
21,469
10318 (48)
3039 (14)
9,521
4897 (51)
1392 (15)
11,115
<.0001
<.0001
5907 (53)
1634 (15)
28,504
13949 (49)
<.0001
4089 (14)
<.0001
30,293
15740 (52)
4508 (15)
9,326
4116 (44)
1215 (13)
17,006
<.0001
<.0001
9323 (55)
3089 (18)
6,065
2910 (48)
719 (12)
12,160
5623 (46)
1407 (12)
4,388
2000 (46)
508 (12)
13,303
<.0001
<.0001
6157 (46)
2036 (15)
26,316
13699 (52)
3687 (14)
19,763
0 (0)
0 (0)
14,442
14442 (100)
4330 (30)
5,414
5414 (100)
1393 (26)
25,873
<.0001
<.0001
12681 (49)
3616 (14)
13,746
7175 (52)
2107 (15)
1,585
<.0001
<.0001
1169 (74)
577 (36)
ays
10,999
7076 (64)
1655 (15)
4,203
1694 (40)
396 (9)
22,832
9917 (43)
3095 (14) dying from causes other than cancer. These differences in
treatment practice according to age and racial/ethnic
group cannot be attributed to relative life expectancy or
comorbidity,
and
thus
might
represent
unmeasured dying from causes other than cancer. These differences in
treatment practice according to age and racial/ethnic
group cannot be attributed to relative life expectancy or
comorbidity,
and
thus
might
represent
unmeasured patients who died due to cancer and found significantly
lower rates of radiation therapy use [16]. Our study dem-
onstrated higher rates of utilization both due to the larger
time window examined as well as the inclusion of patients patients who died due to cancer and found significantly
lower rates of radiation therapy use [16]. Our study dem-
onstrated higher rates of utilization both due to the larger
time window examined as well as the inclusion of patients Page 7 of 9 Page 7 of 9 Kress et al. Radiation Oncology (2015) 10:15 variables, such as patient or family preference or cultural
beliefs. Discussion It is possible that older patients, as well as those
who have been alive with cancer for a longer period of
time, have lower RT utilization as part of a broader pat-
tern of low resource utilization at the end of life. RT use was also associated with higher utilization of
health care resources, including chemotherapy use, surgery,
physician visits, emergency department visits, and number
of radiologic exams. Increased health care utilization at end
of life has been shown to be an expensive, nuanced issue
[1,2]. These findings have implications regarding the quality
and appropriateness of care at the end of life. Well-
timed
palliative
radiotherapy
can
alleviate
cancer-
related symptoms and thereby improve patients’ quality
of life in a cost-effective manner. It is possible that this
“window” of appropriate care includes the last 6 months
of life, as examined in this study. It is impossible in this
study to discern whether RT use prevented further in-
terventions (i.e. additional surgery, chemotherapy, or
hospitalizations), was part of a general pattern of “high-
utilization” of health care resources at the end of life
among selected patients, or affected patients’ quality of
life. However, our data suggest that end of life RT con-
forms to similar utilization patterns as other cancer treat-
ments, such as chemotherapy, either when comparing
longer and shorter time windows (6 months vs. 14 days)
or comparing patients diagnosed with metastatic vs. non-
metastatic cancer. Cancer-directed treatment within the
last 2 weeks of life may not always be appropriate. ASCO’s
Quality Oncology Practice Initiative (QOPI) measures, for
example, note that chemotherapy in the last fourteen days
f lif i
id
d l
lit
ibl d t i
t l
d
life, future research is needed to explore and define ap-
i t
d
l
i
d
f lif
RT
t
f
Table 2 Health care resource utilization in the last six
months of life
All
No RT1
Yes RT
p value
Total inpatient days
25 (79)
22 (82)
27 (71)
0.38
Median (standard deviation (SD))
Total emergency
department visits
2 (3)
1 (3)
2 (3)
<.0001
Median (SD)
Total radiologic exams
10 (11)
6 (7)
14 (11)
<.0001
Median
Total physician visits
20 (21)
13 (15)
27 (23)
<.0001
Median
1RT defined as radiation therapy within the last six months of life. References 1. Lewin SN, Buttin BM, Powell MA, Gibb RK, Rader JS, Mutch DG, et al. Resource utilization for ovarian cancer patients at the end of life: how much
is too much? Gynecol Oncol. 2005;99:261–6. 1. Lewin SN, Buttin BM, Powell MA, Gibb RK, Rader JS, Mutch DG, et al. Resource utilization for ovarian cancer patients at the end of life: how much
is too much? Gynecol Oncol. 2005;99:261–6. 1. Lewin SN, Buttin BM, Powell MA, Gibb RK, Rader JS, Mutch DG, et al. Resource utilization for ovarian cancer patients at the end of life: how much
is too much? Gynecol Oncol. 2005;99:261–6. y
2. Pyenson B, Connor S, Fitch K, Kinzbrunner B. Medicare cost in matched
hospice and non-hospice cohorts. J Pain Symptom Manage. 2004;28:200–10. 3. Greenberg PA, Hortobagyi GN, Smith TL, Ziegler LD, Frye DK, Buzdar AU. Long-term follow-up of patients with complete remission following
combination chemotherapy for metastatic breast cancer. J Clin Oncol. 1996;14:2197–205. Conclusions Single-fraction radiotherapy versus multifraction radiotherapy for
palliation of painful vertebral bone metastases-equivalent efficacy, less
toxicity, more convenient: a subset analysis of Radiation Therapy Oncology
Group trial 97–14. Cancer. 2013;119:888–96. Research support This project is supported by Award Number P30CA051008 from the National
Cancer Institute. The content is solely the responsibility of the authors and
does not necessarily represent the official views of the National Cancer
Institute or the National Institutes of Health. Conclusions Among subjects with cancer diagnoses where a pro-
longed lifespan is common, even in the setting of incur-
able malignancies, the use of RT in the final six months
of life was common. The use of RT appeared was associ-
ated with other cancer-directed treatments, including
chemotherapy, at the end of life. Recently published
guidelines highlight the importance of tracking the use
of high-cost, high-treatment-intensity approaches at the
end of life and carefully tailoring treatment plans to
maximize quality of life and minimize treatment burden
that does not provide value to quality of life [14,25]. More research is needed to refine clinical quality objec-
tives for end of life cancer care, to optimize the role of
RT as a palliative tool at the end of life, and to elucidate
the psychosocial and unmeasured clinical factors influ-
encing end-of-life care. 4. Yossepowitch O, Bianco Jr FJ, Eggener SE, Eastham JA, Scher HI, Scardino
PT. The natural history of noncastrate metastatic prostate cancer after
radical prostatectomy. Eur Urol. 2007;51:940–7. 5. Skeel RT. Quality of life dimensions that are most important to cancer
patients. Oncology (Williston Park). 1993;7:55–61. 6. World Health Organization. National Cancer Control Programmes: Policies
and managerial guidelines. 2nd ed. Geneva, Switzerland: World Health
Organization; 2002. g
7. Bae SH, Park W, Choi DH, Nam H, Kang WK, Park YS, et al. Palliative
radiotherapy in patients with a symptomatic pelvic mass of metastatic
colorectal cancer. Radiat Oncol. 2011;6:52. 8. Cross CK, Berman S, Buswell L, Johnson B, Baldini EH. Prospective study of
palliative hypofractionated radiotherapy (8.5 Gy x 2) for patients with
symptomatic non-small-cell lung cancer. Int J Radiat Oncol Biol Phys. 2004;58:1098–105. 9. Konski A. Radiotherapy is a cost-effective palliative treatment for patients
with bone metastasis from prostate cancer. Int J Radiat Oncol Biol Phys. 2004;60:1373–8. 9. Konski A. Radiotherapy is a cost-effective palliative treatment for patients
with bone metastasis from prostate cancer. Int J Radiat Oncol Biol Phys. 2004;60:1373–8. 10. Howell DD, James JL, Hartsell WF, Suntharalingam M, Machtay M, Suh JH,
et al. Single-fraction radiotherapy versus multifraction radiotherapy for
palliation of painful vertebral bone metastases-equivalent efficacy, less
toxicity, more convenient: a subset analysis of Radiation Therapy Oncology
Group trial 97–14. Cancer. 2013;119:888–96. 10. Howell DD, James JL, Hartsell WF, Suntharalingam M, Machtay M, Suh JH,
et al. Authors’ contributions Concept and design: MSK, RQJ, AS, ALP. Financial support: ALP, AS. Administrative support: ALP, TL. Provision of study materials or patients: ALP,
AS. Collection and assembly of data: MSK, REJ, TL, HTT. Data analysis and
interpretation: All authors read and approved the final manuscript. Discussion with sub-group analyses, including treatment within
14 days before death, and the magnitude of differences
were similar between metastatic and non-metastatic pa-
tients, we are confident that this cohort was treated with
palliative intent. Similarly, no information was available
regarding physician decision-making, patients' presenting
complaints, or patient preference in this data set. Add-
itionally, patients with breast, prostate, or colorectal can-
cer frequently have extended survival even when they are
deemed to have incurable disease, making even a large
window of time (i.e. 6 months) before death reasonable
for palliative care analysis. Hospice data was not included
in this analysis, so our findings are only applicable to pa-
tients who were not enrolled in hospice in the intervals
studied. The SEER-Medicare data set itself has limitations
due to its use of claims-based data only for a population
of older patients within a system that is entirely fee-for-
service. Additionally, due to the nature of the SEER-
Medicare data, we were unable to extract data regarding
radiation dose nor determine the start and stop times of
individual courses of RT. Additional files Additional file 1: Radiotherapy, surgical, chemotherapy, and
radiology codes. Additional file 2: Radiation Therapy at the End of Life, by Stage at
Diagnosis. Additional file 3: Multivariate Model1: Radiation in the Last 6
Months of Life, by Stage. Additional file 4: Multivariate Model1: Radiation in the Last
Fourteen Days of Life. 11. Zeng L, Chow E, Bedard G, Zhang L, Fairchild A, Vassiliou V, et al. Quality of
life after palliative radiation therapy for patients with painful bone
metastases: results of an international study validating the EORTC QLQ-
BM22. Int J Radiat Oncol Biol Phys. 2012;84:e337–42. Additional file 1: Radiotherapy, surgical, chemotherapy, and
radiology codes. Additional file 2: Radiation Therapy at the End of Life, by Stage at
Diagnosis. 12. American Society of Clinical Oncology. American Society of Clinical
Oncology (ASCO®) Quality Oncology Practice Initiative (QOPI®). 2014. http://
qopi.asco.org/documents/QOPIQCDR2014.pdf. Additional file 3: Multivariate Model1: Radiation in the Last 6
Months of Life, by Stage. 13. Schnipper LE, Smith TJ, Raghavan D, Blayney DW, Ganz PA, Mulvey TM,
et al. American Society of Clinical Oncology identifies five key opportunities
to improve care and reduce costs: the top five list for oncology. J Clin
Oncol. 2012;30:1715–24. Additional file 4: Multivariate Model1: Radiation in the Last
Fourteen Days of Life. Author details
1
R
R 1Huron River Radiation Oncology, 5301 E Huron River Dr Ann Arbor,
Michigan 48106, USA. 2Lombardi Comprehensive Cancer Center,
Georgetown University Medical Center, 3300 Whitehaven St, NW Suite 4000,
Washington, DC 20007, USA. 1Huron River Radiation Oncology, 5301 E Huron River Dr Ann Arbor,
Michigan 48106, USA. 2Lombardi Comprehensive Cancer Center,
Georgetown University Medical Center, 3300 Whitehaven St, NW Suite 4000,
Washington, DC 20007, USA. Georgetown University Medical Center, 3300 Whitehaven St, NW Suite 4000,
Washington, DC 20007, USA. Received: 27 June 2014 Accepted: 15 December 2014 Received: 27 June 2014 Accepted: 15 December 2014 Discussion ASCO’s
Quality Oncology Practice Initiative (QOPI) measures, for
example, note that chemotherapy in the last fourteen days
of life is considered low quality, possible detrimental end-
of life care [12,13]. 1Referent group is the first line in each category, unless otherwise indicated. 2Additional factors for which we controlled in the multivariate model included
census region, urban/rural designation, education, and time alive from
diagnosis until death. life, future research is needed to explore and define ap-
propriateness and value in end-of-life RT as part of a
comprehensive end-of-life plan for patients with cancer. Clinically, tailoring end-of-life care remains a chal-
lenge related to anticipating date of death; measuring
quality of life for both patients and caregivers; and com-
municating clear expectations among caregivers, pa-
tients, and patient families. Given the limited guidance
about palliative RT for this patient group nearing end of The central limitation to our study relates to the defin-
ition of “palliative” radiation therapy using administra-
tive claims data. Although the cohort was designed to
include patients undergoing palliative radiotherapy, it is
possible that some patients were treated with curative in-
tent within 6 months of death. Since our findings persisted Page 8 of 9 Page 8 of 9 Kress et al. Radiation Oncology (2015) 10:15 with sub-group analyses, including treatment within
14 days before death, and the magnitude of differences
were similar between metastatic and non-metastatic pa-
tients, we are confident that this cohort was treated with
palliative intent. Similarly, no information was available
regarding physician decision-making, patients' presenting
complaints, or patient preference in this data set. Add-
itionally, patients with breast, prostate, or colorectal can-
cer frequently have extended survival even when they are
deemed to have incurable disease, making even a large
window of time (i.e. 6 months) before death reasonable
for palliative care analysis. Hospice data was not included
in this analysis, so our findings are only applicable to pa-
tients who were not enrolled in hospice in the intervals
studied. The SEER-Medicare data set itself has limitations
due to its use of claims-based data only for a population
of older patients within a system that is entirely fee-for-
service. Additionally, due to the nature of the SEER-
Medicare data, we were unable to extract data regarding
radiation dose nor determine the start and stop times of
individual courses of RT. Competing interests 14. Lutz S, Berk L, Chang E, Chow E, Hahn C, Hoskin P, et al. Palliative
radiotherapy for bone metastases: an ASTRO evidence-based guideline. Int J Radiat Oncol Biol Phys. 2011;79:965–76. 14. Lutz S, Berk L, Chang E, Chow E, Hahn C, Hoskin P, et al. Palliative
radiotherapy for bone metastases: an ASTRO evidence-based guideline. Int J Radiat Oncol Biol Phys. 2011;79:965–76. The authors declare that they have no competing interests. Potential
conflicts of interest: Employment or Leadership Position; Consultant or
Advisory Role; Stock Ownership; Honoraria; Research Funding; Expert
Testimony; Other Remuneration. 15. Chen AB, Cronin A, Weeks JC, Chrischilles EA, Malin J, Hayman JA, et al. Palliative radiation therapy practice in patients with metastatic non-small- 15. Chen AB, Cronin A, Weeks JC, Chrischilles EA, Malin J, Hayman JA, et al. Palliative radiation therapy practice in patients with metastatic non-small- Page 9 of 9 Page 9 of 9 Kress et al. Radiation Oncology (2015) 10:15 cell lung cancer: a Cancer Care Outcomes Research and Surveillance
Consortium (CanCORS) Study. J Clin Oncol. 2013;31:558–64. cell lung cancer: a Cancer Care Outcomes Research and Surveillance
Consortium (CanCORS) Study. J Clin Oncol. 2013;31:558–64. 16. Guadagnolo BA, Liao KP, Elting L, Giordano S, Buchholz TA, Shih YC. Use of
radiation therapy in the last 30 days of life among a large population-based
cohort of elderly patients in the United States. J Clin Oncol. 2013;31:80–7. 16. Guadagnolo BA, Liao KP, Elting L, Giordano S, Buchholz TA, Shih YC. Use of
radiation therapy in the last 30 days of life among a large population-based
cohort of elderly patients in the United States. J Clin Oncol. 2013;31:80–7. y
17. Hayman JA, Abrahamse PH, Lakhani I, Earle CC, Katz SJ. Use of palliative
radiotherapy among patients with metastatic non-small-cell lung cancer. Int J Radiat Oncol Biol Phys. 2007;69:1001–7. 17. Hayman JA, Abrahamse PH, Lakhani I, Earle CC, Katz SJ. Use of palliative
radiotherapy among patients with metastatic non-small-cell lung cancer. Int J Radiat Oncol Biol Phys. 2007;69:1001–7. 18. Murphy JD, Nelson LM, Chang DT, Mell LK, Le QT. Patterns of care in
palliative radiotherapy: a population-based study. J Oncol Pract. 2013;9:e220–7. 18. Murphy JD, Nelson LM, Chang DT, Mell LK, Le QT. Patterns of care in
palliative radiotherapy: a population-based study. J Oncol Pract. 2013;9:e220–7. 19. National Cancer Institute. Surveillance, Epidemiology, and End Results
Program. SEER Website http://www.seer.cancer.gov/. 19. National Cancer Institute. Surveillance, Epidemiology, and End Results
Program. Competing interests SEER Website http://www.seer.cancer.gov/. 20. Charlson ME, Pompei P, Ales KL, MacKenzie CR. A new method of classifying
prognostic comorbidity in longitudinal studies: development and validation. J Chronic Dis. 1987;40:373–83. 20. Charlson ME, Pompei P, Ales KL, MacKenzie CR. A new method of classifying
prognostic comorbidity in longitudinal studies: development and validation. J Chronic Dis. 1987;40:373–83. 21. Smith BD, Pan IW, Shih YC, Smith GL, Harris JR, Punglia R, et al. Adoption of
intensity-modulated radiation therapy for breast cancer in the United States. J Natl Cancer Inst. 2011;103:798–809. 21. Smith BD, Pan IW, Shih YC, Smith GL, Harris JR, Punglia R, et al. Adoption of
intensity-modulated radiation therapy for breast cancer in the United States. J Natl Cancer Inst. 2011;103:798–809. 22. Kao S, Shafiq J, Vardy J, Adams D. Use of chemotherapy at end of life in
oncology patients. Ann Oncol. 2009;20:1555–9. 22. Kao S, Shafiq J, Vardy J, Adams D. Use of chemotherapy at end of life in
oncology patients. Ann Oncol. 2009;20:1555–9. 23. Parr JD, Zhang B, Nilsson ME, Wright A, Balboni T, Duthie E, et al. The
influence of age on the likelihood of receiving end-of-life care consistent
with patient treatment preferences. J Palliat Med. 2010;13:719–26. 24. Shugarman LR, Bird CE, Schuster CR, Lynn J. Age and gender differences in
medicare expenditures and service utilization at the end of life for lung
cancer decedents. Womens Health Issues. 2008;18:199–209. 25. Tsao MN, Rades D, Wirth A, Lo SS, Danielson BL, Gaspar LE, et al. Radiotherapeutic and surgical management for newly diagnosed brain
metastasis(es): An American Society for Radiation Oncology evidence-based
guideline. Pract Radiat Oncol. 2012;2:210–25. Submit your next manuscript to BioMed Central
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English
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The Short-term Prognostic Value of the Triglyceride-to-high-density Lipoprotein Cholesterol Ratio in Acute Ischemic Stroke
|
Aging and disease
| 2,018
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cc-by
| 6,136
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Copyright: © 2017 Deng Q 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. *Correspondence should be addressed to: Dr. Fu-Ling Yan, Affiliated ZhongDa Hospital, School of Medicine, Southeast University,
Nanjing, 210009, China. Email: yanfuling218@163.com. #These authors have contributed equally to this work. [Received March 27, 2017; Revised May 28, 2017; Accepted June 29, 2017] ABSTRACT: The triglyceride (TG)-to-high-density lipoprotein cholesterol (HDL-C) ratio (TG/HDL-C) is a
simple approach to predicting unfavorable outcomes in cardiovascular disease. The influence of TG/HDL-C on
acute ischemic stroke remains elusive. The purpose of this study was to investigate the precise effect of TG/HDL-
C on 3-month mortality after acute ischemic stroke (AIS). Patients with AIS were enrolled in the present study
from 2011 to 2017. A total of 1459 participants from a single city in China were divided into retrospective
training and prospective test cohorts. Medical records were collected periodically to determine the incidence of
fatal events. All participants were followed for 3 months. Optimal cutoff values were determined using X-tile
software to separate the training cohort patients into higher and lower survival groups based on their lipid levels. A survival analysis was conducted using Kaplan-Meier curves and a Cox proportional hazards regression model. A total of 1459 patients with AIS (median age 68.5 years, 58.5% male) were analyzed. Univariate Cox regression
analysis confirmed that TG/HDL-C was a significant prognostic factor for 3-month survival. X-tile identified
0.9 as an optimal cutoff for TG/HDL-C. In the univariate analysis, the prognosis of the TG/HDL-C >0.9 group
was markedly superior to that of TG/HDL-C ≤0.9 group (P<0.001). A multivariate Cox regression analysis
showed that TG/HDL-C was independently correlated with a reduced risk of mortality (hazard ratio [HR], 0.39;
95% confidence interval [CI], 0.24-0.62; P<0.001). These results were confirmed in the 453 patients in the test
cohort. A nomogram was constructed to predict 3-month case-fatality, and the c-indexes of predictive accuracy
were 0.684 and 0.670 in the training and test cohorts, respectively (P<0.01). The serum TG/HDL-C ratio may be
useful for predicting short-term mortality after AIS. Key words: triglyceride, high-density lipoprotein cholesterol, TG/HDL-C, acute ischemic stroke, survival Key words: triglyceride, high-density lipoprotein cholesterol, TG/HDL-C, acute ischemic s Stroke is a leading cause of mortality and disability in
adults resulting in a substantial social burden worldwide
[1]. More than 80% of patients with a history of stroke
have experienced a cerebral arterial occlusion leading to
brain ischemia. Stroke severity is the most useful
predictor of stroke outcome [2-5]. Additionally, age,
cardiac
disease,
stroke
etiology,
diabetes,
and
hypertension are important prognostic factors of long- Stroke is a leading cause of mortality and disability in
adults resulting in a substantial social burden worldwide
[1]. Key words: triglyceride, high-density lipoprotein cholesterol, TG/HDL-C, acute ischemic stroke, survival Qi-Wen Deng#, Shuo Li#, Huan Wang, Lei Zuo, Han-Qing Zhang, Zheng-Tian Gu, Fang-Lan
Xing, Fu-Ling Yan* Qi-Wen Deng#, Shuo Li#, Huan Wang, Lei Zuo, Han-Qing Zhang, Zheng-Tian Gu, Fang-Lan
Xing, Fu-Ling Yan* Department of Neurology, Affiliated ZhongDa Hospital, School of Medicine, Southeast University, Nanjing,
Chi Department of Neurology, Affiliated ZhongDa Hospital, School of Medicine, Southeast University, Nanjing, Department of Neurology, Affiliated ZhongDa Hospital, School of Medicine, Southeast Un
China Department of Neurology, Affiliated ZhongDa Hospital, School of Medicine, Southeast University, Nanjing,
China. [Received March 27, 2017; Revised May 28, 2017; Accepted June 29, 2017] http://dx.doi.org/10.14336/AD.2017.0629
Volume 9, Number 3; 498-506, June 2018 Volume 9, Number 3; 498-506, June 2018 Original Article Original Article [Received March 27, 2017; Revised May 28, 2017; Accepted June 29, 2017] More than 80% of patients with a history of stroke
have experienced a cerebral arterial occlusion leading to
brain ischemia. Stroke severity is the most useful
predictor of stroke outcome [2-5]. Additionally, age,
cardiac
disease,
stroke
etiology,
diabetes,
and
hypertension are important prognostic factors of long- term outcomes [2-5]. The identification of modifiable
prognostic factors in acute ischemic stroke (AIS) allows
physicians to select an appropriate treatment to improve
prognoses. However, despite the available diagnosis and
treatment strategies, stroke mortality has not significantly
improved over the past four decades [6]. Hyperlipidemia is a well-documented risk factor for
cardiovascular
disease
[7]. However,
previous *Correspondence should be addressed to: Dr. Fu-Ling Yan, Affiliated ZhongDa Hospital, School of Medicine, Southeast University,
Nanjing, 210009, China. Email: yanfuling218@163.com. #These authors have contributed equally to this work. Copyright: © 2017 Deng Q 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. 498 ISSN: 2152-5250 Prognostic significance of TG/HDL-C in patients with AIS Deng Q., et al observational studies attempting to explain the influence
of the serum lipid level on stroke outcome have reported
mixed findings [8-12]. Higher values of the triglyceride
(TG)-to-high-density lipoprotein cholesterol (HDL-C)
ratio (TG/HDL-C) values are associated with early
neurological deterioration, whereas lower ratios are
associated with early clinical improvement [12]. Our
previous study demonstrated that a lower TG/HDL-C is
independently correlated with mortality and poor
prognosis in AIS patients [13]. Nevertheless, how
TG/HDL-C can facilitate the clinical management of AIS
patients in daily practice remains to be addressed. The present study enrolled two cohorts to investigate
the precise effect of the TG/HDL-C ratio on 3-month
mortality after AIS, and we observed that a lower
TG/HDL-C value was significantly associated with 3-
month mortality in the training and test cohort patients. Additionally, there are many reports on the successful
establishment of nomograms for disease prognostics, but
nomograms for predicting stroke outcome are scarce. Therefore, we evaluated the predictive value of a
nomogram based on TG/HDL-C in patients with AIS. Table 1. Baseline bivariate comparison of training and test cohort. [Received March 27, 2017; Revised May 28, 2017; Accepted June 29, 2017] Demographic
characteristics
Training cohort
Test cohort
Total
Incident alive
Incident death
P valuea
Total
Incident death
P-valuea
Age
68.5 (57-77)
68 (57-76)
72 (60-82)
<0.001
69 (56-76)
68.5 (56-76)
71 (59-83)
<0.001
Gender (male/female)
585/421
512/385
73/36
0.048
268/185
238/174
30/11
0.056
BMI (kg/m2)
23.6 (22.0-24.9)
23.6 (21.8-24.9)
24.2 (22.4-25.0)
0.219
23.2 (21.8-25.4)
23.2 (21.7-25.4)
23.9 (22.0-25.8)
0.096
Clinical characteristics
Smoking (yes/no)
245/761
212/685
33/76
0.127
118/335
102/310
16/25
0.047
Baseline NIHSS
6 (3-10)
6 (3-10)
6 (2.75-10)
0.014
9 (3-17)
8 (3-16)
9 (3-17)
0.005
Therapy of thrombolysis
Present
101 (10.0)
97 (10.8)
4 (3.7)
0.030
35 (7.7)
33 (8.0)
2 (4.9)
0.474
Absent
905 (90.0)
800 (89.2)
105 (96.3)
418 (92.3)
379 (92.0)
39 (95.1)
Endovascular
intervention
Present
42 (4.2)
40 (4.5)
2 (1.8)
0.196
13 (2.9)
12 (2.9)
1 (2.4)
0.862
Absent
964 (95.8)
857 (95.5)
107 (98.2)
440 (97.1)
400 (97.1)
40 (97.6)
Laboratory
characteristics
TG (mmol/L)
1.34 (1.02-1.96)
1.37 (1.04-2.00)
1.13 (0.81-1.48)
<0.001
1.30 (1.01-1.96)
1.34 (1.01-2.00)
1.22 (0.83-1.65)
0.004
TC (mmol/L)
4.85 (4.19-5.53)
4.88 (4.24-5.53)
4.44 (3.94-5.44)
0.022
4.88 (4.19-5.55)
4.91 (4.20-5.67)
4.44 (4.08-5.36)
0.108
HDL-C (mmol/L)
1.23 (1.10-1.47)
1.23 (1.10-1.46)
1.29 (1.13-1.57)
0.041
1.25 (1.08-1.48)
1.25 (1.08-1.47)
1.31 (1.13-1.55)
0.186
LDL-C (mmol/L)
2.86 (2.48-3.41)
2.89 (2.50-3.43)
2.72 (2.33-3.28)
0.017
2.87 (2.51-3.47)
2.90 (2.51-3.47)
2.79 (2.51-3.42)
0.106
TG/HDL-C
1.06 (0.78-1.61)
1.09 (0.81-1.65)
0.79 (0.65-1.08)
<0.001
1.04 (0.77-1.59)
1.08 (0.78-1.64)
0.84 (0.65-1.14)
0.007
BMI, body mass index; NIHSS, NIH Stroke Scale; Triglycerides; TC, total cholesterol; HDL-C, high-density lipoprotein cholesterol; LDL-C, low-
density lipoprotein cholesterol; TG/HDL-C, TG to HDL-C ratio
Values are medians (interquartile range) or frequencies and percentages. Statistically significant results were in bold. aχ2 test or Mann-Whitney U test. Table 1. Baseline bivariate comparison of training and test cohort. Statistically significant results were in bold. aχ2 test or Mann-Whitney U test. MATERIALS AND METHODS performance of standard in-house procedures. Several
individuals were excluded based on the following criteria:
(1) consuming more than 40 g of alcohol per day, which
may influence TG levels, and (2) being pre-stroke with
severe infectious disease or malignancies. Clinical
outcomes, including whether the patients were alive or
dead, were further assessed after 3 months. Each
participant was followed up after 3 months via telephone,
email, and contact in an outpatient clinic. The study
protocol was approved by the Southeast University Ethics
Committee and complied with the Declaration of
Helsinki. Patients We acquired data from the Affiliated ZhongDa Hospital
of Southeast University and from Nanjing First Hospital
of
Nanjing
Medical
University. The
baseline
characteristics of the two cohorts are listed in Tables 1 and
S1. Biomarkers were retrospectively available from 1006
individuals with symptoms of AIS before statin treatment
in the training cohort; the training cohort patients were
obtained from our previous study [13]. An additional 453
AIS patients were prospectively recruited in the test
cohort. The follow-up period for the AIS patients was 3
months. Individual patients were enrolled in the current
study if they met the following criteria: (1) first onset of
stroke; (2) blood sample extraction within 36 hours of
stroke onset; (3) confirmed ischemic stroke; and (4) Aging and Disease • Volume 9, Number 3, June 2018 Clinical and laboratory evaluation Figure 1. Analysis of TG (A), TC (B), and TG/HDL-C (C)
using X-tile. The black circles highlight the optimal cutoff
values which are presented in histograms. Stroke severity was assessed at admission using the
National Institutes of Health Stroke Scale (NIHSS). Stroke etiology was determined using the modified Trial
of Org 10172 in Acute Stroke Treatment (TOAST)
classification. The treatment followed the guidelines of
the American Heart Association and American Stroke
Association [14]. Additionally, some AIS patients with
NIHSS scores greater than 4 received the thrombolysis
therapy and endovascular intervention. Clinical and laboratory data were obtained from the
medical records of individual patients. We recorded the
following parameters: (1) demographic characteristics
(age, gender, body mass index); (2) clinical characteristics
(smoking, baseline NIHSS, and blood pressure); (3)
medical history (hypertension, diabetes mellitus, atrial
fibrillation, and transient ischemic attack); (4) stroke
etiology; (5) thrombolysis therapy; (6) endovascular
intervention therapy; and (7) laboratory characteristics,
including white blood cell count (WBC), platelets, serum
glucose concentration, creatinine, TG, total cholesterol
(TC), HDL-C, and low-density lipoprotein cholesterol
(LDL-C). In-house procedures All in-house procedures were performed as described in
our study [13]. Aging and Disease • Volume 9, Number 3, June 2018 499 Prognostic significance of TG/HDL-C in patients with AIS Deng Q., et al Table 2. Univariable analysis of lipid levels as
continuous variables on 3-month mortality in the training
cohort. Kaplan-Meier curve and log-rank test. Univariable Cox
regression analysis was used to investigate the prognostic
significance of continuous and categorical lipid measures
in AIS patients. Significant predictors in the univariable
analysis were included in a multivariable regression
model to determine independent predictors. Additionally,
a nomogram and calibration curve was established using
R for Windows with the package rms [15]. The
discriminatory ability of the nomogram was evaluated
using Harrell’s c-index. Calibration was used to compare
the actual 3-month survival with the predicted probability
predicted by the curve. Statistical analysis was performed
with SPSS software (Version 20, Chicago, USA). A P
value less than 0.05 was considered statistically
significant. Variable
Hazard
ratio
95% confidence
interval
P value
TG
0.58
0.43-0.79
<0.001
TC
0.82
0.68-0.98
0.031
HDL-C
1.77
1.00-3.15
0.052
LDL-C
0.72
0.55-1.23
0.112
TG/HDL-C
0.44
0.30-0.66
<0.001
TG, Triglycerides; TC, total cholesterol; HDL-C, high-density
lipoprotein cholesterol; LDL-C, low-density lipoprotein cholesterol;
TG/HDL-C, TG to HDL-C ratio. Statistically significant results were in bold. Aging and Disease • Volume 9, Number 3, June 2018 Statistical analysis The TG/HDL-C value was calculated by dividing TG by
HDL-C. All data are expressed as frequencies and
percentages for categorical variables and medians and
interquartile ranges for continuous variables. Continuous
variables and categorical variables were analyzed using
rank sum tests (Mann-Whitney U tests) and chi-squared
tests, respectively. We utilized X-tile software (Yale
University, New Haven, USA) to determine the optimal
cutoff values of TG, TC, and TG/HDL-C. The
discriminatory
abilities
of
these
variables
were
determined via receiver operating characteristic (ROC)
curves. Three-month survival was analyzed with a Figure 1. Analysis of TG (A), TC (B), and TG/HDL-C (C)
using X-tile. The black circles highlight the optimal cutoff
values which are presented in histograms. 500 Aging and Disease • Volume 9, Number 3, June 2018 Deng Q., et al
Figure 2. Survival curves of TG, TC, and TG/HDL-C in the
training cohort. The low TG (A), TC (B), and TG/HDL-C (C)
groups had higher 3-month mortality rates than the high groups
in AIS patients (P<0.01). Deng Q., et al Prognostic significance of TG/HDL-C in patients with AIS Deng Q., et al Figure 2. Survival curves of TG, TC, and TG/HDL-C in the
training cohort. The low TG (A), TC (B), and TG/HDL-C (C)
groups had higher 3-month mortality rates than the high groups
in AIS patients (P<0 01) TG, TC, HDL-C, and LDL-C, as well as TG/HDL-C, are
shown in Table 1. Data from an additional 453 patients
were prospectively collected for the test cohort. Of these
patients, 35 (7.7%) individuals received thrombolysis,
and 13 (2.9%) experienced endovascular intervention. Forty-one died during the follow-up period. We also
confirmed that old age, high NIHSS, low TG, and low
TG/HDL-C were associated with an increased risk of
mortality in the training and test cohort patients (P<0.05,
Table 1). The baseline characteristics of the training and test
cohorts of the present study are summarized in Table 1
and Supplemental Table 1. A total of 585 men and 421
women were retrospectively recruited into the training
cohort. Of these patients, 897 (89.2%) were still alive after
3 months. Baseline demographics and the median
concentrations of TG, TC, HDL-C, and LDL-C, as well as
TG/HDL-C, are shown in Table 1. Data from an
additional 453 patients were prospectively collected for
the test cohort. Of these patients, 35 (7.7%) individuals
received thrombolysis, and 13 (2.9%) experienced
endovascular intervention. Forty-one died during the
follow-up period. Association of lipid level with survival The TG, TC, HDL-C, LDL-C, and TG/HDL-C values
were used as continuous variables, and univariable Cox
regression analyses showed that TG, TC, and TG/HDL-C
were significant prognostic factors in the training cohort
(Table 2). X-tile was employed to determine the optimal
cutoff values; in terms of 3-month mortality in the training
cohort patients, these cutoff values were 0.8 μmol/l for
TG, 4.3 μmol/l for TC, and 0.9 for TG/HDL-C (Fig. 1). The training cohort individuals were then divided into
low- and high-level groups according to these cutoffs. We
first compared the clinical characteristics of the high and
low-level groups in training and test cohort patients. In the
training cohort, differences between the high and low TG
groups were observed for gender, smoking, medical
history, stroke etiology, WBC, glucose, and creatinine
(P<0.05). Additionally, TG/HDL-C was associated with
gender, smoking, hypertension, and medical history
(except history of TIA) (P<0.05). However, the
differences between the two TC groups were not
significant for any characteristic (Supplemental Table 2). Similar findings were observed when the test cohort
patients were divided into low- and high-level groups for
clinical characteristics according to the same cutoff values
as the training cohort (Supplemental Table 3). The TG, TC, HDL-C, LDL-C, and TG/HDL-C values
were used as continuous variables, and univariable Cox
regression analyses showed that TG, TC, and TG/HDL-C
were significant prognostic factors in the training cohort
(Table 2). X-tile was employed to determine the optimal
cutoff values; in terms of 3-month mortality in the training
cohort patients, these cutoff values were 0.8 μmol/l for
TG, 4.3 μmol/l for TC, and 0.9 for TG/HDL-C (Fig. 1). Figure 2. Survival curves of TG, TC, and TG/HDL-C in the
training cohort. The low TG (A), TC (B), and TG/HDL-C (C)
groups had higher 3-month mortality rates than the high groups
in AIS patients (P<0.01). Statistical analysis We also confirmed that old age, high
NIHSS, low TG, and low TG/HDL-C were associated
with an increased risk of mortality in the training and test
cohort patients (P<0.05, Table 1). Aging and Disease • Volume 9, Number 3, June 2018 Baseline characteristics e and multivariate analyses for the potential prognostic variables associated with 3-month Table 3. Univariate and multivariate analyses for the potential prognostic variables associated
mortality. significantly (AUC=0.640), TC (AUC=0.567), and their
combined effect (AUC=0.668). Additionally, similar
results were obtained when their predictive values were
further confirmed by the ROC curve and AUC analyses in
the test cohort (Figure 3B). Aging and Disease • Volume 9, Number 3, June 2018 Baseline characteristics The baseline characteristics of the training and test
cohorts of the present study are summarized in Tables 1
and S1. A total of 585 men and 421 women were
retrospectively recruited into the training cohort. Of these
patients, 897 (89.2%) were still alive after 3 months. Baseline demographics and the median concentrations of Aging and Disease • Volume 9, Number 3, June 2018 501 Prognostic significance of TG/HDL-C in patients with AIS Deng Q., et al variables identified as significant in the univariate log-
rank test. TG, TC, and TG/HDL-C, as well as age and
hypertension, were independent prognostic factors for 3-
month mortality in both the training and test cohort
patients (Table 3). The univariate log-rank test results for clinical
characteristics in the training and test cohorts are shown
in Table 3. The low TG, TC, and TG/HDL-C groups had
higher 3-month mortality rates than the high groups in
AIS patients (P<0.01, Figure 2). A multivariate Cox
regression analysis was then performed for clinical Table 3. Univariate and multivariate analyses for the potential prognostic variables associated with 3-month
mortality. Training cohort
Test cohort
Variable
Univariate
analysis
Multivariate analysis
Univariate
analysis
Multivariate analysis
P value
HR (95%CI)
P value
P value
HR (95%CI)
P value
Age
<0.001
1.03 (1.02-1.05)
<0.001
0.008
1.18 (1.01-2.00)
0.008
Gender (female)
0.049
0.86 (0.57-1.30)
0.859
0.060
BMI
0.476
0.142
Smoking
0.135
0.050
Baseline NIHSS
0.255
0.701
SBP
0.057
0.074
DBP
0.536
0.939
Hypertension
0.019
1.85 (1.09-3.16)
0.023
0.013
1.68 (1.10-5.51)
0.030
Diabetes mellitus
0.268
0.621
History of AT
0.091
0.807
History of TIA
0.606
0.123
Stroke etiology
0.449
0.757
Therapy of thrombolysis
0.154
0.586
Endovascular intervention
0.148
0.841
WBC
0.621
0.918
Platelet
0.724
0.519
Glucose
0.072
0.986
Creatinine
0.722
0.657
TG
<0.001
0.42 (0.26-0.60)
<0.001
0.017
0.47 (0.22-0.73)
<0.001
TC
0.001
0.55 (0.38-0.81)
<0.001
0.026
0.50 (0.28-0.90)
0.001
HDL-C
0.089
0.167
LDL-C
0.054
0.696
TG/HDL-C
<0.001
0.39 (0.24-0.62)
<0.001
0.010
0.28 (0.12-0.65)
<0.001
BMI, body mass index; NIHSS, NIH Stroke Scale; SBP, systolic blood pressure; DBP, diastolic blood pressure; AT, atrial fibrillation; TIA,
transient ischemic attack; WBC, white blood cell; TG, Triglycerides; TC, total cholesterol; HDL-C, high-density lipoprotein cholesterol; LDL-
C, low-density lipoprotein cholesterol; TG/HDL-C, TG to HDL-C ratio. Individual patients were divided into low (<cutoff value) and high (≥cutoff value) level groups according to corresponding cutoffs of serum
lipids. Statistically significant results were in bold. Predictive values of TG, TC, and TG/HDL-C for survival To investigate the predictive values of TG, TC, and
TG/HDL-C in AIS patients, a ROC curve and areas under
the curves (AUCs) regarding 3-month mortality were
plotted and analyzed for the training cohort (Figure 3A). Moreover, we calculated the AUC of the combination of
TG and HDL-C. The results showed that the optimal
predictive value of TG/HDL-C (AUC=0.674) was Aging and Disease • Volume 9, Number 3, June 2018 502 Prognostic significance of TG/HDL-C in patients with AIS Deng Q., et al Figure 3. Predictive values of TG, TC, and TG/HDL-C for 3-month mortality in the training (A) and the test (B) cohort. Figure 3. Predictive values of TG, TC, and TG/HDL-C for 3-month mortality in the training (A) and the test (B) cohort. Discussion To further evaluate the predictive ability of TG/HDL-C in
AIS patients, we used a nomogram based on the findings
from the univariate analyses to predict 3-month mortality. The univariable analyses confirmed that age, history of
hypertension, TG, TC, and TG/HDL-C (P<0.05) were
significantly correlated with survival outcome in the
training and test cohort patients. Among lipid
classifications, the TG/HDL-C had the greatest AUC, and
TG/HDL-C, age, and history of hypertension were
included in the predictive model for both the training
(Figure 4A) and test (Figure 4B) cohorts; R software was
used with stepwise Cox regression analyses. The
nomograms for both cohorts showed that old age and a
history of hypertension were indicators of a poor
prognosis, whereas a high TG/HDL-C was a favorable
factor. These results were similar to those acquired
previously in the multivariate analyses (Table 3). Furthermore, calibration curves for the predictive model
in both cohorts indicated that the predicted 3-month
survival values were similar to the actual 3-month
survival rates (Figure 4C and 4D). We then assessed the
predictive accuracy of the prognostic model; the Harrell’s
c-index values for the nomogram in the training and test
cohorts were 0.684 and 0.670, respectively (P<0.01). Using the training and test cohort patients in Nanjing City
with AIS, we confirmed a correlation between low
TG/HDL-C and increased case-fatality at 3 months, and
this correlation was further supported by multivariate
analyses. The discriminatory ability of TG/HDL-C for 3-
month survival was superior to that of the other lipid
measures. The established nomogram also explained the
potential significance of TG/HDL-C in the prediction of
AIS prognosis. Atherothrombosis is a major subtype of TOAST
classification system. A previous study reported that the
percentages of the TOAST subtypes were as follows:
atherothrombosis, 12% to 54%; cardioembolism, 10% to
26%;
small-vessel,
20%
to
42%;
and
undetermined/unclassified, 4% to 34% [16]. Therefore,
there are different distributions of ischemic stroke
subtypes among the Chinese population. The probable
reason for this finding is the different study populations. In the present study, the most common stroke etiology
was still atherothrombosis, which was similar to previous
studies [17, 18]; however, many studies have shown that
AIS in the Chinese population includes a large proportion
of small-vessel occlusion [19]. This difference in subtypes
occurred during a period of rapid economic development
and changing lifestyles in China including changes in
dietary fat and cholesterol intake. Discussion Aging and Disease • Volume 9, Number 3, June 2018 503 Prognostic significance of TG/HDL-C in patients with AIS Deng Q., et al Figure 4. Nomogram of the study population to predict 3-month survival in acute ischemic stroke. The nomogram is used by
summing the points assigned to the corresponding factors, which are presented at the top of the scale. The total is used to predict the 3-
month probability of survival in the lowest scale. The c-indexes values for the training (A) and the test cohort (B) are 0.684 and 0.670,
respectively. Individual patients were divided into low (<0.90)- and high (≧0.90)-level groups according to the TG/HDL-C cutoff. Calibration curves for 3-month survival, which are representative of predictive accuracy, for the training (C) and the test cohort (D). The 45-degree reference line represents a perfect match between predicted and observed values. Figure 4. Nomogram of the study population to predict 3-month survival in acute ischemic stroke. The nomogram is used by
summing the points assigned to the corresponding factors, which are presented at the top of the scale. The total is used to predict the 3-
month probability of survival in the lowest scale. The c-indexes values for the training (A) and the test cohort (B) are 0.684 and 0.670,
respectively. Individual patients were divided into low (<0.90)- and high (≧0.90)-level groups according to the TG/HDL-C cutoff. Calibration curves for 3-month survival, which are representative of predictive accuracy, for the training (C) and the test cohort (D). The 45-degree reference line represents a perfect match between predicted and observed values. The identification of a simple and inexpensive
indicator for predicting disease prognosis is a global
focus. The TG/HDL-C value can be reproduced and
inexpensively
determined
during
routine
clinical
management, and this study further confirms previous
evidence of the clinical significance of its ability to predict
prognosis. Emerging evidence has revealed that
TG/HDL-C is correlated with insulin resistance [20] and
predicts the incidence and mortality of cardiovascular
disease [21]. Additionally, TG/HDL-C has a similar
predictive ability for prognoses in hypertension [22] and
diabetes mellitus [23]. Our prior study showed that
TG/HDL-C could predict mortality and worse outcomes
after AIS [13]. However, the cutoff of TG/HDL-C was
determined with an receiver operating characteristic curve
in our previous study [13]. Aging and Disease • Volume 9, Number 3, June 2018 References tients with hemorrhagic stroke. Validation for
morrhagic stroke is required. Additionally, TG/HDL-C
s included in the final model after Cox regression
alysis, and we cannot confirm the dynamic changes in
G/HDL-C during treatment, and whether these dynamic
anges influence the prognosis of AIS. TG/HDL-C may be an objective parameter that can
easily obtained from routine laboratory estimates. In
s study of 1459 AIS patients, TG/HDL-C was validated
a prognostic tool for 3-month survival after AIS. A
toff value of TG/HDL-C of 0.9 in 1006 individuals,
nerated the most prognostic dichotomization of the
rospective and prospective cohorts regarding 3-month
se fatality. These results suggest that TG/HDL-C, in
mbination with age and hypertension history, might
prove the prediction of outcomes among AIS patients. ompeting interests
e authors declare that they have no competing interests. uthors and Contributors
Y and QWD participated in the design of the study and
rformed the statistical analysis. SL, HW, ZTG, HQZ,
X and LZ collected patient information and prepared
e figures. FLY and QWD conceived the study,
[1]
Meschia JF, Bushnell C, Boden-Albala B, Braun LT,
Bravata DM, Chaturvedi S, et al. (2014). Guidelines
for the primary prevention of stroke: a statement for
healthcare professionals from the American Heart
Association/American Stroke Association. Stroke, 45:
3754-3832
[2]
Hankey GJ (2003). Long-term outcome after
ischaemic
stroke/transient
ischaemic
attack. Cerebrovasc Dis, 16 Suppl 1: 14-19
[3]
Feigin VL, Norrving B, Mensah GA (2017). Global
Burden of Stroke. Circulation research, 120: 439-448
[4]
Wang W, Jiang B, Sun H, Ru X, Sun D, Wang L, et al. (2017). Prevalence, Incidence, and Mortality of Stroke
in China: Results from a Nationwide Population-
Based Survey of 480 687 Adults. Circulation, 135:
759-771
[5]
Feigin VL, Roth GA, Naghavi M, Parmar P,
Krishnamurthi R, Chugh S, et al. (2016). Global
burden of stroke and risk factors in 188 countries,
during 1990-2013: a systematic analysis for the Global
Burden of Disease Study 2013. Lancet Neurol, 15:
913-924
[6]
Feigin VL, Lawes CM, Bennett DA, Barker-Collo SL,
Parag V (2009). Worldwide stroke incidence and early
case fatality reported in 56 population-based studies: a
systematic review. Lancet Neurol, 8: 355-369
[7]
Pearson TA (2017). Understanding the Impact of
Hyperlipidemia Treatment on Medical Expenditures
for Cardiovascular Disease. Medical care, 55: 1-3 Meschia JF, Bushnell C, Boden-Albala B, Braun LT,
Bravata DM, Chaturvedi S, et al. (2014). Competing interests The authors declare that they have no competing interests. Authors and Contributors
FLY and QWD participated in the design of the study and
performed the statistical analysis. SL, HW, ZTG, HQZ,
FLX and LZ collected patient information and prepared
the figures. FLY and QWD conceived the study,
[6
[7 [6] Discussion We used X-tile software, a
robust tool for outcome-based cutoff optimization, to
determine the optimal cutoff value for TG/HDL-C (0.90)
in the training cohort (Figure 1). However, compared to
the previous cutoff value (0.87), which was determined by
ROC analysis, the cutoff value of TG/HDL-C using X-tile
software was a slightly higher in the same cohort of patients. Its discriminatory ability (sensitivity 82.5% and
specificity 73.4%) was significantly greater than that in
our prior study (sensitivity 67.8% and specificity 60.6%). Additionally, the discriminatory ability of TG/HDL-C
was significantly greater than those of TG, TC, and their
combination in both cohorts (Figure 3). Although
smoking was clearly associated with TG/HDL-C, as
shown in Tables S2 and S3, TG/HDL-C was an indicator
that was independent of smoking in the training and test
cohorts. Additionally, subgroup analyses by smoking
status showed that in the univariate analysis, the
TG/HDL-C ratio was significantly associated with 3-
month mortality in the training cohort patients who
smoked (P=0.014) and who did not smoke (P<0.001). Similar results were obtained for the test cohort patients
(P=0.012 for smokers; P=0.010 for non-smokers). Collectively, we identified a favorable cutoff to predict 3-
month case-fatality after AIS. The nomogram is a visual and widely accepted
approach to predict disease prognosis using several
clinical characteristics [24]. Furthermore, emerging
evidence has revealed the prognostic predictive ability of 504 Prognostic significance of TG/HDL-C in patients with AIS Deng Q., et al participated in its design and coordination and helped to
draft the manuscript. All authors have read and approved
the final manuscript. nomograms to be more precise than that of a traditional
tumor staging system in malignancies [25, 26]. However,
nomograms are rarely used for in stroke outcome. The
current study attempted to develop a prognostic
nomogram to predict 3-month mortality in the training
and test cohort patients. Based on our nomogram,
TG/HDL-C was included in the final model through a
stepwise algorithm. The predictive effect of the
nomogram was well explained by the calibration curve in
both cohorts (Figures 4C and 4D). The results from
nomogram showed that old age and a history of
hypertension were also predictors of a poor prognosis in
patients with AIS. Therefore, TG/HDL-C should be
considered when predicting the prognosis of AIS. Acknowledgements This study was supported by the National Natural Science
Foundation of China (No. 81271336), the Science and
Technology Development Plan of Nanjing Foundation
(2016sc511020) to F.-L. Yan, and the Fundamental
Research
Funds
for
the
Central
Universities
(KYZZ16_0130) to Q.-W. Deng. Supplemetary Material The Supplemenatry material for this article can be found
online at: www.aginganddisease.org/EN/10.14336/AD.2017.0629
Supplemental table 1. Other baseline bivariate
comparison of training and test cohort. Supplemental table 2. The association of clinical
characteristics with lipid measures in the training cohort. Supplemental table 3. The association of clinical
characteristics with lipid measures in the test cohort. A major strength of the present study is that it
included a relatively large number of AIS patients from a
single city; additionally, it involved both retrospective and
prospective cohorts. However, additional studies should
be conducted to confirm whether these results are
applicable to other cohorts. Another strength of our study
is the use of X-tile software, which is a robust graphics
tool [27], to determine the optimal cutoffs for serum
lipids. The imitations of the present study should be
acknowledged when interpreting these findings. For
example, the findings presented here are from individuals
with AIS, limiting the extrapolation of the results to
patients with hemorrhagic stroke. Validation for
hemorrhagic stroke is required. Additionally, TG/HDL-C
was included in the final model after Cox regression
analysis, and we cannot confirm the dynamic changes in
TG/HDL-C during treatment, and whether these dynamic
changes influence the prognosis of AIS. References Guidelines
for the primary prevention of stroke: a statement for
healthcare professionals from the American Heart
Association/American Stroke Association. Stroke, 45:
3754-3832 TG/HDL-C may be an objective parameter that can
be easily obtained from routine laboratory estimates. In
this study of 1459 AIS patients, TG/HDL-C was validated
as a prognostic tool for 3-month survival after AIS. A
cutoff value of TG/HDL-C of 0.9 in 1006 individuals,
generated the most prognostic dichotomization of the
retrospective and prospective cohorts regarding 3-month
case fatality. These results suggest that TG/HDL-C, in
combination with age and hypertension history, might
improve the prediction of outcomes among AIS patients. [2]
Hankey GJ (2003). Long-term outcome after
ischaemic
stroke/transient
ischaemic
attack. Cerebrovasc Dis, 16 Suppl 1: 14-19 Feigin VL, Norrving B, Mensah GA (2017). Global
Burden of Stroke. Circulation research, 120: 439-448 [4] Wang W, Jiang B, Sun H, Ru X, Sun D, Wang L, et al. (2017). Prevalence, Incidence, and Mortality of Stroke
in China: Results from a Nationwide Population-
Based Survey of 480 687 Adults. Circulation, 135:
759-771 [5] Feigin VL, Roth GA, Naghavi M, Parmar P,
Krishnamurthi R, Chugh S, et al. (2016). Global
burden of stroke and risk factors in 188 countries,
during 1990-2013: a systematic analysis for the Global
Burden of Disease Study 2013. Lancet Neurol, 15:
913-924 Aging and Disease • Volume 9, Number 3, June 2018 Authors and Contributors Feigin VL, Lawes CM, Bennett DA, Barker-Collo SL,
Parag V (2009). Worldwide stroke incidence and early
case fatality reported in 56 population-based studies: a
systematic review. Lancet Neurol, 8: 355-369 FLY and QWD participated in the design of the study and
performed the statistical analysis. SL, HW, ZTG, HQZ,
FLX and LZ collected patient information and prepared
the figures. FLY and QWD conceived the study,
[7] Pearson TA (2017). Understanding the Impact of
Hyperlipidemia Treatment on Medical Expenditures
for Cardiovascular Disease. Medical care, 55: 1-3 Aging and Disease • Volume 9, Number 3, June 2018 505 Deng Q., et al Prognostic significance of TG/HDL-C in patients with AIS [8] cholesterol is related with increased hemorrhagic
transformation after acute ischemic cerebral infarction. Eur Rev Med Pharmacol Sci, 20: 673-678 [8]
Markaki I, Nilsson U, Kostulas K, Sjostrand C (2014). High cholesterol levels are associated with improved
long-term survival after acute ischemic stroke. J
Stroke Cerebrovasc Dis, 23: e47-53 [19] Wu CY, Wu HM, Lee JD, Weng HH (2010). Stroke
risk factors and subtypes in different age groups: a
hospital-based study. Neurology India, 58: 863-868 [9] [9]
Pan SL, Lien IN, Chen TH (2010). Is higher serum
total cholesterol level associated with better long-term
functional outcomes after noncardioembolic ischemic
stroke? Arch Phys Med Rehabil, 91: 913-918 [20] McLaughlin T, Reaven G, Abbasi F, Lamendola C,
Saad M, Waters D, et al. (2005). Is there a simple way
to identify insulin-resistant individuals at increased
risk of cardiovascular disease? Am J Cardiol, 96: 399-
404 [10] [10]
von Budingen HC, Baumgartner RW, Baumann CR,
Rousson V, Siegel AM, Georgiadis D (2008). Serum
cholesterol levels do not influence outcome or
recovery in acute ischemic stroke. Neurol Res, 30: 82-
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Adult Learners’ Perceptions of the Significance of Culture in Foreign Language Teaching and Learning
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Abstract Is learning about culture important when learning a foreign language? One would think that after its long history in the
field of foreign language teaching this question had been answered with a resounding ‘yes’. However, I saw little
evidence of this in the classroom when I returned to the university to learn a foreign language or when I began teaching
English as a Foreign Language (EFL). I decided to investigate, and found that while much has been published about the
theory of the need for inclusion of culture in foreign language teaching, I was struck by the absence of reports on the
study of learners’ opinions on the issue and resolved to do such a study. Since I had encountered no teaching materials
that I felt encompassed the teaching of culture sufficiently, I designed an introductory EFL course specifically for the
adult learners I was working. The course centered on intercultural communication and awareness, and I employed it as
the ‘medium’ for qualitative action research to learn about the learners’ perceptions of the experience. In this paper I
report on their responses to the focus on culture. The research reveals that while the inclusion of culture and the concept
of ‘learner centering’ in foreign language education are recognized in theory, these considerations have not been
effectively incorporated into practice. It is hoped that the definitive insights from learners’ assessments of the
significance of explicitly learning about culture when learning a foreign language will instigate its further inclusion and
promote conscious learner centering. Keywords: action research, foreign language teaching and learning, adult education, culture, intercultural
communication, awareness, explicit teaching Received: October 22, 2013 Accepted: November 11, 2013 Online Published: January 24, 2014
doi:10.11114/jets.v2i2.250 URL: http://dx.doi.org/10.11114/jets.v2i2.250 Received: October 22, 2013 Accepted: November 11, 2013 Online Published: January 24, 2014
doi:10.11114/jets.v2i2.250 URL: http://dx.doi.org/10.11114/jets.v2i2.250 Received: October 22, 2013 Accepted: November 11, 2013 Online Published: January 24, 2014
doi:10.11114/jets.v2i2.250 URL: http://dx.doi.org/10.11114/jets.v2i2.250 Received: October 22, 2013 Accepted: November 11, 2013 Online Published: January 24, 2014
doi:10.11114/jets.v2i2.250 URL: http://dx.doi.org/10.11114/jets.v2i2.250 Journal of Education and Training Studies
Vol. 2, No. 2; April 2014
ISSN 2324-805X E-ISSN 2324-8068
Published by Redfame Publishing
URL: http://jets.redfame.com Journal of Education and Training Studies
Vol. 2, No. 2; April 2014
ISSN 2324-805X E-ISSN 2324-8068
Published by Redfame Publishing
URL: http://jets.redfame.com Adult Learners’ Perceptions of the Significance of Culture in Foreign
Language Teaching and Learning Kimberly Anne Brooks-Lewis
Department of English Language Teaching, Fatih University, Istanbul, Turkey
Correspondence: Kimberly Anne Brooks-Lewis, Department of English
Buyukcekmece Istanbul Turkey 34500 Turkey Kimberly Anne Brooks-Lewis
Department of English Language Teaching, Fatih University, Istanbul, Turkey Kimberly Anne Brooks-Lewis
Department of English Language Teaching, Fatih University, Istanbul, Turkey
Correspondence: Kimberly Anne Brooks-Lewis, Department of English Language Teaching, Fatih University,
Buyukcekmece, Istanbul, Turkey, 34500, Turkey. 2. Literature Review The issue of the inclusion of culture in foreign language teaching arguably began with the writings of Malinowski in
1923 after Sapir, an anthropologist-linguist, declared that “…language does not exist apart from culture.” (Sapir, 1921,
p. 206). However, this had little impact in language education until the 1970s, with a principle of the ‘communicative
revolution’ that “…language teaching should take greater account of the way that language worked in the real world
and try to be more responsive to the needs of learners in their efforts to acquire it.” (Howatt. 2004, p. 326) A precept of
the resulting communicative approach to language teaching was to address the learner’s need not only for learning
grammar but for being able “…to use the language in socially and culturally appropriate ways.” (Byram et al., 2002, p. 4) This would require making culture an integral part of language education, as opposed to the traditional view that
learning about culture, as Byram (1989, p. 18) put it, is nothing more than “…a beneficial spin-off from pure
language teaching..” This view endures, as: “Current ‘communicative’ methods of second language teaching generally
view language as a means of bridging an ‘information gap’.” (Corbett, 2003, p. 1) There have been developments in addressing the issue, as are skillfully considered in Ahanasoulas’ paper (2001) for
instance, but the communicative approach, with its focus on the ‘four language skills’ being the order of the day, the
assumption continues that learners will instinctively learn about culture and somehow ‘naturally’ learn to use the
language appropriately. However, as Widdowson (2003, p. 24) suggests, “…this seems unlikely with the kind of
rudimentary transactions frequently set as the objective of communicative language teaching.” It would seem that this
restriction was what the communicative revolution was revolting against, but culture continues to be neglected, if not
purposefully avoided (Kim, 2002, p. 27). At best, cultural content is included obliquely, in ‘capsules’ that "…provide
students with little material. Even when culturally authentic materials are implemented…they typically appear only on
the periphery and are rarely used to reveal significant features of the target culture.” (Maxim, 2000, p. 13) Today, in the
attempt to represent the diversity of cultures where the target language is spoken there is no target culture; instead,
allusions to various cultures are depicted, which is not only confusing but can promote little learning about any of them. 2. Literature Review It also trivializes the role of culture in language and communication. In addition to helping the learner understand how to use the language appropriately, teaching about culture in language
education acknowledges the complexity of learning another language. In response, the recognition of the learner as an
individual is essential, because as the Council of Europe (2001, p. 1) notes: “Communication calls upon the whole
human being…”, and thus the learner’s identity, including her or his interests, needs, experience and prior knowledge,
must be taken into account. This would seem essential to the presently popular idea of ‘learner-centered’ teaching, but
previous research (Sercu et al., 2005, p. 491) shows that: “An important number of the cultural topics touched upon in
the foreign language classroom appear to be far removed from what learners already understand and know about the
foreign culture in focus.” The report goes on to explain that “…traditional approaches to culture teaching appear to
persevere…not worrying too much about whether this body of information is relevant to learners or can help forward
their learning process.” (ibid., p. 494) Why would information that is not relevant to the learners be presented? And
what is the purpose of education other than helping to forward the learning process? Developments in including culture and the recognition of the learner in language education continue, and an
intercultural approach to language teaching has brought progress with a more thorough integration of culture with the
understanding that “…culture is the core of language learning/acquisition.” (Lange et al., 1998, p. ii, original emphasis)
This approach is not a ‘revolution’ in which previous methods are overthrown but builds upon them, especially on
methods of the communicative approach, in the effort to reach meaningful and realistic goals (Corbett, 2003, p. 4). These goals include teaching towards the awareness of learning, language, culture, and their interrelationship in
communication, the awareness of other cultures, of other people and of self in the promotion of intercultural reflection
and understanding. 1. Introduction My initial question when I began the research was what adult learners would think of forthright teaching about culture in
the English as a foreign language (EFL) classroom. Today it might seem that this question is outdated because of all that
has been written about the theory of the necessity for the inclusion of culture in the study of a foreign language, but in my
study of the literature I discovered no reports of learners‟ responses to such teaching. I wondered if this might be a
reflection of my observation that while there has been some progress towards the inclusion of culture in foreign language
teaching it is has been limited, and generally, culture is only hinted at, and that in such a fragmented, disconnected manner
as to make meaningful learning about culture improbable. I became aware of this in my experience as an adult learner in the foreign language classroom, and as an EFL teacher I
became critical of the deficiency of information about culture in the materials I was expected to employ. After deciding to
confront the issue I wrote an introductory course for EFL specifically for the adult learners İ was working with at two
universities in central Mexico. Wishing to learn about their perceptions of the course, I employed it as the „medium‟ for
classroom-based research, and the data collected were reports written by the learner-participants about their perceptions
of their experience of the course. The insights that emerged from the data are arresting, I think are especially so because
they come from the viewpoint of learners, not from theory or, as in most reported classroom research, from the teacher or
researcher‟s observation of learners‟ reactions. In this article I discuss what I consider to be the most intriguing of the participants‟ remarks about their experience of
forthright teaching and learning about culture in the EFL classroom, offering my interpretations and assessments as to
their relevance for language education. Several other themes emerged as having been noteworthy to participants, several
of which are discussed in papers listed under Brooks-Lewis in the Reference section below. 9 Journal of Education and Training Studies Vol. 2, No. 2; 2014 3. Methodology of the Research The methodology of the research discussed herein is qualitative, and exemplifies the observation that “…the styles of
scientific research vary almost as much as human personalities.” (Watson 1968, p. ix) It concurs with Denzin and
Lincoln’s (1998, p. 3) description of qualitative research being “…multimethod in focus, involving an interpretative,
naturalistic approach to its subject matter.” The research I undertook comprises factors of several qualitative methods,
some of which have coinciding principles. Action research is the predominant method in the research, highlighted by the plan/act/observe/reflect cycle which I
maintained by observing, noticing what I felt to be problems, reflecting upon them, making a plan in response, and acting
upon it. Another hallmark of action research is to bring about change, which is what I hope to do by sharing the results of
the research. I was both the teacher and the researcher, a complex position that in action research is seen as being “….a
way to bridge the gap between theory and practice.” (Noffke, 1997) Action research is also a joining of “…researchers 10 Journal of Education and Training Studies Vol. 2, No. 2; 2014 and research participants into a single community of interested colleagues” (Winters in Richards, 2003, p. 237), a notion
that defines my attitude and methodology. Also essential for me is that action research offers immediate rewards for
everyone concerned: the students for the thought-provoking experiences of doing something different and of being
involved in research, and for the teacher/researcher it “…goes beyond mere discovery and embeds the findings of the
research in a process of professional self-discovery and development.” (ibid.) I hope that others will take up this research,
because as a case study, it “…is „strong in reality‟ and therefore likely to appeal to practitioners, who will be able to
identify with the issues and concerns raised…” (Nunan, 1992, p. 78) I would suggest that many of the ideas can be applied
in teaching other languages and in other situations. and research participants into a single community of interested colleagues” (Winters in Richards, 2003, p. 237), a notion
that defines my attitude and methodology. 3. Methodology of the Research Also essential for me is that action research offers immediate rewards for
everyone concerned: the students for the thought-provoking experiences of doing something different and of being
involved in research, and for the teacher/researcher it “…goes beyond mere discovery and embeds the findings of the
research in a process of professional self-discovery and development.” (ibid.) I hope that others will take up this research,
because as a case study, it “…is „strong in reality‟ and therefore likely to appeal to practitioners, who will be able to
identify with the issues and concerns raised…” (Nunan, 1992, p. 78) I would suggest that many of the ideas can be applied
in teaching other languages and in other situations. My purpose in the research was to learn about learner-participants‟ perceptions of their experience of it, involving the
methodology of constructivism in sharing “…the goal of understanding the complex world of lived experience from the
point of view of those who live it.” (Richards, 2003, p. 3) My own experiences were fundamental to the process, which is
a factor of narrative research methodology, as: “One of the starting points for narrative inquiry is the researcher‟s own
narrative of experience.” (Clandinin and Connelly, 2000, p. 70) The subjectivity involved is appreciated in qualitative
research, and the researcher is recognized as “…a resource, which must be capitalized upon.” (Holliday, 2002, p. 145) My
involvement as both teacher and researcher was necessary, but even so I felt the need for „decentering‟, as Heshusius and
Ballard (1996, p. 173) describe it in interpretivism as the effort to „step outside one‟s self‟ in working towards the
suspension of beliefs, preconceptions, of „being the knower‟, of being open to seeing and imagining possibilities. This
effort was not an attempt to simulate objectivity because: “The claim to objectivity implicit in the representation of
quantitative outcomes and explicit in experimental research allows the researcher to stand aside from the findings, but this
is not an option in qualitative inquiry.” (Richards, 2003, p. 9) My only attempt to stand aside from the findings of this
research is to present them as concisely as possible so that readers may form their own decisions as to their relevance. 4. Context of the Research I obtained permission from the authorities at the two public (state funded) universities in central Mexico where I was
teaching to undertake the research with the groups I had been assigned. The students were all Spanish-speaking adults
with varying levels of English and ages ranging from 19 to 72, the majority being at the lower end. On the first meeting with each group I invited the students to participate in the research, and acceptance was unanimous. I did not share the research questions with the participants, only explaining that the research was about EFL teaching
and learning and that the course would be ‘different’. I did not describe the differences in order to avoid influencing
their responses – I did not want to ‘give the game away’, as Richards (2003, p. 123) put it. The duration of the course was intended to be 30 classroom hours but was frequently longer, as questions and open
discussions were encouraged and accommodated at the learners’ discretion. The same process and content were
maintained when working with all of the groups. 4.2 An Outline of the ‘Medium’ of the Research The course was designed as an introduction to the study of EFL. Even though all of the students had studied English
previously (as it is a requirement in secondary and high schools in Mexico), I wondered if a re-introduction as an adult
learner might be beneficial in promoting awareness on several levels. With regard to the aspect of the inclusion and
incorporation of culture in foreign language teaching, the types of awareness aimed for are of self, of language and
culture, and their interrelationship in communication. I imagined that such a process would require teaching about
culture on two levels: culture-specific, the study of a particular culture, and culture-general, which treats of “…the
larger issues of ethnocentrism, cultural self-awareness, and general adaptation strategies.” (Bennett, 1996, p. 20) Both
of these were crucial in the course, as a fundamental goal was to help learners develop “…a greater degree of tolerance
toward other cultures and [to be] able to confront and begin to overcome their cultural prejudices and stereotypes.”
(Lantolf, 1999, p. 29) The American Council for the Teaching of Foreign Language (2006) suggests the comparison of
the learner’s culture and first language with those under study, and as I had found that contrast was also beneficial, both
were constant threads throughout the course. Many of these principles which were incorporated into the course are
clearly illustrated, for example, in Thanasoulas, 2001. Because the focus of this paper is learners’ perceptions of the significance of culture in language learning, here I will
give a synopsis of how culture was engaged in the course. (A more complete description can be found in Brooks-Lewis,
2007.) The introduction of culture began with a summarized (hi)story of the English language to familiarize the learners
with the language. Then discussions of a specific culture where the English language is spoken (the U.S.) were initiated
(culture-specific). This country was elected because the course was designed specifically for Mexican adults, and I felt
that looking at its culture(s) would be most relevant for the learners since they are neighbors. I pointed out that there is
no ‘one’ culture in any country, but as the US has been built upon cultural diversity we would look at ‘core concepts’ of
the culture. 4.1 Data Collection and Analysis Three types of written data were collected: questionnaires, copies of learning diaries, and essays. The writers’
anonymity protected throughout because my goal was to discover what people wrote about their experience of the
research, not who wrote what. (The latter might be interesting information, and I suggest that it could be taken up in
further research.) We discussed the keeping of a learning diary, and I recommended that it be kept in Spanish for freedom of expression,
explaining that at the end of the course I would ask for an essay written in English based on their diary. (The reasons for
this were both for the learners to review their learning experience and to have practice in writing in English.) At the end
of the course with each group I requested and received unanimous permission from the participants to take copies of
their diaries and essays for data, and questionnaires were administered. I, accord with qualitative action research, I
wished to collect “…an archive of material rich enough to admit subsequential reinterpretation.” (Doty, 2003), both my
own and others’. The method of collecting written data was elected over others for several reasons. Primarily, as mentioned above, while
subjectivity is acknowledged as being an element of qualitative methodology, I judged that a manner of ‘distancing’
myself would be through collecting written data. Interviews were not conducted for this reason also – I envisioned that
the learner-participants would find it impossible to ‘separate’ the teacher from the researcher, making it difficult for
them to express themselves freely. Observation was not employed because the intent of the research was “…to discover
and interpret meaning from the respondents’ rather than the researcher’s perspective.” (Manning 1997:98), as pointed
out earlier Every step of the analysis process was subjective. This was qualitative research and involved interpretivism, wherein
“…one of the key realizations… [is] that there is no special method or set of procedures that allows researchers to 11 Journal of Education and Training Studies Vol. 2, No. 2; 2014 penetrate appearances to discover how things really are.” (Smith, 1996, p.165) My claims are based on conscientious
analysis and careful consideration, but I openly acknowledge that I am interpreting the participants’ comments, which is
a subjective process. 4.1 Data Collection and Analysis Also engaged, both in this writing and in the research, are an ‘embodied mode of discourse’ and the
disavowal of the attempt to separate ‘interior and exterior modes of knowing’ (Heshusius and Ballard, 1996, p. 14). As a
reflection of this, the style of presentation is at times intentionally personalized. 4.2 An Outline of the ‘Medium’ of the Research I described how English got to the United States (U.S.) in a brief account of the (hi)story of the country, and
overviews of the systems of government and education, principal holidays, etc. lead to discussions of cultural values
important in the U.S., such as privacy, independence, individuality, and family life. A day in the life of someone with a
9-5 job (common working hours in the U.S.) was then considered. The variance in cultural concepts of time and space
was discussed in illustrating how these concepts affect life-views and relationships between people (culture-general),
and examples of these variances were made with the comparison and contrast of U.S. and Mexican cultures
(culture-specific). Expressions of courtesy were taken up, with titles and customs of naming being discussed (culture-general), especially
the latter, because this practice is very different in American and Mexican cultures (culture-specific). The
communicative element of body language was deliberated upon, as this is essential to communication and is a culturally
developed mode of expression, and is again very different in the U.S. and Mexico. This helped spotlight the need for
conscious ‘noticing’ (awareness), along with that for acceptance and understanding of difference and making mistakes,
both one’s own and others’, in intercultural communication. 5. Learners’ Perceptions of the Significance of Culture in Language Learning In the following I present exerpts from the data and discuss my interpretations of their meaning, or implication, and
insights they offer for adult language education. Learners’ perceptions of the significance of culture in language learning
in their experience of straightforward discussions about it were enlightening, and at times even sublime. The data I have
included here stood out for me because they express both why learners considered teaching and learning about culture in
studying language to be important and how the experience affected them. Quotations from the data are italicized to differentiate them from those taken from other sources, and are included not
only as evidence but to permit further interpretation. The learning diaries and questionnaires were written in Spanish,
which I have translated, but the essays were written in English. As the data collected were anonymous I have cited
quotations from it with a letter to indicate the data type – learning diary (D), essay (E), or questionnaire (Q) – followed
by the number assigned to each piece of data. 5.1 Culture is Significant in Foreign Language Study 5.1 Culture is Significant in Foreign Language Study The breadth and depth of participants’ responses to explicitly learning about culture in the foreign language classroom
are incisive and sometimes astonishing. In addition to the responses to learning about the foreign culture, I found it 12 Journal of Education and Training Studies Vol. 2, No. 2; 2014 surprising how many made reference to how learning about another culture had helped learners to become aware of
their native culture. surprising how many made reference to how learning about another culture had helped learners to become aware of
their native culture. Beginning with commentaries about why learning about culture was necessary in learning another language, one
participant succinctly elucidated his or her opinion that: “Without culture any language is senseless.” (E104) Someone
else indicated an understanding of the relationship of culture and language: “I think that if you take an English course
and do not talk about culture you are missing the main idea of what a language is.” (E12) These learners unmistakably
voice the need for explicit teaching about culture in language education, and another remark indicates that this is a good
beginning point: I enjoy my class because I am studying more than a language (grammar, structure, verbs…), I’m studying
a culture…Unless you know basic facts and customs about the country where the language you are
learning is spoken, you cannot feel sure about your knowledge. (E16, original indices) I enjoy my class because I am studying more than a language (grammar, structure, verbs…), I’m studying
a culture…Unless you know basic facts and customs about the country where the language you are
learning is spoken, you cannot feel sure about your knowledge. (E16, original indices) Knowledge is to be built upon, and learning about culture is indicated in offering a broad foundation for horizons to be
built towards in language learning. There were also explanations of why becoming critically aware of culture is important. 5.1 Culture is Significant in Foreign Language Study An understanding of the concept
of identity was brought out in a participant’s writing that “…culture gives people their identity and shows us how they
are and why they are like they are.” (E31) A variation of this in another response plainly calls for the establishment of
reflection on culture: “It is important to know that other cultures have their own identity, customs and traditions.”
(Q166) One might expect a university student to know this, but the comment shows that a teacher must not take a
student’s prior knowledge for granted. In intercultural communication: “An intercultural speaker is aware of both their own and others’ culturally constructed
selves.” (Roberts et al. 2001:30). In the research results, comparison and contrast of the learner’s culture with other
cultures was found to be a manner of promoting self-awareness, as seen in such responses as: “Learning about other
cultures I am getting to know my own.” (Q157), and: “I think talking about the English-speaking cultures helped us
open our minds to other customs and other ways of thinking and learning them...Also, comparing them with Mexican
culture permitted us an enriching appreciation of our own culture.” (Q126) If only the target culture(s) were discussed
and comparison and contrast with the learner’s culture were not made, such appreciation of difference and self might go
unnoticed. Teaching about culture, and doing so explicitly when working with adults, is imperative because “…intercultural
competence is not a ‘natural’ or ‘automatic’ result of foreign language teaching.” (Meyer 1990:157) A participant went
to some length to explain the value of actual teaching and learning about the ‘background’ of the language being
learned: There are so many things we have never stopped to think about when we are learning a language. For
instance, body language, customs, traditions, holidays, etc. and nobody speaks about that kind of thing. All of them form the identity of the people and all of these have a background, and when you put them
together, you have an idea of their particular perception of living. When you know the reasons, rules,
etc. of how things became what they are, you understand the people, and you become more human,
because sometimes we think we live on an island, alone…How are we going to grow if we do not learn
from others? 5.1 Culture is Significant in Foreign Language Study (E35) Overt culture learning was perceived to encourage the expansion of cultural awareness and the recognition of other
realities, which are neither ‘natural’ nor ‘automatic’ intellectual processes. The participants’ question was excellent, and
could be rephrased for teachers, researchers and for language education overall: How are we going to improve if we do
not learn from learners? 5.3 Facing Fears and Gaining Confidence A report on previous research (Paige et al. 1999) notes researchers’ repeated reference to language students’ fear of
being ‘absorbed’ by the culture of the language they are studying. This was indicated in the analyses of the data I
collected, and a discovery was participants’ perception that openly discussing language and culture learning had been
advantageous in allaying these fears. An instance of this is: The most important lesson that I learned at this time was that when we learn other languages we must
not lose our identity or change it for other customs or traditions. We must appreciate our culture, our
country, our traditions, our family more and the other things that we have and make us different and
special. (E118) The most important lesson that I learned at this time was that when we learn other languages we must
not lose our identity or change it for other customs or traditions. We must appreciate our culture, our
country, our traditions, our family more and the other things that we have and make us different and
special. (E118) Discussing fears of language and culture learning had evidently been not only a comfort but to have promoted
self-appreciation. Fear of the unknown is another aspect of language learning that emerged from the data, in this case involving the
unknown of other people and cultures: “Sometimes people are scared of different cultures because they do not
understand them, limiting themselves and forgetting to become sensitive to different cultures. I think that this not only
applies to cultures, it applies to everything.” (E12) Lack of knowledge was seen to be the problem, one which upfront
learning about other cultures helped to confront. The need for empathy is also indicated here, as: “Understanding
develops most effectively when learners are ready to open up to others, discovering common fears and hopes,
similarities, and differences.” (Jackstädt and Müller-Hartmann, 2001, p. 5.2 The Novelty of ‘Going beyond’ the Language One person seems to have had difficulty relating learning about culture to language learning: While perceptions of the inclusion of culture expressed in the data were almost all positive, there were commentaries
that demonstrated discord. One person seems to have had difficulty relating learning about culture to language learning:
“It seemed to me very suitable for learning at least a minimum of general culture…However, I personally believe that
perhaps one class would have been enough for the introduction, and to initiate the grammar sooner, thus accelerating
l
i
littl ” (E2) P
ibl
th
did
t
ith thi
’ l
i
t l
th b li f th t “It seemed to me very suitable for learning at least a minimum of general culture…However, I personally believe that
perhaps one class would have been enough for the introduction, and to initiate the grammar sooner, thus accelerating
our learning a little.” (E2) Possibly the process did not concur with this person’s learning style, or was the belief that
grammar teaching was the only method was so entrenched that nothing else would be acceptable? Another participant
expressed impatience with the process: In the beginning I did not like the English class because I thought we were wasting our time with all
these things, but after the first class I loved it because before all these explications about English I
really hated it and I was studying it only because I needed it. However, now I have started to like
English because now I understand a little more about its origins and its culture…Now I know the “why”
of many things in English. (E118) In the end, ‘going beyond’ English with learning about culture apparently altered this participant’s attitude not only
towards the language but towards its learning. This is a substantial result, as the essence of teaching is to inspire
students to learn. 5.2 The Novelty of ‘Going beyond’ the Language The mention of the novelty of learning about culture in an EFL course is seen above and is frequent in the data,
although it is to be remembered that all of the participants had a minimum of two years’ experience in the EFL
classroom. In criticizing her or his former language learning experience a participant wrote: “Teachers almost never
think that it is important that when you are learning another language, in this case English, to go beyond learning
vocabulary, memorizing expressions, grammar rules, verbs, etc.” (E117) It would seem that the structuralist view of
language teaching was what this learner, along with the majority of those who participated in the research, had been
exposed to, although the communicative approach had been extremely popular in Mexico for several years. Other examples of comments about the novelty the participants felt for explicitly learning about culture are: “It is
agreeable to work with cultural aspects because they give meaning to the language. These aspects were never taken
into account in my other English courses.” (Q154), and one learner wrote of how culture is often ‘forgotten’ in 13 Vol. 2, No. 2; 2014 Journal of Education and Training Studies language classes: “The first weeks of class we talked about and examined the fact that a language is a part of a culture. This is something extremely important but it is unfortunate how many language professors forget to mention the fact.”
(E12) I do not think language professors ‘forget’ to mention culture; but once again, as it is not brought out in the
materials usually employed it is usually not considered. Another participant’s comment indicates that having
experienced such teaching was new and appealing: “I have loved this way of starting. I thought we were just going to
memorize and nothing more. Now my panorama is different and my mind is open to discover and understand other
forms of culture, and not to judge before knowing.” (D97) This learner’s prior classroom experience appears to have
been of grammar-translation because of the expectation of ‘memorizing and nothing more’, and I interpret the mention
of a change in ‘panorama’ to refer not only to the way of approaching language learning but to progress in intercultural
understanding. While perceptions of the inclusion of culture expressed in the data were almost all positive, there were commentaries
that demonstrated discord. 5.3 Facing Fears and Gaining Confidence 118-9) The comparison and contrast of the
learner’s culture with the target culture(s) advances this understanding, and as another participant wrote, it helped to
know “…that a person is not learning something inhuman but of people that use another language and have other
customs.” (D78) The relation of what is being learned to a known reality having aided in building confidence was noted
by another: “I have been able to see that knowing about other people, their customs and traditions that with all their
successes and mistakes they are not from another planet. This gives me confidence for learning the language.” (Q61)
Confidence building, I believe, is the crux of language teaching, and finding that learners considered that teaching and
learning about culture contributes to building confidence was extremely noteworthy. 5.4 Revision of Stereotypes The revision of stereotypical thinking due to culture-specific learning was perceived by participants to have been a
decisive factor in the research. This augments the theory that: “Stereotypes are best avoided by providing learners with 14 Vol. 2, No. 2; 2014 Journal of Education and Training Studies a careful balance between culture-general frameworks and culture-specific information.” (Smith et al., 1998, p. 67). As
a result of such a teaching process, a learner-participant said: “I learned new things, corrected others and broke through
some paradigms and prejudices.” (Q183) Learning means change in ways of thinking, and these results show how
teaching and learning about other cultures in the language classroom can encourage constructive changes in thinking. a careful balance between culture-general frameworks and culture-specific information.” (Smith et al., 1998, p. 67). As
a result of such a teaching process, a learner-participant said: “I learned new things, corrected others and broke through
some paradigms and prejudices.” (Q183) Learning means change in ways of thinking, and these results show how
teaching and learning about other cultures in the language classroom can encourage constructive changes in thinking. There were many references to changing paradigms and perceptions that emerged from the data. Some of the most
striking were about gains in recognition, understanding and acceptance of equality of languages, cultures and people,
such as: “Even though we have a different culture and we speak in a different form, we are all human beings.” (E4), and
“I now consider that we are all equal, we are human beings with different ideas and manners of seeing things.” (Q126)
Another participant stated that through the experience of forthright teaching about culture: “I learned more about
equality, justice and other cultural values in general.” (Q151), and someone else seemed to have been sincerely moved
by his or her experience of intellectual change, writing: “I have learned about the EQUALITY of HUMAN BEINGS, and
confirmed a philosophy of life which is congruent and has broken all the schemas you can imagine in my interior.”
(D103, original emphasis) These reports of positive changes in attitudes and beliefs and of learners’ developing self and
intercultural understanding are remarkable, and I think the learners’ recognition of their own intellectual growth is
estimable. As explained above, the course that was the ‘medium’ for the research was written with the learners in mind, one aspect
being the election of U.S. culture as the target culture. 5.4 Revision of Stereotypes This election was made because I imagined it might be relevant
for the learners, and because the history between the U.S. and Mexico has been fraught with difficulties, with Mexico
routinely coming out the loser. Anti-U.S. sentiment therefore runs high in Mexico, making learning not only about the
culture but also the language of the dominant country emotionally charged undertakings. As one participant explained: The situation is not easy because we have social resentments against the “North American” culture. These are based on prejudice, partial knowledge and historical facts, and as emotions are part of the
culture, they also structure subjectivities. However, we must somehow put aside these grievances and
work with these contradictions if we really want to learn English. (D79) Emotions affect learning, and as this learner points out, if one has negative feelings for a culture it affects the learning
of the language spoken, signaling the need for realistic culture teaching and discussion. Becoming critically conscious of one’s viewpoint and ‘knowledge’ of another culture is important for learning the
language spoken within it, as a participant remarked: I identified a lot with the talk of today, because I really had and maybe still have a bad concept of the
culture of the U.S.A. but I think we must not judge and generalize something without knowing it. I also
think that if we really want to learn the language we also have to learn to respect its culture. (D107) I identified a lot with the talk of today, because I really had and maybe still have a bad concept of the
culture of the U.S.A. but I think we must not judge and generalize something without knowing it. I also
think that if we really want to learn the language we also have to learn to respect its culture. (D107) There is evidence of internalization of intercultural concepts, and the learner’s specifying that respect for others is a
vital was reported in prior research: “Intercultural communication is communication on the basis of respect for
individuals and equality of human rights as the democratic basis for social interaction.” (Byram et al., 2002, p. 5)
Another comment related learning about culture to learning respect: “The significance of learning about the cultures
behind English helped us to value other cultures a little more, to respect them…” (Q134). 5.4 Revision of Stereotypes Coming to the realization that
other cultures have value is a critical step in learning to respect others and for intercultural understanding, and this was
not easy for some participants with reference to U.S. culture. Today we had an interesting talk about American culture. I learned that the culture of the Americans is
different but is as valid as any other culture. Maybe it is difficult for us as Mexicans to accept all those
ideas because on many occasions they have taken advantage of our people, but the teacher is right in
that if someone wants to be respected, first they have to respect and not wait to be respected before
respecting. (D108) It is difficult to become empathetic and to respect another culture if there have been problems between it and one’s own,
but as this and other participants elucidated, prejudices can be overcome. Discussions about culture were challenging,
and provided a good test for intercultural teaching and learning. Culture-specific discussions were perceived to have encouraged reflection on one’s own thinking processes, and
participant testified to having made a change in their view of nationality: “My ideas about Americans have changed a
lot as I have been permitted to know them a little better as human beings without thinking of nationalities.” (Q100
Another disclosed how learning about another culture had helped to modify her or his stereotypical thinking: I have revised my ideas about Americans a little, although I continue to think that they are racists, the
majority – before I thought they all were. I was anti-gringo and now I see that they are not all the same
and more than anything, they are human beings. (Q67) I have revised my ideas about Americans a little, although I continue to think that they are racists, the
majority – before I thought they all were. I was anti-gringo and now I see that they are not all the same
and more than anything, they are human beings. (Q67) 15 Vol. 2, No. 2; 2014 Journal of Education and Training Studies Prejudices are difficult to discard, and some are more closely held than others, but a step such as this can begin the
process. 5.4 Revision of Stereotypes Other participants demonstrated a more far-reaching beginning: “I agree…about stereotypes because they
make it easy to say and think that everyone in the United States is the same and really we cannot say this because we do
not know all of the people.” (D113) Some changes in prejudicial thinking were not limited to the target culture but were
more extensively intercultural: “My ideas about the American people have changed…since you told us about the
culture there I really stopped prejudging people I do not know anything about.” (E6) Changing outlooks was once
again reported to have begun with appreciation of difference: I can now see that it was not how I thought about the way of being and acting of the people that live in
the United States of America. I can now see that every society and culture has its peculiarities and
similarities with others, and it is clear that none is better or worse, they are only different. (D86) I can now see that it was not how I thought about the way of being and acting of the people that live in
the United States of America. I can now see that every society and culture has its peculiarities and
similarities with others, and it is clear that none is better or worse, they are only different. (D86) Indications from these commentaries are that culture-specific learning can promote awareness and revision of
stereotypical thinking, in overcoming prejudice, appreciating equality, and of understanding the need for respect for
other cultures and individuals. Also remarkable is that understanding of similarity was deemed to have been beneficial. Indications from these commentaries are that culture-specific learning can promote awareness and revision of
stereotypical thinking, in overcoming prejudice, appreciating equality, and of understanding the need for respect for
other cultures and individuals. Also remarkable is that understanding of similarity was deemed to have been beneficial. Going a step beyond revision of stereotypes, in my research of the literature I came across the idea that: “The
intercultural learner ultimately serves as a mediator between different social groups that use different languages and
language varieties.” (Corbett, 2003, p. 2). 5.5 Tolerance and Acceptance of Difference One is often so fixed in one’s own culture that other possibilities are unimaginable, and learning about other cultures
was perceived by participants to have helped them to step out of the known: “To know about a different way of life than
my own is moving because one lives tied to one’s own interests and thinks that everyone else is and thinks the same.”
(D124) Someone else wrote: We only have to learn the most important thing, that no language is better than any other, there are
simply differences that we are not accustomed to. We must give ourselves the task of getting it into our
heads that our way of seeing life is not the same for everyone and to accept differences and get to know
them. (D87) The growth of tolerance and acceptance of difference is recurrent in the data, as is the concept of ‘opening the mind’. The practice of comparing and contrasting cultures was perceived to have been important in this development: “The
comparing of cultures helped to make us tolerant and sensitive for accepting the diverse ways of thinking, speaking and
living that exist in the world.” (Q129) Put a bit differently, another participant wrote: The growth of tolerance and acceptance of difference is recurrent in the data, as is the concept of ‘opening the mind’. The practice of comparing and contrasting cultures was perceived to have been important in this development: “The
comparing of cultures helped to make us tolerant and sensitive for accepting the diverse ways of thinking, speaking and
living that exist in the world.” (Q129) Put a bit differently, another participant wrote: Knowing about a culture where English is spoken and the comparison with our culture sensitizes the
student a little to not be so closed in their way of thinking. It also helps us learn that there is a diversity
of customs and that just because they are different does not mean one is better than the other. (Q147) Knowing about a culture where English is spoken and the comparison with our culture sensitizes the
student a little to not be so closed in their way of thinking. It also helps us learn that there is a diversity
of customs and that just because they are different does not mean one is better than the other. 5.5 Tolerance and Acceptance of Difference (Q147) The repetition of the idea of no culture being ‘better’ than any other suggests that this impression had been compelling,
and correlates with the recognition of the equality of human beings reported above. Learning about a particular culture was also seen by the adult learners to promote cultural-general understanding: “The
truth is that I did not think that life was like that in the United States. I had another idea but now I think that the world
is like a coin purse that has all kinds of money in it, each saving a little of our forefathers and I am now learning the
why of everything.” (D74) Accommodation of the adult learner’s need to ‘learn the why’ of things is, or should be İ
believe, a defining factor of adult education. 5.4 Revision of Stereotypes I was therefore amazed by the remarkable similarity of this
learner-participant’s reflection: Bilingual people have the moral obligation to be the bridge between cultures, and learning as much as
we can about each other’s culture prepares us to develop better relationships and to get rid of
misconceptions and stereotypes created by the lack of realistic information about each other. (E29) The seriousness and clarity of this person’s observation is striking, and more so from the language learning aspect
because the data is from an essay, which was written in English. 5.5 Tolerance and Acceptance of Difference 6. Conclusion Research participants’ perceptions of the significance of culture in language learning were overwhelmingly positive. Learners’ expressions of high esteem are astute in their explanations of how and why they felt that learning about
culture in the foreign language classroom is essential, beginning with the fundamental understanding that culture gives
language meaning. Frank discussions of culture were seen as a way of ‘going beyond’ language and the traditional
practice of working with grammar rules and vocabulary, and were reported to have made the learning experience
memorable and enjoyable. Participants explained that the comparison and contrast with their own culture had been 16 Journal of Education and Training Studies Vol. 2, No. 2; 2014 instrumental in promoting awareness by helping them to become aware of culture, of how culture affects thinking and
behavior, of giving them insights into why others act and react as they do, of instigating an ‘enriching appreciation’ of
their own culture, and of helping to allay fears of ‘losing’ their identity or devaluating their own when learning another
language and about other cultures. instrumental in promoting awareness by helping them to become aware of culture, of how culture affects thinking and
behavior, of giving them insights into why others act and react as they do, of instigating an ‘enriching appreciation’ of
their own culture, and of helping to allay fears of ‘losing’ their identity or devaluating their own when learning another
language and about other cultures. Learner-participants indicated that with culture-general learning the interrelationship of culture, language, and identity
became clear, along with the understanding of how all of these are factors inherent in communication. This learning
also inspired confidence through the appreciation of difference and the acceptance of sameness, helped learners to
change their unrealistic perceptions of others, and brought about a sense of empathy and respect for other people and
other cultures. Reversals of prejudice and the tendency to judge others without knowing them were noted to have
engendered the appreciation of equality, both individual and cultural. Observations of straight-forward culture-specific teaching and learning reflected sentiments similar to those about
culture-general teaching and learning, but were particularly enlightening with respect to the resistance the learners
admitted having originally felt towards the target culture and how this had changed. 6. Conclusion Significant in the data is learners’
portrayal of their internalization of the understanding that culture is comprised of individual people, of their recognition
and revision of their own stereotypical thinking, even of having learned to look beyond nationality. Participants
commented that they had learned that the first steps in learning another language and about other cultures are to ‘put
aside grievances’, to overcome prejudices, to have tolerance and respect for different culture(s) and people who speak
different languages. Discussions about values and beliefs of others and the comparison and contrast with their own
were perceived to have made it possible to see people who speak other languages, and those who speak the target
language in particular, as ‘real’ people. The object of the research was not to produce new materials for language teaching, and the intent of the course which
was the ‘medium’ of the research is not original – it puts into practice many previously recognized ideas. The purpose
of the research was to build upon these ideas and add to them in the interest of furthering the progressive movement in
language education, with a special focus on the concept of learner-centered education. The research itself was
learner-centered, as the aim was to learn about learners’ impressions of the ideas and process of the course. Learner-centering is also evident in the employment of action research as the methodology, with its deliberate
involvement of the learner and the goal of reporting on the research in the continuation of the cycle of action research. In the process of this research several suggestions for further research arose. For instance, because of the established
programs at the universities where the research was undertaken it was not possible to present the course independently,
and it would be interesting to learn if learners’ perceptions would be different if this were done. Different research
methods could be used, and having at least two researchers is advised. The latter would bring different perspectives to
the analysis of the data, other data analysis processes could be devised, and the concern about subjectivity could be
lessened. Having more than one researcher would also provide the opportunity to collect different types of data, such as
from personal interviews and/or tracking learners over a period of time, both of which are highly recommended. 6. Conclusion The
focuses of the course were EFL teaching and learning and Spanish-speaking adult learners at the university level in
Mexico, and I suggest that the research could be replicated, with adequate modification, for working with learners of
different ages, levels of education, those coming to English from other languages, for those in other countries, and with
the teaching and learning of other languages. The results of the research are far-reaching in ‘going beyond’ in foreign language teaching with explicit teaching about
culture. this goal of an intercultural approach is to promote both personal and social change, as Corbett (2003:212)
explains: “It would be facile to suggest that intercultural language education alone can make people kinder, more
tolerant and open. However, if adopted more widely, it may offer a modest contribution to that process." A participant’s
comment that closely paralleled an idea of Corbett’s was reviewed above, and another participant confirmed this one,
showing that learning about other cultures fosters respect, which is necessary if conflict is to be superseded by
communication: “I think every country, every city, every town, has their own culture, their own traditions, and we have
to respect them. If we learn to respect other cultures different from ours, we would not have wars.” (E146) The
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Spin Structure Factors of Doped Monolayer Germanene in the Presence of Spin-Orbit Coupling
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Research Square (Research Square)
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cc-by
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Spin structure factors of doped
monolayer Germanene
in the presence of spin‑orbit
coupling Farshad Azizi & Hamed Rezania* In this paper, we present a Kane-Mele model in the presence of magnetic field and next nearest
neighbors hopping amplitudes for investigations of the spin susceptibilities of Germanene
layer. Green’s function approach has been implemented to find the behavior of dynamical spin
susceptibilities of Germanene layer within linear response theoryand in the presence of magnetic
field and spin-orbit coupling at finite temperature. Our results show the magnetic excitation mode
for both longitudinal and transverse components of spin tends to higher frequencies with spin-orbit
coupling strength. Moreover the frequency positions of sharp peaks in longitudinal dynamical spin
susceptibility are not affected by variation of magnetic field while the peaks in transverse dynamical
susceptibility moves to lower frequencies with magnetic field. The effects of electron doping on
frequency behaviors of spin susceptibilities have been addressed in details. Finally the temperature
dependence of static spin structure factors due to the effects of spin-orbit coupling, magnetic field and
chemical potential has been studied. A lot of theoretical and experimental studies have been performed on Graphene as a one-atom-thick layer of
graphite since it’s fabrication1. The low energy linear dispersion and chiral property of carbon structure leads
to map the nearest neighbor hopping tight binding hamiltonian which at low energy to a relativistic Dirac
Hamiltonian for massless fermions with Fermi velocity vF . Novel electronic properties have been exhibited by
Graphene layer with a zero band gap which compared to materials with a non-zero energy gap. These materials
have intriguing physical properties and numerous potential practical applications in optoelectronics and sensors2. g
g p y
p
p
p
p
pp
p
Recently, the hybrid systems consisting of Graphene and various two-dimensional materials have been studied
extensively both experimentally and theoretically3–5. Also, 2D materials could be used for a extensive applications
in nanotechnology6,7 and memory technology8. While the research interest in Graphene-based superlattices is
growing rapidly, people have started to question whether the Graphene could be replaced by its close relatives,
such as 2 dimensional hexagonal crystal of Germanene. This material shows a zero gap semiconductor with
massless fermion charge carriers since their π and π∗ bands are also linear at the Fermi level9. Germanene as
counterpart of Graphene, is predicted to have a geometry with low-buckled honeycomb structure for its most
stable structures in contrast to the Graphene monolayer9,10. www.nature.com/scientificreports www.nature.com/scientificreports Department of Physics, Razi University, Kermanshah, Iran. *email: rezania.hamed@gmail.com www.nature.com/scientificreports/ www.nature.com/scientificreports/ Kane-Mele model essentially includes two copies with different sign for up and down spins of a model introduced
earlier by Haldane22. Such microscopic model was originally proposed to describe the quantum spin Hall effect
in Graphene21. Subsequent band structure calculations showed, however, that the spin orbit gap in Graphene
is so small23,24 that the quantum spin Hall effect in Graphene like structures is beyond experimental relevance.if f
In-plane magnetic field affects the magneto conductivity of honeycomb structures so that the results show the
negative for intrinsic gapless Graphene. However the magneto-resistance of gapless Graphene presents a posi-
tive value for fields lower than the critical magnetic field and negative above the critical magnetic25. Moreover,
microwave magneto transport in doped Graphene is an open problem26.hf The many body effects such as Coulomb interaction and its dynamical screening present the novel features
for any electronic material. The collective spectrum and quasiparticle properties of electronic systems are deter-
mined form dynamical spin structure factors. These are applied to imply the optical properties of the system. Moreover a lot of studies have been done on collective modes of monolayer Graphene both theoretically27,28 and
experimentally29. However there are no the extensive theoretical studies on doped bilayer systems.hi The frequency dependence of dynamical spin susceptibility has been studied and the results causes to find
the collective magnetic excitation spectrum of many body system. It is worthwhile to explain the experimental
interpretation of imaginary part of dynamical spin susceptibilities. Slow neutrons scatter from solids via magnetic
dipole interaction in which the magnetic moment of the neutron interacts with the spin magnetic moment of
electrons in the solid30. We can readily express the inelastic cross-section of scattering of neutron beam from
a magnetic system based on correlation functions between spin density operators. In other words the differ-
ential inelastic cross section d2σ/ddω corresponds to imaginary part of spin susceptibilities. ω describes the
energy loss of neutron beam which is defined as the difference between incident and scattered neutron energies. introduces solid angle of scattered neutrons. The spin excitation modes of the magnetic system have been
found via the frequency position of peaks in d2σ/ddω . Depending on component of spin magnetic moment
of electrons that interacts with spin of neutrons, transverse and longitudinal spin susceptibility behaviors have
been investigated. www.nature.com/scientificreports/ The imaginary and real part of non-interacting change susceptibilities of Graphene within
an analytical approach have been calculated A theoretical work has been performed for calculating both31. The
results of this study shows there is no remarkable angle dependence for imaginary part of polarizability around
the van Hove singularity, i.e, ℏω/t = 2.0 where t implies nearest neighbor hopping integral. g
y
p
g
pp
g
g
It is worthwhile to add few comments regarding the comparison Germanene and Graphene like structure. As
we have mentioned, the most important difference between Germanene structure ad Graphene one arises from
the nonzero overlap function between nearest neighbor atoms in Germanene structure. Response functions of
Graphene in the presence of spin-orbit coupling have been studied recently32,33. In this references, the optical
absorption of Graphene structure in the presence of spin-orbit coupling and magnetic field has been theoretically
studied. Optical absorption rate corresponds to the charge transition rate of electrons between energy levels. However in our work, we have investigated the dynamical spin susceptibility of Germanene structure due to
spin-orbit coupling. In other words we have specially studied the transition rate of magnetic degrees freedom of
electrons. Such study is a novelty of our work so that there is no the theoretical work on the study of magnetic
excitation modes in Germanene structure due to spin-orbit coupling. These studies have been performed for
Graphene like structures and the most important difference between our results and the spin susceptibilities
of Graphene structure is the effects of overlap function in Germanene structure compared to Graphene lattice. In fact overlap function has considerable impact on the frequency position of excitation mode and also on the
intensity of scattered neutron beam from Germanene structure.h y
The purpose of this paper is to provide a Kane Mele model including intrinsic spin-orbit interaction for study-
ing frequency behavior of dynamical spin susceptibility of Germanene layer in the presence of magnetic field
perpendicular to the plane. Using the suitable hopping integral and on site parameter values, the band disper-
sion of electrons has been calculated. Full band calculation beyond Dirac approximation has been implemented
to derive both transverse and longitudinal dynamical spin susceptibilities. We have exploited Green’s function
approach to calculate the spin susceptibility, i.e. the time ordered spin operator correlation. The effects of electron
doping, magnetic field and spin-orbit coupling on the spin structure factors have been studied. www.nature.com/scientificreports/ Also we discuss
and analyze to show how spin-orbit coupling affects the frequency behavior of the longitudinal and transverse
spin susceptibilities. Also we study the frequency behavior of dynamical spin susceptibility of Germanene due
to variation of chemical potential and magnetic field. Also the effects of spin-orbit coupling constant and mag-
netic field on temperature dependence of both transverse and longitudinal static spin susceptibilities have been
investigated in details. Spin structure factors of doped
monolayer Germanene
in the presence of spin‑orbit
coupling Such small buckling as vertical distance between
two planes of atoms for Germanene comes from the mixing of sp2 and sp3 hybridization11,12. The behavior of
Germanene electronic structure shows a linear dispersion close to K and K’ points of the first Brillouin zone. However ab initio calculations indicated that spin-orbit coupling in Germanene causes to small band gap opening
at the Dirac point and thus the Germanene has massive Dirac fermions10,13. Also the band gap due to the spin
orbit coupling in Germanene is more remarkable rather than that in Graphene14. The intrinsic carrier mobility
of Germanene is higher than Graphene15. The different dopants within the Germanene layer gives arise to the
sizable band gap opening at the Dirac point an the electronic properties of this material are affected by that16,17. In a theoretical work, the structural and electronic properties of superlattices made with alternate stacking of
Germanene layer are systematically investigated by using a density functional theory with the van der Waals
correction18. It was predicted that spin orbit coupling and exchange field together open a nontrivial bulk gap
in Graphene like structures leading to the quantum spin hall effect19,20. The topological phase transitions in the
2D crystals can be understood based on intrinsic spin orbit coupling which arises due to perpendicular electric
field or interaction with a substrate. Kane and Mele21 applied a model Hamiltonian to describe topological insu-
lators. Such model consists of a hopping and an intrinsic spin-orbit term on the Graphene like structures. The | https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 Model Hamiltonian and formalismh The crystal structure of Germanene has been shown in Fig. 1. The unit cell of Germanene structure is similar
to Graphene layer and this honeycomb lattice depicted in Fig. 2. The primitive unit cell vectors of honeycomb
lattice have been shown by a1 and a2 . In the presence of longitudinal magnetic field, the Kane-Mele model21 (H)
for Germanene structure includes the tight binding model ( HTB ), the intrinsic spin-orbit coupling ( HISOC ) and
the Zeeman term ( HZeeman ) due to the coupling of spin degrees of freedom of electrons with external longitu-
dinal magnetic field B (1)
H =HTB + HISOC + HZeeman. H =HTB + HISOC + HZeeman. (1) The tight binding part of model Hamiltonian consists of three parts; nearest neighbor hopping, next nearest
neighbor (2NN) hopping and next next nearest neighbor (3NN) hopping terms. The tight binding part, the
spin orbit coupling term and the Zeeman part of the model Hamiltonian on the honeycomb lattice are given by The tight binding part of model Hamiltonian consists of three parts; nearest neighbor hopping, next nearest
neighbor (2NN) hopping and next next nearest neighbor (3NN) hopping terms. The tight binding part, the
spin orbit coupling term and the Zeeman part of the model Hamiltonian on the honeycomb lattice are given by https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ tificreports/
Figure 1. Crystal structure of Germanene. Figure 2. The structure of honeycomb structure is shown. The light dashed lines denote the Bravais lattice
unit cell. Each cell includes two nonequivalent sites, which are indicated by A and B. a1 and a2 are the primitive
vectors of unit cell. Figure 1. Crystal structure of Germanene. Figure 1. Crystal structure of Germanene. Figure 1. Crystal structure of Germanene. Figure 2. The structure of honeycomb structure is shown. The light dashed lines denote the Bravais lattice
unit cell. Each cell includes two nonequivalent sites, which are indicated by A and B. a1 and a2 are the primitive
vectors of unit cell. Figure 2. The structure of honeycomb structure is shown. The light dashed lines denote the Bravais lattice
unit cell. Each cell includes two nonequivalent sites, which are indicated by A and B. a1 and a2 are the primitive
vectors of unit cell. Figure 2. The structure of honeycomb structure is shown. The light dashed lines denote the Bravais lattice
unit cell. Model Hamiltonian and formalismh Each cell includes two nonequivalent sites, which are indicated by A and B. a1 and a2 are the primitive
vectors of unit cell. Figure 2. The structure of honeycomb structure is shown. The light dashed lines denote the Bravais lattice
unit cell. Each cell includes two nonequivalent sites, which are indicated by A and B. a1 and a2 are the primiti
vectors of unit cell. (2
HTB = −t
i,,σ
aσ†
j=i+bσ
i + h.c. −t′
i,′,σ
aσ†
j=i+′aσ
i + bσ†
i+′bσ
i
−t′′
i,′′,σ
aσ†
j=i+′′bσ
i + h.c. −
i,σ
µ
a†σ
i aσ
i + b†σ
i bσ
i
,
HISOC =i
i,′,σ
α=A,B
νa
i+′,ia†σ
i+′σ z
σσ ′aσ ′
i + νb
i+′,ib†σ
i+′σ z
σσ ′bσ ′
i
,
HZeeman = −
i,σ
σgµBB
a†σ
i aσ
i + b†σ
i bσ
i
. HISOC =i
i,′,σ
α=A,B
νa
i+′,ia†σ
i+′σ z
σσ ′aσ ′
i + νb
i+′,ib†σ
i+′σ z
σσ ′bσ ′
i
,
HZeeman = −
i,σ
σgµBB
a†σ
i aσ
i + b†σ
i bσ
i
. (2) Here aσ
i (bσ
i ) is an annihilation operator of electron with spin σ on sublattice A(B) in unit cell index i. The opera-
tors fulfill the fermionic standard anti commutation relations {aσ
i , aσ ′†
j
} = δijδσσ ′ . As usual t, t′, t′′ denote the
nearest neighbor, next nearest neighbor and next next nearest neighbor hopping integral amplitudes, respectively. The parameter introduces the spin-orbit coupling strength. Also B refers to strength of applied magnetic field. g and µB introduce the gyromagnetic and Bohr magneton constants, respectively. σ z is the third Pauli matrix,
and νa(b)
ji
= ±1 as discussed below. Based on Fig. 2, a1 and a2 are the primitive vectors of unit cell and the length
of them is assumed to be unit. The symbol = 0, 1, 2 implies the indexes of lattice vectors connecting the
unit cells including nearest neighbor lattice sites. The translational vectors 1, 2 connecting neighbor unit
cells are given by
( ) Here aσ
i (bσ
i ) is an annihilation operator of electron with spin σ on sublattice A(B) in unit cell index i. www.nature.com/scientificreports/ Also we expand
the Bloch wave function in terms of Wannier wave function as where Cσ
nα(k) is the expansion coefficients and n = c, v refers to c
the Bloch wave function in terms of Wannier wave function as (5)
σ
α(k, r) =
1
√
N
Ri
eik.Riφσ
α (r −Ri), (5) so that Ri implies the position vector of ith unit cell in the crystal and φα is the Wannier wave function of electron
in the vicinity of atom in i th unit cell on sublattice index α . By inverting the expansion Eq. (4), we can expand
the Bloch wave functions in terms of band wave function as following relation (6)
σ
α(k, r) =
n=c,v
Dσ
αn(k)ψσ
n (k, r), (6) where Dσ
αn(k) is the expansion coefficients and we explain these coefficients in the following. Th
ll B
kl
G
h
d
bl
l
f
NN
d NN h
l The small Buckling in Germanene causes to the considerable value for 2NN and 3NN hopping amplitude. Moreover we have considerable values for overlap parameters of electron wave functions between 2NN and 3NN
atoms. The band structures of electrons with spin σ of Germanene described by model Hamiltonian in Eq. (2)
are obtained by using the matrix form of Schrodinger as follows (7)
Hσ (k)Cσ (k) =Eσ
n (k)Sσ (k)Cσ (k),
Hσ (k) =
Hσ
AA(k) Hσ
AB(k)
Hσ
BA(k) Hσ
BB(k)
, Cσ (k) =
Cσ
nA(k)
Cσ
nB(k)
,
Sσ (k) =
Sσ
AA(k) Sσ
AB(k)
Sσ
BA(k) Sσ
BB(k)
. (7) Using the Bloch wave functions, i.e. α(k) , the matrix elements of H and S are given by Using the Bloch wave functions, i.e. α(k) , the matrix elements of H and S are given by
(8)
Hσ
αβ(k) = σ
α(k)|H|σ
β(k) , Sσ
αβ(k) = σ
α(k)|σ
β(k). loch wave functions, i.e. α(k) , the matrix elements of H and S are given by
(8)
Hσ
αβ(k) = σ
α(k)|H|σ
β(k) , Sσ
αβ(k) = σ
α(k)|σ
β(k). (8)
Hσ
αβ(k) = σ
α(k)|H|σ
β(k) , Sσ
αβ(k) = σ
α(k)|σ
β(k). www.nature.com/scientificreports/ dα
dα term21 of the KM Hamiltonian in Eq. (2). The expression νa(b)
ji
gives ±1 depending on the orientation of the sites. A standard definition for να
ji in each sublattice α = A, B is να
ji =
dα
j ×dα
i
|dα
j ×dα
i |
.ez = ±1 where dα
j and dα
i are the two
unit vectors along the nearest neighbor bonds connecting site i to its next-nearest neighbor j. Moreover ez implies
the unit vector perpendicular to the plane. Because of two sublattice atoms, the band wave function ψσ
n (k, r) can
be expanded in terms of Bloch functions σ
α(k, r) . The index α implies two inequivalent sublattice atoms A, B
in the unit cell, r denotes the position vector of electron, k is the wave function belonging in the first Brillouin
zone of honeycomb structure. Such band wave function can be written as j
unit vectors along the nearest neighbor bonds connecting site i to its next-nearest neighbor j. Moreover ez implies
the unit vector perpendicular to the plane. Because of two sublattice atoms, the band wave function ψσ
n (k, r) can
be expanded in terms of Bloch functions σ
α(k, r) . The index α implies two inequivalent sublattice atoms A, B
in the unit cell, r denotes the position vector of electron, k is the wave function belonging in the first Brillouin
zone of honeycomb structure. Such band wave function can be written as (4)
ψσ
n (k, r) =
α=A,B
Cσ
nα(k)σ
α(k, r), (4) where Cσ
nα(k) is the expansion coefficients and n = c, v refers to condition and valence bands. Also we expand
the Bloch wave function in terms of Wannier wave function as where Cσ
nα(k) is the expansion coefficients and n = c, v refers to condition and valence bands. Model Hamiltonian and formalismh The opera-
tors fulfill the fermionic standard anti commutation relations {aσ
i , aσ ′†
j
} = δijδσσ ′ . As usual t, t′, t′′ denote the
nearest neighbor, next nearest neighbor and next next nearest neighbor hopping integral amplitudes, respectively. The parameter introduces the spin-orbit coupling strength. Also B refers to strength of applied magnetic field. g and µB introduce the gyromagnetic and Bohr magneton constants, respectively. σ z is the third Pauli matrix,
and νa(b)
ji
= ±1 as discussed below. Based on Fig. 2, a1 and a2 are the primitive vectors of unit cell and the length
of them is assumed to be unit. The symbol = 0, 1, 2 implies the indexes of lattice vectors connecting the
unit cells including nearest neighbor lattice sites. The translational vectors 1, 2 connecting neighbor unit
cells are given by (3)
1 = i
√
3
2 + j1
2 , 2 = i
√
3
2 −j1
2. (3) https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ www.nature.com/scientificreports/ Also index ′ = 1, 2, −1, −2, j, −j implies the characters of lattice vectors connecting the unit cells includ-
ing next nearest neighbor lattice sites. Moreover index ′′ =
√
3i, j, −j denotes the characters of lattice vectors
connecting the unit cells including next next nearest neighbor lattice sites. We consider the intrinsic spin-orbit
term21 of the KM Hamiltonian in Eq. (2). The expression νa(b)
ji
gives ±1 depending on the orientation of the sites. A
d d d fi i i
f
α i
h
bl
i
A B i
α
dα
j ×dα
i
±1
h
dα
d dα
h Also index ′ = 1, 2, −1, −2, j, −j implies the characters of lattice vectors connecting the unit cells includ-
ing next nearest neighbor lattice sites. Moreover index ′′ =
√
3i, j, −j denotes the characters of lattice vectors
connecting the unit cells including next next nearest neighbor lattice sites. We consider the intrinsic spin-orbit
term21 of the KM Hamiltonian in Eq. (2). The expression νa(b)
ji
gives ±1 depending on the orientation of the sites. A standard definition for να
ji in each sublattice α = A, B is να
ji =
dα
j ×dα
i
|dα
j ×dα
i |
.ez = ±1 where dα
j and dα
i are the two
unit vectors along the nearest neighbor bonds connecting site i to its next-nearest neighbor j. Moreover ez implies
the unit vector perpendicular to the plane. Because of two sublattice atoms, the band wave function ψσ
n (k, r) can
be expanded in terms of Bloch functions σ
α(k, r) . The index α implies two inequivalent sublattice atoms A, B
in the unit cell, r denotes the position vector of electron, k is the wave function belonging in the first Brillouin
zone of honeycomb structure. Such band wave function can be written as Also index ′ = 1, 2, −1, −2, j, −j implies the characters of lattice vectors connecting the unit cells includ-
ing next nearest neighbor lattice sites. Moreover index ′′ =
√
3i, j, −j denotes the characters of lattice vectors
connecting the unit cells including next next nearest neighbor lattice sites. We consider the intrinsic spin-orbit
term21 of the KM Hamiltonian in Eq. (2). The expression νa(b)
ji
gives ±1 depending on the orientation of the sites. https://doi.org/10.1038/s41598-021-87268-x www.nature.com/scientificreports/ Moreover the matrix elements of C(k) can be found based on eigenvalue
equation in Eq. (7). Equation (7) can be rewritten as matrix equation as follows (13)
ψc(k, r)
ψv(k, r)
=
Cσ
cA(k) Cσ
cB(k)
Cσ
vA(k) Cσ
vB(k)
σ
A(k, r)
σ
B(k, r)
. (13) In a similar way, we can express the matrix from for Eq. (6) In a similar way, we can express the matrix from for Eq. (6) (14)
σ
A(k, r)
σ
B(k, r)
=
Dσ
Ac(k) Dσ
Av(k)
Dσ
Bc(k) Dσ
Bv(k)
ψσ
c (k, r)
ψσ
v (k, r)
,
Dσ
Ac(k) Dσ
Av(k)
Dσ
Bc(k) Dσ
Bv(k)
=
Cσ
cA(k) Cσ
cB(k)
Cσ
vA(k) Cσ
vB(k)
−1 (14) The final results for band structure and expansion coefficients, i.e. Cσ
nα and Dσ
αn , are lengthy and are not given
here. The valence and condition bands of electrons have been presented by Eσ
v (k) and Eσ
c (k) respectively. In the
second quantization representation, we can rewrite the Eq. (14) as The final results for band structure and expansion coefficients, i.e. Cσ
nα and Dσ
αn , are lengthy and are not given
here. The valence and condition bands of electrons have been presented by Eσ
v (k) and Eσ
c (k) respectively. In the
second quantization representation, we can rewrite the Eq. (14) as (15)
aσ†
k
bσ†
k
=
Dσ
Ac(k) Dσ
Av(k)
Dσ
Bc(k) Dσ
Bv(k)
cσ†
c,k
cσ†
v,k
, (15) Using band energy spectrum, the Hamiltonian in Eq. (2) can be rewritten by Using band energy spectrum, the Hamiltonian in Eq. (2) can be rewritten by (16)
H =
k,σ,η=c,v
Eσ
η (k)cσ†
η,kcσ
η,k, (16) where cσ
η,k defines the creation operator of electron with spin σ in band index η at wave vector k . Since longi-
tudinal magnetic field has been applied perpendicular to the Germanene layer, the electronic Green’s function
depends on the spin index σ =↑, ↓ . According to the model Hamiltonian introduced in Eq. (2), the elements of
spin resolved Matsubara Green’s function are introduced as the following forms where cσ
η,k defines the creation operator of electron with spin σ in band index η at wave vector k . Since longi-
tudinal magnetic field has been applied perpendicular to the Germanene layer, the electronic Green’s function
depends on the spin index σ =↑, ↓ . www.nature.com/scientificreports/ SAA(k) , SAB(k) , SBA(k) and SBB(k) are expressed as The matrix elements of S(k) , i.e. SAA(k) , SAB(k) , SBA(k) and SBB(k) are expressed as The matrix elements of S(k) , i.e. SAA(k) , SAB(k) , SBA(k) and SBB(k) are expressed as (12)
SAB(k) =s
1 + eik. 1 + eik. 2
+ s′′
2 cos(ky) + e−i
√
3kx
=s
1 + 2 cos(ky/2)e−i
√
3kx/2
+ s′′
2 cos(ky) + e−i
√
3kx
SAA(k) =1 + 2s′
cos
√
3kx/2 + ky/2
+ cos
√
3kx/2 + ky/2
+ cos(ky/2)
SBB(k) =SAA(k) , SBA(k) = S∗
AB(k), (12) SBB(k) =SAA(k) , SBA(k) = S∗
AB(k), so that s is the overlap between orbital wave function of electron respect to the nearest neighbor atoms, s′ denotes
the overlap between orbital wave function of electron respect to the next nearest neighbor atoms and s′′ implies
the overlap between orbital wave function of electron respect to the next next nearest neighbor atoms. The density
functional theory and ab initio calculations has been determined the hopping amplitudes and overlap values
s, s′, s′′ as18 t = −1.163, t′ = −0.055, t′′ = −0.0836, s = 0.01207, s′ = 0.0128, s′′ = 0.048 . Using the Hamiltonian
and overlap matrix forms in Eqs. (9, 12), the band structure of electrons, i.e. Eσ
η (k) has been found by solving
equation det
H(k) −E(k)S(k)
= 0 . Moreover the matrix elements of C(k) can be found based on eigenvalue
equation in Eq. (7). Equation (7) can be rewritten as matrix equation as follows so that s is the overlap between orbital wave function of electron respect to the nearest neighbor atoms, s′ denotes
the overlap between orbital wave function of electron respect to the next nearest neighbor atoms and s′′ implies
the overlap between orbital wave function of electron respect to the next next nearest neighbor atoms. The density
functional theory and ab initio calculations has been determined the hopping amplitudes and overlap values
s, s′, s′′ as18 t = −1.163, t′ = −0.055, t′′ = −0.0836, s = 0.01207, s′ = 0.0128, s′′ = 0.048 . Using the Hamiltonian
and overlap matrix forms in Eqs. (9, 12), the band structure of electrons, i.e. Eσ
η (k) has been found by solving
equation det
H(k) −E(k)S(k)
= 0 . www.nature.com/scientificreports/ (8) The matrix elements of Hσ
αβ and Sσ
αβ are expressed based on hopping amplitude and spin-orbit coupling between
two neighbor atoms on lattice sites and can be expanded in terms of hopping amplitudes t, t′, t′′ , spin orbit cou-
pling and overlap parameters. The diagonal elements of matrixes H in Eq. (7) arise from hopping amplitude
of electrons between next nearest neighbor atoms on the same sublattice and spin-orbit coupling. Also the off
diagonal matrix elements with spin channel σ , i.e. Hσ
AB, Hσ
BA , raise from hopping amplitude of electrons between
nearest neighbor atoms and next next nearest neighbor atoms on the different sublattices. These matrix elements
are obtained as (9)
Hσ
AB(k) =t
1 + eik. 1 + eik. 2
+ t′′
2 cos(ky) + e−i
√
3kx
=t
1 + 2 cos(ky/2)e−i
√
3kx/2
+ t′′
2 cos(ky) + e−i
√
3kx
,
Hσ
AA(k) =2t′
cos
√
3kx/2 + ky/2
+ cos
√
3kx/2 + ky/2
+ cos(ky/2)
−2
sin
1
2ky
−sin
√
3
2 kx + 1
2ky
−sin
√
3
2 kx −1
2ky
−µ −σgµBB,
Hσ
BB(k) = −2t′
cos
√
3kx/2 + ky/2
+ cos
√
3kx/2 + ky/2
+ cos(ky/2)
+ 2
sin
1
2ky
−sin
√
3
2 kx + 1
2ky
−sin
√
3
2 kx −1
2ky
−µ −σgµBB,
Hσ
BA(k) =H∗
AB(k). (9) Hσ
BA(k) =H∗
AB(k). Based on matrix elements Hσ
αβ(k) , the model Hamiltonian in Eq. (2) is written in terms of Fourier transforma-
tion of creation and annihilation fermionic operators as Based on matrix elements Hσ
αβ(k) , the model Hamiltonian in Eq. (2) is written in terms of Fourier transforma-
tion of creation and annihilation fermionic operators as https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ www.nature.com/scientificreports/ (10)
H =
k,σ
Hσ
AA(k)aσ†
k aσ
k + HAB(k)aσ†
k bσ
k + HBA(k)bσ†
k aσ
k + Hσ
BB(k)bσ†
k bσ
k
, (10) so that the operator aσ
k (bσ
k ) annihilates an electron at wave vector k with spin index σ on sublattice A(B) and
has the following relation as (11)
aσ
k =
1
√
N
k
eik·Riaσ
i
, bσ
k =
1
√
N
k
eik·Ribσ
i . (11) The matrix elements of S(k) , i.e. Dynamical and static spin structure factorsh y
p
The correlation function between spin components of itinerant electrons in Germanene layer at different times
can be expressed in terms of one particle Green’s functions. The frequency Fourier transformation of this cor-
relation function produces the dynamical spin susceptibility. The frequency position of peaks in dynamical spin
susceptibility are associated with collective excitation of electronic gas described by Kane-Mele model Hamilto-
nian in the presence of magnetic field. These excitations are related to the spin excitation spectrum of electrons
on Honeycomb structure. In the view point of experimental interpretation, the dynamical spin susceptibility of
the localized electrons of the system is proportional to inelastic cross-section for magnetic neutron scattering
from a magnetic system that can be expressed in terms of spin density correlation functions of the system. In
other words the differential inelastic cross section d2σ/ddω is proportional to imaginary part of spin suscep-
tibilities. ω denotes the energy loss of neutron beam which is defined as the difference between incident and
scattered neutron energies. The solid angle implies the orientation of wave vector of scattered neutrons from
the localized electrons of the sample. We can assume the wave vector of incident neutrons is along z direction. The solid angle depends on the polar angle between wave vector of scattered neutrons and the wave vector of
the incident neutrons. The frequency position of peaks in d2σ/ddω determines the spin excitation spectrum
of the magnetic system30. In order to study the general spin excitation spectrum of the localized electron of the
systems, both transverse and longitudinal dynamical spin-spin correlation functions have been calculated. Lin-
ear response theory gives us the dynamical spin response functions based on the correlation function between
components of spin operators. We introduce χ+− as transverse spin susceptibility and its relation is given by (21)
χ+−(q, ω) =i
+∞
−∞
dteiωt[S+(q, t), S−(−q, 0)]
=
lim
in−→ω+i0+
1/(kBT)
0
dτeinτT S+(q, τ)S−(−q, 0)
=χ+−(q, in −→ω + i0+), (21) in which n = 2nπkBT is the bosonic Matsubara frequency and T implies the time order operator. Also the
wave vector q in Eq. (21) implies the difference between incident and scattered neutron wave vectors. www.nature.com/scientificreports/ According to the model Hamiltonian introduced in Eq. (2), the elements of
spin resolved Matsubara Green’s function are introduced as the following forms (17)
Gσ
AA(k, τ) = −T (ak,σ (τ)a†
k,σ (0)) , Gσ
AB(k, τ) = −T (ak,σ (τ)b†
k,σ (0)),
Gσ
BA(k, τ) = −T (bk,σ (τ)a†
k,σ (0)) , Gσ
BB(k, τ) = −T (bk,σ (τ)b†
k,σ (0)). (17) T introduces the time ordering operator and arranges the creation and annihilation operators in terms of time
of them without attention to the their algebra. The Fourier transformation of each Green’s function element is
obtained by (18)
Gσ
αβ(k, iωm) =
1/kBT
0
dτeiωmτGσ
αβ(k, τ) , α, β = A, B, (18) where ωm = (2m + 1)πkBT denotes the Fermionic Matsubara frequency. After some algebraic calculation, the
following expression is obtained for Green’s functions in Fourier presentation where ωm = (2m + 1)πkBT denotes the Fermionic Matsubara frequency. After some algebraic calculation, the
following expression is obtained for Green’s functions in Fourier presentation https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ (19)
Gσ
αβ(k, iωm) =
η=c,v
Dσ∗
αη(k)Dσ
βη(k)
iωm −Eση (k) , (19) where α, β refer to the each atomic basis of honeycomb lattice and Eσ
η (k) is the band structure of Germanene
layer in the presence of magnetic field and spin-orbit coupling. For determining the chemical potential, µσ , we
use the relation between concentration of electrons ( ne ) and chemical potential. This relation is given by (20)
ne =
1
4N
k,η,σ
1
eEση (k)/kBT + 1
. (20) In fact the diagonal matrix elements of the Hamiltonian in Eq. (9) depends on chemical potential µ . Thus eigen-
values, i.e. Eσ
η (k) includes the factor µ . Therefore the right hand of Eq. (20) depends on chemical potential µ . With an initial guess for chemical potential µ , we can solve the algebraic eq. (20) so that we can find the chemi-
cal potential value for each amount for electronic concentration ne . These statements have been added to the
manuscript after Eq. (20). Based on the values of electronic concentration ne , the chemical potential, µ , can be
obtained by means Eq. (20). www.nature.com/scientificreports/ In order to obtain the magnetic excitation spectrum of Germanene structure both
transverse and longitudinal dynamical spin susceptibilities have been presented using Green’s function method
in the following section. Dynamical and static spin structure factorsh The Fourier
transformations of transverse components of spin density operators, ( S+(−) ), in terms of fermionic operators
is given by (22)
S+(q) =
k
a†↑
k+qa↓
k + b†↑
k+qb↓
k
, S−(q) =
k
a†↓
k+qa↑
k + b†↓
k+qb↑
k
. (22)
S+(q) =
k
a†↑
k+qa↓
k + b†↑
k+qb↓
k
, S−(q) =
k
a†↓
k+qa↑
k + b†↓
k+qb↑
k
. (22) Substituting the operator form of S+ and S− into definition of transverse spin susceptibility in Eq. (21), we arrive
the following expression for transverse dynamical spin susceptibility ( χ+−(q, in)) (23)
χ+−(q, in) =
1/(kBT)
0
dτeinτ 1
N2
k,k′
T
a†↑
k+q(τ)a↓
k(τ) + b†↑
k+q(τ)b↓
k(τ)
×
a†↓
k+q(0)a↑
k(0) + b†↓
k+q(0)b↑
k(0)
, (23) that N is the number of unit cells in Germanene structure. In order to calculate the correlation function in
Eq. (23), one particle spin dependent Green’s function matrix elements presented in Eq. (19) should be exploited. After applying Wick’s theorem and taking Fourier transformation, we can transverse susceptibility in terms of
one particle spin dependent Green’s function https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ (24)
χ+−(q, in) = −kBT
N
k
α,β
m
G↑
βα(k, iωm)G↓
αβ(k + q, in + iωm). (24) The applied magnetic field to the Germanene layer causes to the spin dependent property for one particle Green’s
function. In order to perform summation over Matsubara frequency ωm in Eq. (24), the Matsubara Green’s func-
tion elements should be written in terms of imaginary part of retarded Green’s function matrix elements using
Lehman equation34 as (25)
Gσ
αβ(k, iωm) =
+∞
−∞
dǫ
2π
−2ImGσ
αβ(k, iωm −→ǫ + i0+)
iωm −ǫ
, (25) where Gσ
αβ(k, iωm −→ǫ + i0+) denotes the retarded Green’s function matrix element. By replacing Lehman
representation for Matsubara Green’s function matrix elements into Eq. (24) and taking summation over fermi-
onic Matsubara frequency ωm , we obtain dynamical transverse spin susceptibility of electrons on Germanene
structure as following form where Gσ
αβ(k, iωm −→ǫ + i0+) denotes the retarded Green’s function matrix element. By replacing Lehman
representation for Matsubara Green’s function matrix elements into Eq. Dynamical and static spin structure factorsh (24) and taking summation over fermi-
onic Matsubara frequency ωm , we obtain dynamical transverse spin susceptibility of electrons on Germanene
structure as following form (26)
χ+−(q, in) = −1
N
k
α,β
+∞
−∞
+∞
−∞
dǫdǫ′
π2
ImG↑
βα(k, ǫ + i0+)ImG↓
αβ(k + q, ǫ′ + i0+)
× nF(ǫ) −nF(ǫ′)
in + ǫ −ǫ′ , (26) where nF(x) =
1
ex/kBT+1 implies well known Fermi-Dirac distortion function. The Fourier transformation of
longitudinal component of the spin, i.e. Sz(q) , is given in terms of fermionic operators as where nF(x) =
1
ex/kBT+1 implies well known Fermi-Dirac distortion function. The Fourier transformation of
longitudinal component of the spin, i.e. Sz(q) , is given in terms of fermionic operators as (27)
Sz(q) =
k,σ
σ
a†σ
k+qaσ
k + b†σ
k+qbσ
k (27) Also χzz is introduced as longitudinal spin susceptibility and its relation can be expressed in terms of correlation
unction between z component of spin operators as Also χzz is introduced as longitudinal spin susceptibility and its relation can be expressed in terms of correla
function between z component of spin operators as (28)
χzz(q, ω) =i
+∞
−∞
dteiωt[Sz(q, t), Sz(−q, 0)]
=
lim
in−→ω+i0+
1/(kBT)
0
dτeinτT Sz(q, τ)Sz(−q, 0)
=χzz(q, in −→ω + i0+). (28) After some algebraic calculations similar to transverse spin susceptibility case, we arrive te final results for Mat-
subara representation of longitudinal dynamical spin susceptibility as (29)
χzz(q, in) = −1
N
k
α,β,σ
+∞
−∞
+∞
−∞
dǫdǫ′
π2
ImGσ
βα(k, ǫ + i0+)ImGσ
αβ(k + q, ǫ′ + i0+)
× nF(ǫ) −nF(ǫ′)
in + ǫ −ǫ′ , (29) The dynamical spin structure factor for both longitudinal and transverse spin directions are obtained based on
etarded presentation of susceptibilities as cal spin structure factor for both longitudinal and transverse spin directions are obtained based on
sentation of susceptibilities as (30)
χzz(q, ω) = χzz(q, in −→ω + i0+) , χ+−(q, ω) = χ+−(q, in −→ω + i0+). (30) so that χzz and χ+− are retarded dynamical spin structure factors for longitudinal and transverse components of
spins, respectively. The imaginary part of retarded dynamical spin structure factor, i.e. Imχ+−(q, ω), Imχzz(q, ω) ,
is proportional to the contribution of localized spins in the neutron differential cross-section. For each q the
dynamical structure factor has peaks at certain energies which represent collective excitations spectrum of the
system. www.nature.com/scientificreports/ www.nature.com/scientificreports/ 0
0.5
1
1.5
2
2.5
3
0
0.05
0.1
0.15
0.2
0.08
0.12
0.16
0.2
ω/t
λ/t
χ ( ,ω)
q
0
zz
Im
Figure 3. The imaginary part of dynamical longitudinal spin susceptibility Imχzz(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized spin-orbit coupling /t at
fixed temperature kBT/t = 0.05 . The magnetic field is considered to be zero. 0
0.5
1
1.5
2
2.5
3
0
0.05
0.1
0.15
0.2
0.08
0.12
0.16
0.2
ω/t
λ/t
χ ( ,ω)
q
0
zz
Im Figure 3. The imaginary part of dynamical longitudinal spin susceptibility Imχzz(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized spin-orbit coupling /t at
fixed temperature kBT/t = 0.05 . The magnetic field is considered to be zero. The frequencies of collective magnetic excitation modes are determined via finding the position of peaks in
imaginary part of of imaginary part of dynamical spin susceptibilities. The frequencies of collective magnetic excitation modes are determined via finding the position of peaks in
imaginary part of of imaginary part of dynamical spin susceptibilities. Static transverse spin structure factor ( s+−(q) ) which is a measure of magnetic long range ordering for spin
components along the plane, i.e. transverse direction, can be related to imaginary part of retarded dynamical
spin susceptibility using following relation (32)
s+−(q) =
S+(q)S−(−q)
=kBT
n
1
2π
∞
−∞
dω −2Imχ+−(q, iωn −→ω + i0+)
iωn −ω
=
+∞
−∞
dω nB(ω)
π
Imχ+−(q, iωn −→ω + i0+). (32) Moreover can find the static longitudinal spin structure factor, i.e. s+−(q) , by using Imχzz(q, ω) as (33)
szz(q) =
Sz(q)Sz(−q)
= kBT
n
1
2π
∞
−∞
dω −2Imχzz(q, iωn −→ω + i0+)
iωn −ω
=
+∞
−∞
dω nB(ω)
π
Imχzz(q, iωn −→ω + i0+). (33) In the next section, the numerical results of dynamical spin structure and static spin structures of Germanene
layer have been presented for various magnetic field and spin-orbit coupling strength. In the next section, the numerical results of dynamical spin structure and static spin structures of Germanene
layer have been presented for various magnetic field and spin-orbit coupling strength. Dynamical and static spin structure factorsh The imaginary parts of both retarded transverse and longitudinal spin structure factors are given by so that χzz and χ+− are retarded dynamical spin structure factors for longitudinal and transverse components of
spins, respectively. The imaginary part of retarded dynamical spin structure factor, i.e. Imχ+−(q, ω), Imχzz(q, ω) ,
is proportional to the contribution of localized spins in the neutron differential cross-section. For each q the
dynamical structure factor has peaks at certain energies which represent collective excitations spectrum of the
system. The imaginary parts of both retarded transverse and longitudinal spin structure factors are given by (31)
Imχ+−(q, ω) = 1
N
k
α,β
+∞
−∞
dǫ
π ImG↑
βα(k, ǫ + i0+)ImG↓
αβ(k + q, ǫ + ω + i0+)
×
nF(ǫ) −nF(ǫ + ω)
,
Imχzz(q, ω) = 1
N
k
α,β,σ
+∞
−∞
dǫ
π ImGσ
βα(k, ǫ + i0+)ImGσ
αβ(k + q, ǫ + ω + i0+)
×
nF(ǫ) −nF(ǫ + ω)
. (31) https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ Numerical results and discussions Note that this figure shows the inelastic cross
section neutron particles from itinerant electrons of the system due to longitudinal component along z direction Scientific Reports | (2021) 11:7651 | https://doi.org/10.1038/s41598-021-87268-x www.nature.com/scientificreports/ www.nature.com/scientificreports/ 0
0.5
1
1.5
2
2.5
3
0
0.5
1
1.5
2
0.6
0.7
0.8
0.9
ω/t
B/t
µB
g
Imχ ( ,ω)
q0
zz
Figure 4. The imaginary part of dynamical longitudinal spin susceptibility Imχzz(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized magnetic field gµBB/t at
fixed spin-orbit coupling /t = 0.6 . The normalized temperature is considered to be kBT/t = 0.05. Figure 4. The imaginary part of dynamical longitudinal spin susceptibility Imχzz(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized magnetic field gµBB/t at
fixed spin-orbit coupling /t = 0.6 . The normalized temperature is considered to be kBT/t = 0.05. 0
0.5
1
1.5
2
2.5
3
0
0.1
0.2
0.3
0.4
0.5
0.2
0.3
0.4
0.5
µ/
t
ω/
t
Imχ ( ,ω)
0
q
zz
Figure 5. The imaginary part of dynamical longitudinal spin susceptibility Imχzz(q0, ω) of doped Germanene
layer versus normalized frequency ω/t for different values of normalized chemical potential µ/t at fixed spin-
orbit coupling /t = 0.3 . The magnetic field is assumed to be zero. The normalized temperature is considered to
be kBT/t = 0.05. Figure 5. The imaginary part of dynamical longitudinal spin susceptibility Imχzz(q0, ω) of doped Germanene
layer versus normalized frequency ω/t for different values of normalized chemical potential µ/t at fixed spin-
orbit coupling /t = 0.3 . The magnetic field is assumed to be zero. The normalized temperature is considered to
be kBT/t = 0.05. of magnetic moment of electrons and neutron beam. Another novel feature in Fig. 3 is the increase of intensity of
sharp peak with . For frequencies above normalized value 1.5, there is no collective magnetic excitation mode
for longitudinal components of electron spins as shown in Fig. 3.h g
g
The frequency dependence of imaginary part of longitudinal dynamical spin structure factor of undoped
Germanene layer in the presence of spin polarization for different magnetic field values gµBB/t has been shown
in Fig. 4 at fixed /t = 0.6 by setting kBT/t = 0.05 . A novel feature has been pronounced in this figure. Numerical results and discussions We turn to a presentation of our main numerical results of imaginary part of dynamical structure factors of
Germanene layer at finite temperature in the presence of magnetic field and spin-orbit coupling. Also the tem-
perature dependence of static structure factors has been addressed in this section. Using the electronic band
structure, the matrix elements of Fourier transformations of spin dependent Green’s function are calculated
according to Eq. (19). The imaginary part of both transverse and longitudinal dynamical spin susceptibilities is
made by substituting the Green’s function matrix elements into Eq. (31). In the following, the frequency behavior
of imaginary part of dynamical spin susceptibilities is studied at fixed wave number q = (0, 4π
3 ) in the Brillouin
zone where the length of unit cell vector of honeycomb lattice is taken to be unit. Furthermore the static structure
factors have been obtained by using Eqs. (32, 33).h y
g
q
The frequency behaviors of both the transverse and longitudinal dynamical spin susceptibilities have been
addressed in this present study. Also the spin structure factors behaviors have been investigated for Germanene
structure.h The optimized atomic structure of the Germanene with primitive unit cell vector length a = 1 is shown in
Fig. 1. The primitive unit cell include two Ge atoms. h
In Fig. 3, we depict the frequency dependence of imaginary part of longitudinal dynamical spin sus-
ceptibility, Imχzz(q0, ω) , of undoped Germanene layer for different values of spin-orbit coupling, namely
/t = 0.08, 0.12, 0.16, 0.2 , in the absence of magnetic field by setting kBT/t = 0.05 . In fact the effects of spin-
orbit coupling strength on frequency dependence of Imχzz(q, ω) have been studied in this figure. As shown in
Fig. 3, the frequency positions of sharp peaks in Imχzz(q0, ω) , that imply spin excitation mode for longitudinal
components of spins, moves to higher frequencies with increase of spin-orbit coupling. This fact can be under-
stood from this point that the increase of spin-orbit coupling leads to enhance band gap in density of states and
consequently the excitation mode appears in higher frequency. Numerical results and discussions It is clearly
observed that all curves for different magnetic field indicates two clear magnetic excitation collective modes
at frequencies ω/t ≈0.45 and ω/t ≈2.1 . The frequency positions of magnetic excitation mode is independent
of magnetic field. The intensity of sharp peaks in ω/t ≈2.1 in imaginary part of longitudinal susceptibility, i.e. Imχzz(q0, ω) , decreases with magnetic field. However the height of sharp peaks in frequency position ω/t ≈0.45
enhances with increase of spin-orbit coupling as shown in Fig. 4. In Fig. 5, the imaginary part of longitudinal dynamical spin structure factor of Germanene layer has been
plotted for different values of chemical potential, namely µ/t = 0.2, 0.3, 0.4, 0.5 , at fixed spin-orbit coupling
/t = 0.3 by setting kBT/t = 0.05 in the absence of magnetic field. This figure implies the frequency position
and intensity of collective excitation mode in ω/t ≈1.5 has no dependence on chemical potential. Although
the intensity of sharp peak in Imχzz(q0, ω) at frequency position ω/t ≈0.4 increases with chemical potential. There is no considerable change for frequency position in Imχzz(q0, ω) at ω/t ≈0.4 with chemical potential
according to Fig. 5. Also the intensity of low energy magnetic excitation mode reduces with decreasing chemical
potential value µ.h The behavior of longitudinal static spin structure factor szz(q0) of undoped Germanene layer in terms of
normalized temperature kBT/t for different values of /t has been presented in Fig. 6. The applied magnetic
field is assumed to be zero. This function is a measure for the tendency to magnetic long range ordering for the Scientific Reports | (2021) 11:7651 | https://doi.org/10.1038/s41598-021-87268-x www.nature.com/scientificreports/ www.nature.com/scientificreports/ 0
1
2
3
4
5
0
1
2
3
4
5
0.2
0.3
0.4
0.5
0.6
s (q , T)
zz
0
λ/t
k T/t
B
Figure 6. The longitudinal static spin structure factor szz(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of spin-orbit coupling strength /t in the absence of
magnetic field. 0
1
2
3
4
5
0
1
2
3
4
5
0.2
0.3
0.4
0.5
0.6
s (q , T)
zz
0
λ/t
k T/t
B Figure 6. The longitudinal static spin structure factor szz(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of spin-orbit coupling strength /t in the absence of
magnetic field. Numerical results and discussions 0
1
2
3
4
5
0
0.5
1
1.5
2
1.0
1.2
1.4
1.6
1.8
2.0
s ( ,T)
q0
µ/t
k T/t
B
zz
Figure 7. The longitudinal static spin structure factor szz(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of chemical potential µ/t in the absence of magnetic field. Spin-orbit coupling strength has been fixed at /t = 0.4. Figure 7. The longitudinal static spin structure factor szz(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of chemical potential µ/t in the absence of magnetic field
Spin-orbit coupling strength has been fixed at /t = 0.4. longitudinal components of spins in the itinerant electrons. This figure implies static spin structure for spin com-
ponents perpendicular to the Germanene plane includes a peak for each value of /t . The temperature position
of peak in longitudinal spin static structure factor is the same for all spin-orbit coupling strengths. Although
the height of peak increases with /t which justifies the long range ordering for z components of spins improves
with spin-orbit coupling. Another novel feature is the non zero value for static structure factor szz(q0) at zero
temperature. However the increase of temperature up to peak position leads to raise magnetic long range order-
ing. Upon more increasing temperature above normalized value 0.25, the thermal fluctuations causes to reduce
szz(q0) so that magnetic long range ordering of the electrons decays as shown in Fig. 6.h longitudinal components of spins in the itinerant electrons. This figure implies static spin structure for spin com-
ponents perpendicular to the Germanene plane includes a peak for each value of /t . The temperature position
of peak in longitudinal spin static structure factor is the same for all spin-orbit coupling strengths. Although
the height of peak increases with /t which justifies the long range ordering for z components of spins improves
with spin-orbit coupling. Another novel feature is the non zero value for static structure factor szz(q0) at zero
temperature. However the increase of temperature up to peak position leads to raise magnetic long range order-
ing. Upon more increasing temperature above normalized value 0.25, the thermal fluctuations causes to reduce
szz(q0) so that magnetic long range ordering of the electrons decays as shown in Fig. Numerical results and discussions The imaginary part of dynamical transverse spin susceptibility Imχ+−(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized spin-orbit coupling /t at
fixed temperature kBT/t = 0.05 . The magnetic field is considered to be zero. 0
1
2
3
4
5
0
1
2
3
4
0.3
0.4
0.5
0.6
λ/t
Imχ ( ,ω)
q0
+-
ω/t Figure 9. The imaginary part of dynamical transverse spin susceptibility Imχ+−(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized spin-orbit coupl
fixed temperature kBT/t = 0.05 . The magnetic field is considered to be zero. normalized value 0.5, szz(q0) is independent of magnetic field and all curves fall on each other on the whole
range of temperature in this temperature region. Also temperature position of peak in longitudinal static spin
structure factor moves to lower temperature with increasing magnetic field according to Fig. 8. Moreover the
height of peak enhances with magnetic field. It can be understood from the fact that applying magnetic field
along z direction perpendicular to the plane causes long range ordering of z components of spins of electrons
which increases the longitudinal static structure factor at low temperatures below 0.5. g
p
We have also studied the dynamical and static transverse spin structure factors of Germanene layer in the
presence of magnetic field and spin-orbit coupling. Our main results for imaginary part of dynamical transverse
spin susceptibility of undoped Germanene layer for different spin-orbit coupling strengths at fixed temperature
kBT/t = 0.05 in the absence of magnetic field are summarized in Fig. 9. The collective magnetic excitation modes
for spin components parallel to the plane tends to higher values with /t according to Fig. 9. This feature arises
from the increase of band gap with spin-orbit coupling so that collective mode appears at higher frequencies as
shown in Fig. 9. Also the height of peak in Imχ+−(q0, ω) , which is proportional to intensity of scattered neutron
beam from itinerant electrons of Germanene structure, reduces with decreasing spin-orbit coupling strength. g p
p
g
g
In Fig. 10 we plot the numerical results of Imχ+−(q, ω) of undoped Germanene layer as a function of nor-
malized frequency ω/t for various magnetic field, namely gµBB/t = 0.0, 0.2, 0.4, 0.6 by setting kBT/t = 0.05 . Numerical results and discussions 6.h g
g
g
g
y
g
The temperature dependence of static longitudinal spin structure factor of doped Germanene layer for various
chemical potential has been studied in Fig. 7 for gµBB/t = 0.0 by setting /t = 0.4 . In contrast to the undoped
case in Fig. 6, it is clearly observed the longitudinal spin structure factor for each value finite chemical potential
gets zero value at zero temperature according to Fig. 7. In fact the quantum fluctuations at zero temperature for
doped case leads to destroy any magnetic long range ordering. Moreover the peak in temperature dependence
of szz(q0) tends to higher temperature upon increasing electron doping. Also the height of peak ,as a measure of
magnetic long range ordering for longitudinal components of spins, reduces with chemical potential according to
Fig. 7. Upon increasing temperature above normalized value 1.5, szz(q0) increases with µ/t and consequently the
increase of electron doping improves the long range ordering in temperature region above normalized value 1.5. Th
ff
f l
i
di
l
i fi ld
h b h
i
f
(
)i
f
li
d
k T/ The effect of longitudinal magnetic field on the behavior of szz(q0) in terms of normalized temperature kBT/t
in undoped case for different values of magnetic field, namely gµBB/t = 0.3, 0.4, 0.5, 0.6, 0.7 has been plotted
in Fig. 8. The static structure is considerably affected by magnetic field at low temperatures below normalized
amount 0.5 where the quantum effects are more remarkable. In addition, at fixed values of temperatures above https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ www.nature.com/scientificreports/ www.nature.com/scientificreports/ 0
1
2
3
4
5
0
2
4
6
8
0.3
0.4
0.5
0.6
0.7
s ( ,T)
q0
zz
k T/t
BB/t
µ
B
g
Figure 8. The longitudinal static spin structure factor szz(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of magnetic field gµBB/t at fixed spin-orbit coupling
strength /t = 0.4. Figure 8. The longitudinal static spin structure factor szz(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of magnetic field gµBB/t at fixed spin-orbit coupling
strength /t = 0.4. 0
1
2
3
4
5
0
1
2
3
4
0.3
0.4
0.5
0.6
λ/t
Imχ ( ,ω)
q0
+-
ω/t
Figure 9. Numerical results and discussions It is clearly observed that the frequency position of collective magnetic excitation mode moves to lower values
with magnetic field. It can be understood from the fact that the applying magnetic field gives rise to reduce
the band gap and consequently the excitation mode takes place at lower frequencies. Moreover the intensity of
collective excitation mode for transverse components of spins is clearly independent of magnetic field strength
according to Fig. 10.f g
g
Figure 11 presents the effect of electron doping on the frequency dependence of Imχ+−(q0, ω) of Germanene
layer by setting /t = 0.3 at fixed value of temperature in the absence of magnetic field. There are two collective
magnetic excitation mode for each value chemical potential. The frequency positions of excitation mode are the Scientific Reports | (2021) 11:7651 | https://doi.org/10.1038/s41598-021-87268-x www.nature.com/scientificreports/ www.nature.com/scientificreports/ 0
1
2
3
4
5
0
1
2
3
4
0.0
0.2
0.4
0.6
Im χ ( ,ω)
+-
B/t
µ
g
B
ω/t
q0
Figure 10. The imaginary part of dynamical transverse spin susceptibility Imχ+−(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized magnetic field gµBB/t at
fixed spin-orbit coupling /t = 0.6 . The normalized temperature is considered to be kBT/t = 0.05. Figure 10. The imaginary part of dynamical transverse spin susceptibility Imχ+−(q0, ω) of undoped
Germanene layer versus normalized frequency ω/t for different values of normalized magnetic field gµBB/t at
fixed spin-orbit coupling /t = 0.6 . The normalized temperature is considered to be kBT/t = 0.05. 0
1
2
3
4
5
0
1
2
3
4
5
0.7
0.75
0.8
0.85
0.9
µ/t
Imχ ( ,ω)
+-q
0
ω/t
Figure 11. The imaginary part of dynamical transverse spin susceptibility Imχ+−(q0, ω) of doped Germanene
layer versus normalized frequency ω/t for different values of normalized chemical potential µ/t at fixed spin-
orbit coupling /t = 0.3 . The magnetic field is assumed to be zero. The normalized temperature is considered to
be kBT/t = 0.05. Figure 11. The imaginary part of dynamical transverse spin susceptibility Imχ+−(q0, ω) of doped Germanene
layer versus normalized frequency ω/t for different values of normalized chemical potential µ/t at fixed spin-
orbit coupling /t = 0.3 . The magnetic field is assumed to be zero. The normalized temperature is considered to
be kBT/t = 0.05. same for all values of chemical potential. Numerical results and discussions Moreover the temperature Scientific Reports | (2021) 11:7651 | https://doi.org/10.1038/s41598-021-87268-x www.nature.com/scientificreports/ www.nature.com/scientificreports/ 0
1
2
3
4
5
0
1
2
3
4
0.1
0.3
0.5
0.7
0.9
s (q )
+-
λ/t
T/t
kB
Figure 12. The transverse static spin structure factor s+−(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of spin-orbit coupling strength /t in the absence of
magnetic field. 0
1
2
3
4
5
0
1
2
3
4
0.1
0.3
0.5
0.7
0.9
s (q )
+-
λ/t
T/t
kB Figure 12. The transverse static spin structure factor s+−(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of spin-orbit coupling strength /t in the absence of
magnetic field. 0
1
2
3
4
5
0
0.2
0.4
0.6
0.8
0.1
0.2
0.3
0.4
s (q )
+-
0
µ/
T/t
B
k
t
Figure 13. The transverse static spin structure factor s+−(q0, T) of doped Germanene layer versus normalized
temperature kBT/t for different values of chemical potentialµ/t in the absence of magnetic field with spin-orbit
coupling /t = 0.3. Figure 13. The transverse static spin structure factor s+−(q0, T) of doped Germanene layer versus normalized
temperature kBT/t for different values of chemical potentialµ/t in the absence of magnetic field with spin-orbit
coupling /t = 0.3. position of peak in s+−(q0) appears in kBT/t = 0.5 for all amounts of chemical potential. Also the height of
peak ,as a measure of magnetic long range ordering for transverse components of spins, reduces with chemical
potential according to Fig. 13. In other words the increase of electron doping leads to decrease magnetic long
range ordering for transverse components of spins.hfi The effect of longitudinal magnetic field on the behavior of s+−(q0) in terms of normalized temperature
kBT/t in undoped case for different values of magnetic field, namely gµBB/t = 0.4, 0.45, 0.5, 0.55, 0.6 has been
plotted in Fig. 14. The static transverse spin structure factor is considerably affected by magnetic field at low
temperatures below normalized amount 0.25 where the quantum effects are more remarkable. In addition, at fixed
values of temperatures above normalized value 0.25, s+−(q0) is independent of magnetic field and all curves fall
on each other on the whole range of temperature in this temperature region. Also temperature position of peak
in longitudinal static spin structure factor moves to lower temperature with increasing magnetic field. Numerical results and discussions The intensity of low frequency peak increases with chemical potential
however the intensity of high frequency peak reduces with electron doping as shown in Fig. 11. The increase of
electron doping leads to decrease transition rate of electron from valence band to conduction one and conse-
quently the intensity of excitation mode decreases.h same for all values of chemical potential. The intensity of low frequency peak increases with chemical potential
however the intensity of high frequency peak reduces with electron doping as shown in Fig. 11. The increase of
electron doping leads to decrease transition rate of electron from valence band to conduction one and conse-
quently the intensity of excitation mode decreases.h The behavior of transverse static spin structure factor s+−(q0) of undoped Germanene layer as a function
of normalized temperature kBT/t for different values of /t in the absence of magnetic field has been presented
in Fig. 12. This function is a measure for the tendency to magnetic long range ordering for the transverse com-
ponents of spins in the itinerant electrons. A peak in s+−(q0) is clearly observed for each value of /t . The peak
is located at 0.25 for all values of spin-orbit coupling strengths. Although the height of peak increases with /t
which justifies the long range ordering for transverse components of spins improves with spin-orbit coupling. Another novel feature is the non zero value for static structure factor s+−(q0) at zero temperature. In tempera-
ture region below peak position, the increase of temperature leads to raise magnetic long range ordering. Upon
more increasing temperature above normalized value 0.25, the thermal fluctuations causes to reduce szz(q0) and
magnetic long range ordering of the electrons as shown in fig.(12).h i
The temperature dependence of static transverse spin structure factor of doped Germanene layer for various
chemical potential in the absence of magnetic field has been studied in Fig. 13 by setting /t = 0.3 . In contrast
to the undoped case in Fig. 12, it is clearly observed the transverse spin structure factor for each value finite
chemical potential gets zero value at zero temperature according to Fig. 13. In fact the quantum fluctuations at
zero temperature for doped case leads to destroy any magnetic long range ordering. Received: 1 January 2021; Accepted: 26 March 2021 Received: 1 January 2021; Accepted: 26 March 2021 References 1. Novoselov, K. S. et al. Electric field effect in atomically thin carbon films. Science 306, 666 (2004). h
l f
f ifi
2. Wang, X.-L., Dou, X. S. & Zhang, C. Zero gap materials for future spintronics. NPG Asia Mater. 2, 31 (2010). 3 X
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10. Liu, C. C., Feng, W. & Yao, Y. Quantum spin hall effect in Silicene and two-dimensional Germanium. Phys. Rev. Lett. 107, 076802
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the height of peak enhances with magnetic field. It can be understood from the fact that applying magnetic field
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plane of electrons which increases the longitudinal static structure factor at low temperatures below 0.25. https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | www.nature.com/scientificreports/ www.nature.com/scientificreports/ 0
0.5
1
1.5
2
2.5
3
0
1
2
3
4
5
0.4
0.45
0.5
0.55
0.6
s (q )
+-
T/t
kB
gµBB/t
Figure 14. The transverse static spin structure factor s+−(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of magnetic field gµBB/t . Spin-orbit coupling strength has
been fixed at /t = 0.4. 0
0.5
1
1.5
2
2.5
3
0
1
2
3
4
5
0.4
0.45
0.5
0.55
0.6
s (q )
+-
T/t
kB
gµBB/t Figure 14. The transverse static spin structure factor s+−(q0, T) of undoped Germanene layer versus
normalized temperature kBT/t for different values of magnetic field gµBB/t . Spin-orbit coupling strength has
been fixed at /t = 0.4. References Intrinsic carrier mobility of Germanene is larger than Graphene’s: first principle calculations. RSC Adv. 4, 21216
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BC3: A search for highly sensitive molecular sensor. Surf. Sci. 665, 96 (2017).i g
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17. Sun, M. Magnetism in transition-metal-doped Germanene: a first principles study. Comput. Mater. Sci. 118, 112 (2016). i
18. Li, X., Wu, S., Zhou, S. & Zhu, Z. Structural and electronic properties of Germanene/MoS2 monolayer and silicene/MoS2 monolayer
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20. Tse, W.-K. et al. Quantum anomalous hall effect in single-layer and bilayer Graphene. Phys. Rev. B 83, 155447 (2011).f f
21. Kane, C. L. & Mele, E. J. Z2 Topological order and the quantum spin hall effect. Phys. Rev. Lett 95, 146802 (2005).f f
21. Kane, C. L. & Mele, E. J. Z2 Topological order and the quantu f
Mele, E. J. Z2 Topological order and the quantum spin hall effect. P f
2. Haldane, F. D. M. Model for a quantum hall effect without landau levels: condensed matter realization of the parity anomaly. Phys
Rev. Lett 61, 2015–2018 (1988). 23. Min, H. et al. Intrinsic and rashba spin-orbit interactions in G
h
b 23. Min, H. et al. Intrinsic and rashba spin-orbit interactions in Graphene sheets. Phys. Rev. B 74, 165310 (2006). 4. Yao, Y., Ye, F., Qi, X.-L., Zhang, S.-C. & Fang, Z. Spin orbit gap of Graphene: First principles calculations. Phys. Rev. B 75, 041401
(2007).if 5. Hwang, E. H. & Das Sarma, S. Graphene magnetoresistance in a parallel magnetic field spin polarization effect. Phys. Rev. B 80
075417 (2009). 26. Mani, R. G. et al. Zero-resistance states induced by electromagnetic-wave excitation in GaAs/AlGaAs. Nature (London) 420, 646
(2002). 27. Hwang, E. H. & Das Sarma, S. Dielectric function, screening, and plasmons in two-dimensional graphene. Phys. Rev. B 75, 20
(2007).i (
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28. Wunsch, B. et al. Dynamical polarization of graphene at finite doping. New J. Phys. 8, 318 (2006). 28. Wunsch, B. et al. Dynamical polarization of graphene at finite doping. New J. Phys. 8, 318 (2006). 28. Wunsch, B. et al. Dynamical polarization of graphene at finite doping. Competing interests h p
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The authors declare no competing interests. Author contributions H.R. and F.A. wrote the paper. www.nature.com/scientificreports/ www.nature.com/scientificreports/ 31. Stauber, T., Schliemann, J. & Peres, N. M. Dynamical current-current correlation of the hexagonal lattice and graphene. Phys. Rev. B 81, 155412 (2010). l
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l 2. Inglot, M., Dugaev, V. K., Ya Sherman, E. & Barnas, J. Enhanced photogalvanic effect in graphene due to Rashba spin-orbit coupling
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Rev. B 89, 155411 (2014). 34. Mahan, G. D. Many Particle Physics (Plenumn Press, New York, 1993). 34. Mahan, G. D. Many Particle Physics (Plenumn Press, New York, 1993). 34. Mahan, G. D. Many Particle Physics (Plenumn Press, New York, 1993). Additional information Correspondence and requests for materials should be addressed to H.R. Correspondence and requests for materials should be addressed to H.R. References New J. Phys. 8, 318 (2006). 29. Liu, Y., Willis, R. F., Emtsev, K. V. & Seyller, T. Plasmon dispersion and damping in electrically isolated two-dimensional charge
sheets Phys Rev B 78 201403 (2008) 28. Wunsch, B. et al. Dynamical polarization of graphene at finite doping. New J. Phys. 8, 318 (2006). 29. Liu, Y., Willis, R. F., Emtsev, K. V. & Seyller, T. Plasmon dispersion and damping in electrically isolated two-dimensional charge 28. Wunsch, B. et al. Dynamical polarization of graphene at finite y
p
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pi
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9. Liu, Y., Willis, R. F., Emtsev, K. V. & Seyller, T. Plasmon dispersion and damping in electrically isolated two-dimensional charge
sheets. Phys. Rev. B 78, 201403 (2008). https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 | © The Author(s) 2021 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
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СВІТОВІ ЕКОНОМІЧНІ КРИЗИ: ПРИЧИНИ ТА НАСЛІДКИ
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Випуск # 28 / 2021 Випуск # 28 / 2021 ЕКОНОМІКА ТА СУСПІЛЬСТВО DOI: https://doi.org/10.32782/2524-0072/2021-28-5
УДК 332.12.656.2 GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES Baeva Olga
Kharkov National University of Pharmacy
Vasylchenko Olena, Isakova Olena
Dmytro Motornyi Tavria State Agrotechnological University Baeva Olga
Kharkov National University of Pharmacy
Vasylchenko Olena, Isakova Olena
Dmytro Motornyi Tavria State Agrotechnological University Стаття присвячена актуальним питанням визначення причин виникнення світових економічних криз та їх
наслідків. У статті досліджується та аналізується історія розвитку та передумови виникнення світових криз. Проведено аналіз робіт відомих економістів стосовно природи виникнення економічних криз. Визначено осно-
вні наукові підходи до розкриття сутності економічної кризи. Означено, що значна частина фахівців приділяє
увагу дослідженню процесів у середньо- та довгостроковому періоді. Визначено роль світових економічних
криз у формуванні базових тенденцій довгострокового економічного розвитку. Приділено увагу основним ви-
дам криз за відповідними ознаками їх класифікації. Розглянуто теорії, що пояснюють причини економічних
циклів і криз. Зазначено, що якщо не приділяти достатньо уваги дослідженню, аналізу та запобіганню поши-
ренню глобальних криз, то можливі випадки переростання локальних та регіональних криз в глобальні. Ключові слова: економіка економічні кризи глобалізація цикли циклічні коливання Статья посвящена актуальным вопросам определения причин возникновения мировых экономических кри-
зисов и их последствий. В статье исследуется и анализируется история развития и предпосылки возникновения
мировых кризисов. Проведен анализ работ известных экономистов относительно природы возникновения эко-
номических кризисов. Определены основные научные подходы к раскрытию сущности экономического кризи-
са. Отмечено, что значительная часть специалистов уделяет внимание исследованию процессов в средне- и
долгосрочном периоде. Определена роль мировых экономических кризисов в формировании базовых тенден-
ций долгосрочного экономического развития. Уделено внимание основным видам кризисов по признакам их
классификации. Рассмотрены теории, объясняющие причины экономических циклов и кризисов. Указано, что
если не уделять достаточно внимания анализу, исследованию и предотвращению распространения глобаль-
ных кризисов, то возможны случаи перерастания локальных и региональных кризисов в глобальные. Ключевые слова: экономика экономические кризисы глобализация циклы циклические колебания ЕКОНОМІКА The article is devoted to topical issues of determining the causes of global economic crises and their con-
sequences. The economic crisis is characterized by a sharp deterioration in the country's economic condition. © Баєва О.І., Васильченко О.О., Ісакова О.І. Випуск # 28 / 2021 Випуск # 28 / 2021 ЕКОНОМІКА ТА СУСПІЛЬСТВО The consequences of the crisis are manifested in a significant decline in production, an increase in unemployment,
a decrease in the standard of living and well-being of the population. The article examines and analyzes the history
of development and prerequisites for the emergence of world crises. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES It is noted that the development of the economy
is cyclical, and the fundamental phase of the entire economic cycle is the crisis. The analysis of the works of well-
known economists on the nature of the occurrence of economic crises is carried out. Almost all the leading areas of
macroeconomic analysis presented their vision of the nature of phenomena that form cyclical fluctuations in a market
economy. The main scientific approaches to revealing the essence of the economic crisis are identified. The defini-
tion of an economic crisis as a deterioration of the country's economy, which reduces macroeconomic indicators, is
proposed. It is noted that a significant part of specialists pay attention to the study of processes in the medium and
long term. The role of global economic crises in the formation of basic trends in long-term economic development is
determined. Attention is paid to the main types of crises based on their classification. Theories explaining the causes
of economic cycles and crises are considered. Representatives of different theories Note different causes of eco-
nomic cycles and crises. These can be external and internal factors, as well as their totality. The consequences of
the global economic crisis are: the depreciation of a significant part of financial capital, the devaluation of the dollar
and the loss of its status as the world's only reserve currency. The consequences of a crisis depend on the effective-
ness of crisis management, which can either mitigate or exacerbate the crisis. It is noted that if sufficient attention
is not paid to the analysis, research and prevention of the spread of global crises, then cases of local and regional
crises developing into global ones are possible. p g
g
p
Keywords: economy, economic crises, globalization, cycles, cyclical fluctuations. Постановка проблеми. Розвиток еконо-
міки носить циклічний характер, при цьому
фундаментальною фазою всього економіч-
ного циклу є криза. У сучасній економіці спо-
стерігається зростання економічних криз, що
носять, в тому числі, і загальносвітовий харак-
тер. Суттєвою умовою теперішніх економічних
криз виступає глобалізація, що проявляється
в наступному розвитку інтернаціоналізації
виробництва, в поглибленні міжнародного
поділу праці, посиленні взаємозв'язку і вза-
ємодії між країнами, а також в збільшенні
нестабільності національної і світової еко-
номічної системи, посиленні нерівномірності
розвитку окремих країн, в значному зростанні
ролі фінансової сфери в розвитку еконо-
міки. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES Природа економічних криз залишається
однією з найбільш спірних і дискусійних про-
блем, по якій економічна наука досі не сфор-
мувала єдиної позиції і тому досі актуальна. Виділення невирішених раніше частин
загальної проблеми. На сучасному етапі
потрібно привертати більше уваги процесу
розповсюдження світових економічних криз. Глобальні кризи по різному впливають на еко-
номіки країн, тому потрібно виявити причини
виникнення економічних циклів і криз в довго-
строковому форматі. Виділення невирішених раніше частин
загальної проблеми. На сучасному етапі
потрібно привертати більше уваги процесу
розповсюдження світових економічних криз. Глобальні кризи по різному впливають на еко-
номіки країн, тому потрібно виявити причини
виникнення економічних циклів і криз в довго-
строковому форматі. Мета дослідження. Метою даної роботи є
дослідження теоретичних положень щодо сві-
тових економічних криз, виявлення їх впливу
на економіку країн, причини виникнення та
наслідки. д
Виклад основного матеріалу дослід-
ження. Практично всі провідні напрямки
макроекономічного аналізу представили своє
бачення природи явищ, що формують циклічні
коливання в ринковій економіці. До самостій-
них факторів, які виступають в якості вихідної
рушійної сили господарської динаміки, дослід-
ники економічних циклів відносили: пере-
виробництво товарного капіталу (К. Маркс,
К. Каутський, Р. Гільфердінг); недоспожи-
вання (Ж. Сісмонді, К. Робертус, Т. Мальтус,
Т. Гертцка); перекапіталізація (А. Афтальон,
М. Бунятян, Л. Поле, Ж. Лескюр); зміни моне-
тарної бази (М. І. Туган-Барановський, А. Шпіт-
гоф, К. Жюгляр, Е. Лавеле, Т. Веблен); роз-
ширення і скорочення кредиту, вплив банків
(А. Шпітгоф, А. Гансен, Р. Хоутри, Г. Кассель,
М. Фрідмен); зростання і скорочення інвес-
тицій (Дж. М. Кейнс, Е. Хансен, Р. Харрод,
Дж. Хікс, П. Семюелсон); зміни раціональ-
них очікувань (Р. Лукас, Т. Сарджент), екзо-
генні впливу (К. Вікселль, Ф. Кідланд, Е. Пре-
скотт) та ін., дослідження кризової і циклічної
проблематики внесли російські економісти Виклад основного матеріалу дослід-
ження. Практично всі провідні напрямки
макроекономічного аналізу представили своє
бачення природи явищ, що формують циклічні
коливання в ринковій економіці. До самостій-
них факторів, які виступають в якості вихідної
рушійної сили господарської динаміки, дослід-
ники економічних циклів відносили: пере-
виробництво товарного капіталу (К. Маркс,
К. Каутський, Р. Гільфердінг); недоспожи-
вання (Ж. Сісмонді, К. Робертус, Т. Мальтус,
Т. Гертцка); перекапіталізація (А. Афтальон,
М. Бунятян, Л. Поле, Ж. Лескюр); зміни моне-
тарної бази (М. І. Туган-Барановський, А. Шпіт-
гоф, К. Жюгляр, Е. Лавеле, Т. Веблен); роз-
ширення і скорочення кредиту, вплив банків
(А. Шпітгоф, А. Гансен, Р. Хоутри, Г. Кассель,
М. Фрідмен); зростання і скорочення інвес-
тицій (Дж. М. Кейнс, Е. Хансен, Р. Харрод,
Дж. Хікс, П. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES Нами розглянуто підходи до
визначення сутності цього поняття, яке вио-
кремлено серед основних категорій наукових
досліджень. Основні підходи до трактування
економічної кризи наведено в табл. 1. Розглянувши різні точки зору, щодо визна-
чення поняття «економічна криза», ми вважа-
ємо що найбільш доцільним визначенням є:
економічна криза – це погіршення економіки
країни, яке знижує макроекономічні показ-
Таблиця 1
Основні наукові підходи до розкриття сутності економічної кризи
Визначення економічної кризи
Джерело
1
2
1. Криза – це стрімке погіршення соціально-
економічного стану країни із скороченням
обсягів виробництва, повним порушенням
сталих господарських зв’язків, що викликає
появ таких макроекономічних наслідків
як інфляція та безробіття, скорочення
виробничих потужностей
Орловська О. В. Світові економічні кризи:
причини виникнення, наслідки та шляхи
подолання / Науковий вісник національного
лісотехнічного університету України: збірник
наук.-техн. праць. – Львів: РВВ НЛТУ України,
2015. – Вип. 25.2. – С. 197–202. 2. Криза – різке погіршення економічного
стану країни, що виявляється в значному
спаді виробництва, порушенні сформованих
виробничих зв'язків, банкрутство підприємств,
зростанні безробіття і в підсумку – в зниженні
життєвого рівня, добробуту населення
Райзберг Б. А. Современный экономический
словарь / Б. А. Райзберг, Л. Ш. Лозовский,
Е. Б. Стародубцева. – 6-е изд., перераб. и
доп. – Москва: ИНФРА-М, 2019. – 512 с. 3. Криза – це крайнє загострення протиріч у
соціально-економічній системі, що загрожує її
життєстійкості в навколишнім середовищі
Міждисциплінарний словник з менеджменту:
навч. посіб. / Д. М. Черваньов, О. І. Жилінська,
М. В. Петровський та ін.; за ред. Д. М. Черва-
ньова, О. І. Жилінської. – К.: Нічлава, 2011. –
624 с. 4. Криза – це певний етап функціонування
і розвитку соціально-економічної системи,
який зумовлює об’єктивну необхідність її
якісної трансформації як способу виходу з неї
Кухта П. В. Електронне наукове фахове
видання «Ефективна економіка»
[Електронний ресурс] / П. В. Кухта. – 2012. –
№ 10. – Режим доступу: http://www.economy. nayka.com.ua/?op=1&z=1439.htm
5. Криза – це точка перелому підвищувальної
та понижувальної хвилі суспільного
Туган-Барановський М. І. Політична економія:
монографія. – Київ: Інститут економіки АН
У
ї
1994
263 (М. І. Туган-Барановський, В. А. Базаров,
Е. Е. Слуцький, Л. А. Мендельсон, І. А. Трах-
тенберг, Є. С. Варга та ін.) [2]. Дж. М. Кейнс доводив, що циклічна дина-
міка
визначається
змінами
ефективного
попиту, що характеризується, в свою чергу,
величиною інвестицій і споживання, а еконо-
мічний цикл є підсумком взаємного впливу
національного доходу, нагромадження і спо-
живання [6]. Засновник школи фізіократів Ф. Кенє у
своїй праці «Економічна таблиця» вперше
висловив думку про повторюваність еконо-
мічних процесів [3]. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES К. Маркс в праці «Капітал» досліджував
«промисловий капітал» [3]. На думку Дж. Хікса, основне джерело
коливань економіки знаходиться в залежності
динаміки інвестицій від змін величини вироб-
ничого випуску [7]. Французький вчений К. Жугляр [3], вста-
новив діапазон коливань сукупного капіталу,
пов’язаного із відтворенням основних фондів,
від 7 до 11 років. Американський вчений Р. Лукас, пропону-
вав більшу увагу приділяти питанням еконо-
мічного зростання, а не циклічності господар-
ської системи [8]. К. Вікселль моделював цикли номінальних
доходів і рух цін, пов'язуючи тенденцію змін
реального сектора економіки не з номінальними
циклами, а із зрушеннями, що відбуваються
безпосередньо в відтворювальному секторі [3]. В економічній літературі немає чіткого,
однозначного тлумачення поняття «еконо-
мічна криза». Нами розглянуто підходи до
визначення сутності цього поняття, яке вио-
кремлено серед основних категорій наукових
досліджень. Основні підходи до трактування
економічної кризи наведено в табл. 1. М. І. Туган-Барановський досліджував
ендогенну теорію економічного циклу в
1894 році в праці «Періодичні промислові
кризи». Причину динаміки циклу він бачив у
зміні величини заощаджень та інвестицій [4]. Розглянувши різні точки зору, щодо визна-
чення поняття «економічна криза», ми вважа-
ємо що найбільш доцільним визначенням є:
економічна криза – це погіршення економіки
країни, яке знижує макроекономічні показ- В праці «Періодичні кризи надвиробництва»
А. Афтальон вперше проаналізував особли-
вості взаємодії процесів створення основного
капіталу і виробництва споживчої продукції [5]. Таблиця 1 Таблиця 1
Основні наукові підходи до розкриття сутності економічної кризи
Визначення економічної кризи
Джерело
1
2
1. Криза – це стрімке погіршення соціально-
економічного стану країни із скороченням
обсягів виробництва, повним порушенням
сталих господарських зв’язків, що викликає
появ таких макроекономічних наслідків
як інфляція та безробіття, скорочення
виробничих потужностей
Орловська О. В. Світові економічні кризи:
причини виникнення, наслідки та шляхи
подолання / Науковий вісник національного
лісотехнічного університету України: збірник
наук.-техн. праць. – Львів: РВВ НЛТУ України,
2015. – Вип. 25.2. – С. 197–202. 2. Криза – різке погіршення економічного
стану країни, що виявляється в значному
спаді виробництва, порушенні сформованих
виробничих зв'язків, банкрутство підприємств,
зростанні безробіття і в підсумку – в зниженні
життєвого рівня, добробуту населення
Райзберг Б. А. Современный экономический
словарь / Б. А. Райзберг, Л. Ш. Лозовский,
Е. Б. Стародубцева. – 6-е изд., перераб. и
доп. – Москва: ИНФРА-М, 2019. – 512 с. 3. Криза – це крайнє загострення протиріч у
соціально-економічній системі, що загрожує її
життєстійкості в навколишнім середовищі
Міждисциплінарний словник з менеджменту:
навч. посіб. / Д. М. Черваньов, О. І. Жилінська,
М. В. Петровський та ін.; за ред. Д. М. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES Семюелсон); зміни раціональ-
них очікувань (Р. Лукас, Т. Сарджент), екзо-
генні впливу (К. Вікселль, Ф. Кідланд, Е. Пре-
скотт) та ін., дослідження кризової і циклічної
проблематики внесли російські економісти Аналіз останніх досліджень і публіка-
цій. Економісти постійно приділяють увагу
кризовим явищам. В своїх дослідженнях вони
виокремили їх повторюваність в якості зако-
номірності, встановили їх причини і наслідки,
а також знайшли їх місце в господарському
розвитку. Дані висновки були зроблені вче-
ними самих різних шкіл. Більшість положень і
суджень минулого про економічні кризи збері-
гають своє значення і сьогодні [1; 2]. Дослідженню
проблематики
економічної
кризи присвячені численні праці таких вчених-
економістів як Ф. Кенє, К. Маркс, К. Жугляр,
М. І. Туган-Барановський, К. Вікселль, А. Афта-
льон, Дж. М. Кейнс, Дж. Хікс, Р. Лукас, Р. Мак-
дональд, У. С. Джевонс, Т. Вільямс, Ж. Лескюр,
М. Ленуар, В. Парето, Т. Веблен, Г. Кассель та ін. ЕКОНОМІКА ЕКОНОМІКА ТА СУСПІЛЬСТВО Випуск # 28 / 2021 ЕКОНОМІКА ТА СУСПІЛЬСТВО Випуск # 28 / 2021
КОНОМІКА
(М. І. Туган-Барановський, В. А. Базаров,
Е. Е. Слуцький, Л. А. Мендельсон, І. А. Трах-
тенберг, Є. С. Варга та ін.) [2]. Засновник школи фізіократів Ф. Кенє у
своїй праці «Економічна таблиця» вперше
висловив думку про повторюваність еконо-
мічних процесів [3]. К. Маркс в праці «Капітал» досліджував
«промисловий капітал» [3]. Французький вчений К. Жугляр [3], вста-
новив діапазон коливань сукупного капіталу,
пов’язаного із відтворенням основних фондів,
від 7 до 11 років. К. Вікселль моделював цикли номінальних
доходів і рух цін, пов'язуючи тенденцію змін
реального сектора економіки не з номінальними
циклами, а із зрушеннями, що відбуваються
безпосередньо в відтворювальному секторі [3]. М. І. Туган-Барановський досліджував
ендогенну теорію економічного циклу в
1894 році в праці «Періодичні промислові
кризи». Причину динаміки циклу він бачив у
зміні величини заощаджень та інвестицій [4]. В праці «Періодичні кризи надвиробництва»
А. Афтальон вперше проаналізував особли-
вості взаємодії процесів створення основного
капіталу і виробництва споживчої продукції [5]. Дж. М. Кейнс доводив, що циклічна дина-
міка
визначається
змінами
ефективного
попиту, що характеризується, в свою чергу,
величиною інвестицій і споживання, а еконо-
мічний цикл є підсумком взаємного впливу
національного доходу, нагромадження і спо-
живання [6]. На думку Дж. Хікса, основне джерело
коливань економіки знаходиться в залежності
динаміки інвестицій від змін величини вироб-
ничого випуску [7]. Американський вчений Р. Лукас, пропону-
вав більшу увагу приділяти питанням еконо-
мічного зростання, а не циклічності господар-
ської системи [8]. В економічній літературі немає чіткого,
однозначного тлумачення поняття «еконо-
мічна криза». GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES Черва-
ньова, О. І. Жилінської. – К.: Нічлава, 2011. –
624 с. 4. Криза – це певний етап функціонування
і розвитку соціально-економічної системи,
який зумовлює об’єктивну необхідність її
якісної трансформації як способу виходу з неї
Кухта П. В. Електронне наукове фахове
видання «Ефективна економіка»
[Електронний ресурс] / П. В. Кухта. – 2012. –
№ 10. – Режим доступу: http://www.economy. nayka.com.ua/?op=1&z=1439.htm
5. Криза – це точка перелому підвищувальної
та понижувальної хвилі суспільного
господарювання
Туган-Барановський М. І. Політична економія:
монографія. – Київ: Інститут економіки АН
України, 1994. – 263 с. 1. Криза – це стрімке погіршення соціально-
економічного стану країни із скороченням
обсягів виробництва, повним порушенням
сталих господарських зв’язків, що викликає
появ таких макроекономічних наслідків
як інфляція та безробіття, скорочення
виробничих потужностей Орловська О. В. Світові економічні кризи:
причини виникнення, наслідки та шляхи
подолання / Науковий вісник національного
лісотехнічного університету України: збірник
наук.-техн. праць. – Львів: РВВ НЛТУ України,
2015. – Вип. 25.2. – С. 197–202. 2. Криза – різке погіршення економічного
стану країни, що виявляється в значному
спаді виробництва, порушенні сформованих
виробничих зв'язків, банкрутство підприємств,
зростанні безробіття і в підсумку – в зниженні
життєвого рівня, добробуту населення Райзберг Б. А. Современный экономический
словарь / Б. А. Райзберг, Л. Ш. Лозовский,
Е. Б. Стародубцева. – 6-е изд., перераб. и
доп. – Москва: ИНФРА-М, 2019. – 512 с. Райзберг Б. А. Современный экономический
словарь / Б. А. Райзберг, Л. Ш. Лозовский,
Е. Б. Стародубцева. – 6-е изд., перераб. и
доп. – Москва: ИНФРА-М, 2019. – 512 с. Міждисциплінарний словник з менеджменту:
навч. посіб. / Д. М. Черваньов, О. І. Жилінська,
М. В. Петровський та ін.; за ред. Д. М. Черва-
ньова, О. І. Жилінської. – К.: Нічлава, 2011. –
624 с. Міждисциплінарний словник з менеджменту:
навч. посіб. / Д. М. Черваньов, О. І. Жилінська,
М. В. Петровський та ін.; за ред. Д. М. Черва-
ньова, О. І. Жилінської. – К.: Нічлава, 2011. –
624 с. Кухта П. В. Електронне наукове фахове
видання «Ефективна економіка»
[Електронний ресурс] / П. В. Кухта. – 2012. –
№ 10. – Режим доступу: http://www.economy. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES nayka.com.ua/?op=1&z=1439.htm ЕКОНОМІКА ЕКОНОМІКА ТА СУСПІЛЬСТВО Випуск # 28 / 2021 за масштабами прояву:
– загальні кризи;
– локальні кризи
за причиною виникнення:
– природні кризи;
– суспільні кризи;
– екологічні кризи
за проблематикою:
– макрокризи;
– мікрокризи
Види криз
за структурою відносин у
соціально-економічній системі
й диференціації проблематики
її розвитку:
– економічні кризи;
– соціальні кризи;
– організаційні кризи;
– психологічні кризи;
– технологічні та інші кризи
Рис. 1. Основні види криз за відповідними ознаками їх класифікації
Джерело: складено автором за [9; 10] за причиною виникнення:
– природні кризи;
– суспільні кризи;
– екологічні кризи за масштабами прояву:
– загальні кризи;
– локальні кризи Види криз за структурою відносин у
соціально-економічній системі
й диференціації проблематики
її розвитку:
– економічні кризи;
– соціальні кризи;
– організаційні кризи;
– психологічні кризи;
– технологічні та інші кризи за структурою відносин у
соціально-економічній системі
й диференціації проблематики
її розвитку: за проблематикою:
– макрокризи;
– мікрокризи Рис. 1. Основні види криз за відповідними ознаками їх класифікації
Джерело: складено автором за [9; 10] Під час соціальних та економічних пере-
творень виникають психологічні кризи, що
виявляються у вигляді стресу, який набуває
масового характеру; це почуття непевності,
паніки, страху за майбутнє, незадоволеності
роботою, правовою захищеністю та соціаль-
ним станом. ники. Недосконалість соціального механізму
впливає на періодичність економічних криз. В процесі розвитку світового індустріаль-
ного суспільства виникали різні види криз. Розглянемо основні види криз за відповід-
ними ознаками їх класифікації (рис. 1). Загальні кризи – охоплюють усю соці-
ально-економічну систему, а локальні – лише
її частину. Технологічна криза виникає як криза нових
технологічних ідей в умовах явно вираженої
потреби в нових технологіях, наприклад, це
може бути криза технологічної несумісності
виробів, криза відторгнення нових техноло-
гічних рішень. Такі кризи можуть виглядати як
кризи науково-технічного прогресу. Макрокризи – це кризи масштабної про-
блематики й обсягів, мікрокризи – охоплюють
лише окрему проблему, чи невелику їх групу
(мікрокриза здатна викликати ланцюгову
реакцію, поширитися на всю систему та при-
звести до макрокризи). Структурна криза є порушенням закону
пропорційного розвитку суспільного виробни-
цтва. Це виявляється в серйозних диспропор-
ціях між галузями, з одного боку, і випуском
найважливіших виді продукції в натураль-
ному вираженні, необхідних для збалансова-
ного розвитку. д
р
р
)
Соціальні кризи виникають при загостренні
протиріч чи зіткненні інтересів різних соціаль-
них груп чи утворень. Соціальні кризи найчас-
тіше є продовженням і доповненням криз еко-
номічних, хоча можуть виникати й самі по собі. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES Політичні кризи (складовими елементами
яких є, зокрема: втрата респектабельності й
авторитету апарату управління, розкол у пар-
тіях; ідеологічна криза – руйнація принципів,
підвалин, моральності, зростання злочин-
ності; криза реалізації інтересів різних соці-
альних груп та класів тощо), вони, як правило,
торкаються всіх сторін розвитку суспільства і
з часом трансформуються в кризи економічні. Непомірна бюрократизація часто є проявом
організаційної кризи. Соціальні кризи виникають при загостренні
протиріч чи зіткненні інтересів різних соціаль-
них груп чи утворень. Соціальні кризи найчас-
тіше є продовженням і доповненням криз еко-
номічних, хоча можуть виникати й самі по собі. Політичні кризи (складовими елементами
яких є, зокрема: втрата респектабельності й
авторитету апарату управління, розкол у пар-
тіях; ідеологічна криза – руйнація принципів,
підвалин, моральності, зростання злочин-
ності; криза реалізації інтересів різних соці-
альних груп та класів тощо), вони, як правило,
торкаються всіх сторін розвитку суспільства і
з часом трансформуються в кризи економічні. Непомірна бюрократизація часто є проявом
організаційної кризи. У складі економічних криз виділяють фінан-
сові – кризи грошового вираження економіч-
них процесів (наприклад, фінансово-грошо-
вих можливостей певної системи). Економічною наукою розроблено цілу
низку різних теорій, що пояснюють причини
економічних циклів і криз (табл. 2). ЕКОНОМІКА Отже, представники різних теорій зазнача-
ють різні причини економічних циклів і криз. Це
можуть бути зовнішні та внутрішні фактори, а ЕКОНОМІКА ТА СУСПІЛЬСТВО Випуск # 28 / 2021 Таблиця 2
Теорії, що пояснюють причини економічних циклів і криз
Назва теорії
Зміст
Автор
1
2
3
Теорія розподілу
Недосконалість соціального механізму
Ж. Сісмонді
Теорія криз
Суперечності між суспільним виробництвом і приватним
капіталістичним привласненням
Ф. Енгельс
Теорія циклічного
розвитку
Диспропорції у відтворенні – поляризація доходів, безробіття,
зниження купівельної спроможності, скорочення попиту
К. Маркс
Грошова теорія
Експансія банківського кредиту
Р. Хоутрі
Теорія
нововведень
Використання у виробництві важливих нововведень
Й. Шумпетер,
Е. Хансен
Психологічна
теорія
Цикл є наслідком хвиль песимістичного й оптимістичного
настрою, що охоплюють населення
А. Пігу,
У. Берджгог
Теорія
недоспоживання
Занадто велика частка доходу, що припадає багатим і
ощадливим людям, у порівнянні з тою, що може бути
інвестована
Дж. Гобсон,
Дж. Фостер,
Кетчінгс
Теорія надмірного
інвестування
Надмірне інвестування та фінансування з боку держави
корпораціям
Ф. Хайєк,
Л. Мізес
Теорія сонячних
плям
Природні фактори (сонячна активність – погода –
неврожай), які викликають нестабільність у суміжних з
аграрним сектором галузях і далі послідовно втягують у
кризу всю систему господарювання
С. Джевонс,
Х. Мур
Теорія
обмеженості
Неправильний розподіл національного виробництва в
цілому, обмеженість продуктивних сил суспільства, зміни
величини заощаджень та інвестицій
М. GLOBAL ECONOMIC CRISES:
CAUSES AND CONSEQUENCES Туган-
Барановський
Кейнсіанська
теорія
Падіння граничної ефективності капіталу
Дж. М. Кейнс системи, соціального механізму, помилки в
антикризовому управління, вплив зовнішніх
та внутрішніх факторів, недосконалість зако-
нодавчих актів. Цей вплив характеризується
виникненням та характером протікання кри-
зових явищ і потребує застосування інстру-
ментарію
прогнозування. Прогнозування
кризових явищ і ситуацій зможе попередити
виникнення економічних криз та зменшити їх
негативні наслідки для суспільства. також їх сукупність. Слід також відмітити, що
необхідно приділяти більше уваги проблемам
поширення глобальної кризи та зараження
світової економіки. Якщо не попереджувати
кризисні процеси, то локальні та регіональні
кризи можуть перерости в глобальні. Висновки. Таким чином, можна зробити
висновок, що основними причинами виник-
нення економічних циклів і криз є перш за
все недосконалість соціально-економічної СПИСОК ВИКОРИСТАНИХ ДЖЕРЕЛ: СПИСОК ВИКОРИСТАНИХ ДЖЕРЕЛ: 1. Богданов А.А. Всеобщая организационная наука (тектология). URL: https://gtmarket.ru/library/basis/5909
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© The Author(s) 2022. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which
permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the
original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or
other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line
to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this
licence, visit http://creativecommons.org/licenses/by/4.0/. 1 Introductionh The spin-orbital-angular-momentum (SOAM) coupling,
the coupling between the spin degree of freedom and the
external orbital motion, is one of the most common phe-
nomena in our nature. A prominent example in classical
physics is the astronomical fact that the Moon always
shows the same side to the Earth, known as the tidal
locking or the spin-orbit locking [1]. In atomic physics,
SOAM coupling is a relativistic effect, which gives rise to
the fine structure of energy levels of hydrogen atoms [2]. A similar effect occurs for protons and neutrons moving
inside the nucleus, leading to a shift in their energy lev-
els in the nucleus shell model [3]. In condensed-matter Owing to the advances in the experimental technique,
ultracold atomic gases acquire a high degree of control-
lability and tunability in interatomic interaction, geome-
try, purity, atomic species, and lattice constant (of optical
lattices) [5–9]. To date, ultracold quantum gases have
emerged as a versatile platform for exploring a broad Abstract We briefly review the recent progress of theories and experiments on spin-orbital-angular-momentum (SOAM)-
coupled quantum gases. The coupling between the intrinsic degree of freedom of particles and their external orbital
motions widely exists in the universe and leads to a broad variety of fundamental phenomena in both classical
physics and quantum mechanics. The recent realization of synthetic SOAM coupling in cold atoms has attracted a
great deal of attention and stimulated a large amount of considerations on exotic quantum phases in both Bose and
Fermi gases. In this review, we present a basic idea of engineering SOAM coupling in neutral atoms, starting from a
semiclassical description of atom-light interaction. Unique features of single-particle physics in the presence of SOAM
coupling are discussed. The intriguing ground-state quantum phases of weakly interacting Bose gases are introduced,
with emphasis on a so-called angular stripe phase, which has not yet been observed at present. It is demonstrated
how to generate a stable giant vortex in a SOAM-coupled Fermi superfluid. We also discuss the topological characters
of a Fermi superfluid in the presence of SOAM coupling. We then introduce the experimental achievement of SOAM
coupling in 87 Rb Bose gases and its first observation of phase transitions. The most recent development of SOAM-
coupled Bose gases in experiments is also summarized. Regarding the controllability of ultracold quantum gases, it
opens a new era, from the quantum simulation point of view, to study the fundamental physics resulting from SOAM
coupling as well as newly emergent quantum phases. physics, an analogous coupling between the electron
spin and its velocity, namely the spin-linear-momentum
(SLM) coupling or spin-orbit (SO) coupling, results in a
variety of intriguing and fundamental phenomena, such
as the spin-Hall effect or topological insulators [4], which
have potential applications in quantum devices. Although
numerous fascinating behaviors of many-body quantum
systems are closely related to SOAM or SO coupling,
they are mostly intractable or manifest themselves under
extreme conditions. Therefore, it is of important signifi-
cance to find a system, which could mimic the unique
features of SOAM- or SO-coupled quantum systems in a
controllable way. AAPPS Bulletin AAPPS Bulletin AAPPS Bulletin Peng et al. AAPPS Bulletin (2022) 32:36
https://doi.org/10.1007/s43673-022-00069-w Open Access Open Access Spin‑orbital‑angular‑momentum‑coupled
quantum gases Shi‑Guo Peng1,2* , Kaijun Jiang1,2, Xiao‑Long Chen3, Ke‑Ji Chen3, Peng Zou4 and Lianyi He5 Regarding the controllability of ultracold
quantum gases, it opens a new era, from the quantum
simulation point of view, to study the fundamental phys-
ics resulting from SO-coupling as well as newly emergent
quantum phases [42–44].h Soon, the idea of SOAM coupling is theoretically gen-
eralized to fermionic systems [66, 67], where the pairing
mechanics plays a crucial role in the Fermi superfluid. While it is shown that the SOAM coupling leads to the
spin-dependent vortex formation in Bose-Einstein con-
densates, SOAM coupling alone does not induce vorti-
ces in a Fermi superfluid, since fermions in a Cooper pair
would acquire opposite orbital angular momenta that
cancel each other, yielding a superfluid devoid of vorti-
ces. However, by introducing a moderate detuning away
from the two-photon resonance in the Raman process,
which breaks the time-reversal symmetry of systems,
a giant vortex superfluid phase could remain stable in
SOAM-coupled Fermi gases. The Cooper pairs can pos-
sess quantized angular momenta, featured as an angular
analog of the Fulde-Ferrell pairing state in SO-coupled
Fermi gases, where Cooper pairs inevitably carry finite
center-of-mass momentum due to the asymmetry of SO-
dressed Fermi surface under Zeeman field [68–74]. These
SOAM-coupling induced vortices have fascinating and
unique features. For example, their size could be as strik-
ingly large as the length scale comparable to the waist
of Raman beams. This is markedly different from previ-
ously studied vortices in atomic Fermi superfluids, where
changes in the vortex-core structure predominantly take
place within a short-length scale set by the interatomic
separation [75, 76]. Besides, the vortex core exhibits a
large spin imbalance, which originates from spin-polar-
ized vortex-bound states, or the so-called Caroli–de
Gennes–Matricon (CdGM) states [77], and would serve
as an ideal experimental signal. Subsequently, the topo-
logical characters of a ring-shape SOAM-coupled Fermi
superfluid are explored, in which the ac-stark potential of
Raman beams provides a strong radial confinement [78]. The genic features of topological superfluid are encoded
in the quantized angular degree of freedom. Neverthe-
less, a fundamental hurdle to the experimental observa-
tion of the SOAM-coupling-induced pairing states is
the inevitable heating during the Raman process, which
makes it difficult to cool the system below the super-
fluid transition temperature. Instead, it is reasonable to
expect that molecule states in the SOAM-coupled Fermi
gases could survive even above the critical temperature,
as what occurs in SO-coupled systems [19, 79]. Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin (2022) 32:36 Page 2 of 25 variety of many-body phenomena and can realize physi-
cal effects with analogs throughout physics [4, 10, 11]. However, unlike charged particles, neutral atoms can-
not experience the influence of external electromagnetic
fields. Fortunately, thanks to the controlling of atom-
light interaction, the internal hyperfine states of neutral
atoms, playing a role of (pseudo-)spin, are coupled to
their linear momentum of center-of-mass motion, which
equivalently introduces a class of SO couplings experi-
enced by atoms. For example, the theoretical scheme of
realizing a one-dimensional (1D) SO coupling with equal
Rashba and Dresselhaus strengths was proposed in cold
atoms according to a Raman process with a simple -
type configuration [12]. Then, the basic idea was broadly
applied in experiments with both bosonic and fermionic
atoms [13–27]. Soon, an impressive amount of theoreti-
cal and experimental efforts have been devoted to the
realization of high-dimensional SO coupling [28–41]. The high-dimensional SO coupling corresponds to a
non-Abelian gauge field and has nontrivial geometric or
topological effects, which are absent in systems with 1D
SO coupling. Regarding the controllability of ultracold
quantum gases, it opens a new era, from the quantum
simulation point of view, to study the fundamental phys-
ics resulting from SO-coupling as well as newly emergent
quantum phases [42–44].h variety of many-body phenomena and can realize physi-
cal effects with analogs throughout physics [4, 10, 11]. However, unlike charged particles, neutral atoms can-
not experience the influence of external electromagnetic
fields. Fortunately, thanks to the controlling of atom-
light interaction, the internal hyperfine states of neutral
atoms, playing a role of (pseudo-)spin, are coupled to
their linear momentum of center-of-mass motion, which
equivalently introduces a class of SO couplings experi-
enced by atoms. For example, the theoretical scheme of
realizing a one-dimensional (1D) SO coupling with equal
Rashba and Dresselhaus strengths was proposed in cold
atoms according to a Raman process with a simple -
type configuration [12]. Then, the basic idea was broadly
applied in experiments with both bosonic and fermionic
atoms [13–27]. Soon, an impressive amount of theoreti-
cal and experimental efforts have been devoted to the
realization of high-dimensional SO coupling [28–41]. The high-dimensional SO coupling corresponds to a
non-Abelian gauge field and has nontrivial geometric or
topological effects, which are absent in systems with 1D
SO coupling. Accord-
ingly, a scenario, using the radio-frequency spectroscopy
based on two-body physics, provides an accessible detec-
tion of the pairing mechanics under current experimen-
tal conditions [80]. The rest of the review is arranged as follows. In the Though the SO coupling has intensively been stud-
ied in the field of condensed matter as well as in ultra-
cold atoms, it is different from the original meaning of
SO coupling in atomic physics, in which it indicates
the coupling between the spin and the orbital angular
momentum. Recently, such type of SO coupling, i.e., the
SOAM coupling, is theoretically proposed in cold atoms
and enriches our understanding of quantum many-body
physics [45–52]. It is experimentally achieved in 87 Rb
Bose gases according to a Raman process by using a
pair of copropagating laser beams operated in Laguerre-
Gaussian (LG) modes [53–55]. The ground-state phase
diagram of the systems is confirmed. The hysteresis
loop is observed across the phase boundary, which is
a hallmark of the first-order phase transitions. This
is due to the unique property of the quantized angu-
lar momentum, unlike that of the linear momentum in
SLM-coupled systems [56–59]. Later on, a considerable
amount of attention has been paid to a supersolid-like
phase [60–64], namely the angular stripe phase, which
breaks the U(1) gauge symmetry to behave like a super-
fluid and also breaks the angular translational symmetry
(or the rotational symmetry) to manifest spatial order in
the angular density [65]. Nevertheless, this kind of angu-
lar stripe phases has not yet been observed because of
the narrow window of parameters that is hardly reached
in experiments at present [63]. The rest of the review is arranged as follows. In the
next section, we present the theoretical scheme of how
the SOAM-coupling effect could be achieved in cold
atoms according to a Raman transition. Starting from a
semiclassical description of atom-light interaction, the Peng et al. AAPPS Bulletin (2022) 32:36 Page 3 of 25 Fig. 1 Scheme of the SOAM coupling. Two hyperfine states of atoms
(denoted by |↑ and |↓ ) are coupled to an excited state |3 by a pair of
far-detuned copropagating Laguerre-Gaussian beams E±(r, t) . Here, δ
and are the two-photon and single-photon detunings respectively effective Hamiltonian of a single atom is derived. The
possible symmetries of the system are then discussed,
which play an important role in understanding the fun-
damental properties of the system. In Section 3, sin-
gle-particle physics is introduced, including the energy
spectrum and the intriguing spin texture of the ground
state. The emergent synthetic gauge field experienced by
cold atoms in the presence of atom-light interaction is
also demonstrated. In Section 4, the ground-state proper-
ties of weakly interacting SOAM-coupled Bose gases are
discussed, based on the solution of the Gross-Pitaevskii
equation. The quantum phases of Bose condensates are
then identified as well. The emphasis on the properties of
the angular stripe phases is presented. We also propose
possible scenarios to enlarge the window of parameters
that might be accessible in experiments to observe them. It follows the discussion on the ground state of interact-
ing SOAM-coupled Fermi gases in Section 5. The pairing
mechanism of fermions in the presence of SOAM-cou-
pling is introduced. Two exotic pairing states, i.e., SOAM-
coupling-induced giant vortex and topological superfluid
states, are shown to be stabilized under SOAM coupling. Subsequently, the most recent progress of experiments
related to SOAM-coupled quantum gases is summarized
in Section 6. Section 7 is devoted to the conclusions and
outlooks for future advances. Fig. 1 Scheme of the SOAM coupling. Two hyperfine states of atoms
(denoted by |↑ and |↓ ) are coupled to an excited state |3 by a pair of
far-detuned copropagating Laguerre-Gaussian beams E±(r, t) . Here, δ
and are the two-photon and single-photon detunings respectively Fig. 1 Scheme of the SOAM coupling. Two hyperfine states of atoms
(denoted by |↑ and |↓ ) are coupled to an excited state |3 by a pair of
far-detuned copropagating Laguerre-Gaussian beams E±(r, t) . Here, δ
and are the two-photon and single-photon detunings respectively characterizes the dipole interactions between the valence
electron and light fields. Here, d is the electric moment of
the valence electron and (2)
E±(r, t) = 1
2 ˆe±
E±(r)e−iω±t + h.c. (2) are the electric fields experienced by atoms, where ˆe±
denote the unit vectors of the polarization direction of
light, ω± are the angular frequencies of Raman beams,
and E±(r) are the spatial complex amplitudes. The wave
function of atoms can also be written in the bare hyper-
fine basis as 2 Spin‑orbital‑angular‑momentum couplingh The key idea of generating SOAM coupling in neutral
atoms has been proposed by several earlier works [46–48],
in which two hyperfine states of atoms are coupled by a
pair of copropagating LG beams according to a Raman pro-
cess as shown in Fig. 1. The two LG beams carry different
orbital angular momenta along the direction of beam prop-
agation that leads to an orbital angular momentum change
of atoms when transitioning between the two ground
hyperfine states. In the following, we are going to derive the
effective Hamiltonian of an alkali metal atom in the pres-
ence of a pair of Raman LG beams based on the semiclassi-
cal description of atom-light interaction [45, 81, 82]. (3)
(t) =
c↑(t)e−iη↑t
c↓(t)e−iη↓t
c3(t)e−iη3t
, (3) and ησ are arbitrary factors that are chosen for later con-
venience. Inserting Eqs. (1) and (3) into the Schrödinger
equation iℏ∂t = ˆHal and by choosing (4)
η↑=1
2
ω↑+ ω↓−ω+ + ω−
,
(5)
η↓=1
2
ω↑+ ω↓+ ω+ −ω−
,
(6)
η3 =1
2
ω↑+ ω↓+ ω+ + ω−
, (4) 2.1 Semiclassical theory of atom‑light interactions (10) After inserting Eq. (10) into Eqs. (7) and (8), we arrive at (11)
iℏd
dt
c↑
c↓
=
δ/2 + χ+(r)
(r)
∗(r)
−δ/2 + χ−(r)
c↑
c↓
, Let us then analyze the possible symmetries of the
single-atom Hamiltonian (15). It is obvious that the rota-
tional symmetry with respect to the z axis is broken by
the dependence of Raman coupling ˆHso on the azimuthal
angle ϕ . The orbital angular momentum of the atom is
thus no longer conserved, since it follows a change of
orbital angular momentum accompanied by the spin flip
in the Raman process [46, 60, 62]. By introducing a uni-
tary transformation ˆU = exp
inϕ ˆσz
, the single-atom
Hamiltonian becomes ˆH0 = ˆU ˆH0 ˆU† , i.e., where where (12)
χ±(r) ≡|ρ±E±(r)|2
4
,
(13)
(r) ≡ρ∗
+ρ−E∗
+(r)E−(r)
4 (12)
χ±(r) ≡|ρ±E±(r)|2
4
, (12) (13) 4 (17)
ˆH0 = −ℏ2
2mr
∂
∂r r ∂
∂r +
ˆLz −nℏˆσz
2
2mr2
+ Vext(r) + χ(r) + (r)ˆσx + δ
2 ˆσz, are respectively the diagonal and off-diagonal ac-stark
shifts. We find that the diagonal ac-stark shift χ±(r) pro-
vides an effective trapping potential for atoms that could
be removed by properly choosing a tune-out wavelength
of LG beams in the experiment [55, 83, 84]. The off-diag-
onal ac-stark shift (r) leads to a space-dependent cou-
pling between two hyperfine states |↑ and |↓ , and then
results in a SOAM coupling of atoms as we will see below. are respectively the diagonal and off-diagonal ac-stark
shifts. We find that the diagonal ac-stark shift χ±(r) pro-
vides an effective trapping potential for atoms that could
be removed by properly choosing a tune-out wavelength
of LG beams in the experiment [55, 83, 84]. The off-diag-
onal ac-stark shift (r) leads to a space-dependent cou-
pling between two hyperfine states |↑ and |↓ , and then
results in a SOAM coupling of atoms as we will see below. (17) where ˆLz = −iℏ∂/∂ϕ , and ˆσx,z are Pauli matrices. We
find that the angular momentum ˆLz commutes with the
single-atom Hamiltonian ˆH0 under the unitary trans-
formation ˆU , and thus ˆLz is conserved. Therefore, the
original single-atom Hamiltonian ˆH0 demonstrates the
symmetry under the redefined rotational transforma-
tion ˆR(ϕ) ≡ˆU†e−iˆLzϕ/ℏˆU . 2.1 Semiclassical theory of atom‑light interactions Then, ˆLz may be regarded as
the operator of quasi-angular momentum (QAM), and
each eigenstate of the system possesses definite values
of QAM characterized by the corresponding quantum
number lz . It is related to the angular momentum of each
spin component in the laboratory frame by l↑,↓= lz ∓n . Here, we find that the term of ˆLz ˆσz appears, which char-
acterizes the crucial SOAM-coupling effect that is well
familiar to us in atomic physics. 2.1 Semiclassical theory of atom‑light interactions In the semiclassical theory, the atom-light interaction
during the Raman process is described by the following
Hamiltonian (5) (1)
ˆHal =
ℏω↑
0
V↑3
0
ℏω↓V↓3
V3↑V3↓ℏω3
(6)
η3 =1
2
ω↑+ ω↓+ ω+ + ω−
, (1) (6) we easily obtain in the bare hyperfine basis [|↑, |↓, |3]T , where ℏωσ
( σ =↑, ↓, 3 ) is the bare energy of atoms in differ-
ent
hyperfine
states,
and Vσσ ′ = −σ|d · E(±) σ ′ (7)
iℏdc↑
dt = + δ
2c↑+ 1
2ρ∗
+E∗
+(r)c3, (7) Page 4 of 25
Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin Page 4 of 25 Page 4 of 25 (8)
iℏdc↓
dt = −δ
2c↓+ 1
2ρ∗
−E∗
−(r)c3,
(9)
iℏdc3
dt =1
2ρ+E+(r)c↑+ 1
2ρ−E−(r)c↓−c3
the single-atom Hamiltonian in the presence of Raman
LG beams takes an effective form of
ith
(15)
ˆH0 = −ℏ2
2m∇2 + Vext(r) + ˆHso (8)
iℏdc↓
dt = −δ
2c↓+ 1
2ρ∗
−E∗
−(r)c3,
the single-atom Hamiltonian in the presence of Raman
LG beams takes an effective form of (8) (15)
ˆH0 = −ℏ2
2m∇2 + Vext(r) + ˆHso (15) (9) with under the rotating-wave approximation (RWA) [81],
where ρ+ ≡3| −d · ˆe+|↑ and ρ−≡3| −d · ˆe−|↓
are the matrix elements of the electric dipole
moments,
and
δ/ℏ≡(ω+ −ω−) −
ω↓−ω↑
and
/ℏ≡(ω+ + ω−)/2 −
ω3 −
ω↑+ ω↓
/2
are respec-
tively the two-photon and single-photon detunings. When the excited state |3 is far from the resonance, we
may adiabatically eliminate it by setting ∂tc3(t) = 0 , and
then Eq. (9) yields (16)
ˆHso =
δ/2 + χ(r)
(r)e−i2nϕ
(r)e+i2nϕ −δ/2 + χ(r)
, (16) where Vext(r) = mω2r2/2 is the external harmonic poten-
tial, n = (l+ −l−)/2 is the angular momentum trans-
ferred to atoms, and (r) ≡R(r/w)|l+|+|l−|e−2r2/w2 ,
with the coupling strength R =
ρ∗
+ρ−
I0/2 , is
the radial Rabi frequency. Here, we have assumed
χ+(r) = χ−(r) ≡χ(r) for simplicity, which is only
dependent on |r| = r . Besides, we also discard the inter-
nal phase difference between the matrix elements of elec-
tric dipole moments ρ+ and ρ− that is irrelevant to the
problem. (10)
c3 ≈ρ+E+(r)
2
c↑+ ρ−E−(r)
2
c↓. 2.2 SOAM‑coupled Hamiltonian and symmetries Without loss of generality, we consider a two-dimen-
sional (2D) configuration for simplicity in that atoms are
confined in the z = 0 plane, and the pair of Raman LG
beams copropagate along the −z direction with the spa-
tial complex amplitude (14)
E±(r) =
2I0eil±ϕ r
w
|l±|
e−r2/w2, (14) where I0 and w are respectively the intensity and waist of
the beams, and l± are their winding numbers. Here, we
have adopted a polar coordinate r = (r, ϕ) . Consequently, At the resonance of Raman coupling with δ = 0 , the sys-
tem demonstrates an additional symmetry, namely the Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin (2022) 32:36 Page 5 of 25 In the absence of SOAM coupling, i.e., R = 0 , the
energy band structure is simply that of the spinor har-
monic oscillator with the excitation interval ℏω . The
ground state is characterized by the QAM lz = ±1 ,
which is doubly degenerate. The angular momentum
for each spin component in the laboratory frame is
l↑, l↓
= (0, −2) and
l↑, l↓
= (2, 0) corresponding to
the QAM lz = −1 and 1, respectively. As the SOAM-
coupling strength R gradually increases, the spin is no
longer a good quantum number, and small amounts of
atoms are transferred into the previously vacant spin
component, while the ground state still has the twofold
degeneracy with definite QAM. By further increasing
the coupling strength, the system finally jumps into the
QAM lz = 0 ground state, which gives rise to a first-
order phase transition to a spin-balanced population
[55]. This is due to the unique property of the quantized
angular momentum in SOAM-coupled systems. In SLM-
coupled systems, such phase transition is a continuous
type, where the doubly degenerate ground states finally
merge into each other as the Raman-coupling strength
increases [56–59]. time-reversal symmetry. The single-atom Hamiltonian ˆH0
commutes with the time-reversal operator ˆT = ˆσx ˆK , and
thus is invariant under the time-reversal transformation,
where ˆK denotes the operator of complex conjugation [46,
62]. This symmetry may be translated into a QAM frame as
ˆT = ˆU ˆT ˆU† , and then we have
ˆT , ˆH0
= 0 . 3.1 Single‑particle spectrum Regarding the rotational symmetry of the single-atom
Hamiltonian (17), each eigenstate of a single atom should
possess a definite QAM lz , whose wave function may be
written as (18)
lz(r) =
ψ↑(r)
ψ↓(r)
eilzϕ
√
2π
. (18) Then, the Schrödinger equation
ˆH0lz(r) = Elz(r)
reduces to two coupled one-dimensional radial equations
of ψ↑,↓(r) , which are easily solved by using the finite-
difference method [46]. The single-particle dispersion
relations between the energy E and QAM lz are shown
in Fig. 2 for three typical coupling strengths. Here, the
winding numbers of two Raman beams are respectively
chosen to be l+ = −2 and l−= 0 , and we consider the
situation at the two-photon resonance with δ = 0 . The
symmetry of the single-particle dispersion about lz = 0
is guaranteed by the time-reversal symmetry ˆT discussed
above. This means that the Schrödinger equation is invar-
iant under the exchange of the spin indices, which sends
n →−n as well. Let us look closely at the evolution of the lowest-
energy band as presented in Fig. 3 at different coupling
strengths. Its symmetry about lz = 0 is preserved by
the time-reversal symmetry at the two-photon reso-
nance δ = 0 as shown in Fig. 3(b). We demonstrate how
the ground state evolves from the doubly degenerate
states ( lz = ±1 ) into a single one ( lz = 0 ) as the coupling
strength increases. However, away from the two-photon
resonance with δ = 0 , we find that the degeneracy of the
ground states at weak coupling strength is lifted, since
the time-reversal symmetry is broken by the two-photon
detuning (as shown in Fig. 3(a) and (c)). The ground state Fig. 2 The single-particle dispersion for three typical SOAM-coupling strength R/ℏω = 0 , 100 and 250 (left to right). The energy is characterized
by two quantum numbers, i.e., the radial quantum number or band index n and the quasi angular momentum lz . Here, we have set the two-photon
detuning δ = 0 and the off-diagonal ac-stark shift χ(r) =0 as well Fig. 2 The single-particle dispersion for three typical SOAM-coupling strength R/ℏω = 0 , 100 and 250 (left to right). The energy is characterized
by two quantum numbers, i.e., the radial quantum number or band index n and the quasi angular momentum lz . 2.2 SOAM‑coupled Hamiltonian and symmetries The time-
reversal symmetry guarantees that the spectrum of a single
atom is symmetric about the QAM lz = n. 3.1 Single‑particle spectrum Here, we have set the two-photon
detuning δ = 0 and the off-diagonal ac-stark shift χ(r) =0 as well Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin Page 6 of 25 Fig. 3 Lowest energy band in the single-particle dispersion at a negative, b zero, and c positive two-photon detuning δ when the SOAM-coupling
strength R increases (top to bottom). Adapted from Ref. [60] Fig. 3 Lowest energy band in the single-particle dispersion at a negative, b zero, and c positive two-photon detuning δ when the SOAM-coupling
strength R increases (top to bottom). Adapted from Ref. [60] Fig. 3 coupling strength, the twofold degenerate ground state
gives rise to a spin texture corresponding to a half skyr-
mion. As the coupling strength increases, the ground
state finally jumps to the QAM lz = 0 state. The system
reaches a spin-balanced state, which does not support
a skyrmion texture. The local spin becomes planar and
lies in the x −y plane, and thus the skyrmion number
vanishes. is located either at lz = −1 or 1 determined by the sign of
the two-photon detuning. This gives rise to an additional
first-order phase transition by continuously varying the
two-photon detuning [55]. At strong coupling strength,
the system again jumps into the QAM lz = 0 ground
state as we discussed above. 3.2 Spin texturesh The SO coupling gives rise to intriguing spin textures. For example, it has been found in studies of 2D Rashba
SO-coupled BECs [85, 86] and BECs exposed to LG
beams [87] that the spin texture contains a topological
knot known as a 2D skyrmion. It is one kind of topologi-
cal defects protected by their topological nontriviality. Regarding the spin texture of SOAM-coupled systems, it
is useful to define a spin vector [46, 85, 86] 3.3 Artificial gauge field In the following, we are going to demonstrate how the arti-
ficial (synthetic) gauge field may emerge for neutral atoms
in the presence of atom-light interactions. It is one of the
essential ingredients for the simulation of charged par-
ticles moving in the electromagnetic field by using cold
atoms [10, 90–93], which gives rise to a series of intriguing
phenomena, such as the spin Hall effect [94–96]. To this
end, we may simply rewrite the atom-light Hamiltonian
(16) in an explicit form of (19)
S(r) = †(r)ˆs(r)
|(r)|2
, (19) (21)
ˆHso = Z(r) · s (21) with the spin operator ˆs = (ℏ/2)
ˆσx, ˆσy, ˆσz
. The skyr-
mion number defined as with the spin operator ˆs = (ℏ/2)
ˆσx, ˆσy, ˆσz
. The skyr-
mion number defined as with the spin operator ˆs = (ℏ/2)
ˆσx, ˆσy, ˆσz
. The skyr-
mion number defined as with the effective Zeeman field (20)
nskyrmion = 1
4π
S ·
∂xS × ∂yS
dr (22)
Z(r) = 2
ℏ
(r) cos 2nϕ, (r) sin 2nϕ, δ
2
. (20) (22) is a measure of the winding of the spin texture, which dis-
tinguishes a skyrmion texture from that of the vacuum. is a measure of the winding of the spin texture, which dis-
tinguishes a skyrmion texture from that of the vacuum. If it equals 1 or −1 , a topological knot exists in the spin
texture [88, 89]. The ground-state spin texture at four
typical coupling strengths is presented in Fig. 4. At weak We find easily that the Raman-induced atom-light inter-
action effectively provides a spin-magnetic interaction
equivalent to that for a spin-half charged particle in a
space-dependent Zeeman field Z(r) . The diagonalization
of ˆHso simply gives the dressed spin states [10], i.e., If it equals 1 or −1 , a topological knot exists in the spin
texture [88, 89]. The ground-state spin texture at four
typical coupling strengths is presented in Fig. 4. At weak Peng et al. AAPPS Bulletin (2022) 32:36 Page 7 of 25 Peng et al. AAPPS Bulletin Fig. 4 Spin texture of the ground state of a SOAM-coupled system at different coupling strengths. The arrows point in the direction of the local
spin S , and the color represents the projection of the spin onto the z axis. The figure is adapted from Ref. 3.3 Artificial gauge field [46], as well as corresponding parameters
therein Fig. 4 Spin texture of the ground state of a SOAM-coupled system at different coupling strengths. The arrows point in the direction of the local
spin S , and the color represents the projection of the spin onto the z axis. The figure is adapted from Ref. [46], as well as corresponding parameters
therein (25)
A(r) ≡ζ+|iℏ∇|ζ+ = ℏ
2(cos θ −1)∇φ, (23)
|ζ+ =
cos (θ/2)
eiφ sin (θ/2)
, |ζ− =
−e−iφ sin (θ/2)
cos (θ/2) (25) and the scalar potential and the scalar potential with
eigenvalues
±ℏ|Z(r)|/2 ,
respectively,
and
tan 휙= tan 2n휑 and tan 휃= 2Ω(r)∕훿 , which determine the
orientation of the effective Zeeman field. It is obvi-
ous that |ζ± denotes the states that the pseudo-spin
of the atom aligns along or inversely to the direction
of the local Zeeman field. In the following, let us con-
sider the atom moves slowly in the space-dependent
Zeeman field Z(r) , and its pseudo-spin follows adi-
abatically one of the eigenstates of ˆHso , namely for
example |ζ+ . Then, the full wave function of the atom
can be written as |(r, t) = ψ+(r, t)|ζ+ , the evolu-
tion of which is governed by the Schrödinger equation
iℏ∂t|(r, t) = ˆH0|(r, t) under the Hamiltonian (15). Here, ψ+(r, t) is the spatial wave function characterizing
the center-of-mass motion of the atom in the internal
dressed state |ζ+ . By projecting the Schrödinger equa-
tion onto the internal dressed state |ζ+ , we obtain easily (26)
W(퐫) ≡ℏ2
2m
⟨휁−∇휁+
2
= ℏ2
8m
(∇휃)2 + sin2 휃(∇휙)2
. (26) It is obvious that Eq. (24) takes the same form as that for
a spin-half particle with a unit charge ( q = 1 ) [2]. The
effective magnetic field B(r) associated with A(r) is (27)
B(r) = ∇× A(r) = ℏ
2∇(cos θ) × ∇φ. 4 SOAM‑coupled Bose gasesh (31) The interatomic interaction plays a crucial role in inter-
acting many-body quantum systems. In this section,
we are going to introduce the ground-state quantum
phases of weakly-interacting Bose-Einstein conden-
sates (BECs) in the presence of SOAM coupling, within
the framework of the mean-field theory based on the
Gross-Pitaevskii (GP) equation. The interaction gives
rise to the appearance of a variety of intriguing angu-
lar stripe phases, which have not yet been observed in
current experiments. The possible theoretical scheme is
proposed for observing angular stripe phases in the 41 K
atomic gas with tunable interatomic interactions.hi where µ is the chemical potential, and the diagonal ele-
ment takes the form of Lσ ≡gσσnσ + g↑↓n¯σ (spin index
σ = ¯σ ). Thus, one can then determine the ground-state
wave function ψlz of the rotationally symmetric phases
at zero temperature by solving self-consistently this GP
equation. Nonetheless, to capture the exotic angular stripe phase
that does not possess a definite QAM, a variational
Ansatz with various angular momenta is adopted for the
condensate wave function in determining the ground
state with an energy-minimizing method [60].i The mean-field Hamiltonian of a weakly interacting
Bose gas in the presence of SOAM coupling takes the
form of In the realistic configuration of recent experiments [53,
55], the orbital angular momentum transferred by the
LG lasers is n = ±1 , giving rise to minima with the QAM
located at lz = ±1 , or 0 in the single-particle dispersion. Thus, the adopted variational Ansatz could be taken as (29)
ˆH =
dr
∗
↑, ∗
↓
ˆH0
↑
↓
+g↑↑
2
↑
4 + g↓↓
2
↓
4 + g↑↓
↑
2↓
2
, (29) (32)
(r) = αeiθαψ−1 + βeiθβψ0 + γ eiθγ ψ1, (32) with real weighting coefficients α, β, γ and the associated
phases θα , θβ , and θγ . In general, ψlz is the state with a def-
inite QAM lz , which can either be the single-particle state
or the one obtained by self-consistently solving the GP
equation (31) when the interaction is taken into account. Nonetheless, the latter is adopted here which contributes
a lower mean-field energy than the one from the single-
particle states particularly at low Rabi frequencies or at
relatively strong interactions [60]. 3.3 Artificial gauge field (27) Here, we should pay special attention to the difference
between the Zeeman field Z(r) and the effective magnetic
field B(r) : the Zeeman field Z(r) only lifts the degeneracy
of the bare spin states and does not affect the center-of-
mass motion of the atom, while B(r) is the magnetic field
experienced by the center-of-mass motion of the atom
when it moves in the presence of the atom-light interac-
tion and keeps staying in the internal dressed state |ζ+ . In the presence of Raman LG beams, the effective mag-
netic field B(r) takes the explicit form of Here, we should pay special attention to the difference
between the Zeeman field Z(r) and the effective magnetic
field B(r) : the Zeeman field Z(r) only lifts the degeneracy
of the bare spin states and does not affect the center-of-
mass motion of the atom, while B(r) is the magnetic field
experienced by the center-of-mass motion of the atom
when it moves in the presence of the atom-light interac-
tion and keeps staying in the internal dressed state |ζ+ . In the presence of Raman LG beams, the effective mag-
netic field B(r) takes the explicit form of iℏ∂ψ+
∂t
=
ˆP −A
2
2m
+ Vext + W + ℏ|Z|
2
ψ+. (28)
B(r) = nℏ
r
∂
∂r
δ/2
2(r) + δ2/4
ˆez, (28) (24) Two geometric potentials A and W emerge in addition to
the external trapping potential Vext and Zeeman energy which is perpendicular to the x −y plane and along the
z axis. |Z|/2 , which are respectively the vector potential [10] Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin Page 8 of 25 Page 8 of 25 (31)
ˆH0(ˆLz) + diag(L↑, L↓)
ψlz = µψlz , 4.1 Gross‑Pitaevskii theory and a variational approach When the interaction is taken into account, the non-
linearity may spontaneously break the rotational sym-
metry of the system. We can no longer assume that the
condensate possesses the definite QAM lz . The ground-
state solution of the GP equation is first attempted by
using a split-step imaginary time evolution [46]. Three
kinds of quantum phases are identified: two of them
still preserve the rotational symmetry as the many-
body analogs of the single-particle ground state, while
the third one is a newly emergent angular stripe phase,
which does not possess a definite QAM and breaks the
rotational symmetry.h 4 SOAM‑coupled Bose gasesh Therefore, the ground-
state wave function (r) is then determined from the
minimization of the mean-field energy in Eq. (29) with
respect to the variational parameters. It is worth men-
tioning that, three definite-QAM states are merely
sufficient here, regarding the recent experimental config-
uration with the transferred orbital angular momentum
n = ±1 [55]. One may need more definite-QAM states in
the variational Ansatz for larger n. where
ˆH0 is the single-particle Hamiltonian (17),
(r) ≡
↑(r), ↓(r)T is the spinor wave function
for the condensate, and gσσ ′ is the effective 2D intra-
( σ = σ ′ ) and inter-species ( σ = σ ′ ) interaction strength. 4.2 Typical ground‑state phases In detail, the
vortex-antivortex pair phase possesses a symmetric spec-
trum with a single phonon mode, see Fig. 6a. However,
the half-skyrmion phase breaks spontaneously the dou-
ble degeneracy in the single-particle dispersion and thus
has an excitation spectrum with a discrete roton-maxon
structure [60], as shown in Fig. 6b. Most interestingly,
owing to the spontaneous breaking of both the U(1)
gauge symmetry and the continuous rotational symme-
try, the excitation spectrum in the angular stripe phase densities being a Thomas-Fermi-like distribution and
a vortex (see the second column in Fig. 5). This phase
is magnetic, i.e., σz = 0 and σx = 0 , with a defi-
nite QAM at lz = −1 or 1 (i.e., α = 1, β = γ = 0 or
γ = 1, α = β = 0 ). The third and fourth ones are called
angular stripe phases shown by the peanut-like and halo-
like density profiles in the last two columns of Fig. 5. Both
of them have no definite lz with α = γ = 1/
√
2, β = 0
or α = γ = 0, β = 0 , and they have no magnetization
σz = 0 and σx = 0 . In addition, one can further inves-
tigate the elementary excitation spectrum to distinguish
these phases and then characterize the phase transitions. The spectrum of a SOAM-coupled Bose gas is discrete
due to the quantized angular momentum. In detail, the
vortex-antivortex pair phase possesses a symmetric spec-
trum with a single phonon mode, see Fig. 6a. However,
the half-skyrmion phase breaks spontaneously the dou-
ble degeneracy in the single-particle dispersion and thus
has an excitation spectrum with a discrete roton-maxon
structure [60], as shown in Fig. 6b. Most interestingly,
owing to the spontaneous breaking of both the U(1)
gauge symmetry and the continuous rotational symme-
try, the excitation spectrum in the angular stripe phase exhibits two gapless Goldstone modes [61], see Fig. 6c. A summary of the properties of these typical phases can
be found in Table 1. It should be noted that these phases
described above are based on recent experimental con-
figurations with small transferred angular momentum n,
and we use them for a brief illustration. 4.2 Typical ground‑state phases It is possible to
find more nontrivial phases such as other angular stripe
phases with superposition of large-angular-momentum
states under the condition of larger n [61, 63] or complex
vortex molecule states [62]. Among these typical ground-
state phases, the most intriguing one is the angular stripe
phase, which attracts intensive research attention and
will be discussed in detail in the following. 4.2 Typical ground‑state phases After solving self-consistently the GP equation in Eq. (31)
and minimizing the total energy in Eq. (29) with a con-
structed variational Ansatz, the ground-state wave func-
tion (r) can then be calculated and the phase diagram at
zero temperature is conveniently depicted for a weakly-
interacting SOAM-coupled Bose gas [60]. In general, four
distinct phases can be identified in the parameter space of
gσσ ′ and at a vanishing two-photon detuning δ = 0 . The
first is the vortex-antivortex pair phase which behaves as
a vortex, as shown by the first column in Fig. 5. It locates
at zero QAM lz = 0 (i.e., β = 1, α = γ = 0 ) with zero
magnetization σz = 0 and σx = −1 . The second one
is the half-skyrmion phase with two spin-component Therefore, apart from the angular stripe phase, one
may take the states with a definite QAM for the conden-
sates as a good starting point when taking into account
interactions. If the system or the condensate wave func-
tion preserves the axial symmetry, one may consider
the QAM lz as a good quantum number and adopt the
Ansatz for the condensate [60] (30)
ψlz (r) =
flz↑(r)
flz↓(r)
eilzϕ
√
2π
, (30) with the radial wave function flzσ , and substitute it into
the GP equation, Peng et al. AAPPS Bulletin (2022) 32:36 Page 9 of 25 densities being a Thomas-Fermi-like distribution and
a vortex (see the second column in Fig. 5). This phase
is magnetic, i.e., σz = 0 and σx = 0 , with a defi-
nite QAM at lz = −1 or 1 (i.e., α = 1, β = γ = 0 or
γ = 1, α = β = 0 ). The third and fourth ones are called
angular stripe phases shown by the peanut-like and halo-
like density profiles in the last two columns of Fig. 5. Both
of them have no definite lz with α = γ = 1/
√
2, β = 0
or α = γ = 0, β = 0 , and they have no magnetization
σz = 0 and σx = 0 . In addition, one can further inves-
tigate the elementary excitation spectrum to distinguish
these phases and then characterize the phase transitions. The spectrum of a SOAM-coupled Bose gas is discrete
due to the quantized angular momentum. 4.3 Exotic angular stripe phases [60, 61] Table 1 A table of the classification of the typical phases in a realistic SOAM-coupled 87Rb gas with the transferred angular
momentum n = −1 at vanishing two-photon detuning δ = 0 [55] a T , R and C2 denote the time-reversal symmetry, continuous, and twofold rotational symmetries, respectively
Vortex-antivortex pair phase
Half-skyrmion phase
Angular stripe phases
Reference
Spin polarizations
σz = 0 , σx = −1
σz = 0 , σx = 0
σz = 0 , σx = 0
[55, 60, 62]
Magnetization
Non-magnetic
Magnetic
Non-magnetic
[55, 60, 62]
Coefficients in Eq. (32)
β = 1
α = 1 or γ = 1
α = γ = 1/
√
2 or α, β, γ = 0
[60]
lz in Eq. (30)
0
1 or −1
Indefinite
[61–63]
ˆLz in ψlz ↑↓
(1, −1)
(2, 0) or (0, −2)
Indefinite
[61–63]
Symmetrya
T
T
[62]
Symmetry in n↑↓(n)
R(R)
R(R)
C2(C2) or
(C2)
[60]
Single-particle dispersion
Single minimum
Double degeneracy
Double degeneracy
[53, 55, 60, 61]
Excitation spectrum
Symmetric, single phonon
Asymmetric, roton structure
Symmetric, two phonons
[60, 61] T , R and C2 denote the time-reversal symmetry, continuous, and twofold rotational symmetries, respectively that of supersolid. Here, we have discussed two kinds of
angular stripe phases: phase (III), a superposition state
of two orbital-angular-momentum states ( lz = ±1 ), and
phase (IV), a superposition state of three orbital-angular-
momentum states ( lz = 0, ±1 ). Although experimental-
ists have achieved successfully most of the ground-state
quantum phases of a SOAM-coupled Bose gas, the non-
trivial angular stripe phase remains elusive in the labo-
ratory. There are two main obstacles. Firstly, the typical
energy scale of the SOAM coupling is about EL ∼1/R2
with the atomic cloud size R. To enhance the SOAM-
coupling effect to reach the regime of the angular stripe
phase, one needs to reduce the atomic size R which
decreases the perimeter of the cloud and instead pre-
sents fewer periods of density order in the angular direc-
tion. Secondly, recent experimental attempts are made
in a 87 Rb BEC. The critical Rabi frequency of the angu-
lar stripe phase is thus small due to the tiny difference to the long-sought supersolid phase in solid Helium
since the 1960s [65], i.e., a rigid, spatially ordered solid
that flows like a fluid without friction. 4.3 Exotic angular stripe phases In the past decade, an exotic phase of matter has attracted
tremendous attention in ultracold quantum gases, i.e.,
namely the stripe phase, which breaks spontaneously
U(1) gauge symmetry and spatial translational symme-
try [56, 97–99]. As a consequence, quantum gases will
exhibit a superfluid behavior and meanwhile show a peri-
odic modulation in the density distribution. These coun-
terintuitive features associate closely this nontrivial phase Fig. 5 (Top three panels) Typical spin-component, total density profiles in four distinct phases. (Bottom panel) In a–d, the corresponding angular
density-density correlation function 1 −g(2)(θ) is shown. The results for spin-up, spin-down, and total density are indicated by circles, crosses, and
solid lines, respectively. Here, I is for the vortex-antivortex pair phase, II is for the half-skyrmion phase, and III and IV are for angular stripe phases. Adapted from Ref. [60] Fig. 5 (Top three panels) Typical spin-component, total density profiles in four distinct phases. (Bottom panel) In a–d, the corresponding angular
density-density correlation function 1 −g(2)(θ) is shown. The results for spin-up, spin-down, and total density are indicated by circles, crosses, and
solid lines, respectively. Here, I is for the vortex-antivortex pair phase, II is for the half-skyrmion phase, and III and IV are for angular stripe phases. Adapted from Ref. [60] Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin Page 10 of 25 Fig. 6 Excitation spectrum as a function of the quasi-angular momentum l of Bogoliubov quasiparticles in three typical ground-state phases, i.e., a
vortex-antivortex pair phase, b half-skyrmion phase, and c angular stripe phase. The figures are remade based on data in Refs. [60, 61] Fig. 6 Excitation spectrum as a function of the quasi-angular momentum l of Bogoliubov quasiparticles in three typical ground-state phases, i.e., a
vortex-antivortex pair phase, b half-skyrmion phase, and c angular stripe phase. The figures are remade based on data in Refs. 4.3 Exotic angular stripe phases Whether such a
superfluid state can exist remains unclear for more than
50 years until the seminal breakthroughs using ultracold
atoms. In 2017, two groups from ETH Zurich and MIT
created successfully an ultracold quantum gas featuring
supersolid properties using Bose-Einstein condensates
with optical cavities or spin-orbit coupling [100, 101]. Later in 2019, three independent groups from Stuttgart,
Florence, and Innsbruck observed supersolidity using
dipolar quantum gases of lanthanide atoms (i.e., 162Dy, 164
Dy, and 166Er) without any external optical lattice [102–
104], and very recently one of them extended successfully
into two dimensions [105]. In the presence of SOAM coupling, several kinds
of angular stripe phases are theoretically predicted as
introduced above, which take the analogous behavior as Peng et al. AAPPS Bulletin (2022) 32:36 Page 11 of 25 Page 11 of 25 between the intra- and inter-species interactions. As a
consequence, the period of stripes becomes so small that
the stripes show too low contrast and visibility, which
makes them hard to be detected.h density-density correlation for both spin components
as well as the total one, as shown in Figs. 5c and d. This
hallmark feature might be useful in directly probing the
existence of the angular stripes in future experiments
with ultracold atoms. The interatomic interaction is one of the crucial fac-
tors to affect the parameter space of angular stripe phases
as well as the visibility. This is quite similar to the situa-
tion when concerning the stripe phase in a SO-coupled
Bose gas [56]. The stripe phase prefers the region where
the inter-species interaction is pretty smaller than the
intra-species interaction. To this end, 41 K atomic gases
provide a promising candidate for exploring angular
stripe phases with tunable interactions according to
the Feshbach resonance centered at the magnetic field
B0 = 51.95 G [60]. Near the Feshbach resonance, the
intraspecies scattering lengths are approximately con-
stant, and the interspecies one can be tuned in a wide
range [106, 107]. By setting typical realistic parameters,
the phase diagram is determined and the angular stripe
phases can occupy a relatively large parameter space, as
shown in Fig. 7. 4.3 Exotic angular stripe phases An angular density-density correlation
function
g(2)
i
(θ) ≡
2π
0
ni(ϕ)ni(ϕ + θ)dϕ/
2π
0
n2
i (ϕ)dϕ
can be introduced to estimate the visibility in density
profile, with the angular density ni(ϕ) =
∞
0
rdrni(r, ϕ) ,
and the label i =↑, ↓ for each spin component and null
for the total density. In contrast to other phases, the
novel angular stripe phases break the rotational sym-
metry and exhibit spatial density modulation in the
angular direction. Two angular stripe phases feature con-
siderable spatial modulation and contrast in the angular There are also other theoretical attempts and develop-
ments emphasizing the angular stripe phases in SOAM-
coupled Bose gases. For example, by utilizing LG beams
with higher-order orbital angular momenta, it is shown
that angular stripe phases can be achieved in a wide win-
dow of experimentally accessible parameters with high
visibility contrast [63, 66]. Besides, A number of distinct
quantum phases are identified according to the symme-
try analysis, and a complex vortex molecule state is dis-
covered, which plays an important role in the continuous
phase transitions [62]. For a ring-shaped BEC in the pres-
ence of SOAM coupling, the fine structures of angular
stripe phases are explored [64]. 5.1 Pairing physics under SOAM coupling It is well known that a two-component spin-balance
Fermi gas becomes unstable in the presence of an arbi-
trary small attractive interaction. The resulting insta-
bility gives rise to a Bardeen-Cooper-Schrieffer (BCS)
ground state with zero center-of-mass momentum. It is
also well accepted that in a Fermi superfluid with spin-
imbalance or Zeeman fields, exotic pairing states emerge,
for instance, Fulde-Ferrell and Larkin-Ovchinnikov
states [108, 109], where the former pairing state carries
finite center-of-mass momentum and the latter oscil-
lates both in coordinate and momentum spaces, whereas
these novel states are only stable in a very small param-
eter region, which is one of the reasons for the exclu-
siveness of their experimental observations. However,
the experimental achievement of SO coupling in cold
atoms offers a new platform to pursue these long sought-
after states. For instance, the interplay of SO coupling,
Zeeman fields and interactions provides an alternative
mechanism to induce Fulde-Ferrell-Larkin-Ovchinnikov
(FFLO) states [68–74]. Besides SO-coupling-induced
FFLO states, topological band structures become acces-
sible under SO coupling [39, 40, 110–112], which lays the
fertile ground for topological superfluid–for instance,
aided by the Zeeman fields and interactions, a topological
superfluid emerges in a 2D Fermi gas under the Rashba-
type SO coupling [113–119]. f
It is helpful for understanding the mechanism of vor-
tex formation by analysis of the single-particle properties
before moving to the many-body calculation. Figure 8c
and d illustrate the impact of the two-photon detun-
ing δ on the single-particle spectrum. At the resonance
with δ = 0 , the time-reversal symmetry gives rise to
Em,n = E−m,n , whereas away from the resonance at finite
δ , the breaking of the time-reversal symmetry results in a
deformation of the Fermi surface. In the many-body set-
ting when the attractive interaction is taken into account,
pairing predominantly occurs between unlike spins with
the same radial quantum number n to maximize the
overlap of radial wave functions. Thus, for the symmetric
eigenspectrum under δ = 0 , it is more favorable for two
fermions with opposite angular quantum numbers (m
and −m ), forming a Cooper pair with a zero total angular
momenta. In contrast, under a finite δ with asymmetric
eigenspectrum, the two fermions in a Cooper pair may
possess different values of |m|, leading to a pairing state
with a nonzero quantized angular momentum, which is
the so-called vortex state. 5 SOAM‑coupled Fermi gasesh The pairing mechanism plays a crucial role in the Fermi
superfluid. While it is shown that the SOAM coupling
leads to the spin-dependent vortex formation in Bose-
Einstein condensates, SOAM coupling alone does not
induce vortices in a Fermi superfluid, since fermions in
a Cooper pair would acquire opposite orbital angular
momenta that cancel each other, yielding a superfluid
devoid of vortices. In this section, we are going to discuss
the unique features of SOAM-coupled Fermi superfluid
at zero temperature, with emphasis on two exotic pairing Fig. 7 A typical phase diagram in the δ- plane of a SOAM-coupled 41 K gas with inter- and intra-species interactions modulated by the Feshbach
resonance technique. The color indicates the expectation value of spin magnetization ⟨σz⟩ in the condensate wave function determined by a
variational approach. The magenta diamonds indicate the regime of angular stripe phase III determined by another imaginary-time propagation
method (itpm). The green crosses indicate the selected positions for four distinct phases in Fig. 5, respectively. Here, the Roman numbers stand for
the same phases as those in Fig. 5. Adapted from Ref. [60] Fig. 7 A typical phase diagram in the δ- plane of a SOAM-coupled 41 K gas with inter- and intra-species interactions modulated by the Feshbach
resonance technique. The color indicates the expectation value of spin magnetization ⟨σz⟩ in the condensate wave function determined by a
variational approach. The magenta diamonds indicate the regime of angular stripe phase III determined by another imaginary-time propagation
method (itpm). The green crosses indicate the selected positions for four distinct phases in Fig. 5, respectively. Here, the Roman numbers stand for
the same phases as those in Fig. 5. Adapted from Ref. [60] Peng et al. AAPPS Bulletin (2022) 32:36 Page 12 of 25 states, i.e., SOAM-coupling-induced vortex and topologi-
cal superfluid states. states, i.e., SOAM-coupling-induced vortex and topologi-
cal superfluid states. inhomogeneous Raman coupling (r) , two-photon
detuning δ , and a phase winding e−2ilϕ . Here, the polar
coordinate r = (r, ϕ) is taken. After a unitary transfor-
mation, the effective single-particle Hamiltonian again
reduces to Eq. (17). As we can see that the Raman cou-
pling (r) and two-photon detuning δ serve as effective
transverse and longitudinal Zeeman fields, respectively,
which play crucial roles in stabilizing vortices. Differ-
ent from the LG Raman beams used in previous experi-
ments [53, 55], Chen et al. 5 SOAM‑coupled Fermi gasesh propose Raman coupling as
(r) = 0e−2r2/w2 [66], with 0 the peak intensity and
w the beam waist, which can be experimentally real-
ized [120]. Such a choice of the Raman beams is mainly
on the basis that the LG Raman beams used in current
experiments are suppressed over a considerable region
near r = 0 , giving rise to an almost vanishing spin mix-
ing effect in the vicinity, which is unfavorable for vortex
formation essentially. Here, Raman lasers are assumed to
operate at the tune-out wavelength [55, 83, 84], leading to
a vanishing diagonal ac-stark potential that is consistent
with the experiment [55]. The external potential Vext(r) is
chosen as an isotropic hard-wall box trap with a radius R,
which offers a natural boundary. 5.1 Pairing physics under SOAM coupling Such a mechanism for the vor-
tex formation is analogous to that of the SO-coupling-
induced Fulde-Ferrell states, where the interplay between
SO coupling and Zeeman fields gives rise to the deforma-
tion of Fermi surfaces with broken time-reversal symme-
try in the momentum space [70–74]. Intuitively, SOAM coupling as an angular analog of the
conventional SO coupling, two novel pairing states can
be expected. One is the SOAM-coupling-induced pair-
ing state with finite quantized angular momenta, which
is nothing but a vortex state. The other is the SOAM-
coupling-induced angular topological superfluid state,
the analog of the topological superfluid state in a one-
dimensional lattice gas under a one-dimensional SO cou-
pling, where quantized angular momenta in the former
play the role of discretized linear momenta of the latter. In this review, whether the above two expectational pair-
ing states, i.e., SOAM-coupling-induced vortex and topo-
logical superfluid states, could be stabilized is clarified. In
the following, the former issue will be addressed in Sec-
tion 5.2 and the latter in Section 5.3. 5.2 SOAM‑coupling‑induced vortex states As illustrated in Fig. 8, a two-component Fermi gas is
confined in the x −y plane, where the two ground states
are labeled by ↑ and ↓ , respectively. The two-photon
Raman process is driven by two copropagating Raman
beams carrying different orbital angular momenta −l1ℏ
and −l2ℏ [see Fig. 8a, b] and is characterized by the Chen et al. confirm the above analysis by solving the
many-body problem under the Bogoliubov–de Gennes
(BdG) formalism [66]. Specifically, the order parame-
ter is written in the form of (r) = (r)eiκϕ , where the Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin Page 13 of 25 Fig. 8 a SOAM coupling in atoms induced by a pair of copropagating Raman beams carrying different orbital angular momenta ( −l1ℏ and −l2ℏ ),
with a transferred angular momentum 2lℏ= (l1 −l2)ℏ . b Schematic illustration of the level scheme. c, d Single-particle energy spectra under
SOAM coupling for δ = 0 (c), and δ/EF = 0.4 (d) with EF = ℏ2k2
F /(2M) the Fermi energy and kF the Fermi vector. Black dashed lines denote potential
Fermi surfaces in a many-body setting. Adapted from Ref. [66] Fig. 8 a SOAM coupling in atoms induced by a pair of copropagating Raman beams carrying different orbital angular momenta ( −l1ℏ and −l2ℏ ),
with a transferred angular momentum 2lℏ= (l1 −l2)ℏ . b Schematic illustration of the level scheme. c, d Single-particle energy spectra under
SOAM coupling for δ = 0 (c), and δ/EF = 0.4 (d) with EF = ℏ2k2
F /(2M) the Fermi energy and kF the Fermi vector. Black dashed lines denote potential
Fermi surfaces in a many-body setting. Adapted from Ref. [66] vorticity κ = 0 ( κ = 0 ) indicates the superfluid (vortex)
state. With different κ ∈Z , the BdG equation and (r)
are solved self-consistently with a fixed particle number. The ground state is then determined by comparing the
free energies of vortex states with different κ , the usual
superfluid state ( κ = 0 ), and the normal state ( = 0). deformation of the Fermi surface under SOAM cou-
pling and effective Zeeman fields. 5.2 SOAM‑coupling‑induced vortex states Peng et al. AAPPS Bulletin (2022) 32:36 Page 14 of 25 Fig. 9 a Phase diagram of a two-dimensional Fermi superfluid with SOAM coupling in the 0-δ plane. The phase diagram includes the usual
superfluid state with κ = 0 , the normal state with = 0 , and two vortex states with κ = −1 : a fully gapped vortex states (V1) and a gapless vortex
state (V2). b, c Free energies F of the superfluid ( κ = 0 ; red dashed), vortex ( κ = −1 ; blue solid), and normal (black dotted) states as functions of δ ,
with 0/EF = 2 (b) and 0/EF = 0.5 (c). Adapted from Ref. [66] Fig. 9 a Phase diagram of a two-dimensional Fermi superfluid with SOAM coupling in the 0-δ plane. The phase diagram includes the usual
superfluid state with κ = 0 , the normal state with = 0 , and two vortex states with κ = −1 : a fully gapped vortex states (V1) and a gapless vortex
state (V2). b, c Free energies F of the superfluid ( κ = 0 ; red dashed), vortex ( κ = −1 ; blue solid), and normal (black dotted) states as functions of δ ,
with 0/EF = 2 (b) and 0/EF = 0.5 (c). Adapted from Ref. [66] Fig. 10 Order parameter profiles for kFw = 5 (blue solid), kFw = 10
(black dashed), and kFw = 15 (red dash-dotted). We fix δ/EF = 0.84
and kFR = 15 . Adapted from Ref. [66] temperature [122], which leads to the exclusiveness of
SOAM-coupling-induced novel states. Instead, concern-
ing the persistence of dressed molecules above the criti-
cal temperature in Fermi gases with SO coupling [19,
79], it is reasonable to expect that molecular states in a
SOAM-coupled Fermi gas should be readily accessi-
ble under typical experimental conditions. Based on the
above consideration, Han et al. studied the two-body
bound states in a SOAM-coupled quantum gas of fermi-
ons very recently [80]. They identify the condition for the
emergence of molecular states with finite total angular
momenta and propose to detect the molecules according
to the radio-frequency spectroscopy. As the molecular
states can form above the superfluid transition tempera-
ture, Han et al. offer an experimentally more accessible
route toward the study of the underlying pairing mecha-
nism under SOAM coupling. Fig. 5.2 SOAM‑coupling‑induced vortex states This originates from
the quantized nature of the angular momentum, and
is on the sharp contrary to the SO-coupling-induced
Fulde-Ferrell state which carries a nonzero, continu-
ously varying center-of-mass momentum in the pres-
ence of SO coupling and Zeeman fields [68–74]. l
As shown in Fig. 9a, Chen et al. give a typical phase
diagram of the system with SOAM coupling in the 0
–δ plane. For δ > 0 ( δ < 0 ), vortex states with κ = −1
( κ = 1 ) emerge, with the phase boundaries unchanged
to the sign of δ . At small 0 and δ , the ground state is a
usual superfluid (SF) with a zero vorticity κ = 0 . Under
sufficiently large 0 and/or δ , the free-energy difference
between the SF and normal (N) states becomes van-
ishingly small and hence the system enters the normal
state. Remarkably, two vortex states emerge between
SF and N states. For example, with a fixed 0/EF = 1.5
[see Fig. 9a], the ground state is in the SF state under
small detunings δ , and becomes a fully gapped vortex
state (V1) beyond a critical value of δ . Further increase
of δ gives rise to a gapless vortex state (V2), whose bulk
excitation gap closes. In Figs. 9b, c, free energies of
different states are compared, as the phase diagram is
traversed. Especially, for the case with 0 = 0.5EF , the
ground state remains vortexless for finite δ , despite the gi
Remarkably, as illustrated in Fig. 10, the SOAM-
induced vortex state features a giant and tunable vor-
tex-core size, similar to that in a BEC interacting with
a microwave field [121]. The vortex-core size, charac-
terized by variations of the order parameter, is com-
parable to the waist w of LG beams. Compared to the
conventional vortex states in atomic Fermi superfluids,
where changes in the vortex-core structure predomi-
nantly take place within a short length scale set by the
interatomic separation [75, 76], these SOAM-coupling-
induced vortex states, with tunable size and core struc-
ture, provide unprecedented experimental access to
topological defects in Fermi superfluids. l
Different from Chen et al.’s configuration, Wang et al. investigate a similar vortex-forming scheme under
SOAM coupling [67]. Most strikingly, they predict that an
unprecedented vortex state, which is an angular analog of
SO-coupling-induced Larkin-Ovchinnikov state, to occur. 5.2 SOAM‑coupling‑induced vortex states 10 Order parameter profiles for kFw = 5 (blue solid), kFw = 10
(black dashed), and kFw = 15 (red dash-dotted). We fix δ/EF = 0.84
and kFR = 15 . Adapted from Ref. [66] 5.3 SOAM‑coupling‑induced topological states Nevertheless, for the inevitable heating introduced
by the Raman process, it is difficult to cool a realistic
Fermi gas with SOAM coupling below the superfluid As discussed in Section 5.1, it is expected that SOAM
coupling can induce a topological superfluid with the help
of Zeeman fields and interactions, while implementation Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin (2022) 32:36 Page 15 of 25 of SOAM coupling relies on the spatial dependence of
the LG beams, which gives rise to the dimensionality
of atomic gases must higher than one, whereas it is also
realized that the Fermi superfluid becomes gapless and
losses its topological features when its spatial dimension-
ality higher than that of SO coupling [70, 123], such that
the one-dimensional nature of the SOAM coupling (cou-
pling only occurs along the azimuthal direction) imposes
a stringent constraint on the stability of an angular topo-
logical superfluid. Whether such a topological superfluid
can also be stabilized under SOAM coupling should be
verified. It is shown that the stability of a fully gapped
angular topological superfluid survives the constraint
above, provided that the radial motion of atoms is suf-
ficiently suppressed and then the topological gap is not
closed [78].hl scenario occurs when the trap depth χ0 is so large that
the radial excitation energy ( ∼
|χ0|ℏ2/(mw2) ) becomes
much larger than any other relevant energy scales of the
system. The atoms are then localized near r0 =
l/2w in
the radial direction and the system reduces to an effective
one-dimensional model along the angular direction. The above analysis is confirmed through the BdG
approach [78]. As illustrated in Fig. 11, Chen et al. show
the Bogoliubov quasiparticle spectrum in a sufficiently
deep ac-stark potential with χ0/ǫ0 = −8 in the unit of
energy ǫ0 = π2ℏ2/(2Mr2
0) . For the case with δ = 0 , the
ground state always emerges at κ = 0 . Here, consist-
ent with Section 5.2, the vorticity κ = 0 ( κ = 0 ) denotes
the superfluid (vortex) state. By increasing the coupling
strength 0 , the Bogoliubov spectrum undergoes a gap-
closing and re-opening process, reminiscent of that of
a topological phase transition. Specifically, the Bogo-
liubov quasiparticle excitation is fully gapped under
small 0 [Fig. 11a], and then becomes gapless at a criti-
cal c
0/ǫ0 ≈0.18 [Fig. 5.3 SOAM‑coupling‑induced topological states 11b], and finally is again fully
gapped for further increasing 0 [Fig. 11(c)]. The process
of gap closing and re-opening is further demonstrated
as a topological phase transition by calculating the Zak
phase of the one-dimensional effective Hamiltonian [78]. Besides, it is also demonstrated that the angular topo-
logical superfluid is stabilized when the ac-stark potential
becomes sufficiently large. The survival of the angular topological superfluid
can be understood through the following analysis. As
shown in Eq. (17), the Raman coupling and the diagonal
ac-stark potential can be written as (r) = 0I(r) and
χ(r) = χ0I(r) , consistent with configurations of cur-
rent experiments on SOAM coupling [53, 55]. Here, 0
is the effective SOAM-coupling strength, χ0 is the trap-
ping strength of the diagonal ac-stark potential, and
I(r) = (
√
2r/w)2le−2r2/w2 is the spatial intensity profile
of LG lasers, with w the beam waist. Different from the
SOAM-induced vortex state in Section 5.2, here, χ(r)
provides an extra confinement potential, which plays
an important role in stabilizing the topological super-
fluid. For a confinement that is sufficiently tight along
the radial direction, the radial degrees of freedom of the
atoms are frozen, and the remaining quantized angular
motion is then well-captured by an effective one-dimen-
sional model with discretized modes. Intuitively, such a fi
Building upon the topological superfluid state above,
an exotic topological vortex state can be induced by
taking the two-photon detuning δ into account, which
deforms the Fermi surface. As shown in Fig. 12a–c, the
free energy is generically asymmetric with respect to
κ = 0 at a finite δ . The asymmetry becomes more appar-
ent with increasing 0 , until the ground-state order Fig. 11 Bogoliubov spectra of the Fermi superfluid under SOAM coupling, with a vanishing two-photon detuning δ = 0 , and an increasing 0 : a
0/ǫ0 = 0.15 , b 0/ǫ0 = 0.18 , and c 0/ǫ0 = 0.2 . Adapted from Ref. [78] Fig. 11 Bogoliubov spectra of the Fermi superfluid under SOAM coupling, with a vanishing two-photon detuning δ = 0 , and an increasing 0 : a
0/ǫ0 = 0.15 , b 0/ǫ0 = 0.18 , and c 0/ǫ0 = 0.2 . Adapted from Ref. [78] Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. 6 Experiment achievementsh The SOAM coupling has been achieved in 87 Rb Bose gases
independently by two experiment groups [53–55], follow-
ing the earlier theoretical proposals [46–48]. The Zeeman
sublevels of the ground hyperfine manifold |F = 1 ⟩ are cou-
pled by a pair of copropagating LG beams according to a
Raman transition. It leads to an orbital angular momentum
change of atoms during the transition between the ground
Zeeman states, which play the role of spin. The realiza-
tion of SOAM coupling in cold atoms has recently been
reported in a spin-1 87 Rb BEC [53], in which the atoms
are loaded into the middle-energy state of three Raman-
dressed states. The correlations between spin and orbital
angular momentum in this Raman-dressed state are con-
firmed. Then, the ground-state quantum phase transitions
are observed in the same bosonic system [54], known as
the Hess-Fairbank effect [124, 125]. Meanwhile, the SOAM
coupling was also demonstrated in an effective spin-half
atomic gas [55], following a similar Raman scheme. The
ground-state phase diagram is comprehensively studied,
and the first-order phase transitions are identified. In the In addition, the topological vortex leaves a direct signa-
ture in the angular-momentum-space density profile, as
illustrated in Fig. 12d–f. The density profile of the minor-
ity spin species exhibits a dip close to κ/2 only in the top-
ological vortex state [Fig. 12f], since the spin polarization
in the vortex state is a direct result of the two-photon
detuning, which plays the role of an effective Zeeman
field. Similar signatures have been identified in the topo-
logical Fulde-Ferrell state under SO coupling. The origin of angular topological superfluid comes
from the interplay of interactions, Zeeman fields, and
SOAM couplings. As topological superfluids are believed
to host Majorana zero modes at boundaries, once a Fig. 12 a–c Free energies of pairing states as functions of κ , with a fixed two-photon detuning δ/ǫ0 = −1.6 . The insets show the phase of the order
parameter. Here, F0 denotes the ground-state free energy. d–f Density distribution of the ground state in the angular-momentum space, where we
define n0 = N/(πr2
0) . Here, the blue solid (red dashed) curve denotes the density distribution of spin-up (spin-down) component. a, d and b, e are
the vortexless superfluid states with 0/ǫ0 = 0.1 and 0.16, respectively. c, f is a topological vortex state with 0/ǫ0 = 0.18 . Adapted from Ref. 5.3 SOAM‑coupling‑induced topological states AAPPS Bulletin (2022) 32:36 Page 16 of 25 boundary is created, for instance, by shining a strong
laser beam to break the ring geometry of the ac stark
potential, Majorana zero modes should be observed. parameter eventually acquires a finite phase with κ = 0 . Intriguingly, such a transition into the vortex state is
topological. As demonstrated in [78], while the Fermi-
surface deformation is manifested as the asymmetric
spectral shape with respect to m = 0 , the closing and re-
opening of the energy gap persist. Indeed, after the gap
is reopened, the angular momentum of the ground state
jumps from κ = 0 to κ = 1 . The ground state simulta-
neously becomes topological, which is confirmed by
the Zak-phase calculation. Conceptually, such an exotic
topological vortex state is the angular version of the
topological Fulde-Ferrell state under the conventional
SO coupling [71–74]. 6 Experiment achievementsh [78] Fig. 12 a–c Free energies of pairing states as functions of κ , with a fixed two-photon detuning δ/ǫ0 = −1.6 . The insets show the phase of the order
parameter. Here, F0 denotes the ground-state free energy. d–f Density distribution of the ground state in the angular-momentum space, where we
define n0 = N/(πr2
0) . Here, the blue solid (red dashed) curve denotes the density distribution of spin-up (spin-down) component. a, d and b, e are
the vortexless superfluid states with 0/ǫ0 = 0.1 and 0.16, respectively. c, f is a topological vortex state with 0/ǫ0 = 0.18 . Adapted from Ref. [78] Peng et al. AAPPS Bulletin (2022) 32:36 Page 17 of 25 follows, we are going to introduce the main achievements
in these experiments. |mF = 0 to |mF = −1 ( |mF = +1 ). Therefore, the vor-
tex structures are anticipated in the bare hyperfine states
|mF = ±1 . The Raman-dressed state |ξ0 is conveniently
characterized by the QAM lz = 0 in the rotating frame,
and the angular momenta of bare hyperfine states in
the laboratory frame are, respectively, lmF =0 = lz and
lmF =±1 = lz ∓1.hi In the experiment of Lin’s group [53], the three hyperfine
states of the ground-state manifold |F = 1, mF = 0, ±1
of 87 Rb atoms are coupled by a pair of Raman beams as
illustrated in Fig. 13, one of which is an LG beam carry-
ing orbital angular momentum l = 1 . The center-of-mass
angular momentum of atoms changes during the transi-
tion between different hyperfine states. This effectively
produces a light-induced effect of a spin |F| = 1 particle
moving in a magnetic Zeeman field eff , which results in
a SOAM coupling after a local spin rotation. In the experi-
ment, the BEC is initially prepared in the bare hyperfine
state |mF = −1 , and then is transferred to |mF = 0 . After
slowly switching on the Raman fields, the atoms are adi-
abatically loaded into the Raman-dressed polar state |ξ0
with F = 0 , the middle-energy eigenstate of eff· F with
the form of [126] The vortex structures in the bare hyperfine states could
be probed according to a Stern-Gerlach scheme after a
time-of-flight (TOF) expansion by simultaneously turning
off the Raman beams and external trap. 6 Experiment achievementsh The density pro-
file of bare hyperfine components |mF after 24 ms TOF
with holding time 1 ms are presented in Fig. 14a for differ-
ent Raman detunings, as well as the corresponding total
density profile (or optical density) presented in Fig. 14b. It
is easily found that the |mF = 0 component carries zero
angular momentum, while the |mF = ±1 components
carry the same magnitude of angular momentum indi-
cated from their same hole sizes. The interference pattern
between |mF = ±1 components shown in Fig. 14c implies
that they carry the opposite rotation directions of vortices
with angular momentum l = ∓1. (33)
|ξ0 = −eiϕ sin β
√
2
|−1 + cos β|0 + e−iϕ sin β
√
2
|+1 (33) in the bare hyperfine basis |mF = 0, ±1 , where
β(r) = arctan [(r)/δ] is the polar angle of the light-
induced magnetic Zeeman field eff . Here, (r) is the
Raman-coupling strength and δ is the Raman detuning. After the adiabatic loading, one easily finds a correlation
between the atom spin (hyperfine state) and its orbital
angular momentum: the atoms acquire an orbital angular
momentum l = 1 ( l = −1 ) when transitioning from While the SOAM coupling is demonstrated according to
adiabatically loading atoms into the middle-energy Raman-
dressed state |ξ0 , the effective light-induced gauge poten-
tial in this dressed state is zero, i.e., A0 = 0 [53], which
leads to a vanishing magnetic field experienced by atoms,
i.e., B = ∇× A0 . Subsequently, Lin’s group further reports
the realization of non-zero gauge potential with SOAM
coupling by adiabatically loading atoms into the Raman-
dressed state |ξ−1 , the lowest-energy eigenstate of eff· F
[54, 126], Fig. 13 The schematic of energy-level diagram of Raman transition
in [53]. 6 Experiment achievementsh The hyperfine states of the ground-state manifold |F = 1 of
87 Rb atoms are coupled by a pair of Raman beams, in which one is
a LG beam denoted by “LG” and the other one is a Gaussian beam
denoted by “G.” Here, δ is the Raman detuning that is tunable in the
experiment, and ωq ≈2π × 50 Hz is the quadratic Zeeman shift (34)
|ξ−1 = ei(θ+γ )
eiϕ
2 (1 −cos β)|−1 −sin β
√
2
|0
+e−iφ
2 (1 + cos β)|+1
, (34) where θ + γ is the phase introduced by a gauge transfor-
mation. Then, an azimuthal gauge potential is induced by
SOAM coupling, taking the form of A−1 = (ℏ/r) cos β
under the choice of θ + γ = 0 , which gives rise to an
effective magnetic field experienced by atoms. The
magnetic flux through the atomic cloud can be tuned
via the Raman detuning δ . This leads to a phase transi-
tion of the SOAM-coupled ground state from one to
another QAM. In the experiment [54], it is demon-
strated that the QAM of the ground state changes from
lg = ±1 to 0 as the Raman detuning |δ| continuously
decreases. The phase transition occurs at the critical
Raman detuning |δ| ≈2π × 210 Hz as shown in Fig. 15a. At a detuning below the critical value, i.e., δ = 2π × 50
Hz, the system stays at the ground state with QAM Fig. 13 The schematic of energy-level diagram of Raman transition
in [53]. The hyperfine states of the ground-state manifold |F = 1 of
87 Rb atoms are coupled by a pair of Raman beams, in which one is
a LG beam denoted by “LG” and the other one is a Gaussian beam
denoted by “G.” Here, δ is the Raman detuning that is tunable in the
experiment, and ωq ≈2π × 50 Hz is the quadratic Zeeman shift Peng et al. AAPPS Bulletin (2022) 32:36 Page 18 of 25 Peng et al. AAPPS Bulletin Fig. 14 Demonstration of SOAM coupling in 87 Rb BEC adiabatically loaded into the Raman-dressed state |ξ0 . The images are taken after 24 ms
TOF with holding time 1 ms. a The density profiles of bare hyperfine components |mF for different Raman detunings. 6 Experiment achievementsh The blue, red, and green
curves are experimental data for |0 , |+1 , and |−1 components, respectively. The black dashed (dash-dotted) curve denotes the predictions from
Eq. (33) magnified by 9.1 in the radial position for |0 ( |±1 ), while the colored dashed curves are the full numerical simulations of TOF from 3D
time-dependent Schördinger equation. b Radial cross section of the total optical density. Colored solid and dotted (black dashed) curves indicate
the experimental data (TOF simulation at δ = 0 ). c Interference pattern between |±1 components at δ = 0 . Adapted from Ref. [53] Fig. 14 Demonstration of SOAM coupling in 87 Rb BEC adiabatically loaded into the Raman-dressed state |ξ0 . The images are taken after 24 ms
TOF with holding time 1 ms. a The density profiles of bare hyperfine components |mF for different Raman detunings. The blue, red, and green
curves are experimental data for |0 , |+1 , and |−1 components, respectively. The black dashed (dash-dotted) curve denotes the predictions from
Eq. (33) magnified by 9.1 in the radial position for |0 ( |±1 ), while the colored dashed curves are the full numerical simulations of TOF from 3D
time-dependent Schördinger equation. b Radial cross section of the total optical density. Colored solid and dotted (black dashed) curves indicate Fig. 14 Demonstration of SOAM coupling in 87 Rb BEC adiabatically loaded into the Raman-dressed state |ξ0 . The images are taken after 24 ms
TOF with holding time 1 ms. a The density profiles of bare hyperfine components |mF for different Raman detunings. The blue, red, and green
curves are experimental data for |0 , |+1 , and |−1 components, respectively. The black dashed (dash-dotted) curve denotes the predictions from
Eq. (33) magnified by 9.1 in the radial position for |0 ( |±1 ), while the colored dashed curves are the full numerical simulations of TOF from 3D
time-dependent Schördinger equation. b Radial cross section of the total optical density. Colored solid and dotted (black dashed) curves indicate
the experimental data (TOF simulation at δ = 0 ). c Interference pattern between |±1 components at δ = 0 . Adapted from Ref. [53] lg = 0 . The corresponding mechanical angular momenta
of bare hyperfine states |mF are lmF = (1, 0, −1) for
mF = (+1, 0, −1) in the laboratory frame. 6 Experiment achievementsh The solid and dashed lines
are the calculations for the ideal case and that including the detuning noise in the experiment. Then, density profiles of bare hyperfine states at
δ/2π = 50 and 400Hz are displayed, corresponding to the QAMs lg = 0 and 1, respectively. b Schematic of the spin textures at δ > 0 , where the
arrows show the direction of the transverse spin
⟨Fx⟩,
Fy
. Adapted from Ref. [54] Fig. 15 a Observation of the phase transition of the SOAM-coupled ground state between
lg
= 1 and lg = 0 states. The solid and dashed lines
are the calculations for the ideal case and that including the detuning noise in the experiment. Then, density profiles of bare hyperfine states at
δ/2π = 50 and 400Hz are displayed, corresponding to the QAMs lg = 0 and 1, respectively. b Schematic of the spin textures at δ > 0 , where the
arrows show the direction of the transverse spin
⟨Fx⟩,
Fy
. Adapted from Ref. [54] The spin-resolved density profiles are presented in
Fig. 17 across different phase boundaries. To confirm
the formation of vortices that the circular structures
of atom clouds carry angular momenta, a resonant
radio-frequency (rf) pulse is applied that transfers the
atoms between internal Zeeman hyperfine states |↑ and
|↓ [128–130]. The appearance of the interference pat-
tern in each spin component during TOF, as shown in
Fig. 17, implies that the circular structures are indeed
vortices before the rf transition. The spin polarization
ˆσz
=
N↑−N↓
/
N↑+ N↓
is an additional indi-
cator of the phase transitions, which jumps among
ˆσz
= 0, ±1 across different phase boundaries. Here,
N↑(↓) is the atom number for the spin-↑(↓)compo-
nent. The spin polarization is presented as a function of
the two-photon detuning δ in Fig. 17. The evident jump
behavior during phase transitions is observed in the
experiment even at finite temperatures. Regarding these
characteristic behaviors across the phase transitions, it
allows us to identify the boundaries of different ground-
state quantum phases. Then the ground-state phase dia-
gram is conveniently mapped out in the parameter space
spanned by the detuning δ and the coupling strength R ,
as illustrated in Fig. 18. vortex formation due to the SOAM coupling, excluding
the trapping effect of the diagonal ac-stark potential χ(r)
of LG beams. 6 Experiment achievementsh The same hole
sizes in the |mF = +1 and |mF = −1 are observed in the
experiment as shown in Fig. 15a. At a detuning above the
critical value, i.e., δ = 2π × 400Hz, the SOAM-coupled
ground state transits to the state with QAM lg = 1 , which
corresponds to the mechanical angular momenta of bare
hyperfine states lmF = (2, 1, 0) for mF = +1, 0, −1 in the
laboratory frame. Then the vortex with larger hole size in
|mF = +1 , compared to that in |mF = −1 , is anticipated
and is experimentally confirmed. in an effective spin-half 87 Rb atomic gas [55]. Due to a
larger quadratic Zeeman shift ωq = 2π × 5.52kHz com-
pared to that of [53, 54], the third Zeeman hyperfine
state |F = 1, mF = +1 is far-off-resonant, and is then
dropped out from the problem. In addition, one of the
two Raman beams is operated in a higher LG mode with
a winding number l1 = −2 . It gives rise to a rich ground-
state phase diagram as presented in Fig. 16. The whole
system is therefore governed by the Hamiltonian (15) in
the presence of LG Raman beams, which introduces an
effective SOAM coupling ˆLz ˆσz as seen in Eq. (17) after a
unitary transformation. Here, a tune-out wavelength of
LG beams is chosen [127]. It ensures that any observed
circular structure of atomic clouds is resulted from the i
Soon, the ground-state quantum phase diagram of
this SOAM-coupled system is comprehensively studied Peng et al. AAPPS Bulletin (2022) 32:36 Page 19 of 25 Fig. 15 a Observation of the phase transition of the SOAM-coupled ground state between
lg
= 1 and lg = 0 states. The solid and dashed lines
are the calculations for the ideal case and that including the detuning noise in the experiment. Then, density profiles of bare hyperfine states at
δ/2π = 50 and 400Hz are displayed, corresponding to the QAMs lg = 0 and 1, respectively. b Schematic of the spin textures at δ > 0 , where the
arrows show the direction of the transverse spin
⟨Fx⟩,
Fy
. Adapted from Ref. [54] Fig. 15 a Observation of the phase transition of the SOAM-coupled ground state between
lg
= 1 and lg = 0 states. 6 Experiment achievementsh In order to explore the ground-state quantum phases of
the system, the Raman beams need to be introduced adi-
abatically. After preparing the BEC in the hyperfine state
|mF = −1 by setting a large detuning δ = 2π × 400kHz,
the Raman beams are turned on. Then, the detuning δ is
ramped to the desired value adiabatically. This process keeps
the system remaining in the ground state all the time. Subse-
quently, the transitions between different ground-state quan-
tum phases could be studied following different paths P1,2,3,4
as shown in Fig. 16c. For example, along the path P1 , the
Raman coupling strength is fixed at R/ℏω = 1604.5 in the
unit of harmonic energy, while the detuning δ adiabatically
decreases across the phase boundary. The SOAM-coupled
system transits from the half-skyrmion phase with QAM
lz = 1 to the vortex-antivortex phase with QAM lz = 0 . The
phase transition can experimentally be identified according
to the change of density profiles of bare hyperfine states: the
vortex structure exists only in the spin-↑ atomic cloud in the
half-skyrmion phase, while both spin states exhibit vortex
formations in the vortex-antivortex phase. The analogous
procedures are performed along the paths P2,3,4. Peng et al. AAPPS Bulletin (2022) 32:36 Peng et al. AAPPS Bulletin Page 20 of 25 Fig. 16 Schematic of SOAM coupling. a Experimental setup. b The energy diagram of Raman transition. The hyperfine states |mF = 0 = |↑ and
|mF = −1 = |↓ are coupled by a pair of Raman beams, one of which is operated in the LG mode with a winding number l1 = −2 . The third
hyperfine state |mF = +1 is far-off-resonant due to a large quadratic Zeeman shift ωq ≈2π × 5.52kHz. Here, δ is the two-photon detuning. c The
ground-state phase diagram. Three single-particle ground-state phases are characterized by the QAM lz = 0, ±1 . The corresponding lowest-band
dispersion as well as the typical density profiles is illustrated in the insets. Here, the phase transitions are studied in the experiment following four
typical paths P1,2,3,4 . Adapted From Ref. [55] Fig. 16 Schematic of SOAM coupling. a Experimental setup. b The energy diagram of Raman transition. 6 Experiment achievementsh The hyperfine states |mF = 0 = |↑ and
|mF = −1 = |↓ are coupled by a pair of Raman beams, one of which is operated in the LG mode with a winding number l1 = −2 . The third
hyperfine state |mF = +1 is far-off-resonant due to a large quadratic Zeeman shift ωq ≈2π × 5.52kHz. Here, δ is the two-photon detuning. c The
ground-state phase diagram. Three single-particle ground-state phases are characterized by the QAM lz = 0, ±1 . The corresponding lowest-band
dispersion as well as the typical density profiles is illustrated in the insets. Here, the phase transitions are studied in the experiment following four
typical paths P1,2,3,4 . Adapted From Ref. [55] 7 Conclusions and outlooks few-body problem has intensively been studied in spin-
linear-momentum-coupled quantum gases [134–140],
while the theory for SOAM-coupled systems is still
elusive to date. Rich physics in this new few-body sys-
tem is remained to be discovered in near future, which
could provide deep insight into many-body properties of
SOAM-coupled quantum gases.h In conclusion, the most recent advances in both the
theories and experiments of spin-orbital-angular-
momentum (SOAM) coupled quantum gases are briefly
summarized in this review. The basic idea of engineer-
ing SOAM coupling in ultracold atoms is presented,
and exotic quantum phases of Bose gases are intro-
duced as well as those of Fermi gases in the presence
of SOAM coupling. In spite of remarkable progress in
this field, it is far from the end of the story. There could
be further developments in SOAM-coupled quantum
gases, since several issues still require more theoretical
and experimental efforts. Finite-temperature phase diagrams—The current the-
ory of SOAM-coupled quantum systems is constructed
in the framework of the zero-temperature mean-field
theory. For example, the ground-state quantum phases
of Bose gases are based on the solution of the Gross-
Pitaevskii equation, while the giant vortex Fermi super-
fluid is predicted by the zero-temperature Bogoliubov-de
Gennes formalism. The natural question arises whether
these exotic quantum phases are stable enough against
the thermal fluctuation at finite temperature as well as
against the quantum fluctuation at zero temperature
beyond the mean-field theory [58]. A more compre-
hensive theoretical analysis is required to address these
issues and is necessary for the comparison with experi-
mental observations as well. f
Few-body physics—As a building block of interact-
ing many-body systems, the few-body problem is of
important significance in ultracold atoms. For instance,
the two-body physics determines the essential interac-
tion parameter in the many-body Hamiltonian and even
dominates crucial quantum correlations in many-body
systems, such as Tan’s relations [131–133]. Besides, the
few-body problem itself displays intriguing features
such as the Feshbach resonance and Efimov effect. The Peng et al. AAPPS Bulletin (2022) 32:36 Page 21 of 25 Peng et al. AAPPS Bulletin Fig. 17 The spin-resolved density profiles after a 20 ms TOF expansion across different phase-transition boundaries along four exemplary paths
P1,2,3,4 (left panel) and the corresponding spin polarization
ˆσz
(right panel). The black dashed (red solid) curve is the theoretical prediction at zero
temperature (at finite temperature T/Tc = 0.32 ). Adapted from Ref. [55] Fig. Funding g
SGP and KJ are supported by the National Natural Science Foundation of China
under Grant Nos. 11974384 and 12121004, the National Key R &D Program under
Grant No. 2022YFA1404102, Chinese Academy of Sciences under Grant No. YJKYYQ20170025, K. C. Wong Education Foundation under Grant No. GJTD-
2019-15, and the Natural Science Foundation of Hubei Province under Grant
No. 2021CFA027. XLC is supported by the Natural Science Foundation of China
under Grant No. 12204413 and the Science Foundation of Zhejiang Sci-Tech
University under Grant No. 21062339-Y. KJC is supported by the Natural Science
Foundation of China under Grant No. 12104406 and the Science Foundation of
Zhejiang Sci-Tech University under Grant No. 21062338-Y. PZ is supported by the
National Natural Science Foundation of China under Grant No. 11804177. LYH is
supported by the National Key R &D Program under Grant No. 2018YFA0306503. References 1. R. Barnes, Formation and evolution of exoplanets (Wiley-VCH, Wein‑
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gases. Rev. Mod. Phys. 80, 1215 (2008) 7 Conclusions and outlooks 17 The spin-resolved density profiles after a 20 ms TOF expansion across different phase-transition boundaries along four exemplary paths
P1,2,3,4 (left panel) and the corresponding spin polarization
ˆσz
(right panel). The black dashed (red solid) curve is the theoretical prediction at zero
temperature (at finite temperature T/Tc = 0.32 ). Adapted from Ref. [55] Experimental perspectives—The angular stripe phases
of SOAM-coupled Bose gases have not yet been observed
in experiments. It is energetically favored for an intraspe-
cies interaction strength larger than the interspecies one
(i.e., g↑↑, g↓↓> g↑↓ ). However, there is no convenient
Feshbach resonance of 87 Rb atoms to adjust interactions. The angular stripe phase lies in a narrow parameter win-
dow due to the small difference between g↑↑ (or g↓↓ ) and
g↑↓ for 87 Rb atomic gases. For this reason, the 41 K atomic
gas becomes one of the promising candidates for future experiments [60], in which the interspecies scattering
length can be tuned in a wide range near the Feshbach
resonance centered at the magnetic field B0 = 51.95 G,
while the intraspecies scattering lengths are approxi-
mately constant. By choosing appropriately the intera-
tomic scattering lengths, the window of angular stripe
phases in the parameter space is enlarged, which can be
operated easily in experiments [60]. Moreover, the SOAM coupling is not realized in Fermi
gases at present, which would provide a new platform Peng et al. AAPPS Bulletin (2022) 32:36 Page 22 of 25 Fig. 18 The ground-state phase diagram of a SOAM-coupled condensate. Three quantum phases are characterized by QAMs lz = 0, ±1 . The solid
curves denote the phase boundaries predicted by the mean-field theory, which are experimentally confirmed. The background color denotes the
spin polarization
ˆσz
. Adapted from Ref. [55] Fig. 18 The ground-state phase diagram of a SOAM-coupled condensate. Three quantum phases are characterized by QAMs lz = 0, ±1 . The solid
curves denote the phase boundaries predicted by the mean-field theory, which are experimentally confirmed. The background color denotes the
spin polarization
ˆσz
. Adapted from Ref. [55] Availability of data and materials The data generated during the current study are available from the contribut‑
ing author upon reasonable request. 7. T. Kohler, K. Goral, P.S. Julienne, Production of cold molecules via mag‑
netically tunable Feshbach resonances. Rev. Mod. Phys. 78, 1311 (2006) 8. C. Chin, R. Grimm, P. Julienne, E. Tiesinga, Feshbach resonances in
ultracold gases. Rev. Mod. Phys. 82, 1225 (2010) Acknowledgements We are grateful for inspiring discussions with Tian-You Gao, Wei Yi, and Fan Wu. Authors’ contributions All the authors equally contributed to all aspects of the manuscript. All the
authors read and approved the final manuscript. Received: 12 September 2022 Accepted: 14 November 2022 Author details
1 1 State Key Laboratory of Magnetic Resonance and Atomic and Molecular
Physics, Innovation Academy for Precision Measurement Science and Technol‑
ogy, Chinese Academy of Sciences, Wuhan 430071, China. 2 Center for Cold
Atom Physics, Chinese Academy of Sciences, Wuhan 430071, China. 3 Depart‑
ment of Physics and Key Laboratory of Optical Field Manipulation of Zhejiang
Province, Zhejiang Sci-Tech University, Hangzhou 310018, China. 4 College
of Physics, Qingdao University, Qingdao 266071, China. 5 Department of Phys‑
ics and State Key Laboratory of Low‑Dimensional Quantum Physics, Tsinghua
University, Beijing 100084, China. Declarations 9. C. Gross, I. Bloch, Quantum simulations with ultracold atoms in optical
lattices. Science 357, 995 (2017) Ethics approval and consent to participate
Not applicable. Ethics approval and consent to participate
Not applicable. 10. J. Dalibard, F. Gerbier, G. Juzeliunas, P. Ohberg, Colloquium: Artificial
gauge potentials for neutral atoms. Rev. Mod. Phys. 83, 1523 (2011) 11. D.A. Abanin, E. Altman, I. Bloch, M. Serbyn, Colloquium: Many-body localiza‑
tion, thermalization, and entanglement. Rev. Mod. Phys. 91, 021001 (2019) Competing interests
Th
h
d
l
h to investigate exotic vortex and topological superfluid
states. Other interesting directions, such as the non-equi-
librium or the dynamics, BCS-BEC crossover, and quan-
tum fluctuations of Fermi gases with SOAM coupling are
yet to be explored. All these fascinating and remarkable
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heim, Germany, 2010)
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(Butterworth-Heinemann, Oxford, 2007)
3. I. Talmi, Nuclear shell theory, (Academic Press, New York, US, 1963)
4. X.-L. Qi, S.-C. Zhang, The quantum spin hall effect and topological
insulators. Phys. Today. 63, 33 (2010)
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gases. Rev. Mod. Phys. 80, 885 (2008)
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gases. Rev. Mod. Phys. 80, 1215 (2008)
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netically tunable Feshbach resonances. Rev. Mod. Phys. 78, 1311 (2006)
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ultracold gases. Rev. Mod. Phys. 82, 1225 (2010)
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First international workshop on human endogenous retroviruses and diseases, HERVs & disease 2015
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To cite this version: Avindra Nath, Patrick Küry, Guilherme Sciascia Do Olival, Antonina Dolei, Håkan Karlsson, et al.. First international workshop on human endogenous retroviruses and diseases, HERVs & disease 2015. Mobile DNA, 2015, 6, pp.20. 10.1186/s13100-015-0051-7. inserm-02334006 Avindra Nath, Patrick Küry, Guilherme Sciascia Do Olival, Antonina Dolei,
Håkan Karlsson, Laurent Groc, Marion Schneider, John Kriesel, Jean-Louis
Touraine, François Mallet, et al. Distributed under a Creative Commons Attribution 4.0 International License Introduction their associated regulatory sequences and, apart from few
monogenic and inherited diseases, have generated a global
vision of variable panels consisting in multiple susceptibility
genes thought to cause a disease when associated. Environ-
mental infections likely act as co-factors or triggers for the
etiopathogenesis of the disease, but not as direct causative
agents as in classical infectious diseases. The objective of this meeting was to increase awareness
on emerging perspectives in this research area, which
remains vibrant despite much debate and controversy
over the past few decades. This meeting afforded a first
opportunity to focus on the potential impact of these
elements on pathological pathways leading to chronic,
multifactorial and still incurable human diseases. The
first steps toward innovative therapeutic developments
arising from dedicated research on HERVs were also
presented. Since the 1980’s, a new horizon in the search for patho-
genic players in complex human disease arose from stud-
ies in human cells obtained from patients with cancer or
with chronic neuroinflammatory disease such as MS, in
which human endogenous retrovirus (HERV) multicopy
families were identified from elements expressed in associ-
ation with reverse-transcriptase activity and/or virion-like
particles. These observations were initially regarded as
anecdotal but, as studies further explored and progres-
sively unveiled unexpected genetic and biological features
of these HERVs in association with different diseases
during the past decades, it became apparent that HERVs
(as other mobile genetic elements) were not merely fossils
of past infection and inert relics of ancient genomic
invasions, but could display activities with a substantial
impact on cellular function, in both health and disease
(References of review articles available from correspond-
ing author). Attempts to identify among environmental viruses, a
causative agent of autoimmunity, of chronic inflammation
and of specific tissue lesions involving either immunological
and physiological impairments as in Multiple Sclerosis
(MS) or type 1 Diabetes (T1D), or neurodevelopmental and
neurobiological abnormalities as in Schizophrenia (SZ) or
bipolar disorder (BD), or particular neurodegenerative pro-
cesses as in amyotrophic lateral sclerosis (ALS), have con-
sistently failed. Such diseases are now considered to have a
multifactorial etiology leading to complex pathophysiology
and to chronic-relapsing or progressive evolution. They are
most often thought to result from gene-environment inter-
actions, in particular host susceptibility genes with infec-
tious agents. © 2015 Nath et al. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. HAL Id: inserm-02334006
https://inserm.hal.science/inserm-02334006v1
Submitted on 25 Oct 2019 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
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teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License MEETING REPORT
Open Access
First international workshop on human
endogenous retroviruses and diseases,
HERVs & disease 2015
Avindra Nath1, Patrick Küry2, Guilherme Sciascia do Olival3, Antonina Dolei4, Håkan Karlsson5, Laurent Groc6,
Marion Schneider7, John Kriesel8, Jean-Louis Touraine9, François Mallet10, Patrice N. Marche11, Frederick Arnaud12,
Cédric Feschotte13 and Hervé Perron14*
Abstract
The First International Scientific Conference on Human Endogenous Retroviruses (HERVs) and Disease, Lyon-France,
May 26-27th 2015, brought together scientific and medical specialists from around the world investigating the
involvement of human endogenous retroviruses (HERVs) in complex human diseases. Nath et al. Mobile DNA (2015) 6:20
DOI 10.1186/s13100-015-0051-7 Nath et al. Mobile DNA (2015) 6:20
DOI 10.1186/s13100-015-0051-7 First international workshop on human
endogenous retroviruses and diseases,
HERVs & disease 2015 Avindra Nath1, Patrick Küry2, Guilherme Sciascia do Olival3, Antonina Dolei4, Håkan Karlsson5, Laurent Groc6,
Marion Schneider7, John Kriesel8, Jean-Louis Touraine9, François Mallet10, Patrice N. Marche11, Frederick Arnaud12,
Cédric Feschotte13 and Hervé Perron14* Abstract The First International Scientific Conference on Human Endogenous Retroviruses (HERVs) and Disease, Lyon-France,
May 26-27th 2015, brought together scientific and medical specialists from around the world investigating the
involvement of human endogenous retroviruses (HERVs) in complex human diseases. * Correspondence: hp@geneuro.com
14Geneuro, Geneva-Switzerland and Geneuro-Innovation, Lyon, France
Full list of author information is available at the end of the article Introduction Human genome studies have investigated
DNA sequences in exons encoding somatic proteins or Endogenous retroviruses and their relatives are cur-
rently known to occupy approximately 8 % of the human
genome, are separated into diverse multicopy families
and are also part of the broader category of “mobile * Correspondence: hp@geneuro.com
14Geneuro, Geneva-Switzerland and Geneuro-Innovation, Lyon, France
Full list of author information is available at the end of the article Nath et al. Mobile DNA (2015) 6:20 Page 2 of 9 Page 2 of 9 USA) opened the meeting with a keynote address enti-
tled: “Of Good and Evil: Biological Impact of Endogen-
ous Retroviruses and Other Invasive Genetic Elements”. He explained how the genomes of various eukaryotes
are replete with viral sequences that are integrated or
'endogenized' in chromosomes and how recent studies
have revealed that virtually all types of viruses can be
endogenized. He emphasized that retroviruses are by far
the best-characterized and most common source of
endogenous viral elements in mammalian genomes,
accounting for 6-14 % of mammalian genome thus far
sequenced, and that their pervasive infiltration is a sub-
stantial source of genetic variation across and within
species. He presented an overview of several well docu-
mented instances where specific ERV have influenced,
for better or worse, the evolutionary trajectory of their
host species. More specifically, he presented recent
evidence obtained in his laboratory that ERVs have been
co-opted during mammalian evolution to rewire a tran-
scriptional network orchestrating the interferon re-
sponse, a crucial arm of innate immunity. These data
shed new light on the mechanisms by which misregula-
tion of ERVs may promote disease states, such as auto-
immunity and tumorigenesis. genetic elements”, which together account for at least half
of the human genome. Cumulated results from numerous
studies on HERVs and related elements over the past
30 years, the number of which increased exponentially
since the early years of the 21st century, brought conver-
ging and consistent observations in different disciplines as
in different complex diseases. They now provide a global
picture suggesting that environmental infectious agents
may play a role in triggering the expression of certain
HERVs with selective tropism for permissive cell pheno-
types cells, which in turn may express products (RNA or
protein) or cause genetic modifications, thereby engaging
pathogenic pathways leading to final pathognomonic
features of certain complex diseases. Introduction Invited presentations ranged
from the general biology of HERVs in the context of human
genome evolution to the role of endogenous retroviruses in
animal disease. The workshop included 5 scientific sessions:
Neurological diseases, Virus interplay with HERV patho-
geny, Neuropsychiatric diseases, Diabetes and Cancer. Here, we present highlights from the talks from all sessions. He presented an original mechanism by which certain
animal ERVs could confer protection to their host
against a related pathogenic retrovirus, here Jaagsiekte
sheep retrovirus(JSRV). JSRV is the causative agent of
ovine pulmonary adenocarcinoma and coexists with re-
lated endogenous retroviruses (enJSRVs) that colonized
the sheep genome throughout evolution. He explained
how collaborative studies with Barbara Viginier and
Christophe Terzian’s group in Lyon (University of Lyon),
as well as with Alessia Armezzani and Massimo Palmari-
ni’s group (MRC Centre for Virus Research University of
Glasgow; Glasgow, Scotland) led to discover that two
enJSRV proviruses (enJS56A1 and enJSRV-20), which
separately entered the host genome within the last 3
million years, acquired a defective Gag polyprotein
resulting in a transdominant phenotype able to block
late replication steps of related JSRV. He showed how
these two “protective” proviruses became fixed and amp-
lified in the genome of domestic sheep supporting the
idea of their positive selection during, or immediately
before, sheep domestication (9,000 years ago). He further
presented how they also identified a recent provirus
(<200 years old) with an intact genomic organization
that escapes the restriction induced by enJS56A1 and Of note, a considerable fraction of the data presented
at the workshop and reported in this article (with the
consent of the authors) remains, to this date, unpub-
lished and should be considered and treated as such and
therefore not cited in other publications. Published
scientific and clinical studies or reviews could not be
cited in this report but references can be obtained from
authors. Introduction These scientific advances along with the first therapeutic
developments targeting HERV-W envelope protein in MS
and, as now envisaged, HERV-K in ALS, are now provid-
ing a new perspective of the “gene-environment interplay”
underlying the etiopathogenesis of certain complex hu-
man diseases. This prompted different groups and organi-
zations involved in research and/or development in this
novel but rapidly emerging domain to instigate an inter-
national conference gathering both basic and clinical
scientists from various disciplines (genetics/genomics,
immunology, virology, cell biology, etc.…) in order to
share and debate current and future research on “HERV
and Disease” within a multidisciplinary and transversal
approach. Frédérick Arnaud (UMR754, Université Claude Bernard
Lyon 1/Institut National de la Recherche Agronomique/
Ecole Pratique des Hautes Etudes, Lyon, France) opened
the second day with a keynote address entitled: “Friendly
viruses: antiviral activities of ERVs against the oncogenic
Jaagsiekte sheep retrovirus”. pp
This international workshop on Human Endogenous Ret-
roviruses and Diseases, “HERV & Disease”, was held 26–
27th May 2015 in Lyon, France. The organizing committee
consisted in: Hervé Perron (Geneuro-Innovation), Patrice
Marche (INSERM), François Curtin (Geneuro) and Jean-
Louis Touraine (University of Lyon). The workshop drew
over a hundred attendees who actively participated in scien-
tific exchanges and debates. Invited presentations ranged
from the general biology of HERVs in the context of human
genome evolution to the role of endogenous retroviruses in
animal disease. The workshop included 5 scientific sessions:
Neurological diseases, Virus interplay with HERV patho-
geny, Neuropsychiatric diseases, Diabetes and Cancer. Here, we present highlights from the talks from all sessions. Of note, a considerable fraction of the data presented
at the workshop and reported in this article (with the
consent of the authors) remains, to this date, unpub-
lished and should be considered and treated as such and
therefore not cited in other publications. Published
scientific and clinical studies or reviews could not be
cited in this report but references can be obtained from
authors. This international workshop on Human Endogenous Ret-
roviruses and Diseases, “HERV & Disease”, was held 26–
27th May 2015 in Lyon, France. The organizing committee
consisted in: Hervé Perron (Geneuro-Innovation), Patrice
Marche (INSERM), François Curtin (Geneuro) and Jean-
Louis Touraine (University of Lyon). The workshop drew
over a hundred attendees who actively participated in scien-
tific exchanges and debates. Session 1: Neurological diseases and HERVs g
Avi Nath (Section of infections of the Nervous System,
National Institute of Neurological Diseases and Stroke,
National Institutes of Health, Bethesda, Maryland, USA)
reviewed consistent and independent studies that have
shown an activation and upregulation of HERV-K in
patients with amyotrophic lateral sclerosis (ALS). ALS is
a devastating neurodegenerative disease for which there
is no treatment available. Genetic mutations have been
identified in nearly 20 % patients but the remaining are
sporadic cases. He presented the work from his labora-
tory showing that all major transcripts of HERV-K were
expressed in the frontal cortex of nearly 50 % patients
with ALS at autopsy. He showed confirmation by quan-
titative polymerase chain reaction for the pol, gag and
env genes and by immunostaining with an antibody to
the env protein, of specific expression in cortical neu-
rons and anterior horn cells of the spinal cord in pa-
tients with ALS but not in controls. His data from in
vitro and in vivo studies indicated that HERV-K enve-
lope protein displayed neurotoxicity for motor neurons,
suggesting a pathogenic role in ALS. He concluded on a
therapeutic rationale for targeting HERV-K in ALS. Patrick Küry (University of Düsseldorf, Germany)
demonstrated that the envelope protein of HERV-W
(MSRV-Env) affects differentiation of oligodendroglial
precursor cells (OPCs), which normally remyelinate cen-
tral nervous system lesions. He showed that macro-
phages/microglia in MS brain lesions express HERV-W/
Env on the cell surface and can be found in close prox-
imity to OPCs. Presented data showed that either
recombinant protein or cells expressing HERV-W/Env
prevented OPC maturation into oligodendrocytes and
production of myelin proteins. This was shown to be
mediated by MSRV-Env interaction with TLR4 and to
induce nitrosative stress in OPCs. PK argued that data
supported a direct role of HERV-W/Env in the remyeli-
nation blockade of MS lesions. He furthermore showed
that this pathogenic effect was reverted by a humanized
neutralizing antibody targeting MSRV-Env, thus provid-
ing perspectives of therapeutic application restoring the
remyelinating potential of OPCs in MS. Hervé Perron reminded how the first observation of
retrovirus-like particles with reverse transcriptase activ-
ity was made in leptomeningeal cells shed in the cere-
brospinal fluid of a patient with progressive MS in the
late 1980’s. Similar observations in macrophage cultures
versus controls and in EBV-transformed MS B-cells by
the same and another independent group were simultan-
eously published in The Lancet (1991). Keynote addresses Cédric Feschotte (Department of Human Genetics, Uni-
versity of Utah School of Medicine, Salt Lake City, UT, Page 3 of 9 Nath et al. Mobile DNA (2015) 6:20 Page 3 of 9 He outlined that this novel human retrovirus did not cor-
respond to an HTLV-like retrovirus, as suggested by
Hilary Koprowski, Robert Gallo and colleagues in a study
published in Nature (1985), but to HERVs that were still
considered as “junk DNA”. He presented how following
studies addressed the question whether this expression
was a trivial activation of harmless HERV elements or
whether this could be involved in MS pathogenesis. HP
described the different independent confirmations that
have now depicted a central pathogenic role of HERV-W
envelope protein (MSRV-Env or HERV-W/Env) in the
initiation and lifelong holding of MS pathogenesis. He also
summarized parallel studies that showed how HERV-W
activation and its envelope protein suggested a common
pathogenic pathway in several other neuroinflammatory
or autoimmune diseases. He gave an overview of the key
aspects that were elucidated and allowed to bridge this
original discovery to the clinical relevance and to an in-
novative therapeutic development as presented by other
speakers during this session. HP concluded that, taken
altogether, the present data now suggest that HERV
elements could be missing links between environmental
factors and complex human diseases, in which the patho-
genesis has no etiological explanation. Thus, such “dor-
mant retroviruses awaken” have been designated as “the
enemy within” in recent publications and may constitute a
new category of pathogens, different from classical envir-
onmental and infectious microbes, since arising from the
host’s genome itself. enJSRV-20. He concluded that the invasion of the sheep
genome by endogenous retroviruses is still ongoing and
has not reached an equilibrium yet. He made the audi-
ence aware of how sheep thereby provide an exciting
model to study the co-evolution between ERVs and their
host and to understand how ERV copies may confer
resistance to a disease by interfering with related patho-
genic retroviruses. The first session, which represented most advanced
studies and developments in the field of diseases associ-
ated with HERVs, took all day on May 26th, after
welcome and introductory talks by Jean-Louis Touraine
and Hervé Perron followed by the keynote lecture by
Cédric Feschotte. Session 1: Neurological diseases and HERVs Deep sequencing was performed on
brain specimens from a cohort of patients with progres-
sive MS, revealing increased expression of HERV do-
mains. Sequence comparisons revealed many differences
for several HERV domains. After corrections for mul-
tiple tests, 2 GAGs and one KRBA sequence were
significantly enriched in MS samples compared to con-
trols. Average HRs were calculated for each domain type
– AP (protease), GAG, ENV, INT, RT, and KRAB. JK
presented a dendrogram constructed from hierarchical
clustering that was used to discriminate MS and controls
and 16 different candidate GAG and ENV domains over-
expressed in MS sample have been selected for follow
up RT-qPCR. He concluded that such data demonstrate
that HERV and KRAB domains are significantly overrep-
resented in brain tissue specimens from cooresponding
series, which supports the hypothesis that expression of
endogenous retroviral sequences parallels MS pathogen-
esis, potentially reconciling the autoimmune and infec-
tious nature of this challenging disease. Antonina Dolei (Department of Biomedical Sciences,
University of Sassari, Italy) discussed why immuno-
pathogenic phenomena leading to MS could be triggered
by an environmental factor operating on a predisposing
genetic background. She argued that the consistent stud-
ies involved the Epstein Barr virus (EBV), and the
HERV-W family including the MSRV element, able to
form extracellular virions, and Syncytin-1, the envelope
product of the ERVW-1 gene from an HERV-W copy on
chromosome 7q21-22 with mutated and inactive gag
and pol genes preventing virion production. AD pre-
sented studies from her group with repeated observa-
tions of extracellular MSRV particles, MSRV-specific
mRNA sequences in MS blood, spinal fluid (CSF) or
brain samples, and MRSV load paralleling MS stages,
activity and therapy outcome. She detailed a long-term
follow-up study, in which early MSRV detection of in
CSF predicted the worst MS progression, more than ten
years in advance. She further presented in vitro studies
of HERV-W expression in blood and brain cells exposed
to EBV or to EBV glycoprotein350: in vitro, EBV acti-
vated the HERV-W/MSRV envelope protein; HERV-W/
MSRV activation is higher in blood cells of patients with
infectious mononucleosis and in healthy controls with
high anti-EBNA-1 IgG titers. AD concluded from these
data and from the literature on MS pathogenesis that
EBV could be an initial trigger of a risk for MS and that
MSRV could have a direct role of effector of neurotox-
icity and immunoinflammation during MS. Session 1: Neurological diseases and HERVs He explained
how the molecular identification of this “MS-associated”
retrovirus (MSRV) RNA was achieved from purified
virions
in
collaboration
with Jeremy Garson
(UCL,
London, GB), as published in the Proceedings of the
Academy of Sciences of the USA (1997), how sequences
of a complete retroviral genome were further obtained by
PCR extension with this material and, using MSRV-
derived probes, how they unravelled the HERV-W family. Patrice Marche (U823 INSERM-University of Grenoble,
France) showed that the HERV-W envelope protein (MSRV
type) has specific and wide effects on brain endothelial cells
with implicit consequences on the blood–brain barrier
(BBB) integrity and on interactions with immune lymphoid
cells. He detailed how this is again mediated by targeted Nath et al. Mobile DNA (2015) 6:20 Page 4 of 9 activation of TLR4 pathways and, when exposed to MSRV-
Env, how human brain cells (HCMEC/D3 line) or human
vascular endothelial cells (HUVEC) upregulate expression
of ICAM-1 integrin leading to an increased adhesion of
lymphocytes to endothelial cell, followed by transmigration
of lymphocytes across the endothelial barrier. These pro-
inflammatory properties were observed with MSRV type
HERV-W envelope but not with its HERV-W analog,
Syncytin. PM reviewed recently published data from his
group supporting the hypothesis that, through TLR4 path-
ways, MSRV-Env affects several cell types (e.g. endothelial
cells, macrophages, B lymphocytes…) contributing to the
immune infiltration of the brain through BBB in the patho-
genesis of MS. Env/GAG-immunodetection in astrocytes throughout
active and chronic active lesions but, within chronic in-
active lesions only in few HERV-W Env-immunoreactive
astrocytes. He concluded that this extensive immunohis-
tochemical survey revealed that both HERV-W Env and
HERV-W GAG protein expression is markedly upregu-
lated in inflammatory MS lesions and, in microglia, is
associated with areas of active demyelination. Env/GAG-immunodetection in astrocytes throughout
active and chronic active lesions but, within chronic in-
active lesions only in few HERV-W Env-immunoreactive
astrocytes. He concluded that this extensive immunohis-
tochemical survey revealed that both HERV-W Env and
HERV-W GAG protein expression is markedly upregu-
lated in inflammatory MS lesions and, in microglia, is
associated with areas of active demyelination. John Kriesel presented results from his group having
used deep sequencing to identify viral RNA signatures in
human brain specimens. He explained how they had
previously used this method to detect HSV1, GBV-C,
and measles virus sequence in brain tissue from de-
ceased patients. Session 1: Neurological diseases and HERVs He concluded that HERV-
W envelope expression is different between MS patients
and healthy controls but that patients with high EDSS or
those in relapsing conditions have more heterogeneous
expression, possibly also underlying relationship between
HERV-W and autoimmunity in MS. Alain Créange (Université Paris 12 and Groupe Hospi-
talier Henri Mondor, Créteil, France) presented the asso-
ciation between chronic inflammatory demyelinating
polyneuropathy (CIDP), an acquired immune-mediated
inflammatory disorder of the peripheral nervous system
(PNS), and HERV-W/MSRV envelope protein expres-
sion. He presented a collaborative study with the
Lausanne University Hospital (CHUV-Switzerland) and
GeNeuro. Env antigenaemia in CIDP patients was de-
tected in 24/49 cases (49 %) whereas 3/18 (17 %) healthy
controls were positive, which reached statistical signifi-
cance (p < 0.01). Low levels of Env positivity (4/20) were
observed with other neurological diseases (e.g., spastic
paraparesis, metabolic neuropathies and Parkinson's dis-
ease). qRT-PCR results on peripheral blood mono-
nuclear cells as well those of immunostaining on nerve
biopsies corroborated these data. Since CIDP shares
common features with MS pathogenesis, this strongly
suggests that similar pro-inflammatory processes are
elicited by HERV-W envelope in peripheral nerve. Such
a possible involvement in CIDP might open novel per-
spectives for the development of targeted therapeutic
approaches. Guilherme Sciascia do Olival (Emilio Ribas Infectology
Institute Neuroscience and CATEM – Multiple Sclerosis
Center of Santa Casa of São Paulo, São Paulo, SP, Brazil)
presented results from a collaboration with Camila
Malta Romano (Luiz Henrique da Silva Nali, Augusto
Cesar Penalva de Oliveira) along with the group of Neu-
rosciencies of Emilio Ribas Institute (São Paulo, SP,
Brazil). He presented results on HERV-W expression in
MS patients under different treatments and disease stage
with next generation sequencing analysis of the HERV-
W transcripts estimating potential active loci in MS and
healthy conditions and an ongoing project ERV tran-
scriptome analysis. GSdO presented preliminary data
using HERV-W envelope amplicon deep sequencing
methodology on blood samples collected from 4 MS pa-
tients in relapse, from 6 MS patients with different treat-
ments (Natalizumab and immunossupressors) and from
5 healthy subjects. He explained that the most repre-
sented transcripts in MS matched with chromosomes 1,
6, 9, 14 and X. Transcripts from healthy subjects, with
lower expression, matched with chromosomes 1, 6, 7
and 14. Session 1: Neurological diseases and HERVs Ranjan Dutta (Department of Neurosciences, Cleve-
land Clinic, Cleveland, OH, USA) presented results from
a recently started collaboration with the Neurology
department in Düsseldorf, Germany (David Kremer and
Patrick Küry). This study focused on cellular sources of
HERV-W/Env expression in primary or secondary pro-
gressive MS (PPMS, SPMS) brains. At the beginning of
his presentation RD reminded the audience that a cure
for MS awaits the discovery of its underlying cause,
though two known factors contribute to MS: a genetic
predisposition and environmental agents. While few
genes associated with MS susceptibility are described,
limited research directly focuses on causes such as infec-
tious agents. MS research traditionally focused on white
matter demyelination although there is significant de-
myelination of the cortex. Demyelination happens with-
out significant infiltration of lymphoid cells whereas
recent studies suggest that cortical demyelination may
exceed white matter demyelination. RD explained that a
major challenge is therefore to determine how gray mat-
ter demyelination occurs. He then showed dystrophic Jack Van Horssen (Department of biochemistry and
Molecular immunology, VU-University Amsterdam, The
Netherlands) presented the results of his immunohisto-
chemical study, which showed HERV-W Env and GAG
protein distribution and cellular localization in different
stages of MS lesion development in a large cohort of
well-characterized
MS
samples. He
presented
how
HERV-W Env and GAG proteins are abundantly present
in demyelinated areas with ongoing inflammation and,
at the cellular level, in infiltrated macrophages as well as
in activated microglia. JvH showed a moderate HERV-W Nath et al. Mobile DNA (2015) 6:20 Page 5 of 9 oligodendrocytes in affected cortical regions with three-
dimensional electron microscopic (3D-EM) analysis of
postmortem MS brains, in which he identified proteins
and organelles accumulation, whereas large scale viral
sequencing analysis identified reads matching with the
human endogenous retrovirus W (HERV-W) in MS
brains with myelin loss. Immunostaining of demyeli-
nated primary progressive MS cortical brain tissue with
an anti-HERV-W/ENV antibody revealed its cellular
localization in perivascular cuffs, within the parenchymal
extracellular space, and in a microglial subpopulation. These
cells
also
expressed
HERV-W/Env
receptor
(TLR4) and were in direct contact with axons. RD con-
cluded that ENV might play a role in the proinflamma-
tory activation of microglia, thus contributing to myelin
and axonal degeneration in progressive MS– a hypoth-
esis currently under functional evaluation in both part-
ner laboratories. (Madrid, Spain), Perron et al. (Geneva, Switzerland) and
Mameli et al. (Sassari, Italy). Session 1: Neurological diseases and HERVs W transcripts decreased during the treatment and that
nine patients had stable brain lesions at MRI (one
dropped before final MRI analysis). He concluded that
GNbAC1 could be a safe long-term treatment for MS
patients, with promising hypothesis to be challenged in
the upcoming phase IIb clinical trial. Alexander Emmer (Neurology department, University
Hospital, Halle, Germany) then presented a recently
published concept on the role and functionality of super-
antigens. His group previously demonstrated that T cell
superantigens such as Staphylococcal enterotoxin A
(SEA) can induce inflammatory reactions in different
organs such as CNS, joints and muscles of experimental
animals. He explained that inflammatory processes in-
duced by the same superantigen (SEA) differed between
the affected organs but mimicked corresponding human
autoimmune diseases. Superantigen dependent induction
of inflammation revealed independent from adjuvant
mediated bypass of immune tolerance. AM showed that
many autoimmune diseases display oligoclonal immuno-
globulin bands in cerebrospinal fluid or different types
of serum autoantibodies in other autoimmune diseases. He showed that B-cell superantigens such as gp120 (part
of the HIV-envelope) can activate blood lymphocytes in
vitro to produce immunoglobulin in an oligoclonal man-
ner. Finally, he mentioned that another prominent fea-
ture of autoimmune diseases is organ degeneration. In
many instances organ degeneration is only attributed to
inflammation, however, it is important to state that de-
generation may also develop in the absence of apparent
major inflammation, as seen in progressive MS. He con-
cluded that that HERV-W pathological effects may also
occur in the absence of inflammation, indicating that
HERV-W mode of action may also be independent of its
superantigenic power. Introducing the next sessions, which took place during
the second day, Frédérick Arnaud (Lyon, Fr. and Glasgow,
UK) highlighted the complex interplay between the
Jaagsiekte sheep retrovirus (JSRV), causative agent of
ovine pulmonary adenocarcinoma, and the highly related
endogenous retroviruses (enJSRVs). These enJSRV copies
not only play a critical role in conceptus development and
placental morphogenesis of sheep, but can also block
JSRV replication at early and late stages of the retroviral
cycle (Cf. Keynote presentations). Session 2: Virus interplay with HERV pathogeny
The group of Elena Uleri (Department of Biomedical
Sciences, University of Sassari, It.) showed that HIV tat
encoded protein activates HERV-W/MSRV/Syncytin-1
in cells from blood and brain through Tat interaction
with TLR4 and induction of TNF-α. Session 1: Neurological diseases and HERVs He presented results from MS in relapse that
showed elevated transcription matching with about 16
known loci but that healthy individuals presented only
detectable expression matching with nine loci (p = 0.01). GSdO noticed no difference between transcription levels
of patients undergoing treatments with Natalizumab and
β-Interferon, compared to untreated MS cases in relapse. Interestingly, patients with high EDSS (>6) had much
wider transcript sequence diversity, which consequently
“matched” many more loci than patients with low EDSS
(<3). He debated that this sequence diversity cannot cor-
respond to known genomic loci, which would be in line
with reported increase of HERV-W DNA copy numbers
in PBMC from such patients with elevated EDSS and/or
disease activity in studies by Garcia-Montojo et al. Raphaël Faucard (Geneuro-Innovation, France), pre-
sented data about Env mediated TLR4 signaling and
peripheral nerve myelinating glial cells - Schwann cells -
upon exposure to HERV-W Env protein. A pharmaco-
logical characterization of Env and GNbAC1, the neu-
tralizing therapeutic antibody specifically targeting Env,
was carried out using human (h)TLR4 overexpression by
HEK-BlueTM cells. This analysis confirmed that a) Env is
a highly potent full agonist of recombinant hTLR4, b) its
effects are inhibited by GNbAC1 in a concentration
dependent manner and c) Env effect is mediated by its
direct binding to hTLR4. It was then reported that two
highly selective TLR4 inhibitors have been identified:
LPS-RS as competitive ENV antagonist and Cli-095 as
another signaling antagonist. RF thus argued that this
was the first complete pharmacological profiling of a
biological response associated to an HERV element. He
further presented effects on Schwann cells exposed to
Env, either transfected with or stimulated by MSRV-Env,
which produced high levels of interleukin-6 (IL-6) and
of chemokine CXCL10, two key immune mediators
involved in CIDP pathology. He showed that effects cor-
related glial TLR4 expression and were inhibited by
GNbAC1. He concluded that the HERV-W impact in Nath et al. Mobile DNA (2015) 6:20 Page 6 of 9 Page 6 of 9 PNS pathologies might exceed inflammation and could
also include crosstalk between immune- and Schwann
cells. W transcripts decreased during the treatment and that
nine patients had stable brain lesions at MRI (one
dropped before final MRI analysis). He concluded that
GNbAC1 could be a safe long-term treatment for MS
patients, with promising hypothesis to be challenged in
the upcoming phase IIb clinical trial. Session 1: Neurological diseases and HERVs Mobile DNA (2015) 6:20 Page 7 of 9 Page 7 of 9 characterized. She explained that they consist in Imma-
ture dendritic cells (CD14-/CD16+), resembling slanDCs
and M1 (STAT-1 activated), M2a-M2d macrophages and
that cells from sepsis patients with and without T2DM
were studied in her group. She showed that relative
amounts of M1 and M2a macrophages and also slanDCs
with active P2X7 ion channel activities were higher in
T2DM septic patients, compared to non-diabetic patients
with sepsis. She showed that cultures from T2DM patients
significantly expressed s HERV-W env positive cells with
simultaneous HLA-DR downregulation. She also reported
that the ATP-sensitive, inflammasome-related calcium
channel, P2X7 appears to be crucial for HERV-W Env
positive microparticle release. The physiopathological
significance of this increased occurrence of non-classically
activated macrophages and of immature DC (CD14+/C16+;
CD14-/CD16+)
in
T2DM
along
with
the
biological
consequence of associated HERV-W envelope-positive mi-
croparticles release, which may eventually fuse with target
cells in organs and tissue, was discussed. She concluded
that both Type 1 Diabetes and T2DM with sepsis show an
important link of NF-κB and STAT1 activation promoting
iDC and M1 macrophage polarization, resulting in cyto-
toxic and inflammatory functions that may also promote
HERV-W env protein expression. Laurent Groc (CNRS - University of Bordeaux, France)
discussed the potential impact of HERV-W envelope com-
pared to other relevant agonists, on the surface dynamics
of NMDA receptors. He explained that the regulation of
NMDA receptor signaling is highly dependent on the sur-
face diffusion of the receptor and its dynamic anchoring
within postsynaptic densities. He presented demonstration
of a potent link between exposure to HERV-W/Env and
NMDAR surface dynamics. LG emphasized that the pat-
tern of the response was unique to HERV-W/Env com-
pared to all other tested compounds, including LPS
another TLR4 agonist. He concluded discussing the po-
tential impact of HERV-W env expression, beyond its
pro-inflammatory effects, on neuroreceptor dysregulation
as observed in psychoses such as schizophrenia and bipo-
lar disorder. Pierre Ellul (University of Créteil, Fondation fonda-
Mental and APHP, France) reviewed the literature on
HERV expression in schizophrenia and other psychoses
and hypothesized that environmental exposure to infec-
tious or pro-inflammatory events during pregnancy
cause disturbances in the epigenetic control of HERV
and other retroelements which predispose to excessive
transcription following secondary exposures during post-
natal life. Such activation was hypothesized to contribute
to the pathogenesis of these disorders. Session 1: Neurological diseases and HERVs In vivo translation
suggest that Tat may promote neuroinvasion by HIV-
infected macrophages, eliciting neuroinflammation and
neuropathogenicity related to HERV-W elements. It was
concluded
that
HERV-W
neuropathogenic
potential
could contribute to NeuroAIDS pathogenesis. Benjamin Charvet (International Centre for Infectiology
Research, INSERM U1111/CNRS UMR5308/Ecole Nor-
male Supérieure de Lyon/University of Lyon, France)
analyzed the interactions between the HHV-6A herpes-
virus and HERV-W, showing specific HERV-W env over-
expression in HHV-6A infected glial cells, and confirming
previous data of HHV-6A-induced over-expression of
HERV-K18 env in lymphoid cells. He showed that HERV-
W env does not involve the CD46 receptor for HHV-6A
and that inactivated HHV6 virus is not efficient; whereas
infectious HHV-6A induced HERV-W env transactivation
in glial cells. He concluded that, when occurring, an early
activation of HERV-W by HHV-6A may contribute to
initiate neuroinflammatory and cytopathic effects of fur-
ther self-sustained HERV-W envelope expression, thereby
contributing to MS etiology. p
g
p
Finally, François Curtin, the CEO of the GeNeuro gave
an update on the clinical development of HERV-W Env
neutralizing antibodies; following the identification of
precursor
murine
and
chimeric
antibody
versions,
GNbAC1, a humanized IgG4 mAb, emerged from pre-
clinical studies aiming at blocking HERV-W Env protein
in MS patients. In an initial phase I trial GNbAC1 was
well tolerated and only minor or nonspecific adverse
events (AEs) occurred. A dose-linear pharmacokinetic
profile was revealed and no anti-GNbAC1 antibodies
were detected in any subject over the entire observation
period of 64 days. He presented the follow up phase IIa
randomised clinical study over one year, with ten MS
patients randomized into two cohorts receiving an initial
intravenous infusion of GNbAC1/placebo at doses of 2
or 6 mg/kg, followed by five infusions of GNbAC1 at 2
or 6 mg/kg at four-week intervals. He reported that all
patients completed the 6-Months study, which was
extended
to
one
year
with
same
regimen. Again,
GNbAC1 pharmacokinetics were dose-linear, no anti-
GNbAC1 antibodies were detected and no evidence of
adverse effects was observed. FC highlighted that HERV- Session 3: Neuropsychiatric diseases and HERVs
Håkan Karlsson (Karolinska Institutet, Stockholm, Sweden)
reported the identification of transcripts from HERV-W in
samples from patients with schizophrenia using PCR and
next-generation sequencing. He also showed transcriptional
de-repression of HERV-W loci by virus infection in human
cell-lines. He discussed the potential role of HERV-W as a
marker or mediator of environmental risk factors in
schizophrenia. Nath et al. Session 1: Neurological diseases and HERVs Julie Medina (Geneuro-Innovation, Lyon, France) recalled
that type 1 diabetes (T1D) is a severe autoimmune disease
characterized by a depletion of insulin-producing beta-cells
in the pancreas, that subjects with T1D are usually
dependent on insulin injections for their entire life and that
T1D accounts for 5 to 10 % of total number of diabetes
cases, Europe having the highest incidence, with peak rates
in Finland and Sardinia. She explained that both genetic
factors and environmental triggers, and viruses in particu-
lar, are supposed to contribute to its etiopathogeny. After
which, she explained how a study on type 1 diabetes (T1D)
arose from MS preclinical study, in which serum samples
from other autoimmune diseases were tested for the pres-
ence MSRV-Env antigen: no significant detection was
found in, e.g., patients with Systemic Lupus (SLE) or
Rhumatoid Arthritis, but was positive in sera of about 40 %
of T1D with variable disease duration. JM explained how
evaluating an eventual involvement of HERV-W in the
pathogeny of T1D, firstly focused on HERV-W/Env expres-
sion in human pancreas biopsies from patients with and
without T1D provided by the nPOD biobank (Univeristy of
Florida, USA) using immunohistochemistry (IHC). She
presented results showing the presence of HERV-W/Env in
T1D biopsies, mainly appearing to be produced by acinar
cells surrounding Langerhans islets. She further presented
in vitro effects of HERV-W/Env on insulin secretion when
tested on cultured insulinoma cell line, which induced a
progressive decrease in insulin secretion. In presence of the
neutralizing antibody specific for HERV-W Env protein a Emanuela Balestrieri (University of Rome, Italy) dis-
used the possible involvement of HERVs in autism. She
showed distinctive expression profiles of HERV families
in samples from autistic patients and a positive correl-
ation with the severity of the clinical signs of the disease. EB further presented an animal model, consisting in out-
bred mice prenatally exposed to an inhibitor of the his-
tone deacetylases (valproic acid), in which the offspring
of treated mice a dysregulation in the expression of
several different murine retroelements along with behav-
ioural abnormalities, resembling those observed in indi-
viduals with autism. Session 4: Diabetes and HERVs Marion Schneider (University of Ulm, Germany) recalled
that type 2 diabetes (T2DM) now affects more than 387
million people worldwide with a global prevalence of
8.3 % and an estimation of about 50 % undiagnosed
cases. T2DM is regarded as an important co-morbidity
in depression or certain psychotic illnesses and is also
one of the major risk factors for patients with major
trauma to proceed into severe sepsis and septic shock in
an intensive care environment. She thereafter presented
her studies on patients with T2DM with sepsis focusing
on peripheral blood phenotyping and highlighted the
increase of non-classically activated macrophages (CD14
+/C16+) in T2DM patients. MS reported how these acti-
vated cells can be enriched in vitro and phenotypically Page 8 of 9 Nath et al. Mobile DNA (2015) 6:20 showed that combination of flow cytometry, RT-PCR
analyses, RNA interference, sphere-forming and migration/
invasion assays, using the highly heterogenic human melan-
oma cell line TVM-A12 and other commercial cell lines,
confirmed that melanoma cell plasticity and generation of
CD133+ putative cancer stem cell subpopulation are
HERV-K dependent. She concluded on a promising obser-
vation showing that TVM-A12-CD133+ cells were affected
by non-nucleoside reverse transcriptase inhibitors. normal response to glucose stimulation was restored at any
of the HERV-W Env concentrations studied. Finally, she
presented results showing in vivo effects of HERV-W Env
in a humanized NOD-SCID mouse model, showing that
HERV-W Env leads to hyperglycemia and hypoinsulinemia
but not in presence the monoclonal anti-HERV-W Env
antibody when injected to mice at least one day after
HERV-W/Env. She concluded on the present consistency
between early results from human pancreatic IHC, in vitro
and in vitro models, suggesting that HERV-W could be
involved in T1D pathogeny. She nonetheless commented
that these preliminary results call for further investigation
on larger cohorts that, if in line with present observations,
may provide perspectives for novel therapeutic avenues in
T1D. Martin Sebastian Staege (Martin Luther University,
Halle-Wittenberg, Germany) presented his studies on
HERV expression in Hodgkin’s lymphoma (HL) cells,
combining conventional DNA microarray analysis for
the characterization of gene expression in HL cells com-
pared to normal blood cells with in silico identification
of HERV located in the vicinity of expressed genes and
with wet lab experiments on switching mechanism at 5'
end of RNA transcript to validate new HERV-defined
alternative transcription start sites. Concluding remarks g
This first iteration of the ‘HERV & Disease’ workshop
provided the opportunity to bring together scientists and
clinicians with diverse expertise to share data and ideas
about the biology of HERVs and the possible impact of
these elements in health and disease. The event came
more than two decades after the discovery of the first
HERV-W element isolated from an MS patient, a finding
that has been the subject of much controversy and
debate in the community. How could viral elements as-
similated within the genome of humans trigger diseases
in certain patients but not others? Many laboratories
have invested a considerable effort to clarify this issue,
yielding important clues acting at different levels. First,
recent advances in genomics have started to provide
solutions to the technical challenges posed by the gen-
etic complexity and repetitive nature of HERVs in the
human genome. This is best illustrated with HERV-K
insertions, a growing number of which have now been
shown to be polymorphic and to occur at low frequency
in the human population. Furthermore, at the gene-
environment interface, there is growing recognition of
cross-talks between diverse infectious agents (including
non-retroviral viruses) and HERVs and of their interfer-
ence with inflammatory and cytopathic signaling path-
ways. This particular role of environmental microbes
provides examples of etiopathogenic mechanisms by
which non-physiological HERV activation may occur
and may have biological effects. This would confer a “hit
and run” role for the many infectious factors often but
partially associated with these diseases and a central role
for HERVs that, once transcriptionally activated, can Reiner Strick (University Clinic Erlangen, Erlangen,
Germany) proposed a candidate/functional gene approach
to decipher HERV expression by immunohistochemistry
or q-PCR in 135 brain tumors consisting of pituitary
adenomas (PA) subtypes as well as of glioblastoma multi-
forme (GBM) and giant cell GBM as compared to normal
adenohypophysis and cortex. He presented Syncytin-1
and 20 ERV functional envelopes expression study and
reported highly up-regulated Syncytin-1, Syncytin-2, erv-3
and envK in different PA subtypes, GBM and giant cell
GBM. RS concluded that HERV genes play an essential
role in PA and GBM, possibly via general cAMP signaling,
where Syncytin-1 could be one main factor contributing
to the multinucleated cells in giant cell GBM. Session 4: Diabetes and HERVs He concluded that
data obtained by his group indicated that HERV can
recruit alternative promoters in HL cells. Session 5: Cancer and HERVs François Mallet (Joint Unit Hospices Civils de Lyon-
bioMérieux, Lyon, France) illustrated, using high density
HERV custom microarrays in Affymetrix format and a
panel of 40 normal and tumor epithelial tissue pairs, that
groups of transcriptionally active elements of the HER-
Vome are sensitive to the state of cell differentiation and
follow stringent tropism rules. He exemplified such tis-
sue specificity with results of qRT-PCR follow-up of five
HERV-H elements, initially identified with the HERV
microarray in colon cancer, in a larger cohort of 212
patients; samples comprised adenomas, colorectal car-
cinomas and liver metastasis, normal and tumoral liver
tissue, as well as organs with common sites of metasta-
sis. FM showed that HERV-H expression was maintained
throughout disease progression and strongly correlated
with microsatellite instability in colon cancer. Received: 11 September 2015 Accepted: 8 October 2015 Competing interests HP, RF, and JM are employed by Geneuro-Innovation, Lyon and are
co-authors of patents. FC is employed by Geneuro, Geneva and is co-author of patents. PK is co-author of patent. Acknowledgements The conference was sponsored by Université Lyon 1, Institut Mérieux,
Fondation fondaMental, Eclosion France, Geneuro-Innovation, Servier and
Geneuro. • Convenient online submission PK and PM are supported by a grant from ARSEP/AFM France. C.F. lab is supported by grant R01-GM112972 from the National Institutes of
Health. Authors’ contributions HP and CF contributed to the Introduction. AN, PK, GS and JK summarized
the talks presented during the session on Neurological Diseases and HERVs. AD summarized the talks presented during the session on Virus interplay
with HERV pathogeny. HK and LG summarized the talks presented during
the session on Neuropsychiatric diseases and HERVs. MS summarized the
talks presented during the session on Diabetes and HERVs. FM summarized
the talks presented during the session on Cancer and HERVs. FA and CF
summarized the Keynote addresses. PNM, JLT and HP contributed to the
concluding remarks. HP organized and assembled the manuscript, after
having received comments and approval from all speakers. All authors and
contributors to the reported talks read and approved the final manuscript. 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: Concluding remarks 13Department of Human
Genetics, University of Utah School of Medicine, Salt Lake City, UT, USA. 14Geneuro, Geneva-Switzerland and Geneuro-Innovation, Lyon, France. The initiative of such an international meeting on
‘HERV & Disease’ is expected to continue. Information
about a new iteration of this workshop will be available
on the website of the meeting before the end of 2015. Also note that abstracts are freely available online:
www.hervanddisease.com Düsseldorf, Germany. 3Guilherme Sciascia do Olival, Emilio Ribas Infectology
Institute Neuroscience and CATEM - Multiple Sclerosis Center of Santa Casa
of São Paulo, São Paulo, SP, Brazil. 4Department of Biomedical Sciences,
University of Sassari, Sassari, Italy. 5Department of Neuroscience, Karolinska
Institutet, Stockholm, Sweden. 6Institut interdisciplinaire de Neurosciences
CNRS UMR 5297, Université Bordeaux 2, Bordeaux, France. 7Department of
Anesthesiology, University Hospital, Ulm, Germany. 8Division of Infectious
Diseases, University of Utah School of Medicine, Salt Lake City, UT, USA.
9Joint Unit Hospices Civils de Lyon, bioMérieux, Cancer Biomarkers Research
Group, Centre Hospitalier Lyon Sud, Pierre Bénite cedex, France. 10Université
Lyon 1, School of Medicine, Lyon, France. 11INSERM U823, Université
Grenoble, Grenoble, France. 12UMR754, Université Claude Bernard Lyon 1,
Institut National de la Recherche Agronomique; Ecole Pratique des Hautes
Etudes; SFR BioSciences Gerland, Lyon, France. 13Department of Human
Genetics, University of Utah School of Medicine, Salt Lake City, UT, USA.
14Geneuro, Geneva-Switzerland and Geneuro-Innovation, Lyon, France. Concluding remarks Claudia Matteucci (University of Roma, Roma, Italy) pre-
sented results on the potential role of HERV-K activation
in cellular plasticity and stemness features of melanoma
cells upon the modification of the microenvironment, recal-
ling that her group previously demonstrated that HERV-K
was associated to aggressiveness and immune evasion of
metastatic melanoma using stress culture conditions. CM Nath et al. Mobile DNA (2015) 6:20 Page 9 of 9 Page 9 of 9 trigger and fuel downstream pathogenic cascades leading
to specific lesions or cellular dysfunctions. In parallel,
diseases associated with the activation of elements of the
HERV-W family have now been extended from MS to
other inflammatory neurological or neuropsychiatric dis-
eases, at least one other autoimmune disease (T1D) and,
partly or in association with other HERVs, in some can-
cer states. In the case of HERV-K, evidence is mounting
for the involvement of the HERV-K envelope protein in
the etiopathogenesis of sporadic SLA, which represents
a potential breakthrough for our understanding of this
and other neurodegenerative diseases. So, this and many
other studies on HERVs open exciting prospects as well
as new challenges to elucidate multifactorial etiopatho-
genic pathways and cellular mechanisms underlying the
etiology and progression of many poorly understood
pathologies. There is great hope that innovative therap-
ies will emerge from this research. In this respect, the
good results from early clinical trials (Phase I in healthy
volunteers and Phase IIa in MS patients) for the first
specific immunotherapy targeting an associated patho-
genic HERV protein (references of publications available
from the corresponding author), provide encouraging
and new perspectives for the patients. Düsseldorf, Germany. 3Guilherme Sciascia do Olival, Emilio Ribas Infectology
Institute Neuroscience and CATEM - Multiple Sclerosis Center of Santa Casa
of São Paulo, São Paulo, SP, Brazil. 4Department of Biomedical Sciences,
University of Sassari, Sassari, Italy. 5Department of Neuroscience, Karolinska
Institutet, Stockholm, Sweden. 6Institut interdisciplinaire de Neurosciences
CNRS UMR 5297, Université Bordeaux 2, Bordeaux, France. 7Department of
Anesthesiology, University Hospital, Ulm, Germany. 8Division of Infectious
Diseases, University of Utah School of Medicine, Salt Lake City, UT, USA. 9Joint Unit Hospices Civils de Lyon, bioMérieux, Cancer Biomarkers Research
Group, Centre Hospitalier Lyon Sud, Pierre Bénite cedex, France. 10Université
Lyon 1, School of Medicine, Lyon, France. 11INSERM U823, Université
Grenoble, Grenoble, France. 12UMR754, Université Claude Bernard Lyon 1,
Institut National de la Recherche Agronomique; Ecole Pratique des Hautes
Etudes; SFR BioSciences Gerland, Lyon, France. Author details
1 1Section of infections of the Nervous System, National Institute of
Neurological Diseases and Stroke, National Institutes of Health, Bethesda, MD,
USA. 2Department of Neurology, Heinrich Heine Universität Düsseldorf,
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الأدب الإسلامي
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_Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang (أميل بديع
: يعقوب,و بسام بركة ومي شيخاني3991
.)
: تعريف اإلسالم مفاهيم األدب اإلسالمي مفاهيم األدب اإلسالمي
األدب لغة أصل األدب هو
الدعاء واألدبة والمأدبة والمأدبة : كل طع ام صنع
لدعوة أو عرس. قال سيبويه :قالوا المأدبة كما قالو ا المدعاة وقيل المأدبة من
:األدب( ابن منظور3991
)
وفي المعجم الوسيط كلمة أدب–
أدبا : راض نفسه على المحاسن, وحذق
فنون األدب فهو أديب. واألدب رياضة النفس بالتعليم والتهذيب على ما ينبغي
وجملة ما ينبغي لذي
الصناعة أو الفن أن يتمسك به, كأدب القاضي وأدب
الكاتب. الجميل من النظم والنثر وكل ما أنتجه العقل اإلنساني من ضروب
المعرفة
: (معجم الوسيط6112
)
وعند محمد التونجي لكلمة "أدب" معنيان : معنى مادي من أدب مأدبة
بمعنى وليمة. ومعنى روحي تطور مع الزمان. وقد مرت هذه
الكلمة بمراحل
عديدة تطورت في مفهومها. فقد كانت المعروفة في العصر الجاهلي بمعنى
:الخلق النبيل الكريم, وما يتداوله العامة والخاصة في حياتهم (محمد التونجي
3131
)هـ
: وفي العصر الحديث أخذت لفظ األدب مدلولين إضافيين جديدين
3
-
معنى عام ويشمل كل ما كتب سواء أكان ع.لما أو فلسفة أم أدبا خالصا
6
-
معنى خاص ويعني األدب الخالص الجميل الذي يراد به التأثير في عواطف
القارئ والسامع معا, كما هو معروف في صناعتي الشعر والنثر األدبي. (أميل بديع
: يعقوب,و بسام بركة ومي شيخاني3991
.)
األدب لغة أصل األدب هو
الدعاء واألدبة والمأدبة والمأدبة : كل طع ام صنع
لدعوة أو عرس. قال سيبويه :قالوا المأدبة كما قالو ا المدعاة وقيل المأدبة من
:األدب( ابن منظور3991
) :األدب( ابن منظور3991
)
وفي المعجم الوسيط كلمة أدب–
أدبا : راض نفسه على المحاسن, وحذق
فنون األدب فهو أديب. واألدب رياضة النفس بالتعليم والتهذيب على ما ينبغي
وجملة ما ينبغي لذي
الصناعة أو الفن أن يتمسك به, كأدب القاضي وأدب
الكاتب. الجميل من النظم والنثر وكل ما أنتجه العقل اإلنساني من ضروب
المعرفة
: (معجم الوسيط6112
)
وعند محمد التونجي لكلمة "أدب" معنيان : معنى مادي من أدب مأدبة
بمعنى وليمة. ومعنى روحي تطور مع الزمان. وقد مرت هذه
الكلمة بمراحل
عديدة تطورت في مفهومها. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang األدب اإلسالمي
قسم تعليم اللغة العربية في كلية التربية بجامعة السنة اإلسالمية ديلي سردانج
شارع ميدان-
تانجونج موراوا كيلو متر31، حي درمو، قرية باغون ساري، تانجونج موراوا، ديلي سردانج
bunda.taqiyya@gmail.com bunda.taqiyya@gmail.com التجريد:
بعد أن
ي مر الزمان
ي
نتشتر اإلسالم إلى أق طار العالم وتطورت األحوال وتلون
فنون األدب فتغير المفهوم عن األدب اإلسالمي, وطرح
ت
األسئلة في األدب
: اإلسالمي
هل يليق أن يطلق مصطلح األدب اإلسالمي؟ هل مصطلح األدب اإلسالمي
خاصة لألدب العربي ولألديب المسلم, وهل كل األدب العربي إسالمي؟
هل احتاج
األدباء المسلمو
ن اليوم إلى عالمية األدب اإلسالمي في سماته وأصوله؟
وقيل أيضا إن
األدب اإلسالمي غير موجود فاألدب هو األدب واإلسالم هو نفسه فيه
ما فرق . فهذه
األسئلة كلها ت
حتاج إلى البحث والمناقشة والحل . إن في األدب اإلسالمي عنصرين
:مهمين هما التعبير الفني أو التعبير الجميل
والتصور اإلسالمي. ووجوده كالتيار في
األدب ال يراب لوجود الحجيات والدليالت الواضحة من النص الشرعي الدليل العقلي
التي ألقاها مؤيدوه :الكلمات المفتاحية
األدب ،اإلسالمي Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 189 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang مفاهيم األدب اإلسالمي
األدب لغة أصل األدب هو
الدعاء واألدبة والمأدبة والمأدبة : كل طع ام صنع
لدعوة أو عرس. قال سيبويه :قالوا المأدبة كما قالو ا المدعاة وقيل المأدبة من
:األدب( ابن منظور3991
)
وفي المعجم الوسيط كلمة أدب–
أدبا : راض نفسه على المحاسن, وحذق
فنون األدب فهو أديب. واألدب رياضة النفس بالتعليم والتهذيب على ما ينبغي
وجملة ما ينبغي لذي
الصناعة أو الفن أن يتمسك به, كأدب القاضي وأدب
الكاتب. الجميل من النظم والنثر وكل ما أنتجه العقل اإلنساني من ضروب
المعرفة
: (معجم الوسيط6112
)
وعند محمد التونجي لكلمة "أدب" معنيان : معنى مادي من أدب مأدبة
بمعنى وليمة. ومعنى روحي تطور مع الزمان. وقد مرت هذه
الكلمة بمراحل
عديدة تطورت في مفهومها. فقد كانت المعروفة في العصر الجاهلي بمعنى
:الخلق النبيل الكريم, وما يتداوله العامة والخاصة في حياتهم (محمد التونجي
3131
)هـ
: وفي العصر الحديث أخذت لفظ األدب مدلولين إضافيين جديدين
3
-
معنى عام ويشمل كل ما كتب سواء أكان ع.لما أو فلسفة أم أدبا خالصا
6
-
معنى خاص ويعني األدب الخالص الجميل الذي يراد به التأثير في عواطف
القارئ والسامع معا, كما هو معروف في صناعتي الشعر والنثر األدبي. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang فقد كانت المعروفة في العصر الجاهلي بمعنى
:الخلق النبيل الكريم, وما يتداوله العامة والخاصة في حياتهم (محمد التونجي
3131
)هـ أ : وفي العصر الحديث أخذت لفظ األدب مدلولين إضافيين جديدين
3
-
معنى عام ويشمل كل ما كتب سواء أكان ع.لما أو فلسفة أم أدبا خالصا
6
-
معنى خاص ويعني األدب الخالص الجميل الذي يراد به التأثير في عواطف
القارئ والسامع معا, كما هو معروف في صناعتي الشعر والنثر األدبي. (أميل بديع
: يعقوب,و بسام بركة ومي شيخاني3991
.) : تعريف اإلسالم
وأما
اإل سالم
لغة من سلم :السال :م والسالمة : البراءة والسلْم ندغ الحية والسلَم
االستسالم والتسالم هو التصالح واإلسالم واالستسالم هو االنقياد, واإلسالم من : تعريف اإلسالم وأما
اإل سالم
لغة من سلم :السال :م والسالمة : البراءة والسلْم ندغ الحية والسلَم
االستسالم والتسالم هو التصالح واإلسالم واالستسالم هو االنقياد, واإلسالم من Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 190 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang الشريعة هو إزهار الخضوع وإظهار الشريعة وااللتزام ما أتى به النبي صلى الله عليه
: وسلم وبذلك يحقن الدم ويستدفع المكروه. (ابن منظزر3929
) وهو من سلِم سالما وسالمة :برئ: خلص فهو سالم وسليم. وأسلم :أنقاد
وأخلص الدين لله واإلسالم :إظهار الخضوع والقبول لما أتى به النبي صلى الله عليه
وسلم. هو الدين الذي جاء به النبي محمد صلى الله عليه وسلم. (إبراهيم مصطفى
: وأصحابه3116
.) ى
ي و م (إبر يم
ى
بي
ب
ي
ين
و
و م
: وأصحابه3116
.)
1.1
تعريف األدب اإلسالمي
ذ ا نسب األدب إلى اإلسالم فظهر
ت
:التعريفات عديدة منها
عرف سيد قطب رحمه الله أن األدب اإلسالمي هو التعبير الناشئ امتالء
.النفس بالمشاعر اإلسالميية
وعرف
محمد قطب رحمه الله أنه التعبير الجميل عن الكون والحياة واإلنسان
من خالل التصور اإلسالمي.لهذا الوجود
(محمد ق: طب3991
)
وورأى عماد الدين خليل أنه تعبير جمالي مؤثر بالكلمة عن التصور اإلسالمي
للوجود. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang وقال عبد الرحمن الباشا أنه التعبير الفني الهادف عن موقع الحياة
والكون واإلنسان على وجدان األديب تعبيرا ينبع من التصور اإلسالم للخالق عز
.وجل مخلوقاته
وهو أدب ينبع من
اإلسالم والمسلمين, له سماته وله صوره وله أشكاله وأساليبه
: (محمد حسن بريغس3991
)
ووصف عبد الجواد محمد المحص (
6111
)األدب اإلسالمي بمصطلح
أوفكرة أو مذهب أوتيار أو نظرية أو منهج يتخطى حدود الزمان والمكان واللغة
ليشمل كل نتاج أدبي ملتزم بمنهج اإلسالم في ميد .ان الفنون واألدب والحياة
فاألدب الذي أبدع في عصور صدر اإلسالم واألموية والعباسية واألندلسية
والمملوكية والعثمانية والحديثة أدب إسالمي متى كان هذا األدب ملتزما بروح
اإلسالم ومنهجه ومبادئه. وهو ال يقف عند حد النصائح والمواعظ الدينية 1.1
تعريف األدب اإلسالمي
إذ ا نسب األدب إلى اإلسالم فظهر
ت
:التعريفات عديدة منها
عرف سيد قطب رحمه الله أن األدب اإلسالمي هو التعبير الناشئ امتالء
.النفس بالمشاعر اإلسالميية اإأ
عرف سيد قطب رحمه الله أن األدب اإلسالمي هو التعبير الناشئ امتالء
.النفس بالمشاعر اإلسالميية
وعرف
محمد قطب رحمه الله أنه التعبير الجميل عن الكون والحياة واإلنسان
من خالل التصور اإلسالمي.لهذا الوجود
(محمد ق: طب3991
)
وورأى عماد الدين خليل أنه تعبير جمالي مؤثر بالكلمة عن التصور اإلسالمي
للوجود. وقال عبد الرحمن الباشا أنه التعبير الفني الهادف عن موقع الحياة
والكون واإلنسان على وجدان األديب تعبيرا ينبع من التصور اإلسالم للخالق عز
.وجل مخلوقاته
وهو أدب ينبع من اإلسالم والمسلمين, له سماته وله صوره وله أشكاله وأساليبه
: (محمد حسن بريغس3991
)
ووصف عبد الجواد محمد المحص (
6111
)األدب اإلسالمي بمصطلح
أوفكرة أو مذهب أوتيار أو نظرية أو منهج يتخطى حدود الزمان والمكان واللغة
ليشمل كل نتاج أدبي ملتزم بمنهج اإلسالم في ميد .ان الفنون واألدب والحياة
فاألدب الذي أبدع في عصور صدر اإلسالم واألموية والعباسية واألندلسية
والمملوكية والعثمانية والحديثة أدب إسالمي متى كان هذا األدب ملتزما بروح
اإلسالم ومنهجه ومبادئه. وهو ال يقف عند حد النصائح والمواعظ الدينية Jurnal WARAQAT ♦ Volume V, No. Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1, Januari-Juni 2020 | 191 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang واإلبتهاالت والتسابيح و المدائح النبوية والتفاعل مع التاريخ اإلسالمي أحداثا
وأبطاالر وعبرا وإنما يشمل هذا ثم يمتد في ملوله يشمل سائر الموضوعات
والمحار التي تشملها الرؤية اإلسالمية الصحيحة للكون والحياة واإلنسان وتعبر
.عنها األدباء حتى في نطاق الذاتي الوجداني ألن اإلسالم دين وحياة
ورأى علي صبح أنه التصوير الفني الجميل للكائنات حية كانت أو جامدة التي
سخرها الله تعالى لإلنسان في الحياة والكون, يستمد األديب قيمه الخلقية
والفنية من حضارة اإلسالم المتجددة قديما وحديثا وفي المستقبل تصويرا حيا
قويا نابضا بالصدق الفني يثير العواطف واإلنفع االت ويحرك المشاعر
واألحاسيس ويثري الوجدان والخواطر سواء أبدع باللغة العربية أو بلغات شعوب
: غير اإلسالم (محمد المحص6111
)
( ورأى عباس محجوب6112
) أنه وسيلة األدباء والمبتدعين في تقديم مشروع
اإلسالم الحضاري العقيدي باعتبار البديل األفضل واإلختيار واألمثال و المنهج
.اإلقوم المتناسق مع فطرة اإلنسان والمتناغم مع حركة الوجود إا
لأ
أ ماإ
( ورأى عباس محجوب6112
) أنه وسيلة األدباء والمبتدعين في تقديم مشروع
اإلسالم الحضاري العقيدي باعتبار البديل األفضل واإلختيار واألمثال و المنهج
.اإلقوم المتناسق مع فطرة اإلنسان والمتناغم مع حركة الوجود إإ
هذه مجمل التعريفات التي أطلعت عليها األدب اإلسالمي هوي في مجملها
تركز على عنصرين مهمين هما :التعبير الفني أو التعبير الجميل والتصور
.اإلسالمي
فمن التع
ات ريف السابقة نستطيع أن نلخص المفاهيم اآل: تية فمن التع
ات ريف السابقة نستطيع أن نلخص المفاهيم اآل: تية 3
- إ نه يشترك مع األدب في جانب تعبير عن تجربة شعورية ويتميز عنه في جانب
آخر. ثم يزيد
على األدب عموما بأنه قيد تجربة شعورية إسالمية أي متخصص
.بإسالميته 6
- وهو يشمل سائر الموضوعات والمحاور التي تشملها الرؤية اإلسالمية
1
- وهو يشمل أدب سائر العصور منذ صدر اإلسال م إلى اليوم مادام فيها روح اإلسالم
.ومنهجه ومبادئه Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 192 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1
-
وهو يشمل أدب سائر اللغات مادام فيه سمات اإلسالم أي فيه عالمية األدب
.اإلسالمي عربية أم أعجمية 1.1
مصطلح األدب اإلسالمي عبر العصور
إن األدب منذ صدر اإلسالم لم يخصص باألدب اإلسالمي إصطالحا ولم يستخدم
هذا اإلصطال ح حينذاك ولم يحتاج إلى هذا التقييد ألن المسلمين كلهم كانوا مسلمين
في إعتقادهم وفكرتهم وسلوكهم ولم يتصور أحدهم أمرا خارج اإلسالم فاإلسالم منهج
حياتهم وبه يقيسون كل أمورهم. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang والشعراء الذين أسلمواكفوا مباشرة عن قول الفاحش
والبذئ وأصبح شعرهم مالئما لإلسالم وم وافقا بأحكامه وشأنهم في ذلك كشأنهم في
كل نشاطهم وأعمالهم وكانت تصدر صيحات اإلنكار والمعارضة ضد من يخرج عن
منهج اإلسالم في قول وفعل بل قد يؤدي ذلك إلى إيقاع العقوبة بمن يقترف ذنبا في
قوله كما حدث للخطيئة عندما سجنه الفاروق وكما حدث ألبي محجن عندما عاقبه
سع
د بن أبي وقاص . : (محمد حسن بريغس3991
)
فاألدب الذي تركه المسلمون أدب إسالمي في عمومه, وما خرج منه عن مسار
اإلسالم أنكره
النقاد والعلماء, وسيظل كل مسلم يحتكم إلى شريعة الله عز وجل. ومما
يؤدي ذلك أن الصحابة والتابعين كانوا يتسابقون إلى حفظ الشعر وروايته و يوصون
أبناءهم بذلك, ولذلك لم يجدو الحاجة لوصفه باإلسالم. فعن خالد ابن كيسان كنت
عند ابن عمر فوقف عليه إياس بن خيثمة قال. أال أنشدك من شعري يا بن الفاروق؟
قال بلى, ولكن ال تنشدني إال حسنا, فأنشده حتى إذا بلغ شيئا كرهه ابن عمر قال له
أمسك. (البخاري :
3119
÷ه.ـ) هذا من موقف الصحابة في األدب
إذن إن مطلب
أدبنا القديم بهذه المصطلحة لم يكن ضروريا ولكن حقيقة األدب اإلسالمي موجود من
قبل. 1.1
مصطلح األدب اإلسالمي عبر العصور
إن األدب منذ صدر اإلسالم لم يخصص باألدب اإلسالمي إصطالحا ولم يستخدم
هذا اإلصطال ح حينذاك ولم يحتاج إلى هذا التقييد ألن المسلمين كلهم كانوا مسلمين
في إعتقادهم وفكرتهم وسلوكهم ولم يتصور أحدهم أمرا خارج اإلسالم فاإلسالم منهج
حياتهم وبه يقيسون كل أمورهم. والشعراء الذين أسلمواكفوا مباشرة عن قول الفاحش
والبذئ وأصبح شعرهم مالئما لإلسالم وم وافقا بأحكامه وشأنهم في ذلك كشأنهم في
كل نشاطهم وأعمالهم وكانت تصدر صيحات اإلنكار والمعارضة ضد من يخرج عن
منهج اإلسالم في قول وفعل بل قد يؤدي ذلك إلى إيقاع العقوبة بمن يقترف ذنبا في
قوله كما حدث للخطيئة عندما سجنه الفاروق وكما حدث ألبي محجن عندما عاقبه
سع
د بن أبي وقاص . : (محمد حسن بريغس3991
) سع
د بن أبي وقاص . : (محمد حسن بريغس3991
)
فاألدب الذي تركه المسلمون أدب إسالمي في عمومه, وما خرج منه عن مسار
اإلسالم أنكره
النقاد والعلماء, وسيظل كل مسلم يحتكم إلى شريعة الله عز وجل. ومما
يؤدي ذلك أن الصحابة والتابعين كانوا يتسابقون إلى حفظ الشعر وروايته و يوصون
أبناءهم بذلك, ولذلك لم يجدو الحاجة لوصفه باإلسالم. فعن خالد ابن كيسان كنت
عند ابن عمر فوقف عليه إياس بن خيثمة قال. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang أال أنشدك من شعري يا بن الفاروق؟
قال بلى, ولكن ال تنشدني إال حسنا, فأنشده حتى إذا بلغ شيئا كرهه ابن عمر قال له
أمسك. (البخاري :
3119
÷ه.ـ) هذا من موقف الصحابة في األدب
إذن إن مطلب
أدبنا القديم بهذه المصطلحة لم يكن ضروريا ولكن حقيقة األدب اإلسالمي موجود من
قبل. وأما إطالق مصطلح األدب اإلسالمي فكان
حديثا جديدا, أصبح ضروريا
لتمييز هذا األدب بعد أن إختلطت األمور وأصبحت الالفتات كثيرة والمص طلحات Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 193 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang عديدة منها مصطلحات غربية تحمل في طياتها روح الفلسفات الماضية والمعتقدات
الوثنية أوالنصرنية. وبعد أن أصبحت حياة الناس بعيدة في كثير من وجوهها عن اإلسالم
وعن منهج اإلسالم, فلذلك يحتاج األدباء المسلمون إلى عالمية األدب اإلسالمي
محافطة على القيم اإلسالمي ة ألنه إذا قيد شيء باإلسالم فهو يتعلق مباشرة باألمور
الدينية. )(المرجع نفسه 1.1
األدب اإلسالمي واألدب العرب
ي
:قد بدت األسئلة حول األدب العربي األدب اإلسالمي منها
ما العالقة بين األدب العرب واألدب اإلسالمي ؟ هل كل األدب العرب أدب إسالمي؟
العالقة بينهما عالقة
رحم وقرابة واألدب العربي هو مصطلح يطلق على األدب
المكتوب باللغة العربية أيا كان مضمونه واتجاهاته و عصوره وأما األدب اإلسالمي فهو
مصطلح يطلق على األدب المصطبغ بالروح اإلسالمي سواء أجاء هذا األدب مكتوبا
باللغة العربية أم بغيرها من اللغات. (عبد الجواد محمد ا : لمحص6111
) 1.1
األدب اإلسالمي واألدب العرب
ي
:قد بدت األسئلة حول األدب العربي األدب اإلسالمي منها
ما العالقة بين األدب العرب واألدب اإلسالمي ؟ هل كل األدب العرب أدب إسالمي؟
العالقة بينهما عالقة
رحم وقرابة واألدب العربي هو مصطلح يطلق على األدب
المكتوب باللغة العربية أيا كان مضمونه واتجاهاته و عصوره وأما األدب اإلسالمي فهو
مصطلح يطلق على األدب المصطبغ بالروح اإلسالمي سواء أجاء هذا األدب مكتوبا
باللغة العربية أم بغيرها من اللغات. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang (عبد الجواد محمد ا : لمحص6111
) 1.1
األدب اإلسالمي واألدب العرب
ي
:قد بدت األسئلة حول األدب العربي األدب اإلسالمي منها
ما العالقة بين األدب العرب واألدب اإلسالمي ؟ هل كل األدب العرب أدب إسالمي؟
العالقة بينهما عالقة
رحم وقرابة واألدب العربي هو مصطلح يطلق على األدب
ات ا ات
ة أ ا كان ض ن
اللغة ال
ال ك
ف
اإل ال
أ ا األ العالقة بينهما عالقة
رحم وقرابة واألدب العربي هو مصطلح يطلق على األدب
المكتوب باللغة العربية أيا كان مضمونه واتجاهاته و عصوره وأما األدب اإلسالمي فهو
مصطلح يطلق على األدب المصطبغ بالروح اإلسالمي سواء أجاء هذا األدب مكتوبا
باللغة العربية أم بغيرها من اللغات. (عبد الجواد محمد ا : لمحص6111
) اليزال بعض الناس يرفض مصطلح "األدب اإلسالمي" واليستطيع أن يميّز
بينه
.وبين "األدب العربي"، والحقيقة أنَّ الفارق بين األدبين هو الفارق بين العام والخاص
فاألدب اإلسالمي أدب مستقيم بمعني أنّه أدب يعكس التصوّر اإلسالمي الصحيح
لإلنسان والحياة والك ون، وحدوده ـ إذا كان له حدود ـ هي الركيزة التي يقوم عليها
وليست هوية الكاتب أو اللغة التي يستعملها، فاألدب اإلسالمي أدب عالمي، ومن
.الممكن أن يُكتب بأي لغة مادام يلتزم بالتصوّر اإلسالمي الصحيح أمَّا األدب العربي فهو كل مايُكتب باللغة العربية سواء كان إسال مياً أو غير
إسالمي، واليستطيع أحد اليوم في هذا العصر الذي يموج بمختلف المعتقدات
واألهواء أن يقول إنَّ األدب العربي ـ كله ـ أدب إسالمي، وإن كان الذين يكتبون فيه Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1, Januari-Juni 2020 | 194 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang يعتبرون مسلمين ويحملون أسماء إسالمية؛ ذلك ألنَّنا نجد بينهم من يعكس الرؤية
الماركسية في أدبه، وآ خر متأثراً بالوجودية، وثالث عبثي أو "بوهيمي" الهمّ له والرسالة
ًفيما يكتب، وهكذا نخلص إلى القول بأنّه ليس كل من كتب باللغة العربية كتب أدبا
.ًإسالميا (محمد أبو بكر حميد :
6111
) ويظن الكثير مــن النـاس أنَّ األدب اإلسالمـي هـو تلك الروايـات والمسرحيات
والقصا ئد التي تستمد موضوعاتها من التاريخ والتراث اإلسالمي، وينطوي هذا الفهم
الخاطئ على خطر كبير قد يؤدي إلى تضليل القارئ المسلم العادي الذي يبتغي
معرفة تاريخ أمّته من خالل هذه األعمال الفنية؛ ألنّ معالجة التاريخ اإلسالمي والقيم
اإلسالمية في أدب على أيدٍ مغرضة أو
جاهلية ال يوجهها التصوّر اإلسالمي الصحيح
قد يؤدي إلى طمس المفاهيم اإلسالمية وتغييرها واإلساءة إلى الشخصيات البارزة في
.تاريخنا وخير مثال على هذا ما كتبه جورجي زيدان (النصراني) من أدب تحت
عنوان:"روايات تاريخ اإلسالم"، فهل تدخل هذه األعمال وأمثالها تحت باب األدب
اإلسالمي؟ والجواب: بالطبع "ال"؛ ألنّ اإلسالم يجب أن ينعكس في األدب
بمفاهيمه وتصوراته وفلسفته في األعمال األدبية التي تتناول موضوعات من التاريخ أو
.الحياة المعاصرة
وكما قال السيد محمد قطب :" والفن اإلسالمي من ثم ينبغي أن
يصدر عن فنان مسلم ألن غير المس لمين أو من ال يؤمنون باإلسالم عقيدة ومنهجا
للحياة, قد تتلقى جزئيا مع األدب اإلسالمي ولكنها ال يمكن أن تتوافق تماما معه
.في المنهج والتصور: (محمد قطب3991
) ،إذاً فاألدب اإلسالمي ينبغي أن ال ينحصر في موضوعات التاريخ اإلسالمي وحده
ويفترض أن ال يكون مباشراً ووع ظياً؛ ألنّه في هذه الحالة سيتساوى مع الخطب
والمقاالت. وأصدق الفن ـ كما هو معروف ـ هو ذلك الذي يعبّر عن رسالته من
خالل الرمز والتلميح ال التشهير والتصريح. فال نعجب إذا رأينا عمالً فنياً، رواية كانت Jurnal WARAQAT ♦ Volume V, No. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1, Januari-Juni 2020 | 195 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang أو مسرحية مثالً، تدور أحداثها في عصر سابق لإلسالم وفي عالم غير عالم اإلسالم
وال ترد خاللها إشارة لإلسالم من قريب أو من بعيد، ثم تجدها بعد ذلك منبثقة من
.صميم التصوّر اإلسالمي لإلنسان والحياة والكون ومن هذا الباب يكون األدب اإلسالمي عالمياً حين يجعل من تراث اإلنسانية
كلها
مصدراً لموضوعاته، شريطة أن تتم معالجة هذه الموضوعات من وجهة النظر
اإلسالمية، وهذا يتمثّل أكثر ما يتمثّل في كثير من أعمال رواد األدب اإلسالمي في
العصر الحديث، أمثال مصطفى صادق الرافعي وسيّد قطب وعلي أحمد باكثير
وعبدالحميد جودة السحّار وغيرهم، وقد قام باكثير بخطوة جريئة حين حلق بأدبه
المسرحي اإلسالم ي في اآلفاق العالمية عندما تناول قصص التراث الفرعوني
واإلغريقي واألوربي في أعمال مثل "إخناتون ونفرتيتي" و"مأساة أوديب" و"فاوست
الجديد"، ويظل ما يميّزه عن غيره من األدباء الذين تناولوا هذه األساطير أنّ باكثير
صاغها في قوالب تتفق مع التصوّر اإلسالمي لإلنسان.والحياة والكون (
محمد أبو
بكر حميد :
6111
) وقد أعطى الكاتب اإلسالمي األستاذ "محمّد قطب" بعداً آخر لعالمية األدب
اإلسالمي الحديث، وذلك حين اعتبر مسرحية "الراكبون البحر" للكاتب اإليرلندي
"جون ميلنجتون سينج" تدخل في دائرة التصوّر اإلسالمي، وبالمثل نجد د.عماد
ا "لدين خليل في كتابه "في النقد اإلسالمي المعاصر" يضع مسرحية "مركب بال صيَّاد
للكاتب اليوناني ليخاندوو كاسونا" في هذا اإلطار. وهذا المنهج في نظري سيفتح
،أوسع األبواب بيننا وبين األدب األجنبي، وسيفتح حقوالً جديدة للنقد واإلبداع
وسيصل إليهم تصورنا اإلسالمي لإل نسان والحياة والكون من خالل أعمالهم التي
يتناولها النقد عندنا أو أعمالنا التي تستمد موضوعاتها من تراثهم، وبهذا نستطيع أن
نضع بين أيديهم "رسالة اإلسالم" فيتأثرون بها في هدوء وبطريقة غير مباشرة، وهذه
هي أهمية الفن.. أهمية كبرى يجب أن تكون من بين أولويات الدع وة لإلسالم في Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 196 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang .الغرب والشرق: (محمد قطب3991
) إنّ الذي تحتاجه مجتمعاتنا اإلٍسالمية المعاصرة هو ذلك األديب الذي تُبدع قريحته
على ضوء اإلسالم ويتحرّك قلمه في إطار فلسفته. إننا نريد روايات وقصائد
،ومسرحيات تتناول قضايا المجتمع المسلم من وجهة نظر إسالمية صحيحة
ف اإلسالم ليس الماضي فقط حتى نقصر األدب اإلسالمي على التاريخ.. اإلسالم هو
الحاضر والمستقبل، واإلسالم قبل هذا كله وبعده "حضارة"، "ومنهج حياة".. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang فهل
!لهذا وجود في أدبنا العربي الحديث؟ وعلى رغم من ذلك إن األدب العربي أعم من األدب اإلسالمي
بمعنى أنه ليس
كل األ ,دب العربي أدبا إسالميا بل معطمه الذي يحمل روح اإلسالم من أي جهة
واألدب العربي الذي ينحرف عن مبادئ اإلسالم كموضوع الخمريات والشهوات
والخرفات والشرك وغيرها من األمور التي يرغب عنه اإلسالم واألدب العربي الذي
.أبدعه األدباء الكفار ومع أن األدب العربي ليس كله إ سالميا, فهو حصن األدب اإلسالمي األول
وميدانه األهم, وصدر عليه سماته وخصائصه وبعض أغراضه ومنهجه وحقيقة األدب
العربي في عصر صدر اإلسالمي والخالفة هي القيم . Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 197 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang األدب اإلسالمي بين مؤيديه ومعارضيه
6.1
األدب اإلسالمي عند مؤيديه 6.1
األدب اإلسالمي عند مؤيديه إن معظم األدباء المسلمين اتفقوا على مصطلحة األدب اإلسالمي لوجود حقيقته منذ
مجيئ الصطلحة األدب اإلسالمي لوجود حقيقته منذ مجيئ اإلسالم إن كان لم يسمى
به لشمولية اإلسالم في تلك العصور كما ذكر سابقا. وظهرت هذه المصطلحة
جديدا
حديثا لما كان المسلمون قد انتشروا في أقطار العالم واختلطوا بالمذاهب
المختلفة
والفكرات العديدة أغلبها الغربية. فيلزم وجود مصطلحة األدب اإلسالمي الذي يصدر
.على مبادئ اإلسالم ومناهجه وعندهم أن األدب له موقف خاص في اإلسالم منذ رسالة اإلسالم حتى اليوم
:فقد يكون وسيلة لتوصيل الشريعة والدعوة. زمن حجاتهم لهذا الموقف هي ا جاء ال
حديث في مدح الشعر
قصة حسان بن ثابت رضي الله عنه وأرضاه
: روي البخاري في صحيحه عن
عائشة رضي الله عنها أنها قالت: كان رسول الله صلى الله عليه وسلم وضع
لحسان منبرا في المسجد يقوم عليه قائما يفاخر عن رسول الله صلى الله عليه
وسلم أو ينافح, ويقول رسول الله: إن ا لله يؤيد حسان بروح القدس ما نافح أو
.فاخر عن رسول الله
ومن هذا الحديث نعرف أن األدب اإلسالمي له موقف خاص حتى أجهز
رسول الله صلى الله عليه وسلم منبرا في المسجد للشاعر ألنه كان دفاعا عن
النبي فهو صار وسيلة لدعوة اإل.سالم
عن كعب بن مالك أنه قال للنبي صلى الل ه عليه وسلم : إن الله قد أنزل ما في
الشعر ما أنزل فقال النبي صلى الله عليه وسلم
: إن المؤمن يجاهد بنفسه
ولسانه والذي نفسي بيده لكان ما ترمونهم به فضح النبل. Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang باب ما جاء عن رسول الله صلى الله عليه وسلم في ذم الشعر
:خصوصا وفي األدب عموما
عن أبي سعيد الخدري رضي الله عنه أنه
قال: بينا نحن نسير مع رسول الله
صلى الله عليه وسلم بالعرج إذا عرض شاعر ينشد فقال رسول الله صلى الله
عليه وسلم: خذوا الشيطان أو أمسكوا الشيطان ألن يمتلئ
جوف رجل قيحا
.خير له من أن يمتلئ شعرا
(صحيح المسلم الحديث ذو الرقم6619
كتاب
)الشعر
والمقصود بالشعر ال وارد في هذا الحديث إنما هو الشعر الذي هجي به رسول
الله صلى الله عليه وسلم ال الشعر كله
: وبين عن هذا القرآن الكريم في سورة الشعراء661
-
661
)
"والشعراء يتبعهم الغاوون ألم ترى أنهم في واد يهيمون, وأنهم يقولون ماال
يفعلون, إال الذين أمنوا وعملوا الصالحات وذكرو ا الله كثيرا وانتصروا من بعد ما
".....ظلموا
فمن األدلة السابقة نستطيع أن نستخلص بأن اإلسالم ال يذم الشعر لذاته وإنما يذم
المفاسد من منهج الشعراء ذلك ألن الشعر نوع من أنواع الكالم وضرب من ضروبه
وصالحه كصالح غيره من الكالم وهو مقبول. وفاسده كفاسده وهو مرفوض
كذلك
لفنون األدب األخرى. واحتج مؤيدو األدب اإلسالمي بهذه الحجة ألن اإلسالم دين
شامل متكامل وشريعته كافة يشمل كل نواحي الحياة, فعلى رغم من ذلك نحتاج إلى
( قانون ومناهج خاصة في هذا التيار. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang وروي في شرح السنة ح
ي
قصة حسان بن ثابت رضي الله عنه وأرضاه
: روي البخاري في صحيحه عن
عائشة رضي الله عنها أنها قالت: كان رسول الله صلى الله عليه وسلم وضع
لحسان منبرا في المسجد يقوم عليه قائما يفاخر عن رسول الله صلى الله عليه
وسلم أو ينافح, ويقول رسول الله: إن ا لله يؤيد حسان بروح القدس ما نافح أو
.فاخر عن رسول الله أإا ومن هذا الحديث نعرف أن األدب اإلسالمي له موقف خاص حتى أجهز
رسول الله صلى الله عليه وسلم منبرا في المسجد للشاعر ألنه كان دفاعا عن
النبي فهو صار وسيلة لدعوة اإل.سالم إا
عن كعب بن مالك أنه قال للنبي صلى الل ه عليه وسلم : إن الله قد أنزل ما في
الشعر ما أنزل فقال النبي صلى الله عليه وسلم
: إن المؤمن يجاهد بنفسه
ولسانه والذي نفسي بيده لكان ما ترمونهم به فضح النبل. وروي في شرح السنة Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 198 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang وفي اإلستعاب البن عبد البر ألنه قال : يا رسول الله ماذا ترى في الشعر؟
فقال إن الم.ؤمن يجاهد بنفسه ولسانه
: (عبد الرحمن رأفت الباشا3999
)
فمن هذا الدليل رأى رابطة األدب اإلسالمي العالمي أن األدب اإلسالم من
جهاد الكلمة. يأاإ
ي
فقال إن الم.ؤمن يجاهد بنفسه ولسانه
: (عبد الرحمن رأفت الباشا3999
)
فمن هذا الدليل رأى رابطة األدب اإلسالمي العالمي أن األدب اإلسالم من
جهاد الكلمة. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang وذها حسن بريغس3991
) إلى أن األدب
.اإلسالمي من الحهاد بالكلمة باب ما جاء عن رسول الله صلى الله عليه وسلم في ذم الشعر
:خصوصا وفي األدب عموما باب ما جاء عن رسول الله صلى الله عليه وسلم في ذم الشعر
:خصوصا وفي األدب عموما
عن أبي سعيد الخدري رضي الله عنه أنه
قال: بينا نحن نسير مع رسول الله
صلى الله عليه وسلم بالعرج إذا عرض شاعر ينشد فقال رسول الله صلى الله
عليه وسلم: خذوا الشيطان أو أمسكوا الشيطان ألن يمتلئ
جوف رجل قيحا
.خير له من أن يمتلئ شعرا
(صحيح المسلم الحديث ذو الرقم6619
كتاب
)الشعر
والمقصود بالشعر ال وارد في هذا الحديث إنما هو الشعر الذي هجي به رسول
الله صلى الله عليه وسلم ال الشعر كله
: وبين عن هذا القرآن الكريم في سورة الشعراء661
-
661
)
"والشعراء يتبعهم الغاوون ألم ترى أنهم في واد يهيمون, وأنهم يقولون ماال
يفعلون, إال الذين أمنوا وعملوا الصالحات وذكرو ا الله كثيرا وانتصروا من بعد ما
".....ظلموا
عن أبي سعيد الخدري رضي الله عنه أنه
قال: بينا نحن نسير مع رسول الله
صلى الله عليه وسلم بالعرج إذا عرض شاعر ينشد فقال رسول الله صلى الله
عليه وسلم: خذوا الشيطان أو أمسكوا الشيطان ألن يمتلئ
جوف رجل قيحا
.خير له من أن يمتلئ شعرا
(صحيح المسلم الحديث ذو الرقم6619
كتاب
)الشعر والمقصود بالشعر ال وارد في هذا الحديث إنما هو الشعر الذي هجي به رسول
الله صلى الله عليه وسلم ال الشعر كله
: وبين عن هذا القرآن الكريم في سورة الشعراء661
-
661
)
"والشعراء يتبعهم الغاوون ألم ترى أنهم في واد يهيمون, وأنهم يقولون ماال
يفعلون, إال الذين أمنوا وعملوا الصالحات وذكرو ا الله كثيرا وانتصروا من بعد ما فمن األدلة السابقة نستطيع أن نستخلص بأن اإلسالم ال يذم الشعر لذاته وإنما يذم
المفاسد من منهج الشعراء ذلك ألن الشعر نوع من أنواع الكالم وضرب من ضروبه
وصالحه كصالح غيره من الكالم وهو مقبول. وفاسده كفاسده وهو مرفوض
كذلك
لفنون األدب األخرى. واحتج مؤيدو األدب اإلسالمي بهذه الحجة ألن اإلسالم دين
شامل متكامل وشريعته كافة يشمل كل نواحي الحياة, فعلى رغم من ذلك نحتاج إلى
( قانون ومناهج خاصة في هذا التيار. وذها حسن بريغس3991
) إلى أن األدب
.اإلسالمي من الحهاد بالكلمة Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 199 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang فأهمية:األدب اإلسالمي عند مؤيديه منها
:(عبد الجواد محمد المحص
6111
) إ 6111
) 3. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang حماية اإلنسان المسلم من المؤثرات
التي يعترض لها فكرا وعقليا ونفسيا
وإجتماعيا والتي جاءته كلما من بقايا ما يسمى بعصر التنوير األوروبي بكل ما
.يفعل به من كفريات ومفاسد 6. إعادة الذاكرة اإلسالمية إلى سالف عهدها الزاهر الناهض حتى يغدوا العقل
.المسلم صافيا متوقد يملك القدرة على التمييز والعطاء واإلبداع والتأصيل
1. إن األدب أخرج عن أصله اإلسالمي عنوة بفعل أولئك األدباء الذين تناولوا
موضوعات تتنافي
اإلسالم كالمجنون والخمريات والغزل والمكشوف واألدب
الملحد ال.متزندق 1. أن اأدب شأنه شأن العلوم اإلنسانية التي هي من فكر اإلنسان ونتاج عقله الذي
.هيأه الله لمثل هذا 1. أن اأدب شأنه شأن العلوم اإلنسانية التي هي من فكر اإلنسان ونتاج عقله الذي
.هيأه الله لمثل هذا 1. أن الحياة األدبية الراهنة
يسودها خلل عظيم وفساد كبير ومن مظاهرها: شيوع
التيارات العلمانية والشيوعية والغربية وهيمنتها على الصحف والمجالت والثقافات
واألد.بية 1. أن الحياة األدبية الراهنة
يسودها خلل عظيم وفساد كبير ومن مظاهرها: شيوع
التيارات العلمانية والشيوعية والغربية وهيمنتها على الصحف والمجالت والثقافات
واألد.بية 1. أن الحياة األدبية الراهنة يسودها خلل عظيم وفساد كبير ومن مظاهرها: شيوع
التيارات العلمانية والشيوعية والغربية وهيمنتها على الصحف والمجالت والثقافات 1. أن الحياة األدبية الراهنة يسودها خلل عظيم وفساد كبير ومن مظاهرها: شيوع
أالتيارات العلمانية والشيوعية والغربية وهيمنتها على الصحف والمجالت والثقافات 2. .مقاومة األدب المتنبي إلى هوية أخرى غير هوية اإلسالم
1. تقويم مسار األدب اإلسالمي ال
ي بدأ قبل أربعة عشر قرنا من الزمان وفقا
.لتصوير اإلسالم يختلف بالضرورة عن التصوير غير اإلسالم
9. أن األدب اإلسالمي يمنح األديب المسلم مساحة أرحب وأوسع من أي أدب
أخرى إذ أ ن األدب اإلسالمي يشمل مساحة الكون كله بقضاياه وأموره وأحواله
.المتجددة والمتعددة 9. أن يشارك األدب اإلسالمي
إبداعا ونقدا بنصيب وافر في الصحوة اإلسالمية
المعاصرة ال سيما األدب في مفهومه السليم دعوة إلى األخالق الفاضلة والصفات
الحميدة التي عليها تبني العالقات.المتينة بين األفراد المجتمعات Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1, Januari-Juni 2020 | 200 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang فنفهم من هذه األهمية وأسباب تعليق األدب اإلسالمي أن وضع أساس
األدب اإلسالمي وإظهار شروطه ملتزم حتمي فال شك لنا في قبول هذا التيار الصافي
.لمصالح األمة الدين 6.1
األدب اإلسالمي عند معارضيه إن بعض الناس قد عارضوا وجود األدب
اإلسالمي رغم أن كونه ظاه
را ج
ليا
مهما لألمة
والدين, ألن الدين عندهم أحد المؤثرات التهذيبية الروحية لمن يريد وهو اختيار فردي
وعالقة خاصة يستكنها الفرد في أعماقه
ويتعامل من حاللها في جوانبه الروحية مع ما
يعتقد
. وعندهم ال يتدخل الدين في حياة الناس ويدعي عالقته
باألدب واإلقتصاد
.والعلم واإلجتماع والتربية والسياسة ألن الدين عندهم أمر روحي خاص بالفرد معارضي
ومن األدب اإلسالمي هم شعراء المهجر قال:زئبق أحمر
كالمي عن األدب اإلسالمي.. أو مصطلح األدب اإلسالمي.. فهل هناك شيء يصح
أن نطلق عليه هذا المصطلح؟ أنا أزعم أن ال شيء يصح أن نطلق عليه ذلك!! ولكم
_جميعاً_ أن تفتحوا أعينكم
,بالقدر الذي تستطيعون
ولكن كيف أقنعكم بوجهة
نظري؟ وهي األصل ووجهة نظركم هي الطارئة! فمن منا أحق باألمن؟؟ :فهذا رسول الله صلى الله عليه وسلم يعيش بين طائفة من الشعراء الفحول، أمثال
حسان، وعبد الله
بن رواحة، وكعب بن زهير وغيرهم.. ومع ذلك لم نسمع أنه _ صلى
الله عليه وسلم_ وصفهم بالشعراء اإلسالميين!! مع وجود التحزبات األخرى، فشعراء
يهود يلقون قوافيهم في هجو رسول الله ، وشعراء قريش يريشون سهام قرائحهم ليصموا
الرسول والصحابة بأقذع ما يمكن أن يوصم به إنس ان! وشعراء البوادي واألعراب يسنون
رماح حناجرهم ليلغوا في عرض الدعوة المباركة ، ومع ذلك لم يرتفع شعر حسان ورفاقه
.ًإلى أكثر من أن يكون شعراً عربيا Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 201 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang إن الشعر كاألكل والشرب! شيء من طبيعية العربي، ال تستطيع وصفه
باإلسالمي ، كما ال تستطيع وصف األكل باإلسالمي، األ كل كممارسة يمارسها
!!ًالمكلف تدور عليها األحكام الشرعية الخمسة ، وكذلك الشعر واألدب عموما
(
http://www.alsakher.com/vb2/showthread.php?t=86784
) إن الشعر كاألكل والشرب! شيء من طبيعية العربي، ال تستطيع وصفه
باإلسالمي ، كما ال تستطيع وصف األكل باإلسالمي، األ كل كممارسة يمارسها
!!ًالمكلف تدور عليها األحكام الشرعية الخمسة ، وكذلك الشعر واألدب عموما
(
http://www alsakher com/vb2/showthread php?t=86784
) (
http://www.alsakher.com/vb2/showthread.php?t=86784
) :ومن أسباب إعتراضهم ما يلي : (محمد حسن بريغس3991
)
3. هيمنة التصورات والمعتقدات ذات األصل المادي الغربي في شتى نوا
حي الحياة
.ولم يكن للدين في هذه التصورات مكان واضح
6. Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang واقع المجتمعات اإلسالمية الذي يدل على خلط عجيب بين اإلسالم والجماليات
.المختلفة في التصورات والسلوكيات 1. .غياب النموذج اإلسالمي الواقعي الذي يطبق اإلسالم في كل شؤون ايلحياة
ويسير وفق منهج اإلسالم في التربي ة والسلوك والعلوم والعالقات اإلجتماعية و
.القواعد اإلقتصادية والشؤون السياسية واإلعالمية والعسكرية
1. الخلط بين مفهوم األديان في أوروبا وحقيقة اإلسالم, وبين تجربة الشعوب واألمم
.مع األديان المختلفة وتجربة المسلمين مع دينهم
1. مناهج الدراسة األدبية المبنية على
تصورات بعيدة عن اإلسالم
حيث تقوم في
مجملها على اإلحتفال بكل العوامل المؤثرة في األدب ما عدا الدين واألخالق
والقيم, وربط البواعث المادية باألدب ربطا مصيريا وإبعاد الدين واألخالق
والتراث المرتبط بهما عن األدب ألن الفنان عموما واألديب خصوصا خارج عن
نطاق ال.مسؤولية 2. بعد مناهج الدراسة األدبية في البلدان العربية والعالم اإلسالمي عن دراسة األدب
.اإلسالمي والخضوع للمناهج الغربية في ذلك
وبعد أن رأينا أراء مؤيدي األدب اإلسالمي ومعارضيه, نستطيع أن نأخذ النتيجة
أن دليل المؤيدين أقوى لكزنه من القرآن والسنة والدليل ا لعقل, وأما المعارضون فإن 2. بعد مناهج الدراسة األدبية في البلدان العربية والعالم اإلسالمي عن دراسة األدب
.اإلسالمي والخضوع للمناهج الغربية في ذلك وبعد أن رأينا أراء مؤيدي األدب اإلسالمي ومعارضيه, نستطيع أن نأخذ النتيجة
أن دليل المؤيدين أقوى لكزنه من القرآن والسنة والدليل ا لعقل, وأما المعارضون فإن Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 202 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang دليلهم ضعيف حيث كانوا لم يفهم الدين اإلسالم فهما شامال متكامال , أم منهم
يفهمون اإلسالم ويؤمنون بأن اإلسالم هو الطريق الصحيح والمنهج الوحيد الذي ينقذ
هذه األمة بل البشرية مما هي فيه من تخبط وصراع وقلق خشية من أمور كثيرة تتعلق
بال منصب أو الشهرة أو ما يقابل به من وسائل اإلعالم وما تحمله أحياما من مكائد
. وشبهات
وإثارات
وعلى رغم من ذلط في رأيي أنا أعتقد أن األدب اإلسالمي يليق ليكون تيارا خاصا في
األدب, فإذا علق األدب باإلسالم فالبد علقه بقانون اإلسالم المثبتة أو الشريعة
المقررة. ألن
اإلسالم هو الدين الذي يمثل المنهج المتكامل للحياة والذي صنع
حضارة أو كعامل روحي أو أخالقي بل الدين بمعناه الشامل الذي يعني الخضوع
.الشامل لمنهجه في شتى الشؤون Jurnal WARAQAT ♦ Volume V, No. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1, Januari-Juni 2020 | 203 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang األدب اإلسالمي أصوله وسماته
1.1
أصول األدب اإلسالمي
إن األدب اإلسالمي هو األدب الذي قيد بالد ين اإلسالمي فيلزم يصدر على المصادر
:الصحيحة المعينة هي :(عباس محجوب6111
) األدب اإلسالمي أصوله وسماته
1.1
أصول األدب اإلسالمي
إن األدب اإلسالمي هو األدب الذي قيد بالد ين اإلسالمي فيلزم يصدر على المصادر
:الصحيحة المعينة هي :(عباس محجوب6111
) إن األدب اإلسالمي هو األدب الذي قيد بالد
ين اإلسالمي فيلزم يصدر على المصادر
:الصحيحة المعينة هي :(عباس محجوب6111
) 3. القرآن الكريم . وأهم المقومات القرآنية التي تعتمد
عليها في البناء األدبي هو القرآن 3. القرآن الكريم . وأهم المقومات القرآنية التي تعتمد عليها في البناء األدبي هو القرآن
: يقدم لنا المقومات اآلتية : يقدم لنا المقومات اآلتية : يقدم لنا المقومات اآلتية آ
التصور الصحيح لمعرفة الله وتعالى واإليمان به واإلقرار بوحدانية رسالة
ال.رسول صلى الله عليه وسلم
.العبودية لله باعتبار أن ذلك هو غاية الوجود البشري في الكون
الجانب الخلقي, يستمد األدب اإلسالمي من القرآن الكريم كل ما يهذب
.الخلق ويعلي األدب ويصقل الذوق ويسمو بالروح
العبر واالستبصار
.العبودية لله باعتبار أن ذلك هو غاية الوجود البشري في الكون أإا
عملية اإلبداع نعمة البيان التي ميز الله بها ا إلنسان عن الجماد والنبات
.والحيوان 6. السنة النبوية ,. المعروف أن سيرة النبوية تجسد حياة الرسول صلى الله عليه وسلم
وبما أن السيرة أيضا من المصادر األمينة للمعرفة وباتبار أن السنة قد حفظت
وحفظ القرآن, وأن السيرة أيضا تمثل للجوانب اإلنسانية في حياة الرسول صلى
ال
له عليه وسلم باعتباره بشرا عاديا قبل البعثة
.ونبيا مرسال بعدها
1.سيرة الصحابة والصالحين والتابعين
. إن هذه السيرة أيضا ثمرة من ثمرات المدرسة 6. السنة النبوية ,. المعروف أن سيرة النبوية تجسد حياة الرسول صلى الله عليه وسلم
وبما أن السيرة أيضا من المصادر األمينة للمعرفة وباتبار أن السنة قد حفظت
وحفظ القرآن, وأن السيرة أيضا تمثل للجوانب اإلنسانية في حياة الرسول صلى
ال
له عليه وسلم باعتباره بشرا عاديا قبل البعثة
.ونبيا مرسال بعدها
1. سيرة الصحابة والصالحين والتابعين . إن هذه السيرة أيضا ثمرة من ثمرات المدرسة
المحمدية ومع أن كثيرا من الصحابة كانوا في الجاهلية وغيرهم اإلسالم وأوجد
منهم شخصيات جديدة رباهم الرسول صلى الله عليه و سلم وأشادهم القرآن في
مواضع كثيرة وأشاد بهم أيضا الرسول لذلك كان االقتداء بهم أيضا واألخذ من
.سيرتهم مصدرا من مصادر هذا األدب Jurnal WARAQAT ♦ Volume V, No. Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1, Januari-Juni 2020 | 204 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1. اللغة العربية . هذا األدب العربي يشكل مادة ضخمة لألدب اإلسالمي حيث أن
هذه اللغة وهي التي حفظت أو كانت لغة القرآن ووعاء اإلسالم و المكانة الكبيرة
.للغة في حياة العرب األدبية والسياسية واالجتماعية
وهي اللغة الحافظة للقرآن
.الكريم والتراث النبوي والتراث الثقافي للعرب
1. اآلداب العالمية . تمثل اآلدب العالمية مصدرا من مصادر األدب المهمة لما في
,هذا األدب من خبرات وابداعات يحتاج إليها الناس ألن هذا األدب يدب أال
يكون في عزلة عن اإلنتاج األدب العالمي. فاألديب المسلم مطالب بدراسة التاريخ
العالمي والعلوم الطبيعية ودراسة اآلداب العالمية ألمها تفيده فائدة كبيرة من حيث
االتصال بالتجارب األخرى واالستفادة من المذاهب األدبية الحديثة والمناهج
واألسالي ب األدبية واالستفادة من الفنون األدبية الحديثة في األدب وأخذ ما يتفق
مع التصور اإلسالمي منها, ثم بعد ذلك معرفة جوانب الخلل والعيوب في االبتعاد
.عنها 1.6
سمات األدب اإلسالمي
في هذ الفصل سنتحدث عن طبيعة األدب اإلسالمي
وسماته ومميزاته التي تجعله
يختلف أو يت فرق عن غيره من اآلداب األخرى. لقد رأينا فيما سبق أن األدب
:اإلسالمي مرتبط بالدين اإلسالمي, فله سمات خاصة منها :(حسن بريغس3999
) 1.6
سمات األدب اإلسالمي في هذ الفصل سنتحدث عن طبيعة األدب اإلسالمي
وسماته ومميزاته التي تجعله
يختلف أو يت فرق عن غيره من اآلداب األخرى. لقد رأينا فيما سبق أن األدب
:اإلسالمي مرتبط بالدين اإلسالمي, فله سمات خاصة منها :(حسن بريغس3999
) 3. واضح التصور, يستند
منهج رباني شامل, يفسر له حقيقة األلوهية
التي هي مصدر
الخلق ومصدر كل شيئ وإليها يتوجه العبد بالعبودية الكاملة
والطاعة الشا.ملة هذه
السيمة مهمة ألن تحقق
لألديب يعدا شاسعا , ونظرة صحيحة إلى عالقته مع
الخالق عز وجل, والمخلوقات من حوله دون تخبط. وبذلك يطمئن ويستقيم
ويمضى في حياته جادا للوصول إلى الدرجات العلى ويترك أمر التصور إلى
الفلسفات والغجتهادات بل يتعلمه المسلم م ن وحي ربه عز وجل ويتعلمه منذ
.الطفولة بشتى الطرق والوسائل Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 205 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 6. أدب اإلنسان . ألن المصدر الذي يصدر عنه هومنهج اإلنسانية عامة وألن الرسالة
الخاتمة التي جاءت لبني البشر كافة. فاألدب اإلسالمي ينظر إلى اإلنسان
كمخلوق بشري ألنه ابن آدم فالمسلم وغير المسلم من آدم علي ه السالم وهما
من عبيد الله عز وجل وال فرق بين األبيض واألسود واألحمر واألصفر وميزة ألحد
إال بالتقوى والعمل الصالح. _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang وهذا األدب يهدف إلى خير اإلنسان ويخاطب أيمنا
كان ويصور قضاياه كلها ال يتوجه إلى قضية
واحدة وال يؤصر جانبا وي ترك جوانب
أخرى بل يهتم بكل قضاي ا اإلنسانية يعلى الحق ويناصر المظلومين ويحارب
الباطل والظلم ويتمسك بالحرية ويطالب باحتياجات اإلنسان وضروراته ويجافع
عن كرامة اإلنسان. وينظر اإلنسان دوما نظرة التكريم
وفق التصور اإلسالمي ال
ينظر إليه حيوانا ناطقا وال آلة مسخرة وال عنصرا منتجا فقط بل ينظر
إلى جوهره
الذي سما به عن هذه المخلوقات. وسخرها الله له ثم استخلفه في األرض لما
.منحه من الطاقات. ويهتم باإلنسان صغيرا وكبيرا رجال وامرأة
1. أدب الحياة . إذا كانت األداب األخرى تمثل مذهبا أو رأيا أو مرحلة معينة أو لونا
من ألوان الحياة, فإن األدب اإلسالمي يمث ل الحياة كلها ألن يصدر عن تصور
شامل للحياة بأسرها, الحياة بكل ما فيها من صور ونشاطات وأمم وثقافات
وأجناس. وكان من غايته ووظائفه القيام بهممة التربية بصورة غير مباشرة وبطريقة
تتناسب مع الشكل الفني أو الجنس األدب الذي يختاره. والوظيفة التربية لألدب
اإلسال مي تهدف إلى تثبيت القيم الفاضلة وتوضيح التصورات الصحيحة ورسم
الصورة اإليجابية للحياة اإلنسانية
من خالل أدائه بصوة مناسبة. ويتجنب الهبوط
عن الصورة السوية واإلنحراف عن التصور الصحيح بخالف اآلداب األخرى التي
تصور موقفا شاذا في الحياة أو الصورة المشوهة عن الفط رة أو لحظة ضعيفة
وتشيع هذه الصورة لتوحي بأنها شاملة للحياة كلها وهذا هو التزييف بعينه. وحينما
يرسم األدب اإلسالمي صورة الحياة, يرسمها وهو يعرف أن ضدر الله هو المسير
لهذه الحياة
.وهو القوة الفاعلة في تشكيل األحداث التي تجري في الكون 6. أدب اإلنسان . ألن المصدر الذي يصدر عنه هومنهج اإلنسانية عامة وألن الرسالة
الخاتمة التي جاءت لبني البشر كافة. فاألدب اإلسالمي ينظر إلى اإلنسان
كمخلوق بشري ألنه ابن آدم فالمسلم وغير المسلم من آدم علي ه السالم وهما
من عبيد الله عز وجل وال فرق بين األبيض واألسود واألحمر واألصفر وميزة ألحد
إال بالتقوى والعمل الصالح. وهذا األدب يهدف إلى خير اإلنسان ويخاطب أيمنا
كان ويصور قضاياه كلها ال يتوجه إلى قضية
واحدة وال يؤصر جانبا وي ترك جوانب
أخرى بل يهتم بكل قضاي ا اإلنسانية يعلى الحق ويناصر المظلومين ويحارب
الباطل والظلم ويتمسك بالحرية ويطالب باحتياجات اإلنسان وضروراته ويجافع
عن كرامة اإلنسان. وينظر اإلنسان دوما نظرة التكريم
وفق التصور اإلسالمي ال
ينظر إليه حيوانا ناطقا وال آلة مسخرة وال عنصرا منتجا فقط بل ينظر
إلى جوهره
الذي سما به عن هذه المخلوقات. وسخرها الله له ثم استخلفه في األرض لما
.منحه من الطاقات. Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang ويهتم باإلنسان صغيرا وكبيرا رجال وامرأة Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 206 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang زبذلك يتفرق األدب اإلس المي من غيره بأنه ينظر إلى الحياة بأنها خاضعة للسنن
الكونية ولإلنسان فاعليته التي تنفذ من حالل هذه السنن. وأما اآلداب األخرى
فإنها تصور الحياة على أنها من وضع اإلنسان وحده
فتصور األخالق الفاسدة
على أنه واقع الحياة وتدعو إلى التصورات الفاسدة واإلعتقاد الض الة وتعرض وضع
.اإلنسان في هذه الحياة بصورتين متناقضين 1. إنه يتعدى في مساحة الزمانية والمكانية حدود كل اآلداب األخرى , ألن تلك
اآلداب مهما اتسع مداها الزماني والمكاني ال تتعدى مساحة ما من األرض وال
تتعدى فترة محددة من الزمن, قد تمتد المساحة إلى جزء كبير من ع الم اإلنسان
أو زمانه وعند ذلك ينال الشهرة لعال لميته. أما األدب اإلسالمي فإنه يتعدى
هذه الحدود ألن المسلم يرى األرض كلها ميدانا لنشاطه " هو الذي جعل لكم
األرض ذلوال فا مشوا في: مناكبها وكلوا من رزقها وإليه النشور" (الملك31
)
1. أدب أصيل
. وهذه السمة ترتبط بت ميز هذا األدب وتفرده عن بقية اآلداب وترتبط
بالتزانه بتصور محدد شامل واضح. ومن األصالة أن يتفرد األديب المسلم ويتميز
:بأمور كثيرة ليست عند غيره من األدباء, هذا التميز يحقق له عدة أمور منها
االلتزا
الذي ن ثق
ال دق الفن
دا
أز
االلتزا اإل ال
ل
االلتزام اإلسالمي بأزسع مداه والصدق الفني الذي ينبثق من االلتزام
بل من
.التعبير الحر المعبر عن تجربته في الحياة
االلتزام اإلسالمي بأزسع مداه والصدق الفني الذي ينبثق من االلتزام
بل من
.التعبير الحر المعبر عن تجربته في الحياة
.الحرية
الواقعية التي تجعل األديب المسلم لسان الحياة والمجتمع وعليه توضيح ما في
هذه الحياة وما في ذلك المجتمع من مشكالت وتجارب منطلقا من مسؤليته
.واألمانة المنوطة به
وإن األدب اإلسالمي هو أدب األصالة المست ند إلى عقيدة واضحة وقيم ثابتة
وتراث ممتد عبر القرون, وخطوط وموضوعات كثيرة متنوعة تنوع ما في الحياة
.اإلنسانية كلها ,هي مجال االرتياد واإلبداع Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 207 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 1.1
الخالصة
بعد أن نبحث عن األدب اإلسالمي بحثا بسيطا, نستطيع أن نأخذ الخالصة فيما
:يلي 1.1
الخالصة
بعد أن نبحث عن األدب اإلسالمي بحثا بسيطا, نستطيع أن نأخذ الخالصة فيما
:يلي
إن في األدب اإل :سالمي عنصرين مهمين هما التعبير الفني أو التعبير الجميل
والتصور اإلسالمي. Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang ووجوده كالتيار في األدب ال يراب
لوجود الحجيات والدليالت ا
بعد أن نبحث عن األدب اإلسالمي بحثا بسيطا, نستطيع أن نأخذ الخالصة فيما
:يلي إن في األدب اإل :سالمي عنصرين مهمين هما التعبير الفني أو التعبير الجميل
والتصور اإلسالمي. ووجوده كالتيار في األدب ال يراب
لوجود الحجيات والدليالت
.الواضحة من النص الشرعي الدليل العقلي التي ألقاها مؤيدوه
:ومصادر األدب اإلسالمي هي 1. اآلداب العالمية Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 208 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang 3. واضح التصور
6. أدب اإلنسان
1. .أدب الحياة
1. إنه يتعدى في مساحة الزمانية والمكانية حدود كل اآلداب األخرى
1. أدب أصيل 3. واضح التصور
6. أدب اإلنسان
1. .أدب الحياة
1. إنه يتعدى في مساحة الزمانية والمكانية حدود كل اآلداب األخرى
1. أدب أصيل Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 209 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang المراجع
القرآن الكريم
.إبراهيم مصطفى وأصحابه3916
.المعجم الوسيط المجلد األول
. إس تانبول
.تركيا. المكتبة اإلسالمية
.ابن منظور3929
.لسان العرب..بيروت. دار البيروت للطباعة والنشر
.عباس محجوب6112
.األدب اإلسالمي.. عمان. جدار الكتب العالمي
.عبد الجواد محمد المحص6111
. األدب اإلسالمي بين األصالة
والمعاصرة..اإلسكندرية. المصرية
عبد الرحمن ر .أفت الباشا3999
.نحو مذهب إسالمي في األدب والنقد . .القاهرة. دار األدب اإلسالمي
.عبد الرحمن خليل إبراهيم3913
.دور ال
ش عر في معركة الدعوة اإلسالمية أيام
الرسول.. الجزائر. الشركة الوطنية
.محمد أحمد حمدون3992
.نحو نظرية األدب اإلسالمي.. جدة. المنهل
حمد حسن ب .ريغِش3991
.في األدب اإلسالمي المعاصر دراسة وتطبيق . .األردن. مكتبة المنار
.محمد قطب3991
.منهج الفني اإلسالمي
. دار الشروق
.منزور معالقي6111
.دراسة نقدية في األدب اإلسالمي . لبنان. المؤسسة
.الحديثة للكتاب
.______________ِِِِِِِِِِِِِِِِاألدب اإلسالمي أصوله وسماته. .مؤسسة الرسالة
.نصر الدين إبراهيم أحمد حسين6111
.األدب اإلسالم اإلطار والمنهج . .مالزيا. الجامعة اإلسالمية العالمية المالزية
._______________
6119
. إااألدب اإلسالمي دراسة نظرية .تركيا. المكتبة اإلسالمية .مؤسسة الرسالة
.نصر الدين إبراهيم أحمد حسين6111
.األدب اإلسالم اإلطار والمنهج . .مالزيا. الجامعة اإلسالمية العالمية المالزية
._______________
6119
. األدب اإلسالمي دراسة نظرية
وتطبيقية.. مالزيا. الجامعة اإلسالمية العالمية المالزية Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 210 _Sekolah Tinggi Agama Islam As-Sunnah Deli Serdang .نايق معروف3999
.اإلدب اإل سالمي في عهد النبوة وخالفة
الراشدين..بيروت. دار النفائس Jurnal WARAQAT ♦ Volume V, No. 1, Januari-Juni 2020 | 211
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PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA DIGITAL
|
Jurnal Hukum Caraka Justitia
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Abstract The Republic of Indonesia has a very broad authority in the police which is given to carry
out the main tasks of the National Police, including Harkamtibmas, protecting, protecting,
serving the community, and Law enforcement, in which other powers are also given, namely
Police Discretion, an authority to take action based on the conscience of police members who
also supported by existing regulations within the Police institution. This research is a
conceptual research. The problem that will be discussed is how to implement Restorative Justice by the Police
in accordance with the Circular Letter of the Chief of Police Number SE/2/II/2021 concerning
Ethical Cultural Awareness to Create a Clean, Healthy, and Productive Indonesian Digital
Space in relation to criminal acts of good name as regulated in The Criminal Code and the ITE
Law, are in line with the Law of the Republic of Indonesia Number 19 of 2016 Amendments to
Law Number 11 of 2008 concerning Information and Electronic Transactions and Criminal
Acts of Defamation which are regulated in the Criminal Code as an alternative to cybercrime,
but also must be able to act as a deterrent in order to provide protection for the rights of others. Keywords: Restorative Justice, Criminal, Defamation, Good Name (dignity), Digital. JURNAL HUKUM
CARAKA JUSTITIA JURNAL HUKUM
CARAKA JUSTITIA November 2022 p. 95 - 114 Vol. 2 No. 2 Hartanto
Fakultas Hukum, Universitas Widya Mataram
Djoko Budiarto
Fakultas Hukum, Universitas Widya Mataram
Hyronimus Rhiti
Fakultas Hukum, Universitas Atma jaya Yogyakarta
hartanto.yogya@gmail.com Hartanto
Fakultas Hukum, Universitas Widya Mataram
Djoko Budiarto
Fakultas Hukum, Universitas Widya Mataram
Hyronimus Rhiti
Fakultas Hukum, Universitas Atma jaya Yogyakarta
hartanto.yogya@gmail.com Hartanto
Fakultas Hukum, Universitas Widya Mataram
Djoko Budiarto
Fakultas Hukum, Universitas Widya Mataram
Hyronimus Rhiti
Fakultas Hukum, Universitas Atma jaya Yogyakarta
hartanto.yogya@gmail.com Abstrak Kepolisian Negara Republik Indonesia diberikan Kewenangan yang sangat luas dalam
menjalankan tugasnya sebagaimana tugas pokok Polri antara lain Harkamtibmas, melindungi,
mengayomi, melayani masyarakat serta penegakan hukum, didalamnya juga diberikan
kewenangan lain yaitu Diskresi Kepolisian yang merupakan sebuah kewenangan untuk
melakukan tindakan berdasarkan hati nurani anggota polisi yang bertugas serta didukung aturan
yang ada dalam institusi Kepolisian. Penelitian ini merupakan penelitian konseptual. Permasalahan yang akan dibahas adalah bagaimana penerapan Restorative Justice oleh
Kepolisian sesuai dengan Surat Edaran Kapolri Nomor SE/2/II/2021 tentang Kesadaran
Budaya Beretika untuk Mewujudkan Ruang Digital Indonesia yang Bersih, Sehat, dan
Produktif dalam kaitan dengan tindak pidana pencemaran nama baik yang diatur dalam KUHP
dan UU Informasi dan Transaksi Elektronik (ITE), selaras dengan UU Nomor 19 Tahun 2016
tentang Perubahan Atas UU Nomor 11 Tahun 2008 tentang Informasi dan Transaksi Elektronik
Serta Tindak Pidana Pencemaran nama baik yang diatur dalam KUHP sebagai alternatif guna
menekan kejahatan dunia maya, namun juga harus bisa sebagai efek jera guna memberi
perlindungan atas hak asasi orang lain. 95 95 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI Kata kunci: Restorative Justice, Pidana, Pencemaran, Nama Baik, Digital. 1 Alinea keempat UUD 1945 pemerintah negara Indonesia yang melindungi segenap bangsa Indonesia dan seluruh
tumpah darah Indonesia dan untuk memajukan kesejahteraan umum, mencerdaskan kehidupan bangsa, dan ikut
melaksanakan ketertiban dunia yang berdasarkan kemerdekaan, perdamaian abadi dan keadilan sosial.
2 Pancasila pada Sila Ke-Empat yang berbunyi “Kerakyatan yang dipimpin oleh hikmat kebijaksanaan dalam 3 Hartanto, Aida Dewi, “Posisi Hukum Korban Perzinahan Yang Dilaporkan Atas Tindak Pidana Kesusilaan
Berdasar Undang-Undang Nomor 19 Tahun 2016 Tentang Informasi Dan Transaksi Elektronik.” Jurnal Hukum:
To-Ra 6, no. 3 (Desember 2020): 282. ,
(
)
4 Pasal 28 huruf e ayat (3) UUD 1945 sebagai berikut: Setiap orang berhak atas kebebasan berserikat, berkumpul,
dan mengeluarkan pendapat. y
g
, p
2 Pancasila pada Sila Ke-Empat yang berbunyi “Kerakyatan yang dipimpin oleh hikmat kebijaksana
permusyawaratan perwakilan”. 96
1 Alinea keempat UUD 1945 pemerintah negara Indonesia yang melindungi segenap bangsa Indonesia dan seluruh
tumpah darah Indonesia dan untuk memajukan kesejahteraan umum, mencerdaskan kehidupan bangsa, dan ikut
melaksanakan ketertiban dunia yang berdasarkan kemerdekaan, perdamaian abadi dan keadilan sosial.
2 Pancasila pada Sila Ke-Empat yang berbunyi “Kerakyatan yang dipimpin oleh hikmat kebijaksanaan dalam
permusyawaratan perwakilan”.
3 Hartanto, Aida Dewi, “Posisi Hukum Korban Perzinahan Yang Dilaporkan Atas Tindak Pidana Kesusilaan
Berdasar Undang-Undang Nomor 19 Tahun 2016 Tentang Informasi Dan Transaksi Elektronik.” Jurnal Hukum:
To-Ra 6, no. 3 (Desember 2020): 282.
4 Pasal 28 huruf e ayat (3) UUD 1945 sebagai berikut: Setiap orang berhak atas kebebasan berserikat, berkumpul,
dan mengeluarkan pendapat. 19, no. 1 (Mei 2019): 149.
7 KUHP, Bab XVI Pasal 310 ayat (1) dan ayat (2) mengenai pencemaran nama baik. 5 Munir Fuady, Teori-Teori Besar (Grand Theory) dalam Hukum (Jakarta: Prenadamedia Grup, 2013), 251.
6 Fadli Andi Natsif, “Perlindungan Hak Asasi Manusia Dalam Perspektif Negara Hukum Indonesia,” Al-Risalah
19, no. 1 (Mei 2019): 149. y
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6 Fadli Andi Natsif, “Perlindungan Hak Asasi Manusia Dalam Perspektif Negara Hukum Indonesia,” Al-Risalah
19, no. 1 (Mei 2019): 149. ,
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7 KUHP, Bab XVI Pasal 310 ayat (1) dan ayat (2) mengenai pencemaran nama baik. Munir Fuady, Teori-Teori Besar (Grand Theory) dalam Hukum (Jakarta: Prenadamedia Grup, 2013), 251. A. Pendahuluan Pembukaan UUD Negara Republik Indonesia Tahun 19451 tujuan negara Republik
Indonesia salah satunya adalah melindungi segenap bangsa Indonesia, makna yang bisa
dipetik di sini adalah negara wajib melindungi setiap warga negaranya baik sebagai korban
kejahatan, pelaku kejahatan, dan masyarakat luas dengan seadil-adilnya. Kemudian
Pancasila yang merupakan sumber dari segala sumber hukum didalamnya mengajarkan
kepada kita untuk menentukan sebuah pilihan melalui cara dengan mengutamakan
musyawarah dalam mengambil putusan untuk kepentingan bersama, dengan musyawarah
untuk mencapai mufakat diliputi semangat kekeluargaan.2 Pemanfaatan teknologi informasi di satu pihak bermanfaat bagi peningkatan
kesejahteraan manusia, namun di pihak lain kemajuan teknologi informasi dan komunikasi
dapat dimanfaatkan untuk melakukan perbuatan-perbuatan pidana yang bersifat melawan
hukum, yang merugikan orang lain, masyarakat, maupun negara.3 Berkaitan dengan tindak pidana yang dilakukan melalui dunia maya yang dalam hal
ini mengenai pencemaran nama baik maupun penghinaan masih banyak diunggah melalui
media sosial atau digital, tentu hal ini merupakan tugas besar bagi kepolisian yang harus
bisa diselesaikan bersama-sama semua pihak terkait dengan dukungan masyarakat. Dalam
hal kesadaran untuk bijak dalam menggunakan media sosial ini terkait pula hak asasi warga
negara untuk berekspresi yang di sisi lain dilindungi oleh konstitusi. Ketentuan tentang kebebasan berekspresi juga terdapat dalam Pasal 19 angka 24
Kovenan Internasional tentang Hak Sipil dan Politik, sebagaimana telah diratifikasi dalam
UU Nomor 12 Tahun 2005 tentang Pengesahan International Covenant on Civil and
Political Rights (Kovenan Internasional tentang Hak-Hak Sipil dan Politik) yang
menyatakan bahwa, setiap orang berhak atas kebebasan berekspresi. Hak ini termasuk
kebebasan untuk mencari, menerima dan memberikan informasi dan ide atau gagasan apa
pun, terlepas dari pembatasan-pembatasan, baik secara lisan, tulisan, cetakan, dalam bentuk
karya seni atau melalui media lain sesuai dengan pilihannya.4 96 96 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI g
p
9 Eddy O.S. Hiariej, Prinsip-prinsip Hukum Pidana (Yogyakarta: Cahaya Atma Pustaka, 2016), 149. 8 John Stuart Mill teori tentang Harm Principle. y
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10 Benedictus Renny See, “Perlindungan Hukum Bagi Nasabah Dan Bank Terhadap Tindak Kejahatan Berbasis
Teknologi Informasi (Cyber Crime),” Jurnal Hukum Caraka Justitia 2, no. 1 (Mei 2022): 62. 8 John Stuart Mill teori tentang Harm Principle. g
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net, “1.864 Kasus Diselesaikan dengan Restorative Justice”, https://presisi.net/2021/05/17/1-864-kasus-
kan-dengan-restorative-justice/ (diakses 13 Mei 2022). Benedictus Renny See, Perlindungan Hukum Bagi Nasabah Dan Bank Terhadap Tindak Kejahatan Berbasis
Teknologi Informasi (Cyber Crime),” Jurnal Hukum Caraka Justitia 2, no. 1 (Mei 2022): 62.
11Presisi.net, “1.864 Kasus Diselesaikan dengan Restorative Justice”, https://presisi.net/2021/05/17/1-864-kasus-
diselesaikan-dengan-restorative-justice/ (diakses 13 Mei 2022). g
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12 Pasal 27 ayat (3) UU Nomor 19 Tahun 2016 “ Setiap Orang dengan sengaja dan tanpa hak mendistribusikan
dan/atau mentransmisikan dan/atau membuat dapat diaksesnya Informasi Elektronik dan/atau Dokumen
Elektronik yang memiliki muatan penghinaan dan/atau pencemaran nama baik”. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Roscoe Pound menyatakan law as a tool of sosial engineering yang, hukum sebagai
alat rekayasa dalam masyarakat diharapkan dapat berperan mengendalikan nilai-nilai
sosial. Teori ini juga mengungkapkan bahwa hukum dan perubahan masyarakat adalah hal
yang saling berkaitan. Perubahan masyarakat dapat mempengaruhi hukum, dan sebaliknya,
hukum dapat pula mempengaruhi perilaku masyarakat.5 Dengan dikeluarkannya UU Nomor 19 Tahun 2016 tentang Perubahan Atas UU
Nomor 11 Tahun 2008 tentang Informasi dan Transaksi Elektronik yang merupakan
keselarasan dengan Tindak Pidana Pencemaran nama baik yang di atur dalam KUHP dalam
Pasal 310 ayat (1) dan (2), salah satunya akan beririsan dengan hak asasi manusia (HAM)
yang dalam perspektif sesungguhnya merupakan pembatasan terhadap realisasi pemenuhan
HAM oleh negara.6 Kebebasan satu orang jika bersinggungan dengan kebebasan orang lain otomatis
memunculkan batasan, tujuannya adalah agar tidak ada kebebasan yang tercederai. Kebebasan sama-sama dapat dilakukan dengan leluasa; dan dalam hal batasan tersebut,
bilamana terdapat ancaman pidana, harus diatur secara tegas dalam undang-undang, namun
orang lain juga memiliki hak atas reputasi yang juga dijamin dalam UDHR maupun UUD
NRI 1945, yang akhirnya diatur larangan mencemarkan nama baik orang lain yang
mengandung unsur sanksi pidana sebagaimana yang diatur dalam Pasal 310 ayat (1) dan
ayat (2) sebagai berikut:7 (1) Barang siapa dengan sengaja menyerang kehormatan atau nama baik orang dengan
jalan menuduh dia melakukan sesuatu perbuatan tertentu, dengan maksud yang nyata
untuk menyiarkan tuduhan itu supaya diketahui umum, dihukum karena salahnya
menista, dengan hukuman penjara selama-lamanya sembilan bulan atau denda
sebanyak-banyaknya empat ribu lima ratus rupiah; (2) Jika hal itu dilakukan dengan tulisan atau gambaran yang disiarkan, dipertunjukkan,
atau ditempelkan di muka umum, maka yang bersalah karena pencemaran tertulis,
diancam pidana penjara paling lama satu tahun empat bulan atau denda paling banyak
empat ribu lima ratus rupiah. John Stuart Mill mengungkapkan teori tentang Harm Principle, yaitu suatu teori yang
menyatakan bahwa kebebasan seseorang itu dibatasi oleh kebebasan orang lain. Jadi 97 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI y
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Benedictus Renny See, “Perlindungan Hukum Bagi Nasabah Dan Bank Terhadap Tindak Kejahatan B
k
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i (C b
C i
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1 (M i 2022) 62 PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL seseorang bebas melakukan apa pun yang ia inginkan dengan batasan tidak menyebabkan
kerugian atau menyakiti orang lain. Konsep tersebut memberikan penjelasan bahwa tidak
ada suatu kebebasan yang sifatnya absolut, karena kebebasan seorang manusia, dibatasi
dengan kebebasan orang lain.8 Sedangkan Menurut Hiariej, konsekuensi dari bentuk tindak
pidana ini berimplikasi pada berat-ringannya pidana yang diancamkan.9 Perlindungan hukum yang preventif bertujuan untuk mencegah terjadinya sengketa. Oleh karena itu, Pemerintah bersikap hati-hati dalam pengambilan keputusan berdasarkan
diskresi, dan perlindungan yang represif bertujuan untuk menyelesaikan terjadinya
sengketa termasuk penanganannya di lembaga peradilan,10 dalam hal perlindungan hukum
maka Polri merupakan ujung tombaknya. Polri menyatakan ada 1.864 kasus yang diselesaikan dengan menggunakan pendekatan
restorative justice atau keadilan restoratif dalam 100 hari kerja Jenderal Pol Drs Listyo Sigit
Prabowo, M.Si menjabat sebagai Kapolri. “Sudah dilakukan sebanyak 1.864 di masing-
masing Polda,” penjelasan Kadiv Humas Polri, Irjen Pol Raden Prabowo Argo Yuwono
dalam konferensi pers 100 hari kinerja Kapolri, di Gedung Humas Polri, Jakarta Selatan,
Senin (17/4/2021).11 Contoh Kasus yang masih hangat adalah berkaitan dengan Pasal 27 ayat (3)12 juncto
Pasal 45 ayat (3)13 dari UU Nomor 19 Tahun 2016 tentang Perubahan Atas UU Nomor 11
Tahun 2008 terkait Roy Suryo yang melaporkan pesinetron Lucky Alamsyah. Lucky juga
disangkakan dengan Pasal 310 Kitab Undang-Undang Hukum Pidana (KUHP) dan Pasal
31114 KUHP. Kasus ini bermula pada hari Sabtu, tanggal 22 Mei 2021 Roy Suryo dan Lucky
Alamsyah terlibat kecelakaan ringan di depan perempatan Arion Mall, Jalan Pemuda,
mengarah ke arah Pulogadung Jakarta Timur, keduanya sempat beradu argumen sampai y
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13 Pasal 45 ayat (3) UU Nomor 19 Tahun 2016 “ Setiap Orang yang memenuhi unsur sebagaimana dimaksud dalam
Pasal 29 dipidana dengan pidana penjara paling lama 12 (dua belas) tahun dan/atau denda paling banyak Rp
2.000.000.000,00 (dua miliar rupiah)”. y
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13 Pasal 45 ayat (3) UU Nomor 19 Tahun 2016 “ Setiap Orang yang memenuhi unsur sebagaimana dimaksud dalam
Pasal 29 dipidana dengan pidana penjara paling lama 12 (dua belas) tahun dan/atau denda paling banyak Rp
2.000.000.000,00 (dua miliar rupiah)”. ,
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14 Pasal 311 ayat (2) KUHP “Jika yang melakukan kejahatan pencemaran atau pencemaran tertulis dibolehkan
untuk membuktikan apa yang dituduhkan itu benar, tidak membuktikannya, dan tuduhan dilakukan bertentangan
dengan apa yang diketahui, maka dia diancam melakukan fitnah dengan pidana penjara paling lama empat tahun”. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL kemudian meninggalkan lokasi, namun sebenarnya ada satu lagi tindakan tidak terpuji yang
dia lakukan, dia menggedor kaca jendela supir saya itu sampai dua kali," kata Roy Suryo.15
Lucky membeberkan melalui media sosial bila Roy Suryo telah melakukan tabrak lari. Setelah dikonfirmasi oleh awak media pada hari Minggu, 23 Mei 2021 atas unggahan
tersebut, Roy Suryo membantahnya kemudian melaporkan Lucky Alamsyah ke Polda
Metro Jaya pada hari Senin 24 Mei 2021, Lucky Alamsyah dianggap mencemarkan nama
baiknya perihal tudingan tabrak lari dan memutarbalikkan fakta, Laporan itu tertuang
dengan Laporan Polisi Nomor LP/…./V/YAN.2.5/2021/SPKT PMJ. Berdasarkan kasus di atas Polda Metro Jaya dalam hal ini Direktorat Reserse Kriminal
Khusus (Ditreskrimsus) berupaya menjalankan isi perintah dari Surat Edaran Kapolri
Nomor SE/2/II/2021 tentang Kesadaran Budaya Beretika untuk Mewujudkan Ruang Digital
Indonesia yang Bersih, Sehat, dan Produktif sebagaimana yang tercantum pada: Khusus (Ditreskrimsus) berupaya menjalankan isi perintah dari Surat Edaran Kapolri
Nomor SE/2/II/2021 tentang Kesadaran Budaya Beretika untuk Mewujudkan Ruang Digital
Indonesia yang Bersih, Sehat, dan Produktif sebagaimana yang tercantum pada:
huruf (e) Sejak penerimaan laporan, agar penyidik berkomunikasi dengan para pihak
terutama korban (tidak diwakilkan) dan memfasilitasi serta memberi ruang seluas-luasnya
kepada para pihak yang bersengketa untuk melaksanakan mediasi”; dan
huruf (g) Penyidik berprinsip bahwa hukum pidana merupakan upaya terakhir dalam
penegakan hukum (ultimatum remidium) dan mengedepankan restorative justice dalam
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huruf (e) Sejak penerimaan laporan, agar penyidik berkomunikasi dengan para pihak
terutama korban (tidak diwakilkan) dan memfasilitasi serta memberi ruang seluas-luasnya
kepada para pihak yang bersengketa untuk melaksanakan mediasi”; dan
huruf (g) Penyidik berprinsip bahwa hukum pidana merupakan upaya terakhir dalam huruf (e) Sejak penerimaan laporan, agar penyidik berkomunikasi dengan para pihak
terutama korban (tidak diwakilkan) dan memfasilitasi serta memberi ruang seluas-luasnya
kepada para pihak yang bersengketa untuk melaksanakan mediasi”; dan p
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huruf (g) Penyidik berprinsip bahwa hukum pidana merupakan upaya terakhir dalam
penegakan hukum (ultimatum remidium) dan mengedepankan restorative justice dalam
penyelesaian perkara. Kepolisian dalam hal ini penyidik, membuka dan memberikan ruang mediasi antara kedua
belah pihak dalam menyelesaikan perkara yang dilaporkan dengan tetap menjunjung hak-
hak asasi dari masing-masing pelapor maupun terlapor. Polisi dalam hal ini sebagai aparat penegak hukum dituntut untuk mampu mengambil
sebuah keputusan yang tepat atau lebih dikenal dengan istilah diskresi. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Tindakan Diskresi
yaitu
suatu
tindakan
yang
dapat
dilakukan
oleh
anggota
Kepolisian
yang
mempertimbangkan manfaat serta risiko dari tindakannya dan betul-betul untuk
kepentingan umum dengan penerapan restorative justice. 15 Pingkan Anggraini, "Kronologi Versi Roy Suryo Soal Kisruh Dituding Tabrak Lari Lucky Alamsyah",
https://hot.detik.com/celeb/d-5581137/kronologi-versi-roy-suryo-soal-kisruh-dituding-tabrak-lari-lucky-
alamsyah (diakses 17 Mei 2022).
16 Soerjono Soekanto, & Sri Mamudji, Penelitian Hukum Normatif Suatu Tinjauan Singkat (Jakarta: Rajawali Pers,
1995), 14.
17 )
17 Hartanto, & Aris Sudarmono, “Omnibus Law Between Justice And Benefits (Omnibus Law Opportun PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL 14 Pasal 311 ayat (2) KUHP “Jika yang melakukan kejahatan pencemaran atau pencemaran tertulis dibolehkan
untuk membuktikan apa yang dituduhkan itu benar, tidak membuktikannya, dan tuduhan dilakukan bertentangan
dengan apa yang diketahui, maka dia diancam melakukan fitnah dengan pidana penjara paling lama empat tahun”. 98 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 98 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI alamsyah (diakses 17 Mei 2022).
16 Soerjono Soekanto, & Sri Mamudji, Penelitian Hukum Normatif Suatu Tinjauan Singkat (Jakarta: Rajaw
1995), 14. , 14.
rtanto, & Aris Sudarmono, “Omnibus Law Between Justice And Benefits (Omnibus Law Opportunities An 1995), 14.
17 Hartanto, & Aris Sudarmono, “Omnibus Law Between Justice And Benefits (Omnibus Law Opportunities And RAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
AL Selanjutnya, dilakukan telaah dan sinkronisasi antara UU Nomor 19 Tahun 2016 tentang
Informasi dan Transaksi Elektronik dengan Surat Edaran Kapolri Nomor SE/2/II/2021
tentang Kesadaran Budaya Beretika untuk Mewujudkan Ruang Digital Indonesia yang
Bersih, Sehat, dan Produktif Dan Upaya Perlindungan atas Hak-hak Asasi Manusia seperti
yang diamanahkan oleh Undang-undang Dasar Negara Republik Indonesia 1945 dalam
menyikapi banyaknya tindak pidana khusus berupa pencemaran nama baik maupun
penghinaan melalui media sosial. Selanjutnya, dilakukan telaah dan sinkronisasi antara UU Nomor 19 Tahun 2016 tentang
Informasi dan Transaksi Elektronik dengan Surat Edaran Kapolri Nomor SE/2/II/2021
tentang Kesadaran Budaya Beretika untuk Mewujudkan Ruang Digital Indonesia yang
Bersih, Sehat, dan Produktif Dan Upaya Perlindungan atas Hak-hak Asasi Manusia seperti
yang diamanahkan oleh Undang-undang Dasar Negara Republik Indonesia 1945 dalam
menyikapi banyaknya tindak pidana khusus berupa pencemaran nama baik maupun
penghinaan melalui media sosial. Analisis ini adalah supremasi konstitusi selain merupakan konsekuensi dari sebuah
negara hukum, sekaligus wujudnya terjadinya demokrasi karena konstitusi merupakan
perwujudan perjanjian sosial yang paling tinggi.18 Lebih lanjut maka negara hukum
memerlukan penegakan hukum yang salah satu usaha untuk mewujudkan tata tertib hukum
didalamnya terkandung keadilan, kebenaran dan kesejahteraan yang pada akhirnya
menciptakan keamanan dan ketenteraman di dalam masyarakat banyak, baik itu merupakan
usaha pencegahan maupun merupakan penindakan setelah terjadi pelanggaran hukum,
dengan kata lain usaha yang dilakukan secara preventif maupun represif.19 Challenges Towards Entrepreneurs And Labor : Comparative Review Law)”, The 1st Proceeding, Universitas
Islam Sultan Agung, 8.
18 Jimly Asshiddiqie, Konstitusi & Konstitusionalisme Indonesia, Edisi Revisi (Jakarta: Konstitusi Press, 2005),
152-162.
19 Rit
A
i & Rd H
d
“P
k
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P l k
P
k
F
ilit
U
Di K t
Ci b Challenges Towards Entrepreneurs And Labor : Comparative Review Law)”, The 1st Proceeding, Universitas
Islam Sultan Agung, 8.
18 Jimly Asshiddiqie, Konstitusi & Konstitusionalisme Indonesia, Edisi Revisi (Jakarta: Konstitusi Press, 2005),
152-162.
19 Rita Anggraeni, & Rd. Henda, “Penegakan Hukum Pelaku Perusakan Fasilitas Umum Di Kota Cirebon
Dikaitkan Dengan Perda Nomor 9 Tahun 2003 Tentang Ketertiban Umum”, Jurnal Hukum Responsif 11, no. 1
(F b
i 2020) 26 (
)
20 Suatu ciri khas dari civil law dalam penegakan hukum pidana adalah dengan menempatkan asas legalitas (asas
kepastian hukum), hal ini terbukti dalam Wetbook van Strafrechts voor Nederlands Indie (WvS) yang kita kenal
sekarang sebagai KUHP di Indonesia. Lihat Pasal 1 ayat (1) yang dengan tegas mengatakan “Tiada suatu perbuatan
pidana yang dapat dihukum melainkan sudah ada aturan hukum yang mengaturnya terlebih dahulu”. B. Metode Penelitian Metode penelitian konseptual yang digunakan dalam analisis ini adalah Yuridis
Normatif terhadap asas-asas hukum 16 kemudian dekomposisi data yang dimulai dengan
informasi yang diperoleh untuk mencapai kejelasan masalah yang akan dibahas.17. 99 99 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 19 Rita Anggraeni, & Rd. Henda, “Penegakan Hukum Pelaku Perusakan Fasilitas Umum Di Kota Cirebon
Dikaitkan Dengan Perda Nomor 9 Tahun 2003 Tentang Ketertiban Umum”, Jurnal Hukum Responsif 11, no. 1
(Februari 2020): 26. Challenges Towards Entrepreneurs And Labor : Comparative Review Law)”, The 1st Proceeding, Universitas
Islam Sultan Agung, 8.
18 Jimly Asshiddiqie, Konstitusi & Konstitusionalisme Indonesia, Edisi Revisi (Jakarta: Konstitusi Press, 2005),
152-162.
19 Rita Anggraeni, & Rd. Henda, “Penegakan Hukum Pelaku Perusakan Fasilitas Umum Di Kota Cirebon
Dikaitkan Dengan Perda Nomor 9 Tahun 2003 Tentang Ketertiban Umum”, Jurnal Hukum Responsif 11, no. 1
(Februari 2020): 26.
20 Suatu ciri khas dari civil law dalam penegakan hukum pidana adalah dengan menempatkan asas legalitas (asas
kepastian hukum), hal ini terbukti dalam Wetbook van Strafrechts voor Nederlands Indie (WvS) yang kita kenal
sekarang sebagai KUHP di Indonesia. Lihat Pasal 1 ayat (1) yang dengan tegas mengatakan “Tiada suatu perbuatan
pidana yang dapat dihukum melainkan sudah ada aturan hukum yang mengaturnya terlebih dahulu”. HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL ringan justru dengan mudahnya dijatuhi hukuman. Ketidakmampuan sistem civil law dalam memberikan keadilan substantif atau
kebenaran materiil kepada pencari keadilan telah menambah tingginya sikap skeptis
terhadap sistem ini. Sistem ini tidak dapat memberikan keadilan substantif jikalau
sandaran hukum yang digunakan semata-mata perundang-undangan yang tertulis dan
sangat mengabaikan nilai-nilai lain di luar perundang-undangan yang sebenarnya justru
dapat menyelesaikan masalah. Dalam hukum acara pidana yang diatur dalam Kitab Undang-Undang Hukum
Pidana (KUHAP) penyidik memiliki kewenangan untuk menghentikan proses
penyidikan suatu tindak pidana apabila memenuhi syarat yuridis antara yaitu:21
a. Tidak memperoleh bukti yang cukup b. Peristiwa yang disangkakan bukan merupakan tindak pidana c. Penghentian penyidikan demi hukum. Alasan ini dapat dipakai apabila ada alasan-alasan hapusnya hak menuntut dan
hilangnya hak menjalankan pidana, yaitu antara lain karena nebis in idem22, tersangka
meninggal dunia, atau perkara pidana telah melewati masa daluwarsa. Meski syarat
melakukan penghentian penyidikan telah diatur dalam Pasal 109 ayat (2) KUHAP tetapi
ada ruang bagi penyidik untuk melakukan tindakan hukum lain. Sebagaimana yang
telah disebutkan Pasal 16 ayat (1) huruf l UU Nomor 2 Tahun 2002 tentang Kepolisian
Negara Republik Indonesia bahwa kewenangannya adalah dapat mengadakan tindakan
lain menurut hukum yang bertanggung jawab. Pasal 109 ayat (2) KUHAPidana.
22 Pengertian asas nebis in idem adalah seseorang tidak dapat dituntut lantaran perbuatan (peristiwa) yang baginya
telah diputuskan oleh hakim (vide ps.76 (1) Kitab Undang-udang Hukum Pidana). 23 John Braithwaite, Restorative Justice and Responsive Regulation (New York: Oxford University Press, 2002),
54. 21 Pasal 109 ayat (2) KUHAPidana. HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 1. Konsep Hukum Di Indonesia Indonesia sebagai negara hukum (rechtsstaat) bukan berarti hanya memberlakukan
hukum-hukum dalam artian yang tertulis, melainkan rechts dalam artian yang luas
(tertulis dan tidak tertulis). Hal ini menunjukkan dimungkinkannya Indonesia
menggunakan sistem common law disamping penggunaan civil law.20 Fakta hukum mengatakan semakin rendahnya nilai kepercayaan masyarakat
terhadap sistem peradilan pidana yang bersifat retributif (pembalasan) melalui sarana
pidana yang dijalankan oleh sistem peradilan pidana di Indonesia. Hal ini terlihat dari
banyaknya pelaku kejahatan berat lainnya lepas dari jeratan hukum hanya semata-mata
tidak terbukti secara formal di sidang pengadilan, sementara itu para pelaku kejahatan (
)
20 Suatu ciri khas dari civil law dalam penegakan hukum pidana adalah dengan menempatkan asas legalitas (asas
kepastian hukum), hal ini terbukti dalam Wetbook van Strafrechts voor Nederlands Indie (WvS) yang kita kenal
sekarang sebagai KUHP di Indonesia. Lihat Pasal 1 ayat (1) yang dengan tegas mengatakan “Tiada suatu perbuatan
pidana yang dapat dihukum melainkan sudah ada aturan hukum yang mengaturnya terlebih dahulu”. 100 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI p
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23 John Braithwaite, Restorative Justice and Responsive Regulation (New York: Oxford University Pre
54. 21 Pasal 109 ayat (2) KUHAPidana. 09 ayat (2) KUHAPidana.
tian asas nebis in idem adalah seseorang tidak dapat dituntut lantaran perbuatan (peristiwa) yang baginya
utuskan oleh hakim (vide ps 76 (1) Kitab Undang udang Hukum Pidana) 25 Menurut Arif Gosita yang dimaksud dengan korban adalah : Mereka yang menderita jasmaniah dan rohaniah
sebagai akibat tindakan orang lain yang bertentangan dengan kepentingan diri sendiri atau orang lain yang mencari
pemenuhan kepentingan diri sendiri; atau orang lain yang hertentangan dengan kepentingan hak asasi yang
menderita. Arif Gasita, Masalah Korban Kejahalan (Jakarta: CY Akademika Pressindo, 1993), 65.
26
hli k i i
l
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h ll mah, “DT. Analisis Keadilan Restoratif Pada Penerapan Hukum Adat di Indonesia”, Jurnal Veritas et
, no. 1 (Juni 2018): 224. ,
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26 Ahli kriminologi Inggris Tony F.Marshall. HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI menderita. Arif Gasita, Masalah Korban Kejahalan (Jakarta: CY Akademika Pressindo, 1993), 65.
26 Ahli kriminologi Inggris Tony F.Marshall. 2. Penerapan Restorative Justice Restorative Justice dalam hukum modern tidak lepas dari sejarah awal
terbentuknya konsep ini yang diawali oleh pelaksanaan sebuah program penyelesaian
di luar peradilan tradisional yang dilakukan oleh masyarakat yang disebut dengan victim
offender mediation yang dilakukan di Negara Kanada pada tahun 1970-an.23 Program
ini awalnya dilaksanakan sebagai tindakan alternatif dalam memberi hukuman pada
pelaku kriminal anak. Pada saat itu, sebelum dilakukan hukuman, pelaku dan korban
diizinkan bertemu dengan tujuan menyusun usulan hukum yang menjadi salah satu
pertimbangan dari sekian banyak pertimbangan hakim. Seiring berkembangnya zaman, 101 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 101 pemenuhan kepentingan diri sendiri; atau orang lain yang hertentangan dengan kepentingan hak asasi yang
menderita. Arif Gasita, Masalah Korban Kejahalan (Jakarta: CY Akademika Pressindo, 1993), 65.
26 Ahli kriminologi Inggris Tony F.Marshall. 27 Murni Oktaviani, “Mengenal Konsep Restorative Justice”. https://ilmu.lpkn.id/2021/03/01/mengenal-konsep-
restorative-justice/ (diakses 12 April 2022). esto at ve just ce/ (d a ses
p
0
).
28 Supemo Hadi, Kriminalisasi Anak (Jakarta PT Gramedia Pustaka Utama, 2010), 16.
29 p
Charles K. B. Barton, Restorative Justice (The Empowerment Model) (Sydney: Hawkins Press, 2003), 38 PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL RAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
AL konsep peradilan restorative justice ini pun banyak diterapkan untuk menyelesaikan
berbagai perkara. Di Indonesia sendiri, konsep restorative justice telah lama dipraktikkan masyarakat
Indonesia melalui hukum adat. Beberapa daerah seperti Papua, Bali, Toraja,
Minangkabau, dan berbagai komunitas adat tradisional lainnya masih menerapkan hal
ini. Apabila terjadi suatu tindak pidana oleh seseorang, maka penyelesaian sengketa
tersebut akan diselesaikan di komunitas adat secara internal tanpa melibatkan aparat
negara. Bagi masyarakat adat ukuran keadilan bukan berdasarkan keadilan retributif
berupa balas dendam atau hukuman penjara, namun berdasarkan kesadaran pelaku atas
kesalahan yang diperbuat dan pemaafan.24 Restorative justice atau dalam bahasa Indonesia disebut sebagai keadilan restoratif
adalah prinsip penyelesaian perkara dengan mengedepankan pemulihan kepada korban
yang menderita akibat kejahatan dengan memberikan ganti rugi kepada korban,25
perdamaian, atau pelaku dapat dihukum dengan melakukan kerja sosial maupun
kesepakatan lainnya. Restorative Justice adalah sebuah proses di mana semua pihak
yang berkepentingan dalam pelanggaran tertentu bertemu bersama untuk
menyelesaikan secara bersama-sama bagaimana menyelesaikan akibat dari pelanggaran
tersebut demi kepentingan masa depan.26 Restorative justice disebut juga sebagai sistem alternatif penegakan hukum yang
menggunakan pendekatan sosio-kultural, bukan pendekatan normatif. Mekanisme
penyelesaian perkara tindak pidana dalam restoratif justice menggunakan tata cara
peradilan pidana yang biasanya berfokus pada pemidanaan, namun pada restorative
justice diubah menjadi proses dialog dan mediasi yang melibatkan pelaku, korban,
keluarga pelaku atau korban, dan pihak lain yang terkait untuk bersama-sama
menciptakan kesepakatan atas penyelesaian perkara pidana yang adil dan seimbang bagi
pihak korban ataupun pelaku. Pada restorative justice ini pun salah satu solusinya
adalah dengan mengalihkan atau menempatkan ke luar pelaku tindak pidana anak dari
sistem peradilan pidana atau yang sering kita sebut dengan upaya diversi. Ada tiga nilai
yang dianut dalam restorative justice menurut Mohammad Kemal Pratama seorang 102 102 102 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI Supemo Hadi, Kriminalisasi Anak (Jakarta PT Gramedia Pustaka Utama, 2010), 16.
29 Charles K. B. Barton, Restorative Justice (The Empowerment Model) (Sydney: Hawkins Press, 2003), 38. HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI ukum
idana 6, o. 3 (Septe be
ese be
0 9): 33 .
31 Pasal 2 UU Nomor 2 Tahun 2002 tentang Kepolisian Negara Republik Indonesia. g
p
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p
32 Pasal 18 ayat (1) dan ayat (2) UU Nomor 2 Tahun 2002 tentang Kepolisian Negara Republik Indonesi 30 Bambang Tri Bawono, ”Reformation Of Law Enforcement Of Cyber Crime In Indonesia.” Jurnal Pembaharuan
Hukum Pidana 6, no. 3 (September – Desember 2019): 332. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Keseluruhan unsur yang terdapat dalam Pasal 27 ayat (3) UU ITE seluruhnya telah
diatur dalam norma yang lain yaitu sesuai dengan Putusan Mahkamah Konstitusi
Nomor 50/PUU-VI/2008 yang menjelaskan bahwa penafsiran norma dalam Pasal 27
ayat (3) UU ITE mengenai penghinaan dan/atau pencemaran nama baik, tidak bisa
dilepaskan dari norma hukum pidana yang termuat dalam Bab XVI tentang Penghinaan
yang termuat dalam Pasal 310 dan Pasal 311 KUHP, sehingga Pasal 27 ayat (3) UU ITE
harus dikaitkan dengan Pasal 310 dan Pasal 311 KUHP. Permasalahan antara Roy Suryo dengan Lucky Alamsyah sebenarnya tidak perlu
terjadi atau berkembang apabila kedua belah pihak pada saat setelah kejadian bisa
segera menyelesaikan dengan baik, karena awal mula perkara bukanlah kasus tentang
pencemaran nama baik namun kejadian kecelakaan ringan namun berkembang ketika
hal itu disebarkan ke media sosial dengan narasi yang memenuhi unsur pidana
pencemaran nama dan serta penghinaan. Dalam konteks mudahnya masyarakat
menggunakan media maya ini berpotensi menjadi kejahatan dunia maya, yang
merupakan salah satu kegelapan sisi kemajuan teknologi yang memiliki dampak negatif
yang sangat luas terhadap segala bidang kehidupan modern saat ini.30 30 Bambang Tri Bawono, Reformation Of Law Enforcement Of Cyber Crime In Indonesia. Jurnal Pembaharuan
Hukum Pidana 6, no. 3 (September – Desember 2019): 332. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Sosiolog Peradilan Pidana Universitas Indonesia:27 a. Keadilan restoratif adalah sebuah ideologi, yang mengedepankan suatu proses yang
melibatkan semua pihak yang terkait dengan terjadinya suatu tindak pidana tertentu
guna secara bersama-sama memecahkan masalah dan menghindari akibat negatif di
masa yang akan datang. b. Keadilan restoratif adalah inklusi atau mendorong partisipasi korban dan pelaku. b. Keadilan restoratif adalah inklusi atau mendorong partisipasi korban dan pelaku. c. Perbaikan ,atau yang dikenal sebagai reparasi. c. Perbaikan ,atau yang dikenal sebagai reparasi. Seiring berkembangnya zaman, sistem pemidanaan tidak lagi bertumpu pada
pelaku namun mengarah pada penyelarasan kepentingan pemulihan korban dan
pertanggungjawaban pelaku tindak pidana. Menurut Supeno ada 5 (lima) prinsip
penerapan restorative justice yaitu : 28 a. Membuat pelanggar bertanggung jawab untuk memperbaiki kerugian yang
ditimbulkan untuk memperbaiki kerugian yang ditimbulkan oleh kesalahannya. b. Memberikan kesempatan kepada pelanggar untuk membuktikan kapasitas dan
kualitasnya di samping mengatasi rasa bersalahnya. c. Melibatkan para korban orang tua, keluarga. c. Melibatkan para korban orang tua, keluarga. d. Menciptakan forum untuk bekerja sama dalam menyelesaikan masalah. e. Menetapkan hubungan langsung dan nyata antara kesalahan dengan reaksi sosial
yang formal. Idealnya, dalam restorative justice, pertemuan antara pihak pelaku dan korban
harus pula melibatkan pihak lain.29 Seperti masyarakat dengan dukungan dan
perhatiannya. Oleh karena itu perbedaan utama dengan retributive justice terletak pada
filosofinya yaitu kesepakatan yang menurut hukum tidak sampai melukai kepentingan
masyarakat atau dengan kata lain restorative justice dilakukan dengan melalui hukum
tanpa mencederai perasaan masyarakat. Dalam perkembangan era teknologi digital yang berkembang pesta saat ini tentunya
harus dapat disikapi dengan baik serta dapat dengan bijak menggunakan media sosial
dalam kehidupan sehari-hari, setiap orang tidak boleh melupakan kewajiban hukumnya
dalam menggunakan hak dengan selalu menghormati hak orang lain serta bersikap
dewasa dalam berkomunikasi lewat media sosial. 103 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL ng Tri Bawono, ”Reformation Of Law Enforcement Of Cyber Crime In Indonesia.” Jurnal Pembaharuan HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI g
p
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p
32 Pasal 18 ayat (1) dan ayat (2) UU Nomor 2 Tahun 2002 tentang Kepolisian Negara Republik Indonesi g
,
y
Hukum Pidana 6, no. 3 (September – Desember 2019): 332. 33 Pasal 22 ayat (2) huruf b dan c UU Nomor 30 tahun 2014 tentang Administrasi Pemerintahan dinyatakan bahwa
setiap penggunaan diskresi pejabat pemerintahan bertujuan untuk mengisi kekosongan hukum dan memberikan
kepastian hukum. 34 Pasal 16 ayat (2) dan Pasal 18 Undang Undang Nomor 2 tahun 2002 tentang Kepolisian Negara Republik
Indonesia dan Pasal 5 ayat (1) angka 4 Undang Undang No.08 tahun 1981 tentang Hukum Acara Pidana
35 Kepala Kepolisian Negara Republik Indonesia (Kapolri) Prof. H. Muhammad Tito Karnavian, Ph.D pada 27
Juli 2018 menandatangani Surat Edaran Kapolri Nomor SE/8/VII/2018 tentang Penerapan Keadilan Restoratif
(Restorative Justice) Dalam Penyelesaian Perkara Pidana. 3. Konsep Restorative Justice Institusi
Kepolisian
memang
diperuntukkan
untuk
pelayanan
umum,
memperhatikan dan melindungi kepentingan orang banyak sesuai dengan tugas pokok
Polri. Pada Pasal 2 UU Kepolisian Republik Indonesia ditegaskan bahwa, fungsi
Kepolisian adalah salah satu fungsi pemerintahan negara di bidang pemeliharaan
keamanan dan ketertiban masyarakat, penegakan hukum, perlindungan, pengayoman,
dan pelayanan kepada masyarakat .31 Kemudian Sebagaimana yang terdapat di UU Nomor 2 Tahun 2002 tentang
Kepolisian Negara Republik Indonesia Pasal 18 ayat (1), bahwa untuk kepentingan
umum pejabat Kepala Kepolisian Negara Republik Indonesia dalam melaksanakan
tugas dan wewenangnya dapat bertindak menurut penilaiannya sendiri kemudian Pasal
18 ayat (2) UU Nomor 2 tahun 2002 tentang Kepolisian Negara Republik Indonesia
sebagaimana dimaksud dalam Pasal 18 ayat (1) hanya dapat dilakukan dalam keadaan
sangat perlu dengan memperhatikan undang-undang serta Kode Etik Profesi Polri.32 104 104 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI y
( )
g
g
g
g
35 Kepala Kepolisian Negara Republik Indonesia (Kapolri) Prof. H. Muhammad Tito Karnavian, Ph.D
Juli 2018 menandatangani Surat Edaran Kapolri Nomor SE/8/VII/2018 tentang Penerapan Keadilan R
(Restorative Justice) Dalam Penyelesaian Perkara Pidana. 36 Surat Keputusan (SK) Direktur Jenderal Badan Peradilan Umum (Dirjen Badilum) MA Nomor
1691/DJU/SK/PS.00/12/2020 tentang Pemberlakuan Pedoman Penerapan Keadilan Restoratif (Restorative
Justice). SK ini terdiri atas lima halaman dengan 15 lampiran yang ditandatangani oleh Dirjen Badilum Prim
Haryadi di Jakarta pada 22 Desember 2020. y
p
37 Surat Edaran Kapolri Jenderal Listyo Sigit Prabowo Nomor SE/2/11/2021 tentang Kesadaran Budaya Beretika
untuk Mewujudkan Ruang Digital Indonesia yang Bersih, Sehat, dan Produktif. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Seorang pejabat Polri dapat menerapkan diskresi 33 dalam berbagai kejadian yang
dihadapinya sehari-hari tetapi berbagai literatur tentang diskresi lebih memfokuskan
kepada
penindakan
selektif
yaitu
berkaitan
dengan
faktor-faktor
yang
mempengaruhinya apakah seorang pelanggar hukum akan ditindak atau tidak. Kewenangan dalam melakukan tindakan lain menurut hukum yang bertanggungjawab
sebagaimana disebutkan dalam Pasal 16 ayat (2) UU Nomor 2 Tahun 2002 tentang
Kepolisian Negara Republik Indonesia dapat dilaksanakan oleh penyelidik atau
penyidik dengan syarat: 34 a. Tidak bertentangan dengan suatu aturan hukum. b. Selaras dengan kewajiban hukum yang mengharuskan tindakan tersebut harus
dilakukan. b. Selaras dengan kewajiban hukum yang mengharuskan tindakan tersebut harus
dilakukan. c. Harus patut, masuk akal, dan termasuk lingkungan jabatannya. d. Pertimbangan yang layak berdasarkan keadaan yang memaksa. d. Pertimbangan yang layak berdasarkan keadaan yang memaksa. M
h
ti h k
i
i e. Menghormati hak asasi manusia. Kemudian Kepala Badan Reserse Kriminal (Kabareskrin) Polri pada tahun 2012
telah mengeluarkan Surat Telegram Kabareskrim Nomor STR/583/VIII/2012 tanggal
08 Agustus 2012 tentang Penerapan Restorative Justice. Surat telegram tersebut yang
dijadikan dasar penyidik dalam penyelesaian perkara pidana dengan keadilan restoratif,
hingga muncul Surat Edaran Kapolri Nomor 7 tahun 2018 (SE/8/VII/2018 tanggal 27
Juli 2018) tentang Penerapan Keadilan Restoratif (Restorative Justice).35 Dalam Penyelesaian Perkara Pidana, Surat Edaran Kapolri tentang Restorative
Justice inilah yang selanjutnya dijadikan landasan hukum dan pedoman bagi penyelidik
dan penyidik Polri yang melaksanakan penyelidikan/penyidikan. Surat Edaran ini juga
merupakan jaminan perlindungan hukum serta pengawasan pengendalian, dalam
penerapan prinsip keadilan restoratif (restorative justice) dalam konsep penyelidikan
dan penyidikan tindak pidana demi mewujudkan kepentingan umum dan rasa keadilan
masyarakat, sehingga dapat mewujudkan keseragaman pemahaman dan penerapan
keadilan restoratif (restorative justice) di lingkungan Polri. 105 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 105 PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Penyidik Polri
pun diminta memedomani hal-hal sebagai berikut:38 ruang digital Indonesia agar tetap Bersih, Sehat, Beretika, dan Produktif. Penyidik Polri
pun diminta memedomani hal-hal sebagai berikut:38 a. Mengikuti perkembangan pemanfaatan ruang digital yang terus berkembang
dengan segala macam persoalannya. a. Mengikuti perkembangan pemanfaatan ruang digital yang terus berkembang
dengan segala macam persoalannya. b. Memahami budaya beretika yang terjadi di ruang digital dengan menginventarisi
berbagai permasalahan dan dampak yang terjadi di masyarakat. c. Mengedepankan upaya preventif dan preventif melalui virtual police dan virtual
alert yang bertujuan untuk memonitor, mengedukasi, memberikan peringatan, serta
mencegah masyarakat dari potensi tindak pidana siber. d. Dalam menerima laporan dari masyarakat, penyidik harus dapat dengan tegas
membedakan antara kritik, masukan, hoaks, dan pencemaran nama baik yang dapat
dipidana untuk selanjutnya menentukan langkah yang akan diambil. d. Dalam menerima laporan dari masyarakat, penyidik harus dapat dengan tegas
membedakan antara kritik, masukan, hoaks, dan pencemaran nama baik yang dapat
dipidana untuk selanjutnya menentukan langkah yang akan diambil. e. Sejak penerimaan laporan, agar penyidik berkomunikasi dengan para pihak
terutama korban (tidak diwakilkan) dan memfasilitasi serta memberi ruang seluas-
luasnya kepada para pihak yang bersengketa untuk melaksanakan mediasi. e. Sejak penerimaan laporan, agar penyidik berkomunikasi dengan para pihak
terutama korban (tidak diwakilkan) dan memfasilitasi serta memberi ruang seluas-
luasnya kepada para pihak yang bersengketa untuk melaksanakan mediasi. f. Melakukan kajian dan gelar perkara secara komprehensif terhadap perkara yang
ditangani dengan melibatkan Bareskrim atau Dittipidsiber (dapat melalui zoom
meeting) dan mengambil keputusan secara kolektif kolegial berdasarkan fakta dan
data yang ada. f. Melakukan kajian dan gelar perkara secara komprehensif terhadap perkara yang
ditangani dengan melibatkan Bareskrim atau Dittipidsiber (dapat melalui zoom
meeting) dan mengambil keputusan secara kolektif kolegial berdasarkan fakta dan
data yang ada. f. Melakukan kajian dan gelar perkara secara komprehensif terhadap perkara yang
ditangani dengan melibatkan Bareskrim atau Dittipidsiber (dapat melalui zoom
meeting) dan mengambil keputusan secara kolektif kolegial berdasarkan fakta dan
data yang ada. g. Penyidik berprinsip bahwa hukum pidana merupakan upaya terakhir dalam
penegakan hukum (ultimatum remidium) dan mengedepankan restorative justice
dalam penyelesaian perkara. g. Penyidik berprinsip bahwa hukum pidana merupakan upaya terakhir dalam
penegakan hukum (ultimatum remidium) dan mengedepankan restorative justice
dalam penyelesaian perkara. h. Terhadap para pihak dan/atau korban yang akan mengambil langkah damai agar
menjadi bagian prioritas penyidik untuk dilaksanakan restorative justice terkecuali
perkara yang bersifat berpotensi memecah belah, SARA, radikalisme, dan
separatisme. i. 38 Lokadata.id., “Kapolri keluarkan surat edaran penanganan kasus UU ITE”, https://lokadata.id/artikel/kapolri-
keluarkan-surat-edaran-penanganan-kasus-uu-ite (diakses 12 Juni 2022). HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Restorative justice di Indonesia sudah sejak lama dijadikan sebagai prinsip
penegakan hukum dalam penyelesaian perkara yang dapat dijadikan instrumen
pemulihan
dalam
bentuk
pemberlakuan
kebijakan
oleh
Mahkamah
Agung.36 Restorative justice ini hadir dalam hukum dan peradilan di Indonesia dengan
tujuan mendorong optimalisasi penerapan kebijakan-kebijakan di atas, selain itu
penerapan restorative justice juga ditujukan untuk mereformasi criminal justice
system yang masih mengedepankan hukuman penjara , Dalam SK Dirjen Badilum
Nomor 1691/DJU/SK/PS.00/12/2020 ada Empat Diktum yang menyatakan: a. Memberlakukan pedoman pelaksanaan keadilan restoratif sebagaimana dalam
lampiran yang merupakan bagian tidak terpisahkan dari SK ini. a. Memberlakukan pedoman pelaksanaan keadilan restoratif sebagaimana dalam
lampiran yang merupakan bagian tidak terpisahkan dari SK ini. b. Memerintahkan kepada seluruh hakim pengadilan negeri untuk melaksanakan untuk
melaksanakan pedoman ini secara tertib dan bertanggung jawab. b. Memerintahkan kepada seluruh hakim pengadilan negeri untuk melaksanakan untuk
melaksanakan pedoman ini secara tertib dan bertanggung jawab. c. Ketua pengadilan tinggi wajib melakukan pengawasan, monitoring, dan evaluasi
serta melaporkan pelaksanaan keadilan restoratif di wilayah hukum pengadilan
tinggi yang bersangkutan. c. Ketua pengadilan tinggi wajib melakukan pengawasan, monitoring, dan evaluasi
serta melaporkan pelaksanaan keadilan restoratif di wilayah hukum pengadilan
tinggi yang bersangkutan. d. Keputusan ini mulai berlaku sejak tanggal ditetapkan, dengan catatan apabila di
kemudian hari ternyata terdapat kekeliruan dalam keputusan ini maka akan diadakan
perbaikan sebagaimana mestinya. d. Keputusan ini mulai berlaku sejak tanggal ditetapkan, dengan catatan apabila di
kemudian hari ternyata terdapat kekeliruan dalam keputusan ini maka akan diadakan
perbaikan sebagaimana mestinya. Kapolri Jenderal Listyo Sigit Prabowo mengeluarkan Surat Edaran (SE) tentang
Kesadaran Budaya Beretika untuk Mewujudkan Ruang Digital Indonesia yang Bersih,
Sehat, dan Produktif. Surat Edaran tersebut bernomor SE/2/11/2021 ditandatangani
langsung oleh Kapolri Jenderal Listyo Sigit pada Jumat, 19 Februari 2021. Dalam Surat
Edaran tersebut, Kapolri mempertimbangkan perkembangan situasi nasional terkait
penerapan UU Nomor 19 Tahun 2016 tentang perubahan atas UU Nomor 11 Tahun
2008 tentang ITE, yang dinilai kontradiktif dengan hak kebebasan berekspresi
masyarakat melalui ruang digital.37 Bahwa dalam rangka penegakan hukum yang berkeadilan dimaksud, Polri
senantiasa mengedepankan Edukasi dan langkah Persuasif sehingga dapat menghindari
adanya dugaan kriminalisasi terhadap orang yang dilaporkan serta dapat menjamin 106 106 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL RAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
AL ruang digital Indonesia agar tetap Bersih, Sehat, Beretika, dan Produktif. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL k. Agar dilakukan pengawasan secara berjenjang terhadap setiap langkah penyidikan
yang diambil dan memberikan reward serta punishment atas penilaian pimpinan
secara berkelanjutan. k. Agar dilakukan pengawasan secara berjenjang terhadap setiap langkah penyidikan
yang diambil dan memberikan reward serta punishment atas penilaian pimpinan
secara berkelanjutan. Dengan dikeluarkan surat edaran tersebut diharapkan Pihak kepolisian
memprioritaskan upaya perdamaian dalam menyelesaikan perkara dengan membuka
ruang mediasi atau musyawarah seluas-luasnya kepada terduga pelaku tindak pidana
dan korban. Sementara proses pemidanaan dilakukan sebagai upaya terakhir dalam
penegakan hukum. 4. Implementasi Surat Edaran Kapolri Selama kurun waktu 100 hari kerja Kapolri sudah banyak kasus-kasus yang
berkaitan dengan ujaran kebencian, pencemaran nama baik serta penghinaan sudah
banyak yang diselesaikan dengan menerapkan restorative justice system . Tujuan
kepolisian
mengedepankan
asas
kekeluargaan
serta
bermusyawarah
dalam
menyelesaikan suatu perkara tindak pidana semata-mata demi kepentingan yang lebih
besar dalam hal ini adalah sebagai bentuk edukasi guna lebih berhati-hati dalam
menggunakan media sosial, contoh kasus yang berkaitan dengan pelanggaran UU ITE
serta sudah dilaksanakan penyelesian secara restorative justice adalah sebagai berikut: a. Seorang siswi di Bengkulu Tengah, Bengkulu, menghina Palestina lewat aplikasi
media sosial (medsos) di Bengkulu minta maaf atas unggahannya yang viral
menghina Palestina, MS mengaku siap menerima risiko atas unggahannya itu. AKBP Ary Baroto menjelaskan bahwa MS diminta membuat surat pernyataan dan
video permintaan maaf. Namun untuk proses hukum akan diselesaikan secara
kekeluargaan. b. Perkara pencemaran nama baik yang diduga dilakukan oleh seorang siswa SMA di
Nusa Tenggara Timur ,SN sebelumnya ditetapkan tersangka atas laporan guru
honorer SDN Bestobe, WU, pada 23 Oktober 2020. Ia disangka melanggar pasal
UU ITE. Kasus ini bermula dari unggahan SN pada 16 Juli 2020 lalu di sebuah grup
media sosial yang mengatakan bahwa ada pungutan liar yang terjadi di SDN
Bestobe. WU disebut ikut terlibat dalam pemungutan liar kepada siswa di sekolah
dasar itu. Pihak SDN Bestobe kemudian melaporkan unggahan SN itu. SN disangka
melanggar Pasal 45 ayat (3) jo Pasal 27 ayat (3) UU Nomor 19 Tahun 2016,
perubahan atas UU Nomor 11 Tahun 2008 tentang Informasi dan Transaksi
Elektronik jo Pasal 310 KUHP. "Kasusnya sudah selesai, mereka berdamai setelah
dimediasi , pendekatan restorative justice atau keadilan restoratif dalam perkara ini b. Perkara pencemaran nama baik yang diduga dilakukan oleh seorang siswa SMA di
Nusa Tenggara Timur ,SN sebelumnya ditetapkan tersangka atas laporan guru
honorer SDN Bestobe, WU, pada 23 Oktober 2020. Ia disangka melanggar pasal
UU ITE. Kasus ini bermula dari unggahan SN pada 16 Juli 2020 lalu di sebuah grup
media sosial yang mengatakan bahwa ada pungutan liar yang terjadi di SDN
Bestobe. WU disebut ikut terlibat dalam pemungutan liar kepada siswa di sekolah
dasar itu. Pihak SDN Bestobe kemudian melaporkan unggahan SN itu. SN disangka
melanggar Pasal 45 ayat (3) jo Pasal 27 ayat (3) UU Nomor 19 Tahun 2016,
perubahan atas UU Nomor 11 Tahun 2008 tentang Informasi dan Transaksi
Elektronik jo Pasal 310 KUHP. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Korban yang tetap ingin perkaranya diajukan ke pengadilan namun tersangkanya
telah sadar dan meminta maaf, terhadap tersangka tidak dilakukan penahanan dan
sebelum berkas diajukan ke JPU agar diberikan ruang untuk mediasi kembali. j. Penyidik agar berkoordinasi dengan JPU dalam pelaksanaannya, termasuk
memberikan saran dalam hal pelaksanaan mediasi pada tingkat penuntutan. j. Penyidik agar berkoordinasi dengan JPU dalam pelaksanaannya, termasuk
memberikan saran dalam hal pelaksanaan mediasi pada tingkat penuntutan. 107 107 PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL 4. Implementasi Surat Edaran Kapolri "Kasusnya sudah selesai, mereka berdamai setelah
dimediasi , pendekatan restorative justice atau keadilan restoratif dalam perkara ini 39 Kompas.com., "Kabareskrim: Kasus Guru Laporkan Siswa dengan UU ITE di NTT Berakhir Damai",
https://nasional.kompas.com/read/2021/03/02/14214641/kabareskrim-kasus-guru-laporkan-siswa-dengan-uu-ite-
di-ntt-berakhir-damai (diakses 11 Mei 2022).
40 Teguh Arifiyadi, "Azril Sopandi dan Gagal Paham Penerapan Pasal 27 Ayat 3 UU ITE".
https://news.detik.com/kolom/d-3460246/azril-sopandi-dan-gagal-paham-penerapan-pasal-27-ayat-3-uu-ite
(diakses 12 Mei 2022).
41 Adami Chazawi & Ardi Ferdian, Tindak Pidana Informasi dan Transaksi Elektronik (Malang: Bayu Media
Publishing, 2011), 85. 39 Kompas.com., "Kabareskrim: Kasus Guru Laporkan Siswa dengan UU ITE di NTT Berakhir Damai",
https://nasional.kompas.com/read/2021/03/02/14214641/kabareskrim-kasus-guru-laporkan-siswa-dengan-uu-ite-
di-ntt-berakhir-damai (diakses 11 Mei 2022). (
)
40 Teguh Arifiyadi, "Azril Sopandi dan Gagal Paham Penerapan Pasal 27 Ayat 3 UU
https://news.detik.com/kolom/d-3460246/azril-sopandi-dan-gagal-paham-penerapan-pasal-27-ayat-3-uu
(diakses 12 Mei 2022). Indonesia (Bandung: Sinar Baru, 1990), 188.
43 Putusan Mahkamah Agung Nomor 1600 K/PID/2009. 42 Arrest Hoge Raad 11 Desember 1899, W. 7379 dalam P.A.F. Lamintang dan Djisman S., Hukum Pidana
Indonesia (Bandung: Sinar Baru, 1990), 188. HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 108 108 PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL RAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
TAL dilakukan oleh Polda NTT, dengan koordinasi Dir Krimsus Kombes Johanes dan
jajaran. 39 c. Kasus yang dilaporkan oleh Roy terhadap Lucky Alamsyah, karena menganggap
terlapor memutarbalikkan fakta tanpa klarifikasi terlebih dahulu dengan
mengunggahnya
di
media
sosial
lewat
unggahan
di
akun
instagram
@luckyalamsyah_official, artis berkacamata itu memperlihatkan mobil yang diduga
dikendarai Roy Suryo. Menurut dia, saat kecelakaan terjadi, Roy Suryo justru
bersikap arogan dan meninggalkan korban kemudian Lucky Alamsyah menuliskan
kalimat di media instagramnya sebagai berikut "Ini mobil mantan menteri yang
nyerempet mobil Aa lalu kabur. Si 'RS' ini setelah dikejar dan terkejar di saat dia
masuk ke parkiran stasiun @TVOneNews, bukannya minta maaf malahan sok
marah-marah dan sok nunjuk-nunjuk dan sok arogan di hadapan semua orang. Hambatan terjadi karena seperti pada kasus pada umumnya, para pihak sama-sama
saling emosi dan merasa harga diri tersinggung, terlebih para pihak adalah public figure,
namun upaya pendekatan oleh pihak kepolisian membuahkan hasil masing-masing
pihak dapat mencapai perdamaian. Penerapan Pasal 27 ayat (3) UU ITE dalam kasus di atas tidak mengandung suatu
norma yang salah. Hal yang diatur dalam pasal tersebut seluruhnya adalah hal yang
wajar dalam hukum, termasuk mengenai pengaplikasian konsep “penghinaan” pada
pasal tersebut telah diatur dalam norma yang lain yaitu sesuai dengan Putusan
Mahkamah Konstitusi Nomor 50/PUU-VI/2008 yang menjelaskan bahwa penafsiran
norma dalam Pasal 27 ayat (3) UU ITE mengenai penghinaan dan/atau pencemaran
nama baik, tidak bisa dilepaskan dari norma hukum pidana yang termuat dalam Bab
XVI tentang Penghinaan yang termuat dalam Pasal 310 dan Pasal 311 KUHP. Dengan
demikian, konstitusionalitas Pasal 27 ayat (3) UU ITE harus dikaitkan dengan Pasal 310
dan Pasal 311 KUHP.40 Namun, penjatuhan pidana harus menggunakan ancaman pidana
dalam Pasal 27 ayat (3) UU ITE yang merupakan lex specialist dari penghinaan dan
pencemaran nama baik.41 109 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 109 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI (
g
,
),
43 Putusan Mahkamah Agung Nomor 1600 K/PID/2009. 42 Arrest Hoge Raad 11 Desember 1899, W. 7379 dalam P.A.F. Lamintang dan Djisman S., Hukum Pidana
Indonesia (Bandung: Sinar Baru, 1990), 188.
43 Putusan Mahkamah Agung Nomor 1600 K/PID/2009. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL harus mampu memfasilitasi penyelesaian konflik yang memuaskan untuk para pihak
yang berselisih.” Dari penjelasan di Pasal 27 ayat (3) maupun yang terdapat dalam Pasal 310 ayat (1)
dan ayat (2) sebenarnya sudah mengakomodir kebutuhan masyarakat secara umum
berkaitan dengan hak menjaga kehormatan serta nama baik seseorang yang dilakukan
melalui media sosial. Perkembangan secara cepat dalam masyarakat yang dahulu
merupakan masyarakat yang bersifat sosial menjadi masyarakat yang mengandalkan era
digital, mengakibatkan masyarakat mudah sekali terprovokasi atas informasi yang
belum jelas kebenarannya, kemudian tanpa melakukan klarifikasi atau tabbayun
langsung memberikan statement yang berimplikasi pada konsekuensi hukum yang harus
dipertanggungjawabkan. Terkait hal ini, Kepolisian Republik Indonesia sudah
melakukan langkah konkret dan tepat dengan mengeluarkan aturan guna melindungi
hak-hak orang lain, baik yang diduga sebagai korban ataupun pelaku kejahatan dunia
digital. PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Arrest Hoge Raad tahun 1899 menyatakan bahwa tuduhan telah melakukan hal
yang benar-benar terjadi sekalipun merupakan perbuatan menista atau menghina atau
mencemarkan nama baik, jika pelaku tidak melakukannya demi kepentingan umum,
melainkan didorong oleh nafsu untuk menghina atau untuk menyinggung perasaan
orang itu.42 Kepolisian dalam hal ini sebagai mediator berharap masing-masing pihak
dapat menyelesaikan permasalahan di luar jalur hukum dengan cara musyawarah dan
menyatakan damai. Kepolisian sekaligus memberikan contoh kepada masyarakat agar lebih bijak dalam
menggunakan media sosial bagi terlapor sedangkan bagi pelapor dapat menunjukkan
sikap yang bijak dengan memberikan maaf sebagaimana karakter bangsa kita yang
menjunjung tinggi asas kekeluargaan. Hal ini sesuai dengan instruksi Kapolri Jenderal
Listyo Sigit Prabowo dalam surat edaran dan surat telegramnya, yaitu "harus lebih
berhati-hati menerapkan UU ITE dengan tetap mempertimbangkan kemanusiaan dan
perdamaian kedua belah pihak”. Hal tersebut di atas juga sudah diatur jelas di Pasal 75 KUHP yang berbunyi “Orang
yang mengajukan pengaduan, berhak menarik kembali dalam waktu tiga bulan setelah
pengaduan diajukan.” Dalam Pasal 75 KUHP hanya bisa berlaku untuk kejahatan-
kejahatan yang sifat deliknya adalah delik aduan, sehingga bila pengaduan dicabut maka
akan menghentikan proses hukum yang berjalan. Hal ini pun diperkuat dengan Putusan
Mahkamah Agung Nomor 1600 K/PID/2009 yang menyatakan pada pokoknya sebagai
berikut: “walaupun pencabutan pengaduan telah melewati 3 bulan, yang menurut Pasal 75
KUHP telah lewat waktu, namun dengan pencabutan itu keseimbangan yang terganggu
dengan adanya tindak pidana tersebut telah pulih karena perdamaian yang terjadi antara
pelapor dengan terlapor mengandung nilai yang tinggi yang harus diakui, karena
bagaimanapun juga bila perkara ini dihentikan manfaatnya lebih besar dari pada bila
dilanjutkan”.43 Mahkamah Agung dalam putusan tersebut juga menyatakan “Bahwa ajaran
keadilan restoratif mengajarkan bahwa konflik yang disebut kejahatan harus dilihat
bukan semata-mata sebagai pelanggaran terhadap negara dengan kepentingan umum
tetapi konflik juga merepresentasikan terganggunya, bahkan mungkin terputusnya
hubungan antara dua atau lebih individu di dalam hubungan kemasyarakatan. Hakim 110 110 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL RAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
AL Artikel Jurnal Anggraeni, Rita, & Rd. Henda. “Penegakan Hukum Pelaku Perusakan Fasilitas Umum Di Kota
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Hukum
Responsif
11,
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(Februari
2020):
24-34. https://pdfs.semanticscholar.org/2638/2aab3838d2c7921adb7d93940ec8efe68346.pdf. Bawono, Bambang Tri. ”Reformation Of Law Enforcement Of Cyber Crime In Indonesia.”
Jurnal Pembaharuan Hukum Pidana 6, no. 3 (September – Desember 2019): 332-349. https://jurnal.unissula.ac.id/index.php/PH/article/download/332-349/4121. Hartanto & Aida Dewi. “Posisi Hukum Korban Perzinahan Yang Dilaporkan Atas Tindak
Pidana Kesusilaan Berdasar Undang-Undang Nomor 19 Tahun 2016 Tentang Informasi
Dan Transaksi Elektronik.” Jurnal Hukum: To-Ra 6, no. 3 (Desember 2020): 199-207. http://ejournal.uki.ac.id/index.php/tora/article/download/2635/1716. Hartanto & Aris Sudarmono. “Omnibus Law Between Justice And Benefits (Omnibus Law
Opportunities And Challenges Towards Entrepreneurs And Labor : Comparative
Review Law).” The 1st Proceeding, The 6th Proceeding International Conference And
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/JHCJ/article/download/1035/739. D. Penutup Polri berupaya mengembangkan konsep diskresi untuk menerapkan restorative justice
terhadap penggunaan pasal-pasal yang ada di UU Nomor 19 Tahun 2016 tentang
Perubahan Atas UU 11 Tahun 2008 tentang ITE. sebenarnya langkah yang dilakukan Polri
sudah sangat sesuai dengan dinamika masyarakat saat ini. Semakin berkembangnya
teknologi yang mengubah karakter komunikasi manusia dari bersifat sosial menjadi
masyarakat yang bersifat digital, akan mengikis rasa kemanusiaan sekaligus dengan mudah
menyalahgunakan media dengan melakukan pencemaran nama baik serta tanpa berpikir
hak-hak orang lain yang harus dijaga. Kepolisian Negara Republik Indonesia sebagai ujung tombak penegakan hukum yang
langsung bersentuhan dengan masyarakat diharapkan lebih mengedepankan dan
mengupayakan penyelesaian kasus penghinaan dan pencemaran nama baik dalam dunia
digital dengan metode restorative justice. Kepolisian Negara Republik Indonesia
seharusnya berupaya menyelesaikan konflik dengan perdamaian terhadap para pihak,
sehingga tidak perlu melalui jalur hukum sebagaimana amanat SE Kapolri Jenderal Listyo
Sigit Prabowo Nomor SE/2/11/2021 tentang Kesadaran Budaya Beretika untuk
Mewujudkan Ruang Digital Indonesia yang Bersih, Sehat, dan Produktif. 111 111 111 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Buku Asshiddiqie, Jimly. Konstitusi & Konstitusionalisme Indonesia. Jakarta: Konstitusi Press, 2005. Barton Charles K B Restorative Justice (The Empowerment Model) Sydney: Hawkins Press Asshiddiqie, Jimly. Konstitusi & Konstitusionalisme Indonesia. Jakarta: Konstitusi Press, 2005. Asshiddiqie, Jimly. Konstitusi & Konstitusionalisme Indonesia. Jakarta: Konstitusi Press, 2005. Barton, Charles K. B. Restorative Justice (The Empowerment Model). Sydney: Hawkins Press,
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TAL PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Braithwaite, John. Restorative Justice and Responsive Regulation. New York: Oxford
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Bayu Media Publishing, 2010. Fuady, Munir. Teori-Teori Besar (Grand Theory) dalam Hukum. Jakarta: Prenadamedia Grup,
2013. Gasita, Arif. Masalah Korban Kejahalan. Jakarta: CY Akademika Pressindo, 1993. Hadi, Supemo. Kriminalisasi Anak. Jakarta: PT Gramedia Pustaka Utama, 2010. Hiariej, Eddy O.S. Prinsip-prinsip Hukum Pidana. Yogyakarta: Cahaya Atma Pustaka, 2016. Lamintang, P.A.F., & Djisman S. Hukum Pidana Indonesia. Bandung: Sinar Baru, 1990. Soekanto, Soerjono, & Sri Mamudji. Penelitian Hukum Normatif Suatu Tinjauan Singkat. Jakarta: Rajawali Pers, 1995. Artikel Internet Anggraini, Pingkan. "Kronologi Versi Roy Suryo Soal Kisruh Dituding Tabrak Lari Lucky
Alamsyah". https://hot.detik.com/celeb/d-5581137/kronologi-versi-roy-suryo-soal-
kisruh-dituding-tabrak-lari-lucky-alamsyah (diakses 17 Mei 2022). Arifiyadi, Teguh. "Azril Sopandi dan Gagal Paham Penerapan Pasal 27 Ayat 3 UU ITE". https://news.detik.com/kolom/d-3460246/azril-sopandi-dan-gagal-paham-penerapan-
pasal-27-ayat-3-uu-ite (diakses 12 Mei 2022). Kompas.com. "Kabareskrim: Kasus Guru Laporkan Siswa dengan UU ITE di NTT Berakhir
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guru-laporkan-siswa-dengan-uu-ite-di-ntt-berakhir-damai (diakses 11 Mei 2022). Lokadata.id. “Kapolri
keluarkan
surat
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ITE”. https://lokadata.id/artikel/kapolri-keluarkan-surat-edaran-penanganan-kasus-uu-ite
(diakses 12 Juni 2022). Oktaviani,
Murni. “Mengenal
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Justice”. https://ilmu.lpkn.id/2021/03/01/mengenal-konsep-restorative-justice/ (diakses 12 April
2022). Presisi.net. “1.864
Kasus
Diselesaikan
dengan
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(diakses 13 Mei 2022). PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL Surat Edaran Kapolri Jenderal Listyo Sigit Prabowo Nomor SE/2/11/2021 tentang Kesadaran
Budaya Beretika untuk Mewujudkan Ruang Digital Indonesia yang Bersih, Sehat, dan
Produktif. Surat Edaran Kapolri Jenderal Listyo Sigit Prabowo Nomor SE/2/11/2021 tentang Kesadaran
Budaya Beretika untuk Mewujudkan Ruang Digital Indonesia yang Bersih, Sehat, dan
Produktif. SK Dirjen Badilum Nomor 1691/DJU/SK/PS.00/12/2020 tentang Pemberlakuan Pedoman
Penerapan Keadilan Restoratif (Restorative Justice). SK ini terdiri atas lima halaman
dengan 15 lampiran yang ditandatangani oleh Dirjen Badilum Prim Haryadi di Jakarta
pada 22 Desember 2020. SK Dirjen Badilum Nomor 1691/DJU/SK/PS.00/12/2020 tentang Pemberlakuan Pedoman
Penerapan Keadilan Restoratif (Restorative Justice). SK ini terdiri atas lima halaman
dengan 15 lampiran yang ditandatangani oleh Dirjen Badilum Prim Haryadi di Jakarta
pada 22 Desember 2020. SK Dirjen Badilum Nomor 1691/DJU/SK/PS.00/12/2020 tentang Pemberlakuan Pedoman
Penerapan Keadilan Restoratif (Restorative Justice). SK ini terdiri atas lima halaman
dengan 15 lampiran yang ditandatangani oleh Dirjen Badilum Prim Haryadi di Jakarta
pada 22 Desember 2020. Surat Telegram Kabareskrim Nomor STR/583/VIII/2012 tanggal 08 Agustus 2012 tentang
Penerapan Restorative Justice. Surat Telegram Kabareskrim Nomor STR/583/VIII/2012 tanggal 08 Agustus 2012 tentang
Penerapan Restorative Justice. 114 Peraturan Perundang-Undangan Universal Declaration of Human Rights (UDHR) Tahun 1948 di butir 8 mengenai Perlakuan
adil oleh pengadilan yang adil. UU Republik Indonesia Nomor 11 Tahun 2008 tentang Informasi Dan Transaksi Elektronik. UU Republik Indonesia Nomor 19 Tahun 2016 tentang Perubahan Atas Undang-Undang
Nomor 11 Tahun 2008 Tentang Informasi Dan Transaksi Elektronik. Putusan Mahkamah Agung Nomor 1600 K/PID/2009 tentang Perdamaian dalam Kasus Pidana
Nilainya Lebih Tinggi. Surat Edaran Kapolri Nomor 7 tahun 2018 (SE/8/VII/2018 tanggal 27 Juli 2018) tentang
Penerapan Keadilan Restoratif (Restorative Justice). 113 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 113 PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA
DIGITAL
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https://openalex.org/W4378072404
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https://www.frontiersin.org/articles/10.3389/fcvm.2023.1101386/pdf
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English
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The mortality risk after myocardial infraction in migrants compared with natives: a systematic review and meta-analysis
|
Frontiers in cardiovascular medicine
| 2,023
|
cc-by
| 6,770
|
TYPE Systematic Review
PUBLISHED 24 May 2023
DOI 10.3389/fcvm.2023.1101386 myocardial infraction, migrant, mortality, prognosis, meta analysis The mortality risk after myocardial
infraction in migrants compared
with natives: a systematic review
and meta-analysis EDITED BY
Tiejun Tong,
Hong Kong Baptist University, Hong Kong SAR,
China
REVIEWED BY
Niya Mileva,
Aleksandrovska University Hospital, Bulgaria
Liam Butler,
Wake Forest University, United States
Sivabaskari Pasupathy,
University of Adelaide, Australia
*CORRESPONDENCE
Bao-tao Huang
baotao.huang@foxmail.com
Mao Chen
hmaochen@vip.sina.com
RECEIVED 17 November 2022
ACCEPTED 17 April 2023
PUBLISHED 24 May 2023
CITATION
Zhu L, Huang B-t and Chen M (2023) The
mortality risk after myocardial infraction in
migrants compared with natives: a systematic
review and meta-analysis. Front. Cardiovasc. Med. 10:1101386. doi: 10.3389/fcvm.2023.1101386 Department of Cardiology, West China Hospital, Sichuan University, Chengdu, China Background and Objective: The evidence on the risk of mortality after myocardial
infarction (MI) among migrants compared with natives is mixed and limited. The
aim of this study is to assess the mortality risk after MI in migrants compared to
natives. Methods:
This
study
protocol
is
registered
with
PROSPERO,
number
CRD42022350876. We searched the Medline and Embase databases, without
time and language constraints, for cohort studies that reported the risk of
mortality after MI in migrants compared to natives. The migration status is
confirmed by country of birth, both migrants and natives are general terms and
are not restricted to a particular country or area of destination or origin. Two
reviewers separately screened searched studies according to selection criteria,
extracted data, and assessed data quality using the Newcastle-Ottawa Scale
(NOS) and risk of bias of included studies. Pooled estimates of adjusted and
unadjusted mortality after MI were calculated separately using a random-effects
model, and subgroup analysis was performed by region of origin and follow-up
time. Zhu L, Huang B-t and Chen M (2023) The
mortality risk after myocardial infraction in
migrants compared with natives: a systematic
review and meta-analysis. Front. Cardiovasc. Med. 10:1101386. doi: 10.3389/fcvm.2023.1101386 Eligibility criteria We initially included studies that assessed the prognosis of
migrant populations with MI. The study subjects were migrants
with MI, whereas the comparison subjects were natives of the
destination country with MI, and the main outcome was all-
cause mortality after MI. MI are confirmed by ICD codes or
clinical definition, and migrants are defined as those born in
countries other than the country in which they currently live and
the study was conducted. Both migrants and natives are general
terms and are not restricted to a particular country or area of
destination or origin. Studies were excluded if they met any of
the following criteria: an editorial; a conference abstract; studies
observing ethnic background only, with no explicit definition of
migration; studies focused on subpopulations such as refugees;
and a lack of a local resident control group. At the same time, with the continuous process of globalization,
the number of international migrations has continued to grow in
the past few decades. It is estimated that the number of persons
living outside of their country of origin reached 281 million in
2020, among them, over 90 percent lived in high-income or
upper middle-income countries, and about 76 percent came from
a middle-income or low-income country (4). Nearly one in every
six persons residing in a high-income country is a migrant, and
they have profoundly changed the demographic structure of the
destination country (4, 5). Therefore, the health status of the
migrant population is of widespread concern. Most studies have focused on the morbidity or mortality of
diseases in the entire population of migrants compared to
natives, including cardiovascular diseases, with mixed results (6). Some studies have observed that migrants are generally healthier
than the natives, particularly in the early stages of migration,
proposing the healthy migration hypothesis, whereby relatively
healthier groups are more likely to migrate, and the salmon bias
hypothesis, whereby less healthy migrants tend to return to
their place of origin (7–9). These hypotheses and supporting
observational data contradict the conventional view of migrants’
health, as many studies also show that migrants often face
many
disadvantages,
such
as
low
socioeconomic
status,
language, cultural barriers, psychosocial stress, limited access to
health care services, and therefore have poorer health (10, 11). COPYRIGHT © 2023 Zhu, Huang and Chen. This is an open-
access article distributed under the terms of the
Creative Commons Attribution License (CC BY). Result: A total of 6 studies were enrolled, including 34,835 migrants and 284,629
natives. The pooled adjusted all-cause mortality of migrants after MI was higher
than that of natives (OR, 1.24; 95% CI, 1.10–1.39; I2 = 83.1%), while the the
pooled unadjusted mortality of migrants after MI was not significantly different
from that of natives (OR, 1.11; 95% CI, 0.69–1.79; I2 = 99.3%). In subgroup
analyses, adjusted 5–10 years mortality (3 studies) was higher in the migrant
population (OR, 1.27; 95% CI, 1.12–1.45; I2 = 86.8%), while adjusted 30 days (4
studies) and 1–3 years (3 studies) mortality were not significantly different
between the two groups. Migrants from Europe (4 studies) (OR, 1.34; 95% CI,
1.16–1.55; I2= 39%), Africa (3 studies) (OR, 1.50; 95% CI, 01.31–1.72; I2 = 0%), and
Latin America (2 studies) (OR, 1.44; 95% CI, 1.30–1.60; I2= 0%) had significantly
higher rates of post-MI mortality than natives, with the exception of migrants of
Asian origin (4 studies) (OR, 1.20; 95% CI, 0.99–1.46; I2 = 72.7%). 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. Conclusions: Migrants tend
to have
lower
socioeconomic
status,
greater
psychological stress, less social support, limited access to health care resources,
etc., therefore, face a higher risk of mortality after MI in the long term
compared to natives. Further research is needed to confirm our conclusions,
and more attention should be paid to the cardiovascular health of migrants. Systematic Review Registration: https://www.crd.york.ac.uk/prospero/, identifier:
r CRD42022350876. Systematic Review Registration: https://www.crd.york.ac.uk/prospero/, identifier:
r CRD42022350876. Frontiers in Cardiovascular Medicine frontiersin.org 01 Zhu et al. 10.3389/fcvm.2023.1101386 10.3389/fcvm.2023.1101386 10.3389/fcvm.2023.1101386 Eligibility criteria A
recent
meta-analysis
concluded
that
migrants
had
an
advantage in mortality for most diseases, but no difference in
ischemic
circulatory
disease;
however,
this
study
excluded
certain patient groups, such as those already in the intensive care
unit with MI (12). Despite MI is one of the main diseases that
affect the human life span and there are large number of
migrants with MI, studies investigating the outcomes of migrants
with MI are limited. Introduction The findings may help improve cardiovascular health in this
large population and reduce health disparities while providing a
specific perspective to further illustrate the mechanisms by which
immigration affects health. Although the treatment and prognosis of myocardial infarction
(MI) have improved greatly in recent decades, ischemic heart
disease (IHD) was estimated to be responsible for more than 5
million deaths in 2019 and remains one of the leading causes of
mortality in the world, bringing great burdens both to society
and individuals (1). It is well known that the morbidity and
mortality of cardiovascular diseases between different countries
or regions are substantially different, such as the global burden
of disease (GBD) study showed the incidence and prevalence of
IHD in some high-income countries are higher than those in
some low- and middle-income countries, although the disability
adjusted
life years (DALY) of
IHD in
some high-income
countries are lower than those in some middle-income countries,
and the age-standardized DALYs due to IHD were highest in
Eastern Europe, Central Asia, Oceania, and the Middle East/
North Africa, and relatively low in the rest regions of the world
(1–3). Search strategy We searched MEDLINE via Ovid (from 1946 to November
Week 1 2022) and EMBASE via Ovid (from 1974 to 2022
November 15) for published peer-reviewed literature with no
restrictions on language and date. Additional records were
identified by manual searches for references in the included
studies. Using a Boolean search strategy developed by consulting
previous literature (14, 15), detailed search terms are listed in
Supplementary Appendix S2. Methods This is a systematic review and meta-analysis that followed the
PRISMA guidelines (13), and the protocol was registered with the
prospective register of systematic reviews (PROSPERO; registration
number CRD 42022350876). The PRISMA checklist is provided in
the Supplementary Appendix S1. Frontiers in Cardiovascular Medicine Data extraction Two reviewers (LZ and BTH) independently collected data from
the included studies: name of first author, year of publication, country,
study design, country of origin, year of study, number of participants,
age range, sex, number of mortality events, mortality rates, and follow-
up time. Duplicate data were removed for studies reporting the same
migrant group (by country of destination) for the same mortality
outcome and period. Contradictions were resolved by consensus. Microsoft Office Excel was used to manage data extraction. Sensitivity analyses The heterogeneity between the studies was relatively high, so
we used a random effect model and performed a sensitivity
analysis. We conducted subgroup analysis by follow-up time and
country of birth and found that the area of origin may explain
part of the high heterogeneity, and planned subgroup analyses by
reason for migration, sex, and education were not practicable due
to the lack of relevant data in most studies. For the meta-analysis
of adjusted mortality, when the study by Shvartsur et al. was
removed (19), heterogeneity was significantly lower (OR, 1.19;
95% CI, 1.11–1.27; I2 = 31.7%), and the complex diversity of the
included
migrant
populations
and
their
origins
may
also Quality assessment We used the Newcastle‒Ottawa Scale (NOS) to assess the risk
of bias and methodological quality of the included studies (16). Studies scoring 0 to 3 points, 4 to 6 points, and 7 to 9 points
were classified as low-, moderate- and high-quality studies,
respectively. All studies were independently evaluated by two
authors (LZ and BTH), and discrepancies were resolved by
consensus or consultation with the third investigator (MC). Study selection All citations in the search were downloaded to EndnoteTM, and
duplicate citations were removed. Two reviewers (LZ and BTH)
independently screened the titles and abstracts of all citations in
the database, and disagreements were resolved by consensus or
by reference to the third reviewer (MC). The full texts of the
included articles were assessed for eligibility by two reviewers
independently using a checklist of inclusion and exclusion
criteria, with reasons for exclusion noted, and disagreements
were discussed by all authors to seek consensus. The purpose of our study was to conduct a systematic review
and meta-analysis to assess the prognostic differences between
migrants and natives with MI and to explore the impact of
migration on the prognosis of the migrant population with MI. Frontiers in Cardiovascular Medicine frontiersin.org 02 Zhu et al. 10.3389/fcvm.2023.1101386 abstract, of which 35 were included in full-text screening, and 6
studies finally met the inclusion criteria (18–23). The reasons for
exclusion are classified and given in Figure 1. Study characteristics and quality
assessment All included studies were conducted in high-income countries,
including
Israel
(two
studies),
Sweden
(two
studies),
The
Netherlands,
and
Australia. These
studies
were
published
between 5 June 1997 and 22 August 2018, and included a total
of 34,835 migrants (weighted average age is about 66.6 years old,
and 69.7% male) and 284,629 natives (weighted average age is
about 69.1 years old, and 65.4% male) with a recruitment period
between 1981 and 2012, and migrants are mainly from Europe
and Asia, and the weighted average follow-up time is about
8.1 years. The characteristics of the included studies are shown in
Table 1. Using NOS to assess the quality of the 6 included
studies, five studies (19–23) received a high-quality rating, and
one study (18) received a moderate-quality rating. Overall, the
qualities of the included studies were good. The detailed results
table can be found in Supplementary Appendix S3. Main results The outcomes were the mortality rate after myocardial infarction,
according to the follow-up time, which can be divided into ≤30 days
mortality, 1 to 3 years mortality, and 5 to 10 years mortality. There are
also several effect sizes with different adjustment factors in the same
study, and we chose the one with the most adjustment factors. The
heterogeneity among studies was assessed using I2 statistics (17). Effect sizes were aggregated using fixed-effects or random-effects
models according to the level of heterogeneity. Pooled estimates of
odds ratios (ORs) with 95% confidence intervals were calculated to
compare the unadjusted risk of mortality in migrants with natives,
while pooled adjusted estimates of hazard ratios (HRs) with 95%
confidence intervals were calculated to look at the adjusted risk of
mortality
in
migrants
with
natives. Subgroup
analysis
was
performed according to the region of the country of origin and the
follow-up time, and all included mortality data were adjusted. The p
value of statistical significance was set at 0.05. When I2 exceeded
50%, we considered heterogeneity significant, and a sensitivity
analysis
was
performed
to
explore
potential
sources
of
heterogeneity, including country of birth and follow-up time. Publication bias was assessed using the Egger test. All analyses were
performed in STATA software 17.0 (Stata Corporation, College
Station, TX, USA). Four studies (19, 20, 22, 23) provided an adjusted mortality
rate, all including the adjustment factor of age, and the rest were
gender, comorbidities, socioeconomic status, onset characteristics,
year of event, etc. Mortality endpoint data with the longest
follow-up time were selected in each study, and all mortality
endpoints used in the adjusted analysis were followed up for
more than 1 year. The pooled result showed that migrants had
higher mortality after MI than natives (OR, 1.24; 95% CI, 1.10–
1.39; I2 = 83.1%), see Figure 2. While unadjusted mortality data
were extracted from all the 6 studies, the pooled result showed
that there were no statistically significant differences in mortality
after MI among migrants compared to natives (OR, 1.11; 95% CI,
0.69–1.79; I2 = 99.3%), see Figure 3. Frontiers in Cardiovascular Medicine Results We identified 1,184 publications through the literature search
and screened them, 281 of which were duplicates. A total of 903
articles and an additional 9 articles identified by manual searches
for references of included studies were screened by title and Frontiers in Cardiovascular Medicine 03 frontiersin.org Zhu et al. 10.3389/fcvm.2023.1101386 FIGURE 1
Flowchart of the study selection process. FIGURE 1
Flowchart of the study selection process. FIGURE 1
Flowchart of the study selection process. contribute to the high heterogeneity (Supplementary Appendix
S4). contribute to the high heterogeneity (Supplementary Appendix
) migrants of African origin, and 2 studies (20, 22) included
migrants
of
Latin
American
origin. All
the
endpoints
of
mortality were adjusted, and we also selected the one with the
longest follow-up time. Migrants from Europe (OR, 1.34; 95% CI,
1.16–1.55; I2 = 39%), Africa (OR, 1.50; 95% CI, 1.31–1.72; I2 =
0%), and Latin America (OR, 1.44; 95% CI, 1.30–1.60; I2 = 0%)
had significantly higher rates of post-MI mortality than natives,
with the exception of migrants of Asian origin (OR, 1.20; 95%
CI, 0.99–1.46; I2 = 72.7%). The heterogeneity between groups was
small, except for the Asian subgroup. See Figure 5. contribute to the high heterogeneity (Supplementary Appendix
S4). Results of the subgroup analysis We performed a subgroup meta-analysis by the duration of
follow-up. Four studies (19, 20, 22, 23) included in-hospital and
30-day mortality, 3 studies (19, 22, 23) included 1–3 years
mortality, and 3 studies (19, 20, 23) included 5–10 years
mortality. All included mortality data were adjusted. Pooled data
showed 5–10 years mortality was significantly worse in migrants
(OR, 1.27; 95% CI, 1.12–1.45; I2 = 86.8%), while there is no
statistically significant differences in 30 days mortality (OR, 1.05;
95% CI, 0.87–1.27; I2 = 90.5%) and 1–3 years mortality (OR, 1.29;
95% CI, 0.96–1.72; I2 = 85.8%) between migrants and natives. There was high heterogeneity between the groups. See Figure 4. Discussion To our knowledge, this systematic review and meta-analysis is
the most comprehensive and first to compare outcomes after MI
between migrants and natives. The analysis concluded the
following main results: compared to natives with MI, the long-
term all-cause mortality (1–10 y) after MI of the migrants was
higher, possible reason is the social-economic disadvantages
migrant faces accumulate overtime; while the short-term all-
cause mortality (≤30 d) was not, possibly because the high
quality and homogeneous in-hospital treatment and insufficient
follow-up time. Many studies have compared cardiovascular outcomes between
migrants and natives, but there is still no consensus. A review
showed that cardiovascular outcomes among migrants vary
depending on factors such as country of origin, country of
destination and duration of migration (25). For example, in
Spain, migrants from Asia, the Caribbean and sub-Saharan
Africa
had
higher
CVD
mortality
compared
with
natives,
whereas migrants from North Africa and South America had
lower CVD mortality
(26). Genetic predisposition, lifestyle,
exposure to risk factors, early life factors, socioeconomic factors,
etc. that are related to the background of the migrants’ country
of origin have a major impact on the health status of migrants
and are important causes of health disparities between migrants
and the native population, as well as between migrants of
different origins (11, 25, 26). We therefore conducted a subgroup
analysis by migrants’ country of origin, which reduces some of
the heterogeneity. There are also many other factors that may affect the
cardiovascular health and prognosis of migrants, such as some
studies have proposed the health migration effect hypothesis that
immigrants tend to be healthier than the general population in
their country of origin due to a selection process in which
individuals with better health and socioeconomic status are more
likely to migrate, and the salmon bias effect that immigrants who
experience health problems or illnesses are more likely to return
to their home country for medical care or to be with their
families, while healthier immigrants tend to stay in the host
country, leading to an overestimation of migrant health in the
host country (7–9, 27, 28). However, many studies have also
found that migrants tend to have a lower socioeconomic status
(29–31), greater psychological stress (32, 33), less social support
(11), and limited access to health care resources (34, 35), among
other disadvantages, and therefore poorer health. Publication bias Funnel plots, which are used to evaluate potential publishing
biases, are usually displayed when more than ten studies are
available and are not appropriate for meta-analysis which has a
small number of eligible studies (24). Therefore, Egger’s test was
used and showed that there was no publication bias for the main A subgroup meta-analysis by area of birthplace was also
performed. 4 studies (19, 20, 22, 23) included migrants of
European and Asian origin, 3 studies (19, 22, 23) included Frontiers in Cardiovascular Medicine 04 frontiersin.org Zhu et al. 10.3389/fcvm.2023.1101386 10.3389/fcvm.2023.1101386 Source
Country
of natives
Number of origin
country or area
Number of
Migrants
Age of
Migrants
Male (%)
Number
of natives
Age of
Natives
Male (%)
Design and
recruitment time
Definition of
myocardial
infraction
Length of
follow-up
time
Shvartsur R 2018 (19)
Israel
7
9,338
70.2 ± 12.6a
64
1,805
52.7 ± 11.3a
85.7
retrospective cohort study, 2002-2012
ICD-9-CM codes
10 years
Hedlund E 2008 (22)
Sweden
9
4,252
60.5b
82.7
20265
64.1b
72.5
retrospective cohort study, 1985-1996
ICD-8 codes
1 year
van Oeffelen AA 2014 (20)
The Netherlands
7
10,794
younger
72.1
2,02,836
69 (58–78)
66
retrospective cohort study, 1998–2010
ICD-9 codes
5 years
Rye E 2019 (18)
Australia
6
1,035
61 (52–70)c
82.1
1,087
58 (50–68)c
76.5
retrospective cohort study, 2004–2012
Clinical definition
30 days
Harpaz D 1997 (23)
Israel
6
5,059
64.4b
72.5
455
53.8b
84
retrospective cohort study, 1981–1983
Clinical definition
10 to 12 years
Yang D 2012 (21)
Sweden
6
4,357
67.8b
57
58,181
72.9b
60
retrospective cohort study, 1987–2008
ICD codes
21 years
ameans (SDs) unadjusted meta-analysis (Egger’s test, p = 0.640 > 0.05) and the
adjusted main meta-analysis (Egger’s test, p = 0.870 > 0.05). unadjusted meta-analysis (Egger’s test, p = 0.640 > 0.05) and the
adjusted main meta-analysis (Egger’s test, p = 0.870 > 0.05). Discussion For example,
some studies have shown a higher prevalence and mortality of
cardiovascular disease among migrants (26, 36). As MI is a
common and serious cardiovascular disease and a major cause of
cardiovascular death, it is important to study its status and
prognosis in immigrant populations, and as mentioned above,
factors such as socioeconomic status have an important influence
on acute MI, but there is insufficient evidence on the prognosis Frontiers in Cardiovascular Medicine frontiersin.org 05 FIGURE 2
Forest plot of the adjusted hazard ratio (HR) of mortality after MI of migrants compared to natives. FIGURE 3
Forest plot of the unadjusted odds ratio (OR) of mortality after MI of migrants compared to natives. Zhu et al. 10.3389/fcvm.2023.1101386
Frontiers in Cardiovascular Medicine
06
frontiersin.org Zhu et al. 10.3389/fcvm.2023.1101386 FIGURE 2
Forest plot of the adjusted hazard ratio (HR) of mortality after MI of migrants compared to natives. FIGURE 2
Forest plot of the adjusted hazard ratio (HR) of mortality after MI of migrants compared to natives. FIGURE 2
Forest plot of the adjusted hazard ratio (HR) of mortality after MI of migrants compared to natives. FIGURE 3
Forest plot of the unadjusted odds ratio (OR) of mortality after MI of migrants compared to natives. FIGURE 3
Forest plot of the unadjusted odds ratio (OR) of mortality after MI of migrants compared to natives. Frontiers in Cardiovascular Medicine 06 frontiersin.org Zhu et al. 10.3389/fcvm.2023.1101386 FIGURE 4
Forest plot of hazard ratio (HR) of mortality after MI of migrants compared with natives by follow-up time. FIGURE 4
Forest plot of hazard ratio (HR) of mortality after MI of migrants compared with natives by follow-up time. ignoring those who did not present to the hospital after MI, and
previous studies suggest that migrants may receive inferior pre-
hospital care, which may underestimate short-term mortality of
migrants (46, 47). of migrants compared with natives after MI, so we focus on
migrant populations in whom MI developed (37, 38). The pooled adjusted short-term mortality rate did not show
significant differences between migrants and natives, and there
are several possible reasons for this. Discussion The first may be due to the
major advances in the treatment of MI, evidence shows that
migrants do not differ from natives in terms of key in-hospital
treatments, including rates of reperfusion therapy and door-to-
balloon time, and no significant differences were observed in
length of hospital stay, in-hospital complications, or mortality
(18, 39–42). Although migrants are disadvantaged in terms of
socioeconomic factors and psychological distress, high quality
and homogeneous in-hospital care reduces these disparities, and
the short follow-up period may not be sufficient to show a
difference in the short-term prognosis of migrants compared to
natives. On
the
other
hand,
the
healthy
migration
effect
observed in many studies from North America to Europe,
supported by evidence ranging from physical health to mental
health, suggests that the migrant group is a selected healthier
group
and
may contribute
positively
to
the
prognosis
of
migrants, especially at the early stage (43–45). However, only
patients who were admitted to the hospital were enrolled, When the follow-up period was extended, the pooled data
showed that the mortality rate of migrants was significantly
higher than that of natives. Most migrants move to more
developed areas, which also means that they tend to have poorer
socioeconomic conditions and health awareness (11, 29–31, 48),
and studies have shown that individuals with low socioeconomic
status often bear a greater burden of CVD and are more likely to
have a higher incidence of MI and poorer outcomes (37, 38). There are large number of studies have also shown that despite
migrants receiving similar rates of reperfusion therapy as natives,
there is often a delay in the time to treatment, with a study in
Singapore showing significantly longer symptom-to-balloon times
in migrant patients (40), another study in Australia showing that
migrant patients spend longer time in emergency care (49), and
several studies in the US showing that migrant patients spend
longer in the time from symptom onset to door and door to
balloon than natives (50, 51). At the same time, migrating to a
new environment introduces barriers such as language and Frontiers in Cardiovascular Medicine 07 frontiersin.org Zhu et al. 10.3389/fcvm.2023.1101386 FIGURE 5
Forest plot of hazard ratio (HR) of mortality after MI of migrants compared with natives by area of birth. FIGURE 5
Forest plot of hazard ratio (HR) of mortality after MI of migrants compared with natives by area of birth. Discussion culture, which make migrant groups less likely to seek specialized
medical care, less likely to communicate with doctors, and less
likely
to
receive
the
standard
of
optimal
drug
treatment
recommended by the guidelines and less likely to adhere to
treatment (20, 52, 53). Furthermore, the advantages of the
healthy migrant effect in migrants disappear over time, often 5–
10 years after immigration, and the health status of migrants is
equal to or worse than that of natives (7, 43, 54). For example,
cultural adaptation leads to lifestyle changes, including changes
in physical activity levels and diet, resulting in increased rates of
hypertension, obesity, and diabetes in migrants (55), which are
traditional risk factors for MI. Over time, the adverse effects of
these disadvantages accumulate, leading to a poorer prognosis for
migrants compared to natives. draws interesting conclusions that inform future research and
provide a basis for more targeted health policies. At the same
time, the migrant groups included in this study cover a wide
range of source regions and are representative to some extent. Furthermore, data from all patients were obtained from medical
records, and the follow-up endpoint was all-cause mortality, so
there is a high precision of the data. There are some limitations to consider. First, all included
studies were conducted in developed countries, and therefore, the
conclusions are not representative of less developed countries
and regions. Second, the follow-up endpoint is only death, and
while improving precision, it lacks other important indicators,
such as the occurrence of MACE (major adverse cardiovascular
event) and quality of life; also, it cannot be ruled out that
all-cause death may have been disturbed by confounding factors
other than MI. Next, all studies included in the analysis were
retrospective, and prospective studies in this area are needed in
future research. Last, the heterogeneity between studies was very
large, although the heterogeneity of subgroup analysis by region
of origin was significantly reduced, more detailed data are Frontiers in Cardiovascular Medicine Supplementary material LZ and BTH conceived the study, designed the study forms and
searched the literature. All authors screened the studies for
inclusion and extracted data. LZ analyzed the data. All authors
drafted and revised the manuscript. All authors contributed to
the article and approved the submitted version. The Supplementary Material for this article can be found
online at: https://www.frontiersin.org/articles/10.3389/fcvm.2023. 1101386/full#supplementary-material. Data availability statement The original contributions presented in the study are included
in the article/Supplementary Material, further inquiries can be
directed to the corresponding author/s. 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. 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. Funding This study was supported by the National Natural Science
Foundation of China (82170375). Acknowledgments In this systematic review and meta-analysis, we summarize the
existing research data and conclude that the mortality risk of
migrants is higher than that of natives in the long term after MI. Given the large number of migrants and the significant burden
of MI, this study is important and highlights the need to
improve the cardiovascular health of migrants and reduce health
inequities. More researches are needed to explore the differences
between migrants and natives in more cardiovascular diseases
and the underlying mechanisms, especially among migrants who
already develop diseases. We thank Yuehong Chen (MD, Ph.D., Department of
Rheumatology & Immunology, West China Hospital, Sichuan
University, Chengdu, PR China) for useful advice on the study
concept and analysis. Strengths and limitations This study aggregates existing data to complement evidence on
the risk of mortality after MI in migrants compared to natives and Frontiers in Cardiovascular Medicine frontiersin.org 08 Zhu et al. 10.3389/fcvm.2023.1101386 lacking to further explore the source of heterogeneity. However,
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(9):325–40. doi: 10.1007/s11906-022-01194-5 34. Xi S, Song Y, Li X, Li M, Lu Z, Yang Y, et al. Local-migrant gaps in healthcare
utilization between older migrants and local residents in China. J Am Geriatr Soc. (2020) 68(7):1560–7. doi: 10.1111/jgs.16421 34. Xi S, Song Y, Li X, Li M, Lu Z, Yang Y, et al. Local-migrant gaps in healthcare
utilization between older migrants and local residents in China. J Am Geriatr Soc. References (2020) 68(7):1560–7. doi: 10.1111/jgs.16421 Frontiers in Cardiovascular Medicine 10 frontiersin.org
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Hylic Belief: On The Religion of the Gnostic according to Ismail Hakki Burusawi
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1 Dr. Öğt. Üye., Çanakkale Onsekiz Mart Üniversitesi İlahiyat Fakültesi Tasavvuf Anabilim Dalı,
muhammedbedirhan@comu.edu.tr, ORCID: 0000-0003-0834-8733
Citation/©: . Bedirhan, M. (2020). Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini. Theosophia, 1, 71-89.
Makale Türü: Araştırma Makalesi –Research Article
Geliş Tarihi/Received: 17.11.2020 – Kabul Tarihi/Accepted: 21.12.2020 Öz Monistik bir dünya görüşüne sahip Vahdet-i Vücûd doktrini bu görüş çerçevesinde gelişmiş bir din
felsefesi üretmiştir. Bir tür perennialism ifade eden bu din felsefesine göre bütün dinler ve şerîatlar tek
bir hakîkatin farklı sûretlerde tecellîsinden ibarettir. Kendisine ibâdet edilen her şeyin de hakîkati
mutlak hakîkat olan Hakk’ın zâtıdır. Dolayısıyla sülûk yoluyla Hakk’a ulaşan bir ârifin inancı bütün inanç
biçimlerini kuşatan bir itikattır. Osmanlı tasavvuf düşüncesinin ve Vahdet-i Vücûd anlayışının XVII. ve
XVIII. yüzyılda yaşayan önemli isimlerinden biri olan İsmâîl Hakkı Bursevî (ö. 1137/1725) bu din
felsefesinin temel bazı noktalarını açıklamak maksadıyla Lübbü’l-Lübb ve Sırru’s-Sırr isimli bir risâle
kaleme almıştır. Eserde bahsi geçen din felsefesinin dayandığı ontolojik ve epistemolojik zemin
gösterilmeye çalışılarak ârifin din tasavvuru açıklanmıştır. Bu makalede Bursevî’nin bu risâlesi
çerçevesinde ele alınan inanç biçimi olan heyûlânî inanç ele alınacaktır. Anahtar Kavramlar: Perennialism, Vahdet-i Vücûd, Vahdet-i Ma’bûd, Vahdet-i Edyân, Bursevî, İbnü’l-
Arabî, İrfân 2 Ârif kavramının tasavvuf tarihindeki yeri ile ilgili detaylı bir okuma için bkz.: İsa Çelik, “Tasavvuf Tarihinde Ârif
Kavramı”, Tasavvuf: İlmî ve Akademik Araştırma Dergisi, 5/12 (2004), 25-52. Giriş Tanrı ile insan arasındaki ilişki ve bu ilişkinin doğası teşekkül döneminden itibaren tasavvufun
ana meseleleri arasında yer alır. Başlangıçta daha çok ahlâkî referanslar içeren ilişki kısa sürede daha
sofistike bir boyuta evrilir ve sonunda İbnü’l-Arabî (ö. 638/1240) ile birlikte ontolojik bir hüviyet
kazanarak tam anlamıyla bir din felsefesine dönüşür. Bu din felsefesinin en özgün yanı insanlığın
bütün bir din tarihi ile yüzleşmesi ve mutlak hakîkat eksenli bir din tasavvuru ortaya koymasıydı. Bu
hususta başta İbnü’l-Arabî, Mevlânâ Celâleddîn Rûmî (ö. 672/1273), Mahmûd Şebüsterî (ö. 720/1320), Abdülerîm Cîlî (ö. 832/1428) olmak üzere çeşitli isimler öncü oldular. Bunların yanı sıra
bu din anlayışını edebî alana uyarlayarak tasavvuf edebiyatının en başarılı örneklerini veren şâir
sûfîler oldu. Bunlar Arapça, Farsça, Türkçe ve Urduca’da eserler verdiler. İbnü’l-Fârız (ö. 632/1235),
Ferîdüddîn-i Attâr (ö. 618/1221), Nizâmî-yi Gencevî (ö. 611/1214 [?]), Emîr Hüsrev-i Dihlevî (ö. 725/1325), Bîdil (ö. 1133/1720), Yûnus Emre (ö. 720/1320 [?]) gibi şâir sûfîleri bunlar arasında
sayabiliriz. Öte yandan da bu anlayışın bazı kapalı yönleri ile ilgili çalışmalarla teorinin gelişmesine
katkı sağlayan isimler ortaya çıktı. Osmanlı tasavvuf geleneğinin önemli isimleri arasında yer alan
İsmâîl Hakkî Bursevî (ö. 1137/1725) ile onun Dımışklı çağdaşı ve hatta biraz da rakibi konumunda
olan Abdülganî Nablûsî (ö. 1143/1731) bunlar içinde en dikkat çekici olanlardandırlar. Nablûsî,
Vahdet-i Vücûd antropolojisi hakkındaki eserleriyle tanınan en muhteşem isimlerinden biri
sayılabilecek olan Abdülkerîm Cîlî’nin el-İnsânu’l-Kâmil’inin din ve inançlarla ilgili bölümünü şerh
etmiş ve dinlerin hakîkat birliği, bütün tapınılan sûretlerde hakîkatte Allah’a ibâdet edilmesi
görüşlerini başarılı bir biçimde savunmuştur. Bursevî ise ârifin inancını ele alarak bunun gerekleri
üzerinde durmuştur. Bu makalemizde biz Bursevî’nin Lübbü’l-Lübb ve Sırru’s-Sır isimli kısa risâlesinde ele aldığı
ârifin inancı problemini inceleyeceğiz. Bu bağlamda Bursevî’nin ârifin inancını açıklarken onun
dayandığı ontolojik ve epistemolojik zemini nasıl kurguladığını göstermeyi hedeflemekteyiz. Makale
iki ana bölümden oluşmaktadır. İlk bölümde ârifin kimliği ve irfânın mâhiyeti incelenmekte ve
kavramın tarihsel ve felsefî köklerine inilmektedir. İkinci bölümde ise ârifin inancı, bu inancın
heyûlâya neden benzetildiği, bu benzeşmenin ontolojik ve epistemolojik dayanaklarına yer
verilecektir. Abstract The doctrine of Wahdat al-Wujūd, which represents a monistic world view, has developed a philosophy
of religion that is in line with this monistic world view. According to this philosophy of religion, which
expresses a certain kind of perennialism, all religions and shari'as are manifestations of the single truth
in different forms. The essence of God, which is the absolute truth, is the truth of everything that is being
worshiped. Therefore, the belief of an ārif who reaches God through sayr u sulūk (initiation/spiritual
journey) is a belief that encompasses all forms of belief. An important representative of the Ottoman Sūfī
thought and the doctrine of Wahdat al-Wujūd in the 17th and 18th centuries, Ismā'īl Ḥaqqī al-Burūsawī
(d. 1137/1725) penned a treatise entitled Lubb al-Lubb wa Sirr al-Sirr with a view to explaining the
basics of this philosophy of religion. By examining the ontological and epistemological grounds on which
al-Burūsawī’s philosophy of religion is based, this article aims to explain his understanding of religion
and to scrutinize the concept of “heyūlānī (hylic) faith” which is the type of faith discussed in al-
Burūsawī’s treatise. Keywords: Perennialism, Wahdat al-Wujūd, Wahdat al-Ma'būd, Wahdat al-Adyān, al-Burūsawī, Ibn
‘Arabī, ‘Irfān ‘Arabī, ‘Irfān M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini Ârif Kimdir? Bursevî’nin ârifin dini hakkındaki açıklamalarını görmezden önce ârife ârif denmesine neden
olan irfân ya da onunla çoğu zaman aynı anlamda kullanılan mârifetin ne ve ârifin de kim olduğunu
incelemek gerekir.2 Zîrâ Bursevî’de dâhil olmak üzere Vahdet-i Vücûd doktrini geliştikten sonraki
dönemde sûfîlerin ârif, irfân ve mârifet gibi kavramları bazen geniş bazen de dar anlamda ve bazen
bir durumu ifade etmek bazen de bir sistem ve o sistemin yöntemini ifade etmekte kullandıkları
görülmektedir. Şu durumda Bursevî’nin ârifin dini hakkındaki yorumunu görmeden önce ârif ile
hangi anlamda ârifi kastettiği tebellür ettirilmelidir. 72 THEOSOPHIA Journal, Aralık 2020, Sayı1 İrfân ve mârifet kavramları sözlükte “bilmek, tanımak, ikrar etmek” anlamlarına gelen (عرف)
kökünden türetilmiştir. Tasavvuf tarihinin başlangıcından itibaren iki kavramın da terim olarak
sûfîler arasında kullanıldığı görülmektedir. Bununla beraber ilk dönemlerde irfâna nazaran mârifetin
özellikle de mârifetullah tamlamasıyla kullanımı daha yaygındır. Bu kullanımlardan yola çıkıldığında
literatürde mârifet ve irfân kavramlarının tasavvuf epistemolojisinin çeşitli yönlerine ve unsurlarına
işaret edecek biçimde birkaç şekilde tanımlandığı görülür. Bu tanımların bazılarında mârifet ve irfân
özel bir bilgi türüne karşılık gelirken bazı tanımlarda mârifet ve irfân arasında ayrıma gidilir. Buna
göre ilk tanımlarda görmüş olduğumuz irfân ve mârifet olarak adlandırılan bu özel bilgi yalnızca
mârifet ile karşılanırken bu bilginin elde edilmesine yarayan sistem için irfân kullanılır. Özel bir bilgi türü anlamında terim olarak irfân ve mârifetin kullanımında da farklılaşma vardır. Bu farklılık açısından öncelikle irfân ve mârifet genel anlamda yüzeysel ve zâhirî bilgiye mukâbil
olarak varlığa dair inceliklere ve remizlere vukûfu ifade eder.3 Bunun yanı sıra irfân ve mârifet
terimleri Tanrı’nın ve nefsin bilinmesiyle ilişkilidir. Bu tür kullanım mesela Sülemî’nin (ö. 412/1021)
mârifet tanımında karşımıza çıkar. Sülemî mârifeti, Allah Teâlâ’nın kullarına zâtı vâsıtasıyla bilinmesi
olarak tanımlar. Bu bilme sürecinde kulun daha sonra işaret edeceğimiz üzere fenâ bulması ve
mutlaklık kazanması söz konusudur. Çünkü Sülemî’ye göre bu süreçte Allah, kuldan mârifet ve şekil
izlerini tamamen siler. Kul öyle bir hâle gelir ki, Allah’tan başkasını bilemez ve ondan başkasını
göremez.4 Kul her şeyden fânî olduğu, hatta nefsi de ortadan kalktığı için nefsin bilinmesi yoluyla
Rabb’in bilinmesi de başka bir boyuta taşınır. Burada kul, nefsini unutmayla Rabb’ini bilir. Bu açıdan
mârifet bir inkârdır. Çünkü kul, Hakk’ın dışındaki her şeyi inkâr etmektedir ve bu inkâr
gerçekleşmeksizin kul için mârifetin oluşması söz konusu değildir. Sülemî bu inkârın gerekliliğini her
şeyin zıddı ile tahakkukuna bağlar. Bu çerçevede Allah’ın bilinmesi, ancak O’nun dışındakilerin
inkârıyla mümkündür. Ali Ekber Dihhudâ, Lugatnâme (Tahran: Müessese-i Luğatnâme-i Dihhudâ, 1377), 15/13592. 7 Hâce Abdullah Ensârî Herevî, Menâzilü’s-Sâirîn -Kâşânî’nin Şerhi İle Birlikte- (Tahran: İntişârât-ı Bîdâr, 1994), 762.
8 Nitekim Kâşânî, bu ifâdeyi şerh ederken bunun irfân idrâki olduğu kaydını düşer. Bkz. Şerhu Menâzili’s-Sâirîn (Tahran:
İntişârât-ı Bîdâr, 1994), 762. 4 Ebû Abdurrahmân es-Sülemî, Tasavvufun Ana ilkeleri: Sülemî’nin Risâleleri, trc. Süleyman Ateş (Ankara: Ankara
Üniversitesi Yayınları, 1981), 123-124.
5 es-Sülemî, “Mes’eletü Derecâti’s-Sâdıkîn fi’t-Tasavvuf”, Mecmu’a-i Âsâr-ı Ebû Abdurrahmân Sülemî (Tahran: Müessese-i
Pejûheşî Hikmet ve Felsefe-i İrân,1388), 3/81-83.
6 Ali Ekber Dihhudâ, Lugatnâme, 15/13592. g
(
ğ
)
/
4 Ebû Abdurrahmân es-Sülemî, Tasavvufun Ana ilkeleri: Sülemî’nin Risâleleri, trc. Süleyman Ateş (Ankara: Ankara
Üniversitesi Yayınları, 1981), 123-124.
5 es-Sülemî, “Mes’eletü Derecâti’s-Sâdıkîn fi’t-Tasavvuf”, Mecmu’a-i Âsâr-ı Ebû Abdurrahmân Sülemî (Tahran: Müessese-i
Pejûheşî Hikmet ve Felsefe-i İrân,1388), 3/81-83.
6 Ali Ekber Dihhudâ, Lugatnâme, 15/13592.
7 Hâce Abdullah Ensârî Herevî, Menâzilü’s-Sâirîn -Kâşânî’nin Şerhi İle Birlikte- (Tahran: İntişârât-ı Bîdâr, 1994), 762.
8 Nitekim Kâşânî, bu ifâdeyi şerh ederken bunun irfân idrâki olduğu kaydını düşer. Bkz. Şerhu Menâzili’s-Sâirîn (Tahran:
İntişârât-ı Bîdâr 1994) 762 y
)
mî, “Mes’eletü Derecâti’s-Sâdıkîn fi’t-Tasavvuf”, Mecmu’a-i Âsâr-ı Ebû Abdurrahmân Sülemî (Tahran: Müessese-i
î Hikmet ve Felsefe-i İrân,1388), 3/81-83.
r Dihhudâ, Lugatnâme, 15/13592. 4 Ebû Abdurrahmân es-Sülemî, Tasavvufun Ana ilkeleri: Sülemî’nin Risâleleri, trc. Süleyman Ateş (Ankara: Ankara
Üniversitesi Yayınları, 1981), 123-124.
5 es Sülemî “Mes’eletü Derecâti’s Sâd kîn fi’t Tasa
f” Mecm ’a i Âsâr
Ebû Abd rrahmân Sülemî (Tahran Müessese i Ârif Kimdir? Dolayısıyla kul bütün bildiklerinden soyutlanmaksızın Allah’ın bilgisini elde
edemez.5 Bu bakımdan mârifet, incelik ve remizleri bilmekten daha özel bir anlam taşır. Bir diğer kullanım şeklinde ise mârifet ve irfân, eşyanın hakîkatlerini akıl ve duyular yoluyla
değil keşf yoluyla bilme sonucunda elde edilen bilgi anlamına gelir.6 Bu kullanım ilk olarak Hâce
Abdullah Ensârî Herevî’de (ö. 481/1089) karşımıza çıkar. Herevî, mârifeti bir şeyi aslî hâli üzere ihâta
etmek olarak tanımlar.7 Mârifet ve irfânın bu şekilde kullanımı Vahdet-i Vücûd doktrininin
sistemleşmesinden ve felsefî tasavvufun tekâmülünden sonra yaygınlık kazanmıştır.8 İrfânın epistemik bir yöntem ve mârifetin de bu yöntemin bir ürünü olarak kullanımına gelecek
olursak bu bakımdan irfân Hakk tâliplerinin Hakk’ı tanımak ve ona ulaşabilmek için seçtikleri yol
anlamında sistemi karşılar. Bu açıdan ilk defa bu terime işaret eden Kuşeyrî’dir (ö. 465/1072). Aynı
zamanda kelâmcı kişiliğiyle de tanınan Kuşeyrî, İslâm entelektüel geleneğinin bilgi sistemlerini üç 73 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini ana gruba ayırır. Bunlar rasyonel temelli bilgi sistemini ifade eden burhân, din ilimlerinin bilgi
sistemini ifade eden beyân ve müşâhede ve keşf yönteminin bilgi sistemini ifade eden iyân veya
irfândır.9 Bazı sûfîlerin epistemik yöntem anlamındaki irfânı hem nazarî hem keşfî yöntemleri kuşatacak
biçimde kullandıkları görülür. İrfân açısından değişmeyen husus ise her iki yöntemle bilinmesi talep
olunan şeyin Hak olmasıdır. Buna göre irfânın iki türü vardır. Bunların ilki nazar ve istidlâl yoluyla
eserden müessire doğru giderek Hakk’ı bilmektir. İkinci yol ise sıfattan zâta gitme yoluyla Hakk’ı
bilmektir. Bu ikinci yol peygamberlerin, velîlerin ve âriflerin yoludur. Bu yöntemle elde edilen bilgiye
keşfî ve şuhûdî mârifet adı verilir. Bunu mutlak meczûb dışında hiç kimsenin elde etmesi söz konusu
görülmez. Bu tür mârifet, insanın bütün varlığıyla yani yalnızca bedensel olarak değil bâtının içerdiği
nefs, ruh, sır ve hafî gibi latîfelerden teşekkül etmiş olan bütün varlıksal boyutlarıyla ibâdet etmesinin
bir sonucudur.10 İrfân ve mârifete dair yukarıdaki açıklamalardan hareketle tasavvufî terminolojide ârifin daha
ziyade Tanrı, âlem ve insan hakkında mistik tecrübeye dayalı olarak bilgi elde eden kişiyi ifade
ettiğini söyleyebiliriz.11 Ârif kavramının kullanımı tasavvuf tarihinin ilk dönemlerine kadar gider. Nitekim Bâyezîd el-Bestâmî (ö. 234/848[?]), Zünnûn el-Mısrî (ö. 245/859 [?]) Ebû Türâb en-Nahşebî
(ö. 245/859) Yahyâ b. Muâz er-Râzî (ö. 258/872) Ebû Bekr eş-Şiblî (ö. 334/946) gibi ilk dönem
sûfîlerinden bazılarının ârifin mâhiyetine dair açıklamalar yaptığı bilinmektedir.12 Bu açıklamaların
ortak yönü ârifin bilgisinin rasyonel değil mistik tecrübeye dayalı bir bilgi olması, Allah’ın dışında her
şeyden alakayı kesmiş olmasıdır. f
ğ ,
yg
(
ş y
,
),
11 İzzeddîn Kâşânî, ârifin bu yönüne işaret ederek onu Hakk, ârifi kendi zâtı, isimleri, sıfatlarının müşâhedesi mertebesine
erdirdiği kişi olarak tanımlar ve onun bu müşâhedeyi bilgi yoluyla değil hâl ve mükâşefe yoluyla elde etmesi gerektiğine
vurgu yapar. Bkz. İzzeddîn Kâşânî, Misbâhu’l-Hidâye ve Miftâhu’l-Kifâye (Tahran: Vezâret-i Ferheng u İrşâd, 1367), 80.
12 Detaylı bilgi için bkz. Zafer Erginli (ed.), Metinlerle Tasavvuf Terimleri Sözlüğü (İstanbul: Kalem Yayınları, 2006), 113-
123 11 İzzeddîn Kâşânî, ârifin bu yönüne işaret ederek onu Hakk, ârifi kendi zâtı, isimleri, sıfatlarının müşâhedesi mertebesine
erdirdiği kişi olarak tanımlar ve onun bu müşâhedeyi bilgi yoluyla değil hâl ve mükâşefe yoluyla elde etmesi gerektiğin
vurgu yapar. Bkz. İzzeddîn Kâşânî, Misbâhu’l-Hidâye ve Miftâhu’l-Kifâye (Tahran: Vezâret-i Ferheng u İrşâd, 1367), 80. Kur âni l Kerîm, thk. İbrâhim Besyuni (Kahire: el Hey etü l Mısriyyetü l Âmme li l Kitâb, 1981), 1/53.
10 Selami Şimşek, Tasavvuf Edebiyatı Sözlüğü (İstanbul: Litera Yayıncılık, 2017), 179; Seyyid Cafer Seccâdî, Tas
İrfan Sözlüğü, trc. Hakkı Uygur (İstanbul: Ensar Neşriyat, 2007), 244. 9 Abdülkerîm Kuşeyrî, er-Risâle, thk. Ma’rûf Züreyk (Beyrut: 1991), 42; a.g.m, Letaifü'l-İşârât: Tefsîru Sûfî Kâmil li'l-
Kur'âni'l-Kerîm, thk. İbrâhim Besyuni (Kahire: el-Hey’etü'l-Mısriyyetü’l-Âmme li’l-Kitâb, 1981), 1/53. Abdülkerîm Kuşeyrî, er Risâle, thk. Ma rûf Züreyk (Beyrut: 1991), 42; a.g.m, Letaifü l İşârât: Tefsîru Sûfî Kâmil li l
Kur'âni'l-Kerîm, thk. İbrâhim Besyuni (Kahire: el-Hey’etü'l-Mısriyyetü’l-Âmme li’l-Kitâb, 1981), 1/53. 13 Ebu’l-Hasan es-Sîrcânî, el-Beyâz ve’s-Sevâd (Tahran: Müessese-i Pejûheş-i Hikmet ve Felsefe-i İrân, 1390), 56, 59.
14 Ebû Abdurrahmân es-Sülemî, Tabakâtu’s-Sûfiyye: İlk Zâhid ve Sûfîler, trc. Abdürrezzak Tek (Bursa: Bursa Akademi,
2018) 30 g y p
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12 Detaylı bilgi için bkz. Zafer Erginli (ed.), Metinlerle Tasavvuf Terimleri Sözlüğü (İstanbul: Kalem Yayınlar
123.
13 Eb ’l H
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1390 13 Ebu’l-Hasan es-Sîrcânî, el-Beyâz ve’s-Sevâd (Tahran: Müessese-i Pejûheş-i Hikmet ve Felsefe-i İrân, 1390), 56, 59. 13 Ebu’l-Hasan es-Sîrcânî, el-Beyâz ve’s-Sevâd (Tahran: Müessese-i Pejûheş-i Hikmet ve Felsefe-i İrân, 1390), 56, 59.
14 Ebû Abdurrahmân es Sülemî Tabakâtu’s Sûfiyye: İlk Zâhid ve Sûfîler trc Abdürrezzak Tek (Bursa: Bursa Akademi Ebu l Hasan es Sîrcânî, el Beyâz ve s Sevâd (Tahran: Müessese i Pejûheş i Hikmet ve Felsefe i İrân, 1390), 56, 59.
14 Ebû Abdurrahmân es-Sülemî, Tabakâtu’s-Sûfiyye: İlk Zâhid ve Sûfîler, trc. Abdürrezzak Tek (Bursa: Bursa Akademi,
2018), 30. l Kerîm, thk. İbrâhim Besyuni (Kahire: el Hey etü l Mısriyyetü l Âmme li l Kitâb, 1981), 1/53.
Şimşek, Tasavvuf Edebiyatı Sözlüğü (İstanbul: Litera Yayıncılık, 2017), 179; Seyyid Cafer Seccâdî, Tasavvuf ve
zlüğü trc Hakkı Uygur (İstanbul: Ensar Neşriyat 2007) 244 ــــــــــــــــــــــــــــــــــــــــــــــــــــــ
9 Abdülkerîm Kuşeyrî, er-Risâle, thk. Ma’rûf Züreyk (Beyrut: 1991), 42; a.g.m, Letaifü'l-İşârât: Tefsîru Sûfî Kâmil li'l-
Kur'âni'l-Kerîm, thk. İbrâhim Besyuni (Kahire: el-Hey’etü'l-Mısriyyetü’l-Âmme li’l-Kitâb, 1981), 1/53.
10 Selami Şimşek, Tasavvuf Edebiyatı Sözlüğü (İstanbul: Litera Yayıncılık, 2017), 179; Seyyid Cafer Seccâdî, Tasavvuf ve
İrfan Sözlüğü, trc. Hakkı Uygur (İstanbul: Ensar Neşriyat, 2007), 244.
11 İzzeddîn Kâşânî, ârifin bu yönüne işaret ederek onu Hakk, ârifi kendi zâtı, isimleri, sıfatlarının müşâhedesi mertebesine
erdirdiği kişi olarak tanımlar ve onun bu müşâhedeyi bilgi yoluyla değil hâl ve mükâşefe yoluyla elde etmesi gerektiğine
vurgu yapar. Bkz. İzzeddîn Kâşânî, Misbâhu’l-Hidâye ve Miftâhu’l-Kifâye (Tahran: Vezâret-i Ferheng u İrşâd, 1367), 80.
12 Detaylı bilgi için bkz. Zafer Erginli (ed.), Metinlerle Tasavvuf Terimleri Sözlüğü (İstanbul: Kalem Yayınları, 2006), 113-
123.
13 Ebu’l-Hasan es-Sîrcânî, el-Beyâz ve’s-Sevâd (Tahran: Müessese-i Pejûheş-i Hikmet ve Felsefe-i İrân, 1390), 56, 59.
14 Ebû Abdurrahmân es-Sülemî, Tabakâtu’s-Sûfiyye: İlk Zâhid ve Sûfîler, trc. Abdürrezzak Tek (Bursa: Bursa Akademi,
2018) 30 Ârif Kimdir? Öte yandan ilk sûfîlerin ârif ile ilgili açıklamalarından onların ârif
ile mutlaklık ve edilgenlik arasında bir ilişki kurdukları da görülmektedir. Bu bağlamda ârif âdetâ
kayıtlardan, bağlardan, sınırlardan kurtulup mutlaklaşmaya gayret eden ve sonunda mutlaklığa
ererek küllîlik kazanan ve Hakk’ın karşısında her şeyi kâbil olma özelliği ile tam edilgen olan kişidir. Söz gelimi Bâyezîd el-Bestâmî kendisinden ârifin özellikleri sorulduğunda “Suyun rengi kabının
rengidir. Suyu beyaz bir kaba boşaltırsan suyu beyaz olarak görürsün. Siyah bir kaba boşaltırsan suyu
siyah yaparsın. Diğer renkler için de durum böyledir. Suyun durumu değişir. Onun durumunu
değişimini üstlenen ise onun efendisidir.” diye cevap verir. Yine ârifi resmi yani dış varlığı ve eseri
ortadan kalkmış olan kişi olarak tanımlar.13 Ona göre ârifin hiçbir derecesi yoktur.14 Bâyezîd’in ârif
hakkındaki bu açıklamaları sonraki sûfîlerin ârif tasavvurlarında etkili olur. Bu durum ilk sûfî Söz gelimi Bâyezîd el-Bestâmî kendisinden ârifin özellikleri sorulduğunda “Suyun rengi kabının
rengidir. Suyu beyaz bir kaba boşaltırsan suyu beyaz olarak görürsün. Siyah bir kaba boşaltırsan suyu
siyah yaparsın. Diğer renkler için de durum böyledir. Suyun durumu değişir. Onun durumunu
değişimini üstlenen ise onun efendisidir.” diye cevap verir. Yine ârifi resmi yani dış varlığı ve eseri
ortadan kalkmış olan kişi olarak tanımlar.13 Ona göre ârifin hiçbir derecesi yoktur.14 Bâyezîd’in ârif
hakkındaki bu açıklamaları sonraki sûfîlerin ârif tasavvurlarında etkili olur. Bu durum ilk sûfî 74 THEOSOPHIA Journal, Aralık 2020, Sayı1 müelliflerin ârif hakkındaki yorumlarına da girer. Nitekim Hakîm Tirmizî (ö. 320/932) de Bâyezîd’in
tanımsızlık görüşünü sürdürerek ârifin tanımsızlığına dikkat çeker.15 İlk sûfî müellifler arasında ârifin sınırsızlığı, mutlaklığı ve her şeyi câmi’ ve kâbil olmasına en
açık işaret eden ise es-Sülemî’dir. es-Sülemî, ârifi takyîd makamından ıtlâk makamına yolculuk eden
kişi olarak tanımlar. Mârûf yani ârif tarafından tanınan ise mebde ve meâd bütünüyle kendisi olan
mutlak Hak’tır.16 Ârif, mârûfunun sınırsız olmasından dolayı sınırsızdır. Müteferrikât onun için cem
edilmiş, bütün hâller kendisine göre eşit olmuş ve ağyârı görmek kendisinden düşmüştür.17 Ârifin
sınırsız ve kayıtsızlığı Bursevî örneğinde görüleceği üzere daha sonra Vahdet-i Vücûd anlayışında da
karşımıza çıkacaktır. Ârif kavramının içeriğinin gelişiminde yalnızca sûfîler etkili olmamıştır. Onların yanı sıra
filozoflardan da ârif ve irfân kavramının içeriğinin gelişmesine katkı sağlayan bazı isimler vardır. Söz
gelimi İbn Sînâ (ö. 428/1037), el-İşârât isimli eserinin Tabîiyyât bahislerinin dokuzuncu namatını
“Makāmâtü’l-ârifîn” şeklinde adlandırmış ve burada ârifi tanımlayarak onun bazı hususiyetlerini
zikretmiştir. Ona göre ârif, Hakk’ın nûrunun kendi sırrında parlaması için Ceberût kudsiyetine
fikriyle sürekli yönelen kişidir. En temel özelliği ise Hakk’ın dışındaki şeylerden Hakk için yüz
çevirmesi ve tezehhüd etmesidir. ,
y
,
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16 Ebû Abdurrahmân es-Sülemî, Tabakâtu’s-Sûfiyye, thk. Nureddin Şeribe (Kahire: Câmiatü’l-Ezher, 1373), 506
17
 İbn Sînâ, el İşârât ve t Tenbîhât (İstanbul: Litera Yayıncılık, 2005), 182 184.
19 Gazzâlî, Mişkâtü’l-Envâr: Varlık, Bilgi, Hakîkat, trc. ve nşr. Mahmut Kaya (İstanbul: Klasik, 2016), 45-52. 15 Hakîm Tirmizî, Beyânu’l-Fark, thk. Nichola Heer (Kahire: 1958), 86. 15 Hakîm Tirmizî, Beyânu’l-Fark, thk. Nichola Heer (Kahire: 1958), 86. Ebû Abdurrahmân es-Sülemî, “Sülûku’l-Ârifîn”, Tis’atü Kütüb fî Usûli’t-Tasavvuf ve’z-Zühd (en-Nâşir, 1993), 3
İbn Sînâ, el-İşârât ve’t-Tenbîhât (İstanbul: Litera Yayıncılık, 2005), 182-184. ,
ş
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19 Gazzâlî, Mişkâtü’l-Envâr: Varlık, Bilgi, Hakîkat, trc. ve nşr. Mahmut Kaya (İstanbul Ebû Abdurrahmân es Sülemî, Tabakâtu s Sûfiyye, thk. Nureddin Şeribe (Kahire: Câmiatü l Ezher, 1373), 506.
17 Ebû Abdurrahmân es-Sülemî, “Sülûku’l-Ârifîn”, Tis’atü Kütüb fî Usûli’t-Tasavvuf ve’z-Zühd (en-Nâşir, 1993), 395.
İ
İ
İ 16 Ebû Abdurrahmân es-Sülemî, Tabakâtu’s-Sûfiyye, thk. Nureddin Şeribe (Kahire: Câmiatü’l-Ezher, 1373), 506.
17 Ebû Abdurrahmân es-Sülemî, “Sülûku’l-Ârifîn”, Tis’atü Kütüb fî Usûli’t-Tasavvuf ve’z-Zühd (en-Nâşir, 1993), 395. ,
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18 İbn Sînâ, el-İşârât ve’t-Tenbîhât (İstanbul: Litera Yayıncılık, 2005), 182-184. Ârif Kimdir? Ârif ibâdetinde Hakk’ın dışında hiçbir gaye gütmez. Bu konuda
cezalandırılma korkusu veya ödüllendirilme arzusu onu harekete geçirmez. Dolayısıyla zühd ve
ibâdeti korku veya arzudan kaynaklanan âbid ve zâhidden üstündür.18 İbn Sînâ’nın ârif hakkındaki
bu açıklamaları âdetâ teşekkül devri tasavvufunun ana karakteristiğidir. Zîrâ tasavvuf hareketi, zühd
ve âbidlik yolundan Allah’a yöneliş ve O’na aşkla vâsıl olma iddiasıyla ayrışmıştır. Bu çerçevede
ibâdetlerini de korku ve ödülden bağımsız bir şekilde zât-ı ilâhiyyenin liyâkatinden dolayı
yaptıklarını savunurlar. Böylece tasavvuf geleneği ile felsefe geleneği ârif ve irfân kavramları
üzerinden birbirleriyle yakınlaşmış gibidirler. İlk dönem tasavvufunun irfân ve mârifet anlayışını İbnü’l-Arabî’nin sistemleştirdiği geleneğe
bağlayan halka Gazzâlî’dir (ö. 505/1111). Gazzâlî, ârifin mutlaklaşması anlayışını varlığın birliği
doktriniyle birleştirir. Onun bu husustaki açıklamalarına binaen ârifi birleyen/muvahhid şeklinde
tasavvur ettiği sonucu çıkar. Nitekim Mişkâtü’l-Envâr’da ârifleri varlıkta bir olan Hakk’tan başkasını
görmeyen kimseler olduklarını tasvir eder. Bunun yanı sıra Gazzâlî, ârifleri varlıkta tek hakîkati
görme konusunda iki ayrı grupta mütâlaa eder. Bunların ilkinde yer alanlar varlıkta tek hakîkat
olduğunu ilmen bilirler. İkinci gruptakiler ise bunu tecrübî olarak yaşarlar. Birliği tecrübî bir şekilde
yaşayan ârifler çokluğa dair idraklerini yitirmişler ve sırf tekilliğe dalmışlardır. Bu sırf tekillikte ârifin
aklı tamamen devre dışı kalır. Onlar bu durumda artık ne kendi benliklerini ne de Allah’ın dışındaki
herhangi bir şeyi hatırlar. Gazzâlî bu durumda olan ârifin bir tür sarhoşlukla sarhoş olduğunu ve
aklının etkisini yitirdiğini iddia eder.19 75 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini Vahdet-i Vücûd doktrinini sistematik hâle getiren İbnü’l-Arabî’nin ârif konusunda sûfîlerin
geneline muhâlefet eder. Onun ârif kavramını iki farklı şekilde kullandığını görürüz. Buna göre onun
terminolojisinde ârif bazen kemâle ermiş muhakkiki ifade eder ve nefsini bilen kişidir.20 O, her şeyde
Hakk’ı gören hatta Hakk’ı her şeyin aynı görendir.21 Bu bakımdan ârif Tanrı ile âlemdeki nesneler
arasındaki özel yönün bilgisine vâkıftır. Dolayısıyla Şeyh-i Ekber’in terminolojisinde mutluluk
kimyâsı (kimyâ-yı saâdet) diye de adlandırılan vech-i hâssın bilinmesi âriflerin iksiri (iksîru’l-ârifîn)
diye adlandırılır.22 Bazen de henüz kemâli tamamlanmayan fakat bazı müşâhedeleri elde etmiş olan
kimse için kullanılır. Nitekim Istılahât risâlesinde ârif bu ikinci anlamda kullanılır ve âdetâ tam kemâl
sahibi olmayan biri olarak tavsif edilir. Buna göre ârif, Hakk’ın kendisini müşâhede ettirdiği ve
kendisinde hâllerin ortaya çıktığı kişidir. ,
ğ ,
(
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),
23 İbnü’l-Arabî, Kitabu Istılâhâti’s-Sûfiyye, trc. Seyfullah Sevim (Kayseri: Kayseri Büyükşehir Belediyesi, 1997), 70. İbnü’l-
Arabî müşâhede hâlinin kişide bir tür etki bırakmasını eksiklik saymaktadır. Nitekim Risâletü’l-Envâr’da Hz. Mûsâ’nın
Tûr Dağı’nda yaşadığı müşâhede ile Hz. Peygamber’in miracını mukayese ederek şöyle söyler: “Bil ki, tahakkuk etmiş ve
temkîne ermiş olan kâmil hakîm o şahıstır ki, her hâl ve vakit, ona uygun olanla amel eder ve karıştırmaz. İşte bu hâl,
Muhammed’in (s.a.s) hâlidir. Çünkü O, Rabbine yayın iki ucu kadar (kābe kavseyn) veya daha da yakın (ev ednâ) oldu.
İşte bu hâl, Muhammed’in (s.a.s.) hâlidir. Çünkü O, Rabbine yayın iki ucu kadar (kābe kavseyn) veya daha da yakın (ev
ednâ) oldu. Vaktâ ki, Cenâb-ı Risâlet-meâb Muhammed Mustafâ efendimiz kavmi arasında sabahladığı ve bu hâdiseyi
orada bulunanlara anlattığında bunun eseri kendisi üzerinde görülmediğinden ve bu durumda müşrikler O’nu
kendilerinin durumlarıyla uygun bir durumda gördüklerinden dolayı müşrikler kendisini doğrulamadılar. Zîrâ Hz.
Peygamber’in durumu Hz. Mûsâ’nın durumundan farklılık arz etmekteydi. Mûsâ’nın üzerinde eser görülmekteydi, Mûsâ
göz alıcı bir şekilde parıldamaktaydı.” İbnü’l-Arabî, “el-Envâr”, Resâil, (Beyrut: Dâru’l-Mehacceti’l-Beyzâ, 2000), 1/287.
24 Konu hakkında detaylı bilgi için bkz. Süleyman Uludağ, “Ârif”, TDV İslâm Ansiklopedisi (İstanbul: Diyanet Vakfı Yayınları,
1991) 3/361 362 20 Abdürrezzâk Kâşânî, Letâifu’l-A’lâm (Kahire: Mektebetü’s-Sekâfeti’d-Dîniyye, 2005), 495. ş
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21 İbnü’l-Arabî, Fusûsu’l-Hikem (Hârûn Fassı), thk. Ebu’l-Alâ Afîfî (Beyrut: Dâru’l-Kütübi’l-Arabî, ty.), 192.
22
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/
Seyyid Mustafa Râsim Efendi, Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil (İstanbul: İnsan Yayınları, 2008), 1054 Ârif Kimdir? Bu bağlamda İbnü’l-Arabî mârifeti bir hâl sayar ve kendisine
ulûhiyyetin ve zâtın müşâhede ettirilip kendisinde hâl zâhir olmayan âlimi âriften üstün kabul ederek
sûfilerin çoğunluğundan farklı bir yol izler.23 İbnü’l-Arabî sonrası tasavvuf geleneğinde ârif ve irfân kavramları zaman zaman genel ve
zaman zaman da özel anlamlarda kullanılmaya devam etmiştir. Bununla beraber büyük ölçüde ârif
denildiğinde muhakkikin anlaşıldığını söyleyebiliriz. Osmanlı tasavvuf geleneğinde de büyük ölçüde
ârifin muhakkikle aynı anlamda ve Tanrı, âlem ve insan hakkında en üst düzeyde bilgiye sahip kişi
için kullanıldığı ve ârifin insân-ı kâmil sayıldığı ise ispata mahal bırakmayacak derecede açıktır.24
Genelde tüm tasavvuf geleneğinde özelde ise Osmanlı geleneğinde bazı büyük velîler için tâcu’l-ârifîn,
kutbu’l-ârifîn, sultânu’l-ârifîn, burhânu’l-ârifîn, zeynü’l-ârifîn vb. gibi sıfatların kullanılması bu
iddianın kanıtı mâhiyetindedir. Bursevî’nin ârif ve mârifet hakkındaki tanımlamalarına baktığımızda
onun da zaman zaman ayrıştırsa da ârifi çoğunlukla muhakkik ve insân-ı kâmil olarak kabul ettiği
söylenebilir. Nitekim onun ârifi nasıl tanımladığına aşağıda değinilecektir. Bursevî, mârifeti eşyanın mânâda yok olmuş olarak müşâhedesi şeklinde genel bir şekilde
yorumlar. Özelde ise mârifeti kişinin kendi nefsini bilmesi (mârifet-i nefs) ve nefsini bilme yoluyla
Rabbi’ni bilmesi (mârifet-i Rabb ve mârifet-i Hakk) olarak kabul eder.25 Mârifete dair bu tanımlar
çerçevesinde ona göre ârif, kendi nefsini bilen yani hakîkatine eren ve bu yolla Hakk’ın zâtı, sıfatları,
isimleri ve fiillerinin sırlarına vâkıf olan kişidir. Bu hususta İzzeddin Kâşânî’nin (ö. 735/1334)
yukarda zikredilen tanımına benzer bir tanım yaptığı görülmektedir. Öte yandan onun açıklamasında 76 THEOSOPHIA Journal, Aralık 2020, Sayı1 ârif-i billah ile âlim-i billah arasında İbnü’l-Arabî’de karşımıza çıkan fark korunur. Nitekim Bursevî
İbnü’l-Arabî’yi takip ederek âlimi ulûhiyet ve zât kendisine keşfettirilen ve kendisi üzerinde herhangi
bir etki ortaya çıkmayan ve ârifi ise Hakk’ın zâtını müşâhede eden ve üzerinde etkisi ortaya çıkan kişi
şeklinde tanımlar.26 Ârif Rabbânîlik, âlim ise İlâhîlik özelliklerini hâizdir. İlâhî isimler arasındaki
hiyerarşinin gereği olarak âlim-i billah olan şahıs âriften üstündür. Çünkü âlim, Allah ismine
mazhardır. Ârif ise Rabb ismine mazhardır. Rabb ismi ise Allah isminin yönetimi altındaki bir isimdir. Bu nedenle bu ikisi arasında sultan ve vezir arasındaki ilişkinin benzeri bir ilişki söz konusudur. Ayrıca Bursevî, ârif ile muhakkik arasında da ayrım yaparak muhakkiki âriften üstün sayar. Öte
yandan âriflerin tamamı ona göre Hz. Peygamber’in vârisleridirler.27 Bununla beraber Bursevî, âlim
denildiğinde bununla âlim-i billah anlaşılmayıp ulemâ-i rüsûm anlaşıldığı için gelenekte ulemâ-i
bâtına ârif dendiği kaydını da düşer. Kendisinin de eserlerinde ârif dediğinde bu anlamı kastettiği ise
bellidir. Ârif Kimdir? Bu bağlamda ona göre ârif, Hakk’ın zâtı, isimleri, sıfatları ve fiillerine müşâhede yoluyla vâkıf
olan şahıstır. Müşâhedesi olmadan bunlara yakîn yoluyla vâkıf olan kişi ise âlimdir.28 Bursevî’nin ârif tanımında ön plana çıkan en temel özellik ise onun Hakk’ın dışındaki şeylerden
soyutlanmış olmasıdır. Nitekim Bursevî’ye göre ârif, Hakk’ı bilen ve her zaman ve hâlde dünyadan
habersiz, Hakk’ın dışındakileri idrâkten kopmuş kimsedir. O, bu dünyada halk içinde bulunsa da ruhu
mânâ âlemine yükselmiştir. Bundan dolayı bedenlerin hâlleri ve hükümlerinden çıkmıştır. Bundan
dolayı ârif, halk dolayısıyla Hakk’tan perdelenmez.29 Kişi kendi hakîkatini bilerek irfân ve mârifeti nasıl elde edilebilir ve nasıl ârif olabilir? Bursevî’ye göre bu sorunun cevabı bir insanın kendi hakîkatini ancak kendi hakîkatine ermiş başka
bir ârif vasıtasıyla bilineceğidir. Tâbî olmak bu bilgiyi elde etmeyi temin eden tek unsurdur. Bu
bağlamda Bursevî’nin ârifi mistik bilginin elde edilme sürecinde etkin bir epistemik ilke olarak
gördüğü söylenebilir. Mârifet-i nefs ve Rabb’e tâlib olan bir kişi bu ilkeye baş vurarak onun değiştirici
ve dönüştürücü iksiri yoluyla kendisi de bir ârif olacak, küllîleşecek, mutlaklaşacak ve her sûreti
kabul edici hâle gelecektir. Seyyid Mustafa Râsim Efendi, Tasavvuf Sözlüğü: Istılahât ı İnsân ı Kâmil, 767.
28 İsmâîl Hakkî Bursevî, Şerh-i Ebyât-ı Hacı Bayram-ı Velî (İstanbul: Süleymaniye Ktp., Esad Efendi, 1521), 18a 26 Seyyid Mustafa Râsim Efendi, Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil, 768. , Ş
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29 Seyyid Mustafa Râsim Efendi, Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil, 767. 26 Seyyid Mustafa Râsim Efendi, Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil, 768. yy
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27 Seyyid Mustafa Râsim Efendi, Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil, 767. yy
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28 İsmâîl Hakkî Bursevî, Şerh-i Ebyât-ı Hacı Bayram-ı Velî (İstanbul: Süleymaniye K y
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endi, Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil, 767. Ârifin İnancı: Heyûlânî İnanç Tasavvuf içerisinde gelişen Vahdet-i Vücûd doktrini sahip olduğu ontoloji ve epistemolojinin
bir ürünü olarak özgün bir din felsefesi ortaya koyar. Bu din felsefesinin anahtar kavramı ise
Bursevî’nin İbnü’l-Arabî’den ödünç alarak kullandığı heyûlânîliktir. Bu durumda bu din felsefesini
anlamamızı sağlayacak ve Bursevî’nin ârifin inancını tasvir ederken kullandığı heyûlânî ifadesi ne
anlama gelmektedir? Kuşkusuz Bursevî ve İbnü’l-Arabî bu ifade ile bir benzetme yapmaktadırlar. Bunun çözümlenmesi ise bir taraftan heyûlânın benzetmeye konu olan özelliğinin bilinmesi ve diğer
taraftan da ifadeye kaynaklık eden ana metne göz atmayı gerektirir. Antik felsefede bilhassa
Aristo’nun doğa felsefesinde sûretle birlikte âlemin iki kurucu unsurundan biri sayılan heyûlâ
“tamamen belirsiz, cisme ârız olan değişmeyi kabul edici kuvve halinde bir cevher” şeklinde tarif 77 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini edilmiştir.30 Tanımından da anlaşılacağı üzere heyûlânın en belirgin özelliği kâbilliktir. Yani heyûlâ,
mutlak edilgenlik sahibi bir doğaya sahiptir. İşte İbnü’l-Arabî ve Bursevî’nin inanç konusunda ârifin
durumunu ifade ederken heyûlâyı kullanmalarına sebep olan benzetme yönü onun bu mutlak
edilgenlik ve kâbillik özelliğidir. Bu bağlamda Bursevî’nin bu husustaki kaynağı İbnü’l-Arabî’nin
Futûhât’ta yer alan cümlesinden hareket eder. Şeyh-i Ekber’in cümlesi “Bir ârif gerçekten ârif ise
sadece tek bir inanç biçimine bağlı kalması ve diğer inanç biçimleriyle kayıtlı olmaması söz konusu
değildir.” şeklindedir.31 Bursevî bu ifadeyi ârifin heyûlâ gibi olması şeklinde yorumlar. Yani nasıl
heyûlâ her sûreti kabul ettiği ve bütün sûretlere mahal olduğu hâlde kendi özünde bir değişiklik
olmuyorsa ve hiçbir sûret onun aslî durumunu bozmuyorsa ârif de her türlü inancı kabûl eder. Onun
inancı, bütün diğer inanç biçimlerini kendinde toplar. Ârif diğer inanç biçimlerinin aslına da vâkıftır. Onların ne anlama geldiği ve neden kaynaklandığını da bilir. Diğer inançları toplaması ve içermesiyle
beraber hakîkat üzere olan kendi heyûlânî inancında yine devam eder ve sâbit kalır.32 Bursevî’nin açıklamalarından onun ârifin inancı olan heyûlânî inançla ârif olmayanların inancı
arasında bir fark gördüğü ortaya çıkmaktadır. Nitekim Bursevî ârif olmayanların inancını mecâzî
inanç olarak tanımlar. Ârifin inancı olan heyûlânî inanç ise hakîkî inançtır. Bursevî’nin tanımlamasına
göre mecâzî inanç Tanrı’yı şöyle veya böyle bir sûrette sınırlandırır. Bu sınırlandırma cisimsel
sınırlandırma olduğunda ortaya putperestlik çıkar. Bunun anlamı Bursevî’ye göre mutlak olan ve
hiçbir sûretle kayıtlı olmayan Hakk’ı birtakım sûretlere özgü kılarak diğer sûretlerdeki tecellîsini yok
saymaktır. Bu durumda olan kişi mutlağı tahsis ve mukayyed kılmış olduğu için küfre nisbet edilir. İbnü l Arabî, el Futûhâtu l Mekkiyye, thk. Ahmed Şemseddin (Beyrut: Dâru l Kütübi l İlmiyye, 1999), 7/244.
Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, (İstanbul: Uhuvvet Matbaası, 1328), 3. ,
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32 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, (İstanbul: Uhuvvet Matbaası, 1328), 3. 30 Osman Karadeniz, “Heyûlâ”, TDV İslâm Ansiklopedisi (İstanbul: Diyanet Vakfı Yayınları, 1998), 17/295-296. y
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31 İbnü’l-Arabî, el-Futûhâtu’l-Mekkiyye, thk. Ahmed Şemseddin (Beyrut: Dâru’l-Kütübi’l-İlmiyye, 1999), 7/244. (
33 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 29. Bursevî, Lübbü l Lübb ve Sırru s Sırr, (İstanbul: Uhuvvet Matbaası, 1328), 3.
Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 29. Ârifin İnancı: Heyûlânî İnanç Ayrıca Bursevî, bir Müslümanın âlemdeki herhangi bir mazharda tecellî eden Hakk’ın o tecellîsindeki
varlığını inkâr ettiğinde onun da küfre düşeceğini savunur.33 Öte yandan heyûlânî inancın sahibi olan
ârif Tanrı’nın hiçbir kayıtla kayıtlı olmadığını müşâhede etmiştir. Bundan dolayı Onu hiçbir kayıtla
sınırlı görmez. Her kayıt ve sınırlandırmanın içerdiği mânâyı ise mutlaklığı bâkî kalmak üzere
Tanrı’ya nisbet eder. Şu durumda Bursevî’nin heyûlânî inancı her inancı, her inancının sûretini kâbil
ve fakat kendisi bir sûretle mukayyed olmayan bir inançtır. Bursevî veya ondan önce Şeyh-i Ekber’in böyle bir inanç biçimi önermesindeki amaç nedir? Yani ârif her inancın sûretini kabul edici olmadığı taktirde ne gibi bir sorun ortaya çıkar? Bu sorunun
cevabı doğrudan Tanrı’nın bilinmesi meselesini ilgilendirmektedir. Vahdet-i Vücûd doktrinine göre
Tanrı, âlemin hakîkatleriyle zuhûr ve tecellî etmektedir. Dolayısıyla O’nu kâmilen bilmek bütün
sûretleri kâbil olmakla gerçekleşir. Tanrı’nın âlemdeki bazı sûretlerle tecellîsini kabul edip
diğerlerini inkâr etmek ise Tanrı’yı sınırlandırma ve tecellîleri inkâr anlamı taşıyacağından, bunun
da Tanrı’ya dair cehâlete yol açacağından dolayı sakıncalıdır. Vahdet-i Vücûd okuluna göre işte bu
durumdan kurtulmak ancak heyûlânî ve mutlak inanca ermekle mümkündür. Burada heyûlânî inancın iki temel özelliği karşımıza çıkar. Bunların biri diğerini zorunlu olarak
gerektirir. Bu özelliğin ilki yukarıda genişçe açıklanan kâbillik ve kuşatıcılıktır. İkincisi ise bu
kuşatıcılığın zorunlu gereği olan hoşgörüdür. Bursevî’nin açıklamalarından hareket ettiğimizde ârifin 78 THEOSOPHIA Journal, Aralık 2020, Sayı1 hoşgörüsünün birkaç esas üzerine kurulu olduğunu görürüz. Bu esasların ilki ârifin heyûlânîliğini de
temin eden küllîleşme ve mutlaklaşma durumudur. Ârif bundan dolayı diğer inanç biçimlerinin
sûretlerini kabul edici olmuştur. Zîrâ ârif aşağıda da işaret edileceği üzere küllîleşmiş ve bunun da
ötesine geçerek mutlaklaşmış, her sûreti kabul eden heyûlâ gibi mutlak edilgenliğe ermiştir. Ârifin hoşgörüsünün ikinci ana esası ârifin mutlaklık kazanma seyrinde âleme dair müşâhede
ettiği şeylerdir. Ârifin bu müşâhedesinde bütün âlemin ilâhî isimler ve sıfatların sûretlerinin
tecellîyâtından meydana geldiğini öğrenmiştir. Bu müşâhede ona her sûrette tecellî edenin Hak
olduğunu ve Hakk’ın sûretlerde tahavvul ederek tecellî edip yine de mutlak kaldığının bilgisini
vermiştir. Bu durumda âlem cümlesinden olan dinler, inanç biçimleri, doğru ya da yanlış diye hüküm
verilen tüm kanaatler ve hatta Allah’ın dışında tapınılan her türlü maddî veya gayr-i maddî nesnenin
tamamı aslında ilâhî isim ve sıfatların tecellîlerinden ibaret olmuş olur.34 Ârifin hoşgörüsüne kaynaklık eden bir diğer esas da ilâhî isimler teorisi çerçevesinde
geliştirilmiş olan soteriyoloji anlayışıdır. Bursevî buna işaret ederek bütün mazharların kendi doğru
yollarında olduklarını savunur. Bu çerçevede Hak her yüzden görünür. Ârif bu nedenle bir yüzle
kendilerini sınırlandıranları da mâzûr görür. 36 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 24-26. 35 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 24. 34 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 22-24. ş
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40 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 18. Bu husus İbnü’l-Arabî’nin dinlerin birliği fikrini iddia edip etmemesi
bağlamında Suâd el-Hakîm tarafından da değerlendirilir. O, Şeyh’in Tercümânu’l-Eşvâk’ta yer alan ve kalbinin her sûreti
kabul edici olduğuna işâret eden şiirinden hareketle Şeyh’in vahdet-i edyân fikrine sahip olduğu iddiasını ele alır. Suâd
el-Hakîm dinlerin hakîkatlerinin ontolojik açıdan bir oluşu fikrinde olması ve hatta bütün tapınılan sûretlerin Hakk’ın
sûretleri olması anlamında vahdet-i ma‘bûd anlayışına sahip olmakla beraber Şeyh’in dinlerin geçerlilik birliği fikrinde
olmadığını söyler. Bilakis ona göre bu şekilde kâbil hâle gelmenin anlamı cevâmi’u’l-kelîme ermekle ilgilidir. Yani bizim
yukarda Bursevî çerçevesinde açıklamaya çalıştığımız heyûlânî inanç sahibi olmak demek bütün âlemin kendisinden
yaratıldığı hammadde olan Nûr-i Muhammedî’ye erişmek ve vâris-i Muhammedî hâline gelinmesi demektir. Bu açıdan
Muhammedî şerîatı benimseyen kişi zorunlu olarak Hz. Muhammed’den çnce gelen bütün peygamberlerin şerîatlarını
kabul etmek ve onlara inanmak zorundadır. Bu bakımdan Muhammedî şerîat önceki şerîatların bâtıl olmasına
hükmetmez. Bilakis onları da içererek kemâle erme anlamı taşır. Dolayısıyla Suâd el-Hakîmin açıkladığı şekliyle Şeyh’in
bu ifadesi aslında İslâm’ın imanının şartlarından olan peygamberlere ve Allah’ın indirdiği kitaplara ayrım yapmaksızın
inanma demektir (İbn Arabî Sözlüğü, 154). Suad el-Hakîm’in İbnü’l-Arabî için yaptığı açıklamanın Bursevî’nin anlayışı 37 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 38-39. 38 Konu hakkında Bursevî’nin detaylı bir yorumu için bkz. Orkhan Musakhanov, “İsmail Hakkı Bursevî’nin ‘Mü’min
Mü’minin Aynasıdır’ Hadis-i Şerifi Üzerine Yazdığı Şerhin Tahlil ve Tahkiki: Zâhir ve Bâtın Anlamın Birleştiği ve
Ayrıldığı Noktalara Dair Bir İnceleme”, Çukurova Üniversitesi İlahiyat Fakültesi Dergisi 19/2 (2019), 539-561.
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39 Vahdet-i Vücûd doktrininin bütün âlemin rahmete gark olması ile bir tür apokatastasis anlayışı içinde ebedî mutluluğu
elde etmesi iddiasına dayalı eskatolojisi çeşitli tartışmaları doğurmuştur. Bu husus özellikle doktrinin kurucu piri olan
İbnü’l-Arabî’ye yönelik polemik metinlerinin en gözde konularındandır. Dolayısıyla doktrini savunanlar tarafından bu
hususun meşrûiyet zeminini kanıtlamak önemli bir hedeftir. Bu kanıtlama çabalarının örneklerinden biri için bkz.
Orkhan Musakhanov, “Bahâeddinzâde Muhyiddin Mehmed Efendi’nin Risâle fî Mes’eleti Hulûdi’l-Küffâr Adlı Eseri:
İnceleme ve Tahkik”, Tahkik İslami İlimler Araştırma ve Neşir Dergisi 2/1 (2019), 81-127 Ârifin İnancı: Heyûlânî İnanç Çünkü ârif kapsama alanı geniş olduğu için
sınırlanmanın da ilâhî şe’nlerden bir şe’nin ve ilâhî isimlerden bir ismin gereği olduğunu ve herkesin
bir ilâhî ismin mazharı olup ve mazharı olduğu ismin yönetimi altında kaldığını bilir. Bu isim ister
cemâl, ister celâl, ister dalâlete sevk eden, ister hidâyete erdiren bir isim olsun, her şey o ismin sırât-
ı müstakîmi üzeredir. İnançlar da bu şekildedir. Bir şahsın inancı bir başka şahsın inancına göre yanlış
olsa da o şahsın zâtında mazhar olduğu isim bakımından inancı kendisinin sırât-ı müstakîmidir. Mesela yayın doğruluğu onun eğriliğindedir. “el-Hâdî” ismine eğri görünse de dalâlet “el-Mudill”
ismine nisbetle doğrudur. Ârif bu mânâyı bildiği için kimsenin dinine karşı çıkmaz.35 Burada insanların dalâlet ve hidâyetlerinin cebr yoluyla insan özgürlüğüne zarar verecek
şekilde belirlenip belirlenmediğini de gündeme getiren Bursevî, Vahdet-i Vücûd ontolojisinin en
önemli ilkelerinden biri olan mâhiyetlerin daha doğru bir ifadeyle a‘yân-ı sâbitenin gayr-i mec‘ûl
olmalarını ve ilm-i ilâhînin de bu gayr-i mec‘ûl olan sâbit aynlara tâbî olduğunu hatırlatarak problemi
aşmaya çalışır. Bu bağlamda her bir ayn kendi kaynağı olan ilâhî ismin gereği üzere dış dünyada eser
ve etkisini ortaya koyan kodlara sahiptir. Bunlar üzerinde Tanrı hiçbir şekilde bir tasarrufta
bulunmamıştır. Onlar ile Tanrı arasındaki ilişki sadece varlık verme ilişkisidir. Bu nedenle ayn kendi
içeriğinin doğasını yerine getirmektedir. Bu hususta Tanrı ona baskı kurmamaktadır. Dalâlet işte bu
aynların doğasında yer alan özelliğin sonucunda oluşmaktadır. Ârif bütün bunları bilerek inançlara
karşı saygılı kalmaktadır.36 Bursevî ârifin heyûlânîlikten kaynaklanan hoşgörüsünü anlatırken inançlardaki tutuculuk ve
dışlayıcı (exclusivist) yaklaşımın doğasını da açıklar. Bunu yaparken İbnü’l-Arabî’nin ilâh-ı mu‘tekad
teorisine baş vurur. Buna göre ilâh-ı mu‘tekad, kulun kendi zannındaki tanrı tasavvuru olup bu
tasavvuru kul kendisine bakarak üretir. Bu tasavvurun da kaynağı her ne kadar ilâhî isimler olsa da 79 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini Tanrı’nın sınırlandırılması anlamı taşımaktadır. Bu çerçevede kul, kendi zannının ürünü olan bu
tanrıyı över ve ona tapınır. Onun bu övgü ve tapınımı ise kendi zannının ürünü olmasından dolayı
aslında kendisine yaptığı övgü ve tapınmadır. Bu nedenle başkalarının inancını kötüler. Başkalarının
inançlarını kötülemenin nedeni cehâlettir. Çünkü kendi tasavvur ettiği tanrıya tapınan ve diğerlerini
inkâr eden kul, hem kendi tasavvurunun hem diğer tasavvurların hem de âlemdeki her şeyin
hakîkatinin Hakk’ın sınırsız ve sonsuz olan zâtı olduğundan habersizdir. Bu cehaletinden dolayı
başkasının inancını kötüleyip karşı çıkar. Bu karşı çıkıştan kurtulmak ve hoşgörü kazanmak ârif
olmakla ve Hakk’ı her sûrette görmek ve bu şekilde davranmakla mümkündür. Orkhan Musakhanov, Bahâeddinzâde Muhyiddin Mehmed Efendi nin Risâle fî Mes eleti Hu
İnceleme ve Tahkik”, Tahkik İslami İlimler Araştırma ve Neşir Dergisi 2/1 (2019), 81-127 Ârifin İnancı: Heyûlânî İnanç Ancak böyle olan kişi
hiçbir inanç biçimine itiraz etmez ve her inanış sahibinin inandığı şeyi yine sahibine teslim eder.37 Tanrı’nın sınırlandırılması anlamı taşımaktadır. Bu çerçevede kul, kendi zannının ürünü olan bu
tanrıyı över ve ona tapınır. Onun bu övgü ve tapınımı ise kendi zannının ürünü olmasından dolayı
aslında kendisine yaptığı övgü ve tapınmadır. Bu nedenle başkalarının inancını kötüler. Başkalarının
inançlarını kötülemenin nedeni cehâlettir. Çünkü kendi tasavvur ettiği tanrıya tapınan ve diğerlerini
inkâr eden kul, hem kendi tasavvurunun hem diğer tasavvurların hem de âlemdeki her şeyin
hakîkatinin Hakk’ın sınırsız ve sonsuz olan zâtı olduğundan habersizdir. Bu cehaletinden dolayı
başkasının inancını kötüleyip karşı çıkar. Bu karşı çıkıştan kurtulmak ve hoşgörü kazanmak ârif
olmakla ve Hakk’ı her sûrette görmek ve bu şekilde davranmakla mümkündür. Ancak böyle olan kişi
hiçbir inanç biçimine itiraz etmez ve her inanış sahibinin inandığı şeyi yine sahibine teslim eder.37 Bursevî’ye göre ârifin dışındaki herkes zâten doğal olarak kayıtlı ilâhın kullarıdır. Onlar sınırsız
ve sonsuz olan Hakk’ı kalplerinde tasavvur ettikleri sûrete sığdırırlar. Bu bakımdan onlar Hakk’ın
aynası olmuşlardır.38 Ârif ise mutlak İlâh’a kulluk eder. Bu bakımdan gerçek kul âriftir. Onun
dışındakiler ise sınırlayan ve sınırların dışında kalanları inkâr eden kişiler olmalarından dolayı eksik
inançla ibâdet eden kullardır. Buna rağmen Hakk onların da bu kulluklarını dikkate alır ve onları
bunun karşılığımda ödüllendirir. Bu anlamda Vahdet-i Vücûd doktrininin soteriyolojisi açısından
mutluluğu elde etmeyen kimse yoktur. Bununla beraber bu mutluluğun cennet veya cehennemde
gerçekleşmesi ise şerîatın belirlediği çerçevede gerçekleşir.39 Bütün bu açıklamalar ve din konusundaki kayıtsızlık anlayışının sonucunda ârifin âdetâ dinsiz
ve mezhepsiz biri olduğu sonucu çıkmaz mı? Bursevî’nin bu soruya cevabı hayırdır. Çünkü ona göre
ârif dinsiz ya da mezhepsiz biri değildir. Bilakis onun dini Allah’ın dini, mezhebi ise Rabb’inin
mezhebidir. Burada Bursevî çok belirgin bir biçimde ârifin Allah katındaki din olan İslâm dininde
olduğunu ima etmekte ve mezhebinin de ilâhî isminin dosdoğru yolu olduğunu belirtmektedir. Bu
bakımdan ârif ne dinsiz ne de mezhepsizdir. Şu kadarı var ki o, sosyolojik açıdan kurumsallaşmış din
kalıbına sığmayacak kapsayıcılığa ulaşmış kişidir.40 ğ
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39 Vahdet-i Vücûd doktrininin bütün âlemin rahmete gark olması ile bir tür apokatastasis anlayışı içinde ebedî mutluluğu
elde etmesi iddiasına dayalı eskatolojisi çeşitli tartışmaları doğurmuştur. Bu husus özellikle doktrinin kurucu piri olan
İbnü’l-Arabî’ye yönelik polemik metinlerinin en gözde konularındandır. Dolayısıyla doktrini savunanlar tarafından bu
hususun meşrûiyet zeminini kanıtlamak önemli bir hedeftir. Bu kanıtlama çabalarının örneklerinden biri için bkz. Heyûlânî İnancın Epistemolojisi: Sâlikin Yedi Tavrı ve Üç Seferi Ârifin tâbî olduğu epistemik sistem burhânî veya beyânî paradigmanın mukābili olan keşfe
dayalı irfânî paradigmadır. İrfânın bilgi teorisi, süje ile obje arasında kapanmayan mesafe sürdüğü
müddetçe gerçek anlamda bilginin elde edilemeyeceği savı üzerine kuruludur. Dolayısıyla aynı
zamanda bilme işlemini ifade eden seyr u sülûk süreci bir tür aynîleşme ve bu yolla bilme sürecidir. Bu yüzden irfân epistemolojisinde özellikle felsefe geleneğinde karşımıza çıkan ve insanın bilişsel
yetkinliğini ifade eden âlem-i aynîye paralel, âlem-i aklî olması ve eşyanın hakikatlerinin sûretlerini
Faal Akıl ile ittisâl yoluyla elde etme durumlarının yerini, bilenle bilinen arasındaki mesafenin
ortadan kalktığı aynîleşme durumu alır. Dolayısıyla irfân paradigması açısından kemâl, bir
teellüh/henosis sürecini ifade eder. Yani kemâl, sülûk sırasında geçilen her bir mertebede o
mertebeyle aynîleşmek, son olarak da sâlikin kendi hakîkatini bilmesi ve bu hakîkatin de hakîkati
olan Hakk’ın hakikatine erip O’nda fânî olarak bir yanılsama kabul edilen kişisel şuurun ortadan
kalkması ve mutlaklığa ulaşmaktır. Mutlaklığa ulaşmak heyûlânî inancın epistemik zeminidir. Zîrâ sâlik, mutlaklığa ulaşmakla tam
edilgenliği elde eder. Bursevî bu sürecin sülûkta nasıl gerçekleştiğiyle ilgili yedi temel tavır ve üç ana
yoldan bahseder. Ona göre sâlik bu tavırlardan geçerek ve seferleri yaparak heyûlânî inancı temin
eden hâle ulaşır. Bu süreci incelediğimizde sırasıyla nefsin bilinmesi, küllîleşme ve fenâ ile mutlaklığa
erme şeklinde bir seyir izlendiği görülür. Bu bakımdan Bursevî ilk tavrı bir kimsenin, kendi cisminde
ve cesedinde idare sahibi olan cüz’î ruhunu bilmesi olarak kabul eder.41 Bu tavrın amacı sâlike
mutlaklığın ilk basamağı olan bedenden soyutluğu kavratmaktır. Nitekim bu tavırda sâlik nefs-i
nâtıka olarak da adlandırılan ruhunun çeşitli özelliklerini tanır. Buna göre nefs-i nâtıka cisim ve
cismânî bir şey değildir. Yani nefs, bedende veya maddede ortaya çıkan ve madde ile kâim olan bir
araz değildir. Aksine maddî ve cisim olan bedenin dâhilinde ve hâricinde tedbir ve tasarruf eden aslî
unsur nefstir. Burada soyutluğu kavramaya götüren husus, nefs-i nâtıkanın gayr-i mütehayyiz
olduğunu bundan dolayı da mekânsız ve nişansız olduğunu keşfetmektir. Zîrâ, nefs-i nâtıka bedenin
her parçasına bizzat ve bütünüyle bulunur. Bedeni her türlü kuşatmış ve onda etkin olmuş olsa da
bedenin kalıplarından soyut ve münezzehtir. Öyle ki, bedenin herhangi bir parçası incelense nefsin
orada tamamen mevcut olduğu görülür. Bu yüzden nefsin bölünme ve parçalanması mümkün
değildir. İnsanın elinden tutan, gözünden bakan, dilinden söyleyen, ayağından yürüyen, kulağından
işiten ve bütün organlarında tasarruf eden tamamen odur. Bedende her cüzde bizzat ve bütünüyle
mevcuttur ve bütün bedeni kuşatmış olmakla beraber bütünüyle ondan münezzehtir. için de geçerli olduğu söylenmelidir. Zîrâ Bursevî, mutlaklığa ermenin ve heyûlânî inanca ulaşmanın yolunun mürşid-i
kâmile tâbî olmaktan geçtiğini söylemektedir. Bu ittibâ tasavvuf silsilesi içinde doğal olarak Hz. Peygamber ile
başlamaktadır. O hâlde Bursevî’nin mutlaklık kazanmak için Onun yolundan gitmek dışında bir yol önerdiğini
düşünmemizi ve Bursevî ve daha öncesinde İbnü’l-Arabî gibi sûfîlerin mutlak bir prennializmi savunup bugün bütün
dinlerin her dönemde hakîkati eşit düzeyde temsil ettiğini iddia ettikleri ve bunları uygulayarak mutlaklığa
ulaşılabileceğini savunduklarını söylemek mümkün gözükmemektedir. Ârifin İnancı: Heyûlânî İnanç Orkhan Musakhanov, “Bahâeddinzâde Muhyiddin Mehmed Efendi’nin Risâle fî Mes’eleti Hulûdi’l-Küffâr Adlı Eseri:
İnceleme ve Tahkik”, Tahkik İslami İlimler Araştırma ve Neşir Dergisi 2/1 (2019), 81-127 80 THEOSOPHIA Journal, Aralık 2020, Sayı1 ş
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41 Bursevî, sûfîlerin nefs-i nâtıkayı tek adla adlandırmadıklarını söyleyerek Gazzâlî’nin bu konudaki görüşünü (bkz.
Gazzâlî, Meâricu’l-Kuds (Beyrut: Dâru’l-Âfâkı’l-Cedîde, 1975), 15-19) tekrar eder. Buna göre nefs, kalb, ruh, akıl ve sırr
tek bir şeydir. Ancak ruhun sıfatı değiştikçe farklı isimler alır. Heyûlânî İnancın Epistemolojisi: Sâlikin Yedi Tavrı ve Üç Seferi Eğer bir
insanın parmağı veya eli veya ayağı kesilse, onda hiçbir eksiklik olmaz. Yine nasılsa o hâlde var 81 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini olmaya devam eder, bütün beden yok olsa bile nefs yok olmaz. Bu örneklerin benzeri sayısız ve
sınırsız gözlemlerle kişi kendi nefsinin durumunu bilse bu durum ilk tavırdır. Dolayısıyla Nefs-i
nâtıkanın cisimsel bedende özel bir mahallinin olmadığını ve bedenin tamamında etkin olduğunu
keşfeden sâlik, maddeden meydana gelmiş olan bedenin kayıtlarının gerçek olmadığını fark edecek
ve bu tavırdan mutlaklığa doğru yükselecektir.42 Bursevî’ye göre ikinci tavır, bütün âlemin ruhu olan soyut varlığın bilinmesi küllîliğin tecrübî
yoldan değil nazarî şekilde anlaşılmasıdır. Dolayısıyla sâlik bu tavırda kendi bedeninde müşâhede
ettiği soyutluğun bütün âlemdeki karşılığını görür. Bu nedenle âfâka yani dış âleme nazar eder. Burada incelediği ve keşfetmeye çalıştığı şey bütün âlemi bir beden gibi kullanan soyut bilinçtir. Bursevî, bu bilincin felsefe geleneğindeki aldandırmasına sadık kalır ve onu Küllî Nefs olarak
tanımlar. Kuşkusuz bu hususta uzak bir Neoplatoncu etki söz konusudur. Şu var ki, Bursevî, nefs-i
nâtıkanın onun çeşitli adlarla adlandırılmasında karşımıza çıkan ruh ve akıl adlandırmasını buraya
da taşıyarak bir bakıma Neoplatoncu hipostazın Psychē’sini (Nefs) Nous’a (Akıl) eşitler. Bundan
dolayı Küllî Nefs’i, Akıl ve İzâfî Küllî Ruh diye de adlandırır. Küllî Nefs de nefs-i nâtıka gibi soyut olup
cisim ve cismânî değildir. Nefs-i nâtıkanın bedenin dâhilinde ve hâricinde bulunmayıp gayr-i
mütehayyiz olmasında gördüğümüz gibi Küllî Nefs de bütün yerler ve göklerin dâhilinde ve hâricinde
bulunmaz. Bununla beraber her şeyi ihâta, tedbîr ve tasarruf eder. Küllî Nefs için yücelerin en yücesi
ile aşağıların en aşağısı birdir. O her mertebede bütün zâtıyla mevcuttur ve onun bölünmesi ve
parçalanması mümkün değildir. Küllî Nefs de nefs-i nâtıka gibi maddenin bir arazı değildir. Hatta
maddeyi önceler. Bundan dolayı bütün yerler ve gökler yok olsalar yokluk ona hiçbir şekilde erişmez. Bursevî Küllî Nefs’in bu bakımdan âlemle ilişkisini bir örnek yoluyla açıklar. Ona göre bu ilişki güneş
ile dünyadaki konutlar arasındaki ilişkiye benzer. Dünyada ne kadar ev ve saray yapılırsa yapılsın
hepsine Güneş’ten ışık ve aydınlık ulaşır. Ne var ki, her eve bacasına ve penceresine göre ışık ve
aydınlık ulaşır. Ne kadar ev ve saray harap olup yıkılırsa yıkılsın bu durum Güneş’e yokluk vermez. 42 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 5-6. 43 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 6. Heyûlânî İnancın Epistemolojisi: Sâlikin Yedi Tavrı ve Üç Seferi Bursevî bu durumu Hakk’tan gayrı
zâhirde mevcûd olmadığını bilmek olarak yorumlar. Buna göre yukarda bahsi geçen tavırlardan
birinci tavır insanın iç âleminden, ikincisi dış dünyadan ve üçüncüsü ise bunların her ikisinin
toplamından teşekkül eder. Dördüncü tavır ise bunların Hakk’ın zâtında yok olmalarını ifade eder.45 Beşinci ve altıncı tavırlarda sâlikin tecrübe yoluyla mutlaklık idrâkinde derinleşmesi açıklanır. Buna göre beşinci tavırda bu tavra kadar geçilen bütün tavırların tamamı cem edilir ve bu cem
hâlinde bütün tavırlar topluca müşâhede olunur. Bu tavrın sahibine ibnü’l-vakt (vaktin/hâlin oğlu)
denir. Sâlik, ibnü’l-vakt makamında “lâ mevcûde illâ hû” (O’ndan başka varlık yoktur) der ve her şeyi
Hakk’tan ibaret görür. Altıncı tavırda ise sâlik kısmen edilgenlik tecrübesini yaşamaya başlar. Nitekim bu tecrübe dolayısıyla sâlik kendisini her şeye ayna olmuş bir hâlde müşâhede eder. Bu
tavırda sâlik kendisinden başka kimseyi göremez ve bütün mevcûdâtı kendisine bağlı olarak görünür. Bu nedenle “Bedenimin içinde Hakk’tan başka kimse yoktur” ve “İki cihanda benden başka kimse
yoktur” der. Yani her şey kendisine ayna ve kendisi de her şeye ayna olur. Hatta ayna ve aynadan
yansıyan sûret kendisi olur. Bu makama ulaşınca “lâ mevcûde illâ ene” (Benden başka varlık yoktur)
der. Ayrıca bu makama ebu’l-vakt (vaktin/hâlin babası) adı verilir.46 Yedinci tavır sâlikin tam edilgenliğe ulaştığı merhaledir. Zîrâ bu mertebeye değin sâlik, geçtiği
bütün tavırlarda bir tür bilinç durumuna sahipti. Bu mertebede ise bilinci tamamen yok olarak
mutlakta silinip gider. Bu nedenle bu tavırda sâlik fenâ-i küllî, mahv-ı mahz ve mahv-ı sırf durumuna
ulaşır, bekā-ender-bekā’yı elde eder. Bu mertebede sâlik hiçbir halle ve makamla vasıflanmaz. Hem
müşâhede hem de mârifet tamamen fânî olur. Çünkü bu makam mahv-ı küll makamıdır, bundan
dolayı salikin idrâki bütünüyle ortadan kalkmıştır. Buraya makam denmesi de anlayışa yaklaştırmak
içindir. Zîrâ mutlaklığı hiçbir şekilde ifade etmek söz konusu değildir. Bundan dolayı bu mertebenin
sahibi olan kimse makamsız ve nişansızdır. Sâlikin mutlaklık kazanarak heyûlânî inancı elde etmesi
bu tavırda gerçekleşir. Cem makamı olan bu tavırdan ‘fark’ makamına dönen sâlik artık âriftir ve
kendisine Hakkānî varlık elbisesi giydirilir. Kendisinin hakîkatini bilmekle Hakk’ı bilmiştir ve bundan
dolayı da mecâzî bir inançla kendisini sınırlı kılmaz. Bilakis bütün inanç sûretlerini kâbil hâle gelmiş
olup heyûlânî inanca ermiştir. Çünkü bu yedi tavır çerçevesinde ârif, iç âlemde ve dış dünyada tecellî
edenin tek bir zât ve tek bir hakîkat olduğu ve başka bir şeyin var olmadığını öğrenir. Bu tecrübeye
göre bütün varlık bir varlıktır ve bir can ve bir tendir. Bu bahsi geçen tek hakîkat, bölünmez ve
parçalanmaz. Heyûlânî İnancın Epistemolojisi: Sâlikin Yedi Tavrı ve Üç Seferi Bu örnekte olduğu üzere sâlikin ikinci epistemik tavrı, Tanrı’nın ne kadar insan ve hayvan yaratırsa
yaratsın Küllî Nefs’in bunların tamamına hayat verdiğini, onları tedbîr ve onlarda tasarruf ettiğini ve
ne kadar canlı ölürse ölsün ona herhangi bir zarar gelmeyip aynen dâim ve kāim olduğunu ve
merkezinde sâbit kaldığını bilmesidir.43 Bursevî Küllî Nefs’in bu bakımdan âlemle ilişkisini bir örnek yoluyla açıklar. Ona göre bu ilişki güneş
ile dünyadaki konutlar arasındaki ilişkiye benzer. Dünyada ne kadar ev ve saray yapılırsa yapılsın
hepsine Güneş’ten ışık ve aydınlık ulaşır. Ne var ki, her eve bacasına ve penceresine göre ışık ve
aydınlık ulaşır. Ne kadar ev ve saray harap olup yıkılırsa yıkılsın bu durum Güneş’e yokluk vermez. Bu örnekte olduğu üzere sâlikin ikinci epistemik tavrı, Tanrı’nın ne kadar insan ve hayvan yaratırsa
yaratsın Küllî Nefs’in bunların tamamına hayat verdiğini, onları tedbîr ve onlarda tasarruf ettiğini ve
ne kadar canlı ölürse ölsün ona herhangi bir zarar gelmeyip aynen dâim ve kāim olduğunu ve
merkezinde sâbit kaldığını bilmesidir.43 Üçüncü tavırda sâlik ikinci tavırdaki bilgisini tecrübe ile elde ederek bir aynîleşme sürecine
girer. Dolayısıyla bu tavır sâlikin küllîlik kazandığı aşamadır. Küllîlik kazanma benliğin, Küllî Nefs’te
silinmesi ve sınırların ortadan kalkarak Küllî Nefs’le aynîleşmesi ile gerçekleşir. Burada sâlikin cüz’î
ruhu, Küllî Nefs ile aynı şey olan Küllî Ruh’ta silinir. Bununla beraber sâlik Küllî Ruh ile hayatta
kalmaya devam eder. Yani sâlik sülûku esnasında bu mertebeye ulaştığında kendi ruhunu küllî ruh
veya izâfî ruh olarak da adlandırılan ve âlemin tamamına yayılmış olan âlemin ruhunda yok olmuş
görür. Bu izâfî ve küllî ruh diye adlandırılan şey bütün âlemin hayatıdır. Bu ruhtan âlemin zâhirinden
felekler, gök cisimleri, dört unsur ve maden, bitki ve insanın da içinde bulunduğu cins olan hayvan
var olmuştur. Ayrıca bütün bunların hepsinde görülen canlılık eseri de bu ruhun bâtınından meydana 82 THEOSOPHIA Journal, Aralık 2020, Sayı1 gelmiştir. Her şeydeki cüz’î ruh, bu küllî ruhun bir veçhesidir. Yani kendi ruhunun küllî ruh ve aklının
küllî akıl olduğunu hakka’l-yakîn olarak müşâhede eder.44 Dördüncü tavırda sâlik, üçüncü tavırda tecrübe yoluyla öğrendiği küllîlik kaydından çıkarak
mutlaklığı tecrübe etmeye başlar. Bu tavırda kendi ruhunu Nefs-i Küllî’de fânî ve Nefs-i Küllî’yi ise
Hakk’ın zâtında mahvolmuş olarak müşâhede eder. Cüz’îlik ve küllîlik kayıtlarından çıkar. Ayrıca bu
tavırda sâlik, bütün fiilleri Hakk’ın fiillinde, bütün isim ve sıfatları Hakk’ın isim ve sıfatlarında ve
bütün zâtları yani eşyanın hakîkatlerini Hakk’ın zâtında fânî olarak görür. Ayrıca mahvettiklerini
ilme’l-yakîn, ayne’l-yakîn ve hakka’l-yakîn müşâhede ederler. 46 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 7-8. 44 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 7. 45 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 7. Heyûlânî İnancın Epistemolojisi: Sâlikin Yedi Tavrı ve Üç Seferi Bütün mazharlar onun tecellîgâhı ve âletidir. İsterse zerre kadar olsun her mazharda 83 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini bütün isim ve sıfatlarıyla külliyyen zâhir olur. Bununla birlikte bu tek olan hakîkat herkese inancı ve
zannına göre, ister zâhir olsun ister bâtın olsun her mertebe, her mahal ve her makamda ayrı bir yüz
gösterir. Yani her sûrette sûretlenen, her akılda akledilen, her gönülde mânâ olan, her kulakta işitilen,
her gözde görülen odur. Bir yüzden tecellî edip bir diğer yüzden o tecellîye bakar. İşte ârif, âşık ve
mâşuk, tālib ve matlûb, mu‘tekıd, mu‘tekad ve i‘tikādın bir olduğunu bilince kendisini özel bir inanç
biçimiyle sınırlandırmaz.47 Bursevî ârifin mutlaklaşma ve bu çerçevede heyûlânî inancı kazanma sürecini ârifin, kendi
başlangıç (mebde’) ve sonunu (meâd) bilip, nefsini ve Rabbini tanıması ve kendisinin nereden geldiği
ve nereye gideceğini bilmesinin gerçekleştiği üç sefer çerçevesinde açıklar.48 Ona göre bu yolculuklar
küllî yolculuklar olup bunlar olmaksızın nefsin bilinmesi ve Rabb’in bilinmesi ve böylece kemâli elde
etmek mümkün değildir. Bu seferler aynı zamanda yukarıda sayılan tavırların da temelini teşkil eder. Bu seferleri açıklarken Bursevî klasik devir nazariyesine bağlı kalır. Buna göre insanın hakîkatinin
Tanrı’nın ilminden maddî âleme doğru inişi ve son olarak insan bedeninde dünyaya gelişine kadar
olan süreci ilk sefer kabul eder. Bu seferde insan terkîb kazanır ve basitlikten çıkarak çeşitli
unsurların bileşiminden teşekkül eder. Bu sefer bir varoluş seferidir ve irâdî olarak gerçekleşmez.49
Bu sefer insanın ârif olmaksızın Hakk’tan maddî dünyaya doğru yaptığı seferdir. İkinci sefer ise
insanın bilinçli olarak kaynağa geri dönüş ve kazandığı terkibin dağılması ve çözümlenmesi ve
basitliğe geri dönüş seferidir. Bu seferde bir ârifin sâlike rehberlik etmesi gereklidir. İkinci sefer,
sâlikin Küllî Akıl/Küllî Nefs’te yer alan kendi hakîkatine ermesiyle son bulur. Böylece maddî âleme
gelmezden önceki ilk basitliğine geri dönmüştür. Bu geri dönüş yolculuğunda sâlik, terkîb seferinde
geçtiği her bir mertebede kazandığı şeyleri iade ederek basitliğini kazanır. Bütün bunlar ise Bursevî
tarafından bir tür ahlâkî yetkinleşme olarak kabul edilir. Bu seferde öncelikle sâlik, Akl-ı Kül ve Nefs-
i Kül’de ardından da Hak’ta fenâ bularak bütünüyle kayıtlardan sıyrılır. Hatta şerîat kaydından bile
çıkar. Bursevî, her türlü kaydın hatta benlik idrâkinin de silindiği bu makamın zevkli olmakla birlikte
tehlikeli ve eksik olduğu görüşündedir. Bundan dolayı bu makamda mukîm olmak yerine burdan
tekrar benlik idrâki makamına geri dönmenin gereğine dikkat çeker. Bu sefer seyr-i ilallah olarak
adlandırılır. Sâlikin mutlaklığı kazandığı bu ikinci seferden tekrar sınırlılık mertebesine dönüşü ise
üçüncü seferdir. Bursevî, Lübbü l-Lübb ve Sırru s-Sırr, 8-9.
48 Bursevî’nin ârifin seferleri fikri ondan biraz önce yaşamış olan ünlü İranlı filozof Molla Sadrâ’nın ârifin dört seferi fikrini
hatıra getirmektedir. Bu bağlamda detaylı bir tahlil için bkz. Seyyid Kemâl Haydarî, Mine’l-Halk ile’l-Hakk: Rihletü’s-
Sülûk fî Esfârihi’l-Erba’a.
49 50 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 21-27. 47 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 8-9. f
f
49 Bursevî, a.g.e., 19. 47 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 8-9.
48 Bursevî’nin ârifin seferleri fikri ondan biraz önce yaşamış olan ünlü İranlı filozof Molla Sadrâ’nın ârifin dört seferi fikrini
hatıra getirmektedir. Bu bağlamda detaylı bir tahlil için bkz. Seyyid Kemâl Haydarî, Mine’l-Halk ile’l-Hakk: Rihletü’s-
Sülûk fî Esfârihi’l-Erba’a.
49 Bursevî, a.g.e., 19.
50 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 21-27. 47 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 8-9.
48 B
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i fik i i Heyûlânî İnancın Ontolojisi: Hazarât-ı Hamse İnsan-ı Kâmil’in bütün inançların sûretlerini kabul edici olması Vahdet-i Vücûd ontolojisinin
iki ana esasına dayalıdır. Bunların ilki Tanrı’nın zâtının mutlak vücûd olmasıdır. Bunun anlamı
Tanrı’nın zât açısından sınırsız ve sonsuz bir varlık olmasıdır.51 Diğer bir ifadeyle Tanrı ne kelâm ne
de İslâm felsefe geleneğinde kabul edildiği üzere âlemin ontolojik olarak sınırladığı bir varlıktır. Bilakis bütünüyle âlem O’nun kemâlâtına ait ilm-i ilâhîdeki sûretlerinin mutlak hayal adı verilen bir
tür sanal gerçeklikte yine Tanrı’nın mutlak vücûdu ile varlık kazanmasından ibârettir. Bu açıklamada
da ifade edildiği üzere âlem ilâhî kemâlât olan ilâhî isimlerin bir sonucudur. Burada Vahdet-i Vücûd
ontolojisinin ikinci ana esası olan ilâhî isimler karşımıza çıkar. İşte kâmil insanın heyûlânî olması yani
mutlaklığı nedeniyle her türlü inancın sûretini kâbil olması bu isimler ontolojisinin bir sonucudur. Zîrâ bu ontoloji âlemdeki her bir şeyin hakîkatinin ilâhî bir ismin ilm-i ilâhîdeki değişmez sûreti (ayn-
ı sâbite) olduğu52 ve insanın da ilm-i ilâhîde böyle bir hakîkatinin bulunduğu tezine dayanır.53 Bu teze
göre insanın ilm-i ilâhîdeki hakîkati âlemdeki her şeyin hakîkatini kendisinde toplayan bir ismin
(Allah) sûretidir. Yukarıda da gösterildiği üzere Vahdet-i Vücûd doktrini, kemâli bir tahakkuk ve
aynîleşme olarak kabul etmektedir. Bunun gerçekleşmesini ise insanın seyr u sülûk adı verilen
süreçle Tanrı’nın ilmindeki sâbit hakîkatine ermeye bağlar. Bu sâbit hakîkate ermek ise sâlikin Küllî
Nefs’e ulaşması ve onda kendi hakîkatini bulması ve bu yolla fenâya ererek mutlaklaşmasını sağlayan
epistemolojik yolculukla mümkün kılınmaktadır. Dolayısıyla bu ontolojinin hedefi insanın, hakîkati
Tanrı’da sâbit bir ilmî sûret olması nedeniyle Tanrı’ya erebileceği ve Onda fenâ bulabileceğini
göstermektir. Bundan dolayı Bursevî ârifin kendi hakîkatini bilmesi ve tanıması, bu yolla
mutlaklaşması ve heyûlânî inanca sahip olmasının hazarât-ı hamse-i ilâhiyeyi bilmekle ilişkili olduğu
görüşündedir. Zîrâ hazarât teorisi insanın Tanrı’da fenâ bulması ve mutlaklık tecrübesi yaşamasının
ontolojik imkânının zeminini teşkil etmektedir. Bu nedenle Bursevî, risâlede bu beş ilâhî mertebeyi
de kısaca açıklar. Beş ilâhî mertebe veya hazarât-ı hamse veya merâtib-i vücûdu ifâde eden diğer
tasnifler aslında mutlak tekillik olan ve bu bakımdan sınırsız ve sonsuz olan Hakk’ın zâtının nasıl olup
da kesreti meydana getirdiği problemini çözmek için sûfîler tarafından geliştirilmiş bir açıklamadır. Bununla beraber Bursevî hazarât teorisini heyûlânî inancı açıklamada kullanarak onu din felsefesi
alanına uygular. Burada dikkat çeken unsur heyûlânîliğin cem edicilikle irtibatıdır. Cem ediciliğin
zirvesi ise insân-ı kâmil’e ait cevâmi’u’l-kelîm özelliğinde vücut bulan bir durumdur. 53 Burada tür olarak insan ve fert olarak insan ayrımına gitmek gerekir. Tür olarak insan türü bu cem edici ismin zuhûr
eden sûreti iken tek tek insan fertleri böyle değildir. İnsan fertleri içinde bu cem edici hakîkatin tek sahibi Vahdet-i
vücûd doktrinine göre yalnızca Hz. Peygamber’dir. (bkz. Toshihiko İzutsu, Sufism and Taoism: A Comparative Study of
Key Philosophical Concepts (USA: University of California Press, 1984), 212-285. Heyûlânî İnancın Epistemolojisi: Sâlikin Yedi Tavrı ve Üç Seferi Bursevî bu seferi kâmillerin seferi sayar. Bu seferi yaparak tekrar maddî âleme
dönüş yapan ârif, sıradan bir insan gibi yaşantısını sürdürür. Bu nedenle bu seferi yerine getirip halka
dönen ârif yemek, içmek, uyumak ve nikâhla meşgul olur. Ne ifrat ve ne de tefrit üzeredir. Sadece
itidâl ve istikāmet üzere yaşamaya devam eder. Hakk’tan âleme irfânla yapılan bu sefer, seyr-i anillah
olarak adlandırılır. Heyûlânî inancı kabul bu seferle halka dönen ârifin inancıdır. Zîrâ bu sefer ile
halka dönen ârif, mutlaklık tecrübesini yaşamış ve Hakk’ın her şeyin hakîkati olduğunu Hakk’la
bilmiştir. Bundan dolayı her sûrette ibâdet edilenin, her din şeklinde ortaya çıkanın ve âlemdeki her
bir nesnenin hakîkatinin Hakk olduğunu anladığı için Hakk’ı bir inanç biçimine özgü kılarak
sınırlandırmaz.50 İşte bu üç sefer ve yukarıda zikrolunan yedi tavır vâsıtasıyla sâlik heyûlânî inancın Bursevî ârifin mutlaklaşma ve bu çerçevede heyûlânî inancı kazanma sürecini ârifin, kendi
başlangıç (mebde’) ve sonunu (meâd) bilip, nefsini ve Rabbini tanıması ve kendisinin nereden geldiği
ve nereye gideceğini bilmesinin gerçekleştiği üç sefer çerçevesinde açıklar.48 Ona göre bu yolculuklar
küllî yolculuklar olup bunlar olmaksızın nefsin bilinmesi ve Rabb’in bilinmesi ve böylece kemâli elde
etmek mümkün değildir. Bu seferler aynı zamanda yukarıda sayılan tavırların da temelini teşkil eder. Bu seferleri açıklarken Bursevî klasik devir nazariyesine bağlı kalır. Buna göre insanın hakîkatinin
Tanrı’nın ilminden maddî âleme doğru inişi ve son olarak insan bedeninde dünyaya gelişine kadar
olan süreci ilk sefer kabul eder. Bu seferde insan terkîb kazanır ve basitlikten çıkarak çeşitli
unsurların bileşiminden teşekkül eder. Bu sefer bir varoluş seferidir ve irâdî olarak gerçekleşmez.49 84 THEOSOPHIA Journal, Aralık 2020, Sayı1 epistemik zeminini kurar. Soyutluğu, küllîliği ve en sonunda da mutlaklığı idrâk ederek tasavvufî
hayatın tahakkuk aşamasını gerçekleştirir. Sadreddin Konevî, Miftâhu l-Gayb: Tasavvuf Metafiziği, trc. Ekrem Demirli (İstanbul: İz Yayıncılık, 2004),
Abdürrezzâk Kâşânî, Tasavvuf Sözlüğü, trc. Ekrem Demirli (İstanbul: İz yYayıncılık, 2004), 406. ,
,
52 Sadreddin Konevî, Miftâhu’l-Gayb: Tasavvuf Metafiziği, trc. Ekrem Demirli (İstanbul: İz Yayıncılık, 2004), 22
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52 Sadreddin Konevî, Miftâhu’l-Gayb: Tasavvuf Metafiziği, trc. Ekrem Demirli (İstanbul: İz Yayıncılık, 2004), 22-23;
Abdürrezzâk Kâşânî, Tasavvuf Sözlüğü, trc. Ekrem Demirli (İstanbul: İz yYayıncılık, 2004), 406. ,
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ezzâk Kâşânî, Tasavvuf Sözlüğü, trc. Ekrem Demirli (İstanbul: İz yYayıncılık, 2004), 406. Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 28-30.
İ
İ 52 Sadreddin Konevî, Miftâhu’l-Gayb: Tasavvuf Metafiziği, trc. Ekrem Demirli (İstanbul: İ
Abdürrezzâk Kâşânî, Tasavvuf Sözlüğü, trc. Ekrem Demirli (İstanbul: İz yYayıncılık, 20 54 Bursevî’nin hazarât-ı hamse görüşü, Cürcânî’nin (ö. 816/1413) Ta’rîfât’ındaki Hazarât maddesinin (Seyyid Şerîf
Cürcânî, et-Ta‘rîfât (Beyrut: Dâru’l-Kütübi’l-İlmiyyye, 2003), 93.) kendince bir yorumuna dayanır. Bununla beraber bu
görüşün geleneksel Vahdet-i Vücûd’cu hazarât görüşünden çeşitli yönlerden farklılaştığı görülür. Bunlara işaret edecek
olursak ona göre Lâhût diye de bilinen Mutlak Gayb hazreti varlığın ilk mertebesidir. O, bu mertebeyi zât-ı ilâhî şeklinde
tasavvur ederek bu mertebeyi hazret-i ilim sayan ve a’yân-ı sâbite âlemi olarak niteleyen Kayserî’den (ö. 751/1350)
ayrılır (bkz. Dâvûd el-Kayserî’nin hazarât-ı hamse yorumu için bkz. “Mukaddemât”, Resâil (Kayseri: Kayseri Büyükşehir
Belediyesi, 1997), 61; a.g.m., “Risâle fî İmi’t-Tasavvuf”, Resâil (Kayseri: Kayseri Büyükşehir Belediyesi, 1997), 115-117).
Bursevî bu mertebenin mutlak gayb, âlem-i lâhût, âlem-i lâ-taayyün, âlem-i ıtlāk, amâ-yı mutlak, vücûd-i mahz, vücûd-i
mutlak, zât-ı sırf, ümmü’l-kitâb, beyân-ı mutlak, nokta-yı basîta, gaybu’l-guyûb diye de isimlendirildiğini zikreder. Ona
göre bütün bu isimlendirmeler bu mertebede Hakk’ın izzet ve istiğnâ hâlinin kemâlini açıklamak içindir. Hakîkatte bu
makamda ne makam, ne mertebe, ne isim, ne tavsif ve ne de vasıflanan vardır. Hakk’ın zâtı bu mertebede saflığın en
mükemmel hâlindedir ve Hakk bu mertebede isim ve sıfatlar mertebesine inmemiştir. Bu mertebe bütün tasvir edici
isimlerin zât-ı Hak’ta silinip yok oldukları makamdır. Bursevî’ye göre ikinci hazret Ceberût’tur. O, bu hazretin aynı
zamanda muhakkikler tarafından, taayyün-i evvel, tecellî-yi evvel, akl-ı evvel, cevher-i evvel, hakîkat-i Muhammediyye,
rûh-i izâfî, rûh-i küllî, gayb-ı muzâf, kitâb-ı mübîn, âlem-i esmâ, a‘yân-ı sâbite, âlem-i mücerredât, âlem-i mâhiyyât ve
berzah-ı kübrâ diye adlandırıldığını iddia eder. Ona göre bu adların hepsi, bir bakımdan bu tek mertebenin ismidir.
Bursevî, bu mertebeye kitâb-ı mübîn denmesinin nedenini ise Ümmü’l-Kitâb’da mücmel olanın bu mertebede munfasıl
olması olarak açıklar. Bu bağlamda ona göre Ümmü’l-Kitâb ise Hakk’ın zâtıdır. Bursevî’nin burada yine Kayserî’nin
görüşünden farklı bir görüşe üzere meseleyi açıklama yoluna gittiği söylenebilir. Çünkü Kayserî, zât-ı ilâhîyi hazretlere
dâhil etmemiş, bunun yerine mutlak gayb diyerek hazret-i ilimdeki a’yân-ı sâbiteyi kastetmiş ve onunla âleme ait ilk
mertebeyi başlatmıştır. Bursevî ise birinci mertebeye mutlak gayb diyerek zât-ı ilâhîyi merâtibe dâhil etmiş ayrıca
ikinci mertebeyi hem Akl-ı Evvel, Küllî Ruh, İzâfî Ruh gibi hâricî varlık ile dış dünyada var olan şeyler saydıktan sonra
Vahdet-i Vücûd geleneğinde râiha-i vücûdu şemmetmemiş olan a’yân-ı sâbiteyle bunları aynı görmüştür. Bunun klasik
teoriyle telifi zor görülmektedir. Hazretlerin üçüncüsü âlem-i melekûttur. Bursevî buranın da muhakkikler tarafından
âlem-i misâl, âlem-i hayal, vâhidiyyet, taayyün-i sânî, tecellî-yi sânî, sidretü’l-müntehâ, âlem-i emr, berzah-i suğrâ ve
âlem-i tafsîl diye adlandırıldığını söyleyerek genel görüşün dışına çıkar. Zîrâ genel görüşe göre vâhidiyyet, taayyün-i
sânî ve tecellî-yi sânî mertebeleri vücûba ait mertebelerdir. Melekût ise Ceberût âleminde yer alan soyut akıllar ve
nefislerin hayâlî sûretler kazandığı misâl âlemidir. Dördüncü hazret, Şahâdet’tir. Bursevî bu mertebeye aynı zamanda
âlem-i mülk, âlem-i nâsût, âlem-i halk, âlem-i hiss, âlem-i anâsır, âlem-i eflâk u encüm ve âlem-i mevâlîd de denildiğini
nakleder. Âlem-i mevâlîd ile maden, bitki ve hayvan kastedilir. Arş da şahâdet âlemindendir ve cisimler âleminin
tamamını kuşatır (Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 10-13). Öte yandan bu risâlede farklı görüşler serdeden
Bursevî’nin Târîfât’taki hazarât ve İnsân-ı Kâmil maddelerini müstakil olarak şerh ettiği ve orada konuyu Vahdet-i
Vücûd doktrininin hâkim anlayışına büyük ölçüde muvafık bir şekilde yorumladığı da görülmektedir. Bkz. Bursevî,
Allah’a Yakın Olmak: Varlık Mertebeleri ve İnsân-ı Kâmil (İstanbul: Hayy Kitap, 2012). Heyûlânî İnancın Ontolojisi: Hazarât-ı Hamse Bu açıdan
Bursevî, insanı merkeze alarak ve onu bütün varlık mertebelerini kuşatan ve bütün ilâhî hakîkatleri
cem eden bir ilke konumuna taşıyarak Vahdet-i Vücûd okulunun klasik antropolojisini takip eder 85 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini görünmektedir. Bununla beraber Bursevî’nin antropoloji alanındaki muvafakatı, mertebelerin
değerlendirilmesi ve içerikleri ile ilgili yorumlarda kaybolur ki, bunlara işaret edilecektir. Bursevî’ye göre heyûlânî inancın ontolojik temeli hazarât-ı hamse teorisine Tanrı-âlem
ilişkisini açıklayarak başlar. Bu çerçevede âlem, Vahdet-i Vücûd doktrininde de kabul edildiği üzere
ilâhî isim ve sıfatların mazharı olma özelliğini hâizdir. Bu bakımdan âlem, mazharı olduğu ontolojik
hakîkatinin sonsuzluğundan dolayı sonsuzdur. Yoktan yaratma ile değil butûndan zuhûra gelme ile
ortaya çıkmıştır. Bu ortaya çıkış zaman içinde tedrîcî olarak değil bütünüyle def’aten gerçekleşir. Bursevî’nin kozmolojisinin bu açıdan geleneksel görüşün dışına çıkan ve bir tür kıdem-i âlem anlayışı
ihtiva eden bir görüş olduğu açıktır. Onun sıralamasına göre butûndan zuhûra geliş sırayla dört ilâhî hazret olan Lâhût, Ceberût,
Melekût ve Mülk hazretlerinin birbirlerinden zuhûrlarıyla meydana gelir.54 Bu dört hazret yani Mülk,
Melekût, Ceberût ve Lâhût, öncesi ve başlangıcı, sonrası ve sonu olmadığından ezelî ve ebedîdir. Zât
veya Lâhût, Ceberût’u zuhûra getirir. Ceberût, Melekût’u, Melekût Mülk’ü zuhûr ettirir. Burada bahsi
geçen zuhûrlar Hakk’ın zâtının meyletmesi ve bu meylin gereği olarak ortaya çıkar. Bunların hepsi
bir göz kırpma süresi hatta daha kısa bir müddet içinde zuhûr etmiş ve Hakk’ın zâtından var
olmuştur. Bursevî, âlemin kıdemini iddia eden bu ontolojide kadîm-hâdis ve vâcib-mümkün ayrımın
ortadan kalkma tehlikesinin farkındadır. Bu nedenle mümkünün ontolojik olarak nasıl zuhûr ettiğini
açıklayarak sorunu çözmeye çalışır. Buna göre mümkün, aslında bir deniz gibi olan ilâhî zâtın 86 THEOSOPHIA Journal, Aralık 2020, Sayı1 dalgalanmasında ortaya çıkan bir dalgadır. Deniz kadîm, dalga hâdis veya mümkündür. Baştan sonra
bütün vücûd Hakk’ın mutlak vücûddan ibaret olan zâtıdır. Mevcûdlar bu vücûddan zuhûr
etmektedirler. Mutlak vücûdun varlık tecellîsi mevcûdlardan kesilse o an bütün mevcûdât yok olur.55 Bursevî’nin heyûlânî inancı temellendiren ontolojisinin zirve noktası ise beşinci hazret olan
İnsân-ı Kâmil’de görülür. Bu hazret zirvedir çünkü yukarıda zikrolunan ve fenâ ve mutlaklaşma
sürecinde ifadesini bulan bütün heyûlânî inanç epistemolojisi ve ontolojisi İnsân-ı Kâmil hazretiyle
anlam kazanmaktadır. Bursevî bu hususta tamamen Vahdet-i Vücûd’un antropolojisinin iddialarını
sürdürür. İnsanı kuşatıcılığı en geniş kapsama sahip âlem sayar. Zîrâ insan hem ilâhî hem de kevnî
hakîkatleri kendisinde toplar. 57 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 13-19. Heyûlânî İnancın Ontolojisi: Hazarât-ı Hamse Yani cevâmi’-i esmâya ve cevâmi’u’l-kelîme sahiptir.56 Diğer bir
ifadeyle o, bir taraftan en kapsamlı ismin mazharı olması nedeniyle eşyanın hakîkatlerinin hakîkati
olan Tanrı’nın zâtıyla paraleldir ve bir imago dei-sûret-i ilâhîdir. Diğer taraftan ilâhî isimlerin tek tek
mazharları olan âlemin hakîkatlerini cem edici ismi nedeniyle kendinde toplaması nedeniyle bir
brevis mundus-zübde-i âlemdir. İnsan bu özelliğini en kuşatıcı ilâhî ismin mazharı olmasına
borçludur. İşte Bursevî’ye göre bir sâlik bir ârif vasıtasıyla kendi nefsini bildiğinde bu mânâyı
keşfedecektir. Bunun sonucunda kendisinin bütün âlemi içerdiğini ve küllî bir mevcûd olduğunu
anlayan sâlik her bir varlık mertebesini o mertebeye uygun idrâk araçlarını kullanarak algılar. Bursevî kâmil insanın kuşatıcılığının genişliğine bir sınır çizilmesinin imkânsızlığına dikkat
çeker. Bu açıdan süflî ve ulvî boyutlarıyla bütün âlem onun kalbinde neredeyse hiç yer kaplamayan
bir yapıdadır. Dolayısıyla bu ontolojinin gereği olarak bu kuşatma özelliğini epistemik olarak fark
eden ârif, geri dönüş seferinde her yüzden görünen tecellînin mutlak olan Hakk’ın tecellîsi olduğunu,
inanç ve dinlerin de bu tecellîlerden olduğunu keşfettiği için kendisini mecâzî bir inançla
sınırlandırıp Hakk’ın diğer tecellîyâtını inkâr etmez. Bilakis bütün yüzlerdeki ve inanç biçimlerindeki
tecellîlerini kâbil olup onlardan mutlak olarak Hakk’ı bilir.57 İşte bu ontolojik tasavvur ârifin heyûlânî
inanca sahip olmasının ve bütün inanç sûretlerini kabul ediciliğini temin eden aslî unsurdur. 56 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 31. 55 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 13. Sonuç Bu makalede sistemli ve kendi içerisinde iç tutarlılığı sağlam bir dünya görüşü olan Vahdet-i
Vücûd doktrinin din felsefesinde önemli bir yer tutan ârifin bütün itikatları kabul eden bir heyûlâ
olması hususu İsmâîl Hakkî Bursevî’nin kısa risâlesi çerçevesinde incelendi. Buna göre ârif bütün
inançları kabul eden heyûlânî bir inanca sahiptir. Bunun nedeni Vahdet-i Vücûd doktrininin
antropoloji teorisidir. Buna göre insan Vahdet-i Vücûd’un ilâhî isimlere dayalı varlık teorisinde en
geniş kapsamlı mertebedir. Bundan dolayı insan, küllîlik ve mutlaklık özellikleriyle her şeyi
kuşatmaktadır. İnsanın bu kuşatıcılığı ontolojik açıdan mutlaklaşması ve küllîleşmesi sürecini ifade
eden sülûk yolcuğunun bir sonucudur. Bu sonuç insanın Hakk’tan halka, halktan Hakk’a ve Hakk’tan
tekrar halka dönüş seferleri ve bu seferlerde geçilen yedi tavır ile elde edilebilir. Ârif bu mertebeleri
geçerek mutlaklaşan kişidir. 87 M. Bedirhan - Heyûlânî İnanç: İsmâîl Hakkî Bursevî’ye Göre Ârifin Dini Küllîlik ve mutlaklık süreçlerini tamamlayan ârif, halkın arasına döndüğünde bütün âlemi
mutlak olan Hakk’ın tecellîlerinden ibaret görür. Bundan dolayı hiçbir şekilde kendisini
sınırlandırmaz. Bu sınırsızlık durumu inançlar ve dinler alanında da kendisini gösterir. Bu nedenle
ârif her sûrette Hakk’ın vechini gören, her tapınılan sûretin gerçekte Hakk’a ait sûretlerden biri
olduğunu bilen ve bundan dolayı hiçbir inanç biçimini inkâr etmeyen kişidir. Bununla beraber ârif bu
heyûlânî inancı dinsizlik ya da mezhepsizlik anlamı taşımamaktadır. Onun dini ve mezhebi Allah’ın
dilediği ve kabul ettiği din ve mezheptir. Bu bakımdan ârif Allah’ın dini ve Rabb’inin mezhebi
üzeredir. Bu açıdan ârif sosyolojik açıdan kurumsallaşmış bir dinin mensubu olmamakla beraber
indirilmiş dinin Allah katındaki özü ile tedeyyün etmiş Muhammedî mertebeyi keşfen müşâhede
mertebesine ulaşmış bir Müslüman’dır ve bunu günlük hayatında pratik olarak yaşayan kişidir. Dolayısıyla ahlâkî kural tanımazlık ve dinsizlik gibi ithamlar ona erişmekten uzaktır. Kaynakça Baş, Derya. “Abdullah Bosnevî’nin Tecelliyâtü Arâisi’n-Nusûs’unda Teşbih ve Tenzihe Dair
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1993. ülemî, Ebû Abdurrahmân. Tabakâtu’s-Sûfiyye. thk. Nureddin Şeribe. Kahire: Câmiatü’l-Ezher Sülemî, Ebû Abdurrahmân. Tabakâtu’s-Sûfiyye: İlk Zâhid ve Sûfîler. trc. Abdürrezzak Tek. Bursa:
Bursa Akademi, 2018. Sülemî, Ebû Abdurrahmân. Tasavvufun Ana ilkeleri: Sülemî’nin Risâleleri. trc. Süleyman Ateş. Ankara: Ankara Üniversitesi Yayınları, 1981. Süleyman Uludağ, “Ârif”, TDV İslâm Ansiklopedisi. İstanbul: Diyanet Vakfı Yayınları, 1991. Şimşek, Selami. Tasavvuf Edebiyatı Sözlüğü. İstanbul: Litera Yayıncılık, 2017. 89 89
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English
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Independent, structurally distinct transitions to microfruticose growth in the crustose genus <i>Porina</i> (<i>Ostropales, Lecanoromycetes</i>): new isidioid species from south-western Florida
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Lichenologist/The Lichenologist
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Abstract Porina is a widely distributed, species-rich genus of crustose, lichen-forming fungi, some with thalline outgrowths that have been recognized
as isidia. We studied three taxa with thalli consisting chiefly of ascending isidioid structures occurring on trunks and branches of Taxodium
in southwestern Florida, and provide details of their structure with light and electron microscopy. Two of these taxa we describe as new
species: P. microcoralloides and P. nanoarbuscula. Genetic sequences (mtSSU) suggest that they are closely related to each other, yet
they differ markedly in the size, morphology and anatomical organization of their isidioid branches as well as in the length of their ascos-
pores. In the three Floridian taxa studied, the crustose portion of the thallus is partly endophloeodic and partly superficial, the latter often
patchy, evanescent or inconspicuous, and completely lacks the differentiated anatomical organization characteristic of the isidioid structures
arising from it. In Porina microcoralloides, the ascendant thallus consists of branched, coralloid inflated structures with phycobiont
(Trentepohlia) unicells arranged at the periphery of a loose central medulla. Sparse fungal cells are interspersed and overlie the algal
layer in places, but no differentiated cortex is present, leaving phycobiont cells more or less exposed at the surface. In the closely related
Porina nanoarbuscula, the isidioid structures are much finer, more densely branched, and composed of a single, central file of roughly
spherical Trentepohlia cells surrounded by a jacket of subglobose fungal cells. The ascospores of P. microcoralloides are more than twice
the length of those of P. nanoarbuscula. Although thalli of these two Porina species occur in the same habitats and are sometimes
found growing alongside each other, phylogenetic analysis of rbcL sequences suggest that they partner with distinct clades of
Trentepohlia phycobionts. A third taxon examined, Porina cf. scabrida, is morphologically rather similar to P. microcoralloides, but the
ascendant branches are bright yellow-orange, more cylindrical, and corticated by a thin layer of agglutinated fungal hyphae; perithecia
were not seen. Analysis of mtSSU sequences places it distant from P. microcoralloides and P. nanoarbuscula phylogenetically. None of
the Floridian taxa studied was particularly close to the European isidiate species Porina hibernica and P. pseudohibernica, which appeared
as sister to each other in the analysis. While a particular type of isidiose structure may be reliably characteristic of specific taxa, similarities
or differences in these structures do not seem to be useful indicators of phylogenetic proximity or distances among taxa. The Lichenologist (2023), 55, 347–365
doi:10.1017/S0024282923000440 The Lichenologist (2023), 55, 347–365
doi:10.1017/S0024282923000440 The Lichenologist (2023), 55, 347–365
doi:10.1017/S0024282923000440 The Lichenologist (2023), 55, 347–365
doi:10.1017/S0024282923000440 Abstract The morphological
trends evident in Porina suggest that multiple transitions from crustose to isidioid or microfruticose growth have arisen repeatedly and in
quite different ways within this single genus. At least some of the diverse structures treated within the broad concept of isidia may be rep-
resentative of the developmental pathways by which fruticose growth forms may arise. Keywords: epiphytic; isidia; lichens; mycobiont; phylogeny; Trentepohlia (Accepted 5 June 2023) (Accepted 5 June 2023) Independent, structurally distinct transitions to microfruticose
growth in the crustose genus Porina (Ostropales, Lecanoromycetes):
new isidioid species from south-western Florida Independent, structurally distinct transitions to microfruticose
growth in the crustose genus Porina (Ostropales, Lecanoromycetes):
new isidioid species from south-western Florida William Sanders1
, Roberto De Carolis2, Damien Ertz3
, Asunción de los Ríos4 and Lucia Muggia2
1Department of Biological Sciences, Florida Gulf Coast University, Ft Myers, FL 33965-6565, USA; 2Department of Life Sciences, University of Trieste, 34127 Trieste,
Italy; 3 Department Research, Meise Botanic Garden, BE-1860 Meise, Belgium; and Fédération Wallonie-Bruxelles, Service Général de l’Enseignement Supérieur et de
la Recherche Scientifique, BE-1080 Bruxelles, Belgium and 4Departamento de Biogeoquímica y Ecología Microbiana, Museo Nacional de Ciencias Naturales (CSIC),
E-28006, Madrid, Spain © The Author(s), 2023. Published by Cambridge University Press on behalf of the British Lichen Society. This is an Open Access article, distributed under the terms of the Creative
Commons Attribution-NonCommercial-ShareAlike licence (https://creativecommons.org/licenses/by-nc-sa/4.0/), which permits non-commercial re-use, distribution, and reproduction
in any medium, provided the same Creative Commons licence is included and the original work is properly cited. The written permission of Cambridge University Press must be
obtained for commercial re-use. Corresponding author: William Sanders; Email: wsanders@fgcu.edu
Cite this article: Sanders W, De Carolis R, Ertz D, de los Ríos A and Muggia L (2023)
Independent, structurally distinct transitions to microfruticose growth in the crustose
genus Porina (Ostropales, Lecanoromycetes): new isidioid species from south-western
Florida. Lichenologist 55, 347–365. https://doi.org/10.1017/S0024282923000440 Corresponding author: William Sanders; Email: wsanders@fgcu.edu Introduction Additionally, most species of the hyperdiverse genus
Cladonia have dimorphic thalli, where fruticose axes arising
from the horizontal thallus are thought to be homologous
with apothecial stipe tissue that later acquired an algal layer and
assimilative function (Krabbe 1891; Jahns 1970; Ahti 1982). Nonetheless, a single basic growth form is usually characteristic
of a given genus, with relatively few exceptions (e.g. Tehler &
Irestedt 2007; Sohrabi et al. 2013). Indeed, lichen growth form
may sometimes indicate phylogenetic relationships better than
other characters, even at higher taxonomic levels, such as the alec-
torioid clade within the Parmeliaceae (Crespo et al. 2007). Thus, it
appears that where growth form and its strategic implications are
concerned, lichen lineages have tended to be conservative, at least
at the lower taxonomic levels. Trentepohlia photobionts, often without a well-developed basal
crustose thallus. The identities of the lichens, which were initially
found without sexual structures, remained mysterious until
molecular sequences and eventually perithecia indicated their
affinities within the genus Porina. As one of the larger lichen-
forming fungal genera, Porina currently includes some 140–300
species,
depending
on
circumscription
(McCarthy
2013;
Lücking et al. 2017). They occur on bark, rock and leaf substrata,
with the highest diversity in humid subtropical and tropical
regions. Porina is known as a genus of crustose lichens, with sev-
eral species described as isidiate (Swinscow 1962; James 1971;
Harris 1995; Cáceres et al. 2013; Tretiach 2014; Diederich et al. 2017; Orange et al. 2020; Ertz & Diederich 2022). In the present
work, we attempt to better understand the structural and phylo-
genetic context of such morphological transitions within the
genus Porina. We describe and compare the structure of our isidi-
ate/microfruticose Porina collections using light and scanning
electron microscopy, and examine molecular markers to determine
phylogenetic placement among other Porina species for which
sequences are available. Additionally, since unstratified crustose
lichens commonly show intracellular haustorial penetrations
while fruticose lichens are usually found to have non-intrusive
fungal-algal contacts (Tschermak 1941; Honegger 1986), we exam-
ine symbiont interfaces with TEM to see how this paradigm might
apply in our structurally transitional lichen collections. From a principally two-dimensional thallus, however, some
degree
of
vegetative
upgrowth
and
branching
in
three-
dimensional space may also occur. This is evident in the forma-
tion of isidia, appendicular organs of diverse structure, develop-
ment,
and
phylogenetic
origin
(Beltman
1978). Introduction dimensional space by growing and branching upward and out-
ward as fruticose forms. While still only partially explored,
there can be significant ecological implications associated with
lichen growth forms and overall thallus morphology (e.g. Larson & Kershaw 1976; Pintado et al. 1997; Sojo et al. 1997;
Esseen et al. 2015). For example, ascending forms may overgrow
and outcompete lower-growing crustose lichens and bryophytes
for light (Jahns 1988), as occurs in vascular plant communities. The more extensive surface area of fruticose forms may be
more efficient in condensing and absorbing moisture from fog A majority of lichens develop within the mainly two-dimensional
confines of crustose or appressed foliose growth forms closely
associated with the substratum surface. Others exploit three- Cite this article: Sanders W, De Carolis R, Ertz D, de los Ríos A and Muggia L (2023)
Independent, structurally distinct transitions to microfruticose growth in the crustose
genus Porina (Ostropales, Lecanoromycetes): new isidioid species from south-western
Florida. Lichenologist 55, 347–365. https://doi.org/10.1017/S0024282923000440 © The Author(s), 2023. Published by Cambridge University Press on behalf of the British Lichen Society. This is an Open Access article, distributed under the terms of the Creative
Commons Attribution-NonCommercial-ShareAlike licence (https://creativecommons.org/licenses/by-nc-sa/4.0/), which permits non-commercial re-use, distribution, and reproduction
in any medium, provided the same Creative Commons licence is included and the original work is properly cited. The written permission of Cambridge University Press must be
obtained for commercial re-use. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 348 William Sanders et al. and dew, but will lose moisture more readily when drying condi-
tions prevail (Larson 1981). The energetic costs associated with
extensive, supportive mycobiont tissues may also limit the practi-
cality of such thallus forms in warm, humid climates where high
respiration rates result in substantial carbon loss at night and
under low light conditions (Zotz & Winter 1994). On a broad
scale, evolutionary transitions between crustose and fruticose
growth forms have occurred many times among lichen-forming
fungi, and in both directions. In a few remarkable cases, they
may be observed within a single species (e.g. Lecanora swartzii
(Ach.) Ach.; Poelt 1989), and apparently correlated with environ-
mental gradients (Weber 1967; Kunkel 1980; Pérez-Ortega et al. 2012). Introduction They are
common in foliose and fruticose lichens, occurring more rarely
in crustose forms (Jahns 1973), and have long been considered
useful as a distinguishing character at species-level (Poelt 1973). Isidia are integral components of the thallus that arise as pro-
tuberances of the upper cortex, incorporating fungal and algal
tissue as they develop (Hale 1983; Barbosa et al. 2009). The con-
cept of isidia is very broad. Some are transitional with soredia,
erumpent symbiotic propagules arising from below the cortex,
but isidia are usually distinguished from soredia by their posses-
sion of a cortex (Jahns 1973; Beltman 1978). Those isidia that are
easily detached may serve, like soredia, as vegetative diaspores
(Honegger 1987a; Scheidegger 1995; Zoller et al. 2000), while
the basal scars left upon the thallus may aid in CO2 diffusion,
as do pseudocyphellae. Sturdier, less easily detached isidia
increase thallus surface area for photosynthesis and condensation,
absorption or external storage of moisture (Jahns 1984; Rikkinen
1997; Tretiach et al. 2005); they may also allow more efficient
assimilation of CO2 (Tretiach et al. 2005). Such isidia permit
the lichen to take at least partial advantage of three-dimensional
space for additional access to light, carbon and/or moisture
resources, on a more limited scale than fully fruticose thalli but
without relinquishing the extensive contact with substratum
resources enjoyed by the underlying thallus. Thus, a lichen’s
adoption of two-dimensional versus three-dimensional growth
patterns has functional significance for its success. Repeated tran-
sitions between these growth strategies within a single genus are
therefore likely to indicate substantial environmental selection
pressures exerted upon morphology. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press Sample collection and microscopy Lichens were collected on Taxodium bark within and near the
margins of seasonally flooded groves on the Florida Gulf Coast
University
campus,
at
a
nearby
residential
community,
at
Corkscrew
Swamp
Sanctuary,
and
at
Corkscrew
Regional
Ecosystem Watershed (CREW) in Lee County and Collier County,
Florida. Voucher/type specimens will be deposited at FLAS
(University of Florida), with duplicates at BR and TSB herbaria. y
p
Thalli were examined and photographed with an Olympus
SZX12 dissecting microscope equipped with an Infinity 3S cam-
era. Fruticose branches and hand sections of perithecia were wet
mounted in tap water, 10% KOH (K), or in Lugol’s iodine solu-
tion (1% I2) without (I) or with K pre-treatment (KI), and photo-
graphed through an Olympus BX51 compound microscope. Colour
reactions of the thallus were studied using K, common household
bleach
(C),
crystals
of
para-phenylenediamine
dissolved
in
ethanol (PD) and long wave UV (366 nm). Ascospores measure-
ments
are
indicated
as
(minimum
value–)mean(–maximum
value), followed by the number of measurements (n). y
Specimens were affixed to SEM stubs with carbon adhesive, coated
with gold, and examined with an FEI Inspect scanning electron
microscope (Thermo Fisher Scientific, Waltham, Massachusetts). Specimens selected for embedding were hydrated in Petri
dishes with moist filter paper 24 h prior to further processing
according to de los Ríos & Ascaso (2002). The samples were
then fixed in 3% glutaraldehyde in 0.1 M phosphate buffer (pH
7.1) for 3 h at 4–5 °C, with vacuum infiltration for three
10-min periods inside a desiccator during the initial portion of
the fixation period. Specimens were then washed three times,
30 min each, with phosphate buffer at room temperature, followed
by post-fixation in 1% osmium tetroxide for 5 h in the dark. The
post-fixed material was then washed three times in buffer, dehy-
drated in an ethanol series followed by propylene oxide, then p
p
p
gy
In south-western Florida, recent examination of lichen com-
munities on Taxodium bark revealed several phenotypically dif-
ferent types of minutely fruticose thallus structures containing 349 The Lichenologist Table 1. Porina specimens newly sequenced and included in the phylogenetic analyses of the present study, with their collection and DNA extraction numbers and
NCBI Accession codes for the ITS, mtSSU and rbcL marker sequences obtained. NAS and WBS refer to collection numbers of N. A. Sanderson and the first author,
respectively; TSB refers to collections accessioned at the University of Trieste Herbarium. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press Sample collection and microscopy Lichen species
WBS / TSB ID
Samples ID
mtSSU
ITS
rbcL
Porina hibernica
NAS 2894
L4415
OR036953
-
OR053633
P. hibernica
NAS 2895
L4416
-
-
OR053634
P. hibernica
NAS 2896
L4417
OR036954
OR036908
OR053635
P. microcoralloides
WBS 20423.11b
L3124
OR036926
-
OR053611
P. microcoralloides
WBS 20424.5
L3125
OR036927
-
OR053612
P. microcoralloides
WBS 20511.2
L3126
OR036928
-
OR053622
P. microcoralloides
WBS 20423.9
L3127
OR036929
-
OR053613
P. microcoralloides
WBS 20423.6
L3128
OR036930
-
OR053614
P. microcoralloides
WBS 20510.3
L3131
OR036933
-
OR053617
P. microcoralloides
WBS 20425.1
L3134
OR036935
-
OR053619
P. microcoralloides
WBS 20506.3
L3136
OR036937
-
OR053621
P. microcoralloides
WBS 20510.2
L3137
-
-
OR053623
P. microcoralloides
WBS 21312.16
L4243
OR036944
-
OR053628
P. microcoralloides
WBS 21312.17
L4244
OR036945
-
-
P. microcoralloides
WBS 21320.5
L4245
OR036946
-
-
P. microcoralloides
WBS 21502.2
L4246
OR036947
-
OR053629
P. microcoralloides
WBS 21410.1
L4247
OR036948
-
OR053630
P. microcoralloides
WBS 21425.6
L4248
OR036949
-
OR053631
P. nanoarbuscula
WBS 20511.3
L3129
OR036931
-
OR053615
P. nanoarbuscula
WBS 20423.1
L3130
OR036932
OR036909
OR053616
P. nanoarbuscula
WBS 20424.4
L3133
OR036934
-
OR053618
P. nanoarbuscula
WBS 21320.1
L4236
-
OR036914
-
P. nanoarbuscula
WBS 21403.5
L4237
OR036938
OR036913
OR053624
P. nanoarbuscula
WBS 21421.5
L4238
OR036939
OR036912
OR053625
P. nanoarbuscula
WBS 21421.8
L4239
OR036940
OR036911
-
P. nanoarbuscula
WBS 21502.2
L4240
OR036941
OR036910
OR053626
P. pseudohibernica
TSB 44450
L4360
OR036950
OR036902
-
P. pseudohibernica
TSB 44451
L4361
OR036951
OR036906
OR053632
P. pseudohibernica
TSB 44452
L4362
-
OR036907
-
P. pseudohibernica
TSB 44453
L4363
-
OR036903
-
P. pseudohibernica
TSB 44454
L4364
-
OR036905
-
P. pseudohibernica
TSB 44455
L4365
OR036952
OR036904
-
P. cf. scabrida
WBS 21212.7
L4241
OR036942
-
OR053627
P. cf. scabrida
WBS 21320.3
L4242
OR036943
-
-
Porina sp. WBS 20509.4
L3135
OR036936
-
OR053620 Molecular analyses: DNA extraction, PCR amplification and
sequencing
Genomic DNA was extracted from a total of 35 lichen thalli
(Table 1), following the CTAB protocol according to Cubero et al. (1999). The Floridian samples used for DNA extraction corre-
sponded to those that were morphologically studied; two samples
of Porina hibernica P. James & Swinscow and three of P. Molecular analyses: DNA extraction, PCR amplification and
sequencing
Genomic DNA was extracted from a total of 35 lichen thalli
(Table 1), following the CTAB protocol according to Cubero et al. (1999). Phylogenetic analyses The phylogenetic analyses of Porina mycobionts included the
newly generated mtSSU and ITS sequences, plus 139 sequences
retrieved from NCBI for the mtSSU locus and 38 for the ITS
locus. All sequences were aligned in a comprehensive dataset indi-
vidually constructed for each locus. For those samples for which
both ITS and mtSSU sequences were available (i.e. those 15
retrieved from NCBI and nine new samples we collected), a multi-
locus concatenated dataset was prepared in MEGA11 (Tamura
et al. 2021). Coenogonium leprieurii (Mont.) Nyl., C. luteum
(Dicks.) Kalb & Lücking, C. pineti (Ach.) Lücking & Lumbsch,
Gyalidea praetermissa Foucard & G. Thor and Sagiolechia protu-
berans (Ach.) A. Massal. were selected as outgroups, according to
Orange et al. (2020) and Ertz & Dieterich (2022), for the mtSSU
dataset; Porina austroatlantica P.M. McCarthy & Fryday and
Porina multipuncta (Coppins & P. James) Ertz, et al. were selected
as outgroups for the ITS dataset, according to Orange et al. (2020), and P. austroatlantica was also set as outgroup for the
concatenated ITS + mtSSU dataset. The phylogenetic analyses of
the photobiont included the newly generated rbcL sequences
and 444 sequences retrieved from NCBI, including the genera
Trentepohlia and Printzina, while as outgroups the species
Batophora
oerstedii,
Bornetella
nitida,
Bryopsis
hypnoides,
Caulerpa prolifera, Halimeda discoidea, H. opuntia, Polyphysa
peniculus and Ulva linta were selected (according to Rindi et al. (2009) and Borgato et al. (2022)). The alignments were performed
using MAFFT v.7 (Katoh et al. 2002) with MSA algorithm set on
100 bootstrap replicates and G-ins-I as the substitution model,
and then manually adjusted in BioEdit v.7.2.5 (Hall 1999). In contrast with substratic thallus portions, the ascending
isidioid structures had a distinctly stratified anatomy. They were
composed of a central region of sparse fungal hyphae surrounded
by a peripheral layer of subspherical algal cells (Fig. 2A, C & D). Some fungal cells were exterior to, as well as interspersed
among, the algal symbionts, and a largely acellular epilayer of
material associated with these fungal cells was sometimes evident
in sections (Fig. 2E), but no organized cortex was present
(Fig. 3A–D). Indeed, algal cells were often visible at the exterior
surface in scanning electron micrographs (Fig. 3C, D & F). Structural features of the material examined Porina microcoralloides. The ascending thallus consisted of
somewhat irregularly swollen, branching, coralloid microfruticose
structures, ranging in colour from yellowish brown to dark brown
or dark olive green (Fig. 1A–F & K). The crustose thallus at the
base of these structures appeared patchy, often inconspicuous or
evanescent (Fig. 1B, C & E). Basal thallus portions comprising
a superficial crust consisted of a mixture of scattered fungal
hyphae and individual rounded cells or short filaments of
Trentepohlia phycobionts, without any discernable organization
into discrete tissue layers (Fig. 2A). Material associated with the
cell walls of some of the superficial fungal cells formed a chiefly
acellular epilayer at the surface of the crustose thallus (Fig. 2A). In other places, the basal thallus consisted of mycobiont hyphae
and Trentepohlia cells growing loosely over the substratum
(Fig. 3E) and/or occupying empty cell lumina of the bark substra-
tum (Fig. 2B, C & F), from which isidioid structures emerged dir-
ectly (Figs 2B, 3G & H). Sample collection and microscopy The Floridian samples used for DNA extraction corre-
sponded to those that were morphologically studied; two samples
of Porina hibernica P. James & Swinscow and three of P. Molecular analyses: DNA extraction, PCR amplification and
sequencing infiltrated in a 1:1 mixture of propylene oxide and Spurr’s low-
viscosity resin. The following day, the specimens were infiltrated
with fresh resin, left for three days in the refrigerator, then poly-
merized at 60 °C. Genomic DNA was extracted from a total of 35 lichen thalli
(Table 1), following the CTAB protocol according to Cubero et al. (1999). The Floridian samples used for DNA extraction corre-
sponded to those that were morphologically studied; two samples
of Porina hibernica P. James & Swinscow and three of P. Genomic DNA was extracted from a total of 35 lichen thalli
(Table 1), following the CTAB protocol according to Cubero et al. (1999). The Floridian samples used for DNA extraction corre-
sponded to those that were morphologically studied; two samples
of Porina hibernica P. James & Swinscow and three of P. Semi-thin sections were cut 1–2 μm thick and stained with
toluidine blue. Ultrathin sections 79 nm thick were stained with
uranyl acetate followed by lead citrate. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 350 William Sanders et al. pseudohibernica Tretiach, collected in their type localities, were also
included. Mycobiont sequences were compared with those available
in GenBank. Part of the DNA coding for the small subunit of the
mitochondrial ribosome (mtSSU) was amplified using the primers
mrSSU1 and mrSSU3R (Zoller et al. 1999). The ITS locus was amp-
lified using the forward primer ITS1F (Gardes & Bruns 1993) and
the specific Porina reverse primer ITSPoR (5′ - CCT TGC CTG
ATC CGA AGT GAA ACC G - 3′; Orange et al. 2020). Chloroplast DNA corresponding to the large subunit of ribulose-
1,5-biphosphate carboxylase (rbcL) was amplified with the primers
rbcL803rev and rbcl320 (Nozaki 1995) to check the identity of the
photobiont. The PCR conditions for the amplification of the mtSSU
locus followed Orange et al. (2020), while those for the rbcL locus
followed Muggia et al. (2008, 2010). The PCR products were puri-
fied with Mag-Bind® Total Pure NGS; Sanger sequencing was per-
formed by Macrogen Europe, Inc. (Amsterdam) using the forward
primers for all loci. The identity of the sequences was checked
with a BLAST search (Altschul et al. 1990) in the NCBI database. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press Sample collection and microscopy that were monophyletic, fully supported, and represented by more
than two samples; they were named according to Orange et al. (2020), Ertz & Diederich (2022) and Borgato et al. (2022). Phylogenetic analyses cf. scabrida from south-west Florida. Dissecting microscope and whole mounted compound microscope
ages. A–F, P. microcoralloides. G–I, P. nanoarbuscula. Arrowheads: perithecia. J, section through plant substratum (s) with embedded thallus and underlying
rithecium (p) of P. nanoarbuscula. K, P. microcoralloides, isidioid structure whole-mounted in water. L & M, P. nanoarbuscula, isidioid structure whole-mounted
water and aniline blue, respectively. N, P. microcoralloides (lower half of image) and P. nanoarbuscula (upper half of image) growing intermixed. O & P, P. cf. abrida. Scales: A, B, C & H = 100 μm; D & N = 500 μm; E & G = 200 μm; F, I, O & P = 250 μm; J & K = 25 μm; L & M = 10 μm. (A, WBS 20425.1; B, WBS 20424.6; C,
BS 20424.6; D, WBS 20423.9; E, WBS 20425.4; F, WBS 21501.5; G, WBS 20424.4; H, WBS 20423.2; I, WBS 21421.8; J, WBS 20424.6; L & M, WBS 20423.9a; N,
BS 20423.2; O, WBS 20506.1; P, WBS 21212.7). In colour online. A B C B A C F D E D F E I G H I G H L
M L s
p
J J K K M P O N P O N Figure 1. Porina microcoralloides, P. nanoarbuscula and P. cf. scabrida from south-west Florida. Dissecting microscope and whole mounted compound microscope
images. A–F, P. microcoralloides. G–I, P. nanoarbuscula. Arrowheads: perithecia. J, section through plant substratum (s) with embedded thallus and underlying
perithecium (p) of P. nanoarbuscula. K, P. microcoralloides, isidioid structure whole-mounted in water. L & M, P. nanoarbuscula, isidioid structure whole-mounted
in water and aniline blue, respectively. N, P. microcoralloides (lower half of image) and P. nanoarbuscula (upper half of image) growing intermixed. O & P, P. cf. scabrida. Scales: A, B, C & H = 100 μm; D & N = 500 μm; E & G = 200 μm; F, I, O & P = 250 μm; J & K = 25 μm; L & M = 10 μm. (A, WBS 20425.1; B, WBS 20424.6; C,
WBS 20424.6; D, WBS 20423.9; E, WBS 20425.4; F, WBS 21501.5; G, WBS 20424.4; H, WBS 20423.2; I, WBS 21421.8; J, WBS 20424.6; L & M, WBS 20423.9a; N,
WBS 20423.2; O, WBS 20506.1; P, WBS 21212.7). In colour online. Perithecia were approximately globose with a thick, carbonized
wall, mostly immersed in the plant substratum (Fig. 4G). Phylogenetic analyses Within zones of intimate symbiont contact, algal cell walls were
invaginated to a modest degree around an intrusive protuberance
of a fungal cell whose wall often appeared reduced in thickness at
the contact point (Fig. 2G). Perithecia were approximately globose, sometimes somewhat
pyriform, and mostly immersed in the plant substratum; they pos-
sessed a thick, carbonized wall (Figs 2H, 4A & B). Ascospores
were long-bacilliform to needle-shaped, averaging 66 μm × 3.7 μm,
with c. 11–13 transverse septa (Fig. 4C–F). Porina
nanoarbuscula. Crustose
thallus
portions
on
the
substratum surface were often patchy and of limited extent
(Fig. 1G & I). They consisted of subglobose to short filamentous
photobiont cells and scattered mycobiont hyphae without
stratification
or
any
indication
of
cortical
development
(Fig. 5A). A chiefly acellular epilayer of material associated
with the cell walls of some superficial mycobiont cells often
formed at the upper surface (Fig. 5A). In other places, the sur-
face crustose layer was not developed, and ascending isidioid
structures arose from a disorganized mixture of mycobiont
and photobiont cells colonizing dead, superficial cells within
the plant substratum (Figs 1J, 5B & C). The isidioid structures
were exceptionally fine and densely branched, the branches
breaking and detaching readily upon mechanical contact (Figs
1H, 6A, B & H). They were each composed of a single central
file of more or less globose Trentepohlia cells, surrounded y
j
Maximum likelihood (ML) and Bayesian inference (BI) ana-
lyses were run for both the Porina and photobiont datasets on
the CIPRES web portal (Miller et al. 2010), using the programs
RaxML v. 8.2.12 (Stamatakis 2014) and MrBayes v. 3.2.7a
(Huelsenbeck & Ronquist 2001), respectively. The ML analysis
used the GTRGAMMA substitution model, with 1000 bootstrap
replicates; the BI was carried out setting two parallel runs with
six chains over five million generations, starting with a random tree
and sampling every 100th step. We discarded the first 25% of the
data as burn-in, and the corresponding posterior probabilities
(PPs) were calculated from the remaining trees. g
The phylogenetic trees were visualized in TreeView v. 1.6.6
(Page 1996). Species level lineages were recognized as those clades 351 The Lichenologist eripherall
b
relati el
s ollen subglobose m cobiont cells
Perithecia
ere appro imatel globose
ith a thick carbon
s
p
A
B
C
D
E
F
G
H
I
J
N
K
L
M
P
O
gure 1. Porina microcoralloides, P. nanoarbuscula and P. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press Phylogenetic analyses Perithecia were not observed in the two collections of
this taxon. Phylogenetic analyses Ascospores were bacilliform, averaging 29 × 3.3 μm, with 3–5
transverse septa (Fig. 4H–M). peripherally by relatively swollen, subglobose mycobiont cells
(Figs 1L & M, 5B & D, 6C–H). Short chains of these cells
were also occasionally seen running along the substratum sur-
face in the vicinity of the isidioid thallus (Fig. 6I). Within dif-
ferentiated symbiont contact zones, algal cell walls were
invaginated to a modest degree around the intrusive protuber-
ance of a fungal cell whose wall often appeared reduced in
thickness at the contact point (Fig. 5E). peripherally by relatively swollen, subglobose mycobiont cells
(Figs 1L & M, 5B & D, 6C–H). Short chains of these cells
were also occasionally seen running along the substratum sur-
face in the vicinity of the isidioid thallus (Fig. 6I). Within dif-
ferentiated symbiont contact zones, algal cell walls were
invaginated to a modest degree around the intrusive protuber-
ance of a fungal cell whose wall often appeared reduced in
thickness at the contact point (Fig. 5E). Porina cf. scabrida. The thallus resembled that of P. microcor-
alloides, but was orangey yellow with somewhat more vertical,
cylindrical branches (Figs 1O & P, 7A & B) containing clusters https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 352 William Sanders et al. A
E
F
G
H
D
B
C
Figure 2. Sections of resin-embedded thalli of Porina microcoralloides, examined with light microscopy (A–D) and TEM (E–G). A, unstratified crustose thallus on
surface of plant substratum (ps) at left; isidioid structure (arrow) with heteromerous anatomy at right, showing algal layer (a) surrounding medulla (m). B, isidioid
primordium (arrow) emerging from plant substratum (ps); phycobiont (a) unicells and filaments in primordium and within lumen of dead plant cells below. C, later
stage of emergence directly from plant substratum: note stratification of primordium into algal layer (a) and medulla (m). D, section through portion of a mature
isidioid structure. E, periphery of isidioid structure, with mycobiont cells (f) interspersed among algal symbionts (a) and partial epilayer of material associated with
fungal cell walls (arrowheads). F, lichen symbionts associated within the confines of substratum plant cell walls (pcw). G, intrusive symbiotic contact between
mycobiont (f) and phycobiont (a), showing local invagination of algal cell wall and thinning of fungal wall in contact zone. H, perithecium (p) developing with
delaminated layers or plant substratum (ps). Phylogenetic analyses Scales: A & H = 50 μm; B & D = 20 μm; C, E & F = 10 μm; G = 1 μm. A
E
F
G
H
D
B
C
Figure 2. Sections of resin-embedded thalli of Porina microcoralloides, examined with light microscopy (A–D) and TEM
surface of plant substratum (ps) at left; isidioid structure (arrow) with heteromerous anatomy at right, showing algal lay
primordium (arrow) emerging from plant substratum (ps); phycobiont (a) unicells and filaments in primordium and with
stage of emergence directly from plant substratum: note stratification of primordium into algal layer (a) and medulla (
isidioid structure. E, periphery of isidioid structure, with mycobiont cells (f) interspersed among algal symbionts (a) and
fungal cell walls (arrowheads). F, lichen symbionts associated within the confines of substratum plant cell walls (pcw
mycobiont (f) and phycobiont (a), showing local invagination of algal cell wall and thinning of fungal wall in contact
delaminated layers or plant substratum (ps). Scales: A & H = 50 μm; B & D = 20 μm; C, E & F = 10 μm; G = 1 μm. A
E
B A C A C B H
D D D E E H F G F G Figure 2. Sections of resin-embedded thalli of Porina microcoralloides, examined with light microscopy (A–D) and TEM (E–G). A, unstratified crustose thallus on
surface of plant substratum (ps) at left; isidioid structure (arrow) with heteromerous anatomy at right, showing algal layer (a) surrounding medulla (m). B, isidioid
primordium (arrow) emerging from plant substratum (ps); phycobiont (a) unicells and filaments in primordium and within lumen of dead plant cells below. C, later
stage of emergence directly from plant substratum: note stratification of primordium into algal layer (a) and medulla (m). D, section through portion of a mature
isidioid structure. E, periphery of isidioid structure, with mycobiont cells (f) interspersed among algal symbionts (a) and partial epilayer of material associated with
fungal cell walls (arrowheads). F, lichen symbionts associated within the confines of substratum plant cell walls (pcw). G, intrusive symbiotic contact between
mycobiont (f) and phycobiont (a), showing local invagination of algal cell wall and thinning of fungal wall in contact zone. H, perithecium (p) developing with
delaminated layers or plant substratum (ps). Scales: A & H = 50 μm; B & D = 20 μm; C, E & F = 10 μm; G = 1 μm. (Fig. 7H). https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press (Fig. 7H). Perithecia were not observed in the two collections of
this taxon. of calcium oxalate crystals. As in P. microcoralloides, phyco-
biont unicells were arranged in a distinct layer at the periphery
of a lax central medulla of mycobiont hyphae (Fig. 7C). Exterior
to the algal cells, however, a more developed layer of agglutinated
fungal hyphae formed at the surface (Fig. 7D–G); exposed phyco-
biont cells were not observed at the surface, in contrast with P. microcoralloides. At symbiont contact zones, limited invagination
of the algal cell wall was evident, with thinning of both algal and
fungal cell walls visible at the point of ‘haustorial’ intrusion Porina hibernica sample from Great Britain. For comparison,
the widely reported isidiate Porina hibernica was also studied. In the collection examined, irregular isidia-like upgrowths
emerged from a crustose thallus (Fig. 8A–C). In section, these
upgrowths appeared to lack stratification or differentiation of
symbionts
into
discrete
layers
(Fig. 8C). Mycobiont
and https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 353 The Lichenologist B
C
D
E
F
G
H
I
A
gure 3. Scanning electron micrographs of Porina microcoralloides. A–D, views of branching isidioid structures, with algal cells (a) visible at surface. E, crustose mat
f loosely organized symbionts (centre) with isidioid structures arising at periphery. F, detail of E showing Trentepohlia phycobionts (a) and associated mycobiont
ells (f). G & H, isidioid structures emerging directly from plant substratum: note absence of any crustose thallus upon substratum surface. I, isidioid fragment (i)
stablishing on substratum; note radiating attachment hyphae (arrows). Scales: A, B & H = 20 μm; C, D & F = 10 μm; E, G & I = 50 μm. B A C C C B A E F D E F D G I H I H G G Figure 3. Scanning electron micrographs of Porina microcoralloides. A–D, views of branching isidioid structures, with algal cells (a) visible at surface. E, crustose mat
of loosely organized symbionts (centre) with isidioid structures arising at periphery. F, detail of E showing Trentepohlia phycobionts (a) and associated mycobiont
cells (f). G & H, isidioid structures emerging directly from plant substratum: note absence of any crustose thallus upon substratum surface. I, isidioid fragment (i)
establishing on substratum; note radiating attachment hyphae (arrows). Scales: A, B & H = 20 μm; C, D & F = 10 μm; E, G & I = 50 μm. phycobionts inhabited dead cells of the plant substratum
(Fig. (Fig. 7H). Perithecia were not observed in the two collections of
this taxon. 8C–D), and dead cell walls of the plant substratum were
incorporated into the isidia-like upgrowth (Fig. 8C). Slight inva-
gination and substantial thinning of both phycobiont and myco-
biont cell walls was evident at sites of symbiont contact (Fig. 8E). reconstruction (see Supplementary Material Fig. S1, available
online) was concordant with the single locus phylogenies. Among Porina species for which mtSSU sequences were avail-
able, P. microcoralloides and P. nanoarbuscula were placed as well-
supported sister clades (Fig. 9). The European isidiate taxa P. hiber-
nica and P. pseudohibernica were well-supported clades sister to each
other, and not very closely related to P. microcoralloides and P. nanoarbuscula. Rather, they were placed closely to P. collina
Orange et al. and P. byssophila (Körb. ex Hepp) Zahlbr. This result
is also corroborated by the two-loci analysis (Supplementary
Material Fig. S1). The two sequenced samples of Porina cf. scabrida
were quite distant from the four aforementioned taxa in an unre-
solved clade with P. nucula Ach. One last sample of Porina, namely
L3135, was placed close to Porina cryptostoma Mont. and two
sequences of Porina nucula. This single specimen appeared similar Phylogenetic analyses A total of 29 mtSSU and 13 ITS sequences for Porina and 25 rbcL
sequences for their Trentepohlia photobionts were newly obtained
in this study. The phylogenetic inferences based on the individual
loci ITS and mtSSU of the mycobiont (Figs 9 & 10) were congru-
ent with the recent phylogenetic reconstructions presented by
Orange et al. (2020) and Ertz & Diederich (2022) for the genus
Porina. The
multilocus
(ITS + mtSSU)
phylogenetic https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 354 William Sanders et al. A
B
C
G
I
J
D
E
F
H
K
L
M
Figure 4. Perithecium and ascospores of Porina microcoralloides (A–F) and P. nanoarbuscula (G–M). A, perithecium. B, melanized perithecial wall tissue. C–E, free
ascospores. F, ascospores in ascus (C, live cell, bright field; D–F, in KOH, DIC optics). G, perithecium. H–M, free ascospores (H, live cell, bright field; I–M, in KOH, DIC
optics). Scales: A = 50 μm; B & G = 20 μm; C–F = 25 μm; H–M = 10 μm. In colour online. C
D
E F F E D C B A G H I H J M K G Figure 4. Perithecium and ascospores of Porina microcoralloides (A–F) and P. nanoarbuscula (G–M). A, perithecium. B, melanized perithecial wall tissue. C–E, free
ascospores. F, ascospores in ascus (C, live cell, bright field; D–F, in KOH, DIC optics). G, perithecium. H–M, free ascospores (H, live cell, bright field; I–M, in KOH, DIC
optics). Scales: A = 50 μm; B & G = 20 μm; C–F = 25 μm; H–M = 10 μm. In colour online. to P. cf. scabrida, and its placement elsewhere was unexpected. We
were unable to study it further in the present work. The Trentepohlia sequence obtained from the sample L3135
was placed in Clade 31 sensu Borgato et al. (2022). This clade
also included sequences obtained from lichen samples (species
of
Enterographa,
Opegrapha
and
Porina
leptalea)
from
European temperate forests. The ITS phylogeny (Fig. 10) confirmed the sister relationship
between P. hibernica (represented by a single sequence) and
P. pseudohibernica, and their distance from P. nanoarbuscula,
which was sister to P. sorediata Aptroot et al. (represented by a sin-
gle sequence). However, relatively few ITS sequences were available
from GenBank, nor were we able to obtain many from our collec-
tions. No ITS data could be obtained from P. MycoBank No.: MB 848937 MycoBank No.: MB 848937 This species resembles Porina coralloidea P. James in its isidiate
thallus and its small black perithecia but differs by having (8–)
11–13(–15)-septate ascospores of (55–)66.3(–92) × (3–)3.7(–4.5)
μm that are less septate (9–11 septa), shorter (40–57 μm) and
much broader (9–13 μm) in P. coralloidea. Type: USA, Florida, Lee County, Fort Myers, Florida Gulf
Coast University campus, Cypress swamp north of Parking
Garage 3, on Taxodium bark, 20 March 2021, W. B. Sanders
21320.5 (FLAS—holotype). Phylogenetic analyses microcoralloides, for
which several attempts at PCR amplification were unsuccessful. Taxonomy Porina microcoralloides Ertz, W. B. Sanders, R. Carolis, A. Ríos
& Muggia sp. nov. p
p
The Trentepohlia sequences we obtained from the isidiate
Porina phycobionts segregate well into separate monophyletic
clades. They
are
all
relatively
distant
from
the
other
Trentepohliaceae, forming a clearly defined major clade in the
phylogeny. Phycobiont rbcL sequences from Porina microcoral-
loides and P. nanoarbuscula thalli indicated that these two myco-
bionts were each consistently associated with a distinct pool of
Trentepohlia strains (Fig. 11; Supplementary Material Fig. S2,
available online). Only one sequence was obtained for the
Porina cf. scabrida photobiont, and it was placed close to two
sequences from free-living Trentepohlia cf. annulata and T. cf. umbrina. A single sequence was also obtained for Trentepohlia
sp. from Porina pseudohibernica, which was placed close to one
from free-living Trentepohlia annulata and others (OL956825,
OL956907) obtained from the lichen Enterographa zonata. The
three new sequences obtained from Porina hibernica formed a
single, well-supported clade. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press (Figs 1A–F, K & N, 2, 3, 4A–F) Thallus consisting of a crustose basal portion from which isi-
dioid
structures
emerged
directly;
basal
thallus
mostly https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 355 The Lichenologist d
hl
d l
l
l
l
h b
k
b
d
k b
d
k
l
h
d
f
A
B
C
D
E
5 µm
1 µm
igure 5. Sections of resin-embedded thalli of Porina nanoarbuscula, examined with light microscopy (A & B) and TEM (C–E). A, thin unstratified thallus crust on
urface of plant substratum (ps). B, isidioid structure emerging from symbionts within substratum; pcw, plant cell wall. C, fungal (f) and algal (a) symbionts among
ell walls of plant substratum (pcw). D, portion of isidioid structure showing uniseriate central strand of algal symbiont (a) and surrounding mycobiont cells (f); ih,
ntrahyphal hypha. E, intrusive symbiotic contact between mycobiont (f) and phycobiont (a), showing local invagination of algal cell wall and thinning of fungal
wall in contact zone. Scales: A = 20 μm; B = 10 μm; C & D = 5 μm: E = 1 μm. A
B
C
E D D A C
5 µm E
1 µm C C E Figure 5. Sections of resin-embedded thalli of Porina nanoarbuscula, examined with light microscopy (A & B) and TEM (C–E). A, thin unstratified thallus crust on
surface of plant substratum (ps). B, isidioid structure emerging from symbionts within substratum; pcw, plant cell wall. C, fungal (f) and algal (a) symbionts among
cell walls of plant substratum (pcw). D, portion of isidioid structure showing uniseriate central strand of algal symbiont (a) and surrounding mycobiont cells (f); ih,
intrahyphal hypha. E, intrusive symbiotic contact between mycobiont (f) and phycobiont (a), showing local invagination of algal cell wall and thinning of fungal
wall in contact zone. Scales: A = 20 μm; B = 10 μm; C & D = 5 μm: E = 1 μm. endophloeodal or rarely growing loosely over the bark substra-
tum, ecorticate, consisting of a mixture of individual rounded
cells or short filaments of trentepohlioid photobiont cells and
scattered mycobiont hyphae without stratification; isidioid
structures often abundant, forming dense clusters c. 0.1–1 mm
diam. or covering more or less evenly larger areas of the substra-
tum, ascending, richly branched-coralloid, irregularly swollen,
30–45(–50) μm broad and up to c. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press (Figs 1A–F, K & N, 2, 3, 4A–F) 350 μm long, easily breaking
and detaching upon mechanical contact, yellowish brown to dark brown or dark olive green, each composed of a central
region of sparse fungal hyphae surrounded by a peripheral
layer consisting of subspherical algal cells c. (5–)7–11(–14) μm
diam. interspersed or sometimes covered with some fungal
hyphae c. 2–4 μm diam.; without crystals; soralia absent;
prothallus inconspicuous, or presence of a black borderline
c. 0.2–0.5 mm wide. Ascomata perithecioid, scattered, rarely two contiguous, subglo-
bose or rarely somewhat pyriform, black, smooth to slightly https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 356 William Sanders et al. A
C
D
E
F
G
H
I
B
20 µm
20 µm
10 µm
20 µm
20 µm
10 µm
10 µm
10 µm
20 µm
ure 6. Scanning electron micrographs of Porina nanoarbuscula. A & B, densely branching isidioid structures. C, surface layer of subglobose fungal cells. D & E,
face layer, with some deposition of wall associated substances somewhat obscuring the individual fungal cells. F–I, backscattered electron detector images
hlighting individual fungal cells of surface layer. H, broken ends of isidioid structures showing central zone (t) normally occupied by a single central file of
ntepohlia cells. I, low-magnification image showing isidioid structures (i) arising from substratum in absence of basal crust; arrows, mycobiont cells overrunning
bstratum; arrowheads, wall thickenings of plant substratum. Scales: A, B, D, F & I = 20 μm; C, E, G & H = 10 μm. A
C
D
E
F
G
H
I
B
20 µm
20 µm
10 µm
20 µm
20 µm
10 µm
10 µm
10 µm
20 µm
re 6. Scanning electron micrographs of Porina nanoarbuscula. A & B, densely branching isidioid structures. C, surface layer of subglobose fungal cells. D & E,
ce layer, with some deposition of wall associated substances somewhat obscuring the individual fungal cells. F–I, backscattered electron detector images
ghting individual fungal cells of surface layer. H, broken ends of isidioid structures showing central zone (t) normally occupied by a single central file of
epohlia cells. I, low-magnification image showing isidioid structures (i) arising from substratum in absence of basal crust; arrows, mycobiont cells overrunning
ratum; arrowheads, wall thickenings of plant substratum. Scales: A, B, D, F & I = 20 μm; C, E, G & H = 10 μm. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press (Figs 1A–F, K & N, 2, 3, 4A–F) C
10 µm A
20 µm B
20 µm B C A F
20 µm D
20 µm E
10 µm F D E I
20 µm H
10 µm G
10 µm I G H Figure 6. Scanning electron micrographs of Porina nanoarbuscula. A & B, densely branching isidioid structures. C, surface layer of subglobose fungal cells. D & E,
surface layer, with some deposition of wall associated substances somewhat obscuring the individual fungal cells. F–I, backscattered electron detector images
highlighting individual fungal cells of surface layer. H, broken ends of isidioid structures showing central zone (t) normally occupied by a single central file of
Trentepohlia cells. I, low-magnification image showing isidioid structures (i) arising from substratum in absence of basal crust; arrows, mycobiont cells overrunning
substratum; arrowheads, wall thickenings of plant substratum. Scales: A, B, D, F & I = 20 μm; C, E, G & H = 10 μm. Ascospores hyaline,
transversely
(8–)11–13(–15)-septate,
long-
bacilliform to needle-shaped, (55–)66.3(–92) × (3–)3.7(–4.5) μm
(n = 25); usually with a gelatinous sheath c. 0.5 μm thick. Pycnidia not observed. rugulose, (150–)234(–290) μm diam. (n = 16), c. one third to almost
entirely immersed in the substratum, without thallus cover and
setae; crystallostratum absent; ostiole apical, usually visible by a
tiny black pore or inconspicuous. Proper excipulum dark reddish
brown to carbonized all around the hymenium, K± olivaceous
black, c. 20–45 μm thick. Involucrellum reduced, appearing as a
thickening of the upper part of the excipulum, dark reddish
brown or ±purplish brown to carbonized, K± olivaceous black, c. 45–70 μm
thick. Periphyses
numerous,
10–22 × 1.5–2 μm. Hamathecium
hyaline,
clear,
of
thin,
simple
or
sparingly
furcate-branched, (1–)1.5–2 μm diam.; paraphyses c. 110–150(–
170) μm tall; subhymenium hyaline to pale fawn, 8–15 μm thick. Asci cylindrical-clavate to ±fusiform, c. (75–)100–118 × 13–15 μm
(n = 11), 8-spored; ascus apex rounded, without a ring structure. Pycnidia not observed. Chemistry. Thallus and isidia K+ blackish, C−, PD−, UV−. TLC
not performed. Chemistry. Thallus and isidia K+ blackish, C−, PD−, UV−. TLC
not performed. Etymology. The epithet refers to the micro-coralloid habit of the
thallus consisting mostly of ascending isidioid structures. Distribution and ecology. The species is known from several
localities in south-west Florida (Collier and Lee Co.), where it https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 357 The Lichenologist A
B
C
D
E
F
G
H
Figure 7. Light and electron micrographs of isidioid structures in Porina cf. scabrida. A & B, SEM images showing morphology of branches. C, resin-embedded
semi-thin section showing algal layer (a) at periphery of a central medullary cavity (m). D–F, surface layer of agglutinated mycobiont hyphae; no exposed algal
cells evident. G & H, TEM images of peripheral portion of structure. G, algal layer (a) and associated mycobionts cells (f), with wall-derived materials (arrows)
forming an agglutinating layer among mycobiont cells at the surface. H, symbiont contact showing invagination of algal cell ahead of intruding mycobiont hau-
storium, and the walls of both symbionts substantially thinned at contact zone. Scales: A & B = 50 μm; D = 25 μm; C, E & F = 10 μm; G = 5 μm; H = 1 μm. A
B
C
D
E
F
G
H
Figure 7. Light and electron micrographs of isidioid structures in Porina cf. scabrida. A & B, SEM images showing morphology of branches. C, resin-embedded
semi-thin section showing algal layer (a) at periphery of a central medullary cavity (m). D–F, surface layer of agglutinated mycobiont hyphae; no exposed algal
cells evident. G & H, TEM images of peripheral portion of structure. G, algal layer (a) and associated mycobionts cells (f), with wall-derived materials (arrows)
forming an agglutinating layer among mycobiont cells at the surface. H, symbiont contact showing invagination of algal cell ahead of intruding mycobiont hau-
storium, and the walls of both symbionts substantially thinned at contact zone. Scales: A & B = 50 μm; D = 25 μm; C, E & F = 10 μm; G = 5 μm; H = 1 μm. A B C C B A E
H F D F E D G H G Figure 7. Light and electron micrographs of isidioid structures in Porina cf. scabrida. A & B, SEM images showing morphology of branches. C, resin-embedded
semi-thin section showing algal layer (a) at periphery of a central medullary cavity (m). Chemistry. Thallus and isidia K+ blackish, C−, PD−, UV−. TLC
not performed. D–F, surface layer of agglutinated mycobiont hyphae; no exposed algal
cells evident. G & H, TEM images of peripheral portion of structure. G, algal layer (a) and associated mycobionts cells (f), with wall-derived materials (arrows)
forming an agglutinating layer among mycobiont cells at the surface. H, symbiont contact showing invagination of algal cell ahead of intruding mycobiont hau-
storium, and the walls of both symbionts substantially thinned at contact zone. Scales: A & B = 50 μm; D = 25 μm; C, E & F = 10 μm; G = 5 μm; H = 1 μm. inhabits the bark of Taxodium within and near the margins of
seasonally flooded groves, at low elevation (c. 3–6 m). microcoralloides (Swinscow 1962). Phylogenetic distance between
these taxa was also evident in their mtSSU sequences (Fig. 9). In
Florida, the isidiate taxon Clathroporina isidiifera has a black
hypothallus and much shorter, wider ascospores (Harris 1995). A
few species of Porina described recently by Ertz & Diederich
(2022) from paleotropical Mauritius have isidia that somewhat
resemble those of P. microcoralloides; however, they arise from well-
developed crustose thalli, have quite different ascospore dimensions,
and are placed distantly from P. microcoralloides in the mtSSU
sequence analysis (Fig. 9). Notes. The long, almost needle-shaped ascospores distinguish
P. microcoralloides from most isidiate species of Porina, although
two non-isidiate taxa with spores at least as long and half the
width have been recently described (Aptroot & Cáceres 2014). The British taxon P. hibernica has spores of similar length, but
about twice as wide; its isidia, at least in the material we examined,
were highly irregular in shape and lacked the stratified anatomy of P. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press William Sanders et al. 358 A
D
E
B
C
50 µm
5 µm
1 µm
25 µm
20 µm
gure 8. Light and electron micrographs of isidioid structures in Porina hibernica from Great Britain. A & B, SEM images showing outgrowth of irregularly shaped
idia from well-developed crustose thallus. C, semi-thin section of resin-embedded material; emerging isidium with unstratified algal cells (a) and incorporating the
ell wall lattice (arrows) of the underlying plant substratum. D & E, TEM images. D, associated mycobiont (f) and phycobiont (a) within empty cells of plant sub-
ratum (arrows). Chemistry. Thallus and isidia K+ blackish, C−, PD−, UV−. TLC
not performed. E, detail of symbiont contact zone, showing slight invagination of algal cell wall and substantial thinning of fungal cell wall at contact point. cales: A = 50 μm; B = 25 μm; C = 20 μm; D = 5 μm; E = 1 μm. A
50 µm B
25 µm B A D
5 µm E D E
1 µm Figure 8. Light and electron micrographs of isidioid structures in Porina hibernica from Great Britain. A & B, SEM images showing outgrowth of irregularly shaped
isidia from well-developed crustose thallus. C, semi-thin section of resin-embedded material; emerging isidium with unstratified algal cells (a) and incorporating the
cell wall lattice (arrows) of the underlying plant substratum. D & E, TEM images. D, associated mycobiont (f) and phycobiont (a) within empty cells of plant sub-
stratum (arrows). E, detail of symbiont contact zone, showing slight invagination of algal cell wall and substantial thinning of fungal cell wall at contact point. Scales: A = 50 μm; B = 25 μm; C = 20 μm; D = 5 μm; E = 1 μm. ibid., Estero, Grandezza, Cypress grove behind ‘The Studio’ sales cen-
tre, 2020, W. B. Sanders 20506.3 (FLAS); ibid., woods between Villa
Grande and Grande Estates, 2020, W. B. Sanders 20510.3 (FLAS,
BR);
Collier
County,
Naples,
Audubon
Corkscrew
Swamp
Sanctuary, 2021, W. B. Sanders 21312.16, 21312.17 (FLAS). ibid., Estero, Grandezza, Cypress grove behind ‘The Studio’ sales cen-
tre, 2020, W. B. Sanders 20506.3 (FLAS); ibid., woods between Villa
Grande and Grande Estates, 2020, W. B. Sanders 20510.3 (FLAS,
BR);
Collier
County,
Naples,
Audubon
Corkscrew
Swamp
Sanctuary, 2021, W. B. Sanders 21312.16, 21312.17 (FLAS). Additional specimens examined (all on Taxodium bark). USA:
Florida: Lee County, Fort Myers, Florida Gulf Coast University
(FGCU) campus, Cypress dome north of FGCU Blvd near
Parking Garage 3, 2020, W. B. Sanders 20423.6 (FLAS, BR),
20423.11b (FLAS); ibid., north of Thalia swamp at centre of
dome, 2020, W. B. Sanders 20423.9 (FLAS, BR); ibid., Cypress
swamp north of Parking Garage 3, 2021, W. B. Sanders 21501.5
(TSB 44459); ibid., Cypress dome south of campus, near parking
garage 2, 2020, W. B. Sanders 20511.2 (FLAS); ibid., Cypress
dome
between
FGCU
Blvd
and
Aquatic
Center,
2020,
W. B. Sanders 20424.5 (FLAS); ibid., Cypress dome near solar
field, FGCU main entrance, 2020, W. B. Sanders 20425.1 (FLAS);
ibid., Cypress swamp between swimming pool and FGCU Blvd,
2021, W. B. Chemistry. Thallus and isidia K+ blackish, C−, PD−, UV−. TLC
not performed. Sanders 21410.1, 21410.2 (FLAS); ibid., Cypress dome
north of main entrance road, 2021, W. B. Sanders 21425.6 (FLAS); Porina nanoarbuscula Ertz, W. B. Sanders, R. Carolis, A. Ríos
& Muggia sp. nov. Porina nanoarbuscula Ertz, W. B. Sanders, R. Carolis, A. Ríos
& Muggia sp. nov. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press MycoBank No.: MB 848938 This species resembles Porina coralloidea P. James by its isidiate
thallus and its small black perithecia but differs by having 3–5
(–6)-septate
ascospores,
(20–)28.8(–37) × (3–)3.3(–4)
μm; https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 359 The Lichenologist hylogenetic hypothesis based on the mtSSU locus; 50% majority-rule consensus tree obtained by Bayesian analysis. ML bootstrap values > 70% show
nches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained from P. microcoralloides, P
cula, P. cf. scabrida and an additional south Floridian collection (L3531), as well as P. hibernica and P. pseudohibernica are highlighted in bold
orotica’ appears as several distinct clades labeled with letters in parentheses. Figure 9. Phylogenetic hypothesis based on the mtSSU locus; 50% majority-rule consensus tree obtained by Bayesian analysis. ML bootstrap values > 70% shown
in bold branches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained from P. microcoralloides, P. nanoarbuscula, P. cf. scabrida and an additional south Floridian collection (L3531), as well as P. hibernica and P. pseudohibernica are highlighted in bold. ‘Porina chlorotica’ appears as several distinct clades labeled with letters in parentheses. Figure 9. Phylogenetic hypothesis based on the mtSSU locus; 50% majority-rule consensus tree obtained by Bayesian analysis. ML bootstrap values > 70% shown
in bold branches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained from P. microcoralloides, P. nanoarbuscula, P. cf. scabrida and an additional south Floridian collection (L3531), as well as P. hibernica and P. pseudohibernica are highlighted in bold. ‘Porina chlorotica’ appears as several distinct clades labeled with letters in parentheses. Figure 9. Phylogenetic hypothesis based on the mtSSU locus; 50% majority-rule consensus tree obtained by Bayesian analysis. ML bootstrap values > 70% shown
in bold branches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained from P. microcoralloides, P. nanoarbuscula, P. cf. scabrida and an additional south Floridian collection (L3531), as well as P. hibernica and P. pseudohibernica are highlighted in bold. ‘Porina chlorotica’ appears as several distinct clades labeled with letters in parentheses. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 360 William Sanders et al. res of P. coralloidea are more septate (9–11 septa) and
rger (40–57 × 9–13 μm). MycoBank No.: MB 848938 USA, Florida, Lee County, Fort Myers, Florida Gulf Coast
Thallus consisting of a crustose basal portion from wh
structures emerged directly; basal thallus endophloeo
cate, consisting of subglobose to short filamentous tre
Phylogenetic hypothesis based on the ITS locus; 50% majority-rule consensus tree obtained by Bayesian analysis. ML bootstrap values > 70% shown
hes; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained from Porina nanoarbuscu
a and P. pseudohibernica are highlighted in bold. ‘Porina chlorotica’ appears as several distinct clades labeled with letters in parentheses. Figure 10. Phylogenetic hypothesis based on the ITS locus; 50% majority-rule consensus tree obtained by Bayesian analysis. ML bootstrap values > 70% shown in
bold branches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained from Porina nanoarbuscula,
P. hibernica and P. pseudohibernica are highlighted in bold. ‘Porina chlorotica’ appears as several distinct clades labeled with letters in parentheses. ascospores of P. coralloidea are more septate (9–11 septa) and
much larger (40–57 × 9–13 μm). ascospores of P. coralloidea are more septate (9–11 septa) and
much larger (40–57 × 9–13 μm). Thallus consisting of a crustose basal portion from which isidioid
structures emerged directly; basal thallus endophloeodal, ecorti-
cate, consisting of subglobose to short filamentous trentepohlioid
photobiont cells and scattered mycobiont hyphae without stratifi-
cation; isidioid structures often abundant, forming dense clusters
c. 0.2–0.6 mm diam. or covering more evenly larger areas of
the substratum, ascending, densely branched, cylindrical, fine,
12–16(–20) μm broad and up to c. 200 μm long, easily breaking g
Type: USA, Florida, Lee County, Fort Myers, Florida Gulf Coast
University campus, Cypress swamp north of Parking Garage 3, on
Taxodium bark, 3 April 2021, W. B. Sanders 21403.5a (FLAS—
holotype). Type: USA, Florida, Lee County, Fort Myers, Florida Gulf Coast
University campus, Cypress swamp north of Parking Garage 3, on
Taxodium bark, 3 April 2021, W. B. Sanders 21403.5a (FLAS—
holotype). (Figs 1G–J, L–N, 4G–M, 5 & 6) https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 361 The Lichenologist tic hypothesis based on phycobiont plastidial rbcL locus. 50% majority-rule consensus tree from Bayesian analysis. ML bootstrap values >
nches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained for Trentepohlia sp
rs in the phylogeny correspond to those assigned in Borgato et al. (2022). Figure 11. MycoBank No.: MB 848938 Phylogenetic hypothesis based on phycobiont plastidial rbcL locus. 50% majority-rule consensus tree from Bayesian analysis. ML bootstrap values > 70%
are shown in bold branches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained for Trentepohlia sp. are
in bold. Clade numbers in the phylogeny correspond to those assigned in Borgato et al. (2022). Figure 11. Phylogenetic hypothesis based on phycobiont plastidial rbcL locus. 50% majority-rule consensus tree from Bayesian analysis. ML bootstrap values > 70%
are shown in bold branches; Bayesian PP values > 0.8 are reported above branches. DNA extraction numbers of the new sequences obtained for Trentepohlia sp. are
in bold. Clade numbers in the phylogeny correspond to those assigned in Borgato et al. (2022). https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 362 William Sanders et al. indicate that P. nanoarbuscula and P. pseudohibernica are phylo-
genetically distinct (Fig. 9). The Floridian taxon P. scabrida
(Harris 1995) is described as having isidia covered with a single
layer of mycobiont cells, but its ascospores are longer (35–47
um), 8-celled, and almost twice as wide (5.5–7.5 um). and detaching upon mechanical contact, orange-brown to dark
brown, each composed of single central file of more or less glo-
bose Trentepohlia cells c. (6–)8–11 μm diam., surrounded periph-
erally by relatively swollen, subglobose to slightly elongated
mycobiont cells (3–)4–5 μm diam. or 5–6 × 3–4 μm, without crys-
tals; soralia absent; prothallus inconspicuous. Ascomata perithecioid, scattered, rarely two contiguous, sub-
globose, black, smooth to slightly rugulose, 155–264.4–350 μm
diam. (n = 46), c. two fifths to almost entirely immersed in the
substratum, without thallus cover and setae; crystallostratum
absent; ostiole apical, visible by a tiny black pore or inconspicu-
ous. Proper excipulum dark reddish brown to carbonized all
around the hymenium, K± olivaceous black, c. 18–25 μm thick. Involucrellum reduced, appearing as a thickening of the upper
part of the excipulum, sometimes extending slightly laterally
when the perithecia is almost entirely immersed in the substra-
tum, dark reddish brown to carbonized, K± olivaceous black,
c. 40–50 μm thick. Periphyses numerous, c. 5–30 × 1.5–2 μm. Hamathecium hyaline, clear, of thin, simple, (1–)1.5–2 μm
diam.; paraphyses c. 125–130 μm tall; subhymenium hyaline to
pale fawn, 14–20 μm thick. Asci cylindrical-clavate to ±fusiform,
c. (75–)80–122 × 9–11 μm (n = 12), 8-spored; ascus apex rounded,
without a ring structure. MycoBank No.: MB 848938 Ascospores hyaline, transversely 3–5(–6)-
septate, elongate-fusiform to bacilliform, (20–)28.8(–37) × (3–)
3.3(–4) μm (n = 54); gelatinous sheath not seen. Additional specimens examined (all on Taxodium bark). USA:
Florida: Lee County, Fort Myers, Florida Gulf Coast University
(FGCU) campus, Cypress grove along boardwalk to Parking
Garage 3, 2020, W. B. Sanders 20423.1 (FLAS); ibid., Cypress
swamp north of Parking Garage 3, 2021, W. B. Sanders 21320.1
(TSB 44456); ibid., along nature trail to laurel oak hammock,
2021, W. B. Sanders 21421.5 (FLAS, BR); ibid., along nature trail
near laurel oak hammock, W. B. Sanders 21421.8 (FLAS); ibid.,
Cypress dome south of campus, near parking garage 2, 2020,
W. B. Sanders 20511.3 (FLAS); ibid., 2021, W. B. Sanders 21502.2
(FLAS, BR); ibid., Cypress dome between FGCU Blvd and Aquatic
Center, 2020, W. B. Sanders 20424.4 (FLAS); Estero, Grandezza,
Cypress grove behind ‘The Studio’ sales centre, 2020, W. B. Sanders 20506.1 (TSB 44457); ibid., woods between Villa Grande
and Grande Estates, 2020, W. B. Sanders 20510.2 (TSB 44458). https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press Fruticose or isidiate crustose thallus? Pycnidia not observed. Fruticose lichens, in the usual sense, bear their ascomata on their
ascendant branches. In the Porina species examined here, perithe-
cia develop on basal thallus portions embedded within the dead
tissue layers of the plant substratum (Fig 1F & I–J, 2H). In this
regard, their growth form corresponds to that of a crustose/
endophloeodic lichen. Although true isidia are uncommon in
crustose lichens, thalline structures of considerable anatomical,
morphological,
developmental
and
functional
diversity
are
encompassed within this concept; previous authors have clearly
found it broad enough to accommodate the appendages produced
by certain species of Porina. However, in significant ways, the
structural characteristics of the Porina species studied here call
into question the utility of considering their ascendant structures
as isidia. Isidia are supposed to be appendicular upgrowths of a
corticated underlying thallus, such that there is continuity of
the cortex and anatomy of the isidium with that of the thallus
from which it arises (Jahns 1988). In our collections, the fruticose
portions of the thallus predominate, while the basal crust is often
evanescent, reduced, or largely integrated within the substratum. More significantly, the anatomical complexity of the corticated
and/or stratified ascendant structures is nowhere evident in the
diffuse, loosely organized substratic thallus from which they
arise. The organized algal layer and medulla of P. microcoralloides
and P. cf. scabrida, the corticating hyphae of the latter and the
corticating layer of sub-globose fungal cells in P. nanoarbuscula
are observed only in the ascending, isidia-like branches, without
any counterpart in the unstratified basal portions. They therefore
cannot be easily categorized as mere orthotropic outgrowths of
the underlying crustose or endophloeodic thallus. We employ
the term isidioid to describe the form of the ascendant vegetative
thallus in the taxa described here. Chemistry. Thallus and isidia K+ blackish, C−, PD−, UV−. TLC
not performed. Chemistry. Thallus and isidia K+ blackish, C−, PD−, UV−. TLC
not performed. Etymology. The epithet refers to the microfruticose habit of the
thallus consisting mostly of ascending isidioid structures. Distribution and ecology. The species is known from several
localities in south-west Florida (Lee Co.), where it inhabits the
bark of Taxodium within and near the margins of seasonally
flooded groves, at low elevation (c. 3–6 m). Notes. Other isidiate species described in Porina appear to differ
from this taxon in significant ways. Porina coralloidea P. James
[=Zamenhofia coralloidea (P. James) Clauz. et Roux] has longer
(40–57 μm), wider (9–13 μm) ascospores with considerably
more numerous septa (9–11) and a very thick lateral wall
(James 1971); its isidia are contorted chains of Trentepohlia sur-
rounded by compacted hyphae (James 1971), rather than uniseri-
ate structures surrounded by subglobose fungal cells. Porina rosei
Sérusiaux has similar isidia corticated with globose cells, but the
algal cells are not consistently uniseriate and the crustose thallus
from which the isidia arise also has a cellular cortex of isodiametric
fungal cells; its ascospores are wider (4–6(7) μm) and with only
three septa (Sérusiaux 1991). Porina collina has fine fragile isidia,
but they are not corticated nor is the phycobiont uniseriate. Porina isidioambigua M. Cáceres et al. has ascospores of about
the same length as those of P. nanoarbuscula but twice as wide;
the isidia incorporate many algal cells in width rather than a single
file, and lack globose corticating mycobiont cells (Cáceres et al. 2013). Porina pseudohibernica has fine, abundantly branched, easily
detached isidia, but their algal cells are not uniseriate, and their sur-
face is ecorticate or covered with appressed hyphae rather than glo-
bose fungal cells; ascospores are longer (34–43 μm), wider (7–
9 μm) and with more septa (7–8) compared to those of P. nanoar-
buscula (Tretiach 2014). The mtSSU sequences furthermore Diversity of isidiate/isidioid taxa in Porina The Lichenologist The Lichenologist Our study suggests the presence of substantial genetic diversity
among such taxa in south-west Florida, and amplifies previous
indications that structures treated as isidia in this genus can be
very different from each other anatomically. Other recent studies
of Porina species have likewise found considerable genetic diversity
(Orange et al. 2020), with many new taxa in the tropics (Ertz &
Diederich 2022), including isidiate forms. In contrast, a number
of isidiate collections worldwide, including from tropical Asia and
South America, have been attributed to Porina hibernica (e.g. Aptroot 2003; Aptroot et al. 2017), a taxon originally described
from Great Britain (Swinscow 1962). The seemingly cosmopolitan
distribution of this species is thus noteworthy, but molecular data
from such collections are needed to ensure that multiple, cryptic
taxa are not involved. Structural and mtSSU sequence data
(Fig. 9) from the present study indicated that none of the south-
western Florida taxa examined correspond to P. hibernica. unbranched, determinate structures (at least prior to detachment)
with a highly uniform morphology likely adapted to water disper-
sal; they have little in common with the fruticose structures stud-
ied here. It has been pointed out that virtually identical discoid
isidia are produced by foliicolous taxa of Porina representing dif-
ferent phylogenetic clades (Lücking & Vězda 1998; Lücking &
Cáceres 1999), an interpretation supported by the positions of
two such taxa (Porina alba (R. Sant.) Lücking and P. fusca
Lücking) in gene-based cladograms (Orange et al. 2020; Ertz &
Diederich 2022; see also Fig. 9). Thus, the discoid and the coral-
loid ‘isidia’ known in Porina share at least one feature: both
appear to have arisen more than once independently. Although
unreliable as indicators of biosystematic relatedness, such remark-
able convergences do tell us something biologically important:
that natural selection in these cases is almost certainly shaping
morphologies with real and direct functional significance to the
organisms involved. p
Our sequence data provide further support to previous
molecular studies (Orange et al. 2020; Ertz & Diederich 2022)
that suggest multiple independent origins of isidiate morphology
within Porina, showing this trait to be of little or no value as an
indicator of biosystematic relationships. Strikingly, we found
that the two isidioid taxa, P. microcoralloides and P. Symbiont interactions The consistent association of Porina microcoralloides and P. nanoarbuscula, each with a distinct clade of Trentepohlia phyco-
bionts (Figs 11; Supplementary Material Fig. S2, available online),
suggests a high degree of selectivity in these lichen-forming fungi. The correspondence of sister-clade pairs in the mycobiont and
phycobiont trees suggests a possible occurrence of parallel clado-
genesis in these symbiont lineages. It is noteworthy that both taxa
occur in the same habitats and are even intermixed (Fig. 1N),
where they are likely to encounter, and presumably reject, the
algal strain preferred by the other species. A much larger dataset
would be needed, however, before one may be confident that this
is consistently the case. y
It has been asserted that specialized penetrative contacts gen-
erally do not occur between symbionts in trentepohliaceous
lichens (Nienburg 1926; Grube & Lücking 2002). However, this
viewpoint was challenged by Tschermak (1941), who reported
and illustrated deeply penetrating haustoria in numerous taxa of
such lichens. Later TEM studies documented extensive haustorial
development in almost every trentepohliaceous lichen examined
(Withrow & Ahmadjian 1983; Matthews et al. 1989; Tucker
et al. 1991; but see Lambright & Tucker 1980). These haustoria
appear to finely invaginate the algal cell wall rather than actually
traverse it. They would thus be classified as intraparietal (Type 2)
in the scheme presented by Honegger (1986), although they often
reach deeply into the algal cell (Tschermak 1941; Matthews et al. 1989). The haustoria observed in the Porina lichens examined
here were all intraparietal, but with very limited intrusion causing
only slight invagination of the algal cell wall (Figs 2G, 5E, 7H &
8E), as in Type 1 of Honegger (1986). They thereby contrast with
the much deeper penetration/invagination of algal symbionts
observed in the more typically crustose trentepohliaceous lichens
as cited above. Why stratified and morphologically more complex
foliose and fruticose lichens should have more superficial sym-
biont contacts than unstratified crustose lichens is unclear. One
possibility is that mycobiont growth must be more closely coordi-
nated with algal cell division to achieve more complex levels of
organization (Greenhalgh & Anglesea 1979; Honegger 1987b),
requiring more superficial attachments that can stimulate but
not obstruct division and distribute its products. Another notable
feature of the symbiont contact zones observed here is the very
substantial thinning of the fungal cell wall at the point of its intru-
sion into the algal wall. The Lichenologist nanoarbus-
cula, appeared as sister taxa in the mtSSU analysis, yet their
ascendant structures are so different in morphology and anatom-
ical organization that one must suppose they originated inde-
pendently of each other. On the other hand, the isidioid
structures in P. microcoralloides were rather similar anatomically
to those of P. cf. scabrida, the latter differing only in the presence
of a better developed cortical layer. Yet these two taxa appear
quite distant from each other in their mtSSU sequences. In at
least some taxa, the presence or absence of isidia may also be vari-
able. Ertz & Diederich (2022) found that isidiate morphs in cer-
tain species were scarcely different in nucleotide sequence from
non-isidiate ones. In the case of our Floridian collections, where
most of the vegetative thallus consists of the isidioid structures,
it would be difficult to imagine conspecific morphotypes that
lacked them. The extensive elaboration of the ascendant thallus
component and concomitant reduction of the crustose portion
suggests a trend by which fruticose thalli may evolve from crust-
ose ones. Indeed, a transient basal crust is reported to precede the
development of conventional fruticose structures in lichens such
as Usnea (Lallemant 1984). While the biosystematic utility of isi-
dia in Porina may be low, there is as yet no indication that more
than one type of isidium or isidioid structure could occur within
the very same taxon. It therefore seems reasonable to tentatively
assume that details of their structure, at least when expressed,
are characteristic of the taxon that possesses them, even if the
trait tells us little or nothing about relationships to other taxa. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press Diversity of isidiate/isidioid taxa in Porina Although isidia are not common in Porina, a number of species
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https://openalex.org/W2995376836
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https://europepmc.org/articles/pmc6960559?pdf=render
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English
| null |
Influence of the Design Solutions of Extruder Screw Mixing Tip on Selected Properties of Wheat Bran-Polyethylene Biocomposite
|
Polymers
| 2,019
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cc-by
| 16,087
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Received: 25 November 2019; Accepted: 13 December 2019; Published: 17 December 2019 Abstract: The study investigated the impact of the extruder screw design solution—the intensive
mixing tip used—on the course of the extrusion process and the properties of the obtained biocomposite
extrudate. A lignocellulosic wheat bran biocomposite based on a low-density polyethylene matrix
was extruded. Three mixing tips of the screw were used interchangeably: apineapple tip, a cut rings
tip, and a Maddock tip. The experimental tests carried out included the production of an extrudate
with a mass content of bran altered within the range from 10% to 50%. Processing properties such as
the melt flow rate (MFR) and mass flow rate of the extruded biocomposite were determined. Selected
physical, mechanical, and structural properties of the biocomposite extrudate obtained with the use
of the three tested mixing tips at five bran contents were tested. Keywords: biocomposite; biofiller; mixing tip; lignocellulosic thermoplastic composite (LTC); wheat
bran; polymer processing polymers polymers Emil Sasimowski 1
, Łukasz Majewski 1,*
and Marta Grochowicz 2 Emil Sasimowski 1
, Łukasz Majewski 1,*
and Marta Grochowicz 2 1
Department of Technology and Polymer Processing, Mechanical Engineering Faculty, Lublin University of
Technology, 20-618 Lublin, Poland
2
Department of Polymer Chemistry, Institute of Chemical Science, Faculty of Chemistry, Maria
Curie-Sklodowska University, 20-614 Lublin, Poland
*
Correspondence: l.majewski@pollub.pl 1
Department of Technology and Polymer Processing, Mechanical Engineering Faculty, Lublin Univer
Technology, 20-618 Lublin, Poland
2
Department of Polymer Chemistry, Institute of Chemical Science, Faculty of Chemistry, Maria
Curie-Sklodowska University, 20-614 Lublin, Poland
*
Correspondence: l.majewski@pollub.pl Polymers 2019, 11, 2120; doi:10.3390/polym11122120 www.mdpi.com/journal/polymers 1. Introduction Lignocellulosic materials come in different forms because
they are different parts of plants, and thus may have different chemical compositions [15,16]. The
composition of lignocellulosic materials can be divided into three main components: cellulose,
hemicellulose, and lignin. Thus, the properties of lignocellulosic materials, including their strength,
are highly correlated with their chemical composition [16–22]. g
y
p
Thermoplastic polymers filled with all kinds of plant products and materials are referred to
as lignocellulosic thermoplastic composites (LTCs) [23–25] in the matrix of both biodegradable and
petrochemical polymers [23,26–28]. Numerous scientific studies have proved that organic materials
based on cellulose and lignin are an appealing filler for petrochemical plastics. Significant studies
on the use, application, and properties of LTCs containing inexpensive and renewable natural fillers
have been carried out [6,29–32]. Natural materials of plant origin from annually renewable sources
are now widely used as fillers for thermoplastic matrices, where they successfully replace synthetic
fibres and fillers based on carbon, glass, and aramids as well as mineral fillers [8,33–37]. The literature
includes studies on the use of different natural fillers constituting different parts of plants. Examples
of such fillers include rice bran and husks [17,23,38], wheat bran [21], hard hazelnut shells [39],
walnut shells [40], peanut shells [3], coconut shells [41], argan nut shells [42], dust from different
tree species [15], by-products from palm oil production [43] and bagasse [24], date palm dust [16],
red pepper stems [44], wheat straw [45], sunflower and maize stems [46], barley husks [47], and
many others. Many studies show that the main advantage gained from the use of natural fillers is the possibility
of a high filling level, and consequently, a significant reduction in the consumption of petrochemical
polymers and the induction of biodegradable properties, which limit the storage time of post-consumer
waste [6,48]. Studies [4,5] have shown that a 50% addition of a natural filler causes a 15% weight loss
observed during 9 weeks. Additional advantages of natural fillers are the lack of environmental toxicity,
low cost, renewability, common occurrence, and low cost of manufacturing and processing, because
they only require drying, grinding, and screening in order to separate fractions of desired dimensions
before their introduction into the plastic [8,48–50]. Furthermore, the presence of natural fillers provides
an attractive appearance and improves some physical properties by lowering the density, increasing the
sound absorption coefficient [51], and improving the thermal insulation properties [14,52]. 1. Introduction Polymeric materials are gradually replacing and displacing metals, paper, glass, and other
traditional construction materials from common applications due to their low weight, good strength
properties, freedom of design, and the low cost of material and its processing [1]. The rapidly growing
demand for inexpensive materials caused an increase in the production and consumption of polymeric
materials, which resulted in the generation of significant amounts of plastic waste [1,2]. Improper
management of this waste has led to considerable environmental pollution [1]. Due to the long
period of natural decomposition of plastics, landfilling, which is the main method of waste disposal,
is highly inefficient. Therefore, there is a growing interest in environmentally friendly materials, which
are degradable in environmental conditions and have satisfactory mechanical properties. They are
intended to replace or at least reduce the consumption of traditional petrochemical plastics. The
development and production of biodegradable materials seems to be the cheapest and most effective
method of effective waste management [1,3–5]. Examples of thermoplastic polymers meeting these
requirements include: polyvinyl alcohol, polycaprolactone, and polylactide produced by means of
synthesis, as well as cellulose, chitin, and starch obtained directly from natural sources. The main
obstacle to the mass use of biopolymers is often the complicated and rigorous process of production and
processing, which contributes to many times higher prices compared to petrochemical plastics [3,4,6,7]. This is why the main objective of the intensive work on environmentally friendly materials carried
out over the last 20 years was to search for materials with a relatively short degradation time and Polymers 2019, 11, 2120; doi:10.3390/polym11122120 www.mdpi.com/journal/polymers 2 of 27 Polymers 2019, 11, 2120 a much lower price than biopolymers. The result of this work was the use of plant components
in the processing of polymeric materials and the creation of biocomposites, which, as it has turned
out, have beneficial utility properties and also economic and environmental advantages [8–10]. The
worldwide trend of filling petrochemical polymers with cellulose-based and lignin-based materials,
which are usually plant fragments being technological waste from the agriculture, food, wood and
textile industries, is still observed today [3,11–15]. Any material containing lignin and cellulose is treated as a lignocellulosic material. Such materials
include wood, wood agricultural crops, agricultural waste, and waste from the processing of agricultural
products in the food or textile industry [16]. 1. Introduction In addition
to the benefits described above, the use of fillers made from natural waste reduces the negative
impact of the storage and disposal of such waste on the environment [44,50,53]. Therefore, the use of
lignocellulosic fillers constitutes a modern and progressive approach to the issues of waste management
and processing of polymeric materials [14,54,55]. Despite the many benefits, the use of natural waste fillers presents some difficulties and limitations. Such features of materials containing lignocellulosic fillers as their strong hygroscopicity, absorption of
large amounts of water, and the tendency to be inhabited by fungi may hinder or prevent their use
in conditions of high humidity and exposure to microorganisms; but at the same time, these factors
may accelerate their biodegradation via landfilling. They also make it necessary to dry the filler before
processing [1,3,14,56]. Thermoplastic lignocellulosic composites in most cases have worse mechanical
properties than the polymer matrix itself, which is caused by the lack of compatibility between the
matrix and the filler surface [1,8,14,39,42,50]. This is due to the presence of hydroxyl groups, which
give the filler surface hydrophilic properties, hinder its wettability by non-polar polymers during 3 of 27 Polymers 2019, 11, 2120 processing, and reduce the intensity of interactions at the interface [3,42,57,58]. To address this issue,
chemical modifications of the filler are applied by mercerisation, benzoylation, acetylation, silanation,
or grafted copolymerisation [59,60], which couple the hydrophilic filler with the hydrophobic matrix,
forming indirect chemical bonds [61,62]. Nevertheless, many researchers have abandoned the use
of compatibilizers, thus achieving only an improvement in stiffness, but at the same time a decrease
in tensile strength and elongation at break, which are still often satisfactory [1,14,50,63]. This is
economically justified, because the high price of the compatibilizer eliminates the benefits of using
a less expensive natural filler. Another factor determining LTC properties is the quality of filler
distribution in the polymer matrix, which has a decisive influence on the strength and elongation at
break. In the case of most powder fillers, large particle size aggregates begin to appear at 20%–30% and
start to obscure the differences between the different fillers. Very fine fillers are difficult to distribute
in the polymer matrix, and the agglomerates formed behave as one large particle and constitute the
place of crack initiation. Good dispersion and distribution can be achieved by effective mixing and
an appropriate processing method [18,22,61,62,64]. 1. Introduction The most commonly used method of polymeric
composites processing, including those with natural fillers, is extrusion [65]. Extrusion produces
both LTC finished products and composite granules, which are a starting material for subsequent
processing [66]. The quality of polymer and filler mixing that occurs in the extruder plasticizing system,
also known as mechanical homogenization, determines the specific features of the finished product,
including its appearance, as well as its mechanical and optical properties. The mixing done in the
extruder’s plasticizing system can be divided into shear mixing, also known as dispersive mixing,
and distributive mixing. Distributive mixing can be further divided into longitudinal and transverse
mixing. Longitudinal mixing is a result of the overlap of pressure and drag flows in the screw channels. The drag flow results from the impact of the flow rate component exerted perpendicularly to the
screw line. The flow rate is the highest at the screw surface and equal to zero at the barrel surface. In contrast, the backward pressure flow is caused by an increase in pressure in the screw channel,
and it is the opposite of the drag flow. Interaction between the above flows leads to an exchange of
material between the layers due to differences in the dwell time of individual polymer particles in the
plasticizing system. Transverse mixing consists of unifying the composition of a polymer/filler system
in the section perpendicular to the extrusion direction. The reduction of difference in the polymer
composition occurs as a result of the distribution of additional ingredients in the polymer due to the
impact of shear stress during polymer flow in the plasticizing system. There is no exchange of material
between individual layers. This is because the transverse flow, which is responsible for this type of
mixing in the system, is caused by the impact of the polymer flow rate component perpendicular to
the helix of the processing screw, and thus has no effect on the polymer mass flow rate. However,
it causes polymer mixing and heating due to internal friction and plays an important role in polymer
homogenization. When describing homogenization and polymer flow in the plasticizing system, one
should also mention the phenomenon of leak flow, which does not occur in the screw channel but takes
places between the internal surface of the barrel and the upper surface of the screw flight. 1. Introduction Leak flow is
caused by increased pressure in the screw channel and the impact of the polymer flow rate component
perpendicular to the screw helix, but its effect on the extrusion process is negligibly small when
compared to drag and backward pressure flows. The shear mixing in extrusion consists of overcoming
cohesion forces of bigger material particles and their refinement due to the shear stress impact during
polymer flow. The appropriate degree of homogeneity is achieved by the use of screws or replaceable
screw parts with a specific geometry enabling distributive or dispersive mixing, depending on the type
of filler used, in the metering section. Parts intended for intensive mixing of the processed material
most often have rows of pins or spikes, whose purpose is to separate the flowing stream of plastic,
or longitudinal edges parallel to the axis of the screw, grinding the flowing material on the internal
surface of the cylinder [67,68]. The correct determination of processing conditions, including the geometric design solution of the
i
th k
l d
f th
h
i
f fl
f hi hl fill d
l
i
t
i l
b
th The correct determination of processing conditions, including the geometric design solution of the
screw, requires the knowledge of the mechanism of flow of highly filled polymeric materials, because the 4 of 27 Polymers 2019, 11, 2120 introduction of a natural filler into a polymer matrix significantly deteriorates its processability [69–71]. This is connected with a significant increase in viscosity together with an increase in the content of the
filler [72,73], which is also affected by the size, shape, and structure of its particles [71]. The described
changes in viscosity have a direct impact on the decrease in the flow rate of the plasticized composite
material, and as a consequence, on the efficiency of the process as well as on the increase in the load of
the extruder drive system [71]. On the basis of the reviewed literature on the production of biocomposites with a polyethylene
matrix, it can be stated that there are few studies addressing the issue of the influence of structural
solutions of the plasticizing system on biocomposite properties. Most of the available studies focus on
changes of biocomposite properties caused by the chemical modification of their lignocellulosic fillers
or the whole biocomposition. 1. Introduction The issue regarding the influence of structural solutions of intensive
shearing and mixing parts of the processing screw on the properties of the extruded polyethylene/bran
biocomposite is almost absent from the literature. The set of applied processing conditions, selected
by trial and error, specified by many authors does not even allow one to reproduce the experiment,
as in their works, the authors focus mainly on the properties of the processed material. The study
of the relationship between the design of the screw-mixing tip used, the processing characteristics,
and the properties of the extrudate may be the basis for further research on the improvement of
the properties and composition of LTC biocomposites. The proper selection of broadly understood
processing conditions for new biocomposite materials often causes a number of difficulties, which may
hinder and discourage further research and implementation of these materials in industry. The aim of the study was to investigate the impact of the content of a lignocellulosic filler in the
form of ground wheat bran and the design of the screw intensive mixing tip of a single-screw extruder
on the efficiency of the extrusion process and selected physical, mechanical, and structural properties
of the obtained lignocellulosic biocomposites based on a low-density polyethylene matrix. following variable factors were assu
well as the mass content of wheat
2.2. Research Program and Methodology
Figure 1. View of intensive mixin carried out in five repetitions. Dowlex 2631.10EU low-density polyethylene produced in powder form by Dow Chemical
Company [75] and filled with wheat bran (WB) from a local mill was extruded. Wheat bran is
technological waste from the production of white flour and takes the form of thin flakes of up to a
few millimetres in size. Bran preparation included grinding with a grain mill (Figure 2a), drying in
The experimental tests were conducted in accordance with a complete plan, in which the following
variable factors were assumed: the pineapple, Maddock, and cut rings mixing tips, as well as the
mass content of wheat bran of 10%, 20%, 30%, 40%, and 50%. Measurements were carried out in
five repetitions. 2.2. Research Program and Methodology
The experimental tests were conducted in accordance with a complete plan, in which the
following variable factors were assumed: the pineapple, Maddock, and cut rings mixing tips, as
well as the mass content of wheat bran of 10% 20% 30% 40% and 50% Measurements were few millimetres in size. Bran preparation included grinding with a grain mill (Figure 2a), drying in
a heating chamber for 24 h at a temperature of 60 °C, and then screening on a sieve tray column to
obtain fractions with a particle size of less than 0.4 mm (Figure 2b). After weighing, the components
of the composite were premixed using a gate mixer. Dowlex 2631.10EU low-density polyethylene produced in powder form by Dow Chemical
Company [75] and filled with wheat bran (WB) from a local mill was extruded. Wheat bran is
technological waste from the production of white flour and takes the form of thin flakes of up to a
few millimetres in size. Bran preparation included grinding with a grain mill (Figure 2a), drying in
a heating chamber for 24 h at a temperature of 60 ◦C, and then screening on a sieve tray column to
obtain fractions with a particle size of less than 0.4 mm (Figure 2b). After weighing, the components of
the composite were premixed using a gate mixer. well as the mass content of wheat bran of 10%, 20%, 30%, 40%, and 50%. Measurements were
carried out in five repetitions. Dowlex 2631.10EU low-density polyethylene produced in powder form by Dow Chemical
Company [75] and filled with wheat bran (WB) from a local mill was extruded. 2.1. Test Stand The extrusion process was carried out with the use of a single-screw extruder equipped with
a three-zone processing screw with a diameter (D) = 32 mm and a ratio of the working part with a
flight to the diameter L/D = 23, compression ratio (CR) = 12/5, with an exchangeable intensive mixing
tip with a length L/D = 4.4. Three intensive mixing tips were used in the research: a pineapple tip,
a cut rings tip and a Maddock tip, as shown in Figure 1. The pineapple tip and the cut rings tip are
characterized by distributive mixing, while the Maddock tip was characterized by dispersive mixing,
but some distributive mixing also takes place [74]. 5 of 27 Polymers 2019, 11, 2120 Figure 1. View of intensive mixing tips: (a) pineapple tip (b) cut rings tip, and(c) Maddock’s tip. Figure 1. View of intensive mixing tips: (a) pineapple tip (b) cut rings tip, and (c) Maddock’s tip. Polymers 2019, 11, x FOR PEER REVIEW
5 of 28 Figure 1. View of intensive mixing tips: (a) pineapple tip (b) cut rings tip, and(c) Maddock’s tip. Figure 1. View of intensive mixing tips: (a) pineapple tip (b) cut rings tip, and (c) Maddock’s tip. 2.2. Research Program and Methodology
The experimental tests were conducted in accordance with a complete plan, in which the
For extrusion, a rectangular section nozzle was used to produce a 25 mm × 2.5 mm strip. The
extrudate was cooled in a cooling tank. Polymers 2019, 11, 2120 Polymers 2019, 11, 2120 The extrusion process was carried out at a constant screw speed of 50 rpm. The temperature in the
individual heating zones of the plasticizing system was 105, 110, 120, and 135 ◦C, and the temperature
of the extruder head was 125 ◦C. The extruder was fed by gravity, and during the extrusion process, a
constant level of the mixture was maintained in the feed throat of the extruder. The experimental tests carried out included the following: The experimental tests carried out included the following: •
Observation of the structure of the extrudate samples using a NIKON optical microscope
model Eclipse LV100ND equipped with a DS-U3 camera. Image analysis was performed in
the NIS-Elements AR 4.20.00 software. The extrudate samples were prepared for microscopic
observation by making their fractures perpendicular to the direction of the extrusion. In order to
achieve a brittle breakthrough, the strips were cooled in liquid nitrogen for one minute before
breaking. The dark field method was used for observation; •
Normal density measurement of the extrudate ρ g/cm3, in accordance with EN ISO 1183-1:2019 [76],
using a Radwag AS 82/220.R2 digital scale with a density measurement attachment; •
Measurement of water absorption in percentage. In order to determine the water absorption, the
obtained extrudate was predried in a thermal chamber and weighed. Then, the samples were
kept in water at 22 ◦C for 7 days. Then, the extrudate samples were weighed again, and water
absorption was determined in accordance with EN ISO 62:2008 [77]; •
Measurement of the moisture content of the extrudate in accordance with EN ISO 585:1990 [78]
with a Radwag WPS 50SX moisture analyzer. The obtained extrudate was predried in a thermal
chamber at 40 ◦C for 24 h. Then, the samples were stored in a room with a humidity of 25% at 22
◦C. The moisture content of the extrudate after drying, after 24 h, and after 7 days was measured
at 105 ◦C with the use of a moisture analyzer; •
Determination of the tensile strength of the extrudate σ [MPa], relative nominal elongation at
maximum tensile stress ε [%], and Young modulus [MPa], using a Zwick/RoellZ010 test machine
in accordance with EN ISO 527-2 [79] at a tensile speed of 50 mm/min; •
Color measurement of the extrudate samples using an X-Rite Ci4200 spectrophotometer. following variable factors were assu
well as the mass content of wheat
2.2. Research Program and Methodology
Figure 1. View of intensive mixin Wheat bran is
technological waste from the production of white flour and takes the form of thin flakes of up to a
few millimetres in size. Bran preparation included grinding with a grain mill (Figure 2a), drying in
a heating chamber for 24 h at a temperature of 60 °C, and then screening on a sieve tray column to
obtain fractions with a particle size of less than 0.4 mm (Figure 2b). After weighing, the components
of the composite were premixed using a gate mixer Figure 2. View of wheat bran powder: (a) immediately after grinding, and (b) after separation of
fractions with a grain size of less than 0.4 mm. The extrusion process was carried out at a constant screw speed of 50 rpm. The temperature in
the individual heating zones of the plasticizing system was 105, 110, 120, and 135 °C, and the
Figure 2. View of wheat bran powder: (a) immediately after grinding, and (b) after separation of
fractions with a grain size of less than 0.4 mm. Figure 2. View of wheat bran powder: (a) immediately after grinding, and (b) after separation of
fractions with a grain size of less than 0.4 mm. g
p
g
y
,
,
,
,
Figure 2. View of wheat bran powder: (a) immediately after grinding, and (b) after separation of
fractions with a grain size of less than 0.4 mm. Figure 2. View of wheat bran powder: (a) immediately after grinding, and (b) after separation of
fractions with a grain size of less than 0.4 mm. 6 of 27 Polymers 2019, 11, 2120 The color
was described in the CIELab system, where it is defined in a L*, a*, b* space. The a parameter
describes the color from green (negative values) to red (positive values), the b parameter describes
the color from blue (negative values) to yellow (positive values), while the L parameter is the
luminance–brightness, representing the gray scale from black to white (value 0 corresponds to
black and value 100 corresponds to white). The difference between two colors—two points in the
three-dimensional lab space—can be expressed with the following function: ∆E =
p
∆L2 + ∆a2 + ∆b2 ∆E =
p
∆L2 + ∆a2 + ∆b2 where ∆L, ∆a, ∆b are the difference in color parameters between the samples being compared,
respectively; where ∆L, ∆a, ∆b are the difference in color parameters between the samples being compared,
respectively; •
Melt flow rate index (MFR) (150 ◦C/5 kg) [g/10 min]. The measurement was performed with a
CEAST extrusion plastometer model MeltFlow TQ6841 based on the recommendations of EN ISO
1133-1:2011 method A [80]. •
The mass flow rate of the extruded plastic material G g/s; the extrudate samples were taken at
constant time intervals and then weighed using a Fawag TP-3/1 scale. Flow rate was calculated by
dividing the mass of the extrudate by the extrusion time; •
The mass flow rate of the extruded plastic material G g/s; the extrudate samples were taken at
constant time intervals and then weighed using a Fawag TP-3/1 scale. Flow rate was calculated by
dividing the mass of the extrudate by the extrusion time; •
AnFTIR analysis of the samples was performed using an FTIR TENSOR 27 spectrophotometer
(Bruker, Germany) equipped with an ATR attachment with a diamond crystal. Spectra (16 scans
per spectrum) were collected in the range of 600–4000 cm−1 with a resolution of 4 cm−1; •
DSC tests of the obtained extrudate were performed using a DSC 204 F1 Phoenix differential
scanning calorimeter (NETZSCH, Günzbung, Germany) and NETZSCH Proteus data processing
software. Crystallinity degree Xc and melting enthalpy ∆H were determined, along with the •
DSC tests of the obtained extrudate were performed using a DSC 204 F1 Phoenix differential
scanning calorimeter (NETZSCH, Günzbung, Germany) and NETZSCH Proteus data processing
software. Crystallinity degree Xc and melting enthalpy ∆H were determined, along with the 7 of 27 Polymers 2019, 11, 2120 melting point Tm and crystallization temperature Tc of the obtained extrudate. Polymers 2019, 11, 2120 The crystallinity
degree was calculated using the following function: Xc =
∆H
(1 −u) × ∆H100%
! × 100% Xc =
∆H
(1 −u) × ∆H100%
! × 100% assuming that for PE ∆H100% = 293 J/g [81]. DSC curves were recorded in the system for heating(I)
from −140 to 150 ◦C (10 K/min), for cooling from 150 to −140 ◦C (10 K/min), and for heating (II)
from −140 to 150 ◦C (10 K/min). The analyses were carried out in an inert gas (argon) atmosphere
at a gas flow rate of 20 mL/min. The samples were analyzed in aluminium crucibles with a
pierced lid; •
TG tests of the extrudate in oxidizing atmosphere were carried out using an STA 449 F1 Jupiter
thermal analyzer (NETZSCH, Günzbung, Germany) combined with the FTIR TENSOR 27
spectrophotometer (Bruker, Germany), which enabled the simultaneous analysis of gaseous
products of the decomposition of the analyzed samples. The analyses were carried out at 40–900
◦C in synthetic air, at a flow rate of 25 mL/min. Samples weighing about 12 mg were analyzed in
crucibles made of Al2O3. •
TG tests of the extrudate in oxidizing atmosphere were carried out using an STA 449 F1 Jupiter
thermal analyzer (NETZSCH, Günzbung, Germany) combined with the FTIR TENSOR 27
spectrophotometer (Bruker, Germany), which enabled the simultaneous analysis of gaseous
products of the decomposition of the analyzed samples. The analyses were carried out at 40–900
◦C in synthetic air, at a flow rate of 25 mL/min. Samples weighing about 12 mg were analyzed in
crucibles made of Al2O3. Microscopic observations of the structure were carried out for selected samples of the obtained
extrudate. Samples with the lowest (10%) and the highest (50%) bran content obtained with the use of
the three screw mixing tips were examined. 3. Results The results of the experimental tests were statistically elaborated in STATISTICA 13 software using
analysis of variance (ANOVA). At the beginning, the required assumptions, such as the normality of
variable distribution (the Shapiro–Wilk test), and the homogeneity of variance (the Levene’s or the
Brown–Forsythe tests) were checked. The Welch’s t-test was used wherever a heterogeneity of variance
was observed. The Tukey’s multiple comparisons test was conducted once the analysis showed that
statistically significant differences were visible between the examined average values. The test, also
called a posthoc test, enables the grouping of average values and the separation of homogeneous
groups that are not statistically significantly different from each other. The analyses were conducted at
the level of significance p = 0.05. The obtained results were plotted on graphs with average values, and
95% confidence intervals marked. 3.1. Microstructure Figure 3 presents a microphotograph of the filler used, which was prepared from ground wheat
bran with a grain size less than 0.4 mm. In terms of quantity, white crystals with dimensions much
smaller than the accepted upper limit of 0.4 mm and shape similar to a sphere are clearly dominant. Among them, there are several times larger thin flakes of brown or yellow color, the length and width
of which are close to the maximum adopted dimension, while the thickness is clearly smaller than the
other two dimensions. The microstructures of the studied composites extruded with the pineapple tip, the Maddock
tip, and the cut rings tip are presented in Figures 4–6, respectively. Extreme content was selected for
analysis to reveal the tendency of changes in the microstructure caused by the increasing content. It is
plainly visible that in all the photographs, thin brown-colored flakes have significantly smaller linear
dimensions than in photo 3, which may mean that these filler particles have little strength and are
crushed by the screw during processing. No privileged orientation of the flakes was found. White
crystals surrounded by a thin layer of plastic were visible on the surface of breakthroughs. Pores were
observed for all three studied screw tips, which may be a result of water vapor emission from bran
particles. However, for the cut rings tip, pores were noticeably larger and occurred in a much greater
number than for the other two tips. The reason for this can be found in the geometry of the cut rings 8 of 27 Polymers 2019, 11, 2120 tip, where the volume of the channel filled with the plasticized material is greater than in the case of
the pineapple tip and the Maddock tip, which results in a lower material pressure for this tip, allowing
the formation of pores with a larger volume. By comparing photographs of samples with 50% bran
content, it may be concluded that bran particles have a better adhesion to polyethylene when the
pineapple and Maddock’s tips are used than when the cut rings tip is in use. Photos 4b and 5b show
white crystals surrounded by a plastic layer on the surface of the breakthrough, which means that the
breakthrough line bypassed the filler particles. 3.1. Microstructure On the other hand, only a few white crystals are visible
in Figure 6b; however, flocky structures appeared, which were a remnant of the extraction of bran
particles from the layers of polyethylene covering them, forming the walls of pores. Polymers 2019, 11, x FOR PEER REVIEW
8 of 28 Figure 3. Microscopic image of wheat bran powder, fractions with a grain size less than 0.4 mm. Figure 3. Microscopic image of wheat bran powder, fractions with a grain size less than 0.4 mm. ymers 2019, 11, x FOR PEER REVIEW
9 o Figure 3. Microscopic image of wheat bran powder, fractions with a grain size less than 0.4 mm. Figure 3. Microscopic image of wheat bran powder, fractions with a grain size less than 0.4 mm. mers 2019, 11, x FOR PEER REVIEW
9 o Figure 3. Microscopic image of wheat bran powder, fractions with a grain size less than 0.4 mm. Figure 3. Microscopic image of wheat bran powder, fractions with a grain size less than 0.4 mm. mers 2019, 11, x FOR PEER REVIEW
9 The microstructures of the studied composites extruded with the pineapple tip, the Maddoc
ip, and the cut rings tip are presented in Figures 4–6, respectively. Extreme content was selected fo
analysis to reveal the tendency of changes in the microstructure caused by the increasing content. I
s plainly visible that in all the photographs, thin brown-colored flakes have significantly smalle
inear dimensions than in photo 3, which may mean that these filler particles have little strengt
and are crushed by the screw during processing. No privileged orientation of the flakes was found
White crystals surrounded by a thin layer of plastic were visible on the surface of breakthroughs
Pores were observed for all three studied screw tips, which may be a result of water vapor emissio
rom bran particles. However, for the cut rings tip, pores were noticeably larger and occurred in
much greater number than for the other two tips. The reason for this can be found in the geometr
of the cut rings tip, where the volume of the channel filled with the plasticized material is greate
han in the case of the pineapple tip and the Maddock tip, which results in a lower materia
pressure for this tip, allowing the formation of pores with a larger volume. 3.1. Microstructure By comparin
photographs of samples with 50% bran content, it may be concluded that bran particles have
Figure 4. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the pineapple mixing tip. Figure 4. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50% made
using the pineapple mixing tip. p
pp
p
p
ssure for this tip, allowing the formation of pores with a larger volume. By compar
tographs of samples with 50% bran content, it may be concluded that bran particles hav
Figure 4. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the pineapple mixing tip. Figure 4. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50% made
using the pineapple mixing tip. Polymers 2019, 11, 2120
Figure 4. View
made using th
made using th 9 of 27 Figure 5. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the Maddock mixing tip. Figure 5. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50% made
using the Maddock mixing tip. Figure 5. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the Maddock mixing tip. Figure 5. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the Maddock mixing tip. Figure 5. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50% made
using the Maddock mixing tip. Figure 5. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the Maddock mixing tip. Figure 6. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
Figure 6. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the cut rings mixing tip. Figure 6. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50% made
using the cut rings mixing tip. Figure 6. 3.1. Microstructure View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
Figure 6. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50%
made using the cut rings mixing tip. Figure 6. View of the breakthrough of the extrudate with a bran content of (a) 10% and (b) 50% made
using the cut rings mixing tip. made
3 2 Density
3.2. Density 3.2. Density
y
Figure 7 illustrates the determined density values of a normal extrudate produced with different
bran contents using the three screw mixing tips. The statistical analysis of the results (Welch’s t-test)
showed that there were statistically significant differences between them. The Tukey’s posthoc test
showed that in the case of the compared mixing tips, increasing the content of bran did not influence
the change in density, and statistically significant differences were observed only at the highest content
of 50%. The Maddock tip increased density, while the pineapple tip and cut rings tip decreased density. The highest density was discovered for the extrudate obtained using the Maddock and the pineapple
mixing tips. In the range of 10%–40% bran content, the density of the extrudate obtained with the
use of both these tips was similar. Significantly lower density values of the extrudates were obtained
for the cut rings mixing tip. This was probably due to the large number of air bubbles that can be
seen on the microscopic images of the breakthroughs of the extrudate obtained using this mixing tip. The densities obtained at 30% and 40% bran content were comparable to those obtained at 50% bran
content with the use of the pineapple tip. Polymers 2019, 11, 2120 10 of 27 Figure 7
Figure 7. Density of the extrudate obtained with the screw mixing tips tested, depending on bran
content (mean values with 95% confidence intervals). Figure 7
Figure 7. Density of the extrudate obtained with the screw mixing tips tested, depending on bran
content (mean values with 95% confidence intervals). It should be emphasized that the density values determined in line with the standard were not as
predicted. The density of bran determined using a pycnometric method (ISO 1183-1:2019) was 1.472
g/cm3, and the obtained densities of the tested compositions were lower than the density of water and
comparable to the density of polyethylene, which was 0.935 g/cm3. The probable cause is the presence
of bubbles visible in microscopic images, which increased the volume of the extrudate. 3.3. Water Absorption The results of measurements of the water absorption of the extrudate obtained using the screw
mixing tips that were tested, depending on bran content, are shown in Figure 8. The analysis showed
that statistically significant differences in water absorption between the used mixing tips of the screw
begin to occur at 30% bran content. Significantly higher water absorption is characteristic of the
extrudate obtained with the use of the cut rings tip. At 40% bran content, water absorption was the
same as that of the extrudate with 50% bran content obtained with the Maddock tip. This is due to the
penetration of water into numerous bubbles of considerable size present in this extrudate. In addition,
similarly to moisture absorption, the lowest water absorption is characteristic of the extrudate obtained
with the use of the Maddock tip. 11 of 27
ot allow
ity test, 11 of 27
ot allow
sity test, Polymers 2019, 11, 2120
sample is a lengthy
the filling of hollow g
Figure 8. Water absorption of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 8. Water absorption of the extrudate obtained with the screw mixing tips tested, depending on
bran content (mean values with 95% confidence intervals). Figure 8. Water absorption of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals)
Figure 8. Water absorption of the extrudate obtained with the screw mixing tips tested, depending on
bran content (mean values with 95% confidence intervals). 3.4. Moisture Content
The obtained results of moisture content of the samples, which was measured directly after
drying and then after 24 h and after 7 days of storage in a room with 25% air humidity and 22°C
temperature, are presented in Figure 9. It was observed that with the increase in the content of bran,
the moisture content of the extrudate increased significantly. In the case of the pineapple and
Maddock mixing tips, this was a proportional increase, whereas in the case of the cut rings tips, it
was exponential. 3.3. Water Absorption The moisture content of the extrudate obtained with the pineapple tip measured
On the basis of the obtained water absorption changes, it can be concluded that the plasticized
material effectively covers filler particles with a thin layer during processing up to 30% of bran content,
limiting water absorption only to the surface layer [23,27]. There, water is absorbed directly by the
exposed bran fragments and cannot penetrate into the extrudate through the plastic layers. With 40%
of bran, there is a steep increase in water absorption, which means that the plastic no longer fully
covers filler particles that come into contact with each other and allow water to penetrate into the
extrudate. For comparison, the measurements showed that polyethylene did not exhibit the ability to
absorb water. p
p
pp
p
after drying had a higher gain of 0.18% moisture per a 10% increase in bran content than that of the
extrudate obtained using the Maddock tip, which exhibited a 0.13% gain. The extrudate moisture
measured after 24 h for the pineapple tip was also slightly higher than that of the Maddock tip
extrudate. However, after 7 days, the moisture content of the extrudate obtained with the use of
these two mixing tips was comparable, and had risen by 0.26% per a 10% increase in the content of
bran. The extrudate obtained by using the cut rings tip in a range of up to 40% of bran content had a
The water absorption test also indicated the reason for obtaining low density values, even at high
bran contents. All the samples with bran content ranging from 10% to 30% floated on the water surface,
while the samples with 40% and 50% dropped to the bottom of the vessel. However, the descent
took place only after about 2 days. This means that the process of soaking water into the sample is a
lengthy one, and a short-term immersion in water during a density test does not allow the filling of
hollow spaces inside the bubbles. Hence, low values were obtained in the density test, even at high
filler contents. 3.4. Moisture Content The obtained results of moisture content of the samples, which was measured directly after drying
and then after 24 h and after 7 days of storage in a room with 25% air humidity and 22 ◦C temperature,
are presented in Figure 9. It was observed that with the increase in the content of bran, the moisture
content of the extrudate increased significantly. In the case of the pineapple and Maddock mixing
tips, this was a proportional increase, whereas in the case of the cut rings tips, it was exponential. The moisture content of the extrudate obtained with the pineapple tip measured after drying had a
higher gain of 0.18% moisture per a 10% increase in bran content than that of the extrudate obtained
using the Maddock tip, which exhibited a 0.13% gain. The extrudate moisture measured after 24 h
for the pineapple tip was also slightly higher than that of the Maddock tip extrudate. However, after
7 days, the moisture content of the extrudate obtained with the use of these two mixing tips was 12 of 27 Polymers 2019, 11, 2120 comparable, and had risen by 0.26% per a 10% increase in the content of bran. The extrudate obtained
by using the cut rings tip in a range of up to 40% of bran content had a similar, and sometimes even
lower, moisture content compared to that obtained by using the other tips. Still, for the bran content of
50%, the moisture measured after 24 h and 7 days was much higher, by 0.25% and 0.4% respectively,
compared to the pineapple tip. It can be assumed that it was the effect of moisture penetration into
deeper layers of the extrudate, which was caused by the less effective covering of filler particles by the
material shown in the microscopic photographs. Figure 9
Figure 9. Moisture content of the extrudate obtained with the use of the screw mixing tips tested
depending on the time and bran content. igure 9
Figure 9. Moisture content of the extrudate obtained with the use of the screw mixing tips tested
depending on the time and bran content. g
For comparison purposes, samples of extrudate made of polyethylene alone without bran were
also examined. The moisture content immediately after drying and after 24 h was 0.02% and 0.04%
after 7 days. 3.5. Tensile Testing The obtained results of Young modulus measurements for the tested extrudates are presented in
Figure 10. Statistical analysis showed that in the case of the Maddock tip, there were no significant
changes in the modulus as bran content rose. When the pineapple screw tip is used, increasing
bran content up to 40% also has no significant effect on the Young modulus. At the content of 50%,
a significant decrease in the modulus was observed, and the average value of 371 MPa—the lowest
value among the tested extrudate samples—was obtained. A statistically significant increase in the
modulus was observed in the case of the cut rings tip. It occurred in the range of 30%–40% of bran
content. At other contents, the results obtained for the extrudate produced with this tip did not
differ significantly. 13 of 27
of 28 13 of 27
of 28 Polymers 2019, 11, 2120
Polymers 2019 11 x FO Figure 10. Young modulus of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 10. Young modulus of the extrudate obtained with the screw mixing tips tested, depending on
bran content (mean values with 95% confidence intervals). Figure 10. Young modulus of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 10. Young modulus of the extrudate obtained with the screw mixing tips tested, depending on
bran content (mean values with 95% confidence intervals). Tensile testing of the extrudate samples showed a great impact of both bran content and screw
tips on tensile strength This was confirmed by the statistical analysis carried out The tensile
The Young modulus of extrudate samples made from polyethylene alone without bran was 426
MPa with a standard deviation of 37.3 MPa. Tensile testing of the extrudate samples showed a great impact of both bran content and screw
tips on tensile strength. This was confirmed by the statistical analysis carried out. The tensile
The Young modulus of extrudate samples made from polyethylene alone without bran was 426
MPa with a standard deviation of 37.3 MPa. tips on tensile strength. This was confirmed by the statistical analysis carried out. The tensile
strength and the corresponding deformation of the samples decreased proportionally with the
increase in bran content (Figures 11,12). 3.5. Tensile Testing When using the pineapple and Maddock tips with an
increase in the content of bran by 10%, tensile strength decreased on average by 1.76 MPa and strain
by 2%. The results obtained with the use of these two tips for each of the examined bran contents
did not differ significantly. On the other hand, the tensile strength of extrudate samples obtained
using the cut rings tip was considerably higher in the range of 30%–50% of bran content. This is also
reflected in the results of strain at tensile strength. It was clearly lower for the cut rings tip in this
range of bran content than for the other screw tips tested (Figure 12). In the case of the cut rings
screw tip, the proportional decrease in strength along with the gain in bran content was also smaller
and amounted to 1.48 MPa per 10% increase in bran content. Similar courses of changes in tensile
strength properties were obtained by the authors of works [14,42,53] on the application of
lignocellulosic fillers. The tensile strength of the polyethylene extrudate samples without bran was much higher and
amounted to 21 8 MPa with a standard deviation of 1 3 MPa On the other hand strain at tensile
Tensile testing of the extrudate samples showed a great impact of both bran content and screw
tips on tensile strength. This was confirmed by the statistical analysis carried out. The tensile strength
and the corresponding deformation of the samples decreased proportionally with the increase in bran
content (Figures 11 and 12). When using the pineapple and Maddock tips with an increase in the
content of bran by 10%, tensile strength decreased on average by 1.76 MPa and strain by 2%. The
results obtained with the use of these two tips for each of the examined bran contents did not differ
significantly. On the other hand, the tensile strength of extrudate samples obtained using the cut
rings tip was considerably higher in the range of 30%–50% of bran content. This is also reflected in
the results of strain at tensile strength. It was clearly lower for the cut rings tip in this range of bran
content than for the other screw tips tested (Figure 12). 3.5. Tensile Testing In the case of the cut rings screw tip, the
proportional decrease in strength along with the gain in bran content was also smaller and amounted
to 1.48 MPa per 10% increase in bran content. Similar courses of changes in tensile strength properties
were obtained by the authors of works [14,42,53] on the application of lignocellulosic fillers. amounted to 21.8 MPa, with a standard deviation of 1.3 MPa. On the other hand, strain at tensile
strength was an order of magnitude higher and amounted to 737% on average, with a standard
deviation of 32%. The tensile strength of the polyethylene extrudate samples without bran was much higher and
amounted to 21.8 MPa, with a standard deviation of 1.3 MPa. On the other hand, strain at tensile
strength was an order of magnitude higher and amounted to 737% on average, with a standard
deviation of 32%. 14 of 27
of 28 Polymers 2019, 11, 2120
Polymers 2019 11 x FO mers 2019, 11, 2120
14
lymers 2019, 11, x FOR PEER REVIEW
14 of 28
Figure 11. Tensile strength of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). Figure 11. Tensile strength of the extrudate obtained with the screw mixing tips tested, depending on
bran content (mean values with 95% confidence intervals). Figure 11. Tensile strength of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). Color Figure 11. Tensile strength of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 11. Tensile strength of the extrudate obtained with the screw mixing tips tested, depending on
bran content (mean values with 95% confidence intervals). Figure 11. Tensile strength of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 11. 3.5. Tensile Testing Tensile strength of the extrudate obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 11. Tensile strength of the extrudate obtained with the screw mixing tips tested, depending on
bran content (mean values with 95% confidence intervals). on bran content (mean values with 95% confidence intervals). Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
d
di
b
(
l
i h 95%
fid
i
l )
Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). Figure 12. Strain at tensile strength of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). depen
3 6 Colo
3.6. Color 3.6. Color
The obtained results of the measurements of the L, a, and b color parameters variability of the
extrudate produced using the screw mixing tips tested, depending on bran content, are shown in
Figures 13–15. It has been observed that with increasing bran content, the color of the extrudate
3.6. Color
The obtained results of the measurements of the L, a, and b color parameters variability of the
extrudate produced using the screw mixing tips tested, depending on bran content, are shown in
Figures 13–15. It has been observed that with increasing bran content, the color of the extrudate
The obtained results of the measurements of the L, a, and b color parameters variability of the
extrudate produced using the screw mixing tips tested, depending on bran content, are shown in
Figures 13–15. It has been observed that with increasing bran content, the color of the extrudate
obtained using all the screw tips studied gradually changes, starting from the mean differences of 2
< ∆E < 3.5 recognizable by an inexperienced person at bran content up to 30%, through clear color 15 of 27
of 28 15 of 27
of 28 Polymers 2019, 11, 2120
Polymers 2019, 11, x FO differences of 3.5 < ∆E < 5 for 40% bran content, up to large color differences of ∆E > 5 at 50% bran
content. Increasing the content of bran increases the luminance of the obtained extrudate; it becomes
whiter/lighter, which is connected with a noticeable content of bright particles visible in microscopic
photographs. At the same time, the a parameter is reduced, and the color of the extrudate becomes
greener. The b parameter in the case of the pineapple and Maddock screw mixing tips decreases as
the bran content rises and the color of the extrudate becomes bluer. However, when the cut rings
tip is used, the b parameter is slightly increased, and the color of the extrudate leans toward yellow. It should be noted that the color of the extrudate obtained by using the cut rings tip was different
from that obtained by using the other screw tips. Its color was darker and shifted toward yellow and
red. This may indicate a different mechanism of filler particles distribution in the cross-section of the
extrudate and a tendency to locate darker flakes, which were visible in Figure 3, closer to the extrudate
surface. depen
3 6 Colo
3.6. Color The registered values of parameters L, a, and b describing the color of unfilled polyethylene
were 67.3, −0.55, and −3.01 respectively. < ΔE < 3.5 recognizable by an inexperienced person at bran content up to 30%, through clear color
differences of 3.5 < ΔE < 5 for 40% bran content, up to large color differences of ΔE > 5 at 50% bran
content. Increasing the content of bran increases the luminance of the obtained extrudate; it
becomes whiter/lighter, which is connected with a noticeable content of bright particles visible in
microscopic photographs. At the same time, the a parameter is reduced, and the color of the
extrudate becomes greener. The b parameter in the case of the pineapple and Maddock screw
mixing tips decreases as the bran content rises and the color of the extrudate becomes bluer. However, when the cut rings tip is used, the b parameter is slightly increased, and the color of the
extrudate leans toward yellow. It should be noted that the color of the extrudate obtained by using
the cut rings tip was different from that obtained by using the other screw tips. Its color was darker
and shifted toward yellow and red. This may indicate a different mechanism of filler particles
distribution in the cross-section of the extrudate and a tendency to locate darker flakes, which were
visible in Figure 3, closer to the extrudate surface. The registered values of parameters L, a, and b
describing the color of unfilled polyethylene were 67.3, −0.55, and −3.01 respectively. Figure 13. Variability of the L, a, and b color parameters of the extrudate produced using the
pineapple mixing tip, depending on bran content. Figure 13. Variability of the L, a, and b color parameters of the extrudate produced using the pineapple
mixing tip, depending on bran content. Figure 13. Variability of the L, a, and b color parameters of the extrudate produced using the
pineapple mixing tip depending on bran content
Figure 13. Variability of the L, a, and b color parameters of the extrudate produced using the pineapple
mixing tip, depending on bran content. 3.7. Melt Flow Rate Melt flow rate (MFR) tests conducted on the extrudate samples are shown in Figure 16. A very
clear proportional decrease in MFR value was observed, on average by 0.77 g/10 min per 10% increase
in bran content. Statistical analysis also showed that the results obtained for the extrudates produced
with the Maddock tip and the pineapple tip were comparable, and were slightly lower for the cut
rings tip extrudate from 30% bran content. This was due to the similar shear rate of the two tips for
the processed plastic and a lower shear rate of the cut rings tip. On the other hand, the decrease in
the melt flow rate index in the function of the filler content is an obvious effect of the composition
viscosity increase caused by the presence of fine particles dispersed in the polymer matrix [72,73]. The determined melt flow rate index for polyethylene without wheat bran was 5.25 g/10 min with a
standard deviation of 0.05 g/10 min. Polymers 2019, 11, 2120
Polymers 2019 11 x FO 16 of 27
of 28 16 of 27
of 28 Figure 14. Variability of the L, a, and b color parameters of the extrudate produced using the
Maddock mixing tip depending on bran content
Figure 14. Variability of the L, a, and b color parameters of the extrudate produced using the Maddock
mixing tip, depending on bran content. Figure 14. Variability of the L, a, and b color parameters of the extrudate produced using the
Maddock mixing tip, depending on bran content. Fi
14 V
i bili
f
h
L
d b
l
f
h
d
d
d
i
h b co Figure 14. Variability of the L, a, and b color parameters of the extrudate produced using the
Maddock mixing tip depending on bran content
Figure 14. Variability of the L, a, and b color parameters of the extrudate produced using the Maddock
mixing tip, depending on bran content. Figure 14. Variability of the L, a, and b color parameters of the extrudate produced using the
Maddock mixing tip, depending on bran content. Maddock
i i g tip, depe di g o
b a
co te t Figure 15. Variability of the L, a, and b color parameters of the extrudate produced using the cut
rings mixing tip, depending on bran content. Figure 15. 3.7. Melt Flow Rate Variability of the L, a, and b color parameters of the extrudate produced using the cut
rings mixing tip, depending on bran content. Figure 15. Variability of the L, a, and b color parameters of the extrudate produced using the cut rings
mixing tip, depending on bran content. Figure 15. Variability of the L, a, and b color parameters of the extrudate produced using the cut
rings mixing tip depending on bran content
Figure 15. Variability of the L, a, and b color parameters of the extrudate produced using the cut
rings mixing tip depending on bran content
Figure 15. Variability of the L, a, and b color parameters of the extrudate produced using the cut rings
mixing tip, depending on bran content. 17 of 27 Polymers 2019, 11, 2120
g 2
Figure 16. Melt flow rate (150 ◦C; 5 kg) of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). 2
Figure 16. Melt flow rate (150 ◦C; 5 kg) of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). 2
Figure 16. Melt flow rate (150 ◦C; 5 kg) of the extrudate obtained with the screw mixing tips tested,
depending on bran content (mean values with 95% confidence intervals). 3.8. Mass Flow Rate The impact of bran content on the mass flow rate of the extruded plastic using the tested screw
mixing tips at constant screw speed is presented in Figure 17. The conducted analysis showed that
statistically significant differences in mass flow rate between the tips used begin to occur from 20% of
bran content. A significant gain in the plastic mass flow rate was observed along with the increasing
bran content when the pineapple and Maddock mixing tips were used. As a result of the increase in
the content of bran from 10% to 50%, an increase in the flow rate of 0.7 g/s on average was observed for
both tips, which corresponds to an increase of 27%. The obtained results for both these tips do not
differ significantly except for minor changes in the range of 20%–30% of bran content. In the case of
the cut rings tip, a slight increase in the flow rate of 0.2 g/s (8%) on average was observed as a result of
an increase in the content of bran above 10%. A further increase of bran content in the case of this
mixing tip did not cause any statistically significant changes in the plastic flow rate. The reason was
probably lower extrusion pressure arising from a higher volume of the channel in the cut rings tip,
which can be confirmed by a more intensive growth of pores observed in Figure 6. The mass flow rate
value obtained for polyethylene alone was 2.38 g/s with a standard deviation of 0.09 g/s. Polymers 2019, 11, 2120
Figure 16 18 of 27 Figure 17
Figure 17. Mass flow rate of the extruded plastic obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). Figure 17
Figure 17. Mass flow rate of the extruded plastic obtained with the screw mixing tips tested, depending
on bran content (mean values with 95% confidence intervals). 3.10. Thermal Propertie
3.10. Thermal Properties The characteristics of crystallinity degree, melting point, crystallization temperature, and glass
transition temperature of the extrudate were investigated by means of differential scanning
calorimetry. The analysis of Table 1 data obtained from DSC curves (Figure 19) indicates that both
the addition of a biocomponent and extrusion conditions narrowly impact the glass transition,
melting, and crystallization temperatures of the extrudate as compared to pure polyethylene. However, a slight decrease in crystallization temperature and an increase in melting temperature
may suggest that the structure of the extrudate contained larger crystallites of PE than those in pure
PE. The crystallinity degree of the extrudate visibly decreased in comparison with pure
polyethylene [88], especially for the extrudate obtained with the Maddock tip. Such a large addition
of a biofiller, which due to its hydrophilic nature is not fully compatible with hydrophobic PE,
causes the separation of polymer chains, reduces their mobility, and hinders the crystallization of
PE. Similar behavior has been described for bioorganic composites containing lignocellulosic
material and starch [1,89]. In the DSC curves of the first heating process, another additional
endothermic effect is visible in the temperature range from 30 to 105 °C. It is caused by the
evaporation of moisture contained in the extrudates. Since this effect occurs simultaneously with
the process of polyethylene fraction melting, it was not possible to determine the degree of
crystallinity of the extrudates in the first heating process. The characteristics of crystallinity degree, melting point, crystallization temperature, and glass
transition temperature of the extrudate were investigated by means of differential scanning calorimetry. The analysis of Table 1 data obtained from DSC curves (Figure 19) indicates that both the addition
of a biocomponent and extrusion conditions narrowly impact the glass transition, melting, and
crystallization temperatures of the extrudate as compared to pure polyethylene. However, a slight
decrease in crystallization temperature and an increase in melting temperature may suggest that the
structure of the extrudate contained larger crystallites of PE than those in pure PE. The crystallinity
degree of the extrudate visibly decreased in comparison with pure polyethylene [88], especially for
the extrudate obtained with the Maddock tip. Such a large addition of a biofiller, which due to its
hydrophilic nature is not fully compatible with hydrophobic PE, causes the separation of polymer
chains, reduces their mobility, and hinders the crystallization of PE. Similar behavior has been described
for bioorganic composites containing lignocellulosic material and starch [1,89]. g
3.9. FTIR Spectroscopy In order to check whether the extrusion process affects the changes in the chemical structure
of bran and polyethylene, ATR-FTIR analysis was performed. The FTIR spectrum of polyethylene
(Figure 18) shows characteristic absorption bands at 2916, 2849, 1471, and 1377 cm−1 from stretching
and deformation vibrations of methylene groups. Additionally, the presence of an absorption band at
1377 cm−1 indicates the presence of branches in the linear structure of PE. On the spectrum obtained for
the bran sample (Figure 18), characteristic absorption bands are observed for the following vibrations:
3311 cm−1 for vibrations of –OH groups (present in polysaccharides, phenolic compounds, and water);
2924 and 2854 cm−1 for vibrations of methyl and methylene groups; 1743 cm−1 for vibrations of C=O
groups present in carbonyl compounds (in bran present mainly in pectin and hemicellulose) [82–84];
1648 cm−1 for vibrations of the –OH group from water absorbed by starch [85,86] and vibrations of the
amide group C–N present in proteins; 1546 cm−1 for vibrations of the N–H amide group present in
proteins [87]; and lastly, 1150, 1078, 1017,and 999 cm−1 for vibrations of the C–O–C and C–O groups
present in the structure of polysaccharides, especially starch, cellulose, hemicellulose, pectin, and lignin. The FTIR spectra of polyethylene(PE) and bran composite samples (Figure 18) show absorption bands
present in the spectra of both components. No changes in absorption bands caused by the bioorganic
component were observed, which indicates that no changes in its chemical structure occurred during
the process of composite production. Polymers 2019, 11, 2120
Polymers 2019, 11, x F 19 of 27
28 Figure 18. FTIR spectra of polyethylene (PE), wheat bran (WB), and composites containing 50% of
wheat bran made using the Maddock (PE-M), pineapple (PE-P), and cut rings (PE-C) tips. Figure 18. FTIR spectra of polyethylene (PE), wheat bran (WB), and composites containing 50% of
wheat bran made using the Maddock (PE-M), pineapple (PE-P), and cut rings (PE-C) tips. Figure 18. FTIR spectra of polyethylene (PE), wheat bran (WB), and composites containing 50% of
wheat bran made using the Maddock (PE-M), pineapple (PE-P), and cut rings (PE-C) tips. Figure 18. FTIR spectra of polyethylene (PE), wheat bran (WB), and composites containing 50% of
wheat bran made using the Maddock (PE-M), pineapple (PE-P), and cut rings (PE-C) tips. Figure 18. g
3.9. FTIR Spectroscopy FTIR spectra of polyethylene (PE), wheat bran (WB), and composites containing 50% of
wheat bran made using the Maddock (PE-M), pineapple (PE-P), and cut rings (PE-C) tips. Figure 18. FTIR spectra of polyethylene (PE), wheat bran (WB), and composites containing 50% of
wheat bran made using the Maddock (PE-M), pineapple (PE-P), and cut rings (PE-C) tips. 3.10. Thermal Propertie
3.10. Thermal Properties In the DSC curves of
the first heating process, another additional endothermic effect is visible in the temperature range
from 30 to 105 ◦C. It is caused by the evaporation of moisture contained in the extrudates. Since this
effect occurs simultaneously with the process of polyethylene fraction melting, it was not possible to
determine the degree of crystallinity of the extrudates in the first heating process. Table 1. Glass transition, melting, and crystallization temperatures and crystallinity degree of
polyethylene and its composites obtained on the basis of DSC tests. Table 1. Glass transition, melting, and crystallization temperatures and crystallinity degree of
polyethylene and its composites obtained on the basis of DSC tests. polyethylene and its composites obtained on the basis of DSC tests. Sample
Heating I
Cooling
Heating II
Tm
[◦C]
∆Hm [J/g]
Xc [%]
Tg [◦C]
Tc [◦C]
Tm
[◦C]
∆Hm
[J/g]
Xc [%]
PE
125.5
155.3
56.99
−113.6
108.3
125.0
177.0
64.96
Pineapple tip
126.0
-
-
−114.4
107.4
126.5
93.5
63.82
Cut rings tip
126.0
-
-
−111.7
107.7
125.7
87.6
59.80
Maddock tip
128.2
-
-
−106.6
107.1
127.0
80.4
54.88 20 of 27 Polymers 2019, 11, 2120 Figure 19. DSC curves of components and composites with 50% bran content obtained in an inert
atmosphere. Figure 19. DSC curves of components and composites with 50% bran content obtained in an
inert atmosphere. Figure 19. DSC curves of components and composites with 50% bran content obtained in an inert
atmosphere. Figure 19. DSC curves of components and composites with 50% bran content obtained in an
inert atmosphere. Table 1. Glass transition, melting, and crystallization temperatures and crystallinity degree of
polyethylene and its composites obtained on the basis of DSC tests. Knowledge of thermal resistance is necessary to determine the temperature of processing and the
temperature of application of polymeric materials, including their bran composites. The process of
composite manufacturing often requires the use of temperatures close to the decomposition temperature
of the bioorganic component; therefore, the characteristics of its thermal resistance are important. Thermogravimetric measurements in an oxidizing atmosphere were performed in order to obtain the 21 of 27 Polymers 2019, 11, 2120 full thermal characteristics of components and moldings containing 50% of bran. Based on TG curves
(Figure 20), the thermal resistance of the composites is lower than that of PE. 3.10. Thermal Propertie
3.10. Thermal Properties The initial decomposition
temperature (IDT, marked as 5% of the mass loss) for PE is 327 ◦C, whereas for the cut rings tip,
it decreased to 236 ◦C (Table 2). The decline in thermal resistance is due to the presence of a filler
that has a lower IDT value (180 ◦C). Moreover, in the case of the cut rings tip sample, the decrease in
IDT is probably the greatest because bran particles were not fully covered with a polymer, as shown
by microscopic tests. Pure polyethylene undergoes thermal degradation in three stages, with the
maximum rate of mass loss at temperatures of 398, 445, and 502 ◦C. The decomposition is based
on thermo-oxidation processes and its main product is carbon dioxide, whose emission is reflected
by absorption bands at 2300–2365 and 669 cm−1 present in the 3D FTIR spectrum (Figure 21). The
bran sample decomposes by oxidation in a two-stage process, which can be seen as two maxima in
the DTG curve (Figure 20). The first stage with maximum decomposition at 296 ◦C is related to the
oxidation of polysaccharides and proteins. This process takes place at similar temperatures for starch,
proteins, and lignocellulose; therefore, no separate DTG peaks for individual bran components are
observed under the conditions of the analysis. The second stage with maximum decomposition at
473 ◦C is related to the oxidation of the carbon residue produced after the first stage. Additionally, an
8% weight loss observed already at temperatures below 100 ◦C is caused by the emission of water
absorbed in the sample. The susceptibility of bran to water adsorption results from the properties
of the polysaccharides composing it, especially starch (the presence of which was confirmed by an
FTIR analysis and a quality test with iodine) [85,86]. The obtained composite extrudates undergo
thermal decomposition in five stages with the maximum rate of mass loss at temperatures of about
300, 339, 405, 458, and 491 ◦C. The first stage of decomposition is preceded by weight loss, reaching
approximately 4.5% for all examined extrudate samples, caused by water desorption. In the first two
stages of decomposition, the bioorganic fraction is oxidized; the next two stages of decomposition
are related to the oxidation of the PE fraction, while the fifth stage is related to the oxidation of the
produced residues. Surprisingly, an additional not fully separated peak at about 339 ◦C is observed
on DTG curves. 3.10. Thermal Propertie
3.10. Thermal Properties TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock, pineapple, and cut rings
Figure 20. TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock, pineapple, and cut rings tips. ymers 2019, 11, x FOR PEER REVIEW
23 o Figure 20. TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock pineapple and cut rings
Figure 20. TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock, pineapple, and cut rings tips. mers 2019, 11, x FOR PEER REVIEW
23 o Figure 20. TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock pineapple and cut rings
Figure 20. TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock, pineapple, and cut rings tips. mers 2019, 11, x FOR PEER REVIEW
23 of tips. Table 2. Results obtained from TG and DTG curves for PE, bran, and composites containing 50%
wheat bran made using the Maddock, pineapple, and cut rings tips. Sample
Tmax1
[°C]
Δ m1
[%]
Tmax2
[°C]
Δ m2
[%]
Tmax3
[°C]
Δ m3
[%]
Tmax4
[°C]
Δ m4
[%]
Rm
[%
PE
-
-
398
78.3
445
15.7
502
7.0
0
Bran
296
66.0
-
-
-
-
473
31.5
2.5
Pineapple
tip
300
48.7
405
10.3
458
22.3
491
16.9
1.8
Cut rings
tip
293
45.0
401
10.1
470
26.5
495
16.8
1.6
Maddock
tip
299
32.3
409
29.6
458
19.4
495
17.4
1.3
Figure 21. 3D FTIR spectra of gaseous decomposition products; A—PE samples, B—composite
containing 50% of wheat bran extruded with the pineapple tip, C—bran samples. Figure 21. 3D FTIR spectra of gaseous decomposition products; (A)—PE samples, (B)—composite
containing 50% of wheat bran extruded with the pineapple tip, (C)—bran samples. ut rings
tip
293
45.0
401
10.1
470
26.5
495
16.8
addock
ti
299
32.3
409
29.6
458
19.4
495
17.4
Figure 21. 3.10. Thermal Propertie
3.10. Thermal Properties Its presence may be associated with the slowdown of bran decomposition due to its
particles being covered with thermally more resistant polyethylene. This results in a slower diffusion
of heat into the interior of the extrudate, and so the starch, protein substances, hemicellulose, and
cellulose are first broken down (at about 300 ◦C). However, lignin, which is a cross-linked polymer
containing aromatic groups and has a higher thermal resistance, decomposes at about 339 ◦C in the
next stage. In the 3D FTIR spectrum of gases emitted during the decomposition of the extrudates
(Figure 21), only absorption bands from carbon dioxide and water are observed, and the decomposition
of composites takes place in a wider temperature range in comparison with individual components. This is caused on the one hand by the slower diffusion of heat into the sample, especially at higher
temperatures, and on the other hand by hindered diffusion from the sample interior of the produced
gaseous decomposition products [90]. Table 2. Results obtained from TG and DTG curves for PE, bran, and composites containing 50% wheat
bran made using the Maddock, pineapple, and cut rings tips. Sample
Tmax1
[◦C]
∆m1
[%]
Tmax2
[◦C]
∆m2
[%]
Tmax3
[◦C]
∆m3
[%]
Tmax4
[◦C]
∆m4
[%]
Rm
[%]
PE
-
-
398
78.3
445
15.7
502
7.0
0
Bran
296
66.0
-
-
-
-
473
31.5
2.5
Pineapple tip
300
48.7
405
10.3
458
22.3
491
16.9
1.8
Cut rings tip
293
45.0
401
10.1
470
26.5
495
16.8
1.6
Maddock tip
299
32.3
409
29.6
458
19.4
495
17.4
1.3 Table 2. Results obtained from TG and DTG curves for PE, bran, and composites containing 50% wheat
bran made using the Maddock, pineapple, and cut rings tips. 22 of 27
22 of 28 Polymers 2019, 11, 2120
Polymers 2019, 11, x FOR Figure 20. TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock, pineapple, and cut rings
Figure 20. TG and DTG curves obtained in oxidizing atmosphere for polyethylene (PE), wheat bran,
and composites containing 50% of wheat bran made using the Maddock, pineapple, and cut rings tips. Polymers 2019, 11, x FOR PEER REVIEW
23 of Figure 20. 4. Conclusions The conducted tests confirmed that it is possible to use ground wheat bran as a filler of
thermoplastics, even at a high filling level. Bran content in the biocomposite has the greatest impact on almost all the examined values. The results of the experimental tests showed that the design of the screw mixing tips also has a
significant influence on the characteristics of the single screw extrusion process as well as on the
physical, mechanical, and structural properties of the obtained biocomposite lignocellulosic extrudate
with a low-density polyethylene matrix. The type of the tip used affects the distribution of filler particles, the effectiveness with which
they are coated by the matrix material and the course of pore formation. A significant influence of
these factors on water and moisture absorption and density was shown. From 40% bran content, the
extrudate structure allows fluids to freely penetrate into the interior of the extrudate. The highest
water and moisture absorption was observed in the samples prepared with the use of the cut rings
mixing tip, which is associated with a higher volume of the working channel of this tip and the lower
pressure of the material in relation to the other two tips, which enables pores to increase in volume. The introduction of wheat bran to polyethylene caused a slight increase in sample stiffness and a
significant decrease in tensile strength and elongation. The highest strength was obtained for samples
extruded with the cut rings tip. The thermal resistance of the extruded materials decreased in comparison to pure polyethylene,
especially when using the cut rings tip. Oxidative decomposition of the samples did not lead to
emissions of harmful organic gases. The addition of bran also reduced the degree of crystallinity
of composites. The color of the samples filled with bran changed to yellow and red tones with a simultaneous
increase in brightness. This was related to the color and composition of the bran itself. The darkest
and most yellow color was obtained for the cut rings tip, which is related to the filler distribution
mechanism and the colored flakes being located closer to the surface of the extrudate. Although the
cut rings tip, due to its geometry, employs distributive mixing, the quality of filler particle distribution
is relatively poor, as confirmed by color tests. Potential use of the tested composites will depend on the content of wheat bran. 3.10. Thermal Propertie
3.10. Thermal Properties 3D FTIR spectra of gaseous decomposition products; A—PE samples, B—composite
containing 50% of wheat bran extruded with the pineapple tip, C—bran samples. Figure 21. 3D FTIR spectra of gaseous decomposition products; (A)—PE samples, (B)—composite
containing 50% of wheat bran extruded with the pineapple tip, (C)—bran samples. Polymers 2019, 11, 2120 23 of 27 Conflicts of Interest: The authors declare no conflicts of interest. References 1. Muniyadi, M.; Yit Siew Ng, T.; Munusamy, Y.; Xian Ooi, Z. Mimusopselengi seed Shell powder as a new
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use compositions with a high filling rate, i.e., from 40% by mass, for manufacturing products with a
short life cycle. Such products usually do not have to meet strict durability requirements; they are
disposed of after a short period of use. In such a case, the use of the cut rings tip would be justified. It allows for comparable mechanical strength, but at the same time also for the formation of pores
of considerable size. The porous structure increases water and moisture absorption, accelerating
degradation at the end of use. However, the studied compositions with wheat bran content below
40% by mass exhibited much lower water and moisture absorption levels, which means that they
could be used for the production of parts with a longer life cycle or even periodically used outside. In this case, the use of pineapple and Maddock tips would be justified because of the much better
homogenization and adhesion of filler particles to polyethylene due to less intense pore formation,
which would potentially extend the life of the product. Author Contributions: E.S. conceived and designed the experiments; E.S. and Ł.M. performed the main
experiments including samples preparation; Ł.M. performed physical, mechanical, processing, and structural
properties tests; M.G. preformed DSC, TG, and FTIR tests, interpreted, and edited data obtained from DSC, TG,
and FTIR curves; E.S. was responsible for data curation and statistical analysis of the data; E.S., Ł.M. and M.G. prepared the draft and wrote the paper; M.G. critically revised and edited the accomplished paper; E.S., Ł.M. and
M.G. approved the final version of the paper. Funding: The research was financed in the framework of the project Lublin University of Technology-Regional
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(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
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A Neural N-Gram-Based Classifier for Chinese Clinical Named Entity Recognition
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Citation: Lin, C.-S.; Jwo, J.-S.;
Lee, C.-H. A Neural N-Gram-Based
Classifier for Chinese Clinical Named
Entity Recognition. Appl. Sci. 2021, 11,
8682. https://doi.org/10.3390/
app11188682 Keywords: clinical named entity recognition; n-gram character embeddings; self-attention; BiLSTM Ching-Sheng Lin 1,*, Jung-Sing Jwo 1,2 and Cheng-Hsiung Lee 1 1
Master Program of Digital Innovation, Tunghai University, Taichung 40704, Taiwan; jwo@thu.edu.tw (J.-S.J.);
hsiung@thu.edu.tw (C.-H.L.)
2
Department of Computer Science, Tunghai University, Taichung 40704, Taiwan
*
Correspondence: cslin612@thu.edu.tw 1
Master Program of Digital Innovation, Tunghai University, Taichung 40704, Taiwan; jwo@thu.edu.tw (J.-S.J.);
hsiung@thu.edu.tw (C.-H.L.)
2
Department of Computer Science, Tunghai University, Taichung 40704, Taiwan
*
Correspondence: cslin612@thu.edu.tw 1
Master Program of Digital Innovation, Tunghai University, Taichung 40704, Taiwan; jwo@thu.edu.tw (J.-S.J.);
hsiung@thu.edu.tw (C.-H.L.)
2
Department of Computer Science, Tunghai University, Taichung 40704, Taiwan
*
Correspondence: cslin612@thu.edu.tw Abstract: Clinical Named Entity Recognition (CNER) focuses on locating named entities in electronic
medical records (EMRs) and the obtained results play an important role in the development of
intelligent biomedical systems. In addition to the research in alphabetic languages, the study of
non-alphabetic languages has attracted considerable attention as well. In this paper, a neural model
is proposed to address the extraction of entities from EMRs written in Chinese. To avoid erroneous
noise being caused by the Chinese word segmentation, we employ the character embeddings as the
only feature without extra resources. In our model, concatenated n-gram character embeddings are
used to represent the context semantics. The self-attention mechanism is then applied to model long-
range dependencies of embeddings. The concatenation of the new representations obtained by the
attention module is taken as the input to bidirectional long short-term memory (BiLSTM), followed
by a conditional random field (CRF) layer to extract entities. The empirical study is conducted on the
CCKS-2017 Shared Task 2 dataset to evaluate our method and the experimental results show that our
model outperforms other approaches. Citation: Lin, C.-S.; Jwo, J.-S.;
Lee, C.-H. A Neural N-Gram-Based
Classifier for Chinese Clinical Named
Entity Recognition. Appl. Sci. 2021, 11,
8682. https://doi.org/10.3390/
app11188682 Article
A Neural N-Gram-Based Classifier for Chinese Clinical Named
Entity Recognition Ching-Sheng Lin 1,*, Jung-Sing Jwo 1,2 and Cheng-Hsiung Lee 1 applied
sciences applied
sciences applied
sciences 1. Introduction Academic Editors: Julian Szymanski,
Andrzej Sobecki, Higinio Mora and
Doina Logofătu With the rapid development of information technology, medical institutions have
widely used electronic medical records (EMRs) to facilitate data collection which includes
patient health information, diagnostic tests, procedures performed and clinical decision
making. EMRs contain valuable clinical data and a large amount of medical information of
patients which can have critical implications for future health care delivery. However, most
of the EMRs are in the unstructured format which is difficult to extract to build intelligent
biomedical systems and, most importantly, can hinder large-scale knowledge discovery. Therefore, it is urgent to explore effective approaches to convert EMRs into structured
forms for improving the quality-of-care delivery. Received: 7 July 2021
Accepted: 13 September 2021
Published: 17 September 2021 Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations. The task of Information Extraction (IE) refers to identify and recognize the instances
of the structured semantics (e.g., predefined classes of entities and relationships among
entities) from unstructured or semi-structured text [1]. The continued expansion of EMRs
has attracted researchers’ interests and led to an active research topic called Biomedical
Information Extraction (BioIE). BioIE aims to discover structured information from un-
structured clinical notes and narratives that can be used by clinicians, researchers and
applications. In general, there are three main subtasks in the BioIE: (1) Named Entity Recog-
nition (NER) which aims to categorize entity names in clinical and biomedical domains,
(2) Relation Extraction (RE) which targets the detection of semantic relations between
entities and (3) Event Extraction (EE) which explores a more detailed alternative to pro-
duce a formal representation to extract the knowledge within the targeted documents [2]. BioIE is a hot and active research topic at the crossroads of Chemistry, Biology, Medicine,
Computational Engineering and Natural Language Processing. A growing number of Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). https://www.mdpi.com/journal/applsci Appl. Sci. 2021, 11, 8682. https://doi.org/10.3390/app11188682 Appl. Sci. 1. Introduction 2021, 11, 8682 2 of 10 workshops and conferences are testimony to its continuing importance and potential. IEEE
International Conference on Bioinformatics and Biomedicine (IEEE BIBM) and Interna-
tional Workshop on Health Text Mining and Information Analysis (LOUHI) are held to
provide interdisciplinary forums for researchers interested in automated processing and
information extraction of health documents. Two distinguished computational linguis-
tics conferences, ACL and COLING, and affiliated workshops have always considered
information extraction and clinical text modeling as topics of interest [3]. g
p
NER occupies a very important position in the field of natural language processing
(NLP) and has been largely studied for decades especially in the general domain like news
articles. It focuses on identifying and classifying all mentions of a subset of nouns such
as places, persons, and organizations [4]. NER plays an essential role as a pre-processing
step for downstream tasks which include question answering, information retrieval and
relation extraction. With experiencing an ever-increasing explosion of EMRs, clinical
named entity recognition (CNER) is of interest for researchers and many competitions have
been organized in order to promote the development and stimulate the community [5]. Unlike the NER in the general domain, CNER, which consists of a large number of clinical
terms and professional designations, aims to recognize entities in EMR (such as disease,
symptom and body part) and benefit other intelligent clinical systems for health monitoring,
prognosis, diagnostics, and treatment. In addition to the research of CNER in English, other
languages have also gained prominence and Chinese is one of the core research topics. Compared with the CNER of alphabetic languages represented by English, Chinese CNER
faces the following challenges [6–8]: •
The ambiguous chunk of text corresponds to the same character sequence but to
different named entities. For example, “泌尿道感染” (urinary tract infection) could
refer to the disease entity or symptom entity depending on the context; •
The ambiguous chunk of text corresponds to the same character sequence but to
different named entities. For example, “泌尿道感染” (urinary tract infection) could p
(
y
refer to the disease entity or symptom entity depending on the context; •
There are no clear word boundaries in Chinese text and the effect of word segmentation
will significantly impact the performance of the NER. For example, “小腸切除術”
(small bowel resection) is a treatment entity if it is considered as one segmentation unit. 2. Related Work Since the growth of EMRs has increased considerably over recent decades, the CNER
problem has drawn much interest and a great deal of research effort has been devoted
to the study and development as well. Basically, four representative types of methods
are proposed to perform the task which include rule-based, dictionary-based, machine
learning and deep learning approaches [9–11]. In the early stage, rule-based approaches were the dominant approaches to solve the
CNER problem. The adoption of heuristic information, handcrafted features [12,13] and
lexical resources [14,15] is designed to detect clinical entities. Although playing a critical
role before, rule-based approaches heavily require expert domain knowledge, resulting in
being difficult to transfer to different fields. Traditionally, dictionary-based methods take advantage of existing clinical vocabu-
laries to extract entities and were widely applied due to their simplicity [15,16]. Several
clinical ontologies and vocabularies, such as MeSH [17] and SNOMED-CT [18], have been
proposed. However, the performance is limited by the size of the lexicon and could lead
to low recall when the input data contains a high number of out-of-dictionary entities. Additionally, similar to the rule-based approaches, dictionary-based approaches also lack
generalizability and require tremendous human effort to build the lexicons. Since machine learning methods have been successfully used for sequence labelling
tasks such as POS tagging, NER and chunking, the CNER task has also been transformed
into a sequence labelling problem and is solved by various machine learning algorithms. Typically, feature engineering is performed on the input sentence to convert the data
into numerical representation. Three typical supervised sequence tagging models (HMM,
MEMM, and CRF) based on n-gram and position features are evaluated for the name
recognition in traditional Chinese clinical records where CRF achieves better performance
than the other two classifiers [19]. Support Vector Machine (SVM) with word shape and
part-of-speech features is applied to recognize biomedical named entity and obtains a
precision rate of 84.24% and a recall rate of 80.76% [20]. However, most of these machine
learning methods rely on pre-defined features (such as lexical, syntactic, and semantic
features) and are difficult to generalize to different datasets. In recent years, since deep learning techniques are growing fast and have achieved
significant success across various applications, the prevailing approaches have shifted to
the employment of deep learning methods. The Long Short-Term Memory (LSTM) network
is suitable for learning temporal relations and has been widely used in NLP tasks [21]. 2. Related Work A
BiLSTM-CRF approach, which is a neural network system based on bidirectional LSTMs
and CRF, is proposed to solve the Chinese CNER problem using specialized word embed-
dings as feature representations and the external health domain lexicons as the knowledge
base [22]. The system reports 87.95% in F-score on the CCKS-2017 (task 2) CNER dataset. Another bidirectional RNN-CRF model for recognizing Chinese CNER adopts concatenated
n-gram embeddings and also includes word segmentation information, part-of-speech
tagging and medical entity vocabulary as additional features [23]. Unlike the previous
research relying on other miscellaneous information, in this paper, we present a neural
n-gram based classifier without external resources. 1. Introduction However, if the word segmentation model splits it into “小腸” (small intestine) and “切
除術” (resection), their entity types will become body part and treatment, respectively; •
Because of the casual use of Chinese abbreviations for clinical entities written by
doctors, it may result in multiple expressions of the same entity. For example, “盲腸
炎” and “闌尾炎” could all refer to appendicitis. In this paper, we propose an n-gram based neural network to model the Chinese CNER
task as a sequence labelling problem. Given a sentence, we represent text at character level
to avoid erroneous noise being caused by the Chinese word segmentation technique. We
employ the character embeddings as the only feature. More specifically, adjacent character
embeddings are integrated into n-gram features (unigrams, bigrams and trigrams). They
are then given to a self-attention mechanism to learn long-term dependencies. Finally,
a Bidirectional Long Short-Term Memory (BiLSTM) is applied to encode the sequential
structure and capture contextual features, followed by a Conditional Random Field (CRF)
layer to consider the correlations between adjacent tags for predicting the label sequence. There are two main contributions in this paper: •
We propose an Att-BiLSTM-CRF model to perform the Chinese CNER task based
on combinations of n-gram character embeddings of different lengths without using
external knowledge. Unlike other approaches in the literature which rely on domain-
specific resources and may limit the ability of generalization, our model will be scalable
to other datasets. •
We assess the effectiveness of the proposed model on the CCKS-2017 Shared Task 2
dataset. Our model obtains an F-score of 89.33% and performs better than other
competitive methods including CNN, BiLSTM and BERT based models which have
F-scores in the range 87.75% to 88.51%. Appl. Sci. 2021, 11, 8682 3 of 10 3 of 10 The remainder of this paper is organized as follows. Section 2 reviews several tech-
niques related to the work of this paper. The proposed model is described in Section 3. We
explain the experimental setup and report the results in Section 4. In Section 5, we present
conclusions and also discuss future research avenues. 3. The Proposed Approach The Chinese CNER task is modeled as a sequence labelling problem in this work. Given an input sequence X with t characters (i.e., X = (x1, x2 . . . , xt)), the goal is to label
each character xi with a predefined tag based on the tagging scheme to obtain an output
sequence Y = (y1, y2 . . . , yt). We use BIO as the annotation strategy where B denotes the Appl. Sci. 2021, 11, 8682 4 of 10
ch beginning of an entity, I denotes the middle of an entity and O denotes not an entity. In
addition, the B and I tags need to be followed by an entity type such as B-BODY and I-
BODY for the Body entity type. A tagging result of an input sentence “左側髖部正常” (the
left hip is normal) is displayed in Table 1. ning of an entity, I denotes the middle of an entity and O denotes not an entity. In
dition, the B and I tags need to be followed by an entity type such as B-BODY and I-
DY for the Body entity type. A tagging result of an input sentence “左側髖部正常” (the
hip is normal) is displayed in Table 1. Table 1. An entity tagging example of “左側髖部正常”. 左
側
髖
部
正
常
BIO
B-BODY
I-BODY
I-BODY
I-BODY
O
O
ble 1. An entity tagging example of “左側髖部正常”. 左
側
髖
部
正
常
BIO
B-BODY
I-BODY
I-BODY
I-BODY
O
O Table 1. An entity tagging example of “左側髖部正常”. le 1. An entity tagging example of “左側髖部正常”. Table 1. An entity tagging example of “左側髖部正常”. le 1. An entity tagging example of “左側髖部正常”. The proposed Att-BiLSTM-CRF model shown in Figure 1 is composed of six building
blocks: Embeddings, N-gram, Attention, Concatenation, BiLSTM and CRF layers. The
Embeddings Layer converts each input character into an embeddings vector and the
N-gram Layer applies n-gram techniques on embeddings to form n-gram embeddings
(n from 1 to 3). The Attention Layer employs self-attention on n-gram embeddings and
the Concatenation Layer combines the self-attention representations. The BiLSTM Layer
captures the features of the previous concatenated results and then the CRF Layer takes
the BiLSTM Layer output to decode the tag sequence. The method of n-gram character
embeddings and details of the neural entity recognition model will be discussed in the
following sections. 3. The Proposed Approach The proposed Att-BiLSTM-CRF model shown in Figure 1 is composed of six building
cks: Embeddings, N-gram, Attention, Concatenation, BiLSTM and CRF layers. The
beddings Layer converts each input character into an embeddings vector and the N-
m Layer applies n-gram techniques on embeddings to form n-gram embeddings (n
m 1 to 3). The Attention Layer employs self-attention on n-gram embeddings and the
ncatenation Layer combines the self-attention representations. The BiLSTM Layer cap-
es the features of the previous concatenated results and then the CRF Layer takes the
STM Layer output to decode the tag sequence. The method of n-gram character em-
ddings and details of the neural entity recognition model will be discussed in the fol-
wing sections. following sections. gure 1. The system architecture of our approach. 1. N-Gram Character Embeddings
In an n-gram model which is a widely used concept in the NLP field, each sentence
represented by a sequence of n consecutive units. To reduce the ambiguity of segmen-
ion for Chinese words, we use the character as the basic unit rather than a word. For
ample, given an input Chinese sentence “胃部疼痛” (stomach-ache), the unigram is {胃
部, 疼, 痛}, the bigram is {胃部, 部疼, 疼痛} and the trigram is {胃部疼, 部疼痛}. For a sentence X = (x1, x2…, xt) with t characters, the embedding process is designed
transform each character into a distributed and dense vector representation Rd, where
s the size of the character embedding. The Embeddings Layer, a part of the neural net-
ork, is initialized with random vectors and learns to represent all the characters in the
Figure 1. The system architecture of our approach. 3.1. N-Gram Character Embeddings
In an n-gram model which is a widely used concept in the NLP field, each sentence is
represented by a sequence of n consecutive units. To reduce the ambiguity of segmentation
for Chinese words, we use the character as the basic unit rather than a word. For example,
given an input Chinese sentence “胃部疼痛” (stomach-ache), the unigram is {胃, 部, 疼, 痛},
the bigram is {胃部, 部疼, 疼痛} and the trigram is {胃部疼, 部疼痛}. For a sentence X = (x1, x2 . . . , xt) with t characters, the embedding process is designed
to transform each character into a distributed and dense vector representation Rd, where
d is the size of the character embedding. N-Gram Character Embeddings
3.1. N-Gram Character Embeddings N-Gram Character Embeddings
In an n-gram model which is a widely used concept in the NLP field, each sentence
presented by a sequence of n consecutive units. To reduce the ambiguity of segmen-
on for Chinese words, we use the character as the basic unit rather than a word. For
mple, given an input Chinese sentence “胃部疼痛” (stomach-ache), the unigram is {胃
疼痛} th bi
i {胃部部疼疼痛}
d th t i
i {胃部疼部疼痛}
In an n-gram model which is a widely used concept in the NLP field, each sentence is
represented by a sequence of n consecutive units. To reduce the ambiguity of segmentation
for Chinese words, we use the character as the basic unit rather than a word. For example,
given an input Chinese sentence “胃部疼痛” (stomach-ache), the unigram is {胃, 部, 疼, 痛},
the bigram is {胃部, 部疼, 疼痛} and the trigram is {胃部疼, 部疼痛}. N-Gram Character Embeddings
In an n-gram model which is a widely used concept in the NLP field, each sentence
epresented by a sequence of n consecutive units. To reduce the ambiguity of segmen-
on for Chinese words, we use the character as the basic unit rather than a word. For
mple, given an input Chinese sentence “胃部疼痛” (stomach-ache), the unigram is {胃
部疼痛} th bi
i {胃部部疼疼痛}
d th t i
i {胃部疼部疼痛}
In an n-gram model which is a widely used concept in the NLP field, each sentence is
represented by a sequence of n consecutive units. To reduce the ambiguity of segmentation
for Chinese words, we use the character as the basic unit rather than a word. For example,
given an input Chinese sentence “胃部疼痛” (stomach-ache), the unigram is {胃, 部, 疼, 痛},
the bigram is {胃部, 部疼, 疼痛} and the trigram is {胃部疼, 部疼痛}. 部, 疼, 痛}, the bigram is {胃部, 部疼, 疼痛} and the trigram is {胃部疼, 部疼痛}. For a sentence X = (x1, x2…, xt) with t characters, the embedding process is designed
ransform each character into a distributed and dense vector representation Rd, where
the size of the character embedding. The Embeddings Layer, a part of the neural net-
rk, is initialized with random vectors and learns to represent all the characters in the
g
g
For a sentence X = (x1, x2 . . . 3. The Proposed Approach The Embeddings Layer, a part of the neural
network, is initialized with random vectors and learns to represent all the characters in the
training set during the training stage. Each character will be mapped to an embeddings
vector once the training is completed. To better encode the input sentence, we use the
n-gram character embeddings model rather than the n-gram character model. An n-
gram character embeddings model is represented by concatenating the embeddings of
n characters. As seen in the N-gram Layer of Figure 1, we show unigram, bigram and
trigram character embeddings. ure 1. The system architecture of our approach. Figure 1. The system architecture of our approach. ure 1. The system architecture of our approach. Figure 1. The system architecture of our approach. 3.2. Neural Entity Recognition Model 3.2. Neural Entity Recognition Model In this section, we discuss the proposed approach to deal with Chinese CNER in the
EMRs. The neural model adopted in this research mainly relies on Attention, BiLSTM and
CRF layers to obtain a more semantic representation of Chinese characters. Attention Layer: The attention method has been widely used in many tasks, especially
NLP applications to capture the context information and dependency between tokens for
the given sentence [24,25]. The mechanism computes attention weights between every
two tokens and uses a summation operation to obtain the representation [26]. The calcula-
tion of attention on our n-gram character embeddings is described as follows. Given an
input sequence En = (e1, e2 . . . , et) where ei ∈R1×dn is the n-gram character embeddings
(n from 1 to 3) and dn is the size of the embeddings, En is converted to query Qn, key Kn
and value Vn through linear transformations by the following expression: Qn, Kn, Vn = EnWq, EnWk, EnWv
(1) (1) where Wq, Wk, Wv are learnable parameters, and Qn ∈Rt×dn, Kn ∈Rt×dn, Vn ∈Rt×dn. The
attention score is, then, calculated as follows: An(Qn, Kn, Vn) = softmax( QnKnT
√
dn
) Vn
(2) (2) In this paper, we use a special kind of attention, self-attention, to learn the feature of
one unit in a sentence by attending to all units within the same sentence. In the self-attention
mechanism, the query Qn, key Kn and value Vn are all the same. BiLSTM Layer: After the above self-attention calculation, we concatenate A1, A2
and A3 to obtain the final embedding matrix A ∈Rt×(d1+d2+d3) as shown in the Concate-
nation Layer of Figure 1. We then pass A into a BiLSTM layer. The LSTM is proposed
to capture long-term dependencies by introducing gated memory units to address the
gradient problems and control the information flow [27]. At each timestamp t for the given
input A = (a1, a2 . . . N-Gram Character Embeddings
3.1. N-Gram Character Embeddings , xt) with t characters, the embedding process is designed
to transform each character into a distributed and dense vector representation Rd, where
d is the size of the character embedding. The Embeddings Layer, a part of the neural
network, is initialized with random vectors and learns to represent all the characters in the
training set during the training stage. Each character will be mapped to an embeddings
vector once the training is completed. To better encode the input sentence, we use the
n-gram character embeddings model rather than the n-gram character model. An n-
gram character embeddings model is represented by concatenating the embeddings of
n characters. As seen in the N-gram Layer of Figure 1, we show unigram, bigram and
trigram character embeddings. , 疼, 痛}, the bigram is {胃部, 部疼, 疼痛} and the trigram is {胃部疼, 部疼痛}. For a sentence X = (x1, x2…, xt) with t characters, the embedding process is designed
ransform each character into a distributed and dense vector representation Rd, where
the size of the character embedding. The Embeddings Layer, a part of the neural net-
rk, is initialized with random vectors and learns to represent all the characters in the
For a sentence X = (x1, x2 . . . , xt) with t characters, the embedding process is designed
to transform each character into a distributed and dense vector representation Rd, where
d is the size of the character embedding. The Embeddings Layer, a part of the neural
network, is initialized with random vectors and learns to represent all the characters in the
training set during the training stage. Each character will be mapped to an embeddings
vector once the training is completed. To better encode the input sentence, we use the
n-gram character embeddings model rather than the n-gram character model. An n-
gram character embeddings model is represented by concatenating the embeddings of
n characters. As seen in the N-gram Layer of Figure 1, we show unigram, bigram and
trigram character embeddings. Appl. Sci. 2021, 11, 8682 5 of 10 3.2. Neural Entity Recognition Model To train a CRF model for a given training dataset {h(i), y(i)} where super-
script i represents the i-th data, the parameter estimation is performed by maximizing the
conditional log-likelihood below: (W∗, b∗) = argmax
W,b
t
∑
j=1
log p(y(j)|h(j); W, b)
(9) (9) In the process of inference, the optimal output label sequence y* of a test input
z is derived based on the maximization of the conditional probability by the Viterbi
algorithm [30]: In the process of inference, the optimal output label sequence y* of a test input
z is derived based on the maximization of the conditional probability by the Viterbi
algorithm [30]: y∗= argmax
y
p(y|z; W, b)
(10) (10) 4. Experiments 4.1. Dataset and Evaluation Metrics 3.2. Neural Entity Recognition Model , at), the LSTM updates its hidden state ht based on the current input at
and the previous hidden state ht−1 by computing the following equations: it = sigmoid(Wi[at, ht−1])
(3)
ft = sigmoid
Wf [at, ht−1
i
)
(4)
ot = sigmoid(Wo[at, ht−1])
(5)
ct = ftct−1 + ittanh
Wg[at, ht−1
)
(6)
ht = ottanh(ct)
(7) (3) (6) (7) where it, ft, ot and ct are input gate, forget gate, output gate and cell vector. Wi, Wf, Wo and
Wg are the corresponding weight matrices. Since the output of each time step in the LSTM
only considers the previous state, BiLSTM is carried out to use both forward and backward
information. The output is created by concatenating the two hidden vectors from both
directions as ht = [htf; htb]. CRF Layer: In the CNER task, there exist several constraints and dependencies in
the BIO tagging scheme. For instance, the I tag must follow the B tag. It is, therefore,
important to take the above factors into consideration and we adopt CRF to predict a label
sequence by learning the correlations between the current label and its neighbors [28]. Given the input sequence obtained from the output of the BiLSTM Layer h = (h1, h2 . . . , ht),
we use y = (y1, y2 . . . , yt) to represent a sequence of labels for h. The CRF model defines Appl. Sci. 2021, 11, 8682 6 of 10 the conditional probability distribution over all label sequences y given h and uses the
following equation [29]: the conditional probability distribution over all label sequences y given h and uses the
following equation [29]: p(y|h; W, b) ∝exp(
t
∑
i=1
WT
yi−1,yihi + byi−1,yi)
(8) (8) where W denotes the weight and b the bias term corresponding to the neighboring
pair (yi−1, yi). 4.2. Experiment and Results To study the effectiveness of the proposed model, two experiments are conducted. The first one evaluates the model against other competitive algorithms. In the second
experiment, we test our model on different lengths of n-gram character embeddings. The
experiments are carried out on the Windows system with an Intel(R) Core(TM) i7-8750H
CPU, 8 GB RAM, and NVIDIA GeForce GTX 1050 Ti GPU. The neural network model is
composed of one character embedding lookup table, a self-attention layer, a BiLSTM layer
and a final CRF layer. The hyper-parameter setting of the model is shown in Table 3. Table 3. Hyper-parameter settings of the proposed approach. Table 3. Hyper-parameter settings of the proposed approach. Table 3. Hyper-parameter settings of the proposed approach. Parameter
Value
n-gram
1, 2, 3
character embedding size
100
LSTM hidden units
100
batch size
16
dropout rate
0.5
learning rate
0.001 To verify the proposed approach, we conduct the first experiment and compare our
results with the following methods: I. LSTM-CRF: A LSTM neural network model with a CRF layer. I. LSTM-CRF: A LSTM neural network model with a CRF layer. II. BiLSTM-CRF: A bidirectional LSTM model with a CRF layer [32]. III. RD-CNN-CRF: A residual dilated Convolutional Neural Network with CRF where
dictionary features are utilized according to the drug information in Shanghai
Shuguang Hospital and some medical literature [33]. IV. ID-CNN-CRF: A Convolutional Neural Network-based model with iterated dilated
convolutions and a domain-specific lexicon for word embeddings matching [34,35]. V. BERT-BiLSTM-CRF: A pre-trained language model BERT to enhance the semantic
representation, a BiLSTM network and a CRF layer [36]. II. BiLSTM-CRF: A bidirectional LSTM model with a CRF layer [32]. III. RD-CNN-CRF: A residual dilated Convolutional Neural Network with CRF where
dictionary features are utilized according to the drug information in Shanghai
Shuguang Hospital and some medical literature [33]. IV. ID-CNN-CRF: A Convolutional Neural Network-based model with iterated dilated
convolutions and a domain-specific lexicon for word embeddings matching [34 35] y
III. RD-CNN-CRF: A residual dilated Convolutional Neural Network with CRF where
dictionary features are utilized according to the drug information in Shanghai
Shuguang Hospital and some medical literature [33]. The comparison results are demonstrated in Table 4. Our model obtains the best
F-score among all competitors. We push the F-score to 89.33% and outperform the second-
best system (RD-CNN-CRF) by 0.82%. 4.1. Dataset and Evaluation Metrics 4.1. Dataset and Evaluation Metrics We conduct the empirical evaluation on CCKS-2017 Shared Task 2 benchmark dataset [31]. This dataset contains 400 EMRs in total where 300 of them are used as the training set and
the remaining 100 are regarded as the testing set. Each EMR has four sections which are
general items, medical history, diagnosis and treatment and discharge summary. There are
five categories of clinical entities including body, exam, disease, symptom and treatment. Table 2 lists the statistics of clinical named entities for each category. There are 29,866 entities
used for training and 9493 entities for testing. Table 2. Statistics of named entities for training/testing sets on CCKS 2017. Table 2. Statistics of named entities for training/testing sets on CCKS 2017. Training Set
Testing Set
Body
10,719
3021
Exam
9546
3143
Disease
722
553
Symptom
7831
2311
Treatment
1048
465
Total
29,866
9493 In this research, we use the character-level “BIO” annotation mode where “B” means
that the character is at the beginning of an entity, “I” means that the character is at the
middle of an entity and “O” means that the character does not belong to any entity. Since
there are 5 clinical entity categories on CCKS 2017 dataset, this will result in ten annotation
labels and an “O” label, yielding eleven labels in total. The evaluation measures for entity recognition are three standard performance indica-
tors, namely Precision (P), Recall (R) and F-score (F). Precision determines how capable
the proposed method is for predicting entity categories, while Recall reflects how well it is
for retrieving entity categories. F-score is defined to be the harmonic mean of Precision
and Recall as an overall measure. The calculation formulas of the three metrics are defined
as follows:
TP P =
TP
TP + FP
(11) P =
TP
TP + FP (11) Appl. Sci. 2021, 11, 8682 7 of 10 R =
TP
TP + FN
(12)
F = 2 × P × R
P + R
(13) (12) (13) where TP is the true positive, FP is the false positive and FN is the false negative. where TP is the true positive, FP is the false positive and FN is the false negative. 4.2. Experiment and Results In general, LSTM based approaches have better
results in the Recall metric while CNN based methods perform better in the Precision
score. RD-CNN-CRF achieves the best Precision score (88.64%) and our approach is the
second-best (88.53%). The best Recall score is reported by BERT-BiLSTM-CRF (90.48%) and
our system is ranked second (90.13%). Table 4. Performance comparison results of each model. Models
P
R
F
LSTM-CRF
83.59
85.28
84.42
BiLSTM-CRF
88.22
88.53
88.37
RD-CNN-CRF
88.64
88.38
88.51
ID-CNN-CRF
88.30
87.21
87.75
BERT-BiLSTM-CRF
86.50
90.48
88.45
Our model
88.53
90.13
89.33 Table 4. Performance comparison results of each model. Appl. Sci. 2021, 11, 8682 8 of 10 We perform the second experiment to further investigate the effect of different lengths
of n-gram embeddings. Table 5 demonstrates the experimental results of 1-g, 2-g, 3-g and
our approach which combines all of them. Our model achieves the highest F-score of
89.33% and Precision of 88.53%. In terms of Recall, the 2-g method is the best (90.47%) and
our model achieves the second-highest score (90.13%). Table 5. Performance comparison between different n-gram lengths with our model. Models
P
R
F
1-g
87.88
89.98
88.92
2-g
87.30
90.47
88.86
3-g
87.21
89.84
88.50
Our model
88.53
90.13
89.33 Table 5. Performance comparison between different n-gram lengths with our model. In addition to the overall performance evaluation discussed above, we also show the
detailed results for all five entity categories in Table 6. Our model achieves the highest
F-scores in 4 entity categories except for the “Body” category. The most challenging entity
types are Disease and Treatment where the F-scores for all models are less than 80%. Table 6. Detailed F-score comparison for all entity categories. Models
Body
Exam
Disease
Symptom
Treatment
1-g
84.47
92.87
75.76
95.04
74.75
2-g
84.06
93.22
75.55
95.13
73.71
3-g
83.39
92.99
75.13
94.82
74.27
Our model
83.99
93.82
77.89
95.23
75.88 Table 6. Detailed F-score comparison for all entity categories. Though our approach is generally applicable, there are several limitations that have
to be addressed. First, since our model uses a Bi-LSTM layer that is not able to fully
utilize GPU for parallel processing, it is important to handle this issue to ensure both high
performance and high computational efficiency. Second, we incorporate an embeddings
layer to learn the distributed representation without applying any pre-trained embeddings. 4.2. Experiment and Results We expect that pre-trained embeddings learned from large Chinese medical corpora can
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Future work will investigate to obtain a more contextualized representation for named
entity recognition. Joint learning trains a single model to handle multiple tasks for the
purpose of improving performance on all tasks. We plan to exploit the recognition of EMR
sections (general items, medical history, diagnosis and treatment, discharge summary)
and jointly train with the Chinese CNER to boost the performance. In addition to the
Embeddings and N-gram layers which are used to preprocess Chinese characters, other
layers of our approach are expected to be applicable to different languages. Another
possible avenue of future work might be to extend the model to other languages in order
to maximize the usefulness of our method. Appl. Sci. 2021, 11, 8682 9 of 10 9 of 10 Author Contributions: Supervision, J.-S.J.; methodology, J.-S.J., C.-S.L. and C.-H.L.; investigation,
C.-S.L. and C.-H.L.; writing—review and editing, C.-S.L. All authors have read and agreed to the
published version of the manuscript. Funding: This research received no external funding. Institutional Review Board Statement: Not applicable. Institutional Review Board Statement: Not applicable. Informed Consent Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: Not applicable. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. 22.
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NOS TRILHOS DA ESTRADA DE FERRO: REMINISCÊNCIAS DE MOTIVAÇÕES TOPONÍMICAS / On the rails of the iron road: reminiscences of toponymys motivations
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* Universidade Estadual de Goiás (UEG), Unidade Universitária de Pires do
Rio, município de Pires do Rio, Estado de Goiás, Brasil. Professora Doutora
de Linguística do Quadro Efetivo. E-mail: keniamara@hotmail.com. ON THE RAILS OF THE IRON ROAD:
REMINISCENCES OF TOPONYMYS MOTIVATIONS Kênia Mara de Freitas Siqueira* 1 Pesquisa toponímica em andamento. Kênia Mara de Freitas Siqueira* RESUMO: O signo toponímico diferencia-se dos demais signos lin-
guísticos pela motivação em relação ao referente nomeado. A nomea-
ção reflete aspectos importantes dos valores sociais, políticos e cultu-
rais da história de um lugar, assim, o objetivo deste estudo é analisar
os topônimos da Região da Estrada de Ferro, em Goiás. A metodo-
logia consiste no levantamento dos nomes de lugares por pesquisa
documental, observando o processo de formação e a estrutura desses
designativos conforme a proposta de Dick (1990, 2007), que consis-
te, basicamente, na elaboração de taxionomias. ç
PALAVRAS-CHAVE: toponímia, valores culturais, história, taxio-
nomia. ABSTRACT: The toponymy sign differs itself from the other
linguistic signs for the motivation in relation to the named referent. The appointment reflects important aspects of the social, political
and cultural values of the history of a place, so, the objective of this
study is to analyze the toponyms of the region of the iron road/
Goiás. The methodology consists in presenting the names of places
by documental research, observing the process of formation and
structure of these designators according the proposal of Dick (1990,
2007) which consists, basically, in the elaboration of taxonomies. KEYWORDS: toponym cultural values history taxonomiey KEYWORDS: toponym, cultural values, history, taxonomiey. Introdução Este trabalho procura apontar, em caráter preliminar, a extensão interdis-
ciplinar dos estudos toponímicos, enfatizando, para tanto, a interface entre
língua, cultura, história e geografia, no que se refere, especificamente, às
motivações por trás das designações dos lugares da Região da Estrada de
Ferro em Goiás, sudeste goiano. Aqui, subdividida em duas microrregiões,
para efeito da pesquisa que está sendo realizada também em duas etapas: (i)
a microrregião de Pires do Rio, formada pelos municípios de Cristianópolis,
Gameleira de Goiás, Orizona, Palmelo, Pires do Rio, Santa Cruz, São Miguel
do Passa-Quatro, Silvânia, Urutaí, Vianópolis; inclui também o município
de Leopoldo de Bulhões (microrregião de Goiânia); (ii) microrregião de
Catalão:1 formada pelos municípios de Anhanguera, Campo Alegre de Goi-
ás, Catalão, Corumbaíba, Cumari, Davinópolis, Goiandira, Ipameri, Nova
Aurora, Ouvidor, Três Ranchos. Assim, parte-se da evidência de que o signo toponímico apresenta cará-
ter pluridisciplinar já que, por meio dele, pode-se conhecer a história dos
grupos humanos que viveram (e vivem) em determinado lugar, as peculia-
ridades socioculturais de um povo, o denominador, as relações estabelecidas
entre os aglomerados humanos e o ecossistema, as características físico-geo- gráficas da região (geomorfologia), estratos linguísticos de origem diferente
do uso contemporâneo da língua ou mesmo de línguas já desaparecidas. Nesse sentido, o caráter motivador das designações toponímicas oferece
possibilidades de incursão pelos domínios da língua, obviamente, da cultura,
da história e da geografia, pois todas essas áreas encontram-se intrinseca-
mente relacionadas com a atividade de nomeação dos lugares. Assim, o referencial teórico tem como base os trabalhos já desenvolvi-
dos por Dick (1990, 2007), Fonseca (1997) e Carvalhinhos (2003) acerca
da conversão de um nome comum em um nome próprio para designar um
determinado lugar ou também sobre os elementos de natureza física e de
natureza antropocultural que permeiam a motivação por trás do signo to-
ponímico, uma vez que a sistematização dos dados em taxionomias é justifi-
cada por relações icônicas e simbólicas, pois, para Dick (1990), o topônimo
representa uma projeção aproximativa do real. Para as questões de natureza etimológica, recorre-se a Cunha (1982) e
a Sampaio (1928), para as lexias de origem Tupi. 2 Não cabe, neste momento, empreender uma discussão exaustiva sobre o caráter convencional
do signo linguístico; cabe apenas salientar que o signo toponímico difere do signo
linguístico pelo caráter motivador que possui, ou seja, o topônimo é escolhido a partir de Introdução Trata-se, a princípio, de
uma pesquisa documental, de abordagem qualitativa, para o levantamen-
to dos dados, uma vez que a constituição (sub-região, limites e fronteiras)
dos “lugares” está registrada em documentos públicos e em levantamento
histórico-geográfico.i A partir desse levantamento, procura-se verificar e atualizar os dados por
meio de pesquisa in loco. Quanto ao levantamento dos aspectos sociocultu-
rais e históricos, além da consulta ao que já está documentado, realizam-se
entrevistas com os moradores mais antigos dos respectivos municípios. Esses
procedimentos são delimitados em cronograma específico para cada etapa
do projeto e descritos nos diários de pesquisa pela coordenação do projeto
e pelos alunos participantes da iniciação científica. 1. Toponímia: conceitos basilares Toponímia, ou toponomásia, é uma área de estudos linguísticos que se atém
à descrição e à análise dos nomes designativos de lugares. Um topônimo é
um nome próprio ou comum que foi, por um processo deliberado de es-
colha ou seleção, convertido em designativo de um lugar, isto é, um nome
originalmente arbitrário2 converte-se em nome de lugar por um processo Kênia Mara de Freitas Siqueira 150 marcado por motivações de diversas ordens. O processo de conversão de
um nome comum em topônimo oferece elementos para se verificar como o
falante atualiza o sentido dos lexemas, uma vez que, no ato de nomeação, o
falante ou o grupo traçam um percurso gerativo de sentido que vai do léxi-
co virtual do falante à palavra-ocorrência, ou seja, o topônimo percorre um
caminho semelhante aos dos lexemas comuns, o que o diferencia destes é
que o topônimo sobrevive ao fato que lhe deu origem. Ainda que a língua mude, a reconstrução etimológica possibilita que
se recuperem os semas em estado latente, opacos. O que ocorre de fato é o
esvaziamento semântico do nome comum que passa a significar o próprio
fato. A despeito do distanciamento temporal entre o topônimo e o fato que
lhe deu origem, o topônimo pode refletir aspectos da visão de mundo do
denominador e oferecer condições, por meio da descrição e da análise de
seus elementos, tanto linguísticos quanto histórico-culturais, de se conhe-
cer a natureza das motivações que permearam a escolha de dado nome, o
que, de certa forma, pode também revelar peculiaridades e idiossincrasias
do lugar cultural, afinal se considera que a escolha de um topônimo e sua
consequente fixação é também uma atividade de nomeação.i i
Segundo Dick (1990), a nomeação, como atividade de significação en-
volve a percepção biológica dos objetos do mundo transformados em subs-
tâncias estruturadas pela apreensão/compreensão refletidas na cosmovisão
de cada grupo, o que leva a estabelecer, em seguida, o processo de concep-
tualização no qual ocorre a produção de modelos mentais, os quais, por sua
vez, correspondem aos recortes culturais (designatas) feitos pelo grupo e
representados (ou apresentados) no sistema linguístico. Após esse percurso,
ocorre a produção de significação, ou melhor, estabelece-se a lexemização
para, enfim, haver a produção discursiva mediante a atualização das lexias. Assim, deixa-se o nível cognitivo e converte-se em signo. fatos culturais, históricos, geográficos motivadores que, de alguma maneira, o caracterizam. 1. Toponímia: conceitos basilares O processo de lexemização faz com que os estudos toponímicos sejam in-
seridos no âmbito da lexicologia, pois lida com lexemas em nível pós-lexical. A partir da nomeação, segundo Dick, “instala-se a cadeia onomasiológica
propriamente dita, em um determinado espaço, o que possibilitará o desen-
volvimento de análises nominais e a consequente fixação de um modelo ou
padrão de nomes [...]” (2007: 142). As análises nominais e a elucidação dos
padrões de nomes constituem o escopo deste estudo. Posto isso, é possível Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 151 conceber a Terminologia como uma área da Lexicologia que se atém ao es-
tudo das palavras especializadas da linguagem técnica, o que situa também
os topônimos em um campo de estudos lexicais, como termos próprios de
uma atividade humana específica: a nomeação. Evidentemente que a nomeação dos lugares não se processa da mesma
maneira como se faz a denominação de objetos criados no universo das ci-
ências e das linguagens de especialidades. A nomeação dos acidentes geo-
gráficos e dos acidentes culturais, de maneira diferente, segue procedimen-
tos que têm origem em fatos históricos, sociais, culturais ou ainda se finca
em motivações cuja face cognitiva reflete-se em descrições metafóricas ou
metonímicas para escolha do nome do lugar a ser designado.l Assim, para Tavares e Isquerdo (2006), o ato de nomear reflete a cultura
e a imagu mundi do denominador por meio das escolhas dos designativos
que identificam os referentes relacionados à realidade de cada grupo que tem
a dimensão cultural da língua bastante evidenciada. Dessa forma, segundo
Tavares e Isquerdo, “a Toponímia, ramo da Onomástica que se ocupa do
estudo dos nomes próprios de lugares, mantém interfaces com outras áre-
as do conhecimento, como a História, a Geografia, a Antropologia, dentre
outras” (2006: 274). Nessa perspectiva, este trabalho focaliza um recorte dos resultados da
primeira etapa da pesquisa sobre a toponímia da Região da Estrada de Fer-
ro, a microrregião de Pires do Rio. Os dados são analisados observando-se
a dimensão linguística do topônimo, os aspectos histórico-geográficos e
culturais envolvidos no processo de escolha e a fixação do designativo to-
ponímico. 2. O conjunto toponímico da microrregião de Pires do Rio
A microrregião de Pires do Rio é uma das subdivisões do Estado de Goiás
pertencente à mesorregião sul goiana. 1. Toponímia: conceitos basilares De acordo com dados de 2006, do
Instituto Brasileiro de Geografia e Estatística (IBGE), a região tem uma
população aproximada de 94.452 habitantes. Está dividida em dez mu-
nicípios e abrange uma área total de 9.418,370 km², com uma densidade
demográfica em torno de 10,0 hab/km², cujo município mais populoso é
Pires do Rio. Os municípios que compõem essa microrregião são: Cristianópolis,
Gameleira de Goiás, Orizona, Palmelo, Pires do Rio, Santa Cruz de Goiás,
São Miguel do Passa Quatro, Silvânia, Urutaí e Vianópolis. Entretanto, in- Kênia Mara de Freitas Siqueira Kênia Mara de Freitas Siqueira 152 clui-se, para efeito de sistematização dos estudos, o município de Leopoldo
de Bulhões, que pertence à microrregião de Goiânia, mas que geográfica e
historicamente está ligado à grande Região da Estrada de Ferro. Alguns desses lugares, como Pires do Rio, Vianópolis, Urutaí, Leopoldo
de Bulhões, surgiram em decorrência da construção da estrada de ferro. Ou-
tros já existiam como pequenos lugarejos ou como antigas vilas do tempo
da Província de Goiás, século XVII, como Santa Cruz de Goiás e Silvânia. Esta teve seu desenvolvimento impulsionado pela construção da ferrovia. A respeito de Santa Cruz de Goiás é interessante acentuar que, no pro-
jeto inicial, a ferrovia teria uma estação naquela cidade, mas, por razões de
ordem econômica, o projeto foi modificado e os trilhos encontraram sua
primeira estação depois da Ponte Epitácio Pessoa, em 1922, na então recém-
-inaugurada Estação de Pires do Rio. Assim, em relação à microrregião de Pires do Rio, a ferrovia passa
apenas pelos municípios de Urutaí, Pires do Rio, Vianópolis, Silvânia,
Leopoldo de Bulhões e em Egerineu Teixeira (Ubatan), distrito de Orizona. A subdivisão nessas microrregiões pauta-se mais em fatores de distribui-
ção e de proximidade geográficas e em características econômicas, sociais
e culturais afins. i
Por conseguinte, cabe esclarecer o que se entende por “município”, já
que a sede deste é sempre uma cidade. 3 Cf. SIQUEIRA, Jacy. Um contrato singular: e outros ensaios sobre a história de Goiás.
Goiânia: Kelps, 2006. p. 196. 1. Toponímia: conceitos basilares Para tanto, o Instituto Brasileiro de
Administração Municipal (Ibam, 2007) conceitua município como sendo
“a circunscrição do território do Estado em que os cidadãos, associados
pelas relações comuns de localidade, trabalho e de tradições, vivem sob
uma organização livre e autônoma, para fins de economia, administração e
cultura.” O próximo item apresenta a análise dos respectivos topônimos de
acordo com os aspectos históricos e geográficos mais salientes, bem como a
descrição dos nomes dos municípios em termos linguísticos e consequente
criatividade do nomeador face ao processo de nomeação.i Na esteira da proposta de elaboração de fichas taxionômicas de Dick
(1990), são apresentados, a seguir, alguns resultados (preliminares) do pro-
jeto de pesquisa “Toponímia: a dinâmica dos nomes da Região da Estrada
de Ferro”, considerando noções da semântica lexical, da morfologia (for-
mação de palavras) e da etimologia tais como: criatividade, produtividade,
lexicalização e idiomatização. Mediante a descrição e a análise dos aspectos
linguísticos (morfológicos, etimológicos e semânticos), culturais e históri-
cos, presentes no termo toponímico, é possível classificá-lo de acordo com Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 153 sua natureza física ou antropocultural, o que se estende nas 27 taxes.3 Segue,
para tanto, a ordem alfabética dos nomes dos municípios. 2.1. O município de Cristianópolis A fundação de uma cidade segue quase sempre o mesmo caminho: algumas
casas são construídas em torno de uma venda, depois constrói-se uma cape-
la, e o então embrião urbano começa a se desenvolver, nasce a vila; depois,
insensivelmente, o número de casas aumenta, surge a cidade. Em relação
a Cristianópolis, pode-se dizer que houve outros fatores que concorreram
para sua fundação. Segundo Oliveira (2006), o conflito entre os católicos e
os recém-convertidos protestantes de Santa Cruz fez com que o fazendeiro
José Pereira Faustino, proprietário da Fazenda Gameleira doasse, em 1909,
quatro alqueires de suas terras para a construção de um templo para reuni-
ões religiosas da Igreja Cristã Evangélica. Deu-se, portanto, o início ao povoamento da área, surgindo o povoado da
Gameleira. Nessa época, havia apenas três ruas cujos nomes são ilustrativos
da missão evangélica que se intensificava no lugar: ruas da Fé, da Esperança
e da Caridade. Em 1927, Gameleira passou a ser denominada Cristianópolis. Veio a ser emancipada em 1953, pela Lei Estadual nº 739, desmembrando-
-se de Pires do Rio, antiga sede do distrito. De acordo com dados de 2010 – da Gerência de Estatística Socioeco-
nômica, da Superintendência de Estatísticas Pesquisa e Informações So-
cioeconômicas (Sepin)/Secretaria do Estado de Gestão e de Planejamento
(Seplan-GO) –, o município tem uma população residente de 2.933 mora-
dores, apresenta uma taxa geométrica de crescimento anual (2000/2010)
de 0,03%. O fator mais relevante é que Cristianópolis nasceu de uma mis-
são evangélica, em contraponto cultural à antiga Santa Cruz, cuja reli-
giosidade é marcada pela tenaz preservação das tradições religiosas de
fé católica. 2.1.1. O topônimo Cristianópolis Este designativo toponímico substituiu o nome do antigo distrito de Gameleira
e essa troca de nome marca um dos aspectos culturais mais relevantes do
nascimento da cidade. Devido às constantes perseguições, tanto aos missio-
nários, quanto aos novos “crentes”, ergue-se um local de refúgio para essas Kênia Mara de Freitas Siqueira 154 pessoas perseguidas. Na recém-criada Gameleira, só podiam residir pessoas
que professassem a fé protestante, os “crentes”. pessoas perseguidas. Na recém-criada Gameleira, só podiam residir pessoas
que professassem a fé protestante, os “crentes”. p
p
Etimologia: adj. sm. Cristão do latim chrisia#nus, por sua vez do hierônimo
Christus ‘cristo’ + pole elem. grego derivou-se pólis ‘cidade’. Estrutura morfológica: topônimo formado por derivação do termo Cristia-
no + sufixo pólis. Taxionomia de natureza antropocultural: hierotopônimo, relativo a nomes
sagrados de diferentes crenças. Taxionomia de natureza antropocultural: hierotopônimo, relativo a nomes
sagrados de diferentes crenças. 2.2. O município de Gameleira de Goiás Estrutura morfológica: topônimo composto por justaposição Gameleira +
de Goiás; Estrutura morfológica: topônimo composto por justaposição Gameleira +
de Goiás; Taxionomia de natureza física: fitotopônimo, de índole vegetal, em conjunto
da mesma espécie ou de espécies diferentes. 2.2. O município de Gameleira de Goiás Conforme dados da Sepin/Seplan-GO, o distrito, criado com a designação
de Gameleira de Goiás pela Lei Estadual nº 10.508, de 11 de maio de 1988,
pertencia ao município de Silvânia. Em uma divisão territorial de 1º de ju-
nho de 1996, esse distrito fazia parte do município com sede em Silvânia. Uma década depois, em 1998, Gameleira de Goiás foi elevada à catego-
ria de município, mantendo esta mesma denominação, pela Lei Estadual
nº 13.417, de 28 de dezembro de 1998. Passou, assim, a ser distrito sede de
Gameleira, instalado em 1º de janeiro de 2001, divisão territorial que per-
manece até hoje. Com uma população de 3.275 moradores, dista 100 km
da capital, Goiânia. De acordo com fontes orais, a origem da cidade está ligada à fé. Por volta
do ano de 1963, houve um período prolongado de seca na região. Devido
a essa seca, os produtores rurais, que passavam por intensas dificuldades,
resolveram fazer uma novena no morro do Campo Limpo, onde havia um
cruzeiro. Contam que, no nono dia, antes mesmo de terminarem a reza, já
havia começado a chover. Para agradecer pela benção alcançada, os fiéis re-
solveram rezar novamente, como estava muito quente, fizeram as orações
debaixo de uma árvore, uma gameleira. Quando decidiram construir uma
igreja em sinal de louvor e agradecimento, o fizeram perto dessa árvore, em
um terreno doado por Floro Rodrigues. Em volta da igreja, foram surgindo
casas; o povoado estava se formando. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 155 1. O topônimo Gameleira de Goiás 2.2.1. O topônimo Gameleira de Goiás Como se vê, o nome desse município se deve a motivações religiosas, ou seja,
pela graça alcançada, à sombra de uma árvore com o nome de Gameleira
surgiu o nome do município. Topônimo: Gameleira de Goiás Etimologia: nome composto por gamela – espécie de alguidar feito de madeira;
do latim camella, diminutivo de came(ra ‘vaso para beber’ + sufixo – eira, forma
evolutiva normal do latim – a#ruis, – a#ria, que entra na formação de deriva-
dos de cunho popular + de Goiás, locução adjetiva designativa de procedência. Estrutura morfológica: topônimo composto por justaposição Gameleira +
de Goiás; evolutiva normal do latim – a#ruis, – a#ria, que entra na formação de deriva-
dos de cunho popular + de Goiás, locução adjetiva designativa de procedência. 2.3. O município de Leopoldo de Bulhões O povoado que deu origem a Leopoldo de Bulhões surgiu à margem es-
querda do córrego Pindaíba, em terreno de José Cândido Louza; em razão
do córrego, o local ficou conhecido como Pindaibinha. Com a chegada da
Estrada de Ferro, o povoado cresceu. Assim, Pindaibinha foi elevado à ca-
tegoria de distrito em 1931 com a denominação de Leopoldo de Bulhões,
que pertencia ao município de Bonfim (atual Silvânia). Em 1948, com a te-
naz contribuição do Cel. Felismino de Souza Viana, veio a emancipação do
município, com a Lei Estadual nº 127, de 21 de dezembro de 1948. 2.3.1. O topônimo Leopoldo de Bulhões
O nome Leopoldo de Bulhões é uma homenagem a José Leopoldo de Bu-
lhões Jardim, nascido em Goiás, e que ocupou por duas vezes o cargo de
ministro da Fazenda, entre 1902 e 1906. Topônimo: Leopoldo de Bulhões
Etimologia: antropônimo
Estrutura morfologia: topônimo composto Leopoldo + de Bulhões. Taxionomia de natureza antropocultural: antropotopônimo, relativo a no-
mes próprios individuais. Kênia Mara de Freitas Siqueira 156 2.4. O município de Orizona Segundo Siqueira (2011), os primeiros indícios populacionais do município
de Orizona, na época distrito de Capela dos Correias, ocorreram por volta
de 1830, passando, em seguida, à designação de Campo Formoso e, poste-
riormente, renomeado município de Orizona. A fundação dos primeiros
aglomerados urbanos se deu com a migração de fazendeiros do Triângulo
Mineiro muito antes da implantação da ferrovia entre Araguari e Anápolis,
que se concretizou em 1935. Por volta de 1850, recebeu do fazendeiro Fulgêncio Correia Peres, sua
primeira denominação, que comprou um terreno situado à margem do Ri-
beirão Santa Bárbara para nele construir uma capela. Logo após sua morte,
José Pereira Cardoso, Joaquim Fernandes de Castro e outros encarregaram-
-se de construir a pequena capela dedicada a Nossa Senhora da Piedade. A chegada de mais agricultores mineiros, entre 1840 e 1850, resultou em
uma pequena povoação ao redor dessa capela que, por influência da família
Correia, em 1890, foi o povoado erigido a distrito com o nome de Capela
dos Correias. O crescente aumento da população propiciou a elevação do
povoado a distrito, Campo Formoso, quando ainda pertencia ao município
de Santa Cruz de Goiás. O distrito foi emancipado em 1906 e elevado à categoria de cidade, con-
servando a mesma denominação por sugestão do padre Simeão Estilita que,
em uma fala litúrgica, sugeriu o nome em homenagem aos membros da
família Correia Peres (descendentes de espanhóis, moradores de uma das
regiões da Espanha, denominada Campos Hermosos). No entanto, a denominação Campo Formoso logo precisou ser mudada,
porque já havia outro município no Estado da Bahia com essa mesma de-
signação. Assim, por volta de 1943, o município de Campo Formoso passou
a denominar-se Orizona. Este nome pode ser descrito em termos etimoló-
gicos e morfológicos: com duas raízes, óryza ‘arroz’ de origem grega e zona
‘região’, do latim, isto é: zona do arroz. Segundo dados da Gerência de Estatística da Sepin/Seplan, 2010, Ori-
zona possui uma população residente de 14.292 habitantes, com taxa de
crescimento anual em torno de 0,90%, na década de 2000/2010. 2.4.1. O topônimo Orizona Este designativo toponímico se deve à grande produção agrícola de arroz. O município já foi considerado um dos maiores produtores desse cereal no
Estado de Goiás. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 157 Etimologia: elemento composto do grego óryza ‘arroz’ + zona do latim zo←na
‘cinta, faixa, local, região’, deriv. do grego zo←☐ne. Estrutura morfológica: topônimo composto do termo oriz + elemento zona
(2º elemento da composição). Taxionomia de natureza antropocultural: sociotopônimo, relativo às ativi-
dades profissionais, aos locais de trabalho. 2.5.1. O topônimo Palmelo Conforme Siqueira, a vila portuguesa Palmela, motivação para a escolha
do nome Palmelo, era a “vila do conselho de Setúbal, Portugal, sobre uma
montanha na margem esquerda do rio Tejo. Antigo Castelo” (2006: 76), é
hoje uma cidade com aproximadamente 53.352 habitantes. É mencionada
por Luís de Camões no poema épico Os Lusíadas, especificamente no Canto
III, estrofe 65. O termo “Palmelo” vem de palmas ‘vitória’ + melo ‘melodia’
ou ‘canto’, ou melhor, ‘canto da vitória’. Etimologia: sf. parte interior da mão, do latim palmae triunfo, glória + melo
do grego mélos ‘canto’; latim melicus derivado do grego melikos, de mélos ‘canto’. Estrutura morfológica: composto aglutinado palm(a) + (m)elo (2º elemento
da composição). Taxionomia de natureza antropocultural: somatotopônimo, usado em rela-
ção às partes do corpo humano. 2.5. O município de Palmelo Palmelo localiza-se à margem direita do ribeirão Caiapó, a cerca de 125 km
da capital, Goiânia. É provável que a cidade tenha surgido de um povoado
formado em torno do Centro Espírita Luz da Verdade, fundado em 9 de fe-
vereiro de 1929, pelos senhores Josino Cândido Branquinho, Filemon Nunes
da Silva, Joaquim Gomes de Menezes, Gervásio Branquinho Primo, João
Borges e os irmãos Jonas Branquinho e Gervásio Cândido Branquinho. A emancipação da cidade ocorreu em 13 de novembro de 1953, por
meio da Lei Estadual nº 908, que a desmembrou do município de Pires do
Rio. Em 27 de setembro de 1956, Palmelo recebeu, por meio da sua Câma-
ra de Vereadores, o cognome: Cidade da Paz. É a primeira cidade espírita
do mundo. Conforme dados da Sepin/Seplan-GO, 2010, Palmelo tem uma
população estimada de 2.339 habitantes e índice geométrico de crescimen-
to anual de 0,13%. A despeito de algumas controvérsias acerca da veracidade do fato moti-
vador do nome da cidade, este estudo toma como verdadeira a versão con-
tada e recontada pelos moradores, isto é, a versão que afirma que o termo
“Palmelo” teria se originado do nome da fazenda Palmela, lugar onde nasceu
o povoado. Esta fazenda, por sua vez, recebeu esse nome em homenagem a
uma antiga vila portuguesa de onde migraram seus proprietários. Com uma
formação religiosa espírita, Palmelo é considerada uma estância de reequi-
líbrio físico, mental e espiritual. Em 6 de novembro de 1936, chegou a Palmelo Jerônymo Cândido Gomide,
líder espiritual e político que, juntamente com sua esposa Francisca Borges
Gomide (Dona Chiquinha) e filhos, contribuiu para a projeção de Palmelo
no Brasil e no mundo. Kênia Mara de Freitas Siqueira Kênia Mara de Freitas Siqueira 158 2.6. O município de Pires do Rio Pires do Rio talvez seja o exemplo mais significativo da importância da
estrada de ferro para o povoamento e para o desenvolvimento de Goiás. Vinda de Minas Gerais (Araguari), o limite extremo da Estrada de Ferro
Goiás, até 1920, era a Estação do Roncador, onde se expandia também um
emergente povoado. Em atendimento à proposta do diretor da ferrovia, o
engenheiro Balduíno Ernesto de Almeida, o Coronel Lino Teixeira Sampaio
doou então quatro alqueires, divididos e demarcados, da fazenda Brejo, de
sua propriedade, para que a ferrovia avançasse além do Rio Corumbá e da
Estação do Roncador. Com a construção da Ponte Epitácio Pessoa, os trilhos estenderam-se até
a nova Estação de Pires do Rio, inaugurada em 9 de novembro de 1922. Um
arraial então começou a se formar com o nome de Pires do Rio. O distrito
foi criado em 23 de agosto de 1924, pela Lei Municipal nº 66. Pela Lei Esta-
dual nº 9, foi elevado a município em 7 de julho de 1930. De acordo com
os dados da Gerência de Estatística da Sepin/Seplan – 2010, o município
conta com uma população estimada de 28.691 habitantes, maior contingente
populacional dessa microrregião. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 159 2.6.1. O topônimo Pires do Rioi 2.6.1. O topônimo Pires do Rioi p
Há algumas versões, não oficiais, de que a ponte metálica sobre o Rio Co-
rumbá receberia o nome do então ministro da Viação e Obras Públicas,
engenheiro José Pires do Rio e o recém-fundado distrito teria o nome do
presidente da República, Epitácio Pessoa. Esta versão, no entanto, não es-
clarece por que houve a troca de nomes. Assim, o pequeno povoado que se
formou em torno da estação, primeira fixada após a travessia do Rio Co-
rumbá, recebeu o nome do ministro Pires do Rio e a ponte, o nome do pre-
sidente Epitácio Pessoa. Topônimo: Pires do Rio
Etimologia: antropônimo
Estrutura morfológica: topônimo composto Pires + do Rio. Taxionomia de natureza antropocultural: antropotopônimo, relativo a nomes
próprios individuais, de família. Topônimo: Pires do Rio
Etimologia: antropônimo
Estrutura morfológica: topônimo composto Pires + do Rio. Taxionomia de natureza antropocultural: antropotopônimo, relativo a nomes
próprios individuais, de família. Taxionomia de natureza antropocultural: antropotopônimo, relativo a nomes
próprios individuais, de família. 2.7. O município de Santa Cruz de Goiás Santa Cruz é uma das povoações mais antigas de Goiás, talvez uma das pri-
meiras, juntamente com os arraiais da Barra e Meia Ponte. As memórias dos
viajantes naturalistas à Província de Goiás, no século XIX, Saint-Hilaire e
Pohl, dão notícias do lugar, descoberto por Manuel Dias da Silva por vol-
ta de 1729, quando este, por atribuição do capitão-general Rodrigo César
de Menezes, então governador da Capitania de São Paulo, deslocava-se em
direção às minas de Cuiabá. Havia uma espécie de itinerário que passava
pelas terras dos índios guayases, cujos pousos das comitivas eram mais ou
menos demarcados a cada 50 km. Assim, segundo Alves (1983), a comitiva
de Manoel Dias da Silva se deteve em um sítio (pouso) e, como era comum
na época, mandou que verificassem a possibilidade da existência de algum
veio de ouro. Constatou-se ouro em abundância na região e, em forma de agradeci-
mento, Dias da Silva mandou que erguessem uma enorme cruz com a se-
guinte inscrição: “Viva el Rei de Portugal”. Para Alves (1983), esse ato cons-
titui uma maneira de tomar posse da terra e a partir daí fundar um arraial
dentro dos princípios da fé cristã. A cruz significou o primeiro bem patri-
monial da futura Santa Cruz de Goiás. Kênia Mara de Freitas Siqueira 160 Essa versão apresenta algumas controvérsias já que alguns historiado-
res afirmam que a inscrição da cruz faria menção a que, para Dias da Silva,
aquelas terras possivelmente pertenceriam à Espanha, o que seria uma con-
fusão grotesca, pois o limite entre as terras de Espanha e Portugal era bas-
tante distante da região de Goiás. Entretanto, para este estudo, vale a versão
que o povo aceita e perpetua como verdadeira. É conveniente ressaltar que Santa Cruz nasceu Santa Cruz e, pela tradição
fervorosa de sua gente, manteve-se dentro da auspiciosa fé católica. Confor-
me os dados da Gerência de Estatística/Sepin/Seplan – 2010, o município
tem uma população residente de 3.142 pessoas, com taxa de crescimento
em torno de -0.99. Realiza, anualmente, uma das mais antigas cavalhadas
do Estado de Goiás. 2.8. O município de São Miguel do Passa Quatro 2.8. O município de São Miguel do Passa Quatro
Um fato curioso marcou as primeiras povoações do que seria o município de
São Miguel do Passa Quatro. Conforme Oliveira (1998), por volta de 1928,
a construção de um cemitério marcou o surgimento desse município. O que
não é comum como fato desencadeador para o nascimento de aglomerados
urbanos. Oliveira (1998) menciona que o cemitério foi construído para sepul-
tar os habitantes de fazendas próximas ao lugar, mas distantes dos municípios
de Silvânia e de Cristianópolis, onde se costumava sepultar os mortos, como
a Fazenda Água Vermelha, Fazenda Aborrecido e Fazenda Passa Quatro. g
Ainda de acordo com Oliveira, as pessoas falecidas eram carregadas em
banguês, à semelhança das antigas padiolas em que eram postos os corpos
de escravos mortos. Isso era feito percorrendo enormes distâncias. Daí a
necessidade de se construir um cemitério em um local mais próximo das
fazendas, sendo um interessante hilo fundador das primeiras povoações. Em decorrência, os moradores das redondezas resolveram erguer uma po-
voação em louvor a São Miguel Arcanjo, mas como o lugar já era conheci-
do como Passa Quatro (Ribeirão Passa Quatro), o lugar foi designado São
Miguel do Passa Quatro. O distrito de São Miguel foi elevado à categoria de município pela Lei
Estadual nº 10.432, de janeiro de 1988, quando foi desmembrado de Silvânia. No entanto, segundo Oliveira (1998), a emancipação político-administrativa
só se efetivou com a posse do primeiro prefeito eleito e com a respectiva câ-
mara de vereadores, em janeiro de 1989. Segundo informações da Gerência de Estatística/Sepin/Seplan – 2010,
o município possui população residente de 3.761 habitantes, com taxa de
crescimento anual de 0,78, no período de 2000/2010. 2.7.1. O topônimo Santa Cruz de Goiás Divulgadas as notícias de ouro na região central do Brasil, já conhecida
como as Minas dos Goiases, muitos acorreram para Goiás. Dessa forma,
o ouro foi o primeiro hilo para surgimento das primeiras povoações do
território goiano. Santa Cruz teve no ouro o motivo de seus primeiros
habitantes, mas foi junto à cruz erguida que foram surgindo as primeiras
edificações, inclusive a construção da Igreja Nossa Senhora da Conceição. Daí a motivação do topônimo Santa Cruz. Segundo dados do Sepin, em
1934, o município perdeu sua sede para Pires do Rio e, no ano de 1943,
pelo Decreto-Lei nº 8.305, passou a denominar-se Corumbaúna. Em 1947,
voltou à condição de município com o topônimo anterior, Santa Cruz de
Goiás. Divulgadas as notícias de ouro na região central do Brasil, já conhecida
como as Minas dos Goiases, muitos acorreram para Goiás. Dessa forma,
o ouro foi o primeiro hilo para surgimento das primeiras povoações do
território goiano. Santa Cruz teve no ouro o motivo de seus primeiros
habitantes, mas foi junto à cruz erguida que foram surgindo as primeiras
edificações, inclusive a construção da Igreja Nossa Senhora da Conceição. Daí a motivação do topônimo Santa Cruz Segundo dados do Sepin em Topônimo: Santa Cruz de Goiás
Etimologia: sm. santo, ‘sagrado’ do latim sanctus -a, -um + cruz sf. ‘antigo
instrumento de suplício’, do latim crux cru(ci + de Goiás, locução adjetiva
designativa de procedência. Estrutura morfológica: topônimo composto por justaposição sant(a) + cruz
+ de Goiás. Taxionomia de natureza antropocultural: hierotopônimo relativo a nomes
sagrados de diversas crenças. Topônimo: Santa Cruz de Goiás Etimologia: sm. santo, ‘sagrado’ do latim sanctus -a, -um + cruz sf. ‘antigo
instrumento de suplício’, do latim crux cru(ci + de Goiás, locução adjetiva
designativa de procedência. Estrutura morfológica: topônimo composto por justaposição sant(a) + cruz
+ de Goiás. Taxionomia de natureza antropocultural: hierotopônimo relativo a nomes
sagrados de diversas crenças. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 161 2.8.1. O topônimo São Miguel do Passa Quatro São Miguel foi, por algum tempo, constituído apenas do cemitério e de duas
ou três casas. Já a expressão “passa quatro”, segundo Oliveira (1998), surgiu
devido a um fato, contado pelos moradores mais antigos, de que, no final
do século XVIII, esse lugar estava no itinerário para o transporte de mer-
cadorias em carro de boi, do Porto de Corumbá (jurisdição de Santa Cruz)
para a então capital da província de Goiás, Vila Boa. As mercadorias eram
transportadas em grandes comitivas de carros de boi. Durante uma das via-
gens, depois de uma forte chuva, na travessia de um ribeirão, nem todos os
carros conseguiram atravessá-lo, apenas quatro. Kênia Mara de Freitas Siqueira Kênia Mara de Freitas Siqueira 162 A partir daí, quando queriam se referir ao local, diziam: “É o lugar onde
passou quatro”. Com o tempo e a partir de alguns processos morfofonoló-
gicos a expressão ficou “passa quatro”. Na verdade, não há nenhum registro
que considere essa versão como verdadeira, mas o povo a considera como
tal. O lugar provável do acontecimento é hoje conhecido como Ribeirão
do Passa Quatro, que os moradores chamam de “Passaquatinho”. Por ou-
tro lado, há outros topônimos brasileiros com essa expressão, por exemplo:
Santa Rita do Passa Quatro, em Minas Gerais, o que, de certa forma, pode
indicar que há outras motivações para esse designativo toponímico ainda
não inteiramente elucidadas. Topônimo: São Miguel do Passa Quatro
Etimologia: sm. santo, ‘sagrado’ do latim sanctus -a, -um + Miguel sm. pró-
prio do hebraico Mikhael: quem é como Deus? + do Passa Quatro, expressão
formada por verbo + numeral sem a concordância canônica. Estrutura morfológica: topônimo composto por justaposição são + nome
próprio Miguel + expressão do passa quatro. Taxionomia de natureza antropocultural: hagiotopônimo, relativo a nomes
de santos e santas do hagiologioromano (e ainda numerotopônimo, relativo
a expressões numéricas). Estrutura morfológica: topônimo composto por justaposição são + nome
próprio Miguel + expressão do passa quatro. Taxionomia de natureza antropocultural: hagiotopônimo, relativo a nomes
de santos e santas do hagiologioromano (e ainda numerotopônimo, relativo
a expressões numéricas). 2.9. O Município de Silvânia Em abril de 1833, o Conselho Geral da Província, pela Resolução nº 2, di-
vidiu Goiás em quatro Comarcas: a comarca de Goiás (Vila Boa) e das vilas
Jaraguá, Meia Ponte (Pirenópolis), São José do Tocantins, Traíras4 e Pilar
de Goiás; a de Santa Cruz, que compreendia as vilas Santa Cruz, Bonfim
(Silvânia), Catalão e Santa Luzia (atual Luziânia); a de Cavalcanti, com as
vilas Flores e Arraias; e a de Palmas, com as vilas Natividade, Porto Imperial
e Carolina. Segundo Cotrim (1998), embora não haja nenhum documento que
comprove, o ano estipulado, por convenção, como o da fundação do arraial
de Bonfim é 1774, alguns anos depois da fundação de Santa Cruz (1729). 4 Da antiga Traíras (Tupiraçaba), do século XVII, praticamente só restam poucas ruínas da
Igreja de Nossa Senhora do Rosário e alguns poucos pedaços de muros de pedras da Antiga
Casa de Fundição, um marco onde era a cadeia e a casa onde, supostamente, D. Pedro II
teria se hospedado por 24 horas. Assim, Traíras teria sido capital do país por um dia. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 163 Cotrim (1998: 3) dá conta de um documento descoberto por Paulo Ber-
tran, cujo título “Notícias do Julgado de Santa Cruz no ano de 1783”, já
fazia referência ao arraial do Bonfim: Cotrim (1998: 3) dá conta de um documento descoberto por Paulo Ber-
tran, cujo título “Notícias do Julgado de Santa Cruz no ano de 1783”, já
fazia referência ao arraial do Bonfim: pertence a este arraial (o de Santa Cruz) o do Bonfim [...] Há em o dito arraial do
Bonfim uma lavra, em que são interessados o Capitão Manoel Ribeiro da Silva,
Pedro Monteiro da Silva [...] tem o dito arraial do Bonfim 65 moradores, e entre
estes 9 casais de pessoas brancas, 7 casais de pessoas pardas, dois casais de pre-
tos libertos, e entre todos conservam nos serviço de suas casas 82 escravos [...] A primeira igreja edificada no município data de 1782, elevada à condi-
ção de paróquia em 29 de abril de 1833. Em 18 de junho, deu-se, pela Reso-
lução do Conselho Administrativo da Província de Goiás, a criação da vila
do Bonfim, confirmada pelo governo imperial. Em agosto desse mesmo
ano, foi criado o distrito de Bonfim. Com a divisão administrativa de 1911,
era formado somente pelo distrito sede. 2.9. O Município de Silvânia Posteriormente, o distrito de São
Miguel veio a também fazer parte do município. Silvânia já foi considerada o berço da educação em Goiás, pelo pionei-
rismo com que fundou escolas para meninos e meninas já no século XIX, e
a Atenas de Goiás, pela intensa produção cultural, principalmente na área
literária. Bonfim alcançou grande progresso quando D. Emanuel Gomes de
Oliveira, arcebispo de Goiás, admirador da cidade, transferiu para lá a sede
de seu bispado. Com seu prestígio, conseguiu com as autoridades da época
que os trilhos da Estrada de Ferro Goiás passassem por Bonfim. i
A partir de 1943, em homenagem ao primeiro dirigente da cidade, Vicente
Miguel da Silva, o topônimo foi mudado para Silvânia. De acordo com os da-
dos da Gerência de Estatística/Sepin/Seplan – 2010, o município possui uma
população residente de 19.096 pessoas, com crescimento anual estimado na
última década de -0,63. Saint-Hilare (1975) narra sua passagem pelo arraial do “Bom Fim” – escrito desta maneir 6 Americano do Brasil foi secretário de Estado de Goiás, em 1917; deputado federal de 1921
a 1923; professor, jornalista, poeta, historiador, folclorista, entre tantas outras funções. 2.9.1. O Topônimo Silvânia p
Vários termos eram usados para designar o lugar de Bonfim:5 Arraial do
Bonfim, Capela do Senhor do Bonfim, Vila do Bonfim ou apenas Bonfim. Todos esses designativos eram devido à Igreja do Nosso Senhor do Bonfim. Segundo Cotrim (1998), quando se cogitou a mudança do nome da cida-
de (Bonfim), a primeira ideia foi homenagear o filho mais ilustre do lugar: Kênia Mara de Freitas Siqueira 164 Antônio Americano do Brasil.6 No entanto, já havia uma “Americana” no
estado de São Paulo. Optou-se, então, por homenagear a família (Silva) do
primeiro líder político da cidade, à qual o próprio Americano do Brasil per-
tencia. Assim, Bonfim tornou-se Silvânia. Topônimo: Silvânia
Etimologia: do latim silva, floresta, mato, selva. O sobrenome se refere aos
habitantes que viviam perto dos bosques ou que deles dependia, extraindo
lenha, madeira e outras riquezas. Pode indicar também o culto às divindades
dos bosques, tradição pagã ainda existente durante os séculos VIII-XI + -(a)nia
variação do sufixo nominal do latino –a#nus, -a#na que se documentam em
nomes e modificadores com as noções de proveniência, origem entre outras. Estrutura morfológica: sm próprio Silva + sufixo -(a)nia. Taxionomia de natureza antropocultural: antropotopônimo, relativo a no-
mes de família. 2.10. O Município de Urutaí Topônimo: Silvânia
Etimologia: do latim silva, floresta, mato, selva. O sobrenome se refere aos
habitantes que viviam perto dos bosques ou que deles dependia, extraindo
lenha, madeira e outras riquezas. Pode indicar também o culto às divindades
dos bosques, tradição pagã ainda existente durante os séculos VIII-XI + -(a)nia
variação do sufixo nominal do latino –a#nus, -a#na que se documentam em
nomes e modificadores com as noções de proveniência, origem entre outras. Estrutura morfológica: sm próprio Silva + sufixo -(a)nia. Taxionomia de natureza antropocultural: antropotopônimo, relativo a no-
mes de família. 2.10. O Município de Urutaí 2.10. O Município de Urutaí Taxionomia de natureza física: zoototopônimo, relativo a topônimos de ín-
dole animal. 7 Trata-se da ave uru, Odontophurus Capueira, uma ave galiforme. Não é comum em Goiás,
talvez a história da motivação do nome desse município seja realmente uma lenda. 2.10. O Município de Urutaí O desenvolvimento da cidade de Urutaí se deve à implantação e à penetração
da estrada de ferro em Goiás. Para a construção da estrada, acorreram para
a região várias pessoas, das quais muitos eram funcionários e operários da
ferrovia. Inaugurada a estação local, em novembro de 1914, intensificaram-
-se as edificações no local e um ano depois já havia muitas ruas e casas ao
seu redor. Também contribuiu para a expansão do lugar a Fazenda Modelo, mantida
pelo governo federal desde 1910, transformada depois em Escola Agrotéc-
nica Federal de Urutaí, hoje, Instituto Federal Goiano (Campus de Urutaí). Urutaí foi elevada a distrito em 15 de junho de 1915 e a município em 16
de setembro de 1948, pela Lei nº 141, sendo desmembrada de Ipameri, cuja
comarca passou a constituir Termo. Em 1952, foi elevada à categoria de Co-
marca de 1ª Entrância. De acordo com os dados da Gerência de Estatística/Sepin/Seplan – 2010,
o município possui uma população de 3.058 pessoas e taxa de crescimento
anual em torno de -0,15. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 165 2.10.1. O Topônimo Urutaí 2.10.1. O Topônimo Urutaí Os moradores mais velhos contam que a razão do nome se deve a uma his-
tória (quase uma lenda): quando os carreiros, os guias de carros de bois,
pernoitavam no lugar onde hoje é a cidade, vindos de Uberaba, transpor-
tando sal para a antiga capital de Goiás, cidade de Goiás, preparavam carne
de sol, salgavam-na e punham-na para secar; então, apareciam umas aves
de cor azul-seda (sic) cujo nome era “uru”.7 Atraídas pelo cheiro da carne
de sol, os urus vinham comê-la, os que ficavam vigiando a carne gritavam:
uru-taí, uru-taí! Pode ser que não fosse realmente um uru, pois essa ave não
vive na região central do Brasil, mas, mesmo assim, consolidou-se o termo
“Urutaí” como designativo para o lugar. Topônimo: Urutaí
Etimologia: sm. do Tupi u’ru, nome comum às aves galiformes da família
dos fasianídeos; também, ave voraz, uma das modalidades do nome urubu
+ (es)ta + (a)í. Estrutura morfológica: sm. substantivo composto por aglutinação, uru + taí
(por aférese de está aí). Taxionomia de natureza física: zoototopônimo, relativo a topônimos de ín-
dole animal. Estrutura morfológica: sm. substantivo composto por aglutinação, uru + taí
(por aférese de está aí). Taxionomia de natureza física: zoototopônimo, relativo a topônimos de ín-
dole animal. 2.11.1. O Topônimo Vianópolis O primeiro nome do município refere-se à família de Joaquim Tavares da
Silva, proprietário da fazenda cujas terras foram vendidas ao Cel. Felismi-
no de Souza Viana para a construção da cidade. Já o topônimo Vianópolis
homenageia o próprio Felismino, uma vez que esse designativo toponímico
é formado pela junção do sobrenome Viana mais o elemento grego “polis”. Topônimo: Vianópolis
Etimologia: nome de família de origem toponímica
Estrutura morfológica: substantivo composto pelo nome Viana + -pole, ele-
mento composto, derivado do grego pólis ‘cidade’. Taxionomia de natureza antropocultural: antropotopônimo, relativo a so-
brenome de família. Etimologia: nome de família de origem toponímica Estrutura morfológica: substantivo composto pelo nome Viana + -pole, ele-
mento composto, derivado do grego pólis ‘cidade’. Taxionomia de natureza antropocultural: antropotopônimo, relativo a so-
brenome de família. 2.11. O Município de Vianópolis Havia nessa região (atual estrada de ferro) alguns trajetos por onde passa-
vam os carros de bois carregando mercadorias entre as vilas, patrimônios e
cidades existentes. Em um desses trajetos, fazia parte um itinerário conheci-
do como Pouso dos Carreiros, na cabeceira do Córrego Veredas, onde mais
tarde viria a ser Tavares, depois Vianópolis. O topônimo Tavares teve sua motivação no nome de uma família que
residia no lugar por volta de 1807. Mais de um século depois teve início, em
Araguari, Minas Gerais, a construção da Estrada de Ferro Goiás. Em mapas do estado, de 1921, constam os lugares por onde a estrada pas-
saria a partir de Araguari rumo a Goiás. Constam os trechos programados
para passar perto de Jaraguá em direção à cidade de Goiás (então capital do Kênia Mara de Freitas Siqueira 166 estado). Aparecem no mapa vários nomes das estações que seriam constru-
ídas: Anhanguera a Roncador – já em tráfego, e, em construção,8 a via de
Roncador a Tavares. O Cel. Felismino de Souza Viana, político da região do
Roncador, se apressou a comprar terras junto à estação Tavares,9 para a qual
mandou elaborar o projeto urbano da futura Vianópolis, mediante parcela-
mento do solo e comercialização de lotes. Em 1925, é inaugurado o trecho da ferrovia e a respectiva estação de Ta-
vares. Assim, Vianópolis é mais uma cidade que surgiu em consequência
da Estrada de Ferro Goiás. 9 Nessa época (1923), o lugar ainda era denominado de Cabeceira da Vereda ou Pouso de
Carreiro. 8 Constam também as de Veríssimo, Içá, Inajá, Tapiocanga, Egerineu Teixeira, Caraíba e
Ponte Funda. Considerações finais A ocorrência de ouro em alguns cursos d’água propiciou o nascimento das
primeiras cidades de Goiás: Vila Boa, Meia Ponte, Santa Cruz, Traíras, Bon-
fim. O metal constituiu o primeiro hilo desencadeador de povoações pela
região central do Brasil. Com o advento da Estrada de Ferro Goiás, no início do século XX, po-
de-se dizer que um novo hilo se formou. Em torno das recém-inauguradas
estações da ferrovia, iam surgindo edificações até tornarem-se distritos e 8 Constam também as de Veríssimo, Içá, Inajá, Tapiocanga, Egerineu Teixeira, Caraíba e
Ponte Funda. 9 Nessa época (1923), o lugar ainda era denominado de Cabeceira da Vereda ou Pouso de
Carreiro. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 167 daí por diante atingiam sua emancipação, tornando-se municípios. O con-
junto toponímico da microrregião de Pires do Rio, região sudeste de Goiás
conhecida como Região da Estrada de Ferro, guarda desses hilos muitas re-
miniscências, preserva na memória as motivações que fizeram com que o
denominador escolhesse tal nome para determinado lugar. A discussão acerca da toponímia dessa região teve a intenção de estudar
os topônimos em conjunto, tendo como suporte os princípios teórico-meto-
dológicos propostos principalmente por Dick (1990, 2007) e possibilitando
uma visão preliminar das características comuns que há entre eles no que se
refere aos aspectos históricos, culturais e linguísticos. Para tanto, foram pro-
postos os seguintes objetivos: descrever o caráter etimológico, morfológico
e semântico dos topônimos; investigar e verificar, mediante o estudo desses
topônimos, se questões referentes à cultura e à história do lugar podem ser
elucidadas pelo estudo toponímico; e, ainda, se há questões mais vinculadas
a aspectos físicos dos lugares para proceder à classificação, de acordo com
as 27 taxes propostas por Dick (1990). Dessa forma, por meio da coleta e da descrição dos dados, pôde-se des-
crever os aspectos linguísticos dos topônimos, com os quais foi possível
mostrar a origem, a formação e o significado dos nomes dos respectivos
municípios da microrregião de Pires do Rio. Os nomes dos municípios
goianos da região da ferrovia não fogem à regra que confere aos topônimos
uma relação intrínseca com fatos históricos, culturais, acidentes geográfi-
cos e episódios religiosos de cada lugar. Considerações finais Por exemplo, a construção de um
cemitério (São Miguel do Passa Quatro) favorecer a formação de uma ci-
dade é fato bastante peculiar, haja vista certa constância em relação ao hilo
mais comum de nascimento de cidades tanto em Goiás quanto no Brasil
de uma maneira geral. O mote atrativo é quase sempre o estabelecimento de um pequeno co-
mércio, a doação de terreno para construção de uma igreja, a maioria de fé
católica. Assim, Cristianópolis não correspondeu ao que era comum na re-
gião e ergueu uma cidade em torno da fé protestante, permanecendo assim
até hoje, isto é, uma cidade de maioria evangélica. Quanto aos topônimos propriamente ditos, o que os dados anunciam
é uma tendência que se efetivará com o tempo; em outras palavras, há na
região uma forte motivação para homenagear pessoas importantes da po-
lítica local, seja na macrotoponímia, seja na microtoponímia (nomes de
ruas e de bairros). Isso aconteceu em relação aos topônimos: Leopoldo de Kênia Mara de Freitas Siqueira 168 Bulhões, político influente em Goiás; Pires do Rio, homenagem ao minis-
tro dos Transportes (José Pires do Rio); Silvânia, homenagem à família de
Americano do Brasil, filho mais ilustre do lugar; Vianópolis, homenagem
ao fundador da cidade (Cel. Felismino de Souza Viana). Por outro lado, os topônimos da região também evidenciam que a reli-
gião constitui importante foco de motivação para escolha de nomes: Cristia-
nópolis, Santa Cruz de Goiás, São Miguel do Passa Quatro. As motivações
de natureza física motivaram os nomes de Gameleira e Urutaí, fitotopônimo
e zootopônimo, respectivamente. A respeito de Palmelo, cabe lembrar que seu surgimento vai em direção
um pouco diferente do que é mais comum na região, já que essa cidade nas-
ceu (e vive como tal) da prática da caridade, da doutrina espírita, e a motiva-
ção toponímica para escolha do nome, adveio da aura poética espiritual das
palavras “palma e melodia”, para simbolizar a busca pela paz e pela caridade
comum entre os espiritualistas, maioria no município. Assim, os lugares vão sendo habitados nessa intrínseca relação entre his-
tória, cultura e, principalmente, linguagem. Referências Bibliográficas gi
ALVES, Joaquim Rodrigues. Santa Cruz de Goiás: sinopse histórica. s.l./
s.n.t., ca. 1983. ALVES, Joaquim Rodrigues. Santa Cruz de Goiás: sinopse histórica. s.l./
s.n.t., ca. 1983. CARVALHINHOS, Patrícia de Jesus. Onomástica e lexicologia: o léxico to-
ponímico como catalisador e fundo de memória. Estudo de caso: os socioto-
pônimos de Aveiro (Portugal). Revista da USP, São Paulo, n. 56, p. 172-179,
dez.-fev. 2002-2003. COTRIM. Edmar Camilo. Silvânia: enredo e personagens. Silvânia: Ani-
ma, 1998. CUNHA, Antônio Geraldo. Dicionário Etimológico. 2. ed. Rio de Janeiro:
Nova Fronteira, 1982. DICK, Maria Vicentina de Paula do Amaral. A motivação toponímica e a
realidade brasileira. São Paulo: Edições Arquivo do Estado de São Pau-
lo, 1990. _______. Atlas toponímico do Brasil: teoria e prática II. Revista Trama, Cas-
cavel, v. 3, n. 5, p. 141-155, 1º sem. 2007. Disponível em: < http://erevista. unioeste.br >. Acesso em: 11 out. 2010. Nos trilhos da estrada de ferro: reminiscências de motivações toponímicas 169 FONSECA, G. Solis. La gente pasa, los nombres quedan... Introducción en
la toponimia. Lima: G.Herrera, 1997. FONSECA, G. Solis. La gente pasa, los nombres quedan... Introducción en
la toponimia. Lima: G.Herrera, 1997. GOIÁS. Superintendência de Estatística, Pesquisa e Informações Socioeco-
nômicas/Sepin/ Seplan – Gerência de Estatística Socioeconômica, Goiás,
Goiânia, 2010. Disponível em: <http://www.seplan.go.gov.br/sepin>. OLIVEIRA, Élson Gonçalves de. São Miguel do Passa Quatro: o nascimen-
to de uma cidade. Goiânia: Elege, 1998. _______. Cristianópolis: uma cidade que nasceu da fé. Goiânia: Ellos, 2006. SAMPAIO, Theodoro. O tupi na geografia nacional. Bahia: Secção Graphi-
ca da Escola de Aprendizes Artificies, 1928. SAINT-HILARE, Auguste de. Viagem à província de Goiás. São Paulo: Ita-
tiaia/USP, 1975. SIQUEIRA, Kênia Mara de Freitas. Estudo toponímico: âmbitos e perspec-
tivas de análises. ReVEL, Porto Alegre, v. 9, n. 17, p. 191-210, 2011. Dispo-
nível em: <http://www.revel.inf.br>. SIQUEIRA, Jacy. Um contrato singular: e outros ensaios sobre a história de
Goiás. Goiânia: Kelps, 2006. TAVARES, Marineide Cassuci; ISQUERDO, Aparecida Negri. A questão da
estrutura morfológica dos topônimos: um estudo na toponímia sul-mato-
-grossense. Revista Signum. Estudos de Linguagens, Londrina/PR, v. 9/2, p. 273-288, 2006. Recebido em fevereiro 2012
Aceito em abril 2012 170
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Integer Sets Having the Maximum Number of Distinct Differences
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2Partially supported by KBN Grant 1 P03A 029 30. Abstract In this paper we study the function D(k, n) which is the maximum of |A −A| =
!!{a −b :
a, b ∈A}
!! over all k-subsets A of {0, . . . , n}. We prove that for any fixed real c ≥0 and any
function k(n) = (c + o(1))√n, the limit d(c) = lim
n→∞
D(k(n), n)
n exists, as well as present some upper and lower bounds on d(c). INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 INTEGER SETS HAVING THE MAXIMUM NUMBER OF DISTINCT
DIFFERENCES Oleg Pikhurko1
Department of Mathematical Sciences, Carnegie Mellon University, Pittsburgh, PA 15213
http://www.math.cmu.edu/~pikhurko Tomasz Schoen2
Department of Discrete Mathematics, Adam Mickiewicz University, Pozna´n, Poland
schoen@amu.edu.pl Received: 9/12/06, Revised: 1/27/07, Accepted: 2/3/07, Published: 2/19/07 1Partially supported by the Berkman Faculty Development Fund, Carnegie Mellon University, and the
National Science Foundation, Grant DMS-0457512.
2 1. Introduction in
R´edei and R´enyi’s argument (instead of θ = 3π/2 used in [8]) improves the lower bound (1)
to bn ≥(1.5602 · · · + o(1)) √n. Given these well-known unsolved problems, the exact computation of D(k, n) for all k
and n seems out of reach. Therefore, we settle for proving some reasonable general bounds
as n tends to infinity and k = k(n) is an integer-valued function of n. It follows from the above that, for all sufficiently large n, D(k(n), n) = (k(n))2 −k(n)+1
if lim supn→∞k(n)/√n < 1 and D(k(n), n) = 2n −1 if lim infn→∞k(n)/√n >
√
3. This
prompts us to define, for any constant c, d(c) =
lim
n→∞
k(n)=(c+o(1))√n
D(k(n), n)
n
. (2) (2) In Section 2 we show that this definition is correct, that is, the limit exists and is independent
of the choice of the function k(n). It follows (see Corollary 4) that d(c) is a continuous
function. Thus we have d(c) = c2 if 0 ≤c ≤1 and d(c) = 2 if c ≥
√
3. In Section 3 we improve the trivial upper bound d(c)≤min(c2, 2) for a range of c as follows. Theorem 1 For any c ≥1 we have d(c) ≤min
#
2c−1, c2/2+1−2/(3π)
$
Thus, if we define
c0 = 2 −2/
√
3π = 1.3485 . . . and c1 =
"
2 + 4/(3π) = 1.5570 . . . , then Theorem 1 For any c ≥1 we have d(c) ≤min
#
2c−1, c2/2+1−2/(3π)
$
Thus, if we define
c0 = 2 −2/
√
3π = 1.3485 . . . and c1 =
"
2 + 4/(3π) = 1.5570 . . . , then d(c) ≤
2c −1,
1 ≤c ≤c0,
c2
2 + 1 −
2
3π,
c0 ≤c ≤c1,
2,
c ≥c1. d(c) ≤
2c −1,
1 ≤c ≤c0,
c2
2 + 1 −
2
3π,
c0 ≤c ≤c1,
2,
c ≥c1. Let us turn to lower bounds. Recall that we know d(c) for any c except for 1 < c <
√
3. Let us turn to lower bounds. Recall that we know d(c) for any c except for 1 < c <
√
3. 1. Introduction For A ⊂Z let its difference set A −A be {a −b : a, b ∈A}. We say that A is a difference
basis for a set I ⊂Z if A−A ⊃I. If, moreover, A ⊂I, then A is called a restricted difference
basis for I. Here we study the function D(k, n) which is the maximum size of A−A over all k-subsets
A of [0, n] = {0, . . . , n}. In other words, of all k-subsets of [0, n] we want to choose one with
the maximum number of distinct differences. The analogous problem for sums has been
considered by Pikhurko [7]. One trivial upper bound is D(k, n) ≤k2 −k + 1. (Note that 0 is represented k times as a
difference in A −A.) This bound is sharp if and only if [0, n] contains a Sidon k-set. Let sn INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 2 be the largest such k. As it was shown by Erd˝os and Tur´an [3], we have sn = (1 + o(1)) √n. Getting good estimates on the error term is a well-known open problem. For example, the
$500 prize of Erd˝os [1] for proving or disproving that sn = √n + O(1) is still unclaimed. Another trivial bound D(k, n) ≤2n + 1 is obtained by observing that A −A is a subset
of [−n, n]. This bound is sharp if and only if [0, n] has a restricted difference basis A ⊂[0, n]
of size k. Let bn be the smallest possible k with this property. The parameter bn is not
known even asymptotically. The best known upper bound bn ≤(
√
3 + o(1)) √n is due to
Wichmann [10]. A result of R´edei and R´enyi [8] implies that bn ≥(c + o(1))√n,
(1) (1) where c =
"
2 + 4/(3π) = 1.5570 . . . . Leech [4] observed that the choice θ = 4.4934 . . . in
R´edei and R´enyi’s argument (instead of θ = 3π/2 used in [8]) improves the lower bound (1)
to bn ≥(1.5602 · · · + o(1)) √n. where c =
"
2 + 4/(3π) = 1.5570 . . . . Leech [4] observed that the choice θ = 4.4934 . . . 1. Introduction Theorem 2 For any real γ with 0 ≤γ ≤2 we have Theorem 2 For any real γ with 0 ≤γ ≤2 we have
d
( 4 −γ
√7 −γ
)
≥13 −6γ + γ2/2
7 −γ
. (3) d
( 4 −γ
√7 −γ
)
≥13 −6γ + γ2/2
7 −γ
. (3) (3) INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 3 Also, let c2 = 4/
√
7 = 1.5118 . . . , and c3 =
"
39/14 = 1.6690 . . . . Then we have
d(c) ≥
2 −1
c2,
1 ≤c ≤
√
2,
13
7 ,
c2 ≤c ≤c3,
2c2
3 ,
c3 ≤c ≤
√
3. (4) (4) Remark. The first bound in (4) is larger than the parametric bound (3) for c between 1
and c4 = 1.3028 . . . . The bound (3) takes over for c4 ≤c ≤c2, which corresponds to γ
ranging from 0.7405 . . . down to 0. The graphical summary of our findings is presented in Figure 1, where the upper (gray)
graph corresponds to the upper bound of Theorem 1 and the lower (black) graph corresponds
to the lower bound of Theorem 2. For the reader’s convenience, we present two plots, with
the second plot zooming into the range where d(c) is still unknown. Figure 1: Our bounds on d(c). Figure 1: Our bounds on d(c). 2. The Existence of the Limit Theorem 3 Let c ≥0 be a fixed real. Let k(n) be any integer-valued function such that
k(n) = (c + o(1))√n. Then the ratio D(k(n), n)/n tends to a limit as n tends to infinity,
and this limit depends only on c (and not on the choice of the function k(n)). D(k(n), n). p D(k(n), n) Proof. We use the method of R´edei and R´enyi [8]. Given k(n), let λ = lim sup
n→∞
D(k(n), n)
n
. Fix some small ε > 0. Let N be such that |k(n) −c√n| < ε√n for all n ≥N. Choose
n0 ≥max(N, ε−1) such that D(k(n0), n0) ≥(λ −ε)n0. Let n be sufficiently large, depending
on ε, N, n0. The assumptions that n0 > ε−1 and n is large guarantee that there is a prime q with The assumptions that n0 > ε−1 and n is large guarantee that there is a prime q with n0 > ε−1 and n is large guarantee that there is a prime q with (1 −ε)
* n
n0
< q <
*
n
n0 + 1 −1 INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11
4 INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 4 (see, for instance, Lou and Yao [5] for results on the distribution of primes). Letting m =
q2 + q + 1 we have that m(n0 + 1) < (q + 1)2(n0 + 1) < n and mn0 > q2n0 > (1 −2ε)n. A construction of Singer [9] gives us numbers a0, . . . , aq ∈[0, m −1] such that the differ-
ences ai −aj, i ̸= j, are pairwise distinct non-zero residues modulo m. It follows that these
differences cover each non-zero residue modulo m precisely once. Take any set B0 ⊂[0, n0] with |B0| = k(n0) and |B0 −B0| ≥(λ −ε)n0. Consider the set
B′ = {ai + bm : i ∈[0, q], b ∈B0}. 0] with |B0| = k(n0) and |B0 −B0| ≥(λ −ε)n0. Consider the set
B′ = {ai + bm : i ∈[0, q], b ∈B0}. Take any set B0 ⊂[0, n0] with |B0| = k(n0) and |B0 −B0| ≥(λ −ε)n0. Consider the set
B′ = {ai + bm : i ∈[0, q], b ∈B0}. Let us observe that B′ ⊂[0, n] by the choice of q. Corollary 4 d(c) is a continous function of c. Corollary 4 d(c) is a continous function of c. Proof. Suppose that the claim is not true. Since d(c) is non-decreasing, this means that there
are c0 and ε > 0 such that d(c) > d(c0) + ε for all c > c0. Find two sequences n1 < n2 < . . . and k1, k2, . . . of positive integers with c0
√ni ≤ki ≤(c0 + 1/i)√ni and D(ki, ni) ≥(d(c0) + ε/2)ni,
for all i ∈N. Let k(n) be an arbitrary function such that k(ni) = ki for all i ∈N and k(n) = (c0+o(1))√n. By Theorem 3,
D(k( )
) c0
√ni ≤ki ≤(c0 + 1/i)√ni and D(ki, ni) ≥(d(c0) + ε/2)ni,
for all i ∈N. Let k(n) be an arbitrary function such that k(ni) = ki for all i ∈N and k(n) = (c0+o(1))√n. By Theorem 3,
( ( )
) By Theorem 3, lim
n→∞
D(k(n), n)
n
= d(c0). lim
n→∞
D(k(n), n)
n
= d(c0). However, by the definition, lim sup
n→∞
D(k(n), n)
n
≥lim sup
i→∞
D(ki, ni)
ni
≥d(c0) + ε
2, 2 which is a contradiction. which is a contradiction. INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 5 |B −B| ⪆b0q2. It follows that d(k0/√n0 + 1) ≥b0/(n0 + 1). This inequality (combined
with the deletion method) can be used for proving lower bounds on the function d(c), see
Section 4 for examples. |B −B| ⪆b0q2. It follows that d(k0/√n0 + 1) ≥b0/(n0 + 1). This inequality (combined
with the deletion method) can be used for proving lower bounds on the function d(c), see
Section 4 for examples. 2. The Existence of the Limit If |B′| ≤k(n), let B = B′; otherwise let
B consist of arbitrary k(n) elements of B′. First, let us estimate |B′ −B′|. If h ∈B0 −B0, say h = b1 −b2, then B′ −B′ contains
the elements ai + b1m −(aj + b2m) = (ai −aj) + hm,
i, j ∈[0, q]. Moreover, different choices of the ordered triple (i, j, h) with i ̸= j produce distinct differ-
ences: the choice of i, j determines a non-zero residue modulo m and then h is determined
uniquely. Furthermore, these elements are different from hm, which are obtained by taking
ai = aj. Thus |B′ −B′| ≥|B0 −B0| × ((q + 1)q + 1) ≥(λ −ε)n0m ≥(λ −ε)(1 −2ε)n ≥(λ −O(ε))n. (5) (5) Now, let us estimate |B′ \ B|. We have Now, let us estimate |B′ \ B|. We have |B′| ≤(q + 1)|B0| ≤(q + 1)(c + ε)√n0 < (c + ε)√n,
so that |B′ \ B| = |B′| −|B| ≤2ε√n in view k(n) ≥(c −ε)√n. But by deleting O(ε√n) elements from B′, we can destroy at most O(εn) differences,
that is,
( ( )
)
|
| D(k(n), n)
n
≥|B −B|
n
≥λ −O(ε) for all large n. As ε was arbitrary, the existence of the limit follows. for all large n. As ε was arbitrary, the existence of the limit follows Also, the value of the limit depends only on c but not on the choice of the function k(n)
Indeed, if two different choices k1(n) and k2(n) produced different limiting values, then the
function k(n) defined by k(2l −1) = k1(2l −1) and k(2l) = k2(2l), l ∈N, would contradict
the first part of the theorem. 2 Remark. The proof gives in fact a stronger claim as follows. Suppose that we have some
k0-set B0 ⊂[0, n0]. Let b0 = |B0 −B0| and let n be sufficiently large. Then by choosing an
appropriate q ≈
"
n/(n0 + 1), we obtain, as above, a set B ⊂[0, n] such that |B| ≈k0q and INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 3. Upper Bounds Here we prove Theorem 1. We will not need the constants c0, c1 here; these constants simply
mark the values of c when one bound starts superseding another. So, fix constant c and take
any function k(n) = (c+o(1))√n. Let n be sufficiently large and let the corresponding value
k(n) be denoted by k. Let A be an arbitrary subset of [0, n] of size k. We start by showing that d(c) ≤2c −1 for any c ≥1. The case c = 1 has already been
settled. Also, we know that d(c) ≤2 for any c. So let us assume that 1 < c < 3/2. Define
t := ⌊(c −1)n⌋, Ai := A ∩[i, i + t −1], and ai := |Ai|,
i ∈[1 −t, n]. Let X consist of all quadruples (a, b, i, x) such that x = a −b > 0 and a, b ∈Ai. Using
the identity +n
i=1−t ai = kt and the quadratic-arithmetic mean inequality, we obtain |X| =
n
,
i=1−t
(ai
2
)
= 1
2
n
,
i=1−t
a2
i −kt
2 ≥(1 + o(1)) (kt)2
2(n + t). (6) (6) For x ∈Z, let ν(x) be the number of representations x = a −b with a, b ∈A. Then, each
x ∈[1, t −1] is included in precisely (t −x)ν(x) quadruples. Hence, |X| =
t−1
,
x=1
(t −x)ν(x) ≤
t−1
,
x=1
(t −x) +
t−1
,
x=1
(t −x) × max(ν(x) −1, 0). (7) (7) INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 6 6 The first sum is t(t −1)/2, while the second sum can be bounded from above by t
n
,
x=1
max(ν(x) −1, 0) = t
n
,
x=1
ν(x) −t
!!(A −A) ∩[1, n]
!! = t
(k
2
)
−t |A −A| −1
2
. Putting all together we obtain: (kt)2
2(n + t) ≤t2
2 + t(k2 −|A −A|)
2
+ o(n2). Routine simplifications yield the desired bound on |A −A|. Our proof of the other bound of Theorem 1 uses some ideas from [8] and works for an
abritrary c > 0. Let n, k, and A be as before. Let b = |A −A|. For a real x define f(x) =
,
a∈A
eiax, f(x) =
,
a∈A
eiax, where i is a square root of −1. We have |f(x)|2 =
-,
a∈A
eiax
. 3. Upper Bounds -,
a∈A
e−iax
. =
,
a1,a2∈A
ei(a1−a2)x ≥0. (8) (8) The difference |f(x)|2 −+n
r=−n eirx can be written as a sum of 2n + 1 −b terms of the form
−eirx and k2 −b (not necessarily distinct) terms of the form eirx. Thus, by taking the real
part of (8) we obtain (2n + 1 −b) + (k2 −b) + Dn(x) ≥0,
(9) (9) where where Dn(x) = 1 + 2
n
,
r=1
cos(rx). The function Dn(x)/(2π) is called the Dirichlet kernel. It is well-known (and easy to show
by induction on n) that 1 + 2
n
,
r=1
cos(rx) = sin( 2n+1
2 x)
sin( x
2)
. Let us take x = 3π/(2n + 1). Then Dn(x) ≤−4n/(3π) + o(n). Plugging this into (9) we
obtain the required bound on b = |A −A|. 4. Lower Bounds First, we prove the lower bound (3). We apply the idea of the remark after Theorem 3 to the
set B0 = {0, 1, 4, 6}. Namely, we pick a large prime q. As in Theorem 3, let A = {a0, . . . , aq}
be the Singer subset of [0, m −1], where m = q2 + q + 1. Let C = C0 ∪C1 ∪C4 ∪C6, INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11
7 INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 7 where Ci = A + im = {a + im : a ∈A}. Note that |B0 −B0| = 13. As in (5), we have
|C −C| ≥13m. Given γ, let C′
0 consist of the first ⌊γq/2⌋elements of C0 and let C′
6 consist of the last
⌊γq/2⌋elements of C6. Let B = C \ (C′
0 ∪C′
6). Note that (C0 −C′
0) ∪(C′
6 −C6) ⊂C1 −C1 ⊂B −B. So by removing C′
0 ∪C′
6 from C we destroy at most So by removing C′
0 ∪C′
6 from C we destroy at most 2
×
/
|C′
0| × |C1 ∪C4 ∪C6| + |C′
6| × |(C0 \ C′
0) ∪C1 ∪C4|
0
=
2
/γq
2 × 3q + γq
2 ×
/
3 −γ
2
0
q + o(q2)
0
=
(
6γ −γ2
2 + o(1)
)
m differences. Thus, |B −B| ≥
(
13 −6γ + γ2
2 + o(1)
)
m. (10) (10) Erd˝os and Freud [2] proved that any almost optimal Sidon subset of [0, n], that is, having
size (1 + o(1))√n, is almost uniformly distributed in the interval. This, of course, applies to
the Singer set A. It follows that the diameter of C′
0 and of C′
6 is (γ/2 + o(1))m, where the
diameter of a finite set X ⊂Z is diam X = max X −min X. Thus diam B = diam C −γ
2m −γ
2m + o(m) = (7 −γ + o(1))m. By translating B, we can ensure that B ⊂[0, diam B]. Let us denote kq = |B| and nq =
diam (B). By translating B, we can ensure that B ⊂[0, diam B]. Let us denote kq = |B| and nq =
diam (B). 4. Lower Bounds The analysis here is a bit more complicated. Let us remove C′
0
first. Since C0 −C′
0 ⊂C1 −C1, when we remove C′
0, we destroy at most 2 × |C′
0| × |C1| = (γ + o(1))m differences. Now, let us remove C′
1. We have differences. Now, let us remove C′
1. We have differences. Now, let us remove C′
1. We have
C′
1 −C′
1 = (C′
1 −m) −(C′
1 −m) ⊂(C0 \ C′
0) −(C0 \ C′
0)
because γ ≤1. Also, C′
1 −(C1 \ (C′
1 ∪(C′
0 + m)) ⊂(C′
1 −m) −(C0 \ C′
0). Thus, by removing
C′
1 we destroy at most C′
1 −C′
1 = (C′
1 −m) −(C′
1 −m) ⊂(C0 \ C′
0) −(C0 \ C′
0)
Also, C′
1 −(C1 \ (C′
1 ∪(C′
0 + m)) ⊂(C′
1 −m) −(C0 \ C′
0). Thu
t most C′
1 −C′
1 = (C′
1 −m) −(C′
1 −m) ⊂(C0 \ C′
0) −(C0 \ C′
0) C′
1 −C′
1 = (C′
1 −m) −(C′
1 −m) ⊂(C0 \ C′
0) −(C0 \ C′
0)
so, C′
1 −(C1 \ (C′
1 ∪(C′
0 + m)) ⊂(C′
1 −m) −(C0 \ C′
0). Thus, by removing
most 1
1
(
1
)
(
1
)
(
0 \
0)
(
0 \
0)
because γ ≤1. Also, C′
1 −(C1 \ (C′
1 ∪(C′
0 + m)) ⊂(C′
1 −m) −(C0 \ C′
0). Thus, by removing
C′
1 we destroy at most 2 × |C′
1| × |(C′
0 + m) ∪(C0 \ C′
0)| = γ(γ/2 + (1 −γ/2) + o(1))m = (γ + o(1))m
differences. Therefore,
!!(C −C)\(B −B)
!! ≤(2γ +o(1))m, and |B −B| ≥(3−2γ +o(1))m. Putting all estimates together we obtain by Theorem 3 the required bound d(c) ≥3 −2γ
2 −γ = 2 −1
c2,
1 ≤c ≤
√
2. The second bound in (4) follows from the case γ = 0 of (3) and the trivial observation
that d(c) is a non-decreasing function of c. To prove the last bound in (4) we modify the construction of Wichmann [10]. Let Ak,r
be the set of 4r + k + 3 integers with the smallest element 0 and the differences between
consecutive elements being 1, . . . 4. Lower Bounds Thus we have an infinite sequence of pairs (kq, nq) with kq = (4 −γ + o(1))q, nq =
(7 −γ + o(1))q2, and D(kq, nq) ≥(13 −6γ + γ2/2 + o(1)) q2. Let P be an infinite set of
primes such that np ̸= nq for all distinct p, q ∈P. Take any function k(n) such that
k(nq) = kq for all q ∈P and k(n) = ((4 −γ)/√7 −γ + o(1))√n as n →∞. The desired
bound follows from Theorem 3: d
( 4 −γ
√7 −γ
)
≥lim inf
q→∞
q∈P
D(kq, nq)
nq
≥13 −6γ + γ2/2
7 −γ
. In order to prove the first bound in (4), we proceed similarly to above. Namely, let q, m,
A, C0, and C1 be as before. Define B0 = {0, 1}, C = C0∪C1 = A∪(A+m), and let C′
0 (resp. C′
1) consist of the first (resp. last) ⌊γq/2⌋elements of C, where we set γ = 2−c2. We allow c
to range between 1 and
√
2, so 0 ≤γ ≤1. Let B = C \(C′
0 ∪C′
1). Then |B| = (2−γ +o(1))q
and diam B = (2 −γ + o(1))m, so we indeed have |B| = (c + o(1))
√
diam B. In order to prove the first bound in (4), we proceed similarly to above. Namely, let q, m,
A, C0, and C1 be as before. Define B0 = {0, 1}, C = C0∪C1 = A∪(A+m), and let C′
0 (resp. C′
1) consist of the first (resp. last) ⌊γq/2⌋elements of C, where we set γ = 2−c2. We allow c
to range between 1 and
√
2, so 0 ≤γ ≤1. Let B = C \(C′
0 ∪C′
1). Then |B| = (2−γ +o(1))q
and diam B = (2 −γ + o(1))m, so we indeed have |B| = (c + o(1))
√
diam B. INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 8 By (5), |C −C| ≥3m. Let us estimate the number of destroyed differences, that is, the
size of (C −C) \ (B −B). The analysis here is a bit more complicated. Let us remove C′
0
first. Since C0 −C′
0 ⊂C1 −C1, when we remove C′
0, we destroy at most By (5), |C −C| ≥3m. Let us estimate the number of destroyed differences, that is, the
size of (C −C) \ (B −B). 4. Lower Bounds , 1
1 23 4
r
, r + 1, 2r + 1, . . . , 2r + 1
1
23
4
r
, 4r + 3, . . . , 4r + 3
1
23
4
k
, 2r + 2, . . . , 2r + 2
1
23
4
r+1
, 1, . . . , 1
1 23 4
r
. Thus, for example, the largest element of Ak,r is
n = r + (r + 1) + r(2r + 1) + k(4r + 3) + (r + 1)(2r + 2) + r = 4r2 + 4kr + O(k + r). 1, . . . , 1
1 23 4
r
, r + 1, 2r + 1, . . . , 2r + 1
1
23
4
r
, 4r + 3, . . . , 4r + 3
1
23
4
k
, 2r + 2, . . . , 2r + 2
1
23
4
r+1
, 1, . . . , 1
1 23 4
r
. Thus, for example, the largest element of Ak,r is Thus, for example, the largest element of Ak,r is As it is stated in [10], for all k, r ≥1 we have Ak,r −Ak,r = [−n, n], that is, Ak,r is a
restricted difference basis for [0, n] (see Miller [6, Apendix A] for a rigorous proof of this
fact). Given fixed c ≤
√
3, let r tend to infinity. Let k = ⌈(9/c2 −1)r⌉, l = k −2r ≥0, and
A = Ak,r. Then n = diam A = (36/c2 + o(1))r2 and |A −A| = (72/c2 + o(1))r2. Partition A = X ∪Y ∪Z, where X (resp. Z) consists of the first 2r + 1 (resp. last 2r + 1)
elements of A. Let L consist of the first l elements of Y and let B = A \ L. Let us estimate the number of differences destroyed by removing L. Since Y and L ⊂Y
are arithmetic progressions, we have |Y −L| ≤|Y | + |L| −1 = o(r2). Also (X −L) ∪(Z −L)
has size at most |L| × |X ∪Z| = (36/c2 −12 + o(1))r2. So, |B −B| ≥(72/c2 −2(36/c2 −12) + o(1))r2 = (24 + o(1))r2. Since |B|/√n = c + o(1), Theorem 3 implies that d(c) ≥24/(36/c2) = 2c2/3, as required. INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 INTEGERS: ELECTRONIC JOURNAL OF COMBINATORIAL NUMBER THEORY 7 (2007), #A11 9 5. Final Remarks Some of our bounds can be improved. Unfortunately, all the improvements that we could
find are very small (hardly visible on the plots) while the resulting formulas become very
complicated. Therefore, we settled for the present simpler bounds. The value of d(c) remains unknown for 1 < c <
√
3 when 1 < d(c) ≤2. We state the
following challenge: Problem. Compute d(c) exactly for at least one value of c with 1 < d(c) < 2. Acknowledgement We thank the referee for many helpful suggestions that improved the presentation of this
paper. 4. Lower Bounds Since |B|/√n = c + o(1), Theorem 3 implies that d(c) ≥24/(36/c2) = 2c2/3, as required. [10] B. Wichmann, A note on restricted difference bases, J. Lond. Math. Soc. 38 (1963), 465–466. References [1] P. Erd˝os, A survey of problems in combinatorial number theory, Ann. Discrete Math. 6 (1980), 89–115. [2] P. Erd˝os and R. Freud, On sums of a Sidon-sequence, J. Number Theory 38 (1991), 196–205. [3] P. Erd˝os and P. Tur´an, On a problem of Sidon in additive number theory, and on some related problems,
J. Lond. Math. Soc. 16 (1941), 212–215. [4] J. Leech, On the representation of 1, 2, . . . , n by differences, J. Lond. Math. Soc. 31 (1956), 160–169. [5] S. Lou and Q. Yao, A Chebyshev’s type of prime number theorem in a short interval II, Hardy-
Ranamujan J. 15 (1992), 1–33. [6] J. C. P. Miller, Difference bases. Three problems in additive number theory, Computers in number theory
(Proc. Sci. Res. Council Atlas Sympos. No. 2, Oxford, 1969), Academic Press, 1971, pp. 299–322. ] O. Pikhurko, Dense edge-magic graphs and thin additive bases, Discrete Math. 306 (2006) [8] I. Red´ei and A. R´enyi, On the representation of integers 1, 2, . . . , n by differences, Mat. Sbornik 24
(1949), 385–389. [9] J. Singer, A theorem in finite projective geometry and some applications to number theory, Trans. Ame
Math. Soc. 43 (1938), 377–85. [10] B. Wichmann, A note on restricted difference bases, J. Lond. Math. Soc. 38 (1963), 465–466.
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https://openalex.org/W2033827391
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https://europepmc.org/articles/pmc3533501?pdf=render
|
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How Each Prosodic Boundary Cue Matters: Evidence from German Infants
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Frontiers in psychology
| 2,012
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cc-by
| 13,514
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INTRODUCTION INTRODUCTION segments, and pauses, is associated with IPBs across different
languages (e.g., Vaissière, 1983; Nespor and Vogel, 1986; Price
et al., 1991; Wightman et al., 1992; Venditti et al., 1996; Hirst
and Di Cristo, 1998; Peters et al., 2005; Féry et al., 2011). Secondly,
again crosslinguistically, there exists a high coincidence of IPBs
with major syntactic boundaries like sentence and clause bound-
aries (e.g., Cooper and Paccia-Cooper, 1980; Venditti et al., 1996;
Vaissière and Michaud, 2006). Hence, sensitivity to the relevant
acoustic cues would provide infants with a strong mechanism
for chunking incoming speech into syntactically relevant units
without requiring lexical or syntactic knowledge. The system underlying the prosodic organization of language con-
stitutes a complex linguistic subsystem with strong interfaces to
other linguistic domains like the lexicon or the syntax. This paper
deals with the correlation between prosodic phrasing and the syn-
tactic structure of utterances which has already been the subject of
numerous studies in the area of adult sentence processing as well
as of infant language acquisition (e.g., Streeter, 1978; Scott, 1982;
Hirsh-Pasek et al., 1987; Sanderman and Collier, 1997; Nazzi et al.,
2000; Soderstrom et al., 2003; Peters, 2005). The question unify-
ing these diverse areas of research is whether prosody provides
information that can enter into the processing of the syntac-
tic structure of utterances. In language acquisition research this
approach is known as the prosodic bootstrapping account (Gleit-
man and Wanner, 1982), which assumes that infants can exploit
acoustic information from their speech input to find solutions for
several tasks they are faced with when accessing the grammatical
system of their language. In this paper, we will have a closer look at
German infants’ sensitivity to the acoustic cues that mark a major
prosodic boundary, that is, the intonation phrase boundary (IPB). There are two properties that render IPBs especially useful
within the prosody-syntax mapping. First, a rather clear-cut set of
acoustic cues, namely pitch changes, lengthening of preboundary Indeed, numerous studies within the prosodic bootstrapping
account have demonstrated that infants are equipped with a high
sensitivity to prosodic information such as stress, rhythm, and
intonation (for an overview, see Jusczyk, 1997). This also holds
for the perception of acoustic information that is related to the
marking of prosodic boundaries. ORIGINAL RESEARCH ARTICLE published: 31 December 2012
doi: 10.3389/fpsyg.2012.00580 Caroline Wellmann1*, Julia Holzgrefe1, HubertTruckenbrodt 2, Isabell Wartenburger 1 and Barbara Höhle1
1 Department of Linguistics, University of Potsdam, Potsdam, Germany
2 Centre for General Linguistics (ZAS), Berlin, Germany Previous studies have revealed that infants aged 6–10 months are able to use the acoustic
correlates of major prosodic boundaries, that is, pitch change, preboundary lengthening,
and pause, for the segmentation of the continuous speech signal. Moreover, investiga-
tions with American-English- and Dutch-learning infants suggest that processing prosodic
boundary markings involves a weighting of these cues. This weighting seems to develop
with increasing exposure to the native language and to underlie crosslinguistic variation. In the following, we report the results of four experiments using the headturn preference
procedure to explore the perception of prosodic boundary cues in German infants. We
presented 8-month-old infants with a sequence of names in two different prosodic group-
ings, with or without boundary markers. Infants discriminated both sequences when the
boundary was marked by all three cues (Experiment 1) and when it was marked by a pitch
change and preboundary lengthening in combination (Experiment 2). The presence of a
pitch change (Experiment 3) or preboundary lengthening (Experiment 4) as single cues did
not lead to a successful discrimination. Our results indicate that pause is not a necessary
cue for German infants. Pitch change and preboundary lengthening in combination, but
not as single cues, are sufficient. Hence, by 8 months infants only rely on a convergence
of boundary markers. Comparisons with adults’ performance on the same stimulus mate-
rials suggest that the pattern observed with the 8-month-olds is already consistent with
that of adults. We discuss our findings with respect to crosslinguistic variation and the
development of a language-specific prosodic cue weighting. Edited by: Edited by:
Claudia Männel, Max-Planck-Institute
for Human Cognitive and Brain
Sciences, Germany
Reviewed by:
Kathy Hirsh-Pasek, Temple University,
USA
Alejandrina Cristia, Max Planck
Institute for Psycholinguistics,
Netherlands
*Correspondence:
Caroline Wellmann, Department of
Linguistics, University of Potsdam,
Karl-Liebknecht-Street 24-25,
Potsdam 14476, Germany. e-mail: caroline.wellmann@
uni-potsdam.de Edited by:
Claudia Männel, Max-Planck-Institute
for Human Cognitive and Brain
Sciences, Germany
Reviewed by:
Kathy Hirsh-Pasek, Temple University,
USA
Alejandrina Cristia, Max Planck
Institute for Psycholinguistics,
Netherlands
*Correspondence:
Caroline Wellmann, Department of
Linguistics, University of Potsdam,
Karl Liebknecht Street 24 25 Claudia Männel, Max-Planck-Institute
for Human Cognitive and Brain
Sciences, Germany *Correspondence: *Correspondence:
Caroline Wellmann, Department of
Linguistics, University of Potsdam,
Karl-Liebknecht-Street 24-25,
Potsdam 14476, Germany. e-mail: caroline.wellmann@
uni-potsdam.de Keywords: infants, language acquisition, speech perception, prosodic bootstrapping, prosodic boundary cues, cue
weighting, intonation phrase boundary, headturn preference procedure Keywords: infants, language acquisition, speech perception, prosodic bootstrapping, prosodic boundary cues, cue
weighting, intonation phrase boundary, headturn preference procedure Reviewed by: Kathy Hirsh-Pasek, Temple University,
USA How each prosodic boundary cue matters: Evidence from
German infants Caroline Wellmann1*, Julia Holzgrefe1, HubertTruckenbrodt 2, Isabell Wartenburger 1 and Barbara Höhle1
1 Department of Linguistics, University of Potsdam, Potsdam, Germany
2 Centre for General Linguistics (ZAS), Berlin, Germany INTRODUCTION In their material, pauses were inserted
either before the main verb, that is, at the boundary between the
subject and the verb phrase, or after the main verb, that is, within
the verb phrase. English-learning 9-month-olds preferred to lis-
ten to the materials in which the pause occurred at the phrasal
boundary. The studies presented so far point to a crucial role of prosodic
boundary information in infants’ speech segmentation, especially
during the first year of life. However, in a critical analysis of the
prosodic bootstrapping account, Fernald and McRoberts (1996)
doubt the reliability of acoustic correlates of prosodic boundaries
as cues to syntactic units. The authors claim that none of the
three markers is a reliable cue to syntactic boundaries as each cue
also has non-linguistic functions (e.g., pitch changes for the reg-
ulation of affect) or linguistic functions other than syntax (e.g.,
vowel length as phonemic contrast). This would cause ambiguity
of the acoustic correlates of boundaries whenever they occur at
non-boundary positions. Fernald and McRoberts’ argument may
be weakened if a comprehensive analysis of a corpus of German
adult-directed speech conducted by Peters et al. (2005) is taken
into account. They found that IPBs were most frequently marked
by pitch changes, followed by preboundary lengthening, while the
occurrence of pause is rather rare. In addition,the analysis showed
that each cue may occur individually,but that in a great majority of
the cases boundaries are marked by a coalition of all three or two
of the relevant cues. This convergence may decrease the ambiguity
of prosodic boundary cues provided that the infant only considers
a combination of cues to be a boundary marker. Gerken et al. (1994) compared sentences with lexical subjects
(e.g., The caterpillar ate . . .) and sentences with pronominal sub-
jects (e.g.,He ate . . .) in which pauses had been inserted after either
the subject or the verb. As lexical subjects form their own phono-
logical phrase, there is a prosodic boundary between the subject
and verb in the corresponding sentences while there is typically
no prosodic boundary after a pronominal subject. Only in the
lexical subject condition did 9-month-old infants prefer to listen
to sentences with pauses after the subjects (e.g., The caterpillar #
ate . . ., He # ate . . .) over those with pauses after verbs (e.g., The
caterpillar ate # . . ., He ate # . . INTRODUCTION Research in this area started
with some landmark studies that tested infants’ reactions to the
presentation of natural speech in contrast to manipulated speech
material in which pauses had been inserted at non-boundary posi-
tions (Hirsh-Pasek et al., 1987; Kemler Nelson et al., 1989). These
studies–usingtheheadturnpreferenceprocedure(HPP)–showed
that American infants as young as 7–10 months prefer to listen There are two properties that render IPBs especially useful
within the prosody-syntax mapping. First, a rather clear-cut set of
acoustic cues, namely pitch changes, lengthening of preboundary December 2012 | Volume 3 | Article 580 | 1 www.frontiersin.org www.frontiersin.org Prosodic cue perception in infants Wellmann et al. to speech material showing a coincidence of the typical acoustic
cues occurring at clausal boundaries compared to materials in
which the coincidence of pauses with other prosodic cues had
been disrupted. The fact that the same preference occurred with
low-pass-filtered material strongly suggests that it is the distur-
banceof theprosodicorganizationof theutterancesthat causesthe
successful discrimination of both kinds of material. Studies with
other languages using the same technique of pause insertion have
provided evidence that this discrimination ability is not unique to
English-learning infants: German as well as Japanese infants have
been found to discriminate speech with pauses at clausal bound-
aries from speech with pauses inserted at non-boundary positions
in their language (Hayashi and Mazuka, 2002; Schmitz, 2008). are better recognized than word sequences that span a prosodic
boundary. Hence, prosodic boundary cues support the segmenta-
tion of clauses within a passage of sentences. These findings were
replicated by Soderstrom et al. (2005) with a similar design, but
more complex experimental materials. Specifically, it was demon-
strated that prosodic boundary cues support English-learning
infants’ detection of familiar word sequences even across different
passages of fluent speech. Moreover, with a similar experimental design, Soderstrom
et al. (2003) provided evidence that 6-month-old English-learning
infants also use prosodic markers to detect syntactic units that are
smaller than the clause, namely phrasal units such as noun and
verb phrases. Interestingly, phrase boundaries were characterized
by preboundary lengthening and pitch cues while there was no
perceivable pause at the crucial position. This suggests that for the
detection of phrase boundaries pause is not a necessary cue for
6-month-old English-learning infants. Also using pause insertion, Jusczyk et al. (1992) investigated
infants’ sensitivity to boundaries of smaller units, namely clause-
internal phrase boundaries. INTRODUCTION .). These results again suggest that
the prosodic organization – and not the syntactic one – is relevant
for infants’ preference for natural material. Taken together, these
studies provide evidence that by 9 months infants are sensitive to
the acoustic markers at clausal as well as at phrasal boundaries. More recent work has gone beyond the question of the percep-
tion of the acoustic correlates of major boundaries to the question
as to whether the occurrence of prosodic boundaries affects the
segmentation of continuous speech. Nazzi et al. (2000) were the
first to test English-learning 6-month-olds’use of prosodic bound-
ary cues to segment continuous speech. At the beginning of the
experiment infants were familiarized with a sequence of words,
once as a prosodically “well-formed” clause (e.g., Leafy vegeta-
bles taste so good.) and once as a prosodically “ill-formed,” that is,
non-clausal sequence that contained an internal clause boundary
(e.g., . . .leafy vegetables. Taste so good. . .). These word sequences
had been extracted from two different continuous passages. After
familiarization infants were presented with two passages. One
of them contained the familiarized prosodically well-formed
sequence, the other the prosodically ill-formed sequence, which
was now the end and the beginning of two adjacent sentences. This
non-clausal unit contained a prosodic boundary that was marked
by a pitch change, preboundary lengthening, and a pause. Infants
listened significantly longer to the passage containing the clausal
sequence than to the passage with the non-clausal sequence. These
results suggest that word sequences that constitute a prosodic unit In fact a detailed study by Seidl (2007) that tested the percep-
tual impact of each of the prosodic cues provided evidence that
English-learning 6-month-old infants rely on a combination of
cues in their boundary processing. The investigations were based
on the materials and the experimental design used by Nazzi et al. (2000). Seidl successively neutralized each acoustic correlate of
the prosodic boundaries in the familiarization sequences. Thereby,
the acoustic realization of the cue under investigation no longer
differed between the two sequences. The question was whether
infants,on the basis of the remaining prosodic cues,would still dif-
ferentiatetheclausalandthenon-clausalfamiliarizationsequences
and recognize the clausal sequence in the passage during testing. Infants’ detection of the clausal sequence was not disturbed
by the neutralization of the pause cue. This indicates that pitch
change and preboundary lengthening were sufficient cues for the
6-month-old English-learning infants, whereas the pause was not
necessary. December 2012 | Volume 3 | Article 580 | 2 Frontiers in Psychology | Language Sciences INTRODUCTION Like the
English-learning infants, the Dutch learners segmented the clausal
sequence from the text passage. However,when the pause was neu-
tralized in the familiarization sequences Dutch-learning infants
failed to segment the clausal sequence from the text passage. John-
son and Seidl (2008) considered two interpretations. One is related
tothestrengthof theprosodiccues.Themagnitudeof pitchchange
and preboundary lengthening might not have been salient enough
to trigger the clause segmentation. Acoustic analyses of the stimuli
had revealed that the saliency of the pitch reset and the pause dura-
tion at the clausal boundary differed in the materials used across
the two languages. Compared to the English stimuli the pitch reset
in the Dutch stimuli was only half the magnitude, whereas the
pause was more than twice as long. However,the qualitative differ-
ence in the prosodic cues in the Dutch versus English stimuli might
reflect language-specific boundary markings as Dutch compared
toEnglishgenerallytendstohaveasmallerpitchrange(Collinsand
Mees, 1981; Willems, 1982). Therefore, Johnson and Seidl argued
for a different interpretation: by 6 months, with increasing expo-
sure to the native language, Dutch-learning and English-learning
infants have developed a language-specific prosodic cue weighting
that influences infants’ clause segmentation procedures. Again in contrast to previous studies, we did not test infants
segmentation, but their discrimination ability. We suggest that
infants’ attunement to specific properties of their native language
is not only displayed in segmentation tasks as revealed by the work
of Johnson and Seidl (2008), Seidl (2007), and Seidl and Cristià
(2008). Instead, perceptual reorganization with respect to cue
weighting should also be reflected in discrimination performance
as has been shown for tone and phonemic contrasts in previous
research (Werker and Tees, 1984; Polka and Werker, 1994; Mattock
and Burnham, 2006; Mattock et al., 2008). If prosodic boundary
cues are perceptually weighted individually,we assume that the less
weighted information will contribute less to both discrimination
and segmentation. Experiment 1 served as a baseline to ensure that in our exper-
imental design German-learning infants perceive a boundary sig-
naled by all three prosodic cues. In Experiment 2 we investigated
whether the specific combination of a pitch change and prebound-
ary lengthening is sufficient for boundary detection. Hereby, the
question whether pause is a necessary cue would be examined. INTRODUCTION In contrast to the 6-month-olds, this younger group was success-
ful in clause segmentation only when pitch change, lengthening,
and pause in combination signaled the boundary. Neutralization
of one of the prosodic cues led to failure in segmentation. Seidl
and Cristià (2008) concluded that 4-month-old English-learning
infants segment clauses by considering all prosodic boundary cues. Hence, in contrast to previous studies, we did not present com-
plexclauses(Nazzietal.,2000;Seidl,2007;JohnsonandSeidl,2008;
Seidl and Cristià, 2008), but well-formed sequences that allowed
for a precise acoustic characterization of the phonetic instantia-
tion of the crucial prosodic boundaries which we considered to
be the basis for a controlled acoustic manipulation of the stim-
uli. Thus, going beyond the previous studies with English- and
Dutch-learning infants, the results of the infants tested in the cur-
rent study could be related to findings from adults, allowing a
direct comparison of German adults’ and infants’ cue weighting. Again in contrast to previous studies, we did not test infants’
segmentation, but their discrimination ability. We suggest that
infants’ attunement to specific properties of their native language
is not only displayed in segmentation tasks as revealed by the work
of Johnson and Seidl (2008), Seidl (2007), and Seidl and Cristià
(2008). Instead, perceptual reorganization with respect to cue
weighting should also be reflected in discrimination performance
as has been shown for tone and phonemic contrasts in previous
research (Werker and Tees, 1984; Polka and Werker, 1994; Mattock
and Burnham, 2006; Mattock et al., 2008). If prosodic boundary
cues are perceptually weighted individually,we assume that the less
weighted information will contribute less to both discrimination
and segmentation. Hence, in contrast to previous studies, we did not present com-
plexclauses(Nazzietal.,2000;Seidl,2007;JohnsonandSeidl,2008;
Seidl and Cristià, 2008), but well-formed sequences that allowed
for a precise acoustic characterization of the phonetic instantia-
tion of the crucial prosodic boundaries which we considered to
be the basis for a controlled acoustic manipulation of the stim-
uli. Thus, going beyond the previous studies with English- and
Dutch-learning infants, the results of the infants tested in the cur-
rent study could be related to findings from adults, allowing a
direct comparison of German adults’ and infants’ cue weighting. In a following study, Johnson and Seidl (2008) explored
whether infants’ weighting of prosodic boundary cues varies
across languages. The experimental design of Seidl (2007) was
applied with Dutch material to Dutch 6-month-olds. INTRODUCTION Furthermore,preboundary lengthening also proved not
to be a necessary cue, because infants still recognized the clausal Frontiers in Psychology | Language Sciences December 2012 | Volume 3 | Article 580 | 2 Prosodic cue perception in infants Wellmann et al. sequence when preboundary lengthening was neutralized. How-
ever, when the pitch cue was neutralized the infants no longer
detected the clausal sequence in the passage. Hence, pitch change
proved to be a necessary boundary cue forAmerican infants’clause
segmentation. A further experiment investigated whether pitch
change as a single cue would suffice, that is, both preboundary
lengthening and pause were neutralized. This kind of acoustic
manipulation disturbed infants’ detection of the clausal sequence,
indicating that a pitch change alone is not sufficient. In conclusion,
a combination of pitch change and preboundary lengthening or
pitch change and pause was necessary to trigger clause segmenta-
tion in 6-month-old English-learning infants. Seidl (2007) argued
that by 6 months English-learning infants do not treat prosodic
cues equally, but have, at least partially, become attuned to adults’
weighting of prosodic cues in their native language (Streeter,1978;
Scott, 1982; Aasland and Baum, 2003). learning German, a language in which we have – at least for adult-
directed spontaneous speech – specific knowledge about the fre-
quency of occurrence of prosodic cues at IPBs (Peters et al., 2005),
the prosodic unit under investigation in this study. Moreover,from
a study with German listeners, findings on adults’weighting of the
relevant acoustic cues are available: in a prosodic judgment task
Holzgrefe et al. (2012) tested whether the presence of the cues
pitch change and preboundary lengthening in the absence of the
pause cue would suffice to signal a boundary. Listeners were pre-
sented with coordinated sequences of three names in different
prosodic groupings. Their task was to judge the heard sequence
as to whether or not it had an internal boundary. The German
adult listeners identified the internal boundary when both, a pitch
change as well as preboundary lengthening, but no pause, were
present in the sequence; however, pitch change alone or lengthen-
ingalonewasnotsufficient.Inthepresentstudythesamelinguistic
materials were used to test whether German infants’ processing
of prosodic boundary cues is similar to that shown for German
adults. Seidl and Cristià (2008) expanded these investigations by test-
ing 4-month-old English-learning infants with the same materials. www.frontiersin.org INTRODUCTION We
did not test a combination of two cues that included the pause
cue, because we expected that 8-month-olds would discriminate
between stimuli with and without a pause easily given that the
pause is a rather strong acoustic cue, especially in a mere dis-
crimination task. In fact, in a similar study with younger German
infants (Wellmann et al., in preparation) we found that even 6-
month-olds are able to use the pause cue. More precisely, a pitch
change together with preboundary lengthening was not sufficient
for 6-month-olds, but the combination of pause and lengthening Taken together, these findings indicate that infants’ sensitiv-
ity to acoustic cues as prosodic boundary markers is subject to
a developmental change during early infancy – perhaps a change
from a more general perceptually driven mechanism that relies on
a broad set of acoustic cues to a mechanism that is attuned to the
specific properties of the target language. To further investigate the question of an early weighting of
prosodic boundary cues, the present study set out to test infants December 2012 | Volume 3 | Article 580 | 3 www.frontiersin.org Prosodic cue perception in infants Wellmann et al. Each name is a syntactic XP and is correspondingly set off by a
phonological phrase boundary from the other names (Gussen-
hoven, 1992; Truckenbrodt, 1999, 2007). Both sequences contain
the same string and are disambiguated either by grouping all three
names together as shown in (1a) or by grouping the first two names
togetherandthefinaloneapartasshownin(1b).Thisdisambigua-
tion employs the next higher level of the prosodic hierarchy, that
is, the intonation phrase (IP). Thus, sequences of type (1a) are
produced as a single IP, that is, without an internal boundary. In
contrast,sequences of type (1b) are produced with an IPB after the
second name, and consequently consist of two IPs. For each type
of prosodic phrasing, the speaker produced six different acoustic
realizations (tokens). The intended prosodic grouping was con-
firmed by two independent listeners who were naïve to the given
bracketing. was. Thus, a pause, but not a pitch change was a necessary cue
for 6-month-olds. This finding moreover suggests that success-
ful boundary detection depends on the specific cue constellation,
rather than on the number of boundary cues provided. INTRODUCTION After testing the combination of pitch change and prebound-
ary lengthening, we examined the impact of each of the two as
single cues: Experiment 3 tested pitch change and Experiment 4
preboundary lengthening. (1) a. (Moni und Lilli und Manu)
b. (Moni und Lilli) (und Manu) MATERIALS AND METHODS
Participants y
p
The target word for the analysis was decomposed into four
intervals corresponding to the phonetic segments, that is, the sin-
gle consonantal and vocalic parts of the signal. F0 was measured
at the midpoint of the first segment and at the position of the
maximum F0 on the final vowel. The difference between these
values was used to calculate the pitch change preceding the bound-
ary. In sequences with an IPB, a pitch rise occurred, starting at
the second syllable of the word and leading to a high boundary
tone at the final vowel. This pitch change was 2.5 times greater
in sequences with an IPB compared to sequences without an IPB
(see Table 1 and Figure 1A vs. 1B). A mean pitch reset of 25 Hz
from the high boundary tone to the midpoint of the following
conjunction und (“and”) was measured in sequences with an IPB,
whereas the pitch change was only 3 Hz at the same location in
sequences without an IPB. Thus, the pitch reset was greater in
sequences with a boundary,but compared to Seidl’s (2007) stimuli
the overall extent of the reset was rather small, as the conjunction
und was also uttered on a high pitch level (see the pitch contour
in Figure 1B). First and foremost, in our stimuli the pitch cue
in sequences with an IPB was provided by the pitch rise on the
target name. Twenty-four 8-month-old infants (12 girls) were tested. The mean
age was 8 months, 16 days (range: 8 months, 3 days–8 months,
30 days). All infants who participated in this and the following
experiments were from monolingual German-speaking families,
bornfull-termandnormal-hearing.Elevenadditionalinfantswere
tested but their data were not included in the analysis for the fol-
lowing reasons: failure to complete the experiment (2), crying or
fussiness (3), mean listening times of less than 3 s per condition
(3), technical problems (2), and experimenter error (1). EXPERIMENT 1: A BASELINE STUDY ON INFANTS’
SENSITIVITY TO PITCH CHANGE, PREBOUNDARY
LENGTHENING, AND PAUSE In Experiment 1, we sought to ensure that 8-month-old German-
learning infants are able to perceive a prosodic boundary that is
signaled by the three main prosodic cues pitch change, prebound-
ary lengthening, and pause. This would provide a verification of
the experimental design and material as suitable for studying the
perception of single prosodic boundary cues. As previous research
has revealed that infants are sensitive to prosodic boundary infor-
mation (e.g., Hirsh-Pasek et al., 1987; Nazzi et al., 2000), infants
tested in Experiment 1 should be able to perceive a prosodic
boundary. Experiment 1 aimed at creating a baseline for the sub-
sequent experiments, in which the constellation of prosodic cues
would be systematically varied. The presence of the characteristics of an IPB in the sequences
of names were confirmed by a detailed acoustic analysis of the
recordings using PRAAT software (Boersma and Weenink, 2011). Measurements were carried out at the critical boundary position,
namely on and after the second name. The analysis concentrated
on the three acoustic correlates of prosodic boundary cues – fun-
damental frequency (F0), the duration of the final vowel, and
the pause. Examples of the oscillogram and the fundamental fre-
quency aligned with the segments for sequences without an IPB are
shown in Figure 1A, and for sequences with an IPB in Figure 1B. Details of the acoustic analysis are presented in Table 1. Stimuli 2, (D) Sequence with pitch
change used in Exp. 3, (E) Sequence with preboundary lengthening
used in Exp. 4. E E and preboundary lengthening used in Exp. 2, (D) Sequence with pitch
change used in Exp. 3, (E) Sequence with preboundary lengthening
used in Exp. 4. FIGURE 1 | Oscillograms and pitch contours aligned with the text. (A) Sequence without an internal IPB used in Exp. 1, (B) Sequence
with an internal IPB used in Exp. 1, (C) Sequence with pitch change E 1 | Oscillograms and pitch contours aligned with the text. Table 1 | Mean values and range of the acoustic correlates of prosodic
boundary cues in the experimental stimuli. Acoustic
correlate
Without an
internal IPB
With an
internal IPB
[Moni und Lilli und
Manu]
[Moni und Lilli]
[und Manu]
Pitch rise in Hz
88 (77–110)
220 (197–240)
Pitch rise in semitones
6.7 (5.8–8.2)
14.0 (12.8–14.6)
Maximum pitch in Hz
277 (264–293)
397 (371–422)
[Moni und Lilli und
Manu]
[Moni und Lilli]
[und Manu]
Final vowel duration in ms
99 (91–110)
175 (162–186)
[Moni und Lilli #
und Manu]
[Moni und Lilli]#
[und Manu]
Pause duration in ms
0
506 (452–556) Table 1 | Mean values and range of the acoustic correlates of prosodic
boundary cues in the experimental stimuli. Table 1 | Mean values and range of the acoustic correlates of prosodic
boundary cues in the experimental stimuli. A pitch rise occurred on the target name followed by a pitch reset
after a pause. Preboundary lengthening was observed at the final
vowel of the target name. Following the acoustic analyses the different recordings
(tokens) were used to create sound files for presentation as tri-
als during the experiment. For each prosodic type, the six tokens
were randomly concatenated with a silent interval of 1 s inserted
between them. In this way, six sound files per prosodic group-
ing were created such that each file consisted of a different order
of tokens. The average duration of tokens without an IPB was
1.76 s (range: 1.71–1.87 s), while it was 2.16 s (range: 2.13–2.2 s)
for tokens with an IPB. To match the sound files of the two prosodic types with respect
to length the number of tokens within each file was varied. Files
of the grouping with an IPB contained six tokens and had an aver-
age duration of 18.97 s. Stimuli However, files of the condition without an
IPB contained seven tokens (i.e., one random token was repeated),
leading to an average duration of 19.32 s (range: 19.16–19.43 s). To summarize, sequences with an internal IPB clearly revealed
the acoustic correlates of the three main prosodic boundary cues
similar to IPBs in German spontaneous speech (Peters et al.,2005). Stimuli The stimuli consisted of a sequence of three German names that
were coordinated by und (“and”). The advantage of using coordi-
nated structures instead of clauses lies in the better control of
phonological and consequently prosodic parameters. Thus, we
used the following three names, which only contained sonorant
sounds: Moni, Lilli, Manu. This allowed for a reliable measure-
ment of the fundamental frequency – the acoustic correlate of the
pitch contour. Several recordings of the same sequences of names were
made in an anechoic chamber equipped with an AT4033a audio-
technical studio microphone, using a C-Media Wave soundcard at
a sampling rate of 22050 Hz with 16 bit resolution. A young female
German native speaker from the Brandenburg area was instructed
to read the sequence in two different prosodic groupings, as
indicated by different bracketing as in (1). Preboundary lengthening was calculated by measuring the
length of the final vowel in both prosodic types. Transitions
between the final vowel and the onset of the conjunction und
were not included. The vowel duration was about 1.8 times longer
before a boundary compared to the same vowel in the sequence
without an internal IPB. The duration of the pause after the target name had a mean
of 506 ms in sequences with an internal IPB. In contrast, no
pause was present at this position in sequences without an
internal IPB. (1) a. (Moni und Lilli und Manu)
b. (Moni und Lilli) (und Manu) (1) a. (Moni und Lilli und Manu)
b. (Moni und Lilli) (und Manu) December 2012 | Volume 3 | Article 580 | 4 Frontiers in Psychology | Language Sciences Wellmann et al. Prosodic cue perception in infants A
B
C
D
E
FIGURE 1 | Oscillograms and pitch contours aligned with the text. (A) Sequence without an internal IPB used in Exp. 1, (B) Sequence
with an internal IPB used in Exp. 1, (C) Sequence with pitch change
and preboundary lengthening used in Exp. 2, (D) Sequence with pitch
change used in Exp. 3, (E) Sequence with preboundary lengthening
used in Exp. 4. A
B B C D D C E
FIGURE 1 | Oscillograms and pitch contours aligned with the text. (A) Sequence without an internal IPB used in Exp. 1, (B) Sequence
with an internal IPB used in Exp. 1, (C) Sequence with pitch change
and preboundary lengthening used in Exp. RESULTS AND DISCUSSION A further analysis of the data separated by prosodic type heard
during familiarization was conducted. This analysis revealed a
significant preference for novel test items in the group familiar-
ized with the sequences without an IPB, t(11) = 2.40, p = 0.035. The mean listening time to the novel prosodic pattern was
6.48 s (SD = 1.23) and to the familiarized prosodic pattern 5.29 s
(SD = 1.46). No such preference was present in the group famil-
iarized with sequences including an IPB, t(11) = 0.860, p = 0.408. Infants in this group listened to the novel test trials on average
for 7.77 s (SD = 2.64) and to the familiar test trials for 7.36 s
(SD = 2.73). Mean listening times separated by familiarization
group are depicted in Figure 3. Half of the infants were familiarized to the sequences without
an IPB (Group 1), while the other half were familiarized to the
sequences including an IPB (Group 2). The familiarization was
set such that at least 20 tokens in each familiarization condition
were presented, that is, when familiarized to sequences without
an IPB the familiarization lasted until the infant had accumulated
55 s of listening time. For the familiarization with an IPB the crite-
rion was 63 s of accumulated listening time. This requirement was
chosen to match the familiarization duration used in Nazzi et al. (2000). Exp. 4
Exp. 3
Exp. 2
Exp. 1
mean listening times in s
10
8
6
4
2
0
novel
familiar
FIGURE 2 | Mean listening times for Experiment 1–4. Error bars indicate
±1 SE. Two different kinds of familiarization were chosen to control
for a possible effect of the prosodic structure of the sequences pre-
sented. One might hypothesize that a familiarization to sequences
without an internal IPB might be more effective. This is sup-
ported by Nazzi et al.’s (2000) findings that infants recognize word
sequences that constitute a prosodic unit better than sequences
that are a non-unit like our sequences with an IPB. Therefore, we
planned to compare the data of both familiarization groups. The familiarization was followed by a test phase that comprised
12 test trials. RESULTS AND DISCUSSION Mean listening times to the test trials with and without an IPB
were calculated for each infant. Because all listening times were
shorter than 18.97 s (the maximum trial length in the condition
with an IPB), an adjustment of the listening times to the longer
duration of the trials without an IPB was not necessary. Three lamps were fixed inside the booth: a green one on the
center wall, and red ones on each of the side walls. Directly above
the green lamp on the center wall was an opening for the lens of
a video camera. Behind each of the red lights a JBL Control One
loudspeaker was mounted. Each experimental trial started with
the blinking of the green center lamp. When the infant oriented
to the green lamp, it was turned off and one of the red lamps on a
side wall started to blink. When the infant turned her head toward
the red lamp, the speech stimulus was started, delivered via a Sony
TA-F261R audio amplifier to the loudspeaker at the same side. The
trial ended when the infant turned her head away for more than 2 s,
or when the end of the speech file was reached. If the infant turned
away for less than 2 s, the presentation of the speech file contin-
ued but the time spent looking away was not included in the total
listening time. The whole session was digitally videotaped. The
experimenter’s coding was recorded and served for the calculation
of the duration of the infant’s headturns during the experimental
trials (for comparable experimental setups, see Höhle et al., 2006;
Höhle et al., 2009). On average, infants listened for 6.32 s (SD = 2.39) to the famil-
iarized prosodic grouping, and for 7.13 s (SD = 2.12) to the novel
prosodic grouping (see Figure 2). This difference was significant,
t(23) = 2.30, p = 0.031, two-tailed. Eighteen out of 24 infants had
longer listening times to the novel test items. A repeated-measures
ANOVA with the within-subject factor familiarity (familiarized
versus new prosodic pattern) and the between-subject factor
prosodic type (familiarization with versus without an internal
IPB) showed a main effect of familiarity,F(1,22) = 5.36,p = 0.030,
and a main effect of prosodic type, F(1,22) = 4.44, p = 0.047, but
no significant interaction between prosodic type and familiarity,
F(1,22) = 1.237, p = 0.278. Procedure The HPP including a familiarization phase (Hirsh-Pasek et al.,
1987; Jusczyk and Aslin, 1995) was used in this and all subsequent December 2012 | Volume 3 | Article 580 | 5 www.frontiersin.org www.frontiersin.org Wellmann et al. Prosodic cue perception in infants associated. The duration of each experimental session depended
on the infant’s behavior and varied between 4 and 6 min. experiments. During the experimental session, the infant was
seated on the lap of a caregiver in the center of a test booth. The
caregiver listened to music over headphones to prevent influences
on the infant’s behavior. Furthermore, she was instructed not to
interfere with the infant’s behavior during the experiment. The
experimenter sat in an adjacent room, where she observed the
infant’s behavior on a mute video monitor and controlled the
presentation of the visual and the acoustic signals by a button box. Frontiers in Psychology | Language Sciences RESULTS AND DISCUSSION isolated words in a list or as a fragment of two adjoining clauses. Mandel et al. argued that the organization of words in a prosodic
unit helps infants to process and memorize the speech signal. For
our experiment this implies that the representation of the familiar-
ization sequence is built up more easily when the sequence consists
of a single prosodic unit, like our sequences without an internal
IPB. These are – compared to the sequences with an IPB – easier
to process during the familiarization phase and thus can be better
remembered during the test phase. The difference found in the two familiarization groups moti-
vated a modification of the experimental design implemented in
the subsequent experiments. As a full design with two separate
familiarization conditions was not relevant to our research ques-
tion, we decided to only use strings without an internal IPB as
familiarization stimuli. In doing so, we chose the condition that
yielded the most robust results. In sum, Experiment 1 showed that 8-month-old German-
learning infants are sensitive to the presence of an IPB in short
coordinated sequences of names when the IPB is marked by the
acoustic correlates of the main prosodic boundary cues pitch
change, preboundary lengthening, and pause. Hence, not only
clauses – like those that were used in previous studies (e.g.,
Hirsh-Pasek et al., 1987; Nazzi et al., 2000; Seidl, 2007; Schmitz,
2008) – are suitable for investigating infants’sensitivity to prosodic
boundaries. Rather, coordinate structures, which can be care-
fully controlled for phonological parameters, may serve as stimuli
to characterize the impact of each prosodic boundary cue in a
discrimination task. A study by Mandel et al. (1994) suggests that infants at the age
of 2 months already perceive prosodic units as an organizational
unit in the speech stream. Infants detected phonetic changes in
word sequences when the words were prosodically grouped into a
major linguistic unit, but not when the words were presented as The subsequent experiments contain only one kind of famil-
iarization, namely the familiarization to sequences without an
IPB. In these experiments, the number of prosodic boundary
cues in the stimuli is reduced stepwise. This is done to deter-
mine whether infants’ discrimination ability remains or is dis-
turbed when different constellations of prosodic boundary cues
are given. RESULTS AND DISCUSSION In six trials, the sound files without an internal
IPB were presented, in the other six trials the sound files of the
sequenceswithanIPB.Thus,half of thetesttrialscontainedexactly
the same sound files that the infants had previously heard during
familiarization,whereas the other half consisted of sound files with
the type of prosodic grouping that had not been presented during
familiarization. The test trials were grouped in three blocks of four
trials each (two with and two without an internal IPB in a random
order). Additionally, within each block the side of presentation of
the sequences of the two prosodic types was counterbalanced so
that the prosodic condition and the side of presentation were not FIGURE 2 | Mean listening times for Experiment 1–4. Error bars indicate
±1 SE. December 2012 | Volume 3 | Article 580 | 6 Frontiers in Psychology | Language Sciences Prosodic cue perception in infants Wellmann et al. Experiment 1 served as a baseline study to ensure that the
stimuli – sequences of names that have two different prosodic
groupings – and our experimental design are suitable for studying
the perception of prosodic boundary cues in German-learning
infants. After being familiarized with one of the two prosodic
phrasings, 8-month-old infants showed an overall preference for
the novel prosodic grouping. Thus, German-learning infants are
able to discriminate the two prosodic groupings. Even though we
found no significant interaction between prosodic type and famil-
iarity,a separate analysis of the two familiarization groups revealed
that the difference in listening times was significant only when the
familiarization strings did not have an internal IPB. Thus, dis-
crimination of sequences with versus without an IPB was affected
by the prosodic type heard during familiarization. How can we
explain this effect? During familiarization the infants’ task is to
build up a representation of the auditory stimulus, to which they
will compare the test stimuli. Presumably, infants can more eas-
ily build up representations of sequences without an IPB because
these are easier to process and memorize, as Nazzi et al.’s (2000)
studydemonstrated.Secondly,bothfamiliarizationconditionsdif-
fer in the number of IPs: stimuli played to Group 1 do not contain
any prosodic boundary cue and, hence, only consist of a single IP,
that is, one prosodic unit. In contrast, stimuli presented to Group
2 were sequences including an IPB, which splits the sequences into
two separate IPs, that is, two prosodic units. EXPERIMENT 2: SENSITIVITY TO PITCH CHANGE AND
PREBOUNDARY LENGTHENING In Experiment 2, we investigated infants’sensitivity to two of three
prosodic boundary cues, namely pitch change in combination
with preboundary lengthening. Specifically, we asked whether the
pitch change and the lengthening of the preboundary vowel suf-
fice as boundary cues or whether the pause is a necessary prosodic
boundary cue. If pause is a necessary cue for the discrimination
of two prosodic groupings, infants were not expected to show
significantly different listening times to novel versus familiar test
items. In contrast, if pitch change and preboundary lengthening
are sufficient cues, we expected a significant listening preference. RESULTS AND DISCUSSION familiarization
with IPB
without IPB
mean listening times in s
10
8
6
4
2
0
novel
familiar
FIGURE 3 | Mean listening times for Experiment 1, separated by
familiarization group. Stimuli In Experiment 3, sequences without an IPB and sequences with
an inserted pitch rise were contrasted. For the condition without
an IPB the same sequences as in Experiment 2 were used. For
the condition with added pitch cue a manipulation of the pitch
contour was carried out similar to that in Experiment 2: a pitch
rise was inserted on the second name of the six sequences without
an IPB. In contrast to the stimuli in Experiment 2 no duration
manipulation was conducted. Thus, the pitch change with the
high boundary tone was the only signal of an IPB (see Figure 1D). From these pitch-manipulated sequences six differently ordered
speech files were created with seven tokens per file (i.e., one of
the six exemplars was randomly repeated). The speech files of the
condition without an IPB were the same as in Experiment 2. The
average duration of the speech files was the same in both prosodic Participants Six differently ordered speech files with the same set of tokens in
each prosodic condition were created from the acoustically manip-
ulated sequences. The speech files of the condition without an IPB
contained seven tokens (i.e., one random token was repeated) and
had an average duration of 18.33 s (range: 18.23–18.43 s). The files
of the condition with added pitch and lengthening cues also con-
tained seven tokens (again one random token was repeated) and
had an average duration of 18.81 s (range: 18.79–19.01 s). Seventeen infants (seven girls) were tested. The mean age was
8 months,13 days (range:8 months,4 days–8 months,29 days). Six
additional infants were tested but their data were not included in
the analysis for the following reasons: crying or fussiness (4), and
mean listening times of less than 3 s per condition (2). Procedure The procedure was the same as in Experiment 1 with a modifica-
tion concerning the familiarization phase. Infants in Experiment
2 were only familiarized to sequences without an IPB, but not
to sequences with boundary cues. The familiarization lasted until
at least 20 sequences had been presented leading to a minimum
duration of 52 s. MATERIALS AND METHODS
Participants Sixteen 8-month-old infants (eight girls) were tested. The mean
age was 8 months, 11 days (range: 8 months, 1 day–9 months,
8 days). Ten additional infants were tested but their data were not
included in the analysis for the following reasons: crying or fussi-
ness (6), mean listening times of less than 3 s per condition (2),
and noise (2). FIGURE 3 | Mean listening times for Experiment 1, separated by
familiarization group. December 2012 | Volume 3 | Article 580 | 7 www.frontiersin.org Wellmann et al. Prosodic cue perception in infants t(15) = -3.59, p = 0.003, two-tailed. Thirteen of 16 infants had
longer listening times to the familiar test items. Stimuli We obtained
ndprebound-
g pitch rise of
hening with a
sequence with
Figure 1C. manipulated
ulation of the
pitch contour
equences were
set of tokens in
effect was displayed indicating
criminate the stimuli of the tw
2. Interestingly, the direction o
ment 1 to Experiment 2. While
to listen to the novel prosodic p
iar pattern was preferred. Acco
Ames (1988), this shift in pref
task demands in Experiment 2. direction of preference is affect
familiarization, and task difficu
constant, we assume that the sh
1 to Experiment 2 is caused by i
instead of three prosodic cues
stimuli, it becomes harder to
information is available. In turn
prosodic patterns is more diffic
for the familiar sequences. Hen
change and preboundary leng
cient. Pause is not a necessary
different prosodic groupings w
the pause cue seems to be mor
EXPERIMENT 3: SENSITIVITY
Experiment 2 showed that Ge
nate the two prosodic groupin
a pitch change and prebounda
Experiment 3 we asked whethe
sufficient for German 8-month
MATERIALS AND METHODS
Participants
Seventeen infants (seven girls ect was displayed indicating th
minate the stimuli of the two p
Interestingly, the direction of p
ent 1 to Experiment 2. While in
listen to the novel prosodic pat
pattern was preferred. Accord
mes (1988), this shift in prefere
k demands in Experiment 2. Hu
rection of preference is affected
miliarization, and task difficulty
nstant, we assume that the shift
o Experiment 2 is caused by inc
stead of three prosodic cues m
muli, it becomes harder to dist
formation is available. In turn,th
osodic patterns is more difficult
r the familiar sequences. Hence,
ange and preboundary lengthe
nt. Pause is not a necessary bou
fferent prosodic groupings with
e pause cue seems to be more d
XPERIMENT 3: SENSITIVITY TO
periment 2 showed that Germ
te the two prosodic groupings
pitch change and preboundary
periment 3 we asked whether o
fficient for German 8-month-o
ATERIALS AND METHODS
rticipants
venteen infants (seven girls) w The manipulation was carried out with the PRAAT software. For duration, the final vowel of the target name was lengthened to
180%. This factor was chosen because in Experiment 1 the crucial
vowel was on average 1.8 times longer in sequences with an IPB
than in sequences without an IPB. Stimuli For the manipulation of the pitch contour, first the sequences
without an IPB were stylized (two semitones), that is, the number
of pitch points was reduced. The reference values of the fundamen-
tal frequency were measured on the target name in the sequences
with an internal IPB from Experiment 1 – at the midpoints of the
four segments [l], [l], [l], and [i]and at the position of the maxi-
mum pitch present on the preboundary vowel. Then, pitch points
with the mean values at these time points were inserted at the
same positions into the sequences without an IPB. We obtained
newstimulifortheprosodictypewithpitchchangeandprebound-
ary lengthening. They contained a natural sounding pitch rise of
212 Hz (13.65 semitones) and a preboundary lengthening with a
factor of 1.8. The pitch contour and wave form of a sequence with
manipulated pitch and lengthening are depicted in Figure 1C. EXPERIMENT 3: SENSITIVITY TO PITCH CHANGE Experiment 2 showed that German infants are able to discrimi-
nate the two prosodic groupings when a boundary is signaled by
a pitch change and preboundary lengthening in combination. In
Experiment 3 we asked whether only one cue, the pitch change, is
sufficient for German 8-month-olds to perceive a boundary. To avoid comparing natural with acoustically manipulated
stimuli we carried out a slight acoustic manipulation of the
sequences without an IPB as well: a stylization of the pitch contour
(two semitones). After acoustic manipulation, all sequences were
resynthesized using the PSOLA function in PRAAT. Stimuli In Experiment 2, again sequences with and without an internal
prosodic boundary cues were presented. The stimuli without any
boundary cues were the same as the stimuli used in Experiment
1. The sequences containing a pitch change and preboundary
lengthening were construed from the sequences without an IPB
by acoustic manipulation – according to the values that had been
measured in the sequences with an IPB recorded for Experiment 1. Hereby,we created two types of stimuli that only differed in funda-
mental frequency and duration at the critical boundary position,
that is,on the second name. Apart from that,the sequences of both
prosodic types were acoustically identical. Experiment 2 tested whether German-learning infants still per-
ceive an IPB when only a subset of prosodic cues, pitch change,
and preboundary lengthening, is present. A significant familiarity
effect was displayed indicating that the infants were able to dis-
criminate the stimuli of the two prosodic patterns in Experiment
2. Interestingly, the direction of preference reversed from Experi-
ment 1 to Experiment 2. While infants in Experiment 1 preferred
to listen to the novel prosodic pattern, in Experiment 2 the famil-
iar pattern was preferred. According to the model by Hunter and
Ames (1988), this shift in preference can be explained by higher
task demands in Experiment 2. Hunter and Ames claimed that the
direction of preference is affected by three factors: age, duration of
familiarization, and task difficulty. As we held the first two factors
constant, we assume that the shift in preference from Experiment
1 to Experiment 2 is caused by increased task difficulty: if only two
instead of three prosodic cues mark the difference between the
stimuli, it becomes harder to distinguish both conditions as less
information is available. In turn,the task of discriminating the two
prosodic patterns is more difficult and leads infants to a preference
for the familiar sequences. Hence,for German 8-month-olds pitch
change and preboundary lengthening in combination are suffi-
cient. Pause is not a necessary boundary cue, however, processing
different prosodic groupings without the information provided by
the pause cue seems to be more demanding. ithout an IPB
that had been
Experiment 1. ered in funda-
dary position,
uences of both
AAT software. lengthened to
nt 1 the crucial
s with an IPB
the sequences
is, the number
he fundamen-
the sequences
dpoints of the
n of the maxi-
n, pitch points
nserted at the
. RESULTS AND DISCUSSION The listening time in one individual trial of the condition with the
lengthening cue exceeded the duration of the longest speech file
in the condition without an IPB. Therefore, the listening time in
this trial was reduced to the maximum trial length of sequences
without an IPB, which was 18.43 s. In Experiment 3 only a pitch rise indicated a different prosodic
grouping. Neither a pause nor lengthening of the prebound-
ary vowel was present. The infants did not differentiate between
sequences with added pitch cue and sequences without an IPB. Hence, the presence of a pitch change alone is not sufficient for
German infants to perceive a prosodic boundary. The mean listening time to the familiarized prosodic grouping
was 6.96 s (SD = 2.7) and to the novel pattern 7.08 s (SD = 3.1;
see Figure 2). This difference was not significant, t(15) = -0.221,
p = 0.828. Nine of 16 infants had longer listening times to the
familiar test trials. Apart
from
the
specific
cue
constellation
presented,
Experiment 3 generally differs from Experiment 2 with regard
to the number of IPB cues provided in the stimuli, that is,
whereas in Experiment 2 two boundary cues were available, in
Experiment 3 we only inserted one cue. Hereby, the boundary
is generally less marked in Experiment 3. The failure to dis-
criminate the two conditions could hence be due to the mere
number of cues being relevant for boundary detection, instead
of the specific kind of cue or cue constellation (but see General
Discussion). Experiment 4 suggests that preboundary lengthening as a sin-
gle cue is not sufficient to trigger the perception of a prosodic
boundary in German 8-month-old infants. However, in combi-
nation with a pitch cue, as tested in Experiment 2, it becomes an
effective boundary marker. As for Experiment 3, we also have to
consider that the insufficiency of preboundary lengthening alone
compared to its effectiveness in combination with a pitch change
could also be explained by the number of cues (but see General
Discussion). Procedure The procedure was the same as in Experiment 2. Infants were
familiarizedtosequenceswithoutanIPBuntilatleast20 sequences
had been presented. This led to a minimum duration of 52 s. RESULTS AND DISCUSSION Infants oriented on average for 6.41 s (SD = 1.53) to the familiar-
ized prosodic grouping, and for 5.36 s (SD = 1.25) to the novel
prosodic grouping (see Figure 2). This difference was significant, December 2012 | Volume 3 | Article 580 | 8 Frontiers in Psychology | Language Sciences | 8 Wellmann et al. Prosodic cue perception in infants conditions as there was no duration manipulation (M = 18.33 s;
range: 18.23–18.43 s). conditions as there was no duration manipulation (M = 18.33 s;
range: 18.23–18.43 s). The speech files of the condition without an IPB were the same
as in Experiment 2. They contained six different tokens and had an
average duration of 18.33 s (range: 18.23–18.43 s). The speech files
of the condition with preboundary lengthening also contained six
tokens and lasted for 18.89 s on average (range: 18.79–19.01 s). Procedure The procedure was the same as in Experiment 2. Infants were
familiarized to sequences without an IPB until at least 20 sequences
had been presented. This led to a minimum duration of 52 s. RESULTS AND DISCUSSION Infants listened on average for 6.68 s (SD = 1.41) to the familiar-
ized prosodic grouping and for 6.49 s (SD = 1.67) to the novel
prosodic grouping (see Figure 2). This difference was not sig-
nificant, t(16) = 0.522, p = 0.609. Ten of 17 infants had longer
listening times to the familiar test items. Participants In further experiments stimuli were acoustically manipulated
with respect to pitch and preboundary lengthening. We focused
on investigating infants’ processing of boundaries in the absence
of the pause cue. Pauses are perceptually highly salient and we
assumed that in a discrimination task like ours, infants would eas-
ily detect the presence of a pause. Especially in short coordinated
structures as used in this study pauses are easy to notice as they
constitute approximately a fourth of the overall duration of the
sequence. Furthermore, we know from other studies (Hirsh-Pasek
et al., 1987; Jusczyk et al., 1992; Schmitz, 2008; Wellmann et al.,
in preparation) that infants by the age of 6–10 months are highly
sensitive to pauses. Sixteen infants (eight girls) were tested. The mean age was
8 months, 10 days (range: 7 months, 30 days–8 months, 29 days). Six additional infants were tested but their data were not included
in the analysis for the following reasons: failure to complete the
experiment (1), crying or fussiness (2), and mean listening times
of less than 3 s per condition (3). GENERAL DISCUSSION The aim of the present study was to specify the relevance of pitch
change and preboundary lengthening as combined and as single
prosodic cues in German-learning infants’ perception of major
prosodic boundaries. Experiment 1 showed that 8-month-olds are
able to discriminate different prosodic groupings – specifically,
familiar sequences without a prosodic boundary from unfamil-
iar sequences with a prosodic boundary – when the boundary is
clearly marked by all three boundary markers. German 8-month-olds are able to perceive an IPB when a
pitch change and preboundary lengthening occur together
(Experiment 2) but not when only a pitch change is present
(Experiment3).Experiment4testedwhetherpreboundarylength-
ening as a single boundary cue is sufficient. Stimuli We also
considered the reduced number of boundary cues as an expla-
nation for the insufficiency of the single cues compared to their
occurrence in combination. However, in a study with 6-month-
olds (Wellmann et al., in preparation) we found that pause, but
not a pitch change, was sufficient though the number of cues was
kept constant. Therefore, we argue that the specific cue constella-
tion, and not the number of cues, is decisive for the detection of a
boundary. cues in German adults (Holzgrefe et al., 2012), and secondly, they
show a strong overlap with the findings by Seidl (2007) for English-
learning infants. Both parallels will be discussed separately in the
following section. To our knowledge, the present study is the first that has used
the same material with infants that had previously been used with
adults in a prosodic judgment task (Holzgrefe et al., 2012). In
this study, adults were asked to interpret the aurally presented
sequences as having no internal boundary [a and b and c], or as
having an internal boundary after the second name [a and b] [and
c]. The effects that the specific prosodic cues had on these decisions
mirror the pattern we found with the German-learning infants:
sequences that provided pitch change or preboundary lengthening
as single cues either were judged as having no boundary or listeners
performed at chance level. However, when a combination of pitch
change and preboundary lengthening occurred in the sequence,
they were clearly identified as consisting of two prosodic units. Moreover, infants’ behavior in our study is in line with the distrib-
ution of prosodic boundary cues found in spontaneous speech of
German adults (Peters et al., 2005): first, the majority of IPBs are
marked by a coalition of cues. Secondly, compared to pitch change
and preboundary lengthening, pause is a rather rare marker of
IPBs. This suggests that pause is not reliable and listeners should
be able to cope without it. It is rather surprising that the experiments with the adults
and the infants show exactly the same pattern of results with
respect to cue effectiveness even though the tasks that had to be
performed by the participants were clearly different: while the
adults had to exploit the acoustic information to assign a prosodic
phrasing to the utterances, the children only had to discriminate
between the different prosodic contours. Stimuli In Experiment 4, sequences without an IPB and sequences with
inserted preboundary lengthening were contrasted. For the condi-
tion without an IPB the same sequences as in Experiment 2 were
used. For the condition with inserted preboundary lengthening a
manipulation of the duration of the final vowel was carried out
similar to that in Experiment 2: in six exemplars of the sequences
without an IPB the final vowel was lengthened to 180% (see
Figure 1E for an example). The sequences were concatenated in a
random order to speech files. When we manipulated the stimuli such that only a pitch change
and preboundary lengthening indicated the presence of an IPB
(Experiment 2), infants still detected the boundary. We concluded
that pause is not necessary, but it seems to ease infants’ process-
ing. This was indicated by a shift in preference from a novelty December 2012 | Volume 3 | Article 580 | 9 www.frontiersin.org Prosodic cue perception in infants Wellmann et al. effect in Experiment 1 to a familiarity effect in Experiment 2. We
argued that higher task demands in Experiment 2 are responsible
forthepreferenceforfamiliarstimuli(seeHunterandAmes,1988). In Experiments 3 and 4 the impact of the single prosodic cues
pitch change and preboundary lengthening were tested. Sequences
with pitch as a single cue (Experiment 3) were not differentiated
from sequences without any boundary cue. Nor was preboundary
lengthening alone (Experiment 4) sufficient to trigger the percep-
tion of a boundary. This might indicate that infants do not take
single cues into account, as cue combinations are very frequent
whereas the occurrence of single cues is rather rare (Peters et al.,
2005). However, the weighting of prosodic boundary cues might
depend on the strength of the specific cue, that is, its phonetic
magnitude. When implementing the cues in Experiments 2–4 we
used the acoustic values measured in natural sequences that con-
tained all three cues. It is conceivable that the specific strength of
each cue in production depends on the constellation of cues, that
is, when a cue occurs alone or in a subset its magnitude might be
larger than when it occurs together with all main cues. Thus, it
remains possible that a larger pitch rise in Experiment 3 or longer
preboundary lengthening in Experiment 4 might have been suf-
ficient to trigger boundary perception by a single cue. Stimuli If we consider these find-
ings in the light of Johnson and Seidl’s (2008) assumption that a
language-specificweightingof prosodicboundarycuestakesplace,
our results suggest that the German 8-month-olds have already
attuned to the German system as they show a parallel pattern of
responding to the cues to that of adults. Furthermore, our results
indicate that cue weighting leads to a perceptual reorganization
that has an effect on the ability to discriminate verbal materials
containing the relevant phonetic information. Another restriction when interpreting the data concerns the
fact that the stimuli presented during the test phase differed across
experiments in the presence or absence of boundary cues, but
potentially also with respect to their naturalness. Thus, infants’
different performance patterns could be due to infants’ dislik-
ing of one kind of stimuli in one but not the other experiment. Pitch change or preboundary lengthening might be effective as
single cues when produced naturally, but infants could find stim-
uli with a single inserted cue odd, thus, would not pay attention
and consequently fail to discriminate test stimuli. Hereby, infants’
cue weighting and their liking of stimuli might be confounded. However, when editing the stimuli with inserted cues, we took
special care to create stimuli that are perceptually distinguishable,
but comparably natural sounding in all experiments. Hence, we
rather argue that the different performance patterns suggest that
perception depends on the specific cue constellation: pitch change
and preboundary lengthening in combination are sufficient to
trigger boundary perception in German 8-month-old infants and
hence, pause is not a necessary cue. Whether pitch change or pre-
boundary lengthening is a necessary cue cannot be answered from
these experiments. Still, both of them are not sufficient as sin-
gle boundary cues: when they occur individually, stimuli are not
differentiated from sequences without prosodic boundary mark-
ing – at least if the single cues are presented with the same acoustic
parameters as when they occur combined. Additional empirical support for this conclusion is required
and may come from crosslinguistic studies that compare chil-
dren learning languages that exhibit relevant differences in the
acoustic instantiation of prosodic boundary cues. In addition, one
may compare the current findings to the performance of younger
infants. Frontiers in Psychology | Language Sciences Stimuli Regarding the difference observed between the German and
Dutch infants’ reliance on the prosodic cues, we have to take into
account that it may arise from a purely developmental change. The Dutch infants were 2 months younger than the German ones. It is thus possible that older Dutch babies will be able to detect
prosodic boundaries that are not marked by a pause. In addition,
it is feasible that German 6-month-olds will not detect a prosodic
boundary when no pause is present. This would suggest a develop-
mental change in prosodic cue perception from 6 to 8 months in
DutchandGermaninfants.FuturestudiescomparingGermanand
Dutch infants of the same age will have to disentangle whether the
observed difference is due to crosslinguistic variation or is caused
by developmental aspects. Also, tone languages that deploy lexical tones on each syllable
should be studied (e.g., Chinese). Where pitch is used to encode
lexical distinctions,its role in encoding boundaries is reduced (Fer-
nald and McRoberts, 1996). Therefore, one can hypothesize that
infantsacquiringsuchatonelanguagefocusmoreonotherbound-
ary cues, like pause and preboundary lengthening. Pitch would
then be perceptually weighted less in this kind of tone language
than in non-tone languages. The results of our study contribute in an important way
to our understanding of how prosodic information may sup-
port children’s early phrasing of incoming linguistic material and
hence provide further evidence for the prosodic bootstrapping
account. Fernald and McRoberts (1996) outlined the unreliability
of prosodic cues due to their multiple functions. Our results as well
as Seidl’s (2007) data show that infants only consider a combina-
tion of at least two cues as a marker for a prosodic boundary – and
even younger infants rely on the convergence of all cues that serve
asprosodicboundarymarkers(SeidlandCristià,2008).Withthese
constraints infants have a powerful mechanism to make specific
use of these correlations of cues as boundary markers and to ignore
the same acoustic information when it is not accompanied by
correlating cues. Regarding the difference between English- and Dutch-learning
infants’ sensitivity to prosodic boundary markers, Johnson and
Seidl (2008) took this as an indication of the emergence of a
language-specific cue weighting, as the results reflected differ-
ences in the way that the prosodic boundaries were marked in
the Dutch material and the English material, with a longer pause
but smaller pitch reset in Dutch as compared to English. Stimuli Based
on this reasoning, a further study with German-learning infants
younger than the age tested in our study would be necessary to
provide more evidence for this kind of developmental change. p
p
g
Furthermore,it would be highly interesting to look at languages
in which the way prosodic boundaries are marked is more differ-
ent than in the closely related languages English, German, and
Dutch. The advantage of the linguistic material used in this study
is that it can easily be adapted to other languages. One relevant
language to look at would be French. Two features might lead
to a greater saliency of preboundary lengthening. First, French
does not have lexical stress and thus has no pitch accents. In
languages without pitch accents syllable duration is much less
varied within phrases. Secondly, French is a syllable-timed lan-
guage. The inventory of syllable types is smaller in syllable-timed
than in stress-timed languages. Smaller syllable inventories com-
prise simpler syllables, whereas languages with more syllable types
tend to have heavier syllables (Ramus et al., 2000). Consequently,
syllable duration is less varied in syllable-timed than in stress-
timed languages. Both aspects, no lexical stress and a smaller
syllable inventory, lead to the assumption that whenever sylla-
bles are lengthened, namely phrase-finally, this provides a clear
acoustic contrast to phrase-internal syllable durations. Empirical
evidence for a greater phonetic extent of preboundary lengthening
comes from a production study with German and French adults
by Féry et al. (2011). They found that the difference in duration
between phrase-internal and phrase-final words was significantly
higher in French speakers than in German speakers, who used
preboundary lengthening to a smaller degree. Thus, preboundary
lengthening might be a more important cue for the perception of
prosodic boundaries in French adults and infants compared to the
speakers and learners of the languages looked at so far. Again, this
question is left open for further research. However, a comparison of the results of the experiments with
German- and English-learning infants on the one hand and
Dutch-learning infants on the other gives some indications of
crosslinguistic variation. While the 6-month-old Dutch infants
tested by Johnson and Seidl (2008) needed a pause to detect the
prosodic boundary,the German andAmerican infants were able to
perceive a boundary with pitch change and preboundary length-
ening only. This might indicate a true crosslinguistic variation
between German and Dutch and English and Dutch. Stimuli This would allow a developmental trajectory to be fol-
lowed from a language-general perceptual system that is not yet
fully adapted to the properties of the phonological system of the
ambient language to a language-specific perceptual system that is
attuned to these properties. Crosslinguisticresearchintheareaof theprocessingof prosodic
boundaries is still sparse. Additionally, a crosslinguistic compar-
ison may be impeded because of differences in the experimental
material of our and previous studies: we used coordinated noun
phrases, whereas previous studies on English and Dutch (Seidl,
2007; Johnson and Seidl, 2008) presented clauses. Even though
both kinds of material have a different syntactic structure, the
prosodic structure is similar. Clause boundaries in Seidl’s (2007) In summary,two parallels of these findings to previous research
are obvious: first,they resemble findings on the processing of these Frontiers in Psychology | Language Sciences December 2012 | Volume 3 | Article 580 | 10 Prosodic cue perception in infants Wellmann et al. and Johnson and Seidl’s (2008) studies coincide with IPBs. In
our sequences of names each name forms a phonological phrase. To convey the intended internal grouping, that is, separating the
first two names from the third, our speaker needed to group the
first two names into a larger prosodic unit by producing a larger
prosodic boundary after the second name. In line with current
models of prosodic phrasing (Gussenhoven, 1992; Truckenbrodt,
1999, 2007) we argue that therefore the first two names of the
internallygroupedsequences constituteanintonationphrase.This
account is supported by the acoustic analysis we carried out on the
respective IPB cues. Hence, even though the stimuli differ across
studies,the prosodic level under investigation is comparable allow-
ing us to compare ours and previous findings crosslinguistically. German infants’ behavior compared to American 6-month-olds’
(Seidl, 2007) shows no indications of crosslinguistic variation. Like the German infants in our study, the 6-month-old Ameri-
can infants did not provide any evidence of detecting a boundary
when it was solely cued by pitch change or preboundary length-
ening, but only if a combination of these cues occurred in the
stimuli. However, given the high overlap in the prosodic systems
of English and German,the missing crosslinguistic variation could
simply reflect the fact that the two languages do not differ crucially
in the area under investigation. in development, infants follow an analytical segmentation strat-
egy that implies language-specific processing (Seidl, 2007). This
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learning infants only rely on a combination of all three cues. The
authors argued that younger infants’ perception reflects holistic
mechanisms that do not depend on language-specific factors. Later December 2012 | Volume 3 | Article 580 | 11 www.frontiersin.org www.frontiersin.org Prosodic cue perception in infants Wellmann et al. ACKNOWLEDGMENTS for technical assistance in the Potsdam BabyLab and Anne Beyer,
Sophia Fischer, Babette Graf, Mareike Orschinsky, Teresa Leitner,
and Marie Zielina for their help in recruiting and testing the
infants. We are grateful to Romy Räling for stimuli production. Thanks to all parents and their children who participated in this
study. This research was funded by a grant from the German Sci-
ence Foundation, priority program 1234, to Barbara Höhle
and Isabell Wartenburger (HO 1960/13-1; FR 2865/2-1). Isabell
Wartenburger is supported by the Stifterverband für die Deutsche
Wissenschaft (Claussen-Simon-Stiftung).We thank Tom Fritzsche REFERENCES REFERENCES J., Woodward,
A., and Piwoz, J. (1992). Percep-
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tion of acoustic correlates of major Frontiers in Psychology | Language Sciences December 2012 | Volume 3 | Article 580 | 12 12 Prosodic cue perception in infants Wellmann et al. conducted
in
the
absence
of
any
commercial or financial relationships
that could be construed as a potential
conflict of interest. life. Infant
Behav. Develop. 7,
49–63. life. Infant
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man, M. E. (1996). “Prosodic cues
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English,” in Signal to Syntax: Boot-
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mar in Early Acquisition, eds J. L. Morgan and K. Demuth (Mahwah,
NJ: Lawrence Erlbaum Associates),
287–311. This article was submitted to Frontiers in
LanguageSciences,aspecialtyof Frontiers
in Psychology. Copyright © 2012 Wellmann, Holzgrefe,
Truckenbrodt, Wartenburger and Höhle. This is an open-access article distrib-
uted under the terms of the Creative
Commons Attribution License, which
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tion in other forums, provided the orig-
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concerning
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third-party
graphics
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S., Ostendorf, M., and Price, P. J. (1992). Segmental durations in
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uted under the terms of the Creative
Commons Attribution License, which
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tion in other forums, provided the orig-
inal authors and source are credited
and subject to any copyright notices
concerning
any
third-party
graphics
etc. Received: 30 July 2012; accepted: 10
December 2012; published online: 31
December 2012. Citation: Wellmann
C, Holzgrefe
J,
Truckenbrodt H, Wartenburger I and
Höhle B (2012) How each prosodic
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German infants. Front. Psychology 3:580. doi: 10.3389/fpsyg.2012.00580 Received: 30 July 2012; accepted: 10
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December 2012. Willems, N. (1982). English Intonation
from a Dutch Point of View. Dor-
drecht: Foris. Werker, J. F., and Tees, R. C. (1984). This article was submitted to Frontiers in
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in Psychology.
Copyright © 2012 Wellmann, Holzgrefe,
Truckenbrodt, Wartenburger and Höhle.
This is an open-access article distrib-
uted under the terms of the Creative
Commons Attribution License, which
permits use, distribution and reproduc-
tion in other forums, provided the orig-
inal authors and source are credited
and subject to any copyright notices
concerning
any
third-party
graphics
etc. December 2012 | Volume 3 | Article 580 | 13 Received: 30 July 2012; accepted: 10
December 2012; published online: 31
December 2012. This article was submitted to Frontiers in
LanguageSciences,aspecialtyof Frontiers
in Psychology. Received: 30 July 2012; accepted: 10
December 2012; published online: 31
December 2012.
Citation: Wellmann
C, Holzgrefe
J,
Truckenbrodt H, Wartenburger I and
Höhle B (2012) How each prosodic
boundary cue matters: Evidence from
German infants. Front. Psychology 3:580.
doi: 10.3389/fpsyg.2012.00580 REFERENCES Cross-language speech perception:
evidence for perceptual reorgani-
zation during the first year of Conflict of Interest Statement: The
authors declare that the research was Conflict of Interest Statement: The
authors declare that the research was December 2012 | Volume 3 | Article 580 | 13 www.frontiersin.org
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https://openalex.org/W2186455356
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https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0142844&type=printable
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English
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Chitosan Coated Textiles May Improve Atopic Dermatitis Severity by Modulating Skin Staphylococcal Profile: A Randomized Controlled Trial
|
PloS one
| 2,015
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cc-by
| 6,258
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RESEARCH ARTICLE Editor: T. Mark Doherty, Glaxo Smith Kline,
DENMARK Editor: T. Mark Doherty, Glaxo Smith Kline,
DENMARK Objective Received: May 4, 2015
Accepted: October 25, 2015
Published: November 30, 2015 This randomized controlled trial assessed the clinical utility of chitosan-coated garment use
in AD. Copyright: © 2015 Lopes et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. OPEN ACCESS Citation: Lopes C, Soares J, Tavaria F, Duarte A,
Correia O, Sokhatska O, et al. (2015) Chitosan
Coated Textiles May Improve Atopic Dermatitis
Severity by Modulating Skin Staphylococcal Profile: A
Randomized Controlled Trial. PLoS ONE 10(11):
e0142844. doi:10.1371/journal.pone.0142844 Chitosan Coated Textiles May Improve
Atopic Dermatitis Severity by Modulating
Skin Staphylococcal Profile: A Randomized
Controlled Trial Cristina Lopes1,2*, Jose Soares3, Freni Tavaria3, Ana Duarte4, Osvaldo Correia1,4,
Oksana Sokhatska1, Milton Severo5,6, Diana Silva1,7, Manuela Pintado3, Luis Delgado1,
Andre Moreira1,7 1 Laboratory of Immunology, Basic and Clinical Immunology Unit, Faculty of Medicine, University of Porto,
Porto, Portugal, 2 Immunoallergology Unit, Hospital Pedro Hispano, Matosinhos, Portugal, 3 CBQF–Centro
de Biotecnologia e Química Fina–Laboratório Associado, Escola Superior de Biotecnologia, Universidade
Católica Portuguesa, Porto, Portugal, 4 Dermatology Center Epidermis, Instituto CUF, Porto, Portugal,
5 Department of Medical Education and Simulation, Faculty of Medicine, University of Porto, Porto, Portugal,
6 Department of Epidemiology, Predictive Medicine and Public Health, Faculty of Medicine, University of
Porto, Porto, Portugal, 7 Immunoallergology Department, Centro Hospitalar São João, Porto, Portugal * clabreu@med.up.pt * clabreu@med.up.pt Background Atopic dermatitis (AD) patients may benefit from using textiles coated with skin micro-
biome–modulating compounds. Chitosan, a natural biopolymer with immunomodulatory
and antimicrobial properties, has been considered potentially useful. Methods Of the 102 patients screened, 78 adult and adolescents were randomly allocated to over-
night use of chitosan-coated or uncoated cotton long-sleeved pyjama tops and pants for 8
weeks. The primary outcome was change in disease severity assessed by Scoring Atopic
dermatitis index (SCORAD). Other outcomes were changes in quality of life, pruritus and
sleep loss, days with need for rescue medication, number of flares and controlled weeks,
and adverse events. Changes in total staphylococci and Staphylococcus aureus skin
counts were also assessed. Comparisons were made using analysis of variance supple-
mented by repeated measures analysis for the primary outcome. Interaction term between
time and intervention was used to compare time trends between groups. Conclusions Chitosan coated textiles may impact on disease severity by modulating skin staphylococcal
profile. Moreover, a potential effect in quality of life may be considered. Trial Registration ClinicalTrials.gov NCT01597817 ClinicalTrials.gov NCT01597817 ClinicalTrials.gov NCT01597817 Results Chitosan group improved SCORAD from baseline in 43.8%, (95%CI: 30.9 to 55.9), P =
0.01, placebo group in 16.5% (-21.6 to 54.6); P = 0.02 with no significant differences
between groups; Dermatology Quality of life Index Score significantly improved in chitosan
group (P = 0.02) and a significant increase of skin Coagulase negative Staphylococci (P =
0.02) was seen. Introduction Atopic dermatitis (AD) is a chronic, relapsing inflammatory skin disease with a considerable
social and economic burden. In industrialized countries, it has an estimated prevalence of up to
20% in children and 2% in adults [1]. Its pathophysiology is complex and involves skin barrier
defects, immunological deregulation, and genetic predisposition [2]. These changes frequently
lead to skin colonization with Staphylococcus aureus, which is able to produce virulence factors
that perpetuate inflammation, even in normal-appearing skin [3]. Disease management
demands an integrated approach, aimed not only at controlling skin inflammation and ensur-
ing hydration, but also at regulating the skin microbiome [4–6]. While several recent studies have reported the utility of functional textiles with antimicro-
bial and antipruritic properties in AD [7, 8], a recent systematic review and meta-analysis by
our group found that the recommendation for its use was weak due to the low quality of sup-
porting evidence [9]. These results underscored the need for studies with improved methodol-
ogy and new compounds. Chitosan, a biopolymer [10], has been considered a promising
candidate for use in AD due to its with repair and antiseptic properties [11–13]. Chitosan-
coated fabrics with proven inhibitory activity against S. aureus were considered potentially use-
ful in AD management, but their clinical utility on a real life setting has never been studied. This randomized controlled clinical trial assessed the clinical utility of chitosan-coated gar-
ments in AD patients. Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. Funding: The authors have no support or funding to
report. Competing Interests: The authors have declared
that no competing interests exist. 1 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Chitosan Textiles and Atopic Dermatitis Inclusion and exclusion criteria Subjects older than 12 years with a diagnosis of AD [14] were eligible for participation follow-
ing provision of written informed consent. Excluded were patients with severe skin disease
other than AD (e.g., psoriasis); secondary infections; major systemic diseases; women who
were pregnant and subjects unable to comply with study and follow-up procedures. Patients who met any of the following criteria were withdrawn from the study: use of topical
or systemic antibiotics during the study; withdrawal of consent; detection of significant proto-
col violations; and investigator’s decision to withdraw the patient due to adverse effects such as
skin infections. Methods This is a randomized, double-blind, placebo-controlled, single-center trial. Fig 1 shows the
flow of participants. Trial registrations: ClinicalTrials.gov Identifier: NCT01597817. Protocol
Registration and Results System account administration delay in releasing the record due to
informatics issues caused that the trial was registered after enrolment of participants had
started. The authors confirm that all ongoing and related trials for this intervention are regis-
tered. Ethics committee approved the study at 6th September 2011, patients recruitment and
follow up occurred between December 2011 and June 2012. 2 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Chitosan Textiles and Atopic Dermatitis Fig 1. Flow chart of participants through the study. doi:10 1371/journal pone 0142844 g001 Fig 1. Flow chart of participants through the study. doi:10.1371/journal.pone.0142844.g001 doi:10.1371/journal.pone.0142844.g001 Recruitment Subjects were invited to participate in the trial during hospital visits, through trial posters on
bulletin boards in hospitals, newspaper and Internet advertisements. Sample size Sample size calculations were performed to determine the number of participants needed to
detect effect sizes based on minimal clinically important differences in the SCORAD index. 3 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Chitosan Textiles and Atopic Dermatitis Results showed that 42 patients were needed in this two-treatment parallel-design study to
detect a treatment difference with a two-sided 0.05 significance level and a probability of 81% if
the true difference in SCORAD between interventions was 8.7 units [15]. Results showed that 42 patients were needed in this two-treatment parallel-design study to
detect a treatment difference with a two-sided 0.05 significance level and a probability of 81% if
the true difference in SCORAD between interventions was 8.7 units [15]. Randomization, allocation and blinding Subjects were randomly assigned to one of two interventions through computer-generated ran-
dom numbers. The randomization was performed by an independent researcher;the randomi-
zation table and intervention codes were kept by the independent researcher in an opaque
sealed envelope up to completion of data analysis. A study nurse established phone contact
with the independent researcher, who informed the nurse which treatment package was to be
assigned to which patient. A hundred and two patients were assessed for eligibility; twenty-four were excluded because
they did not meet inclusion criteria: 22 because the medical diagnosis of AD was not confirmed
by the investigation team and two because of significant comorbidities (multiple sclerosis and
diabetes mellitus type 1). Seventy-eight were randomized: thirty five to placebo and forty three
to chitosan groups. In chitosan group two patients were lost before receiving the intervention
and one patient decided to withdraw because of disease progression. In both groups three
patients were lost to follow up due to impossibility to attain medical visits (Fig1). Treatment protocol and intervention The study consisted of a 2-week run-in period and an intervention period of 8 weeks (S1
Table). Eligibility to participate was determined at the screening visit. At the end of the run-in
period, the patients were examined by the same physician as in the first visit and those with a
change in SCORAD of below 10% with respect to baseline were considered eligible for random-
ization. Participants were randomized to receive either an uncoated pair of cotton pyjamas or a
pair of cotton pyjamas coated with chitosan (ChitoClear CG-800). The pyjamas, placed in a
sealed plastic package, consisted of a long-sleeved top and long pants to be worn at night for
the duration of the study. Both pyjamas were made of 100% organic cotton, without dyes or
preservatives, and were visually indistinguishable from each other. The in vitro antibacterial
activity of the chitosan-coated textile was shown to persist after 30 washing cycles [16] and
washing durability was studied through washing assays at 40°C [16]. PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Outcomes and definitions The primary efficacy outcome measure was mean relative and absolute change in disease sever-
ity after the intervention assessed by SCORAD [14]. The SCORAD index combines objective
items reflecting disease extent, intensity and subjective items (pruritus and sleep loss) evaluated
by the patient on a 10-point visual analog scale (VAS), where 0 indicates no pruritus or sleep
loss and 10 indicates the worst possible pruritus and sleep loss. The total possible score ranges
from 0 to 103. Secondary outcome measures were number of patients with a minimal clinically important
difference in SCORAD post-intervention; mean change in quality of life score; changes in daily
pruritus and sleep loss scores; need for rescue medication; number of flares; number of totally
controlled weeks (TCWs) and well-controlled weeks (WCWs); and number and severity of
adverse events during the 8-week study period. Microbiological outcome measures were mean
changes in colony forming units (CFUs) per 100 cm2 of total staphylococci (S. aureus plus
coagulase negative staphylococcus species) and S. aureus isolates. Patients were characterized according to age, gender, current medication, personal history
of atopy, self-reported medical diagnosis of asthma, disease duration, and disease severity. The 4 / 14 Chitosan Textiles and Atopic Dermatitis SCORAD index was used to classify AD as mild (score 15), moderate (16–39), or severe
(>40) [17]. During the baseline and final visits, participants were asked to complete the Portu-
guese version of the Dermatology Life Quality Index (DLQI) or, if they were younger than 16
years, the children´s version of the questionnaire. Both questionnaires have been translated
and validated for use in the Portuguese population [18, 19]. DLQI scores are interpreted as no
effect on the patient’s life (score of 0–1), a small effect (2–5), a moderate effect (6–10), a very
large effect (11–20), and an extremely large effect (21–30) [20, 21]. Participants recorded and scored daily symptoms of pruritus and sleep loss according to the
10-point VAS, and registered all medication use during the study period. Rescue medication
was defined as any treatment, other than emollient, applied in response to disease worsening
(i.e. escalation of treatment). A flare was defined as an episode requiring rescue medication for
3 or more consecutive days; a TCW week as a pruritus score of above 4; and a WCW as a 7-day
period with need for rescue treatment or with a sleep loss or pruritus score of above 4 for no
more than 2 days. Microbiological assays The microbiological profile was assessed by determination of viable cell numbers of total staph-
ylococci and S. aureus in five regions: the right and left brachial crease, right and left popliteal
crease, interscapular region. The regions were assessed by sampling a 25-cm2 area of skin with
a sterile cotton swab dipped in sterile saline solution. Samples were kept refrigerated at 4°C and
were processed within a maximum of 2 hours of sampling. They were decimally diluted and
plated in Mannitol Salt agar (MSA; Lab Mspread plate) and Baird-Parker agar (BPA; Lab M,
Lancashire, UK) using the spread plate technique. After incubation, the colonies were counted,
using MSA for total staphylococcal counts and BPA for S. aureus counts, the respective Colony
Forming units /100 cm2 were determined. Adverse events Patients were asked to inform the research team of any possible adverse events that occurred
during the 8-week study period. Adverse events were classified as mild if they were easily toler-
ated by the patient; moderate if they interrupted the individual’s usual activities; and severe if
they were potentially life-threatening. The principal investigator classified adverse events as
not, possibly, probably, or definitely related to treatment. Outcomes and definitions [22]. Ethics The university and hospital ethics committees approved the present study (ClinicalTrials.gov
Identifier: NCT01597817). Written informed consent was obtained from each participant and
from parents, caretakers, or guardians on behalf of the minors/children prior to enrolment. The trial was performed in compliance with the Declaration of Helsinki and according to
good clinical practice. Statistical analysis All efficacy outcomes were analyzed using intent-to-treat populations based on the treatment
group assigned at randomization. Analysis of variance (ANOVA) supplemented by a repeated measures analysis was used for
the primary outcome. A mixed effects models with random intercept and time slope by indi-
vidual were used to estimate the interaction term to compare time trends between groups for
number of days per week with need for rescue medication and daily symptoms. Chi-squared,
Fisher exact and McNemar test were used for secondary outcomes; Wilcoxon signed rank test
and Mann Whitney test for non-parametric analysis; t test for parametric analysis. All analyses,
summaries, and listings were performed with SPSS software, version 20.0. 5 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Chitosan Textiles and Atopic Dermatitis doi:10.1371/journal.pone.0142844.t001 Patients characteristics No major imbalances were found in the baseline characteristics of the individuals included in
the placebo and chitosan groups: most patients were adult, with AD for more than 10 years,
more than half were female, the majority were atopic and had self reported previous history of
asthma (Table 1). Oral antihistamines and topical steroids were used by most patients, almost
half had been prescribed at least once oral steroids in the last year and a systemic immunosu-
pressor such as cyclopsorin in 17% overall. Similar proportion of participants with mild (2 ver-
sus 5), moderate (19 versus 14) and severe (22 versus 16) AD occurred respectively in chitosan
and placebo intervened groups. Efficacy and tolerability. After the 8-week intervention period there was a significant
improvement in SCORAD from baseline for both the chitosan group and the placebo group
(improvement of 43.8%, 95% CI: 30.9 to 55.9; P = 0.01 vs. 16.5%, 95% CI: -21.6 to 54.6;
P = 0.02). The respective absolute reductions in SCORAD scores were from 44.2 (95% CI: 34.5
to 53.9) to 29.4 (95% CI: 21.4 to 37.4) and 41.4 (95% CI: 34.3 to 48.6) to 25.7 (95% CI: 18.3 to
33.1); (Fig 2). No significant differences were observed between groups for changes in
SCORAD. Table 1. Baseline characteristics of atopic dermatitis patients by chitosan intervention group (N = 43) and placebo group (N = 35). Chitosan
Placebo
P-value
Age, y
23 (19–34)
26 (18–31)
0.61§
Female, n (%)
23 (53)
21 (60)
0.86*
Disease duration, y
18 (10–24)
12.0 (6–20)
0.31§
SCORAD (0–103)
44 (25–52)
38 (22–65)
0.72§
Current medication
Antihistamines, n (%)
36 (84)
32 (91)
0.50*
Topical corticosteroids, n (%)
37 (86)
27 (77)
0.18*
Oral corticosteroids, n (%)
15 (35)
16 (46)
0.58*
Calcineurin inhibitors, n (%)
12 (28)
16 (46)
0.18*
Oral immunsupressors, n (%)
9 (21)
4 (11)
0.13ε
Diary scores
Pruritus (0–10)
4 (2–4)
3 (2–5)
0.92§
Sleep loss (0–10)
2 (1–4)
1 (0–3)
0.31§
DLQI score
7 (5–12)
7 (5–12)
0.93§
Atopic, n (%)
29 (70)
21 (60)
0.29*
Asthmatic, n (%)
21 (49)
18 (51)
0.69*
DLQI, Dermatology Life Quality Index. Results are presented as median (interquartile range) unless stated otherwise. § Mann Whitney test. dermatitis patients by chitosan intervention group (N = 43) and placebo group (N = 35). Patients characteristics aseline characteristics of atopic dermatitis patients by chitosan intervention group (N = 43) and placebo gro * Chi-squared test ε Fisher exact test. PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 6 / 14 Chitosan Textiles and Atopic Dermatitis Fig 2. Mean SCORAD and Dermatology Life Quality Index scores (95% CI) in chitosan and placebo groups before and after intervention. CI-
confidence interval. doi:10.1371/journal.pone.0142844.g002 The improvement in DLQI scores from baseline was 36% (95% CI: 23.5 to 48.1) in the chit-
osan group (8.0 [9.3–6.7] to 4.8 [6.2–3.4], P = 0.02) and 25% (95% CI: 6.0–44.1) in the placebo
group (8.3 [10.4–6.3] to 5.6 [7.7–3.5], P = 0.28) (Fig 2). There were no significant differences
between both groups. The proportion of individuals with a clinically meaningful improvement
in SCORAD was 25 (67%) in the chitosan group and 20 (63%) in the placebo group. No signifi-
cant effect was observed either on daily pruritus or sleep loss scores (Fig 3 and S2 Table), need
for rescue medication, or number of flares or totally controlled weeks and well controlled
weeks (Table 2). Most patients had identification of Staphylococci species in at least one sampled region with
no significant changes after the intervention or for changes between groups (Table 3). There a
was a decrease in the percentage of patients with identification of S.aureus from 68% to 55% in
chitosan group in contrast with an increase in placebo group (from 53% to 64%) that did not
reach statistical significance (Table 3). The mean proportion of S.aureus counts versus total
staphylococcal counts showed no significant differences after intervention for both groups on
the five sample regions (right arm, left arm, right leg, left leg, neck) (Table 3) neither when con-
sidering all regions (Fig 4). When considering total bacterial counts there was a significant
increase of the mean total staphylococcal count in the chitosan group (P = 0.02), with no other
differences (Fig 5). The chitosan-coated pyjamas were well tolerated. One patient in the chitosan group decided
to withdraw at week 4 due to an AD flare, but no causal link was established. Discussion In this randomized controlled trial chitosan coated textiles, used for 8 weeks, were associated
with a non-significant trend of disease severity improvement. Moreover, this effect was related
with a significant increase of skin coagulase negative Staphylococci. Our study has some limitations. First, since this is a pilot study the number of participants
and outcomes assessed may have been not sufficient to detect significant differences. However, 7 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Chitosan Textiles and Atopic Dermatitis Fig 3. Mean (95% CI) weekly pruritus and sleep loss scores in chitosan and placebo groups throughout the intervent
interval. doi:10.1371/journal.pone.0142844.g003
PLOS ONE | DOI
/j
l
N
b Rescue medication defined as any treatment, other than emollient, that was applied in response to a worsening of the disease, corresponding to dosing
up treatment; a flare as need of rescue medication for three or more consecutive days; a totally controlled week as a seven-day period without need of
rescue treatment and without any days of sleep loss or pruritus score above 4; a well controlled week if rescue treatment and sleep loss or pruritus score
above 4 occurred for no more than 2 days, and any other week that did not correspond to the previous definitions of totally and well controlled weeks was
classified as no controlled; y
Rescue medication defined as any treatment, other than emollient, that was applied in response to a worsening of the disease, corresponding to dosing
up treatment; a flare as need of rescue medication for three or more consecutive days; a totally controlled week as a seven-day period without need of
rescue treatment and without any days of sleep loss or pruritus score above 4; a well controlled week if rescue treatment and sleep loss or pruritus score
above 4 occurred for no more than 2 days, and any other week that did not correspond to the previous definitions of totally and well controlled weeks was
classified as no controlled; based on previously published minimally clinically important differences for SCORAD, the
study was designed to be sufficiently powered to detect meaningful differences. However, post
hoc analysis analysing the high range of confidence limits in the control group versus the active
one suggested this may have not been the case. Although we only used validated outcomes in
line with recently published recommendations [23], DLQI did not fit Rasch analysis in previ-
ous studies [24] and its children´s version has not been tested till now. Nevertheless it has been
previously validated in Portuguese population[19] and in our study we found an intraclass cor-
relation coefficient in placebo group of 0.73 signifying a good reproducibility. Second, the
study participants were adolescents and adults with long-standing atopic dermatitis and there
would probably be a greater likelihood of detecting clinically significant improvement in adults
with more severe disease. Thirdly, because no a priori data exist on the duration of the inter-
vention and its in vivo effects, we cannot rule out that longer skin contact with chitosan may
have elicited a more pronounced effect. Chitosan Textiles and Atopic Dermatitis Table 2. Differences in efficacy outcomes in chitosan and placebo groups after intervention. Chitosan
Placebo
P-value for difference§
Rescue medication, days
2.0 (0.0–8.3)
5.0 (0.0–15.5)
0.82
Flares
0.0 (0.0–1.0)
0.0 (0.0–1.0)
0.73
Totally controlled weeks
4.0 (0.8–7.0)
4.5 (1.8–8.0)
0.43
Well controlled weeks
1.5 (0.8–3.0)
2.0 (0.0–3.0)
0.82
Uncontrolled weeks
1.0 (0.0–4.3)
1.0 (0.0–5.0)
0.94
Median (interquartile range)
§ Mann Whitney test. Rescue medication defined as any treatment, other than emollient, that was applied in response to a worsening of the disease, corresponding to dosing
up treatment; a flare as need of rescue medication for three or more consecutive days; a totally controlled week as a seven-day period without need of
rescue treatment and without any days of sleep loss or pruritus score above 4; a well controlled week if rescue treatment and sleep loss or pruritus score
above 4 occurred for no more than 2 days, and any other week that did not correspond to the previous definitions of totally and well controlled weeks was
classified as no controlled; Table 2. Differences in efficacy outcomes in chitosan and placebo groups after intervention. Mann Whitney test. Rescue medication defined as any treatment, other than emollient, that was applied in response to a worsening of the disease, corresponding to dosing
up treatment; a flare as need of rescue medication for three or more consecutive days; a totally controlled week as a seven-day period without need of
rescue treatment and without any days of sleep loss or pruritus score above 4; a well controlled week if rescue treatment and sleep loss or pruritus score
above 4 occurred for no more than 2 days, and any other week that did not correspond to the previous definitions of totally and well controlled weeks was
classified as no controlled; Mann Whitney test. doi:10.1371/journal.pone.0142844.g003 8 / 14 CFU, colony-forming units. Median (interquartile range) unless stated otherwise. ng units. Median (interquartile range) unless stated otherwise. CFU, colony-forming units. Median (interquartile range) unless stated otherwise.
P doi:10.1371/journal.pone.0142844.t002 r test
d t
t doi:10.1371/journal.pone.0142844.t003 However, the participants were instructed to wear the Table 3. Skin microbiological profile in chitosan and placebo groups before and after intervention. Chitosan
Placebo
Chitosan vs Placebo
Before (N = 38)
After (N = 34)
P-value
Before (N = 30)
After (N = 28)
P-value
P-value
Staphylococci +, n (%) of patients
34 (85)
30 (75)
0. 71 P
26 (87)
23 (82)
0.92 P
0.68Φ
S. aureus +, n (%) of patients
27 (68)
22 (55)
0.92 P
18 (53)
18 (64)
0.72 P
0.69.Φ
% CFU S. aureus/total staphylococci
Right arm
58 (14–74)
55 (18–68)
0.43*
71 (38–94)
81 (31–96)
0.21*
0.14§
Left arm
62 (12–68)
61 (12–77)
0.94*
65 (38–81)
67 (39–70)
0.42*
0.34 §
Right leg
66 (18–73)
65 (13–76)
0.32*
68 (22–78)
67 (22–89)
0.52*
0.92 §
Left leg
70 (18–82)
69 (25–77)
0.91*
69 (24–78)
71 (36–88)
0.83*
0.73 §
Neck
58 (22–71)
42 (22–61)
0.11*
74 (21–80)
76 (29–92)
0.34*
0.93 §
CFU, colony-forming units. Median (interquartile range) unless stated otherwise. P McNemar test
Φ Chi-squared test
* Wilcoxon signed rank test
§ Mann Whitney test. doi:10.1371/journal.pone.0142844.t003 Table 3. Skin microbiological profile in chitosan and placebo groups before and after intervention. Chitosan
Placebo
Chitosan vs Placebo
Before (N = 38)
After (N = 34)
P-value
Before (N = 30)
After (N = 28)
P-value
P-value
Staphylococci +, n (%) of patients
34 (85)
30 (75)
0. 71 P
26 (87)
23 (82)
0.92 P
0.68Φ
S. aureus +, n (%) of patients
27 (68)
22 (55)
0.92 P
18 (53)
18 (64)
0.72 P
0.69.Φ
% CFU S. aureus/total staphylococci
Right arm
58 (14–74)
55 (18–68)
0.43*
71 (38–94)
81 (31–96)
0.21*
0.14§
Left arm
62 (12–68)
61 (12–77)
0.94*
65 (38–81)
67 (39–70)
0.42*
0.34 §
Right leg
66 (18–73)
65 (13–76)
0.32*
68 (22–78)
67 (22–89)
0.52*
0.92 §
Left leg
70 (18–82)
69 (25–77)
0.91*
69 (24–78)
71 (36–88)
0.83*
0.73 §
Neck
58 (22–71)
42 (22–61)
0.11*
74 (21–80)
76 (29–92)
0.34*
0.93 § Table 3. Skin microbiological profile in chitosan and placebo groups before and after intervention. PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 9 / 14 Fig 4. Mean (95% CI) Staphylococcus aureus colony forming units in all regions as proportion of total staphylococcal counts before and after
intervention in placebo and chitosan groups. CI-confidence interval. doi:10 1371/journal pone 0142844 g004
Chitosan Textiles and Atopic Dermatitis Chitosan Textiles and Atopic Dermatitis PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 doi:10.1371/journal.pone.0142844.g004 doi:10.1371/journal.pone.0142844.g004 pyjamas every night for the duration of the study, as we wished to target a critical period. Finally, the fact that the patients were allowed to use rescue medication may have influenced
the effect of the intervention. However, this was corrected for in the mixed effects model and
the effect on clinical outcome analyses should therefore be minimal. This is the first trial to
evaluate the utility of a biopolymer in patients with AD and, so far, it is the largest study of
functional textiles. Another innovative aspect was the evaluation of other staphylococcal spe-
cies than S.aureus [25]. Chitosan has exhibited skin repair potential in wounds and antimicrobial action in diverse
medical fields [26–29], explaining why chitosan could potentially improve disease severity in
patients prone to non-commensal bacteria colonization and skin barrier impairment. In the
present study, chitosan-coated garments had no effect on the skin S.aureus counts but surpris-
ingly, we observed in the chitosan group an increase in total staphylococci counts indepen-
dently of S. aureus, corresponding to coagulase negative staphylococci species (CNS). The 10 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Chitosan Textiles and Atopic Dermatitis Fig 5. Mean (95% CI) Log10 total staphylococci and Log10 Staphylococcus aureus counts for all regions sampled in chitosan and placebo groups
before and after intervention. CI-confidence interval *P = 0.01, Wilcoxon signed rank test. Chitosan Textiles and Atopic Dermatitis S1 CONSORT Checklist. Consort Checklist.
(DOCX) S1 PROTOCOL. Ethic Committee protocol. (DOCX) S1 PROTOCOL. Ethic Committee protocol. (DOCX) S1 Table. Study schedule D, day; W, week. (DOCX) S1 Table. Study schedule D, day; W, week. (DOCX) S2 Table. Mixed effects model comparing time trends between chitosan and placebo
groups. SD-standard deviation. (DOCX) S2 Table. Mixed effects model comparing time trends between chitosan and placebo
groups. SD-standard deviation. S2 Table. Mixed effects model comparing time trends between chitosan and placebo
groups. SD-standard deviation. (DOCX) Author Contributions Conceived and designed the experiments: CL DS LD AM. Performed the experiments: CL JS
FT AD OC DS. Analyzed the data: CL JS FT OS DS MS LD AM. Contributed reagents/materi-
als/analysis tools: MS OS. Wrote the paper: CL FT OS MS MP DS AM LD. Chitosan Textiles and Atopic Dermatitis changes in SCORAD index, we cannot exclude that more patients were needed to elicit a more
pronounced effect on this outcome. The intervention was well tolerated over the 8-week study period. There was one moderate
adverse event, deemed to be unrelated to treatment, in the chitosan group. Safety of functional
textiles is a controversial issue since some authors have claimed that the use of antimicrobial
compounds could remove bacteria from the skin surface and pave the way for invasion by
pathogenic bacteria, such as methicillin-resistant S. aureus [31]. Atopic dermatitis is a complex disease that requires a multidimensional treatment
approach. The possibility of modulating the skin microbiome, namely its staphylococcal com-
munity, which has long been recognized as one of the main determinants of skin inflammation,
is an appealing strategy. The use of functional textiles is also appealing because of their poten-
tial action targeting the skin surface and their favourable safety profile and convenience of use. Results from our randomized controlled trial showed that chitosan coated textiles may impact
on disease severity by modulating skin staphylococcal profile. Moreover, a potential effect in
quality of life may be considered. Supporting Information Supporting Information
S1 CONSORT Checklist. Consort Checklist. (DOCX)
S1 PROTOCOL. Ethic Committee protocol. (DOCX)
S1 Table. Study schedule D, day; W, week. (DOCX)
S2 Table. Mixed effects model comparing time trends between chitosan and placebo
groups. SD-standard deviation. (DOCX) S1 CONSORT Checklist. Consort Checklist. (DOCX) PLOS ONE | DOI:10.1371/journal.pone.0142844
November 30, 2015 Fig 5. Mean (95% CI) Log10 total staphylococci and Log10 Staphylococcus aureus counts for all regions sampled in chitosan and placebo groups
before and after intervention. CI-confidence interval *P = 0.01, Wilcoxon signed rank test. Fig 5. Mean (95% CI) Log10 total staphylococci and Log10 Staphylococcus aureus counts for all regions sampled in chitosan and placebo groups
before and after intervention. CI-confidence interval *P = 0.01, Wilcoxon signed rank test. doi:10.1371/journal.pone.0142844.g005 increase of CNS on the skin of AD patients has been already reported eliciting different expla-
nations for this fact: some authors argue that it may be the result of a mutualistic relationship
or represent a compensatory or antagonistic mechanism to control S.aureus [30]. Our data
supports the hypothesis that chitosan may had exerted a specific inhibitory effect upon S. aureus, allowing the proliferation of other staphylococcal species. Nevertheless, the clinical sig-
nificance of this observation is exploratory. increase of CNS on the skin of AD patients has been already reported eliciting different expla-
nations for this fact: some authors argue that it may be the result of a mutualistic relationship
or represent a compensatory or antagonistic mechanism to control S.aureus [30]. Our data
supports the hypothesis that chitosan may had exerted a specific inhibitory effect upon S. aureus, allowing the proliferation of other staphylococcal species. Nevertheless, the clinical sig-
nificance of this observation is exploratory. The observed placebo effect on disease severity may possibly be due to the improved skin
comfort provided by the long-sleeved organic cotton pyjamas used, and/or to the patients’
enthusiasm about participating in a clinical trial with a new product. The significant improvement on quality of life with chitosan treatment was probably related
to reduction in AD severity in this group. Considering that sample size was calculated to detect 11 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844
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English
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Treatment of advanced soft-tissue sarcomas using a combined strategy of high-dose ifosfamide, high-dose doxorubicin and salvage therapies
|
British journal of cancer
| 2,006
|
cc-by
| 6,115
|
Received 21 June 2006; revised 7 September 2006; accepted 13
September 2006; published online 10 October 2006
*Correspondence: Dr S Leyvraz; E-mail: Serge.Leyvraz@chuv.ch Treatment of advanced soft-tissue sarcomas using a combined
strategy of high-dose ifosfamide, high-dose doxorubicin and
salvage therapies Treatment of advanced soft-tissue sarcomas using a combined
strategy of high-dose ifosfamide, high-dose doxorubicin and
salvage therapies Clinical Studies S Leyvraz*,1, R Herrmann2, L Guillou3, HP Honegger4, A Christinat1, MF Fey5, C Sessa6, M Wernli7, T Cerny8,
D Dietrich9 and B Pestalozzi10 for the Swiss Group for Clinical Cancer Research (SAKK)
1Centre Pluridisciplinaire d’Oncologie, University Hospital, CHUV BH06, Rue du Bugnon 46, 1011 Lausanne, Switzerland; 2Medical Oncology Clinic,
University Hospital, Basel, Switzerland; 3Pathology Institute, University Hospital, Lausanne, Switzerland; 4Triemli City Hospital, Zurich, Switzerland;
5Institute of Medical Oncology, Inselspital, Bern, Switzerland; 6Istituto Oncologico della Svizzera italiana, Bellinzona, Switzerland; 7Oncology Hematology
Department, Kantonsspital, Aarau, Switzerland; 8Oncology/Hematology, Kantonsspital, St. Gallen, Switzerland; 9SAKK Coordinating Center, Bern,
Switzerland; 10Department of Oncology, University Hospital, Zurich, Switzerland Having determined in a phase I study the maximum tolerated dose of high-dose ifosfamide combined with high-dose doxorubicin, we
now report the long-term results of a phase II trial in advanced soft-tissue sarcomas. Forty-six patients with locally advanced or
metastatic soft-tissue sarcomas were included, with age o60 years and all except one in good performance status (0 or 1). The
chemotherapy treatment consisted of ifosfamide 10 g m2 (continuous infusion for 5 days), doxorubicin 30 mg m2 day1 3 (total
dose 90 mg m2), mesna and granulocyte-colony stimulating factor. Cycles were repeated every 21 days. A median of 4 (1–6) cycles
per patient was administered. Twenty-two patients responded to therapy, including three complete responders and 19 partial
responders for an overall response rate of 48% (95% CI: 33–63%). The response rate was not different between localised and
metastatic diseases or between histological types, but was higher in grade 3 tumours. Median overall survival was 19 months. Salvage
therapies (surgery and/or radiotherapy) were performed in 43% of patients and found to be the most significant predictor for
favourable survival (exploratory multivariate analysis). Haematological toxicity was severe, including grade X3 neutropenia in 59%,
thrombopenia in 39% and anaemia in 27% of cycles. Three patients experienced grade 3 neurotoxicity and one patient died of septic
shock. This high-dose regimen is toxic but nonetheless feasible in multicentre settings in non elderly patients with good performance
status. A high response rate was obtained. Prolonged survival was mainly a function of salvage therapies. British Journal of Cancer (2006) 95, 1342–1347. British Journal of Cancer (2006) 95, 1342 – 1347 British Journal of Cancer (2006) 95, 1342 – 1347 British Journal of Cancer (2006) 95, 1342
1347
& 2006 Cancer Research UK
All rights reserved 0007 – 0920/06
$30.00 www.bjcancer.com Treatment of advanced soft-tissue sarcomas using a combined
strategy of high-dose ifosfamide, high-dose doxorubicin and
salvage therapies doi:10.1038/sj.bjc.6603420
www.bjcancer.com
Published online 10 October 2006
& 2006 C
R
h UK & 2006 Cancer Research UK Keywords: doxorubicin; ifosfamide; salvage surgery; soft-tissue sarcomas Soft-tissue sarcomas are a highly heterogeneous group of tumours
with
a
low
incidence. At
least
50
different
subtypes
are
distinguished, each with its specific biology and clinical outcome. The majority of these tumours are presumably derived from
mesoderm and categorised by the normal tissue they resemble. As
they are uncommon, however, they are subsumed under the
collective term soft-tissue sarcoma and therapeutically approached
in similar ways. origin (Hensley et al, 2002). Topoisomerase inhibitors are active
for rhabdomyosarcomas (Cosetti et al, 2002). Trabectedin (ET743)
has a low objective response rate but led to stable disease in 24% of
pretreated patients (Yovine et al, 2004) and was mainly active in
myxoid liposarcomas (Grosso et al, 2006). The most common approach used in all histological subtypes,
however, is to use doxorubicin and ifosfamide (Edmonson et al,
1993). Their anti-tumour activity as single agents does not exceed
15–25%. Combining these agents might be more effective but has
not been shown to improve survival in a significant way compared
to their use as single agents (Santoro et al, 1995). y
In recent years, progress has been made in understanding their
clinical and biological complexity (Dirix and Van Oosterom, 1999;
Fayette and Blay, 2005), such that oncologists have increasingly
been able to define customised therapies. Paclitaxel has been found
to be active mainly in patients with angiosarcomas (Fata et al,
1999). Docetaxel combined with gemcitabine has been shown to
induce a 53% response rate in leiomyosarcomas of gynaecological Following suggestions that these agents may have a dose–
response relationship (O’Bryan et al, 1973; Le Cesne et al, 1995;
Cerny et al, 1999), various phase-I and -II trials were performed in
which they were administered at high doses, yielding response rates
of 40–66% (Frustaci et al, 1997; Patel et al, 1998; Reichardt et al,
1998; Maurel et al, 2004a). In some studies, median overall survival
was up to 24 months. There are also suggestions that applying
regimens with high response rates may render an initially inoperable
tumour operable, thereby improving the outcome (Judson, 2004). Study design and treatment plan Confidence intervals for response rates were calculated using the
Clopper–Pearson method. Time to progression was calculated for
all patients from the time of enrollment until disease progression
or death, with censoring at last follow-up. Survival times were
calculated from enrollment to death or last follow-up. The
Kaplan–Meier was used to estimate the median values of time to
progression and survival. Log-rank test was used to evaluate
differences in survival. Cox regression was used for exploratory
multivariate analysis of survival. The following variables, repre-
sented by appropriate binary indicators, were included in the
Cox regression: histology (leiomyosarcomas vs other), tumour
grade (3 vs other), response (complete/partial response vs other),
tumour location (localised vs metastatic disease) and salvage
therapy with curative intention (yes vs no). This was a multicentre, single-arm phase II trial (protocol SAKK
57/93). Chemotherapy cycles were repeated every 3 weeks as
follows: (i) ifosfamide 10 g m2 i.v. as continuous infusion over 5
days; (ii) mesna 2 g m2 day1 i.v. as continuous infusion over 6
days; (iii) doxorubicin 30 mg m2 day1 i.v. bolus given for 3 days
(total dose 90 mg m2), starting 4 h after initiation of ifosfamide
on day 1; and (iv) granulocyte-colony stimulating factor (G-CSF,
Filgrastim) 5 mg kg1 s.c. once daily as of day 6 for 10 days or – if
neutrophile counts were o500 ml1 by that time – for a total of
14 days. Inclusion criteria Pathology specimens were reviewed by an independent group of
expert pathologists led by LG to confirm diagnosis and tumour
grade based on the FNCLCC grading system (Guillou et al, 1997). Patients with histologically demonstrated advanced or metastatic
soft-tissue sarcoma were eligible for the study. Excluded were
patients with histological evidence of malignant mesothelioma,
chondrosarcoma, neuroblastoma, osteosarcoma, Ewing sarcoma
and embryonal rhadomyosarcoma. PATIENTS AND METHODS Cardiotoxicity was monitored by assessing cardiac ejection
fraction every 2–3 cycles and prior to chemotherapy cycles on
reaching
doxorubicin
cumulative
doses
of
4450 mg m2. Chemotherapy was discontinued if cardiac ejection fraction
dropped to o40%. Chemotherapy was not administered in
the presence of serum creatinine 4150 mmol l1 or creatinine
clearance o60 ml min1. The protocol was in accordance with the Declaration of Helsinki
principles and was approved by the respective responsible ethics
commissions. All patients included in the study gave their written
informed consent. Treatment of advanced soft-tissue sarcomas using a combined
strategy of high-dose ifosfamide, high-dose doxorubicin and
salvage therapies High-dose ifosfamide and doxorubicin in soft-tissue sarcoma
S Leyvraz et al 1343 were required during myelosuppression or in case of thrombo-
cytopenia-related bleeding, by reducing ifosfamide to 8 g m2; (ii)
in the presence of WHO grade X3 mucositis, by reducing
doxorubicin to 75 mg m2. The dose of doxorubicin was not
reduced after myelosuppression. Ifosfamide could be increased to
12 g m2 after normal recovery from myelosuppression without
febrile episodes requiring the use of i.v. antibiotics. Dose intensity
was calculated in mg m2 week1 for each patient (Hryniuk and
Goodyear, 1990). In a previous study, we defined the maximum tolerated dose
of doxorubicin combined with ifosfamide, administered every 3
weeks and supported by haematopoietic growth factors (Leyvraz
et al, 1998). The maximum tolerated dose of doxorubicin was
60 mg m2 with ifosfamide at 12 g m2 and could be increased to
90 mg m2 with ifosfamide at 10 g m2. Myelosuppression was
severe but resolved within 4 days. y
On this basis, we designed a multicentre nonrandomised phase-
II trial for advanced and metastatic soft-tissue sarcomas. Salvage
surgery and/or radiotherapy with the aim of removing all residual
tumour tissue was performed whenever such an approach was
considered appropriate to render patients free of disease. y
In case the MD Anderson score was X2, an attempt was made to
manage the neurotoxic event by administering methylene blue
rather than decreasing the dose of ifosfamide. Methylene blue was
then administered as an i.v. bolus of 50 mg repeated at the same
dose every 2 h, or as continuous infusion at 200 mg day1 diluted
in 5% dextrose, until the event resolved (Ku¨pfer et al, 1994). Clinical Studies Clinical Studies Statistical methods Additional eligibility criteria included the presence of measur-
able disease in one or two dimensions as demonstrated by physical
examination or imaging techniques. Ascites and pleural effusions
were not considered measurable. Patients were only included if
they were 18–70 years old and showed a performance status of p2
as defined by the Eastern Cooperative Oncology Group (ECOG)
(Oken et al, 1982). They were not included in the presence of
previous
chemotherapy,
previous
radiotherapy
on
recurrent
disease, or CNS metastases. Another exclusion criterion was
abnormal haematological, renal or hepatic function. Cardiac
function was required to be within the normal range on
echocardiography or multigated nuclear scanning. The primary end point of the study was the tumour response rate
based on WHO criteria. Simon’s optimal two-stage design was
used to calculate the number of patients to be included in the
phase-II trial, based on the premise that a response rate of o40%
would disqualify the treatment regimen, while a response rate
of X70% would render it a promising option. To obtain a
significance level of 5% at a power of 80%, a total number of 46
patients were required, with 16 of them in the stage-I and another
30 in the stage-II phase. After the first 16 patients had been
evaluated for their response to chemotherapy, it was decided that
the trial should be continued until the target number of 46 patients
was reached. At least 24 responses among the 46 patients were
required to consider the treatment promising. Response, toxicity assessment, dose modification and
pathology review Response in up to three measurable lesions was assessed by
tumour evaluation according to standard WHO criteria (World
Health Organization, 1979). Each observed complete or partial
response had to be confirmed at least 4 weeks later. CT scans were
obtained at baseline, after every other chemotherapy cycle, and
at the end of the treatment. Toxicity was assessed based on WHO
grading, and neurotoxicity based on MD Anderson scores
(Castellanos and Fields, 1986). & 2006 Cancer Research UK Response and survival Of the 46 patients who were evaluated for response to chemother-
apy, three were complete responders (6.5%) and 19 were partial
responders (41%). The overall response rate was thus 48% (98% CI:
33–63%). A total of 18 patients showed stable disease (39%), and
five patients showed progressive disease (11%). The response rate
was not different between localised and metastatic diseases (50
and 47%). A partial response was observed in two among the five
patients with large primaries. Broken up by histological tumour
types, overall response to chemotherapy was observed in 5/13
patients with leiomyosarcomas (38%, 95% CI: 14–68%), in 6/11
patients with malignant fibrohistiocytomas (54%, 95% CI: 23–
83%), in 4/4 patients with epithelioid sarcomas, in 3/4 patients with
angiosarcomas, in 1/4 patients with neurofibrosarcomas and in 0/4
patients with liposarcomas. Response rates were slightly higher
in grade 3 (14/25 ¼ 56%, 95% CI: 35–76%) than in grade 1–2
(8/20 ¼ 40%, 95% CI: 19–64%) tumours. A total of 20 patients were treated by salvage surgery and/or
radiotherapy following partial response (n ¼ 12) or stable disease
(n ¼ 8) after chemotherapy. These salvage regimens included both
surgery and radiotherapy (n ¼ 7), surgery (n ¼ 2) or radiotherapy
(n ¼ 1) in 10 patients with localised disease and surgery (n ¼ 6) or
radiotherapy (n ¼ 4) in 10 patients with metastatic disease. progressive disease after one cycle of the studied regimen (n ¼ 1);
cystosarcoma phyllodes of the breast with metastases in the lung,
partial response after six cycles of treatment (n ¼ 1); three GIST,
progression after two chemotherapy cycles (n ¼ 2) and death due to
intestinal haemorrhage during the first chemotherapy cycle (n ¼ 1). py (
)
p
After a median follow-up of 45 months, there were 31 cases of
tumour progression and 24 cases of tumour-related death. Other
causes
of
death
included
coronary
artery
disease
(n ¼ 1),
pulmonary embolism (n ¼ 2), septic shock (n ¼ 1) or remained
unknown (n ¼ 3). Overall, our strategy yielded a median time to
progression of 16.2 months (95% CI: 10.2–22.5) and a median
overall survival of 19.6 months (95% CI: 14.2–25.5) (Figure 1). Multivariate analysis including salvage therapy, histology, grade,
tumour localisation and response to chemotherapy as covariates
demonstrated that salvage therapy was the most significant
predictor for favourable outcomes (hazard ratio: 0.11; 95% CI:
0.04–0.30). Patient characteristics Fifty-one patients with advanced soft-tissue sarcomas, from seven
SAKK (Swiss Group for Clinical Cancer Research) centres were
enrolled in the study between 10/1995 and 1/2001. As gastro-
intestinal stromal tumour (GIST) is now recognised as a specific
entity, it was decided to exclude patients with GIST from analysis. On histopathological review, five patients were excluded from
analysis because of the following characteristics: melanoma, Subsequent treatment cycles were delayed by 1 or 2 weeks if
o3500 ml1 leukocytes or o100 000 ml1 platelets were measured
at day 22. Dose modifications were performed: (i) if i.v. antibiotics British Journal of Cancer (2006) 95(10), 1342 – 1347 & 2006 Cancer Research UK Table 1
Patient characteristics
Number of patients
46
Sex
Male
28
Female
18
Performance status
0
24
1
21
2
1
Sarcoma type
Leiomyosarcoma
13
Malignant fibrous histiocytoma
11
Angiosarcoma
4
Epithelioid sarcoma
4
Liposarcoma
4
Neurofibrosarcoma
4
Unclassified
2
Alveolar rhabdomyosarcoma
1
Synoviosarcoma
1
Extra-skeletal osteosarcoma
1
Malignant hemangiopericytoma
1
Differentiation grade
1
6
2
14
3
25
Unknown
1
Tumour location
Localised
14
Metastatic
32
Lung
21
Lymph nodes
13
Liver
6
Bone
3
Soft tissue
3
Pancreas
1
Kidney
1
Peritoneum
1
High-dose ifosfamide and doxorubicin in soft-tissue sarcoma
S Leyvraz et al
1344
Clinical Studies Table 1
Patient characteristics
Number of patients
46
Sex
Male
28
Female
18
Performance status
0
24
1
21
2
1
Sarcoma type
Leiomyosarcoma
13
Malignant fibrous histiocytoma
11
Angiosarcoma
4
Epithelioid sarcoma
4
Liposarcoma
4
Neurofibrosarcoma
4
Unclassified
2
Alveolar rhabdomyosarcoma
1
Synoviosarcoma
1
Extra-skeletal osteosarcoma
1
Malignant hemangiopericytoma
1
Differentiation grade
1
6
2
14
3
25
Unknown
1
Tumour location
Localised
14
Metastatic
32
Lung
21
Lymph nodes
13
Liver
6
Bone
3
Soft tissue
3
Pancreas
1
Kidney
1
Peritoneum
1
High-dose ifosfamide and doxorubicin in soft-tissue sarcoma
S Leyvraz et al
1344
Clinical Studies High-dose ifosfamide and doxorubicin in soft-tissue sarcoma
S Leyvraz et al 1344 of patients being affected) and a febrile episode occurred in 29%
(with demonstrable infection in 20%) of cycles. One patient died of
septic shock during his fourth cycle. WHO Xgrade 3 thrombo-
cytopenia and anaemia were observed in 39 and 27% of cycles,
respectively, affecting two-third of patients. 46 p
y
g
p
Neurological toxicity (MD Anderson score) was observed during
11 cycles (grade 1: n ¼ 8; grade 3: n ¼ 3). Response and survival Leiomyosarcomas were associated with significantly
better outcomes than all other histological tumour types (hazard
ratio: 0.27; 95% CI: 0.11–0.70). By contrast, tumour grade,
localisation and tumour response to chemotherapy had any
significant impact on survival (Figure 2). g
g
py y
Thus, a total of 46 patients (18 women and 28 men) could be
evaluated. Pertinent characteristics are summarised in Table 1. The median age of these patients was 51 (21–60) years. Except one
patient had a compromised performance status WHO grade 2,
all the others had a WHO grade 0 or 1. Leiomyosarcomas and
malignant fibrohistiocytoma (MFH) were the most frequent
histologies, each accounting for almost one-third of all tumour
types. Tumours were grade 3 in 54% and grade 2 in 30% of
patients. The six patients with grade 1 tumour (13%) diagnosed on
the biopsy of the primary had distant metastases at time of
inclusion. While most patients were diagnosed with meta-
static tumours, one-third presented with advanced localised
disease (large peripheral primary ¼ 5, inoperable primary ¼ 4,
recurrences ¼ 5). Toxicity and dose intensity A median of 4 (1–6) chemotherapy cycles per patient was
administered, and a total of 187 cycles were analysed for toxicity. Myelosuppression was the predominant type of toxicity. Severe
neutropenia WHO Xgrade 3 was observed in 59% of cycles (73% Patient characteristics All events could be
managed by administration of methylene blue and/or discontinua-
tion of ifosfamide. Transient elevations in creatinine levels were
observed in three patients. No cases of severe renal toxicity were
noted, although 17 cycles were associated with transient micro-
scopic haematuria. Mucositis occurred in 46% of cycles but
was generally moderate, reaching grade 3 or 4 in only 19 cycles
(10%). No cases of clinical heart failure were noted, although
two patients had significant drops in cardiac ejection fraction
from baseline. Doses were modified in 29% of cycles, invariably
because
of
toxicity. A
total
of
22%
chemotherapy
cycles
were delayed because of toxicity or upon patients’ request. The
dose intensity of ifosfamide could be maintained at a median of
2740mg m2 week1 (82% of the planned dose) and for doxorubicin
at a median of 26mg m2 week1 (86% of the planned dose). Clinical Studies British Journal of Cancer (2006) 95(10), 1342 – 1347 DISCUSSION It has successfully accomplished
this purpose by demonstrating a response rate of 48% (95% CI:
33–63%) in 46 patients with advanced soft-tissue sarcomas. Although this observed response rate did not reach the require-
ment being considered promising as defined by the statistical
design, it is in the range of similar response rates (40–66%) for
high-dose combination of ifosfamide and doxorubicin that have
been obtained in other phase-II studies (Frustaci et al, 1997; Patel
et al, 1998; Reichardt et al, 1998). The most recent trials have
yielded less impressive response rates (25–23%) but were designed
such that only one agent was administered at high dose levels
(Le Cesne et al, 2000; Worden et al, 2005). Indeed, the efficacy
of ifosfamide alone at standard dose (5 g m2) was shown to be
minimal (10%) in a randomised trial (van Oosterom et al, 2002). Moreover the best schedule of ifosfamide administration is still
unknown. There were suggestions that daily 2- to 4 h-infusion
might be more active than continuous infusion (Patel et al, 1997),
but might be also more toxic (Antman et al, 1989). doxorubicin (Leyvraz et al, 1998). The phase II trial herein
presented was required to confirm the increased response rate
suggested in that previous trial. It has successfully accomplished
this purpose by demonstrating a response rate of 48% (95% CI:
33–63%) in 46 patients with advanced soft-tissue sarcomas. Although this observed response rate did not reach the require-
ment being considered promising as defined by the statistical
design, it is in the range of similar response rates (40–66%) for
high-dose combination of ifosfamide and doxorubicin that have
been obtained in other phase-II studies (Frustaci et al, 1997; Patel
et al, 1998; Reichardt et al, 1998). The most recent trials have
yielded less impressive response rates (25–23%) but were designed
such that only one agent was administered at high dose levels
(Le Cesne et al, 2000; Worden et al, 2005). Indeed, the efficacy
of ifosfamide alone at standard dose (5 g m2) was shown to be
minimal (10%) in a randomised trial (van Oosterom et al, 2002). Moreover the best schedule of ifosfamide administration is still
unknown. There were suggestions that daily 2- to 4 h-infusion
might be more active than continuous infusion (Patel et al, 1997),
but might be also more toxic (Antman et al, 1989). DISCUSSION In a previous phase I trial, we identified the maximum tolerated
dose levels for combined administration of ifosfamide and British Journal of Cancer (2006) 95(10), 1342 – 1347 & 2006 Cancer Research UK High-dose ifosfamide and doxorubicin in soft-tissue sarcoma
S Leyvraz et al 1345 0.0
0.2
0.4
0.6
0.8
1.0
0
12
24
36
48
60
72
Proportion surviving
Months
Number at risk:
46
33
17
9
7
5
3
Figure 1
Kaplan–Meier curve for overall survival (interrupted line 95%
confidence interval). 0.0
0.2
0.4
0.6
0.8
1.0
0
12
24
36
48
60
72
Proportion surviving
Months
Number at risk:
46
33
17
9
7
5
3
Fi
1
K
l
M i
f
ll
i
l (i
d li
95% As expected, and despite the use of haematopoietic growth
factors, the combined myelotoxicity of both agents employed
in our study led to severe (WHO grade 3–4) neutropenia in
59% of cycles and 73% of patients. These episodes were of short
duration. Febrile neutropenia occurred in 29% of cycles. One
patient died of septic shock. Severe anaemia and thrombopenia
were observed in two-thirds of patients. Based on our results, we
conclude that these toxic events can be managed in a multicentre
setting if adequate experience is available in the participating
centres, but limited to patients aged p60 years and with a
performance status o2. p
Similar toxicity profiles, with severe neutropenia in 94–100% of
patients, were described in other trials (Patel et al, 1998; Reichardt
et al, 1998). Lower-dose combinations led to severe neutropenia in
87–90% and severe infection in 17% of patients (Le Cesne et al,
2000; Worden et al, 2005). One of these studies involved two toxic
deaths out of 40 patients, severe thrombopenia in 50–62% and
severe anaemia in approximately 50% of patients (Worden et al,
2005). Even
standard
dose
levels
(ifosfamide
6 g m2
and
doxorubicin 60 mg m2 and G-CSF) led to severe neutropenia in
49%, anaemia in 23%, and thrombopenia in 15% of patients
(Worden et al, 2005). In a large-scale EORTC trial, dose levels of
ifosfamide 5 g m2 and doxorubicin 50 mg m2 but without G-CSF
led also to severe neutropenia in 86%, and thrombopenia in 8% of
patients (Le Cesne et al, 2000). Clinical Studies Figure 1
Kaplan–Meier curve for overall survival (interrupted line 95%
confidence interval). DISCUSSION 0.0
0.2
0.4
0.6
0.8
1.0
0
12
24
36
48
60
72
Salvage treatment
No salvage treatment
Proportion surviving
Months
Number at risk (salvage/no salvage treatment):
20
18
14
8
7
5
3
26
15
3
1
0
0
0
Figure 2
Overall survival of patients treated by salvage surgery and/or
radiotherapy (aiming to eliminate all residual disease) in addition to
chemotherapy vs patients treated by high-dose chemotherapy only. 0.0
0.2
0.4
0.6
0.8
1.0
0
12
24
36
48
60
72
Salvage treatment
No salvage treatment
Proportion surviving
Months
Number at risk (salvage/no salvage treatment):
20
18
14
8
7
5
3
26
15
3
1
0
0
0 It is thus reasonable to conclude that myelosuppression should
be accepted as inherent in any ifosfamide-doxorubicin combina-
tion therapy. Therefore, these regimens should only be adminis-
tered in specialised centres (Benjamin, 1987). If severe toxicity is
the price to be paid for improved outcomes, it might be acceptable
after all. Median overall survival in the present study was 19.6 months,
with an estimated 5-year-survival rate of 30%. These results are
comparable with overall survival times of 18–25 months reported
in other intensive-dose trials (Frustaci et al, 1997; De Pas et al,
1998; Reichardt et al, 1998). They are presumably also better than
the 12 months obtained in standard-dose trials, even though the
respective data may not be suitable for direct comparisons
(Bramwell et al, 2003). The exploratory multivariate analysis
defined that leiomyosarcoma had a better outcome compared to
other histology subtypes. The prognostic value on survival of the
different histologies is yet unsettled. When standard chemotherapy
is used, the median overall survival was improved for liposarcoma
(Van Glabbeke et al, 1999), but 5-year survivors could be found
equally in all subtypes (Blay et al, 2003). If leiomyosarcomas have a
very low response rate (10%) with standard chemotherapy, in our
small series, as well as in other similar ones, the response rates
ranged between 30 and 75% (Frustaci et al, 1997; Reichardt et al,
1998; Maurel et al, 2004b), potentially explaining an improved
outcome. Figure 2
Overall survival of patients treated by salvage surgery and/or
radiotherapy (aiming to eliminate all residual disease) in addition to
chemotherapy vs patients treated by high-dose chemotherapy only. doxorubicin (Leyvraz et al, 1998). The phase II trial herein
presented was required to confirm the increased response rate
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(2000)
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phase
III
study
comparing conventional-dose doxorubicin plus ifosfamide vs high-
dose doxorubicin plus ifosfamide plus recombinant human granulocyte-
macrophage
colony-stimulating
factor
in
advanced
soft
tissue
sarcomas: A trial of the European Organization for Research and
Treatment of Cancer/Soft Tissue and Bone Sarcoma Group. ACKNOWLEDGEMENTS With these considerations in mind, high-dose chemotherapy
with G-CSF support could be defined as part of a multidisciplinary
strategy in the treatment of soft-tissue sarcomas, to be performed
at experienced institutions only. Its goal would be to induce the
most effective antitumour response available, thereby preparing This trial was partially supported by Baxter Oncology GmbH,
successor in right to ASTA Medica Oncologie, Switzerland. We are
indebted to Marianne Gonin for editorial assistance. Clinical Studies DISCUSSION The objection may be raised that our results were only possible
because we selected patients with favourable prognostic factors
and good performance status who were in a particularly good
condition to tolerate such an intensive and toxic approach (Van
Glabbeke et al, 1999). While this may be true, the EORTC has
demonstrated (based on 4% of 1888 patients) that complete
remission is not just a yardstick for chemotherapeutic success but
is really the most important predictor of favourable long-term
survival (Blay et al, 2003). y
Trials in which high-dose ifosfamide was combined with high-
dose anthracylines have yielded complete remission rates of
8–20% (Reichardt et al, 1998). In our study it was 6.5% and might
have accounted only marginally to the final results. However, a
complete remission should not be solely based on chemotherapy. Salvage surgery performed after chemotherapy should also be taken
into account, since patients in whom all residual disease is
surgically removed will do equally well (Reichardt et al, 1998). In
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Clinical and radiographic outcomes of supracondylar humerus fractures treated surgically by pediatric and non-pediatric orthopedic surgeons
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Journal of children's orthopaedics
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Keywords
Supracondylar humerus fracture Patients and methods
A retrospective cohort study of
pediatric patients with surgically managed supracondylar
humerus fractures was conducted. For clinical outcomes
analyses, 3 months of clinical follow-up were required,
resulting in a sample size of 90 patients (33 treated by
NPOs, 57 by POs). For radiographic outcomes analyses,
3 months of both clinical and radiographic follow-up were
required, resulting in a sample size of 57 patients (23
treated by NPOs, 34 by POs). J Child Orthop (2015) 9:45–53
DOI 10.1007/s11832-015-0642-3 J Child Orthop (2015) 9:45–53
DOI 10.1007/s11832-015-0642-3 ORIGINAL CLINICAL ARTICLE S. D. Dodds (&) M. A. Grey D. D. Bohl
E. M. Mahoney P. A. DeLuca
Department of Orthopaedics and Rehabilitation, Yale School of
Medicine, 800 Howard Ave., New Haven, CT 06519, USA
e-mail: seth.dodds@yale.edu Clinical and radiographic outcomes of supracondylar humerus
fractures treated surgically by pediatric and non-pediatric
orthopedic surgeons Seth D. Dodds • Monique A. Grey •
Daniel D. Bohl • Eamonn M. Mahoney •
Peter A. DeLuca Received: 30 June 2014 / Accepted: 8 February 2015 / Published online: 21 February 2015
The Author(s) 2015. This article is published with open access at Springerlink.com there were no differences between POs and NPOs in the
rates of the more meaningful and definitive outcomes, in-
cluding clinical complications, malreduction, and postop-
erative loss of reduction. Abstract Purpose
This study compares clinical and radiographic
outcomes of operatively managed pediatric supracondylar
humerus fractures between patients treated by pediatric
orthopedists (POs) and patients treated by non-pediatric
orthopedists (NPOs). Keywords
Supracondylar humerus fracture Introduction In the United States, there has been a trend towards treat-
ment of pediatric supracondylar humerus fractures by pe-
diatric
orthopedists
(POs)
rather
than
non-pediatric
orthopedists (NPOs) [1]. This is in spite of the fact that
there is a well-documented shortage of POs, with more
senior POs retiring than new recruits coming out of fel-
lowship [2, 3]. Moreover, in some geographic areas, there
exists a particular dearth of POs, leaving only NPOs to treat
these injuries. Research in other areas of pediatric ortho-
pedics has identified advantages of treatment by POs [4],
and the outcomes of the treatment of supracondylar
humerus fractures have been extensively studied with re-
gard to closed vs. open management [5–9], immediate vs. delayed treatment [10–14], and crossed vs. lateral pin
fixation [15–17]. Results
The rate of inadequate fracture fixation was
higher for patients treated by NPOs (43.5 %) than for pa-
tients treated by POs (14.7 %; p = 0.030), but rates of
clinical complications, malreduction, and postoperative
loss of reduction did not differ. Treatment with open re-
duction was more common for patients treated by NPOs
(33.3 %)
than
for
patients
treated
by
POs
(3.5 %;
p \ 0.001). Total operating room time was longer for pa-
tients treated by NPOs (110.9 min) than for patients treated
by POs (82.9 min; p \ 0.001). Conclusions
While patients treated by POs differed from
patients treated by NPOs with respect to several interme-
diate outcomes, including having a lower rate of open re-
duction and a lower rate of inadequate fracture fixation, Several studies have examined how surgeon experience
impacts the outcomes of supracondylar humerus fractures. One group showed that, among fellows, non-ideal reduc-
tions increased notably at case 7, correlating with increased
fellow independence in the operating room, with reversal
of the trend at case 15 [18]. Introduction Another group found that while
there was no poor outcome among 17 cases in which there
was direct involvement of the consultant in primary man-
agement, of the 54 cases in which primary management
was carried out independently by trainees without any 3 12 3 J Child Orthop (2015) 9:45–53 46 y p p
Full cohort for clinical analyses (minimum of 3 months of
clinical follow-up; N = 90)
Restricted cohort for radiographic analyses (minimums of 3 months of
clinical and radiographic follow-up; N = 57)
NPO (N = 33)
PO (N = 57)
p value
NPO (N = 23)
PO (N = 34)
p value
Average age (years)
5.9 ± 1.9 (3–10)
5.7 ± 2.0 (1–10)
0.678
5.8 ± 1.6 (4–9)
5.6 ± 2.2 (1–10)
0.800
Sex
0.510
0.018
Male
17 (51.5 %)
24 (42.1 %)
15 (65.2 %)
11 (32.4 %)
Female
16 (48.5 %)
33 (57.9 %)
8 (34.8 %)
23 (67.7 %)
Transfer from outside institution
0.435
0.724
No
24 (72.7 %)
46 (80.7 %)
20 (87.0 %)
27 (79.4 %)
Yes
9 (27.3 %)
11 (19.3 %)
3 (13.0 %)
7 (20.6 %)
Electively-scheduled outpatient
0.025
0.071
No
33 (100.0 %)
49 (86.0 %)
23 (100.0 %)
28 (82.4 %)
Yes
0 (0.0 %)
8 (14.0 %)
0 (0.0 %)
6 (17.7 %)
Fracture type
0.073
0.145
Type II
12 (36.4 %)
10 (17.5 %)
9 (39.1 %)
7 (20.6 %)
Type III
21 (63.6 %)
47 (82.5 %)
14 (60.9 %)
27 (79.4 %)
Ipsilateral upper extremity fracture
0.409
0.265
No
32 (97.0 %)
52 (91.2 %)
23 (100.0 %)
31 (91.2 %)
Yes
1 (3.0 %)
5 (8.8 %)
0 (0.0 %)
3 (8.8 %)
Both-bones forearm fracture
1
2
0
1
Distal radius fracture
0
3
0
2
Preoperative nerve injury
0.524
0.689
No
30 (90.9 %)
48 (84.2 %)
21 (91.3 %)
29 (85.3 %)
Yes
3 (9.1 %)
9 (15.8 %)
2 (8.7 %)
5 (14.7 %)
Anterior interosseous nerve
1
5
1
3
Median nerve
1
0
1
0
Radial nerve
0
2
0
2
Ulnar nerve
1
2
0
0
Pink, pulseless hand
0.409
0.265
No
32 (97.0 %)
52 (91.2 %)
23 (100.0 %)
31 (91.2 %)
Yes
1 (3.0 %)
5 (8.8 %)
0 (0.0 %)
3 (8.8 %)
Open fracture
1.000
1.000
No
33 (100.0 %)
57 (100.0 %)
23 (100.0 %)
34 (100.0 %)
Yes
0 (0.0 %)
0 (0 %)
0 (0.0 %)
0 (0 %)
Closed reduction in emergency room
0.082
0.510
No
33 (100.0 %)
51 (89.5 %)
23 (100.0 %)
32 (94.1 %)
6
J Child Orthop (2015) 9:45
1 3 J Child Orthop (2015) 9:45–53 47 consultant supervision, nine patients (17 %) developed
complications or needed reoperations [19]. Introduction Finally, a third
group found that among patients with severe fractures,
patients were more likely to be treated by open reduction if
treated by POs than if treated by NPOs; however, they
found no other significant differences between patients
treated by POs and patients treated by NPOs [20]. Full cohort for clinical analyses (minimum of 3 months of
clinical follow-up; N = 90)
Restricted cohort for radiographic analyses (minimums of 3 months of
clinical and radiographic follow-up; N = 57)
NPO (N = 33)
PO (N = 57)
p value
NPO (N = 23)
PO (N = 34)
p value
Yes
0 (0.0 %)
6 (10.5 %)
0 (0.0 %)
2 (5.9 %)
Duration of clinical follow-up (months)
10.2 ± 8.3 (3–26)
9.3 ± 7.3 (3–32)
0.562
N/A
N/A
N/A
Duration of radiographic follow-up (months)
N/A
N/A
N/A
13.3 ± 13.2 (3–48)
12.7 ± 12.4 (3–50)
0.879
Continuous variables have values given as mean ± standard deviation (range) and are compared using t tests. Categorical variables are compared using the Fisher exact test
NPO non-pediatric orthopedist, PO pediatric orthopedist, N/A not applicable As part of an effort to improve the quality of surgical
care, the orthopedic community should regularly ask itself
for which procedures sub-specialization may improve
outcomes. Answers to such questions can help to guide
case allocation, practice hiring, call schedules, and even the
decisions of graduating trainees and young graduates in-
volving which skill sets to pursue. It also can contribute in
general to our understanding of the impact of sub-spe-
cialization on the field. In this context, among pediatric patients treated op-
eratively for supracondylar humerus fractures, the study
that follows compares outcomes between patients treated
by NPOs and patients treated by POs. Our main hypotheses
were that patients treated by POs and patients treated by
NPOs would have different rates of clinical complications,
malreduction, and postoperative loss of reduction. Materials and methods Categorical variables are
compared using the Fisher exact
test
NPO Non-pediatric orthopedist,
PO Pediatric orthopedist the normal range to outside of the normal range was con-
sidered a loss of reduction if the change in the angle was
more than 6. If a change in the Baumann angle of less than
6 resulted in an abnormal value, the fracture was re-clas-
sified as initially malreduced. The rationale for this dis-
tinction is rooted in the observation that the Baumann angle
varies 6 for every 10 of humeral rotation on the AP ra-
diograph [25]. If, for example, a fracture had a marginally
normal Baumann angle of 82 immediately after surgery
and an abnormal Baumann angle of 86 at the time of fol-
low-up, this small 4 change is not likely to represent a true
loss of reduction, but rather an initial malreduction that was
not detected because of variation in radiographic technique. zero’’ to calculate the time elapsed between injury and
surgery. Some patients had been scheduled electively for
surgery as outpatients (and therefore bypassed the emer-
gency room); in these cases, the time of their injury (and,
when not recorded, the time of their office visit) was used
to calculate time elapsed between injury and surgery. The
range of motion at the time of final follow-up was noted
and categorized as functional or nonfunctional range of
motion. As defined by Morrey et al. [21], in order to be
categorized as having functional range of motion, patients
must have been able to attain elbow flexion through the
range of 30–130 and pronation/supination through the
range of 50–50. Categorical variables were analyzed using the Fisher
exact test and continuous variables with equal variance
were analyzed using the Student t test. Continuous vari-
ables with unequal variance were compared using the
Mann–Whitney U test. A p-value\0.05 was considered to
be statistically significant. All tests were two-tailed. Preoperative and postoperative radiographs were also
examined. Preoperative radiographs were used to classify
fracture type according to the Wilkins modification of the
Gartland classification system. If no preoperative radio-
graph was available, the fracture type as documented by the
surgeon in the operative report was used. Fracture fixation
technique was graded as adequate or inadequate according
to the recommendations of Skaggs et al. [22, 23]. Materials and methods A retrospective cohort study was conducted comparing
patients treated by NPOs with patients treated by POs. Patients were initially identified through a current proce-
dural terminology code search of our institution’s billing
database to identify patients who had supracondylar
humerus fractures operatively treated between January 1,
1994 and March 1, 2007. Among these identified cases,
inclusion criteria were (1) skeletal immaturity determined
by open physes and age less than 13 years, (2) documen-
tation of at least one preoperative and at least one post-
operative neurovascular examination, (3) documentation of
range of motion at follow-up, (4) adequate immediate
postoperative and follow-up radiographs, (5) fractures
lacking a separate condylar component, (6) fractures
lacking intra-articular or diaphyseal involvement, and (7)
at least 3 months of clinical follow-up. To be included in
radiographic outcomes analyses, patients must have also
had at least 3 months of radiographic follow-up. A PO was
defined as an orthopedic surgeon who had completed a
fellowship in pediatric orthopedic surgery. A NPO was
defined as an orthopedic surgeon who had not completed a
fellowship in pediatric orthopedic surgery. Emergency room records, inpatient charts, operative
reports, and outpatient charts were examined and relevant
data were extracted. The actual time of injury was rarely
available; for this reason, the triage time was used as ‘‘time 12 3 J Child Orthop (2015) 9:45–53 48 NPO (N = 33)
PO (N = 57)
p value
Time elapsed to surgery (h)
6.0 ± 4.5 (1.2–24.0)
18.7 ± 42.0 (0.8–288.0)
0.060
Open reduction
\0.001
No
22 (66.7 %)
55 (96.5 %)
Yes
11 (33.3 %)
2 (3.5 %)
Pin configuration
0.337
Crossed (medial and lateral)
26 (78.8 %)
39 (68.4 %)
Lateral
7 (21.2 %)
18 (31.6 %)
Convergent
0
1
Divergent
4
10
Parallel
3
5
Total operating room time (min)
110.9 ± 40.0 (60–215)
82.9 ± 24.6 (47–190)
\0.001
Length of hospital stay (days)
1.3 ± 0.5 (1–3)
1.1 ± 0.7 (0–3)
0.074 Table 2 Surgical and hospital
data (N = 90) Continuous variables have
values given as
mean ± standard deviation
(range) and are compared using
Mann–Whitney U tests (time
elapsed to surgery) or t tests
(total operating room time and
length of hospital stay). Materials and methods Fixation
was considered inadequate if any of the following were
noted on the postoperative radiographs: (1) pins crossing at
the fracture site, (2) a pin without bicortical purchase, or (3)
pins with minimal separation between their entrance sites. A fracture was considered to be malreduced if any of the
following criteria were met: (1) the anterior humeral line
passed either anterior or posterior to the capitellum, (2) the
distal fracture fragment was malrotated, or (3) the Baumann
angle was outside the range of normal values (64–82) [24,
25]. Loss of fracture reduction was determined by com-
paring the immediate postoperative and follow-up radio-
graphs. A change in position of the anterior humeral line
from transection of the capitellum in its middle, anterior, or
posterior one-third to a position anterior or posterior to the
capitellum (i.e., missing it altogether) was considered a loss
of reduction. A change in the Baumann angle from within Results ‘‘Any clinical Table 4 Qualities of iatrogenic nerve injuries (N = 90)
NPO (N = 33)
PO (N = 57)
Nerve injured1
Ulnar
2
5
Radial
0
2
Median
1
1
Pin configuration
Crossed
2
7
Lateral
1
0
NPO non-pediatric orthoaedist, PO pediatric orthopedist
1 One patient who was treated by a PO had combined nerve
symptoms
Table 5 Range of motion (N = 90)
NPO (N = 33)
PO (N = 57)
p value
Range of motion
0.255
Functional
29 (87.9 %)
54 (94.7 %)
Nonfunctional
4 (12.1 %)
3 (5.3 %)
Variables are compared using the Fisher exact test
NPO non-pediatric orthopedist, PO pediatric orthopedist and POs, with one exception: the proportion of patients
who were female was lower for patients treated by NPOs
(34.8 %) than for patients treated by POs (67.7 %;
p = 0.018; Table 1). Variables are compared using the Fisher exact test. ‘‘Any clinical
complications’’ is a composite outcome that is ‘‘Yes’’ for patients who
had at least one complication and ‘‘No’’ for patients who had no
complications Surgical management strategies and hospital courses are
compared between patients treated by NPOs and patients
treated by POs in Table 2. Treatment with open reduction
was more common for patients treated by NPOs (33.3 %)
than for patients treated by POs (3.5 %; p \ 0.001). Total
operating room time was longer for patients treated by
NPOs (110.9 min) than for patients treated by POs
(82.9 min; p \ 0.001). NPO non-pediatric orthopedist, PO pediatric orthopedist a
Iatrogenic nerve injury Qualities of iatrogenic nerve injuries are
detailed in Table 4 b
Infection The single patient with infection had a deep infection
with concomitant osteomyelitis that was diagnosed 6 weeks postop-
eratively and was treated successfully with incision, debridement, and
intravenous antibiotics. The patient went on to uneventful healing
with functional range of motion at the time of final follow-up Rates of complications are compared between patients
treated by NPOs and patients treated by POs in Table 3. Patients treated by NPOs and patients treated by POs did
not have different rates of individual complications and did
not have different rates of presence of any complications. Qualities of iatrogenic nerve injuries are detailed in
Table 4. c Reoperation The reoperation in the patient treated by an NPO was
an anterior elbow release for contracture. Results A total of 143 patients met initial inclusion criteria (criteria
numbered 1 through 6 listed in ‘‘Methods’’). Of these, 90
(62.9 %) had clinical follow-up of at least 3 months (cri-
terion numbered 7). These 90 patients represent the ‘‘full
cohort for clinical analyses,’’ as depicted in Table 1. Of
these patients, 33 were treated by NPOs and 57 were
treated by POs. Among these patients, there were no dif-
ferences in baseline characteristics between patients treated
by NPOs and POs, with one exception: the proportion of
patients who were electively scheduled outpatients was
lower for patients treated by NPOs (0.0 %) than for pa-
tients treated by POs (14.0 %; p = 0.025; Table 1). A total of 57 patients had both clinical follow-up of at
least 3 months and radiographic follow-up of at least 123 123 123 J Child Orthop (2015) 9:45–53 J Child Orthop (2015) 9:45–53 49 Table 3 Complications (N = 90)
NPO
(N = 33)
PO (N = 57)
p value
Iatrogenic nerve injurya
0.740
No
30 (90.9 %)
50 (87.7 %)
Yes
3 (9.1 %)
7 (12.3 %)
Infectionb
1.000
No
33 (100.0 %)
56 (98.3 %)
Yes
0 (0.0 %)
1 (1.8 %)
Reoperationc
1.000
No
32 (96.5 %)
54 (94.7 %)
Yes
1 (3.5 %)
3 (5.3 %)
Refracture
1.000
No
33 (100.0 %)
57 (100.0 %)
Yes
0 (0.0 %)
0 (0.0 %)
Deformityd
0.367
No
32 (97.0 %)
57 (100.0 %)
Yes
1 (3.0 %)
0 (0.0 %)
Compartment syndrome
1.000
No
33 (100.0 %)
57 (100.0 %)
Yes
0 (0.0 %)
0 (0.0 %)
Any clinical
complications
1.000
No
29 (87.9 %)
48 (84.2 %)
Yes
4 (12.1 %)
9 (15.8 %)
Variables are compared using the Fisher exact test. Results Reasons for each of the
three reoperations in patients treated by POs were (1) manipulation
under anesthesia for elbow stiffness, (2) incision and debridement for
deep infection (same patient as that described as having had infection
as a complication), and (3) medial pin removal for ulnar dysesthesias
(same patient as one of the patients described as having had iatrogenic
nerve injury as a complication) Rates of nonfunctional range of motion are compared
between patients treated by NPOs and patients treated by
POs in Table 5. Rates of nonfunctional range of motion did
not differ between patients treated by NPOs and patients
treated by POs. d Deformity The single patient who had a deformity had a noticeable
cubitus valgus deformity. Of note, the fracture was initially
inadequately reduced. At the time of final follow-up, the patient was
asymptomatic and had no functional limitations 3 months. These patients represent the ‘‘restricted cohort
for radiographic analyses,’’ as depicted in Table 1. Of these
patients, 23 were treated by NPOs and 34 were treated by
POs. Among these patients, there were no differences in
baseline characteristics between patients treated by NPOs Radiographic outcomes are compared between patients
treated by NPOs and patients treated by POs in Table 6. Of
note, unlike for all previously listed results, the following
analysis was conducted among the restricted cohort instead
of the full cohort. The restricted cohort required both a 123 12 3 50 J Child Orthop (2015) 9:45–53 Table 6 Radiographic
outcomes (N = 57)
Continuous variables have
values given as
mean ± standard deviation and
are compared using t tests. Results Categorical variables are
compared using the Fisher exact
test
NPO non-pediatric orthopedist,
PO pediatric orthopedist
NPO (N = 23)
PO (N = 34)
p value
Inadequate fracture fixation
0.030
No
13 (56.5 %)
29 (85.3 %)
Yes
10 (43.5 %)
5 (14.7 %)
Pins crossing at the fracture site
3
0
Pin without bicortical purchase
5
2
Pins with minimal separation between their entrance sites
0
3
Multiple factors
2
0
Malreduction
0.124
No
20 (87.0 %)
23 (67.7 %)
Yes
3 (13.0 %)
11 (32.4)
Abnormal Baumann angle
1
2
Anterior humeral line anterior or posterior to capitellum
0
4
Malrotation
2
5
Postoperative loss of reduction
0.058
No
19 (82.6 %)
33 (97.1 %)
Yes
4 (17.4 %)
1 (2.9 %)
Abnormal Baumann angle
2
1
Anterior humeral line anterior or posterior to capitellum
1
0
Malrotation
1
0
Postoperative Baumann angle ()
73.4 ± 5.0
74.1 ± 5.9
0.752
Follow-up Baumann angle ()
71.9 ± 5.5
72.6 ± 6.7
0.645
Change in Baumann angle ()
6.3 ± 4.3
5.1 ± 3.8
0.306 Table 6 Radiographic
outcomes (N = 57) NPO (N = 23)
PO (N = 34)
p value Continuous variables have
values given as
mean ± standard deviation and
are compared using t tests. Categorical variables are
compared using the Fisher exact
test
NPO non-pediatric orthopedist,
PO pediatric orthopedist call schedules. Supracondylar humerus fractures are the
most common operative fractures in children [26]; hence,
any potential advantages of treatment by POs could have
important implications for patient care. The purpose of this
study was to test for the presence of such advantages in a
cohort of surgically managed patients. In summary, this
study did not demonstrate differences between patients
treated by POs and patients treated by NPOs in the rates of
the most meaningful clinical and radiographic outcomes
(our main hypotheses), including clinical complications,
malreduction, and postoperative loss of reduction. There
were significantly higher rates of open reduction and
inadequate fracture fixation in patients treated by NPOs
than in patients treated by POs, but the differences in rates
of these intermediate outcomes appear to have had minimal
clinical consequence. minimum of 3 months of radiographic follow-up and a
minimum of 3 months of clinical follow-up. Results There were no
differences in radiographic outcomes between patients
treated by NPOs and patients treated by POs, with one
exception: patients treated by NPOs were more likely to
have inadequate fracture fixation (43.5 %) than patients
treated by POs (14.7 %; p = 0.030). Examples of adequate
and inadequate fracture fixation are shown in Figs. 1 and 2,
respectively. The case with adequate fixation (Fig. 1) was
appropriately reduced and had no postoperative loss of
reduction. The case with inadequate fixation (Fig. 2) had
pins with minimal separation between their entrance sites. It was also malreduced with the anterior humeral line an-
terior to the capitellum. Patients treated by NPOs and POs had some differences
in terms of surgical management and hospital course. Specifically, patients treated by NPOs were more likely
than those treated by POs to undergo open reductions,
typically for failure of closed reduction. This is likely re-
lated to the greater degree of experience that POs have with
these cases. Most studies that have reviewed the results of
supracondylar humerus fractures treated with open reduc-
tion have reported satisfactory clinical and radiographic
outcomes [5–9], so this difference may have minimal Discussion There has been a trend towards treatment of pediatric
supracondylar humerus fractures by POs rather than NPOs
[1], despite a shortage of POs in the workforce [2, 3]. The
quality of surgical care provided to orthopedic patients
might be improved by identification of any advantages
associated with sub-specialist performance of common
orthopedic procedures. Such improvements might manifest
through optimization of case allocation, surgeon hiring, or 12 123 123 51 J Child Orthop (2015) 9:45–53 Fig. 1 Adequate fracture fixation and appropriate reduction. a AP with pins. b Lateral with pins. c AP after healing. d Lateral after healing Fig. 1 Adequate fracture fixation and appropriate reduction. a AP with pins. b Lateral with pins. c AP after healing. d Lateral after healing Fig. 2 Inadequate fracture fixation with pins having minimal separation between their entrance sites and malreduction with the anterior humeral
line anterior to the capitellum. a Lateral with pins. b Lateral after healing Fig. 2 Inadequate fracture fixation with pins having minimal separation between their entrance sites and malreduction with the anterior humeral
line anterior to the capitellum. a Lateral with pins. b Lateral after healing 123 123 123 J Child Orthop (2015) 9:45–53 52 differences
in
baseline
characteristics
that
were
not
measured. clinical consequence in and of itself. The more than 20 min
longer that patients treated by NPOs spent in the operating
room is similarly most likely due to the difference in ex-
perience, and the clinical impact of the difference in this
intermediate outcome may be minimal. Despite showing some differences in intermediate out-
comes, including rates of open reduction and inadequate
fracture fixation, this study did not demonstrate differences
in the rates of most clinical and radiographic outcomes,
including clinical complications, malreduction, and post-
operative loss of reduction, between patients treated by
NPOs and patients treated by POs. This is reassuring in the
setting of the reported shortage of POs because, par-
ticularly in under-populated areas, access to POs may not
always be possible. The present study does not demonstrate differences in
the rates of clinical complications between patients treated
by NPOs and those treated by POs. This result is in line
with the only other study that has investigated this ques-
tion, Farley et al. [20]; however, those authors only com-
pared a composite rate of ‘‘any complications’’—they did
not compare the specific rates of individual complications
as compared here. Discussion The present study nearly doubles the
total number of patients that have been studied with respect
to this question. Conflict of interest
None. 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. Similarly, the present study does not demonstrate a
difference in the rate of nonfunctional range of motion
between patients treated by NPOs and those treated by
POs. This is an additional important piece of evidence to
suggest that outcomes may be similar after treatment by
NPOs and POs. This outcome was not reported on by
Farley et al. [20] and so is unique in the literature. References 1. Kasser JR (2005) Location of treatment of supracondylar frac-
tures of the humerus in children. Clin Orthop Relat Res 434:110–
113 1. Kasser JR (2005) Location of treatment of supracondylar frac-
tures of the humerus in children. Clin Orthop Relat Res 434:110–
113 Finally, the present study does not demonstrate differ-
ences in the majority of radiographic outcomes between
patients treated by NPOs and those treated by POs. Most
importantly, no significant differences were found in the
rates of fracture malreduction or postoperative loss of re-
duction between the two groups. This is a third piece of
evidence to suggest that outcomes may be similar after
treatment by NPOs and POs. Although this study found
higher rates of inadequate fracture fixation (fixation not
adhering to the recommendations of Skaggs et al. [22, 23])
in patients treated by NPOs, the implications of this are
likely minimal in the setting of similar rates of malreduc-
tion and postoperative loss of reduction, outcomes with
better defined clinical implications. Given the very high
rates of inadequate fracture fixation based on these criteria
(43.5 % for patients treated by NPOs and 14.7 % for pa-
tients treated by POs), and given the absence of observed
clinical consequences, these criteria may have limited
clinical relevance. 2. Flynn J (2006) Summer scholars programs: birthplace for a future
pediatric orthopaedist? Newsletter of the American Academy of
Pediatrics Section on Orthopaedics 6:6 3. Milbrandt T (2006) The supply and demand of pediatric ortho-
paedic surgeons. Current Opin Orthop 17:481–482 3. Milbrandt T (2006) The supply and demand of pediatric ortho-
paedic surgeons. Current Opin Orthop 17:481–482 4. Smith JT, Price C, Stevens PM, Masters KS, Young M (1999)
Does pediatric orthopedic subspecialization affect hospital uti-
lization and charges? J Pediatr Orthop 19:553–555 4. Smith JT, Price C, Stevens PM, Masters KS, Young M (1999)
Does pediatric orthopedic subspecialization affect hospital uti-
lization and charges? J Pediatr Orthop 19:553–555 5. Reitman RD, Waters P, Millis M (2001) Open reduction and
internal fixation for supracondylar humerus fractures in children. J Pediatr Orthop 21:157–161 5. Reitman RD, Waters P, Millis M (2001) Open reduction and
internal fixation for supracondylar humerus fractures in children. J Pediatr Orthop 21:157–161 6. Kaewpornsawan K (2001) Comparison between closed reduction
with percutaneous pinning and open reduction with pinning in
children with closed totally displaced supracondylar humeral
fractures: a randomized controlled trial. 123 References J Pediatr Orthop B
10:131–137 6. Kaewpornsawan K (2001) Comparison between closed reduction
with percutaneous pinning and open reduction with pinning in
children with closed totally displaced supracondylar humeral
fractures: a randomized controlled trial. J Pediatr Orthop B
10:131–137 7. Gruber MA, Hudson OC (1964) Supracondylar fracture of the
humerus in childhood. End-result study of open reduction. J Bone
Joint Surg Am 46:1245–1252 8. Fleuriau-Chateau P, McIntyre W, Letts M (1998) An analysis of
open reduction of irreducible supracondylar fractures of the
humerus in children. Can J Surg 41:112–118 The study does have limitations. First, as it was con-
ducted at a single institution, the surgeons who contributed
patients may not have been representative of other NPOs
and POs. Second, clinical and radiographic follow-up were
limited to 3 months; however, the duration of follow-up
was similar between patients treated by NPOs and patients
treated by POs, so we have no reason to believe that the
cases with limited follow-up would have necessarily biased
our results towards one type of practitioner or the other. Third, while the populations of patients treated by NPOs
and POs were similar in terms of most measured baseline
characteristics (Table 1), it is possible that there were 9. Kumar R, Kiran EK, Malhotra R, Bhan S (2002) Surgical man-
agement of the severely displaced supracondylar fracture of the
humerus in children. Injury 33:517–522 10. Leet AI, Frisancho J, Ebramzadeh E (2002) Delayed treatment of
type 3 supracondylar humerus fractures in children. J Pediatr
Orthop 22:203–207 11. Mehlman CT, Strub WM, Roy DR, Wall EJ, Crawford AH
(2001) The effect of surgical timing on the perioperative com-
plications of treatment of supracondylar humeral fractures in
children. J Bone Joint Surg Am 83-A:323–327 12. Gupta N, Kay RM, Leitch K, Femino JD, Tolo VT, Skaggs DL
(2004) Effect of surgical delay on perioperative complications
and need for open reduction in supracondylar humerus fractures
in children. J Pediatr Orthop 24:245–248 123 J Child Orthop (2015) 9:45–53 53 13. Iyengar SR, Hoffinger SA, Townsend DR (1999) Early versus
delayed reduction and pinning of type III displaced supracondylar
fractures of the humerus in children: a comparative study. J Orthop Trauma 13:51–55 20. Farley FA, Patel P, Craig CL, Blakemore LC, Hensinger RN,
Zhang L et al (2008) Pediatric supracondylar humerus fractures:
treatment by type of orthopedic surgeon. J Child Orthop 2:91–95 21. References Morrey BF, Askew LJ, Chao EY (1981) A biomechanical study
of normal functional elbow motion. J Bone Joint Surg Am
63:872–877 14. Sibinski M, Sharma H, Bennet GC (2006) Early versus delayed
treatment of extension type-3 supracondylar fractures of the
humerus in children. J Bone Joint Surg Br 88:380–381 22. Skaggs DL, Cluck MW, MostofiA, Flynn JM, Kay RM (2004)
Lateral-entry pin fixation in the management of supracondylar
fractures in children. J Bone Joint Surg Am 86-A:702–707 15. Kocher MS, Kasser JR, Waters PM, Bae D, Snyder BD, Hresko
MT et al (2007) Lateral entry compared with medial and lateral
entry
pin
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for
completely
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supracondylar
humeral fractures in children. A randomized clinical trial. J Bone
Joint Surg Am 89:706–712 23. Sankar WN, Hebela NM, Skaggs DL, Flynn JM (2007) Loss of
pin fixation in displaced supracondylar humeral fractures in
children: causes and prevention. J Bone Joint Surg Am 89:713–
717 16. Lee SS, Mahar AT, Miesen D, Newton PO (2002) Displaced pe-
diatric supracondylar humerus fractures: biomechanical analysis
of percutaneous pinning techniques. J Pediatr Orthop 22:440–443 24. Williamson DM, Coates CJ, Miller RK, Cole WG (1992) Normal
characteristics of the Baumann (humerocapitellar) angle: an aid
in assessment of supracondylar fractures. J Pediatr Orthop
12:636–639 17. Zionts LE, McKellop HA, Hathaway R (1994) Torsional strength
of pin configurations used to fix supracondylar fractures of the
humerus in children. J Bone Joint Surg Am 76:253–256 25. Keenan WN, Clegg J (1996) Variation of Baumann’s angle with
age, sex, and side: implications for its use in radiological
monitoring of supracondylar fracture of the humerus in children. J Pediatr Orthop 16:97–98 18. Liu RW, Roocroft J, Bastrom T, Yaszay B (2011) Surgeon
learning curve for pediatric supracondylar humerus fractures. J Pediatr Orthop 31:818–824 19. Padman M, Warwick AM, Fernandes JA, Flowers MJ, Davies
AG, Bell MJ (2010) Closed reduction and stabilization of
supracondylar fractures of the humerus in children: the crucial
factor of surgical experience. J Pediatr Orthop B 19:298–303 26. Beaty JH, Kasser JR (2005) Supracondylar fractures of the distal
humerus. In: Rockwood and Wilkins’ fractures in children, 5th
edn. Lippincott, Williams and Wilkins, Philadelphia, pp 577–615 12 12 123
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Making research data repositories visible: the re3data.org registry
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Abstract Researchers require infrastructures that ensure a maximum of accessibility, stability and reliability to facilitate working with
and sharing of research data. Such infrastructures are being increasingly summarized under the term Research Data
Repositories (RDR). The project re3data.org–Registry of Research Data Repositories–has begun to index research data
repositories in 2012 and offers researchers, funding organizations, libraries and publishers an overview of the
heterogeneous research data repository landscape. In July 2013 re3data.org lists 400 research data repositories and
counting. 288 of these are described in detail using the re3data.org vocabulary. Information icons help researchers to easily
identify an adequate repository for the storage and reuse of their data. This article describes the heterogeneous RDR
landscape and presents a typology of institutional, disciplinary, multidisciplinary and project-specific RDR. Further the article
outlines the features of re3data.org, and shows how this registry helps to identify appropriate repositories for storage and
search of research data. rkant P, Scholze F, Bertelmann R, Kindling M, et al. (2013) Making Research Data Repositories Visible: The re3data.org Registry. PLoS
0.1371/journal.pone.0078080 Editor: Hussein Suleman, University of Cape Town, South Africa Received May 28, 2013; Accepted September 6, 2013; Published November 4, 2013 Copyright: 2013 Pampel 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: The writing of this paper was supported by a grant from the German Research Foundation. 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: heinz.pampel@gfz-potsdam.de * E-mail: heinz.pampel@gfz-potsdam.de research supported wholly or in part by Federal funding should be
stored and publicly accessible to search, retrieve, and analyze’’ [5]. The European Commission is planning a similar requirement in
their 8th Framework Programme HORIZON 2020 [6]. Finding a
definition of the term research data that is valid for various
scholarly disciplines remains a challenge comparable with the
challenge to define a research data repository. What is meant by
research data differs according to research methods and the
character of research objects in the disciplines. Nevertheless, it is
important to examine the concept of research data as research
data repositories need to serve different academic and disciplinary
communities with their respective concepts of research data. Abstract Information infrastructure requirements arise from these contents
and user requirements. Making Research Data Repositories Visible: The
re3data.org Registry Heinz Pampel1*, Paul Vierkant2, Frank Scholze3, Roland Bertelmann1, Maxi Kindling2, Jens Klump1,
Hans-Ju¨ rgen Goebelbecker3, Jens Gundlach3, Peter Schirmbacher2, Uwe Dierolf3 1 Deutsches GeoForschungsZentrum GFZ, Library and Information Services (LIS), Potsdam, Germany, 2 Humboldt-Universita¨t zu Berlin, Berlin School of Library and
Information Science, Berlin, Germany, 3 Karlsruhe Institute of Technology (KIT), KIT Library, Karlsruhe, Germany November 2013 | Volume 8 | Issue 11 | e78080 Introduction In the debate on the access to and reuse of research data we
currently witness a dynamic development. Already in 2003 leading
research organizations worldwide declared the importance of
‘‘Open Access to Knowledge in the Sciences and Humanities’’ and
the relevance of research data as an integral part of scholarly
knowledge in the Berlin Declaration [1]. In 2007 the Organization
for Economic Co-operation and Development (OECD) published
‘‘Principles and Guidelines for Access to Research Data from
Public Funding’’, which ‘‘are intended to promote data access and
sharing among researchers’’ [2]. These are only two early
references of many to follow in a widespread and ongoing debate
that concerns diverse stakeholders in the scholarly system. The Royal Society joined this debate through their notable
report ‘‘Science as an open enterprise’’ that was published in 2012. In this report, the Royal Society asks scientists to make their data
accessible and usable in the sense of an ‘‘intelligent openness’’:
‘‘Where data justify it, scientists should make them available in an
appropriate data repository’’ [3]. This statement is echoed on a
political level. The European Commission demands from member
states that they pass policies to ensure that ‘‘research data that
result from publicly funded research become publicly accessible,
usable and re-usable through digital e-infrastructures’’ [4]. The
U.S. government went one step further. It obliged its national
research agencies to maximize access to digital research data. The
Office of Science and Technology Policy (OSTP) directs that
‘‘digitally formatted scientific data resulting from unclassified In the following, the term research data is defined as digital data
being a (descriptive) part or the result of a research process. This
process covers all stages of research, ranging from research data
generation, which may be in an experiment in the sciences, an
empirical study in the social sciences or observations of cultural
phenomena, to the publication of research results. Digital research
data occur in different data types, levels of aggregation and data
formats, informed by the research disciplines and their methods. With regards to the purpose of access for use and re-use of
research data, digital research data are of no value without their
metadata and proper documentation describing their context and
the tools used to create, store, adapt, and analyze them [7]. Making Research Data Repositories Visible and journals show to be the most effective influence. Data policies
require receivers of grants and authors of papers to ensure the
accessibility to the data generated within the scope of a project or
as the basis of a publication [8]. As an example, a ‘‘Data Sharing
Policy’’ requires National Science Foundation (NSF) applicants
‘‘to share with other researchers, at no more than incremental cost
and within a reasonable time, the primary data, samples, physical
collections and other supporting materials created or gathered in
the course of work under NSF grants.’’ [9] The NSF further
requires that measures for the implementation of this policy be
specified in a ‘‘Data Management Plan’’ [10]. The German
Research Foundation (DFG) also expects similar statements
concerning the handling of research data in project proposals
since 2010, whereby, whenever possible, consideration should be
given to ‘‘existing standards and data repositories’’ [11]. A similar
requirement can be found in the ‘‘Editorial Policies’’ of scholarly
journals publishers, such as Nature Publishing Group: ‘‘authors
are required to make materials, data and associated protocols
promptly available to others without undue qualifications.’’
Accessibility of the research data is supposed to be achieved ‘‘via
public repositories’’ [12]. and journals show to be the most effective influence. Data policies
require receivers of grants and authors of papers to ensure the
accessibility to the data generated within the scope of a project or
as the basis of a publication [8]. As an example, a ‘‘Data Sharing
Policy’’ requires National Science Foundation (NSF) applicants
‘‘to share with other researchers, at no more than incremental cost
and within a reasonable time, the primary data, samples, physical
collections and other supporting materials created or gathered in
the course of work under NSF grants.’’ [9] The NSF further
requires that measures for the implementation of this policy be
specified in a ‘‘Data Management Plan’’ [10]. The German
Research Foundation (DFG) also expects similar statements
concerning the handling of research data in project proposals
since 2010, whereby, whenever possible, consideration should be
given to ‘‘existing standards and data repositories’’ [11]. A similar
requirement can be found in the ‘‘Editorial Policies’’ of scholarly
journals publishers, such as Nature Publishing Group: ‘‘authors
are required to make materials, data and associated protocols
promptly available to others without undue qualifications.’’
Accessibility of the research data is supposed to be achieved ‘‘via
public repositories’’ [12]. Making Research Data Repositories Visible accessibility of the data with a maximum of persistence and
reliability. Such infrastructures can include so called data archives,
data centers, digital libraries, digital collections and the like. They
are collectively summarized under the term Research Data
Repositories (RDR). Up to now there was no comprehensive overview of this
infrastructures and their functionalities available. The project
re3data.org – Registry of Research Data Repositories change this
adverse situation. The project has begun to index research data
repositories in 2012 and offers researchers, funding organizations,
libraries and publishers a systematic overview of the heterogeneous
RDR landscape. In July 2013 re3data.org lists 400 research data
repositories. 288 of these are described in detail by a special
vocabulary, which was developed in the re3data.org project. In the
following we give an overview on the RDR landscape (section 2). Further, we describe the development of the registry, the features
of the re3data.org registry and explain how the registry helps to
identify appropriate repositories for storage and search of research
data (section 3). Introduction Data policies increasingly affect scientists and their handling of
research data and recommendations and mandates from funders November 2013 | Volume 8 | Issue 11 | e78080 November 2013 | Volume 8 | Issue 11 | e78080 PLOS ONE | www.plosone.org 1 Making Research Data Repositories Visible Research Data Repositories Landscape Although scientists agree with the potential benefit of data
sharing for the scientific progress, the majority is still reserved
when it comes to practical implementations [13,14]. Incentives,
such as proper citation of data, can help to foster the transition
[15]. The integration of data sharing in scholarly communication
offers high potential in this respect. In 2009 the European Commission concluded that: ‘‘The
landscape of data repositories across Europe is fairly heteroge-
neous, but there is a solid basis to develop a coherent strategy to
overcome the fragmentation and enable research communities to
better
manage,
use,
share
and
preserve
data’’
[20]. The
Commission characterizes the present landscape of information
infrastructures appropriately and clearly describes the need for
integrated and homogeneous research services. Research data could be made openly accessible via three
publication strategies [16]: RDR, and their corresponding services, are characterized by
their content (see section 1). They currently store a wide variety of
file formats under different conditions for access and reuse. Compared to the storage of research data, activities concerning
the standardization of repositories providing research publications
are far more established. The Open Archives Initiative (OAI) was
set up early to promote the standardization and networking of
institutional or disciplinary repositories providing open access to
textual information objects, such as research papers (pre- and post- N Publication of research data, as an independent information
object, through a repository [17]. N Publication of research data with textual documentation as a
so-called data paper [18]. N Publication of research data as enrichment of an interpretive
text publication (‘‘enriched publication’’) [19]. These publication strategies have in common that an informa-
tion
infrastructure
is
required,
which
ensures
storage
and Figure 1. Aspects of a Research Data Repository with the corresponding icons used in re3data.org. doi:10.1371/journal.pone.0078080.g001 Figure 1. Aspects of a Research Data Repository with the corresponding icons used in re3data.org. doi:10.1371/journal.pone.0078080.g001 November 2013 | Volume 8 | Issue 11 | e78080 2 Figure 2. The re3data.org icon system depicting all possible values for each icon. doi:10.1371/journal.pone.0078080.g002
Making Research Data Repositories Visible Making Research Data Repositories Visible Figure 2. The re3data.org icon system depicting all possible values for each icon. doi:10.1371/journal.pone.0078080.g002 Figure 2. The re3data.org icon system depicting all possible values for each icon. doi:10.1371/journal.pone.0078080.g002 RDR is approximately 30 million euro [25]. Research Data Repositories Landscape In order to guarantee
the sustained operation of the biomedical RDR landscape,
ELIXIR has been included in the European Strategy Forum on
Research Infrastructures (ESFRI). ESFRI is dedicated to the
strategic promotion of research infrastructures that are of central
importance for the competitiveness of the European Research
Area (ERA). It was already clear from the start of ESFRI in 2004
that research infrastructures are not only to be classified as
physical
infrastructures,
such
as research
ships
or particle
accelerators, but also as digital information infrastructures, such
as, ‘‘electronic archiving systems for scientific publications and
databases’’ [26]. prints), theses and dissertations [21]. In contrast the RDR
community lacks a comparable degree of standardization. y
p
g
Up to now, only a few studies investigated the global landscape
of research data repositories. A study on the characteristics of 100
RDR was published by Marcial & Hemminger in 2010 [22]. Schaaf made a similar attempt in 2011 [23]. A look at disciplinary
studies shows a large diversity among RDR, even on a disciplinary
level, with biomedicine offering an impressive number of RDR,
thereby shaping today’s landscape of research data infrastructures. A closer look at the practices in biomedicine shows that many of its
requirements can also be seen in other communities. The 2013
edition of the ‘‘Molecular Biology Database Collection’’ (http://
www.oxfordjournals.org/nar/database/a/) of the Nucleic Acids
Research journal presents 1512 infrastructures where biomedical
research data can be deposited [24]. 200 of these infrastructures
were closely examined in the scope of the European Life Science
Infrastructure for Biological Information Project (ELIXIR). These
200 repositories are operated by about 100 institutions with a total
staff of at least 350. A community of several hundred thousand
scientists uses these RDR. The annual direct cost for these 200 2.1 Typology of Research Data Repositories In the following, we present a typology of RDR. This
systematization was developed on the basis of a first analysis of
400 RDR (see section 3). Based on the widespread distinction
between institutional and disciplinary repository for scholarly
literature [27] we differentiate between institutional, disciplinary, November 2013 | Volume 8 | Issue 11 | e78080 PLOS ONE | www.plosone.org 3 Making Research Data Repositories Visible Figure 4. The hit list of a search. doi:10.1371/journal.pone.0078080.g004 pecies
[33]. PANGAEA
–
Data
Publisher
for
Earth
&
Environmental Sciences at the University of Bremen. PANGAE
gure 4. The hit list of a search. oi:10.1371/journal.pone.0078080.g004 Figure 3. The home page of the re3data.org search. doi:10.1371/journal.pone.0078080.g003 multidisciplinary, and project specific RDR [28]. The following
description of RDR outlines the differences between the four
repository types. This systematization helps to get an overview of
the varying concepts and strategies of infrastructures for the
permanent access and re-use of research data. sets were stored on the repository as of March 2013. Open Data
LMU (http://data.ub.uni-muenchen.de) is another example of an
institutional RDR from Germany. It was started in 2010 by using
the software ePrints and is available for all members of the LMU
Munich as a publication platform for research data [31]. This
repository stored 35 data sets as of March 2013. 2.1.1
Institutional
research
data
repositories. Insti-
tutional research data repositories are run by an institution such
as an university or research institution. On university level the
scope
is
multidisciplinary. Edinburgh
DataShare
(http://
datashare.is.ed.ac.uk) is an example of an institutional RDR from
the United Kingdom. This ‘‘online digital repository of multi-
disciplinary research data sets produced at the University of
Edinburgh’’ [29] is based on the DSpace software framework and
was developed in the period 2007 to 2009 [30]. A total of 61 data 2.1.2 Disciplinary research data repositories. Prominent
examples in the field of disciplinary RDR are GenBank or
PANGAEA. GenBank (http://www.ncbi.nlm.nih.gov/genbank)
started its service in 1982 [32] and defines itself as being a ‘‘public
database of nucleotide sequences and supporting bibliographic
and biological annotation’’. The National Center for Biotechnol-
ogy Information (NCBI) operates this infrastructure, providing
information on the nucleotide sequences of more than 250,000 November 2013 | Volume 8 | Issue 11 | e78080 PLOS ONE | www.plosone.org 4 Making Research Data Repositories Visible Figure 5. A detailed description of a Research Data Repository. doi:10.1371/journal.pone.0078080.g005 2.1.3 Multidisciplinary research data repositories. Along-
side disciplinary and institutional approaches there are also research
data repositories serving multidisciplinary needs. Figshare (http://
figshare.com) is a research data repository example that ‘‘allows
researchers to publish all of their data in a citable, searchable and
sharable manner.’’ [37] Figshare started in 2011 and is operated by
Digital Science, a Macmillan Publishers company [38]. A second
example is LabArchives (http://www.labarchives.com), a ‘‘web-
based electronic notebook software’’, operated by a private company,
that allows scientists ‘‘to store, organize, and publish [their] research
data’’ [39]. can be named as being exemplary here. It provides drilling data
that is created in the scope of the Scientific Continental Drilling
Program (ICDP) openly reusable [40]. The RDR of the Bern
Digital
Pantheon
Project
(http://www.digitalpantheon.ch/
repository) is another example. In this RDR high resolution
images and visualizations of the Pantheon in Rome are made
freely accessible. Due to the heterogeneous RDR landscape, which is outlined
here, it is often difficult for scholars to identify appropriate
repositories for the storage of and access to research data. Figure 4. The hit list of a search.
doi:10.1371/journal.pone.0078080.g004 Environmental Sciences at the University of Bremen. PANGAEA
started with the scope of being a ‘‘Paleoclimate Data Center’’ and
was funded by the German Federal Ministry of Education and
Research (BMBF) from 1994 to 1997 [35]. In 2011, PANGAEA
stored ‘‘about half a million data sets from all fields of geosciences’’
[36]. species
[33]. PANGAEA
–
Data
Publisher
for
Earth
&
Environmental Science (http://www.pangaea.de) is defined as
an ‘‘[o]pen access library aimed at archiving, publishing and
distributing georeferenced data from earth system research’’ [34]. This RDR is operated by Alfred Wegener Institute for Polar and
Marine Research (AWI) and MARUM – Center for Marine November 2013 | Volume 8 | Issue 11 | e78080 PLOS ONE | www.plosone.org 5 2.1.3 Multidisciplinary research data repositories. Along-
de disciplinary and institutional approaches there are also research
ata repositories serving multidisciplinary needs. Figshare (http://
gshare.com) is a research data repository example that ‘‘allows
h
bli h ll
f h i d
i
i bl
h bl
d
can be named as being exemplary here. It provides drilling dat
that is created in the scope of the Scientific Continental Drillin
Program (ICDP) openly reusable [40]. The RDR of the Ber
Digital
Pantheon
Project
(http://www.digitalpantheon.ch
i
) i
h
l
I
hi
RDR hi h
l
i
igure 5. A detailed description of a Research Data Repository. oi:10.1371/journal.pone.0078080.g005
Making Research Data Repositories Visib Making Research Data Repositories Visible Making Research Data Repositories Visible target of this project. Added value is created by adding to these
descriptions a quick and easy to use system of information icons
that describes elementary features of each RDR. Tenopir et al. [14] and the analysis of the ODE project [41] show
that the willingness to share data is often strong related to the need
of a supportive research data infrastructure. Repositories, which
are embedded in scholarly workflows and associated with incentive
systems can help to promote data sharing. Tenopir et al., for
example, conclude that in a survey of more than 1300 scientists,
that ‘‘a majority of respondents in almost all disciplines […] would
be willing to place at least some of their data into a central data
repository with no restrictions’’. One of the obstacle to this
willingness is the lack of knowledge by scholars on already existing
RDR. Project partners in re3data.org are the Library and Information
Services department (LIS) of the GFZ German Research Centre
for Geosciences, the Berlin School of Library and Information
Science at the Humboldt-Universita¨t zu Berlin and the KIT
Library at the Karlsruhe Institute of Technology (KIT). The three
project partners have a long standing working relationship with
the German Initiative for Network Information (DINI). Under the
auspices of DINI a policy paper on research data was already
published in 2009 [46]. The first phase of the project from January
2012 to December 2013 is funded by the German Research
Foundation (DFG). At this point re3data.org comes into action. Today, in most
academic disciplines it is difficult to gain a comparative overview
of existing RDR. Already existing registries like the OpenDOAR –
Directory of Open Access Repositories (http://www.opendoar. org) and the ROAR – Registry of Open Access Repositories
(http://roar.eprints.org) only contain a small share of research
data repositories (,5%) since both registries focus on repositories
for scholarly publications. In the last years websites like the OAD –
Open
Access
Directory
(http://oad.simmons.edu/oadwiki/
Data_repositories)
or
DataCite
(http://www.datacite.org/
repolist) started to list RDR. However, all of the mentioned
directories only provide rudimentary information about a RDR
and their services, such as a short description containing the
repository operator, discipline and URL. To overcome the
obstacles mentioned in the user surveys [13,14,41], it is necessary
to offer researchers, funding organizations, libraries and publishers
a systematic and easy-to-use overview of RDR. Making Research Data Repositories Visible This means, that in
contrast to the already existing directories a more detailed
description of a RDR is needed if a registry wants to deliver
essential information on access to or conditions of reuse of research
data. This description would take into account the disciplinary
focus of researchers looking for a place to deposit their research
data. It would also take into account the researcher’s provisions by
providing information on for how long this RDR has been online,
how it is funded, does the RDR have a policy and finally who is
responsible for the RDR. All of this information is necessary to
illustrate the trustworthiness of a RDR. The main goal of re3data.org is to offer researchers orientation
in the heterogeneous landscape of RDR, both in their role as data
producers and as data users. Other target groups are research
funders and infrastructure facilities, such as data centers and
academic libraries. Furthermore, re3data.org aims to make a
contribution to establishing a more coherent and integrated ‘‘eco
system of data repositories’’ [47]. The registry describes the
development of the worldwide RDR scene. This global overview
could, for example, be used to identify disciplines in which the
RDR landscape is still underdeveloped. When the project re3data.org started only a few lists of RDR
existed and listed only basic information, such as the name of the
repository, its operator, and its disciplinary focus. As a first step the
project collected and recorded information of approximately 400
infrastructures storing research data by December 2012. Already
existing lists of repositories, such as the lists of the OAD – Open
Access Directory were used alongside our own investigations. All
three project partners independently examined a subset of twenty
randomly selected RDR. This first analysis confirmed the
impression of an extremely heterogeneous RDR landscape and
served as a basis for the creation of a first draft of a schema to
describe RDR. The absence of a suitable schema required us to
develop a new metadata schema to describe RDR. In a second
step the schema was aligned with similar metadata schemes,
vocabulary elements were modified, and basic requirements for
RDR introduced. re3data.org – Registry of Research Data Repositories
RDR are expected to be of high relevance for researchers in the
near future. Making Research Data Repositories Visible The scientific and political demand for Open Science
[42,43], including open access to publicly funded research data
and results, is bound to fail without trustworthy, persistent and
sustainable infrastructures that support researchers to share their
research data. Surveys of RDR operators revealed uncertainty
about the financial security of these infrastructures for periods
longer than five years [13,44]. Thus, the current strategic research
development and funding can be considered as being inadequate. In July 2012 Version 1.0 of the vocabulary for the description of
RDR was published together with a documentation [48]. To
ensure transparency in the development of the vocabulary, as well
as to gain input and acceptance by the community of RDR
operators, comments on the vocabulary were not only requested
on the project website, but also via emails to various mailing lists. The feedback was very positive and in some cases very elaborate. The project received feedback from reBIND (http://rebind.bgbm. org), DataCite (http://www.datacite.org), and OpenAIREplus
(http://www.openaire.eu), among others. All comments were
analyzed and discussed by the project team and the suggestions
taken into consideration in the revision of the vocabulary leading
to version 2.0 of the vocabulary which was published in December
2012 [49]. The vocabulary covers the following aspects: A vision of how research data will be handled in 2030 was
described in a study commissioned by the European Commission
in 2010. According to this, researchers will then be able ‘‘to find,
access and process the data they need’’. In addition to this,
researchers gathering data will be able to ‘‘deposit their data with
confidence in reliable repositories’’, working on the basis of
international standards [45]. A glance at the present heteroge-
neous RDR landscape shows that the realization of this vision is a
central challenge for the scholarly system. N general information (e.g. short description of the RDR,
content types, keywords), N responsibilities (e.g. institutions responsible for funding,
content or technical issues), Against the background of the growing demand for data sharing
(see section 1) and the heterogeneous landscape of RDR (see
section
2),
the
re3data.org
–
Registry
of
Research
Data
Repositories initiative (http://re3data.org) aims to develop and
operate a directory of RDR. The indexed and structured
description of RDR of all domains in a web-based registry is the N policies (e.g. policies of the RDR, incl. there URL), N legal aspects (e.g. licenses of the database and datasets), N technical standards (e.g. 2.2 Need for Research Data Management Services and
Tools 2.1.4 Project specific research data repositories. The
landscape of RDR with a specific focus on the research data
resulting from particular research projects is also diverse. The
Scientific Drilling Database (SDDB) (http://www.scientificdrilling. org) operated by GFZ German Research Centre for Geosciences Studies on the researchers perspective showing a broad variety
of obstacles that affect scholars’ willingness to share their own data. The comprehensive studies by Kuipers & Van der Hoeven [13], PLOS ONE | www.plosone.org November 2013 | Volume 8 | Issue 11 | e78080 6 Making Research Data Repositories Visible Outlook With her statement ‘‘We start the era of open science’’ Neelie
Kroes, EU commissioner for the Digital Agenda (http://ec. europa.eu/digital-agenda), shows that openness will be the
paradigm
of
digital
science
[42]. The
promotion
of
this
development will require a permanent information infrastructure
that supports scientists in the sharing of their research data and
guarantees access and reuse of research data for the next-
generation of researchers. A set of icons has been developed to show the main
characteristics of a repository (Figure 1). The record of an RDR
in re3data.org shows up to seven icons (with the respective value)
according to the information gathered (Figure 2). This icon system
helps users to identify a suitable repository for the storage of their
data. In re3data.org researchers can clearly see the terms of access
and use of each RDR and other characteristics. The icons and
their meaning are explained in figure 1 and 2 and also on the
website (http://www.re3data.org/faq/). To provide a persistent registry all re3data.org project partners
guarantee the long-term operation of the registry. Based on the
feedback from stakeholders re3data.org will go on to develop new
features and services in the realm of research data management. Against this setting, a Memorandum of Understanding with
DataCite was signed in Spring 2012. DataCite, the initiative for
persistent identification of research data, is the result of a project
on data publication funded by the German Research Foundation
(DFG) in which one re3data.org partner was a consortium
member [17]. In the scope of this cooperation, the flow of
information between the two partners is particularly important. Consultation with related initiatives like Databib (http://databib. org) is ongoing. In addition to the technical and structural
development of the registry, re3data.org and its project partners
will continue to contribute to a closer integration and bigger
coherence of RDR. However, the icon system is not only useful to the researcher but
also to the operators of RDR, allowing them to compare
repositories and identify strengths and weaknesses of their own
infrastructures. This makes re3data.org also a tool to follow trends
in the development of RDRs. Furthermore the icons create an
incentive for RDR operating institutions to keep the information
about there repository up to date on re3data.org. Our first
experiences have shown, that the operators are very interested in a
correct and detailed representation of there repositories in
re3data.org. Acknowledgments The authors want to thank all project members (Gabriele Kloska, KIT;
Evelyn Reuter, KIT; Jessika Ru¨cknagel, HU; Markus Schnalke, KIT;
Edeltraud Schnepf, KIT; Angelika Semrau, KIT and Shaked Spier, HU)
for their support during the period of development of re3data.org. 1. Berlin Declaration (2003) Berlin Declaration on Open Access to Knowledge in
the Sciences and Humanities. Available: http://oa.mpg.de/openaccess-berlin/
berlindeclaration.html. Accessed 27 October 2009.
2. Organisation for Economic Co-operation and Development (OECD) (2007)
Principles and Guidelines for Access to Research Data from Public Funding. Outlook Especially the clear presentation of the repositories
features via the icon system seems to be an important reason for
the RDR operators to keep the information on there infrastructure
up to date. re3data.org offers two search possibilities: On the one hand a
free text search via a simple search box. In this free text search any
terms can be searched in the following data base fields: title,
additional title, description, keyword, subject, institution, remarks
extern (Figure 3). On the other hand the following filters can be
used to narrow down the search: subjects, content type, country,
certification, open access, persistent identifier and review status. (Figure 4), In the list of results each record includes the name of
the RDR, the subjects covered, a brief description of the content
and a set of icons visualizing key issues as well as the review status. A comprehensive view of the respective RDR record can be
obtained by clicking on the name of the repository (Figure 5). Although re3data.org is still in its starting phase, as of July 2013,
400 RDR have already been indexed in re3data.org out of which
288 have been reviewed. In the next project phase the focus will be
on improving the usability and implementing new features. Beyond the development of the registry, the project is dedicated
to the networking and standardization of research data deposito-
ries. The project strives to make all metadata in the registry
available for open use under the Creative Commons license CC0. In doing so, re3data.org contributes to the challenging path to
Open Science. RDR operators can suggest their infrastructures to be listed in
re3data.org via a simple application form. The project team
reviews and lists the proposed repositories in the directory. A
repository is indexed when the minimum requirements are met,
meaning that mode of access to the data and repository as well as
the terms of use must be clear explained on the repository pages. Due to the amount of metadata to be collected and the diverging
structure of RDR websites the indexing process is time-consuming. Only very few RDR have policies containing essential information
on its services, the designated community and the terms of use and N quality standards (e.g. certificates, audit processes), in some cases the operators of RDR have to be contacted to obtain
this information. Before a new record of a RDR is published in
re3data.org all gathered information is reviewed by a second team
member. This second step takes at least half as much time as the
indexing, however in terms of quality assurance it is absolutely
necessary. Based on these first lessons learned, the workflows will
be optimized and ways of obtaining feedback from RDR operators
improved. Technically a proper workflow management system will
cover all steps from ingest to publication of a RDR record
(including a persistent identifier). The
current
requirements
for
certification
and
auditing
procedures for RDR were also examined [50–54]. It became
clear that many of these requirements are not universally
applicable to RDR due to the heterogeneous needs in different
academic communities and a general lack of RDR standardiza-
tion. Consequently, re3data.org defined a low entry barrier for
RDR to included in the registry. For a repository to be indexed in
re3data.org, details on the access to and licensing of the research
data are indispensable. If these basic requirements are met the
RDR will be indexed and reviewed by the project team. A detailed
description of the requirements can be found in the re3data.org
vocabulary [49]. Author Contributions Wrote the paper: HP PV FS RB MK JK HJG JG PS UD. Conceived and
implemented the registry: HP PV FS RB MK JK HJG JG PS UD. 3. The Royal Society (2012) Science as an open enterprise. The Royal Society
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16 May 2013.
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the Sciences and Humanities. Available: http://oa.mpg.de/openaccess-berlin/
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Certificate Document and Publication Services 2010. 3.0 ed. Go¨ttingen. PLOS ONE | www.plosone.org 9 November 2013 | Volume 8 | Issue 11 | e78080 November 2013 | Volume 8 | Issue 11 | e78080 Making Research Data Repositories Visible Making Research Data Repositories Visible Making Research Data Repositories Visible PLOS ONE | www.plosone.org November 2013 | Volume 8 | Issue 11 | e78080 PLOS ONE | www.plosone.org 10
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Comparative study of the Neurotoxic Effects of Pregabalin versus Tramadol in Rats
|
Research Square (Research Square)
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Comparative study of the Neurotoxic Effects of Pregabalin
versus Tramadol in Rats Ahmed E. Elsukary
(
Ahmed.elsukry@mans.edu.eg
)
Mansoura University
Mohammad A. El-Kattan
Mansoura University
Ahmed M. N. Z. Helaly
Yarmouk University
Amal A. El Bakary
Mansoura University
Maha E. Moustafa
Mansoura University Ahmed E. Elsukary
(
Ahmed.elsukry@mans.edu.eg
)
Mansoura University
Mohammad A. El-Kattan
Mansoura University
Ahmed M. N. Z. Helaly
Yarmouk University Comparative study of the Neurotoxic Effects of Pregabalin
versus Tramadol in Rats Research Article Page 1/18 Page 1/18 Abstract Background: In Egypt, both pregabalin and tramadol misuse increased in the last decade. Although many studies have
confirmed the neurotoxic effects of tramadol, those of pregabalin are understudied. im of the study: evaluation of the neurotoxic effects of pregabalin compared with tramadol. Material and method: Thirty male albino rats were included in this experimental study, and they were randomly allocated into
three equal groups; Group I (normal saline), Group II (Tramadol addicted), and Group III (pregabalin addicted). All rats received
the commenced drugs for 1 month. Open-field tests were performed on the day of scarification, and after that, cortical samples
were taken for immunohistochemical analysis and quantification of dopamine receptors' gene expression. Results: The addicted groups showed a significant decrease in weight gain at the end of the study. Open-field testing showed
the upper hand of controls regarding all of the tested parameters. Tramadol has a more negative impact on the locomotor
parameters compared with pregabalin. Both drugs induced relatively low dopamine-1 receptors (D1Rs) expression to dopamine-
2 receptors (D2Rs), mimicking the schizophrenia model. Conclusion: Both tramadol and pregabalin were associated with neurotoxic effects in male albino rats. These effects were less
noticed with pregabalin. It is suggested that long-term abuse may end in psychosis. Introduction Substance misuse is a common serious problem in adolescents, and it eventually leads to crucial psychosocial, medical, and
legal problems (Rabie et al., 2020). Over the previous two decades, the prevalence of this problem has shown a sharp rise in
Egypt due to socioeconomic instability (Yassa & Badea, 2019). The prevalence of substance abuse is 0.8% in the Egyptian
population aged between 15 and 64 years, according to the World Health Organization (Hussien et al., 2022). Tramadol is a centrally acting analgesic that has a weak opioid receptor agonistic action. It also inhibits the reuptake of
serotonin and norepinephrine (Subedi et al., 2019). Since 2008, tramadol addiction has resulted in increased admissions to
Egyptian addiction treatment facilities (Abolmaged et al., 2013). According to a previous Egyptian study conducted in Zagazig
city, tramadol misuse was reported by 40% and 21% of temporary and permanent cleaners in the tested governmental
hospitals (Abbas et al., 2013). This motivated the Egyptian health authorities in 2012 to move this medication from schedule three to one on the list of highly
addictive substances (Bassiony et al., 2016). With the exception of controlled pharmaceuticals, any medicine can be purchased
without a prescription in Egypt, as well as in other nations in the Middle Eastern region (Wazaify et al., 2017). This led to a marked diversion to the misuse of other substances, including pregabalin and certain ophthalmic topical
medications (e.g., cyclopentolate), which have sympathetic, anticholinergic, or antihistaminic properties (Al-Husseini et al.,
2018). Pregabalin is a centrally acting γ-aminobutyric acid (GABA) analog that is often prescribed for patients with neuropathic pain,
epilepsy, fibromyalgia, and some anxiety disorders (Evoy et al., 2021). Off-label uses were for hypnotic-dependent insomnia,
alcohol dependence, and withdrawal of benzodiazepines (Cairns et al., 2019). It binds to voltage-gated calcium channels
leading to an increase in the levels of neuronal GABA (Taylor & Harris, 2020). In the last years, this medication has emerged as
an illicit drug with numerous reports of misuse around the world (Driot et al., 2016; Gahr et al., 2013; Grosshans et al., 2010;
Halaby et al., 2015), including Egypt (Abdelghani et al., 2020). Euphoria and withdrawal symptoms have been reported with its
prolonged administration in high doses (Carrus & Schifano, 2012; Chiappini & Schifano, 2016; Martinotti et al., 2013; Schifano,
2014). Sample size The sample size was calculated using the Power Analysis Sample Size software program (PASS) version 15.0.5 for windows,
with the relative expression of dopamine-1 receptors (D1Rs) as our primary outcome. The expected difference (The effect size)
was assumed to be 0.6 in the relative expression of D1Rs in the tramadol group compared to the control group, with an alpha
level of 0.05 and a target power of 80 %. The estimated needed sample size was 21 rats. For more accuracy, the total number
increased to 30 rats (10 rats in each group). Study design This prospective experimental research was conducted at Mansoura University following approval from the Local Ethical
Committee and Institutional Review Board (IRB) of Mansoura medical school (code number is MD/19.09.229). The current
study followed the National Research Council's Guide for the Care and Use of Laboratory Animals. Animals and experimental protocol Thirty healthy male albino rats (200-250g) were included in the current research. They were put in plastic cages under a
standard light/dark cycle at a constant temperature of 25°C. The standard laboratory diet and water were used for feeding. Animals were randomly divided into three groups (10 rats each). In Group I (Control group), each animal received 1 ml of normal
saline per day orally by gavage. In Group II (Tramadol treated group), each animal received a starting dose of 7.2 mg/day of
tramadol (tramadol hydrochloride 225 mg in each tablet, October Pharma Co., Giza, Egypt) orally by gavage. The dose was
increased by adding the starting dose every three days till the experiment ended (30 days). Group III (Pregabalin treated group):
each animal had received a starting dose of 10.8 mg/day of pregabalin (each capsule contains 50 mg pregabalin powder,
Lyrica®, Pfizer, Cairo, Egypt under license of Pfizer Inc., USA) orally by gavage. The dose was increased by adding the starting
dose every three days till the experiment ended (30 days). The starting dose of tramadol was equivalent to the therapeutic dose
of tramadol in humans (400 mg /day) (Badawy et al., 2014), and the starting dose of pregabalin was equivalent to the
therapeutic dose of pregabalin in humans (600 mg /day) (Ryvlin et al., 2008). The conversion was conducted according to
Paget's equation (Paget & Barnes, 1964) (The therapeutic dose for a rat weighing 200 gm = 18/1000 x adult human therapeutic
dose). At the end of the experiment, the weight of the rats in each of the study groups was measured and compared with the weight at
the beginning of the study. Male albino rats were subjected to the open field test at the end of the experiment to assess their
locomotor activity (Huang et al., 2018). Introduction Pregabalin is a centrally acting γ-aminobutyric acid (GABA) analog that is often prescribed for patients with neuropathic pain,
epilepsy, fibromyalgia, and some anxiety disorders (Evoy et al., 2021). Off-label uses were for hypnotic-dependent insomnia,
alcohol dependence, and withdrawal of benzodiazepines (Cairns et al., 2019). It binds to voltage-gated calcium channels
leading to an increase in the levels of neuronal GABA (Taylor & Harris, 2020). In the last years, this medication has emerged as
an illicit drug with numerous reports of misuse around the world (Driot et al., 2016; Gahr et al., 2013; Grosshans et al., 2010;
Halaby et al., 2015), including Egypt (Abdelghani et al., 2020). Euphoria and withdrawal symptoms have been reported with its
prolonged administration in high doses (Carrus & Schifano, 2012; Chiappini & Schifano, 2016; Martinotti et al., 2013; Schifano,
2014). From our experience at the Toxicology Unit, Mansoura University Emergency Hospital, many cases presented with an acute
overdose of pregabalin who reported a history of regular chronic use of pregabalin. In April 2019, the Egyptian authorities added From our experience at the Toxicology Unit, Mansoura University Emergency Hospital, many cases presented with an acute
overdose of pregabalin who reported a history of regular chronic use of pregabalin. In April 2019, the Egyptian authorities added Page 2/18 Page 2/18 pregabalin to the controlled medication list (Shokry et al., 2020). Moreover, a warning regarding its misuse has been added by
the European Union to the Summary of Product Characteristics (Evoy et al., 2017). pregabalin to the controlled medication list (Shokry et al., 2020). Moreover, a warning regarding its misuse has been added by
the European Union to the Summary of Product Characteristics (Evoy et al., 2017). Currently, the is an evident lack of knowledge regarding the addictive and neurotoxic properties of pregabalin. Moreover, there is
a clear paucity of studies comparing its harmful effect to tramadol. This was a good motive for us to conduct the present study. The aim of this work is to track the dopaminergic receptor expression as a common mechanism of addiction. Tramadol has
been selected as a positive control of stimulation of the dopaminergic pathway and inducer of neuroinflammation. Histological and immunohistochemical studies Light microscopic study: 4-5 µm paraffin sections were obtained and then stained with: Light microscopic study: 4-5 µm paraffin sections were obtained and then stained with: Hematoxylin and eosin (HX&E) stains: for the routine histological examination (Bancroft & Layton, 2018) Hematoxylin and eosin (HX&E) stains: for the routine histological examination (Bancroft & Layton, 2018) Periodic acid Schiff (PAS) stain: to assess glycogenosis and other metabolic abnormalities associated with
neurodegeneration (Badawy et al., 2014; Layton & Bancroft, 2018). Congo red stain: for assessing the β-pleated-sheet structure of amyloid (an indicator of immune degeneration) (Layton &
Bancroft, 2018; Nobakht et al., 2011). Congo red stain: for assessing the β-pleated-sheet structure of amyloid (an indicator of immune degeneration) (Layton &
Bancroft, 2018; Nobakht et al., 2011). Immunohistochemical study: Paraffin sections were immunologically stained for P53 (a marker for apoptosis and DNA integrity) and Ki 67 (a marker for
proliferation, neurogenesis, and regeneration), and glial fibrillary acidic protein (GFAP). Sampling Table 1: The primer sequence of the studied genes Table 1: The primer sequence of the studied genes Table 1: The primer sequence of the studied genes
Dopamine D1 receptor
Forward
5′- TCCTTCAAGAGGGAGACGAA- 3′
Reverse
5′- CGCCTCCTTCAGTGCGTGGT-3′
Dopamine D2 receptor
Forward
5′- TGAACCTGTGTGCCATCAGCA - 3′
Reverse
5′- TTGGCTCTGAAAGCTCGACTG -3′
Dopamine D4 receptor
Forward
5′- GATGTGTTGGACGCCTTTCT - 3′
Reverse
5′- TCGGCATTGAAGATGGTGTA -3′
Dopamine D5 receptor
Forward
5′- CCACATGATACCGAATGCAG - 3′
Reverse
5′- CACAGTCAAGCTCCCAGACA -3′ Table 1: The primer sequence of the studied genes
Dopamine D1 receptor
Forward
5′- TCCTTCAAGAGGGAGACGAA- 3′
Reverse
5′- CGCCTCCTTCAGTGCGTGGT-3′
Dopamine D2 receptor
Forward
5′- TGAACCTGTGTGCCATCAGCA - 3′
Reverse
5′- TTGGCTCTGAAAGCTCGACTG -3′
Dopamine D4 receptor
Forward
5′- GATGTGTTGGACGCCTTTCT - 3′
Reverse
5′- TCGGCATTGAAGATGGTGTA -3′
Dopamine D5 receptor
Forward
5′- CCACATGATACCGAATGCAG - 3′
Reverse
5′- CACAGTCAAGCTCCCAGACA -3′ Histological and immunohistochemical studies Sampling Chloroform was used to anesthetize the rats before they were sacrificed. The brains were then carefully retrieved and cleaned in
normal saline. The left cerebral hemispheres were fixed in 10% neutral buffered formalin and processed for both light
microscopic and immunohistochemical studies. The right cerebral hemispheres were used (within 24 hours after sacrificing the
rats) for RNA extraction. Reverse transcription-quantitative polymerase chain reaction (RT-qPCR) Page 3/18 Page 3/18 Page 3/18 The expression of various messenger RNAs (mRNAs) of dopaminergic receptors of different target genes (D1, D2, D4, and D5)
was performed via RT-qPCR. Total RNA was extracted using (RNeasy® Mini Kit, Quiagen, Cat. No. 74104) while the miRNA
extraction was performed using (miRNeasy® Mini Kit, Quiagen, Cat. No.217004). Using a High-Capacity cDNA Reverse
Transcription Kit, the extracted RNA (Total RNA and miRNA) was converted to complementary DNA (cDNA) and kept at -20 °C
for future research. The triple qPCR reaction mixture (total 20 l) mainly consisted of 2 μl (10 pmol/l) forward and reverse
multiple genes primers, 2 μl cDNA template, and 10 μl SYBR green PCR master solution (Thermo Scientific, Lithuania). Each
reaction was amplified for 40 cycles. Table (1) shows the primer sequences for the genes used in the research. The cycle
threshold (Ct) value of the control gene, glyceraldehyde 3-phosphate dehydrogenase, was used to normalize the Ct values for
each target gene (GAPDH). The Ct value of the control gene, glyceraldehyde 3-phosphate dehydrogenase (GAPDH), was used to
normalize the Ct values for each target gene. The comparative ΔΔCT approach was used to determine the expression of several
target genes. For each of the target genes, relative expression was calculated. Morphometric analysis Page 4/18
ImageJ 1.47v software (National Institutes of Health, USA) was used to analyze the number of P53 positive cells and the
percentage area of Ki 67 and GFAP immunostaining. In the analysis process, three perceptive non-overlapping fields from immunostaining sections from each rat within the three groups were assessed, taking the mean of the three readings to
represent each rat immunostaining sections from each rat within the three groups were assessed, taking the mean of the three readings to
represent each rat. Statistical analysis The data collected were coded, processed, and analyzed with SPSS version 27 for Windows®. The Kolmogorov-Smirnov test
was used to determine the normality of quantitative data. Parametric data were expressed as mean ± standard deviation, while
the non-parametric data were expressed as median (Range). To compare three groups with normally distributed quantitative
variables, the One-way analysis of the variance (One-way ANOVA) was used, and the Kruskal Wallis test was applied with non-
parametric data. For all applied tests, p values less than 0.05 were considered significant. Results Initial body weight was statistically comparable between the three groups. Nonetheless, final body weight showed a significant
decline in the addictive groups (p < 0.001). The percent of body weight increase was significantly higher in controls compared
to the other two groups (Table 2). of body weight (Grams) of the studied rats within different groups. Table (2): Analysis of body weight (Grams) of the studied rats within different groups. Table (2): Analysis of body weight (Grams) of the studied rats within different groups. Table (2): Analysis of body weight (Grams) of the studied rats within different groups. Group I (Control group)
(n=10)
Group II
(Tramadol group)
(n=10)
Group III
(Pregabalin group)
(n=10)
p-value
Initial body weight (Gram)
201.20 ± 4.98
200.10 ± 7.25
201.60 ± 4.22
0.828
Final body weight (Gram)
245.30 ± 6.85
219.10 ± 6.31 #
238 ± 5.52 # $
< 0.001
Percent of change in the body weight (%)
22.02 ± 5.37
9.55 ± 2.51 #
18.11 ± 4.01 $
< 0.001
#: statistically significant in relation to Group I (Control group)
$: Statistically significant in relation to Group II (Tramadol group) Open-field testing showed the superiority of the control group regarding all of the tested parameters. It was also evident that
ramadol has a more negative effect on the open field-testing variables compared with the pregabalin effect. Open-field testing showed the superiority of the control group regarding all of the tested parameters. It was also evident that
tramadol has a more negative effect on the open field-testing variables compared with the pregabalin effect. The speed, the total distance traveled, and the number of line crossings showed a statistically significant decrease in the
tramadol and pregabalin groups as compared to the control group. Also, these parameters showed a statistically significant
decrease in the tramadol group as compared to the pregabalin group. On the other hand, the number of immobile episodes and the time spent in the peripheral zone showed a statistically significant
increase in the tramadol and pregabalin groups as compared to the control group. Also, these parameters showed a statistically
significant increase in the tramadol group as compared to the pregabalin group (Table 3). Results Table (3): Open field test results of the studied rats within different groups Page 5/18 Page 5/18 Group I (Control group)
(n=10)
Group II
(Tramadol group)
(n=10)
Group III
(Pregabalin group)
(n=10)
p value
Speed (cm/s)
2.21 ± 0.19
0.81 ± 0.11 #
1.50 ± 0.12 # $
< 0.001
Total distance travelled (m)
6.62 ± 0.58
2.41 ± 0.33 #
4.50 ± 0.37 # $
< 0.001
Number of Line crossing
54.50 ± 7.06
20.70 ± 2.75 #
35.30 ± 5.83 # $
< 0.001
Number of Immobile episodes
6 (4-9)
16 (12-17) #
10 (7-13) # $
< 0.001
Time in the peripheral zone (Seconds)
240.65 ± 6.40
286.33 ± 8.05 #
272.84 ± 4.23 # $
< 0.001
#: statistically significant in relation to Group I (Control group)
$: Statistically significant in relation to Group II (Tramadol group) Regarding the dopaminergic gene expression, the tested four genes showed statistically different expressions among the three
groups. Both dopamine-1 receptors (D1Rs) and dopamine-5 receptors (D5Rs) expressions showed a significant decline in
groups II and III compared to controls. However, the expression was much decreased in association with tramadol (group II). On the other hand, dopamine-2 receptors (D2Rs) and dopamine-3 receptors (D4Rs) showed a significant increase in both Regarding the dopaminergic gene expression, the tested four genes showed statistically different expressions among the three
groups. Both dopamine-1 receptors (D1Rs) and dopamine-5 receptors (D5Rs) expressions showed a significant decline in
groups II and III compared to controls. However, the expression was much decreased in association with tramadol (group II). groups II and III compared to controls. However, the expression was much decreased in association with tramadol (group II). On the other hand, dopamine-2 receptors (D2Rs) and dopamine-3 receptors (D4Rs) showed a significant increase in both
addiction groups compared to controls, and this increase was more noticeable in Group II compared to group III. It appears that both of the tested addictive pharmaceuticals have a significant impact on the dopaminergic gene expression,
either by increase or decrease, according to the receptor type. In all circumstances, the change was much greater in the
tramadol group compared to the pregabalin one (Table 4). Table (4): Analysis of the relative expression of dopaminergic receptors gene as measured by real-time PCR of the studied rats
within different groups. Results Group I (Control group)
(n=10)
Group II
(Tramadol group)
(n=10)
Group III
(Pregabalin group)
(n=10)
p value
D1Rs
1 (0.99-1.01)
0.38 (0.22-0.56) #
0.52 (0.42-0.84) # $
< 0.001
D2Rs
1.01 (0.98-1.02)
3.03 (1.87-3.93) #
1.84 (1.06-2.37) # $
< 0.001
D4Rs
1.01 (0.99-1.02)
3.45 (1.06-5.74) #
1.5 (1.02-3.3) #
< 0.001
D5Rs
1 (0.99-1.02)
0.64 (0.44-0.85) #
0.70 (0.44-0.89) # $
< 0.001
#: Statistically significant in relation to Group I (Control group)
$: Statistically significant in relation to Group II (Tramadol group)
D1Rs (Dopamine-1 receptors), D2Rs (Dopamine-2 receptors), D4Rs (Dopamine-3 receptors), D5Rs (Dopamine-5 receptors) D1Rs (Dopamine-1 receptors), D2Rs (Dopamine-2 receptors), D4Rs (Dopamine-3 receptors), D5Rs (Dopamine-5 receptors) The cerebral cortex H&E-stained sections of the control group demonstrated that each pyramidal cell had a basophilic
cytoplasm, long apical dendrite, and a large vesicular nucleus, but the granular cells had round cell bodies and a large round
open face nucleus. In the intercellular layer, darkly stained nuclei of neuroglial cells were also visible (neuropil). The surrounding
areas contained glial cells, nerve fibers, and blood vessels (Figs. 1a and 1 b). In the tramadol group, the pyramidal cells are shrunken with darkly stained nuclei and surrounded by empty spaces. The
granular cells had reduced in size and were surrounded by vacant areas. Apoptotic cells were also seen, which were shrunken Page 6/18 Page 6/18 and had small, darkly stained nuclei and little acidophilic cytoplasm (Figs. 1 c and 1 d). Contrarily, the neuropil showed
inflammatory cellular infiltrate (Fig. 1d). There were perineuronal empty spaces and vascular congestion (Figs. 1 c and 1d). and had small, darkly stained nuclei and little acidophilic cytoplasm (Figs. 1 c and 1 d). Contrarily, the neuropil showed
inflammatory cellular infiltrate (Fig. 1d). There were perineuronal empty spaces and vascular congestion (Figs. 1 c and 1d). While in the pregabalin group, some pyramidal and granular cells appeared normal, while others were shrunken with dark nuclei
and surrounded by empty spaces. There were perineuronal empty spaces and vascular congestion (Figs. 1e and 1f). Examination of Congo red-stained sections of the control group revealed dull staining of neurons and neuropil without amyloid
deposits (Fig. 2a). In the tramadol group, it revealed more strongly +ve masses called amyloid plaques (Figs. 2b), while in the
pregabalin group, it revealed a few +ve masses called amyloid plaques (Figs. 3c). Results Examination of PAS-stained sections of the control group revealed normal PAS reaction (purplish-red), which appeared strong in
the pyramidal cells and in the granular cells (Fig. 2d), in the tramadol group, revealed a very weak (complete destruction) PAS
reaction in neuronal cells (Fig. 2e) while in the pregabalin treated group revealed Weak PAS reaction in the pyramidal and
granular cells specially degenerated ones and moderate reaction in the normal ones (Fig.2f). Immunohistochemical staining of the cerebral cortex of the control group showed negative immunohistochemical staining for
p53, and thus neurocytes appeared blue (Fig. 3a), while in the tramadol group, the cerebral cortex showed more p53 positive
cells in the rat cerebral cortex (Fig. 3b), and there are few positive p53 cells in pregabalin group as compared to tramadol group
(Fig. 3c). Immunohistochemical staining of the cerebral cortex of the control group showed that some cells in the cerebral cortex
expressed positive nuclear immunostaining for Ki 67 (Fig. 4a), while in the tramadol group, the cerebral cortex showed more Ki
67 positive cells and intense staining with mitotic figures (Fig. 4b) and in the pregabalin group, there were more Ki 67 positive
cells as compared to the control group, but it was less as compared to the tramadol group (Fig. 4c). Immunohistochemical staining of the cerebral cortex of the control group showed positive GFAP immunostaining in star-
shaped glial cells and their processes (Fig. 5a). Immunohistochemical staining of the cerebral cortex of the tramadol group
showed an increase in the percentage of positive GFAP immunostaining in star-shaped glial cells with increased branches of
their cytoplasmic processes (Fig. 5b). in the pregabalin group, the percentage of reaction was more as compared to the control
group, but less than the percentage of reaction was less than the tramadol group (Fig. 5c). The number of positive P53 apoptotic cells, the percentage area of positive GFAP immunoreaction, and the percentage area of
positive Ki 67 immunoreactions showed a statistically significant increase in the tramadol and pregabalin groups as compared
to the control group. Also, these parameters showed a statistically significant increase in the tramadol group as compared to
the pregabalin group. For all the tested strains, the tramadol group showed higher positivity, followed by the pregabalin one,
then controls (Table 5). Discussion The current research was conducted to study the neurotoxic effects of pregabalin addiction and to compare it with tramadol in
rats. To the best of our knowledge, this is the first study comparing the previous two drugs regarding their neurotoxicity, which
poses an advantageous point in favor of our study. First of all, one could notice no significant differences between the three study groups regarding their pre-procedural weight. This indicates the proper randomization, and this should also negate any bias that might have skewed our findings in favor of
one group rather than the others. First of all, one could notice no significant differences between the three study groups regarding their pre-procedural weight. This indicates the proper randomization, and this should also negate any bias that might have skewed our findings in favor of
one group rather than the others. The present findings showed a significant decrease in the final body weight with tramadol addiction compared to control. This
confirms a previous study by Shuey and his coworkers (Shuey et al., 2008). The decrease in weight gain in rats receiving
tramadol may be attributed to its gastrointestinal side effects, including loss of appetite (Jolobe, 2015). The present findings showed a significant decrease in the final body weight with tramadol addiction compared to control. This
confirms a previous study by Shuey and his coworkers (Shuey et al., 2008). The decrease in weight gain in rats receiving
tramadol may be attributed to its gastrointestinal side effects, including loss of appetite (Jolobe, 2015). Generally, when looking at the present findings, a significant decrease in the locomotor activity in the tramadol-addicted rates
compared to controls can be noticed. This was manifested in all subtests of the open field test. By the current findings, repeated
administration of tramadol (50 mg/kg, oral, for 21 days) had a considerable effect on the locomotor activity in rats in the form
of lower spontaneous locomotor activity (Aghajanpour et al., 2020). A prior study found that tramadol 5 mg/kg did not elicit
significant locomotor changes when given once compared to the control group, but the higher dosages (10 and 20 mg/kg)
resulted in a dose-dependent decline in locomotor activity (Szkutnik-Fiedler et al., 2012). This may be explained by the fact that
tramadol caused a series of events responsible for neurodegeneration, including inflammation and microglial proliferation
(mostly in the prefrontal cortex) (Aktas et al., 2007). Results alysis of the number of positive P53 apoptotic cells of the studied rats within different group Page 7/18 Page 7/18 Page 7/18 Group I (Control
group)
(n=10)
Group II
(Tramadol
group)
(n=10)
Group III
(Pregabalin
group)
(n=10)
Test of
significance
Number of positive P53 apoptotic cells
0
15.50 ± 2.12 #
8 ± 1.56 # $
< 0.001
Percentage area of positive GFAP
immunoreaction
8.02 ± 1
38.13 ± 6.17 #
19.67 ± 3.11 #
$
< 0.001
Percentage area of positive Ki 67
immunoreaction
0.34 ± 0.08
1.47 ± 0.12 #
0.60 ± 0.12 # $
< 0.001
#: statistically significant in relation to Group I (Control group)
$: Statistically significant in relation to Group II (Tramadol group) Discussion This does not
mean an underlying proliferation of functioning neurons, as neuronal cells do not regenerate. Thus, the increased proliferation
marker applied in the current study surely reflects the astrogliosis resulting from brain injury. When it comes to pregabalin and its effects, the current findings showed a decreased final body weight in the pregabalin-
addicted rats. Following the current findings, Elgazzar et al. noted a statistically significant decrease in the animal weight in the
pregabalin-dependent group (after three months) as compared to controls (Elgazzar et al., 2021). Authors attributed the weight
loss to the striking lack of interest in their food intake. Also, Shokry et al. confirmed the previous findings (Shokry et al., 2020). When it comes to pregabalin and its effects, the current findings showed a decreased final body weight in the pregabalin-
addicted rats. Following the current findings, Elgazzar et al. noted a statistically significant decrease in the animal weight in the
pregabalin-dependent group (after three months) as compared to controls (Elgazzar et al., 2021). Authors attributed the weight
loss to the striking lack of interest in their food intake. Also, Shokry et al. confirmed the previous findings (Shokry et al., 2020). Regarding the open-field tested parameters, we noticed a significant decline in all locomotor parameters in the pregabalin group
compared to the controls. One could attribute this decline to the sedative effect of pregabalin. The reported dose-dependent
sedative impact of pregabalin administration in clinical investigations (El-Hussiny et al., 2018) could explain our results. The
inhibitory impact of pregabalin on the release of excitatory neurotransmitters in the brain has been linked to its sedative effect
(Calandre et al., 2016). Pregabalin activates presynaptic voltage-gated calcium channels, with a subsequent decrease of
calcium influx into nerve terminals in rats and humans, according to previous neuropharmacological research (Fink et al., 2002;
Fink et al., 2000). The effect of pregabalin on dopaminergic receptors is understudied in the literature. It was noticed that pregabalin induced the
same dopaminergic receptor changes as tramadol but with a weaker effect, indicating that pregabalin is still having a
neurotoxic effect, but it is less severe compared to tramadol. The authors noted a significant increase in the number of positive P53 apoptotic cells in the pregabalin group compared to
controls. Previous research reported a significant decline in B-cell lymphoma 2 (BCL2) in the pregabalin-dependent group
compared to controls. Discussion Findings from some studies using rodent models have shown that
tramadol administration can impair memory functions by activation of μ-opioid receptors (Baghishani et al., 2018; Hosseini-
Sharifabad et al., 2016). Regarding dopaminergic receptors, the present findings showed increased expression of D2Rs and D4Rs in association with
tramadol addiction. Conversely, it led to a significant decline in D1Rs and D5Rs expressions compared to controls. According to
current research, drug-induced neurotoxicity is caused by the activation of many neurotransmitter systems, including dopamine,
which work together to cause brain damage (Cadet et al., 2014). Dopamine is a neurotransmitter and hormone that is classified as a monoamine catecholamine. It binds to the dopamine
receptor and has a variety of actions depending on the receptor type. Dopamine receptors are important in everyday living
tasks. Movement, emotions, and the brain's reward system are all affected by this hormone and its receptors (Schultz, 2015). The known five dopamine receptors can be enrolled under two main categories; D1Rs and D5Rs group together, and D2Rs,
D3Rs, in addition to D4Rs are together in a separate subgrouping (Yu et al., 2019). Page 8/18 The present findings corroborated those of Faron-Górecka et al., who found that repeated tramadol administration (20 mg/kg
i.p. for 21 days) resulted in a considerable up-regulation of D2Rs and D3Rs receptors in the rat nucleus accumbens (Faron-
Górecka et al., 2004). The present findings corroborated those of Faron-Górecka et al., who found that repeated tramadol administration (20 mg/kg
i.p. for 21 days) resulted in a considerable up-regulation of D2Rs and D3Rs receptors in the rat nucleus accumbens (Faron-
Górecka et al., 2004). The D5Rs appear to perform some of the same functions as D1Rs. Both D1Rs and D5Rs play important roles in conferring the
qualities of reward and novelty to information processed by the hippocampus, and they modulate hippocampal long-term
potentiation and memory in the brain (Hansen & Manahan-Vaughan, 2014). Selective D5Rs agonists have recently been shown
to protect neurons from apoptosis and improve cognitive function (Shen et al., 2016). Thus, its decline in association with
tramadol addiction is a clear and strong mark of the increased apoptosis and impaired neurological function with addiction. In the same context, the number of apoptotic cells stained positive for P53 increased significantly in the current study. Discussion Oxidative
stress, genotoxic chemicals, and other conditions cause p53 to accumulate in the nucleus and bind to certain DNA sequences,
causing activation of transcription of many apoptosis-related genes (Almog & Rotter, 1997). Chronic opioid treatment in rats
has been linked to a significant increase in the pro-apoptotic receptor as well as intracellular pro-apoptotic components, as
previously described (Sharifipour et al., 2014). In line with the current findings, a prior investigation found that a greater tramadol dose resulted in a significant increase in p53
gene expression when compared with control rats (Mohamed & Mahmoud, 2019). Additionally, Aghajanpour and his colleagues
reported that the caspase-3 level, which is an apoptotic marker, showed a 3.5-fold increase in the rats treated with tramadol
than in controls (Aghajanpour et al., 2020). At the same time, tramadol intake in the current study led to a significant rise in GFAP immunoreaction, indicating an increased
number of glial cells in the central nervous system (CNS). This agrees with Aghajanpour's (Aghajanpour et al., 2020) results. The proposed mechanism is the fact that microglial cells are the main mediators of the neuroinflammatory process in the CNS
(Liu et al., 2015). It is responsible for inflammatory cytokine release, which in turn leads to neurodegeneration (Hoogland et al.,
2015). On their migration and activation, an inflammatory response is initiated within the prefrontal cortex (Dheen et al., 2007). At the same time, tramadol intake in the current study led to a significant rise in GFAP immunoreaction, indicating an increased
number of glial cells in the central nervous system (CNS). This agrees with Aghajanpour's (Aghajanpour et al., 2020) results. The proposed mechanism is the fact that microglial cells are the main mediators of the neuroinflammatory process in the CNS
(Liu et al., 2015). It is responsible for inflammatory cytokine release, which in turn leads to neurodegeneration (Hoogland et al.,
2015). On their migration and activation, an inflammatory response is initiated within the prefrontal cortex (Dheen et al., 2007). In the current investigation, tramadol intake was associated with a significant increase in Ki 67 immunoreaction. This does not
mean an underlying proliferation of functioning neurons, as neuronal cells do not regenerate. Thus, the increased proliferation
marker applied in the current study surely reflects the astrogliosis resulting from brain injury. In the current investigation, tramadol intake was associated with a significant increase in Ki 67 immunoreaction. Discussion Additionally, they noticed a significant increase in the inducible nitric oxide synthase, which is a marker of Page 9/18 Page 9/18 oxidative stress (Elgazzar et al., 2021). The presence of reactive oxygen species is considered an early marker of cellular
apoptosis, as reported by earlier studies (Su et al., 2019) oxidative stress (Elgazzar et al., 2021). The presence of reactive oxygen species is considered an early marker of cellular
apoptosis, as reported by earlier studies (Su et al., 2019) In the same context, in the study conducted by Sayin and Simsek, administration of a supratherapeutic dose of pregabalin was
associated with an increased expression of c-Jun N-terminal kinase (JNK), which is a potent initiator of both extrinsic and
mitochondrial intrinsic apoptotic pathways (Sayin & Simsek, 2018). Additionally, according to Salem et al., high dosages of
pregabalin resulted in a considerable rise in apoptotic markers, as seen by increased caspase 3 and a decrease in BCL2 (Salem
et al., 2021). Contrarily, Song et al. treated rats with an intraperitoneal injection of pregabalin (30 mg/kg) or an equal amount of normal
saline at the onset of reperfusion. The pregabalin treated group showed fewer apoptotic cells (by 63%) compared to the control,
which was evident in BCL2 upregulation and caspase-3 downregulation (Song et al., 2017). Hindmarch et al. discovered that
pregabalin (30 mg/kg intraperitoneally at 30 min, 12, 24, and 48 h) lowered caspase-3 and phosphorylated p38 mitogen-
activated protein kinase (MAPK) expression following spinal cord injury in rats, but BCL2 exhibited no significant difference
between control and treated groups (Hindmarch et al., 2005). The disagreement between the current findings and those
researchers is most likely due to differences in pregabalin dosage, duration, and route of administration. The current findings showed a significant increase in the area stained positive for GFAP in the pregabalin group compared to
controls, indicating more gliosis. As mentioned before, gliosis itself is a reactive response to brain injury, and this is indicative of
the harmful effect of pregabalin (Livne-Bar et al., 2016). Using a different marker for gliosis (nestin), Elgazzar and her
associates noted a significant increase in gliosis in pregabalin-dependent animals (Elgazzar et al., 2021). Of course, the
increased Ki 67 expression was secondary to the astrogliosis. When looking at the tramadol and pregabalin effects, it is evident that tramadol was associated with a more neurotoxic effect
compared to pregabalin. Conclusions Based on the current findings, both tramadol and pregabalin were associated with neurotoxic effects in male albino rats. These
effects were less noticed with pregabalin. It is suggested that long-term abuse may end in psychosis. Further research is
required, both in animals and humans, to explain the neurotoxic effects of pregabalin abuse in the prefrontal cortex. Discussion However, the difference between the pregabalin group and controls was also significant regarding
most of the studies variables. Therefore, the neurotoxic effect of pregabalin should be considered, and its prescription should
be limited only to indicated cases and under strict supervision. It is important to notice that low D1Rs and relatively high expression of D2Rs expression are well-known markers of
schizophrenia (Avery & Krichmar, 2015). Another cornerstone pathology indicator of psychosis is neuroinflammation, that is
well marked in the tramadol group as compared to the pregabalin group (Comer et al., 2020). Both addictive drugs, despite the
different mechanisms of action, induced common psychosis-related mechanisms. Moreover, studies showed that human data
expressed evident psychosis in patients suffering from tramadol withdrawal and even other addictive drugs like opioids
(Lozano-López et al., 2021; Rajabizadeh et al., 2009). These findings may explore a common model for psychosis. The limited sample size included is one of its major limitations. Therefore, this subject should be extensively evaluated in larger-
sample studies. Statements And Declarations Funding sources: The research was self-funded by the authors. Funding sources: The research was self-funded by the authors. Declaration of Competing Interest: The authors declare no conflict of interest. Funding sources Declaration of Competing Interest: The authors declare no conflict of interest. Page 10/18 The research was self-funded by the authors. Acknowledgment I wish to show my appreciation to Eman Saeed Mokhtar Tawfik (Assistant lecturer of histology and cell biology, Faculty of
Medicine, Mansoura University) and Ahmed Abdou Emam (Member of Medical Experimental Research Center) for their great
contribution and help in the current research. Declaration of Competing Interest: The authors declare no conflict of interest. Author contribution This work was carried out in collaboration between all authors. Authors Ahmed Elsukary and Ahmed Helaly designed the study,
Author Mohammad El-Kattan wrote the protocol, Authors Amal El Bakary and Maha Moustafa managed the literature research,
Author Ahmed Elsukary performed the statistical analysis, Authors Ahmed Elsukary, Ahmed Helaly and Amal El Bakary wrote
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neuropathic pain behavior and microglial MAPK s activation through erythropoietin receptors on S chwann cells in a rat
model of peripheral neuropathy. Glia. 66 (11), 2299–2315. https://doi.org/10.1002/glia.23461 36. Hussien, R., Ahmed, S., Awad, H., El-Setouhy, M., El-Shinawi, M., Hirshon, J.M., 2022. Identification of 'Voodoo': an emerging
substance of abuse in Egypt. Int J Environ Anal Chem. 102 (1), 104–116. 36. Hussien, R., Ahmed, S., Awad, H., El-Setouhy, M., El-Shinawi, M., Hirshon, J.M., 2022. Identification of 'Voodoo': an emerging
substance of abuse in Egypt. Int J Environ Anal Chem. 102 (1), 104–116. https://doi.org/10.1080/03067319.2020.1715384 37. Jolobe, O., 2015. Tramadol-related hypoglycaemia and tramadol-induced anorexia. Br J Hosp Med (Lond). 76 (4), 249. https://doi.org/10.12968/hmed.2015.76.4.250 38. Layton, C., Bancroft, J.D., 2018. Carbohydrates. In K. S. Suvarna, C. Layton, & J. D. References Interspecies dosage conversion scheme in evaluation of results and quantitative application in
different species. Evaluation of drug activities: pharmacometrics. 1, 160–162. 46. Rabie, M., Shaker, N.M., Gaber, E., El-Habiby, M., Ismail, D., El-Gaafary, M., et al., 2020. Prevalence updates of substance use
among Egyptian adolescents. Middle East Current Psychiatry. 27 (1), 4. https://doi.org/10.1186/s43045-019-0013-8 46. Rabie, M., Shaker, N.M., Gaber, E., El-Habiby, M., Ismail, D., El-Gaafary, M., et al., 2020. Prevalence updates of substance use
among Egyptian adolescents. Middle East Current Psychiatry. 27 (1), 4. https://doi.org/10.1186/s43045-019-0013-8 47. Rajabizadeh, G., Kheradmand, A., Nasirian, M., 2009. Psychosis following Tramadol Withdrawal. Addict Health. 1 (1), 58–
61. 47. Rajabizadeh, G., Kheradmand, A., Nasirian, M., 2009. Psychosis following Tramadol Withdrawal. Addict Health. 1 (1), 58–
61. Page 13/18 Page 13/18 48. Ryvlin, P., Perucca, E., Rheims, S., 2008. Pregabalin for the management of partial epilepsy. Neuropsychiatric disease and
treatment. 4 (6), 1211. https://doi.org/10.2147/ndt.s4716 49. Salem, N.A., Alsaedi, A.M., Alasmari, B.G., Almarghalani, R.Z., Algobe, S.M., Alesawy, N.H., 2021. Neurotoxic Assessment of
Chronic Abuse of Pregabalin in Wistar Rats. Journal of Pharmaceutical Research International, 58–66. https://doi.org/https://doi.org/10.9734/jpri/2021/v33i27B31505 50. Sayin, M., Simsek, F.E., 2018. Pregabalin administration induces alterations in neural tube development during early
embryonic stages. Turk Neurosurg. 29, 269–274. https://doi.org/10.5137/1019-5149.JTN.23923-18.1 51. Schifano, F., 2014. Misuse and abuse of pregabalin and gabapentin: cause for concern? CNS drugs. 28 (6), 491–496. https://doi.org/10.1007/s40263-014-0164-4 52. Schultz, W., 2015. Neuronal Reward and Decision Signals: From Theories to Data. Physiol Rev. 95 (3), 853–951. https://doi.org/10.1152/physrev.00023.2014 53. Sharifipour, M., Izadpanah, E., Nikkhoo, B., Zare, S., Abdolmaleki, A., Hassanzadeh, K., et al., 2014. A new pharmacological
role for donepezil: attenuation of morphine-induced tolerance and apoptosis in rat central nervous system. J Biomed Sci. 21 (1), 6. https://doi.org/10.1186/1423-0127-21-6 54. Shen, L., Yan, M., He, L., 2016. D5 receptor agonist 027075 promotes cognitive function recovery and neurogenesis in a
Aβ1-42-induced mouse model. Neuropharmacology. 105, 72–83. https://doi.org/10.1016/j.neuropharm.2016.01.008 55. Shokry, D.A., El Nabrawy, N., Yassa, H.D., Gaber, S.S., Batiha, G.E., Welson, N.N., 2020. Pregabalin induced reproductive
toxicity and body weight changes by affecting caspase3 and leptin expression: Protective role of wheat germ oil. Life Sci. 260, 118344. https://doi.org/10.1016/j.lfs.2020.118344 56. Shuey, D.L., Stump, D.G., Carliss, R.D., Gerson, R.J., 2008. Effects of the opioid analgesic oxymorphone hydrochloride on
reproductive function in male and female rats. Birth Defects Res B Dev Reprod Toxicol. 83 (1), 12–18. https://doi.org/10.1002/bdrb.20138 57. Song, Y., Jun, J.H., Shin, E.J., Kwak, Y.L., Shin, J.S., Shim, J.K., 2017. References (b) (x 1000). (c,d) A photomicrograph of a paraffin
section in a rat cerebral cortex of tramadol group showing many apoptotic cells surrounded with empty spaces “Wavy arrows”,
shrunken pyramidal cells surrounded by empty spaces "Arrows", dilated and congested blood vessels are also seen “Crossed
arrows” and Inflammatory cell infiltration (asterisks) is seen in the surrounding neuropil (x 400). (e,f) A photomicrograph of a
paraffin section in a rat cerebral cortex of pregabalin group showing shrunken pyramidal cells surrounded by empty spaces
“Thick Arrows”. However, apparently, normal pyramidal cells “Arrows” with their apical dendrites “Curved arrows” are also seen. Granular cells “Arrow heads” and neuroglial cell “Wavy arrows” are also seen. Congested blood vessels are also seen “Crossed
arrows” (x 400). References Effect of pregabalin administration upon reperfusion in
a rat model of hyperglycemic stroke: Mechanistic insights associated with high-mobility group box 1. PloS one. 12 (2),
e0171147. https://doi.org/10.1371/journal.pone.0171147 58. Su, L.J., Zhang, J.H., Gomez, H., Murugan, R., Hong, X., Xu, D., et al., 2019. Reactive Oxygen Species-Induced Lipid
Peroxidation in Apoptosis, Autophagy, and Ferroptosis. Oxid Med Cell Longev. 2019, 5080843. https://doi.org/10.1155/2019/5080843 59. Subedi, M., Bajaj, S., Kumar, M.S., Mayur, Y., 2019. An overview of tramadol and its usage in pain management and future
perspective. Biomedicine & Pharmacotherapy. 111, 443–451. https://doi.org/10.1016/j.biopha.2018.12.085 60. Szkutnik-Fiedler, D., Kus, K., Balcerkiewicz, M., Grześkowiak, E., Nowakowska, E., Burda, K., et al., 2012. Concomitant use of
tramadol and venlafaxine - evaluation of antidepressant-like activity and other behavioral effects in rats. Pharmacol Rep. 64 (6), 1350–1358. https://doi.org/10.1016/s1734-1140(12)70932-5 61. Taylor, C.P., Harris, E.W., 2020. Analgesia with Gabapentin and Pregabalin may involve N-Methyl-d-Aspartate Receptors,
Neurexins, and Thrombospondins. Journal of Pharmacology and Experimental Therapeutics. 374 (1), 161–174. https://doi.org/10.1124/jpet.120.266056 61. Taylor, C.P., Harris, E.W., 2020. Analgesia with Gabapentin and Pregabalin may involve N-Methyl-d-Aspartate Receptors,
Neurexins, and Thrombospondins. Journal of Pharmacology and Experimental Therapeutics. 374 (1), 161–174. https://doi.org/10.1124/jpet.120.266056 62. Wazaify, M., Abood, E., Tahaineh, L., Albsoul-Younes, A., 2017. Jordanian community pharmacists’ experience regarding
prescription and nonprescription drug abuse and misuse in Jordan – An update. Journal of Substance Use. 22 (5), 463–
468. https://doi.org/10.1080/14659891.2016.1235734 62. Wazaify, M., Abood, E., Tahaineh, L., Albsoul-Younes, A., 2017. Jordanian community pharmacists’ experience regarding
prescription and nonprescription drug abuse and misuse in Jordan – An update. Journal of Substance Use. 22 (5), 463–
468. https://doi.org/10.1080/14659891.2016.1235734 63. Yassa, H.A., Badea, S.T., 2019. Patterns of drug abuse in Upper Egypt: cause or result of violence? Egyptian Journal of
Forensic Sciences. 9 (1), 14. https://doi.org/10.1186/s41935-019-0117-7 63. Yassa, H.A., Badea, S.T., 2019. Patterns of drug abuse in Upper Egypt: cause or result of violence? Egyptian Journal of
Forensic Sciences. 9 (1), 14. https://doi.org/10.1186/s41935-019-0117-7 64. Yu, Q., Liu, Y.Z., Zhu, Y.B., Wang, Y.Y., Li, Q., Yin, D.M., 2019. Genetic labeling reveals temporal and spatial expression pattern
of D2 dopamine receptor in rat forebrain. Brain Struct Funct. 224 (3), 1035–1049. https://doi.org/10.1007/s00429-018-
01824-2 Figures Page 14/18 Figure 1
(a) A photomicrograph of a paraffin section in a control rat cerebral cortex demonstrating pyramidal cells “Arrows” with rounded
open face nuclei and long apical dendrites “Curved arrow”. Granular cells “Arrow heads” with round open face nuclei are
demonstrated. Neuroglial cells “Wavy arrows” are also demonstrated (x 400). Figure 1 (a) A photomicrograph of a paraffin section in a control rat cerebral cortex demonstrating pyramidal cells “Arrows” with rounded
open face nuclei and long apical dendrites “Curved arrow”. Granular cells “Arrow heads” with round open face nuclei are
demonstrated. Neuroglial cells “Wavy arrows” are also demonstrated (x 400). (b) (x 1000). (c,d) A photomicrograph of a paraffin
section in a rat cerebral cortex of tramadol group showing many apoptotic cells surrounded with empty spaces “Wavy arrows”,
shrunken pyramidal cells surrounded by empty spaces "Arrows", dilated and congested blood vessels are also seen “Crossed
arrows” and Inflammatory cell infiltration (asterisks) is seen in the surrounding neuropil (x 400). (e,f) A photomicrograph of a
paraffin section in a rat cerebral cortex of pregabalin group showing shrunken pyramidal cells surrounded by empty spaces
“Thick Arrows”. However, apparently, normal pyramidal cells “Arrows” with their apical dendrites “Curved arrows” are also seen. Granular cells “Arrow heads” and neuroglial cell “Wavy arrows” are also seen. Congested blood vessels are also seen “Crossed
arrows” (x 400). Page 15/18 Figure 2
(a) A photomicrograph of a paraffin section in a control rat cerebral cortex with no amyloid deposits detected (Congo red x 400). (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing numerous amyloid deposits
“Arrows”. (Congo red x 400) (c) A photomicrograph of a paraffin section in a rat cerebral cortex of pregabalin group showing
few amyloid deposits “Arrows”. (Congo red x 400). (d) A photomicrograph of a paraffin section in a control rat cerebral cortex
demonstrating strong PAS reactions in the pyramidal and granular cells “Arrows”. (PAS x 400). (e) A photomicrograph of a
paraffin section in a rat cerebral cortex of tramadol group demonstrating a weak PAS reaction in the degenerated pyramidal and
granular cells “Arrow heads” (PAS x 400). (f) A photomicrograph of a paraffin section in a rat cerebral cortex of pregabalin
group demonstrating a weak PAS reaction in the pyramidal and granular cells, especially the degenerated ones "Arrow heads"
and moderate PAS reaction in other pyramidal and granular cells "Arrows" (PAS x 400). Figure 2 a) A photomicrograph of a paraffin section in a control rat cerebral cortex with no amyloid de (a) A photomicrograph of a paraffin section in a control rat cerebral cortex with no amyloid deposits detected (Congo red x 400). (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing numerous amyloid deposits
“Arrows”. (Congo red x 400) (c) A photomicrograph of a paraffin section in a rat cerebral cortex of pregabalin group showing
few amyloid deposits “Arrows”. (Congo red x 400). (d) A photomicrograph of a paraffin section in a control rat cerebral cortex
demonstrating strong PAS reactions in the pyramidal and granular cells “Arrows”. (PAS x 400). (e) A photomicrograph of a
paraffin section in a rat cerebral cortex of tramadol group demonstrating a weak PAS reaction in the degenerated pyramidal and
granular cells “Arrow heads” (PAS x 400). (f) A photomicrograph of a paraffin section in a rat cerebral cortex of pregabalin
group demonstrating a weak PAS reaction in the pyramidal and granular cells, especially the degenerated ones "Arrow heads"
and moderate PAS reaction in other pyramidal and granular cells "Arrows" (PAS x 400). (a) A photomicrograph of a paraffin section in a control rat cerebral cortex with no amyloid deposits detected (Congo red x 400). (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing numerous amyloid deposits
“Arrows”. (Congo red x 400) (c) A photomicrograph of a paraffin section in a rat cerebral cortex of pregabalin group showing
few amyloid deposits “Arrows”. (Congo red x 400). (d) A photomicrograph of a paraffin section in a control rat cerebral cortex
demonstrating strong PAS reactions in the pyramidal and granular cells “Arrows”. (PAS x 400). (e) A photomicrograph of a
paraffin section in a rat cerebral cortex of tramadol group demonstrating a weak PAS reaction in the degenerated pyramidal and
granular cells “Arrow heads” (PAS x 400). (f) A photomicrograph of a paraffin section in a rat cerebral cortex of pregabalin
group demonstrating a weak PAS reaction in the pyramidal and granular cells, especially the degenerated ones "Arrow heads"
and moderate PAS reaction in other pyramidal and granular cells "Arrows" (PAS x 400). Page 16/18 Figure 3
(a) A photomicrograph of a paraffin section in a control rat cerebral cortex showing a negative P53 reaction. Figure 2 (Anti P53
immunostain x 400) (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing numerous
P53 positive cells “Arrows”. (Anti P53 immunostain x 400) (c) A photomicrograph of a paraffin section in a rat cerebral cortex of
pregabalin group showing few P53 positive cells “Arrows”. (Anti P53 immunostain x 400). Figure 5 (a) A photomicrograph of a paraffin section in a control rat cerebral cortex showing some positive GFAP immunostaining in the
star-shaped glial cells and their processes. (Anti GFAP immunostain x 400) (b) A photomicrograph of a paraffin section in a rat
cerebral cortex of the tramadol group showing more positive GFAP immunostaining in star-shaped glial cells with increased
branches of their cytoplasmic processes (Anti GFAP immunostain x 400) (c) A photomicrograph of a paraffin section in a rat
cerebral cortex of the pregabalin group showing more positive GFAP immunostaining in star-shaped glial cells as compared to
the control group (Anti GFAP immunostain x 400). Figure 4 (a) A photomicrograph of a paraffin section in a control rat cerebral cortex showing some positive cells. (Anti Ki 67
immunostain x 400) (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing more
positive cells and increased staining intensity with mitotic figures (Anti Ki 67 immunostain x 400) (c) A photomicrograph of a
paraffin section in a rat cerebral cortex of pregabalin group showing more positive cells as compared to the control group (Anti
Ki 67 immunostain x 400). (a) A photomicrograph of a paraffin section in a control rat cerebral cortex showing some positive cells. (Anti Ki 67
immunostain x 400) (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing more
positive cells and increased staining intensity with mitotic figures (Anti Ki 67 immunostain x 400) (c) A photomicrograph of a
paraffin section in a rat cerebral cortex of pregabalin group showing more positive cells as compared to the control group (Anti
Ki 67 immunostain x 400). (a) A photomicrograph of a paraffin section in a control rat cerebral cortex showing some positive cells. (Anti Ki 67
immunostain x 400) (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing more
positive cells and increased staining intensity with mitotic figures (Anti Ki 67 immunostain x 400) (c) A photomicrograph of a
paraffin section in a rat cerebral cortex of pregabalin group showing more positive cells as compared to the control group (Anti
Ki 67 immunostain x 400). Figure 5
(a) A photomicrograph of a paraffin section in a control rat cerebral cortex showing some positive GFAP immunostaining in the
star-shaped glial cells and their processes. (Anti GFAP immunostain x 400) (b) A photomicrograph of a paraffin section in a rat
cerebral cortex of the tramadol group showing more positive GFAP immunostaining in star-shaped glial cells with increased
branches of their cytoplasmic processes (Anti GFAP immunostain x 400) (c) A photomicrograph of a paraffin section in a rat
cerebral cortex of the pregabalin group showing more positive GFAP immunostaining in star-shaped glial cells as compared to
the control group (Anti GFAP immunostain x 400). Figure 3 (a) A photomicrograph of a paraffin section in a control rat cerebral cortex showing a negative P53 reaction. (Anti P53
immunostain x 400) (b) A photomicrograph of a paraffin section in a rat cerebral cortex of tramadol group showing numerous
P53 positive cells “Arrows”. (Anti P53 immunostain x 400) (c) A photomicrograph of a paraffin section in a rat cerebral cortex of
pregabalin group showing few P53 positive cells “Arrows”. (Anti P53 immunostain x 400). Page 17/18 Page 17/18 Datasheet.xlsx Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. Page 18/18
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Environmental Risk Due to Heavy Metal Contamination Caused by Old Copper Mining Activity at ?ubietová Deposit, Slovakia
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Energy and environment research
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Abstract The more than 200 years old dump-fields at closed Cu (Ag) deposit Ľubietová are situated near the village
settlement. Heavy metal space distribution is controlled by geochemical behaviour of the elements, depend on
their content, solubility, migration and sorption ability. The major sources of metals to the country components
(soil, technogenous sediments, groundwater, surface water, plants…) may be classified according to expected
solubility of primary minerals. The content of heavy metals in sediments and soils at the studied dump-field shows
irregular distribution. Also the heavy metal contamination of the surface water and groundwater was studied both
in the rainy as well as during the dry periods. The speciation of As and Sb proved in the water presence both of
As3+ and Sb3+ as well as the less toxic As5+ and Sb5+ species. In the soil and sediments prevail As5+ and Sb5+ species
while in the water is often dominant the As3+ and Sb3+ form. The article also presents some results of the plant
tissue degradation study under heavy metal contaminated conditions at dump-fields. The dump sediments and the
primitive soil formed locally on the surface of the technogenous sediments show only limited acidification
potential. The Fe0-barrier installation at bottom of the down part of the valley seems to be a good solution for the
groundwater decontamination. Keywords: acidification, heavy metal contamination, dump-field, impact on flora, remediation Energy and Environment Research; Vol. 3, No. 2; 2013
ISSN 1927-0569 E-ISSN 1927-0577
Published by Canadian Center of Science and Education Energy and Environment Research; Vol. 3, No. 2; 2013
ISSN 1927-0569 E-ISSN 1927-0577
Published by Canadian Center of Science and Education Environmental Risk Due to Heavy Metal Contamination Caused by
Old Copper Mining Activity at Ľubietová Deposit, Slovakia Peter Andráš1,2, Ingrid Turisová1, Eva Lacková3, Sherif Kharbish4, Jozef Krnáč1 & Lenka Čmielová3
1 Faculty of Natural Sciences, Matej Bel University, Banská Bystrica, Slovakia
2 Geological Institute of Slovak Academy of Sciences, Banská Bystrica, Slovakia
3 VŠB-Technical University of Ostrava, Ostrava, Czech Republic
4 Geology Department, Faculty of Science, Suez University, Suez Governate, El Salam City, Egypt
Correspondence: Peter Andráš, Geological Institute of Slovak Academy of Sciences, Banská Bystrica, Slovakia. Tel: 421-048-412-3943. E-mail: andras@savbb.sk Received: September 18, 2012 Accepted: October 16, 2013 Online Published: November 22, 2013
doi:10.5539/eer.v3n2p182 URL: http://dx.doi.org/10.5539/eer.v3n2p182 Figure 1. Dump-field podlipa at abandoned Cu-deposit Ľubietová The extent of the dump-field Podlipa (Figure 1) is about 2 km2. This ore-field was exploited by 18 adits. The
Cu-ore mineralisation is situated mainly in the terrigene crystalline complex of Permian age which consists of
arcose greywackes, arcose schists and various conglomerates. The most important tectonic structures are of
NE-SW direction and the ore veins have E-W and N-S direction. They are 30–40 m thick. Figure 2. The Podlipa dump-field: localisation of the soil (samples A-1 to A-12 and 1–80) and water (samples V, CD and
LH) sampling Figure 2. The Podlipa dump-field: localisation of the soil (samples A-1 to A-12 and 1–80) and water (samples V, CD and
LH) sampling The important mining stopped in the second half of the 19th century although the last little gallery near Haliar locality was
exploited by Ernest Schtróbl only in April 1915. The important mining stopped in the second half of the 19th century although the last little gallery near Haliar locality was
exploited by Ernest Schtróbl only in April 1915. 1. Introduction The Ľubietová deposit was exploited since the time of the Bronze Age and in the 16th and 17th centuries it was
one of the most important and most extensively exploited Cu-mines of Europe. The Cu-ore was in the 18. century exported to more than 50 countries (Bergfest, 1951). The Cu mineralisation with Ag admixture is
developed within 4–5 km long and 1.5 km wide range of N-S direction. It is situated in a crystalline complex
which consists of arcose greywackes, arcose schists and various conglomerates. The ore mineralisation was
genetically connected with the basic, intermediate and acid Permian volcanism. It is characterised by a rather
simple paragenesis represented by quartz, siderite, chalcopyrite, Ag-tetrahedrite, arsenopyrite, pyrite and rare
galena. The deposit is famous also by the numerous secondary minerals as libethenite, annabergite, langite,
azurite, brochantite, erithrine, evansite, euchroite, cuprite, malachite, olivenite, pseudomalachite, etc. (Koděra et
al., 1990; Ebner et al., 2004). There are three great ore-fields at Ľubietová: Podlipa, Svätodušná and Kolba with
admixture of Co/Ni-mineralisation. The Cu content in the ore ranged from 4–10% and the Ag content was about
70 g.t-1 (Bergfest, 1951). 182 182 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer Figure 1. Dump-field podlipa at abandoned Cu-deposit Ľubietová 3.1 Heavy Metal Contamination of Technogenous Sediments and Soil 2. Material and Methods The technogenous sediment and soil samples (of about 10 kg weight; samples 1–80 and A-1 to A-12 from the
Podlipa dump-field and soils from 15–20 cm depth (the sampling step was about 25 m2) were collected in order
to characterize components of landscape contamination. Next three samples PL-1 to PL-3 are samples of soil
horizons (A, B, C). To each surface water sample (stream water, drainage water-samples V-1 to V-6) and
groundwater samples (G-1 to G-4; Figure 2) 10 ml of HCl was added to conservate them. The reference site was located above the ore-field (Figure 2, sample A-12), outside of geochemical anomalies of
heavy metals and represent graywakes of Permian age similar to material at the dump-field. Plant samples were
collected both from reference area and from the dump-area. The samples of technogenous sediments and soil from the dumps were dried and 0.25 g of sample was heated in
HNO3-HClO4-HF to fuming and taken to dryness. The residue was dissolved in HCl. Solutions were analysed by
ICP-MS analysis at the ACME Analytical Laboratories (Vancouver, Canada). The minerals in the clay fractions
were determined by X-ray diffraction and the clay mineral samples were ICP-MS analysed, then macerated 14
days in natural drainage water of the studied locality containing heavy metals and analysed again. The pH of the
sediments was determined from suspension both with distilled water and 1M KCl after 3 hours of maceration. The sulphur, total carbon, organic carbon and inorganic carbon content in the sediments was IR analysed using
furnace Ströhlein C-MAT 4000 at the laboratories of Geological Institute of Slovak Academy of Sciences. A
static test of the total acid potential was realized according to Morin and Hutt (1997) and Sobek et al. (1978). The water samples were analysed using AAS in the National Water Reference Laboratory for Slovakia at the
Water Research Institute in Bratislava. The speciation of As was performed on the basis of different reaction rate
of As3+ and As5+ depending on pH and Eh. The experimental study on Cu precipitation on the surface of iron
particles (testing of the Fe0-barrier) mixed with dolomite was realized at the laboratory of the Comenius
University in Bratislava by Dr. Bronislava Lalinská according to Bartzas (2006). 3. Results 183 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer The dump-field technogenous sediments are influenced by heavy metals (Table 1) from the hydrothermal ore
mineralisation. The main contaminants are: Cu (up to 20 360 ppm), Fe (up to 2.58%), As (up to 457 ppm), Sb (up to 79.3
ppm) and Zn (up to 80 ppm) are accompanied also by U (up to 10 ppm) and Th (up to 35 ppm) from the Permian
volcano-sedimentary metamorphosed rocks. The dump-field technogenous sediments are influenced by heavy metals (Table 1) from the hydrothermal ore
mineralisation. The main contaminants are: Cu (up to 20 360 ppm), Fe (up to 2.58%), As (up to 457 ppm), Sb (up to 79.3
ppm) and Zn (up to 80 ppm) are accompanied also by U (up to 10 ppm) and Th (up to 35 ppm) from the Permian
volcano-sedimentary metamorphosed rocks. Table 1. 3. Results ICP-MS analyses of technogenous sediments and soils from the dump-field
Sample
Cu
Pb
Zn
Ni
Co
As
Sb
Bi
U
ppm
A-1
2829
28.1
14
36.8
10.4
162
61.6
2.8
1.3
A-1c
1693
63.8
18
36.0
11.3
258
60.1
4.5
1.4
A-1c*
2345
229.1
95
71.8
18.3
628
153.2
14.6
3.3
A-2
198.8
13.0
21
9.8
5.9
10
7.1
0.2
1.4
A-2c
574.3
22.4
36
12.2
10.3
19
9.2
1.4
1.1
A-2c*
472.4
27.9
62
17.0
6.4
15
12.6
1.5
1.1
A-3
827.5
16.0
20
32.1
14.0
71
22.4
8.5
1.7
A-3c
624.2
23.1
25
28.3
17.0
110
24.0
7.2
1.8
A-3c*
857.4
37.4
47
30.4
11.0
105
28.0
12.1
1.9
A-4
4471
9.6
23
55.0
50.0
169
59.5
23.7
1.6
A-4c
3324
14.9
16
42.4
58.3
237
79.3
39.2
1.7
A-4c*
3112
37.8
27
64.4
32.1
300
129.8
90.9
2.2
A-5
3150
16.9
19
34.0
24.4
60
17.2
1.7
1.0
A-5c
3001
14.8
18
34.1
30.4
64
16.3
2.1
1.2
A-5c*
2078
21.9
45
55.4
29.6
105
30.3
3.2
1.4
A-6
4797
15.6
13
51.6
41.8
134
49.8
25.4
1.4
A-6c
2503
24.6
14
45.1
40.9
224
56.2
24.4
1.6
A-6c*
2918
72.3
65
61.7
32.0
305
92.3
51.7
2.2
A-7
755.8
16.8
26
10.4
10.2
16
11.5
0.9
1.1
A-7c
855.1
20.2
33
10.1
12.0
17
7.1
1.2
1.1
A-7c*
2026
73.7
176
26.0
15.5
33
17.4
3.6
2.3
A-8
716.0
6.5
7
58.0
89.9
61
17.9
0.5
2.6
A-8c
835.5
6.3
14
66.5
69.7
52
20.2
0.7
2.5
A-8c*
836.7
4.2
4
62.5
104.5
46
18.9
0.8
2.1
A-9
5903
29.5
24
39.8
36.0
244
37.0
15.1
2.7
A-10
7699
30.2
19
52.2
48.0
457
62.7
25.1
4.0
A-11
1563
24.8
37
19.0
8.7
16
14.9
4.8
1.7
A-12
113.1
39.4
29
8.9
8.6
16
5.6
0.7
1.4
A-17
14 440
8.4
59
51.7
73.4
289
43.2
7.2
2.3
A-17c
20 360
49.0
80
43.0
70.0
260
40.0
6.0
2.0
Explanations: A-1 to A-11 – technogenous sediments and soils from the dump-field, A-12 reference area, A-17
hydrogoethite, A-1c to A-17c clay fraction, A-1* to A-17* - clay fraction after 14 days maceration in drainage
water, containing heavy metals. Table 1. ICP-MS analyses of technogenous sediments and soils from the dump-field The weathering processes of reactive minerals in surrounding and mainly acid rocks mobilise heavy metals and toxic
elements (e.g. 3. Results Cu, As) from the primary minerals (Figure 4), form secondary minerals (mainly Cu-oxides and arsenates –
Figure 5, Fe hydroxides – Figure 6 and carbonates – Figure 7) and contaminate the landscape components. The weathering processes of reactive minerals in surrounding and mainly acid rocks mobilise heavy metals and toxic
elements (e.g. Cu, As) from the primary minerals (Figure 4), form secondary minerals (mainly Cu-oxides and arsenates –
Figure 5, Fe hydroxides – Figure 6 and carbonates – Figure 7) and contaminate the landscape components. The main Cu concentration was found to be near the Najvyššia Johan gallery collar, inclusive of the slope beneath the
gallery. High Cu concentration is at the bottom of the valley (Figure 3a). The most important source of As and Fe are the
galleries Najvyššia Johan, Horná Johan and Stredná Johan (Figures 3b, 3c). The highest Pb concentration was found in
front of the Zollweiner Maria Empfängnis and Jakob galleries collars (Figure 3d). Th contamination is derived from
Francisci and Bartolomej galleries (Figure 3e) and important Sb contamination was detected mainly at the dumps at
Zollweiner Maria Empfängnis gallery (Figure 3f). The main Cu concentration was found to be near the Najvyššia Johan gallery collar, inclusive of the slope beneath the
gallery. High Cu concentration is at the bottom of the valley (Figure 3a). The most important source of As and Fe are the
galleries Najvyššia Johan, Horná Johan and Stredná Johan (Figures 3b, 3c). The highest Pb concentration was found in
front of the Zollweiner Maria Empfängnis and Jakob galleries collars (Figure 3d). Th contamination is derived from
Francisci and Bartolomej galleries (Figure 3e) and important Sb contamination was detected mainly at the dumps at
Zollweiner Maria Empfängnis gallery (Figure 3f). 184 Energy and Environment Research Vol. 3, No. 2; 2013 Vol. 3, No. 2; 2013 www.ccsenet.org/eer a) b)
c) d)
e) f)
Figure 3. Distribution of heavy metals at the Podlipa dump-field: Cu, As, Fe, Pb, Th, Sb-distribution (numbers show the individual
heavy metal content in ppm) a) b) a) b) b)
d) b) b) a) a)
c) d) c) e) e) f)
Figure 3. Distribution of heavy metals at the Podlipa dump-field: Cu, As, Fe, Pb, Th, Sb-distribution (numbers show the individual
heavy metal content in ppm) f) Figure 3. 3. Results Distribution of heavy metals at the Podlipa dump-field: Cu, As, Fe, Pb, Th, Sb-distribution (numbers show the individual
heavy metal content in ppm) 185 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer In mould horizon A are accumulated Ca, P, Pb, Zn, Cd, Cr and Th. In soil horizont B folowing elements: Cu, Ag, Ni and
As are accumulated in clay minerals and sesquioxides. The C horizon is enriched in Ba (Table 2). The other analysed
elements (e.g. Fe, Mg, Ti, Al, Na, K, Mo, Mn, U) show no unambiguous trend to be accumulated in some soil horizon. The Sb, Bi and Co concentrations in individual soil horizons show no unambiguous trends. In mould horizon A are accumulated Ca, P, Pb, Zn, Cd, Cr and Th. In soil horizont B folowing elements: Cu, Ag, Ni and
As are accumulated in clay minerals and sesquioxides. The C horizon is enriched in Ba (Table 2). The other analysed
elements (e.g. Fe, Mg, Ti, Al, Na, K, Mo, Mn, U) show no unambiguous trend to be accumulated in some soil horizon. The Sb, Bi and Co concentrations in individual soil horizons show no unambiguous trends. Table 2. 3. Results ICP-MS analyses of individual soil horizons
Sample
Horizon
Fe
Ca
P
Mg
Ti
Al
Na
K
%
PL-1
A
2.48
0.40
0.093
0.62
0.155
5.98
0.328
3.02
B
2.01
0.27
0.090
0.59
0.125
6.01
0.269
3.37
C
2.05
0.17
0.067
0.50
0.146
6.41
0.344
3.74
PL-2
A
3.02
0.33
0.097
0.42
0.099
5.81
0.321
3.05
B
2.49
0.22
0.058
0.45
0.084
6.06
0.496
3.43
C
6.87
0.12
0.053
0.26
0.093
5.73
0.122
3.01
PL-3
A
1.32
0.49
0.092
0.56
0.083
4.45
0.052
2.24
B
1.65
0.05
0.076
0.44
0.097
5.58
0.043
3.03
C
2.01
0.11
0.077
0.66
0.154
4.73
0.022
4.01
Sample
Horizon
Cu
Pb
Zn
Ag
Ni
Cd
As
Sb
ppm
PL-1
A
5864
32.6
136
7.6
38
0.7
1010
2449
B
9425
33.3
130
8.5
40.9
0.4
1081
2356
C
3633
10.4
89
4.7
36.7
0.2
497
1159
PL-2
A
4462
33.9
133
5.3
27.5
1.1
553
1216
B
8230
17.2
134
6.8
33.6
0.5
884
1539
C
6059
8.1
142
10
33
0.3
565
1704
PL-3
A
3366
66
77
1.1
30.8
1.1
77
24
B
8085
15.1
11
2.2
36.3
0.1
231
23
C
5115
15.1
16
1.2
34.3
0.2
158
37
Sample
Horizon
Mo
Mn
Co
Bi
Cr
Ba
U
Th
ppm
PL-1
A
0.7
1033
46.5
122
31
607
5.4
9.2
B
1.2
953
43.8
112.1
26
694
6.1
6.9
C
0.7
765
26.5
42.9
19
705
3.3
7.3
PL-2
A
0.9
1123
32.8
49.4
22
620
3.2
7.5
B
0.4
1171
49.2
70.3
13
841
3.2
6.3
C
0.7
2220
20.1
37.4
20
1099
3.5
7.3
PL-3
A
3.3
352
35.2
3.3
18
218
1.4
4.9
B
3.3
253
45.1
8.1
11
283
2.9
6.7
C
0.3
351
48.8
8.6
13
303
3.3
7.7
The distribution of individual metals at the studied dump-field is uneven. It depends on the mineralogical composition of
ores, on the original concentration of the mentioned metals in the technogenic sediments of the spoil dumps, and also on
their migration abilities and sorption properties (Figure 3). At Podlipa were described only few correlations between metal
couples (Ni/As, Fe/Ni, Pb/Cd, Co/Cu., Zn/Cd, Zn/Pb, Cd/Pb ant Th/U). This situation substantially differs from the
dump-field Reiner, where we can distinguish high correalition ratio between four times more element couples as at
Podlipa (Andráš et al., 2009). 3. Results The main reasons of this separate geochemical behaviour of the same elements at the two
i hb
l
liti
i th diff
t
k
di
(h
k
di
t R i
l
lit b ilt b
k Table 2. ICP-MS analyses of individual soil horizons The distribution of individual metals at the studied dump-field is uneven. It depends on the mineralogical composition of
ores, on the original concentration of the mentioned metals in the technogenic sediments of the spoil dumps, and also on
their migration abilities and sorption properties (Figure 3). At Podlipa were described only few correlations between metal
couples (Ni/As, Fe/Ni, Pb/Cd, Co/Cu., Zn/Cd, Zn/Pb, Cd/Pb ant Th/U). This situation substantially differs from the
dump-field Reiner, where we can distinguish high correalition ratio between four times more element couples as at
Podlipa (Andráš et al., 2009). The main reasons of this separate geochemical behaviour of the same elements at the two
neighbour localities is the different rock-surrounding (homogenous rock-surrounding at Reiner locality built by greywakes vs. grauwakes - arcose schists rock composition at Podlipa, which form different quantity of natural sorbents as clay minerals;
Andráš et al. (2009). The distribution of elements can be controlled also by formation of various metastable, secondary
phases, which depend on pH and Eh, eventually on ionic radius of elements. The distribution of individual metals at the studied dump-field is uneven. It depends on the mineralogical composition of
ores, on the original concentration of the mentioned metals in the technogenic sediments of the spoil dumps, and also on
their migration abilities and sorption properties (Figure 3). At Podlipa were described only few correlations between metal
couples (Ni/As, Fe/Ni, Pb/Cd, Co/Cu., Zn/Cd, Zn/Pb, Cd/Pb ant Th/U). This situation substantially differs from the
dump-field Reiner, where we can distinguish high correalition ratio between four times more element couples as at
Podlipa (Andráš et al., 2009). The main reasons of this separate geochemical behaviour of the same elements at the two
neighbour localities is the different rock-surrounding (homogenous rock-surrounding at Reiner locality built by greywakes vs. grauwakes - arcose schists rock composition at Podlipa, which form different quantity of natural sorbents as clay minerals;
Andráš et al. (2009). The distribution of elements can be controlled also by formation of various metastable, secondary
phases, which depend on pH and Eh, eventually on ionic radius of elements. 186 Energy and Environment Research Vol. 3, No. 3. Results 2; 2013 www.ccsenet.org/eer Figure 4. Grain of native copper Figure 4. Grain of native copper Figure 5. Euchoite (Cu2(AsO4)(OH)•3H2O) aggregate
Figure 6. Lepidocrocite (γ-FeO(OH)) aggregat Figure 7. Malachite (Cu2CO3(OH)2) aggregate
Heavy Metals in Water
e surface water in the creek draining the valley bottom along the dump-field is gradually contaminated
avy metals leached from the technogenous sediments of the mining dumps. This surface water contains hi
(up to 2060 µg.L-1), Fe (up to 584 µg.L-1), Zn (up to 35 µg.L-1) and sometimes also Co (up to 10 µg.L-1) a
(up to 5 µg.L-1) concentrations. The highest As concentration is 6.11 µg.L-1 (Table 3). Figure 5. Euchoite (Cu2(AsO4)(OH)•3H2O) aggregate Figure 5. Euchoite (Cu2(AsO4)(OH)•3H2O) aggregate Figure 5. Euchoite (Cu2(AsO4)(OH)•3H2O) aggregate Figure 4. Grain of native copper Figure 7. Malachite (Cu2CO3(OH)2) aggregate Figure 6. Lepidocrocite (γ-FeO(OH)) aggregat Figure 7. Malachite (Cu2CO3(OH)2) aggregate Figure 6. Lepidocrocite (γ-FeO(OH)) aggregat Figure 6. Lepidocrocite (γ-FeO(OH)) aggregat Figure 7. Malachite (Cu2CO3(OH)2) aggregate 3.2 Heavy Metals in Water 2; 2013 www.ccsenet.org/eer Explanations: Samples marked by index “a” - rainy period (June 14th, 2006), samples marked by index “b” - dry
period (February 25th, 2007), samples marked by index “c” - rainy period (March 31st 2008), samples marked by
index “d” - dry period (May 27th, 2008). The heavy metals content in the water is in most cases higher during dry periods than during rainy periods. On
the other hand, the As content both in the surface (and drainage) water as well as in the groundwater is not high
(6.11 µg.L-1; Table 3). The presence of Acidithiobacteria species or of sulphate reducing bacteria was not proved. The pH both of the surface and of groundwater is close to neutral values (pH 6.4–7.6). The most contaminated is the mineral water from the spring Linhart (sample G-4; Figure 2). Its total
radioactivity is 6,498 Bq.L-1 and the Fe (380 µg.L-1), Cu (181 µg.L-1), Pb (1 µg.L-1) and Cd (82.0 µg.L-1) contents
(Table 4) exceed the Slovak decrees No. 296/2005, No 354/2006 Coll. Table 4. Atom absorption spectrometric analyses of groundwater (samples G-1,G-2 and G-3) and mineral water
(sampleG-4)
Sample
pH
Eh
Fe
Ni
Mn
Zn
Cu
Cd
Pb
Bi
As
Sb
(mV)
µg.l-1
G-1a
6.55
-4
11
1.1
<5
<10
22
<0.05
<1.1
1.36
<1
<1.0
G-1b
6.63
-10
17
1.2
<5
<10
1.3
<0.05
1.9
1.55
<1
<1.0
G-2a
6.72
-14
366
1.3
18
<10
3
<0.05
1.3
<1.00
<1
<1.0
G-2b
6.23
-16
210
1.5
8
<10
2.2
<0.05
<1.0
<1.00
<1
<1.0
G-3a
6.85
-21
146
<1.0
15
61
14
0.13
3.4
<1.00
5
1.42
G-3b
6.55
-23
120
<1.0
17
350
5.9
0.1
3.3
<1.00
1.52
1.21
G-4a
6.4
4
380
5
20
<10
30
0.5
<1.0
<1.00
1.98
<1.0
G-4b
6.48
-2
2 260
<1.0
55
<10
181
82
<1.0
<1.00
2.52
<1.0
Explanations: a - sampled on March 31st 2008 during the rainy period; b – sampled on May 27th 2008 during
the dry period. absorption spectrometric analyses of groundwater (samples G-1,G-2 and G-3) and mineral water Table 4. Atom absorption spectrometric analyses of groundwater (samples G-1,G-2 and G-3) and mine
sampleG-4) Explanations: a - sampled on March 31st 2008 during the rainy period; b – sampled on May 27th 2008 during
the dry period. 3.2 Heavy Metals in Water aste and rinse pH (H2O and 1 M KCl), sulphur and carbon contents in samples of technogenou
and soils Table 5. Paste and rinse pH (H2O and 1 M KCl), sulphur and carbon contents in samples of technogenous
sediments and soils Table 5. Paste and rinse pH (H2O and 1 M KCl), sulphur and carbon contents in samples of technogenous
sediments and soils
Sample pHH20 Eh H20 pH KCl Eh KCl
Stot. SSO4
Ss
Ctot. Corg. Cinorg. CO2 CaCO3
TAP
(kg.t-1)
A-1
5.14
77
4.61
109
0.25
0.1
0.15
0.74
0.2
0.54
1.97
4.48
7.813
A-2
5.89
34
5.4
63
0.02
0.01
0.01
0.86
0.38
0.48
1.75
3.99
0.625
A-3
4.87
94
4.21
131
0.1
0.03
0.07
0.62
0.34
0.28
1.02
2.32
3.125
A-4
5.46
59
5.33
66
0.33
0.13
0.01
0.34
0.26
0.08
0.29
0.66
10.313
A-5
5.77
42
5.37
64
0.05
0.01
0.05
0.78
0.35
0.43
1.57
3.57
1.563
A-6
5.17
74
5.06
83
0.42
0.15
0.27
0.4
0.27
0.13
0.47
1.08
13.125
A-7
7.93
-84
7.34
-58
0.03
0.02
0.01
1.63
0.1
1.53
5.61
12.71
0.938
A-8
5.42
36
5.22
42
0.01
0.01
0.01
0.45
0.13
0.32
1.17
2.66
0.313
A-9
5.03
83
5.01
85
0.03
0.03
0.01
0.4
0.37
tr. tr. tr. 0.938
A-10
5.25
71
5.14
78
0.04
0.02
0.02
0.48
0.46
tr. tr. tr. 1.25
A-11
6.11
22
5.95
30
0.11
0.04
0.07
4.31
4.18
0.13
0.47
1.08
3.438
A-12
4.21
133
3.47
173
0.02
0.01
0.02
4.05
4.03
tr. tr. tr. 0.625 In spite of the limited kinetics of the cementation process, the electron microprobe study proved that the
cementation causes on the surface of iron particles gradual displacement of Fe2+ ions and precipitation of Cu2+
ions, both in form of Cu-oxides, Cu carbonates and in form of native copper. The cementation copper is of a high
fineness (it contain up to 96.07 wt. %). The pH-Eh stability diagram for Cu-Fe-S-H2O system (Fairthorne et al., 1997) show that formation of insoluble
Fe oxides/hydroxides is possible both at neutral or alcaline pH and at high Eh values also in acid conditions
(Figure 8). According to Fairthorne et al. 3.2 Heavy Metals in Water The surface water in the creek draining the valley bottom along the dump-field is gradually contaminated by
heavy metals leached from the technogenous sediments of the mining dumps. This surface water contains high
Cu (up to 2060 µg.L-1), Fe (up to 584 µg.L-1), Zn (up to 35 µg.L-1) and sometimes also Co (up to 10 µg.L-1) and
Pb (up to 5 µg.L-1) concentrations. The highest As concentration is 6.11 µg.L-1 (Table 3). The surface water in the creek draining the valley bottom along the dump-field is gradually contaminated by
heavy metals leached from the technogenous sediments of the mining dumps. This surface water contains high
Cu (up to 2060 µg.L-1), Fe (up to 584 µg.L-1), Zn (up to 35 µg.L-1) and sometimes also Co (up to 10 µg.L-1) and
Pb (up to 5 µg.L-1) concentrations. The highest As concentration is 6.11 µg.L-1 (Table 3). Table 3. Atom absorption spectrometric analyses of surface water
Sample
pH
Eh
Mn
Zn
Cd
Co
Cu
Fe
Ni
Pb
Sb
As
(mV)
µg.l-1
V-1a
6.5
-6
<1
<10
0.04
1.1
2.2
26
4.1
4.2
0.74
<1.0
V-1b
7.5
-58
<1
<10
0.05
2.2
2.7
73
5.9
4.3
<1.00
<1.0
V-1c
6.5
-8
11
<10
<0.05
<1.0
5.1
94
1.2
<1.0
1.03
<1.0
V-2b
6.7
-14
<1
<10
0.13
<1.0
42.1
584
2.1
3
<1.00
1.69
V-2c
6.9
-21
<1
<10
0.09
<1.0
38.2
580
1.6
2.9
<1.00
1.54
V-3a
6.7
-12
<1
30
0.04
7
1 810
86
3.2
2.2
1.12
<1.00
V-3b
6.1
14
<1
40
0.05
9.6
2 060
101
4.9
2.8
1.88
3.41
V-3c
6.5
0
21
<10
<.05
7.6
1 980
45
8.5
2.8
2.35
1.14
V-4a
6.7
-14
<1
<10
0.06
3.1
22.2
263
2.1
4.2
1.72
<1.0
V-4b
6.2
14
<1
<10
0.06
8.1
1 850
274
5.6
3.6
1.57
1.21
V-5a
6.2
-11
<1
<10
0.06
5.5
6
170
6
4.8
1.66
2.79
V5b
6.3
-8
7
20
0.08
8.3
7.9
210
7.1
5.1
2.21
3.21
V-5d
6.2
-7
4
30
0.07
6.6
8.1
160
8.1
1
2
1.08
V-6a
7.6
-62
<1
30
0.07
1.9
30.4
270
4.3
3.2
2
6.02
V-6b
7.1
-62
<1
32
0.07
2.2
34.8
263
5
3.4
2.01
6.11 Table 3. Atom absorption spectrometric analyses of surface water 187 Energy and Environment Research Vol. 3, No. 3.2 Heavy Metals in Water (1997) the decrease in the amount of metal ions present in solution when
the pH is increased and when nitrogen is replaced with oxygen is due to the formation of iron and copper
oxides/hydroxides at the mineral (chalcopyrite) surface creating a physical barrier for further metal dissolution. The Eh value measured in this study at pH 5 is very close to the separation line Fe2+/Fe2O3 when the mineral is 188 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer conditioned in nitrogen but it moves away from this line in oxygen conditioning. The formation of insoluble
cupric oxide/hydroxide is less thermo-dynamically favourable and only occurs at pH values larger than 6. The Cu in soil and in technogenous sediments is present mostly in Cu2+ form, less as a Cu3+ (Cu2O3 - stability
field) and only in 2 cases in the elementary form (Cu0). Cu from the surface water occupies several stability
fields: Cu2O3, Cu0, Cu2S, CuFeS2 as well as CuS fields. Similar situation is in the case of the groundwater with
exception of the Cu2O3 field (Figure 8). It means that the Cu in surface water is present in Cu0, Cu2+ and Cu3+
forms while in groundwater only in Cu0 and Cu2+ forms. Figure 8. pH- Eh stability diagram for Cu-Fe-S-H2O system (Fairthorne et al., 1997); () - the separation line
Fe2+/Fe2O3 in nitrogen conditions and () - in oxygen conditions Figure 8. pH- Eh stability diagram for Cu-Fe-S-H2O system (Fairthorne et al., 1997); () - the separation line
Fe2+/Fe2O3 in nitrogen conditions and () - in oxygen conditions The Fe in soil and in technogenous sediments is in the Eh-pH stability diagram for Cu-Fe-S-H2O system
(Fairthorne et al., 1997) situated only in the Fe2O3 stability field (Figure 8) or Fe(OH)3 stability field (Figure 9), in
consequence of this finding it is possible presume that the Fe is present in Fe3+ form. In groundwater and in surface
water was described mostly Fe3+ but less often also Fe2+ form (Figure 8). The speciation of As (Figure 9) and Sb (Figure 10) indicate that there are present both As3+, Sb3+ and the less toxic
As5+, Sb5+ species. In the sediments prevail As5+ and Sb5+ species. 3.2 Heavy Metals in Water Migration of As and Sb in water may be realised in form of acidic or basic oxyions H2AsO4
-, HAsO4
2- and
HAsO2
0 or SbO3
- and SbO2
- under mildly oxidising conditions (Greenwood & Earnshaw, 1990; Manning &
Goldberg, 2011). Under reducing, near-neutral to more alkaline conditions, transport of a sulphide complex such
as Sb2S4
2- is possible. By far the bulk of the stability field of water is covered by solid Sb-species (Sb2S3,
Sb(OH)3, Sb2O4, Sb2O5), thus suggesting that Sb transport must take place at moderately low Eh values. At Ľubietová are in the water dominant the As3+ and Sb3+ forms (Figures 9, 10). As3+ is much more mobile than
As5+ (Greenwood & Earnshaw, 1990; Manning & Goldberg, 2011) in weathering zone. The high As content
in the water is controlled by tetrahedrite (and arsenopyrite) decomposition and by As sorption on amorphous Fe
oxides and oxyhydroxides, on clay minerals and hydrogoethite (Andráš et al., 2007). Antimony is under
supergenous conditions mobile and it has very similar behavior as arsenic Vink (1966). Determination of
antimony speciation enables pH-Eh stability diagrams (Vink, 1966). Part of the anthropogenic sediment samples
and soils are in the stability field of SbO3
- water solution, the second part in senarmontite stability field (Figure
10). 189 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer Figure 9. pH-Eh stability diagram of Fe-As-H2O-S system according to Ryu (2002) Figure 9. pH-Eh stability diagram of Fe-As-H2O-S system according to Ryu (2002) Figure 10. pH-Eh stability diagram of Sb-H2O-S system according to according to Vink (1966) Figure 10. pH-Eh stability diagram of Sb-H2O-S system according to according to Vink (1966) In groundwater, antimony is mainly present in the form Sb4O6. Only in one single sample we can find antimony
in the form of elementary Sb0 and Eh as well as pH values of one sample are at diagram on the border between
water solution and stibnite – Sb2S3 (Figure 12). Also in surface water the dominant form of antimony is Sb4O6. Forms SbO3
- and elementary Sb0 are very rare (Figure 12). 3.3 Natural Sorbents Transport of heavy metals in form of mobile nanoparticles is influenced by natural sorbents. As the most
important natural sorbents at the studied locality were described clay minerals (X-ray diffraction analyse proved 190 Energy and Environment Research Vol. 3, No. 2; 2013 Vol. 3, No. 2; 2013 Vol. 3, No. 2; 2013 www.ccsenet.org/eer presence of illite and muscovite mixture, caolinite but also minerals of smectite group and chlorite group) as well
as hydrogoethite (Figure 11). presence of illite and muscovite mixture, caolinite but also minerals of smectite group and chlorite group) as well
as hydrogoethite (Figure 11). Figure 11. Rtg-diffraction diagram of clay mineral fraction from sample A-6 Figure 11. Rtg-diffraction diagram of clay mineral fraction from sample A-6 The best sorbent is hydrogoethite (Table 1, sample A-17). In most cases also the present clay minerals show
good sorption capacity. These minerals generate in the dump-field material effective geochemical barrier which
effect precipitation of metals and their fixation on the hydrogoethite and clay minerals surface. The best sorbent is hydrogoethite (Table 1, sample A-17). In most cases also the present clay minerals show
good sorption capacity. These minerals generate in the dump-field material effective geochemical barrier which
effect precipitation of metals and their fixation on the hydrogoethite and clay minerals surface. Preferential sorption of Cr and Th on surface of clay minerals in comparison with hydroghoethite was described. On hydrogoethite surface are preferentially fixed Cu, Zn ( Fe, Cd, Co). Laboratory testing showed that most metals were sorpted on the clay minerals surface during 14 days maceration
of the clay fraction in the drainage water percolating the dump-field material. This result indicates that the clay
fraction still dispose by free sorption capacity. Laboratory testing showed that most metals were sorpted on the clay minerals surface during 14 days maceration
of the clay fraction in the drainage water percolating the dump-field material. This result indicates that the clay
fraction still dispose by free sorption capacity. Substantial differences in sorption capacity among various clay mineral mixtures were not certified, probably
because of the matrix of all clay fraction consists predominantly of illite and muscovite. The variable quota of
smectite, which has according to Andráš et al. (2007) higher sorption capacity as illite or muscovite, is not enough
important to show substantially higher sorption efficiency. 3.4 The Total Acid Potential of the Dump-Field and the Posibility of Remediation .4 The Total Acid Potential of the Dump-Field and the Posibility of Remediation If distilled water is used in the measurement of paste or rinse pH of sediments or soils, its pH is usually around
5.3. pH values less than 5.0 indicates that the sample contains net acidity at the time of analyse (Sobek et al.,
1978). Values of paste pH between 5.0 and 10.0 can be considered near neutral at the time of the analysis. From the
viewpoint of this study, only two samples (A-3 and A-12) account acid values (Table 5). It is surprising that one
of these samples was taken from the reference area. The probable reason of such a behavior is the lack of
carbonates (Table 5). The map of the soil and sediment acidity at the Podlipa dump-field is presented at Figure
12. The measurement of the pH paste in the samples using solution of 1M KCl gives similar values. It means that
only several few samples show markedly acid reaction (Table 5). The very low total carbon (Ctot.) content (Table 5) reflects the lack of carbonates. The Figure 13 shows the Ctot. distribution and enable comparison with the map of the acidity (Figure 12). The total acid potential (TAP) was calculated according to Sobek et al. (1978)
31 25
TAP
% S
. . tot
(1) (1) where TAP is provided in any of three equivalent units: kg CaCO3, equivalent/metric tone (t) of sample, t CaCO3
equivalent/1000 t of sample, or parts per thousand (ppt) CaCO3 equivalent. where TAP is provided in any of three equivalent units: kg CaCO3, equivalent/metric tone (t) of sample, t CaCO3
equivalent/1000 t of sample, or parts per thousand (ppt) CaCO3 equivalent. 191 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer The TAP values from the dump-field Podlipa range between 0.625 in samples A-12 (reference area) and A-2 to
13.125 in sample A-6 (Table 5). The TAP values from the dump-field Podlipa range between 0.625 in samples A-12 (reference area) and A-2 to
13.125 in sample A-6 (Table 5). Figure 12. Map of the sediments acidity at the Podlipa dump-field Figure 12. Map of the sediments acidity at the Podlipa dump-field Figure 13. Map of the Ctot, distribution in the sediments at the Podlipa dump-field Figure 13. 3.4 The Total Acid Potential of the Dump-Field and the Posibility of Remediation Map of the Ctot, distribution in the sediments at the Podlipa dump-field If we compare the highest TAP value for sample A-6 with the data about the sulphur content, we can demonstrate
that both the highest sulphide and sulphate sulphur contents were described from this sample, which represents
the sedimentary material from Zollweiner Maria Empfängnis adit. The highest TAP value is also the consequence of
the relatively low carbon content. The ability of drainage water to precipitate cementation copper on iron surfaces makes the realization of an Fe0-barrier
for elimination of heavy metals (Cu, As, Cd, Zn and others) from the contaminated water a possibility. Mixture of
Fe chips with dolomite also allowed to eliminate the released Fe. 3.5 Changes in Plant Tissues We studied in 2009 and 2010 the influence of the specific ecological conditions at dump-fields with high heavy
metal content on selected plant species which represent tolerant ecotypes. The relatively common Pinus
sylvestris show various defects of their tissues: exfoliation of summer tracheide cell-wall layers, formation of the
traumatic resin channels in closeness to the calluses, absence of the cell-wall coarsening or presence of funguses 192 Vol. 3, No. 2; 2013 Energy and Environment Research www.ccsenet.org/eer hyphaes in tracheae (Figure 14). Figure 14. Funguses hyphaes in tracheae of Pinus sylvestris Figure 14. Funguses hyphaes in tracheae of Pinus sylvestris Important chlorophyll insult causing even necrosis (mainly of leaves) was described in case of Acetosella
vulgaris-plant which is considered to be so called „exclude-plants which use exclusion mechanisms by which
uptake and/or root-to-shoot transport of heavy metals are restricted (Adams et al., 2011) or associated
metal-tolerant species, which are moderately tolerant of heavy metals in soil, but not dependent on their presence
(Baker et al., 2010). At 150 m long sectors from base of the dumps to their top we found 19 to 37 individuals of
this species and at each plant were described on leaves violet to necrotic spots (Figure 15). Plants damage at
individual sectors varied in range 88–100%. Figure 15. Violet to necrotic spots on leaves of Acetosella vulgaris. a) initial damage; b) complete change of the
original colour Figure 15. Violet to necrotic spots on leaves of Acetosella vulgaris. a) initial damage; b) complete change of the
original colour Typical nanistic-pygmy forms, drying of branches, reduced organs (leaves, fruits), yellowing leaves, short annual
shoot and dense age-bands were described on plants from the dump-field area (e.g. on Picea abies, Pinus sylvestris,
Larix decidua, Salix caprea, Betula pendula etc.). Site influence was statistically tested on size of Betula pendula
leaves. For statistical analysis the STATISTICA 7.0 statistical package was used (StatSoft Inc., 2004). ANOVA test
enabled evaluate differences in width of leave bases among individual plants on dump-field surface with those from
reference area. Measuring of 50 individuals was realised from each locality. For each individual plant were
measured on 10 leaves leave-blade bases from 8 pieces of one year old branches. Main descriptive characteristics of
investigated set of plants both from dump-field and from reference area are presented in Table 6. 193 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer Table 6. 4. Discussion Heavy metal distribution at the investigated dump-fields at Ľubietová reflect the geochemical behavior of the
elements, depending on their content, solubility, migration potential and sorption properties (Cataldo & Wildung,
1978). Hydrolysable metals (e.g., Ni, Cd) or metals forming insoluble precipitates with S or P on entering the
soil in soluble forms may be expected to be rapidly insolubilised at the near neutral pH of most soils due to
hydrolysis on dilution and subsequent precipitation on, or reaction with particle surfaces. Certain elements (e.g. Fe) may also form precipitates with S or P (Routson & Wildung, 1969). The soil physicochemical parameters,
most important in influencing the solubility of metals include: composition of solution, Eh, and pH; type and
density of charge on soil colloids; and reactive surface area (Keeney & Wildung, 1977). The main Cu sources at the dump-fields are sulphides (tetrahedrite and chalcopyrite) and secondary Cu-minerals
(libethenite, langite, brochantite, pseudomalachite, malachite and azurite). Cu released to the solution during
weathering processes, contaminates aqueous medium. Mobility of the majority of heavy metals is in the nature mostly determined by their sorption on natural sorbents,
which are mainly represented by clay minerals (Missana et al., 2008). Kaolinite has been used as a good sorbent for most heavy metals (Wahba & Zaghloul, 2007). Cu, Pb, Zn and Cd
show favourable sorption on smectite and Pb also on illite surface (Rybicka et al., 1995). The uptake of Pb and
Cu on illite and smectite is usually very fast. Kinetics of Zn, Ni and Cd sorption on illite and smectite are not so
efficient. Mg, Fe and Al sorption on clay minerals is more efficient at higher pH. It is caused by absence of free
H+ ions and by increase of negative charge on clay minerals surface (Kish & Hassan, 1973). 2
( H O )
pH
of the
technogenous sediments at Podlipa dump-fields ranges from 4,21 to 7,93 (pH(KCl) 4.00–7.34), thus conditions for
Cu, Pb, Zn and Cd adsorption on clay minerals are not the best but also not inefficient. Thorium contents in clay minerals are amazingly lower than in the dump-sediment. It means that the Th is during
the maceration washed out from the clays. This trend is noticeable because U is generally considered to be more
mobile as Th (Polanski & Smulikowski, 1978). 3.5 Changes in Plant Tissues Main descriptive characteristics of investigated set of plants
Dump-field
Podlipa
Reference
area
Sample size
400
400
Arithmetic mean
2.92
5.76
Median
2.87
5.74
Mode
2.61
5.71
Variance / dispersion
0.237
0.501
Standard deviation
0.487
0.708
Minimum
1.62
3.64
Maximum
5.23
11.05
Range
3.61
7.41 Table 6. Main descriptive characteristics of investigated set of plants Result of Least Significant Difference (LSD) shows statistically significant difference between the wide of base
of birch leaves (it means also total size of leaves) from individuals of Cu-dump field and reference locality with
p < 0.05 (Table 7). Result of Least Significant Difference (LSD) shows statistically significant difference between the wide of base
of birch leaves (it means also total size of leaves) from individuals of Cu-dump field and reference locality with
p < 0.05 (Table 7). Table 7. Result of LSD with p < 0.05
Source
Sum
of squares
Degrees of freedom
Mean square
F-ratio
p-value
Between groups
1618.82
1
1618.82
4386.38
0.000
Within groups
294.506
798
0.369
Total
1913.32
799 Table 7. Result of LSD with p < 0.05 4. Discussion The better mobility of U at the Ľubietová deposit caused that
while the content of Th in soil is several times higher than the content of U, while in plants (Andráš et al., 2007)
is the Th/U rate in consequence of better U mobility approximately identical (about 1 : 1). 194 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer Acidity is mainly up to the geochemical behavior (weathering) of particular minerals (mainly pyrite). The
calculation of the acid mine drainage water (AMD) formation potential (neutralisation potential, total acidity
production, net neutralisation potential) is also discussed. The value of the net neutralisation potential (NPP) and
the NP : AP ratio show that the potential of the acid mine drainage water formation is very limited (NPP = 1,42;
NP : AP = 1,72) and the environmental risk is negligible. Lack of carbonates at Ľubietová deposit causes that in 5 cases among 12 studied samples, are the NNP values
negative (neutralisation matter is entirely absent) and two values (samples A-3 and A-11) are very low (7.4 and
20.1; Table 4). NNP values from -20 to 20 (kg CaCO3
.t-1 of dump material) are possible to account as a “scale of
uncertainty” sensu US EPA methodics (Lintnerová & Majerčík, 2005) from viewpoint of the acidity production,
because there is no unambiguous forecast if the AMD will be produced. In spite of this fact results of our study
suggest that at Reiner and Podlipa is the assumption of AMD production very limited. Mining dump surrounding is characterized by no or very poor and dry soil cover with lack of soil nutrinents,
minimum of water combined with intensive evaporation, strong solifluction patterns and high heavy metal
content. The plants growing at such as habitats are usually tolerant to a high metal content, characterized by high
vitality and typical for xerothermic conditions. As a symptom of heavy metal contamination is possible mention violet to red stigmas and necrosis on leaves and
stems of vascular plants, nanic growth (Andráš et al., 2007; Chaves et al., 2011), reduction of roots (Banásová,
1976), chlorosis of leaves with green veining, growth stagnancy (Kopponen et al., 2001), drying of young
branches and decrease of leaves size (Pulford & Watson, 2003), ultrastructural effects (Ouzounidou et al., 1992). 4. Discussion Toxicity symptoms in plants from mining dumps (tendency for mould diseases, growth decrease, deformations
of cell organelles and plant tissues, chlorosis of leaves) show sometimes similar features as influence of lack of
essential elements. If the soil contains very high content of copper, we can in the plants see lack of Fe as a
consequence of immobilisation of Fe by Cu. As a result of Fe-lack we can see chlorosis of leaves, which could
be caused also by superabundance of Zn (Kopponen et al., 2001). To state the unambiguous specification of
toxicity reasons is necessary to have information about the heavy metal content in soil-plant system. Betula pendula is the tree which represents the most important dynamic element on mining dumps and is
considered as a focus of initial stages of vegetation due to litter formation, shadow and leeward (Banásová,
1976). Betula pendula is a suitable bioindicator of air pollution in urban areas (Samecka et al., 2009; Petrova,
2011) and it is used as a model organism in several studies focused on heavy metal influence on growth, annual
additions and reproductive effort (Samecka et al., 2009; Franiel & Babczynska, 2011). Our study also confirmed
decrease of birch leave blades caused by heavy metal content. 5. Conclusions The results of the research
document the plant defence reactions under the influence of stress factors at the dump sites (absence of soil and
water, the heavy metal contamination, mobility of the cohesionless slope material). seeds and in fruits. The plant tissues from the dump-field are heavily damaged. The results of the research
document the plant defence reactions under the influence of stress factors at the dump sites (absence of soil and
water, the heavy metal contamination, mobility of the cohesionless slope material). Botanic research indicated that the specific conditions at the dump-fields have evident influence on plants. Some
damage spots are visible even by naked eye but some of them were proved also statistically, by histological
study of Pinus sylvestris and by evaluation of morbid changes of Acetosella vulgaris. The Ľubietová-Podlipa dump-field dispose by certain degree of “self-cleaning ability”. Important part of the
heavy metals and contaminants is fixed in porous dump-material, Fe-hydroxides and in clay minerals (mainly
illite, caolinite, smectite and chlorite group), which show still an important free sorption capacity. The ability of
the drainage water precipitate cementation copper (as well as Sb and probably also other heavy metals as As) on
the iron surface give possibility to realize Fe0-barrier for elimination of heavy metals from the groundwater and
drainage water. Acknowledgements This work was supported by grant contracts VEGA 2-0065-11 and APVV-0663-10. We would like to thank Ján
Ostrolúcky and Ján Tomaškin for help with field work and statistical analyses. This paper has been elaborated in
the framework of the project Opportunity for young researchers, reg. no. CZ.1.07/2.3.00/30.0016, supported by
Operational Programme Education for Competitiveness and co-financed by the European Social Fund and the
state budget of the Czech Republic. 5. Conclusions The soil and technogenous sediments contamination is very irregular. It depends on the mineralogical
composition of ores, on the original concentration of the mentioned metals in the technogenic sediments of the
spoil dumps, and also on their migration abilities and sorption properties. Bilateral correlation of metals seems to
be influenced by incorporation of elements to various metastable phases as well as by present natural sorbents. This proces is controlled both by oxidation state and by ionic radius of elements. The surface water (and drainage water) as well as the groundwater water are substantially contaminated
predominantly by Cu, Fe, As and Sb. The content of the most dangerous contaminants: As3+, As5+, Sb3+ and Sb5+
don't pose acute risk. The only risk poses the spring of the mineral water Linhart because of the high
radioactivity and high Fe, Cu, Cd and Pb contents. The present natural sorbents are predominantly the clay minerals (illite, muscovite, caolinite, smectite) and
hydrogoethite. The clay minerals are good sorbents of V, Cr, Ti, W, Zr, Nb, Ta a Th and at the hydrogoethite of
Cu, Zn, Mo, Mn, Mg, ( Fe, Cd, Co, Ca). In the case of the Fe, As, Sb, Ag, Pb, Zn, Mn, Mo, Bi, U was proved
also the free sorption capacity. The paste or rinse pH of sediments measured in distilled H2O is around 5.3 and only very few samples account
acid values (< 5.0). Only several few samples show markedly acid reaction. The acidity production (AP) vary
from 0.625 to 10.31 (in average 3.7) and the neutralisation potential (NP CaCO3) from 0.66 to 12.71 kg.t-1 (in
average ca 27.1 kg.t-1 CaCO3). The value of the net neutralisation potential (NNP) and the NP : AP ratio show
that the potential of the acid mine drainage water formation is very limited (NNP = 1.42; NP : AP = 1.72) and
the environmental risk is negligible. The concentrations of the heavy metals in plant tissues decrease seriately in rate: Fe, Zn, Pb and Cu. The highest
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the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Background: To investigate the effect of fertility stress on endometrial and subendometrial blood flow among
infertile women. Methods: This case–control study was conducted in The First Affiliated Hospital of Zhengzhou University. The fertility
problem inventory (FPI) was adopted to evaluate fertility stress. Three-dimensional power Doppler ultrasonography
(3D PD-US) was performed during the proliferative phase of the menstrual cycle (days 5–11) to measure endometrial
thickness, pattern, endometrial and subendometrial volume (V), the vascularization index (VI), the flow index (FI) and
the vascularization-FI (VFI) index. Then, 300 infertile women were separated into two groups (high-score group and
low-score group) based on total FPI scores and 80 healthy women were selected as controls. Results: No differences were found among all three groups with regard to general characteristics, endometrial
thickness, pattern, endometrial and subendometrial V, VI and VFI. The endometrial and subendometrial FIs associated
with different stress levels significantly differed among the three groups (F = 33.95, P < 0.001; F = 44.79, P < 0.001,
respectively). The endometrial and subendometrial FIs in the control group were significantly higher than those in
the high-score group and low-score groups. The endometrial and subendometrial FIs in the low-score group were
significantly higher than those in the high-score group. The total FPI score was closely related to the endometrial
and subendometrial FIs (r = −0.304, P < 0.001; r = −0.407, P < 0.001, respectively). Conclusion: Fertility stress was associated with endometrial and subendometrial flow index. Whether fertility stress
might affect pregnancy outcome by reducing endometrial and subendometrial blood flow requires further research. Keywords: Infertility, Stress, 3D power Doppler ultrasound, Subendometrial flow index Keywords: Infertility, Stress, 3D power Doppler ultrasound, Subendometrial flow index outcomes have not been conclusively identified. Most
studies have suggested that anxiety and depression nega-
tively affect sex hormone, neuroendocrine, or immuno-
logic functions related to pregnancy failure [5]. Other
studies have suggested that fertility stress causes poorer
responses to ovarian function or decreases the number of
retrieved oocytes in IVF treatment [6, 7]. Moreover, Zhao
showed
that
restraint-induced
stress
inhibits
mouse
implantation by impairing uterine receptivity and down
regulating
oestrogen
(O)
and
progesterone
(P)
and
heparin-binding epidermal growth factor (HB-EGF) [8]. Castelrn proposed that fertility stress affects uterine artery
blood flow, consequently influencing IVF pregnancy out-
comes [9]. However, few studies have used endometrial
receptivity to address fertility stress when evaluating The effect of fertility stress on endometrial
and subendometrial blood flow among
infertile women Yuezhi Dong†, Yanna Cai†, Yu Zhang, Yurong Xing and Yingpu Sun* Yuezhi Dong†, Yanna Cai†, Yu Zhang, Yurong Xing and Yingpu Sun* Dong et al. Reproductive Biology and Endocrinology (2017) 15:15
DOI 10.1186/s12958-017-0236-7 Dong et al. Reproductive Biology and Endocrinology (2017) 15:15
DOI 10.1186/s12958-017-0236-7 Open Access * Correspondence: syp2008@vip.sina.com
†Equal contributors
Reproductive Medical Center, First Affiliated Hospital, Zhengzhou University,
Zhengzhou, Henan, China Transvaginal 3DPD-US examination g
Given the variability associated with ovulation, all of the
included women participated on menstrual days 5–11 to
avoid additional selection variation. The patients and
vaginal probe were kept as still as possible during the
Volume acquisition. A single investigator performed all
the examinations with a 5- to 9-MHz endocavitary
transducer using a Voluson E8 3D PD-US acquisition
device (GE Healthcare, Kretz, Zipf, Austria) to avoid
interoperator
bias. First,
endometrial
thickness
and
endometrial echogenicity were visualized in 2D B-mode. The maximum thickness of the endometrium was mea-
sured via a longitudinal section at the maximum antero-
posterior dimension. Then, the 3D PD-US mode was
activated to ensure that the entire uterine Volume
obtained included the entire subendometrium. The set-
tings were as follows: sweep angle, 120°; quality, low;
wall motion filter, low 1; pulse repetition frequency,
0.9 kHz; and rotating angles, 15°. As a result, 12 contour
planes were obtained for each endometrium. Once the
Volume measurement was complete, the manual mode
of the virtual organ computer-aided analysis (VOCAL)
software for the 3D PD-US histogram instrument was
used to calculate the Volume and the VI, FI and VFI
within the endometrium. The endometrial Volume was
drawn by hand along the endometrial outline. The area
of interest within the subendometrium was the region
10 mm from the endometrial border, and it was obtained
via editing in shell imaging [21]. The subendometrial
Volume, VI, FI and VFI were likewise calculated. The
vascularization index, which representedthe density of
vessels in the tissue and wasexpressed as a percentage. Background Although in vitro fertilization (IVF) has helped many in-
fertile couples become pregnant, those who choose to
undergo IVF often suffer from the costs of medical treat-
ment, the complexity of the procedures and unsuccessful
cycles [1, 2]. Recently, researchers and clinicians have
shown
that
psychological
factors
might
reduce
the
chances of achieving pregnancy with IVF [3–5]. Previous
studies have revealed a possible association between stress
and reproductive outcomes. However, the specific path-
ways or mechanisms regarding how stress affects these * Correspondence: syp2008@vip.sina.com
†Equal contributors
Reproductive Medical Center, First Affiliated Hospital, Zhengzhou University,
Zhengzhou, Henan, China Dong et al. Reproductive Biology and Endocrinology (2017) 15:15 Page 2 of 6 pregnancy outcomes. Moreover, how fertility stress affects
pregnancy outcomes through the neuroendocrine and im-
munologic systems remains unclear. Furthermore, histo-
logic and molecular studies are invasive [10, 11]. experience of a major life event over the past 12 months
or have mental disorder. The Clinical Ethics Commit-
tee, First Affiliated Hospital of Zhengzhou University,
approved this study. Endometrial receptivity allows blastocysts to implant
into endometrial tissue and grow successfully. Three-
dimensional power Doppler ultrasonography (3D PD-US)
is a unique, non-invasive technique used to examine the
vascularity of the entire endometrium or specific regions
of interest [12]. Several sonographic parameters, such as
endometrial thickness, pattern and volume (V), as well as
the endometrial and subendometrial vascularization index
(VI), flow index (FI) and vascularization-flow index (VFI),
have long been considered markers of endometrial recep-
tivity in clinical practice [13–16]. Furthermore, excellent
endometrial and subendometrial blood supplies indicate
endometrial receptivity and are related to successful IVF
outcomes [17]. Assessment of fertility stress y
Perceived fertility stress was assessed using the fertility
problem inventory (FPI) [18]. This measure shows satis-
factory reliability and validity, with a Cronbach’s alpha
coefficient ranging from 0.77-0.93. The Cronbach’s alpha
coefficient in this study was 0.79. The inventory contains
46 items across 5 domains including social concerns,
sexual concerns, relationship concerns, need for parent-
hood and rejection of a childfree lifestyle. Each item was
scored on a 6-point Likert scale in which 1 denotes “I
disagree” and 6 denotes “I totally agree”. A greater total
score indicated a higher level of perceived psychological
stress. This inventory has been widely used as a screen-
ing tool in clinical practice [19]. The Mandarin version
of the FPI (M-FPI) has been used effectively to evaluate
infertile couples in China [20]. Therefore, we hypothesize that alterations in 3D PD-
US imaging demonstrates the reduction in endometrial re-
ceptivity due to fertility stress. Specifically, we (i) tested
whether the endometrial thickness, pattern and 3D PD-
US parameters are possible indicators of the association
between fertility stress and endometrial receptivity; (ii)
aimed to identify which 3D PD-US parameters are related
to fertility stress. The 3D PD-US parameters in this study
refer to endometrial V and the endometrial and subendo-
metrial VIs, FIs and VFIs. Participants and eligibility This cross-sectional study was conducted on infertility
women who first came to the First Affiliated Hospital
Reproductive Medicine Centerof Zhengzhou University
in Henan province. A total of 300 infertility women who
were diagnosed with pure tubal factor and unexplained
factor from June 2015 to June 2016 were enrolled in this
study.(hysterosalpingography (HSG) and hysteroscopy
were used as the criterion for diagnosing of tubal fac-
tors.80 healthy women without fertility stress were
selected as the control group at the Physical Examin-
ation Centerof the First Affiliated Hospitalof Zhengzhou
University. All of the subjects (both infertility andhealthy
women) follow the eligibility criteria: (i) aged 20 to
40 years old; (ii) self-reported menstrual cycle length of
21–39 days and in days 5–11 of their menstrual cycle;
(iii) body mass index (BMI) less than 24.99 kg/m2; (iv)
No smoking; (v) No thyroid dysfunction, hyperprolacti-
nemia, adrenal hyperthyroidism and other endocrine
diseases,no
hypertension,
diabetes;(vi)
and
able
to
understand Chinese well enough to complete the ques-
tionnaires. The exclusion criteria were (i) hydrosalpinx;
(ii) no use of hormonal drugs within the past three
months; (iii) a history of pelvic surgery; (iv) the Dong et al. Reproductive Biology and Endocrinology (2017) 15:15 Page 3 of 6 Dong et al. Reproductive Biology and Endocrinology (2017) 15:15 Table 1 General characteristics for the three groups
Parameter
Control
(n = 80)
Low-scoregroup
(n = 150)
High-scoregroup
(n = 150)
Age (y)
31.5 ± 4.6
29.6 ± 4.1
30.1 ± 4.5
Residence
Urban
41 (51.2%)
66 (44.0%)
70 (46.6%)
Rural
39 (48.7%)
84 (56.0%)
80 (53.4%)
Infertility duration (y)
—
1.91 ± 0.80
2.05 ± 0.94
Type of infertility
Primary infertility
—
95 (63.3%)
92 (61.3%)
Secondary infertility
—
55 (36.6%)
58 (38.6%)
Cause of infertility
Female
—
75 (50.0%)
84 (56%)
Male
—
34 (22.6%)
35 (23.3%)
Mixed
—
21 (14.0%)
16 (10.6%)
Unexplained
—
20 (13.3%)
15 (10.0%)
History of childbearing
Yes
14 (17.5%)
24 (16.0%)
20 (13.3%)
No
66 (82.5%)
126 (84.0%)
130 (86.7%)
Examination date,
menstrual cycle (d)
9.60 ± 2.25 9.68 ± 2.22
9.61 ± 2.20 The flow index was thought to express the average in-
tensity of flow. The vascularization-flow index was a
combination ofvascularity and flow intensity. Statistical analyses y
All the data were analyzed using SPSS 17.0 (SPSS Inc.,
Chicago, IL, USA). A single factor variance analysis was
used to compare the differences of age, infertility dur-
ation, examination date and 3D-power Doppler charac-
teristics; Means and SDs were computed for all FPI
scores. U Mann–Whitney test were performed to com-
pare the different proportions of residence, types of in-
fertility, infertility causes and childbearing history across
the different levels of psychological stress. Compare 3 in-
dependent samples were run by single factor variance. Pearson correlation coefficient (r) was used to determine
the relationship between the FPI scores and the 3D PD-
US characteristics. The significance level for all analyses
was P < 0.05. score groups. The endometrial and subendometrial flow
indexes of the low-score group were significantly higher
than those of the high-score group (Table 3). Table 4 shows that the correlation coefficients between
the need for parenthood,total FPI score and endometrial
flow indexwere significantly different (P < 0.001). There
were significant correlations between social concern, re-
lationship concern, the need for parenthood, sexual con-
cern, total FPI score and subendometrial flow index
among infertile women (P < 0.001). However, the total
FPI score, endometrial thickness and endometrial echo-
genicity, as well as the endometrial and subendometrial
vascularization indexes and vascularization-flow indexes,
were not significantly correlated (P > 0.05). Results General information summarized in Table 1. The U
Mann–Whitney testresults showed there were no differ-
ences among the 3 groups in terms of age, residence, in-
fertility duration, infertility type, cause of infertility,
childbearing history, examination date or menstrual
cycle (P > 0.05). Table 2 shows the FPI scores of infertility women. The
total FPI scores of the high-score group were 186.60 ±
17.931,ranging from 165 to 242. The total FPI scores of
the low-score group were 143.44 ± 16.617,ranging from
97 to 164. Participants and eligibility Table 1 General characteristics for the three groups 300 infertile females were equally separated into two
groups according to their total FPI scores: patients in
the high-score group (n = 150) had higher total FPI
scores, which means have greater fertility stress.whereas
patients in the low-score group (n = 150) had lower total
FPI scores,which means have lower fertility stress. A total
of 80 healthy females served as controls. The sample size
was calculated using PASS11.0 software(PASS 11 citation:
Hintze J (2011). PASS 11. NCSS, LLC. Kaysville, Utah,
USA). In this study,The power is 100% and the p-value, is
set to be less than 0.05. Discussion Our study explored the effect of fertility stress on endo-
metrial and subendometrial blood flow, providing a We also compared the clinical characteristics, including
the endometrial thickness, volume, endometrial and suben-
dometrial
vascularization
indexes,
flow
indexes,
and
vascularization-flow indexes. The scores of the three groups
were similar in terms of endometrial thickness, endometrial
and subendometrial Volume and vascularization index and
vascularization-flow indexes (P > 0.05); however, the endo-
metrial and subendome trial flow indexes significantly
differed (P < 0.001). The endometrial and subendome-
trial flow indexes were significantly higher in the
control group than in the high-score group and low- Table 2 FPI scores of the infertility women
FPI scores
High-score group
(n = 150)
Low-score group
(n = 150)
Social concern
37.26 ± 6.452
26.61 ± 6.388
Relationship concern
36.55 ± 7.449
26.46 ± 6.992
Need for parenthood
50.53 ± 6.366
42.50 ± 8.611
Rejection of childfree lifestyle
34.81 ± 7.361
29.85 ± 6.859
Sexual concern
27.86 ± 5.616
18.02 ± 5.710
Total
186.60 ± 17.931
143.44 ± 16.617 Table 2 FPI scores of the infertility women Table 2 FPI scores of the infertility women Dong et al. Reproductive Biology and Endocrinology (2017) 15:15 Page 4 of 6 Page 4 of 6 Table 3 The 3D PD-US characteristics of the three groups
Parameter
Control
(n = 80)
Low-scoregroup
(n = 150)
High-score group
(n = 150)
Endometrial
thickness (mm)
7.38 ± 2.07
7.42 ± 2.58
6.93 ± 2.31
Endometrial
volume (cm3)
2.36 ± 0.97
2.16 ± 1.08
2.33 ± 0.97
Endometrial
vascularization
index (%)
2.92 ± 3.30
3.43 ± 3.93
3.49 ± 3.44
Endometrial flow
index
24.61 ± 6.10**
20.59 ± 4.98**
17.98 ± 6.27**
Endometrial
vascularization-flow
index
0.75 ± 0.96
0.63 ± 0.74
0.69 ± 0.73
Subendometrial
volume
33.17 ± 7.54
30.52 ± 10.40
31.30 ± 8.10
Subendometrial
vascularization
index (%)
9.93 ± 8.10
10.03 ± 6.37
9.64 ± 5.01
Subendometrial
flow index
31.83 ± 4.82**
27.83 ± 4.89**
24.86 ± 5.89**
Subendometrial
vascularization-flow
index
2.53 ± 1.88
2.62 ± 1.59
2.70 ± 1.35
**: P < 0.001
Single factor variance was used to compare 3 groups of endometrial and
subendometrial blood flow indexs One study showed that neither age nor type of infertil-
ity affected endometrial or subendometrial blood flow
[22]. However, other studies have shown that the FI is
significantly lower among women older than 31 but sig-
nificantly higher in mothers. Discussion The VI and VFI increased
during the proliferative period and peaked three days
after ovulation [23]. We compared the general character-
istics among the 3 groups and did not find any signifi-
cant
differences. In
addition,
we
compared
the
endometrial and subendometrial blood FIs, which were
shown to significantly differ among the three groups. More importantly, we found that fertility stress was
negative correlated with the endometrial and subendome-
trial FIs. Kupesic suggested that patients with greater
endometrial FIs were associated with higher pregnancy
rates [24]. This supposition is consistent with a study by
Schild who also showed that subendometrial FI was the
most important factor for predicting pregnancy outcomes
[25]. Moreover, the correlation coefficient regarding the
relationship between fertility stress and the endometrial
FIs was less than that between stress and the subendome-
trial FI; this finding might be because the blood flow of
the myometrium within the subendometrium directly af-
fects the blood supply of the endometrium. : P < 0.001
Single factor variance was used to compare 3 groups of endometrial and
subendometrial blood flow indexs However, the mechanisms through which fertility
stress affects the endometrial and subendometrial FIs re-
main unclear. we submit the following hypotheses. First,
the activation of the stress response causes a series of
neuroendocrine system reactions that are regulated by
the two main neuroendocrine axes: the hypothalamic-
pituitary-adrenocortical (HPA) axis and the sympathetic
adrenomedullary (SAM) system [26]. They are associ-
ated with increased concentrations of glucocorticoids
and catecholamines [27]. Stress can excite catechol-
amines alpha receptors
and
cause
vasoconstriction, comprehensive assessment that included endometrial
thickness, endometrial pattern and Volume as well as
endometrial and subendometrial VIs, FIs and VFIs. To
the best of our knowledge, this study is the first to iden-
tify that the endometrial and subendometrial FIs signifi-
cantly differed among these three groups and that
fertility stress was correlated with endometrial and sub-
endometrial FIs. : P < 0.001
Pearson correlation coefficient (r) was used to determine the relationship between the FPI scores and the 3D PD-US characteristics e; VI, Vascularization index; FI, Flow index; VFI, Vascularization-flow index
001 V, Volume; VI, Vascularization index; FI, Flow index; VFI, Vascularization-flow index
**: P < 0.001 Authors’ contributions Professor YPS has designed the project and is the director during the
process of conduction in this study. YNC, YZD and YZ were involved in the
initial literature search, contributed to designing the draft, data interpretation
and manuscript preparation. YNC and YRX were involved in reviewing the
manuscript, data collection and statistical analysis. All authors read and
approved the final manuscript. Discussion Table 4 The relationship between FPI scores and the 3D PD-US characteristics (r)
Social
concern
Relationship
concern
Need for
parenthood
Rejection of childfree
lifestyle
Sexual concern
Total FPI
score
Endometrial thickness
0.048
−0.044
−0.027
−0.02
0.06
0.006
Endometrial
echogenicity
−0.029
−0.018
0.034
−0.052
−0.11
−0.043
Endometrial V
0.105
0.009
0.081
0.025
0.020
0.072
Endometrial VI
0.007
0.049
0.092
−0.021
−0.035
0.031
Endometrial FI
−0.233**
−0.220**
−0.237**
−0.153**
−0.183**
−0.304**
Endometrial VFI
0.016
0.077
0.088
−0.028
0.012
0.052
Subendometrial V
−0.017
−0.023
0.107
0.078
−0.047
0.029
Subendometrial VI
−0.035
0.013
0.107
−0.100
−0.111
−0.031
Subendometrial FI
−0.350**
−0.313**
−0.229**
−0.195**
−0.291**
−0.407**
Subendometrial VFI
−0.010
0.019
0.111
−0.110
−0.087
−0.016
V, Volume; VI, Vascularization index; FI, Flow index; VFI, Vascularization-flow index
**: P < 0.001
Pearson correlation coefficient (r) was used to determine the relationship between the FPI scores and the 3D PD-US characteristics Page 5 of 6 Dong et al. Reproductive Biology and Endocrinology (2017) 15:15 Page 5 of 6 thereby reducing uterusblood flow [9]. Second,Cortico-
tropic-releasing hormone (CRH) activates the HPA axis
when stress is present in the body. Stress-induced HPA
axis
hyperfunction,
causing
hypothalamic-pituitary-
ovarianaxisaxis (HPO) dysfunction or disorder of which
the most important effect is to reduce the Gonadotropin
- releasing hormone (GnRH) pulse secretion and then
reduce the luteotropic hormone (LH) secretion. More-
over, CRH can not only reduce the basal level of estro-
gen but also inhibit Follicle stimulating hormone(FSH)
synthesis of O. When the levels of oestrogen drop, the
uterine basal and spiral arteries contract, followed by a
rise in peripheral vascular resistance. Blood flow distri-
bution is then reduced [28]. Keratinocyte growth factor
(KGF-2), which originates from uterine stromal cells, is
upregulated by the action of P. Slayden suggest that
KGF-2 may affect embryo implantation and pregnancy
outcome by increasing the blood supply to the myome-
trium and endometrium [29]. When the levels of P and
KGF-2 drop, the blood supply to the endometrium and
muscle layer decreases. Finally, stress can also cause per-
sistent endothelial cell dysfunction,increase endometrial
vascular permeability, reduced prostaglandin E2 (PG E2)
release, leading to vasodilation decreased and contrac-
tion increased. Moreover, Carolpointed out that angio-
tensin II can promote endometrial vasoconstriction,
resulting in blood volume decreased [30]. Bernatovasug-
gested that stress affects the neurotransmitter metabolism
of Nitric oxide (NO), acetylcholine and serotonin, which
eventually leads to decreases in the endometrial blood
flow [31]. Competing interests
Th
h
d
l
h The authors declare that they have no competing interests. Availability of data and materials All data supporting the conclusion of this article are included in thispublished
article. The present study has several strengths. First, our re-
sults provide new insights into the impact of fertility stress
on pregnancy outcomes. Moreover, rather than creating
an animal model, we used 3D PD-US and found that
fertility stress was associated with endometrial and suben-
dometrial FIs in women. Furthermore, we proposed a pos-
sible mechanism regarding how fertility stress affects the
endometrial and subendometrial FIs, which provided a
the oretical evidence for the impact of fertility stress on
endometrial and subendometrial blood flow. Funding g
No external funding was received for this study. Received: 30 November 2016 Accepted: 24 February 2017 Received: 30 November 2016 Accepted: 24 February 2017 Abbreviation
h 3D PD-US: Three-dimensional power Doppler ultrasonography; BMI: Body mass
index; CRH: Corticotropic-releasing hormone; FI: Fow index; FPI: The fertility
problem inventory; FSH: Follicle stimulating hormone; GnRH: Gonadotropin -
releasing hormone; HB-EGF: Heparin-binding epidermal growth factor; HPA: The
hypothalamic-pituitary-adrenocortical; HPO: Hypothalamic- pituitary-ovarianaxis;
IVF: In vitro fertilization; KGF-2: Keratinocyte growth factor; LH: Luteotropic
hormone; M-FPI: The Mandarin version of the FPI; N: Nitric oxide.; O: Oestrogen;
P: Progesterone; PG E2: Prostaglandin E2; SAM: The sympathetic
adrenomedullary; V: Volume; VI: Vascularization index; VFI: Vasculariza tion-flow
index; VOCAL: The virtual organ computer-aided analysis Conclusions This study demonstrates that fertility stress is closely asso-
ciated with endometrial and subendometrial FIs, but it is
not related to endometrial thickness, type or endometrial
and subendometrial VIs and VFIs. Fertility stress might re-
duce the endometrial receptivity by lowering the endo-
metrial and subendometrial FIs. Therefore, we should pay
more attention to women's fertility stress andto taking ef-
fective psychological interventions to reduce thefertility
stress may help improve the pregnancy outcomes. Acknowledgements This study was supported by the Physical Examination Department at the
First Affiliated Hospital of Zhengzhou University for agreeing to support our
research. We thank the people for their participation in this project. We also
thank Feijing Zhou,Zhimin Sun and Yanan Song for their help in collecting
the specimens. The language corrections in this study were made with the
help of American Journal Experts (AJE). Consent for publication
Not applicable. This study has several limitations. First, The limited
number of FPI items made it extremely difficult to deter-
mine whether other factors affect fertility stress. There-
fore, future studies that explore the role that stress plays
on endometrial and subendometrial FIs should use a col-
lection of stress biomarkers [32],and questionnaire data. Another weakness was our observational design. We
only found that fertility stress is closely related to endo-
metrial and subendometrial FIs. Whether stress affects
pregnancy outcomes requires future longitudinal re-
search. Finally, This study is only speculated and that
the impact of fertility stress on endometrial and suben-
dometrial blood flow lack direct evidence. Ethics approval and consent to participate All of the participants were recruited and approved by the Affiliated Hospital
of Zhengzhou University Ethics Committee. All of the participants were recruited and approved by the Affiliated Hospital
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perceived infertility-related stress. Fertil Steril. 1999;72:54–62. 19. Van den Broeck U, D’Hooghe T, Enzlin P, Demyttenaere K. References 1. Polinder S, Heijnen EM, Macklon NS, Habbema JD, Fauser BJ, Eijkemans MJ. Cost-effectiveness of a mild compared with a standard strategy for IVF: a
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and intracytoplasmic sperm injection. Women Health. 2011;51:321–39. 26. Tasker JG, Herman JP. Mechanisms of rapid glucocorticoid feedback inhibition
of the hypothalamic-pituitary-adrenal axis. Ann Ny Acad Sci. 2011;14:398–406. 27. Engert V, Vogel S, Efanov SI, Duchesne A, Corbo V, Ali N, Pruessner JC. Investigation into the cross-correlation of salivary cortisol and alpha-
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R. [Assessment of endometrial receptivity by color Doppler and ultrasound
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properties of Mandarin version of the fertility problem inventory (M-FPI) in
an infertile Chinese sample. J Psychosom Obstet Gynaecol. 2011;32:173–81. 21. Jarvela IY, Sladkevicius P, Kelly S, Ojha K, Campbell S, Nargund G. Evaluation
of endometrial receptivity during in-vitro fertilization using three-dimensional
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Tasker JG, Herman JP. Mechanisms of rapid glucocorticoid feedback inhibition
of the hypothalamic-pituitary-adrenal axis. Ann Ny Acad Sci. 2011;14:398–406. Submit your next manuscript to BioMed Central
and we will help you at every step: Submit your next manuscript to BioMed Central
and we will help you at every step: 23. Raine-Fenning NJ, Campbell BK, Kendall NR, Clewes JS, Johnson IR. Quantifying
the changes in endometrial vascularity throughout the normal menstrual cycle
with three-dimensional power Doppler angiography. Hum Reprod. 2004;
19:330–8. • We accept pre-submission inquiries
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and we will help you at every step: 24. Kupesic S, Bekavac I, Bjelos D, Kurjak A. Assessment of endometrial
receptivity by transvaginal color Doppler and three-dimensional power
Doppler ultrasonography in patients undergoing in vitro fertilization
procedures. J Ultrasound Med. 2001;20:125–34. 25. Schild RL, Holthaus S, d’Alquen J, Fimmers R, Dorn C, van Der Ven H, Hansmann
M. Quantitative assessment of subendometrial blood flow by three-dimensional-
ultrasound is an important predictive factor of implantation in an in-
vitro fertilization programme. Hum Reprod. 2000;15:89–94. 25. Schild RL, Holthaus S, d’Alquen J, Fimmers R, Dorn C, van Der Ven H, Hansmann
M. Quantitative assessment of subendometrial blood flow by three-dimensional-
ultrasound is an important predictive factor of implantation in an in-
vitro fertilization programme. Hum Reprod. 2000;15:89–94.
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English
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Farming and land use changes in Cerrado biome: the case of East Maranhão – Brazil (1985/2018)
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Colóquio
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1 We would like to acknowledge the financial support given by the Coordination for the Improvement of Higher
Education Personnel (Coordenação de Aperfeiçoamento de Pessoal de Nível Superior - CAPES), the administrative
support granted by the Postgraduate Program of Regional Development of the Federal University of Tocantins
(Programa de Pós-Graduação em Desenvolvimento Regional da Universidade Federal do Tocantins –PGDR/UFT), the
Federal Institute of Maranhão. Campus São Luís - Maracanã (IFMA) and the technical advice by Dr. Rodolfo Alves da
Luz (UFT/Porto Nacional). Keywords: Remote sensing. Land use. Farming production. Maranhão. Farming and land use changes in Cerrado biome:
the case of East Maranhão – Brazil (1985/2018)1 Thiago José Arruda de Oliveira2
Stefan Hubertus Dorner3
Waldecy Rodrigues4 Abstract This paper analyzed the reasons for land use changes in Caxias, East Maranhão, in the Northeast
region of Brazil, between 1985 and 2018. The analyzed region is located in MATOPIBA, which
includes the states of Maranhão, Tocantins, Piauí and Bahia, part of the Cerrado and also known
as the last agricultural frontier. Remote sensing using MapBioma to detect the location of forest
lands and farming fields was applied combined with IBGE database about the agricultural
production. Additionally, the application of questionnaires and interviews with regional soybean
farmers and stakeholders was used to obtain additional empirical information. The following four
categories probably responsible for those land use changes were analyzed: (1)
infrastructure/investments in facilities, (2) environment/availability of natural cover for
agriculture,
(3)
economy/entrance
of
global
agribusiness
companies;
and
(4)
demography/number of smallholder´s properties. Even though soy production has increased
significantly in Maranhão, due to large investments in infrastructure and IT, the main responsible
for deforestation and changes in land cover in the Caxias region has been pasture and cattle
breeding. Tight environmental procedures and strong difficulties to acquire large areas of
suitable land for high-tech commodity production have been the main obstacles for more
significant advances of soybean production in Caxias. Thus, protection of forests, multitask
agricultural activities, sustainable cattle breeding and soy production as part of a global supply
chain should be harmonized in order to guarantee well-balanced co-existing and development. 2 PhD. Regional Development and Agribusiness (UNIOESTE). Pos-doc fellowship at Pos Graduation Program of
Regional Development, Federal University of Tocantins, Brazil (UFT). https://orcid.org/0000-0002-7090-0202. thiago.arruda85@gmail.com 2 PhD. Regional Development and Agribusiness (UNIOESTE). Pos-doc fellowship at Pos Graduation Program of
Regional Development, Federal University of Tocantins, Brazil (UFT). https://orcid.org/0000-0002-7090-0202. thiago.arruda85@gmail.com 3 PhD. Regional Development and Agribusiness (UNIOESTE). Professor in Federal Institute of Maranhão, Brazil
(IFMA). https://orcid.org/0000-0002-2665-8615.stefan.doerner@ifma.edu.br 3 PhD. Regional Development and Agribusiness (UNIOESTE). Professor in Federal Institute of Maranhão, Brazil
(IFMA). https://orcid.org/0000-0002-2665-8615.stefan.doerner@ifma.edu.br 4 PhD. Social Sciences (UnB). Professor in B.A. Economic Sciences/Pos-Graduation Program of Regional Development,
Federal University of Tocantins, Brazil (UFT). https://orcid.org/0000-0002-5584-6586. waldecy@terra.com.br. OLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 130 Palavras-chaves: Sensoriamento remoto. Uso do solo. Produção agropecuária. Maranhão Palavras-chaves: Sensoriamento remoto. Uso do solo. Produção agropecuária. Maranhão vras-chaves: Sensoriamento remoto. Uso do solo. Produção agropecuária. Maranhão COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 Resumo. O artigo analisou as mudanças no uso do solo na Região de Caxias, Leste do Maranhão, Nordeste
do Brasil, entre os anos de 1985 e 2018. Essa delimitação encontra-se no MATOPIBA (Maranhão,
Tocantins, Piauí e Bahia), parte do Cerrado. Para tanto, utilizou o mosaico de imagens do
Mapbioma para detectar a localização das florestas e campos agrícolas e dos dados
agropecuários fornecidos pelo IBGE. Além disso, empregou-se as informações obtidas por meio
de entrevistas e questionários aplicados aos produtores de soja da região e stakeholders dessa
cadeia como forma de obter informações empíricas adicionais. Enumerou-se as seguintes
categorias para analisar as motivações que acarretaram as mudanças do uso do solo na região:
(1) melhorias na infraestrutura, (2) disponibilidade de solos para a agricultura, (3) entrada de
companhias globais do agronegócio no Brasil, e (4) quantidade significativa de pequenos
produtores rurais. Apesar do aumento da sojicultura no Leste do Maranhão, impulsionada pelos
investimentos em infraestrutura e TI, a pastagem, usado para a alimentação do gado, foi o
principal responsável pelas mudanças no uso do solo na região. Dentre as principais dificuldade
enfrentadas pelos sojicultores, a demora em obter licenças ambientais e a de adquirir tecnologia
para a produção agrícola em larga escala são os principais obstáculos. Dessa forma, o grande
desafio do Leste do Maranhão é garantir a proteção dos seus recursos naturais sem comprometer
a agricultura familiar, a pecuária bovina e a produção de soja. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 1 Introduction Farming is the main cause of land use and changes in tropical countries (KONG et al.,
2018)). In Brazil, the replacement of natural cover into agricultural fields is linked to the soybean
complex advance, the most noteworthy national rural production (BRASIL, 2019b; ARAÚJO et al.,
2019). The rise of soybean production began when a couple of Dutch immigrants and the
Brazilian Agricultural Research Corporation (EMBRAPA) developed cultivates specially adapted
to Cerrado biome during the 1970s (DUTRA; AREND, 2015). Agricultural aptitude, innovation, and
growing global demand in the following decades boosted Brazilian farming earnings in the
following decades (ELIAS, 2015; OLIVEIRA; RODRIGUES, 2019). As a consequence, grain fields
expanded widely in Brazil, mainly in large flat areas between the North and Northeast regions
known as MATOPIBA, which includes the states of Maranhão (MA), Tocantins (TO), Piauí (PI) and
Bahia (BA) (ELIAS, 2015; BECKMANN; SANTANA, 2019; SANO et al, 2019). COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 131 In the MATOPIBA region, agricultural sprawl led to a robustly rural-urban association
based on agricultural industry and new trade partners (ELIAS, 2017; 2018). This development is
notably as its context differs from the evolution of some European countries such as Portugal
and Sweden, where most of the rural properties were sold for real estate development or
abandoned by their owners, resulting in degeneration of those areas (ABRAMSON; HAGBERG,
2018; GOMES et al., 2018). In Maranhão, a state in the Brazilian Northeast, grain, specially soybeans, expanded in the
southern zone (DORNER et al., 2019). Previously, particularly between the 18th and 20th century,
the farmlands were concentrated in the central and eastern zones, dedicated to the cultivation
of cotton (Figure 1). Nevertheless, insufficient credits and lack of investments in infrastructure
and technology weakened the activity. This scenario differs from the current situation of soybean
production, strongly supported by national and multinational companies and marked by
significant investments in innovation and technology (ALMEIDA; MATTOS JÚNIOR, 2016;
PERPETUA et al, 2019). Figure 1. Infrastructure and localization of cotton (1775-1970) and soybean (1980-2017)
production in the state of Maranhão, Brazil. Figure 1. Infrastructure and localization of cotton (1775-1970) and soybean (1980-2017)
production in the state of Maranhão, Brazil. Adapted from: Dorner et al. (2019). COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 1 Introduction 2020 132 Recently, soybean fields have advanced into previously cotton areas, mainly in the
municipality of Caxias (Figure 1), earlier an important center of production and
commercialization of this culture and located near to two subregions5 with significant soybean
production: Chapadinha, in the northeast, and Colinas, in the southeast. In this area, soybean
yields increased by 31% between 2010 and 2017 (BRASIL, 2019a). As there is spare empiric
evidence about the reasons for changes in land use and agricultural production in the East
Maranhão, we decided to undertake further investigation and respond if soybean has become
the leading agricultural activity in this area, previously dominated by cotton. 5 The regions and subregions used in this work are official references prepared by the Brazilian Institute of Geography
and Statistics (IBGE). COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 5 The regions and subregions used in this work are official references prepared by the Brazilian Institute of Geography
and Statistics (IBGE) 2.1 Research area and proceedings The Region of Caxias, which includes three subregions, Codó, Caxias and Timon (Figure 2)
is located in the Eastern part of Maranhão, borders the state of Piauí and covers 27,873 km² with
a total population of 775,925 in 2018 (BRASIL, 2019c). It experienced well population growth of
0.8% between 2008 and 2018, during the expansion of soybean production (BRASIL, 2019c). Most
people of this region reside in the towns of Timon (167,973 inhabitants), Caxias (164,334
inhabitants) and Codó (122,597 inhabitants), nevertheless, a large part of its population still lives
outside the urban centers. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 133 Figure 2. Localization of study area
Elaborated by authors. The following methods have been applied to investigate possible changes in land use and
agricultural production in Eastern Maranhão between 1985 and 2018, a period in which most of
the regional agrarian production transformations took place: (1) remote sensing available from
MapBioma to detect the location of forest lands and farming fields; (2) Agricultural production
framework and (3) field research through the perceptions of regional soybean farmers and other
stakeholders, to identify probable causes that may explain the results obtained in the first two
topics. Figure 2. Localization of study area
Elaborated by authors. Figure 2. Localization of study area
Elaborated by authors. Figure 2. Localization of study area Figure 2. Localization of study area Figure 2. Localization of study area Elaborated by authors. The following methods have been applied to investigate possible changes in land use and
agricultural production in Eastern Maranhão between 1985 and 2018, a period in which most of
the regional agrarian production transformations took place: (1) remote sensing available from
MapBioma to detect the location of forest lands and farming fields; (2) Agricultural production
framework and (3) field research through the perceptions of regional soybean farmers and other
stakeholders, to identify probable causes that may explain the results obtained in the first two
topics. 2.2 Land use classification and data collection MapBioma is part of the Climate Observatory, which purposes constant mapping of
Brazil’s land use and detects any land cover changes through Landsat multispectral scanner
(MAPBIOMA, 2019). The images were acquired from the Google Earth Engine site for six single
years: 1985, 1995, 2005, 2010, 2015, and 2018, including three crucial periods: the development
of soybeans adapted to Cerrado (1985/1995), the increase in national agribusiness (2005/2010), COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 134 and the consolidation of agriculture commodities (2015/2018). All obtained images were pre-
processed and classified according to the Brazilian Institute of Geography and Statistics (IBGE),
the Food and Agricultural Organization (FAO) and the Intergovernmental Panel Climate Changes
(IPCC) patterns. In order to facilitate visual interpretation, six classes were distinguished: forest formation
(dark green), savanna formation (light green), pasture (yellow), agriculture (magenta), urban
infrastructure (red), and other formations (light yellow). The photo-images were compared with
the Google Earth database to assure reliability and graphic illustration and to summarize
information about the variations in land use changes during the analyzed period. However, as MapBioma does not offer information about existing agriculture crops in the
region, we used data of agricultural production and Farming Census for each municipality
provided by IBGE. The IBGE data base contains statistical information on planted area, quantity
and dimension of rural properties, always classified by each agricultural product and per year. Among possible causes to explain farming advance and consequently land use changes in
East Maranhão, four categories and their respective primary factors were built through pre-
classification scheme developed and successfully applied by Kong et al. (2018) in a study about
land use and land cover changes in the Northwestern Cambodian uplands: (1)
infrastructure/investments in facilities, (2) environment/availability of natural cover for
agriculture,
(3)
economy/entrance
of
global
agribusiness
companies;
and
(4)
demography/number of smallholder´s properties. Afterwards, those categories were cross-
checked and validated through triangulation with information obtained by interviews with 88
operating agents of the agri-industrial soybean system (45 farmers, 19 suppliers, six traders and
18 supporting participants) during 2015/2016 crop (DORNER, 2017). Full access to questionnaires
and transcriptions was granted, names preserved, and only information of respondents involved
in activities related to the region of Caxias employed (table 1). 2.2 Land use classification and data collection COLÓQUIO
R
i t d D
l i
t R
i
l F
t T
/RS
17
2
b /j
2020
135
Table 1. Categories and primary factors responsible for farming advance
Category
Primary factor
Period
Infrastructure
Investments in facilities
2010/2018
Environment
Availability of natural cover for agriculture
1985/2018
Economy
Entry of global agribusiness companies
1995/2018
Demography
Number of smallholder’s properties
1985/1995
Adapted from Kong et al. (2018). Table 1. Categories and primary factors responsible for farming advance
Category
Primary factor
Period
Infrastructure
Investments in facilities
2010/2018
Environment
Availability of natural cover for agriculture
1985/2018
Economy
Entry of global agribusiness companies
1995/2018
Demography
Number of smallholder’s properties
1985/1995
Adapted from Kong et al. (2018). . Categories and primary factors responsible for farming advance OLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 135 Related to infrastructure, the most notable investment in facilities was the construction
of the Maranhão Grain Terminal (TEGRAM) at the port of São Luís in 2016, which boosted exports
of agricultural commodities. Additionally, strong inputs in Information Technology (IT) speeded
up communication and business understanding between all economic agents of the agri-
industrial system and helped to reduce transaction costs. Respective to environment, the main
factor and probably the leading cause of land use changes, seems to be the vast natural area
available for agriculture and pasture in East Maranhão. The primary factor of the third category, economy, is the entrance of global agribusiness
players who invested huge amounts in Brazil, especially in the 1990s. In Maranhão, the amounts
were directed primary to soybean farmers in order to offer competitive private credits and to
keep agents in business, especially during crises. The fourth category, demography, has been affected primarily by the large number of
smallholders´s properties, mainly triggered by federal agricultural programs which financed
operations of small producers and as well guaranteed public purchase of their output between
2002 and 2010. Very often, such measures permitted reasonable earnings and kept small
producers in the rural areas. Data collection and proceedings are resumed in table 2. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 136
Table 2. Data collection and proceeding
Analyse
Input
Analytical process
Output
1. Patterns of Land Use
MapBioma scenes from Landsat
scanner (1985, 1995, 2005, 2010,
2015 and 2018)
Geostatistic
Geographic
illustration
2. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 2.2 Land use classification and data collection Farming production
Official statistics: agricultural
production of municipalities
(1995, 2005, 2010, 2015, and
2018), livestock production of
municipalities (1995, 2005, 2010,
2015, and 2018), and farming
census (2017)
Quantitative
Graphic
representation
3. Understanding the
changes
Interviews with farmers in 2016
(Dorner, 2017)
Qualitative
Explanation of
factors
Adapted from Kong et al. (2018). 3 Results and Discussion Table 2. Data collection and proceeding
Analyse
Inp 3 Results and Discussion COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 136 3.1 Land use and farming production analysis 3.1 Land use and farming production analysis Total forest cover in the East Maranhão decreased during each year of the investigation
as shown in figure 3, even though such reduction was not that severe between 1985 and 2018. There is still considerable land extension fully preserved, but pasture has advanced significantly
and become the main responsible for deforestation in the region. Meanwhile, since 2005,
agriculture as well has expanded in a large scale. Together, both activities have contributed for
most of the transformations occurred, primarily on the southern and northeastern borders. Apparently, sprawl of current production and introduction of new crops have led to more
intense land use all over East Maranhão in the current century. However, as it cannot be assured
if the magenta points in figure 3, which characterize agriculture, match with the advance of
soybeans crops in this area of study, more empirical evidence is required to determine if soybean
production has been responsible for such transformations or not. 137 Figure 3. Land use and natural cover in the Caxias Region (1985/2018). COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 138
Figure 3. Land use and natural cover in the Caxias Region (1985/2018). Adapted from Projeto MapBiomas (2019). Adapted from Projeto MapBiomas (2019). Adapted from Projeto MapBiomas (2019). Adapted from Projeto MapBiomas (2019). COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 138 Figure 4 reveals that agriculture increased only 1% (1985/2018), whereas pasture
advanced 5% in 1985 and 11% in 2018, respectively. Simultaneously, forest formation decreased
13% between 1985 and 2018, but its most intense reduction occurred between 1995 and 2005
and later on between 2015 and 2018. Another concerning figure is the increase of savanna formation by 7% in the same period,
known as “savannization,” a process in which dense woodlands are being replaced by poorer
biodiversity biomes. Figure 4. Variation (%) of land use and land cover between 1985 and 2018 in Caxias Region. re 4. Variation (%) of land use and land cover between 1985 and 2018 in Caxias Region. Figure 4. Variation (%) of land use and land cover between 1985 and 2018 in Caxias Region. Adapted from Projeto MapBiomas (2019). COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 6 Agricultural Production of Municipalities data by IBGE in 1985 unavailable. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 7 88 percent of rural smallholders used to produce cassava; bean production counts for 83 percent of total regional
output (BRASIL, 2019d). 6 Agricultural Production of Municipalities data by IBGE in 1985 unavailable. p
output (BRASIL, 2019d). g
p
y
7 88 percent of rural smallholders used to produce cassava; bean production counts for 83 percent of t 6 Agricultural Production of Municipalities data by IBGE in 1985 unavailable.
7 88 percent of rural smallholders used to produce cassava; bean production counts for 83 percent of total regional 3.1 Land use and farming production analysis 0
10
20
30
40
50
60
70
80
90
100
1985
1995
2005
2010
2015
2018
AGRICULTURE
OTHER FORMATION
PASTURE
SAVANNA FORMATION
FOREST FORMATION Figure 4. Variation (%) of land use and land cover between 1985 and 2018 in Caxias Region. Adapted from Projeto MapBiomas (2019). 0
10
20
30
40
50
60
70
80
90
100
1985
1995
2005
2010
2015
2018
AGRICULTURE
OTHER FORMATION
PASTURE
SAVANNA FORMATION
FOREST FORMATION According to figures 3 and 4, pasture is the primary land use in East Maranhão, usually
employed to cattle breeding. In 1995, the cattle inventory was at 264,369 head and in 2005
already at 328,175, an increase of more than 24%, the highest variation during the analyzed
period (BRASIL, 2019e). In 2018 the number had risen to 375,893, which meant one head of cattle
per inhabitant in the area of study. 139 Agriculture became relevant in land use in East Maranhão in 19956 (figure 5), but soy
plantation surged only in 2005, when the municipality of Afonso Cunha, a sub region of Caxias
registered its first crop. Previously, primary regional agricultural production was characterized by rice, and corn,
representing 38 and 25% of the total production in 2005. In the following years, rice production
decreased lightly and dropped to 28% whereas corn maintained its performance and soybeans
increased its participation significantly from 2005 to 2018, with a share of almost 18% (figure 5). Figure 5. Variation (%) of cultivated area between 1995 and 2018 in Caxias Region. Adapted from Brasil (2019a). 0
10
20
30
40
50
60
70
80
90
100
1995
2005
2010
2015
2018
OTHER CROP
SOYBEAN
CORN
CASSAVA
BEAN
SUGAR CANE
RICE Figure 5. Variation (%) of cultivated area between 1995 and 2018 in Caxias Region. Figure 5. Variation (%) of cultivated area between 1995 and 2018 in Caxias Region. 100 Adapted from Brasil (2019a). Adapted from Brasil (2019a). Cassava, beans and sugar cane are other important agricultural products in East
Maranhão, cassava, and bean, generally produced by small farmers7. Corn is as well essential for
these small producers and large landowners. On these latter proprieties, corn productivity,
generally based on high-tech equipment and proceedings, exceeds those of the smallholder’s
yields (SANO et al, 2019; OLIVEIRA; RODRIGUES, 2019). 3.1 Land use and farming production analysis 140 Based on these considerations, we can distinguish two phases which characterize more
intense land use changes in the East Maranhão: During the first phase, between 1995 and 2005,
pastures for cattle breeding displaced a significant amount of the woodlands, and during the
second phase, more recently, between 2015 and 2018, regional agricultural transformations
occurred due to the expansion of soy production. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 3.2 Understanding the changes The questionnaires and their transcriptions provided by Dorner (2017), were used to
circumstantiate previous observations with reference to the four categories and main factors
mentioned in table 1. Only 4% of the farmers who responded to the interviews produced soybeans in any
municipality in East Maranhão during 2015/2016 crop. Brasil (2019d) confirms this low number
demonstrating that just one owner planted more than 1,000 hectares of soybeans during
2016/2017 crop. None of the interviewed agents was living in the area of study, even though
they were residents of Maranhão state and close to the Caxias Region. With reference to the category infrastructure, a soybean producer from East Maranhão
pointed out that the initiation of the Grain Terminal (TEGRAM) in 2016 at the port of São Luís,
most important main public facility recently built, later on tendered and leased to private
companies, has opened huge trade opportunities for grain farmers and promoted considerable
growth of soy and corn production in the region. Particularly the trade of corn and soybeans to
China has reached significant increase. However, insufficient road maintenance has been
mentioned as major threat to grain logistics from yields to port. According to producers, another important factor of infrastructure has been the advance
of Information Technology (IT) enabling them to install wireless local area network (WLAN) on
their properties, even on remote areas, and obtain benefits from fast track internet. At this stage,
they are fully connected to international database and enabled to acquire any information on
time, as well as to be permanently linked to suppliers and traders, reducing their transaction cost
significantly. Moreover, the formation of producers in WhatsApp groups, has permitted better
organization among each other and faster and more efficient exchange of mutual experiences. IT has become a crucial element to promote soybean production in the East Maranhão. 141 The second category, environment, mentioned in figure 4 revealed as a main factor the
vast availability of natural lands, still covering half of the area of study in 2018. However,
according to the interviewed agents, the transformation of forests into agriculture lands has not
been simple. Licenses for deforestation, issued by SEMA, the environmental agency of Maranhão
state, are subject to very bureaucratic procedures resulting in extreme delays in approval or non-
approval of requirements. Consequently, the lack of legal security exacerbates planning and
cash-flow of soybean producers. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 3.2 Understanding the changes This scenario differs from the 1970s and 1980s, a period of non-
effective government control to reduce deforestation. Until 2000, online monitoring of deforestation through accurate satellite images was
unavailable and local inspection very rare, allowing rural producers to use the original cover
nearly unrestrictedly. Nowadays, however, agricultural producers face heavy fines in case of
deforestation without the environmental agency’s authorization. Such document needs to be
renewed every four years. Furthermore, Brazilian environmental laws require to conserve at least
20% of total property with original Cerrado biome. Nevertheless, a considerable loss of forest
formation between 2015 and 2018 can be stated as indicated in figures 3 and 4. The third category, economy, characterized by the entrance of major global agribusiness
players in the 1990’s, according to the interviewed producers, has pushed them to become highly
professional, with large investments in technology and workforce to keep competitive and to
sustain their position in a tight contractual system as part of a global supply chain. Such high investments require quick and easy access to loans at low interest rates, mainly
granted in a large scale by main global agribusiness players acting in Maranhão. Very often, this
has caused financial dependency on international companies, as payback uses to occur by long
term soybean supplying contracts, or even, in isolated cases, in case of default, to the loss of
some properties. Regional stakeholders recognize the difficulty of operating in the global commodity
markets and expect that this business will become even more challenging in the next decades. Thus, farmers who own land in the Caxias Region seem not to be very interested in cultivating
grain on a large scale. Landowners are usually native and more interested in keeping traditional
activities such as extensive cattle breeding, whereas the classic soybean producers are generally
native from the South of Brazil. As a result, only one single soybean producer succeeded to settle
in the examined region. However, in the long term, agriculture in Caxias is also subject to high
tech husbandry and should replace traditional activities. 142 With reference to the fourth category, demography and its main factor, the area hosts
115 villages and rural settlements and a considerable number of smallholders, representing a
strong restriction to the expansion of soybean production, as such high-tech activity demands
vast and plain properties to achieve economies of scale. 3.2 Understanding the changes Thus, it seems to be nearly unlikely for
investors to become large estate due to extreme elevated transaction cost caused by thousands
of spread smallholders. Consequently, native landowners probably prefer to continue investing in traditional
agricultural activities or cattle breeding, rather than to deforest and plant soybeans. Another limitation to agricultural expansion is the existence of Environmental Protection
Areas (APAs), where intensive land use is prohibited. East Maranhão hosts the APA Morro
Garapense, with an extension of 375,000 hectars. Its main function is to keep native forests and
protect traditional quilombolas and indigenous communities. According to the results, we identified probable categories and factors to explain the
advance of soybean production between 2015 and 2018. The building of facilities such as
TEGRAM and the modernization of IT improved infrastructure and made the relationship
between grain producers and other trade partners more efficient. Such interactions are
absolutely necessary to incorporate East Maranhão into the global commodity market. However,
the one hand, the entry of main global agribusiness players contributed to more professionalism
in the region, but, on the other, the extreme demand for high-tech and management skills
seemed to have discouraged many local rural producers. Actually, the difficulties to obtain permission for deforestation and the complexity to
negotiate with traditional smallholders may considered to be the major obstacles for more
soybean production in the area. Previously, between 1995 and 2005, slack environmental
regulation, permitted vast deforestation and transformation into wide areas of pasture with
cattle breeding, very often without any concern about economic viability. 4 Conclusions Soybean production has not become the main activity in East Maranhão the same way it
happened to cotton between 1775 and 1970. Agriculture in East Maranhão is responsible for less
than 1% of total area. Forest and savannah have remained the most important soil use, totaling
nearly 88%, nevertheless, whereas the first has but reduced its participation between 1985 and COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 143 2018 from 65% to 52%, the latter has increased from 25% to 36%, revealing a tendency of
deforestation and savannazation. Pasture continues the main economic activity increased its
participation of soil use from 5% to 10%. The expansion of soybeans has been hampered by an elevated number of small properties
and environmental restrictions which have not permitted the takeover of vast land for high-tech
production and permission for deforestation. The main challenge may consider a consensus
among the protecting of areas with original cover and traditional communities, and the creation
of competitive regional agricultural production of commodities as part of global supply chains. Hence, a probable framework with multitasked farming activities, on the contrary to
monoculture, which seemed to become dominant in Brazilian rural regions, should be prioritized. Mapbioma has proved to be an excellent tool to investigate land use in the Cerrado. The
research should be expanded to other areas of MATOPIBA in order to reveal deforestation and
savannization. Sustainable agriculture means production of commodities, important for Brazilian
trade balance, in accordance with the preservation of existing natural vegetation and
reforestation of degenerated areas8. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 8 Unfortunately, we are seeing the prevalence of a simplify rural development speech in Brazil (MIRANDA et al.
2020). 8 Unfortunately, we are seeing the prevalence of a simplify rural development speech in Brazil (MIRANDA et al.,
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desenvolvimento regional: perspectivas e desafio. Florianópolis: Editora Insular, 2018. GOMES E.; ABRANTES, P.; BANOS, A.; ROCHA, J.; BUXTON, M. Farming under urban pressure:
farmers land use and land cover change intentions. Applied Geography, v.102, p.58–70, 2019. DOI: https://doi.org/10.1016/j.apgeog.2018.12.009 GOMES E.; ABRANTES, P.; BANOS, A.; ROCHA, J.; BUXTON, M. Farming under urban pressure:
farmers land use and land cover change intentions. 5 References Informe Gepec, Toledo, PR, v.19, n.2, p. 23-40, Jul.Dec. 2015. DORNER, S. Análise do sistema agroindustrial da soja e seus efeitos sobre o desenvolvimento
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do Território (GOT), n. 16, p. 125-152 Mar. 2019. DOI: ______; OLIVEIRA, T.; SCHNEIDER, M. Maranhão: comparação da competitividade dos ciclos da
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do Território (GOT), n. 16, p. 125-152 Mar. 2019. DOI: https://doi.org/10.17127/got/2019.16.006 COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 OLIVEIRA, T. J. A.; RODRIGUES, W. Uma análise espacial da estrutura produtiva no interior do
Brasil: os clusters do agronegócio. Rev. Econ. NE, Fortaleza, v. 50, n. 1, p. 153-170, Jan.Mar.
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territorial looting in Maranhão. Braz. J. of Develop., Curitiba, v. 5, n. 1, p. 1611-1630, Jan. 2019. SANO, E. E.; ROSA, R.; SCARAMUZZA, C. A. M.; et al. Land use dynamics in the Brazilian Cerrado
in the period from 2002 to 2013. Pesquisa Agropecuária Brasileira, Brasília, v.54, 2019. DOI:
https://doi.org/10.1590/S1678-3921.pab2019.v54.00138 https://doi.org/10.17127/got/2019.16.006 Applied Geography, v.102, p.58–70, 2019. DOI: https://doi.org/10.1016/j.apgeog.2018.12.009 KONG R.; DIEPART, J. C.; CASTELLA, J. C.; LESTRELIN G.; TIVET, F.; BELMAIN E.; BÉGUÉ, A. Understanding the drivers of desforestation and agricultural transformations in the
Northwestern uplands of Cambodia. Applied Geography, v. 102, p.84-98, 2018. DOI:
https://doi.org/10.1016/j.apgeog.2018.12.006 MIRANDA, E.; CARVALHO, C. A.; MARTINHO, P. R. R.; OSHIRO, O. T. Contribuições do
geoprocessamento à compreensão do mundo rural e do desmatamento no bioma Amazônia. Colóquio - Revista do Desenvolvimento Regional, Taquara, RS, v.17, n.1, jan/mar, 2020. DOI:
https://doi.org/10.26767/coloquio.v17i1.1576 MIRANDA, E.; CARVALHO, C. A.; MARTINHO, P. R. R.; OSHIRO, O. T. Contribuições do
geoprocessamento à compreensão do mundo rural e do desmatamento no bioma Amazônia. Colóquio - Revista do Desenvolvimento Regional, Taquara, RS, v.17, n.1, jan/mar, 2020. DOI:
https://doi.org/10.26767/coloquio.v17i1.1576 PROJETO MAPBIOMAS. Coleção 4 da série anual de mapas de cobertura e uso de solo do Brasil. Available at: < http://mapbiomas.org/pages/scripts. Acessed on: Nov. 9 2019. PROJETO MAPBIOMAS. Coleção 4 da série anual de mapas de cobertura e uso de solo do Brasil. Available at: < http://mapbiomas.org/pages/scripts. Acessed on: Nov. 9 2019. COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 145 OLIVEIRA, T. J. A.; RODRIGUES, W. Uma análise espacial da estrutura produtiva no interior do
Brasil: os clusters do agronegócio. Rev. Econ. NE, Fortaleza, v. 50, n. 1, p. 153-170, Jan.Mar. 2019. PERPETUA, G. M.; COSTA, S. B.; THOMAZ JÚNIOR, A. The advance of commodities and the
territorial looting in Maranhão. Braz. J. of Develop., Curitiba, v. 5, n. 1, p. 1611-1630, Jan. 2019. 146
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Intraventricular Topotecan for the Treatment of Neoplastic Meningitis: Five Case Studies
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Journal of the advanced practitioner in oncology
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Intraventricular Topotecan for
the Treatment of Neoplastic
Meningitis: Five Case Studies JULIE WALKER, RN, FNP-C, AOCNP®, DIANA SCHULTZ, RN, MSN, ACNP,
KATHLEEN GRISDALE, RN, MSN, FNP-C, and MORRIS GROVES, MD, JD From The University of Texas MD
Anderson Cancer Center, Houston,
Texas Abstract Many systemic cytotoxic agents cannot penetrate the blood-brain barrier. Because of this, in approximately 5% of cancer cases, metastatic disease
is seen in the leptomeninges. Without treatment, patients with neoplastic
meningitis (NM) generally survive for only a matter of weeks. In the treat
ment of NM, intraventricular (IVT) topotecan results in progression-free and
overall survival outcomes similar to those seen with other IVT chemothera
pies, while being particularly well tolerated by most patients. In this article,
we present the case studies of five patients with NM, with various primary
malignancies, who received treatment with IVT topotecan. J Adv Pract Oncol 2012;3:237–241 Authors’ disclosures of potential
conflict of interest are found at the
end of this article. Correspondence to: Julie Walker,
RN, FNP-C, AOCNP®, 1515 Holcombe
Boulevard, Unit 431, Houston, TX
77030. E-mail: jgwalker@mdanderson.org
This work was originally presented
as a poster at the Society for
Neuro-oncology annual meeting in
November 2010. © 2012 Harborside Press® J Adv Pract Oncol 2012;3:237–241 A
d logic decline (Glantz, Van Horn, Fisher,
& Chamberlain, 2010). Intrathecal (IT)
and intraventricular (IVT) chemothera
py via an implanted ventricular reservoir
circumvents the blood-brain barrier and
blood–cerebrospinal fluid (CSF) barrier
to enable the drug to have direct contact
with the tumor cells. However, the che
motherapeutic agents commonly used
to treat NM via the IVT or IT route often
cause intolerable arachnoiditis evidenced
by headache, nausea, and vomiting
(Beauchesne, 2010). If untreated, arach
noiditis may cause life-threatening in
creased intracranial pressure. Toxicities
of IT chemotherapy often result in dose
reductions, increased use of steroids, and/
or discontinuation of the chemotherapy. Research into effective and well-tolerated
treatments continues (Groves, 2010). The
use of IVT topotecan in the treatment of A
s patients experience lon
ger survival times with
chronic malignancies, the
leptomeninges (arachnoid
and pia mater) may increasingly play
host to metastatic disease from a va
riety of primary cancers. This occurs
in approximately 5% of cancer cases
(Chamberlain, 2008); due to the inabil
ity of many systemic cytotoxic agents
to penetrate the blood-brain barrier,
the leptomeninges can become a sanc
tuary for a number of metastatic ma
lignancies (Groves et al., 2008). With
out treatment, patients with neoplastic
meningitis (NM) have an overall survival
of only a few weeks (Groves, 2010). GRAND ROUNDS GRAND ROUNDS 237
AdvancedPractitioner.com
Vol 3 No 4 Jul/Aug 2012 Case Study 1: Multiple Myeloma A 56-year-old man who was diagnosed with
a primary cancer of multiple myeloma in January
2006 presented with lethargy, headache, weakness,
and seizures. On August 6, 2007, magnetic resonance
imaging (MRI) of the brain revealed abnormal en
hancement of the genu/body of the corpus callosum,
more prominent on the right; intensive leptomenin
geal enhancement involving the basal cisterns, me
dial cortical sulci, brainstem, vermis, and bilateral
auditory canals; and mild hydrocephalus. Whole-
spine MRI on August 14 revealed extensive intrathe
cal disease in the cervical and thoracic spine, conus,
and cauda equina. Subsequent lumbar puncture re
vealed typical immature plasmacytoid cells consis
tent with involvement by multiple myeloma. The patient underwent whole-brain radiation
at 35 Gy in 14 fractions followed by radiation to the
sacral spine; the total radiation dose was 36 Gy in 12
fractions. She had some improvement in right lower
extremity symptoms following radiation. On April
20, 2009, she underwent placement of an IVT res
ervoir; on April 30, she began IVT topotecan. Other
treatments received during treatment with topo
tecan included capecitabine (Xeloda), vinorelbine,
nab-paclitaxel (Abraxane), zoledronic acid, pacli
taxel, and spinal radiation. On August 10, 2007, the patient underwent place
ment of an Ommaya reservoir. He then underwent
whole-brain radiation to a total of 30 Gy, which was
completed on August 20. Following this, radiation
therapy was delivered to the whole spine, consisting
of 25 Gy over 10 fractions at 2.5 Gy per fraction to the
cervical, thoracic, and lumbar spine. On September
27, treatment with IVT topotecan was started. Other
treatments during IVT topotecan therapy included
donor lymphocytes, bortezomib (Velcade), dexa
methasone, cyclosporine, epoetin alfa, and radiation
to a pelvic mass. The patient experienced arachnoiditis symp
toms during treatment with IVT topotecan, includ
ing headache, fever, chills, and stiff neck. She received
no special intervention for any of these symptoms. Serial MRI brain imaging over the course of the pa
tient’s treatment with IVT topotecan revealed no
evidence of toxicity. The patient’s total length of treatment with IVT
topotecan was 9 months; treatment was discontin
ued due to progression of her primary cancer. Her
KPS scores at the beginning and end of her treatment
with IVT topotecan were 90 and 20, respectively. The patient experienced arachnoiditis symp
toms while on topotecan, including gait ataxia,
confusion, and slurred speech, but he received no
special interventions. Case Study 1: Multiple Myeloma Over the course of treatment,
serial brain MRI revealed white matter changes
consistent with mild toxicity. Case Study 2: Breast Cancer In 2007, a 32-year-old woman was diagnosed
with invasive carcinoma of the left breast (estrogen-
receptor positive, progesterone-receptor negative,
HER2/neu negative), with metastasis to the lung and
bone at the time of diagnosis. In January 2009, the
patient was diagnosed with NM in the lumbosacral
spinal cord as well as in the cerebellum. Symptoms
at the time of NM diagnosis included decreased mo
bility, paresthesia and weakness in the right lower
extremity, and constipation. Objective findings at
the time of NM diagnosis included right foot weak
ness, sensory loss, saddle paresthesia, MRI enhance
ment of the cerebellum, bilateral hemispheres, fo
lia cerebella, and epidural enhancement of S1-2 in
the sacral spine. Cerebrospinal fluid cytology was
persistently negative. Abstract While some authorities argue that
treatment is only palliative, it provides
an important means of stabilizing the
patient and preventing further neuro 237
AdvancedPractitioner.com
Vol 3 No 4 Jul/Aug 2012 WALKER et al. GRAND ROUNDS
WALKER et al. GRAND ROUNDS NM results in progression-free and overall survival
outcomes similar to those of other IVT chemothera
pies, while being particularly well tolerated by most
patients (Groves et al., 2008).i discontinued due to progression of primary dis
ease. His Karnofsky performance status (KPS)
scores at the beginning and end of treatment for
NM were 70 and 60, respectively. Presented here are case studies from five pa
tients who received IVT topotecan for NM. Primary
tumors were as follows: two patients with primary
breast cancer, one patient with multiple myeloma,
one patient with medulloblastoma, and one patient
with melanoma. Overall, we found that IVT topo
tecan was well tolerated with few symptoms of
arachnoiditis, making it a viable treatment for pa
tients with NM originating from a variety of primary
tumor sites. AdvancedPractitioner.com Case Study 3: Melanoma A 54-year-old woman was initially diagnosed
with melanoma of the left posterior shoulder
in 2002. In 2007, she was found to have widely
metastatic disease involving the lung, liver, gastroin The total length of the patient’s treatment
with IVT topotecan was 5 months; it was then 238
ncol
Adv 238
J Adv Pract Oncol
AdvancedPractitioner.com J Adv Pract Oncol 238 IVT TOPOTECAN IN NEOPLASTIC MENINGITIS GRAND ROUNDS testinal tract, and left parietal lobe of the brain. On
January 22, 2009, a brain MRI was suspicious for
NM (see Figure 1). Subsequently, an IVT reservoir
was placed on February 17. At the time of reservoir
placement, the CSF was positive for malignant cells
consistent with melanoma. tongue and along the left cheek and jaw area, and
hypogeusia. Objective findings included T2 hyper
intensity and enhancement seen overlying the cer
ebellar vermis. A lumbar puncture was performed,
revealing malignant cells within the CSF consistent
with a diagnosis of medulloblastoma. On July 21,
2008, the patient had an IVT reservoir placed and
surgical removal of his recurrent medulloblastoma.i Symptoms at the time of NM diagnosis were
positive for only residual paresthesias noted with
original parietal metastasis. Objective findings at the
time of diagnosis included ependymal enhancement
around the left frontal horn and posterior aspect of
the left occipital horn consistent with CSF dissemi
nation of disease. The patient had no specific treat
ment for NM prior to the initiation of IVT topote
can. She had no treatments concurrent with IVT
topotecan. Symptoms during the time of IVT treat
ment that could have been related to arachnoiditis
included nausea and headache. She received dexa
methasone as an intervention and had good results. Serial MRI imaging over the course of treatment re
vealed moderate evidence of toxicity. On August 1, the patient received his first IVT
treatment with topotecan. Treatments administered
concurrently with IVT topotecan included systemic
treatment with etoposide, cisplatin, and cyclophos
phamide. Arachnoiditis symptoms included fatigue,
nausea, vomiting, neck stiffness, lethargy, seizures,
visual hallucinations, and headaches, for which
dexamethasone was given. The patient’s total length of treatment was 12
months. Serial brain MRI over the course of treat
ment revealed no evidence of toxicity. Treatment
was stopped at the patient’s request due to progres
sion of NM. His KPS scores at the beginning and end
of his treatment for NM were 80 and 90, respectively. Case Study 5: Breast Cancer In 2005, a 43-year-old woman was diagnosed
with cancer of the left breast. She was found to have
metastasis to the lung in 2007 and then brain metas
tasis and leptomeningeal enhancement of the cer
ebellum, vermis, and sylvian fissure in April 2009. She underwent whole-brain radiation followed by
placement of an IVT reservoir in June 2009. Case Study 3: Melanoma The patient was treated with IVT topotecan for
a total of 9 months; treatment was discontinued due
to radiographic progression of NM. Her KPS scores
at diagnosis and at the end of topotecan treatment
were 90 and 20, respectively. Case Study 4: Medulloblastoma In 2001, a 37-year-old man received a primary
diagnosis of medulloblastoma after complaining of
diplopia. In July 2008, he was diagnosed with NM. Subjective symptoms at the time of NM diagnosis
included fatigue, numbness along the left edge of his The patient’s subjective symptoms at diagnosis
of NM included headache, constipation, unilateral Figure 1: Case Study 3: Moderate white matter toxicity on brain MRI between the beginning (A) and the end (B)
of treatment with IVT topotecan. Images printed with permission from the University of Texas MD Anderson Cancer
Center. A
B B A Figure 1: Case Study 3: Moderate white matter toxicity on brain MRI between the beginning (A) and the end (B)
of treatment with IVT topotecan. Images printed with permission from the University of Texas MD Anderson Cancer
Center. 239
AdvancedPractitioner.com
Vol 3 No 4 Jul/Aug 2012 239 AdvancedPractitioner.com GRAND ROUNDS
WALKER et al. 240
J Adv Pract Oncol
AdvancedPractitioner.com
Table 1. 240
J Adv Pract Oncol
AdvancedPractitioner.com Results In five patients receiving IVT topotecan, the av
erage KPS at diagnosis of NM was 82. The average
length of treatment was 8 months. All five patients
had symptoms of arachnoiditis while receiving IVT
topotecan, but only two patients had symptoms se
vere enough to require intervention. Further, it is
unclear whether symptoms were related to topo
tecan, disease, or other concurrent treatments. The
average KPS at the end of treatment was 40. Radio
graphic evidence of white matter toxicity occurred
in three patients, but the etiology was difficult to
determine as each had also received whole-brain
radiation. See Table 1 for functional status and tox
icity information for all five patients. DISCLOSURE The authors have no conflicts of interest to
disclose. REFERENCES Beauchesne, P. (2010). Intrathecal chemotherapy for treatment
of leptomeningeal dissemination of metastatic tumours. Lancet Oncology, 11(9), 871–879. http://dx.doi.org/10.1016/
S1470-2045(10)70034-6 IVT TOPOTECAN IN NEOPLASTIC MENINGITIS GRAND ROUNDS hearing loss, and paresthesia. Objective findings at
the time of NM diagnosis included right hemibody
weakness, gait instability, urinary retention, radio
graphic evidence of metastasis to leptomeninges of
the cerebellum extending into sylvian fissures, mass
effect compressing left optic chiasm, leptomeningeal
enhancement of T2-3, 7 and intrathecal roots in the
lumbar sac. Neoplastic meningitis treatment prior
to receiving IVT topotecan consisted of whole-brain
radiation. Other treatments given concurrently with
IVT topotecan included capecitabine, spinal radia
tion, cisplatin, and lapatinib (Tykerb). Symptoms of
arachnoiditis during IVT topotecan treatment in
cluded headache, vomiting, and delirium; however,
no interventions were documented. Serial MRI brain
images over the course of treatment with IVT topote
can revealed mild evidence of toxicity. Unfortunately, there are many confounding
factors when trying to determine the cause of neu
rologic symptoms in NM patients receiving IVT
topotecan. Imaging studies may reveal treatment-
related toxicities. However, due to its limited
toxicity and its equivalence in efficacy outcomes
when compared with other IVT chemotherapies,
IVT topotecan should be considered a front-line
choice for IVT chemotherapy in those patients
for whom this local-therapy approach is deemed
appropriate (Groves et al., 2008). Further, IVT
topotecan warrants further investigation in com
bination with other IVT chemotherapies and in
combination with newer systemic chemothera
pies. Well-designed, randomized studies testing
the efficacy and tolerability of IVT topotecan, in
cluding a quality-of-life component, are needed. The patient was treated with IVT topotecan
for a total of 5 months. It was then discontinued
due to radiographic progression of NM. Her KPS
scores were 80 and 10 at the beginning and end of
treatment with topotecan, respectively. Advanced practitioners have the opportunity
to play a crucial role in the detection of subtle neu
rologic changes that may signal initial metastatic
involvement of the leptomeninges or adverse re
actions to treatment. Responsibilities of the ad
vanced practitioner include symptom manage
ment and ordering appropriate consultations and
services such as physical therapy, supportive care,
and home health and home safety evaluations. Ad
vanced practitioners should play an active role in
the design and implementation of research studies
related to NM, particularly in advocating for the in
clusion of measurable quality-of-life components. Case Study 4: Medulloblastoma Functional Status and Toxicity in Five Patients With Neoplastic Meningitis Treated With IVT Topotecan
Case
study Age
Primary
cancer
Symptoms at
NM diagnosis
Objective finding at
NM diagnosis
NM
treatment
prior to IVT
topotecan
Other treatment
during IVT topotecan
Arachnoiditis
symptoms
MRI
evidence
of toxicity
Length of
treatment
Reason
treatment
discontinued
KPS at
beginning
and end of
treatment
1
56
Multiple
myeloma
Lethargy
Headache
Weakness
Seizure
Hydrocephalus
Malignant cells in CSF
Whole-brain
and spinal
XRT
Donor lymphocytes
Bortezomib
Dexamethasone
Cyclosporine
Epoetin alfa
XRT to pelvic mass
Gait ataxia
Confusion
Slurred speech
Intervention: none
Mild
5 mo
Progression
of primary
disease
70/60
2
32
Breast
Decreased
mobility
Paresthesia
Weakness
Constipation
Right foot weakness
Sensory loss
Saddle paresthesia
MRI enhancement of
cerebellum, bilateral
hemispheres, folia
cerebella, epidural
S1-2
Whole-brain
and spinal
XRT
Capecitabine
Vinorelbine
nab-paclitaxel
Zoledronic acid
Paclitaxel
Spinal XRT
Headache
Fever
Chills
Stiff neck
Intervention: none
None
9 mo
Progression
of primary
disease
90/20
3
54
Melanoma
None
MRI enhancement left
ventricle, lumbar and
thoracic spine
None
None
Nausea
Headache
Intervention:
dexamethasone
Moderate
9 mo
Mental status
changes
Intracranial
hemorrhage
90/20
4
37
Medullo-
blastoma
Numbness of
left tongue,
jaw, cheek
Loss of taste
Malignant cells in CSF
MRI spine revealed
NM
None
Cisplatin
Cyclophosphamide
Etoposide
Nausea
Vomiting
Fever
Neck stiffness
Headache
Lethargy
Seizures
Visual
hallucinations
Visual field cuts
Intervention:
dexamethasone
None
12 mo
Radiographic
progression
of NM
80/90
5
43
Breast
Headache
Constipation
Unilateral
hearing loss
Paresthesia
Right
hemibody
weakness
Gait instability
Urinary
retention
MRI metastasis to
leptomeninges
of cerebellum,
extending into sylvian
fissures, mass effect
compressing left optic
chiasm
Leptomeningeal
enhancement of T2-
3,7 and intrathecal
root in lumbar sac
Whole-brain
XRT
Capecitabine
Spinal XRT
Cisplatin
Lapatinib
Headache
Vomiting
Delirium
Intervention: None
Mild
5 mo
Progression
of NM
80/10
Note. NM = neoplastic meningitis; IVT = intraventricular; MRI = magnetic resonance imaging; KPS = Karnofsky performance status; CSF = cerebrospinal fluid; XRT = radiation. 240 J Adv Pract Oncol AdvancedPractitioner.com IVT TOPOTECAN IN NEOPLASTIC MENINGITIS Conclusions Chamberlain, M. C. (2008). Neoplastic meningitis. Oncolo
gist, 13, 967–977. http://dx.doi.org/10.1634/theoncolo
gist.2008-0138 Even though all patients experienced nausea,
vomiting, headache, or other neurologic symp
toms while receiving IVT topotecan, symptoms
were not generally severe enough to limit treat
ment. Dexamethasone was documented as the
only treatment intervention. The average dura
tion of treatment was 8 months, which may cor
respond to the study by Groves et al. reporting a
19% 6-month progression-free survival, with 32%
of those patients reporting mild arachnoiditis
(Groves et al., 2008). Glantz, M. J., Van Horn, A., Fisher, R., & Chamberlain, M. C. (2010). Route of intracerebrospinal fluid chemotherapy
administration and efficacy of therapy in neoplastic men
ingitis. Cancer, 116, 1947–1952. http://dx.doi.org/10.1002/
cncr.24921 Groves, M. D. (2010). New strategies in the management of lep
tomeningeal metastases. Archives of Neurology, 67(3), 305–
312. http://dx.doi.org/10.1001/archneurol.2010.18 Groves, M. D., Glantz, M. J., Chamberlain, M. C., Baumgartner,
K. E., Conrad, C. A., Hsu, S.,…Yung, W. K. (2008). A mul
ticenter phase II trial of intrathecal topotecan in patients
with meningeal malignancies. Neuro-Oncology, 10(2), 208–
215. http://dx.doi.org/10.1215/15228517-2007-059 241 Vol 3 No 4 Jul/Aug 2012 AdvancedPractitioner.com
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https://openalex.org/W4390752714
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https://www.researchsquare.com/article/rs-3830286/latest.pdf
|
English
| null |
Epidemiology and Patient Characteristics of Chronic Kidney Disease in Saudi Arabia
|
Research Square (Research Square)
| 2,024
|
cc-by
| 6,545
|
Epidemiology and Patient Characteristics of Chronic
Kidney Disease in Saudi Arabia Abdullah Kashgary Results: The data set included 112,204 participants with a mean age of 44 years. Participants represented nearly
all major cities in KSA with CKD prevalence ranging from 3-5%. CKD-group were older with males
representing 53%. Patients with CKD have higher serum uric acid, PTH, phosphorus, potassium, HBA1C, triglycerides, and
lower cholesterol, hemoglobin, platelets, and phosphorus levels. The LDL/HDL cholesterol ratio was not
different compared to non-CKD. Vitamin D deficiency was prevalent among study participants (60%) with
a lower prevalence among patients with CKD. Higher age, serum uric acid, and presence of proteinuria were the most significant predictors of the
presence of CKD. Absence of proteinuria is associated with a tenfold reduction in the odds of having
CKD (AOR 0.10 (95% CI (0.04-0.21). Methods: This is a retrospective study using data from (Al Borg) a major laboratory provider between April 2014
and May 2023. The study included adult patients in KSA with at least two serum creatinine results over 6
months. Patients on renal replacement therapy and those with acute kidney injury were excluded. Data
collected and analyzed included available patient demographics and medical characteristics. CKD-EPI
equation 2021 was used to calculate eGFR. Introduction: CKD is a global public health issue with rising mortality rates over the past two decades. In Kingdom
Saudi Arabia (KSA), CKD is a substantial concern, however, data is scarce about CKD characteristics. The
primary aim is to estimate CKD prevalence, characteristics and risk factors. Conclusion: This study revealed a CKD prevalence of 4% with slight gender and geographic variation. Patients with
CKD were older and exhibited distinct laboratory characteristics. Absence of proteinuria was associated
with a tenfold reduction in the odds of having CKD, emphasizing the importance of early detection and
intervention. Research Article Additional Declarations: No competing interests reported. Additional Declarations: No competing interests reported. Page 1/23 Introduction Chronic Kidney disease (CKD) is a significant public health issue worldwide. More than 800 million
people worldwide or over 10% of the population have CKD. Over the past 20 years, CKD has been one of
just a few non-communicable diseases that have shown an increase in associated mortality. CKD has
been also a major cause of morbidity which impacts patients’ quality of life [1]. Page 2/23 In the Kingdom of Saudi Arabia (KSA), CKD is a substantial public concern. Over 20,000 people in KSA
are currently receiving dialysis, while 9,810 kidney transplant recipients are receiving follow-up care. According to estimates, 294.3 people in a million receive either one of renal replacement therapy
modalities [2]. Compared to estimates from Western Europe and North America, the age-standardized prevalence of
CKD is projected to be higher in Saudi Arabia [3]. The prevalence of CKD in Saudi Arabia is a matter of
growing concern as it poses a substantial burden on healthcare systems, contributes to increased
morbidity and mortality rates, and necessitates comprehensive strategies for prevention, early detection,
and management. There is only scarce data on the prevalence and distribution of CKD in the Saudi population. Moreover,
the risk factors associated with CKD have not been sufficiently studied in KSA. Better understating of
CKD prevalence and risk factors is greatly needed due to the large number of afflicted people and the
serious negative effects of CKD. So, the aim of this study is to estimate the prevalence and risk factors
of CKD in KSA. Inclusion Criteria: All Adult patients (age≥20 years) living at KSA who had at least two laboratory result of serum creatinine
or cystatin C in more than 6 months from 2014-2023. Methods This is a retrospective study of CKD prevalence in KSA. Data was collected from (Al Borg Medical
Laboratories) a major laboratory provider in the country from 2014 to 2023. Patients registered data was
used to collect demographic, and medical characteristics if possible. Serum creatinine was used in addition to patient age and gender to calculate the estimated glomerular
filtration rate (eGFR) using CKD-EPI equation 2021 [4]. If the patient had more than one serum creatinine
result, the last 6-months average will be used for calculation of eGFR. Staging of CKD was done
according to the KDIGO criteria [5]. Aim of the study: The primary objective of this study was to estimate the prevalence of CKD and identify potential risk
factors among adults living in Saudi Arabia. Sample size calculation: Sample size was calculated using Power Analysis and Sample Size Software (PASS 15; NCSS, LLC. Kaysville, Utah, USA, ncss.com/software/pass, 2017), based on a previous pilot study [3] showing that
the prevalence of CKD in KSA is around 5%. As the study is retrospective study, there will be no dropout
rate. Adopting an alpha error level of 5%, beta error level of 10%, statistical power of 90% and assuming
to detect a difference of 2-3% the sample size of at least 668 patients is expected to be a convenient
sample. However, we will include all patients who met the inclusion/exclusion criteria between 2014-
2023. Exclusion Criteria: 1. Patients who are identified as renal replacement therapy (Hemodialysis, Peritoneal dialysis, or kidney
transplant recipients). Page 3/23 2. Patients who will be identified as having acute kidney injury depending on normalization of their follow
up serum creatinine. 2. Patients who will be identified as having acute kidney injury depending on normalization of their follow
up serum creatinine. The patients were divided into two groups: 1. CKD group who fits the KIDIGO definition of “kidney damage or glomerular filtration rate (GFR) <60
mL/min/1.73 m2 for 3 months or more, irrespective of cause.” [6] 2. Non-CKD group. The two groups were compared as regard available demographics, clinical and other laboratory data. The available demographic and other laboratory data was also collected to identify the risk factors
associated with CKD. Since this is a retrospective study, the sampling will be as random as patients
going to the laboratory to perform the test. Statistical Analysis Data was coded, computed then analyzed using IBM SPSS (Statistical package for social science)
version 27 for Windows to obtain: Descriptive statistics: litative data: was presented by frequency tables (Number and percentages) Qualitative data: was presented by frequency tables (Number and percentages). Quantitative variables: the normality of data was first tested with kolmogorov smirnov test/Shapiro-Wilk
test and presented data by central indices and dispersion: Quantitative variables: the normality of data was first tested with kolmogorov smirnov test/Shapiro-Wilk
test and presented data by central indices and dispersion: Mean ± Standard deviation (SD) for normally distributed variables. Mean ± Standard deviation (SD) for normally distributed variables. Median (Interquartile range) for non-normally distributed variables. Analytical statistics: To examine associations and perform statistical tests in this study, different methods were employed
based on the nature of the variables under investigation. Specifically: Page 4/23 Page 4/23 For normally distributed continuous variables in two independent groups, an independent sample t-
test (Student's t-test) was used. Non-normally distributed continuous variables in two independent groups were compared using the
Mann-Whitney U test (z). When examining associations between categorical variables, the Chi-square test was the method of
choice. However, it was substituted with the Fisher Exact Test if the expected cell count in four-cell
tables was less than 5. If the expected cell count was less than 5 in tables with more than four cells,
the Monte Carlo test was employed. To assess correlations, Pearson correlation was applied to normally distributed data, whereas
Spearman correlation was utilized for non-normally distributed data. Binary logistic regression was employed to predict the independent variables associated with CKD. Additionally, regression analysis was used to estimate the odds ratio for each risk factor, where
applicable. In all these statistical tests, results were considered statistically significant when the probability of
error (p-value) was less than or equal to 0.05 (p ≤ 0.05). Results The data set included 112,204 participants in 10 years (from April 2014 to May 2023). The mean age
was 43.7 ± 14.5, with females representing 50.5%. Patients with CKD were 4,317 (representing a
prevalence of 3.8%). Patients with CKD were older with males representing 53.4% of them. Participants represented nearly all cities in KSA, with Jeddah, Riyadh, Makkah, Khamis Mashit, Madinah,
Gizan, Qassim, Dammam, Hail, Abha, Taif, Khobar, Albaha, Yanbu, Tabouk, and Najran being the largest
cities with more than 1000 participants among the study. Among the largest five cities (with more than
80,000 participants), the prevalence of CKD was 5% in Makkah, Jeddah, and Madinah while it was 3% in
Riyadh and Khamis Masheet. Patients with CKD have higher serum uric acid levels, higher HBA1C and mean glucose levels, and lower
cholesterol levels (total cholesterol, LDL, and HDL cholesterol). In contrast they have higher triglycerides
levels. The LDL/HDL cholesterol ratio was not different in patients with CKD when compared to other
participants. Figure 1 shows the distribution of lipid markers in CKD vs non-CKD group. Patients with CKD have higher PTH, lower calcium, and higher serum phosphorus and potassium levels. They have also slightly lower sodium levels. Vitamin D deficiency (level < 20 ng/mL) was prevalent
among study participants (59.5%) with lower prevalence among patients with CKD vs rest of participants
(49.5% vs 59.7 p = < 0.001). Figure 2 shows minerals, vitamin D, and PTH levels in CKD vs non-CKD
group. Demographic and laboratory characteristics of study participants and patients with CKD are
shown in Table 1. Results Page 5/23 Table 1 Demographic and laboratory characteristics of study participants and patients with CKD:
Study group
GFR ≥ 60
N = 107887
(96.2%)
CKD Patients
(GFR < 60)
N = 4317 (3.8%)
p-value
Age (years)
43.7 ± 14.5
43.5 ± 14.0
65.0 ± 15.2
< .0001
Gender
Female
50.5% (56,619)
50.6%
46.6%
< .001
Male
49.5% (55,585)
49.4%
53.4%
Creatinine (mg/dl)
0.76 (0.64–
0.90)
0.75 (0.64–
0.89)
1.62 (1.33–2.55)
< 0.0001
Urea (mg/dl)
24.0 (19.0–
30.0)
24.0 (19.0–
30.0)
62.0 (45.0–94.0)
< 0.0001
eGFR (ml/min/1.73m2)
109 (96.4–
118)
109 (98.3–119)
41.1 (24.2–52.4)
< 0.0001
Uric Acid (mg/dl)
5.48 ± 1.86
5.42 ± 1.84
7.12 ± 1.99
< 0.0001
Cholesterol (mg/dl)
196 ± 40.1
196 ± 39.8
182 ± 49.1
< 0.001
Non-HDL Cholesterol
(mg/dl)
142 ± 40.0
142 ± 40.0
130 ± 46.3
< 0.001
HDL Cholesterol (mg/dl)
49.3 ± 13.0
49.4 ± 13.0
43.5 ± 13.0
< 0.001
LDL Cholesterol (mg/dl)
125 ± 35.6
125 ± 35.4
111 ± 41.8
< 0.001
Triglycerides (mg/dl)
104 (74.0–
146)
103 (74.0–145)
133 (98.0–191)
< 0.001
LDL/HDL Ratio
2.60 (2.00–
3.40)
2.60 (2.00–
3.40)
2.70 (2.00–3.50)
0.431
HBA1C (%)
5.96 ± 1.49
5.93 ± 1.46
7.02 ± 1.82
< 0.001
ALT (U/L)
20.0 (13.0–
29.0)
20.1 (13.5–
29.1)
16.0 (11.0–23.0)
< 0.001
AST (U/L)
18.0 (15.0–
23.0)
18.0 (15.0–
23.0)
18.0 (14.0–23.0)
< 0.001
Serum Sodium (mEq/L)
140 ± 2.76
140 ± 2.63
138 ± 4.45
< 0.001
Serum Potassium (mEq/L)
4.42 ± 0.40
4.40 ± 0.38
4.68 ± 0.64
< 0.001
Data expressed as Number (%), Mean ± SD or Median (IQR). eGFR : estimated glomerular filtration rate, HDL: high-density lipoprotein, LDL: low-density lipoprotein,
ALT: Alanine Transaminase, AST: Aspartate Transferase, PTH: Parathyroid Hormone, TSH: Thyroid-
Stimulating Hormone. eGFR : estimated glomerular filtration rate, HDL: high-density lipoprotein, LDL: low-density lipoprotein,
ALT: Alanine Transaminase, AST: Aspartate Transferase, PTH: Parathyroid Hormone, TSH: Thyroid-
Stimulating Hormone. Results Page 6/23 Study group
GFR ≥ 60
N = 107887
(96.2%)
CKD Patients
(GFR < 60)
N = 4317 (3.8%)
p-value
Serum Calcium (mg/dl)
9.47 ± 0.54
9.48 ± 0.53
9.29 ± 0.70
< 0.001
Serum Phosphorus (mg/dl)
3.85 ± 0.96
3.64 ± 0.63
4.51 ± 1.40
< 0.001
PTH (pg/mL)
73.3 (53.6–
101)
71.9 (52.7–
96.3)
168 (93.1–340)
< 0.001
Vitamin D (ng/mL)
17.4 (11.8–
25.5)
17.3 (11.7–
25.4)
20.1 (13.5–29.1)
< 0.001
TSH (mU/L)
1.65 (1.10–
2.52)
1.64 (1.10–
2.51)
1.97 (1.25–3.18)
< 0.001
Ferritin (ng/mL)
37.2 (14.3–
92.2)
36.1 (13.9–
89.1)
97.3 (41.2–207)
< 0.001
Microalbuminuria (mg/g)
9.00 (4.00–
39.4)
7.00 (3.83–
21.0)
274 (26.3–909)
< 0.001
Data expressed as Number (%), Mean ± SD or Median (IQR). eGFR : estimated glomerular filtration rate, HDL: high-density lipoprotein, LDL: low-density lipoprotein,
ALT: Alanine Transaminase, AST: Aspartate Transferase, PTH: Parathyroid Hormone, TSH: Thyroid-
Stimulating Hormone. eGFR : estimated glomerular filtration rate, HDL: high-density lipoprotein, LDL: low-density lipoprotein,
ALT: Alanine Transaminase, AST: Aspartate Transferase, PTH: Parathyroid Hormone, TSH: Thyroid-
Stimulating Hormone. eGFR : estimated glomerular filtration rate, HDL: high-density lipoprotein, LDL: low-density lipoprotein,
ALT: Alanine Transaminase, AST: Aspartate Transferase, PTH: Parathyroid Hormone, TSH: Thyroid-
Stimulating Hormone. Patients with CKD have lower hemoglobin and platelet count and higher leucocytic count. Complete
Blood Count of study participants and patients with CKD is shown in Table 2. Results Page 7/23 Complete Blood Count of study participants and patients with CKD:
Study group
GFR ≥ 60
10788796.2
CKD Patients
(GFR < 60)
43173.8
p-value
WBC (103 cells/mcL)
6.56 ± 2.19
6.53 ± 2.13
7.47 ± 3.52
< 0.001
ABC (103 cells/mcL)
0.010 (0.02–
0.04)
0.02 (0.01–0.04)
0.03 (0.02–0.05)
< 0.001
ALC (103 cells/mcL)
2.36 (1.93–
2.86)
2.36 (1.94–2.87)
2.11 (1.60–2.67)
< 0.001
AEC (103 cells/mcL)
0.11 (0.17–
0.27)
0.17 (0.11–0.26)
0.23 (0.14–0.35)
< 0.001
AMC (103 cells/mcL)
0.50 (0.41–
0.62)
0.50 (0.40–0.61)
0.58 (0.46–0.73)
< 0.001
ANC (103 cells/mcL)
3.15 (2.24–
4.18)
3.13 (2.22–4.15)
3.86 (2.82–5.14)
< 0.001
Neutrophil (%)
49.5 ± 10.3
49.5 ± 10.2
53.3 ± 13.9
0.009
Monocytes (%)
7.61 ± 2.07
7.61 ± 2.06
7.57 ± 2.43
< 0.001
Eosinophils (%)
2.90 (1.90–
4.30)
2.90 (1.90–4.30)
3.15 (1.90–5.23)
0.448
Hemoglobin (g/dL)
13.8 ± 1.98
13.9 ± 1.95
12.1 ± 2.31
0.000
Hematocrit (%)
40.9 ± 5.01
41.1 ± 4.92
36.6 ± 6.11
0.000
MCV (fL)
82.8 ± 6.74
82.7 ± 6.72
84.3 ± 7.32
< 0.001
MPV (fL)
10.8 ± 1.00
10.8 ± 1.00
10.9 ± 1.06
0.378
MCH (pg)
27.8 ± 2.73
27.8 ± 2.7
27.9 ± 2.7
0.237
MCHC (%)
33.6 ± 1.56
33.6 ± 1.55
33.06 ± 1.597
< 0.001
RBC (Million cells/mcL)
4.95 ± 0.59
4.97 ± 0.58
4.38 ± 0.79
< 0.0001
RDW (%)
14.0 ± 1.8
14.0 ± 1.77
14.6 ± 2.13
< 0.001
Platelet Count (103
266 (226–
314)
266 (226–314)
251 (207–309)
< 0.001
Data expressed as Mean ± SD or Median (IQR). WBCs: White Blood Cell Count, ABC: Absolute Basophil Count, ALC: Absolute Lymphocyte Count,
AEC: Absolute Eosinophil Count, AMC: Absolute Monocyte Count, ANC: Absolute Neutrophil Count,
MCV: Mean Corpuscular Volume, MCH: Mean Corpuscular Hemoglobin, MCHC: Mean Corpuscular
Hemoglobin Concentration, RBC: Red Blood Cell Count, RDW: Red Cell Distribution Width, MPV: Mean
Platelet Volume. Data expressed as Mean ± SD or Median (IQR). WBCs: White Blood Cell Count, ABC: Absolute Basophil Count, ALC: Absolute Lymphocyte Count,
AEC: Absolute Eosinophil Count, AMC: Absolute Monocyte Count, ANC: Absolute Neutrophil Count,
MCV: Mean Corpuscular Volume, MCH: Mean Corpuscular Hemoglobin, MCHC: Mean Corpuscular
Hemoglobin Concentration, RBC: Red Blood Cell Count, RDW: Red Cell Distribution Width, MPV: Mean
Platelet Volume. Results WBCs: White Blood Cell Count, ABC: Absolute Basophil Count, ALC: Absolute Lymphocyte Count,
AEC: Absolute Eosinophil Count, AMC: Absolute Monocyte Count, ANC: Absolute Neutrophil Count,
MCV: Mean Corpuscular Volume, MCH: Mean Corpuscular Hemoglobin, MCHC: Mean Corpuscular
Hemoglobin Concentration, RBC: Red Blood Cell Count, RDW: Red Cell Distribution Width, MPV: Mean
Platelet Volume. Page 8/23 Page 8/23 Study group
GFR ≥ 60
10788796.2
CKD Patients
(GFR < 60)
43173.8
p-value
platelets/mcL)
Data expressed as Mean ± SD or Median (IQR). WBCs: White Blood Cell Count, ABC: Absolute Basophil Count, ALC: Absolute Lymphocyte Count,
AEC: Absolute Eosinophil Count, AMC: Absolute Monocyte Count, ANC: Absolute Neutrophil Count,
MCV: Mean Corpuscular Volume, MCH: Mean Corpuscular Hemoglobin, MCHC: Mean Corpuscular
Hemoglobin Concentration, RBC: Red Blood Cell Count, RDW: Red Cell Distribution Width, MPV: Mean
Platelet Volume. Complete urine analysis was available for 38,450 participants. Patients with CKD have significantly
higher proteinuria (48% vs 6%). Moreover, they have higher hematuria (20% vs 15%) and lower urine Study group
GFR ≥ 60
10788796.2
CKD Patients
(GFR < 60)
43173.8
p-value
platelets/mcL)
Data expressed as Mean ± SD or Median (IQR). WBCs: White Blood Cell Count, ABC: Absolute Basophil Count, ALC: Absolute Lymphocyte Count,
AEC: Absolute Eosinophil Count, AMC: Absolute Monocyte Count, ANC: Absolute Neutrophil Count,
MCV: Mean Corpuscular Volume, MCH: Mean Corpuscular Hemoglobin, MCHC: Mean Corpuscular
Hemoglobin Concentration, RBC: Red Blood Cell Count, RDW: Red Cell Distribution Width, MPV: Mean
Platelet Volume. Complete urine analysis was available for 38,450 participants. Patients with CKD have significantly
higher proteinuria (48% vs 6%). Moreover, they have higher hematuria (20% vs 15%) and lower urine
crystals (2% vs 4%) when compared to the rest of participants (Table 3). platelets/mcL) Data expressed as Mean ± SD or Median (IQR). Complete urine analysis was available for 38,450 participants. Patients with CKD have significantly
higher proteinuria (48% vs 6%). Moreover, they have higher hematuria (20% vs 15%) and lower urine
crystals (2% vs 4%) when compared to the rest of participants (Table 3). Results Page 9/23 Table 3 Table 3 Table 3
Urine characteristics of study participants and patients with CKD
Total
Cohort
GFR > =
60
CKD Patients
(GFR < 60)
P-value
Proteinuria
No
35767
(93.0%)
94.5%
52.1%
<
0.0001
Yes
2683 (7%)
5.5%
47.9%
Degree of
proteinuria
+ 1
1808
(4.7%)
4.1%
21.1%
+ 2
576 (1.5%)
1.0%
14.4%
+ 3
248 (0.6%)
0.3%
10.1%
+ 4
51 (0.1%)
0.1%
2.3%
Hematuria
No or < 5
31039
(84.6%)
84.7%
80.3%
< 0.001
Yes
5658
(15.4%)
15.3%
19.7%
Degree of
Hematuria
5 - <10
3592
(9.8%)
9.7%
11.7%
10 - <15
1023
(2.8%)
2.8%
3.6%
15 - <20
408 (1.1%)
1.1%
1.1%
20 - <25
242 (0.7%)
0.6%
1.1%
25 - <30
79 (0.2%)
0.2%
0.2%
30 - <40
48 (0.1%)
0.1%
0.4%
40 - <50
70 (0.2%)
0.2%
0.6%
50 - <60
26 (0.1%)
0.1%
1.1%
60 - <100
40 (0.1%)
0.1%
80.3%
≥ 100
130 (0.4%)
0.3%
11.7%
Urine Crystals
Absent
38096
(95.8%)
95.8%
98.0%
< 0.001
Present
1670
(4.19%)
4.14%
1.96%
Types of
Crystals
Calcium Oxalate
1217
(3.1%)
3.1%
0.77%
D t
d
N
b
(%) Page 10/23 Total
Cohort
GFR > =
60
CKD Patients
(GFR < 60)
P-value
Urate Crystals
416 (1.0%)
1.0%
1.05%
Calcium Oxalate and
Urate Crystals
5 (0.0)
0.01%
0.07%
Triple Phosphate
12 (0.0)
0.03%
0.07%
Data expressed as Number (%). Total
Cohort
GFR > =
60
CKD Patients
(GFR < 60)
P-value
Urate Crystals
416 (1.0%)
1.0%
1.05%
Calcium Oxalate and
Urate Crystals
5 (0.0)
0.01%
0.07%
Triple Phosphate
12 (0.0)
0.03%
0.07%
Data expressed as Number (%). Creatinine based eGFR as a continuous variable showed a strong negative correlation with age, urea, and
cystatin C levels while it showed a moderate negative correlation with serum phosphorus. Correlation
between eGFR and continuous variables is shown in Table 4. Creatinine based eGFR as a continuous variable showed a strong negative correlation with age, urea, and
cystatin C levels while it showed a moderate negative correlation with serum phosphorus. Correlation
between eGFR and continuous variables is shown in Table 4. Results Page 11/23 Table 4 Table 4 Correlation between eGFR and continuous variables:
GFR
Rho
P
Age (years)
-0.658
< 0.001
Urea (mg/dl)
-0.660
< 0.001
Uric Acid (mg/dl)
-0.269
< 0.001
Cystatin C (mg/dl)
-0.870
< 0.001
Microalbuminuria (mg/g)
-0.378
< 0.001
Serum Sodium (mEq/L)
0.071
< 0.001
Serum Potassium (mEq/L)
-0.196
< 0.001
Serum Calcium (mg/dl)
-0.003
0.376
Serum Phosphorus (mg/dl)
-0.421
< 0.001
PTH (pg/mL)
-0.161
< 0.001
HBA1C (%)
-0.260
< 0.001
Cholesterol (mg/dl)
-0.054
< 0.001
Non-HDL Cholesterol (mg/dl)
-0.068
< 0.001
Triglycerides (mg/dl)
-0.298
< 0.001
HDL Cholesterol (mg/dl)
0.171
< 0.001
LDL Cholesterol (mg/dl)
-0.046
< 0.001
ALT (U/L)
-0.114
< 0.001
AST (U/L)
-0.110
< 0.001
TSH (mU/L)
-0.105
< 0.001
Ferritin (ng/mL)
-0.247
< 0.001
WBC (103 cells/mcL)
-0.025
< 0.001
Hemoglobin (g/dL)
0.003
0.350
Platelet Count (103 platelets/mcL)
0.164
< 0.001
HDL: high-density lipoprotein, LDL: low-density lipoprotein, ALT: Alanine Transaminase, AST:
Aspartate Transferase, PTH: Parathyroid Hormone, TSH: Thyroid-Stimulating Hormone. Correlation between eGFR and continuous variables: Page 12/23 Serum uric acid, potassium, phosphorus, PTH, ferritin levels, urea in addition to percentage of proteinuria
showed a stepwise increase from CKD G3a to G5. On the other side, serum calcium, vitamin D,
hemoglobin, cholesterol, ALT, AST, and TSH levels showed a stepwise decrease from CKD G3a to G5. Characteristics of patients among different CKD stages are shown in Table 5. Male gender was more
prevalent than female in each stage of CKD (Fig. 3). Serum uric acid, potassium, phosphorus, PTH, ferritin levels, urea in addition to percentage of proteinuria
showed a stepwise increase from CKD G3a to G5. On the other side, serum calcium, vitamin D,
hemoglobin, cholesterol, ALT, AST, and TSH levels showed a stepwise decrease from CKD G3a to G5. Characteristics of patients among different CKD stages are shown in Table 5. Male gender was more
prevalent than female in each stage of CKD (Fig. 3). Serum uric acid, potassium, phosphorus, PTH, ferritin levels, urea in addition to percentage of proteinuria
showed a stepwise increase from CKD G3a to G5. On the other side, serum calcium, vitamin D,
hemoglobin, cholesterol, ALT, AST, and TSH levels showed a stepwise decrease from CKD G3a to G5. Characteristics of patients among different CKD stages are shown in Table 5. Male gender was more
prevalent than female in each stage of CKD (Fig. 3). Results Page 13/23 Table 5 Table 5
Characteristics of patients among different CKD stages: Characteristics of patients among different CKD stages: P
14/23
Characteristics of patients among different CKD stages:
CKD Stage 3a
(N = 1838)
CKD Stage 3b
(N = 1098)
CKD Stage 4
(N = 734)
CKD Stage 5
(N = 647)
Age (years)
66.4 ± 13.9
67.2 ± 14.6
64.6 ± 16.0
57.9 ± 16.4
Gender (Male)
54.8%
51.3%
52.2%
54.6%
Urea (mg/dl)
47.1 ± 14.6
67.9 ± 26.0
94.0 ± 32.8
139 ± 45.8
eGFR (ml/min/1.73m2)
53.3 ± 4.29
38.02 ± 4.24
22.81 ± 4.34
9.11 ± 3.26
Uric Acid (mg/dl)
6.82 ± 1.78
7.26 ± 2.01
7.48 ± 2.14
7.52 ± 2.30
ALT (U/L)
17.0 (13.0–
26.0)
16.0 (12.0–
22.0)
15.0 (10.0–
20.0)
12.0 (9.00–
16.0)
AST (U/L)
19.0 (15.0–
24.0)
18.0 (14.0–
22.0)
16.0 (13.0–
21.0)
14.0 (11.0–
18.0)
TSH (mU/L)
2.02 (1.29–
3.25)
1.96 (1.24–
3.20)
1.93 (1.24–
3.22)
1.76 (1.10–
2.82)
Serum Sodium (mEq/L)
139 ± 4.11
138 ± 4.25
137 ± 5.01
137 ± 4.58
Serum Potassium (mEq/L)
4.60 ± 0.54
4.63 ± 0.64
4.77 ± 0.69
4.83 ± 0.73
Serum Calcium (mg/dl)
9.49 ± 0.56
9.35 ± 0.64
9.11 ± 0.67
8.67 ± 0.88
Serum Phosphorus (mg/dl)
3.64 ± 0.68
3.81 ± 0.74
4.21 ± 1.00
5.19 ± 1.58
PTH (pg/mL)
105 (71.3–
159)
107 (78.5–
148)
187 (133–
260)
388 (187–
771)
Vitamin D (ng/mL)
21.2 (14.7–
30.7)
21.0 (13.4–
30.1)
18.4 (11.4–
26.0)
14.7 (10.7–
22.7)
HBA1C (%)
7.03 ± 1.81
7.24 ± 1.87
7.04 ± 1.81
6.20 ± 1.51
Cholesterol (mg/dl)
189 ± 46.9
184 ± 52.9
175 ± 48.8
161 ± 44.0
Triglycerides (mg/dl)
136 (101–
189)
136 (99.0–
199)
139 (95.0–
195)
124 (85.8–
178)
LDL Cholesterol (mg/dl)
116 ± 40.3
114 ± 45.0
104 ± 41.9
93.4 ± 36.0
HDL Cholesterol (mg/dl)
45.0 ± 13.0
43.2 ± 12.5
41.8 ± 12.2
40.1 ± 13.8
Ferritin (ng/mL)
63.7 (29.5–
127)
87.1 (36.4–
172)
127 (47.0–
224)
290 (130–
558)
Hemoglobin (g/dL)
12.9 ± 2.15
12.1 ± 2.16
11.2 ± 1.97
10.0 ± 1.95
ALT: Alanine Transaminase, AST: Aspartate Transferase, TSH: Thyroid-Stimulating Hormone, PTH:
Parathyroid Hormone, HDL: high-density lipoprotein, LDL: low-density lipoprotein,. Results Page 14/23 Page 14/23 CKD Stage 3a
(N = 1838)
CKD Stage 3b
(N = 1098)
CKD Stage 4
(N = 734)
CKD Stage 5
(N = 647)
WBC (103 cells/mcL)
7.26 ± 2.89
7.61 ± 4.81
7.81 ± 2.78
7.55 ± 3.36
Platelet Count (103
platelets/mcL)
251 (209–
303)
253 (204–
311)
256 (212–
319)
242 (194–
318)
Proteinuria (%)
28.9%
44.1%
75.3%
84.4%
Hematuria (%)
17.5%
17.1%
24.5%
27.3%
ALT: Alanine Transaminase, AST: Aspartate Transferase, TSH: Thyroid-Stimulating Hormone, PTH:
Parathyroid Hormone, HDL: high-density lipoprotein, LDL: low-density lipoprotein,. In Binary logistic regression, higher age, serum uric acid, and presence of proteinuria were the most
significant predictors of presence of CKD. The absence of proteinuria is associated with a tenfold
reduction in the odds of having CKD (AOR 0.10 (95% CI (0.04–0.21)) while the odds of having CKD are
approximately 39% lower for females (CI 16%-96%). Table 6 is showing a logistic regression of predictors
of presence of CKD (eGFR < 60 ml/min). Page 15/23 Table 6
Binary logistic regression of predictors of presence of CKD (eGFR < 60 ml/min):
B
S.E. Wald
P-value
AOR
95% C.I. for AOR
Lower
Upper
Age (years)
0.10
0.02
37.7
< 0.001
1.10
1.07
1.14
Gender (Female)
-0.93
0.46
4.17
0.04
0.39
0.16
0.96
Uric Acid (mg/dl)
0.85
0.12
54.7
< 0.001
2.33
1.86
2.92
ALT (U/L)
-0.04
0.03
1.58
0.21
0.96
0.91
1.02
AST (U/L)
-0.02
0.04
0.36
0.55
0.98
0.90
1.06
TSH (mU/L)
-0.02
0.09
0.04
0.84
0.98
0.83
1.16
Serum Sodium (mEq/L)
-0.06
0.06
1.07
0.30
0.94
0.83
1.06
Serum Potassium (mEq/L)
0.95
0.39
5.91
0.02
2.58
1.20
5.54
Serum Calcium (mg/dl)
0.20
0.31
0.41
0.520
1.22
0.66
2.26
HBA1C (%)
-0.06
0.12
0.22
0.64
0.94
0.74
1.20
Cholesterol (mg/dl)
0.01
0.01
1.02
0.31
1.01
0.99
1.04
Triglycerides (mg/dl)
0.01
0.01
0.01
0.91
1.00
0.99
1.01
LDL Cholesterol (mg/dl)
-0.02
0.02
1.33
0.25
0.98
0.96
1.01
WBC (103 cells/mcL)
0.22
0.09
6.54
0.011
1.25
1.05
1.48
Hemoglobin (g/dL)
-0.34
0.12
7.82
0.005
0.71
0.56
0.90
Platelet Count (103
platelets/mcL)
-0.01
0.01
9.40
0.002
0.99
0.99
0.997
Hematuria (No)
0.39
0.54
0.51
0.48
1.47
0.51
4.27
Proteinuria (No)
-2.35
0.40
34.6
< 0.001
0.10
0.04
0.21
Constant
-3.62
9.31
0.15
0.70
0.03
AOR: adjusted odds ratio. C.I: Confidence Interval. ALT: Alanine Transaminase, AST: Aspartate Transferase, TSH: Thyroid-Stimulating Hormone, LDL:
low-density lipoprotein. Discussion Using ten-years data from large laboratory provider of more than 100 thousand participants, we found
that the prevalence of CKD in KSA is around four percent (ranging from three to five percent in different Page 16/23 cities). Patients with CKD were older, and men had a higher prevalence of CKD. Higher serum uric acid,
phosphorus, potassium PTH,HBA1C, triglycerides levels and lower cholesterol, calcium, hemoglobin, and
platelet counts were characteristics of patients with CKD. Vitamin D deficiency was predominant among
study participants with lower prevalence among patients with CKD. In regression analysis, higher age,
serum uric acid, and presence of proteinuria were the most significant predictors of presence of CKD. cities). Patients with CKD were older, and men had a higher prevalence of CKD. Higher serum uric acid,
phosphorus, potassium PTH,HBA1C, triglycerides levels and lower cholesterol, calcium, hemoglobin, and
platelet counts were characteristics of patients with CKD. Vitamin D deficiency was predominant among
study participants with lower prevalence among patients with CKD. In regression analysis, higher age,
serum uric acid, and presence of proteinuria were the most significant predictors of presence of CKD. CKD is a growing public health concern worldwide, including in Saudi Arabia. The Global Burden of
Disease study highlights that CKD is ranked 12th among the causes of death globally and is among the
top five causes of death in many countries [7]. The prevalence and incidence of CKD in Saudi Arabia have
seen a significant rise, primarily attributed to the rapid urbanization that has occurred over the last two
decades, as well as the increase in lifestyle-related risk factors such as obesity and type 2 diabetes [8]. This lack of data highlights the need for further research and surveillance to understand the burden of
CKD in these populations. According to the Saudi Center for Organ Transplantation, the estimated prevalence of end-stage kidney
disease in Saudi Arabia stands at 294.3 cases per million population, with an annual incidence of 100 to
120 patients per million population [2, 9]. An epidemiological study, including less than 500 participants,
conducted in Saudi Arabia found the overall prevalence of CKD at 5.7% [3]. The prevalence of CKD in our
study was about four percent, however, the study excluded patients on renal replacement therapies so
the prevalence of CKD in KSA is expected to be even larger. Discussion Our study found a higher prevalence of chronic kidney disease (CKD) among older patients, as is
commonly anticipated, with a slight male predominance. While there are numerous factors that
contribute to the development and progression of chronic kidney disease, several studies suggest that
Saudi men may have a higher prevalence of CKD [10, 11]. Globally, kidney disease is often reported to be
more prevalent among women than men, but men tend to progress to end-stage kidney disease (ESKD)
at a faster rate than women [10]. Further investigations, particularly within the Middle East, are needed to
better understand the precise relationship and impact of gender on CKD. There wasn't a significant variation in the prevalence of CKD among the major cities examined in the
study. However, in a separate study, the northwestern region of Saudi Arabia, specifically the Tabuk
region, exhibited a higher CKD prevalence. This higher prevalence was attributed to the elevated rates of
hypertension and diabetes in that specific area [12]. Elevated HBA1C levels within our CKD group were anticipated. This anticipation aligns with the well-
documented risk factors for CKD in Saudi Arabia, including advanced age, hypertension, and diabetes
mellitus. Diabetes, in particular, has taken the forefront as the leading cause of end-stage kidney disease
(ESKD) in recent decades [13]. In our research, we found that elevated levels of serum uric acid emerged as a noteworthy indicator for
the presence of chronic kidney disease (CKD). The prevalence of hyperuricemia increases substantially,
rising from 11% in individuals with normal kidney function to a striking 80% among those diagnosed with Page 17/23 Page 17/23 CKD [14]. Elevated uric acid levels are frequently associated with inflammation and oxidative stress and
are commonly observed in individuals with metabolic syndrome. It is worth considering the possibility
that impaired kidney function may influence serum uric acid levels rather the opposite. CKD [14]. Elevated uric acid levels are frequently associated with inflammation and oxidative stress and
are commonly observed in individuals with metabolic syndrome. It is worth considering the possibility
that impaired kidney function may influence serum uric acid levels rather the opposite. Patients with CKD in our cohort had lower cholesterol and higher triglycerides levels. The LDL/HDL
cholesterol ratio was not different when compared to other participants. Discussion CKD can lead to dyslipidemia
and atherosclerosis, however, for most patients with CKD, total and LDL cholesterol levels typically fall
within the normal range with exceptions observed in patients with nephrotic-range proteinuria and
peritoneal dialysis [15]. It is noteworthy that patients with CKD have non-traditional risk factors for
cardiovascular disease [16]. A recent Mendelian randomization analysis provided genetic evidence to
support that only high triglycerides level is associated with incident CKD [17]. The CKD group exhibited elevated PTH, reduced calcium levels, and increased serum phosphorus and
potassium levels. It is a common expectation that patients with CKD, particularly in the advanced stages,
may develop secondary hyperparathyroidism, which can contribute to the onset of osteoporosis in these
individuals [18]. Vitamin D deficiency was prevalent among study participants (about 60%) which necessitates vitamin D
screening, and vitamin D-fortified foods to be more provided to our population [19]. The lower prevalence
among patients with CKD could be the effect of vitamin D supplements and vitamin D receptor
analogues in these patients. Patients with CKD in our study have significantly higher proteinuria (48% vs 6%). In regression analysis,
absence of proteinuria is associated with a tenfold reduction in the odds of having CKD. Proteinuria is a
well-established risk factor for both CKD and cardiovascular mortality, emphasizing the importance of
screening for proteinuria within our population [20]. The study has inherent limitations including lack of some demographic and clinical data in addition to its
retrospective nature which hinders the establishment of a clear cause-effect relationship. However, to
the best of our knowledge, this is the largest study to examine characteristics and prevalence of CKD in
KSA. Overall, this research provides valuable insights into the prevalence and risk factors of CKD in Saudi
Arabia, which is vital for healthcare professionals and policymakers. Authors Contribution: Both authors, conceived and designed the analysis, performed the data analysis and wrote the paper
Data Availability: Both authors, conceived and designed the analysis, performed the data analysis and wrote the paper Ethical Approval: The study was conducted according to the declaration of Helsinki and approved by the Unit of
Biomedical Ethics committee of Al Borg Diagnostics (approval number: (No04/23). Biomedical Ethics
committee of Al Borg Diagnostics approved and waived the need for informed consent for participation Data Availability: The datasets used and/or analyzed during the current study available from the corresponding author on
reasonable request. The datasets used and/or analyzed during the current study available from the corresponding author on
reasonable request. Conclusion The study conducted from ten-years of data in Saudi Arabia sheds light on the prevalence and
characteristics of CKD in the region. Prevalence of CKD was found to be 4%, affecting predominantly
older individuals with a higher representation of males. Patients with CKD displayed elevated PTH, phosphorus, uric acid, HBA1C, and triglycerides, along with
lower calcium and cholesterol levels. Higher age, uric acid levels, and presence of proteinuria were the
most significant predictors of CKD. Notably, the absence of proteinuria was strongly associated with a Page 18/23 Page 18/23 dramatic reduction in CKD odds, underscoring the importance of identifying proteinuria in early CKD
detection. dramatic reduction in CKD odds, underscoring the importance of identifying proteinuria in early CKD
detection. Declarations Funding resources: No funding resources Conflicts of interest: the authors have nothing to disclose The corresponding author is responsible to provide any required data References 1. Kovesdy CP. Epidemiology of chronic kidney disease: an update 2022. Kidney Int Suppl (2011), 2022. 12(1): p. 7–11. 2. Mousa D, et al. Prevalence and Associated Factors of Chronic Kidney Disease among Relatives of
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various health sectors in Jeddah, Saudi Arabia. Ann Saudi Med. 2015;35(4):288–92. 12. Alobaidi S. References Knowledge of Chronic Kidney Disease Among the Population of Saudi Arabia Evaluated
Using a Validated Questionnaire: A Cross-Sectional Study. PPA 2021; 15: 1281-8. 13. Samargandy S, et al. Blood Glucose Variation in Hemodialysis Patients, Cross-sectional study of Ter-
tiary Center in Western Area Saudi Arabia. Int J Pharm Phytopharmacological Res (eIJPPR). 2021;11(1):103–7. 14. Juraschek SP, et al. Association of kidney disease with prevalent gout in the United States in 1988–
1994 and 2007–2010. Seminars in arthritis and rheumatism. Elsevier; 2013. 15. Massy ZA, de Zeeuw D. LDL cholesterol in CKD–to treat or not to treat? Kidney Int. 2013;84(3):451–
6. 16. Alkhayyat S, Alhoori Z, Abdalbary M. Cardiovascular aging in patients with chronic kidney disease:
pathogenesis and potential therapeutics. Aging Pathobiology and Therapeutics, 2023: p. 81–91. 17. Zhang Y-B, et al. Association of blood lipid profile with incident chronic kidney disease: a Mendelian
randomization study. Atherosclerosis. 2020;300:19–25. 18. Abdalbary M, et al. Management of osteoporosis in patients with chronic kidney disease. Osteoporos Int. 2022;33(11):2259–74. 19. Farhat KH, et al. Vitamin D status and its correlates in Saudi male population. BMC Public Health. 2019;19(1):1–6. 20. Sandsmark DK, et al. Proteinuria, but not eGFR, predicts stroke risk in chronic kidney disease: 20. Sandsmark DK, et al. Proteinuria, but not eGFR, predicts stroke risk in chronic kidney disease:
chronic renal insufficiency cohort study. Stroke. 2015;46(8):2075–80. Figures Page 20/23 gure 1
stribution of lipid markers in CKD vs non-CKD group. atients with CKD have lower cholesterol and higher triglycerides levels. The LDL/HDL cholesterol rat
as not different in patients with CKD when compared to non-CKD. Figure 1 Distribution of lipid markers in CKD vs non-CKD group. Distribution of lipid markers in CKD vs non-CKD group. Patients with CKD have lower cholesterol and higher triglycerides levels. The LDL/HDL cholesterol ratio Distribution of lipid markers in CKD vs non-CKD group. Distribution of lipid markers in CKD vs non-CKD group. Patients with CKD have lower cholesterol and higher triglycerides levels. The LDL/HDL cholesterol ratio
was not different in patients with CKD when compared to non-CKD. Patients with CKD have lower cholesterol and higher triglycerides levels. The LDL/HDL cholesterol ratio
was not different in patients with CKD when compared to non-CKD. Page 21/23 Figure 2
Calcium, Phosphorus, Vitamin D, and PTH in CKD vs Non-CKD group. Patients with CKD have lower calcium, and higher phosphorus, PTH, and vitamin D levels. Figure 2 Figure 2 Calcium, Phosphorus, Vitamin D, and PTH in CKD vs Non-CKD group. Calcium, Phosphorus, Vitamin D, and PTH in CKD vs Non-CKD group. Patients with CKD have lower calcium, and higher phosphorus, PTH, and vitamin D levels. Patients with CKD have lower calcium, and higher phosphorus, PTH, and vitamin D levels. Patients with CKD have lower calcium, and higher phosphorus, PTH, and vitamin D levels. Page 22/23 igure 3
istribution of CKD Stages According to Gender. Male gender was more prevalent than female in all CKD stages (p-value: NS) Figure 3 Distribution of CKD Stages According to Gender. Distribution of CKD Stages According to Gender. Distribution of CKD Stages According to Gender. Distribution of CKD Stages According to Gender. Male gender was more prevalent than female in all CKD stages (p-value: NS) Male gender was more prevalent than female in all CKD stages (p-value: NS) Male gender was more prevalent than female in all CKD stages (p-value: NS) Page 23/23
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Closedmindedness as a Positive Behavior
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Closedmindedness as a Positive Behavior
Closedmindedness as a Positive Behavior Herbert Wax
University of Rhode Island Follow this and additional works at: https://digitalcommons.uri.edu/oa_diss
Terms of Use
All rights reserved under copyright. Recommended Citation
Recommended Citation Wax, Herbert, "Closedmindedness as a Positive Behavior" (1978). Open Access Dissertations. Paper 924. https://digitalcommons.uri.edu/oa_diss/924 This Dissertation is brought to you by the University of Rhode Island. It has been accepted for inclusion in Open
Access Dissertations by an authorized administrator of DigitalCommons@URI. For more information, please
contact digitalcommons-group@uri.edu. For permission to reuse copyrighted content, contact the author directly. CLOSEDMINDEDNES
AS A POSITIVE
BEHAVIOR
BY
HERBERT WAX CLOSEDMINDEDNES
AS A POSITIVE
BEHAVIOR
BY
HERBERT WAX ABSTRACT The purpose
of this
study
was to
examine
how males
and
females
who were
categorized
as either
open
or closedmirided
would
respond
to
a Slide
Show followed
by a True/False
Test
and the
Human Assistance
Distance
Scale
(RADS) constructed
for
this
experiment. A group
of
subjects
took
Rokeach's
Dogmatism
Scale
which
differentiated
them
into
openminded
and
closedminded
groups. Both
groups
were
matched
by sex. They then
viewed
the
Slide
Show which
consisted
of low and high
stress
pic-
tures,
taken
from
a variety
of
sources. The subjects
were
then
given
a True/False
Test
related
to
factual
content
of
the
slides. They were
also
asked
to
indicate
how close
they
would
get
to
the
most
upsetting
aspect
of a helping
situation
(RADS). The specific
concepts
being
investigated
were:
(1)
in
response
to
distressing
stimuli,
closedminded
subjects
will
view
them
for
a longer
period
of time
than
openminded
sub-
jects
will,
(2)
in response
to
written
descriptions
of hypo-
thetical
situations
depicting
others
in need
of assistance,
openminded
subjects
will
place
themselves
closer
(physically)
to
the
most
stressful
aspects
of the
situation
and ii closedminded
subje.cts
will
place
themselves
further
from
the
most
upsetting
aspects,
and
(3) that
on a True/False
Test
related
to
viewing
both
stressful
and
nonstressful
slides
the
closedminded
subjects
will
give
more
correct
responses
. than
the
openminded
subjects. Parametric
and non-parametric
analyses
of the
results
confirmed
almost
all
of the
predictions
but
with
variations
as to
sex. The closedminded
group
viewed
the
slides
longer. On the
HADS the
openminded
males
did
behave
in
the
predicted
way,
but
the
openrninded
females
did
not. On the
True/False
Test
the
closedminded
group
did
give
more
correct
responses. The findings
were
compared
to
past
empirical
research
and the
theoretical
implications
with
regard
to
this
work
were
discussed. The findings
were
also
examined
in
light
of
the
methodology
employed. iii TABLE OF CONTENTS LIST OF TABLES
Chapter
I. THEORETICAL/HISTORICAL/INTRODUCTION. The Scientific
Example
Psychology
and
Closedness
Closedness
As a Psychological
Habit
Psychological
Stress
and
Closedness
A Review
of the
Dogmatism
Scale
Purpose
of This
Study
Hypothesis
Predictions
Page
ix
1
II. METHOD .... · · · · · · · · · · · 33
Pilot
Study
Development
of Slide
Show
Development
of Human Assistance
Distance
Scale
Main
Study-Part
I
Subjects
Procedure
Measures
Main
Study-Part
II
Slide
Show and True/False
Test
Human Assistance
Distance
Scale
(HADS)
Order
of Presentation
Subject
Assessment
of Experimental
Experience
Statistical
Treatment
Slide
Show
HADS and
True/False
Text
Setting
Apparatus ACKNOWLEDGMEN To my parents
who said,
"yes,"
when all
others
said,
"no,"
who gave
unconditional
and unending
love
and
support
throughout
my entire
education;
to
both
of you I owe all. This
dissertation
is
dedicated
to
you in partial
appreciation
of what
I feel
for
the
two of you. To my wife,
Allita,
I thank
you for
all
the
sacrifice,
support,
love
and
forgiveness
that
you unfailingly
gave
all
those
years. To Stacey
Jo and Matthew
Lee
who taught
me
love,
and who continue
to
teach
me what
is
important. To George
Frank
who said
I should
and who then
helped
make it
happen. I want
you to
know that
you
live
within
me
as
a gentle,
kind,
tolerant,
loving
man with
whom I have
many special
moments. To Alan
Willoughby
who shared
his
clinical
wisdom
and
skill
and was most
special
to me. Who also
gave
me much
more,
for
he carried
me through
this
program
in
spite
of the
obstacles
I placed
before
him. Without
him
I would
have
failed. So to
you I owe two debts--you
will
always
be my
measure
of what
a clinician
should
be,
and
the
very
fact
that
I am a clinician. iv To Lawrence
Grebstein,
my major
professor,
there
is
the
special
feeling
that
accompanies
years
of sharing
and
support. For
the
rest
of my committee:
Peter
Merenda,
Al Lott,
Richard
Travisano,
you gave
all
the
time
and
assistance
that
I requested
and you have
helped
me learn
to
be a psychologist. A special
thank
you goes
to
Stanley
Berger
who gave
me
my chance,
who gave
support,
who cared,
who always
remember
ed . To my friend,Ira
Silverman,
who always
gives
the
most
special
gift
of all--friendship. V V CHAPTER I
THEORETICAL/HISTORICAL
INTRODUCTION CHAPTER I LIST OF TABLES p
Statistical
Treatment
Slid
Sh HADS and
True/False
Text Apparatus vi Chapter
Page
III. RESULTS . . . . . . . . . . . . . . . . . . . 45
Slide
Show
Basic
Scores
Clos ed vs. Open
Low Stress
Slides
vs. High
Stress
Slides
Male
vs. Female
Closed
vs. Open /Male
vs. Female
Slide
Show Summary
Human Assistance
Distance
Scale
(HADS)
Basic
Scores
Statistical
Treatment
Open vs. Closed
Open Males
vs. All
Other
Groups
HADS Summary
True/False
Test
(TFT)
Basic
Scores
Open vs. Closed
TFT Summary
Summar y of all
the
Findings
IV. DISCUSSIO N. . . . . . . . . . . . . . . . . . 55
Closedmindedness
vs. Openmindedness
Slide
Show
True/False
Test
Female
vs. Male
Human Assistance
Distance
Scale
Male
vs. Female
Limitations
of the
Methodology
Complexity
as
a Dual
Phenomenon
Summary
of Findings
Future
Research
BIBLIOGRAPHY. . . . . . . . . . . . . . . . . 65 vii Page
PENDICES ... Appendix
A
Slide
Show Percents
67
Appendix
B
Slide
Show References
69
Appendix
C
Development
of the
Slide
Show
71
Appendix
D
Development
of the
HADS
74
Appendix
E
Correlation
Matrix
76
Appendix
F
HADS Questionnaire
78
Appendix
G
Rokeach's
Dogmatism
Scale
80
Appendix
H
Reliabilities,
Means,
and Standard
83
Deviations
of Successive
Forms
of
the
Dogmatism
Scale
Appendix
I
Means
and Standard
Deviations
for
84
the
Viewing
Times
By Males/Females
Appendix
J
Human Assistance
Distance
Scale
85
Frequencies
For
all
of the
Groups
Appendix
K Voluntary
Consent
Form
86
Appendix
L
Feedback
Form
87 Appendix
K Voluntary
Consent
Form Appendix
L
Feedback
Form viii LIST OF TABLES Table
1
2
3
4
5
6
Total
Viewing
Time for
Males/Females
By
Seconds
Viewed
Analysis
of Variance
for
the
Slide
Show
Human Assistance
Distance
Scale
By Closedminded
and
Openminded
Groups
Human Assistance
Distance
Scale
As Analyzed
For
Significance
Using
the
x2
True/False
Test
-
Raw Data
True/False
Test
As Analyzed
For
Significance
Using
the
x2
Pag .e
45
47
49
50
51
53 Table ix ix THEORETICAL/HISTORICAL
INTRODUCTION It
is
a widely
held
belief
among many members
of the
helping
professions
and
intellectuals
from
a variety
of
disciplines
that
it
is
important
to
be open
to
new ideas,
experiences
and
feelings,
both
for
oneself
and
for
others. Nevertheless,
one
of the
most
common occurrences
of
every-
day
life
is
the
amount
of
closedmindedness
one tends
to
encoun t er. And just
as often
is
the
idea
that
closedmind-
edness,
when it
is
encountered,
is
usually
seen
as a
negative
phenomenon. This
study
is
an attempt
to
explore
the
formulation
that
closedmindedness
is,
by definition,
a negative
behavitir. Throughout
this
study
closedminded-
ness
will
be understood
to mean those
behaviors
which
occur
when a person
does
not
see,
feel
or acknowledge
some aspect
of
"reality",
and
in
so doing
changes
the
course
of his
or
her
subsequent
behavior. These
manifestations
of closed-
mindedness
have
been
studied
by psychologists
under
the
following
categories:
denial,
repression,
avoidance,
dogmatism,
etc. It
is
also
taken
to
mean that
if
a behavior
results
in
a positive
outcome
it
is
conceptually
and
seman-
tically
presented
as
something
other
than
closedmindedness. 1 1 2 In summary,
then,
it
has
been
the
empirical
assumption
of
psychology
that
closedmindedness
is
synonymous
with
negative
outcomes
and results. Bowers
(1973,
p.317)
notes:
"What
a
preferred
method
does
not
readily
see
can become
less
important
to
our
conceptualization
of the
phenomena;
what
a method
sees
easily
sometimes
becomes
the
sole
basis
of
our
understanding."
Given
this
formulation
it
remains
to
be seen,
if,
in
fact,
closedmindedness
does
possess
some
positive
functions
for
people. Rokeach
(1960)
has
explored
the
concept
of closedminded-
ness
as
it
manifested
itself
in the
areas
of attitudinal
dogmatism
and
on general
learning
tasks. He set
out
to
show
that
there
were
underlying
cognitive
structures
that
predis-
posed
an individual
to
be either
open
or closed. To esta-
blish
his
point,
he developed
a scale
that
validly
categorized
individuals
into
open
and
closedminded
groups. His
subsequent
research
and the
research
of others
with
his
scale
tended
to
confirm
his
hypothesis. In this
experimental
work,
the
proof
of closedmindedness
was based
on some experimental
situations
in which
the
closedminded
subject
had performed
poorly,
(i.e.,
negatively),
when compared
to
the
openminded
subjects. So
while
establishing
his
theoretical
point
of view
about
the
existence
of closedmindedness,
he also
established
closed-
mindedness
as a negative
phenomenon. THEORETICAL/HISTORICAL
INTRODUCTION Despite
this
research,
and
other
investigations
like
it,
there
is
reason
to
believe
that
closedmindedness
is
not
just
a negative
function
in 3 people's
lives
but
can,
in
fact,
have
positive,
adaptive
consequences
for
individuals. One group
of researchers
who
believes
this
are
Bernard,
Ottenberg
and Redl
(1971,
p.102)
who,
in
their
paper
on "Dehumanization,"
conceptualize
thi,s
phenomenon
in
very
much the
same way that
both
Rokeach
and
this
study
do and then
go on to
extrapolate
the
behavioral
consequences
of this
phenomenon
in
a positive
_fashion. They
make their
point
this
way: "Dehumanization
as a defense
against
painful
or
overwhelming
emotions
entails
a decrease
in
a
person's
sense
of his
own individuality
and
in his
perception
of the
humanness
of other
people
..... . In our
view,
dehumanization
is
not
a wholly
new
mental
mechanism
but
rather
a composite
psycholo-
gical
defense
which
draws
selectively
on other
well
known defenses,
including
unconscious
denial,
repression,
depersonalization,
isolation
of affect,
and
compartmentalization
(the
elimination
of mean-
ing
by disconnecting
related
mental
elements
and
walling
them
off
from
each
other)
........ We recog-
nize
that
many adaptive,
as well
as maladaptive,
uses
of
self-protective
dehumanization
are
requisite
in multiple
areas
of contemporary
life."
While
they
do not
indicate
the
specific
areas
of
contemporary
life
that
may necessitate
closedness
as
an adaptive
response,
they
do recognize
the
duality
of this
phenomenon;
i.e.,
closedness
can
serve
a positive
function. They
are
also 4 making
the
point
that
what
we conventionally
call
defense
mechanisms
can
easily
be understood
under
some umbrella
concept
and that
given
this
approach
it
then
becomes
possi-
ble
to
think
positively
about
these
mechanisms. Though
Bernard,
et
al
and Rokeach
use
slightly
different
language
they
are
basically
describing
the
same event. Rokeach
addresses
himself
to
the
same
circumstance
and
answers
it
this
way:
(1960,
p. 62) "If
a person
feels
strongly
threatened
or anxious
in
a given
situation,
he should
above
all
be moti-
vated
to
act
so that
the
threat
is
reduced
and the
anxiety
allayed. It
is
precisely
because
he is
so
motivated
that
the
relatively
closed
person
becomes
highly
attuned
to
irrelevant
internal
and
external
pressures
and,
accordingly,
unable
to
evaluate
information
independent
of
source." Rokeach
makes
it
simple,
under
threat
or anxiety
closed
individuals
will
behave
in a negative
manner. THEORETICAL/HISTORICAL
INTRODUCTION For
Rokeach,
then,
closed
becomes
negative,
and
for
the
purposes
of this
research,
Rokeach's
definition
of closedmindedness
will
be
understood
to be the
convention
that
is
being
questioned. A negative
behavior
will
then
be understood,
as any behavior
that
does
not
directly
and
adaptively
deal
with
a given
situation,
be it,
an emotional,
cognitive
or behavioral
response. 5 5 5 At this
point
it
seems
too
simple
to
say
that
dogmatic
people
are
closed
and
that
they
will
genera
l ize
this
behavior
across
tasks
with
an inevitable
negative
result. The question
here
is
not
whether
open
and
closedmindedness
are
legitimate
dichotomous
events,
but
rather,
whether
closed
is
by defin-
ition
negative. This
raises
questions
about
the
very
nature
of
closedness
such
as,
whether
people
are
more
closed
to
begin
with,
or what
if
closedmindedness
is
culturally
or personally
valuable
in ways
that
we have
not
considered
before? To
expect
all
people
to
be as open
as
they
can,
in
all
situations
defined
as nonthreatening
seems
a bit
utopian. There
is
an
insidious
implication
that
if
we all
became
open
then
all
things
would
be as
the y should
be and
all
things
would
be
good. Many situations
fall
into
a grey
area;
an area
of life
which
is
not
overwhelmingly
threatening,
but
is
at
the
same
time
unpleasant
enough
so that
many of us are
made uncomfort-
able
by
it . . Some of these
situations
that
are
unpleasant,
but
necessary,
are
also
socially
desirable
because
they
reward
the
individuals
who do them
with
prestige
or money. In
some instances
the
situation
can be perceived
as
so stress-
full
that
the
condition
needed
to
perform
in
such
a situation
may very
well
be the
ability
to
emotionally
detach
oneself. In other
words
an effective
response
may be dependent
upon
the
ability
to
control
one's
own emotions. Bernard,
et
al
(1971,
p. 106)
articulate
this
idea
in
the
following
way: 6 "Indeed,
some degree
of adaptive
dehumanization
seems
to
be a basic
requirement
for
effective
participation
in
any institutional
process. Almost
every
profess-
ional
activity
has
some specific
aspect
that
requires
the
capacity
for
appropriate
detachment
from
full
emotional
responsiveness
and the
curtailment,
at
least
temporarily,
of those
everyday
human exchanges
that
are
not
central
to
the
task
at
hand
or which
might,
if
present,
impede
it ..... Thus,
in
crises
such
as
natural
disasters,
accidents,
or epidemics
in which
people
are
injured,
sick,
or killed,
psychic
mechan-
isms
are
called
into
play
which
divest
the
victims
of
their
human
identities,
so that
feelings
of pity,
terror,
or revulsion
can
be overcome. 7 stereotype
as
"narrow,"
"closed,"
"bigoted,"
"insensitive,"
but
they
are
the
ones
who drive
the
volunteer
ambulance,
run
the
volunteer
fire
department,
and are
the
policemen,
nurses,
doctors,
etc. It
is
then
a question
for
research
whether
those
persons
who appear
open,
who speak
the
language
of
compassion
and
understanding
could
accomplish
any
of these
demanding
tasks,
either
as professionals
or as volunteers. What if
the
people
who do this
kind
of work
or who are
self-
selectively
able
to
do this
kind
of work,
function
only
to
the
degree
that
they
are
closed? What if
people
who score
as open
on Dogmatism
Scales
merely
indicate
an abstract
identification
with
openness,
but
are
made ineffective
by
their
own levels
of compassion
in real
life
situations? It
seems
possible
that
people
who are
highly
sensitive
in this
way may very
well
be aware
of their
own pain
and that
this
awareness
is
the
basis
for
their
being
able
to
identify
with
the
pain
of others. Is
it
not
then
plausible
that
such
self-awareness
has
to
be controlled,
or defended
against,
in
certain
situations? Can individuals
remain
functional
at
their
jobs,
especially
emotionally
upsetting
jobs,
if
they
are
being
flooded
by their
own feelings? Is
it
the
task
of all
of those
who work with
"sick"
people
to
learn
to
control
their
feelings? The relationship
of perceiving
pain
in
others
and
controlling
our
identification
with
this
pain,
seems
essential
if
individuals
in the
"helping"
pro-
fessions
are
to
remain
effective. It
then
seems
reasonable stereotype
as
"narrow,"
"closed,"
"bigoted,"
"insensitive,"
but
they
are
the
ones
who drive
the
volunteer
ambulance,
run
the
volunteer
fire
department,
and are
the
policemen,
nurses,
doctors,
etc. It
is
then
a question
for
research
whether
those
persons
who appear
open,
who speak
the
language
of
compassion
and
understanding
could
accomplish
any
of these
demanding
tasks,
either
as professionals
or as volunteers. What if
the
people
who do this
kind
of work
or who are
self-
selectively
able
to
do this
kind
of work,
function
only
to
the
degree
that
they
are
closed? What if
people
who score
as open
on Dogmatism
Scales
merely
indicate
an abstract
identification
with
openness,
but
are
made ineffective
by
their
own levels
of compassion
in real
life
situations? 5 Without
such
selective
and transient
dehumanization,
th~se
emotional
reactions
would
interfere
with
the
effi-
cient
and responsible
performance
of what
has
to
be
done,
whether
it
be first
aid,
surgery,
rescue
oper-
ations
or burial." "Indeed,
some degree
of adaptive
dehumanization
seems
to
be a basic
requirement
for
effective
participation
in
any institutional
process. Almost
every
profess-
ional
activity
has
some specific
aspect
that
requires
the
capacity
for
appropriate
detachment
from
full
emotional
responsiveness
and the
curtailment,
at
least
temporarily,
of those
everyday
human exchanges
that
are
not
central
to
the
task
at
hand
or which
might,
if
present,
impede
it ..... Thus,
in
crises
such
as
natural
disasters,
accidents,
or epidemics
in which
people
are
injured,
sick,
or killed,
psychic
mechan-
isms
are
called
into
play
which
divest
the
victims
of
their
human
identities,
so that
feelings
of pity,
terror,
or revulsion
can
be overcome. Without
such
selective
and transient
dehumanization,
th~se
emotional
reactions
would
interfere
with
the
effi-
cient
and responsible
performance
of what
has
to
be
done,
whether
it
be first
aid,
surgery,
rescue
oper-
ations
or burial." Stated
differently,
adaptive
behavior
in
crisis
or emergency
situations
often
demands
a singleness
of purpose
and
a task-
orientation
that
to
an outside
observer
might
appear
to
be
excessively
narrow,
cold,
unenlightened
or closed. How
much anyone
gives
of himself
in
these
situations
is
problem-
atical. In many communities
the
individuals
who have
to
deal
with
these
situations
are
often
people
who appear
easy
to 7 7 It
seems
possible
that
people
who are
highly
sensitive
in this
way may very
well
be aware
of their
own pain
and that
this
awareness
is
the
basis
for
their
being
able
to
identify
with
the
pain
of others. Is
it
not
then
plausible
that
such
self-awareness
has
to
be controlled,
or defended
against,
in
certain
situations? Can individuals
remain
functional
at
their
jobs,
especially
emotionally
upsetting
jobs,
if
they
are
being
flooded
by their
own feelings? Is
it
the
task
of all
of those
who work with
"sick"
people
to
learn
to
control
their
feelings? The relationship
of perceiving
pain
in
others
and
controlling
our
identification
with
this
pain,
seems
essential
if
individuals
in the
"helping"
pro- 8 8 8 to
assume,
that
the
individuals
who gravitate
toward
these
professions
or who volunteer
their
involvement
may have
more
control
over
their
own emotions
or can
learn
to
have
this
control. I,
therefore,
propose
that
some form
of
closedness
is
important
to
our
survival
and that
it
is
probably
a learned
behavior. Like
many such
phenomenon
the
net
result
of its
effect
can be both
good
and bad,
important
or unimportant,
necessary
or unnecessary. Closedness,
if
it
is
·to
be under-
stood,
must
be viewed
as an event
divorced
from
value
judg-
ments
and
under
certain
circumstances,
closedness,
can be
viewed
as an adaptive
response
and therefore
as having
positive
consequences. Just
to
say
that
closedness
may be adaptive
skirts
the
issue,
for
in
fact,
closedness
and
its
allied
behaviors
may very
well
be the
norm rather
than
the
exception. Becker
(1973,
p. 187) notes,
that,
"After
all,
one
of the
reasons
we narrow
down too
much is
that
we must
sense
on some level
of awareness
that
life
is
too
big
and threatening
a problem. And if
we say
that
the
average
man narrows
down
'just
about
right'
we have
to
ask
who this
average
man is." However,
the
notion
that
man is
more
closed
than
open
seems
often
unacceptable
to
us. Somehow our
belief
about
the
desirability
of openness
has
made us blind
to
the
possi-
bility
that
people,
under
some conditions,
may have
good 9 reasons
to
remain
closed. That
this
closedness
is
usually
seen
in
others
as
self-defeating
and negative
does
not
mean
that
we can
just
label
it
and
ignore
all
of its
possible
ramifications. "Habits
cannot
be mistaken;
they
can
only
be
(un)adaptive."
(Bowers,
1973 p. 333)
Which
still
leaves
the
question
of
"unadaptive"
from
who's
perspective. Resistance
to
change
and limited
openness
to
new ideas
occurs
across
the
spectrum
of our
society
from
the
most
highly
educated
to
those
dominated
by one-behavior
lives,
such
as alcoholics
and
drug
addicts. Our belief
in
the
capacity
of people
to
change
eventuates
in
our
astonishment
concerning
the
low "cure"
rate
found
in
so many maladies. One only
has
to
study
the
history
of
successful
revolutions
to
see
that
entire
generations
are
often
eliminated
to
ensure
that
the
new ways will
take
hold. That
Western
religions
have
often
incorporated
alien
rituals
in
order
to
insure
that
the
converts
will
accept
the
new religion. The Scientific
Example The idea
that
we refuse
to
see
closedness
in
all
of its
varied
forms
still
needs
further
elucidation. To make a point,
it
is
sometimes
necessary
to
explore
its
existence
in
a speci-
fic
group
before
we can move to
a group
occupying
the
middle
ground. For while
openness
in
its
pure
form,
as an abstract
ideal,
has
tremendous
appeal,
any
study
of man must
contrast
the
intellectual
ideal
with
the
psychological
reality
in which
this
ideal
must
function. To develop
this
point
further,
let
us examine
a group
of people
generally
believed
to
be in the
forefront
of openness
to
new ideas,
namely
scientists. This
group
is
by its
own definition
committed
to
and trained
in
the
use
of the
scientific
method,
which
theoretically
commits
them
to
the
search
for
knowledge
(the
truth)
and towards
this
end they
have
struggled
to
develop
methods
which
would
ensure
this
goal. While
it
is
evident
that
tremendous
scientific
advancements
have
been
made,
I believe
that
it
can be shown
I
that
science
and
scientists
suffer
from
the
same resistance
to
change
that
other
people
do. Even though
they
are
trained
to
be open
and are
almost
the
only
organized
group
in
our
society
to
reeieve
this
training;
they
still,
to
a marked
degree,
show the
quality
of closedness. This
notion
should
not
be surprising,
for
scientists
like
any other
group
of
individuals
should
be governed
by the
same psychological
phenomena
that
governs
us all. The idea
that
we refuse
to
see
closedness
in
all
of its
varied
forms
still
needs
further
elucidation. To make a point,
it
is
sometimes
necessary
to
explore
its
existence
in
a speci-
fic
group
before
we can move to
a group
occupying
the
middle
ground. For while
openness
in
its
pure
form,
as an abstract
ideal,
has
tremendous
appeal,
any
study
of man must
contrast
the
intellectual
ideal
with
the
psychological
reality
in which
this
ideal
must
function. To develop
this
point
further,
let
us examine
a group
of people
generally
believed
to
be in the
forefront
of openness
to
new ideas,
namely
scientists. This
group
is
by its
own definition
committed
to
and trained
in
the
use
of the
scientific
method,
which
theoretically
commits
them
to
the
search
for
knowledge
(the
truth)
and towards
this
end they
have
struggled
to
develop
methods
which
would
ensure
this
goal. 8 The rule
of
thumb
appears
to
be that
the
old
ways
persist,
and not
nec-
cessarily
because
of inertia,
for
inertia
appears
to
tame,
to
explain,
the
tenacity
of this
resistance. Given
this,
the
mythology
of
change
and
of man reaching
for
"truths"
gives
way to
an empiricism
of
stagnation
and
resistance
to
change. 10 The Scientific
Example The Scientific
Example While
it
is
evident
that
tremendous
scientific
advancements
have
been
made,
I believe
that
it
can be shown
I
that
science
and
scientists
suffer
from
the
same resistance
to
change
that
other
people
do. Even though
they
are
trained
to
be open
and are
almost
the
only
organized
group
in
our
society
to
reeieve
this
training;
they
still,
to
a marked
degree,
show the
quality
of closedness. This
notion
should
not
be surprising,
for
scientists
like
any other
group
of
individuals
should
be governed
by the
same psychological
phenomena
that
governs
us all. 11 While
scientists
have
been
quick
to
note
the
resistance
of others
to
their
work
and
in
so doing
have
championed
the
idea
of openness
they
have
been
derelict
in
exposing
their
own internal
resistance
to
change. To document
this
point
. I will
quote
liberally
from
a paper
by Professor
Bernard
Barber,
a sociologist
at
Columbia
University. This
paper
was delivered
in
New York
in the
year
1960. In quoting
from
Professor
Barber's
paper
I am less
interested
in the
reasons
he proposes
for
"closed-mindedness"
than
I am in the
mere
existence
of the
paper
and the
documentation
of closedness
that
it
presents. This
will
also
be true
for
the
other
sources
I cite;
for
when one is
dealing
with
a phenomenon
which
is
so conspicuously
avoided,
it
becomes
necessary
to
indicate
that
it
is
there. I
It
is
important
to
begin
with
Barber's
(1960,
p.598)
definition
of his
task:
"This
article
is
an investigation
of the
elements
within
science
which
limit
the
norm and
practice
of
"open-mindedness." "My
purpose
is
to
draw
a more
accurate
picture
of the
actual
process
of scientific
discovery,
to
see
resistance
by
scientists
themselves
as a constant
(emphasis
mine)
pheno-
menon with
specific
cultural
and
social
sources."
Professor
Barber
quotes
Helmholtz
as saying,
"the
fact
is
that
the
greatest
benefactors
of mankind
usually
do not
obtain
full
reward
during
their
lifetime
and that
new ideas
need
the
more 12 time
for
gaining
general
assent
the
more
original
they
are."
Barber
further
notes,
ironically,
one
of those
who resisted
the
ideas
proposed
in
Plank's
paper,
according
to
Plank's
account,
was Helmholtz;
"None
of my professors
at
the
University
had
any understanding
for
its
contents
... I found
no interest,
let
alone
approval,
even
among the
very
physicists
who were
most
closely
connected
with
the
topic. The Scientific
Example The habit
of closedness
is
so pervasive
a phenomenon 14 that
even
those
most
priestly
trained
cannot
help
but
fall
victim
to
it. However,
one may try
to
explain
it,
change
it,
or understand
it,
closedness
prevails. The important
conclusion
to be drawn
from
all
of the
preceding
is
not
that
you can
find
closedness
in
science,
I
but
rather
that
people,
wherever
they
work,
no matter
what
their
stated
goals
or their
specific
training
will
display
some of those
characteristic
behaviors
associated
with
closedness. The specific
reason
that
scientists
were
chosen
is
because,
as
individuals,
they
have
been
consciously
trained
to
avoid
the
pitfalls
of closedness,
but
even
those
scientists
at
the
top
of their
profession
display,
very
clearly,
the
behavior
called
closedness. The problem
here
has
been
the
notion
that
the
correct
intention
will
somehow
prove
more
powerful
than
the
existence
of a psychological
"fact." The Scientific
Example Helmholtz
probably
did
not
even
read
my paper
at
all."
Plank's
inter-
pretation
of his
experience
was as follow
! : "This
experience
gave
me also
an opportunity
to
learn
a new factra
remarkable
one
in my opinion:
A scientific
truth
does
not
triumph
by convincing
its
opponents
and making
them
see
the
light,
but
rather
because
its
opponents
eventually
die
and a
new generation
grows
up that
is
familiar
with
it." Barber
continues
in
the
paper
to
list
an impressive
list
of
significant
discoveries,
that
encountered
generational
resis-
tance,
starting
with
" ... the
very
origins
of modern
science,"
the
Copernian
revolution,
Mendel's
theory
of genetic
inheri-
tance,
Pasteur's
"discovery
of the
biological
character
of
the
fermentation
process."
He ends
his
paper: "Nevertheless
some resistance
remains,
and
it
is
this
we seek
to
understand
and thus
perhaps
to
reduce. If
the
edge
of
objectivity
in
science,
as Charles
Gillispie
has
recently
pointed
out,
requires
us to
take
physical
and biological
nature
as it
is,
without 13 projecting
(emphasis
mine)
our
wishes
upon
it,
so
also
we have
to
take
man's
social
nature,
or his
behavior
in
society,
as it
is. As men in
society,
scientists
are
sometimes
the
agents,
sometimes
the
objects,
or resistance
to
their
own discoveries."
' In a similar
vein
Kuhn (1960,
p. 24)
states: I
"Closely
examined,
whether
historically
or in
the
contemporary
laboratory,
that
enterprise
seems
an
· attempt
to
force
nature
into
the
preformed
and rela-
tively
inflexible
box that
the
paradigm
supplies. No part
or the
aim of normal
science
is
to
call
forth
new sorts
of phenomena;
indeed
those
that
will
not
fit
the
box are
often
not
seen
at
all. Nor do scientists
normally
aim to
invent
new
theories,
and they
are
often
intolerant
of those
I
invented
by others. Instead,
normal-scientific
research
is
directed
to
the
articulation
of those
phenomena
and theories
that
the
para
igm already
supplies." Kuhn is
arguing
that
in
"normal
science"
a narrow
or highly
specific
design
is
investigated
intensely
l to
the
point
of
exclusion
of other
ideas
or theories. What is
striking
about
the
preceding,
is
not
closed,
but
that
"as
men in
that
scientists
can
and will
be
society"
it
i l all
they
can
do
to
struggle
against
being
closed. I
Often,
the
only
cure
is
death. Psychology
and
Closedness While
we have
been
talking
about
science
in general
it
is
now necessary
to
relate
the
idea
of l closedness
to
psychology
in particular. Historically,
psychology
has
had
little
difficulty
in
recognizing
the
existence
of
closedness,
rather
it
has
created
a paradoxical
approach
to
it. On the
one hand
there
are
those
psychologists
who define
closedness
as necessary
for
survival
of the
group
but
detrimental
for
the
individual. The other
position
defines
closedmindedness 15 as negative
and counter
productive
in general. What is
central
to
both
groups
is
that
closedness
comes
out
being
viewed
as negative. It
is
important
to
note
that
in
the
following
passages
closedness
is
understood
as being
syno- . nomous
with
the
defense
mechanisms
and that
both
are
seen
as
sources
of clinical
neurosis. Given
this
state
of affairs
it
is
not
difficult
to
understand
why so much of the
effort
expended
in
clinical
psychology
shares
a history
with
the
ideas
of
closedness. In a way the
notion
of closedness
dates
from
the
dis-
covery
of the
unconscious
as a psychological
event
rather
·
than
an intrigue
of the
gods. Once this
a c ceptance
had
gained
ground,
the
quibbling
over
definitions
for
the
uncon-
scious
gave
way to
the
investigation
of the
"what"
and the
"why"
people
are
unaware
of;
and
of why people
seem to
func-
tion
at
a lower
level
of efficacy
than
they
have
to,
given
their
general
abilities. Otto
Rank
(1941,
p. 21)
defines
the
problem
this
way: "Neurosis
is
neither
the
result
of social
inhibitions
which
the
majority
seems
able
to
accept
nor
is
it
caused
by subsequent
repression
of impulses,
but
appears
as the
result
of an excessive
control
on the
part
of the
individual's
will
over
his
own nature. In brief,
neurosis
is
the
result
of willing
the
spon-
taneous,
which,
in
other
words,
amounts
to
an attempt 16 to
solve
the
conflict
between
determinism
and
freedom
in
actual
life
instead
of on paper. In this
sense,
the
neurotic
type
of our
time
appears
to
be the
cari-
cature
of our
own over-rationalized
psychology;
in him
is
reached
the
climax
of rational
self-control
(control
of the
natural
self)
at
the
breaking-point
where
the
irrational
forces
get
the
upper
hand." In a sense
he is
saying
that
neurotic
man has
lost
his
spon-
taneity
(his
openness)
and has
over-rationalized
(closed
down)
his
life. Psychology
and
Closedness People
distrust
their
nature
and have
tried
to
reinvent
a better
one. So the
closing
down of the
natural
is
negative. In contradistinction
to
Rank's
point
of view,
Herbert
Marcuse
(1955,
p. 235) in his
study
of Freud,
makes
the
following
point: "Behind
all
the
differences
among the
historical
forms
of society,
Freud
saw the
basic
inhumanity
common to
all
of them,
and the
repressive
controls
which
perpetuate,
in the
instinctual
structure
itself,
the
domination
of man by man }
By virtue
of this
insight
Freud's
'static
concept
of society'
is
closer
to
the
truth
than
the
dynamic
sociolog-
ical
concepts
supplied
by the
revisionist
... The
personality
which
the
individual
is
to
develop,
the
potentialities
which
he is
to
attain--they
are
regimented
from
the
very
beginning,
and their 17 content
can
be defined
only
in
terms
of this
regi-
mentation. Freud
destroys
the
illusions
of the
idealistic
ethics;
the
'personality'
is
but
a
'broken'
individual
who has
internalized
and
success-
fully
utilized
repression
and aggression." He goes
on to
note: " ... Fromm and the
other
revisionists
(Rank,
included)
proclaim
a higher
goal
of therapy:
optimal
develop-
ment
of a person's
potentialities
and
the
realization
of his
individuality. Now it
is
precisely
this
goal
which
is
essentially
unattainable--not
because
of
limitations
in
psychoanalytic
techniques
but
because
the
established
civilization
itself,
in
its
very
structure,
denies
it. Either
one defines
'personality'
and
'individuality'
in
terms
of their
possibilities
within
the
established
form
of civilization,
in
which
case
their
realization
is
foi
the
vast
adjust-
ment,
or one defines
them
in terms
of their
transcend-
ing
content,
including
their
socially
denied
poten-
tialities
beyond
(and
beneath)
their
actual
existence;
in
this
case,
their
realization
would
imply
trans-
gression,
beyond
the
established
form
of civilization,
to
radically
new modes
of
'personality'
and
'indivi-
duality'
incompatible
with
the
prevailing
ones. Today
this
would
mean
'curing'
the
patient
to
become
a rebel
or
(which
is
saying
the
same thing)
a martyr." 18 His
point
is
that
the
"static"
and the
"regimented"
are
what
pe ople
are
all
about;
that
this
is
how we must
under-
stand
people
in terms
of their
"closedness."
For what
he
calls
"illusion"
is
but
another
name for
openness. Psychology
and
Closedness Rank
and Marcuse,
then,
represent
the
polarities
of closedness;
Ran k sees
the
individual
sacrificing
his
own nature
in
being
closed
and Marcuse
sees
the
individual
as having
to
be closed
in
order
to
serve
the
closed
society. The reso-
lu t ion
of this
debate
within
cli
nical
psycholog
y is
attempted
by Ernest
Becker,
who is
a student
of both
Freud's
and Rank's;
he defines
the
middle
way:
(Becker,
1973, p. 177) "First,
as a problem
of personal
character,
when
we say
neurosis
represents
the
truth
of
life
we
again
mean that
life
is
an overwhelming
problem
for
an animal
free
of instinct. The individual
has
to
protect
himself
against
the
world,
and he
can
do this
only
as any
other
animal
would:
by
narrowing
down the
world,
shutting
off
experience,
developing
an obliviousness
both
to
the
terrors
of the
world
and
to his
own anxieties. Otherwise,
he would
be crippled
for
action." So here
we have
the
resolution:
"the
individual
has
to
protect
himself,"
"otherwise
he would
be crippled
for
a ct ion;"
close
down and then
you can
fight
another
day. The narrowing
down or closing
down of the
individual
is 19
not
then
a black
or white,
either/or
event. In a sense
one
can
say
that
Becker
has
tried
to
remove
the
notion
of
open
and
closed
from
the
arena
of ideology
to
the
investi-
gation
of a critical
psychology. 19 not
then
a black
or white,
either/or
event. In a sense
one
can
say
that
Becker
has
tried
to
remove
the
notion
of
open
and
closed
from
the
arena
of ideology
to
the
investi-
gation
of a critical
psychology. The centrality
of
closedness
in
all
o fl these
positions
also
gives
rise
to
the
notion
that
what
we believe
about
people
not
only
expresses
our
psychology
of man but
also
our
ideology
of man. That
as much as we investigate
psycholog-
ical
man we are
also
embedded
in
our
own reflections,
both
culturally
and
personally;
we are
enclosed
within
our
I
theories,
our
personalities
and
our
cultural-historical
heritage. Closedness
As a Psychological
Habit If
one
looks
at
the
research
that
dominated
the
1950's
and
1960's,
especially
in
the
area
of volitional
vs. condi-
tionable
behavior,
it
is
reasonable
to
conclude
that
people
are
not
just
the
end
result
of innumerable
conditioning
experiences;
rather
persons,
like
animals,
almost
eagerly
seek
habituation
of their
behavior
so as to
maximize
their
potential. As Wachtel
(1973,
p. 329)
notes: If
one
looks
at
the
research
that
dominated
the
1950's
and
1960's,
especially
in
the
area
of volitional
vs. condi-
tionable
behavior,
it
is
reasonable
to
conclude
that
people
are
not
just
the
end
result
of innumerable
conditioning
experiences;
rather
persons,
like
animals,
almost
eagerly
seek
habituation
of their
behavior
so as to
maximize
their
potential. As Wachtel
(1973,
p. 329)
notes:
"We must
ask
why for
some people
the
situation
is
so rarely
different. How do we understand
the
man who is
constantly
in
the
presence
of
I
overbearing
women,
or
constantly
immersed
in
his
work,
or constantly
with
weaker
men who are "We must
ask
why for
some people
the
situation
is
so rarely
different. How do we understand
the
man who is
constantly
in
the
presence
of
I
overbearing
women,
or
constantly
immersed
in
his
work,
or constantly
with
weaker
men who are 20 cowed
by him and offer
little
honest
feedback? Further,
how do we understand
the
man who seems
to
bring
out
the
bitchy
side
of whatever
woman
he encounters,
or ends
up turning
almost
all
social
encounters
into
work
sessions,
or
inti-
midates
even
men who usually
are
honest
and
direct." It
would
appear,
then,
that
a habit,
in the
purest
sense
of the
term,
might
be the
most
efficacious
unit
of behavior,
along
with
the
proviso
that
the
habit
in question
is
used
in
an appropriate
situation. Is
it
not
then
1theoretically
possi-
ble
that
man with
his
superior
brain
carries
this
intuitive
notion
to
its
logical
conclusion
and
substitutes
the
form
of
habituation
for
the
content
of an appropriate
behavioral
response. So,
an habitual
response
is
called
forth
because
the
individual
believes
that
habits,
more
often
than
not,
work
so well. Is
it
not
the
accepted
wisdom
in
almost
all
areas
of life
that
it
is
essential
to
acquire
good
"habits"
whether
you are
a football
player
or a concert
violinist. Closedness
As a Psychological
Habit The goal
in
all
endeavors
is
to
develop
our
habits
in order
to make our
use
of energies
more
efficacious. For
an indivi-
dual
to
produce
a novel
or thoughtful
response
requires
an
investment
of energy,
still
more
effort
is
needed
just
to
stop
the
old
habitual
response. Given
this
definition
of
habitual
responses,
it
then
becomes
reasonable
to
assume
that
any break
in the
flow
of habitual
responses,
that
a
person
is
used
to
expressing,
can
create
a stressful
and 21 frustrating
situation
which
is
probably
a negative
experience
for
most
people. That
man then
behaves
in
the
"narrow"
sense
(habitual,
closed)
rather
than
in
the
"freer"
sense
(change-
able,
open)
appears
more
reasonable
and plausible. What h~s
been
said
about
the
habits
of individuals
can
also
be said
about
groups. In the
following
quote
a habit
is
called
a
"characteristic
view"
and
it
is
understood
as
something
that
"jus
t is."
Sanford
(1971,
p. 141)
in his
work
on ethnocentri-
cism
(an
opera
t ionally
defined
form
of
closedmindedness),
defines
it
like
this: "This
way of thinking
about
group
relationships
is
associated
with
characteristic
views
on poli-
t i c s,
economics,
religion,
social
relations,
family
and
sex. This
outlook
didn't
strike
us
as
something
that
had been
learned
at
school
or
taken
over totally
from
any
existing
propaganda
agen cy . Instead,
we were
led
to
the
view
that
the
ethnocentric
outlook
is
generated
and main-
tained
primarily
because
it
serves
important
needs
within
the
individual
personality." He goes
on to
list
a number
of other
studies
that
indicate
a
high
correlation
between
ethnocentriqism
and
negative
beha-
vioral
traits:
"rigidity,
misanthropy,
dogmaticism,
punitive-
ness
toward
alcoholic
patients,
low tolerance
for
visual
stimuli,
and,
under
some conditions,
rigidity
in
problem
solving." 22 This
research
has
interpreted
both
forms
of habits
(individual,
group)
to be a variation
of closedmindedness. Both
examples
emphasize
the
negative
aspects
of closedness
and
see
little
value
in this
form
of behavior. Historically,
it
has
been
possible
to
view
closedness
as a dynamic
element
in psychology
but pushed
into
extreme
positions. The polar-
ization
can
almost
be viewed
as a hindrance
to
understanding
more
precisely
how closedness
functions
as a complex
behavior. It
has
been
shown
that
closedness
is
both
widespread
and held
to
be negative. Closedness
As a Psychological
Habit It
has
also
been
shown
that
closedness
may
be positive,
but
it
has
not
been
possible
to
find
empirical
research
that
would
uphold
this
view. Given
the
current
status
of closedmindedness
it
a ppears
inevitable
that
someon e
would
attempt
to
show that
closedness
can be positive. Psychological
Stress
and Closedmindedness The theoretical
and
empirical
traditions
in
psychology
have
always
tried
to
find
the
antecedent
events
that
provoke
closedness
in the
individual. An important
focus
of this
research
has
been
the
area
of stress. Lazarus
(1966,
p. 1,2)
indicates
the
overall
importance
of stress
as a topic
of
psychological
importance,
this
way: "A huge
quantity
of research
is
performed
within
the
overlapping
subjects
of conflict,
frustration
anxiety,
defense,
emotions
(especially
those
of
fear
and anger),
and
disaster,
to
name some of the
most
important
and
obvious
topics
that
fall
under 23 the
rubric
of
stress
........ . The reasons
for
this
voluminous
activity
is
simply
that
stress,
as
a universal
human
and
animal
phenomenon,
results
in
intense
and
distressing
experience
and
appears
to
be of tremendous
influ-
ence
in behavior. It
is
also
of the
utmost
importance
in
the
effectiveness
of adaptation."
With
reference
to
closedmindedness
and
Rokeach's
Dogmatism
Scale,
Lazarus
(1966,
p. 139)
notes
that:
"One of the
assump-
tions
underlying
this
trait
(anxiety)
is
that
dogmatism
or
close-mindedness
is
a way of
coping
with
anxiety
or threat."
Rokeach
is
in
agreement
with
Lazarus
on this
interpretation
of his
scale. Rokea ch (1960,
p . 347)
puts
it
this
way:
" ...... to
the
extent
a belief
system
is
closed,
it
represents
a cognitive
network
of defenses
against
anxiety. This
leads
to
the
simple
hypo-
thesis
that
those
with
relatively
closed
systems,
should
manifest
more
anxiety
than
those
with
relatively
open
systems."
So that,
closedminded
individuals,
as
defined
by Rokeach's the
rubric
of
stress
........ . The reasons
for
this
voluminous
activity
is
simply
that
stress,
as
a universal
human
and
animal
phenomenon,
results
in
intense
and
distressing
experience
and
appears
to
be of tremendous
influ-
ence
in behavior. It
is
also
of the
utmost
importance
in
the
effectiveness
of adaptation." So that,
closedminded
individuals,
as
defined
by Rokeach's
scale,
tend
to
respond
with
a defensive
closedness
to
stress;
and
open
individuals
tend
to
respond
in
a less
defensive
way. This
theoretical
position
hypothesizes
that
stress
will
induce
closedmindedness
and that
the
closed
individuals
will
be less
effective
or
less
adaptive. Implicit
in
all
of this,
is
the
idea
that
a closed
response
style
is
negative. 24 A Review of the
Dogmatism
Scale A Review of the
Dogmatism
Scale A Review of the
Dogmatism
Scale The introduction
thus
far
has
tried
to
show that
closed-
ness,
in
a general
way,
is
both
widespread
and
not
necess-
arily
negative. It
was also
noted
that
even
when researchers
define
closedness
as necessary
they
also
noted
the
negative
consequences
that
it
produced. But,
if
one
looks
at
closed-
ness
across
disciplines
or in
a broader
historical
context,
it
is
often
found
to
be the
norm rather
than
the
exception;
and rather
than
treating
it
as an inherently
negative
and
undesirable
characteristic,
it
would
probably
be more
bene-
ficial
to
explore
it
as
a neutral
phenomenon. The opportunity
to
d o t his
arrives
with
the
work
of Milton
Rokeach,
for
he
developed
a scale
that
differentiates
people
into
open
or
closed
groups
and his
research
has
tended
to
show that
closed
individuals
performed
negatively
in
the
experimental
situa-
tions
he devised. Rokeach
(1960,
p. 60)
defined
the
goal
of his
research
in
The Open and
Closed
Mind as follows: "Our
primary
concern
and
commitment
is
to
try
to
describe
what
is
going
on,
and not
going
on,
at
the
cognitive
level. 11
The scale
itself
is
a series
of questions
about
social
and
personal
opinions. It
was originally
developed
to
study
individuals
who were
bigoted,
prejudiced
and
dogmatic. He
then
evolved
it
into
a scale
that
systematically
separated
people
into
two groups. Put
another
way:
"It
is
not
so "Our
primary
concern
and
commitment
is
to
try
to
describe
what
is
going
on,
and not
going
on,
at
the
cognitive
level. 11 The scale
itself
is
a series
of questions
about
social
and
personal
opinions. It
was originally
developed
to
study
individuals
who were
bigoted,
prejudiced
and
dogmatic. He
then
evolved
it
into
a scale
that
systematically
separated
people
into
two groups. Put
another
way:
"It
is
not
so 25 much what
you believe
that
counts
but
how you believe."
Rokeach
(1960,
p. 6) The issue
then
for
Rokeach
was the
connectedness
between
"narrow"
thinking
on social
issues
and
how this
reflected
an underlying
disposition
to
think
in
a
closed
way. Since
the
Dogmatism
Scale
(DS) is
one
of the
primary
research
tools
used
in
the
research
presented
here
a review
of the
research
using
this
tool
is
in
order,
so as to
indi-
cate
the
efficacy
of
the
scale
and
its
applicability
to
this
research. A Review of the
Dogmatism
Scale Rokeach's
DS has
been
demonstrated
to
be a reliable
instrument
(See
Appendix
H.) A great
deal
of research
in this
area
has
used
academic
settings
and
students
in
social
science
courses. Ehrlich
(1955;
1961a,
1961b)
concluded: "Subjects
low in
dogmatism
entered
the
sociology
classroom
with
a higher
level
of
learning,
learned
more
as a result
of classroom
exposure,
and
retained
this
information
to
a significantly
greater
degree
than
the
more
dogmatic
subjects." "Subjects
low in
dogmatism
entered
the
sociology
classroom
with
a higher
level
of
learning,
learned
more
as a result
of classroom
exposure,
and
retained
this
information
to
a significantly
greater
degree
than
the
more
dogmatic
subjects." Costin
(1965)
in
a replication
of this
work,
using
psychology
students
rather
than
sociology
students,
found
no correlation
between
the
DS scores
and
classroom
performance,
but
did
find
a high
correlation
between
the
DS scores
and
the
School
and
College
Ability
Test. From this
finding
he concluded:
"that
there
was more
than
one
kind
of c.losedmindedness
and/or
that
the
content
of learning
was the
crucial
variable
in
the 26 differences
between
the
studies."
Frumkin
(1961) and
Zagona
and
Zucher
(1965) confirmed
the
general
finding
that
the
low
DS score
tended
to
get
higher
classroom
grades
while
Christensen
(1963) found
this
not
to
be the
case. While
this
area
of the
research
has
had mixed
results
the
general
thrust
has
tended
to
vindicate
Rokeach's
hypothesis
about
low and
high
DS people,
that
there
is
an underlying
cognitive
dis-
position,
and that
if
one were
closed
in
one's
opinions
why
wouldn't
one also
be closed
in
a learning
situation? That
being
closed
is
a style
one brings
to
many different
situa-
tions
and not
just
opinion
situations. In other
type
situations
Ehrlich
and Bauer
(1966, 1967)
found
that
high
DS subjects
in
a psych~atric
hospital
tended
to
be released
over
a longer
period
of time
than
lower
DS
patients. This
situation
can be seen
as analogous
to
other
learning
situations. Getting
out
of a hospital
may have
something
to
do with
"learning"
how to
be a healthier
person,
so that
the
learner
leaves
first
and the
closed
individual
stays
on. A Review of the
Dogmatism
Scale In another
quasi-medical
situation
Hallenbach
and
Lundstedt
(1966) predicted
that
individuals
who were
low on
the
DS scale
and who were
gradually
going
blind
would
be
found
to
be quite
depressed
while
those
who were
high
on the
DS scale
would
be using
denial
and would
not
be depressed. Their
findings
confirmed
this
prediction. In an extension
of his
research
Rokeach
developed
the
Denny
Doodlebug
Problem
as
a test
of a complex
problem
solving 27 situation
that
had a neutral
content. The findings
over
a
number
of
studies
indicated
the
following
(1960,
p. 211):
"Those
having
a relatively
open
system
take
less
time
to
solve
the
Doodlebug
Problem
..... "
Rokeach,
Swanson
and Denny
(1960)
tested
and confirmed
this
finding
in
a study
using
chess
and nonchess
players
and a conventional
chessboard
in
a novel
way. The importance
of these
studies
is
that
they
showed
that
low DS subjects
dealt
more
successfully
with
n ovel
si t uations
than
high
DS subjects. In the
area
of personality
research
Plant,
Telford
and
Thomas
(1965)
compared
high
DS's
and
low DS's
on the
Allport,
Ver non , Lindzey
Study
of Values
and
five
scales
of the
California
Psychological
Inventory
(CPI). They
found
high
DS's
to be psychologically
immature,
impulsive,
defensive
and
stereotyped
in
their
thinking,
whereas
low DS's
were
outgoing,
enterprising,
calm,
mature
and
forceful,
efficient
and
clear
thinking,
responsible
and more
likely
to
succeed
in
an aca-
demic
setting. Giddan
(1964)
used
three
different
scales
from
the
CPI and
found
that
the
higher
an individual
scored
on the
Dogmatism
Scale
the
less
tolerant,
flexible
and
secure
he was. The major
thrust
of all
of this
research
is
that
the
higher
an individual
·scores
on the
DS scale
the
worse
they
will
do in a given
situation;
be-it,
academic,
novel,
adaptation
to
certain
medical
or physical
problems
or just
in
terms
of their
personality
development. Closedness,
then
has
come down to
us
as a negative
attribute
with
few if
any
redeeming
aspects. 28 Along
this
line
of reasoning
Kaplin
and Singer
(1963)
showed
that
high
DS reduces
the
sensory
acuity
and
results
in
reduced
self-awareness. So that
not
only
is
performance
and person-
ality
diminished,
but
also
contact
and
awareness
of
self
. . Rokeach
(1960,
p. A Review of the
Dogmatism
Scale 62)
in a similar
vein
notes
that:
"If
a person
feels
strongly
threatened
or anxious
in
a given
situation,
he should
above
all
be
motivated
to
act
so that
the
threat
is
reduced
and
the
anxiety
allayed. It
is
precisely
because
he
is
motivated
that
the
relatively
closed
individual
becomes
highly
attuned
to
irrelevant
internal
and
external
pressures
and,
accordingly
unable
to
evaluate
information
independent
of source." There
is,
thus,
ample
evidence
that
Rokeach's
scale
consistently
differentiates
people
into
the
two groups,
and
that
all
of the
successes
he or others
have
had with
the
scale
are
dependent
on the
negative
reactions
of the
closed
individual. It
can
be said
for
his
scale
that
it
predicts
the
negative
performance
of the
closed
group
with
some accu-
racy. Since
this
research
wants
to
make the
opposite
predic-
tion:
that
closed
individuals
will
do well
on the
chosen
tasks,
it
behoved
this
researcher
to
use
the
strongest
instrument
with
which
to
make this
prediction. The Rokeach
Scale
was chosen
because
it
differentiates
individuals
into
cognitive/personality
types
that
have
a long
experimental
and
theoretical
history
in
psychology. The 29 following
quote
from
Rokeach
(1960,
p. 68) will
show how
clearly
he has
conceptualized
the
underlying
questions
and
issues
that
direct
so much activity
in psychology:
"A person
will
be open
to
information
insofar
as possible,
and will
reject
it,
screen
it
out,
or alter
it
insofar
as necessary. In other
words,
no matter
how much a person's
system
closes
up to
ward
off
threat
and anxiety,
it
can
still
serve
as
a cognitive
framework
for
satisfying
the
need
to
know. For
the
closed
mind
is
subject-
ively
experienced
by the
person
who has
it
no
differently
from
the
way it
is
experienced
by a
person
with
an open
mind. In this
way the
person's
belief
system
may be thought
of as a
mechanism
for
having
one's
cake
and
eating
it,
too. One can
distort
the
world
and narrow
it
down
to
what
ever
extent
necessary,
but
at
the
same
time,
preserve
the
illusion
of understanding
it. A Review of the
Dogmatism
Scale And if
the
closed
or dogmatic
mind
is
extremely
resistant
to
change,
it
may be so not
only
because
it
allays
anxiety
but
also
because
it
satisfies
the
need
to
know."
In summary
then,
Rokeach
addresses
himself
to
the
following In summary
then,
Rokeach
addresses
himself
to
the
following
issues: --What
is
meant
when we say
that
an individual
is
openminded
--What
is
meant
when we say
that
an individual
is
closed-
minded 30 --What
is
the
"illusion
of understanding"
--What
do we mean when we say
that
an individual
is
"resistant
to
change" --What
is
the
"need
to
know"
Rokeach
then
proceeds
to
formulate
some answers:
--Closedmiridedindividuals
think
they
are
openminded
(have
more
illusions
about
themselves)
--Openminded
individuals
think
they
are
openminded
(have
fewer
illusions
about
themselves)
--Closedmindedindividuals
have
less
of a need
to
know
--Openminded
individuals
have
more
of a need
to
know
--Closedmindedindividuals
are
more
resistant
to
change
(their
behaviors
will
tend
to
stay
the
same even
though
the
situation
changes) --Openminded
individuals
are
less
resistant
to
change
(their
behaviors
will
tend
to
reflect
the
demands
of
the
cha~ged
situation) --Openminded
individuals
are
less
resistant
to
change
(their
behaviors
will
tend
to
reflect
the
demands
of
the
cha~ged
situation) Hypothesis The major
hypothesis
to
be tested
is
that
closedminded-
ness,
a behavior
traditionally
seen
as being
negative,
can
be
an adaptive
and positive
response
in
a certain
situation. If
this
is
the
case
then
closedmindedness
can
be said
to
be
neither
positive
nor
negative,
but
rather
an attribute
which
is
used
differently
in
different
situations. Purpose
of This
Study The review
of the
literature
and the
other
sources
cited
tend
to
confirm
the
observation
that
close~ness
is
both
wide-
spread
and
is
often
perceived
as a negative
behavior. What
the
review
of the
literature
might
very
well
indicate
is
a
systematic
bias
wherein
experimental
situations
are
chosen
because
they
would
in
fact
produce
a negative
result. Argyris
(1975, p. 475) has
described
this
phenomenon: Argyris
(1975, p. 475) has
described
this
phenomenon: 31 31
"If
the
experiment
is
designed
well,
the
choice
is
free
in
the
sense
that
the
subject
makes
it,
but
inevitable
in
that
the
experimenter
designed
the
experiment
to minimize
other
choices."
The purpose
of this
research,
then,
is
to
see
if
individuals
who are
"closedminded"
as measured
by previously
validated
instruments
function
in
a more
adaptive
(positive)
fashion
than
"openminded"
persons
when presented
with
a situation
designed
to
elicit
feelings
of discomfort
and
stress. Predictions --In
response
to
distressing
slides,
closedminded
subjects
will
view
them
for
a longer
period
of time
than
will
the
openminded
subjects. --In
response
to
written
descriptions
of hypothetical
situa-
tions
depicting
others
in
need
of assistance,
openminded
subjects
will
place
themselves
closer
(physically)
to
the
most
stressful
aspects
of the
situation
and
closedrninded 32 subjects
will
place
themqelves
further
from
the
most subjects
will
place
themqelves
further
from
the
most
upsetting
aspects
of the
situation. --That
on a True-False
Test
related
to
viewing
both
stress-
ful
and nonstressful
slides,
the
closedminded
subjects
will
give
more
correct
responses
than
the
openminded
subjects. Pilot
Study Development
of Slide
Show. In order
to
determine
if
Closedmindedness
could
be shown
to be a positive
behavior,
a slide
show was developed
which
would
depict
scenes
that
ranged
from
"no discomfort"
to
"much
discomfort."
Slides
were
made of pictures
that
were
found
in
Life
magazine,
Horizon,
medical
publications,
art
books
and
other
publica-
tions. 62 slides
were
chosen
by the
experimenter. These
slides
ranged
over
many subject
areas
and
discomfort
levels. They
included
slides
that
depicted
the
assassination
of
former
Governor
George
Wallace
of Alabama
and the
birth
of
a baby
to
slides
that
just
showed
a man walking
and a student
studying. They were
shown
to
a group
of 166 University
of
Rhode
Island
undergraduate
volunteers,
who were
enrolled
in
two separate
psychology
courses. These
students
were
told
that
they
were
going
to
be shown
62 slides
and that
they
were
to
indicate
whether
they
found
each
of the
slides
to
cause
"no discomfort,"
for
them,
"little
discomfort,"
"moderate
discomfort,"
or
"much
discomfort."
The 10 slides
most
frequently
cited
as having
"no"
or
"little
discomfort"
and
the
10 slides
cited
most
frequently
as having
"moderate"
or 33 34 "much
discomfort,"
were
selected
for
the
main
study. ( See
Appendices
A, Band
C.) The slide
show was constructed
so as to
provoke
stress
in
all
of the
subjects. The term
"discomfort"
was used
because
it
was felt
that
discomfort
and
stress
could
be seen
as conceptually
interchangeable
and that
subjects
would
be
more
forthcoming
if
asked
to
indicate
their
degree
of dis-
comfort
rather
than
their
degree
of stress. In a more
general
way it
was hoped
that
any
"negative"
stimuli,
be they
discomforting
or
stressful,
would
evoke
the
desired
behavior. The slides
were
chosen
precisely
on the
b~sis
of whether
they
did
or did
not
evoke
discomfort. The content
of the
slides
was held
to
be unimportant
because
we were
interested
only
in
their
empirical
ratings. Development
of Human Assistance
Distance
Scale. The
Human Assistance
Distance
Scale
(HADS) depicts
five
situations
in which
subjects
can
indicate
how close
they
think
they would
get
to
the
most
upsetting
aspect
of a hypothetical
helping
situation. The themes
of the
five
situations
were:
an auto-
mobile
accident,
a strike
at
a local
hospital,
a storm
devas-
tated
town,
a town
without
public
service
employees
and
a
group
of
stranded
individuals. Pilot
Study More specifically
all
of the
scenes
were
constructed
in the
following
manner:
(See Appendix D.) Scene
A
If
you were
a witness
to
an automobile
accident
which
of the
following
do you think
you would
be 35
most
likely
to
do,
irrespective
of whether
you
were
uncomfortable
or not? -Go and
call
for
help
-Direct
oncoming
traffic
-Comfort
those
who hadn't
been
hurt
-Assist
someone
to
aid
the
hurt
victims
-Directly
give
aid
to
the
hurt
victims
The above
example
indicates
the
experimenter's
proposed
dis-
tancing
order. It
was then
necessary
to
test
whether
there
was agreement
between
his
proposed
ordering
on the
five-point
scale
and the
subject's
ordering. The same group
of student
volunteers,
mentioned
above,
were
asked
to
assign
a rank
order
for
each
of the
five
behavioral
options
within
each
situation. They were
told
that
they
could
either
agree
with
the
predetermined
order
or change
it
depending
upon
whether
or not
they
believed
the
ordering
accurately
reflected
the
degree
of
closeness
to
the
most
upsetting
aspect
of the
situations. Correlation
matrices
were
run
for
each
of the
five
situations
and the
range
of agreement
between
the
pre-
selected
rank
order
and those
indicated
by the
students
went
from
a low of
2:1
to
a high
of
6:1. This
indicates
that
there
was no change
in the
order
at
least
60% of the
time,
at
the
lowest
level
of agreement--to
a high
of about
80%
t
Si
ll
f
th
it
ti
t
t d
i 35 -Comfort
those
who hadn't
been
hurt
-Assist
someone
to
aid
the
hurt
victims -Directly
give
aid
to
the
hurt
victims
The above
example
indicates
the
experimenter's
proposed
dis-
tancing
order. It
was then
necessary
to
test
whether
there
was agreement
between
his
proposed
ordering
on the
five-point
scale
and the
subject's
ordering. The same group
of student
volunteers,
mentioned
above,
were
asked
to
assign
a rank
order
for
each
of the
five
behavioral
options
within
each
situation. They were
told
that
they
could
either
agree
with
the
predetermined
order
or change
it
depending
upon
whether
or not
they
believed
the
ordering
accurately
reflected
the
degree
of
closeness
to
the
most
upsetting
aspect
of the
situations. Pilot
Study Correlation
matrices
were
run
for
each
of the
five
situations
and the
range
of agreement
between
the
pre-
selected
rank
order
and those
indicated
by the
students
went
from
a low of
2:1
to
a high
of
6:1. This
indicates
that
there
was no change
in the
order
at
least
60% of the
time,
at
the
lowest
level
of agreement--to
a high
of about
80%
agreement. Since
all
of the
situations
are
constructed
in
a like
manner,
the
behavioral
options
are
matched
as
far
as
possible. The statistical
procedure
tended
to
confirm
the
ordering
position
across
all
five
scenes. It
also
indicates 36 that
it
would
be safe
to
assume
that
the
preselected
order-
ing
of behavioral
options
accurately
represents
closeness
to
upsetting
aspects
of these
situations. (See
Appendices
E ·and F.) Main
Study-Part
I Subjects. Forty
male
and
forty
female
undergraduate
students
from
the
University
of Rhode
Island
were
utilized
as
subjects
for
the
main
study. These
80 subjects
were
drawn
from
a pool
of 242 students
who were
given
Form E of the
Rokeach
Dogmatism
Scale. All
of these
students
were
volun-
teers
and
it
was understood
that
if
they
were
to
receive
extra
credit
they
would
have
to
participate
in both
parts
of
the
main
study. The twenty
male
and
female
subjects
with
the
lowest
scores
on the
dogmatism
scale,
along
with
the
twenty
male
and
female
subjects
with
the
highest
scores,
were
selected
to
participate
in the
second
part
of the
main
study. The eighty
subjects
were
not
told
why they
were
selected. The call
for
volunteers
was made early
in
the
semester
in the
hope
that
by involving
students
early
it
would
minimize
weighting
the
study
with
students
who volun-
teered
only
because
they
needed
the
extra
credit. Volunteers
were
used
rather
than
employing
some other
sampling
technique,
because
the
goal
of this
laboratory
research
is
to
establish
the
potential
existence
of closed-
mindedness
as a positive
behavior. Thus,
there
will
be no
attempt
to
generalize
the
findings,
other
than
to
note
their
consequences
for
related
areas
of psychology. 37 37 Procedure. The call
for
volunteers
was a verbal
state-
men t presented
by the
experimenter
to
a large
undergraduate
psy chology
class. It
was brief
and
indicated
that
the
exper-
men t er was conducting
a two-phase
study
and that
their
instruc-
tor
had
agreed
to
give
extra
credit
to
students
who partici-
pa t ed. They were
told
that
the
first
phase
would
be a group
testing
session,
given
that
very
morning,
which
would
take
onl y about
thirty
minutes
to
complete. The second
session
would
c ome later
in the
semester
and would
be an individual
tes t ing
session
given
at
a time
which
was convenient
for
both
the
experimenter
and the
subject. They were
also
told
that
participation
in
the
first
part
demanded
participation
in
the
s econ d part
if
the y were
to
receive
the
extra
credit. The
volu nt eers
were
told
that
the
exact
nature
of the
study
could
n ot be told
to
them
at
that
time,
but
after
they
had
concluded
both
phases
they
would
be informed
of the
exact
purpose
of the
s t ud y . Measures. Main
Study-Part
I Form E of Rokeach's
Dogmatism
Scale
was then
given
to
the
242 volunteers. They
received
the
following
instructions: "There
are
no right
or wrong
answers
to
these
questions. At this
point
in the
experiment
we are
interested
in how you as individuals
answer
differ-
ently
from
each
other. The specific
directions
are
on your
answer
sheets. If
there
are
any questions,
please
· ask." 38 38 The Rokeach
Scale
consists
of
40 statements
that
the
subjects
can
either
agree
with
on a three
point
positive
scale
or
disagree
with
on a three
point
negative
scale. (See
Appendix
G for
Form E. of the
Rokeach
Scale.)
In order
to ·
simplify
the
scoring
of this
scale,
a constant
value
of four
was added
to
each
score
so as to
yield
a total
positive
score. All
of the
subjects
used
in
the
second
part
of the
main
study
were
selected
to
equalize
the
number
of male
and
female
part-
icipants
and according
to
their
score
on the
Dogmatism
Scale. Each
subject
was
contacted
by phone
and told
that
he/she
had
been
selected
to
participate
in
the
second
phase
of the
study. If
they
asked
why,
they
were
told
"that
it
was because
of how
they
scored
on part
one."
No further
information
was given
to
the
subjects
other
than
time
and place
for
phase
two. All
of the
subjects
were
tested
by the
same experimenter
and
in
the
same setting. To arrange
for
the
20 most
openminded
males
and
for
the
20 most
openminded
females,
it
was necessary
to
contact
54
individuals. Their
score
ranged
from
a low of 75 to
a high
of 106. The Mean score
for
the
openminded
males
was 112.5
and their
standard
deviation
was 11.4. The Mean score
for
the
openminded
females
was 108.65
and their
standard
deviation
was 9.7. The 40 most
closedminded
subjects
had
scores
that
ranged
from
a high
of
214 to
a low of 160,
and it
was neces-
sary
to
contact
60 individuals
to
achieve
the
desired
number
of
20 males
and
20 females. The Mean score
for
the 39
closedminded
males
was 187.45
and their
standard
deviation
was 12.9. The Mean score
for
the
closedminded
females
was
180.15
and their
standard
deviation
was 12.57. 39 closedminded
males
was 187.45
and their
standard
deviation
was 12.9. The Mean score
for
the
closedminded
females
was
180.15
and their
standard
deviation
was 12.57. Main
Study-Part
I The cooperation
level
was about
the
same
for
each
group
but
the
point
spread
between
the
lowest
and highest
scores
within
a group
was greater
for
the
closedminded
group. At
the
point
of selection
it
was not
known precisely
whether
this
point
spread
within
groups
effected
the
trait
homogeneity
of the
comparison
groups. But,
since
the
highest
score
in
the
openminded
group
had
a score
of 125 and the
lowest
scorer
in
the
closedminded
group
had
a score
of 162 and there
is
a
significant
distance
between
these
two scores
it
is
felt
that
trait
homogeneity
was established,
in
that
the
groups
did
not
overlap. Slide
Show and True/False
Test. prior
to
receiving
the
slide
show were
read
the
following
instructions: "You are
going
to
be shown
some slides. After
you have
seen
all
of the
slides
you will
be
asked
some questions
about
them. When you have
completed
viewing
a slide
push
the
button
on the
remote
control
device. Do not
push
the
button
again
until
you are
instructed
to."
After
the
instructions
were
read
there
was a rehearsal
and a
practice
trial
with
the
remote
control. It
was emphasized, 40 once
again,
that
they
must
wait
for
instructions
to
push
the
remote
button
before
the
next
slide
would
be presented. This
presentation
consisted
of the
20 slides
which
had been
prejudged
as to
the
degree
of discomfort
they
evoked. Ten
of these
slides
had been
judged
to
evoke
"little"
or
"no"
discomfort
and the
other
10 slides
had been
found
to
evoke
"moderate"
or
"much"
discomfort. The slides
were
alternated
starting
with
a slide
which
belonged
to
the
little/no
group
and then
one belonging
to
the
moderate/much
group. This
procedure
yielded
two time
measures:
total
viewing
time
in
seconds
and
a combined
viewing
time
in
seconds
for
each
of
the
two different
sets
of slides. Upon completion
of the
slide
show each
subject
was
asked
5 factual
questions
about
the
content
of the
slides. This
yielded
a score
based
on the
number
of correct
responses
each
subject
came up with. Human Assistance
Distance
Scale
(HADS). The subjects
also
received
the
HADS which
is
a device
designed
to
elicit
how close,
in
terms
of direct
physical
contact,
individuals
said
they
would
theoretically
place
themselves
with
regard
to
people
who need
assistance. The measure
was derived
by sum-
ming
each
of the
5 responses
and then
determining
whether
a
subject
had
indicated
a preference
for
being
close
or far
away in
terms
of physical
contact. Positions
one and two
were
both
taken
to
indicate
a preference
for
being
"furthest
away."
Positions
four
and
five
were
understood
to
indicate 41
a preference
for
"nearest,"
and position
three
was understood
to be an indecisive
or neutral
response
between
the
two
clearer
response
possibilities. 41 Order
of Presentation. It
was not
known whether
giving
I
the
slide
show first
would
effect
the
response
style
on the
HADS, or giving
the
HADS would
effect
the
responses
on the
slide
show. Slide
Show and True/False
Test. To minimize
such
a consequence
the
different
tests
were
alternated
for
sub-groups
of the
subjects
which
were
matched
on the
basis
of male/female
and
open/closed. This
procedure
would
then
equalize
sequential
conditions
for
all
of the
subjects. Subject
Assessment
of Experimental
Experience. When a
subject
had
finished
all
of Part
II
of the
study
he/she
was
handed
a form
which
assessed
their
experience
as a subject
in
a psychological
experiment. This
form
was not
shown
to
the
experimenter,
but
was hand
delivered
by the
subject
to
the
Psychology
Department. The subject
was told
that
no
portion
of what
he/she
said
would
be shared
with
the
experi-
menter
and
that
all
of his/her
comments
would
be treated
con-
fidentially. ( See Appendices
K and L. ) Statistical
Treatment Slide
Show. The data
from
the
slide
show were
analyzed
using
a 2 x 2 x 2 analysis
of variance
used. The specific
model
of the
analysis
or variance
used,
was the
fixed
effects 42 model. As Edwards
(1964,
p. 301)
notes:
"When the
treatments,
or
levels
of factors,
are
not
randomly
selected,
the
analysis
of variance
model
is
referred
to
as Model
I or as a fixed
effects
model. This
is
important
because,
in
using
this
model,
you cannot
generalize
your
findings
beyond
the
levels
or combinations
of
your
particular
study."
Since
this
stud y is
primarily
concerned
with
establishing
the
theoretical
existence
of closedmindedness
as a positive
behavior,
no further
generalization
is
needed. model. As Edwards
(1964,
p. 301)
notes:
"When the
treatments,
or
levels
of factors,
are
not
randomly
selected,
the
analysis
of variance
model
is
referred
to
as Model
I or as a fixed
effects
model. This
is
important
because,
in
using
this
model,
you cannot
generalize
your
findings
beyond
the
levels
or combinations
of
your
particular
study." Since
this
stud y is
primarily
concerned
with
establishing
the
theoretical
existence
of closedmindedness
as a positive
behavior,
no further
generalization
is
needed. Therefore,
a test
for
the
homogeneity
of variance
was
run
between
the
closed
male
and
female. Samples
and a score
of 1.77 indicated
that
they
were
homogeneous
at
the
.05
level
of significance. The same test
was run
for
the
open
male
and
female
groups
and their
score
of
.98 indicated
that
they
were
homogeneous
at
the
.01
level
of
significance. Given
these
scores
it
is
reasonable
to
proceed
with
the
analysis
of
variance
because
the
assumption
of homogeneity
has
not
been
violated. HADS and True/False
Test. The data
from
these
tests
were
--
--
---
---
analyzed
using
a chi
square. This
statistic
is
used
when the
data
consist
of frequencies
in
discrete
categories
and
is
used
to
determine
whether
the
differences
between
these
groups
are
significant. Siegal
(1956,
p. 110)
points
out
that:
"When the
chi
square
test
is
used
there
is
usually
no clear 43 alternative
and thus
the
exact
power
of the
test
is
difficult
to
compute. 11 alternative
and thus
the
exact
power
of the
test
is
difficult
to
compute. 11 Setting. A windowless
room on the
main
campus
of the
University
of Rhode
Island
was used
for
Phase
II
of the
experi-
ment. *Note
Appendix
I for
Table
showing
Means
and
Standard
Deviations. Statistical
Treatment The subjects
sat
on a student
chair
which
afforded
them
the
space
to
write. The chair
faced
a blank
wall
upon
which
the
slides
were
projected. Embedded
into
the
wall
was a
photo
-se nsitive
cell
which,
though
visible,
did
not
provoke
any
comments
or questions. The only
other
furniture
in the
room was a table
upon
which
the
slide
projector
was mounted
along
with
the
timing
machinery. The experimenter
also
sat
here
. There
was a dimmer
control
on the
lights
and during
the
slide
presentation
the
darkness
level
was such
that
the
photo-sensitive
cell
was not
disturbed. Since
the
experiment
was run
during
the
day,
it
was necessary
to
use
a room which
was located
in a very
quiet
part
of the
building
so as to
cut
down on any extraneous
noise. Apparatus. A Kodak
Carousel
Auto-Focus
Number
760H
with
a remote
control
device
was used
for
the
slide
show. The slides
were
projected
on a plain
white
wall. The size
of the
projected
slide
was approximately
three
feetin
height
and
in the
lower
right
hand
corner
of the
image
was a photo-
sensitive
cell
connected
to
the
timer. The photo-sensitive
cell
was fixed
so that
at
the
onset
of a slide
(which
was
controlled
by the
subject),
a Lafeyette
Clock
Counter
was started. The subject
through
the
use
of a remote
control
switch
would
disengage
the
timer
by removing
the
slide
from
view. The experimenter
then
recorded
the
length
of time
the
slide
was viewed
to
the
neares
t
.01
second,
he then
reset
the
timer
and directed
the
subject
to
produce
the
next
slide. RESULTS Slide
Show. The slide
show was developed
to
see
if
the
closedminded
group
would,
in
fact,
behave
contrary
to
conven-
tional
notions. It
was predicted
that
the
closedminded
group
would
look
longer
at
the
slides
in
general
and
specifically
would
look
longer
at
the
high
stress
slides. It
was also
predicted
that
the
openminded
group
would
look
longer
at
the
low stress
slides
and would
have
an overall
shorter
viewing
time
for
all
of the
slides. Since
the
experimental
literature
did
not
indicate
any differences
for
open
and
closedmindedness
in
terms
of sex
identity,
no predictions
were
made along
this
parameter. Male
Female
Total
TABLE 1
Total
Viewing
Time For
Males/Females
By Seconds
Viewed*
Open
Closed
High
Stre~Low
Stress
High
Stress
Low Stress
1295.41
1338.16
2633.57
5663.81
1533.42
1496.82
3030.24
2172.14
1440.02
3612.16
7421.39
2335.88
1473.35
3809.23
*Note
Appendix
I for
Table
showing
Means
and
Standard
Deviations. *Note
Appendix
I for
Table
showing
Means
and
Standard
Deviations. 45 46 Basic
Scores. The scoring
for
the
slide
show is
always
given
in
seconds
measured
out
to
the
hundredth
of a second. (Table
1.)
--The
closed
group
viewed
all
slides
for
7421.39
seconds
as
compared
to
5663.81
seconds
for
the
open
group. --The
closed
group
viewed
the
low stress
slides
for
3809.23
seconds
as compared
to
3612.16
seconds
for
the
high
stress
slides. --The
open
group
viewed
the
low stress
sl i des
for
3030.24
seconds
whereas
they
viewed
the
high
stress
slides
for
2633,57
seconds. The basic
scores
from
the
slide
show
were
subjected
to
a 2 x 2 x 2 analysis
of variance. (Table
2.) Closed
vs. Open. When viewing
time
for
all
of the
slides
is
looked
at
as a function
of whether
the
subjects
belong
to
the
closed
group
or to
the
open
group,
a significant
differ-
ence
is
found
between
their
respective
viewing
times: Closed
vs. Open. When viewing
time
for
all
of the
slides
is
looked
at
as a function
of whether
the
subjects
belong
to
the
closed
group
or to
the
open
group,
a significant
differ-
ence
is
found
between
their
respective
viewing
times:
[F(l,159)=7.60
this
p. < .05]. When a comparison
is
made
between
their
respective
means,
it
was shown
that
the
closed
subjects
viewed
all
of the
slides
for
a significantly
longer
amount
of time
than
did
the
open
subjects. Low Stress
Slides
vs. High
Stress
Slides. RESULTS An F(l,152)=.84,
which
is
not
significant,
indicates
that
when the
two different
sets
of
slides
are
looked
at,
as an independent
factor,
they
do not
produce
any
significant
difference
~ in
the
subjects. Male
vs. Female. When viewing
time
for
all
of the
slides
is
looked
at
as a function
of whether
the
subjects
are
males
or females,
a significant
differences
is
found
between
their 47 47 respective
viewing
times:
[F(l,152)=6.22
is
p. < .05]. When a
comparison
is
made between
their
respective
means,
it
was
found
that
the
male
subjects
viewed
all
of the
slides
for
a
I
significantly
longer
amount
of time
than
did
the
female
subjects. TABLE 2
Analysis
of Variance
for
the
Slide
Show
Source
ss
d.f. MS
F
p
Open / Closed
19294.oo
1
19294.00
7.60*
< • 05
Low/ High
2122.60
1
2122.60
.84
n. s. Male / Female
15780.70
1
15780.70
6.22*
< • 05
oc X LH
262.66
1
262.66
.10
n. s. oc X MF
16100.16
1
16100.16
6.34*
< .05
LH X MF
288.91
1
288.91
.11
n. s . oc X MF X LH
106.42
1
106.42
. 64
n.s. Error
(within
treat
ments)
385802.05
152
2538.17
Total
439757.50
159
*Denotes
significance
n.s.=not
significant *Denotes
significance g
n.s.=not
significant Closed
vs. Open/Male
vs. Female. When viewing
time
is
loo ked at
in
terms
of the
possible
female
interaction
a signi-
ficant
difference
is
found
between
their
respective
viewing
times:
F(l,152)=6.34
and this
score
is
significant
at
the
.05
level
of
significance. It
has
already
been
shown
that
the
closedminded
subjects
had
a _significantly
1
1onger
viewing
time
and that
in
this
group
the
males
contributed
more
than
the
females. Given
this
finding
then
it
is
possible
to
conclude 48 that
closedmindedness
in and
of itself
is
not
significant. In this
study
being
both
male
and closedminded
is
significant. That
given
this
stimulus
situation
(slide
show),
closed
males
differentiate
themselves
significantly
from
closed
female~,
open
males
and
open
females. The other
interaction
effects,
open
vs. closed
over
high
stress
slides
vs. low stress
slides,
were
not
significant,
F(l,152)=.10. High
stress
slides
vs. low stress
slides
over
male
vs. female,
was also
not
significant,
F(l,152)=.ll. This
indicates
that
for
this
segment
of the
study
the
level
of stress
in
the
slides
did
not
contribute
to
the
different
time
score. Slide
Show Summary. The prediction
that
the
closedminded
group
would
look
longer
at
all
of the
slides
was supported. It
had
also
been
predicted
that
the
closed
group
would
look
longer
at
the
high
stress
slides
and this
they
did
not
do. The open
group
did
view
the
low stress
slides
for
a longer
amount
of time,
and this
was also
predicted. 47 The statistical
analysis
indicated
that
being
a closedminded
male
contributed
more
to
the
outcome
of the
results
than
did
any
other
possible
combination
of
factors. In
summary
then
lit
can be said
that
the
major
prediction
concerning
closedness
vs. openness
was
born
out. Human Assistance
Distance
Scale
(HADS). It
was hypo-
thesized
that
the
HADS would
give
the
subjects
a chance
to 49 indicate
how close
they
would
place
themselves
to
the
most
upsetting
aspect
of a helping
situation. It
was predicted
that
the
openminded
group
would
place
themselves
closer
to
the
more
stressful
aspects
of the
situation
and that
the
closedminded
group
would
be more moderate
in
their
behavioral
choices. This
part
of the
study
was designed
to
contrast
the
actual
behavior
on the
slide
show with
the
reported
behavior
on the
HADS. By Closedminded
and Openminded
Groups By Closedminded
and Openminded
Groups Most
Stressful
Aspect
Furthest
Middle
Nearest
Openminded
40
40
120
Closedminded
58
35
107
Openminded
males
14
17
69
Openminded
females
26
23
51
Closedminded
males
29
14
57
Cl o sed mind e d females
29
21
50 Basic
Scores. The scoring
for
the
HADS is
based
on the
number
of responses
given
by the
subjects
for
the
different
points
on the
five
scales. options
on the
scale
are
counted
together
and are
called,
"Furthest."
The middle
point
on all
of the
scales
is
called,
"Middle,"
and the
last
two points
combined
are
called,
"Nearest." 50
--The
openminded
group
indicated
that
they
would
be closest
120 vs. 107 for
the
closedminded
group. --The
openrninded
males
indicated
that
they
would
be closest
69 times
vs. 51 times
for
open
females,
57 times
for
closed
males
and
50 times
for
closed
females. (Note
Table
3.) 50 50
--The
openminded
group
indicated
that
they
would
be closest
120 vs. 107 for
the
closedminded
group. --The
openrninded
males
indicated
that
they
would
be closest
69 times
vs. 51 times
for
open
females,
57 times
for
closed
males
and
50 times
for
closed
females. (Note
Table
3.) Statistical
Treatment. The basic
scores
from
the
HADS
were
analyzed
for
significance
by means
of a chi
square. (Note
Table
4.) Statistical
Treatment. The basic
scores
from
the
HADS
were
analyzed
for
significance
by means
of a chi
square. (Note
Table
4.) As Analyzed
for
Significance
Using
the
x2** y
g
g
Total
Open vs. Total
Closed
Open Males
vs. Closed
Males
Open Females
vs. Closed
Females
Open Males
vs. Open Females
Closed
Males
vs. Closed
Females
Closed
Males
vs. Open
Open Males
vs. Closed
*Denotes
significance
n.s.=not
significant
Females
Females
x2
4.38
6.68
.27
7.20
1.86
2.68
8.42
**Note
Appendix
J for
Actual
Frequencies
d.f
2
2
2
2
2
2
2
p
n. s. <.05*
n.s. <.05*
n.s. n. s. <.05* *Denotes
significance g
n.s.=not
significant g
**Note
Appendix
J for
Actual
Frequencies Open vs. Closed. When closedness
to
the
most
upsetting
aspect
of the
situation
is
looked
at
for
all
of the
subjects,
the
open
and
closed
groups
do not
differ
significantly:
2
X
= 4.38. 51 Open Males
vs. All
Other
Groups. Open males
chose
the
more
stressful
position
over
closed
males,
~2 = 6.68 and this
difference
is
significant
at
the
.05 level. Open males
vs. open
female
resulted
in
a significant
difference
with
a
chi
square
of 7.20
and open
males
vs. clo J ed females
resulted
in
a score
of 8. 42, which
is
significant
beyond
t.he ~05 level. I
Closed
females
scored
in
a like
manner
with
both
the
open
males
and
females. HADS Summary. The prediction
that
the
open
group
would
choose
the
most
stressful
aspect
of the
situations
was not
statistically
supported. It
should
be noted
that
the
raw
s co res
do indicate
a strong
trend
in the
predicted
direction. Within
the
open
group,
the
open
males
did
behave
in
the
predicted
way. It
was the
open
females
who responded
to
the
test
situation
in a contrary
way. In summary
then
it
can
be
I
said
that
the
predictions
concerning
closeness
to
the
most
upsetting
aspects
of these
helping
situations
were
partially
born
out. TABLE 5
True/False
Test
Raw Data Total
Closed
Total
Open
Closed
Males
Open Males
Closed
Females
Open Females
TABLE 5
True/False
Test
Raw Data
Correct
Responses
139
119
72
66
67
53
Incorrect
Responses
61
81
28
34
33
47 52 True/False
Test
(TFT). It
was hypothesized
that
the
TFT
would
indicate
how well
the
subjects
attended
to
the
content
of the
slides;
since
one-half
of the
slides
were
stressful
I
it
was felt
that
if
no incentive
was given
to
prolong
view-
ing
time,
many of the
subjects
would
view
the
slides
for
the
shortest
period
of time
that
they
could. 53
TABLE 6
True/False
Test 53 As Analyzed
for
Significance
Using
the
x2** It
was also
felt
that
since
so much of the
research
which
has
utilized
the
Rokeach
Scale
has
included
learning
situations
as their
depen-
dent
variable
that
this
test
would
allow
for
a dovetailing
with
some of this
previous
research. It
was predicted
that
the
closedminded
subjects
would
achieve
a higher
number
of
correct
responses
than
the
openminded
subjects. No predic-
tions
were
made concerning
sex
differences
I
to
specific
slides. I
or response
levels '
Basic
Scores. The scoring
for
the
TFT is
based
on the
number
of correct
responses
given
by each
group. (Note
Table
5.)
The entire
closed
group
scored
139 correct
res-
ponses
as compared
to
only
119 correct
responses
for
the
open
group. Closed
males
had
72 correct
responses
as compared
to 66 for
the
open
males
and
closed
females
had 67 correct
responses
as
against
only
53 for
the
open
females. The
basic
score
for
TFT was analyzed
for
significance
by means
of a chi-square. (See
Table
6.) 53
TABLE 6
True/False
Test 2
As Analyzed
For
Significan
c e Using
the
x 2
As Analyzed
For
Significan
c e Using
the
x 2
As Analyzed
For
Significan
c e Using
the
x
Total
Closed
vs. Total
Open
Closed
Males
vs. Open Males
Clos ed Females
vs. Open Females
Open Males
vs. Open Females
Closed
Males
vs. Closed
Females
Op~n Males
vs. Closed
Females
Closed
Males
vs. Open Females
*Denotes
significance
n.s.=not
significant
d.f. 1
1
1
1
1
1
1
I
x2
4.38
. 84
4.10
3.50
. 58
.02
7.70
p
<.05*
n.s. <.05*
n.s . n.s. n.s. <.01* *Denotes
significance *Denotes
significance g
n.s.=not
significant g
n.s.=not
significant DISCUSSION Closedmindedness
vs. Openmindedness CHAPTER IV
DISCUSSION CHAPTER IV
DISCUSSION g
n.s.=not
significant Open vs. Closed. All
of the
closed
subjects
had
a signi-
fica
nt l y higher
number
of correct
responses
than
did
the
open
subjects:
Cx2 = 4.38
and
is
significant
beyond
the
.05
level.)
The difference
in
the
scores
between
closed
and
open
males
was
negligible,
(.84),
whereas
the
score
between
closed
females
and
open
females
indicated
that
the
closed
female
group
scored
significantly
more
correct
responses
(x 2 = 4.10
and
is
si gnificant
beyond
the
.05
level). Closed
males
were
most
differentiated
from
open
females
with
a chi-square
of
7.70
and this
is
significant
beyond
the
.01
level. TFT Summary. The general
prediction
that
closedminded
subjects
would
do better
on the
TFT was
supported. It
can
be said
that
the
designation
of closedmindedness,
either
for
males
or
females
(but
most
especially
for
females)
contri-
buted
to
a significantly
better
performance
on the
TFT. Bein g closed
or open
is
less
of a factor
if
you are
male; 54
and more
of a factor
if
you are
female. On this
test
open
and
closed
males
behaved
in a similar
fashion
while
open
and
closed
females
behaved
in
a dissimilar
way. 54
and more
of a factor
if
you are
female. On this
test
open
and
closed
males
behaved
in a similar
fashion
while
open
and
closed
females
behaved
in
a dissimilar
way. 54 Summary
of all
the
Findings. On the
slide
show there
was partial
support
for
the
prediction
that
the
closedminded
subjects
would
view
the
slides
for
a longer
period
of time. While
the
closed
males
did
view
them
for
a longer
period,
the
closed
females
did
not. The classification
of the
slides
was not
found
to
be a factor. On the
HADS there
was
also
partial
support
for
the
predictions;
the
open
males
placed
themselves
in
the
most
upsetting
aspect
of the
different
situations. The open
fe males
did
not. Finally,
on the
TFT,
the
closed
group
did
produce
more
correct
answers
than
did
the
open
group. Overall
the
outcome
on the
differ-
ent
aspects
of the
study
tended
to
be a function
of
sex
and
openness,
with
different
combinations
of the
two domin-
ating
the
results. Closedmindedness
vs.
Openmindedness In general
past
research
in this
area
has
noted
that
closedmindedness
is
a negative
or defensive
style
of behaving. Closedmindedness
was understood
to
be maladaptive
and a less
I
effective
way of responding
to
either
specific
situations
or
life
in
general. While
it
was shown
that
there
are
either
anecdotal
or theoretical
formulations
concerning
the
efficacy
(positiveness)
of closedmindedness,
there
is
little
or no
empirical
evidence
to
support
these
claims. In the
introduction
it
was noted
that
openness
has
come
to be a desired
behavior. That
irrespective
of the
behav-
ioral
demands
or the
called
for
real
behavioral
responses
needed
in a given
situation,
individuals
have
come to believe
that
the
correct
response
or verbal
response
will
suffice. Given
that
so much of what
passes
for
life
is
only
verbal
comment
or opinion,
without
any demand
for
a 'real'
or actual
behavior,
it
is
not
surprising
that
given
verbal
options
people
respond
in
terms
of what
they
consider
to
be the
correct
open
response. In the
abstract
there
is
no objection
to
individuals
thinking
and
speaking
of themselves
in the 55 56 most
positive
or adaptive
way. The problem
arises
when indi-
viduals
think
they
are
positive
when in
fact
they
are
behaviorally
negative
(unadaptive). Right
thinking
and the
correct
intentions
are
not
psychologically
sound
substitutes
for
the
best
possible
response
in
a given
situation. The major
thrust,
then,
of this
research
was to
establish
the
possibility
that
closedmindedness
is
not
by definition
a
negative
or maladaptive
behavioral
response
style,
and that
people
who are
classified
as
open
will
respond
verbally
in
a giving
and positive
way,
but
will
behave
in
a "closed"
or
less
effective
way when in
a stressful
situation. Slide
Show. The slide
show was developed
to
test
the
prediction
that
individuals
who score
as
closedminded
on
Rokeach's
scale
would
look
longer
at
the
stressful
slides
in
part
icular
and woulc
also
look
longer
at
all
of the
slides. It
was also
predicted
that
the
openminded
individuals
would
look
longer
at
the
less
stressful
slides
and would
also
look
at
all
the
slides
for
a shorter
period
of time. The predic-
tion
that
the
closedminded
group
would
look
longer
at
all
slides
was supported,
but
they
did
not
look
longer
at
the
high
stress
slides. Closedmindedness
vs.
Openmindedness Males
viewed
all
of the
slides
for
a
longer
period
of time
than
females
and
closed
males
in parti-
cular
viewed
the
slides
much longer
than
any
other
group. Both
the
open
males
and
females
viewed
the
low stress
slides
for
a longer
period
of time
than
the
closed
males
or females. 57 The literature
suggests
that
closedminded
persons
are
sup posed
to
try
to
avoid
stressful
situations. There
is
also
evidence
that
they
avoid
or reject
the
content
of situations. Yet
in this
study
they
viewed
the
slides
for
a longer
period
of time. Based
on this
result
we can then
say,
that
visual
stressf
u l s t imuli
do not
necessarily
produce
a defensive
withdrawal
on the
part
of closedminded
subjects. A possible
ex p lanation
of their
behavior
could
hypothesize
that
this
gr oup of c l o sed minded
subjects
wanted
to
do better
on the
subsequent
True/False
test. But this
explanation
is
in direct
emp irical
contradiction
of the
closed/open
research,
which
empha t ically
states
that
closed
individuals
are
more
concerned
(mot iva te d) with
protecting
themselves
against
anxiet
y-
pr oducing
stimuli
than
in
doing
well. It
is
possible
that,
other
things
being
equal,
closed
individuals
are
more willin
g
to
learn
or stay
with
a situation
longer
under
conditions
where
th e stress
is
high,
too
high
for
openminded
individuals. These
findings
present
another
dilemma
that
is
not
in f requentl
y found
in
experiments
where
stress
is
the
uncondi-
ti oned
stimulus. Since
the
closed
males
viewed
the
low stress
slides
f or a longer
period
of time
than
the
high
stress
slides,
it
is
possible
to
say
that
the
slides
ma) have
been
too
stress-
ful
and that
they
actually
suppressed
differences
between
the
groups. On the
other
hand
it
is
possible
to
say
that
for
the
closed
males
the
tolerance
for
stress
carried
over
into
their
viewing
time
on the
low stress
slides. Given
this
view
we can
s p e cula t e that
the
slide
show became
undifferentiated
and that 58 the
separation
into
high
and
low stress
slides
is
meaningless
in
that
all
of the
slides
were
equally
stressful. In further-
ance
of this
argument
is
the
fact
that
all
of the
subjects
were
viewing
these
slides
with
the
knowledge
that
they
would
be tested
on what
they
saw. Closedmindedness
vs.
Openmindedness There
is
also
the
added
stress
of just
being
in
an experimental
situation,
so that
there
are
several
potential
sources
of stress
in the
situation. True/False
Test. The True/False
Test
was provided
as a
way to
induce
the
maximum viewing
time
for
the
slide
show. It
also
becomes
an independent
measure
of how well
the
differ-
ent
groups
attended
to
and
learned
the
content
of the
slides. It
was pred icted
that
the
cl os edminded
group
would
score
more
correct
responses
on this
test
than
the
openminded
group. The general
prediction
that
closedmindedness
would
positively
influence
the
number
of
correct
responses
given
was born
out . This
prediction
stands
in
the
face
of the
empirical
notion
that
openmindedness
is
a general
attribute
which
is
demonstrable
in
learning
situations. The added
factor
of
stress
directs
us to
the
conclusion
that
possibly
closedmindedness
must
be understood
as an interaction
between
that
classification
and
the
qualities
of the
stimulus
situation. Female
vs. Male . The females
did
better
than
the
males
on the
True/False
test. There
is
no ready
answer
or explana-
tion
for
their
superior
performance. Closed
males
viewed 59
the
slides
for
a longer
period
of time
but
the
closed
females
scored
more
correct
responses. It
may be that
closed
males
as part
of their
self-definition
have
to
stay
with
(i.e.,
loo k at)
stressful
situations
longer
than
others
as a proof
of
something. Their
added
time
did
increase
their
knowledge
of the
slides. 59 59
the
slides
for
a longer
period
of time
but
the
closed
females
scored
more
correct
responses. It
may be that
closed
males
as part
of their
self-definition
have
to
stay
with
(i.e.,
loo k at)
stressful
situations
longer
than
others
as a proof
of
something. Their
added
time
did
increase
their
knowledge
of the
slides. Human Assistance
Distance
Scale. In the
main
phase
of the
study
it
was predicted
that
the
openminded
subjects
would
place
themselves
closer
to
the
more
upsetting
aspects
of the
five
(5) situations
than
the
closedminded
subjects. This
prediction
was based
on the
assumption
that
openmindedness
is
in
some ways
a "state
of mind"
rather
than
a faithful
rendering
of what
their
actual
behavior
would
be. Given
a
situation
that
elicits
thoughts
rather
than
behavior
it
should
produce
"correct"
though
t ful
responses,
i.e.,
more
helpful
res po nses. Closedmindedness
vs.
Openmindedness The statements
that
individuals
make or the
thoughts
that
they
have,
carry
for
them
little
or no cons-
equence
other
than
what
they
or others
will
think
of them. This
aspect
of existence
stands
in
greatest
opposition
to
"real"
behaviors. It
is
in
this
grey
area
between
the
private
thoughts
of individuals
and their
verbal
representations
and
how they
will
actually
behave
in
a real
situation
that
we
find
the
greatest
disparities. It
was predicted
in
this
study
that
the
consistencies
that
individuals
strive
for
will
be found
between
their
responses
on Rokeach's
scale
and the
HADS (and
the
inconsistencies
will
be found
on the
slide
show and
the
True/False
Test). Since
the
subjects
were 60
differentiated
on a scale
(Rokeach)
which
can be said
to
be
asking
them
to
rate
themselves
as how open
they
are
to
other
individuals,
it
was predicted
that,
since
this
is
a verbal
response
rather
than
a "real"
test
of how they
would
behav _e,
their
responses
should
remain
consistent
with
their
classifi-
cation
on the
Rokeach
scale. 60 differentiated
on a scale
(Rokeach)
which
can be said
to
be
asking
them
to
rate
themselves
as how open
they
are
to
other
individuals,
it
was predicted
that,
since
this
is
a verbal
response
rather
than
a "real"
test
of how they
would
behav _e,
their
responses
should
remain
consistent
with
their
classifi-
cation
on the
Rokeach
scale. The open
males
projected
themselves
as being
closest
to
the
most
upsetting
aspect
of the
helping
situation. The
I
open
females
did
not;
so that
the
prediction
was only
partially
sustained. The responses
of the
closed
group
seem to
indicate
a conservatism
or more
realistic
assessment
of their
abilities
or their
inclination
to
help. In an interesting
way,
these
responses
tend
to
conform
to
the
political
metaphors
that
people
use
to
identify
themselves. The open
or more
"liberal"
subjects
perceive
helping
as a necessity
for
themselves
and
therefore
project
themselves
as helping
as much as they
can. The closed
or more
conservative
group
sees
helping
as some-
thing
one
does
for
oneself
so they
are
more
parsimonious
with
their
projections
in terms
of their
own giving. I am
not
trying
to make a case
for
political
prediction
based
on
closed/open,
but
rather
to
emphasize
the
notion
of verbal
responses
as metaphors
about
life
which
are
not
identical
with
"real"
actions. Male
vs. Female. Closedmindedness
vs.
Openmindedness The females
scored
almost
identically
on the
HADS, regardless
of whether
they
were
open
or closed. The situations
were
initially
rated
for
distance,
but
were 61 not
rated
in
terms
of
sex
stereoty~ic
behavior. It
is
possible
that
in
the
scenes
depicted,
females
perceived
themselves
performing
more
distan
t tasks
independent
of how
upsetting
the
different
tasks
were
set
up to
be. Therefore,
any notion
of helpfulness
would
be secondary
to
sex-appropria
t e
behavior. But
it
is
this
ver y same notion
of sex
stereotypic
response
that
may shape
the
open
males
in
their
choice
of the
most
upsetting
point
of helping. The findings
suggest
that
if
this
kind
of instrument
is
to be effective,
sex/role
expectations
should
be built
in as behavior
options. Limitations
of
the
Methodology Complexit
y as a Dual
Phenomenon. A methodological
weak-
ness
within
the
slide
show was that
individual
slides
in
both
the
low stress
group
and
in the
high
stress
group
were
not
matched
for
visual
complexity. This
kind
of
complexity
is
understood
to be a function
of the
number
of
visual
cues
that
subjects
would
have
to
attend
to
before
they
would
feel
comfortable
in
the
knowledge
that
they
could
adequately
answer
factual
questions
concerning
the
slide. Therefore,
independent
of the
stress
level
of the
slide,
different
visual
presentations
demand
different
amounts
of viewing
time. Therefore,
in
the
pilot
study,
the
slides
should
have
been
matched
for
viewing
time,
and the
slides
selected
should
have
had
equal
viewing
times
inde pendent
of their
rated
level
of
stress. 62 In the
actual
testing
situation
it
was noted
that
several
of the
slides
which
were
in
fact
visually
simple,
seemed
to
evoke
longer
viewing
times. It
almost
ap ~ eared
as if
their
very
simplicity
evoked
more
"curiosity."
In a sense
they
were
so plain
as to
have
no focus. So that
given
the
instruc-
tions
which
stated
that
questions
would
be asked,
it
appears
that
it
became
difficult
for
the
subjects
to
quickly
ascertain
what
was
"meant"
by the
slide. In a sense
then
complexity
presents
itself
as a paradoxical
problem
in that
there
can be
too
many cues
or too
few cues. Given
that
length
of viewing
time
is
a crucial
measure,
it
then
becomes
imperative
that
complexity
not
be left
to
chance
and that
there
must
be some
control
for
its
effects
in
future
work. Summary
of Findings In general
the
Closed/Open
groups
behaved
in
the
predicted
manner. On the
slide
show the
closed
males
viewed
the
slides
for
a longer
period
of time. On the
RADS the
open
males
saw
themselves
as being
helpful
in
the
more
upsetting
aspects
of
the
situations. The closed
group
gave
more
correct
responses
on the
True/False
test
than
did
the
open
group. While
these
findings
did
not
sustain
the
predictions
fully,
they
did
give
credence
to
the
idea
that
closedmindedness
as empirically
understood
has
been
misrepresented
as an overly
negative
behavior. The mixed
findings
also
point
up the
importance
of male/
female
differences. By now there
is
little
argument
with
the 63 idea
that
males
and
females
are
culturally
shaped
and that
how they
will
respond
in
given
situations,
and what
they
expect
of themselves
in
given
situations
has
a lot
to
do
with
culturally
induced
sets. The literature
indicates
a
history
of research
wherein
no one tried
to
find
closedminded-
ness
to
be a positive
response
style
so that
it
is
not
surprising
that
they
did
not
try
to
find
sexual
differences
either. Maccoby
and Jacklin
(1973,
p. 176) tested
the
notion
that
under
stress
girls
tended
to
freeze
(were
unable
to
respond
at
all)
more
than
boys. Their
results
concluded:
"a finding
directly
contrary
to
the
hypothesis
that
girls
are
more
likely
to
become
immobile
under
stress."
They
go
on to
note
(p. 189) in
a review
of the
literature
concerning
sex
differences
vis-a-vis
stress
and
anxiety
situation,
that: "Since
boys
are
less
willing
to
admit
fears
or
anxious
feelings
(have
higher
scores
on Lie
and
Defensiveness
Scales),
the
sex
differences
on
anxiety
scales
may be due to
this
factor."
The implication
from
both
the
Maccoby
and
Jacklin
study
and
review
and
from
this
study,
is
that,
actual
experimention
in
"real"
situations
tends
to
produce
contrary
findings
with
regard
to
paper
and pencil
tests. That
the
verbal
responses
of
individuals
may be more
reflective
of social
stereotypes
than
their
actual
behavior. 64 Future
Research This
research
leaves
many questions
unanswered. A more
detailed
understanding
of the
interaction
between
response
st y le
and
situation
has
to be developed. The stigma
of
closedmindedness
has
to be overcome
so that
individuals
who possess
this
style
will
not
respond
to
questionnaires
in
an open,
and
for
them
misleading,
way. There
is
also
a
need
to
study
individuals
in real
life
situations
where
people
perform
upsetting
tasks
to
find
out
what
allows
them
to
function
in
these
situations. The research
should
really
go backwards
in that
we should
first
find
the
individuals
who
are
effective
in
certain
situations
and then
we should
see
if
they
are
closed
or open. In the
helping
professions
we should
study
those
indi-
viduals
who can
benefit
from
a closed
style
and those
who
can
not. Researchers
have
tended
to
over-generalize
their
findings,
so that
a negative
attribute
in
an experimental
situation
becomes
a predictive
cliche
vis-a-vis
that
attribute
and real
life
situations. BIBLIOGRAPHY ARGYRIS, C. Dangers
in
applying
results
from
experimental
social
psychology. American
Psychol0gist,
1974, ~,
464-485. BARBER B. Resistance
by scientists
to
scientific
discovery. Science,
1961, 134, 596-602. BECKER, E. The Denial
of Death. New York:
The Free
Press,
1973, BERNARD, VIOLA W., OTTENBERG, P. and REDL, F. Dehumanization. In Sanford,
N.,
and Comstock,
C. (ed.),
Sanctions
For
Evil. Boston:
Beacon
Press,
1971. BOWERS, K. S. Situationism
in psychology. Psychological
Review,
1973, ~,
307-336. CHRISTENSEN, C. M. A note
on "Dogmatism
and Learning."
Journal
of Abnormal
and Social
Psychology,
1963, 66,
75-76. COSTIN, F. Dogmatism
and learning. Journal
of Educational
Research,
1965, 2...2.., 186-188. EDWARDS, A. L. Experimental
Design
In Psychological
Research. New York:
Holt,
Rinehart
and Winston,
1964. EHRLICH, H. J. Dogmatism
and intellectual
change. Unpublished
Master's
Thesis,
Ohio
State
University,
1955, EHRLICH, H.J. Dogmatism
and learning. Journal
of Abnormal
and Social
Psychology,
1961, g,
148-149
(a). EHRLICH, H. J. Dogmatism
and learning. A five
year
follow-up. Psychological
Reports,
1961, 2, 283-286
(b). EHRLICH, H. J. and BAUER, M. L. The correlates
of dogmatism
and
flexibility
in psychiatric
hospitalization. Journal
of Consulting
Psychology,
1966, !, 283-292. FRUMKIN, R. M. Dogmat~sm,
social
class,
values
and academic
Achievement
in
sociology. Journal
of Educational
Sociology,
1961, ~,
398-403. 65 66 HALLENBECK, P. N. and LUNDSTEDT, S. Some relations
between
dogmatism,
denial,
and depression. Journal
of Social
Psychology,
1966, 70, 53-58. KAPLAN, M. F. and SINGER, E. Dogmatism
and sen s ory
alien-
ation:
An empirical
investigation. Journal
of Consulting
Psychology,
1963, ll,
486- 491. LAZARUS, R. S. Psychological
Stress
and the
Coping
Process. New York:
McGraw-Hill
Book Company,
1966. MACC0BY, E. E. and JACKLIN,
C. N. The Psychology
of Sex
Differences. Stanford:
Stanford
University
Press,
1974. MARCUSE, H. Eros
and Civilization. New York:
Vintage
Books,
1955. RANK, 0. Beyond
Psychology. New York:
Dover
Publications,
Inc.,
1941. R0KEACH, M. The Open And Closed
Mind. New York:
Basic
Book,
Inc.,
1960. SANFORD, N. and COMSTOCK, C. Sanctions
For
Evil. In Sanford
N.,
and Comstock,
C. (ed.),
Sanctions
For
Evil. Boston:
Beacon
Press,
1971. 1 SIEGEL,
S. Nonparametric
Statistics. New York:
McGraw-Hill
Book Company,
1956. WACHTEL, P. L. Cognitive
style
and style
of adaptation. Perceptual
and Motor
Skills,
1972, 12_, 779-785. ZAG0NA, S. U. and ZURCHER, L.A. The relationship
of verbal
ability
and other
cognitive
variables
to
the
open-closed
cognitive
dimension. Journal
of Psychology,
1965, 60,
213-219. BIBLIOGRAPHY Percent
who viewed
these
slides
with
No
or
Little
Discomfort
(1)
99.4%
( 2 )
98.8 %
( 3 )
98.8 %
( 4)
96.6%
( 5 )
95.8%
( 6)
95.7%
( 7)
95.6%
( 8)
93.8%
( 9)
91. 3%
(10)
91.0%
APPENDIX A
SLIDE SHOW PERCENTS
Description
of Slides
Man and
a woman
Hippie
marriage
Abstract
painting
by Leger
Man walking
Newborn
with
two nurses
West
Point
Cadets
Student
studying
Head of
a bird
Young man staring
Women on knees
banging
ash
cans APPENDIX A
SLIDE SHOW PERCENTS Little
Discomfort
(1)
99.4%
( 2 )
98.8 %
( 3 )
98.8 %
( 4)
96.6%
( 5 )
95.8%
( 6)
95.7%
( 7)
95.6%
( 8)
93.8%
( 9)
91. 3%
(10)
91.0%
Description
of Slides
Man and
a woman
Hippie
marriage
Abstract
painting
by Leger
Man walking
Newborn
with
two nurses
West
Point
Cadets
Student
studying
Head of
a bird
Young man staring
Women on knees
banging
ash
cans 67 68 Description
of Slides Description
of Slides Person
Burning
Burned
children
running
down a
road
in Vietnam
Hand with
index
finger
missing
Deformed
legs
Woman having
a baby
Infected
backside
Gnarled
hands
Dead man lying
in
snow
Back
view
of diseased
body
Attempted
asaassiriatrion
of
Governor
Wallace Person
Burning
Burned
children
running
down a
road
in Vietnam
Hand with
index
finger
missing
Deformed
legs
Woman having
a baby
Infected
backside
Gnarled
hands
Dead man lying
in
snow
Back
view
of diseased
body
Attempted
asaassiriatrion
of
Governor
Wallace SLIDE SHOW REFERENCES ( 1)
Man and a woman. Horizon,
1972,
14, 1#4,
p. 49. ( 2 )
Hippie
marriage. Horizon,
1968,
10,
#2,
p. 8 . ( 3 )
Abstract
painting
by Leger. Horizon,
1972,
p. 14. ~,
#4 , (4)
Man walking. Horizon,
1972,
~,
#4,
p. 4. (5)
Newborn
with
two nurses. Life
Magazine,
1971,
71,
#6 , p. 22. (6)
West Point
Cadets. Life
Magazine,
1972,
TI, #15,
p. 37. (7)
Student
studying. Horizon,
1967,
1, #1, p. 59. (8 )
Head of a bird. Life
Magazine,
1971,
71,
#8,
p. 28. (9)
Of unknown
or igin. (10)
Of unknown
origin. (11)
Person
burning. Life
Magazine,
1955,
.12_, #23,
p. 66. (12)
Burned
children
running
down a road
in Vietnam. Life
Magazine
, 1972,
TI, #25,
p. 54. (13)
Hand with
index
finger
missing. Gibson,
H. L. Clinical
Photography:
A Kodak Data
Book. New York:
Kodak
Medical
Publication,
1970,
p. 57. (14)
Deformed
legs. Gibson,
H. L. Clinical
Photography:
A Kodak Data
Book. New York :
Kodak Medical
Publication,
1970,
p. 65. (15)
Woman having
a baby. Life
Magazine,
1971,
71,
#21,
p. 50 (16)
Infected
backside. Gibson,
H. L. Clinical
Photography:
A Kodak Data
Book. New York:
Kodak Medical
Publi-
cation,
1970,
p. 16. (17)
Gnarled
hands. Gibson,
H. L. Clinical
Photography:
A Kodak Data
Book. New York:
Kodak Medical
Publi-
cation,
1970,
p. 98. 69 70 (18)
Dead .man lying
in
snow. Life
Magazine,
1972,
72,
#6,
p. 8. view
of diseased
body. Gibson,
H. L. Clinical
Photography:
A Kodak Data
Book. New York:
Kodak
Medical
Publication,
1970,
p. 81. (19)
Back view
of diseased
body. Gibson,
H. L. Clinical
Photography:
A Kodak Data
Book. New York:
Kodak
Medical
Publication,
1970,
p. 81. (19)
Back view
of diseased
body. Gibson,
H. L. Clinical
Photography:
A Kodak Data
Book. New York:
Kodak
Medical
Publication,
1970,
p. 81. (20)
Of unknown
origin. (20)
Of unknown
origin. (20)
Of unknown
origin. APPENDIX C Development
of the
Slide
Show You are
going
to
see
a number
of
slides,
each
slide
will
be
seen
for
several
seconds. I want
you to
note
the
degree
of
discomfort
you
feel
upon
viewing
each
slide. 1. 2. 3. 4. 5-
6. 7 . 8. 9 . 10. 11. 12. 13. 14. 15. 16. No
Discomfort
Very
Little
Discomfort
Moderate
Discomfo
,rt
I
I
I
I
I
I
I
Much
Discomfort 71 72 Slide
Number
17. 18 . 19. 20. 21. 22. 23. 24. 25. 26 . 27. 28 . 29. 30 . 31. 32. 33. 34. 35. 36. 37. 38. 39,
40. No
Discomfort
Very
Little
Discomfort
Moderate
Discomfort
I
I
I
I
I
I
Much
Discomfort Slide
Number
No
Discomfort
41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. 52. 53,
54. 55. 56. 57,
58. 59,
60. 61. 62. 73
Very
Little
Discomfort
Moderate
Discomfort
I
I
I
I
Much
Discomfort 73 Development
of the
RADS A. If
you were
a witness
to
an automobile
accident
which
of the
following
do you think
you would
be able
to
do,
irrespective
of whether
y ou were
uncomfortable
or not? 1. Go and
call
for
help
2. Direct
oncoming
traffic
3. Comfort
those
who hadn't
been
hurt
4. Assist
someone
to
aid
the
hurt
victims
5. Directly
give
aid
to
the
hurt
victims
B. If
there
was a strike
at
your
local
hospital
and you
volunteered
to
help,
which
of the
following
do you
think
you would
be able
to
do,
irrespective
of whether
you were
comfortable
or not? 1. Answer
the
information
phone
2. Assist
with
meals
and
other
such
chores
3. Deal
with
family
contacts
through
the
social
work
office
4. Assist
either
a doctor
or a nurse
in
direct
service
5. Directly
give
assistance
to
patients
either
in
the
emergency
room or throughout
the
hospital
C. If
you lived
in
a town
which
was being
devastated
by a
storm
which
of the
following
would
you be able
to
do,
irres
p ective
of whether
you were
uncomfortable
or not? 1. Man the
telephone
system
I
2. Assist
with
meals
and
other
such
chores
3. Deal
with
families
and any
special
needs
they
might
have
4. Assist
those
who bring
in
new arrivals
who may have
been
hurt
by the
storm
5. Directly
go to
the
assistance
of those
who have
been
injured
by the
storm
D. If
you lived
in a town
in which
there
wasn't
any money
for
public
service
jobs
and
each
individual
had
to
per-
form
one such
task--which
of the
following
would
you be
able
to
do,
irrespective
of whether
you were
uncomfort-
able
or not? 1. Man the
telephone
system
2. Be a school
crossing
guard
3,
Deal
with
individuals
who have
inquiries
or
com-
plaints
about
town
services
4. Belong
to
the
volunteer
Fire
or Police
service
5. To drive
the
emergency
ambulance
and to
administer
direct
first
aid A. If
you were
a witness
to
an automobile
accident
which
of the
following
do you think
you would
be able
to
do,
irrespective
of whether
y ou were
uncomfortable
or not? p
y
1. Go and
call
for
help p
2. Direct
oncoming
traffic g
3. Comfort
those
who hadn't
been
hurt
4 4. Assist
someone
to
aid
the
hurt
victims
5 5. Development
of the
RADS Directly
give
aid
to
the
hurt
victims B. If
there
was a strike
at
your
local
hospital
and you
volunteered
to
help,
which
of the
following
do you
think
you would
be able
to
do,
irrespective
of whether
you were
comfortable
or not? y
1. Answer
the
information
phone p
2. Assist
with
meals
and
other
such
chores 3. Deal
with
family
contacts
through
the
social
work
office 4. Assist
either
a doctor
or a nurse
in
direct
service
5. Directly
give
assistance
to
patients
either
in
the
emergency
room or throughout
the
hospital C. If
you lived
in
a town
which
was being
devastated
by a
storm
which
of the
following
would
you be able
to
do,
irres
p ective
of whether
you were
uncomfortable
or not? 1
M
h
l
h
I 1. Man the
telephone
system p
y
2. Assist
with
meals
and
other
such
chores
3 D. If
you lived
in a town
in which
there
wasn't
any money
for
public
service
jobs
and
each
individual
had
to
per-
form
one such
task--which
of the
following
would
you be
able
to
do,
irrespective
of whether
you were
uncomfort-
able
or not? 1. Man the
telephone
system 2. Be a school
crossing
guard
3
l
i h
i di id
l
h
h 3,
Deal
with
individuals
who have
inquiries
or
com-
plaints
about
town
services
4 5. To drive
the
emergency
ambulance
and to
administer
direct
first
aid 74 E. If
you were
with
a group
of
individuals
who were
stranded
in
a remote
area
and
each
of you would
have
to
perform
a task
that
was new for
you--which
of the
following
would
you be able
to
do irrespective
of
whether
you were
comfortable
or not? E. If
you were
with
a group
of
individuals
who were
stranded
in
a remote
area
and
each
of you would
have
to
perform
a task
that
was new for
you--which
of the
following
would
you be able
to
do irrespective
of
whether
you were
comfortable
or not? 1. Man the
emergency
transmitter
2. Do general
chores
such
as prepare
meals,
gather
firewood,
etc. 3. Comfort
those
who were
upset
4. Assist
whoever
was attending
to
those
who were
injured
5. Directly
help
those
who were
injured y
1. Man the
emergency
transmitter g
y
2. Do general
chores
such
as prepare
meals,
gather
firewood,
etc. g
y
2. Development
of the
RADS Do general
chores
such
as prepare
meals,
gather
firewood,
etc. ,
3. Comfort
those
who were
upset
4 3. Comfort
those
who were
upset
4. Assist
whoever
was attending
to
those
who were
injured
5 p
4. Assist
whoever
was attending
to
those
who were
injured j
5. Directly
help
those
who were
injured APPENDIX E
Correlation
Matrix
Correlation
A
Var. 1
Var. 2
Var. 3
Var. 4
Var. 1
Var. 2
.0637
Var. 3
.0034(-)
.0920
Var. 4
.2828(-)
.5085(-)
.1606(-)
Var. 5
.3814(-)
,5708(-)
.2196(-)
,3365
Correlation
B
Var. 7
Var. 8
Var. 9
Var. 10
Var. 11
Var. 7
Var. 8
.1047
Var. 9
.0067(-)
.0709(-)
Var. 10
.5263(-)
,3341(-)
.0335(-)
Var. 11
.5426(-)
,3236(-)
.0869(-)
.4407
Var. 12
.0143(-)
.0016(-)
.0649(-)
.0174
.0209
Correlation
C
Var. 13
Var. 14
Var. 15
Var. 16
Var. 17
Var. 13
Var. 14
.2181
Var. 15
.0144(-)
.0442(-)
Var. 16
.4976(-)
,3288(-)
.0573(-)
Var. 17
.6962(-)
.4876(-)
.0140(-)
,3912
Var. 18
.0662(-)
.0054(-)
.0574(-)
.0299
.0478
Correlation
D
Var. 19
Var. 20
Var. 21
Var. 22
Var. 23
Var. 19
Var. 20
.0615
Var. 21
.0872(-)
.0508(-)
Var. 22
.3162(-)
,3027(-)
.0221(-)
Var. 23
.3186(-)
.2221(-)
.0448(-)
.1239
Var. 24
.0995(-)
.0927(-)
.0157(-)
.0886
.0360
76 Correlation
Matrix Var. 1
Var. 2
Var. 3
Var. 4
Var. 1
Var. 2
.0637
Var. 3
.0034(-)
.0920
Var. 4
.2828(-)
.5085(-)
.1606(-)
Var. 5
.3814(-)
,5708(-)
.2196(-)
,3365 Correlation
B
Var. 7
Var. 8
Var. 9
Var. 7
Var. 8
.1047
Var. 9
.0067(-)
.0709(-)
Var. 10
.5263(-)
,3341(-)
.0335(-)
Var. 11
.5426(-)
,3236(-)
.0869(-)
Var. 12
.0143(-)
.0016(-)
.0649(-) Correlation
C
Var. 13
Var. 14
Var. 15
Var. 13
Var. 14
.2181
Var. 15
.0144(-)
.0442(-)
Var. 16
.4976(-)
,3288(-)
.0573(-)
Var. 17
.6962(-)
.4876(-)
.0140(-)
Var. 18
.0662(-)
.0054(-)
.0574(-) Correlation
D
Var. 19
Var. 20
Var. 21
Var. 19
Var. 20
.0615
Var. 21
.0872(-)
.0508(-)
Var. 22
.3162(-)
,3027(-)
.0221(-)
Var. 23
.3186(-)
.2221(-)
.0448(-)
Var. 24
.0995(-)
.0927(-)
.0157(-)
76 76 77
Correlation
E
Var. 25
Var. 26
Var. 27
Var. 28
Var. 29
Var . 25
Var. 26
.0484
Var. 27
.0873(-)
.0041(-)
Var. 28
.2827(-)
.2300(-)
.0473(-)
Var. 29
.3600(-)
.4327(-)
.0473(-)
.1833
Var. 30
.0186(-)
.0079
.0727 (-)
.0172(-
)
.032 6 77 APPENDIX F HADS Questionnaire HADS Questionnaire It
is
necessary
that
you answer
each
of the
following:
choose
only
one answer
and place
an X on the
line
next
to
your
choice. A. If
you were
a witness
to
an automobile
accident
which
of the
following
do you think
you would
be most
likely
to
do,
irrespective
of whether
you were
uncomfortable
or not? g
Comfort
those
who hadn't
been
hurt Assist
someone
to
aid
the
hurt
victims B. If
there
was a strike
at
your
local
hospital
and you
volunteered
to
help,
which
of the
following
do you
think
you would
be most
likely
to
do,
irrespective
of whether
you were
comfortable
or not? Answer
the
information
phone
Assist
with
meals
and other
such
chores
Deal
with
family
contacts
through
the
social
work
office
Assist
either
a doctor
or a nurse
in
direct
service
Directly
give
assistance
tn
patients
either
in
the
emergency
room or throughout
the
hospital Assist
those
who bring
in
new arrivals
who may have
been
hurt
by the
storm y
Directly
go to
the
assistance
of those
who have
been
injured
by the
storm 78 79 D. E. If
you
lived
in
a town
in which
there
wasn't
any money
for
public
service
jobs
and
each
individual
had
to
per-
form
one
such
task--which
of the
following
would
you
be most
likely
to
do,
irrespective
of whether
you were
uncomfortable
or not? Man the
telephone
system
Be a school
crossing'guard
Deal
with
individuals
who have
inquiries
or
complaints
about
town
services
Belong
to
the
volunteer
Fire
or Police
service
To drive
the
emergency
ambulance
and
to
administer
direct
first
aid
If
you were
with
a group
of individuals
who were
stranded
in
a remote
area
and each
of you would
have
to
perform
a task
that
was new for
you--which
of the
following
would
you be most
likely
to
do,
irrespective
of whether
you
were
comfortable
or not? Man the
emergency
transmitter
Do general
chores
such
as prepare
meals,
gather
firewood,
etc. Comfort
those
who were
upset
Assist
whoever
was attending
to
those
who were
injured
Directly
help
those
who were
injured p
Assist
whoever
was attending
to
those
who were
injured
i
l
h l
h
h
i j
d Directly
help
those
who were
injured Rokeach's
Dogmatism
Scale
Scale
E Rokeach's
Dogmatism
Scale
Scale
E Rokeach's
Dogmatism
Scale In a heated
discussion
I generally
become
so absorbed
in what
I am going
to
say
that
I forget
to
listen
to
what
the
others
are
saying. _ 14. It
is
better
to
be a dead
hero
than
to
be a live
coward. 14. It
is
better
to
be a dead
hero
than
to
be a live
coward. 15. While
I don't
like
to
admit
this
even
to
myself,
my
secret
ambition
is
to
become
a great
man,
like
Einstein,
or Beethoven,
or
Shakespeare. 15. While
I don't
like
to
admit
this
even
to
myself,
my
secret
ambition
is
to
become
a great
man,
like
Einstein,
or Beethoven,
or
Shakespeare. 16. The main
thing
in
life
is
for
a person
to
want
to
do
something
important. 16. The main
thing
in
life
is
for
a person
to
want
to
do
something
important. 16. The main
thing
in
life
is
for
a person
to
want
to
do
something
important. 17. If
given
the
chance
I would
do something
of great
benefit
to
the
world. 17. If
given
the
chance
I would
do something
of great
benefit
to
the
world. 18. In the
history
of mankind
there
have
probably
been
just
a handful
of really
great
thinkers. 18. In the
history
of mankind
there
have
probably
been
just
a handful
of really
great
thinkers. 19. There
are
a number
of people
I have
come to
hate
because
of the
things
they
stand
for. 19. There
are
a number
of people
I have
come to
hate
because
of the
things
they
stand
for. 20. A man who does
not
believe
in
some great
cause
has
not
really
lived. 20. A man who does
not
believe
in
some great
cause
has
not
really
lived. 21. It
is
only
when a person
devotes
himself
to
an ideal
or
cause
that
life
becomes
meaningful. 21. It
is
only
when a person
devotes
himself
to
an ideal
or
cause
that
life
becomes
meaningful. 21. It
is
only
when a person
devotes
himself
to
an ideal
or
cause
that
life
becomes
meaningful. 22. Of all
the
different
philosophies
which
exist
in
this
world
there
is
probably
only
one which
is
correct. 22. Of all
the
different
philosophies
which
exist
in
this
world
there
is
probably
only
one which
is
correct. 23. Rokeach's
Dogmatism
Scale Instructions: Mark each
statement
in
the
left
margin
according
to
how much
you agree
or disagree
with
it. Please
mark
every
one. Write
+l,
+2,
+3,
or -1,
-2,
-3,
depending
on how you
feel
in
ea ch case. +l:
I agree
a little. -1:
I disagree
a little. +2:
I agree
on the
whole. -2:
I disagree
on the
whole. +3:
I agree
very
much. -3:
I disagree
very
much. 1. The
United
States
and Russia
have
just
about
nothing
in
common. 2. The highest
form
of government
is
a democracy
and the
highest
form
of democracy
is
a government
run
by those
who are
most
intelligent. 2. The highest
form
of government
is
a democracy
and the
highest
form
of democracy
is
a government
run
by those
who are
most
intelligent. 3. Even
though
freedom
of speech
for
all
groups
is
a
worthwhile
goal,
it
is
unfortunately
necessary
to
restrict
the
freedom
of certain
political
groups. 4. It
is
only
natural
that
a person
would
have
a much
better
acquaintance
with
ideas
he believes
in
than
with
ideas
he opposes. 5. Man on his
own is
a helpless
and miserable
creature. 6. Fundamentally,
the
world
we live
in
is
a pretty
lone-
s ome place. 7. Most
people
just
don't
give
a "damn"
for
others. 8. I'd
Like
it
if
I could
find
someone
who would
tell
me how to
solve
my personal
problems. 9. It
is
only
natural
for
a person
to
be rather
fearful
of the
future. 80 81 10. There
is
so much to be done
and
so little
time
to
do
it
in. 10. There
is
so much to be done
and
so little
time
to
do
it
in. 11. Once I get
wound
up in
a heated
discussion
I just
can't
stop. 12. In a discussion
I often
find
it
necessary
to
repeat
myself
several
times
to
make sure
I am being
under~
stood. 12. In a discussion
I often
find
it
necessary
to
repeat
myself
several
times
to
make sure
I am being
under~
stood. 12. In a discussion
I often
find
it
necessary
to
repeat
myself
several
times
to
make sure
I am being
under~
stood. 13. In a heated
discussion
I generally
become
so absorbed
in what
I am going
to
say
that
I forget
to
listen
to
what
the
others
are
saying. _ 13. 82 26. In times
like
these,
a perso
n must
be pretty
selfish
if
he considers
primarily
his
own happiness. 26. In times
like
these,
a perso
n must
be pretty
selfish
if
he considers
primarily
his
own happiness. 27. The worst
crime
a person
could
commit
is
to
attack
publicly
the
people
who believe
in
the
same
thing
he
does. 28. In times
like
these
it
is
often
necessary
to
be more
on guard
against
ideas
put
out
by people
or groups
·
in
one's
own camp than
by those
in
the
opposing
camp. 29. A
group
which
tolerates
too
much differences
of
opinion
among
its
own members
cannot
exist
for
long. 30. There
are
two kinds
of people
in
this
world:
those
who are
for
the
truth
and
those
who are
against
the
truth. 31. My blood
boils
whenever
a person
stubbornly
refuses
to
admit
he's
wrong. 31. My blood
boils
whenever
a person
stubbornly
refuses
to
admit
he's
wrong. 31. My blood
boils
whenever
a person
stubbornly
refuses
to
admit
he's
wrong. 32. A person
who thinks
primarily
of his
own happiness
is
beneath
contempt. 32. A person
who thinks
primarily
of his
own happiness
is
beneath
contempt. 33, Mos t of the
ideas
which
get
printed
nowadays
aren't
worth
the
paper
they
are
printed
on. 33, Mos t of the
ideas
which
get
printed
nowadays
aren't
worth
the
paper
they
are
printed
on. 34. In this
complicated
world
of ours
the
only
way we
can
know what's
going
on is
to
rely
on leaders
or
experts
who can
be trusted. 34. In this
complicated
world
of ours
the
only
way we
can
know what's
going
on is
to
rely
on leaders
or
experts
who can
be trusted. 35,
It
is
often
desirable
to
reserve
judgment
about
what's
going
on until
one has
had . a chance
to
hear
the
opin-
ions
of those
one
respects. 35,
It
is
often
desirable
to
reserve
judgment
about
what's
going
on until
one has
had . a chance
to
hear
the
opin-
ions
of those
one
respects. 36. In the
long
run
the
best
way to
live
is
to
pick
friends
and
associates
whose
tastes
and beliefs
are
the
same as
one's
own. 37,
The present
is
all
too
often
full
of
unhappiness. It
is
only
the
future
that
counts. 37,
The present
is
all
too
often
full
of
unhappiness. Rokeach's
Dogmatism
Scale A person
who gets
enthusiastic
about
too
many causes
is
likely
to
be a pretty
"wishy-washy"
sort
of person. 23. A person
who gets
enthusiastic
about
too
many causes
is
likely
to
be a pretty
"wishy-washy"
sort
of person. 24. To compromise
with
our
political
opponents
is
danger-
ous
because
it
usually
leads
to
the
betrayal
of our
own side. 25. When it
comes
to
differences
of
opinion
in
religion
we must
be careful
not
to
compromise
with
those
who
believe
differently
from
the
way we do. 25. When it
comes
to
differences
of
opinion
in
religion
we must
be careful
not
to
compromise
with
those
who
believe
differently
from
the
way we do. 82 40.
Most
people
just
don't
know what's
good
for
them. 82 It
is
only
the
future
that
counts 37,
The present
is
all
too
often
full
of
unhappiness. It
is
only
the
future
that
counts. 37,
The present
is
all
too
often
full
of
It
is
only
the
future
that
counts. 38. If
a man is
to
accomplish
his
mission
in
life,it
is
sometimes
necessary
to
gamble
"all
or nothing
at
all." 38. If
a man is
to
accomplish
his
mission
in
life,it
is
sometimes
necessary
to
gamble
"all
or nothing
at
all." 39. Unfortunately,
a good
many people
with
whom I have
discussed
important
social
and moral
problems
don't
really
understand
what's
going
on. 39. Unfortunately,
a good
many people
with
whom I have
discussed
important
social
and moral
problems
don't
really
understand
what's
going
on. 39. Unfortunately,
a good
many people
with
whom I have
discussed
important
social
and moral
problems
don't
really
understand
what's
going
on. APPENDIX H APPENDIX H Reliabilities,
Means,
and Standard
Deviations
of Successive
Forms of the
Dogmatism
Scale*
Number
No. of
Relia-
Standard
Form
of Items
Group
Cases
bility
Mean
Deviation
A
57
Mich. 'State U. I
202
.70
182.5
26.2
B
43
New York colleges
207
.75
141.4
27.2
C
36
Mich. State U. II
153
,73
126.9
20.1
Mich. State U. III
186
.71
128.3
19.2
Purdue U. 171
.76
D
66
English colleges
I
137
,91
219.1
28.3
E
40
English colleges
II
80
.81
152.8
26.2
English workers
60
.78
175.8
26.0
Ohio State U. I
22
.85
142.6
27.6
Ohio State U. II
28
,74
143.8
22.1
Ohio State U. III
21
.74
142.6
23.3
Ohio State U. DI
29
.68
141.5
27.8
Ohio State U. va
58
.71
141.3
28.2
143.2
27.9
Mich. State U. DI
89
.78
VA domiciliary
80
183.2
26.6
24
,93
17
.84
a'I't1e Ohio State U. V reliability
was obtained by a test-retest,
with five
to six months between tests. 'I't1e reliability
of .84 for the VA group wa
obtained in the same way with at least
a month between tests. Reliabilities,
Means,
and Standard
Deviations
of Successive
Forms of the
Dogmatism
Scale* 83 APPENDIX I
Means and Sta ndard Deviations
For the Viewing
Time s
B;y Males/Females
High Stress
Low Stress
Total
Mean
SD
Tota l
Mean
SD
Female Closed
(20) 1440.02
72.00 45.12 1473.35
73.67 47.80
Female Open
(20) 1338.16
66.91 44.00 1496.82
74.84 43.82
Mal e Closed
(20) 2172.14
108.61 65.03 2335.88
116.79 78.15
Mal e Open
(20) 1295.41
64.77 29.93 1533.42
76.67 30.03 APPENDIX I
Means and Sta ndard Deviations
For the Viewing
Time s
B;y Males/Females APPENDIX I Means and Sta ndard Deviations
For the Viewing
Time s
B;y Males/Females 84 APPENDIX J Human Assistance
Distance
Scale
Frequencies
For
All
of the
Groups
Furthest
Middle
Nearest
Total
Open
40
40
120
Total
Closed
58
35
107
Open Males
14
17
69
Closed
Males
29
14
57
Open Females
26
23
51
Closed
Females
29
21
50
Open Males
14
17
69
Open Females
26
23
57
Closed
Males
29
14
57
Closed
Females
29
21
50
Closed
Males
29
14
57
Open Females
26
23
57
Open Males
14
17
69
Closed
Females
29
21
50 85 APPENDIX K Printed
Name of S: -----------
Psychology
Course: -----------
Section:
------
VOLUNTARY CONSENT FORM
Name of Experimenter
--------------------
Faculty
Sponsor
(for
students)
-----------------------
Title
of Study ------------------------
Participation
time
Credits
earned
----------
-----
I freely
consent
to
participate
in
the
study
indicated
above. I am at
least
eighteen
(18)
years
of age. To the
best
of my knowledge
I have
rio physical
or mental
difficul-
ties
which
would
affect
my participation
in
this
study. Printed
Name of S: --
Psychology
Course: --
Section:
-- Section:
- Name of Experimenter
--------------------
Faculty
Sponsor
(for
students)
-----------------------
Title
of Study ------------------------
Participation
time
Credits
earned
----------
----- Name of Experimenter
- Faculty
Sponsor
(for
students)
- Title
of Study - Participation
time - I freely
consent
to
participate
in
the
study
indicated
above. I am at
least
eighteen
(18)
years
of age. To the
best
of my knowledge
I have
rio physical
or mental
difficul-
ties
which
would
affect
my participation
in
this
study. 86 Feedback
Form These
headings
should
be completed
by the
experimenter
before
this
form
is
given
to
the
subject. Name of Experimenter
- Name of Experimenter
-----------------------
Faculty
Sponsor
(for
students)
--------------------------
Title
of Study Faculty
Sponsor
(for
students)
- Title
of Study - This
questionnaire
is
to
be completed
by the
subject
anony-
mousl y after
leaving
the
experiment,
and
is
to
be returned
by the
subject
directly
to
the
Psychology
Department
Office. 1. When I consented
to
participate
in
th is
study
I was told
enough
about
the
nature
of the
study
to
make an informed
choice. 1. When I consented
to
participate
in
th is
study
I was told
enough
about
the
nature
of the
study
to
make an informed
choice. Circle
one:
Agree
Uncertain
Disagree Circle
one:
Agree
Uncertain
Disagree 2. If
I was deceived
about
the
nature
of this
study
prior
to
participation
in
it,
I have
now been
fully
satisfied
by the
experimenter's
explanation
of the
need
for
this
deception. (Check
here
if
not
deceived
) . Circle
one:
Agree
Uncertain
Disagree Circle
one:
Agree
Uncertain
Disagree 3. Participation
in
this
study,
including
the
debriefing
afterwards,
was a valuable
educational
experience. Circle
one:
Agree
Uncertain
Disagree Circle
one:
Agree
Uncertain
Disagree 4. Participation
in
this
study
placed
me,
personally,
under
a great
deal
of stress
and
discomfort. Circle
one:
Agree
Uncertain
Disagree 4. Participation
in
this
study
placed
me,
personally,
under
a great
deal
of stress
and
discomfort. Circle
one:
Agree
Uncertain
Disagree 5. The debriefing
following
the
study
was effective
at
dealing
with
any concerns
the
study
raised
for
me. (Check
here
if
the
study
raised
no concerns
for
you __ ). Circle
one:
Agree
Uncertain
Disagree 5. The debriefing
following
the
study
was effective
at
dealing
with
any concerns
the
study
raised
for
me. (Check
here
if
the
study
raised
no concerns
for
you __ ). Circle
one:
Agree
Uncertain
Disagree 87 88 6. I feel
I was coerced
into
participation
in
this
experi-
ment
by my instructor,
who did
not
allow
me any
other
reasonable
options. 6. I feel
I was coerced
into
participation
in
this
experi-
ment
by my instructor,
who did
not
allow
me any
other
reasonable
options. 6. I feel
I was coerced
into
participation
in
this
experi-
ment
by my instructor,
who did
not
allow
me any
other
reasonable
options. Feedback
Form Circle
one:
Agree
Uncertain
Disagree Circle
one:
Agree
Uncertain
Disagree Thank
you
for
your
help
in
assuring
the
safety
and
value
of
research
participation
for
future
subjects.
|
https://openalex.org/W4304193666
|
https://respiratory-research.biomedcentral.com/counter/pdf/10.1186/s12931-022-02213-4
|
English
| null |
The FoxP1 gene regulates lung function, production of matrix metalloproteinases and inflammatory mediators, and viability of lung epithelia
|
Respiratory research
| 2,022
|
cc-by
| 7,262
|
© The Author(s) 2022. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which
permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the
original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or
other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line
to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this
licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Abstract Background: Genes involved in lung development may become dysregulated in adult life and contribute to the
pathogenesis of lung diseases. Multiple genes regulate lung development, including Forkhead box protein P1-4
(FoxP1-4). Methods: We examined the association between variants in the FoxP1-4 genes and lung function using data from a
GWAS that included close to 400,000 individuals and 20 million SNPs. Results: More than 100 variants in the FoxP1 gene, but none in the FoxP2-4 genes, are associated with lung function. The sentinel variant in the FoxP1 gene associated with FEV1 was rs1499894 (C > T), while the sentinel variant in the
FoxP1 gene associated with FVC was rs35480566 (A > G). Those with the T allele instead of the C allele for rs1499894,
or the G allele instead of the A allele for rs35480566 had increased FoxP1 mRNA levels in transcriptomic data, higher
FEV1 and FVC, and reduced odds of being diagnosed with idiopathic pulmonary fibrosis. Further, knockdown of
FoxP1 in lung epithelial cells by RNA interference led to increased mRNA levels for matrix metalloproteinases 1, 2,
3 and pro-inflammatory cytokines IL-6 & IL-8, as well as reduced cell viability after exposure to cigarette smoke—all
processes implicated in the pathogenesis of COPD and IPF. Conclusions: Our results suggest that the protein encoded by the FoxP1 gene may protect against the development
of COPD and IPF. A causal role for FoxP1 in the pathogenesis of COPD and IPF may warrant further investigation, and
FoxP1 may be a novel therapeutic target for these lung disorders. Keywords: COPD, Lung development, FoxP1, IPF, GWAS proper lung development, including the 4 members of
the P sub-family of Forkhead box transcription factors
(FoxP1-4) [3, 4]. However, the relationship between
variants in the FoxP genes and lung function in adults has
not been fully examined. Andreas et al. Respiratory Research (2022) 23:281
https://doi.org/10.1186/s12931-022-02213-4 Andreas et al. Respiratory Research (2022) 23:281
https://doi.org/10.1186/s12931-022-02213-4 The FoxP1 gene regulates lung function,
production of matrix metalloproteinases
and inflammatory mediators, and viability
of lung epithelia Alexis Andreas1, Abby Maloy1, Toru Nyunoya1,2, Yingze Zhang1 and Divay Chandra1,3* Alexis Andreas1, Abby Maloy1, Toru Nyunoya1,2, Yingze Zhang1 and Divay Chandra1,3* Introduction Poorly developed lungs are an accepted risk factor
for COPD. However, it is not as well appreciated that
developmental genes can become dysfunctional in
adult life, and contribute to COPD as well as other lung
diseases such as IPF [1, 2]. Several genes are critical for Variants associated with poor lung function are also
associated with the development of COPD and IPF. For example, variants in the FAM13A locus have been
associated with both impaired spirometry and COPD [5]. Similarly, there is shared genetic susceptibility between *Correspondence: DIC15@pitt.edu 1 Department of Medicine, University of Pittsburgh, Pittsburgh, USA
Full list of author information is available at the end of the article 1 Department of Medicine, University of Pittsburgh, Pittsburgh, USA
Full list of author information is available at the end of the article GWAS for lung function Data from GWAS performed using combined data
from the UK biobank and SpiroMeta Consortium was
analyzed. Details of this GWAS have been described
previously by others [8]. In brief, individuals were
included in the analysis from the UK Biobank cohort
if they (1) had complete data for age, sex, height, and
smoking status; (2) had spirometry meeting quality
control requirements; (3) had genome-wide imputed data
and (4) were of European ancestry. European ancestry
was determined based on K means clustering using the
first 2 of the 10 principal components provided in the
UK Biobank genetics data. 6 clusters were identified
including one of European ancestry. Genotyping was
undertaken using the Affymetrix Axiom UK BiLEVE
and UK Biobank arrays. In total, 321,047 individuals
were included from the UK BioBank. Residuals from
linear regression of each trait (FEV1, FVC, and FEV1/
FVC) against age, age2, sex, height, smoking status
(ever or never), and genotyping array were ranked and
inverse-normal transformed, giving normally distributed
Z-scores. These Z-scores were used for GWAS via an
additive genetic model using BOLT-LMM v2.3.h Andreas et al. Respiratory Research (2022) 23:281 Page 2 of 11 impaired lung function and IPF [6]. Specifically, variants
at the DSP locus have been associated not only with
reduced FVC and increased FEV1/FVC but also with a
diagnosis of IPF [7]. using
inverse-variance-weighted
fixed-effect
meta-
analysis as described previously [8]. The sentinel variant
was defined as the variant in an association signal
(p < 5 × 10−9) where no other variants within 1 Mb
showed a stronger association. For conditional analysis,
SNPs ± 1 Mb from the sentinel variants were extracted
and used for stepwise conditional analysis to select
independently associated SNPs within each 2-Mb region,
using GCTA. Results were summarized as Manhattan
plots and regional association plots. We examined the association between variants in
FoxP1-4 genes and lung function using data from the
genome-wide association study performed in the UK
BioBank and SpiroMeta cohorts. Further, we investigated
if the sentinel variants in these genes were associated
with a diagnosis of pulmonary fibrosis, or with changes
in gene expression using transcriptomic datasets. Finally,
we utilized lung epithelial cells to study the impact
of knockdown of the gene on the secretion of matrix
metalloproteinases and inflammatory cytokines, as well
as cell viability. Linkage disequilibrium was assessed using LDlink and
is reported as the r2 [9]. eQTL analysis
l Most single nucleotide polymorphisms (SNPs) are in
non-coding/intronic regions and therefore do not alter
the sequence of encoded proteins. Even though these
SNPs are in intronic regions they may exert biologically
significant effects by regulating the expression of nearby
genes. Such SNPs are called eQTLs or expression
quantitative trait loci. We determined if sentinel SNPs in the FoxP genes
were eQTLs using the GTex and QTLbase datasets [10]. Results are summarized as violin plots. Cell culture and RNA interference BEAS-2B cells were obtained from ATCC (Manassas, VA)
and cultured in Hite’s Medium (DMEM F12 with 10%
fetal bovine serum, 2 mM L-glutamine, 1 × non-essential
amino acids, 10 mM HEPES, 1 mM sodium pyruvate, and
1 × Penicillin/Streptomycin) in 10 cm dishes. Cells were
transfected with 50 nM dicer substrate small interfering
RNA (dsi RNA, Integrated DNA Technologies, Coralville,
Iowa) using GenMute transfection reagent (Signagen,
Frederick, MD) once 60–70% confluent. The
SpiroMeta
consortium
comprised
79,055
individuals from 22 studies [8]. In each study, linear
regression models were fitted for each trait (FEV1, FEV1/
FVC, and FVC), with adjustment for age, age2, sex, and
height. GWAS for IPF Genetic signals for impaired lung function often
overlap with those for fibrotic lung disorders, the most
common of which is idiopathic pulmonary fibrosis (IPF). Therefore, after identifying sentinel SNPs associated
with lung function, we determined if these variants were
also associated with a diagnosis of IPF. We did this using
previously published GWAS data that combined data
from 3 studies (n = 2668 cases and 8591 controls with
10,790,934 well-imputed variants) [7]. We hypothesized that multiple variants in the FoxP
genes would be associated with altered lung function,
gene expression, and that knockdown would impact
the production of matrix metalloproteinases and
inflammatory cytokines, as well as the viability of lung
epithelia. RT‑PCR RNA was isolated from cells using RNeasy Mini Kits
(Qiagen) per the manufacturer’s instructions. Isolated
RNA were immediately converted to cDNA using High
Capacity RNA-to-cDNA Kits (Life Technologies, Grand
Island, NY) after their concentrations were measured. A total of 19,819,130 variants (imputed or genotyped)
in both UK Biobank and SpiroMeta were meta-analyzed, Page 3 of 11 Andreas et al. Respiratory Research (2022) 23:281 Andreas et al. Respiratory Research (2022) 23:281 Real-time PCR assays were performed using SYBR®
Select Master Mix for CFX (2X) (Life Technologies,
Grand Island, NY) with the C1000 Thermal Cycler
(BioRad, Hercules, CA) per manufacturer instructions. Primer sequences are listed in supplementary materials. Immunoblotting Supernatants were discarded and the cells were washed
twice with ice-cold PBS. Lysis buffer was added (0.5%
Triton in PBS with 1 × Halt protease inhibitor cock-
tail) and the lysate was mechanically scraped off the
bottom of each well. Lysates were sonicated for 15 s
on ice, protein concentration measured (DC protein
assay, Bio-Rad), and 20 μg/lane of lysate loaded onto a
10% stain-free SDS-PAGE gel (Bio-Rad). After electro-
phoresis, the gel was photographed under UV light to
image the protein in the gel according to manufacturer
instructions. After transfer to a low fluorescence PVDF
membrane using a Trans-Blot Turbo (Bio-Rad, Hercu-
les, CA) the membrane was re-imaged under UV light
to confirm complete and even transfer of the protein
from the gel. The membrane was then blocked with 3%
(w/v) BSA in TBST (25 mM Tris–HCl, pH 7.4, 137 mM
NaCl, and 0.1% Tween 20) for 1 h, and incubated with
primary antibody in 3% (w/v) BSA in TBST at 4° C over-
night or 1–2 h at RT. The membrane was then washed
3 times with TBST at 5-min intervals followed by a 1 h
incubation with horseradish peroxidase-conjugated sec-
ondary antibody (1:2000). The membrane was developed
with an enhanced chemiluminescence detection system
according to the manufacturer’s instructions. Densitom-
etry was performed and adjusted to total protein per
lane using automated measurement and rolling disk nor-
malization using Image Lab v5.2.1 according to manu-
facturer instruction (Bio-Rad). Preparation of cigarette smoke extract (CSE) Research cigarettes (1R6F) were purchased from the
University of Kentucky (Lexington, Kentucky, USA). CSE was prepared using the method of Blue and Janoff
[15]. Through one opening of a stopcock, 10 ml of
sterile DMEM was drawn into a 50-ml plastic syringe. Subsequently, 40 ml of cigarette smoke was drawn into
the syringe and mixed with the medium by vigorous
shaking. One cigarette was used for every 10 ml of
medium. The generated CSE solution was filtered
(0.22 μm). The resulting solution was designated a 100%
CSE solution. The CSE solution was used within 10 min. Measurement of matrix metalloproteinases
and pro‑inflammatory cytokines Measurement of matrix metalloproteinases
and pro‑inflammatory cytokines Matrix metalloproteinase (MMP) 1, 2, 3 along with IL-6
and IL-8 levels were assessed in the supernatant using
ELISA per manufacturer instructions (Ray Biotech,
Peachtree Corners, GA). These analytes were chosen
given their established role in matrix turnover and
inflammation in chronic lung diseases such as COPD
[11–14]. We did not assess levels for other MMP such
as MMP 7, 9, and 12 because they are not expressed by
BEAS-2B cells per our prior RNA sequencing results. Statistical analysis Descriptive statistics were reported as median, IQR. Non-parametric methods were used unless stated
otherwise. Analyses were performed using STATA v17
(StataCorp, College Station, TX), R v4.1.1, and GraphPad
Prism v7.0 (GraphPad Software, La Jolla, CA). A two-
tailed p < 0.05 was considered statistically significant. Cell viability
ll Loci crossing the red line were statistically significant at the
genome-wide level The two sentinel variants (rs1499894 and rs35480566)
were in high linkage disequilibrium with each other hf
Conditional analysis did not reveal the pr
more than one association signal at the FoxP1
FEV1
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
0 8 16 24 32 40
Chromosome
-log10(p-value)
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
0 8 16 24 32 40
Chromosome
-log10(p-value)
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
Chromosome
0 8 16 24 32 40
-log10(p-value)
FVC
FEV1/FVC
Variants in/near
the FoxP1 gene
Variants in/near
the FoxP1 gene
Variants in/near
the FoxP1 gene
Fig. 1 Variants in/near the FoxP1 gene are associated with lung function in combined data from the UK Biobank and SpiroMeta cohorts. plots summarizing the association between variants in the genome and lung function. Loci crossing the red line were statistically signific
genome-wide level FEV1
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
0 8 16 24 32 40
Chromosome
-log10(p-value)
FVC
Variants in/near
the FoxP1 gene 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
0 8 16 24 32 40
Chromosome
-log10(p-value)
C
Variants in/near
the FoxP1 gene Chromosome FEV1/FVC 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
Chromosome
0 8 16 24 32 40
-log10(p-value)
FEV1/FVC
Variants in/near
the FoxP1 gene
Fig. 1 Variants in/near the FoxP1 gene are associated with lung function in combined data from the UK Biobank and SpiroMeta cohorts. Manhattan 6 7 8 9
Chromosome Fig. 1 Variants in/near the FoxP1 gene are associated with lung function in combined data from the UK Biobank and SpiroMeta cohorts. Manhattan
plots summarizing the association between variants in the genome and lung function. Loci crossing the red line were statistically significant at the
genome-wide level The two sentinel variants (rs1499894 and rs35480566)
were in high linkage disequilibrium with each other
(r2 = 0.935). Cell viability
ll In the combined UK Biobank and SpiroMeta data, mul-
tiple variants in the FoxP1 gene were genome-wide sig-
nificant for FEV1 and FVC, but none were significant for
FEV1/FVC (Fig. 1). Regional association plots demon-
strated that 135 FoxP1 SNPs were genome-wide signifi-
cant for FEV1 while 121 were genome-wide significant
with FVC (Fig. 2). 119 of these SNPs were significant for
both FEV1 and FVC, while 2 were statistically signifi-
cant for FVC only, and 16 were statistically significant for
FEV1 only. The sentinel SNP for FEV1 was rs1499894 and
for FVC was rs35480566. Further adjustment for BMI
had no impact. Specifically, we found no statistically sig-
nificant association between the FoxP1 SNPs that were
genome-wide significant for FEV1 or FVC with BMI, and
further adjustment for BMI had no impact on the asso-
ciation of these variants with lung function. Cells were detached using 0.25% Trypsin–EDTA and
washed three times with PBS. They were then stained
with a vital dye per manufacturer instructions (LIVE/
DEAD™ Fixable Aqua Dead Cell Stain Kit, Thermo
Fisher). Cells were then fixed and subject to flow using
a BD LSR Fortessa flow cytometer (San Jose, CA) to
capture > 10,000 events/sample. Results were analyzed
using FlowJo (Ashland, OR). Cells were identified by
plotting forward scatter area against side scatter area
(FSC-A/SSC-A gate), and doublets were excluded by
plotting forward scatter area against forward scatter
height (FSC-A/FSC-H gate). The threshold for classifying
cells as live or dead was a signal intensity > 103 at 405 nm
wavelength. Andreas et al. Respiratory Research (2022) 23:281 Page 4 of 11 FEV1
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
0 8 16 24 32 40
Chromosome
-log10(p-value)
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
0 8 16 24 32 40
Chromosome
-log10(p-value)
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 18 20 22
Chromosome
0 8 16 24 32 40
-log10(p-value)
FVC
FEV1/FVC
Variants in/near
the FoxP1 gene
Variants in/near
the FoxP1 gene
Variants in/near
the FoxP1 gene
Fig. 1 Variants in/near the FoxP1 gene are associated with lung function in combined data from the UK Biobank and SpiroMeta cohorts. Manhattan
plots summarizing the association between variants in the genome and lung function. Sentinel SNPs in the FoxP1 gene were eQTLs for FoxP1
in peripheral blood and EIF4E3 in prostate tissue 3 The sentinel SNPs in the FoxP1 gene were also eQTLs, i.e., individuals who carry these variants have higher levels of FoxP1 mRNA in
peripheral blood (A, B) Table 1 The association of the sentinel variants in the FoxP1 gene with FEV1 and FVC
*The β represents the change in the Z-score for the spirometry variable
†The direction of the association in the two cohorts (UK BioBank/SpiroMeta) separately
SNP
Meta-analysis (FVC)
Meta-analysis (FEV1)
Major allele
Minor allele
β*
p
Direction†
β*
p
Direction†
rs35480566
C
T
0.022
1.25E−20
+ / +
0.019
1.79e−16
+ / +
rs1499894
A
G
0.022
1.82E−20
+ / +
0.019
1.02e−16
+ / +
Table 2 Sentinel SNPs in the FoxP1 gene that were associated with better lung function in the UK BioBank were also associated with
odds of being diagnosed of IPF in an independent GWAS study
SNP
Chromosome
Position
Major allele
Minor allele
OR
p
rs1499894
3
71571696
C
T
0.93 (0.87–0.99)
0.03
rs35480566
3
71583177
A
G
0.92 (0.86–0.98)
0.02
CC
(286)
CT
(266)
TT
(118)
3.4
3.2
3.1
3.0
2.9
rs1499894, p=0.04
A. AA
(285)
AG
(271)
GG
(114)
3.4
3.2
3.1
3.0
2.9
rs35480566, p=0.02
B. Normalized expression of FoxP1
Normalized expression of FoxP1
Fig. 3 The sentinel SNPs in the FoxP1 gene were also eQTLs, i.e., individuals who carry these variants have higher levels of FoxP1 mRNA in
peripheral blood (A, B) Table 1 The association of the sentinel variants in the FoxP1 gene with FEV1 and FVC
*The β represents the change in the Z-score for the spirometry variable
†The direction of the association in the two cohorts (UK BioBank/SpiroMeta) separately
SNP
Meta-analysis (FVC)
Meta-analysis (FEV1)
Major allele
Minor allele
β*
p
Direction†
β*
p
Direction†
rs35480566
C
T
0.022
1.25E−20
+ / +
0.019
1.79e−16
+ / +
rs1499894
A
G
0.022
1.82E−20
+ / +
0.019
1.02e−16
+ / + Table 1 The association of the sentinel variants in the FoxP1 gene with FEV1 and FVC Table 2 Sentinel SNPs in the FoxP1 gene that were associated with better lung function in the UK BioBank w
odds of being diagnosed of IPF in an independent GWAS study CC
(286)
CT
(266)
TT
(118)
3.4
3.2
3.1
3.0
2.9
rs1499894, p=0.04
A. AA
(285)
AG
(271)
GG
(114)
3.4
3.2
3.1
3.0
2.9
rs35480566, p=0.02
B. Sentinel SNPs in the FoxP1 gene were eQTLs for FoxP1
in peripheral blood and EIF4E3 in prostate tissue Sentinel SNPs in the FoxP1 gene were eQTLs for FoxP1
in peripheral blood and EIF4E3 in prostate tissue Carriers of either rs1499894 or rs35480566 had higher
FoxP1 mRNA levels in peripheral blood (Fig. 3, panel
A and B). Also, carriers of rs1499894 had altered levels
of the mRNA expressed by a gene in the vicinity of the
FoxP1 gene on chromosome 3 i.e., EIF4E3 in prostate tis-
sue (Additional file 1: Fig. S1, panel A). Sentinel SNPs in the FoxP1 gene are associated
with the odds of being diagnosed with IPF
Analysis of an unrelated GWAS study on IPF suggested
that rs1499894 and rs35480566 were associated with the
odds of being diagnosed with IPF (Table 2). i
Because rs1499894 was associated with altered mRNA
levels for FoxP1 and EIF4E3 we hypothesize that FoxP1
and EIF4E3 are biologically inter-related [16]. To test this
hypothesis, we depleted FoxP1 mRNA in lung epithelial Table 1 The association of the sentinel variants in the FoxP1 gene with FEV1 and FVC
*The β represents the change in the Z-score for the spirometry variable
†The direction of the association in the two cohorts (UK BioBank/SpiroMeta) separately
SNP
Meta-analysis (FVC)
Meta-analysis (FEV1)
Major allele
Minor allele
β*
p
Direction†
β*
p
Direction†
rs35480566
C
T
0.022
1.25E−20
+ / +
0.019
1.79e−16
+ / +
rs1499894
A
G
0.022
1.82E−20
+ / +
0.019
1.02e−16
+ / +
Table 2 Sentinel SNPs in the FoxP1 gene that were associated with better lung function in the UK BioBank were also associated with
odds of being diagnosed of IPF in an independent GWAS study
SNP
Chromosome
Position
Major allele
Minor allele
OR
p
rs1499894
3
71571696
C
T
0.93 (0.87–0.99)
0.03
rs35480566
3
71583177
A
G
0.92 (0.86–0.98)
0.02
CC
(286)
CT
(266)
TT
(118)
3.4
3.2
3.1
3.0
2.9
rs1499894, p=0.04
A. AA
(285)
AG
(271)
GG
(114)
3.4
3.2
3.1
3.0
2.9
rs35480566, p=0.02
B. Normalized expression of FoxP1
Normalized expression of FoxP1
Fig. Cell viability
ll Therefore, the effect estimates for the
two variants were almost identical as these variants
represent essentially the same information (Table 1). Conditional analysis did not reveal the presence of
more than one association signal at the FoxP1 locus. g
In contrast, no variant in the FoxP2, FoxP3, or FoxP4
gene had a statistically significant association with
FEV1, FVC, or FEV1/FVC. Therefore, we focused our Andreas et al. Respiratory Research (2022) 23:281 Page 5 of 11 Fig. 2 Multiple SNPs in the FoxP1 gene are associated with lung function in the combined data from the UK Biobank and SpiroMeta cohorts. Regional association plots summarizing the association between variants in the region of chromosome 3 where the FoxP1 gene is located and
measures of lung function. Variants located above the redline were statistically significant at the genome-wide level. 135 SNPs in the FoxP1 gene
had a statistically significant association with FEV1 while 121 had a statistically significant association with FVC Fig. 2 Multiple SNPs in the FoxP1 gene are associated with lung function in the combined data from the UK Biobank and SpiroMeta cohorts. Regional association plots summarizing the association between variants in the region of chromosome 3 where the FoxP1 gene is located and
measures of lung function. Variants located above the redline were statistically significant at the genome-wide level. 135 SNPs in the FoxP1 gene
had a statistically significant association with FEV1 while 121 had a statistically significant association with FVC Fig. 2 Multiple SNPs in the FoxP1 gene are associated with lung function in the combined data from the UK Biobank and SpiroMeta cohorts. Regional association plots summarizing the association between variants in the region of chromosome 3 where the FoxP1 gene is located and
measures of lung function. Variants located above the redline were statistically significant at the genome-wide level. 135 SNPs in the FoxP1 gene
had a statistically significant association with FEV1 while 121 had a statistically significant association with FVC Page 6 of 11 Andreas et al. Respiratory Research (2022) 23:281 Andreas et al. Respiratory Research (2022) 23:281 attention on the sentinel variants in the FoxP1 gene for
further investigation. Sentinel SNPs in the FoxP1 gene were eQTLs for FoxP1
in peripheral blood and EIF4E3 in prostate tissue Sentinel SNPs in the FoxP1 gene were eQTLs for FoxP1
in peripheral blood and EIF4E3 in prostate tissue Normalized expression of FoxP1
Normalized expression of FoxP1 ntinel SNPs in the FoxP1 gene were also eQTLs, i.e., individuals who carry these variants have higher levels of FoxP1 mRNA in
ood (A, B) Andreas et al. Respiratory Research (2022) 23:281 Page 7 of 11 Fig. 4 Depletion of FoxP1 by RNA interference increased intracellular mRNA levels and protein levels in the supernatant of inflammatory
mediators and matrix metalloproteinases in lung epithelial cells exposed to cigarette smoke extract. Lung epithelial cells were transfected with dsi
RNA targeting FoxP1 (dsi FoxP1) or non-sense RNA (dsi Scramble). Cells were then exposed to 5% cigarette smoke extract overnight. Lysate was
processed for RT-PCR and supernatant was collected for ELISA. Result are from 3–-6 samples from independent experiments. Non-parametric tests
were used (Mann–Whitney U). *p<0.05, **p<0.01, ***p<0.001 Fig. 4 Depletion of FoxP1 by RNA interference increased intracellular mRNA levels and protein levels in the supernatant of inflammatory
mediators and matrix metalloproteinases in lung epithelial cells exposed to cigarette smoke extract. Lung epithelial cells were transfected with dsi
RNA targeting FoxP1 (dsi FoxP1) or non-sense RNA (dsi Scramble). Cells were then exposed to 5% cigarette smoke extract overnight. Lysate was
processed for RT-PCR and supernatant was collected for ELISA. Result are from 3–-6 samples from independent experiments. Non-parametric tests
were used (Mann–Whitney U). *p<0.05, **p<0.01, ***p<0.001 Andreas et al. Respiratory Research (2022) 23:281 Page 8 of 11 was identified in cells that had not been exposed to ciga-
rette smoke extract (Additional file 1: Fig S3). cells (BEAS-2B) by RNAi. We chose lung epithelial cells
because others have demonstrated by immunohisto-
chemical staining that FoxP1 protein is primarily present
in the epithelial compartment of adult lungs [3]. We con-
firmed ~ 75% knockdown of both FoxP1 mRNA and pro-
tein levels (Additional file 1: Fig. S1, panel B–D). Loss of
FoxP1 altered EIF4E3 mRNA levels assessed by RT-PCR
(Additional file 1: Fig. S1, panel E). EIF4E3 belongs to the
EIF4E family of translation initiation factors that inter-
act with the 5-prime cap of mRNA and recruit mRNA
to the ribosome [17]. Members of this family of genes
have been implicated in cell proliferation, organ devel-
opment, regulation of protein synthesis, and carcinogen-
esis [18–20]. (See figure on next page.)
Fig. 5 Depleting FoxP1 by RNA interference reduced the viability of lung epithelial cells exposed to cigarette smoke extract. Lung epithelial cells
were transfected with dsi RNA targeting FoxP1 mRNA (dsi FoxP1) or non-sense mRNA (dsi Scramble). 24h later cells were exposed to 5% cigarette
smoke extract overnight and then stained with Zombie Aqua blue (stains non-viable cells). Flow cytometry was performed (gating strategy per A)
on 3 biological replicates to record 10,000 events per sample. Cells transfected with dsi FoxP1 showed lower viability than cells transfected with dsi
Scramble (B). The differences in % of dead cells were statistically significant (C). Non-parametric tests were used (Mann–Whitney U). *p<0.05 Discussion Genes involved in lung development may play a critical
role in the pathogenesis of lung disease in adult life. Lung
development is regulated by a number of genes, including
Forkhead box protein P1-4 (FoxP1-4) [3, 21]. Therefore,
we examined the association between variants in the
FoxP genes and lung function. Results suggest that more
than 100 variants in the FoxP1 gene are associated with
changes in lung function, while no variants in FoxP2-4
were statistically significant. The sentinel variants in the
FoxP1 gene are associated with increased FoxP1 mRNA
levels, higher FEV1 and FVC, and reduced odds of IPF. Further, knockdown of FoxP1 in lung epithelial cells led
to increased secretion of matrix metalloproteinases and
inflammatory cytokines after exposure to cigarette smoke
extract. Also, knockdown of FoxP1 reduced viability of
lung epithelial cells. These findings suggest that FoxP1
may have a protective role against tobacco-related lung
diseases such as COPD and IPF and warrant further
investigation. Overall, these data suggested that loss of FoxP1 may
contribute to the development of chronic lung diseases
because variants in the FoxP1 gene that were associated
with higher mRNA levels were also associated with
improved lung function and reduced odds of a diagnosis
of IPF. Sentinel SNPs in the FoxP1 gene were eQTLs for FoxP1
in peripheral blood and EIF4E3 in prostate tissue i
These data suggest that the protein encoded by the
FoxP1 gene may be an important regulator of lung epi-
thelial inflammation, matrix turnover, and cell survival
and, therefore, may warrant further investigation. Knockdown of FoxP1 leads to increased secretion
of MMPs and inflammatory cytokines by lung epithelia
and reduction in cell viability after exposure to cigarette
smoke extract To test the hypothesis that reduced FoxP1 mRNA levels
potentiate tobacco-related lung diseases such as COPD
and IPF, we measured levels of MMP 1, 2, 3, and IL 6 and
8, as well as cell viability in lung epithelial cells with and
without FoxP1 knockdown by RNAi. The Forkhead box (Fox) family includes 50 transcription
factors in subclasses A-S characterized by a forkhead
box DNA binding domain. These proteins are conserved
from yeast to humans and regulate diverse biological
processes during development and adult life [22, 23]. Four subclass P proteins exist in mammals (FoxP1-4) and
are important for organ development [3, 4, 21], including
that of the lung. Because these transcription factors can
heterodimerize with each other they have some degree of
functional redundancy [24]. Results suggested that loss of FoxP1 led to increased
mRNA for all five mediators in cells exposed to ciga-
rette smoke extract (Fig. 4). The levels of most of these
mediators was also increased in the supernatant (Fig. 4). In cells that had not been exposed to cigarette smoke
extract, changes in mRNA levels for the 5 mediators
were less impressive (Additional file 1: Fig S2). Accord-
ingly, levels of these mediators in the supernatant were
not assessed in cells not exposed to cigarette smoke
extract. FoxP1 has two known functions in the adult lung:
(1) cooperate with FoxP4 to suppress the promoter for
protein disulfide isomerase anterior gradient 2 (AGR2)
that regulates goblet cell development in the lung
epithelium; [21] and (2) suppress the IL-6 promotor in
the lung epithelium [25]. However, FoxP1 has no proven
role in COPD pathogenesis. Results also suggested that loss of FoxP1 leads to
greatly reduced cell survival. Specifically, the % positivity
for the dead cell stain increased ~ 50% with knockdown
of FoxP1 versus control knockdown in cells exposed to
cigarette smoke extract (Fig. 5). A similar 50% increase Andreas et al. Respiratory Research (2022) 23:281 Page 9 of 11 Fig. 5 (See legend on previous page.) Fig. 5 (See legend on previous page.) Fig. 5 (See legend on previous page.) Andreas et al. Respiratory Research (2022) 23:281 Page 10 of 11 Andreas et al. Respiratory Research (2022) 23:281 Page 10 of 11 Herein, we implicate the FoxP1 gene as a potential con-
tributor to lung disease in adults. Conclusions We examined the association between variants in the
FoxP1-4 genes and lung function in adults. Results
suggest that more than 100 variants in the FoxP1 gene are
associated with changes in lung function. In contrast, no
variants in the FoxP2-4 are associated with lung function. The sentinel variants in the FoxP1 gene are associated with
increased FoxP1 mRNA levels, higher FEV1 and FVC,
and reduced odds of IPF. Further, knockdown of FoxP1
in lung epithelial cells had deleterious consequences such
as increased secretion of matrix metalloproteinases and
inflammatory cytokines as well as increased cell death. Our results suggest that the FoxP1 gene may be protective
against the development of COPD and IPF. A causal role
for FoxP1 in the pathogenesis of COPD and IPF may
warrant further investigation, and FoxP1 may be a potential
novel therapeutic target for these lung disorders. Although the FoxP1-4 genes have been implicated in
lung development, we were able to associate variants
in only the FoxP1 gene with lung function. This finding
suggests that FoxP1 may have a unique role in regulating
lung function. However, it is also possible that there was
less coverage of variants important for regulating lung
function in the FoxP2-4 genes vs. the FoxP1 gene in the
genotyping arrays. g
y
g
y
Our study corroborates a prior report where FoxP1
protein repressed the promoter for the IL-6 gene [25]. Specifically, we showed that when FoxP1 protein was
knocked down, IL-6 levels in the supernatant increased,
although only in the presence of cigarette smoke extract. It
is likely that cigarette smoke extract increased activation of
inflammatory pathways and thus exacerbated differences
in IL-6 levels between dsi FoxP1 and control knockdown. Because FoxP1 protein is a transcriptional repressor, one
can speculate that FoxP1 also represses the promoters of
IL-8, MMPs, and EIF4E3 although we were unable to locate
any publicly available FoxP1 ChIP-seq data in lung cells to
confirm this hypothesis. Other mechanisms may also be
responsible. For example, FoxP1 may regulate mediators
that are upstream of IL-8, MMPs, and EIF4E3. Also,
there may be crosstalk between inflammatory and matrix
turnover pathways. The responsible mechanisms need to
be elucidated in vitro and in vivo. Supplementary Information The online version contains supplementary material available at https://doi.
org/10.1186/s12931-022-02213-4. The online version contains supplementary material available at https://doi.
org/10.1186/s12931-022-02213-4. Additional file 1: Figure S1. rs1499894 was associated with altered levels
of EIF4E3 mRNA in prostate tissue (A). To validate the association between
FoxP1 and EIF4E3 mRNA levels, we depleted FoxP1 mRNA in lung
epithelial cells by RNAi (dsi FoxP1) and confirmed altered EIF4E3 mRNA
levels relative to dsi control (B-E). Non-parametric tests (Mann-Whitney
U) were used to calculate p-values from 3-6 samples from independent
experiments. **** p<0.001, * p<0.05. Figure S2. Depletion of FoxP1 by
RNA interference did not significantly alter mRNA levels of inflammatory
mediators and matrix metalloproteinases in lung epithelial cells in the
absence of cigarette smoke extract. Lung epithelial cells were transfected
with dsi RNA targeting FoxP1 (dsi FoxP1) or non-sense RNA (dsi Scramble). 48h later lysate was processed for RT-PCR. Cells transfected with dsi FoxP1
did not show greater mRNA levels for IL6, IL8, MMP1, MMP2, and MMP3. Non-parametric tests were used (Mann-Whitney U). *ns = not significant. Figure S3. Depleting FoxP1 by RNA interference did not reduce the
viability of lung epithelial cells in the absence of cigarette smoke extract. Lung epithelial cells were transfected with dsi RNA targeting FoxP1 mRNA
(dsi FoxP1) or non-sense mRNA (dsi Scramble). 48h later cells were stained
with Zombie Aqua blue (stains non-viable cells). Flow cytometry was
performed (gating strategy per A) on 3 biological replicates to record
10,000 events per sample. Cells transfected with dsi FoxP1 showed similar
viability to cells transfected with dsi Scramble (B). Non-parametric tests
were used (Mann-Whitney U). Our study has limitations. Although we have reported
associations between variants in the FoxP1 gene and FoxP1
mRNA levels as well as functional effects in vitro, we have
not proven the mechanism or demonstrated a causal role
for FoxP1 in the pathogenesis of COPD or IPF. Second, our
data suggest that FoxP1 may play a role in the development
of lung diseases in adults caused by tobacco exposure. However, we were unable to determine if FoxP1 is associated
with poor lung function in adults because of poor lung
development. Also, the association between sentinel variants
in the FoxP1 gene and diagnosis of IPF was nominally
significant (p < 0.05) rather than genome-wide significant. Knockdown of FoxP1 leads to increased secretion
of MMPs and inflammatory cytokines by lung epithelia
and reduction in cell viability after exposure to cigarette
smoke extract We examined the asso-
ciation of variants in the FoxP1 gene with lung function
and a diagnosis of IPF using GWAS data. We then identi-
fied that the sentinel variants were associated with higher
levels of FoxP1 mRNA. To corroborate these findings,
we performed functional studies in lung epithelial cells
where loss of FoxP1 mRNA was associated with adverse
effects such as increased production of MMPs and IL-6 &
8 as well as reduced cell viability. Therefore, our findings
implicate the FoxP1 gene as a protective mediator against
chronic lung diseases such as COPD and IPF. Further
investigation of the role of FoxP1 in the pathogenesis of
COPD may be warranted. We suspect, but cannot prove, that this was due to the much
smaller sample size, and therefore reduced statistical power,
of IPF GWAS studies vs. the lung function GWAS in the UK
Biobank. Finally, the GWAS model was not further adjusted
for pack-years of smoking by us because the majority of
participants were never smokers, and pack-year data was not
available on a large proportion of ever smokers (~ 30%). References References
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manuscript because the data was publically available from the UK BioBank
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statistics and UK Biobank GWAS summary statistics are available online via
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Cotsapas C. Large-scale trans-eQTLs affect hundreds of transcripts and
mediate patterns of transcriptional co-regulation. Am J Hum Genet. 2017;100:581–91. Received: 22 April 2022 Accepted: 27 September 2022 Publisher’s Note 4. Li S, Morley M, Lu M, Zhou S, Stewart K, French CA, Tucker HO, Fisher
SE, Morrisey EE. Foxp transcription factors suppress a non-pulmonary
gene expression program to permit proper lung development. Dev Biol. 2016;416:338–46. 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. 5. Kim WJ, Lim MN, Hong Y, Silverman EK, Lee JH, Jung BH, Ra SW, Choi HS,
Jung YJ, Park YB, et al. Association of lung function genes with chronic
obstructive pulmonary disease. Lung. 2014;192:473–80.
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Radical Scavenging Potential of the Phenothiazine Scaffold: A Computational Analysis
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ChemMedChem
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Full Papers
doi.org/10.1002/cmdc.202100546 ChemMedChem Radical Scavenging Potential of the Phenothiazine Scaffold:
A Computational Analysis a Tiezza,[a] Trevor A. Hamlin,[b] F. Matthias Bickelhaupt,*[b, c] and Laura Orian*[a] active reaction mechanism is, for all antioxidants, RAF. But, for
HOO
* and CH3OO
*, the dominant mechanism strongly depends
on the antioxidant: HAT for PS and PSE, and SET for PTE. The
scavenging efficiency decreases dramatically in lipid environ-
ment and remains only significant (via RAF) for the most
reactive radical (HO
*). Therefore, PS, PSE, and PTE are excellent
antioxidant molecules, especially in aqueous, physiological
environments where they are active against a broad spectrum
of harmful radicals. There is no advantage or significant
difference in the scavenging efficiency when changing the
chalcogen since the reactivity mainly derives from the amino
hydrogen and the aromatic sites. The reactivity of phenothiazine (PS), phenoselenazine (PSE),
and phenotellurazine (PTE) with different reactive oxygen
species (ROS) has been studied using density functional theory
(DFT) in combination with the QM-ORSA (Quantum Mechanics-
based
Test
for
Overall
Free
Radical
Scavenging
Activity)
protocol for an accurate kinetic rate calculation. Four radical
scavenging mechanisms have been screened, namely hydrogen
atom transfer (HAT), radical adduct formation (RAF), single
electron
transfer
(SET),
and
the
direct
oxidation
of
the
chalcogen atom. The chosen ROS are HO
*, HOO
*, and CH3OO
*. PS, PSE, and PTE exhibit an excellent antioxidant activity in
water regardless of the ROS due to their characteristic diffusion-
controlled regime processes. For the HO
* radical, the primary Introduction surprising because the brain is particularly vulnerable to
oxidative stress due to its large oxygen consumption. It is not
clear whether oxidative stress is a cause or a consequence of
the pathological condition and, for this reason, no treatment
can be exclusively tailored to fight oxidative stress. Never-
theless, there is clinical evidence that a regular intake of
antioxidant dietary supplements has beneficial effects on the
efficacy and patient outcome of therapeutic approaches. Oxidative stress is a pathological condition due to an unbal-
anced (too high) concentration of highly oxidant species in the
cell, like peroxides and harmful radicals, which can react with
phospholipids, proteins, and nucleic acids, impairing their
function.[1–6] The antioxidant defense system cannot efficiently
maintain the redox equilibrium inside the cell, so that its
components are irreversibly damaged. Oxidative stress is found
in numerous diseases of different severity, from inflammatory
processes to diabetes, cardiovascular and autoimmune diseases,
cancer, and neurodegenerative diseases.[7–11] Oxidative stress
also accompanies several critical mental disorders, like depres-
sion, schizophrenia, and even certain addictions. This is not It has been recently reported that some well-known
psychotropic drugs possess antioxidant activity as radical
scavengers.[12] Zolpidem, a diffuse hypnotic, is more efficient
than melatonin in quenching hydroxyl and alkoxyl radicals,[13]
while fluoxetine, also known under the commercial name
Prozac, is the molecule that has revolutionized the approach to
depression treatment and possesses a discrete antioxidant
capacity but rather exerts this added function indirectly, by
increasing
the levels
of
free serotonin,
a
strong
radical
scavenger.[14] Based on these examples, the administration of
these drugs may have beneficial effects, adding value to the
therapeutic approach. These results, which stem originally from
clinical observation, have been rationalized at chemical level
using in silico approaches. Despite the highly complex physio-
logical environment, molecular studies on the antioxidant
capacity of a substance are a valuable first approach to in vivo
and clinical testing. One of the most important advantages of in
silico studies (rather than in vitro ones) is the possibility of
screening a large number of molecules at a reduced time and
price. In addition, a detailed computational analysis, carried out
at an accurate level of theory, allows to rationalize the results,
thus providing information and guidelines for designing more
efficient antioxidants. [a] M. Dalla Tiezza, Prof. Dr. L. Orian
Dipartimento di Scienze Chimiche
Università degli Studi di Padova
Via Marzolo 1, 35131 Padova (Italy)
E-mail: laura.orian@unipd.it
[b] Dr. T. © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH ChemMedChem 2021, 16, 3763–3771 Introduction A. Hamlin, Prof. Dr. F. M. Bickelhaupt
Department of Theoretical Chemistry
Amsterdam Institute of Molecular and Life Sciences (AIMMS)
Amsterdam Center for Multiscale Modeling (ACMM)
Vrije Universiteit Amsterdam
De Boelelaan 1083, 1081 HV Amsterdam (The Netherlands)
E-mail: f.m.bickelhaupt@vu.nl
[c] Prof. Dr. F. M. Bickelhaupt
Institute for Molecules and Materials (IMM)
Radboud University
Heyendaalseweg 135, 6525 AJ Nijmegen (The Netherlands)
Supporting information for this article is available on the WWW under
https://doi.org/10.1002/cmdc.202100546
© 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH. 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. Supporting information for this article is available on the WWW under
https://doi.org/10.1002/cmdc.202100546 © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH. 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. In this work, we have quantum chemically studied the
antioxidant potential of the scaffold of a very important class of ChemMedChem 2021, 16, 3763–3771 3763 © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH Full Papers
doi.org/10.1002/cmdc.202100546 Full Papers
doi.org/10.1002/cmdc.202100546 ChemMedChem selected effective core potential (ECP) is also necessary for the
heaviest chalcogen (Te). The former is a Pople split-valence
triple-ζ Gaussian-type orbitals (GTO) basis set with two polar-
ization functions (1 additional set of d orbitals on heavy atoms
and one set of p orbitals on hydrogen). The cc-pVTZ instead is a
Dunning’s correlation-consistent triple-ζ basis set. The opti-
mized structures of minima and transition state have been
computed both in gas-phase and in solvent. In the latter case,
we have used the solvation model based on density (SMD) to
emulate the physiological conditions (water) and the lipidic
environment (pentyl ethanoate).[33] Stationary-point geometries
have been subsequently verified with a vibrational analysis in
order to assess the correct nature of the points located on the
potential energy surface (PES): all normal modes of the minima
have real frequencies, and, in the case of transition states, there
is one normal mode associated to a single imaginary frequency
which is associated with the reaction. antipsychotic drugs, i.e. phenothiazines (Scheme 1, PS/PSE/
PTE), using density functional theory (DFT). Introduction Different derivatives
of these heterocyclic compounds find application in various
medical fields, as antihistaminics (promethazine, Scheme 1, A),
sedatives (chlorpromethazine, Scheme 1, B), anthelminthics. An
important derivative is methylene blue (Scheme 1, C), which
was first synthesized in 1876 and used by Ehlrich to distinguish
bacteria, among which the malaria pathogen. Ehrlich proposed
to use methylene blue in the treatment of malaria and, after
testing, it was used for this purpose till the Second World War. Recently, it has been proposed again for malaria treatment[15]
due to its low cost and as attempt to combat drug resistance.[16] The phenothiazine scaffold represents the ideal parent
compound from which the activity can be regulated by
different substituents. For example, in the phenothiazine
derivatives used as antipsychotics, the sedative effects as well
as the extrapyramidal side effects, can be modulated by using
different substituents at nitrogen. Since we are interested in the
antioxidant potential of this class of compounds, we have
introduced several chemical modifications, replacing sulfur (in
PS) with the heavier selenium and tellurium, generating
phenoselenazine (PSE) and phenotellurazine (PTE), respectively. Organoselenium compounds are well-known antioxidants, mim-
icking the enzymatic activity of glutathione peroxidases (GPx)
and tellurium analogs[17–20] are cautiously being tested for their
enhanced capacity of reducing hydroperoxides, as also pre-
dicted by computational studies.[21,22] PSE and PTE were
designed as ideal “tandem” antioxidants, which can act as
radical scavengers via different mechanisms, as well as GPx
mimics, which can efficiently reduce H2O2 and hydroperoxides
to water and alcohols, respectively, as recently proposed for
selenium derivatives of fluoxetine.[23,24] The aforementioned level of theory [(SMD)-M06-2X/6-311+
+G(d,p),
cc-pVTZ(-PP)]
is
compatible
with
the
QM-ORSA
protocol used to calculate the overall antioxidant capability of
the analyzed molecules.[34–38] This allows direct comparison to
other
antioxidant
systems
described
in
the
literature,
if
necessary. The method consists firstly in evaluating the barrier
for a given reaction with a canonical TS minimization on a first-
order saddle point. In the case of an electron transfer, the Gibbs
free energy of activation is calculated according to the Marcus
theory.[39,40] Two thermal corrections are applied: the first one
[Eq. (1)] is the conversion from the gas phase (1 atm, 298.15 K)
to the condensed standard state (1 M, 298.15 K); the second
one [Eq. Introduction (2)] is used to take into account the solvent cage
effects: DG1M ¼ DG1atm RT ln VM
ð
Þ
(1)
DGsol ffi DGgas RT
ln n102ðn 1Þ
ðn 1Þ
(2) (1) Materials and Methods (2) All the density functional theory (DFT)[25,26] calculations have
been carried out with the Gaussian 16 rev. C.01 software.[27] The
used exchange-correlation (XC) functional is the M06-2X, a
hybrid meta-GGA functional developed by Yan and Truhlar.[28] It
contains 54% of exact Hartree-Fock (HF) exchange and has
been developed to give excellent results for main group
thermochemistry. This has been used in combination with the
following basis sets: the 6-311+ +G(d,p) basis set for H, C, N, O,
and S atoms, and the cc-pVTZ for the Se and Te.[29–32] A properly where VM is the molar volume and n the total of reactants
moles. The latter equation [Eq. (2)] is intended to better
estimate the reduced entropy loss for a transition state
formation due to the solvation effects. Ignoring these two
corrections can lead to a substantial underestimation of the
final kinetic rate constants (up to 1800 times). The rate
constants (k) have been calculated within the Transition State
Theory
(TST)
model
with
the
Eyring–Polanyi
equation
[Eq. (3)].[41,42] k ¼ k T
ð Þ kBT
h e DG°
RT
(3) (3) Scheme 1. A) Phenothiazine (PS, X=S), phenoselenazine (PSE, X=Se),
phenotellurazine (PTE, X=Te), B) promethazine (R=H), chlorpromethazine
(R=Cl), C) methylene blue. The key reactive sites are shown in red and blue. where k T
ð Þ is the Wigner transmission coefficient [Eq. (4)] used
to include the one-dimensional quantum tunneling effect.[43]
For some reactions that involves displacements of light atoms,
i.e. HAT, the tunneling correction turned out to be a crucial
factor in order to avoid underestimation of the total rate
constant.[44] where k T
ð Þ is the Wigner transmission coefficient [Eq. (4)] used
to include the one-dimensional quantum tunneling effect.[43] Scheme 1. A) Phenothiazine (PS, X=S), phenoselenazine (PSE, X=Se),
phenotellurazine (PTE, X=Te), B) promethazine (R=H), chlorpromethazine
(R=Cl), C) methylene blue. The key reactive sites are shown in red and blue. Scheme 1. A) Phenothiazine (PS, X=S), phenoselenazine (PSE, X=Se),
phenotellurazine (PTE, X=Te), B) promethazine (R=H), chlorpromethazine
(R=Cl), C) methylene blue. The key reactive sites are shown in red and blue. ChemMedChem 2021, 16, 3763–3771
www.chemmedchem.org 3764 © 2021 The Authors. Hydrogen Atom Transfer (HAT) kD ¼ 4pRABDABNA
(5)
DA or B ¼
kBT
6phaA or B
(6) kD ¼ 4pRABDABNA
DA or B ¼
kBT
6phaA or B Hydrogen atom transfer (HAT) is the most relevant mechanism
for radical quenching. This elementary process is shown in
Scheme 2. (5) Hydrogen atom transfer (HAT) is the most relevant mechanism
for radical quenching. This elementary process is shown in
Scheme 2. (6) On the phenothiazine scaffold, there are 5 positions from
which H
* can be abstracted (sites 1, 2, 3, 4, 5, Scheme 1). In all
cases, the most exergonic reaction involves the most acidic
hydrogen, i.e., the amino hydrogen. The reaction Gibbs free
energies associated with HAT from the aromatic sites (sites 2, 3,
4, 5, Scheme 1) are mutually similar but all much less favorable
than HAT from the amino group (site 1). Only in the case of the
hydroxyl radical, HAT from the aromatic sites remains exergonic. As soon as peroxyl radicals are involved, HAT from the aromatic
sites becomes highly endergonic and thus thermodynamically
inaccessible (Table 1). The relative thermodynamic viability of
the various HAT pathways, as quantified by ΔΔGr(site)=
ΔGr(site) ΔGr(site 1) is barely affected (variations of only few
kcalmol 1) when changing radicals, chalcogens and medium
and spans from 27 to 32 kcalmol 1. where RAB is the reaction distance, DAB is the mutual diffusion
coefficient of the ROS (A) and the scavenger (B), h is the solvent
viscosity, aA and aB is the Stokes radius of A and B, respectively. Then, according to the Collins Kimball theory [Eq. (7)],[45] both
the thermal and diffusion rate constants are coupled to form
the total rate coefficients. kapp ¼
kDk
kD þ k
(7) kapp ¼
kDk
kD þ k (7) The branching ratios (Γ) have been calculated as well
[Eq. (8)], and they represent the percentual contribution of a
single mechanism to the overall antioxidant activity. From a thermodynamic point of view, HAT from the amino
group is the favored pathway for all the substrates (PS, PSE,
and PTE), attacking radicals and under any physiological Gi ¼ 100 kapp
i
PN
i sikapp
i
(8) Gi ¼ 100 kapp
i
PN
i sikapp
i (8) Materials and Methods ChemMedChem published by Wiley-VCH GmbH Full Papers
doi.org/10.1002/cmdc.202100546 ChemMedChem k T
ð Þ ¼ 1 þ 1
24
h im n°
ð
Þ
j
j
kBT
(4) k T
ð Þ ¼ 1 þ 1
24
h im n°
ð
Þ
j
j
kBT
that they are the possible mechanisms through which ROS
quenching occurs. Based on molecular symmetry, there are
seven non-equivalent active sites on the phenothiazine and its
derivatives (Scheme 1): 1 active site is present on the only
amino nitrogen (1); 4 active sites are aromatic carbon atoms (2,
3, 4, 5); and 2 active sites are junction carbon atoms (2a and 5a). The energetics of the three mechanisms will be described and
analyzed in detail in the following paragraphs. (4) However, this is not the final rate constant because many
reactions are so fast that the process is limited by diffusion and,
the sole thermal rate constant, is no longer a good prediction
of the real reaction rate. To solve this issue, the Smoluchowski
equation for steady-state solutions [Eq. (5)] in combination with
the Stokes-Einstein equation [Eq. (6)] has been used to calculate
the diffusion rate constant (kD): © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH 3765
ChemMedChem 2021, 16, 3763–3771
www.chemmedchem.org
© 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH Radical Adduct Formation (RAF) Also, in this case, the most reactive radical is HO
*: the
reactions are highly exergonic for all sites and for all the three
chalcogens
and
media. HOO
*
and
CH3OO
*
show
similar
reactivity but all the involved reactions are thermodynamically
disfavored, regardless of the chalcogens and media. The trend
found for ΔGr is recovered for ΔG° as well (Table 4): the barriers
associated to the different sites roughly follow the previously
described trend in reaction energies: the smaller barriers are
calculated for sites 5a and 2a, the highest ones for sites 5 and 3. Furthermore, the lowest barriers are computed for HO
*,
followed by HOO
* and CH3OO
*. Like in the HAT mechanism, the
differences in terms of ΔGr and ΔG° between the polar and
apolar solvent are not particularly pronounced because the
products of both processes are neither charged nor highly
polarized. Hence, there is no additional stabilization of products
rather than reagents due to the solvation effect. However, a The
process
in
the
polar
environment
is
completely
barrierless regardless of the radical (Table 2); no effect of the
chalcogen is found. The absence of any noticeable reaction
barrier has been confirmed by the strictly decreasing minimum
energy reaction path connecting the reactants to the products
via nudged elastic band (NEB) calculation as well as by other
authors.[46] However, in lipid media, the barriers are appreciable:
they are rather small for HO
* but increase significantly for HOO
*
and
CH3OO
*
(from
18 kcalmol 1
to
almost
20 kcalmol 1,
depending on the chalcogen). Furthermore, the lowest barriers are computed for HO
*,
followed by HOO
* and CH3OO
*. Like in the HAT mechanism, the
differences in terms of ΔGr and ΔG° between the polar and
apolar solvent are not particularly pronounced because the
products of both processes are neither charged nor highly
polarized. Hence, there is no additional stabilization of products
rather than reagents due to the solvation effect. However, a Table 3. Gibbs free energy of reaction (ΔGr, in kcalmol 1) for radical
adduct formation (RAF).[a]
ΔGr in water
ΔGr in lipid
ROS
Site
S
Se
Te
S
Se
Te
HO
*
2a
9.8
9.4
8.6
9.0
8.4
7.4
2
10.1
10.3
10.5
10.4
10.8
10.9
3
8.3
8.2
7.6
8.2
8.1
7.2
4
9.9
10.2
10.2
9.7
9.9
9.6
5
8.1
8.2
8.6
7.8
8.1
8.5
5a
13.4
13.2
38. Results and Discussion Three different mechanisms of radical scavenging, i.e. Hydrogen
Atom Transfer (HAT), Radical Adduct Formation (RAF), and
Single Electron Transfer (SET), have been analyzed assuming Three different mechanisms of radical scavenging, i.e. Hydrogen
Atom Transfer (HAT), Radical Adduct Formation (RAF), and
Single Electron Transfer (SET), have been analyzed assuming
Scheme 2. HAT mechanism where Px=PS, PSE, PTE and R
*=HO
*, HOO
*,
CH3OO
* (see also Scheme 1). Scheme 2. HAT mechanism where Px=PS, PSE, PTE and R
*=HO
*, HOO
*,
CH3OO
* (see also Scheme 1). Table 1. Gibbs free energy of reaction (ΔGr, in kcalmol 1) for the hydrogen atom transfer (HAT).[a]
ΔGr in water
ΔGr in lipid
ROS
Site
S
Se
Te
S
Se
Te
HO
*
1
39.9
39.2
37.4
37.6
36.7
34.7
2
7.4
7.7
8.1
5.7
6.0
6.4
3
8.5
8.6
8.6
6.4
6.6
6.5
4
7.8
8.0
8.1
5.7
5.9
6.0
5
8.1
8.8
9.8
6.1
6.8
7.8
HOO
*
1
7.6
7.0
5.2
5.1
4.1
2.1
2
24.8
24.5
24.1
26.9
26.5
26.2
3
23.8
23.6
23.6
26.1
26.0
26.0
4
24.5
24.2
24.2
26.8
26.6
26.6
5
24.1
23.4
22.4
26.4
25.8
24.7
CH3OO
*
1
6.3
5.6
3.8
3.4
2.4
0.4
2
26.2
25.8
25.4
28.6
28.2
27.8
3
25.1
25.0
25.0
27.8
27.7
27.7
4
25.8
25.6
25.5
28.5
28.3
28.3
5
25.5
24.8
23.8
28.1
27.5
26.4
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details, see Materials and Methods. Table 1. Gibbs free energy of reaction (ΔGr, in kcalmol 1) for the hydrogen atom transfer (HAT).[a] 3765 Full Papers
doi.org/10.1002/cmdc.202100546 ChemMedChem Figure 1. Minimum energy structure of PS, PSE, and PTE radicals (H
abstracted from site 2) in the gas phase, computed at M06-2X/6-311+
+G(d,p), cc-pVTZ(-PP). Radical Adduct Formation (RAF) The Radical Adduct Formation (RAF) is another important
mechanism that leads to the formation of a single adduct as a
product (Scheme 3). In the case of the phenothiazine scaffold, this reaction
mechanism is rather essential because the HAT mechanism is
not well suited for the aromatic positions since the hydrogen
transfer from the benzene rings (to a ROS) disrupts the ring
aromaticity. Furthermore, the RAF mechanism may involve up
to 6 sites (2a, 2, 3, 4, 5, 5a) on each aromatic ring instead of
only 4 (in HAT). Figure 1. Minimum energy structure of PS, PSE, and PTE radicals (H
abstracted from site 2) in the gas phase, computed at M06-2X/6-311+
+G(d,p), cc-pVTZ(-PP). From a thermodynamic point of view, sites 5a and 2 show
the most exergonic reactions (Table 3). On the other hand, the
three worst sites are 5 and 3. Sites 2a and 4 show intermediate
thermodynamic feasibility. This trend holds true for all the
studied antioxidants (PS, PSE, PTE) and for all the radicals. condition (different medium). For this reason, the potential
energy surface (PES) has been thoroughly analyzed for this site. The HO
* radical is the most reactive one among our model
radicals and the only one that shows exergonic HAT reactions
for all sites of the three studied scaffolds. When considering the
reactivity toward HOO
* and CH3OO
* radicals, HAT becomes
prohibitively endergonic for the aromatic sites and the only
possible pathway that remains is the H abstraction from the
amino site (site 1). The aromatic sites are always less reactive
than the amino site and they all have similar reaction energies. Nearly no variation emerges when changing the chalcogen but,
in general, the most efficient system is PS, followed by PSE, and
PTE. Also, in this case, the most reactive radical is HO
*: the
reactions are highly exergonic for all sites and for all the three
chalcogens
and
media. HOO
*
and
CH3OO
*
show
similar
reactivity but all the involved reactions are thermodynamically
disfavored, regardless of the chalcogens and media. The trend
found for ΔGr is recovered for ΔG° as well (Table 4): the barriers
associated to the different sites roughly follow the previously
described trend in reaction energies: the smaller barriers are
calculated for sites 5a and 2a, the highest ones for sites 5 and 3. Radical Adduct Formation (RAF) .7[b]
12.6
12.7
39.8[b]
HOO
*
2a
15.6
15.8
16.4
17.6
18.1
19.1
2
15.4
14.9
14.5
16.5
16.4
15.8
3
16.3
16.1
17.3
18.0
18.1
19.0
4
14.8
14.3
14.9
16.8
16.4
16.7
5
17.1
16.7
16.5
18.8
18.5
18.0
5a
12.3
11.9
9.1[b]. 14.3
13.5
8.8[b]
CH3OO
*
2a
18.4
18.7
19.7
21.6
21.9
23.2
2
17.9
17.3
17.1
19.9
19.5
19.6
3
19.0
19.3
19.9
21.6
21.7
22.2
4
17.4
17.3
17.6
20.2
20.2
20.3
5
19.6
19.4
19.3
22.3
21.9
21.3
5a
14.6
14.2
6.7[b]. 17.1
16.6
5.3[b]
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. [b] Reaction leads to central ring opening; original antioxidant structure is
therefore no longer recoverable. Table 3. Gibbs free energy of reaction (ΔGr, in kcalmol 1) for radical
adduct formation (RAF).[a] Table 2. Gibbs free energy of activation (ΔG°, in kcalmol 1) for hydrogen
atom transfer (HAT) from site 1. Table 2. Gibbs free energy of activation (ΔG°, in kcalmol 1) for hydrogen
atom transfer (HAT) from site 1. Table 2. Gibbs free energy of activation (ΔG°, in kcalmol 1) for hydrogen
atom transfer (HAT) from site 1. ΔG° in water
ΔG° in lipid
ROS
S
Se
Te
S
Se
Te
HO
*
0.0
0.0
0.0
6.3
6.2
6.1
HOO
*
0.0
0.0
0.0
17.9
18.2
19.0
CH3OO
*
0.0
0.0
0.0
18.7
19.0
19.6
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. Scheme 3. RAF mechanism where Px=PS, PSE, PTE and R
*=HO
*, HOO
*,
CH3OO
* (see also Scheme 1). ChemMedChem 2021, 16, 3763–3771
www.chemmedchem.org 3766 © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH Full Papers
doi.org/10.1002/cmdc.202100546 ChemMedChem Table 4. Radical Adduct Formation (RAF) Gibbs free energy of activation (ΔG°, in kcalmol 1) for radical
adduct formation (RAF).[a]
ΔG° in water
ΔG° in lipid
ROS
Site
S
Se
Te
S
Se
Te
HO
*
2a
4.8
4.5
5.1
9.2
9.5
10.0
2
6.0
5.6
6.0
8.1
7.8
8.0
3
8.1
7.5
8.3
10.4
10.3
10.5
4
4.8
4.8
5.4
8.4
8.4
8.5
5
9.1
8.9
8.8
10.7
10.4
9.7
5a
4.2
4.5
4.9[b]
8.5
8.6
9.1[b]
HOO
*
2a
22.6
22.2
22.8
25.9
26.4
26.6
2
23.2
22.9
22.6
25.6
25.5
25.4
3
24.7
24.3
25.1
27.4
27.3
27.6
4
21.9
21.8
21.8
25.5
25.2
25.3
5
25.7
25.7
25.8
28.1
27.9
27.7
5a
21.4
21.1
21.6[b]
25.4
25.3
25.5[b]
CH3OO
*
2a
25.0
24.9
25.3
29.8
29.9
30.6
2
25.1
24.9
23.7
28.7
28.5
27.7
3
27.0
26.9
27.2
30.2
30.6
30.9
4
25.0
24.4
24.7
29.4
29.1
29.1
5
28.3
28.2
28.0
31.6
31.5
31.4
5a
23.5
23.7
23.7[b]. 28.3
28.4
28.9[b]
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. [b] Reaction leads to central ring opening;
original antioxidant structure is therefore no longer recoverable. the case of HO
* ROS (Table 5). As for the previously described
mechanisms, this radical is the most active one, regardless the
involved chalcogen and medium. Conversely, the processes
involving hydroperoxyl (HOO
*) and methyl peroxyl radical
(CH3OO
*) are much more endergonic and, thus, disfavored. In water, the reaction with HO
* is almost barrierless for PS
and PSE (Table 6) and, for this reason, SET significantly
contributes to the overall antioxidant activity. Two details are
remarkable: the first one is related to the observed chalcogen
trend and the second one deals with the Marcus region for two
particular cases. SET is the first mechanism with a clear trend in
exergonicity
and
in
terms
of
transition
states
energies:
tellurium-based systems appear to be more favored from both
thermodynamic and kinetic points of view. The presence of the
lighter chalcogen in PS, instead, is associated to the less
efficient SET, similarly to the PSE case. The only exception in the
barriers trend is found when comparing the cases of PSE and
PTE with the hydroxyl radical in water. Direct oxidation of the chalcogen center It is worth to notice that in PTE, the attack of the ROS to site
5a is not possible: the process involves the opening of the ring
and the subsequent and irreversible loss of the original
antioxidant molecule. This happens with all the three screened
radicals and in both solvents. In the previous paragraphs, we have seen how different ROSs
can be quenched with different mechanisms and by different
substrates. From this analysis, it emerges that the shortest-live
and smallest attacking radical, i.e. hydroxyl radical, is the more
efficient regardless of the media and the involved chalcogen. The high reactivity-poor selectivity of HO
* is well known in
literature. This ROS is an extremely effective one-electron
oxidizing agent and the involved reactions are commonly
limited by its diffusion (k>109 M 1s 1).[47–49] A very short half-life Radical Adduct Formation (RAF) This can be explained
because the reorganization energy is in both cases much
smaller compared to the absolute value of ΔGr and therefore,
these two processes occur in the Marcus inverted region, where
the greater the exergonicity of reaction, the larger the barrier. general trend is noticed because in lipid media, the reactions
are slightly more endergonic and the barriers tend to be higher. It is worth to notice that in PTE, the attack of the ROS to site
5a is not possible: the process involves the opening of the ring
and the subsequent and irreversible loss of the original
antioxidant molecule. This happens with all the three screened
radicals and in both solvents. general trend is noticed because in lipid media, the reactions
are slightly more endergonic and the barriers tend to be higher. Single Electron Transfer (SET) The Single Electron Transfer (SET) is the only mechanism that
doesn’t require any nuclear displacements and, for this reason,
the canonical minimization procedure used for the transition
state localization is impracticable. However, Marcus theory is
well suited for this purpose. The mechanism is reported in
Scheme 4. Table 5. Gibbs free energy of reaction (ΔGr, in kcalmol 1) for single
electron transfer (SET).[a]
ΔGr in water
ΔGr in lipid
ROS
S
Se
Te
S
Se
Te
HO
*
10.6
13.0
16.7
33.3
31.0
28.9
HOO
*
11.5
9.0
5.3
52.7
50.4
48.3
CH3OO
*
13.3
10.9
7.2
54.0
51.7
49.5
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. Table 5. Gibbs free energy of reaction (ΔGr, in kcalmol 1) for single
electron transfer (SET).[a] In gas phase, this mechanism is highly unlikely due to the
large positive ΔGr values (in the best-case scenario, i.e. PS+
OH
*, the reaction is neatly endergonic and ΔGr exceeds
120 kcalmol 1). The reason can be ascribed to the formation of
highly destabilized products, i.e. charged radical species. Thus,
the overall contribution of SET to scavenging activity in gas
phase and in lipid media (or in any other non-polar solvent) is
negligible. Table 6. Gibbs free energy of activation (ΔG°, in kcalmol 1) for single
electron transfer (SET).[a]
ΔG° in water
ΔG° in lipid
ROS
S
Se
Te
S
Se
Te
HO
*
0.0
0.1[b]
5.7[b]
46.6
41.2
50.7
HOO
*
12.9
11.2
7.4
63.6
59.5
61.5
CH3OO
*
14.3
12.4
8.6
65.6
61.4
63.6
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. [b] Reaction occurs in Marcus inverted region
because reorganization energy λ is smaller than the absolute value of ΔGr. Table 6. Gibbs free energy of activation (ΔG°, in kcalmol 1) for single
electron transfer (SET).[a] However, this reaction mechanism is possible in water
where the charged products are strongly stabilized due to the
polar environment, and the SET becomes highly exergonic in Scheme 4. SET mechanism where Px=PS, PSE, PTE and R
*=HO
*, HOO
*,
CH3OO
*. ChemMedChem 2021, 16, 3763–3771
www.chemmedchem.org © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH 3767 Full Papers
doi.org/10.1002/cmdc.202100546 Full Papers
doi.org/10.1002/cmdc.202100546 ChemMedChem (10 9 s)[50] and a large and positive one-electron reduction
potential (2.31 V at physiological pH)[51] demonstrates its high
reactivity and, consequently, the low selectivity towards the
substrate. Single Electron Transfer (SET) Gibbs free energy of reaction (ΔGr, in kcalmol 1) for direct
oxidation of the chalcogen by HOO
* and CH3OO
* radicals.[a] ΔGr in water
ΔGr in lipid
ROS
S
Se
Te
S
Se
Te
HOO
*
7.8
12.0
18.4
0.2
2.3
6.2
CH3OO
*
14.7
18.9
25.2
6.9
9.1
12.9
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. ΔGr in water
ΔGr in lipid
ROS
S
Se
Te
S
Se
Te
HOO
*
7.8
12.0
18.4
0.2
2.3
6.2
CH3OO
*
14.7
18.9
25.2
6.9
9.1
12.9 Single Electron Transfer (SET) In general, alkoxyl radicals RO
* tends to retain this
characteristic but in a much more modest way: they are less
active compared to HO
* but they are more reactive than peroxyl
radicals ROO
*. A conversion of the latter is possible with direct
oxidation of the chalcogen center on PS, PSE, and PTE
according to Scheme 5. PSE, and PTE due to the conversion of the ROS from a relatively
poorly reactive peroxyl radical to an alkoxyl radical. In the
particular case of hydroperoxyl radical, the product is an
extremely reactive hydroxyl radical molecule. The generated
alkoxyl radical can then react once again via one of the
previously investigated mechanism.[52] The nature of the newly
formed oxidized molecules and, in particular, of the sulfoxide,
selenoxide and telluroxide bond X=O (X=S, Se, Te) is best
described by a polarized σ bond rather than a simple double
bond. For this reason, due to the formation of a positive partial
charge on X and a negative one on O, the molecule does not
exhibit a classical hypervalency. The strength of the X=O bond
is related to the involved electrostatic interactions between the
two atoms and tend to decrease from X=S to X=Te.[53] In our
systems, the direct oxidation is an exergonic process for all the
analyzed cases (Table 7). From a merely theoretical point of view, this reaction path
could in principle enhance the overall antioxidant activity of PS, Scheme 5. Direct oxidation of phenothiazine (PS, X=S), phenoselenazine
(PSE, X=Se) and phenotellurazine (PTE, X=Te) by a generic peroxyl radicals
ROO
*. The reaction is thermodynamically favored in physiological
environment and in the presence of alkylperoxyl radicals. All
the previously explored mechanisms (HAT, RAF, and SET) in
which the HOO
* and CH3OO
* radicals are being involved show
much more endergonic reactions. However, direct oxidation
requires rather prohibitive activation energies under standard
conditions (Table 8). In the best scenario (PTE with HOO
* in
water), ΔG° is about 12 kcalmol 1 and considering a barrierless
process, such as HAT in our systems, the contribution to the
overall antioxidant activity of a mechanism involving the direct
oxidation of the chalcogen and subsequent scavenging has to
be considered extremely limited. Scheme 5. Direct oxidation of phenothiazine (PS, X=S), phenoselenazine
(PSE, X=Se) and phenotellurazine (PTE, X=Te) by a generic peroxyl radicals
ROO
*. Table 7. Kinetic constants and antioxidant activity Calculating an accurate kinetic constant strongly depends on
the approximation used to estimate the rate of diffusion in a
particular media: the most challenging parameter to assess and
for which, to the best of our knowledge, there is no accurate
technique of evaluation, is the reactants Stokes radius that
defines both the diffusion coefficients. In a lipidic environment, the situation is less diversified than
in the water system (Table 10): the HAT mechanism is the
favored reaction pathway only for the larger radicals (HOO
* and
CH3OO
*) and, as seen before, the most active radical reacts via
RAF. In this case, the branching ratios are highly independent
from the chalcogen in the antioxidant. The lipid medium is not
able to stabilize the charged products deriving from SET and, as
a consequence, this mechanism is energetically unfavorable
both from the thermodynamic and kinetic points of view. The antioxidant capacity in apolar environment results
comparable to that computed in water only when considering
the hydroxyl radical. The selectivity towards peroxyl radicals is
strongly reduced. Changing ROS to HOO
* or ROO
* usually leads to decreased
antioxidant capabilities; however, this heavily depends on the
substrate structure. For instance, PS, PSE, and PTE show no HAT
barrier for the amino hydrogen (site 1) and this is the only
reason explaining the outstanding performance towards less
active radicals, i.e. HOO
* and CH3OO
*. In a similar fashion, we
can find an analogy with the 3,5-dihydroxy-4-methoxybenzyl
alcohol (DHMBA): one of the hydroxy groups exhibits a
barrierless process via HAT and, as a primary consequence, the
involved kinetic rate constant for the HOO
* quenching easily
reaches the diffusion regime. On the other hand, in lipid media, In
order
to
better
understand
the
calculated
kinetic
constants for PS, PSE, and PTE, a comparison to few well-known
antioxidant molecules has been made (Table 11). The majority
of the theoretical rate constants in the Table 11 were calculated
with the M05-2X functional: a direct comparison to M06-2X is
possible thanks to the excellent agreement between these two
XC functionals.[13,14,34,36] Table 10. Kinetic constants and branching ratios (in M 1s 1, %) for all analyzed mechanisms in pentyl ethanoate at 298.15 K. Kinetic constants and antioxidant activity According
to
the
QM-ORSA
protocol
here
adopted
and
described in the material and methods section, the kinetic
constants have been calculated for both solvents in order to
assess the overall antioxidant capability and to make compar-
ison with data reported in literature for analogous systems. The
apparent kinetic constants in water were computed and are
summarized in Table 9. For HAT mechanism, only site 1 has
been taken into account: the kinetic constant of transfers
involving aromatic hydrogens are orders of magnitude smaller Table 8. Gibbs free energy of activation (ΔG°, in kcalmol 1) for direct
oxidation of the chalcogen by HOO
* and CH3OO
*.[a]
ΔG° in water
ΔG° in lipid
ROS
S
Se
Te
S
Se
Te
HOO
*
31.5
23.6
12.2
38.2
30.8
20.8
CH3OO
*
34.4
26.4
15.5
42.1
35.7
24.8
[a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. Table 8. Gibbs free energy of activation (ΔG°, in kcalmol 1) for direct
oxidation of the chalcogen by HOO
* and CH3OO
*.[a] [a] Computed at (SMD)-M06-2X/6-311+ +G(d,p), cc-pVTZ(-PP). For details,
see Materials and Methods. Table 9. Kinetic constants and branching ratios (in M 1s 1, %) for all analyzed mechanisms in water at 298.15 K. kapp in water
ROS
PS
PSE
PTE
HAT
HO
*
2.61·109 (3%)[a]
2.63·109 (3%)[a]
2.58·109 (3%)[a]
HOO
*
1.96·109 (100%)[a]
1.98·109 (97%)[a]
1.96·109 (23%)[a]
CH3OO
*
1.69·109 (100%)[a]
1.69·109 (99%)[a]
1.68·109 (32%)[a]
RAF
HO
*
6.94·1010 (86%)[a]
7.24·1010 (87%)[a]
7.10·1010 (87%)[a]
HOO
*
1.67·101 (0%)
2.60·101 (0%)
1.55·101 (0%)
CH3OO
*
3.72·10 1 (0%)
3.53·10 1 (0%)
5.09·10 1 (0%)
SET
HO
*
8.53·109 (11%)[a]
8.47·109 (10%)[a]
8.43·109 (10%)[a]
HOO
*
3.62·106 (0%)
7.02·107 (3%)
6.76·109 (77%)[a]
CH3OO
*
3.85·105 (0%)
9.12·106 (1%)
3.39·109 (68%)[a]
overall
HO
*
8.05·1010 [a]
8.35·1010 [a]
8.21·1010 [a]
HOO
*
1.96·109 [a]
2.05·109 [a]
8.72·109 [a]
CH3OO
*
1.69·109 [a]
1.70·109 [a]
5.07·109 [a]
[a] Diffusion-controlled reaction. 3768
Ch
M dCh
2021 16 3763 3771
h
d h
© 2021 Th A
h
Ch
M dCh
bli h d b Wil
VCH G
bH Table 9. Kinetic constants and branching ratios (in M 1s 1, %) for all analyzed mechanisms in water at 298.15 K. Full Papers
doi.org/10.1002/cmdc.202100546 Full Papers
doi.org/10.1002/cmdc.202100546 ChemMedChem when compared to the one of the amino sites. HAT is the
primary mechanism for the larger radicals (hydroperoxyl and
methyl peroxyl radical) for PS and PSE. Kinetic constants and antioxidant activity The RAF mechanism,
instead, is the favored mechanism for the hydroxyl radical and
this could be mainly ascribed to the number of available
positions on the aromatic rings (also considering the degener-
ate pathways due to the symmetry) and to the small reaction
barriers. Unfortunately, the barriers increase significantly with
the peroxyl radicals and thus, the contribution of RAF to the
overall activity is negligible for HOO
* and CH3OO
*. However, the
most efficient reaction mechanism with the combination of
these two radicals and PTE is SET. Table 11. Calculated and experimental kinetic rate constants (in M 1s 1)
for the quenching activity of several antioxidant molecules towards
different ROSs. Table 11. Calculated and experimental kinetic rate constants (in M 1s 1)
for the quenching activity of several antioxidant molecules towards
different ROSs. p
(
)
for the quenching activity of several antioxidant molecules towards
different ROSs. Substrate
ROS
Solvent
kcalc
kexp
PS
HO
*
Aqueous
8.05·1010
PSE
HO
*
Aqueous
8.35·1010
PTE
HO
*
Aqueous
8.21·1010
Glutathione
HO
*
Aqueous
7.68·109[54]
8.72·109[55 57]
Glutathione
CH3O
*
Aqueous
5.89·108[54]
9.00·108[58]
Glutathione
HOO
*
Aqueous
2.69·107[54]
Glutathione
CH3OO
*
Aqueous
2.02·104[54]
Sesamol
HO
*
Aqueous
2.37·1010[59]
1.10·1010[60]
Sesamol
HOO
*
Aqueous
6.36·107[59]
Caffeine
HO
*
Aqueous
2.15·109[61]
5.60·109[62 64]
Melatonin
HO
*
Aqueous
1.85·1010[65,66]
3.04·1010[67 71]
DHMBA[a]
HOO
*
Aqueous
1.34·109[72]
Capsaicin
ROO
*
Mixed
6.50·103[73]
5.60·103[74]
Tyrosol
ROO
*
Aqueous
4.30·103[75]
9.40·103[76]
Trolox
HO
*
Aqueous
2.78·1010[74]
8.10·1010[77]
Edaravone
HO
*
Aqueous
1.35·1010[78]
1.93·109[79,80]
[a] 3,5-dihydroxy-4-methoxybenzyl alcohol. The global antioxidant activity is given by the sum of the
kapp for all considered mechanisms: in physiological conditions,
the sum of all thermal constants exceeds the value estimated
for diffusion and therefore, all processes are limited by the
latter. Unfortunately, this rules out the fine-tuning possibility of
the antioxidant capacities by a simple modification of the
chalcogen and therefore, the scavenging capacity is determined
by the radical‘s ability to diffuse in water. In aqueous solution, the activity towards the HO
* radical
shows reaction rates that are approaching the diffusion rate
limit: this is a common point also found for glutathione,
sesamol, caffeine, melatonin, DHMBA, Trolox, and edaravone. Conclusions [4] J. N. Cobley, M. L. Fiorello, D. M. Bailey, Redox Biol. 2018, 15, 490–503. [5] J. A. Gingrich, Nat. Med. 2005, 11, 1281–1282. In this work, we have analyzed in silico the scavenging activity
of the phenothiazine scaffold and its selenium and tellurium
derivatives. The idea of chemically modifying this system by
introducing
selenium,
which
yields
the
parent
molecular
structure of a well-known class of psychotropic and antihista-
minic drugs, aims at improving its antioxidant action with
beneficial therapeutic outcomes. [6] C. S. Nunes, M. Maes, C. Roomruangwong, J. B. Moraes, K. L. Bonifacio,
H. O. Vargas, D. S. Barbosa, G. Anderson, L. G. P. de Melo, S. Drozdstoj, E. Moreira, A. F. Carvalho, S. O. V. Nunes, J. Eval. Clin. Pract. 2018, 24, 869–
878. [7] S. Salim, Curr. Neuropharmacol. 2014, 12, 140–147. [8] W. Hassan, H. Noreen, V. Castro-Gomes, I. Mohammadzai, J. Batista Teix-
eira da Rocha, J. Landeira-Fernandez, Curr. Pharm. Des. 2016, 22, 2960–
2974. [9] S. Tsaluchidu, M. Cocchi, L. Tonello, B. K. Puri, BMC Psychiatry 2008, 8,
S5. In
contrast
to
the
situation
of
selenofluoxetine
vs
fluoxetine,[23] the presence of a different chalcogen than sulfur
does not lead to an enhanced antioxidant activity via any of the
three scavenging mechanisms considered, i.e., hydrogen atom
transfer (HAT), radical adduct formation (RAF) and single
electron transfer (SET). In addition, we have explored an
alternative pathway via direct oxidation of the chalcogen
followed by the ROS quenching mechanisms which, however,
appears to be unviable due to unfavorable energetics. [10] J. Allen, R. Romay-Tallon, K. J. Brymer, H. J. Caruncho, L. E. Kalynchuk,
Front. Neurol. Neurosci. 2018, 12, 386. [11] C. N. Black, M. Bot, P. G. Scheffer, P. Cuijpers, B. W. J. H. Penninx,
Psychoneuroendocrinology 2015, 51, 164–175. [12] G. Ribaudo, M. Bortoli, C. Pavan, G. Zagotto, L. Orian, Antioxidants 2020,
9, 714. [13] M. Bortoli, M. Dalla Tiezza, C. Muraro, C. Pavan, G. Ribaudo, A. Rodighiero, C. Tubaro, G. Zagotto, L. Orian, Comput. Struct. Biotechnol. J. 2019, 17, 311–318. [14] C. Muraro, M. Dalla Tiezza, C. Pavan, G. Ribaudo, G. Zagotto, L. Orian,
Appl. Sci. 2019, 9, 3631. [15] R. H. Schirmer, B. Coulibaly, A. Stich, M. Scheiwein, H. Merkle, J. Eubel, K. Becker, H. Becher, O. Müller, T. Zich, W. Schiek, B. Kouyaté, Redox Rep. 2003, 8, 272–275. Conclusions We conclude that the phenothiazine scaffold is a rather
good
scavenger
for
HO
*,
comparable
to
well-established
antioxidants like melatonin and Trolox, but not for peroxyl
radicals. Due to the complexity and computational cost of
performing fully quantum mechanical analyses of the ROS
scavenging activity in large and flexible molecules, we are
currently tackling both the thermodynamic and the kinetic
aspects using a machine learning approach and the data here
obtained have been included in the training dataset.[81] y
Becker, H. Becher, O. Müller, T. Zich, W. Schiek, B. Kouyaté, Redox Rep. 2003, 8, 272–275. [16] A. Pascual, M. Henry, S. Briolant, S. Charras, E. Baret, R. Amalvict, E. Huyghues des Etages, M. Feraud, C. Rogier, B. Pradines, Antimicrob. Agents Chemother. 2011, 55, 2472–2474. g
[17] L. Orian, S. Toppo, Free Radical Biol. Med. 2014, 66, 65–74. [18] L. Orian, P. Mauri, A. Roveri, S. Toppo, L. Benazzi, V. Bosello-Travain, A. De Palma, M. Maiorino, G. Miotto, M. Zaccarin, A. Polimeno, L. Flohé, F. Ursini, Free Radical Biol. Med. 2015, 87, 1–14. [19] L. P. Wolters, L. Orian, Curr. Org. Chem. 2015, 20, 189–197. [20] M. Dalla Tiezza, G. Ribaudo, L. Orian, Curr. Org. Chem. 2019, 23, 1381–
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F. M. Bickelhaupt, L. Orian, Phys. Chem. Chem. Phys. 2018, 20, 20874–
20885. Keywords: Antioxidants · Density functional calculations ·
Radical scavenging · Sulfur · Selenium Keywords: Antioxidants · Density functional calculations ·
Radical scavenging · Sulfur · Selenium Keywords: Antioxidants · Density functional calculations ·
Radical scavenging · Sulfur · Selenium where the NH hydrogen abstraction becomes an activated
process (especially for HOO
* and CH3OO
*), the overall activity of
PS, PSE, and PTE is close to what we find in capsaicin or tyrosol. Finally, another general observation, which is also in agreement
with the data reported literature for other scavengers, is the
poor selectivity of alkoxyl radicals, especially HO
*, versus the
low reactivity of the peroxyl radicals. [1] F. A. Villamena, Molecular Basis of Oxidative Stress: Chemistry, Mecha-
nisms, and Disease Pathogenesis, Wiley, Hoboken, New Jersey, 2013. [2] M. F. Christman, R. W. Morgan, F. S. Jacobson, B. N. Ames, Cell 1985, 41,
753–762. [3] M. Herbet, M. Gawrońska-Grzywacz, M. Izdebska, I. Piątkowska-Chmiel,
Exp. Ther. Med. 2016, 12, 3440–3444. Acknowledgements [22] M. Bortoli, M. Bruschi, M. Swart, L. Orian, New J. Chem. 2020, 44, 6724–
6731. The authors acknowledge funding by different institutions and
projects: Università degli Studi di Padova (P-DiSC - BIRD2018-
UNIPD: project MAD3S (Modeling Antioxidant Drugs: Design and
Development of computer-aided molecular Systems)), EC Research
Innovation Action under the H2020 Programme (Project HPC-
EUROPA3 (INFRAIA-2016-1-730897)), Fondazione Cariparo (PhD
grant), VU Amsterdam, SURFsara, and the Netherlands Organiza-
tion for Scientific Research (NWO). Dr. Marianna Tosato is
acknowledged for providing data on the acidity of phenothiazine. Open Access Funding provided by Universita degli Studi di Padova
within the CRUI-CARE Agreement. [23] G. Ribaudo, M. Bortoli, A. Ongaro, E. Oselladore, A. Gianoncelli, G. Zagotto, L. Orian, RSC Adv. 2020, 10, 18583–18593. [24] G. Ribaudo, M. Bortoli, E. Oselladore, A. Ongaro, A. Gianoncelli, G. Zagotto, L. Orian, Molecules 2021, 26, 2770. [25] P. Hohenberg, W. Kohn, Phys. Rev. 1964, 136, B864–B871. [26] W. Kohn, L. J. Sham, Phys. Rev. 1965, 140, A1133–A1138. [27] M. J. Frisch, G. W. Trucks, H. B. Schlegel, G. E. Scuseria, M. A. Robb, J. R. Cheeseman, G. Scalmani, V. Barone, G. A. Petersson, H. Nakatsuji, X. Li,
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Radical
PS
PSE
PTE
HAT
HO
*
2.87·109 (7%)[a]
2.91·109 (7%)[a]
2.81·109 (8%)[a]
HOO
*
5.63·103 (100%)
3.66·103 (100%)
1.24·103 (100%)
CH3OO
*
1.55·103 (100%)
9.06·102 (100%)
3.95·102 (100%)
RAF
HO
*
3.80·1010 (93%)[a]
3.78·1010 (93%)[a]
3.33·1010 (92%)[a]
HOO
*
4.32·10 2 (0%)
5.04·10 2 (0%)
4.47·10 2 (0%)
CH3OO
*
1.86·10 4 (0%)
2.13·10 4 (0%)
3.50·10 4 (0%)
SET
HO
*
8.80·10 19 (0%)
6.84·10 15 (0%)
7.45·10 22 (0%)
HOO
*
2.60·10 31 (0%)
2.87·10 28 (0%)
9.60·10 30 (0%)
CH3OO
*
9.24·10 33 (0%)
1.13·10 29 (0%)
2.65·10 31 (0%)
overall
HO
*
4.09·1010 [a]
4.07·1010 [a]
3.61·1010 [a]
HOO
*
5.63·103
3.66·103
1.24·103
CH3OO
*
1.55·103
9.06·102
3.95·102
[a] Diffusion-controlled reaction. 3769
ChemMedChem 2021 16 3763–3771
www chemmedchem org
© 2021 The Authors ChemMedChem published by Wiley-VCH GmbH ranching ratios (in M 1s 1, %) for all analyzed mechanisms in pentyl ethanoate at 298.15 K. Table 10. Kinetic constants and branching ratios (in M 1s 1, %) for all analyzed mechanisms in pentyl ethanoate at 298.15 K. © 2021 The Authors. ChemMedChem published by Wiley-VCH GmbH Full Papers
doi.org/10.1002/cmdc.202100546 Full Papers
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www.chemmedchem.org Manuscript received: August 12, 2021
Revised manuscript received: September 5, 2021
Accepted manuscript online: September 18, 2021
Version of record online: October 15, 2021 3771
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Correction to: Reply to: The PulMiCC Trial Provides Control Data for Colorectal Lung Metastases Amenable to Local Treatments
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Cardiovascular radiology/Cardiovascular and interventional radiology
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Cardiovasc Intervent Radiol (2021) 44:1154
https://doi.org/10.1007/s00270-021-02855-9 CORRECTION Publisher’s Note
Springer Nature remains neutral with regard to
jurisdictional claims in published maps and institutional affiliations. & Tze Min Wah
tze.wah@nhs.net Correction to: Correction to:
Cardiovasc Intervent Radiol (2021) 44:656–657
https://doi.org/10.1007/s00270-020-02740-x Correction to: Reply to: The PulMiCC Trial Provides Control
Data for Colorectal Lung Metastases Amenable to Local
Treatments Bobby Bhartia1 • Jim Zhong1 • Nilanjan Chaudhuri2 • Richard Milton2 •
Jonathan Smith1 • James Lenton1 • Tze Min Wah1 Bobby Bhartia1 • Jim Zhong1 • Nilanjan Chaudhuri2 • Richard Milton2 •
Jonathan Smith1 • James Lenton1 • Tze Min Wah1 Published online: 3 May 2021
Springer Science+Business Media, LLC, part of Springer Nature and the Cardiovascular and Interventional Radiological Society of Europe
(CIRSE) 2021 Published online: 3 May 2021
Springer Science+Business Media, LLC, part of Springer Nature and the Cardiovascular and Interventional Radiological Society of Europe
(CIRSE) 2021 Attribution (CC BY) licence 4.0. After publication in
volume 44, issue 4, page 656–657 the author(s) decided to
cancel the Open Access. Therefore, the copyright of
thearticle has been changed on 3 May 2021 to Springer
Science?Business Media, LLC, part of Springer Nature
and the Cardiovascular and Interventional Radiological
Society of Europe (CIRSE) 2021 with all rights reserved. Correction to:
Cardiovasc Intervent Radiol (2021) 44:656–657
https://doi.org/10.1007/s00270-020-02740-x The article Reply to: The PulMiCC Trial Provides Control
Data for Colorectal Lung Metastases Amenable to Local
Trea, written by Bobby Bhartia, Jim Zhong, Nilanjan
Chaudhuri, Richard Milton, Jonathan Smith, James Lenton,
Tze Min Wah, was originally published online on 26 Jan-
uary 2021 with Open Access under a Creative Commons Publisher’s Note
Springer Nature remains neutral with regard to
jurisdictional claims in published maps and institutional affiliations. The original article can be found online at https://doi.org/10.1007/
s00270-020-02740-x. 1
Clinical Lead for Interventional Oncology, Division of
Diagnostic and Interventional Radiology, Leeds Cancer
Centre, Institute of Oncology, St. James’s University
Hospital, Beckett Street, Leeds LS9 7TF, UK 2
Division of Thoracic Surgery, Leeds Cancer Centre, Institute
of Oncology, St. James’s University Hospital, Beckett Street,
Leeds LS9 7TF, UK 123 123
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https://openalex.org/W2906010089
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https://europepmc.org/articles/pmc6394545?pdf=render
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English
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DDX58 and Classic Singleton-Merten Syndrome
|
Journal of clinical immunology
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cc-by
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Abstract Purpose Singleton-Merten syndrome manifests as dental dysplasia, glaucoma, psoriasis, aortic calcification, and skeletal abnor-
malities including tendon rupture and arthropathy. Pathogenic variants in IFIH1 have previously been associated with the classic
Singleton-Merten syndrome, while variants in DDX58 has been described in association with a milder phenotype, which is
suggested to have a better prognosis. We studied a family with severe, Bclassic^ Singleton-Merten syndrome. Purpose Singleton-Merten syndrome manifests as dental dysplasia, glaucoma, psoriasis, aortic calcification, and skeletal abnor-
malities including tendon rupture and arthropathy. Pathogenic variants in IFIH1 have previously been associated with the classic
Singleton-Merten syndrome, while variants in DDX58 has been described in association with a milder phenotype, which is
suggested to have a better prognosis. We studied a family with severe, Bclassic^ Singleton-Merten syndrome. Methods We undertook clinical phenotyping, next-generation sequencing, and functional studies of type I interferon production
in patient whole blood and assessed the type I interferon promoter activity in HEK293 cells transfected with wild-type or mutant
DDX58 stimulated with Poly I:C. Singleton-Merten syndrome, while variants in DDX58 has been described in association with a milder phenotype, which is
suggested to have a better prognosis. We studied a family with severe, Bclassic^ Singleton-Merten syndrome. Methods We undertook clinical phenotyping, next-generation sequencing, and functional studies of type I interferon production
in patient whole blood and assessed the type I interferon promoter activity in HEK293 cells transfected with wild-type or mutant
DDX58 stimulated with Poly I:C. gg
p
g
y
,
g
y
Methods We undertook clinical phenotyping, next-generation sequencing, and functional studies of type I interferon production
in patient whole blood and assessed the type I interferon promoter activity in HEK293 cells transfected with wild-type or mutant
DDX58 stimulated with Poly I:C. y
Results We demonstrate a DDX58 autosomal dominant gain-of-function mutation, with constitutive upregulation of type I
interferon. Conclusions DDX58 mutations may be associated with the classic features of Singleton-Merten syndrome including dental
dysplasia, tendon rupture, and severe cardiac sequela. Keywords Interferonopathy . retinoic acid-inducible gene I . Singleton-Merten syndrome . type I interferon Keywords Interferonopathy . retinoic acid-inducible gene I . Singleton-Merten syndrome . type I interferon Journal of Clinical Immunology (2019) 39:75–80
https://doi.org/10.1007/s10875-018-0572-1 Journal of Clinical Immunology (2019) 39:75–80
https://doi.org/10.1007/s10875-018-0572-1 ORIGINAL ARTICLE Carlos R. Ferreira1 & Yanick J. Crow2,3 & William A. Gahl4 & Pamela J. Gardner5 & Raphaela Goldbach-Mansky6 & Sun Hur7 &
Adriana Almeida de Jesús6 & Michele Nehrebecky1 & Ji Woo Park8 & Tracy A. Briggs9,10 Received: 31 May 2018 /Accepted: 11 November 2018 /Published online: 20 December 2018
# The Author(s) 2018 Introduction c.2465G>A (p.Arg822Gln), in interferon-induced with helicase
C domain 1 (IFIH1) as causative. IFIH1 encodes the cytosolic
double-stranded RNA sensor melanoma differentiation-
associated protein 5 (MDA5), a member of the RIG-I-like recep-
tor (RLR) family and an integral sensor in the type I interferon
pathway. Pathogenic variants in IFIH1 had previously been as-
sociated with a variety of neuroinflammatory phenotypes includ-
ing Aicardi-Goutières syndrome (AGS) and hereditary spastic Singleton-Merten syndrome (SMS [MIM 182250]) is an autoso-
mal dominant disorder, encompassing the cardinal features of
dental dysplasia, glaucoma, psoriasis, aortic calcification, and
skeletal abnormalities, including osteoporosis, contractures, and
tendon rupture. In five SMS patients from three families, Rutsch
et al. [1] described a heterozygous missense pathogenic variant, 5
Office of the Clinical Director, National Institute of Dental and
Craniofacial Research, National Institutes of Health, Bethesda, MD,
USA
6
Translational Autoinflammatory Disease Studies (TADS), National
Institute of Allergy and Infectious Diseases (NIAID) National
Institutes of Health, Bethesda, MD, USA
7
Biological Chemistry and Molecular Pharmacology, Harvard
Medical School, Boston, USA
8
Biology Department in Morrissey College of Arts and Sciences,
Boston College, Chestnut Hill, USA
9
Manchester Centre for Genomic Medicine, St Mary’s Hospital,
Manchester University Hospitals NHS Foundation Trust Manchester
Academic Health Sciences Centre, Manchester, UK
10
Division of Evolution and Genomic Sciences, School of Biological
Sciences, University of Manchester, Manchester, UK * Tracy A. Briggs
Tracy.briggs@manchester.ac.uk * Tracy A. 5
Office of the Clinical Director, National Institute of Dental and
Craniofacial Research, National Institutes of Health, Bethesda, MD,
USA DDX58 and Classic Singleton-Merten Syndrome Carlos R. Ferreira1 & Yanick J. Crow2,3 & William A. Gahl4 & Pamela J. Gardner5 & Raphaela Goldbach-Mansky6 & Sun Hur7 &
Adriana Almeida de Jesús6 & Michele Nehrebecky1 & Ji Woo Park8 & Tracy A. Briggs9,10 * Carlos R. Ferreira
carlos.ferreira@nih.gov 10
Division of Evolution and Genomic Sciences, School of Biological
Sciences, University of Manchester, Manchester, UK Introduction Briggs
Tracy.briggs@manchester.ac.uk 6
Translational Autoinflammatory Disease Studies (TADS), National
Institute of Allergy and Infectious Diseases (NIAID) National
Institutes of Health, Bethesda, MD, USA 6
Translational Autoinflammatory Disease Studies (TADS), National
Institute of Allergy and Infectious Diseases (NIAID) National
Institutes of Health, Bethesda, MD, USA 1
Medical Genetics Branch, National Human Genome Research
Institute, National Institutes of Health, Bethesda, MD, USA 7
Biological Chemistry and Molecular Pharmacology, Harvard
Medical School, Boston, USA 7
Biological Chemistry and Molecular Pharmacology, Harvard
Medical School, Boston, USA 2
Institute of Genetics and Molecular Medicine, Centre for Genomic
and Experimental Medicine, The University of Edinburgh,
Edinburgh, UK 8
Biology Department in Morrissey College of Arts and Sciences,
Boston College, Chestnut Hill, USA 3
Laboratory of Neurogenetics and Neuroinflammation, Paris
Descartes University, Sorbonne-Paris-Cité, Institut Imagine,
Paris, France 9
Manchester Centre for Genomic Medicine, St Mary’s Hospital,
Manchester University Hospitals NHS Foundation Trust Manchester
Academic Health Sciences Centre, Manchester, UK 4
Office of the Clinical Director and Medical Genetics Branch,
National Human Genome Research Institute, National Institutes of
Health, Bethesda, MD, USA 10
Division of Evolution and Genomic Sciences, School of Biological
Sciences, University of Manchester, Manchester, UK J Clin Immunol (2019) 39:75–80 76 et al. [9]. Significant P values were calculated using a
one-tailed, unpaired t test, comparing mutant IFN produc-
tion with WT RIG-I. paraparesis [2, 3]. Functional investigations in both the SMS and
AGS studies demonstrated that the observed heterozygous IFIH1
pathogenic variants resulted in a gain-of-function with induction
of type I interferon production and increased expression of
interferon-stimulated genes (ISGs) [1–3]. Subsequently, we re-
ported additional families that expand the IFIH1-associated dis-
ease overlapping phenotype, with features of chilblains, intracra-
nial calcification, and neurological sequela consistent with an
AGS diagnosis, and psoriasis, dental dysplasia, and contractures
in keeping with SMS within the same families [4, 5]. paraparesis [2, 3]. Functional investigations in both the SMS and
AGS studies demonstrated that the observed heterozygous IFIH1
pathogenic variants resulted in a gain-of-function with induction
of type I interferon production and increased expression of
interferon-stimulated genes (ISGs) [1–3]. Subsequently, we re-
ported additional families that expand the IFIH1-associated dis-
ease overlapping phenotype, with features of chilblains, intracra-
nial calcification, and neurological sequela consistent with an
AGS diagnosis, and psoriasis, dental dysplasia, and contractures
in keeping with SMS within the same families [4, 5]. Case Histories The proband presented at birth with markedly hypoplastic/
aplastic toenails and scalp psoriasis, which resolved spontane-
ously within 12 months. At age 3 years, she developed glau-
coma requiring seven surgical procedures. She demonstrated
delayed eruption of her secondary dentition with the absence
of many secondary teeth at age 15 years; she then began to
lose her secondary dentition and required a full set of dentures
by her early twenties. In her teens, widespread psoriasis re-
curred for over a decade. She suffered a right Achilles tendon
rupture at age 26 years, a rupture of the left thumb tendon in
her late thirties, and bilateral avulsions of the quadriceps ten-
dons from the patellae at age 44 years. In her late forties, she
developed features consistent with Jaccoud arthropathy. Skeletal radiographs showed bilateral calcification of the
quadriceps tendons and tibial tubercles, and DXA scans dem-
onstrated osteopenia (T-score, −2). At age 42 years, she was
diagnosed with bilateral cataracts. Cardiac disease was a
prominent feature from the age of 34 years, with chest pain
and dyspnea caused by aortic valve calcification, eventually
necessitating aortic valve replacement. At 43 years of age,
third-degree AV block led to the placement of a dual-
chamber pacemaker, and at age 52 years, mechanical mitral
valve replacement was undertaken due to severe calcification
(Fig. 1a); a single-vessel CABG was performed to relieve a
50% occlusion of the right coronary artery. A chest radiograph
at this time revealed a tortuous and calcified thoracic aorta. Upon evaluation at age 59 years, she had marked calcification
of the abdominal aorta (Fig. 1b), ulnar deviation of the fingers
(Fig. 1c), and calcification of the Achilles tendons and plantar
fascia (Fig. 1d). At age 60 years, she died from cardiac dis-
ease. Autopsy demonstrated extensive calcification of myo-
cardium and papillary muscles and large arterial medial We now report a Caucasian family with characteristic fea-
tures of SMS secondary to a DDX58 heterozygous gain-of-
function variant. Introduction Gene expression of selected interferon-stimulated genes
(ISGs) was determined by Nanostring (NanoString
Technologies, Seattle, WA) and an IFN-score was calculated. Standardized interferon score is the sum of 25 Nanostring
counts that were standardized by subtracting the mean of
healthy controls and dividing by standard deviation of the
healthy controls. Means and SDs of the IFN score are depicted
in parenthesis for each group of individuals, as per Kim et al. [10]. Jang et al. [6] then reported pathogenic variants in DDX58,
encoding another cytosolic double-stranded RNA sensor and
member of the RLR family, DDX58 or retinoic-acid-inducible
gene I (RIG-I). Specifically, they described heterozygous
pathogenic variants in two families with multiple members
who manifested variable features of SMS including psoriasis,
acro-osteolysis, and glaucoma; aortic and valvular calcifica-
tion were also prominent in the first family. Dental dysplasia
was not observed in either family, nor was tendon rupture, and
the disease phenotype was considered to be milder and asso-
ciated with a better prognosis than classic SMS. Consistent
with the role of RIG-I in RNA sensing and type I interferon
induction, pathogenic variants were shown to result in consti-
tutive interferon activation. Methods Both patients were enrolled in clinical protocol 76-HG-
0238 (identifier: NCT00369421), approved by the
NHGRI Institutional Review Board, and gave written in-
formed consent. Whole exome sequencing was undertaken
using SeqCap EZ Exome+UTR Library using a HiSeq
2500 (Illumina). Alignment, genotype calling, and annota-
tion were undertaken using the Illumina aligner BELAND^
(Efficient Large-scale Alignment of Nucleotide
Databases), Samtools, and Annovar. Sanger confirmation
was undertaken of the DDX58 variant. Primer sequences
are available on request. Structural analysis was undertaken based on the struc-
ture of RIG-I [7, 8]. RIG-I wild-type and mutant plasmid
constructs were devised and transiently co-transfected
with an IFN-b promoter-driven firefly luciferase reporter
plasmid into a HEK293 cell line. At 6 h, post-transfection
cells were transfected with in vitro–transcribed dsRNA
(poly I:C 0.5 mg), and at 24 h, post-stimulation cells were
lysed and IFN-b promoter activity assayed, as per Peisley 77 J Clin Immunol (2019) 39:75–80 Fig. 1 Clinical manifestations of SMS in the family. a A pacemaker
generator, sternotomy wires, and a prosthetic mitral valve are present. b
Calcification of the abdominal aorta is observed and the lumbar vertebral
bodies show low bone mineral density. c Joint deformities are evident due
to metacarpophalangeal joint subluxation. d Calcification is seen at the
insertion of the Achilles tendon and the plantar fascia. e Toenails are
hypoplastic and subcutaneous calcium deposition is evident over the
fourth toe to metacarpophalangeal joint subluxation. d Calcification is seen at the
insertion of the Achilles tendon and the plantar fascia. e Toenails are
hypoplastic and subcutaneous calcium deposition is evident over the
fourth toe to metacarpophalangeal joint subluxation. d Calcification is seen at the
insertion of the Achilles tendon and the plantar fascia. e Toenails are
hypoplastic and subcutaneous calcium deposition is evident over the
fourth toe Fig. 1 Clinical manifestations of SMS in the family. a A pacemaker
generator, sternotomy wires, and a prosthetic mitral valve are present. b
Calcification of the abdominal aorta is observed and the lumbar vertebral
bodies show low bone mineral density. c Joint deformities are evident due bone height in both arches despite the eruption of multiple
permanent teeth in the mandible. Dental decay affected the
teeth under the upper denture, but there was very little gingival
inflammation or gingival recession to suggest periodontal
disease. calcification of the aorta and carotid arteries, with
superimposed coronary atherosclerosis and acute myocardial
infarction of the interventricular septum. Methods The proband’s 32-year-old son exhibited similar features,
with hypoplastic/aplastic toenails from birth (Fig. 1e), sponta-
neously resolving psoriasis in childhood, and bilateral glauco-
ma requiring surgery at age 5 years. Radiographically, there appeared to be a normal num-
ber of developing permanent teeth, most of which
remained subgingival and partially impacted in the bone
(Fig. 2c). Tooth crown development appeared normal;
however, the roots were very short (Fig. 2d) and tapered
with closed root apices. While the pulp chamber was
visible to suggest the submerged teeth were vital, the
periodontal ligament space could not be discerned
(Fig. 2e) consistent with root ankylosis. The failure of
normal permanent tooth eruption would result in the
reduction in height of the alveolar bone. Despite having a normal eruption of the primary teeth,
there was a failure to exfoliate naturally. The primary lower
central and lateral incisors were extracted when he was a
young child, and the permanent teeth erupted normally. Other primary teeth were extracted much later after root de-
velopment had ceased, resulting in a failure of many perma-
nent teeth to erupt into occlusion. Orthodontic therapy failed
to pull any of the teeth into occlusion. He has worn a full upper
denture over the partially erupted teeth since the age of
15 years (Fig. 2a–b). He suffered tendon ruptures in the hands in his late teens,
which resulted in progressive deformities from age 20 years. He was first recognized to have aortic calcification in his early
twenties. Neither the proband nor her son demonstrated any Clinically, the teeth visible in the oral cavity were at various
stages of eruption. There was one retained upper primary mo-
lar that was not mobile. There was a striking lack of alveolar J Clin Immunol (2019) 39:75–80 78 Fig. 2 Dental manifestations of SMS. Clinical photography of maxillary
a and mandibular b teeth showing failure of eruption of many permanent
teeth. A dental panoramic radiograph c confirmed that most of these
permanent teeth were impacted in the bone. d Anterior periapical
radiograph showing very short roots. e Periapical view of upper left
quadrant teeth revealing absent periodontal ligament space consistent
with ankylosis Genetics Whole exome sequencing in both mother and son revealed
a heterozygous DDX58 variant NM_014314.3: c.1551G>C
(p.Gln517His), confirmed by Sanger sequencing. This variant
was novel, not observed in over 245,000 alleles in gnomAD. The mutated amino acid is located adjacent to the RNA phos-
phate backbone of the protein. Functional Studies A type I interferon assay was performed following transient
transfection of wild-type RIG-I, the Gln517His mutant, or the
previously described Glu373Ala mutant [9]. Both mutant con-
structs demonstrated significantly elevated basal interferon
induction relative to WT expression (Fig. 3a). Furthermore,
significantly enhanced type I interferon induction was ob-
served following dsRNA stimulation in both mutant con-
structs compared to wild type. Further support for a RIG-I gain-of-function in association
with the Gln517His mutant was demonstrated by upregulation
of ISGs in whole blood in the son’s sample, though not the
probands (Fig. 3b). Fig. 2 Dental manifestations of SMS. Clinical photography of maxillary
a and mandibular b teeth showing failure of eruption of many permanent
teeth. A dental panoramic radiograph c confirmed that most of these
permanent teeth were impacted in the bone. d Anterior periapical
radiograph showing very short roots. e Periapical view of upper left
quadrant teeth revealing absent periodontal ligament space consistent
with ankylosis Discussion Here, we demonstrate that a pathogenic heterozygous variant
in DDX58 can manifest as classical SMS, which includes both
a dental and tendon rupture phenotype, not described in the
previous report by Jang et al. [6]. The severity of the multi-
systemic manifestations resulted in early-onset morbidity in neurological manifestations, and CT scans in adulthood did
not show intracranial calcification. In the extended family history, the proband’s mother lost all
secondary dentition in her 20s, while a maternal niece was
reported to have hypoplastic nails. Fig. 3 Type I interferon induction is associated with a Gln517His
heterozygous DDX58 variant. a Interferon-beta luciferase assay follow-
ing transient transfection of HEK293 cells demonstrated significantly
elevated basal and poly I:C stimulated interferon induction in both the
Gln517His mutant and the previously described Glu373Ala mutant rela-
tive to WT expression. b Gene expression of selected 28 interferon-
stimulated genes (ISGs) was assayed, and an IFN-score was calculated. Mean and SD of the IFN score are depicted in parenthesis for each group
of individuals. HC: healthy controls; NOMID: neonatal-onset multisys-
tem inflammatory disease; CANDLE: chronic atypical neutrophilic der-
matosis with lipodystrophy and elevated temperature; SAVI: STING-
associated vasculopathy with onset in infancy; 4088: proband’s son;
4089: proband Mean and SD of the IFN score are depicted in parenthesis for each group
of individuals. HC: healthy controls; NOMID: neonatal-onset multisys-
tem inflammatory disease; CANDLE: chronic atypical neutrophilic der-
matosis with lipodystrophy and elevated temperature; SAVI: STING-
associated vasculopathy with onset in infancy; 4088: proband’s son;
4089: proband Fig. 3 Type I interferon induction is associated with a Gln517His
heterozygous DDX58 variant. a Interferon-beta luciferase assay follow-
ing transient transfection of HEK293 cells demonstrated significantly
elevated basal and poly I:C stimulated interferon induction in both the
Gln517His mutant and the previously described Glu373Ala mutant rela-
tive to WT expression. b Gene expression of selected 28 interferon-
stimulated genes (ISGs) was assayed, and an IFN-score was calculated. Discussion J Clin Immunol (2019) 39:75–80 79 Table 1
Phenotypic manifestations of clinically classified SMS associated with causative DDX58 and IFIH1 variants
Total n (%) from this study
Total n (%) reported with
DDX58-associated SMS [6]
Total n (%) reported with
IFIH1-associated SMS [1, 11]
Glaucoma
2/2 (100)
10/11 (91)
5/10 (50)
Short stature
0/2 (0)
2/11 (18)
6/9 (67)
Aortic and valvular calcification
2/2 (100)
5/7 (71)
0/11 (91)
Cardiac arrhythmia
1/2 (50)
0/11(0)
6/11 (55)
Acro-osteolysis or tuft erosion of distal phalanx
0/2 (0)
8/8 (100)
6/9 (67)
Wide medullary cavities in the phalanges
0/2 (0)
0/11 (0)
9/10 (90)
Subungual calcifications
0/2 (0)
0/11 (0)
3/8 (38)
Tendon rupture
2/2 (100)
0/11 (0)
6/11(55)
Joint subluxation
2/2 (100)
1/11 (9)
8/9 (89)
Thick neurocranium
0/2 (0)
0/11 (0)
8/9 (89)
Scoliosis
0/2 (0)
0/11 (0)
3/10 (30)
Dental problems
2/2 (100)
0/11 (0)
10/11 (91)
Dysmorphic facies
0/2 (0)
0/11 (0)
7/7 (100)
Weakness/hypotonia
0/2 (0)
0/11 (0)
8/10 (80)
Psoriasiform rash
2/2 (100)
7/11 (64)
8/9 (89) estations of clinically classified SMS associated with causative DDX58 and IFIH1 variants Table 1
Phenotypic manifestations of clinically classified SMS associated with causative DDX58 and IFIH1 variants both the proband and her son and was responsible for mortal-
ity in the proband secondary to cardiac sequelae. We, there-
fore, conclude that DDX58 gain-of-function variants may
present with a phenotype as severe and diverse as that previ-
ously described in IFIH1-associated SMS [1, 11] and that
there is variability within those patients with DDX58 patho-
genic mutations [6], as shown in Table 1. Making a genetic diagnosis in such families and under-
standing the full phenotypic spectrum are important in terms
of tailored management and screening, as well as allowing
provision of genetic testing, including prenatal testing to at-
risk relatives. In type I interferon-driven disorders, diagnosis
is also important because targeted anti-interferon therapies,
such as JAK-STAT inhibition, and anti-IFN receptor antibod-
ies hold the promise of personalized treatment directed toward
the underlying genetic etiology [14–16]. both the proband and her son and was responsible for mortal-
ity in the proband secondary to cardiac sequelae. We, there-
fore, conclude that DDX58 gain-of-function variants may
present with a phenotype as severe and diverse as that previ-
ously described in IFIH1-associated SMS [1, 11] and that
there is variability within those patients with DDX58 patho-
genic mutations [6], as shown in Table 1. Discussion In addition to the marked clinical overlap between IFIH1
and DDX58, we also acknowledge similarities to other de-
scribed monogenic type I interferon disorders. For example,
glaucoma is observed in AGS beyond IFIH1, most commonly
in association with SAMHD1-associated disease [12]; arthrop-
athy is a feature of a number of type I interferonopathies in-
cluding the recently described DNASEII deficiency [13]; fi-
nally, we have recently noted early loss of secondary dentition
in an adult with a pathogenic homozygous RNASEH2B vari-
ant and in several patients with CANDLE (unpublished). Of
particular interest, given that IFIH1 has been associated with
both AGS and SMS and that we have reported overlapping
patients previously [4, 5], neurological manifestations associ-
ated with DDX58 mutations are yet to be reported and the
cranial imaging in our family was normal. Funding Information This report presents independent research funded
by the National Institute for Health Research (NIHR) (NIHR Transitional
Research Fellowship, Dr. Tracy Briggs, TRF-2016-09-002). The views
expressed are those of the author(s) and not necessarily those of the NHS,
the NIHR, or the Department of Health. Funding is also acknowledged
from the Intramural Research Program of the National Human Genome
Research Institute (WAG), NIH Intramural Research Fund ZIA-
AI001220 (RGM), RO1-N5021328-030 (WAG), NIH Common Fund
RO1OD010944-05 (WAG), NIH R01 grant (AI106912 and AI111784)
(SH), the European Research Council (GA 309449) (YJC), and a state
subsidy managed by the National Research Agency (France) under the
BInvestments for the Future^ program bearing the reference ANR-10-
IAHU-01 (YJC). References 10. Kim H, de Jesus AA, Brooks SR, Liu Y, Huang Y, VanTries R, et al. Development of a validated IFN score using NanoString technolo-
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HG, et al. Singleton-Merten syndrome: an autosomal dominant dis-
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Singleton-Merten syndrome. Am J Hum Genet. 2015;96(2):266–74. 16. Frémond ML, Rodero MP, Jeremiah N, Belot A, Jeziorski E, Duffy
D, et al. Compliance with Ethical Standards Our clinical and functional studies support previous findings
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with aberrant interferon production. Whether the normal score at
the time of the blood draw in the proband reflects lower systemic
inflammation over time, or is part of a variation with intermittent
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were available. We note that not all cases of monogenic
interferonopathy manifest an elevated ISG and indeed, 31% of
cases of RNASEH2B-associated AGS did not have an elevated
ISG on testing [12]. Conflict of Interest
The authors declare that they have no conflict of
interest. Open Access This article is distributed under the terms of the Creative
Commons Attribution 4.0 International License (http://
creativecommons.org/licenses/by/4.0/), which permits unrestricted use,
distribution, and reproduction in any medium, provided you give appro-
priate credit to the original author(s) and the source, provide a link to the
Creative Commons license, and indicate if changes were made. J Clin Immunol (2019) 39:75–80 80 Publisher’s Note Springer Nature remains neutral with regard to jurisdictional
claims in published maps and institutional affiliations. 8. Luo D, Ding SC, Vela A, Kohlway A, Lindenbach BD, Pyle AM. Structural insights into RNA recognition by RIG-I. Cell. 2011;147(2):409–22. 9. Peisley A, Wu B, Xu H, Chen ZJ, Hur S. Structural basis for
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Optimization of the parameters of the selective laser sintering for the formation of PA12 samples by the Taguchi method
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Optimization of the parameters of the selective
laser sintering for the formation of PA12 samples by
the Taguchi method ZAINAB FARAJ
(
faraj.zainab@gmail.com
)
ENSAM M k
U i
it M
l
I
il E Mohamed Aboussaleh
Smail Zaki
Hamid Abouchadi
Rachid Kabiri Mohamed Aboussaleh
Smail Zaki
Hamid Abouchadi
Rachid Kabiri Abstract Selective Laser Sintering (SLS) is a 3D printing process on a powder bed that presents a real revolution
for many industrial sectors, it allows to produce layer by layer precise prototypes, fast, with high
dimensional accuracy and with remarkable mechanical characteristics. This technology uses a laser to
fuse polymer micro particles, following the geometry of digitally cut CAD models. However, the external
surfaces of the parts produced by this process are characterized by a high degree of roughness due
mainly to the properties of the powder, the orientation in the build-up tray and the manufacturing
parameters. In this study selective laser sintering experiments were performed with PA12 powders, in
order to analyze the optimal process parameters for the realization of parts with minimal roughness. The
process parameters chosen for the study were carefully selected and which are laser power, scanning
speed, layer thickness and scanning space. The samples were printed in different orientations 0°, 45° and
90°. The Taguchi method was used to study the parameters. Regression equations for each of the
orientations were established, these developed a linear relationship between the roughness and the
parameters studied. Research Article Posted Date: June 2nd, 2022 License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. d
ll License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Page 1/16 1. Introduction Additive manufacturing is an innovative process that has been in full swing for several years. It is
opposed to subtractive manufacturing processes (e.g. machining) or by deformation (e.g. forging) by
making it possible to manufacture parts, layer by layer from a 3D file. This process is of interest to many
sectors, the biomedical field for the manufacture of prostheses, the civil field for the manufacture of
simple and fast plastic parts, for the aeronautics and space industries. Additive manufacturing is an
important issue, in order to significantly reduce the manufacturing time and because of the possibility to
manufacture complex geometries fully functional while keeping a great flexibility in the design [1, 2]. Selective laser sintering (SLS) is one of the additive processes that are now commercially available,
developed in 1989 by Dr. C.R. Deckard at the University of Texas Austin [3], this technology is considered
the most mature [4] as it offers the ability to form high-density 3D parts by selectively fusing and
sintering polymer powder, typically using a high-powered carbon dioxide laser as the build tool [5–7]. The
3D geometric version is first sliced to retrieve the profile information of each layer [8].The cross sections
are then successively sintered, layer by layer on top of each other. The material most used in this process is polyamide 12, its characteristics make it ideal for durable and
high performance products [9]. It has excellent mechanical properties due to its wide melting range, its
melting temperature is much higher than the crystallization temperature, thus avoiding the anticipated
crystallization of the particles during the construction [10].The crystalline microstructure is highly
dependent on the final temperature as well as the cooling rate [11], yet the solidification process reacts
directly on the mechanical properties of the produced parts, as well as on the presence of porosity and
cracks [12]. Page 2/16 Page 2/16 The selective laser sintering (SLS) process offers many advantages over other digital manufacturing
techniques, parts produced with SLS technology generally have isotropic mechanical properties, making
them ideal for functional prototypes and end-use parts, additionally when 3D printing SLS, no support
structure is required as the unsintered powder acts as a support structure, simplifying the production of
complex geometries, SLS is also ideal for small to medium batch production. This reduces lead times
and eliminates the need for expensive tooling. [13]. 1. Introduction The surface roughness of the components produced by SLS is the major drawback of this technology, in
fact the parts manufactured by SLS have a surface roughness remarkably higher than that of the parts
produced by conventional techniques, and this is due to a partial fusion of the powder grains, named
formation of a sintering collar [14], or due to the properties of the powder, the orientation in the building
plate or the processing parameters. The roughness values of surfaces produced by SLS processes and
depending on the processing parameters vary from 5 to 25µm [15]. The improvement of the roughness parameter and the understanding of its variations play a crucial role
in the manufacture of end-use parts, for this it is necessary to choose a combination of parameters in
order to observe their impact on the surface finish of the produced parts. It is in this sense that this work
was carried out, the influence of processing parameters and the orientation of the parts in the
construction chamber on the roughness were studied, the Taguchi and regression methods were used for
each orientation to study the influence of processing parameters on the roughness of SLS. 2.1. Printing equipment Table 1
Geometric values of the specimen
l3
Overall length [mm]
100
L2
Distance between the wide parallel parts [mm]
70
I1
Length of the narrow calibrated part [mm]
60
b1
Width in the area of the reference length [mm]
10
b2
Width in the shoulder area [mm]
20
h
thickness of the specimen [mm]
3 Geometric values of the specimen
l3
Overall length [mm]
100
L2
Distance between the wide parallel parts [mm]
70
I1
Length of the narrow calibrated part [mm]
60
b1
Width in the area of the reference length [mm]
10
b2
Width in the shoulder area [mm]
20
h
thickness of the specimen [mm]
3 2.1. Printing equipment The ProX™ 500 machine is the 3D printer that was used during this study to produce the samples by
selective laser sintering (SLS) technology, it is a 3D Systems printer, with a build volume of 381 x 330 x
460 mm and a scan speed up to 305 mm/s. The schematic diagram of the Prox 500 is shown in Fig. 1. Before printing, the object to be printed is designed with the help of a CAD software, this model is then
sent to the printer in a digital format (STL file). To start the process and prepare the printer, the powder
bed and the platform are heated to a temperature below the melting temperature of the polymer powder,
the process takes place in several successive steps: first the powder bed in the central build tank is
lowered by a height corresponding to the thickness of a layer (usually around 100 µm), then a roller
comes to spread a new layer of powder from one of the feed chambers (right and left) to the build bed. Then a CO2 laser selectively fuses the polymer particles into the desired shape. When the layer is
complete, the plate moves down and the surface of the platform is again covered with material, the
process is repeated until the part is complete. After printing, the parts are completely covered with powder. The grains that have not been sintered act as a support for the sintered parts. The printing chamber must
cool down before the tray can be removed and the parts recovered. The parts are then cleaned with
compressed air or another cleaning technique and are ready for use or further processing. In this study, Page 3/16 Page 3/16 the geometry of the samples made was designed according to ASTM D638 standards, all measurements
are grouped in Table 1. 2.2 Selection of process parameters The process parameters chosen for this study are those that have the greatest influence on the surface
finish and roughness of the parts produced and which are laser power, scan speed, layer thickness and
scan spacing. The tests were carried out according to Taguchi's L9 4 ^ 3 table, the parameters to be
studied and their different levels are listed in Table 2. In addition to the process parameters, the
orientation of the parts on the manufacturing plate was taken into consideration to see its impact on the
roughness, for this the parts were oriented at the angles 0°, 45° and 90° as shown in Fig. 2. In order to
obtain statistically valid results, five replicas were produced for each orientation, i.e. 15 specimens for
each combination, giving a total of 135 printed specimens. 2.3 Roughness measuring equipment The SLS part roughness measurement device used in this study is the Mitutoyo Surftest SJ-410 (Fig. 3),
this device is equipped with a 5.7-inch color graphic touchscreen LCD device allowing for superior
readability of results and ease of use. This device has a high straightness specification of 0.3–0.5µm
over a travel length of 25–50 mm, and has a force of 0.75 mN. Page 4/16 Page 4/16 Page 4/16 Table 2
Process Parameters with their different Levels. Level 1
Level 2
Level 3
Laser power (W)
57
62
67
Scan speed (mm/s)
180
200
220
Layer thickness (mm)
0,1
0,11
0,12
Scan spacing (mm)
0,16
0,20
0,24 Table 2 Process Parameters with their different Levels. 3.1 Surface roughness At the end of the printing process, and after the construction plate has cooled, it is recovered in order to
clean the parts (Fig. 4), before their roughness can be measured. For each orientation, the roughness of
the parts was measured and calculated as the average of the roughness of the five specimens and
collected in Table 3. The roughness of the parts vary not only with their orientation on the platen but also
with different process parameters. Page 5/16 Page 5/16 Page 5/16 Table 3
Design matrix and roughness of experimentally recorded responses
Laser
power
Scan
speed
Layer
thickness
Scan
spacing
Roughness
0°
Roughness
45°
Roughness
90°
57
180
0,10
0,16
10,6062
11,7066
10,2304
57
200
0,11
0,20
11,7332
12,2622
11,2200
57
220
0,12
0,24
11,8642
12,4798
12,8254
62
180
0,11
0,24
12,1980
13,5016
12,4668
62
200
0,12
0,16
12,3170
13,1560
13,4234
62
220
0,10
0,20
11,4598
11,6840
11,7002
67
180
0,12
0,20
11,5314
12,9950
13,2544
67
200
0,10
0,24
9,2902
10,0688
10,7938
67
220
0,11
0,16
11,9124
11,3202
11,5558 Table 3 3.2 Influence of laser power on roughness Table 4 groups the average roughness as a function of laser power, Fig. 5 shows the variation of part
roughness as a function of laser power for each of the orientations: 0 degrees, 45 degrees and 90
degrees. The roughness fluctuates in a narrow range with increasing laser power for the three
orientations, the roughness of the parts is low when the laser power is at level 3, because when the laser
power is increased, the laser is able to sinter the previous powder layer, the surface roughness value
decreases, yet when the laser power is low, the laser with low power will not sinter the previous powder
layer. Table 4
Roughness means according to different laser power levels
Level of laser power
Mean roughness 0°
Mean roughness 45°
Mean roughness 90°
1
11,4012
12,1495
11,4252
2
11,9916
12,7805
12,5301
3
10,9113
11,4613
11,868
Range
1,0803
1,3192
1,1049 Page 6/16
Table 4
Roughness means according to different laser power levels
Level of laser power
Mean roughness 0°
Mean roughness 45°
Mean roughness 90°
1
11,4012
12,1495
11,4252
2
11,9916
12,7805
12,5301
3
10,9113
11,4613
11,868
Range
1,0803
1,3192
1,1049
3.3 Influence of scan speed on roughness: Page 6/16
3.3 Influence of scan speed on roughness: Page 6/16
3.3 Influence of scan speed on roughness: Table 5 shows the average roughness as a function of scan speed. As shown in Fig. 6, the roughness
fluctuates with different scan speeds for each of the orientations: 0 degrees, 45 degrees and 90 degrees. The minimum is obtained at scan speed level 2. When the scan speed is very high, the printing can be
non-uniform, the material does not form a continuous molten element, which can be the cause of balling
and the formation of disconnected spheres. Insufficient scanning speed can lead to an uneven melt
during the sintering of the powder, resulting in distortions or cavities that reduce the quality of the printed
part. Table 5 shows the average roughness as a function of scan speed. As shown in Fig. 6, the roughness
fluctuates with different scan speeds for each of the orientations: 0 degrees, 45 degrees and 90 degrees. The minimum is obtained at scan speed level 2. When the scan speed is very high, the printing can be
non-uniform, the material does not form a continuous molten element, which can be the cause of balling
and the formation of disconnected spheres. Insufficient scanning speed can lead to an uneven melt
during the sintering of the powder, resulting in distortions or cavities that reduce the quality of the printed
part. Table 5
Roughness means according to the different scan
spacing levels
Level of
scanning
speed
Mean
roughness
0°
Mean
roughness
45°
Mean
roughness
90°
1
11,4452
12,7344
11,9838
2
11,1134
11,829
11,8124
3
11,7454
11,828
12,0271
Range
0,6320
0,9064
0,2147 Table 5
Roughness means according to the different scan
spacing levels 3.5 Influence of scan spacing on roughness: The surface roughness values for the different scan spacings are grouped in Table 7. The optimal values
are obtained at level 3 (0.24mm) for the 0° and 45° orientations and at level 1 (0.16mm) for the 90°
orientation. As the scan spacing increases to level II (0.20 mm), the surface roughness also increases but
decreases to level III (0.24 mm) as shown in Fig. 8. Reduced scan spacing increases the overlap area of adjacent scan lines, which allows for uniform energy
distribution and therefore perfect powder blending between the scan lines, resulting in a uniform and
deeply blended layer. However, an excessively small scan spacing leads to an overconcentration of
energy, which causes overheating and impacts the surface condition of the parts produced. Table 7
Roughness means according to the different scan spacing levels
Level of Scan spacing
Mean roughness 0°
Mean roughness 45°
Mean roughness 90°
1
11,6118
12,0609
11,7365
2
11,5748
12,3137
12,0582
3
11,1174
12,0167
12,0286
Range
0,4944
0,297
0,3217 3.4 Influence of layer thickness on roughness With increasing layer thickness, the roughness shows an increasing curve at different rates (Fig. 7), which
accelerates as the layer thickness increases from level 1 to level 2 for all three orientations, however it
becomes slower as the layer thickness increases from level 2 to level 3. The minimum roughness value is
obtained at layer thickness level 1 for the 0° orientation (Table 6). The greater the layer thickness, the
higher the energy required for grain fusion, which can influence the surface appearance. Table 6
Roughness means according to the different levels of the layer thickness
Level of layer thickness
Mean roughness 0°
Mean roughness 45°
Mean roughness 90°
1
10,4520
11,1531
10,9081
2
11,9478
12,3613
11,7475
3
11,9042
12,8769
13,1677
Range
1,4958
1,7238
2,2596fl Table 6
Roughness means according to the different levels of the laye 3.6 ANOVA and regression analysis The analysis of the effects of the selected SLS parameters on the roughness of the parts was performed
on Minitab software, which is a statistical modeling software to visualize and analyze the data, and to
view the relationships between the variables. Tables 8,9 and 10 represent the analysis of variance tables for 0°, 45° and 90° orientations respectively,
the same tables show the F values, sum of squares and degree of freedom in order to develop
mathematical models for the optimization of SLS specimen roughness in this paper, these models have
been graphically represented in Fig. 9. The mathematical models are as follows: Roughness 0° = 6.22 − 0.0490 Laser power + 0.0075 Scanning speed + 72.6 Layer thickness − 6.18 Scan spacing. + 72.6 Layer thickness − 6.18 Scan spacing. Roughness45° = 11.56–0.0688 Laser power − 0.0227 Scanning speed Roughness45° = 11.56–0.0688 Laser power − 0.0227 Scanning speed + 86.2 Layer thickness − 0.55 Scan spacing. 86.2 Layer thickness − 0.55 Scan spacing. + 86.2 Layer thickness − 0.55 Scan spacing. Page 8/16 Roughness90° = -4.18 + 0.0443 Laser power + 0.0011 Scanning speed
+ 113.0 Layer thickness + 3.65 Scan spacing. Tableau 8. ANOVA regression analysis for 0°orientation. bleau 8. ANOVA regression analysis for 0°orientation. Source
DF
Sum of squares
ajust
Mean square
F value
P value
Regression
4
4,0250
1,0062
1,28
0,407
Laser power
1
0,3600
0,3600
0,46
0,535
Scanning speed
1
0,1353
0,1353
0,17
0,699
Layer thickness
1
3,1630
3,1630
4,04
0,115
Scan spacing
1
0,3667
0,3667
0,47
0,531
Error
4
3,1330
0,7833
Total
8
7,1580 Tableau 9. ANOVA regression analysis for 45° orientation. Source
DF
Sum of squares
ajust
Mean square
F value
P value
Regression
4
6,40293
1,60073
2,37
0,212
Laser power
1
0,71043
0,71043
1,05
0,363
Scanning speed
1
1,23234
1,23234
1,82
0,248
Layer thickness
1
4,45723
4,45723
6,60
0,062
Scan spacing
1
0,00293
0,00293
0,00
0,951
Error
4
2,70160
0,67540
Total
8
9,10453 Tableau 9. ANOVA regression analysis for 45° orientation. Tableau 10. ANOVA regression analysis for 90° orientation. Tableau 10. ANOVA regression analysis for 90° orientation. Tableau 10. ANOVA regression analysis for 90° orientation. 3.6 ANOVA and regression analysis Page 9/16 Source
DF
Sum of squares
ajust
Mean square
F value
P value
Regression
4
8,08353
2,02088
4,33
0,092
Laser power
1
0,29402
0,29402
0,63
0,472
Scanning speed
1
0,00281
0,00281
0,01
0,942
Layer thickness
1
7,65869
7,65869
16,42
0,015
Scan spacing
1
0,12801
0,12801
0,27
0,628
Error
4
1,86605
0,46651
Total
8
9,94958 4. Conclusion In this paper, a study of the effect of different processing parameters on the roughness of PA12 samples
produced by SLS has been conducted, this study also includes the effect of the orientation of the parts in
the build chamber on their surface condition, the orientations chosen are according to the angles 0°, 45°
and 90°, the parameters investigated are: laser power, scan speed, layer thickness and scan spacing. The
variation of the values of these was conducted according to the Taguchi experimental design (L9 4 ^ 3). The results of this study can be concluded in the following points: 1- The optimal combination of process parameters for which the best roughness value is found is: laser
power of 67 W, scan speed of 200 mm/s, layer thickness of 0.10 mm and scan spacing of 0.24 mm. 1- The optimal combination of process parameters for which the best roughness value is found is: laser
power of 67 W, scan speed of 200 mm/s, layer thickness of 0.10 mm and scan spacing of 0.24 mm. 2- The processing parameter that has the most important influence on the roughness of the part is the
layer thickness and the one that has the least important influence is the scan spacing. 3- The orientation of the part on the printing plate for which the lowest roughness values were recorded is
0°. Declarations Funding: the authors declare that no funds, grants, or other support were received during the preparation
of this manuscript. inancial interests: the authors have no relevant financial or non-financial int Financial interests: the authors have no relevant financial or non-financial interests to disclose. Page 10/16 Availability of data and material : Not applicable
Code availability : Not applicable
Ethics approval : Not applicable
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Conference on Modelling and Simulation, 228–233 Figure 2 Orientations of the specimens in the building volume Page 12/16 Page 12/16 Figure 3 Surftest SJ-410 machine. Surftest SJ-410 machine. Page 13/16 Figure 5 Effect of laser power on roughness Figure 4 Construction tray and specimen manufactured in SLS. Page 14/16 Page 14/16 Figure 5
Effect of laser power on roughness
Figure 6
Effect of scanning speed on roughness Figure 7 Effect of layer thickness on roughness Figure 8 Effect of scanning space on roughness Figure 6 Effect of scanning speed on roughness Effect of scanning speed on roughness Page 15/16 Figure 7
Effect of layer thickness on roughness
Figure 8
Effect of scanning space on roughness
Figure 9
variation of roughness as a function of each parameter according to the mathematical model Figure 9 variation of roughness as a function of each parameter according to the mathematical model Page 16/16 Page 16/16
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Analysis of Physical and Chemical Tests of Bidara Leaves (Ziziphus spina-christi L.) Dried Using a Tray Dryer Machine with Different Temperatures
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ABSTRAK INFORMASI ARTIKEL
Riwayat Artikel:
Received
Revised
Accepted
: 16 Juli 2023
: 3 Oktober 2023
: 24 Oktober 2023
Keywords:
Bidara Leaves
Drying
Tray dryer
Kata kunci:
Daun Bidara
Pengeringan
Tray dryer
Copyright: @2022 by the authors. Licensee
Universitas Bumigora,
Mataram, Indonesia. Abstract: The Bidara plant (Ziziphus spina-christi L) is a small evergreen
tree. Bidara plants are easy to find in Indonesia, especially in Sumbawa
Regency, West Nusa Tenggara. Bidara leaves have many pharmacological
potentials, including antioxidants, antibacterial, antiparasitic, and anti-
cancer. The utilization of Bidara leaves become efficacious herbal products. The drying process dramatically affects the quality of bidara leaves. The
temperature in the drying process is an essential factor because it can affect
the content of bioactive compounds in Bidara leaves. The purpose of this
study was to determine the effect of drying temperature on physical and
chemical properties. The dryer used in this drying is a tray dryer. The
methodology of this research uses an experimental design with a completely
randomized design (CRD) with one factor. The temperatures used were 45,
50, and 55°C with a drying time of 3 hours. The results showed that the
drying temperature affected the physical and chemical properties of bidara
leaves. The best treatment for drying bidara leaves is drying at 55°C for a
weight loss of 90.8%, water content of 33.8%, and temperature of 45℃ for a
protein content of 14.23% and flavonoid content of 11.71%. Keywords:
Bidara Leaves
Drying
Tray dryer
Kata kunci:
Daun Bidara
Pengeringan
Tray dryer
Copyright: @2022 by the authors. Licensee
Universitas Bumigora,
Mataram, Indonesia. Abstrak: Tanaman Bidara (Ziziphus spina-christi L) merupakan sejenis
pohon kecil yang selalu hijau. Tanaman Bidara mudah ditemui di
Indonesia, Khususnya di Kabupaten Sumbawa, Nusa tenggara Barat. Daun bidara memiliki banyak potensi farmakologis antara lain sebagai
antioksidan, antibakteri, antiparasit dan anti-kanker. Daun bidara
dapat dikembangkan menjadi produk herbal yang berkhasiat. Proses
pengeringan sangat mempengaruhi kualitas daun bidara. Suhu dalam
proses pengeringan menjadi faktor penting karena dapat mempengaruhi
kandungan senyawa bioaktif pada daun bidara. Tujuan penelitian ini
adalah untuk mengetahui pengaruh suhu pengeringan terhadap sifat
fisik dan sifat kimia. Adapun alat pengering yang digunakan pada
penelitian ini adalah tray dryer. Metode yang digunakan pada penelitian
ini adalah rancangan acak lengkap (RAL) dengan satu faktor. Suhu yang
digunakan yaitu 45, 50 dan 55°C dengan waktu pengeringan selama 3
jam. Hasil penelitian menunjukkan suhu pengeringan mempengaruhi
sifat fisik dan kimia daun bidara. *Email penulis korespondensi: devitanggasari@mail.com *Email penulis korespondensi: devitanggasari@mail.com INFORMASI ARTIKEL
Riwayat Artikel:
Received
Revised
Accepted
: 16 Juli 2023
: 3 Oktober 2023
: 24 Oktober 2023 BIOCITY Journal of Pharmacy Bioscience and Clinical Community 2 (1): 49-58
BIOCITY JOURNAL OF PHARMACY
BIOSCIENCE AND CLINICAL COMMUNITY
ISSN:2964-0733 BIOCITY Journal of Pharmacy Bioscience and Clinical Community 2 (1): 49-58
BIOCITY JOURNAL OF PHARMACY
BIOSCIENCE AND CLINICAL COMMUNITY
ISSN:2964-0733 Artikel Riset Analisis Karakter Fisikokimia Daun Bidara (Ziziphus
spina-christi L.) yang dikeringkan Menggunakan Tray
Dryer dengan Suhu Berbeda
Analysis of Physicochemical Properties of Bidara Leaves (Ziziphus spina-christi L.)
Dried using Tray Dryer at Different Temperatures
Al Fira Safitri1, Devi Tanggasari1* ogram Studi Teknilogi Industri Pertanian, Fakultas Teknologi Pertanian, Universitas Teknologi
Sumbawa, Sumbawa, 84371, Indonesia A. PENDAHULUAN Bidara secara ilmiah dikenal dengan Ziziphus spina-christi L, atau dikenal sebagai
bidara mahkota duri kristus yang merupakan sejenis pohon kecil yang selalu hijau. Tanaman
bidara biasanya tumbuh di daerah Afrika Utara dan tropis serta Asia Barat. Faktor yang
menyebabkan tanaman bidara ini mudah ditemui di Indonesia, Khususnya di Nusa Tenggara
Barat, Kabupaten Sumbawa adalah karena tanaman ini tumbuh baik pada berbagai kisaran jenis
tanah serta toleran terhadap kelebihan hujan maupun kekeringan (Nurazizah et al., 2020). Tanaman bidara ini memiliki banyak kandungan yang bermanfaat antara lain protein,
kalsium, zat besi, magnesium, vitamin, senyawa aktif seperti flavonoid, karotenoid, alkaloid,
fenol, kuercetin, metil ester, terpenoid, saponin, dan lain sebagainya (Chairunnisa et al., 2019). Kandungan tersebut menunjukkan bahwa daun bidara memiliki potensi untuk diolah menjadi
produk herbal. Dari banyaknya manfaat yang bisa diperoleh dengan mengkonsumsi daun bidara
tentunya diperlukan penanganan terkait daun bidara yang melimpah agar bisa dimanfaatkan
dengan baik. Salah satu penanganan awal terhadap daun bidara adalah pengeringan. Proses pengeringan merupakan salah satu proses pengolahan hasil pertanian dalam
industri. Baik itu digunakan untuk mengawetkan pangan maupun untuk hasil industri. Hal ini
dilakukan untuk mencegah mikroorganisme seperti bakteri dan jamur yang akan membuat suatu
produk kadaluarsa (Hakim et al., 2017). Proses pengeringan merupakan hal yang penting untuk
diperhatikan karena keberhasilan produk tergantung dari proses pengeringan yang dilakukan. Cara dalam pengolahan produk herbal yang dikeringkan sama dengan cara pengolahan produk
kering pada umumnya meliputi pemetikan, pencucian, pelayuan, dan pengeringan (Adri et al.,
2013). Pengeringan bahan pangan dapat dibagi menjadi 2 cara yaitu pengeringan alami (sinar
matahari) dan pengeringan mekanis (artificial drying). Pengeringan alamiah adalah
pengeringan yang dilakukan dengan menggunakan sinar matahari langsung sedangkan
pengeringan mekanis merupakan pengeringan dengan menggunakan alat pengering dimana
tinggi rendahnya suhu dan waktu pengeringan dapat diatur dan disesuaikan dengan kondisi
bahan yang akan dikeringkan (Stevani et al., 2019). Peneliti memilih untuk menggunakan
pengeringan mekanik yaitu alat pengering tray dryer karena menurut (Purnamasari et al., 2019),
proses pengeringan dengan tray dryer tergolong proses dengan tingkat efisiensi penggunaan
energi yang cukup efisien, sedikit energi yang digunakan dan menggunakan suhu yang tidak
terlalu tinggi sekitar 45°C hingga 55°C. Menurut Dewi et al., (2017) suhu yang digunakan pada pembuatan produk herbal untuk
kandungan daun bidara adalah pada suhu 55°C. Apabila dilakukan pengeringan di atas suhu
55°C maka kandungan dalam sample tersebut akan berkurang. Semakin tinggi suhu
pengeringan maka akan semakin rendah kandungan yang terdapat dalam sample dan dapat
mengakibatkan kerusakan pada sampel tersebut. ABSTRAK Perlakuan terbaik dalam pengeringan
daun bidara adalah pengeringan dengan suhu 55°C untuk susut bobot
90,8%; kadar air 33,8% dan suhu 45℃ untuk kandungan protein 14,23%;
kandungan flavonoid 11,71%. 49 ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 50 This is an open access article under the CC–BY-SA license Doi: 10.30.812/biocity.v2i1.3160 A. PENDAHULUAN Oleh karena itu, perlu dicari suhu optimum
pengeringan untuk mempertahankan kandungan didalam sample tersebut. Berdasarkan latar
belakang tersebut peneliti tertarik untuk melakukan penelitian pengeringan dengan tray dryer
pada daun bidara menggunakan suhu 45, 50 dan 55°C dengan waktu pengeringan selama 3 jam. Peneliti mengangkat penelitian yang berjudul “Analisis Sifat Fisik dan Kimia Daun Bidara yang ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 50 50 Dikeringkan Menggunakan Mesin tray dryer dengan Suhu yang Berbeda. Dan dari hasil
penelitian yang sudah peneliti lakukan didapatkan hasil bahwa suhu 45 dan 55 ℃ merupakan
suhu terbaik untuk mengeringkan daun bidara. Dikeringkan Menggunakan Mesin tray dryer dengan Suhu yang Berbeda. Dan dari hasil
penelitian yang sudah peneliti lakukan didapatkan hasil bahwa suhu 45 dan 55 ℃ merupakan
suhu terbaik untuk mengeringkan daun bidara. Alat dan Bahan Alat yang digunakan dalam penelitian ini adalah satu set mesin pengering tray dryer,
oven, timbangan analitik, cawan, desikator, labu destruksi, erlenmeyer, spektrometer, labu
kjeldahl, mangkok plastik, pipet, selica gel, dan kemasan standing pouch. Bahan yang
digunakan adalah daun bidara segar berwarna hijau tua, 35 ml etanol, 1 mL AICI3 2%, 1 ml
kalium asetat 120 mm, 7 gram K2SO4, 0,8 gram CuSO4, 15 ml H2SO4, 25 ml aquades, 50 ml
NaOH 40%, 30 ml H3BO3 4% Prosedur Pengeringan Daun Bidara Uji Kadar Air Kadar air basis (% bb) yang diukur pada penelitian ini yaitu kadar air awal bahan
menggunakan kadar air awal bahan dengan metode oven . Penentuan kadar air basis basah
dengan prosedur sebagai berikut : sampel daun bidara ditimbang sebanyak 15 gram. Masing-
masing cawan disi 5 gram sampel,bahan dimasukkan ke dalam oven dan dikeringkan dengan
suhu 105℃ selama 1 jam. Proses ini akan dilakukan secara berulang-ulang hingga mendapatkan
bobot kadar air dengan jumlah yang tetap (Tanggasari et al., 2023). Adapun cara perhitungan
persentase kadar air untuk menentukan berat konstan bahan terdapat pada persamaan 1
(Tanggasari et al., 2023) : M =
a−b
a x 100%…………………………………………………. (1) (1) Keterangan: a =berat awal (g) b =berat akhir (g) Prosedur Pengeringan Daun Bidara Prosedur Pengeringan Daun Bidara
Gambar 1. Diagram alir pelaksanaan penelitian
Persiapan Alat Dan Bahan
Pengeringan (tray dryer)
Mulai
Suhu Pengeringan 45,
50 dan 55oC
Pengukuran Massa per
30 menit ( 3 jam)
Perhitungan Data
Kadar
Air
Kandungan
Flavonoid
Susut
Bobot
Selesai
Kandungan
Protein
Analisis Data Mulai Persiapan Alat Dan Bahan Suhu Pengeringan 45,
50 dan 55oC Pengeringan (tray dryer) Pengukuran Massa per
30 menit ( 3 jam) Perhitungan Data Susut
Bobot Kandungan
Flavonoid Kandungan
Protein Kadar
Air Kadar
Air Analisis Data Selesai Gambar 1. Diagram alir pelaksanaan penelitian ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 51 Proses pengeringan daun bidara diawali dengan memetik daun bidara dengan kondisi
segar berwarna hijau. Adapun kriteria untuk daun nya adalah berwarna hijau tua, lebar daun 2-
3 cm, daun yang dipetik minimal 3-4 daun dari pucuk. Setelah dipetik dilakukan proses sortir
dimana proses ini bertujuan untuk memisahkan daun bidara yang rusak seperti sobek, terserang
serangga, memiliki warna daun yang kecoklatan bahkan kehitaman. Air mengalir digunakan
pada saat pencucian bertujuan agar kotoran dan sejenisnya hilang yang kemudian membuat daun
bidara menjadi bersih. Selanjutnya dilakukan penirisan agar air yang masih menempel di luar
daun bidara berkurang. Sebelum dimasukkan ke dalam mesin pengering sampel ditimbang
dengan menggunakan timbangan analitik yang setiap perlakuan membutuhkan berat sebanyak
100 g daun bidara. Pengukuran massa pada saat pengeringan dilakukan per 30 menit sekali
dengan tujuan untuk mengetahui berapa penurunan kadar air pada masing-masing suhu tersebut. Uji Laboratorium Pengujian fisik (susut bobot dan kadar air) dilakukan di Laboratorium Pangan dan
Agroindustri Fakultas Teknologi Pertanian Universitas Teknologi Sumbawa, sedangkan untuk
uji kimia (kandungan protein dan kandungan flavonoid) dilakukan di Laboratorium Biokimia
Pangan Fakultas Teknologi Pangan dan Agroindustri Universitas Mataram. Uji Protein Uji Kualitatif penentuan kandungan protein daun bidara, timbang 1 gram sampel yang
telah dihaluskan ke dalam labu destruksi, kemudian tambahkan 7 gram K2SO4 dan 0,8 gram
CuSO4.. selanjutnya larutan H2SO4 sebanyak 15 ml,dilakukan didalam lemari asam, Proses
destruksi dilkaukan di dalam lemari asam dengan memanaskan sampel sampai sampel bewarna
bening (hijau tosca). Proses pendinginan dilakukan selama 20 menit, selanjutnya 25 ml aquades
di tambahkan ke dalam labu kjeldahl yang berisi sampel. Kemudian tambahkan 50 ml NaOH
40% dan tambahkan 30 ml H3BO3 4% ke dalam erlenmeyer dengan menambahkan indikator
BCG-MR tetes untuk menangkap destilat dari hasil destilasi. Destilat yang diperoleh dihasilkan
destilasi dititrasi dengan menggunakan larutan standar HCl 0,1 N. Lakukan langkah yang sama
dengan blanko (tanpa sample). Menurut (Saputri & Permatasari, 2019) perhitungan menggunakan metode kjeldhal
pada daun bidara diukur berdasarkan Persamaan 3. (%)N =
ml HCl( sampel−blanko)
berat sampel (g) x 1000 x N HClx 14,008 x 100%…………………………… (3) (3) Setelah diketahui kadar nitrogen, selanjutnya dihitung kadar proteinnya dengan
mengalikan faktor konversi daun bidara 6,25 Ziziphus spina-christi L. Rumus perhitungan
kadar protein pada persamaan 4. (%)Protein = %N x Faktor Konfersi x 100% ……………………………………
(4) (4) Analisis Susut Bobot Susut bobot diukur berdasarkan persentase penurunan bobot bahan awal pada saat
sebelum dikeringkan sampai bobot akhir bahan setelah pengeringan. Susut bobot diperoleh
dengan membandingkan bobot awal bahan (b0) dengan bobot akhir bahan (bi) yang dinyatakan
dengan persen. Pengukuran susut bobot pada saat pengeringan dilakukan tiap 30 menit sekali
pada suhu 45°C, 50°C, dan 55°C yaitu menggunakan mesin tray dryer. tujuan pengukuran susut
bobot tiap 30 menit sekali ini adalah untuk mengetahui berapa penurunan susut bobot selama
pengeringan berlangsung. Menurut (Mentari et al., 2017) perhitungan susut bobot pada daun ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 52 bidara diukur berdasarkan persamaan 2. SB =
m1 _ m2
m1
x 100…………………………………………….. (2)
Keterangan:
SB = susut bobot
M1 = bobot awal (g)
M2 = bobot ahir (g) bidara diukur berdasarkan persamaan 2. (2) Keterangan:
SB = susut bobot
M1 = bobot awal (g)
M2 = bobot ahir (g) Hasil Uji Fisik Dan Kimia Pengeringan Daun Bidara Analisis uji fisik dan kimia laboratorium telah dilakukan pada pengeringan daun bidara
dengan parameter yang dianalisis meliputi analisis uji kadar air, analisis susut bobot dan analisis
uji kimia meliputi analisis uji kandungan protein dan kandungan flavonoid. Parameter hasil uji
fisik pengeringan daun bidara dapat dilihat pada Tabel 1 dan hasil uji kimia dapat dilihat pada
Tabel 2. Tabel 1. Hasil pengujian fisik pada pengeringan daun bidara Tabel 1. Hasil pengujian fisik pada pengeringan daun bidara
Hasil Pengujian Laboratorium
Rata-Rata
No
Parameter uji
Suhu
Ulangan
1
Ulangan
2
Ulangan
3
45℃
58,0%
59,0%
60,0%
59,0%
1
Susut Bobot
50℃
74,5%
75,5%
76,5%
75,5%
55℃
90,05
91%
91,5%
90,8%
45℃
46,2%
46,4%
46,2%
46,3%
2
Kadar Air
50℃
38,7%
38,3%
39,2%
38,7%
55℃
34,0%
33,6%
33,9%
33,8%
Sumber: Data Primer Diolah Tahun 2023. Sumber: Data Primer Diolah Tahun 2023. Uji Flavonid Uji Kualitatif penentuan kandungan flavonoid daun bidara, Ditimbang 15 gram sampel
dilarutkan dalam 10 ml etanol sehingga diperoleh konsentrasi 1.500 ppm. Dari larutan tersebut
di pipet 1 ml kemudian ditambahkan 1 ml larutan AICI32% dan 1 ml kalium asetat 120 mm. selanjutnya Sampel diinkubasi selama 1 jam pada suhu kamar absorbansi ditentukan
menggunakan metode spektrumetriumfivis pada panjang gelombang maksimum 435 nm. Kemudian Sampel dibuat dalam tiga replikasi untuk setiap analisis dan diperoleh nilai rata-rata
absorbansi. Untuk menentukan kadar flavonoid pada daun bidara berdasarkan nilai absorbansi
digunakan data larutan standar. Data larutan standar ini digunakan untuk membuat persamaan
regresi yaitu persamaan yang digunakan untuk menghitung kadar flavonoid (Neldawati &
Gusnedi, 2013) : 𝑦= 𝑎𝑥+ 𝑏 ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 53 Keterangan:
y = nilai absorbansi
x = kadar flavonoid
a, b = konstanta C. HASIL DAN PEMBAHASAN C. HASIL DAN PEMBAHASAN Hasil Uji Fisik Dan Kimia Pengeringan Daun Bidara Uji Susut Bobot Pengeringan daun bidara menggunakan tray dryer dengan suhu 45°C mengalami susut
bobot sebesar 59%, suhu 50°C mengalami susut bobot sebesar 75,5%, dan suhu 55°C
mengalami susut bobot yaitu sebesar 90,8%. Berdasarkan hal tersebut diketahui bahwa susut
bobot pengeringan pada daun bidara tertinggi terdapat pada suhu 55°C dengan lama waktu 3
jam. Sedangkan susut bobot pengeringan daun bidara terendah terdapat pada suhu 45°C. Adanya penurunan susut bobot ini dipengaruhi oleh suhu, hal ini menunjukkan semakin tinggi
suhu maka bobot daun bidara yang dihasilkan semakin rendah. (Manik et al., 2019) menyatakan
bahwa semakin tinggi suhu menyebabkan kandungan air yang teruapkan akan lebih banyak
sehingga mengakibatkan susut bobot daun bidara menurun. Untuk mengetahui adanya
pengaruh suhu terhadap susut bobot pengeringan daun bidara, selanjutnya dilakukan uji Anova. Adapun hasil pengujian anova pada pengeringan daun bidara menunjukan nilai F hitung
(967,000) > F tabel (5,14) serta nilai P-value (0,000) < nilai α (0,05) dengan demikian dapat
disimpulkan bahwa perlakuan suhu pengeringan berpengaruh terhadap kandungan susut bobot
daun bidara. . Pada proses pengeringan terjadi perpindahan massa atau berat dalam bentuk uap
air akibat pemanasan. Hal ini sesuai dengan pendapat (Arsyad, 2018) bahwa panas yang
diberikan akan menaikan suhu bahan dan menyebabkan tekanan uap air dalam bahan lebih
tinggi sehingga terjadi perpindahan uap air dari bahan ke udara yang merupakan perpindahan
massa. Karena adanya pengaruh dari perlakuan suhu maka dilakukan uji lanjut Duncan untuk
melihat perbedaan dari perlakuan. Adapun hasil uji lanjut Duncan susut bobot daun bidara
menunjukkan bahwa suhu 55°C, berbeda nyata dengan suhu 50°C, dan suhu 55°C sangat
berbeda nyata dengan suhu 45°C. Menurut pendapat (Sucianti et al., 2021) menyatakan bahwa
nilai penyusutan suatu produk akan semakin menurun jika suhu pengeringan semakin tinggi. Berdasarkan uji lanjut Duncan daun bidara diketahui bahwa suhu 55°C merupakan perlakuan
efektif untuk menurunkan susut bobot pengeringan daun bidara. Tabel 2. Hasil pengujian kimia pada pengeringan daun bidara Tabel 2. Hasil pengujian kimia pada pengeringan daun bidara
No
suhu
Protein (%)
Flavonoid (%)
1
45
14,23
11,71
2
50
12,74
11,01
3
55
10,322
9,22 Uji Kadar Air Pengeringan daun bidara menggunakan tray dryer mengalami penurunan kadar air pada
suhu 45℃ sebesar 46,3%, suhu 50℃ sebesar 38,7% dan pada suhu 55℃ sebesar 33,8%. Hal
tersebut menunjukkan bahwa semakin tinggi suhu, maka kadar air daun bidara yang dihasilkan
semakin rendah. Hal tersebut disebabkan oleh tingginya suhu pengeringan yang menyebabkan
kandungan air yang diuapkan semakin banyak. Hal ini sesuai dengan pernyataan (Tambunan et
al., 2017) yang menyatakan bahwa proses pengeringan dengan suhu yang semakin tinggi
menyebabkan banyaknya air yang diuapkan sehingga bahan menjadi kering dan ringan. Untuk
mengetahui adanya pengaruh suhu terhadap kadar air pengeringan daun bidara, selanjutnya
dilakukan uji Anova. Adapun hasil pengujian anova pada pengeringan daun bidara menunjukan
bahwa nilai F-hitung (175,875) > F-tabel (5,14) serta nilai P-value (0,000) < nilai α (0,05). Menurut (R. Hartanto et al., 2021) semakin tinggi suhu yang diterima oleh bahan, maka akan
semakin tinggi pula penguapan air dalam bahan sehingga kadar airnya pun rendah, oleh sebab
itu dapat disimpulkan bahwa perlakuan suhu pengeringan berpengaruh terhadap kandungan
kadar air daun bidara. Karena terdapat pengaruh dari perlakuan suhu maka dilakukan uji lanjut
Duncan untuk melihat perbedaan dari perlakuan. Adapun Hasil uji lanjut Duncan pengeringan daun bidara menunjukkan bahwa suhu
45°C, berbeda nyata dengan suhu 50°C, dan suhu 45°C sangat berbeda nyata dengan suhu 55°C. Dapat disimpulkan bahwa suhu pengeringan berpengaruh terhadap kadar air pengeringan daun
bidara, dimana nilai kadar air pada suhu 55°C mempunyai kadar air terendah di banding dengan ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 54 54 suhu 50°C dan 45°C. Menurut (Husni et al., 2014) Kadar air suatu bahan berhubungan dengan
daya simpan bahan, karena air yang terkandung dalam bahan dapat menjadi media tumbuh bagi
mikrobia yang menyebabkan kerusakan. Berdasarkan uji lanjut Duncan di ketahui bahwa suhu
55°C merupakan perlakuan efektif untuk menurunkan kadar air pada pengeringan daun bidara. Uji Flavonoid Dari hasil pengujian didapatkan kandungan flavonoid daun bidara segar adalah sebesar
15,28%. Kandungan flavonoid pada pengeringan daun bidara dalam waktu 3 jam pada suhu
45°C sebesar 11,71% suhu 50°C sebesar 11,01% dan suhu 55°C sebesar 9,22%. Dari hasil
penjabaran tersebut menunjukkan bahwa perlakuan suhu pengeringan berpengaruh nyata
terhadap kadar flavonoid. Semakin tinggi suhu yang digunakan dalam proses pengeringan
maka semakin menurun kandungan flavonoid pada sampel. Perlakuan suhu 45°C memiliki
kadar flavonoid paling tinggi dibandingkan perlakuan suhu pengeringan lain yaitu sebesar
11,71%, sedangkan perlakuan suhu pengeringan 55°C diperoleh kadar flavonoid yang paling
rendah yaitu sebesar 9,22%. Hal ini disebabkan karena flavonoid yang terkandung dalam
sampel daun bidara merupakan senyawa aktif yang sensitif terhadap suhu (termolabil),
sehingga pada proses pengeringan dengan pemanasan cenderung menurunkan kadar flavonoid. Hal ini sesuai dengan pernyataan (Syafrida et al., 2018) yang menyatakan bahwa flavonoid
merupakan golongan polifenol dengan struktur dasar fenol yang senyawanya memiliki sifat
mudah teroksidasi dan sensitif terhadap perlakuan panas sehingga dengan adanya suhu
pengeringan akan mempengaruhi kadar flavonoid yang terkandung di dalam sampel. Kandungan senyawa akan menurun seiring dengan peningkatan dan tinggi suhu yang
digunakan karena akan terjadi dekomposisi fenol yang berpengaruh pada kandungan flavonoid. KESIMPULAN Uji Protein Pengeringan daun bidara dalam waktu 3 jam pada suhu 45°C sebesar 14,23% suhu 50°C
sebesar 12,74% dan suhu 55°C sebesar 10,32%. Dari hasil penjabaran tersebut kandungan
protein mengalami penurunan sebanyak 2% setiap perlakuan suhunya. diketahui bahwa
pengeringan dari suhu 45°C ke suhu 55°C menghasilkan jumlah protein berbeda-beda sebesar
10,32% - 14,23%. Penurunan kadar protein pada penelitian ini menunjukkan sensitivitas protein ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 55 55 terhadap proses pemanasan. Hal ini sesuai dengan pendapat (Lisa et al., 2015) bahwa
pemanasan dengan suhu yang tinggi akan menyebabkan protein terdenaturasi. Pemanasan dapat
merusak asam amino dimana ketahanan protein oleh panas sangat terkait dengan asam amino
penyusun protein tersebut sehingga hal ini yang menyebabkan kadar protein menurun dengan
semakin meningkatnya suhu pemanasan. Hal ini menandakan bahwa suhu pengeringan
berpengaruh terhadap kandungan protain daun bidara. Adapun persyaratan kandungan protein
berdasarkan SNI 01-3751-2006 maupun SNI 3751-2009 minimum 7,0 mg/Kg. Berdasarkan
data hasil uji ternyata persyaratan SNI 01- 3751-2006 dengan kadar protein antara 8,51%-
13,10%. Demikian pula dengan persyaratan SNI 01-3751-2009, yaitu kadar protein antara
8,74%–13,20%. Berdasarkan hasil pengujian yang dilakukan diketahui bahwa suhu 45, 50 dan
55°C masih memenuhi syarat untuk standar SNI pada tepung daun bidara. merupakan perlakuan
efektif untuk menurunkan kadar air pada pengeringan daun bidara (E. S. Hartanto, 2012). KONFLIK KEPENTINGAN Penulis mendeklarasikan bahwa tidak ada konflik kepentingan dalam penyelesaian dan
penyusunan penelitian ini. PENDANAAN Penelitian ini didanai mandiri KESIMPULAN Hasil penelitian dengan alat pengering tray dryer menunjukkan adanya pengaruh
perlakuan suhu terhadap susut bobot, kadar air, kandungan protein, dan kandungan flavonoid. Berdasarkan hasil penelitian suhu pengeringan mempengaruhi sifat fisik dan kimia daun bidara. Perlakuan terbaik dalam proses pengeringan daun bidara adalah pengeringan dengan suhu 55°C
untuk susut bobot 90,8%; kadar air 33,8% dan suhu 45℃ untuk kandungan protein 14,23%;
kandungan flavonoid 11,71%. Untuk penelitian selanjutnya diharapkan untuk melakukan
penelitian tentang suhu yang sesuai jika ingin hasil kadar air daun bidara sesuai dengan kadar
SNI, serta perlu adanya tambahan analisis fisik dan kimia tentang daun bidara yang nanti
hasilnya dapat sesuai dengan SNI, dikarenakan masih kurangnya pembahasan mengenai daun
bidara sendiri. sehingga penelitian lebih lanjut dapat memberikan pemahaman yang lebih
komprehensif tentang pengeringan daun bidara tersebut. ALFIRA et al. 2023. Pengaruh Perbedaan Suhu Pengeringan terhadap Karakter Daun Bidara 56 56 UCAPAN TERIMAKASIH Penulis menyampaikan terimakasih untuk semua pihak yang terlibat mendukung terlaksananya
riset ini, terutama rekan-rekan di Program Studi Teknologi Industri Pertanian, Universitas
Teknologi Sumbawa. KONTRIBUSI PENULIS Hasil Penulis mendeklarasikan bahwa selama penelitian dan penulisan artikel ini kontribusi
penulis terbagi secara merata. Penyusunan konsep penelitian, uji laboratorium, pengolahan data
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https://openalex.org/W2250905676
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https://parasitesandvectors.biomedcentral.com/track/pdf/10.1186/s13071-016-1304-0
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English
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Molecular survey of Enterocytozoon bieneusi in sheep and goats in China
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Parasites & vectors
| 2,016
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cc-by
| 6,442
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© 2016 Shi et al. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Keywords: Enterocytozoon bieneusi, Goats, Sheep, ITS gene Keywords: Enterocytozoon bieneusi, Goats, Sheep, ITS gene E. bieneusi spores are morphologically indistinguish-
able and in vitro cultivation methods for this pathogen
have not been developed. Therefore, molecular methods
are required to identify genotypes within the species that
infect humans, animals or both [3]. Until now, the internal
transcribed spacer (ITS) of the rRNA gene has been used
widely for species identification and genotyping of E. bien-
eusi isolates [11, 23, 24] and more than 200 E. bieneusi ITS
genotypes have been identified [3–12]. Previous studies
have reported that some genotypes are host-specific,
whereas others are zoonotic because of their capability to
infect both humans and animals [15, 16, 25–28]. Cur-
rently, over 30 countries have been surveyed to gather data
on the molecular epidemiology of E. bieneusi in humans
and other animals [29]. In China, this pathogen has been
detected in HIV-positive and -negative patients, children,
non-human primates (NHPs), dogs, cats, pigs, cows, sheep,
goats, deer and snakes [8, 9, 11, 12, 20, 21, 30–37]. More-
over, this parasite has been identified in wastewater in Molecular survey of Enterocytozoon bieneusi
in sheep and goats in China Ke Shi, Mengjie Li, Xiaoxing Wang, Junqiang Li, Md Robiul Karim, Rongjun Wang, Longxian Zhang,
Fuchun Jian and Changshen Ning* Shi et al. Parasites & Vectors (2016) 9:23
DOI 10.1186/s13071-016-1304-0 Shi et al. Parasites & Vectors (2016) 9:23
DOI 10.1186/s13071-016-1304-0 Abstract Background: Over recent years, several studies have conducted genotyping of Enterocytozoon bieneusi in various
hosts worldwide using sequence analysis of the ribosomal internal transcribed spacer (ITS), however, relatively little
is known about E. bieneusi in sheep and goats in China. Therefore this research was conducted to understand the
prevalence and genotype distribution of E. bieneusi in farmed sheep and goats in China. Results: A total of 1025 fecal specimens from farmed animals in various geographic areas were collected. Overall,
PCR and sequence analysis of the ITS detected E. bieneusi in 34.4 % (353/1025) of isolates; of which the prevalence
in goats was 28.8 % (176/611) and in sheep was 42.8 % (177/414). Phylogenetic analysis of ITS sequences identified
42 genotypes (nine known and 33 novel ones). These consisted of four known genotypes (D, KIN-1, EbpC, and F)
and 10 novel genotypes (CHG6, CHG7, CHG9, CHG19, CHG23, CHG25, CHS5 and CHS10–CHS12) which all belonged
to the so-called zoonotic group 1. A further four known genotypes (CD6, COS-I, BEB6, and J) and 22 novel
genotypes (CHG1–CHG3, CHG5, CHG8, CHG10–CHG14, CHG16–CHG18, CHG20, CHG22, CHG24, CHS3, CHS4 and
CHS6–CHS9) formed a clade within the group 2. One novel genotype (CHG21) was clustered in the group 9 with
the genotype CM4. Conclusions: E. bieneusi is highly prevalent, widely distributed, and genetically diverse in Chinese farmed goats and
sheep. Some of the genotypes identified are potentially zoonotic. * Correspondence: nnl1986@163.com
College of Animal Science and Veterinary Medicine, Henan Agricultural
University, Zhengzhou 450002, China Background Microsporidia are a diverse group of obligate intracellu-
lar pathogens related to fungi [1]. To date, approxi-
mately 1300 species belonging to 160 microsporidian
genera are known to infect invertebrate and vertebrate
hosts, including humans [2, 3]. Among the 14 micro-
sporidian species infectious to humans, Enterocytozoon
bieneusi is regarded as the most commonly identified
microsporidian species in humans [4, 5]. Thus far, in
addition to humans, E. bieneusi has been detected in do-
mestic animals such as cattle, sheep, goats, rabbits, pigs,
dogs, cats, and horses [6–14], and in wild animals such
as raccoons, muskrats, beavers, foxes, otters, nonhuman
primates (NHPs), llamas, guinea pigs, deer and snakes
[15–21] and birds [22]. * Correspondence: nnl1986@163.com
College of Animal Science and Veterinary Medicine, Henan Agricultural
University, Zhengzhou 450002, China * Correspondence: nnl1986@163.com
College of Animal Science and Veterinary Medicine, Henan Agricultural
University, Zhengzhou 450002, China Shi et al. Parasites & Vectors (2016) 9:23 Page 2 of 8 Page 2 of 8 several Chinese cities [38]. However, few studies have been
conducted on E. bieneusi infections in sheep and goats in
China [37]. In the present study, a large number of farms
were surveyed to gain a better understanding of the preva-
lence and genotype distribution of E. bieneusi in sheep and
goats in various parts of China. 1). Specimens were collected either directly from the rec-
tum or were collected in sterile plastic containers during
defecation (without the fecal sample having contact with
the ground). One fecal specimen per sheep or goat was col-
lected in a container marked with the breed, gender, age,
and feeding habits of the animal. No obvious clinical symp-
toms were observed during specimen collection, which
were then transported in an icebox to the laboratory for
examination. Ethics statement This research was conducted according to the Chinese La-
boratory Animal Administration Act (1988) after review
and approval of its protocol by the Research Ethics Com-
mittee of Henan Agricultural University. Appropriate per-
mission was obtained from the farm owners before
collection of fecal specimens from their sheep and goats. Specimen preparation The fecal specimen from each container was transferred
to a sterile beaker immediately on arrival at the labora-
tory, soaked for thirty minutes at room temperature in
30 ml of tap water, and then stirred with a clean stick to
ensure thorough mixing. Each mixture was then put
through a 7.62-cm-diameter sieve (pore size 45 μm) and
concentrated by centrifugation at 3500 r · min-1 for
5 min. The concentrated fecal material was stored in
2.5 % potassium dichromate solution at 4 °C prior to
DNA extraction. na, number of genotypes DNA extraction and PCR amplification p
The stored fecal specimens were washed three times
with distilled water and genomic DNA was extracted by
using an E.Z.N.A.® Stool DNA kit (Omega Biotek Inc.,
Norcross, GA, USA) according to the procedure recom-
mended by the manufacturer. The extracted DNA was
stored at −20 °C before it was used for PCR amplifica-
tion. DNA from each specimen was tested at least three
times for E. bieneusi DNA using a nested PCR assay that
amplified a 392 bp product that encompassed the ter-
minal part of 18S rRNA gene, the complete internal
transcribed spacer (ITS), and a partial region of 5.8S
rRNA gene [15]. The KOD-Plus-Neo amplification en-
zyme (Toyobo Co. Ltd., Osaka, Japan) was used for PCR
amplification. Nonacetylated
bovine
serum
albumin
(Solarbio Co. Ltd., Beijing, China) (final concentration
400 ng/L) was used to neutralize PCR inhibitors during
the primary PCR. The secondary PCR products were ex-
amined by agarose gel electrophoresis and visualized
after GelRed (Biotium Inc., Hayward, CA) staining. Prevalence of E. bieneusi in goats and sheep Prevalence of E. bieneusi in goats and sheep
Of the 1025 fecal specimens from goats and sheep, over-
all 353 specimens (34.4 %) were E. bieneusi-positive by
PCR amplification of the ITS locus. The prevalence in
goats was 28.8 % (176/611) and in sheep was 42.8 %
(177/414). The differences in the infection rates between
sheep and goats were statistically significant different
(χ2 = 21.27, p < 0.01). For goats, E. bieneusi was found on
17 of the studied farms from four provinces and one city
(Table 1 and Additional file 1). The prevalence ranged
from 7.5 % to 62.5 % for each goat farm, with significant
differences
in
prevalence
between
different
goat
farms(χ2 = 73.21, p < 0.01). The prevalence rates were
62.5 % in goats from Chongqing City, 47.8 % in
Shaanxi Province, 32.9 % in Henan Province, 22.4 %
in Yunnan Province, and 7.5 % in goats from Anhui
Province (χ2 = 35.81, p < 0.01). For sheep, E. bieneusi
was detected in six farms from three provinces. The
prevalence varied from 9.4 % to 67.4 % in the studied
sheep farms, and the differences in infection rates were
statistically significant (χ2 = 67.84, p < 0.01) (Table 1 and
Additional
file
1). DNA extraction and PCR amplification The
prevalence
were
51.9
%,
25.0 %, and 9.4 % in sheep from Henan Province,
Heilongjiang
Province,
and
Liaoning
Province,
re-
spectively (χ2 = 44.96, p < 0.01) (Table 1). Sequencing and phylogenetic analysis Since some fecal samples were collected from the same an-
imals, positive specimens from different farms, animals,
species and genders were selected for sequencing. The se-
lected secondary PCR products were purified using Mon-
tage PCR filters (Millipore, Bedford, MA) and sequenced
using a BigDye Terminator v3.1 cycle sequencing kit (Ap-
plied Biosystems) on an ABI 3730 DNA analyzer (Applied
Biosystems, Foster City, CA). The nucleotide sequences
were confirmed by bidirectional sequencing and by sequen-
cing a new PCR product if necessary. The sequences ob-
tained were aligned with reference sequences downloaded
from GenBank using the ClustalX 2.0 (http://www.clusta-
l.org/) program to determine the genotypes. Genotypes
from this study were compared with known E. bieneusi ITS
genotypes by neighbor-joining analysis of the aligned E. bieneusi sequences using Mega 5.0 (http://www.megasoft-
ware.net/). Bootstrap analysis was used to assess the ro-
bustness of clusters using 1000 replicates. A previously
established nomenclature system was used for naming the
E. bieneusi ITS genotypes [24]. There were no statistically significant differences in
the prevalence among the age groups in goats (χ2 = 4.50,
p > 0.05) and sheep (χ2 = 5.61, p > 0.05) (Table 3). Like-
wise, there were no statistically significant differences for
gender in goats (χ2 = 0.01, p > 0.05) and sheep (χ2 = 2.05,
p > 0.05) (Table 2). There were some differences in preva-
lence between grazing and household goats, with a higher
prevalence in household goats (χ2 = 5.75, 0.01 < p < 0.05)
(Table 2), but there was no significant difference in preva-
lence for grazing and household sheep (χ2 = 0.65, p > 0.05)
(Table 2). Distribution of E. bieneusi genotypes in goats and sheep
A total of 42 ITS genotypes were obtained from 230 suc-
cessfully sequenced specimens from goats and sheep. Of
them, nine genotypes have been previously reported, in-
cluding BEB6 (EU153584), D (AF101200, syn. CEbC;
PigEBITS9; VI; WL18; Peru 9; PtEb), EbpC (AF135832,
syn. E; WL13; Peru4; WL17), F (AF135833, syn. EbpA),
KIN-1(JQ437573), J(AF135837), COS-I(KJ850432, syn. CM7), CM4(KF543866) and CD6(KJ668733), while other
33
genotypes
were
novel
(CHG1–CHG3,
CHG5–
CHG14, CHG16–CHG25 and CHS3–CHS12). A higher
sequence polymorphism was identified in goat isolates
compared to sheep specimens. Of the 139 goat isolates
that were successfully sequenced, 31 genotypes were
identified, eight of which were known (BEB6, D, EbpC,
F, KIN-1, J, COS-I and CD6), while other 23 were new Fecal specimen collection A total of 1025 fresh fecal samples were collected from
sheep and goats in Henan, Heilongjiang, Liaoning, Yunnan,
Anhui, and Shaanxi Provinces and Chongqing city between
March 2011 and October 2013 (Table 1 and Additional file Table 1 Prevalence and genotype distribution of E. bieneusi isolates from goat and sheep farms from different Provinces
Species Geographic source
No. of farms
No. of specimens
No. (%) of positive specimens ITS genotype(s) (na)
Goats
Henan Province
10
343
113(32.9)
BEB6(22), E(3), F(2), KIN-1(2), D(2), J(1), COS-I(1),
CD6(4), CHG1(13), CHG2(6), CHG3(10), CHG5(3),
CHG6(1),CHG7(1),CHG8(1), CHG9(1), CHG10(1),
CHG11(1), CHG13(1), CHG18(1), CHG20(1), CHG21
(1), CHG22(1), CHG23(1) ), CHG25(1);
Yunnan Province
4
134
30(22.4)
BEB6(14), E(4), F(1), D(1), COS-I(1), CD6(1), CHG1(1),
CHG3(2), CHG5(1), CHG16(1), CHG17(1), CHG19(1);
Anhui Province
1
80
6(7.5)
BEB6(1), CHG5(1), CHG3(1);
Chongqing city
1
8
5(62.5)
CHG1(2), CHG3(1), CD6(1), CHG12(1);
Shaanxi Province
1
46
22(47.8)
BEB6(4), E(1), F(1), CHG1(3), CHG3(3), CD6(3),
CHG5(2), CHG14(1), CHG16(1), CHG24(1);
Total
17
611
176(28.8)
BEB6(41), D(3), E(8), F(4), KIN-1(2), J(1), CHG1(19),
CHG2(6), CHG3(17), CD6(9), CHG5(7), CHG6(1),
CHG7(1), CHG8(1), CHG9(1), CHG10(1), CHG11(1),
CHG12(1), CHG13(1), CHG14(1), COS-I(2), CHG16(2),
CHG17(1), CHG18(1), CHG19(1), CHG20(1), CHG21(1),
CHG22(1), CHG23(1), CHG24(1), CHG25(1) ;
Sheep
Henan Province
4
310
161(51.9)
BEB6(53), COS-I(12), CM4(1), CHG3(5), CHS3(2),
CHS4(1), CHS5(1), CHS6(1), CHS10(1), CHS12(1);
Liaoning Province
1
64
6(9.4)
BEB6(3);
Heilongjiang
Province
1
40
10(25.0)
BEB6(4), COS-I(2), CHS7(1), CHS8(1), CHS9(1),
CHS11(1);
Total
6
414
177(42.8)
BEB6(60), COS-I(14), CHG3(5), CM4(1), CHS3(2),
CHS4(1), CHS5(1), CHS6(1), CHS7(1), CHS8(1),
CHS9(1)CHS10(1), CHS11(1), CHS12(1);
All the Total
23
1025
353(34.4)
F(4), KIN-1(2), J(1), CHG1(19), CHG2(6), CHG3(22),
CD6(9), CHG5(7), CHG6(1), CHG7(1), CHG8(1),
CHG9(1)CHG10(1), CHG11(1), CHG12(1), CHG13(1),
CHG14(1), COS-I(16), CHG16(2), CHG17(1),CHG18(1),
CHG19(1), CHG20(1), CHG21(1), CHG22(1), CHG23(1),
CHG24(1), CHG25(1), CM4(1), CHS3(2), CHS4(1),
CHS5(1), CHS6(1), CHS7(1), CHS8(1), CHS9(1),
CHS10(1), CHS11(1), CHS12(1), BEB6(101), D(3), E(8)
na number of genotypes e and genotype distribution of E. bieneusi isolates from goat and sheep farms from different Provinces genotype distribution of E. bieneusi isolates from goat and sheep farms from different Provinces
No. of farms
No. of specimens
No. (%) of positive specimens ITS genotype(s) (na) Shi et al. Parasites & Vectors (2016) 9:23 Page 3 of 8 Page 3 of 8 Page 3 of 8 Statistical analysis Infection rates were compared using the chi-square test and
a difference was considered statistically significant when the
P value was <0.05. The analysis was done using QuickCalcs
software (GraphPad Software Inc., La Jolla, CA). Nucleotide sequence accession numbers Representative nucleotide sequences from this study
have been deposited in GenBank under accession num-
bers KP262357–KP262398. Shi et al. Parasites & Vectors (2016) 9:23 Page 4 of 8 Table 2 Prevalence and genotype distribution of E. bieneusi by age, gender, and feeding habits in goats and sheep
Age group
<3 m
3–6 m
6 m–1y
>1y
Subtotal Genotypes (na)
(b/c) d)
(b/c d)
(b/c d)
(b/c d)
(b/cd)
Goats
Gender
♀
6/36
16/35
14/49
59/212
95/332
BEB6(23), D(2), E(6), F(2), J(1), KIN-1(1), CD6(7), COS-I(1),
CHG1(13),CHG2(2), CHG3(10) ,CHG5(6), CHG6(1), CHG9(1),
CHG11(1), CHG13(1), CHG14(1), CHG16(2), CHG18(1),
CHG19(1), CHG23(1), CHG24(1), CHG25(1);
(16.7)
(45.7)
(28.6)
(27.8)
(28.6)
♂
12/46
7/26
3/16
59/191
81/279
BEB6(18), D(1), E(2), F(2), KIN-1(1), CD6(2), COS-I(1),
CHG1(6), CHG2(4), CHG3(7), CHG5(1), CHG7(1), CHG8(1),
CHG10(1), CHG12(1), CHG17(1), CHG20(1), CHG21(1),
CHG22(1);
(26.1)
(26.9)
(18.8)
(30.9)
(29.0)
Feeding
habits
Grazing
5/24
0/0
7/34
61/242
73/300
BEB6(21), D(3), E(7), F(2), J(1), COS-I(1), CD6(5), CHG1(5),
CHG2(1), CHG3(12), CHG5(3), CHG16(1), CHG17(1),
CHG19(1), CHG21(1), CHG22(1), CHG25(1);
(20.8)
(0)
(20.6)
(25.2)
(24.3)
Household 13/58
23/61
10/31
57/161
103/311
BEB6(20), E(1), F(1), KIN-1(2), COS-I(1), CD6(4), CHG1(14),
CHG2(5), CHG3(5), CHG5(4),CHG6(1), CHG7(1), CHG8(1),
CHG9(1), CHG10(1), CHG11(1), CHG12(1), CHG13(1)
,CHG14(1), CHG16(1), CHG18(1), CHG20(1), CHG23(1) ,
CHG24(1);
(22.4)
(37.7)
(32.3)
(35.4)
(33.1)
sheep Gender
♀
0/0
26/45
2/9
74/172
106/226
BEB6(27), CHG3(4), COS-I(7), CHS3(2), CHS4(1), CHS7(1),
CHS8(1), CHS9(1), CHS11(1);
(0)
(57.8)
(22.2)
(43.0)
(46.9)
♂
13/25
19/41
18/43
25/79
75/188
BEB6(33), CM4(1), COS-I(7), CHG3(1), CHS5(1), CHS6(1),
CHS10(1), CHS12(1);
(52.0)
(46.3)
(45.9)
(31.7)
(39.9)
Feeding
habits
Grazing
0/0
15/21
11/22
84/205
110/248
BEB6(17), COS-I(5), CM4(1), CHG3(5), CHS4(1);
(0)
(71.4)
(50.0)
(41.0)
(44.4)
Household 13/25
30/65
9/30
15/46
67/166
BEB6(43), COS-I(9), CHS3(2), CHS5(1), CHS6(1), CHS7(1),
CHS8(1), CHS9(1), CHS10(1) ,CHS11(1), CHS12(1);
(52.0)
(46.2)
(30.0)
(32.6)
(40.4)
na, number of genotypes; ♀: female sign; ♂: male
b/c, No.positive/ No.examined; d, % ce and genotype distribution of E. bieneusi by age, gender, and feeding habits in goats and sheep genotypes
(CHG1–CHG3,
CHG5–CHG14,
CHG16–
CHG25). For sheep, 91 specimens were sequenced suc-
cessfully and 14 genotypes were identified, including
three known genotypes (BEB6, CM4 and COS-I) and 11
novel genotypes (CHG3 and CHS3–CHS12). Genotypes
BEB6, COS-I and CHG3 were found in both sheep and
goat specimens (Tables 1, 2, 3). Phylogenetic analysis y
g
y
Phylogenetic analysis revealed that some novel geno-
types from this study belonged to the human-pathogenic
group [15], recently renamed group 1 [39, 40]. We identi-
fied genotypes D, KIN-1, EbpC and F reported previously
and 10 novel genotypes (CHG6, CHG7, CHG9, CHG19,
CHG23, CHG25, CHS5, CHS10, CHS11 and CHS12)
belonged to this group. The novel genotypes CHG23,
CHG25, CHS10 and CHG19 had one (C to A substitution
at nucleotide position 362), two (T to C and T to A substi-
tutions at positions 243 and 245), two (T to G substitu-
tions at positions 223 and 252) and three (A to G, T to G
and G to A substitutions at positions 137, 201 and 374)
single nucleotide polymorphisms (SNPs) compared with
the established genotype, EbpC (AF135832). Therefore,
genotypes CHG23, CHG25, NESH1, CHS10 and CHG19
were clustered into subgroup 1d with the EbpC genotype. The following new genotypes CHS5, CHS11 and CHS12
were grouped with subgroup 1e with known genotypes
COG-1 (KJ850434) and F (AF135833). Compared with the
known genotype F (AF135833), one or several SNPs were
present (data not shown). The new genotype CHG9 dif-
fered from the genotype C (AF101199) at nucleotide posi-
tions 123 (G to A substitution), 230 (G to A substitution),
255(G to T substitution) and 284 (G to A substitution), g
The genotype BEB6 was the dominant genotype in
goat (41/139) and sheep isolates (60/91) in this study. In
goats, in addition to BEB6, the other dominant geno-
types, namely CHG1 and CHG3, were detected in 19
and 17 specimens, respectively. The genotypes CD6,
CHG5, EbpC, CHG2, F, and D were identified in nine,
seven, eight, six, four, and three specimens, respectively. Genotypes KIN-1, COS-I and CHG16 were observed in
two specimens each, while all other genotypes we identi-
fied were found in one specimen each. In sheep, the
genotype COS-I was the second dominant genotype,
being identified in 14 specimens. Genotypes CHG3
and CHS2 were identified in five and two specimens,
respectively, while all other genotypes we obtained
were identified in one specimen each. The genotype
distribution according to the age, gender and the
feeding habits of the animals is shown in Tables 2
and 3. Shi et al. Parasites & Vectors (2016) 9:23 Page 5 of 8 Table 3 Prevalence and ITS genotype distribution of E. bieneusi isolates by age group in goats and sheep
Species
Age group
(No. Phylogenetic analysis positive/
No.examined) (%)
Genotypes (na)
Goats
<3 m
18/82(22.0)
CHG1(1), CHG2(1), CD6(4), CHG5(1);
3-6 m
23/61(37.7)
BEB6(4), F(1), CD6(2), CHG1(5), CHG2(2), CHG3(3), CHG5(2), CHG14(1);
6 m-1y
17/65(26.2)
BEB6(10), E(2), CHG13(1), CHG18(1);
>1y
118/403(29.3)
BEB6(27), D(3), E(6), F(3), J(1), KIN-1(2), CD6(3), COS-I(2), CHG1(13), CHG2(3), CHG3(14), CHG5(4), CHG6(1),
CHG7(1), CHG8(1),CHG9(1), CHG10(1), CHG11(1), CHG12(1), CHG16(2), CHG17(1), CHG19(1), CHG20(1),
CHG21(1), CHG22(1), CHG23(1), CHG24(1), CHG25(1);
Subtotal
176/611(28.8)
BEB6(41), D(3), E(8), F(4), KIN-1(2), J(1), CD6(9), COS-I(2), CHG1(19), CHG2(6), CHG3(17), CHG5(7), CHG6(1),
CHG7(1), CHG8(1),CHG9(1), CHG10(1), CHG11(1), CHG12(1), CHG13(1), CHG14(1), CHG16(2), CHG17(1),
CHG18(1), CHG19(1), CHG20(1), CHG21(1), CHG22(1), CHG23(1), CHG24(1), CHG25(1);
Sheep
<3 m
13/25(52.0)
BFB6(9), CHS6(1), COS-I(2);
3-6 m
45/86(52.3)
BFB6(26), COS-I(6), CHG3(2), CHS3(1), CHS4(1), CHS5(1), CHS7(1), CHS8(1), CHS9(1), CHS11(1);
6 m-1y
20/52(38.5)
BEB6(7), CHS10(1), CHS12(1);
>1y
99/251(39.4)
BEB6(18), CM4(1), COS-I(6) ,CHG3(3), CHS3(1);
Subtotal
177/414(42.8)
BEB6(60), CHG3(5), COS-I(14), CM4(1), CHS3(2), CHS4(1), CHS5(1), CHS6(1), CHS7(1), CHS8(1),
CHS9(1), CHS10(1), CHS11(1),CHS12(1);
Total
353/1025(34.4)
F(4), KIN-1(2), J(1), CHG1(19), CHG2(6), CHG3(22), CD6(9), CHG5(7), CHG6(1), CHG7(1), CHG8(1), CHG9(1),
CHG10(1),CHG11(1),CHG12(1), CHG13(1), CHG14(1), COS-I(16), CHG16(2), CHG17(1), CHG18(1), CHG19(1),
CHG20(1), CHG21(1), CHG22(1),CHG24(1),CHG25(1), CM4(1), CHS3(2), CHS4(1), CHS5(1), CHS6(1), CHS7(1),
CHS8(1), CHS9(1), CHS10(1), CHS11(1), CHS12(1),BEB6(101), D(3), E(8), CHG23(1)
na, number of genotypes F(4), KIN-1(2), J(1), CHG1(19), CHG2(6), CHG3(22), CD6(9), CHG5(7), CHG6(1), CHG7(1), CHG8(1), CHG9(1),
CHG10(1),CHG11(1),CHG12(1), CHG13(1), CHG14(1), COS-I(16), CHG16(2), CHG17(1), CHG18(1), CHG19(1),
CHG20(1), CHG21(1), CHG22(1),CHG24(1),CHG25(1), CM4(1), CHS3(2), CHS4(1), CHS5(1), CHS6(1), CHS7(1),
CHS8(1), CHS9(1), CHS10(1), CHS11(1), CHS12(1),BEB6(101), D(3), E(8), CHG23(1) na, number of genotypes Province [37], while lower prevalence rates (22.5 % and
13.9 %) were detected in Heilongjiang Province [37] and
northeast China [35] in sheep. A higher E. bieneusi
prevalence (69.3 %) was found in sheep in Inner
Mongolia [34]. The differences in the prevalence be-
tween this study and others [6, 9, 34, 35, 37] are likely
due to differences in the age groups studied, as well as
the number of study animals, detection methods, and
the geographic and ecological environments. Here we
described the infection rates of E. bieneusi in different age
groups in sheep and goats and showed that there were no
significant differences among different age groups, which
was consistent with the conclusion obtained by Jiang and
others [35] but inconsistent with the results gained by
Stensvold [10]. In this study, we have described the preva-
lence of E. bieneusi by the gender and different feeding
habits of the host animals for the first time in detail, al-
though there were no significant differences between
them. Phylogenetic analysis Nevertheless, these results provide an useful refer-
ence data for researchers in this field. respectively, thus they formed subgroup 1 f. However, the
new genotypes CHG6 and CHG7 formed a cluster distinct
from any known subgroup 1. We found that 22 new geno-
types (CHG1–CHG3, CHG5, CHG8, CHG10–CHG14,
CHG16–CHG18, CHG20, CHG22, CHG24, CHS3, CHS4,
and CHS6–CHS9) and 7 known genotypes (CD6, COS-I,
BEB6, J, COS-III, NESH4 and CHN2) belonged to the
host-specific
group
2,
but
the
known
genotypes
J
(AF135837) and CHN2 (HM992510) formed one branch,
and the 22 new genotypes with the reported genotypes
CD6(KJ668733),
COS-I(KJ850432),COS-III(KP063053),
NESH4(KP732478) and BEB6(EU153584) formed another
clade. Compared with genotype BEB6 (EU153584), new
genotypes
CHG2,
CHG13,
CHG16,
CHG17,
CHS3,
CHS4, CHS7, CHS8 and CHS9 contained one SNP, geno-
types CHG3, CHG5, CHG12, CHG22 and CHS6 con-
tained two SNPs, genotypes CHG1, CHG14, CHG18 and
CHG20 contained three SNPs, and genotypes CHG11,
CHG10 and CHG24 contained 4, 11 and 13 SNPs, re-
spectively, the genotype CHG8 contained over 15 SNPs
(Additional file 2). However, the new genotype CHG21
was clustered with the CM4 (KF543866) genotype [20, this
study] in the group 9 [41] ( Additional file 3: Figure S1). All nine known genotypes identified in the present
study have been previously reported in China: the geno-
type BEB6 has been reported in one child (reported as
SH5, [30]), sheep [9], NHPs [20, 42], deer [36], cats [12]
and golden takins [43], even in urban wastewater [38]. This genotype was first detected in cattle in the United
States [13] and is considered to be a cattle-adopted
genotype. However, the genotype BEB6 was detected in
43.9 % (101/230) sequenced specimens and found in al-
most every farm (Additional file 1), which showed that na, number of genotypes Discussion In the present study, E. bieneusi was found to be a com-
mon parasite in sheep and goats. The prevalence of this
organism in healthy sheep and goats was 42.8 % and
28.8 %, respectively. A similar prevalence (21.8 %) was
reported
for
E. bieneusi
in
goats
in
Heilongjiang Shi et al. Parasites & Vectors (2016) 9:23 Page 6 of 8 Page 6 of 8 this genotype was observed as a dominant genotype with
a wide geographic distribution, extensive host range and
zoonotic potential both in the present study and in other
reports [9, 10, 23, 34–37]. The genotype D has been found
in AIDS patients [30], children [31], NHPs [33, 42], pigs
[8], dogs [12, 44], cats [12, 44], foxes [45], raccoon dogs
[45], cattle [46], golden takins [43], urban wastewater [38]
and drinking source watershed [47]. In this report, this
genotype was only found in goats, in contrast to the re-
sults reported in Heilongjiang Province [37]. Though the
genotype D only infected goats in this study, the transmis-
sion source and transmission dynamics of this genotype is
still unclear and further research is required to understand
the role of this genotype in microsporidiosis. The geno-
type EbpC has been found in HIV-positive and -negative
patients [30], children [31], NHPs [20, 33], dogs [12, 44],
pigs [8, 9], lake water [32], red pandas [48] and urban
wastewater [38]. Here, the genotype EbpC was detected
only in goat specimens, which was similar to the results of
Zhao et al [37], but was in contrast with Li et al [35]. The
genotype F has been found in children [31], pigs [8], cattle
[46] and wastewater [38]. Genotypes J has been reported
in humans [11], cattle [49] and yaks [50], KIN-1 in
humans (JQ437573, unpublished), CD6(KJ668733), COS-
I(KJ850432) (syn. CM7) in sheep [35, 37], deer [51] and
NHPs [20], CM4 in NHPs [20] and CD6 in dogs [20]. prevalence, and considerable genetic diversity in E. bien-
eusi genotypes from farmed goats and sheep, which may
cause microsporidiosis among sheep, goats, other animals
and humans resulting in economic losses in animal hus-
bandry. Moreover, many genotypes from this study have
been reported in humans and urban wastewater in China,
which may result in zoonotic transmission. Therefore,
contact between susceptible human populations and goats
or sheep should be avoided to reduce zoonotic or anthro-
ponotic parasite transmission. Discussion Further studies are needed
to fully elucidate the importance of goats and sheep in the
epidemiology of human microsporidiosis. References 1. Keeling PJ, Fast NM. Microsporidia: biology and evolution of highly reduced
intracellular parasites. Annu Rev Microbiol. 2002;56:93–116. 1. Keeling PJ, Fast NM. Microsporidia: biology and evolution of highly reduced
intracellular parasites. Annu Rev Microbiol. 2002;56:93–116. 2. Keeling P. Five questions about microsporidia. PLoS Pathog. 2009;5:
e1000489. 2. Keeling P. Five questions about microsporidia. PLoS Pathog. 2009;5:
e1000489. 2. Keeling P. Five questions about microsporidia. PLoS Pathog. 2009;5:
e1000489. 3. Santín M, Fayer R. Microsporidiosis: Enterocytozoon bieneusi in domesticated
and wild animals. Res Vet Sci. 2011;90:363–71. 3. Santín M, Fayer R. Microsporidiosis: Enterocytozoon bieneusi in domesticated
and wild animals. Res Vet Sci. 2011;90:363–71. 4. Desportes I, Le Charpentier Y, Galian A, Bernard F, Cochand-Priollet B,
Lavergne A, et al. Occurrence of a new microsporidan: Enterocytozoon
bieneusi n. g., n. sp., in the enterocytes of a human patient with AIDS. J Protozool. 1985;32:250–4. Authors’ contributions CSN conceived and designed the experiments; KS, MJL, and XXW performed
the experiments; KS, JQL and MRK analyzed the data; KS, RJW, LXZ, FCJ and
CSN wrote the manuscript. All the authors have read and approved the final
version of the manuscript. Phylogenetic analysis showed that 10 new E. bieneusi
genotypes (CHG6, CHG7, CHG9, CHG19, CHG23,
CHG25, CHS5, CHS10, CHS11, and CHS12) belonged
to the so-called group 1 with zoonotic potential [39]. This finding merits close attention because of the ability of
these genotypes to cause E. bieneusi-related microsporidio-
sis in humans. The other 22 new genotypes (CHG1–
CHG3, CHG5, CHG8, CHG10–CHG14, CHG16–CHG18,
CHG20, CHG22, CHG24, CHS3, CHS4, and CHS6–
CHS9) were classified into the cattle-specific group 2 [39]. Some genotypes from this group initially considered to be
cattle-specific (such as BEB6 and J), were later found in
other animals including humans [11, 12, 20, 30, 50, this re-
search], therefore some genotypes in the group 2 may have
limited zoonotic potential and should be examined in more
detail. The remaining new genotype CHG21 with only one
SNP compared with the genotype CM4 formed a cluster, in
the previously described group 9 [41]. Additional files Additional file 1: Prevalence and genotype distribution of E. bieneusi
in goats and sheep on each farm. (DOC 117 kb) Additional file 1: Prevalence and genotype distribution of E. bieneusi
in goats and sheep on each farm. (DOC 117 kb) Additional file 2: Nucleotide substitutions among some new
genotypes of E. bieneusi from this study versus the reported
genotype BEB6 (EU 153584). (DOC 132 kb) Additional file 3: Figure S1. FIG 1 Phylogenetic relationships of the E. bieneusi genotypes identified in this study and other reported genotypes,
as inferred by neighbor-joining analysis of ITS gene sequences based on
the distances calculated using the Kimura 2-parameter model. Bootstrap
values >50 % from 1000 replicates are shown on the nodes. The tree was
rooted with GenBank sequence AF059610 from a dog. Known genotypes
observed in goats and sheep are marked with open squares and triangles,
and the new genotypes in goats and sheep from this study are indicated
by filled squares and triangles. (TIF 2078 kb) Among the nine established genotypes found in this
study, six (BEB6, D, EbpC, F, KIN-1, J) genotypes have been
reported in humans [11, 30, 31]. Thus, some of the geno-
types in sheep and goats have zoonotic potential, and sheep
and goats may be reservoirs of human microsporidiosis. Competing interests
Th
h
d
l
h p
g
The authors declare that they have no competing interests. Acknowledgments This work was supported by the Earmarked Fund for China Modern Agro-
industry Technology Research System (nycytx-39) and the Collaborative
Innovation Center of Modern Animal Husbandry, Henan Province, China. We
thanks for Professor Una Ryan from School of Veterinary and Life Sciences,
Murdoch University, Murdoch, Western Australia, to copy-edit our MS. Received: 3 August 2015 Accepted: 10 January 2016 Received: 3 August 2015 Accepted: 10 January 2016 Conclusions 12. Karim MR, Dong H, Yu F, Jian F, Zhang L, Wang R, et al. Genetic diversity in
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characterization of microsporidia indicates that wild mammals harbor host-
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Ma J, Cai J, Ma J, Feng Y, Xiao L. Enterocytozoon bieneusi genotypes in yaks
(Bos grunniens) and their public health potential. J Eukaryot Microbiol.
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bieneusi in dairy cattle in the Northeast of China: genetic diversity of ITS
gene and evaluation of zoonotic transmission potential. J Eukaryot
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cattle in the eastern United States. Parasitol Res. 2005;97:535–8. 27. Santín M, Trout JM, Vecino JA, Dubey JP, Fayer R. Cryptosporidium, Giardia
and Enterocytozoon bieneusi in cats from Bogota (Colombia) and
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source of Enterocytozoon bieneusi genotypes in a drinking source
watershed. Appl Environ Microbiol. 2014;80:218–25. 28. Sulaiman IM, Bern C, Gilman R, Cama V, Kawai V, Vargas D, et al. A molecular
biologic study of Enterocytozoon bieneusi in HIV infected patients in Lima, Peru. J Eukaryot Microbiol. 2003;50:591–6. 48. Tian GR, Zhao GH, Du SZ, Hu XF, Wang HB, Zhang LX, et al. First report
of Enterocytozoon bieneusi from giant pandas (Ailuropoda melanoleuca)
and red pandas (Ailurus fulgens) in China. Infect Genet Evol. 2015;34:32–5. 29. Abe N, Kimata I, Iseki M. Molecular evidence of Enterocytozoon bieneusi in
Japan. J Vet Med Sci. 2009;71:217–9. 30. Wang L, Zhang H, Zhao X, Zhang L, Zhang G, Guo M, et al. Zoonotic
Cryptosporidium species and Enterocytozoon bieneusi genotypes in HIV-
positive patients on antiretroviral therapy. J Clin Microbiol. 2013;51:557–63. 49. Ma J, Li P, Zhao X, Xu H, Wu W, Wang Y, et al. Occurrence and molecular
characterization of Cryptosporidium spp. and Enterocytozoon bieneusi in dairy
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Zhang Z, Huang J, Karim MR, Zhao J, Dong H, Ai W, et al. Zoonotic
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Ma J, Cai J, Ma J, Feng Y, Xiao L. Enterocytozoon bieneusi genotypes in yaks
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51.
Zhang Z, Huang J, Karim MR, Zhao J, Dong H, Ai W, et al. Zoonotic
Enterocytozoon bieneusi genotypes in Pere David’s deer (Elaphurus
davidianus) in Henan, China. Exp Parasitol. 2015;155:46–8. Conclusions Concurrent infections of
Giardia duodenalis, Enterocytozoon bieneusi, and Clostridium difficile in Page 8 of 8 Page 8 of 8 • We accept pre-submission inquiries
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The Dark Annulus of a Drop in a Hele-Shaw Cell Is Caused by the Refraction of Light through Its Meniscus
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University of Nebraska - Lincoln
University of Nebraska - Lincoln
DigitalCommons@University of Nebraska - Lincoln
DigitalCommons@University of Nebraska - Lincoln Mechanical & Materials Engineering,
Department of Mechanical & Materials Engineering,
Department of Citation: Ryu, S.; Zhang, H.; Emeigh,
C. The Dark Annulus of a Drop in a
Hele-Shaw Cell Is Caused by the
Refraction of Light through Its
Meniscus. Micromachines 2022, 13,
1021. https://doi.org/10.3390/
mi13071021 Keywords: confocal fluorescence microscopy; 3D imaging; microchannel; image processing; surface
tension coefficient; refractive index; ray optics; micro optofluidics Academic Editor: Nam-Trung
Nguyen The Dark Annulus of a Drop in a Hele-Shaw Cell Is Caused by the
The Dark Annulus of a Drop in a Hele-Shaw Cell Is Caused by the
Refraction of Light through Its Meniscus
Refraction of Light through Its Meniscus Sangjin Ryu
Haipeng Zhang
Carson Emeigh Follow this and additional works at: https://digitalcommons.unl.edu/mechengfacpub
Part of the Mechanics of Materials Commons, Nanoscience and Nanotechnology Commons, Other
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This Article is brought to you for free and open access by the Mechanical & Materials Engineering, Department of
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at DigitalCommons@University of Nebraska - Lincoln. It has been accepted for inclusion in Mechanical & Materials
Engineering Faculty Publications by an authorized administrator of DigitalCommons@University of Nebraska -
Lincoln. micromachines micromachines micromachines Article
The Dark Annulus of a Drop in a Hele-Shaw Cell Is Caused by
the Refraction of Light through Its Meniscus Sangjin Ryu 1,2,*
, Haipeng Zhang 1 and Carson Emeigh 1 Sangjin Ryu 1,2,*
, Haipeng Zhang 1 and Carson Emeigh 1 1
Department of Mechanical and Materials Engineering, University of Nebraska-Lincoln,
Lincoln, NE 68588, USA; haipengz@uic.edu (H.Z.); carsonemeigh0521@gmail.com (C.E.)
2
Nebraska Center for Materials and Nanoscience, University of Nebraska-Lincoln, Lincoln, NE 68588, USA
*
Correspondence: sryu2@unl.edu 1
Department of Mechanical and Materials Engineering, University of Nebraska-Lincoln,
Lincoln, NE 68588, USA; haipengz@uic.edu (H.Z.); carsonemeigh0521@gmail.com (C.E.) *
Correspondence: sryu2@unl.edu Abstract: Knowing the meniscus shape of confined drops is important for understanding how they
make first contact and then coalesce. When imaged from the top view by brightfield microscopy,
a liquid drop (e.g., corn syrup) confined in a Hele-Shaw cell, surrounded by immiscible liquid
(e.g., mineral oil), had a dark annulus, and the width of the annulus decreased with increasing
concentration of corn syrup. Since the difference in the annulus width was presumed to be related to
the meniscus shape of the drops, three-dimensional images of the drops with different concentrations
were obtained using confocal fluorescence microscopy, and their cross-sectional meniscus profile
was determined by image processing. The meniscus of the drops remained circular despite varying
concentration. Since the refractive index of corn syrup increased with concentration, while the
surface tension coefficient between corn syrup and mineral oil remained unchanged, the observed
change in the annulus width was then attributed to the refraction of light passing through the drop’s
meniscus. As such, a ray optics model was developed, which predicted that the annulus width of the
drop would decrease as the refractive index of the drop approached that of the surrounding liquid. Therefore, the dark annulus of the drops in the Hele-Shaw cell was caused by the refraction of light
passing through the circular meniscus of the drop. 1. Introduction used CFM to obtain the 3D profile of a liquid drop on a solid surface and then to measure
the contact angle of the drop [7,8]. Similarly, Kilmametov et al. could measure the height
and volume of a spherical cap of a liquid filling a cylindrical cavity using CFM [10]. Re-
cently, Tress et al. and Singh et al. characterized the shape evolution of an evaporating
liquid film or meniscus using CFM [11,13]. Confocal fluorescence microscopy (CFM) has been used to image the 3D shape of
a meniscus between two immiscible fluids and to obtain a cross-sectional profile of the
meniscus [4–14]. CFM yields clear thin optical sections by reducing blurring in the image
from out-of-focus light scattering, and the obtained optical sections can be assembled to
reconstruct a 3D image. As such, CFM is well suited for imaging the interface, or meniscus,
of a liquid drop with immiscible media. For instance, Sundberg et al. and Salim et al. used
CFM to obtain the 3D profile of a liquid drop on a solid surface and then to measure the
contact angle of the drop [7,8]. Similarly, Kilmametov et al. could measure the height and
volume of a spherical cap of a liquid filling a cylindrical cavity using CFM [10]. Recently,
Tress et al. and Singh et al. characterized the shape evolution of an evaporating liquid film
or meniscus using CFM [11,13]. q
g
In this study, we imaged corn syrup drops of various concentrations in a Hele-Shaw
cell filled with mineral oil using CFM. Note that these liquids are immiscible. Because of
the small gap height of the Hele-Shaw cell, it was very challenging to directly observe the
meniscus shape from side-view imaging. Instead, a fluorescent dye was added to corn
syrup, and its drop was imaged using CFM, which enabled reconstructing a 3D image of
the drop meniscus. Then the obtained 3D image was processed to determine the thickness
and meniscus profile of the drop based on the cross-sectional images of the drop. The
width of the dark annulus was measured from brightfield images of the drops. In the end,
a ray optics model was developed to understand why the annulus width changed as the
drop concentration changed. In this study, we imaged corn syrup drops of various concentrations in a Hele-Shaw
cell filled with mineral oil using CFM. Note that these liquids are immiscible. 1. Introduction When the drop meniscus is
convex, the initial contact between two drops occurs near the equator of the drops. If the
meniscus is concave (e.g., catenoid-shaped water drops between two hydrophilic sur-
faces), the initial contact would occur near the contact line. If the meniscus is flat, the coa-
lescence dynamics can be different from one with curved menisci. Therefore, it is im-
portant to know the meniscus shape of liquid drops for predicting how they will make an
initial contact and then merge in Hele-Shaw cells. Knowing the meniscus shape of the drops in the Hele-Shaw cell is important for
understanding the coalescence of those drops. For instance, Yokota and Okumura showed
that when two drops coalesced in a Hele-Shaw cell, the liquid neck connecting the drops
initially grew radially outward until the diameter of the neck became comparable to the
gap height of the Hele-Shaw cell [2,3]. Then, this three-dimensional (3D) neck growth
became a two-dimensional (2D) neck growth: the neck grew in the spanwise direction of
the Hele-Shaw cell because the width of the neck became larger than the gap height. The
observed dimensional crossover in the drop coalescence occurring in the Hele-Shaw cell
is thought to be affected by the meniscus shape of the drops. When the drop meniscus is
convex, the initial contact between two drops occurs near the equator of the drops. If the
meniscus is concave (e.g., catenoid-shaped water drops between two hydrophilic surfaces),
the initial contact would occur near the contact line. If the meniscus is flat, the coalescence
dynamics can be different from one with curved menisci. Therefore, it is important to know
the meniscus shape of liquid drops for predicting how they will make an initial contact and
then merge in Hele-Shaw cells. Confocal fluorescence microscopy (CFM) has been used to image the 3D shape of a
meniscus between two immiscible fluids and to obtain a cross-sectional profile of the me-
niscus [4–14]. CFM yields clear thin optical sections by reducing blurring in the image
from out-of-focus light scattering, and the obtained optical sections can be assembled to
reconstruct a 3D image. As such, CFM is well suited for imaging the interface, or menis-
cus, of a liquid drop with immiscible media. For instance, Sundberg et al. and Salim et al. 1. Introduction The concentration, diameter, and dark ring width of the drops were (a) 18% w/w, 3.73 mm, and
103 µm, (b) 67% w/w, 3.43 mm, and 37 µm, (c) 82% w/w, 3.70 mm, and 9 µm. Inset: circles fitted
against the outer (red) and inner (green) boundaries of the dark annulus of the drop. Figure 1. Top-view images of corn syrup drops in a 1 mm thick Hele-Shaw cell filled with mineral
oil. The concentration, diameter, and dark ring width of the drops were (a) 18% w/w, 3.73 mm, and
103 µm, (b) 67% w/w, 3.43 mm, and 37 µm, (c) 82% w/w, 3.70 mm, and 9 µm. Inset: circles fitted
against the outer (red) and inner (green) boundaries of the dark annulus of the drop. Figure 1. Top-view images of corn syrup drops in a 1 mm thick Hele-Shaw cell filled with mineral
oil. The concentration, diameter, and dark ring width of the drops were (a) 18% w/w, 3.73 mm, and
103 µm, (b) 67% w/w, 3.43 mm, and 37 µm, (c) 82% w/w, 3.70 mm, and 9 µm. Inset: circles fitted
against the outer (red) and inner (green) boundaries of the dark annulus of the drop. Figure 1. Top-view images of corn syrup drops in a 1 mm thick Hele-Shaw cell filled with mineral
oil. The concentration, diameter, and dark ring width of the drops were (a) 18% w/w, 3.73 mm, and
103 µm, (b) 67% w/w, 3.43 mm, and 37 µm, (c) 82% w/w, 3.70 mm, and 9 µm. Inset: circles fitted
against the outer (red) and inner (green) boundaries of the dark annulus of the drop. Knowing the meniscus shape of the drops in the Hele-Shaw cell is important for un-
derstanding the coalescence of those drops. For instance, Yokota and Okumura showed
that when two drops coalesced in a Hele-Shaw cell, the liquid neck connecting the drops
initially grew radially outward until the diameter of the neck became comparable to the
gap height of the Hele-Shaw cell [2,3]. Then, this three-dimensional (3D) neck growth be-
came a two-dimensional (2D) neck growth: the neck grew in the spanwise direction of the
Hele-Shaw cell because the width of the neck became larger than the gap height. The ob-
served dimensional crossover in the drop coalescence occurring in the Hele-Shaw cell is
thought to be affected by the meniscus shape of the drops. 1. Introduction The presented study began with an intriguing observation that the dark annulus
of a disc-shaped drop, which was formed in a Hele-Shaw cell filled with an immiscible
liquid, changed in width as the concentration of the drop varied. To investigate the
coalescence of drops in the Hele-Shaw cell, we filled a straight microchannel with mineral
oil, generated drops of corn syrup, and captured top-view images of the drops using
brightfield microscopy. In the images, the drop had a dark ring, or annulus, along its
interface with the ambient liquid. As the concentration of corn syrup increased, the width
of the dark annulus decreased, as shown in Figure 1. Received: 1 June 2022
Accepted: 27 June 2022
Published: 28 June 2022 Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations. Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations. Previously, we proposed determining the contact angle between a liquid drop and a
solid surface by measuring the width of the dark annulus of the drop formed in air between
two parallel surfaces of the solid with a small gap (i.e., Hele-Shaw cell) [1]. In our previous
study, we found that the width of the dark annulus increased with the contact angle, which
was presumably because the meniscus profile of the drop changed as the contact angle
changed. The result of the previous study led us to think that the width change in the dark
annulus, seen in Figure 1, was due to changes in the meniscus profile of the drop. However,
it was noted that the drop meniscus in Figure 1 might not have a contact line because the
drop was formed in oil that filled the Hele-Shaw cell. Thus, it could be misleading to guess
the cross-sectional profile of the drop meniscus based on the dark annulus. Copyright:
© 2022 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
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terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). https://www.mdpi.com/journal/micromachines Micromachines 2022, 13, 1021. https://doi.org/10.3390/mi13071021 Micromachines 2022, 13, 1021 2 of 10
d on the Figure 1. Top-view images of corn syrup drops in a 1 mm thick Hele-Shaw cell filled with mineral
oil. 2. Materials and Methods 2.1. Measurement of Surface Tension Coefficient and Refractive Index 2.1. Measurement of Surface Tension Coefficient and Refractive Index Corn syrup (Light Corn Syrup, Karo) was used as the drop liquid and mineral oil (Food
Grade Mineral Oil, Bluewater Chemgroup) as the ambient liquid filling the Hele-Shaw
cell. Corn syrup was diluted by mixing it with deionized water (diH2O) at weight/weight
percentage concentrations (c) of 18%, 67%, and 82%. Here, c = 100% w/w means intact corn
syrup without any dilution. For CFM imaging, a fluorescent dye (0.1% w/v of fluorescein
sodium salt solution, 46960-100G-F, Sigma-Aldrich, St. Louis, MO, USA) was added to corn
syrup solutions with a concentration of 4.8% v/v in a centrifugal tube covered by aluminum
foil. After the tube was shaken on a mixer for complete mixing of the dye and corn syrup,
it stood still overnight to remove air bubbles from the solution. g
The surface tension coefficient (γ) between corn syrup and mineral oil was measured
using a goniometer (Attension Theta, Biolin Scientific, Gothenburg, Sweden). A cuvette
filled with mineral oil was placed on the stage of the goniometer and corn syrup was
slowly injected into the oil through a needle by using a syringe pump, to form a pendant
drop of a desired size suspending at the needle tip. Upon reaching a steady shape, the
drop was imaged for 10 s and γ was determined based on the shape of the drop. The γ
measurement was repeated five times for each concentration of corn syrup. Measured
values are summarized in Table 1 in the format of mean ± standard deviation. It needs to be
noted that corn syrup solutions for the γ measurement did not include the fluorescent dye. Since the concentration of the dye in the corn syrup was very low, negligible change in γ
due to the dye was assumed [15]. As a validation, the γ of diH2O in air was measured to be
70 mN/m with the same procedure, which agreed well with the known value (72.75 mN/m
at 20 ◦C) [16]. Table 1. Properties of the used fluids. Liquid
Density
(g/cm3)
Surface Tension Coefficient
(mN/m)
Refractive Index
(-)
Mineral oil
0.87
-
1.467
Corn syrup
(18% w/w)
1.04
39.2 ± 0.7
1.353
Corn syrup
(67% w/w)
1.26
41.1 ± 1.2
1.421
Corn syrup
(82% w/w)
1.31
40.0 ± 0.3
1.445 Table 1. Properties of the used fluids. 1. Introduction Because of
the small gap height of the Hele-Shaw cell, it was very challenging to directly observe the
meniscus shape from side-view imaging. Instead, a fluorescent dye was added to corn
syrup, and its drop was imaged using CFM, which enabled reconstructing a 3D image of
the drop meniscus. Then the obtained 3D image was processed to determine the thickness
and meniscus profile of the drop based on the cross-sectional images of the drop. The width
of the dark annulus was measured from brightfield images of the drops. In the end, a ray
optics model was developed to understand why the annulus width changed as the drop
concentration changed. Micromachines 2022, 13, 1021 3 of 10 2. Materials and Methods The refractive index (RI) of the used liquids was measured by using a refractometer
(0-95 Bx/1.33-1.54 RI, VWR, Radnor, PA, USA). The RI measurement was repeated three
times for each sample, and variance was negligible. As a validation, the RI of calibration
fluids (RP-CAL46P and RP-CAL60P, Laxco, Mill Creek, WA, USA) was measured to be
46.6 and 60.4, respectively, which were very close to the nominal RI values (46 and 60)
of the calibration fluids. As shown in Table 1, the RI of corn syrup increased with the
concentration [17–19]. The density of the working fluids (ρ) was measured by measuring the mass of the fluid
with a known volume (500 µL or 1000 µL). Repeated measurements showed negligible
variance in measured ρ values. 2.2. Fabrication of the Hele-Shaw Cell The gap height in the Hele-Shaw cell (h) was determined based on the following
consideration of the Bond number (Bo) to ignore any gravitational effects on the drop
meniscus. This condition could be achieved when the Bond number (Bo = ∆ρgh2/γ) was
smaller than unity (i.e., Bo < 1). Here, ∆ρ is the density difference between corn syrup and
mineral oil, and g is the acceleration of gravity (9.8 m/s2). Since h needed to be smaller
than 2.4 mm, h = 1 mm was selected. 4 of 10 Micromachines 2022, 13, 1021 A Hele-Shaw cell was made of polydimethylsiloxane (PDMS) and it consisted of
two PDMS layers: a microchannel layer and a thin PDMS layer coated on a glass plate. The
microchannel layer was fabricated using soft lithography as follows. A master mold was
prepared by attaching a piece of 1 mm thick glass coverslip (18 mm × 45 mm) to a glass
slide by using adhesive film. The surface of the mold was cleaned by isopropyl alcohol
(IPA) and diH2O, and then dried with nitrogen gas. Then, the mold was fixed in a Petri
dish. Separately, the base and crosslinking agent of PDMS (Sylgard 184, Dow-Corning,
Midland, MI, USA) were mixed with a weight ratio of 10:1. 20–25 g of the PDMS mixture
was required to make one channel layer of around 4 mm thickness. Well-mixed PDMS
was poured onto the mold, and then it was degassed for at least one hour in a vacuum
chamber to remove air bubbles from the PDMS mixture. After degassing, PDMS was cured
overnight at 60 ◦C in an oven. After PDMS was fully cured, the channel layer was cut and
peeled off from the mold carefully. In the end, a biopsy punch was used to punch one
0.5 mm diameter hole on the channel layer for liquid injection. R REVIEW
4 of 12
oil, and g is the acceleration of gravity (9.8 m/s2). Since h needed to be smaller than 2.4
mm, h = 1 mm was selected. A Hele-Shaw cell was made of polydimethylsiloxane (PDMS) and it consisted of two
PDMS layers: a microchannel layer and a thin PDMS layer coated on a glass plate. The
microchannel layer was fabricated using soft lithography as follows. 2.2. Fabrication of the Hele-Shaw Cell A master mold was
prepared by attaching a piece of 1 mm thick glass coverslip (18 mm 45 mm) to a glass
slide by using adhesive film. The surface of the mold was cleaned by isopropyl alcohol
(IPA) and diH2O, and then dried with nitrogen gas. Then, the mold was fixed in a Petri
dish. Separately, the base and crosslinking agent of PDMS (Sylgard 184, Dow-Corning,
Midland, MI, USA) were mixed with a weight ratio of 10:1. 20–25 g of the PDMS mixture
was required to make one channel layer of around 4 mm thickness. Well-mixed PDMS
was poured onto the mold, and then it was degassed for at least one hour in a vacuum
chamber to remove air bubbles from the PDMS mixture. After degassing, PDMS was
d
i ht t 60 °C i
Aft
PDMS
f ll
d th
h
l l y
q
j
For the bottom PDMS layer, a glass slide (75 mm × 50 mm) was cleaned in IPA and
diH2O, and then dried by nitrogen gas. Afterwards, the glass slide was loaded in a spin
coater (WS-650MZ-23NPPB, Laurell, North Wales, PA, USA) and 2 g of mixed-and-degassed
PDMS was poured onto the glass slide. The glass slide was spun at 1000 rpm for one minute
to uniformly spread out PDMS. As a result, a 60 µm thick PDMS layer was formed on the
plate [20]. Then, the PDMS layer on the glass slide was cured overnight at 60 ◦C. cured overnight at 60 °C in an oven. After PDMS was fully cured, the channel layer was
cut and peeled off from the mold carefully. In the end, a biopsy punch was used to punch
one 0.5 mm diameter hole on the channel layer for liquid injection. For the bottom PDMS layer, a glass slide (75 mm × 50 mm) was cleaned in IPA and
diH2O, and then dried by nitrogen gas. Afterwards, the glass slide was loaded in a spin
coater (WS-650MZ-23NPPB, Laurell, North Wales, PA, USA) and 2 g of mixed-and-de-
gassed PDMS was poured onto the glass slide. The glass slide was spun at 1000 rpm for
one minute to uniformly spread out PDMS. As a result, a 60 µm thick PDMS layer was When the two layers were put together, they formed a Hele-Shaw cell of the desired
gap height (h = 1 mm). 2.2. Fabrication of the Hele-Shaw Cell The gap height of the Hele-Shaw cell was confirmed by imaging
the bottom surface of the PDMS channel layer, which would face the PDMS layer of the
glass plate, using a laser scanning confocal microscope (VK-X200, Keyence), as shown
in Figure 2a. The tilting angle of the obtained surface image was corrected using the
three-point method. The h of the Hele-Shaw cell was measured by finding the height
difference between the bottom and top surfaces of the channel. As shown in Figure 2b, h
was measured to be 1.04 mm, which was very close to the desired value (=1 mm). one minute to uniformly spread out PDMS. As a result, a 60 µm thick PDMS layer was
formed on the plate [20]. Then, the PDMS layer on the glass slide was cured overnight at
60 °C. When the two layers were put together, they formed a Hele-Shaw cell of the desired
gap height (h = 1 mm). The gap height of the Hele-Shaw cell was confirmed by imaging
the bottom surface of the PDMS channel layer, which would face the PDMS layer of the
glass plate, using a laser scanning confocal microscope (VK-X200, Keyence), as shown in
Figure 2a. The tilting angle of the obtained surface image was corrected using the three-
point method. The h of the Hele-Shaw cell was measured by finding the height difference
between the bottom and top surfaces of the channel. As shown in Figure 2b, h was meas-
ured to be 1.04 mm, which was very close to the desired value (=1 mm). Figure 2. (a) The surface topography of the PDMS channel layer of the Hele-Shaw cell. Color bar:
height. (b) The cross-sectional profile of the PDMS channel layer. 2 3 C
f
l Fl
Mi
I
i
f
D
Figure 2. (a) The surface topography of the PDMS channel layer of the Hele-Shaw cell. Color bar:
height. (b) The cross-sectional profile of the PDMS channel layer. Figure 2. (a) The surface topography of the PDMS channel layer of the Hele-Shaw cell. Color bar:
height. (b) The cross-sectional profile of the PDMS channel layer. Figure 2. (a) The surface topography of the PDMS channel layer of the Hele-Shaw cell. Color bar:
height. (b) The cross-sectional profile of the PDMS channel layer. 2.4. Image Processing The thickness and cross-sectional images of the drop were obtained by processing the
tiff image file of the drop using MATLAB (MathWorks) [21]. First, the axis of symmetry of
the drop was identified. The 20–30 2D images of the drop were converted to binary images
using “imbinarize” In each binary image, the drop and the ambient oil looked white and
black, respectively. Then, the boundary of the drop was traced using “bwboundaries” and
a circle was fitted against the identified boundary using Kasa’s circular fitting method [22]. Then the obtained center coordinates were averaged to determine the coordinate of the axis
of symmetry of the drop. Second, the two cross-sections of the drop were obtained from the reconstructed 3D
image with respect to the found axis of symmetry: one for the xz-plane and the other
for the yz-plane (Figure 3). On the basis of the gradient of fluorescence intensity in the
z-direction, pixels for the maximum gradient magnitude were found in each cross-section,
which indicated the drop−oil interface. Since the top and bottom interfaces of the drop
were horizontal, the z-coordinates of the found pixels were averaged. Then, the thickness
of the drop was determined by finding the difference in the zavg between the top and
bottom interfaces. ER REVIEW
6 of 12 Figure 3. Confocal fluorescence images of the corn syrup drop at a concentration of (a) 18%, (b) 67%,
and (c) 82%. Top row: 3D rendered image of the drops. Middle row: xz- and yz-cross-section of the
drop. The left boundary of the images corresponds to the axis of symmetry. Red dashed lines: the
top and bottom surface of the drop. Cyan dotted circle: Circle fitted against the identified meniscus
of the drop. Scale bar: 1 mm. Bottom row: Comparison of the identified meniscus profiles between
the xz- and yz-cross-sections. Last, the meniscus of the drop was identified from each of the cross-sections by find-
ing pixels for the maximum gradient magnitude of fluorescence intensity in the x- or y-
direction Then a circular fitting based on Kasa’s method was conducted against the iden-
Figure 3. Confocal fluorescence images of the corn syrup drop at a concentration of (a) 18%, (b) 67%,
and (c) 82%. Top row: 3D rendered image of the drops. Middle row: xz- and yz-cross-section of the
drop. The left boundary of the images corresponds to the axis of symmetry. 2.3. Confocal Fluorescence Microscopy Imaging of a Drop
A confocal fluorescence microscope (A1R-Ti2, Nikon, Melville
2.3. Confocal Fluorescence Microscopy Imaging of a Drop A confocal fluorescence microscope (A1R Ti2, Nikon, Melville, NY, USA) was used
for imaging the drop. A transparent container filled with mineral oil was placed on the
stage of the microscope. The Hele-Shaw cell was submerged in the oil and then fixed by
placing weights on it. Then, the corn syrup solution with the fluorescent dye was injected
through the injection hole of the Hele-Shaw cell using a syringe and tubing. By pushing
the plunger of the syringe manually, a corn syrup drop was grown in the Hele-Shaw cell
A confocal fluorescence microscope (A1R-Ti2, Nikon, Melville, NY, USA) was used for
imaging the drop. A transparent container filled with mineral oil was placed on the stage
of the microscope. The Hele-Shaw cell was submerged in the oil and then fixed by placing
weights on it. Then, the corn syrup solution with the fluorescent dye was injected through
the injection hole of the Hele-Shaw cell using a syringe and tubing. By pushing the plunger
of the syringe manually, a corn syrup drop was grown in the Hele-Shaw cell slowly. The
injection was stopped when the drop had grown to an approximate diameter of 3.5 mm,
and then the device stood still for two minutes to stabilize the drop. p
The drop was imaged by using the microscope with a 4× objective lens (Plan Apo
λ, NA = 0.2) and a z-step size of 20 µm. The excitation and emission wavelengths were
486 nm and 525 nm, respectively. Since the vertical scanning range was 1.1–1.5 mm, which
included the entire gap height of the Hele-Shaw cell, 55–70 layers of 2D fluorescent images Micromachines 2022, 13, 1021 5 of 10 5 of 10 were obtained. The size of 2D images was 1024 pixel × 1024 pixel, and the pixel size
was 3.11 µm/pixel. 2D images were re-constructed into a 3D image using the microscope
software (NIS Elements Viewer, Nikon, Melville, NY, USA), and then the 3D image was
saved as a gray-scale tiff image file. A bright-field image of the top view of the drop was
also captured. 2.4. Image Processing Red dashed lines: the top
and bottom surface of the drop. Cyan dotted circle: Circle fitted against the identified meniscus of
the drop. Scale bar: 1 mm. Bottom row: Comparison of the identified meniscus profiles between the
xz- and yz-cross-sections. Figure 3. Confocal fluorescence images of the corn syrup drop at a concentration of (a) 18%, (b) 67%,
and (c) 82%. Top row: 3D rendered image of the drops. Middle row: xz- and yz-cross-section of the
drop. The left boundary of the images corresponds to the axis of symmetry. Red dashed lines: the
top and bottom surface of the drop. Cyan dotted circle: Circle fitted against the identified meniscus
of the drop. Scale bar: 1 mm. Bottom row: Comparison of the identified meniscus profiles between
the xz- and yz-cross-sections. Last, the meniscus of the drop was identified from each of the cross-sections by find-
ing pixels for the maximum gradient magnitude of fluorescence intensity in the x- or y-
Figure 3. Confocal fluorescence images of the corn syrup drop at a concentration of (a) 18%, (b) 67%,
and (c) 82%. Top row: 3D rendered image of the drops. Middle row: xz- and yz-cross-section of the
drop. The left boundary of the images corresponds to the axis of symmetry. Red dashed lines: the top
and bottom surface of the drop. Cyan dotted circle: Circle fitted against the identified meniscus of
the drop. Scale bar: 1 mm. Bottom row: Comparison of the identified meniscus profiles between the
xz- and yz-cross-sections. Micromachines 2022, 13, 1021 6 of 10 6 of 10 Last, the meniscus of the drop was identified from each of the cross-sections by
finding pixels for the maximum gradient magnitude of fluorescence intensity in the x- or
y-direction. Then, a circular fitting based on Kasa’s method was conducted against the
identified meniscus. 3. Results and Discussion 3.1. Brightfield Images: Dependence of the Dark Ring Width on Concentration Figure 1 shows the brightfield, top-view images of corn syrup drops, with three
different concentration (c) values (Table 1) in the Hele-Shaw cell with a gap height of
h = 1 mm. The diameters of the drops (D) were around 3.5 mm. The dark annulus can be
seen clearly at the interface between the drops and the oil, and the dark annulus became
thinner with the increasing concentration of the corn syrup solution. g
y
p
The width of the dark ring (w) was measured as follows. First, the inner and outer
perimeter of the dark ring was identified by image processing in a similar way as described
in Section 2.4. Second, circles were fitted against the perimeter using Kasa’s method. As
shown in the inset of Figure 1a, the fitted circles agreed well with the identified perimeters. Last, the difference in the radius between the circles was determined as the width of the
dark annuls. Using this approach, w was measured to be 103 µm, 37 µm, and 9 µm for
concentrations of 18%, 67%, and 82%, respectively. The observed relationship between w and c is thought to be due to the change in
refractive index (RI). The meniscus profile of the drop is determined by a balance between
hydrostatic pressure due to density and Young–Laplace pressure due to surface tension
(γ). Although corn syrup drops had different density as their concentration changed, as
shown in Table 1, the density difference is thought to not cause any changes in the meniscus
shape because of negligible gravitational effects (i.e., Bo < 1), as discussed in Section 2.2. In
addition, γ does not show a clear dependence on c. Thus, similar meniscus shapes of corn
syrup drops are expected, regardless of their concentration, which will be confirmed in the
following section. Then, the change in RI appears to be the main reason for the change in w
because the RI of corn syrup increased with c. 3.2. Confocal Images: The Thickness and Meniscus Profile of Drops the top and bottom oil layer, the thickness of the oil layer (e) was estimated to be 70 µm,
58 µm, and 132 µm for concentrations of 18%, 67%, and 82%, respectively. The above oil layer thickness estimation can be improved further by making the PDMS
wall of the Hele-Shaw cell visible in CFM imaging. The cell walls are not visible in Figure 3
because they were not fluorescent, which makes it impossible to know the exact thickness of
the oil layer and whether the oil layers above and below the drop were similar in thickness. To visualize the Hele-Shaw cell in fluorescence imaging, fluorescent microspheres can be
added to PDMS. The emission wavelength of the beads needs to be different from that of
the fluorescent dye added to the drop. Adding fluorescent particles in the cell wall will
enable identifying the cell wall in the obtained images and, thus, measuring the thickness
of the oil layer accurately. The bottom row of Figure 3 shows that the meniscus profiles of the drop were similar
between the two cross-sections. This agreement, along with the negligible difference in the
drop thickness between the cross-sections, supports that the drop was axisymmetric. In
these graphs, the x- or y-coordinate values were found with respect to the axis of symmetry
of the drop. Thus, the maximum of these coordinates corresponds to the radius of the drop,
which agrees well with the drop diameter shown in Figure 1. In contrast, the z-coordinate
values were found with respect to an arbitrary reference. As such, the graphs were plotted
so that the range of the horizontal and vertical axis would be 1 mm, which corresponds to
the gap height of the Hele-Shaw cell. It should be noted that the difference in the z-values
between the highest and lowest points was smaller than 1 mm. g
p
Good agreement between the fitted circle (cyan dotted circles in Figure 3) and the drop
meniscus reveals that the meniscus profiles of the drops were circular, regardless of their
concentration. This supports our prediction of similar meniscus profiles among the drops,
which was made in Section 3.1, based on similar γ between the drops and negligible effect
of gravity. Then, the variation in w is highly likely due to the difference in the RI between
the drops. 3.2. Confocal Images: The Thickness and Meniscus Profile of Drops 3.2. Confocal Images: The Thickness and Meniscus Profile of Drops The top row in Figure 3 shows that CFM imaging could successfully capture the 3D
shape of the drops, including the part of corn syrup in the injection hole, which appeared
as the dark circle in Figure 1. Reconstructed 3D images clearly show that the meniscus
of the drops was round, regardless of the concentration of the drop. The round, or even
circular, meniscus profile was expected because of the small gap height of the Hele-Shaw
cell (i.e., Bo < 1). Similarly, Dolganov et al. found that the cross-sectional meniscus profile
of a liquid crystal drop in a Hele-Shaw cell was close to circular [23,24]. q
y
p
The middle rows in Figure 3 show the xz- and yz-cross-sections of the drops, and the
red dashed lines indicate the top and bottom surface of the drops that were identified by
image processing. The drop thickness measured from the two cross-sections agreed well
with each other. For instance, the largest difference in the thickness was found with a drop
of 67%: 773 µm from the yz-cross-section and 781 µm from the xz-cross-section, and this
difference was negligible compared to the measured drop thickness. Very close thicknesses
between the two perpendicular cross-sections show that the drops were confined between
two parallel surfaces, i.e., the Hele-Shaw cell. p
The drop thickness (t) was determined by averaging the thickness values obtained
from the two cross-sections. t was 900 µm, 926 µm, and 777 µm for concentrations of 18%,
67%, and 82%, respectively. It was noted that the measured drop thickness was smaller
than the gap height (=1.04 mm). This suggests that mineral oil existed between the drop
and the wall of the Hele-Shaw cell, and that the thin oil layer prevented direct contact
between the drop and the cell wall. Because of the hydrophobicity and oleophilicity of the
PDMS surface of the Hele-Shaw cell, a thin mineral oil layer was expected to exist between
the drop and the surface of the Hele-Shaw cell. When an equal thickness was assumed for Micromachines 2022, 13, 1021 7 of 10 7 of 10 the top and bottom oil layer, the thickness of the oil layer (e) was estimated to be 70 µm,
58 µm, and 132 µm for concentrations of 18%, 67%, and 82%, respectively. 3.2. Confocal Images: The Thickness and Meniscus Profile of Drops p
It was noted that the meniscus of the drop was not symmetric with respect to its
equator. In the middle and bottom rows of Figure 3a,c, the cross-sectional images of the
drop show a dimple at the top end of the meniscus. Such dimples are shown as a step-like
feature in the 3D image of the drops. It is unclear why the dimpled profile happened on the
meniscus. Due to the existence of the dimple, the estimated diameter of the meniscus was
smaller than the thickness of the drop. The circle fitting measured that the approximate
diameter of the meniscus was 793 µm, 867 µm, and 676 µm for concentrations of 18%, 67%,
and 82%, respectively. These meniscus diameters correspond to 88%, 94%, and 87% of the
respective drop thickness. 3.3. Ray Optics Model (b) Comparison of the annulus width normalized by the half thickness of the drop
(t/2) between the prediction based on the model and the experimental measurement. Figure 4. The ray optics model to predict the width of the dark annulus (w) of the drop. (a) Schematic
of the model. (b) Comparison of the annulus width normalized by the half thickness of the drop (t/2)
between the prediction based on the model and the experimental measurement. In this model, the meniscus of the drop is assumed to be a semi-circle with a radius
of the half thickness of the drop (= t/2). Parallel light rays are formed by the condenser of
the microscope, and one of them is shown in Figure 4a. The distance between the shown
light ray and the center of the circular meniscus is l. As this light ray passes through the
meniscus, it is refracted two times, as illustrated in Figure 4a. The incidence angle of the
shown light ray into the bottom of the Hele-Shaw cell can be assumed as follows [25]:
Then, it is assumed that the dark annulus of the meniscus is formed when light rays
passing through the ring are not captured by the objective lens of the microscope. Since
the numerical aperture (NA) of the lens is the maximum incidence angle of the observable
light ray to the lens [i.e., θmax = sin−1(NA/na)] [26], the light ray cannot be captured by the
microscope when θ2 > θmax. Thus, the part of the meniscus with θ2 > θmax appears dark in
a top-view image of the drop. Since lmax is obtained when θ2 = θmax, lmax is found to be 1
1
1
2 cos
cos
2
2
s
o
l
l
t
n n
t
−
−
=
−
,
(1)
active index of corn syrup and mineral oil respectively As the
lmax
t/2 =
v
u
u
t
1 −C2
1 −
2C
ns/no +
1
(ns/no)2
,
(3) (1)
(3) ray enters into air, it is refracted one more time, and the incidence angle of the ray to the
lens is
sin
on
=
(2)
where C = cos
h
1
2 sin−1
NA
no
i
. 3.3. Ray Optics Model As the
ray enters into air, it is refracted one more time, and the incidence angle of the ray to the
3 3 Ray Optics Model θ2 = no
na
sin θ1,
(2)
ved difference in w despite the similar circular profiles
difference was caused not by differenct meniscus pro- s is
θ2 = no
na
sin θ1,
(2)
As aforementioned, the observed difference in w despite the similar circular profiles
the meniscus suggests that the difference was caused not by differenct meniscus pro- (2)
ofiles where na is the refractive index of air (=1). Here, refraction through the PDMS and glass of
the bottom of the Hele-Shaw cell was ignored for simplicity because the refractive indices
of PDMS and glass are close to those of the corn syrups. of the meniscus suggests that the difference was caused not by differenct meniscus pro
files but mainly by the different refractive indices of the drops. To test this hypothesis, a
ray optics model was developed and w was predicted using the model, as shown in Figure
4. where na is the refractive index of air (=1). Here, refraction through the PDMS and glass of
the bottom of the Hele-Shaw cell was ignored for simplicity because the refractive indices
of PDMS and glass are close to those of the corn syrups. of the meniscus suggests that the difference was caused not by differenct meniscus pro
files but mainly by the different refractive indices of the drops. To test this hypothesis, a
ray optics model was developed and w was predicted using the model, as shown in Figure
4. Figure 4. The ray optics model to predict the width of the dark annulus (w) of the drop. (a) Schematic
of the model. (b) Comparison of the annulus width normalized by the half thickness of the drop
(t/2) between the prediction based on the model and the experimental measurement. Figure 4. The ray optics model to predict the width of the dark annulus (w) of the drop. (a) Schematic
of the model. (b) Comparison of the annulus width normalized by the half thickness of the drop (t/2)
between the prediction based on the model and the experimental measurement. Figure 4. The ray optics model to predict the width of the dark annulus (w) of the drop. (a) Schematic
of the model. 3.3. Ray Optics Model As aforementioned, the observed difference in w despite the similar circular profiles of
the meniscus suggests that the difference was caused not by differenct meniscus profiles
but mainly by the different refractive indices of the drops. To test this hypothesis, a ray
optics model was developed and w was predicted using the model, as shown in Figure 4. As aforementioned, the observed difference in w despite the similar circular profiles of
the meniscus suggests that the difference was caused not by differenct meniscus profiles
but mainly by the different refractive indices of the drops. To test this hypothesis, a ray
optics model was developed and w was predicted using the model, as shown in Figure 4. In this model, the meniscus of the drop is assumed to be a semi-circle with a radius
of the half thickness of the drop (=t/2). Parallel light rays are formed by the condenser of
the microscope, and one of them is shown in Figure 4a. The distance between the shown
light ray and the center of the circular meniscus is l. As this light ray passes through the
meniscus, it is refracted two times, as illustrated in Figure 4a. The incidence angle of the
shown light ray into the bottom of the Hele-Shaw cell can be assumed as follows [25]: In this model, the meniscus of the drop is assumed to be a semi-circle with a radius
of the half thickness of the drop (=t/2). Parallel light rays are formed by the condenser of
the microscope, and one of them is shown in Figure 4a. The distance between the shown
light ray and the center of the circular meniscus is l. As this light ray passes through the
meniscus, it is refracted two times, as illustrated in Figure 4a. The incidence angle of the
shown light ray into the bottom of the Hele-Shaw cell can be assumed as follows [25]: θ1 = 2
cos−1
l
t/2 −cos−1
l
ns/no · t/2
,
(1) (1) Micromachines 2022, 13, 1021 8 of 10 where ns and no are the refractive index of corn syrup and mineral oil, respectively. 3.3. Ray Optics Model The agreement between the model and the experiment supports that the observed
dependence of w on the RI of the drop was mainly caused by the RI difference among the
corn syrup drops. dependence of w on the RI of the drop was mainly caused by the RI difference among the
corn syrup drops. to no. The agreement between the model and the experiment supports that the observed
dependence of w on the RI of the drop was mainly caused by the RI difference among the
corn syrup drops. Figure 5. A corn syrup drop with a concentration of 95% w/w (ns = 1.468). (a) Brightfield, top-view
image. (b) 3D confocal image (imaged at 10× with NA 0.3). Figure 5. A corn syrup drop with a concentration of 95% w/w (ns = 1.468). (a) Brightfield, top-view
image. (b) 3D confocal image (imaged at 10× with NA 0.3). Figure 5. A corn syrup drop with a concentration of 95% w/w (ns = 1.468). (a) Brightfield, top-view
image. (b) 3D confocal image (imaged at 10× with NA 0.3). Figure 5. A corn syrup drop with a concentration of 95% w/w (ns = 1.468). (a) Brightfield, top-view
image. (b) 3D confocal image (imaged at 10× with NA 0.3). Figure 4b shows that the dark annulus of the drop would become very thin in the
top-view image of a drop as ns/no approaches unity (i.e., refractive indices matching). As
such, the ray optics model predicted that the dark annulus thickness would be 0 when ns
= 1.47. Such a condition can be achieved by increasing the concentration of corn syrup
because Table 1 shows that ns increased with c. Figure 5 shows the brightfield top-view
image and confocal 3D image of a corn syrup drop with c = 95% w/w. ns was measured to
be 1.468, which was not only very close to the predicted ns value, but also was the same
as no. As predicted by the ray optics model, the dark annulus was invisible in the top-view
image (Figure 5a), whereas the drop meniscus was round in the 3D image (Figure 5b). Figure 4b shows that the dark annulus of the drop would become very thin in the
top-view image of a drop as ns/no approaches unity (i.e., refractive indices matching). As
such, the ray optics model predicted that the dark annulus thickness would be 0 when
ns = 1.47. 3.3. Ray Optics Model Such a condition can be achieved by increasing the concentration of corn syrup
because Table 1 shows that ns increased with c. Figure 5 shows the brightfield top-view
image and confocal 3D image of a corn syrup drop with c = 95% w/w. ns was measured to
be 1.468, which was not only very close to the predicted ns value, but also was the same as
no. As predicted by the ray optics model, the dark annulus was invisible in the top-view
image (Figure 5a), whereas the drop meniscus was round in the 3D image (Figure 5b). 3.3. Ray Optics Model Therefore, the model enables estimating w = t/2 −lmax
using Equation (3), the NA of the used objective lens, and the refractive indices of the drop
and ambient liquid. 2
1
sin
an
,
(2)
where na is the refractive index of air (=1). Here, refraction through the PDMS and glass of
the bottom of the Hele-Shaw cell was ignored for simplicity because the refractive indices
of PDMS and glass are close to those of the corn syrups. Then, it is assumed that the dark annulus of the meniscus is formed when light rays
passing through the ring are not captured by the objective lens of the microscope. Since
the numerical aperture (NA) of the lens is the maximum incidence angle of the observable
light ray to the lens [i.e., θmax = sin−1(NA/na)] [26], the light ray cannot be captured by the
microscope when θ2 > θmax. Thus, the part of the meniscus with θ2 > θmax appears dark in
a top-view image of the drop Since lmax is obtained when θ2 = θmax lmax is found to be
The width of the dark annulus was calculated using Equation (3) and then normal-
ized with the half thickness of the drop (i.e., 2w/t), as shown in Figure 4b. The model
predicts that w decreases as ns approaches no, which agrees with Figure 1. Experimentally
obtained 2w/t values are compared with the model prediction in Figure 4b. The model
overpredicted w when ns was much lower than no, but the difference between the model
and the experimental result decreased as ns approached no. As such, the model agreed
with the experiment very well when ns was 1.445 and 1.468. Here, the case of ns = 1.468 is
described in Figure 5. Therefore, the developed ray optics model can be used for qualitative
predictions when ns differs from no and for quantitative predictions when ns is close to
no. The agreement between the model and the experiment supports that the observed Micromachines 2022, 13, 1021 9 of 10
1.468 is
qualita 9 of 10
1.468 is
qualita dependence of w on the RI of the drop was mainly caused by the RI difference among the
corn syrup drops. to no. 4. Conclusions
4. Conclusions When imaged from the top view using brightfield microscopy, a liquid drop confined
in a Hele-Shaw cell appears to have a dark annulus, or ring, along its meniscus interfacing
with an ambient immiscible fluid. In this study, it was observed that the dark annulus of
corn syrup drops in mineral oil, in the Hele-Shaw cell, became thinner as the concentration
of corn syrup increased. This observation was puzzling because the constant surface ten-
sion coefficient between the drops and mineral oil and the small Bond number of the
When imaged from the top view using brightfield microscopy, a liquid drop confined
in a Hele-Shaw cell appears to have a dark annulus, or ring, along its meniscus interfacing
with an ambient immiscible fluid. In this study, it was observed that the dark annulus of
corn syrup drops in mineral oil, in the Hele-Shaw cell, became thinner as the concentration
of corn syrup increased. This observation was puzzling because the constant surface tension
coefficient between the drops and mineral oil and the small Bond number of the drops
suggested that the cross-sectional profile of the drop’s meniscus remained unchanged,
despite the concentration change. As such, confocal fluorescence microscopy and image
processing were used to confirm that the meniscus profiles were circular, regardless of
concentration. Furthermore, the developed ray optics model showed that the dark annulus
was caused when light rays refracted by the meniscus were not captured by the microscope. Author Contributions: Conceptualization, S.R. and H.Z.; methodology, H.Z. and C.E.; formal anal-
ysis, S.R.; investigation, S.R. and H.Z.; resources, S.R.; writing—original draft preparation, S.R.;
writing—review and editing, S.R., H.Z. and C.E.; visualization, S.R.; supervision, S.R.; project admin-
istration, S.R.; funding acquisition, S.R. All authors have read and agreed to the published version of
the manuscript. Funding: This research was funded by the American Chemical Society Petroleum Research Fund
(grant ID: 58539-ND5) and NASA Nebraska Space Grant (Federal Award #80NSSC20M0112). Surface
topography imaging was performed at the Nano-Engineering Research Core Facility (part of the
Nebraska Nanoscale Facility), which is partially funded from the Nebraska Research Initiative. Data Availability Statement: Not applicable. Acknowledgments: We appreciate Stephen Morin and John Kapitan for surface tension coefficient
measurement, You Zhou for confocal imaging, and Elizabeth Gonzales for refractive index measurement. Conflicts of Interest: The authors declare no conflict of interest. 10 of 10 Micromachines 2022, 13, 1021 References Lv, P.; Xue, Y.; Liu, H.; Shi, Y.; Xi, P.; Lin, H.; Duan, H. Symmetric and asymmetric meniscus collapse in wetting transition on
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in natural oil-water mixtures. Oil Gas Sci. Technol.-Rev. De L’ifp 2008, 63, 645–655. [CrossRef] 8. Salim, A.; Sausse, J.; Pironon, J.; Fourar, M.; De Veslud, C.L.C. 3D Confocal Scanning Laser Microscopy to quantify contact angles
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in natural oil-water mixtures. Oil Gas Sci. Technol.-Rev. De L’ifp 2008, 63, 645–655. [CrossRef] in natural oil water mixtures. Oil Gas Sci. Technol. Rev. De L ifp 2008, 63, 645 655. [CrossRef]
9. References Optics, 4th ed.; Addison Wesley: Boston, MA, USA, 2002.
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https://molecular-cancer.biomedcentral.com/counter/pdf/10.1186/1476-4598-8-126
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English
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CXCR4 expression heterogeneity in neuroblastoma cells due to ligand-independent regulation
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Molecular cancer
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cc-by
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BioMed Central BioMed Central BioMed Central Published: 22 December 2009 Molecular Cancer 2009, 8:126
doi:10.1186/1476-4598-8-126 This article is available from: http://www.molecular-cancer.com/content/8/1/126 © 2009 Carlisle et al; licensee BioMed Central Ltd. © 2009 Carlisle 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. Molecular Cancer Open Access Abstract Background: CXCR4, the receptor for the chemokine stromal-derived factor 1 (SDF-1), has
been shown to mediate many of the processes essential for cancer progression such as tumor cell
proliferation, metastasis, and angiogenesis. To understand the role of CXCR4 in the biology of
neuroblastoma, a disease that presents with wide spread metastases in over 50% of patients, we
screened ten patient derived-neuroblastoma cell-lines for basal CXCR4 expression and sought to
identify characteristics that correlate with tumor cell phenotype. Results: All cell lines expressed CXCR4 mRNA at variable levels, that correlated well with three
distinct classes of CXCR4 surface expression (low, moderate, or high) as defined by flow
cytometry. Analysis of the kinetics of CXCR4 surface expression on moderate and high expressing
cell lines showed a time-dependent down-regulation of the receptor that directly correlated with
cell confluency, and was independent of SDF1. Cell lysates showed the presence of multiple
CXCR4 isoforms with three major species of approximately 87, 67 and 55 kDa associating with
high surface expression, and two distinct species of 45 and 38 kDa correlating with low to null
surface expression. Western blot analysis of CXCR4 immunoprecipitates showed that the 87 and
67 kDa forms were ubiquitinated, while the others were not. Finally, treatment of cells with a
proteasome inhibitor resulted in down regulation of CXCR4 surface expression. Conclusions: Taken together, these data show that regulation of CXCR4 surface expression in
neuroblastoma cells can occur independently of SDF-1 contribution arguing against an autocrine
mechanism. Additionally these data suggest that post-translational modifications of CXCR4, in part
through direct ubiquitination, can influence trafficking of CXCR4 to the surface of neuroblastoma
cells in a ligand-independent manner. CXCR4 expression heterogeneity in neuroblastoma cells due to
ligand-independent regulation
Alex J Carlisle, Christopher A Lyttle, Rosalind Y Carlisle and John M Maris* * Corresponding author Received: 9 July 2009
Accepted: 22 December 2009 Received: 9 July 2009
Accepted: 22 December 2009 Published: 22 December 2009 Background Additionally, despite reporting little to no
basal surface expression of CXCR4 on the majority of neu-
roblastoma cells they examined one group has reported
SDF-1 mediated chemotaxis and down-regulation of
CXCR4 upon derivatizing one of their cell lines to overex-
press CXCR4 [18]. Others have suggested however that
CXCR4 is not involved in chemotaxis of neuroblastoma
cells [19] and that SDF-1/CXCR4 signaling causes cell
death [20]. In light of these findings the extent to which
basal CXCR4 surface expression occurs in neuroblastoma
cells and the significance in of this expression on the biol-
ogy of these tumors has not been conclusively demon-
strated. Previous work in our lab employing a
transcriptome wide analysis of a large neuroblastoma
sample set was performed to identify genes associated
with the disease and to further refine its classification
[21]. Analysis of results from this data set identified
CXCR4 as one of the genes differentially overexpressed in
metastatic compared to localized primary tumors
obtained at diagnosis, supporting a role for CXCR4 in
neuroblastoma dissemination. In an effort to further
assess CXCR4 expression patterns in neuroblastoma and
the correlation of such patterns with tumor progression,
global expression of CXCR4 in neuroblastoma cells was Background and outcome prediction, but morbidity and mortality
remain unacceptable, and an urgent need for improved
therapies exists [2]. One emerging candidate for targeted
therapy in cancer and several other diseases is CXCR4 [3-
6]. CXCR4 has been shown to be involved in the major Background
Neuroblastoma, a pediatric cancer of the sympathetic
nervous system, accounts for roughly 15% of cancer
related deaths in children [1]. A variety of clinical and bio-
logical parameters are currently used for risk-assessment Page 1 of 14
(page number not for citation purposes) Page 1 of 14
(page number not for citation purposes) http://www.molecular-cancer.com/content/8/1/126 Molecular Cancer 2009, 8:126 analyzed at the transcriptional, translational, and surface
expression level. aspects of cancer progression, tumor cell proliferation,
metastasis, and angiogenesis, and its involvement in one
or more of these processes has been demonstrated in sev-
eral human malignancies [7-9]. CXCR4, a seven trans-
membrane domain receptor expressed on the surface of a
variety of cells, serves as the receptor for the chemokine
SDF-1, also known as CXCL12. Through interaction with
its ligand, CXCR4 mediates one of the signals that influ-
ence migration of various cells to their endpoint destina-
tions. The most direct evidence for the biological
significance of CXCR4 is seen in murine knockout models
which result in lethality via impaired development of
their hematopoietic, circulatory, and nervous systems
[10,11], indicating an essential role for SDF-1/CXCR4 sig-
naling in normal development. In humans, genetic muta-
tion of CXCR4 is associated with the clinical syndrome
WHIM, in which a truncating mutation results in deregu-
lation of receptor signaling and consequent impairment
of leukocyte function [12,13]. The biological importance
of CXCR4 is further underscored by the observation that
disruption of the SDF-1/CXCR4 axis has consequence on
essential physiological processes such as homing of
hematopoietic stem cells to marrow [14] and migration of
immune cells to inflammatory sites [15], as well as patho-
physiological processes such as HIV uptake by host cells
[16] and cancer progression. Despite its obvious impor-
tance in the progression of several forms of cancer, the
role and nature of CXCR4 function in neuroblastoma
biology is less clear. CXCR4 has been shown to mediate
proliferation of neuroblastoma cells under certain condi-
tions [17]. Materials and methods
Cell Culture Ten human neuroblastoma cell lines (CHP-134, KCN,
KCNR, LAN-5, NB-69, NGP, SH-SY5Y, SK-N-AS, SK-N-FI,
SK-N-SH), all derived from the tumors of patients with
advanced stage neuroblastoma (Stage 3 or 4) were
obtained from the Children's Oncology Group (COG)
and cultured in 75 cm2 cell culture flasks (corning) using
RPMI-1640, supplemented with 10% fetal bovine serum,
2 mM glutamine, and a 1/100 dilution of penicillin/strep-
tomycin/amphotericin B. Cells were grown at 37°C in a
humidified environment of 95% air and 5% CO2 (All cell
culture media reagents were from Invitrogen). SK-N-ASΔ3
was generated by subcloning an expression vector con-
taining the coding sequence for the E3 ubiquitin ligase
cullin-5. Briefly, full length double stranded Cul-5 cDNA
was amplified from total SK-N-AS RNA with primers
designed using Primer3 software http://frodo.wi.mit.edu/
primer3/. Cul-5 cDNA was gel-purified by band excision
and extraction using a QIAquick gel extraction kit (Qia-
gen) followed by sequencing to confirm transcript iden-
tity. Purified Cul-5 cDNA was sub-cloned into a pcDNA4
expression vector using a pcDNA4/HisMax TOPO® TA
Expression Kit (Invitrogen) and competent E-coli trans-
formed following manufacturer's protocol. Positive trans-
formants were identified using ampicillin selective media
followed by sequence analysis to confirm orientation. After generation, Cul-5 expression vectors were trans-
fected into SK-N-AS cells using Lipofectamine 2000 (Inv-
itrogen) and stable transfectants selected using zeocin. Unless otherwise indicated all cells were grown to 80-90%
confluency. Western Blot Detection of CXCR4 Western Blot Detection of CXCR4
Cells were cultured as previously described. After harvest-
ing 1 × 107 cells were washed twice in PBS and solubilized
in 1 ml of lysis buffer consisting of 50 mM Tris base, 150
mM NaCl, 1% Triton X-100 pH 7.5. Cell lysates were cen-
trifuged at 14, 000 rpm and 4°C for 30 minutes in a table-
top refrigerated centrifuge (Eppendorf) and supernatants
were analyzed for total protein content by performing the
DC Protein Assay (Bio-Rad) and measuring absorbance at
750 nm on a Benchmark Plus Microplate Spectrophotom-
eter (Bio-Rad). Total protein concentrations in cell line
samples were determined by interpolation from a linear
curve of BSA values. Proteins were resolved by electro-
phoresis using the Xcell SureLock Mini-Cell system (Invit-
rogen) following manufacturer's instructions. Briefly, 1 μg
of total protein for each cell line was loaded onto a
NuPAGE 4-12% Bis-Tris Gel followed by electrophoresis
at 200 constant volts for 40 minutes. High-Range Rain-
bow Molecular Weight Markers (Amersham Biosciences)
were simultaneously run with samples in separate lanes to
monitor resolution. Following electrophoresis resolved
proteins were transferred to Hybond ECL Nitrocellulose
membranes (Amersham Biosciences) at 30 constant volts
for 1 hr at room temperature using an Xcell II Blot Module
(Invitrogen) following manufacturer's instructions. Trans-
fer efficiency was assessed by briefly staining membranes
with a 0.1% Ponceau S solution in 5% Acetic acid (Sigma) http://www.molecular-cancer.com/content/8/1/126 Molecular Cancer 2009, 8:126 http://www.molecular-cancer.com/content/8/1/126 permeabilized using a 10% NP-40 solution in PBS fol-
lowed by washing once in PBS and then transfer to a new
culture dish containing moist paper towels to prevent cov-
erslips from drying. Coverslips were blocked with PBG, a
modified PBS solution containing 0.2% fish gelatin
(sigma) and 0.5% BSA (sigma), for a minimum of 30
minutes. Blocked coverslips were then incubated with 1/
1000 dilutions of mouse anti-CXCR4 monoclonal anti-
body MAB172 and goat anti-SDF-1 antibody MAB310
(R&D Systems) for either 1 hr at room temperature or
overnight at 4°C. After incubation with primary antibod-
ies coverslips were washed three times with PBG followed
by incubation with 1/200 dilutions of FITC-conjugated
donkey anti-mouse and TRITC-conjugated donkey anti-
goat secondary antibodies (Jackson ImmunoResearch) for
1 hr at room temperature or 4°C overnight. Following
incubation with secondary antibodies coverslips were
washed three times with PBG with the inclusion of 0.5 μg/
ml of 4', 6-diamino-2-phenylindole (Sigma) in the third
wash. Coverslips were then washed twice with PBS,
mounted onto 3'' × 1'' × 1 mm glass microscope slides
(Fisher) with Gel/Mount embedding medium containing
anti-fading agents (Biomedia), and sealed with liquid
enamel (Revlon). Fluorescently labeled cells were visual-
ized using immune complexes were visualized using an
inverted fluorescent microscope. Figure shows a superim-
posed composite of CXCR4 and SDF-1 imaging. controls PE-conjugated mouse IgG2a was used. One thou-
sand events were counted for each sample to generate a
distribution of fluorescent intensities. The geometric
mean of those intensities was normalized to the geometric
mean obtained from corresponding mouse IgG2a stained
cells. Final data is represented as relative mean fluorescent
intensity from three experiments. SDF-1 Enzyme-Linked ImmunoSorbent Assay (ELISA) SDF-1 Enzyme-Linked ImmunoSorbent Assay (ELISA) SDF-1 Enzyme-Linked ImmunoSorbent Assay (ELISA)
Cells were cultured as previously described. Prior to har-
vesting, conditioned media was collected and concen-
trated from initial volume of 12 ml to 500 μl by
centrifuging in a Centriplus Model YM-3 centrifugal filter
device at 3000 × g and 4°C in a JA-20 rotor. After concen-
tration, 100 μl aliquots of conditioned media from cell
lines were placed into 96 well microplates coated with
murine anti-human SDF-1α monoclonal antibody and
ELISA based detection of SDF-1 was performed using the
Quantikine Human SDF-1α Immunoassay kit (R&D Sys-
tems). Absolute quantification of SDF-1 levels were deter-
mined by interpolating from a curve of standard SDF-1
concentrations included on the assay plate; uncondi-
tioned culture media was used to correct for background
levels of SDF-1 in the unconditioned culture media. Assays were performed in triplicate. Page 3 of 14
(page number not for citation purposes) Quantitative PCR Cells were cultured and harvested as previously described. Total RNA was isolated from 1 × 107 cells using the Abso-
lutely RNA miniprep kit (Stratagene) following manufac-
turers instructions followed by 1st strand cDNA synthesis
from 5 μg total RNA using the SuperScript Firs-Strand Syn-
thesis System for RT-PCR (Invitrogen) following manu-
facturers instructions. Quantitative PCR was performed
using the CXCR4 TaqMan Gene Expression Assay
Hs00607978 along with simultaneous amplification of
glyceraldehyde phosphate dehydrogenase (GAPDH) as an
endogenous control. Thirty cycles of amplification were
performed and the difference between CXCR4 and
GAPDH cycle threshold values (dCT) were graphed as 1/
dCT. Detection of cul-5 transcripts was performed with
the same method with exception of using TaqMan Gene
Expression Assay Hs00967483_m1. Assays were done in
triplicate Fluorescence-activated Cell Sorting (FACS) Assay Fluorescence activated Cell Sorting (FACS) Assay
Neuroblastoma cells were cultured as described previ-
ously. For Brefeldin A studies cells were cultured in the
presence of 1 μg/ml Brefeldin A, or a corresponding vol-
ume of DMSO for 7 hrs, prior to harvesting. For Lactacys-
tin studies cells were cultured in the presence of 10 μM
Lactacystin or corresponding volume of PBS overnight. After culturing, cells were harvested using Versene (0.02%
EDTA in hanks balanced salt solution) and washed twice,
once with culture media, and once with cold PBA (Phos-
phate buffered saline containing 2%BSA and 0.1% NaN3,
pH 7.4). Once washed, cells were adjusted to a concentra-
tion of 1 × 107 cells per ml in PBA and 50 μl of cells were
incubated with 20 μl of the PE-conjugated mouse anti-
human CXCR4 antibody 12G5 (BD Biosciences) at room
temperature for 30 minutes in the dark. Following incuba-
tion with antibody, cells were washed three times in PBA
and analyzed on a BD FACSCaliber Flow Cytometer using
CellQuest Pro Software (BD Biosciences). For negative Page 2 of 14
(page number not for citation purposes) Page 2 of 14
(page number not for citation purposes) Immunofluorescent labeling of CXCR4 and SDF-1 in
Neuroblastoma Cells CXCR4
immunoprecipitates
were
washed
extensively with lysis buffer and TBS-T prior processing in
sample buffer and loading onto gels for electrophoresis. Western blot detection of ubiquitin in CXCR4 immuno-
precipitates was performed similarly as for CXCR4 west-
ern blots except membranes were incubated with the
mouse anti-human ubiquitin primary antibody MAB701
(R&D Systems) and an HRP-conjugated anti-mouse sec-
ondary antibody (Amersham Biosciences) at 1/1000 and
1/2000 respectively. Results ments for each of the cell lines. The M.F.I. for each cell line
was assigned to one of three classes of expression based on
the following cutoffs; <5 for low, 5-20 for medium, and
greater than 20 for high. Fig. 1C shows a comparison of
the mean value of intensities in the three defined classes
to demonstrate the significant difference between them as
determined by one-way ANOVA analysis (P < 0.0001). Table 1 shows the assignment of each cell line to one of
the three defined surface expression classes. To determine
if the observed variability in CXCR4 surface expression
was related to transcriptional regulation, quantitative RT-
PCR was performed to compare CXCR4 mRNA copy
number in the panel of neuroblastoma cell lines. Fig. 2A
shows a similar pattern of heterogeneity with regard to
CXCR4 transcriptional expression. With the exception of
three cell lines, CHP-134, NB-69, and SK-N-SH, the same
order of expression seen at the surface level was main-
tained at the transcriptional level. The same class assign-
ment given in surface expression analysis was used for
assessing transcriptional expression and as can be seen in
fig. 2B this similarly resulted in the generation of three sta-
tistically distinct classes of mean transcriptional expres-
sion (P < 0.005, one-way ANOVA). To determine how
closely transcriptional expression reflects the expression
of CXCR4 at the cell surface, nonlinear regression analysis
was performed using the respective means for each cell
line. Fig. 2C shows there was a strong correlation (Pearson
correlation, R2 = 0.9235, P < 0.05) between the two types
of expression but that transcription alone was not a com-
plete indication of CXCR4 surface levels. followed by rinsing in deionized distilled H2O. After
removal of Ponceau S western blot detection was per-
formed using an ECL Western Blot Detection Kit (Amer-
sham Biosciences) following manufacturer's instructions. Immunofluorescent labeling of CXCR4 and SDF-1 in
Neuroblastoma Cells Briefly, membranes were blocked in 5% blocking solu-
tion, rinsed in TBS pH 7.6 containing 0.1% Tween 20
(TBS-T), and incubated with a 1/1000 dilution of the rab-
bit anti-human CXCR4 antibody ab2090 (abcam) at
either room temperature for 1 hr or overnight at 4°C. Fol-
lowing adsorption of primary antibody, membranes were
rinsed in TBS-T and then incubated with a 1/2000 dilu-
tion of horseradish peroxidase (HRP) conjugated anti-
rabbit antibody for 1 hr at room temperature. Following
incubation with secondary antibody membranes were
washed extensively and a chemiluminescent substrate for
1 min at room temperature. Labeled molecules were visu-
alized by 30 second dark room exposure onto Hyperfilm
ECL chemiluminescence film in a BioMax Cassette
(Kodak) and development on an M35 X-OMAT processor
(Kodak). Determination of molecular mass was per-
formed by linear interpolation from a curve of chemilu-
minescent standards (Amersham Biosciences) run along
side samples during electrophoresis. For Cul-5 western
blot detection procedure was the same as for CXCR4
detection with the exception of using a 1/200 dilution of
ab82292, a rabbit polyclonal antibody specific for the car-
boxy terminus of CUL-5 (abcam), as the primary anti-
body. For Ubiquitin western blot detection lysates were
adsorbed with 10 μg/ml of the rabbit anti-human anti-
body OPA1-01100 (Affinity BioReagents) overnight at
4°C. Immune complexes were bound to pre-washed Pro-
tein G Agarose beads (Invitrogen) by incubating for 1 hr
at room temperature followed by precipitation by centrif-
ugation at 10, 0000 × g for 10 minutes at room tempera-
ture. CXCR4
immunoprecipitates
were
washed
extensively with lysis buffer and TBS-T prior processing in
sample buffer and loading onto gels for electrophoresis. Western blot detection of ubiquitin in CXCR4 immuno-
precipitates was performed similarly as for CXCR4 west-
ern blots except membranes were incubated with the
mouse anti-human ubiquitin primary antibody MAB701
(R&D Systems) and an HRP-conjugated anti-mouse sec-
ondary antibody (Amersham Biosciences) at 1/1000 and
1/2000 respectively. Autocrine Mediated Down-Regulation of CXCR4 does not
occur in Neuroblastoma Cells Previous reports have shown that CXCR4 is down-regu-
lated at the neuroblastoma cell surface in response to
exogenously added SDF-1 leading to the hypothesis that
CXCR4 surface expression is regulated by a negative auto-
crine feed back loop mediated by an accumulation of
SDF-1 secreted from neuroblastoma cells [18]. In an effort
to assess the possible effects of endogenously derived
SDF-1 accumulated during cell culture on CXCR4 surface
expression, cells at different degrees of confluency were
measured for CXCR4 at the cell surface using flow cytom-
etry. As shown in fig. 3, increasing confluency resulted in
a progressive decrease in CXCR4 at the surface of cells in
the higher surface expressing classes, demonstrating a sig-
nificant correlation between cell density and surface
expression of the receptor (Pearson correlation analysis,
R2 = 0.9488; P < 0.05); this observation was consistent for
all of the moderate to high CXCR4 surface expressing cell
lines tested. SH-SY5Y, a sub-clone of SK-N-SH and a low
surface expressing cell line showed no difference in
CXCR4 surface expression at any confluency; this observa-
tion was consistent for all cells in the low CXCR4 surface
expressing class. Maximal CXCR4 surface expression was Immunofluorescent labeling of CXCR4 and SDF-1 in
Neuroblastoma Cells Sterile 15 mm glass coverslips (Fisher) were placed into
150 mm culture dishes containing supplemented RPMI-
1640. SK-N-SH or SH-SY5Y cells were seeded onto cover-
slips and grown at 37°C in a humidified environment of
95% air and 5% CO2. At 80% confluency cells were rinsed
twice with PBS gently in culture dish so as not to become
detached, briefly fixed with a 3.7% formaldehyde solution
in PBS, and washed twice more with PBS. Fixed Cells were Page 3 of 14
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(page number not for citation purposes) http://www.molecular-cancer.com/content/8/1/126 Molecular Cancer 2009, 8:126 followed by rinsing in deionized distilled H2O. After
removal of Ponceau S western blot detection was per-
formed using an ECL Western Blot Detection Kit (Amer-
sham Biosciences) following manufacturer's instructions. Briefly, membranes were blocked in 5% blocking solu-
tion, rinsed in TBS pH 7.6 containing 0.1% Tween 20
(TBS-T), and incubated with a 1/1000 dilution of the rab-
bit anti-human CXCR4 antibody ab2090 (abcam) at
either room temperature for 1 hr or overnight at 4°C. Fol-
lowing adsorption of primary antibody, membranes were
rinsed in TBS-T and then incubated with a 1/2000 dilu-
tion of horseradish peroxidase (HRP) conjugated anti-
rabbit antibody for 1 hr at room temperature. Following
incubation with secondary antibody membranes were
washed extensively and a chemiluminescent substrate for
1 min at room temperature. Labeled molecules were visu-
alized by 30 second dark room exposure onto Hyperfilm
ECL chemiluminescence film in a BioMax Cassette
(Kodak) and development on an M35 X-OMAT processor
(Kodak). Determination of molecular mass was per-
formed by linear interpolation from a curve of chemilu-
minescent standards (Amersham Biosciences) run along
side samples during electrophoresis. For Cul-5 western
blot detection procedure was the same as for CXCR4
detection with the exception of using a 1/200 dilution of
ab82292, a rabbit polyclonal antibody specific for the car-
boxy terminus of CUL-5 (abcam), as the primary anti-
body. For Ubiquitin western blot detection lysates were
adsorbed with 10 μg/ml of the rabbit anti-human anti-
body OPA1-01100 (Affinity BioReagents) overnight at
4°C. Immune complexes were bound to pre-washed Pro-
tein G Agarose beads (Invitrogen) by incubating for 1 hr
at room temperature followed by precipitation by centrif-
ugation at 10, 0000 × g for 10 minutes at room tempera-
ture. Results 5 × 105 intact and non-permeabilized cells were incubated with a PE-conjugated Anti-CXCR4 monoclonal antibody
(12G5) for 30 minutes, washed and flow cytometry was performed to measure cell surface associated fluorescence. A) Fre-
quency histogram showing distribution of fluorescent intensities associated with cell surface of labeled cells. Fluorescent inten-
sity is shown on the x-ordinate and the number of cell events on the y-ordinate. A total of 1000 events were recorded for each
measurement. Three distinct ranges of distribution are evident (brackets). Data shown is from one experiment and is repre-
sentative of results obtained from three experiments. B) The geometric mean fluorescent intensity for each cell line was
determined after staining with anti-CXCR4 antibody, this value was then normalized to the corresponding geometric mean flu-
orescent intensity obtained from surface staining each cell line with the PE-conjugated isotype matched control antibody
(Mouse IgG2a). Final quantitative values are represented as a relative mean fluorescent intensity (M.F.I.) +/- SD obtained, from
three experiments. Means were stratified into three classes of surface expression and the following cutoffs were used to define
each class: Low= M.F.I. <5; Medium = M.F.I. 5-20; High = M.F.I. >20 (see table 1). C) The mean plus SD was determined for
each surface expressing class using the intensities of all the cell lines in that class. The mean value of each class falls within the
parameters used to define that class. All means were significantly different from one another. (*P < 0.0001, One-way ANOVA). CXCR4 is Differentially Expressed on the Surface of Neuroblastoma Cells
Figure 1
CXCR4 is Differentially Expressed on the Surface of Neuroblastoma Cells. Neuroblastoma cells were cultured to
80% confluency, harvested with versene followed by washing in culture media, then a modified phosphate buffered saline
(PBA). 5 × 105 intact and non-permeabilized cells were incubated with a PE-conjugated Anti-CXCR4 monoclonal antibody
(12G5) for 30 minutes, washed and flow cytometry was performed to measure cell surface associated fluorescence. A) Fre-
quency histogram showing distribution of fluorescent intensities associated with cell surface of labeled cells. Fluorescent inten-
sity is shown on the x-ordinate and the number of cell events on the y-ordinate. A total of 1000 events were recorded for each
measurement. Three distinct ranges of distribution are evident (brackets). Data shown is from one experiment and is repre-
sentative of results obtained from three experiments. Results CXCR4 is Differentially Expressed in Neuroblastoma Cells
Ten human neuroblastoma-derived cell lines from
patients with high-risk disease were screened for surface
expression of CXCR4 by flow cytometry. An overlay of the
representative frequency distribution of fluorescence
intensities for each cell line resulted in the peak intensities
clustering into one of three distinct regions (Fig. 1A). Fig
1B shows a quantitative representation of the range of
normalized geometric mean intensities from three experi- Page 4 of 14
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(page number not for citation purposes) Molecular Cancer 2009, 8:126 http://www.molecular-cancer.com/content/8/1/126 CXCR4 is Differentially Expressed on the Surface of Neuroblastoma Cells
Figure 1
CXCR4 is Differentially Expressed on the Surface of Neuroblastoma Cells. Neuroblastoma cells were cultured to
80% confluency, harvested with versene followed by washing in culture media, then a modified phosphate buffered saline
(PBA). 5 × 105 intact and non-permeabilized cells were incubated with a PE-conjugated Anti-CXCR4 monoclonal antibody
(12G5) for 30 minutes, washed and flow cytometry was performed to measure cell surface associated fluorescence. A) Fre-
quency histogram showing distribution of fluorescent intensities associated with cell surface of labeled cells. Fluorescent inten-
sity is shown on the x-ordinate and the number of cell events on the y-ordinate. A total of 1000 events were recorded for each
measurement. Three distinct ranges of distribution are evident (brackets). Data shown is from one experiment and is repre-
sentative of results obtained from three experiments. B) The geometric mean fluorescent intensity for each cell line was
determined after staining with anti-CXCR4 antibody, this value was then normalized to the corresponding geometric mean flu-
orescent intensity obtained from surface staining each cell line with the PE-conjugated isotype matched control antibody
(Mouse IgG2a). Final quantitative values are represented as a relative mean fluorescent intensity (M.F.I.) +/- SD obtained, from
three experiments. Means were stratified into three classes of surface expression and the following cutoffs were used to define
each class: Low= M F I <5; Medium = M F I 5 20; High = M F I >20 (see table 1) C) The mean plus SD was determined for CXCR4 is Differentially Expressed on the Surface of Neuroblastoma Cells
Figure 1
CXCR4 is Differentially Expressed on the Surface of Neuroblastoma Cells. Neuroblastoma cells were cultured to
80% confluency, harvested with versene followed by washing in culture media, then a modified phosphate buffered saline
(PBA). Results B) The geometric mean fluorescent intensity for each cell line was
determined after staining with anti-CXCR4 antibody, this value was then normalized to the corresponding geometric mean flu-
orescent intensity obtained from surface staining each cell line with the PE-conjugated isotype matched control antibody
(Mouse IgG2a). Final quantitative values are represented as a relative mean fluorescent intensity (M.F.I.) +/- SD obtained, from
three experiments. Means were stratified into three classes of surface expression and the following cutoffs were used to define
each class: Low= M.F.I. <5; Medium = M.F.I. 5-20; High = M.F.I. >20 (see table 1). C) The mean plus SD was determined for
each surface expressing class using the intensities of all the cell lines in that class. The mean value of each class falls within the
parameters used to define that class. All means were significantly different from one another. (*P < 0.0001, One-way ANOVA). observed for cell cultures less than 50% confluent (data
not shown), and upon 100% confluency CXCR4 surface
expression was reduced to half maximal levels. been suggested to explain the low levels of CXCR4 seen on
some neuroblastoma cell lines [18]. In an effort to test this
theory and more accurately assess basal levels of CXCR4
surface expression an attempt was made to block release
of any endogenous SDF-1 and prevent receptor down-reg-
ulation by treating cells with Brefeldin A, an inhibitor of Autocrine downregulation of CXCR4 by endogenously
derived SDF-1 in the extracellular medium has previously Page 5 of 14
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(page number not for citation purposes) Molecular Cancer 2009, 8:126 http://www.molecular-cancer.com/content/8/1/126 Table 1: Classification of Neuroblastoma Cell Lines by CXCR4 Surface Expression
CELL LINE
MEAN FLUORESCENT INTENSITY
CXCR4 SURFACE EXPRESSION CLASS
SH-SY5Y
0.9086
Low
SK-N-AS
1.290
Low
KCNR
1.796
Low
SK-N-FI
3.569
Low
CHP-134
4.066
Low
NGP
8.772
Moderate
NB-69
8.99
Moderate
KCN
11.899
Moderate
SK-N-SH
40.57
High
LAN-5
63.33
High Table 1: Classification of Neuroblastoma Cell Lines by CXCR4 Surface Expression SDF-1 in neuroblastoma cells localization of the chemok-
ine was assessed using indirect fluorescent immunostain-
ing. SDF-1 was present in both the high surface expressing
cell line (SK-N-SH) and its low surface expressing sub-
clone (SH-SY5Y) (Figs. 6A and 6B), and appeared to local-
ize predominately at the inner periphery of the plasma
membrane. Results Staining in SK-N-SH cells appearing more
focal and polarized with respect to CXCR4, while SH-
SY5Y cells showed a more diffuse staining pattern; there
was little to no co-localization of SDF-1 and CXCR4 in
either cell line. The staining pattern for SK-N-SH was
observed for all medium and high CXCR4 surface express-
ing cell lines in our panel while the pattern for SH-SY5Y
was observed for all the low surface expressing lines (Data
not shown). Transcriptional expression of SDF-1 was
determined in all cell lines examined to confirm their abil-
ity to endogenously synthesis the chemokine (Data not
shown). vesicular protein secretion. As shown in fig. 4, Brefeldin A
treatment did not result in a recovery of CXCR4 on the
surface of the low expressing cell line SH-SY5Y, this obser-
vation was true for the other low expressing cell lines as
well (data not shown). In addition, NGP and SK-N-SH,
moderate and high surface expressing cell lines respec-
tively, both showed significant decreases in surface levels
as a consequence of Brefeldin A treatment (paired t test, P
< 0.005); this observation was also made for the other
moderate and high expressing cell lines from our panel
(data not shown). In light of the absence of any upregula-
tion of CXCR4 on the surface of Brefeldin A treated cells
we decided to determine the presence and abundance of
any endogenously derived SDF-1 in the extracellular envi-
ronment of neuroblastoma cell lines used by us. Quanti-
tative ELISA was performed on conditioned medium
collected from cells at 100% confluency. As shown in fig. 5, SDF-1 levels observed in representatives from the high
(SK-N-SH or LAN-5), or the low (SH-SY5Y) surface
expressing classes were either at, or below background lev-
els of the chemokine measured in culture media (8 pg/
ml), and found not to be significant (P > 0.05, One-way
ANOVA). The concentration of extracellular SDF-1 for the
moderate surface expressing cell line NGP, calculated at
184 pg/ml, was significantly higher than background lev-
els of SDF-1 (P > 0.005, One-way ANOVA); however this
level was determined to be below levels used to activate
CXCR4 and deemed physiologically irrelevant [18]. With
the exception of NGP, SDF-1 levels were observed to be
below background levels for all the other cell lines exam-
ined regardless of expression class (data not shown). In an
attempt to clarify the status of endogenously expressed Page 6 of 14
(page number not for citation purposes) Regulation of CXCR4 Surface Expression is associated
with Structural Heterogeneity B) The mean dCt value for each surface expression class was generated from all dCt values of cell lines in a given class. Result shows the mean dCt +/- SD of each class to be significantly different from one another (P < 0.005, One-way ANOVA). C) The log10 of mean fluorescent intensity was plotted against the mean dCt for each cell line. Each data point represents the
mean value obtained from three FACS assays plotted against the mean value obtained from three quantitative PCR assays. Fig-
ure shows a strong and significant correlation between the two forms of expression (Pearson correlation, R2 = 0.9235, P <
0.05). ranscriptional Expression of CXCR4 in Neuroblastoma Cells
igure 2
Transcriptional Expression of CXCR4 in Neuroblastoma Cells. Total RNA was isolated from Transcriptional Expression of CXCR4 in Neuroblastoma Cells
Figure 2
Transcriptional Expression of CXCR4 in Neuroblastoma Cells. Total RNA was isolated from each cell line and used
to generate cDNA templates. Quantitative PCR was performed using a total of 250 ng of template cDNA for each cell line and
30 cycles of amplification. A) CXCR4 mRNA levels in panel of ten neuroblastoma cell lines. dCt values for CXCR4 were nor-
malized to the endogenous control glyceraldehyde phosphate dehydrogenase. dCt values represent the average of three repli-
cates. B) The mean dCt value for each surface expression class was generated from all dCt values of cell lines in a given class. Result shows the mean dCt +/- SD of each class to be significantly different from one another (P < 0.005, One-way ANOVA). C) The log10 of mean fluorescent intensity was plotted against the mean dCt for each cell line. Each data point represents the
mean value obtained from three FACS assays plotted against the mean value obtained from three quantitative PCR assays. Fig-
ure shows a strong and significant correlation between the two forms of expression (Pearson correlation, R2 = 0.9235, P <
0.05). appeared to differentially segregate between the high and
low surface expressing classes, and served to help further
characterize and distinguish between these two classes. Two major forms of approximately 38 and 45 kilodaltons,
corresponded well to reported masses for native and glyc-
osylated forms of CXCR4 respectively [22,23], and were
present exclusively in the low CXCR4 surface expressing
cell lines. Regulation of CXCR4 Surface Expression is associated
with Structural Heterogeneity CXCR4 has been shown to display significant structural
heterogeneity, [22] yet to date no extensive analysis of
CXCR4 secondary structure in neuroblastoma has been
performed. Western blot analysis of CXCR4 was per-
formed on all the cells in our panel in an attempt to iden-
tify any structural heterogeneity of CXCR4 that might
further refine our stratification of CXCR4 surface expres-
sion. Fig. 7A shows a significant degree of structural heter-
ogeneity for CXCR4 with several isoforms being
differentially represented across the three classes of sur-
face expressing lines. Of the various isoforms present five Page 6 of 14
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(page number not for citation purposes) http://www.molecular-cancer.com/content/8/1/126 Molecular Cancer 2009, 8:126 Transcriptional Expression of CXCR4 in Neuroblastoma Cells
Figure 2
Transcriptional Expression of CXCR4 in Neuroblastoma Cells. Total RNA was isolated from each cell line and used
to generate cDNA templates. Quantitative PCR was performed using a total of 250 ng of template cDNA for each cell line and
30 cycles of amplification. A) CXCR4 mRNA levels in panel of ten neuroblastoma cell lines. dCt values for CXCR4 were nor-
malized to the endogenous control glyceraldehyde phosphate dehydrogenase. dCt values represent the average of three repli-
cates. B) The mean dCt value for each surface expression class was generated from all dCt values of cell lines in a given class. Result shows the mean dCt +/- SD of each class to be significantly different from one another (P < 0.005, One-way ANOVA). C) The log10 of mean fluorescent intensity was plotted against the mean dCt for each cell line. Each data point represents the
mean value obtained from three FACS assays plotted against the mean value obtained from three quantitative PCR assays. Fig-
ure shows a strong and significant correlation between the two forms of expression (Pearson correlation, R2 = 0.9235, P <
0.05). Transcriptional Expression of CXCR4 in Neuroblastoma Cells
Figure 2
Transcriptional Expression of CXCR4 in Neuroblastoma Cells. Total RNA was isolated from each cell line and used
to generate cDNA templates. Quantitative PCR was performed using a total of 250 ng of template cDNA for each cell line and
30 cycles of amplification. A) CXCR4 mRNA levels in panel of ten neuroblastoma cell lines. dCt values for CXCR4 were nor-
malized to the endogenous control glyceraldehyde phosphate dehydrogenase. dCt values represent the average of three repli-
cates. Regulation of CXCR4 Surface Expression is associated
with Structural Heterogeneity Three major forms of approximately 55, 67, and
87 kilodaltons and equal stoichiometry appeared to pri-
marily associate with the high surface expressing class. It
should be noted that to varying degrees these isoforms
were also present in the moderate class of surface express-
ing cell lines, however without the same stoichiometry. The presence of a large diffuse component spanning the
67-87 kDa regions in four of the five low surface express-
ing cell lines was observed. This material did not appear
as a discrete band and was seen on immunoblots with
anti-CXCR4 (Fig. 7A), as well as with isotype control
immunoblots and on Ponceau S stained membranes prior
to immunoblotting (data not shown). CXCR4 has been
shown to be ubiquitinated, in a basal and agonist-induced
manner, contributing to the degree of heterogeneity fre-
quently observed upon secondary structural analyses
[23,24]. To determine if any of the isoforms we observed
were ubiquitinated, CXCR4 was immunoprecipitated
from cell lysates followed by western blotting with anti- Page 7 of 14
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(page number not for citation purposes) Molecular Cancer 2009, 8:126 http://www.molecular-cancer.com/content/8/1/126 Effect of Cell Density on CXCR4 Surface Expression
Figure 3
Effect of Cell Density on CXCR4 Surface Expression. Individual flasks of culture media were each synchronously seeded
with 5 × 106 SK-N-SH cells and grown at 37°C to varying confluency. At each confluency, cells were harvested and processed
for cell surface staining of CXCR4. The maximum CXCR4 signal was observed at 50% confluency and set as 100% mean fluo-
rescent intensity. All intensities are represented as % relative values normalized to the maximum intensity. Result represents
the mean from three experiments and shows the correlation between cell density and surface expression (Pearson correlation,
R2 = 0.9488, P < 0.05). Effect of C
Figure 3 y
p
g
Effect of Cell Density on CXCR4 Surface Expression. Individual flasks of culture media were each synchronously seeded
with 5 × 106 SK-N-SH cells and grown at 37°C to varying confluency. At each confluency, cells were harvested and processed
for cell surface staining of CXCR4. The maximum CXCR4 signal was observed at 50% confluency and set as 100% mean fluo-
rescent intensity. All intensities are represented as % relative values normalized to the maximum intensity. Regulation of CXCR4 Surface Expression is associated
with Structural Heterogeneity 7A);
this conversion appears to be associated with changes in
Cul 5 expression levels (Fig. 8A). In an effort to further evaluate proteasomal-mediated targeting of CXCR4 as a
possible mechanism for regulating its surface expression,
neuroblastoma cells were treated with the irreversible pro-
teasome inhibiting agent Lactacystin. Fig. 8B shows treat-
ment of the high CXCR4 surface expressing cell line SK-N-
SH with this compound resulted in a significant decrease
in surface levels of the receptor relative to untreated cells
(P < 0.005, paired t-test). The low surface expressing SH-
SY5Y showed no significant changes in CXCR4 levels. These observations were similar for the other high and
low surface expressing cells in our panel respectively
(Data not shown). Regulation of CXCR4 Surface Expression is associated
with Structural Heterogeneity Result represents
the mean from three experiments and shows the correlation between cell density and surface expression (Pearson correlation,
R2 = 0.9488, P < 0.05). ubiquitin monoclonal antibody. There were two bands of
approximately 68 and 72 kilodaltons present to varying
degrees in all of the cell lines (Fig. 7B); The 68 kilodalton
ubiquitinated molecule appears to correspond to the 67
kilodalton isoform described earlier as one of the three
associated with high surface expressing cell lines (Fig. 7A). The 72 kilodalton ubiquitinated molecule is also believed
to be a CXCR4 isoform observed in cell lines from both
the high and moderate surface expressing lines, albeit not
to the same extent. Attachment of ubiquitin serves as a pri-
mary signal to identify proteins targeted for turnover by
the proteasome. SK-N-AS is known to be deleted at Chro-
mosome 11q23 [25], a region which contains the gene for
Cul 5, a component of the E3 ubiquitin ligase complex
that mediates proteasomal degradation [26]. Comparison
between SK-N-AS and SK-N-AS 3, a derivative cell line
transfected with a Cul 5 expression vector, shows a shift
occurred from the low surface expressing to high surface
expressing CXCR4 structural profile respectively (Fig. 7A);
this conversion appears to be associated with changes in
Cul 5 expression levels (Fig. 8A). In an effort to further ubiquitin monoclonal antibody. There were two bands of
approximately 68 and 72 kilodaltons present to varying
degrees in all of the cell lines (Fig. 7B); The 68 kilodalton
ubiquitinated molecule appears to correspond to the 67
kilodalton isoform described earlier as one of the three
associated with high surface expressing cell lines (Fig. 7A). The 72 kilodalton ubiquitinated molecule is also believed
to be a CXCR4 isoform observed in cell lines from both
the high and moderate surface expressing lines, albeit not
to the same extent. Attachment of ubiquitin serves as a pri-
mary signal to identify proteins targeted for turnover by
the proteasome. SK-N-AS is known to be deleted at Chro-
mosome 11q23 [25], a region which contains the gene for
Cul 5, a component of the E3 ubiquitin ligase complex
that mediates proteasomal degradation [26]. Comparison
between SK-N-AS and SK-N-AS 3, a derivative cell line
transfected with a Cul 5 expression vector, shows a shift
occurred from the low surface expressing to high surface
expressing CXCR4 structural profile respectively (Fig. Discussion
h The purpose of this study was to evaluate the expression
of CXCR4 in neuroblastoma cells and determine to what
extent, if any, expression of this receptor may contribute
to the heterogeneity associated with the disease. Using a
panel of ten cell lines derived from patients with high-risk
neuroblastoma, we compared CXCR4 expression at both
the cell surface and transcriptional levels (Figs. 1 &2). Page 8 of 14
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Figure 4
Effect of the Secretion Inhibitor Brefeldin A on CXCR4 Surface Expression. Various cell lines from all three surface
expression classes were cultured with the addition of 1 μg/ml Brefeldin A. Cells were left at 37°C for 12 hrs, harvested,
washed, and processed for FACS analysis. Result represents the M.F.I. +/- SD from three experiments (*P < 0.05, Paired t-test). Effect of the Secretion Inhibitor Brefeldin A on CXCR4 Surface Expression
Figure 4
Effect of the Secretion Inhibitor Brefeldin A on CXCR4 Surface Expression. Various cell lines from all three surface
expression classes were cultured with the addition of 1 μg/ml Brefeldin A. Cells were left at 37°C for 12 hrs, harvested,
washed, and processed for FACS analysis. Result represents the M.F.I. +/- SD from three experiments (*P < 0.05, Paired t-test). Transcriptionally, CXCR4 was variably expressed in all of
the cell lines examined (Fig. 2A); this observation was
made for surface expression as well (Fig. 1B) and subse-
quently used to stratify cell lines into three categories of
expression (Table 1). While overall a direct correlation
between transcriptional and surface expression of CXCR4
was observed (Fig. 2C), the margin of difference in tran-
script levels were not as large as, and hence reflective of,
the differences witnessed for surface expression of the pro-
tein. It is reasonable to expect that assessment of gene
expression using two separate markers (cDNA and cell
membrane protein), and hence techniques, might pro-
duce results varying in scale based solely on differences in
the dynamic range and sensitivity of the assays used. The
extent of difference observed when transcriptional and
surface expression levels from the same cell line are com-
pared however suggests that some post-transcriptional/
translational event is involved in regulating the final
expression of CXCR4 on the surface of neuroblastoma
cells. Page 9 of 14
(page number not for citation purposes) Discussion
h mechanism [18]. An autocrine mechanism such as the
one suggested for CXCR4 regulation should be dependent
on the production and subsequent release of SDF-1 from
neuroblastoma cells prior to ligand-receptor binding and
internalization, and would thus be preceded by the accu-
mulation of ligand in the extracellular environment in a
time and cell density dependent manner. While we did
observe decreases in CXCR4 surface levels over increasing
time and cell confluency (Fig. 3), results from ELISA
experiments performed on media from confluent cultures
of neuroblastoma cells revealed negligible levels of SDF-1
(Fig. 5), this was despite the detection of SDF-1 transcripts
(data not shown) and protein (Fig. 6) inside the cells. It is
worth noting there was one cell line, NGP, in which some
SDF-1 was detected via ELISA (Fig. 5), however the maxi-
mum concentration detected (184 pg/ml) was more than
an order of magnitude below the minimum concentration
of exogenous SDF-1 (10 ng/ml) used to mediate CXCR4
down-regulation in neuroblastoma cells [18]. This obser-
vation, coupled with the failure of the secretory inhibitor
Brefeldin A to rescue CXCR4 from down-regulation,
strongly suggest a lack of autocrine regulation of CXCR4
in the cell lines we examined. Interestingly, Brefeldin A
treatment resulted in a decrease in CXCR4 cell surface It had previously been suggested that surface expression of
CXCR4 on neuroblastoma cells was subject to SDF-1
mediated down-regulation via a negative autocrine loop Page 9 of 14
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(page number not for citation purposes) Molecular Cancer 2009, 8:126 http://www.molecular-cancer.com/content/8/1/126 Quantitative Analysis of SDF-1 Secretion by Neuroblastoma
Cells
Figure 5
Quantitative Analysis of SDF-1 Secretion by Neurob-
lastoma Cells. Conditioned media from several neuroblast-
oma cell lines was collected at maximum confluency. Conditioned media was concentrated from 12 ml to 0.5 ml
by filter centrifugation using membranes with 3000 molecular
weight cut-offs. Quantitative Analysis of SDF-1 was per-
formed using an enzyme linked immunoadsorbent assay
(ELISA). Result represents the mean of three experiments
for representatives from each surface expressing class com-
pared to media background levels (*P < 0.005 and **P > 0.05,
unpaired t-test).Concentrations are expressed in pg/ml. Immunofluorescent Staining of CXCR4 and SDF-1 in Neu-
roblastoma Cells
Figure 6
Immunofluorescent Staining of CXCR4 and SDF-1 in
Neuroblastoma Cells. Cells were seeded onto coverslips
and grown to 80% confluency. Quantitati
Cells
Figure 5 Quantitative Analysis of SDF-1 Secretion by Neurob-
lastoma Cells. Conditioned media from several neuroblast-
oma cell lines was collected at maximum confluency. Conditioned media was concentrated from 12 ml to 0.5 ml
by filter centrifugation using membranes with 3000 molecular
weight cut-offs. Quantitative Analysis of SDF-1 was per-
formed using an enzyme linked immunoadsorbent assay
(ELISA). Result represents the mean of three experiments
for representatives from each surface expressing class com-
pared to media background levels (*P < 0.005 and **P > 0.05,
unpaired t-test).Concentrations are expressed in pg/ml. ated with different functional responses [22,23]. Given
that to our knowledge no such observations have been
reported in neuroblastoma cells we examined whether
this heterogeneity was present in our cell lines as well, and
if so to what extent it might be associated with differential
surface expression of the receptor. In our examination of
CXCR4 we found the degree of structural heterogeneity to
be high (Fig. 7A), observing what appeared to be many of
the same isoforms reported by others [22,23]. Of the iso-
forms we observed we noted some that were more prom-
inently associated with cells in certain surface expression
classes such as, the moderate to high class more strongly
expressing isoforms of 55, 67, and 87 kDa, and the 38 and
45 kDa isoforms more prominently associated with the
low surface expressing class. It is compelling to speculate
whether these two classes of isoforms respectively regulate
opposing CXCR4 mediated responses such as, the prolif-
erative and cytotoxic signaling in response to SDF-1 stim-
ulation observed in two different neuroblastoma cell lines
[17,20]. Another important consideration is the possibil-
ity that the association of these structural isoforms with
differential expression of CXCR4 at the cell surface is
based solely on alterations in epitopes which could result
in a loss of recognition by the antibody used for surface expression (Fig. 4), possibly due to disruption of receptor
recycling from intracellular vesicles to the cell surface. The
presence of detectable SDF-1 at both the mRNA (data not
shown) and protein levels (Fig. 6) suggest that this chem-
okine was produced by the neuroblastoma cell lines we
examined. Failure to find SDF-1 in the extracellular media
however may be an indication that the cells were either
defective in their ability to secrete it, or the appropriate
stimulus was not present to elicit its secretion. Page 10 of 14
(page number not for citation purposes) Discussion
h At desired confluency cells
were fixed with 3.7% formaldehyde, permeabilized with 10%
NP-40 and blocked with PBG. CXCR4 and SDF-1 immune
complexes were generated by incubating cells with 1/1000
dilutions of the mouse anti-CXCR4 monoclonal antibody
MAB172 and the goat anti-SDF-1 antibody MAB310 respec-
tively. 1/200 dilutions of FITC-conjugated donkey anti-mouse
and TRITC-conjugated donkey anti-goat antibodies were
used to localize CXCR4-MAB172 complexes respectively. Immune complexes were visualized using an inverted fluores-
cent microscope. Figures show superimposed composites of
CXCR4 and SDF-1 imaging from the same fields of vision. (A) SK-N-SH cells. (B) SH-SY5Y cells. Result is a represent-
ative image taken from ten separate fields of vision. Immunofluorescent Staining of CXCR4 and SDF-1 in Neu-
roblastoma Cells
Figure 6
Immunofluorescent Staining of CXCR4 and SDF-1 in
Neuroblastoma Cells. Cells were seeded onto coverslips
and grown to 80% confluency. At desired confluency cells
were fixed with 3.7% formaldehyde, permeabilized with 10%
NP-40 and blocked with PBG. CXCR4 and SDF-1 immune
complexes were generated by incubating cells with 1/1000
dilutions of the mouse anti-CXCR4 monoclonal antibody
MAB172 and the goat anti-SDF-1 antibody MAB310 respec-
tively. 1/200 dilutions of FITC-conjugated donkey anti-mouse
and TRITC-conjugated donkey anti-goat antibodies were
used to localize CXCR4-MAB172 complexes respectively. Immune complexes were visualized using an inverted fluores-
cent microscope. Figures show superimposed composites of
CXCR4 and SDF-1 imaging from the same fields of vision. (A) SK-N-SH cells. (B) SH-SY5Y cells. Result is a represent-
ative image taken from ten separate fields of vision. Quantitativ
Cells
Figure 5 Quantitati
Cells
Figure 5 Although
we considered the possibility that neuroblastoma cells in
this study were not presented with the appropriate stimuli
for secretion of SDF-1, the fact that they were cultured in
the presence of 5% fetal bovine serum, a concentration
greater than that shown to stimulate SDF-1 secretion from
glioblastoma cells [27] strongly suggested otherwise. We hypothesized that the differential expression of
CXCR4 in neuroblastoma cells might be due to post-trans-
lational modifications that influenced its trafficking to the
cell surface. Structural heterogeneity of CXCR4 due to
post-translational modification has been widely demon-
strated in a variety of cell types. These modifications have
in large part been attributed to glycosylation or ubiquiti-
nation of CXCR4 and in some cell types has been associ- Page 10 of 14
(page number not for citation purposes) http://www.molecular-cancer.com/content/8/1/126 Molecular Cancer 2009, 8:126 Analysis of CXCR4 Structural Heterogeneity in Neuroblastoma Cells
Figure 7
Analysis of CXCR4 Structural Heterogeneity in Neuroblastoma Cells. A) Western Blot Detection of CXCR4 in
Neuroblastoma Cell Lysates. Cell lysates were generated by solubilizing neuroblastoma cells in 1% triton X-100. Detergent sol-
uble proteins were resolved on 4-20% Bis-Tris SDS gels and transferred to nitrocellulose membranes. CXCR4 was detected by
probing with a rabbit anti-human CXCR4 polyclonal primary antibody (ab2090), followed by a horse radish peroxidase conju-
gated donkey anti-rabbit secondary antibody, and then chemiluminescent substrate. CXCR4 was visualized using enhanced
chemiluminescent (ECL). The samples represented are as follows: Lane 1- CHP-134, Lane 2-KCN, Lane 3-KCNR, Lane 4-NB-
69, Lane 5-NGP, Lane 6-SK-N-FI, Lane 7-SK-N-AS, Lane 8-SK-N-ASΔ3*, Lane 9-LAN-5, Lane 10-SK-N-SH, Lane 11-SH-SY5Y. Cell lines are color coded by surface expression class: Red = Low, Blue = Medium, Green = High, Black = Not Conclusively
Determined (N.D.). *SK-N-ASΔ3 is a derivative cell line of SK-N-AS that has been transfected with an expression vector con-
taining the coding sequence for an E3 ubiquitin ligase component Cullin-5 (CUL-5). All samples were loaded equally as deter-
mined by comparing actin levels in each lane (Data not shown). B) Western Blot Detection of Ubiquitin in CXCR4
Immunoprecipitates. Cell lysates were adsorbed with rabbit anti-human CXCR4 antibodies followed by precipitation with pro-
tein G Agarose. Precipitated CXCR4 Immune complexes were resolved on 4-15% Bis-Tris SDS gels and transferred to nitro- Analysis of CXCR4 Structural Heterogeneity in Neuroblastoma Cells
Figure 7
Analysis of CXCR4 Structural Heterogeneity in Neuroblastoma Cells. A) Western Blot Detection of CXCR4 in
Neuroblastoma Cell Lysates. Quantitati
Cells
Figure 5 Cell lysates were generated by solubilizing neuroblastoma cells in 1% triton X-100. Detergent sol-
uble proteins were resolved on 4-20% Bis-Tris SDS gels and transferred to nitrocellulose membranes. CXCR4 was detected by
probing with a rabbit anti-human CXCR4 polyclonal primary antibody (ab2090), followed by a horse radish peroxidase conju-
gated donkey anti-rabbit secondary antibody, and then chemiluminescent substrate. CXCR4 was visualized using enhanced
chemiluminescent (ECL). The samples represented are as follows: Lane 1- CHP-134, Lane 2-KCN, Lane 3-KCNR, Lane 4-NB-
69, Lane 5-NGP, Lane 6-SK-N-FI, Lane 7-SK-N-AS, Lane 8-SK-N-ASΔ3*, Lane 9-LAN-5, Lane 10-SK-N-SH, Lane 11-SH-SY5Y. Cell lines are color coded by surface expression class: Red = Low, Blue = Medium, Green = High, Black = Not Conclusively
Determined (N.D.). *SK-N-ASΔ3 is a derivative cell line of SK-N-AS that has been transfected with an expression vector con-
taining the coding sequence for an E3 ubiquitin ligase component Cullin-5 (CUL-5). All samples were loaded equally as deter-
mined by comparing actin levels in each lane (Data not shown). B) Western Blot Detection of Ubiquitin in CXCR4
Immunoprecipitates. Cell lysates were adsorbed with rabbit anti-human CXCR4 antibodies followed by precipitation with pro-
tein G Agarose. Precipitated CXCR4 Immune complexes were resolved on 4-15% Bis-Tris SDS gels and transferred to nitro-
cellulose membranes. Membranes were probed with a mouse anti-human Ubiquitin monoclonal antibody followed by an HRP-
conjugated donkey anti-mouse secondary antibody, and then addition of chemiluminescent substrate. Ubiquitin was visualized
by measuring ECL. Sample order is the same as in panel A. used in this study to measure surface expression,12G5
[22]. In light of these observations it is unlikely that the
differential surface expression witnessed here is reflective
of differences in epitope recognition and not protein lev-
els. We also observed differential overexpression of a non-
CXCR4 protein component that appeared only in low staining, however we have seen the same surface expres-
sion patterns using a different CXCR4 antibody, MAB-172
(data not shown). Additionally, isoforms similar to the
ones observed by us to associate with low surface expres-
sion were detected in lymphoblastic leukemic cells via
western blotting using the same anti-CXCR4 antibody Page 11 of 14
(page number not for citation purposes) Molecular Cancer 2009, 8:126 http://www.molecular-cancer.com/content/8/1/126 Evidence for Proteasomal Regulation of CXCR4 Structure-Function
Figure 8
Evidence for Proteasomal Regulation of CXCR4 Structure-Function. A) Comparison of Cul-5 Expression in SK-N-
AS vs. SK-N-ASΔ3 Cells. Quantitati
Cells
Figure 5 Top-Quantitative PCR was performed for 30 cycles of amplification using CUL-5 primers and a total of
250 ng of template cDNA from either SK-N-AS or SK-N-ASΔ3. Result represents the mean +/- SD from three experiments
(*P < 0.005, paired t-test). dCt values for CUL-5 transcripts were normalized to the endogenous control glyceraldehyde phos-
phate dehydrogenase. Bottom-Western blot was performed on total cell lysates from SK-N-AS and SK-N-ASΔ3 cells using
anti-CUL-5. B) Effect of Proteasomal Inhibitor Lactacystin on CXCR4 Surface Expression. Cells were cultured in the presence
of 10 μM of lactacystin. After 12 hrs of treatment cells were harvested and processed for FACS analysis. The high CXCR4 sur-
face expressing cell line SK-N-SH and its low surface expressing subclone were both analyzed. PBS was used as a negative con-
trol. Evidence f
Figure 8 g
g
Evidence for Proteasomal Regulation of CXCR4 Structure-Function. A) Comparison of Cul-5 Expression in SK-N-
AS vs. SK-N-ASΔ3 Cells. Top-Quantitative PCR was performed for 30 cycles of amplification using CUL-5 primers and a total of
250 ng of template cDNA from either SK-N-AS or SK-N-ASΔ3. Result represents the mean +/- SD from three experiments
(*P < 0.005, paired t-test). dCt values for CUL-5 transcripts were normalized to the endogenous control glyceraldehyde phos-
phate dehydrogenase. Bottom-Western blot was performed on total cell lysates from SK-N-AS and SK-N-ASΔ3 cells using
anti-CUL-5. B) Effect of Proteasomal Inhibitor Lactacystin on CXCR4 Surface Expression. Cells were cultured in the presence
of 10 μM of lactacystin. After 12 hrs of treatment cells were harvested and processed for FACS analysis. The high CXCR4 sur-
face expressing cell line SK-N-SH and its low surface expressing subclone were both analyzed. PBS was used as a negative con-
trol. ubiquitinated. Despite demonstrating the ubiquitination
of at least one CXCR4 isoform we were not able to conclu-
sively associate this particular modification with any one
class of CXCR4 surface expression. In light of observing
posttranslational modification of CXCR4 with ubiquitin
in neuroblastoma cells we decided to examine what effect
if any, treatment with the irreversible proteasome inhibi-
tor lactacystin would have on surface expression of
CXCR4. A previous report had shown an increase in
CXCR4 surface expression after lactacystin treatment in
monocytes, which was believed to be due to a rescue of
the receptor from proteasomal degradation [23]. Page 12 of 14
(page number not for citation purposes) Quantitati
Cells
Figure 5 The CUL-5 tran-
script encodes a component of the E3 ubiquitin ligase
which is a part of the proteasomal complex involved in
attachment of ubiquitin molecules to targeted proteins
and has been associated with breast tumorigenesis [26];
interestingly, this gene is found in a region of chromo-
some 11q we have shown to be commonly deleted in neu-
roblastoma and associated with poor outcome [28]. Initial attempts to associate this conversion of CXCR4 iso-
forms with a change in surface expression level were not
successful; however we did notice that this change
resulted in SK-N-AS, one of the more aggressively growing
and tumorigenic cell lines, becoming much less tumori-
genic in nude mice (data not shown). To our knowledge
the only E3 ligase associated with CXCR4 is atrophin
interacting protein 4 (AIP4) [29]; these observations have
in large part been made in cells of hematopoeitic lineage. Given that in the proteasomal complex there is a far
greater diversity of E3 components than E1 components,
and to a lesser extent E2 components, E3 ligases confer a
majority of the specificity for substrate recognition to the
proteasomal complex [30]. Based on this, the possibility
that in neuroblastoma cells an E3 ligase other than AIP4,
possibly Cul-5, mediates modification of CXCR4 is
intriguing. The combined observations that down-regula-
tion of CXCR4 occurred in the absence SDF-1 stimulation,
and in response to lactacystin treatment, may potentially
underscore a novel mechanism of GPCR regulation. Such
a mechanism might involve proteasomal mediated mod-
ification of CXCR4, possibly with ubiquitin, which targets
CXCR4 to the surface of neuroblastoma cells as opposed
to lysosomal degradation. If such a mechanism were to
exist then the ligand independent downregulation we
observed could represent the kinetic turnover of post-
translationally modified CXCR4 whereby a molecule such
as ubiquitin is cleaved off of CXCR4 resulting in its inter-
nalization and degradation. An example of this type of
mechanism is exhibited in the constitutive activation of
another seven transmembrane domain receptor, Protease-
activated receptor-1 (PAR1) [31]. C
l
i indirect regulation by proteasomal components not yet
identified are involved in the regulation of CXCR4 on the
surface of neuroblastoma cells, and that this regulation
can occur independent of stimulation by agonist as evi-
denced by the absence of any apparent endogenously
derived SDF-1. Quantitati
Cells
Figure 5 Our
examination revealed a decrease in surface expression of
CXCR4 on medium to high expressing neuroblastoma
cells following treatment with lactacystin (Fig. 8B); we
speculate that this may be due to decreased proteasomal
degradation of a negative regulator of CXCR4 surface
expression resulting in enhanced downregulation of sur-
face expression. Despite our inability to conclusively dem-
onstrate a direct correlation between ubiquitination
patterns and surface expression class we did observe that
stable transfection of our SK-N-AS cell line with a CUL-5
expressing construct (Fig. 8A) resulted in a derivative cell expressing cell lines (Fig. 7A); this material diffusely local-
ized between 67 and 87 kDa on blots with immune and
non-immune antibodies but was not observed however
when CXCR4 blots were performed following CXCR
immunoprecipitation (data not shown). In our attempts
to identify the nature of the various isoforms observed by
us we examined our cells for the presence of ubiquitinated
CXCR4 via western blotting (Fig. 7B). Two CXCR4 associ-
ated proteins were found to cross-react with anti-ubiqui-
tin antibodies, a 68 kDa species which we believe
corresponds to the 67 kDa isoform seen in CXCR4 immu-
noblots from high surface expressing cell lines, and a 72
kDa protein. Based on our observation, and an earlier
report suggesting a 68 kDa isoform to represent a non-gly-
cosylated CXCR4 dimer [22], it is likely our 67 kDa iso-
form represents a ubiquitinated CXCR4 dimer. With
regard to the 72 kDa isoform, while we have seen bands
of this size on our CXCR4 immunoblots, albeit not as
consistently and to a much lesser degree than the other
isoforms, it is possible that this particular isoform does
not cross react strongly with the monoclonal antibody
used in the CXCR4 immunoblot assays; alternatively, it
may represent a co-immunoprecipitating molecule that is Page 12 of 14
(page number not for citation purposes) Page 12 of 14
(page number not for citation purposes) http://www.molecular-cancer.com/content/8/1/126 Molecular Cancer 2009, 8:126 line (SK-N-ASΔ3) that was characterized by conversion of
its CXCR4 structural profile from one with prominent
expression of the 38 and 45 kDa isoforms as observed in
the low surface expressing cell lines, to one with strong
expression of the 55, 67, 87 kDa isomers observed in high
surface expressing cell lines (Fig. 7A). Conclusions
k
h Taken together, our data show that CXCR4 is widely
expressed at variable levels on the surface of patient-
derived neuroblastoma cell lines. We believe this variabil-
ity is in large part due to structural heterogeneity of the
receptor as a result of post-translational modifications
and that these modifications are in some small part due to
ubiquitination, but more probably to a greater extent due
to oligomerization. Additionally, it appears that direct or Quantitati
Cells
Figure 5 Furthermore, the apparent lack of endog-
enous SDF-1 involvement in our studies demonstrate that
regulation of CXCR4 surface expression can occur in a
non-autocrine, SDF-1 independent manner, which sug-
gests that this chemokine is not the sole obligatory signal
for all CXCR4 mediated activity, a likelihood which was
first underscored in a study using neuroblastoma cells that
were metastatically active and positive for CXCR4 surface
expression yet desensitized to SDF-1 [19]. Initial efforts by
our laboratory to demonstrate a functional difference
between CXCR4 mediated responses in our low versus
high surface expressing cell lines were unsuccessful (data
not shown) however the contribution of other, not yet
identified factors which may be present in the much more
�factor-rich� environment of the biological stroma
can not be ruled out. Recent work has demonstrated that
expression of CXCR4 in neuroblastoma cells can be differ-
entially regulated by exposure to stromal components,
and that the nature of this regulation can vary dependent
on both the cell line being examined and the tissue origin
of the stroma. In their study the authors identified liver
stromal-derived IFN-γ and IL-5γ as two components hav-
ing positive and negative regulatory effects respectively on
CXCR4 expression in one of their cell lines and were able
to directly correlate expression with cell migration. Although not reported it would be interesting to know if
the authors observed any of the structural heterogeneity
we identified to be associated with the differential expres-
sion and chemokine/receptor modulations witnessed in
their study. It should be noted that the authors used
mouse-derived stromal cells to influence CXCR4 expres-
sion on human neuroblastoma cells, however in the con-
text of our findings the possible contributory effects from
other stromal-derived cytokines such as IFN-γ and IL-5γ
on the expression and function of CXCR4 in our system
warrant investigation. Further work will focus on identify-
ing the nature of the CXCR4 modifications that exist in
neuroblastoma cells and the extent, if any, to which these
isoforms regulate the various CXCR4 mediated responses. Competing interests p
g
The authors declare that they have no competing interests. Quantitati
Cells
Figure 5 Furthermore, the apparent lack of endog-
enous SDF-1 involvement in our studies demonstrate that
regulation of CXCR4 surface expression can occur in a
non-autocrine, SDF-1 independent manner, which sug-
gests that this chemokine is not the sole obligatory signal
for all CXCR4 mediated activity, a likelihood which was
first underscored in a study using neuroblastoma cells that
were metastatically active and positive for CXCR4 surface
expression yet desensitized to SDF-1 [19]. Initial efforts by
our laboratory to demonstrate a functional difference
between CXCR4 mediated responses in our low versus
high surface expressing cell lines were unsuccessful (data
not shown) however the contribution of other, not yet
identified factors which may be present in the much more
�factor-rich� environment of the biological stroma
can not be ruled out. Recent work has demonstrated that
expression of CXCR4 in neuroblastoma cells can be differ-
entially regulated by exposure to stromal components,
and that the nature of this regulation can vary dependent
on both the cell line being examined and the tissue origin
of the stroma. In their study the authors identified liver
stromal-derived IFN-γ and IL-5γ as two components hav-
ing positive and negative regulatory effects respectively on
CXCR4 expression in one of their cell lines and were able
to directly correlate expression with cell migration. Although not reported it would be interesting to know if
the authors observed any of the structural heterogeneity
we identified to be associated with the differential expres-
sion and chemokine/receptor modulations witnessed in
their study. It should be noted that the authors used
mouse-derived stromal cells to influence CXCR4 expres-
sion on human neuroblastoma cells, however in the con-
text of our findings the possible contributory effects from
other stromal-derived cytokines such as IFN-γ and IL-5γ
on the expression and function of CXCR4 in our system
warrant investigation. Further work will focus on identify-
ing the nature of the CXCR4 modifications that exist in
neuroblastoma cells and the extent, if any, to which these
isoforms regulate the various CXCR4 mediated responses. C
ti
i t
t indirect regulation by proteasomal components not yet
identified are involved in the regulation of CXCR4 on the
surface of neuroblastoma cells, and that this regulation
can occur independent of stimulation by agonist as evi-
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13. Authors' contributions AJC conceived of and initiated this project, as well as per-
formed indirect immunoflourescence and western blot
assays, data analysis, writing and editing of manuscript. CL performed cell culture, FACS and ELISA assays. RC per-
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Your research papers will be:
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BioMedcentral Publish with BioMed Central and every
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g
)
18. Geminder H, Sagi-Assif O, Goldberg L, Meshel T, Rechavi G, Witz IP,
Ben-Baruch A: A possible role for CXCR4 and its ligand, the
CXC chemokine stromal cell-derived factor-1, in the devel- (
y
g
)
18. Geminder H, Sagi-Assif O, Goldberg L, Meshel T, Rechavi G, Witz IP,
Ben-Baruch A: A possible role for CXCR4 and its ligand, the
CXC chemokine stromal cell-derived factor-1, in the devel-
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https://zenodo.org/record/6575276/files/June_Proceedings_IQAC-37-51.pdf
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English
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INNOVATION IN ENGINEERING CURRICULUM AS B.TECH. (HONS) BY INTEGRATING STEAM, ESEP & IPR
|
Zenodo (CERN European Organization for Nuclear Research)
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Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0 Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0 ISBN No.: 978-81-941751-0-0 Paper 3 Abstract Innovation in course curriculum is a continuous process in the higher education system
(HES). As the amount of published information growing with time at geometric progression,
it is necessary to increase the depth and breadth of the HES curriculum of every course with
time. Engineering education is one of the prominent areas in science & technology education,
finding many opportunities and facing many challenges in the 21st century due to the
accelerated advancement of technologies in many areas. Keeping students in pace with such
developments and adopting such newly emerging areas of technology in the current
curriculum is an essential requirement of the education industry’s progress. In this paper, we
have proposed improvement in engineering education in India at the undergraduate level by
means of six innovations to improve the depth, breadth, and vigorousness of the B.Tech. programme by suggesting a Student integrated development Framework in engineering based
on STEAM-Employability Model with a focus on experimental learning. The six innovations
proposed in this model upgrades the B.Tech. (Pass) programme into B.Tech. (Honours). Keywords : B.Tech. degree, B.Tech. (Hons), Engineering curriculum, STEM, STEAM,
Employability skill enhancement program (ESEP), Experimental learning, STEAM-
Employability Model. INNOVATION IN ENGINEERING CURRICULUM AS
B.TECH. (HONS) BY INTEGRATING STEAM, ESEP &
IPR P. S. Aithal1, & Shubhrajyotsna Aithal2
1College of Management & Commerce, Srinivas University, Mangalore, India. 2Faculty, College of Engineering & Technology, Srinivas University, Mangalore, India
E-mail: psaithal@gmail.com SIMS Pandeshwar & Srinivas University Mukka Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0 college education system. It is believed that such an education model can prepare students
all-rounder to face any challenges in their life and make them innovative in their working
place. Apart from area-based specific focus during higher education which enhances
knowledge and subject-specific skills, additional supporting skills like communication,
proficiency in writing, generation of new ideas, enhancing competitiveness, preserving a
vision in life, desire for learning and improvement in life, attitude towards life, respect for
fellow-beings, self-control and such other qualities inculcate confidence and enhances
leadership behaviour among the students to become winner in competitive society. These
factors also enhance the employability of the students in industry specific areas where general
skills and competency are essential for survival [2]. Engineering education is one of the prominent areas in science & technology education,
finding many opportunities and facing many challenges in the 21st century due to the
accelerated advancement of technologies in many areas of society [3-5]. Technology is
considered as lifeblood of all developments and solutions to all problems related to basic
needs, advanced wants, and dreamy desires of human being in the society. Keeping
engineering students in pace with such developments and adopting such newly emerging
areas of technology in the current curriculum is an essential requirement of the education
industry’s progress. In this paper, we have proposed a new improved model on engineering
education system of India which includes basically STEAM model with employment skills
enhancement program (ESEP) subjects in every semester and earning IPR by every student as
top-ups. This model proposes six innovations at the undergraduate engineering level to
improve the depth, breadth, and vigorousness of the B.Tech. programme by suggesting a
Student focussed integrated development (SFID) Framework. This integrated development
framework in engineering education is based on STEAM-Employability Model with a focus
on experimental learning. The six innovations proposed in this model with increased credits
in every semester upgrades the conventional B.Tech. (Pass) programme into B.Tech. (Honours). The advantages, benefits, constraints, and disadvantages from students,
institutions, and job offering industries point of view are analysed. Many recommendations
are submitted based on the analysis to make this model of B.Tech. (Honours) more effective
in its objective of enhancing competency, confidence, and employability of graduates to
secure better job. 1. INTRODUCTION : Higher education system (HES) has an objective of improving the knowledge, skills,
experience, & ethics of students towards increasing their confidence to identifying and
solving problems of the society through effective and contemporary education using a
suitable teaching-learning model [1]. Innovation in course curriculum is a continuous feature
in the higher education system. As the amount of published information growing with time at
geometric progression, it is necessary to increase the depth and breadth of the HES
curriculum of every course with time. This also involves in removing obsolete part of the
curriculum without hesitation to give room for new and emerging issues in the course
subjects. Upgrading HE curriculum by adding area based specific focus models like STEM
(Science, Technology, Engineering, and Mathematics), and STEAM (Science, Technology,
Engineering, Arts & design, and Mathematics) are the current trend in both secondary and SIMS Pandeshwar & Srinivas University Mukka Page 32 2. RELATED SCHOLARLY WORKS : 2.1 STEM Model as First School of Innovative Thought : 2.1 STEM Model as First School of Innovative Thought :
STEM (Science, Technology, Engineering, and Mathematics) as integrated single subject in
school education is becoming popular in many countries and now spreading its roots to
higher education system. Apart from school education, if college level curriculum is planned
with STEM subjects, the scientific thinking and innovative ability of students can be
improved to make them smart graduates who can adopt technology in decision making and
problem solving. In STEM curriculum model at college level, a student has to study science,
technology, engineering, and mathematics subjects in each year (preferable in semester) to be
competitive in order to get further opportunities. Identifying such subjects in a systematic
combination to make effective STEM interconnected model is the challenge for educators. Table 1 contains some of research papers published during the 21st century related to college
education. SIMS Pandeshwar & Srinivas University Mukka Page 33 Page 33 Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0 Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0
Table 1 : Published papers related to STEM education
S. No. STEM Curriculum
Focus
Reference
1
21st century STEM education
concepts & priorities
A tactical model for
long-range success
Ostler, E. (2012). [6]
2
STEM
subjects
for
College
education
College
student
pathways
to
the
STEM disciplines
Engberg, M., (2013)
[7]
3
Facilitating
change
in
undergraduate STEM education
STEM for Change in
knowledge & skills
Beach, A. L., (2012)
[8]
4
Innovation processes in university
STEM education
System model
Porter, A. L., (2016)
[9]
5
Integrated STEM education
Benefits
and
procedure
of
integration
Roehrig,
G. H.,
(2015) [10]
6
How
an
integrative
STEM
curriculum
For
students
of
engineering
design
practices
Fan, S. C., (2017)
[11]
7
From STEM to STEAM Strategies
for
enhancing
engineering
&
technology education
Importance of Arts &
Design education for
enhancing
creative
abilities
Connor, A., et al. (2015) [12]
8
The
potential
of
technology
education
STEM education
Wells, J. G. (2008)
[13]
9
STEM and technology education
International state-of-
the-art education
Ritz, J. M., (2015)
[14]
10
Developing
effective
STEM
professional development programs
Design
of
STEM
programs
Avery, Z. K., (2013)
[15]
11
Reformation
of
engineering
education. Transitioning
from
STEM to STEAM
Watson, A. D.,
(2013) [16]
12
Rethinking STEM education
An interdisciplinary
STEAM curriculum
Madden, M. 2. RELATED SCHOLARLY WORKS : E., [17] ISBN No.: 978-81-941751-0-0 2.2 STEAM Model as Second School of Innovative Thought : g
An improvement in STEM is argued by many researchers in education to make students as
all-rounders. As per this argument, apart from learning for knowledge, skills, and experience
which are specific for a given industry, student should also enhance their creative thinking
and design abilities by involving in art and design related trainings. Hence a new model
which integrates STEM with Arts & Design subjects is proposed. Based on studies it is
realized that such a transdisciplinary STEAM model is the current requirement to enhance the
creative thinking abilities among engineering graduates. Table 2 reviews some of the papers
published related to STEAM education model. SIMS Pandeshwar & Srinivas University Mukka
Page 34
Table 2 : Published papers related to STEAM education
S. No. STEAM Curriculum
Focus
Reference
1
STEAM education
Development
of
a
theoretical model
Kim, Sung-Won, et
al. (2012) [18]
2
Development and application
of STEAM teaching model
Based
on
the
Rube
Goldberg’s invention
Kim, Y., (2012) [19
2] SIMS Pandeshwar & Srinivas University Mukka
Page 34
Table 2 : Published papers related to STEAM education
S. No. STEAM Curriculum
Focus
Reference
1
STEAM education
Development
of
a
theoretical model
Kim, Sung-Won, et
al. (2012) [18]
2
Development and application
of STEAM teaching model
Based
on
the
Rube
Goldberg’s invention
Kim, Y., (2012) [19
2] Page 34 SIMS Pandeshwar & Srinivas University Mukka Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0
3
A study of teaching-learning
methods
for
the
IT-based
STEAM education model
With
regards
to
developing
people
of
interdisciplinary abilities
Kim, J. A., (2011)
[20]
4
Rethinking STEM education
An
interdisciplinary
STEAM curriculum
Madden,
M. E.,
(2013) [21]
5
Transitioning
STEM
to
STEAM
Reformation
of
engineering education
Watson,
A. D.,
(2013) [22]
6
From STEM to STEAM
Toward a human-centred
education
Boy, G. A. (2013)
[23]
7
An
analysis
on
STEAM
education
teaching
and
learning program
On
technology
and
engineering areas
Ahn, J., (2013) [24]
8
STEAM teaching practices
Developing a conceptual
model
Quigley,
C. F. (2017) [25]
9
From
interdisciplinary
to
transdisciplinary
An
arts-integrated
approach
to
STEAM
education
Liao,
C. (2016). [26]
10
STEAM Education
Study on the current status
Park,
H.,
(2016)
[27]
11
STEAM as social practice
Cultivating creativity in
transdisciplinary spaces
Guyotte,
K. 2. RELATED SCHOLARLY WORKS : W.,
(2014) [28]
12
STEAM
Education
through
Case Studies
Examination
of
the
Practical Model
KIM, J. W. (2015)
[29]
13
From STEM to STEAM
Students’ beliefs about the
use of their creativity
Oner, A. T., (2016)
[30] 2.3 Improving Competency through Employability Skills Enhancement Model Competency means ability or capability to do things effectively and performance is the proof
of competency. The objective of higher education is to impart competency to the learners and
the presumption is that those who undergo higher education have acquired competency. But
based on many studies, it is evident that a major portion of engineering graduates have lack
of competency to be employed. This problem can be resolved by means of offering special
training on employability skills enhancement during the engineering course by adopting such
training in the college curriculum. Many research papers published on such industry oriented
employability skills to be inculcated with the students to transfer them as employable
graduates. A review on some of the papers on employability skills enhancement based
education is given in Table 3. SIMS Pandeshwar & Srinivas University Mukka
Page 35
Table 3 : Published papers related to Employability skills enhancement based education
S. No. ESEP Curriculum
Focus
Reference
1
Career management skills
Enhancing
graduate
employability
Bridgstock,
R. (2009). [31]
2
Employability
skills
in
higher education
Various methods in order to
promote employability skills in
HE
Asonitou, S. (2015). [32]
3
A European study
Graduate
employability,‘soft
skills’ versus ‘hard’business
Andrews, J., (2008)
[33] Table 3 : Published papers related to Employability skills enhancement based educatio
S. No
ESEP Curriculum
Focus
Reference Page 35 SIMS Pandeshwar & Srinivas University Mukka Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0
knowledge
4
Engineering employability
skills
required
by
employers
In Asian countries
Zaharim, A., (2009)
[34]
5
Recognizing
the
enhancement of graduate
attributes
and
employability
Through part-time work while
at university
Muldoon, R. (2009). [35]
6
Methods and Approaches
for
Employability
Skill
Generation
In
Higher
Educational
Institutions
Aithal, P. S., (2015). [36]
7
Bridging the gap between
degree
programme
curricula
and
employability
Through implementation of
work-related learning
Hills, J. M., (2003)
[37]
8
Defining and measuring
employability
Measurement ideas
Harvey, L. (2001). [38] 3. OBJECTIVES : This paper is a conceptual suggestion based proposal to convert B.Tech. (Pass) course into
B.Tech. (Honours) with the following objectives : (1) To study emerging models in undergraduate engineering programmes and emerging
technologies in the 21st century to be incorporated in the curriculum of undergraduate
engineering programmes. g
g p
g
(2) To propose employability and research oriented curriculum in engineering education
based on emerging technologies. g
g p
g
(2) To propose employability and research oriented curriculum in engineering education
based on emerging technologies. (3) To suggest an innovative curriculum scheme based on STEAM and employability skill
enhancement Program (ESEP) papers along with a focus on research in the improved model. (3) To suggest an innovative curriculum scheme based on STEAM and employability skill
enhancement Program (ESEP) papers along with a focus on research in the improved model. SIMS Pandeshwar & Srinivas University Mukka (1) Industry Integrated B.E./B.Tech. Programs : (1) Industry Integrated B.E./B.Tech. Programs : ( )
y
g
g
These courses are designed to train students for specific industries. The curriculum of such
courses is designed by involving experts from such industries along with academicians. Such
courses will have more practical components in the form of industry specific projects and
industry based internships. EMERGING MODELS IN UNDERGRADUATE ENGINEERING EDUCATION 4.1 New Models in Engineering Education :
Autonomy for higher education institutions supported many innovations in course
identification, course design, course pedagogy, student services, examination, and evaluation
systems. Engineering education, being a prominent field in higher education, became witness
in such innovations. Many student centric models are offered in engineering education during
last few years mostly by autonomous and private universities. Some of such successful
models which attracted many students are as follows : (1) Industry Integrated B.E./B.Tech. Programs : (2) Super speciality B.E./B.Tech. Programs : (2) Super speciality B.E./B.Tech. Programs : (2) Super speciality B.E./B.Tech. Programs : ( )
p
p
y
g
These courses are designed to train the students in emerging engineering and technology
areas to full fill the requirements in future industries. These emerging areas usually falls ( )
p
p
y
g
These courses are designed to train the students in emerging engineering and technology
areas to full fill the requirements in future industries. These emerging areas usually falls SIMS Pandeshwar & Srinivas University Mukka Page 36 Page 36 under General purpose technologies which offers huge job opportunities in future days in
many industries. under General purpose technologies which offers huge job opportunities in future days in
many industries. (3) Skill focussed B.E./B.Tech. Programs : These courses focus on developing some specific skills along with the general requirements
of engineering knowledge, skills, and experience. Usually, these courses have components
which are taught by a specific set of professionals or consultants who have proprietary
knowledge in that area. (4) B.E./B.Tech. Programs with Multi-continent exposure : ( )
g
p
In this model, students are exposed to different educational environment by taking them to
three to four continent. The students get multi-cultural, multi-teaching- learning atmosphere,
along with mult-country industry exposure. Student will study foreign language, and the
attitude of other country people due to their immersion in different country environment. The
social and technological scenarios will modify the critical and creative thinking abilities to
contribute differently to their future organizations. (5) Integrated Dual degree during B.E./B.Tech. Programs :
In this model, a student registers for two university degrees simultaneously either at the same
institution or at different institutions of same university or some times of different
universities. This model allows a student to study two degrees in different subject areas
simultaneously so that the precious time resource can be utilized effectively. Such studies
may be of two different undergraduate programmes as parallel programmes in different
disciplines or two sequential programmes as undergraduate and postgraduate programmes in
a single discipline. (6) Research focussed B.E./B.Tech. Programs : (6) Research focussed B.E./B.Tech. Programs : ( )
g
Undergraduate degree programmes in engineering can be made innovative and more
intensive by integrating research components in one or more semesters so that along with
conceptual and practical studies, students are compulsorily involved in research and
publications along with the faculty members so that students are exposed to systematic
innovative thinking and analysis. 4.2 Emerging Technologies to be Incorporated in Engineering Education : It is an application of artificial intelligence that
provides the system with the ability to automatically learn and improve from experience. Machine learning is based on the idea that we can build machines to process data and learn
on their own, without our constant supervision. p
y
y
y
q
y
(2) Machine learning : Machine Learning is the learning in which machine can learn by its
own without being explicitly programmed. It is an application of artificial intelligence that
provides the system with the ability to automatically learn and improve from experience. Machine learning is based on the idea that we can build machines to process data and learn
on their own, without our constant supervision. (2) Machine learning : Machine Learning is the learning in which machine can learn by its
own without being explicitly programmed. It is an application of artificial intelligence that
provides the system with the ability to automatically learn and improve from experience. Machine learning is based on the idea that we can build machines to process data and learn
on their own, without our constant supervision. (3) Robotics : Robotics technology deals with the study of design, construction, operation,
and application of computerized robots and their control, sensory feedback, and information
processing abilities. Robotics technologies are useful in developing machines that can
replicate and substitute human actions. (3) Robotics : Robotics technology deals with the study of design, construction, operation,
and application of computerized robots and their control, sensory feedback, and information
processing abilities. Robotics technologies are useful in developing machines that can
replicate and substitute human actions. (4) Internet of things : It is a network of various electronic, computing, and optical
devices/objects including human beings connected virtually by means of internet or intranet
for enabling them to send and receive data and information. These objects are provided with
unique identifiers (UIDs) and are capable to transfer data and information over a network
without requiring human-to-human or human-to-computer interaction by using IoT
technology. Such a connection of physical things/objects through the Internet allows to
access remote sensor data and to control the physical devices connected to it from a distance. The data captured from such sources, can create new synergistic services which will be
superior to such services provided by an isolated embedded system. Internet-of-Things
(IoT) is not in any new disruptive technology but is the pervasive deployment and
innovation of ICCT. 4.2 Emerging Technologies to be Incorporated in Engineering Education : g
g
g
p
g
g
The future education is mostly driven by technology and hence customizable. In this century,
education sector, being a part of the service industry is also going to witness the fourth
industrial revolution (IR 4.0) with the features of mass customization, personalization, and
student centric approach. The technology based disruptive model of education is going to be
a driving force of future education at both school and college levels. The engineering
education also be accessed via following nine trends [x] which include (1) ubiquitous
education model, (2) personalized learning model, (3) choice based pedagogy model, (4)
project & experimental based learning model, (5) field based learning through internship, (6)
data interpretation skills, (7) competency based evaluation model, (8) teachers as facilitators
& guides during learning process, and (9) student-self designed curriculum model. These
trends of education 4.0 can be realized using various emerging technologies under the
umbrella of ICCT (Information communication and computation Technology) and
nanotechnology. SIMS Pandeshwar & Srinivas University Mukka Page 37 Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0
The various emerging technologies which have an impact on teaching – learning and various
industrial applications [39-42] are : The various emerging technologies which have an impact on teaching – learning and various
industrial applications [39-42] are : (1) Artificial Intelligence : Artificial intelligence (AI) is an area of computer science which
focuses on the creation of intelligent machines which can mimic the decisions of human
beings. The primary objective of AI technology is to develop machines which can think and
do things better than human beings. The main functions of artificial intelligence machines are
to recognize the environment such as speech recognition, Learning, Planning, Problem
solving, and hence decision making. Artificial intelligence machine mimics cognitive
functions of human beings associated with other human minds, such as learning &
memorising and decision making for problem solving. ICCT has created a platform for AI to
be introduced and developed for adding intelligent thinking components in electronic systems
used in any industrial sectors. Artificial intelligence has its applications in almost all
industries in the primary sectors, secondary sectors, tertiary sectors, and quaternary sector. p
y
y
y
q
y
(2) Machine learning : Machine Learning is the learning in which machine can learn by its
own without being explicitly programmed. SIMS Pandeshwar & Srinivas University Mukka Research in Higher Education, Learning and Administration
IQAC 2019 Further Prescriptive Analytics for optimizing the decisions with
multiple objectives/ portfolio analytics, optimizing complex decisions/ sales force analytics,
and Retail Analytics etc are also have futuristic impact on effective business decisions. (11) Cloud Computing : Cloud computing is one of the advances in computer technology (9) Quantum computing : High speed computers based on optical signal switching and
optical signal processing are expected to breakthrough with their full potentials and
capabilities using optical logic gates and flip-flops fabricated by nanocomposites are
expected to breakthrough in this century. High speed computation and data storage using
nanotechnology based optical/quantum computers are going to revolutionize the entire
computer industry. Optical computation is joining both general purpose technologies of
Nanotechnology and ICCT through the processes of design & production as well as operation
& applications respectively. Various optical principles like photo-refraction, optical spatial
solitons, and optical logic gates are under considerations for building all-optical computers. ,
p
g
g
g
p
p
(10) Business Analytics : The emerging subfield of ICCT named big data and business
analytics focus on handling huge amount of data continuously generated in any business or
data capturing process and analyses it using various quantitative analytical techniques and
mathematical models to study the pattern and descriptive information, predictive information,
and prescriptive information for supporting the decision makers to take optimum decisions to
the problems related to future aspects of the business. Predictive analytics in various
functional areas like Marketing analytics, Retail Analytics (Customer Analytics/ Supply
Chain Analytics), Pricing Analytics, Financial analytics, Social media analytics, sports
analytics, and Healthcare analytics are finding importance in the business environment for
effective decision making. Further Prescriptive Analytics for optimizing the decisions with
multiple objectives/ portfolio analytics, optimizing complex decisions/ sales force analytics,
and Retail Analytics etc are also have futuristic impact on effective business decisions. y
p
(11) Cloud Computing : Cloud computing is one of the advances in computer technology
and is uses information communication technology as well. Due to the ubiquity of cloud
computing facility with flexibility in scaling it has become an important topic of research and
provides the value for computing processes in the business. The cloud computing model also
provides a most important application called Business Intelligence (BI) for effective decision
making in business processes via the Internet. 4.2 Emerging Technologies to be Incorporated in Engineering Education : (5) Autonomous vehicles : An autonomous vehicle can guide itself without human control. This kind of vehicle has become a concrete reality and may pave the way for future systems
where computers take over the art of driving. An autonomous car is also known as a
driverless car, robot car, self-driving car or autonomous vehicle. An autonomous vehicle is an
application of artificial intelligence and machine learning in automobile engineering. (5) Autonomous vehicles : An autonomous vehicle can guide itself without human control. This kind of vehicle has become a concrete reality and may pave the way for future systems
where computers take over the art of driving. An autonomous car is also known as a
driverless car, robot car, self-driving car or autonomous vehicle. An autonomous vehicle is an
application of artificial intelligence and machine learning in automobile engineering. (6) Bio and nanotechnology : Bionanotechnology is a branch of nanotechnology which
uses biological starting materials, utilises biological design or fabrication principles or is
applied in medicine or biotechnology. For example, nanoparticles can serve as probes,
sensors or vehicles for biomolecule delivery in cellular systems. (6) Bio and nanotechnology : Bionanotechnology is a branch of nanotechnology which
uses biological starting materials, utilises biological design or fabrication principles or is
applied in medicine or biotechnology. For example, nanoparticles can serve as probes,
sensors or vehicles for biomolecule delivery in cellular systems. y
y
(7) 3-D printing : 3D printing is an ICCT application where various materials are joined or
solidified using various processes under the control of the computer to create a three-
dimensional object. In 3D printing, an object is created by laying down successive layers of
material until the object is created. 3D printing can be divided into metal, fabrics, bio and a
whole host of other industries with many applications in many industries worldwide. 3D
printing is a variant of ICCT general purpose technology and has wide scope in various Page 38 SIMS Pandeshwar & Srinivas University Mukka Research in Higher Education, Learning and Administration
IQAC 2019 ISBN No.: 978-81-941751-0-0 industrial automation and home automation processes. 3D printing technology is expected to
revolutionise the material fabrication processes. 3D printing comprises of many other
technologies along with ICCT. Some of the 3D printers make use of nanomaterials and
nanocomposites for anything, anywhere manufacturing. industrial automation and home automation processes. 3D printing technology is expected to
revolutionise the material fabrication processes. 3D printing comprises of many other
technologies along with ICCT. Some of the 3D printers make use of nanomaterials and
nanocomposites for anything, anywhere manufacturing. (8) Material science for energy Storage : Sustainable materials are the key requirement of
many advanced energy technologies including solar cells, batteries, fuel cells, and catalysis. There is a large demand for cost-efficient methods for energy storage and conversion in the
society and hence it has become imperative to accelerate the rate at which energy-
related materials are developed. Material scientists are developing various materials which
show improved properties like smart materials, superconductors, nanomaterials, polymers,
etc. (9) Quantum computing : High speed computers based on optical signal switching and
optical signal processing are expected to breakthrough with their full potentials and
capabilities using optical logic gates and flip-flops fabricated by nanocomposites are
expected to breakthrough in this century. High speed computation and data storage using
nanotechnology based optical/quantum computers are going to revolutionize the entire
computer industry. Optical computation is joining both general purpose technologies of
Nanotechnology and ICCT through the processes of design & production as well as operation
& applications respectively. Various optical principles like photo-refraction, optical spatial
solitons, and optical logic gates are under considerations for building all-optical computers. (10) Business Analytics : The emerging subfield of ICCT named big data and business
analytics focus on handling huge amount of data continuously generated in any business or
data capturing process and analyses it using various quantitative analytical techniques and
mathematical models to study the pattern and descriptive information, predictive information,
and prescriptive information for supporting the decision makers to take optimum decisions to
the problems related to future aspects of the business. Predictive analytics in various
functional areas like Marketing analytics, Retail Analytics (Customer Analytics/ Supply
Chain Analytics), Pricing Analytics, Financial analytics, Social media analytics, sports
analytics, and Healthcare analytics are finding importance in the business environment for
effective decision making. Research in Higher Education, Learning and Administration
IQAC 2019 IQAC 2019 ISBN No.: 978-81-941751-0-0 timestamp, and transaction data. By design, a blockchain is resistant to modification of the
data. Blockchain gives the history of currency transaction and hence its spending pattern. Blockchain technology is widely used by cryptocurrency transactions. The discovery of the
blockchain technology for bitcoin made it the first digital currency to solve the double-
spending problems without the need of a trusted authority. Blockchain technology has
potential applications in digital currency technology and secured transactions. timestamp, and transaction data. By design, a blockchain is resistant to modification of the
data. Blockchain gives the history of currency transaction and hence its spending pattern. Blockchain technology is widely used by cryptocurrency transactions. The discovery of the
blockchain technology for bitcoin made it the first digital currency to solve the double-
spending problems without the need of a trusted authority. Blockchain technology has
potential applications in digital currency technology and secured transactions. p
pp
g
y
gy
(13) Online education technology : Online educational technology supports learning from
distance so that a person can earn educational credentials and improve his performance by
creating, using and managing appropriate technological processes and resources using
internet and multimedia technologies. Online educational technology is the use of both
physical hardware and educational theoretic along with wireless systems and internet. This
technology has huge amount of applications in many kinds of services in almost all industry
sectors for training and development. (14) Virtual & Augmented Reality : Virtual reality is an artificial environment that is
created with the help of computer-based software and presented to the user in such a way that
the user suspends belief and accepts it as a real environment. On a computer, virtual reality is
primarily experienced through two of the five senses: sight and sound. Currently, the virtual
reality is mainly developed and used in simulated training and education as well as the
simulated game environment. But it may further find its applications in many other areas
including business as augmented reality and may enter the group of general purpose
technology. These emerging technologies have many applications in engineering industries. Having
knowledge and learning such technologies is essential for undergraduates during their studies
so that such exposure Research in Higher Education, Learning and Administration
IQAC 2019 Cloud computing model provides its clients
with both hardware as well as software to process the data and information online as a rental
service. Cloud computing model has three variations as Software as a Service (SaaS),
Infrastructure-as-a-Service (IaaS) and Platform-as-a-Service (PaaS) to provide ubiquitous
computing service solutions to the business. The cloud computing solution used by any
business will allow companies to reduce their investment cost, maintenance cost, and hence
business cost without compromising to have access to BI solution which will give the
business an edge on their competition. g
p
(12) Blockchain Technology : Blockchain is basically a growing list of records containing
data or information, called blocks, which are linked using a secured technique called
cryptography. Every such block contains a cryptographic hash code of the previous block, a SIMS Pandeshwar & Srinivas University Mukka Page 39 5. EMPLOYABILITY & RESEARCH ORIENTED CURRICULUM BASED ON
EMERGING TECHNOLOGIES : Engineering graduates are expected to have certain minimum knowledge, skills, and
experience as their graduate attributes to identify problems, design solutions, and develop
processes and products with new innovative features in industries. Creativity, design
thinking, problem solving, self-motivation, positive attitude towards professional challenges,
working culture, team work and leadership qualities are essential traits to be successful in
getting good job and further promotions. Engineering colleges should focus on planning and
implementing such education model which can offer essential employability skills to their
students. Some of major employability skills for engineering graduates are in table 4 along
with their description and method of acquiring. Table 4: Major Employability skills required for Engineering graduates
S. No. Employability skills
Description
Method of gathering
1
Effective
Communication skills
Communication of information
in understandable manner and in
right time
Training
2
Team work skills
To increase the performance of
the team
Target based group
projects
3
Problem solving skills
Use a combination of intuition
and logic to come up with right
Experimental learning SIMS Pandeshwar & Srinivas University Mukka Page 40 Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0
solutions at right time
based
laboratory
courses
4
Data interpretation &
Numerical
competency
To
measure
an
individual's
ability
to interpret and
manipulate data,
which
is
required in most industry roles
Skill labs
5
Leadership skills
How
to
analyze,
how
to
synthesize,
and
evaluate
situations
to
make
sound
decisions
Training
6
Technology skills
Technology awareness
Technology adoption
7
Self-awareness
&
Competency
in
specific
engineering
discipline
Re-defining the goal & SWOC
analysis
Competitions
8
Attitude
&
responsibility towards
work
Accountability
in
overall
performance
Workshops & Field
works
9
Innovative & creative
thinking
Research based new knowledge
creation
IPR
10
Design thinking
Product
and
Design
&
simulation
Self designed courses SIMS Pandeshwar & Srinivas University Mukka 6. B.TECH. (HONOURS) MODEL WITH STEAM & EMPLOYABILITY SKILLS
FOCUS : Based on focus group analysis, we have gather ideas and concepts to improve engineering
curriculum with above requirements of new knowledge, new skills, new experience through
hard and dedicated learning model which is based on STEAM, Employability enhancement
features, creating intellectual properties and industry oriented internship for the 21st century
education Industry 4.0 version. The findings are postulated as follows : y
g
p
(1) Semesters with increased subjects & Credits (from 6 to 9 subjects & from 20 Credits to 25
Credits). y
g
p
(1) Semesters with increased subjects & Credits (from 6 to 9 subjects & from 20 Credits to 25
Credits). (2) Redesigning the Subjects in each Semester as per STEM/STEAM model wherever
possible with emerging technologies. (3) Increasing Experimental/lab based learning (EL) part in each semester so that equal
importance is given to theory and practicals. (4) Introducing employability skills enhancement papers (ESEP) in each semester from
Industry Experts. y
p
5) Focussing on IPR awareness and Patent analysis in every student’s specialized area. (6) Compulsory IP generation through Copyright/Patenting/International Journal Publication
of the internship based project. The above postulates are identified as integrated student development framework in
engineering based on STEAM-Employability Model with a focus on experimental learning
and IPR generation. The model is also represented in the form of a block diagram as shown in
figure 1. SIMS Pandeshwar & Srinivas University Mukka Page 41 Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0 The ideas and concepts to improving engineering curriculum with above requirements of new
knowledge, new skills, new experience through hard and dedicated learning model which is
based on STEAM (Science, technology, Engineering, Arts & Design, and Mathematics),
Employability skills enhancement program (ESEP) features, creating intellectual properties,
and industry oriented internship. Integrated Students
Development
Framework in
Engineering
More
Credits
STEAM
Model
ESEP
E.L. IPR
Awareness
Contribution
to IPR More
Credits Contribution
to IPR STEAM
Model E.L. IPR
Awareness ig. 1 : Integrated Student development Framework for effective engineering education 7. COMPARISON OF B.TECH (HONOURS) MODEL WITH B.TECH. (PASS)
MODEL : The newly proposed integrated student development model (ISDM) is compared with the
traditional undergraduate engineering model of many universities in India and the
comparative features are listed in table 5. Table 5 : Comparison of the features of B.Tech (Hons) and B.Tech (Pass) model
S. No. B.Tech. (Pass)
B.Tech. (Hons)
1
Less number of papers per semester
(6 to 7)
More number of papers per semester (8 to 10)
2
About 18 to 20 credits per semester
25 credits per semester
3
SEM Model
STEAM Model SIMS Pandeshwar & Srinivas University Mukka Page 42 Page 42 Research in Higher Education, Learning and Administration
IQAC 2019
ISBN No.: 978-81-941751-0-0
4
Less lab based experiments papers
Equal number of theory and laboratory papers
5
No focus on Employability Skill
Enhancement in each semester
Two Employability Skill Enhancement Papers
(ESEP) in each semester
6
University
centric
Examination
system
Student centric Examination system
7
No projects in every semesters
Teamwork based projects in every semesters
8
No
IPR
training
to
motivate
students
for
new
knowledge
creation
Compulsory IPR training in fourth semester to
create awareness about patent & copyright
9
No papers and training on patent
analysis
Training and involvement of students on
existing patents analysis in their special
subjects. 10
No compulsory project work based
on full semester internship
Compulsory project work based on full
semester internship and compulsory patent
application filing/journal publication 8. CONCLUSION : An innovative, effective, efficient new model in engineering education is proposed. This
Integrated student development model based on STEAM, ESEP & IPR features enhances the
weightage of conventional B.Tech. (pass) course and elevate it to highly employable based
on enhanced competency in concerned engineering subjects called as B.Tech. (Hons). It is
predicted that B.Tech. (Hons) graduates have better capability to work and solve problems in
the industry due to their enhanced knowledge, skills, experience, and confidence. Such
innovations in existing higher education courses are essential to ensure that the graduates
studied in such courses are useful for society to contribute to their specialized fields. REFERENCES : [1] Aithal P. S., & Suresh Kumar P. M. (2018). Approaches to Confidence Building as a
Primary Objective in Postgraduate Degree Programmes. International Journal of Applied
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the-art. International Journal of Technology and Design Education, 25(4), 429-451. [15] Avery, Z. K., & Reeve, E. M. (2013). Developing effective STEM professional
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of engineering education. Journal for Quality & Participation, 36(3), 1-4. [17] Madden, M. E., Baxter, M., Beauchamp, H., Bouchard, K., Habermas, D., Huff, M., ... & Plague, G. (2013). Rethinking STEM education: An interdisciplinary STEAM
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methods for the it-based STEAM education model with regards to developing people of
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of engineering education. Journal for Quality & Participation, 36(3), 1-4. [23] Boy, G. A. (2013, August). From STEM to STEAM: toward a human-centred education,
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STEAM teaching practices. School Science and Mathematics, 117(1-2), 1-12. [26] Liao, C. (2016). From interdisciplinary to transdisciplinary: An arts-integrated approach
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status of STEAM Education. Journal of the Korean Association for Science
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Education through Case Studies. Journal of Fisheries and Marine Sciences
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6th WSEAS international conference on Engineering education (pp. 195-201). [35] Muldoon, R. (2009). Recognizing the enhancement of graduate attributes and
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Approaches for Employability Skill Generation in Higher Educational Institutions. International Journal of Management, IT and Engineering, 5(7), 390-410. [37] Hills, J. M., Robertson, G., Walker, R., Adey, M. A., & Nixon, I. (2003). Bridging the
gap between degree programme curricula and employability through implementation of
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The influence of government and MUI mediations towards marketing strategy of Warteg and its impact on developing MSMEs in Jakarta, Indonesia
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Cogent business & management
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cc-by
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Kadarisman, Muh. Article
The influence of government and MUI mediations
towards marketing strategy of Warteg and its impact on
developing MSMEs in Jakarta, Indonesia Cogent Business & Management Provided in Cooperation with:
Taylor & Francis Group Provided in Cooperation with:
Taylor & Francis Group Suggested Citation: Kadarisman, Muh. (2019) : The influence of government and MUI mediations
towards marketing strategy of Warteg and its impact on developing MSMEs in Jakarta, Indonesia,
Cogent Business & Management, ISSN 2331-1975, Taylor & Francis, Abingdon, Vol. 6, pp. 1-22,
https://doi.org/10.1080/23311975.2019.1629096 Terms of use: Die Dokumente auf EconStor dürfen zu eigenen wissenschaftlichen
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gelten abweichend von diesen Nutzungsbedingungen die in der dort
genannten Lizenz gewährten Nutzungsrechte. https://creativecommons.org/licenses/by/4.0/ https://creativecommons.or Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 The influence of government and MUI mediations
towards marketing strategy of Warteg and its
impact on developing MSMEs in Jakarta, Indonesia Received: 25 January 2019
Accepted: 25 May 2019
First Published: 02 July 2019
*Corresponding author: Muh. Kadarisman, Universitas
Muhammadiyah Jakarta, Indonesia
E-mail: kadarisman.bkn@gmail.com
Reviewing editor:
Len Tiu Wright, Faculty of Business
and Law, De Montfort University, UK
Additional information is available at
the end of the article Muh. Kadarisman* Received: 25 January 2019
Accepted: 25 May 2019
First Published: 02 July 2019 Abstract: Warteg’s growth in Jakarta is massive, but now Warteg is facing the
challenge of remaining in the national economic development. So, research needs
to be done on this. The study uses Mixed methods, namely with statistical and
descriptive-qualitative analysis. The result of the research shows that there is
significant influence from Jakarta Government mediation and MUI’s Fatwa toward
Warteg Marketing Strategy which impact on MSMEs development in Jakarta both
partially and simultaneously. The Jakarta Government Cooperative & Small and
Medium Enterprises Office has strengthened MSMEs in the face of food business
competition, utilization of HR, managerial aspects, and network development. The
professionalism of MSMEs actors is enhanced by entrepreneurship training and
skills. Enhancing managerial capabilities of MSMEs actors by counseling appropriate
technology, financial management training, and production. Developing MSMEs
networks through counseling and expanding markets. Collaboration with State/
Regional Owned Enterprises in Jakarta and cross-sectoral agencies. Include MSMEs
in the promotion event. Subjects: Social Sciences; Behavioral Sciences; Economics, Finance, Business & Industry © 2019 The Author(s). This open access article is distributed under a Creative Commons
Attribution (CC-BY) 4.0 license. 1. Introduction The informal sector in Indonesia is massive and becomes a challenge for the development of an
open market economy. Every business engaged in the field of products has goals to survive and
grow. These objectives can be achieved through efforts to maintain and increase the profit of
a business. This can be done, if the business can maintain and increase sales of products they
produce (De Farias, 2010). This can be done by applying proper marketing strategies through the
utilization of opportunities in increasing sales so that the position of the company in the market
can be maintained or improved (Atuahene-Gima, 1996). Indonesia has various types of culinary originating from different regions. Among these products
are the typical traditional Tegal food known as Warung Tegal (Warteg) (Ayodya, 2010). Warteg is
a form of micro-business that is related to the nature of regionalism. The owner of this business
comes from an area called Tegal (Juanda, 2004). We further explained that Warteg not only as
a means to meet the needs of eating and drinking but also as the container of seeking public
information tells simply everything, from trivial to politics. On the other hand, this business is not
only privately owned but jointly among families alternately (Asytuti, 2015). Warteg, which has
spread to various corners in Indonesia and also in Jakarta, is one type of food stalls are widely
known by the community, especially inherent in the middle to lower class society. Dishes that are served are generally not specific, consisting of a variety of vegetables and side
menus (Juanda, 2004). The results of initial field observations of research indicate that Warteg
entrepreneurs in Jakarta who are successful and able to develop their business usually have two or
more Warteg. However, the reality in the world of competition in big cities such as Jakarta is so
dynamic that it encourages the growth of similar businesses, such as Warung Jakarta (Warjak),
which is currently looking for opportunities and its business share. The shape of the building is an
expression of the culture it carries. However, competition against modern (western) restaurants
poses a threat to its existence and at the same time diminishes its distinctive characteristics, and
fades its distinctive characteristic (Arsil et al., 2016). The food business actors in Jakarta must try to meet the expectations, needs, and motives of the
consumers. Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 ABOUT THE AUTHOR Indonesia has various types of culinary from
various regions, among these products is
a traditional Tegal restaurant known as Warung
Tegal (Warteg). Warteg is a form of micro busi-
ness that is related to the nature of regionalism. Every business in product form has the aim to
survive and grow. These aims could be achieved
through the efforts to maintain and increase
business profits. This can be done, if the business
can maintain and increase the sales of the pro-
ducts. An accurate marketing strategy is needed
through the utilization of opportunities in
increasing sales, so that the company’s position
in the market could be maintained or improved. Therefore, this research entitled “The Influence
of Government and MUI Mediations Towards
Marketing Strategy of Warteg and Its Impact on
Developing MSMEs in Jakarta” is expected to be
a reference in helping businesses introduce and
market traditional foods typical of Tegal City,
Central Java Province up to foreign countries,
especially ASEAN countries. Muh. Kadarisman was born in Kulon Progo,
Yogyakarta, Indonesia on 25 January 1959. His
latest education was Social Science Doctoral
degree in Universitas Padjajaran, Bandung,
Indonesia. He is a lecturer in Faculty of Social and
Political Sciences, University of Muhammadiyah
Jakarta, under the supervision of Ministry of
Research, Technology and Higher Education. He is
also teaching in some private and public univer-
sities which are in Terbuka University, Trisakti
University and Politeknik Ilmu Statistik Badan
Pusat Statistik. He is currently holding a position
as Vice Rector in Peradaban University, Central
Java Province. Besides, he is also standing as
a public consultant in some government institu-
tion in Indonesia. Muh. Kadarisman Muh. Kadarisman © 2019 The Author(s). This open access article is distributed under a Creative Commons
Attribution (CC-BY) 4.0 license. © 2019 The Author(s). This open access article is distributed under a Creative Commons
Attribution (CC-BY) 4.0 license. Page 1 of 22 Page 1 of 22 The “50%
Discount” strategy is one of the sales strategies that some retail restaurants run (Hatane, 2007). Therefore, Warteg entrepreneurs in Jakarta already have a community or association which is
called “Cooperative Warung Tegal” and abbreviated Kowarteg at the end of December 1981. This
association aims to establish cooperation and mutual help members. (Wulandari et al., 2016). Thus, Kowarteg is a community that can be used as one of the aspiration reservoir as well as for
the merchants of MSME that are economy-based people (Hastiyanto, 2010). Currently, there are
approximately 500,000 Tegal residents lived in Jakarta and recorded more than 40 thousand
people work as a trader Warteg with 25 thousand members of existing cooperatives. This amount
does not include Tegal people who work as a seller of vegetables, traders, sellers of chicken
porridge, ketoprak, martabak, drivers, and other services. (Muksin, 2016). Kowarteg in Jakarta
has done many things, among others, to seek legal assistance for its members, to offer themselves
to the police to help to patrol in their respective neighborhoods since most Warteg are open
24 hours (Alamsyah, 2008). Until now, Warteg merchants are only used as consumer consumptive objects that only serve as
processors and end marketing, which lacks value for MSME, especially Warteg traders in Jakarta
(Ali, 2017). Further explained, the assets and magnitude of potential Warteg traders in Jakarta was
not accompanied by capacity-based economic empowerment. The existence of Kowarteg is also
implementing the cooperative work program in the fulfillment of basic needs of Warteg traders,
namely rice, to Kowarteg members in Jakarta (Bismala, 2014). Warteg has become one of the favorite eating places in almost all corners of Jakarta. However,
lately, many entrepreneurs who complain about Warteg decreased turnover (Ayodya, 2010) (Haul
& Ketchen, 2001). It is possible because the quality of their Warteg decreased because the quality
of food and cleanliness of the stalls are less awake. Such conditions immediately used to establish
Warung Jakarta (Warjak) inspired by Warteg. Warjak concept is similar like Warteg but packed
through the concept of a franchise. Warjak directly applies the partnership system, and now there
are about 53 partners who are preparing the opening of outlets. The striking difference with
Warteg can be seen from the menu offered (Baker, Thomson, Engelken, & Huntley, 2004). The
menu at Warjak is more hygienic and varied. Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 owners of Warteg can make a repayment (debt); goods shipped first, payment will be made on
next shipment. Warteg Traders and suppliers or agents do not write the purchase agreement, but
only by oral or using notes on a piece of paper or memorandum, and the transaction is conducted
by mutual trust. However, the problem arises when either party act unfairly or deny the payment
agreement of the debt bondage system. The goal of product marketing is to attract new customers
by promising a better view (Im & Workman, 2004). owners of Warteg can make a repayment (debt); goods shipped first, payment will be made on
next shipment. Warteg Traders and suppliers or agents do not write the purchase agreement, but
only by oral or using notes on a piece of paper or memorandum, and the transaction is conducted
by mutual trust. However, the problem arises when either party act unfairly or deny the payment
agreement of the debt bondage system. The goal of product marketing is to attract new customers
by promising a better view (Im & Workman, 2004). On the other hand, the small and medium enterprises (MSMEs) sector plays a significant role in
building people’s economy in Jakarta. This especially matters when it is associated with the
economic empowerment of the community in Jakarta, and the amount of labor that is able to
be absorbed by the MSMEs. MSME sector has been promoted and made as the economic devel-
opment agenda of Indonesia (Marijan, 2011). MSME’s toughness was evident during the economic
crisis of 1998. During 1997–2006, the number of MSME-scale companies reached 99% of the total
business units in Indonesia. MSME have a significant role in the economy since the past until now. Although many other businesses grow, micro and small businesses are not affected (Lores, 2014). The empowerment of MSME become very strategic because of its great potential in mobilizing
the economic activities of the community and at the same time become the source of income of
some people of Indonesia (Hutagalung, 2012). In addition to having a strategic meaning for
development in Jakarta, MSME also serves as a means to state the results of development that
has been achieved (Lumbanraja, 2017). So many large, medium, and small retail businesses that
are emerging rapidly and quickly make the business space competition so tight. 1. Introduction To understand consumer motives when buying local food, we can use the Means-End Chain
(MEC) analysis method (Arsil, 2016). Warteg entrepreneurs in Jakarta must be keen to take advantage of
existing business opportunities, and be able to identify the demands of individuals, communities, and
especially customers in various matters, such as food, taste, appearance, and price (Usman, Perdamenta,
& Safriana, 2014). The products produced by Warteg entrepreneurs in Jakarta are sure very diverse. Food
entrepreneurs certainly want to maintain the existence of their business to be able to achieve the level of
cold growth, by presenting various marketing strategies up to foreign countries (Day, 1994). In other words, there is an increase in the quantity and quality of Warteg food products and food
business people in Jakarta, so the results of observations indicate that the level of competition is
increasing from year to year. Therefore, the marketing strategy is crucial and urgent for the
entrepreneurs, because marketing strategy is a way to achieve goals for business expansion
including to overseas (Im & Workman, 2004). Product marketing strategy is a series of grand
designs that describe how a business is to achieve the goal so that in running the business, one
must develop it through marketing strategy (Hooley, Piercy, & Nicoulaud, 2008). Similarly, the
marketing goal of Warteg’s business understands the character of its customers well, so that the
resulting food products match the tastes of its customers. Furthermore, Ayodya (2010) explains that in the first purchase, usually, the owners of Warteg
make payments in cash, but after they become regular customers to suppliers or agents, the Page 2 of 22 Page 2 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 increasingly tight competition, both at national and regional (ASEAN) and even global level,
Kowarteg Jakarta has also expanded its market share with its marketing strategy (Barkah, 2017). increasingly tight competition, both at national and regional (ASEAN) and even global level,
Kowarteg Jakarta has also expanded its market share with its marketing strategy (Barkah, 2017). The marketing activities of a product conducted by various businesses must always be market-
oriented. One component that should be concerned by the entrepreneur regarding market-
oriented marketing is the analysis of market structure and behavior (Kok, Hillebrand, & Biemans,
2003). Indonesia has many kinds of traditional foods that ready to compete in the market, but are
less controlled. Moreover, with the entry of various types of modern fast food, traditional food
seems to have no position in the market competition (Susilawati, 2017). Kowarteg must know the
capabilities (advantages and disadvantages), in order to understand the needs of customers. These include all aspects of local food products including financial conditions, managerial cap-
abilities, production capabilities, development capabilities, technological capabilities, reputation,
and marketing capabilities (Arsil, 2016). The marketing part of a product, on the one hand, faces exciting and frightening challenges,
because of the growing demands of highly mobile dynamic consumer behavior (Yohanna, 2014). Besides, these local businesses are now facing the challenges of global competition and the chal-
lenges of technological development, as there are now many online purchases and delivery products
(Gronroos, 1982). Related to this, Kowarteg Jakarta has decided to open a branch in Malaysia,
precisely in Kuala Lumpur, Johor, and Penang. The existence of Warteg in Malaysia is increasingly
showing that MSME culinary Indonesia can compete with MSME from other countries. The reasons for
opening the Warteg branch in Malaysia are that Warteg has been well known in Indonesia, has
a strong brand, has a legal body (Kowarteg), and a relatively high population of Indonesians in
Malaysia. All of the above makes the opening of branches in Malaysia to be reasonable, in addition to
making the permission of business becomes easier (Dube & Renaghan, 2000). In such a tight, competitive condition, the quality of service must be considered and prioritized in
order to compete with other competitors and dominate the market (Gadrey, Gallouj, & Weinstein,
1995). The government has helped open the link by being a mediator of the Malaysian Government. 2. Method This research uses a Mixed Methods approach, namely the approach which uses a strategy that
involves collecting data either simultaneously or sequentially to understand the research problem
fully. This method is action-oriented by using both quantitative and qualitative methods in the process
of conducting a similar study. Combined research in this method is a procedure for data collection,
data analysis, with the use of a sequential combination, which is using quantitative methods first and
then being analyzed qualitatively, so that we will obtain a deeper understanding of the main problem. Mediation is a process of interaction between one party and another assisted by a third party so that
the parties involved can find a solution that they agree on their own (Nurbaiti, 2008). Mediation, in this
case, the assisted process from the Government of Indonesia so that Warteg can have a license to
opens its branch to Malaysia, but the effort must still maintain a cautious attitude. The presence of
Warteg in Malaysia certainly adds to the competition of MSME in Malaysia to become tighter, but the
Malaysian Government still try to make culinary business (MSME) in Malaysia still survive. The same applies when the government becomes a mediator of MUI to provide halal certifica-
tion for food products (Warteg). Besides, the research findings by Quoquab et al. (2016) shows
satisfaction as a partial mediator between service quality and service loyalty. The findings of this
study will develop options that enable policymakers, managers, and marketers to devise better
and more effective strategies for implementing loyalty programs and preventing customers from
leaving their product. Further explained, Warjak is using a centralized
kitchen, so that the cleanliness and uniformity of the taste are maintained. In this era of Page 3 of 22 Page 3 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 mination is used to determine
d by independent variable toget
total variation in Y as described
means a perfect fit. If R2 = 0 m
the independent variable. The h
ple regression, the coefficient of
determination R2 will increase in
015). d, the variables tested are Jak
on Variables (X2), Variable of
MSME (Kowarteg) Jakarta (X4
in the hypothesis that “There
Mediation against Marketing S
owarteg) DKI Jakarta.”
ata and secondary data. Prima
ernment of Jakarta, which w
ata types, data sources, and
ees of the Department of Coo here is the R2 quantity. The coefficient of determination is used to determine the proportion of
variance of dependent variable which is explained by independent variable together or verbally. R2
measures the proportion (part) or percentage of total variation in Y as described by the regression
model. R2 lies between 0 and 1, i.e. if R2 = 1 means a perfect fit. If R2 = 0 means there is no
relationship between the dependent variable and the independent variable. The higher the value of
R2, the better the regression model. In the multiple regression, the coefficient of determination R2
cannot be compared, because the coefficient of determination R2 will increase in proportion to the
addition of an independent variable (Sugiyono, 2015). here is the R2 quantity. The coefficient of determination is used to determine the proportion of
variance of dependent variable which is explained by independent variable together or verbally. R2
measures the proportion (part) or percentage of total variation in Y as described by the regression
model. R2 lies between 0 and 1, i.e. if R2 = 1 means a perfect fit. If R2 = 0 means there is no
relationship between the dependent variable and the independent variable. The higher the value of
R2, the better the regression model. In the multiple regression, the coefficient of determination R2
cannot be compared, because the coefficient of determination R2 will increase in proportion to the
addition of an independent variable (Sugiyono, 2015). Based on the theoretical foundation explained, the variables tested are Jakarta Government
Mediation Variables (X1), MUI Mediation Mediation Variables (X2), Variable of Warteg Marketing
Strategy (X3), and Impact of Development of MSME (Kowarteg) Jakarta (X4). 2.2. Types and data sources The type of data used in this study is primary data and secondary data. Primary and secondary
data sources were obtained from the Government of Jakarta, which was collected by
a questionnaire instrument. Furthermore, the data types, data sources, and data collection of
this research are described in Table 1 as follows. The pattern of
relationships reflected in this study is expressed in the hypothesis that “There is an influence of
Jakarta Government Mediation and Jakarta MUI Mediation against Marketing Strategy of Warteg
and the Impact for the Development of MSME (Kowarteg) DKI Jakarta.” 2.1. Model testing and hypotheses Testing model or model fit test in this research is measured by a coefficient of determination, that
is the quantity used to measure model feasibility (lack of fit test). The coefficient of determination Page 4 of 22 Page 4 of 22 Source: Primary Data, December 2017 (Processed) 2.4. Operational definitions and variable measurement Operational definitions and measurement of research variables are made to ease understanding
and clarify the understanding of research variables, variable indicators, and way of measuring it. Operational definitions of this research variable are as follows: (a) Mediation of Jakarta Government is a process of third-party participation, namely Jakarta
Government as an advisor in solving a problem. Thus the dimensions include: 1) problem-
solving/dispute resolution process; 2) the parties involved in the dispute; 3) the advisory party. (b) Mediation of Indonesian Council of Ulama Jakarta is a process of involvement of a third party
that is MUI of Jakarta as an adviser in settling a problem/disputes of muslimin in Jakarta. Thus the dimensions include: 1) guiding the process of settling the problems/disputes of the
Muslims in Jakarta; 2) there are problems/disputes between two or more parties in Jakarta;
3) fostering the parties involved in the problems/disputes of the Muslims in Jakarta; 4)
nurturing the Muslims in Jakarta. (c) Marketing Strategy of Warteg is a comprehensive, integrated, and basic marketing plan that
provides guidance on activities to be undertaken in achieving Kowarteg’s goals. The plan
includes advertising, promotional programs, sales, product programs, and distribution. (d) The development of MSME (Warteg Cooperative) of Jakarta has caused both positive and
negative consequences that serve as a means to state the results of development that has
been achieved by a micro business ie productive business owned by individual and/or individual
business entity that fulfill the criteria of micro business as regulated in Law no. 20 Year 2008;
Small Business is a stand-alone productive economic enterprise conducted by an individual or
a business entity which is not a subsidiary or a branch of a company owned, controlled, or
becomes part of the direct or indirect business of a medium-sized or large-scale business that
meets the criteria of a small-scale business as referred to in Law no. 20 Year 2008; and Medium
Enterprises are stand-alone productive economic enterprises, carried out by an individual or
business entity that is not a subsidiary or a branch of a company owned, controlled, or becomes
part directly or indirectly with a small business or a large business with a net worth or the result
of annual sale as regulated in Law no. 20 Year 2008. Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 (Kowarteg) Jakarta as many as six people. The instruments of data collection are a. interview (in-depth
interview) to 8 people; b. observation (participant-observation); c. Focus Group Discussion (FGD) with
four people; and D. triangulation (verstehen) (Creswell, 2015) (Kadarisman, 2010). 2.4. Operational definitions and variable measurement Furthermore, each variable that already has an operational definition is measured to generate
data in the form of intervals consisting of 5 (five) alternative answers, as follows. a. Scale 1:
strongly disagree with the value of weight 1; b. Scale 2: disagree with the value of weight 2; c. Scale
3: quite agree with weight value 3; d. Scale 4: agree with weight value 4; and e. Scale 5: Strongly
agree with the value of weight 5. There is also instruction characteristics of research variables
(dimensions and indicators) in this study are as follows (Table 2). Operational definitions and measurements of this research are made to ease understanding and
clarifying the understanding of research variables, their dimensions and indicators as well as how
they are measured. Each variable is then operationalized, and the measurement used will produce
data in the form of intervals consisting of 5 (five) alternative answers. Jakarta Government
Mediation Variables and Jakarta MUI Mediation Variables (Variable Independent) obtained from
the total score of employee statement obtained from questionnaire filling. Warteg Marketing
Strategy (Variable Dependent) and Impact of MSME (Kowarteg) Development of Jakarta is obtained
from total score obtained from the questionnaire. 2.3. Population and sample In this research, the population is the Employees of the Department of Cooperatives & Small
Medium Enterprises of Jakarta and the employees of the Indonesian Council of Ulama Jakarta,
which amounts to 88 people. In the implementation of this research, primary data is collected
through a questionnaire or questionnaire containing the dimensions of research variables given to
the entire study population. The entire population is then used as sample research or method
census. The next process is to use descriptive methods with qualitative design, i.e. research done
by understanding, observing, and capturing the empirical reality/phenomena, and using the nat-
ural setting, with the intention of interpreting the phenomenon that occurs. The next step is to construct a detailed research subject view (emotional perspective) with a natural
setting, on the context of an entity, a detailed description, and a holistic and complex picture. Informant’s determination was done purposively with 12 informants. Informant composition consists
of employees of Department of Cooperatives and SME of Jakarta as many as three people; 3 employ-
ees of Indonesian Council of Ulama Jakarta; and from employees of Koperasi Warung Tegal Table 1. Data types, data sources, and data collection
Number
Variable
Data Type
Data Source
Data Collection
1
Mediation of The
Government of
Jakarta
Interval Scale Data
Department of
Cooperatives and
SME of Jakarta
Questionnaire
Instrument
2
Mediation of
Indonesian Council
of Ulama Jakarta
Interval Scale Data
Indonesian Council
of Ulama Jakarta
Questionnaire
Instrument
3
Warteg Marketing
Strategy
Interval Scale Data
Department of
Cooperatives and
SME of Jakarta
Questionnaire
Instrument
4
Development of
MSME in Jakarta
Interval Scale Data
Department of
Cooperatives and
SME of Jakarta
Questionnaire
Instrument
Source: Primary Data, December 2017 (Processed)
Page 5 of 22 Table 1. Data types, data sources, and data collection
Number
Variable
Data Type
Data Source
Data Collection
1
Mediation of The
Government of
Jakarta
Interval Scale Data
Department of
Cooperatives and
SME of Jakarta
Questionnaire
Instrument
2
Mediation of
Indonesian Council
of Ulama Jakarta
Interval Scale Data
Indonesian Council
of Ulama Jakarta
Questionnaire
Instrument
3
Warteg Marketing
Strategy
Interval Scale Data
Department of
Cooperatives and
SME of Jakarta
Questionnaire
Instrument
4
Development of
MSME in Jakarta
Interval Scale Data
Department of
Cooperatives and
SME of Jakarta
Questionnaire
Instrument
Source: Primary Data December 2017 (Processed) Page 5 of 22 Page 5 of 22 2.5. Data analysis method Data analysis used to measure the influence of Jakarta Government Mediation and MUI Jakarta
Mediation as an independent variable to Warteg Marketing Strategy as a dependent variable is Page 6 of 22 Page 6 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Variable
Dimension
Indicator
Scale
Government of Jakarta Mediation
Problem/disputes solving process. Ability to identify problems;
Ability to formulate problems. Interval
Parties involved in the dispute. Ability to control;
Ability to influence. Interval
Advisor
Able to help;
Able to be a companion;
Able to be a defender. Interval
Mediation of Indonesian Council of Ulama
Jakarta
Guiding the process of solving the problems/
disputes of the Muslims. Understand the meaning of Islamic
transformation and reform in the socio-
political order;
Identification of Contemporary Basic Issues
and Its Implications for the Realization of
Conceptions of the Ummah. Interval
There is a problem/dispute between two or
more parties. Attitudes of the disputes between two
parties. Interval
Guiding those who involved in the problem/
disputes of the Muslims. Able to solve in a Win-Win Solution way. Interval
Protect the Muslims. Able to give advice and fatwa about religion
and society to the government. Interval
Building relationships and cooperation
among organizations, Islamic organizations,
and intellectuals. Able to hold consultation and information on
a reciprocal basis. Interval
(C
ti
d) Page 7 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Variable
Dimension
Indicator
Scale
Warteg Marketing Strategy
Warteg’s overall marketing plan
Able to make Warteg marketing strategic
planning. Interval
Integrated plan of Warteg marketing
Able to prepare an integrated Warteg
marketing program. Interval
Provide Warteg marketing guidelines. Able to direct, coordinate and supervise or
control the marketing activities of Warteg. Interval
Activities in achieving Kowarteg’s goals
through advertising. Able to manage effective Warteg advertising
activities. Interval
Activities in achieving Kowarteg’s goals
through promotion programs. Able to understand the most effective way of
to promote Warteg. Interval
Activities in achieving Kowarteg’s goals
through sales. Able to carry out Warteg’s business activities
optimally. Interval
Activities in achieving Kowarteg’s goals
through product programs. Able to create strong warteg branding. Interval
Activities in achieving Kowarteg’s goals
through distribution. Able to simplify Warteg distribution chain. Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 multiple regression analysis. Path analysis technique is the development of correlation that is broken
down into several interpretations resulting from it. Method of data analysis conducted in this research
is descriptive analysis. This approach is used in order to describe the four variables of research
statistically. The purpose of this data analysis method is to simplify the existing data into a more
readable and easier-to-interpret in accordance with the purpose of the study. The discussion is done from two aspects namely regression and correlation, either simple,
double, partial or semi-partial. Based on this correlation, it is seen how strong the attachment
exists between the variables through the path of the relationship between them, not concluding
that there is causal among the variables without reliable additional information. Path Analysis
Model used in this research is structural equation 1 and structural equation 2 as follows. X3 ¼ X1X2 þ e1
(1) (1) X3 ¼ X1X2 þ e1 X1 is Mediation of Jakarta Government, X2 is Mediation MUI of DKI Jakarta, and X3 is Warteg
Marketing Strategy. (2) X4 ¼ X1 þ X4X2 þ X4X3 þ e2 that X1 is the Mediation of Jakarta Government, X2 Mediation of Indonesian Council of Ulama Jakarta,
X3 is Warteg Marketing Strategy, and X4 is the Impact of MSME (Kowarteg) Development of Jakarta. In addition, the researchers also conducted data analysis by providing interpretation of the
data obtained; data from observation, interviews, FGD, and triangulation. In summary, the stages
of data analysis are as follows. 1) Collecting information through interviews of key informants
that are compatible with the research, then direct observation to the field to support the
research conducted in order to obtain the expected data source. 2) Data reduction is the
selection process, focusing on simplification, and the transformation of rough data arising
from field notes during research. The purpose of the transcript data (data transformation) is to choose which information is considered
appropriate and not in accordance with the problems that become the research focus in the field. 3)
Presentation of data (data display) is a collection of information activities in the form of narrative text,
network graphics, tables, and charts aimed at sharpening the understanding of research on the selected
information and then presented in the table or explanation description. 3. Results In this study, the data analysis is descriptive analysis to describe the four variables of the study
statistically. The purpose of this method is to simplify existing data in a more readable form and
easy to interpret in accordance with research objectives. 4) The final stage is conclusing
drawing/verification, which searches for the meaning of explanatory patterns, possible configurations,
cause and effect paths, and propositions. Drawing conclusions are done carefully by verifying a review of
records in the field so that the data can be tested for validity (Moleong, 2014). 3.1. Data normality testing Normality testing in this study was conducted through Kolmogrorov-Simirnov (K-s) test using SPSS-
19 for windows to make the calculation easier. As Ghozali (2009) points out that the normality test
aims to test if the residual variable regression model has a normal distribution, the statistical test
becomes invalid. Based on the calculation, then the value of Kosmogorov Smirnov Z-Asymp. Sig. (2-tailed) is smaller than 0.05. This means that the research variable data obtained from the
sample of this study has a normal distribution. 2.5. Data analysis method Interval
Impact of Development of MSME (Kowarteg)
of Jakarta
Strong influence that has an impact on what
has been achieved by micro business. MSME (Kowarteg) is expected to compete
healthily with big market. Interval
Strong influence that has an impact on what
has been achieved by small business. Able to empower MSME (Kowarteg) to the
future economy. Interval
Strong influence that has an impact on what
has been achieved by medium enterprises. Able to build Kowarteg’s empowerment to
face of the strong. Interval
Source: Primary Data December 2017 (Processed) Variable Page 8 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 that Heteroskedastisitas on the regression model does not occur in this variable, so the regression
model is feasible to be used in predicting Warteg Marketing Strategy based on the input of
independent variable that is Jakarta Government Mediation and Indonesian Council of Ulama
Jakarta Fatwa. that Heteroskedastisitas on the regression model does not occur in this variable, so the regression
model is feasible to be used in predicting Warteg Marketing Strategy based on the input of
independent variable that is Jakarta Government Mediation and Indonesian Council of Ulama
Jakarta Fatwa. 3.3. Multicollinearity testing Multicollinearity test aims to test whether the regression model found the correlation between
independent variables (independent). To get a functional regression model, there should be no
correlation between independent variables. The following can be seen the results of multicolli-
nearity testing of research variables with the help of statistical calculations SPSS 19 program for
windows (Table 3). The data in Table 3 shows that the magnitude of the correlation between
independent variables is below the correlation value of 95%, so it can be said there is no multi-
collinearity in the independent variables of this study. Meanwhile, the calculation of Tolerance value is less than 0.10. This means there is no correla-
tion between independent variables, as can be seen in Table 4 as follows: Next, the data of Table 4 shows that the Variance Inflation Factor (VIF) also show values smaller
than 10. This indicates that the independent variables in this study do not have multicollinearity in
the regression model in the three independent variables under study. 3.2. Heteroscedasticity testing y
g
Heteroscedasticity test aims to test whether in the regression model there is a variance inequality
of the residual one observation to another observation. Heteroscedasticity test results indicate Page 9 of 22 Page 9 of 22 3.4. Linearity regression test Linearity test aims to determine whether two variables have a significant linear relationship or not. This test is used as a prerequisite in correlation analysis or linear regression. Tests on SPSS use Test
for Linearity with a significance level of 0.05. Two variables are said to have a linear relationship
when the significance (Linearity) is less than 0.05. Based on a linearity test using SPSS 19 for
windows on the Government of Jakarta Mediation Variables, it can be seen in Table 5 as follows: Based on Data in Table 5, the value of F 465.102 has a significance level of less than 0.05. Thus, the specification of DKI Jakarta Government Mediation variable model used in this
research is linear. Furthermore, the linearity test on MUI Jakarta Fatwa variable can be seen
in Table 6 as follows: Table 3. Multicollinearity Test
Model
MUI Fatwa
Government Mediation
Correlations Fatwa of Indonesian
Council of Ulama Jakarta
1.000
−.643
Government of Jakarta Mediation
-.643
1.000
Covariances Fatwa of Indonesian
Council of Ulama Jakarta
.004
−.003
Government of Jakarta Mediation
-.003
.003
Source: Primary Data, December 2017 (Processed). Table 4. Tolerance values
Model
Collinearity Statistics
VIP
Tolerance
Government of Jakarta
Mediation
.289
3.461
Fatwa of Indonesian Council
of Ulama Jakarta
.289
3.461
Source: Dependent Variable: Fatwa of Indonesian Council of Ulama DKI Jakarta, December. Page 10 of 22 Table 3. Multicollinearity Test
Model
MUI Fatwa
Government Mediation
Correlations Fatwa of Indonesian
Council of Ulama Jakarta
1.000
−.643
Government of Jakarta Mediation
-.643
1.000
Covariances Fatwa of Indonesian
Council of Ulama Jakarta
.004
−.003
Government of Jakarta Mediation
-.003
.003
Source: Primary Data, December 2017 (Processed). Table 4. Tolerance values
Model
Collinearity Statistics
VIP
Tolerance
Government of Jakarta
Mediation
.289
3.461
Fatwa of Indonesian Council
of Ulama Jakarta
.289
3.461
Source: Dependent Variable: Fatwa of Indonesian Council of Ulama DKI Jakarta, December. Page 10 of 22 Source: Dependent Variable: Fatwa of Indonesian Council of Ulama DKI Jakarta, December. Page 10 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Table 5. Linearity test of government of DKI Jakarta mediation
Sum of
Squares
Df
Mean
Square
F
Sig
Fatwa of Indonesian Council
Between Groups of Ulama
Jakarta (Combined)
3781.665
26
145.449
19.104
.000
Government of Jakarta
Mediation
3540.980
1
3540.980
465.102
.000
Linearity
240.686
25
9.627
1.265
226
Deviation from Linearity
464.414
61
Within Groups
4246.080
87
Total
7.613
Source: Primary Data, December 2017 (Processed). 3.5. Correlation analysis y
Correlation is an analysis technique that belongs to one of the measurement techniques associations/
relations (measures of association). An association measurement is a general term referring to
a group of techniques in bivariate statistics that are used to measure the strength of the relationship
between two variables. The following is the calculation result of correlation of DKI Jakarta Government
Mediation with Indonesian Council of Ulama Jakarta Fatwa using SPSS 19 for windows (Table 7). Based on Table 7 data, it can be shown that the correlation value of Jakarta Government
Mediation with MUI Jakarta Fatwa is 0.913 with a significance level less than 0.05. Thus, both
variables have a positive relationship which is very significant and unidirectional. That is, if the
Jakarta Government Mediation variable is higher in this study, MUI Jakarta Fatwa will increase. Furthermore, for the correlation test of MUI Jakarta Fatwa Variables with Jakarta Government
Mediation, it can be explained that all regression equations are less than 0.05. Thus, all regression
equations are significant. Furthermore, in stage 1 the structural equation is X3 = p X3X1 + p X3X2
+ e1, that X1 is the Mediation of Jakarta Government, X2 Indonesian Council of Ulama Fatwa of
Jakarta, and X3 Warteg Marketing Strategy. To calculate the regression equation is as follows. X3 ¼ pX3X1 þ pX3X2 þ e1
(1)
X3 ¼ 0; 772 þ 0; 167 þ
ffiffiffi
1
p
8; 38
(1) X3 ¼ pX3X1 þ pX3X2 þ e1
(1)
X3 ¼ 0; 772 þ 0; 167 þ
ffiffiffi
1
p
8; 38
(1) (1) X3 ¼ pX3X1 þ pX3X2 þ e1
X3 ¼ 0; 772 þ 0; 167 þ
ffiffiffi
1
p
8; 38 (1) For the direct influence of Warteg Marketing Strategy, each one month variable of Jakarta
Government Mediation variation will be followed by the increase of Warteg Marketing Strategy
by 0.772 or 7.72%. Meanwhile, for each increase of Jakarta MUI Fatwa, 1 unit will be followed by
the increase of Government Mediation of 0.167 or 1.6%. For a whole, the effects formed from
substructural 2 are shown through structural equations 2, that is: For the direct influence of Warteg Marketing Strategy, each one month variable of Jakarta
Government Mediation variation will be followed by the increase of Warteg Marketing Strategy
by 0.772 or 7.72%. 3.5. Correlation analysis Meanwhile, for each increase of Jakarta MUI Fatwa, 1 unit will be followed by
the increase of Government Mediation of 0.167 or 1.6%. For a whole, the effects formed from
substructural 2 are shown through structural equations 2, that is: Table 6. The linearity test of Fatwa of MUI DKI Jakarta
Sum of
Squares
Df
Mean
Square
F
Sig. Fatwa of Indonesian Council
Between Groups (Combined) of
Ulama Jakarta Linearity
3258.163
24
135.757
8.657
.000
Linearity
2844.171
1
2844.171
181.374
.000
Deviation from Linearity
413.992
23
18.000
1.148
.324
Within Groups
987.917
63
15.681
Total
4246.080
87
Source: Primary Data, December 2017 (Processed). Page 11 of 22 Page 11 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 (2) X4 ¼ pX4X1 þ pX4X2 þ pX4X3 þ e2 X4 ¼ 0; 549 þ 0; 570 þ 0; 165 þ
ffiffiffi
1
p
þ 0; 856 (2) For the direct impact on the development of MSMEs in Jakarta, the increase 1 unit of DKI Jakarta
Government Mediation variable will be followed by an increase of MSME Development by 0.549, or
5.4%. Furthermore, every increase of Jakarta MUI Fatwa will be followed by an increase of MSME
Development by 0.570 or 5.7%. Each increase of 1 unit of Warteg Marketing Strategy will be
followed by Warteg Marketing Strategy of 0.165 or 1.65%. 3.6. Path analysis It is known that this research is entitled “The Influence of Government and Indonesian Council of
Ulama Mediation Towards Marketing Strategy of Tegal Restaurant (Warteg) and Its Impact on
Developing Micro Small and Medium Enterprises (MSME) In Jakarta”. Thus, the hypothesis testing is
to know how much influence of Jakarta Government Mediation and Jakarta MUI Fatwa against
Warteg Marketing Strategy. Thus, the Variable of UMKM Development in Jakarta in this research is
used as Intervening Variable. The calculation to test the influence of Intervening Variables is done through Path Analysis method
to find out how significant direct and indirect influence of Jakarta Government Mediation towards
Warteg Marketing Strategy. More detailed design of the research diagram can be seen in Figure 1. Furthermore, from Figure 1 it can be seen that: Furthermore, from Figure 1 it can be seen that: Furthermore, from Figure 1 it can be seen that: (1) Influence of Jakarta Government Mediation (X1) toward Warteg Marketing Strategy Warteg
(X3) equal to 0,772 or 7,72%. (2) The influence of MUI Fatwa of Jakarta (X2) on Warteg Marketing Strategy (X3) equal to 0,167
or 1,6%. (3) The Influence of Jakarta Government Mediation (X1) to the Development of MSME in Jakarta
(X4) is 0.549 or 5.4%. (4) The influence of Jakarta MUI Fatwa (X2) on the development of MSME in Jakarta (X4) is 0,570
or 5.70%. (5) The Influence of Warteg Marketing Strategy X4) is 0,165 or 1,6%. gn. ssed) Figure 1. Diagram Design. Source: Primary Data,
December 2017 (Processed)
Page 12 of 22 Figure 1. Diagram Design. Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 (6) Influence of Jakarta Government Mediation (X1), Indonesian Council of Ulama Fatwa of
Jakarta (X2), Warteg Marketing Strategy (X3) cumulatively to MSME Development Strategy
in Jakarta (X4) 1,694. 3.7. Model testing Model fit test or model testing is usually measured by the coefficient of determination. The result
of regression analysis is a coefficient for each independent variable. This coefficient is calculated
with two goals simultaneously, that is minimizing the deviation between the actual value and as
the estimated value of the dependent variable based on the existing data. The calculation result of
determination coefficient of Jakarta Government Mediation and Jakarta MUI Fatwa in this research
can be seen in Table 7 as follows. Based on SPSS 19 output data for windows in Table 7, it can be shown that the value of Adjusted
R Square (R2) is 0.838. This means that the value of the coefficient of determination of Government
Mediation variable on Warteg Marketing Strategy and Jakarta MUI Fatwa against Warteg
Marketing Strategy in this research explains that the Variable Development of UMKM in Jakarta
equal to 85.6%. While the rest of 14.4% is a variation of other causes that are not included in the
model. The value of the coefficient of determination is between zero and 1, and a large adjusted
value means the independent variable is able to explain the variation and the dependent variable. Figure 1. Diagram Design. Source: Primary Data,
December 2017 (Processed) Page 12 of 22 3.9. Individual parameter significance analysis (test T statistics) 3.9. Individual parameter significance analysis (test T statistics) 3.9. Individual parameter significance analysis (test T statistics)
Based on the result of the calculation of the significance test of individual parameters (t-statistical test)
the research variables are as follows (Table 9). From the calculations presented in Table 9, it is known
that Jakarta Government Mediation, Fatwa of Indonesian Council of Ulama Jakarta, and Warteg
Marketing Strategy which are included in the regression significantly influence the Development
Variables of MSME in Jakarta. Thus Ho in this research is partially accepted. Next, based on the
calculation of the Beta value (Standardized Coefficients), it can be summarized as follows: The probability
value (Sig) of each research variable is smaller than 0.05, so H0 in this study is acceptable. From the calculations presented in Table 10, it is known that Jakarta Government Mediation,
Fatwa of Indonesian Council of Ulama Jakarta, and Warteg Marketing Strategy included in the
regression significantly influence the Variables of MSME Development in Jakarta. Thus, Ho in this
research is partially accepted. Next, based on the calculation of the Beta value (Standardized
Coefficients) can be summarized as follows. A probability value (Sig) of each research variable is
smaller than 0.05, so Ho in this study is acceptable. This indicates that there are significant partial
influences from the X1 Variable of Jakarta Government Mediation, X2 Variable of Fatwa of
Indonesian Council of Ulama Jakarta, X3 Variable of Warteg Marketing Strategy, toward X4
Variable of Development of MSME in Jakarta. Further data analysis was conducted descriptively by conducting in-depth interviews with infor-
mants Office of Cooperatives Jakarta and Indonesian Council of Ulama Jakarta related to Jakarta
Government Mediation and Indonesian Council of Ulama Jakarta Mediation; Warteg marketing
strategy; and the impact of the development of MSME (Kowarteg) of Jakarta. In conducting
guidance to MSME such as Warteg’s business with its Kowarteg in Jakarta area, it was found
that Jakarta Government especially the Office of Cooperatives Jakarta has made institutional
policy to provide a conducive climate for MSME operation. For that, there are several principles
that must be considered in the empowerment of MSME, namely: a. fair competition policy with the
reduction of market distortion; b. economic policies that allow MSME to reduce costs that are not
related to the production process; and c. policies of partnership growth with the principle of mutual
need, strengthening, and mutual benefit. 3.8. Hypothesis testing variant analysis (F-count value) Anova test results or F-test according to Ghozali (2009) is a simultaneous influence test used to
determine whether the Independent variables simultaneously affect the dependent variable. More
F-test tests can be seen in Table 8. According to the data, it is known that anova test or F- test
which yields F-count value is 172.811 with a degree of significance 0.00 with a degree of freedom
(df) of 3 and residual 87. That means the probability of significance is much less than 0.05, so this
regression model can be used to predict the Warteg Marketing Strategy variables. Thus, the results
of the F-test of this study indicate that the hypothesis of this research is “The Influence of
Government and Indonesian Council of Ulama (MUI) Mediation Towards Marketing Strategy of
Tegal Restaurant (Warteg) and Its Impact on Developing Micro Small and Medium Enterprises
(MSME) In Jakarta” is acceptable. This shows that Jakarta Government Mediation, Indonesian
Council of Ulama Jakarta Fatwa, and Warteg Marketing Strategy jointly/cumulatively have an
influence on the Variable Development of MSME in Jakarta. Table 7. Coefficient of determination value
Model
R
R Square
Adjusted
R Square
Std. Error of The
Estimate
1
.9182
.842
.836
3.809
Adjusted R. Square = 0,838, thus. KD = r2 x 100%. KD = 0, 838 x 100%. KD = 83,8%. Table 8. Analysis of variance (Anova) and F-count value
Model
Sum of
Squares
Df
Mean Square
F
Sig. Regression
10,611.385
3
3537.128
172.811
.0002
Residual
17,119.331
84
20.468
Total
12,330.716
87
Source: Primary Data, December 2017 (Processed)
Page 13 of 22 Table 7. Coefficient of determination value
Model
R
R Square
Adjusted
R Square
Std. Error of The
Estimate
1
.9182
.842
.836
3.809
Adjusted R. Square = 0,838, thus. KD = r2 x 100%. KD = 0, 838 x 100%. KD = 83,8%. Table 8. Analysis of variance (Anova) and F-count value
Model
Sum of
Squares
Df
Mean Square
F
Sig. Regression
10,611.385
3
3537.128
172.811
.0002
Residual
17,119.331
84
20.468
Total
12,330.716
87
Source: Primary Data, December 2017 (Processed) Page 13 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 3.9. Individual parameter significance analysis (test T statistics) Furthermore, the informants explained that there has been strengthening support which includes
improving the quality of cooperative human resources and MSME; increased technological mastery;
improvement of information ruler; increase in capital ownership; increased market domination,
organizational optimization and management; provision of business premises; and reserve areas
of business. The Government of DKI Jakarta can empower MSME through the creation of appropriate
regulations. Empowerment is intended to make MSME as a robust and independent business in the
national economy. In the process of empowering it, government, business, and society are involved. In this case, the government should create a conducive business climate and conduct guidance and
development in the form of guidance and other assistance. The statement was supported by FGD results which confirmed that in Jakarta there are still many
MSMEs, including Warteg food culinary business, which still faces environmental constraints that are
not conducive to trying. For example, difficult permits or bribery that burdens MSME business. If this
is done, it means the government helps MSME out of the internal constraints. Described that this
activity is in accordance with the program of the President of the Republic of Indonesia is Nawacita,
the most promising sector never collapsed or bankrupt, ie MSME sector. Therefore, it is necessary to
improve the quality of products and the results of MSME such as the Warteg. The result of the
triangulation process shows that in achieving the target of the creation of 200,000 small and
medium entrepreneurs in Jakarta, the Governor Regulation is now being prepared on entrepreneur-
ship. The goal is that the needs of MSME perpetrators can be accommodated entirely. One of the benefits gained from the Governor Regulation that is being completed by the
Governor of Jakarta is the ease of licensing, especially for the perpetrators of MSME who are Page 14 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Model
Coefficientsa
Unstandardized
Coeffisients
Std.Error
Standardized
Coeffisien
T
Sig. B
Beta
1 (Constant)
5.365
1.522
3.524
.001
Jakarta Government
Mediation. .503
.052
.772
9.627
.000
Fatwa of Indonesian Council
of Ulama Jakarta
.133
.063
.167
2.088
.040
Source: Primary Data, December 2017 (Processed)
Page 15 of 22 Model
Coefficientsa
Unstandardized
Coeffisients
Std.Error
Standardized
Coeffisien
T
Sig. B
Beta
1 (Constant)
5.365
1.522
3.524
.001
Jakarta Government
Mediation. Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 members of the OK OCE program. Related to this, from the observations it was suggested that the
OCE Program is an abbreviation of One District One of Entrepreneurship. One of the flagship
programs of the Governor and Vice Governor of Jakarta, Anies-Sandi in the Jakarta Governor
Election, is how to make new entrepreneurs in Jakarta to be a benchmark in other areas. Do not
let the citizens of Jakarta not becoming masters in the area itself. The observation result shows
that the Government of Jakarta on 31 December 2017, has also held a Grand Entrepreneurship
Training organized by Productive Generation of East Jakarta at Robbani Building. The OCE OK Program is aimed at transforming and taking sides to lower-class entrepreneurs
(MSME), and new entrepreneurs. The focus of the program is targeted at 5 (five) terms, first, the
provision of capital and business assistance. Second, training by successful entrepreneurs, namely
the development of human resources through mentoring. This is based on experience that before
mentoring, 8 out of 10 entrepreneurs failed, but after mentoring, 8 businessmen turned successful. Third, innovation warranties work with the private sector. Fourth, the graduate of Vocational High
School can work directly. Fifth, special credit for mothers, because the special program of mothers
is considered more successful than the fathers. The mothers are smarter in managing the busi-
ness, including the return of loan capital, even to develop the business. The thing that needs to be deeply elaborated is that the Government of Jakarta also encourages
MSME and Small and Medium Industry (SMI) in utilizing the internet for the promotion and marketing
of products through the available Internet master place and integrated capital access platform. In
the future, the scope of traders is limited to street vendors, because sidewalks and parks that are
often used as a place to sell will be returned to its function. So it is necessary to develop MSME and
SMI to provide opportunities and solutions facilitate transactions in selling their products (MSME Go
online). This online MSME activity is to help MSME/SMI perpetrators built in the Jakarta area can be
more competitive with the competition faced both from within the country itself and from foreign
parties. This is all to make it easier for them to enter the digital age at this time. 3.9. Individual parameter significance analysis (test T statistics) .503
.052
.772
9.627
.000
Fatwa of Indonesian Council
of Ulama Jakarta
.133
.063
.167
2.088
.040
Source: Primary Data, December 2017 (Processed) Model
Coefficientsa
Unstandardized
Coeffisients
Std.Error
Standardized
Coeffisien
T
Sig. B
Beta
1 (Constant)
5.365
1.522
3.524
.001
Jakarta Government
Mediation. .503
.052
.772
9.627
.000
Fatwa of Indonesian Council
of Ulama Jakarta
.133
.063
.167
2.088
.040
Source: Primary Data, December 2017 (Processed) Page 15 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Table 10. Dependent Variable: Warteg Marketing Strategy
Model
Unstandardized
Coeffisients
Std.Error
Standardized
Coeffisien
T
Sig. B
Beta
1 (Constant)
1.841
2.625
.549
.701
.005
Jakarta Government
Mediation. .609
.122
.570
5.009
.000
Fatwa of Indonesian Council
of Ulama Jakarta
.768
.282
.105
.175
.165
7.329
1.611
.000
.001
Source: Primary Data, December 2017 (Processed)
Page 16 of 22 Page 16 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 Business Feasibility Loan focuses more on the potential or feasibility of the business and not the
collateral that is usually used as a requirement by the bank in lending to try. In addition, the
Government of Jakarta also seeks to realize the desire for Jakarta to be a city where the morality of
its citizens is akhlakul karimah, so it needs to be built from the process of education and coaching. Related to halal certificate, it is claimed to be needed by food products (including Warteg) and
franchise to guarantee consumer protection. Business Feasibility Loan focuses more on the potential or feasibility of the business and not the
collateral that is usually used as a requirement by the bank in lending to try. In addition, the
Government of Jakarta also seeks to realize the desire for Jakarta to be a city where the morality of
its citizens is akhlakul karimah, so it needs to be built from the process of education and coaching. Related to halal certificate, it is claimed to be needed by food products (including Warteg) and
franchise to guarantee consumer protection. The Governor of Jakarta has issued a regulation namely Governor Regulation Number 158 of 2013
on the Procedures of Certification of Halal and non Halal Restaurant, which is the completeness of
halal label from Indonesian Council of Ulama Jakarta for Warteg business. The regulation of the
Governor initiated the certification of the halal restaurant in Jakarta. The Government of Jakarta has
been cooperating with Indonesian Council of Ulama Jakarta since 9 December 2013, and this is legal
protection of cooperation between the Government of Jakarta with Indonesian Council of Ulama
Jakarta. Fatwa Commission of Indonesian Council of Ulama Jakarta, has conducted the activities of
“Ijtima Ulama”. This is because the Quranic explanation is not forever firm and detailed (tafsili), but
most of it outlines (ijmali), so it needs further explanation from the Apostle. As one who is empowered to explain a thing on the one hand and face the evolving social
realities on the other, the Apostle sometimes has to use a common sense called ijtihad in the
application of Islamic law including to Warteg food products. As the dynamics of the times change,
the source requires an analyst (ijtihad), although historically it has been closed down which later
the modernist ulama reopens and is done by the ulamas across the globe (including Indonesia)
with various approaches and methods. The process of ijtihad is not limited to emerging issues, but
ijtihad has other interests related to the Islamic legal treasury by doing a review of existing
problems based on the present conditions and the human needs to choose which ones are
strongest and relevant, by realizing the goals of Islamic law and human welfare. The purpose of the discovery of the law must be understood by the Mujtahid in order to develop
legal thought in Islam in general and answer contemporary legal issues whose case is not explicitly
regulated by the Qur’an and Hadith, especially in all branches of the muamalah field, which has no
legal provisions. Therefore, with the various methods applied, it is hoped that they will be able to find
laws in solving various problems that arise in different social and territorial circumstances. Because
of this fact, Indonesia as a country whose population consists of several tribes and the majority of
Islam is inspired to answer the challenges that exist for the achievement of a mix of cultures,
religions and pluralistic traditions, while entering the era of modern development, without wasting
Islamic values. The Indonesian Council of Ulama Jakarta has always been asked for fatwas related
to the turmoil that occurred in the people of Jakarta before the fatwa, Indonesian Council of Ulama
Jakarta through Fatwa Commission through study and research on the issues discussed and con-
ducting FGD as an effort to puncture the subject and answer fatwa requested. Several studies show a close relationship between MSME empowerment and regional economic
growth. According to Schmitz (Ananda, 2003), MSME is able to grow faster than big business when
given the opportunity. In Japan, Germany, Sweden, and Italy small business electronics are able to
make inventions, innovations, and can make efficiency. Schmitz believes that small and medium
enterprises will dominate and foster the economic development of a nation, provided they are able
to improve their efficiency and competitiveness. In an effort to empower MSME, the Government of
Jakarta make the rules of funding policy in addition to the development of partnerships. For
example, increasing the profit or sale of parties involved in the partnership; gain a better knowl-
edge of the market; increase the number of new customers or suppliers; helping to improve
product development; and improve the production process. There are several concepts that are
often used in connection with partnerships, namely the terms partnerships, business networking,
and strategic alliances. In addition, for MSME, skill factor owners or business managers such as Warteg is a determining
factor. Therefore, HR development approach becomes very strategic. By improving the quality of
human resource skills, it is hoped that various obstacles faced by MSME can be overcome. Improving
the quality of human resources is done through the improvement of management skills and
entrepreneurship. This involves two aspects of HR that are generally more effective through learning
by doing approach. For MSME entrepreneurs, it is easier to learn through direct practice than to learn
complex theories, especially concerning entrepreneurship. So, these regulations are set in order to
help MSME to grow healthier. The Government has established rules and policies to: a. expand
funding sources; b. improve access to financing sources; and c. provide ease of funding. In this aspect of funding, the Government of Jakarta provides various credit schemes for
cooperatives and small businesses, including Farmer Loan, Loan for Village Business Loan,
Primary Loan for Cooperatives Member, Small Business Loan, and Business Feasibility Loan. Page 17 of 22 Page 17 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 by Ghozali (2009) that the value of the coefficient of determination is between 0 and 1, and a large
R Square value means the independent variable can explain the variation of the dependent
variable. Anova test or F-test produces an F-count value of 172.811 with a significance level of
0.000 with a degree of freedom (df) of 3 and residual 87. by Ghozali (2009) that the value of the coefficient of determination is between 0 and 1, and a large
R Square value means the independent variable can explain the variation of the dependent
variable. Anova test or F-test produces an F-count value of 172.811 with a significance level of
0.000 with a degree of freedom (df) of 3 and residual 87. This means that the significance of probability significance is much smaller than 0.05, so this
regression model can be used to predict the Variable Development of MSME in Jakarta. Thus, the
results of the F-test of this study indicate that this hypothesis, “The influence of Jakarta
Government Mediation and Fatwa of The Indonesian Council of Ulama Jakarta on Warteg
Marketing Strategy to improve the development of MSME in Jakarta is acceptable. This means
that the Jakarta Government Mediation and Fatwa of The Indonesian Council of Ulama Jakarta
both have an influence on Warteg Marketing Strategy in improving the development of MSME in
Jakarta. The result of the test of significance of individual parameters (t-statistical test) of this
research variables is known that Jakarta Government Mediation Mediation, Fatwa of The
Indonesian Council of Ulama Jakarta, and Warteg Marketing Strategy, including in the regression
significantly influence the Development Variables of MSME in Jakarta. Thus Ho’s research is
partially acceptable. Related to the development of MSME, especially is Warteg food business in Jakarta, it is
explained that the Jakarta Government can use MSME for poverty alleviation. Therefore, Jakarta
Government, through the rights to establish regulation, is able to empower the MSME. The
empowerment of MSME is intended to make MSME, including Warteg business, to be a tough
and independent business in national and even international economy. In the process, the
empowerment is involving the Jakarta Government, the business community, and the community. In this case, the Jakarta Government should create a conducive business climate and conduct
leadership and development in the form of guidance and assistance. In this case, Jakarta
Government can encourage the Bank in assessing MSME should not only consider from its collat-
eral but also the feasibility of business. Jakarta Government can encourage MSME to build partnerships with the big business in the spirit
of mutual benefit. Jakarta Government should be able to make socialization and awareness of the
various elements involved in the business world in their respective areas. Of course, the Jakarta
Government should prepare a dialogue forum between small entrepreneurs, such as Warteg, and
prominent people in a business. The quality of MSME in Jakarta is low on average, so the Jakarta
Government, in this case, can conduct training to improve the ability of MSME entrepreneurs. Thus,
the approach of human resource development in Jakarta will be prioritized in an effort to socialize
and cultivate entrepreneurship, especially in the framework of MSME development. 4. Discussion The results of research conducted at the Government of DKI Jakarta indicate that Warteg
Marketing Strategy can be improved through efforts to increase the Variable Mediation of
Jakarta Government and The fatwa of the Indonesian Council of Ulama Jakarta. The increase in
Warteg Marketing Strategy will have an impact on increasing the development of MSME in Jakarta. Therefore, Jakarta Government Mediation and Fatwa of The Indonesian Council of Ulama Jakarta
need to be developed and improved in order to improve Warteg Marketing strategy, so that in the
end there will be an increase of MSME development in Jakarta optimally. Based on data display from the output of SPSS 19 for windows in Table 4, it can be seen that
Adjusted R Square (R2) is 83.8%. This means that the determination coefficient value of Jakarta
Government Mediation, Fatwa of The Indonesian Council of Ulama Jakarta, and Warteg Marketing
Strategy in this research can explain the variation of Development Variable of MSME by 70,3%
while the rest of 29.7% is a variation of other causes that are not included in the model. As stated Page 18 of 22 Page 18 of 22 Kadarisman, Cogent Business & Management (2019), 6: 1629096
https://doi.org/10.1080/23311975.2019.1629096 (6) Influence of Jakarta Government Mediation (X1), Fatwa of The Indonesian Council of Ulama
Jakarta (X2), Warteg Marketing Strategy (X3), cumulatively or jointly to the development of
MSME in Jakarta (X4) of 1.694. (6) Influence of Jakarta Government Mediation (X1), Fatwa of The Indonesian Council of Ulama
Jakarta (X2), Warteg Marketing Strategy (X3), cumulatively or jointly to the development of
MSME in Jakarta (X4) of 1.694. Therefore, there is a significant influence of Jakarta Government Mediation and Fatwa of The
Indonesian Council of Ulama Jakarta against Warteg Marketing Strategy which impact on MSME
development in Jakarta, both partially and simultaneously. Thus, the results of this study can
answer the hypothesis or the provisional estimation of this study. In addition, Jakarta Government
has strengthened MSME including Warteg food business in order to face the competition of food
business in Jakarta, even at the international level which is implemented through the Office of
Cooperatives & Small and Medium Enterprises of Jakarta as the executor of governance technical
affairs in the field of people’s economy. These efforts include the use of personnel, managerial
aspects, and network development. In addition to improving the professionalism of SMEs, the Office of Cooperatives and SME Jakarta
provides entrepreneurship training and technical training to enhance the skills of MSME. To
improve the managerial capability of MSME players, the Office of Cooperatives and SME Jakarta
conducts counseling related to appropriate technology, financial management training, and pro-
duction management. In developing the network for MSME, the Office of Cooperatives and SME
Jakarta provides counseling on how to expand the business network and market. The Office of
cooperatives and SME Jakarta also cooperates with State Own Enterprises in Jakarta, Province
Owned Enterprises, cross-sectoral agencies, and engage MSME players in promotion and exhibition
events at local and national as well as international level. In addition, network development efforts
are also carried out. The findings in the field indicate that all the guidance done by the Office of Cooperatives and
SME Jakarta, whether the training, counseling, or providing assistance adjusted to the needs of
MSME itself, but the number of participants who received training and assistance is still limited. In
addition, the selection of themes and the delivery of materials in training to improve the profes-
sionalism of MSME, including Warteg’s business, is quite effective so that the results are applied in
business activities. Muh. Kadarisman Muh. Kadarisman E-mail: kadarisman.bkn@gmail.com Hastiyanto, F., 2010. Spirit Warteg dan Kultur Wirausaha
Tegal, Tegal: Radar Tegal. E-mail: kadarisman.bkn@gmail.com Faculty of Social and Political Sciences, University of
Muhammadiyah Jakarta, Jl. KH. Ahmad Dahlan, Cirendeu,
Ciputat 15419, Jakarta. Faculty of Social and Political Sciences, University of
Muhammadiyah Jakarta, Jl. KH. Ahmad Dahlan, Cirendeu,
Ciputat 15419, Jakarta. Hooley, G. J., Piercy, N., & Nicoulaud, B., 2008. Marketing
strategy and competitive positioning, London: FT Prentice
Hall. Citation information Kadarisman, M., 2010. Metodologi Penelitian, Jakarta, UMJ
Press, hlm 144. Kadarisman, M., 2010. Metodologi Penelitian, Jakarta, UMJ
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mediations towards marketing strategy of Warteg and its
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08974438.2012.755725 Funding Funding
The author received no direct funding for this research. The findings in the field also revealed that in the era of the current ASEAN
Economic Community, socialization is important, but there are still limited socialization time
conducted by the Office of Cooperatives and SME Jakarta, especially during the training. Thus,
there are still many MSME players, especially Warteg in Jakarta who do not know the information. Dube, L., & Renaghan, M., 2000. Creating visible customer
value-how customers view best-practice champions. The Cornell Hotel and Restaurant Administration
Quarterly (40) (7), p. 62–72. doi:10.1177/
001088040004100124 5. Conclusion Based on the result on structural equation 1 and structural equation 2 on research variable, it can
be seen that: (1) Influence of Jakarta Government Mediation (X1) to Fatwa of The Indonesian Council of
Ulama Jakarta (X3) equal to 0.772 or 7.72%. (1) Influence of Jakarta Government Mediation (X1) to Fatwa of The Indonesian Council of
Ulama Jakarta (X3) equal to 0.772 or 7.72%. (2) Influence of Fatwa of The Indonesian Council of Ulama Jakarta (X2) on Warteg Marketing
Strategy (X3) of 0.167 or 1.67%. (2) Influence of Fatwa of The Indonesian Council of Ulama Jakarta (X2) on Warteg Marketing
Strategy (X3) of 0.167 or 1.67%. (3) The Effect of Jakarta Government Mediation (X1) on the Development of MSME in Jakarta (X4)
is 0.549 or 5.49%. (3) The Effect of Jakarta Government Mediation (X1) on the Development of MSME in Jakarta (X4)
is 0.549 or 5.49%. (4) Influence of the Fatwa of The Indonesian Council of Ulama Jakarta (X2) on the Development
of MSME in Jakarta (X4) of 0.570 or 5.70%. (4) Influence of the Fatwa of The Indonesian Council of Ulama Jakarta (X2) on the Development
of MSME in Jakarta (X4) of 0.570 or 5.70%. (5) The Influence of Warteg Marketing Strategy (X3) on MSME Development in Jakarta (X4) equal
to 0.165 or 1.65%. (5) The Influence of Warteg Marketing Strategy (X3) on MSME Development in Jakarta (X4) equal
to 0.165 or 1.65%. Page 19 of 22 Funding
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https://doi.org/10.1080/23311975.2019.1629096 Kadarisman, Cogent Business & Management (2019), 6: 1629096
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https://openalex.org/W2808448724
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https://www.frontiersin.org/articles/10.3389/fnhum.2018.00276/pdf
|
English
| null |
Prediction of the Effect of Sleep Deprivation on Response Inhibition via Machine Learning on Structural Magnetic Resonance Imaging Data
|
Frontiers in human neuroscience
| 2,018
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ORIGINAL RESEARCH
published: 10 July 2018
doi: 10.3389/fnhum.2018.00276 Edited by:
Xiaolin Zhou,
Peking University, China
Reviewed by:
Zhen Yuan,
University of Macau, Macau
Rui Li,
Institute of Psychology (CAS), China
*Correspondence:
Wei Qin
wqin@xidian.edu.cn
Received: 06 March 2018
Accepted: 14 June 2018
Published: 10 July 2018 Edited by:
Xiaolin Zhou,
Peking University, China Reviewed by:
Zhen Yuan,
University of Macau, Macau
Rui Li,
Institute of Psychology (CAS), China
*Correspondence:
Wei Qin
wqin@xidian.edu.cn Reviewed by:
Zhen Yuan,
University of Macau, Macau
Rui Li,
Institute of Psychology (CAS), China
*Correspondence:
Wei Qin
wqin@xidian.edu.cn Keywords: inhibitory control, stop-signal task, prediction, VBM, linear regression Received: 06 March 2018
Accepted: 14 June 2018
Published: 10 July 2018 Prediction of the Effect of Sleep
Deprivation on Response Inhibition
via Machine Learning on Structural
Magnetic Resonance Imaging Data
Rui Zhao 1, Xinxin Zhang 1, Yuanqiang Zhu 2, Ningbo Fei 1, Jinbo Sun 1, Peng Liu 1,
Xuejuan Yang 1 and Wei Qin 1* 1Engineering Research Center of Molecular and Neuro Imaging of the Ministry of Education, School of Life Science and
Technology, Xidian University, Xi’an, China, 2Department of Radiology, Xijing Hospital, The Fourth Military Medical University,
Xi’an, China Sleep deprivation (SD) impairs the ability of response inhibition. However, few studies
have explored the quantitative prediction of performance impairment using Magnetic
Resonance Imaging (MRI) data. In this study, structural MRI data were used to predict
the change in response inhibition performance (1SSRT) measured by a stop-signal task
(SST) after 24 h of SD in 52 normal young subjects. For each subject, T1-weighted MRI
data were acquired and the gray matter (GM) volumes were calculated using voxel-
based morphometry (VBM) analysis. First, the regions in which GM volumes correlated
with 1SSRT were explored. Then, features were extracted from these regions and the
prediction process was performed using a linear regression model with four-fold cross-
validation. We found that the GM volumes of the left middle frontal gyrus (L_MFG),
pars opercularis of right inferior frontal gyrus (R_IFG), pars triangularis of left inferior
frontal gyrus, pars opercularis of right rolandic area, left supplementary motor area
(L_SMA), left hippocampus, right lingual gyrus, right postcentral gyrus and left middle
temporal gyrus (L_MTG) could predict the 1SSRT with a low mean square error of
0.0039 ± 0.0011 and a high Pearson’s correlation coefficient between the predicted and
actual values of 0.948 ± 0.0503. In conclusion, our results demonstrated that a linear
combination of structural MRI data could accurately predict the change in response
inhibition performance after SD. Further studies with larger sample sizes and more
comprehensive sample may be necessary to validate these findings. Keywords: inhibitory control, stop-signal task, prediction, VBM, linear regression Subjects y
p
g
Predictive data mining has become a much-discussed area
of research over the last decade. Recent neuroimaging studies
have started to use machine-learning techniques to predict
cognitive or behavioral performance from functional magnetic
resonance imaging (fMRI) data (Eichele et al., 2008; Aharoni
et al., 2013; Finn et al., 2015) and diffusion tensor imaging
data (Ellingson et al., 2015; Park et al., 2015). Furthermore,
Mwangi et al. (2011) used structural T1-weighted MRI data
to predict the severity of major depressive disorder illness. Supekar et al. (2013) used morphometry and functional
connectivity to predict math-tutoring outcomes in primary-
grade school children. Redlich et al. (2016) used gray matter
(GM) volumes to predict electroconvulsive therapy response. These studies suggest that certain clinical features and cognitive
performance can be predicted from structural MRI data. Therefore, we hypothesized that the change in response
inhibition performance after SD could be predicted from
regional GM volumes. However, we are not aware of any other
published studies that have evaluated the prediction of GM
volumes to the response inhibition performance impairment
after SD. Fifty-seven right-handed healthy subjects were recruited from
Xidian University in this study. They were undergraduate
and master students of Xidian University. All subjects had no
history of self-reported medical, psychiatric, neurologic, or
sleep disorders, and were free of any abused alcohol or drugs. Subjects who presented an extreme morning or extreme
evening type as assessed by a questionnaire (Horne and
Ostberg, 1975), were excluded. They habitually maintained
normal
sleep
schedules
of
7–9
h
per
night,
between
10:00 pm and 8:00 am. Two subjects opted out of this study after SD. Another
three subjects were excluded because of the abnormality in
brain structure. Therefore, the final analyzed group consisted
of 52 subjects (mean age 19.53 ± 1.62 years, range 17–23;
26 males and 26 females). All participants declared that they
did not smoke or consume any stimulants, medications, alcohol
or caffeine for at least 24 h prior to the formal experiment. All research procedures were conducted in accordance with
the Declaration of Helsinki and approved by the institutional
research ethics committee of the Xijing Hospital of the Fourth
Military Medical University. All subjects provided written
informed consent prior to participation and were compensated
for their time. after SD. Citation: Zhao R, Zhang X, Zhu Y, Fei N,
Sun J, Liu P, Yang X and Qin W
(2018) Prediction of the Effect of
Sleep Deprivation on Response
Inhibition via Machine Learning on
Structural Magnetic Resonance
Imaging Data. Inhibitory control, also known as response inhibition, is the process of being able to rapidly
cancel planned or ongoing behaviors. It is indispensable for self-regulation, and is an important
prerequisite for higher-order executive functions (Diamond, 2013). Poor response inhibition may
profoundly interfere with the requirements of everyday life. Inhibitory control is also an important
function in individual daily activities, such as being able to stop driving upon seeing a pedestrian
unexpectedly cross the road (Lee and Hsieh, 2017). However, sleep deprivation (SD) for one night
can impair the performance of inhibitory control (Chuah et al., 2006; Zhao et al., 2018). Therefore, Front. Hum. Neurosci. 12:276. doi: 10.3389/fnhum.2018.00276 July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 1 Zhao et al. Prediction SSRT Impairment After SD MATERIALS AND METHODS a decrease in response inhibition ability after SD could have
deleterious outcomes, and being able to predict the effect of SD
on inhibitory control could help avoid danger in the future. Subjects Previous fMRI (Li et al., 2006; Chevrier et al., 2007; Cohen
et al., 2010; Congdon et al., 2010; Kenner et al., 2010; Erika-
Florence et al., 2014), lesion (Aron et al., 2003; Floden and Stuss,
2006; Picton et al., 2007) and transcranial magnetic stimulation
(TMS) studies (Chambers et al., 2006, 2007; Chen et al., 2009;
Zandbelt et al., 2013) have revealed that the right inferior frontal
gyrus (IFG) is a critical region for the successful inhibitory
control (Aron et al., 2004, 2014). Recent evidence suggests that
the IFG and supplementary motor area (SMA) might coordinate
inhibition via direct white-matter tract (Aron et al., 2007). Furthermore, the SMA are implicated from fMRI studies (Aron
and Poldrack, 2006; Xue et al., 2008; Chambers et al., 2009; Cai
et al., 2014) and brain stimulation studies (transcranial direct
current stimulation and TMS; Yu et al., 2015; Lee et al., 2016). Additional brain regions, such as middle frontal gyrus (MFG),
occipital cortex and middle temporal gyrus (MTG) have also
been reported to be involved in inhibitory control (Aron and
Poldrack, 2006; Congdon et al., 2010, 2014; Galván et al., 2011;
Swick et al., 2011). These studies suggest that these regions
may be the ‘‘stopping network’’ related with inhibitory control. Therefore, we hypothesized that the regions in stopping network
would predict the change in response inhibition performance
after SD. Frontiers in Human Neuroscience | www.frontiersin.org Experimental Procedure The RW and SD sessions were administered in a randomized, cross-over fashion with at least 1 week apart. For the SD session,
subjects were monitored in the laboratory from 10:00 pm to 8:00 am to prevent them from falling asleep. (B) Schematic of the SST including Go trial and Stop trial. All trials started with 500 ms white cross fixation in the center of the black background screen. Then, a left- or right-pointing arrow stimulus was displayed on a
computer screen. On Go trial, subjects were instructed to press the button as soon as possible within 1000 ms. If subjects responded, the arrow stimulus
disappeared, and the blank screen was shown. The interval between the arrow stimulus and blank screen was the GoRT. On Stop trail, subjects were instructed to
stop pressing the button when a Stop signal (the white arrow was changed to blue) was presented after SSD. If subjects inhibited their response (Successful
inhibition), the Stop signal remained onscreen for the duration of 1000 ms—SSD. If subjects pressed the button (Failed inhibition), the Stop signal disappeared, and
the blank screen was shown. For both trials, the null events, consisting of blank screen, were also shown between every trial with the duration ranging between
500 ms and 4000 ms. RW, rested wakefulness; SD, sleep deprivation; GoRT, reaction time on correct Go trials; SSD, stop-signal delay. a training session of the SST. After performed the SST during
the second visit, the structure MRI data of each subject was
acquired. button when a Stop signal (the white arrow was changed to
blue) was presented after a particular delay (stop-signal delay,
SSD) subsequent to the arrow stimulus. If subjects inhibited their
response, the Stop signal remained onscreen for the duration of
1000 ms—SSD. If subjects pressed the button, the Stop signal
disappeared from the center of the computer screen, followed
by the blank screen. Similarly, the null events were also imposed
between every trial, with the duration ranged between 500 ms
and 4000 ms. The SSD changed dynamically throughout the
experiment: if the subject inhibited successfully on a Stop trial,
the inhibition was made more difficult on a subsequent Stop trial
by increasing the SSD by 50 ms; if the subject did not successfully
inhibit, the inhibition was made easier by decreasing the SSD
by 50 ms. Experimental Procedure Prediction SSRT Impairment After SD FIGURE 1 | Schematic diagram of the experimental procedure and the stop-signal task (SST). (A) Schematic showing the order of the experimental procedure. For
the first visit, subjects underwent the screening process, were informed of the experimental procedures and were given instructions about the SST. After 1 week,
subjects administered the simultaneous magnetic resonance imaging (MRI) scanning/SST twice at 8:00 am in the second visit and third visit respectively, once after
RW and once after 24 h of SD. The RW and SD sessions were administered in a randomized, cross-over fashion with at least 1 week apart. For the SD session,
subjects were monitored in the laboratory from 10:00 pm to 8:00 am to prevent them from falling asleep. (B) Schematic of the SST including Go trial and Stop trial. All trials started with 500 ms white cross fixation in the center of the black background screen. Then, a left- or right-pointing arrow stimulus was displayed on a
computer screen. On Go trial, subjects were instructed to press the button as soon as possible within 1000 ms. If subjects responded, the arrow stimulus
disappeared, and the blank screen was shown. The interval between the arrow stimulus and blank screen was the GoRT. On Stop trail, subjects were instructed to
stop pressing the button when a Stop signal (the white arrow was changed to blue) was presented after SSD. If subjects inhibited their response (Successful
inhibition), the Stop signal remained onscreen for the duration of 1000 ms—SSD. If subjects pressed the button (Failed inhibition), the Stop signal disappeared, and
the blank screen was shown. For both trials, the null events, consisting of blank screen, were also shown between every trial with the duration ranging between
500 ms and 4000 ms. RW, rested wakefulness; SD, sleep deprivation; GoRT, reaction time on correct Go trials; SSD, stop-signal delay. FIGURE 1 | Schematic diagram of the experimental procedure and the stop-signal task (SST). (A) Schematic showing the order of the experimental procedure. For
the first visit, subjects underwent the screening process, were informed of the experimental procedures and were given instructions about the SST. After 1 week,
subjects administered the simultaneous magnetic resonance imaging (MRI) scanning/SST twice at 8:00 am in the second visit and third visit respectively, once after
RW and once after 24 h of SD. Experimental Procedure This procedure (also named a staircase procedure)
was performed to achieve approximately 50% accuracy of Stop
trials (StopAcc) and control the difficulty level across subjects. To reduce participants’ anticipation of stimuli, two staircases
were used and respectively started with SSD values of 250 and
350 ms. There were two runs in per state. Each 4.5 min
run included two blocks, giving a total of 36 Go trials and
12 Stop trials in each block. Each Stop trial corresponded to one Experimental Procedure p
All subjects were scheduled for three visits to the laboratory. The schematic of this experimental procedure can be seen in
Figure 1A. For the first visit, subjects visited the laboratory,
underwent the screening process, were informed of the
experimental procedures and were given instructions about the
SST. After 1 week, subjects who met the inclusion criteria
administered the SST twice at 8:00 am in the second visit
and third visit respectively, once after rested wakefulness
(RW) and once after 24 h of SD. These two states were
administered in a randomized, cross-over fashion with at least
1 week apart to minimize possible residual effects of SD on
cognition (Van Dongen et al., 2003). Some subjects showed
poor sleep when they slept normally in the laboratory during
the pre-experiment. Furthermore, during the RW night, no
action was performed for subjects, and we didn’t perform any
operation on subjects. Therefore, we arranged with subjects
to sleep normally at home during the RW night. In order
to ensure that subjects slept well during the RW night at
home, they finished the sleep diary after waking up. If one’s
sleep quality was poor, he/she would not perform the SST
on this day. We would arrange the experiment next time
again. Subjects with well sleep reported to the laboratory at
7:30 am and performed the SST while being scanned with fMRI
at 8:00 am. During the SD night, subjects were monitored
in the laboratory from 10:00 pm to 8:00 am to prevent
them from falling asleep. They were allowed to engage in
non-strenuous activities such as reading and watching videos. Each subject completed the SST in the MRI scanner at 8:00 am. Directly before each scanning session, each subject performed In the present study, we attempted to use voxel-based
morphometry (VBM) analysis to investigate whether regional
GM volumes could predict 1SSRT (the change in the rate of
response inhibition measured by a stop-signal task (SST) before
and after SD). First, we explored the relationship between GM
volume and 1SSRT using voxel-wise analysis. Then, we extracted
the GM volumes of regions that were negative correlated with
1SSRT. Finally, we used a linear regression model to investigate
the performance of these GM volumes in the prediction
of 1SSRT. July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 2 Zhao et al. Frontiers in Human Neuroscience | www.frontiersin.org The Stop-Signal Task For continuity, the start values of the two staircases in
block 2 were the last values in block 1, and so on. We can see from this figure that the StopAcc tended to be stable and was about 50% via the dynamical changing
the SSD. FIGURE 2 | The dynamic changes of SSD and StopAcc across Stop trials of one subject. The green vertical lines represent the successful inhibition (StopInhibit). The purplish red vertical lines represent the failed inhibition (StopResponde). The brown curve (left ordinate) represents the accuracy of Stop trials (StopAcc). The
baby blue (right ordinate) curve represents the SSD value. To reduce participants’ anticipation of stimuli, two staircases were used and respectively started with SSD
values of 250 and 350 ms (the first two values in the baby blue curve). The dark blue diamond points represent the first staircase with start value of 250 ms. The
remaining baby blue diamond points represent the second staircase with start value of 350 ms. If the subject inhibited successfully on a Stop trial, the inhibition was
made more difficult on a subsequent Stop trial by increasing the SSD by 50 ms; if the subject did not successfully inhibit, the inhibition was made easier by
decreasing the SSD by 50 ms. There were four blocks with 48 Stop trials in total. In each block, six Stop trials corresponded to the first staircase, while the other six
Stop trials corresponded to the second staircase. The order of the two staircases was randomized trial-by-trial. For continuity, the start values of the two staircases in
block 2 were the last values in block 1, and so on. We can see from this figure that the StopAcc tended to be stable and was about 50% via the dynamical changing
the SSD. MRI Data Acquisition
MRI data were obtained on a 3T GE MR750 scanner at
Department of Radiology, Xijing Hospital, The Fourth Military
Medical
University,
Xi’an,
China. A
standard
8-channel
head coil was used together with a restraining foam pad
to
minimize
head
motion
and
diminish
scanner
noise. The Stop-Signal Task The SST was adapted from previous published works (Logan,
1994; Aron and Poldrack, 2006). The schematic of this task can
be seen in Figure 1B. There were two trial types: Go (75% of
trials) and Stop (25% of trials). All trials started with 500 ms
white cross fixation in the center of the black background screen. Then, a left- or right-pointing arrow was displayed on a computer
screen. On Go trials, subjects were instructed to press the right
button as soon as possible with their right middle finger within
1000 ms if a right-pointing arrow was presented, and to press
the left button with their right index finger if a left-pointing
arrow was displayed. If subjects responded, the arrow stimulus
disappeared from the center of the computer screen, followed
by the blank screen. The null events, consisting of blank screen,
were also shown between every trial. The duration of null events
ranged between 500 ms and 4000 ms, with a mean of 1000 ms. On Stop trails, subjects were instructed to stop pressing the July 2018 | Volume 12 | Article 276 3 Zhao et al. Prediction SSRT Impairment After SD FIGURE 2 | The dynamic changes of SSD and StopAcc across Stop trials of one subject. The green vertical lines represent the successful inhibition (StopInhibit). The purplish red vertical lines represent the failed inhibition (StopResponde). The brown curve (left ordinate) represents the accuracy of Stop trials (StopAcc). The
baby blue (right ordinate) curve represents the SSD value. To reduce participants’ anticipation of stimuli, two staircases were used and respectively started with SSD
values of 250 and 350 ms (the first two values in the baby blue curve). The dark blue diamond points represent the first staircase with start value of 250 ms. The
remaining baby blue diamond points represent the second staircase with start value of 350 ms. If the subject inhibited successfully on a Stop trial, the inhibition was
made more difficult on a subsequent Stop trial by increasing the SSD by 50 ms; if the subject did not successfully inhibit, the inhibition was made easier by
decreasing the SSD by 50 ms. There were four blocks with 48 Stop trials in total. In each block, six Stop trials corresponded to the first staircase, while the other six
Stop trials corresponded to the second staircase. The order of the two staircases was randomized trial-by-trial. The Stop-Signal Task To perform anatomical morphometric analyses, structural
high-resolution 3D T1-weighted data were acquired in each
subject
using
magnetization-prepared
rapid-acquisition
gradient echo sequence (MPRAGE; repetition time = 8.2 ms;
echo time = 3.18 ms; field of view = 256 × 256 mm2;
matrix = 512 × 512; in-plane resolution = 0.5 × 0.5 mm2;
slice thickness = 1 mm; 196 sagittal slices; flip angle = 9◦). staircase. Therefore, six Stop trials corresponded to the staircase
commencing with an SSD of 250 ms, while the other six Stop
trials corresponded to the staircase commencing with 350 ms. Each staircase moved six times within each block. The order of
the two staircases was randomized trial-by-trial. The dynamic
changes of SSD and StopAcc across 48 Stop trials are described
in Figure 2. 1http://www.fmrib.ox.ac.uk/fsl/ Behavioral Analysis If the feature dimensions were higher than the sample size, we performed least absolute shrinkage and
selection operator (LASSO) to reduce the feature dimensions before building the linear regression model; otherwise, we directly built the linear regression model. We
then evaluated the applicability of this model according to the following conditions: (1) the regression model was significant; (2) the linear regression model met the
statistical hypotheses (normality, independence of errors, linearity, and homoscedasticity); (3) the regression coefficients (β) of all features were significant; (4) the
features had no multicollinearity. If the model met all of the conditions, we calculated the r(pred, actual) and mean square error (MSE) using the final features;
otherwise, features were removed one by one until the model met all the conditions. FIGURE 3 | A schematic diagram of the prediction analysis pipeline. First, the T1-weighted data underwent the voxel-based morphometry (VBM) analysis to find the
relationship between gray matter (GM) volume and 1SSRT. Second, we extracted features from the results of the VBM analysis, and determined the voxels which
GM volumes were negative correlated with the 1SSRT at an uncorrected threshold. The GM volumes of voxels were then averaged according to the automated
anatomical labeling (AAL) template. The obtained mean GM volumes of brain regions were regarded as candidate features. Third, we used these candidate features
to predict the 1SSRT with a linear regression model. If the feature dimensions were higher than the sample size, we performed least absolute shrinkage and
selection operator (LASSO) to reduce the feature dimensions before building the linear regression model; otherwise, we directly built the linear regression model. We
then evaluated the applicability of this model according to the following conditions: (1) the regression model was significant; (2) the linear regression model met the
statistical hypotheses (normality, independence of errors, linearity, and homoscedasticity); (3) the regression coefficients (β) of all features were significant; (4) the
features had no multicollinearity. If the model met all of the conditions, we calculated the r(pred, actual) and mean square error (MSE) using the final features;
otherwise, features were removed one by one until the model met all the conditions. ICBM-152 template using the affine registration tool FLIRT
(Jenkinson and Smith, 2001; Jenkinson et al., 2002), followed
by the nonlinear registration tool FNIRT2. The resulting
images were averaged to create a symmetric, study-specific
GM template. Behavioral Analysis (4) The segmented individual GM images
were then non-linearly registered to the study-specific GM
template and modulated using the Jacobian of the warp field. (5) These modulated registered GM images were smoothed
by a Gaussian kernel of 3 mm (e.g., sigma = 3 mm), with a
full-width half-maximum (FWHM) of ∼7 mm. (6) Finally, to explore the relationship between GM volume and 1SSRT,
voxel-wise whole-brain regression analysis was performed
using a general linear model. Nonparametric statistics were
performed using the ‘‘randomize’’ with 5000 permutations
and
family
wise
error
(FWE)
correction
for
multiple
comparisons. 2www.fmrib.ox.ac.uk/analysis/techrep Behavioral Analysis The stop signal reaction time (SSRT) was the primary measure
of interest in the stop-signal task. It reflects the individual
stop latency, and has been used as an index of an individual’s
inhibitory control, with a shorter SSRT indicating better
inhibitory control. SSRT was calculated using a quantile method,
which corrected for deviations from 50% successful inhibition
(Logan, 1994; Band et al., 2003). First, all reaction times
(GoRT) on correct Go trials were arranged in ascending order. The RT corresponding to the proportion of failed inhibitions
(1 −StopAcc) was then determined, termed the quantile
RT. For example, if the StopAcc for a particular subject was
40%, the quantile RT would be the RT for which 40% of
trials were faster than the quantile RT and 60% of trials
were slower. SSRT was estimated as the difference between
the quantile RT and the average SSD. Finally, the change in
the rate of SSRT (1SSRT) was calculated according to the
following: Voxel-Based Morphometry Analysis
The VBM analysis was performed using the openware FSL
version 5.0.41 (Smith et al., 2004; Woolrich et al., 2009;
Jenkinson et al., 2012). Data processing was divided into
six major steps. (1) All individual T1-weighted images were
brain-extracted using the brain extraction tool (BET; Smith,
2002) and visually inspected by an experienced neurologist
to remove any leftover non-brain tissue. (2) Brain extracted
images were segmented into different tissue types (GM,
White Matter and cerebrospinal fluid) using the FMRIB’s
Automated Segmentation Tool (FAST; Zhang et al., 2001). (3) The resulting GM images were registered to the GM ∆SSRT = SSRTSD −SSRTRW
SSRTRW July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 4 Zhao et al. Prediction SSRT Impairment After SD FIGURE 3 | A schematic diagram of the prediction analysis pipeline. First, the T1-weighted data underwent the voxel-based morphometry (VBM) analysis to find the
relationship between gray matter (GM) volume and 1SSRT. Second, we extracted features from the results of the VBM analysis, and determined the voxels which
GM volumes were negative correlated with the 1SSRT at an uncorrected threshold. The GM volumes of voxels were then averaged according to the automated
anatomical labeling (AAL) template. The obtained mean GM volumes of brain regions were regarded as candidate features. Third, we used these candidate features
to predict the 1SSRT with a linear regression model. Feature Selection In
traditional
linear
regression
analysis,
the
number
of
independent variable should be less than the sample size. However, in some cases, the dimensions of the above candidate
features were more than the sample size, which suggest
that there are correlations among some candidate features. Therefore, it was necessary to reduce the feature dimensions
to impair the collinearity. Least Absolute Shrinkage and
Selection Operator (LASSO), a commonly used method of
dimensional reduction, was performed to make the variable
selection (Tibshirani, 1996). LASSO estimates the regression
coefficients through an ℓ1-norm penalized least-squares criterion
and minimizes the residual sum of squares with an ℓ1 penalty
on the regression coefficients (Waldmann et al., 2013). In this
method, the regularization parameter λ controls the trade-off
between data fitting and sparsity. The optimal value of λ
was determined by a 10-fold cross-validation. The features
with non-zero regression coefficients were then selected as
the most promising candidate features. This procedure was
conducted using the ‘‘glmnet’’ function in the ‘‘glmnet’’ package
of the R project software3 (R Development Core Team,
2011). Feature Extraction To explore the effect of different thresholds on the
prediction, a range of uncorrected thresholds were chosen
(p < 0.05, 0.01, 0.005 and 0.001, with a minimum of 10 voxels). The GM volumes of brain regions above the threshold were
extracted and averaged according to the Automated Anatomical
Labeling (AAL) template. The mean GM volumes of these
brain regions were then calculated and regarded as candidate
features. the voxels which GM volumes were negative correlated with
1SSRT. To explore the effect of different thresholds on the
prediction, a range of uncorrected thresholds were chosen
(p < 0.05, 0.01, 0.005 and 0.001, with a minimum of 10 voxels). The GM volumes of brain regions above the threshold were
extracted and averaged according to the Automated Anatomical
Labeling (AAL) template. The mean GM volumes of these
brain regions were then calculated and regarded as candidate
features. 3http://www.r-project.org/ Feature Extraction We extracted features for the prediction analysis from the
results of the VBM analysis. As the nature of a predictive
analysis includes a built-in guard against false positives (Finn
et al., 2015), we used an uncorrected threshold to determine July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 5 Zhao et al. Prediction SSRT Impairment After SD We evaluated the applicability of this model in three aspects. (1) We tested the significance of the regression equation with an
F-test. If the regression model was not significant, the features
would not explain the 1pSSRT. (2) Regression diagnostics
were performed using the ‘‘gvlma’’ function in the ‘‘gvlma’’
package to determine whether the linear regression model met
the statistical hypotheses: normality, independence of errors,
linearity and homoscedasticity. If the statistical hypotheses were
not acceptable, we used the ‘‘qqPlot,’’ ‘‘durbinWatsonTest,’’
‘‘crPlots,’’ and ‘‘ncvTest’’ functions to test which assumptions
were not satisfied. In most cases, the normality, linearity and/or
homoscedasticity assumptions were not satisfied. It would be
possible to perform power transformations to the dependent
variable and independent variables to adjust the model. However,
power transformation was a cautious approach, and 1SSRT had
negative values, which would limit this method. Therefore, we
removed the feature for which the component-plus-residual-plot
showed a non-linear curve with maximum deviation from the
linear curve, and built a new linear regression model without this
feature. (3) We tested the significance of regression coefficients
(β) with t-tests for each independent variable and evaluated
the multicollinearity according to the variance inflation factor
(VIF) using the ‘‘vif’’ function (Kabacoff, 2015). If the β of
an independent variable was not significant, it meant that
this independent variable did not have a remarkable effect
on the dependent variable, and could be deleted from the
regression model. If VIF was less than 4, there was no evidence
of a multicollinearity problem (Kabacoff, 2015). In general,
deleting some of the variables is a very important method
for dealing with the multicollinearity problem. Therefore, we
removed certain variables with VIF > 4. If the VIFs of some
independent variables were above 4, the independent variable
with the maximum VIF was removed. If VIF was under 4 but
the β of some independent variables was not significant, the
independent variable with the minimum relative weight was
removed. the voxels which GM volumes were negative correlated with
1SSRT. Prediction Analysis A machine learning approach was used to examine the predictive
ability of the GM volumes of brain regions. This approach
involved cross-validation (Cohen et al., 2010; Supekar et al.,
2013) combined with linear regression. A schematic diagram of
the analysis pipeline is illustrated in Figure 3. The R project
software was used to perform this analysis. First, the above
most promising candidate features were input into a linear
regression model as independent variables, with the 1SSRT
values as the dependent variable. A relative weight analysis
was also performed to measure the relative importance of the
independent variables (Johnson and Lebreton, 2004; Johnson,
2004; LeBreton and Tonidandel, 2008). The relative importance
refers to the proportionate contribution of each independent
variable to the coefficient of determination (R2), considering
both the unique contribution of each independent variable by
itself, and its incremental contribution when combined with
the other independent variables in the regression equation. Then, we manually and gradually selected the most predictive
features from the most promising candidate features via
repeatedly examining the applicability of this linear regression
model. After the most predictive features were determined, the
linear regression model was built. Four-fold cross-validation
was performed to assess the prediction performance of this
regression model, as it prevents the overfitting that can occur
when leave-one-out cross-validation is used with small sample
sizes (Cohen et al., 2010; Supekar et al., 2013). In brief, data
were randomly divided into four groups. A linear regression
model was built using three of the groups (i.e., training
set). The left-out group, which served as the test set, was
then predicted using this model, and the predicted value
was obtained. This procedure was repeated four times with
different test sets. Then, the Pearson’s correlation coefficient
between the predicted values of the trained linear regression
model in the test set and the actual values, termed r(pred,
actual), was calculated. The average of the squares of the
difference between the predicted values and the actual values,
named MSE, was also computed. These two measurements
were used as measures of how well the independent variables
predicted the dependent variable, with r(pred, actual) = 1 and
MSE = 0 being the most accurate prediction model. This
procedure was repeated 1000 times to obtain a robust estimate July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 6 Prediction SSRT Impairment After SD Zhao et al. Prediction Analysis FIGURE 4 | Behavioral results. After SD, subjects showed significantly poorer performance on SSRT (p = 0.03, A). The SSRT of RW was significantly negative
correlated with 1SSRT (r = −0.596, p < 0.001, B). The SSRT of RW in vulnerable group was significantly faster than that in resilient group (p = 0.004, C). ∗p < 0.05; ∗∗p < 0.01. FIGURE 4 | Behavioral results. After SD, subjects showed significantly poorer performance on SSRT (p = 0.03, A). The SSRT of RW was significantly negative
correlated with 1SSRT (r = −0.596, p < 0.001, B). The SSRT of RW in vulnerable group was significantly faster than that in resilient group (p = 0.004, C). ∗p < 0.05; ∗∗p < 0.01. FIGURE 5 | The final selected regions at threshold p < 0.05. Nine regions were selected: L_MFG, left middle frontal gyrus (shown in dark blue); R_IFG_oper, pars
opercularis of right inferior frontal gyrus (blue); L_IFG_tri, pars triangularis of left inferior frontal gyrus (sky blue); R_Rolandic_oper, pars opercularis of right rolandic
area (cyan); L_SMA, left supplementary motor area (mint green); L_hippocampus, left hippocampus (yellow); R_lingual, right lingual gyrus (saffron yellow);
R_postcentral, right postcentral gyrus (orange red); L_MTG, left middle temporal gyrus (red). L, left; R, right. This figure was constructed using the BrainNet Viewer
(http://www.nitrc.org/projects/bnv/; Xia et al., 2013). FIGURE 5 | The final selected regions at threshold p < 0.05. Nine regions were selected: L_MFG, left middle frontal gyrus (shown in dark blue); R_IFG_oper, pars
opercularis of right inferior frontal gyrus (blue); L_IFG_tri, pars triangularis of left inferior frontal gyrus (sky blue); R_Rolandic_oper, pars opercularis of right rolandic
area (cyan); L_SMA, left supplementary motor area (mint green); L_hippocampus, left hippocampus (yellow); R_lingual, right lingual gyrus (saffron yellow);
R_postcentral, right postcentral gyrus (orange red); L_MTG, left middle temporal gyrus (red). L, left; R, right. This figure was constructed using the BrainNet Viewer
(http://www.nitrc.org/projects/bnv/; Xia et al., 2013). RESULTS of prediction performance. Finally, the mean r(pred, actual)
and mean MSE were calculated, and the Pearson correlation
between r(pred, actual) and MSE across the 1000 repetitions
was computed. In order to explore the overfitting, we also
calculated the predicted values of the trained linear regression
model in the training set, and computed the mean MSE of
training set. If the MSE of training set was much larger than
that of test set, the model was highly likely overfitted. If
the MSE of training set was much less than that of test set,
the model was highly likely underfitted. If there was a little
difference between the two MSEs, the model was appropriate
fitted. Frontiers in Human Neuroscience | www.frontiersin.org Behavioral Results After SD, the StopAcc did not significantly differ from RW
session (39.42 ± 5.23% after RW vs. 38.47 ± 8.35% after SD,
p > 0.05, mean ± standard deviation, throughout). However,
the subjects showed significantly poorer performance on the
SSRT when they were sleep-deprived (261.41 ± 30.78 ms after
RW vs. 285.14 ± 33.38 ms after SD, p = 0.03, Figure 4A). The 1SSRT ranged from −0.144 to 0.687 (0.149 ± 0.241). Furthermore, we found that the RW SSRT was significantly
negative correlated with 1SSRT (r = −0.596, p < 0.001, July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 7 Prediction SSRT Impairment After SD Zhao et al. inferior
frontal
gyrus
(R_IFG_oper),
pars
triangularis of
left inferior frontal gyrus (L_IFG_tri), pars opercularis of
right rolandic area (R_Rolandic_oper), left supplementary
motor area (L_SMA), left hippocampus (L_hippocampus),
left parahippocampal gyrus (L_parahippocampal), right lingual
gyrus (R_lingual), left superior occipital gyrus (L_SOG),
left inferior occipital gyrus (L_IOG), right postcentral gyrus
(R_postcentral), right angular gyrus (R_angular) and left
middle temporal gyrus (L_MTG). The GM volumes of these
regions were entered as independent variables and 1SSRT was
entered as the dependent variable. This model was significant
(F(14,37) = 2.33, p = 0.02); however, the regression diagnostics
were not acceptable, as the linearity assumption was not satisfied. The L_parahippocampal region was then removed because the
component-plus-residual-plot showed a non-linear curve with
maximum deviation from the linear curve. Following this,
the L_precentral, L_IOG, L_SOG and R_angular regions were
removed in order. Finally, we obtained the final nine features:
L_MFG, R_IFG_oper, L_IFG_tri, R_Rolandic_oper, L_SMA,
L_hippocampus, R_lingual, R_postcentral and L_MTG (Table 1
and Figure 5). The model that was then built using these nine
features was significant (F(9,42) = 6.80, p < 0.0001). The R2 was
0.994 and the adjusted R2 was 0.986. The regression diagnostics
were acceptable, with all VIFs being under 4. The relative weights
of these features were 13.242%, 12.236%, 12.556%, 10.399%,
9.058%, 9.623%, 11.854%, 9.306% and 11.725%, respectively
(Figure 6A). In the prediction analysis, the mean r(pred, actual)
was 0.948 ± 0.0503 and the mean MSE was 0.0039 ± 0.0011. The MSE was significantly negative correlated with r(pred,
actual; r = −0.944, p < 0.0001, Figure 6B), suggesting that
model with the higher r(pred, actual) would show the lower
MSE. Correlations Between 1SSRT and GM
Volumes No
significant
correlation
was
observed
between
GM
volume
and
1SSRT
in
any
brain
regions
at
a
value
of
p
<
0.05
corrected
for
multiple
comparisons
using
FWE correction. For uncorrected thresholds of p < 0.05,
p < 0.01, p < 0.005, and p < 0.001 with a minimum of
10 voxels, there were respectively 61, 24, 13 and 4 regions
in which GM volumes were negative correlated with 1SSRT
(Supplementary Tables S1–S4). Behavioral Results In order to estimate the overfitting, we calculated the
MSE of training set and found that the mean MSE was
0.0011 ± 0.0003. There was little difference between this
value and the MSE of test set (0.0039 ± 0.0011). This result
suggests that the model built in our study could well fit the Figure 4B). These results indicated that subjects with a faster
SSRT after RW might show a greater change in SSRT after
SD. According to this result, we hypothesized that subjects
with better inhibition performance in the RW state would be
more vulnerable to SD. To verify this hypothesis, we divided
the 52 subjects into two groups (resilient and vulnerable
groups) based on a median split of the average 1SSRT. This
dichotomization resulted in a total of 26 resilient subjects
with lower 1SSRT, and 26 vulnerable subjects with higher
1SSRT. The age and gender of the two groups were matched
(p = 0.614, two-sample t-test, for age; p = 0.328, chi-square
test, for gender). We found that the mean RW SSRT of
the vulnerable group was significantly faster than that of the
resilient group (p = 0.004, 276.9 ± 7.89 ms in vulnerable
group vs. 232.7 ± 12.06 ms in resilient group, Figure 4C). These findings confirmed the hypothesis that subjects with
better inhibition performance in the RW state are more
vulnerable to SD. Prediction Results At a significance threshold of p < 0.05, 61 brain regions were
identified from the results of the VBM. LASSO was performed
on these 61 regions and 14 were selected as the input for the
linear regression model: the left precentral gyrus (L_precentral),
left middle frontal gyrus (L_MFG), pars opercularis of right TABLE 1 | Prediction performance using linear regression model. Threshold
Features
R2
Adjusted R2
Weights (%)
MSE
r(pred, actual)
L_MFG
13.242
R_IFG_oper
12.236
L_IFG_tri
12.556
R_Rolandic_oper
10.399
P < 0.05
L_SMA
0.994
0.986
9.058
0.0039 ± 0.0011
0.948 ± 0.0503
L_ hippocampus
9.623
R_ lingual
11.854
R_ postcentral
9.306
L_MTG
11.725
L_MFG
15.558
R_Rolandic_oper
18.738
P < 0.01
L_postcentral
0.966
0.950
25.337
0.0056 ± 0.0017
0.916 ± 0.0236
R_postcentral
19.650
L_supramarginal
20.716
R2, the coefficient of determination; adjusted R2, the adjusted coefficient of determination; MSE, mean square error; r(pred, actual), the Pearson’s correlation coefficient
between the predicted values and the actual values; weights, the relative importance of independent variables; L_MFG, left middle frontal gyrus; R_IFG_oper, pars
opercularis of right inferior frontal gyrus; L_IFG_tri, pars triangularis of left inferior frontal gyrus; R_Rolandic_oper, pars opercularis of right rolandic area; L_SMA, left
supplementary motor area; L_hippocampus, left hippocampus; R_lingual, right lingual gyrus; R_postcentral, right postcentral gyrus; L_MTG, left middle temporal gyrus;
L_postcentral, left postcentral gyrus; L_supramarginal, left supramarginal gyrus. R2, the coefficient of determination; adjusted R2, the adjusted coefficient of determination; MSE, mean square error; r(pred, actual), the Pearson’s correlation coefficient
between the predicted values and the actual values; weights, the relative importance of independent variables; L_MFG, left middle frontal gyrus; R_IFG_oper, pars
opercularis of right inferior frontal gyrus; L_IFG_tri, pars triangularis of left inferior frontal gyrus; R_Rolandic_oper, pars opercularis of right rolandic area; L_SMA, left
supplementary motor area; L_hippocampus, left hippocampus; R_lingual, right lingual gyrus; R_postcentral, right postcentral gyrus; L_MTG, left middle temporal gyrus;
L_postcentral, left postcentral gyrus; L_supramarginal, left supramarginal gyrus. Frontiers in Human Neuroscience | www.frontiersin.org Prediction Results R2, the coefficient of determination; adjusted R2, the adjusted coefficient of determination; MSE, mean square error; r(pred, actual), the Pearson’s correlation coefficient
between the predicted values and the actual values; weights, the relative importance of independent variables; L_MFG, left middle frontal gyrus; R_IFG_oper, pars
opercularis of right inferior frontal gyrus; L_IFG_tri, pars triangularis of left inferior frontal gyrus; R_Rolandic_oper, pars opercularis of right rolandic area; L_SMA, left
supplementary motor area; L_hippocampus, left hippocampus; R_lingual, right lingual gyrus; R_postcentral, right postcentral gyrus; L_MTG, left middle temporal gyrus;
L_postcentral, left postcentral gyrus; L_supramarginal, left supramarginal gyrus. July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org Frontiers in Human Neuroscience | www.frontiersin.org 8 Zhao et al. Prediction SSRT Impairment After SD FIGURE 6 | Prediction performance of the linear regression model with the nine regions. The relative weights of the nine regions (A). The correlation between the
r(pred, actual) and MSE (B). L_MFG, left middle frontal gyrus; L_IFG_tri, pars triangularis of left inferior frontal gyrus; R_IFG_oper, pars opercularis of right inferior
frontal gyrus; R_lingual, right lingual gyrus; L_MTG, left middle temporal gyrus; R_Rolandic_oper, pars opercularis of right rolandic area; L_hippocampus, left
hippocampus; R_postcentral, right postcentral gyrus; L_SMA, left supplementary motor area. e regions The relative weights of the nine regions (A) The correlation between the FIGURE 6 | Prediction performance of the linear regression model with the nine regions. The relative weights of the nine regions (A). The correlation between the
r(pred, actual) and MSE (B). L_MFG, left middle frontal gyrus; L_IFG_tri, pars triangularis of left inferior frontal gyrus; R_IFG_oper, pars opercularis of right inferior
frontal gyrus; R_lingual, right lingual gyrus; L_MTG, left middle temporal gyrus; R_Rolandic_oper, pars opercularis of right rolandic area; L_hippocampus, left
hippocampus; R_postcentral, right postcentral gyrus; L_SMA, left supplementary motor area. training data, but also could be generalized to test data without
overfitting. impairment of response inhibition after SD using only structural
MRI data. For p < 0.01, we built the linear regression model with
24 regions without LASSO. Using the similar prediction
process, five regions were finally selected (Table 1): L_MFG,
R_Rolandic_oper,
left
postcentral
gyrus
(L_postcentral),
R_postcentral and left supramarginal gyrus (L_supramarginal). The model built with these five features was significant
(F(5,46) = 10.306, p < 0.0001). The R2 was 0.966 and the adjusted
R2 was 0.950. The relative weights of these features were
15.558%, 18.738%, 25.337%, 19.650%, and 20.716% respectively. Prediction Results The mean r(pred, actual) was 0.916 ± 0.0236 and the mean
MSE 0.0056 ± 0.0017. The MSE was significantly negative
correlated with r(pred, actual; r = −0.961, p < 0.0001). However,
for p < 0.005, the model with 13 regions was not significant
(F(13,38) = 1.608, p = 0.126). The regression diagnostics of
the model for p < 0.001 showed that it was not acceptable,
with the homoscedasticity assumption not being satisfied. These results suggest that the best prediction performance
was at the uncorrected threshold of p < 0.05 with higher
r(pred, actual) and lower MSE than that using strict regions
thresholds. Behaviorally, we found that SD impaired the performance
of response inhibition, and that subjects with faster SSRT
after RW showed a greater change in SSRT after SD. These
results suggest that the impairment of response inhibition
could be qualitatively predicted by the performance after RW. In this study, we investigated the quantitatively prediction
performance of structural MRI data in 1SSRT. First, we
investigated the correlation between 1SSRT and GM volumes
of brain regions. No significant correlation was observed
between 1SSRT and GM volume of any brain region when
the statistics were corrected for multiple comparisons using
FWE correction. However, we found that regional GM volumes
could predict the 1SSRT. This contradictory result may arise
from the strict threshold in the voxel based analysis. The
former performed the Pearson correlation analysis for each
voxel, which increased the false positive. In order to avoid
this effect, multiple comparisons using FWE correction was
performed which was a strict correction method. In the
present study, we selected the nine regions via machine-
learning and cross-validation. This procedure includes a built-in
guard against false positives (Finn et al., 2015). If the
proportion of false positives in the feature-extraction step is
high, the regression model is unlikely to generalize well to
independent data. Therefore, it is not necessary to correct for
multiple comparisons in the VBM analysis when extracting
features. DISCUSSION R_postcentral were also involved in the prediction model. This result suggests that the combination of the stopping
network, somatosensory cortex and hippocampus could predict
the 1SSRT accurately. y
In our study, a traditional linear regression model was
built to predict the 1SSRT. However, the dimension of the
independent variables should be less than the sample size
in such a linear regression model. LASSO was therefore
performed to reduce the feature dimensions and select the
independent variables with the strongest explanatory power
for the dependent variable. To investigate the effect of the
dimensional reduction on prediction performance, we used
support vector regression (SVR), a machine-learning based
multiple regression method (Drucker et al., 1996; Smola and
Schölkopf, 2004), to predict the 1SSRT. This method found
the hyperplane with a maximum margin to minimize the error,
keeping in mind that part of the error is tolerated and broke
the limitation of the linear regression model (i.e., the dimension
of the independent variables in SVR could be more than the
sample size). A range of uncorrected thresholds were also chosen
(p < 0.05, 0.01, 0.005 and 0.001, with a minimum of 10 voxels)
to determine the voxels which GM volumes were negative
correlated with 1SSRT. We found that the best prediction
performance was obtained at an uncorrected threshold of
p < 0.01, with an r(pred, actual) = 0.995 (p < 0.0001) and
an MSE = 0.0065 being obtained (Supplementary Table S5). Compared with the linear regression model, SVR tended to
produce higher r(pred, actual), but also larger MSE. It is
hard to determine which model is better, however, we found
that the increase rate of MSE was larger than that of r(pred,
actual) between these two models. These results suggest that
the linear regression model may be more appropriate for
predicting 1SSRT. We found that the R_IFG_oper was selected to predict
the 1SSRT. Recent studies have found that the R_IFG_oper
was specially engaged in the successful inhibition, and the
activation and GM intensity of this region were both negative
correlated with SSRT (Congdon et al., 2010; Tabibnia et al.,
2011; Aron et al., 2014), consistent with the critical role of
R_IFG_oper in inhibition control. Therefore, it is reasonable
that this region was involved in the prediction model. However,
we didn’t select the right MFG, SMA or MTG as the
final features. DISCUSSION This finding does not conflict with reports of
neural activation during inhibitory control, as greater GM
intensity in a region is not necessarily coupled with greater or
lower activation in that region. Although the right-hemisphere
dominance in activation is well-known, some studies have also
reported bilateral activation in IFG, MFG, SMA and MTG
(Li et al., 2006; Cohen et al., 2010; Congdon et al., 2014). Furthermore, Lee and Hsieh (2017) have found that the regional
homogeneity/fractional amplitude of low-frequency fluctuation
and SSRT were significantly negative correlated in the left
IFG. The L_MFG and L_IFG_tri contributed the most to the
coefficient of determination of the linear regression model
in our present study. These findings suggest that left IFG
and left MFG may also play an important role in response
inhibition. We also selected the R_lingual as a predictor of
1SSRT. During the SST part of the study, participants were
required to cancel a button press when the white arrow
changed to blue after a visual stimulus. This part of the
task means that the lingual gyrus is likely to be involved
in response inhibition, as this region plays a role in visual
memories (Jeneson et al., 2012) and color vision processing
(Bogousslavsky et al., 1987). Although previous studies do not
find the engagement of lingual gyrus, the occipital cortex was
implicated. These results suggest that the vision-related region
may predict the 1SSRT. These findings indicate that these
regions consisting of the ‘‘stopping network’’ could predict
the 1SSRT, consistent with our hypothesis. An interesting
finding is that the R_Rolandic_oper, L_hippocampus and There are several limitations to the present study that
require consideration. First, the sample size in this study was
relatively small; thus, the findings should be replicated in a
larger sample. Second, we used a single modality to extract
features. Multimodality imaging (VBM, DTI and resting-state
fMRI) may result in better prediction performance. Further
studies are expected to test these hypotheses. Third, we only
recruited the young subjects, except the older adults in this
present study. However, Hu et al. (2014) found that aging is
significantly positive correlated with SSRT among 18–72 years
adults and is associated with decreased GM volume. Therefore,
the linear regression model in young subjects may be not
identical with that in older subjects. Aging may affect the
prediction performance of GM volume. Considering this factor,
we only recruited the young subjects in our present study. DISCUSSION In the present study, we used a linear regression model to
examine the predictive ability of regional GM volumes for
determining the difference in the rate of response inhibition
before and after SD. First, we investigated the correlation
between 1SSRT and GM volumes of brain regions. We then
selected the optimal regions for predicting 1SSRT using a
linear regression model. We found that the GM volumes of
the L_MFG, R_IFG_oper, L_IFG_tri, R_Rolandic_oper, L_SMA,
L_hippocampus, R_lingual, R_postcentral, and L_MTG could
accurately predict 1SSRT with low MSE and high r(pred,
actual). Our results suggest that it is possible to predict the Then, we extracted those regions in which GM volumes were
negative correlated with 1SSRT at uncorrected threshold, to
act as input features for a linear regression model. To explore
the effect of different thresholds on the prediction, we chose
uncorrected thresholds of p < 0.001, p < 0.005, p < 0.01,
and p < 0.05 (all with a minimum of 10 voxels) to determine
the voxels which GM volumes were negative correlated with
1SSRT. We found that the best prediction performance was Frontiers in Human Neuroscience | www.frontiersin.org July 2018 | Volume 12 | Article 276 9 Prediction SSRT Impairment After SD Zhao et al. obtained at the uncorrected threshold of p < 0.05, with
higher r(pred, actual) and lower MSE than that with other
thresholds. It seems to be taken for granted that the predictive
power using regions threshold at p < 0.05 outperformed
that using less regions threshold at p < 0.01 to p < 0.001. As more candidate features were involved at p < 0.05, and
importantly it included all the regions at other strict thresholds,
thus the method could of course be more predictive when
using regions threshold at p < 0.05. However, although the
candidate features at p < 0.05 included all the regions at
other strict thresholds in the feature extraction step, the
LASSO was performed to reduce the feature dimensions in
the feature selection step. We also manually and gradually
excluded the remaining candidate features in the prediction
analysis step. The finally selected regions at p < 0.05 were
not always more than those at other strict thresholds. The
number of selected regions was dependent on the data itself. Therefore, the better prediction performance at p < 0.05 resulted
from the more final selected regions, not the candidate
features. Frontiers in Human Neuroscience | www.frontiersin.org REFERENCES sleep deprivation. J. Neurosci. 26, 7156–7162. doi: 10.1523/JNEUROSCI. 0906-06.2006 sleep deprivation. J. Neurosci. 26, 7156–7162. doi: 10.1523/JNEUROSCI. 0906-06.2006 Aharoni, E., Vincent, G. M., Harenski, C. L., Calhoun, V. D., Sinnott-
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97–110. Chen, C. Y., Muggleton, N. G., Tzeng, O. J., Hung, D. DISCUSSION On the other hand, we also attempt to explore the structural
basis of SD effect on SSRT. In order to exclude the age
factor, we only analyzed the young subjects. Further studies
with larger sample size and more comprehensive sample are
required to examine the predictive ability of regional GM
volumes. In conclusion, our results demonstrate that structural MRI
data can be used for the quantitative prediction of the change in
response inhibition performance after SD. July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 10 Zhao et al. Prediction SSRT Impairment After SD AUTHOR CONTRIBUTIONS and
the
Fundamental
Research
Funds
for
the
Central
Universities. JS, PL, XY and WQ contributed to the conception and design. RZ, XZ, YZ and NF contributed to the acquisition of data, data
analysis and manuscript writing. JS, PL, XY and RZ contributed
to the interpretation of the results. We thank the subjects whose participation enabled this work. We thank the subjects whose participation enabled this work. SUPPLEMENTARY MATERIAL This
study
was
funded
by
National
Basic
Research
Program of China under Grant Nos. 2015CB856403 and
2014CB543203; the National Natural Science Foundation of
China under Grant Nos. 81471811, 81471738 and 61401346; The Supplementary Material for this article can be found
online at: https://www.frontiersin.org/articles/10.3389/fnhum. 2018.00276/full#supplementary-material The Supplementary Material for this article can be found
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conducted in the absence of any commercial or financial relationships that could
be construed as a potential conflict of interest. Smith, S. M. (2002). Fast robust automated brain extraction. Hum. Brain Mapp. 17, 143–155. REFERENCES doi: 10.1002/hbm.10062 Copyright © 2018 Zhao, Zhang, Zhu, Fei, Sun, Liu, Yang and Qin. 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. Smith, S. M., Jenkinson, M., Woolrich, M. W., Beckmann, C. F., Behrens, T. E.,
Johansen-Berg, H., et al. (2004). Advances in functional and structural MR
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Surgical Management of Burns in Chest Zone
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Zenodo (CERN European Organization for Nuclear Research)
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cc-by
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ABSTRACT Published On:
20 September 2023 Chest burns, a subset of burn injuries, pose unique challenges in terms of surgical management. This
comprehensive review explores the epidemiology, risk factors, complications, and surgical management
strategies for chest burns. A deep understanding of these aspects is crucial for healthcare providers to
optimize patient outcomes and minimize the long-term consequences of chest burns. Available on:
https://ijmscr.org/ KEYWORDS: Chest burns, surgical management, epidemiology, complications, burn injuries. Impact Factor: 6.597
,
32
-
i9
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https://doi.org/10.47191/ijmscrs/v3
DOI: Impact Factor: 6.597
,
32
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i9
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https://doi.org/10.47191/ijmscrs/v3
DOI: Corresponding Author: Josselyn Nataly Zapata Farfán INTRODUCTION epidermis and dermis to full-thickness burns penetrating
through all layers of the chest wall. The classification of chest
burns considers the extent of tissue involvement and the
mechanism of injury, which can be thermal, chemical, or
electrical. Chest burns, whether caused by thermal, chemical, or
electrical injuries, are a significant concern in the realm of
burn injuries. These injuries can result in substantial
morbidity and mortality, often requiring surgical intervention
to mitigate their impact. The exact global incidence of chest
burns may vary, but they are a prevalent presentation in burn
units and emergency departments, emphasizing their
epidemiological significance. A precise definition and classification of chest burns are
pivotal for accurate diagnosis and the development of tailored
surgical management strategies. Healthcare providers rely on
these definitions to assess the severity of the injury, predict
potential complications, and plan the most effective course of
surgical intervention. epidemiological significance. Understanding the epidemiology of chest burns is vital for
healthcare providers. It allows for better patient triage, early
intervention, and the implementation of appropriate surgical
strategies. This review aims to shed light on the
epidemiological aspects of chest burns, highlighting their
prevalence and impact on surgical practice and patient care. The transcendence of chest burns extends beyond the
immediate post-injury period. These injuries can lead to long-
term complications, including scar contractures, functional
limitations, and psychological distress. Moreover, chest burns
can result in respiratory compromise and cardiovascular
sequelae, which necessitate specialized surgical management. Efforts to reduce the burden of chest burns have become a
focal point in burn care. Recognizing the importance of
surgical management and its role in optimizing patient
outcomes is essential. Early intervention, risk factor
modification, and comprehensive post-operative care are
integral components of mitigating the impact of chest burns
on patients' lives. Understanding the epidemiology of chest burns is vital for
healthcare providers. It allows for better patient triage, early
intervention, and the implementation of appropriate surgical
strategies. This review aims to shed light on the
epidemiological aspects of chest burns, highlighting their
prevalence and impact on surgical practice and patient care. ARTICLE DETAILS ARTICLE DETAILS International Journal of Medical Science and Clinical Research Studies
ISSN(print): 2767-8326, ISSN(online): 2767-8342
Volume 03 Issue 09 September 2023
Page No: 1986-1988 International Journal of Medical Science and Clinical Research Studies
ISSN(print): 2767-8326, ISSN(online): 2767-8342
Volume 03 Issue 09 September 2023
Page No: 1986-1988 International Journal of Medical Science and Clinical Research Studies
ISSN(print): 2767-8326, ISSN(online): 2767-8342
Volume 03 Issue 09 September 2023
Page No: 1986-1988 Volume 03 Issue 09 September 2023
Page No: 1986-1988 1986 Volume 03 Issue 09 September 2023 Risk Factors Several risk factors contribute to the development of chest
burns. Occupational exposures are a significant risk factor,
particularly
for
firefighters, industrial
workers, and
individuals in jobs that involve contact with heat sources or
chemicals. Recreational activities, such as camping or the use
of open flames, can also increase the risk of chest burns. Additionally, certain medical conditions that affect sensory
perception, such as peripheral neuropathy or diabetes, can
predispose individuals to chest burns. Identifying these risk factors is essential for risk assessment
and prevention. It allows healthcare providers to target
educational efforts and preventive measures toward high-risk
populations. Recognizing modifiable risk factors provides an
opportunity for patient education and lifestyle modifications
to reduce the incidence of chest burns. Surgical Management of Burns in Chest Zone Josselyn Nataly Zapata Farfán1, Blanca Isela Martínez Montoya2
1,2Hospital Regional No. 6 Ignacio García Téllez, cd Madero, Tamaulipas Definition Chest burns can lead to a wide array of complications,
ranging from minor wound healing problems to severe, life-
threatening conditions. Scar contractures, a common
complication of chest burns, can restrict chest wall mobility,
impede pulmonary function, and lead to significant functional Chest burns are defined as injuries to the chest wall, including
the skin, subcutaneous tissues, muscles, and underlying
structures such as the ribs and lungs. These injuries can vary
in severity, from superficial burns affecting only the CONCLUSION In conclusion, chest burns represent a complex clinical entity
with profound implications for patients and healthcare
systems. Early intervention, risk factor modification, and
comprehensive post-operative care are essential components
of minimizing the impact of chest burns on patient outcomes. Recognizing the multifaceted nature of chest burns and the
potential
for
severe
complications
underscores
the
importance of a multidisciplinary approach and ongoing
research to refine surgical techniques and improve patient
care in this challenging clinical scenario. As the field of burn
care continues to evolve, optimizing the management of chest
burns remains a paramount focus for healthcare providers. Early Intervention and Risk Factor Modification Early intervention is a critical factor in minimizing the impact
of chest burns. Healthcare providers must remain vigilant,
particularly when assessing patients with risk factors such as
occupational exposures, recreational activities involving
open flames, or underlying medical conditions that affect
sensory perception. Beyond early recognition, risk factor modification plays an
essential role in reducing the incidence of chest burns. Patient
education and lifestyle modifications aimed at addressing
modifiable risk factors offer substantial potential for
prevention. Encouraging patients to adopt safe practices, use
protective equipment, and maintain overall health can
significantly reduce the likelihood of chest burns. Surgical Management of Burns in Chest Zone impairment. Inhalation injuries, often associated with chest
burns, can result in respiratory compromise, pneumonia, and
increased morbidity and mortality. chest wall mobility and respiratory compromise. These
complications emphasize the need for comprehensive post-
operative care and rehabilitation to optimize long-term
outcomes. Given the potential for these complications, early surgical
intervention and comprehensive post-operative care are
imperative. Managing complications effectively is integral to
optimizing long-term outcomes for patients with chest burns. Surgical Techniques and Approaches The surgical management of chest burns involves a variety of
techniques and approaches, with the choice depending on the
specific characteristics of the burn injury. Wound
debridement,
the
removal
of
necrotic
tissue
and
contaminants, is often the initial step. Skin grafting, which
involves transplanting healthy skin to the burn site, is a
common procedure to achieve wound closure. Surgical management is a cornerstone of chest burn
treatment, with the primary goals of achieving wound closure,
promoting
functional
recovery,
and
preventing
complications. The specific surgical interventions employed
depend on the extent and depth of the burn injury. Surgical
techniques may include wound debridement, skin grafting, or
the use of tissue flaps. The use of tissue flaps, often in collaboration with plastic and
reconstructive surgeons, has become increasingly important
for addressing complex chest burns. These advanced surgical
techniques aim to not only achieve wound closure but also
restore chest wall function and aesthetics. In recent years, surgical approaches to chest burn
management have advanced significantly, offering innovative
solutions to address the complex challenges posed by these
injuries. Collaboration with plastic and reconstructive
surgeons is often integral to achieving the best possible
functional and aesthetic outcomes for patients. Multidisciplinary Approach Chest burn care necessitates a multidisciplinary approach,
involving surgeons, plastic and reconstructive specialists,
anesthetists, and nurses, among others. Collaboration among
these healthcare professionals is crucial to ensure that all
aspects of surgical intervention, perioperative care, and
rehabilitation are addressed comprehensively. Understanding the theoretical framework of chest burns,
which includes their definition, risk factors, complications,
and surgical management strategies, forms the foundation for
effective patient care and the comprehensive management of
this complex clinical entity. Burn units and centers of excellence often employ
standardized protocols and pathways for chest burn
management, optimizing the coordination of care. Patients
benefit from a team-based approach that includes specialists
in wound care, pain management, and physical therapy. DISCUSSION The discussion surrounding the surgical management of chest
burns delves into several pivotal aspects, highlighting the
significance of early intervention, risk factor modification,
and comprehensive post-operative care. Corresponding Author: Josselyn Nataly Zapata Farfán 1987 Volume 03 Issue 09 September 2023 1988 Volume 03 Issue 09 September 2023 Corresponding Author: Josselyn Nataly Zapata Farfán REFERENCES I. Scott, J. R., & Watson, S. B. (1997). 7 Surgical
management
of
burns. Baillière's
clinical
anaesthesiology, 11(3), 473-495. Multifaceted Nature of Chest Burns Multifaceted Nature of Chest Burns Chest burns are not uniform in their presentation and impact. They can range from superficial injuries with relatively minor
consequences to full-thickness burns that extend through all
layers of the chest wall. The extent and depth of the burn
determine the severity of functional impairment and potential
complications. II. Sanjay, S., Choudhary, A., Kumari, M., Pandya, B.,
& Kumar, V. (2023). A case report: Management
dilemma in a large fungating squamous cell
carcinoma over a Marjolin's ulcer on the chest wall
coexisting with severe post burn contracture of the
neck. International Journal of Surgery Case Reports,
110, 108440. Complications stemming from chest burns can lead to long-
term consequences, including scar contractures that restrict Corresponding Author: Josselyn Nataly Zapata Farfán Surgical Management of Burns in Chest Zone III. Kasten, K. R., Makley, A. T., & Kagan, R. J. (2011). Update on the critical care management of severe
burns. Journal of intensive care medicine, 26(4),
223-236. IV. Giaquinto-Cilliers, M. G. C., Hartnick, R. S., Cloete,
P. A., & Kotze, J. (2014). Burns: A comprehensive
assessment and treatment approach. Wound Healing
Southern Africa, 7(1), 5-8. V. Starr, B. W., Bennett, S., Chang, P. H., & Dale, E. L. (2020). ECMO therapy in a patient with extensive
burns, inhalation injury, and blunt chest trauma. The
American Surgeon, 86(1), 40-42.
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Average
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Definitions
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Average National Cancer Institute National Cancer Institute Qeios · Definition, February 7, 2020 Open Peer Review on Qeios Qeios ID: 7IFQSC · https://doi.org/10.32388/7IFQSC Source National Cancer Institute. Average. NCI Thesaurus. Code C37917. A statistical calculation describing the central tendency of a set of numbers; used to
interpret quantitative data. Qeios ID: 7IFQSC · https://doi.org/10.32388/7IFQSC 1/1
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A Study on Applying Biomass Fraction for GHG Emission Estimation of Sewage Sludge Incinerator in Korea: A Case Study
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Seongmin Kang 1, Seungjin Kim 2, Jeongwoo Lee 3, Youngjae Jeon 1, Ki-Hyun Kim 4 and
Eui-chan Jeon 1,* Keywords: sewage sludge; biomass fraction; sewage sludge incinerator; GHG emission Seongmin Kang 1, Seungjin Kim 2, Jeongwoo Lee 3, Youngjae Jeon 1, Ki-Hyun Kim 4 and
Eui-chan Jeon 1,* Seongmin Kang 1, Seungjin Kim 2, Jeongwoo Lee 3, Youngjae Jeon 1, Ki-Hyun Kim 4 and
Eui-chan Jeon 1,* 1
Department of Environment & Energy, Sejong University, Seoul 05006, Korea;
smkang9804@gmail.com (S.K.); joiboy@naver.com (Y.J.) 1
Department of Environment & Energy, Sejong University, Seoul 05006, Korea;
smkang9804@gmail.com (S.K.); joiboy@naver.com (Y.J.) 2
Cooperate Course for Climate Change, Sejong University, Seoul 05006, Korea; kimseungjin8611@ 2
Cooperate Course for Climate Change, Sejong University, Seoul 05006, Korea; kimseungjin8611@gmail. 2
Cooperate Course for Climate Change, Sejong University, Seoul 05006, Korea; kimseungjin8611@gmail.com
3
Department of Earth and Environmental Sciences, Sejong University, Seoul 05006, Korea;
leejwsky@gmail.com Cooperate Course for Climate Change, Sejong University, Seoul 05006, Korea; kimseungjin8611@gmail.com
3
Department of Earth and Environmental Sciences, Sejong University, Seoul 05006, Korea;
leejwsky@gmail.com 3
Department of Earth and Environmental Sciences, Sejong University, Seoul 05006, Korea;
leejwsky@gmail.com j
y g
4
Department of Civil & Environmental Engineering at Hanyang University, Seoul 04763, Korea;
kkim61@hanyang.ac.kr 4
Department of Civil & Environmental Engineering at Hanyang University, Seoul 04763, Korea;
kkim61@hanyang.ac.kr *
Correspondence: ecjeon@sejong.ac.kr; Tel.: +82-2-3408-4353 *
Correspondence: ecjeon@sejong.ac.kr; Tel.: +82-2-3 Academic Editor: Elena Cristina Rada Received: 9 February 2017; Accepted: 1 April 2017; Published: 6 April 2017 Abstract:
According to the IPCC (Intergovernmental Panel on Climate Change) guidelines,
when calculating CO2 emissions, CO2 emissions from biomass should be excluded from the total
amount of CO2 emissions and should be separately reported due to their “carbon neutrality”. Sewage sludge is one of the representative biomass fuels. It is mixed with fossil fuels to achieve
greenhouse gas reduction or is used by itself as a fuel to replace fossil fuels. According to the results
of this study, biomass fractions of both the sewage sludge and the sewage sludge incineration exhaust
gases did not amount to 100%. At present, in many countries (South Korea, Japan, and Germany),
when calculating greenhouse gas emissions from sewage sludge incinerators, all CO2 emissions from
sewage sludge are judged to be biomass and only the greenhouse gas emissions that correspond
to non-CO2 gases are calculated as greenhouse gas emissions. However, since, according our
results, the content of sewage sludge is not 100% biomass, if CO2 emissions are excluded according
to the existing greenhouse gas emission calculation method, the amount of emissions may be
underestimated. Therefore, to accurately calculate greenhouse gas emissions from a sewage sludge
incinerator, CO2 emissions should be calculated in consideration of the fossil carbon fractions of
sewage sludge. sustainability sustainability sustainability sustainability Sustainability 2017, 9, 557; doi:10.3390/su9040557 www.mdpi.com/journal/sustainability 2.1. Selection of Objective Facilities The sewage sludge incineration facility located in Gyeonggi-do was selected for the reason that,
on average, at least 150 tons of sewage sludge are generated from it per day. The selected sewage
sludge incineration facility uses the fluidized bed incineration (which is predominantly used in sewage
sludge incineration facilities in South Korea); the prevention facilities installed in the sewage sludge
incineration facility are a Selective Non-Catalytic Reduction (SNCR) facility, a nitrogen oxide removing
facility, a Bag Filter, a dust removing facility, a semi-dry reaction tower, and a wet wash tower. Sewage
sludge samples and sewage sludge incineration exhaust gas samples were collected in January–March
2015. The current conditions of the subject facility are shown in Table 1. Table 1. Characteristics of the sewage sludge incinerators included in the study. Classification
Facility Name
Capacity
Incineration facility
Incinerator
150 ton/day
Air pollution control devices
SNCR
673 N·m3/min
bag filter dust collector
427 N·m3/min
SDR
427 N·m3/min
Wet Scrubber
427 N·m3/min Table 1. Characteristics of the sewage sludge incinerators included in the study. 1. Introduction Previously, 70% of sewage sludge in South Korea was disposed using the sea dumping method;
however, sea dumping of sewage sludge has been completely prohibited since 2011 pursuant to
the London Dumping Convention amended in 1996 [1]. Generally, the operating cost associated
with the sludge handling was often reported to be a significant part of the overall operating cost
in the wastewater treatment plant [2]. Also, sewage sludge management is a growing problem,
especially in highly populated areas [3]. Consequently, incineration, with its advantages of large
sewage sludge weight reduction effects, excellent stability, and transformation of sewage sludge
into solid fuel, has come to the fore as an alternative for sewage sludge disposal. Due to these
advantages, incineration has become the main method of sewage sludge disposal in many countries,
including Germany and Japan [4–6]. Sustainability 2017, 9, 557; doi:10.3390/su9040557 www.mdpi.com/journal/sustainability 2 of 7 Sustainability 2017, 9, 557 According to the IPCC (Intergovernmental Panel on Climate Change) guidelines, CO2 emissions
from biomass fractions should be excluded from the entire amount of CO2 emissions when calculating
CO2 emissions and should be separately reported due to their “carbon neutrality”. Sewage sludge
is one of the representative biomass fuels. It is mixed with fossil fuels to achieve greenhouse gas
reduction or is used by itself as a fuel to replace fossil fuels [7–9]. Municipal waste and industrial waste incineration facilities are excluded from biomass fractions
when they calculate CO2 emissions. Sewage sludge incinerators do not estimate CO2 emissions when
estimating GHG (Greenhouse Gases) emissions as CO2 emissions were considered as 100% biomass
fractions. Therefore, GHG emissions from sewage sludge incineration facilities are calculated only for
Non-CO2 emissions [10–12]. However, some studies reported that the biomass fraction of sewage sludge might not be
100% [13–15]. If, as reported in some studies, the biomass fraction of sewage sludge is not 100%,
CO2 emissions should be considered when greenhouse gas emissions are calculated. Therefore, it is
necessary to accurately estimate and reflect the biomass fraction of sewage sludge in order to improve
the reliability of greenhouse gas emissions from sewage sludge incineration facilities. The present study aims to figure out how biomass fraction should be applied when greenhouse
gas emissions in sewage sludge incineration facilities are calculated. 2. Methods The present study seeks to figure out how biomass fraction should be applied in the calculation of
greenhouse gas emissions in sewage sludge incineration facilities. To this end, we planned to analyze
the biomass fraction of sewage sludge inputted into sewage sludge incineration facilities and the
biomass fraction of gases collected from final incineration and to compare the resultant values to figure
out the biomass fraction of sewage sludge incineration facilities. 2.2. Sampling of Waste Incinerator Facility Sampling of Waste Incinerator Facility In many EU countries, as well as in the USA, Japan, and Australia, continuous measurement
methods are presented and recommended for greenhouse gas measurement in waste incineration
facilities in order to enhance reliability [16–18]. The Mandatory Reporting Rule (MRR) in the USA for greenhouse gases presents the standards for
incineration exhaust gas samples for the analysis of biomass fraction of incineration facilities. To meet 3 of 7 Sustainability 2017, 9, 557 the standards for samples of the MRR, incineration exhaust gases should be continuously collected
for 24 h until the level of ASTM D 6866-08 can be satisfied. In the present study, pursuant to the U.S. mandatory greenhouse gas reporting rule, greenhouse gas samples were continuously collected for
24 h. In South Korea, air pollutants are analyzed and monitored in real-time using automatic remote
chimney monitoring systems. Incineration exhaust gases were collected at the rear end of a TMS
(Tele-Monitoring System), which is a real-time air pollutant analysis device, using an incineration
exhaust gas collecting device made by the present authors. The incineration exhaust gas collecting
system is shown in Figure 1. The incineration exhaust gas collecting device consisted of a device to
cool down high-temperature gases to 3 ◦C to facilitate incineration exhaust gas collection for 24 h
(Alpha, Hwaseong-si, Korea), a drain pump for the discharge of cooled moisture (Alpha, Hwaseong-si,
Korea), an electronic mass flow meter for the collection of incineration exhaust gases at a constant flow
rate (Alicat Scientific, Tucson, AZ, USA), and a pump (KNJ, Seoul, Korea). Samples of sewage sludge
for further analysis were sampled in the sewage sludge reservoir. collected for 24 h until the level of ASTM D 6866-08 can be satisfied. In the present study, pursuant to
the U.S. mandatory greenhouse gas reporting rule, greenhouse gas samples were continuously
collected for 24 h. In South Korea, air pollutants are analyzed and monitored in real-time using
automatic remote chimney monitoring systems. Incineration exhaust gases were collected at the rear
end of a TMS (Tele-Monitoring System), which is a real-time air pollutant analysis device, using an
incineration exhaust gas collecting device made by the present authors. The incineration exhaust gas
collecting system is shown in Figure 1. 2.3. Analysis of the Biomass Fraction
2.3. Analysis of the Biomass Fraction Official test methods related to biomass fraction analysis include ASTM D 6866, DS/CEN/TS
15440, and CEN/TR 15591. The official test methods include 14C methods, Selective Dissolution
Methods, and Balance Methods. In addition, many related studies use other relevant methodologies
to analyze biomass fractions [19–24]. Official test methods related to biomass fraction analysis include ASTM D 6866, DS/CEN/TS
15440, and CEN/TR 15591. The official test methods include 14C methods, Selective Dissolution
Methods, and Balance Methods. In addition, many related studies use other relevant methodologies to
analyze biomass fractions [19–24]. In the present study, the 14C method was used to calculate the biomass fractions of sewage
sludge and sewage sludge incineration exhaust gases. According to the official test methods, 14C
methods include LSC (Liquid Scintillation Counter), AMS (Accelerator Mass Spectrometer), and
IRMS (Isotope Ratio Mass Spectrometer). In the present study, the application of ASTM-D6866 and
AMS analysis method was used. The AMS method enables the analysis of tiny quantities (1 g) and
has a precision that is 105 times higher than the general mass analysis devices [25]. In the present study, the 14C method was used to calculate the biomass fractions of sewage
sludge and sewage sludge incineration exhaust gases. According to the official test methods,
14C methods include LSC (Liquid Scintillation Counter), AMS (Accelerator Mass Spectrometer),
and IRMS (Isotope Ratio Mass Spectrometer). In the present study, the application of ASTM-D6866
and AMS analysis method was used. The AMS method enables the analysis of tiny quantities (1 g)
and has a precision that is 105 times higher than the general mass analysis devices [25]. The AMS analysis is suitable for the carbon dating of small samples as it allows the number of
atoms of different isotopes of carbon to be counted directly, instead of their ratio having to be
inferred from the (very low) level of radioactivity of the sample. The AMS analysis is suitable for the carbon dating of small samples as it allows the number of
atoms of different isotopes of carbon to be counted directly, instead of their ratio having to be inferred
from the (very low) level of radioactivity of the sample. The application of ASTM-D6866 to derive a “Biogenic carbon content (biomass fraction)” is
built on the same concepts as radiocarbon dating, but without use of the age equations. 2.2. Sampling of Waste Incinerator Facility The incineration exhaust gas collecting device consisted of a
device to cool down high-temperature gases to 3 °C to facilitate incineration exhaust gas collection
for 24 h (Alpha, Hwaseong-si, Korea), a drain pump for the discharge of cooled moisture (Alpha,
Hwaseong-si, Korea), an electronic mass flow meter for the collection of incineration exhaust gases
at a constant flow rate (Alicat Scientific, Tucson, AZ, USA), and a pump (KNJ, Seoul, Korea). Samples of sewage sludge for further analysis were sampled in the sewage sludge reservoir. Figure 1. Schematic of the field setup for flue gas sampling of the incinerator. Figure 1. Schematic of the field setup for flue gas sampling of the incinerator. Figure 1. Schematic of the field setup for flue gas sampling of the incinerator. Figure 1. Schematic of the field setup for flue gas sampling of the incinerator. 2.3. Analysis of the Biomass Fraction
2.3. Analysis of the Biomass Fraction It is done by
deriving a ratio of the amount of radiocarbon (14C) in an unknown sample to that of a modern
reference standard. The modern reference standard used in radiocarbon dating is a NIST (National
Institute of Standards and Technology) standard with a known radiocarbon content equivalent
The application of ASTM-D6866 to derive a “Biogenic carbon content (biomass fraction)” is
built on the same concepts as radiocarbon dating, but without use of the age equations. It is done by
deriving a ratio of the amount of radiocarbon (14C) in an unknown sample to that of a modern reference
standard. The modern reference standard used in radiocarbon dating is a NIST (National Institute of
Standards and Technology) standard with a known radiocarbon content equivalent approximately to 4 of 7 Sustainability 2017, 9, 557 the year AD 1950. AD 1950 was chosen since it represented a time prior to thermo-nuclear weapons
testing which introduced large amounts of excess radiocarbon into the atmosphere with each explosion
(termed “bomb carbon”). This was a logical point in time to use as a reference for archaeologists
and geologists. Therefore, 1950 is used as the reference year in accordance with “fractions of modern
carbon (FM)” as below and biomass fractions are calculated by comparing the ratios of radioactive
carbon isotopes 14C/12C existing in the standard sample and the analysis sample. fM,Sample =
14C
12C
sample
14C
12C
AD1950
(1) (1) f M,Sample is the promptly measured parameter; however, the fraction of biogenic or fossil carbon
(%Bio C (biomass fraction), %Fos C (fossil carbon fraction)) has more substantive relevance. %Bio C = 100% −%Fos C =
fM,sample
fM,bio
× 100%
(2) (2) Since 14C in fossil matter is completely decayed, the content of biogenic carbon (%Bio C) is directly
proportional to the 14C fraction in the emitted CO2. Since 14C in fossil matter is completely decayed, the content of biogenic carbon (%Bio C) is directly
proportional to the 14C fraction in the emitted CO2. 3.1. Biomass Fraction of Sewage Sludge To calculate the biomass fractions of sewage sludge and sewage sludge incineration exhaust gases,
the sewage sludge and sewage sludge incineration exhaust gas samples were collected three times in
total, once per month from January to March; furthermore, the biomass fractions were analyzed using
the AMS method. According to the results of the biomass fractions of sewage sludge sample analysis, the average
biomass fraction was 76.92% and the range of biomass contents was 76.25%–77.38% depending on
the time of the sample collection. The standard deviation of the biomass fractions of sewage sludge
samples was 0.59, suggesting that the biomass fractions were not very different across different time
periods (see Table 2 below). Table 2. The result of biomass fraction analyzed of sewage sludge. y
g
g
Sampling
Biomass Fraction (%)
1
77.38
2
76.25
3
77.12
Mean
76.92
SD
0.59
3.2. Biomass Fraction of Sewage Sludge Flue Gas Sampling
Biomass Fraction (%)
1
77.38
2
76.25
3
77.12
Mean
76.92
SD
0.59 3.2. Biomass Fraction of Sewage Sludge Flue Gas Table 3. The result of biomass fraction analyzed of flue gas from sewage sludge.
ab e 3.
e esu
o bio
ass
ac io
a a y e
o
ue gas
o
se
age s u ge
Sampling
Biomass Fraction (%) Sampling
Biomass Fraction (%)
1
74.45
2
77.02
3
78.20
Mean
76.56
SD
1.92
3 3 Comparison of Biomass Fraction in Objective Sewage Sludge Incinerator
p
g
(
)
1
74.45
2
77.02
3
78.20
Mean
76.56
SD
1.92
3.3. Comparison of Biomass Fraction in Objective Sewage Sludge Incinerator Sampling
Biomass Fraction (%)
1
74.45
2
77.02
3
78.20
Mean
76.56
SD
1.92
74.45
77.02
78.20
76.56
1.92
io
i Obje ti e Se a e Slud e I
i e ato Sampling
Biomass Fraction (%)74.4 3.3. Comparison of Biomass Fraction in Objective Sewage Sludge Incinerator
3.3. Comparison of Biomass Fraction in Objective Sewage Sludge Incinerator
Sewage sludge and sewage sludge incineration exhaust gas sam 3.3. Comparison of Biomass Fraction in Objective Sewage Sludge Incinerator
3.3. Comparison of Biomass Fraction in Objective Sewage Sludge Incinerator
Sewage sludge and sewage sludge incineration exhaust gas sa Sewage sludge and sewage sludge incineration exhaust gas samples were simultaneously collected
from the sewage sludge incineration facility and the biomass fractions were compared. The differences
in the biomass fractions were smaller than approximately 3%, indicating that the biomass contents of
sewage sludge and sewage sludge incineration exhaust gases were not very different. The biomass
fractions of the samples collected for the first time showed a difference of approximately 3%, while those
of the samples collected for the second and third time showed differences below 1%. Sewage sludge and sewage sludge incineration exhaust gas samples were simultaneously
collected from the sewage sludge incineration facility and the biomass fractions were compared. The
differences in the biomass fractions were smaller than approximately 3%, indicating that the biomass
contents of sewage sludge and sewage sludge incineration exhaust gases were not very different. The biomass fractions of the samples collected for the first time showed a difference of
approximately 3%, while those of the samples collected for the second and third time showed
differences below 1%. The biomass fractions of sewage sludge, that is the subject of incineration by the sewage sludge
incineration facility and those of sewage sludge incineration exhaust gases that are finally emitted
after incineration, were in the range of 74.45–78.2%; none of the two results showed a biomass fraction
of 100%. Therefore, when calculating greenhouse gas emissions, sewage sludge incineration facilities
should consider fossil carbon fractions excluding biomass fractions (see Figure 2 below). Table 3. The result of biomass fraction analyzed of flue gas from sewage sludge.
ab e 3.
e esu
o bio
ass
ac io
a a y e
o
ue gas
o
se
age s u ge
Sampling
Biomass Fraction (%) i e e
e
e o
%
The biomass fractions of sewage sludge, that is the subject of incineration by the sewage sludge
incineration facility and those of sewage sludge incineration exhaust gases that are finally emitted
after incineration, were in the range of 74.45–78.2%; none of the two results showed a biomass
fraction of 100%. Therefore, when calculating greenhouse gas emissions, sewage sludge incineration
facilities should consider fossil carbon fractions excluding biomass fractions (see Figure 2 below). According to Giger (1984) and McEvoy (1985) [14,15], in the analysis of sewage sludge,
Linear Alkylbenzene Sulphonate (LAS) and 4-Nonylphenol components contained in surfactants,
such as dishwashing detergents, liquids and shampoos, that were not completely treated during
sewage treatment remained in the sewage sludge. This is the reason why we included fossil fuel-based
carbon in sewage sludge in the present study. facilities should consider fossil carbon fractions excluding biomass fractions (see Figure 2 below). According to Giger (1984) and McEvoy (1985) [14,15], in the analysis of sewage sludge, Linear
Alkylbenzene Sulphonate (LAS) and 4-Nonylphenol components contained in surfactants, such as
dishwashing detergents, liquids and shampoos, that were not completely treated during sewage
treatment remained in the sewage sludge. This is the reason why we included fossil fuel-based
carbon in sewage sludge in the present study. Figure 2. Comparison between sewage sludge and sewage sludge flue gas of the biomass fraction. Figure 2. Comparison between sewage sludge and sewage sludge flue gas of the biomass fraction. Figure 2. Comparison between sewage sludge and sewage sludge flue gas of the biomass fraction. Figure 2. Comparison between sewage sludge and sewage sludge flue gas of the biomass fraction. 3.2. Biomass Fraction of Sewage Sludge Flue Gas The average biomass fraction of incineration exhaust gases from the sewage sludge incineration
facility amounted to 76.56%. The biomass fractions of the incineration exhaust gases were in the range
of 74.45–78.20% across different times of samples and the standard deviation was 1.92, indicating that
the biomass fractions were not very different across different periods of time (see Table 3 below). 5 of 7
5 of 7 Sustainability 2017, 9, 557
Sustainability 2017, 7, 557 4. Conclusions
I
h
4. Conclusions In the present study, attempts were made to examine how to apply biomass contents to the
calculation of greenhouse gas emissions from sewage sludge incineration facilities. To this end, the
biomass fractions of sewage sludge inputted into the subject incineration facility and those of
In the present study, attempts were made to examine how to apply biomass contents to the
calculation of greenhouse gas emissions from sewage sludge incineration facilities. To this end, Sustainability 2017, 9, 557 6 of 7 the biomass fractions of sewage sludge inputted into the subject incineration facility and those of
sewage sludge incineration exhaust gases finally emitted were analyzed using the 14C Method. Sewage sludge and sewage sludge incineration exhaust gas samples were simultaneously collected
three times between January and March 2015. According to the results of the analysis of biomass fractions, the average biomass fraction of the
sewage sludge samples was 76.92% and that of the incineration exhaust gases from the sewage sludge
incineration facility was 76.56%, suggesting no big difference on average. The biomass contents of
both the sewage sludge and the sewage sludge incineration exhaust gases did not amount to 100%. The reason behind this finding could be the fact that Linear Alkylbenzene Sulphonate (LAS) and
4-Nonylphenol components that are contained in surfactants, such as dishwashing detergents, liquids,
and shampoos, were not completely treated during sewage treatment and remained in the sewage
sludge (see Giger (1984) and McEvoy (1985) [14,15]). At present, in many countries such as South Korea, Japan, and Germany, when calculating
greenhouse gas emissions from sewage sludge incineration facilities, all CO2 emissions from sewage
sludge are judged to be biomass and only the greenhouse gas emissions that correspond to non-CO2
gases are calculated as greenhouse gas emissions. However, since, according our results, the fraction of
sewage sludge is not 100% biomass, if CO2 emissions are excluded according to the existing greenhouse
gas emission calculation method, the amount of emissions may be underestimated. Therefore, to accurately calculate greenhouse gas emissions from sewage sludge incineration
facilities, CO2 emissions should be calculated in consideration of the fossil carbon fractions of sewage
sludge. Further studies aiming to figure out the biomass fractions of CO2 emitted from sewage sludge
incineration facilities and to compare greenhouse gas emissions according to CO2 emission calculation
methods using such biomass fractions will improve the reliability of greenhouse gas inventories of
sewage sludge incineration facilities. 4. Conclusions
I
h
4. Conclusions Acknowledgments:
This work is financially supported by Korea Ministry of Environment (MOE) as
“Graduate School specialized in Climate Change”. This subject is supported by the Korea Ministry of Environment
as “Climate Change Correspondence R&D Program (2016001300004)”. Author Contributions: All the authors contributed towards the completion of the paper. Eui-chan Jeon guided the
experiments and designed the study. Seongmin Kang wrote the paper and analyzed the data, data interpretation. Seungjin Kim, Jeongwoo Lee, Youngjae Jeon conducted the experiments, analyzed the results, and Ki-Hyun Kim
review and modified the paper. Conflicts of Interest: The authors declare no conflict of interest. References 1. Kim, M.Y.; Kim, J.K.; Lee, H.D.; Kim, S.C. Combustion Characteristics of Sewage sludge-bituminous coal
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application in wastewater treatment. Ind. Eng. Chem. Res. 2016, 55, 4363–4389. [CrossRef] 3. Vochozka, M.; Maroušková, A.; Váchal, J.; Straková, J. Appraisal of changes in sewage sludge management. Int. J. Environ. Sci. Technol. 2016, 13, 1607–1614. [CrossRef] 4. Fytili, D.; Zabaniotoua, A. Utilization of sewage sludge in EU application of old and new methods—A
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a conventional fuel substitute. Renew. Sustain. Energy Rev. 2008, 12, 531–541. [CrossRef] 8. David, M.K. Biodiesel Production from Municipal Sewage Sludges. Energy Fuels 2010, 24, 2791–279 9. Shireen, M.K.; Debabrata, D. Biohydrogen as a renewable energy resource—Prospects and potentials. Int. J. Hydrog. Energy 2008, 33, 258–263. 9. Shireen, M.K.; Debabrata, D. Biohydrogen as a renewable energy resource—Prospects and potentials. Int. J. Hydrog. Energy 2008, 33, 258–263. 7 of 7 Sustainability 2017, 9, 557 10. Environment Agency Austria Umweltbundesamt. Austria’s National Inventory Report 2015; Environment
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sewage-sludge.html (accessed on 2 April 2016). 14. McEvoy, J.; Giger, W. Accumulation of linear alkylbenzenesulphonate surfactants in sewage sludges. Naturwissenschaften 1985, 72, 429–431. [CrossRef] 15. Giger, W.; Brunner, P.H.; Schaffner, C. 4-Nonylphenol in sewage sludge: Accumulation of toxic metabolites
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24. Palstra, S.W.L.; Meijer, H.A.J. Carbon-14 based determination of the biogenic fraction of industrial CO2
emissions. Appl. Valid. Bioresour. Technol. 2010, 101, 3702–3710. [CrossRef] [PubMed] 25. Matthias, R. Radiocarbon Measurement of Micro-Scale Samples—A Carbon Dioxide Inlet System for AMS;
Philosophisch-Naturwissenschaftlichen Fakulttp der Universiter Bern: Bern, Switzerland, 2008. © 2017 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
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Clostridium difficile Infection Seasonality: Patterns across Hemispheres and Continents – A Systematic Review
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Background Studies have demonstrated seasonal variability in rates of Clostridium difficile infection
(CDI). Synthesising all available information on seasonality is a necessary step in identify-
ing large-scale epidemiological patterns and elucidating underlying causes. Academic Editor: Abhishek Deshpande, Cleveland
Clinic, UNITED STATES Academic Editor: Abhishek Deshpande, Cleveland
Clinic, UNITED STATES Received: October 28, 2014
Accepted: February 6, 2015
Published: March 16, 2015
Copyright: © 2015 Furuya-Kanamori 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. Received: October 28, 2014
Accepted: February 6, 2015
Published: March 16, 2015 Received: October 28, 2014
Accepted: February 6, 2015
Published: March 16, 2015
Copyright: © 2015 Furuya-Kanamori 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. Received: October 28, 2014
Accepted: February 6, 2015
Published: March 16, 2015 RESEARCH ARTICLE Methods Three medical and life sciences publication databases were searched from inception to Oc-
tober 2014 for longitudinal epidemiological studies written in English, Spanish or Portu-
guese that reported the incidence of CDI. The monthly frequency of CDI were extracted,
standardized and weighted according to the number of follow-up months. Cross correlation
coefficients (XCORR) were calculated to examine the correlation and lag between the year-
month frequencies of reported CDI across hemispheres and continents. Copyright: © 2015 Furuya-Kanamori et al. This is an
open access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Data Availability Statement: Data used in the review
were extracted from: * Archibald LK, Banerjee SN,
Jarvis WR (2004) Secular trends in hospital-acquired
Clostridium difficile disease in the United States,
1987–2001. J Infect Dis 189: 1585–1589. * Gilca R,
Hubert B, Fortin E, Gaulin C, Dionne M (2010)
Epidemiological patterns and hospital characteristics
associated with increased incidence of Clostridium
difficile infection in Quebec, Canada, 1998–2006. Infect Control Hosp Epidemiol 31: 939–947. * Jagai J,
Naumova E (2009) Clostridium difficile-associated
disease in the elderly, United States. Emerg Infect Dis Abstract Citation: Furuya-Kanamori L, McKenzie SJ, Yakob L,
Clark J, Paterson DL, Riley TV, et al. (2015)
Clostridium difficile Infection Seasonality: Patterns
across Hemispheres and Continents – A Systematic
Review. PLoS ONE 10(3): e0120730. doi:10.1371/
journal.pone.0120730 * Luis.Furuya-Kanamori@anu.edu.au Clostridium difficile Infection Seasonality:
Patterns across Hemispheres and Continents
– A Systematic Review Luis Furuya-Kanamori1*, Samantha J. McKenzie2, Laith Yakob3, Justin Clark4, David
L. Paterson5, Thomas V. Riley6, Archie C. Clements1 Luis Furuya-Kanamori1*, Samantha J. McKenzie2, Laith Yakob3, Justin Clark4, David
L. Paterson5, Thomas V. Riley6, Archie C. Clements1 1 Research School of Population Health, The Australian National University, Canberra, Australian Capital
Territory, Australia, 2 School of Population Health, The University of Queensland, Herston, Queensland,
Australia, 3 London School of Hygiene and Tropical Medicine, Department of Disease Control, London,
United Kingdom, 4 Drug ARM Australasia, Annerley, Queensland, Australia, 5 The University of
Queensland, UQ Centre for Clinical Research, Herston, Queensland, Australia, 6 Microbiology &
Immunology, The University of Western Australia and Department of Microbiology PathWest Laboratory
Medicine, Queen Elizabeth II Medical Centre, Nedlands, Western Australia, Australia Clostridium difficile Infection Seasonality 15: 343–344. * Brown KA, Daneman N, Arora P,
Moineddin R, Fisman DN (2013) The co-seasonality of
pneumonia and influenza with Clostridium difficile
infection in the United States, 1993–2008. Am J
Epidemiol 178: 118–125. * Gilca R, Fortin E, Frenette
C, Longtin Y, Gourdeau M (2012) Seasonal variations
in Clostridium difficile infections are associated with
influenza and respiratory syncytial virus activity
independently of antibiotic prescriptions: a time series
analysis in Quebec, Canada. Antimicrob Agents
Chemother 56: 639–646. * Furuya-Kanamori L,
Robson J, Soares Magalhaes RJ, Yakob L, McKenzie
SJ, et al. (2014) A population-based spatio-temporal
analysis of Clostridium difficile infection in Queensland,
Australia over a 10-year period. J Infect. * Slimings C,
Armstrong P, Beckingham WD, Bull AL, Hall L, et al. (2014) Increasing incidence of Clostridium difficile
infection, Australia, 2011–2012. Med J Aust 200: 272–
276. * Wong-McClure RA, Guevara-Rodríguez M,
Abarca-Gómez L, Solano-Chinchilla A, Marchena-
Picado M, et al. (2012) Clostridium difficile outbreak in
Costa Rica: control actions and associated factors. Rev Panam Salud Publica 32: 413–418. * Burckhardt
F, Friedrich A, Beier D, Eckmanns T Clostridium
difficile surveillance trends, Saxony, Germany: Emerg
Infect Dis. 2008 Apr;14(4):691–2. doi: 10.3201/
eid1404.071023. * Camacho-Ortiz A, Galindo-Fraga
A, Rancel-Cordero A, Macias AE, Lamothe-Molina P,
et al. (2009) [Factors associated with Clostridium
difficile disease in a tertiary-care medical institution in
Mexico: a case-control study]. Rev Invest Clin 61:
371–377. * Damani N, Trudy R, Markey M, Wallace S
(2011) C. difficile associated diarrhoea-don't blame
community or norovirus. BMC Proceedings 5. *
Deorari S, McConnell A, Tan KK, Jadavji N, Ma D, et
al. (1999) Differential yield of pathogens from stool
testing of nosocomial versus community-acquired
paediatric diarrhea. Canadian Journal of Infectious
Diseases 10: 421–428. * Dubberke ER, Butler AM,
Hota B, Khan YM, Mangino JE, et al. (2009)
Multicenter study of the impact of community-onset
Clostridium difficile infection on surveillance for C. difficile infection. Infect Control Hosp Epidemiol 30:
518–525. * Faires MC, Pearl DL, Ciccotelli WA, Berke
O, Reid-Smith RJ, et al. (2014) Detection of
Clostridium difficile infection clusters, using the
temporal scan statistic, in a community hospital in
southern Ontario, Canada, 2006–2011. BMC Infect Dis
14: 1471–2334. * MacDonald KS, McLeod J, Nicolle L
(1993) Clostridium difficile enteritis in a Canadian
tertiary care hospital. Can J Infect Control 8: 37–40. Conclusion CDI demonstrates a distinct seasonal pattern that is consistent across North America, Eu-
rope and Oceania. Further studies are required to identify the driving factors of the
observed seasonality. Introduction Clostridium difficile is the most common cause of antibiotic-associated diarrhea among hospi-
tal inpatients [1]. The incidence and severity of C. difficile infection (CDI) have increased
worldwide in the last two decades [2]. Understanding the seasonal patterns of infectious diseases is crucial to identify factors asso-
ciated with an increased risk of infection and to implement control measures during the time
of year when interventions are likely to have the greatest impact [3]. Epidemiological studies
have documented a seasonal variation in the frequency of CDI, yet the mechanisms responsible
for its variability remain poorly understood. Specifically, in the USA and Canada, the incidence
of CDI has been reported to increase during boreal winter months (February–March) [4–6]. Antibiotic exposure is strongly associated with CDI [7–10]; consequently, it has been proposed
that the observed CDI seasonality in the Northern Hemisphere is associated with the higher in-
cidence of respiratory infections, which leads to an increase in antibiotic prescriptions during
winter months [11,12]. In Australia, even though antibiotic consumption also peaks during winter (August) [13];
recent epidemiological studies have found that the seasonal pattern of C. difficile is not charac-
terized by an increased number of CDI during winter months [14,15]. This indicates that CDI
in Australia may not conform to currently proposed mechanisms of C. difficile seasonality, sug-
gesting that factors in addition to antibiotic exposure might be driving the seasonality. There-
fore, the aim of the current review was to pool the existing evidence to describe the global
patterns of CDI seasonality and to facilitate improved understanding of
underlying mechanisms. *
Reveles KR, Lee GC, Boyd NK, Frei CR (2014)
Regional and seasonal variations in clostridium difficile
infections in United States hospitals, 2001 to 2010. Value in Health 17: A267. * Sonnenberg A Seasonal
variation of enteric infections and inflammatory bowel Results The search identified 13, 5 and 2 studies from North America, Europe, and Oceania, re-
spectively that met the inclusion criteria. CDI had a similar seasonal pattern in the Northern
and Southern Hemisphere characterized by a peak in spring and lower frequencies of CDI
in summer/autumn with a lag of 8 months (XCORR = 0.60) between hemispheres. There
was no difference between the seasonal patterns across European and North
American countries. 1 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 Clostridium difficile Infection Seasonality follow-up period. Corresponding authors were contacted for further information regarding the
total number of samples examined per month/season. The characteristics of the excluded stud-
ies are listed in S1 Table. disease: Inflamm Bowel Dis. 2009 Jun;15(6):809. doi:
10.1002/ibd.20770. Funding: LFK is funded by an Endeavour
Postgraduate Scholarship (#3781_2014), an Australia
National University Higher Degree Scholarship, and a
Fondo para la Innovación, Ciencia y Tecnología
Scholarship (#095-FINCyT-BDE-2014). ACC is
funded by an Australian National Health and Medical
Research Council Senior Research Fellowship
(#1058878). The funders had no role in study design,
data collection and analysis, decision to publish, or
preparation of the manuscript. Two authors (LFK and LY) independently examined all the citations by title and abstracts
for studies that met the inclusion criteria. Full-text version articles of all potentially relevant
studies were retrieved and independently extracted. Data presented in a graphical format were
extracted using Plot Digitizer version 2.6.6 (http://plotdigitizer.sourceforge.net/). Data from all
the included studies were extracted and summarized in a spreadsheet. The extracted data were
cross-checked by the two authors, discrepancies during the selection of studies or data extrac-
tion were resolved through discussion and consensus. The quality of the selected studies was
assessed independently by the same two authors using the Newcastle-Ottawa scale (NOS) [17]. The extracted data (incidence of CDI or proportion of positive stool specimens for C. diffi-
cile) were standardized to have a mean = 0, a minimum value = −1, and a maximum value = 1
for comparison across studies. A weight between zero and 1 was assigned to each study propor-
tional to the number of months of follow-up. The number of months of follow-up for each
study were divided by the number of months of follow-up of the study with the longest follow-
up period; this ensured that the study with the longest follow-up period received a weight of 1. Competing Interests: The authors have declared
that no competing interests exist. The weighted average of the standardized monthly incidence were then plotted by hemi-
spheres and continents to compare the seasonal patterns of CDI in each setting. An additional
plot in which weighted average of the standardized CDI data from the Southern Hemisphere
was shifted 6 months to align the meteorological seasons between hemispheres was created for
ease of comparison. Cross correlation coefficients (XCORR) were used to examine the correlation and lag value
(in months) between the weighted average of standardized monthly incidence of CDI across
hemispheres and continents using the extracted temporal data. Methods The Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) guide-
lines were followed in this systematic review [16]. A systematic search was undertaken in three
medical and life sciences databases (PubMed, Embase and Latin American and Caribbean
Health Sciences Literature [LILACS]) from their inception to October 1st 2014 for longitudinal
epidemiological studies that reported the incidence of CDI. Search terms included were “Clos-
tridium difficile” and “season”, the specific keywords and connectors used in the systematic
search strategy for each database are listed in S1.A Search strategy. The inclusion of studies was restricted to human studies, full-text articles or abstracts writ-
ten in English, Spanish or Portuguese. Studies with at least 12 months follow-up that reported
the incidence of CDI or the proportion of stool specimens examined in which C. difficile was
detected, per month or per season, were included. CDI intervention studies were excluded
from the review because of the interference that interventions might have on transmission dy-
namics. Exclusions were also made for studies that reported the number of positive samples de-
tected for C. difficile without reporting the total number of samples that were tested; unless the
authors stated that the number of stool samples examined per month was constant across the 2 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 Results The search identified 244 publications; after screening the publications by title and abstract,
171 publications were excluded. After a full-text review of 41 publications was conducted,
20 studies met the inclusion criteria and were selected for the review (Fig. 1). Of the 20 studies,
18 were conducted in Northern Hemisphere countries and only 2 in the Southern Hemisphere. Among the studies from the Northern Hemisphere, 13 were from North America and 5 from
Europe. The 2 studies from the Southern Hemisphere were from Oceania (Australia; Tables 1
and 2). No studies from South America, Africa or Asia were identified despite additional efforts
to target these regions in our search strategy (S1.B Search strategy). Using the NOS, all the
studies but two were identified as high quality (80% NOS score; Table 1 and S2 Table). A similar seasonal pattern was observed between the Northern and Southern Hemisphere. In the Northern Hemisphere, CDI rates peaked during March – April (early boreal spring) and
were at their lowest during the second half of the year. CDI increased in the Southern Hemi-
sphere during the second half of the year and peaked in the last trimester of the year (October –
November, the mid austral spring – Fig. 2A and 2B). The XCORR peaked (0.60) at lags = 8, indi-
cating that the rise in the weighted average of the standardized monthly incidence of CDI in the
Southern Hemisphere lagged the Northern Hemisphere by 8 months (i.e. it occurred two months
later relative to the onset of spring in the Southern Hemisphere as compared to the Northern
Hemisphere). The lowest value was identified (–0.76) at lag = 1, which indicates that at lag = 1
month the weighted average of the standardized monthly incidence of CDI in the Northern
Hemisphere decreases while it increases in the Southern Hemisphere. 3 / 12 Clostridium difficile Infection Seasonality Fig 1. PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analysis) flowchart of the literature search conducted on the 1st
October 2014. ting Items for Systematic Reviews and Meta-Analysis) flowchart of the literature search conducted on the 1s PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analysis) flowchart of the literature se
er 2014 Fig 1. PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analysis) flowchart of the li
October 2014. Results doi:10.1371/journal.pone.0120730.g001 When the studies were grouped by continents, a similar trend was observed in the Northern
Hemisphere between North American and European countries. This observation was con-
firmed by the peak of XCORR = 0.69 at lag 0 months. Both presented a higher frequency of
CDI during the first half of the year, with peaks of CDI in March and April in Europe and
North America, respectively (Fig. 3). Discussion The findings of the current systematic review suggested that the Northern and Southern Hemi-
sphere countries exhibit similar seasonal patterns characterized by CDI peaking in spring and
being at their lowest during summer/autumn months. Antibiotic consumption in the commu-
nity also follows a seasonal pattern. In North American and European countries the consump-
tion of antibiotics mainly peaked in January-February, whereas in Australia antibiotic
consumption peaked in August [13]. Hensgens et al. found that after cessation of antibiotic
therapy, patients remain at higher risk of CDI for up to 3 months [18]. Therefore, the observed
seasonality may indicate a lag of 2–3 months between antibiotic exposure and CDI. It is not
surprising that several studies have found co-seasonality of CDI and respiratory tract infection
[11,12,19]. In these studies, the respiratory infections often lead CDI by 1 month which could
be explained by the corresponding incidence of respiratory tract infection and antibiotic pre-
scription in the community [20]. Risk factors in addition to antibiotic exposure such as environmental variables (tempera-
ture, precipitation, altitude, etc.) could also be involved in the observed seasonality as they have
also been demonstrate to affect the dynamics of numerous infectious diseases [3,21]. In a previ-
ous study we found that the odds of CDI infection increased by 9% (OR: 1.09; 95%CI: 1.02 to
1.17) per 100 mm increase in monthly rainfall in Queensland, Australia [14]. Respiratory tract
infection transmission dynamics are highly dependent on environmental factors [21]; 4 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 Clostridium difficile Infection Seasonality Table 1. Characteristics of included studies. Location
Data source
Start
Finish
Follow-up
(months)
NOS
score
Archibald et al., 2004 [4]
All USA
National Nosocomial Infections Surveillance
System
Jan
1987
Dec
2001
180
3/5
Brown et al., 2013 [11]
All USA
U.S. National Hospital Discharge Survey
Jan
1993
Dec
2008
192
8/9
Burckhardt et al., 2008
[40]
Saxony, Germany
State of Saxony Surveillance
Jan
2002
Dec
2006
60
4/5
Camacho-Ortiz et al.,
2009 [41]
Mexico City, Mexico
Instituto Nacional de Ciencias Médicas y
Nutrición Salvador Zubiran
Jan
2003
Dec
2007
60
4/5
Damani et al., 2011 [42]
Armagh, Northern Ireland
Craigavon Area Hospital
Jan
2007
May
2010
41
3/5
Deorari et al., 1999 [34]
Alberta, Canada
Alberta Children’s Hospital
Apr
1993
Mar
1995
24
9/9
Dubberke et al., 2009
[43]
MO, MA, OH, IL, UT (USA)
Five hospitals
Jul
2000
Jun
2006
72
5/5
Faires et al., 2014 [44]
Ontario, Canada
A community hospital in Southern Ontario
Aug
2006
Feb
2011
55
5/5
Furuya-Kanamori et al.,
2014 [14]
Queensland, Australia
Sullivan Nicolaides Pathology
May
2003
Dec
2012
117
4/5
Gilca et al., 2010 [5]
Quebec, Canada
MED-ECHO and Quebec's provincial
surveillance
Apr
1998
Mar
2006
97
4/5
Gilca et al., 2012 [12]
Quebec, Canada
Quebec's provincial surveillance
Jan
2005
Dec
2008
48
8/9
Jagai and Naumova,
2009 [6]
All USA
Centers for Medicare and Medicaid
Services
Jan
1993
Dec
2004
144
4/5
MacDonald et al., 1993
[45]
Manitoba, Canada
A tertiary care referral hospital
May
1990
May
1992
23*
5/5
McFarland et al., 2007
[46]
Washington, USA
Veterans Administration Puget Sound
Health Care System
Jan
2004
Dec
2004
12
8/9
Reil et al., 2012 [47]
Northern Bavaria, Germany
Synlab Medical Care Service Centre
Wieden
Jan
2000
Dec
2009
120
4/5
Reveles et al., 2014 [48]
All USA
U.S. doi:10.1371/journal.pone.0120730.t001 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 Clostridium difficile Infection Seasonality Table 2. Measures of monthly C. difficile infection incidence. Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
Dec
Archibald et al., 2004 [4] (Cases/10,000 patient-days)
4.25
4.46
4.69
3.21
3.93
2.53
2.28
1.97
1.01
2.60
1.19
2.15
Brown et al., 2013 [11] (Cases/1,000 discharges)
8.36
8.42
8.67
8.75
8.65
8.35
8.19
8.22
8.27
7.97
7.71
7.90
Burckhardt et al., 2008 [40] (Cases/100,000 persons)
6.15
6.15
6.67
6.67
6.67
5.60
5.60
5.60
6.28
6.28
6.28
6.15
Camacho-Ortiz et al., 2009 [41] (Cases/1,000
discharges)
7.97
9.63
7.08
10.55
8.85
11.06
9.92
14.37
16.44
3.97
5.06
5.46
Damani et al., 2011 [42] (Percentage of positive
samples)
10.48
10.36
10.16
6.58
7.53
9.30
11.17
13.43
12.93
11.96
15.40
12.98
Deorari et al., 1999 [34] (Percentage of positive
samples)
22.64
14.64
9.36
19.73
0.09
33.18
41.91
35.36
44.27
49.91
42.27
25.55
Dubberke et al., 2009 [43] (Cases/10,000 patient-days)
9.02
9.30
9.39
10.03
9.17
9.13
8.28
9.32
9.32
9.43
9.36
9.28
Faires et al., 2014 [44] (Cases/10,000 patient-days)
0.18
0.79
0.90
1.66
1.59
1.50
1.45
1.18
1.49
0.70
1.50
1.11
Furuya-Kanamori et al., 2014 [14] (Percentage of
positive samples)
13.42
13.39
12.55
10.07
11.24
13.39
13.08
13.33
12.84
14.22
14.09
14.67
Gilca et al., 2010 [5] (Cases/1,000 discharges)
11.29
10.10
9.08
8.29
7.83
6.92
7.31
8.02
8.63
10.05
10.43
11.50
Gilca et al., 2012 [12] (Cases/1,000 discharges)
12.76
11.82
11.85
11.04
10.09
8.99
8.70
7.65
7.30
7.70
8.12
8.40
Jagai and Naumova, 2009 [6] (Cases/10,000 persons)
0.53
0.48
0.49
0.51
0.50
0.46
0.50
0.50
0.49
0.54
0.47
0.54
MacDonald et al., 1993 [45] (Cases/100,000 patient-
days)
2.97
5.49
2.39
5.49
4.33
5.92
8.97
3.98
4.96
4.93
9.50
2.94
McFarland et al., 2007 [46] (Cases/10,000 patient-
days)
21.90
40.51
42.70
28.47
36.86
15.33
11.31
23.36
24.09
34.67
34.67
31.02
Reil et al., 2012 [47] (Percentage of positive samples)
10.99
10.99
10.96
10.96
10.96
11.44
11.44
11.44
10.94
10.94
10.94
10.99
Reveles et al., 2014 [48] (Cases/1,000 discharge)
6.60
7.00
7.60
6.70
7.30
7.00
6.80
7.00
6.70
7.10
6.00
6.90
Slimming et al., 2014 [15] (Cases/10,000 patient-days)
3.32
3.32
3.80
3.80
3.80
3.53
3.53
3.53
4.27
4.27
4.27
3.32
Sonnenberg, 2009 [49] (Cases/1,000 admissions)
0.80
0.92
1.03
1.03
0.92
0.76
0.68
0.60
0.69
0.58
0.69
0.66
von Muller et al., 2011 [50] (Percentage of positive
samples)
7.35
7.06
8.42
9.12
6.51
9.26
5.11
7.91
10.34
6.36
11.29
10.74
Wong-McClure et al., 2012 [30] (Cases/10,000 patient-
days)
10.68
15.19
6.69
12.62
7.53
8.02
8.67
4.13
7.41
5.14
9.74
8.50
d i 10 1371/j
l
0120730 t002 Table 2. National Hospital Discharge Survey
Jan
2001
Dec
2010
120
4/5
Slimming et al., 2014
[15]
All Australia (except
Northern Territory)
450 public hospitals
Jan
2011
Dec
2012
24
5/5
Sonnenberg, 2009 [49]
All England
Hospital Episode Statistics
Apr
1995
Mar
2006
132
4/5
von Muller et al., 2011
[50]
Saarland, Germany
The University of Saarland Hospital
Apr
2008
Jun
2010
27
4/5
Wong-McClure et al.,
2012 [30]
NR, Costa Rica
A tertiary care hospital
Jan
2009
Jun
2011
30
4/5
NOS: Newcastle-Ottawa Scale, NR: Not reported, MO: Missouri, MA: Massachusetts, OH: Ohio, IL: Illinois, UT: Utah
* January 1991 not included, a nursing strike made data unretrievable. Table 1. Characteristics of included studies. Finish
Follow-up
(months)
NOS
scores
Dec
2001
180
3/5
Dec
2008
192
8/9
Dec
2006
60
4/5
Dec
2007
60
4/5
May
2010
41
3/5
Mar
1995
24
9/9
Jun
2006
72
5/5
Feb
2011
55
5/5
Dec
2012
117
4/5
Mar
2006
97
4/5
Dec
2008
48
8/9
Dec
2004
144
4/5
May
1992
23*
5/5
Dec
2004
12
8/9
Dec
2009
120
4/5
Dec
2010
120
4/5
Dec
2012
24
5/5
Mar
2006
132
4/5
Jun
2010
27
4/5
Jun
2011
30
4/5
Utah ewcastle-Ottawa Scale, NR: Not reported, MO: Missouri, MA: Massachusetts, OH: Ohio, IL: Illinois, UT: Utah
ary 1991 not included, a nursing strike made data unretrievable. therefore, caution is advised for future studies drawing an association between CDI and envi-
ronmental factors because of the possible confounder of co-seasonality in CDI and respiratory
infections. Because CDI was traditionally viewed as a nosocomial disease, studies that assess
the relationship between environmental factors and CDI are scant and this is a research gap
that requires substantial development. The observed difference of two-month lag between the
Southern and Northern Hemisphere (relative to the onset of spring) may be explained by the therefore, caution is advised for future studies drawing an association between CDI and envi-
ronmental factors because of the possible confounder of co-seasonality in CDI and respiratory
infections. Because CDI was traditionally viewed as a nosocomial disease, studies that assess
the relationship between environmental factors and CDI are scant and this is a research gap
that requires substantial development. The observed difference of two-month lag between the
Southern and Northern Hemisphere (relative to the onset of spring) may be explained by the PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 5 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 doi:10.1371/journal.pone.0120730.t002 Measures of monthly C. difficile infection incidence. climatic zones where the studies included in the review are located. Australia, which is located
in tropical and sub-tropical zones was the only country included in the review from the South-
ern Hemisphere; whereas the Northern Hemisphere countries included were mainly located in
a temperate zone (USA, Canada, Germany, Ireland, and England). Von Boeckel et al. found
that countries further from the equator (temperate zone) have a prominent seasonal pattern in
antibiotic consumption characterized by peaks during winter, whereas antibiotic consumption
is fairly constant across the months in countries located in tropical and sub-tropical zones [13]. Furthermore, Tamerius et al. described a similar one-month lag between the start of influenza
epidemic in temperate Northern Hemisphere countries (November, end of boreal autumn)
and the start of influenza epidemic in Australia (June, start of austral winter)[22]. In both
cases, the influenza epidemic starts 3–4 months before the peak of CDI (March – April in
Northern Hemisphere and October – November in Southern Hemisphere). Despite contrasting antibiotic prescribing practices in outpatients between North America
and Europe, the results indicate a similar seasonal pattern between European and North Amer-
ican countries. Patrick et al. found that the antibiotic consumption in the community was
higher in British Columbia, Canada, than in Sweden, Germany, United Kingdom, Denmark
and The Netherlands [23]. Of particular interest is the high consumption rate found in Canada
compared to Denmark for some antibiotic classes such as fluoroquinolones (1.44 versus 0.15 6 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 Clostridium difficile Infection Seasonality Fig 2. (a)Weighted average of the standardized monthly incidence of C. difficile infection by hemisphere. (b)Weighted average of the stand
monthly incidence of C. difficile infection by hemispheres. For ease of comparison, the Southern Hemisphere plot was moved 6 months (in the x-ax
the meteorological seasons align between hemispheres. doi:10.1371/journal.pone.0120730.g002
PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 Fig 2. (a)Weighted average of the standardized monthly incidence of C. difficile infection by hemisphere. (b)Weighted average of the standardize
monthly incidence of C. difficile infection by hemispheres. For ease of comparison, the Southern Hemisphere plot was moved 6 months (in the x-axis) thu andardized monthly incidence of C. difficile infection by hemisphere. (b)Weighted average of the standardized
on by hemispheres. For ease of comparison, the Southern Hemisphere plot was moved 6 months (in the x-axis) thus
een hemispheres. Fig 2. (a)Weighted average of the standardized monthly incidence of C. difficile infection by hemisphere. (b)Weighted average of the standardized
monthly incidence of C. difficile infection by hemispheres. For ease of comparison, the Southern Hemisphere plot was moved 6 months (in the x-axis) thus
the meteorological seasons align between hemispheres. Fig 2. (a)Weighted average of the standardized monthly incidence of C. difficile infection by hemisphere. (b)Weighted average of the standardized
monthly incidence of C. difficile infection by hemispheres. For ease of comparison, the Southern Hemisphere plot was moved 6 months (in the x-axis) thus
the meteorological seasons align between hemispheres. doi:10.1371/journal.pone.0120730.g002 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 7 / 12 Clostridium difficile Infection Seasonality Fig 3. Weighted average of the standardized monthly incidence of C. difficile infection by Northern Hemisphere continents. doi:10.1371/journal.pone.0120730.g003 Fig 3. Weighted average of the standardized monthly incidence of C. difficile infection by Northern Hemisphere continents. doi:10.1371/journal.pone.0120730.g003 doi:10.1371/journal.pone.0120730.g003 doi:10.1371/journal.pone.0120730.g003 defined daily doses [DDDs]/1000 inhabitant-days), macrolides (1.59 versus 0.92 DDDs/1000
inhabitant-days), and cephalosporins (1.86 versus 0.02 DDDs/1000 inhabitant-days) as these
antibiotic classes have been associated with an increased risk of community-acquired CDI
[7,8]. A similar trend in antibiotic prescribing was observed in children; higher rates of use of
cephalosporins (89.1 versus 0.2 prescriptions/1000 children), lincosamides (2.3 versus 0.1 pre-
scriptions/1000 children), macrolides (148.0 versus 42.6 prescriptions/1000 children), and flu-
oroquinolones (1.4 versus 0.5 prescriptions/1000 children) were reported in Canada compared
to Denmark [24]. This finding supports the need to investigate additional factors (other than
antibiotic exposure [11,12]) that would contribute towards a broader understanding of
CDI seasonality. Exposure to proton pump inhibitor (PPI) [25] and glucocorticoid [26] has been associated
with an increased risk of CDI, however no study has yet examined the temporal relationship
between monthly PPIs or glucocorticoids prescription rates and CDI seasonality. Additional
factors such as the introduction of new strains of the pathogen via trade in livestock, commodi-
ties and/or movement of people (asymptomatic colonized patients such as tourists or business
travellers, or hospital transfers) across boundaries should be evaluated when assessing possible
factors associated with the seasonality of CDI [27]. Rodriguez-Palacios et al. reported a possible
seasonality in contamination of retail meat in Canada with higher prevalence of C. difficile in
January – February (11.5%) compared to other months of the study (4.0%) [28]. PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 Riley has im-
plicated the importation of onions and garlic from USA and Mexico into Australia in the in-
crease in CDI during October – December in Western Australia [29]. PLOS ONE | DOI:10.1371/journal.pone.0120730
March 16, 2015 8 / 12 Clostridium difficile Infection Seasonality Although a comprehensive review was carried out, several limitations were noted. First,
only two studies were identified that reported the seasonality of CDI in Southern Hemisphere
countries [14,15]. Furthermore, both studies were conducted in Australia. This may limit the
generalizability of the findings for Southern Hemisphere countries only to Australia. However,
the identified gap in information should encourage further investigation particularly in coun-
tries in South America, Africa and Asia. Second, there was a small number of studies from
countries located between the Tropic of Cancer and the Tropic of Capricorn. The study con-
ducted by Wong-McClure et al. [30] in Costa Rica was the only study from the Northern
Hemisphere located in a tropical zone, precluding the comparison between the seasonality of
CDI in temperate and sub-tropical/tropical climates. Despite the documented changes in CDI
epidemiology [2], the increase in community-acquired CDI [31], and the different risk profiles
between community- and hospital-acquired CDI patients [32], our study was also limited by
the inability to compare the community- and hospital-acquired CDI seasonal patterns. Despite
the increasing incidence of CDI among the paediatric population [33] only one study (Deodari
et al. [34]) was identified that described the CDI seasonality in children; therefore, generaliz-
ability of the findings may be limited among this population. Potential factors that may con-
tribute to differences in monthly CDI incidence that could not be accounted for in this review,
such as hospital characteristics (e.g. staffing, overcrowding), CDI diagnosis ascertainment, se-
verity of underlying illness, infection control practices, and CDI strain need to be assessed in
future studies. As the studies included in the review reported the measures of monthly CDI using different
units, the values were standardized to compare the monthly CDI incidence across the studies. By doing so, the magnitude of the seasonality measured by the amplitude between the peak
and the trough was lost. Although, the magnitude of the seasonality could be masked, the ob-
served patterns should not be affected by the standardization. Finally, the weight allocated to
each study was based on the number of follow-up months and not on the sample size as the
number of participants or stool samples examined during the study period was not available
for all the studies included in this review. Understanding the seasonality of an infectious disease and the driving factors are of utmost
importance for planning prevention and control strategies [21,35]. Recently, several epidemio-
logical models of CDI have been constructed to inform control strategies for this disease of in-
creasing incidence and severity [36–39]. However, none has yet incorporated the effects of
seasonality and this will be difficult to achieve without better understanding of the underlying
mechanisms. The current review provided evidence of a similar CDI seasonal pattern across
hemispheres which differs from the seasonality that was previously proposed. Further studies
are required to identify exposure to medications and environmental factors associated with the
observed seasonality. Supporting Information S1 PRISMA Checklist. (DOC)
S1 Table. Excluded studies. (DOCX)
S2 Table. Study quality assessment. (DOCX)
S1 Text. Search Strategy. (DOCX) References 1. Bartlett JG (2002) Antibiotic-Associated Diarrhea. N Engl J Med 346: 334–339. PMID: 118215 2. Freeman J, Bauer MP, Baines SD, Corver J, Fawley WN, Goorhuis B, et al. (2010) The changing epide-
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March 16, 2015 Clostridium difficile Infection Seasonality Acknowledgments The authors would like to thank Professor Lutz von Müller, Dr. Alexander Halfmann and Dr. Kelly Reveles for kindly provide us with additional data from their studies. Author Contributions Conceived and designed the experiments: LY. Analyzed the data: LFK SM AC. Wrote the
paper: LFK SM LY JC DP TR AC. Conducted the systematic review: JC. PLOS ONE | DOI:10.1371/journal.pone.0120730
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In assisted reproduction by IVF or ICSI, the rate at which embryos develop to the blastocyst stage is influenced by the fertilization method used: a split IVF/ICSI study
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Journal of Assisted Reproduction and Genetics (2019) 36:647–654
https://doi.org/10.1007/s10815-018-1358-3 Journal of Assisted Reproduction and Genetics (2019) 36:647–654
https://doi.org/10.1007/s10815-018-1358-3 ASSISTED REPRODUCTION TECHNOLOGIES Abstract Purpose To compare in vitro fertilization (IVF) with intracytoplasmic sperm injection (ICSI) in regard to post-fertilization
development and outcome with the purpose of ascertaining the most effective fertilization method for assisted reproduction. Methods A retrospective cohort study of 136 split IVF/ICSI cycles (where sibling oocytes are fertilized by two different methods
using the same sperm sample). Results IVF-derived embryos developed to the blastocyst stage at a significantly faster rate than ICSI-derived embryos. There
was no significant difference in fertilization or livebirth rates between the two fertilization methods. Conclusions For patients with sperm progressive motility ≥1.0 × 106/ml (who usually constitute the majority of patients), no
significant difference between the two fertilization methods was found in regard to fertilization rate or livebirth rate. Remaining
factors influencing choice between the two methods appear to be restricted to convenience, financial considerations and concern
with regard to possible perpetuation of genetically linked infertility to future generations. Keywords IVF . ICSI . Embryo development Keywords IVF . ICSI . Embryo development In assisted reproduction by IVF or ICSI, the rate at which embryos
develop to the blastocyst stage is influenced by the fertilization method
used: a split IVF/ICSI study Barbara Speyer1,2
& Helen O’Neill1 & Wael Saab2 & Srividya Seshadri2 & Suzanne Cawood2 & Carleen Heath2 &
Matthew Gaunt2 & Paul Serhal2 er1,2
& Helen O’Neill1 & Wael Saab2 & Srividya Seshadri2 & Suzanne Cawood2 & Carleen Heath2
unt2 & Paul Serhal2 Received: 23 July 2018 /Accepted: 25 October 2018 /Published online: 9 January 2019
# The Author(s) 2019 * Barbara Speyer
betsmithuk@yahoo.co.uk 1
Institute for Women’s Health, University College London,
London, UK
2
Centre for Reproductive and Genetic Health, London, UK 1
Institute for Women’s Health, University College London,
London, UK Introduction [22] compared the three different fertilization procedures:
all-IVF, all-ICSI and split IVF/ICSI and, in support of
Bhattacharya et al. [2], found no significant difference in fertili-
zation rate between IVF and ICSI. For a single cycle, split IVF/
ICSI and all-ICSI were each associated with a 3.0 percentage
higher livebirth rate when compared with all-IVF. The authors
reached the conclusion that, for a single cycle, all-ICSI was not
justified due to the higher cost per livebirth. Introduction Previous successes or failures using either IVF or ICSI are
obviously relevant to future treatment. In the case of IVF,
unexpected complete fertilization failure (CFF) in an individ-
ual cycle is a well-known phenomenon and is a risk to the
success of IVF cycles. Opinion is divided as to whether these
isolated occurrences necessitate the universal use of ICSI in
assisted reproduction. There remains much support for the
view that IVF has a role when the sperm analysis shows no
severe deficiencies and where there is no history of previous
CFF [2, 6, 9]. In the field of assisted reproduction, the introduction of
intracytoplasmic sperm injection (ICSI) [16] has resulted in
a choice of fertilization method between conventional in vitro
fertilization by insemination (IVF) and fertilization by ICSI. Fertilization by insemination calls upon functions of the sperm
that are bypassed by injection directly into the oocyte. Therefore, the choice of the fertilization method for an indi-
vidual couple should largely depend upon the results of the
sperm analysis. Severe oligospermia (low sperm concentra-
tion), asthenozoospermia (low motility) or teratozoospermia
(abnormal morphology) indicate the use of ICSI. Another fac-
tor to be considered is the reproductive history of the couple. When there is uncertainty as to which fertilization method
to use, the option of split IVF/ICSI can be adopted. In this
method, approximately half of the sibling oocytes are random-
ly chosen to be fertilized by IVF and the remainder are fertil-
ized by ICSI. Comparing the fate of multiple oocytes from the
same cycle using the same sperm sample gives a valid com-
parison between fertilization methods, helping to plan the fu-
ture treatment of the couple. * Barbara Speyer
betsmithuk@yahoo.co.uk Some relatively early studies [1, 11] used split cycles mainly
for the purpose of comparing IVF and ICSI fertilization rates,
giving much attention to their use as a safeguard against CFF. In
many cases, it may have been assumed that once the oocyte was 648 J Assist Reprod Genet (2019) 36:647–654 suspension was kept in an incubator at 37 °C with a 6% carbon
dioxide atmosphere in preparation for IVF and ICSI. fertilized, the method of fertilization ceased to be relevant. However, the two fertilization methods are so different [12] that
the possibility of differences in outcome cannot be ignored. Vitek
et al. Patients This is a retrospective cohort study of the results of 136 split
IVF/ICSI cycles performed at the Centre for Reproduction
and Genetic Health (CRGH), London W1W 5QS between
2004 and 2018. The study was approved by the University
College London Ethics Committee, ethical approval number
05/Q0502/143. All 136 patients in the study gave written con-
sent and were attending the CRGH with problems of infertil-
ity. Each cycle included the transfer of either one or two fresh
embryos into the female patient’s uterus. Female patients were
< 43 years of age. All male patients had percentage motility ≥
27 and a sperm progressive motility concentration of ≥
1.0×10 6 /ml. ICSI insemination Incubation of the cumulus-oocyte complexes in the wells of the
Nunc dishes was continued in fertilization medium until denu-
dation, which was done 41 h after hCG. Denudation was
achieved through the use of cumulase (CooperSurgical, USA). ICSI was then done by standard procedures [5, 16]. The
prolonged incubation of the cumulus-oocyte complexes before
denudation gave the oocytes time to mature [23]. Even so, it was
found after denudation that a small percentage of oocytes (34
oocytes in total from 136 cycles) were still immature, and these
were termed Bpoorly maturing oocytes^. Since these oocytes
could not be fertilized they had to be discarded. A similar per-
centage of such oocytes was observed at the fertilization check
of the oocytes that had been subjected to the IVF insemination
process. Sperm-injected oocytes were placed into SAGE 1-step
medium with HSA and phenol red and incubated at 37 °C with
6% CO2. Fertilization checks were performed 15.5–17.5 h after
sperm injection. Incubation of fertilized embryos continued in
the SAGE medium. Couples who required gamete donation or cases where ei-
ther the male or female was found to have an abnormal blood
karyotype were excluded from the study. IVF and ICSI procedures The stimulation protocol has been described previously (Speyer
et al. 2010) [19]. When at least two leading follicles reached the
diameter of 18 mm, hCG was administered by injection. Dishes
for oocyte culture were prepared on the day of hCG injection by
placing 0.5 ml of fertilization medium into each well of 5-well
Nunc dishes (Fisher Scientific UK Ltd., Loughborough, UK)
overlaid with 0.5 ml Ovoil (Vitrolife, Gothenburg, Sweden). The dishes were kept at 37 °C with 6% CO2 to be ready for
oocyte retrieval, which was done 37 h after hCG. Each re-
trieved cumulus-oocyte complex was placed in the medium in
a well. The resulting wells were in two groups destined for IVF
and ICSI respectively. The numbers in the two groups were
made as equal as possible without discarding oocytes. In 82%
of cycles, the two numbers differed by only one oocyte. The present study aims, through the use of split IVF/ICSI
cycles, to explore the choice between the two main fertiliza-
tion methods with a view to finding whether or in what way
fertilization method affects post-fertilization embryo develop-
ment. Particular attention was given to rates of post-
fertilization development and livebirth outcome. A record
was kept of the history of each embryo, enabling comparison
of the state and outcome of embryos both before and after
transfer to the uterus. IVF insemination Incubation of the oocytes destined for IVF continued at 37 °C
and 6% CO2 before and after insemination, which was per-
formed 40 h after hCG. A volume of prepared sperm suspen-
sion sufficient to give a final concentration of 200,000 motile
sperm/ml was added to each well containing a cumulus-
oocyte complex. Incubation under the same conditions con-
tinued until 18–20 h after insemination, when fertilization
checks were done. Fertilized embryos were transferred to
SAGE 1-step medium with HSA and phenol red
(CooperSurgical) and incubated at 37 °C with 6% CO2. Sperm preparation After liquefaction and semen analysis, the semen sample was
centrifuged at 300g for 20 min in a 45% and 90% PureSperm
density gradient (Nidacon International, Gothenburg, Sweden). Dilutions were made with fertilization medium (Quinn’s
Advantage Fertilization (HTF) Medium, CooperSurgical,
Trumbull, CT, USA). The pellet was washed twice with 10-
min centrifugation each time and suspended in fertilization me-
dium. The sperm concentration was determined, and the J Assist Reprod Genet (2019) 36:647–654 649 Comparison of the incubation stages of IVF and ICSI Table 1
Clinical data on patients Data on patients
No. of couples
136
No. of cycles
136
Average female age (± SD)
35.0 (± 4.0)
Average male age (± SD)
39.2 (± 6.2)
Diagnosis
Male factor
27.9
Tubal disease
10.3
Ovulatory disorder
5.1
Endometriosis
5.1
Other uterine disorders
5.9
Polycystic ovaries
8.1
Unexplained
37.5
Data on sperm
Mean sperm conc. × 106/ml. (± SD)
31.4 (± 22.0)
Mean percentage motility (± SD)
55.3 (± 13.1)
Mean normal morphology
16.7 (± 12.4) Both methods started with retrieved oocyte-cumulus com-
plexes incubated in fertilization medium. In the case of IVF,
fertilization occurred in the same medium (beginning 40 h
after hCG) and ending at fertilization check (58–60 h after
hCG). Transfer of zygotes from fertilization medium to Sage
medium occurred at fertilization check. In the case of ICSI,
fertilization and transfer to SAGE medium both occurred 41 h
after hCG. With both methods, culture in SAGE medium con-
tinued until optimum embryo development was reached
around days 3–7 after fertilization. Statistics It was of interest to investigate the fate of the fertilized
embryos in order to detect any effect of the mode of fertiliza-
tion upon subsequent outcomes such as suitability for embryo
transfer to the female patient. In each of the 136 cycles, the
best quality one or two embryos regardless of fertilization
method were transferred. For each cycle, the fertilization
method (or methods in the case of mixed transfers) of the
transferred embryos was recorded. It was found that in
61(44.9%) of the 136 cycles, the transferred embryos were The SPSS software version 24 was used for comparison of
means by independent samples t test. For non-normal data
(Tables 2 and 3) the Mann-Whitney test was used. Embryo transfer Either one or two embryos were transferred, depending upon
the fertility and informed wishes of the patient. Fertilized em-
bryos were carefully inspected at the time of optimum devel-
opment. The embryos for transfer were chosen according to
their grading quality and state. Blastocysts, where present,
were chosen for transfer rather than earlier stages of develop-
ment. Blastocysts were graded using the Cornell grading sys-
tem [14] and the best-quality ones chosen for transfer, regard-
less of whether they were originally from IVF or ICSI. This
meant that in some cases (mixed transfers), one IVF and one
ICSI embryo were transferred together. Any good-quality em-
bryos not required were cryopreserved for possible use in
subsequent freeze/thawed embryo transfers. two of the 4 CFF cycles had a low (25% and 33%) fertilization
rate using ICSI. It was concluded that the sperm defect in these
two patients might be more extensive than in the other two
patients with CFF and affect fertilization by ICSI as well as by
IVF, and in fact, these two patients did not achieve a livebirth. The other two CFF patients, with ICSI fertilization rates
66.7% and 85.7%, achieved respectively a singleton and a
twin livebirth. The 4 CFF cycles were included in the main
study except where stated otherwise. Results Table 1 gives information on the 136 couples in the study, the
reasons for their infertility and the main features of their sperm
analyses. The diagnosis of male factor infertility was given if
the sperm analysis showed a sperm concentration of < 18
million/ml or a progressive motility of < 40%. Although it is
more usual to use only the ICSI method on male factor pa-
tients, use of a split cycle gives the chance of success to both
fertilization methods. Table 2
Fertilization rates
Fertilization method
Mean fertilization rate (%)
IVF
66.5 (± 25.8)
ICSI
64.1 (± 22.2)
IVF excluding CFF cycles
68.5 (± 23.4)
ICSI excluding CFF cycles
64.4 (± 22.0)
Mean fertilization rates. The total number of split IVF/ICSI cycles is 136
and the number of cycles with complete IVF fertilization failure (CFF) is
4. The difference P between IVF and ICSI fertilization rates was non-
significant regardless of whether or not the CFF cycles were included. The Mann-Whitney test confirmed non-significance between fertilization
rates (P = 0.182) Table 2
Fertilization rates
Fertilization method
Mean fertilization rate (%)
IVF
66.5 (± 25.8)
ICSI
64.1 (± 22.2)
IVF excluding CFF cycles
68.5 (± 23.4)
ICSI excluding CFF cycles
64.4 (± 22.0)
Mean fertilization rates. The total number of split IVF/ICSI cycles is 136
and the n mber of c cles
ith complete IVF fertili ation fail re (CFF) is Table 2 shows mean fertilization rates for the 136 split
cycles. There was no significant difference between IVF and
ICSI in fertilization rate whether or not the cycles with com-
plete IVF fertilization failure (CFF) were omitted from the
calculation. The omission of these 4 cycles was found to
slightly increase the mean fertilization rate for ICSI as well
as increasing that for IVF. This is explained by the fact that Mean fertilization rates. The total number of split IVF/ICSI cycles is 136
and the number of cycles with complete IVF fertilization failure (CFF) is
4. The difference P between IVF and ICSI fertilization rates was non-
significant regardless of whether or not the CFF cycles were included. The Mann-Whitney test confirmed non-significance between fertilization
rates (P = 0.182) Mean fertilization rates. The total number of split IVF/ICSI cycles is 136
and the number of cycles with complete IVF fertilization failure (CFF) is
4. Results The difference P between IVF and ICSI fertilization rates was non-
significant regardless of whether or not the CFF cycles were included. The Mann-Whitney test confirmed non-significance between fertilization
rates (P = 0.182) J Assist Reprod Genet (2019) 36:647–654 650 Table 3
Blastocyst formation in 136 split ivf/icsi cycles
IVF
ICSI
Significance P
Total number of embryos
665
611
NS
Total number of blastocysts 332 (49.9%) 287 (47.0%) NS
Average number of
blastocysts per cycle
2.44
2.11
NS
The total number of blastocysts formed after each fertilization method up
to and including the seventh day after fertilization. The Mann-Whitney
test confirmed non-significance between the number of blastocysts from
the two different fertilization rates (P = 0.202) question as to why was the number of cycles in which IVF-
fertilized embryos were transferred significantly higher than the
number of cycles in which ICSI-fertilized embryos were trans-
ferred? In this respect, the total numbers of blastocysts from all
136 cycles shown in Table 3 does not give a reliable indication of
the relative numbers of IVF-fertilized and ICSI-fertilized embry-
os transferred. The decisions as to which embryos to transfer
were dealt with one cycle at a time. In some cycles, a large
number of blastocysts were produced, and since only one or
two embryos were transferred, many blastocysts were cryopre-
served and lost to the calculation of total blastocyst number. Other cycles had no blastocysts, and the decision was based on
the quality of less-developed embryos. Data on the embryos
actually transferred gives a more direct picture of the embryos
chosen for best developmental stage and quality, and this infor-
mation is shown in Table 4. The total number of embryos trans-
ferred was 228. Of these, the number selected to be transferred as
IVF-fertilized only or as ICSI-fertilized only was 94 and 66
respectively. The difference in numbers is significant (P =
0.006). If, instead of the number of embryos, we consider the
number of blastocysts, we see that Table 4 includes 80 IVF-
derived blastocysts, 51 ICSI-derived blastocysts, and 39 mixed
blastocysts. Of the mixed transferred blastocysts, 20 were IVF-
derived and 19 ICSI-derived. Including these blastocysts, the
total number of IVF-derived and ICSI-derived transferred blas-
tocysts respectively was 80 + 20 and 51 + 19, i.e. 100 and 70. The difference between 100 and 70, both out of 228 is significant
(P = 0.004). Results In mixed transfers, the number of IVF-derived and
ICSI-derived embryos for each stage of development was equal The total number of blastocysts formed after each fertilization method up
to and including the seventh day after fertilization. The Mann-Whitney
test confirmed non-significance between the number of blastocysts from
the two different fertilization rates (P = 0.202) The total number of blastocysts formed after each fertilization method up
to and including the seventh day after fertilization. The Mann-Whitney
test confirmed non-significance between the number of blastocysts from
the two different fertilization rates (P = 0.202) IVF-fertilized, in 41 cycles (30.1%) they were ICSI-fertilized
and in the remaining 34 cycles (25.0%) (mixed transfers) one
IVF-fertilized embryo and one ICSI-fertilized embryo were
transferred together. The difference between the numbers of
IVF-fertilized (61) and ICSI-fertilized (41), both out of 136
cycles, was significant by t test (P = 0.012). IVF-fertilized, in 41 cycles (30.1%) they were ICSI-fertilized
and in the remaining 34 cycles (25.0%) (mixed transfers) one
IVF-fertilized embryo and one ICSI-fertilized embryo were
transferred together. The difference between the numbers of
IVF-fertilized (61) and ICSI-fertilized (41), both out of 136
cycles, was significant by t test (P = 0.012). In choosing embryos for transfer, it is the clinic’s policy to
transfer blastocysts in preference to morula- or cleavage-stage
embryos since they have been reported to yield higher pregnancy
rates [3, 10]. Therefore, the next step was to compare the total
numbers of IVF-derived and ICSI-derived blastocysts formed
during the period of blastocyst formation, which ended around
day 7 post-fertilization. The results are shown in Table 3. The
total numbers of blastocysts formed were non-significantly
higher for IVF fertilization (332) than for ICSI fertilization
(287). This lack of significance between the total numbers of
IVF-derived and ICSI-derived blastocysts formed raises the Table 4
Embryos transferred In 136 SPLIT IVF/ICSI cycles
Developmental stage
IVF
ICSI
Mixed
Blastocysts
80 (85.1)
51 (77.3)
39 (57.4)
Morula
5 (5.3)
3 (4.5)
5 (7.4)
Pre-morula
0 (0)
2 (3.0)
4 (5.9)
Cleavage
9 (9.6)
10 (15.2)
20 (29.4)
Total
94
66
68 Table 4
Embryos transferred In 136 SPLIT IVF/ICSI cycles The cycles in the table are the 136 split IVF/ICSI cycles listed in Table 1. Figures in brackets are percentages of the totals. All 228 embryos in the table
were transferred. Results The number of mor-
ulas was 2 for IVF-derived and 3 for ICSI-derived. Of the
20 mixed cleavage-stage embryos, 10 were derived from
each fertilization method. The high percentage of cleavage
stage embryos in the mixed column (Table 4) was associ-
ated with a relatively low level of livebirth events for this
column (Table 5). The evidence from Table 4 indicates that the embryol-
ogists, in choosing one or two embryos for transfer to the
female patient’s uterus, chose IVF-derived blastocysts sig-
nificantly more often than they chose ICSI-derived blas-
tocysts. An experienced embryologist judged the best
time to carry out embryo transfer, which was when further
incubation was unlikely to result in quality improvement. The preferred choice of IVF-derived blastocysts could be
explained if IVF-derived embryos developed faster to the
blastocyst stage than ICSI-derived embryos, yielding a
better choice of blastocyst at the time of embryo transfer. To test this assumption, we counted the number of IVF-
derived and ICSI-derived blastocysts recorded on the day
of first blastocyst appearance. The 22 cycles in which
neither fertilization method produced blastocysts and also
the 27 cycles in which an equal number of IVF-derived
and ICSI-derived blastocysts were recorded on the day of
first blastocyst appearance were excluded from the Table 5
Outcomes from 136 split IVF/ICSI cycles
Origin of transferred embryos
IVF-derived
ICSI-derived
Mixed
No. of cycles
61
41
34
No. of singleton live births
26 (42.6)
16 (39.0)
10 (29.4)
No. of twin live births
10 (16.4)*
10 (24.4)*
3 (8.8)
No. of biochemical pregnancies
4 (6.6)
2 (4.9)
4 (11.8)
No. of fetal heartbeat miscarriages
4 (6.6)
4 (9.8) ◊
2 (5.9)
No. of negative pregnancy cycles
17 (27.9)
9 (22.0)
15 (44.1)
Total live birth events
36 (59.0)
26 (63.4)
13 (38.2) Table 5
Outcomes from 136 split IVF/ICSI cycles Embryo transfers in the table were from the 136 split IVF/ICSI cycles listed in Table 1. The transferred embryos originated from one of 3 options: IVF-
derived only, ICSI-derived only, or the third option (mixed transfer) from one IVF-derived embryo together with one ICSI-derived embryo. The choice of
embryos to transfer was based on developmental stage and quality. Livebirth events are the sum of singleton and twin livebirths. Figures in brackets are
percentages of the totals. Results Either one or two embryos were transferred per cycle, depending upon the fertility and the informed wishes of the couple. The best
embryos available in each cycle with regard to developmental stage and quality were chosen for transfer. The options for transfer were (1) IVF-derived
embryos only, (2) ICSI-derived embryos only or (3) (mixed transfer) one IVF-derived embryo and one ICSI-derived embryo transferred together In calculating the significant difference in the number of IVF-derived and ICSI-derived embryos transferred one can either omit or include the embryos of
the mixed transfers. Of these 68 mixed embryos, 34 were IVF-derived and 34 ICSI-derived. Of the 39 mixed blastocysts, 20 were IVF-derived and 19
ICSI-derived (a) Calculations omitting mixed transfers
IVF-derived ICSI-derived Significance P
Embryos transferred
(b) Calculations including mixed transfers
Embryos transferred
Blastocysts transferred
94
66
0.006
Blastocysts transferred
80
51
<0.001
128
100
0.046
100
70
0.004 J Assist Reprod Genet (2019) 36:647–654 651 calculation of significance. The calculation was performed
firstly including the 4 CFF cycles and secondly excluding
the 4 CFF cycles (see Table 6). Recorded details of the
136 cycles were examined and the origin of each blasto-
cyst present on the day when the first blastocyst(s) ap-
peared was noted. Lists were made of cycles in which
IVF-derived blastocysts outnumbered ICSI-derived blas-
tocysts and of cycles in which ICSI-derived blastocysts
outnumbered IVF-derived blastocysts. Table 6 shows that
when the 4 CFF cycles were excluded from the calcula-
tion, there was a significant difference (P = 0.012) in fa-
vor of IVF-derived blastocysts (on the day in which blas-
tocysts were first observed) between the number of cycles
in which IVF-derived blastocysts predominated and the
number of cycles in which ICSI-derived blastocysts pre-
dominated. This indicates that under the conditions of the
study, there was a significant difference in favor of IVF-
derived embryos between IVF-derived and ICSI-derived
embryos in the rate of development to the blastocyst
stage. This observation explains the significantly greater
number of IVF-derived embryos transferred in the 136
IVF/ICSI cycles compared to the number of ICSI-
derived embryos. On the chosen day of transfer, IVF-
derived blastocysts may have been the only blastocysts
present or may have outnumbered ICSI-derived blasto-
cysts, making it likely that they were chosen for transfer. or close to equal. Total embryo count was 34 for each fertil-
ization method in the mixed column. Results The differences between outcomes are as follows: Total livebirth events (%)
Significance P
IVF-derived v ICSI-derived
59.0 63.4
0.470
Not significant
IVF-derived v mixed
59.0 38.2
0.003
Significant
ICSI-derived v mixed
63.4 38.2
<0.001
Significant *One of the IVF-derived twin livebirths originated in one sac and resulted from the transfer of one blastocyst only. Two of the ICSI-derived twin
livebirths and one of the IVF-derived twin livebirths each resulted from the transfer of two cleavage stage embryos *One of the IVF-derived twin livebirths originated in one sac and resulted from the transfer of one blastocyst only. Two of the ICSI-derived twin
livebirths and one of the IVF-derived twin livebirths each resulted from the transfer of two cleavage stage embryos
◊ One of these was an ectopic pregnancy J Assist Reprod Genet (2019) 36:647–654 652 Table 6
Effect of including CFF cycles
Total
number
of
cycles
Number of
cycles in
which IVF-
derived blas-
tocysts pre-
dominated
Number of cycles
in which ICSI-
derived blasto-
cysts predominat-
ed
Significance
of difference
P
CFF
cycles
included
136
51
36
0.051
CFF cycles
excluded
132
51
32
0.012
The table shows the effect on the significance of fertilization method of
adding 4 complete IVF fertilization failure cycles (CFF cycles) into a
group of 132 non-CFF split IVF/ICSI cycles. For each cycle, the recorded
number of IVF-derived and ICSI-derived blastocysts present on the day
of first blastocyst appearance was made. The table was constructed from
two lists of cycles, in the first of which the number of IVF-derived blas-
tocysts exceeded that of ICSI-derived blastocysts and in the second of
which the opposite occurred Table 6
Effect of including CFF cycles quality of each embryo in the cycle. The number of cycles in
which IVF-fertilized embryos were transferred was signifi-
cantly higher than the number of cycles in which ICSI-
fertilized embryos were transferred. This was especially no-
ticeable in the significantly higher number of IVF-fertilized
blastocysts transferred compared to the number of ICSI-
fertilized blastocysts. An explanation for these findings is that
in many cycles, the IVF-fertilized embryos were further ahead
in their development than were the ICSI-fertilized embryos,
and were therefore chosen for transfer. Shoukir et al. [17] also
found that the rate of blastocyst development was significantly
higher (47.3%) in IVF-derived embryos than the rate in ICSI-
derived embryos (26.8%). Results They state that the embryos obtain-
ed by IVF fertilization were of significantly better quality than
the embryos obtained by ICSI fertilization. In their discussion,
the authors review problems that may arise when abnormal
spermatozoa enter oocytes by the process of ICSI. The table shows the effect on the significance of fertilization method of
adding 4 complete IVF fertilization failure cycles (CFF cycles) into a
group of 132 non-CFF split IVF/ICSI cycles. For each cycle, the recorded
number of IVF-derived and ICSI-derived blastocysts present on the day
of first blastocyst appearance was made. The table was constructed from
two lists of cycles, in the first of which the number of IVF-derived blas-
tocysts exceeded that of ICSI-derived blastocysts and in the second of
which the opposite occurred It might be expected that if the IVF-fertilized embryos had
a tendency to be more rapid in their development than the
ICSI-fertilized embryos, then the IVF-fertilized embryos
might also result in a higher percentage of livebirths, but in-
stead, the ICSI-fertilized embryos resulted in a non-
significantly higher percentage of livebirth events than the
IVF-fertilized embryos. It is interesting that two of the ICSI-
derived and one of the IVF-derived twin livebirths in Table 6
each resulted from the transfer of two cleavage-stage embryos. These observations indicate that although ICSI-fertilized em-
bryos may have been slower to develop than the correspond-
ing IVF-fertilized embryos, once they had reached a certain
stage of development, they were competent in proceeding to
implantation and livebirth. Exactly what events in its devel-
opment give an embryo the ability to proceed to livebirth after
transfer to the uterus is uncertain. The 3 pairs of cleavage stage
embryos in the IVF-derived and ICSI-derived columns that
gave rise to 3 twin livebirths in this study comprised one 6-
cell, four 8-cell and one 9-cell embryo. This suggests that at
least 6 cells in the embryo may be obligatory for livebirth to
result but 8 cells give a better likelihood. The outcomes of the cycles that received IVF-derived em-
bryos, ICSI-derived embryos and embryos from both methods
of fertilization (mixed transfers) are shown in Table 5. The
choice of whether to transfer one or two embryos to the patient
largely depended upon the fertility of the patient, the less
fertile patients being more likely to receive two embryos. Results For this reason, the outcomes in Table 5 pay no regard to
whether one or two embryos were transferred. Statistical anal-
ysis showed no significant difference (P = 0.47) between total
live birth events (59% and 63.4%) derived from IVF and ICSI
fertilization respectively, although both were significantly
higher than mixed transfers (P = 0.003 and < 0.001 respective-
ly). Thus, there is no significant evidence from the data in
Table 5 that either IVF or ICSI fertilization is superior to the
other in terms of producing a livebirth. The question arises as to how to choose between IVF and
ICSI in situations where it may be inconvenient to carry out a
split cycle. Often, a value is set for concentration or motility
below which ICSI is always chosen as the fertilization method,
but this method is not ideal because cut-off points for IVF fer-
tilization need to be decided. The results from the present study
show that 7 IVF-derived livebirths resulted from patients whose
sperm concentration was 14–19 million per ml, and a frequent
cut-off point is 20 million per ml, which would have excluded
these IVF-derived livebirths, although they might have occurred
if ICSI-derived embryos had been chosen for transfer. The finding that blastocyst transfer is usually more success-
ful than the transfer of embryos at earlier stages of develop-
ment [3, 10] was confirmed in this study. Mixed blastocysts
comprised only 57.4% of total mixed transferred embryos
(Table 4), whereas the percentage of blastocysts in IVF-
derived and ICSI-derived transferred embryos was 85.1 and
77.3% respectively. The significance of the difference be-
tween 57.4% and the IVF and ICSI percentages is < 0.001
and 0.003 respectively. The significantly smaller percentage
of blastocysts in the mixed transferred embryos compared to
the IVF-derived and ICSI-derived embryos could explain the
lower percentage of livebirth events from the mixed embryos
seen in Table 5. The 20 cleavage stage mixed embryos result-
ed in no twin livebirths and only 2 of the 10 singleton
livebirths in the mixed column. A pair of pre-morulas resulted Discussion In each cycle, the decision had to be made as to which embry-
os should be transferred to the female patient’s uterus. This
was decided on the basis of the degree of development and 653 J Assist Reprod Genet (2019) 36:647–654 in one singleton livebirth, and the remaining 7 singleton
livebirths all resulted from blastocysts. ICSI fertilizations, the IVF-fertilized embryos are more likely to
receive a better quality spermatozoon, and their developmental
progress toward blastocyst formation would therefore proceed
more rapidly than that of the ICSI-fertilized embryos. The faster
development rate of the IVF-fertilized embryos might simply
be a matter of whether the spermatozoon is chosen by natural
events or by human participation. The advent of ICSI led to a number of studies comparing
post-fertilization outcomes from IVF- and ICSI-fertilized em-
bryos, some of which used sibling oocytes in split cycles as in
the present study. Two reports, Chiamchanya et al. [7] (who
used IVF at higher than the usual sperm concentration) and
Shveiky et al. [18] used split cycles, and both studies found no
significant difference in implantation rate or pregnancy rate
between IVF-derived and ICSI-derived embryos. Staessen
et al. [20], working with IVF/ICSI split cycles of 47 couples,
record that 42 h after fertilization, more ICSI-fertilized embry-
os than IVF-fertilized embryos had reached the 4-cell stage
(P < 0.001) and more IVF-fertilized embryos than ICSI-
fertilized embryos were left behind at the 2-cell stage (P <
0.02). Lemmen et al. [15] using a time-lapse monitoring sys-
tem supported this observation. The faster development of
ICSI-derived embryos is reported to last until the 5-cell [20]
or 6-cell [13] stage. This theory, that IVF-derived embryos are fertilized by
sperm superior to those fertilizing ICSI, has an advantage over
any attempt to explain the slower rate of blastocyst formation
by ICSI on proposed delays related to the ICSI process. The
superior-sperm theory explains why ICSI-derived embryos
start their development faster than IVF-derived embryos and
only become slower at the 5–6-cell stage when the male genes
fully participate in the genome [4, 13, 15, 20]. In this study, we found no significant difference be-
tween IVF and ICSI in either fertilization rate or livebirth
rate. Discussion However, the success of ICSI in equalling or exceed-
ing the livebirth rate from IVF, and (an observation exter-
nal to this paper) achieving livebirths when sperm pro-
gressive motility is close to zero, draws attention away
from possible or likely infertility in male offspring
resulting from its use. The continuing use of IVF where
indicated by the history, diagnosis and general situation of
the infertile couple is justified by considerations of con-
venience and expense and, most importantly, by its supe-
riority over ICSI in bequeathing ongoing fertility to future
generations. The evidence described in our present study, which indi-
cates that IVF-derived embryos develop faster than ICSI-
derived embryos to the blastocyst stage is based on the signif-
icantly greater number of IVF-derived blastocysts compared
to ICSI-derived blastocysts on the day when blastocysts were
first seen. This difference in development rate resulted in a
greater number of IVF-derived embryos available for transfer. This situation applies to the later phase of embryo develop-
ment when the embryo has ceased to rely upon maternal tran-
scripts and is fully controlled by its own genome. This hap-
pens at a time between the four-cell and eight-cell embryo
stages [4, 21]. Open Access This article is distributed under the terms of the Creative
Commons Attribution 4.0 International License (http://
creativecommons.org/licenses/by/4.0/), which permits unrestricted use,
distribution, and reproduction in any medium, provided you give appro-
priate credit to the original author(s) and the source, provide a link to the
Creative Commons license, and indicate if changes were made. Many research studies have compared the two fertilization
methods having one set of patients for fertilization by IVF and
another set of patients, perhaps with poorer quality sperm, for
fertilization by ICSI. Care is needed in the interpretation of this
type of study, and it is important that the oocytes destined for
ICSI are allowed time in contact with their cumulus cells before
denudation [23]. These studies can yield useful information
however. Dumoulin et al. [8] carried out the widely used pro-
cedure of fertilizing couples with poor sperm by ICSI and cou-
ples with good-quality sperm by IVF. They found that fertili-
zation by injection with poor-quality sperm had no effect on
embryo development up to day 3 after fertilization (the time of
reliance on maternal transcripts). Discussion However, at later stages of
development, when the embryonic genome is in control, the
original injection with poor-quality sperm had a marked ad-
verse effect on embryo development. IVF-fertilized embryos
would probably be affected in the same way if an inferior sper-
matozoon had previously entered the oocyte. However, in the
case of IVF, competition between spermatozoa exists, and
better-quality spermatozoa are more likely to achieve fertiliza-
tion of an oocyte than those of lower quality. Thus even in split
cycles, where the same sperm sample is used for the IVF and Publisher’s Note Springer Nature remains neutral with regard to juris-
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Influence of nursing staff attitudes and characteristics on the use of coercive measures in acute mental health services—A systematic review
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Download date:24 Oct 2024 Influence of nursing staff attitudes and characteristics on the use
of coercive measures in acute mental health services-A
systematic review Influence of nursing staff attitudes and characteristics on the use
of coercive measures in acute mental health services-A
systematic review Influence of nursing staff attitudes and characteristics on the use
of coercive measures in acute mental health services-A
systematic review Influence of nursing staff attitudes and characteristics on the use
of coercive measures in acute mental health services-A
systematic review R E V I E W A R T I C L E What is known on the subject?: What is known on the subject?: • Aggressive behaviour is a major problem in clinical practice of mental health care
and can result in the use of coercive measures. 2ACHIEVE Centre of Applied Research,
Faculty of Health, Amsterdam University of
Applied Sciences, Amsterdam, Netherlands 2ACHIEVE Centre of Applied Research,
Faculty of Health, Amsterdam University of
Applied Sciences, Amsterdam, Netherlands • Coercive measures are dangerous for psychiatric patients and international men-
tal healthcare works on the elimination of these interventions. 3Department of Clinical Psychology, University of Amsterdam, Amsterdam,
Netherlands • There is no previous review that summarizes the attitude of nursing staff towards
coercive measures and the influence of nursing staff characteristics on attitude
towards and the use of coercive measures. | 1
wileyonlinelibrary.com/journal/jpm J Psychiatr Ment Health Nurs. 2020;00:1–14. Influence of nursing staff attitudes and characteristics on the
use of coercive measures in acute mental health services—A
systematic review Paul Doedens1,2
| Jentien Vermeulen1
| Lindy-Lou Boyette3 | Corine Latour2 |
Lieuwe de Haan1 1Department of Psychiatry, Amsterdam
University Medical Centers, location
Academic Medical Center, Amsterdam,
Netherlands Accessible summary What is known on the subject?: Author(s)
Doedens, Paul; Vermeulen, Jentien; Boyette, Lindy-Lou; Latour, Corine; de Haan, Lieuwe
DOI
10.1111/jpm.12586
Publication date
2020
Document Version
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Published in
Journal of Psychiatric and Mental Health Nursing
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Citation for published version (APA):
Doedens, P., Vermeulen, J., Boyette, L.-L., Latour, C., & de Haan, L.
(2020). Influence of nursing staff attitudes and characteristics on the
use of coercive measures in acute mental health services-A systematic
review. Journal of Psychiatric and Mental Health Nursing, 27(4), 446-
459. https://doi.org/10.1111/jpm.12586 Citation for published version (APA):
Doedens, P., Vermeulen, J., Boyette, L.-L., Latour, C., & de Haan, L. (2020). Influence of nursing staff attitudes and characteristics on the
use of coercive measures in acute mental health services-A systematic
review. Journal of Psychiatric and Mental Health Nursing, 27(4), 446-
459. https://doi.org/10.1111/jpm.12586 Citation for published version (APA):
Doedens, P., Vermeulen, J., Boyette, L.-L., Latour, C., & de Haan, L. (2020). Influence of nursing staff attitudes and characteristics on the
use of coercive measures in acute mental health services-A systematic
review. Journal of Psychiatric and Mental Health Nursing, 27(4), 446-
459. https://doi.org/10.1111/jpm.12586 Citation for published version (APA):
Doedens, P., Vermeulen, J., Boyette, L.-L., Latour, C., & de Haan, L. (2020). Influence of nursing staff attitudes and characteristics on the
use of coercive measures in acute mental health services-A systematic
review. Journal of Psychiatric and Mental Health Nursing, 27(4), 446-
459. https://doi.org/10.1111/jpm.12586 General rights
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DOI 10 1111/j
12586 Received: 12 November 2019 | Revised: 20 December 2019 | Accepted: 21 December 2019
DOI: 10.1111/jpm.12586 1 | INTRODUCTION (Bierbooms, Lorenz-Artz, Pols, & Bongers, 2017; Bowers, 2014;
Duxbury et al., 2019; Lombardo et al., 2018). 1 To help prevent the use of coercive measures, it is important to
know about variables that are predictive for its use. In their system-
atic review on patient and staff characteristics associated with higher
use of restraint, Beghi, Peroni, Gabola, Rossetti, and Cornaggia (2013)
reported that male gender, young age, foreign ethnicity, involuntary
admission, diagnosis of schizophrenia and presence of male staff were
variables associated with more use of restraint. Laiho et al. (2013)
described the influence of the previous experience of nurses with
coercion on the decision to use coercive measures. The attitude of
nurses towards coercive measures is also important. In their system-
atic review on nurses’ attitudes towards coercion, Happell and Harrow
(2010) found a contradiction between practice of seclusion and at-
titudes and beliefs of nurses about its efficacy and appropriateness. Nurses acknowledged that seclusion had a negative impact on service
users, but inpatient violence justified its use (Happell & Harrow, 2010). This is in line with other review studies, such as Riahi, Thomson, and
Duxbury (2016) and Laukkanen, Vehviläinen-Julkunen, Louheranta,
and Kuosmanen (2019) who concluded that coercive measures are still
seen as necessary measure of “last resort,” although the attitude of
nurses is turning increasingly negative. Furthermore, Riahi et al. (2016)
suggest that staff composition and nurses’ perception are important
themes in the decision-making process towards the use of coercive
measures. Happell and Harrow (2010) suggest that future research
needs to consider staff characteristics together with attitude towards
seclusion. Currently, a systematic review that evaluates both the Aggressive behaviour is a broad behavioural construct that in-
cludes the concept of violence and causes safety issues in mental
health care (Gaynes et al., 2017; Liu, 2004). The definition of vio-
lence is an act including physical force such as slapping, punching,
kicking and biting; use of an object as a weapon; aggressive be-
haviour such as spitting, scratching and pinching; or a verbal threat
involving no physical contact (Nolan, Soares, Dallender, Thomsen,
& Arnetz, 2001). The prevalence of physical violence of patients
during psychiatric admission differs in Western countries between
7.5% and 15% (Cornaggia, Beghi, Pavone, & Barale, 2011). Correspondence p
Paul Doedens, Amsterdam University
Medical Centers, location Academic
Medical Center, P.O. Box 22660,
1100DD Amsterdam (room PB0-416), the
Netherlands. What the paper adds to existing knowledge?: • The attitude of nurses shifted from a therapeutic paradigm (coercive measures
have positive effects on patients) to a safety paradigm (coercive measures are
undesirable, but necessary for the wards’ safety). Email: p.doedens@amsterdamumc.nl • Nurses express the need for less coercive interventions to prevent seclusion and
restraint, but their perception of intrusiveness is influenced by how often they use
specific coercive measures. • The knowledge from scientific literature on the influence of nursing staff on coer-
cive measures is highly inconclusive, although the feeling of safety of nurses might
prove to be promising for further research. What are the implications for practice?: • There is need for increased attention specifically for the feeling of safety of nurses,
to better equip nurses for their difficult work on acute mental health wards. Introduction: The use of coercive measures generally has negative effects on pa-
tients. To help prevent its use, professionals need insight into what nurses believe
about coercion and which staff determinants may influence its application. There is
need for an integrated review on both attitude and influence of nurses on the use of
coercion. J Psychiatr Ment Health Nurs. 2020;00:1–14.
| 1
wileyonlinelibrary.com/journal/jpm
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. © 2020 The Authors. Journal of Psychiatric and Mental Health Nursing published by John Wiley & Sons Ltd 2 | 2 DOEDENS et al. Aim: To summarize literature concerning attitude of nurses towards coercive meas-
ures and the influence of staff characteristics on the use of coercive measures. Method: Systematic review. Results: The attitude of nurses changed during the last two decades from a thera-
peutic to a safety paradigm. Nurses currently view coercive measures as undesirable,
but necessary to deal with aggression. Nurses express the need for less intrusive
interventions, although familiarity probably influences its perceived intrusiveness. Literature on the relation between staff characteristics and coercive measures is
inconclusive. Discussion: Nurses perceive coercive measures as unwanted but still necessary to
maintain safety on psychiatric wards. Focussing on the determinants of perception of
safety might be a promising direction for future research. K E Y W O R D S coercion, nurse role, safety and security, seclusion and restraint, systematic literature review Correspondence Implications for practice: Mental health care could improve the focus on the con-
structs of perceived safety and familiarity with alternative interventions to protect
patients from unnecessary use of coercive interventions. 3.4 | Assessment of the risk of bias We used the Quality in Prognostic Studies (QUIPS) tool (Hayden,
van der Windt, Cartwright, Cote, & Bombardier, 2013) for cohort
studies, the Newcastle–Ottawa Scale (NOS) (Wells et al., 2000) for
case–control studies and the Consolidated criteria for reporting
qualitative research (COREQ) (Tong, Sainsbury, & Craig, 2007) for
qualitative research. 3.1 | Design We performed a systematic review and used the PRISMA state-
ment to guide our reporting (Moher, Liberati, Tetzlaff, & Altman,
2009). We defined attitude towards coercive measures according
to Bowers et al. (2007) p.358 as “the pattern of beliefs, judge-
ments and feelings about coercive measures.” We divided nursing
staff characteristics into individual characteristics (e.g., gender,
age, personality traits), professional characteristics (e.g., educa-
tion, work experience) and organizational characteristics (e.g.,
staff–patient ratio). discussion. In case of disagreement, the reviewers consulted a third
reviewer (CL). attitude of nurses and the influence of nursing staff characteristics
related to coercive measures is lacking. attitude of nurses and the influence of nursing staff characteristics
related to coercive measures is lacking. We selected studies based on inclusion and exclusion criteria. Inclusion criteria concerning study design were cohort studies,
case–control studies, case series, cross-sectional studies, surveys
and qualitative studies on the attitude of nursing staff towards
coercive measures and/or the influence of nursing staff character-
istics on the use of one or more coercive measures (seclusion, me-
chanical restraint, physical restraint and compulsory medication). We included studies performed in acute mental health inpatient
services or psychiatric facilities in general or academic hospitals
that cared for psychiatric patients with primary diagnosis of axis I
or II of the DSM-IV-TR (American Psychiatric Association, 2000),
except addiction disorders and learning disabilities or their equiv-
alent in the DSM-5 (American Psychiatric Association, 2013). Studies that included also other professionals (such as physicians)
and other settings (such as forensic wards) were included if the
majority (>50%) of the staff members or settings met our inclusion
criteria. We excluded studies performed solely in forensic, child,
adolescent and geriatric psychiatry, in general hospital wards,
emergency departments, nursing homes or with an outpatient pa-
tient population. We excluded studies that addressed aggressive
behaviour as outcome measure. We also excluded reviews, case
reports, theses, conference abstracts and non-empirical publica-
tions, such as editorials. 3.2 | Search We performed electronic searches in MEDLINE (via OvidSP,
1946—14 March 2019), Embase (via OvidSP, 1947—14 March
2019), PsycINFO (via OvidSP 1880—14 March 2019) and CINAHL
Plus (1937—14 March 2019). We describe the full search strategy
in Data S1. A clinical librarian assisted with our search. We used
no restrictions on language or publication date. We searched ref-
erence lists of previous reviews and included studies to find addi-
tional publications. We also searched trial registers for registered
cohort studies. 3.5 | Data extraction and analysis Two independent reviewers (PD & JV) performed the data extrac-
tion with a standardized form. Studies that described the attitude
of nurses were mostly qualitative or survey studies, and the results
were not suitable for statistical pooling. We carefully read the stud-
ies and extracted important themes from these studies indepen-
dently. Thereafter, we discussed the interpretation of the qualitative
findings. Subsequently, we extracted descriptive themes from the
analysis of the qualitative studies based on consensus between the
reviewers and combined these with the results from the surveys. We observed that literature on nursing staff characteristics had
high levels of heterogeneity, which made it unlikely that perform-
ing a meta-analysis would be appropriate. We summarized the most
important results of the included studies. We extracted data on the 2 | AIMS The aim of this paper is to summarize scientific literature con-
cerning the attitude of nurses towards coercive measures and the
influence of nursing staff characteristics on both the use of and
the attitude towards coercive measures in acute mental health
services. Our research questions are as follows: (a) What are the
attitudes of psychiatric nurses towards use of coercive measures? and (b) Which individual or team nursing staff characteristics are
associated with the use of coercive measures and with the atti-
tude of nurses towards coercive measures in acute mental health
services? 1 | INTRODUCTION To pro-
tect patients and staff on psychiatric wards from harm caused by
violence, professionals use coercive measures, such as seclusion,
restraint and compulsory medication (Cowman, Bjorkdahl, Clarke,
Gethin, & Maguire, 2017). In Europe, some countries use seclusion
as a “preferred” intervention of last resort in case of dangerous
situations, while others resort to physical or mechanical restraint
(Bak & Aggernaes, 2012). Coercive measures have no thera-
peutic value and can result in post-traumatic stress and severe
physical injuries for patients (Frueh et al., 2005; Nath & Marcus,
2006; Rakhmatullina, Taub, & Jacob, 2013; Sailas & Fenton, 2000;
Steinert, Birk, Flammer, & Bergk, 2013). Consequently, prevention
of coercive measures has become a priority of care profession-
als, researchers and policymakers in mental health services. The
international mental health community developed several qual-
ity improvement projects in the last few years to diminish its use 3 DOEDENS et al. |
FI G U R E 1 PRISMA flow diagram
Records identified through database
searching
(n = 10649)
MEDLINE:
n = 3,312
Embase:
n = 2,239
PsycINFO:
n = 3,478
CINAHL:
n = 1,620
Additional records identified
from trial registers
(n = 0)
Records after duplicates removed
(n = 7,517)
Records excluded
(n = 7,342)
Full-text articles assessed
for eligibility
(n = 175)
Full-text articles excluded,
with reasons:
(n = 102)
Publication type: 10
No full text available: 8
Duplicate: 11
Design: 6
Setting: 23
Participants: 8
Determinants: 27
Outcomes: 9
Full-text articles
derived from
reference lists
(n = 11)
Studies included in
qualitative synthesis
(n = 84)
Screening
Included
Eligibility
n
o
it
a
c
ifit
n
e
d
I FI G U R E 1 PRISMA flow diagram Additional records identified
from trial registers
(n = 0) Records after duplicates removed
(n = 7,517) Records excluded
(n = 7,342) Full-text articles excluded,
with reasons:
(n = 102)
Publication type: 10
No full text available: 8
Duplicate: 11
Design: 6
Setting: 23
Participants: 8
Determinants: 27
Outcomes: 9 Included Studies included in
qualitative synthesis
(n = 84) research question, design, sample size, population, setting and out-
come measures from the included studies. research question, design, sample size, population, setting and out-
come measures from the included studies. 22 were qualitative studies. These studies originated from 25 different
countries. We provide an overview of the included studies in Data S2. The quantitative studies showed large clinical and methodological
heterogeneity. Most of the studies were cross-sectional studies or sur-
veys based on questionnaires. Several of these studies used self-de-
veloped questionnaires of which the psychometric properties were
unknown. Others used validated questionnaires, mostly the Attitudes
Toward Seclusion Survey (Heyman, 1987) and the Attitudes to
Containment Measures Questionnaire (Bowers, Alexander, Simpson,
Ryan, & Carr-Walker, 2004). Sample size varied from very small (e.g.,
questionnaire administered with n = 13 nurses (Tooke & Brown, 1992))
to very large (e.g., cross-sectional study with n = 11,128 admissions
over 136 psychiatric wards (Bowers, 2009)). The available cohort stud-
ies and case–control studies often had methodological limitations, such
as small sample sizes, retrospective design, limited information on the
sampling procedure and data collection on a single ward or hospital. Most of the studies from the eighties and early nineties presented no
comprehensive description of the method, statistics and results. The
majority of the qualitative studies were of moderate quality. The com-
prehensiveness of reporting of qualitative studies showed substantial
improvement in the last decades, especially in methodological rigour. 4.1 | Search results and quality assessment The initial search resulted in 7,517 references. After the selection
process, we included 84 publications (Figure 1). Among these were
papers written in English (78), Dutch (2), German (2) and French (2). Sixty of these papers were reported on the attitudes of nurses and
31 papers reported on the influence of nursing staff characteristics. The data of a large cross-sectional study from the United Kingdom,
named City-128, accounted for seven publications (Bowers, 2009;
Bowers & Crowder, 2012; Bowers, Nijman, Simpson, & Jones, 2011;
Bowers, Stewart, Papadopoulos, & Iennaco, 2013; Bowers et al., 2010;
Bowers, Van Der Merwe, Paterson, & Stewart, 2012; Whittington,
Bowers, Nolan, Simpson, & Neil, 2009). A cross-sectional study from
Norway accounted for two publications (Husum, Bjorngaard, Finset,
& Ruud, 2010, 2011), and a survey from Australia accounted for two
publications (Happell & Koehn, 2010, 2011). These papers were not
duplicates, but described different analyses based on a single, large
data set. Therefore, we included 76 unique studies in our review, of
which four were prospective cohort studies, five were retrospective
cohort studies, four were case–control studies, one was a mixed-
method study, nine were cross-sectional studies, 31 were surveys and 3.3 | Study selection We performed the first selection based on title and abstract. We
subsequently retrieved the full text of the included studies for the
final assessment of eligibility. Two reviewers (PD and JV) performed
the selection independently and settled disagreements through DOEDENS et al. 4.2.2 | Need for less intrusive alternative
interventions Our second theme observed in the studies about nursing staff's at-
titude was the need for alternative interventions to maintain the
safety of patients and staff on psychiatric wards. After 2010, reports that supported the therapeutic paradigm
became scarce, although it seems clear that a minority of nurses
still view coercive measures as calming for specific types of patients
(Fereidooni Moghadam, Fallahi Khoshknab, & Pazargadi, 2014;
Korkeila, Koivisto, Paavilainen, & Kylma, 2016; Larsen & Terkelsen,
2014). Differences of opinion and moral dilemmas among nurses
were reported (Goulet & Larue, 2017; Korkeila et al., 2016; Larsen
& Terkelsen, 2014). The shift from the treatment to the safety paradigm is a key fac-
tor in the need for alternatives. Despite the negative consequences
and feelings, nurses feared elimination of coercive measures as a
tool for dealing with aggressive behaviour and expressed concerns
that society will blame them in the future for using coercion and for
the negative consequences of not using coercion (Muir-Cochrane et
al., 2018). Because of the perceived necessity of using coercive mea-
sures, alternative interventions are vital to align with the ambition to
diminish their use from mental health care. Specifically, nurses seem
to perceive the severity of coercive interventions as something that
needs attention. An early example of the safety paradigm was DiFabio (1981),
who reported that although nurses had numerous emotional and
negative experiences with restraint, its use was necessary to con-
trol patients’ behaviour in case of dangerous situations. Lendemeijer
(1997) stated that the safety of psychiatric wards prevailed over the
individual patient's interest and therefore seclusion was required. The necessity of using seclusion and other coercive measures in
case of aggressive behaviour, despite doubts on the therapeutic ef-
fect, was also reported by several other authors during the nineties
(De Cangas, 1993; Holzworth & Wills, 1999; Muir-Cochrane, 1996;
Olofsson, Gilje, Jacobsson, & Norberg, 1998). In the following de-
cade, nurses reported feelings such as disapproval, failure, guilt and
regret after using coercive measures (Bonner, Lowe, Rawcliffe, &
Wellman, 2002; Gelkopf et al., 2009; Haglund, Von Knorring, & Von
Essen, 2003; Marangos-Frost & Wells, 2000; Roberts et al., 2009;
Wynaden et al., 2001; Wynn, 2003). Bigwood and Crowe (2008)
stated that physical restraint was undesirable but unavoidable: “it's
part of the job, but spoils the job.” Lemonidou et al. 4.2.1 | Treatment paradigm versus safety paradigm We observed a paradigm shift in the attitude towards coercive
measures from a treatment paradigm to a safety paradigm. The be-
lief that patients experience therapeutic benefits from the use of co-
ercive measures characterizes the treatment paradigm. Distinctive
for the safety paradigm is the belief that the patient undergoing co-
ercive measures experiences negative consequences, but coercive
measures are necessary to maintain safety for patients and staff
members. In sum, the necessity of coercive measures for dealing with dan-
ger due to aggressive behaviour of patients seems a key element of
the current attitude of nurses. Tooke and Brown (1992) were the first to report attitudes of
nurses from the therapeutic paradigm and found that nurses be-
lieved seclusion was a calming, therapeutic experience. Coercive
measures were seen as effective interventions to protect patients’
dignity (Palazzolo, Favre, Halim, & Bougerol, 2000). Nurses consid-
ered seclusion of violent patients potentially beneficial for other pa-
tients and believed seclusion had a calming effect on the secluded
patients (Meehan, Bergen, & Fjeldsoe, 2004; Roberts, Crompton,
Milligan, & Groves, 2009; Wynaden et al., 2001). discrepancy between treatment paradigm and safety paradigm; and
(b) the need for less intrusive alternative interventions. for patients (Lee et al., 2003). From 2010, the paradigm shifted
more and more towards coercive measures being a “necessary evil,”
rather than a therapeutic tool (Wilson, Rouse, Rae, & Kar Ray, 2017). Numerous studies reported that nurses considered coercive mea-
sures unwanted and harmful, but necessary to regain safety in the
case of aggressive behaviour (Fereidooni Moghadam et al., 2014;
Gerace & Muir-Cochrane, 2019; Guivarch & Cano, 2013; Happell
et al., 2012; Happell & Koehn, 2010, 2011; Khalil, Al Ghamdi, & Al
Malki, 2017; Khudhur, 2013; Larsen & Terkelsen, 2014; Mahmoud,
2017; Mann-Poll, Smit, Koekkoek, & Hutschemaekers, 2015; Muir-
Cochrane, O'Kane, & Oster, 2018; Okanli, Yilmaz, & Kavak, 2016;
Perkins, Prosser, Riley, & Whittington, 2012; Van der Nagel, Tuts,
Hoekstra, & Noorthoorn, 2009; Vedana et al., 2017; Wilson et al.,
2017). 4.2 | Attitudes towards coercive measures In our study of the included literature on the attitudes of nurses to-
wards coercive measures, we observed two major themes: (a) the | 5 DOEDENS et al. 4.3.1 | Individual characteristics Gender of the nurse is the most reported nursing staff character-
istic associated with use of and attitude towards coercive meas-
ures, although findings are inconsistent. Several studies reported
that the presence of male nurses was associated with more use
of coercive measures, such as seclusion (Bowers et al., 2010;
De Cangas, 1993; Morrison & Lehane, 1995) or restraint (Kodal,
Kjaer, & Larsen, 2018). Male nurses also showed more positive
attitudes than female nurses towards coercive measures (Bregar,
Skela-Savic, & Kores Plesnicar, 2018; Husum, Bjorngaard, Finset,
& Ruud, 2011; Khalil et al., 2017; Lind, Kaltiala-Heino, Suominen,
Leino-Kilpi, & Valimaki, 2004; Mohammed, 2015; Whittington
et al., 2009) Male nurses were found to be more supportive of
coercive measures after “bad behaviour” or damaging property
(Gelkopf et al., 2009; Happell & Koehn, 2010). However, other
studies reported that the presence of female nurses was asso-
ciated with more seclusion (Convertino, Pinto, & Fiester, 1980;
Janssen, Noorthoorn, Linge, & Lendemeijer, 2007) or restraint
(Bornstein, 1985) and that female gender is associated with more
positive attitudes towards coercive measures (Gandhi et al., 2018;
Hasan & Abulattifah, 2018; Jonker, Goossens, Steenhuis, & Oud,
2008; Wynn, 2003). Bowers et al. (2013) reported that wards with
high levels of aggression and low use of coercive measure seemed
to have less female staff members. Other studies found no asso-
ciations in (multivariable) analysis between gender of the nurse
and use of coercive measures (Bowers, 2009; De Benedictis et
al., 2011; Doedens et al., 2017; O'Malley, Frampton, Wijnveld, &
Porter, 2007; Vollema, Hollants, Severs, & Hondius, 2012). The frequency of use also influenced the perceived intrusive-
ness of coercive interventions. Whittington et al. (2009) used the
sample of City-128 to assess the view of nurses towards eleven
forms of coercive measures (locked-door seclusion, open-area se-
clusion, mechanical restraint, physical restraint, net bed, transfer
to a psychiatric intensive care unit (PICU), time out, constant ob-
servation, intermittent observation, consensual PRN medication
and compulsory intramuscular medication) on six domains (effec-
tiveness, acceptability, respectfulness, safety for service users,
safety for staff and willingness to use the measure). The three
interventions with least approval of staff were net beds, mechan-
ical restraint and open-area seclusion. These interventions were
not (net beds and mechanical restraint) or seldom (open-area se-
clusion) used in mental health services in the UK. 4.3 Next, we summarize the results of the quantitative studies on the
influence of nursing staff characteristics (individual, professional
and organisational) on the use of and attitude towards coercive
measures. 6 | DOEDENS et al. 6 and nurses were generally concerned about their well-being when
applying these interventions (Lee et al., 2003; Wynn, 2003). alternatives to diminish their use. The attitude of nurses towards
specific coercive measures seems more positive for interventions
used more frequently in practice. Although seclusion and restraint are both seen as highly intru-
sive, several authors reported that nurses viewed seclusion and
forced medication as less intrusive and, thus, favourable compared
to mechanical restraint (Gerace & Muir-Cochrane, 2019; Guivarch
& Cano, 2013; Jacob et al., 2017; Larsen & Terkelsen, 2014). Other
authors stated that nurses preferred the use of the least intru-
sive intervention when considering the use of coercive measures,
such as pro re nata (PRN or as needed) medication (Bennett,
Ramakrishna, & Maganty, 2011; Gelkopf et al., 2009; Khalil et
al., 2017; Meehan et al., 2004; Reisch et al., 2018; Terpstra et al.,
2001) and close observation or individual counselling (Bennett
et al., 2011; Holzworth & Wills, 1999; Muir-Cochrane, 1996;
Palazzolo et al., 2000). 4.2.2 | Need for less intrusive alternative
interventions (2002) found
that nurses had “positive” attitudes towards seclusion, but mainly
because they viewed seclusion as necessary, not desirable. Nurses
viewed seclusion as effective for controlling “difficult situations,”
but also expressed their concerns about negative consequences Nurses expressed the desire for more “gentle” interventions to
manage patients’ behaviour (Olofsson et al., 1998). To make coer-
cion more humane, nurses believed that the practice of coercive
measures needed to improve, for example by making the seclusion
room more comfortable (Happell et al., 2012; Happell & Koehn,
2010; Jacob, Holmes, Rioux, Corneau, & MacPhee, 2017). Several
studies recognized that nurses view seclusion and restraint only
as appropriate as intervention of “last resort,” when other inter-
ventions have failed (Gelkopf et al., 2009; Goulet & Larue, 2017;
Guivarch & Cano, 2013; Happell & Koehn, 2011; Jacob et al., 2017;
Khudhur, 2013; Marangos-Frost & Wells, 2000; McCain & Kornegay,
2005; Palazzolo et al., 2000; Terpstra, Terpstra, Pettee, & Hunter,
2001; Wilson et al., 2017; Wynaden et al., 2002; Wynn, Kvalvik, &
Hynnekleiv, 2011). However, the concept of “last resort” is unclear
and some staff members viewed the point that an intervention is “of
last resort” earlier than others did (Happell et al., 2012; Wilson et
al., 2017). Seclusion and restraint have major impact on the patient, 4.3.2 | Professional characteristics Several authors reported no association between the work expe-
rience of nurses and the frequency of use of coercive measures (De
Benedictis et al., 2011; Doedens et al., 2017; Janssen et al., 2007;
Khalil et al., 2017; Kodal et al., 2018; O'Malley et al., 2007). Janssen
et al. (2007) found an association between more variability in the
nursing team of a shift and less frequent use of seclusion. Morrison
and Lehane (1995) suggested that more experienced nurses (“charge
nurses”) might be associated with less use of seclusion, although
they did not perform any statistical testing. Some authors suggested
that experienced nurses tended to have less supportive attitudes to-
wards the use of coercive measures (Gelkopf et al., 2009; Happell
& Koehn, 2010; Korkeila et al., 2016). However, Gandhi et al. (2018)
and Bregar et al. (2018) reported more positive attitudes for re-
straint of nurses with more work experience. Mann-Poll et al. (2015)
found that experienced nurses rated the use of seclusion equally
appropriate and necessary, while less experienced nurses showed
more ambivalence in necessity and appropriateness. Feelings of safety of nurses were likely to be associated with the
use of coercive measures, although definition and measurement is
complicated. Moreover, direction of causality is mostly unknown. Higher subjective feeling of safety of nurses was associated with less
seclusion (Vollema et al., 2012). These authors measured the feeling
of safety at the end of each shift. Therefore, an aggressive incident
that led to seclusion during the shift may have caused a lower feeling
of safety. The feeling of safety was negatively influenced by physical
environment (e.g., lack of safety equipment), organisational factors
(e.g., low staff–patient ratio), lack of communication with hospital
security, patient characteristics and trust within teams, while ag-
gression management training, work experience and information
about patients contributed to the feeling of safety (Goulet & Larue,
2017). Goulet and Larue (2017) also described that being a victim or
witness of patient assault made nurses feel less safe and may even
induced hypervigilance. Gray and Diers (1992) suggested that a de-
crease in staff stress and increase in feelings of control by staff was
associated with an increase in the use of coercive measures, while
referring to the “reverse hypothesis” (patient will not act out when
staff members are upset). 4.3.2 | Professional characteristics A creative personality, measured on Gough's Adjective Checklist
(Gough, 1960), and high leadership scores, measured on Kolb's
Organizational Climate Questionnaire (Kolb, Rubin, & McIntyre,
1971), were found to be associated with less initiation of coercion
(Pawlowski & Baranowski, 2017). High scores on transactional
leadership, measured as a subscale of the Multifactor Leadership
Questionnaire (Bass & Avolio, 1995), were also found to be asso-
ciated with less use of coercive measures (Bowers, 2009). Staff
members with high empathy scores (scored on a scale of one (be-
low-average empathy) to five (above average empathy)) were less
prone to use seclusion and restraint (Yang, Hargreaves, & Bostrom,
2014). Happell and Koehn (2011) reported that approval of seclu-
sion for deviant patient behaviour was associated with high scores
of emotional exhaustion (measured with the Maslach Burnout
Inventory [MBI] (Maslach & Jackson, 1981)) and low scores of ther-
apeutic optimism (nurses’ optimism related to treatment outcomes
for patients, measured with the Elsom Therapeutic Optimism Scale
(Elsom & McCauley-Elsom, 2008)). There was no association be-
tween anger of nurses and the incidence of seclusion and restraint
(Jalil, Huber, Sixsmith, & Dickens, 2017). Bowers (2009) did not find
an association between score on the MBI and the use of coercive
measures. Several authors investigated the educational level of nurses in rela-
tion to the use of coercive measures. The City-128 study divided
staff members into qualified and non-qualified staff. Wards with
more qualified staff were associated with more use of seclusion
(Bowers et al., 2010). This seemed also to be the case for mechanical
restraint (Bowers et al., 2012). Khalil et al. (2017) also reported that
higher level of nursing education is associated with more use of se-
clusion. However, Miodownik et al. (2019) reported a negative asso-
ciation between the presence of academic registered nurses and the
duration of coercive measures. The presence of student nurses on a
ward was also associated with more mechanical restraint (Bowers et
al., 2012). However, most studies that incorporated educational level
of nurses in their model found no association with the use of coer-
cive measures (Bornstein, 1985; De Benedictis et al., 2011; Doedens
et al., 2017; Janssen et al., 2007; Kodal et al., 2018). | 7 DOEDENS et al. associated with less seclusion, but not with other forms of coercion
(Bowers, 2009; Bowers et al., 2010, 2012). associated with less seclusion, but not with other forms of coercion
(Bowers, 2009; Bowers et al., 2010, 2012). other ethnicities (Bowers, 2009). De Benedictis et al. (2011) exam-
ined the role of religion and non-native Canadian nurses and found
no associations on both accounts. The variables physical stature and
BMI were both reported as not associated with seclusion (Doedens
et al., 2017). 4.3.2 | Professional characteristics These authors measured staff stress and
coercive measures before and after a major organisational change,
making it likely that the organizational change caused confounding. Nurses that were assaulted and injured by patients decided to use
restraint later in the course of an aggressive incident than nurses
that were never injured by patients (Moylan & Cullinan, 2011). A
positive attitude towards patients with personality disorders was There is no evidence for an association between the amount
of fulltime nurses in a team (De Benedictis et al., 2011; Doedens
et al., 2017), the length of time that nurses are working at the ward
(Doedens et al., 2017) or their training in aggression management
(De Benedictis et al., 2011; Khalil et al., 2017) and the frequency of
use of coercive measures. 4.3.1 | Individual characteristics The three meth-
ods with most approval (transfer to the PICU, PRN medication
and observation) were considered common practice (Whittington
et al., 2009). Therefore, nurses showed low rates of approval for
coercive measures they seldom or never use and report more fa-
vourably on familiar practices. Özcan, Bilgin, Akin, and Badirgali
Boyacioglu (2015) supported this finding. They found a correla-
tion between the frequency of use of coercive measures and
positive attitudes towards the coercive measure. Van Doeselaar,
Sleegers, and Hutschemaekers (2008) found that nurses who
are more actively involved in use of seclusion had less ethical
concerns for seclusion than non-involved professionals, such as
psychologists and therapists. Gerace and Muir-Cochrane (2019)
suggested that nurses were supportive towards the elimination
of mechanical restraint use because they are less frequent than
other coercive measures. Dahan et al. (2018) reported that par-
ticipants who were present during mechanical restraint practices
had more positive attitudes than participants who were never
present. Pettit et al. (2017) found that availability of a coercive
measure was associated with approval of the use of the coercive
measure. For example, access to a seclusion room was associated
with greater acceptability of seclusion as a method of contain-
ment (Pettit et al., 2017). Several authors investigated nurses’ age in relation to use
of seclusion, but found no associations (Bowers et al., 2012; De
Benedictis et al., 2011; Doedens et al., 2017; Kodal et al., 2018). Some authors reported that young age was associated with more
positive attitudes towards seclusion (Happell & Koehn, 2010;
Wynn, 2003) or coercive measures in general (Husum et al., 2011),
although an opposite effect was found for physical restraint
(Wynn, 2003). The City-128 study investigated ethnicity of the nurse and found
that the proportion of white staff members in a team was associated
with more use of coercive measures, compared with African and In sum, nurses consider seclusion and restraint generally as
most intrusive interventions and express the need for less intrusive 5 | DISCUSSION This systematic review aimed to summarize the scientific literature
on attitudes of nurses towards coercive measures and on the asso-
ciation between nursing staff characteristics and the use of coercive
measures and the attitude of nurses towards coercive measures in
acute mental health services. With respect to the first aim, we observed two major themes
in the attitude of nurses towards use of coercive measures. Firstly,
the abandonment of a treatment paradigm towards a safety para-
digm. In the therapeutic paradigm nurses considered coercive mea-
sures as harsh, but helpful, for example calming the agitated patient
and protecting patients’ dignity (Lendemeijer, 1997; Palazzolo et al.,
2000; Tooke & Brown, 1992). The support for the therapeutic par-
adigm in the attitude of nurses decreased substantially in the last
decades and shifted to the safety paradigm. In the safety paradigm,
staff members consider coercive measures a measure of last resort
and there is a preference for the least intrusive intervention. This
resulted in a strong conflict for nurses, because they consider coer-
cive measures as necessary, but its application inflicts strong neg-
ative feelings. This finding is in line with other reviews on attitude
towards coercion (Laukkanen et al., 2019; Riahi et al., 2016). Most
current research on the attitude of nurses towards coercion shows
that nurses viewed coercive measures mainly from the safety par-
adigm, although the therapeutic paradigm in the attitude of nurses
has not disappeared completely (Van Der Merwe, Muir-Cochrane,
Jones, Tziggili, & Bowers, 2013). De Benedictis et al. (2011) found that seclusion and restraint
occurred more at psychiatric emergency departments or intensive
care units than at regular psychiatric wards, but less frequent in
non-teaching hospitals compared to teaching hospitals. The avail-
ability of (and compliance to) aggression management protocols was
not associated with the use of seclusion and restraint (De Benedictis
et al., 2011). Changing a 20-bed unit into two ten-bed units (while
holding the staff–patient ratio stable) seemed to decrease the use of
seclusion, suggesting that deviant patient behaviour can be managed
better at small wards (O'Malley et al., 2007). The second theme was an expressed need for less intrusive al-
ternative interventions. The increase in the need for less intrusive in-
terventions is consistent with the attitude change to the therapeutic
paradigm. Coercive measures are seen as (in the words of Bigwood
and Crowe (2008)): “undesirable, but unavoidable”. 8 | DOEDENS et al. 8 2007). On the contrary, Bowers and Crowder (2012) found that more
qualified staff members in the shifts and in the shifts prior to the
incident were associated with more frequent use of coercive meas-
ures. Fukasawa, Miyake, Suzuki, Fukuda, and Yamanouchi (2018)
found a small association between higher staff–patient ratio and an
increase in the use of seclusion and restraint. Other authors found
no association for staff–patient ratio and the use of coercive meas-
ures (Bowers, 2009; Bowers et al., 2010, 2012; Husum, Bjorngaard,
Finset, & Ruud, 2010; Janssen et al., 2007; Khalil et al., 2017; Kodal et
al., 2018; Sercan & Bilici, 2009; Vollema et al., 2012; Yang et al., 2014)
or reported no outcome measurement despite the fact that they
mentioned measuring this variable in the method section (Betemps,
Somoza, & Buncher, 1993). Klimitz, Uhlemann, and Fahndrich (1998)
reported no association between the use of restraint and shortage of
nursing staff. The staff–patient ratio varied in most studies of differ-
ent shifts (day, evening and night). According to Klimitz et al. (1998)
and Morrison and Lehane (1995), the night shift has the least use
of coercive measures compared to the other shifts. However, other
studies found that the night shift has most use of coercive measures
compared with other shifts (Convertino et al., 1980; O'Malley et al.,
2007). Several authors claim that most coercive measure occurred
during the evening shift (Klimitz et al., 1998; Kodal et al., 2018;
Reitan, Helvik, & Iversen, 2018). Yang et al. (2014) report substantial
higher odds of seclusion in evening, weekend or holiday shifts com-
pared to weekday shifts, but no difference between night shifts and
weekday shifts. O'Malley et al. (2007) found no difference of the use
of seclusion and the day of the week. Reitan et al. (2018) reported
most frequent use of pharmacological restraints during summer and
most use of mechanical restraint during spring. et al. (2011) who reported an association of the subscale anger and
aggression of the Group Environment Scale (Moos, Shelton, & Petty,
1973) and the use of seclusion and restraint. 4.3.3 | Organisational characteristics Staff–patient ratio has received extensive attention in scientific re-
search in the last 30 years. Several authors reported an association
between a lower staff–patient ratio (i.e., less staff members for each
patient) and an increase in the use of coercive measures (Convertino
et al., 1980; Donat, 2002; Morrison & Lehane, 1995; O'Malley et al., 8 Despite the
troubles of measuring this trait, some authors suggest that the
feeling of safety of nurses may be associated with less use of co-
ercive measures (Goulet & Larue, 2017; Vollema et al., 2012). This
is in line with the findings of the nurses’ attitude towards coercion. Nurses that feel unsafe may very well view a coercive measure as
necessary to restore safety, while nurses that feel safe may set-
tle for alternative (less coercive) interventions. This is in line with
the findings of Cusack, McAndrew, Cusack, and Warne (2016) that
staffs’ fear motivates for the use of coercion. Happell et al. (2012)
and Wilson et al. (2017) reported nurses that were concerned that
some nurses considered the necessity of a “last resort intervention”
earlier than others. Feelings of safety or danger are not objective
constructs, so interpersonal differences in perception and perspec-
tive highly affect the treatment of patients when potential danger-
ous situations occur. The attention of professionals, researchers
and policymakers on the interpretation of the concepts of safety
and danger could be crucial for taking next steps in reducing coer-
cive measures. Our second aim was the influence of nursing staff factors on
the use of coercive measures and on the attitude of nurses towards
coercive measures. The results in literature were remarkably incon-
clusive. For example, we found twelve studies that investigated the
association of gender of the nurse and the use of coercion. Five of
them concluded that male nurses were more prone to use coercion
(Bowers et al., 2010; De Cangas, 1993; Khalil et al., 2017; Kodal et
al., 2018; Morrison & Lehane, 1995), three of them concluded that
female nurses were more prone to use coercion (Bornstein, 1985;
Convertino et al., 1980; Janssen et al., 2007) and four of them
found no effect in multivariable analysis (Bowers et al., 2011; De
Benedictis et al., 2011; Doedens et al., 2017; Vollema et al., 2012). Findings on the influence of the attitude towards coercive measures
showed similar pattern; male gender was associated with more pos-
itive attitudes by six studies (Bregar et al., 2018; Husum et al., 2011;
Khalil et al., 2017; Lind et al., 2004; Mohammed, 2015; Whittington
et al., 2009) and also associated by four studies with more negative
attitudes (Gandhi et al., 2018; Hasan & Abulattifah, 2018; Jonker
et al., 2008; Wynn, 2003). Beghi et al. Again, most authors report no associa-
tion of nurses’ educational level and the use of coercion (Bornstein,
1985; De Benedictis et al., 2011; Doedens et al., 2017; Janssen et
al., 2007; Kodal et al., 2018). Some authors reported that higher
staff–patient ratios were associated with less coercion (Convertino
et al., 1980; Donat, 2002; Morrison & Lehane, 1995; O'Malley et al.,
2007), but most studies reported no association between these fac-
tors (Bowers, 2009; Bowers et al., 2010, 2012; Husum et al., 2010;
Janssen et al., 2007; Khalil et al., 2017; Sercan & Bilici, 2009; Vollema
et al., 2012; Yang et al., 2014). aggression management showed no clear association with the prev-
alence of coercion (De Benedictis et al., 2011; Doedens et al., 2017;
Janssen et al., 2007; Khalil et al., 2017; Kodal et al., 2018; O'Malley
et al., 2007). Some studies show that experienced nurses had less
positive attitudes on the use of coercive measures, but these results
also are equivocal (Bregar et al., 2018; Gandhi et al., 2018; Gelkopf et
al., 2009; Happell & Koehn, 2010; Korkeila et al., 2016; Mann-Poll et
al., 2015). However counterintuitive, several authors suggested that
better-qualified nurses were associated with more use of coercive
measures (Bowers et al., 2010, 2012; Khalil et al., 2017). A possible
explanation is that wards with more qualified nurses serve a more
complex patient population. Again, most authors report no associa-
tion of nurses’ educational level and the use of coercion (Bornstein,
1985; De Benedictis et al., 2011; Doedens et al., 2017; Janssen et
al., 2007; Kodal et al., 2018). Some authors reported that higher
staff–patient ratios were associated with less coercion (Convertino
et al., 1980; Donat, 2002; Morrison & Lehane, 1995; O'Malley et al.,
2007), but most studies reported no association between these fac-
tors (Bowers, 2009; Bowers et al., 2010, 2012; Husum et al., 2010;
Janssen et al., 2007; Khalil et al., 2017; Sercan & Bilici, 2009; Vollema
et al., 2012; Yang et al., 2014). When combining the findings of the perceived necessity of
coercive measures for safety reasons and the inconsistency in the
influence of nursing staff characteristics, we want to stipulate the
possible importance of the feeling of safety of nurses. et al., 2000). The everyday experience of the nurse with coercive
measures in clinical practice seems to have major influence on the
perception of intrusiveness and therefore on the appropriateness
of an intervention as alternative. A hypothetical explanation of this
finding is that the positive attitude makes nurses choose for that
specific coercive measure when necessary. However, there are
major differences between countries in the use of coercive mea-
sures (Bak & Aggernaes, 2012), which makes it unlikely that nurses
based their attitude on these differences instead of on history and
culture. Another hypothetical explanation is given by Van Doeselaar
et al. (2008), suggesting that the frequency of use of a specific in-
tervention can blind the nurses for possible negative consequences
and thereby the perceived “intrusiveness” of an intervention drops. This could explain the association between a positive attitude and
the frequency of use of a specific coercive measure (Özcan et al.,
2015; Whittington et al., 2009). This theory is in line with Laiho et
al. (2013), who stated that the threshold to use coercion gets lower
when it was accepted as measure to control behaviour. However,
the inconsistent findings on the influence of experience of the nurse
on seclusion might indicate that acceptance of coercive measures
is also influenced by knowledge of and confidence in using alterna-
tive interventions. We recommend further exploration of this issue
in future research to reveal a possible blind spot of nurses in their
attitude towards coercion and coercive measures. aggression management showed no clear association with the prev-
alence of coercion (De Benedictis et al., 2011; Doedens et al., 2017;
Janssen et al., 2007; Khalil et al., 2017; Kodal et al., 2018; O'Malley
et al., 2007). Some studies show that experienced nurses had less
positive attitudes on the use of coercive measures, but these results
also are equivocal (Bregar et al., 2018; Gandhi et al., 2018; Gelkopf et
al., 2009; Happell & Koehn, 2010; Korkeila et al., 2016; Mann-Poll et
al., 2015). However counterintuitive, several authors suggested that
better-qualified nurses were associated with more use of coercive
measures (Bowers et al., 2010, 2012; Khalil et al., 2017). A possible
explanation is that wards with more qualified nurses serve a more
complex patient population. 5 | DISCUSSION However, the
perspective on what is a “less intrusive alternative intervention”
shows to be dependent on several contextual factors. We found that
some nurses that used mechanical restraint as intervention of last
resort tended to consider seclusion as a less intrusive alternative in-
tervention (Gerace & Muir-Cochrane, 2019; Guivarch & Cano, 2013;
Jacob et al., 2017; Larsen & Terkelsen, 2014), while nurses from
other studies consider seclusion as highly intrusive and undesirable
intervention (De Cangas, 1993; Lemonidou et al., 2002; Roberts et
al., 2009; Wynaden et al., 2001). The impact of seclusion on patients
in confirmed by Askew, Fisher, and Beazley (2019), who conclude
that patients feel vulnerable, neglected and abused when experi-
encing seclusion. Nevertheless, both restraint and seclusion are the
“ultimum remedium” in case of acute dangerous situations on psy-
chiatric wards and most nurses wish to use alternative interventions
with less impact on the patient (Bennett et al., 2011; Holzworth &
Wills, 1999; Muir-Cochrane, 1996; Olofsson et al., 1998; Palazzolo A higher score on the subscale programme clarity of the Ward
Atmosphere Scale (Moos, 1974), indicating an effective structure
on the ward, was associated with less use of coercive measures
(Bowers, 2009; Bowers et al., 2012). Bowers et al. (2011) divided
a sample of 134 wards into two clusters based on their scores
on leadership, teamwork, ward atmosphere, burnout levels and
attitude towards patients with a personality disorder. The clus-
ter with the highest (positive) scores (n = 78) showed less use of
coercive measures compared to the clusters with lowest scores
(n = 56). Other authors found no association between ward atmosphere
and frequency of use of coercive measures (De Cangas, 1993; Klimitz
et al., 1998). Bowers (2009) found no association between team cli-
mate and the use of coercive measures, contrary to De Benedictis 9 | 9 DOEDENS et al. ACKNOWLEDGMENTS The authors thank Joost Daams PhD (clinical librarian) for his exten-
sive assistance in performing the electronic search, Lotta Raijmakers
MSc for assisting in the title and abstract selection and Emma
Verhoeven RN and Harald Jorstad MD PhD for their assistance in
comprehending the articles in (respectively) French and Norwegian
in the full-text selection and data extraction. (2013) concluded in their
review that male staff were associated with more restraint; our
findings show that this conclusion might have been too firm. We
found no conclusive evidence for an association of age, religion or
the physique of the nurse and the use of coercion (Bowers, 2009;
De Benedictis et al., 2011; Doedens et al., 2017; Kodal et al., 2018). Some authors reported an association between personality factors
and use and attitude of coercive measures, but the current studies
are too small and inconsistent in methodology to draw conclusions. Also, professional characteristics such as work experience, propor-
tion full time workers, time working at the ward or level of training in This current systematic review is, to the best of our knowledge,
the first to explicitly combine a review on the attitude of nurses and
the influence of nursing staff characteristics. The strengths are that
we performed an extensive literature search in several databases
and to several forms of coercive measures, instead of focussing on
seclusion and restraint. There are also some limitations. Summarizing
qualitative studies inevitably entails de-contextualisation of quali-
tative findings, because of the dependency of qualitative research
findings on the particular context, time and group of participants
(Thomas & Harden, 2008). The heterogeneity and methodological DOEDENS et al. 10 CONFLICT OF INTEREST The authors declare no conflicts of interest. The authors declare no conflicts of interest. 7 | IMPLICATIONS FOR PRACTICE We propose that mental health care could improve the focus on the
constructs of safety and danger to protect patients from unneces-
sary use of coercive interventions. Lack of attention to the feel-
ing of safety of nurses working at psychiatric wards can threaten
further reduction in the use of coercive measures. Using coercive
measures has been common practice in mental health care for cen-
turies, as well as the debate on reducing them (Yellowlees, 1872). It is part of our culture and, “culture eats strategy for breakfast”
(Muir-Cochrane, 2018). It is important to invest in the feeling of
safety of nurses to help them cope with changing the policy on
using coercive measures. Evidence-based intervention programmes
such as Safewards (Bowers, 2014) and Six Core Strategies (LeBel et
al., 2014) can help nurses gain confidence in doing their job. To de-
velop specific strategies to improve these feelings could be an inter-
esting topic for researchers in the mental health field. Improvement
of patient safety relies on qualified nurses that feel safe and are
equipped for the difficult task they are facing when working in
acute clinical psychiatry. AUTHOR CONTRIBUTIONS All authors listed meet the authorship criteria according to the lat-
est guidelines of the International Committee of Medical Journal
Editors. All authors agree with the manuscript. 8 | RELEVANCE STATEMENT 8 limitations of the studies on nursing staff characteristics in associ-
ations with coercive measures made it impossible to perform a me-
ta-analysis. Another limitation is that the concept of attitude is not
well defined and that several authors use other words to describe
attitude. In our search, we also evaluated studies on perspectives,
experiences and views of nurses to find additional studies on this
matter. There were also specific limitations applicable to individual
studies. The studies were of moderate to low methodological qual-
ity, which hinders the validity of the results of this review. Another
limitation is that authors tend to report only significant associations
or large effect sizes. Because of that, we cannot rule out the un-
derreporting of some characteristics due to publication bias. We
extracted the data from manuscripts as thoroughly as possible to
summarize all reported (non-significant) results in our study. The use of coercion is associated with adverse events. Nurses have
influence on the decision to use coercive measures. Attitude of
nurses towards coercion and nursing staff characteristics influence
these decisions. This review summarizes the literature on the influ-
ence of attitude of nurses and nursing characteristics on the use
of coercive measures. Our findings indicate, based on the attitude
towards coercive measures and some evidence on perception of
safety, the importance of the feeling of safety of nurses by clinicians,
researchers and policymakers. This might be a more relevant road
towards better quality of care than focus on nursing characteristics. 6 | CONCLUSION The attitude of nurses towards coercive measures has changed over
the years from a therapeutic paradigm to a safety paradigm. The
current attitude towards use of coercive measures is not to treat
patients, but to protect patients and staff from violence. Nurses con-
sider coercive measures as necessary interventions and express the
need for less intrusive alternatives. Although nurses recognize the
negative consequences for patients, the frequent use of a specific
coercive measure may decrease the value that nurses give to the
negative consequences associated with that measure. The research
on the influence of nursing staff characteristics is highly inconclu-
sive. However, the feeling of safety of nurses may be a key concept
in the prevention of coercive measures. ORCID Paul Doedens
https://orcid.org/0000-0002-6620-3455
Jentien Vermeulen
https://orcid.org/0000-0002-6245-6498
Lieuwe de Haan
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L-L, Latour C, de Haan L. Influence of nursing staff attitudes
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mental health services—A systematic review. J Psychiatr Ment
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L-L, Latour C, de Haan L. Influence of nursing staff attitudes
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mental health services—A systematic review. J Psychiatr Ment
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F-18-fluorodeoxyglucose positron emission tomography-computed tomography for the diagnosis of Takayasu's arteritis in stroke: a case report
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Journal of medical case reports
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Abstract Introduction: Diagnosis of Takayasu's arteritis as the cause of stroke is often delayed because of
non-specific clinical presentation. F-18-fluorodeoxyglucose positron emission tomography-
computed tomography may help to accurately diagnose and monitor Takayasu's arteritis in stroke
patients. Case presentation: We report the case of a left middle cerebral artery stroke in a 39-year-old
man. Laboratory data were consistent with an inflammatory reaction. While abdominal contrast-
enhanced computed tomography showed an aneurysm of the infrarenal aorta, only F-18-
fluorodeoxyglucose positron emission tomography-computed tomography revealed pathology
(that is, intense F-18-fluorodeoxyglucose accumulation) in the carotid arteries, ascending aorta and
the abdominal aorta cranial to the aneurysm. After treatment with high-dose prednisone followed
by cyclophosphamide, the signs of systemic inflammation decreased and F-18-fluorodeoxyglucose
uptake was reduced as compared with the initial scan. Conclusion: F-18-fluorodeoxyglucose positron emission tomography-computed tomography
showed inflammatory activity in the aorta and carotid arteries, suggestive of Takayasu's arteritis in
a young stroke patient, and follow-up under immunosuppressive therapy indicated reduced F-18-
fluorodeoxyglucose uptake. F-18-fluorodeoxyglucose positron emission tomography-computed
tomography appears to be useful in detecting and quantifying the extent of vascular wall activity in
systemic large-vessel vasculitis. Published: 24 July 2008 Published: 24 July 2008
Journal of Medical Case Reports 2008, 2:239
doi:10.1186/1752-1947-2-239 Journal of Medical Case Reports 2008, 2:239
doi:10.1186/1752-1947-2-239 This article is available from: http://www.jmedicalcasereports.com/content/2/1/239 This article is available from: http://www.jmedicalcase p
j
© 2008 Haensch et al; licensee BioMed Central Ltd. © 2008 Haensch et al; licensee BioMed Central Ltd. © 2008 Haensch 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. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creative
which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cit distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0),
e, distribution, and reproduction in any medium, provided the original work is properly cited. Open Acce
Case report
F-18-fluorodeoxyglucose positron emission tomography-computed
tomography for the diagnosis of Takayasu's arteritis in stroke: a
case report
Carl-Albrecht Haensch*1, Dirk-Armin Röhlen2 and Stefan Isenmann1 Open Access Address: 1Department of Neurology, HELIOS-Klinikum Wuppertal and University of Witten/Herdecke, Heusnerstraße 40, D-42283 Wuppertal,
Germany and 2Radprax Wuppertal, Bergstraße 7-9, D-42105 Wuppertal, Germany Email: Carl-Albrecht Haensch* - carl-albrecht.haensch@helios-kliniken.de; Dirk-Armin Röhlen - info@radprax.de;
Stefan Isenmann - stefan.isenmann@helios-kliniken.de * Corresponding author Received: 28 August 2007
Accepted: 24 July 2008 Case presentation FDG PET-CT, MR-angiography and CT in a patient with TA
and stroke
Figure 1
FDG PET-CT, MR-angiography and CT in a patient
with TA and stroke. (A) F-18-fluorodeoxyglucose posi-
tron emission tomography-computed tomography showing
fluorodeoxyglucose accumulation in the carotid arteries,
ascending aorta, and the abdominal aorta cranial to the aneu-
rysm (arrows with corresponding maximal standardized
uptake values). (B) Magnetic resonance angiography of the
cerebral vessels. (C), (D) Infrarenal aortic aneurysm (13 cm
× 4.8 cm) with mural thrombus (arrows). (E) Computed
tomography and fluorodeoxyglucose positron emission tom-
ography revealing middle cerebral artery stroke (arrows). A 39-year-old right-handed man had sudden onset of
unsteady gait, right-sided hemihypesthesia and failure of
speech. His medical history was significant for arterial
hypertension for the past 2 years and a past history of
smoking. ESR had been noted to be elevated (55 mm/
hour) for the past 18 months, without any known reason. His initial examination was remarkable for dysarthria, dis-
crete right hemiplegia and gait ataxia. The National Insti-
tutes of Health Stroke Scale score was 3. Also, marked
hypertension (170/90 mmHg) was present on both sides
without a blood pressure difference. Radial pulses were
not diminished. Pulse was 85 beats per minute. FDG PET-CT, MR-angiography and CT in a patient with TA
and stroke
Figure 1
FDG PET-CT, MR-angiography and CT in a patient
with TA and stroke. (A) F-18-fluorodeoxyglucose posi-
tron emission tomography-computed tomography showing
fluorodeoxyglucose accumulation in the carotid arteries,
ascending aorta, and the abdominal aorta cranial to the aneu-
rysm (arrows with corresponding maximal standardized
uptake values). (B) Magnetic resonance angiography of the
cerebral vessels. (C), (D) Infrarenal aortic aneurysm (13 cm
× 4.8 cm) with mural thrombus (arrows). (E) Computed
tomography and fluorodeoxyglucose positron emission tom-
ography revealing middle cerebral artery stroke (arrows). The head CT showed a demarcated infarction in the left
middle cerebral artery territory. A subsequent MRI scan
also revealed a subacute left-sided pontine infarction. Magnetic resonance angiography demonstrated no abnor-
malities of the cerebral vessels (Figure 1B). While transcra-
nial and extracranial ultrasound was normal, abdominal
CT showed an aneurysm of the infrarenal aorta with a
diameter of 4.8 cm and a marginal thrombus (Figure 1C
and 1D). CT angiography of the coronary arteries was nor-
mal. Transthoracic and transesophageal echocardiogra-
phy and hypercoagulability state (proteins C and S, factor
V Leiden mutation, homocysteine level, and lupus antico-
agulant) were unremarkable. Introduction
k develop diverse neurological manifestations, such as
headache, visual disturbances, seizures, transient ischemic
attack, cerebral infarction, intracerebral hemorrhage, and
orthostatic syncopal attacks [1]. Typically, early symp-
toms of systemic inflammatory disease are followed by
inflammation of the aorta and its branches. TA has two Takayasu's arteritis (TA) is a rare, chronic panarteritis
localized to the aortic arch or its branches, the ascending
thoracic aorta, the abdominal aorta, or the entire aorta. TA, also known as 'pulseless disease', is more common in
women than in men. More than half of patients may Page 1 of 5
(page number not for citation purposes) Page 1 of 5
(page number not for citation purposes) Journal of Medical Case Reports 2008, 2:239 http://www.jmedicalcasereports.com/content/2/1/239 FDG PET-CT, MR-angiography and CT in a patient with TA
and stroke
Figure 1
FDG PET-CT, MR-angiography and CT in a patient
with TA and stroke. (A) F-18-fluorodeoxyglucose posi-
tron emission tomography-computed tomography showing
fluorodeoxyglucose accumulation in the carotid arteries,
ascending aorta, and the abdominal aorta cranial to the aneu-
rysm (arrows with corresponding maximal standardized
uptake values). (B) Magnetic resonance angiography of the
cerebral vessels. (C), (D) Infrarenal aortic aneurysm (13 cm
× 4.8 cm) with mural thrombus (arrows). (E) Computed
tomography and fluorodeoxyglucose positron emission tom-
ography revealing middle cerebral artery stroke (arrows).
A
B
A
B distinctive phases: a prepulseless (inflammatory or sys-
temic) phase and a pulseless phase. Clinical disease pre-
ceding the pulseless phase of TA will not fulfill the
diagnostic criteria of the American College of Rheumatol-
ogists for TA, which are based on advanced disease [2]. As
histological diagnosis is usually impractical, angiography,
and, more recently, contrast enhanced computed tomog-
raphy (CT) and magnetic resonance imaging (MRI) have
gained a role in the diagnosis. Laboratory abnormalities
may include anemia, leukocytosis, increased erythrocyte
sedimentation rate (ESR), elevated C-reactive protein
(CRP), and hypergammaglobulinemia. We suggest that
abnormal F-18-fluorodeoxyglucose (18F-FDG) accumula-
tion may be useful in diagnosing the early-phase of TA. Page 2 of 5
(page number not for citation purposes) Discussion been reported in patients with TA [3-6]. In contrast to
other imaging modalities in TA, FDG PET-CT measures
inflammation through the metabolic activity in the arte-
rial wall [7]. The cutoff point of maximal SUV for the diag-
nosis of vascular inflammation was estimated to be 1.3
with a sensitivity for TA of 90.9% and a specificity of
88.8% [8]. Vasculitis is reported to be responsible for 3% to 5% of
strokes that occur in people under 50 years old. TA typi-
cally occurs in patients younger than 50 years old. Central
nervous system involvement is seen in up to one-third of
cases and is secondary to carotid artery stenosis, cerebral
hypoperfusion, and subclavian steal syndrome. We have
described the case of a young man in whom stroke was the
initial presentation of TA. From a clinical point of view,
aortitis most often presents as a vague syndrome of
malaise, fever, and weight loss, while blood tests indicate
an inflammatory reaction. Case presentation Laboratory studies revealed
increases in ESR (46 mm/hour), CRP (47 mg/l), C3-com-
plement levels (194 mg/dl) and hypergammaglobuline-
mia (1.11 g/dl). MPO/P-ANCA, C-ANCA and rheumatoid
factors were negative. Cerebrospinal fluid protein level
(94 mg/dl) was increased without intrathecal synthesis of
immunoglobulins. For suspected arteritis and to detect
systemic inflammatory disease, whole body scans in one
session on a dual modality positron emission tomogra-
phy (PET)-computed tomography system were performed
60 minutes after intravenous administration of 243MBq
18F-FDG. PET and CT images were reconstructed in coro-
nal, sagittal, and transverse planes (Figures 1A and 2). The inflammatory vascular lesion was evaluated using the
standardized uptake value (SUV) of 18F-FDG accumula-
tion as an index. F-18-fluorodeoxyglucose positron emis-
sion tomography-computed tomography (18F-FDG PET-
CT) revealed intense 18F-FDG accumulation in the
carotid arteries (maximal SUV = 3.55), ascending aorta
(SUV = 4.52), and the abdominal aorta cranial to the
aneurysm (maximal SUV = 4.65). No 18F-FDG accumula-
tion was observed in other sites. The patient was given
intravenous high-dose bolus prednisone followed by
pulse cyclophosphamide, which resulted in a favorable
clinical course and normalization of the ESR (4 mm/
hour). In a follow-up 18F-FDG PET-CT study after 2 months the
patient revealed reduced wall enhancement in the aorta
(maximal SUV = 2.93) and in the left carotid artery (max-
imal SUV = 2.47) under immunosuppressive therapy. Unchanged increased glucose utilization was found in the
right carotid artery (maximal SUV = 3.6). MRI and mag-
netic resonance angiography showed no abnormalities
besides the infrarenal aneurysm at this time (Figure 3). Page 2 of 5
(page number not for citation purposes) http://www.jmedicalcasereports.com/content/2/1/239 Journal of Medical Case Reports 2008, 2:239 F-18-fluorodeoxyglucose positron emission tomography-computed tomography maximum intensity projection images
Figure 2
F-18-fluorodeoxyglucose positron emission tomography-computed tomography maximum intensity projec-
tion images. F-18-fluorodeoxyglucose positron emission tomography-computed tomography maximum intensity projection images
Figure 2
F-18-fluorodeoxyglucose positron emission tomography-computed tomography maximum intensity projec-
tion images. F 18 fluorodeoxyglucose positron emission tomography computed tomography maximum intensity projection images
Figure 2
F-18-fluorodeoxyglucose positron emission tomography-computed tomography maximum intensity projec-
tion images. Consent Written informed consent was obtained from the patient
for publication of this case report and any accompanying
images. A copy of the written consent is available for
review by the Editor-in-Chief of this journal. Abbreviations tomography-computed tomography. All authors read and
approved the final manuscript. 18F-FDG: F-18-fluorodeoxyglucose; CRP: C-reactive pro-
tein; CT: computed tomography; ESR: erythrocyte sedi-
mentation rate; MRI: magnetic resonance imaging; PET:
positron emission tomography; SUV: standardized uptake
value; TA: Takayasu's arteritis. Competing interests The authors declare that they have no competing interests. Conclusion To the best of the authors' knowledge, FDG PET-CT find-
ings have not previously been reported in patients with TA
and stroke. Coregistration of 18F-FDG PET and CT
showed the anatomical distribution of the inflammation
in the walls of the aorta and carotid arteries. This method
offers the advantages of early detection of disease activity
and the global assessment of the arterial system in a single
examination. 18F-FDG PET-CT is an imaging technique that can be used
to assess regional differences in glucose metabolism. Inflammatory cells take up increased amounts of glucose,
and therefore FDG accumulation on PET-CT scanning has Page 3 of 5
(page number not for citation purposes) Page 3 of 5
(page number not for citation purposes) http://www.jmedicalcasereports.com/content/2/1/239 Journal of Medical Case Reports 2008, 2:239 Follow-up 18F-FDG PET-CT study revealed reduced wall enhancement under immunosuppressive therapy
Figure 3
Follow-up 18F-FDG PET-CT study revealed reduced wall enhancement under immunosuppressive therapy. (A), (B) Resolution of fluorodeoxyglucose uptake after immunosuppressive treatment. (C), (D) T2-weighted images and mag-
netic resonance angiography appear normal except for infrarenal aorta aneurysm. (E) Improvement of metabolism in the left
temporal region. SUV = 2.93
SUV = 2.47 p
y
pp
py
g
Follow-up 18F-FDG PET-CT study revealed reduced wall enhancement under immunosuppressive therapy. (A), (B) Resolution of fluorodeoxyglucose uptake after immunosuppressive treatment. (C), (D) T2-weighted images and mag-
netic resonance angiography appear normal except for infrarenal aorta aneurysm. (E) Improvement of metabolism in the left
temporal region. Authors' contributions 1. Cantu C, Pineda C, Barinagarrementeria F, Salgado P, Gurza A, Paola
de P, Espinosa R, Martinez-Lavin M: Noninvasive cerebrovascular
assessment of Takayasu arteritis. Stroke 2000, 31:2197-2202. C–AH and SI contributed to the care of the patient, as well
as to writing and reviewing the manuscript. D–AR per-
formed the F-18-fluorodeoxyglucose positron emission y
2. Arend WP, Michel BA, Bloch DA, Hunder GG, Calabrese LH,
Edworthy SM, Fauci AS, Leavitt RY, Lie JT, Lightfoot RW Jr, Masi AT,
McShane DJ, Mills JA, Stevens MB, Wallace SL, Zvaifler NJ: The
American College of Rheumatology 1990 criteria for the y
2. Arend WP, Michel BA, Bloch DA, Hunder GG, Calabrese LH,
Edworthy SM, Fauci AS, Leavitt RY, Lie JT, Lightfoot RW Jr, Masi AT,
McShane DJ, Mills JA, Stevens MB, Wallace SL, Zvaifler NJ: The
American College of Rheumatology 1990 criteria for the Page 4 of 5
(page number not for citation purposes) Page 4 of 5
(page number not for citation purposes) Journal of Medical Case Reports 2008, 2:239 http://www.jmedicalcasereports.com/content/2/1/239 http://www.jmedicalcasereports.com/content/2/1/239 http://www.jmedicalcasereports.com/content/2/1/239 classification of Takayasu arteritis. Arthritis Rheum 1990,
33:1129-1134. 3. Webb M, Chambers A, AL-Nahhas A, Mason JC, Maudlin L, Rahman
L, Frank J: The role of 18F-FDG PET in characterising disease
activity in Takayasu arteritis. Eur J Nucl Med Mol Imaging 2004,
31:627-634. 4. Hara M, Goodman PC, Leder RA: FDG-PET finding in early-
phase Takayasu arteritis. J Comput Assist Tomogr 1999, 23:16-18. 4. Hara M, Goodman PC, Leder RA: FDG-PET finding in early-
phase Takayasu arteritis. J Comput Assist Tomogr 1999, 23:16-18. 5. Takahashi M, Momose T, Kameyama M, Ohtomo K: Abnormal
accumulation of [18F] fluorodeoxyglucose in the aortic wall
related to inflammatory changes: three case reports. Ann
Nucl Med 2006, 20:361-364. p
y
J
p
g
5. Takahashi M, Momose T, Kameyama M, Ohtomo K: Abnormal
accumulation of [18F] fluorodeoxyglucose in the aortic wall
related to inflammatory changes: three case reports. Ann
Nucl Med 2006, 20:361-364. 6. de Leeuw K, Bijl M, Jager PL: Additional value of positron emis-
sion tomography in diagnosis and follow-up of patients with
large vessel vasculitides. Clin Exp Rheumatol 2004, 22(6 Suppl
36):S21-26. )
7. Kissin EY, Merkel PA: Diagnostic imaging in Takayasu arteritis. Curr Opin Rheumatol 2004, 16:31-37. 8. Kobayashi Y, Ishii K, Oda K, Nariai T, Tanaka Y, Ishiwata K, Numano
F: Aortic wall inflammation due to Takayasu arteritis imaged
with 18F-FDG PET coregistered with enhanced CT. 8.
Kobayashi Y, Ishii K, Oda K, Nariai T, Tanaka Y, Ishiwata K, Numano
F: Aortic wall inflammation due to Takayasu arteritis imaged
with 18F-FDG PET coregistered with enhanced CT. J Nucl
Med 2005, 46:917-922. Authors' contributions J Nucl
Med 2005, 46:917-922. 8. Kobayashi Y, Ishii K, Oda K, Nariai T, Tanaka Y, Ishiwata K, Numano
F: Aortic wall inflammation due to Takayasu arteritis imaged
with 18F-FDG PET coregistered with enhanced CT. J Nucl
Med 2005, 46:917-922. Publish with BioMed Central and every
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Composite Structures of d-Wave and s-Wave Superconductors (d-Dot): Analysis Using Two-Component Ginzburg-Landau Equations
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1. Introduction Superconductivity is a macroscopic quantum phenomenon [1]. Therefore it shows quite
interesting properties because of its quantum nature. Such properties are described by a
macroscopic complex wave function of the superconductivity. Especially, a phase of the
macroscopic wave function play an important role in these properties. For example,
superconducting devices, such as, superconducting charge, flux and phase qubits,
superconducting single flux quantum device, and intrinsic Josephson junction Terahertz
emitter of high Tc cuprate superconductors, use such quantum nature of superconductivity. They have attracted much attention recently. © 2012 Kato et al., licensee InTech. This is an open access chapter distri
Creative Commons Attribution License (http://creativecommons.org/licen
unrestricted use, distribution, and reproduction in any medium, provided
y
y
In conventional superconductors, there is only single phase φ of the
parameter or the macroscopic wave function
φ
Δ = Δ
ie . This pha
effect, such as, Josephson effect, and quantization of vortices in th
unconventional and anisotropic superconductivity have different p
internal degree of freedom of the superconducting order param
superconductors, electrons are paired and if their paring symmetry
conventional superconductors, the order parameter is just a single c
the symmetry is other one such as p-wave or d-wave, then the o
internal phase [2,3]. For example, d-wave superconductors, e
superconductors have a symmetry that is shown in Fig. 1. This sym
appears in momentum space that means the wave function of the Co
the x-axis has + sign and that moving along y-axis has – sign. This i
superconducting order parameter and it affects the interferenc
superconductors. In conventional superconductors, there is only single phase φ of the superconducting order
parameter or the macroscopic wave function
φ
Δ = Δ
ie . This phase causes interference
effect, such as, Josephson effect, and quantization of vortices in the superconductor. But
unconventional and anisotropic superconductivity have different phase that comes from
internal degree of freedom of the superconducting order parameter. Because in the
superconductors, electrons are paired and if their paring symmetry is an s-wave, as in the
conventional superconductors, the order parameter is just a single complex number. But if
the symmetry is other one such as p-wave or d-wave, then the order parameter has an
internal phase [2,3]. For example, d-wave superconductors, especially
2
2
−
x
y
d
-wave
superconductors have a symmetry that is shown in Fig. 1. Selection of our books indexed in the Book Citation Index
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7,200 Chapter 13 http://dx.doi.org/10.5772/51550 http://dx.doi.org/10.5772/51550 © 2012 Kato et al., licensee InTech. This is an open access chapter 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. Additional information is available at the end of the chapter http://dx.doi.org/10.5772/51550 Masaru Kato, Takekazu Ishida, Tomio Koyama and Masahiko Machida Additional information is available at the end of the chapter Composite Structures of d-Wave and s-Wave
Superconductors (d-Dot): Analysis Using Two-
Component Ginzburg-Landau Equations Masaru Kato, Takekazu Ishida, Tomio Koyama and Masahiko Machida 1. Introduction Therefore, from this experiment, the symmetry Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 321 of the Cooper pairs in high-Tc superconductors was determined as d-wave, especially
2
2
−
x
y
d
. In addition, this experiment showed that the critical current become smax when the total
magnetic flux through the corner junction was
0 2
Φ
. Here,
0
2
Φ = hc
e is the flux quantum. Because the phase difference π between two Josephson currents through junctions A and B,
is compensated by additional phase, 0
2
2
2
2
2
χ
π
π Φ
=
⋅
=
⋅
=
Φ =
Φ
C
s
e
e
e
A ds
curlA dS
c
c
ch
(1) (1) (1) where C is a contour around the corner junction and S is the area surrounded by the C and
Φ is the total magnetic flux through the junctions. When total magnetic flux
0 2
Φ = Φ
, this
phase becomes χ
π
=
. With this phase, total phase difference becomes 0 or 2π. Therefore
two Josephson currents now are reinforced with each other. This result shows, the stable superconducting state under zero external current and zero
external field becomes nontrivial. For such stable state, the free energy of whole system,
especially
the
superconducting
condensation
energies
of
both d-
and
s-wave
superconductors should be low. Therefore the order parameter should become continuous
across both of junctions. And then the phase of order parameter cannot be uniform because
of the phase difference π between two junctions. This phase difference π should be
compensated by changing the phase of the order parameter spatially in both s- and d-wave
superconducting regions because of single valuedness of the order parameter. This spatial
variation of the order parameter causes the supercurrent around the corner junction and
then spontaneous magnetic flux is created at the corner without an external field. Because
the associated phase change of this supercurrent is not 2π but only π, the spontaneous
magnetic flux is not singly quantized magnetic flux
0
Φ , but half-flux quantum magnetic
flux (
0 2
Φ
). An experiment showing this property was done by Higenkamp et al., who made a zigzag
junction between conventional s-wave superconductor Nb and high-Tc d-wave
superconductor YBCO, which consists of successive corner junctions [6]. 1. Introduction This symmetry is internal and it
appears in momentum space that means the wave function of the Cooper pair moving along
the x-axis has + sign and that moving along y-axis has – sign. This is also another phase of
superconducting order parameter and it affects the interference phenomena in the
superconductors. Superconductors – Materials, Properties and Applications
320 Figure 1. The symmetry of
2
2
−
x
y
d
-wave superconductivity. The color shows the sign of wave function
(order parameter) and the shape shows the amplitude of the wave function (order parameter). The symmetry of
2
2
−
x
y
d
-wave superconductivity. The color shows the sign of wave function Figure 1. The symmetry of
2
2
−
x
y
d
-wave superconductivity. The color shows the sign of wave function
(order parameter) and the shape shows the amplitude of the wave function (order parameter). x
y
(order parameter) and the shape shows the amplitude of the wave function (order parameter). y
(order parameter) and the shape shows the amplitude of the wave function (order parameter). The high-Tc cuprate superconductors are typical example of d-wave superconductors. Since
the discovery of the high-Tc superconductors, the pairing symmetry, as well as its origin,
has been controversial, but phase-sensitive experiment is crucial for determining the
symmetry of the Cooper pairs. One such phase-sensitive experiment is a corner junction
experiment [4,5]. In this experiment, a square-shaped high-Tc superconductor is connected
with a conventional s-wave superconductor with two Josephson junctions A and B, around
a corner and each junction is perpendicular to either of the x or the y axes of the high-Tc
superconductor, as shown in Fig. 2. Figure 2. Configuration of corner junction between d- and s-wave superconductors. There are two
junctions, A and B. Figure 2. Configuration of corner junction between d- and s-wave superconductors. There are two
junctions, A and B. In such geometry if the Cooper pair tunnels through junction A has phase 0, then the
Cooper pair tunnels through junction B has phase π. The critical current between the s- and
the d-wave superconductors through these two junctions is zero under zero external
magnetic field because each supercurrent cancels with each other. This is in apparent
contrast with a corner junction between both s-wave superconductors for which the critical
current is largest under zero external field. 1. Introduction And they observed
spontaneous magnetic fluxes at every corner under a zero external field, using scanning
SQUID microscope. The spontaneous magnetic fluxes aligned antiferromagnetically,
because of the attractive vortex-anti-vortex interaction. They also made small ring with two
junctions between Nb and YBCO, which is called π-rings, and controlled the spontaneous
half-quantum magnetic fluxes [7]. When spontaneous magnetic flux appears in the zero external magnetic field, this state does
not have the time reversal symmetry, which the original system has. Therefore there are
always two degenerate stable states. In these states, supercurrent directions are opposite and
henceforth directions of spontaneous magnetic fluxes are opposite. This spontaneously
appeared magnetic flux is useful and can be used as a spin or a bit by it self. Ioffe et al. [8]
proposed a quantum bit using this half-quantum flux. Using the spontaneous magnetic flux 322 Superconductors – Materials, Properties and Applications as an Ising spin system, Kirtley et al. made a frustrated triangular lattice of π-rings [7]. In
their systems, the π-rings were isolated and interacted with each other purely by the
electromagnetic force. Figure 3. Schematic diagram of a d-dot. Figure 3. Schematic diagram of a d-dot. In contrast to the previous approach for using the spontaneous half-flux quantum, we
considered nano-sized d-wave superconductor embedded in an s-wave matrix, as shown in
Fig. 3 [9-11]. We want to consider the whole d-dot system as a single element, not the
individual half-quantum fluxes. As in the single half-quantum system, our d-dot has two
degenerate states if the spontaneous magnetic fluxes appear, because the state with
spontaneous magnetic fluxes under zero external field also breaks time-reversal symmetry. This property is independent from the shape, and the d-dot in any shape always has two
degenerate stable states. Therefore, the d-dot as a whole can be considered as a single
element with two level states and it might be used as a spin or a bit also as a qubit. It has
better properties than those of single flux quantum element, which will be shown in
following sections. In the following, we first show a phenomenological superconducting theory, which
describes the spontaneous magnetic fluxes in these composite structures, especially in d-dot
systems and then we discuss the basic properties of this d-dot, based on this
phenomenological theory. Also, we discuss the difference between a single half-quantum
flux system and our d-dot system. 2. Model: two components Ginzburg-Landau free energy In order to discuss the basic properties of the d-dot, especially to describe the appearance of
spontaneous magnetic fluxes, we use the phenomenological Ginzburg-Landau (GL) theory. However, for anisotropic superconductors, such as the
2
2
−
x
y
d
-wave high-Tc cuprate Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations superconductors, their anisotropy cannot be treated by the simple GL theory. This is
because using only up to quartic term and quadratic term of gradients of the single order
parameters in free energy, there are no anisotropic terms. Anisotropy of the vortices in d-
wave superconductors within the phenomenological theory was treated by Ren et al., who
used a two-component GL theory [12-15]. Here, two components mean the two components
of the order parameter of with s and d symmetries. They derived the two-component GL
free energy from the Gor'kov equations. Multi-components GL equations were used for exotic superconductors, e.g. heavy fermion
superconductors[16-18] and Sr2RuO4[19,20]. Also, recently, two components GL equations
are studied for two-band or two-gap superconductors, such as MgB2 [21,22]. The model by Ren.et al. especially emphasize the anisotropy of d-wave superconductivity. Therefore, we use the following two-component Ginzburg-Landau (GL) free energy for d-
wave superconductors; (
)
(
)
(
)
(
)
(
)
2
2
4
2
2
2
2
2
2
2
2
2
2
2
2
4ln
3
,
,
2
8
3
1
2
H.c. 2. Model: two components Ginzburg-Landau free energy 4
1
1
2
div
2
8
α
α
λ
αλ
α
α
αλ
αλ
π
Ω
∗
∗
∗
∗
∗
∗
∗
Δ Δ
=
Δ
−
+
Δ
+
Δ
+
Δ
+
Δ
+ Π Δ Π Δ −Π Δ Π Δ +
+
Δ
Δ
+
Δ Δ + Δ Δ
+
−
+
Ω
cd
s
d
s
d
d
d
d
s
s
d
F
d
s
x
s
x
d
y
s
y
d
d
s
d
s
d
s
d
T
T
v
d
A
h
H
A
F
Π
Π
(2) (2) where
2
Π =
∇−
e
i
c A is a generalized momentum operator that is gauge invariant and
( )
(
)
2
7
3
8
ζ
α
π
=
T
. Δd and Δs are the d-wave and the s-wave components of the order parameter,
respectively. ( )
0
λ =
d
d
V N
is the strengths of the coupling constants for the d-wave
interaction channel and
1
α
λ
+
=
s
d
s
d
V
V
. Here,
( )
0
N
is the density of states of electrons at the Fermi energy and
d
V and
sV are interaction constants between electrons for d- and s-wave
channels, respectively. We assume attractive and repulsive interactions for the d- and the s-
wave channels, respectively. cd
T is the transition temperature of the d-wave
superconductivity under zero-external field. H is an external field and
curl
=
h
A . We take
the London gauge i.e. 0
∇⋅
=
A
and
0
⋅
=
A n
at the surface of superconductor. The term
(
)
2
∇⋅A
in the integrand of Eq. 2 is added for fixing the gauge. 2. Model: two components Ginzburg-Landau free energy 8
1
1
2
2
2
8
αλ
αλ
π
∗
∗
∗
∗
∗
∗
∗
+
Δ
+
Δ
+ Π Δ Π Δ −Π Δ Π Δ +
+
Δ
Δ
+
Δ Δ + Δ Δ
+
−
+ ∇⋅
Ω
s
F
d
s
x
s
x
d
y
s
y
d
s
s
d
s
d
s
d
v
d
h
H
A
Π
Π
(3) (3) Here
( )
0
λ =
s
s
V N
is the strengths of the coupling constants for the s-wave interaction
V Here
( )
0
λ =
s
s
V N
is the strengths of the coupling constants for the s-wave interaction
channeland
2
1
α
−
=
s
d
V
V ( )
0
λ =
s
s
V N
is the strengths of the coupling constants for the s-wave interactio Here
( )
0
λ =
s
s
V N
is the strengths of the coupling constants for the s-wave interaction
channeland
2
1
α
λ
−
=
s
d
d
s
V
V
. channeland
2
1
α
λ
−
=
s
d
d
s
V
V
. d α
λ
=
d
d
s
V
. In these free energies, the anisotropy of the d-wave superconductivity appears in the
coupling
terms
of
the
gradient
of
both
components
of
order
parameters,
(
)
H.c. ∗
∗
∗
∗
Π Δ Π Δ −Π Δ Π Δ +
x
s
x
d
y
s
y
d
, where the two terms that contain the gradients along the x
and the y directions have different signs. Figure 4. (a) Triangle elements of superconductors. (b) Nodes of a triangle element and the value of
physical quantities at the nodes. Figure 4. (a) Triangle elements of superconductors. (b) Nodes of a triangle element and the value of
physical quantities at the nodes. By minimizingthe sum of these free energies, we obtain the Ginzburg-Landau (GL)
equations. For this purpose, we use the finite-element method [23-25], because we want to
investigate variously shaped d-dots. Hereafter we consider two-dimensional system and
ignore the variation of physical quantities along the direction perpendicular to the two
dimensional system. 2. Model: two components Ginzburg-Landau free energy Also, for s-wave superconductors, we use the following two-component GL equation
with attractive and repulsive interactions for the s-wave and the d-wave channels,
respectively: Superconductors – Materials, Properties and Applications
324 Superconductors – Materials, Properties and Applications
324 Superconductors – Materials, Properties and Applications
324 (
)
(
)
(
)
(
)
(
)
2
2
4
2
2
2
2
2
2
2
2
2
2
2
2
ln
3
,
,
2
2
8
1
2
H.c. 8
1
1
2
2
2
8
α
αλ
α
λ
α
α
αλ
αλ
π
Ω
∗
∗
∗
∗
∗
∗
∗
Δ Δ
=
Δ
−
+
Δ
+
Δ
+
Δ
+
Δ
+ Π Δ Π Δ −Π Δ Π Δ +
+
Δ
Δ
+
Δ Δ + Δ Δ
+
−
+ ∇⋅
Ω
cs
s
d
s
s
d
s
s
d
d
s
F
d
s
x
s
x
d
y
s
y
d
s
s
d
s
d
s
d
T
T
v
d
A
h
H
A
F
Π
Π
(3) (
)
(
)
2
2
4
2
ln
3
,
,
2
2
8
α
αλ
α
λ
α
α
Ω
Δ Δ
=
Δ
−
+
Δ
+
Δ
cs
s
d
s
s
d
s
s
d
d
T
T
A
F (
)
(
)
(
)
2
2
2
2
2
2
2
2
2
2
2
1
2
H.c. 2. Model: two components Ginzburg-Landau free energy In the finite-element method for two-dimensional system, we divide
the superconductor region into small triangular elements (see Fig. 4 (a)) and then expand
the order parameters and the vector potential in each element by using the area coordinate,
which is defined as, (
)
(
)
(
)
1
inside of element
2
,
i
1,2,3
0 outside of element
+
+
=
=
i
i
i
e
e
i
a
b x
c y
S
N
x y
(4) (
)
(
)
(
)
1
inside of element
2
,
i
1,2,3
0 outside of element
+
+
=
=
i
i
i
e
e
i
a
b x
c y
S
N
x y
(4) (4) Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 325 Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 325 Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 325 Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 325 Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 325 eS is an area of e-th element and the coefficients are defined as, eS is an area of e-th element and the coefficients are defined as, =
−
e
e
e
e
i
j
k
k
j
a
x y
x y
(5)
=
−
e
e
i
j
k
b
y
y
(6)
=
−
e
e
i
k
j
c
x
x
(7) (5) (6) (7) where(
)
, ,
i j k is a cyclic permutation of (
)
1,2,3 and (
)
,
e
e
i
i
x
y
is the coordinate of the i-th
nodes of the e-th element (see Fig. 4(b)).These area coordinates are localized functions as
shown in Fig. 5.Also the area coordinate
(
)
,
e
i
N
x y represents normalized area of a triangular
of which nodes are P, Pj and Pk in Fig. 5 (b), where (
)
, ,
i j k is a cyclic permutation of
(
)
1,2,3 . 2. Model: two components Ginzburg-Landau free energy And then they have following properties; where(
)
, ,
i j k is a cyclic permutation of (
)
1,2,3 and (
)
,
e
e
i
i
x
y
is the coordinate of the i-th
nodes of the e-th element (see Fig. 4(b)).These area coordinates are localized functions as
shown in Fig. 5.Also the area coordinate
(
)
,
e
i
N
x y represents normalized area of a triangular
of which nodes are P, Pj and Pk in Fig. 5 (b), where (
)
, ,
i j k is a cyclic permutation of
(
)
1,2,3 . And then they have following properties; (
)
3
1
,
1
=
=
e
i
i N
x y
(8)
(
)
,
δ
=
e
e
e
i
j
j
ij
N
x
y
(9) (
)
3
1
,
1
=
=
e
i
i N
x y
(8)
(
)
,
δ
=
e
e
e
i
j
j
ij
N
x
y
(9) (8) (
)
,
δ
=
e
e
e
i
j
j
ij
N
x
y
(9) (
)
,
δ
=
e
e
e
i
j
j
ij
N
x
y
(9) (9) Figure 5. (a) A bird's-eye view of an area coordinate
(
)
,
e
i
N
x y . (b) Area coordinates represent
normalized area of triangular elements. Figure 5. (a) A bird's-eye view of an area coordinate
(
)
,
e
i
N
x y . (b) Area coordinates represent
normalized area of triangular elements. Figure 5. (a) A bird's-eye view of an area coordinate
(
)
,
e
i
N
x y . (b) Area coordinates represent
normalized area of triangular elements. 2. Model: two components Ginzburg-Landau free energy Using these properties, the order parameters are expanded as (
)
(
)
3
1
,
,
=
Δ
=
Δ
e
e
d
di
i
e
i
x y
N
x y
(10) (10) Superconductors – Materials, Properties and Applications 326 (
)
(
)
3
1
,
,
=
Δ
=
Δ
e
e
s
si
i
e
i
x y
N
x y
(11) (11) and also the magnetic vector potential is expanded as, and also the magnetic vector potential is expanded as, (
)
(
)
3
1
,
,
=
=
e
e
i
i
e
i
x y
N
x y
A
A
(12) (12) where Δe
di and Δe
si are the value of the d-wave and the s-wave order parameters at the i-th
vertex of e-th element, respectively (see Fig. 4 (b)). Also,
e
i
A is the value of the vector
potential at the i-th vertex of the e-th element (see Fig. 4 (b)). Inserting these expansions into
the free energies Eqs. 2 and 3, the free energies are expressed by those values, Δe
di , Δe
si and
e
i
A . Then, minimizing the free energies, we get following GL equations. 2. Model: two components Ginzburg-Landau free energy For the d-wave
superconducting order parameter, { }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
2
2
Re
Im
Re
Im
+
Δ
Δ
+
+
Δ
Δ
+
Δ +
Δ
=
Δ
dd
dd R
dd
dd
ij
ij
dj
ij
ij
dj
j
j
ds
ds
dR
ij
sj
ij
sj
i
j
j
P
A
P
Q
A
Q
P
A
Q
A
V
(13) (13) { }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
2
2
Re
Im
Im
Re
−
+
Δ
Δ
+
+
Δ
Δ
+
Δ −
Δ
=
dd
dd
dd
dd I
ij
ij
dj
ij
ij
dj
j
j
ds
ds
dI
ij
sj
ij
sj
i
j
j
Q
A
Q
P
A
P
P
A
Q
A
V
(14) (14) And for the s-wave superconducting order parameter, And for the s-wave superconducting order parameter, { }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
2
2
Re
Im
Re
Im
+
Δ
Δ +
+
Δ
Δ
+
Δ
+
Δ
=
Δ
ss
ss R
ss
ss
ij
ij
sj
ij
ij
sj
j
j
ds
ds
sR
ij
dj
ij
dj
i
j
j
P
A
P
Q
A
Q
P
A
Q
A
V
(15) (15) { }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
{ }
(
)
2
2
Re
Im
Im
Re
−
+
Δ
Δ +
+
Δ
Δ
+
Δ
−
Δ
=
Δ
ss
ss
ss
ss I
ij
ij
sj
ij
ij
sj
j
j
ds
ds
sI
ij
dj
ij
dj
i
j
j
Q
A
Q
P
A
P
P
A
Q
A
V
(16) (16) Coefficients for d-wave region and s-wave region are different and are given in Appendix. 2. Model: two components Ginzburg-Landau free energy Also for the vector potential following equations are obtained as follows, Coefficients for d-wave region and s-wave region are different and are given in Appendix. Also for the vector potential following equations are obtained as follows, {
}
(
)
{
}
(
)
2
2
,
,
Δ
Δ
+
Δ
Δ
+
=
−
−
e
e
e
ex
ex
ey
ij
d
s
ij
d
s
jx
ij
jy
i
i
i
j
j
R
R
A
S A
T
T
U
(17)
{
}
(
)
{
}
(
)
2
2
,
,
Δ
Δ
−
Δ
Δ
−
=
+
−
e
e
e
ey
ey
ex
ij
d
s
ij
d
s
jy
ij
jx
i
i
i
j
j
R
R
A
S A
T
T
U
(18) {
}
(
)
{
}
(
)
2
2
,
,
Δ
Δ
+
Δ
Δ
+
=
−
−
e
e
e
ex
ex
ey
ij
d
s
ij
d
s
jx
ij
jy
i
i
i
j
j
R
R
A
S A
T
T
U
(17) (17) {
}
(
)
{
}
(
)
2
2
,
,
Δ
Δ
−
Δ
Δ
−
=
+
−
e
e
e
ey
ey
ex
ij
d
s
ij
d
s
jy
ij
jx
i
i
i
j
j
R
R
A
S A
T
T
U
(18) (18) Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 327 Here coefficients are also given in Appendix. At the boundary of d- and s-wave
superconductors, because the wave function is continuous, following boundary conditions
are applied: Here coefficients are also given in Appendix. 2. Model: two components Ginzburg-Landau free energy So,
free energies are given as, (
)
(
)
2
2
2
2
2
2
3
4ln
1
1
1
,
div
8
3
4
8
8
α λ
αλ
α
π
π
∗
Ω
Δ
=
Δ
−
+
Δ
+
−
+
Ω
cd
d
d
d
d
d
F
d
T
T
v
d
A
h
H
A
F
Π
(21)
(
)
(
)
2
2
2
2
2
ln
1
1
1
,
div
2
4
8
8
α λ
αλ
α
π
π
∗
Ω
Δ
=
Δ −
+
Δ
+
−
+
Ω
cs
s
s
s
s
s
F
s
T
T
v
d
A
h
H
A
F
Π
(22) (22) Superconductors – Materials, Properties and Applications
328 328 (
)
(
)
(
)
{
}
(
)
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
3
1
,
,
2
2
3
2
2
1
1
1
2
H.c. div
4
8
8
λ
λ
λ
π
π
∗
∗
Ω
∗
∗
∗
∗
∗
∗
Δ Δ
=
Δ
+
+
Δ
+
+
Δ
Δ
+
Δ Δ + Δ Δ
+
Δ
+
Δ
+ Π Δ Π Δ −Π Δ Π Δ +
+
−
+
Ω
d
s
M
s
d
d
d
s
d
d
s
d
s
d
s
d
F
d
s
x
s
x
d
y
s
y
d
b
a
a
b
b
b
b
v
d
A
h
H
A
F
Π
Π
(23) (23) Here
(
)
,
Δ
d
d A
F
,
(
)
,
Δ
s
s A
F
and
(
)
,
,
Δ Δ
M
s
d A
F
are the free energies for d-wave, s-wave
superconducting and junction regions respectively. A typical division of superconducting
region to d- and s-wave superconducting and junction regions is given in Fig. 6. 2. Model: two components Ginzburg-Landau free energy In the
junction region, order parameters and the vector potential vary rapidly and therefore
smaller mesh sizes are taken. At the boundary, we assume that each component of the order
parameter is continuous. 2. Model: two components Ginzburg-Landau free energy At the boundary of d- and s-wave
superconductors, because the wave function is continuous, following boundary conditions
are applied: 1
2
1
2
Δ
Δ
=
s
s
s
s
V
V
(19)
1
2
1
2
Δ
Δ
=
d
d
d
d
V
V
(20) 1
2
1
2
Δ
Δ
=
s
s
s
s
V
V
(19)
1
2
1
2
Δ
Δ
=
d
d
d
d
V
V
(20) (19) (20) In this model, d- and s-wave components of the order parameter interfere anisotropically
with each other in the both of d-wave and s-wave superconductors. And the boundaries
between both superconductors are assumed clean. But we cannot take into account the
roughness of the boundary. Figure 6. Mesh partition used in the finite element method. Red, blue and grey regions are d-wave and
s-wave superconducting and junction regions, respectively. Figure 6. Mesh partition used in the finite element method. Red, blue and grey regions are d-wave and
s-wave superconducting and junction regions, respectively. For treating roughness of the junctions, we consider second model. In contrast to the first
model, in the second model, the s-wave superconductor is connected to the d-wave
superconductor through a thin metal or an insulator layers. In the second model, we
consider only the d-wave (s-wave) component of the order parameter in the d-wave (s-
wave) superconducting region, but in the thin metal layer, we take both components. 3. Appearance of the half-quantum magnetic flux in d-dot Using the two models in Section 2, the spontaneous magnetic flux can be described. In Fig.7, the
s-wave and d-wave order parameters and magnetic field distribution are shown for a corner
junction between s-wave and d-wave superconductors under zero external magnetic field. Figure 7. Appearance of spontaneous half-quantum magnetic flux at a corner junction. (a) Amplitude
of s-wave component of order parameter. (b) Amplitude of s-wave component of order parameter. (c)
Magnetic field distribution at zero external field. Figure 7. Appearance of spontaneous half-quantum magnetic flux at a corner junction. (a) Amplitude
of s-wave component of order parameter. (b) Amplitude of s-wave component of order parameter. (c)
Magnetic field distribution at zero external field. Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 32 In this calculation, the physical parameters, such as the GL parameters and the transition
temperatures, for Nb and YBCO in the s- and the d-wave superconducting regions are used,
and system size is set as
0
25ξ
=
d
L
. Here,
0
ξd is the coherence length of the d-wave
superconductors at zero temperature. In Fig.7 (c), right-lower part is the d-wave
superconductor and other part is s-wave superconductor. Both components of the order
parameter exist in both of s- and d-wave superconductors. Especially, s-wave component
penetrates into the d-wave superconducting region and interferes with d-wave component. Such interference causes the spontaneous magnetic field, which is perpendicular to the
plane. In Fig. 7 (c), blue color means magnetic field
z
H is positive. Total magnetic flux
around the corner is approximately
0 2
Φ
. So a half-quantum magnetic flux appears
spontaneously. In this figure, the size of d-wave superconductor is
0
0
10
10
ξ
ξ
×
d
d . The
coherence length of high-Tc superconductors is rather small (
0
2 ~ 4
ξ
=
d
nm for YBCO) and
the size of d-wave region is 40 nm, which is rather small compare to the experiments by
Hilgencamp et al. [6]. But for such nano-sized d-wave superconductors, half-quantum
magnetic fluxes appear, as this result shows. For larger d-wave region, the spontaneous
magnetic flux is expected to appear easily. Figure 8. Superconducting order parameter and magnetic field structures for a square d-wave
superconductor in an s-wave superconductor. (a) Amplitude of d-wave component of the order
parameter. (b) Amplitude of s-wave component of the order parameter. (c) Magnetic field distribution. 3. Appearance of the half-quantum magnetic flux in d-dot Blue means H z < 0. Figure 8 Superconducting order parameter and magnetic field structures for a square d wave Figure 8. Superconducting order parameter and magnetic field structures for a square d-wave
superconductor in an s-wave superconductor. (a) Amplitude of d-wave component of the order
parameter. (b) Amplitude of s-wave component of the order parameter. (c) Magnetic field distribution
Blue means H z < 0. Superconductors – Materials, Properties and Applications 330 How such spontaneous magnetic flux appears, when a square d-wave superconductor is
embedded in an s-wave superconductor? In Fig.8, the typical magnetic flux structure of such
square d-dot in which edge of square is parallel to the x- or y-directions, under zero
magnetic field is shown. In this figure, red color means H z < 0. Magnetic fluxes appear at
four corners of the square d-dot, and they order antiferromagnetically. Such
antiferromagnetic order is already obtained by the experiment for zigzag junctions by
Hilgencamp et al. [6]. The reason of this antiferromagnetic order can be understood by
considering the interaction between vortices. Usual theory of vortex interaction tells us that
parallel vortices repel each other and antiparallel vortices attract each other because of the
current around the vortices and Lorentz force by this current. For the d-dot in Fig.8, the
spontaneous current flows form top-center of the d-wave superconductors, turns right and
left and flows into left and right sides of d-wave superconductor. So this current naturally
creates upward flux at the left-top corner and downward flux at the right-top corner. Fluxes
at the lower two corners can be explained similarly. Figure 9. The d-wave superconducting order parameter amplitudes ( (a) and (c)) and magnetic field
distribution ( (b) and (c) ) for smaller d-dot with d=1.7ξ. ( (a) and (b)) with d=1.3 ξ ((c) and (d)). Figure 9. The d-wave superconducting order parameter amplitudes ( (a) and (c)) and magnetic field
distribution ( (b) and (c) ) for smaller d-dot with d=1.7ξ. ( (a) and (b)) with d=1.3 ξ ((c) and (d)). Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations The second model of d-dots (Eqs.21-23) also describes these spontaneous half-quantum
magnetic fluxes. Using this model, we argue the size-dependence of these magnetic fluxes. Question is: The d-dot in Fig.8 have four half-quantum magnetic fluxes, but if the size of d-
dot becomes small, then what happens? 3. Appearance of the half-quantum magnetic flux in d-dot In Fig.9, the typical size dependences of the order
parameter structure and the magnetic fluxes are shown. In these figures, for smaller d-dots
the amplitudes of d-wave order parameter and magnetic field distributions are shown. When the size of the d-dot becomes small, then the amplitude of d-wave component of the
order parameter becomes small, and the spontaneous magnetic field becomes small. This is
because the spontaneous current, which flows around each corner, does not decrease much
at the center of the edge of the square when the size of the d-dot is comparable to the
coherence length. Then, the total magnetic flux becomes less than the half-flux quantum,
although the fluxoid is still a half-flux quantum. The temperature dependences of amplitude of order parameters and the spontaneous
magnetic fluxes also show similar tendency, because in this case, the coherence length
increases with increasing temperature. Figure 10. Order parameter ((a) d-wave and (b) s-wave) and magnetic field (c) distribution for an s-dot. Order parameter ((a) d-wave and (b) s-wave) and magnetic field (c) distribution for an s-dot. Figure 10. Order parameter ((a) d-wave and (b) s-wave) and magnetic field (c) distribution for an s-dot. Superconductors – Materials, Properties and Applications 332 These spontaneous magnetic fluxes do not appears for the geometry for a square d-wave
superconductor embedded in an s-wave superconducting matrix, but they appear for a
square s-wave superconductor embedded in d-wave superconducting matrix and various
shaped d-wave superconductors embedded in the s-wave superconducting matrix. The s-
wave superconducting dot case is called “s-dot”. For an s-dot, order parameter structures
and field distribution are shown in Fig. 10. There appear spontaneous magnetic fluxes
around the corners antiferromagnetically. These magnetic fluxes also are explained similarly
by the phase anisotropy of d-wave superconductivity. But the distribution of magnetic field
is opposite to the d-dot case, where magnetic field appears mainly outside of inner
superconducting region, but in this case, magnetic field appears mainly inside of inner
superconducting region. The s-dot is also useful but in the following we focus on the d-dot
case, which is more easily fabricated, we think. Next we discuss the shape dependence of the d-dot. Even if the shape of the d-wave
superconducting region is different from the square that is parallel to the crystal axis or x-
and y-axis, the spontaneous magnetic field is also expected. In Fig. 3. Appearance of the half-quantum magnetic flux in d-dot 11, distributions of the
order parameters and magnetic field for an equilateral triangle plate are shown. For this case
the spontaneous magnetic fluxes appear along the upper edges connected to the top corner. The spontaneous current flows the top corner and return to the intermediate points of upper
edges. Also spontaneous magnetic fluxes appear around the lower corners. These
spontaneous magnetic field along the edge also appear for rotated or diagonal squares, as
shown in Fig. 12. In these figures, the spontaneous currents across the junction mainly flow
along x- or y- directions. And direction of junction between d- and s-wave superconductors
is important for the appearance of magnetic flux. Figure 11. Spatial distribution of d-wave component of the order parameter (a) and magnetic field for
a triangular d-dot. Figure 11. Spatial distribution of d-wave component of the order parameter (a) and magnetic field for
a triangular d-dot. Also we note that not only square d-dots that is parallel to the x- and y-axis but also
arbitrary shaped d-dots that show spontaneous magnetic field, such as in Figs. 11 and 12,
have doubly degenerate stable states. And the shape of d-dot controls 15 the magnetic field
distribution. Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 333
Figure 12. Spatial distribution of d-wave component of the order parameter (a) and magnetic field for a
rotated square d-dot. Figure 12. Spatial distribution of d-wave component of the order parameter (a) and magnetic field for a
rotated square d-dot. Figure 13. Spatial distribution of magnetic field for a square d-dot. (a)
0
H =
, (b)
2
0
0.02
2
H
L
π
=
Φ
,
(c)
2
0
0.05
2
H
L
π
=
Φ
, (d)
2
0
0.1
2
H
L
π
=
Φ
, and (e)
2
0
0.2
2
H
L
π
=
Φ
. Figure 13. Spatial distribution of magnetic field for a square d-dot. (a)
0
H =
, (b)
2
0
0.02
2
H
L
π
=
Φ
,
(c)
2
0
0.05
2
H
L
π
=
Φ
, (d)
2
0
0.1
2
H
L
π
=
Φ
, and (e)
2
0
0.2
2
H
L
π
=
Φ
. These doubly degenerate states have good properties for applications. First they remain
under weak external magnetic field. In Fig. 3. Appearance of the half-quantum magnetic flux in d-dot 13, external field dependence of spontaneous
magnetic field distributions for a square d-dot is shown. The spontaneous magnetic flux
parallel (anti-parallel) to the external field becomes large (small), respectively. Although the
degeneracy from broken time reversal symmetry is lifted under the external magnetic field, These doubly degenerate states have good properties for applications. First they remain
under weak external magnetic field. In Fig. 13, external field dependence of spontaneous
magnetic field distributions for a square d-dot is shown. The spontaneous magnetic flux
parallel (anti-parallel) to the external field becomes large (small), respectively. Although the
degeneracy from broken time reversal symmetry is lifted under the external magnetic field, Superconductors – Materials, Properties and Applications 334 the state with π/2 rotated magnetic field distributions are equally stable. These doubly
degenerate states come from the broken four-fold symmetry of the square shape. This
property depends on the shape of d-dots. For asymmetric shaped d-dots, one of the doubly
degenerate states becomes more stable than another state. This means that we can control
these degenerate states using the magnetic field for asymmetric d-dots. Figure 14. Magnetic field distributions of (a) the most stable state (udud) and (b) an excited state
(udud). Figure 14. Magnetic field distributions of (a) the most stable state (udud) and (b) an excited state
(udud). Figure 15. Free energies of (a) the most stable state (udud) and (b) an excited state (uudd). is the
condensation energy of the superconductor and Tcs is the critical temperature of the s-wave
superconductor. Econd Figure 15. Free energies of (a) the most stable state (udud) and (b) an excited state (uudd). is the
condensation energy of the superconductor and Tcs is the critical temperature of the s-wave
superconductor. Econd Second property is the stability of the degenerate stable states. For the square d-dots, most
stable states show antiferromagnetic order of spontaneous magnetic fluxes, and we call
these state udud (up down up down) (Fig. 4 (a)). There are other states, which have higher
free energy. In Fig. 14 (b), one of such states is shown. In this state, spontaneous magnetic
fluxes do not show antiferromagnetic order, but parallel magnetic fluxes align at the upper
or lower edges. We call this state uudd (up up down down). The free energies of the udud
and uudd states are shown in Fig. 15. 3. Appearance of the half-quantum magnetic flux in d-dot Well below the critical temperature of the s-wave
superconductor Tcs, free energy difference between udud (a) and uudd (b) states becomes
comparable to the condensation energy of the superconductor. Therefore we can treat them
as two-level systems. Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 335 Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 335 Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 335 4. Interaction between d-dots As shown in previous section, the d-dots have double degenerate stable states. So we can
use them as bits or 1/2 spins. In order to use them as artificial spins, the d-dots will be placed
periodically or randomly. Then the interaction between them is important for these spin
systems. For using the d-dots as computational bits, they are also placed to transform the
information. Therefore interaction between d-dots also important for these applications. Figure 16. Pairs of d-dots in a parallel (a) or a diagonal (b) positions. How the d-dots interact with each other? Interaction between d-dots basically comes from
the interaction between spontaneous magnetic fluxes or vortices. If the spontaneous vortices
are independent from each other, that is, if there is no current flow between the vortices,
then via a purely electromagnetic interaction, they interact. This is the case of the π-ring
system of Kirtley et al. [4]. If the vortices are interacting in the same superconductors, there
is a supercurrent flow around the vortices and ordinary vortices interact with each other
through this current. The current distribution around a singly quantized vortex is given by
the first order Bessel function. And therefore the interaction force to vortex 1 from vortex 2
is given as, Figure 16. Pairs of d-dots in a parallel (a) or a diagonal (b) positions. Figure 16 Pairs of d dots in Figure 16. Pairs of d-dots in a parallel (a) or a diagonal (b) positions. How the d-dots interact with each other? Interaction between d-dots basically comes from
the interaction between spontaneous magnetic fluxes or vortices. If the spontaneous vortices
are independent from each other, that is, if there is no current flow between the vortices,
then via a purely electromagnetic interaction, they interact. This is the case of the π-ring
system of Kirtley et al. [4]. If the vortices are interacting in the same superconductors, there
is a supercurrent flow around the vortices and ordinary vortices interact with each other
through this current. The current distribution around a singly quantized vortex is given by
the first order Bessel function. 4. Interaction between d-dots And therefore the interaction force to vortex 1 from vortex 2
is given as, (
) (
)
0
0
12
1
2
12
1
12
2
3
ˆ
8π λ
λ
=
r
K
f
r
Φ
Φ
(24) (24) Where
12
r and
12
ˆr are distance between two vortices and a unit vector from the vortex 2 to
the vortex 1, respectively, and
1
K is the first order modified Bessel function. Directions of
vortices are expressed by(
)
0
i
Φ
and if two vortices are parallel (anti-parallel) then interaction
is repulsive (attractive), respectively. Where
12
r and
12
ˆr are distance between two vortices and a unit vector from the vortex 2 to
the vortex 1, respectively, and
1
K is the first order modified Bessel function. Directions of
vortices are expressed by(
)
0
i
Φ
and if two vortices are parallel (anti-parallel) then interaction
is repulsive (attractive), respectively. For d-dots, there is an s-wave region between d-wave islands, and the spontaneous currents
around the corners affect each other as usual supercurrent around singly quantized vortices, Superconductors – Materials, Properties and Applications 336 mentioned above. Then, an interaction between d-dots arises through the spontaneous
currents in the s-wave region. If two square d-dots are in a line (Fig. 16 (a)), nearest vortex
pair should be antiparallel (e.g. right-upper flux in the left d-dot and left upper vortex in the
right d-dot should be antiparallel). And then we can expect that two d-dots will have a same
spontaneous magnetic flux distribution, as shown in Fig. 16 (a). Therefore when we regard a
d-dot as a spin, they interact ferromagnetically. In contrast to this configuration, if two
square d-dots are placed diagonally (Fig. 16 (b)), then we expect an antiferromagnetic
interaction by the same argument. In Fig. 17, stable states for parallel two d-dots are shown. For short distance ((e)), the nearest magnetic fluxes disappear and the flux distributions of
two d-dots are same. Increasing the distance, the nearest magnetic fluxes appear and
becomes gradually large ((f)-(h)) and the states of the d-dots are still same.Therefore
ferromagnetic states are always stable, as we expected, and this is independent from the
distance. Figure 17. Stable states for parallel two d-dots. (a)-(d) : configurations of d- and s-wave
superconductors. (e)-(h): Stable magnetic field distributions. Figure 17. Stable states for parallel two d-dots. 5. Conclusions We showed that the anisotropic pairing of superconductivity causesinteresting phenomena
when two different superconductors are combined. Spontaneous half-quantized magnetic
flux around the junction between d-wave and s-wave superconductors is one of such
phenomena. It is simulated by the two-components Ginzburg-Landau equations, which can
treat the anisotropy of d-wave superconductivity. This half-quantum magnetic state for the
d-wave superconductors embedded in the s-wave superconductor has good properties for
applications to superconducting devices, especially for classical bits or qubits. 4. Interaction between d-dots (a)-(d) : configurations of d- and s-wave
superconductors. (e)-(h): Stable magnetic field distributions. Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 337 Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 337 Figure 18. Stable magnetic field distribution around a pair of d-dots, which are placed diagonally. The
states of these d-dots are same and therefore they interact ferromagnetically. Figure 18. Stable magnetic field distribution around a pair of d-dots, which are placed diagonally. The
states of these d-dots are same and therefore they interact ferromagnetically. Figure 19. Free energies for Ferromagnetic (F) and Antiferromagnetic states in diagonally placed two d-
dots. Figure 19. Free energies for Ferromagnetic (F) and Antiferromagnetic states in diagonally placed two d-
dots. However, for diagonally placed two d-dots, the magnetic field distribution is not so simple. In Fig. 18, the stable state is shown for short distance between two diagonally placed d-dots. Unlike to the expectation from the usual vortex-vortex interaction, ferromagnetic state
becomes stable. This is because two adjacent half-quantum fluxes are connected and form
broad single quantum flux and this can occur when two fluxes are parallel. Therefore the
ferromagnetic state becomes stable. It seems that the energy of this configuration becomes
lower when two half-quantum fluxes are closer to each other. This property does not appear
for ordinary vortices and we call this a fusion of half-quantum vortices. In Fig. 19, distance
dependence of the free energies for the ferromagnetic and antiferromagnetic states are
plotted. When distance between two d-dots is short, the ferromagnetic state has much lower 338 Superconductors – Materials, Properties and Applications free energy than that of the antiferromagnetic state. For longer distance, free energies of
these states are almost same, because the spontaneous magnetic fluxes become almost
independent as shown in the insets of Fig. 19. These interactions between d-dots can be used for changing the state of the d-dots [26]. Using these interactions, the d-dots have a potential applicability to the superconducting
devices[27]. Appendix In this appendix, the coefficients in Eqs. 13-18 aregiven. Takekazu Ishida Takekazu Ishida Department of Physics and Electronics, Osaka Prefecture University, 1-1, Gakuencho, Sakai, Osaka,
Japan Tomio Koyama Institute of Material Sciences, Tohoku University, Sendai, Japan Masahiko Machida
CCSE, Japan Atomic Energy Agency, Tokyo, Japan Appendix (46) (46) Appendix 17 and 18 in the d-wave superconducting region are given as, { }
(
)
(
)
(
)
(
)
1 2
1
2
1
2
1 2
2
2
2
2
0
,
3
3
2Re
4
Re
2
4
αα
α
λ
κ ξ
λ
∗
∗
=
≡
Δ
+
Δ Δ
+
Δ Δ
s
ij
d
d
d
ij
i i ij
di
di
si
si
i i
x y
d
R
K
I
A
,
(41)
{ }
(
)
(
)
1 2
1
2
1 2
2
3
Re
λ
λ
∗
≡
Δ Δ
s
ij
i i ij
di
si
i i
d
R
I
A
,
(42)
(
) (
)
2
2
2
0
3
2κ ξ
≡
Δ
−
xy
yx
ij
d
d
ij
ij
S
K
K
,
(43) { }
(
)
(
)
(
)
(
)
1 2
1
2
1
2
1 2
2
2
2
2
0
,
3
3
2Re
4
Re
2
4
αα
α
λ
κ ξ
λ
∗
∗
=
≡
Δ
+
Δ Δ
+
Δ Δ
s
ij
d
d
d
ij
i i ij
di
di
si
si
i i
x y
d
R
K
I
A
,
(41) (41) { }
(
)
(
)
1 2
1
2
1 2
2
3
Re
λ
λ
∗
≡
Δ Δ
s
ij
i i ij
di
si
i i
d
R
I
A
,
(42) (42) (
) (
)
2
2
2
0
3
2κ ξ
≡
Δ
−
xy
yx
ij
d
d
ij
ij
S
K
K
,
(43) (43) (
)
(
)
1 2
1
2
1
2
1 2
2
3
Im
2
Re
2
α
α
λ
λ
∗
∗
≡
Δ Δ
+
Δ Δ
s
i
i i i
di
di
si
si
i i
d
T
J
(
)
,
α = x y ,
(44) (44) (
)
(
)
1 2
1
2
1
2
1 2
2
3
Im
Im
2
α
α
λ
λ
∗
∗
≡
Δ Δ
+
Δ Δ
s
i
i i i
di
si
si
di
i i
d
T
J
(
)
,
α = x y ,
(45) (
)
(
)
1 2
1
2
1
2
1 2
2
3
Im
Im
2
α
α
λ
λ
∗
∗
≡
Δ Δ
+
Δ Δ
s
i
i i i
di
si
si
di
i i
d
T
J
(
)
,
α = x y ,
(45)
3
2 (45) (
)
2
2
2
0
0
3
2
4
α
α
π
κ ξ
≡
Δ
Φ
i
d
d
d
i
U
HJ
(
)
,
α = x y . Masaru Kato Masaru Kato Department of Mathematical Sciences, Osaka Prefecture University1-1, Gakuencho, Sakai, Osaka,
Japan Appendix For d-wave superconducting
regions, they are defined as, { }
(
)
(
)
(
)
1 2
1
2
1 2
2
2
2
0
0
,
,
3
3
4
4
αα
α
α
α
α
ξ
=
=
≡
Δ
+
−
Δ
dd
j
d
d
ij
i i ij
i
i
d
ij
x y
i i
x y
K
I
A A
I
A
(25) (25) { }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
1 2
1
2
1
2
1 2
2
2
3Re
Re
Im
Im
3
3Re
Re
Im
Im
4
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
+
Δ
Δ
+
Δ
Δ
dd R
s
ij
i i ij
si
si
si
si
i i
d
i i ij
di
di
di
di
i i
P
I
I
(26)
{ }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
1 2
1
2
1
2
1 2
2
2
Re
Re
3Im
Im
3
Re
Re
3Im
Im
4
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
+
Δ
Δ
+
Δ
Δ
dd I
s
ij
i i ij
si
si
si
si
i i
d
i i ij
di
di
di
di
i i
P
I
I
(27) { }
(
)
(
)
1 2
1
2
1
2
1 2
2
2
3Re
Re
Im
Im
3
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
dd R
s
ij
i i ij
si
si
si
si
i i
d
P
I
(26) (26) { }
(
)
(
)
1 2
1
2
1
2
1 2
2
2
Re
Re
3Im
Im
3
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
dd I
s
ij
i i ij
si
si
si
si
i i
d
P
I
(27) (27) { }
(
)
(
)
(
)
1
1
1
1
2
2
0
,
3
4
α
α
α
α
ξ
=
≡−
Δ
−
dd
ij
d
d
ii j
ji i
i
i
x y
Q
J
J
A
A
(28) (28) { }
(
)
1 2
1
2
1 2
1
2
1 2
1 2
2
2
3
2Im
Re
2Im
Re
4
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
dd
s
ij
i i ij
si
si
i i ij
di
di
i i
i i
d
Q
I
I
(29) { }
(
)
1 2
1
2
1 2
1
2
1 2
1 2
2
2
3
2Im
Re
2Im
Re
4
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
dd
s
ij
i i ij
si
si
i i ij
di
di
i i
i i
d
Q
I
I
(29) (29) Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 339 { }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
2
2
0
,
3
4
α
λ
ξ
λ
=
≡
Δ
−
+
−
ds
xx
yy
s
ij
d
d
ij
ij
i i ij
i x
i x
i y
i y
i i
d
x y
P
K
K
I
A A
A A
A
(30) (30) { }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
2
2
0
,
3
4
α
λ
ξ
λ
=
≡
Δ
−
+
−
ds
xx
yy
s
ij
d
d
ij
ij
i i ij
i x
i x
i y
i y
i i
d
x y
P
K
K
I
A A
A A
A
(30)
{ }
(
)
(
)
(
)
(
)
{
}
1
1
1
1
1
1
1
2
2
0
3
4
λ
ξ
λ
≡
Δ
−
−
−
ds
x
x
x
y
y
y
s
ij
d
d
ii j
ji i
i
ii j
ji i
i
i
d
Q
J
J
A
J
J
A
A
(31)
{ }
(
)
1 2 2
1
2
3
1 2 3
3
Re
2
∗
Δ
≡
Δ Δ
Δ
dR
i
i i i i
i
i
i
i i i
V
I
(32)
{ }
(
)
1 2 2
1
2
3
1 2 3
3
Im
2
∗
Δ
≡
Δ Δ
Δ
dI
i
i i i i
i
i
i
i i i
V
I
(33) { }
(
)
(
)
(
)
(
)
{
}
1
1
1
1
1
1
1
2
2
0
3
4
λ
ξ
λ
≡
Δ
−
−
−
ds
x
x
x
y
y
y
s
ij
d
d
ii j
ji i
i
ii j
ji i
i
i
d
Q
J
J
A
J
J
A
A
(31) (31) { }
(
)
1 2 2
1
2
3
1 2 3
3
Re
2
∗
Δ
≡
Δ Δ
Δ
dR
i
i i i i
i
i
i
i i i
V
I
(32)
{ }
(
)
1 2 2
1
2
3
1 2 3
3
Im
2
∗
Δ
≡
Δ Δ
Δ
dI
i
i i i i
i
i
i
i i i
V
I
(33) (32) (33) { }
(
)
(
)
(
)
1 2
1
2
1 2
2
4
2
2
2
0
0
,
,
3
2
2
αα
α
α
α
α
λ
λ
ξ
λ
λ
=
=
≡
Δ
+
+
Δ
ss
s
s
ij
d
d
ij
i i ij
i
i
s
ij
x y
i i
d
d
x y
P
K
I
A A
I
A
(34) (34) { }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
1 2
1
2
1
2
1 2
2
2
4
3Re
Re
Im
Im
2
3Re
Re
Im
Im
λ
λ
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
+
Δ
Δ
+
Δ
Δ
ss R
s
ij
i i ij
di
di
di
di
i i
d
s
i i ij
si
si
si
si
i i
d
P
I
I
(35) { }
(
)
(
)
1 2
1
2
1
2
1 2
2
2
3Re
Re
Im
Im
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
ss R
s
ij
i i ij
di
di
di
di
i i
d
P
I { }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
1 2
1
2
1
2
1 2
4
3Re
Re
Im
Im
2
3Re
Re
Im
Im
λ
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
+
Δ
Δ
+
Δ
Δ
s
ij
i i ij
di
di
di
di
i i
d
s
i i ij
si
si
si
si
i i
d
P
I
I
(35) (35) (
)
1 2
1
2
1
2
1 2
2
3Re
Re
Im
Im
λ
λ
+
Δ
Δ
+
Δ
Δ
s
i i ij
si
si
si
si
i i
d
I { }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
1 2
1
2
1
2
1 2
2
2
4
Re
Re
3Im
Im
2
Re
Re
3Im
Im
λ
λ
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
+
Δ
Δ
+
Δ
Δ
ss I
s
ij
i i ij
di
di
di
di
i i
d
s
i i ij
si
si
si
si
i i
d
P
I
I
(36) { }
(
)
(
)
1 2
1
2
1
2
1 2
2
2
Re
Re
3Im
Im
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
ss I
s
ij
i i ij
di
di
di
di
i i
d
P
I { }
(
)
(
)
(
)
1 2
1
2
1
2
1 2
1 2
1
2
1
2
1 2
2
2
4
Re
Re
3Im
Im
2
Re
Re
3Im
Im
λ
λ
λ
λ
Δ
≡
Δ
Δ
+
Δ
Δ
+
Δ
Δ
+
Δ
Δ
ss I
s
ij
i i ij
di
di
di
di
i i
d
s
i i ij
si
si
si
si
i i
d
P
I
I
(36) (36) { }
(
)
(
)
(
)
1
1
1
1
2
2
2
0
,
3
2
α
α
α
α
λ
ξ
λ
=
≡−
Δ
−
ss
s
ij
d
d
ii j
ji i
i
i
d
x y
Q
J
J
A
A
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(
)
1 2
1
2
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1 2
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ss
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s
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di
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I
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)
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)
(
)
1
1
1
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,
3
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λ
=
≡−
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ij
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J
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A
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2
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I
I
(38) (38) { }
(
)
1 2 2
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4
4
Re
λ
λ
∗
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≡
Δ Δ
Δ
sR
s
i
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(39)
{ }
(
)
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)
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(40) (40) Superconductors – Materials, Properties and Applications
40 Superconductors – Materials, Properties and Applications
340 Superconductors – Materials, Properties and Applications
340 For s-wave superconducting regions, they are defined similarly. Appendix For s-wave superconducting regions, they are defined similarly. The coefficients in Eqs. 17 and 18 in the d-wave superconducting region are given as The coefficients in Eqs. Acknowledgement One of the authors (M. K.) thanks his former and present graduate students, M. Ako, M. Hirayama, S. Nakajima, H. Suematsu, T.Minamino, S. Tomita, Y. Niwa, and D. Fujibayashi
for useful discussions. This work is partly supported by “The Faculty Innovation Research
Project” of Osaka Prefecture University and it was supported by the CREST-JST project. Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 341 6. References [1] Tinkham M. Introduction to Superconductivity. New York: McGrawa-Hill, inc; 1996. [1] Tinkham M. Introduction to Superconductivity. New York: McGrawa-Hill, inc; 1996. [2] Sigrist M, Ueda K. Rev. Mod. Phys. 1991; 63(2): 239-311. ] Sigrist M, Ueda K. Rev. Mod. Phys. 1991; 63(2): 239-311. [3] Tsuneto T. Superconductivity and Superfluidity. Cambridge: Cambridge University
Press; 1998. [4] Tsuei C C, Kirtley J R. Pairing symmetry in cuprate superconductors. Rev. Mod. Phys. 2000;72(4): 969-1016. [5] Van Harlingen D J. Phase-sensitive tests of the symmetry of the pairing state in the
high-temperature superconductors—Evidence for dx2-y2 symmetry.Rev. Mod. Phys. 1995;67(2): 515-535. [6] Hilgenkamp A, Ariando, Smilde H-J H, Blank D H A, Rijnders G, Rogalla H, Kirtley J R,
Tsuei C C. Ordering and manipulation of the magnetic moments in large-scale
superconducting -loop arrays. Nature 2003; 422, 50 -53. http://www.nature.com/nature/journal/v422/n6927/full/nature01442.html [7] Kirtley J R, Tsuei C C, Ariando, Smilde H-J H, Hilgenkamp H. Antiferromagnetic
ordering in arrays of superconducting π-rings. Phys. Rev. B 2005; 72 (21): 214521 (1-11). [8] IoffeL B, Geshkenbein V B, Feigel'man M V, Fauchère A L, Blatter G. Environmentally
decoupled sds -wave Josephson junctions for quantum computing. Nature 1999; 398:
679-681. [9] KatoM, AkoM, MachidaM,Koyama T, IshidaT.Ginzburg–Landau calculations of d-
wave superconducting dot in s-wave superconducting matrix. Physica C 2004; 412-414:
352-357. [10] Kato M, Ako M, Machida M, Koyama T, Ishida T. Structure of magnetic flux in nano-
scaled superconductors. J. Mag. Mag. Mat. 2004; 272-276, 171-172. [11] Ako M, Ishida T, Machida M, Koyama T, Kato M. Vortex state of nano-scaled
superconducting complex structures (d-dot).Physica C 2004; 412-414: 544-547. [12] Ren Y, Xu J-H, Ting C S. Ginzburg-Landau Equations and Vortex Structure of a dx2-y2
Superconductor. Phys. Rev. Lett. 1995;74: 3680-3683. [13] Xu J H, Ren Y, Ting C S. Ginzburg-Landau equations for a d-wave superconductor with
applications to vortex structure and surface problems. Phys. Rev. B 1995; 52:7663-7674. [14] XuJ H, RenY, Ting C S.Structures of single vortex and vortex lattice in a d-wave
superconductor. Phys. Rev. B 1996; 53:R2991-R2994. [15] Li Q, Wang Z D, Wang Q H. Vortex structure for a d+is-wave superconductor. Phys. Rev. B; 1999; 59:613-618. [16] Garg A. Ginzhurg-Landau Theory of the Phase Diagram of Superconducting UPt3. Phys. Rev. Lett. 1992; 69: 676-679. [17] Garg A, Chen D-C. Two-order-parameter theory of the phase diagram of
superconducting UPt3. Phys. Rev. B 1994;49: 479-493. [18] Martisovits V, Zaránd G, Cox D L. Composite Structures of d-Wave and s-Wave Superconductors (d-Dot):
Analysis Using Two-Component Ginzburg-Landau Equations 341 6. References Theory of “Ferrisuperconductivity” in U1-xThxBe13. Phys. Rev. Lett. 2000; 84: 5872-5875. [19] Wang Q H, Wang Z D. Vortex flow in a two-component unconventional
superconductor. Phys. Rev. B 1998; 57: 10307-10310. Superconductors – Materials, Properties and Applications
342 [20] Agterberg D F. Square vortex lattices for two-component superconducting order
parameters. Phys. Rev. 1998; 58; 14484-14489. [20] Agterberg D F. Square vortex lattices for two-component superconducting order
parameters. Phys. Rev. 1998; 58; 14484-14489. [21] Babaev E, Speight M. Semi-Meissner state and neither type-I nor type-II
superconductivity in multicomponent superconductors. Phys. Rev. B 2005; 72;
180502(R)1-4. [22] Dao V H, Chibotaru L F, Nishio T, Moshchalkov V V. Giant vortices, rings of vortices, and
reentrantbehavior in type-1.5 superconductors. Phys. Rev. B 2011; 83: 020503 (R) 1-4. [23] Du Q, Gunzburger M D, Peterson J S. Analysis and approximation of the Ginzburg
Landau model of superconductivity. SIAM Rev. 1992;34:54-81. [24] Du Q, Gunzburger M D, Peterson J S.Solving the Ginzburg-Landau equations by finite-
element methods. Phys. Rev. B1992; 46: 9027-9034. [25] Wang Z D, Wang Q H. Vortex state and dynamics of a d-wave superconductor: Finite-
element analysis; Phys. Rev. B 1997; 55: 11756-11765. [26] Nakajima S, Kato M, Koyama T, Machida M, Ishida T,Nori F. Simulation of logic gate
using d-dot’s.PhysicaC 2008; 468: 769-772. [27] Koyama T, Machida M, Kato M, Ishida T. Quantum theory for the Josephson phase
dynamics in a d-dot. Physica C 2005; 426-431: 1561-1565.
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"ANNUAL REPORT FOR 1899 ON BIRTHS, DEATHS, AND MARRIAGES IN IRELAND."
|
Lancet
| 1,900
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public-domain
| 3,250
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To the Editors of THE LANCET. They have presented symptoms
I think common to two diseases-" malaria," so called, and
"beri-beri." Being health officer to the port as well as
medical officer to the hospital some eight or 10 years ago I
sent on shore several members of a crew who had been in an
Eastern port. They were stated to have suffered from
" fever more or less for a considerable time; they pre-
sented, if I remember rightly, the usual appearance of fever-
stricken patients—anæmia, sallow skin, emaciation, and
more or less cedema of the limbs, &c.-a
picture familiar
to anyone who has
lived
in
the East, Mauritius,
or Madagascar. It
so happened, I think, that the
subject
of
beri-beri
was being
written and talked
about at that time and it became a disputed point
whether the men should be allowed to remain in or be
removed to the lazaretto. Having on previous occasions
admitted men in like condition without ill result following
I pressed their being allowed to stay, which was done. No
harm came from it, and after good nursing and rest they
were allowed to go out to be sent home by steamer on a
oertificate from me that no harm was to be anticipated. No
deaths occurred. Had these been the subject of beri-beri
the outcome of the affair, I imagine, would have been very
different as regards the patients themselves. I had never
seen a case of beri-beri, neither had any of the local medical
men. All we knew of the malady was from books. Since
then I learn that " beri-beri is an endemic form of peripheral
neuritis,’ pathologically in the same category as diphtheria,
alcoholic, and other forms of neuritis."
In a late Port
Elizabeth paper I learn that cases have occurred in Algoa
Bay of a like nature, that the port officer advised their admis-
sion into the Provincial Hospital, that the hospital authorities
objected, and I believe the men were sent to a lazaretto. present
strongly
suggest
plague. I am. Sirs. vours faithfullv. faithfully, Glasgow, Sept. 29th, 1900. faithfully,
THOMAS COLVIN. faithfully,
THOMAS COLVIN. Glasgow, Sept. 29th, 1900. To the Editors of THE LANCET. To the Editors of THE LANCET. till Sept. 10th. She ad
o regular
atte da ce. I was called in to see this patient for the first time on
Sept. 10th, and having seen the first cases, the Malloy cases,
as well as the other cases at present in Belvidere Hospital, I
had no difficulty in diagnosing bubonic plague, for in answer
to my question : What is the matter with you
7 she at once
directed my attention to very palpable, painful buboes in
each groin. Moreover, she worked beside the other young
women who had been to the " wake " in Rose-street and are
now in Belvidere Hospital with plague. I learned from her
mother that during her illness of 18 days she had been seen
twice by a medical man. His first visit was when she
sickened and was "raving," and his second visit was
14 days later. On calling on him he informed me that on
his first visit her temperature was 1O4o F., but on his second
visit it was normal. He thought, not unreasonably, that
the buboes were most probably gonorrhoeal. I may add
that when I saw her on Sept. 10th her temperature was
normal, there was no rash or mottling of the skin, nor was
there anything apparently the matter with her but the
painful buboes in each groin. Now the two points I wish to
emphasise are (1) that unless seen early the temperature,
which would be a valuable differentiation sign between
plague
buboes
and
gonorrhoeal
buboes,
would
be
absent;
and (2) that in my limited experience
in
cases where I suspected gonorrhcea in women 1 have never
seen buboes although I often see them in men. I think that
the common sequel of gonorrhoea in women is not a bubo but
inflammation and suppuration of the vulvo-vaginal or
Bartholin’s glands. If buboes
are a rare sequela of
gonorrhoea in women-and an authoritative statement at
present on this point might be important-the fact of finding
buboes in a woman, even with a history of suspected
gonorrhoea, and especially with a rise of temperature, ought
at the present time strongly to suggest bubonic plague. SIRS,-Into the Provincial Hospital, Port Elizabeth, to
which I was attached for many years, cases have been
admitted from ships arrived from the East the diagnosis of
which has been disputed. To the Editors of THE LANCET. 8lRS,—On seeing the leading article on this subject in
THE LANCET of Sept. 29th (p. 952), I again studied the official
report referred to, but must confess that I can see no
reason to modify my criticism of it in the Tdmzes of Sept, 24th. Paragraph 3 of the report seems quite explicit, and the
inoculation was certainly put a stop to at one time. Here
is the passage :- and
it appears to have been understood from the concluding
portion of the War Office letter of 24th January, 1898, that the
objection of Lord Lansdowne to the introduction of the treatment
applied rather to the formal authorisation of inoculation at the public
expense than to voluntary operations at private cost. Under this
supposition the latter have been carried out at certain stations
(advantage being taken of the presence of Professor Wright in this
country as a member of the Plague Commission), though without the
sanction of the Government of India or of the Commander-in-Chief. On the facts becoming known, however, orders were issued to stop
turther inoculations, and the treatmeat has accordingly been abandoned. am, Sirs, yours faithfully,
Oct. 2nd, 1900. F. ENSOR, M.R.O.S. yours faithfully,
F. ENSOR, M.R.O.S. The italics are mine. We have a perfectly clear state-
ment, not only that the " inoculation at the public expense"
"
was prohibited, but that when it became known that
Professor Wright, then in India on the Plague Commission,
was carrying on "voluntary operations at private cost,"
these, too, were put a stop to. If this is not "express pro-
hibition " of inoculation against typhoid I do not know what
is-at all events it seems to have effectually stopped it for a
considerable period. That inoculation was resumed after
August, 1899, has nothing to do with the question raised by
me. I ask why it was that the measure was checked in 1898. I submit that though Government might reasonably have
refused to encourage "inoculation at the public expense "-
though even this was in my own humble opinion thoroughly
bad policy-yet they had no justification for going so far as , S
s, yours faithfully,
Oct. 2nd, 1900. F. ENSOR, M.R.O.S. Oct. 2nd, 1900. Oct. 2nd, 1900. To the Editors of THE LANCET. objected,
To prevent any further friction in similar cases I should
like to be informed in the pages of THE LANCET what is the
differential diagnosis between cases of long-standing malaria
and the disease called "beri-beri." Some of your readers who
have had experience in the East might supply this informa-
tion with great service to patients and hospital authorities. If there be a well-recognised " bacillus beri-beri," by send-
ing a specimen of blood or local effusion to the nearest
bacteriological institute-e.g., that of Graham’s Town-this
question might be decided at once and acted on. And what
is the difference between the bacillus of
’’ malaria " fever
and that of beri-beri, if there be any ? ? Is beri-beri con-
sidered infectious
2
It appears to be frequently fatal, hence
the necessity of strict care in admitting such cases ; but how
to prove their nature ? ? From experience I know nothing of
beri-beri, but from books only. The difference between
extreme cases of malaria and beri-beri is difficult to decide
and I apprehend that the bacteriological examination of
blood and tissues of these cases is the only scientific guide
for action. The evidence of experiment and experience is
much desired. I am, Sirs, yours faithfully, 1 Brit. Med. Jour., Oct. 13th, 1894. 1041 to stop Dr. Wright’s private inoculations altogether. In
doing so they practically took up the position that the
inoculation is harmful-that their own leading pathologist
was going about poisoning their soldiers. If they did not
think so, why did they prohibit the measure ? ? have fully published from week to week. It is evident that
the early diagnosis in general practice of plague is of
national importance, and as we all learn far more from
a mistaken than from a correct diagnosis I venture to
supplement the report of one of the cases mentioned in
Dr. A. K. Chalmers’s valuable weekly report and at the same
time to bring out two interesting facts from a practitioner’s
point of view. He refers to this case in this week’s report
as "RosinaM., unmarried, aged 25, of 23, Florence-street,
sickened on August 23rd, and her illness was not recognised
till Sept
10th. She had no regular medical attendance." y
they prohibit
I am, Sirs, yours faithfully I am, Sirs, yours faithfully,
- - --
Liverpool, Oct. 2nd, 1900. RONALD ROSS, D.P.H. I am, Sirs, yours faithfully,
- - --
Liverpool, Oct. 2nd, 1900. RONALD ROSS, D.P.H. aithfully,
- - --
RONALD ROSS, D.P.H. ,
Liverpool, Oct. 2nd, 1900. ,
, yours
Liverpool, Oct. 2nd, 1900. "ANNUAL REPORT FOR 1899 ON BIRTHS,
DEATHS, AND MARRIAGES IN
IRELAND." To the Editor8 of THE LANCET. Rebuilding of the Manchester Royal Infirmary, g
A REVOLT against the ascendancy of the pavilion plan of
hospital building has taken place. Some time ago a special
committee was appointed by the trustees of the Manchester
Rotal Infirmary which has had the proposal to build a new
infirmary under consideration, and a special committee of 11
members—seven elected by the board of management and
four by the medical board-was then appointed to deal
with the question of ascertaining whether or not a hospital
suitable in every way could be built on a plan other than
the pavilion system."
The medical board expressed the
opinion that it was uncertain whether the pavilion system
was as absolutely perfect as it had been thought to be
and that it might be well to consider whether some other
system which required less ground could not be adopted. Opinions on the subject were requested from Lord Lister,
Sir William MacCormae, Sir Thomas Smith, Sir Samuel
Wilks, Professor Macewen, Professor Thomas Anuandale,
Dr. T. Clifford Allbutt, Dr. J. F. Goodhart, Mr. Frederick
Treves, Mr. Howard Marsh, and Mr. Timothy Holmes. Of
these, Lord Lifter. Sir Thomas Smith, Professor Macewen,
and Str William Mac Cormac thought that the pavilion plan
was ideally the best, but that it was quite possible to build
a satisfactory infirmary 11 on other than the pavilion system."
Mr. Holmes was opposed to the pavilion plan, and Mr. Marsh
considered that it was not only not essential but that it was
in some respects inconvenient and open to positive objection. Dr. Clifford Allbutt and Professor Annandale thought that
the pavilion form was the best. Dr: Goodhart, Mr. Treves,
and Sir Samuel Wilks expressed no opinions. The report of
this committee was considered by the board of management
on Sept. 24 :,h,
and after discussion
it
was accepted
unanimously. Mr. J. Hardie, the chairman of the medical
board, wrote " Our report is really a most important
one. I know of none to equal its importance. Not only has
no consensus of professional opinion been before obtained,
but no such inquiry as we have made has ever been carried
out. Hitherto it has been thought that medical opinion was
wholly in favour of the pavilion plan exclusively. We
have found that that is a complete mistake. To the Editor8 of THE LANCET. SIRS,—In thanking you very heartily for the compli-
mentary remarks you were pleased to make in your review
in THE LANCET of Sept. 29th, 1900 (p. 963), of the
Annual Report of the Registrar-General for Ireland for
1899 on my meteorological observations I wish to correct 1 Brit. Med. Jour., Oct. 13th, 1894. 1042 a slight error into which you have fallen. You speak of
observations taken by me at my country residence in county
Wicklow. I have no country residence, and for the observa-
tions in question I am indebted to my friends, Mr. R. Cathcart Dobbs, C.E , J.P., of Knockdolian, Greystones,
county Wicklow, and Dr B. H. Steede, the able resident
medical superintendent of the National Hospital for Con-
sumption for Ireland, which is situated near Newcastle,
county Wicklow. This is now a fully equipped second order
meteorological station at which observations of great value
are being systematically taken. To the Editors of THE LANCET. SIRS,—Every inhabitant of London will be thankful to you
for drawing attention to the smoke nuisance. At the present
moment I am engaged with a great number of other inhabitants
in South London in comoating the nuisance caused by the
smoke from the chimney of the South London Electric Light
Corporation. The said chimney emits volumes of black
smoke which partly emanates from burning refuse from
the streets of the parish of Lambeth. The Electric Light
Corporation has on several occasions been fined for the
smoke nuisance, but they simply pay the small fine inflicted
-each time somebody takes the trouble to institute proceed-
ings and the nuisance goes on as before. gs
g
The inhabitants of Lambeth, as well as those of Catnber-
well, have issued memorials to compel the Lambeth parish to
take action, but we fear that the fact of the vestry having a
contract with the South London Electric Light Corporation
for the burning of their street refuse will make them very
reluctant to take such action as they are otherwise compelled
by Act of Parliament to institule. The smoke contains
gases coming from the consumed refuse which are of the
most objdctionable description and, in my opinion, are
necessarily injurious to health. We are very thankful for
the assistance we receive from journals of such importance
as yours, as only condemnation by public opinion may suc-
ceed in compelling the vestry authorities to do their duty. Rebuilding of the Manchester Royal Infirmary, The con-
sequence of this is that in future hospital authorities
will be less fettered and will give effect to their wishes
at lessened cost." It was resolved that the special committee
should be instructed to carry out the second part of the
resolution adopted by
the board of management on
Feb. 9th which gives authority to take steps to obtain
suitable plans and estimates and to incur any necessary
expense
in
connexion
therewith. Everything,
there-
fore, seems to promise plain sailing for the scheme of
rebuilding on the present site. But the present site is not
the best for the infirmary in every respect, though it is the
best for a much-yvished-for scheme that might be carried
out if the corporation could only purchase the whole of
the ground. A noble art gallery and free library could
be built on t,he site
if
the corporation could afford
to buy it, and a hot-pital might be built elsewhere on
a site more suitable to the present condition of the
town, and according to plans embodying modern knowledge
and wisdom so far as attainable. But the corporation has
great schemes on hand that draw heavily on its resources,
so the question is whether it can afford to buy the ground. On the other hand, no encroachment on the open space
round the infirmary will be allowed and it is very doubtful
if the increase of hospital accommodation urgently required
can be obtained without extending the present area of the
building. So that it seems as if, to quote a leading article
in one of the local papers, "the new century will open with
matters in about the same position as they were seven years
ago."
I’arious Senage Difficulties. y
I am, Sirs, yours faithfully. y
I am, Sirs, yours faithfully. , y
y
JOHN W. MOORE, M.D. Dub., P.R.C.P. Irel. Dublin, Oct. lst, 1900. To the Editors of THE LANCET SIRS,—The Coal Smoke Abatement Society is in no sense
moribund. The funds at present at its disposal only
admit of the employment of two inspectors, who are con-
stantly at work, and whose reports are submitted to the
committee every fortnight. These show that the state
of London as regards the smoke nuisance is improving
but little. and this is due entirely to the negligence of
vestries (and
more than negligence) in enforcing the
Act and the apathy of the London County Council and
Parish councils. This negligence and apathy are due to
various causes ; prominently in the vestries and parish
councils the offenders are members or friends of members. Until the law is changed and the responsibility of prosecu-
tion is withdrawn from the vestries and reinstated in the
hands of the police there is little chance of a real diminution
of the evil. Jobbery is rife and bribery is constant. Reports
which our inspectors have laid before the County Council,
parish councils, and the vestries have been ignored or given
the lie to by inspectors employed by those b)dies. Members
of my committee, myself included, have verified our inspectors’
reports, and we knov them to be true. We equally know that
representations furnished by their inspectors to the County
Council, parish couociis, and vestries have been false. A
meeting of my committee will be held at 14, Buckingham-
gate, on Thursday, Oct. llth, at 5 P.M. I am going
to try to call a public meeting at Sr. James’s Hall as
soon a-<
the elections are over, when I feel sure that you will
give us your valuable aid from the point of view of health. I
Si
b di
t point
I am, Sirs, your obedient servant, servant,
W. B. RICHMOND. ,
,
Hammersmith, Ocb. 2nd, 1900. I’arious Senage Difficulties. I’arious Senage Difficulties. g
In THE LANCET of August llth, 1900 (p. 464), the con
dition of the ,Black Brook," which diffuses its noxious
odours most liberally as it flows through Birch Park, one of
the open spaces of Manchester, was mentioned in terms
perhaps scarcely strong enough to express truly its pre-
eminence as a nuisance
It is satisfactory, therefore, to
know that, the Reddish Urban District Council have been
find E20 for one case of pollution and £5 for a second,
with z5 cost". The Me sey and Irwell Joiijt Committee In THE LANCET of August llth, 1900 (p. 464), the con
dition of the ,Black Brook," which diffuses its noxious
odours most liberally as it flows through Birch Park, one of
the open spaces of Manchester, was mentioned in terms
perhaps scarcely strong enough to express truly its pre-
eminence as a nuisance
It is satisfactory, therefore, to
know that, the Reddish Urban District Council have been
find E20 for one case of pollution and £5 for a second,
with z5 cost". The Me sey and Irwell Joiijt Committee y
y
I remain, Sirs, yours faithfully, y
y
I remain, Sirs, yours faithfully,
L. H. ly,
L. H. Oct. 2nd 1900. Oct. 2nd 1900. VACCINATION PROSECUTION-AT the Gloucester
City police-court on Sept.28th six persons were summoned
for negtecting to have their children vaocinate’l
All the
cases were eventually dismissed as the vaccination officer was
unable to prove service of the notices to vaccinate.
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EFFECT OF DECAPITATION AND PGRS ON PARAMETERS OF PLANT GROWTH ANALYSIS OF CLUSTER BEAN (CYAMOPSIS TETRAGONOLOBA TAUB.) CV. PUSA NAVBAHAR
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See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/347327184 See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/347327184 The user has requested enhancement of the downloaded file. All content following this page was uploaded by Priyanka Patel on 16 December 2020. Research Paper Article · December 2020 READS
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The user has requested enhancement of the downloaded file. Abstract An experiment was conducted to study the “Effect of decapitation and PGRs on growth and seed yield of cluster bean
(Cyamopsis tetragonoloba Taub.)” cv. Pusa Navbahar with 3 (three) decapitation treatments and 4(four) Plant growth
regulators each at two concentration with control in factorial randomized design with three replication at Regional
Horticultural Research Station, ASPEE College of Horticulture and Forestry, Navsari Agricultural University, Navsari
during summer 2014. The results showed significant differences among the yield parameters due to decapitation
treatment. Growth parameters viz; Days to 50 % flowering, plant height and number of leaves per plant were found non-
significant at 75 and 90 DAS. The effects of decapitation and PGR’s on physiological parameters viz; LA and LAI of
plant were found non-significant at 60 and 90 DAS. At 60 DAS fresh weight and dry matter content of plant were found
non-significant. Whereas, at 60 DAS CGR values were found significant (0.0016 g/cm2/day) under the treatment D3
(decapitation at 45 DAS) whereas, NAR values were found non-significant in analysis. Under Plant growth regulators
treatments Physiological parameters viz; LA, LAI and fresh weight and dry matter content of plant were also found 60
and 90 DAS registered non-significant results. Whereas, CGR (0.0019 g/cm2/day) and NAR values (0.0274 g/cm2/day)
were found significant under the treatment P1 (Control). Different combination of decapitation and PGRs treatments
recorded significant results on physiological parameters at various growth stages viz; LAI (0.0428) by the treatment
combination of D2P2. Whereas, LA and LAI at 60 DAS and 90 DAS recorded non-significant results in different
combinations except CGR (0.0021 g/cm2/day) and NAR (0.0311 g/cm2/day) at 60 DAS which were found significant due
to interaction between decapitation and PGRs treatments. At all the growth stages, interaction between D1P1 (without
decapitation and no spray) and D3P2 (Decapitation at 45 DAS and GA3 25 mg l-1) recorded significantly higher values
for all the physiological parameters. Fresh weight of plant and dry matter content of plant were found non-significant in
analysis Key words: Cluster bean, Decapitation, PGR’s, Sink, Source, Abscission, Key words: Cluster bean, Decapitation, PGR’s, Sink, Source, Abscission, photosynthetic ability of plants and offer a significant
role in realizing higher crop yields. The PGRs are also
known to enhance the source-sink relationship and
stimulate the translocation of photo-assimilates,
thereby increasing the productivity. Though, the plant
Growth regulators have great potential, its application
and accrual assessment etc. Introduction
Cl
b Cluster bean (Cyamopsis tetragonoloba (L) Taub.)
popularly known as guar is an important legume
vegetable crop. Cluster bean is grown for its young
tender green immature pods, which are used as a
nutritive vegetable. It can be grown on a almost all
types of soil. It can grow well in kharif and summer
seasons. In spite of commercial importance of cluster
bean crop in our daily diet and wide spread cultivation,
availability of pure and a good quality seed is not
satisfactory. Seed is the most important input for
increasing the vegetable production and productivity. Quantity and quality of seed will have a direct effect
on availability of fresh vegetable in the market. High
seed quality comprising, high germination and vigour,
which are required for higher and quality vegetable
production. Clipping of main shoot is called
decapitation, which modify the growth and play an
important role in diversification of food materials from
sink to source i.e. seed yield and seed quality and also
reduce the maturity period. Due to the wide spread
cultivation and nutritive important in our daily life,
demand for seed requirement is increasing day by day,
but availability of pure and good quality seed is not
available at proper time. Various attempts have been
made to increase production of seed with better
quality. Plant growth regulators (PGRs) are known to
improve
physiological
efficiency
including Abstract have to be judiciously
planned in terms of optimal concentration, stage of
application, species specificity and seasons. In their
wide spectrum of effectiveness on every aspect of
plant growth, even a modest increase of 10-15 per cent
could bring about an increment in the gross annual
productivity by 10-15 m tonne. (Sharma and Lashkari,
2009). Some of the authors of this publication are also working on these related projects: Scientific Utilization of NTFPs and MAPs View project Research in vegetable crops under protected condition View project All content following this page was uploaded by Priyanka Patel on 16 December 2020. VOLUME V, ISSUE XIII JULY 2015 MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal
EFFECT OF DECAPITATION AND PGRS ON PARAMETERS OF PLANT GROWTH ANALYSIS OF
CLUSTER BEAN (CYAMOPSIS TETRAGONOLOBA TAUB.) CV. PUSA NAVBAHAR
Priyanka Patel*; S. N. Saravaiya; T. R. Ahlawat and N. B. Patel
Department of Fruit Science, ASPEE College of Horticulture & Forestry,
NAU, Navsari-396 450, Gujarat, India. (Received : 12.05.15; Revised : 11.06.2015; Accepted : 13.06.2015)
(RESEARCH PAPER OF HORTICULTURE,) VOLUME V, ISSUE XIII JULY 2015 MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal
EFFECT OF DECAPITATION AND PGRS ON PARAMETERS OF PLANT GROWTH ANALYSIS OF
CLUSTER BEAN (CYAMOPSIS TETRAGONOLOBA TAUB.) CV. PUSA NAVBAHAR
Priyanka Patel*; S. N. Saravaiya; T. R. Ahlawat and N. B. Patel
Department of Fruit Science, ASPEE College of Horticulture & Forestry,
NAU, Navsari-396 450, Gujarat, India. (Received : 12.05.15; Revised : 11.06.2015; Accepted : 13.06.2015)
(RESEARCH PAPER OF HORTICULTURE,) MULTILOGIC IN SCIENCE ISSN 2277-7601 five selected plants were used and after computing the
result, it was worked out as the average leaf area in
centimeter square. The LAI was calculated with the
help of following formula: applied at flowering stage. Five tagged plant from each
net plot were selected for recording observations of
growth parameters. Leaf area was measured by leaf
area meter, in which randomly selected leaves from Leaf area (LA)
LAI = --------------
Land area (P) Results And Discussion The results obtained from the present investigation
have been discussed in details as under: Conclusion In the light of result obtained from present
investigation, it may be inferred, while comparing
effect of decapitation growth parameters viz; days to
50% flowering, plant height and number of leaves
plant-1 at 60 and 90 DAS, number of cluster per plant,
were found to be non-significant. The effect of
decapitation treatments on physiological parameters
viz; fresh weight of plant, dry matter content of plant,
LA, LAI and NAR were found non-significant at 60
and 90 DAS. However, CGR was significant. In terms
of effect of PGRs Growth parameters viz; days to 50%
flowering, plant height and number of leaves plant -1 at Crop Growth Rate (CGR) It depends on LAI and NAR can be computed as:
CGR= LAI × NAR La 1 dw 1 dw
1 W2-W1
=-----×-----× --- =-------×----- = ------ ×----------
P LA dT P dT P T2-T1 La 1 dw 1 dw
1 W2-W1
=-----×-----× --- =-------×----- = ------ ×----------
P LA dT P dT P T2-T1 La 1 dw 1 dw
1 W2-W1
=-----×-----× --- =-------×----- = ------ ×----------
P LA dT P dT P T2-T1 Where, Where,
W1 = Total Dry weight of the plant (g) at time T1 interval W1 = Total Dry weight of the plant (g) at time T1 interval W2 = Total Dry weight of the plant (g) at timeT2 interval T2 – T1 = Time interval in days
2 P = Land (ground) area (cm2) (g
)
(
)
Net Assimilation Rate (NAR) Net Assimilation Rate is the rate of dry weight increase per unit leaf area per unit time. It was calculated by using following formula and expressed as weight / area/ time i.e g cm-2 day-1 y
g
W2 – W1 y
g
g
W2 – W1 (Loge A2 – Loge A1) W2 – W1 (Loge A2 – Loge A1) W2 – W1 (Loge A2 – Loge A1)
NAR = ------------ x ---------------------
A2-A1 T2-T1
Wh NAR = ------------ x ---------------------
A2-A1 T2-T1 Where, Where, W2-W1= Change in DW at time intervals T2 and T1 g
A2-A1= Change in leaf area at time intervals T2 and T1 maximum CGR (0.0019) and NAR (0.0274) of plant
were found at 60 DAS and was recorded under the
treatment D1 (No spray). CGR had significant and
positive
correlation
with
bio-chemical
and
physiological
processes
that increased size of
photosynthetic area, which contributed for biological
yield. Present findings are in accordance with the
reports of Yadav and Sreenath (1975), Shinde et al. (1991), Ganiger et al. (2002) in cowpea for LA;
Mohandasss and Rajesh (2003) for LAI as well as dry
matter production in cowpea and Burman et al. (2003)
for dry matter accumulation in cluster bean Effect of decapitation: Looking to the physiological parameters i.e. fresh
weight, dry weight, LA, LAI, CGR and NAR of plant
it showed non-significant differences among the
decapitation treatments except CGR and NAR. This
may be due to defoliation senescence of mature leaves
at later stage. Both the physiological parameters viz;
CGR and NAR were found higher in treatment D3
(Decapitation at 45 DAS) i.e. CGR (0.0016 g/cm2/day)
and NAR (0.0243 g/cm2/day). This might be due to
adverse effect of decapitation on vegetative growth
and accumulation of metabolites and photosynthetic
product, resulting in increasing number of leaves plant-
1 and leaf area and due to these CGR and NAR values
were increased. This type of result is also reported by
Argall and Stewart (1984) in cowpea; Satodiya et al. (2011) and Yadav et al. (1993) in cluster bean. Materials And Methods A field study was undertaken during summer season of
2014 at Regional Horticultural Research Station,
ASPEE College of Horticulture and Forestry, Navsari
Agricultural University, Navsari. There were twenty
treatment combinations comprising Decapitation at 45
DAS and D4 - Decapitation at 60 DAS. five different
three decapitation treatments along with control i.e. D1- Without decapitation (control), D2- Decapitation at
30 DAS, D3- PGRs treatments along with control i.e. P1 - No spray (Control), P2- GA3 25 mg l-1, P3- GA3 50
mg l-1, P4 - Thiourea 500 mg l-1 and P5- Thiourea 1000
mg l-1 in a Randomized Block Design (Factorial) with
three replications. All the concentration of PGR’s were VOLUME V, ISSUE XIII JULY 2015 MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal Effect of Plant growth regulators: Results of various physiological parameters viz. LA,
LAI, fresh weight and dry weight of plant showed non-
significant differences at 60 and 90 DAS. However,
CGR and NAR was found significant at 60 DAS. The 156 www.ycjournal.net www.ycjournal.net GIF 0.845 www.ycjournal.net JIF 1.137 156 NAAS 3.45 GIF 0.845 GIF 0.845 MULTILOGIC IN SCIENCE ISSN 2277-7601
d, Peer reviewed & Indexed Quarterly Journal
lt
f MULTILOGIC IN SCIENCE ISSN 2277-7601
, Peer reviewed & Indexed Quarterly Journal
l
f VOLUME V, ISSUE XIII JULY 2015 60 and 90 DAS were found non-significant. Result of
various physiological parameters viz; fresh weight of
plant, dry matter content of plant, LA and LAI were
found non-significant at 60 DAS. Although, at 60 DAS
CGR and NAR registered higher values in treatment P1
(Control). Looking to the interaction effect between
decapitation and PGR’s treatments on days to 50 %
flowering, plant height and number of leaves plant-1
showed non-significant differences at 75 and 90 DAS. Different combination of decapitation and PGR’s
treatments recorded significant result at various stages
for physiological parameters viz; LAI, CGR and NAR
at 60 DAS LAI under the treatment D2P2. The
treatment combination of D1 P1 registered higher crop
growth rate in analysis. Interaction effect between D3
P2 recorded maximum NAR. References Argall, J.F. and Stewart, K. A., 1984. Effects of
decapitation and benzyladenine on growth and yield of
cowpea
(Vigna
unguiculata
(L.)Walp). Ann.Botany,54 (3):439-444. Burman, U., Garg, B. K. and Kathju, S., 2003. Influence
of
potassium
on
water
relation,
photosynthesis, nitrogen metabolism and yield of
cluster bean under moisture deficit conditions. Indian
J. Plant Physiol. 8 (3): 287-
291. Ganiger, T. S. and Patil, B. C., 2002. Effect of plant
growth regulators on yield and yield components in
Cowpea. Karnataka J. Agric.Sci. 15 (4): 693-695. Mohandoss, M. and Rajesh, V., 2003. Effect of
GA3 and 2, 4 – D on growth and yield of cowpea
(Vigna unguiculata L.). Legu. Res. 26 (3): 229-230. Satodia, B. N., Patel, H. C., Patel, A. D., Saiyad,
M.Y. and Leua, H. N., 2011. Effect of decapitations
and PGRs on seed yield and its attributes in cluster
bean
(Cyamopsis
tetragonoloba
L.)
cv. Pusa
Navbahar. Asian. J. Hort. 6 (1): 38-40. Satodia. B. N. and Chauhan, V. B., 2012. Response
of growth, seed yield and its quality to source
manipulation and plant growth regulators in cluster
bean (Cyamopsis tetragonoloba L.). Int. J. Forestry
and Crop Improvement. 3 (1):30-33. Shinde, A. K. and Jadhav, B. B., 1995. Influence of
NAA, ethrel and KNO3 on leaf physiology and yield of
cowpea. Ann. Plant Physiol, 9 (1): 43- 46. Yadava, R. B. R. and Sreenath, P. R., 1975. Influence of some growth regulators
on
growth,
flowering and yield of cowpea. Indian J. Plant
Physiol., 18 (2): 135-139. Yadava, R. B. R., Verma, O. P. S. and Sastri, J. A.,
1980. A note on the effect of growth regulators on seed
yield of cowpea (Vigna unguiculata (L.) Walp.) plants. Seed Res., 8 (1): 88-90. JIF 1.137 NAAS 3.45 JIF 1.137 www.ycjournal.net GIF 0.845 NAAS 3.45 157 MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal VOLUME V, ISSUE XIII JULY 2015 VOLUME V, ISSUE XIII JULY 2015 VOLUME V, ISSUE XIII JULY 2015 VOLUME V, ISSUE XIII JULY 2015 MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal
able 1: Effect of PGR’s on growth characters
. Decapitation
Days to 50%
flowering
Plant
height (cm)
75 DAS
Plant height
(cm) 90DAS
No. of leaves
plant - 175 DAS
No. of leaves
plant - 190 DAS
No. of cluster
per plant
Fresh weight
of plant
(t ha - 1)
Dry matter
contentof plant
(kg ha - 1)
1 : Control
22.23
70.19
114.76
14.67
21.01
21.00
7.71
1.68
2 : Decapitation
0 DAS)
22.67
69.42
106.16
13.82
21.21
20.78
7.53
1.59
3 : Decapitation
45 DAS)
23.60
70.30
103.56
13.92
20.33
20.53
7.11
1.63
4 : Decapitation
60 DAS)
22.33
70.48
107.74
13.86
21.32
21.50
8.16
1.77
Em±
0.40
1.00
3.42
0.40
0.50
0.59
0.29
0.07
D. @ 5 %
NS
NS
NS
NS
NS
NS
N.S. N.S. . Plant growth regulators
1 : No spray
22.42
67.71
116.10
13.19
20.14
21.65
7.30
1.54
2 : GA 3 25 mg l - 1
23.25
69.16
107.43
15.05
21.44
20.24
7.10
1.80
3 : GA 3 50 mg l - 1
23.33
70.11
104.17
13.54
20.93
21.14
7.66
1.65
4 : Thiourea 500 mg
1
22.00
71.07
104.41
14.21
20.98
21.02
7.61
1.64
5 : Thiourea 1000
g l - 1
22.67
72.42
108.15
14.35
21.35
20.70
8.46
1.71
Em±
0.45
1.11
3.82
0.45
0.56
0.66
0.33
0.08
D. @ 5 %
NS
NS
NS
NS
NS
NS
N.S. N.S. . Interaction D X P
Em±
0.89
2.23
7.65
0.91
1.21
1.33
0.65
0.15
D. @ 5 %
NS
NS
NS
NS
NS
NS
N.S. N.S. V. (%)
6.81
5.53
12.26
11.20
9.32
11.00
14.77
15.91 www.ycjournal.net GIF 0.845 JIF 1.137 NAAS 3.45 158 NAAS 3.45 JIF 1.137 www.ycjournal.net MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal MULTILOGIC IN SCIENCE ISSN 2277-7601
An International Refereed, Peer reviewed & Indexed Quarterly Journal VOLUME V, ISSUE XIII JULY 2015 Table 2: Effect of decapitation and PGR’s on growth of cluster bean
A. Decapitation
Leaf
Area
(cm2) 60
DAS
Leaf Area
(cm 2)
90 DAS
Leaf Area Index
(LAI) 60
DAS
Leaf Area Index
(LAI) 90 DAS
Crop Growth Rate
(CGR) at 60 DAS
(g/cm 2/day)
Net
Assimilation
Rate (NAR) at
60 DAS
(g/cm2/day)
D1 : Control
53.18
27.19
0.0393
0.0202
0.0015
0.0222
D2 : Decapitation
(30 DAS)
54.50
27.59
0.0405
0.0204
0.0014
0.0234
D3 : Decapitation
(45 DAS)
52.22
25.32
0.0389
0.0189
0.0016
0.0243
D4 : Decapitation
(60 DAS)
55.00
25.78
0.0409
0.0191
0.0012
0.0227
S.Em±
1.44
0.81
0.0011
0.0006
0.000023
0.0009
C.D. @ 5 %
NS
NS
NS
NS
0.000067
NS
B. Plant growth regulators
P 1 : No spray
51.85
25.61
0.0385
0.0190
0.0019
0.0274
P 2 : GA 3 25 mg l - 1
57.44
26.05
0.0428
0.0193
0.0014
0.0251
P 3 : GA 3 50 mg l - 1
50.85
27.40
0.0377
0.0203
0.0010
0.0204
P 4 : Thiourea 500 mg l - 1
53.46
28.25
0.0398
0.0208
0.0014
0.0210
P 5 : Thiourea 1000 mg l - 1
55.02
25.04
0.0408
0.0187
0.0015
0.0219
S.Em±
1.61
0.81
0.0012
0.0006
0.00003
0.0010
C.D. @ 5 %
NS
NS
0.0034
NS
0.0001
0.0029
C. Interaction D X P
S.Em±
3.23
1.63
0.0024
0.0012
0.0001
0.0020
C.D. @ 5 %
NS
NS
0.0068
NS
0.0001
0.0058
C.V. (%)
10.43
10.72
10.25
10.95
6.34
15.25 www.ycjournal.net GIF 0.845 JIF 1.137 NAAS 3.45 159 JIF 1.137 NAAS 3.45 www.ycjournal.net View publication stats
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English
| null |
Late ECG Changes after Cisplatin-Based Chemotherapy in Testicular Cancer Survivors
|
Journal of Clinical Cardiology
| 2,022
|
cc-by
| 8,976
|
1International Laser Center CVTI, Bratislava, Slovak Republic 1International Laser Center CVTI, Bratislava, Slovak Republic 2Institute of Pathological Physiology, Medical School of Comenius University, Bratislava, Slovak Republic
3Medical University, Mainz, Germany 2Institute of Pathological Physiology, Medical School of Comenius University, Bratislava, Slovak Republic
3Medical University, Mainz, Germany 4Department of Oncohematology, Faculty of Medicine, Comenius University and National Institute of Oncology, Bratislava,
Slovak Republic 4Department of Oncohematology, Faculty of Medicine, Comenius University and National Institute of Oncology, Bratislava,
Slovak Republic 52nd Department of Oncology, Faculty of Medicine, Comenius University and National Institute of Oncology, Bratislava,
Slovak Republic 52nd Department of Oncology, Faculty of Medicine, Comenius University and National Institute of Oncology, Bratislava,
Slovak Republic 6Slovak Medical University, Bratislava, Slovak Republic 6Slovak Medical University, Bratislava, Slovak Republic 6Slovak Medical University, Bratislava, Slovak Republic 6Slovak Medical University, Bratislava, Slovak Republic *Correspondence should be addressed to Ljuba Bacharova; bacharova@ilc.sk *Correspondence should be addressed to Ljuba Bacharova; bacharova@ilc.sk Received date: September 30, 2021, Accepted date: December 16, 2021 Received date: September 30, 2021, Accepted date: December 16, 2021 Citation: Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Copyright: © 2022 Bacharova L, et al. This is an open-access article distributed under the terms of the Creative Commons
Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author
and source are credited. Abstract Background: Cisplatin-based therapy (CBT) represents currently a standard regimen for the testicular cancer treatment leading to longer
survival of patients; as a consequence, the late cardiotoxicity can be manifested. In this study we analyzed the effect of CBT on the standard
12-lead ECG parameters in testicular cancer survivors. Material and Methods: The electrocardiograms (ECG) of 173 patients with the germ cell tumor with a median follow-up duration of 9 years
(ranged 5 to 32 years) were retrospectively analyzed. The patients were divided into four groups: Group CT: Orchidectomy plus CBT (n=133);
Group AS: Orchidectomy only (n=18); Group RT: Orchidectomy plus adjuvant radiotherapy (n=14); Group CTRT: Orchidectomy plus adjuvant
radiotherapy in combination with CBT (n=8). Heart rate (HR), QT and QTc intervals, the maximum spatial QRS vector amplitude, the electrical
axis, the QRS complex amplitudes in individual leads and the maximum spatial T vector amplitude were analyzed. Results: The HR and QT/QTc intervals were within normal limits. The most frequent ECG finding was the left anterior fascicular block, with
the highest occurrence in the group CTRT (75%). The amplitudes of aVL, V6 and Tmax differed significantly between the AS group and the
CT and RT/CTRT groups. The General Linear Model did not show a significant effect of therapy, but a significant effect of age and the waist
circumference, respectively. Conclusion: Cisplatin-based therapy did not result in pathological ECG changes. The slight ECG changes were assoc
but not the therapy. Keywords: Testicular cancer, Cisplatin-based therapy, Survivors, ECG both acute and late adverse effects have been documented,
introducing related therapeutic, prognostic and public health
problems. Late ECG Changes after Cisplatin-Based Chemotherapy in
Testicular Cancer Survivors Ljuba Bacharova1,2, Andreas Thaler3, Lucia Petrikova2,4, Beata Mladosievicova2, Daniela Svetlovska5, Katarina
Kalavska5, Zora Krivosikova6, Jozef Mardiak5, Michal Mego5, Michal Chovanec5 J Clin Cardiol. 2022;3(1):1-11 Research Article Journal of Clinical Cardiology Electrocardiography Standard 12-lead electrocardiograms were recorded at the
routine annual follow-up visits during the years 2015 and 2016. The time intervals and amplitudes of the QRS and T waves
in individual leads were measured manually; the average
of three measurements of consecutive QRS complexes was
used for analysis. All R wave and S wave measurements were
performed to the nearest 0.1 mV. Introduction Survivors of testicular cancer treated cisplatin-
based therapy have a higher prevalence of cardiovascular risk
factors [5-14] that could further contribute to the increased
risk of cardiovascular diseases [5,7,13,15,16]. Group AS: active surveillance, the control group;
Orchidectomy only, without additional chemo- or
radiotherapy; n=18, aging from 27 to 57 years, average
age 34.7 years, median follow up 5 years (ranging from 5
to 16 years). Group AS: active surveillance, the control group;
Orchidectomy only, without additional chemo- or
radiotherapy; n=18, aging from 27 to 57 years, average
age 34.7 years, median follow up 5 years (ranging from 5
to 16 years). The acute adverse effects of cisplatin-based therapy
include a variety of cardiovascular (CV) events [17-22]. On electrocardiograms (ECG) the transient ECG changes
simulating acute myocardial infarction or ischemia [19,23],
ST-T changes, atrial fibrillation [24], bradycardia and prolonged
QT interval are documented [4]. Animal studies have shown
increased serum concentration of cardiac biomarkers of
myocardial injury, increased oxidative stress and significant
DNA fragmentation, apoptosis after cisplatin [25,26]. These
structural and functional changes at the tissue, cellular and
subcellular levels can lead to altered electrogenesis. A question
arises, to what extent these alterations can be reflected in
identifiable ECG changes indicative of late cardiotoxicity. •
Group RT: Orchidectomy plus consequential adjuvant
radiotherapy; n=14, aging 29 to 56 years, average age
43.6 years. median follow up 10 years (ranging from 6 to
16 years). •
Group RT: Orchidectomy plus consequential adjuvant
radiotherapy; n=14, aging 29 to 56 years, average age
43.6 years. median follow up 10 years (ranging from 6 to
16 years). •
Group CTRT: Orchidectomy plus consequential adjuvant
radiotherapy
in
combination
with
cisplatin-based
chemotherapy; n=8, aging 31 to 59 years, average age
46.8 years. median follow up 7 years (ranging from 5 to
15 years). •
Group CTRT: Orchidectomy plus consequential adjuvant
radiotherapy
in
combination
with
cisplatin-based
chemotherapy; n=8, aging 31 to 59 years, average age
46.8 years. median follow up 7 years (ranging from 5 to
15 years). The aims of this study were: (1) to analyze the effect of
cisplatin-based treatment on the ventricular depolarization
and repolarization parameters of the standard 12-lead ECG
in testicular cancer survivors, (2) and to compare it with ECG
findings in testicular cancer survivors with other therapy
regimens. Material and Methods The data for this study were obtained from the database of
the ongoing translational project (Protocol IZLO-1, principal
investigator M. M.) focused on the late toxicity of chemotherapy,
radiotherapy or their combination in male patients cured for
germ cell tumor (the sub-study principal investigator M. Ch.). The study was approved by the Institutional Review Board
(IRB) of the National Institute of Oncology, Bratislava, Slovakia. Patients were enrolled between September 2015 and April
2017 and consented according to the IRB-approved protocol. The following ECG parameters were analyzed: Heart rate (HR): Bradycardia was defined as HR <60 bpm,
tachycardia HR >100 bpm. Time intervals: Time intervals: •
QRS complex duration (QRSd): the longest QRS duration
of all leads; Introduction Introducing cisplatin-based therapy into testicular cancer
treatment represents a substantial progress in therapy leading
to a longer survival of patients and less adverse effects;
currently it represents the standard therapy [1,2]. However, The increased number of testicular cancer survivors
living from years to decades after treatment [1] provides J Clin Cardiol. 2022
Volume 3, Issue 1 J Clin Cardiol. 2022
Volume 3, Issue 1 1 1 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. opportunity for studying late adverse cardiovascular effects,
which are reflected in higher incidence of CV morbidity and
mortality. Reported late ECG manifestations of cisplatin-
based treatment include severe bradycardia, supraventricular
tachycardia, prolonged QT interval, and atrial fibrillation
[3], suspected of altered electrical impulse generation and
conduction [4]. Survivors of testicular cancer treated cisplatin-
based therapy have a higher prevalence of cardiovascular risk
factors [5-14] that could further contribute to the increased
risk of cardiovascular diseases [5,7,13,15,16]. Group CT: Orchidectomy plus consequential cisplatin-
based treatment, n=133, aging from 25 to 78 years,
(average 41.4 years), median follow up 10 years (ranging
from 5 to 32 years). There were no significant differences
in ECG parameters between cisplatin cumulative dose ≤
400 mg/m2 and cisplatin > 400 mg/m2 patients (data not
presented), therefore all patients treated with cisplatin
were pooled into one group. Group CT: Orchidectomy plus consequential cisplatin-
based treatment, n=133, aging from 25 to 78 years,
(average 41.4 years), median follow up 10 years (ranging
from 5 to 32 years). There were no significant differences
in ECG parameters between cisplatin cumulative dose ≤
400 mg/m2 and cisplatin > 400 mg/m2 patients (data not
presented), therefore all patients treated with cisplatin
were pooled into one group. opportunity for studying late adverse cardiovascular effects,
which are reflected in higher incidence of CV morbidity and
mortality. Reported late ECG manifestations of cisplatin-
based treatment include severe bradycardia, supraventricular
tachycardia, prolonged QT interval, and atrial fibrillation
[3], suspected of altered electrical impulse generation and
conduction [4]. Statistical analysis 𝑄𝑄𝑄𝑄𝑄𝑄௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ
where aVF is the maximum QRS deflection in lead aVF, I is the
maximum QRS deflection in lead I. The results are presented as mean ± SD for variables normally
distributed, and as median and interquartile range for variables
that were not normally distributed. The differences between
the groups of normally distributed variables were tested using
the analysis of variance (ANOVA) with Tukey HSD post hoc
test, the non-normally distributed variables were tested using
Kruskal-Wallis test. The frequency data of categorical variables
were tested using the χ2 test. Univariate regression analysis
was performed for selected dependent variables (EA, QRSmax
and Tmax) by means of the General Linear Model (GLM), using
the therapeutic group, age, BMI and the waist circumference
as independent variables. The value p<0.05 was considered
statistically significant. Statistical analyses were performed
using SPSS-IBM software for windows (version 23, Chicago, Ill,
USA). •
Absolute values of the maximum QRS complex deflections
in individual leads
𝑄𝑄𝑄𝑄𝑄𝑄
= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ •
Absolute values of the maximum QRS complex deflections
in individual leads
𝑄𝑄𝑄𝑄𝑄𝑄
= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ T wave parameter:𝑄𝐸𝐸 •
The maximum spatial T vector magnitude (Tmax)
calculated as:
𝐸𝐸𝐸𝐸= 𝑎𝑎𝑎𝑎𝑎𝑎 𝑡𝑡𝑡𝑡𝑡𝑡൬2 ∗𝑎𝑎𝑎𝑎𝑎𝑎
𝐼𝐼∗√3 ൰ 𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉 •
The maximum spatial T vector magnitude (Tmax)
calculated as:
𝐸𝐸𝐸𝐸= 𝑎𝑎𝑎𝑎𝑎𝑎 𝑡𝑡𝑡𝑡𝑡𝑡൬2 ∗𝑎𝑎𝑎𝑎𝑎𝑎
𝐼𝐼∗√3 ൰ 𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉 𝑄𝑄𝑄𝑄𝑄𝑄௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ where TV2 is the T amplitude in lead V2; TaVF is the T
amplitude in lead aVF; TV5 is the T amplitude in lead V5. Study population 𝑄𝑄𝑄𝑄𝑄𝑄௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ
•
The electrical QRS axis (EA) in frontal plane calculated as:𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉𝐸𝐸𝑎𝑎𝑎𝑡𝑡𝑡𝑎𝑎𝑎𝐼 𝑄𝑄𝑄𝑄𝑄𝑄௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ
•
The electrical QRS axis (EA) in frontal plane calculated as:𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉𝐸𝐸𝑎𝑎𝑎𝑡𝑡𝑡𝑎𝑎𝑎𝐼 𝐸𝐸𝐸𝐸= 𝑎𝑎𝑎𝑎𝑎𝑎 𝑡𝑡𝑡𝑡𝑡𝑡൬2 ∗𝑎𝑎𝑎𝑎𝑎𝑎
𝐼𝐼∗√3 ൰ 𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉 Study population •
QT interval (QT): the longest QT duration of all leads; the
corrected QT intervals (QTc) (Bazett correction: QTcB=QT/
RR0.5; Fridericia correction: QTcF=QT/RR0.33) [27,28]. The
QTcB values were categorized according [29,30] as follows:
normal values <430 ms, borderline values 430-450 ms,
prolonged values >450 ms. •
QT interval (QT): the longest QT duration of all leads; the
corrected QT intervals (QTc) (Bazett correction: QTcB=QT/
RR0.5; Fridericia correction: QTcF=QT/RR0.33) [27,28]. The
QTcB values were categorized according [29,30] as follows:
normal values <430 ms, borderline values 430-450 ms,
prolonged values >450 ms. The study population was selected from patients diagnosed
with the germ cell tumor (GCT) treated in the National Institute
of Oncology during the period 1983-2012. All survivors
who were at least 5 years after the completion of the last
treatment for GCT were included. Patients with an unavailable
electrocardiogram or the low technical quality of ECG were
excluded. •
The ratio of QT interval and QRS duration: QT/QRSd. QRS parameters: QRS parameters: The total number of 173 patients with the median duration
of follow-up 9 years (ranged 5 to 32 years) were divided into
four groups: •
The maximum spatial vector magnitude (QRSmax)
calculated as: J Clin Cardiol. 2022
Volume 3, Issue 1 J Clin Cardiol. 2022
Volume 3, Issue 1 2 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11.𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉 •
Blood pressure (BP): measured in supine position in a
quiet room after a rest period of 10 minute; •
Blood pressure (BP): measured in supine position in a
quiet room after a rest period of 10 minute; 𝑄𝑄𝑄𝑄𝑄𝑄௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ 𝑎𝑎𝑎 𝑄𝑄𝑄𝑄𝑄𝑄௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ 𝑎𝑎𝑎 •
Complete blood count and basic biochemistry, including
serum cholesterol, high-density lipoprotein cholesterol
(HDL), very-low-density lipoprotein cholesterol (VLD),
triglycerides (TAG), fasting glucose and high-sensitivity
troponin T levels. 𝐸𝐸𝐸𝐸= 𝑎𝑎𝑎𝑎𝑎𝑎 𝑡𝑡𝑡𝑡𝑡𝑡൬2 ∗𝑎𝑎𝑎𝑎𝑎𝑎
𝐼𝐼∗√3 ൰ 𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉
where V2 is the maximum QRS deflection in lead V2; aVF is
the maximum QRS deflection in lead aVF; V5 is the maximum
QRS deflection in lead V5. 𝑄𝑄𝑄𝑄𝑄𝑄
ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ •
Complete blood count and basic biochemistry, including
serum cholesterol, high-density lipoprotein cholesterol
(HDL), very-low-density lipoprotein cholesterol (VLD),
triglycerides (TAG), fasting glucose and high-sensitivity
troponin T levels. Heart rate and time intervals The occurrence of distinct ECG patterns is presented in Table
3. All patients were on the sinus rhythm, sporadic premature
ventricular contractions were observed in one patient in the
AS group. No pathological Q waves were observed in any of
the groups. Table 2 presents the heart rate and the time intervals under
study. There were no statistically significant differences in
the heart rate and the time intervals between the groups. Bradycardia occurred in 28% of CT patients, but the
differences between groups were not statistically significant. The occurrence of tachycardia was negligible. Table 2: Hear rate (HR) and the ECG time intervals. Data presented as median (1Q-3Q range), and number (%), respectively. AS
CT
RT
CTRT
p
HR [bpm]
60.5 (52.7-69.3)
65.0 (58.0-72.0)
63.0 (57.8-74.0)
67 (53.3-91.0)
NS
Bradycardia < 60 bpm
7 (38.9%)
35 (26.3%)
5 (35.7%)
2 (25%)
NS
Tachycardia
0
0
0
0
NA
QTcB [ms]
383.6 (362.4-413.1)
401.7 (380.3-424.3)
395.2 (379.2-431.0)
405.2(382.1-439.7)
NS
QTcF [ms]
384.0 (371.2-412.1)
396.5 (378.9-414.1)
394.5 (374.7-415.7)
399.7(374.5-414.1)
NS
QT/QRSd
3.7 (3.3-4.1)
3.8 (3.6-4.1)
3.7 (3.6-3.9)
3.5 (3.0-3.8)
NS
AS: Active Surveillance, the control group. CT: Orchidectomy plus consequential cisplatin treatment. RT: Orchidectomy plus consequential
adjuvant radiotherapy. CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. QRSd: QRS complex duration; QTcB: QT interval duration corrected according to Bazett [27]; QTcF: QT interval duration according to
Fridericia [28]; NS: Not Significant; NA: Not Applicable due to small numbers. Table 3: The occurrence of distinct ECG patterns. AS
n = 18
CT
n = 133
RT
n = 14
CTRT
n = 8
p
PVC
1
0
0
0
NA
Q wave
0
0
0
0
NA
LAFB n (%)
1 (5.6)
19 (14.3)
2 (14.3)*
6 (75)***
* p<0.05
*** p<0.001
# p<0.05
LBBB
0
0
1
0
NA
RBBB
0
1
0
0
NA
iRBBB
0
1
0
0
NA
AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential
adjuvant radiotherapy; CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin; PVC: Premature
Ventricular Contractions; LAFB: Left Anterior Fascicular Block; LBBB: Left Bundle Branch Block; RBBB: Right Bundle Branch Block; iRBBB:
incomplete Right Bundle Branch Block; ECG-LVH: ECG signs of Left Ventricular Hypertrophy; ECG-RVH: ECG signs of Right Ventricular
Hypertrophy. Results CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. BMI: Body Mass Index; BPs: Systolic Blood Pressure; BPd: Diastolic Blood Pressure; HDL: High Density Lipoprotein; LDL: Low Density
Lipoprotein; VLDL: Very Low Density Lipoprotein; TAG: Triglycerides; hs Troponin T: high-sensitivity troponin T; NS: Not Significant;
**: p<0 01; ***: p<0 001 both compared to AS Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Glucose [mmol/l]
5.3 (5.1-5.6)
5.4 (5.0-5.8)
5.6 (5.3-6.0)
4.9 (4.8-5.4)
NS
hs Troponin T [ng/L]
1.5 (<3.0-5.5)
3.4 (<3.0-5.4)
3.3 (<3.0-4.4)
4.8 (3.1-6.3)
NS
AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment. RT: Orchidectomy plus consequential hs Troponin T [ng/L]
1.5 (<3.0-5.5)
3.4 (<3.0-5.4)
3.3 (<3.0-4.4)
4.8 (3.1-6.3)
NS
AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment. RT: Orchidectomy plus consequential
adjuvant radiotherapy. CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. BMI: Body Mass Index; BPs: Systolic Blood Pressure; BPd: Diastolic Blood Pressure; HDL: High Density Lipoprotein; LDL: Low Density
Lipoprotein; VLDL: Very Low Density Lipoprotein; TAG: Triglycerides; hs Troponin T: high-sensitivity troponin T; NS: Not Significant; AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment. RT: Orchidectomy plus consequential
adjuvant radiotherapy. CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. BMI Body Mass Index BPs Systolic Blood Pressure BPd Diastolic Blood Pressure HDL High Density Lipoprotein LDL Low Density AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment. RT: Orchide
adjuvant radiotherapy. CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cispl **: p<0.01; ***: p<0.001, both compared to AS. Results Clinical and laboratory tests were performed at the time of
the follow-up visits, as a part of the routine clinical checkup,
data for this study were extracted from the patients’ medical
records: The basic characteristics of the study population are presented
in Table 1. The patients in AS group were significantly younger
and had a shorter time of follow-up compared to the CT, RT
and CTRT groups. Except of these parameters, there were
no statistically significant differences in basic characteristics
between groups. •
Body mass index (BMI): calculated as a ratio weight/
height2 (kg/ m2); Table 1: Basic characteristics of the study population. Data presented as median (1Q-3Q range), and number (%), respectively. AS
n = 18
CT
n = 133
RT
n = 14
CTRT
n = 8
p
Age [years]
Median (IQR)
33.0 (29.8-38.3)
40.0 (34.0-48.0)**
43.0 (38.0-50.0)**
47.0 (41.3-52.8)**
**<0.01
Time since the treatment
[years]
6 (5-7)
10 (7-14)**
10 (7-12) ***
7 (5-9)
**<0.01
***<0.001
BMI [kg/ m2]
25.2 (23.6-29.7)
26.3 (24.9-29.9)
26.6 (23.8-29.5)
28.4 (24.7-33.1)
NS
Waist circumference [cm]
95.0 (89.0-105.0)
99.5 (94.0-105.0)
98.0 (91.0-110.0)
100.0 (98.0-113.5)
NS
BPs [mmHg]
136.5 (125.0-145.0)
136.5 (126.0-149.8)
150.0 (137.0-154.0)
125.0 (120.5-151.0)
NS
BPd [mmHg]
82.0 (78.0-92.0)
87.0 (82.0-97.8)
92.0 (83.0-100.0)
90.0 (77.5-100.5)
NS
Cholesterol [mmol/l]
5.2 (4.2-6.0)
5.3 (4.6-5.9)
5.2 (4.1-6.5)
5.2 (4.9-6.2)
NS
HDL [mmol/l]
1.5 (1.3-1.8)
1.3 (1.1-1.6)
1.4 (1.2-1.8)
1.3 (1.0-1.5)
NS
LDL [mmol/l]
2.9 (2.2-3.7)
2.9 (2.4-3.6)
3.3 (2.0-3.4)
3.0 (2.5-3.9)
NS
VLDL [mmol/l]
0.6 (0.4-1.0)
0.8 (0.5-1.0)
0.6 (0.5-0.9)
0.9 (0.8-1.3)
NS
TAG [mmol/l]
1.3 (0.8-2.3)
1.7 (1.1-2.3)
1.8 (1.0-5.5)
2.1 (1.7-2.8)
NS J Clin Cardiol. 2022
Volume 3, Issue 1 3 3 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Glucose [mmol/l]
5.3 (5.1-5.6)
5.4 (5.0-5.8)
5.6 (5.3-6.0)
4.9 (4.8-5.4)
NS
hs Troponin T [ng/L]
1.5 (<3.0-5.5)
3.4 (<3.0-5.4)
3.3 (<3.0-4.4)
4.8 (3.1-6.3)
NS
AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment. RT: Orchidectomy plus consequential
adjuvant radiotherapy. Heart rate and time intervals NS: Not Significant; NA: Not Applicable due to small numbers; *: p<0.05; ***: p<0.001, both compared to AS as well as to CT;
#: p<0.05, compared to AS. AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential
adjuvant radiotherapy; CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin; PVC: Premature
Ventricular Contractions; LAFB: Left Anterior Fascicular Block; LBBB: Left Bundle Branch Block; RBBB: Right Bundle Branch Block; iRBBB:
incomplete Right Bundle Branch Block; ECG-LVH: ECG signs of Left Ventricular Hypertrophy; ECG-RVH: ECG signs of Right Ventricular
Hypertrophy. NS: Not Significant; NA: Not Applicable due to small numbers; *: p<0.05; ***: p<0.001, both compared to AS as well as to CT;
#: p<0.05, compared to AS. AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential
adjuvant radiotherapy; CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin; PVC: Premature
Ventricular Contractions; LAFB: Left Anterior Fascicular Block; LBBB: Left Bundle Branch Block; RBBB: Right Bundle Branch Block; iRBBB:
incomplete Right Bundle Branch Block; ECG-LVH: ECG signs of Left Ventricular Hypertrophy; ECG-RVH: ECG signs of Right Ventricular
Hypertrophy. NS: Not Significant; NA: Not Applicable due to small numbers; *: p<0.05; ***: p<0.001, both compared to AS as well as to CT;
#: p<0.05, compared to AS. J Clin Cardiol. 2022
Volume 3, Issue 1 4 4 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. statistically significant. The GLM showed significant effect of
age and the waist circumference, but not of the therapeutic
group. statistically significant. The GLM showed significant effect of
age and the waist circumference, but not of the therapeutic
group. The left anterior fascicular block (LAFB) was the most frequent
finding, it occurred in 19 (14.3%) cisplatin treated patients. The lower proportion was observed in the AS group, and the
highest in the CTRT group. Heart rate and time intervals The proportion of patients with
LAFB was significantly higher in RT and CTRT group compared
to CT and AS groups. Electrical axis of the QRS complex The values of electrical axis in the CT group, as well as in the
other groups were within normal limits. The electrical axis
values were the highest in the AS group, slightly lower in the
CT group, with the lowest values in the CTRT group, however,
the differences were not statistically significant (Figure 2). The GLM showed significant effect of age and the waist
circumference but not of the therapeutic group. QRS complex amplitude in the individual leads of the 12-
lead ECG The values of Tmax in the CT group, as well as in the other
groups were within normal limits. The Tmax values in CT and
CTRT groups were lower compared to the AS group, however,
these differences were not statistically significant, the values
of Tmax in the RT group were significantly lower compared
to the AS group (Figure 3). The GLM showed significant effect
of the waist circumference, but not of the therapeutic group
(Table 5). Table 4 presents the values of the maximum QRS complex
deflections in the individual leads of the electrocardiogram. The QRS amplitude in leads aVL was significantly higher in
CT, RT and CTRT groups compared to the AS group (p=0.007). Significantly lower values in CT, RT and CTRT groups were
observed in the lead V6 as compared to AS group (p=0.027). In both aVL and V6, the GLM showed significant effect of the
waist circumference, but not of the therapeutic group (Table 5). Table 4: The maximum QRS complex deflections in the individual leads of the 12- lead standard electrocardiogram in mV. Data are
presented as median (1Q-3Q range). NS: Not Significant. AS
CT
RT
CTRT
p
I
6.0 (4.0-8.0)
6.0 (4.0-8.0)
6.0 (3.8-8.5)
7.5 (5.5-8.8)
NS
II
7.5 (6.0-9.3)
7.0 (5.0-9.0)
7.0 (5.5-8.3)
4.0 (3.0-8.3)
NS
III
4.0 (2.0-5.3)
5.0 (3.0-7.0)
3.5 (2.4-6.0)
5.5 (4.0-8.0)
NS
aVR
7.0 (5.8-8.3)
7.0 (5.0-8.0)
6.5 (5.8-8.0)
4.5 (4-6.5)
NS
aVL
2.3 (1.8-5.0)
4.0 (3.0-6.0)
4.0 (3.0-5.8)
6.5 (4.5-8.8)
0.007
aVF
5.0 (3.8-6.3)
5.0 (3.0-8.0)
4.5 (3.0-7.5)
3.5 (3.0-5.8)
NS
V1
8.0 (7.0-10.0)
7.0 (5.0-9.5)
6.0 (4.8-9.0)
4.5 (3.3-11.5)
NS
V2
10.0 (7.8-16.0)
10.0 (7.0-12.0)
10.0 (4.8-12.3)
8.0 (3.5-12.5)
NS
V3
10.5 (7.0-14.0)
10.0 (7.0-13.0)
10.0 (9.0-12.5)
13.0 (8.5-14.0)
NS
V4
10.5 (8.0-13.0)
10.0 (8.0-13.5)
10.5 (9.0-12.0)
10.5 (7.5-13.5)
NS
V5
15.0 (10.8-17.3)
12.0 (9.0-15.0)
13.5 (9.8-16.0)
12.5 (9.3-14.5)
NS
V6
15.0 (12.0-18.0)
12.0 (9.0-15.0)
12.5 (10.8-16.8)
10.0 (7.0-14.3)
0.027
AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential
adjuvant radiotherapy; CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. QRS complex deflections in the individual leads of the 12- lead standard electrocardiogram in mV. Data are
-3Q range). NS: Not Significant. AS: Active Surveillance, the control group; CT: Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential
adjuvant radiotherapy; CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. QRSmax The values of QRSmax were within normal limits. As shown
in the Figure 1, the QRSmax values were the highest in the AS
group, slightly lower in the CT group, with the lowest values
in the CTRT group; however, these differences were not Figure 1: Box-whiskers plot: The maximum spatial QRS vector magnitude (QRSmax). AS: active surveillance, the control group; CT:
Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy; CTRT: Orchidectomy
plus consequential adjuvant radiotherapy in combination with cisplatin. Figure 2: Box-whiskers plot: The electrical axis of the QRS complex. AS: active surveillance, the control group; CT: Orchidectomy plus
consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy; CTRT: Orchidectomy plus consequential
adjuvant radiotherapy in combination with cisplatin. Figure 1: Box-whiskers plot: The maximum spatial QRS vector magnitude (QRSmax). AS: active surveillance, the control group; CT:
Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy; CTRT: Orchidectomy
plus consequential adjuvant radiotherapy in combination with cisplatin. Figure 1: Box-whiskers plot: The maximum spatial QRS vector magnitude (QRSmax). AS: active surveillance, the control group; CT:
Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy; CTRT: Orchidectomy
plus consequential adjuvant radiotherapy in combination with cisplatin. Figure 2: Box-whiskers plot: The electrical axis of the QRS complex. AS: active surveillance, the control group; CT: Orchidectomy plus
consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy; CTRT: Orchidectomy plus consequential
adjuvant radiotherapy in combination with cisplatin. Figure 2: Box-whiskers plot: The electrical axis of the QRS complex. AS: active surveillance, the control group; CT: Orchidectomy plus Figure 2: Box-whiskers plot: The electrical axis of the QRS complex. AS: active surveillance, the control group; CT: Orchidectomy plus
consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy; CTRT: Orchidectomy plus consequential
adjuvant radiotherapy in combination with cisplatin. J Clin Cardiol. 2022
Volume 3, Issue 1 5 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. In patients with cisplatin-based therapy: In patients with cisplatin-based therapy: The QT interval is frequently referred to as a parameter
of repolarization; however, it contains both depolarization
and repolarization. In order to distinguish the primary and
secondary repolarization changes we analyzed the QT/
QRSd ratio [35]. This ratio was used in experimental and
clinical studies for predicting potential risk of drug-induced
ventricular arrhythmias [36,37]. In our study, there were no
significant differences in QT/QRSd ratio between the groups. •
HR and the time intervals under study were within normal
limits and no significant differences between the groups
were observed. •
The QRS complex parameters and Tmax values were
within normal limits. The GLM did not show a significant
effect of therapy, but the significant effect of age and
waist circumference; The QRS complex parameters were within normal limits. They did not differ significantly between the groups and
the GLM showed significant effect of age and waist, but not
of the therapeutic group. QRSmax represent the summary
vector of depolarization. The solid angle theorem postulates
that the recorded amplitude depends on the extent of
the activation front (i.e. dimensions of the right and left
ventricles, the sequence of depolarization) and electrical
properties of myocardium (i.e. the transmembrane potential,
ratio of electrically active and inactive tissue, conduction
characteristics). The data on the heart dimensions were not
available in this study; however we do not assume considerable
changes in the heart dimensions, since papers focused on
cardiotoxicity do not report changes in heart dimensions, as
oppose to frequently reported alterations in cardiac functions. On the other hand, both cisplatin-based treatment, as well as
radiotherapy cause myocardial changes that might alter the
electrical properties of myocardium, and consequently might
affect the resultant QRS vector [25,26,38-40]. Also obesity and
aging were reported to be associated with the decrease in
QRS amplitude [41-46]. Our finding is consistent with results
documented the leftward shift of the electrical axis in obese
subjects [41,47-49], and its occurrence is increased with age
[50,51]. •
The only distinctive pathological ECG finding was LAFB,
its significantly highest occurrence was observed in the
group CTRT. The heart rate and the time intervals under study were within
normal limits, as well no significant differences were observed
between the groups. QRS complex amplitude in the individual leads of the 12-
lead ECG Table 5: Univariate regression analysis performed for selected ECG variables by means of the General Linear Model (GLM): the effect of
therapeutic group, age, time from treatment (follow-up), waist circumference. Corr. M.: Correlation Model. QRSmax
EA
aVL
V6
Tmax
Corr. M. intercept
0.0001
0.0001
0.0001
0.0001
0.0001
0.225
0.005
0.0001
0.0001
0.0001
Th group
Age
Follow-up
Waist
0.163
0.042
0.149
0.0001
0.772
0.034
0.211
0.0001
0.106
0.717
0.523
0.0001
0.187
0.488
0.516
0.001
0.116
0.219
0.982
0.0001 J Clin Cardiol. 2022
Volume 3, Issue 1 6 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Figure 3: Box-whiskers plot: the maximum spatial T vector magnitude (Tmax). *p>0.05 compared to ORCH group; AS: Active Surveillance,
the control group; CT: Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy;
CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. Figure 3: Box-whiskers plot: the maximum spatial T vector magnitude (Tmax). *p>0.05 compared to ORCH group; AS: Active Surveillance,
the control group; CT: Orchidectomy plus consequential cisplatin treatment; RT: Orchidectomy plus consequential adjuvant radiotherapy;
CTRT: Orchidectomy plus consequential adjuvant radiotherapy in combination with cisplatin. In patients with cisplatin-based therapy: Changes in HR, both bradycardia and
tachycardia, have been reported to be early complications
of cisplatin-based therapy: bradycardia can occur as a rare
early effect, on the other hand, also tachycardia was reported
as an early complication[11,12,31]. In our study however,
the occurrence of tachycardia was negligible. Bradycardia
occurred in about one third of patients; but there were no
differences between groups, therefore we did not assume that
bradycardia was related to the treatment. Taking together, no
changes in HR were found as a late cisplatin effect in this study. The QT and QTc values were within normal limits. The QT
interval prolongation is used as an indicator of cardiotoxicity
[32,33], since it is associated with the risk of ventricular
arrhythmias [34]. However, the systematic review showed
that the incidence of arrhythmias and sudden cardiac death
attributable to QTc prolongation from cancer therapy is
extremely rare [33]. Our results are consistent with that J Clin Cardiol. 2022
Volume 3, Issue 1 7 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Several factors could contribute to the alteration of the
myocardium, and both cisplatin-based treatment and
radiotheraphy have been reported to cause structural and
functional changes. The effect of cisplatin includes direct
damage of myocardium as well as of extracellular matrix,
such as oxidative stress and enhanced endoplasmatic
reticulum stress, activation of apoptotic processes, nuclear
damage and mitochondrial abnormalities, disorganization of
cardiomyocytes and widening of intercalated discs, induction
of inflammation and fibrosis [25,26,38-40]. Also radiation
causes structural and microvascular changes, as was shown in
animal as well as in human studies, and late abnormalities can
appear months to years later [66-71]. It is also assumed that
the combination of chemotherapy and radiotherapy can have
a synergetic effect on cardiac function [72]. The slight differences in QRSmax in the combination with the
differences in the electrical axis were reflected in the changes
in the individual leads of 12-lead ECG. Although these
differences were within normal limits, they could indicate
subtle changes in electrical impulse propagation in ventricles. The combination of the decrease in QRS voltage and the
electrical axis leftward shift have been observed in conditions
with increased cardiovascular risk, such as aging, obesity,
diabetes mellitus, metabolic syndrome and obstructive sleep
apnea [41-46,52,53]. Limitation of the Study There were several limitations of the study. The project was
not originally designed for evaluating ECG, therefore not all
pre-treatment ECGs were available, and only standard paper
ECG recordings were available for the manual measurement. Neither records nor results of the 24-hour Holter monitoring
were available in the patients, therefore the occurrence of
arrhythmias could not be better evaluated. As well, no clinical
events or complaints related to possible arrhythmias, such
as syncope or palpitations were found in patients’ medical
records. Regarding distinctive QRS patterns, we found minimum
pathological ECG findings in this study. We did not find any
ECG signs of MI in our study population, such as angina
pectoris, myocardial infarction and ECG changes mimicking MI
or ischemia documented as early manifestations of cisplatin
toxicity [9,60-62]. In the groups CT, RT and CTRT we observed a higher
occurrence of patterns of left anterior fascicular block (LAFB),
with the highest occurrence in the CTRT group. The ECG
pattern of LAFB is typically attributed to the conduction block
in the left anterior fascicle. However, this pattern is not unique
just for the block in the left anterior fascicle. LAFB is a common
nonspecific abnormality that occurs in a variety of left-sided
cardiac pathologies, as well as in persons without overt cardiac
disease [63]. We have also shown in our simulation studies
that LAFB pattern can result also from diffuse and/or regional
alteration in the activation propagation in the myocardium of
the left ventricle [64,65]. It is not likely that the radiotherapy
would affect selectively only the left anterior fasciculus of the
left bundle; therefore we assume that this finding might reflect
subtle subclinical conduction alteration of myocardium, more
pronounced in the CTRT group. There were relatively small numbers of patients in the AS , RT
and CTRT groups compared to the CT group, since cisplatin
is currently the recommended regimen in the treatment of
testicular cancer [1,2] Because of the small sample size the
results might not achieve statistical significance. In spite
of the small numbers it was documented that the subtle
ECG changes were pronounced in RT and CTRT groups,
suggesting additive effect of radiotherapy, what is consistent
with reported subclinical deterioration of cardiac function
[22,38,75]. However, because of these limitation these results
needs to be taken with caution. In patients with cisplatin-based therapy: In this study, the GLM showed that the ECG
changes were not associated with therapy, but with the age
and the waist circumference. It could be assumed that these
ECG findings are associated with the classical cardiovascular
risk factors rather than with the cisplatin therapy per se. In this study we found lower values of T wave amplitude
in the CT, RT and CTRT groups as compared to AS group,
the difference between AS and RT groups were statistically
significant. The decrease in the spatial T vector magnitude
was observed also by Wang et al. [54] during the treatment
in patients receiving chemotherapy for breast cancer as a
possible indicator of electrophysiological abnormalities. However, in this study the GLM did not show a significant effect
of the therapeutic group, but of the waist circumference. The
low T wave amplitude is a non-specific finding, documented
in a variety of cardiac pathologies and associated with CV risk
factors. Epidemiological studies have documented that non-
specific T wave changes, including the low amplitude T wave,
represent a significant independent risk of coronary artery
disease and cardiac death [55,56]. Cisplatin has a complex
effect on cells through multiple mechanisms [57,58], in
combination of age and obesity in patients could affect the
repolarization and the subtle Tmax changes might indicate
the underlying alterations of electrogenesis [59]. Additionally, a great proportion on patients in this study were
overweight or obese. The structural and functional changes of
myocardium in obesity, referred to as “the fatty heart”, include
altered glucose and lipid metabolism, the lipid accumulation
in myocardium and inflammatory infiltrations [73,74]. And
finally, an additional factor is the natural aging. Although none
of these conditions were explicitly pronounced in any group
of patients, they could have additive effect. A combination
of these factors can affect electrogenesis, as well as the ratio
of electrically active and inactive myocardial tissue, and
consequently the sequence of ventricular activation and the
morphology of the QRS complex. Authors’ Contributions All authors contributed to the study conception and
design. Material preparation, data collection and analysis
were performed by Andreas Thaler, Lucia Petrikova, Beata
Mladosievicova, Daniela Svetlovska, Katarina Kalavska, Zora
Krivosikova, Jozef Mardiak, Michal Mego, Michal Chovanec and
Ljuba Bacharova. The first draft of the manuscript was written
by Ljuba Bacharova and all authors commented on previous
versions of the manuscript. All authors read and approved the
final manuscript. 12. Ellis PA, Fitzharris BM, George PM, Robinson BA, Atkinson CH,
Colls BM. Fasting plasma lipid measurements following cisplatin
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der Meer J, et al. Microalbuminuria, decreased fibrinolysis, and
inflammation as early signs of atherosclerosis in long-term survivors
of disseminated testicular cancer. Eur J Cancer. 2004;40:701-6. Acknowledgment The study was supported partly by the projects ITMS No. 26240120033, the European Regional Development Fund, and
by the projects VEGA 1/0327/19, VEGA 01/0610/18 and APVV-
15-0086. We thank Milan Nosko for his valuable input in the
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Volume 3, Issue 1 8 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
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MJB, Adiyaman A, Elvan A, et al. Body mass index related 35. Bacharova L, Szathmary V, Mateasik A. Primary and secondary J Clin Cardiol. 2022
Volume 3, Issue 1 J Clin Cardiol. 2022
Volume 3, Issue 1 10 Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Bacharova L, Thaler A, Petrikova L, Mladosievicova B, Svetlovska D, Kalavska K, et al. Late ECG Changes after
Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. Hayashi Y, Isohashi F, Tsujil Y, Fujinaga T, Nagal K, Yoshil S, et al. The heart’s exposure to radiation increases the risk of cardiac toxicity
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45. 62. Bachmeyer C, Joly H, Jorest R. Early myocardial infarction during
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Volume 3, Issue 1 J Clin Cardiol. 2022
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Nucleotide excision repair pathway assessment in DNA exposed to low-intensity red and infrared lasers
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Brazilian Journal of Medical and Biological Research
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Introduction Introduction
Oral mucositis is a common inflammatory process
caused by chemotherapy and radiotherapy against head
and neck cancers (1). It can have severe effects on patient
quality of life, including secondary infections, difficulty in
swallowing and chewing, soreness, edema, erythema,
ulcerations, bleeding, and pain during oncologic treatment
(2). The strategies used to prevent and treat mucositis
include
basic
oral
care
protocols,
anti-inflammatory
therapy, biologic response modifiers, cytoprotectants and
cryotherapy (3). Use of low-intensity lasers to treat
mucositis has gained in importance, and has been
successful in prevention and management of oral muco-
sitis induced by anticancer therapy (4). Because of their biostimulatory effect, red and near-
infrared lasers, which are nonthermal and nondestructive
at low intensity, are widely used in a variety of health care
settings
for
mucositis
and
other
soft
tissue
repair. Biostimulation, an increase in cell metabolism following
exposure to laser light, leads to alterations of biochemical
reactions and changes in a number of cellular responses
(5–7). The responses to low-intensity laser irradiation are
related to alterations of the regenerative potential of
tissues, neovascularization, and formation of scar tissue
(8,9). Cytochrome C in mammalian cells and cytochrome
BD in bacterial cells are considered to be chromophores
involved in the absorption of red and near-infrared laser
light (10,11). A primary photosignal stimulated by absorp-
tion of laser energy is subsequently transduced to an
amplified signal in the cells (10). Highly reactive chemical
compounds are generated in these transduction-signal
pathways, and they have potential photobiological side
effects (5). In fact, it has been suggested that laser
radiation induces free radical production (5,12,13), which
could produce an imbalance between oxidant and anti-
oxidant concentration. An excess of free radicals, by
reacting with biomolecules, could cause modifications of
cellular function, leading to undesired effects. The nature
of laser-induced side effects is still in dispute, although
Correspondence: A.S. Fonseca: <adnfonseca@ig.com.br>. Received November 30, 2014. Accepted March 17, 2015. First published online July 10, 2015. www.bjournal.com.br
Braz J Med Biol Res 48(10) 2015 reactions and changes in a number of cellular responses
(5–7). The responses to low-intensity laser irradiation are
related to alterations of the regenerative potential of
tissues, neovascularization, and formation of scar tissue
(8,9). Cytochrome C in mammalian cells and cytochrome
BD in bacterial cells are considered to be chromophores
involved in the absorption of red and near-infrared laser
light (10,11). Abstract Low-intensity lasers are used for prevention and management of oral mucositis induced by anticancer therapy, but the
effectiveness of treatment depends on the genetic characteristics of affected cells. This study evaluated the survival and induction
of filamentation of Escherichia coli cells deficient in the nucleotide excision repair pathway, and the action of T4 endonuclease V on
plasmid DNA exposed to low-intensity red and near-infrared laser light. Cultures of wild-type (strain AB1157) E. coli and strain
AB1886 (deficient in uvrA protein) were exposed to red (660 nm) and infrared (808 nm) lasers at various fluences, powers and
emission modes to study bacterial survival and filamentation. Also, plasmid DNA was exposed to laser light to study DNA lesions
produced in vitro by T4 endonuclease V. Low-intensity lasers: i) had no effect on survival of wild-type E. coli but decreased the
survival of uvrA protein-deficient cells, ii) induced bacterial filamentation, iii) did not alter the electrophoretic profile of plasmids in
agarose gels, and iv) did not alter the electrophoretic profile of plasmids incubated with T4 endonuclease V. These results increase
our understanding of the effects of laser light on cells with various genetic characteristics, such as xeroderma pigmentosum cells
deficient in nucleotide excision pathway activity in patients with mucositis treated by low-intensity lasers. Key words: DNA; Enzyme; Escherichia coli; Filamentation; Laser Nucleotide excision repair pathway assessment in
DNA exposed to low-intensity red and infrared lasers A.S. Fonseca1,2,3, V.M.A. Campos1, L.A.G. Magalhães1 and F. Paoli4 1Laboratório de Ciências Radiológicas, Departamento de Biofísica e Biometria, Instituto de Biologia Roberto Alcântara Gomes,
Rio de Janeiro, RJ, Brasil
2Departamento de Ciências Fisiológicas, Instituto Biomédico, Universidade Federal do Estado do Rio de Janeiro,
Rio de Janeiro, RJ, Brasil
3Centro de Ciências da Saúde, Centro Universitário Serra dos Órgãos, Teresópolis, RJ, Brasil
4Departamento de Morfologia, Instituto de Ciências Biológicas, Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil ,
,
3Centro de Ciências da Saúde, Centro Universitário Serra dos Órgãos, Teresópolis, RJ, Brasil
4Departamento de Morfologia, Instituto de Ciências Biológicas, Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil Brazilian Journal of Medical and Biological Research (2015) 48(10): 929–938, http://dx.doi.org/10.1590/1414-431X20154457
ISSN 1414-431X Brazilian Journal of Medical and Biological Research (2015) 48(10): 929–938, http://dx.doi.org/10.1590/1414-431X20154457
ISSN 1414-431X Brazilian Journal of Medical and Biological Research (2015) 48(10): 929–938, http://dx.doi.org/10.1590/1414-431X20154457
ISSN 1414 431X Correspondence: A.S. Fonseca: <adnfonseca@ig.com.br>. Correspondence: A.S. Fonseca: <adnfonseca@ig.com.br>.
Received November 30, 2014. Accepted March 17, 2015. First published online July 10, 2015. Received November 30, 2014. Accepted March 17, 2015. First published online July 10, 2015. Survival of E. coli cells Cultures of E. coli AB1157 (wild-type) and AB1886
(uvrA
deficient)
in
the
exponential
growth
phase
(108 cells/mL, 2-3 h, 37°C) were grown from stocks in
the stationary growth phase. The cells were collected by
centrifugation (700 g, 15 min), washed twice in saline
(0.9% NaCl), and resuspended in saline. Aliquots (20 mL,
n=5, for each fluence, power and emission mode) of
bacterial suspensions (108 cells/mL) were exposed, at
room temperature and under white light (fluorescent
lamps), to low-intensity red and near-infrared laser light
(0.00785 cm2 beam diameter) at various fluences (25, 50,
and 100 J/cm2, corresponding to 0.7, 1.5, and 2.8 J,
respectively), and powers (30, 50, and 100 mW) in
continuous wave and pulsed emission modes (10, 30,
and 100 pulses/s). The laser source was positioned very
close to the surface of the bacterial suspension, which
was covered by the beam. The tissue exposure time was
automatically adjusted by the laser device as a function of
power and fluence (e.g., 7, 14, and 28 s for 25, 50, and
100 J/cm2,
respectively). Bacterial
suspensions
not
exposed to lasers were used as controls. Bacterial
suspensions were diluted in saline, plated onto Petri
dishes containing solidified rich medium (Luria-Bertani,
1.5% agar). Colonies that formed following overnight
incubation at 37°C were counted, and the survival
fractions were calculated (25). Experiments were per-
formed in triplicate, and results are reported as the mean
of three independent assays. Nucleotide
excision
repair
is
an
important
DNA
repair pathway involving excision of pyrimidine dimers
and other bulky lesions induced in DNA by ultraviolet
radiation. In E. coli, this pathway comprises three proteins
(uvrA, uvrB, and uvrC) that have recognition, cleavage,
and endonuclease functions. Compared with ‘‘excision-
repair proficient’’ wild-type cells, E. coli cells deficient
in one or more of these genes are more sensitive to
ultraviolet radiation, and were used in early studies to
simulate xeroderma pigmentosum cell responses to solar
ultraviolet radiation (21). Expression of the uvr gene
comprises part of a response set dominated by the SOS
function in bacterial cells exposed to hazardous physical
and chemical agents (22). In addition to uvr gene
expression, filamentation, anomalous bacterial growth
with cell elongation in the absence of septa formation,
occurs in response to ultraviolet radiation (23). This
morphological abnormality has been used to evaluate
effects of environmental agents on the integrity of DNA in
bacterial cells (24). Survival of E. coli cells With the increasing use of low-intensity lasers for
treating various diseases, possible adverse effects on
DNA must be considered. This is particularly important in
the case of laser-based treatment of oral cavity disease,
where the occurrence of radiation-induced mucositis, a
potential side effect, has not been clearly documented or
evaluated. This study evaluated survival and filamentation
induction in E. coli cells deficient in the nucleotide excision
repair pathway, and the action of T4 endonuclease V on
plasmid DNA exposed to low-intensity red and near-
infrared laser light. Various laser fluences, powers, and
frequencies were selected from those described in the
laser device manual. In vitro DNA repair enzyme activity on plasmid DNA
T4 endonuclease V from E. coli was used in an in vitro
DNA repair assay to evaluate the effect of low-intensity
red and infrared laser light. Aliquots of plasmid DNA were
exposed, at room temperature and in the light, to low-
intensity red and infrared lasers as described in the
bacterial survival assay. Immediately afterward, plasmids
(approximately 200 ng) were mixed with enzyme buffer
(2 units) and incubated (37°C, 30 min). Each sample was
then mixed with loading buffer (0.25% xylene cyanol,
0.25% bromophenol blue, and 25% glycerol in water) and
applied onto a horizontal 0.8% agarose gel electropho-
resis chamber in tris-acetate-EDTA buffer (40 mM tris,
20 mM acetic acid, 1 mM EDTA, pH 8.0, 7 V/cm). Gels
were stained with ethidium bromide (0.5 mg/mL), and the
plasmid forms were viewed under fluorescence using an
ultraviolet
transillumination
system. The
assay
was
repeated at least three times. Digital images of the gels
and plasmid forms were analyzed semiquantitatively using
the ImageJ for Windows software (http://rsb.info.nih.gov/ij/
index.html). Introduction A primary photosignal stimulated by absorp-
tion of laser energy is subsequently transduced to an
amplified signal in the cells (10). Highly reactive chemical
compounds are generated in these transduction-signal
pathways, and they have potential photobiological side
effects (5). In fact, it has been suggested that laser
radiation induces free radical production (5,12,13), which
could produce an imbalance between oxidant and anti-
oxidant concentration. An excess of free radicals, by
reacting with biomolecules, could cause modifications of
cellular function, leading to undesired effects. The nature
of laser-induced side effects is still in dispute, although Oral mucositis is a common inflammatory process
caused by chemotherapy and radiotherapy against head
and neck cancers (1). It can have severe effects on patient
quality of life, including secondary infections, difficulty in
swallowing and chewing, soreness, edema, erythema,
ulcerations, bleeding, and pain during oncologic treatment
(2). The strategies used to prevent and treat mucositis
include
basic
oral
care
protocols,
anti-inflammatory
therapy, biologic response modifiers, cytoprotectants and
cryotherapy (3). Use of low-intensity lasers to treat
mucositis has gained in importance, and has been
successful in prevention and management of oral muco-
sitis induced by anticancer therapy (4). Because of their biostimulatory effect, red and near-
infrared lasers, which are nonthermal and nondestructive
at low intensity, are widely used in a variety of health care
settings
for
mucositis
and
other
soft
tissue
repair. Biostimulation, an increase in cell metabolism following
exposure to laser light, leads to alterations of biochemical Braz J Med Biol Res 48(10) 2015 www.bjournal.com.br www.bjournal.com.br 930 A.S. Fonseca et al. acid (EDTA) were from Merck (USA). Sodium chloride
(NaCl), acetic acid, and sodium hydroxide (NaOH) were
from Vetec (Brazil). DNA repair enzyme from E. coli
(T4 endonuclease V) was from New England Biolabs (USA). there are data about DNA damage after laser exposure in
eukaryotic (13–15) and prokaryotic cells (16,17). More-
over, previous studies have demonstrated that red and
near-infrared lasers decrease survival of E. coli cells
deficient in base excision repair, a pathway involved in
repair of oxidative DNA lesions, and induce the filamenta-
tion phenotype more frequently than in wild type E. coli
cells (18–20). While the controversies about laser-induced
DNA lesions by free radicals have not been resolved,
it is interesting to evaluate whether other DNA repair
pathways are involved in cellular responses to low-
intensity lasers. Braz J Med Biol Res 48(10) 2015 Bacterial filamentation assay and morphological
measurements significance level. The InStat Graphpad software (Graph-
Pad InStat for Windows XP, USA) was used to perform the
statistical analysis. Exponential growth phase cultures of E. coli strains
AB1157 and AB1886 (108 cells/mL) were grown and
exposed to low-intensity red and infrared laser light as
described
in
the
bacterial
survival
assay. Bacterial
suspensions not exposed to laser light were used as
controls. Immediately
after
laser
exposure,
aliquots
(10 mL) were spread onto microscopic slides and Gram-
stained (26). Bacterial cells were visualized with a light
microscope (Carl Zeiss, Germany) equipped with an A-
plan 40 objective, 0.90 condenser and 100 W halogen
lamp. The images were captured with an AxioCam HRc
Sony 12M color microscopy camera (Carl Zeiss), using
the
Zeiss
Axiovision
software
(http://www.zeiss.com/
microscopy/en_us/products/microscope-software/axiovi-
sion-for-biology.html). The images were analyzed using
the Image-Pro Plus 6.0 software for Windows XP
(MediaCybernetics, USA) to determine the percentage
of
bacterial
filamentation. A
bacterial
filament
was
considered to have an area 2.5 times larger than the
mean bacterial cell area. Experiments were carried out in
duplicate, and the results are reported as the means of
three independent assays. Survival of E. coli cultures exposed to red and infrared
lasers Table 1 shows the survival fractions of E. coli AB1157
and AB1886 cultures exposed to low-intensity red and
infrared lasers at various fluences. No significant effect
(P40.05) on survival was observed following irradiation of
E. coli AB1157 cultures with red or infrared lasers. However, survival fractions of AB1886 cultures exposed
to the red laser at the highest fluence (100 J/cm2) and to
the infrared laser at all fluences used were significantly
decreased (Po0.05). To ascertain whether the laser beam power had an
effect on laser-induced biological effects, survival was
determined in E. coli AB1157 and AB1886 cultures
exposed to red and infrared lasers at increasing powers,
with the highest fluence being 100 J/cm2 (Table 1). The
survival fraction was significantly greater in E. coli AB1157
cultures exposed to both red and infrared lasers at the
lowest power (30 mW) than it was in cultures exposed at
the highest power (100 mW, Po0.05). On the other hand,
the survival fraction in E. coli AB1886 cultures was
significantly decreased only in those exposed to the
infrared laser at 100 mW (Po0.05). Low-intensity red and near-infrared lasers and
chemical reagents A therapeutic low-intensity red (InGaAIP) and near-
infrared (GaAlAs) laser (100 mW; Photon Lase III), with
emissions of 660 and 808 nm, was purchased from D.M.C
Equipamentos Ltda. (Brazil). Ethidium bromide, xylene
cyanol, bromophenol blue, glycerol, agarose, tris(hydroxy-
methyl)aminomethane (tris), and ethylenediamine tetraacetic Braz J Med Biol Res 48(10) 2015 www.bjournal.com.br Laser and DNA damage 931 Statistical analysis Bottom: lane
1, pUC19; lane 2, pUC19+T4 endonuclease V; lane 3, pUC19
+infrared laser 25 J/cm2; lane 4, pUC19+infrared laser 25
J/cm2+T4 endonuclease V; lane 5, pUC19+infrared laser 50
J/cm2; lane 6, pUC19+infrared laser 50 J/cm2+T4 endonu-
clease V; lane 7, pUC19+infrared laser 100 J/cm2; lane 8,
pUC19+infrared laser 100 J/cm2+T4 endonuclease V. Data are
reported as the means±SD for n=3 independent experiments. OC: open circle, L: linear, SC: supercoiled. DNA repair enzyme activity on plasmid DNA exposed
to low-intensity red and infrared lasers Figure 1 shows photographs of agarose gels and
graphs of the percentages of bacterial plasmid forms
quantified by electrophoresis after exposure to low-
intensity red (Figure 1 top) and infrared (Figure 1 bottom)
lasers at various fluences and incubated with T4 endonu-
clease V. Data in this figure indicate that exposure to
lasers did not significantly (P40.05) induce quantitative or
qualitative alterations in the electrophoretic profile of
plasmid DNA as was determined in preliminary experi-
ments (data not shown). The electrophoretic profiles of
plasmids exposed to red or infrared lasers and incubated
with T4 endonuclease V were not significantly (P40.05)
different from profiles of plasmids not incubated with T4
endonuclease V. To determine whether the power of the laser beam
influenced the DNA repair enzyme activity, plasmids were
exposed to lasers at 100 J/cm2 in continuous wave
emission
mode
at
various
powers. No
significant
(P40.05) quantitative or qualitative alterations in the
electrophoretic profiles of plasmids were observed after
exposure to either red or infrared lasers. Similar results
were obtained when plasmids were exposed to lasers and
incubated with T4 endonuclease V (Figure 2). Significant alterations were not seen in the electro-
phoretic profiles of plasmids exposed to red or infrared
lasers, or in plasmids exposed to lasers and incubated
with the enzyme in different emission modes (continuous
wave or pulsed) with a fluence of 100 J/cm2 and power of
100 mW (Figure 3). Figure 1. Percentages of bacterial plasmid forms and photo-
graphs of agarose gels after electrophoresis of plasmid pUC19
exposed to red lasers (top) and to infrared lasers (bottom), at
100 mW in continuous wave emission mode, and incubated with
T4 endonuclease V. Statistical analysis Data are reported as means±SD of the bacterial
survival fractions, plasmid forms, and the percentages,
area, and perimeter of bacterial filaments. One-way
analysis of variance (ANOVA) was performed to deter-
mine the significance of differences in the reported results,
followed by the Bonferroni post-test, with Po0.05 as the The emission mode (continuous wave and pulsed
laser light) was also evaluated in this study. E. coli cultures
were exposed to red and infrared lasers in the continuous Table 1. Survival fractions of E. coli cultures exposed to red and infrared lasers at
different fluences, powers, and emission modes. AB1157
AB1886
Red
Infrared
Red
Infrared
Fluence (J/cm2)
Control
1.0 ± 0.12
1.0 ± 0.12
1.0 ± 0.11
1.0 ± 0.11
25
0.9 ± 0.31
1.0 ± 0.28
0.9 ± 0.10
0.7 ± 0.21*
50
1.0 ± 0.39
1.1 ± 0.31
1.0 ± 0.05
0.7 ± 0.17*
100
1.1 ± 0.18
1.0 ± 0.26
0.7 ± 0.08*
0.6 ± 0.10*
Power (mW)
30
1.4 ± 0.12*
1.7 ± 0.41*
0.8 ± 0.13*
0.9 ± 0.12
50
1.2 ± 0.19
1.3 ± 0.21
0.7 ± 0.15*
0.9 ± 0.10
100
1.1 ± 0.18
1.0 ± 0.26
0.7 ± 0.08*
0.6 ± 0.10*
Frequency (pps)
Continuous
1.1 ± 0.18
1.0 ± 0.26
0.7 ± 0.08*
0.6 ± 0.10*
10
1.0 ± 0.16
1.1 ± 0.24
1.1 ± 0.14
1.1 ± 0.14
100
0.9 ± 0.09
0.9 ± 0.10
1.0 ± 0.16
1.0 ± 0.21
Data are reported as the means±SD. pps: pulses per second. *Po0.05 vs control
group not exposed to lasers (ANOVA). Table 1. Survival fractions of E. coli cultures exposed to red and infrared lasers at
different fluences, powers, and emission modes. Braz J Med Biol Res 48(10) 2015 www.bjournal.com.br www.bjournal.com.br 932 A.S. Fonseca et al. Figure 1. Percentages of bacterial plasmid forms and photo-
graphs of agarose gels after electrophoresis of plasmid pUC19
exposed to red lasers (top) and to infrared lasers (bottom), at
100 mW in continuous wave emission mode, and incubated with
T4 endonuclease V. Top: lane 1, pUC19; lane 2, pUC19+T4
endonuclease V; lane 3, pUC19+red laser 25 J/cm2; lane 4,
pUC19+red laser 25 J/cm2+T4 endonuclease V; lane 5, pUC19
+red laser 50 J/cm2; lane 6, pUC19+red laser 50 J/cm2+T4
endonuclease V; lane 7, pUC19+red laser 100 J/cm2; lane 8,
pUC19+red laser 100 J/cm2+T4 endonuclease V. Statistical analysis Top: lane 1, pUC19; lane 2, pUC19+T4
endonuclease V; lane 3, pUC19+red laser 25 J/cm2; lane 4,
pUC19+red laser 25 J/cm2+T4 endonuclease V; lane 5, pUC19
+red laser 50 J/cm2; lane 6, pUC19+red laser 50 J/cm2+T4
endonuclease V; lane 7, pUC19+red laser 100 J/cm2; lane 8,
pUC19+red laser 100 J/cm2+T4 endonuclease V. Bottom: lane
1, pUC19; lane 2, pUC19+T4 endonuclease V; lane 3, pUC19
+infrared laser 25 J/cm2; lane 4, pUC19+infrared laser 25
J/cm2+T4 endonuclease V; lane 5, pUC19+infrared laser 50
J/cm2; lane 6, pUC19+infrared laser 50 J/cm2+T4 endonu-
clease V; lane 7, pUC19+infrared laser 100 J/cm2; lane 8,
pUC19+infrared laser 100 J/cm2+T4 endonuclease V. Data are
reported as the means±SD for n=3 independent experiments. OC: open circle, L: linear, SC: supercoiled. Bacterial filamentation in E. coli cultures exposed to
red and infrared lasers However,
this
effect
was
not
dependent
on
pulse
frequency, except for the red laser in E. coli AB1886. (Po0.05) increased both area and perimeter of those
bacterial cells. When the cells were exposed to the red
laser at lower powers (30 and 50 mW) at 100 J/cm2 in
continuous wave emission, no significant (P40.05) altera-
tion in area and perimeter occurred. However, under the
same conditions, the infrared laser induced increases in both
area and perimeter of E. coli AB1157 cells. Similar to the
results obtained at lower powers, the red laser in pulsed
emission mode, 100 mW, and 100 J/cm2 did not induce
area and perimeter changes of E. coli AB1157 cells, but the
infrared laser induced significant (Po0.05) increases of both
morphological parameters. Area and perimeter were also Bacterial filamentation in E. coli cultures exposed to
red and infrared lasers Bottom: lane 1,
pUC19; lane 2, pUC19+T4 endonuclease V; lane 3, pUC19+
infrared laser 10 pps; lane 4, pUC19+infrared laser 10 pps+T4
endonuclease V; lane 5, pUC19+infrared laser 30 pps; lane 6,
pUC19+infrared laser 30 pps+T4 endonuclease V; lane 7,
pUC19+infrared
laser
100 pps;
lane
8,
pUC19+infrared
laser 100 pps+T4 endonuclease V. Data are reported as the
means±SD for n=3 independent experiments. OC: open circle, L:
linear, SC: supercoiled. Figure 3. Percentages of bacterial plasmid forms and photo-
graphs of agarose gels after electrophoresis of plasmid pUC19
exposed to red lasers (top) and to infrared lasers (bottom), at
different frequencies, 100 mW and 100 J/cm2, and incubated with
T4 endonuclease V. Top: lane 1, pUC19; lane 2, pUC19+T4
endonuclease V; lane 3, pUC19+red laser 10 pps; lane 4,
pUC19+red laser 10 pps+T4 endonuclease V; lane 5, pUC19
+red laser 30 pps; lane 6, pUC19+red laser 30 pps+T4
endonuclease V; lane 7, pUC19+red laser 100 pps; lane 8,
pUC19+red laser 100 pps+T4 endonuclease V. Bottom: lane 1,
pUC19; lane 2, pUC19+T4 endonuclease V; lane 3, pUC19+
infrared laser 10 pps; lane 4, pUC19+infrared laser 10 pps+T4
endonuclease V; lane 5, pUC19+infrared laser 30 pps; lane 6,
pUC19+infrared laser 30 pps+T4 endonuclease V; lane 7,
pUC19+infrared
laser
100 pps;
lane
8,
pUC19+infrared
laser 100 pps+T4 endonuclease V. Data are reported as the
means±SD for n=3 independent experiments. OC: open circle, L:
linear, SC: supercoiled. Figure 2. Percentages of bacterial plasmid forms and photo-
graphs of agarose gels after electrophoresis of plasmid pUC19
exposed to red lasers (top) and to infrared lasers (bottom) at
different powers, 100 J/cm2 in continuous wave emission mode,
and incubated with T4 endonuclease V. Top: lane 1, pUC19; lane
2, pUC19+T4 endonuclease V; lane 3, pUC19+red laser
30 mW; lane 4, pUC19+red laser 30 mW+T4 endonuclease
V; lane 5, pUC19+red laser 50 mW; lane 6, pUC19+red laser
50 mW+T4 endonuclease V; lane 7, pUC19+red laser 100 mW;
lane 8, pUC19+red laser 100 mW+T4 endonuclease V. Bottom:
lane 1, pUC19; lane 2, pUC19+T4 endonuclease V; lane 3,
pUC19+infrared laser 30 mW; lane 4, pUC19+infrared laser
30 mW+T4 endonuclease V; lane 5, pUC19+infrared laser
50 mW; lane 6, pUC19+infrared laser 50 mW+T4 endonu-
clease V; lane 7, pUC19+infrared laser 100 mW; lane 8, pUC19+
infrared laser 100 mW+T4 endonuclease V. Data are reported as
the means±SD for n=3 independent experiments. OC: open
circle, L: linear, SC: supercoiled. www.bjournal.com.br Bacterial filamentation in E. coli cultures exposed to
red and infrared lasers Figure 4 shows representative images of cells from
E. coli AB1157 cultures in exponential growth phase
(Figure 4A) and analysis of induction of bacterial filaments
(Figure 4B). Table 2 shows the percentages of bacterial
filaments in cultures of E. coli AB1157 and AB1886
exposed to low-intensity red and infrared lasers at
different fluences, powers, and emission modes. Laser
exposure significantly (Po0.05) increased the percentage
of bacterial filaments in both E. coli AB1157 and AB1886
cultures. Filamentation induction was fluence-dependent
in E. coli AB1157 for the infrared laser and inversely
fluence-dependent in E. coli AB1886 for the red laser. Also, at the lowest powers, a significant (Po0.05)
increase in the percentage of bacterial filaments occurred
in E. coli AB1157 cultures exposed to lasers at 100 J/cm2
in the continuous wave emission mode. However, at low
power (30 mW), neither the red nor the infrared laser
significantly increased the percentage of bacterial fila-
ments in E. coli AB1886 cultures (P40.05). Lasers
significantly (Po0.05) increased the percentage of bac-
terial filaments in E. coli AB1157 and AB1886 cultures in
both continuous wave and pulsed emission modes. wave and pulsed emission (at 10 and 100 pps) modes at
the highest fluence (100 J/cm2) and power (100 mW), and
the survival fractions were evaluated (Table 1). Survival of
E. coli AB1157 was not dependent on the laser emission
mode; no significant (P40.05) differences in survival
fraction were observed. However, survival of exposed
E. coli AB1886 cultures was dependent on the emission
mode. The continuous wave mode caused a significant
(Po0.05) decrease of the survival fraction, but the pulsed
mode did not cause significant (P40.05) alterations
of bacterial survival in response to either red or infrared
laser emissions. Braz J Med Biol Res 48(10) 2015 www.bjournal.com.br 933 Laser and DNA damage photo-
pUC19
om) at
mode,
9; lane
d laser
uclease
d laser
0 mW;
Bottom:
ane 3,
d laser
d laser
ndonu-
UC19+
rted as
: open
Figure 3. Percentages of bacterial plasmid forms and photo-
graphs of agarose gels after electrophoresis of plasmid pUC19
exposed to red lasers (top) and to infrared lasers (bottom), at
different frequencies, 100 mW and 100 J/cm2, and incubated with
T4 endonuclease V. Bacterial filamentation in E. coli cultures exposed to
red and infrared lasers Top: lane 1, pUC19; lane 2, pUC19+T4
endonuclease V; lane 3, pUC19+red laser 10 pps; lane 4,
pUC19+red laser 10 pps+T4 endonuclease V; lane 5, pUC19
+red laser 30 pps; lane 6, pUC19+red laser 30 pps+T4
endonuclease V; lane 7, pUC19+red laser 100 pps; lane 8,
pUC19+red laser 100 pps+T4 endonuclease V. Bottom: lane 1,
pUC19; lane 2, pUC19+T4 endonuclease V; lane 3, pUC19+
infrared laser 10 pps; lane 4, pUC19+infrared laser 10 pps+T4
endonuclease V; lane 5, pUC19+infrared laser 30 pps; lane 6,
pUC19+infrared laser 30 pps+T4 endonuclease V; lane 7,
pUC19+infrared
laser
100 pps;
lane
8,
pUC19+infrared
laser 100 pps+T4 endonuclease V. Data are reported as the
means±SD for n=3 independent experiments. OC: open circle, L:
linear, SC: supercoiled. Figure 2. Percentages of bacterial plasmid forms and photo-
graphs of agarose gels after electrophoresis of plasmid pUC19
exposed to red lasers (top) and to infrared lasers (bottom) at
different powers, 100 J/cm2 in continuous wave emission mode,
and incubated with T4 endonuclease V. Top: lane 1, pUC19; lane
2, pUC19+T4 endonuclease V; lane 3, pUC19+red laser
30 mW; lane 4, pUC19+red laser 30 mW+T4 endonuclease
V; lane 5, pUC19+red laser 50 mW; lane 6, pUC19+red laser
50 mW+T4 endonuclease V; lane 7, pUC19+red laser 100 mW;
lane 8, pUC19+red laser 100 mW+T4 endonuclease V. Bottom:
lane 1, pUC19; lane 2, pUC19+T4 endonuclease V; lane 3,
pUC19+infrared laser 30 mW; lane 4, pUC19+infrared laser
30 mW+T4 endonuclease V; lane 5, pUC19+infrared laser
50 mW; lane 6, pUC19+infrared laser 50 mW+T4 endonu-
clease V; lane 7, pUC19+infrared laser 100 mW; lane 8, pUC19+
infrared laser 100 mW+T4 endonuclease V. Data are reported as
the means±SD for n=3 independent experiments. OC: open
circle, L: linear, SC: supercoiled. Figure 3. Percentages of bacterial plasmid forms and photo-
graphs of agarose gels after electrophoresis of plasmid pUC19
exposed to red lasers (top) and to infrared lasers (bottom), at
different frequencies, 100 mW and 100 J/cm2, and incubated with
T4 endonuclease V. Top: lane 1, pUC19; lane 2, pUC19+T4
endonuclease V; lane 3, pUC19+red laser 10 pps; lane 4,
pUC19+red laser 10 pps+T4 endonuclease V; lane 5, pUC19
+red laser 30 pps; lane 6, pUC19+red laser 30 pps+T4
endonuclease V; lane 7, pUC19+red laser 100 pps; lane 8,
pUC19+red laser 100 pps+T4 endonuclease V. Evaluation of morphology of E. coli cells exposed to
red and infrared lasers Area and perimeter of E. coli AB1157 and AB1886 cells
were evaluated following exposure to red and infrared lasers
at different fluences, powers, and emission modes (Tables 3
and 4). At 100 mW in the continuous wave emission mode,
red laser exposure significantly (Po0.05) reduced E. coli
AB1157 cell area at the highest fluence evaluated (100
J/cm2). On the other hand, the infrared laser significantly Braz J Med Biol Res 48(10) 2015 934 A.S. Fonseca et al. Figure 4. Representative bacterial filamentation images from
AB1157 cultures in exponential growth phase. A, The arrow
indicates a bacterial filament; B, Same image demonstrating how
image analysis was performed. A bacterial filament was considered
to have an area 2.5 times larger than the mean bacterial cell. increase in resistance to nonionizing (27), ionizing (28),
and oxidative chemical compounds (25). Those studies
prompted evaluation of the effects of lasers on DNA
molecules (18–20,29). Our study results show that low-
intensity red lasers at fluences, powers, and emission
modes used in clinical protocols were not lethal to E. coli
cells proficient in DNA repair (strain AB1157, Table 1). Instead, survival fractions were increased at the lowest
power (30 mW), suggesting a power-dependent biological
effect (biostimulation). Previous studies demonstrated a
biostimulatory effect in prokaryote (10) and eukaryote
(30) cells. Recently, we observed this effect in cell cultures
proficient in DNA repair mechanisms, but not in an E. coli
strain deficient in repair of oxidative DNA lesions (20). No
studies have demonstrated biostimulation that was depen-
dent on laser beam power. Here, survival of uvrA-deficient
E. coli cells was decreased by red lasers at all evaluated
powers, but only at the highest fluence (100 J/cm2) and in
the continuous wave emission mode. These results agree
with previously reported data, suggesting that the biological
effects of low-intensity lasers are frequency-dependent (25). Moreover, these cells were sensitive to infrared lasers at
lower fluences, but only at the highest power (100 mW) and
in the continuous wave emission mode. Despite the
importance of this biological aspect, our study describes,
for the first time, how cells deficient in the nucleotide excision
repair of DNA damage are sensitive to low-intensity laser
radiation. These results support the hypothesis that laser-
induced biological effects are dependent on DNA repair
mechanisms (17). Evaluation of morphology of E. coli cells exposed to
red and infrared lasers T4 endonuclease V is a highly specific glycosylase that
cleaves the glycosydic bond of cyclobutane pyrimidine
dimers induced by ultraviolet radiation and possesses a
concomitant DNA apurinic or apyrimidinic (AP) lyase activity
at basic sites generated by glycosylase action (31). Due to
these properties, T4 endonuclease V protects patients with
xeroderma pigmentosum against skin cancer (32). Plasmid
DNA exposed to low-intensity red and infrared lasers did
not show any alterations in electrophoretic profile in
agarose gels, suggesting absence of detectable single-
or double-strand DNA breaks, as previous studies have
demonstrated (19,20). In addition, the plasmids did not
show any alteration in their electrophoretic profile after
incubation with T4 endonuclease V, suggesting that red
and infrared laser lights did not induce DNA lesions
targeted
by
this enzyme, at
least
under the
laser
irradiation conditions used in this study. Figure 4. Representative bacterial filamentation images from
AB1157 cultures in exponential growth phase. A, The arrow
indicates a bacterial filament; B, Same image demonstrating how
image analysis was performed. A bacterial filament was considered
to have an area 2.5 times larger than the mean bacterial cell. Figure 4. Representative bacterial filamentation images from
AB1157 cultures in exponential growth phase. A, The arrow
indicates a bacterial filament; B, Same image demonstrating how
image analysis was performed. A bacterial filament was considered
to have an area 2.5 times larger than the mean bacterial cell. evaluated in E. coli AB1886 following exposure to both red
and infrared lasers (Table 4) under the same conditions
evaluated for E. coli AB1157 cells. No significant changes
(P40.05) in either morphological parameter were observed
in E. coli AB1886 cells following exposure to either red or
infrared lasers at 100 mW in continuous wave mode
emission or at any of the tested fluences. However, laser
exposure at lower powers (30 and 50 mW), 100 J/cm2, and
continuous wave emission, significantly (Po0.05) decrea-
sed area and perimeter of these cells. In pulsed emission
mode, both lasers induced a decrease of morphological
parameters, except for the red laser at 100 pps. Whether significant laser light energy is directly or
indirectly absorbed by DNA molecules remains controversial. For
ultraviolet
A
radiation
(320-400 nm),
it
has
been
suggested that DNA lesions are induced by direct (33) or
indirect mechanisms (34). An unidentified chromophore might
be involved in the indirect mechanism for absorbing the
ultraviolet radiation energy and subsequently transferring it to
DNA molecules (34). Evaluation of morphology of E. coli cells exposed to
red and infrared lasers A similar indirect mechanism might be
related to absorption of laser light energy by cells and its www.bjournal.com.br Discussion Some studies have suggested that exposure to low-
intensity laser light induces cellular alterations causing Braz J Med Biol Res 48(10) 2015 935 Laser and DNA damage Table 2. Percentages of bacterial filaments from E. coli cultures exposed to red and
infrared lasers at different fluences, powers, and emission modes. Table 2. Percentages of bacterial filaments from E. coli cultures exposed to red and
infrared lasers at different fluences, powers, and emission modes. Table 2. Percentages of bacterial filaments from E. coli cultures exposed to red and
infrared lasers at different fluences, powers, and emission modes. infrared lasers at different fluences, powers, and emission modes. AB1157
AB1886
Red
Infrared
Red
Infrared
Fluence (J/cm2)
Control
4.0 ± 0.25
4.0 ± 0.25
5.3 ± 0.24
5.3 ± 0.24
25
12.0 ± 1.33*
8.4 ± 0.19*
28.3 ± 2.26*
9.0 ± 0.74*
50
9.6 ± 0.58*
9.0 ± 0.13*
20.7 ± 2.13*
14.7 ± 1.39*
100
9.0 ± 0.33*
26.3 ± 1.45*
9.3 ± 1.70*
11.0 ± 1.35*
Power (mW)
30
13.0 ± 1.49*
33.1 ± 1.59*
4.3 ± 0.57
5.3 ± 0.22
50
11.3 ± 1.21*
29.2 ± 1.78*
6.7 ± 0.25*
7.3 ± 0.54*
100
9.0 ± 0.33*
26.3 ± 1.45*
9.3 ± 1.70*
11.0 ± 1.35*
Frequency (pps)
Continuous
9.0 ± 0.33*
26.3 ± 1.45*
9.3 ± 1.70*
11.0 ± 1.35*
10
14.1 ± 1.27*
25.0 ± 1.57*
7.3 ± 0.42*
10.4 ± 1.09*
100
8.7 ± 0.73*
26.3 ± 1.48*
19.7 ± 1.67*
8.4 ± 0.71*
Data are reported as the means±SD. pps: pulses per second. *Po0.05 vs control
group not exposed to lasers (ANOVA). Data are reported as the means±SD. pps: pulses per second. *Po0.05 vs control
group not exposed to lasers (ANOVA). effects on the DNA molecule. In fact, cytochrome C in euka-
ryotic and cytochrome BD in prokaryotic cells are chromo-
phores for red and infrared laser light (11). This could explain
the lack of change in the electrophoretic profile of plasmids
incubated with T4 endonuclease V, even though E. coli
AB1886 cultures were sensitive to red and infrared lasers. red and infrared lasers, and primarily with infrared lasers
at the highest fluence (100 J/cm2). Interestingly, laser-
induced filamentation was slightly greater at lower powers,
but was similar for the continuous wave and pulsed
emission modes, except at 10 pps for the red laser. Discussion In this
study, the filamentous phenotype was described for the
first time in a strain of E. coli deficient in nucleotide
excision repair (strain AB1886, Table 2). Except for red
laser exposures at low fluences (25 and 50 J/cm2), E. coli
AB1886
cells
exhibited
the
lowest
percentages
of Previous studies have demonstrated induction of
filamentation in E. coli cells exposed to low-intensity
lasers (18–20). Wild-type E. coli cells (strain AB1157)
exhibited a filamentous phenotype after exposure to both Table 3. Area and perimeter of E. coli AB1157 cells exposed to red and infrared
lasers at different fluences, powers, and emission modes. Table 3. Area and perimeter of E. coli AB1157 cells exposed to red and infrared
lasers at different fluences, powers, and emission modes. Area (mm2)
Perimeter (mm)
Red
Infrared
Red
Infrared
Fluence (J/cm2)
Control
1.8 ± 0.59
1.8 ± 0.59
5.9 ± 1.24
5.9 ± 1.24
25
1.9 ± 0.66
1.8 ± 0.60
6.6 ± 1.51
6.2 ± 1.31
50
1.7 ± 0.51
2.2 ± 0.68*
6.1 ± 1.26
6.4 ± 1.25*
100
1.5 ± 0.55*
2.5 ± 0.98*
5.7 ± 1.31
7.1 ± 1.74*
Power (mW)
30
1.8 ± 0.73
2.7 ± 0.90*
6.4 ± 1.57
7.3 ± 1.50*
50
1.8 ± 0.63
2.2 ± 0.69*
6.3 ± 1.48
6.5 ± 1.53*
100
1.5 ± 0.55*
2.5 ± 0.98*
5.7 ± 1.31
7.1 ± 1.74*
Frequency (pps)
Continuous
1.5 ± 0.55*
2.5 ± 0.98*
5.7 ± 1.31
7.1 ± 1.74*
10
1.7 ± 0.62
2.7 ± 0.90*
6.3 ± 1.48
7.3 ± 1.50*
100
1.7 ± 0.61
2.2 ± 0.69*
6.0 ± 1.36
6.5 ± 1.53
Data are reported as the means±SD. pps: pulses per second. *Po0.05 vs control
group not exposed to lasers (ANOVA). Braz J Med Biol Res 48(10) 2015 www.bjournal.com.br 936 A.S. Fonseca et al. Table 4. Area and perimeter of E. coli AB1886 cells exposed to red and infrared
lasers at different fluences, powers, and emission modes. Table 4. Area and perimeter of E. coli AB1886 cells exposed to red and infrared
lasers at different fluences, powers, and emission modes. Discussion These
results reinforce the suggestion that biological effects induced
by low-intensity lasers depend on physical parameters
(power and emission mode) as well as the presence of
DNA repair mechanisms (17). On the other hand, data from
morphological analysis indicate that low-level laser light can
alter the function of membrane ion channels. Changes in
morphological parameters such as area and perimeter are
associated with changes in the function of those membrane
proteins (36). In fact, He-Ne lasers operating at 632.8 nm
increase or decrease the amplitude of membrane potentials
dependent on slow potassium currents in a fluence-
dependent
way
(37). Low
pulse
energy
neodymium:
yttrium-aluminum-garnet (Nd:YAG) laser light increases
intracellular Ca2+ concentration in osteoblasts through the
activation of TRPC1 ion channels (38). Membrane con-
ductance through voltage-gated K+, BK, and Kir channels
and T- and L-type Ca2+ channels is increased following red
laser exposure at low fluence and power (39). Also, infrared
lasers at 810 nm raise mitochondrial membrane potential
and reduce intracellular Ca2+ concentration (40). bacterial filaments. This can be attributed to increased
cellular inactivation at those fluences (Table 1), preventing
more cells from presenting a filamentous phenotype. In
fact, cellular filamentation is a strategy to restore normal
internal conditions, mainly DNA lesions, in order to survive
injury (24). The appearance of red and infrared laser-
induced filamentous phenotypes was power-, but not
frequency-dependent, occurring after exposure to lasers
in the continuous wave and pulsed emission modes. bacterial filaments. This can be attributed to increased
cellular inactivation at those fluences (Table 1), preventing
more cells from presenting a filamentous phenotype. In
fact, cellular filamentation is a strategy to restore normal
internal conditions, mainly DNA lesions, in order to survive
injury (24). The appearance of red and infrared laser-
induced filamentous phenotypes was power-, but not
frequency-dependent, occurring after exposure to lasers
in the continuous wave and pulsed emission modes. The filamentation assay performed in this study showed
that low-intensity red and infrared lasers induced SOS
responses in bacterial cells. However, the assay permitted
evaluation of the percentage of bacterial filaments induced
by laser exposure but not the morphology of cells that did not
present that phenotype. Computer software has been used
to perform measurements of morphological parameters (35). In fact, data in Table 2 show that bacterial filaments occurred
in fewer than 30% of both E. coli AB1157 and AB1886
cultures exposed to lasers. Discussion Cell area and perimeter were measured to evaluate the
morphology of bacterial cells that did not exhibit a filamentous
phenotype. Red and infrared laser light induced different
alterations in E. coli AB1157 cell area and perimeter (Table 3). Red laser exposure decreased cell area at the highest
fluence (100 J/cm2) and power (100 mW) in the continuous
wave emission mode. Infrared laser exposure increased both
morphological parameters at 50 J/cm2, at the lower powers,
and in both the continuous wave and pulsed emission modes. These results demonstrate that the wavelength of laser light
acts to cause changes in cell morphology. In E. coli AB1886
cells, red and infrared lasers at the highest power in the
continuous wave mode did not alter cell morphology (Table 4). However, at lower powers and in the pulsed emission mode, Although our research was performed with bacterial
cells, low-intensity lasers at fluences used in clinical
protocols could induce biological effects depending on
cellular genetic characteristics, such as functional DNA
repair by the nucleotide excision pathway. Braz J Med Biol Res 48(10) 2015 Discussion Area (mm2)
Perimeter (mm)
Red
Infrared
Red
Infrared
Fluence (J/cm2)
Control
2.0 ± 0.75
2.0 ± 0.75
6.6 ± 1.76
6.6 ± 1.76
25
2.1 ± 0.71
1.8 ± 0.62
6.8 ± 1.62
6.3 ± 1.46
50
2.1 ± 0.78
1.9 ± 0.59
6.7 ± 1.59
6.5 ± 1.30
100
2.0 ± 0.57
2.0 ± 0.58
6.5 ± 1.43
6.7 ± 1.28
Power (mW)
30
1.8 ± 0.42*
1.7 ± 0.48*
5.9 ± 0.88*
6.0 ± 1.00*
50
1.5 ± 0.53*
1.8 ± 0.63*
5.6 ± 1.39*
6.0 ± 1.30*
100
2.0 ± 0.57
2.0 ± 0.58
6.5 ± 1.43
6.7 ± 1.28
Frequency (pps)
Continuous
2.0 ± 0.57
2.0 ± 0.58
6.5 ± 1.43
6.7 ± 1.28
10
1.6 ± 0.81*
1.7 ± 0.88*
6.1 ± 2.33*
6.3 ± 1.09*
100
2.0 ± 0.55
1.8 ± 0.91*
6.5 ± 1.76
6.0 ± 1.93*
Data are reported as the means±SD. pps: pulses per second. *Po0.05 vs control
group not exposed to lasers (ANOVA). Data are reported as the means±SD. pps: pulses per second. *Po0.05 vs control
group not exposed to lasers (ANOVA). both red and infrared lasers altered the area and perimeter of
cells, but both lasers decreased those parameters. These
results reinforce the suggestion that biological effects induced
by low-intensity lasers depend on physical parameters
(power and emission mode) as well as the presence of
DNA repair mechanisms (17). On the other hand, data from
morphological analysis indicate that low-level laser light can
alter the function of membrane ion channels. Changes in
morphological parameters such as area and perimeter are
associated with changes in the function of those membrane
proteins (36). In fact, He-Ne lasers operating at 632.8 nm
increase or decrease the amplitude of membrane potentials
dependent on slow potassium currents in a fluence-
dependent
way
(37). Low
pulse
energy
neodymium:
yttrium-aluminum-garnet (Nd:YAG) laser light increases
intracellular Ca2+ concentration in osteoblasts through the
activation of TRPC1 ion channels (38). Membrane con-
ductance through voltage-gated K+, BK, and Kir channels
and T- and L-type Ca2+ channels is increased following red
laser exposure at low fluence and power (39). Also, infrared
lasers at 810 nm raise mitochondrial membrane potential
and reduce intracellular Ca2+ concentration (40). both red and infrared lasers altered the area and perimeter of
cells, but both lasers decreased those parameters. References strains. J Photochem Photobiol B 2003; 69: 161–167,
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Haplotype Detection from Next-Generation Sequencing in High-Ploidy-Level Species: 45S rDNA Gene Copies in the Hexaploid <i>Spartina maritima</i>
|
G3
| 2,016
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cc-by
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To cite this version: Julien Boutte, Benoît Aliaga, Oscar Lima, Julie Ferreira de Carvalho, Abdelkader Aïnouche, et al.. Haplotype Detection from Next-Generation Sequencing in High-Ploidy-Level Species: 45S rDNA Gene
Copies in the Hexaploid Spartina maritima. G3, 2016, 6 (1), pp.29–40. 10.1534/g3.115.023242. hal-
01269912 Distributed under a Creative Commons Attribution 4.0 International License Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima Julien Boutte,* Benoît Aliaga,* Oscar Lima,* Julie Ferreira de Carvalho,* Abdelkader Ainouche,*
Jiri Macas,† Mathieu Rousseau-Gueutin,*,‡ Olivier Coriton,‡ Malika Ainouche,* and Armel Salmon*,1
*UMR CNRS 6553 Ecobio, OSUR (Observatoire des Sciences de l’Univers de Rennes), University of Rennes 1, Bât 14A
Campus Scientifique de Beaulieu, 35 042 Rennes Cedex, France, †Biology Centre ASCR, Institute of Plant Molecular
Biology, Branisovská 31, Ceské Budejovice, CZ-37005, Czech Republic, and ‡UMR Institut de Génétique, Environnement
et Protection des Plantes, Institut National de la Recherche Agronomique, BP35327, 35653 Le Rheu Cedex, France ABSTRACT Gene and whole-genome duplications are widespread in plant nuclear genomes, resulting in
sequence heterogeneity. Identification of duplicated genes may be particularly challenging in highly
redundant genomes, especially when there are no diploid parents as a reference. Here, we developed a
pipeline to detect the different copies in the ribosomal RNA gene family in the hexaploid grass Spartina
maritima from next-generation sequencing (Roche-454) reads. The heterogeneity of the different domains
of the highly repeated 45S unit was explored by identifying single nucleotide polymorphisms (SNPs) and
assembling reads based on shared polymorphisms. SNPs were validated using comparisons with Illumina
sequence data sets and by cloning and Sanger (re)sequencing. Using this approach, 29 validated polymor-
phisms and 11 validated haplotypes were reported (out of 34 and 20, respectively, that were initially
predicted by our program). The rDNA domains of S. maritima have similar lengths as those found in other
Poaceae, apart from the 59-ETS, which is approximately two-times longer in S. maritima. Sequence homo-
geneity was encountered in coding regions and both internal transcribed spacers (ITS), whereas high intra-
genomic variability was detected in the intergenic spacer (IGS) and the external transcribed spacer (ETS). Molecular cytogenetic analysis by fluorescent in situ hybridization (FISH) revealed the presence of one pair
of 45S rDNA signals on the chromosomes of S. maritima instead of three expected pairs for a hexaploid
genome, indicating loss of duplicated homeologous loci through the diploidization process. The procedure
developed here may be used at any ploidy level and using different sequencing technologies. Gene and genome duplications play an important role in the diversi-
fication of eukaryotic functions and the formationof new species(Ohno
1970; Wendel 2000). These common phenomena contribute to se-
quence heterogeneity at homologous loci in all plant (eukaryotic) genomes. Detection of the duplicated copies is essential to investi-
gate species history and the evolutionary dynamics of genes. KEYWORDS
poaceae
duplication
paralogy
polyploidy
bioinformatics Copyright © 2016 Boutte et al.
doi: 10.1534/g3.115.023242
Manuscript received September 30, 2015; accepted for publication October 23,
2015; published Early Online November 3, 2015.
This is an open-access article 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 the original work is properly cited.
Supporting information is available online at www.g3journal.org/lookup/suppl/
doi:10.1534/g3.115.023242/-/DC1
1Corresponding author: UMR CNRS 6553 Ecobio, University of Rennes 1, France.
E-mail: armel.salmon@univ-rennes1.fr HAL Id: hal-01269912
https://univ-rennes.hal.science/hal-01269912v1
Submitted on 27 May 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 INVESTIGATION Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima In this
work, we focus on a multigene family widely used in evolutionary
genetics, coding for ribosomal RNA (45S rDNA) in the context of a
highly duplicated genome, the hexaploid Spartina maritima (Curtis)
Fern. (Poaceae, Chloridoideae). Polyploidyorwhole genome duplicationisa process that has played a
majorroleintheevolutionandtheadaptationofmanyeukaryotesinboth
animals (Mable 2004; Van de Peer et al. 2009) and plants (Jiao et al. 2011; Levy and Feldman 2002; Soltis et al. 2009). Whole genome dupli-
cation is most often due to the formation of unreduced gametes during
meiosis in the same species (autopolyploidy) or in an interspecific hybrid
(allopolyploidy) (Ramsey and Schemske 1998). Autopolyploid species
contain several homologous genomes, whereas allopolyploid species
contain more or less divergent duplicated homeologous genomes. Volume 6
|
January 2016
|
29 29 Figure 1 Schematic representation of the 45S ribosomal DNA in Z. mays, S. maritima, and O. sativa. The lines correspond to the intergenic
spacers, the gray boxes correspond to the coding regions (18S, 5.8S, and 25S), and the white boxes correspond to the external and internal
transcribed spacers (ETS, ITS-1, and ITS-2). Black boxes represent the regions presenting less than 90% identity between either Z. mays and
S. maritima or O. sativa and S. maritima. The rice expansion segments (D1 to D12, represented in black) detected by Hancock and Dover (1988)
and Kuzoff et al. (1998) are indicated above the rice 25S. The figure is drawn to scale. Figure 1 Schematic representation of the 45S ribosomal DNA in Z. mays, S. maritima, and O. sativa. The lines correspond to the intergenic
spacers, the gray boxes correspond to the coding regions (18S, 5.8S, and 25S), and the white boxes correspond to the external and internal
transcribed spacers (ETS, ITS-1, and ITS-2). Black boxes represent the regions presenting less than 90% identity between either Z. mays and
S. maritima or O. sativa and S. maritima. The rice expansion segments (D1 to D12, represented in black) detected by Hancock and Dover (1988)
and Kuzoff et al. (1998) are indicated above the rice 25S. The figure is drawn to scale. The grass genus Spartina Schreb. belongs to the subfamily
Chloridoideae (a poorly investigated group in genomics), where it forms
a monophyletic lineage embedded in the paraphyletic Sporobolus genus,
which recently led some authors to consider taxonomical inclusion of
Spartina in genus Sporobolus (Peterson et al. 2014). Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima The Spartina clade is
particularly affected by recurrent polyploidization and/or interspecific
hybridization events (Ainouche et al. 2008; Strong and Ayres 2013). It
contains 13–15 species ranging from tetraploid (2n = 4x = 40) to dodec-
aploid (2n = 12x = 120, 122, 124) levels, with a basic chromosomes
number x = 10. So far, no diploid Spartina species has been identified
(Ainouche et al. 2012). The different Spartina species have evolved into
two major lineages (Baumel et al. 2002): a tetraploid clade mainly con-
sisting of American native species and a hexaploid clade, including New
World and Old World species. Within this hexaploid clade, Spartina
maritima, native to European Atlantic coasts and Spartina alterniflora
Loisel., native to American east coasts, have naturally hybridized twice in
the early 19th century following introductions of the American species
in Europe. Hybridization between these species led to the formation of
two sterile F1 hybrids, Spartina x townsendii in the Bay of Southampton
(England) (Groves and Groves 1880) and Spartina x neyrautii in
the Basque region (France) (Foucaud 1897). Genome duplication of
S. x townsendii gave rise to the highly fertile and invasive allopolyploid
Spartina anglica C. E. Hubbard (2n = 12x = 120,122,124) (Marchant
1968). S. anglica colonized Western Europe as well as various regions
(e.g., Australia and China). This expansion has many ecological effects,
with this species playing an important role in the salt marsh sediment
dynamics. S. anglica is able to colonize mudflats and to accelerate
sediment accretion, thus altering the characteristics of the colonized habitats (referred to as an “ecosystem engineer” species) (Ainouche
et al. 2008 and references therein). Genome evolution analysis of S. anglica compared to its parents (S. maritima and S. alterniflora) offers
a special opportunity to understand the genomic and adaptive mecha-
nisms associated with the formation of a new species in the wild
(Ainouche et al. 2012). With this perspective, knowledge of the parental
genomes is essential. Our study focused on the European parental species S. maritima (2n
= 60), which has a genome size that is estimated to be 2C = 3.8 pg or
3700 MB (Fortune et al. 2008). This hexaploid species, probably of
hybrid origin, is expected to contain three duplicated homeologous
genomes (Fortune et al. 2007) that may have diverged in the past
10 mya (Rousseau-Gueutin et al. 2015). Sequence heterogeneity is then
expected as a result of successive whole-genome duplications. 30
|
J. Boutte et al. Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima In allopolyploid species,
it was shown that the process of concerted evolution also affects home-
ologs, resulting in a preferential retention of one of the parental repeat
copies, as demonstrated in polyploid cottons (Wendel et al. 1995) or
tobacco (Kovarik et al. 2008). This process can occur rapidly after
allopolyploid speciation, as evidenced in natural populations of allote-
traploid Tragopogon formed in the past 80 years (Koh et al. 2010). In
Spartina, the ITS region (including the 5.8S gene flanked by the ITS-1
and ITS-2) has been used to elucidate phylogenetic relationships
among the different species (Baumel et al. 2002; Fortune et al. 2007),
but studies on the evolutionary dynamics of the paralogous and home-
ologous copies are lacking in this system. The recently formed Spartina
hybrid (S. x townsendii) and its allododecaploid derivative (S. anglica)
exhibit parental additivity of the ITS regions inherited from their hexa-
ploid parents (Baumel et al. 2001), and recent investigations in natural
populations suggest that interlocus homogenization and/or homeolog (TIS); the ETS region II, which includes several and highly variable
subrepeats; and the ETS region III, which is adjacent to the 18S coding
region (Volkov et al. 1996). Each TU is separated from the other by an
intergenic spacer (IGS) that contains the two ETS bordering the non-
transcribed spacer region (NTS) composed of several repeats of 80 bp. The number of repeats and the length of each vary considerably among
species (Poczai and Hyvönen 2010). The different repeats are known to
undergo a process of homogenization by gene conversion leading to the
observation of “concerted evolution” of these ribosomal genes (Nei and
Rooney 2005). This homogenization limits the number and divergence
of paralogous copies in this gene family, which has promoted its use in
molecular phylogenies. The differential rates of variation along the
transcriptional unit (the coding regions are more conserved than the
spacers) allow phylogenetic inferences at different levels of the taxo-
nomic hierarchy (Alvarez and Wendel 2003). In allopolyploid species,
it was shown that the process of concerted evolution also affects home-
ologs, resulting in a preferential retention of one of the parental repeat
copies, as demonstrated in polyploid cottons (Wendel et al. 1995) or
tobacco (Kovarik et al. 2008). This process can occur rapidly after
allopolyploid speciation, as evidenced in natural populations of allote-
traploid Tragopogon formed in the past 80 years (Koh et al. 2010). Volume 6
January 2016
|
Haplotype Detection from NGS in Spartina
| Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima This may
be more complicated in gene families where both paralogs and homeo-
logs may be encountered, such as the 45S ribosomal gene family, which
is known for its highly dynamic evolution, most particularly in poly-
ploids (see below). Because these genes are commonly used in phylo-
genetic studies, distinguishing paralogs and homeologs are critical. The 45S rDNA unit is composed of a high number of transcription
units (TU) per genome (.500 in plants) arranged in tandem repeats on
one or several loci (Rogers and Bendich 1987; Prokopowich et al. 2003). Each unit contains three coding regions (18S, 5.8S, and 25S/26S) sep-
arated by two internal transcribed spacers (ITS-1 and ITS-2). The 18S
and 25S coding regions are flanked by two external transcribed spacers
or ETS (Figure 1) (Schaal and Learn 1988; Poczai and Hyvönen 2010). The 59-ETS is subdivided into three regions: the ETS region I, which
contains the TATA box corresponding to the transcription initial site 30
|
J. Boutte et al. 30 Figure 2 Overall workflow for
haplotype construction using
Roche-454 data. Figure 2 Overall workflow for
haplotype construction using
Roche-454 data. loss may also occur in this region (D. Huska, I. J. Leitch, J. Ferreira de
Carvalho, A. R. Leitch, A. Salmon, M. Ainouche, and A. Kovarik, un-
published data). (TIS); the ETS region II, which includes several and highly variable
subrepeats; and the ETS region III, which is adjacent to the 18S coding
region (Volkov et al. 1996). Each TU is separated from the other by an
intergenic spacer (IGS) that contains the two ETS bordering the non-
transcribed spacer region (NTS) composed of several repeats of 80 bp. The number of repeats and the length of each vary considerably among
species (Poczai and Hyvönen 2010). The different repeats are known to
undergo a process of homogenization by gene conversion leading to the
observation of “concerted evolution” of these ribosomal genes (Nei and
Rooney 2005). This homogenization limits the number and divergence
of paralogous copies in this gene family, which has promoted its use in
molecular phylogenies. The differential rates of variation along the
transcriptional unit (the coding regions are more conserved than the
spacers) allow phylogenetic inferences at different levels of the taxo-
nomic hierarchy (Alvarez and Wendel 2003). Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima In
Spartina, the ITS region (including the 5.8S gene flanked by the ITS-1
and ITS-2) has been used to elucidate phylogenetic relationships
among the different species (Baumel et al. 2002; Fortune et al. 2007),
but studies on the evolutionary dynamics of the paralogous and home-
ologous copies are lacking in this system. The recently formed Spartina
hybrid (S. x townsendii) and its allododecaploid derivative (S. anglica)
exhibit parental additivity of the ITS regions inherited from their hexa-
ploid parents (Baumel et al. 2001), and recent investigations in natural
populations suggest that interlocus homogenization and/or homeolog Next-generation sequencing technologies (e.g., pyrosequencing or
sequencing by synthesis) offer powerful tools to generate suitable se-
quence read depth especially in nonmodel species where genomic re-
sources were previously lacking (El-Metwally et al. 2014; Metzker
2009). Detection of different copies expected in these genomes may
be challenging, because individual gene duplications (resulting in
paralogs in both diploid and polyploid genomes) usually add an
additional layer of complexity (Ainouche et al. 2012). Detection
and analysis of homeologs is central to polyploidy research, and sev-
eral studies have focused on the detection of different copies in poly-
ploid genomes such as in Glycine (Ilut et al. 2012), Gossypium (Flagel
et al. 2008; Salmon et al. 2010), Coffea (Combes et al. 2011), or
Triticum (Akhunova et al. 2010) species. In these systems, the diploid
parental (or related) representatives are known and can be used to
identify duplicated homeologs in the allotetraploids. The strategy de-
veloped in these studies is to assemble NGS datasets using parameters
adapted to optimize recovery of paralogous and homeologous copies. Contigs obtained are then compared with diploid parental genomes
using species-specific polymorphic sites. The detection of different copies in polyploid species where the
parents are not identified or extinct still requires the development of
adapted tools. The goal of this study is to develop a bioinformatic
pipeline to detect the different copies within a set of NGS reads from a
highly polyploid specieswithout any referenceparentaldiploid genome. We developed this pipeline to explore the heterogeneity of the coding
and noncoding regions of the highly repeated 45S unit of the hexaploid
Spartina maritima. Volume 6
January 2016
|
Haplotype Detection from NGS in Spartina
|
31 31 n Table 1 Identification of the different rDNA regions in S. maritima after comparisons with Oryza sativa and Zea mays
Species
59-ETS
18S
ITS-1
5.8S
ITS-2
25S
S. Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima maritima
Length (in bp)
1754
1812
226
167
206
3391
start-end region
392–2145
2146–3957
3958–4183
4184–4350
4351–4556
4557–7947
GC%
50.9
50
53.5
52.7
49.5
55.4
O. sativa
Length (in bp)
966
1812
198
167
215
3377
GC%
73.0
51.3
72.7
58.1
79.1
59.4
GenBank IDs
—a
X00755.1
AF169230
AF169230
AF169230
M11585.1
Blastn results (Identity, e-value)
—
97%, 0.0
—
94%, 2e-69
—
93%, 0.0
Z. mays
Length (in bp)
834
1809
213
164
220
3385
GC%
70.0
51.0
70.4
56.7
73.2
58.7
GenBank IDs
X03989
NR_036655.1
AF019817
AF019817
AF019817
NR_028022.2
Blastn results (Identity, e-value)
—
96%, 0.0
—
94%, 2e-68
—
93%, 0.0
The length, position, and GC content of each domain are presented. Genbank accession numbers of the O. sativa and Z. mays sequences used, as well as
the percentage of identity and e-value between these and the S. maritima sequences, are mentioned. a 59-ETS was detected using O. sativa genome (v. 204). fication of the different rDNA regions in S. maritima after comparisons with Oryza sativa and Zea mays A regions in S. maritima after comparisons with Oryza sativa and Zea mays n Table 1 Identification of the different rDNA regions in S. maritima after comparisons with Oryza sativa The length, position, and GC content of each domain are presented. Genbank accession numbers of the O. sativa and Z. mays sequences used, as well as
the percentage of identity and e-value between these and the S. maritima sequences, are mentioned. a 59-ETS was detected using O. sativa genome (v. 204). The strategy was to: (i) identify single nucleotide polymorphisms
(SNPs) and indels among reads from the hexaploid genome and (ii)
assemble reads based on shared polymorphisms (after removing puta-
tive sequencing errors) to distinguish the different copies from reads. Polymorphisms were validated using comparisons with Illumina se-
quence data sets and by cloning and Sanger (re)-sequencing. The
method presented here can be used to identify duplicated copies from
any sequenced regions of polyploid or diploid genomes. of the different 45S domains was performed by aligning the S. maritima
contig with Oryza sativa and Zea mays 45S genes available on the NCBI
database (GenBank IDs: X00755.1, AF169230, M11585.1 and X03989,
NR_036655.1, AF019817, NR_028022.2, respectively) using BLASTn
with default parameters for the alignment algorithm Megablast (Table
1) (Altschul et al. 1997). The Oryza sativa genome was downloaded
from www.phytozome.net (v. 204) to locate the 59-ETS region. Haplotype Detection from Next-Generation
Sequencing in High-Ploidy-Level Species: 45S rDNA
Gene Copies in the Hexaploid Spartina maritima To
identify this region, we followed the approach of Barker et al. (1988),
who identified the repeat unit of the rDNA intergenic region and the
transcription initial site. Assembly and annotation of the 45S rDNA region Assembly and annotation of the 45S rDNA region
We first analyzed Roche-454 genomic reads of S. maritima (Figure 2A)
using the computational pipeline developed by Novák et al. (2010). This pipeline uses graph-based clustering of sequence reads sharing
mutual sequence similarities (minimum percent identity: 90%; mini-
mum overlap: 55% of the shorter sequence length) to detect groups of
frequently overlapping reads representing genomic repeats. In addition,
it performs contig assembly within identified clusters and provides
information aiding in repeat annotation. The cluster representing
S. maritima 45S rDNA was identified by similarity searches against
various available 45S rDNAs of Angiosperms, and an 8456 bp-long
contig was retrieved from the assembled reads. Roche-454 genomic
reads were then mapped on this contig to increase the number of reads. This first mapping procedure (Figure 2B) was performed using the
GSMapper tools from Newbler (ml = 100 bp; mi = 95%). Annotation Plant material sequencing To detect SNPs, we developed a pipeline allowing the parsing of
“.ACE” alignment files (Figure 2C) using the Ace.py program
from biopython (http://biopython.org/) and custom python
script for editing homopolymer-driven false-positive SNPs. This
step produced three files containing original reads, the original
contig, and the list of the original reads (Figure 2D). This pipe-
line uses a mapping step with GSMapper (v.2.6, Roche; default
parameters: ml = 40 bp; mi = 90%) to enhance alignments and
ease SNP detection. The newly generated “.ACE” file is parsed to
extract the aligned reads (Figure 2E). To remove false-positive
SNPs caused by sequencing errors (within reads, and at the first
or last position), the first five and the last five nucleotides of each
read, as well as nucleotides with frequency lower than 20% were
not considered. SNPs present at least in one-fifth of aligned reads
were then considered true positives. SNPs present in homopol-
ymeric region (more than four identical nucleotides) were not
considered. The nature of the detected polymorphisms and their
frequency are stored as output results (Figure 2F). Visual check-
ing of the detected and not considered false positives was done
using the Tablet software (Milne et al. 2009) for “.ACE” align-
ment files and with the Jalview software (Waterhouse et al. 2009)
for “.FASTA” files. Samples from Spartina maritima were collected at the Etel river estuary
(Morbihan, France). Plants were transplanted and maintained in con-
trolled conditions in the greenhouse (University of Rennes 1, France). Total genomic DNA was isolated from fresh leaf tissue with the
Nucleospin Plant II (Macherey-Nagel) extraction kit following the
manufacturer’s instructions. One run of S. maritima DNA was sequenced
at the Functional and Environmental Genomics platform (Biogenouest,
OSUR Rennes, France) using a 454 GS FLX Titanium pyrosequencer
(Life Sciences, Roche) that generated 999,229 reads with an average
length of 377.0 bp. Illumina genomic reads (172,528,550 reads of
100 bp length; 500-bp paired ends) from S. maritima (from the same
population) were also used for mapping and validation or correction
of the detected SNPs. Genome coverage and 45S rDNA copy number
estimates are presented in Supporting Information, Table S1 for both
Roche-454 and Illumina Whole Genome Shotgun sequencing. 32
|
J. Boutte et al. Haplotype detection Cloning reaction was performed
with TOPO TA Cloning Kits for sequencing (Invitrogen) using 2 ml of
PCR purified products, 1 ml of salt solution (1.2 M of NaCl, 0.06 M of
MgCl2), 2 ml of water, and 1 ml of plasmid vector pCR4Blunt-TOPO
(Invitrogen). The reactions were incubated for 5 min at room temperature. Transformations were realized using electro-competent Escherichia
coli DH5a and Gene Pulser Xcell Electroporation System (BioRad);
18 ml of water was added to 6 ml of TOPO cloning reaction. Transforma-
tions were done in 0.2 cm cuvettes with 2 ml of DNA added to 40 ml of
ElectroMax DH5a Competent Cells (Invitrogen) incubated 1 min on ice
and pulsed at 2.5 kV, 25 mF, and 200 V.After the addition of SOC medium
(1 ml), the cell suspension were incubated at 37 for 1 hr; 25–100 mL
of each transformation culture was plated onto LB Agar with ampicillin
(100 mg/ml) and incubated overnight in liquid medium at 37 (LB Broth
and 100 mg/ml of ampicillin). Plasmids were purified with the Pure Yield
Plasmid Miniprep System (Promega) and sequenced using T7 and T3
primers to sequence the samples (16–24 clones for each region) with
3730XL DNA sequencer technology (Sanger method) from both ends. For each region, the different sequences were aligned with MAFFT
(v 6.864b) (Katoh and Toh 2010). All sequences were cleaned (plasmid
deletion) and the sequencing errors were visually corrected using
chromatographs. allele (Figure 3). However, for each alignment, it was necessary to define
different windows corresponding to local alignments for counting hap-
lotypes. The windows exhibiting at least one SNP were selected to count
the number of locally aligned haplotypes. Two output files allow the
dataset visualization: (1) a “.FASTA” file that contains the consensus
sequence with the different aligned haplotypes and (2) a tabulated file
describing SNPs positions and their nature. A third output file is cre-
ated during these processes and contains information about the assem-
bly, the name of the contig, the initial and final lengths of the contig
obtained after the correction of sequencing errors, the number of reads
used to assemble the contig, and the different haplotypes. This file
contains the number of SNPs and their position, the number of hap-
lotypes, and their coverage (mean, SD, and C.I. of 95%). The last in-
formation contained in this file is the number of haplotypes for each
window. Haplotype detection The SNP and haplotype detection programs described above were
incorporated into a single pipeline that includes four adjustable param-
eters: (i) the read trimming length corresponding to the number of
nucleotides at the beginning and the end of each read not to consider in
the SNP detection step; (ii) the minimum read depth corresponding to
the numberof readsrequired todetectSNPfrom; (iii)the SNPdetection
thresholdcorrespondingtotheminimalproportionofreadsdisplayinga
putativepolymorphism;and(iv) theminimalnumberofsharedSNPsto
assemble two reads into a haplotype. The minimum depth of the
analyzed rDNA contig was 61. Consequently, the minimum read depth
parameter was fixed to 60. The other default parameters used in our
pipeline were as follows: read trimming length = 5; SNP detection
threshold = 20; number of shared SNPs = 1. Haplotype detection Transformat
coli DH5a
18 ml of wate
tions were do
ElectroMax D
d
l d t Figure 3 Representation of a read assembly. After
SNP detection and false-positive correction, all reads
displaying the same SNP (represented with the
same line) are assembled to create a haplotype that
corresponds to a consensus sequence of maximal
size. Figure 3 Representation of a read assembly. After
SNP detection and false-positive correction, all reads
displaying the same SNP (represented with the
same line) are assembled to create a haplotype that
corresponds to a consensus sequence of maximal
size. Figure 3 Representation of a read assembly. After
SNP detection and false-positive correction, all reads
displaying the same SNP (represented with the
same line) are assembled to create a haplotype that
corresponds to a consensus sequence of maximal
size. allele (Figure 3). However, for each alignment, it was necessary to define
different windows corresponding to local alignments for counting hap-
lotypes. The windows exhibiting at least one SNP were selected to count
the number of locally aligned haplotypes. Two output files allow the
dataset visualization: (1) a “.FASTA” file that contains the consensus
sequence with the different aligned haplotypes and (2) a tabulated file
describing SNPs positions and their nature. A third output file is cre-
ated during these processes and contains information about the assem-
bly, the name of the contig, the initial and final lengths of the contig
obtained after the correction of sequencing errors, the number of reads
used to assemble the contig, and the different haplotypes. This file
contains the number of SNPs and their position, the number of hap-
lotypes, and their coverage (mean, SD, and C.I. of 95%). The last in-
formation contained in this file is the number of haplotypes for each
window. (59- IGS/ETS, ITS-1, 25S and 39- ETS/IGS). All amplifications were
carried out in a 50 mL reaction mixture containing 45 ml of Platinum PCR
SuperMix High Fidelity (Invitrogen), 2 ml of each 5 mM primer, and
1 ml of DNA (50 ng). The PCR amplification conditions were as follows:
2 min of DNA denaturation at 94 followed by 30 cycles of 30 sec at 94,
20 sec at 58, and 30 sec at 68 for each cycle, followed by 8 min final
extension at 68. PCR products were purified with the NucleoSpin Gel
and PCR Clean-up (Macherey-Nagel). Haplotype detection Haplotypes were detected after the SNP detection by identifying and
assembling reads sharing the same SNPs. This assembly was performed
by comparing each read to all the others and by screening all the SNPs
presentinoverlappingregions.IfalltheSNPsareidenticalinthisregion,
the considered reads are assembled to create a haplotype with a
maximum size. A unique haplotype is then a sequence characterized
by multiple polymorphic sites corresponding to the same and unique 32
|
J. Boutte et al. 32 allele (Figure 3). However, for each alignment, it was necessary to define
different windows corresponding to local alignments for counting hap-
lotypes. The windows exhibiting at least one SNP were selected to count
the number of locally aligned haplotypes. Two output files allow the
dataset visualization: (1) a “.FASTA” file that contains the consensus
sequence with the different aligned haplotypes and (2) a tabulated file
describing SNPs positions and their nature. A third output file is cre-
ated during these processes and contains information about the assem-
bly, the name of the contig, the initial and final lengths of the contig
obtained after the correction of sequencing errors, the number of reads
used to assemble the contig, and the different haplotypes. This file
contains the number of SNPs and their position, the number of hap-
lotypes, and their coverage (mean, SD, and C.I. of 95%). The last in-
formation contained in this file is the number of haplotypes for each
window. The SNP and haplotype detection programs described above were
incorporated into a single pipeline that includes four adjustable param-
eters: (i) the read trimming length corresponding to the number of
nucleotides at the beginning and the end of each read not to consider in
the SNP detection step; (ii) the minimum read depth corresponding to
the numberof readsrequired todetectSNPfrom; (iii)the SNPdetection
thresholdcorrespondingtotheminimalproportionofreadsdisplayinga
putativepolymorphism;and(iv) theminimalnumberofsharedSNPsto
assemble two reads into a haplotype. The minimum depth of the
analyzed rDNA contig was 61. Consequently, the minimum read depth
parameter was fixed to 60. The other default parameters used in our
pipeline were as follows: read trimming length = 5; SNP detection
threshold = 20; number of shared SNPs = 1. Cloning and sequencing of polymorphic 45S
rDNA regions
Forvalidatingthe SNPandhaplotypedetectionpipelinewedeveloped,a
(59- IGS/ETS, ITS-1, 25S and 3
carried out in a 50 mL reaction mix
SuperMix High Fidelity (Invitrog
1 ml of DNA (50 ng). Haplotype detection The PCR am
2 min of DNA denaturation at 94
20 sec at 58, and 30 sec at 68 f
extension at 68. PCR products w
and PCR Clean-up (Macherey-Na
with TOPO TA Cloning Kits for
PCR purified products, 1 ml of sa
MgCl2), 2 ml of water, and 1 ml
(Invitrogen). The reactions were in
Transformations were realized
coli DH5a and Gene Pulser Xc
18 ml of water was added to 6 ml o
tions were done in 0.2 cm cuvette
ElectroMax DH5a Competent Ce
and pulsed at 2.5 kV, 25 mF, and 20
(1 ml), the cell suspension were i
of each transformation culture wa
(100 mg/ml) and incubated overni
and 100 mg/ml of ampicillin). Plas
Plasmid Miniprep System (Prom
primers to sequence the samples
3730XL DNA sequencer technolo
For each region, the different s
(v 6.864b) (Katoh and Toh 2010)
deletion) and the sequencing e
chromatographs. SNP validation and haploty
Illumina data
Figure 3 Repre
SNP detection a
displaying the
same line) are a
corresponds to
size. allele (Figure 3). However, for each alignment, it was necessary to define
different windows corresponding to local alignments for counting hap-
lotypes. The windows exhibiting at least one SNP were selected to count
the number of locally aligned haplotypes. Two output files allow the
dataset visualization: (1) a “.FASTA” file that contains the consensus
sequence with the different aligned haplotypes and (2) a tabulated file
describing SNPs positions and their nature. A third output file is cre-
ated during these processes and contains information about the assem-
bly, the name of the contig, the initial and final lengths of the contig
obtained after the correction of sequencing errors, the number of reads
used to assemble the contig, and the different haplotypes. This file
contains the number of SNPs and their position, the number of hap-
lotypes, and their coverage (mean, SD, and C.I. of 95%). The last in-
formation contained in this file is the number of haplotypes for each
window. The SNP and haplotype detection programs described above were
incorporated into a single pipeline that includes four adjustable param-
t
(i) th
d t i
i
l
th
di
t
th
b
f
(59- IGS/ET
carried out in
SuperMix H
1 ml of DNA
2 min of DN
20 sec at 58
extension at
and PCR Cl
with TOPO
PCR purified
MgCl2), 2 m
(Invitrogen). SNP validation and haplotype estimation with
Illumina data Forvalidatingthe SNPandhaplotypedetectionpipelinewedeveloped,a
subset of the detected SNPs and haplotypes was targeted for molecular
cloning and (re)-sequencing (Sanger method). We have designed four
pairs of primers using Primer 3, v. 1.1.4 (Rozen and Skaletsky 2000)
(Table 2) flanking variable regions detected with pyrosequencing To compare pyrosequencing and cloning SNPs to Illumina SNPs, we
mapped 1,263,153 Illumina paired reads with an average read depth of
7886 (SE = 273.84) on the rDNA sequence consensus of S. maritima
using Bowtie2 (score-min: G, 52, 8) (Langmead and Salzberg 2012). Volume 6
January 2016
|
Haplotype Detection from NGS in Spartina 33 n Table 2 Primers designed to amplify and sequence the 45S ribosomal DNA in S. maritima
Primer
Sequence
Primer pair
Amplicon Size
Region
ASribo_1_FP1
ACACGACTGGGTTTAGTCCG
FP1/RP1
579
59- IGS/ETS
ASribo_1_RP1
AGGCCAGGTTTAGTCCGTTT
ASribo_2_FP1
AAACGGACTAAACCTGGCCT
FP1/RP2
720
59-ETS
ASribo_2_RP2
CTATTTTCAGAGGGGGAGGG
ASribo_5_FP1
TGTCGTGACCCAAACAAAAA
FP1/RP2
725
ITS-1/5.8S/ITS-2
ASribo_5_RP2
CGATTCTCAAGCTGGGCTAC
ASribo_6_FP1
AGACATTGTCAGGTGGGGAG
FP1/RP2
752
25S
ASribo_6_RP2
AAAGGCCACTCTGCCACTTA n Table 2 Primers designed to amplify and sequence the 45S ribosomal DNA in S. maritima 4’,6-diamidino-2-phenylindole (DAPI). Fluorescence images were cap-
tured using a CoolSnap HQ camera (Photometrics, Tucson, AZ) on an
Axioplan 2 microscope (Zeiss, Oberkochen, Germany) and analyzed
using MetaVue (Universal Imaging Corporation, Downingtown, PA). 4’,6-diamidino-2-phenylindole (DAPI). Fluorescence images were cap-
tured using a CoolSnap HQ camera (Photometrics, Tucson, AZ) on an
Axioplan 2 microscope (Zeiss, Oberkochen, Germany) and analyzed
using MetaVue (Universal Imaging Corporation, Downingtown, PA). These “score-min” parameters were included in the minimum score
function f(x)= 52 + 8 ln(x), where x corresponds to the read length. This function corresponds to a minimum of 87.06–90.30% of identity
between the mapped reads and the reference sequence for reads with a
length of 80–120 bp. The “.SAM” file created by Bowtie2 was converted
in a “.PILEUP” format using the Samtools software suite (Li et al. 2009). We have detected the different SNPs within the Illumina data using
custom python scripts (minimum read depth = 30; SNP detection
threshold = 2, corresponding to nucleotides that are present more than
two out of 100 times per position). To estimate the relative presence of
each haplotype, Illumina reads were mapped on previously detected
haplotypes (100 bp for each region including 59-ETS/IGS, 18S, ITS-1
and 25S) using Bowtie2 (score-min: L, 100, 0; f(x)= 100 + 0 x where
x = length of read). Analysis and annotation of the 45S rDNA region The contig obtained with the clustering approach was 8456 nucleotides
long; it was assembled from 3219 reads with an average length of
377.0 bp. Genomic DNA reads of S. maritima were then mapped to
the contig with GSMapper (with the following parameters: ml = 100 bp;
mi = 95%) (Margulies et al. 2005), resulting in a total of 4014 aligned
reads with an average length of 506.8 nucleotides. This step allowed us
to build a 45S rDNA reference sequence totaling 8464 bp. The different
regions of the 45S rDNA of S. maritima were annotated by homology
searches using rDNA sequences from Poaceae species (Zea mays, Oryza
sativa) available in GenBank (NCBI) and by motif searches for the
59-ETS region (Table 1). The beginning of the 59-ETS region was
identified using the TATA-box (59-TATATTAGGGGG-39) motif at
position 395, corresponding to the expected plant TATA-box motif
(59-TATA(G)TA(N)GGGGG-39), as found in several species such as
Zea mays, Oryza sativa, or Arabidopsis thaliana (Fan et al. 1995;
Zentgraf et al. 1998). To confirm this position, a dot plot of the
59-IGS/ETS region against itself was performed. Regions 2 and 3 of
the 59-ETS (Volkov et al. 1996, 1999) were also detected. We found that
regions 2 and 3 of the 59-ETS totaled 1600 bp. This confirms the total
length of the 59-ETS of S. maritima (1754 bp), which is approximately
two-times larger than the 59-ETS of Z. mays (825 bp; X03989) and
O. sativa (966 bp). The S. maritima rDNA contig covers the whole
coding region, spanning the 18S, 5.8S, and 25S, the ITS-1, ITS-2,
59-ETS (Figure 1), and part of the IGS (59-IGS: 391 bp; 52.9 GC%
and 39ETS/39-IGS: 517 bp and 42.6 GC%) (Table 1). Interspecific com-
parisons of the three coding rDNA regions between maize and Spartina
and between rice and Spartina indicate that nucleotide variation is
distributed all along these regions (Figure 1). SNP validation and haplotype estimation with
Illumina data Results obtained were filtered using custom python
scripts to identify the number of reads mapped with 100% of identity. 4’,6-diamidino-2-phenylindole (DAPI). Fluorescence images were cap-
tured using a CoolSnap HQ camera (Photometrics, Tucson, AZ) on an
Axioplan 2 microscope (Zeiss, Oberkochen, Germany) and analyzed
using MetaVue (Universal Imaging Corporation, Downingtown, PA). Data availability The S. maritima rDNA consensus sequence and haplotype sequences
are available at NCBI under the KT874468 to KT874488 accession
numbers. 34
|
J. Boutte et al. Chromosome preparation and fluorescence in
situ hybridization In situ hybridization was performed on mitotic chromosomes from S. maritima roots. Root tips with a length of 0.5–1.5 cm were treated in the
dark with 0.04% 8-hydroxiquinoline for 2 hr at 4, followed by 2 hr at
room temperature to accumulate metaphases, then fixed in ethanol–
acetic acid (3:1, v/v) for 48 hr at 4, and stored in ethanol 70% at 220
until required. After washing in 0.01 M enzyme buffer (citric acid–
sodium citrate, pH 4.5) for 15 min, the prepared roots were digested
in a solution of 5% Onozuka R-10 cellulase (Sigma) and 1% Y23
pectolyase (Sigma) at 37 for 30 min. The root tips were then washed
with distilled water for 30 min. A root tip was transferred to a slide and
macerated with a drop of 3:1 fixation solution. After air-drying, slides
with good metaphase chromosome spreads were stored at 220. Fluo-
rescence in situ hybridization was carried out using the ribosomal probe
pTa 71 (Gerlach and Bedbrook 1979), which contained a 9-kb EcoRI
fragment of rDNA repeat unit (18S-5.8S-25S genes and spacers) iso-
lated from Triticum aestivum. The pTa 71 probe was labeled by random
priming with biotin-14-dUTP (Invitrogen, Life Technologies). Chro-
mosome preparations were incubated in RNase A (100 ng/ml) and
pepsin (100 mg/ml) in 0.01 M HCl, and fixed with paraformaldehyde
(4%). Chromosomes were denatured in a solution of 70% formamide in
2X SSC at 70 for 2 min, dehydrated in an ethanol series (70%, 90%, and
100%), and air-dried. The hybridization mixture, consisting of 50%
deionized formamide, 10% dextran sulfate, 2X SSC, 1% SDS, and la-
beled probe (200 ng per slide), was denatured at 92 for 6 min and
transferred to ice. The denatured probe was placed on the slide and in
situ hybridization was carried out overnight in a moist chamber at 37. After hybridization, slides were washed for 5 min in 50% formamide in
2X SSC at 42, followed by several washes in 4X SSC-Tween. The
biotinylated probe was immunodetected by Texas Red avidin DCS
(Vector Laboratories). The chromosomes were mounted and conter-
stained in Vectashield (Vector Laboratories) containing 2.5 mg/ml Haplotype proportion estimation After rDNA domain annotations and SNP detection and validation, the
numberof haplotypes foreachregionof the 45S unit was determined.In
this study we retained only the Roche-454 haplotypes constructed with
a minimum of 10· read depth. The five indels not validated by cloning
and Illumina data were not considered. From the 29 polymorphic sites
retained, 20 haplotypes with a mean length of 1197.70 bp (s = 938.32;
C.I.95% = 786.47–1608.93) were constructed using our program. These
haplotypes were constructed from 69.35 reads on average (s = 66.24;
C.I.95% = 40.32–98.38). The 20 different haplotypes were localized on
the different rDNA domains as shown in Figure 4. We did not identify
any polymorphism in the 5.8S coding region, the internal transcribed
spacer 2 (ITS-2), and the 39 intergenic spacer (IGS). The 59-IGS/ETS
region was the most variable; we detected four variants in the 59-IGS
and 21 variants in the 59-ETS. These SNPs allowed the construction of
13 haplotypes in this region (Figure 4, Block I). One indel was detected
in the 18S coding region indicating the presence of two haplotypes
(Figure 4, Block II). Within the ITS-1 we detected only one SNP in-
dicating the presence of three haplotypes (Figure 4, Block III). Within
the 25S, four haplotypes were constructed from two SNPs (Figure 4,
Block IV). Finally, 20 haplotypes were obtained in total. UsingthenumberofIlluminareadsmappedonthedifferenthaplotypes,
it was possible to estimate the relative proportion of each haplotype. For
each rDNA region, the number of reads per haplotype was estimated
(Figure 5). In the 59-IGS/ETS, 12 haplotypes were compared, including
three haplotypes presenting a high proportion (more than 17.8% of the
rDNA copies). Three haplotypes presented a very small number of
estimated copies (between 0.01% and 2.50%). The estimated propor-
tions for the six other haplotypes detected in this region were 6.92% on
average. In the 18S coding region, two haplotypes were present in very
different frequencies. The first one represented only 1.28% of the rDNA
copies and the second one was overrepresented (98.72% of rDNA
copies). In the ITS-1, two haplotypes were highly frequent (46.45%
and 51.49% respectively). The third haplotype detected in the ITS-1
was represented in a low copy number (2.06%). In the 25S coding
region, two haplotypes were approximately equally frequent (39.84%
and 40.66%), and two others were less represented (4.86% and 14.65%). Haplotype validation Fluorescence in situ hybridization (FISH) was performed from
S. maritima somatic metaphase chromosomes (counterstained with
DAPI) to identify the physical position of 45S rDNA arrays. The
chromosomal locations of 45S rDNA arrays in S. maritima are shown
in Figure 6. Hybridization signals were consistently observed on two
chromosomes indicating the presence of one pair of 45S rDNA loci. To validate the developed program, the constructed Roche-454 haplo-
types were compared with haplotypes obtained using the cloned se-
quences (16X to 24X both ends). Four regions were selected for these
comparisons (59-IGS/ETS, 59-ETS, ITS-1/5.8S/ITS-2, and 25S). In the
59-IGS/ETS noncoding region, seven polymorphisms were validated by
cloning, including the indel block of 2 bp, one substitution, two dele-
tions, and two substitutions/insertions/deletions. Using these polymor-
phisms, it was possible to validate three of nine Roche-454 constructed
haplotypes. Cloning depth could explain the low number of haplotypes
validated. In the 59-ETS noncoding region, only one polymorphism
was validated by the cloning approach, which confirms one haplotype
(two haplotypes were detected with this variant using Roche-454 data)
(Figure 4, Block I). In the ITS-1/5.8S/ITS-2, cloning-sequencing data SNP validation in coding and noncoding regions The numbers between brackets correspond to the number of variants selected
for haplotype reconstruction. Cloning and sequencing were not performed in
the 18S and 39-IGS/ETS regions. validated the variant detected with the program, and two of three de-
tected haplotypes were validated (Figure 4, Block III). In the 18S coding
region, the two haplotypes detected with the program were validated
using Illumina data (Figure 4, Block II). In the 25S coding region, the
two SNPs detected using our program (developed on Roche-454 data)
were found with cloning/(re)-sequencing data. Four haplotypes were
found with the program and three were validated (Figure 4, Block IV). SNP validation in coding and noncoding regions g
g
g
Using the mapped Roche-454 data, 34 SNPs or indels (insertion/
deletion) were identified. These polymorphisms were localized both
in coding (18S, 25S) and noncoding regions (59-IGS, 59-ETS, ITS-1 and
39-ETS/IGS). Cloning and resequencing were performed and con-
firmed 10 of the 34 polymorphic sites (two substitutions, four variants
including substitution and indel at the same position, and four indels) 34
|
J. Boutte et al. 34 n Table 3 Nucleotide polymorphisms detected within coding and
noncoding regions of Spartina maritima rDNA using the three
methods (mapping method, cloning-sequencing Sanger method,
and Illumina method) that had been detected using the mapping procedure. Twenty-nine
SNPs and indels (including nine polymorphic sites found by cloning
and (re)-sequencing) were subsequently validated using Illumina data
(Table 3). Within the coding region, one indel and four SNPs were
detected and validated using the Roche-454 and lllumina data in the
18S and 25S domains, respectively. In the noncoding regions, a sub-
stitution, the variant presenting substitution and indel at the same
position, and two indels were validated using Illumina method in the
59-IGS. In the 59-IGS/ETS noncoding region, a total of 21 polymor-
phisms were detected using the mapped Roche-454 data, including
nine substitutions and 12 indels (two of 4 bp) (Table 3). In this region,
all the identified substitutions (except one G/T, position 1235) were
validated using Illumina data. Within the ITS-1 region, the Roche-454
and Illumina data detected the same SNP (A/T/-) that was validated by
(re)-sequencing. However, the indel was only found in the pyrose-
quencing data. In the 39-ETS/IGS noncoding region, one indel using
the Roche-454 data was not validated by Illumina data. Thus, the
cloning-sequencing data as well as the Illumina reads substantiated
29 of the 34 polymorphisms previously identified in the Roche-454
reads. Four of the five invalidated variants were included in homo-
polymeric regions. The last indel was not found in the Illumina data,
but cloning and sequencing data revealed variation in the chromato-
graph, suggesting either a sequencing error or a substitution. Region
Mapping Method
Variants Validated
Cloning-Sequencing
Illumina
59-IGS
6 (4)
3
4
59-ETS
21 (21)
4
21
18S
1 (1)
—
1
ITS-1
1 (1)
1
1
25S
4 (2)
2
2
39-IGS/ETS
1 (0)
—
0
The numbers between brackets correspond to the number of variants selected
for haplotype reconstruction. Cloning and sequencing were not performed in
the 18S and 39-IGS/ETS regions. Haplotype proportion estimation Finally, in the different regions studied, we found between one and
three copies highly represented, which could indicate that these copies
present a high number of repetitions in the S. maritima genome. DISCUSSION In this study, we developed a program for SNP and haplotype detection. This program was applied on Roche-454 pyrosequencing data corre-
sponding to the 45S rDNA genes of S. maritima. The objective was to
detect the different rDNA sequences (designated as haplotypes) in this
hexaploid species where both paralogous and homeologous copies are
expected for this gene family. Results were validated by cloning and Volume 6
January 2016
|
Haplotype Detection from NGS in Spartina 35 Figure 4 Schematic representa-
tion of haplotypes detected in
S. maritima rDNA using our de-
veloped program (mapping data)
and
cloning
data. The
blue
boxes represent the haplotypes
detected only by the developed
program. The red boxes repre-
sent the haplotypes detected
by the developed program and
validated by cloning and (re)-
sequencing or Illumina data (i.e.,
haplotypes in the block II). The
different blocks (I to IV) corre-
spond to regions of rDNA pre-
senting at least two haplotypes. Figure 4 Schematic representa-
tion of haplotypes detected in
S. maritima rDNA using our de-
veloped program (mapping data)
and
cloning
data. The
blue
boxes represent the haplotypes
detected only by the developed
program. The red boxes repre-
sent the haplotypes detected
by the developed program and
validated by cloning and (re)-
sequencing or Illumina data (i.e.,
haplotypes in the block II). The
different blocks (I to IV) corre-
spond to regions of rDNA pre-
senting at least two haplotypes. (re)-sequencing and also from Illumina sequencing datasets; the results
allowed the estimation of the relative proportion of haplotype variation. To date, very few programs or pipelines have been developed to dis-
tinguish duplicated copies from next-generation sequencing data with-
out diploid parents as a reference. SNiPloid (Peralta et al. 2013),
BamBam (Page et al. 2014), or HyLiTE (Duchemin et al. 2014) were
developed for haplotype detection in polyploid species using compar-
isons between the polyploids and their diploid progenitors. The POLi-
MAPS program developed by Tennessen et al. (2014) used a related
sequenced diploid genome combined with dense genetic map to infer
homeologs in octoploid Fragaria. Our program will be particularly
useful in nonmodel systems having experienced repeated duplication
events and for which diploid reference genomes are not available. et al. 2015). To our knowledge, this is the first 45S locus number reported
in Spartina, and it would be interesting to examine this number in other
polyploid Spartina species. DISCUSSION Such rDNA locus loss can occur rapidly, as in
the recent allotetraploid Brassica napus, which formed approximately
8000 years ago (Chalhoub et al. 2014), where six loci are retained instead
of the seven expected from the progenitor species (five in B. rapa and two
in B. oleracea) (Snowdon et al. 1997). In silico detection of rDNA domains The intraindividual homogeneity of ribosomal genes was so far mainly
examined across plant species by cloning and sequencing, a relatively
time-consumingprocedurethatlimitsthenumberof sequencesthatcan
be sampled in the genome. Massively parallel sequencing now provides
the opportunity to assess more accurately the intraindividual sequence
polymorphism (Matyásek et al. 2012). Furthermore, in rDNA genes,
most studies have focused on the ITS region (Alvarez and Wendel 2003;
Poczai and Hyvönen 2010) or the 18S and 25S coding regions. For the
first time, all the repeat unit and spacers (IGS and ETS) in Spartina are
reported here. Analysis of the contig corresponding to the 45S ribo-
somal DNA unit of S. maritima enabled us to annotate the different
regions of the transcriptional unit and to detect the different copies for
each region (IGS/ETS; 18S; ITS-1; 5.8S; ITS-2; and 25S) using an ap-
proach relying on a low-stringency mapping of NGS reads. 36
|
J. Boutte et al. Number of rDNA loci in S. maritima Although information 36 Figure 5 Number of reads mapped with 100% of identity on the different haplotypes for each region (59-IGS/ETS, 18S, ITS-1, and 25S). The
relative proportion of haplotype is presented above each histogram. White bars represent haplotypes validated by either Sanger sequences or
Illumina data (18S coding region only). Black lines represent the length of the haplotypes constructed by our program. Some haplotypes are
spanning two or more subregions. Figure 5 Number of reads mapped with 100% of identity on the different haplotypes for each region (59-IGS/ETS, 18S, ITS-1, and 25S). The
relative proportion of haplotype is presented above each histogram. White bars represent haplotypes validated by either Sanger sequences or
Illumina data (18S coding region only). Black lines represent the length of the haplotypes constructed by our program. Some haplotypes are
spanning two or more subregions. Chloridoids to explore the amplitude and origin of this size variation. These studies would verify whether this heterogeneity is widespread in
the polyploid Spartina genus, or whether it is a characteristic of the
hexaploid Spartina maritima. about more monocot representatives is needed, these results examined
in the light of recent grass phylogenies (Soreng et al. 2015) suggest that
GC content decrease occurred in the Chloridoideae lineage following
the split between the basal Centropodieae–Triraphideae tribes and the
other more derived tribes including Spartina. Within 25S, variable regions were identified when comparing
S. maritima with Zea mays and Oryza sativa (Figure 1). These regions
mostly correspond to previously described expansion segments
(Hancock and Dover 1988) representing variable 26S subdomains in
plants (Kuzoff et al. 1998). The 59-ETS detected in Oryza sativa (966
bp) has a similar length compared to the 59-ETS of Zea mays (825 bp)
identified by Toloczyki and Feix (1986). However, this spacer is much
larger in S. maritima (1754 bp), with lower GC content (50.9%) than in
other Poaceae (70.0% and 73.0% for maize and rice, respectively). These
results are consistent with the literature showing that the size of 59-ETS
is variable across species, even within genera. Volkov et al. (1996) found
different lengths of the 59-ETS between two tobacco species: Nicotiana
sylvestris and Nicotiana tomentosiformis, which have, respectively, an
ETS size of 1444 bp and 2172 bp. The size difference between these two
ETS is explained by the number of subrepeats present in region 2 of the
ETS, where five and 10 subrepeats are present in N. Number of rDNA loci in S. maritima MolecularcytogeneticanalysisbyFISHrevealedthepresenceofonepair
of 45S rDNA signals on the chromosomes of S. maritima instead of the
three expected pairs for a hexaploid genome. The number of rDNA loci
varies greatly among flowering plants of the same ploidy level. For
instance, only one locus was identified in diploid Medicago species
(Rosato et al. 2008), whereas five loci were detected in diploid Brassica
rapa species (Maluszynska and Heslop-Harrison 1993). In polyploids,
the number of rDNA loci can be either retained (in recent or old
polyploids) or deeply decreased, most probably as part of the
diploidization process (Leitch and Bennett 2004). For example, three
rDNA loci were identified in the hexaploid bread wheat (AABBDD),
corresponding to the sum of the loci present in the parental genomes
[two in the allotetraploid Triticum turgidum (AABB) and one in the
diploid Aegilops tauschii (DD)] (Badaeva et al. 1996; El-Twab 2007). Similarly, the number of loci detected in the recent Tragopogon allote-
traploids is additive with respect to their diploid parental species (Kovarik
2005). In contrast, in other polyploid genera, such as Fragaria, a decrease
in the number of rDNA loci during the diploidization process is ob-
served, with only six loci in the decaploid F. iturupensis (Liu and Davis
2011), whereas related diploid species exhibit three loci. In the hexaploid
S. maritima, the presence of one locus indicates rDNA loci have been lost
since its formation, following evolution of the tetraploid and hexaploid
Spartina lineages that occurred in the past 6–10 mya (Rousseau-Gueutin Detection of the different domains was performed by sequence
alignments of 45S rDNA available in the databases of two Poaceae
species(maize and rice). Lengths of the rDNAcodingregionsand ITS of
S. maritima are similar to those found in two Poaceae. However, the
percentage of GC of the two ITS and 5.8S coding regions is very low in
comparison with other Poaceae (Table 1). When examining the GC
content of the ITS region in various grass species, we found that some
Chloridoideae lineages related to Spartina in the Zoysieae, Cynodonteae,
and Eragrostideae tribes similarly exhibit less than 60% GC content
(Table S2). In more distantly related Chloridoideae tribes such as
Triraphideae and Centropodieae (Soreng et al. 2015), as well as other
grass subfamilies, the GC content is greater (up to 79.1% in rice
ITS-2) (Table S2). Other monocot lineages (e.g., Prospero autumnale,
Hyacinthaceae) also exhibit higher GC content. Number of rDNA loci in S. maritima sylvestris and
N. tomentosiformis, respectively (Volkov et al. 1996). In the Fabaceae
family, Lupinus luteus has a small 59-ETS with a size of 487 bp (Mahé
et al. 2010). It would be interesting to identify and compare the 59-ETS
in other hexaploid and tetraploid Spartina species as well as in related Polymorphism of coding and noncoding regions within
the S. maritima rDNA locus Thirty-nine polymorphic variants and 20 haplotypes were detected in
S. maritima rDNA using our developed program. Thirty-four SNPs
and 11 haplotypes were validated by cloning and Sanger sequencing or
with Illumina data. The 5.8S coding region exhibited less heterogeneity
than 18S and 25S coding regions. Indeed, no polymorphism was encoun-
tered in the 5.8S and only one polymorphic site (one deletion) was
encountered in the 18S coding region, highlighting their high sequence
homogeneity. The 25S unit also presents little variation, with two SNPs
(variants presenting substitution and indel at the same position) detected
using pyrosequencing data and validated by the other methods. Although
most coding regions are highly conserved, some variation may be ob-
served in the 18S region. Such results are in accordance with those of
Mentewab et al. (2011), who detected a deletion of 270 bp within
Arabidopsis thaliana 18S, or those obtained in animals (e.g., Anguilla,
for which a specific SNP was found) (Frankowski and Bastrop 2010). Similarly, the intraspecific variation of the 18S and 25S detected in
S. maritima accords with the results obtained in two Oenothera species Volume 6
January 2016
|
Haplotype Detection from NGS in Spartina 37 Figure 6 Fluorescence in situ
hybridization (FISH) of the 45S
rDNA in S. maritima on somatic
metaphase chromosomes coun-
terstained with DAPI (blue), in
the absence (left) or presence
of the red rDNA probe (right). Bar, 5 mm. using cloning and sequencing methods (Seo et al. 2013), for which 17 and
10 SNPs were identified in the 18S of O. odorata and O. laciniata and 11
and 13 SNPs in the 25S regions, respectively. tuned for relaxing or constraining read mapping, SNP detection, and
haplotype construction. For example, the choice to not consider nucle-
otides present in less with a frequency lower than 20% at a specific
position is in line with the procedure usually used when analyzing
polyploid genomes. In their analysis of allotetraploid cotton EST
(Expressed Sequence Tag) assemblies, Udall et al. (2006) have chosen
to set this parameter to 25%. Tennessen et al. (2014) have chosen to
adjust this parameter to 12.5% (one-eighth frequency) to detect variants
in octoploid Fragaria species. Our parameter is less stringent than the
parameter used for homeo-SNP detection (fixed to 40%) in allotetra-
ploid cotton (Page et al. 2013a,b). This lower value allowed us to detect
putative homeologous and paralogous copies, as expected for highly
repeated rDNA arrays. Polymorphism of coding and noncoding regions within
the S. maritima rDNA locus Using this parameter, 34 variants were detected
and 29 were validated. Four of these variants are localized in homo-
polymeric regions of three or four repeats. The developed program does
not consider the homopolymeric regions of at least five repeats. These
results could indicate that variants in homopolymeric regions of three or
four repeats correspond to false positives and should also not be con-
sidered. In the internal transcribed spacer and the coding region, it was
possible to validate most of the haplotypes constructed by the developed
program (seven haplotypes validated on nine). In the noncoding region,
the number of haplotypes, their relative estimated proportion, and the
cloning depth explain the number of haplotypes not validated by the
cloning method. In fact, several haplotypes localized in the 59-IGS/ETS
built with the developed program were also detected and validated using
cloning/(re)-sequencing in the Spartina hybrids between S. maritima
and S. alterniflora (S. x townsendii and S. x neyrautii; unpublished data). New and emerging single molecule sequencing methods that are pro-
ducing longer reads should provide precious information regarding the
assembly of longer (or even whole-length) 45S rDNA haplotypes. In the noncoding regions, the internal transcribed spacers of
S. maritima exhibit less heterogeneity than the IGS/ETS regions, with-
out any polymorphism in ITS-2 and only one substitution/deletion in
ITS-1. The high polymorphism encountered in the IGS/ETS region (25
variants in the 59-IGS/ETS) is consistent with the literature, which
indicates that intergenic regions evolve more rapidly than the ITS re-
gion, which is most particularly prone to homogenization (Alvarez and
Wendel 2003; Kovarik et al. 2008). The high IGS/ETS variation we
detected at the intraindividual level is in accordance with other studies
at the interindividual or intraspecific levels (Poczai and Hyvönen 2010). Indeed, ETS regions evolve very quickly, 1.5-times faster than ITS
regions (Bena et al. 1998); IGS regions also evolve rapidly (Chang
et al. 2010). The number of detected haplotypes in the IGS/ETS region
(13) exceeds the number of expected homeologous copies in a hexa-
ploid species, which suggests incomplete homogeneization within the
rDNA locus as also evidenced in diploid Nicotiana species (Matyásek
et al. 2012). Our finding of a single rDNA locus in Spartina maritima
mentioned above supports this hypothesis. Like coding regions, the ITS region in S. maritima contains two
haplotypes that are highly represented. Polymorphism of coding and noncoding regions within
the S. maritima rDNA locus The ITS region might be as
strongly selected as the flanking coding regions, but the rapid evolution
of the ITS region at the interspecific level suggests that this region is
rather subject to more rapid homogenization (within individual ge-
nomes) than the other regions. Interspecies variation is then most likely
more important than intraindividual (intragenomic variation), which
explains why this region is useful in phylogenetic studies aiming at
reconstructing organismal (e.g., species) history (Baumel et al. 2002
for Spartina). In the 59-IGS/ETS, three haplotypes are present in high
proportion and two haplotypes are less represented, which could in-
dicate that the homogenization process is underway in these regions. In summary, our program enables detection of SNPs and haplotypes
within NGS read datasets. Haplotype construction and validation are
based on three methods/technologies [Roche-454, cloning, and (re)-
sequencing Sanger method and Illumina approaches] in the context of
polyploidy in a nonmodel species where diploid reference parental
genomes are not available. The program developed in this study could
thenbeusedforanypolyploidspecies(includinghighploidylevels)with
or without reference genome sequences but also on diploid species (e.g.,
for allele detection from amplicon data sets). In the polyploid Spartina
genus, which contains various ploidy levels (4·, 6·, 7·, 9·, and 12·),
such a program will be useful to detect duplicated homeologous genes
and to increase our understanding of their origin and evolutionary fate. 38
|
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English
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Contribution of TEX15 genetic variants to the risk of developing severe non-obstructive oligozoospermia
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Frontiers in cell and developmental biology
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cc-by
| 10,285
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Contribution of TEX15 genetic
variants to the risk of developing
severe non-obstructive
oligozoospermia OPEN ACCESS
EDITED BY
Mingrong Lv,
First Affiliated Hospital of Anhui Medical
University, China
REVIEWED BY
Rong Hua,
Anhui Medical University, China
Aminata Toure,
Institute for Advanced Biosciences, France
Chunyu Liu,
Fudan University, China
*CORRESPONDENCE
F. David Carmona,
dcarmona@ugr.es
Lara Bossini-Castillo,
lbossinicastillo@ugr.es
#IVIRMA Group, and Lisbon Clinical Group
authors are listed at the end of the article
‡These authors share first authorship
§These authors share last authorship
SPECIALTY SECTION
This article was submitted to Molecular and
Cellular Reproduction,
a section of the journal
Frontiers in Cell and Developmental Biology
RECEIVED 04 November 2022
ACCEPTED 28 November 2022
PUBLISHED 15 December 2022
CITATION
Guzmán-Jiménez A, González-Muñoz S,
Cerván-Martín M, Rivera-Egea R, Garrido N, Luján S,
Santos-Ribeiro S, Castilla JA, Gonzalvo MC,
Clavero A, Vicente FJ, Maldonado V,
Villegas-Salmerón J, Burgos M, Jiménez R, Pinto MG,
Pereira I, Nunes J, Sánchez-Curbelo J,
López-Rodrigo O, Pereira-Caetano I, Marques PI,
Carvalho F, Barros A, Bassas L, Seixas S, Gonçalves J,
Lopes AM, Larriba S, Palomino-Morales RJ,
Carmona FD, Bossini-Castillo L, IVIRMA Group and
Lisbon Clinical Group (2022), Contribution of TEX15
genetic variants to the risk of developing severe non-
obstructive oligozoospermia. Front. Cell Dev. Biol. 10:1089782. doi: 10.3389/fcell.2022.1089782 OPEN ACCESS
EDITED BY
Mingrong Lv,
First Affiliated Hospital of Anhui Medical
University, China
REVIEWED BY
Rong Hua,
Anhui Medical University, China
Aminata Toure,
Institute for Advanced Biosciences, France
Chunyu Liu,
Fudan University, China Andrea Guzmán-Jiménez1,2‡, Sara González-Muñoz1,2‡,
Miriam Cerván-Martín1,2, Rocío Rivera-Egea3,4,
Nicolás Garrido4,5, Saturnino Luján5, Samuel Santos-Ribeiro6,7,
José A. Castilla2,8,9, M. Carmen Gonzalvo2,8, Ana Clavero2,8,
F. Javier Vicente2,10, Vicente Maldonado11,
Javier Villegas-Salmerón 1, Miguel Burgos1, Rafael Jiménez1,
Maria Graça Pinto12, Isabel Pereira13, Joaquim Nunes13,
Josvany Sánchez-Curbelo14, Olga López-Rodrigo14,
Iris Pereira-Caetano15, Patricia Isabel Marques16,17,
Filipa Carvalho16,18, Alberto Barros16,18, Lluís Bassas14,
Susana Seixas16,17, João Gonçalves16,19, Alexandra M. Lopes16,20,
Sara Larriba21, Rogelio J. Palomino-Morales2,22,
F. David Carmona 1,2*§, Lara Bossini-Castillo1,2*§,
IVIRMA Group# and Lisbon Clinical Group# 1Departamento de Genética e Instituto de Biotecnología, Centro de Investigación Biomédica (CIBM),
Universidad de Granada, Granada, Spain, 2Instituto de Investigación Biosanitaria ibs.GRANADA,
Granada, Spain, 3Andrology Laboratory and Sperm Bank, IVIRMA Valencia, Valencia, Spain, 4IVI
Foundation, Health Research Institute La Fe, Valencia, Spain, 5Servicio de Urología. TYPE Original Research
PUBLISHED 15 December 2022
DOI 10.3389/fcell.2022.1089782 TYPE Original Research
PUBLISHED 15 December 2022
DOI 10.3389/fcell.2022.1089782 TYPE Original Research
PUBLISHED 15 December 2022
DOI 10.3389/fcell.2022.1089782 Contribution of TEX15 genetic
variants to the risk of developing
severe non-obstructive
oligozoospermia Hospital Universitari
i Politecnic La Fe e Instituto de Investigación Sanitaria La Fe (IIS La Fe), Valencia, Spain, 6IVI-RMA Lisbon,
Lisbon, Portugal, 7Department of Obstetrics and Gynecology, Faculty of Medicine, University of Lisbon,
Lisbon, Portugal, 8Unidad de Reproducción, UGC Obstetricia y Ginecología, HU Virgen de Las Nieves,
Granada, Spain, 9CEIFER Biobanco—GAMETIA, Granada, Spain, 10UGC de Urología, HU Virgen de las
Nieves, Granada, Spain, 11UGC de Obstetricia y Ginecología, Complejo Hospitalario de Jaén, Jaén,
Spain, 12Centro de Medicina Reprodutiva, Maternidade Alfredo da Costa, Centro Hospitalar
Universitário de Lisboa Central, Lisboa, Portugal, 13Departamento de Obstetrícia, Ginecologia e
Medicina da Reprodução, Hospital de Santa Maria, Centro Hospitalar Universitário de Lisboa Norte,
Lisboa, Portugal, 14Laboratory of Seminology and Embryology, Andrology Service-Fundació Puigvert,
Barcelona, Spain, 15Departamento de Genética Humana, Instituto Nacional de Saúde Dr. Ricardo
Jorge, Lisbon, Portugal, 16i3S—Instituto de Investigação e Inovação em Saúde, Universidade do Porto,
Porto, Portugal, 17Institute of Molecular Pathology and Immunology of the University of Porto
(IPATIMUP), Porto, Portugal, 18Serviço de Genética, Departamento de Patologia, Faculdade de
Medicina da Universidade do Porto, Porto, Portugal, 19ToxOmics—Centro de Toxicogenómica e Saúde
Humana, Nova Medical School, Lisbon, Portugal, 20CGPP-IBMC—Centro de Genética Preditiva e
Preventiva, Instituto de Biologia Molecular e Celular, Universidade do Porto, Porto, Portugal, 21Human
Molecular Genetics Group, Bellvitge Biomedical Research Institute (IDIBELL), L’Hospitalet de
Llobregat, Barcelona, Spain, 22Departamento de Bioquímica y Biología Molecular I, Universidad de
Granada, Granada, Spain CITATION
Guzmán-Jiménez A, González-Muñoz S,
Cerván-Martín M, Rivera-Egea R, Garrido N, Luján S,
Santos-Ribeiro S, Castilla JA, Gonzalvo MC,
Clavero A, Vicente FJ, Maldonado V,
Villegas-Salmerón J, Burgos M, Jiménez R, Pinto MG,
Pereira I, Nunes J, Sánchez-Curbelo J,
López-Rodrigo O, Pereira-Caetano I, Marques PI,
Carvalho F, Barros A, Bassas L, Seixas S, Gonçalves J,
Lopes AM, Larriba S, Palomino-Morales RJ,
Carmona FD, Bossini-Castillo L, IVIRMA Group and
Lisbon Clinical Group (2022), Contribution of TEX15
genetic variants to the risk of developing severe non-
obstructive oligozoospermia. Front. Cell Dev. Biol. 10:1089782. Front. Cell Dev. Biol. 10:1089782. doi: 10 3389/fcell 2022 1089782 doi: 10.3389/fcell.2022.1089782 COPYRIGHT Copyright © 2022 Guzmán-Jiménez, González-
Muñoz, Cerván-Martín, Rivera-Egea, Garrido, Luján,
Santos-Ribeiro, Castilla, Gonzalvo, Clavero, Vicente,
Maldonado, Villegas-Salmerón, Burgos, Jiménez,
Pinto, Pereira, Nunes, Sánchez-Curbelo, López-
Rodrigo, Pereira-Caetano, Marques, Carvalho,
Barros, Bassas, Seixas, Gonçalves, Lopes, Larriba,
Palomino-Morales, Carmona, Bossini-Castillo,
IVIRMA Group and Lisbon Clinical Group. 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. Copyright © 2022 Guzmán-Jiménez, González-
Muñoz, Cerván-Martín, Rivera-Egea, Garrido, Luján,
Santos-Ribeiro, Castilla, Gonzalvo, Clavero, Vicente,
Maldonado, Villegas-Salmerón, Burgos, Jiménez,
Pinto, Pereira, Nunes, Sánchez-Curbelo, López-
Rodrigo, Pereira-Caetano, Marques, Carvalho,
Barros, Bassas, Seixas, Gonçalves, Lopes, Larriba,
Palomino-Morales, Carmona, Bossini-Castillo,
IVIRMA Group and Lisbon Clinical Group. 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. Background: Severe spermatogenic failure (SPGF) represents one of the most
relevant causes of male infertility. This pathological condition can lead to
extreme
abnormalities
in
the
seminal
sperm
count,
such
as
severe
oligozoospermia (SO) or non-obstructive azoospermia (NOA). Most cases of
SPGF have an unknown aetiology, and it is known that this idiopathic form of 01 frontiersin.org Frontiers in Cell and Developmental Biology Guzmán-Jiménez et al. 10.3389/fcell.2022.1089782 10.3389/fcell.2022.1089782 male infertility represents a complex condition. In this study, we aimed to
evaluate whether common genetic variation in TEX15, which encodes a key
player in spermatogenesis, is involved in the susceptibility to idiopathic SPGF. male infertility represents a complex condition. In this study, we aimed to
evaluate whether common genetic variation in TEX15, which encodes a key
player in spermatogenesis, is involved in the susceptibility to idiopathic SPGF. Materials and Methods: We designed a genetic association study comprising a
total of 727 SPGF cases (including 527 NOA and 200 SO) and 1,058 unaffected
men from the Iberian Peninsula. Introduction double-strand breaks (DSBs) for homologous chromosome
pairing and crossing over (CO) (Cannarella et al., 2020). Consequently,
DNA
repair
mechanisms
are
essential
to
produce fit mature sperm cells. In fact, the assessment of
DNA integrity is a relevant marker to determine the sperm
quality in assisted reproductive techniques (ART) (Leduc
et al., 2008; Gonzalez-Marin et al., 2012). Thus, while the
generation of genetic variability through changes in DNA is
the basis for evolution, it is strictly controlled at the individual
level (Capilla et al., 2016; Alves et al., 2017). Infertility is a growing health concern involving over
50–70 million childbearing age couples worldwide, with the
male factor contributing in approximately 50% of cases
(Fainberg and Kashanian, 2019). Non-obstructive azoospermia
(NOA) and severe oligozoospermia (SO) due to spermatogenic
failure (SPGF) represent the most severe phenotypes of male
factor infertility. However, the causes of such conditions are
poorly understood and the aetiology of most affected men is
usually defined as being idiopathic (Cannarella et al., 2019;
Agarwal et al., 2021). Recent advances clearly point to
idiopathic male infertility as a complex trait, in which the
combined effect of polymorphic risk variants (causing subtle
changes in gene expression) may increase the susceptibility of an
individual to suffer from this disorder (Singh and Jaiswal, 2011;
Cervan-Martin et al., 2020b; Salas-Huetos and Aston, 2021). Consistent with the above, the spermatogenic process shows
a very complex molecular and cellular control, involving over
2,000 genes, among which 900 are solely expressed in the male
germline (Chalmel et al., 2012; Cervan-Martin et al., 2020b). The
so-called Testis expressed (TEX) gene family plays a crucial role in
spermatogenesis and some of its members have been strongly
associated with male infertility (Cannarella et al., 2019; Bellil
et al., 2021). Specifically, TEX15, which is predominantly
expressed
in
spermatogonial
and
primary
spermatocytes,
encodes a 2,789 amino acid protein necessary for meiotic
recombination and DSB repair in the germ line (Yang et al.,
2008). Additionally, TEX15 also has a significant epigenetic
function in spermatogenesis by interacting with several PIWI
like RNA-mediated gene silencing proteins (namely PIWIL2, In this regard, common variants in the human genome may
increase the susceptibility to develop male infertility by altering
key events during spermatogenesis, in which DNA integrity is
crucial (Neto et al., 2016). KEYWORDS oligozoospermia, spermatogenesis, TEX15, polymorphisms, association study Frontiers in Cell and Developmental Biology COPYRIGHT Following a tagging strategy, three tag single-
nucleotide
polymorphisms
(SNPs)
of
TEX15
(rs1362912,
rs323342,
and
rs323346) were selected for genotyping using TaqMan probes. Case-control
association tests were then performed by logistic regression models. In silico
analyses were also carried out to shed light into the putative functional
implications of the studied variants. Results: A significant increase in TEX15-rs1362912 minor allele frequency (MAF)
was observed in the group of SO patients (MAF = 0.0842) compared to either
the control cohort (MAF = 0.0468, OR = 1.90, p = 7.47E-03) or the NOA group
(MAF = 0.0472, OR = 1.83, p = 1.23E-02). The genotype distribution of the SO
population was also different from those of both control (p = 1.14E-02) and
NOA groups (p = 4.33–02). The analysis of functional annotations of the human
genome suggested that the effect of the SO-associated TEX15 variants is likely
exerted by alteration of the binding affinity of crucial transcription factors for
spermatogenesis. Conclusion: Our results suggest that common variation in TEX15 is involved in
the genetic predisposition to SO, thus supporting the notion of idiopathic SPGF
as a complex trait. Introduction Having such in mind, it is important to
stress that alterations in the DNA structure frequently occur in
meiosis prophase I during the transition from primary to
secondary
spermatocytes,
due
to
the
generation
of Frontiers in Cell and Developmental Biology 02 frontiersin.org 10.3389/fcell.2022.1089782 Guzmán-Jiménez et al. general population (most of them with self-reported fatherhood),
and 358 men with normal sperm counts, as previously described
(Cervan-Martin et al., 2020a; Cervan-Martin et al., 2020c). Cases
and controls were matched by age, geographical origin, and
ethnicity, and signed an informed written consent in accordance
with the Declaration of Helsinki. Each participating centre received
ethical approval and complied with the requirements of their local
regulatory authorities prior to the study. general population (most of them with self-reported fatherhood),
and 358 men with normal sperm counts, as previously described
(Cervan-Martin et al., 2020a; Cervan-Martin et al., 2020c). Cases
and controls were matched by age, geographical origin, and
ethnicity, and signed an informed written consent in accordance
with the Declaration of Helsinki. Each participating centre received
ethical approval and complied with the requirements of their local
regulatory authorities prior to the study. PIWIL4), in order to maintain spermatogonial stem cell integrity
through the silencing of transposable elements (Schopp et al.,
2020; Yang et al., 2020). Indeed, inactivation of Tex15 expression
in mutant male mice causes sterility by meiotic arrest and
impaired activity of RAD51 and DMC1 recombinases (Yang
et al., 2008; Chen et al., 2016). In this context, high-penetrance pathogenic variants in
TEX15 have been widely linked to human male infertility due
to spermatogenic impairment in different studies. For instance,
non-sense mutations producing truncated TEX15 proteins have
been reported to lead to cryptozoospermia (where spermatozoa
are apparently absent in fresh semen samples but are recovered in
centrifuged pellets) and SPGF in unrelated families (Okutman
et al., 2015; Colombo et al., 2017; Wang et al., 2018; Cannarella
et al., 2021; Tian et al., 2021). Moreover, mutations in this gene
have been associated with NOA due to Sertoli cell-only (SCO)
phenotype (characterised by a complete lack of germ cells in the
seminiferous tubules) (Araujo et al., 2020). Introduction SPGF
patients
were
diagnosed
after
two
high-speed
centrifugations in two different semen samples in different
fertility clinics managed in public and private health Hospitals
and centres from Portugal and Spain, based on the guidelines for
the management of infertile men by the American Urological
Association (AUA)/American Society for Reproductive Medicine
(ASRM), the Canadian Urological Association (CUA), and the
World Health Organization (WHO) (Cooper et al., 2010; Jarvi
et al., 2010; Bjorndahl and Kirkman Brown, 2022). Moreover, the
NOA
diagnosis
was
further
confirmed
by
histological
examination of testicular biopsies of the NOA patients that
decided to undergo testicular sperm extraction (TESE) for use
in ART (who represented around half of the NOA cohort). We
established stringent selection criteria to include only infertile
men due to idiopathic SPGF, which involved an exhaustive
medical
evaluation,
screening
for
possible
karyotype
abnormalities and Y-chromosome microdeletions, as well as a
thorough revision of the medical records to discard physical
testicular disorders (e.g., orchitis and obstruction of vas deferens)
and other known causes of male infertility. However, no
screening for high-penetrance point mutations was conducted
because this procedure is not part of the routine diagnostic
workup of infertile men due to SPGF (Krausz et al., 2018). On the other hand, case-control genetic association studies
have attempted to assess the involvement of TEX15 polymorphic
variation, such as single nucleotide polymorphisms (SNPs), in
the development of SPGF resulting in NOA or SO. The first
approach was conducted in a cohort of European ancestry and
identified two TEX15 SNPs putatively associated with SPGF
(Aston et al., 2010). However, such associations were not
replicated
in
a
subsequent
study
carried
out
in
an
independent
South-Eastern
European
population
(Plaseski
et al., 2012). Similarly, two novel TEX15 variants have been
recently proposed to be involved in the genetic predisposition to
SPGF in the Iranian population (Ghadirkhomi et al., 2022). Finally,
although TEX15 common
variation was initially
associated with SPGF risk in Han Chinese (Ruan et al., 2012),
another report could not confirm this observation in this
ethnicity (Zhang et al., 2015). Therefore, no conclusive results
are currently available on the possible role of the common TEX15
genetic variation in SPGF development. Study design and single nucleotide
polymorphism selection A candidate gene study was conducted to shed light on the
possible association of common genetic variation in the
TEX15 locus with idiopathic SPGF risk. During the selection
process, we confirmed that, according to publicly available single-
cell RNA-seq data in the puberty and adult (Guo et al., 2018; Guo
et al., 2020), the highest TEX15 expression was found in
spermatogonia and spermatocytes (Supplementary Figure S1). In view of the above, we aimed to clarify the involvement of
TEX15 common variation in SPGF predisposition in a European
genetic background, by analysing a large and phenotypically
well-characterised study cohort. Materials and methods TEX15 is located in human chromosome 8, spanning an
81.5 kb region that constitutes a single linkage disequilibrium
(LD) block in the 1,000 Genomes phase III (1KGPh3) European
population (Auton et al., 2015), according to LDlink (Machiela
and Chanock, 2015) (Figure 1A). Therefore, we followed a SNP
tagging strategy using the European data of the 1KGPh3 and the
Haploview V.4.2 software (Barrett, 2009; Auton et al., 2015) to
cover most of the genetic variability of the region, prioritising
those taggers that tagged, at least, more than five variants. Three
taggers representative of three different minor allele frequency Frontiers in Cell and Developmental Biology Sample preparation and genotyping The statistical analyses were conducted with the software
Plink v1.9 (Chang et al., 2015). Case-control comparisons of the
allele and genotype frequencies were performed by logistic
regression on the genotypes using geographical origin (Spain
or Portugal) as a covariate and assuming different association
models for genetic risk (including additive, dominant, recessive,
and genotypic). p-values, odds ratios (ORs) and their 95%
confidence intervals (CIs) were then calculated setting the
significance threshold at p-value < 0.05 after correction of
possible
multiple
testing
effects
by
the
Benjamini
and
Hochberg False Discovery Rate (FDR-BH) method (Benjamini
et al., 2001). For all the recruited individuals, genomic DNA was extracted
from peripheral blood mononuclear cells with the QIAamp®
DNA Blood Midi/Maxi kit (Qiagen, Hilden, Germany), the
MagNA Pure LC-DNA LV Isolation kit I (Roche, Basel,
Switzerland), or the Wizard® Genomic DNA Purification Kit
Protocol (Promega, Madison, WI, United States), following the
manufacturers’ protocols. The genotyping was performed using
the TaqMan™SNP genotyping technology (Applied Biosystems,
Foster
City,
CA,
United
States). Real-time
quantitative
polymerase chain reactions (qPCR) were performed in a
7900HT Fast Real-Time PCR System (Applied Biosystems,
Foster
City,
California,
United
States),
using
specific
predesigned TaqMan™probes (assay IDs: C___8867446_10;
C____622151_10; C____622153_10) and the SDS 2.3 software
for allele discrimination (both from Applied Biosystems, Foster
City, California, United States). In silico functional characterisation of risk
variants In an attempt to provide a plausible functional effect of the
observed associations and identify possible molecular or
cellular mechanisms underlying the pathogenic phenotypes,
we implemented a bioinformatic workflow to extract and
explore the functional annotation data available in different
public databases. In a first step, we extended our functional
characterisation to all proxies (genetic variants showing a LD
r2 ≥0.8) of the selected taggers in the reference European Patient cohort characterisation This study was carried out in a large SPGF cohort with
European descent. In total, the infertile men group comprised
727 SPGF cases from Spain and Portugal, diagnosed as NOA
(n = 527), if a total absence of spermatozoa was observed in the
ejaculate, or SO (n = 200), when showing less than 5 million
spermatozoa/mL semen. The control set included 1,058 Iberian
men, of whom 700 were healthy individuals representative of the Frontiers in Cell and Developmental Biology frontiersin.org 03 Guzmán-Jiménez et al. 10.3389/fcell.2022.1089782 FIGURE 1
Genomic context and predicted functional relevance of the proxy variants tagged by TEX15-rs1362912. Both the CADD scores of each variant
(left x-axis) and the recombination rate of the region (right x axis, blue line) are displayed. Variants with functional annotations in testis are represented
as diamonds. FIGURE 1
Genomic context and predicted functional relevance of the proxy variants tagged by TEX15-rs1362912. Both the CADD scores of each variant
(left x-axis) and the recombination rate of the region (right x axis, blue line) are displayed. Variants with functional annotations in testis are represented
as diamonds. Association Studies (Skol et al., 2006) (Supplementary
Table
S2). Possible
deviances
from
Hardy-
Weinberg equilibrium (HWE) were evaluated at the 5%
significance level in both case and control groups using a
χ2 test. (MAF) ranges were selected with this method: rs1362912
(MAF <0.1), and rs323346 (0.1 < MAF <0.2), and rs323342
(MAF >0.2) (Supplementary Table S1). Frontiers in Cell and Developmental Biology Results population using the tools for that purpose implemented in
LDLink (Machiela and Chanock, 2015). All proxies were
equally considered candidates for explaining the observed
associations, as described elsewhere (Cervan-Martin et al.,
2020a; Cervan-Martin et al., 2021). Briefly, the prioritisation
processes were performed with the following resources:
GTExPortal
(Carithers
and
Moore,
2015),
SNPnexus
(Oscanoa
et
al.,
2020),
ENCODE
(Luo
et
al.,
2020),
Haploreg v.4.1. (Ward and Kellis, 2016), RegulomeDB
(Dong and Boyle, 2019), SNP2TFBS (Kumar et al., 2017),
amongst others. Several scores of deleteriousness were also
used, such as CADD, DeepSEA, EIGEN, FATHMM, fitCons,
FunSeq2
GWAVA,
REMM,
and
RegulomeDB
(Supplementary Tables S3,S4). In addition, we carried out
an enrichment analysis of both gene ontology (GO) terms and
protein-protein
interactions
(PPIs),
including
all
transcription factors whose reported binding site (TFBS)
sequences
overlapped
with
the
SNPs
included
in
the
prioritisation analysis, as implemented in STRINGv11.5
(Szklarczyk et al., 2019). Finally, to determine the TEX15
expression at the single cell level,
we used the data
available at both the Human Testis Atlas Browser (Guo
et
al.,
2018)
and
the
Single
Cell
Expression
Atlas
(Papatheodorou et al., 2020). The genotyping success rate of the three analysed variants
was above 98% and none of them showed a significant deviation
from HWE either in cases or controls. Additionally, the MAFs in
the control group were concordant with those described for both
the Iberian subpopulation and the European super population of
the 1KGPh3 project (Auton et al., 2015), with no statistically
significant
differences
observed
between
the
population-
representative group and the normozoospermic group in
either the allele or the genotype frequencies. Furthermore, our
study population had an appropriate overall statistical power to
identify genetic associations with moderate to high effects, as
detailed in Supplementary Table S2. Case-control statistical association
analysis An estimation of the statistical power of this study was
calculated with the CaTS Power Calculator for Genetic Frontiers in Cell and Developmental Biology 04 frontiersin.org 10.3389/fcell.2022.1089782 Guzmán-Jiménez et al. g
p
Allelic model
Genotypic model
SNP
Change
(1/2)
Group
Genotypes (11/
12/22)
MAF
p
Adjusted p
OR [CI 95%]
p
Adjusted
p
rs1362912
G/A
Controls (n =
1,046)
1/96/949
0.0468
NA
NA
NA
NA
NA
SPGF (n = 715)
4/74/637
0.0573
0.2571
NS
1.20 [0.88–1.65]
0.2367
NS
SO (n = 196)
2/29/165
0.0842
7.47E-
03
2.24E-02
1.90 [1.19–3.03]
1.14E-
02
3.41E-02
NOA (n = 519)
2/45/472
0.0472
0.9884
NS
1.00 [0.70–1.43]
0.4932
NS
rs323342
A/T
Controls (n =
1,049)
67/420/562
0.2641
NA
NA
NA
NA
NA
SPGF (n = 714)
60/277/377
0.2780
0.6212
NS
1.04 [0.89–1.22]
0.5412
NS
SO (n = 195)
18/67/110
0.2641
0.6740
NS
0.94 [0.72–1.23]
0.3335
NS
NOA (n = 519)
42/210/267
0.2832
0.4275
NS
1.07 [0.90–1.27]
0.6689
NS
rs323346
C/T
Controls (n =
1,049)
32/318/699
0.1821
NA
NA
NA
NA
NA
SPGF (n = 718)
29/225/464
0.1971
0.5822
NS
1.05 [0.88–1.26]
0.7808
NS
SO (n = 197)
7/64/126
0.1980
0.7353
NS
1.05 [0.78–1.43]
0.9444
NS
NOA (n = 521)
22/161/338
0.1967
0.5371
NS
1.06 [0.88–1.29]
0.6949
NS
CI, confidence interval; MAF, minor allele frequency; NA, not applicable; NOA, non-obstructive azoospermia; NS: not significant; OR, odds ratio (for the minor allele); SNP, single-
nucleotide polymorphism; SO, severe oligozoospermia; SPGF, spermatogenic failure. Significant p-values are highlighted in bold. 1: reference (minor) allele. 2: alternative (major) allele. CI, confidence interval; MAF, minor allele frequency; NA, not applicable; NOA, non-obstructive azoospermia; NS: not significant; OR, odds ratio (for the minor allele); SNP, single-
nucleotide polymorphism; SO, severe oligozoospermia; SPGF, spermatogenic failure. Significant p-values are highlighted in bold. 1: reference (minor) allele. 2: alternative (major) allele. Common TEX15 gene variation confers
susceptibility to severe oligozoospermia First, we compared the allele and genotype frequencies of
the selected taggers between the overall SPFG group and the
unaffected control population. These analyses revealed no
significant differences under any of the tested models
(Table 1). Frontiers in Cell and Developmental Biology 05 frontiersin.org 10.3389/fcell.2022.1089782 Guzmán-Jiménez et al. TABLE 2 Analysis of the genotype and allele frequencies of the TEX15 tagger variants comparing the severe oligozoospermia (SO) group against the non-
obstructive azoospermia (NOA) group. Allelic model
Genotypic model
SNP
MAF (SO/NOA)
p
Adjusted p
OR [CI 95%]^
p
Adjusted p
rs1362912
0.0842/0.0472
1.23E-02
3.69E-02
1.83 [1.14–2.94]
4.33E-02
0.13
rs323342
0.2641/0.2832
0.3614
NS
0.88 [0.67–1.15]
0.2672
NS
rs323346
0.1980/0.1967
0.6516
NS
0.93 [0.69–1.26]
0.7451
NS
CI, confidence interval; MAF, minor allele frequency; NS: not significant; OR, odds ratio (for the minor allele); SNP, single nucleotide polymorphism; Significant p-values are highlighted in
bold. CI, confidence interval; MAF, minor allele frequency; NS: not significant; OR, odds ratio (for the minor allele); SNP, single nucleotide polymorphism; Significant p-values are highlighted in
bold. Subsequently, we compared the groups of cases showing
specific phenotypes of male infertility stablished by semen
analysis (that is, NOA and SO) against the control cohort. Regarding NOA, no statistically significant differences were
observed for any of the three tested taggers. In fact, the MAFs
for the NOA group were very similar to those observed for the
control group (Table 1). different MAFs rather than on their possible functional features. Therefore, to investigate the biological meaning of the observed
association between rs1362912 and SO further, we first identified all
proxies (r2 ≥0.8) of this tagger and, subsequently, we carried out a
functional prioritisation to elucidate the putative causal variant/s. The tagger rs1362912 represents a synonymous SNP in exon
eight of the TEX15 gene (Figure 1), whereas most of its proxies are
non-coding variants located in both intronic and intergenic
regions (Figure 1; Supplementary Table S5). We decided to
base our prioritisation mostly on the overlaps with possible
regulatory elements in the testis related with changes in gene
expression that could affect the spermatogenic process. Amongst
the 44 SNPs that were evaluated, the variants rs114435820,
rs4733201, and rs1381559038 stood out from the rest using
such criterion (Figure 2; Supplementary Table S5). Specifically,
the SNP rs114435820 was located in a CpG island, which may
indicate
a
possible
effect
on
nearby
gene
expression. Common TEX15 gene variation confers
susceptibility to severe oligozoospermia No evidence of additional association with the SO group was
evident for the remaining selected variants (i.e., rs323346 and
rs323342) (Tables 1, 2). Common TEX15 gene variation confers
susceptibility to severe oligozoospermia Interestingly, this proxy overlaps with a CTCF binding site, as
well as with histone marks to active enhancers (H3K27ac) and
promoters (H3K4me3) in the adult testis, according to ChIP- seq
data
from
ENCODE
(Davis
et
al.,
2018)
(Figure
2;
Supplementary Table S5). Additionally, the position weight
matrix (PWM) data extracted from HaploReg (Ward and
Kellis, 2016) showed that the SNP rs114435820 could alter the
binding affinity of the transcription factor YY1, which plays an
important role in DNA repair during spermatogenesis (Wu et al.,
2009), amongst others (Figure 2; Supplementary Tables S5, S6). The data of the testis from ENCODE also showed an overlap of
the variant rs4733201 with binding sites of CTCF and POLR2A,
with the same previously described histone marks, and with a
DNAse hypersensitive sites (Figure 2; Supplementary Table S5). Furthermore, this variant was predicted to alter the TFBS of
E2F1, which has been previously associated with male infertility
due to SPGF (Jorgez et al., 2015; Rocca et al., 2019). Moreover,
31 additional proteins were observed to be bound to this site
through ChIP-Seq experiments, being some of them (such as
CTCF,
YY1,
EGR1,
TBP,
or
CCNT2)
involved
in
spermatogenesis (Tourtellotte et al., 2000; Wu et al., 2009;
Teng
et
al.,
2011;
Hernandez-Hernandez
et
al.,
2016;
Ponomarenko et al., 2020) (Figure 2; Supplementary Tables Conversely, the comparison between the SO group and the
control cohort revealed statistically significant differences in the
allele/genotype frequencies of rs1362912 under the additive
(pADD = 7.47E-03, OR = 1.90, CI 95% = 1.19–3.03) and
genotypic
(pGENO
=
1.14E-02)
models
(Table
1). Such
associations
remained
significant
after
multiple
testing
correction (pADD-FDR = 2.24E-02; pGENO-FDR = 3.41E-02)
(Table 1). To assess the consistency of the rs1362912 association with
SO, we decided to eliminate the possible confounding effect of
having SPFG in the analysis by using the NOA group as the
reference cohort. The comparison between SO and NOA showed
a similar risk effect on SO for the rs1362912*G minor allele in the
additive model (pADD = 1.23E-02, 1.83, CI 95% = 1.14–2.94). The
observed differences in the genotypic test for this SNP were also
at the same range (pGENO = 4.33E-02) (Table 2). Interestingly,
despite the lower statistical power of this case-case comparison,
the association assuming an additive effect of rs1362912*G
rameined after multiple testing correction (pADD-FDR = 3.69E-
02) (Table 2). Frontiers in Cell and Developmental Biology The severe oligozoospermia-associated
variants in TEX15 might affect chromatin
activity in the testis The statistical analyses suggested an involvement of low
frequency variants, tagged by rs1362912, in the susceptibility to
SO. However, our study design relied on a tagging strategy, and the
studied SNPs were selected based on their representativeness of Frontiers in Cell and Developmental Biology frontiersin.org 06 10.3389/fcell.2022.1089782 Guzmán-Jiménez et al. FIGURE 2
Enrichment in functional annotations of the human genome for TEX15-rs1362912 and its proxies. Functional prediction scores, according to
different algorithms, are marked in pink (CADD), violet (Funseq2), and yellow (RegulomeDB); blue-coloured cells represent overlap with functional
annotations in testis based on the ENCODE and Roadmap Epigenomics projects; variants located within transcription factor binding sites (TFBS)
related to spermatogenesis (based on either position weight matrix data or Chip-seq experiments) are shown in green; and variants in CpG sites
are highlighted in orange. Colour intensity is correlated with the probability or relevance (dark colours indicate higher probability). Bp, base pairs;
GRCh38, Genome Reference Consortium Human Build 38; DHS, DNase I hypersensitive site. FIGURE 2
Enrichment in functional annotations of the human genome for TEX15-rs1362912 and its proxies. Functional prediction scores, according to
different algorithms, are marked in pink (CADD), violet (Funseq2), and yellow (RegulomeDB); blue-coloured cells represent overlap with functional
annotations in testis based on the ENCODE and Roadmap Epigenomics projects; variants located within transcription factor binding sites (TFBS)
related to spermatogenesis (based on either position weight matrix data or Chip-seq experiments) are shown in green; and variants in CpG sites
are highlighted in orange. Colour intensity is correlated with the probability or relevance (dark colours indicate higher probability). Bp, base pairs;
GRCh38, Genome Reference Consortium Human Build 38; DHS, DNase I hypersensitive site. FIGURE 2
Enrichment in functional annotations of the human genome for TEX15-rs1362912 and its proxies. Functional prediction scores, according to
different algorithms, are marked in pink (CADD), violet (Funseq2), and yellow (RegulomeDB); blue-coloured cells represent overlap with functional
annotations in testis based on the ENCODE and Roadmap Epigenomics projects; variants located within transcription factor binding sites (TFBS)
related to spermatogenesis (based on either position weight matrix data or Chip-seq experiments) are shown in green; and variants in CpG sites
are highlighted in orange. Colour intensity is correlated with the probability or relevance (dark colours indicate higher probability). Bp, base pairs;
GRCh38, Genome Reference Consortium Human Build 38; DHS, DNase I hypersensitive site. S5, S6). Frontiers in Cell and Developmental Biology The severe oligozoospermia-associated
variants in TEX15 might affect chromatin
activity in the testis (WP34; p = 4.48E-06) were also highlighted amongst the
enriched pathways (Figure 3; Supplementary Table S8). 0022414; p = 2.98E-07), “developmental process involved in
reproduction” (GO:0003006; p = 1.31E-07), “reproductive
structure
development”
(GO:0048608;
p
=
3.51E-07),
“urogenital system development” (GO:0001655; p = 2.8E-04),
“formation of primary germ layer” (GO:0001704; p = 1.70E-03),
and “pituitary gland development” (GO:0021983; p = 4.26E-02)
(Figure 3; Supplementary Table S7). Furthermore, “male
infertility” (WP4673; p = 9.00E-03) and “ovarian infertility” The severe oligozoospermia-associated
variants in TEX15 might affect chromatin
activity in the testis With regards to the scores indicative of functionality,
although some proxies (such as rs114433201) showed relevant
values, the strongest evidence of deleteriousness was observed for
the TEX15 variant rs4733201, which is located in the 5’
untranslated region of the nearby gene PPP2CB and had a
considerably high CADD score (score = 21.9) (Figures 1, 2;
Supplementary Table S5). pathways considering the 112 TFs whose binding affinity to
this genetic region was predicted to be altered by the analysed
SNPs (Supplementary Tables S5, S6). The PPI network showed
significantly more interactions than expected (p = 1.00E-16)
(Figure 3). In relation to the functional enrichment of this
protein
set,
“regulation
of
transcription”
and
“gene
expression” were the GO terms showing the most significant
enrichment
p-values
(p
=
3.94E-61
and
p
=
2.60E-45,
respectively). Interestingly,
other
significantly
enriched
biological pathways included “reproductive process” (GO: In view of the possible influence on TFBSs of the most likely
causal variants of the TEX15 association with SO, we decided to
perform an enrichment analysis of both PPIs and biological 07 frontiersin.org 10.3389/fcell.2022.1089782 Guzmán-Jiménez et al. FIGURE 3
Protein-protein interaction network of the 122 transcription factors with predicted binding sites overlapping with TEX15-rs1362912 and its
proxies based on ChIP-seq experiments or protein weight matrix data. Blue lines indicate that the interaction is established from curated databases;
pink lines indicate experimentally determined connections; green lines link neighbour genes; black lines represent co-expression; and grey lines
correspond to proteins with homology. Bubble colour meaning: light blue, formation of primary germ layer; orange, developmental process
involved in reproduction; yellow, reproductive process; pink, reproductive structure development; dark green, pituitary gland development; light
green, urogenital system development; purple, ovarian infertility and red, male infertility. FIGURE 3
Protein-protein interaction network of the 122 transcription factors with predicted binding sites overlapping with TEX15-rs1362912 and its
proxies based on ChIP-seq experiments or protein weight matrix data. Blue lines indicate that the interaction is established from curated databases;
pink lines indicate experimentally determined connections; green lines link neighbour genes; black lines represent co-expression; and grey lines
correspond to proteins with homology. Bubble colour meaning: light blue, formation of primary germ layer; orange, developmental process
involved in reproduction; yellow, reproductive process; pink, reproductive structure development; dark green, pituitary gland development; light
green, urogenital system development; purple, ovarian infertility and red, male infertility. Frontiers in Cell and Developmental Biology Discussion Understanding the genetic basis of SPGF is a necessary step
to improve the clinical management and genetic counselling of Frontiers in Cell and Developmental Biology 08 frontiersin.org frontiersin.org 10.3389/fcell.2022.1089782 Guzmán-Jiménez et al. 10.3389/fcell.2022.1089782 infertile patients (Fainberg and Kashanian, 2019; Sharma et al.,
2021). In the present study, we conducted a comprehensive
evaluation of the possible involvement of TEX15 genetic
variation
in
the
predisposition
to
SPGF,
using
a
large
European cohort that ensured a high statistical power. infertile patients (Fainberg and Kashanian, 2019; Sharma et al.,
2021). In the present study, we conducted a comprehensive
evaluation of the possible involvement of TEX15 genetic
variation
in
the
predisposition
to
SPGF,
using
a
large
European cohort that ensured a high statistical power. Remarkably, animal models clearly support the role of the
TEX15 locus in SO development (Yang et al., 2008; Schopp et al.,
2020; Yang et al., 2020). In fact, TEX15-defficient murine models
show
reproductive
system
abnormalities,
including
male
infertility, altered spermatogenesis, arrest of male meiosis,
decreased male germ cell number, DSB repair anomalies, and
reduced testis weight (Yang et al., 2008; Carvalho-Silva et al.,
2019). This gene is mostly expressed in spermatogonia and
spermatocytes, in which it has a relevant regulatory role in
the control of gene expression by interacting with a vast
number of transcription factors related to the reproductive
function, as reported in the Open Targets Platform (Carvalho-
Silva et al., 2019). Our results clearly suggest that TEX15-rs1362912, or any of
its tagged SNPs, is directly involved in the pathological
mechanisms underlying mild forms of SPGF, i.e., SO, with
little or no contribution to extreme patterns, such as NOA. Taking into account the high relevance of TEX15 in the
reproductive
function
and
the
insight
provided
by
previously published genetic studies on this gene (Aston
et al., 2010; Plaseski et al., 2012; Ruan et al., 2012; Okutman
et al., 2015; Zhang et al., 2015; Colombo et al., 2017; Wang
et al., 2018; Araujo et al., 2020; Cannarella et al., 2021;
Ghadirkhomi et al., 2022), we hypothesise that NOA could
be mostly influenced by high-penetrance damaging mutations
in this locus rather than by common SNPs, which would be
responsible
for
increasing
SO
predisposition
instead. Discussion Consistent with this idea, only 27 SO-associated point
mutations
are
currently
annotated
in
both
the
“Male
Infertility Genomic Consortium (IMIGC) database” and the
“Infertility Disease Database (IDDB)”, whereas NOA has
138 entries, amongst which TEX15 is included (Houston
et al., 2021; Wu et al., 2021). Moreover, a higher proportion
of NOA cases present Mendelian causes of their infertility
when
compared
to
SO
(e.g.,
AZF
microdeletions
and
chromosomal abnormalities are three times more prevalent
in NOA than in SO) (Krausz and Riera-Escamilla, 2018). According to the results of our in silico functional analyses,
amongst the linked polymorphisms of the tagger rs1362912, the
non-coding TEX15 variant rs4733201 may be responsible for an
important contribution to the final phenotype. This SNP showed
strong evidence of functionality, including high scoring by
different functional impact prediction methods as well as an
overlap with testis-specific active chromatin epigenetic marks. Interestingly, the sequence surrounding this SNP corresponds to
a TFBS for different key transcription factors related with
spermatogenesis, including EGR1 (Tourtellotte et al., 2000;
Man et al., 2014), CTCF (Hernandez-Hernandez et al., 2016;
Rivero-Hinojosa et al., 2021), SMC3 (Eijpe et al., 2000; James
et al., 2002), YY1 (Wu et al., 2009; Kim et al., 2016), CCNT2
(Teng et al., 2011), E2F6 (Pohlers et al., 2005; Dahlet et al., 2021),
and MAX (Maeda et al., 2013), and it is annotated to be
transcriptionally active in the testis (Davis et al., 2018). Moreover, this SNP was predicted to modify the activity of
E2F1, which has been associated with human SPGF (Jorgez
et al., 2015; Rocca et al., 2019). Although our data are consistent with this hypothesis, the
causality of the TEX15 common variation in SO predisposition
remains controversial. Previous genetic association reports in this
locus have not been fully replicated likely due to differences in the
genetic architecture of the different study groups or, more
probably, to type I or II errors caused by the limitations in
the statistical power of the studied cohorts to detect low or
modest effects. In this regard, the TEX15 SNP rs323346 was not
associated with SO neither in our study nor in an independent
population of European ancestry previously assessed by Aston
et al. (2010). Inconsistent results were obtained in two additional
studies performed in Chinese, as Ruan et al. (2012) described a
genetic association between this SNP and SO that was not
replicated by Zhang et al. (2015) in the same ethnicity. Discussion Moreover, there are striking differences between the reported
rs323346*C allele frequencies for the human populations
included in the 1KGPh3 project (e.g., EUR = 0.17; EAS =
0.11; SAS = 0.33; AFR = 0.80, Supplementary Figure S2)
(Auton et al., 2015), which might indicate population-specific
causal variants within this region (Aston et al., 2010; Ruan et al.,
2012; Ghadirkhomi et al., 2022). Therefore, subsequent studies in
independent study cohorts should be performed to clarify further
the possible existence of different SO functionally relevant SNPs
in this gene. Similarly, the results of the biological pathway enrichment
analysis of the transcription factors with TFBSs influenced by the
analysed variants also support their involvement in SPGF, as
some of the enriched pathways included “reproductive process”,
“pituitary gland development”, “ovarian infertility”, and “male
infertility”. To our knowledge, there are no reported studies in
which the possible effects of TEX15 on female infertility were
evaluated (Yang et al., 2008; Bellil et al., 2021). However, TEX15
is expressed in the female reproductive tract (Supplementary
Figure S1), “ovarian infertility” was amongst the most enriched
pathways, and there is evidence of the implications in female
fertility of some of the transcription factors with binding sites in
the genomic positions of some of the SNPs considered in our
functional analysis. Specifically, VDR is associated with female
infertility (Djurovic et al., 2020), whereas CEBPB has been
described as relevant factor for female reproduction for its
role in ovarian follicle development (Fan et al., 2009), together
with SMAD3 (Tomic et al., 2004; Li et al., 2008) and ESR2
(Khristi et al., 2018; Chakravarthi et al., 2020). Such is consistent
with the assumption that the effect of the common variation in
the genome on pathological conditions is not limited to altering Frontiers in Cell and Developmental Biology 09 frontiersin.org Guzmán-Jiménez et al. 10.3389/fcell.2022.1089782 Data availability the expression or function of a single gene or protein, but rather
to unbalance complex molecular networks (Cui et al., 2015). Regarding the possible limitations of this work, it is
important note that our exclusion criteria based on genetic
abnormalities considered only karyotype alterations and Y
chromosome
microdeletions. Although
both
type
of
alterations account for the majority of known genetic causes
of SPGF (Cioppi et al., 2021), screening of high-penetrance point
mutations in reported SPGF genes was not performed. As a
consequence, some cases of our study cohort could harbour
single-gene mutations that may explain their infertility. However,
considering the low frequency of the reported monogenic
mutations in SPGF (Cioppi et al., 2021), this limitation is not
expected to have a relevant impact in the allele frequencies of our
study cohort. The possible statistical noise added by such cases
would likely cause a subtle increase in the probability of obtaining
type II errors (false negative results), but it would hardly affect
the consistency of the observed associations. The data generated in this study are either contained in the
article file and its Supplementary Material or available upon
reasonable request to the corresponding author. Ethics statement The studies involving human participants were reviewed and
approved by Ethics Committee “CEIM/CEI Provincial de
Granada”
(Andalusia,
Spain). The
patients/participants
provided their written informed consent to participate in this
study. Author contributions Formal analysis, writing—original draft and review and
editing: AG-J and SG-M. Data acquisition, draft review and
validation: RR-E, NG, SL, GR, SS-R, and IVIRMA group,
Lisbon Clinical group, JC, MG, AC, FV, VM, MP, IP, JN,
JS-C, OL-R, IP-C, PM, FC, AB, LB, SS, JG, SL, and AL. Data
interpretation and draft review: MC-M, JV-S, MB, and
RJ. Conceptualization, draft review and validation: RP-M. Conceptualization, design, supervision, draft review and
validation: LB-C and FDC. All authors approved the final
version of the manuscript. Overall, the insight gained in this study supports the notion
of idiopathic SPGF as a complex trait, where common genetic
variation has a determinant role in disease susceptibility and
development. In the case of TEX15, it is likely that the selective
pressures have prevented the dissemination of high-penetrance
deleterious variants leading to NOA in the human populations,
considering the crucial role that this gene has in the reproductive
success of an individual (Yang et al., 2008; Chen et al., 2016). Under this assumption, it is reasonable to assume that the
common TEX15 polymorphisms affecting male infertility were
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population of patients with severe spermatogenic impairment. J. Pers. Med. 11, 22. doi:10.3390/jpm11010022 Bellil, H., Ghieh, F., Hermel, E., Mandon-Pepin, B., and Vialard, F. (2021). Human testis-expressed (TEX) genes: A review focused on spermatogenesis and
male fertility. Basic Clin. Androl. 31, 9. Lisbon clinical group co-authors and
IVIRMA group co-authors This work was supported by the Spanish Ministry of
Science and Innovation through the Spanish National Plan
for Scientific and Technical Research and Innovation (PID
2020-120157RB-I00)
and
the
Andalusian
Government
through
the
research
projects
of
“Plan
Andaluz
de
Investigacion, Desarrollo e Innovacion (PAIDI 2020)” (ref. PY20_00212) and “Programa Operativo FEDER 2020” (ref. B-CTS-584-UGR20). LB-C was supported by the Spanish
Ministry of Science and Innovation through the “Juan de la
Cierva Incorporacion” program (Grant ref. IJC 2018-038026-
I, funded by MCIN/AEI/10.13039/501100011033), which
includes FEDER funds. AG-J was funded by MCIN/AEI/
10.13039/501100011033 and FSE “El FSE invierte en tu
futuro” (grant ref. FPU20/02926). IPATIMUP integrates
the i3S Research Unit, which is partially supported by the
Portuguese Foundation for Science and Technology (FCT),
financed by the European Social Funds (COMPETE-FEDER)
and National Funds (projects PEstC/SAU/LA0003/2013 and
POCI-01-0145-FEDER-007274). PM is supported by the FCT
post-doctoral fellowship (SFRH/BPD/120777/2016), financed
from the Portuguese State Budget of the Ministry for Science, Ana Aguiar, (Unidade de Medicina da Reproducao,
Hospital de Santa Maria, Centro Hospitalar Lisboa Norte,
Lisboa, Portugal); Carlos Calhaz-Jorge, (Unidade de Medicina
da Reproducao, Hospital de Santa Maria, Centro Hospitalar
Lisboa Norte, Lisboa, Portugal); Joaquim Nunes, (Unidade de
Medicina da Reproducao, Hospital de Santa Maria, Centro
Hospitalar Lisboa Norte, Lisboa, Portugal); Sandra Sousa
(Unidade de Medicina da Reproducao, Hospital de Santa
Maria, Centro Hospitalar Lisboa Norte, Lisboa, Portugal),
and
Sónia
Correia
(Centro
de
Medicina
Reprodutiva,
Maternidade Alfredo da Costa, Centro Hospitalar Lisboa
Central, Lisboa, Portugal); Maria Graça Pinto(Centro de
Medicina
Reprodutiva,
Maternidade
Alfredo
da
Costa,
Centro
Hospitalar
Lisboa
Central,
Lisboa,
Portugal). Alberto
Pacheco,
(IVIRMA
Madrid,
Spain);
Cristina
González,
(IVIRMA
Sevilla,
Spain);
Susana
Gómez,
(IVIRMA
Lisboa,
Portugal);
David
Amorós,
(IVIRMA
Barcelona, Spain); Jesús Aguilar, (IVIRMA Vigo, Spain);
Fernando Quintana, (IVIRMA Bilbao, Spain). Frontiers in Cell and Developmental Biology 10 frontiersin.org Guzmán-Jiménez et al. 10.3389/fcell.2022.1089782 Conflict of interests Technology and High Education and from the European
Social Fund, available through the Programa Operacional
do
Capital
Humano. ToxOmics—Centre
for
Toxicogenomics and Human Health, Genetics, Oncology
and Human Toxicology, Nova Medical School, Lisbon, is
also partially supported by FCT (UID/BIM/00009/2016 and
UIDB/00009/2020). SL received support from Instituto de
Salud
Carlos
III
(grant:
DTS18/00101],
co-funded
by
FEDER
funds/European
Regional
Development
Fund
(ERDF)-a way to build Europe-), and from “Generalitat de
Catalunya” (grant 2017SGR191). SL is sponsored by the
“Researchers Consolidation Program” from the SNS-Dpt. Salut Generalitat de Catalunya (Exp. CES09/020). This
article is related to the Ph.D. Doctoral Thesis of AG-J. Technology and High Education and from the European
Social Fund, available through the Programa Operacional
do
Capital
Humano. ToxOmics—Centre
for
Toxicogenomics and Human Health, Genetics, Oncology
and Human Toxicology, Nova Medical School, Lisbon, is
also partially supported by FCT (UID/BIM/00009/2016 and
UIDB/00009/2020). SL received support from Instituto de
Salud
Carlos
III
(grant:
DTS18/00101],
co-funded
by
FEDER
funds/European
Regional
Development
Fund
(ERDF)-a way to build Europe-), and from “Generalitat de
Catalunya” (grant 2017SGR191). SL is sponsored by the
“Researchers Consolidation Program” from the SNS-Dpt. Salut Generalitat de Catalunya (Exp. CES09/020). This
article is related to the Ph.D. Doctoral Thesis of AG-J. The authors declare that the research was conducted in the
absence of any commercial or financial relationships that could
be construed as a potential conflict of interest. Publisher’s note All claims expressed in this article are solely those of the
authors and do not necessarily represent those of their affiliated
organizations, or those of the publisher, the editors and the
reviewers. Any product that may be evaluated in this article, or
claim that may be made by its manufacturer, is not guaranteed or
endorsed by the publisher. Supplementary material We thank the National DNA Bank Carlos III (University of
Salamanca, Spain) for supplying part of the control DNA samples
from
Spain
and
all
the
participants
for
their
essential
collaboration. The Supplementary Material for this article can be found
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double-strand
break
repair and
chromosomal synapsis during male meiosis. J. Cell Biol. 180, 673–679. doi:10.1083/jcb.200709057 Teng, Y., Wang, Y., Fu, J., Cheng, X., Miao, S., and Wang, L. (2011). Cyclin T2: A
novel miR-15a target gene involved in early spermatogenesis. FEBS Lett. 585,
2493–2500. doi:10.1016/j.febslet.2011.06.031 Tian, R. H., Huang, Y. H., Chen, H. X., Li, P., Zhi, E. L., Yao, C. C., et al. (2021). Successful microsurgical vasoepididymostomy for a case of cryptozoospermia. Asian J. Androl. 24, 436–437. doi:10.4103/aja202178 Yang, F., Lan, Y., Pandey, R. R., Homolka, D., Berger, S. L., Pillai, R. S., et al. (2020). TEX15 associates with MILI and silences transposable elements in male
germ cells. Genes. Dev. 34, 745–750. doi:10.1101/gad.335489.119 Tomic, D., Miller, K. P., Kenny, H. A., Woodruff, T. K., Hoyer, P., and Flaws, J. A. (2004). Ovarian follicle development requires Smad3. Mol. Endocrinol. 18,
2224–2240. doi:10.1210/me.2003-0414 Zhang, X., Ding, M., Ding, X., Li, T., and Chen, H. (2015). Six polymorphisms in
genes involved in DNA double-strand break repair and chromosome synapsis:
Association with male infertility. Syst. Biol. Reprod. Med. 61, 187–193. doi:10.3109/
19396368.2015.1027014 Tourtellotte, W. G., Nagarajan, R., Bartke, A., and Milbrandt, J. (2000). Functional compensation by Egr4 in Egr1-dependent luteinizing hormone frontiersin.org 13 Frontiers in Cell and Developmental Biology Frontiers in Cell and Developmental Biology
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جنوب افریقیا – دراسة فی التطور السیاسی من الاستعمار حتى الاستقلال
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Abstract Marketing costs are considerd very important to the Business Organizations and essential
part of total costs . it has effect on the financial and selling political , total cost and earn profit to
the Organizations . Therefore this study pursued the importance of the process reduce the marketing costs to the
study sample. The main objective of the study is represented the effect on reducing marketing costs to the
market share, total costs , profits levels and competitive situation to the study sample . This study derived importance from the importance and benefits to the process of reducing
marketing costs in a study sample and the main role to achieving the organizations goals . This study was ended with some of conclusions and recommendations, from the theoretical
and practical sides of the study, which may contribute to the enhancement performance of study
sample and helping them accomplish their objectives properly and as required. المستخلص تعد التكاليف التسويقية ذات اهمية كبيرة بالنسبة لمنظماات االعمااو وتم از جاسء اساساي وم ام مان اجماالي تكالي اا وذات
تأثير كبير على السياسات المالية والبيعية ل ا وعلى االرباح التي ت. حقق ا تلك المنظمات
اذ ان االهتمام بالتكاليف التسويقية انب ق من خالو االهتمام بالنشاط التسويقي لمنتجات منظمات االعماو والسعي الجاد الى
اتباع كز ماهو
جديد ومتطور في مجاو التسويق من اجز ايصاو منتجات ا وخدمات ا الى االسواق بالشاكز الا ي يحقاق ل اا اقصاى مبيعاات
وا. رباح ممكنة
ل ا فقد تناوو ه ا البحث اهمية تخ يض التكاليف التسويقية بالنسبة للشركة عينة البحاث اذ ي اده ها ا البحاث الاى بياان اثار
تخ يض التكاليف التسويقية على الحصة السوقية لمبيعات الشركة وعلى اجماالي تكالي اا وعلاى مساتوب ارباح اا وعلاى الموقاف
التنافسي ل ا في االسو.اق
اذ يستمد ه ا البحث اهميتة من اهمية وفوائد عملية تخ يض التكاليف التسويقية بالنسبة للشركة ودوره االساسي فاي تحقياق
. اهداه االدارة العليا للشركة
ولقااد اختااتم هاا ا البحااث بجملااة ماان االسااتنتاجات والتو اايات التااي يمكاان ان تساا م فااي االرتقاااء باااداء الشااركة المدروسااة
وتساعده. ا على انجاز اعمال ا بالشكز المطلوب والصحيح
Ab t
t 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
The Importance of the Process Reducing and Controlling the
Marketing Costs in Business Organizations
An applied study in Zain Communication Company
أهمية تخفيض التكاليف التسويقية والتحكم فيها لمنظمات االعمال
دراسة تطبيقية في شركة زين لالتصاالت
م .م
عل
ي قاسم حسن العبيدي
كلية االدارة واالقتصاد– قسم المحاسبة -جامعة كربالء
المستخلص
تعد التكاليف التسويقية ذات اهمية كبيرة بالنسبة لمنظماات االعمااو وتم از جاسء اساساي وم ام مان اجماالي تكالي اا وذات
تأثير كبير على السياسات المالية والبيعية ل ا وعلى االرباح التي ت. حقق ا تلك المنظمات
اذ ان االهتمام بالتكاليف التسويقية انب ق من خالو االهتمام بالنشاط التسويقي لمنتجات منظمات االعماو والسعي الجاد الى
اتباع كز ماهو
جديد ومتطور في مجاو التسويق من اجز ايصاو منتجات ا وخدمات ا الى االسواق بالشاكز الا ي يحقاق ل اا اقصاى مبيعاات
وا. رباح ممكنة
ل ا فقد تناوو ه ا البحث اهمية تخ يض التكاليف التسويقية بالنسبة للشركة عينة البحاث اذ ي اده ها ا البحاث الاى بياان اثار
تخ يض التكاليف التسويقية على الحصة السوقية لمبيعات الشركة وعلى اجماالي تكالي اا وعلاى مساتوب ارباح اا وعلاى الموقاف
التنافسي ل ا في االسو.اق
اذ يستمد ه ا البحث اهميتة من اهمية وفوائد عملية تخ يض التكاليف التسويقية بالنسبة للشركة ودوره االساسي فاي تحقياق
. اهداه االدارة العليا للشركة
ولقااد اختااتم هاا ا البحااث بجملااة ماان االسااتنتاجات والتو اايات التااي يمكاان ان تساا م فااي االرتقاااء باااداء الشااركة المدروسااة
وتساعده. ا على انجاز اعمال ا بالشكز المطلوب والصحيح
Abstract 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
The Importance of the Process Reducing and Controlling the
Marketing Costs in Business Organizations
An applied study in Zain Communication Company
أهمية تخفيض التكاليف التسويقية والتحكم فيها لمنظمات االعمال
دراسة تطبيقية في شركة زين لالتصاالت
م .م
عل
ي قاسم حسن العبيدي
كلية االدارة واالقتصاد– قسم المحاسبة -جامعة كربالء
المستخلص
تعد التكاليف التسويقية ذات اهمية كبيرة بالنسبة لمنظماات االعمااو وتم از جاسء اساساي وم ام مان اجماالي تكالي اا وذات
تأثير كبير على السياسات المالية والبيعية ل ا وعلى االرباح التي ت. حقق ا تلك المنظمات
اذ ان االهتمام بالتكاليف التسويقية انب ق من خالو االهتمام بالنشاط التسويقي لمنتجات منظمات االعماو والسعي الجاد الى
اتباع كز ماهو
جديد ومتطور في مجاو التسويق من اجز ايصاو منتجات ا وخدمات ا الى االسواق بالشاكز الا ي يحقاق ل اا اقصاى مبيعاات
وا. رباح ممكنة
ل ا فقد تناوو ه ا البحث اهمية تخ يض التكاليف التسويقية بالنسبة للشركة عينة البحاث اذ ي اده ها ا البحاث الاى بياان اثار
تخ يض التكاليف التسويقية على الحصة السوقية لمبيعات الشركة وعلى اجماالي تكالي اا وعلاى مساتوب ارباح اا وعلاى الموقاف
التنافسي ل ا في االسو.اق
اذ يستمد ه ا البحث اهميتة من اهمية وفوائد عملية تخ يض التكاليف التسويقية بالنسبة للشركة ودوره االساسي فاي تحقياق
. اهداه االدارة العليا للشركة
ولقااد اختااتم هاا ا البحااث بجملااة ماان االسااتنتاجات والتو اايات التااي يمكاان ان تساا م فااي االرتقاااء باااداء الشااركة المدروسااة
وتساعده. ا على انجاز اعمال ا بالشكز المطلوب والصحيح
Abstract 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة The Importance of the Process Reducing and Controlling the
Marketing Costs in Business Organizations
An applied study in Zain Communication Company
أهمية تخفيض التكاليف التسويقية والتحكم فيها لمنظمات االعمال
دراسة تطبيقية في شركة زين لالتصاالت
م .م
عل
ي قاسم حسن العبيدي
كلية االدارة واالقتصاد– قسم المحاسبة -جامعة كربالء 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة المنتو الن ائي وذات اهمية التقز عن اهمية كلف االنتا اذ ان معظم الشركات التحقاق اهاداف ا بمجارد االنتاا فقام باز مان خاالو
. تسويق منتجات ا بالشكز المطلوب والصحيح
ل لك فان االهتمام بالتكاليف التسويقية والسع ي الى اتباع كاز الطارق التاي تاادي الاى تخ ي ا ا تعاد بم اباة هاده تساعى الياة
معظم الشركات كون ا ستساهم في مساعدة االدارة في عملية التخطايم ورسام السياساات البيعياة للشاركة وتسا ز مان عملياة الرقاباة
على تلك التكاليف وتساعد االدارة في اتخاذ القرارات السليمة التي تتعلق بالنشا ط التسويقي وكون ا تاثر وبشكز كبيار علاى مبيعاات
. الشركة وعلى مستوب ارباح ا منهجية الدراسة والدراسات السابقة
: منهجية الدراسة – ًاوال
(Study Problem)
1
-
: مشكلة الدراسة
تتم ز مشكلة الدراسة في ضعف ادراك الشركة عينة الدراسة الهمية الادور الا ي
تادياة عملياة تخ ايض التكااليف التساويقية
لمنتجات ا ابتداءاً مان مرحلاة االعاالن والتاروي وانت ااءاً بمرحلاة الدراساات والبحاوث التساويقية فاي تحقياق النجااح الماالي وتادعيم
الموقف التنافسي ل اا فاي الساوق اذ مان خاالو اطاالع الباحاث علاى الساجالت والتقاارير والكشاوفات المالياة للشاركة
وجاد ان نسابة
التكاليف التسويقية مرت عة جدا مقارنة باجمالي تكاليف الشركة اذ ان سعي منظمات االعماو الى تخ ايض التكااليف التساويقية يمكان
اعتمااادة كماااار لتقياايم ك اااءة وفاعليااة تلااك المنظمااات فااي اداء اعمال ااا وقيااام ماادب امكانيااة تلااك المنظمااات لالسااتجابة لمتطلبااات
ورغبات السب. ائن وقدرت ا على تحقيق اعلى ارباح ممكنة باقز تكاليف تسويقية ممكنة ر
اهجي
و
(Study Problem)
1
-
: مشكلة الدراسة (
y
)
تتم ز مشكلة الدراسة في ضعف ادراك الشركة عينة الدراسة الهمية الادور الا ي
تادياة عملياة تخ ايض التكااليف التساويقية
لمنتجات ا ابتداءاً مان مرحلاة االعاالن والتاروي وانت ااءاً بمرحلاة الدراساات والبحاوث التساويقية فاي تحقياق النجااح الماالي وتادعيم
الموقف التنافسي ل اا فاي الساوق اذ مان خاالو اطاالع الباحاث علاى الساجالت والتقاارير والكشاوفات المالياة للشاركة
وجاد ان نسابة
التكاليف التسويقية مرت عة جدا مقارنة باجمالي تكاليف الشركة اذ ان سعي منظمات االعماو الى تخ ايض التكااليف التساويقية يمكان
اعتمااادة كماااار لتقياايم ك اااءة وفاعليااة تلااك المنظمااات فااي اداء اعمال ااا وقيااام ماادب امكانيااة تلااك المنظمااات لالسااتجابة لمتطلبااات
ورغبات السب. المقدمة بعد التط ورات ال ائلة التي حدثت في المجاالت التجارية وازدحام االسواق بالمنتجات المتعاددة والمتنوعاة للشاركات واااتداد
حدة المنافسة فيما بين تلك الشركات ازداد االهتمام من قبز تلك الشاركات بالنشااط التساويقي لمنتجات اا مان خاالو اتبااع كاز الطارق
واالساليب الحدي ة فاي مجااو التاروي
واالعاالن عان منتجات اا والبحاث عان المنافا التوزيعياة والبيعياة التاي تحقاق اقصاى مبيعاات
ممكنة ل ا وتخصيص المبالغ الالزمةالنجاز كافة االبحاث والدراسات التسويقية ذات العالقة بتسويق منتجات اا مماا ترتاب علاى تلاك
الشركات ان تتحماز تكااليف تساويقية ت ااه الاى اجماالي تكااليف اال نتاا اذ تعاد التكااليف التساويقية جاسءآ م ماج مان اجماالي كل اة 128 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
المنتو الن ائي وذات اهمية التقز عن اهمية كلف االنتا اذ ان معظم الشركات التحقاق اهاداف ا بمجارد االنتاا فقام باز مان خاالو
. تسويق منتجات ا بالشكز المطلوب والصحيح
ل لك فان االهتمام بالتكاليف التسويقية والسع ي الى اتباع كاز الطارق التاي تاادي الاى تخ ي ا ا تعاد بم اباة هاده تساعى الياة
معظم الشركات كون ا ستساهم في مساعدة االدارة في عملية التخطايم ورسام السياساات البيعياة للشاركة وتسا ز مان عملياة الرقاباة
على تلك التكاليف وتساعد االدارة في اتخاذ القرارات السليمة التي تتعلق بالنشا ط التسويقي وكون ا تاثر وبشكز كبيار علاى مبيعاات
. الشركة وعلى مستوب ارباح ا )Study Objectives
3
-
(: اهداف الدراسة ا )Study Objectives
3
-
(: اهداف الدراسة
: تسعى الدراسة الى تحقيق االهداه التالية
أ-
المساهمة الجادة في تقديم عرض م اهيمي يتناوو م اوم الكل اة بشاكز عاام و م اوم التكااليف التساويقية بشاكز خااه باعتبارهاا
ًجسءا. م ماً من اجمالي كل ة المنت الن ائي وبيان التبويبات االساسية ل ا والخصائص الرئيسية المميسة ل ة التكاليف
ب-
. التعره على مدب اهتمام ادارة الشركة المدروسة بالنشاط التسويقي لمنتجات ا وما يترتب على ه ا النشاط من تكاليف
- محاولة تشخيص وتحديد اثر تخ يض الت كاليف التسويقية على اجمالي تكاليف الشركة بشكز عام وعلاى حجام مبيعات اا ومساتوب
. ارباح ا وموق ا التنافسي في السوق
د-
. االست ادة من الدراسة وما تو لت اليه من نتائ في تحديد متطلبات االرتقاء باداء الشركة عينة البحث
(Study Hypotheses
4
-
(: فرضية الدراسة
تستن: د الدراسة الى فرضية رئيسية م ادها
ان تخ يض التكاليف التسويقية للشركة عينة الدراسة مع المحافظة على مستوب مبيعات ا في السوق يادي الى زيادة ارباح اا ويادعم
.الموقف التنافسي ل ا ويوفر لالدارة ماار يمكن اعتمادة في تقييم ك اءة وفاعلية الشركة في انجاز اعمال ا )
y
j
(
: تسعى الدراسة الى تحقيق االهداه التالية
أ-
المساهمة الجادة في تقديم عرض م اهيمي يتناوو م اوم الكل اة بشاكز عاام و م اوم التكااليف التساويقية بشاكز خااه باعتبارهاا
ًجسءا. م ماً من اجمالي كل ة المنت الن ائي وبيان التبويبات االساسية ل ا والخصائص الرئيسية المميسة ل ة التكاليف
ب-
. التعره على مدب اهتمام ادارة الشركة المدروسة بالنشاط التسويقي لمنتجات ا وما يترتب على ه ا النشاط من تكاليف
- محاولة تشخيص وتحديد اثر تخ يض الت كاليف التسويقية على اجمالي تكاليف الشركة بشكز عام وعلاى حجام مبيعات اا ومساتوب
. ارباح ا وموق ا التنافسي في السوق اا تستن: د الدراسة الى فرضية رئيسية م ادها
ان تخ يض التكاليف التسويقية للشركة عينة الدراسة مع المحافظة على مستوب مبيعات ا في السوق يادي الى
. الموقف التنافسي ل ا ويوفر لالدارة ماار يمكن اعتمادة في تقييم ك اءة وفاعلية الشركة في انجاز اعمال ا )Study Boundaries
5
-
(: حدود الدراسة
أ )Study Boundaries
5
-
(: حدود الدراسة
Place Boundariesأ-
: الحدود المكانية
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة ائن وقدرت ا على تحقيق اعلى ارباح ممكنة باقز تكاليف تسويقية ممكنة (Study Importance
2
-
( : اهمية الدراسة
تبرز اهمية الدراسة من اهمية وفوائد الدور ال ي تادية عملية تخ ايض التكااليف التساويقية للشاركة عيناة الدراساة سايما وان
منظمات االعماو ا بحت اليوم تواجه ال عديد من التطورات والتغيرات السريعة في بيئة االعماو وااتداد حدة المنافسة ماا باين تلاك
المنظمااات ممااا يتطلااب من ااا االسااتجابة ل اا ة التطااورات والتغياارات بالشااكز الاا ي يك ااز نجاح ااا وي اامن بقائ ااا فااي سااوق المنافسااة
ويساعد االدارة العليا من اتخاذ القرارات االدارية السليمة التي. تخدم توج ات ا وتحقق اهداف ا بالشكز المطلوب والصحيح 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة )Study Method
6
-
( : منهج الدراسة )Study Method
6
-
( : منهج الدراسة
اعتمدت الدراسة المن الو ي التحليلي اذ م ز التحليز المنطقي اسام الجانب النظري من الدراسة في حين كان التحليز
. واالستدالو االحصائي اسام الجانب التطبيقي من ا )
y
(ج
اعتمدت الدراسة المن الو ي التحليلي اذ م ز التحليز المنطقي اسام الجانب النظري من الدراسة في حين كان التحليز
. واالستدالو االحصائي اسام الجانب التطبيقي من ا )Styles of Data Collection) :
7
- اسلوب جمع البيانات والمعلومات
: ااتملت عملية جمع البيانات والمعلومات الالزمة النجاز الدراسة على مجموعة من االساليب وكأالتي
أ-
: الجانب النظري : استند الجانب النظري من الدراسة على عدة مصادر وهي
-
الكتب واالدبيات والدوريات العربية واالجنبية. -
. بحوث الماتمرات العربية واالجنبية
ة
ال ا
ا ز االطا
ال )Styles of Data Collection) :
7
- اسلوب جمع البيانات والمعلومات ااا -
. ) ابكة المعلومات الدولية (االنترنت
ب-
: الجانب العملي : حيث تم اعتماد االساليب التالية
- المقابالت الشخصية : وت منت االسئلة المباارة للحصوو على بعض االجابات من افراد العينة وارح بعض
االمور الغام ة
ل مان الدقة في االجابات وقد اس مت ه ة المقابالت بالحصوو على معلومات افادت الدراسة من جانب ومن جانب اخر اوضحت
. للموظ ين والعاملين في الشركة م وم الكل ة بشكز عام والتكاليف التسويقية وتبويبات ا بشكز خاه
-
المصادر الرسمية : اعتمد الباحث على سجالت الشركة المدروسة وما توفر من وثائق واحصائيات ب ده الحصوو على
. البيانات والمعلومات المطلوبة التي تخدم توج ات الدراسة
-
استمارة االستبيان : نظراً لطبيعة الدراسة ووجوب تطبيق ا على الشركة المدروسة وجد الباحث ان استمارة االستبيان هي انسب
االدوات التي تحق . )Study Objectives
3
-
(: اهداف الدراسة ا اذ تم اختيار اركة زين لالتصاالت من قبز الباحث كون ا االنسب واالقرب لتحقيق هده الدراسة وفرضيتة الرئيسية
Time Boundariesب-
: الحدود السمانية
امتدت المدة السمنية للدراسة بدءآ بتحديد
موضوعات ا وتوج ات ا وانت اءآ بانجاز اهداف ا من3
-
4
-
0202
ولغاية01
-
7
-
0202
Human Boundaries
-
: الحدود البشرية
املت عينة الدراسة04
: فردآ من العاملين في الشركة عينة الدراسة وبواقع
8
: مدراء مبيعات6
مدراء حا لين على ا ادة البكالوريوم0
مدراء حا لين على. ا ادة الدبلوم العالي
8
: من العاملين في قسم الدراسات والبحوث التسويقية3 حا لين على ا ادة الدبلوم و1 حا لين على ا ادة البكالوريوم
8
: من مختلف المستويات االدارية للشركة0 حا لين على ا ادة االعدادية و0 حا لين على ا ادة الادبلوم و3 حا الين علاى
ا ادة البك
الوريوم و0
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: الخماسي وكما مبين ادناهLikert
ولقد تم اعداد استمارة استبانة وفقاً لمقيام ال ات ق بشدة
الات ق
محايد
ات ق
ات ق بشدة ال قرة
0
0
3
4
1 ا
لوزن
الدرجة 1
-
، دراسة العاني ، صفاء احمد محمد2005
تحليل ورقابة التكاليف التسويقية في المنشأة العامة لصناعة الزجاج والسيراميك
تناولت ه ة الدراسة الدور ال ي تادية التكاليف التسويقية باعتبارها تم ز نسبة م مة من كل ة المن ت الن ائي في رسم سياسات
المنشأة وتأثيرها على افي الربح ال ي تحققة المنشأة وتاثيرها على المركس المالي للمنشأة اذ قام الباحث باختيار المنشأة العامة
لصناعة السجا والسيراميك كعينة للبحث وتم ز ال ده الرئيسي للبحث في القيام بعملية تحليز التكاليف التسويقية في
المنشأة
والرقابة علي ا من خالو تحليز االنحرافات وبيان مدب تأثيرها على افي الربح الن ائي للمنشأة وقد اعتمد الباحث على اسلوب
. المساوجة مابين المصادر النظرية والعملية والبيانات االحصائية عن واقع المنشأة من اجز تحقيق هده البحث الرئيسي Dempsy, Donald, 2004
ر
The Role of The Process Measuring and Analyzing The Total Marketing Costs in Achieving
The Organizations goals. اجريت ه ة الدراسة على عينة من الشركات الصناعية االمريكية وقد حاوو الباحث من خالو القيام بعملية قيام وتحليز التكاليف
التسويقية ومقارن ة ه ة التكاليف بالتكاليف االجمالية للشركة من تقديم معلومات محاسبية وتحليلية دقيقة يمكن ان تساعد تلك
الشركات من السيطرة على تلك التكاليف وتعمز على تخ ي ا قدر االمكان ويمكن ان تساعد ادارة تلك الشركات في تحقيق
اهداف ا الرئيسية المتم لة بتعسيس الموقف التنافسي
ل ا في االسواق وترايد عملية اتخاذ القرارات وتحقيق اقصى مستوب ارباح
. ممكنة e
psy,
o a d, 00ر
The Role of The Process Measuring and Analyzing The Total Marketing Costs in Achieving
The Organizations goals. اجريت ه ة الدراسة على عينة من الشركات الصناعية االمريكية وقد حاوو الباحث من خالو القيام بعملية قيام وتحليز التكاليف
التسويقية ومقارن ة ه ة التكاليف بالتكاليف االجمالية للشركة من تقديم معلومات محاسبية وتحليلية دقيقة يمكن ان تساعد تلك
الشركات من السيطرة على تلك التكاليف وتعمز على تخ ي ا قدر االمكان ويمكن ان تساعد ادارة تلك الشركات في تحقيق
اهداف ا الرئيسية المتم لة بتعسيس الموقف التنافسي
ل ا في االسواق وترايد عملية اتخاذ القرارات وتحقيق اقصى مستوب ارباح
. ممكنة 130 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة : هوم وال
لقد اصبحت التكاليف محل اهتمام منظمات االعمال حيث تحتلل
الكلفل
اهميل
كبيلة
فل تحديلد اسلااة منتجاتهلا
وبسلب ان
ا هذ المفهوم مةتبط
اةتباطا
وثيقا بتحقيق اهداف
المنظم من حيث
السا الى خفض
كلف المنتوج
مقاةن بااليةادات
المتحقق مملا
يساعد على تحقيق االةباح
المطلوب لتلك المنظمات
ومل تطلوة منظملات االعملال وتطلوة منتجاتهلا تطلوة
وتوسل مفهلوم
الكلفل
حيث اصبح
يان الكثية لتلك ال
منظمات
.ولقد وةدت
ف االدبيلات
المحاسلبي الكثيلة ملن التالاةيف
للكلفل اذ عةفلت الكلفةة بانهلا
"موةد مضحى به لتحقيق هلدف او غلةض محلدد
وهلذ
لكلفل
تقلا
بوحلد النقلد الماملول بهلا
والواجل دفاهلا
فل
شلةا
السلل
والخدمات
( . "
Horngren,et,al ,2000:26
) فقد عةف الكلفة بانها
"ساة التبادل ،
التضحي لضمان
المنفا ،
وه تمثل المبلغ الذي
AICPAاما الماهد
االمةيك
للمحاسبين القانونيين يق ا بالنقد المنفق او اي ممتلكات
مدفوع ، اسهم
مصدة او خدمات
مؤدا او
انشا دين مقابل الحصول
على
سل وخدمات " Moscove
ف حين عةف
الكلفة بانها
"النفقات ونقص
ف الموجودات او
زياد
ف المطلوبات
الت تتم
ف سبيل الحصول على
منفا
(Moscove&others, 1984:8
اقتصادي
ف الوقت الحاضة او
ف المستقبل
( "
مما تقدم من تااةيف فان الباحث ياةف الكلفة بانها
"
تضحي
بجز من مواةد منظمات االعمال
تقا تلك
التضحي بالوحدات
النقدي
والمادي
واليتةت على تلك
التضحي
ضياعا او
خساة وانما يقابلها هدف محدد وهو الحصول على
مناف او خدمات
ماين
سوا كانت
حالي او
مستقبلي
. " : تبويب الكلفة – ًثانيا
نظراً الهمية عنا ر التكاليف واهمية المعل ومات الكل وية بالنسبة لمنظمات االعماو فلقد برزت أسس متعددة في تبويب عنا ر
التكاليف اذ يمكن تعريف عملية تبويب عناصر التكاليف
بان ا " عملية تصنيف او تحليز عنا ر التكاليف المختل ة الى مجموعات
متجانسة وفقاً لخصائص معينة وباتباع طرق محددة وذلك بالصورة التي تت ق
. " مع الغرض من تبويب تلك التكاليف
، (االرياني0220
:
34
)
اذ تختلف االسس المتبعة في تبويب عنا ر التكاليف باختاله ال ده او الغرض ال ي يرمى الية من استخدام بيانات التكاليف
وتعتبر عملية تبويب عنا ر التكاليف الخطوة االولى لتحقيق هده قيام التكاليف. بالنسبة لمنظمات االعماو يا)
ذ تختلف االسس المتبعة في تبويب عنا ر التكاليف باختاله ال ده او الغرض ال ي يرمى الية من استخدام بيانات
وتعتبر عملية تبويب عنا ر التكاليف الخطوة االولى لتحقيق هده قيام التكاليف. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة بالنسبة لمنظمات االعماو ويمكن بيان أهم أالسس
، المتبعة في تبويب عنا ر التكاليف واالك ر ايوعاً واستخداماً : (باسيلي0220
:
78
)
أ–
. ) تبويب عنا ر التكاليف حسب طبيعت ا (التبويب الطبيعي
ب–
. ) تبويب عنا ر التكاليف حسب وظائف المشروع (التبويب الوظي ي
- تبو. يب عنا ر التكاليف حسب عالقت ا بوحدات االنتا
د-
. تبويب عنا ر التكاليف حسب عالقت ا بحجم االنتا
ه-
. تبويب عنا ر التكاليف حسب عالقت ا بمراكس المساولية
و-
.تبويب عنا ر التكاليف حسب عالقت ا بال ترة المحاسبية
ا والشكز ادناه يوضح اهم أالسس المتبعة في تبويب عن
ا ر التكاليف 131 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة ( شكل1
)
اهم االسس المتبعة في تبويب عناصر التكاليف
) المصدر (اعداد الباحث باالعتماد على االدبيات المحاسبية الخا ة بالدراسة
تبويب عناصر
التكاليف حسب
عالقتها بمراكز
المسؤولية
تكاليف
خاضا
للةقاب
تكاليف غية
خاضا
للةقاب
تبويب عناصر
التكاليف حسب
عالقت
ها بحجم
االنتاج
التكاليف
المتغية
التكاليف
الثابت
التكاليف
المختلط
تبويب عناصر
التكاليف حسب
عالقتها بوحدات
االنتاج
التكاليف
المباشة
التكاليف الغية
مباشة
تبوي
ب عناصر
التكاليف حسب
طبيعتها
التبويب الطبيعي
عنصة المواد
عنصة االجوة
عنصة
المصةوفات
تبويب عناصر
التكاليف حسب
الوظائف
التبويب الوظيفي
تكاليف
صناعي
تكاليف
تسويقي
تكاليف
اداةي
تبويب عناصر
التكاليف حسب
عالقتها بالفترة
المحاسبية
التكاليف
المستنفد
التكاليف غية
المستنفد : وفيما يلي توضيح ه ة التبويبات
أ–
) تبويب عنا ر التكاليف حسب طبيعت ا (التبويب الطبيعي
ويعت بر ه ا التبويب من التبويبات االساسية اذ ي ده ه ا التبويب الى تحديد تكل ة كز عنصر من عنا ر االنتا وتقسم عنا ر
ًاالنتا وفقا
(Mats & Usry, 1984: 310
، ل ا التبويب الى : (العادلي واخرون0992
:
61
( ، )
0
-
( عنصر المواد : ويقصد به مجموعة المواد الخام االولية
المباارة وغير المباارة ) والمواد التسويقية واالدارية والمواد
. االخرب التي يحتاج ا االنتا
0
-
عنصر االجور : ويم ز عنصر االجور كل ة الج د االنساني ال ي يب لة العاملون في المنظمة وتقام باالجورالنقدية والمسايا
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة (السويني0227
:
66
) : ض
هوم
لقد ا بحت عملية خ ض الكل ة محز اهتمام العديد من منظمات االعماو وا بحت بم ابة هده تسعى الية تلك المنظمات وذلك
لما. له من ارتباط مباار وماثر على حجم مبيعات ا وعلى مستوب االيرادات واالرباح التي تحقق ا لقد ا بحت عملية خ ض الكل ة محز اهتمام العديد من منظمات االعماو وا بحت بم ابة هده تسعى الية تلك المنظمات وذلك
لما. له من ارتباط مباار وماثر على حجم مبيعات ا وعلى مستوب االيرادات واالرباح التي تحقق ا
ولقد ااار العديد من الباح ين الى م وم عملية
خفض الكلفة اذ تم تعري ا بان ا " تحقيق وفورات حقيقية ومستمرة في كل ة الوحدة
من الب اعة المصنعة او الخدمة المقدمة دون التأثي، ر على مالئمت ا لالستخدام المطلوب " . (السويني0227
:
66
) ي
حاا
م
ولقد ااار العديد من الباح ين الى م وم عملية
خفض الكلفة اذ تم تعري ا بان ا " تحقيق وفورات حقيقية ومستمرة في كل ة الوحدة
من الب اعة المصنعة او الخدمة المقدمة دون التأثي، ر على مالئمت ا لالستخدام المطلوب " . (السويني0227
:
66
) اما الجسار فقد عره عملية
خفض الكلفة
بان ا " خطة ايجابية موضوعة لتحسين الك اءة عن طريق استبعاد ال ياع أواالسراه
" في االنتا وزيادة الك اءة في جميع المجاالت باستخدام وسائز متطورة لتقليز ه ا االسراه
، . (الجسار0972
:
309
)
عملية
خفض الكلفة
: بان ا " االسلوب المخطم وااليجابي لتحسين الك اءة ويمكن النظر الى ذلك من عدة زوايا هيBatty
في
حين عره استبعاد ال قد ، السرعة في انجاز العمليات ، زيادة االنتاجية ، او ايجاد الوسائز والطرق التي يكون من اأن ا احداث
، خ ض في كل ة الوحدة المنتجة ) . ( السامرائي0999
:
04
)
مما تقدم من تعاريف فان الباحث يعره عملية خفض الكلفة بان ا " االستخدام االم ز لعنا ر التكاليف من مواد واجور
ومصاريف اثناء العملية االنتاجية عن طريق فحص ودراسة تكاليف االنتا والعمز على استبعاد ال يا عات واالجساء غير
. " ال رورية في االنتا من اجز انتا منتجات ذات كل ة منخ ة ونوعية مناسبة ومالئمة لالستخدام
اذ يجب ان تتم عملية خ ض الكل ة دون المسام بنوعية وموا ات المنت اذ ان استخدام مواد رديئة النوعية في االنتا كون ا
ذات كل ة منخ ة اليعد تخ ي اً ل. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة العينية الممنوحة للعاملين
3
-
: عنصر المصروفات ويقصد ب ا المصروفات االخرب كافة عدا المواد واالجور الالزمة التمام عملية انتا السلع او الخدمات ب-
) تبويب عنا ر التكاليف حسب وظائف المشروع (التبويب الوظي ي
وي ده تبويب عنا ر التكاليف على اسام الوظائف الى حصر التكاليف التي تنشأ داخز كز وظي ة من وظائف ا لمشروع ب ده
الو وو الى تكل ة كز وظي ة بشكز مستقز وبالتالي تحديد نصيب المنت من تكل ة الوظي ة ب ده الرقابة على عنا ر التكاليف
: والتخطيم المستقبلي ل ا وتبوب عنا ر التكاليف على اسام عالقت ا بوظائف المشروع الرئيسية الى
0
- عنا ر التكاليف الصناعية : وتشمز الموا د الصناعية–
االجور الصناعية–
. المصروفات الصناعية
0
-
عنا ر التكاليف التسويقية : وتشمز المواد التسويقية–
االجور التسويقية–
. المصاريف التسويقية
3
-
، عنا ر التكاليف االدارية : وتشمز جميع عنا ر التكاليف التي تن ق على الوظائف االدارية بشكز عام . (السيدية0220
:
66
-
67
)
اا -
تبويب عنا ر التكاليف حسب عالقت ا بوحدات االنتا
: اذ تبوب عنا ر التكاليف على اسام عالقت ا بوحدات االنتا الى
0
-
التكاليف المباارة : وهي التكاليف التي ترتبم ارتباطاً مبااراً بوحادات االنتاا بحياث يسا ز تمييسهاا وتحديادها وربط اا ب اده
الكل ة ال ن ا رفت خصيصاً النتا منت معين وتشمز ( المواد المباارة–
االجور المباارة–
. ) المصاريف المباارة
، (العادلي واخرون0992
:
67
)
ًا : ا ى
ا بو
م
ي ى
ر
بوب
0
-
التكاليف المباارة : وهي التكاليف التي ترتبم ارتباطاً مبااراً بوحادات االنتاا بحياث يسا ز تمييسهاا وتحديادها وربط اا ب اده
الكل ة ال ن ا رفت خصيصاً النتا منت معين وتشمز ( المواد المباارة–
االجور المباارة–
. ) المصاريف المباارة
، (العادلي واخرون0992
:
67
) 0
- التكاليف الغير م باارة : وهي التكاليف المرتبطة بغرض الكل اة لكان اليمكان تتبع اا لاة بطريقاة ممكناة اقتصاادياً وها ة التكااليف
يمكاان تخصيصاا ا لغاارض الكل ااة باسااتخدام طريقااة تخصاايص للكل ااة حيااث ان هاا ة التكاااليف تن ااق ماان اجااز خدمااة المصاانع او
المشااروع كوحاادة واحاادة واليوجااد بين ااا وبااين المناات الن ااائي ار تباطاااً مبااااراً وتشاامز ( المااواد غياار المباااارة–
االجااور غياار
المباارة–
) المصاريف غير المباارة 132 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة ، ( العناتي0222
:
07
) ، ( العناتي0222
:
07
) د- تبويب عنا ر التكاليف حسب عال قت ا بحجم االنتا
: ويدرم ه ا التبويب سلوك التكاليف اتجاة تقلبات حجم االنتا وطبقاً ل ا االسام فان عنا ر التكاليف تبوب الى
، (الرجبي0223
:
038
، ) ، (العادلي واخرون0992
:
70
) ي
(
ي
(
))
0
-
التكاليف المتغيرة : وهي التكاليف التي تتغير مجموع ا طردياً مع التغير في حجام النشااط ، فاأذا زاد حجام النشااط نسابة معيناة
فان التكاليف المتغيرة ستسداد بن س النسبة مع بقاء كل ة الوحدة الواحدة ثابتة التتغيار وتمتااز ها ة التكااليف بسا ولة تخصيصا ا
. على االقسام االنتاجية وتقع مسوؤلية الرقابة علي ا على مشرفي االنتا ا فان التكاليف المتغيرة ستسداد بن س النسبة مع بقاء كل ة الوحدة الواحدة ثابتة التتغيار وتمتااز ها ة التكااليف بسا ولة تخصيصا ا
. على االقسام االنتاجية وتقع مسوؤلية الرقابة علي ا على مشرفي االنتا
0
- ال تكاليف ال ابتة : وهي التكاليف التي تبقى ثابتة عند تغير حجم النشااط ضامن المادب المالئام ولكان نصايب الوحادة الواحادة من اا
. ًيتغير بتغير حجم النشاط ويكون التغير عكسيا ا
ي
عا
ما
0
- ال
تكاليف ال ابتة : وهي التكاليف التي تبقى ثابتة عند تغير حجم النشااط ضامن المادب المالئام ولكان نصايب الوح
. ًيتغير بتغير حجم النشاط ويكون التغير عكسيا ي
ير
وي ون
م
ي ير ب ير
3
- التكاليف المختلطة : وهي التكاليف التي تتميس بص تي التغير وال بات في ان واحد مقارنة بالتغيرات ا لحا لة في حجم المبيعاات
واالنتا خالو مدة معينة ف اي حالاة ان الصا ة المتغيارة هاي الغالباة تسامى فاي ها ة الحالاة تكااليف اابة متغيارة واماا اذا كانات
. الص ة الغالبة هي ال بات تسمى تكاليف ابة ثابتة هـ-
: تبويب عنا ر التكاليف حسب عالقت ا بمراكس المسوؤلية
تبوب عنا ر التك، اليف حسب وحدات االاراه والمسوؤلية الى : ( هيتجر وماتولتش0988
:
19
)
0
-
الكلف الخاضعة للرقابة : وهي الكلف التي يمكن التحكم ب ا من قبز الشخص المساوو عن القسم في وقت محدد وياسداد الاتحكم
ب ا كلما انخ ض المستوب االداري في الوحدة وتعد من الم اهيم ال امة لالدار ة في مجاو التخطيم والرقابة وتقويم ك اية االداء
0
-
الكلف الغير خاضعة للرقابة : وهي الكلف التي تحدث في مركس مساولية معينة وتكون غير خاضاعة ررادة الشاخص المسااوو
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة عن المركس واليمكن التحكم ب ا او التأثير علي ا ر
ما
ر س
و- تبويب عنا ر التكاليف حسب عالقت ا بال ترة المحاس: بية و
ر
ا
ي
ر
وي
ي
، اذ يمكن تبويب عنا ر التكاليف حسب ال ترة المحاسبية الى مجموعتين هما : (السيدية0220
:
13
-
14
)
0
-
الكل ة المستن دة : وهي الكل ة التي يتم ان اق ا مان اجاز الحصاوو علاى مناافع انياة اي ان اا التارتبم بانتاا االيارادات المساتقبلية
وان ااا مسااتن دة خااالو فتاارة واحاادة وت ساامى هاا ة الكل ااة بالمصاااريف م ااز االناادثار وااليجااار والصاايانة وال اارائب واالجااور
. وغيرها ، اذ يمكن تبويب عنا ر التكاليف حسب ال ترة المحاسبية الى مجموعتين هما : (السيدية0220
:
13
-
14
)
0
-
الكل ة المستن دة : وهي الكل ة التي يتم ان اق ا مان اجاز الحصاوو علاى مناافع انياة اي ان اا التارتبم بانتاا االيارادات المساتقبلية
وان ااا مسااتن دة خااالو فتاارة واحاادة وت ساامى هاا ة الكل ااة بالمصاااريف م ااز االناادثار وااليجااار والصاايانة وال اارائب واالجااور
. وغيرها 0
-
الكل ة غير المستن دة : وهي الكل ة التي يكون ل ا منافع في المستقبز اي ان ا ترتبم بانتا االيرادات المستقبلية وان اا كلاف غيار
مستن دة خالو فترة واحدة وانما يستمر استن ادها ل ترات محاسبية عدة ومحاسبياً يطلق على ه ة الكل ة باال وو م ز الب اعة
. ًواالثاث والمباني والمصاريف المدفوعة مقدما 0
-
الكل ة غير المستن دة : وهي الكل ة التي يكون ل ا منافع في المستقبز اي ان ا ترتبم بانتا االيرادات المستقبلية وان اا كلاف غيار
مستن دة خالو فترة واحدة وانما يستمر استن ادها ل ترات محاسبية عدة ومحاسبياً يطلق على ه ة الكل ة باال وو م ز الب اعة
. ًواالثاث والمباني والمصاريف المدفوعة مقدما : مفهوم خفض الكلفة – ًثالثا
لقد ا بحت عملية خ ض الكل ة محز اهتمام العديد من منظمات االعماو وا بحت بم ابة هده تسعى الية تلك المنظمات وذلك
لما. له من ارتباط مباار وماثر على حجم مبيعات ا وعلى مستوب االيرادات واالرباح التي تحقق ا
ولقد ااار العديد من الباح ين الى م وم عملية
خفض الكلفة اذ تم تعري ا بان ا " تحقيق وفورات حقيقية ومستمرة في كل ة الوحدة
من الب اعة المصنعة او الخدمة المقدمة دون التأثي، ر على مالئمت ا لالستخدام المطلوب " . ويمكن تلخيص
اهمية خفض الكلفة
،بارتي : (السامرائي0999
:
08
) 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة لكل ة اما الجسار فقد عره عملية
خفض الكلفة
بان ا " خطة ايجابية موضوعة لتحسين الك اءة عن طريق استبعاد ال ياع أواالسراه
" في االنتا وزيادة الك اءة في جميع المجاالت باستخدام وسائز متطورة لتقليز ه ا االسراه
، . (الجسار0972
:
309
)
عملية
خفض الكلفة
: بان ا " االسلوب المخطم وااليجابي لتحسين الك اءة ويمكن النظر الى ذلك من عدة زوايا هيBatty
في
حين عره استبعاد ال قد ، السرعة في انجاز العمليات ، زيادة االنتاجية ، او ايجاد الوسائز والطرق التي يكون من اأن ا احداث
، خ ض في كل ة الوحدة المنتجة ) . ( السامرائي0999
:
04
) مما تقدم من تعاريف فان الباحث يعره عملية خفض الكلفة بان ا " االستخدام االم ز لعنا ر التكاليف من مواد واجور
ومصاريف اثناء العملية االنتاجية عن طريق فحص ودراسة تكاليف االنتا والعمز على استبعاد ال يا عات واالجساء غير
. " ال رورية في االنتا من اجز انتا منتجات ذات كل ة منخ ة ونوعية مناسبة ومالئمة لالستخدام
اذ يجب ان تتم عملية خ ض الكل ة دون المسام بنوعية وموا ات المنت اذ ان استخدام مواد رديئة النوعية في االنتا كون ا
ذات كل ة منخ ة اليعد تخ ي اً ل. لكل ة . " ال رورية في االنتا من اجز انتا منتجات ذات كل ة منخ ة ونوعية مناسبة ومالئمة لالستخدام
اذ يجب ان تتم عملية خ ض الكل ة دون المسام بنوعية وموا ات المنت اذ ان استخدام مواد رديئة النوعية في االنتا كون ا
ذات كل ة منخ ة اليعد تخ ي اً ل. لكل ة ويمكن تلخيص
اهمية خفض الكلفة
،بارتي : (السامرائي0999
:
08
) 133 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة نتيجة الرتباط عملية خ ض الكل ة بالجانب المالي ف ي تم ز البرنام الرئيسي في تطوير ك اءة االداء لمنظمات االعماو
6
- ان عملية تخ يض التكاليف تساعد على توفير
االمواو الالزمة التي يمكن ان تستخدم ا المنظمة في الظروه الطارئة في تساديد
االلتسامات المالية المترتبة علي ا اماCurry&matz
فقد عرفوا التكاليف التسويقية بان ا " تلك المصاريف التي تبدأ عند انت اء تكاليف التصنيع اي عندما يتم اكماو نع
المنتجات وتصبح في حالة قابلة للبيع وتشمز المصاريف المتعلقة ببيع وتصريف المن" تجات (
(Matz & Curry , 1972 : 44
بينما يعرهMoscove
التكاليف التسويقية
بان ا " كز التكاليف ذات العالقة المبااارة بتساويق منتاو الشاركة لحاين و اولة الاى
المست لك
م ز مصاريف الخسن ورواتب رجاو البيع واالعالن ومصاريف التوزيع " (
(Moscove & Others, 1984:85 ومماا م تقاد
مان تعااريف فاان الباحاث يعاره التكااليف التساويقية بان اا " كافاة التكااليف المتعلقاة بالنشااط التساويقي للشاركة والتاي
تتحمل ااا بعااد
االنت اااء ماان عمليااة االنتااا والتااي تت اامن تكاااليف االعااالن والتااروي والخااسن والتوزيااع والبيااع والنقااز والدراسااات
والبحوث التسويقية وغيرها من التكال. " يف المرتبطة بالنشاط التسويقي : تبويب التكاليف التسويقية – ًخامسا
هناك العديد من االساليب التي يمكن اعتمادها في تبويب التكاليف التسويقية اذ ان ال ده من تبويب التكاليف التسويقية هو تحديد
تكل ة كز نشاط من االنشطة التسويقية المختل ة الخا ة بالشركة ب ده اح كام الرقابة علي ا والعمز على خ ا ومحاربة االسراه
. وال ياع ل ا وبما ينسجم مع ال ده ال ي تسعى ادارة الشركة الى تحقيقة
يبوب التكاليف التسويقية انسجاماً مع ال ده ال ي تسعى الى تحقيقة ادارة منظمات االعماوSicklc واستناداً الى ه ا الم وم فان
(Sicklc, 1974:572( :بالشكز االتي
0
-
ن قات البيع : والتي تشمز مصاريف ادارة التسويق و عمولة الوكالء ورواتب العاملين في قسم البيع ومصاريف التأمين
وال رائب وغيرها0
-
ن قات التوزيع : والتي تشمز تكاليف الخسن ورواتب العاملين في ا واندثارات المباني ومصاريف الشحن
والماء والك رب. اء
وان ال ده من ه ا التبويب هو الحصوو على درجة عالية من القدرة في قيام التكاليف من خالو الموازنات المعدة ل لك وما تم
تحقيقة
. لبلوغ ال ده المطلوب ، وبن س الوقت امكانية احتساب ومقارنة التكاليف التسويقية مابين المناطق الجغرافية المختل ة Others, 1984:87
فيرب بان التكاليف التسويقية( :يمكن ان تبوب وظي ياً الى ارتيMoscove
اما
0
-
. التكاليف المالية : وتشمز ال رائب والتأمين
0
-
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 0
-
. تتجلى اهمية خ ض الكل ة من العالقة القائمة ما بين الكل ة ومستوب الربح واسعار المنتجات او الخدمات التي تقدم ا المنظمة
0
- ان عملية خ ض الكل ة يساعد على تعسيس الموقع التنافسي للمن ظمة اذ ان تقديم منتجات باسعار معتدلة سوه يمكان المنظماة مان
. منافسة المنتجات االخرب في السوق وه ا يتوقف على مدب ك اءة االنتا ومدب انعكاسة على خ ض التكاليف
3
- ان تخ اايض التكاااليف يااادي الااى االقتصاااد والحااره فااي اسااتخدام عنا اار االنتااا النااة الطريااق السااليم الااى تحقيااق ال ك اااءة
. االنتاجية
4
-ان عمليااة خ ااض التكاااليف سااوه تساااعد المنظمااة علااى زيااادة ارباح ااا وتعسيااس رأساامال ا ممااا يمكن ااا ماان التوسااع فااي نشاااط ا 0
- تتجلى اهمية خ ض الكل ة من العالقة القائمة ما بين الكل ة ومستوب الربح واسعار المنتجات . ال جي
ل لك ان عملية خ ض الكل ة تعد من مساولية جميع الموظ ين والعاملين في المنظمة وان عملياة خ اض الكل اة تتااثر بمجم وعاة مان
. العوامز المترابطة مع بع ا البعض سواء كانت عوامز ادارية او تنظيمية او فنية او عوامز بيئية
1
-
. نتيجة الرتباط عملية خ ض الكل ة بالجانب المالي ف ي تم ز البرنام الرئيسي في تطوير ك اءة االداء لمنظمات االعماو
6توفير
ان عملية تخ يض التكاليف تساعد عل
تسديد
الظروه الطارئة ف
يمكن ان تستخدم ا المنظمة ف
االمواو الالزمة الت . ال جي
ل لك ان عملية خ ض الكل ة تعد من مساولية جميع الموظ ين والعاملين في المنظمة وان عملياة خ اض الكل اة تتااثر بمجم وعاة مان
.العوامز المترابطة مع بع ا البعض سواء كانت عوامز ادارية او تنظيمية او فنية او عوامز بيئية ع
1
-
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 7
-
تكاليف ما. سك حسابات المدينين : وتت من كل ة اعداد القائمة وارسال ا بالبريد وتسجيز مدفوعات المست لكين
8
-
. التكاليف االدارية : وتت من مصاريف المشره العام ومصاريف ال يافة ومصاريف االعداد (Lewis&Ralph, 1974:39
التكاليف التسويقية ( :الى ارتيLewis&Ralph بينما يبوب
0
-
. تكاليف البيع المباار : والتي تشمز طلبات البيع المباار ورواتب رجاو البيع
0
-
تكاليف االعالن والتروي : وتتعلق باالعالن والتروي لغرض تح يس الجم ور لعملية الشراء وتتحدد استناداً الى قيمة المبيعات
. السابقة
3
- تكاليف التوزيع المادي : والتي تتعلق بعملية الن قز والخسن ومستويات التخسين ويكون نسبت ا الى مجموع التكاليف اك ر مما هو
. علية في المجموعتين السابقتين 3
- تكاليف التوزيع المادي : والتي تتعلق بعملية الن قز والخسن ومستويات التخسين ويكون نسبت ا الى مجموع التكاليف اك ر مما هو
. علية في المجموعتين السابقتين وهناك من يبوب التكاليف التسويقية، حسب طبيعت ا كارتي : (البكري0220
:
367
)
0
-
التكاليف التسويقية المباارة : وهي التكاليف التي ترتبم ارتباطج مباارآ بالم نت والتي يمكن تخصيص ا وتوزيع ا مباارة
علية او ترتبم ارتباطج مباارآ باالقسام او بالمناطق التوزيعية (الجغرافية ) والتي يمكن ربط ا مباارة الى منطقة توزيعية معينة او
قسم معين فم آل تكاليف التعبئة والتغليف تعد بم ابة تكاليف تسويقية مباارة تخص المنت ال ي است اد من ه ة الخدمة وك لك
. تكاليف االعالن ورواتب رجاو البيع والتأمين وكافة المصاريف التي يمكن ربط ا مباارة بمنطقة توزيعية معينة او قسم معين
0
- التكاليف التسويقية الغير مباارة : وهي تلك التكاليف ال تي ترتبم باك ر من ج ة او نشاط اي ان ا تكاليف مشتركة بين مناطق
. التوزيع او بين المنتجات او بين طبقة السبائن م ز مصاريف الماء والك رباء واالدارة وخدمات البيع واندثارسيارة المبيعات ويمكن تبويب التكاليف التسويقية
اي ج حسب النشاط اي وفقج للعالقة بحجم المبيعات
،وكارتي : (الرجبي0223
:
042
)
0
-
التكاليف التسويقية ال ابتة : وهي التكاليف التي التتغير مع التغير في حجم المبيعات في حدود الطاقة التسويقية المتاحة وغالبج
ما ترتبم بالسمن اك ر من ارتباط ا بحجم المبيعات م ز رواتب المدراء والموظ ين باالقسام المختل ة الدارة ا لمبيعات وايجار
. المراكس والمعارض التسويقية والمخازن واست الك سيارات نقز المبيعات واست الك المباني والمعدات المستخدمة
0
-
التكاليف التسويقية المتغيرة : وهي تلك التكاليف التي تتغير طرديج مع التغير في حجم المبيعات م ز مصاريف التعبئة والتغليف
وعمولة وكالء البيع و. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة تكاليف الخسن : وتشمز تكاليف ااغاو البناية والمواد المساعدة وكل ة ماسك سجالت المخازن
3
-
كل ة تعسيس المبيعات : وتشمز االع. الن والتروي والدعاية والبحوث التسويقية
4
-
. كلف تجميع الطلبيات : وتشمز كلف الموظ ين ال ين يقومون باعداد م كرة احن الطلبية
1
-
. كل ة التعبئة والتغليف : وتشمز كل ة اعداد المنت للشحن
6
-
. تكاليف التوزيع والنقز : وتت من تكاليف نقز وتوزيع المنتجات للمست لك 6
-
. تكاليف التوزيع والنقز : وتت من تكاليف نقز وتوزيع المنتجات للمست لك 134 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة تكاليف احن ونقز المبيعات وتبوب
التكاليف التسويقية
اي ج حسب الوظائف الماداة من قبز المنظمة ويعد ه ا التبويب من اك ر االساليب ايوعج في تبويب
التكاليف التسويقية فكز وظي ة في الشركة تتحمز تكاليف معينة جراء ادائ ا ل لك النشاط ومجموع تكاليف ه ة االنشطة ستم ز
تكاليف التسويق التي تتحمل ا الشركة بصورة عامة . وان اعتماد ه ة الطريقة سيختلف من اركة الخرب تبعج لعدد الوظائف التي
تادي من قبز كز من ا والتي تحددها عوامز مختل ة كان يكون حجم الشركة او اسلوب العمز المستخدم او التنظيم الداخلي او
الموارد المالية المتاحة وغيره ا . : خصائص التكاليف التسويقية – ًسادسا
(Davis,1961:259( :تتميس التكاليف التسويقية بخصائص تختلف ب ا عن تكاليف االنتا من اهم ه ة الخصائص ما يلي
0
-
تمتاز معظم بنود التكاليف التسويقية بان ا غير مباارة االمر ال ي يادي الى عوبة ربط ا بتكل ة المنت الن ائي بع كس
. تكاليف االنتا
0
-
تتأثر التكاليف التسويقية بعوامز خارجية متعددة م ز فترات الروا والكساد في السوق وتغير النمم االست الكي والمنافسة
. وظ ور منتجات جديدة وتدخز الحكومة بالتشريعات المختل ة للحد من االستيراد والتصدير او تحديد اسعار بعض المنتجات
3
-
عوبة تحديد ا. ل ترة السمنية المست يدة من التكاليف التسويقية
4
-
عوبة قيام انتاجية التكاليف التسويقية على درجة الدقة فمن طبيعة التكاليف التسويقية ان ا ذات تأثير طويز االمد وه ا ما
. يخلف معوقج كبيرآ في قيام انتاجيت ا على امتداد تلك المدة
1
-
عوبة تجسئة التكاليف التسويقية فمن
. الخصائص التي تمتاز ب ا ه ة التكاليف هو عدم امكانية تجسئت ا
6
-
: تعدد طرق تحليز وتوزيع التكاليف التسويقية على وحدات الكل ة اذ هناك طرق مختل ة لتحليز التكاليف التسويقية وكأالتي
-
التحليز حسب خطوط االنتا : بمعنى تحليز التكاليف التسويقية على اسام المنتجات الرئ. يسية
-
التحليز حسب حجم المبيعات
-
التحليز حسب مناطق البيع : ويتم ه ا التحليز وفق المناطق الجغرافية لتوزيع المنتجات
-
التحليز حسب رجاو البيع
-
. التحليز حسب السبائن: ويتم ه ا التحليز حسب مجموعة السبائن او بحسب حجم التعامز : خصائص التكاليف التسويقية – ًسادسا
(Davis,1961:259( :تتميس التكاليف التسويقية بخصائص تختلف ب ا عن تكاليف االنتا من اهم ه ة الخصائص ما يلي
0
-
تمتاز معظم بنود التكاليف التسويقية بان ا غير مباارة االمر ال ي يادي الى عوبة ربط ا بتكل ة المنت الن ائي بع كس
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة تكاليف االنتا
0
-
تتأثر التكاليف التسويقية بعوامز خارجية متعددة م ز فترات الروا والكساد في السوق وتغير النمم االست الكي والمنافسة
. وظ ور منتجات جديدة وتدخز الحكومة بالتشريعات المختل ة للحد من االستيراد والتصدير او تحديد اسعار بعض المنتجات
3
-
عوبة تحديد ا. ل ترة السمنية المست يدة من التكاليف التسويقية
4
-
عوبة قيام انتاجية التكاليف التسويقية على درجة الدقة فمن طبيعة التكاليف التسويقية ان ا ذات تأثير طويز االمد وه ا ما
. يخلف معوقج كبيرآ في قيام انتاجيت ا على امتداد تلك المدة
1
-
عوبة تجسئة التكاليف التسويقية فمن
. الخصائص التي تمتاز ب ا ه ة التكاليف هو عدم امكانية تجسئت ا
6
-
: تعدد طرق تحليز وتوزيع التكاليف التسويقية على وحدات الكل ة اذ هناك طرق مختل ة لتحليز التكاليف التسويقية وكأالتي
-
التحليز حسب خطوط االنتا : بمعنى تحليز التكاليف التسويقية على اسام المنتجات الرئ. يسية
-
التحليز حسب حجم المبيعات
-
التحليز حسب مناطق البيع : ويتم ه ا التحليز وفق المناطق الجغرافية لتوزيع المنتجات
-
التحليز حسب رجاو البيع
-
. التحليز حسب السبائن: ويتم ه ا التحليز حسب مجموعة السبائن او بحسب حجم التعامز : خصائص التكاليف التسويقية – سادسا
(Davis,1961:259( :تتميس التكاليف التسويقية بخصائص تختلف ب ا عن تكاليف االنتا من اهم ه ة الخصائص ما يلي
0
-
تمتاز معظم بنود التكاليف التسويقية بان ا غير مباارة االمر ال ي يادي الى عوبة ربط ا بتكل ة المنت الن ائي بع كس
. تكاليف االنتا
0
-
تتأثر التكاليف التسويقية بعوامز خارجية متعددة م ز فترات الروا والكساد في السوق وتغير النمم االست الكي والمنافسة
. وظ ور منتجات جديدة وتدخز الحكومة بالتشريعات المختل ة للحد من االستيراد والتصدير او تحديد اسعار بعض المنتجات
3
-
عوبة تحديد ا. ل ترة السمنية المست يدة من التكاليف التسويقية
4
-
عوبة قيام انتاجية التكاليف التسويقية على درجة الدقة فمن طبيعة التكاليف التسويقية ان ا ذات تأثير طويز االمد وه ا ما
. يخلف معوقج كبيرآ في قيام انتاجيت ا على امتداد تلك المدة
1
-
عوبة تجسئة التكاليف التسويقية فمن
. الخصائص التي تمتاز ب ا ه ة التكاليف هو عدم امكانية تجسئت ا
6
-
: تعدد طرق تحليز وتوزيع التكاليف التسويقية على وحدات الكل ة اذ هناك طرق مختل ة لتحليز التكاليف التسويقية وكأالتي
-
التحليز حسب خطوط االنتا : بمعنى تحليز التكاليف التسويقية على اسام المنتجات الرئ. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة الجانب التطبيقي
للدراسة
يتناوو ه ا المبحث عرض البيانات التي أظ رت ا استمارة االساتبيان وتحليل اا فيماا يخاص التكااليف التساويقية اذ تام تصانيف
تلك التكاليف في االستمارة الى اربعة متغيرات رئيسية انسجامج مع مشكلة وفرضية الدراساة وبماا يحقاق ال اده المطلاوب مان تلاك
الدراسة ولقد استخدم الب احث ل ا الغرض مقيام
ليكرت الخماسي
الا ي يتاوزع باين اعلاي وزن لاه لل قارة (ات اق تماماج اعطيات1
درجااات ) ،ىلااى أوطااأ وزن لااه لل قاارة( ال ات ااق تماماااً وأعطياات0
درجااة) ،وبين مااا ثااالث أوزان أخاارب هااي (ات ااق أعطياات4
درجاات،ات ق ىلاى حاد ماا أعطيات3
درجاات،ال ات اق أعطيات0 درجاة) لتم ا ز حقاوو اججاباات ارخارب بعاد ذلاك تام عماز جادوو
التوزيعات التكرارية لمتغيرات الدراسة العتماد ه ا النوع من الجداوو جغراض عملية التحليز اجحصائي للحصوو على اروسااط
( الحسابية الموزونة ، واالنحرافات المعيارياة ،واعتماد الباحاث أي اا" علاى الوسام الحساابي ال رضاي الباالغ3
)
كمعياار مان اجاز
قيام وتقييم الدرجة المتحصز علي ا فيما يخاص متغيارات الدراساة. وبعاد اجاراء المعالجاة والتحلياز االحصاائي تام الحصاوو علاى
: االوساط الحسابية الموزونة واالهمية النسبية واالنحرافات المعيارية الجابات المبحوثين وبالشكز التالي
) الى التحليز االحصائي الستجابات افراد عينة الدراسة حوو متغير تكاليف0( يشير الجدوو : تكاليف االعالن والترويج -أوآل
. االعالن والتروي ، اذ يت من الجدوو الم كور االوساط الحسابية الموزونة واالنحرافات المعيارية واالهمية النسبية
( جدوو0
)
تكاليف االعالن والتروي الجانب التطبيقي
للدراسة
يتناوو ه ا المبحث عرض البيانات التي أظ رت ا استمارة االساتبيان وتحليل اا فيماا يخاص التكااليف التساويقية اذ تام تصانيف
تلك التكاليف في االستمارة الى اربعة متغيرات رئيسية انسجامج مع مشكلة وفرضية الدراساة وبماا يحقاق ال اده المطلاوب مان تلاك
الدراسة ولقد استخدم الب احث ل ا الغرض مقيام
ليكرت الخماسي
الا ي يتاوزع باين اعلاي وزن لاه لل قارة (ات اق تماماج اعطيات1
درجااات ) ،ىلااى أوطااأ وزن لااه لل قاارة( ال ات ااق تماماااً وأعطياات0
درجااة) ،وبين مااا ثااالث أوزان أخاارب هااي (ات ااق أعطياات4
درجاات،ات ق ىلاى حاد ماا أعطيات3
درجاات،ال ات اق أعطيات0 درجاة) لتم ا ز حقاوو اججاباات ارخارب بعاد ذلاك تام عماز جادوو
التوزيعات التكرارية لمتغيرات الدراسة العتماد ه ا النوع من الجداوو جغراض عملية التحليز اجحصائي للحصوو على اروسااط
( الحسابية الموزونة ، واالنحرافات المعيارياة ،واعتماد الباحاث أي اا" علاى الوسام الحساابي ال رضاي الباالغ3
)
كمعياار مان اجاز
قيام وتقييم الدرجة المتحصز علي ا فيما يخاص متغيارات الدراساة. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة يسية
-
التحليز حسب حجم المبيعات
-
التحليز حسب مناطق البيع : ويتم ه ا التحليز وفق المناطق الجغرافية لتوزيع المنتجات
-
التحليز حسب رجاو البيع
-
. التحليز حسب السبائن: ويتم ه ا التحليز حسب مجموعة السبائن او بحسب حجم التعامز : خصائص التكاليف التسويقية – سادسا
(Davis,1961:259( :تتميس التكاليف التسويقية بخصائص تختلف ب ا عن تكاليف االنتا من اهم ه ة الخصائص ما يلي
0
-
تمتاز معظم بنود التكاليف التسويقية بان ا غير مباارة االمر ال ي يادي الى عوبة ربط ا بتكل ة المنت الن ائي بع كس
. تكاليف االنتا اا ا
0
-
ا
تتأثر التكاليف التسويقية بعوامز خارجية متعددة م ز فترات الروا والكساد في السوق وتغير النمم االست
وظ ور منتجات جديدة وتدخز الحكومة بالتشريعات المختل ة للحد من االستيراد والتصدير او تحديد اسعار
3
-
عوبة تحديد ا. ل ترة السمنية المست يدة من التكاليف التسويقية ا
0
-
تتأثر التكاليف التسويقية بعوامز خارجية متعددة م ز فترات الروا والكساد في السوق وتغير النمم االست الكي والمنافسة
. وظ ور منتجات جديدة وتدخز الحكومة بالتشريعات المختل ة للحد من االستيراد والتصدير او تحديد اسعار بعض المنتجات
3
-
عوبة تحديد ا. ل ترة السمنية المست يدة من التكاليف التسويقية
4
- عوبة قيام انتاجية التكاليف التسويقية على درجة الدقة فمن طبيعة التكاليف التسويقية ان ا ذات تأثير طويز االمد وه ا ما س
ر
4
-
عوبة قيام انتاجية التكاليف التسويقية على درجة الدقة فمن طبيعة التكاليف التسويقية ان ا ذات تأثير طو
. يخلف معوقج كبيرآ في قيام انتاجيت ا على امتداد تلك المدة 135
المبحث الثالث 135
المبحث الثالث 135 الجانب التطبيقي
للدراسة ا ) الى التحليز االحصائي الستجابات افراد عينة الدراسة حوو متغير تكاليف0( يشير الجدوو : تكاليف االعالن والترويج -أوآل
. االعالن والتروي ، اذ يت من الجدوو الم كور االوساط الحسابية الموزونة واالنحرافات المعيارية واالهمية النسبية ( جدوو0
)
تكاليف االعالن والتروي أ
الوسم الحسابي الموز
ون واالنحراه المعياري واالهمية النسبية
3.23
64.50%
1.3625
المتغير
ت
ال قرات
ىجابات أفراد العينة
الماارات اجحصائية
ات ق تمامًًْ ا ات ق محايد ال ات ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تكاليف االعالن
والتروي
X1
4
10
3
7
2
3.46
69.17%
1.1025
X2
8
6
5
0
5
3.5
70.00%
1.5036
X3
10
5
4
5
0
3.83
76.67%
1.2039
X4
5
7
6
3
3
3.33
66.67%
1.3077
X5
0
0
10
4
10
2
40.00%
0.9325 ( ويت ح من النتائ الواردة في الجدوو0
: ) ما يأتي
0
- ىن الوسم الحسابي الموزون لمتغير تكالي( ف االعالن والتاروي بلاغ3203
( ) باانحراه معيااري بلاغ0236
)، وتباين ىن الوسام
(الحسابي الموزون اكبر من معيار االختبار ( أي الوسم الحسابي ال رضي) البالغ3
ً)، وه ا يعني باان ها ا المتغيار يعاد متغيارا
. واضحج جفراد عينة الدراسة
0 -
( بلغت ارهمية النسبية ل ا المتغير6421
) من وج اة نظار المساتجيبين، ويعاسب ذلاك ىلاى قاوة اماتالك ىفاراد عيناة الدراساة%
.للتصور حوو أهمية متغير تكاليف االعالن والتروي في مجتمع الدراسة ،مما يعني تبني مجتمع الدراسة ل ا المتغير
3
-
ان فقرات المتغير وهي(X4,X3,X2,X)
ًْ على المستوب الت صيلي قد حققت ارت اعا
في الوسم الحسابي الموزون مما يعني
( قوة تبني مجتمع الدراسة ل ه ال قرات اذ بلغت االوساط الحسابية على الترتياب3.33,3.83,3.5,3.46
) وها ا يعناي ان اا اكبار
( من معيار االختبار ( الوسم الحسابي ال رضي ) البالغ3 ) ودلت النتاائ علاى ان االهمياة النسابية لل قارات اعاال( ه69207
، %
72
،%
79267
، %
66267
%
( ) وكانت معامالت االنحرافات المعيارية لل قرات اعاله0202
،
021
،
020
،
023
) على التوالي مما يدو على
. قوة تبني مجتمع الدراسة للمتغيرات اعاله
4
- اما ال قرة
(
X5
)
( فقد كان الوسم الحسابي ل ا0) وان االهمية النسبية ل ا (
42
( ) وانحراف ا المعياري%
2293
) وذلك يدو على ضعف
تبني مجتمع. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة وبعاد اجاراء المعالجاة والتحلياز االحصاائي تام الحصاوو علاى
: االوساط الحسابية الموزونة واالهمية النسبية واالنحرافات المعيارية الجابات المبحوثين وبالشكز التالي الجانب التطبيقي
للدراسة ا لموزونة واالنحرافات المعيارية واالهمية النسبية 136
( جدوو0
) 136 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
تكاليف الخسن والتوزيع
المتغير
ت
ال قرات
ىجابات أفراد العينة
الماارات اجحصائية
ًات ق تماما ات ق محايد ال ات ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تك اليف الخسن
والتوزيع
X6
0
5
8
8
3
2.63
52.50%
0.9696
X7
0
5
4
0
15
1.96
39.17%
1.3015
X8
0
4
0
0
20
1.5
30.00%
1.1421
X9
0
2
0
0
22
1.25
25.00%
0.847
X10
0
2
8
7
7
2.21
44.17%
0.9771
الوسم الحسابي الموزون واالنحراه المعياري واالهمية النسبية
1.91
38.17%
1.1522 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
تكاليف الخسن والتوزيع 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
تكاليف الخسن والتوزيع المتغير
ت
ال قرات
ىجابات أفراد العينة
الماارات اجحصائية
ًات ق تماما ات ق محايد ال ات ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تك اليف الخسن
والتوزيع
X6
0
5
8
8
3
2.63
52.50%
0.9696
X7
0
5
4
0
15
1.96
39.17%
1.3015
X8
0
4
0
0
20
1.5
30.00%
1.1421
X9
0
2
0
0
22
1.25
25.00%
0.847
X10
0
2
8
7
7
2.21
44.17%
0.9771
الوسم الحسابي الموزون واالنحراه المعياري واالهمية النسبية
1.91
38.17%
1.1522 ( ويت ح من النتائ الواردة في الجدوو0
: ) ما يأتي
0
-
( أن الوسم الحسابي الموزون لمتغير تكاليف الخسن والتوزيع بلغ0290
( ) بانحراه معياري بلغ0201
)، وتبين ىن الوسم
(الحسابي الموزون اقز من معيار االختبار ( أي الوسم الحسابي ال رضي) البالغ3)، وه ا يعني ضعف تبني المتغير من قبز
( مجتمع الدراسة، وبلغت ارهمية النسبية ل ا المتغير من وج ة نظر افراد عينة الدراسة38207
. )% ( ويت ح من النتائ الواردة في الجدوو0
: ) ما يأتي
0
-
( أن الوسم الحسابي الموزون لمتغير تكاليف الخسن والتوزيع بلغ0290
( ) بانحراه معياري بلغ0201
)، وتبين ىن الوسم
(الحسابي الموزون اقز من معيار االختبار ( أي الوسم الحسابي ال رضي) البالغ3)، وه ا يعني ضعف تبني المتغير من قبز
( مجتمع الدراسة، وبلغت ارهمية النسبية ل ا المتغير من وج ة نظر افراد عينة الدراسة38207
. الجانب التطبيقي
للدراسة ا الدراسة ل ة ال قرة
الوسم الحسابي الموز
ون واالنحراه المعياري واالهمية النسبية
3.23
64.50%
1.3625
المتغير
ت
ال قرات
ىجابات أفراد العينة
الماارات اجحصائية
ات ق تمامًًْ ا ات ق محايد ال ات ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تكاليف االعالن
والتروي
X1
4
10
3
7
2
3.46
69.17%
1.1025
X2
8
6
5
0
5
3.5
70.00%
1.5036
X3
10
5
4
5
0
3.83
76.67%
1.2039
X4
5
7
6
3
3
3.33
66.67%
1.3077
X5
0
0
10
4
10
2
40.00%
0.9325 ( ويت ح من النتائ الواردة في الجدوو0
: ) ما يأتي اااا ) الى التحليز االحصائي الستجابات افراد عينة الدراسة متغير تكاليف الخسن0( يشير الجدوو : تكاليف الخزن والتوزيع – ثانيآ
والتوزيع ، اذ يت من الجدوو الم كور االوساط الحسابية ا. الجانب التطبيقي
للدراسة ا يت من الجدوو الم كور االوساط الحسابية الموزونة واالنحرافات المعيارية واالهمية النسبية 137 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
( الجدوو3
)
تكاليف البيع
المتغير ت ال قرات ىجابات أفراد العينة
الماارات اجحصائية
ًات ق تماما ات ق محايد ال ات
ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تكاليف البيع
ا
X11
2
10
4
5
3
3.13
62.50
%
1.227
X12
0
10
4
2
8
2.67
53.33
%
1.340
6
X13
3
3
10
2
6
2.79
55.83
%
1.318
1
X14
6
3
3
0
12
2.63
52.50
%
1.764
7
X15
12
2
2
5
3
3.63
72.50
%
1.582
9
الوسم الحسابي الموزون واالنحراه المعياري وارهمية النسبية
2.97
59.33
%
1.483
4 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
( الجدوو3
)
تكاليف البيع 202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة ( ويت ح من النتائ الواردة في الجدوو3
: ) ما يأتي
0
-
( تشير النتائ ىن الوسم الحسابي الموزون لمتغير تكاليف البيع بلاغ0297
( ) باانحراه معيااري بلاغ024
) ،وت باين ىن الوسام
( الحسابي الموزون اقز من الوسم الحساابي ال رضاي الباالغ3
) ، وها ا يعناي باان المتغيار ، يعاد متغياراً غيار واضاحاً جفاراد
. عينة الدراسة
0
-
(بلغت ارهمية النسبية ل ا المتغير تبلاغ19233
) مان وج اة نظارهم ،ويعاود ذلاك ىلاى انخ ااض مساتوب ىدراك ىفاراد عيناة%
الدرا
سااة رهميااة المتغياار علااى مسااتوب عمااز مجتمااع الدراسااة ،ويعااود ذلااك ىلااى ضااعف تبنااي فقاار ات المتغياار ماان قبااز مجتمااع
الدراسة. 3
-
( تشير النتائ الت صيلية ل ا المتغير ان ال قرات(X15, x11
( قد حققت ارت اعج في اوساط ا الحسابية اذ بلغات3203
،
3263
) باانحراه
( معيااري بلاغ0200
،
0218
( ) وكانات االهمياة النسابية ل ماا6021
، %
7021
) ، وذلاك يادو علاى قاوة تبناي%
. مجتمع الدراسة ل اتين ال قرتين
4
-
( اماا ال قااراتX14,x13,x12
4 )
( فقااد حققاات انخ اضااج فااي اوساااط ا الحسااابية الموزونااة اذ بلغاات0267
،
0279
،
0263
)
( بانحراه معياري بلغ على التوالي0234
،
0230
،
0276
) ، وان االهمية النسبية ل ة ال قارات مان وج اة نظار عيناة الدراساة
( بلغت13233
، %
11283
، %
1021) وه ة النتائ تدو على ضعف تبني مجتمع الدراسة لل قرات اعاله%
. الجانب التطبيقي
للدراسة ا )% 0
-
( تشير النتائ الت صيلية ل ا المتغير ان فقرات المتغير وهي(X10, x9, x8, x7, x6
قد حققت انخ اضج في الوسم الحسابي
الموزون
وال ي
بلغ على التوالي (
0263
،
0296
،
021
،
0201
،
0200
( ) عن معيار االختبار البالغ3
) ، ودلت النتائ ان
( االهمية النسبية ل ة ال قرات من وج ة نظر افراد عينة الدراسة بلغت على التوالي1021
، %
39207
، %
32
، %
01
، %
44
. ) % 0
-
( تشير النتائ الت صيلية ل ا المتغير ان فقرات المتغير وهي(X10, x9, x8, x7, x6
قد حققت انخ اضج في الوسم الحسابي
الموزون
وال ي
بلغ على التوالي (
0263
،
0296
،
021
،
0201
،
0200
( ) عن معيار االختبار البالغ3
) ، ودلت النتائ ان
( االهمية النسبية ل ة ال قرات من وج ة نظر افراد عينة الدراسة بلغت على التوالي1021
، %
39207
، %
32
، %
01
، %
44
. ) % 3
- بلغت معامالت االنحرافات المعيارية لل ق( رات اعالة2296
،
023
،
0204
،
2284
،
2297
) على التوالي وه ة النتائ تاكد
. على ان افراد عينة الدراسة مت قون على ضعف تبني مجتمع الدراسة لل قرات اعالة مما انعكس على اجابت م الدراسة حوو متغير تكاليف البيع، اذ ) الى التحليز االحصائي الستجابات افراد عينة3( يشير الجدوو : تكاليف البيع – ثالثآ
. الجانب التطبيقي
للدراسة ا متغيرا واضحا" جفراد عينة الدراسة
0
-
( بلغت ارهمية النسبية ل ا المتغير67233
) من وج ة نظرهم ،ويعود ذلك ىلى ارت اع مستوب ىدراك ىفاراد عيناة الدراساة%
. رهمية المتغير على مستوب عمز مجتمع الدراسة وتبني ه ا المتغير من قبل م
3 - تشااير النتااائ الت صاايلية ل اا ا المتغياار ان ال قاارات
(
(X20, x19,x16
قااد حققاات ارت اعااج فااي اوساااط ا الحسااابية اذ بل
غاات
(
321
،
4201
،
4203
( ) بانحراه معياري بلغ0201
،
0
،
2289
( ) وكانت االهمية النسبية ل ا72
،%
81
، %
8021
) %
. وذلك يدو على قوة تبني مجتمع الدراسة ل ة المتغيرات
4
- اظ ارت النتاائ ان
( ال قاارات( X18 ,x17
قاد حققات انخ اضااج فاي اوسااط ا الحسااابية الموزونا( ة اذ بلغاات0209
،
0267
)
باانحراه معيااري
( بلاغ علاى التاوالي0206
،
0207
) وكانات االهمياة النسابية ل ا ة ال قارات مان وج اة نظار عيناة الدراساة
(
41283
، %
13233 ) ، وه ة%
. الجانب التطبيقي
للدراسة ا 0
-
( تشير النتائ ىن الوسم الحسابي الموزون لمتغير تكاليف البيع بلاغ0297
( ) باانحراه معيااري بلاغ024
) ،وت باين ىن الوسام
( الحسابي الموزون اقز من الوسم الحساابي ال رضاي الباالغ3
) ، وها ا يعناي باان المتغيار ، يعاد متغياراً غيار واضاحاً جفاراد
. عينة الدراسة
0
-
(بلغت ارهمية النسبية ل ا المتغير تبلاغ19233
) مان وج اة نظارهم ،ويعاود ذلاك ىلاى انخ ااض مساتوب ىدراك ىفاراد عيناة%
الدرا
سااة رهميااة المتغياار علااى مسااتوب عمااز مجتمااع الدراسااة ،ويعااود ذلااك ىلااى ضااعف تبنااي فقاار ات المتغياار ماان قبااز مجتمااع
الدراسة. 3
(ا ال ق ا
ل ة ل ا ال ت
ال تائ الت
تش(ا ة اذ ل
اط ا ال
ا
ا ت ا ج ف
قق
ق3 03
3 63 3
-
( تشير النتائ الت صيلية ل ا المتغير ان ال قرات(X15, x11
( قد حققت ارت اعج في اوساط ا الحسابية اذ بلغات3203
،
3263
) باانحراه
( معيااري بلاغ0200
،
0218
( ) وكانات االهمياة النسابية ل ماا6021
، %
7021
) ، وذلاك يادو علاى قاوة تبناي%
. مجتمع الدراسة ل اتين ال قرتين ع
4
-
( اماا ال قااراتX14,x13,x12
4 )
( فقااد حققاات انخ اضااج فااي اوساااط ا الحسااابية الموزونااة اذ بلغاات0267
،
0279
،
0263
)
( بانحراه معياري بلغ على التوالي0234
،
0230
،
0276
) ، وان االهمية النسبية ل ة ال قارات مان وج اة نظار عيناة الدراساة
( بلغت13233
، %
11283
، %
1021) وه ة النتائ تدو على ضعف تبني مجتمع الدراسة لل قرات اعاله%
. ) الى التحليز االحصائي الستجابات افراد عينة الدراسة حوو4( يشير الجدوو : : تكاليف الدراسات والبحوث التسويقية – رابعآ
متغير تكاليف الدراسات والبحوث التسويقية، اذ يت من الجدوو الم كور االوساط الحسابية الموزونة واالنحرافات المعيارية
. واالهمية النسبية 138 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
( الجدوو4
)
تكاليف الدراسات والبحوث التسويقية
( ويت ح من النتائ الواردة في الجدوو4
: ) ما يأتي
0
-
تشير النتائ ىن الوسم الحسابي الموزون لمتغير ( تكااليف الدراساات والبحاوث التساويقية بلاغ3237
) باانحراه معيااري بلاغ
(
0231
( ) ،وتبين ىن الوسم الحسابي الماوزون اكبار مان الوسام الحساابي ال رضاي الباالغ3
) ، وها ا يعناي باان المتغيار يعاد
. الجانب التطبيقي
للدراسة ا متغيرا واضحا" جفراد عينة الدراسة
0
-
( بلغت ارهمية النسبية ل ا المتغير67233
) من وج ة نظرهم ،ويعود ذلك ىلى ارت اع مستوب ىدراك ىفاراد عيناة الدراساة%
. رهمية المتغير على مستوب عمز مجتمع الدراسة وتبني ه ا المتغير من قبل م
3 - تشااير النتااائ الت صاايلية ل اا ا المتغياار ان ال قاارات
(
(X20, x19,x16
قااد حققاات ارت اعااج فااي اوساااط ا الحسااابية اذ بل
غاات
(
321
،
4201
،
4203
( ) بانحراه معياري بلغ0201
،
0
،
2289
( ) وكانت االهمية النسبية ل ا72
،%
81
، %
8021
) %
. وذلك يدو على قوة تبني مجتمع الدراسة ل ة المتغيرات
4
- اظ ارت النتاائ ان
( ال قاارات( X18 ,x17
قاد حققات انخ اضااج فاي اوسااط ا الحسااابية الموزونا( ة اذ بلغاات0209
،
0267
)
باانحراه معيااري
( بلاغ علاى التاوالي0206
،
0207
) وكانات االهمياة النسابية ل ا ة ال قارات مان وج اة نظار عيناة الدراساة
(
41283
، %
13233 ) ، وه ة%
. النتائ تدو على ضعف تبني مجتمع الدراسة لل قرات اعالة
المتغير ت ال قرات ىجابات أفراد العينة الماارات اج حصائية
ًات ق تماما ات ق محايد ال ات ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تكاليف الدراسات والبحوث التسويقية
X16
7
6
3
8
0
3.5
70.00
%
1.251
1
X17
0
4
8
3
9
2.29
45.83
%
1.160
2
X18
0
10
2
6
6
2.67
53.33
%
1.274
X19
14
4
4
2
0
4.25
85.00
%
1.032
1
X20
10
8
5
1
0
4.13
82.50
%
0.899
9
الوسم الحسابي الموزون واالنحراه المعياري واالهمية النسبية
3.37
67.33
%
1.359
3 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
( الجدوو4
)
تكاليف الدراسات والبحوث التسويقية
( ويت ح من النتائ الواردة في الجدوو4
: ) ما يأتي
0
-
تشير النتائ ىن الوسم الحسابي الموزون لمتغير ( تكااليف الدراساات والبحاوث التساويقية بلاغ3237
) باانحراه معيااري بلاغ
(
0231
( ) ،وتبين ىن الوسم الحسابي الماوزون اكبار مان الوسام الحساابي ال رضاي الباالغ3
) ، وها ا يعناي باان المتغيار يعاد
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة البيع ياثر على اجمالي تكاليف الشركة ويساعد على زيادة مستوب ارباح ا
- ال تسعى الشركة الى تخ يض رواتب واجور رجاو البيع ومندوبي المبيعات غير الك وءين الى ادنى حد ممكن كما ان ا التسعى
الى تخ يض مصاريف ادارة المبيعات ومصاريف س ر وانتقاو رجاو البيع الى االس. واق ذات المبيعات المنخ ة
4
-
: اظ رت نتائ التحليز االحصائي حوو متغير تكاليف الدراسات والبحوث التسويقية ارتي
أ-
. ان تخ يض تكاليف الدراسات والبحوث التسويقية تاثر على اجمالي تكاليف الشركة وتساعد على زيادة مستوب ارباح ا
ب- التسعى الشركة الى تخ يض رواتب وا. جور الخبراء والمستشارين غير ال اعلين في المجاو التسويقي الى ادنى حد ممكن
-
. ان تخ يض تكاليف الدراسات والبحوث التسويقية التاثرعلى مستوب مبيعات الشركة وموق ا التنافسي في السوق
: التوصيات – ًثانيا : و ي ي
0
- ضاارورة ان تقااوم الشااركة بنشاار م ااوم النشاااط التسااويقي ومقوم اتااه وخصائصااة والتكاااليف المترتبااة عليااة لجميااع المااوظ ين
. والعاملين في الشركة من خالو اقامة البرام والدورات التدريبية ذات الصلة بالموضوع
0
-
ان تسعى الشركة الى تخ يض تكاليف االعالن والتروي كون ا تااثر بشاكز كبيار علاى اجماالي تكااليف الشاركة وعلاى ارباح اا
وعلى الموق. ف التنافسي ل ا في السوق
3
-
. ان تسعى الشركة الى االست ادة من نتائ عملية تخ يض تكاليف االعالن والتروي في قيام وتقييم ك اءة وفاعلية الشركة
4
-
ضرورة العمز على تخ يض رواتب واجور الوساطاء والماوزعين غيار الك اوءين واجاور العااملين فاي المخاازن الاى ادناى حاد
ممكن كون
ا
.تم ز نسبة كبيرة من اجمالي تكاليف الخسن والتوزيع
1
-
ان تسعى الشركة الى تخ يض مصاريف االدوات المكتبية ومصااريف االج اسة والمعادات المساتخدمة فاي مخاازن الشاركة الاى
. ادنى حد ممكن كون ا تاثر على اجمالي تكاليف الخسن والتوزيع
6
- ان تقاوم الشااركة بتخ ايض تكاااليف البياع ك ون ااا التااثر علااى مساتوب مبيعااات الشاركة وتاااثر بشاكز كبياار علاى اجمااالي تكاااليف
. الشركة وعلى مستوب ارباح ا
7
-
ضرورة تخ يض رواتب واجور رجاو البيع ومندوبي المبيعات غير الك وءين وتخ ايض مصااريف ادارة المبيعاات ومصااريف
س ر وانتقاو
رجاو البيع الى االسواق ذات المبيعات الم
نخ ة 0
- ضاارورة ان تقااوم الشااركة بنشاار م ااوم النشاااط التسااويقي ومقوم اتااه وخصائصااة والتكاااليف المترتبااة عليااة لجميااع المااوظ ين
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة المبحث الرابع
االستنتاجات
والتوصيات ع
االستنتاجات
والتوصيات
: االستنتاجات – ًأوال
0
-
: اظ رت نتائ التحليز االحصائي حوو متغير تكاليف االعالن والتروي ارتي
أ-
. تستطيع الشركة المدروسة من تخ يض تكاليف االعالن والتروي مع المحافظة على ن س حجم مبيعات ا في السوق
ب- ان تخ يض تكاليف االعالن والتروي يساعد الشرك ة على بيع منتجات ا بأقز االسعار مما يمنح ا ميسة تنافسية تعسز بقائ ا في
. السوق
-
.ان تخ يض تكاليف االعالن والتروي تاثر وبشكز كبير على اجمالي تكاليف الشركة وتساعد على زيادة مستوب ارباح ا
د- يمكن االست ادة من نتائ عملية تخ يض تكاليف االعالن والتروي من اج. ز قيام وتقييم ك اءة وفاعلية الشركة المدروسة
0
-
: اظ رت نتائ التحليز االحصائي حوو متغير تكاليف الخسن والتوزيع ارتي
أ-
ان الشركة المدروسة التساعى الاى تخ ايض رواتاب واجاور الوساطاء والماوزعين غيار الك اوءين ورواتاب واجاور العااملين فاي
. المخازن الى ادنى حد ممكن
ب-
ان تخ يض تكاليف الخسن والتوزياع للشاركة التااثر بشاكز كبيار علاى اجماالي تكااليف الشاركة وعلاى مساتوب ارباح اا وعلاى
موق ا التنافسي
-
. اليمكن االعتماد على نتائ عملية تخ يض تكاليف الخسن والتوزيع في قيام وتقييم ك اءة وفاعلية الشركة
د- التسعى الشركة الى تخ يض مصاري ف االدوات المكتبية ومصاريف االج سة والمعادات المساتخدمة فاي المخاازن الاى ادناى حاد
. ممكن
3ار
كال ف ال
و
ا
ال ل ز اال
ا
اظ ي
-
. اليمكن االعتماد على نتائ عملية تخ يض تكاليف الخسن والتوزيع في قيام وتقييم ك اءة وفاعلية الشركة
د- التسعى الشركة الى تخ يض مصاري ف االدوات المكتبية ومصاريف االج سة والمعادات المساتخدمة فاي المخاازن الاى ادناى حاد
. ممكن ا -
. اليمكن االعتماد على نتائ عملية تخ يض تكاليف الخسن والتوزيع في قيام وتقييم ك اءة وفاعلية الشركة
د- التسعى الشركة الى تخ يض مصاري ف االدوات المكتبية ومصاريف االج سة والمعادات المساتخدمة فاي المخاازن الاى ادناى حاد
. ممكن ا 3
-
: اظ رت نتائ التحليز االحصائي حوو متغير تكاليف البيع ارتي
أ-
.ان تخ يض تكاليف البيع الياثر على الحصة السوقية لمبيعات الشركة وعلى الموقف التنافسي ل ا
ب- ان تخ يض تكاليف
. الجانب التطبيقي
للدراسة ا النتائ تدو على ضعف تبني مجتمع الدراسة لل قرات اعالة
المتغير ت ال قرات ىجابات أفراد العينة الماارات اج حصائية
ًات ق تماما ات ق محايد ال ات ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تكاليف الدراسات والبحوث التسويقية
X16
7
6
3
8
0
3.5
70.00
%
1.251
1
X17
0
4
8
3
9
2.29
45.83
%
1.160
2
X18
0
10
2
6
6
2.67
53.33
%
1.274
X19
14
4
4
2
0
4.25
85.00
%
1.032
1
X20
10
8
5
1
0
4.13
82.50
%
0.899
9
الوسم الحسابي الموزون واالنحراه المعياري واالهمية النسبية
3.37
67.33
%
1.359
3 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
( الجدوو4
)
تكاليف الدراسات والبحوث التسويقية
المتغير ت ال قرات ىجابات أفراد العينة الماارات اج حصائية
ًات ق تماما ات ق محايد ال ات ق
ال ات ق
ًتماما
الوسم
الحسابي
الموزون
ارهمية
النسبية
%
االنحراه
المعياري
تكاليف الدراسات والبحوث التسويقية
X16
7
6
3
8
0
3.5
70.00
%
1.251
1
X17
0
4
8
3
9
2.29
45.83
%
1.160
2
X18
0
10
2
6
6
2.67
53.33
%
1.274
X19
14
4
4
2
0
4.25
85.00
%
1.032
1
X20
10
8
5
1
0
4.13
82.50
%
0.899
9
الوسم الحسابي الموزون واالنحراه المعياري واالهمية النسبية
3.37
67.33
%
1.359
3 4
- اظ ارت النتاائ ان
( ال قاارات( X18 ,x17
قاد حققات انخ اضااج فاي اوسااط ا الحسااابية الموزونا( ة اذ بلغاات0209
،
0267
)
باانحراه معيااري
( بلاغ علاى التاوالي0206
،
0207
) وكانات االهمياة النسابية ل ا ة ال قارات مان وج اة نظار عيناة الدراساة
(
41283
، %
13233 ) ، وه ة%
. النتائ تدو على ضعف تبني مجتمع الدراسة لل قرات اعالة 139 202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة المصادر :المصادر االجنبية-ًثانيا : المصادر العربية - أوال
0
-
، زينز ، سناء سعيد " استخدام البرمجة الخطية في تحديد تشكيلة االنتاج المثلى لتحقيق الحد االدناى للكلاف أو تعظايم هاام
" المساهمة ، رسالة ماجستير غير منش ، ورة ، جامعة بغداد ، كلية االدارة واالقتصاد09922
0
-
، عبد اللطيف ، نا ر نور الدين" " مدخل الى انظمة قياس التكاليف
، ، الدار الجامعية ، االسكندرية0220
. 3
-
، السيدية ، محمد علي احماد" " محاسابة التكااليف دراساة نظرياة واجاراءات تطبيقياة ، الطبعاة ال انياة ، دار
الكتاب للطباعاة
، والنشر
،المو ز0220 ز
و . 4
-
الرجبي ، تيسير محمد ،
“
" محاسبة التكاليف
، ، دار وائز للنشر ، عمان ، الطبعة ال ال ة0223
. 8
-
، العناتي ، رضوان محمد
" محاسبة التكا" ليف
، ، الطبعة االولى ، دار الص ا للنشر والتوزيع ، عمان02222
9
-
، هيتجر ، ليستر وماتولتش ، سير" " المحاسبة االدارية
، ، الطبعة العربية ، دار المريخ للنشر ، الرياض09882
02
-
، السويناي ، خديجاة جمعاة " دور التجاارة االلكترونيااة فاي تخفايض التكااليف– دراساة تطب يقيااة فاي الشاركة العاماة لتجااارة
" السيارات والمكائن ، مجلة االدارة واالقتصاد ، الجامعة المستنصرية ، العدد67
،
0227
. 00
-
، الجسار ، محمد محمد" " محاسبة التكاليف أداة تحليلية تساند االدارة في تحقيق االهداف
، مطاابع ساجز العارب ، مصار
،
09722 00
-
السامرائي ، احمد ، عبد الدائم" " تخفيض تكاليف المنتوج باستخدام اسلوب تحليل القيمة
، رسالة دبلوم عالي فاي محاسابة
، التكاليف الم ني ، كلية االدارة واالقتصاد ، جامعة بغداد0999
. ب
جا
ار و
ي
ي
ي
03
-
، البكري ، ثامر ياسر" "ادارة التسويق
، ، بغداد ، الدار الجامعية للطباعة والنشر0220
. 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة والعاملين في الشركة من خالو اقامة البرام والدورات التدريبية ذات الصلة بالموضوع
0
-
ان تسعى الشركة الى تخ يض تكاليف االعالن والتروي كون ا تااثر بشاكز كبيار علاى اجماالي تكااليف الشاركة وعلاى ارباح اا
وعلى الموق. ف التنافسي ل ا في السوق . والعاملين في الشركة من خالو اقامة البرام والدورات التدريبية ذات الصلة بالموضوع
0
-
ان تسعى الشركة الى تخ يض تكاليف االعالن والتروي كون ا تااثر بشاكز كبيار علاى اجماالي تكااليف الشاركة وعلاى ارباح اا
وعلى الموق. ف التنافسي ل ا في السوق
3
-
. ان تسعى الشركة الى االست ادة من نتائ عملية تخ يض تكاليف االعالن والتروي في قيام وتقييم ك اءة وفاعلية الشركة
4
-
ضرورة العمز على تخ يض رواتب واجور الوساطاء والماوزعين غيار الك اوءين واجاور العااملين فاي المخاازن الاى ادناى حاد
ممكن كون
ا
.تم ز نسبة كبيرة من اجمالي تكاليف الخسن والتوزيع
1
-
ان تسعى الشركة الى تخ يض مصاريف االدوات المكتبية ومصااريف االج اسة والمعادات المساتخدمة فاي مخاازن الشاركة الاى
. ادنى حد ممكن كون ا تاثر على اجمالي تكاليف الخسن والتوزيع
6
- ان تقاوم الشااركة بتخ ايض تكاااليف البياع ك ون ااا التااثر علااى مساتوب مبيعااات الشاركة وتاااثر بشاكز كبياار علاى اجمااالي تكاااليف
. الشركة وعلى مستوب ارباح ا
7
-
ضرورة تخ يض رواتب واجور رجاو البيع ومندوبي المبيعات غير الك وءين وتخ ايض مصااريف ادارة المبيعاات ومصااريف
س ر وانتقاو رجاو البيع الى االسواق ذات المبيعات الم. نخ ة
8
-
ان تسعى الشركة الى تخ يض تكاليف الدراسات والبحوث التسويقية كون ا التاثر على حجم مبيعات ا وكون ا تاثر علاى اجماالي
تكاليف
. الشركة وعلى مستوب ارباح ا
9
-
ضرورة العمز على تخ يض رواتب واجور الخبراء والمستشارين غير ال اعلين في المجاو التسويقي الى ادنى حد ممكن كون اا
تاثر
. على اجمالي تكاليف الدراسات والبحوث التسويقية 140 المصادر المصادر
: المصادر العربية - ًأوال
0
-
، زينز ، سناء سعيد " استخدام البرمجة الخطية في تحديد تشكيلة االنتاج المثلى لتحقيق الحد االدناى للكلاف أو تعظايم هاام
" المساهمة ، رسالة ماجستير غير منش ، ورة ، جامعة بغداد ، كلية االدارة واالقتصاد09922
0
-
، عبد اللطيف ، نا ر نور الدين" " مدخل الى انظمة قياس التكاليف
، ، الدار الجامعية ، االسكندرية0220
. 3
-
، السيدية ، محمد علي احماد" " محاسابة التكااليف دراساة نظرياة واجاراءات تطبيقياة ، الطبعاة ال انياة ، دار
الكتاب للطباعاة
، والنشر
، المو ز0220
. 4
-
الرجبي ، تيسير محمد ،
“
" محاسبة التكاليف
، ، دار وائز للنشر ، عمان ، الطبعة ال ال ة0223
. 1
-
، االرياني ، محمد ف ز محمد" " االطار النظري والعملي لمحاسبة التكاليف
، ، الطبعة الخامسة0220
. 6
- باسيلي ، مكرم ع ، بد المسيح" " محاسبة التكاليف االصالة والمعاصرة
، ، الطبعة ال ال ة ، المكتبة العصرية0220
. 7
-
، العادلي ،يوسف وعبد الرحيم ، علي والعظمة ، محمد" " اساسيات التكاليف والمحاسبة االدارية
، ذات السالساز ، الكويات
،
09922
8
-
، العناتي ، رضوان محمد
" محاسبة التكا" ليف
، ، الطبعة االولى ، دار الص ا للنشر والتوزيع ، عمان02222
9
-
، هيتجر ، ليستر وماتولتش ، سير" " المحاسبة االدارية
، ، الطبعة العربية ، دار المريخ للنشر ، الرياض09882
02
-
، السويناي ، خديجاة جمعاة " دور التجاارة االلكترونيااة فاي تخفايض التكااليف– دراساة تطب يقيااة فاي الشاركة العاماة لتجااارة
" السيارات والمكائن ، مجلة االدارة واالقتصاد ، الجامعة المستنصرية ، العدد67
،
0227
. 00
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، الجسار ، محمد محمد" " محاسبة التكاليف أداة تحليلية تساند االدارة في تحقيق االهداف
، مطاابع ساجز العارب ، مصار
،
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السامرائي ، احمد ، عبد الدائم" " تخفيض تكاليف المنتوج باستخدام اسلوب تحليل القيمة
، رسالة دبلوم عالي فاي محاسابة
، التكاليف الم ني ، كلية االدارة واالقتصاد ، جامعة بغداد0999
. 03
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، البكري ، ثامر ياسر" "ادارة التسويق
، ، بغداد ، الدار الجامعية للطباعة والنشر0220
. wis & Ralph , “ Management uses of accounting planning and control for profit “ ,
74. : المصادر االجنبية - ًثانيا اج بي
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Horngren, Charles, T., Foster, George & Srikant, M. Datar, "Cost Accounting: A
managerial Emphasis", 10th Ed, Prentic- Hall, Inc, 2000. 2-
Moscove ,Stephan A & Crowing Shield ,Gerald R & Gorman , Kenneth A , “ COST
ACCOUNTING “, 5th ed , Boston , 1984. 2-
Moscove ,Stephan A & Crowing Shield ,Gerald R & Gorman , Kenneth A , “ CO
ACCOUNTING “, 5th ed , Boston , 1984. 3-
Matz,Adolph & Usry ,Milton F .& Hammer ,Lawerence H ., “ Cost Accounting Planning
and Control “
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nnon, Tom,”Basic Marketing” , 4th, ed, Carrell publishers Limited , London,1996. th 4-
Cannon, Tom,”Basic Marketing” , 4th, ed, Carrell publishers Limited , Lon
th 5- Matz & Curry –“ cost accounting ,planning and control “ , 5th ed , 1972. d 5- Matz & Curry –“ cost accounting ,planning and control “ , 5th ed , 1972. 6- Sickle,Clarence,L. , “Cost accounting Fundamentals and Procedures “, 2nd ed, New York
,1974 . d 6- Sickle,Clarence,L. , “Cost accounting Fundamentals and Procedures “, 2nd ed, New York
,1974 . d 7
Davis, Kenneth,R. Marketing Management , 3 ed , Donald press Co ,New York ,1961
8- Lewis & Ralph , “ Management uses of accounting planning and control for profit “ ,
1974 8- Lewis & Ralph , “ Management uses of accounting planning and control for profit “ ,
1974. 8- Lewis & Ralph , “ Management uses of accounting planning and control for profit “ ,
1974. 141 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة السالم عليكم ورحمة هللا وبركاته االخ المستجوب المحتر
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. : المصادر االجنبية - ًثانيا ميسة تنافسية تدعم بقائ ا في السوق
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. الشركة على زيادة مستوب ارباح ا
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4
ال تاثر عملية نخ يض تكاليف االعالن
والتروي
على اجمالي تكاليف الشركة وعلى
مستوب
ارباح ا وموق ا التنافسي في السوق
. 1 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة : المصادر االجنبية - ًثانيا )االعمال دراسة تطبيقية في شركة زين لألتصاالت والتي نسعى من خالل ا الى استطالع ارائكم حوو ال قرات الموجودة
وان اجابتكم الدقيقة حول ا سوه يساهم في
تحقيق اهاد اه الدراساة لا ا يرجاى ت الكم باختياار االجاباة التاي ترون اا اك ار انساجامج ماع الواقاع ال علاي لعماز
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واملنااا كبياار فااي تعاااونكم معنااا فااي قااراءة فقاارات االسااتمارة واالجابااة عن ااا فااي ضااوء خباارتكم ورؤيااتكم لعمااز
الشااركة علمااج ان كااز المعلومااات التااي ت اامنت ا االسااتمارة سااوه تسااتخدم
الغااراض البحااث العلمااي فقاام وان
اي است سار يتعلق ب قرات االستبانة
استعداد تام للتوضيح واالجابة عل
الباحث عل والتي نسعى من خالل ا الى استطالع ارائكم حوو ال قرات الموجودة
وان اجابتكم الدقيقة حول ا سوه يساهم في
تحقيق اهاد اه الدراساة لا ا يرجاى ت الكم باختياار االجاباة التاي ترون اا اك ار انساجامج ماع الواقاع ال علاي لعماز
.الشركة واملنااا كبياار فااي تعاااونكم معنااا فااي قااراءة فقاارات االسااتمارة واالجابااة عن ااا فااي ضااوء خباارتكم ورؤيااتكم لعمااز
الشااركة علمااج ان كااز المعلومااات التااي ت اامنت ا االسااتمارة سااوه تسااتخدم
الغااراض البحااث العلمااي فقاام وان
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م.م علي قاسم حسن العبيدي
20
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2010 142 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
أوآل–
: معلومات شخصية
يرجى وضع عالمة ( ) في المربع المناسب
العمر
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سنة فأك ر 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 143 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
: االسئلة المتعلقة بمتغيرات الدراسة -ثانيآ
0
-
تكاليف االعالن والتروي :وتتم ز بكاف ة التكاليف المتعلقة بالنشاط الترويجي والتي تتحمل ا الشركة من اجز االعالن والتروي عن
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مقارنة بالشركات المماثلة مما يمنح ا
. : االسئلة المتعلقة بمتغيرات الدراسة -ثانيآ المكتبية لمخسن الشركة وتكاليف نقز وتوزيع منتجات الشركة للمست لك
3
-
تكاليف البيع : وتتم ز بكافة التكاليف التي تتحمل ا الشركة من اجز بيع منتجات ا من رواتب واجور رجاو البيع وادارة المبيعات
وغيرها من ال. تكاليف ذات العالقة بالنشاط البيعي
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0
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. في مخازن الشركة الى ادنى حد ممكن
4
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0
تعمز الشركة على تخ يض رواتب واجور
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تسعى الشركة الى تخ يض مصاريف ادارة
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. ارباح ا
1 0
-
تكاليف الخسن والتوزيع : وتشمز كافة تكاليف خسن منتجات الشركة ورواتب العاملين في المخازن وتكاليف االدوات والمعدات
. المكتبية لمخسن الشركة وتكاليف نقز وتوزيع منتجات الشركة للمست لك ال اتفق
بشدة
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0
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من اجمالي تكاليف الشركة ويساعدهاعلى
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0
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3
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ومصاريف االج سة والمعدات المستخدمة
. : االسئلة المتعلقة بمتغيرات الدراسة -ثانيآ 0
-
تكاليف االعالن والتروي :وتتم ز بكاف ة التكاليف المتعلقة بالنشاط الترويجي والتي تتحمل ا الشركة من اجز االعالن والتروي عن
. منتجات ا ال اتفق
بشدة
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. ميسة تنافسية تدعم بقائ ا في السوق
0
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الشركة مع المحافظة على ن س مستوب
مبيعات ا
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ك اءة وفاعلية ممكنة
4
ال تاثر عملية نخ يض تكاليف االعالن
والتروي
على اجمالي تكاليف الشركة وعلى
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ارباح ا وموق ا التنافسي في السوق
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0
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ال تاثر عملية نخ يض تكاليف االعالن
والتروي
على اجمالي تكاليف الشركة وعلى
مستوب
ارباح ا وموق ا التنافسي في السوق
. 1 144 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
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تكاليف الخسن والتوزيع : وتشمز كافة تكاليف خسن منتجات الشركة ورواتب العاملين في المخازن وتكاليف االدوات والمعدات
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تكاليف الخسن والتوزيع : وتشمز كافة تكاليف خسن منتجات الشركة ورواتب العاملين في المخازن وتكاليف االدوات والمعدات
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1 3
-
تكاليف البيع : وتتم ز بكافة التكاليف التي تتحمل ا الشركة من اجز بيع منتجات ا من رواتب واجور رجاو البيع وادارة المبيعات
وغيرها من ال. تكاليف ذات العالقة بالنشاط البيعي
ال اتفق
بشدة
ال اتفق محايد
اتفق
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بشدة
الفقرة ت
ان تخ يض تكاليف البيع الياثر على الحصة
. السوقية لمبيعات الشركة
0
تعمز الشركة على تخ يض رواتب واجور
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0
تساعد عملية تخ يض تكاليف البيع الشركة
على
بيع منتجات ا باسعار منخ ة تعسز
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تسعى الشركة الى تخ يض مصاريف ادارة
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تكاليف الشركة ويساعد على زيادة مستوب
. ارباح ا
1 145 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة
4
-
تكاليف الدراسات والبحوث التسويقية : وتتم ز بكافة التكاليف التي تتحمل ا الشركة من رواتب واجور الموظ ين والعاملين في
قسم
البحوث التسويقية وتكاليف اجراء الدراسات والبحوث التسويقية وتكاليف جمع وتبويب وتحليز البيانات والمعلومات ذات العالقة بالنشاط
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ال اتفق
بشدة
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0
تعمز الشركة على تخ يض رواتب واجور
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4
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4
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تكاليف الدراسات والبحوث التسويقية : وتتم ز بكافة التكاليف التي تتحمل ا الشركة من رواتب واجور الموظ ين والعاملين في
قسم
البحوث التسويقية وتكاليف اجراء الدراسات والبحوث التسويقية وتكاليف جمع وتبويب وتحليز البيانات والمعلومات ذات العالقة بالنشاط
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ال اتفق
بشدة
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اتفق
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بشدة
الفقرة ت
ان تخ يض تكاليف الدراسات والبحوث
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0
تعمز الشركة على تخ يض رواتب واجور
الخبراء والمستشارين في مجاو التسويق
. غير ال اعلين
0
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التسويقية يساعد الشركة على بيع منتجات ا
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الشركة
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4
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. التسويقية يساعد على زيادة ارباح الشركة
1 4
-
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Praktik Promo Tebus Murah Merchant Alfamart dalam Perspektif Al-Uqud Al-Mutaqabilah
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Praktik Promo Tebus Murah Merchant Alfamart dalam
Perspektif Al-Uqud Al-Mutaqabilah
Miftah Rizky Nur Alfiani, Redi Hadiyanto* Prodi Hukum Ekonomi Syariah, Fakultas Syariah, Universitas Islam Bandung, Indonesia Prodi Hukum Ekonomi Syariah, Fakultas Syariah, Universitas Islam Bandung, Indonesia A R T I C L E I N F O A R T I C L E I N F O
Article history :
Received : 9/8/2022
Revised
: 10/12/2022
Published : 27/12/2022
Creative Commons Attribution-
NonCommercial-ShareAlike 4.0
International License. Volume
: 2
No. : 2
Halaman : 93-98
Terbitan
: Desember 2022 Article history :
Received : 9/8/2022
Revised
: 10/12/2022
Published : 27/12/2022 Article history :
Received : 9/8/2022
Revised
: 10/12/2022
Published : 27/12/2022 Article history : Praktik tebus murah yang dikeluarkan merchant di Alfamart ini menggunakan
dua akad dalam satu waktu, banyak pendapat yang menyatakan bahwa program
alfamart ini sah atau tidak sah sehingga perlu ada tindakan untuk menjelaskan
keabsahan hukumnya. Tujuan dari penelitian ini untuk mengetahui dan
mendalami terkait hukum praktik promo tebus murah merchat di Alfamart
dengan menggunakan teori akad mutaqabillah dalam multi akad. Guna
menjawab permasalahan penelitian ini, metode yang digunakan adalah kualitatif
dengan pendekatan deskriptif analitik normatif. Kesimpulan dari hasil penelitian
terkait fenomena praktik promo tebus murah berdasarkan substansi menyatakan
bahwa praktik promo tebus murah oleh merchant Alfamart dalam persprektif al-
uqud al-mutaqabilah adalah diperbolehkan dengan alasan atas dasar نَع ضََََت,
juga adanya kesempurnaan dalam pemenuhan akad. Namun jika diperhatikan
dari fenomena praktik promo tebus murah yang terjadi, terlihat adanya
pelaksanaan multi akad dalam satu waktu, sehingga inilah yang mengakibatkan
bahwa praaktik tersebut menjadi tidak boleh, hal ini sesuai dengan hadist nabi
yang menjelaskan bahwa dua akad dalam satu waktu masuk dalam kategori
yang di haramkan. Creative Commons Attribution-
NonCommercial-ShareAlike 4.0
International License. Creative Commons Attribution-
NonCommercial-ShareAlike 4.0
International License. Creative Commons Attribution-
NonCommercial-ShareAlike 4.0
International License. Volume
: 2
No. : 2
Halaman : 93-98
Terbitan
: Desember 2022 Kata Kunci : Tebus Murah; Akad; Multi Akad. Kata Kunci : Tebus Murah; Akad; Multi Akad. @ 2022 Jurnal Riset Hukum Ekonomi Syariah Unisba Press. All rights reserved. Corresponding Author : *redihadiyanto@gmail.com
Indexed : Garuda, Crossref, Google Scholar
DOI : https://doi.org/10.29313/jres.v2i2.1198 A.
Pendahuluan Pada hakikatnya manusia adalah makhluk sosial. Dalam perannya sebagai makhluk sosial dikenal
dalam Islam adalah istilah muamalat. Kesejahteraan masyarakat tentu sangat penting untuk dipertahankan. Oleh karena itu kebutuhan haruslah terpenuhi untuk menjadikan dunia menjadi terus hidup. Salah satunya yaitu dengan bermuamalat, muamalah merupakan salah satu bagian dari hukum Islam
yang mengatur hubungan antar manusia dalam masyarakat berkenaan dengan transaksi benda, jasa, dan
kewajiban finansial. Jadi jual beli tebus murah adalah metode belanja murah, akan tetapi harus mengikuti
ketentuan yang telah ditetapkan oleh perusahaan tersebut, dan di dalam promosi tersebut disertai dengan
adanya batas berlakunya promosi, batas pemakaian tidak bisa digunakan dengan berkelipatan itu sendiri. Jual
beli seperti ini termasuk kategori jual beli bersyarat, karena mensyaratkan seseorang untuk membeli sesuatu
yang lain, agar bisa mendapatkan sesuatu yang konsumen inginkan. Pembahasan fiqh al muamalah pandangan Wahbah Zuhaili sangat luas, mulai dari hukum pernikahan,
transaksi jual beli, hukum pidana, hukum perdata, hukum perundang-undangan, hukum kenegaraan,
keuangan, ekonomi, hingga akhlak dan etika. Tentunya muamalat yang sering dilakukan oleh masyarakat
umum adalah praktik jual beli. Dalam kegiatan jual beli tentunya sudah bukan hal yang tabu lagi jika kita
menemukan istilah promosi. Apabila konsumen tidak mendapatkan item tebus murahnya, maka hal itu menandakan bahwa stok
telah habis atau melebihi pembatas konsumen. Untuk order yang sudah terbentuk dan memasuki proses
selanjutnya, maka pesanan pembeli tidak dapat dibatalkan kembali. Oleh karena itu di dalam akad ini
terdapatتduaتakadتjualتbeli(تbai’atainiتfiتbai’atin)تdanتjugaتberupaتakadتtertentuتyangتmensyaratkanتakadت
lainnya. Padahal jual beli bersyarat hampir sama dengan jual beli dengan dua harga, hanya saja di jual beli
bersyarat harga yang kedua dianggap sebagai syarat. Pembahasan fiqh al muamalah pandangan Wahbah Zuhaili sangat luas, mulai dari hukum pernikahan,
transaksi jual beli, hukum pidana, hukum perdata, hukum perundang-undangan, hukum kenegaraan,
keuangan, ekonomi, hingga akhlak dan etika. Tentunya muamalat yang sering dilakukan oleh masyarakat
umum adalah praktik jual beli. Dalam kegiatan jual beli tentunya sudah bukan hal yang tabu lagi jika kita
menemukan istilah promosi. Pengertian multi akad, dalam bahasa Indonesia multi berarti: 1) tak terhitung; lebih dari dua; beraneka
ragam 2) berlipat ganda. (Time Penyusun 1996) Maka dari itu, dalam bahasa Indonesia multi akad berarti
akad berlipat ganda atau akad yang tak terhitung. Sementara berdasarkan istilah fikih, kata multi akad adalah
terjemahan dari kata Arab, yaitu al-‘uqudتal-murakkabah yang bermakna akad rangkap. Al-‘Uqud al-
murakkabah terdiri dari dua kata al-‘uqud(تbentukتjamakتdari‘تaqd)تdanتal-murakkabah.تKata‘تaqdتsudahت
diterangkan secara khusus pada bagian sebelumnya, secara etimologi kata Al-murakkabah (murakkab)
bermakna al-jam’u,تyakniتmengumpulkanتatauتmenghimpun. A B S T R A C T The cheap redemption practice issued by merchants at Alfamart used two
contracts at the same time, many opinions state that the Alfamart's program was
legal or illegal, so this case needed action to explain its legal validity. The
purpose of this study was to find out and explore the legal practice of merchant-
cheap redemption promos at Alfamart by using the theory of mutaqabilah
contracts in multi-contracts. To answer the problems of this research, the
method used was qualitative with a normative analytical descriptive approach. The conclusion from the results of research related to the phenomenon of the
practice of cheap redemption promos based on substance stated that the practice
of cheap redemption promos by Alfamart merchants in the perspective of al-
uqud al-mutaqabilah was permissible on the grounds of نَع ضََََتَ ت, as well as
perfection in the fulfillment of the contract. However, if we look at the
phenomenon of the practice of the cheap redeem promo, it could be seen that
there was a multi-contract implementation at one time, so this caused the
practice to be prohibited, this statement agreed with the hadith of the prophet
which explained that two contracts at one time fell into the same category. prohibited. Keywords : Redemption; Contract; Multi-Contract. @ 2022 Jurnal Riset Hukum Ekonomi Syariah Unisba Press. All rights reserved. Corresponding Author : *redihadiyanto@gmail.com
Indexed : Garuda, Crossref, Google Scholar
DOI : https://doi.org/10.29313/jres.v2i2.1198 Corresponding Author : *redihadiyanto@gmail.com
Indexed : Garuda, Crossref, Google Scholar
DOI : https://doi.org/10.29313/jres.v2i2.1198 93/98 Miftah Rizky Nur Alfiani et al. Praktik Promo Tebus Murah Merchant Alfamart dalam... Jurnal Riset Hukum Ekonomi Syariah (JRES) Minimarket Alfamart adalah jaringan toko swalayan yang tersebar di Indonesia. Alfamart ini diketahui
telah menggunakan salah satu bentuk promosi yang digunakan yaitu dengan istilah sistem tebus murah. Promo ini diselenggarakan dengan syarat ketentuan yang telah ditetapkan oleh perusahaan. Jadi jual beli tebus murah adalah metode belanja murah, akan tetapi harus mengikuti ketentuan yang
telah ditetapkan oleh perusahaan tersebut, dan di dalam promosi tersebut disertai dengan adanya batas
berlakunya promosi, batas pemakaian tidak bisa digunakan dengan berkelipatan itu sendiri. Jual beli seperti
ini termasuk kategori jual beli bersyarat, karena mensyaratkan seseorang untuk membeli sesuatu yang lain,
agar bisa mendapatkan sesuatu yang konsumen inginkan. Apabila konsumen tidak mendapatkan item tebus murahnya, maka hal itu menandakan bahwa stok
telah habis atau melebihi pembatas konsumen. Untuk order yang sudah terbentuk dan memasuki proses
selanjutnya, maka pesanan pembeli tidak dapat dibatalkan kembali. Oleh karena itu di dalam akad ini
terdapatتduaتakadتjualتbeli(تbai’atainiتfiتbai’atin)تdanتjugaتberupaتakadتtertentuتyangتmensyaratkanتakadت
lainnya. Padahal jual beli bersyarat hampir sama dengan jual beli dengan dua harga, hanya saja di jual beli
bersyarat harga yang kedua dianggap sebagai syarat. Manfaat penelitian ini yaitu mampu memberikan informasi kepada pembaca mengenai praktik promo
tebus murah dan menganalisis keberhasilan perspektif Al-Uqud Al-Mutaqabilah sebagai pedoman hukum
ekonomi syariah dan keuangan syariah di Indonesia sehingga dapat dijadikan referensi dalam penyempurnaan
penerapan perspektif selanjutnya. Penelitian ini bertujuan untuk mengkaji bagaimana penerapan perspektif
Al-Uqud Al-Mutaqabilah. Hasil yang diharapkan adalah penelitian ini dapat dijadikan rujukan atau referensi baru mengenai
praktik promosi tebus murah di Alfamart yang sesuai dengan Syariat atau sesuai dengan landasan teori
hukum Islam. Berdasarkan latar belakang yang telah diuraikan, maka perumusan masalah dalam penelitian ini yaitu; (1)
Bagaimana Praktik Promo Tebus Murah Merchant Alfamart Perum Melong Asih? (2) Bagaimana Pandangan Al-
Uqud Al-Mutaqabilah terkait Praktik Promo Tebus Murah Merchant Alfamart Perum Melong Asih? Berdasarkan latar belakang yang telah diuraikan, maka perumusan masalah dalam penelitian ini yaitu; (1)
Bagaimana Praktik Promo Tebus Murah Merchant Alfamart Perum Melong Asih? (2) Bagaimana Pandangan Al- Bagaimana Praktik Promo Tebus Murah Merchant Alfamart Perum Melong Asih? (2) Bagaimana Pandangan Al-
Uqud Al-Mutaqabilah terkait Praktik Promo Tebus Murah Merchant Alfamart Perum Melong Asih? g
g
g
qud Al-Mutaqabilah terkait Praktik Promo Tebus Murah Merchant Alfamart Perum Melong Asih? Adapun tujuan penelitian ini yang ingin dicapai penulis dalam penelitian adalah antara lain: (1) Untuk
mengetahui Praktik promo tebus murah oleh merchant Alfamart Perum Melong Asih. Jurnal Riset Hukum Ekonomi Syariah (JRES) (2) Untuk
memahami pandangan Al-Uqud Al-Mutaqabillah terkait praktik promo tebus murah oleh merchant
Alfamart Perum Melong Asih. A.
Pendahuluan (Al-Tahanawi n.d.) Al-‘Imraniتmengemukakanتbahwaتakadتmurakkabتyakniتhimpunanتbeberapaتakadتkebendaanتyangت
dikandung oleh sebuah akad, baik secara gabungan maupun timbal balik sehingga timbul seluruh hak dan
kewajiban yang dipandang sebagai akibat hukum dari satu akad. (Al-Imrani’ت2006) Menurut bahasa akad bersyarat (Al-Uqud Al-Mutaqabilah), dari kata taqabul mengandung arti
berharap. Sesuatu dikatakan berharap jika keduanya saling bergantung kepada yang lain. Sementara
pengertian al-‘uqudتal-Mutaqabilah adalah multi akad dalam bentuk akad kedua menanggapi akad pertama,
(Imam Malik ibn Anas n.d.) di mana kesempurnaan akad pertama bergantung pada sempurnanya akad kedua
melalui proses timbal balik. Dengan kata lain, akad satu bergantung pada akad lainnya. Dalam tradisi fikih,
model akad seperti ini sudah dikenal lama dan praktiknya sudah banyak. Banyak ulama telah membahas tema
ini, baik yang berkaitan dengan hukumnya atau model pertukarannya: misalnya antara akad (mu- ‘awadhah)ت
denganتakadتtabbaru’,تantaraتakadتtabbaru’تdenganتakadتtabbaru’تatauتakadتpertukaran dengan akad pertukaran. Umumnya ulama menafsirkan model akad ini dengan akad bersyarat(تisytirath‘تaqdتbi’aqd) (Muhammad n.d.). Berdasarkan Kamus Besar Bahasa Indonesia promosi adalah kenaikan pangkat (tingkat). Promosi adalah upaya
atau usaha untuk memajukan perdagangan atau meningkatkan bidang bidang usaha. Promosi berasal dari kata
promote yang dapat diartikan sebagai meningkatkan atau mengembangkan. (Basori 2007) Volume 2, No. 2, Desember 2022 94/98 Jurnal Riset Hukum Ekonomi Syariah (JRES) Miftah Rizky Nur Alfiani et al. Praktik Promo Tebus Murah Merchant Alfamart dalam... Miftah Rizky Nur Alfiani et al. Praktik Promo Tebus Murah Merchant Alfamart dalam... Data Sekunder: ialah catatan peristiwa dari sumber aslinya. Data ini diperoleh dari sumber tidak
langsung, yaitu buku, catatan perpustakaan atau dokumen tentang semua penelitian ini. (Azizah 2017)
Dan wawancara secara langsung dengan masyarakat sekitar tentang promosi tebus murah di Alfamart
Perum Melong Asih. Data Sekunder: ialah catatan peristiwa dari sumber aslinya. Data ini diperoleh dari sumber tidak
langsung, yaitu buku, catatan perpustakaan atau dokumen tentang semua penelitian ini. (Azizah 2017)
Dan wawancara secara langsung dengan masyarakat sekitar tentang promosi tebus murah di Alfamart
Perum Melong Asih. Teknik pengumpulan data yang digunakan dalam penelitian ini adalah observasi, wawancara,
observasi, observasi dan studi pustaka. Teknik analisis data, Analisis data ialah proses sistematis menyusun
penelitian setelah memperoleh data lapangan. Dalam analisis data, penulis memakai metode analisis untuk
membuat deskripsi, deskripsi atau penjelasan atau data yang telah dikumpulkan terkait dengan pembahasan. Dengan analisis deskriptif, peneliti menggambarkan semua kebutuhan informasi sebagaimana adanya berada
dalam ruang lingkup penelitian. Kemudian hubungkan data yang didapat dengan ketentuan atau hukum yang
terkait dengan kasus yang diteliti dengan logika adalah cara berpikir dari yang khusus ke yang umum
dengan memakai alat normatif , untuk mengetahui dan interpretasi hukum. Penulis menggunakan analisis
deduktif, dimana penulis mencari kesesuaian antara fakta di lapangan dengan teori. Sesuai atau tidaknya
dengan fakta lapangan, akan disesuaikan dengan penelitian kepustakaan dengan teori-teori yang penulis
bawa, kemudian untuk mengakomodasi teori tersebut penulis menyertakan teori dari para ahli. Setelah
pengumpulan data secara keseluruhan, analisis data dilakukan pada memakai metode kualitatif dengan
pendekatan deskriptif analitis, yaitu dengan menguraikan data menjadi informasi yang sederhana dan
mudah di mengerti. Dengan analisis deskripsi, peneliti menggambarkan semua informasi dengan persyaratkan
sebagaimana adanya pada bidang variabel yang diteliti. Tujuan penulis menggunakan metode tersebut
yaitu untuk memberi gambar secara objektif bagaimana Praktik Promo Tebus Murah Merchant Alfamart
dalam perspektif Al-Uqud Al-Mutaqabilah. Lokasinya penelitian dilakukan di minimarket Alfamart
Perum Melong Asih. B.
Metode Penelitian Penulis menggunakan metode penelitian deskriptif analisis normatif, yang bertujuan untuk
menganalisis perkembangan Praktik Promo Tebus Murah Merchant Alfamart dalam perspektif Al-Uqud Al-
Mutaqabilah (Studi Kasus Alfamart Perum Melong Asih). Dalam penelitian ini penulis menggunakan kajian studi pustaka dengan mencari informasi melalui
buku, makalah, koran, dan literature lainnya untuk menelaah sumber-sumber tertulis seperti jurnal ilmiah,
buku referensi, literatur, ensiklopedia, karangan ilmiah, karya ilmiah serta sumber-sumber lain baik dalam
bentuk tertulis atau dalam format digital yang relevan dan berhubungan dengan objek yang sedang diteliti. Jenis penelitian yang digunakan adalah: Studi Lapangan (Field Research), Studi lapangan adalah
penelitian tahap pertama, penulis bertujuan memakai studi ini untuk mendapatkan informasi langsung untuk
menggali sumber data lapangan dari promosi tebus murah di minimarket Alfamart Perum Melong Asih. Kemudian digabungkan dengan Studi Pustaka (Library Reseach). Suatu teknik dimana penelitian
memperoleh data yang menopang teori di lapangan terkait praktik promo tebus murah oleh merchant di
Alfamart Perum Melong Asih. Penulis menetapkan sumber pada penelitian ini terdiri dari: sumber data primer dan sumber data
sekunder. (Purhantara 2010) Adapun teknik analisis data yang digunakan dalam penelitian ini adalah teknis analisis deskriptif dan teknik
analisis inferensial. Sumber yang dipakai ialah sumber hukum primer, untuk dokumen yang berhubungan dengan
masalah yang akan dipelajari, data primer untuk penelitian ini ialah data dari Al-Qur'an, Hadits. e-ISSN 2798-5253 | p-ISSN 2808-1242 95/98 C.
Hasil dan Pembahasan Pada hakikatnya manusia adalah makhluk sosial. Dalam perannya sebagai makhluk sosial dikenal
dalam Islam yaitu istilah muamalat. Kesejahteraan masyarakat tentu sangat penting untuk dipertahankan. Oleh karena itu, kebutuhan haruslah terpenuhi untuk menjadikan dunia menjadi terus hidup. Salah satunya
yaitu dengan bermuamalat, muamalah merupakan salah satu bagian dari hukum Islam yang mengatur
hubungan antar manusia, dalam masyarakat berkenaan dengan transaksi benda, jasa, dan kewajiban finansial. Tebus murah ialah suatu program yang dikeluarkan oleh perusahaan PT Sumber Alfaria Trijaya Tbk. Fungsinya untuk mendongkrok peningkatan target marketing juga untuk mempertahankan para konsumen
setia Alfamart. Istilah tebus murah sudah ada sejak 4 tahun berjalandi Alfamart Perum Melong Asih, mulai
dari 2019 telah dikeluarkan promo tersebut, promo ini kerap ditawarkan oleh para merchant Alfamart dalam
rangkai untuk mewujudkan suatu target yang harus dicapai oleh setiap toko Alfamart. Dalam tebus murah ini para konsumen dapat menebus objek atau barang dengan harga lebih murah
dari harga asalnya. Tentunya dengan syarat dan ketentuan yang telah di tetapkan oleh perusahaan. Promo
tebus murah ini dan tidak semua pengunjung Alfamart dapat menikmati promo tersebut kecuali konsumen
itu sendiri telah memenuhi syarat, yaitu dengan berbelanja sebesar Rp 50.000 terlebih dahulu.(Ramdani n.d.) Promo tebus murah ini merupakan bentuk upaya para merchant Alfamart untuk menarik para
konsumen agar dapat tertarik pada promo tersebut, tentunya pada promo tersebut ada target yang harus di
capai oleh setiap Alfamart, dan setiap toko biasanya 85% target yang harus di capainya.(Fatimatuzzahra n.d.)
Promo ini pun tidak berlaku untuk pembelian susu bayi dibawah satu tahun, minyak goreng, rokok dan pulsa. Tidak berlaku kelipatan, dan tidak berlaku varian tebus yang sama. Untuk pembelian seharga Rp 75.000
maka konsumen dapat melakukan promo tebus murah ini sebanyak dua kali dalam satu struk atau dalam satu
kali transaksi. dan untuk pembelian seharga Rp 100.000 pun hanya dapat 2 kali transaksi karena tidak ada
kelipatan pada promo tebus murah ini. (Fatimatuzzahra n.d.) Al-Uqud Al-Mutaqabilah, hanya berada dalam akad muamalah dari arti sempit saja (transaksi bisnis)
atau bisa disebut dengan muamalah al-iqtishadiyah. Pada praktik tebus murah ini hukum kedua belum tentu Volume 2, No. 2, Desember 2022 96/98 Jurnal Riset Hukum Ekonomi Syariah (JRES) terjadi karena tidak ada paksaan ( عَن تَرَ اض). Ketika syarat awal terpenuhi maka ketika akan melanjutkan
transaksi berikutnya maka di perbolehkan, karena kedua belah pihak saling meridhai. Contohnya, antara kontrak pertukaran (mu'âwadhah) dan kontrak tabarru' dan kontrak tabarru' atau
kontrak pertukaran dengan kontrak pertukaran. C.
Hasil dan Pembahasan Para ulama umumnya mendefinisikan model kontrak ini
dengan kontrak bersyarat (isytirâth 'aqd bi'aqd) (Imrani 2006). Al-Uqud Al-Mutaqabilah, ini ialah akad yang mengisyaratkan terjadinya akad yang lain. Atau bisa
dikatakan dengan akad timbal balik. Pada praktik promo tebus murah ini dilakukan dengan cara, pihak
pembeli (konsumen) harus berbelanja seharga Rp 50.000 terlebih dahulu untuk menjadi syarat melakukan
promo tebus murah, secara harfiah jual-beli seperti ini masuk kedalam kategori Al-‘UqudتAl-Mutaqabilah
yang mana definisi Al- ‘Uqudتal-Mutaqabilah adalah multi akad dalam bentuk akad kedua menanggapi akad
pertama,(Anas n.d.) di mana kesempurnaan akad pertama bergantung pada sempurnanya akad kedua melalui
proses timbal balik. Dengan kata lain, akad satu bergantung pada akad lainnya. Setelah penulis terjun ke
lapangan untuk mengadakan interview dengan merchant dan para konsumen promo tebus murah, dari
substansi transkrip interview dapat disimpulkan bahwa pandangan terkait praktik promo tebus murah ini
masuk dalam kategori teori Al-Uqud Al-Mutaqabillah, sesuai definisinya yaitu kesempurnaan akad pertama
bergantung pada sempurnanya akad kedua melalui proses timbal balik atau akad yang mengisyaratkan
terjadinya akad yang lain. Dalam promo tebus murah ini pada praktiknya terjadi adanya kedua belah pihak saling mendapatkan
keuntungan yaitu bagi merchant dapat memenuhi target tebus murah kemudian bagi para konsumen
mendapat harga produk yang lebih murah untuk kebutuhan sehari-hari dan adanya عَن تَرَ اض (saling meridhai
atau kerelaan) terhadap kedua belah pihak diawal sebelum terjadinya penebusan barang tebus murah,
tenrunya masing-masing pihak mendapatkan haknya. Hal ini apabila di kaitkan dengan teori akad, teori jual
beli, teori uqud mutaqabilah maka diperbolehkan melakukan praktik promo tebus murah ini, sesuai dengan
firman Allah SWT dalam (QS. An-Nisa [2]: 29) yang berbunyi : ِ يُّهَا الَّذِينَ آمَنُوا َلَ تَأْكُلُوا أَمْوَ الَكُم بَيْنَكُم بِالْبَاطِلِ إَِلَّ أَن تَكُونَ تِجَارَ ةً عَن تَرَ اض م ِنكُمْْۚ وَ َلَ تَقْتُلُوا أَنفُسَكُمْْۚ إِنَّ َّللاَّ َ كَانَ بِكُمْ رَ ح يمًا
٩٢ Artinya:“تHaiتorang-orang yang beriman, janganlah kamu saling memakan harta sesamamu dengan jalan
yang batil, kecuali dengan jalan perniagaan yang berlaku dengan suka sama-suka di antara kamu. Dan
janganlah kamu membunuh dirimu; sesungguhnya Allah adalahتMahaتPenyayangتkepadamu.” (QS. Al-
Maidah [5]: 1) yang berbunyi : (Kementrian Agama Republik Indonesia n.d.) ِيَ َٰٓأَيُّهَا ٱلَّذ
ينَ ءَامَنُوَٰٓ اْ أَوۡ فُواْ بِٱلۡعُقُودِْۚ أُحِ لَّتۡ لَكُم بَهِيمَةُ ٱۡلۡ َنۡعَ مِ إَِلَّ مَا يُتۡلَى عَلَيۡكُمۡ غَيۡرَ مُحِ ل ِي
ُٱلصَّيۡدِ وَ أَنتُمۡ حُرُم ٌۗ إِنَّ ٱَّللَّ َ يَحۡ كُمُ مَا يُرِ يد ١ Artinya:“تHaiتorang-orang yang beriman, penuhilah aqad-aqad itu. Dihalalkan bagimu binatang ternak, kecuali
yang akan dibacakan kepadamu. C.
Hasil dan Pembahasan (Yang demikian itu) dengan tidak menghalalkan berburu ketika kamu sedang
mengerjakan haji. Sesungguhnya Allah menetapkan hukum-hukum menurut yang dikehendaki-Nya.” Melainkan apabila dilihat dari sisi teori multi akad, maka fenomema ini terjadi dua akad dalam satu
waktu, yang mana diawal konsumen membeli produk seharga Rp 50.000 terlebih dahulu, kemudian ketika
pihak merchant menawarkan promo tebus murah dan konsumen menyetujui, maka konsumen perlu menebus
produk promo tersebut, contohnya yang awalnya konsumen berbelanja seharga Rp 50.000 dan di dalamnya
tidak ada produk sabun, maka ketika akan melakukan promo tersebut, konsumen sendiri akhirnya membeli
produk tebus murah itu berupa sabun dengan harga Rp 5.000, yang mana sabun ini adalah produk yang
dijadikan program promo tebus murah pada periodenya. Maka konsumen sendiri telah berbelanja senilai Rp 55.000 (Rp 50.000 + Rp 5.000) atau (belanja mandiri
+ promo tebus murah), dengan demikian praktik promo tebus murah inipun masuk kategori multi akad dimana
pada proses praktik tebus murah ini di dalamnya terdapat 2 akad yaitu rangkaian Uqud Mutaqabilah. Tentunya
ini menjadi tidak sah ( fasid ) dan tidak dibolehkan sesuai dengan Hadist Nabi yangتberbunyi“ت نَهَى عَنْ بَيْعَتَيْنِ فِي بَيْعَة e-ISSN 2798-5253 | p-ISSN 2808-1242 97/98 Miftah Rizky Nur Alfiani et al. Praktik Promo Tebus Murah Merchant Alfamart dalam... Artinya:“ تNabiتSAW.تTelahتmelarangتadanyaتduaتjualتbeliتdalamتsatuتjualتbeli.”( تHR.تTirmidzi,تhadistت
sahih). Substansi dari larangan multi akad ini adalah untuk menghindari ketidak jelasan harga (gharar) yang
dapat merugikan salah satu pihak yang bertransaksi. Dengan demikian, berdasarkan substansi hasil penelitian yang penulis dapatkan pada fenomena
praktik promo tebus murah oleh merchant Alfamart persprektif al-uqud al-mutaqabilah menyatakan bahwa
hal ini diperbolehkan melakukan praktik promo tebus murah ini, dengan alasan atas dasar saling rela atau
ridha عَن تَرَ اض (terhindar dari unsur paksaan) juga adanya kesempurnaan dalam memenuhi akad. Ditinjau
dari dari sisi rukun dan syaratnya jual beli pun pada praktik tebus murah ini telah memenuhinya, objek atau
barang yang dijadikan promo tebus murah ini jelas adanya, berguna bagi para konsumen. Melainkan apabila dilihat dari sisi teori multi akad, maka fenomema ini terjadi dua akad dalam satu waktu
dengan begitu menurut hadist nabi dua akad dalam satu waktu masuk dalam kategori yang di haramkan. D.
Kesimpulan Berdasarkan dari rumusan masalah, hipotesis, dan hasil penelitian maka dapat ditarik kesimpulan
sebagai berikut; (1) Praktik tebus murah yang dikeluarkan merchant di Alfamart ini menjadi salah satu
strategi marketing yang ditetapkan oleh pihak Alfamart dengan sasarannya mendongkrak target perusahaan
dan mempercepat proses penjualan barang di Alfamart, serta memberikan keuntungan bagi konsumen,
karena membeli barang dengan harga yang lebih murah dari asalnya. (2) Praktik promo tebus murah menurut
Uqud Mutaqabilah jika di dalamnya terjadi kerelaan (نَع ضَََ َت) antara dua pihak untuk transaksi yang kedua
maka hukumnya adalah boleh karena tidak bertentangan dengan syarat dan rukun jual beli dan uqud
mutaqabilah, namun jika terjadi paksaan di dalamnya maka hukumnya tidak boleh. Praktik ini jika di lihat
dari sisi keberadaan multi akad, maka hasilnya ialah terdapat pelaksanaan dua akad dalam satu waktu. Dengan demikian menurut hadist nabi yang dengan tegas dilarang penggabungan dua akad dalam satu
waktu, masuk dalam kategori praktik yang di haramkan. Daftar Pustaka Al-Imrani’,تMuhammad.ت2006.تAl-Uqud Al-Maliyah Al-Murakkabah: Dirasah Fiqhiyyah Ta’shiliyah Wa Tathbiqiyah. Riyadh: Dar Kunuz Esbhelia. Al-Tahanawi. n.d. Kasysyaf Ishthilahat Al-Funun, Dar Shadir, Kata Al-Jam’menunjukkan Berkumpulnya Sesuatu
(Tadhamm Al-Syai’). Beirut. Al-Tahanawi. n.d. Kasysyaf Ishthilahat Al-Funun, Dar Shadir, Kata Al-Jam’menunjukkan Berkumpulnya Sesuatu
(Tadhamm Al-Syai’). Beirut. Anas, Imam Malik ibn. n.d. Al-Mudawwanah Al-Kubra, Dar Al-Shadir. Azizah,تWiwin.ت2017.“تTinjauanتHukumتIslamتJualتBeliتTempe.”ت22. Basori, Khabib. 2007. Muamalat. edited by R. K. Rini. Yogyakarta: Pustaka Insan Madani. Fatimatuzzahra, Mutiara.تn.d.“WawancaraتDenganتAsistenتKepalaتToko,تDiaksesتPadaتTanggalت14تMeiت2022,تPukulت
15.00تWIB.” Imam Malik ibn Anas. n.d. Al-Mudawwanah Al-Kubra, Dar Al-Shadir. Beirut. Malik ibn Anas. n.d. Al-Mudawwanah Al-Kubra, Dar Al-Shadir. Beirut. Imrani,تAbdullahتbinتAhmadتAbdullah.ت2006.“ تAlتUqudتAlتMaaliyahتAlتMurakkabahتStudyتFiqhتTa’shiliyahت
WaTathbiqiyyah.”تRiyad:تDarتKunuzتElshabeliaتanتNasrتwaتTausi’. KementrianتAgamaتRepublikتIndonesia.تn.d.(’“تQS.تAl-Maidahت5:1).”تDiakses Pada Tanggal, 10 Desember 2021. ementrianتAgamaتRepublikتIndonesia.تn.d.(’“تQS.تAl-Maidahت5:1).”تDiakses Pada Tanggal, 10 Desember Muhammad, Al-’ImraniتAbdullahتbinتMuhammadتbinتAbdullahتbin.تn.d. Al-’Uqud Al-Maliyah Al-Murakkabah. Purhantara, Wahyu. 2010. Metode Penelitian Kualitatif Untuk Bisnis. Yogyakarta: Ghara Ilmu. Ramdani,تDadan.تn.d.“WawancaraتDenganتWakilتKepalaتTokoتAlfamart,تDiaksesتPadaتTanggalت18تMeiت2022,تPukulت
14.45تWIB.” Time Penyusun.ت1996.“تKamusتBesarتBahasaتIndonesia.”تBalai Pustaka, Edisi Kedua 671. Volume 2, No. 2, Desember 2022 98/98
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https://europepmc.org/articles/pmc3793826?pdf=render
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Sinhala, Sinhalese
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(<i>E</i>)-2,2′-[3-(4-Chlorophenyl)prop-2-ene-1,1-diyl]bis(3-hydroxy-5,5-dimethylcyclohex-2-en-1-one)
|
Acta crystallographica. Section E
| 2,013
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cc-by
| 5,814
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organic compounds Experimental
Crystal data
C25H29ClO4
Mr = 428.95
Monoclinic, C2=c
a = 25.8781 (16) A˚
b = 9.7820 (6) A˚
c = 20.9904 (11) A˚
= 121.2919 (15)
V = 4540.5 (5) A˚ 3
Z = 8
Mo K radiation
= 0.20 mm1
T = 296 K
0.20 0.20 0.20 mm
Data collection
Rigaku R-AXIS RAPID
diffractometer
Absorption correction: multi-scan
(ABSCOR; Rigaku, 1995)
Tmin = 0.692, Tmax = 0.962
21331 measured reflections
5175 independent reflections
3926 reflections with F 2 > 2(F 2)
Rint = 0.028
Refinement
R[F 2 > 2(F 2)] = 0.045
wR(F 2) = 0.135
S = 1.08
5175 reflections
281 parameters
H atoms treated by a mixture of
independent and constrained
refinement
max = 0.31 e A˚ 3
min = 0.28 e A˚ 3 Experimental Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 Acta Crystallographica Section E
Structure Reports
Online V = 4540.5 (5) A˚ 3
Z = 8
Mo K radiation
= 0.20 mm1
T = 296 K
0.20 0.20 0.20 mm ISSN 1600-5368 Table 1 D—H A
D—H
H A
D A
D—H A
O2—H2 O1
0.82
1.78
2.596 (2)
173
O4—H4 O3
0.82
1.87
2.669 (2)
166
C18—H18 O2i
0.93
2.51
3.418 (3)
165
C21—H21 O3ii
0.93
2.61
3.397 (3)
143
Symmetry codes: (i) x þ 1; y; z þ 3
2; (ii) x þ 3
2; y þ 1
2; z þ 3
2. The title compound, C25H29ClO4, adopts a trans conformation
about the C
C double bond and the dimethylcyclohexenone
rings both show an envelope conformation with the dimethyl-
substituted C atom as the flap. In the molecule, the hydroxy
and carbonyl groups form two intramolecular O—H O
hydrogen bonds typical for xanthene derivatives. In the
crystal, weak C—H O hydrogen bonds link the molecules
into chains running parallel to the a-axis direction. Data collection: RAPID-AUTO (Rigaku, 2006); cell refinement:
RAPID-AUTO; data reduction: RAPID-AUTO; program(s) used to
solve structure: Il Milione (Burla et al., 2007); program(s) used to
refine structure: SHELXL97 (Sheldrick, 2008); molecular graphics:
CrystalStructure (Rigaku, 2010); software used to prepare material
for publication: CrystalStructure. Related literature For the crystal structures of xanthene derivatives studied
recently our group, see: Cha et al. (2011, 2012, 2013). Fiancial support from the Korea Institute of Science and
Technology (KIST) is gratefully acknowledged. Supplementary data and figures for this paper are available from the
IUCr electronic archives (Reference: FF2113). Joo Hwan Cha,a Jae Kyun Lee,b* Sun-Joon Min,b Yong Seo
Chob and Junghwan Parkc aAdvanced Analysis Center, Korea Institute of Science & Technology, Hwarangro 14-
gil, Seongbuk-gu, Seoul 136-791, Republic of Korea, bCenter for Neuro-Medicine,
Korea Institute of Science & Technology, Hwarangro 14-gil, Seongbuk-gu, Seoul
136-791, Republic of Korea, and cCorporated R&D Center, Duksan Hi-Metal Co. Ltd., Cheonan-si 331-821, Republic of Korea
Correspondence e-mail: j9601@kist.re.kr Received 13 July 2013; accepted 23 July 2013 Key indicators: single-crystal X-ray study; T = 296 K; mean (C–C) = 0.003 A˚;
R factor = 0.045; wR factor = 0.135; data-to-parameter ratio = 18.4. Refinement All hydrogen atoms were positioned geometrically and refined using a riding model with C—H = 0.82–1.03 Å and
Uiso(H) = 1.2 or 1.5 Ueq(C). Comment As part of our ongoing study of the substituent effect on the solid state structures of dimethyl cyclohexenone ring
derivatives (Cha et al., 2011, 2012, 2013) we present here the crystal structure of the title compound, C25H29ClO4. In the
title compound (Fig. 1), the bond lengths and angles are normal and correspond to those observed in related structures. Both dimethyl cyclohexenone rings (C2—C7), (C8—C13) show an envelope conformation. The hydroxy and carbonyl O
atoms face each other and are oriented to allow for the formation of two intramolecular O—H···O hydrogen bonds. In the
crystal, weak intermolecular C—H···O hydrogen bonds (Table 1) link molecules into chains running parallel to the a-axis. Experimental Experimental To solution of 5,5-Dimethyl-1,3-cyclohexanedione (4.61 mmol), 4-chlorocinnamaldehyde(1.84 mmol) and 4 Å molecular
sieve (M.S.) was added catalytic amounts of L-proline under nitrogen atmosphere. The anhydrous ethyl acetate (2 ml)
was added to a reaction mixture and the solution was stirred at room temperature for 6 h. The progress of reaction was
monitored by TLC. After completion of reaction, the reaction mixture was filtered through aa pad of celite to remove
M.S. and evaporation of the solvent afforded a mixture. The mixture was purified by flash column chromatography (E.A.:
Hexane = 1:3) to afford the title compound as a colorless solid in yield 91%. Recrystallization from ethanol gave crystals
suitable for X-ray analysis. References Burla, M. C., Caliandro, R., Camalli, M., Carrozzini, B., Cascarano, G. L., De
Caro, L., Giacovazzo, C., Polidori, G., Siliqi, D. & Spagna, R. (2007). J. Appl. Cryst. 40, 609–613. Cha, J. H., Cho, Y. S., Lee, J. K., Park, J. & Sato, H. (2012). Acta Cryst. E68,
o2510. Cha, J. H., Kim, Y. H., Min, S.-J., Cho, Y. S. & Lee, J. K. (2011). Acta Cryst. E67,
o3153. Cha, J. H., Min, S.-J., Cho, Y. S., Lee, J. K. & Park, J. (2013). Acta Cryst. E69,
o397. Rigaku (1995). ABSCOR. Rigaku Corporation, Tokyo, Japan. Rigaku (2006). RAPID-AUTO. Rigaku Corporation, Tokyo, Japan. Rigaku (2010). CrystalStructure. Rigaku Corporation, Tokyo, Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. Cha et al. o1347 Acta Cryst. (2013). E69, o1347 doi:10.1107/S1600536813020357 supplementary materials Acta Cryst. (2013). E69, o1347 [doi:10.1107/S1600536813020357] Acta Cryst. (2013). E69, o1347 [doi:10.1107/S1600536813020357] Acta Cryst. (2013). E69, o1347 [doi:10.1107/S1600536813020357] Acta Cryst. (2013). E69, o1347 [doi:10.1107/S1600536813020357] Computing details Data collection: RAPID-AUTO (Rigaku, 2006); cell refinement: RAPID-AUTO (Rigaku, 2006); data reduction: RAPID-
AUTO (Rigaku, 2006); program(s) used to solve structure: Il Milione (Burla et al., 2007); program(s) used to refine
structure: SHELXL97 (Sheldrick, 2008); molecular graphics: CrystalStructure (Rigaku, 2010); software used to prepare
material for publication: CrystalStructure (Rigaku, 2010). sup-1 Acta Cryst. (2013). E69, o1347 supplementary materials Figure 1
The molecular structure of (I) showing the atomic numbering and 50% probability displacement ellipsoid. Figure 1 The molecular structure of (I) showing the atomic numbering and 50% probability displacement ellipsoid. 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 matrix. 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. 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 matrix. 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 was performed using all reflections. The weighted R-factor (wR) and goodness of fit (S) are
based on F2. R-factor (gt) are based on F. The threshold expression of F2 > 2.0 σ(F2) is used only for calculating R-factor
(gt). 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 was performed using all reflections. The weighted R-factor (wR) and goodness of fit (S) are
based on F2. R-factor (gt) are based on F. The threshold expression of F2 > 2.0 σ(F2) is used only for calculating R-factor
(gt). Refinement. Refinement was performed using all reflections. The weighted R-factor (wR) and goodness of fit (S) are
based on F2. R-factor (gt) are based on F. The threshold expression of F2 > 2.0 σ(F2) is used only for calculating R-factor
(gt). (E)-2,2′-[3-(4-Chlorophenyl)prop-2-ene-1,1-diyl]bis(3-hydroxy-5,5-dimethylcyclohex-2-en-1-one) (E)-2,2′-[3-(4-Chlorophenyl)prop-2-ene-1,1-diyl]bis(3-hydroxy-5,5-dimethylcyclohex-2-en-1-one) Crystal data
C25H29ClO4
Mr = 428.95
Monoclinic, C2/c
Hall symbol: -C 2yc
a = 25.8781 (16) Å
b = 9.7820 (6) Å
c = 20.9904 (11) Å
β = 121.2919 (15)°
V = 4540.5 (5) Å3
Z = 8
F(000) = 1824.00
Dx = 1.255 Mg m−3
Mo Kα radiation, λ = 0.71075 Å
Cell parameters from 15174 reflections
θ = 3.2–27.5°
µ = 0.20 mm−1
T = 296 K
Block, colourless
0.20 × 0.20 × 0.20 mm
Data collection
Rigaku R-AXIS RAPID
diffractometer
Detector resolution: 10.000 pixels mm-1
ω scans
Absorption correction: multi-scan
(ABSCOR; Rigaku, 1995)
Tmin = 0.692, Tmax = 0.962
21331 measured reflections
5175 independent reflections
3926 reflections with F2 > 2σ(F2)
Rint = 0.028
θmax = 27.5° sup-2 Acta Cryst. (2013). E69, o1347 supplementary materials l = −27→24 h = −33→33
k = −12→12 k = −12→12
Refinement
Refinement on F2
R[F2 > 2σ(F2)] = 0.045
wR(F2) = 0.135
S = 1.08
5175 reflections
281 parameters
0 restraints
Primary atom site location: structure-invariant
direct methods
Secondary atom site location: difference Fourier
map
Hydrogen site location: inferred from
neighbouring sites
H atoms treated by a mixture of independent
and constrained refinement
w = 1/[σ2(Fo2) + (0.0716P)2 + 1.3045P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max < 0.001
Δρmax = 0.31 e Å−3
Δρmin = −0.28 e Å−3 Secondary atom site location: difference Fourier
map
Hydrogen site location: inferred from
neighbouring sites
H atoms treated by a mixture of independent
and constrained refinement
w = 1/[σ2(Fo2) + (0.0716P)2 + 1.3045P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max < 0.001
Δρmax = 0.31 e Å−3
Δρmin = −0.28 e Å−3 Secondary atom site location: difference Fourier
map
Hydrogen site location: inferred from
neighbouring sites
H atoms treated by a mixture of independent
and constrained refinement
w = 1/[σ2(Fo2) + (0.0716P)2 + 1.3045P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max < 0.001
Δρmax = 0.31 e Å−3
Δρmin = −0.28 e Å−3 w = 1/[σ2(Fo2) + (0.0716P)2 + 1.3045P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max < 0.001
Δρmax = 0.31 e Å−3
Δρmin = −0.28 e Å−3 Special details Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
x
y
z
Uiso*/Ueq
Cl1
0.60735 (3)
0.86965 (6)
1.00738 (3)
0.0801 (2)
O1
0.53057 (5)
0.38582 (12)
0.63842 (7)
0.0500 (3)
O2
0.56169 (5)
0.60824 (13)
0.59936 (7)
0.0537 (3)
O3
0.73761 (5)
0.38291 (13)
0.64466 (7)
0.0527 (3)
O4
0.71474 (5)
0.17267 (13)
0.70741 (7)
0.0538 (3)
C1
0.66126 (6)
0.43105 (16)
0.70337 (8)
0.0374 (3)
C2
0.62898 (6)
0.29467 (15)
0.68798 (8)
0.0374 (3)
C3
0.56690 (7)
0.28289 (16)
0.66028 (8)
0.0414 (4)
C4
0.53791 (8)
0.14617 (18)
0.65355 (11)
0.0536 (5)
C5
0.58134 (8)
0.03632 (17)
0.70514 (9)
0.0489 (4)
C6
0.63474 (8)
0.03533 (17)
0.69324 (10)
0.0513 (4)
C7
0.66125 (7)
0.17326 (17)
0.69678 (8)
0.0427 (4)
C8
0.65497 (6)
0.50368 (16)
0.63540 (8)
0.0372 (3)
C9
0.60755 (7)
0.59492 (16)
0.59183 (8)
0.0416 (4)
C10
0.60661 (7)
0.68081 (18)
0.53225 (9)
0.0474 (4)
C11
0.66824 (8)
0.69941 (17)
0.53963 (8)
0.0453 (4)
C12
0.69780 (8)
0.55825 (18)
0.55360 (9)
0.0474 (4)
C13
0.69722 (7)
0.47803 (16)
0.61431 (8)
0.0407 (4)
C14
0.65213 (7)
0.52792 (17)
0.75347 (8)
0.0403 (4)
C15
0.62794 (7)
0.49923 (17)
0.79349 (9)
0.0441 (4)
C16
0.62435 (7)
0.59311 (15)
0.84652 (8)
0.0399 (4)
C17
0.57709 (7)
0.57897 (17)
0.85930 (9)
0.0447 (4)
C18
0.57174 (8)
0.66411 (18)
0.90809 (10)
0.0489 (4)
C19
0.61431 (8)
0.76360 (16)
0.94535 (8)
0.0460 (4) Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å
U */U Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) Acta Cryst. (2013). E69, o1347 sup-3 supplementary materials sup-4
Acta Cryst. (2013). Special details E69, o1347
C20
0.66228 (8)
0.78006 (18)
0.93498 (10)
0.0539 (5)
C21
0.66711 (8)
0.69360 (19)
0.88557 (9)
0.0505 (4)
C22
0.65859 (10)
0.7597 (3)
0.46664 (10)
0.0627 (5)
C23
0.70827 (9)
0.7961 (2)
0.60417 (10)
0.0576 (5)
C24
0.60344 (11)
0.0684 (3)
0.78706 (11)
0.0652 (5)
C25
0.55002 (11)
−0.1028 (2)
0.68548 (14)
0.0720 (6)
H1
0.7042
0.4070
0.7331
0.0449*
H2
0.5548
0.5353
0.6128
0.0645*
H4A
0.5195
0.1148
0.6024
0.0643*
H4B
0.5059
0.1576
0.6642
0.0643*
H4
0.7209
0.2451
0.6928
0.0646*
H6A
0.6662
−0.0229
0.7308
0.0616*
H6B
0.6216
−0.0049
0.6449
0.0616*
H10A
0.5907
0.7703
0.5328
0.0569*
H10B
0.5791
0.6394
0.4842
0.0569*
H12A
0.6770
0.5059
0.5077
0.0569*
H12B
0.7394
0.5697
0.5666
0.0569*
H14
0.6705 (9)
0.616 (2)
0.7603 (11)
0.057 (6)*
H15
0.6082 (9)
0.405 (3)
0.7873 (11)
0.060 (6)*
H17
0.5484
0.5108
0.8345
0.0537*
H18
0.5395
0.6540
0.9156
0.0587*
H20
0.6910
0.8478
0.9606
0.0647*
H21
0.6996
0.7035
0.8787
0.0606*
H22A
0.6970
0.7701
0.4704
0.0753*
H22B
0.6393
0.8473
0.4578
0.0753*
H22C
0.6335
0.6994
0.4261
0.0753*
H23A
0.7128
0.7608
0.6495
0.0691*
H23B
0.6898
0.8848
0.5941
0.0691*
H23C
0.7473
0.8032
0.6093
0.0691*
H24A
0.5694
0.0726
0.7936
0.0783*
H24B
0.6241
0.1547
0.8004
0.0783*
H24C
0.6306
−0.0021
0.8183
0.0783*
H25A
0.5372
−0.1253
0.6349
0.0864*
H25B
0.5154
−0.0994
0.6910
0.0864*
H25C
0.5777
−0.1711
0.7183
0.0864*
Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
Cl1
0.1143 (5)
0.0719 (4)
0.0670 (4)
−0.0022 (3)
0.0562 (4)
−0.0239 (3)
O1
0.0344 (6)
0.0510 (7)
0.0608 (7)
0.0095 (5)
0.0220 (6)
0.0033 (6)
O2
0.0445 (7)
0.0595 (8)
0.0684 (8)
0.0160 (6)
0.0371 (6)
0.0161 (6)
O3
0.0411 (7)
0.0610 (8)
0.0635 (7)
0.0144 (6)
0.0323 (6)
0.0061 (6)
O4
0.0441 (7)
0.0592 (8)
0.0618 (7)
0.0185 (6)
0.0301 (6)
0.0112 (6)
C1
0.0318 (7)
0.0474 (8)
0.0338 (7)
0.0066 (6)
0.0175 (6)
0.0018 (6)
C2
0.0360 (8)
0.0434 (8)
0.0335 (7)
0.0063 (6)
0.0185 (6)
0.0021 (6)
C3
0.0376 (8)
0.0474 (8)
0.0382 (7)
0.0049 (7)
0.0191 (7)
−0.0008 (7)
C4
0.0434 (10)
0.0510 (10)
0.0597 (10)
−0.0014 (8)
0.0221 (8)
−0.0032 (8)
C5
0.0546 (10)
0.0429 (9)
0.0504 (9)
0.0005 (7)
0.0281 (8)
−0.0027 (7)
C6
0.0593 (11)
0.0446 (9)
0.0505 (9)
0.0115 (8)
0.0289 (9)
0.0012 (7) Atomic displacement parameters (Å2) sup-4 Acta Cryst. (2013). Acta Cryst. (2013). E69, o1347 Special details E69, o1347 supplementary materials supplementary materials
C7
0.0418 (8)
0.0515 (9)
0.0338 (7)
0.0101 (7)
0.0188 (7)
0.0024 (7)
C8
0.0328 (7)
0.0458 (8)
0.0355 (7)
0.0031 (6)
0.0195 (6)
−0.0009 (6)
C9
0.0367 (8)
0.0497 (9)
0.0390 (8)
0.0027 (7)
0.0202 (7)
−0.0007 (7)
C10
0.0432 (9)
0.0570 (10)
0.0393 (8)
0.0050 (8)
0.0195 (7)
0.0072 (7)
C11
0.0491 (9)
0.0522 (9)
0.0382 (8)
−0.0021 (8)
0.0253 (7)
−0.0001 (7)
C12
0.0500 (10)
0.0572 (10)
0.0471 (9)
−0.0022 (8)
0.0337 (8)
−0.0047 (8)
C13
0.0360 (8)
0.0484 (9)
0.0412 (8)
−0.0001 (7)
0.0225 (7)
−0.0048 (7)
C14
0.0410 (8)
0.0444 (8)
0.0379 (8)
0.0011 (7)
0.0221 (7)
−0.0011 (7)
C15
0.0481 (9)
0.0453 (9)
0.0453 (8)
−0.0020 (7)
0.0288 (8)
−0.0028 (7)
C16
0.0443 (9)
0.0419 (8)
0.0371 (7)
0.0007 (7)
0.0237 (7)
0.0024 (6)
C17
0.0418 (9)
0.0490 (9)
0.0470 (8)
−0.0074 (7)
0.0255 (7)
−0.0081 (7)
C18
0.0475 (10)
0.0537 (9)
0.0554 (10)
−0.0005 (8)
0.0336 (8)
−0.0053 (8)
C19
0.0597 (10)
0.0433 (8)
0.0389 (8)
0.0020 (8)
0.0284 (8)
−0.0032 (7)
C20
0.0606 (11)
0.0494 (9)
0.0495 (9)
−0.0182 (8)
0.0270 (9)
−0.0071 (8)
C21
0.0517 (10)
0.0588 (10)
0.0527 (9)
−0.0102 (8)
0.0353 (8)
0.0005 (8)
C22
0.0753 (13)
0.0712 (13)
0.0517 (10)
−0.0018 (10)
0.0400 (10)
0.0076 (9)
C23
0.0613 (11)
0.0572 (11)
0.0523 (10)
−0.0086 (9)
0.0281 (9)
−0.0064 (8)
C24
0.0855 (15)
0.0636 (12)
0.0579 (11)
−0.0058 (11)
0.0452 (11)
0.0004 (9)
C25
0.0824 (16)
0.0480 (10)
0.0873 (15)
−0.0073 (10)
0.0452 (13)
−0.0059 (10)
Geometric parameters (Å, º)
Cl1—C19
1.746 (2)
C20—C21
1.393 (3)
O1—C3
1.288 (2)
O2—H2
0.820
O2—C9
1.283 (3)
O4—H4
0.820
O3—C13
1.2932 (19)
C1—H1
0.980
O4—C7
1.283 (3)
C4—H4A
0.970
C1—C2
1.517 (3)
C4—H4B
0.970
C1—C8
1.525 (3)
C6—H6A
0.970
C1—C14
1.522 (3)
C6—H6B
0.970
C2—C3
1.401 (3)
C10—H10A
0.970
C2—C7
1.408 (3)
C10—H10B
0.970
C3—C4
1.504 (3)
C12—H12A
0.970
C4—C5
1.525 (3)
C12—H12B
0.970
C5—C6
1.527 (4)
C14—H14
0.96 (2)
C5—C24
1.537 (3)
C15—H15
1.03 (3)
C5—C25
1.527 (3)
C17—H17
0.930
C6—C7
1.498 (3)
C18—H18
0.930
C8—C9
1.405 (2)
C20—H20
0.930
C8—C13
1.399 (3)
C21—H21
0.930
C9—C10
1.496 (3)
C22—H22A
0.960
C10—C11
1.531 (3)
C22—H22B
0.960
C11—C12
1.531 (3)
C22—H22C
0.960
C11—C22
1.536 (3)
C23—H23A
0.960
C11—C23
1.531 (3)
C23—H23B
0.960
C12—C13
1.503 (3)
C23—H23C
0.960
C14—C15
1.312 (3)
C24—H24A
0.960
C15—C16
1.483 (3)
C24—H24B
0.960
C16—C17
1.388 (3)
C24—H24C
0.960
C16—C21
1.386 (3)
C25—H25A
0.960 C7
0.0418 (8)
0.0515 (9)
0.0338 (7)
0.0101 (7)
0.0188 (7)
0.0024 (7)
C8
0.0328 (7)
0.0458 (8)
0.0355 (7)
0.0031 (6)
0.0195 (6)
−0.0009 (6)
C9
0.0367 (8)
0.0497 (9)
0.0390 (8)
0.0027 (7)
0.0202 (7)
−0.0007 (7)
C10
0.0432 (9)
0.0570 (10)
0.0393 (8)
0.0050 (8)
0.0195 (7)
0.0072 (7)
C11
0.0491 (9)
0.0522 (9)
0.0382 (8)
−0.0021 (8)
0.0253 (7)
−0.0001 (7)
C12
0.0500 (10)
0.0572 (10)
0.0471 (9)
−0.0022 (8)
0.0337 (8)
−0.0047 (8)
C13
0.0360 (8)
0.0484 (9)
0.0412 (8)
−0.0001 (7)
0.0225 (7)
−0.0048 (7)
C14
0.0410 (8)
0.0444 (8)
0.0379 (8)
0.0011 (7)
0.0221 (7)
−0.0011 (7)
C15
0.0481 (9)
0.0453 (9)
0.0453 (8)
−0.0020 (7)
0.0288 (8)
−0.0028 (7)
C16
0.0443 (9)
0.0419 (8)
0.0371 (7)
0.0007 (7)
0.0237 (7)
0.0024 (6)
C17
0.0418 (9)
0.0490 (9)
0.0470 (8)
−0.0074 (7)
0.0255 (7)
−0.0081 (7)
C18
0.0475 (10)
0.0537 (9)
0.0554 (10)
−0.0005 (8)
0.0336 (8)
−0.0053 (8)
C19
0.0597 (10)
0.0433 (8)
0.0389 (8)
0.0020 (8)
0.0284 (8)
−0.0032 (7)
C20
0.0606 (11)
0.0494 (9)
0.0495 (9)
−0.0182 (8)
0.0270 (9)
−0.0071 (8)
C21
0.0517 (10)
0.0588 (10)
0.0527 (9)
−0.0102 (8)
0.0353 (8)
0.0005 (8)
C22
0.0753 (13)
0.0712 (13)
0.0517 (10)
−0.0018 (10)
0.0400 (10)
0.0076 (9)
C23
0.0613 (11)
0.0572 (11)
0.0523 (10)
−0.0086 (9)
0.0281 (9)
−0.0064 (8)
C24
0.0855 (15)
0.0636 (12)
0.0579 (11)
−0.0058 (11)
0.0452 (11)
0.0004 (9)
C25
0.0824 (16)
0.0480 (10)
0.0873 (15)
−0.0073 (10)
0.0452 (13)
−0.0059 (10) Geometric parameters (Å, º)
Cl1—C19
1.746 (2)
C20—C21
1.393 (3)
O1—C3
1.288 (2)
O2—H2
0.820
O2—C9
1.283 (3)
O4—H4
0.820
O3—C13
1.2932 (19)
C1—H1
0.980
O4—C7
1.283 (3)
C4—H4A
0.970
C1—C2
1.517 (3)
C4—H4B
0.970
C1—C8
1.525 (3)
C6—H6A
0.970
C1—C14
1.522 (3)
C6—H6B
0.970
C2—C3
1.401 (3)
C10—H10A
0.970
C2—C7
1.408 (3)
C10—H10B
0.970
C3—C4
1.504 (3)
C12—H12A
0.970
C4—C5
1.525 (3)
C12—H12B
0.970
C5—C6
1.527 (4)
C14—H14
0.96 (2)
C5—C24
1.537 (3)
C15—H15
1.03 (3)
C5—C25
1.527 (3)
C17—H17
0.930
C6—C7
1.498 (3)
C18—H18
0.930
C8—C9
1.405 (2)
C20—H20
0.930
C8—C13
1.399 (3)
C21—H21
0.930
C9—C10
1.496 (3)
C22—H22A
0.960
C10—C11
1.531 (3)
C22—H22B
0.960
C11—C12
1.531 (3)
C22—H22C
0.960
C11—C22
1.536 (3)
C23—H23A
0.960
C11—C23
1.531 (3)
C23—H23B
0.960
C12—C13
1.503 (3)
C23—H23C
0.960
C14—C15
1.312 (3)
C24—H24A
0.960
C15—C16
1.483 (3)
C24—H24B
0.960
C16—C17
1.388 (3)
C24—H24C
0.960
C16—C21
1.386 (3)
C25—H25A
0.960 Geometric parameters (Å, º) sup-5 Acta Cryst. Special details (2013). Special details E69, o1347 supplementary materials pp
y
6
C17—C18
1.382 (3)
C25—H25B
0.960
C18—C19
1.370 (3)
C25—H25C
0.960
C19—C20
1.377 (4)
O1···O2
2.596 (2)
H22B···H23C
2.9787
O1···C1
2.9500 (19)
H22C···H23B
3.5386
O1···C7
3.600 (2)
H22C···H23C
3.5689
O1···C8
3.451 (3)
H24A···H25A
3.5586
O1···C9
3.337 (3)
H24A···H25B
2.5096
O1···C14
3.1254 (18)
H24A···H25C
2.9303
O1···C15
3.1072 (18)
H24B···H25B
3.5566
O2···C1
2.9268 (17)
H24B···H25C
3.5249
O2···C2
3.5406 (19)
H24C···H25A
3.5295
O2···C3
3.406 (2)
H24C···H25B
2.9424
O2···C13
3.589 (3)
H24C···H25C
2.4564
O2···C14
2.9486 (17)
Cl1···H6Bi
3.0186
O3···O4
2.669 (2)
Cl1···H22Bxi
3.2133
O3···C1
2.859 (3)
Cl1···H23Bxi
3.0987
O3···C2
3.483 (3)
Cl1···H25Aviii
3.3630
O3···C7
3.399 (3)
O1···H10Bii
2.6745
O4···C1
2.862 (2)
O1···H17iii
2.6842
O4···C3
3.584 (3)
O1···H18iii
3.0529
O4···C8
3.568 (2)
O2···H18iii
2.5113
O4···C13
3.468 (2)
O2···H25Aiv
2.8705
C2···C5
2.915 (3)
O2···H25Civ
3.1597
C2···C9
3.442 (3)
O3···H6Avii
2.6688
C2···C13
3.401 (3)
O3···H14v
3.395 (18)
C2···C15
2.995 (3)
O3···H20v
3.5562
C2···C24
3.330 (4)
O3···H21v
2.6046
C3···C6
2.857 (3)
O3···H24Cvii
3.2782
C3···C8
3.372 (3)
O4···H1v
3.1608
C3···C14
3.155 (2)
O4···H14v
2.74 (3)
C3···C15
3.194 (3)
O4···H21v
3.5252
C3···C24
3.125 (3)
O4···H23Av
2.7257
C4···C7
2.841 (3)
O4···H23Bix
3.5219
C7···C8
3.452 (3)
C1···H23Av
3.5318
C7···C24
3.135 (4)
C1···H23Cv
3.5995
C8···C11
2.923 (3)
C3···H10Bii
3.4852
C8···C23
3.384 (3)
C4···H10Bii
3.5823
C9···C12
2.859 (4)
C4···H24Aiii
3.5584
C9···C14
3.034 (3)
C6···H23Bix
3.4066
C9···C23
3.167 (3)
C7···H23Av
3.2924
C10···C13
2.864 (3)
C12···H22Axii
3.4517
C13···C23
3.142 (3)
C13···H6Avii
3.3361
C14···C21
3.058 (3)
C14···H4vii
3.5679
C16···C19
2.777 (3)
C14···H23Cv
3.4805
C17···C20
2.760 (3)
C14···H25Civ
3.3828
C18···C21
2.759 (4)
C15···H22Ci
3.3353
Cl1···C7i
3.4881 (18)
C15···H23Cv
3.3798 1.382 (3)
C25—H25B
0.960
1.370 (3)
C25—H25C
0.960
1.377 (4)
2.596 (2)
H22B···H23C
2.9787
2.9500 (19)
H22C···H23B
3.5386
3.600 (2)
H22C···H23C
3.5689
3.451 (3)
H24A···H25A
3.5586
3.337 (3)
H24A···H25B
2.5096
3.1254 (18)
H24A···H25C
2.9303
3.1072 (18)
H24B···H25B
3.5566
2.9268 (17)
H24B···H25C
3.5249
3.5406 (19)
H24C···H25A
3.5295
3.406 (2)
H24C···H25B
2.9424
3.589 (3)
H24C···H25C
2.4564
2.9486 (17)
Cl1···H6Bi
3.0186
2.669 (2)
Cl1···H22Bxi
3.2133
2.859 (3)
Cl1···H23Bxi
3.0987
3.483 (3)
Cl1···H25Aviii
3.3630
3.399 (3)
O1···H10Bii
2.6745
2.862 (2)
O1···H17iii
2.6842
3.584 (3)
O1···H18iii
3.0529
3.568 (2)
O2···H18iii
2.5113
3.468 (2)
O2···H25Aiv
2.8705
2.915 (3)
O2···H25Civ
3.1597
3.442 (3)
O3···H6Avii
2.6688
3.401 (3)
O3···H14v
3.395 (18)
2.995 (3)
O3···H20v
3.5562
3.330 (4)
O3···H21v
2.6046
2.857 (3)
O3···H24Cvii
3.2782
3.372 (3)
O4···H1v
3.1608
3.155 (2)
O4···H14v
2.74 (3)
3.194 (3)
O4···H21v
3.5252
3.125 (3)
O4···H23Av
2.7257
2.841 (3)
O4···H23Bix
3.5219
3.452 (3)
C1···H23Av
3.5318
3.135 (4)
C1···H23Cv
3.5995
2.923 (3)
C3···H10Bii
3.4852
3.384 (3)
C4···H10Bii
3.5823
2.859 (4)
C4···H24Aiii
3.5584
3.034 (3)
C6···H23Bix
3.4066
3.167 (3)
C7···H23Av
3.2924
2.864 (3)
C12···H22Axii
3.4517
3.142 (3)
C13···H6Avii
3.3361
3.058 (3)
C14···H4vii
3.5679
2.777 (3)
C14···H23Cv
3.4805
2.760 (3)
C14···H25Civ
3.3828
2.759 (4)
C15···H22Ci
3.3353
3.4881 (18)
C15···H23Cv
3.3798 Acta Cryst. Special details E69, o1347 sup-6 supplementary materials 3.5567 (17)
C15···H25Civ
3.5282
3.387 (3)
C16···H12Ai
3.0750
3.562 (3)
C16···H22Ci
3.2586
3.418 (3)
C16···H25Civ
3.2630
3.452 (3)
C17···H10Bi
3.3620
3.397 (3)
C17···H12Ai
2.9514
3.407 (3)
C17···H22Ci
3.0627
3.589 (3)
C18···H2iii
3.3192
3.4881 (18)
C18···H10Bi
3.3305
3.5567 (17)
C18···H12Ai
2.9391
3.407 (3)
C18···H25Aviii
3.2196
3.387 (3)
C18···H25Bviii
3.1455
3.562 (3)
C19···H12Ai
3.0146
3.418 (3)
C19···H25Aviii
3.5403
3.544 (3)
C19···H25Bviii
3.3584
3.397 (3)
C20···H12Ai
3.1142
3.589 (3)
C20···H20xiii
3.4842
3.452 (3)
C20···H24Civ
3.0203
3.544 (3)
C21···H12Ai
3.1255
2.7805
C21···H20xiii
3.4292
2.8122
C21···H24Civ
3.2186
1.7810
C21···H25Civ
3.3161
2.7306
C22···H12Bxii
3.4859
2.4584
C22···H22Axii
3.2667
2.704 (19)
C22···H23Cxii
3.5905
2.4728
C22···H24Avi
3.5355
2.6956
C22···H24Bvi
3.2308
3.076 (16)
C23···H1vii
3.1526
2.4318
C23···H6Biv
3.3975
1.8652
C23···H22Axii
3.5874
2.7362
C24···H4Biii
3.5806
2.4712
C24···H22Bi
3.3070
2.4024
C24···H22Ci
3.4528
2.4738
C25···H18x
3.2287
2.6942
H1···O4vii
3.1608
2.6080
H1···C23v
3.1526
2.4692
H1···H6Avii
3.1070
2.75 (3)
H1···H23Av
2.6890
2.9270
H1···H23Bv
3.2230
3.0110
H1···H23Cv
3.0387
3.2466
H2···C18iii
3.3192
2.3780
H2···H10Bii
3.4272
3.2378
H2···H17iii
3.3905
3.0428
H2···H18iii
2.4809
3.411 (19)
H2···H25Aiv
3.4155
2.64 (3)
H2···H25Civ
3.4842
2.7872
H4A···H10Aii
3.0071
3.2857
H4A···H10Bii
3.2823
2.6198
H4B···C24iii
3.5806 O1···C10ii
3.5567 (17)
C15···H25Civ
O1···C17iii
3.387 (3)
C16···H12Ai
O1···C18iii
3.562 (3)
C16···H22Ci
O2···C18iii
3.418 (3)
C16···H25Civ
O2···C25iv
3.452 (3)
C17···H10Bi
O3···C21v
3.397 (3)
C17···H12Ai
O4···C14v
3.407 (3)
C17···H22Ci
O4···C23v
3.589 (3)
C18···H2iii
C7···Cl1vi
3.4881 (18)
C18···H10Bi
C10···O1ii
3.5567 (17)
C18···H12Ai
C14···O4vii
3.407 (3)
C18···H25Aviii
C17···O1iii
3.387 (3)
C18···H25Bviii
C18···O1iii
3.562 (3)
C19···H12Ai
C18···O2iii
3.418 (3)
C19···H25Aviii
C18···C25viii
3.544 (3)
C19···H25Bviii
C21···O3vii
3.397 (3)
C20···H12Ai
C23···O4vii
3.589 (3)
C20···H20xiii
C25···O2ix
3.452 (3)
C20···H24Civ
C25···C18x
3.544 (3)
C21···H12Ai
Cl1···H18
2.7805
C21···H20xiii
Cl1···H20
2.8122
C21···H24Civ
O1···H2
1.7810
C21···H25Civ
O1···H4A
2.7306
C22···H12Bxii
O1···H4B
2.4584
C22···H22Axii
O1···H15
2.704 (19)
C22···H23Cxii
O2···H10A
2.4728
C22···H24Avi
O2···H10B
2.6956
C22···H24Bvi
O2···H14
3.076 (16)
C23···H1vii
O3···H1
2.4318
C23···H6Biv
O3···H4
1.8652
C23···H22Axii
O3···H12A
2.7362
C24···H4Biii
O3···H12B
2.4712
C24···H22Bi
O4···H1
2.4024
C24···H22Ci
O4···H6A
2.4738
C25···H18x
O4···H6B
2.6942
H1···O4vii
C1···H2
2.6080
H1···C23v
C1···H4
2.4692
H1···H6Avii
C1···H15
2.75 (3)
H1···H23Av
C2···H2
2.9270
H1···H23Bv
C2···H4A
3.0110
H1···H23Cv
C2···H4B
3.2466
H2···C18iii
C2···H4
2.3780
H2···H10Bii
C2···H6A
3.2378
H2···H17iii
C2···H6B
3.0428
H2···H18iii
C2···H14
3.411 (19)
H2···H25Aiv
C2···H15
2.64 (3)
H2···H25Civ
C2···H24B
2.7872
H4A···H10Aii
C3···H1
3.2857
H4A···H10Bii
C3···H2
2.6198
H4B···C24iii 3.5567 (17)
C15···H25Civ
3.5282
3.387 (3)
C16···H12Ai
3.0750
3.562 (3)
C16···H22Ci
3.2586
3.418 (3)
C16···H25Civ
3.2630
3.452 (3)
C17···H10Bi
3.3620
3.397 (3)
C17···H12Ai
2.9514
3.407 (3)
C17···H22Ci
3.0627
3.589 (3)
C18···H2iii
3.3192
3.4881 (18)
C18···H10Bi
3.3305
3.5567 (17)
C18···H12Ai
2.9391
3.407 (3)
C18···H25Aviii
3.2196
3.387 (3)
C18···H25Bviii
3.1455
3.562 (3)
C19···H12Ai
3.0146
3.418 (3)
C19···H25Aviii
3.5403
ii
3.544 (3)
C19···H25Bviii
3.3584
3.397 (3)
C20···H12Ai
3.1142
3.589 (3)
C20···H20xiii
3.4842
3.452 (3)
C20···H24Civ
3.0203
3.544 (3)
C21···H12Ai
3.1255
2.7805
C21···H20xiii
3.4292
2.8122
C21···H24Civ
3.2186
1.7810
C21···H25Civ
3.3161
2.7306
C22···H12Bxii
3.4859
2.4584
C22···H22Axii
3.2667
2.704 (19)
C22···H23Cxii
3.5905
2.4728
C22···H24Avi
3.5355
2.6956
C22···H24Bvi
3.2308
3.076 (16)
C23···H1vii
3.1526
2.4318
C23···H6Biv
3.3975
1.8652
C23···H22Axii
3.5874
2.7362
C24···H4Biii
3.5806
2.4712
C24···H22Bi
3.3070
2.4024
C24···H22Ci
3.4528
2.4738
C25···H18x
3.2287
2.6942
H1···O4vii
3.1608
2.6080
H1···C23v
3.1526
2.4692
H1···H6Avii
3.1070
2.75 (3)
H1···H23Av
2.6890
2.9270
H1···H23Bv
3.2230
3.0110
H1···H23Cv
3.0387
3.2466
H2···C18iii
3.3192
2.3780
H2···H10Bii
3.4272
3.2378
H2···H17iii
3.3905
3.0428
H2···H18iii
2.4809
3.411 (19)
H2···H25Aiv
3.4155
2.64 (3)
H2···H25Civ
3.4842
2.7872
H4A···H10Aii
3.0071
3.2857
H4A···H10Bii
3.2823
2.6198
H4B···C24iii
3.5806 sup-7 Acta Cryst. Special details (2013). Special details (2013). E69, o1347 supplementary materials supplementary materials pp
y
3.2414
H4B···H10Bii
3.3716
2.59 (3)
H4B···H22Bii
3.2691
3.4462
H4B···H22Cii
3.3845
2.8090
H4B···H24Aiii
2.6583
3.2847
H4···C14v
3.5679
2.7049
H4···H6Avii
3.3756
3.51 (2)
H4···H14v
2.7543
2.7083
H4···H21v
3.1385
2.7094
H4···H23Av
2.8328
3.3471
H6A···O3v
2.6688
2.6831
H6A···C13v
3.3361
2.6826
H6A···H1v
3.1070
3.3297
H6A···H4v
3.3756
2.6888
H6A···H14ix
3.5791
3.2874
H6A···H23Aix
3.3147
3.0338
H6A···H23Bix
3.3524
3.3360
H6B···Cl1vi
3.0186
2.6727
H6B···C23ix
3.3975
2.7078
H6B···H10Aix
3.0101
2.6697
H6B···H23Aix
3.2557
3.3338
H6B···H23Bix
2.7143
2.7091
H10A···H4Aii
3.0071
2.4829
H10A···H6Biv
3.0101
3.1881
H10A···H25Aiv
3.2595
2.8038
H10B···O1ii
2.6745
3.4905
H10B···C3ii
3.4852
2.3998
H10B···C4ii
3.5823
2.9370
H10B···C17vi
3.3620
3.2378
H10B···C18vi
3.3305
3.0358
H10B···H2ii
3.4272
3.0152
H10B···H4Aii
3.2823
3.2493
H10B···H4Bii
3.3716
2.67 (3)
H10B···H17vi
3.1744
2.8629
H10B···H18vi
3.1355
3.2747
H12A···C16vi
3.0750
3.2242
H12A···C17vi
2.9514
3.04 (2)
H12A···C18vi
2.9391
2.8454
H12A···C19vi
3.0146
3.5311
H12A···C20vi
3.1142
3.0054
H12A···C21vi
3.1255
2.7350
H12A···H17vi
3.4273
3.3071
H12A···H18vi
3.4190
3.3271
H12A···H20v
3.4853
2.6797
H12B···C22xii
3.4859
2.6633
H12B···H20v
3.0569
2.6830
H12B···H22Axii
2.6641
2.7203
H12B···H22Bxii
3.5275
3.3442
H12B···H24Bvii
3.2747
3.3044
H12B···H24Cvii
3.0340 C3···H6B
3.2414
H4B···H10Bii
3.3716
C3···H15
2.59 (3)
H4B···H22Bii
3.2691
C3···H24A
3.4462
H4B···H22Cii
3.3845
C3···H24B
2.8090
H4B···H24Aiii
2.6583
C4···H6A
3.2847
H4···C14v
3.5679
C4···H6B
2.7049
H4···H6Avii
3.3756
C4···H15
3.51 (2)
H4···H14v
2.7543
C4···H24A
2.7083
H4···H21v
3.1385
C4···H24B
2.7094
H4···H23Av
2.8328
C4···H24C
3.3471
H6A···O3v
2.6688
C4···H25A
2.6831
H6A···C13v
3.3361
C4···H25B
2.6826
H6A···H1v
3.1070
C4···H25C
3.3297
H6A···H4v
3.3756
C6···H4A
2.6888
H6A···H14ix
3.5791
C6···H4B
3.2874
H6A···H23Aix
3.3147
C6···H4
3.0338
H6A···H23Bix
3.3524
C6···H24A
3.3360
H6B···Cl1vi
3.0186
C6···H24B
2.6727
H6B···C23ix
3.3975
C6···H24C
2.7078
H6B···H10Aix
3.0101
C6···H25A
2.6697
H6B···H23Aix
3.2557
C6···H25B
3.3338
H6B···H23Bix
2.7143
C6···H25C
2.7091
H10A···H4Aii
3.0071
C7···H1
2.4829
H10A···H6Biv
3.0101
C7···H4A
3.1881
H10A···H25Aiv
3.2595
C7···H24B
2.8038
H10B···O1ii
2.6745
C7···H24C
3.4905
H10B···C3ii
3.4852
C8···H2
2.3998
H10B···C4ii
3.5823
C8···H4
2.9370
H10B···C17vi
3.3620
C8···H10A
3.2378
H10B···C18vi
3.3305
C8···H10B
3.0358
H10B···H2ii
3.4272
C8···H12A
3.0152
H10B···H4Aii
3.2823
C8···H12B
3.2493
H10B···H4Bii
3.3716
C8···H14
2.67 (3)
H10B···H17vi
3.1744
C8···H23A
2.8629
H10B···H18vi
3.1355
C9···H1
3.2747
H12A···C16vi
3.0750
C9···H12A
3.2242
H12A···C17vi
2.9514
C9···H14
3.04 (2)
H12A···C18vi
2.9391
C9···H23A
2.8454
H12A···C19vi
3.0146
C9···H23B
3.5311
H12A···C20vi
3.1142
C10···H2
3.0054
H12A···C21vi
3.1255
C10···H12A
2.7350
H12A···H17vi
3.4273
C10···H12B
3.3071
H12A···H18vi
3.4190
C10···H22A
3.3271
H12A···H20v
3.4853
C10···H22B
2.6797
H12B···C22xii
3.4859
C10···H22C
2.6633
H12B···H20v
3.0569
C10···H23A
2.6830
H12B···H22Axii
2.6641
C10···H23B
2.7203
H12B···H22Bxii
3.5275
C10···H23C
3.3442
H12B···H24Bvii
3.2747
C12···H10A
3.3044
H12B···H24Cvii
3.0340 sup-8 Acta Cryst. (2013). E69, o1347 supplementary materials supplementary materials C12···H10B
2.7462
H14···O3vii
3.395 (18)
C12···H22A
2.7028
H14···O4vii
2.74 (3)
C12···H22B
3.3414
H14···H4vii
2.7543
C12···H22C
2.6861
H14···H6Aiv
3.5791
C12···H23A
2.7048
H14···H25Civ
2.9474
C12···H23B
3.3398
H15···H22Ci
2.8245
C12···H23C
2.6821
H15···H23Cv
3.3563
C13···H1
2.5025
H17···O1iii
2.6842
C13···H4
2.6894
H17···H2iii
3.3905
C13···H10B
3.2593
H17···H10Bi
3.1744
C13···H23A
2.8373
H17···H12Ai
3.4273
C13···H23C
3.4566
H17···H17iii
3.1033
C14···H2
2.7098
H17···H22Ci
2.8924
C14···H21
2.8306
H18···O1iii
3.0529
C15···H1
2.9862
H18···O2iii
2.5113
C15···H2
3.2616
H18···C25viii
3.2287
C15···H17
2.6127
H18···H2iii
2.4809
C15···H21
2.6806
H18···H10Bi
3.1355
C15···H24B
3.3767
H18···H12Ai
3.4190
C16···H14
2.65 (3)
H18···H25Aviii
2.7464
C16···H18
3.2524
H18···H25Bviii
3.0890
C16···H20
3.2591
H18···H25Cviii
3.3419
C17···H15
2.66 (3)
H20···O3vii
3.5562
C17···H21
3.2194
H20···C20xiii
3.4842
C18···H20
3.2304
H20···C21xiii
3.4292
C19···H17
3.2119
H20···H12Avii
3.4853
C19···H21
3.2230
H20···H12Bvii
3.0569
C20···H18
3.2300
H20···H20xiii
3.2364
C21···H14
2.78 (3)
H20···H21xiii
3.1193
C21···H15
3.36 (2)
H20···H22Bxi
3.2572
C21···H17
3.2185
H20···H24Civ
2.9433
C22···H10A
2.7502
H21···O3vii
2.6046
C22···H10B
2.5576
H21···O4vii
3.5252
C22···H12A
2.5897
H21···H4vii
3.1385
C22···H12B
2.7693
H21···H20xiii
3.1193
C22···H23A
3.3326
H21···H24Civ
3.2766
C22···H23B
2.6584
H21···H25Civ
3.4292
C22···H23C
2.6978
H22A···C12xii
3.4517
C23···H10A
2.6139
H22A···C22xii
3.2667
C23···H10B
3.3344
H22A···C23xii
3.5874
C23···H12A
3.3328
H22A···H12Bxii
2.6641
C23···H12B
2.6147
H22A···H22Axii
2.3851
C23···H22A
2.6798
H22A···H23Cxii
2.8117
C23···H22B
2.6786
H22A···H24Bvi
3.1369
C23···H22C
3.3321
H22A···H24Cvi
3.5488
C24···H4A
3.3461
H22B···Cl1xiv
3.2133
C24···H4B
2.6497
H22B···C24vi
3.3070
C24···H6A
2.6115
H22B···H4Bii
3.2691
C24···H6B
3.3310
H22B···H12Bxii
3.5275 2.7462
H14···O3vii
3.395 (18)
2.7028
H14···O4vii
2.74 (3)
3.3414
H14···H4vii
2.7543
2.6861
H14···H6Aiv
3.5791
2.7048
H14···H25Civ
2.9474
3.3398
H15···H22Ci
2.8245
2.6821
H15···H23Cv
3.3563
2.5025
H17···O1iii
2.6842
2.6894
H17···H2iii
3.3905
3.2593
H17···H10Bi
3.1744
2.8373
H17···H12Ai
3.4273
3.4566
H17···H17iii
3.1033
2.7098
H17···H22Ci
2.8924
2.8306
H18···O1iii
3.0529
2.9862
H18···O2iii
2.5113
3.2616
H18···C25viii
3.2287
2.6127
H18···H2iii
2.4809
2.6806
H18···H10Bi
3.1355
3.3767
H18···H12Ai
3.4190
2.65 (3)
H18···H25Aviii
2.7464
3.2524
H18···H25Bviii
3.0890
3.2591
H18···H25Cviii
3.3419
2.66 (3)
H20···O3vii
3.5562
3.2194
H20···C20xiii
3.4842
3.2304
H20···C21xiii
3.4292
3.2119
H20···H12Avii
3.4853
3.2230
H20···H12Bvii
3.0569
3.2300
H20···H20xiii
3.2364
2.78 (3)
H20···H21xiii
3.1193
3.36 (2)
H20···H22Bxi
3.2572
3.2185
H20···H24Civ
2.9433
2.7502
H21···O3vii
2.6046
2.5576
H21···O4vii
3.5252
2.5897
H21···H4vii
3.1385
2.7693
H21···H20xiii
3.1193
3.3326
H21···H24Civ
3.2766
2.6584
H21···H25Civ
3.4292
2.6978
H22A···C12xii
3.4517
2.6139
H22A···C22xii
3.2667
3.3344
H22A···C23xii
3.5874
3.3328
H22A···H12Bxii
2.6641
2.6147
H22A···H22Axii
2.3851
2.6798
H22A···H23Cxii
2.8117
2.6786
H22A···H24Bvi
3.1369
3.3321
H22A···H24Cvi
3.5488
3.3461
H22B···Cl1xiv
3.2133
2.6497
H22B···C24vi
3.3070
2.6115
H22B···H4Bii
3.2691
3.3310
H22B···H12Bxii
3.5275 sup-9 Acta Cryst. (2013). supplementary materials E69, o1347 supplementary materials C24···H15
3.30 (2)
H22B···H20xiv
3.2572
C24···H25A
3.3237
H22B···H24Avi
3.0483
C24···H25B
2.6787
H22B···H24Bvi
3.1185
C24···H25C
2.6497
H22B···H24Cvi
3.1990
C25···H4A
2.6001
H22C···C15vi
3.3353
C25···H4B
2.7312
H22C···C16vi
3.2586
C25···H6A
2.7533
H22C···C17vi
3.0627
C25···H6B
2.5914
H22C···C24vi
3.4528
C25···H24A
2.6767
H22C···H4Bii
3.3845
C25···H24B
3.3219
H22C···H15vi
2.8245
C25···H24C
2.6561
H22C···H17vi
2.8924
H1···H2
3.5717
H22C···H23Cxii
3.5301
H1···H4
1.9467
H22C···H24Avi
3.2653
H1···H14
2.4037
H22C···H24Bvi
2.8963
H1···H15
3.2263
H23A···O4vii
2.7257
H2···H10A
3.2527
H23A···C1vii
3.5318
H2···H10B
3.2362
H23A···C7vii
3.2924
H2···H14
3.0890
H23A···H1vii
2.6890
H2···H15
3.4192
H23A···H4vii
2.8328
H4A···H6A
3.5860
H23A···H6Aiv
3.3147
H4A···H6B
2.5897
H23A···H6Biv
3.2557
H4A···H24A
3.5430
H23B···Cl1xiv
3.0987
H4A···H25A
2.4219
H23B···O4iv
3.5219
H4A···H25B
2.8373
H23B···C6iv
3.4066
H4A···H25C
3.4925
H23B···H1vii
3.2230
H4B···H6B
3.5940
H23B···H6Aiv
3.3524
H4B···H15
3.5270
H23B···H6Biv
2.7143
H4B···H24A
2.4764
H23C···C1vii
3.5995
H4B···H24B
2.9061
H23C···C14vii
3.4805
H4B···H24C
3.5322
H23C···C15vii
3.3798
H4B···H25A
3.0352
H23C···C22xii
3.5905
H4B···H25B
2.5591
H23C···H1vii
3.0387
H4B···H25C
3.5902
H23C···H15vii
3.3563
H4···H6A
3.2689
H23C···H22Axii
2.8117
H4···H6B
3.3024
H23C···H22Cxii
3.5301
H6A···H24A
3.5087
H23C···H24Bvii
3.1984
H6A···H24B
2.8271
H24A···C4iii
3.5584
H6A···H24C
2.4542
H24A···C22i
3.5355
H6A···H25A
3.0355
H24A···H4Biii
2.6583
H6A···H25C
2.6056
H24A···H22Bi
3.0483
H6B···H24B
3.5883
H24A···H22Ci
3.2653
H6B···H24C
3.5251
H24A···H24Aiii
3.0705
H6B···H25A
2.3928
H24A···H25Biii
2.9152
H6B···H25B
3.4781
H24B···C22i
3.2308
H6B···H25C
2.8506
H24B···H12Bv
3.2747
H10A···H22B
2.5856
H24B···H22Ai
3.1369
H10A···H22C
3.0503
H24B···H22Bi
3.1185
H10A···H23A
2.8210
H24B···H22Ci
2.8963
H10A···H23B
2.4624
H24B···H23Cv
3.1984 sup-10 Acta Cryst. (2013). supplementary materials E69, o1347 supplementary materials A
C
(2013) E69
1347
H10A···H23C
3.5133
H24C···O3v
3.2782
H10B···H12A
2.6583
H24C···C20ix
3.0203
H10B···H22A
3.4558
H24C···C21ix
3.2186
H10B···H22B
2.7868
H24C···H12Bv
3.0340
H10B···H22C
2.3661
H24C···H20ix
2.9433
H10B···H23A
3.5987
H24C···H21ix
3.2766
H10B···H23B
3.5251
H24C···H22Ai
3.5488
H12A···H22A
2.8250
H24C···H22Bi
3.1990
H12A···H22B
3.4839
H25A···Cl1x
3.3630
H12A···H22C
2.4046
H25A···O2ix
2.8705
H12A···H23C
3.5052
H25A···C18x
3.2196
H12B···H22A
2.6114
H25A···C19x
3.5403
H12B···H22C
3.0698
H25A···H2ix
3.4155
H12B···H23A
2.8708
H25A···H10Aix
3.2595
H12B···H23B
3.5008
H25A···H18x
2.7464
H12B···H23C
2.4241
H25B···C18x
3.1455
H14···H15
2.85 (4)
H25B···C19x
3.3584
H14···H21
2.3527
H25B···H18x
3.0890
H14···H23A
3.3554
H25B···H24Aiii
2.9152
H15···H17
2.4558
H25B···H25Biii
2.9735
H15···H24A
3.4262
H25C···O2ix
3.1597
H15···H24B
2.4753
H25C···C14ix
3.3828
H17···H18
2.3063
H25C···C15ix
3.5282
H20···H21
2.3224
H25C···C16ix
3.2630
H22A···H23A
3.5645
H25C···C21ix
3.3161
H22A···H23B
2.9224
H25C···H2ix
3.4842
H22A···H23C
2.5220
H25C···H14ix
2.9474
H22B···H23A
3.5451
H25C···H18x
3.3419
H22B···H23B
2.4785
H25C···H21ix
3.4292
C2—C1—C8
115.54 (12)
C3—C4—H4B
108.669
C2—C1—C14
115.38 (17)
C5—C4—H4A
108.673
C8—C1—C14
112.14 (14)
C5—C4—H4B
108.662
C1—C2—C3
123.14 (14)
H4A—C4—H4B
107.607
C1—C2—C7
119.37 (14)
C5—C6—H6A
108.612
C3—C2—C7
117.35 (14)
C5—C6—H6B
108.599
O1—C3—C2
123.43 (15)
C7—C6—H6A
108.615
O1—C3—C4
115.18 (15)
C7—C6—H6B
108.621
C2—C3—C4
121.39 (15)
H6A—C6—H6B
107.574
C3—C4—C5
114.34 (14)
C9—C10—H10A
108.598
C4—C5—C6
106.51 (18)
C9—C10—H10B
108.584
C4—C5—C24
111.06 (18)
C11—C10—H10A
108.574
C4—C5—C25
110.12 (14)
C11—C10—H10B
108.582
C6—C5—C24
110.00 (16)
H10A—C10—H10B
107.551
C6—C5—C25
110.41 (19)
C11—C12—H12A
108.724
C24—C5—C25
108.7 (2)
C11—C12—H12B
108.715
C5—C6—C7
114.60 (16)
C13—C12—H12A
108.717
O4—C7—C2
122.66 (16)
C13—C12—H12B
108.714
O4—C7—C6
115.45 (16)
H12A—C12—H12B
107.633 sup-11 Acta Cryst. (2013). E69, o1347 supplementary materials Acta Cryst. (2013). supplementary materials E69, o1347
C2—C7—C6
121.89 (17)
C1—C14—H14
114.8 (17)
C1—C8—C9
122.53 (17)
C15—C14—H14
117.5 (16)
C1—C8—C13
119.43 (13)
C14—C15—H15
118.8 (16)
C9—C8—C13
118.03 (17)
C16—C15—H15
115.4 (16)
O2—C9—C8
122.39 (17)
C16—C17—H17
119.307
O2—C9—C10
115.56 (14)
C18—C17—H17
119.318
C8—C9—C10
122.03 (18)
C17—C18—H18
120.298
C9—C10—C11
114.73 (13)
C19—C18—H18
120.306
C10—C11—C12
107.62 (16)
C19—C20—H20
120.532
C10—C11—C22
108.88 (14)
C21—C20—H20
120.546
C10—C11—C23
110.69 (18)
C16—C21—H21
119.403
C12—C11—C22
110.08 (18)
C20—C21—H21
119.393
C12—C11—C23
110.26 (13)
C11—C22—H22A
109.471
C22—C11—C23
109.28 (16)
C11—C22—H22B
109.480
C11—C12—C13
114.15 (19)
C11—C22—H22C
109.472
O3—C13—C8
122.53 (17)
H22A—C22—H22B
109.466
O3—C13—C12
115.58 (19)
H22A—C22—H22C
109.470
C8—C13—C12
121.88 (15)
H22B—C22—H22C
109.468
C1—C14—C15
127.28 (16)
C11—C23—H23A
109.477
C14—C15—C16
125.79 (16)
C11—C23—H23B
109.479
C15—C16—C17
119.23 (14)
C11—C23—H23C
109.464
C15—C16—C21
122.77 (19)
H23A—C23—H23B
109.479
C17—C16—C21
117.99 (18)
H23A—C23—H23C
109.466
C16—C17—C18
121.37 (16)
H23B—C23—H23C
109.462
C17—C18—C19
119.4 (3)
C5—C24—H24A
109.461
Cl1—C19—C18
118.95 (19)
C5—C24—H24B
109.474
Cl1—C19—C20
119.95 (13)
C5—C24—H24C
109.468
C18—C19—C20
121.10 (19)
H24A—C24—H24B
109.465
C19—C20—C21
118.92 (16)
H24A—C24—H24C
109.480
C16—C21—C20
121.2 (2)
H24B—C24—H24C
109.479
C9—O2—H2
109.471
C5—C25—H25A
109.468
C7—O4—H4
109.468
C5—C25—H25B
109.474
C2—C1—H1
103.982
C5—C25—H25C
109.469
C8—C1—H1
104.004
H25A—C25—H25B
109.471
C14—C1—H1
103.975
H25A—C25—H25C
109.476
C3—C4—H4A
108.685
H25B—C25—H25C
109.469
C2—C1—C8—C9
89.25 (18)
C1—C8—C13—O3
8.4 (2)
C2—C1—C8—C13
−89.82 (15)
C1—C8—C13—C12
−172.70 (11)
C8—C1—C2—C3
−80.3 (2)
C9—C8—C13—O3
−170.70 (12)
C8—C1—C2—C7
95.27 (15)
C9—C8—C13—C12
8.2 (2)
C2—C1—C14—C15
11.56 (18)
C13—C8—C9—O2
168.60 (13)
C14—C1—C2—C3
53.27 (18)
C13—C8—C9—C10
−10.0 (2)
C14—C1—C2—C7
−131.20 (14)
O2—C9—C10—C11
161.45 (13)
C8—C1—C14—C15
146.64 (12)
C8—C9—C10—C11
−19.9 (2)
C14—C1—C8—C9
−45.75 (17)
C9—C10—C11—C12
47.70 (18)
C14—C1—C8—C13
135.18 (13)
C9—C10—C11—C22
167.00 (13)
C1—C2—C3—O1
7.1 (3)
C9—C10—C11—C23
−72.86 (17)
C1—C2—C3—C4
−173.35 (14)
C10—C11—C12—C13
−49.17 (15) sup-12 Acta Cryst. (2013). E69, o1347 supplementary materials Symmetry codes: (i) x, −y+1, z+1/2; (ii) −x+1, −y+1, −z+1; (iii) −x+1, y, −z+3/2; (iv) x, y+1, z; (v) −x+3/2, y−1/2, −z+3/2; (vi) x, −y+1, z−1/2; (vii) −x+3/2,
y+1/2, −z+3/2; (viii) −x+1, y+1, −z+3/2; (ix) x, y−1, z; (x) −x+1, y−1, −z+3/2; (xi) x, −y+2, z+1/2; (xii) −x+3/2, −y+3/2, −z+1; (xiii) −x+3/2, −y+3/2, −z+2;
(xiv) x −y+2 z−1/2 Symmetry codes: (iii) −x+1, y, −z+3/2; (vii) −x+3/2, y+1/2, −z+3/2. supplementary materials C1—C2—C7—O4
−9.8 (3)
C22—C11—C12—C13
−167.69 (13)
C1—C2—C7—C6
171.04 (13)
C23—C11—C12—C13
71.7 (2)
C3—C2—C7—O4
165.96 (15)
C11—C12—C13—O3
−157.80 (12)
C3—C2—C7—C6
−13.2 (3)
C11—C12—C13—C8
23.23 (19)
C7—C2—C3—O1
−168.47 (15)
C1—C14—C15—C16
174.60 (11)
C7—C2—C3—C4
11.0 (3)
C14—C15—C16—C17
151.19 (14)
O1—C3—C4—C5
−157.25 (16)
C14—C15—C16—C21
−30.2 (2)
C2—C3—C4—C5
23.2 (3)
C15—C16—C17—C18
−179.88 (12)
C3—C4—C5—C6
−51.3 (3)
C15—C16—C21—C20
180.00 (13)
C3—C4—C5—C24
68.4 (3)
C17—C16—C21—C20
−1.4 (3)
C3—C4—C5—C25
−171.05 (17)
C21—C16—C17—C18
1.5 (2)
C4—C5—C6—C7
49.33 (17)
C16—C17—C18—C19
−0.8 (3)
C24—C5—C6—C7
−71.11 (17)
C17—C18—C19—Cl1
−179.51 (12)
C25—C5—C6—C7
168.87 (14)
C17—C18—C19—C20
−0.0 (3)
C5—C6—C7—O4
161.70 (13)
Cl1—C19—C20—C21
179.56 (10)
C5—C6—C7—C2
−19.1 (2)
C18—C19—C20—C21
0.1 (3)
C1—C8—C9—O2
−10.5 (2)
C19—C20—C21—C16
0.7 (3)
C1—C8—C9—C10
170.94 (11) Symmetry codes: (i) x, −y+1, z+1/2; (ii) −x+1, −y+1, −z+1; (iii) −x+1, y, −z+3/2; (iv) x, y+1, z; (v) −x+3/2, y−1/2, −z+3/2; (vi) x, −y+1, z−1/2; (vii) −x+3/2,
y+1/2, −z+3/2; (viii) −x+1, y+1, −z+3/2; (ix) x, y−1, z; (x) −x+1, y−1, −z+3/2; (xi) x, −y+2, z+1/2; (xii) −x+3/2, −y+3/2, −z+1; (xiii) −x+3/2, −y+3/2, −z+2;
(xiv) x, −y+2, z−1/2. Hydrogen-bond geometry (Å, º)
D—H···A
D—H
H···A
D···A
D—H···A
O2—H2···O1
0.82
1.78
2.596 (2)
173
O4—H4···O3
0.82
1.87
2.669 (2)
166
C18—H18···O2iii
0.93
2.51
3.418 (3)
165
C21—H21···O3vii
0.93
2.61
3.397 (3)
143
Symmetry codes: (iii) −x+1, y, −z+3/2; (vii) −x+3/2, y+1/2, −z+3/2. Hydrogen-bond geometry (Å, º) Hydrogen-bond geometry (Å, º) Symmetry codes: (iii) −x+1, y, −z+3/2; (vii) −x+3/2, y+1/2, −z+3/2. Acta Cryst. (2013). E69, o1347 sup-13
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https://www.frontiersin.org/articles/10.3389/fmicb.2012.00312/pdf
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English
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Structural Basis for Specific Recognition of Substrates by Sapovirus Protease
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Frontiers in microbiology
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cc-by
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INTRODUCTION sites of the ORF1 polyprotein, indicating that additional amino
acid residues are required for the specific recognition of sub-
strates (Oka et al., 2006). In this regard, calicivirus proteases
have a large cavity that can accommodate substrate peptides with
several amino acid in lengths (Nakamura et al., 2005; Zeitler
et al., 2006; Oka et al., 2007). It is conceivable that these sub-
strate amino acid residues around the cleavage sites, termed the
P4, P3, P2, P1, P1′, P2′, P3′, and P4′ sites, are all involved to
some extent, either directly or indirectly, in the recognition and
cleavage by protease. However, there must be a division of roles:
previous studies on the calicivirus proteases consistently suggest
more extensive involvement of the substrate amino acid residues
upstream of the peptide bond of the cleavage sites in the cleav-
age by proteases (Wirblich et al., 1995; Sosnovtsev et al., 1998;
Hardy et al., 2002; Belliot et al., 2003; Scheffler et al., 2007; Robel
et al., 2008). In the case of SaV, the substrate P1 and P4 amino
acid residues in particular are physicochemically more conserved
among different SaV strains (Oka et al., 2009) and more sensi-
tive to the substitutions (Robel et al., 2008; Oka et al., 2009). Therefore,these amino acid residues may provide the specific con-
tact sites with SaV protease. However, due to the lack of structural Sapovirus (SaV) is a non-enveloped RNA virus that belongs to
the family Caliciviridae and causes gastroenteritis in humans and
swine (Chiba et al., 1979, 2000; Guo et al., 1999; Hansman et al.,
2007). The SaV genome is a single-stranded RNA that encodes
two or three open reading frames (ORFs; Liu et al., 1995; Noel
et al., 1997; Numata et al., 1997; Guo et al., 1999; Robinson et al.,
2002). The ORF1 encodes six non-structural proteins (NS1, NS2,
NS3, NS4, NS5, and NS6-7) and a structural protein, the capsid
protein (VP1; Oka et al., 2006, 2009). The NS6-7 protein contains
the chymotrypsin-like protease domain (the 3C-like protease; Oka
et al., 2005a,b, 2007; Robel et al., 2008) and the RNA-dependent
RNA polymerase domain (the 3-D-like polymerase; Fullerton
et al., 2007; Bull et al., 2011). The ORF1 precursor protein is post-
translationally cleaved at six sites by the 3C-like protease (Oka
et al., 2005b, 2006). The SaV 3C-like protease domain comprises 146 amino acid
residues (Oka et al., 2007). ORIGINAL RESEARCH ARTICLE
S published: 05 September 2012
doi: 10.3389/fmicb.2012.00312 MasaruYokoyama1‡,Tomoichiro Oka2,3‡, Hirotatsu Kojima4,Tetsuo Nagano4,Takayoshi Okabe4,
Kazuhiko Katayama2,Takaji Wakita2,Tadahito Kanda1† and Hironori Sato1* 4 Open Innovation Center for Drug Discovery, The University of Tokyo, Japan Reviewed by: Reviewed by:
Hiroyuki Toh, National Institute of
Advanced Industrial Science and
Technology, Japan
Ming Tan, Cincinnati Children’s
Hospital Medical Center, USA Reviewed by:
Hiroyuki Toh, National Institute of
Advanced Industrial Science and
Technology, Japan
Ming Tan, Cincinnati Children’s
Hospital Medical Center, USA *Correspondence:
Hironori Sato, Pathogen Genomics
Center, National Institute of Infectious
Diseases, 4-7-1 Gakuen,
MusashiMurayama-shi, Tokyo
208-0011, Japan. Keywords: sapovirus protease, substrate recognition, P1 and P4 amino acid residues, 3-D models, amino acid
diversity, mutagenesis, 3-D pharmacophore, inhibitor screening Keywords: sapovirus protease, substrate recognition, P1 and P4 amino acid residues, 3-D models, amino acid
diversity, mutagenesis, 3-D pharmacophore, inhibitor screening Edited by: Sapovirus (SaV) protease catalyzes cleavage of the peptide bonds at six sites of a viral
polyprotein for the viral replication and maturation. However, the mechanisms by which
the protease recognizes the distinct sequences of the six cleavage sites remain poorly
understood. Here we examined this issue by computational and experimental approaches. A structural modeling and docking study disclosed two small clefts on the SaV protease
cavity that allow the stable and functional binding of substrates to the catalytic cavity
via aromatic stacking and electrostatic interactions. An information entropy study and a
site-directed mutagenesis study consistently suggested variability of the two clefts under
functional constraints. Using this information, we identified three chemical compounds that
had structural and spatial features resembling those of the substrate amino acid residues
bound to the two clefts and that exhibited an inhibitory effect on SaV protease in vitro.These
results suggest that the two clefts provide structural base points to realize the functional
binding of various substrates. Edited by:
Hiroyuki Toh, National Institute of
Advanced Industrial Science and
Technology, Japan Hiroyuki Toh, National Institute of
Advanced Industrial Science and
Technology, Japan Structural basis for specific recognition of substrates by
sapovirus protease MasaruYokoyama1‡,Tomoichiro Oka2,3‡, Hirotatsu Kojima4,Tetsuo Nagano4,Takayoshi Okabe4,
Kazuhiko Katayama2,Takaji Wakita2,Tadahito Kanda1† and Hironori Sato1*
1 Pathogen Genomics Center, National Institute of Infectious Diseases, Tokyo, Japan
2 Department of Virology II, National Institute of Infectious Diseases, Tokyo, Japan
3 Food Animal Health Research Program, Ohio Agricultural Research and Development Center, Department of Veterinary Preventive Medicine, The Ohio State
University, Wooster, OH, USA
4 Open Innovation Center for Drug Discovery The University of Tokyo Japan MasaruYokoyama1‡,Tomoichiro Oka2,3‡, Hirotatsu Kojima4,Tetsuo Nagano4,Takayoshi Okabe4,
Kazuhiko Katayama2,Takaji Wakita2,Tadahito Kanda1† and Hironori Sato1* MATERIALS AND METHODS
STRUCTURAL MODELING OF SaV PROTEASE DOCKED TO THE
SUBSTRATE OCTAPEPTIDES We first constructed a ligand-free protease domain model of the
SaV Mc10 strain (Oka et al., 2005b; GenBank accession number:
AY237420) by the homology modeling technique (Sanchez et al.,
2000; Baker and Sali, 2001) as described previously (Oka et al.,
2007). The modeling was performed using tools available in the
Molecular Operating Environment (MOE; Chemical Computing
Group, Inc., Montreal, QC, Canada). As the modeling template,
we used the high-resolution crystal structure of norovirus 3C-
like protease at a resolution of 1.50 Å [Protein Data Bank (PDB)
code: 2FYQ; Zeitler et al., 2006] because, like SaV, the norovirus
belongs to the family Caliciviridae, and thus the protease sequence
shows a higher identity to the SaV protease sequences (about 25%
identity) than to the other available 3C-like protease sequences
of viruses. We applied the multiple sequence alignment approach
(Baker and Sali, 2001) using the reported 3C-like proteases to
minimize misalignments of the target and template sequences, as
described previously (Oka et al., 2007; Shirakawa et al., 2008). The
sequences used for the alignment included those of the rhinovirus
3C-like protease (PDB code: 1CQQ; Matthews et al., 1999), the
poliovirus 3C-like protease (PDB code: 1L1N; Mosimann et al.,
1997),and the hepatitisA virus 3C-like protease (PDB code:1QA7;
Bergmann et al., 1999). The alignment was done with the align-
ment tool MOE-Align,and homology modeling was done with the
tool MOE-Homology in MOE. We optimized the 3-D model ther-
modynamically via energy minimization using the MOE and an
AMBER99 force field (Ponder and Case, 2003). We further refined
the physically unacceptable local structure of the models based
on a Ramachandran plot evaluation using MOE. The 3-D models
of the six octapeptides corresponding to the six cleavage sites of
the ORF1 precursor protein of the SaV Mc10 strain (NS1/NS2,
NS2/NS3, NS3/NS4, NS4/NS5, NS5/NS6-7, and NS6-7/VP1) were
constructed using the Molecular Builder module in MOE. Subse-
quently,the thermodynamically and physically optimized protease
models were used to construct protease-substrate complex mod-
els.Individualoctapeptidemodelsweredockedwiththeoptimized
SaV protease domain model described above,using the automated
ligand docking program ASEDock2005 (Goto et al., 2008) oper-
ated in MOE as described previously (Yokoyama et al., 2010). Default setting in ASEDock2005 was applied for the search of H (i) = −
X
xi
p (xi) log2p (xi)
(xi = G, A, I, V , . . . . . INTRODUCTION This enzyme cleaves the peptide bonds
of specific dipeptides,such as the glutamic acid/glycine (E/G),glu-
tamine/glycine (Q/G), and glutamic acid/alanine (E/A; Oka et al.,
2006). However, these dipeptide motifs exist in the non-cleaved September 2012 | Volume 3 | Article 312 | 1 www.frontiersin.org Substrate recognition by SaV protease Yokoyama et al. information on SaV protease and its substrates, such interaction
remains unclear. the candidate docking structures, and the structures with the best
docking score expressed by the arbitrary docking energy (U dock)
in ASEDock2005 (Kataoka and Goto, 2008) were selected for the
analysis of the protease-substrate interaction sites. Recent advances in the hardware and software for biomolecular
simulation and bioinformatics have rapidly improved the preci-
sion and performance of these techniques. We have applied some
of these techniques, in combination with experimental methods,
to understand the structural and evolutionary basis of the viro-
logical phenomena (Oka et al., 2007, 2009; Motomura et al., 2008,
2010;Naganawa et al.,2008;Shirakawa et al.,2008;Yokoyama et al.,
2010, 2012; Ode et al., 2011; Sakuragi et al., 2012). In this study, by
combining methods of homology modeling,the automated ligand
docking,Shannon entropy analysis,site-directed mutagenesis,and
in silico screening of SaV inhibitors, we studied the structural basis
for the substrate recognition by SaV protease. MATERIALS AND METHODS
STRUCTURAL MODELING OF SaV PROTEASE DOCKED TO THE
SUBSTRATE OCTAPEPTIDES .) , where H(i), p(xi), and i indicate the amino acid entropy (H) score
of a given position, the probability of occurrence of a given amino
acid at the position, and the number of the position, respectively. An H score of zero indicates absolute conservation, whereas 4.4
bits indicates complete randomness. The H scores were displayed
on the 3-D structure of the SaV protease model constructed above. We also calculated the Shannon entropy by considering the
physicochemical properties of amino acid residues, i.e., the chem-
ical properties and size of side chains as described previously (Oka
et al.,2009). For analysis of the diversity in the chemical properties,
the amino acid residues were classified into seven groups: acidic
(D,E), basic (R,K,H), neutral hydrophilic (S, T, N, Q), aliphatic
(G, A, V, I, L, M), aromatic (F, Y, W), thio-containing (C), and
imine (P). For analysis of the diversity in the size of side chains,
the amino acid residues were classified into four groups: small (G,
A, C, S), medium-small (T, V, N, D, I, L, P, M), medium-large (Q,
E, R, K), and large (H, F, Y, W). The H scores were plotted on the
3-D structure of the SaV protease model. ANALYSIS OF AMINO ACID DIVERSITY WITH INFORMATION ENTROPY ANALYSIS OF AMINO ACID DIVERSITY WITH INFORMATION ENTROPY
The amino acid diversity at individual sites of the SaV pro-
tease domain was analyzed with Shannon entropy scores as
described previously (Sander and Schneider, 1991; Mirny and
Shakhnovich, 1999; Oka et al., 2009). The amino acid sequences
of the protease domain of various human SaV strains from
different geographic regions in the world were obtained from
GenBank (the number of sequences is 19; accession numbers:
X86560, AY694184, AY237422, AY237423, AY646853, AY646854,
AJ249939, AY237420, AY237419, AY646855, AY603425, AJ786349,
DQ058829,
DQ125333,
AY646856,
DQ125334,
DQ366344,
DQ366345, DQ366346). The amino acid diversity within the
SaV protease population was calculated using Shannon’s formula
(Shannon, 1948): IN VITRO TRANSCRIPTION-TRANSLATION ASSAY Pharmacophore-based in silico screening was done using tools
available in the MOE. We created a pharmacophore query with
a substrate feature using the Pharmacophore Query Editor tool
in MOE. Pharmacophore-based in silico screening was done by
the Pharmacophore Search module in the MOE using the created
query. In vitro transcription-translation with a rabbit reticulocyte
system was performed using the TNT T7 Quick for PCR
DNA kit (Promega, Madison, WI, USA) as described previ-
ously (Oka et al., 2005b). Briefly, a template for the in vitro
transcription-translation, containing the entire ORF1, was pre-
pared by PCR amplification using the full-length cDNA clone. The primers used for the amplification were as follows. The for-
ward primer containing a T7 promoter sequence (underlined)
and a translation initiation codon (bold) was 5′-GGATCCTAA
TACGACTCACTATAGGGAACAGCCACCATG gcttccaagccattcta
cccaatagag-3′; and the antisense primer containing a stop codon
(bold) was 5′-T30TTA-ttctaagaacctaacggcccgg. The PCR product
(3 µl) was mixed with 20 µl of TNT T7 PCR Quick Master Mix
(Promega) and 2 µl of Redivue Pro-mix L- [35S] in vitro cell-
labeling mix (GE Healthcare Biosciences, Piscataway, NJ, USA). The mixture was incubated at 30˚C for 3 or 16 h and subjected to
SDS-polyacrylamide gel electrophoresis (SDS-PAGE). The trans-
lation products separated by electrophoresis were blotted onto a
PVDF membrane (Immobilon-P; Millipore, Bedford, MA, USA)
using a semi-dry electroblotting apparatus (ATTO; Tokyo). The
radiolabeled proteins were detected by a BAS 2500 Bioimage
Analyzer (Fuji Film, Tokyo). DRUG SUSCEPTIBILITY ASSAY The susceptibility of SaV protease to the synthetic small chem-
ical compound was determined by means of an in vitro trans
cleavage assay as follows. A radiolabeled full-length Mc10 ORF1
polyprotein containing a defective protease (Promut; Oka et al.,
2005b) or a non-radiolabeled partial Mc10 ORF1 polyprotein
(NS6-7-VP1) containing a functional protease (Prowt; Oka et al.,
2006) was separately expressed using the in vitro transcrip-
tion/translation system (Oka et al., 2011). The PCR primer pairs
used for the preparation of DNA template for the expression
of the NS6-7-VP1 were as follows. The forward primer was 5′-
GGATCCTAATACGACTCACTATAGGGAACAGCCACCATGgctc
ccacaccaattgttac-3′, including the T7 promoter sequence (under-
lined) and a start codon (bold); and the antisense primer was
5′-T30TTA-ttctaagaacctaacggcccgg,including a stop codon (bold). Twenty microliter of the non-radiolabeled products containing
Prowt was mixed with 1 µl of 2 mM inhibitor candidate in DMSO
and incubated for 10 min at room temperature. Then 10 µl of the
radiolabeled full-length ORF1 polyprotein (Promut) was added to
the Prowt-inhibitor mixture and incubated at 30˚C for 20 h, and
subjected to the SDS-PAGE analysis as described above. To quan-
titate the proteolytic activity of the SaV protease, we measured the
intensity of the band corresponding to the NS4-NS5 intermediate
processing product with Typhoon 7500 (GE Healthcare), due to
the lack of overlapping non-specific products of the in vitro trans-
lation around the NS4-NS5. The chemical compound concentra-
tions resulting in a 50% reduction of the NS4-NS5 intermediate
protein production of the drug-free control were determined on
the basis of the dose-response curve and defined as the IC50 values
of the SaV proteolysis activity. SITE-DIRECTED MUTAGENESIS OF THE SaV PROTEASE DOMAIN SITE-DIRECTED MUTAGENESIS OF THE SaV PROTEASE DOMAIN
The detailed strategy of the mutagenesis for the SaV pro-
tease domain has been described previously (Oka et al., 2005b,
2006). Briefly, we used the full-length cDNA clone of the
genome of the SaV strain Mc10 (pUC19/SaV Mc10 full-
length; GenBank accession number: AY237420) as a start-
ing material for the mutagenesis. We constructed nine SaV
Mc10 full-length mutant cDNA clones. Site-directed mutagene-
sis was performed using a GeneTailor Site-Directed Mutagene-
sis System (Invitrogen). The oligonucleotides used for the site-
directed mutagenesis were as follows (the codons correspond-
ing to changed amino acid(s) are indicated in lowercase): for
T1085A, 5′-GTGGTTGTCACAGTTgcaCACGTGGCCTCTGCG-
3′; for Y1156A, 5′-ATCACGGTCCAGGGGgctCACCTGCGCATC Frontiers in Microbiology | Virology September 2012 | Volume 3 | Article 312 | 2 Yokoyama et al. Substrate recognition by SaV protease ATA-3′; for K1167A, 5′-ATGGATACCCAACAgcgCGTGGGGACT
GTGGCAC-3′;forR1168A,5′-GATACCCAACAAAGgctGGGGAC
TGTGGCACAC-3′; for K1167E, 5′-ATGGATACCCAACAgagCGT
GGGGACTGTGGCAC-3′;for R1168E,5′-ATGGATACCCAACAA
AGgagGGGGACTGTGGCACAC-3′;
for
K1167AR1168A,
5′-
ATGGATACCCAACAgcggcgGGGGACTGTGGCAC-3′; and for
K1167ER1168E, 5′-ATGGATACCCAACAgaggagGGGGACTGTG
GCAC-3′. The T1085AY1156A mutant was generated with the
above Y1156A primer using methylated DNA of the T1085A as
the template. All the mutant clones constructed were subjected to
the sequencing of the entire genomic cDNA region to verify the
absence of unnecessary mutations leading to amino acid changes. Immunoprecipitated radioactive proteins were detected with a
Bioimage Analyzer BAS 2500 (Fuji Film). ATA-3′; for K1167A, 5′-ATGGATACCCAACAgcgCGTGGGGACT
GTGGCAC-3′;forR1168A,5′-GATACCCAACAAAGgctGGGGAC
TGTGGCACAC-3′; for K1167E, 5′-ATGGATACCCAACAgagCGT
GGGGACTGTGGCAC-3′;for R1168E,5′-ATGGATACCCAACAA
AGgagGGGGACTGTGGCACAC-3′;
for
K1167AR1168A,
5′-
ATGGATACCCAACAgcggcgGGGGACTGTGGCAC-3′; and for
K1167ER1168E, 5′-ATGGATACCCAACAgaggagGGGGACTGTG
GCAC-3′. The T1085AY1156A mutant was generated with the
above Y1156A primer using methylated DNA of the T1085A as
the template. All the mutant clones constructed were subjected to
the sequencing of the entire genomic cDNA region to verify the
absence of unnecessary mutations leading to amino acid changes. IMMUNOPRECIPITATION For the detection of NS1 (p11) and NS5 (VPg), which were
undetectable with the above assay system,we performed immuno-
precipitation before the SDS-PAGE as described previously (Oka
etal.,2005b,2006,2009).Briefly,10 µlof theinvitro transcription-
translation reaction mixture was diluted with 80 µl of RIPA lysis
buffer containing 50 mM Tris, pH 7.4, 150 mM NaCl, 0.25%
deoxycholic acid, 1% NP40, and 1 mM EDTA (Upstate, Lake
Placid, NY, USA) and incubated with 5 µg of anti-A (anti-NS1)
or ant-D (anti-NS5) antibodies raised against E. coli-expressed
recombinant proteins (aa 1–231 for NS1 and aa 941–1055 for
NS5; Oka et al., 2005b). After incubation for 1 h on ice, 25 µl
of a suspension of Protein A Magnetic Beads (New England
Biolabs) and 900 µl of RIPA buffer were added. The mixture
was gently rotated at 4˚C for 1 h and then washed three times
with 1 ml of RIPA lysis buffer. The immunoprecipitated pro-
teins were resuspended in 20 µl of SDS-PAGE sample buffer
and heated at 95˚C for 5 min prior to analysis with 5 to 20%
Tris-Gly polyacrylamide gel. The proteins were blotted onto an
Immobilon-P polyvinylidene difluoride membrane (Millipore). www.frontiersin.org THE CHEMICAL COMPOUND LIBRARY Chemical compounds (139,369 compounds, molecular weights
42–2986) were obtained from the Open Innovation Center for
Drug Discovery (The University of Tokyo, Tokyo, Japan). The
compound library database of this center provides information
on the molecular formula, molecular weight, hydrogen-bond
donor-acceptor numbers, topological polar surface area (TPSA),
and other physicochemical parameters of the compounds for
pharmacophore-based in silico drug screening. STRUCTURAL MODELING OF SaV PROTEASE DOCKED TO CHEMICAL
COMPOUNDS Structural models of the chemical compounds were constructed
using the Molecular Builder tool in MOE. Individual compounds
were docked with the SaV protease domain model using the auto-
mated ligand docking program ASEDock2005 (Goto et al., 2008)
operated in MOE as described above. September 2012 | Volume 3 | Article 312 | 3 www.frontiersin.org Substrate recognition by SaV protease Yokoyama et al. FIGURE 1 | Structural models of SaV protease docked to the substrate
octapeptides. (A) Sequences of the six cleavage sites of the SaV ORF1
polyprotein are shown with one-letter amino acid codes. Slashes represent
the peptide bonds cleaved by the protease. (B) Structural models of the
SaV protease-substrate complex. The 3-D structural model of the protease
domain was constructed by homology modeling and thermodynamically
and physically refined as described previously (Oka et al., 2007). The 3-D
structural models of the octapeptides corresponding to the six authentic
cleavage sites of the SaV Mc10 ORF1 were constructed by using the
Molecular Builder tool in MOE. The optimized protease model was docked
to individual octapeptides using the automated ligand docking program
ASEDock2005 (Goto et al., 2008) operated in MOE as described previously
(Yokoyama et al., 2010). Red and orange sticks indicate main and side chains
of the octapeptides, respectively. RESULTS
STRUCTURAL MODELING OF SaV PROTEASES DOCKED TO THE
SUBSTRATE OCTAPEPTIDES To obtain structural insights into the protease-substrate interac-
tions at the atomic level, we constructed a 3-D model of the intact
protease domain of the SaV Mc10 strain, which were docked to
octapeptides corresponding to the six authentic cleavage sites (P4–
P4′ sites)of theORF1polyproteinof theMc10strain(seeMaterials
and Methods for details; Figure 1). The amino acid sequences of
the six octapeptides are very different from each other (Figure 1A). Despite the variation, the octapeptides bound to the protease with
the same orientation in the clefts of the protease (Figure 1B);
the P1–P4 amino acid residues bound to the cleft between the
N- and C-terminal domains, whereas the P1′–P4′ amino acid
residues bound to the cleft on the C-terminal domain. The dock-
ing positions were functionally reasonable, because they allowed
the cleavage sites of the octapeptides to be placed near the amino
acids essential for the catalytic activity of the SaV protease, i.e.,
H31, E52, C116, and H131 (Oka et al., 2005b). Other docking posi-
tions caused docking results with very poor docking scores and did
not fulfill the functional requirement for the catalytic reaction. The protease-peptide complex models disclosed two interac-
tion sites that were common to the six bound peptides. First, the
substrate amino acid residues at the P4 position were exclusively
placed in a thin cleft, termed cleft 1, that was formed by threo-
nine (T), glutamic acid (E), and tyrosine (Y) at positions 30, 52,
and 101 of the protease domain (T30, E52, and Y101, respectively;
Figures 2A–C). An aromatic ring of the phenylalanine (F) or Y
at P4 of the octapeptides of the NS1/NS2, NS2/NS3, NS3/NS4,
NS5/NS6-7, and NS6-7/VP1 cleavage sites (Figure 1A) was posi-
tioned such that an aromatic stacking could be generated with the
Y101 in the protease cleft 1 (Figures 2A–C). The steric configura-
tion of the aromatic rings of the P4 amino acid residues in the
bound state was very similar except for the Y of the NS5/NS6-7
cleavage site (Figure 2C). In the case of the NS4/NS5 peptide, the
P4 amino acid is the arginine (R; Figure 1A) and was arranged
near the side chain of the E52 (Figure 2C). FIGURE 1 | Structural models of SaV protease docked to the substrate
octapeptides. (A) Sequences of the six cleavage sites of the SaV ORF1
polyprotein are shown with one-letter amino acid codes. Slashes represent
the peptide bonds cleaved by the protease. RESULTS
STRUCTURAL MODELING OF SaV PROTEASES DOCKED TO THE
SUBSTRATE OCTAPEPTIDES (B) Structural models of the
SaV protease-substrate complex. The 3-D structural model of the protease
domain was constructed by homology modeling and thermodynamically
and physically refined as described previously (Oka et al., 2007). The 3-D
structural models of the octapeptides corresponding to the six authentic
cleavage sites of the SaV Mc10 ORF1 were constructed by using the
Molecular Builder tool in MOE. The optimized protease model was docked
to individual octapeptides using the automated ligand docking program
ASEDock2005 (Goto et al., 2008) operated in MOE as described previously
(Yokoyama et al., 2010). Red and orange sticks indicate main and side chains
of the octapeptides, respectively. FIGURE 1 | Structural models of SaV protease docked to the substrate
octapeptides (A) Sequences of the six cleavage sites of the SaV ORF1 g
Second, the substrate amino acid residues at the P1 site were
exclusively placed in a small positively charged cleft, termed cleft
2, that was formed by the histidine (H), H, lysine (K), and R at
positions 14, 31, 112, and 113 of the protease domain (H14, H31,
K112, and R113, respectively; Figures 2D–F). In four out of the
six cleavage sequences the P1 amino acid is negatively charged (E;
Figure 1A) that could interact electrostatically with the side chains
of the positively charged cleft 2 of the protease (Figure 2D). In the
case of the NS2/NS3 and NS3/NS4, the P1 amino acid was glut-
amine (Q; Figure 1A) which is hydrophilic and thus could cause
electrostatic interactions via a polarized charge. The steric configu-
ration of the side chains of the P1 amino acid residues at the bound
state was very similar (Figure 2F). The simulated docking between
the protease and the substrate having alanine substitutions at P1
and P4 positions resulted in a docking position similar to that for
the wild-type substrate, whereas the docking score was reduced to
about 1/2. Collectively,these results suggest that the interactions at
the P1 and P4 sites of the substrates play a key role in the substrate
recognition,as suggested in the previous experiments (Robel et al.,
2008; Oka et al., 2009). AMINO ACID DIVERSITY OF HUMAN SaV PROTEASE To obtain evolutionary insights into the protease-substrate inter-
actions, we analyzed the amino acid diversity of the protease
domain among various human SaV strains in the public data-
base. Full-length human SaV protease domain sequences were
collected from GenBank (N = 19) and used to calculate the Shan-
non entropy scores, H (Shannon, 1948), in order to analyze the
diversity of individual amino acid residues in the SaV population Frontiers in Microbiology | Virology September 2012 | Volume 3 | Article 312 | 4 Substrate recognition by SaV protease Yokoyama et al. FIGURE 3 | Diversity of SaV protease amino acid residues. The amino
acid diversity at individual sites of the SaV protease domain was analyzed
with information entropy as described previously (Oka et al., 2009). The
Shannon entropy H was calculated with Shannon’s formula (Shannon, 1948)
based on amino acid residues (A), chemical properties (B), and the size of
the side chain (C) using amino acid sequences of the SaV full-length
protease domain from GenBank (N = 19). For analysis of the diversity in the
chemical properties, the amino acid residues were classified into seven
groups: acidic (D,E), basic (R,K,H), neutral hydrophilic (S, T, N, Q), aliphatic
(G, A, V, I, L, M), aromatic (F, Y, W), thio-containing (C), and imine (P). For
analysis of the diversity in the size of the side chain, the amino acid FIGURE 2 | Close-up views of the interaction sites in the
protease-substrate complex models. The sites of interactio FIGURE 2 | Close-up views of the interaction sites in the
protease-substrate complex models. The sites of interactions between
the SaV Mc10 protease and the side chains of octapeptides at the P4 (A–C)
and P1 (D–F) sites are highlighted. Upper panels show the cleft formed by
T30, E52, and Y101, and the positively charged cleft formed by the H14, H31,
K112, and R113 of the proteases that are bound to a side chain of the
NS6-7/VP1 octapeptide at the P4 (A) and P1 (D) sites. Middle panels show
the relative configurations of side chains of the protease bound to a side
chain of the NS6-7/VP1 octapeptide at the P4 (B) and P1 (E) sites. Bottom
panels show the superposed structures of the side chains of the P4 (C) and
P1 (F) amino acid residues of the 6 cleavage sites in the SaV
protease-substrate complex models. AMINO ACID DIVERSITY OF HUMAN SaV PROTEASE Yellow and orange
dotted circles indicate clefts 1 and 2, respectively. FIGURE 3 | Diversity of SaV protease amino acid residues. The amino
acid diversity at individual sites of the SaV protease domain was analyzed
with information entropy as described previously (Oka et al., 2009). The
Shannon entropy H was calculated with Shannon’s formula (Shannon, 1948)
based on amino acid residues (A), chemical properties (B), and the size of
the side chain (C) using amino acid sequences of the SaV full-length
protease domain from GenBank (N = 19). For analysis of the diversity in the
chemical properties, the amino acid residues were classified into seven
groups: acidic (D,E), basic (R,K,H), neutral hydrophilic (S, T, N, Q), aliphatic
(G, A, V, I, L, M), aromatic (F, Y, W), thio-containing (C), and imine (P). For
analysis of the diversity in the size of the side chain, the amino acid
residues were classified into 4 groups: small (G, A, C, S), medium-small (T,
V, N, D, I, L, P, M), medium-large (Q, E, R, K), and large (H, F, Y, W). The H
scores are plotted on the 3-D structure of the SaV protease model, where
an H score of zero indicates absolute conservation. Yellow and orange
dotted circles indicate clefts 1 and 2, respectively. FIGURE 3 | Diversity of SaV protease amino acid residues. The amino
acid diversity at individual sites of the SaV protease domain was analyzed
with information entropy as described previously (Oka et al., 2009). The
Shannon entropy H was calculated with Shannon’s formula (Shannon, 1948)
based on amino acid residues (A), chemical properties (B), and the size of
the side chain (C) using amino acid sequences of the SaV full-length
protease domain from GenBank (N = 19). For analysis of the diversity in the
chemical properties, the amino acid residues were classified into seven
groups: acidic (D,E), basic (R,K,H), neutral hydrophilic (S, T, N, Q), aliphatic
(G, A, V, I, L, M), aromatic (F, Y, W), thio-containing (C), and imine (P). For
analysis of the diversity in the size of the side chain, the amino acid
residues were classified into 4 groups: small (G, A, C, S), medium-small (T,
V, N, D, I, L, P, M), medium-large (Q, E, R, K), and large (H, F, Y, W). AMINO ACID DIVERSITY OF HUMAN SaV PROTEASE (C) Green, magenta, and blue sticks
represent the side chains of phenylalanine, tyrosine, and arginine,
respectively, at the P4 site in the substrate-protease complexes. (F) Red
and magenta sticks represent the side chains of glutamic acid and
glutamine, respectively, at the P1 site in the substrate-protease complexes. as described previously (Oka et al., 2009). The H scores generally
ranged from 0.0 to 0.6 bits (Figure 3A), indicating that the diver-
sity of the SaV protease is relatively small, as seen in many viral
enzymes. The variable sites were essentially located on the surface
region, indicating that some exposed regions of the SaV protease
allowaminoacidchanges(Figure3A,greenishsites).Althoughless
extensive,some variation was detected atY101 and R113 in the clefts
1 and 2, respectively (Figure 3A, two dotted circles). However,
when the H scores were calculated on the basis of chemical prop-
erties or the size of the amino acid residues, they were nearly zero
throughout the substrate-binding cleft (Figures 3B,C). Similarly,
the protease amino acid residues, which constitute a large cav-
ity for the binding of entire octapeptides, were sometime variable
but highly conserved in the context of the chemical properties FIGURE 3 | Diversity of SaV protease amino acid residues. The amino
acid diversity at individual sites of the SaV protease domain was analyzed FIGURE 3 | Diversity of SaV protease amino acid residues. The amino
acid diversity at individual sites of the SaV protease domain was analyzed
with information entropy as described previously (Oka et al., 2009). The
Shannon entropy H was calculated with Shannon’s formula (Shannon, 1948)
based on amino acid residues (A), chemical properties (B), and the size of
the side chain (C) using amino acid sequences of the SaV full-length
protease domain from GenBank (N = 19). For analysis of the diversity in the
chemical properties, the amino acid residues were classified into seven
groups: acidic (D,E), basic (R,K,H), neutral hydrophilic (S, T, N, Q), aliphatic
(G, A, V, I, L, M), aromatic (F, Y, W), thio-containing (C), and imine (P). For
analysis of the diversity in the size of the side chain, the amino acid
residues were classified into 4 groups: small (G, A, C, S), medium-small (T,
V, N, D, I, L, P, M), medium-large (Q, E, R, K), and large (H, F, Y, W). The H
scores are plotted on the 3-D structure of the SaV protease model, where
an H score of zero indicates absolute conservation. SITE-DIRECTED MUTAGENESIS OF SaV PROTEASE Consistent with the above structural and diversity data, we pre-
viously reported that the E52 in cleft 1, as well as H14 and H31
in cleft 2, are essential to maintain proper processing by SaV
protease (Oka et al., 2007). To obtain further insights into the
biological roles of clefts 1 and 2 in the proteolysis of the SaV pre-
cursor polyprotein, we performed additional site-directed muta-
genesis using a full-length clone of SaV Mc10 strain (Oka et al.,
2005b). The Mc10 ORF1 encodes a polypeptide of 2278 amino When the ORF1 containing the Prowt was expressed,nine prod-
ucts corresponded in size to the mature proteins NS1, NS2, NS3,
NS4, NS5, and VP1, and relatively stable intermediate proteins, FIGURE 4 | Site-directed mutagenesis of the substrate interaction sites
of SaV Mc10 protease. (A) Proteolytic cleavage map of the SaV Mc10 ORF1
polyprotein and the processing intermediates (Oka et al., 2006). Black bars
indicate the protein segments, A and D, used to raise polyclonal antibodies for
detection of the NS1 and NS5 proteins, respectively. (B) SDS-PAGE of
35S-labeled in vitro translation products of SaV Mc10 ORF1 containing various
protease mutants. NS1 and NS5 were detected by immunoprecipitation using
anti-A or anti-D polyclonal antibodies as described previously (Oka et al.,
2005b, 2006, 2009). Mc10 ORF1 containing functional protease (Prowt) and a
defective mutant lacking in the proteolysis activity (Promut) were included as
described previously (Oka et al., 2005b). Newly appearing products when
compared to Prowt are indicated by asterisks. Size markers are shown on the
left. Mc10 ORF1-specific proteins (Oka et al., 2005b, 2006) are shown on the
right. FIGURE 4 | Site-directed mutagenesis of the substrate interaction sites
anti-A or anti-D polyclonal antibodies as described previously (Oka et al anti-A or anti-D polyclonal antibodies as described previously (Oka et al.,
2005b, 2006, 2009). Mc10 ORF1 containing functional protease (Prowt) and a
defective mutant lacking in the proteolysis activity (Promut) were included as
described previously (Oka et al., 2005b). Newly appearing products when
compared to Prowt are indicated by asterisks. Size markers are shown on the
left. Mc10 ORF1-specific proteins (Oka et al., 2005b, 2006) are shown on the
right. FIGURE 4 | Site-directed mutagenesis of the substrate interaction sites
of SaV Mc10 protease. (A) Proteolytic cleavage map of the SaV Mc10 ORF1
polyprotein and the processing intermediates (Oka et al., 2006). AMINO ACID DIVERSITY OF HUMAN SaV PROTEASE The H
scores are plotted on the 3-D structure of the SaV protease model, where
an H score of zero indicates absolute conservation. Yellow and orange
dotted circles indicate clefts 1 and 2, respectively. September 2012 | Volume 3 | Article 312 | 5 www.frontiersin.org Substrate recognition by SaV protease Yokoyama et al. acid residues, where the six cleavage sites have been experimen-
tally determined (Oka et al., 2006; Figure 4A). A total of nine
mutants of the SaV protease domain were constructed using the
Mc10 ORF1. Full-length ORF1 precursor proteins having a sin-
gle or double mutations in the protease domain were expressed
using the in vitro transcription-translation system, and the pro-
cessing products were analyzed by gel electrophoresis as described
previously (Oka et al., 2005b, 2006, 2007, 2009). The Mc10 func-
tional protease (Prowt) and a defective mutant completely lacking
the proteolysis activity (Promut; Oka et al., 2005b) were used as
positive and negative controls of the proteolysis, respectively. and sizes of the side chains (Figures 1B and 3). Thus the
SaV protease appears to restrict extensive changes in the shape
and chemical properties of the substrate-binding surface for its
survival. PHARMACOPHORE-BASED IN SILICO SCREENING FOR THE LEAD
COMPOUNDS OF SaV PROTEASE INHIBITORS To further assess the role of the clefts 1 and 2 in the ligand bind-
ing, we performed a pharmacophore-based in silico screening
of protease inhibitors. A total of 139,369 compounds (molecu-
lar weights 42–2986) were screened for the lead molecules that
contain an aromatic-ring-like portion resembling the P4 amino
acid, a negatively charged portion resembling the P1 amino acid,
and a hydrophobic portion resembling the P1′ amino acid, being
arranged at similar 3-D positions with the authentic substrates
(Figure 5). The hydrophobic portion resembling the P1′ amino
acid was included to better mimic the authentic substrate struc-
tures. A total of 151 lead compounds matched to the category
were then subjected to the in vitro trans cleavage assay of the SaV
Mc10 ORF1 polyprotein. With this screening, we could obtain
three compounds that inhibited processing of the SaV ORF1 at
IC50 values of 18.4–26.5 µM (Figure 6). FIGURE 5 | Flow chart for screening chemical compounds against SaV
protease Pharmacophore based in silico screening (Schuster et al
2006a b; FIGURE 5 | Flow chart for screening chemical compounds against SaV
protease. Pharmacophore-based in silico screening (Schuster et al., 2006a,b;
Kirchmair et al., 2007) was applied to extract the lead compounds having
structural features that resembled those of the substrates of SaV protease. One hundred and fifty-one compounds exhibiting some similarities to the
authentic substrates were further assessed with respect to their inhibitory
activity against SaV protease. With this strategy, we could obtain three
compounds that inhibited the processing of the SaV ORF1 polyprotein. protease. Pharmacophore-based in silico screening (Schuster et al., 2006a,b
Kirchmair et al., 2007) was applied to extract the lead compounds having
structural features that resembled those of the substrates of SaV protease. One hundred and fifty-one compounds exhibiting some similarities to the
authentic substrates were further assessed with respect to their inhibitory
activity against SaV protease. With this strategy, we could obtain three
compounds that inhibited the processing of the SaV ORF1 polyprotein. We then analyzed how the lead compounds bound to the SaV
Mc10 protease by docking simulation (Figure 7). As expected,
these compounds were predicted to bind to the protease at the
same interaction sites by which the authentic substrates bound
to the protease. The aromatic-ring-like portion resembling the P4
amino acid bound to the thin cleft formed by T30,E52,andY101 for
the binding of the side chain of the P4 amino acid. SITE-DIRECTED MUTAGENESIS OF SaV PROTEASE Black bars
indicate the protein segments, A and D, used to raise polyclonal antibodies for
detection of the NS1 and NS5 proteins, respectively. (B) SDS-PAGE of
35S-labeled in vitro translation products of SaV Mc10 ORF1 containing various
protease mutants. NS1 and NS5 were detected by immunoprecipitation using September 2012 | Volume 3 | Article 312 | 6 Frontiers in Microbiology | Virology Yokoyama et al. Substrate recognition by SaV protease such as NS2-3, NS4-5, and NS4-5-6-7 were detected (Figure 4B,
lane Prowt, black arrowheads; Oka et al., 2005b, 2006, 2009). These products were undetectable in the Promut ORF1 sample,
and instead a product corresponding to the ORF1 polyprotein
was detected (Figure 4B, lane Promut, open triangle; Oka et al.,
2005b, 2006, 2009). A single alanine substitution at T30 in the cleft
1, K112 in the cleft 2, or R113 in the cleft 2 of viral protease resulted
in a processing pattern similar to that of Prowt (Figure 4B, lanes
T30A, K112A, and R113A). On the other hand, a single alanine
substitution at Y101 in the cleft 1 (Y101A), a single acidic substitu-
tion at K112 or R113 in the cleft 2 (K112E and R113E), and double
mutations in each cleft (T30AY101A and K112ER113E) resulted
in abnormality of the precursor processing, i.e., an increase in
accumulation of the full-length ORF1 polyprotein and/or the
NS4-5-6-7-VP1 intermediate protein (Figure 4B, asterisks). In
the samples expressing ORF1 with T30A/Y101A or K112E/R113E
double mutations, processing products corresponding to the NS5
and NS4-5 disappeared almost completely (Figure 4B, lanes 5 and
11, respectively). FIGURE 5 | Flow chart for screening chemical compounds against SaV
protease. Pharmacophore-based in silico screening (Schuster et al., 2006a,b;
Kirchmair et al., 2007) was applied to extract the lead compounds having
structural features that resembled those of the substrates of SaV protease. One hundred and fifty-one compounds exhibiting some similarities to the
authentic substrates were further assessed with respect to their inhibitory
activity against SaV protease. With this strategy, we could obtain three
compounds that inhibited the processing of the SaV ORF1 polyprotein. PHARMACOPHORE-BASED IN SILICO SCREENING FOR THE LEAD
COMPOUNDS OF SaV PROTEASE INHIBITORS The negatively
charged portion resembling the P1 amino acid bound to the small
positively charged pocket formed by the H14, H31, K112, and R113
for the binding of the side chain of the P1 amino acid. and disclosed novel structural base points of the protease for the
attractive interactions with specific structures of ligands. Using a homology modeling and a docking tool, we first
examined the physical interactions of SaV protease and octapep-
tides corresponding to the six authentic cleavage sites of the SaV
ORF1 polyprotein. Despite the marked sequence variation of the
octapeptides, they were bound to the protease in the same orien-
tation in the structural models (Figure 1). The results suggested
that there might be common interaction sites that served as ful-
crums to direct the orientation of the octapeptides. Consistently,
the models disclosed two interaction sites that were shared with the
six peptides and support the stable and functional binding of sub-
strates to the catalytic cavity; the variable side chains at the P4 and
P1 sites of the peptides were consistently bound to the two small
clefts, termed clefts 1 and 2, respectively (Figure 2). The former DISCUSSION Individual compounds
were docked to the SaV protease domain model using the automated
ligand docking program ASEDock2005 (Goto et al
2008) Light blue sticks FIGURE 7 | Structural models of SaV protease docked to the inhibitors. Molecular formulas of the inhibitors (left) and structural models of the FIGURE 7 | Structural models of SaV protease docked to the inhibitors. FIGURE 7 | Structural models of SaV protease docked to the inhibitors. Molecular formulas of the inhibitors (left) and structural models of the
inhibitor-protease complexes (right) are shown. Molecular models of the
three chemical compounds having anti-SaV-protease activity were
constructed using the Molecular Builder tool in MOE. Individual compounds
were docked to the SaV protease domain model using the automated
ligand docking program ASEDock2005 (Goto et al., 2008). Light blue sticks
in the protease indicate inhibitors. Greenish and bluish portions of the
protease indicate an aromatic and hydrophobic site and positively charged
site, respectively. (A) Compound No.50. (B) Compound No.100. (C)
Compound No.116. FIGURE 7 | Structural models of SaV protease docked to the inhibitors. Molecular formulas of the inhibitors (left) and structural models of the
inhibitor-protease complexes (right) are shown. Molecular models of the
three chemical compounds having anti-SaV-protease activity were
constructed using the Molecular Builder tool in MOE. Individual compounds
were docked to the SaV protease domain model using the automated
ligand docking program ASEDock2005 (Goto et al., 2008). Light blue sticks
in the protease indicate inhibitors. Greenish and bluish portions of the
protease indicate an aromatic and hydrophobic site and positively charged
site, respectively. (A) Compound No.50. (B) Compound No.100. (C)
Compound No.116. FIGURE 6 | Dose-response curves of the inhibitors against SaV FIGURE 6 | Dose-response curves of the inhibitors against SaV
protease.The inhibitory effects of the three chemical compounds that were
screened for their structural similarity to the authentic substrates of SaV
protease were determined with an in vitro trans cleavage assay. A
radiolabeled full-length Mc10 ORF1 polyprotein containing a defective
protease (Promut; Oka et al., 2005b) or a non-radiolabeled partial Mc10 ORF1
polyprotein (NS6-7-VP1) containing a functional protease (Prowt; Oka et al.,
2006) was separately expressed using the in vitro transcription/translation
system.The translation products were mixed and incubated in the presence
of increasing concentrations of the indicated compounds at 30˚C for 20 h. DISCUSSION The viral proteins that support viral replication and make up the
viral particle are often translated as part of polyprotein precursors. Viral protease catalyzes cleavage of the precursor protein and thus
plays an essential role in the viral life cycle. In this study, by com-
bining computational and experimental approaches, we studied
the structural basis for the substrate recognition by SaV protease. The results obtained in this study were consistent with each other September 2012 | Volume 3 | Article 312 | 7 www.frontiersin.org www.frontiersin.org Substrate recognition by SaV protease Yokoyama et al. FIGURE 7 | Structural models of SaV protease docked to the inhibitors. Molecular formulas of the inhibitors (left) and structural models of the
inhibitor-protease complexes (right) are shown. Molecular models of the
three chemical compounds having anti-SaV-protease activity were
constructed using the Molecular Builder tool in MOE. Individual compounds
were docked to the SaV protease domain model using the automated
ligand docking program ASEDock2005 (Goto et al., 2008). Light blue sticks
in the protease indicate inhibitors. Greenish and bluish portions of the
protease indicate an aromatic and hydrophobic site and positively charged
site, respectively. (A) Compound No.50. (B) Compound No.100. (C)
Compound No.116. FIGURE 6 | Dose-response curves of the inhibitors against SaV
protease.The inhibitory effects of the three chemical compounds that were
screened for their structural similarity to the authentic substrates of SaV
protease were determined with an in vitro trans cleavage assay. A
radiolabeled full-length Mc10 ORF1 polyprotein containing a defective
protease (Promut; Oka et al., 2005b) or a non-radiolabeled partial Mc10 ORF1
polyprotein (NS6-7-VP1) containing a functional protease (Prowt; Oka et al.,
2006) was separately expressed using the in vitro transcription/translation
system.The translation products were mixed and incubated in the presence
of increasing concentrations of the indicated compounds at 30˚C for 20 h. The intensity of the radioactive band corresponding to the NS4-NS5 product
was measured with Typhoon 7500 and plotted in relation to the compound
concentrations. (A) Compound No.50. (B) Compound No.100. (C)
Compound No.116. FIGURE 7 | Structural models of SaV protease docked to the inhibitors. Molecular formulas of the inhibitors (left) and structural models of the
inhibitor-protease complexes (right) are shown. Molecular models of the
three chemical compounds having anti-SaV-protease activity were
constructed using the Molecular Builder tool in MOE. DISCUSSION The intensity of the radioactive band corresponding to the NS4-NS5 product
was measured with Typhoon 7500 and plotted in relation to the compound
concentrations. (A) Compound No.50. (B) Compound No.100. (C)
Compound No.116. strains from the world shows that the amino acid residues forming
the clefts 1 and 2 are variable but highly conserved in terms of the
chemical properties or the sizes of side chains (Figure 3). The
results indicate that these clefts tolerate mutations in nature but
resist a range of mutations that markedly alter the chemical prop-
erties or the shapes of the cleft surface. The findings are consistent
with the above structure-based prediction on the function of the
clefts 1 and 2. These clefts are located on the surface of the large
cavity of the protease. Therefore, the restrictions in the variation
in two clefts are likely to be caused by functional constraints for
the essential interactions. participated in aromatic stacking interactions, whereas the latter
participated in electrostatic interactions. These results are consis-
tent with the previous findings that the P4 and P1 amino acid
residues of the substrates play key roles in efficient proteolysis by
SaVprotease(Robeletal.,2008;Okaetal.,2009)andpredictedthat
these two clefts could play a key role in substrate recognition via
interactions with the P4 and P1 amino acid residues of substrates. participated in aromatic stacking interactions, whereas the latter
participated in electrostatic interactions. These results are consis-
tent with the previous findings that the P4 and P1 amino acid
residues of the substrates play key roles in efficient proteolysis by
SaVprotease(Robeletal.,2008;Okaetal.,2009)andpredictedthat
these two clefts could play a key role in substrate recognition via
interactions with the P4 and P1 amino acid residues of substrates. This prediction was assessed by several analyses. If the clefts
played essential roles in recognition of substrates, spontaneous
mutations that alter profoundly the physicochemical properties of
the clefts should be suppressed for viral survival. Consistently our
Shannon entropy study using protease sequences of various SaV Moreover, we examined whether a range of mutations that
markedly alter the physicochemical properties of the clefts indeed
could result in aberrant processing of the SaV precursor polypro-
tein. Our site-directed mutagenesis study showed that a single
mutation in cleft 1 (T30A) or in cleft 2 (K112A or R113A) caused
little detectable damage in the processing of the viral precursor This prediction was assessed by several analyses. REFERENCES sapovirus
RNA-dependent
RNA
polymerase. J. Virol. 81, 1858–1871. developing countries. Bull. World
Health Organ. 86, 710–717. sapovirus
RNA-dependent
RNA
polymerase. J. Virol. 81, 1858–1871. developing countries. Bull. World
Health Organ. 86, 710–717. sapovirus
RNA-dependent
RNA
polymerase. J. Virol. 81, 1858–1871. Baker, D., and Sali, A. (2001). Protein
structure prediction and structural
genomics. Science 294, 93–96. Goto, J., Kataoka, R., Muta, H., and
Hirayama, N. (2008). ASEDock-
docking based on alpha spheres
and excluded volumes. J. Chem. Inf. Model. 48, 583–590. Bull, R. A., Hyde, J., Mackenzie, J. M.,
Hansman, G. S., Oka, T., Takeda, N.,
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son of the replication properties of
murine and human calicivirus RNA-
dependent RNA polymerases. Virus
Genes 42, 16–27. Hardy, M. E., Crone, T. J., Brower, J. E., and Ettayebi, K. (2002). Substrate
specificity of the Norwalk virus 3C-
like proteinase. Virus Res. 89, 29–39. Belliot, G., Sosnovtsev, S. V., Mitra,
T., Hammer, C., Garfield, M., and
Green, K. Y. (2003). In vitro pro-
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norovirus
ORF1
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polyprotein yields stable precursors
and
products
similar
to
those
detected in calicivirus-infected cells. J. Virol. 77, 10957–10974. Guo, M., Chang, K. O., Hardy, M. E.,
Zhang,Q.,Parwani,A.V.,and Saif,L. J.(1999).Molecularcharacterization
of a porcine enteric calicivirus genet-
ically related to Sapporo-like human
caliciviruses. J. Virol. 73, 9625–9631. Iturriza-Gomara, M., Elliot,A. J., Dock-
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J. J. (2009). Structured surveillance
of infectious intestinal disease in
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nity: “The Nappy Study.” Epidemiol. Infect. 137, 922–931. Chiba,
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James, M. N. (1999). Crystal struc-
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the 3C proteinase from hepatitis A
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K., and Takeda, N. (2007). Human
sapoviruses:
genetic
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recombination, and classification. Rev. Med. Virol. 17, 133–141. Chiba, S., Sakuma,Y., Kogasaka, R.,Aki-
hara, M., Horino, K., Nakao, T., and
Fukui, S. (1979). An outbreak of
gastroenteritis associated with cali-
civirus in an infant home. J. Med. Virol. 4, 249–254. Johansson, P. J., Bergentoft, K., Lars-
son, P. A., Magnusson, G., Widell,
A., Thorhagen, M., and Hedlund, K. O. (2005). DISCUSSION If the clefts
played essential roles in recognition of substrates, spontaneous
mutations that alter profoundly the physicochemical properties of
the clefts should be suppressed for viral survival. Consistently our
Shannon entropy study using protease sequences of various SaV Frontiers in Microbiology | Virology September 2012 | Volume 3 | Article 312 | 8 Substrate recognition by SaV protease Yokoyama et al. polyprotein, showing a tolerance to mutations as indicated by our
information entropy study. Notably,however,(i) a single mutation
that causes a loss of aromatic stacking interaction (Y101A) in the
cleft 1, (ii) a single mutation that causes a loss of the electrosta-
tic interaction in the cleft 2 (K112E or R113E), and (iii) double
mutations within the clefts unexceptionally resulted in incomplete
processing (Figure 4). The results indicate that the abnormal pro-
cessing was caused only by single mutations that could extensively
alter the chemical properties of the clefts. The data agree with the
entropy data and again suggest the acceptability of variation in the
two clefts under functional constraints. between protease and the NS4/NS5 cleavage site. This possibility
is well consistent with the experimental findings; the cleavage of
the NS4/NS5 site is less efficient than that of the other sites (Oka
et al., 2005b, 2006, 2009) and is more sensitive to the cleft 1 muta-
tions than the other cleavage sites are (Figure 4, lane 5, NS5). Moreover, the attenuation of cleavage of the NS4/NS5 site was
reversed simply by replacing the arginine with phenylalanine at
the P4 site (Oka et al., 2009). These findings strongly suggest that
the well-preserved arginine at the P4 position of the SaV NS4/NS5
cleavage site plays a key role in maintaining the distinct cleavability
of precursor polyprotein by SaV protease. Finally, we performed in silico screening of SaV protease
inhibitors on the basis of the above structural and biological infor-
mation. The screening of the 139,369 compounds in silico led to
the identification of the 151 compounds that resembled the struc-
tural and spatial features of the P4 and P1 amino acid residues
of authentic substrates (Figure 5). From them, we could experi-
mentally identify the three compounds that inhibited proteolysis
of the SaV precursor polyprotein in vitro (Figure 6). As expected,
these compounds were predicted to bind to the SaV protease at
the two clefts via similar attractive interactions with the authentic
ligands (Figure 7). gastroenteritis and characterization
of sapovirus strains between 2002
and 2007 in Kumamoto Prefecture,
Japan. J. Med. Virol. 81, 1117–1127. DISCUSSION These results provide additional evidence that
two clefts on the SaV protease cavity play a key role in the ligand
recognition by providing the structural base points for the specific
attractive interactions. In this study, we disclosed a novel 3-D pharmacophore con-
taining two clefts on the cavity of the SaV protease, which can be
used to identify the lead compounds of SaV protease inhibitors. SaV is one of the commonly detected pathogens in the acute gas-
troenteritis of both children and adults (Johansson et al., 2005;
Harada et al., 2009; Iturriza-Gomara et al., 2009; Pang et al., 2009). Diarrhea is one of the greatest causes of mortality in children
under age 5 in many countries (Boschi-Pinto et al., 2008), and
the outbreaks of the acute gastroenteritis often seriously affects
the clinical, economic, and social activities. Therefore, anti-viral
compounds against SaV may be beneficial to some at-risk pop-
ulations or communities. Thus far no anti-SaV inhibitors for
the clinical use have been developed. Our findings will provide
important clues to the unique specificity of the SaV protease, the
regulation of SaV maturation,and the rationale design of anti-SaV
inhibitors. Notably, six cleavage sites of SaV precursor polyprotein also
differ with respect to their susceptibility to the SaV protease, with
the NS2/NS3, NS4/NS5, and NS5/NS6-7 sites being consistently
more resistant to the cleavage than the NS1/NS2, NS3/NS4, and
NS6-7/VP1 sites (Oka et al., 2005b, 2006, 2009). In this regard,
it is of note that the P4 position of the NS4/NS5 site of human
SaV is exclusively arginine instead of an aromatic amino acid
(Figure 1A) and that this arginine is conserved in all human
SaV strains reported thus far (Oka et al., 2005b, 2006, 2009). This
substitution at P4 position will abolish the aromatic stacking inter-
action in the cleft 1 and thus will attenuate attractive interactions Hardy, M. E., Crone, T. J., Brower, J.
E., and Ettayebi, K. (2002). Substrate
specificity of the Norwalk virus 3C-
like proteinase. Virus Res. 89, 29–39. ACKNOWLEDGMENTS We thank Mami Yamamoto and Kana Miyashita for their techni-
cal assistance with the mutagenesis. This work was supported by
a grant from the Japan Health Science Foundation for Research
on Health Sciences Focusing on Drug Innovation, and grants for
Research on Emerging and Re-emerging Infectious Diseases and
Food Safety from the Ministry of Health, Labour and Welfare
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Yokoyama, M., Izumi, T., Matsui, Frontiers in Microbiology | Virology September 2012 | Volume 3 | Article 312 | 10 10
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IMPLEMENTASI HUKUM RAHASIA DAGANG SEBAGAI HAK KEKAYAAN INTELEKTUAL DI ERA DIGITAL
|
Journal of Intellectual Property
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www.journal.uii.ac.id/JIPRO www.journal.uii.ac.id/JIPRO www.journal.uii.ac.id/JIPRO Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 IMPLEMENTASI HUKUM RAHASIA DAGANG SEBAGAI HAK KEKAYAAN
INTELEKTUAL DI ERA DIGITAL Widadatul Ulya
Universitas Perwira Purbalingga Contact: widadatululya03@gmail.com Diterima: 30 April 2023
Direvisi: 3 Mei 2023
Disetujui: 5 Mei 2023
Halaman: 13 - 19 Diterima: 30 April 2023
Direvisi: 3 Mei 2023
Disetujui: 5 Mei 2023
Halaman: 13 - 19 ABSTRACT Business actors use digital media in various forms to support
market expansion. Various information related to production
methods and marketing methods through digital media is no
longer in line with the legal concept of trade secret
protection in Indonesia. It seems that business actors have no
worries about a decrease in economic value when the
production methods used are disseminated using social
media. This study aims to analyze the implementation of
trade secret law as intellectual property rights in the digital
era. This normative research uses qualitative methods and a
phenomenological approach. Data was collected through
literature study, observation, and interviews. The results of
the study show that the implementation of trade secret legal
protection is private or individualistic. If a business actor
disseminates trade secret information, the information will
no longer be the object of a trade secret and will not receive
legal
protection
as
stipulated
in
Law
No.30/2000. Keywords: Law, Trade Secret, Digital Era. 13 Implementasi Hukum Rahasia Dagang............. PENDAHULUAN diwajibkan untuk menyusun peraturan
perundang-undangan terkait dengan hak
kekayaan intelektual. Istilah rahasia dagang
di Indonesia dalam TRIPS agreement
dikenal dengan Undisclosed Information,
atau Trade Secret menurut hukum Amerika. Era digital sangat berdampak pada
iklim persaingan usaha di seluruh dunia. Persaingan usaha dirasa lebih kompetitif,
sehingga
membutuhkan
perlindungan
hukum yang memadai. Pelaku usaha
dituntut
untuk
ambil
bagian
dan
mengikuti perkembangan era digital agar
dapat melangsungkan kegiatan usahanya. Di Indonesia umumnya para pelaku
usaha melakukan upaya perlindungan atas
rahasia dagang melalui penandatanganan
perjanjian dengan karyawannya, untuk
menghindari pemanfaatan dan penyebaran
informasi
rahasia
dagang
tanpa
sepengetahuan
pemilik. Penggunaan
perjanjian
untuk
melindungi
rahasia
dagang dilakukan oleh pelaku usaha yang
bersifat
lokal
seperti
street
food
di
Denpasar(Avianto et al., 2022), hingga
perusahaan sekala nasional seperti PT. Bahagia Idkho Mandiri(Haikal, 2022), serta
PT. Fast Food Indonesia. Pemanfaatan media digital oleh pelaku
usaha dilakukan dengan berbagai bentuk,
guna mendukung kegiatan pemasaran
dan
peningkatan
kualitas
produksi. Pemanfaatan media digital oleh pelaku
usaha pada akhirnya memiliki tujuan
untuk perluasan pangsa pasar. Pelaku
usaha
melakukan
pemasangan
iklan
dalam bentuk vidio, audio ataupun
gambar. Sedangkan
dalam
hal
peningkatan
produksi
pelaku
usaha
berbagi
informasi
terkait
metode
produksi dengan masyarakat luas. Pelanggaran terhadap rahasia dagang
menurut Pasal 13 UU No.30/2000 adalah
ketika
seseorang
dengan
sengaja
mengungkapkan
rahasia
dagang
dan
mengingkari perjanjian kerahasiaan. Lebih
lanjut diatur dalam Pasal 15 huruf b, bahwa
“tindakan rekayasa ulang atas produk yang
dihasilkan dari penggunaan rahasia dagang
milik orang lain dilakukan semata-mata
untuk kepentingan pengembangan lebih
lanjut produk yang bersangkutan”, maka
tidak dianggap sebagai pelanggaran rahasia
dagang. Dengan demikian, apakah berarti
ketika seseorang menyebarkan informasi
rahasia dagang melalui media digital
dengan
mengingkari
perjanjian
kerahasiaan, tetapi memiliki maksud dan
tujuan
pengembangan
produk
melalui
rekayasa ulang tidak menjadi bentuk
pelanggaran rahasia dagang. Penelitian
terdahulu terkait dengan UU No.30/2000
oleh Faizal Kurniawan dkk, dengan judul
Legal Protection of Trade Secrets Over the
Potential Disposal of Trade Secrets Under
The
Re-Engineering
Precautions,
menyarankan agar adanya perubahan UU
No. 30/2000 akibat tidak jelasnya batasan Berbagai informasi terkait metode
produksi dan metode pemasaran melalui
media digital tidak lagi sejalan dengan
konsep hukum perlindungan rahasia
dagang
di
Indonesia. Pelaku
usaha
terkesan tidak memiliki kekhawatiran
akan penurunan nilai ekonomi ketika
metode
produksi
yang
digunakan
disebarluaskan
kepada
masyarakat
umum. Padahal, Indonesia telah mengatur
dengan
sedemikian
rupa
bentuk
perlindungan hukum atas rahasia dagang
melalui Undang-Undang Nomor 30 Tahun
2000
tentang
Rahasia
Dagang
(selanjutnya disebut UU No.30/2000). UU No. Implementasi Hukum Rahasia Dagang............. Implementasi Hukum Rahasia Dagang....... www.journal.uii.ac.id/JIPRO www.journal.uii.ac.id/JIPRO Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Implementasi Hukum Rahasia Dagang............. Rahasia Dagang di Era Digital Para pelaku usaha selalu berusaha
untuk mendapatkan tujuannya, yakni
perolehan
profit
sebebsar-besarnya. Didukung
dengan
perkembangan
teknologi digital yang semakin mumpuni
di bidang perdagangan, pelaku usaha
dituntut untuk terus berkreasi. Disisi lain,
penyalahgunaan pasar pada platform
digital meningkat seiring dengan ketatnya
persaingan
di
era
digital(Sabirin
&
Herfian, 2021). Penelitian
ini
bertujuan
untuk
menganalisa
implementasi
hukum
rahasia dagang sebagai hak kekayaan
intelektual di era digital. Hal ini penting,
mengingat pemerintah Indonesia sedang
berupaya mendorong penerapan Internet
of Things (IoT), dan Internet of Systems
semaksimal mungkin agar mendukung
pertumbuhan ekonomi negara. Agar tujuan ekonomis pelaku usaha
dapat tercapai, setiap pelaku usaha
memiliki kerahasiaan dalam pelaksanaan
perdagangan. UU No. 30/2000 pada Pasal
2,
menggambarkan
rahasia
dagang
meliputi
“metode
produksi,
metode
pengolahan,
metode
penjualan,
atau
informasi
lain
dibidang
teknologi
dan/atau bisnis yang memiliki nilai
ekonomi
dan
tidak
diketahui
oleh
masyarakat umum”(Vebriana & Utari,
2017). Dikatakan sebagai rahasia dagang
apabila memenuhi syarat sebagaimana
dimaksud dalam UU No. 30/2000, yakni;
(1) informasi dibidang teknologi atau
bisnis yang tidak bersifat umum, (2) PENDAHULUAN 30/2000 adalah perundang-
undangan yang lahir di Indonesia pasca
berlakunya
TRIPS
agreement. TRIPS
agreement
adalah
perjanjian
yang
dibentuk oleh World Trade Organization
(WTO) dan Indonesia menjadi salah satu
negara yang turut serta meratifikasi
perjanjian tersebut. Pada tahun 1995,
TRIPS agreement mulai berlaku dan sejak
saat
itu
negara-negara
berkembang 14 Implementasi Hukum Rahasia Dagang............. Implementasi Hukum Rahasia Dagang............. 14 www.journal.uii.ac.id/JIPRO Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 rekayasa ulang yang dapat dilakukan oleh
pelaku usaha lain(Kurniawan et al., 2022). Penelitian normatif ini menggunakan
metode
analisis
data
kualitatif
dan
pendekatan fenomenologi, yang bertumpu
pada data sekunder, yakni olah data yang
berasal dari literatur, artikel ilmiah,
peraturan
perundang-undangan,
serta
data sekunder lainnya yang relevan. Data
dikumpulkan
melalui
studi
literatur,
observasi dan wawancara. Data yang
diperoleh diolah dan dianalisis, kemudian
dideskrpsikan secara naratif, agar dapat
dipahami oleh masyarakat luas. Peneliti
melakukan analisis permasalahan melalui
penjabaran
data-data
yang
diperoleh
berdasarkan norma-norma hukum dalam
perundang-undangan. Permasalahan
diuraikan dalam bentuk kalimat yang
teratur, runtut logis, tidak tumpang tindih
dan
efektif,
sehingga
mendapatkan
kesimpulan yang jelas. Apabila
seseorang
menyebarkan
informasi rahasia dagang melalui media
digital dengan mengingkari perjanjian
kerahasiaan, namun memiliki maksud
dan
tujuan
pengembangan
produk
melalui rekayasa ulang bukan merupakan
bentuk pelanggaran rahasia dagang, maka
hal
ini
tidak
sejalan
dengan
UU
No.30/2000 serta prinsip keadilan dalam
hak
kekayaan
intelektual
yang
memberikan kewenangan mutlak bagi
pemiliknya. Selain itu, dari sisi ekonomi
akan merugikan pemilik rahasia dan
perjanjian yang telah disepakati menjadi
tidak
berarti. Seharusnya,
perjanjian
bagaikan undang-undang yang mengikat
kedua belah pihak (asas Pacta Sunt
Servanda). Implementasi Hukum Rahasia Dagang............. HASIL DAN PEMBAHASAN Penggunaan media digital membawa
fenomena baru dalam implementasi UU
No. 30/2000. UU No. 30/2000 belum
secara
komprehensif
mengatur
perlindungan hukum rahasia dagang
dengan
pemanfaatan
teknologi. Oleh
sebab itu, perlu dianalisa lebih lanjut. www.journal.uii.ac.id/JIPRO Dasar Hukum Rahasia Dagang di era
Digital
Era digital menimbulkan adanya
fenomena transparansi, liberalisasi dan
privatisasi,
sebagai
suatu
realitas
sehingga
menuntut
dilakukannya
penyesuaian berbagai sistem, termasuk
sistem
ekonomi
dan
sistem Dasar Hukum Rahasia Dagang di era
Digital Implementasi Hukum Rahasia Dagang............. RUMUSAN MASALAH Atas dasar uraian latar belakang
diatas, maka rumusan masalah dalam
penelitian ini adalah 1. Apa dasar hukum perlindungan
rahasia dagang di era digital? 2. Bagaimana implementasi hukum
rahasia dagang di era digital? METODOLOGI PENELITIAN Implementasi Hukum Rahasia Dagang............. 15 www.journal.uii.ac.id/JIPRO www.journal.uii.ac.id/JIPRO Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 hukum(Yanuarsi,
2019). Dalam
hal
perlindungan hukum bagi pelaku usaha
khususnya rahasia dagang di Indonesia
diatur dalam UU No. 30/2000. Pengaturan
terkait rahasia dagang tidak hanya diatur
dalam UU No. 30/2000, tetapi diatur pula
oleh Pasal 23 Undang-Undang Nomor 5
Tahun 1999 tentang Larangan Praktek
Monopoli dan Persaingan Usaha Tidak
Sehat (UU No.5/1999)(Avianto et al.,
2022). Hal ini dikarenakan, perlindungan
hukum atas rahasia dagang bertujuan
untuk menghindari praktek monopoli
dan/atau persaingan usaha yang tidak
sehat. dijaga kerahasiaannya, dan (3) bernilai
ekonomi. Artinya pelaku usaha harus
memiliki upaya yang patut dalam
menjaga kerahasiaan informasi yang
bernilai ekonomi. Umumnya,
pelaku
usaha
menggunakan confidentiality agreement
untuk mengikat karyawannya agar tidak
menyebarkan informasi rahasia dagang. Confidentiality
agreement
memuat
tentang kewajiban dan tanggung jawab
karyawan dalam hal menjaga informasi
rahasia
dari
perusahaan
untuk
mencegah
pelanggaran
terhadap
rahasia
dagang
yang
dapat
menimbulkan
kerugian
bagi
perusahaan(Dewi & Purwanto, 2018). Namun,
perkembangan
teknologi
membawa
dampak
yang
berbeda. Pelaku
usaha
secara
sadar
menyebarkan informasi terkait metode
produksi, metode pengolahan, metode
penjualan, atau informasi lain dibidang
teknologi dan/atau bisnis melalui media
digital, secara sebagian atau seluruhnya. Penyebaran
informasi
dilakukan
melalui media sosial, seperti; facebook
dan instagram. Sebagai contoh group
facebook dengan nama “Baking Lovers
Indonesia” beranggotakan 97,9 ribu
pengguna
facebook,
dimana
para
anggotanya saling berbagi informasi
terkait
metode
produksi,
metode
pengolahan, serta metode penjualan kue
kering. Dari
hasil
observasi
dan
wawancara, diketahui pelaku usaha
saling membagikan informasi secara
sadar. Dari informasi yang disebarkan
tersebut diketahui dapat menambah
wawasan pelaku usaha lainnya dan
melakukan inovasi dalam bisnis kue
kering. Namun demikian, UU No.30/2000 dan
UU No.5/1999 belum secara komprehensif
memberikan perlindungan hukum rahasia
dagang
yang
dalam
prosesnya
memanfaatkan
teknologi
informasi. Sehubungan dengan hal tersebut, maka
perlindungan
hukumnya
diakomodir
dengan Undang-Undang Nomor 11 Tahun
2008 tentang Informasi dan Transaksi
Elektronik (UU No.11/2008) yang telah
diubah dengan Undang-Undang Nomor 19
Tahun 2016 tentang Perubahan Atas
Undang-Undang
Republik
Indonesia
Nomor 11 Tahun 2008 tentang Informasi
dan
Transaksi
Elektronik
(UU
No.19/2016). Artinya, jika pemanfaatan
media digital ternyata menciderai hak
ekslusif pemilik rahasia dagang UU No. 11/2008 jo UU No.19/2016 dapat menjadi
payung hukum. Keberadaan rahasia dagang berkaitan
dengan perlindungan konsumen (Vebriana
& Utari, 2017), sehingga dalam penegakan
hukum
rahasia
dagang
seringkali
bersinggungan dengan Undang-Undang
Nomor
8
Tahun
1999
tentang
Perlindungan Konsumen(UU No.8/1999). Implementasi Hukum Rahasia Dagang di
Era Digital Era digital menimbulkan adanya
fenomena transparansi, liberalisasi dan
privatisasi,
sebagai
suatu
realitas
sehingga
menuntut
dilakukannya
penyesuaian berbagai sistem, termasuk
sistem
ekonomi
dan
sistem Rahasia dagang merupakan private
rights(Sinaga, 2020) yang berkembang
mengikuti industrialisasi dan budaya,
bersifat kompetitif serta individualistik
(Effendy,
2014). Dengan
demikian,
implementasi
perlindungan
hukumnya Implementasi Hukum Rahasia Dagang............. 16 www.journal.uii.ac.id/JIPRO Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 pelaku usaha lainnya dan melakukan
inovasi dalam bisnis kue kering. juga
terkesan
private
atau
individualistik. Pelaku usaha yang minim
informasi terkait pentingnya melindungi
rahasia dagang tidak dapat melakukan
upaya yang cukup (Butar-Butar et al.,
2019)untuk melindungi informasi bisnis
yang
seharusnya
menjadi
objek
perlindungan hukum rahasia dagang. Apabila
informasi
terkait
metode
produksi, metode pengolahan, metode
penjualan, atau informasi lain dibidang
teknologi dan/atau bisnis melalui media
digital disebarkan melalui media sosial,
maka hal ini bukan lagi dianggap sebagai
rahasia
dagang
karena
tidak
lagi
memenuhi unsur rahasia dagang, yakni
dijaga
kerahasiaannya. Jika
informasi
bisnis yang disebarkan oleh pemilik hak
adalah seluruh informasi bisnis, maka
bisnis tersebut tidak lagi mendapatkan
perlindungan hukum atas rahasia dagang. Meskipun, pada prinsipnya perlindungan
hukum atas rahasia dagang diperoleh
tanpa proses pendaftaran. Perlindungan hukum atas rahasia
ragang dapat diberikan jika informasi
tersebut memiliki sifat kerahasiaan,
bernilai
ekonomi,
serta
pemilik
melakukan upaya yang patut untuk
menjaga kerahasiannya (Effendy, 2014;
Faramukti & Sukirno, 2022). Pelaku
usaha
dapat
memanfaatkan
confidentiality
agreement
untuk
mengikat karyawannya agar turut serta
melindungi
rahasia
dagang
milik
perusahaan. Perlindungan hukum atas
rahasia
dagang
diperoleh
secara
langsung oleh pemilik rahasia dagang
selama masih dijaga kerahasiaannya,
karena
sistem
hukum
kekayaan
intelektual khususnya rahasia dagang di
Indonesia tidak perlu mendaftarkan hak
dimaksud. Apabila pelaku usaha masih memiliki
informasi yang dengan upaya yang cukup
dijaga kerahasiaannya, serta informasi
tersebut bernilai ekonomi dan bukan
informasi umum, maka pelaku usaha
masih mendapatkan perlindungan hukum
atas rahasia dagang. Meskipun, pelaku
usaha telah secara sadar membagikan
sebagian
informasi
terkait
metode
produksi atau metode penjualan. Perkembangan
teknologi
mempengaruhi
implementasi
perlindungan
hukum
atas
rahasia
dagang. Pelaku usaha secara sadar
menyebarkan informasi terkait metode
produksi, metode pengolahan, metode
penjualan, atau informasi lain dibidang
teknologi dan/atau bisnis melalui media
digital, secara sebagian atau seluruhnya
melalui media sosial, seperti; facebook
dan instagram. Sebagai contoh group
facebook dengan nama “Baking Lovers
Indonesia” beranggotakan 97,9 ribu
pengguna
facebook,
dimana
para
anggotanya saling berbagi informasi
terkait
metode
produksi,
metode
pengolahan, serta metode penjualan kue
kering. Dari
hasil
observasi
dan
wawancara,
pelaku
usaha
saling
membagikan informasi secara sadar. Implementasi Hukum Rahasia Dagang di
Era Digital Dari informasi yang disebarkan tersebut
diketahui dapat menambah wawasan Jika penyebarkan informasi rahasia
dagang melalui media digital adalah
bentuk
mengingkari
perjanjian
kerahasiaan (confidentiality agreement),
meskipun memiliki maksud dan tujuan
pengembangan produk melalui rekayasa
ulang merupakan bentuk pelanggaran
rahasia dagang (UU No.30/2000) serta
prinsip keadilan dalam hak kekayaan
intelektual. Pasal
5
UU
No.30/2000
mengatur tentang pengalihan hak rahasia
dagang yang merupakan kewenangan
pemilik
dapat
dilakukan
melalui
pewarisan,
hibah,
wasiat,
perjanjian
tertulis atau sebab lain yang dibenarkan
undang-undang. Di Indonesia berlaku asas
Pacta Sunt Servanda, sehingga segala
bentuk perjanjian termasuk confidentiality
agreement
mengikat
para
pihaknya
layaknya undang-undang, sehingga wajib
dipatuhi. Jika
terdapat
pihak
dalam
confidentiality
agreement
melakukan Implementasi Hukum Rahasia Dagang............. Implementasi Hukum Rahasia Dagang............. 17 www.journal.uii.ac.id/JIPRO Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 cukup untuk melindungi rahasia dagang. Sedangkan bagi pemerintah, diharapkan
agar
dapat
memperbaharui
UU
No. 30/2000 sehingga lebih relevan dan efektif
dalam melindungi rahasia dagang di era
digital. wanprestasi maka dapat dikenai sanksi
pidana sebagaimana diatur dalam Pasal
17 UU No. 30/2000. Dengan demikian, perlindungan hukum
atas rahasia dagang hanya diberikan
kepada pelaku usaha yang memiliki
informasi
rahasia
dagang. Dimana
informasi
dimaksud
memenuhi
tiga
unsur
rahasia
dagang,
yakni
(1)
informasi dibidang teknologi atau bisnis
yang tidak bersifat umum, (2) dijaga
kerahasiaannya,
dan
(3)
bernilai
ekonomi. Simpulan p
Perlindungan
hukum
terhadap
rahasia
dagang
diatur
dalam
UU
No.30/2000,
UU
No.5/1999
dan
dilengkapi dengan UU No. 11/2008 jo UU
No.19/2016, ketika ada pemenfaatan
teknologi digital. Keberadaan UU No. 11/2008 jo UU No.19/2016 sangat
berpengaruh dalam implementasi hukum
rahasia dagang di era digital. Implementasi perlindungan hukum
rahasia dagang bersifat private atau
individualistik, sehingga pelaku usaha
selaku pemilik hak ekslusif rahasia
dagang harus melakukan upaya yang
patut agar informasi rahasia dagangnya
mendapatkan
perlindungan
hukum. Pelaku
usaha
yang
menyebarkan
informasi terkait rahasia dagang miliknya
melalui
media
digital
tidak
lagi
mendapatkan perlindungan hukum atas
rahasia dagang, karena informasi yang
telah disebarluaskan tidak lagi memenuhi
unsur rahasia dagang, yakni informasi
harus
tidak
bersifat
umum,
dijaga
kerahasiaannya dan bernilai ekonomi. Perlindungan hukum atas rahasia dagang
di era digital hanya diberikan bagi pelaku
usaha yang memiliki informasi rahasia
dagang,
dan
informasi
tersebut
memenuhi unsur rahasia dagang. Implementasi Hukum Rahasia Dagang.............
g Saran I
Bagi pelaku usaha diharapkan dapat
meningkatkan wawasan terkait rahasia
dagang agar dapat melakukan upaya yang Implementasi Hukum Rahasia Dagang............. g 18 www.journal.uii.ac.id/JIPRO www.journal.uii.ac.id/JIPRO Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Journal of Intellectual Property
Vol. 6 No. 1 Tahun 2023 Implementasi Hukum Rahasia Dagang............. DAFTAR PUSTAKA Avianto, R., Mahendrawati, N. L. M., & Arini, D. G. D. (2022). Perlindungan Hukum Rahasia
Dagang atas Informasi Bisnis dalam Perjanjian Kerja Di Kota Denpasar (Studi: Street
Food
Hoki
Takoyaki). . . CC,
4(3),
238–242. https://doi.org/10.22225/
ah.4.3.2022.238-242 Butar-Butar, M. S., Sitohang, E. W., & Siambaton, T. (2019). ANALISIS HUKUM TERHADAP
PERLINDUNGAN RAHASIA DAGANG BERDASARKAN UU NO. 30 TAHUN 2000 (STUDI DI
BREAD LIFE MALL CENTER POINT MEDAN). 3. Dewi, N. K. A. S., & Purwanto, I. W. N. (2018). PENGATURAN CONFIDENTIALITY AGREEMENT
TERHADAP PERLINDUNGAN RAHASIA DAGANG. Kertha Semaya : Journal Ilmu Hukum,
6(11), 1–19. Effendy, T. (2014). RAHASIA DAGANG SEBAGAI BAGIAN DARI HAK KEKAYAAN
INTELEKTUAL. Al-Adl :
Jurnal
Hukum,
6(12). https://doi.org/10.31602/al-
adl.v6i12.205 Faramukti, T. S., & Sukirno, S. (2022). Perlindungan Hukum Rahasia Dagang Atas Informasi
Resep
Makanan
Dalam
Perjanjian
Kerja. Notarius,
15(1),
68–84. https://doi.org/10.14710/nts.v15i1.46025 Haikal, M. F. (2022). IMPLEMENTASI PERLINDUNGAN RAHASIA DAGANG DALAM UNDANG-
UNDANG NOMOR 30 TAHUN 2000 TENTANG RAHASIA DAGANG : Studi Kasus Pada PT. Bahagia Idkho Mandiri. UIN SYARIF HIDAYATULLAH JAKARTA. Kurniawan, F., Taufiqurrohman, Moch. M., & Nugraha, X. (2022). Legal Protection of Trade
Secrets over the Potential Disposal of Trade Secrets Under the Re-Engineering
Precautions. Jurnal
Ilmiah
Kebijakan
Hukum,
16(2),
267. https://doi.org/10.30641/kebijakan.2022.V16.267-282 Sabirin, A., & Herfian, R. H. (2021). Dampak Ekosistem Digital terhadap Hukum Persaingan
Usaha di Indonesia serta Optimalisasi Peran Komisi Pengawas Persaingan Usaha
(KPPU) di Era Ekonomi Digital. Jurnal Persaingan Usaha, 1(2), Article 2. https://doi.org/10.55869/kppu.v2i.23 Sinaga, N. A. (2020). PENTINGNYA PERLINDUNGAN HUKUM KEKAYAAN INTELEKTUAL BAGI
PEMBANGUNAN EKONOMI INDONESIA. Jurnal Hukum Sasana, 6(2), 144–165. https://doi.org/10.31599/sasana.v6i2.385 Vebriana, I. G. K. W., & Utari, N. K. S. (2017). KEBERADAAN RAHASIA DAGANG BERKAITAN
DENGAN PERLIDUNGAN KONSUMEN. Kertha Semaya : Journal Ilmu Hukum, 5(2). https://ojs.unud.ac.id/index.php/kerthasemaya/article/view/20942 Yanuarsi, S. (2019). PERLINDUNGAN HUKUM TERHADAP PEMILIK RAHASIA DAGANG YANG
BERSIFAT
KOMERSIL. Solusi,
17(2),
122–131. https://doi.org/10.36546/solusi.v17i2.146 19
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https://www.preprints.org/manuscript/201704.0078/v1/download
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Diabetogenic Effects of Ochratoxin A in Female Rats
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Toxins
| 2,017
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cc-by
| 5,664
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Corresponding Author: Assoc.Prof. Dr.Firdevs Mor
Mehmet Akif Ersoy University, Faculty of Veterinary Medicine,
Department of Pharmacology and Toxicology, Istiklal Yerleskesi, 15030, Burdur, Turkey,
e-mail: fmor@mehmetakif.edu.tr Corresponding Author: Assoc.Prof. Dr.Firdevs Mor
Mehmet Akif Ersoy University, Faculty of Veterinary Medicine,
Department of Pharmacology and Toxicology, Istiklal Yerleskesi, 15030, Burdur, Turkey,
e-mail: fmor@mehmetakif.edu.tr Corresponding Author: Assoc.Prof. Dr.Firdevs Mor
Mehmet Akif Ersoy University, Faculty of Veterinary Medicine,
Department of Pharmacology and Toxicology, Istiklal Yerleskesi, 15030, Burdur, Turkey,
e-mail: fmor@mehmetakif.edu.tr doi:10.20944/preprints201704.0078.v1 doi:10.20944/preprints201704.0078.v1 Article eywords: Ochratoxin A; insulin; glucagon; glucose; rat plasma; pathology; immunohistochemistry Diabetogenic Effects of Ochratoxin A in Female Rats Firdevs Mor1, Omur Sengul1, Senay Topsakal2, Mehmet Akif Kilic3, Ozlem Ozmen4
1Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Department of Pharmacology and
Toxicology, Burdur, Turkey
2 Pamukale University, Department of Endocrinology and Metabolism, Denizli, Turkey
3Akdeniz University, Faculty of Science, Division of Biology, Antalya, Turkey,
4 Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Department of Pathology, Burdur,
Turkey
Running Title: Ochratoxin A, Diabetes, ELISA, Pathology 1Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Department of Pharmacology and
Toxicology, Burdur, Turkey
2 Pamukale University, Department of Endocrinology and Metabolism, Denizli, Turkey
3Akdeniz University, Faculty of Science, Division of Biology, Antalya, Turkey,
4 Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Department of Pathology, Burdur,
Turkey Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Department of Pharmacology a
Toxicology, Burdur, Turkey Toxicology, Burdur, Turkey
2 Pamukale University, Department of Endocrinology and Metabolism, Denizli, Turkey
3Akdeniz University, Faculty of Science, Division of Biology, Antalya, Turkey,
4 Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Department of Pathology, Burdur,
Turkey Running Title: Ochratoxin A, Diabetes, ELISA, Pathology Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 13 April 2017 doi:10.20944/preprints201704.0078.v1
Peer reviewed version available at Toxins 2017 9
144; doi:10 3390/toxins9040144 doi:10.20944/preprints201704.0078.v1 1. Introduction Ochratoxin A (OTA) is a mycotoxin that naturally occurs as a fungal metabolite and is the most
toxic product of Aspergillus ochraceus and Penicillium verrucosum [1]. Its widespread occurrence in
human and animal food and some preliminary cytotoxic, carcinogenic data suggest a possible role
for dietary OTA in the development of numerous organ damages and occurrence of different tumors
[2-5]. In addition to carcinogenic, mutagenic and cytotoxic effects, OTA also known to evoke a
decrease of food intake and body weight gains [6]. OTA has been shown to be nephrotoxic,
immunotoxic, and teratogenic to a variety of animal species [7]. It is a ubiquitous mycotoxin produced
by these fungi in improperly stored food products. Various commodities including corn, peanuts,
wheat, maize, rye, barley, coffee beans, flour, rice, spices, bread and animal feed may contain OTA. The highest amounts of OTA in food of plant origin were found mainly in Eastern Europe [8-12]. Diabetes mellitus (DM) is an autoinflammatory syndrome that is a collection of many disorders
such as hyperglycemia, dyslipidemia, insulin resistance, impaired beta-cell functioning, and insulin
secretion [13-16]. DM is associated with disturbance of carbohydrate, fat, and protein metabolism
resulting from defects in insulin secretion, insulin action, or both [17]. It is considered among the
major life-threatening diseases worldwide, particularly in developing countries [13-16]. DM is one of
the most crippling diseases that man has ever had to deal with, and its prevalence has risen
dramatically over the past two decades [18]. Currently, there are over 150 million diabetics
worldwide, and this is likely to increase to 300 million or more by the year 2025 due to increased
sedentary lifestyle, consumption of energy-rich diet and obesity [19]. There are few studies investigated diabetogenic effects of OTA and the extent of diabetogenic
effects of OTA is far beyond clear. Especially increased DM incidence in animals necessitates the
clarification of any possible relation between OTA consumption and occurrence of DM. Because of
the increased incidence of OTA in contaminated foods and DM in underdeveloped countries,
possible relations between OTA and diabetes toughed and this study designed. The aim of this study
was to examine OTA toxicity in pancreas and possible diabetogenic effect of this toxication in a rat
model. Phone: +90 2482132122 Abstract: In this study, diabetogenic effects of long term Ochratoxin A (OTA) administration in rats
were investigated and its role in the etiology of diabetes mellitus (DM) was examined utilizing 42
female Wistar rats for these purposes. The rats were divided into 3 different study and control
groups according to the duration of the OTA administration. Rats received 45 μg OTA daily in their
feed for 6, 9 and 24 weeks study groups. Three control groups without any treatment were also used
in the same periods. Blood and pancreatic tissue samples were collected during the necropsy at the
end of 6, 9 and 24 weeks. Plasma values of insulin, glucagon and glucose in study and control groups
were determined. Pancreatic lesions were evaluated by histopathological examination; then insulin
and glucagon expression in these lesions were determined by immunohistochemical methods. Statistically significant decrease in insulin levels in contrast to increases in glucagon and glucose
levels in blood were observed. Slight to moderate degeneration in Langerhans islet cells were
observed at the histopathological examination in all OTA treated groups. Immunohistochemistry of
pancreatic tissue revealed decreased insulin and increased glucagon expression. This study
demonstrated that OTA may cause pancreatic damage in Langerhans islet and predispose rats to
DM. Keywords: Ochratoxin A; insulin; glucagon; glucose; rat plasma; pathology; immunohistochemistry 2. Results All pancreases had normal gross appearance during necropsy in all groups. Histopathological
examinations of rats revealed vacuolization, megalocytosis and karyomegaly in some islets of
Langerhans in the OTA-treated groups (OTA6, OTA9 and OTA24) while no pathological lesions were
observed in control groups (Ctrl6, Ctrl9 and Ctrl24) (Fig.1a and 1d). doi:10.20944/preprints201704.0078.v1 Fig.1: Histopathological and immunohistochemical appearance of the pancreas of 24-week period. (A) normal histology, HE, (B) severe insulin and (C) glucagon immunoexpression in control group,
streptavidin biotin peroxidase method, (D) degenerative and karyomegalic cells in Langerhans islet
(arrows), HE, (E) decreased insulin (F) and increased glucagon expression, streptavidin biotin
peroxidase method, Bar= 50μm. Fig.1: Histopathological and immunohistochemical appearance of the pancreas of 24-week period. (A) normal histology, HE, (B) severe insulin and (C) glucagon immunoexpression in control group,
streptavidin biotin peroxidase method, (D) degenerative and karyomegalic cells in Langerhans islet
(arrows), HE, (E) decreased insulin (F) and increased glucagon expression, streptavidin biotin
peroxidase method, Bar= 50μm. Marked increases in blood glucose and glucagon levels in contrast to decrease in insulin levels
in the study groups compared to the control groups in 6, 9 and 24-week study periods were observed. Statistical analysis results of plasma glucose, insulin and glucagon levels are shown in Fig. 2-3-4. Statistically significant differences were observed in all study periods between study and control
groups. This study showed that OTA cause damages in endocrine pancreatic functions even during
a 6-week exposure period. Fig.2: Statistical analysis of results of plasma glucose levels between study and control groups. Statistically significant increase was seen in study group results comparing the same period in control
groups (P=0.009 in OTA6 and Ctrl6; P= 0.048 in OTA9 and Ctrl9; P=0.007 in OTA24 and Ctrl24). 0
50
100
150
200
250
300
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Glucose(mg/dl)
Weeks Fig.2: Statistical analysis of results of plasma glucose levels between study and control groups. Statistically significant increase was seen in study group results comparing the same period in control
groups (P=0.009 in OTA6 and Ctrl6; P= 0.048 in OTA9 and Ctrl9; P=0.007 in OTA24 and Ctrl24). doi:10.20944/preprints201704.0078.v1 Fig.3: Statistical analysis of results of insulin levels between study and control groups. Statistically
significant decrease was seen in study group results comparing the same period in control groups
(P=0.048 in OTA6 and Ctrl6; P= 0.010 in OTA9 and Ctrl9; P=0.035 in OTA24 and Ctrl24). 2. Results Fig.4: Statistical analysis of results of plasma glucagon levels between study and control groups. Statistically significant increase was seen in study group results comparing the same period in control
groups (P=0.007 in OTA6 and Ctrl6; P= 0.035 in OTA9 and Ctrl9; P=0.004 in OTA24 and Ctrl24). The immunohistochemical examinations showed that the insulin-secreting cells were localiz
he central area of the islets of Langerhans. Marked insulin secretion was observed in the cont
ups and the OTA treatment caused a slight to moderate decrease in the number of insul
0
100
200
300
400
500
600
700
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Glucagon (pg7ml)
Weeks
0
5
10
15
20
25
30
35
40
45
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Insulin(µIU/ml)
Weeks Fig.3: Statistical analysis of results of insulin levels between study and control groups. Statistically
significant decrease was seen in study group results comparing the same period in control groups
(P=0.048 in OTA6 and Ctrl6; P= 0.010 in OTA9 and Ctrl9; P=0.035 in OTA24 and Ctrl24). 0
5
10
15
20
25
30
35
40
45
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Insulin(µIU/ml)
Weeks 0
5
10
15
20
25
30
35
40
45
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Insulin(µIU/ml)
Weeks Fig.3: Statistical analysis of results of insulin levels between study and control groups. Statistically
significant decrease was seen in study group results comparing the same period in control groups
(P=0.048 in OTA6 and Ctrl6; P= 0.010 in OTA9 and Ctrl9; P=0.035 in OTA24 and Ctrl24). Fig.3: Statistical analysis of results of insulin levels between study and control groups. Statistically
significant decrease was seen in study group results comparing the same period in control groups
(P=0.048 in OTA6 and Ctrl6; P= 0.010 in OTA9 and Ctrl9; P=0.035 in OTA24 and Ctrl24). Fig.4: Statistical analysis of results of plasma glucagon levels between study and control groups. Statistically significant increase was seen in study group results comparing the same period in control
groups (P=0.007 in OTA6 and Ctrl6; P= 0.035 in OTA9 and Ctrl9; P=0.004 in OTA24 and Ctrl24). 0
100
200
300
400
500
600
700
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Glucagon (pg7ml)
Weeks Fig.4: Statistical analysis of results of plasma glucagon levels between study and control groups. 2. Results Statistically significant increase was seen in study group results comparing the same period in control
groups (P=0.007 in OTA6 and Ctrl6; P= 0.035 in OTA9 and Ctrl9; P=0.004 in OTA24 and Ctrl24). 0
100
200
300
400
500
600
700
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Glucagon (pg7ml)
Weeks Fig.4: Statistical analysis of results of plasma glucagon levels between study and control groups. Statistically significant increase was seen in study group results comparing the same period in control
groups (P=0.007 in OTA6 and Ctrl6; P= 0.035 in OTA9 and Ctrl9; P=0.004 in OTA24 and Ctrl24). The immunohistochemical examinations showed that the insulin-secreting cells were localized
in the central area of the islets of Langerhans. Marked insulin secretion was observed in the control
groups, and the OTA treatment caused a slight to moderate decrease in the number of insulin-
secreting cells together with the degree of insulin expression in some Langerhans islets. Furthermore,
the decrease in insulin expression is augmented with the increased duration of OTA exposure (Fig 1
b and Fig 1 e) Similar levels of glucagon expression were observed in the control groups during the study,
whereas a slight increase occurred in the OTA-treated groups (Fig. 1c and 1f). However, glucagon doi:10.20944/preprints201704.0078.v1 positive cells were decreased with the increased duration of OTA exposure. The results of the
statistical analysis results of the numbers of insulin and glucagon expressing cells are shown in Fig
5-6. positive cells were decreased with the increased duration of OTA exposure. The results of the
statistical analysis results of the numbers of insulin and glucagon expressing cells are shown in Fig
5 6 Fig.5: Statistical analysis of results of insulin positive cell percentage between the groups. Statistically significant decrease was seen in study group results comparing the same period control
groups (P=0.004 in OTA6 and Ctrl6; P˂ 0.001 in OTA9 and Ctrl9; P˂0.001 in OTA24 and Ctrl24). Fig.6: Statistical analysis of results of glucagon positive cell percentage between the groups. Statistically significant increase was seen in study group results comparing same period in control
groups (P˂0.001 in OTA6 and Ctrl6; P= 0.025 in OTA9 and Ctrl9; P=0.048 in OTA24 and Ctrl24). 2. Results Discussion
0
10
20
30
40
50
60
70
80
90
100
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Insulin (4) cell %
Weeks
0
5
10
15
20
25
30
35
40
45
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Glukagon (+) cell %
Weeks Fig.5: Statistical analysis of results of insulin positive cell percentage between the groups. Statistically significant decrease was seen in study group results comparing the same period control
groups (P=0.004 in OTA6 and Ctrl6; P˂ 0.001 in OTA9 and Ctrl9; P˂0.001 in OTA24 and Ctrl24). 0
10
20
30
40
50
60
70
80
90
100
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Insulin (4) cell %
Weeks Fig.5: Statistical analysis of results of insulin positive cell percentage between the groups. Statistically significant decrease was seen in study group results comparing the same period control
groups (P=0.004 in OTA6 and Ctrl6; P˂ 0.001 in OTA9 and Ctrl9; P˂0.001 in OTA24 and Ctrl24). Fig.5: Statistical analysis of results of insulin positive cell percentage between the groups. Statistically significant decrease was seen in study group results comparing the same period control
groups (P=0.004 in OTA6 and Ctrl6; P˂ 0.001 in OTA9 and Ctrl9; P˂0.001 in OTA24 and Ctrl24). Fig.6: Statistical analysis of results of glucagon positive cell percentage between the groups. Statistically significant increase was seen in study group results comparing same period in control
groups (P˂0.001 in OTA6 and Ctrl6; P= 0.025 in OTA9 and Ctrl9; P=0.048 in OTA24 and Ctrl24). 0
5
10
15
20
25
30
35
40
45
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Glukagon (+) cell %
Weeks Fig.6: Statistical analysis of results of glucagon positive cell percentage between the groups. Statistically significant increase was seen in study group results comparing same period in control
groups (P˂0.001 in OTA6 and Ctrl6; P= 0.025 in OTA9 and Ctrl9; P=0.048 in OTA24 and Ctrl24). 0
5
10
15
20
25
30
35
40
45
OTA6
Ctrl6
OTA9
Ctrl9
OTA24
Ctrl24
Glukagon (+) cell %
Weeks Fig.6: Statistical analysis of results of glucagon positive cell percentage between the groups. Statistically significant increase was seen in study group results comparing same period in control
groups (P˂0.001 in OTA6 and Ctrl6; P= 0.025 in OTA9 and Ctrl9; P=0.048 in OTA24 and Ctrl24). Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 13 April 2017 doi:10.20944/preprints2017
Peer-reviewed version available at Toxins 2017, 9, , 144; doi:10.3390/toxins9040144 doi:10.20944/preprints201704.0078.v1 DM is a common illness with high morbidity and an early mortality rate, causing vascular, renal,
retinal, or neuropathic disorders in the long term as well as acute metabolic complications [20]. Diet
along with lifestyle modification is believed to play an important role in the management of this
disease [21,22). Polydipsia and polyphagia are the most common symptoms of diabetes [17]. OTA is
a ubiquitous mycotoxin produced by fungi of improperly stored food products [23]. Because both
OTA-related toxicity and DM are food intake related diseases, the idea of any possible relation
between these conditions was the main objective of this study. There is a little knowledge about relationships between mycotoxins and DM [24-26]. These
authors reported increase in glucose levels after mycotoxin exposure in rats and chickens. Similar
increase in blood glucose levels were observed in OTA treated groups in this study. But there is no
report about detailed pathological and histopathological finding in OTA toxication. This is the first
study about the effect of OTA on pancreas in a rat model. Suseela et al., 1986 reported on increase in glucose and decrease in insulin levels after mycotoxin
administration in rats [26]. Subramanian et al.1985, also reported similar results in calves after OTA
exposure [25]. In a recent study, after 30 days OTA exposure liver and kidney damages were also
reported in addition to increase in blood glucose levels [27]. The results of our study are in agreement
with previous studies that OTA caused increase in blood glucose and glucagon levels, but decrease
in blood insulin levels in groups that are fed with OTA contaminated food in all durations. It has been reported that OTA exposure results in changes in blood glucose levels in pigs (28-
31), rabbits (32) and rats (27,33). Studies with pigs about blood glucose levels after OTA toxication
are contradictory (28-31). When rabbits fed with 1 and 2 ppm OTA contaminated food, a decrease in
blood glucose level observed after 3 weeks and at week 8, blood glucose level was half of the control
group (32). This rather seems to be contradicting and inconclusive results could be related to wide
range of OTA doses used in these studies, exposure period as well as species specific effect. On the
other hand, there have been two studies reporting that OTA can cause to increase in blood glucose
levels in rats. 3. Discussion OTA toxication and DM are increasing problems in both human and animal health. Because of
the both OTA toxication and DM are related food consumption any possible relation thought to be
in these problem. Only small number studies reported OTA can cause endocrine pancreas problems
but diabetogenic effects of OTA is not clear. The purpose of this study was to examine OTA toxicity
in pancreas and possible diabetogenic effect of this toxication in a rat model. 4.1 Animals, Housing Conditions and Experimental Procedure In this study, pancreas and plasma samples were collected from our previous study that
approved by Akdeniz University Local Animal Research Committee (No:2011.12.02). The study was
performed in accordance with the National Institutes of Health Guidelines for the Care and Handling
of Animals. Rats were kept in the experimental animal laboratory of Akdeniz University. This
laboratory has an international accreditation certificate attesting suitable conditions for such work. Female Wistar rats (16 weeks old), from the Akdeniz University Animal Experiment Unit, were
housed on sawdust bedding in groups of 4–5 in polycarbonate cages with stainless steel covers. Room
temperature was maintained at 22 ± 2 °C with a relative humidity of 55% ± 10% and a day/night cycle
of 12 h. Rats were fed with diet (20 g/rat/day) in stainless steel containers, and water was available ad
libitum. The physical condition of each rat was assessed daily for any obvious clinical signs. Forty-two rats, weighing 125-150 g at the start of the experiment, were randomly allocated into
six groups (n=7). Experimental groups (OTA6, 9 and 24) were fed with OTA-contaminated diet for 6,
9 and 24 weeks, respectively. Control groups (Ctrl6, 9 and 24) were fed with standardized powdered
rat diet for the same period of time. The feeding methods and OTA doses were essentially the same
as Mor et al. (2014). Rats were fed with 3 mg OTA kg-1 food and the initial OTA dose of rats was
approximately 45 μg OTA/rat/day. At the end of study periods, blood (1-1.5 ml) was collected from a tail vein under ether
anesthesia, centrifuged immediately and the plasma stored -40 °C. After blood collection, rats were
euthanatized to collect tissue samples. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 13 April 2017 doi:10.20944/preprints201
Peer-reviewed version available at Toxins 2017, 9, , 144; doi:10.3390/toxins9040144 doi:10.20944/preprints201704.0078.v1 DM is the most challenging metabolic disorder as it cannot be cured but needs only to be
managed. Numerous people and animals suffer from DM throughout the world [36,37]. Numerous
studies have been performed about etiology, pathogenesis or treatment of this important and
common disease. OTA is the main cause of the numerous organ and tissue damages in exposed
human and animals [2-5,27]. The results of this study suggest that OTA at the same time may be a
candidate to be involved in diabetogenic agents. In this study, none of our three control group
exhibited any abnormality in both plasma levels and pancreatic tissues, for that reason all of the
abnormal plasma and tissue results attributed to the OTA toxicity. The main potential flaw of the study was small number of rats included the study. But because
of the long duration and 6 groups the number of the rats reduced. The other limitation may be only
immunohistochemistry used for molecular analysis. Further and expanded research may be planned
for better evaluation. Because of this study is first extensive study, it will be preliminary study for
further studies. The results of this study demonstrated that OTA can cause toxic effects in endocrine pancreas in
a rat model. The toxicity can be seen even in 6-week period exposure; however longer term OTA
exposure may be more effective. Our results demonstrated that OTA damage in exocrine pancreas
may be an etiologic factor for DM in human and animals. In addition, our study suggests a possible
relation between OTA exposure period and severity of pancreatic damage. This is the first detailed
research about diabetogenic effect. Further and expanded studies are needed for the clarification of
the relation between OTA and DM. 4. Material and Methods 4.1 Animals, Housing Conditions and Experimental Procedure Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 13 April 2017 doi:10.20944/preprints2017
Peer-reviewed version available at Toxins 2017, 9, , 144; doi:10.3390/toxins9040144 In the first study, OTA (100 μg/rat/day) is given orally by gavage for 8 weeks; it is found
that blood glucose level increases while insulin level decreases (33). Similarly, the second study
showed that 30 days of OTA treatment results in blood glucose level increase (27). As both studies
indicated that OTA is a possible diabetogenic toxin, here in its direct effect to pancreas and pancreatic
cells first time revealed as well as its effect to blood glucose, insulin and glucagon levels. In fact, a
relationship with OTA and blood glucagon level and a marked glucagon decrease after 6 weeks OTA
exposure is also first time reported in this study. In addition to all these new findings, diabetogenic
effect of OTA exposure were also first time followed in time dependent manner, from 6 weeks to 24
weeks. At the same time, this is the first study shows that OTA do not only alter blood glucose and
insulin levels in rats, it also leads to increase in blood glucagon level and cause pancreatic lesions. A decrease in insulin secretion or diminished activity of insulin causes a rise in glucagon
concentrations and pancreatic expression of the hormone [32]. Although some reports are available
about insulin and glucose levels in mycotoxin administered rats, there is no knowledge about
glucagon levels in OTA-related rat studies in the literature. This is the first study that glucagon levels
are examined in a rat model of OTA toxication together with blood results by ELISA and pancreas
results by immunohistochemistry. In agreement with Ozmen et al.’s study [34], the results of this
study demonstrated that OTA causes increase in glucagon blood levels and expression in pancreas. Possible cause of this result may be related to decrease insulin secretion and relative increase in
glucagon secreted cells. Very sensitive insulin and glucagon ELISA kits were used and assay results
supported immunohistochemical findings. OTA can cause degenerative, necrotic and cancerogenic effects in cells. Karyomegaly is the most
common and characteristic pathological findings in liver and kidney cells after OTA exposure [35]. However, there is no knowledge about pancreatic cell reactions after OTA treatment. This study
demonstrated that OTA caused degeneration, karyomegaly and megalocytosis in pancreatic cells. Insulin secreted cells were found to be more sensitive to OTA toxication in this study, comparing to
glucagon secreted cells. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 13 April 2017 doi:10.20944/preprints201704.00
Peer-reviewed version available at Toxins 2017, 9, , 144; doi:10.3390/toxins9040144 doi:10.20944/preprints201704.0078.v1 The minumum detectable amount (MDA) for rat insulin was 5 μIU/mL. Recovery was
performed by spiking plasma samples with rat insulin (10-50 μIU/mL) and the recovery was 67-129
% with an average of 94.68 %. The minumum detectable amount (MDA) of glucagon was 6.37 pg/mL. The recovery of
glucagon spiked to levels throughout the range of the assay in rat plasma was evaluated. Mean
recovery is 93 % and range is 86-101%. For plasma insulin and glucagon levels methods were used according to the manufacturer’s
instructions. 4.3 Histological Examination During the necropsy, pancreatic tissue samples were collected and fixed in 10% buffered
formalin. After routine processing, tissues were embedded in paraffin and sectioned to 5-μm
thickness. Tissue sections were stained with hematoxylin-eosin and examined microscopically. Pancreas samples were then immunostained with insulin antiserum (Anti-insulin + Proinsulin
antibody, [D6D4] Abcam (ab8304), 1/100 dilution; Abcam, Cambridge, United Kingdom) and
glucagon antiserum (antiglucagon antibody, Abcam (ab8055), 1/100 dilution; Abcam, Cambridge,
United Kingdom) according to the manufacturer's instructions. All the slides were analyzed for
hormone positivity and a semiquantitative analysis was carried out as detailed later. The overall
number of positive cells in 1 high-power field (40X), as well as the number of cells per islet that were
positive for each hormone, were noted and compared with normal pancreatic tissue counts. An
attempt was made to quantify the percentage positivity of each hormone-producing cell in each of
the islets. All islets in at least 5 high-power fields were selected, the total number of nuclei in each
islet was counted, and the average number of nuclei/islet was calculated. The average percentage of
cells positive for each hormone was then calculated for the islets. Morphometric evaluation was made
by using the Database Manual Cell Sens Life Science Imaging Software System (Olympus
Corporation, Tokyo, Japan). 4.4 Statistical analysis One-way ANOVA analysis of variance tests was used to determine whether there were any
significant differences between the groups with regard to their blood glucose, glucagon and insulin
values. In the determination of differences between groups, the Bonferroni Dunn test was used. Calculations were made using the MiniTab (2011) program pack. 4.2 Plasma insulin, glucagon and glucose determination Plasma glucose levels were analyzed by using an Autoanalyzer (Gesan chem 200 Gesan
Production srl, Campobello, Italy). Plasma insulin and glucagon levels were analyzed by using an
ultrasensitive rat insulin ELISA kit (Cat. No: Rab 3050; Sigma Aldich Chemie GmBH, St.Louis, USA)
and glucagon ELISA kit (Cat. No: Rab 0202; Sigma Aldich Chemie GmBH, St.Louis, USA) with a
multiplate ELISA reader (EPOCH microplate reader; Bio-Tek, Inc., Winooski, Vt). Results are
expressed as mg/dl for glucose, μIU/mL for insulin and pg/mL glucagon. 8.
Speijers, G. J. A.; van Egmond, H. P. Worldwide ochratoxin A levels in food and feeds, In: Creppy, E.
E., Castegnaro, M., Dirheimer, G. (Eds.), Human Ochratoxicosis and its Pathologies, John Libbey Eurotext,
London 1993, Vol. 231, pp. 85– 100. 1.
Larsen, T.O.; Svendsen, A.; Smedsgaard, J. Biochemical characterization of ochratoxin A-producing
strains of the genus Penicillium. Appl. Environ. Microbiol. 2001, 67, 3630-3635. 6.
Szkudelska, K.; Drzymała, H.; Szkudelski, T.; Bukowska, K.; Nogowski, L. Lack of the effect of
mycotoxins–aflatoxin B1 and ochratoxin A on some functions of rat adipocytes. T.I.V. 2005, 19, 771–
777. g
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Fink-Gremmels, J. Ochratoxin A in food: recent developments and significance. Food Addit. Contam.
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O’Brien, E.; Dietrich, D.R. Ochratoxin A: The continuing enigma. Crit. Rev. Toxicol. 2005, 35, 33-60. pp
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WHO. Selected Mycotoxins: Ochratoxins, Trichothecenes, Ergot (Environmental Health Criteria 105),
1990, Geneva Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 13 April 2017 doi:10.20944/preprints201704.0078.v1 Peer-reviewed version available at Toxins 2017, 9, , 144; doi:10.3390/toxins9040144 9. Krogh, P.; Hald, B.; Plestina, R.; Ceovic, S. Balkan (endemic) nephropathy and food borne ochratoxin
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mycotoxins–aflatoxin B1 and ochratoxin A on some functions of rat adipocytes. T.I.V. 2005, 19, 771–
777. 6. Szkudelska, K.; Drzymała, H.; Szkudelski, T.; Bukowska, K.; Nogowski, L. Lack of the effect of
mycotoxins–aflatoxin B1 and ochratoxin A on some functions of rat adipocytes. T.I.V. 2005, 19, 771–
777. 7. Kuiper-Goodman, T. Risk assessment of ochratoxin A: An update. Food Addit. Contam. 1996, 13(Suppl.),
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53–57. 8. Speijers, G. J. A.; van Egmond, H. P. Worldwide ochratoxin A levels in food and feeds, In: Creppy, E. E., Castegnaro, M., Dirheimer, G. (Eds.), Human Ochratoxicosis and its Pathologies, John Libbey Eurotext,
London 1993, Vol. 231, pp. 85– 100. 8. Speijers, G. J. A.; van Egmond, H. P. Worldwide ochratoxin A levels in food and feeds, In: Creppy, E. E., Castegnaro, M., Dirheimer, G. (Eds.), Human Ochratoxicosis and its Pathologies, John Libbey Eurotext,
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diabetogenic mycotoxin in rats. Curr. Sci. 1984, 53,1290-1292 25. Subramanian, S.; Govindasamy, S. A. Ochraceus toxicity on carbohydrate metabolism in chicks. Curr. Sci. India. 1985, 54, 860-861 26. Suseela, R.; Shanmugasundaram, E.R.B.; Shanmugasundaram, K.R. Effect of Penitrem A on glucose
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Self-administered acupressure for treating adult psychiatric patients with constipation: a randomized controlled trial
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Chinese medicine
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cc-by
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© 2015 Wong et al. This article is distributed under the terms of the Creative Commons Attribution 4.0 International License
(http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium,
provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license,
and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/
publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Background: Constipation has a high prevalence rate (>30 %) in psychiatric patients with psychotropic drugs. Com-
mon pharmacological and non-pharmacological interventions for constipation might have longer-term negative and
adverse effects that would outweigh their short-term efficacy in symptom reduction. This randomized controlled trial
aims to investigate the effect of self-administered acupressure for the management of constipation, in hospitalized
psychiatric patients. Methods: Seventy-eight patients were recruited in matched pairs in terms of gender, age and laxative use from five
acute psychiatric wards in Hong Kong. Each of these matched pairs of patients was randomly assigned to either a
self-administered acupressure (n = 39) or a sham group (n = 39), using computer-generated random numbers. After
baseline measurement, the intervention and sham group received the same training in self-administered acupressure
and supervised practice once per day for 10 days, except light pressure on non-acupoints was taught to the sham
group. The acupoints chosen for acupressure included Zhongwan (RN12), right and left Tianshu (ST25), right and left
Quchi (LI11). Participants’ symptoms and quality of life regarding constipation were measured at baseline and immedi-
ately and 2 weeks after completion of the interventions with constipation assessment scale and patient assessment of
constipation quality of life questionnaire, respectively. Results: After 2 weeks follow-up, participants who had received self-administered acupressure indicated significantly
greater improvements in both symptom severity (P = 0.0003) and quality of life (P = 0.0004) when compared with
the sham group. Conclusion: The psychiatric patients with constipation who practiced self-administered acupressure for 10 days
improved their symptom severity and perceived quality of life immediately and 2 weeks after completion of the inter-
vention in comparison with the sham group. Conclusion: The psychiatric patients with constipation who practiced self-administered acupressure for 10 days
improved their symptom severity and perceived quality of life immediately and 2 weeks after completion of the inter-
vention in comparison with the sham group. Trial registration: The trial was registered with the ClinicalTrials.gov (Reg. No: NCT02187640) Trial registration: The trial was registered with the ClinicalTrials.gov (Reg. No: NCT02187640) Self-administered acupressure
for treating adult psychiatric patients
with constipation: a randomized controlled trial Wai Kit Wong1*, Wai Tong Chien1 and Wai Ming Lee2 Wai Kit Wong1*, Wai Tong Chien1 and Wai Ming Lee2 © 2015 Wong et al. This article is distributed under the terms of the Creative Commons Attribution 4.0 International License
(http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium
provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license,
and indicate if changes were made. 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. Wong et al. Chin Med (2015) 10:32
DOI 10.1186/s13020-015-0064-7 Wong et al. Chin Med (2015) 10:32
DOI 10.1186/s13020-015-0064-7 Background The high
rate of constipation among psychiatric patients may
result not only from the side effects of psychotropic drugs
(mainly the inhibitory effects of anticholinergics on ace-
tylcholine) [11], but also from patients’ limited exercise,
sedentary lifestyle, negative symptoms (e.g., avolition and
social withdrawal), loss of energy, poor mental state, poor
dietary practice, and insufficient fiber intake [12, 13]. Psy-
chiatric patients with constipation may feel embarrassed
about seeking medical consultation and health advice
and/or lack the initiative to change their unhealthy life-
style and behaviors, resulting in negative consequences to
their daily lives and health [14].h antidepressants) suffer from constipation [10]. The high
rate of constipation among psychiatric patients may
result not only from the side effects of psychotropic drugs
(mainly the inhibitory effects of anticholinergics on ace-
tylcholine) [11], but also from patients’ limited exercise,
sedentary lifestyle, negative symptoms (e.g., avolition and
social withdrawal), loss of energy, poor mental state, poor
dietary practice, and insufficient fiber intake [12, 13]. Psy-
chiatric patients with constipation may feel embarrassed
about seeking medical consultation and health advice
and/or lack the initiative to change their unhealthy life-
style and behaviors, resulting in negative consequences to
their daily lives and health [14].h The most common pharmacological and non-phar-
macological interventions for constipation can produce
short-term symptom relief. Although pharmacological
therapies such as laxatives can stimulate bowel move-
ment, these medications may produce many long-term
side effects (e.g., metabolic disturbances and hepatotox-
icity) that can far outweigh their therapeutic effects of
symptom reduction [14]. Non-pharmacological inter-
ventions can be categorized as traumatic (e.g., acupunc-
ture) or non-traumatic (e.g., auriculotherapy, reflexology,
behavioral therapy, and abdominal massage) [15–17]. Recent evidence suggests that acupuncture is effective at
relieving symptoms of constipation [18–20]. However,
acupuncture is a traumatic intervention, which may limit
its clinical application as an alternative treatment. Non-
traumatic and complementary therapies, such as auricu-
lotherapy, behavioral therapy, and reflexology, have been
seldom used or found ineffective in the treatment of con-
stipation [16, 21]. In one randomized controlled trial,
abdominal massage therapy decreased the severity of con-
stipation and increased bowel movement after 8 weeks,
but this did not lead to a decrease in laxative intake [22]. This randomized controlled trial aims to investigate
the efficacy of self-administered acupressure in treating
constipation in hospitalized psychiatric patients. Such
patients often experience major psychological distress
because of symptoms of constipation. Background The constipation
assessment scale (CAS) is a universal assessment tool with
good reliability and validity for a diverse patient popula-
tion with constipation [5, 11, 19]. The CAS has demon-
strated satisfactory internal consistency, good test–retest
reliability, and significant contrasts between cancer
patients with constipation and healthy controls [34]. In
addition, severe constipation can result in reduced life sat-
isfaction [11]. The symptom-specific patient assessment
of constipation quality of life questionnaire (PAC-QoL) is
commonly used to assess perceived quality of life in rela-
tion to the life impacts of constipation in hospitalized psy-
chiatric patients [3, 11]. This scale has demonstrated good
internal consistency, test–retest reliability, and construct
validity in patients with chronic constipation [35]. The
Chinese versions of the CAS and PAC-QoL (Additional
file 1) used in this trial were validated and indicated satis-
factory content validity, and satisfactory levels of equiva-
lence with the original version, test–retest reliability, and
internal consistency in a pilot study of 20 Chinese adult
psychiatric patients with constipation [33]. A number of other non-pharmacological complemen-
tary therapies with self-administerable procedures have
been recommended for managing constipation in peo-
ple with chronic illness [23]. Acupressure is the applica-
tion of pressure to specific acupoints on the body and is
believed to open up the flow of qi, the energy that restores
balance within the human body [24]. Acupressure has
been shown to be effective in the management of acute
and chronic diseases, such as breathlessness in patients
with chronic obstructive pulmonary disease, nausea and
vomiting in cancer patients undergoing chemotherapy,
and pain in those with dysmenorrhea [25–27]. Acupres-
sure can improve symptoms of constipation in people
with stroke [28] and neurological disorder [29], as well
as older people residing in care homes for the aged [30]. However, there is limited evidence of the effects of acu-
pressure in treating medication- and/or lifestyle-induced
constipation in hospitalized psychiatric patients. Background may lead to extended periods of hospitalization, or even
premature mortality [3, 4]. Constipation contributes to
13.7 million days of restricted activities and 3.4 million
days of bed disability each year in the United States and
several other developed countries [5–8]. More than $725
million per year is spent on laxatives for management of
constipation in the United States [9]; similar high costs
related to this disorder have been reported in Hong Kong
and many Western countries [1, 4]. Constipation is a common and chronic physical health
problem worldwide. In Hong Kong and the United States,
the prevalence of constipation in the general popula-
tion is about 14.3 and 12.0–19.0 %, respectively [1, 2]. Untreated constipation can have severe consequences
such as fecal impaction and bowel obstruction, which *Correspondence: wai.kit.wong@polyu.edu.hk
1 School of Nursing, The Hong Kong Polytechnic University, Hung Hom,
Kowloon, Hong Kong
Full list of author information is available at the end of the article *Correspondence: wai.kit.wong@polyu.edu.hk
1 School of Nursing, The Hong Kong Polytechnic University, Hung Hom,
Kowloon, Hong Kong
Full list of author information is available at the end of the article More than one-third of psychiatric patients who
take psychotropic drugs (e.g., antipsychotics and Wong et al. Chin Med (2015) 10:32 Wong et al. Chin Med (2015) 10:32 Page 2 of 10 A “stepped care” system has recently been proposed
to enhance both the efficiency and effectiveness of treat-
ment for chronic health problems. The stepped care
approach to patient care comprises a sequence of treat-
ment options offered to patients, ranging from low-inten-
sity and less expensive, optimal interventions to more
complex and intensive approaches, depending on what is
deemed necessary and beneficial for individual patients
[31]. In the stepped care system, the self-help approach
to illness management is a treatment approach that offers
user-friendly, convenient, and less expensive interven-
tions. In addition to reducing treatment costs, self-help
treatments or interventions may also enhance the self-
care ability and self-efficacy of service users, especially
those with chronic illnesses [32]. Chinese medicine
practitioners have developed and validated standard-
ized manuals and procedures for acupressure as a user-
friendly way to guide self-application of the technique
among adult psychiatric patients [33]. antidepressants) suffer from constipation [10]. Methodsh This was a randomized controlled trial with a repeated-
measures sham-group design and was conducted
between April and November 2013. A flow diagram
of the study procedure is presented in Fig. 1, accord-
ing to the CONSORT statement [36]. The controlled
trial was registered with the ClinicalTrials.gov (Reg. No:
NCT02187640). Wong et al. Chin Med (2015) 10:32 Page 3 of 10 In the absence of previous similar research on acupres-
sure for constipation in psychiatric patients, the sample
size calculation was based on Cohen’s standard medium
effect size (f = 0.40 with 80 % power at 5 % alpha level)
for healthcare and behavioral studies [37], taking into
account an expected 20 % attrition rate [28–30]. It was
calculated that 39 participants per group (78 partici-
pants in total) would be required for analysis of variance
tests on the main study outcomes (symptom severity
and quality of life), as calculated with G*Power version
3.13 (free download from MacUpdate at http://www. macupdate.com/apps). Seventy-eight eligible adult psy-
chiatric patients volunteered to participate in this study. These patients were recruited over 6 months from five
adult psychiatric wards in one 1000-bed regional mental hospital in Hong Kong. A few patients (n = 6) refused to
participate, or were not selected because of lack of inter-
est in participating or time constraints. Participants had
been admitted to the hospital for acute psychiatric treat-
ment (e.g., psychotropic medication) and rehabilitation
before discharge. Criteria for participation in this study included being:
(1) Hong Kong Chinese residents, aged between 18 and
64; (2) willing and mentally competent to learn about,
and engage in, self-care and acupressure, as assessed and
recommended by the attending psychiatrists; and (3)
diagnosed with constipation under the Rome III diag-
nostic criteria [38]. Methodsh Participants were informed of the specific
sensations (e.g., soreness and relaxation) that should be
experienced when pressure is applied accurately to the
acupoints. Second, gentle rubs (with the palm) with pres-
sure on the abdomen in clockwise circular movements
around 2 cun from the umbilicus were performed for
another 8 min [42]. The positions of the acupoints and
use of the Acupen were illustrated with colored photo-
graphs and pictures for the participants’ easy reference. The acupressure and abdominal massage were performed
once a day for 10 days in a group setting, supervised by a
trained psychiatric nurse and preferably at least 2 h after
a meal. The main procedure and features of the acupres-
sure intervention are summarized (in Additional file 3),
according to the Standards for Reporting Interventions in
Clinical Trials of Acupuncture (STRICTA). 1. Straining at defecation at least a quarter of the time, 2. Lumpy and/or hard stools at least a quarter of the
time, 3. A sensation of incomplete evacuation at least a quar-
ter of the time, 4. A sensation of anorectal obstruction/blockage at
least a quarter of the time, 5. Manual maneuvers to facilitate defecation at least a
quarter of the time, and/or,h 6. Three or fewer defecations per week. Participants with the following symptoms were
excluded: (1) mental instability over the past month as
indicated by their attending psychiatrist; (2) anatomical
and physiological disorders of the gastrointestinal tract,
such as mal-rotation, fistula, and colonic neuropathies;
(3) various comorbidities of mental illness such as meta-
bolic and endocrine diseases, lead poisoning, and vita-
min D intoxication; (4) previous training in acupressure;
and (5) physical disability involving the upper limbs or
pregnancy.hi g
y
The attending psychiatrist assessed and confirmed
whether each participant was mentally competent to par-
ticipate and whether they understood the instructions
for the intervention and the responses to the outcome
questionnaires. Informed written consent (Additional
file 2) was obtained from participants judged competent
to take part in the study. These participants were asked to
complete baseline measures of socio-demographic char-
acteristics and study outcomes. Participants were then
matched in pairs according to gender, a factor associ-
ated with symptom severity and quality of life in previous
studies on psychiatric patients with constipation [3, 14,
22]. Methodsh In relation to these criteria, partici-
pants must have presented in the past 6 months with the
following symptoms of constipation: (a) rarely having Assessed for eligibility (n=300)
Excluded (n=222)
Not meeting inclusion criteria (n=207)
Declined to participate (n=15)
Randomized (n=78)
Acupressure group
Allocated to intervention (n=39)
Received allocated intervention : (n=39)
Did not receive allocated intervention (n=0)
Lost to follow up (n=0)
Discontinued intervention (n=6)
Reason(s) :
- deterioation of mental state (n=4)
- Discharge from hospital (n=1)
- Transfer to other hospital (n=1)
Analysed (n=33)
Excluded from analysis (n=0)
Sham group
Allocated to intervention (n=39)
Received allocated intervention : (n=39)
Did not receive allocated intervention (n=0)
Lost to follow up (n=0)
Discontinued intervention (n=4)
Reason(s) :
- Deterioration of mental state (n=3)
- Discharge from hospital (n=1)
Analysed (n=35)
Excluded from analysis (n=0)
Fig. 1 Recruitment, retention and group allocation of participants during the study Assessed for eligibility (n=300) Excluded (n=222)
Not meeting inclusion criteria (n=207)
Declined to participate (n=15) Randomized (n=78) Sham group Allocated to intervention (n=39)
Received allocated intervention : (n=39)
Did not receive allocated intervention (n=0) Lost to follow up (n=0)
Discontinued intervention (n=4)
Reason(s) :
- Deterioration of mental state (n=3)
- Discharge from hospital (n=1) Analysed (n=35)
Excluded from analysis (n=0) Fig. 1 Recruitment, retention and group allocation of participants during the study Fig. 1 Recruitment, retention and group allocation of participants during the study Page 4 of 10 Wong et al. Chin Med (2015) 10:32 loose stools without the use of laxatives, (b) insufficient
evidence of irritable bowel syndrome, and (c) any two or
more of the following cardinal symptoms: of two simple procedures, as follows: first, the par-
ticipant was taught to use the Acupen, a device used to
apply constant pressure of 29.5–40.0 newton force onto
five acupoints, lasting for approximately 1 min. The five
acupoints were Zhongwan (RN12), which is located on
the upper abdomen and on the anterior midline 4 cun
(just over 10 cm) above the center of the umbilicus [29];
the right and left Tianshu (ST25), located in the central
abdominal region and 2 cun (just over 5 cm) lateral to
the umbilicus [39]; and the right and left Quchi (LI11),
located at the lateral end of the transverse elbow crease
when the forearm is flexed and at the midpoint of the line
connecting Chize (LU5) to the lateral epicondyle of the
humerus [41]. Methodsh Two sets of matched pairs of participants were listed
and the paired participants in one list were then ran-
domly assigned to either the self-administered acupres-
sure or sham group using computer-generated random
number sequences; their matched pairs were assigned
to the corresponding study group. Participants in the
sham group received similar training and implemented a
similar acupressure procedure to the acupressure group,
except that they were taught to use sham acupoints and
perform abdominal massage with light pressure. Partici-
pants in this group were offered acupressure training and
supervised practice after the study if the intervention was
effective. The sham group was trained to perform acupressure
in a similar way to the intervention group, except that
they used five sham acupoints and mild abdominal mas-
sage with slight pressure only. Participants in the sham
group were not told about the sensations (e.g., soreness
and relaxation) induced by acupressure on the real acu-
points. The acupressure and sham group programs were
reviewed and agreed upon by a panel of six Chinese
medical practitioners and acupressure therapists; minor
amendments were made to a few terms about acupoints
and the administration of acupressure in the programs. A training workshop was conducted by an experienced
Chinese medical practitioner who had practiced acupres-
sure for 10 years. The workshop was designed to equip
five mental health nurses (one in each psychiatric ward
under study) with acupressure, abdominal massage, and
group supervision skills. The trained nurses were then
supervised to teach a group of patients about acupressure
until the practitioner was satisfied with and confirmed
their competence to train their patients in acupressure
with the aid of a manual for self-administered acupres-
sure. Each of the nurses also practiced training a group
of four patients in self-administered acupressure under
the supervision of the practitioner prior to the start of f
Training in self-administered acupressure for reliev-
ing constipation was performed according to a standard
guideline or protocol for practice [39, 40]. This consisted Page 5 of 10 Wong et al. Chin Med (2015) 10:32 the study interventions. The treatment fidelity among the
five trained nurses was confirmed by the research team
according to the items in the treatment manual, and their
performance was found to be 93–98 % accurate for all
items. by contrast tests. Characteristics of participants Seventy-eight participants were recruited over 6 months
and randomly allocated into either the self-administered
acupressure or sham group (n = 39 in each group). Ten
participants withdrew during the intervention period
(attrition rate = 12.9 %) because of deterioration in their
mental state; thus, 33 and 35 members of the acupressure
and sham groups, respectively, completed the interven-
tion and the two follow-up measures. Based on an exami-
nation of the participants’ diaries, the adherence rates of
performing the acupressure therapy and sham program
were 95.2 % (95 % CI 92.3–98.2 %) and 92.7 % (95 % CI
90.1–95.3 %), respectively, indicating non-significant dif-
ferences between the groups. The 28-item PAC-QoL consists of four subscales: sat-
isfaction with constipation symptoms and treatment
(five items), physical discomfort (four items), psychoso-
cial discomfort (eight items), and worries and concerns
(11 items) [35]. Items are rated on a five-point Likert
scale, ranging from 0 = none of the time or not at all to
4 = all of the time or extremely. The total and subscale
scores were averaged by the total number of items, and
then each average score (ranging from 0 to 4) was used
for comparison. The lower the average total and subscale
scores, the better the person’s perceived health-related
quality of life. The demographic and clinical characteristics of the 68
participants are summarized in Table 1. Most (n = 54,
79.4 %) had been diagnosed with schizophrenia (n = 29,
87.9 % and n = 25, 71.4 % in the acupressure and sham
groups, respectively). Two-thirds (65.7 %) were aged
between 41 and 60, and 33.3 % (n = 11) of the acupres-
sure group and 37.1 % (n = 13) of the sham group were
aged between 40 and 50. More than half (58.8 %; n = 19
in the acupressure and n = 21 in the sham group) of
each group consumed less than 20–35 g/day of fiber (the
World Health Organization recommends that 20–35 g/
day as the optimal daily fiber intake [43]). Chi-square
tests revealed no statistically significant differences
between the treatment and sham groups on any of the
demographic and clinical characteristics, indicating the
homogeneity of the two groups at recruitment. Instruments Ethical approval (NTW-2012-0009) and permission
to conduct the study were obtained from the Human
Subjects Research Ethics Committee at The Hong Kong
Polytechnic University and the Clinical Research Ethics
Committee of the Hospital Authority, Hong Kong. The
aim and procedure of the study were explained to the
participants who met the study criteria and those who
agreed to participate provided written consent. A socio-demographic and clinical data sheet (Additional
file 4) was completed at baseline. The primary and sec-
ondary outcome measures were scores on the Chinese
versions of the CAS and the PAC-QoL questionnaire,
respectively. These outcome measures were administered
by the researcher (who was blind to participants’ group
assignment) at recruitment, immediately after the 10-day
interventions, and 2 weeks after the interventions. The 8-item CAS has been frequently used to assess
constipation symptoms in the previous 7 days, such as
abdominal distention or bloating, frequency of bowel
movements, oozing of liquid stool, and rectal pain with
bowel movements. Subjects were asked to rate each item
on a 3-point Likert scale: 0 = no problem, 1 = some
problems, and 2 = severe problems. Higher total scores
(possible range 0–16) indicate more severe constipation
symptoms. Methodsh For outcome measures showing sig-
nificant results in the GEE test, subgroup analyses were
performed to examine any significant differences in mean
scores between subgroups for gender, age, type of antip-
sychotic drug used, use of laxatives, and tendency to sup-
press defecation. The level of significance for all statistical
tests was set at 0.05. Data analysis Descriptive statistics (frequency and mean [standard
deviation]) were used to describe the socio-demographic
data and scores on the outcome variables (PAC-QoL and
CAS). The homogeneity of the two study groups was
assessed by comparing their baseline outcome scores and
socio-demographic characteristics using the Chi-square
test (for nominal variables) and the independent sample t
test or Mann–Whitney U test (for continuous variables). The mean scores of the two outcome variables were not
normally distributed and there were significant differ-
ences in PAC-QoL mean scores between groups at the
baseline. Therefore, the generalized estimating equation
(GEE) test was used to compare differences in CAS and
PAC-QoL mean scores between the treatment and sham
groups across time (pretest and two post-tests), followed Mean scores of outcome measures at baseline 0.075
0.785 Table 1 Demographic and clinical characteristics of participants Page 7 of 10 Page 7 of 10 Wong et al. Chin Med (2015) 10:32 Table 1 continued
Total
Frequency Treatment group Frequency Sham group Frequency Chi-square test
n = 68 %
n = 33
%
n = 35
%
Test value P
Yes
30
44.1
14
42.4
16
45.7
No
38
55.9
19
57.6
19
54.3
The total number of drugs used for relieving
constipation
1.661
0.436
0
39
57.4
19
57.6
20
57.1
1
16
23.5
6
18.2
10
28.6
>1
13
19.1
8
24.2
5
14.3
The total number of drugs used for treating
psychiatric illness
0.231
0.891
1
17
25
9
27.3
8
22.9
2–3
39
57.4
18
54.5
21
60
>3
12
17.6
6
18.2
6
17.1 Table 1 continued greater improvements in the acupressure group in all
domains of the PAC-QoL (physical, psychosocial, worries
and concerns, and satisfaction) compared with the sham
group (Wald’s χ2 = 17.70–39.09, all P < 0.0005). The
mean scores for the CAS and PAC-QoL and its subscales
for the pretest and two post-tests in the sham group
were higher, indicating a worsening of both constipation
symptoms and quality of life. The CAS mean score differ-
ences between the baseline and post-test 1 and between
post-tests 1 and 2 were 0.18 and 0.94, respectively. The
PAC-QoL mean score differences between the baseline
and post-test 1 and between post-tests 1 and 2 were 0.08
and 0.28, respectively.h significantly different between the two groups (Mann–
Whitney U = −3.495, P < 0.0005); the acupressure group
[0.87 (SD = 0.09)] had a significantly lower mean score
on the PAC-QoL than the sham group [1.28 (SD = 0.09)]. Therefore, the baseline PAC-QoL mean scores were used
as covariants for the analysis of the treatment effects. greater improvements in the acupressure group in all
domains of the PAC-QoL (physical, psychosocial, worries
and concerns, and satisfaction) compared with the sham
group (Wald’s χ2 = 17.70–39.09, all P < 0.0005). The
mean scores for the CAS and PAC-QoL and its subscales
for the pretest and two post-tests in the sham group
were higher, indicating a worsening of both constipation
symptoms and quality of life. The CAS mean score differ-
ences between the baseline and post-test 1 and between
post-tests 1 and 2 were 0.18 and 0.94, respectively. Mean scores of outcome measures at baseline The
PAC-QoL mean score differences between the baseline
and post-test 1 and between post-tests 1 and 2 were 0.08
and 0.28, respectively.h Mean scores of outcome measures at baseline At the baseline measurement, there were no statistically
significant differences in CAS mean scores (Mann–Whit-
ney U = −0.614, P = 0.539) between the acupressure and
sham groups. However, the PAC-QoL mean scores were Wong et al. Chin Med (2015) 10:32 Page 6 of 10 Table 1 Demographic and clinical characteristics of participants
Total
Frequency Treatment group Frequency Sham group Frequency Chi-square test
n = 68 %
n = 33
%
n = 35
%
Test value P
Gender
0.108
0.743
Male
44
64.7
22
66.7
22
62.9
Female
24
35.3
11
33.3
13
37.1
Age
3.245
0.355
20–30
7
10.3
5
15.2
2
5.7
30–40
15
22.1
5
15.2
10
28.6
40–50
24
35.3
11
33.3
13
37.1
50–60
22
32.4
12
36.4
10
28.6
Diagnosis
5.020
0.170
Schizophrenia
54
79.4
29
87.9
25
71.4
Bipolar disorder
1
1.5
1
3.0
0
0
Depression
1
1.5
0
0
1
2.9
Multiple diagnosis
12
17.6
3
9.1
9
25.7
BMI
2.967
0.227
<18.5
3
4.4
1
3.0
2
5.7
18.5–23.9
29
42.6
11
33.3
18
51.4
>23.9
36
52.9
21
63.6
15
42.9
Classification of occupation
0.675
0.714
Full-time
10
14.7
6
18.2
4
11.4
Part-time
10
14.7
5
15.2
5
14.3
Unemployment
48
70.6
22
66.7
26
74.3
Highest education level
1.738
0.629
Primary
26
38.2
14
42.4
12
38.4
Secondary
39
57.4
17
51.5
22
62.9
Tertiary
2
2.9
1
3
1
2.9
Not educated
1
1.5
1
3
0
0
Living condition
0.021
0.870
Private/public housing
53
77.9
26
78.8
27
77.1
Hostel
15
22.1
7
21.2
8
22.9
Fluid intake
1.564
0.211
<1500 ml
30
44.1
12
36.4
18
51.4
>1500 ml
38
55.9
21
63.6
17
48.6
0.041
0.839
Fiber intake
<20–35 g/day
40
58.8
19
57.6
21
60
>20–35 g/day
28
41.2
14
42.4
14
40
Exercise more than twice per week
0.652
0.419
Yes
26
38.2
11
33.3
15
42.9
No
42
61.8
22
66.7
20
57.1
How long have you taken anti-psychotic drugs
1.244
0.265
<24 months
7
10.3
2
6.1
5
14.3
>24 months
61
89.7
31
93.9
30
85.7
Do you have constipation after taking anti-
psychotic drugs
0.095
0.758
Yes
42
61.8
21
63.6
21
60
No
26
38.2
12
36.4
14
40
Do you taking laxatives or other drug for reliev-
ing constipation during study? Treatment effects of self‑administered acupressureh The acupressure group reported a
significantly greater reduction than the sham group in
mean PAC-QoL scores at both post-test 1 (mean differ-
ence between groups = −0.36, P < 0.0005) and post-test
2 (mean difference between groups = −0.55, P < 0.0005). The CAS and PAC-QoL mean scores over the 2-week
follow-up indicated that the self-help acupressure pro-
gram demonstrated a significant, positive effect on con-
stipation. In addition, the mean score differences in the
acupressure group were significantly improved from
the baseline measurement to post-test 1 and post-test
2 (mean difference = −1.42 and −1.81, respectively, for
CAS and mean difference = −0.21 and −0.20, respec-
tively, for PAC-QoL). beneficial effects were sustained during the 2 weeks fol-
lowing trial completion. In this trial, both participants
who took laxatives and those who did not demonstrate
significant reduction of constipation symptoms and
improvement of quality of life. The subgroup analysis
showed that those who took laxatives experienced sig-
nificantly greater symptom reduction than those who did
not. Acupressure and acupuncture enhance the functioning
of visceral organs by activating the somatovisceral reflexes
and modulating different biomechanical responses [44,
45]. In this controlled trial, all participants took at least
one antipsychotic and/or mood stabilization drug with
sedative and cholinergic side effects, including constipa-
tion. These sedative effects might slow down the func-
tions of the autonomic system and counteract the positive
effects of acupressure in relieving constipation. However,
the self-administered acupressure and abdominal massage
program in this trial demonstrated moderate overall treat-
ment effect size (0.37, according to the GEE test) in reduc-
ing symptom severity in psychiatric patients with chronic
constipation, particularly those with severe symptoms. However, CAS and PAC-QoL scores indicated some nega-
tive effects on constipation symptoms and deterioration
of quality of life in the sham group over time. This might
have resulted from ineffective treatment, side effects of
the medications, or both; increased severity of constipa-
tion symptoms because of ineffective treatment would
contribute to the reduction of these patients’ quality of
life. However, the moderate effect produced by the 10-day
acupressure program was also examined over a short-
term (2-week) follow-up; the results suggested a sustained
effect of acupressure treatment. The longer-term (e.g.,
>3 months) symptom-relieving effects of regular and con-
sistent acupressure should be examined in diverse groups
of psychiatric patients with constipation to explore differ-
ences related to age and symptom severity and chronic-
ity. Treatment effects of self‑administered acupressureh The mean scores on the CAS and the PAC-QoL (and its
subscales) at recruitment, immediately after interven-
tion, and 2 weeks after intervention, and comparisons
between the two groups across time are summarized in
Table 2. Over the 2-week follow-up, participants in the
acupressure group showed significant improvements
in CAS mean score and PAC-QoL mean score (Wald’s
χ2 = 13.11 and 39.09, respectively, both P < 0.0005) com-
pared with the sham group. There were also significantly The results of contrast tests on the variables with signif-
icant treatment effects indicated that the participants in
the acupressure group experienced significantly greater
improvements in symptom severity at post-test 1 (mean Table 2 Summary of outcome measures’ comparison between acupressure and sham groups before, immediate
after intervention, and 2 weeks after intervention
CAS constipation assessment scale, PAC-QoL patient assessment constipation quality of life questionnaire, SD standard deviation, GEE test generalized equation
estimation test
Treatment group (n = 33)
Sham group (n = 35)
GEE test
Effect size
Pretest mean
(SD)
Post-test 1
mean (SD)
Post-test 2
mean (SD)
Pretest mean
(SD)
Post-test 1
mean (SD)
Post-test 2
mean (SD)
Wald’s χ2
P
CAS
4.45 (0.404)
3.03(0.347)
2.64 (0.361)
4.94 (0.460)
5.12 (0.365)
5.88(0.487)
13.109
<0.0005
0.37
PAC-QoL
Total
1.08 (0.712)
0.87 (0.728)
0.88 (0.719)
1.13 (0.695)
1.21 (0.686)
1.41 (0.679)
39.090
<0.0005
0.31
Physical
0.74 (0.105)
0.54 (0.087)
0.5 (0.103)
0.89 (0.114)
1.09 (0.098)
1.44 (0.121)
17.706
<0.0005
0.33
Psychosocial
0.41 (0.095)
0.30 (0.071)
0.27 (0.079)
0.96 (0.123)
0.87 (0.112)
1.03 (0.127)
21.513
<0.0005
0.30
Worries and
concern
0.71 (0.091)
0.59 (0.088)
0.56 (0.089)
1.26 (0.107)
1.34 (0.111)
1.56 (0.120)
33.319
<0.0005
0.29
Satisfaction
2.05 (0.135)
1.79 (0.173)
1.76 (0.139)
2.37 (0.139)
2.63 (0.140)
2.78 (0.128)
17.694
<0.0005
0.32 tcome measures’ comparison between acupressure and sham groups before, immediate
weeks after intervention Table 2 Summary of outcome measures’ comparison between acupressure and sham group
after intervention, and 2 weeks after intervention Wong et al. Chin Med (2015) 10:32 Page 8 of 10 difference = −2.00, P < 0.0005) and post-test 2 (mean
difference = −3.14, P < 0.0005) than those in the sham
group. There was a significant difference in quality of life
between the groups at baseline. Changes in mean PAC-
QoL scores from baseline to post-tests 1 and 2 were com-
pared for the groups. Treatment effects of self‑administered acupressureh In addition, the self-help approach adopted for this
acupressure program should be monitored and followed
up over a longer period of time to ensure its sustainability
and clinical efficacy in the treatment of constipation. The subgroup analyses showed that those acupressure
participants who had taken laxatives (n = 14) indicated
significantly greater improvements in constipation symp-
toms (P < 0.0005) and perceived quality of life (P = 0.002)
than those who had not used such medication over the
2-week follow-up. Despite these significant differences in
treatment effects between the two subgroups, those acu-
pressure participants who had not taken laxatives during
the study period (n = 19) indicated significant within-
group improvements in both constipation symptoms [i.e.,
the mean CAS score was reduced from 3.32 (SD = 0.279)
at the baseline measurement to 2.32 (SD = 0.289) imme-
diately after the intervention, and further reduced to 2.05
(SD = 0.361) at the 2-week follow-up] and perceived
quality of life [i.e., the mean PAC-QoL score was reduced
from 0.97 (SD = 0.072) at the baseline measurement to
0.94 (SD = 0.074) immediately after the intervention,
even though it increased slightly to 1.02 (SD = 0.081)
over the follow-up period]. Discussionh There has been no controlled trial on the effects of self-
administered acupressure in hospitalized psychiatric
patients with constipation. In a study of older people with
severe constipation, Lin et al. [30] used a similar treat-
ment protocol (an acupressure program with abdominal
massage) and a similar primary outcome (i.e., symptom
severity). They reported a substantial effect on symp-
tom reduction (effect size f2 = 3.03) immediately after
the acupressure intervention. In the present trial, self-
administered acupressure produced moderate effects
in our sample of hospitalized adult psychiatric patients. The intervention not only reduced their symptom sever-
ity but also improved their perceived quality of life. These fi
y
An assessment of health-related quality of life in
patients with constipation or other chronic diseases
can demonstrate how the illness or its symptoms affect
patients’ well-being and daily activities of living [46]. In
this trial, participants in the acupressure group reported
significantly greater improvement in their perceived
quality of life over the 2-week follow-up than participants
in the sham group. The severity of patients’ constipa-
tion symptoms was negatively correlated with their per-
ceived quality of life [47]. Using acupressure intervention
to alleviate these disturbing symptoms, patients can re-
establish their family and social activities, as well as their Wong et al. Chin Med (2015) 10:32 Page 9 of 10 habits and hobbies, thus enhancing their life satisfaction
and well-being [7, 46].h of the findings. Fourth, the patients in the sham group
might have known that they were performing acupressure
on the sham acupoints because there were no specific sen-
sations (e.g., feelings of soreness) after applying pressure
on each of the acupoints. Fifth, the trained nurse thera-
pists of the sham group knew that the sham acupressure
would be ineffective; this might have introduced subjective
bias to the therapists and influenced their training perfor-
mance with the sham group participants and consequently
the treatment effects. Lastly, the study adopted a selective
sample in which only mentally stable adult psychiatric in-
patients were referred by their psychiatrists to participate. The application of this self-administered acupressure pro-
gram to other patients with different types, severity and
chronicity of mental illness, as well as diverse socio-demo-
graphic backgrounds, should be considered. The self-help approach could save time and money for
people with less complex or life-threatening health prob-
lems, who may otherwise (or unnecessarily) undergo more
rigorous treatment procedures [23]. Abbreviations
US U
d S First, this 14-day follow-up interval in this trial was based
on previous controlled trials of acupressure for older peo-
ple with constipation, which indicated significant effects
on symptom alleviation over 1 week after completion of
the intervention. Further research on the treatment effects
of this self-administered acupressure beyond the 14-day
follow-up (e.g., for 3–6 months) on a variety of clinical out-
comes, such as family and social relationships, and even its
cost-effectiveness, is recommended. Second, the interven-
tion provided was time-limited to 10 days. Booster ses-
sions could be added on an intermittent or regular basis to
strengthen or ensure the persistent longer-term effects of
acupressure. Service users’ preference for and satisfaction
with the acupressure treatment regime should also be con-
sidered in future research. Third, this study adopted a con-
venience sample recruited from one single center, which
might reduce the aptness of generalization and extrapola-
tion from its findings. A multi-center controlled trial with
a randomly selected sample of adult psychiatric patients is
recommended to increase the validity and generalizability US: United States; CONSORT: Consolidated standard of reporting trials; ANOVA:
Analysis of variance; CAS: Constipation assessment scale; PAC-QoL: Patient
assessment constipation quality of life; GEE: Generalized estimating equation
test; HRQoL: Health-related quality of life. Author details 1 School of Nursing, The Hong Kong Polytechnic University, Hung Hom, Kow-
loon, Hong Kong. 2 Forensic Community Psychiatric Nursing Team, Castle Peak
Hospital, Tuen Mun, Hong Kong. Authors’ contributions WKW and WTC designed and conducted the study and performed the data
analysis. WKW, WML and WTC wrote the manuscript. WKW and WTC revised
the manuscript. All authors read and approved the final manuscript. Additional files Additional file 1. Chinese versions of the CAS and PAC-QoL. Additional file 2. Written consent form. Additional file 3. Summary of the main procedure and features of the
acupressure intervention. Additional file 4. Socio-demographic and clinical data sheet. f
It would be useful to conduct further research on the
self-help approach to acupressure adopted in this trial over
a longer-term follow-up. This would allow the investiga-
tion of whether efficacy in illness self-management can be
enhanced in a range of patients with chronic constipation. Discussionh Efficacy in the self-
management of an illness, and even other life situations,
may also be enhanced if patients realize that they them-
selves, rather than a therapist, are responsible for their
health condition [48]. Self-help programs may reduce the
stigma of consulting and/or working with a therapist, par-
ticularly for those with severe mental illness [23, 49, 50]. The
empowerment or promotion of self-help for patients with
chronic illness could result in reduced negative feelings and
enhanced efficacy in illness self-management, and subse-
quently lead to improved health-related quality of life [51]. Psychiatric patients could be trained and supervised to
practice this self-administered acupressure program in
small groups. These patients could then self-administer
the intervention at any convenient time and place, such
as their home and workplace, as preferred. As acupres-
sure is a user-friendly treatment, most patients with
chronic illness who are sufficiently physically fit to apply
pressure to acupoints could easily adopt and implement
this intervention with a simple treatment protocol to
relieve their suffering from acute or chronic constipation. Conclusionh The psychiatric patients with constipation who practiced
10 days of self-administered acupressure improved their
symptom severity and perceived quality of life immedi-
ately and 2 weeks after completion of the intervention in
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ric Team of Castle Peak Hospital, Hong Kong. There was no research Grant
supported for this clinical trial. We would like to thank a few undergraduate
mental health nursing students for their subject recruitment, data collection
and data entry. We would also like to thank the nursing staff in the psychiatric
team for assisting the implementation of the interventions and data collec-
tion. The School of Nursing at The Polytechnic University and its in-house
statistician had provided financial support in photocopying study materials
and statistical analyses of the RCT data, respectively. Page 10 of 10 Page 10 of 10 Wong et al. Chin Med (2015) 10:32 Wong et al. Chin Med (2015) 10:32 Wong et al. Chin Med (2015) 10:32 Competing interests
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Research of psychological features of the personality of students exhibiting addictive behavior
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| ERROR: type should be string, got "https://doi.org/10.1051/shsconf/20197009001 https://doi.org/10.1051/shsconf/20197009001 SHS Web of Conferences 70, 09001 (2019)\nICTDPP-2019 Research of psychological features of the \npersonality of students exhibiting addictive \nbehavior Natalia N. Bessonova¹, Vera S. Butenko2, Natalia A. Gudz3, Anna M. Kukulyar4* Natalia N. Bessonova¹, Vera S. Butenko2, Natalia A. Gudz3, Anna M. Kukulyar4* 1 «Elephant»,344010 Rostov-on-Don, Russian Federation \n2 Rostov State Medical University, 344022 Rostov-on-Don, Russian Federation \n3 Maikop city polyclinic №2, 385000 Maykop, Russian Federation \n4 Southern federal university, Academy of psychology and pedagogy, 344006 Rostov-on-\nDon, Russian Federation 1 «Elephant»,344010 Rostov-on-Don, Russian Federation \n2 Rostov State Medical University, 344022 Rostov-on-Don, Russian Federation \n3 Maikop city polyclinic №2, 385000 Maykop, Russian Federation \n4 Southern federal university, Academy of psychology and pedagogy, 344006 Rostov-on-\nDon, Russian Federation Annotation. This article is devoted to the study of psychological \ncharacteristics of the personality of students experiencing withdrawal \nsyndrome from amphetamine-type psychostimulants. The study was \nconducted on 45 young men, students of 1-3 courses of universities of \nRostov-on-don, rehabilitated In the center of psychological correction \n\"Elephant\". During the study, we used the following methods: 1) the \nscale of \"Amphetamine Cession Symptom Assessment\" (ACSA), 2) the \nscale of Montgomery and Asberg (MADRS); 3) the scale of EuroQol; 4) \nthe scale of self-report (VAS). The results obtained allow us to conclude \nthat among young men with amphetamine dependence accompanied by \nwithdrawal syndrome in the structure of which affective rather than \nsomatovegetative manifestations predominate almost in the complete \nabsence of algic phenomena. Affective disorders diagnosed in the \nhospital center of the respondents, mainly manifested in the form of \ndepression. The maximum expression of these States, as well as \nuncontrolled attraction to surfactants was achieved in the interval from \nthe third to the seventh day in withdrawal syndrome. Further the \ncondition of rehabilitators was normalized from the first week and till \nthe twenty-first day of stay. We noted a similar dynamics in assessing \nthe state of their own well-being rehabilitated. 1 Introduction In modern transitive society there are radical changes in the structure of society, \ninterpersonal relationships, value-semantic structure of the person, directly affecting the \nCommission of risky actions by the individual. The realities of modern society and various \nsocial problems encourage the person to exercise various destructive behaviors in reaction \nto frustrating events, uncertainty, stressors, caregiving from a traumatic reality (T. V. White, T. G. Bohan, A. Y. Egorov, A. O. Kibito, M. M. Orlov, E. N. Skripacheva, O. N. * Corresponding author: vetkina-anna@mail.ru © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons \nAttribution License 4.0 (http://creativecommons.org/licenses/by/4.0/). 2 Discussion Specificity of action of psychostimulants of this type at the level of physiology consists in \nrelease of neurotransmitters which are capable to provide chemical transfer of a nervous \nimpulse in CNS, on a par with it process of slowdown of their reuptake is carried out. When \nusing psychostimulants, a person experiences General stimulation of VPF, accelerates \nthinking processes and cognitive activity, retreats apathy, fatigue and a feeling of \ndrowsiness, increases efficiency, increases the level of emotional background and \nsociability, improves mood, also against the background of toning the entire muscular \nsystem of the body improves coordination, a strong increase in endurance and physical \nstrength [2]. As a consequence, the use of amphetamine-type psychostimulants by young people \nresults in a surge of vivacity and energy, a General lifting of physical strength, the removal \nof fatigue and a partial improvement of such intellectual abilities as memory, attention and \nthinking processes, as well as mood enhancement, i.e., an optimal physiological and \npsychological state is achieved from their point of view [4,5]. To date, in the youth subculture, the use of these psychostimulants is very common. This \nis primarily due to the easy availability of their purchase. With the development of social \nnetworks, in particular The Telegram, there was no need for personal meetings to buy \ndrugs. At the moment within many SOC. there are closed communities for the sale and \ndistribution of drugs, even work related to the implementation of \"bookmarks\" for potential \nbuyers. Thus, the trade in illicit drugs has long moved to a new level. Secondly, \namphetamine-type psychostimulants are available from a financial point of view, in relation \nto other drugs. Third, these psychostimulants are \"light\" drugs, since they can be used \nsporadically: when visiting Nightclubs, parties, etc. Due to the relevance of the topic, we examined students of 1-3 courses in the amount of \n45 people. The main part of the sample consisted of young men-students who took a course \nof rehabilitation measures In the center of psychological correction «Elephant» (hereinafter \nrehabilitated) from 18 years to 21 years with a diagnosis of \"syndrome of dependence on \npsychostimulants (amphetamine/methamphetamine)\". * Corresponding author: vetkina-anna@mail.ru SHS Web of Conferences 70, 09001 (2019)\nICTDPP-2019 https://doi.org/10.1051/shsconf/20197009001 Tkachev, A. V. Trusova) [1,3]. Man has become quite often to show such protective \nbehavior in situations related to life crises, which entails the emergence of various forms of \ndependent behavior from completely different additive agents (alcohol, drugs, information \ndependence, gambling, etc.). In this article, we would like to draw attention to the growing \nmanifestation of such forms of addictive behavior as the use of amphetamine-type \npsychostimulants (\"salts\") among young people, and students in particular. 2 Discussion The main criteria for inclusion in the study were rehabilitated: 1) the fact of the use of \nsurfactants (amphetamine / methamphetamine) for at least 10 days in the last month before \nadmission To the center \"Elephant»; 2) confirmed diagnosis of psychostimulant \ndependence syndrome (amphetamine/methamphetamine) according to ICD-10; 3) no use of \nother surfactants before the start of rehabilitation activities for at least 10 days. Just note the criteria for which rehabilitated excluded from the study: 1) the presence of a \nsyndrome of dependence on other surfactants, except nicotine; 2) any mental illness \nidentified in the course of the study; 3) identification of suicidal tendencies; 4) diagnosis of \nsevere comorbidity, which requires hospitalization in the specialized Department. SHS Web of Conferences 70, 09001 (2019)\nICTDPP-2019 SHS Web of Conferences 70, 09001 (2019)\nICTDPP-2019 https://doi.org/10.1051/shsconf/20197009001 The respondents were selected on the basis of a list of specified criteria and the \ncompliance of the rehabilitated with them. Inclusion in the study group was based on the \ntime sequence of admission to the center of psychological correction \"Elephant\". It should \nbe noted that upon arrival at the Center, each of the participants was subjected to a thorough \nexamination (surrendered: General blood and urine tests, biochemical tests, as well as tests \nto determine the presence of traces of drugs in the urine). A mandatory requirement for \ndetermining rehabilitated in the Center, was the presence of the conclusion of the therapist \nor other specialized specialists (neurologist, surgeon, infectious diseases, etc.). p\np\n(\ng\ng\n)\nDuring the research we used the following methods: 1) scale \"Amphetamine Cessation \nSymptom Assessment\" (ACSA), assessing the duration and severity of withdrawal \nsyndrome of psychostimulants; 2) the dynamics of depressive disorders was estimated by \nus with the help of the scale Montgomery and Asberg (MADRS); 3) assessment of quality \nof life was performed using the EuroQol scale; 4) evaluation of the craving for stimulants \nwas carried out on 100 mm visual-analog scale self-report (VASS). During the study, according to the scale \"Amphetamine Cession Symptom Assessment\" \n(ACSA) and the Montgomery and Asberg scale (MADRS), we conducted measurements on \nthe first, third, seventh, tenth and twenty-first day, in order to identify the dynamics of the \nduration and severity of psychostimulant withdrawal syndrome and the specifics of the \ncourse of depressive disorder. The quality of life, studied on the EuroQol scale, was \ndiagnosed once a week according to the inpatient stay at the Center, and then every 4 weeks \non an outpatient basis. The degree of attraction to psychostimulants on the VASH scale was \ncarried out every 3 days within the framework of the withdrawal syndrome, then 1 time per \nweek in the hospital and 1 time per week with outpatient observation. 3 Research methods and techniques 2 2 4 Research results We would like to note the fact that the analysis of somatic manifestations in withdrawal \nsyndrome showed almost complete absence of any complaints, as only 3 young men (6.7%) \nfelt pronounced pain. p\np\nThe presence of somatovegetative manifestations of withdrawal syndrome and affective \ndisorders in rehabilitated have a negative impact on their assessment of the quality of life. According to the results of the study obtained on the EuroQol scale, within 1 day of stay in \nthe hospital of the center, rehabilitees assess their condition by 67.29+-0.78 points on a \nvisual 100-point scale. By the end of the first week of stay in the hospital Center with the \ncancellation of amphetamine average score reached 53.38+-2.57. The presented dynamics \nof the results is reliable at p<0.05. After passing stationary events during the 3 weeks the \naverage assessment of quality of life in reabilitologist boys reached 80,91+-1,92. During \nthe outpatient observation of the respondents, we noted a significant increase in the average \non this scale to 92.02+-1.97 points. These results can be regarded as an improvement in the \ndynamics of well-being among young men who were able to refrain from using \namphetamine-type psychostimulants for a longer period. The second block of the EuroQol scale helped us to study in detail the question of which \npredictors have the greatest impact on the self-esteem of the rehabilitated. Note that the \nmobility of the majority of subjects did not suffer in the first days of rehabilitation (the \nabsence of such a problem was noted by 90-93%% of persons), and within 14 days all \nrehabilitated mobility was within the norm. From Fig. 1 we see that in the first day of cancellation 11% (5 people) noted a decrease in \nactivity and 11% (5 people) complained of a sharp decrease in activity. However, on the 7th \nday, the total number undergoing rehabilitation activities and complaining of feeling made \nup almost half (48%) of the subjects. By the 14th day, the total number of people who \nnoticed a decrease in activity was 24 people (53%). But by the 21st day, the number of \npeople who noted a decrease in activity was only 4 people (9%). 4 Research results During the collection of anamnestic data, when rehabilitating in the Center within the \nhospital, we obtained the following results. In persons with identified amphetamine \ndependence, in the study of the characteristics of the course of the withdrawal syndrome, \naffective disorders were diagnosed. The presence of these violations was noted in all 45 \nboys (100% of the total sample). Along with this, 89% of respondents (41 boys) identified \nsomatovegetative disorders. The data obtained are reliable at p<0.05. We also studied the specifics of the manifestation of affective disorders. In the course of \nthe study, we found that the prevailing in the structure of affective disorders during \nwithdrawal syndrome in persons with amphetamine dependence was a reduced emotional \nbackground-62.4% of respondents. Irritability, as a manifestation of affective disorder, \naccounts for 28.8% (13 boys). Increased emotional background was diagnosed only in 8.8% \nof respondents (4 boys). According to the data obtained on the MADRS scale, regarding the dynamics of affective \ndisorders, it can be concluded that the average total index for the first two weeks of stay in \nthe hospital of the Center in the entire group of respondents is 16.2, which exceeds the \npermissible norm (15). The obtained indicator indicates the presence of depressive States in \nthe study group of young men. We consider it important to note that the highest values on \nthe MADRS scale (from 18.48 to 18.71) were obtained in the interval from the third to the \nseventh day after the cancellation of surfactants. After 10 days of stay in the hospital of the \nCenter, there is a decline in the manifestation of depressive States, and upon reaching the \ntwenty-first day, these manifestations among the group of young men are completely \nstopped. When processing the average data on the MADRS scale, we obtained significant \ndifferences at p<0.05 for the indicators of the first and third days (16.2 and 18.48), as well \nas between the indicators of the seventh and twenty-first days (18.71 and 14.0) at p<0.05. 3 https://doi.org/10.1051/shsconf/20197009001 SHS Web of Conferences 70, 09001 (2019)\nICTDPP-2019 We would like to note the fact that the analysis of somatic manifestations in withdrawal \nsyndrome showed almost complete absence of any complaints, as only 3 young men (6.7%) \nfelt pronounced pain. 4 Research results I would like to note the fact that among the entire group of young men at the stage of \nadmission to the hospital Center and during the first day of pain in acute abstinence was \nexpressed quite weakly only in 17.7% of respondents (8 boys), of which only 6.6% (3 boys) \nmanifested significantly. After the first week, the pain symptom in the form of General \nmalaise was diagnosed in only 11% (5 boys). After two weeks, only 4.4% (2 boys) showed \nsome discomfort. By the end of the third week, only 1% (1 youth) experienced minor \nsymptoms of discomfort. Assessing the self-esteem of respondents, we were diagnosed with \nanxiety, which were observed in 28 boys (62%) and almost all of them (26 boys - 58 %) \nreached a significant degree of severity. Fig. 1. Dynamics of self-evaluation activity reabilitologist within the cancellation period \namphetamines (in%) \n35\n21\n19\n42\n5\n15\n18\n1\n5\n9\n8\n2\n0\n10\n20\n30\n40\n50\n1 day\n7 day\n14 day\n21 day\nno problem\nproblem\nsignificant problem Fig. 1. Dynamics of self-evaluation activity reabilitologist within the cancellation period \namphetamines (in%) 4 https://doi.org/10.1051/shsconf/20197009001 SHS Web of Conferences 70, 09001 (2019)\nICTDPP-2019 By the 14th day, the number of respondents experiencing anxiety decreased to 26, and by \nthe end of the third week, 91.1% (41yunosh) felt the absence of any problems in this area. Using the scale \"Amphetamine Cession Symptom Assessment\" (ACSA) there was an \nassessment of the severity and duration of withdrawal syndrome from psychostimulants. As \na result of gamia, it was revealed that the most severe symptoms when canceling surfactant \nare observed on the third day. Significant relief of symptoms was observed only at the onset \nof the tenth day of stay in the hospital Center (Fig. 2). Fig. 2. Dynamics of ACSA scale indices in rehabilitated patients with amphetamine dependence \n41,32\n55,31\n56,17\n41,18\n0\n10\n20\n30\n40\n50\n60\n10 day\n7 day\n3 day\n1 day Fig. 2. Dynamics of ACSA scale indices in rehabilitated patients with amphetamine dependence We were also interested in studying the dynamics of amphetamine cravings among the \nyoung men surveyed, which we identified using the ACSA scale. The study found that the \nmost pronounced attraction to amphetamine-type psychostimulants was observed on the \nthird day of hospital stay at the Center. 4 Research results The decrease in craving for amphetamine-type \nsurfactants was observed only by the tenth day of being in the Center (Fig. 3). The \npresented results are reliable at p<0.05. The analysis of the results on the VASS scale gave us the opportunity to describe in more \ndetail the specifics of the dynamics of attraction to amphetamine-type psychostimulants \namong young men. Note that with withdrawal syndrome, the maximum attraction to \npsychostimulants was recorded on the third day. Fig. 3. Dynamics of craving for amphetamines (average score on a scale of ACSA) \n2,19\n4,07\n3,58\n2,46\n0\n2\n4\n6\n1 day\n3 day\n7 day\n10 day Fig. 3. Dynamics of craving for amphetamines (average score on a scale of ACSA) At the end of the first week in the hospital, this attraction in young men began to decline. When diagnosing the dynamics of attraction to amphetamines from the tenth to the twenty-\nfirst day of stay in the hospital of the Center, young men noted a persistent decrease in \ntraction to a minimum (Fig. 4). 5 SHS Web of Conferences 70, 09001 (2019)\nICTDPP-2019 https://doi.org/10.1051/shsconf/20197009001 Fig. 4. The dynamics of attraction to amphetamines in the framework of the syndrome in individuals \nwith amphetamine dependence (the average score for VASS) \n58,03\n91,69\n90,18\n71,97\n67,01\n34,75\n0\n20\n40\n60\n80\n100\n1 day\n3 day\n7 day\n10 day\n14 day\n21 day Fig. 4. The dynamics of attraction to amphetamines in the framework of the syndrome in individuals \nwith amphetamine dependence (the average score for VASS) 5 Conclusion Thus, it can be concluded that among the young men participating in the study was \ndiagnosed amphetamine dependence accompanied by withdrawal syndrome in the structure \nof which affective rather than somatovegetative manifestations predominate in the almost \ncomplete absence of algic phenomena. Affective disorders diagnosed in the hospital center \nof the respondents, mainly manifested in the form of depression. The maximum expression \nof these States, as well as uncontrolled attraction to amphetamine-type psychostimulants \nwas achieved in the interval from the third to the seventh day in withdrawal syndrome. Further after finding within a week and till the twenty-first day there was a gradual \nnormalization of a condition of young men. We noted a similar dynamics in assessing the \nstate of their own well-being rehabilitated. The worst was from the third to the seventh day, \nand then there was a significant improvement by the twenty-first day. After passing the inpatient rehabilitation program, the subjects underwent an outpatient \nprogram, during which studies were also conducted to determine the state of health. We \nnoted that by the 100th day of abstinence from the use of surfactants, the health of the \nsubjects almost normalized. Significant conditions determined by dysphoria in people who \nrefused to take surfactants are decreased activity, anxiety, depression. With all this, it \nshould be emphasized that the subjects noted a slight degree of discomfort. Refusal to use \namphetamines for a period of 3 months or more as a result of hospital stay in the center \noccurred in 72% of rehabilitated (in the first year of remission). 2. A.A. Yusifova, V.S. Knyazev, Advances in modern natural science. 6, 96-97\n(2014) 5. V. White, T. Williams, Australian secondary school students’ use of tobacco, \nalcohol, and over-the-counter and illicit substances in 2014 (The Cancer Council, \nMelbourne, 2016) 3. «Amphetamine gets the job done: Using drugs to work long hours» (ScienceDaily, \n2015) \nwww.sciencedaily.com/releases/2015/02/150220083916.htm \n(accessed \nAugust 19, 2019) 1. A.E. Primerova, Young scientist. 2, 1000-1003 (2016) References 1. A.E. Primerova, Young scientist. 2, 1000-1003 (2016) 3. «Amphetamine gets the job done: Using drugs to work long hours» (ScienceDaily, \n2015) \nwww.sciencedaily.com/releases/2015/02/150220083916.htm \n(accessed \nAugust 19, 2019) 3. «Amphetamine gets the job done: Using drugs to work long hours» (ScienceDaily,\n2015) \nwww.sciencedaily.com/releases/2015/02/150220083916.htm \n(accessed\nAugust 19, 2019) 4. W. Pedersen, S. Sandberg, H. Copes, Deviant Behavior. 36 (2), (2014) 5. V. White, T. Williams, Australian secondary school students’ use of tobacco, \nalcohol, and over-the-counter and illicit substances in 2014 (The Cancer Council, \nMelbourne, 2016) 6"
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Mineral composition of elements in wood-growing mushroom species collected from of two regions of Poland
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Environmental science and pollution research international
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Abstract The study monitored the content of 55 elements in 21 wood-growing mushroom species collected between 2013 and 2019 from
Lower and Upper Silesia in Poland. Only 27 of the elements (Ag, Al, Ba, Ca, Cd, Cu, Fe, In, K, La, Mg, Mn, Na, Nd, Ni, P, Pb,
Pr, Pt, Rh, Sr, Ti, Tm, V, Y, Zn, and Zr) were detected in all mushroom species, while others (As, Au, B, Be, Bi, Ce, Co, Cr, Dy,
Er, Eu, Ga, Gd, Ge, Hf, Ho, Ir, Li, Lu, Mo, Os, Pb, Rb, Re, Ru, Sb, Sc, Se, Sm, Tb, Te, Th, Tl, Tm, U, and Yb) were below the
limit of detection in the fruit bodies of at least one species. Wide ranges for major elements in the whole population of all the
mushroom species were as follows: 15.4–470 (Ca), 6580–44,600 (K), 314–2150 (Mg), 38.0–319 (Na), and 1100–15,500 (P) mg
kg−1 dm, respectively. The rank sum revealed that M. giganteus fruit bodies were the most enriched with all detectable elements,
while A. mellea had the lowest content of the majority of elements. Mushrooms belonging to the Hymenochaetaceae family were
characterized as some of the most enriched with the studied elements, while mushrooms of the Fomitopsidaceae family had the
lowest content of elements. Similarities as well as differences between the obtained results and the available literature data
confirm the important role of both mushroom species and the tree on which the fungus has grown. Keywords Accumulation . Elements . Wood-growing mushrooms . Tree species https://doi.org/10.1007/s11356-020-10788-y
Environmental Science and Pollution Research (2021) 28:4430–4442 https://doi.org/10.1007/s11356-020-10788-y
Environmental Science and Pollution Research (2021) 28:4430–4442 RESEARCH ARTICLE Mineral composition of elements in wood-growing mushroom
species collected from of two regions of Poland Mirosław Mleczek1 & Monika Gąsecka1 & Anna Budka2 & Marek Siwulski3 & Patrycja Mleczek4
Sylwia Budzyńska1 & Przemysław Niedzielski5 Received: 3 April 2020 /Accepted: 9 September 2020
# The Author(s) 2020
/ Published online: 17 September 2020 * Mirosław Mleczek
miroslaw.mleczek@up.poznan.pl 5
Faculty of Chemistry, Adam Mickiewicz University in Poznań,
Poznań, Poland Introduction ecosystems as well as polluted urban and industrial areas
(Karaman et al. 2012; Rakić et al. 2014). They represent a
distinct group of living organisms characterized by signif-
icant nutritive, pharmaceutical, and ecological value (Širić
et al. 2016). Large numbers of wild growing and cultivated
mushrooms contain chemical compounds that are benefi-
cial for human health. Their nutrient potential is due to a
low level of calories, high content of some vitamins and
micro- and macroelements as well as protein (Gargano
et al. 2017). Some species belonging to Basidiomycetes
and Ascomycetes are called medicinal mushrooms because
of their therapeutic effect related to bioactive compounds
such as polysaccharides (including β-glucans),
polysaccharide–protein complex, phenols, terpenes, ste-
roids, alkaloids, and others (de Silva et al. 2013; Duru and
Cayan 2015; Gargano et al. 2017). About 130 different
therapeutic functions are attributed to a broad spectrum of
bioactive compounds of fungi including antitumor, antiox-
idant, anti-inflammatory, antibacterial, antiallergic, cardio-
vascular, and neuroprotective effects (Paterson and Lima
2014; Phan et al. 2015; Prasad et al. 2015; Gargano et al. 2017). Thus, they could be of great value in prophylaxis
and treatment of some diseases including obesity, Mushrooms are ubiquitous organisms in the natural envi-
ronment; they inhabit unpolluted areas such as forest Responsible editor: Philippe Garrigues Responsible editor: Philippe Garrigues Responsible editor: Philippe Garrigues Electronic supplementary material The online version of this article
(https://doi.org/10.1007/s11356-020-10788-y) contains supplementary
material, which is available to authorized users. * Mirosław Mleczek
miroslaw.mleczek@up.poznan.pl 1
Department of Chemistry, Poznan University of Life Sciences,
Poznań, Poland
2
Department of Mathematical and Statistical Methods, Poznan
University of Life Sciences, Poznań, Poland
3
Department of Vegetable Crops, Poznan University of Life Sciences,
Poznań, Poland
4
Department of Ecology and Environmental Protection, Poznan
University of Life Sciences, Piątkowska 94c, 60-649 Poznań, Poland
5
Faculty of Chemistry, Adam Mickiewicz University in Poznań,
Poznań, Poland 1
Department of Chemistry, Poznan University of Life Sciences,
Poznań, Poland 2
Department of Mathematical and Statistical Methods, Poznan
University of Life Sciences, Poznań, Poland 2
Department of Mathematical and Statistical Methods, Poznan
University of Life Sciences, Poznań, Poland 3
Department of Vegetable Crops, Poznan University of Life Sciences,
Poznań, Poland 4
Department of Ecology and Environmental Protection, Poznan
University of Life Sciences, Piątkowska 94c, 60-649 Poznań, Poland 4431 Environ Sci Pollut Res (2021) 28:4430–4442 for bioindicators of air pollution (Gabriel et al. 1994; Falandysz
et al. 2007; Širić et al. 2016). Reports on the content of macro-,
micro-, and trace elements in wood-growing mushroom species
are limited and are generally focused on edible species (both
wild and cultivated), and species with positive biological and
medicinal effects, as summarized and presented in Table 1. hyperglycemia, and high blood pressure in the adjunct
treatment of cancer patients (Guillamón et al. 2010;
Guggenheim et al. 2014). Mushrooms are responsible for the breaking down of or-
ganic matter, and they have an important role in the continual
changes that take place in nature (Sesli et al. 2008). Recent
significant increase interest in mushrooms, especially wild
growing species, is associated with the accumulation in their
fruit bodies of high levels of trace elements (Kalač and
Svaboda 2000; Isildak et al. 2004; Abdel-Azeem et al. 2007;
Campos et al. 2009; Joshi et al. 2011; Severoglu et al. 2013;
Mleczek et al. 2016a; Širić et al. 2016). Fruit bodies are able to
accumulate variable contents of metals and often considerably
higher levels of trace elements compared with vegetables,
fruits, and agricultural crop plants (Kalač 2010; Huang et al. 2015; Širić et al. 2016), and also more than in animal tissue
from the same ecosystems (Rakić et al. 2014). Experimental materials Twenty-one wood-growing edible and non-edible mushroom
species belonging to the families Fomitopsidaceae (4),
Ganodermataceae (3), Hericiaceae (1), Hymenochaetaceae
(5), Meripilaceae (1), Phanerochaetaceae (1),
Physalacriaceae (2), Polyporaceae (2), Sparassidaceae (1),
and Strophariaceae (1) were compared in terms of their min-
eral composition of elements (Table 2). The majority of the studied mushroom species were col-
lected from the same deciduous or pine forests located in
Lower and Upper Silesia in Poland between 2013 and 2019. In the case of A. mellea, G. pfeifferi, L. sulphureus, and
M. giganteus, fruit bodies were collected from a city park in
Poznań, while F. wahlbergii and I. hispidus came from a
mature garden in Poznań. Fruit bodies of mushroom species
were collected between 2013 and 2019. The minimum
amount of fruit bodies was 7 for the majority of mushroom
species. On the other hand, some species were represented by
15 (M. giganteus), 16 (T. versicolor), 23 (F. velutipes), 25
(A. mellea), or 34 (C. septentrionalis) fruit bodies (Table 3). The reason for the significant differences in the number of
fruit bodies of individual species was their limited occurrence
in the studied forest areas. Wild growing mushroom species are divided into edible,
non-edible, and poisonous varieties; aboveground and wood-
growing species; and those with different nutritional strategies
(parasitic or saprobic). These differences have a substantial
influence on the variations in metal accumulation in fruit bod-
ies by up to one or even two orders of magnitude (Kalač 2010;
Mleczek et al. 2016a). Different ecological types of mush-
room species make them even more interesting in environ-
mental investigations, particularly with respect to metal accu-
mulation (Kalač 2001; Rakić et al. 2014; Širić et al. 2016). Responsible editor: Philippe Garrigues Mushrooms
possess a very effective mechanism to accumulate trace ele-
ments from the environment (Doğan et al. 2006; Falandysz
et al. 2008; Sesli et al. 2008; Severoglu et al. 2013), and the
biosorption of these elements by fungal cells is a well-known
phenomenon described in numerous studies (Sesli and
Dalman 2006; Sesli et al. 2008; Mleczek et al. 2016a). Toxic metals (Hg) and/or metalloids (As) may be easily
transported from polluted substrate to fruit bodies and even-
tually accumulate in human bodies (Falandysz and Borovička
2013; Mleczek et al. 2016c; Rzymski et al. 2016; Rubio et al. 2018). This trait is becoming more and more popular in terms
of mycoremediation but absolutely not as regards the human
nutrition (Li et al. 2017). For this reason, the growing con-
sumption of both cultivated and—to a lesser extent—wild-
growing mushroom species makes the control of the content
of especially toxic elements in their fruit bodies a priority
(Rashid et al. 2018). This issue is especially important in the
case of medicinal mushrooms due to their aforementioned
traits and positive influence for the human immune system
(Agrawal and Dhanasekaran 2019). The objective of the present study was to compare 21 wild
edible and non-edible wood-growing mushroom species col-
lected from sites in Lower and Upper Silesia in Poland (Fig. 1)
as regards their ability to accumulate all 27 of the detectable
elements from among the 55 elements determined. Procedure Samples were dried at 45 ± 1 °C for 120 h in an electric oven
SLW 53 STD (Pol-Eko, Wodzisław Śląski, Poland) to deter-
mine the dry matter (dm) of samples which were then ground
in a laboratory Cutting Mill SM 200 (Retsch GmbH, Haan,
Germany). All fruit bodies of particular mushroom species
collected from the same year were ground jointly to a powder
fraction for 3 min. These materials were then homogenized
with a B-400 ceramic knife homogenizer (Buchi Labortechnik
AG, Flawil, Switzerland) within 3 min to obtain three repre-
sentative samples that were digested using a microwave sam-
ple preparation system Mars 6 (CEM, Matthews, USA). Dry In the case of wood-growing mushroom species, accumula-
tion of trace elements is lower than in aboveground species
(Gabriel et al. 1994; Petkovšek and Pokorny 2013), and is
highly variable, even in the case of samples collected from
the same place (Gabriel et al. 1994). Thus, wood-growing
mushroom species, like epiphytic lichens, are good candidates Environ Sci Pollut Res (2021) 28:4430–4442 4432 Table 1
Literature data on the content of selected elements (mg kg−1 DM) in some wood-growing mushroom species
Element
A. melleaa
F. velutipesb
G. applanatumc
I. hispidusd
L. sulphureuse
P.igniariusf
S. crispag
Ba
0.8
–
–
–
0.9–4.38
–
–
Ca
–
–
2620
–
726–804
–
60
K
–
–
2180
–
27400–30500
–
20,280
Mg
1063.1
–
910
2.30
900–1012
–
720
Na
–
–
–
–
109.8–310
–
8313
P
–
–
–
–
4480–5300
–
4570
Ag
0.42–0.68
0.21
0.06
–
0.21–0.26
0.06
–
Al
4.8–192.9
7.0
7–744.8
–
18.25–53.96
–
–
As
0.1–0.33
0.39
0.09
–
0.33
–
0.57–1.03
B
1.60–3.018
0.1
0.383–6.2
–
0.70–16.4
–
–
Cd
0.5–20.3
0.63
0.12–0.82
–
0.06–3.21
nd
0.03–2.1
Co
0.06–1.173
0.15
0.09–0.744
–
0.03–1.136
–
0.23
Cr
0.12–930
0.09
0.06–17.46
10.20
0.09–58.3
84.5
0.11
Cu
0.091–45.6
22.70
9.4–52.1
30.00
2.1–35.2
28.9–66.1
1.86–6840
Fe
35–510
21.00
0.37–1400
114.00
28–362
900.00
36.62–46,120
Hg
0.19–0.91
–
–
–
–
–
–
Mn
0.081–55.59
5.20
15.5–52.7
53.00
2.4–30.7
30.9–81.1
5780
Ni
0.06–32.3
0.66
0.12–5.60
–
0.03–21.7
6.48–17.2
3.19
Pb
0.20–8.5
0.36
0.27–2.22
1.06
0.48–24.4
9.86
0.1–3.64
Se
0.36–0.79
0.42
0.06
191.00
0.09
–
–
Sn
3.803
–
3.531
–
4.525
–
–
Sr
0.6
1
5.2
–
1.3–6.95
–
–
Zn
0.11–76.8
43.00
21.09–101
194
29–130
145.00
2.34–75,180
a A. mellea (Demirbaş 2002; Isildak et al. 2004; Cocchi et al. Procedure 2006; Doğan et al. 2006; Sesli et al. 2008; Ouzouni et al. 2009; Durkan et al. 2011;
Petkovšek and Pokorny 2013; Mleczek et al. 2016b; Širić et al. 2016; Wang et al. 2017)
b F. velutipes (Mleczek et al. 2016c)
c G. applanatum (Sesli and Dalman 2006; Durkan et al. 2011; Mleczek et al. 2016b; Raseta et al. 2016)
d I. hispidus (Wang and Hou 2011)
e L. sulphureus (Doğan et al. 2006; Sesli and Dalman 2006; Durkan et al. 2011; Kovács and Vetter 2015; Mleczek et al. 2016a)
f P. igniarius (Doğan et al. 2006; Sesli and Dalman 2006)
g S. crispa (Šlejkovec et al. 1997; Lee et al. 2013; Severoglu et al. 2013; Schlecht and Säumel 2015) content of selected elements (mg kg−1 DM) in some wood-growing mushroom species plasma Agilent 5110 ICP-OES (Agilent, Santa Clara, USA)
was used. A simultaneous axial and radial view of plasma was
allowed by the synchronous vertical dual view (SVDV). For
multi-elemental determination, common conditions were ap-
plied: radio frequency (RF) power 1.2 kW, argon consump-
tion 14.5 L min−1 (nebulizer gas flow 0.7 L min−1, auxiliary
gas flow 1.0 L min−1, plasma gas flow 12.0 L min−1,
polychromator purging gas 0.8 L min−1), viewing height for
radial plasma observation 8 mm, and detector CCD (charge
coupled device) temperature −40 °C; the signal was measured
in three replicates by 5 s. samples of mushroom were weighed (0.500 ± 0.001 g) using
ME-T Analytical Balance (Metler Toledo, Columbus, USA)
and digested by 5 mL of concentrated (65%) nitric acid
(Merck, Darmstadt, Germany) in closed Teflon containers in
the microwave sample preparation system. After digestion,
samples were filtered using a paper filter: Qualitative Filter
Papers, Grade 595: 4–7 μm (Whatman, Maidstone, UK), di-
luted with water (purified in an ion-exchange/reverse osmosis
system (Millipore, Saint Luis, USA)) to a final volume of 10.0
mL. Each of the samples was analyzed in triplicate using the
whole sample preparation procedure. Statistical analysis criteria, Table S1). Uncertainty for the total analytical proce-
dure (including sample preparation) was at the level of 20%. Traceability was checked by analysis of the reference mate-
rials CRM NCSDC 73349—bush branches and leaves
(National Analysis Center for Iron & Steel, Beijing, China)
and CRM CS-M-1—mushrooms (Institute of Nuclear
Chemistry and Technique, Warsaw, Poland). The recovery
(80–120%) was acceptable for most of the elements deter-
mined (Table S2). For uncertified elements, the recovery
was defined using the standard addition method. All the statistical analyses were performed using the agricole
package (R). For a general comparison of the mean values of
55 particular elements in the studied mushroom species, the
one-dimensional variable ANOVA and Tukey’s HSD (hon-
estly significant difference) test were used. Moreover, for a
graphical presentation of the relationships between the studied
mushroom species with respect to the content of the 27 de-
tectable elements in all the studied mushrooms, a principal
component analysis (PCA) was performed (Morison 1990;
Falniowski 2003). For the studied components, 41.1% (28.0
+ 13.1) of the total variability was explained and differences
between particular mushroom species were recorded. In addi-
tion, a heatmap with a hierarchical cluster analysis allowed a
clear visualization of multidimensional data (mean contents of
27 detectable elements in particular mushroom species). Finally, to show which of the analyzed mushroom species
was the most enriched with all detectable elements, the rank
sum was calculated. To avoid sample contamination, high (Suprapure) quality
chemicals and water (18.2 MΩ) were used in preparation. The
level of reagent blank was below detection limits for all ele-
ments determined. In addition, the control of analysis of a
series of samples allowed any cross-contaminations to be
avoided. The content of 62 elements was determined in the studied
mushroom species, but only 27 of them (Ag, Al, Ba, Ca, Cd,
Cu, Fe, In, K, La, Mg, Mn, Na, Nd, Ni, P, Pb, Pr, Pt, Rh, Sr,
Ti, Tm, V, Y, Zn, and Zr) were detectable in all 21 mushroom
species. Statistical analysis In the case of 28 elements (As, Au, B, Bi, Ce, Co, Cr,
Dy, Er, Eu, Ga, Gd, Ge, Ho, Li, Lu, Mo, Os, Pd, Rb, Re, Sc,
Se, Tb, Te, Tl, U, and Yb), their content in the fruit bodies of
at least one species was below the limit of detection, while for
the last 7 elements (Be, Hf, Ir, Ru, Sb, Sm, and Th), their
content in all 21 mushroom species was below the limit of
detection. For this reason, characteristics of mineral composi-
tion was performed for 55 elements, excluding the last men-
tioned group of metals. Instruments Detection limits were determined at the level of 0.0X mg kg−1
dry weight (DW) for all elements determined (as 3-sigma To analyze the mineral composition of the samples, an optical
emission spectrometer with excitation by inductively coupled Environ Sci Pollut Res (2021) 28:4430–4442 4433 Figure 1. Localization of
sampling sites of mushroom
species collection
(
) Figure 1. Localization of
sampling sites of mushroom
species collection Figure 1. Localization of
sampling sites of mushroom
species collection Content of elements in mushroom species The highest
mean content of Ca (318 mg kg-1) was determined in
P. igniarius bodies, while the highest or a high K content in
F. velutipes, H. cirrhatum, I. hispidus, and P. pini (32,000;
32,300; 30,700; and 37,700 mg kg−1, respectively). Also, in
the case of Mg, Na, and P, more than one mushroom species
was characterized by the highest mean content of these ele-
ments. The mean content of Mg over 1500 mg kg−1 was de-
termined in F. velutipes, F. betulina, and M. giganteus (1770,
1570, and 1860 mg kg−1, respectively). G. resinaceum and
H. cirrhatum were the two mushroom species most enriched
with Na (254 and 283 mg kg−1, respectively), while the
highest mean content of P was recorded in the aforementioned
M. giganteus and also P. pini (10,700 and 13,900 mg kg−1,
respectively). Generally, the content of trace elements was
also diverse but for some of them, e.g., Ba, Ce, Eu, Ge, Ho,
La, Ni, Pt, Rh, Tm, Y, or Zn, high similarity was also observed
(Table 4b-e). Moreover, for selected trace elements (e.g., As,
Au, Co, Cr, Ga, Li, Pd, Se), their mean content was over the
limit of detection for some mushroom species only. Ranges calculated for all the obtained results for trace ele-
ments with a content higher than the limit of detection in fruit
bodies of all 21 mushroom species were as follows: 0.021–
1.47 (Ag), 2.44–183 (Al), 0.721–11.3 (Ba), 0.036–10.4 (Cd),
1,15–47.8 (Cu), 17.8–353 (Fe), 1.88–9.44 (In), 0.011–0.654
(La), 2.06–103 (Mn), 0.137–1.15 (Nd), 0.046–8.70 (Ni),
0.361–4.93 (Pb), 0.066–4.85 (Pr), 1.90–11.6 (Pt), 0.038–
0.629 (Rh), 0.627–43.8 (Sr), 0.031–1.14 (Ti), 0.013–2.34
(Tm), 0.010–0.266 (V), 0.010–0.255 (Y), 12.5–306 (Zn),
and 0.010–0.131 (Zr) mg kg−1. In the case of the remaining
elements that were not detectable in any of the studied wood-
growing mushroom species, the following ranges were deter-
mined: 0.029–6.37 (As), 0.18–1.91 (Au), 0.034–75.9 (B),
0.060–3.25 (Bi), 0.010–0.891 (Ce), 0.025–0.199 (Co),
0.017–0.421 (Cr), 0.011–0.249 (Dy), 0.012–0.599 (Er),
0.023–0.123 (Eu), 0.034–0.428 (Ga), 0.010–0.221 (Gd),
0.224–3.389 (Ge), 0.019–0.345 (Ho), 0.011–0.855 (Li),
0.013–0.198 (Lu), 0.010–3.915 (Mo), 0.012–0.297 (Os),
0.025–0.082 (Pd), 0.600–90.3 (Rb), 0.028–0.408 (Re),
0.010–0.057 (Sc), 0.095–1.25 (Se), 0.010–0.201 (Tb),
0.012–11.0 (Te), 0.274–2.26 (Tl), 0.027–1.204 (U), and
0.013–0.023 (Yb) mg kg−1. Content of elements in mushroom species The ranges for Ca, K, Mg, Na, and P in the whole population
of all mushroom species were as follows: 15.4–470, 6580–
44,600, 314–2150, 38.0–319, and 1100–15,500 mg kg−1 dm, Environ Sci Pollut Res (2021) 28:4430–4442 4434 Table 2
Characteristics of studied wood-growing mushroom species
Number
Wood-growing mushroom species
Family
Edibility
Nutritional strategy
Found on
Place
1. Armillaria mellea (Vahl) P.Kumm. Physalacriaceae
Edible
Parasitic
Populus alba L. City park
2. Climacodon septentrionalis (Fr.) P.Karst. Phanerochaetaceae
Non-edible
Parasitic
Acer pseudoplatanus L. Deciduous forest
3. Flammulina velutipes (Curtis) Singer
Physalacriaceae
Edible
Saprobic/parasitic
Acer negundo L. Deciduous forest
4. Fomitiporia robusta (P.Karst.) Fiasson & Niemelä
Hymenochaetaceae
Non-edible
Parasitic
Quercus robur L. Deciduous forest
5. Fomitopsis betulina (Bull.) B.K. Cui, M.L. Han & Y.C. Dai
Fomitopsidaceae
Non-edible
Parasitic
Betula pendula Roth. Deciduous forest
6. Fomitopsis pinicola (Sw.) P. Karst. Fomitopsidaceae
Non-edible, for medicinal uses
Parasitic
Pinus sylvestris L. Pine forest
7. Fuscoporia wahlbergii (Fr.) T.Wagner & M.Fisch. Hymenochaetaceae
Non-edible
Parasitic
Prunus domestica L. Old garden
8. Ganoderma appalanatum (Pers.) Pat. Ganodermataceae
Non-edible, for medicinal uses
Parasitic
Fagus sylvatica L. Deciduous forest
9. Ganoderma pfeifferi Bres. Ganodermataceae
Non-edible, for medicinal uses
Parasitic
Fagus sylvatica L. City park
10. Ganoderma resinaceum Bound. Ganodermataceae
Non-edible, for medicinal uses
Parasitic
Fagus sylvatica L. Deciduous forest
11. Hemipholiota populnea (Pers.) Knyper&Tjall.-Benk. Strophariaceae
Non-edible
Parasitic
Populus alba L. Deciduous forest
12. Hericium cirrhatum (Pers.) Nicol. Hericiaceae
Edible
Saprobic
Fagus sylvatica L. Deciduous forest
13. Inonotus hispidus (Bull.) P.Karst
Hymenochaetaceae
Non-edible, for medicinal uses
Parasitic
Malus sp. Old garden
14. Ischnoderma resinosum (Schard.) P.Karst. Fomitopsidaceae
Non-edible
Saprobic
Fagus sylvatica L. Deciduous forest
15. Laetiporus sulphureus (Bull.) Murrill
Fomitopsidaceae
Edible, young fruiting bodies
Parasitic
Robinia pseudoacacia L. City park
16. Meripilus giganteus (Pers.) P.Karst. Meripilaceae
Edible, young fruiting bodies
Saprobic/parasitic
Acer platanoides L. City park
17. Phellinus igniarius (L.) Quèll. Hymenochaetaceae
Non-edible
Parasitic
Populus nigra L. Deciduous forest
18. Phellinus pini (Brot.) Pilát
Hymenochaetaceae
Non-edible
Parasitic
Pinus sylvestris L. Pine forest
19. Polyporus septosporus P.K. Buchanan & Ryvarden
Polyporaceae
Edible, young fruiting bodies
Parasitic/saprobic
Fraxinus excelsior L. Deciduous forest
20. Sparassis crispa (Wulfen) Fr. Sparassidaceae
Edible
Parasitic
Pinus sylvestris L. (root)
Pine forest
21. Trametes versicolor (L.) Lloyd
Polyporaceae
Non-edible, for medicinal uses
saprobic
Carpinus betulus L. Deciduous forest respectively. The content of major elements (expressed on a
dry mass basis each time) in the studied wood-growing mush-
room species was significantly diverse (Table 4a). Content of elements in mushroom species Table 2
Characteristics of studied wood-growing mushroom species The rank sum calculated for all 21 of the studied wood-
growing mushroom species and all detectable major and trace
elements showed that the fruit bodies of M. giganteus, which
belongs to the Meripilaceae family, were the most enriched
with all elements (Fig. 2). As M. giganteus is the only species
of this family, it is difficult to state that it is exactly this factor
that is responsible for the highest accumulation of the selected
elements. The opposite situation was recorded for
P. igniarius, F. robusta, F. wahlbergii, and I. hispidus, 4435 Environ Sci Pollut Res (2021) 28:4430–4442 Table 3
Characteristics of years and amount of fruit body samples collected
Number Wood-growing mushroom species
1st year of
collection
Amount of
fruit bodies
2nd year of
collection
Amount of
fruit bodies
3rd year of
collection
Amount of
fruit bodies
1
Armillaria mellea (Vahl) P.Kumm. 2013
8
2014
12
2016
5
2
Climacodon septentrionalis (Fr.)
P.Karst. 2013
12
2014
15
2018
7
3
Flammulina velutipes (Curtis) Singer
2014
8
2015
10
2016
5
4
Fomitiporia robusta (P.Karst.) Fiasson
& Niemelä
2013
3
2014
2
2018
2
5
Fomitopsis betulina (Bull.) B.K. Cui,
M.L. Han & Y.C. Dai
2013
3
2015
2
2017
2
6
Fomitopsis pinicola (Sw.) P. Karst. 2014
3
2015
3
2016
2
7
Fuscoporia wahlbergii (Fr.) T.Wagner
& M.Fisch. 2013
3
2015
1
2019
3
8
Ganoderma appalanatum (Pers.) Pat. 2013
3
2014
3
2016
1
9
Ganoderma pfeifferi Bres. 2013
3
2015
2
2017
2
10
Ganoderma resinaceum Bound. 2013
2
2014
4
2016
1
11
Hemipholiota populnea (Pers.)
Knyper&Tjall.-Benk. 2014
3
2015
3
2016
2
12
Hericium cirrhatum (Pers.) Nicol. 2013
3
2014
2
2016
2
13
Inonotus hispidus (Bull.) P.Karst
2013
3
2014
2
2017
2
14
Ischnoderma resinosum (Schard.)
P.Karst. 2013
3
2014
4
2016
3
15
Laetiporus sulphureus (Bull.) Murrill
2014
2
2015
5
2017
2
16
Meripilus giganteus (Pers.) P.Karst. 2013
5
2014
7
2017
3
17
Phellinus igniarius (L.) Quèll. 2013
2
2015
2
2018
3
18
Phellinus pini (Brot.) Pilát
2013
3
2015
2
2018
2
19
Polyporus septosporus P.K. Buchanan
& Ryvarden
2014
2
2015
4
2017
4
20
Sparassis crispa (Wulfen) Fr. Content of elements in mushroom species 2013
3
2015
2
2017
2
21
Trametes versicolor (L.) Lloyd
2014
8
2015
4
2019
4 Table 3
Characteristics of years and amount of fruit body samples collected between particular species and their ability to accumulate se-
lected element(s) only. To better explain the similarities or
differences between the studied mushrooms, a graphical pre-
sentation (heatmap) was performed together with hierarchical
cluster dendrograms to group similar mushroom species with
regard to the content of all 27 detectable elements (Fig. 4). Meripilus giganteus, characterized by the highest mean con-
tent of the majority of studied elements, was similar to
P. septosporus and A. mellea. Generally, in terms of the con-
tent of all 27 elements, 3 separate groups of mushroom species
can be extracted consisting of mushrooms belonging to the Hymenochaetaceae family,
which were characterized as some of the most enriched. A
similar situation was observed for F. betulina, L. sulphureus,
and I. resinosum (Fomitopsidaceae family), which were less
enriched with elements. Table 4
Content of elements (mg kg−1 DM) in mushroom fruit bodies Table 4
Content of elements (mg kg−1 DM) in mushroom fruit bodies ( g g
)
a
Mushroom species
Ca
K
Mg
Na
P
Ag
Al
As
Au
B
Ba
A. mellea
58.3fg
24,600bcd
485def
62.8gh
5300d–g
0.539abc
55.2bc
0.036e
0.168c
2.15de
4.07d–g
C. septentrionalis
45.9g
8530g
506def
147c–f
2700fg
0.127bc
43.6b–e
bDL
bDL
8.01cde
8.99ab
F. robusta
155bcd
12,100efg
661def
90.0fgh
5510d–g
0.674a
52.4bcd
0.889cde
bDL
14.0bc
6.03b–e
F. velutipes
24.6g
32,000ab
1770a
190bcd
8890bcd
0.043c
13.6gh
0.796cde
bDL
0.054e
2.01fg
F. betulina
26.1g
13,700d–g
1570ab
44.3h
3870efg
0.069c
11.6h
5.54a
0.023d
10.7cd
4.18c–g
F. pinicola
154bcd
8520g
738def
141c–g
1680g
0.184abc
18.4e–h
bDL
bDL
9.54cde
5.84b–e
F. wahlbergii
133cde
18,300c–g
1070bcd
51.6h
6550c–f
0.036c
7.18h
0.381de
bDL
23.5b
10.2a
G. appalanatum
119c–f
7470g
968b–f
72.0fgh
8850bcd
0.054c
10.9h
bDL
bDL
2.28de
1.74g
G. pfeifferi
163bc
16,800c–g
721def
70.2fgh
6560c–f
0.120bc
11.5h
1.29c
0.990b
5.02cde
5.76b–f
G. resinaceum
83.5d–g
13,000d–g
447ef
254ab
3190efg
0.076c
27.8d–h
1.12cd
bDL
bDL
4.46c–g
H. populnea
19.8g
31,400b
738def
198bc
5250d–g
0.163abc
3.97h
bDL
bDL
2.55de
1.98fg
H. cirrhatum
121c–f
32,300ab
609def
283a
6000d–f
0.458abc
14.2fgh
bDL
1.69a
7.44cde
3.04efg
I. hispidus
137cde
30,700ab
602def
111d–h
7150b–e
0.632ab
57.6b
bDL
bDL
14.0bc
7.94abc
I. resinosum
39.3g
14,300c–g
1020b–e
171cde
4430efg
0.135bc
15.0fgh
bDL
bDL
10.5cd
4.17c–g
L. sulphureus
82.7efg
20,700b–f
547def
99.4e–h
3780efg
0.073c
29.6c–h
0.394de
bDL
1.56de
2.99efg
M. giganteus
213b
22,100b–e
1860a
190bcd
10,700abc
0.340abc
89.3a
0.340de
bDL
11.2cd
2.76efg
P. igniarius
318a
14,900c–g
387f
85.2fgh
5290d–g
0.211abc
41.2b–f
bDL
bDL
67.3a
4.08d–g
P. pini
87.9d–g
37,700a
904c–f
143c–g
13,900a
0.087c
15.8fgh
bDL
bDL
2.74de
5.68b–f
P. septosporus
35.2g
26,100abc
1480abc
64.4gh
10,900ab
0.130bc
26.6d–h
bDL
bDL
7.62cde
4.98c–g
S. crispa
22.7g
18,800c–g
496def
73.0fgh
4950d–g
0.420abc
14.4fgh
2.57b
bDL
4.86cde
2.28efg
T. versicolor
140cde
9060fg
441ef
79.5fgh
1540e
0.126bc
40.1b–g
0.067e
bDL
6.02cde
6.91a–d
b
Mushroom species
Bi
Cd
Ce
Co
Cr
Cu
Dy
Er
Eu
Fe
Ga
A. mellea
2.39ab
1.17c–f
bDL
0.034d
bDL
4.31d
0.069b
0.018e
0.103a
350a
0.327a
C. septentrionalis
0.367h–k
0.359f
0.246bc
0.028d
bDL
7.67cd
bDL
0.188a
0.074a
98.0e–h
bDL
F. robusta
2.15abc
2.17cde
bDL
bDL
0.401a
5.39d
0.023de
0.041d
0.066ab
62.0g–j
bDL
F. velutipes
0.694f–k
0.396f
0.147cd
0.043d
bDL
42.9a
0.036cd
bDL
bDL
160bcd
0.074e–f
F. betulina
1.15d–h
0.407def
bDL
0.032d
bDL
3.11d
0.025de
0.036d
bDL
51.5hij
bDL
F. pinicola
0.208jk
0.119f
0.152cd
bDL
0.024c
4.96d
bDL
0.043d
0.079a
100e–h
bDL
F. Element composition—similarities and differences
between mushrooms PCA was performed for all 21 mushroom species with regard
to the content of all 27 detectable elements in each species
(Fig. 3). The considerable distance of M. giganteus from the
rest of the studied mushroom species and its high content of
Al, Cu, La, Mg, Mn, Nd, P, Pt, Ti, V, or Y confirm that this
species is the most enriched with the majority of detectable
elements. The same was recorded for H. populnea which had
the highest content of Cd (9.46 mg kg−1); F. wahlbergii, the
most enriched with Ba and Pr (10.2 and 4.41 mg kg−1, respec-
tively); and P. igniarius with the highest content of Ca. PCA
for the wood-growing mushroom species explained 41.1%
(28.0 + 13.1%) of total variability with clear differences The first group: A. mellea, F. wahlbergii, G. pfeifferi,
L. sulphureus, M. giganteus, P. septosporus, and S. crispa; The second group: C. septentrionalis, F. robusta,
F. betulina, F. pinicola, G. appalanatum, G. resinaceum,
I. resinosum, P. igniarius, and T. versicolor; The second group: C. septentrionalis, F. robusta,
F. betulina, F. pinicola, G. appalanatum, G. resinaceum,
I. resinosum, P. igniarius, and T. versicolor; The third group: F. velutipes, H. cirrhatum, H. populnea,
I. hispidus, and P. pini. In spite of the similarities between mushroom species be-
longing to the same group, differences in the content of par-
ticular elements in their fruit bodies may observed. An Environ Sci Pollut Res (2021) 28:4430–4442 4436 Table 4
Content of elements (mg kg−1 DM) in mushroom fruit bodies Table 4
Content of elements (mg kg−1 DM) in mushroom fruit bodies wahlbergii
1.41c–f
0.826def
0.026d
0.185a
bDL
13.6bc
bDL
0.129bc
0.029bc
19.5j
0.086d–f
G. appalanatum
0.446g–k
0.575def
0.012d
bDL
0.023c
7.65cd
bDL
0.002f
0.090a
104d–h
0.116c–f
G. pfeifferi
bDL
1.13c–f
bDL
0.122b
bDL
5.33d
0.065b
0.108c
0.106a
29.6ij
0.272ab
G. resinaceum
1.05e–i
1.13c–f
0.047cd
bDL
0.042b
10.8bcd
0.231a
0.038d
0.078a
80.9f–i
bDL
H. populnea
1.23d–f
9.46a
0.323b
bDL
0.048b
14.2bc
0.066b
bDL
bDL
37.1ij
0.172b–e
H. cirrhatum
1.97a–d
4.10b
bDL
bDL
bDL
10.3cd
0.005e
0.094c
0.109a
48.4hij
bDL
I. hispidus
0.284ijk
0.268f
0.152cd
bDL
bDL
9.57cd
0.050bc
0.023d
bDL
114d–g
bDL
I. resinosum
0.075l
0.831def
bDL
bDL
bDL
14.6bc
bDL
bDL
bDL
60.3g–j
0.039f
L. sulphureus
0.422g–k
0.615def
0.232bc
bDL
bDL
3.35d
bDL
0.226a
0.070ab
129c–f
0.202a–d
M. giganteus
0.851e–j
2.76bc
0.773a
bDL
0.048b
40.1a
0.034cd
bDL
bDL
208b
bDL
P. igniarius
0.635f–k
0.390ef
bDL
bDL
bDL
39.1a
bDL
0.147b
bDL
55.5hij
0.258abc
P. pini
1.65b–e
0.217f
bDL
0.155ab
bDL
3.08d
0.050bc
bDL
0.089a
177bc
bDL
P. septosporus
2.59a
0.558def
bDL
0.083c
bDL
18.5b
bDL
bDL
bDL
73.2f–j
0.328a
S. crispa
0.210jk
2.18cd
bDL
bDL
bDL
7.88cd
0.034cd
bDL
0.011c
80.0f–i
0.082d–f
T. versicolor
0.773f–k
0.570def
0.147cd
bDL
bDL
4.78d
bDL
0.012e
bDL
155b–e
bDL
c
Mushroom species
Gd
Ge
Ho
In
La
Li
Lu
Mn
Mo
Nd
Ni
A. mellea
bDL
0.758b–f
bDL
5.90abc
0.039ef
bDL
0.011c
19.2def
bDL
0.271ghi
0.218d
C. septentrionalis
0.014fg
0.238f
0.116abcde
3.85abc
0.346b
0.759a
bDL
22.8def
3.48a
0.494c–g
0.273d Environ Sci Pollut Res (2021) 28:4430–4442 4437 Table 4
(continued)
F. robusta
bDL
0.280d–f
0.097bcde
5.09abc
0.149c–f
0.012d
bDL
38.4bcd
bDL
0.677bcd
0.312d
F. velutipes
0.049cde
0.929b–f
0.130abcd
4.27abc
0.109c–f
bDL
0.045abc
17.9def
0.639b
0.477d–g
7.089a
F. betulina
0.031e–g
1.32bcd
0.079bcde
4.22abc
0.090c–f
bDL
0.044abc
8.85ef
0.045e
0.277ghi
0.141d
F. pinicola
0.177a
bDL
0.168abc
3.74abc
0.152cde
bDL
bDL
8.91ef
bDL
0.284ghi
0.404bcd
F. wahlbergii
0.044c–f
0.812b–f
bDL
4.07abc
0.206bc
0.233b
0.076ab
31.0cde
0.17de
0.632b–e
1.45b
G. appalanatum
bDL
0.400c–f
0.132abcd
7.33a
0.057def
bDL
0.053abc
19.0def
0.478c
0.264ghi
0.467bcd
G. pfeifferi
0.011g
0.714b–f
0.020e
4.18abc
0.037ef
bDL
0.057abc
11.0ef
bDL
0.330f–i
0.143d
G. resinaceum
0.029e–g
0.975b–f
0.058cde
6.32ab
0.080c–f
0.095c
0.028abc
7.83f
bDL
0.437d–h
0.396bcd
H. populnea
bDL
0.434c–f
0.225a
2.51bc
0.009f
bDL
bDL
5.58f
0.383c
0.158i
0.098d
H. cirrhatum
bDL
1.14b–e
0.072cde
5.44abc
0.121c–f
bDL
0.015bc
10.9ef
0.053f
0.733bc
0.170d
I. hispidus
0.053cd
bDL
0.075bcde
5.61abc
0.129c–f
bDL
0.032abc
54.7b
0.033f
0.398e–i
0.790bcd
I. Table 4
Content of elements (mg kg−1 DM) in mushroom fruit bodies resinosum
0.034d–g
bDL
0.172abc
4.71abc
0.030ef
bDL
bDL
16.2def
bDL
0.212hi
0.533bcd
L. sulphureus
bDL
1.25b–e
0.122abcd
4.27abc
0.073c–f
bDL
0.088a
5.56f
bDL
0.336f–i
0.379cd
M. giganteus
0.145b
1.14b–e
bDL
4.82abc
0.568a
0.084c
bDL
89.0a
0.229d
0.997a
1.47b
P. igniarius
0.043c–f
3.01a
0.192ab
2.36c
0.186cd
bDL
0.024abc
59.1b
bDL
0.756ab
0.927bc
P. pini
bDL
1.42bc
0.148abc
3.26bc
0.072c–f
bDL
0.025abc
13.1ef
bDL
0.548b–f
0.051d
P. septosporus
0.078c
1.72b
0.108abcde
5.64abc
0.089c–f
0.099c
0.050abc
8.71ef
bDL
0.687bcd
0.135d
S. crispa
bDL
0.988b–f
bDL
6.08abc
0.040ef
bDL
0.070abc
21.4def
bDL
0.183i
0.171d
T. versicolor
0.040d–f
0.731b–f
0.223a
3.10bc
0.194cd
bDL
0.025abc
46.0bc
0.146e
0.454d–h
0.484bcd
d
Mushroom species
Os
Pb
Pd
Pr
Pt
Rb
Re
Rh
Sc
Se
Sr
A. mellea
0.017d
0.389e
0.076a
1.52b–f
5.38bcd
6.12e
0.133bcde
0.589a
0.013cd
bDL
1.54d
C. septentrionalis
0.098b
4.38a
bDL
2.49b
3.97b–e
bDL
bDL
0.259bcd
0.018bc
bDL
8.27bc
F. robusta
bDL
1.18cde
bDL
1.17c–h
3.88b–e
bDL
bDL
0.250bcd
0.007d
0.898b
4.30cd
F. velutipes
0.043cd
1.29cde
bDL
0.076i
5.04b–e
0.902f
0.177bcd
0.192cd
0.026b
bDL
1.09d
F. betulina
0.085bc
1.59cde
bDL
0.383ghi
3.35c–e
bDL
0.238ab
0.255bcd
0.014cd
bDL
2.21d
F. pinicola
bDL
4.26a
bDL
0.975c–i
3.68b–e
bDL
0.071cde
0.187cd
0.014cd
bDL
39.8a
F. wahlbergii
0.034d
0.866de
bDL
4.41a
2.84c–e
0.656f
bDL
0.141d
bDL
1.14a
3.77cd
G. appalanatum
bDL
1.23cde
0.062b
1.56b–e
3.94b–e
bDL
0.087cde
0.324bcd
bDL
bDL
3.42d
G. pfeifferi
bDL
0.534e
bDL
1.92bcd
2.54de
bDL
0.366a
0.335bcd
0.013bcd
bDL
4.58cd
G. resinaceum
0.043cd
1.33cde
bDL
1.78bcd
5.69bc
bDL
bDL
0.261bcd
bDL
bDL
4.40cd
H. populnea
bDL
0.693de
bDL
0.459f–i
2.20e
81.2a
bDL
0.394abc
0.015bc
bDL
1.69d
H. cirrhatum
0.088bc
0.722de
bDL
0.415ghi
3.35c–e
70.8b
0.032e
0.185cd
bDL
0.106d
2.89d
I. hispidus
0.017d
2.36bcd
bDL
0.614e–i
3.32c–e
40.3c
bDL
0.120d
0.018bc
bDL
4.50cd
I. resinosum
0.024d
0.442e
0.029c
0.181hi
3.58b–e
62.3b
bDL
0.283bcd
0.008d
0.415c
1.50d
L. sulphureus
0.036d
1.32cde
bDL
1.58b–e
4.62b–e
bDL
bDL
0.136d
0.020bc
bDL
2.96d
M. giganteus
0.258a
4.28a
bDL
1.01c–i
10.1a
bDL
0.066de
0.335bcd
0.049a
bDL
10.5b
P. igniarius
0.095b
3.72ab
bDL
1.46b–g
5.05b–e
bDL
bDL
0.351bcd
0.015bc
bDL
12.7b
P. pini
bDL
1.77cde
bDL
2.04bc
6.30b
bDL
bDL
0.444ab
bDL
bDL
2.05d
P. septosporus
bDL
1.34cde
bDL
0.277hi
3.37b–e
5.64e
0.219abc
0.166cd
0.021bc
bDL
2.71d
S. crispa
bDL
2.88abc
bDL
0.174hi
3.53b–e
13.9de
0.154bcd
0.229bcd
0.022bc
bDL
1.00d
T. Table 4
Content of elements (mg kg−1 DM) in mushroom fruit bodies versicolor
bDL
1.79cde
bDL
0.904d–i
4.44b–e
22.4d
0.119bcde
0.125d
0.018bc
bDL
4.13cd
e
Mushroom species
Tb
Te
Ti
Tl
Tm
U
V
Y
Yb
Zn
Zr
A. mellea
bDL
6.58ab
0.146ef
bDL
0.016b
0.223e–g
0.028cd
0.025cd
bDL
46.6de
0.017gh
C. septentrionalis
0.074abc
bDL
0.691a–d
1.29b
0.229b
0.853ab
0.133b
0.110b
bDL
74.0cde
0.081bcd
F. robusta
0.049bc
0.714fg
0.433b–f
bDL
0.075b
0.313d–g
0.083bcd
0.025cd
bDL
73.7cde
0.051c–h
F. velutipes
0.127a
0.906fg
0.688a–d
0.663c
0.035b
0.457c–f
0.072bcd
0.076bc
0.010b
66.1cde
0.129a
F. betulina
0.107ab
9.45a
0.230d–f
bDL
0.053b
0.463c–f
0.029cd
0.043cd
bDL
263a
0.088abc
F. pinicola
0.018c
0.918fg
0.786abc
bDL
0.106b
0.650bcd
0.020d
0.021cd
0.015b
67.1cde
0.043d–h
F. wahlbergii
0.063abc
1.22efg
0.058f
0.347d
0.174b
bDL
0.050bcd
0.024cd
bDL
116c
0.050c–h
G. appalanatum
0.012d
bDL
0.115ef
1.61ab
0.104b
0.290d–g
0.040cd
0.060bcd
bDL
55.2cde
0.032e–h
G. pfeifferi
0.045bc
9.69a
0.085f
1.34b
0.077b
bDL
0.026cd
0.020cd
bDL
55.0cde
0.089abc
G. resinaceum
bDL
1.01efg
0.405b–f
0.367d
0.041b
0.301d–g
0.027cd
0.035cd
bDL
51.7de
0.066b–e
H. populnea
bDL
5.50bc
0.036f
bDL
0.082b
0.500b–f
0.014d
0.050cd
bDL
78.1cd
0.026e–h
H. cirrhatum
bDL
1.10efg
0.192def
bDL
0.080b
0.791abc
0.049bcd
0.008d
bDL
51.3de
0.009h
I. hispidus
bDL
4.49b–e
0.920ab
2.05a
0.030b
0.389def
0.066bcd
0.031cd
0.012b
43.7de
0.064b–f
I. resinosum
bDL
4.08b–f
0.175def
bDL
0.044b
0.181g
0.005d
0.047cd
bDL
51.4de
0.023f–h
L. sulphureus
0.019c
2.76c–g
0.291c–f
1.18b
0.047b
0.194fg
0.110bc
0.043cd
0.013b
57.9cde
0.023f–h Environ Sci Pollut Res (2021) 28:4430–4442 4438 Table 4
(continued)
M. giganteus
0.108abc
1.59d–g
0.990a
bDL
0.037b
1.04a
0.231a
0.221a
0.020a
181b
0.104ab
P. igniarius
0.032bc
0.427g
0.373c–f
bDL
0.103b
bDL
0.078bcd
0.063bcd
0.015b
14.3e
0.046c–h
P. pini
0.055abc
0.334g
0.109ef
bDL
0.083b
0.557b–e
0.011d
0.034cd
0.008b
86.6cd
0.033e–h
P. septosporus
0.032bc
2.47c–g
0.380c–f
bDL
0.083b
0.794abc
0.030cd
0.034cd
bDL
61.1cde
0.039d–h
S. crispa
0.062abc
4.79bcd
0.289c–f
1.37b
1.20a
0.461c–f
0.036cd
0.040cd
bDL
62.7cde
0.053c–g
T. versicolor
0.042bc
0.200g
0.629a–e
bDL
0.034b
0.430c–f
0.067bcd
0.042cd
0.011b
63.1cde
0.076bcd
n = 3; identical superscripts (a, b, c) denote non-significant differences between means in columns according to the post hoc Tukey’s HSD test example is clearly higher content of Ag, Fe, and Rh in
A. mellea than was found in M. giganteus fruit bodies or the
higher content of Sr in F. pinicola compared with
T. versicolor despite their high similarity in the content of all
elements jointly. necessary to know whether their growth is tree–mushroom
symbiosis dependent. Table 4
Content of elements (mg kg−1 DM) in mushroom fruit bodies For this reason, it is possible that the
efficiency of element accumulation in the studied mushroom
fruit bodies was just a response to their content in wood. Trees
are promising plants for dendroremediation purposes, but are
highly diverse in terms of their efficiency for phytoextraction
of elements from soil (Mleczek et al. 2018). These differences
are also observed in the site of element deposition within a
plant; therefore, the occurrence of wood-growing mushrooms
at a certain height on a tree may determine higher or lower
accumulation of specific elements or the limitation of others
(Mleczek et al. 2016c). Discussion Armillaria
mellea, growing on poplar trees in both studies, is able to
accumulate a relatively high amount of selected elements only
(Laureysens et al. 2004), which can explain their higher level
in the mushroom body other mushroom species was described by Yildiz et al. (2019)
and Fe reported by Karaman and Matavulj (2005). The ability
of hyperaccumulators and also mushroom species such as
M. giganteus to accumulate some elements (e.g., Mg, Cu,
La, Zn) with the exclusion of others (e.g., Co, Lu, Rb, Se, or
Tl) may be an effect of a specific strategy to discriminate
homologue elements (Falandysz and Borovicka 2013). Armillaria mellea was characterized by a comparable content
of Ca and Pb with that of Romanian samples, while the con-
tent of Ag, As, B, Cd, Cu, Li, Mn, Ni, Se, and Tl was lower
(Zavastin et al. 2018). Fruit bodies of this mushroom species
from West Macedonia and Epirus contained higher amounts
of Mg, Cd, Co, Cu, Cr, Fe, Mn, Ni, Pb, and Zn (Ouzouni et al. 2009). Širić et al. (2016) analyzed this lignicoluous sapro-
phyte collected from the Nature Park Medvednica (Croatia)
with a higher content of Cu and Zn and a lower content of Fe
than in our paper. However, the screening of samples from
Hungary pointed to a higher content of Ba, Ca, Cd, Co, K,
Mg, Na, Ni, P, and Sr, a lower one of Cu and Fe, and a similar
content of Zn (Kovács and Vetter 2015), while Šlejkovec et al. (1997) indicated a lower level of As in S. crispa, and
Severoglu et al. (2013) found a lower content of Cd, Cu, Fe,
and Zn, and a higher level of Co, Cr, Ni, and Pb. Doğan et al. (2006) studied 32 mushroom species, among others:
A. mellea, L. sulphureus, P. igniarius, and T. versicolor with
regard to the content of Ag, Cd, Cr, Cu, Mn, Ni, and Pb. The
mean content of Cr, Cu, Ni, and Pb was higher, while Ag, Cd,
and Mn was comparable with that of the A. mellea fruit bodies
described in this and our studies. With the exception of Cd,
whose mean content was similar (0.68 and 0.615 mg kg−1),
the content of the other determined metals was higher in
L. sulphureus fruit bodies. The mean content of Cr, Ni, and
Pb in P. Discussion igniarius (84.5, 6.48, and 9.86 mg kg−1, respectively)
was higher than in our results (bDL; 0.927 and 3.72 mg kg−1,
respectively), while the content of the other metals studied by
Doğan et al. (2006) was lower. In addition, Ag, Cr, Cu, Mn,
and Ni content was higher, and Cd and Pb lower in the study
of Doğan et al. (2006) on T. versicolor. Not all papers provide
enough information about the tree species on which the wood-
growing mushroom species grow. A good example for discus-
sion is the same study of Doğan et al. (2006). Armillaria
mellea, growing on poplar trees in both studies, is able to
accumulate a relatively high amount of selected elements only
(Laureysens et al. 2004), which can explain their higher level
in the mushroom body. Figure 4. Correlation between 21studied mushroom species with regard
to the content of detectable elements (heatmap) in mean values with
presentation of a hierarchical tree plot similarity between all the aforementioned mushroom species
with respect to Pb, Re, and Zn content, the highest content of
Fe in A. mellea, and the highest content of As, Cu, and Ni in
F. velutipes with the lowest content of B in this mushroom. In
addition, a similarity between the content of Ag and Al in
G. applanatum and L. sulphureus with a higher content in
A. mellea was also recorded, which suggests that the selected
mushroom species are more effective accumulators than
others. The relationships described in the present paper may
suggest that the belonging of certain species of mushrooms to
a particular family may be associated with greater or less metal
accumulation. On the other hand, the example of the highly
diverse F. velutipes and A. mellea (both belong to
Physalacriaceae family) indicates that it is not only family
but also tree species that may influence the content of ele-
ments in fruit bodies. Similarities or differences in element
accumulation between some mushroom species of the same
family have been described in numerous papers (Wang et al. 2015). As in our paper, Chemghom et al. (2010) reported the
highest content of Ca and a high content of Mn in P. igniarius,
Flammulina velutipes grown on Acer negundo, and A. mellea
on Populus alba L.; what is especially important is that Acer is
generally characterized by more effective phytoextraction of
elements from soil than Populus (Tangahu et al. 2011;
Mleczek et al. Discussion Many studies monitor the content of elements in the fruit
bodies of edible wild growing and/or cultivated mushroom
species (Rzymski et al. 2017; Kalač 2019). However, the data
on element content in wood-growing mushrooms are relative-
ly limited when compared with the amount available for
aboveground species. Wood-growing mushrooms do not play
an important role in consumption, many of them are non-
edible and only a few species are used as medicinal mush-
rooms (Sokół et al. 2015). This is the most likely reason
why their wider mineral composition has been studied for
only a few species (Strapáč and Baranová 2016). It is worth underlining that some of the observed similari-
ties between the studied mushroom species were previously
described by Mleczek et al. (2016a) who compared 10 wood-
growing mushroom species, e.g., A. mellea, F. velutipes,
G. applanatum, and L. sulphureus. The authors noted a Figure 3. PCA for studied wood-growing mushroom species with regard
to the content of all detectable elements In the case of aboveground mushrooms, efficiency of ele-
ment accumulation depends on both their concentration in
substrate (significance of bedrock geochemistry) and mush-
room species (Wang et al. 2015; Plassard et al. 2011). Mushrooms are able to effectively accumulate elements (more
effectively than vascular plants) even at relatively low concen-
trations in the medium (Falandysz and Borovicka 2013). It is Figure 2. Graphical presentation of rank sum according to increase of the
total content of elements in the studied mushroom species Figure 3. PCA for studied wood-growing mushroom species with regard
to the content of all detectable elements Figure 2. Graphical presentation of rank sum according to increase of the
total content of elements in the studied mushroom species Environ Sci Pollut Res (2021) 28:4430–4442 4439 Figure 4. Correlation between 21studied mushroom species with regard
to the content of detectable elements (heatmap) in mean values with
presentation of a hierarchical tree plot other mushroom species was described by Yildiz et al. (2019)
and Fe reported by Karaman and Matavulj (2005). The ability
of hyperaccumulators and also mushroom species such as
M. giganteus to accumulate some elements (e.g., Mg, Cu,
La, Zn) with the exclusion of others (e.g., Co, Lu, Rb, Se, or
Tl) may be an effect of a specific strategy to discriminate
homologue elements (Falandysz and Borovicka 2013). Discussion Armillaria mellea was characterized by a comparable content
of Ca and Pb with that of Romanian samples, while the con-
tent of Ag, As, B, Cd, Cu, Li, Mn, Ni, Se, and Tl was lower
(Zavastin et al. 2018). Fruit bodies of this mushroom species
from West Macedonia and Epirus contained higher amounts
of Mg, Cd, Co, Cu, Cr, Fe, Mn, Ni, Pb, and Zn (Ouzouni et al. 2009). Širić et al. (2016) analyzed this lignicoluous sapro-
phyte collected from the Nature Park Medvednica (Croatia)
with a higher content of Cu and Zn and a lower content of Fe
than in our paper. However, the screening of samples from
Hungary pointed to a higher content of Ba, Ca, Cd, Co, K,
Mg, Na, Ni, P, and Sr, a lower one of Cu and Fe, and a similar
content of Zn (Kovács and Vetter 2015), while Šlejkovec et al. (1997) indicated a lower level of As in S. crispa, and
Severoglu et al. (2013) found a lower content of Cd, Cu, Fe,
and Zn, and a higher level of Co, Cr, Ni, and Pb. Doğan et al. (2006) studied 32 mushroom species, among others:
A. mellea, L. sulphureus, P. igniarius, and T. versicolor with
regard to the content of Ag, Cd, Cr, Cu, Mn, Ni, and Pb. The
mean content of Cr, Cu, Ni, and Pb was higher, while Ag, Cd,
and Mn was comparable with that of the A. mellea fruit bodies
described in this and our studies. With the exception of Cd,
whose mean content was similar (0.68 and 0.615 mg kg−1),
the content of the other determined metals was higher in
L. sulphureus fruit bodies. The mean content of Cr, Ni, and
Pb in P. igniarius (84.5, 6.48, and 9.86 mg kg−1, respectively)
was higher than in our results (bDL; 0.927 and 3.72 mg kg−1,
respectively), while the content of the other metals studied by
Doğan et al. (2006) was lower. In addition, Ag, Cr, Cu, Mn,
and Ni content was higher, and Cd and Pb lower in the study
of Doğan et al. (2006) on T. versicolor. Not all papers provide
enough information about the tree species on which the wood-
growing mushroom species grow. A good example for discus-
sion is the same study of Doğan et al. (2006). Discussion giganteus compared with some 4440 Environ Sci Pollut Res (2021) 28:4430–4442 Acknowledgment This publication was financially supported by the
framework of the Ministry of Science and Higher Education programme
“Regional Initiative of Excellence” in 2019–2022, Project No. 005/RID/
2018/19. significantly higher content of Cr and lower amount of Cd in
the mushrooms studied by Doğan et al. (2006) (Onder and
Dursun 2006). Furthermore, in the case of T. versicolor, dif-
ferences in a higher/lower content in the fruit bodies of this
mushroom may be explained by its growth on Carpinus
betulus L. or poplar trees (Kaszala et al. 2003; Bilek et al. 2016). Author contributions M.M.: conceptualization; formal analysis; investi-
gation; writing—original draft; writing—review & editing; M.G.: inves-
tigation; writing—original draft; writing—review & editing; A.B.: visu-
alization; statistical analysis; M.S.: conceptualization; formal analysis;
supervision; P.M.: formal analysis; investigation; writing—original draft;
writing—review & editing; Z.M.: writing—original draft; S.B.: investi-
gation; writing—original draft; P.K.: writing—original draft; writing—
review & editing; P.N.: investigation; methodology; writing—original
draft. The content of Ca, Cd, Cr, Cu, Mn, Ni, and Pb for
G. appalanatum was lower, while that of Fe, K, Mg, and Zn
was higher when compared with the results of the studied
mushroom species from Serbia (Raseta et al. 2016). Wang
and Hou (2011) studied I. hispidus and obtained results for
Fe and Mn that were similar to our studies. In addition, a
higher content of Cr, Se, and Zn but a lower content of Cu,
Mg, and Pb was observed. Generally, the analyzed fruit bodies
were characterized by a lower content of Ag, Ca, Cd, Cu, Cr,
Mn, Ni, P, Pb, and Zn, when compared with samples origi-
nated from Turkey (Demirbaş 2002; Isildak et al. 2004), Cr
and Pb from China (Wang et al. 2017) and also As, Cd, Pb,
and Se, than mushrooms collected from Italy (Cocchi et al. 2006). The differences between the results presented in the
present paper and the authors of other studies confirm a sig-
nificant variability in the accumulation of elements by the
same species of mushrooms depending on their place of
growth. This suggests that the uptake of elements by wood-
growing mushrooms is a matter that depends not only on the
species but primarily on the species of tree on which this
fungus resides, as well as the type of soil (concentration of
bioavailable elements) where aboveground mushroom species
grow. Conclusions Wood-growing mushroom species play an important role in
forest ecosystems because of their symbiosis with trees or the
ability of these saprotrophic organisms to decompose dead
organic matter. Their cultural significance, as well as the pos-
sibility to use them in the industry (pigments, bioactive com-
pounds in pharmacology), makes them an interesting subject
of research. In addition, their chemical purity plays a signifi-
cant role in terms of their further use for practical purposes. The obtained results indicated a clearly differentiated content
of individual as well as the sum of examined elements in
particular mushroom species. Due to their growth on different
species of trees and shrubs growing in soils with different
chemical composition, it is difficult to clearly identify a higher
or lower ability to accumulate particular elements. The analy-
sis of both common and rarely occurring species of forest
mushrooms over a 7-year period (2013–2019) has shown that
similarly to wild-growing aboveground mushroom species,
wood-growing mushrooms can effectively absorb major and
trace elements. Consent to publication
Not applicable
Availability of data and materials
Not applicable Competing interests
The authors declare that they have no known com-
peting financial interests or personal relationships that could have ap-
peared to influence the work reported in this paper. 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
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otherwise in a credit line to the material. If material is not included in the
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copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. Compliance with Ethical Standards The authors declare that
they have no conflict of interest. Ethics approval and consent to participate
This article does not contain
any studies involving human participants or animals performed by any of
the authors. Discussion 2017a). similarity between all the aforementioned mushroom species
with respect to Pb, Re, and Zn content, the highest content of
Fe in A. mellea, and the highest content of As, Cu, and Ni in
F. velutipes with the lowest content of B in this mushroom. In
addition, a similarity between the content of Ag and Al in
G. applanatum and L. sulphureus with a higher content in
A. mellea was also recorded, which suggests that the selected
mushroom species are more effective accumulators than
others. The relationships described in the present paper may
suggest that the belonging of certain species of mushrooms to
a particular family may be associated with greater or less metal
accumulation. On the other hand, the example of the highly
diverse F. velutipes and A. mellea (both belong to
Physalacriaceae family) indicates that it is not only family
but also tree species that may influence the content of ele-
ments in fruit bodies. Similarities or differences in element
accumulation between some mushroom species of the same
family have been described in numerous papers (Wang et al. 2015). As in our paper, Chemghom et al. (2010) reported the
highest content of Ca and a high content of Mn in P. igniarius,
Flammulina velutipes grown on Acer negundo, and A. mellea
on Populus alba L.; what is especially important is that Acer is
generally characterized by more effective phytoextraction of
elements from soil than Populus (Tangahu et al. 2011;
Mleczek et al. 2017a). Laetiporus sulphureus grows on Robinia pseudoacacia L. and willow trees. In spite of numerous literature data that point
to the highly diverse efficiency of element phytoextraction by
willow taxa, it is very difficult to decide whether the growth of
L. sulphureus was a key factor affecting the higher or lower
content of elements in mushrooms (Mleczek et al. 2017b;
Nirola et al. 2015; Yang et al. 2014). Phellinus igniarius
grows on cedar and poplar trees, which may explain the One of the most effective species in accumulating elements
was M. giganteus, being earlier characterized by Kalyoncu
et al. (2010) with a higher content of Na and Zn than in
A. mellea and S. crispa, or a similar content of K to that of
A. mellea and higher than that found in S. crispa. In addition, a
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Dental Treatment in a State-Funded Primary Dental Care Facility: Contextual and Individual Predictors of Treatment Need?
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RESEARCH ARTICLE Methods Routine clinical and demographic data were extracted from a live dental patient manage-
ment system in a state-funded facility using novel methods. The data, spanning a four-year
period [2008–2012] were cleaned, validated, linked by means of postcode to deprivation
status, and analysed to identify factors which predict dental treatment need. The predictive
relationship between patients’ individual characteristics (demography, smoking, payment
status) and contextual experience (deprivation based on area of residence), with common
dental treatments received was examined using unadjusted analysis and adjusted logistic
regression. Additionally, multilevel modelling was used to establish the isolated influence of
area of residence on treatments. Editor: Peter M. Milgrom, University of
Washington, UNITED STATES
Received: April 8, 2016
Accepted: December 9, 2016
Published: January 24, 2017
Copyright: © 2017 Wanyonyi et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Editor: Peter M. Milgrom, University of
Washington, UNITED STATES
Received: April 8, 2016
Accepted: December 9, 2016
Published: January 24, 2017 Copyright: © 2017 Wanyonyi 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. Kristina L. Wanyonyi1,2*, David R. Radford1,3, Jennifer E. Gallagher2 1 University of Portsmouth Dental Academy, Hampshire Terrace, Portsmouth, United Kingdom, 2 King’s
College London Dental Institute, Population and Patient Health Division, London, United Kingdom, 3 King’s
College London Dental Institute, Teaching Division, Guys Tower, Guys Hospital, London, United Kingdom a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 * kristina.wanyonyi@port.ac.uk OPEN ACCESS This study examined individual and contextual factors which predict the dental care received
by patients in a state-funded primary dental care training facility in England. Citation: Wanyonyi KL, Radford DR, Gallagher JE
(2017) Dental Treatment in a State-Funded Primary
Dental Care Facility: Contextual and Individual
Predictors of Treatment Need? PLoS ONE 12(1):
e0169004. doi:10.1371/journal.pone.0169004
Editor: Peter M. Milgrom, University of
Washington, UNITED STATES
Received: April 8, 2016
Accepted: December 9, 2016
Published: January 24, 2017
Copyright: © 2017 Wanyonyi et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Citation: Wanyonyi KL, Radford DR, Gallagher JE
(2017) Dental Treatment in a State-Funded Primary
Dental Care Facility: Contextual and Individual
Predictors of Treatment Need? PLoS ONE 12(1):
e0169004. doi:10.1371/journal.pone.0169004 Dental Treatment in a State-Funded Primary
Dental Care Facility: Contextual and Individual
Predictors of Treatment Need? Kristina L. Wanyonyi1,2*, David R. Radford1,3, Jennifer E. Gallagher2 Introduction The World Health Organization (WHO) is promoting Universal Health Coverage (UHC) in
support of achieving the 2030 Sustainable Development Goals [1]. Research within state-
funded health systems such as the National Health Service (NHS) [2] in England provides evi-
dence of how opportunities to access dental services free at the point of delivery (children and
vulnerable adults) or at reduced cost (adults make a co-payment), align to oral health needs. There is clear evidence that variations in dental service uptake are associated with social status
[3,4], with socially deprived groups accessing care less frequently [4], and requiring more
extensive services such as treatment under sedation [5], when they do access care. These pat-
terns of access further contribute to increased oral health need and inequalities across the
socio-economic spectrum, despite the state-funded service provision [6]. What is unknown is
how routine care provision relates to need once access to dental services is gained, and how
this impacts on equity of health outcomes. This is particularly important for state-funded den-
tal services such as the NHS which is committed to maximising preventative care [7], as well as
equity and quality [8]. The NHS serves a large proportion of the national population with
seven out of 10 children, and five out of 10 adults, attending primary dental care within a
24-month period [9]. So far the analysis of NHS data has predominantly been studied to moni-
tor new initiatives [10], assess value for money [11], and the longevity of treatments [12–19],
with much of this research conducted under previous models of care. A more analytical evalu-
ation of dental activity from contemporary NHS primary care has the potential to provide
information on how encounters with health care under the current system contribute to
addressing oral health needs. More specifically, dental activity records, which are routinely collected within patient man-
agement systems, could answer questions regarding what happens when patients enter primary
dental care. Is patients’ treatment related to known patterns of need and health behaviours such
as smoking, and how does this relate to NHS provisions to improve access such as payment
exemption? Finally, this could further inform understanding of how care relates to contextual
level predictors of oral health need. Thus patient management systems are potentially a rich
data source consisting of patient demography, and care received experience. Conclusion This is the first study to model patient management data from a state-funded dental service
and show that individual and contextual factors predict common treatments received. Impli-
cations of this research include the importance of making provision for our aging population
and ensuring that preventative care is available to all. Further research is required to explain
the interaction of organisational and system policies, practitioner and patient perspectives
on care and, thus, inform effective commissioning and provision of dental services. Dental Treatment and Predictors of Need the multilevel models was a significant difference in treatment related to area of residence;
adults from the most deprived quintile were more likely to receive ‘tooth extraction’ when
compared with least deprived, and less likely to receive preventive ‘instruction and advice’
(p = 0.01). the multilevel models was a significant difference in treatment related to area of residence;
adults from the most deprived quintile were more likely to receive ‘tooth extraction’ when
compared with least deprived, and less likely to receive preventive ‘instruction and advice’
(p = 0.01). KCLDI. KLW contributed to the undergraduate
dental teaching programme at KCLDI and is now
on the staff of UPDA. Results Data on 6,351 dental patients extracted comprised of 147,417 treatment procedures deliv-
ered across 10,371 courses of care. Individual level factors associated with the treatments
were age, sex, payment exemption and smoking status and deprivation associated with
area of residence was a contextual predictor of treatment. More than 50% of children (<18
years) and older adults (65 years) received preventive care in the form of ‘instruction and
advice’, compared with 46% of working age adults (18–64 years); p = 0.001. The odds of
receiving treatment increased with each increasing year of age amongst adults (p = 0.001):
‘partial dentures’ (7%); ‘scale and polish’ (3.7%); ‘tooth extraction’ (3%; p = 0.001), and
‘instruction and advice’ (3%; p = 0.001). Smokers had a higher likelihood of receiving all
treatments; and were notably over four times more likely to receive ‘instruction and advice’
than non-smokers (OR 4.124; 95% CI: 3.088–5.508; p = 0.01). A further new finding from Data Availability Statement: All relevant data are
within the paper and its Supporting Information
files. Funding: KLW received funding from King’s
College London Dental Institute and University of
Portsmouth Dental Academy for a PhD studentship
to undertake this work. The funders had no role in
study design, data collection and analysis, decision
to publish, or preparation of the manuscript. Competing Interests: DRR is Director of Clinical
Studies for the Dental Students at UPDA, whilst
JEG leads Dental Public Health teaching across PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 1 / 17 PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Materials and Methods Ethical approval for this research was provided by NRES Committee Fulham REC: Reference
No. 11/LO/1138 Protocol No. NTMHWMOV3 and research governance approval by NHS
Portsmouth R&D Committee Reference No. SSPS/05/11. This research was conducted on patient care at the University of Portsmouth Dental Acad-
emy (UPDA), a state-funded NHS primary care service and training centre, where dental stu-
dents on community outreach, and UPDA dental hygiene-therapy students, learn together in
practice teams. There is a strong ethos on using the skill mix of the dental team and delivering
contemporary evidence-based primary care. For two out of the four years under study, patients
were treated at no cost. UPDA holds a dental contract with the NHS similar to practices across
England, which requires performance targets to be achieved annually. To manage patient care
the centre uses a live patient management system (Clinical +) developed by Carestream Lim-
ited [24,25], from which data for this study were extracted. The extracted data constituted courses of care, which had either been completed or closed
within the four-year period, including both emergency and planned care. Courses of care were
‘closed’ when patients failed to return for care but could not be distinguished from ‘completed’
courses in the system. The first two years involved dental hygiene-therapy students providing
care supported by general dental practitioners, whilst the latter two years involved team train-
ing between dental and dental hygiene-therapy students, with care provided free at the point
of delivery. The data were cleaned and validated using a combination of techniques adapted from
health services research and information technology [26–30]. The process identified data
inputting errors and software design problems. After data were cleaned a validation analysis
was undertaken to identify outliers and inconsistency in the data when compared to other
locally generated reports. Within the extracted data multiple courses of care were included and
each treatment received was linked to date of completion or closing of the care plan. This was
further linked to the patient’s age, sex, payment-exemption status, postcode and smoking sta-
tus. Smoking status was only available for patients who had been seen at least once in the two
latter years. Postcode data were transformed using the Indices of Multiple Deprivation (IMD)
to provide a contextual measure; area level deprivation. Dental Treatment and Predictors of Need social desirability biases common to surveys; an alternative research method [21]. In the USA,
dental claims data derived from patient management systems have been used to investigate pat-
terns in children’s oral health [22]. In Ireland, similar data have been used to describe national
trends in treatment requirements [23]. Whilst in the NHS in England, primary care data gener-
ated from these systems have been mainly used to monitor and negotiate contracts with provid-
ers, and only recently to predict future demand [11]. The literature to date is largely descriptive
in nature; therefore, leaving the analytical potential of dental data underexplored. Thus, there is
a need for research to mine routinely collected primary care data in order to understand pat-
terns of dental care and advance in this field of research. The objective of this study was to investigate the relationship between dental care received
and both individual (age, sex, adult payment status and smoking behaviour) and contextual
factors (deprivation in the patients’ immediate living environment) using routinely collected
patient management data. PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Introduction Information on
patient’s residence is also available, and when augmented with census data, can provide infor-
mation about the patients’ deprivation at area of residence [20], which represents a contextual
variable. Obtaining data from patient management systems eliminates recall, selection and PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 2 / 17 Dental Treatment and Predictors of Need [20]. Therefore, this was used as a measure of individual income deprivation in the analysis,
together with the variable for overall contextual area level deprivation—identified as a patient’s
quintile of deprivation–and derived from IMD [31]. Analysis was undertaken in five stages. First, descriptive analysis of patient demography
was undertaken to provide insight to the patient base. Second, analysis of all treatments
received and their rate of occurrence. Third, the five treatments with the highest volume of
activity were further analysed against the socio-demography of patients using unadjusted anal-
ysis and chi-square tests of significance; to examine differences in treatment rates by socio-
demography. The treatments included were i] ‘tooth restoration’, ii] ‘instruction and advice’
(information on brushing teeth and diet), iii] ‘scale and polish’, iv] ‘tooth extraction’, and v]
‘partial dentures’. For this unadjusted analysis, the age variable was converted to a categorical
variable of three groups (< 18 years, i.e. children), 18–64 years (working-age adults) and 65
years and over (older people). This was in order to validate the data through outlining expected
and established differences in cohort effect between these three sections of the population. Fourth, adjusted logistic regression was used to examine predictors of common treatments
while controlling for confounding variables. Five separate logistic regression models were
undertaken. This involved five sub-sets of data, one for each treatment. Each dataset consisted
of all adult patients, and the creation of a binary variable indicating whether they had or had
not received specific treatments. Only adult patients were included in the logistic regression
analysis to mitigate bias associated with non-fee-paying children. Age was then transformed to
a continuous variable for this adjusted logistic regression analysis, as this second analysis was
exploratory of adults only, and sought to investigate less established links between patient-age
of adults and the range of treatment types. Receiver Operator Curve (ROC) was used to vali-
date the models’ predictive power [0.5–0.6 weak; 0.6–0.7 fair; 0.8-and above strong model pre-
dicting power]. Fifth, and finally, multilevel modelling was undertaken. Logistic regression models which
had indicated existing associations with area level measures of deprivation of p<0.05 (quintile
of deprivation) were subjected to this analysis in order to establish whether there was grouping
at the level of residence that predicted care. Participants The patient management dataset comprised 6,351 patients that had received 147,417 treatment
procedures of care across 10,371 courses of care over the four-year study period [2008–2012]. All courses of care extracted were either completed or closed; the latter because the patient had
not returned to complete care. The majority were adult (82%), male (52.2%), and non-smokers
as shown in Table 1. The age range across the four-year period was 1–94 years and patients
from the most deprived quintile (23.3%) exceeded those from the least deprived (11.9%). LSOAs were selected as the grouping variable, as
this was the smallest aggregating variable available to be augmented to the data set [32]. This
multilevel analysis was able to extend the regression analysis to a situation where data were
hierarchical [33], and test the potential influence of unknown factors at the level of area of resi-
dence on health. Materials and Methods The latter is a measure used in England
to provide a relative measure of deprivation at Lower Level Super Output Area (LSOA), which
is an area of 1000–1500 households describing the cumulative deprivation score of individuals
in the area [31]. Payment-exemption status was used in the analysis; it has been shown to cor-
relate with income deprivation at the area level, but not overall deprivation at the area level PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 3 / 17 Patient related variables
Frequency
%
Adult exemption status (n = 5185)
Exempt adult
1,005
19.4
Non-exempt adult
4,180
80.6
Age groups (n = 6,351)
0–2yrs
85
1.3
3–5yrs
247
3.9
6–12yrs
541
8.5
13–17yrs
274
4.3
18–24yrs
1,211
19.1
25–34yrs
1,272
20
35–44yrss
1,008
15.9
45–54yrs
813
12.8
55–64yrs
494
7.8
65–74yrs
260
4.1
Over 75yrs
146
2.3
Quintile of deprivation (n = 6259)
Most deprived
1,477
23.3
2
1,318
20.8
3
1,414
22.3
4
1,314
20.7
Least deprived
736
11.6
Sex (n = 6,351)
Female
3,098
48.8
Male
3,253
52.2
Smoking status (n = 3436)
Non-smoker
2,803
81.6
Smoker
633
18.4
Note
n = 6,351 unless otherwise stated
Age groupings are based on state-funded banding
UPDA- University of Portsmouth Dental Academy
doi:10.1371/journal.pone.0169004.t001
PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017
5 / 17 Table 1. Individual and social characteristic of patients with closed/completed treatment plans between 2008/09 to 2011/12 academic years at
UPDA. Patient related variables
Frequency
%
Adult exemption status (n = 5185)
Exempt adult
1,005
19.4
Non-exempt adult
4,180
80.6
Age groups (n = 6,351)
0–2yrs
85
1.3
3–5yrs
247
3.9
6–12yrs
541
8.5
13–17yrs
274
4.3
18–24yrs
1,211
19.1
25–34yrs
1,272
20
35–44yrss
1,008
15.9
45–54yrs
813
12.8
55–64yrs
494
7.8
65–74yrs
260
4.1
Over 75yrs
146
2.3
Quintile of deprivation (n = 6259)
Most deprived
1,477
23.3
2
1,318
20.8
3
1,414
22.3
4
1,314
20.7
Least deprived
736
11.6
Sex (n = 6,351)
Female
3,098
48.8
Male
3,253
52.2
Smoking status (n = 3436)
Non-smoker
2,803
81.6
Smoker
633
18.4 cteristic of patients with closed/completed treatment plans between 2008/09 to 2011/12 academic years at Treatments and socio-demography Of the 147,417 treatments delivered, the five most frequently occurring were: ‘tooth restora-
tion’ (51.5%); ‘instruction and advice’ (49.2%); ‘scale and polish’ (38.7%); ‘tooth extraction’
(25.1%); and ‘partial dentures’ (5.1%). 4 / 17 PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Dental Treatment and Predictors of Need Unadjusted analysis (adults and children)
The results of the unadjusted analysis, which included adults and children (Table 2), suggest
that the proportion of patients receiving at least one ‘tooth restoration’ in the four-year period
significantly differed by age, sex and smoking status, but not by social factors (deprivation or
payment status). Older (65 years) and working age adults (18–64 years) had a higher rate of
‘tooth restoration’ (54.4% and 54.3% respectively), exceeding the volume amongst children
and young people (<18 years) (38%); p = 0.001. A higher proportion of males had received a
‘tooth restoration’ compared with females (54% cf 49%; p = 0.001). Interestingly, smokers had
a higher proportion of patients with ‘tooth restoration’ compared with non-smokers (67% cf
54%; p = 0.01). In contrast to the above, ‘instruction and advice’ had been received by a higher
proportion of adults who were non-exempt from payment compared with exempt (50.3% cf. 32.1%; p = 0.01. Similarly more adult patients from the least deprived areas compared with the
most deprived had received ‘instruction and advice’ (53.9 cf 46.1%; p = 0.003), whilst more
smokers had received ‘instruction and advice’ than non-smokers (90.2% cf 74.5%: p = 0.001). There was no significant difference in receipt of ‘instruction and advice’ by sex. A higher proportion of smokers had received ‘scale and polish’ than non-smokers (68.2% cf
47.7%; p = 0.001), as had a higher proportion of non-exempt than exempt adults (47% cf 34%;
p = 0.001). Analysis by deprivation status suggested that 47% of those from the least deprived
Table 1. Individual and social characteristic of patients with closed/completed treatment plans between 2008/09 to 2011/12 academic years at
UPDA. Unadjusted analysis (adults and children) The results of the unadjusted analysis, which included adults and children (Table 2), suggest
that the proportion of patients receiving at least one ‘tooth restoration’ in the four-year period
significantly differed by age, sex and smoking status, but not by social factors (deprivation or
payment status). Older (65 years) and working age adults (18–64 years) had a higher rate of
‘tooth restoration’ (54.4% and 54.3% respectively), exceeding the volume amongst children
and young people (<18 years) (38%); p = 0.001. A higher proportion of males had received a
‘tooth restoration’ compared with females (54% cf 49%; p = 0.001). Interestingly, smokers had
a higher proportion of patients with ‘tooth restoration’ compared with non-smokers (67% cf
54%; p = 0.01). In contrast to the above, ‘instruction and advice’ had been received by a higher
proportion of adults who were non-exempt from payment compared with exempt (50.3% cf. 32.1%; p = 0.01. Similarly more adult patients from the least deprived areas compared with the
most deprived had received ‘instruction and advice’ (53.9 cf 46.1%; p = 0.003), whilst more
smokers had received ‘instruction and advice’ than non-smokers (90.2% cf 74.5%: p = 0.001). There was no significant difference in receipt of ‘instruction and advice’ by sex. A higher proportion of smokers had received ‘scale and polish’ than non-smokers (68.2% cf
47.7%; p = 0.001), as had a higher proportion of non-exempt than exempt adults (47% cf 34%;
p = 0.001). Analysis by deprivation status suggested that 47% of those from the least deprived 5 / 17 PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Dental Treatment and Predictors of Need Table 2. Unadjusted model of proportion of patients who experienced a treatment by sociodemography between 2008/09 to 2011/12 academic
years at UPDA. Patient related variables
Never received treatment within four
academic years N (%)
Received treatment within four
academic years N(%)
P value
Tooth
restoration
Overall
3,083 (48.5)
3,268(51.5)
Adult payment status
(n = 5,185)
Exempt
475 (47.3)
530 (52.7)
0.236
Non-exempt
1,889 (45.2)
2291(54.8)
Age groups (n = 6,351)
Under 18
707 (61.6)
440 (38.4)
0.001*
18–64 years
2,209 (45.7)
2,629 (54.3)
Over 65
167 (45.6)
199 (54.4)
Sex (n = 6,351)
Female
1,576 (50.9)
1,522 (49.1)
Male
1,507 (46.3)
1,746 (53.7)
0.001*
Quintiles of deprivation in
PCT (n = 6,259)
Most
deprived1
741 (50.2)
736 (49.8)
0.139
2
657 (49.8)
661 (50.2)
3
684 (48.4)
730 (51.6)
4
600 (45.7)
714 (54.3)
Least
deprived 5
353 (48.0)
383 (52.0)
Smoking cessation
signposting (n = 3436)
No
1304 (46.5)
1499 (53.5)
0.001*
Yes
211(33.3)
422 (66.7)
Instruction and
advice
Overall
3,224 (50.8)
3,127(49.2)
Adult payment status
(n = 5,185)
Exempt
682 (67.9)
283 (32.1)
0.01*
Non-exempt
2,078 (49.7)
2,102 (50.3)
Age groups (n = 6,351)
Under 18
468 (40.8)
679 (59.2)
0.001*
18–64 years
2,597 (54.1)
2,201 (45.9)
Over 65
159 (39.2)
247 (60.8)
Sex (n = 6,351)
Female
1,584 (51.1)
1,514 (48.9)
0.293
Male
1,640 (50.4)
1,613 (49.6)
Quintiles of deprivation in
PCT (n = 6,259)
Most
deprived 1
796 (53.9)
681 (46.1)
0.003*
2
676 (51.3)
642 (48.7)
3
721 (51.0)
693 (49.0)
4
631 (48.0)
683 (52.0)
Least
deprived 5
339 (46.1)
397 (53.9)
Smoking status (n = 3436)
No
716 (25.5
2,087 (74.5)
0.001*
Yes
62 (9.8)
571 (90.2)
Scale and polish
Overall
3,890 (61.3)
2,461(38.7)
Adult payment status
(n = 5,185)
Exempt
662 (65.9)
343 (34.1)
0.001*
Non-exempt
2,199 (52.6)
1,981 (47.4)
Age groups (n = 6,351)
Under 18
1,028 (89.6)
119 (10.4)
0.001*
18–64 years
2,717 (56.2)
2,121 (43.8)
Over 65
145 (39.6)
221 (60.4)
Sex (n = 6,351)
Female
2,390 (77.1)
708 (22.9)
0.398
Male
1,998 (61.4)
1,255 (38.6)
Quintiles of deprivation in
PCT (n = 6,259)
Most
deprived 1
1,027 (69.5)
450 (30.5)
0.001*
2
775 (58.8)
543 (41.2)
3
841 (59.5)
573 (40.5)
(Continued) on of patients who experienced a treatment by sociodemography between 2008/09 to 2011/12 academic PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 6 / 17 quintile had received a ‘scale and polish’, compared with only 31% of those from the most
deprived quintile (p = 0.001). Adjusted analysis (adults only) Further analysis, involving adjusted regression modelling on adult patient data (n = 2,782;
70%), revealed an association between adult patient characteristics and treatment, controlling
for other variables. The partial denture model had the strongest predictive power
(ROC = 0.83) and tooth restoration the weakest (ROC 0.64), whilst the other models were
fairly good (ROC = 0.7). Each of the treatments is presented in Table 3 starting with the most
common, tooth restoration. Of the variables examined, ‘exemption from payment’ was the strongest predictor of ‘tooth
restoration’, with exempt adults being twice as likely as non-exempt to receive a ‘tooth restora-
tion’; (p = 0.001). There was a higher likelihood of receiving one or more restorations for
adults in the two most deprived groups than the least deprived (65%; p = 0.01 and 37%;
p = 0.012). Increasing adult age was associated with a higher likelihood of receiving any of the common
treatments. With each year of increasing age, adults were more likely to receive treatment as
follows: partial denture (7%; p = 0.01); ‘scale and polish’ (3.7%); ‘tooth extraction’ (3%;
p = 0.001) and ‘instruction and advice’ (3%; p = 0.001). Patients identified as smokers were more likely to require one or more of the spectrum of
treatments compared with non-smokers (p = 0.01); they were four times more likely to receive
‘instruction and advice’; three times more likely to receive a partial denture; twice as likely to
receive a ‘tooth extraction’, and just under twice as likely to receive a ‘scale and polish’ (x1.7)
and ‘tooth restoration’ (x1.5). Patients exempt from patient charges were more likely to have received one or more of the
following than those who pay charges: partial dentures (x2.6); ‘tooth restoration’ (x2); ‘instruc-
tion and advice’ (x2); ‘tooth extraction’ (x1.8); ‘scale and polish’ (x1.7). When compared with
the least deprived quintile, the most deprived were more likely to have received the following at
least once in the four-year period: tooth restoration (x1.7) and ‘tooth extraction’ (x1.5); how-
ever, they were less likely to have received a ‘scale and polish’ (x0.5) and ‘instruction and advice’
(x0.3). Females were 20% less likely to receive a tooth restoration’ (p = 0.02), and a ‘tooth
extraction’ (p = 0.012) than males. The influence of area deprivation on the multilevel model is presented in Table 4. Dental Treatment and Predictors of Need There was evidence of a higher rate of ‘tooth extraction’ amongst adults who were exempt
payment, older (65 years), male and from areas of higher deprivation (p = 0.001); provision
of this treatment showed a clear social gradient. Smokers were three times more likely to have received ‘partial dentures’ compared with
non-smokers (p = 0.001) and adults exempt payment were twice as likely to have received
them compared with non-exempt. Additionally, over five times more ‘older adults’ received
partial dentures compared with those of working age (26.5% cf 4.7%: p = 0.001). Adjusted analysis (adults only) When
individual level variables were added to the model, the co-efficient remained the same as those
presented in Table 3. Therefore Table 4 presents the null model of variance independently
associated with the area level variable (123 LSOAs). The model suggested that 2.8% (p = 0.01)
of the variance in proportion of patients who had received a ‘tooth extraction’ can be explained
by LSOA. For ‘scale and polish’ this increased to 3.6% (p = 0.01) and for ‘instruction and
advice’ 7% (p = 0.04). Dental Treatment and Predictors of Need Table 2. (Continued)
Patient related variables
Never received treatment within four
academic years N (%)
Received treatment within four
academic years N(%)
P value
4
792 (60.3)
522 (39.7)
Least
deprived 5
388 (52.7)
348 (47.3)
Smoking status (n = 3436)
No
1,466(52.3)
1337 (47.7)
0.001*
Yes
201 (31.8)
432 (68.2)
Tooth extraction
Overall
4754 (74.9)
1597 (25.1)
Adult Payment status
(n = 5,185)
Exempt
622 (61.9))
383 (38.1)
0.001*
Non-exempt
3,115 (74.5)
1,065(25.5)
Age groups (n = 6,351)
Under 18
1,002 (87.4))
145 (12.6)
0.001*
18–64 years
3,538 (73.1)
1,300 (26.9)
Over 65
214 (58.5)
152 (41.5)
Sex (n = 6,351)
Female
2,390 (77.1)
708 (22.9)
0.001*
Male
2,364 (72.7)
889 (27.3)
Quintiles of deprivation in
PCT (n = 6,259)
Most
deprived1
1,028 (69.6)
449 (30.4)
0.001*
2
982 (74.5)
336 (25.5)
3
1,086 (76.8)
328 (23.2)
4
1,014 (77.2)
300 (22.8)
Least
deprived 5
571 (77.6)
165 (22.4)
Smoking status (n = 3,436)
No
2,176 (77.6)
627 (22.4)
0.001*
Yes
382 (60.3)
251 (39.7)
Partial denture
Overall
6,027 (94.9)
324 (5.1)
Adult payment status
(n = 5,185)
Exempt
915(91)
90 (9)
Non-exempt
3,947 (94.4)
233 (5.6)
0.001*
Age groups (n = 6,351)
Under 18
1147(100)
0 (0)
0.001*
18–64 years
4,611 (95.3)
227 (4.7)
Over 65
269 (73.5)
97 (26.5)
Sex (n = 6,351)
Female
2,954 (94.5)
144 (4.6)
0.109
Male
3,073 (95.4)
180 (5.5)
Quintiles of deprivation (in
PCT) (n = 6,259)
Most
deprived 1
1,386 (93.8)
91 (6.2)
0.02*
2
1,248 (94.7)
70 (5.3)
3
1,343 (95.0)
71 (5.0)
4
1,269 (96.6)
45 (3.4)
Least
deprived 5
692 (94.0)
44 (6)
Smoking status (n = 3,436)
No
2,661 (94.9)
142 (5.1)
0.001*
Yes
545 (86.1)
88 (13.9) PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 7 / 17 Discussion This is the first study to model contemporary NHS patient management data from primary
dental care in England in order to predict clinical care. The findings demonstrate an 8 / 17 PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Dental Treatment and Predictors of Need Table 4. Multilevel regression models predicting treatments (Instruction and advice, ‘tooth extraction’ and ‘scale and polish’) by area of residence
within closed/ completed treatment plans between 2008/09 to 2011/12 academic years at UPDA (Null models of 123 LSOAs). Treatment
Null model
Variance Partition Coefficient
(VPC)
Instruction and
advice
Variance = 0.062 SE 0.024 (Wald 40.415, p = 0.0001). The β_0j = -0.263(0.041)
p = 0.0001. 0.07*
Tooth extraction
Variance = 0.097, SE 0.033 (Wald 4.229, p = 0.003). The β_0j = -0.194 (0.048);
p = 0.0001
0.028*
Scale and polish
Variance = 0.125, SE 0.034; Wald 12.505, p = 0.0001. The β_0j = -0.317 (0.048) p = 0.04
0.036* Table 4. Multilevel regression models predicting treatments (Instruction and advice, ‘tooth extraction’ and ‘scale and polish’) by area of residence
within closed/ completed treatment plans between 2008/09 to 2011/12 academic years at UPDA (Null models of 123 LSOAs). Treatment
Null model
Variance Partition Coefficient
(VPC)
Instruction and
advice
Variance = 0.062 SE 0.024 (Wald 40.415, p = 0.0001). The β_0j = -0.263(0.041)
p = 0.0001. 0.07*
Tooth extraction
Variance = 0.097, SE 0.033 (Wald 4.229, p = 0.003). The β_0j = -0.194 (0.048);
p = 0.0001
0.028*
Scale and polish
Variance = 0.125, SE 0.034; Wald 12.505, p = 0.0001. The β_0j = -0.317 (0.048) p = 0.04
0.036*
Note
n = 2,782
* marks statistically significant differences (p<0.05)
Total number of areas 123 Lower Super Output Areas (LSOAs)
doi:10.1371/journal.pone.0169004.t004 doi:10.1371/journal.pone.0169004.t004 association between treatment received and patients’ individual socio-demographic character-
istics (demography, smoking, payment status) and context (deprivation at patients’ area of res-
idence). These predictive relationships largely mirror population oral health needs from
national epidemiological surveys [3,4], with one notable exception: ‘instruction and advice’
which relates to prevention. The study provides evidence of increasing treatment need with
age, smoking, exemption from payment and deprivation status, all of which have implications
for health services planning and provision. p
g
p
This research has two important strengths. First, the use of patient management data pro-
vided valid accounts of the care provided, without patient recall or selection bias [21]. Second,
this is the first example of what is analytically possible with NHS patient management primary
dental care data and provides insight to the care delivered within a large educational primary
care facility. Dental Treatment and Predictors of Need Table 3. Adjusted logistic regression model predicting odds of treatment by patient characteristics between 2008/09 to 2011/12 academic years at
UPDA. Outcome (reference category in brackets$)
Predictor variable
Odds ratio
95% C.I. for Odds ratio
P value
ROC
Lower
Upper
Tooth restoration
Adult payment exemption
2.108
1.576
2.819
0.01*
0.6
Age
1.02
1.015
1.025
0.01*
(Quintile in PCT (5$)
Quintile in PCT(1)
1.655
1.274
2.151
0.01*
Quintile in PCT(2)
1.376
1.074
1.764
0.012*
Quintile in PCT(3)
1.145
0.904
1.449
0.262
Quintile in PCT(4)
1.086
0.862
1.368
0.483
(Male$)
Sex
0.832
0.712
0.971
0.02*
(Non-smoker$)
Smoking status
1.569
1.29
1.909
0.01*
Instruction and advice
Adult payment exemption
2.198
1.506
3.207
0.001*
0.7
Age
1.038
1.032
1.045
0.001*
(Quintile in PCT (5$)
Quintile in PCT(1)
0.371
0.256
0.536
0.001*
Quintile in PCT(2)
0.48
0.332
0.692
0.001*
Quintile in PCT(3)
0.54
0.376
0.776
0.001*
Quintile in PCT(4)
0.608
0.421
0.879
0.009*
(Male$)
Sex
1.192
0.993
1.43
0.059
(Non-smoker$)
Smoking status
4.124
3.088
5.508
0.001*
Scale and polish
Adult payment exemption
1.745
1.308
2.327
0.001*
0.7
Age
1.037
1.032
1.043
0.001*
(Quintile in PCT (5$)
Quintile in PCT(1)
0.512
0.379
0.692
0.001*
Quintile in PCT(2)
0.754
0.56
1.016
0.063
Quintile in PCT(3)
0.72
0.538
0.964
0.027*
Quintile in PCT(4)
0.818
0.608
1.101
0.185
(Male$)
Sex
1.039
0.885
1.219
0.642
(Non-smoker$)
Smoking status
1.737
1.421
2.124
0.001*
Tooth extraction
Adult payment exemption
1.815
1.38
2.388
0.001*
0.7
Age
1.033
1.028
1.039
0.001*
(Quintile in PCT (5$)
Quintile in PCT(1)
1.508
1.102
2.063
0.01*
Quintile in PCT(2)
0.997
0.727
1.367
0.983
Quintile in PCT(3)
0.994
0.728
1.355
0.968
Quintile in PCT(4)
1.002
0.731
1.374
0.989
(Male$)
Sex
0.8
0.672
0.953
0.012*
(Non-smoker$)
Smoking status
2.03
1.663
2.477
0.001*
Partial denture
Adult payment exemption
2.604
1.758
3.856
0.0001*
0.8
Age
1.075
1.065
1.085
0.0001*
(Quintile in PCT (5$)
Quintile in PCT(1)
1.087
0.655
1.802
0.748
Quintile in PCT(2)
0.813
0.484
1.365
0.433
Quintile in PCT(3)
0.927
0.561
1.531
0.767
Quintile in PCT(4)
0.704
0.412
1.205
0.201
(Male$)
Sex
0.941
0.695
1.268
0.688
(Non-smoker$)
Smoking status
3.142
2.277
4.337
0.0001*
Note edicting odds of treatment by patient characteristics between 2008/09 to 2011/12 academic years at Table 3. Adjusted logistic regression model predicting odds of treatment by patient characteristics betwee
UPDA 9 / 17 PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Dental Treatment and Predictors of Need socially deprived areas because of convenience. However, the use of area level measures can
help establish whether there are factors in a person’s environment that may impact on their
health. Furthermore, in this research, patient’s payment exemption status was used to provide
an individual-level description of economic status and mitigate against bias. Payment exemp-
tion provides an indication of income at the time of care [9], and in this data set has shown
good correlation to area level income deprivation [20]. However, as it includes pregnant and
nursing women, findings relating to this variable should be examined and interpreted by sex. The unadjusted model, which included children, confirmed differing patterns of care asso-
ciated with age in line with having longer retention of teeth by adults in England [4]. This
included older (65 years), and working age adults (18–64 years), having a higher rate of
‘tooth restoration’ (54.3% and 54.3% respectively), exceeding the volume amongst children
and young people under 18 years (38%; p = 0.001). Equally this analysis validated the data, as
expectedly children would not have denture treatment, and the results confirmed this with no
children having received dentures. In addition, the relationships between common risks to
oral health such as smoking, leading to increased dental need and thus the number of smokers
that received all treatments exceeded the average for the whole study population. All five adjusted models relating to adult dental care showed reasonably good predictive
capability. The first four, namely ‘tooth restoration’, ‘instruction and advice’, ‘scale and polish’
and ‘tooth extraction’ shared the same predictors: age, smoking status, payment exemption
and deprivation status. Sex was a predictor for just two of these treatment models: ‘tooth resto-
ration’ and ‘tooth extraction’. In contrast to the four most common treatments, the adjusted
model involving ‘partial dentures’ only included age and payment exemption as predictors. Specifically, these models confirm that older patients, smokers, adults exempt from pay-
ment and from an area of higher deprivation, in particular, are more likely to receive common
treatments. These findings may be explained by the patterns of need amongst adults described
by successive epidemiological surveys highlighting trends in dental caries and periodontal dis-
ease by age [4,40,41], sex [4,42], and socioeconomic status [4,43,44], greater tooth loss and reli-
ance on dentures in older people [4,45–47], and the contemporary approach to care within the
service [48]. PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 There were, however, a number of limitations related to the structure and amount
of information that could be extracted from the patient information system which need to be
addressed. First, it was not possible to obtain data on presenting complaints and baseline oral
health, as this information was recorded as free text, without any form of coding. Information
on presenting complaints or initial oral health status would have enriched the findings by pro-
viding a full picture of the pathway towards oral health; however, data processing develop-
ments in dentistry have not yet resulted in script that can extract written text [34,35]. Even so,
the data obtained were useful because of the system of practice in UPDA, which involved
agreement of care plans with the patient in common with NHS contracts; thus ensuring
expressed and normative needs were addressed in the treatment plans. In future, the use of
assessments such as International Caries Diagnosis and Assessment System (ICDAS) [36], and
Bleeding on Probing Indices (BPI), whereby the scores are recorded within the patient man-
agement system, would enable baseline oral health needs to be captured and prove useful for
analysis. Second, the data were cross-sectional data which, as with all such studies, restricted
analysis of temporality between treatments; for example, whether a patient was more likely to
receive a ‘tooth restoration’ after ‘instruction and advice’ or vice versa, and limit researchers’
ability to establish causality [37]. It also limited the comparability to national reports, which
identify treatment annually, or national surveys which provide evidence of treatment received
during the lifecourse [38]. This limitation is a feature of how data are stored in the administra-
tive system. It was, however, possible to ensure reliable accounts of receiving treatment within
the cross-sectional study period as the validity was tested against a sample of clinical records. Third, and finally, the limitation of IMD to account for individual level deprivation [39]; this
represents an average of the people living in an area and wealthier people may choose to live in PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 10 / 17 Dental Treatment and Predictors of Need restorative care; thus, requiring dentures to replace missing teeth. The influence of payment
exemption may be explained by the fact that payment removes the barrier to dentists deliver-
ing, and patients receiving, these more expensive treatment items of care. This facility delivered a full range of routine NHS primary dental care which involved
higher levels of preventive care in the form of ‘instruction and advice’ ‘fissure sealants’ and
‘fluoride varnish’ [58], than primary care nationally. Overall, almost half of the patients at
UPDA received prevention in the form of ‘instruction and advice’ and this high rate can be
explained by organisational philosophy, since UPDA is an educational institution which deliv-
ers contemporary care and embraces dental team skill mix [58]. Furthermore, this approach is
supported by an NHS contract [59], which includes key performance indicators including the
identification and direction of smokers to tobacco cessation services [60]. The latter explains
the higher receipt of ‘instruction and advice’ for smokers. In the past, prevention has been a
reflection of financial incentives [61], and poorly incentivised prevention has resulted in it
being relegated to lower priority [62–64]. Thus, there is evidence that ‘instruction and advice’
was prioritised amongst the adult smokers, suggesting that performance indicators may pro-
vide an incentive for change. The most controversial finding from the study, however, was that
adults from areas of higher deprivation were less likely to receive prevention in the form of
‘instruction and advice’ as their less deprived counterparts in the adjusted model; instead there
was a clear inverse social gradient in relation to need. This is surprising as the institutional phi-
losophy supported preventive care and high levels of prevention were delivered overall; how-
ever, additional factors such as individual practitioner and patient attitudes to the delivery and
receipt of care should be considered [62]. There is evidence that even when practitioners might wish to deliver prevention to those
who need it, most of these patients present late in the disease process and require emergency
care [62], with the majority failing to return for prevention. Equally there is evidence of high
needs patients having poor prioritisation of health care seeking [53], and of patients attending
for emergency care being less likely to receive prevention [65]. PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Socio-economic deprivation is well accepted as predicting self-reported dental
need [4,49], and higher requests for tooth extraction have been demonstrated among deprived
groups [50]. These findings suggest that in this state-funded health service, adults access care
when they are at social disadvantage. Smokers who were found to be between 1.5 and 4 times more likely to receive the treat-
ments are at increased need because smoking is a major risk factor for periodontal disease
[51,52], and there is evidence from other studies that smokers are more likely to attend the
dentist more symptomatically than non-smokers regardless of deprivation status [53]; thus,
they are more likely to require more treatment when they do attend. Differences by sex in the treatments received may be explained by health seeking behaviour
[54]. In this study female patients were 20% more likely to receive ‘tooth extraction’ and ‘tooth
restoration’. Additionally, the impact of payment exemption on treatment as the second stron-
gest predictor of care in most of the models, to smoking status, is worth further investigation. This relationship may partially be explained by its role as a proxy for income [20], and con-
firms the role of income inequality on oral health [55]. Whereas for males exemption from
payments is solely income-related, for females it also covers pregnant and nursing mothers,
thus questioning whether it can reliably be used as a proxy for income, an issue which should
be investigated further in national data. The association between partial dentures and age can be explained by patterns of tooth loss
[56], and the fact that tooth loss increases with age, older adults not having benefitted from
fluoride toothpaste in their earlier years [57], and having received more surgical than PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 11 / 17 It has to be remembered that
one of the limitations of this data set was the inability to differentiate between completed and
closed courses of care. Perhaps patients attending UPDA attended on an emergency basis
when it may be less acceptable to receive prevention and others who did not complete their
prescribed course of care missed out on preventive advice; thus, suggesting that the health
behaviours of patients may widen inequalities? Further research, subject to better coding being
possible within the patient management system, is required to examine the differences in care
between those who complete care and those who do not. This should ideally be supplemented
by exploring the views of such patients on what they want and don’t want from dental care
and why. Through the multilevel modelling this study suggests that within small residential areas
(LSOAs) there are further influences which explain 7% of the variance in proportions of ‘par-
tial dentures’, and 3% and 4% for ‘tooth extraction’ and ‘scale and polish’ respectively. This
may relate to the influence of peers and social norms, but is worth further investigation. These
findings parallel a study by Jamieson et al, who showed that variance in dental caries experi-
ence was associated with residence [35]. Further research examining the influence of local
environments is necessary to uncover protective and risk factors to oral health in the
environment. This research has a number of implications. First, it has highlighted the importance of max-
imising the use and enhancing the quality of routinely collected data and the need to improve
storage mechanisms to enable longitudinal analysis to further develop our understanding of
care patterns and health. This should include specific enhancement to ensure the inclusion of
relevant indices and coded data to provide patient baseline data, and in-time outcomes. 12 / 17 PLOS ONE | DOI:10.1371/journal.pone.0169004
January 24, 2017 Dental Treatment and Predictors of Need Second, these results provide insight into the provision and receipt of contemporary dental
care, and should inform discussions regarding performance indicators that target priority
groups such as smokers and future planning for our ageing population. Third, it could be
argued that despite a system of subsidised care, people from areas of high deprivation had
more extractions, and experienced inequality in prevention and restoration which is likely to
increase the gap in oral health between deprived and affluent sections of society. S1 Dataset.
(SAV) S1 Dataset. (SAV) The implica-
tion is that this inverse social gradient in relation to ‘instruction and advice’ must be investi-
gated further to explore the balance of patient, practitioner, organisational and system issues
to ensure that inequalities do not widen. There is also a need to identify factors that hamper or
encourage preventive care for adults, in order to fulfil the NHS priority to make every encoun-
ter count for prevention [66]. Fourth, the role of payment exemption requires further investi-
gation to understand whether this variable acts as a proxy for income deprivation over time,
particularly between the sexes. Fifth, and finally, further research is needed on environmental
factors that may contribute to dental care. Acknowledgments This research was funded through a PhD studentship supported by King’s College London
and the University of Portsmouth Dental Academy. We acknowledge the support of the Bio-
statistics Team at King’s College London Dental Institute [KCLDI] and University of Ports-
mouth Dental Academy [UPDA]. We also acknowledge the support of Dr Wael Sabbah in
commenting on the manuscript. Conclusion This is the first study to model patient management data from a state-funded dental service
and show that individual and contextual factors predict common treatments received. Implica-
tions of this research include the importance of making provision for our aging population
and ensuring that preventative care is available to all. Further research is required to explain
the interaction of organisational and system policies, practitioner and patient perspectives on
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January 24, 2017 Dental Treatment and Predictors of Need 17 / 17
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Comparison of Modified Ferriman-Gallwey Score and Biochemical Parameters in the Estimation of the Prevalence of Idiopathic Hirsutism Among Women in the Kurdistan Region
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BAGHDAD JOURNAL OF BIOCHEMISTRY AND
APPLIED BIOLOGICAL SCIENCES
ORIGINAL ARTICLE
2023, VOL. 4, NO. 3, 115-123, e-ISSN: 2706-9915, p-ISSN: 2706-9907
https://doi.org/10.47419/bjbabs.v4i03.259
Comparison of Modified Ferriman-Gallwey Score and
Biochemical Parameters in the Estimation of the
Prevalence of Idiopathic Hirsutism among Women in
the Kurdistan Region
Bushra Maree Jarallah1 , Hataw Adil Mohammed2 and Ayad Palani1
1
College of Medicine, University of Garmian, Kalar, Kurdistan region, Iraq
Department of Chemistry, College of Education, University of Garmian, Kalar, Kurdistan region, Iraq
2
ABSTRACT
The word ”hirsutism” describes the development of terminal hairs at
androgen-controlled body locations in women, which has distress and adverse
psychosocial effects. The diagnosis of hirsutism is a crucial point in the treatment of
unwanted hair growth in women’s bodies. The present study aimed to evaluate the
modified Ferriman-Gallwey (mFG) score and the biochemical hyperandrogenism
parameters among Iraqi hirsute women and their association with hirsutism in
outpatients’ clinics in Kalar city, Garmian region, Iraq. A case-control study of 100
hirsute and 26 healthy women was collected in Kalar City. After detailed history
taking by using a structured questionnaire, physical examination, and the relevant
investigations were done, the scoring of hirsutism was indexed according to (mFG)
scoring system.
Received 10-7-2023
Revised 10-8-2023
Accepted 12-8-2023
Published 29-9-2023
DOI https://doi.org/10.47419/
bjbabs.v4i03.259
Pages: 115-123
Distributed under
the terms of the Creative
Commons Attribution 4.0
International License (CC BY
4.0), which permits unrestricted
use, distribution, and
reproduction in any medium,
provided the original author and
source are properly cited.
Copyright: © 2023 The Authors
Moreover, sera of hormonal markers were measured, which included
17-hydroxyprogesterone (17-OHP), total testosterone (TT), free testosterone (FT),
dehydroepiandrosterone sulphate (DHEAs), s. prolactin, and thyroid stimulating
hormone (TSH). No statistically significant differences were found in the median of
the sex and related hormones between control subjects and the hirsutism group.
Likewise, there was no significant relation between hormonal markers and the rate
of hirsutism. An intrinsic statistical association was seen between the mFG score
with the hirsutism and the rate of hirsutism. Our findings imply that the mFG score
system is a significant screening tool and has tremendous importance and utility in
establishing the diagnosis of hirsutism.
Keywords Hirsutism, Sex hormones, PCOS, Prevalence, Etiology, Hyperandrogenism,
Modified Ferriman-Gallwey
How to cite this article: Maree Jarallah B, Adil Mohammed H, Palani A. Comparison of Modified Ferriman-Gallwey Score and
Biochemical Parameters in the Estimation of the Prevalence of Idiopathic Hirsutism Among Women in the Kurdistan Region.
Baghdad Journal of Biochemistry and Applied Biological Sciences, 2023;4(3): 115-123. doi: bjbabs.v4i03.259
115
Bushra, Maree Jarallah; et al.
Comparison of Modified Ferriman-Gallwey Score and Biochemical Parameters in the Estimation of the
Prevalence of Idiopathic Hirsutism among Women in the Kurdistan Region
INTRODUCTION
Hirsutism is the appearance of terminal hairs in females in a pattern resembling men’s,
affecting nearly 10% of women in most populations 1 , 2 Hirsutism is quite distressing for
women and adversely affects their psychosocial development. 3 Studies on quality of life have
shown that severe hirsutism has a substantial negative impact on social interactions, and
affiicted women often experience anxiety and depression symptoms. 4 The effects of ladies’
unwanted hair on their psychological and social well-being have long been acknowledged.
These may result from the social rejection experienced when defying social norms and the
time, effort, and financial commitment required for hair removal. 5
The majority of hirsutism instances are caused by hormonal disorders, including hyperandrogenism, polycystic ovarian syndrome (PCOS), thyroid disorders, nonclassical congenital adrenal hyperplasia, Cushing syndrome, etc.. 6 However, an increase in androgen
hormones is the most common cause among hirsute women7 . Different ethnicities, such
as India and the Mediterranean, have higher cutaneous expression of androgen excess and
are most likely to develop hirsutism 8 .
Idiopathic hirsutism (IH) is defined as the presence of hair without a known cause. It
represents about 10% of all cases of hirsutism and 50% of cases of mild hirsutism 9 . Different
reports recorded the Prevalence of IH in different countries (Figure 1), the global pool at
7.74%, Iran 15.8%, Spain 5.4%, Greece 29% 10 , Italy 6% 11 , Turkey 16% 12 , Alabama, USA
17% 13 .
Chart 1: Prevalence ratios of global pool and different countries worldwide
The diagnosis of hirsutism is often based on the clinical symptoms or the measurement of
serum androgens, such as free testosterone (FT), total testosterone (TT), dehydroepiandrosterone sulfate (DHEAs), dehydroepiandrosterone (DHEA), and androstenedione 14 . The
clinical symptoms are characterized by different conditions such as dark hair growth, amen-
Baghdad Journal of Biochemistry and Applied Biological Sciences, 4(3) | 2023 | https://doi.org/10.47419/bjbabs.v4i03.259
116
Bushra, Maree Jarallah; et al.
Comparison of Modified Ferriman-Gallwey Score and Biochemical Parameters in the Estimation of the
Prevalence of Idiopathic Hirsutism among Women in the Kurdistan Region
orrhea, deepening voice, acne, etc. Growth of excessive male-pattern hair is the main clinical symptom, and it is determined by using a modified Ferriman-Gallwey (mFG) scoring
system15 , 16 .
The gold standard for estimating the density of terminal hairs at nine distinct body locations is presently the (mFG) score 17 . The nine androgen-sensitive body areas include the
upper lip, chin, chest, upper and lower back, upper and lower abdomen, upper arm, and
thigh[14]. The threshold of total mFG score ≥8 for the definition of clinically significant
hirsutism with values of 8–15 for mild, 16–25 for moderate, and >25 for severe hirsutism 18
.
However, in the poor education communities, Hirsute women feel unfeminine and
embarrassed, showing the unwanted hair on their bodies, making the diagnosis difficult
for the physicians 19 . Hence, the diagnosis of hirsutism is often based on the obvious
clinical symptoms or the measurement of serum androgens 14 .
In the present study, the Prevalence of IH in Kurdish women was evaluated, and the
biochemical hyperandrogenism parameters and the modified Ferriman-Gallwey score were
also evaluated, to determine the common etiology and the most consistent method in the
diagnosis of hirsutism in Kurdish women with excessive hair growth.
MATERIALS AND METHODS
The following study included 100 hirsute women (age range 17-35 years) who attended
gynaecological clinics at Kalar city in the period of April (2019) to November (2020). In
addition, 26 women with no symptoms of hyperandrogenism were included as control subjects within the same ages. The different conditions may affect the hormone levels and may
contribute to hair growth; therefore, females with the following criteria were excluded in this
study: post-menopausal age chronic diseases, goitre, tumours, obesity, alcoholism, medication intake and cigarette smoking. All participants were asked to fill out a consent form to
participate in this study, which was approved by the research centre’s ethical approval committee (GRCEC0114). The mFG scoring system determined hirsutism. In this method, a
professional clinician scored nine different body sites (upper lip, chin, chest, upper back,
lower back, upper abdomen, lower abdomen, arm, and thigh) at her clinic. A score of 0
(absence of terminal hairs) to 4 (extensive terminal hair growth) was assigned in each area.
A score of over eight was considered as hirsutism.
For the hormonal assay, 5 ml of blood was collected from each participant. Samples were
centrifuged for 10 minutes at 4500 rpm, serum separated and split into small fractions, and
frozen at -20 ◦C for further analysis. Sex hormones, including free and total testosterone,
dehydroepiandrosterone sulfate, 17- hydroxyprogesterone and prolactin, in addition to thyroid stimulating hormone (TSH), were estimated using Cobas e411 (Roche, Germany).
Baghdad Journal of Biochemistry and Applied Biological Sciences, 4(3) | 2023 | https://doi.org/10.47419/bjbabs.v4i03.259
117
Bushra, Maree Jarallah; et al.
Comparison of Modified Ferriman-Gallwey Score and Biochemical Parameters in the Estimation of the
Prevalence of Idiopathic Hirsutism among Women in the Kurdistan Region
STATISTICAL ANALYSIS
The results were analyzed using GraphPad Prism software (Prism for Windows, version
8.0, Boston, MA 02110, USA). To compare the data, the student’s t-test was used to compare
two independent groups of variables. The analysis was performed with a one-way ANOVA
test for more than two groups. The results were expressed as mean ± standard deviation. Pvalue < 0.05 was accepted as statistically significant. Prevalence is expressed as a percentage,
calculated by multiplying the ratio of the disease by 10020 .
RESULTS
This study enrolled 100 women experiencing hirsutism, aged between 17 and 35 years.
Among the hirsute participants, 7 displayed slightly elevated total testosterone levels, 3
had high free testosterone, 24 exhibited elevated DHEAs, 8 showed increased prolactin,
20 had high TSH, and 8 had low TSH. No significant elevations were observed in total
testosterone and 17-OH progesterone levels. Additionally, 76 of the women experienced
irregular menstrual cycles, and 12 reported a deepening of voice. Conversely, 14 women
displayed normal hormone levels and no apparent clinical signs and were diagnosed as having idiopathic hirsutism (IH). However, comparing hormone data revealed no significant
differences between hirsute women and the healthy control group (Table 1).
Table 1. Blood hormone levels of hirsute and healthy control subjects
Parameters (Hormones)
17-OHP (ng/ml)
DHEAs (pg/ml)
S. prolactin (ng/ml)
F. testosterone (ng/ml)
T. testosterone (ng/dl)
TSH-1 (mIU/ml)
Patients Means±SD
1.431±0.713
368±175
18.70±9.02
1.99±1.13
0.338±0.404
3.24±2.57
Control Means±SD
1.310±0.494
325±154
38.8±97.5
2.74±2.03
0.453±0.710
3.88±2.50
P value
0.656
0.295
0.370
0.085
0.412
0.313
Dataareexpressedasthemean±standarddeviation(Means±SD).PvalueissignificantP<
0.05.
Moderate hirsutism score was detected in 45 women; their scores were between (1625), and 24 women had severe score results; their score outcomes were above 25. The outcomes based on the hirsutism score are displayed in Table 2. Depending on the hirsutism
rating and according to mFG score, our data illustrated that there were strong significant
differences between the control group, moderate, and severe hirsutism groups; scores were
(5.96±1.72, 14.08±2.68, and 23.50±3.87) sequentially; (P=0.000). However, the results
found no significant statistical difference in hormone levels among the three groups (P >
0.05).
(mFG)ismodifiedFerriman−Gallwey.
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Bushra, Maree Jarallah; et al.
Comparison of Modified Ferriman-Gallwey Score and Biochemical Parameters in the Estimation of the
Prevalence of Idiopathic Hirsutism among Women in the Kurdistan Region
Table 2. The studied markers according to the hirsutism score.
Parameters
mFG score
17-OH progesterone
DHEA
S. prolactin
F. testosterone
T. testosterone
TSH
Normal subjects
5.96±1.72
1.431±0.713
368±175
18.70±9.02
1.99±1.13
0.338±0.404
3.24±2.57
Hirsutism (Moderate)
14.08±2.68
1.23±0.66
374.7±168.5
20.05±10.11
1.99±1.02
0.362±0.492
3.15±2.46
Hirsutism (Severe)
23.50±3.87
1.71±0.73
355.9±189.1
16.54±6.67
1.98±1.31
0.293±0.150
3.41±2.86
P value
0.000
0.319
0.563
0.397
0.086
0.526
0.573
DISCUSSION
Hirsutism is the excessive development of thick, black hair in areas of the body where
female hair growth is often nonexistent or low. These male-pattern terminal hairs often
develop in androgen-stimulated areas, including the chin, chest, and face 21 , 22 . The psychological and social impact of hirsutism on women underscores the importance of accurate
diagnosis and effective treatment. Previous suggestions have pointed to idiopathic hirsutism
(IH) as the most prevalent cause of hirsutism, particularly within the Middle Eastern community where racial or idiopathic hirsutism was considered the primary aetiology 23 , 24 ;
the Prevalence of IH was assessed to be 5-15% in women of reproductive age in most populations 25 , 26, 27
Data of the 100 consecutive patients showed that 14% of the hirsute women were diagnosed as IH; this ratio is within the reported whole populations ratio and near the other
countries reported data, Iran 15.8%, Turkey 16% 12 , and Alabama, USA 17%.
It is uncertain which blood test most precisely represents the clinical situation and best
corresponds with the degree of hirsutism, even though several hormones have been related
to the condition28 . The androgen most often investigated in individuals with hirsutism is
testosterone 29 . However, the present study showed that DHEAs is the most important
androgen that may be useful in diagnosing hirsutism. Increased amounts of androgen hormones or higher sensitivity of hair follicles to these hormones may cause it, and it is often the
consequence of an underlying endocrine imbalance that may be central, ovarian, or adrenal
in origin28 .
Although data showed a non-significant difference in TSH between hirsute and normal
women, abnormal TSH levels contributed to 28% of all the included cases. The connection between thyroid dysfunction and the aetiology of hirsutism may be associated with the
link between thyroid diseases and polycystic ovarian syndrome (PCOS) 30 , 31 ; sufficient
data supports the assertion that the Prevalence of thyroid dysfunction is elevated in women
with polycystic ovarian syndrome (PCOS) 32 , our data also supports this argue. Polycystic
ovarian syndrome (PCOS), the most prevalent endocrine disorder, involves multiple dysfunctions associated with abnormal hair growth. The pathogenesis of PCOS is complex
and influenced by the biosynthesis of steroid hormones. In response to luteinizing hor-
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Bushra, Maree Jarallah; et al.
Comparison of Modified Ferriman-Gallwey Score and Biochemical Parameters in the Estimation of the
Prevalence of Idiopathic Hirsutism among Women in the Kurdistan Region
mone (LH) stimulation from the pituitary gland, ovarian theca cells generate androgens.
Cytochrome P-450c17, an enzyme with 17α-hydroxylase and 17,20-lyase activity, triggers
androstenedione production. Subsequently, this compound is converted into testosterone
by 17β-hydroxysteroid dehydrogenase or into estrone by aromatase. In individuals with
PCOS, there is a predisposition for the metabolic pathway favouring testosterone production at this step. 33
One of the study’s limitations is the small sample size, which may affect the precision of
the results. In addition, the diagnosis of PCOS using an ultrasound tool may be useful to
determine the most important physiological factor that may contribute to hirsutism. More
studies are needed to examine the effect of the changes in dietary habits, the pollution in
our weather, and their relation to this issue.
CONCLUSION
In conclusion, this study sheds light on the unique characteristics of hirsutism in the
Kurdistan region. Idiopathic hirsutism is a relatively uncommon aetiology of hirsutism in
Kurdish women; however, the issue presents a distinctive challenge in diagnosis. The utilization of mGF as a diagnostic tool emerges as a promising alternative to traditional blood
hormone estimation, offering potentially greater reliability in identifying and addressing
hirsutism.
Elevated androgen levels, notably associated with conditions such as polycystic ovary
syndrome (PCOS), remain a significant contributing factor. Additionally, the robust implication of thyroid dysfunction in hirsutism emphasizes the complexity of the underlying
aetiology.
LIST OF ABBREVIATIONS
ANOVA: Analysis of variance
DHEAs: dehydroepiandrosterone sulfate
DHEA: dehydroepiandrosterone
FT: free testosterone
IH: Idiopathic hirsutism
mFG: modified Ferriman-Gallwey
17-OHP: 17-hydroxyprogesterone
PCOS: Polycystic ovary syndrome
TT: Total testosterone
TSH: thyroid stimulating hormone
Baghdad Journal of Biochemistry and Applied Biological Sciences, 4(3) | 2023 | https://doi.org/10.47419/bjbabs.v4i03.259
120
Bushra, Maree Jarallah; et al.
Comparison of Modified Ferriman-Gallwey Score and Biochemical Parameters in the Estimation of the
Prevalence of Idiopathic Hirsutism among Women in the Kurdistan Region
DECLARATIONS:
Authors’ contributions:
Contributor Role
Conceptualization
Data curation
Funding acquisition
Investigation
Methodology
Project administration
Resources
Software
Supervision
Validation
Visualization
Writing-original draft
Writing-review & editing
Degree of Contribution
Lead Equal
BMJ, HAM , AP
BMJ, HAM, AP
BMJ, HAM, AP
BMJ, HAM, AP
BMJ ,HAM, AP
BMJ, HAM, AP
BMJ, HAM, AP
BMJ ,HAM, AP
BMJ, HAM, AP
BMJ, HAM, AP
BMJ, HAM, AP
BMJ, HAM, AP
BMJ, HAM, AP
BMJ, HAM, AP
Supporting
Conflict of interest: None
Ethical Approvals: The research was conducted in accordance with ethical standards
and guidelines, and any necessary approvals from institutional review boards or ethical
committees were obtained.
Funding Resources: None
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O mundo dos
antepassados e o
mundo dos vivos ritual de ukanyi na
mediação: um
ensaio sobre
ancestralidade no
Sul de
Moçambique1
The world of the
ancestors and the
world of the living ukanyi ritual in
mediation: an essay
on ancestry in
south of
Mozambique
Dulcídio Manuel Albuquerque Cossa
Universidade do Estado do Rio de Janeiro (UERJ)
dmacossa@gmail.com
DOI: https://doi.org/10.22481/odeere.v4i7.5370
1
O presente trabalho foi realizado com apoio do CNPq – Brasil,
no âmbito da pesquisa de doutorado e mestrado sob
orientação da Prof. Dra. Marcia Contins, no Programa de Pós-
RESUMO: O objetivo deste artigo é pensar como a
relação entre o mundo dos antepassados e o mundo dos
vivos se estabelece e se estrutura por intermédio do
ritual de ukanyi (um ritual realizado para o consumo da
bebida-ancestral-sagrada ukanyi). Proposta esta que
remete ao estudo e compreensão da religiosidade
tradicional africana, na qual se assenta a cosmovisão dos
africanos perpassada por um sistema de valores, crenças
e práticas bantu. Assim, o método etnográfico e a análise
situacional aparecem como alicerces para compreender
o fenômeno em causa. Considero o pressuposto de que
o ritual de ukanyi é uma cerimônia que permite a
exaltação dos antepassados, ativa e reativa valores,
crenças e práticas que fortalecem e revigoram a
religiosidade tradicional africana. Dessa forma, o mesmo
nos possibilita vivenciar e experimentar dois mundos
diferentes, dos vivos e dos mortos (antepassados).
Entendo que compreender a relação entre o mundo dos
vivos e dos antepassados é adentrar na forma como se
constituem as afrofilosofias que permitem tangenciar o
universo africano.
Palavras-chave: Ritual de ukanyi. Mundo dos vivos.
Mundo dos mortos. Antepassados.
ABSTRACT: The objective of this article is to think how
the relation between the world of the ancestors and the
world of the living ones is established and is structured
by means of the ukanyi ritual (a ritual realized for the
consumption of the drink-ancestral-sacred ukanyi). This
proposal refers to the study and understanding of
traditional african religiosity, which is based on the world
view of africans permeated by a system of bantu values,
beliefs and practices. Thus, the ethnographic method and
the extended case method appear as foundations to
understand the phenomenon in question. I consider the
assumption that the ukanyi ritual is a ceremony that
allows the exaltation of the ancestors, active and reactive
values, beliefs and practices that strengthen and
reinvigorate traditional african religiosity. In this way, it
enables us to living and experience two different worlds,
the living and the dead (ancestors). I understand that
understanding the relationship between the world of the
living and the ancestors is to penetrate the way in which
the afro-philosophies are constituted that allow us to
touch the african universe.
Keywords: Ukanyi Ritual. World of the living. World of
the dead. Ancestors.
Graduação em Ciências Sociais (PPCIS). Instituto de Ciências
Sociais (ICS). Departamento de Antropologia –
Universidade do Estado do Rio de Janeiro (UERJ).
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222
Introdução
Primeiramente, importa referir que este trabalho é resultado de uma pesquisa de doutorado
não acabada, mas em andamento. Uma pesquisa na qual, eu enquanto pesquisador negro, africano,
moçambicano sou atravessado pelo contexto pesquisado, o qual faço parte. E, portanto, o ritual em
causa (ritual de ukanyi/mhamba ya ukanyi) me é familiar desde a infância, o que pressupõe
implicações tanto acadêmicas como pessoais. Contudo, as mesmas não são o foco da minha análise
no presente artigo.
Entre os meses de janeiro e março, algumas comunidades das províncias de Maputo, Gaza e
Inhambane, na região Sul de Moçambique2, celebram a época de ukanyi. Época tradicionalmente
tida como Nguva ya ukanyi3, é o período em que se realiza uma série de rituais afins a ukanyi,
momento de efervescência coletiva, caracterizado por uma forte movimentação de pessoas
motivadas por esta série de cerimônias. Justamente é a ocasião em que a abundância de ukanyi
(bebida) e makanyi (frutos) se faz presente no cotidiano dos indivíduos. Assim, a época de ukanyi
vai desde a frutificação de makanyi, a coleta destes frutos, a produção da bebida ukanyi até a
realização dos rituais comuns à bebida e para a época.
Ukanyi4 é uma bebida tradicional-sagrada-ancestral produzida a partir dos frutos de uma
árvore (Marula), em Moçambique localmente conhecida como nkanyi, também denominada
canhueiro, e cientificamente conhecida como Sclerocarya birrea. É uma árvore fruteira que ocorre
em alguns países do continente africano tais como Moçambique, África do Sul, Namíbia, Suazilândia,
Zimbábue, Botsuana, na África Equatorial (entre a Etiópia e o Sudão, a Norte), entre outros.
Na África do Sul, os frutos do nkanyi são usados para produzir uma bebida de nome Amarula.
Na região Sul de Moçambique, sobretudo nas províncias de Maputo e Gaza (meus campos de
pesquisa), os frutos do nkanyi são conhecidos como makanyi (plural) ou kanyi (singular) e usados,
sobretudo, para a produção da bebida-ancestral-sagrada de nome ukanyi.
Ukanyi é uma bebida de pouco teor alcoólico e não é alucinógena. Pode ser consumido/a
por qualquer indivíduo de sexo masculino e/ou feminino sem discriminação de idade. Contudo, às
2
Moçambique, oficialmente designado República de Moçambique, com a sua capital Maputo (que foi chamada
Lourenço Marques durante a dominação portuguesa), localiza-se na costa oriental da África Austral, limitado a norte
pela Tanzânia, a noroeste pelo Malaui e Zâmbia, a oeste pelo Zimbábue, a leste pelo Canal de Moçambique e Oceano
Índico, e a sul e sudoeste pela África do Sul e Suazilândia. Tem uma área de 801.590 km² e uma população estimada em
20.069.738 habitantes (dados de 2007). Obteve a sua independência a 25 de Junho de 1975, após quase cinco séculos
de dominação colonial estrangeira imposta por Portugal. Faz parte da Comunidade dos Países de Língua Portuguesa.
Disponível em: < http://www.portaldogoverno.gov.mz/por/Mocambique>. Acesso em: 07 dez. de 2016.
3
Nome em xichangana, língua local, que significa época da bebida de canhú.
4
Nome em língua local (xichangana).
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crianças só se recomenda o suco de ukanyi ainda doce, que não tenha fermentado, ou seja, que não
tenha teor alcoólico.
As sementes de makanyi (concretamente as amêndoas) são chamadas de timongo em
xichangana e xirhonga5 e servem para usos diversos, como aproveitar o seu caroço, que é conotado
como tendo poder de fortalecer a virilidade masculina. Timongo também servem para produzir óleo
alimentar. Assim, timongo (amêndoas) e makanyi (frutos) detêm de um valor nutritivo.
Importa ressaltar que a difusão da árvore (nkanyi) no continente africano deu-se por
intermédio do povo bantu. Por ser um importante produto alimentar na dieta do povo bantu desde
os primórdios, eles levaram consigo as sementes em todas as suas peregrinações, que eram
utilizadas, entre outras coisas, para a prática dos jogos de covas. Além disso, o fruto constitui uma
boa fonte de alimentação, pois é rico em gorduras e proteínas. Nos dias atuais, a polpa ainda pode
ser usada para a fabricação de etanol. O chá das flores também auxilia no tratamento da indigestão
alimentar. O caroço é utilizado na África do Sul para se fazer um óleo que serve como protetor da
pele. Em Moçambique, o caroço também é utilizado para se praticar os jogos de covas. Na medicina
tradicional dos antepassados moçambicanos, a casca interna do nkanyi (canhoeiro) era usada para
tratamento da malária, tosse, aftas, hemorróidas e no alívio às picadas de escorpiões e cobras. A
raiz é usada para o tratamento de diarréias. O chá produzido pelas folhas é usado para o tratamento
de indigestão e dores de ouvido6.
Esta bebida (ukanyi) é geralmente produzida por mulheres, tanto no contexto rural (como
Macuane) bem como no contexto tendencialmente urbano (como Marracuene), ambos os espaços
que são meus campos de pesquisa. O envolvimento dos homens no processo de produção não é
comum, visto que, durante a época de ukanyi, os homens envolvem-se em outras atividades
relativas ao ritual de ukanyi. Assim, no processo do ritual de ukanyi, as atividades são divididas de
acordo com o gênero.
A produção da bebida ancestral-sagrada ukanyi é um processo que leva alguns dias até que
esta fique pronta. Deste modo, quando chega a época de ukanyi e se aproxima uma cerimônia de
consumo de ukanyi, as mulheres reúnem-se em grupos para começar a apanha/recolha de makanyi
(frutos de nkanyi – canhueiro) para a produção da bebida sagrada. Recolhidos os frutos do
conhueiro, são juntados num único lugar e daí as mulheres decidem em consenso um dia para elas
5
Ambas línguas do Sul de Moçambique.
PEREIRA, Rinaldo. Pontencialidades do jogo africano Mancala IV para o campo da educação matemática, história e
cultura africana. 2016. 337f. Tese (Doutorado em Educação) - Faculdade de Educação, Universidade Federal do Ceará,
Fortaleza, 2016.
6
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em conjunto prepararem a bebida.
Chegado o dia da produção da bebida, as mulheres furam makanyi com ajuda de objetos
pontiagudos, tais como facas e garfos e juntam-nos num recipiente maior, tradicionalmente o
recipiente usado para tal é chamado de khuwane7 e na falta deste, sobretudo nos dias de hoje, usase também o tambor, geralmente plástico. No khuwane, junto à makanyi, vai um pouco de água e
faz-se a mistura.
Feito isso, espreme-se makanyi, deixando ficar apenas o seu suco no pote (khuwane) por um
dia para que fermente, isto no primeiro dia. Já no segundo dia, quando ukanyi está fermentado,
espreme-se mais makanyi para que ukanyi fermentado se junte ao suco doce de makanyi recémespremido e deixa-se ficar mais um dia. E só no terceiro dia, ukanyi é considerado pronto para ser
bebido e para se fazer a festa ritual. Porém, antes da fermentação, o suco doce de ukanyi é
reservado para as crianças e outras pessoas que não consumam bebidas alcoólicas.
É também tarefa das mulheres confeccionar os alimentos a serem consumidos na cerimônia,
e como geralmente a época de ukanyi coincide com a época de colheita, são comuns os pratos
tradicionais com sacrifícios de animais. Neste caso, por outro lado, os homens se responsabilizam
por sacrificar tais animais.
A etapa da preparação do ritual de ukanyi é, no entanto, um dos momentos em que homens
e mulheres por meio das conversas compartilham seus conhecimentos, suas vivências e as
experiências do seu cotidiano, e mais ainda, é um período no qual estes encontram-se mais
próximos uns dos outros, unidos pela mesma causa – a celebração da festa ritualística.
Desde o início ou desde a etapa da preparação do ritual de ukanyi, tanto as mulheres quanto
os homens vão criando e estabelecendo uma rede de relações presentes nas interações sociais que
lhes são sujeitos pela divisão social do trabalho, como diria Durkheim8. É interagindo uns com os
outros originando um entrelaçamento forte de relações sociais que se garante o sucesso do ritual
de ukanyi bem como da época em geral. E ao fazer isso, parafraseando Garfinkel9, vão criando uma
ordem negociada, temporária, frágil que deve ser permanentemente reconstruída. Portanto, essa
etapa permite que haja uma interação por via de canções e de conversas que vão sendo tecidas em
torno do cotidiano fazendo com que seja um momento de manutenção das relações sociais por
7
Khuwane é o nome atribuído ao pote de barro usado para conservar ukanyi. Não é de uso exclusivo para a conservação
de ukanyi, pois pode ser usado também para conservar água.
8
DURKHEIM, Émile. A divisão social do trabalho. Rio de Janeiro: Martins Fontes, 2000.
9
GARFINKEL, Harold. Estudos da etnometodologia. Cambridge: Polity presse, 1967.
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excelência10.
No local do ritual, homens sentam-se de um lado e as mulheres de outro. Ukanyi é colocado
em potes de barro denominados khuwane e ao lado dos potes vão os alguidares de barro chamados
lihisu11, onde são conservadas as cabaças ndzheko12 usadas para servir e beber ukanyi. No final do
ritual os alguidares são usados para conservar o hongwe13, o qual constitui a bebida que fica no
fundo do pote. Acredita-se que o alto teor afrodisíaco de ukanyi está mais concentrado no hongwe,
já que tem o poder de fortalecer a potência sexual, daí que, reza a tradição que o hongwe só deve
ser consumido por indivíduos que tenham parceiros, sobretudo homens, na tentativa de evitar
situações de adultério ou traição. Segundo as crenças locais, ukanyi é uma bebida que detém de um
poder afrodisíaco, poder esse que é ancestral.
Para manter o ritual de ukanyi mais animado, o mesmo é sistematicamente acompanhado
de canções folclóricas, embaladas ao ritmo de palmas, que retratam o cotidiano dos indivíduos. Os
cânticos são simultaneamente acompanhados de danças tradicionais, entretanto, tanto estas
(danças) como aqueles (cânticos), mais do que animar, são mecanismos legitimadores das
interações sociais estabelecidas, uma vez que pressupõem uma relação entre quem as canta e dança
e quem as acompanha. E mais ainda, parte das canções e danças do ritual faz referência aos
antepassados.
Este artigo é decorrente de constatações feitas durante o meu trabalho de campo a quando
da minha formação de mestrado, entre o ano de 2015 e 2017. Campo esse que continuo explorando
atualmente no doutorado. É uma tentativa de refletir o campo da religiosidade africana por meio
de sua dimensão sensível e por isso, se calhar mais complexa, que é a relação entre os vivos e os
mortos. Portanto, me proponho a pensar em como a relação entre o mundo dos vivos e o mundo
dos mortos se estabelece e se estrutura através do ritual de ukanyi. Assim, o método etnográfico e
a análise situacional aparecem como alicerces para compreender o fenômeno em causa,
entrelaçando-o a perspectivas de alguns teóricos.
O ritual de ukanyi seria, então, uma cerimônia festiva que se organiza no Sul de
Moçambique, com mais incidência para as províncias de Maputo e Gaza, com o intuito de consumir
esta bebida tradicional-sagrada-ancestral ukanyi que marca a época de colheita e que revigora o
10
COSSA, Dulcídio. Mhamba ya ukanyi (O ritual de ukanyi): uma tradição na modernidade – entrelaçamentos do rural e
urbano. 2017. 196 f. Dissertação (Mestrado em Ciências Sociais) – Instituto de Ciências Sociais, Universidade do Estado
do Rio de Janeiro, Rio de Janeiro, 2017.
11
Nome em língua local (xichangana) atribuído ao alguidar que conserva ndzheko e hongwe.
12
Nome em língua local (xichangana) atribuído as cabaças usadas para beber ukanyi.
13
Nome em língua local (xichangana) atribuído à parte mais densa de ukanyi onde existe a maior concentração do teor
afrodisíaco desta bebida tradicional.
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convívio com os antepassados.
Este ritual se constitui em três etapas: kuhawula mindzheko (ritual de abertura), xikuwha
(auge/ápice do ritual) e kuhayeka mindzheko (ritual de encerramento). Portanto, cumprir com estas
três etapas implica passar pelos momentos que Van Gennep14 e Turner15 denominaram de
separação (kuhawula mindzheko), liminaridade (xikuwha) e de reagregação (kuhayeka mindzheko),
completando assim o ciclo do ritual de ukanyi.
O ritual de ukanyi começa por uma etapa, um ritual denominado kuhawula mindzheko16,
onde se realiza um outro rito denominado kuphahla (rito de invocação dos antepassados), que
segundo os meus interlocutores é o momento em que se anuncia a abertura oficial da época de
ukanyi e a partir deste ato fica liberado o seu consumo, o que significa ser expressamente proibido
a sua ingestão antes de realizado o ritual sob o risco de ser penalizada a pessoa que eventualmente
transgredir esta regra.
Kuhawula mindzheko é o período em que se anuncia aos antepassados a chegada da época
de ukanyi e que se roga aos mesmos para o sucesso desta. Não se pode beber ukanyi sem antes
comunicá-los17, sob risco de profanar, não só a bebida, mas também os antepassados. Estas
proibições levam a pensar num conjunto de normas que condicionam a realização do ritual e
orientam a conduta dos indivíduos e consequentemente nos remetem a questões jurídicas, ou seja,
ao que chamaríamos de direito intercultural, aqui relacionado ao conjunto de normas
tradicionalmente instituídas ou institucionalizadas que regem um grupo ou grupos de indivíduos.
Cumprido o kuhawula mindzheko e posteriormente liberado o consumo de ukanyi vem a
outra etapa: a grande festa ou o auge do ritual de ukanyi, denominado xikuwha. Este é o momento
mais alto da festa tradicional popular de ukanyi, o qual simboliza o encontro entre os membros de
uma comunidade ou de várias comunidades. Portanto, é a celebração em que os sujeitos
confraternizam, convivem e interagem uns com os outros celebrando a época de ukanyi18.
Entretanto, não é simplesmente uma reunião entre os indivíduos, mas um encontro destes
com os antepassados por via de alguns atos rituais, como o kuphahla19, tido com uma prática
presente em todos os rituais de ukanyi e em todas as etapas do ciclo da época de ukanyi. Mais do
14
VAN GENNEP, Arnold. Os ritos de passagem. Petrópolis: Editora Vozes, 2011.
TURNER, Victor. O Processo Ritual: Estrutura e Anti-Estrutura. Petrópolis: Editora Vozes, 2013.
16
Nome atribuído a este ritual em língua local (xichangana).
17
COSSA, Dulcídio. Mhamba ya ukanyi (O ritual de ukanyi): uma tradição na modernidade – entrelaçamentos do rural
e urbano. 2017. 196 f. Dissertação (Mestrado em Ciências Sociais) – Instituto de Ciências Sociais, Universidade do Estado
do Rio de Janeiro, Rio de Janeiro, 2017.
18
Ibidem.
19
Nome em língua local (xi changana) atribuído ao ritual de invocação dos ancestrais.
15
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que para invocar os antepassados existe também a crença comum de que kuphahla é o meio através
do qual estes bebem e desfrutam do ukanyi e mantêm-se presentes no ritual.
Portanto, estas crenças são comportamentos de senso comum que segundo Garfinkel20 são
os constituintes necessários de todo o comportamento socialmente organizado. E, é assim que os
sujeitos vêem, descrevem e propõem em conjunto uma definição da situação social do ritual21.
Após o xikuwha, realiza-se um último ato ritual: kuhayeka mindzheko22, esta é a etapa na
qual se anuncia aos antepassados o fim da época de ukanyi e em que se presta agradecimento aos
ancestrais pelo sucesso da época ou faz-se a exposição dos dissabores ocorridos, pedindo para que
não se repitam em situações vindouras.
Deste modo, quando chega a época de ukanyi, o Sul de Moçambique literalmente pára, a
fim de vivenciar e testemunhar esse momento, reverenciando assim os antepassados. Ressaltar que
todo o processo ritual de ukanyi dura cerca de três a quatro meses, de dezembro/janeiro a março,
que geralmente constitui o período de abundância de ukanyi.
Importa também afirmar que o ritual de ukanyi é geralmente dirigido pelo líder local que é
o superior hierárquico e representante da comunidade, conhecido tradicionalmente como mukhulu
ou hosi (chefe), sendo este o primeiro a beber ukanyi e intermedia a comunicação com os
antepassados através dos rituais de invocação.
A cerimônia é dirigida em língua local xichangana para o caso de Macuane e xirhonga em
Marracuene, por sinal estas são as línguas mais fluentes durante o ritual, uma vez que constituem
os idiomas nativos destes contextos sociais. Na etnometodologia de Garfinkel23 esses idiomas
equivaleriam à indicialidade, segundo a qual, a vida social se constitui através da linguagem da vida
de todos os dias, tendo em vista que as expressões indiciais, neste caso de xichangana e xirhonga,
tiram o seu sentido do próprio contexto social. Ademais, falar xichangana e/ou xirhonga implica
domínio da linguagem institucional comum, que é um elemento fundamental para que os indivíduos
se sintam ou sejam considerados membros da comunidade, pois a noção de membro não se refere
a pertença social, mas ao domínio da linguagem natural, atendendo e considerando o contexto
social24. Destarte, o ritual de ukanyi é também um momento de valorização, revitalização e
20
GARFINKEL, Harold. Estudos da etnometodologia. Cambridge: Polity presse, 1967.
COSSA, Dulcídio. Mhamba ya ukanyi (O ritual de ukanyi): uma tradição na modernidade – entrelaçamentos do rural e
urbano. 2017. 196 f. Dissertação (Mestrado em Ciências Sociais) – Instituto de Ciências Sociais, Universidade do Estado
do Rio de Janeiro, Rio de Janeiro, 2017.
22
Nome atribuído a este ritual em língua local (xichangana).
23
GARFINKEL, Harold. Estudos da etnometodologia. Cambridge: Polity presse, 1967.
24
COSSA, Dulcídio. Mhamba ya ukanyi (O ritual de ukanyi): uma tradição na modernidade – entrelaçamentos do rural e
urbano. 2017. 196 f. Dissertação (Mestrado em Ciências Sociais) – Instituto de Ciências Sociais, Universidade do Estado
do Rio de Janeiro, Rio de Janeiro, 2017.
21
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afirmação da língua tradicional ou local, ao mesmo tempo que vai sendo intercalada com o
português.
As situações sociais aqui narradas decorreram em Moçambique, na província de Gaza,
distrito de Bilene, concretamente em Macuane, interior do distrito – região Sul do país. E em
Marracuene, distrito também situado no Sul do país, na província de Maputo. Macuane é um posto
administrativo que integra as localidades de Chichango, Macuane e Tuane Oriental25 e faz parte dos
seis postos administrativos que compõem o distrito de Bilene, de entre os quais: Chissano, Macia,
Mazivila, Messano e Praia do Bilene. Enquanto que Marracuene, a sua sede é a Vila de Marracuene
e está dividido em dois postos administrativos: Machubo e Marracuene.
A escolha dos campos de pesquisa deveu-se a necessidade de permitir uma análise que
relacionasse a manifestação deste mesmo ritual (de princípio de origem rural) em dois contextos
diferentes, o que ampliaria mais a visão sobre a compreensão do objeto. Sendo Macuane um espaço
rural e Marracuene, urbano.
Assim, procurarei primeiro, por via de algumas situações sociais26 vividas durante o meu
trabalho de campo, debruçar-me sobre certos elementos que nos sugerem ao tema aqui proposto,
para de seguida articulá-los com algumas abordagens teóricas de autores que se dedicaram ao
estudo da relação entre o mundo visível e o mundo invisível.
Diante a suma importância que os mortos revelam ter para os vivos em Macuane e
Marracuene e das lacunas que os autores não deram conta nos estudos sobre a relação entre o
mundo visível e o mundo invisível, proponho-me a empreender uma análise que permita a partir do
ritual de ukanyi (mhamba ya ukanyi) aprofundar a compreensão da relação entre estes mundos tão
“distantes” quanto “próximos”.
Ritual de ukanyi mediando entre o mundo dos antepassados e o mundo dos vivos
Pelo que se pôde notar do trabalho de campo feito e da discussão que tenho sugerido, o
ritual de ukanyi estabelece uma série de mediações socioculturais decorrentes de inúmeras
oposições. Assim, dentre elas, urge a necessidade de aprofundar e compreender a mediação entre
o mundo dos vivos e o mundo dos mortos, que decorre de oposições que se manifestam nas práticas
25
Disponível em “http://pt.wikipedia.org/w/index.php?title=Bilene_Macia_(distrito)&oldid=27509127” Acessado em:
2 Abr. 2012.
26
GLUCKMAN, Max. Custom and Conflit in Africa. Oxford: Blackwell, 1995. Uso a categoria “situações sociais” como
referência a Gluckman em seu “método de análise situacional” usado, sobretudo, em seu ensaio Análise de uma
situação social na Zululândia moderna.
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do cotidiano dos indivíduos de Macuane e Marracuene. Estas práticas envolvem formas de agir,
pensar e sentir dos indivíduos, que visivelmente emergem no ritual de ukanyi (mhamba ya ukanyi),
ou na época do ritual (nguva ya ukanyi). E estas práticas perfazem o sistema de religiosidade
tradicional africana, particularmente de Macuane e Marracuene. Portanto, esta oposição está
praticamente patente em todo o ciclo ritual da festa de ukanyi.
Deste modo, é imprescindível tecer algumas considerações sobre como é que o ritual de
ukanyi estabelece a mediação entre o mundo dos vivos e o mundo dos mortos. Para isso, remeto a
análise a uma situação específica do meu trabalho de campo.
A quando da minha ida a Macuane, onde ia presenciar o ritual kuhayeka mindzheko, que
seria a festa de encerramento do ciclo da época de ukanyi e que, por sinal, decorreria na casa da
família real27 Cossa/Khosa, vivenciei uma situação que me despertou bastante atenção. O fato é
que, chegado ao local, reinava um ambiente muito calmo naquele espaço, todos conversavam em
voz baixa, ou quase não conversavam; os anciãos concentrados com o mukhulu/hosi (chefe) falavam
bem baixinho. Era um ambiente melancólico e atípico, se comparado aos que tínhamos vivido em
outras sessões de ukanyi.
Eis que um ancião toma a palavra e anuncia a morte de um membro da comunidade, por
sinal, vizinha da família real, o que justificava a ausência de um dos mestres de cerimônias que
habitualmente se fazia presente nas sessões de ukanyi, pois era parente da malograda. Tratava-se
de uma anciã que teria sucumbido de uma doença. A comunidade de Macuane estava de luto.
Desse modo, acordou-se em consenso que a cerimônia não decorreria de acordo com o
protocolo tradicional habitual. Ou seja, não havia condições de realizar o ritual kuhayeka mindzheko
naquele dia, pois este é um ritual festivo, porque marca o fim de uma época que deve ser celebrada
e aclamada. Entretanto, o ambiente instalado na comunidade era de luto e não de festa.
Consequentemente, o ritual kuhayeka mindzheko foi remarcado para outro dia adequado. Não
obstante, como a bebida sagrada já tinha sido preparada e não podia ser deixada para outro dia,
sob risco de se estragar, e os participantes estavam presentes em massa, o hosi/mukhulu (chefe)
Cossa decidiu anunciar que se devia beber ukanyi até que acabasse, mas num ambiente tranquilo,
de calma, sem canções nem dança, sem palmas nem gritos, absoluto silêncio como forma de honrar
a memória da malograda/finada. E a partir daí os participantes do ritual começaram a se mobilizar
no sentido de tomar conta do sucedido.
27
A família real, no caso de Moçambique, seria aquela dos líderes locais conhecidos no Sul do país, e particularmente
em Macuane e Marracuene como mukhulu ou hosi, que representam a autoridade tradicional. Líderes que a partir do
período colonial foram denominados “régulos”. A sucessão de liderança é passada de geração para geração por herança
no seio da família real.
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Aquele ambiente de luto, de melancolia, todo aquele conjunto de fatos era o campo
tentando me revelar algo sobre a estrutura social de Macuane, ou seja, aquela situação desvendava
a forma como a rede de solidariedade funciona na comunidade de Macuane, pois, com aquela
morte na comunidade, acionara-se o espírito de comunalismo28 e de respeito ao próximo, neste
caso à família enlutada. E mais, a coincidência da morte da anciã justamente no dia da realização do
ritual ancestral era entendida também como uma benção para a malograda, pois decorrida num dia
de exaltação dos antepassados.
Ora, este respeito ao próximo revela-nos não só o respeito que se tem com os vivos, mas,
sobretudo, a relação que se tem com os mortos, neste caso concreto a malograda anciã que do
mundo dos vivos partiu para o dos mortos, passando a pertencer ao mundo dos antepassados de
Macuane pela sua importância na comunidade como detentora da sabedoria popular, pois reina
naquele contexto uma crença segundo a qual os anciãos são bibliotecas vivas, estes portam o
conhecimento sobre os valores da comunidade e do mundo. De salientar que, acredita-se que os
antepassados se mantêm presentes no cotidiano dos indivíduos na comunidade.
Por conseguinte, isto implica que na comunidade de Macuane existe uma estrita ligação
entre o mundo dos vivos e o mundo dos mortos (antepassados), ligação essa que remete a uma
relação, na qual ambos os mundos interagem continuamente, razão pela qual quando se bebe
ukanyi deita-se parte da bebida para o chão como forma de dar de beber aos antepassados. E
quando se faz a abertura da época de ukanyi realiza-se um ritual denominado Kuphahla, no qual os
antepassados são invocados para abençoar a época e liberar o consumo de ukanyi. E, no final da
época, realiza-se de novo o ritual em que os antepassados são novamente invocados para dá-los o
relatório da época de ukanyi e agradecê-los pela mesma, sinal de que os antepassados se fazem
presentes no ritual de ukanyi e no cotidiano dos macuaneses assim como dos marracueneses, visto
que em Marracuene também se realiza.
Kuphahla é o marco da fase inicial de todo o processo e o momento principal para dar partida
à época de ukanyi, tradicionalmente denominada nguva ya ukanyi29, pois é neste ritual em que o
líder tradicional hosi/mukhulu (patriarca) anuncia aos antepassados que a época de ukanyi está a
começar. E assim, com este ritual, o mesmo pede autorização aos ancestrais para permitir o início
da época e, ao mesmo tempo, pede para que os antepassados abençoem a época. Faz-se o anúncio
do balanço da vida da comunidade, das suas intempéries, suas conquistas e roga-se para que haja
mais produtividade, sobretudo na colheita. Por outro lado, é o marco do fim da época de ukanyi,
28
29
Uso o termo para fazer referência a um espírito de convivência em comunhão.
Expressão em xichangana, que significa época de ukanyi.
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pois kuphahla aparece também como forma de agradecer aos antepassados por mais uma festa de
ukanyi.
Kuphahla é o meio pelo qual se invoca os antepassados. Entretanto, mais do que para
invocar os ancestrais, existe também a crença comum de que o mesmo é o meio pelo qual os
ancestrais bebem e desfrutam do ukanyi e mantêm-se presentes no ritual. Estas crenças são
comportamentos de senso comum que, segundo Garfinkel30, são os constituintes necessários de
todo o comportamento socialmente organizado, e é assim que os indivíduos vêem, descrevem e
propõem em conjunto uma definição da situação social do ritual de ukanyi e do cotidiano em
Macuane e Marracuene.
Mas, qual é o significado da morte nas tradições africanas? O que é o antepassado? O que
ele representa? Qual a sua relação com o mundo dos vivos?
Segundo Altuna31:
A morte pode ser definida como separação (como ruptura do equilíbrio) dos elementos
constitutivos, seguida duma destruição imediata ou progressiva, total ou parcial, de certos
elementos, enquanto que os outros são promovidos a um novo destino. [...] Apresenta-se
assim como a “destruição do todo” (a pessoa), da sua unidade e harmonia, mas nunca é
“destruição de tudo”.
Com a morte, parte da pessoa deixa de existir para sempre, finaliza a realidade humana e a
sua plenitude32. Traz o fim do existir como vivente, o homem fica em “espírito” que somente
“existe”, sem que jamais seja possível chamar-lhe “vivente”33.
Neste caso, seria a morte uma iniciação? Para Kagame34, um intelectual ruandês, a morte é
o fim do existir como vivente; “o antepassado passa a ser um ‘existente não vivente’” 35.
Segundo Altuna36,
o homem morto transforma-se em ‘outro ser’, ‘existe de modo diferente’, ‘é outra coisa’
sem semelhança neste mundo. A morte ocasiona uma mudança de estado porque é uma
“passagem” que modifica a personalidade.
Se Altuna37 afirma que “o antepassado passa a ser um ‘existente não vivente’”, eu vou mais
além e digo que, o antepassado é um existente vivente. Pois, o antepassado, segundo meus
interlocutores, apesar de morto fisicamente ele não deixa de viver, continua a viver num mundo
30
GARFINKEL, Harold. Estudos da etnometodologia. Cambridge: Polity presse, 1967.
ALTUNA, Raul. Cultura Tradicional Bantu. 2ª ed. Águeda: Paulinas Editora, 2014.
32
ALTUNA, Raul. Cultura Tradicional Bantu. 2ª ed. Águeda: Paulinas Editora, 2014.
33
KAGAME, Alexis. La philosophie bantu comparée. Paris: Présence africaine, 1976.
34
Ibidem.
35
ALTUNA, Raul. Cultura Tradicional Bantu. 2ª ed. Águeda: Paulinas Editora, 2014.
36
Ibidem.
37
Ibidem.
31
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invisível, e se materializando simbolicamente por meio de práticas cotidianas, nas ações diárias dos
indivíduos e nas suas relações uns com os outros, bem como nas suas visões do mundo, ou seja, nas
formas como estes concebem e interpretam os contextos nos quais vivem.
Quando durante o ritual os indivíduos deitam ukanyi para o chão para que os antepassados
bebam é crendo que estes estão presentes no tempo e no espaço. Quando o ritual de ukanyi decorre
com sucesso, acredita-se que na invocação os antepassados ouviram as preces para que tudo
decorresse bem e acolheram-nas. E quando o contrário sucede (insucesso) implica que estes
ouviram, contudo não as acolheram por algum motivo. Ora, ouvir e reagir ao pedido sugere-nos
uma interação antepassados – indivíduos.
Os antepassados/mortos aparecem para os vivos e falam, interagem com eles, tal como
revela o adágio popular: “o africano nunca descansa, mesmo após a morte continua trabalhando
como antepassado” (conhecimento/adágio popular africano, recolhido durante o trabalho de
campo).
Neste sentido, o antepassado tem vida sim, se entendermos a vida não somente do ponto
de vista biológico, enquanto existência física, mas também, vida do ponto de vista social, enquanto
uma construção sociocultural, vida enquanto o ato de existir, seja espiritualmente ou fisicamente,
interagindo e exercendo influência sobre os indivíduos e na sua vida cotidiana.
No pensamento ou filosofia bantu, a morte, apesar de destruição e desordem, aparece como
um momento necessário da vida, que brota no nascimento e culmina no estado de antepassado.
Entre ser vivo e ser antepassado, dá-se uma continuidade ontológica38. O antepassado, além de
perdurar, prolonga-se na sua descendência.
Os mortos regulamentam as relações entre os membros do grupo. Todos reconhecem as
suas regras. A conformidade é total e os excessos individuais coartados. A coesão, a boa ordem, a
participação na vida comunitária e nas suas cerimônias, certa igualdade das condições materiais, o
respeito mútuo, são assim assegurados sem dificuldade por poderes superiores, sempre atentos,
onde a sabedoria expressa a conformidade do homem com a ordem das coisas39. Tal como
Deschamps40, Altuna41 também comunga com esta idéia, pois em seu entendimento, os
antepassados desempenham um papel “estabilizador” social básico. Os espíritos ou seres espirituais
contribuem para a ordem do mundo e constituem uma verdadeira “chefia celeste” sob a autoridade
38
Ibidem.
DESCHAMPS, Hubert. Les religions de l’Afrique Noire, que sais-je? Paris: Presses Univ. De france, 1970.
40
Ibidem.
41
ALTUNA, Raul. Cultura Tradicional Bantu. 2ª ed. Águeda: Paulinas Editora, 2014.
39
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de Deus42. Por isso, os bantu devem lembrá-los e torná-los propícios. O culto bantu reserva-lhes
ritos especiais43.
O problema é que, ambos os autores, assim como muitos outros, concebem os mortos, os
antepassados só enquanto geradores de ordem social, coesão e equilíbrio, sendo que, estes não só
são responsáveis pelo equilíbrio, mas também pelas tensões, conflitos, enfim, pelo desequilíbrio na
estrutura social.
Afirmar que, para além da ordem, que pressupõe equilíbrio, os antepassados também geram
desequilíbrio, reafirmo as falas de alguns interlocutores segundo os quais, por exemplo, quando
algumas normas ritualísticas, de sociabilidade, ou regras sociais são transgredidas pelos indivíduos,
os antepassados/mortos, insatisfeitos com tal ação, tomam medidas corretivas, que por vezes
podem ser duras, tais como, gerar catástrofes, pestes, etc., no mundo dos vivos, gerando assim um
ambiente de tensão e desequilíbrio, como forma de chamar atenção.
Em Marracuene um entrevistado, o Muthombeni dizia:
Nesta época não colhemos muito. Sabes por quê? É porque os antepassados estão
zangados. Perdeu-se o respeito à tradição, perdeu-se o respeito aos mais velhos. Hoje em
dia se vende ukanyi (a bebida dos antepassados) e segundo a tradição ukanyi não se pode
vender porque é uma bebida sagrada e ancestral. Há seca, fome, quase que não chove, a
bandidagem aumentou. Tudo isso é castigo deles, os nossos antepassados.
A fúria dos antepassados no que concerne à venda de ukanyi deve-se ao fato de que a
comercialização desta bebida é culturalmente proibida, pois isso é entendido como profanação
desta e dos antepassados. Deste jeito, o consumo da mesma é de ordem coletiva e compartilhada
gratuitamente, remetendo à comensalidade44.
Esta última fala sugere, inclusive, que até aspetos ou fenômenos que seriam de causa
“natural” e/ou humana (como a seca, falta de chuva, etc.) tem a sua origem no descontentamento
dos antepassados.
Para Castiano45, filósofo moçambicano, nas tradições religiosas africanas “a vida espiritual
após a morte é concebida, de certa forma, numa perspectiva materialista: os antepassados mortos
ainda comem e bebem conosco; às vezes são mesmo capazes de nos visitar em casa”. Isto porque,
para os africanos, viver aqui e agora (mas de forma honrosa e boa) torna-se muito mais importante
42
GRAVRAND, Henry. Les religions africaines traditionelles source de civilisation spirituelle. [S.I.]: [s.n.], 1970.
ALTUNA, Raul. Cultura Tradicional Bantu. 2ª ed. Águeda: Paulinas Editora, 2014.
44
GONÇALVES, José; CONTINS, Marcia. A escassez e a fartura: categorias cosmológicas e subjetividade nas festas do
Divino Espírito Santo entre os açorianos imigrantes no Rio de Janeiro. In: CAVALCANTI, Maria L. V. C; GONÇALVES, José
R. S. (Orgs). As festas e os dias: ritos e sociabilidades festivas. Rio de Janeiro: Contra Capa Livraria Ltda, 2009.
45
CASTIANO, José. Referências da filosofia Africana: em busca da intersubjectivação. Maputo: Sociedade Editorial
Ndjira, Lda, 2010.
43
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e interessante para a ética religiosa.
Os antepassados vivem também aqui e o agora (o presente), pois, nas tradições religiosas
africanas, embora exista a idéia de uma vida após a morte física, esta crença, porém, não leva aos
africanos a cultivarem a esperança de um futuro glorioso para além da vida que levam aqui na
terra46, ou seja, “não existe paraíso no qual teremos uma vida plena e nem um inferno onde teremos
uma ‘vida horrível depois da morte’”47. Daí urge a necessidade de os antepassados se manterem
não só no mundo dos mortos, mas também, e, sobretudo no mundo dos vivos.
Para Mbiti48, um filósofo africano oriundo do Quênia, o tempo atual implica e contém
automaticamente o passado. O tempo, entre os africanos, move-se em direção ao passado e não ao
futuro. O que contribui para que os antepassados, apesar de pertencerem ao passado, continuem
se mantendo presentes nas vidas dos macuanenses e marracuenenses, compondo ou como parte
integrante da estrutura social de Macuane e Marracuene.
Altuna49, referindo-se ao mundo dos mortos, dos antepassados, como “invisível” argumenta
que “o mundo invisível está povoado de espíritos, gênios e antepassados com diferentes
modalidades”. Por não esclarecer a sua identidade, sugere o autor, cometeram-se erros ao
descrevê-los ou arbitrariamente se estabeleceram diversos e estratificados panteões. Todavia, a
pirâmide vital e o monoteísmo bantu evitam qualquer confusão. Deus, Único e Criador, permanece
num âmbito superior qualitativamente diferente50.
“Os espíritos, gênios e antepassados nunca usurpam o lugar de Deus, mesmo que pela
participação ocupem um lugar preponderante. O bantu situa-os como intermediários entre a
divindade e os vivos. Há muitas expressões que lhes atribui esta mediação” 51. Este fato fica evidente
com uma das falas do mukhulu/hosi de Macuane, José Maria Albuquerque Cossa, proferidas em
uma das conversas que tive com ele, na qual sustenta que: “na nossa religião tradicional, a árvore
sagrada chamada gandzelo é como se fosse nosso altar, representa o lugar onde invocamos e nos
comunicamos com os nossos antepassados, inclusive com Deus […]”. Portanto, segundo esta visão,
onde estão os antepassados está Deus e vice-versa.
Estes intermediários são concebidos pelo bantu como “mensageiros de Deus”. A sua
presença ativa abrange o mundo invisível tão real como o visível. Os dois mundos ficam
46
Ibidem.
MBITI, John. African religions and philosophy. Nairobi, Kampala, Dar es Salam: East African Educational Publishers,
1969.
48
Ibidem.
49
ALTUNA, Raul. Cultura Tradicional Bantu. 2ª ed. Águeda: Paulinas Editora, 2014.
50
Ibidem.
51
Ibidem.
47
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independentes; com o seu poder determinam vastas esferas do mundo visível que, por sua
vez, condiciona com o seu culto revitalizador a permanência pujante dos antepassados52.
É compreensível a idéia de Altuna53 de que os dois mundos (invisível e visível) com o seu
poder determinam vastas esferas do mundo visível que, por sua vez, condiciona com o seu culto
revitalizador a permanência pujante dos antepassados. Não obstante, o mundo visível e o mundo
invisível não são tão independentes como o autor sugere, mas sim interdependentes, pois entre
eles existe uma reciprocidade. Tal que, a presença dos antepassados no mundo visível é perpetuada
também pelos indivíduos, na medida em que estes reproduzem rituais de culto aos antepassados,
garantindo a sua permanência de geração em geração.
Por sua vez, os indivíduos necessitam da presença e do poder ancestral na sua vida para
desencadear suas ações e práticas cotidianas. Como então o autor pode conceber ambos os mundos
como independentes? Esta idéia é contraditória e confusa.
Em suma, a presença dos antepassados no mundo visível não depende só do poder destes,
mas também dos indivíduos que habitam o mesmo, daí que existe uma profunda interdependência
entre eles que garante esta relação. A relação entre o mundo visível e o mundo invisível não é de
dominação, mas sim de reciprocidade, na medida em que os antepassados permanecem presentes
e condicionam a vida do mundo visível e, por sua vez, a sua permanência neste mundo depende,
em parte, dos indivíduos mediante a realização de cultos revitalizadores. Contudo, é uma relação
nem sempre pacífica, mas também conflitual, na qual existe uma disputa de forças humanas e
espirituais, e é essa relação conflitual que permite o “movimento” ou uma dinâmica no mundo dos
vivos.
No dia 2 de fevereiro de 2016, fui à cerimônia de Gwaza Muthini, nome pelo qual ficou
conhecida a batalha de resistência contra a ocupação colonial portuguesa travada em Marracuene
por volta de 1895, concretamente no dia 2 de fevereiro. Assim, a festa de Gwaza Muthini é
celebrada todos os anos na mesma data em memória dos guerreiros que tombaram na luta contra
a dominação colonial.
Esta cerimônia é imprescindível e incontornável na nossa análise visto que, embora a
princípio não tendo uma relação direta com o ritual de ukanyi, ela coincide com a época de ukanyi
e consequentemente a bebida ancestral-sagrada é uma das usadas para o ato ritual. E mais ainda,
é que pelo que constatei no trabalho de campo, um dos grandes motivos que leva os indivíduos a
deslocarem-se em massa à vila de Marracuene nesta data (2 de fevereiro), é a possibilidade ou
52
53
Ibidem.
Ibidem.
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oportunidade de beber a tradicional e sagrada bebida – ukanyi. Assim, ambas as cerimônias acabam
estando estritamente interligadas.
Desta feita, analisar a cerimônia de Gwaza Muthini ou certas situações sociais desta, permite
também, de modo geral, compreender melhor a estrutura social de Marracuene, entender a forma
como a relação entre os vivos e os mortos emana nesta festa e perceber como os espaços sociais se
transformam com a realização de certos eventos.
Importante salientar que a cerimônia de Gwaza Muthini insere um conjunto de
performatividades que envolvem uma série de práticas autóctones que se juntam às modernas e
possibilitam-nos vislumbrar e compreender a relação entre a tradição e a modernidade.
Nesse dia, cheguei bem cedo a Marracuene e a vila já estava bem agitada, um movimento
jamais visto em dias “normais” (caracterizados por um fluxo menor de transeuntes e ambiente mais
calmo).
Havia barracas montadas em tudo quanto era canto daquela urbe, as calçadas tinham sido
tomadas por barracas improvisadas, de tal forma que os pedestres tinham perdido seu espaço,
passando a compartilhar o mesmo espaço com automóveis. Transeuntes de diversos lugares e
automóveis compunham as ruas da vila de Marracuene e o comércio tinha se intensificado. Palcos
e tribunas montados no local da cerimônia, num monumento em memória dos guerreiros da
batalha de Gwaza Muthini. Estava tudo ornamentado e com um ar colorido e festivo.
As autoridades tradicionais já lá estavam para iniciar a cerimônia, esta que começou com um
ritual denominado kuphahla (ritual através do qual se estabelece a comunicação com os
antepassados). E, segundo as autoridades tradicionais o ritual kuphahla, pelo menos em
Marracuene, só pode ser realizado bem cedo, de manhã, e não num outro período do dia, pois se
acredita que nesse período os espíritos dos antepassados ainda não começaram a vaguear, estão
ainda em repouso, sendo que ficam então disponíveis para uma comunicação com o mundo.
O ritual consistiu em os líderes tradicionais deitarem para o chão junto ao monumento em
memória dos guerreiros de Gwaza Muthini a bebida ancestral-sagrada ukanyi e outra bebida
tradicional de nome uputsu ou xinto e ainda vinho, proferindo alguns discursos que estavam
relacionados, sobretudo ao pedido de paz, visto que Moçambique passava por um momento de
crise política; pedido de chuva, tendo em conta que a seca assolava o país e pedido de tranquilidade,
uma vez que Marracuene passava por um dia de muita agitação naquele dia festivo.
Feito isso, alguns membros do governo que já eram esperados chegaram e se juntaram à
massa ali presente. Ora, é preciso salientar um detalhe: é que, na verdade, o ritual tinha que ter
iniciado com a presença dos membros do governo como o governador da Província de Maputo, o
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ritual seria dirigido pelas autoridades tradicionais, mas na presença do governador, uma vez que
existe uma articulação entre ambos (autoridade tradicional vs autoridade “moderna”). Todavia, o
ritual acabou iniciando sem o governador e seu elenco, devido à sua demora.
No meio de tudo isto, os líderes tradicionais queixavam-se dos membros do governo pelo
atraso, pois o atraso era visto como um desrespeito aos antepassados, à tradição, e isto deixou um
ambiente de tensão entre ambas as estruturas. Na visão do campo “tradicional”, não é qualquer
hora do dia que se estabelece a comunicação com os ancestrais, nem sempre os antepassados estão
disponíveis.
Desta forma, na estrutura social da vila de Marracuene, apesar de os antepassados estarem
presentes o momento todo na vida das pessoas, a comunicação com os mesmos respeita ou segue
alguns momentos específicos. A noção de tempo é fundamental para a comunicação com os
antepassados. Ou seja, a noção de tempo é crucial para compreender em que base se assenta a
relação entre os indivíduos (marracueneses) e os ancestrais, entre o mundo dos vivos e o mundo
dos mortos.
Outro episódio interessante de pensar pelo fato de ter uma carga da relação “indivíduos –
antepassados” foi a minha entrada na mata sagrada de Marracuene, na qual eu e meu colaborador
de campo, Netabu e demais participantes fomos convidados a descalçar e a deixar o calçado na
entrada. Foi então quando me dei conta de que, no ritual, quase todos estavam sem calçado.
Procurei saber o “por quê” e explicaram-me que aquele ato simbolizava o respeito que se deve ter
com os antepassados, e uma forma de manifestar respeito era andar descalço, pois, os ancestrais
andavam descalços, nem sequer conheceram o sapato.
Portanto, apresentar-se minimamente à semelhança dos antepassados era uma forma de
honrá-los. Mas, sobretudo, o andar descalço era uma forma de manter um contato direto entre os
indivíduos e os antepassados mediante o contato entre o corpo (os pés) e a terra. Isso era uma
condição importante para manter a comunicação com os espíritos dos antepassados.
Esta posição tem sustento na fala de um entrevistado que vou tratá-lo de Djoka:
Essas coisas de sapato são de hoje, os nossos antepassados andavam descalços, pisando o
chão direto, sentindo a terra firme e mantendo contato com a natureza. É por isso que nós
também temos que valorizar, respeitar e manter essa tradição, para o nosso bem e para
que as próximas gerações também sigam isso [...] caso não, se calhar pode haver desgraça
aqui em Marracuene [...].
A fala de Djoka desvenda-nos mais um dado. É que a transgressão da “tradição”, o
desrespeito aos antepassados pode resultar numa desgraça qualquer em Marracuene, ou seja, a
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transgressão gera desequilíbrio, este que é comandado pelos antepassados.
Uma nota importante é que, tanto em Macuane bem como Marracuene o ritual de ukanyi
só se realiza mediante a ida a mata sagrada onde repousam os antepassados das famílias reais Cossa
(Macuane) e Mabjaia (Marracuene), que representam os antepassados comuns54 desses contextos
sociais, com o intuito de estabelecer uma comunicação com os mesmos (antepassados).
Comunicação essa que é mediada pelos líderes (tihosi – plural de hosi) Cossa, no caso de Macuane
e Mabjaia em Marracuene, como por outros líderes tradicionais. Desta maneira, este fato fortalece
a idéia da existência da interação contínua entre os vivos e os mortos, sendo que o ritual de ukanyi
abre espaço para essa possibilidade de interação.
Dessarte, tal como pontua Mauss55, que a primeira troca dos homens teria sido com os
mortos/deuses, é importante compreender como essa relação se processa nos dias que correm.
Nas condições expostas em toda esta discussão sugerida, nota-se claramente a importância
dos mortos na vida dos indivíduos e vice-versa nas tradições africanas, no geral, e nas tradições
macuanenses e marracuenenses, em particular.
Deste modo, se a estrutura social de Macuane e Marracuene é constituída por um sistema
de valores, crenças, então, uma prática social, um ritual como mhamba ya ukanyi, respectivamente,
pode estabelecer uma mediação entre o mundo dos vivos e o mundo dos mortos, possibilitando a
visibilização do invisível, ou seja, tornando visível um mundo concebido como invisível, no caso, o
mundo dos mortos.
Assim sendo, provisoriamente, posso adiantar que o ritual de ukanyi estabelece a mediação
entre o mundo dos vivos e o mundo dos mortos através da presença dos antepassados, seja no
ritual, ou nas práticas e ações cotidianas dos indivíduos. E, por sua vez, o ritual de ukanyi aparece
como um culto revitalizador da permanência dos antepassados (mortos) no mundo dos vivos. Sendo
que estes (os antepassados) se mantêm presentes no cotidiano, nas práticas e ações dos indivíduos
em Macuane e Marracuene. Ademais, condicionam a vida social. Os mortos, embora defuntos e
pertencentes ao passado, continuam presentes no dia a dia dos indivíduos bem como influenciam
a sua conduta comportamental, modificando suas ações diárias. É neste ciclo espacio-temporal que
o movimento entre o mundo dos vivos e dos mortos se mantém.
Afirmar que os antepassados se fazem presentes no cotidiano dos indivíduos e modificam o
54
Antepassados comuns refiro-me aqueles que representam toda a comunidade e não somente a uma família em
particular. E neste caso, estes tem sido os antepassados da família real.
55
MAUSS, Marcel. Sociologia e Antropologia. São Paulo: Cosac Naif, 2003.
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curso de suas vidas e das coisas é tal como afirma o filósofo moçambicano Castiano56 que, nas
tradições religiosas africanas, “os antepassados mortos ainda comem e bebem conosco; às vezes
são mesmo capazes de nos visitar em casa”. Sendo os responsáveis pelo equilíbrio e desequilíbrio
social.
Considerações finais
Com a discussão levantada acima posso afirmar que o ritual de ukanyi é inegavelmente um
mediador entre o mundo dos vivos e o mundo dos mortos. Sendo que, a presença dos antepassados
no ritual, bem como sua relação com os indivíduos são elementos fundamentais dessa mediação.
Assim, o ritual de ukanyi revitaliza a relação entre ambos os mundos, visto que permite um
entrelaçamento entre eles.
O ritual de ukanyi é uma cerimônia festiva que permite a exaltação dos antepassados, ativa
e reativa valores, crenças e práticas que fortalecem e revigoram a religiosidade tradicional africana.
Posso assim dizer que, o mesmo possibilita-nos vivenciar e experimentar dois mundos diferentes
em simultâneo, o mundo dos vivos e o mundo dos mortos, ou seja, um mundo visível e outro
invisível. Ora, a relação entre estes dois mundos pode ser de interdependência e/ou também
remeter a tensões, o que significa que em alguns momentos pode sugerir-nos certa estabilidade e
noutros, instabilidade.
O fato de a relação entre o mundo dos antepassados e o mundo dos vivos ser de
interdependência, tensões, conflitos, remete a pensar que a mesma é de negociação e renegociação
constante e contínua.
Embora alguns autores pensem o antepassado como um “existente não vivente”, a
experiência do ritual de ukanyi em Macuane e Marracuene permite-nos compreender o
antepassado também como um “existente vivente”. Pois, o antepassado apesar de morto
fisicamente ele não deixa de viver, continua a viver num mundo invisível, e se materializando
simbolicamente no mundo visível. Sendo assim, os antepassados e os indivíduos nos contextos
estudados são ambos “existentes viventes”, se diferenciando na peculiaridade da sua forma de
vivência.
Os antepassados (mortos) aparecem para os vivos, falam e interagem com eles. Portanto, o
antepassado tem vida, se entendermos a vida enquanto uma construção sociocultural, enquanto o
56
CASTIANO, José. Referências da filosofia Africana: em busca da intersubjectivação. Maputo: Sociedade Editorial
Ndjira, Lda, 2010.
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ato de existir, seja fisicamente ou espiritualmente, interagindo e exercendo influência sobre os
indivíduos e na sua vida cotidiana. Daí afirmo que, o mundo dos antepassados e o dos vivos se
constituem como mundos tão “distantes” quanto “próximos”.
As crenças e práticas do ritual de ukanyi são constituintes das religiões tradicionais africanas
(RTA) a partir das quais os indivíduos dão sentido/significado às suas vidas assim como interpretam
e compreendem o mundo em que vivem.
Destarte, compreender a relação entre o mundo dos vivos e o mundo dos antepassados é
adentrar na forma como se constituem as afrofilosofias que permitem tangenciar o contexto
africano. Portanto, atravessando os modos de agir, sentir, pensar e existir dos indivíduos de
Macuane e Marracuene, em particular, e dos moçambicanos, no geral.
Referências bibliográficas
ALTUNA, Raul. Cultura Tradicional Bantu. 2ª ed. Águeda: Paulinas Editora, 2014.
CASTIANO, José. Referências da filosofia Africana: em busca da intersubjectivação. Maputo:
Sociedade Editorial Ndjira, Lda, 2010.
COSSA, Dulcídio. Mhamba ya ukanyi (O ritual de ukanyi): uma tradição na modernidade –
entrelaçamentos do rural e urbano. Dissertação (Mestrado em Ciências Sociais). Universidade do
Estado do Rio de Janeiro, Rio de Janeiro, 2017.
DESCHAMPS, Hubert. Les religions de l’Afrique Noire, que sais-je? Paris: Presses Univ. De France,
1970.
DURKHEIM, Émile. A divisão social do trabalho. Rio de Janeiro: Martins Fontes, 2000.
GARFINKEL, Harold. Estudos da etnometodologia. Cambridge: Polity presse, 1967.
GLUCKMAN, Max. Custom and Conflit in Africa. Oxford: Blackwell, 1995.
GONÇALVES, José; CONTINS, Marcia. A escassez e a fartura: categorias cosmológicas e subjetividade
nas festas do Divino Espírito Santo entre os açorianos imigrantes no Rio de Janeiro. In: CAVALCANTI,
Maria L. V. C; GONÇALVES, José R. S. (Orgs). As festas e os dias: ritos e sociabilidades festivas. Rio de
Janeiro: Contra Capa Livraria Ltda, 2009.
GRAVRAND, Henry. Les religions africaines traditionelles source de civilisation spirituelle. [S.I.: s.n.],
1970.
KAGAME, Alexis. La philosophie bantu comparée. Paris: Présence africaine, 1976.
MAUSS, Marcel. Sociologia e Atropologia. São Paulo: Cosac Naif, 2003.
MBITI, John. African religions and philosophy. Nairobi, Kampala, Dar es Salam: East African
Educational Publishers, 1969.
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PEREIRA, Rinaldo. Pontencialidades do jogo africano Mancala IV para o campo da educação
matemática, história e cultura africana. Tese (Doutorado em Educação). Universidade Federal do
Ceará, Fortaleza, 2016.
TURNER, Victor. O Processo Ritual: estrutura e anti-estrutura. Petrópolis: Editora Vozes, 2013.
VAN GENNEP, Arnold. Os ritos de passagem. Petrópolis: Editora Vozes, 2011.
Dulcídio Manuel Albuquerque Cossa: Também conhecido pelo seu nome africano Nyimpini Khosa.
Doutorando em Ciências Sociais e Bolsista CNPq – Brasil. Mestre em Ciências Sociais. Universidade
do Estado do Rio de Janeiro (UERJ). Programa de Pós-graduação em Ciências Sociais (PPCIS).
Instituto de Ciências Sociais (ICS). Departamento de Antropologia. Antropólogo e Sociólogo.
Artigo recebido para publicação em: Outubro de 2018.
Artigo aprovado para publicação em: Janeiro de 2019.
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ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019.
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A resting-state functional magnetic resonance imaging study of altered functional brain activity in cardiac arrest survivors with good neurological outcome
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Frontiers in neurology
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A resting-state functional
magnetic resonance imaging
study of altered functional brain
activity in cardiac arrest survivors
with good neurological outcome
Qian Wu 1†, Gan-Nan Wang 2†, Hao Hu 1†, Xu-Feng Chen 2*,
Xiao-Quan Xu 1, Jin-Song Zhang 2* and Fei-Yun Wu 1* OPEN ACCESS
EDITED BY
Sean Ruland,
Loyola University Medical Center, United States
REVIEWED BY
Ilya Bakulin,
Research Center of Neurology (Russia), Russia
Zhaopeng Tong,
Sun Yat-sen University, China
*CORRESPONDENCE
Fei-Yun Wu
wfy_njmu@163.com
Jin-Song Zhang
zhangjso@sina.com
Xu-Feng Chen
303369024@qq.com
†These authors have contributed equally to this
work
RECEIVED 02 January 2023
ACCEPTED 05 April 2023
PUBLISHED 20 April 2023
CITATION
Wu Q, Wang G-N, Hu H, Chen X-F, Xu X-Q,
Zhang J-S and Wu F-Y (2023) A resting-state
functional magnetic resonance imaging study
of altered functional brain activity in cardiac
arrest survivors with good neurological
outcome. Front. Neurol. 14:1136197. doi: 10.3389/fneur.2023.1136197
COPYRIGHT
© 2023 Wu, Wang, Hu, Chen, Xu, Zhang and
Wu. 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
h
i h
( )
di
d
d h 1 Department of Radiology, The First Affiliated Hospital of Nanjing Medical University, Nanjing, China,
2 Department of Emergency, The First Affiliated Hospital of Nanjing Medical University, Nanjing, China Purpose: To investigate the spontaneous brain activity alterations in survivors of
cardiac arrest (CA) with good neurological outcome using resting-state functional
magnetic resonance imaging (rs-fMRI) with amplitude of low-frequency
fluctuation (ALFF) and regional homogeneity (ReHo) methods. Materials and methods: Thirteen CA survivors with favorable neurological
outcomes and 13 healthy controls (HCs) were recruited and underwent rs-fMRI
scans. The ALFF and ReHo methods were applied to assess the regional intensity
and synchronization of spontaneous brain activity. Correlation analyses were
performed to explore the relationships between the mean ALFF and ReHo values
in significant clusters and clinical parameters. doi: 10.3389/fneur.2023.1136197
COPYRIGHT
© 2023 Wu, Wang, Hu, Chen, Xu, Zhang and
Wu. This is an open-access article distributed
under the terms of the Creative Commons
Attribution License (CC BY). The use,
distribution or reproduction in other forums is
permitted, provided the original author(s) and
the copyright owner(s) are credited and that
the original publication in this journal is cited,
in accordance with accepted academic
practice. No use, distribution or reproduction is
permitted which does not comply with these
terms. Results: The survivors of CA showed significantly decreased ALFF values in the
left postcentral gyrus and precentral gyrus and increased ALFF values in the left
hippocampus and parahippocampal gyrus than HCs. A resting-state functional
magnetic resonance imaging
study of altered functional brain
activity in cardiac arrest survivors
with good neurological outcome
Qian Wu 1†, Gan-Nan Wang 2†, Hao Hu 1†, Xu-Feng Chen 2*,
Xiao-Quan Xu 1, Jin-Song Zhang 2* and Fei-Yun Wu 1* Significantly decreased ReHo
values were observed in the left inferior occipital gyrus and middle occipital gyrus
in the patients. Mean ALFF values in the left hippocampus and parahippocampal
gyrus were positively correlated with the time to return of spontaneous circulation
(r = 0.794, p = 0.006) in the patient group. Conclusion: Functional activity alterations in the brain areas corresponding to
known cognitive and physical impairments were observed in CA survivors with
preserved neurological function. Our results could advance the understanding of
the neurological mechanisms underlying the residual deficits in those patients. cardiac arrest, cognitive impairment, resting-state functional magnetic resonance
imaging, amplitude of low-frequency fluctuation, regional homogeneity TYPE Original Research
PUBLISHED 20 April 2023
DOI 10.3389/fneur.2023.1136197 TYPE Original Research
PUBLISHED 20 April 2023
DOI 10.3389/fneur.2023.1136197 TYPE Original Research
PUBLISHED 20 April 2023
DOI 10.3389/fneur.2023.1136197 frontiersin.org 2.3. Clinical assessment Resting-state functional magnetic resonance imaging (rs-fMRI)
is a noninvasive brain imaging technique for evaluating hemodynamic
changes induced by neural activity (19). The amplitude of
low-frequency fluctuation (ALFF) and regional homogeneity (ReHo)
methods can be used to evaluate the regional intensity and
synchronization of spontaneous fMRI signals and provide important
information about the functional activity of the brain (20). Based on
the findings of previous structural research, we hypothesized that
we would find alterations in the brain areas related to cognitive
functions in CA survivors with favorable neurological outcomes. Clinical data including time to return of spontaneous circulation
(ROSC), CPC, modified Rankin Scale (mRS), etiology causes, and
type of CA were collected. CPC is the predominant outcome measure
for patients with CA and describes five levels of cerebral functioning
(21). Patients with scores of 1 or 2 on CPC have normal or mild
neurologic and psychological deficits but are independent in most
activities of daily living. mRS is an outcome scale to check for recovery
and the degree of continued disabilities (22). The scale runs from 0 to
6, running from perfect health without symptoms to death. Individuals
with an mRS score of 0 had no symptoms, 1 had no significant
physical disabilities, 2 had minor disabilities, and 3 had moderate
disabilities. Besides that, the Montreal Cognitive Assessment (MoCA)
was conducted for each participant. MoCA is a commonly used
method for assessment of cognitive functions, including orientation,
memory, visuospatial/executive functions, naming, registration,
attention, and abstraction (23). Scores on the MocA range from 0 to
30. A score of 26 or higher is considered to be normal. Our study aimed (1) to compare the functional brain activity
differences between CA survivors and healthy controls (HCs) using
ALFF and ReHo methods and (2) to examine the relationships
between functional brain measures and clinical variables, especially
cognitive performance, in the patient group. 1. Introduction The amplitude of
low-frequency fluctuation (ALFF) and regional homogeneity (ReHo)
methods can be used to evaluate the regional intensity and
synchronization of spontaneous fMRI signals and provide important
information about the functional activity of the brain (20). Based on
the findings of previous structural research, we hypothesized that
we would find alterations in the brain areas related to cognitive
functions in CA survivors with favorable neurological outcomes. 2.2. Sample size calculation Several recent studies have shown that patients with CA possess
structural and functional brain abnormalities (10–15). Koenig et al. (13) demonstrated decreased functional connectivity within the
posterior cingulate cortex as well as precuneus and found strong
correlations between the functional connectivity and outcome in
comatose CA survivors. A structural study found widespread thinner
cortex regions in patients with comatose CA that were associated with
impaired memory performance (14). Another voxel-based
morphometry study described gray matter atrophy after CA (15). They also showed that the reductions in the volume of several brain
areas were significantly correlated with neuropsychological
impairments (15). While a sizable percentage of neuroimaging studies
have focused on comatose CA survivors (10–14), very little attention
has been paid specifically to those survivors with preserved
neurological function (16–18). We only found scarce structural
studies which reported deficits in several brain regions concerning
cognitive functions in the ‘good outcome’ survivors (16–18). However,
to the best of our knowledge, no study has explored the functional
brain alterations in the CA survivors with good neurological recovery. Sample size was calculated according to the following formula: Sample size was calculated according to the following formula:
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1
1 Where μ is the mean value for each group, σ is the standard
deviation, and α is the type I error and β is the type II error, meaning
1 − β is power. The α was set at 0.05 and 1 − β at 0.9 for calculation. According to the results of the preliminary experiment, the calculated
threshold sample size for each group was 10. Frontiers in Neurology 1. Introduction The survival rate of cardiac arrest (CA) has improved in recent years, however, CA is still
one of the leading causes of death worldwide (1). Neuron damage can occur shortly after CA,
leading to varying degrees of ischemic-anoxic brain injury (2). Although some CA survivors
can achieve relatively good neurological outcomes and independent daily living (3, 4), these Frontiers in Neurology 01 frontiersin.org Wu et al. 10.3389/fneur.2023.1136197 inadequate imaging quality). The control group consisted of 13 age-
and sex-matched healthy volunteers with no history of neurologic or
psychiatric disorders or brain injury. All the participants were
right-handed. patients can still suffer from persistent cognitive impairments for a
long time (5, 6). Cognitive deficits, including memory, attention, and
executive dysfunctions, could reduce patients’ quality of life and cause
social participation difficulties (7–9). A better understanding of the
underlying neuropathological basis of the residual cognitive deficits
could contribute to improvement in follow-up and subsequent therapy. y
,
p
q
y
social participation difficulties (7–9). A better understanding of the
underlying neuropathological basis of the residual cognitive deficits
could contribute to improvement in follow-up and subsequent therapy. Several recent studies have shown that patients with CA possess
structural and functional brain abnormalities (10–15). Koenig et al. (13) demonstrated decreased functional connectivity within the
posterior cingulate cortex as well as precuneus and found strong
correlations between the functional connectivity and outcome in
comatose CA survivors. A structural study found widespread thinner
cortex regions in patients with comatose CA that were associated with
impaired memory performance (14). Another voxel-based
morphometry study described gray matter atrophy after CA (15). They also showed that the reductions in the volume of several brain
areas were significantly correlated with neuropsychological
impairments (15). While a sizable percentage of neuroimaging studies
have focused on comatose CA survivors (10–14), very little attention
has been paid specifically to those survivors with preserved
neurological function (16–18). We only found scarce structural
studies which reported deficits in several brain regions concerning
cognitive functions in the ‘good outcome’ survivors (16–18). However,
to the best of our knowledge, no study has explored the functional
brain alterations in the CA survivors with good neurological recovery. Resting-state functional magnetic resonance imaging (rs-fMRI)
is a noninvasive brain imaging technique for evaluating hemodynamic
changes induced by neural activity (19). 2.4. MRI data acquisition This study was approved by the Ethics Committee of the First
Affiliated Hospital of Nanjing Medical University. Informed consent
was obtained from all subjects. Between May 2020 and May 2021,
we recruited 16 patients with CA according to the following criteria:
(1) documented cardiopulmonary resuscitation for spontaneous CA,
(2) 18 years or older, and (3) score 1 or 2 on the Cerebral Performance
Categories (CPC). Criteria for exclusion were: (1) Glasgow Coma
Scale (GCS) score < 8, (2) pre-existing neurologic or psychiatric
disorders, (3) history of traumatic brain injury and brain surgery, (4)
contraindication of MRI examination, or (5) abnormal brain
parenchyma on brain MRI. Finally, 13 patients were enrolled in our
study (two had implanted cardioverter defibrillator and one had MRI scanning was performed at an average of 14.85 ± 4.90 days
after CA when the patient was in a stable condition, and the
MRI-incompatible devices were no longer needed. The patients were
monitored by an intensive care unit provider during transportation
and scanning. All the patients and healthy participants were instructed
to stay awake with their eyes closed and think about nothing during
the scan. All subjects were scanned in a 3.0 T MR scanner (MAGNETOM
Skyra, Siemens Healthcare, Erlangen, Germany) with a 20-channel
head and neck coil. A sagittal 3D high-resolution T1-weighted
imaging was acquired with magnetization-prepared rapid gradient 02 frontiersin.org Wu et al. 10.3389/fneur.2023.1136197 10.3389/fneur.2023.1136197 10.3389/fneur.2023.1136197 The assumption of normality was assessed with Kolmogorov–Smirnov
test. Two-sample t-tests were adopted for comparisons of age and
years of education between the two groups. Mann–Whitney U test was
used to compare the MoCA scores. Fisher’s exact test was employed
to analyze the sex ratio. All tests were two-tailed, and significance was
set at p < 0.05. echo sequence. The parameters were as follows: repetition time
(TR) = 1900 ms; echo time (TE) = 2.45 ms; voxel size =1 × 1 × 1 mm3;
field of view (FOV) = 256 × 256 mm2; matrix size = 256 × 256; slice
thickness = 1 mm; 176 slices. Functional images were obtained by an
axial echo planar imaging sequence with the following parameters:
TR = 2000 ms; TE = 30 ms; voxel size = 3.75 mm × 3.75 mm × 4 mm;
FOV = 240 × 240 mm2; matrix size = 64 × 64; slice thickness = 4.0 mm;
35 slices. The scanning time was 12 min and 26 s in total. 2.4. MRI data acquisition The images
were promptly inspected for quality control after scanning. The
subject was instructed to remain still and the procedure was repeated
if the picture quality was subpar due to head movement. The mean ALFF and ReHo values in each significant cluster were
extracted for the following correlation analyses. Partial correlation
analyses were performed to evaluate the relationships between the
mean ALFF and ReHo values in significant clusters and clinical
parameters after controlling for the effect of age, sex, and years of
education. Multiple comparisons were corrected using the Bonferroni
method (p < 0.05/4 = 0.0125). 3.1. Demographic and clinical data Tables 1, 2 present detailed demographic and clinical
information. There were no significant differences in age (p = 0.713),
sex (p > 0.999), and years of education (p = 0.895) between CA
patients and HCs. The patient group showed significantly lower
scores of MoCA than HCs (p = 0.030). The causes of CA included
myocarditis (4 patients, 30.8%), acute myocardial infarction (4
patients, 30.8%), pulmonary embolism (3 patients, 23.1%), kounis
syndrome (1 patient, 7.7%), and asphyxia (1 patient, 7.7%). Twelve
(92.3%) patients had in-hospital CA, and one patient (7.7%) had
out-of-hospital CA. Five patients had a history of hypertension and
three patients had a history of diabetes. After CA, the mean time for
the patients to ROSC was 33.77 ± 23.87 min. The mean score for CPC
was 1.08 ± 0.23 and mRS was 1.08 ± 0.95. The analyses of ALFF and ReHo values were also conducted using
the RESTplus toolkit. ALFF values were calculated with filtered signals
within the low-frequency range without additional filtering. The fast
Fourier transform algorithm was used to transform the time courses
into a frequency domain. Then the average square root of the power
spectrum across 0.01–0.08 Hz indicated the ALFF value. For ReHo
calculation, filtering was conducted to collect the spatially
standardized data in the frequency range of 0.01–0.08 Hz to reduce the
influence of high-frequency noise. Then, ReHo was computed via
Kendall’s Coefficient of Concordance as the regional coherence index
of signal within the surrounding 27 voxels with smoothing at 6 mm
FWHM Gaussian kernel. 2.6. Statistical analysis In the patient group, mean ALFF values in the left hippocampus
and parahippocampal gyrus were positively correlated with time to
ROSC (r = 0.794, p = 0.006; Figure 3). No significant associations were
found between ReHo values and clinical variables. The between-group comparison of ALFF and ReHo values was
performed by the statistical module of Data Processing & Analysis of
Brain Imaging (DPABI, http://www.rfmri.org/dpabi). Two-sample
t-test was conducted to compare the differences in the ALFF and
ReHo values between patients with CA and HCs with age, sex, and
years of education as covariates. Statistical significance was determined
by the Gaussian Random Field (GRF) correction with a threshold of
two-tailed voxel-level p < 0.001 and cluster-level p < 0.05. 3.2. ALFF and ReHo differences The patients with CA showed significantly decreased ALFF values
in the left postcentral gyrus and precentral gyrus and increased ALFF
values in the left hippocampus and parahippocampal gyrus than HCs
(Table 3; Figure 1; voxel-level p < 0.001 and cluster-level p < 0.05 with
GRF correction). Furthermore, significantly decreased ReHo values
were observed in the left inferior occipital gyrus and middle occipital
gyrus in the patients compared with HCs (Table 3; Figure 2; voxel-
level p < 0.001 and cluster-level p < 0.05 with GRF correction). 3. Results A resting state fMRI data analysis toolkit (RESTplus, http://www. restfmri.net) based on Statistical Parametric Mapping software (SPM,
http://www.fil.ion.ucl.ac.uk /spm) was used to conduct the rs-fMRI
data preprocessing. Firstly, dicom data files were converted into nifti
images and the first 10 time points were deleted. Then, slice timing
and head motion correction were performed to make the remaining
images slice-time-corrected and realigned to the first volume. Next,
realigned images were spatially normalized to the Montreal
Neurological
Institute
template
(resampling
voxel
size = 3 mm × 3 mm × 3 mm). The images were then smoothed with a
Gaussian kernel of 6 mm full-width at half-maximum (FWHM) and
detrended to remove linear trends. Finally, the nuisance covariates,
including head motion parameters as well as white matter and
cerebrospinal fluid signals, were removed using linear regression. The
head motion for each subject was checked, and subjects with head
translation motion exceeding 3.0 mm or rotation over 3° would
be discarded. Frontiers in Neurology frontiersin.org 4. Discussion Our study aimed to evaluate the functional brain activity
alterations in the CA survivors with relatively good neurological Statistical evaluations of demographic and clinical data were
conducted in SPSS Version 25.0 (SPSS, Chicago, IL, United States). 03 frontiersin.org Wu et al. 10.3389/fneur.2023.1136197 TABLE 1 Demographic and clinical characteristics of the patient group. TABLE 1 Demographic and clinical characteristics of the patient group. g
p
p
g
p
Age, y
Sex
Education, y
Etiology of
CA
Type of
CA
Time to
ROSC, min
MoCA
CPC
mRS
55
M
4
Myocarditis
IHCA
7
23
1
1
65
F
8
Myocarditis
IHCA
52
20
1
1
34
M
9
Kounis syndrome
IHCA
10
27
1
0
63
M
9
Pulmonary
embolism
IHCA
43
25
1
1
78
M
6
Pulmonary
embolism
IHCA
53
22
1
2
40
M
12
AMI
IHCA
20
29
1
1
56
F
16
AMI
IHCA
80
28
1
0
25
M
18
Myocarditis
IHCA
50
30
1
0
34
M
15
Myocarditis
IHCA
5
29
1
0
70
M
12
AMI
IHCA
7
26
1
2
67
M
5
Pulmonary
embolism
IHCA
39
20
2
3
45
F
14
Asphyxia
IHCA
8
28
1
1
48
F
12
AMI
OHCA
26
27
1
2
CA, cardiac arrest; ROSC, return of spontaneous circulation; CPC, Cerebral Performance Categories; MRI, magnetic resonance imaging; MoCA, Montreal Cognitive Assessment; CPC,
Cerebral Performance Categories; mRS, modified Rankin Scale; GCS, Glasgow Coma Scale; M, male; F, female; AMI, acute myocardial infarction; IHCA, in-hospital cardiac arrest; OHCA,
out-of-hospital cardiac arrest. CA, cardiac arrest; ROSC, return of spontaneous circulation; CPC, Cerebral Performance Categories; MRI, magnetic resonance imaging; MoCA, Montreal Cognitive Assessment; CPC,
Cerebral Performance Categories; mRS, modified Rankin Scale; GCS, Glasgow Coma Scale; M, male; F, female; AMI, acute myocardial infarction; IHCA, in-hospital cardiac arrest; OHCA,
out of hospital cardiac arrest CA, cardiac arrest; ROSC, return of spontaneous circulation; CPC, Cerebral Performance Categories; MRI, magnetic resonance imaging; MoCA, Montreal Cognitive Assessment; CPC,
Cerebral Performance Categories; mRS, modified Rankin Scale; GCS, Glasgow Coma Scale; M, male; F, female; AMI, acute myocardial infarction; IHCA, in-hospital cardiac arrest; OHCA,
out-of-hospital cardiac arrest. TABLE 2 Comparison of demographic and clinical data between CA and
HC group. outcomes using ALFF and ReHo methods. 4. Discussion As a result, we found that
CA patients exhibited significantly decreased ALFF values in the left
postcentral gyrus and precentral gyrus and increased ALFF values in
the left hippocampus and parahippocampal gyrus, as well as decreased
ReHo values in the left inferior occipital gyrus and middle occipital
gyrus. These results provide important information for understanding
the neurological mechanism after CA. Sample
characteristics
CA patients
HC
p value
(n = 13)
(n = 13)
Age (year)
52.31 ± 16.14
50.15 ± 13.25
0.713
Sex (female/male)
9/4
9/4
>0.999
Education (year)
10.77 ± 4.36
10.54 ± 4.47
0.895
MoCA
25.69 ± 3.43
28.28 ± 1.04
0.030
CA, cardiac arrest; HC, healthy control; MoCA, Montreal Cognitive Assessment. The precentral and postcentral gyrus are key brain areas for
motor and somatosensory functions, respectively (24, 25). Atrophy
and deficits in the precentral gyrus have been documented in a
number of movement-damaged disorders, including amyotrophic
lateral sclerosis, stroke, and spinal cord injury, indicating its leading
role in controlling body movement (26–29). Likewise, impairments
in the postcentral gyrus were observed in several diseases with
sensory disturbances, such as multiple sclerosis, hemiplegia, and
autism spectrum disorders (30–32). As we know, motor and
somatosensory deficits resulting from hypoxia-anoxia ischemic brain
injury are common sequelae in patients with CA (33, 34). Although
all of our patients achieved relatively good neurological outcomes,
some of the patients still suffered from mild motorial and sensorial
symptoms. Warenits et al. (35) found decreased neuronal function in
the motor cortex, which is located in the precentral gyrus, and
speculated it to be associated with motor deficits after CA in rats. Middleton et al. (36) discovered diminished brain function in the
somatosensory cortex in developing rats after CA. Therefore, the
decreased ALFF values in the precentral and postcentral gyrus may
be associated with motor and somatosensory disabilities in patients
with CA. TABLE 3 Brain regions with significantly different functional activity
between patients and healthy controls (voxel-level p < 0.001 and cluster-
level p < 0.05 with GRF correction). Brain
regions
Laterality
Peak MNI
coordinates
Cluster
size
t-
value
X
Y
Z
ALFF
Hippocampus/
Parahippocampal
gyrus
L
−18
−36
−9
101
5.1542
Postcentral
gyrus/Precentral
gyrus
L
−39
−27
54
176
−6.8969
ReHo
Inferior occipital
gyrus/Middle
occipital gyrus
L
−48
−84
−9
229
−5.5617
GRF, Gaussian random field; ALFF, amplitude of low frequency fluctuation; ReHo, regional
homogeneity; L, left; MNI, Montreal Neurologic Institute. 4. Discussion TABLE 3 Brain regions with significantly different functional activity
between patients and healthy controls (voxel-level p < 0.001 and cluster-
level p < 0.05 with GRF correction). TABLE 3 Brain regions with significantly different functional activity
between patients and healthy controls (voxel-level p < 0.001 and cluster-
level p < 0.05 with GRF correction). The occipital lobe is an integral part of the visual system and is
involved in spatial processing (37). Visuospatial dysfunction is a rare
but essential cognitive disease in the survivors of CA (34). Ørbo et al. (14) observed significantly thinner cortex in the left occipital lobe and GRF, Gaussian random field; ALFF, amplitude of low frequency fluctuation; ReHo, regional
homogeneity; L, left; MNI, Montreal Neurologic Institute. 04 Frontiers in Neurology frontiersin.org Wu et al. 10.3389/fneur.2023.1136197 FIGURE 1
Brain regions with significant ALFF differences between patients with cardiac arrest and healthy controls. The patient group showed significantly
decreased ALFF values in the left postcentral gyrus and precentral gyrus and increased ALFF values in the left hippocampus and parahippocampal gyrus
(voxel-level p < 0.001 and cluster-level p < 0.05 with GRF correction). L, left; R, right; ALFF, amplitude of low frequency; GRF, Gaussian random field. FIGURE 1
Brain regions with significant ALFF differences between patients with cardiac arrest and healthy controls. The patient group showed significantly
decreased ALFF values in the left postcentral gyrus and precentral gyrus and increased ALFF values in the left hippocampus and parahippocampal gyrus FIGURE 1
Brain regions with significant ALFF differences between patients with cardiac arrest and healthy controls. The patient group showed significantly
decreased ALFF values in the left postcentral gyrus and precentral gyrus and increased ALFF values in the left hippocampus and parahippocampal gyrus
(voxel-level p < 0.001 and cluster-level p < 0.05 with GRF correction). L, left; R, right; ALFF, amplitude of low frequency; GRF, Gaussian random field. FIGURE 2
Brain regions with significant ReHo differences between patients with cardiac arrest and healthy controls. The difference primarily existed in the left
inferior occipital gyrus and middle occipital gyrus (voxel-level p < 0.001 and cluster-level p < 0.05 with GRF correction). L, left; R, right; ReHo, regional
homogeneity; GRF, Gaussian random field. FIGURE 2
Brain regions with significant ReHo differences between patients with cardiac arrest and healthy controls. Frontiers in Neurology Funding Jiangsu Province Hospital (the First Affiliated Hospital with
Nanjing Medical University) Clinical Capacity Enhancement Project
JSPH-MC-2021-8 to X-QX. 4. Discussion Finally, hypertension and diabetes,
which are common diseases in the elderly, may have a certain
impact on cognitive function. Future subgroup analysis would
further enable us to get a more comprehensive understanding of the
brain changes in patients with CA. FIGURE 3
Significant correlations between clinical characteristics and ALFF
values in patients with cardiac arrest. Mean ALFF values in the left
hippocampus and parahippocampal gyrus were positively correlated
with time to ROSC. ALFF, amplitude of low frequency; ROSC, return
of spontaneous circulation. In conclusion, our results provided insight into the mechanisms
underlying the cognitive impairments in CA survivors with favorable
neurological outcome. The study may be helpful in prompting new
research areas to extend these findings to diagnostic and
therapeutic benefits. Data availability statement The hippocampus is responsible for processing cognitive
information, especially memory information (38, 39). The
hippocampus and parahippocampal gyrus work as an entity to manage
the procedures of memory encoding retrieval (40). Memory
dysfunction, as the most common cognitive impairment in the
survivors after CA, has been found to be related to the hippocampus
deficit in this population (5, 6, 17, 18). Stamenova et al. (17) found
reduced volumes in the bilateral hippocampus, which were correlated
with verbal memory in patients with CA. Ørbo et al. (17) likewise
detected the correlation between verbal memory and hippocampal
subfield subiculum in patients with CA. In the present study, the
average score of MoCA in the patient group was 25.69 ± 3.43, which
was just beneath the normal line, indicating mild cognitive impairment
(23). Thus, we suspected that the increased functional activity in the
hippocampus and parahippocampal gyrus might reflect a
compensatory mechanism of the brain to maintain a relatively desired
function. A positive correlation was found between ALFF values in the
hippocampus and parahippocampal gyrus and the time to ROSC,
indicating that a longer anoxia time of the neurons would lead to more
obviously increased functional activity in the above regions.h The raw data supporting the conclusions of this article will
be made available by the authors, without undue reservation. Author contributions QW: data curation, formal analysis, methodology, and writing
original draft. G-NW: investigation, methodology, and writing
original draft. HH: methodology and writing - review and editing. X-FC and X-QX: writing - review and editing. J-SZ and F-YW:
conceptualization and writing - review and editing. All authors
contributed to the article and approved the submitted version. The results of this study provided neurological evidence for the
clinical symptoms in patients with CA. Due to the mild to moderate
nature of the cognitive dysfunction in the ‘good outcome’ CA
survivors, most patients are discharged before the cognitive deficits
are recognized (7, 8). Identifying patients at risk could be helpful for
clinicians to provide comprehensive treatments for better
rehabilitation. As an adjunct to clinical assessments, neuroimaging
may be a promising technique for evaluating the cognitive status of
patients with CA. Additional comparisons between functional and
structural brain alterations would provide more insight into the
neuropathological mechanism underlying the clinical symptoms in
patients with CA. Longitudinal studies will also be helpful in
elucidating the relationship between the development of symptoms
and the changes in functional brain activity. Ethics statement The studies involving human participants were reviewed and
approved by Ethics Committee of the First Affiliated Hospital of
Nanjing Medical University. The patients/participants provided their
written informed consent to participate in this study. Frontiers in Neurology 4. Discussion The difference primarily existed in the left
inferior occipital gyrus and middle occipital gyrus (voxel-level p < 0.001 and cluster-level p < 0.05 with GRF correction). L, left; R, right; ReHo, regional
homogeneity; GRF, Gaussian random field. measures were obviously reduced in patients with CA compared with
HCs. Taken together, the decreased ReHo values in the left inferior
occipital gyrus and middle occipital gyrus, which indicated decreased
functional activity in visuo-spatial-related brain areas, may
be associated with cognitive impairment in patients with CA. correlated it with cognitive function alterations in patients with CA. In
agreement with this finding, we also found significantly decreased
functional activity in the left occipital lobe in patients with
CA. Although the specific visuospatial examinations were not
performed in the current study, we found that the overall cognitive 05 Frontiers in Neurology frontiersin.org Wu et al. 10.3389/fneur.2023.1136197 10.3389/fneur.2023.1136197 FIGURE 3
Significant correlations between clinical characteristics and ALFF
values in patients with cardiac arrest. Mean ALFF values in the left
hippocampus and parahippocampal gyrus were positively correlated
with time to ROSC. ALFF, amplitude of low frequency; ROSC, return
of spontaneous circulation. common limitation of neuroimaging studies for CA survivors due
to the low survival rate. Secondly, we excluded the CA survivors
with implanted cardioverter defibrillators, which accounted for a
fraction of those patients. Thus, our results might not be fully
representative of the typical CA population. Thirdly, the cognition
of our participants was assessed using MoCA, which is a brief
cognitive screening test for mild cognitive impairments. Additional
precise evaluations of CA patients’ most vulnerable cognitive
functions (e.g., memory, attention, and executive functions) would
expand the current findings. Finally, hypertension and diabetes,
which are common diseases in the elderly, may have a certain
impact on cognitive function. Future subgroup analysis would
further enable us to get a more comprehensive understanding of the
brain changes in patients with CA. common limitation of neuroimaging studies for CA survivors due
to the low survival rate. Secondly, we excluded the CA survivors
with implanted cardioverter defibrillators, which accounted for a
fraction of those patients. Thus, our results might not be fully
representative of the typical CA population. Thirdly, the cognition
of our participants was assessed using MoCA, which is a brief
cognitive screening test for mild cognitive impairments. Additional
precise evaluations of CA patients’ most vulnerable cognitive
functions (e.g., memory, attention, and executive functions) would
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Karpinski G, et al. Neuropsychological and neurological sequelae of out-of-hospital
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global cerebral volumes and hippocampal subfield volumes in long-term survivors of
out-of-hospital cardiac arrest. Resuscitation. (2018) 126:21–8. Publisher’s note 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. 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. All claims expressed in this article are solely those of the authors
and do not necessarily represent those of their affiliated 19. Lee MH, Smyser CD, Shimony JS. Resting-state fMRI: a review of methods and
clinical applications. AJNR Am J Neuroradiol. (2013) 34:1866–72. doi: 10.3174/ajnr.
A3263 References doi: 10.1016/j. resuscitation.2018.02.011 39. Klooster NB, Tranel D, Duff MC. The hippocampus and semantic memory over
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clinical applications. AJNR Am J Neuroradiol. (2013) 34:1866–72. doi: 10.3174/ajnr. A3263 40. Ferreira NF, de Oliveira V, Amaral L, Mendonça R, Lima SS. Analysis of
parahippocampal gyrus in 115 patients with hippocampal sclerosis. Arq Neuropsiquiatr. (2003) 61:707–11. doi: 10.1590/S0004-282X2003000500001 07 Frontiers in Neurology frontiersin.org
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Surgical Repair of Inguinal Direct Hernia without Cremaster Resection
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Abstract Preservation of the cremaster muscle during the surgical repair of the direct inguinal hernia. keeping the funtion of the cremaster. keeping the funtion of the cremaster. Cremaster muscle: The cremaster muscle is all around of the inguinal cord, the main funtion is elevation of the testis also is protecting
the elements of the inguinal cord. Concept: The direct inguinal hernia is locate at the triangule of Hesselbach of the inguinal region,this triangule components are the
inguinal ligament of Poupart. The epigastric blood vessels pack close to the deep inguinal ring and the external border of the rectal muscle. That is the Hesselbach triangule and the main component of the wall in this triangule is the transversalis fascia. For that reason is the most
weak point of the abdominal wall. History-Inguinal hernia repair has made enormous progress throughout the ages. Surgical techniques
have rapidly evolved since Eduardo Bassini proposed his first procedure. When analyzing original articles since the sixteenth century, it
becomes apparent that all surgical techniques for repair of the inguinal hernial orifice can be traced back to two simple repair principles. The first is reinforcement of the anterior wall of the inguinal canal and tightening of the external inguinal ring (Stromayr 1559, Purmann
1694, Czerny 1877) and the second is reinforcement of the posterior wall of the inguinal canal and the tightening of the internal inguinal
ring, either externally (Lucas-Championnière 1881, Bassini 1889, Lotheissen 1898, McVay 1942, Shouldice 1945, Lichtenstein 1987, Stoppa
1989) or via an intraabdominal approach by laparotomy (Tait 1891) or laparoscopically (Ger 1990, Velez and Klein 1990). We have tried to
provide a systematic order to the diverse procedures of surgery of inguinal hernias according to their repair principles. We also point out
their historical development. Indications: Any palpable mass,painful,that increase with any physical effort or Valsalva maniouver mean that the patient has an inguinal
hernia,can be direct when is coming from the Hesselbach triangule or indirect whem arise into the inguinal canal,both need to have a surgical
procedure to repair the defect. Mini Review
Volume 3 Issue 1 - March 2017
DOI: 10.19080/OAJS.2017.03.555602 Mini Review
Volume 3 Issue 1 - March 2017
DOI: 10.19080/OAJS.2017.03.555602 Abstract Procedure: The most common procedures to repair the direct hernia are the Zimmerman and Mc Vay, but most of the surgeons actually
prefer just to close the posterior wall (fascia transversalis) repairing the Hesselbach triangule.can be manually using non absorbible suture
open surgery with a small incision or laparoscopic procedure, how the laparoscopic procedure dont perform disection of the cremaster
muscle, we start to perform the open procedure the same way,and this approach was who show,that doing this kind of closing of the posterior
wall we can preserve the funtion of the cremaster muscle. Ralph Ger described the first potential laparoscopic inguinal hernia repair in 1982. He describes a metallic clip applying device to close the hernia sac during laparotomy for other operations. Reinaldo Silvestre* Surgeon Professor, Santa Cruz del Norte, Cubat
Submission: March 16, 2017; Published: March 20, 2017 *Corresponding author: Reinaldo Silvestre, Surgeon Professor, Santa Cruz del Norte, Cuba, USA, Tel:
Email: Open Access J Surg 3(1): OAJS.MS.ID.555602 (2017) Surgical Repair of Inguinal Direct Hernia without
Cremaster Resection Surgical Repair of Inguinal Direct Hernia without
Cremaster Resection References an earlier return to activity. Prior lower abdominal surgery or
pelvic radiation are strong relative contraindications, as these
may make access to the preperitoneal space difficult. 1. sages.org/wiki/laparoscopic-inguinal-hernia-repair. 2. Historical evolution of inguinal hernia repair. Department of General
Surgery, University Hospital, Johann Wolfgang Goethe University,
Theodor- Stern-Kai. Introduction mesh providing coverage over all defects, distributing intra-
abdominal pressure over the large mesh area, and requiring
minimal fixation, were primary principles of the laparoscopic
approach to inguinal hernia repair. The indications for
laparoscopic inguinal hernia repair, TAPP or TEP, are the same
for open inguinal hernia repair. They may be ideal for bilateral
inguinal hernias and recurrences from anterior approaches, but
is also appropriate with unilateral primary hernias when the
surgeon is comfortable with the technique. For young, active
males with primary hernias, it may ofter decreased pain and He eventually describes one case of laparoscopic inguinal
henria repair in a similar fashion with metallic lips only [1-5]. His approach was applicabe to hernia sacs with defects less than
1.25 cm. He did not describe reconstructing the inguinal floor
and his approach was not applicable for direct inguinal hernias. The first total extraperitoneal approach (TEP) to inguinal hernia
repair was first described by McKernon and Laws in 1993. As
with the transabdominal approach (TAPP), the principles touted
by Rives and Stoppa for open preperitoneal repair of a large 001 Open Access J Surg 3(1): OAJS.MS.ID.555602 (2017) Open Access Journal of Surgery Conclusion We would like to mention that the open procedure with
preservation of cremaster muscle had been the same results
that the laparoscopic procedure, also in good hands is very fast
procedure and less expensive ,because the surgeon dont need
any special tools like the laparoscopic approach. The recovery
time was the same,and the patient can go home the same day,
also can be perform just with sedation and local anesthesic. 3. Silvestre Review of two hundred patient at National Hospital of La
Habana,Cuba. 4. Eduardo
Bassini-jurnaluldechirurgie.ro/jurnal/docs/jurnal311/
art%2001_vol%207_2011. 5. Original Articles-link.springer.com/article/10.1007/s002689900220. 5. Original Articles-link.springer.com/article/10.1007/s002689900220. How to cite this article: Reinaldo S. Surgical Repair of Inguinal Direct Hernia without Cremaster Resection. Open Access J Surg. 2017; 3(1): 555602. DOI: 10.19080/OAJS.2017.03.555602. 002
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Simple and effective QoS schemes supporting VoIP traffic in IEEE 802.11 network
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Simple and effective QoS schemes supporting
VoIP traffic in IEEE 802.11 network Samson Chung Fai Chan
Ryerson University Follow this and additional works at: http://digitalcommons.ryerson.ca/dissertations Part of the OS and Networks Commons Part of the OS and Networks Commons Ryerson University
Digital Commons @ Ryerson
Theses and dissertations
1-1-2006
Simple and effective QoS schemes supporting
VoIP traffic in IEEE 802.11 network
Samson Chung Fai Chan
Ryerson University Ryerson University
Digital Commons @ Ryerson Recommended Citation Chan, Samson Chung Fai, "Simple and effective QoS schemes supporting VoIP traffic in IEEE 802.11 network" (2006). Theses and
dissertations. Paper 443. This Thesis is brought to you for free and open access by Digital Commons @ Ryerson. It has been accepted for inclusion in Theses and dissertations by
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All-optical recording and stimulation of retinal neurons in vivo in retinal degeneration mice
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Editor: William Rowland Taylor, University of
California Berkeley, UNITED STATES Editor: William Rowland Taylor, University of
California Berkeley, UNITED STATES
Received: January 11, 2018
Accepted: March 13, 2018
Published: March 29, 2018 Editor: William Rowland Taylor, University of
California Berkeley, UNITED STATES Copyright: © 2018 Cheong 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. All-optical recording and stimulation of retinal
neurons in vivo in retinal degeneration mice Soon Keen Cheong1¤*, Jennifer M. Strazzeri1,2, David R. Williams1,3, William H. Merigan1,2 1 Center for Visual Science, University of Rochester, Rochester, New York, United States of America,
2 Flaum Eye Institute, University of Rochester, Rochester, New York, United States of America, 3 Institute of
Optics, University of Rochester, Rochester, New York, United States of America ¤ Current address: Department of Ophthalmology, Stanford University, Palo Alto, California, United States of
America ¤ Current address: Department of Ophthalmology, Stanford University, Palo Alto, California, United States of
America
* skcheong@stanford.edu ¤ Current address: Department of Ophthalmology, Stanford University, Palo Alto, California, United States of
America
* skcheong@stanford.edu a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 Abstract Here we demonstrate the application of a method that could accelerate the development of
novel therapies by allowing direct and repeatable visualization of cellular function in the liv-
ing eye, to study loss of vision in animal models of retinal disease, as well as evaluate the
time course of retinal function following therapeutic intervention. We use high-resolution
adaptive optics scanning light ophthalmoscopy to image fluorescence from the calcium sen-
sor GCaMP6s. In mice with photoreceptor degeneration (rd10), we measured restored
visual responses in ganglion cell layer neurons expressing the red-shifted channelrhodopsin
ChrimsonR over a six-week period following significant loss of visual responses. Combining
a fluorescent calcium sensor, a channelrhodopsin, and adaptive optics enables all-optical
stimulation and recording of retinal neurons in the living eye. Because the retina is an acces-
sible portal to the central nervous system, our method also provides a novel non-invasive
method of dissecting neuronal processing in the brain. RESEARCH ARTICLE OPEN ACCESS Citation: Cheong SK, Strazzeri JM, Williams DR,
Merigan WH (2018) All-optical recording and
stimulation of retinal neurons in vivo in retinal
degeneration mice. PLoS ONE 13(3): e0194947. https://doi.org/10.1371/journal.pone.0194947 Editor: William Rowland Taylor, University of
California Berkeley, UNITED STATES
Received: January 11, 2018
Accepted: March 13, 2018
Published: March 29, 2018
Copyright: © 2018 Cheong 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. Imaging restored vision in the living eye adaptive optics scanning light ophthalmoscopy (AOSLO) [8, 9] with the genetically encoded
calcium sensor GCaMP6s [10] for single cell recording in the living eye. Here we detail signifi-
cant improvements to FACILE, including achieving consistent widespread expression of
GCaMP6s in mice, and implementation of Fourier analyses for efficiently extracting responses. We demonstrate the ability to measure the responses of hundreds of individual retinal neurons
with high sensitivity. Indeed, we demonstrate that our method is sensitive enough to detect
light driven neuronal responses in rd10 mice at ages where visual responses are undetectable
using electroretinogram [11–13]. We demonstrate the use of FACILE to monitor the success
of an optogenetics strategy for vision restoration. Among the variety of approaches being
developed to restore vision we chose to study optogenetics because of its potential to restore
vision (for example [14–17]) in a wide variety of retinal diseases and the simplicity of adminis-
tration, which requires a single intravitreal injection. We used the red-shifted channelrhodop-
sin ChrimsonR [18] in this study for two reasons. The first is because the longer wavelength
light needed to activate ChrimsonR is less phototoxic than short wavelength light [19]. The
second is that ChrimsonR mediated responses are easy to distinguish from those of the blue-
green sensitive intrinsically-photosensitive ganglion cells that survive in photoreceptor degen-
erative diseases, as well as any response that may be mediated by residual photoreceptors [20];
the loss of photoreceptors in photoreceptor degenerative diseases is often incomplete [21–23]. We employed the rd10 mouse model of retinal degeneration because it closely mimics the
cause and pathogenesis of human photoreceptor degenerative disease [11, 24], for example ret-
initis pigmentosa. In rd10 mice treated with ChrimsonR, we measured and tracked restored
visual responses in retinal neurons over a six-week period following significant loss of visual
responses. This study provides direct evidence that the light responses of individual retinal
neurons restored by ChrimsonR remain robust over an extended period of time. Blindness, New York, New York, as well as the
Beckman-Argyros Award from the Arnold and
Mabel Beckman Foundation. The funders had no
role in study design, data collection and analysis,
decision to publish, or preparation of the
manuscript. Competing interests: Within the past 5 years,
David Williams has received research support and
paid travel from Canon, Inc in the area of adaptive
optics retinal imaging. Materials and methods All animal procedures were conducted according to the ARVO Statement for the Use of Ani-
mals in Ophthalmic and Vision Research. All protocols were approved by the University of
Rochester Committee on Animal Resources. He is an inventor on the
following patents owned by the University of
Rochester that pertain to the adaptive optics
technology used to conduct this research. Rapid,
automatic measurement of the eye’s wave
aberration. Inventors: Williams, D.R., Vaughn, W.,
Singer, B., Hofer, H., Yoon, G-Y., Artal, P., Aragon,
J.L., Prieto, P., Vargas, F.U.S. Patent #6,199,986,
March 13, 2001. Wavefront sensor with off-axis
illumination. Inventors: Williams, D.R., Yoon, G-Y. U.S. Patent #6,264,328, July 24, 2001. Method and
apparatus for imaging in an eye. Inventors:
Williams, D.R., Morgan, J., Gray, D., Dubra, A. U.S. Patent #8226236, July 24, 2012. Method and
apparatus for imaging in an eye. Inventors:
Williams, D.R., Morgan, J., Gray, D., Dubra, A. Patent #8556428, October 15, 2013. By combining a fluorescent calcium sensor, a channelrhodopsin, and AOSLO we show that
it is possible to establish an all-optical [25] ‘read-write’ interface with large numbers of retinal
neurons in vivo. Because the retina is an accessible portal to the central nervous system, our
novel method also provides a non-invasive tool to disentangle complex neural circuitry and
processing of the brain. Introduction The development of vision restoration therapies such as optoelectronic, optogenetic, gene
therapy, and stem cell therapies [1–5] is slow because of limitations in existing methods to
evaluate the efficacy of the restoration. Methods such as patch clamp and multi-electrode array
recording provide single-cell resolution but only at a single time point per animal because they
are ex vivo techniques. In vivo methods such as electroretinography and visual evoked potential
recording can be used for longitudinal studies but do not provide information about changes
in individual retinal neurons. The gold standard for evaluating efficacy of vision restoration is
inevitably psychophysical but it is time consuming and usually ill-suited to determine why a
particular method fails. An imaging method that records the responses of many individual
neurons in the intact eye could accelerate the development of novel vision restoration thera-
pies by allowing direct and repeatable visualization of cellular function over time throughout
the therapeutic process. Data Availability Statement: Data are available
from the Dryad Digital Repository (https://doi.org/
10.5061/dryad.7q37g6b). Funding: This work was supported by grants from
the National Eye Institute of the National Institutes
of Health: EY001319, EY021166. The content is
solely the responsibility of the authors and does
not necessarily represent the official views of the
National Institutes of Health. This study was also
supported by an Unrestricted Grant to the
University of Rochester Department of
Ophthalmology from Research to Prevent We previously demonstrated proof of concept of functional adaptive optics cellular imaging
in the living eye (FACILE) in both the mouse [6] and monkey [7]. It combines high-resolution 1 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 AAV mediated gene transfection of mouse retinal neurons Adeno-associated viral (AAV) vectors were used to transfect mouse retinal neurons with either
GCaMP6s, or ChrimsonR, or both. Constructs used were Syn.ChrimsonR-tdTomato.WPRE. bGH and Syn.GCaMP6s.WPRE.SV40 packaged in either AAV2 or AAV9 capsids. Viruses
were purchased as custom preparations from the University of Pennsylvania Vector Core. Viral titers were 1.92x1013 GC/mL for AAV2.ChrimsonR, 2.23x1013 for AAV9.ChrimsonR,
2.38x1013 GC/mL for AAV2.GCaMP6s, and 4.04x1013 for AAV9.GCaMP6s. Intravitreal injec-
tions were made in animals that were at least 3 weeks of age. Achieving consistent robust expression of both GCaMP6s and ChrimsonR was a critical
step in being able to perform FACILE. We initially used GCaMP6s packaged in an AAV9 cap-
sid, which yielded inconsistent expression. In WT mice, expression was observed in 72.8% of
eyes injected with the AAV9 virus (n = 66). Expression was weak and/or patchy. In compari-
son, with an AAV2 virus, expression of GCaMP6s was observed in 93.7% of eyes injected
(n = 16), and was generally robust and widespread (Fig 1A). In rd10 mice, a similar trend was
observed. With AAV9, expression was observed in 53.2% of eyes injected (n = 47), and with
AAV2 100% of eyes injected (n = 39) showed expression of GCaMP6s (Fig 1B and 1C). We
also used AAV9.Syn.ChrimsonR-tdTomato and found that expression was generally weak and
limited to the region surrounding the optic disk. In sum, expression of GCaMP6s and Chrim-
sonR in inner retinal neurons was best achieved with AAV2 capsid delivered using intravitreal
injection. We initially made serial injections of GCaMP6s and then ChrimsonR with the aim to first
evaluate the loss of photoreceptor mediated visual responses in rd10 mice and then record
restored visual activity mediated by ChrimsonR. In 10 rd10 eyes we first injected GCaMP6s
and then ChrimsonR 48 days later. All eyes showed robust expression of GCaMP6s but only
half showed subsequent expression of ChrimsonR. In another 10 rd10 mouse eyes we per-
formed the converse experiment, first injecting ChrimsonR then GCaMP6s 21 days later. We observed robust widespread expression of ChrimsonR in 8 eyes but no GCaMP6s expres-
sion in any eye. Finally, we made co-injections of 1 μl of GCaMP6s and 1 μl of ChrimsonR. Expression of both GCaMP6s and ChrimsonR was observed in 9 eyes; 1 eye was not imageable. These observations suggest that mice build an immune response to AAVs that limits the suc-
cess of serial injections that are weeks apart. Animal preparation Adult photoreceptor degeneration type 10 (rd10, strain B6.CXB1-Pde6brd10/J, The Jackson Lab-
oratory, USA) and wild-type (WT, C57BL/6J, The Jackson Laboratory, USA) mice were used in
this study. They were house in standard cages, up to five individuals per cage, on a 12 hour
light-dark cycle. Animals were not used for any prior experiments. For intravitreal injections
and fundus imaging (< 30 min), mice were anesthetized using ketamine (0.1 mg g-1, JHP Phar-
maceuticals, USA) and xylazine (0.01 mg g-1, Akorn Inc., USA). For adaptive optics (AO) imag-
ing (~ 2 h), mice were anesthetized using a cocktail containing fentanyl (0.05 μg g-1, West-Ward
Pharmaceuticals Corp., USA), dexmedetomedine (Dexdomitor, 0.5 μg g-1, Orion Corp., Fin-
land), and midazolam (5 μg g-1, West-Ward Pharmaceuticals Corp., USA). At the conclusion of
the AO imaging session mice were given a reversal cocktail containing naloxone (1.2 μg g-1,
Hospira Inc., USA), atipamezole (Antisedan, 2.5 μg g-1, Orion Corp., Finland), and flumazenil
(0.5 μg g-1, Hikma Pharmaceuticals, UK). All drugs were administered intraperitoneally. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 2 / 20 Imaging restored vision in the living eye Adequate anesthesia was evaluated by checking the toe-pinch and corneal reflexes. During AO
imaging, additional heating was provided to maintain the internal body temperature at 37˚C
and animals were ventilated on 100% oxygen. Ophthalmic hypromellose gel (Genteal, 0.3%,
Alcon, USA) was applied to prevent the corneas from drying. Antibacterial steroidal ophthalmic
ointment (Neomycin and Polymyxin B Sulfates, Bacitracin Zinc with Hydrocortisone Ophthal-
mic Ointment USP, Bausch and Lomb, USA) was applied at the end of each imaging procedure
to prevent the development of corneal opacities due to infection and drying. Adequate anesthesia was evaluated by checking the toe-pinch and corneal reflexes. During AO
imaging, additional heating was provided to maintain the internal body temperature at 37˚C
and animals were ventilated on 100% oxygen. Ophthalmic hypromellose gel (Genteal, 0.3%, PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 AAV mediated gene transfection of mouse retinal neurons In sum, co-expression was best achieved with co-
injections. For the results we report here, four female WT mice, four male and one female rd10 mice
received only GCaMP6s (2 μl per eye). Three female rd10 mice received both GCaMP6s and
ChrimsonR-tdTomato (1 μl per virus per eye). A fundus camera (Micron III, Phoenix Re-
search Laboratories, USA) with custom filters (GCaMP6s: excitation FF01-498 SP [Semrock
Inc, USA], emission ET525/50 [Chroma Technology Corporation, USA]; ChrimsonR-tdTo-
mato: excitation FF02-525/40 [Semrock Inc, USA], emission band-pass 590/47) was used to
assess and map expression of GCaMP6s and ChrimsonR-tdTomato. The scale of fundus
images was measured by matching vascular landmarks, such as blood vessel branch points, in PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 3 / 20 Imaging restored vision in the living eye Fig 1. Expression of GCaMP6s and ChrimsonR-tdTomato in mouse retinae. (A-D) Fluorescent fundus images
showing (A) GCaMP6s expression in wild-type (WT) mouse retina at age P64, 20 days after injection of AAV2. GCaMP6s, (B) GCaMP6s expression in rd10 mouse retina not treated with ChrimsonR at age P43, 19 days after
injection, and (C & D) GCaMP6s expression and ChrimsonR-tdTomato co-expression in rd10 mouse retina at age
P93, 49 days after injection of AAV2.GCaMP6s and AAV2.ChrimsonR. Scale bar in D indicates 500 μm. (E-G)
Vertical section of an rd10 retina showing Hochst-stainned nuclei (E), expression of GCaMP6s (F) and ChrimsonR-
tdTomato (G). Cell bodies co-labeled with GCaMP6s and ChrimsonR are indicated by arrows. Tissue was harvested
from a mouse aged P240, 196 days after injection. Scale bar in G indicates 50 μm. (H & I) GCaMP6s fluorescent
neurons in a WT mouse at age P50, 26 days after injection, (H) and rd10 mouse treated with ChrimsonR at age P112,
69 days after injection, (I) imaged in vivo using an adaptive optics ophthalmoscope focused at the ganglion cell layer. Scale bar in I indicates 10 μm Fig 1. Expression of GCaMP6s and ChrimsonR-tdTomato in mouse retinae. (A-D) Fluorescent fundus images
showing (A) GCaMP6s expression in wild-type (WT) mouse retina at age P64, 20 days after injection of AAV2. GCaMP6s, (B) GCaMP6s expression in rd10 mouse retina not treated with ChrimsonR at age P43, 19 days after
injection, and (C & D) GCaMP6s expression and ChrimsonR-tdTomato co-expression in rd10 mouse retina at age
P93, 49 days after injection of AAV2.GCaMP6s and AAV2.ChrimsonR. Scale bar in D indicates 500 μm. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 In vivo functional adaptive optics calcium imaging High resolution in vivo retinal imaging was performed using a custom built mouse adaptive
optics scanning light ophthalmoscope (see [26] for system details). All in vivo imaging was per-
formed within an eccentricity of 20˚ from the center of the optic disk. Fluorescence from
GCaMP6s was excited using a 488 nm laser diode (iChrome MLE-L, Toptica Photonics Inc.,
USA) and band-pass filtered (FF01–520/35, Semrock Inc, USA). Simultaneous reflectance
imaging of blood vessels was performed using a 790 nm laser diode (S790-G-I-15, Superlum
Diodes Ltd., Ireland). Eye motion was computed using the reflectance images of retinal vascu-
lature [27] and motion correction was applied to both reflectance and fluorescence data. Wavefront correction was done using a 905 nm laser diode (QFLD-905-10S, QPhotonics LLC,
USA) and deformable mirror. All imaging lights were scanned over a 5 x 6.7˚ (160 x 215 μm)
field on the retina. Light intensity at pupil was 100 μW for 488 nm, 185 μW for 796 nm, and
7 μW for 904 nm. A 75 μm pinhole for was used for fluorescence imaging and 50 μm pinhole
infrared reflectance imaging. Mice were positioned in a custom-built holder with bite bar. Mydriasis and cyclopegia were
achieved with one drop of phenylephrine hydrochloride (2.5%, Akorn Inc., USA) and one
drop of tropicamide (0.5%, Alcon, USA). Contact lenses (material: PMMA, base curvature: 1.6
mm, power: +10 D, diameter: 3.0 mm, center thickness: 0.3, Advanced Vision Technologies,
USA) were placed on the eyes using lubricant eye drops (carboxymethylcellulose sodium 0.5%,
Refresh Tears, Allergan, USA) to prevent the corneas from drying. LEDs with peak emission at
365 nm (M365L2-UV, Thorlabs, USA) to drive short wavelength sensitive (S) opsin, or 620
nm (M565L3, Thorlabs, USA; with band-pass filter FF01–571/72–25, Semrock Inc, USA) to
drive ChrimsonR were used to provide visual stimuli in Maxwellian view over 8˚ diameter
patch of retina. Light power of the LEDs measured at the pupil were 20 μW for 365 nm, and
100 μW for 620 nm. Retinal irradiance was calculated to be 33.6 mW.cm-2 for 365 nm, and
168.1 mW.cm-2 for 620 nm. Stimuli were temporally modulated (0.2 Hz), uniform field, square
waves. Spectra of light sources used in AO imaging were measured using a spectrometer
(USB4000, Ocean Optics, USA). Fig 2 shows the measured spectra of the stimulation and
imaging lights, spectral sensitivities of mouse opsins, and action spectra of GCaMP6s. Imaging restored vision in the living eye an adult WT mouse retina in fundus images and in micrographs taken of the same retina,
unfixed, with a calibrated microscope. In vivo functional adaptive optics calcium imaging Neuronal responses, measured using GCaMP6s, were quantified by computing the power
and phase of the GCaMP6s fluorescent signal at the temporal frequency of the stimulus (fun-
damental harmonic or F1). A normalized response was computed by dividing the F1 by the
mean of the response time course (F0). Activity maps of normalized response amplitude (F1/
F0, Fig 3B) and phase (Fig 3C) were constructed by applying the frequency computation to the
video sequence on a pixel-by-pixel basis. Cell segmentation was performed manually to gener-
ate an ROI mask (Fig 3D) using activity maps and SUM image (Fig 3A), constructed by inte-
grating all frames in the video. The ROI mask was applied to the original video sequence and
average response time courses were computed for each ROI (Fig 3E and 3F). Response for
each cell was then quantified using the frequency analysis described above. Recording noise
was analyzed by computing the mean and SD amplitude of response from 10–12 Hz. All data
analysis was done using MATLAB (ver. 2015b, MathWorks, USA). AAV mediated gene transfection of mouse retinal neurons (E-G)
Vertical section of an rd10 retina showing Hochst-stainned nuclei (E), expression of GCaMP6s (F) and ChrimsonR-
tdTomato (G). Cell bodies co-labeled with GCaMP6s and ChrimsonR are indicated by arrows. Tissue was harvested
from a mouse aged P240, 196 days after injection. Scale bar in G indicates 50 μm. (H & I) GCaMP6s fluorescent
neurons in a WT mouse at age P50, 26 days after injection, (H) and rd10 mouse treated with ChrimsonR at age P112,
69 days after injection, (I) imaged in vivo using an adaptive optics ophthalmoscope focused at the ganglion cell layer. Scale bar in I indicates 10 μm. https://doi.org/10.1371/journal.pone.0194947.g001 https://doi.org/10.1371/journal.pone.0194947.g001 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 4 / 20 Histology Animals were euthanized using CO2 asphyxiation and cervical dislocation. Eyes were immedi-
ately enucleated and immersed in 4% paraformaldehyde in 0.1M phosphate buffer, pH 7.4, for 5 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Imaging restored vision in the living eye normalized sensitivity/intensity
wavelength (nm)
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action spectra of mouse photoreceptor opsins, melanopsin, ChrimsonR, GCaMP6s excitation and emission, and
measured spectra of light sources: 488 nm GCaMP6s excitation laser, and 365 nm and 620 nm stimulating LEDs. https://doi.org/10.1371/journal.pone.0194947.g002 normalized sensitivity/intensity
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action spectra of mouse photoreceptor opsins, melanopsin, ChrimsonR, GCaMP6s excitation and emission, and
measured spectra of light sources: 488 nm GCaMP6s excitation laser, and 365 nm and 620 nm stimulating LEDs. https://doi.org/10.1371/journal.pone.0194947.g002 https://doi.org/10.1371/journal.pone.0194947.g002 1–2 hours. The anterior chamber, lens and vitreous were removed. Transverse retinal sections
of 12 μm thickness were cut using a cryostat and stained with Hoechst 33342 (0.5 μg ml-1,
Thermo Fischer Scientific, USA) for 10 minutes then washed in phosphate buffer for 10 min-
utes. Sections were mounted using antifade mounting medium (Vectashield, Vector Laborato-
ries, USA). Images were taken with a Zeiss M1 epifluorescence microscope with AxioVision
software. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Imaging restored vision in the living eye Fig 3. Computing neuronal responses from in vivo calcium imaging data. (A) GCaMP6s fluorescent retinal neurons in a WT mouse retina imaged
in vivo using an adaptive optics ophthalmoscope focused at the ganglion cell layer. (B) Color map showing normalized response amplitude to the UV
(365 nm) stimulus. (C) Color map of response phase to the 365 nm stimulus. (D) Cell segmentation mask constructed from fluorescence intensity
image (B) and response color maps (C & D). Scale bar indicates 10 μm and applies to A-D. (E & F) Response time courses of cells indicated in A-D. Shaded bars indicate presentation of the 365 nm LED at 20 μW. Three consecutive trials are shown, the first at the top. Cell E shows ON responses to
UV light. Cell F shows OFF responses to UV light. https://doi.org/10.1371/journal.pone.0194947.g003 https://doi.org/10.1371/journal.pone.0194947.g003 both GCaMP6s and ChrimsonR. Cell nuclei stained with Hoechst (Fig 1E) indicate the gan-
glion cell (GCL), inner plexiform (IPL), and inner nuclear (INL) layers. The outer nuclear and
outer plexiform layers are not present because the photoreceptors have degenerated [11–13,
24]. Cytoplasmic expression of GCaMP6s was observed in the soma of cells in the GCL as well
as in some cells in the INL, and processes in the IPL (Fig 1F). Membrane-localized expression
of ChrimsonR-tdTomato was observed in cell bodies in the GCL and INL (Fig 1G); arrows
indicate co-labeled cells. The IPL was strongly labeled with ChrimsonR-tdTomato because of
the high density of cell membranes. Fig 1H and 1I show images of GCaMP6s fluorescent neu-
rons imaged in vivo using an AOSLO in a WT and rd10 mouse retina respectively. The plane
of focus was at the ganglion cell layer. Nuclei can be seen as darkened regions within some cell
bodies, consistent with the cytoplasmic expression of GCaMP6s. Our AOSLO instrument has
sufficient resolution to section the ganglion cell layer from the rest of the retina. The use of a
synapsin promoter limits the expression of GCaMP6s and ChrimsonR to neurons but is not
subtype specific. Thus, AO images of neurons in the GCL are likely to contain displaced ama-
crine cells, which are estimated to make up ~59% of neurons in the GCL [28]. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Robust, widespread expression of GCaMP6s and ChrimsonR in retinal
neurons To measure neuronal responses to light, the genetically encoded calcium sensor GCaMP6s was
inserted into wild-type (WT, C57BL/6J) mice and rd10 (B6.CXB1-Pde6brd10/J) mice by intravi-
treal injection of AAV2.Syn.GCaMP6s. Fig 1A and 1B show fluorescence fundus images of
GCaMP6s expression in a WT and rd10 mouse retina, respectively. To study channelrhodop-
sin mediated restored vision, another group of rd10 mice received co-injections of AAV2. Syn.ChrimsonR-tdTomato and AAV2.Syn.GCaMP6s. Fig 1C and 1D show expression of
GCaMP6s and tdTomato tagged ChrimsonR respectively in the same rd10 mouse retina. Note
the substantial axonal label in Fig 1D indicating expression of ChrimsonR in ganglion cells. Because ChrimsonR is a membrane-localized ion channel, the axon bundles appear more
prominently labelled, as opposed to somata, as there is relatively more membrane to cytoplasm
in the axon versus the cell body. Conversely, GCaMP6s expression is cytosolic, and thus more
prominently labels cell bodies as there is relatively more cytosol in the cell body than in the
axon. Despite our attempt at maintaining consistent injection parameters, we observed varying
expression pattern (patchiness) and intensity between eyes, which we attribute to inherent var-
iability between eyes. Fig 1E–1G show histological micrographs of rd10 retina that received PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 6 / 20 Imaging restored vision in the living eye A
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March 29, 2018
7 / 20 0 0˚ (OFF)
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March 29, 2018 7 / 20 S1 Movie shows an annotated version of
the video data used to generate Fig 3. For presentation, frames from the original video file
have been binned five frames per bin and playback is four times real speed. The stimulus
waveform (bottom) and flashing square (top right) indicate when the LED was turned on. The response time course for each cell was subsequently analyzed in the Fourier domain to
quantify responses to light stimulation (Fig 4). The F1 amplitude was divided by the mean
signal (F0) to compute a normalized response. Wild-type mice exhibit robust responses to UV stimulation Consistent with the spectral sensitivity of mouse photoreceptors, UV (365 nm LED) light stim-
ulation drives vigorous responses in WT mice whereas red (620 nm LED) light stimulation
does not. Light responses in WT mice are summarized in Fig 4A. The overall response to UV
light was 0.16 ± 0.08 (mean ± SD) and to red light was 0.02 ± 0.01 (n = 296). Recording noise
was analyzed by computing the mean and SD amplitude at frequencies from 10–12 Hz. We
considered cells as significantly responding if the F1 amplitude was greater than the mean plus
three SD of the noise. To UV light stimulation, of 306 cells analyzed, 305 cells had significant
responses. To red light stimulation, of 351 cells analyzed, 170 cells had significant responses. A
Rayleigh’s test of uniformity of response phase for all cells with significant responses to the red
LED resulted in rejection of the null hypothesis (P < 0.01), that is, response phase to red light
stimulation was not uniformly distributed. This indicates that in WT mice, there is a response
to red light, albeit a small one. Data was pooled from 13 retinal locations across 4 eyes from 4
animals. Not all cells had responses recorded to both UV and red light stimulation, that is, data
in Fig 4 shows the subset of data where cell responses to both UV and red light stimulation
were recorded. Analyses of significant responses to either UV or red light, therefore have
greater sample sizes. Imaging restored vision in the living eye a map of response phase. Cells with high fluorescent signal show up well in the SUM
image. Cells that respond strongly to the visual stimulus, but do not necessarily have a
high overall fluorescent signal, show up well in the response amplitude map. The map of
response phase was used to further refine cell boundaries. Fig 3D shows the resulting cell
segmentation mask. The segmentation mask was applied to the original video sequence
and response time courses were computed for each segmented cell by averaging across all
pixels in the segment. Response time courses of a neighboring ON cell and OFF cell are
shown in Fig 3E and 3F, respectively. Three consecutive trials are shown for each cell. The
growth in response for the trial shown in Fig 3F top row was consistently observed during
the first trial as the retina adapted to light onset. S1 Movie shows an annotated version of
the video data used to generate Fig 3. For presentation, frames from the original video file
have been binned five frames per bin and playback is four times real speed. The stimulus
waveform (bottom) and flashing square (top right) indicate when the LED was turned on. The response time course for each cell was subsequently analyzed in the Fourier domain to
quantify responses to light stimulation (Fig 4). The F1 amplitude was divided by the mean
signal (F0) to compute a normalized response. a map of response phase. Cells with high fluorescent signal show up well in the SUM
image. Cells that respond strongly to the visual stimulus, but do not necessarily have a
high overall fluorescent signal, show up well in the response amplitude map. The map of
response phase was used to further refine cell boundaries. Fig 3D shows the resulting cell
segmentation mask. The segmentation mask was applied to the original video sequence
and response time courses were computed for each segmented cell by averaging across all
pixels in the segment. Response time courses of a neighboring ON cell and OFF cell are
shown in Fig 3E and 3F, respectively. Three consecutive trials are shown for each cell. The
growth in response for the trial shown in Fig 3F top row was consistently observed during
the first trial as the retina adapted to light onset. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Functional adaptive optics cellular imaging in the living eye Fig 2 shows the measured spectra of the light sources used in FACILE along with the action
spectra of mouse photoreceptors [29–31], GCaMP6s [32], and ChrimsonR [18]. A 488 nm
laser was used to excite GCaMP6s fluorescence. For visual stimulation, a 365 nm ultraviolet
(UV) LED was used to stimulate mouse short-wavelength sensitive (S) opsin to drive intrinsic
visual responses. A 620 nm red LED was used to drive ChrimsonR. A band-pass filter (FF01–
520/35, Semrock Inc, USA) (S1 Fig) was used to transmit light from GCaMP6s fluorescence as
well as block light from tdTomato fluorescence and the stimulating LEDs. All in vivo imaging
was performed in central retina within an eccentricity of 20˚. Because FACILE requires exposing the retina to high intensity visible light, damage can
occur to the retina due to phototoxicity [33, 34]. Improved efficiency in extracting visual
responses reduces the total number of trials needed and therefore the time the retina is
exposed to light. To this end, we implemented a Fourier analysis technique routinely used in
visual electrophysiology [35]. The classical method to quantify calcium responses from fluores-
cent calcium indicators is to compute the ratio of fluorescence change commonly referred to
as ΔF/F. This metric is not ideal for functional imaging of retinal neurons for two reasons. First, the light used to excite the fluorescent calcium indicator activates the visual response. Second, spontaneous activity may be falsely interpreted as a response to visual stimulation;
spontaneous activity is known to increase during retinal degeneration [36–38]. Fig 3 shows the process for extracting response time courses for single cells. A 365 nm LED
was used to stimulate a WT mouse retina with a 0.2 Hz temporally modulated square-wave, 8˚
circular, uniform field. Three criteria were used to manually segment individual cells, a fluo-
rescent intensity or “SUM” image (Fig 3A) computed by integrating all frames in the video,
and functional maps (Fig 3B and 3C), constructed by applying a Fourier transform to the
video data, pixel-by-pixel, to extract the power and phase of the GCaMP6s signal at the tempo-
ral frequency of the stimulus (F1). Fig 3B shows a response amplitude map, and Fig 3C shows 8 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Substantial reduction of response in rd10 mice by postnatal day 99 To show age dependent loss of visual responses in rd10 mice, Fig 4B summarizes recordings in
two groups of rd10 mice that did not receive ChrimsonR aged postnatal day P50 and P99. Strong visual responses to UV light was observed in few cells at age P50, but responses declined
by age P99. No robust responses to red light stimulation were observed at either age. The over-
all response for the P50 group to UV light was 0.04 ± 0.03 and red light 0.02 ± 0.01 (n = 126). The overall response for the P99 group to UV light was 0.03 ± 0.01 and red light 0.02 ± 0.01
(n = 170). At P50 and to UV light stimulation, of 130 cells analyzed, 129 showed significant
responses. Analysis of response phase shows clustering of cells with ON and OFF responses
(S2A Fig). At P50 and to red light stimulation, of 135 cells analyzed, 118 cells showed signifi-
cant responses, and of these cells, response phase was significantly non-uniformly distributed
(Rayleigh’s test p < 0.01, S2C Fig). At P99 and to UV light stimulation, of 174 cells analyzed,
128 showed significant responses. ChrimsonR restores lasting visual responses in rd10 mice Responses to UV and red light stimulation in rd10 mice that received ChrimsonR are sum-
marized in Fig 4C. Recordings were made in one group of mice at three different ages:
P70, P84 and P112 (26, 40, and 68 days after injection of ChrimsonR respectively). Strong
responses to red light stimulation were observed at all time points measured. The overall
response to red light stimulation at P70 was 0.12 ± 0.06 (n = 202), at P84 0.07 ± 0.04
(n = 171), and at P112 0.09 ± 0.05 (n = 427). The overall response to UV light stimulation
at P70 was 0.06 ± 0.02 (n = 202), at P84 0.05 ± 0.01 (n = 171), and at P112 0.06 ± 0.01
(n = 427). To red light stimulation, at P70, of 250 cells analyzed, 250 showed significant
responses; at P84, of 172 cells analyzed, 170 showed significant responses; and at P112 of
487 cells analyzed, 487 showed significant responses. To UV light stimulation, at P70, of
216 cells analyzed, 215 showed significant responses; at P84, of 190 cells analyzed, 188
showed significant responses; and at P112 of 455 cells analyzed, 453 showed significant
responses. The high proportion of cells responding significantly to UV light stimulation,
with response amplitudes greater than those observed in rd10 mice without ChrimsonR,
may be due to the small, but not-insignificant, overlap of ChrimsonR action spectrum with
the UV light spectrum. P70 data was pooled from 9 retinal locations across 4 eyes from 3
animals. P84 data was pooled from 7 retinal locations across 2 eyes from 2 animals; poor
optical quality of the eye for one subject prevented imaging at this time point. P112 data
was pooled from 10 retinal locations from 3 eyes across 3 animals. Because the FACILE method enables non-invasive neuronal recording in the living eye, the
same cells from the same retinal locations in the same animal can be studied over time. Fig 5
shows analyses of responses measured in the same rd10 mice with ChrimsonR at age P70 and
P112. Fig 5A and 5B show images of GCaMP6s fluorescent neurons captured in vivo at age
P70 and P112, respectively, for one retinal location. Fig 5C shows the responses for a subset of
neurons (thin grey lines), from 7 locations across 3 animals, that were tracked across ages P70
and P112. Imaging restored vision in the living eye Imaging restored vision in the living eye Fig 4. Single cell responses to visual stimulation. Scatter plot of single cell responses to UV (365 nm, 33.6 mW.cm-2
at the retina) and red (620 nm, 168.1 mW.cm-2 at the retina) flashing LED stimuli. Each data point represents one cell. (A) Recordings from WT mice injected with only GCaMP6s at age P71, 27 days after injection. (B) Recordings from
two separate groups of rd10 mice injected with only GCaMP6s. The first group was imaged at age P50, 26 days after
injection, and the second group was imaged at age P99, 70 days after injection. (C) Recordings from one group of rd10
mice injected with both GCaMP6s and ChrimsonR at three time points: P70, P84, and P112, which are 26, 40, and 68
days post injection respectively. Fig 4. Single cell responses to visual stimulation. Scatter plot of single cell responses to UV (365 nm, 33.6 mW.cm-2
at the retina) and red (620 nm, 168.1 mW.cm-2 at the retina) flashing LED stimuli. Each data point represents one cell. (A) Recordings from WT mice injected with only GCaMP6s at age P71, 27 days after injection. (B) Recordings from
two separate groups of rd10 mice injected with only GCaMP6s. The first group was imaged at age P50, 26 days after
injection, and the second group was imaged at age P99, 70 days after injection. (C) Recordings from one group of rd10
mice injected with both GCaMP6s and ChrimsonR at three time points: P70, P84, and P112, which are 26, 40, and 68
days post injection respectively. https://doi.org/10.1371/journal.pone.0194947.g004 https://doi.org/10.1371/journal.pone.0194947.g004 only ON responses (S2B Fig). At P99 and to red light stimulation, of 199 cells analyzed, 87 cells
showed significant responses, and of these cells, response phase was significantly non-uni-
formly distributed (Rayleigh’s test p < 0.01, S2D Fig). OFF responses must be mediated by
photoreceptors. ON responses may be mediated by photoreceptors or by the intrinsic light
sensitivity of melanopsin-containing ganglion cells. We conclude that rd10 mice retain signifi-
cant, although small, light responses at ages undetectable by electroretinogram [11, 12], but
consistent with the findings of Stasheff et al. [38]. P50 data was pooled from 9 retinal locations
across 2 eyes from 2 animals. P99 data was pooled from 11 retinal locations across 4 eyes from
3 animals. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Substantial reduction of response in rd10 mice by postnatal day 99 Analysis of response phase shows clustering of cells with PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 9 / 20 Imaging restored vision in the living eye 0
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PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018
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C C Response to UV LED PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 10 / 20 ChrimsonR restores lasting visual responses in rd10 mice (A & B) Images of GCaMP6s fluorescent neurons in an rd10 mouse eye
treated with ChrimsonR imaged at two different time points, P70 (A) and P112 (B), at the same location. Scale bar in B indicates 10 μm. (C) Responses of individual
cells (n = 137) to red (620 nm) light stimulation that were measured at both ages P70 and P112. Gray thin lines represent single cells. The thick red line shows the
mean and SD. Data were pooled from seven retinal locations, from three animals. (D & E) Histograms of response (F1) phase for cells recorded in the same group of
rd10 ChrimsonR treated mice, at ages P70 (D) and P112 (E). The number of cells analyzed at P70 was 250, and at P112 was 487. https://doi.org/10.1371/journal.pone.0194947.g005 https://doi.org/10.1371/journal.pone.0194947.g005 ChrimsonR restores lasting visual responses in rd10 mice The thick red line shows the mean, and error bars indicate SD. Despite the down-
ward trend of response amplitudes to red light over time, analysis of response phase from all
cells recorded at each time point (including cells that had responses recorded only at either
P70 or P112, but not both) shows strong phase locking at both ages (Fig 5D) indicating signifi-
cant, long-lasting responses to red light. 11 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Imaging restored vision in the living eye -180
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treated with ChrimsonR imaged at two different time points, P70 (A) and P112 (B), at the same location. Scale bar in B indicates 10 μm. (C) Responses of individual
cells (n = 137) to red (620 nm) light stimulation that were measured at both ages P70 and P112. Gray thin lines represent single cells. The thick red line shows the
mean and SD. Data were pooled from seven retinal locations, from three animals. (D & E) Histograms of response (F1) phase for cells recorded in the same group of
rd10 ChrimsonR treated mice, at ages P70 (D) and P112 (E). The number of cells analyzed at P70 was 250, and at P112 was 487. https://doi.org/10.1371/journal.pone.0194947.g005 P70
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C D C Fig 5. Tracking responses of individual cells over time in rd10 mice with ChrimsonR. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Tracking loss of function in retinal disease We employed the rd10 mouse model of retinal degeneration because it closely mimics the
cause and pathogenesis of autosomal recessive photoreceptor degenerative disease in humans
[11, 24]. Visual function in rd10 mice measured with electroretinogram, peaks at 3 weeks of
age before becoming non-detectable by 5 weeks to 2 months [11–13]. We first imaged rd10
mice at age P99 expecting to find complete loss of visual responses by this late age. Response
amplitudes to UV light stimulation were small (Fig 4B), however most cells analyzed showed
significant responses. Analysis of response phase shows phase locking to the stimulus (S2B
Fig). Nearly all responses were of ON type suggesting it may be mediated by melanopsin, as
there is a small degree of overlap between the UV stimulus and melanopsin action spectrum
(Fig 2). However, the density of M1 and M2 melanopsin containing ganglion cells in mouse is
approximately 60 cells.mm-2 [39]. For our imaging field of view of 5 x 6.7˚ or 160 x 215 μm,
the expected number of melanopsin positive cells is approximately two per imaging location,
which is far fewer than the number of responding cells encountered. A third population of
melanopsin containing ganglion cells exist, M3 type, but they are even more sparse, estimated
to be ~10% of the total intrinsically photosensitive retinal ganglion cell population in rodents
[40]. An alternative explanation may be, that despite the sparsity of melanopsin cells, their pro-
cesses, which contain GCaMP6s, may be the source of the GCaMP6s signal. One method to
test for this would be to perform the same experiment in rd10 melanopsin knockout mice. We subsequently measured the visual responses in P50 mice, an age where photoreceptor
mediated light responses are expected to be absent [11–13], however see [38]. By recording
from individual neurons, we found that nearly all cells examined with UV light stimulation
showed significant responses. Responses were phased locked and clustered in two groups, ON
and OFF cells (S2A Fig). OFF responses must be mediated by photoreceptor input. Taken
together, the high spatial resolution of FACILE and sensitivity of the experimental design and
analysis indicate that rd10 mice retain photoreceptor mediated light responses for much longer
than expected. Photoreceptor degeneration in the rd10 mouse begins several weeks after birth but pro-
gresses rapidly. Discussion Here we present an imaging method that stimulates and records the responses of many indi-
vidual neurons in the intact eye. It combines high-resolution adaptive optics ophthalmoscopy
of a genetically encoded calcium sensor (FACILE) with optogenetic activation of retinal neu-
rons. The novel advantages of FACILE stem from its ability to non-invasively image neuronal
function in vivo, and to do so repeatedly in the same animals over long periods of time. We
show that recordings using FACILE can be used to track the loss of function in an animal
model of retinal disease and evaluate the success of an optogenetic therapy for restoring vision. This new approach to all-optical stimulation and recording of individual neurons in the living
eye is ideal for tracking long-term retinal function, as well as dissecting neuronal circuitry of
the central nervous system. Imaging restored vision in the living eye tdTomato, or phototoxicity from in vivo imaging (FACILE) was not an issue. The resting intensity
of GCaMP6s intensity did, however, diminish slightly (S3A, S3C, S3E and S3F Fig). tdTomato, or phototoxicity from in vivo imaging (FACILE) was not an issue. The resting intensity
of GCaMP6s intensity did, however, diminish slightly (S3A, S3C, S3E and S3F Fig). ChrimsonR and GCaMP6s expression persists over many months The optical quality of the mouse eye declines with age due to the development of cataracts and
corneal opacities, which tend to form along the optical axis, to the point where adaptive optics
imaging can no longer resolve individual cells. However, by imaging the retina with a fundus cam-
era at an oblique angle, the opacities can be avoided allowing assessment of the long-term expres-
sion of GCaMP6s and ChrimsonR-tdTomato (S3 Fig). Expression of ChrimsonR-tdTomato and
GCaMP6s in rd10 mice remained highly visible out to P232, 188 days after injection. Expression
remained widespread without overt changes in the pattern of fluorescence. Lack of drop out of
fluorescent cells suggests that cell loss due to excessive expression of GCaMP6s or ChrimsonR- PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 12 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Imaging restored vision in the living eye characterized by the degeneration of the RGCs and optic nerve and is a leading cause of irre-
versible vision loss worldwide [43–45]. Common pathologies have been found between
Alzheimer’s disease and Glaucoma [46–48]. Inducible models of glaucoma such as elevated
intraocular pressure or optic nerve crush are established [49]. Thus, understanding the func-
tional changes in RGCs following axon injury using FACILE has the potential to improve the
general understanding and treatment of many neurodegenerative diseases. Light levels to drive ChrimsonR A novel aspect of this study of vision restoration is the use of ChrimsonR, which has an activa-
tion spectrum red-shifted by 45 nm relative to previous channelrhodopsins [18]. This is advan-
tageous because light at longer wavelengths is safer than short wavelength light [19]. The
maximum permissible exposure (MPE) as defined in the ANSI standard (2007, Z136, section
8) for human exposure to 620 nm up to 8 hours is 40 μW. The light level we employed to stim-
ulate ChrimsonR in the mouse eye was 100 μW. To achieve an equivalent level of irradiance in
the human eye, a scaling factor can be computed as the square of the ratio of the numerical
apertures of mouse (0.49) and human (0.24) eyes, which yields 4.168 x 100 μW or 416.8 μW. Despite this high level of 620 nm light, we did not observe overt changes in retinal structure of
drop out of fluorescent cells that might indicate phototoxicity. The aim of this study was to
demonstrate the feasibility to track ChrimsonR mediated responses using in vivo imaging,
therefore we used a high light level to drive a robust ChrimsonR response. Lack of drop out of
fluorescent cells suggests that cell loss due to phototoxicity from in vivo imaging and Chrim-
sonR stimulation was not an issue (S3 Fig). Further studies are needed to determine the mini-
mum light levels needed to stimulate ChrimsonR, in order to drive neuronal activity as well as
visually guided behavior. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Tracking loss of function in retinal disease The rhodopsin knockout (Rho-/-) mouse displays a much slower rate of photo-
receptor degeneration, over months [41], and may be an alternative for tracking the loss of
function with greater temporal detail. FACILE can be used to study longitudinal retinal function at unprecedented resolution in a
vast variety of animal models of retinal disease (for review see [42]). Glaucoma is a disease 13 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 A new tool to accelerate retinal research and study neuronal circuitry It is possible to record calcium responses of individual cells in vivo in the retina without AO
[52, 53]. AO does allow substantial increases in resolution in all three spatial dimensions in
vivo [26, 54], which will decrease the optical crosstalk from nearby cells. This in principle
allows a cleaner signal from individual cells and probably increases the total number of cells
from which recordings can be made. However, a quantitative assessment of the benefit of AO
would require experiments we have not performed. A possible future application of FACILE is
to image the calcium dynamics in subcellular compartments such as dendrites [55], or record
from nearly every cell within a field of view with clarity [56]. A challenge with using intensity changes in a single-wavelength fluorescent sensor with FAC-
ILE is the difficulty in interpreting responses across individual cells, animals, and different time
points. Expression level of the sensor is variable from cell to cell, even in local regions of the ret-
ina, and may change over time. In addition, variations in optical quality of the eye across imaging
time points and finding the same plane of focus in repeated imaging sessions can result in varia-
tions in excitation intensity and fluorescent signal. The solution for these challenges of quantifi-
cation lie in the use of fluorescence resonance energy transfer (FRET) based sensors [57] because
they provide a ratiometric readout. FRET sensors can easily be combined with FACILE. The FACILE method can be extended to study a multitude of biochemical and physiological
processes within individual neurons using a wide array of fluorescent sensors, including molecules
sensitive to voltage, glucose and glutamate, among others. The “in vivo” aspect makes FACILE
well suited for studies in large animals such as dogs and non-human primates because it reduces
the number of animals needed when assessing the time course of vision loss and therapy. The read-write capability we demonstrate here in the mouse retina is a first step toward the
development of a host of new tools for dissecting the neuronal circuits. Selective targeting of
ganglion cell subtypes with specific promoters is already possible. For example, a comprehen-
sive characterization of some ganglion cell subtypes such as alpha-like, On-Off and On-type
direction-selective ganglion cells has been facilitated by transgenic mouse lines which express
fluorescent proteins under the control of specific promoters [58–63]. A new tool to accelerate retinal research and study neuronal circuitry Combined with the vast
range of reporter molecules already available, it looks increasingly likely that the most success-
ful method to interface the nervous system with computers will be an optical one. Tracking the long-term efficacy of ChrimsonR vision restoration This study demonstrates that light responses in retinal neurons of mice with photoreceptor
degeneration can be with restored with ChrimsonR, which remains functional over a period of
at least 6 weeks. The advantage of tracking responses of individual retinal neurons directly is
to be able to measure any changes occurring at the single cell level. Using FACILE, despite
ChrimsonR showing long-term function, we found there was an overall decrease in response
amplitude from age P70 to P112. We do not know whether this decline is due to altered effi-
cacy of GCaMP6 or responsivity of ChrimsonR. It has been previously reported that neurons
with nuclear expression of GCaMP have attenuated fluorescent responses, perhaps due to
impaired calcium homeostasis and GCaMP function [50]. However, both in vivo imaging and
histology indicate that expression of GCaMP6s in neurons in this study was cytosolic. Inserting ChrimsonR into inner retinal neurons such as ganglion cells restores visual
responses that show limited functional diversity, that is, all responses are ON responses (Fig
5D and 5E). ChrimsonR, like other channelrhodopsins, is a light-gated, non-specific cation
channel; cells expressing ChrimsonR depolarize in the presence of light and therefore are only
able to produce “ON” responses. Inserting channelrhodopsin or halorhodopsin into bipolar
cells [15, 51] or residual photoreceptor cell bodies [14] restores a greater diversity of light
responses, for example ON and OFF responses, that are generated by intrinsic retinal circuitry. In future studies, we may target ChrimsonR to specific cell types to examine the diversity of
visual responses that can be restored. We propose that FACILE could help to accelerate the development of a wide variety of ther-
apies for treating vision loss by allowing direct and repeatable visualization of cellular function
over time throughout the therapeutic process. Such therapies include gene replacement, PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 14 / 20 Imaging restored vision in the living eye optogenetics, stem cell transplants and optoelectronic implants that do not preclude imaging
of the retina. Author Contributions Conceptualization: Soon Keen Cheong, William H. Merigan. Conceptualization: Soon Keen Cheong, William H. Merigan. p
g,
g
Data curation: Soon Keen Cheong. Formal analysis: Soon Keen Cheong. Funding acquisition: David R. Williams, William H. Merigan. Investigation: Soon Keen Cheong, Jennifer M. Strazzeri. Methodology: Soon Keen Cheong, Jennifer M. Strazzeri. Validation: Soon Keen Cheong. Visualization: Soon Keen Cheong. Writing – original draft: Soon Keen Cheong. Writing – review & editing: Soon Keen Cheong, Jennifer M. Strazzeri, David R. Williams,
William H. Merigan. Data curation: Soon Keen Cheong. Data curation: Soon Keen Cheong. Formal analysis: Soon Keen Cheong. Funding acquisition: David R. Williams, William H. Merigan. Investigation: Soon Keen Cheong, Jennifer M. Strazzeri. Methodology: Soon Keen Cheong, Jennifer M. Strazzeri. Validation: Soon Keen Cheong. Validation: Soon Keen Cheong. Visualization: Soon Keen Cheong. Writing – original draft: Soon Keen Cheong. Writing – original draft: Soon Keen Cheong. Writing – review & editing: Soon Keen Cheong, Jennifer M. Strazzeri, David R. Williams,
William H. Merigan. Writing – review & editing: Soon Keen Cheong, Jennifer M. Strazzeri, David R. Williams,
William H. Merigan. S1 Movie. Adaptive optics calcium imaging of RGC activity in the living mouse eye. S1 Movie. Adaptive optics calcium imaging of RGC activity in the living mouse eye. Responses of RGCs in the living WT mouse eye to a flashing uniform field 365 nm LED stimu-
lus visualized using adaptive optics imaging of GCaMP6s fluorescence. For presentation,
frames are binned 5:1 and playback speed is increased fourfold. The stimulus waveform (bot-
tom) and flashing square (top right) indicate when the LED was on. (MP4) Acknowledgments We thank Tracy Bubel for performing histology, Keith Parkins for programming, Jie Zhang
for optical system modifications, Alfredo Dubra and Jennifer Hunter for help with light safety
calculations, and Christina Schwarz and Yang Hu for helpful comments. The Genetically-
Encoded Neuronal Indicator and Effector (GENIE) Project and the Janelia Farm Research
Campus of the Howard Hughes Medical Institute have generously allowed these GCaMP6
materials to be distributed with the understanding that requesting investigators need to
acknowledge the GENIE Program and the Janelia Farm Research Campus in any publication
in which the material was used, specifically Vivek Jayaraman, Ph.D., Rex A. Kerr, Ph.D., Doug-
las S. Kim, Ph.D., Loren L. Looger, Ph.D., Karel Svoboda, Ph.D. from the GENIE Project, Jane-
lia Farm Research Campus, Howard Hughes Medical Institute. Supporting information S1 Fig. Excitation and emission spectra of GCaMP6s and tdTomato. Action spectra plot
showing GCaMP6s excitation and emission, measured spectrum of 488 nm laser source for
exiting GCaMP6s, band-pass filter imaging GCaMP6s fluorescence, and tdTomato excitation
and emission. S2 Fig. Response phase to UV and red light stimulation in rd10 mice. Histograms of
response phase to UV (365 nm) and red (620 nm) light stimulation for cells with significant
responses recorded in two different groups of rd10 mice, at age P50 (A & C) and P99 (B & D). Both groups were injected only with GCaMP6s. Number of cells analyzed in the P50 group
were 129 for UV light stimulation and 118 for red light stimulation, and at P99 were 128 for
UV light stimulation and 87 for red light stimulation. (EPS) 15 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
March 29, 2018 Imaging restored vision in the living eye S3 Fig. Long-term expression of ChrimsonR and GCaMP6s in rd10 retinae. Fundus images
from two rd10 mouse eyes (A-D and E-F) imaged at ages P93 (49 days after injection; A, B, E,
F) and P232 (188 days after injection; C, D, G, H) showing persistent fluorescence from
GCaMP6s (A, C, E, G) and Chrimson-tdTomato (B, D, F, G). Panels E and F are the same as
in Fig 1C and 1D. Scale bar in h indicates 500 μm and applies to all panels. (EPS) References 1. Fine I, Cepko CL, Landy MS. Vision research special issue: Sight restoration: Prosthetics, optogenetics
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PMCPMC5533432. 60. Kim IJ, Zhang YF, Yamagata M, Meister M, Sanes JR. Molecular identification of a retinal cell type that
responds to upward motion. Nature. 2008; 452(7186):478–U11. doi: 10.1038/nature06739. WOS:000254341300033. PMID: 18368118 61. Huberman AD, Wei W, Elstrott J, Stafford BK, Feller MB, Barres BA. Genetic identification of an On-Off
direction-selective retinal ganglion cell subtype reveals a layer-specific subcortical map of posterior
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PMID: 19447089; PubMed Central PMCID: PMC3140054. 19 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947
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The good, the bad, and the mixed: Experiences during COVID-19 among an online sample of adults
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PLOS ONE PLOS ONE RESEARCH ARTICLE a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 The good, the bad, and the mixed:
Experiences during COVID-19 among an
online sample of adults Devin J. MillsID1*, Julia Petrovic2, Jessica Mettler2, Chloe A. Hamza3, Nancy L. Heath2 1 Department of Community, Family, and Addiction Sciences, Texas Tech University, Lubbock, Texas,
United States of America, 2 Department of Educational and Counselling Psychology, McGill University,
Montreal, Canada, 3 Department of Applied Psychology and Human Development, University of Toronto,
Toronto, Canada * devin.mills@ttu.edu * devin.mills@ttu.edu * devin.mills@ttu.edu OPEN ACCESS Citation: Mills DJ, Petrovic J, Mettler J, Hamza CA,
Heath NL (2022) The good, the bad, and the mixed:
Experiences during COVID-19 among an online
sample of adults. PLoS ONE 17(6): e0269382. https://doi.org/10.1371/journal.pone.0269382 Editor: Goran Knezˇević, Univerzitet u Beogradu
Filozofski Fakultet, SERBIA Copyright: © 2022 Mills et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Abstract a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 Studies have outlined the negative consequences of the COVID-19 pandemic to psychologi-
cal health. However, the potential within-individual diversity of experiences during COVID-
19, and how such experiences relate to indices of psychological distress and COVID-19-
specific stressors, remains to be explored. A large online sample of American MTurk Work-
ers (N = 3,731; Mage = 39.54 years, SD = 13.12; 51.70% female) completed short assess-
ments of psychological distress, COVID-19-specific stressors (e.g., wage loss, death), and
seven items assessing negative and positive COVID-19 experiences. Latent profile analy-
ses were used to identify underlying profiles of COVID-19 experiences. A four-profile solu-
tion was retained representing profiles that were: (1) predominantly positive (n = 839;
22.49%), (2) predominantly negative (n = 849; 22.76%), (3) moderately mixed (n = 1,748;
46.85%), and (4) high mixed (n = 295; 7.91%). The predominantly positive profile was asso-
ciated with lower psychological distress, whereas both the predominantly negative and high
mixed profiles were associated with higher psychological distress. Interestingly, specific
COVID-19 stressful events were associated with the high mixed profile. The present study
challenges the narrative that the impacts of COVID-19 have been unilaterally negative. Future directions for research are proposed. OPEN ACCESS
Citation: Mills DJ, Petrovic J, Mettler J, Hamza CA,
Heath NL (2022) The good, the bad, and the mixed:
Experiences during COVID-19 among an online
sample of adults. PLoS ONE 17(6): e0269382. https://doi.org/10.1371/journal.pone.0269382 * devin.mills@ttu.edu Introduction The COVID-19 pandemic, along with the unprecedented series of lockdowns that followed its
onset, caused drastic disruptions to day-to-day life globally. A substantial proportion of stu-
dents and employees experienced a sudden shift to remote work and lockdown measures
abruptly halted social activities, leading to increased social isolation [1, 2]. Accordingly, to
date, there are multiple studies which have focused on the negative impacts of the COVID-19
pandemic onset, with several highlighting aversive psychological impacts [3–5]. However, it
has been suggested that an overemphasis on the negative consequences of COVID-19 may
bring about expectancy effects [6] and the capacity for resilience in response to COVID-19 Negative experiences during COVID-19 During the early months of COVID-19, numerous studies reported on the negative impacts
and stressful events associated with the first series of global lockdowns. Here, we distinguish
between psychological experiences during COVID-19 (e.g., feeling stressed, sad, or lonely) and
COVID-19 stressful events (e.g., job loss, death). Heightened levels of mental health difficulties
were commonly reported (e.g., distress, anxiety, depression) [4, 5, 9, 10]. However, emerging
longitudinal research suggests these effects may be small, and there is likely considerable vari-
ability in the psychological experiences of COVID-19 [6]. Nevertheless, psychological harms,
concern towards the health of vulnerable loved ones, as well as loss of leisure and health activi-
ties, were commonly reported during the early months of COVID-19 [2, 11]. Other studies have focused on the mental health disparities associated with COVID-19. For
instance, two studies of individuals with eating disorders found that disordered eating behav-
iours were exacerbated in the first few weeks of the pandemic [12, 13]; these were among a
number of studies to report that COVID-19 exacerbated the struggles of groups experiencing
various difficulties prior to the onset of the pandemic. In another early pandemic study, Iob
and colleagues [14] found that COVID-19 instigated an amplification of pre-existing inequali-
ties among disadvantaged groups including ethnic minority groups, those experiencing socio-
economic disadvantages, and the unemployed. Furthermore, in a qualitative study of distress
and coping in India during the first COVID-19 lockdown, disadvantaged groups with limited
access to mobile phones, health messaging, or health care experienced extreme distress and
despair, greater health needs, loss of income, and further social exclusion as a result of the pan-
demic [10]. Taken together, these findings suggest that COVID-19 may have worsened exist-
ing psychosocial and financial inequalities [5, 15]. Social isolation has been commonly reported as a primary cause of increased psychological
distress among some individuals during COVID-19 [11]. One longitudinal study of university
students revealed that individuals without pre-existing mental health concerns were more
likely than individuals with pre-existing mental health concerns to experience declining men-
tal health during the early months of the pandemic, which corresponded with increased social
isolation among these students (whereas there was no change for students with pre-existing
mental health concerns) [16]. Data Availability Statement: Data for the present
study are available online here: (https://tinyurl.com/
m54cfraf). Data Availability Statement: Data for the present
study are available online here: (https://tinyurl.com/
m54cfraf). Funding: The author(s) received no specific
funding for this work. Funding: The author(s) received no specific
funding for this work. Competing interests: The authors have declared
that no competing interests exist. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 1 / 18 PLOS ONE Negative and positive COVID-19 experiences cannot be discounted in our investigations of the impact of the pandemic [7, 8]. Moreover, a
balanced exploration into both negative and positive experiences during early months of the
pandemic, their potential for co-occurrence, and whether they differ as a function of COVID-
19-specific COVID-19 stressful events remains to be examined. Thus, the present study took a
person-centered approach to examine the potential variability in COVID-19 experiences
among a large and diverse sample of adults, and to investigate how differences in specific
COVID-19-related stressors (i.e., loss of wages, COVID-19 diagnosis of self or loved one,
death of loved one due to COVID-19) were associated with COVID-19 experiences. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 Positive COVID-19 experiences Positive COVID-19 experiences Despite the numerous negative psychological experiences of the onset of COVID-19 on popu-
lations worldwide, preliminary findings have shed light on the possibility that the experiences
of COVID-19 during its early months have not been unanimously negative [6, 18]. For exam-
ple, a study by Pinkham and colleagues [19] of individuals with severe mental illness found
that their affective experiences and psychotic symptoms remained stable throughout the early
months of the pandemic, and that they actually experienced an increase in well-being during
this timeframe. Additionally, a longitudinal study with over 50,000 UK adults found that
across early pandemic months, individuals with pre-existing mental health conditions experi-
enced significantly greater decreases in anxiety than individuals without pre-existing mental
health conditions [20]. These findings suggest that in certain instances, the onset of COVID-
19 brought about positive, rather than negative, psychological impact for some individuals. A limited number of studies have explored positive experiences during the onset of the pan-
demic among more general populations. Indeed, research suggests that the shared experience
of the pandemic may have strengthened social connectedness, since people reported feeling as
though “we are all in this together” [6, 21, 22]. Even among disadvantaged groups who report
a disproportionate degree of negative COVID-19 experiences, themes of resilience and healthy
coping have emerged in reports of their experiences, which have included reports of social
connectedness as well as finding sense and meaning in the pandemic [10]. Typically, these
studies have been limited in the breadth of positive experiences examined. To our knowledge, only four studies have specifically focused on the investigation of a
broad range of positive experiences during early COVID-19 months among general commu-
nity samples. The first was a cross-sectional online study by Stallard and colleagues [23] which
investigated positive COVID-19 experiences reported by parents and caregivers (88.6% of the
sample were mothers) in Portugal and the UK during the first lockdown. It was found that as
many as 88.6% of participants identified positives arising from COVID-19 within an open-
ended question. A second cross-sectional study by Williams and colleagues [18] conducted in
Scotland during the first lockdown explored positive changes experienced during COVID-19,
and the underlying sociodemographic predictors of such changes. Again, the majority of par-
ticipants reported positive changes including having more quality time with their partner
(53.3%), to be in nature (65.2%), do enjoyable activities (67.4%), and exercise (53.9%). Negative experiences during COVID-19 Other contextual factors that have been found to be contributors
to negative COVID-19 experiences among general population samples during the early
months of the pandemic include economic fallout (e.g., wage loss), grief from having lost a
loved one to COVID-19, trauma associated with surviving COVID-19, the inability to see rela-
tives (especially older relatives), having to manage the impracticalities of working or schooling
from home, the disruption of social and recreational activities, and frustration with the media
or government [2, 17]. In short, much of the literature has focused on the negative conse-
quences associated with COVID-19 events without accounting for the possibility of positive
experiences emanating from COVID-19 events. 2 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Negative and positive COVID-19 experiences PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 Positive COVID-19 experiences Partici-
pants also reported being more appreciative of things usually taken for granted (82.6%). A
third study by Schmiedeberg and Tho¨nnissen [24] of German adults explored the extent to
which individuals held positive and/or negative perceptions regarding COVID-19. Using two
items, one for positive perception and one for negative perception, the authors found 61%
agreed with positive perceptions towards COVID-19 (i.e., being able to see the positive sides of
the pandemic), whereas only 26% agreed with negative perceptions (i.e., feeling strongly
affected by the pandemic). Finally, Hampshire and colleagues [2] investigated positive and
negative COVID-19 experiences during May 2020 among a large sample (N > 100,000) of par-
ticipants aged 16 to 85 and older, as well as sociodemographic and neurological/psychiatric
predictors of such experiences. Participants reported strong endorsement of a number of posi-
tive COVID-19 experiences (i.e., improved natural environment, enjoying the simpler things
in life, spending less money, and a greater sense of community) as well as of a number of nega-
tive COVID-19 experiences (i.e., loss of leisure/health activities, and concern for health of
loved ones, which was higher than concern about one’s own health). Furthermore, sociodemo-
graphic characteristics, work, environment, and social circumstances revealed robust associa-
tions with the nature and extent of self-reported positive and negative COVID-19 experiences. 3 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Negative and positive COVID-19 experiences Taken together, the studies outlined above highlight the importance of measuring multiple
dimensions of both negative and positive COVID-19 experiences when quantifying the
breadth of impacts of the onset of COVID-19. Yet, much of the available research presents a
view of the effect of COVID-19 as all negative, and research that has assessed the positive out-
comes of COVID-19 is limited. Hampshire and colleagues [2] assessed a comprehensive over-
view of both positive and negative experiences revealing a sufficient number of participants
endorsed both positive and negative. This is due to past research primarily using variable-cen-
tered approaches, which help to reveal general associations among variables but fail to account
for individual variability across a set of variables. As a result, researchers have yet to examine
whether there are subgroups of individuals, based on the scores on both positive and negative
indicators (e.g., someone who is strongly positive, but also somewhat negative). A person-cen-
tered analysis takes into account this heterogeneity. The present study The present study sought to explore the range of experiences during the COVID-19 pandemic
among an online community sample of adults, as well as whether COVID-19-specific stressful
events were related to such experiences. The first objective was thus to investigate the factor
structure of a researcher-designed measure of negative and positive COVID-19 experiences
and its convergent and divergent validity with psychological distress markers (i.e., stress, anxi-
ety, depression). Given the paucity of work exploring the potential positives of COVID-19,
developing this scale represents an important contribution to the emerging literature on the
effects of COVID-19 on individuals. Based on previous literature, we hypothesized that two
distinct factors would emerge: one for negative COVID-19 experiences and one for positive
COVID-19 experiences. Furthermore, we anticipated that negative experiences during
COVID-19 would be associated with greater stress, anxiety, and depression. Conversely, posi-
tive experiences related to COVID-19 were expected to be associated with less stress, anxiety,
and depression. Given that many authors have suggested that impacts of COVID-19 will con-
tinue long after the pandemic has ended, [25], this scale can continue to be used to explore
both positive and negative experiences resulting from the pandemic in the years to come. However, it is also expected that the measure may be easily adapted to assess positive and nega-
tive experiences to other global, national, or local crises (e.g., political unrest, natural
disasters). The second objective of this study was to use a person-centered approach to identify under-
lying profiles of COVID-19 experiences, taking into account the diversity of negative and posi-
tive experiences. Contrary to a variable-centered approach, the person-centered approach is
expected to yield more information regarding the underlying relationship of both negative and
positive COVID-19 experiences within individuals. Finally, the third objective sought to better
understand the emergent profiles by comparing them in terms of differences in demographic
information, psychological distress, and specific stressful events during COVID-19 (i.e., loss of
wages, diagnosis of self or other, knowing someone who died from COVID-19). Given the
inherently exploratory nature of this approach, no specific hypotheses were made for these last
two objectives. COVID-19 context The first COVID-19 case in the United States was confirmed by the Centers for Disease Con-
trol and Prevention on January 21, 2020, and a Public Health Emergency was declared within
two weeks on February 3, 2020. On March 12, 2020, financial markets were down nearly 10% PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 4 / 18 PLOS ONE Negative and positive COVID-19 experiences in the United States with rising concerns of business closings. By late March, many states
enacted stay-at-home orders, and employees began to be furloughed. Unemployment within
the US jumped from less than 5% in February to nearly 15% by April. Although cases contin-
ued to rise in the United States, many state-mandated stay-at-home orders expired by the end
of May. As of June 2020, the financial challenges were amplified by the rising health concerns
as the confirmed COVID-19 case count in the United States exceeded 2 million with more
than 100,000 deaths related to complications with COVID-19. This represents the context in
which the present data was collected. Data for the present study are available online here:
https://tinyurl.com/m54cfraf. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 Measures Negative and positive experiences during COVID-19. Seven items were created for the
purposes of the present study based on previous exploratory, qualitative interviews with adults
regarding their experiences during the early months of COVID-19. Items followed the prompt,
“Relative to months before COVID-19. . .” and were rated on a 6-point scale ranging from
Strongly Disagree (1) to Strongly Agree (6). The brevity of the scale was intentional as it reduces
participant burden and would be scalable for future large-scale studies including continued
COVID-19 research. Further, a briefer measure would make it more useful in clinical contexts. Table 2 presents these items and the item descriptives. Demographics. Basic demographics were collected including sex, age, race, level of educa-
tion, and income. Due to the timing of data collection within the United States, it was possible
that some individuals were experiencing complicated circumstances regarding their employ-
ment status; as a result, participants reported their employment prior to COVID-19. Specific COVID-19 events. Three Yes/No questions were asked regarding specific
COVID-19 events: (1) Have you lost wages because of the COVID-19 pandemic?; (2) Have you
or someone you know been diagnosed with the coronavirus (COVID-19)?; and (3) Has someone
you know died due to complications with the coronavirus (COVID-19)? Specific COVID-19 events. Three Yes/No questions were asked regarding specific
COVID-19 events: (1) Have you lost wages because of the COVID-19 pandemic?; (2) Have you
or someone you know been diagnosed with the coronavirus (COVID-19)?; and (3) Has someone
you know died due to complications with the coronavirus (COVID-19)? Stress, depression, and anxiety. Short forms of psychological distress measures were
selected due to space restrictions. The Perceived Stress Scale (PSS) [29] was used to assess sub-
jective experiences of stress during the past month. Items were rated on 5-point scale ranging
from Never (0) to Very Often (4). The internal consistency of the PSS-4 was 0.81 in the present
study. Two-item versions of the Patient Health Questionnaire (PHQ2) [30] and the General
Anxiety Disorder scale (GAD2) [31] were used to assess depressive and anxiety symptoms,
respectively. For both scales, participants rated the occurrence of symptoms over the past two
weeks on a scale ranging from Not at all (0) to Nearly every day (3), with higher scores indicat-
ing greater levels of depression and anxiety. The correlation between the two PHQ2 items was
0.78, and between the two GAD2 items was 0.75. Participants and procedure The Texas Tech University Review Board (IRB2019-920) approved the present study. Partici-
pants were provided information about the study prior to completing the online survey anony-
mously. As part of a larger study on the mental health and risky behaviors of workers on
Amazon’s Mechanical Turk (MTURK), a short, five-minute survey was posted on MTURK to Table 1. Sample demographics and descriptives statistics for mental health indices. Sample Demographics
n
%
Sex
Male
1830
49.049%
Female
1901
50.951%
Race / Ethnicity
Caucasian or White
2723
72.983%
Hispanic or Latino
171
4.583%
African American or Black
317
8.496%
Asian American or Asian
337
9.032%
Multiracial
183
4.905%
Highest Education Level
High school diploma or equivalent including GED
294
7.880%
Some college but no degree
655
17.556%
Associate degree in college (2-year)
345
9.247%
Bachelor’s degree in college (4-year)
1675
44.894%
Master’s degree
630
16.886%
Doctoral degree
70
1.876%
Professional degree (JD, MD)
62
1.662%
Employment prior to COVID-19
Working
3018
80.890%
Laid off or Looking for work
266
7.129%
Retired, Disabled or Otherwise not working
447
11.981%
Annual Income
Less than $29,999
940
25.194%
$30,000 to $49,999
858
22.997%
$50,000 to $99,999
1442
38.649%
$100,000 or more
491
13.160%
Sample Descriptives
M
SD
Stress (PSS-4; Past Month)
6.47
3.47
Anxiety (GAD-2; Past Two Weeks)
1.83
1.81
Depression (PGQ-2; Past Two Weeks)
1.67
1.72
https://doi.org/10.1371/journal.pone.0269382.t001 Table 1. Sample demographics and descriptives statistics for mental health indices. 5 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Negative and positive COVID-19 experiences screen participants for future research. MTURK has been used extensively in social sciences
with research demonstrating benefits including cost effectiveness, speed, and data quality [26,
27]. The survey was created in Qualtrics and posted on MTURK via the TurkPrime.com plat-
form [28] which, in addition to being user friendly, offers additional services including block-
ing known problem workers and bots. Participants provided their informed consent following
a review of the intended research goals and continued to the online survey. The survey was open for a seven-day period from June 8, 2020 to June 14, 2020 and was
only open to participants with 90% approval in at least 100 previous assignments on
MTURK. Participants were paid $0.50. In total, 4,771 participants initiated the survey on
MTURK. Measures Sample descriptives are present in Table 1. Participants and procedure Participants were excluded for missing one or more attention item (n = 640), engag-
ing in “straight lining” (n = 226), or submitting missing data (n = 174). The final sample
included 3,731 participants (Mage = 39.54 years, SD = 13.12; 51.70% female) (see Table 1 for
sample demographics). Data analysis The adjusted Lo-Mendell-Rubin likelihood ratio test (aLRT) was conducted for models
with 2 or more profiles, which tests whether the model with k profiles is preferred to one with
to k– 1 profiles. A significant result suggests preference for the model with k profiles [37]. Although not used in the selection process [38, 39], entropy is commonly reported as it pro-
vides an assessment of the precision classification. Entropy values range from 0 (high uncer-
tainty) to 1 (low uncertainty). The adjusted Lo-Mendell-Rubin likelihood ratio test (aLRT) was conducted for models
with 2 or more profiles, which tests whether the model with k profiles is preferred to one with
to k– 1 profiles. A significant result suggests preference for the model with k profiles [37]. Although not used in the selection process [38, 39], entropy is commonly reported as it pro-
vides an assessment of the precision classification. Entropy values range from 0 (high uncer-
tainty) to 1 (low uncertainty). Data analysis Data were cleaned and descriptive statistics computed in SPSS version 26 [32]. Mplus version
8 [33] was used evaluate the factor structure of the seven created items assessing negative and
positive experiences related to COVID-19. After randomly splitting the sample in half, data
from the first group (n = 1,888; Mage = 39.54 years, SD = 13.06; 51.70% female) were used
within an exploratory factor analysis (EFA) with Promax rotation. Data from the second 6 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Negative and positive COVID-19 experiences group (n = 1,843; Mage = 39.40, SD = 13.17; 50.19% female) were used in a confirmatory factor
analysis (CFA) with robust maximum likelihood to further confirm the observed factor struc-
ture observed within the EFA. Several goodness-of-fit indices were used to assess the fit of the
data to the resulting factor structure including the root mean square error of approximation
(RMSEA; .05), comparative fit index (CFI; .90), Tucker-Lewis Index (TLI; .90), and
standardized root mean squared residual (SRMR; .06) [34]. Subsequently, a series of latent profiles (LPAs) were conducted using the seven individual
items with means and variances freely estimated [35]. All models were estimated with 5000 ran-
dom start values, 1000 iterations, and the 200 best solutions were retained. Starting with a
model with one profile, model with an increasing number of profiles were considered. Values
for the Akaike Information Criterion (AIC), the Bayesian Information Criterion (BIC), and the
Sample-Size-Adjusted BIC (SSABIC) graphed following each LPA in order to identify the point
at which decreases in these information criteria begin to plateau (i.e., the “elbow”) [35, 36]. Subsequently, a series of latent profiles (LPAs) were conducted using the seven individual
items with means and variances freely estimated [35]. All models were estimated with 5000 ran-
dom start values, 1000 iterations, and the 200 best solutions were retained. Starting with a
model with one profile, model with an increasing number of profiles were considered. Values
for the Akaike Information Criterion (AIC), the Bayesian Information Criterion (BIC), and the
Sample-Size-Adjusted BIC (SSABIC) graphed following each LPA in order to identify the point
at which decreases in these information criteria begin to plateau (i.e., the “elbow”) [35, 36]. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 https://doi.org/10.1371/journal.pone.0269382.t002 Exploratory and confirmatory factor analysis The resulting eigenvalues from the EFA with Promax rotation for the first two factors were
2.94 (Factor 1) and 1.49 (Factor 2) and accounted for 42.00% and 21.29% of the variance,
respectively. The eigenvalues for the remaining factors were less than 0.80 and not considered. Loadings from the EFA are presented in Table 2. Factor 1 represented negative COVID-19
experiences (e.g., I have been more stressed), whereas Factor 2 represented positive COVID-
19 experiences (e.g., I have felt happier). The two factors were modestly negatively correlated
(r = -0.38). Results from CFA revealed a slightly below adequate fit of the data to this 2-factor
model (χ2 (13) = 202.45, p < .001; RMSEA = 0.09 90%CI[0.08, 0.10]; CFI = 0.94; TLI = 0.91;
SRMR = 0.04). After reviewing the modification indices, error terms were allowed to correlate
between item 2 and item 5 and between item 5 and item 6, which improved fit to an acceptable
level (χ2 (11) = 115.04, p < .001; RMSEA = 0.07 90%CI[0.06, 0.08]; CFI = 0.97; TLI = 0.94; Table 2. Items descriptives and loadings from the exploratory (EFA) and confirmatory (CFA) factor analyses on
the COVID-19 experience items. Item Descriptives
EFA
CFA
Loadings
Loadings
M
SD
F1
F2
Negative
Positive
COVID-19 Experience Items
(Relative to months before COVID-19. . .)
I have been more stressed. 3.91
1.39
0.58
-0.22
0.82
I have felt closer to others. 3.33
1.36
0.07
0.55
0.53
I have been less anxious or worried. 2.83
1.38
0.05
0.66
0.64
I have more time to do things I enjoy. 3.76
1.33
0.01
0.52
0.52
I have been lonelier. 3.38
1.52
0.72
0.02
0.62
I have felt sad or down more. 3.45
1.50
0.98
0.03
0.82
I have felt happier. 3.14
1.33
-0.06
0.83
0.89
https://doi.org/10.1371/journal.pone.0269382.t002 Table 2. Items descriptives and loadings from the exploratory (EFA) and confirmatory (CFA) factor analyses on
the COVID-19 experience items. 7 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Negative and positive COVID-19 experiences SRMR = 0.04). Loadings from the CFA are presented in Table 2. The correlation between neg-
ative and positive COVID-19 experiences was -0.51, p < 0.001. Exploratory and confirmatory factor analysis Data from the entire sample were used within a measurement model in which negative and
positive COVID-19 experiences (as modelled in the CFA) were covaried with composite scores
on the PSS4, PHQ2, and GAD2, thus providing estimates of the bivariate correlations between
the two COVID-19 experiences and the three indices of psychological distress through the
TECH4 function of Mplus. Data fit the model adequately (χ2(26) = 535.30, p < .001;
RMSEA = 0.07 90% CI [0.06, 0.08]; CFI = 0.96; TLI = 0.93; SRMR = 0.03). Results largely sup-
ported expectations in that negative COVID-19 experiences were positively associated with
scores on the PSS4 (r = 0.62, p < .001), PHQ2 (r = 0.62, p < .001), and GAD2 (r = 0.62, p <
.001), whereas positive COVID-19 experiences would be negatively associated with scores on
the PSS4 (r = -0.30, p < .001), PHQ2 (r = -0.17, p < .001), and GAD2 (r = -0.15, p < .001). Latent profile analysis Table 3 presents the model selection indices for each of the seven profiles. Values for the AIC,
BIC, and SABIC were graphed in order to identify the point at which the decline in values pla-
teaued (i.e., the “elbow”; see Fig 1). This was observed following the rise from four to five pro-
files suggesting a preference for the four-profile model. This was supported by the significant
aLRT. Nonetheless, significant aLRTs also support both five- or six-profile models. As such,
the five- and six-profile models were considered but found to result in largely uninterpretable
profiles. Therefore, the four-profile model was selected. Fig 2 presents the means of the seven items across each of the four profiles. Profile 1
(n = 839; 22.49%) is the “Predominantly Positive” profile representing those who more
strongly endorsed positive versus negative experiences related to COVID-19. Profile 2
(n = 1,748; 46.85%) is the “Moderately Mixed” profile representing those who moderately
endorsed both positive and negative experiences related to COVID-19. Profile 3 (n = 849;
22.76%) is the “Predominantly Negative” profile representing those who more strongly
endorsed negative experiences related to COVID-19. Profile 4 (n = 295; 7.91%) is the “High
Mixed” profile representing those who strongly endorsed both positive and negative experi-
ences related to COVID-19. Table 4 presents demographics across the four profiles. Significant differences, albeit small
based on Cramer’s V (see note in tables), were found across sex, race/ethnicity, employment
prior to COVID-19, and annual income (p’s < 0.001). Bonferroni-adjusted post-hoc compari-
sons were conducted to further explore the differences in the proportions. Results revealed
that males were slightly over-represented in the Moderate Mixed and High Mixed profiles,
whereas females were over-represented in the predominantly negative profile. Differences in Table 3. Model selection indices for latent profiles analyses. AIC
BIC
SABIC
Entropy
aLRT
1 Profile
91,277.69
91,364.83
91,320.35
n/a
n/a
2 Profiles
86,335.00
86,515.51
86,423.37
0.83
p < .001
3 Profiles
83,597.16
83,871.04
83,731.23
0.85
p < .001
4 Profiles a
82,044.63
82,411.88
82,224.40
0.86
p < .001
5 Profiles
81,296.63
81,757.24
81,522.10
0.85
0.040
6 Profiles
80,720.35
81,274.32
80,991.52
0.84
0.001
7 Profiles
80,136.11
80,783.46
80,452.99
0.81
0.444
a Selected model. Table 3. Model selection indices for latent profiles analyses. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 8 / 18 PLOS ONE Negative and positive COVID-19 experiences Fig 1. Latent profile analysis Values of the Akaike Information Criterion (AIC), the Bayesian Information Criterion (BIC), and the Sample-Size-Adjusted BIC
(SSABIC) across the seven competing latent profile analyses. https://doi.org/10.1371/journal.pone.0269382.g001 Fig 1. Values of the Akaike Information Criterion (AIC), the Bayesian Information Criterion (BIC), and the Sample-Size-Adjusted BIC
(SSABIC) across the seven competing latent profile analyses. https://doi.org/10.1371/journal.pone.0269382.g001 Fig 1. Values of the Akaike Information Criterion (AIC), the Bayesian Information Criterion (BIC), and the Sample-Size-Adjusted BIC
(SSABIC) across the seven competing latent profile analyses. https://doi.org/10.1371/journal.pone.0269382.g001 race were largely attributed to an over-representation of Hispanic/Latino and African Ameri-
can/Black in the High Mixed profile. Those who were either laid off or looking for work prior
to COVID-19 were over-represented within the Moderate Mixed profile. Additionally, those
who were retired, disabled, or otherwise unable to work prior to COVID-19 were over-repre-
sented in the predominately positive and predominately negative profile. Finally, high earners
($100,000 or more) were over-represented in the predominately positive profile, whereas, low
earners (less than $29,999) were over-represented in the predominately negative profile. Below
average ($30,000 to $49,999) and average ($50,000 to $99,999) earners were over-represented
in the high mixed profile. Table 5 presents differences in age and psychological distress. The High Mixed profile was
associated with being younger and experiencing greater psychological distress. Finally, Table 6 presents the proportion of each profile endorsing specific COVID-19
events. Relative to the other groups, a greater proportion of those in the High Mixed group
indicated a loss of wages, having been themselves or knowing someone else that was diagnosed
with COVID-19, and knowing someone who died due to COVID-19 complications. Discussion The present study is the first to investigate the within-individual co-occurrence of negative
and positive experiences during the early months of the COVID-19 pandemic among an
online, diverse community sample of adults. The first objective was to validate the researcher-
designed measure used to assess negative and positive experiences in terms of its factor 9 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Negative and positive COVID-19 experiences Fig 2. Means for the seven items across each of the four profiles. https://doi.org/10.1371/journal.pone.0269382.g002 Fig 2. Means for the seven items across each of the four profiles. https://doi org/10 1371/journal pone 0269382 g002 Fig 2. Means for the seven items across each of the four profiles. https://doi.org/10.1371/journal.pone.0269382.g002 g 2. Means for the seven items across each of the four profile Fig 2. Means for the seven items across each of t
https://doi.org/10.1371/journal.pone.0269382.g002 https://doi.org/10.1371/journal.pone.0269382.g002 structure as well as its divergent and convergent validity with markers of psychological distress. The second objective was to identify underlying profiles of negative and positive COVID-19
experiences using a person-centered approach, which provides a more nuanced perspective
than the more commonly variable-centered approach prior research has employed. Finally,
the third objective sought to better understand these emergent profiles by exploring how they
differed in terms of specific stressful events during COVID-19, psychological distress, and
demographic information. Over the past year, the leading narrative, both in research and in the media, on the psycho-
logical and mental health consequences of the COVID-19 pandemic has primarily focused on
the negative impacts of the pandemic due to increased stress, anxiety, grief, and social isolation
measures [5, 14, 15]. However, this narrative was not consistent with the experiences of more
than three-quarters of the sample in the present study, who reported at least modest positive
experiences during COVID-19. This finding is consistent with a growing body of literature
suggesting that COVID-19 experiences may extend beyond negative experiences and include
positive experiences as well. Moreover, the present study is the first to apply a person-centered
approach to identify four unique profiles of experiences, extending the findings of previous
studies that have largely focused on the frequency of negative and/or positive experiences with-
out fully accounting for the individual variability of the COVID-19 experiences or exploring
whether or not negative and positive experiences may co-occur within an individual. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 Discussion Further-
more, these studies have either had a non-diverse sample (e.g., primarily female) or have
focused on further examining the correlates of negative and positive COVID-19 experiences PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 10 / 18 Negative and positive COVID-19 experiences PLOS ONE Table 4. Demographics of the four latent profiles. Latent Profiles
Predominantly Positive
Moderately Mixed
Predominantly Negative
High Mixed
n (% row)
n (% row)
n (% row)
n (% row)
Total Sample
839 (22.49%)
1,748 (46.85%)
849 (22.76%)
295 (7.91%)
Sex: χ2(3) = 44.797, p < .001; Cramer’s V = 0.110, p < .001
Male
422 a (23.06%)
891 a (48.69%)
340 a (18.58%)
177 a (9.67%)
Female
417 a (21.94%)
857 b (45.08%)
509 b (26.78%)
118 b (6.21%)
Race / Ethnicity: χ2(12) = 111.334, p < .001; Cramer’s V = 0.106, p < .001
Caucasian or White
626 a (22.99%)
1243 a (45.65%)
672 a (24.68%)
182 a (6.68%)
Hispanic or Latino
32 a (18.71%)
84 a,b (49.12%)
28 a,b (16.37%)
27 b,c (15.79%)
African American or Black
76 a (23.97%)
137 a (43.22%)
40 b (12.62%)
64 c (20.19%)
Asian American or Asian
71 a (21.07%)
191 b (56.68%)
65 a,b (19.29%)
10 a (2.97%)
Multiracial
34 a (18.58%)
93 a,b (50.82%)
44 a (24.04%)
12 a,b (6.56%)
Employment prior to COVID-19: χ2(6) = 70.860, p < .001; Cramer’s V = 0.097, p < .001
Working
667 a (22.10%)
1418 a,b (46.98%)
650 a (21.54%)
283 a (9.38%)
Laid off or Looking for work
45 a (16.92%)
143 b (53.76%)
70 a,b (26.32%)
8 b (3.01%)
Retired, Disabled or Otherwise not working
127 b (28.41%)
187 a (41.83%)
129 b (28.86%)
4 b (0.89%)
Annual Income: χ2(9) = 97.76, p < .001; Cramer’s V = 0.093, p < .001
Less than $29,999
171 a (18.19%)
457 a (48.62%)
277 a (29.47%)
35 a (3.72%)
$30,000 to $49,999
184 a,b (21.45%)
377 a (43.94%)
197 b (22.96%)
100 b (11.66%)
$50,000 to $99,999
339 b (23.51%)
695 a (48.20%)
272 b (18.86%)
136 b (9.43%)
$100,000 or more
145 c (29.53%)
219 a (44.60%)
103 b (20.98%)
24 a (4.89%)
Note. Cramer’s V is used to assess the effect size of the association (0.1 = small; 0.3 = medium; 0.5 = large). Note. Analyses of variance were conducted for each comparison: Age: F(3,3727) = 29.94, p < .001; partial η2 = .02;
PSS-4: F(3,3727) = 387.46, p < .001; partial η2 = .24; GAD-2: F(3,3727) = 420.08, p < .001; partial η2 = .25; PHQ-2: F
(3,3727) = 435.17, p < .001; partial η2 = .26. Significant Bonferroni post-hoc difference tests are indicated by different
superscripts. Discussion Different subscripts indicate a significant difference in the
proportion of various demographics (e.g., sex, race, etc.) within each profile with an adjusted Bonferroni alpha (p < .05). h
//d i
/10 1371/j
l
0269382 004 Table 4. Demographics of the four latent profiles. Note. Cramer’s V is used to assess the effect size of the association (0.1 = small; 0.3 = medium; 0.5 = large). Different subscripts indicate a significant difference in the
proportion of various demographics (e.g., sex, race, etc.) within each profile with an adjusted Bonferroni alpha (p < .05). https://doi org/10 1371/journal pone 0269382 t004 f the association (0.1 = small; 0.3 = medium; 0.5 = large). Different subscripts indicate a significant difference in the
ce, etc.) within each profile with an adjusted Bonferroni alpha (p < .05). independently rather than investigating these experiences from a person-centered lens
approach. Thus, the present study is unique in exploring concurrent reports of negative and
positive experiences in the early onset of the pandemic within a diverse community sample. This study is also among the first to develop and validate a brief measure assessing the
diversity of COVID-19 experiences. As hypothesized, results from an EFA and a CFA revealed
a two-factor structure for COVID-19 experiences, with negative and positive experiences
emerging as two distinct factors. Further validation of these factors with psychological distress Table 5. Differences in age and psychological distress across latent profiles. Predominantly
Positive
(n = 839)
Moderately
Mixed
(n = 1,748)
Predominantly
Negative
(n = 849)
High Mixed
(n = 295)
M
SD
M
SD
M
SD
M
SD
Age (in years)
42.90 a
13.32
38.66 b
13.04
39.01 b
13.23
35.84 c
10.42
Stress (PSS-4; Past Month)
3.91 a
3.15
6.33 b
3.04
8.81 c
3.23
7.78 d
1.76
Anxiety (GAD-2; Past Two Weeks)
0.70 a
1.22
1.55 b
1.55
3.02 c
1.88
3.34 d
1.55
Depression (PGQ-2; Past Two Weeks)
0.57 a
1.06
1.42 b
1.51
2.71 c
1.76
3.35 d
1.44 Table 5. Differences in age and psychological distress across latent profiles. Note. Analyses of variance were conducted for each comparison: Age: F(3,3727) = 29.94, p < .001; partial η2 = .02;
PSS-4: F(3,3727) = 387.46, p < .001; partial η2 = .24; GAD-2: F(3,3727) = 420.08, p < .001; partial η2 = .25; PHQ-2: F
(3,3727) = 435.17, p < .001; partial η2 = .26. https://doi.org/10.1371/journal.pone.0269382.t005 PLOS ONE PLOS ONE Negative and positive COVID-19 experiences Table 6. Proportion of individuals endorsing specific COVID-19 experiences across the four latent profiles. Latent Profiles
Predominantly Positive
Moderately Mixed
Predominantly Negative
High Mixed
n (% Profile)
n (% Profile)
n (% Profile)
n (% Profile)
Total Sample
839 (22.49%)
1,748 (46.85%)
849 (22.76%)
295 (7.91%)
Have you lost wages because of the COVID-19 pandemic? χ2(3) = 183.33, p < .001; Cramer’s V = 0.222, p < .001
223 a (26.58%)
649 b (37.13%)
372 c (43.82%)
206 d (69.83%)
Have you or someone you know been diagnosed with the coronavirus (COVID-19)? χ2(3) = 72.383, p < .001; Cramer’s V = 0.139, p < .001
203 a (24.20%)
488 b (27.92%)
249 b (29.33%)
147 c (49.83%)
Has someone you know died due to complications with the coronavirus (COVID-19)? χ2(3) = 172.122, p < .001; Cramer’s V = 0.215, p < .001
72 a (8.58%)
166 a (9.50%)
84 a (9.89%)
102 b (34.58%)
Note. All items were responded to dichotomously. Only the percentage of those endorsing the item are reported. Cramer’s V is used to assess the effect size of the
association (0.1 = small; 0.3 = medium; 0.5 = large). Different subscripts indicate a significant difference in the proportion of various demographics (e.g., sex, race, etc.)
within each profile with an adjusted Bonferroni alpha (p < .05). https //doi org/10 1371/jo rnal pone 0269382 t006 Table 6. Proportion of individuals endorsing specific COVID-19 experiences across the four latent profiles. Note. All items were responded to dichotomously. Only the percentage of those endorsing the item are reported. Cramer’s V is used to assess the effect size of the
association (0.1 = small; 0.3 = medium; 0.5 = large). Different subscripts indicate a significant difference in the proportion of various demographics (e.g., sex, race, etc.)
within each profile with an adjusted Bonferroni alpha (p < .05). Note. All items were responded to dichotomously. Only the percentage of those endorsing the item are reported. Cramer’s V is used to assess the effect size of the
association (0.1 = small; 0.3 = medium; 0.5 = large). Different subscripts indicate a significant difference in the proportion of various demographics (e.g., sex, race, etc.)
within each profile with an adjusted Bonferroni alpha (p < .05). https://doi.org/10.1371/journal.pone.0269382.t006 https://doi.org/10.1371/journal.pone.0269382.t006 constructs (i.e., stress, anxiety, and depression) suggests that these factors function differently
from one another. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 Discussion Significant Bonferroni post-hoc difference tests are indicated by different
superscripts. https://doi.org/10.1371/journal.pone.0269382.t005 11 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Specifically, as expected, negative COVID experiences significantly and pos-
itively correlated with markers of psychological distress. Similarly, results also indicated that
psychological distress constructs were significantly inversely associated with positive experi-
ences, although these relationships were weaker than those with negative experiences. Future
research should explore whether positive COVID-19 experiences are in fact associated with
concurrent experiences of subjective well-being and vitality [40, 41]. The present findings are additionally consistent with previous literature on both COVID-
19 experiences and the divergent relationship between negative and positive emotions indicat-
ing that positive experiences, whether COVID-19-specific or not, are weakly yet negatively
associated with negative psychological constructs or responses to affective stimuli [42, 43]. This is also in line with positive psychology research on the dual continua of mental health and
mental illness in which positive experiences have been found to function in a distinct and dif-
ferent way from negative experiences [44, 45]. Specifically, positive psychology research sug-
gests that the presence of negative experiences (i.e., constructs associated with mental illness
such as stress, anxiety, depression) does not inherently suggest an absence of positive experi-
ences (i.e., constructs associated with mental health such as happiness, life satisfaction, wellbe-
ing) and that the complex relationship and interaction between negative and positive
experiences merits further investigation [44]. The present study’s profile analysis revealed an interesting and counterintuitive pattern
whereby the majority of participants reported a mixed experience of either moderate levels of
both negative and positive emotions (46.85%) or high levels of both negative and positive emo-
tions (7.91%). This simultaneous reporting of positive and negative experiences that emerged
in the LPA has not been previously documented in COVID-19 literature and challenges the
cultural narrative that negative psychological experiences have been predominant during the
COVID-19 pandemic [15]. Indeed, only 22.76% of the present sample reported predominantly
negative experiences during the early onset of the pandemic. Thus, these findings highlight the
importance of using a person-centered approach in investigating experiences during the 12 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE Negative and positive COVID-19 experiences COVID-19 pandemic and the need to consider both positive and negative experiences in
tandem. Moreover, having established the emergence of four distinct profiles of COVID-19 experi-
ences, the present study sought to better understand these profiles through an investigation of
contributing factors including demographics, psychological distress variables, and specific
stressful events during COVID-19. PLOS ONE To be clear, the small effect sizes, based on Cramer’s V,
suggest a cautious interpretation. Nonetheless, some interesting patterns became apparent in
the comparison of these profiles. First, participants who reported predominantly negative
experiences during the onset of COVID-19 were significantly proportionately more likely to
be female, retired, disabled or not working, as well as to report low income. This finding is in
line with previous literature [10, 14, 45, 46] which has found that individuals who have
reported more negative experiences in response to the onset of COVID-19 have tended to be
those already in a position of psychosocial or financial disadvantage. Thus, although they may
not have reported experiencing the greatest number of challenges, individuals reporting pre-
dominantly negative experiences during COVID-19 in the present study may have been in a
greater position of vulnerability at the onset of the pandemic. However, surprisingly, partici-
pants who reported predominantly negative experiences during the onset of COVID-19 were
not the ones who experienced the highest proportion of stressful events during the early onset
of the pandemic. Interestingly, individuals who reported high levels of both negative and positive COVID-19
experiences were also more likely to have experienced the highest proportion of adverse
COVID-19 specific events. Specifically, they were more likely to report loss of wages, having
received or knowing someone who received a diagnosis of COVID-19, or having lost someone
due to COVID-19 complications. They were also the profile most likely to report symptoms of
anxiety and depression and the second most likely to report stress. Thus, although the plethora
of challenges caused by the pandemic may have brought about intense negative experiences
for these individuals, results suggest that these individuals reported endorsing a high degree of
positive experiences during the early months of the COVID-19 as well. A possible explanation for this discrepancy could be that the high negative and positive
experiences reported by individuals in this profile occurred sequentially rather than simulta-
neously. We hope that future research addresses the temporal order of both negative and posi-
tive experiences during COVID-19 as researchers begin to analyze their longitudinal data on
the psychological impacts of the pandemic. In the present study, it may have been the case that
individuals within the High Mixed profile had good resources to begin with, which may have
enabled them to cope well with the high number of challenges that they encountered. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 PLOS ONE This is
tentatively supported by the fact that the individuals in this profile were significantly more
likely to be working prior to the pandemic and to be reporting an annual income between
$30,000 to $99,000. Alternatively, it may be that the high negative and positive experiences reported during the
pandemic occurred simultaneously for these individuals. Although seemingly counter-intui-
tive, this would be consistent with stress research showing that positive and negative emotions
cannot only co-occur during chronic high stress periods but that positive emotions may be a
critical part of the stress response in order to foster resilience [47]. Specifically, during periods
of high and chronic stress, beyond the natural negative experiences resulting from an adverse
situation, individuals may also report positive experiences as a result of trying to form a sense
of personal meaning and growth out of the experience [23, 47, 48]. Nevertheless, future longi-
tudinal research is needed in order to elucidate these findings. In summary, the present study builds upon existing research in the UK in which similar
reports of both negative and positive experiences specific to the pandemic were found also PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 13 / 18 PLOS ONE Negative and positive COVID-19 experiences using a validated, researcher-designed measure [2]. This communality in finding distinct
reports of both negative and positive experiences, despite the fact that the US and UK’s highly
politicized national responses to the pandemic were arguably two of the most globally contro-
versial [49], speaks to the underlying strength of this finding. Furthermore, most interestingly,
these findings provide a unique contribution by using a person-centered approach to investi-
gate the complexity and diversity of profiles of experiences during the pandemic. These find-
ings document a strong pattern of mixed negative and positive experiences specific to
COVID-19, which further strengthens the growing body of literature regarding the complexity
of experiences and the surprising potential for resilience during the pandemic. Limitations & future directions The present study is not without limitations. For instance, while its cross-sectional design
allowed for a detailed snapshot of individuals’ experiences during the early onset of the pan-
demic, longitudinal research is needed to elucidate the temporal order of negative and positive
experiences during COVID-19, as well as to extend the current findings by considering the
potential for adjustment and adaptation in response to stressful events [48, 50], such as the
ongoing COVID-19 pandemic. Additionally, while the development and validation of a brief
measure of negative and positive experiences during COVID-19 was a novel contribution to
the field, further research is needed to potentially expand this measure by considering a
broader range of experiences which have been highlighted in the growing body of literature [2,
18]. Similarly, this researcher-developed assessment was validated with self-report measures of
psychological distress of which two assessed experiences during the past two weeks (PHQ-2;
GAD-2) and one assessed experiences during the past month (PSS-4). As such, future research
should seek to further validate this measure with more robust clinical assessments of psycho-
logical functioning. Finally, the use of MTURK has its own limitations. First, although the
present study’s sample was more economically diverse than previous samples and included a
more even sex distribution [2, 18, 23], the sample still suffers from being largely White or Cau-
casian, a common limitation of MTURK samples. Therefore, the generalizability of the present
findings is limited, and research with more ethnically diverse samples is warranted. Second, as
noted by one of our reviewers, there is concern within the field as to whether or not the sample
characteristics are accurate. Indeed, this is a general limitation with any self-report data includ-
ing data from university and/or community samples. Nonetheless, data was rigorously
screened for completeness, inattention, and suspicious response patterns in order to maintain
high data integrity. screened for completeness, inattention, and suspicious response patterns in order to maintain
high data integrity. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 Conclusions Despite these limitations, the findings in the present study challenge the common narrative,
both in research and media reports, that the impacts of COVID-19 have been predominantly
negative. In fact, we found that the vast majority of individuals indicated that they had experi-
enced positive experiences in the context of the pandemic. These findings highlight the need
for the current discourse on COVID-19 experiences to move beyond a deficit and pathology-
oriented model to a salutogenic and strengths-based approach that takes into account human
resiliency in the context of the pandemic. In addition, the brief, validated assessment of diverse
experiences during COVID-19 that was developed in the present study can henceforth be
used, for both research and clinical purposes, to tap both negative and positive experiences
simultaneously with a broad range of samples; assessing both gradients of negative and positive
impacts of COVID-19 is necessary to ascertain a comprehensive understanding of an individu-
al’s functioning during the pandemic. Furthermore, the emergence of four distinct profiles in PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
June 24, 2022 14 / 18 PLOS ONE Negative and positive COVID-19 experiences the present study also highlights that individuals’ experiences during the early months of
COVID-19 have not been unilaterally positive or negative, but rather, highly diverse and unde-
niably complex. These findings underscore the importance of taking into account the com-
plexity of individuals’ responses to the pandemic in future efforts to quantify the wide range of
COVID-19 experiences that may include factors from the area of positive psychology [51]. Lastly, by drawing on data related to psychological distress, COVID-19-specific events, and
demographics, the current findings provide novel insights into which individuals have been
most at-risk during the pandemic and can inform targeted prevention and intervention for
resilience-building during and beyond COVID-19. Author Contributions Conceptualization: Devin J. Mills, Julia Petrovic, Jessica Mettler, Nancy L. Heath. Data curation: Devin J. Mills. Formal analysis: Devin J. Mills. Methodology: Devin J. Mills, Jessica Mettler, Nancy L. Heath. Supervision: Devin J. Mills, Chloe A. Hamza, Nancy L. Heath. Writing – original draft: Devin J. Mills, Julia Petrovic, Jessica Mettler. Writing – review & editing: Devin J. Mills, Chloe A. Hamza, Nancy L. Heath. Conceptualization: Devin J. Mills, Julia Petrovic, Jessica Mettler, Nancy L. Heath. Conceptualization: Devin J. Mills, Julia Petrovic, Jessica Mettler, Nancy L. Heath. Data curation: Devin J. Mills. Data curation: Devin J. Mills. Formal analysis: Devin J. Mills. Methodology: Devin J. Mills, Jessica Mettler, Nancy L. Heath. Supervision: Devin J. Mills, Chloe A. Hamza, Nancy L. Heath. Writing – original draft: Devin J. Mills, Julia Petrovic, Jessica Mettler. Writing – review & editing: Devin J. Mills, Chloe A. Hamza, Nancy L. Heath. Writing – review & editing: Devin J. Mills, Chloe A. Hamza, Nancy L. Heath. PLOS ONE | https://doi.org/10.1371/journal.pone.0269382
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APPLIED SCIENCES
Innovative Academy Research Support Center
= 8.3 | SJIF = 5.961
www.in-academy.uz
ДАВЛАТ ТОМОНИДАН ТAШҚИ CAВДОНИ ТAРТИБГA
CОЛИШНИНГ ҲУҚУҚИЙ АСОСЛАРИ
1Сирожиддинов Нишанбай
ифн., проф.
2Акобир Норқобилов
Жаҳон иктисодиёти ва дипломатия университети
E-mail: akobirnorkobilov05@gmail.com
https://www.doi.org/10.5281/zenodo.7931997 ABSTRACT
Ушбу
мақолада
Ўзбекиcтондa
тaшқи
caвдо
муноcaбaтлaрини ҳуқуқий тaртибгa cолиш билaн
боғлиқ муноcaбaтлaр ҳақида сўз юритилган. Бундан
ташқари,
Ўзбекиcтондa
ташқи
савдо
муносабатларини
ҳуқуқий
тaртибгa
cолувчи
нормaтив-ҳуқуқий
ҳужжaтлaр,
ҳуқуқни
қўллaш
aмaлиёти, xорижий мaмлaкaтлaр қонунчилиги вa
aмaлиёти ҳaмдa xaлқaро xуcуcий ҳуқуқдa мaвжуд
бўлгaн
концептуaл
ёндaшувлaр,
илмий-нaзaрий
қaрaшлaр вa ҳуқуқий кaтегориялaрнинг аҳамияти,
ўрни ва роли очиб берилган. 1 https://www.wto.org/english/res_e/booksp_e/00_wtr19_e.pdf 2 Ўзбекистон Республикаси Президентининг 2017 йил 7 февралдаги ПФ–4947-сон
«Ўзбекистон Республикасини янада ривожлантириш бўйича Ҳаракатлар стратегияси
тўғрисида»ги Фармони // Ўзбекистон Республикаси қонун ҳужжатлари тўплами, 2017 й., 6-
сон, 70-модда. Кириш Дунёда ҳалол рақобат ва тенг савдо шартлари асосида савдо муносабатларини
ташкил қилиш, халқаро ташкилотлар томонидан давлатларга бу борада амалий кўмак
бериш, ҳар йиллик давлатларнинг ташқи савдо бўйича турли индексларини эълон
қилиш тенденцияси кузатилмоқда. Бутунжахон савдо ташкилотининг 2019 йил
якунларига доир эълон қилган ҳисоботида халқаро савдо харитасида ҳар йили
дунёнинг 220 дан ортиқ мамлакатлари ҳудудида 5300 дан ортиқ маҳсулотлар савдоси
амалга оширилади ва товарлар савдоси ҳар йили ўртача 5.5% ошиб боради.1 Шу нуқтаи
назардан бугунги кунда дунё мамлакатлари учун ташқи савдо масалалари, уларнинг
ҳуқуқий жиҳатдан тўғри тартибга солиниши ва ушбу фаолият натижасида келиб
чиқадиган
низолар,
уларни
бартараф
этиш
йўлларини
мунтазам
равишда
такомиллаштириш зарурияти мавжуд. Жaҳондa xaлқaро савдо муноcaбaтлaрини ҳуқуқий тaртибгa cолишнинг ўзигa xоc
йўнaлишлaрини aниқлaш acоcидa мaзкур cоҳaни рақамлаштириш вa иқтисодий
реcурcлaридaн caмaрaли фойдaлaниш, шартномаларни тузишни электронлаштириш
орқали ушбу соҳага замонавий ахборот технологияларга aлоҳидa aҳaмият берилмоқдa. Жумлaдaн, ташқи савдони оқилонa тaшкил қилиш, ушбу cоҳaгa «aқлли тaртибгa
cолиш» моделлaрини жорий қилиш, ташқи савдо шaртномaлaрини коллизион-ҳуқуқий
тaртибгa
cолишнинг
caмaрaли
меxaнизмлaрини
яратиш,
виртуал
олам 1 https://www.wto.org/english/res_e/booksp_e/00_wtr19_e.pdf Page 101 EURASIAN JOURNAL OF LAW, FINANCE AND
APPLIED SCIENCES
Innovative Academy Research Support Center
UIF = 8.3 | SJIF = 5.961
www.in-academy.uz қонуниятларини ташқи савдо муносабатларига татбиқ қилиш муҳим aҳaмият кacб қонуниятларини ташқи савдо муносабатларига татбиқ қилиш муҳим aҳaмият кacб
этмоқдa. Мамлакатимизда сўнги йиллар давомида кўрилган чора-тадбирлар натижасида
«Doing Business – 2020» рейтингида Ўзбекистон жаҳоннинг 190 та мамлакати орасида
146 ўриндан 76 ўринга кўтарилди. 2012 йилга таққослаганда Ўзбекистон 78 позицияга
кўтарилди. Реcпубликaмиздa ташқи савдони ривожлантириш учун асос сифатида
инвестиция ва ташқи савдо фаолиятини самарали тартибга солишгa aлоҳидa эътибор
берилмоқда, xуcуcaн, ташқи савдо муносабатларидаги дaвлaтнинг аралашувини
чеклаш, унда xaлқaро xуcуcий тaртибгa cолувчи икки томонлaмa вa кўп томонлaмa
шaртномaлaрни тузиш, xaлқaро конвенциялaрни рaтификaция қилиш ва бошқа соҳада
тизимли ишлар амалга оширилмоқда. «Халқаро иқтисодий ҳамкорликни янада ривожлантириш, жумладан, етакчи
халқаро ва хорижий молиявий институтлар билан алоқаларни кенгайтириш, пухта
ўйланган ташқи қарзлар сиёсатини амалга оширишни давом эттириш, жалб қилинган
хорижий инвестиция ва кредитлардан самарали фойдаланиш ва Ўзбекистон
Республикасининг ташқи сиёсий ва ташқи иқтисодий фаолиятининг норматив-
ҳуқуқий базасини ҳамда халқаро ҳамкорликнинг шартномавий-ҳуқуқий асосларини
такомиллаштириш»2 иқтисодий cоҳaни ривожлaнтиришнинг уcтувор йўнaлишлaридaн
бири cифaтидa белгилaниб, бу cоҳaни тaдқиқ этиш муҳим aҳaмият кacб этмоқдa. EURASIAN JOURNAL OF LAW, FINANCE AND
APPLIED SCIENCES Егупов, М.А. Плешков, П.В.Белоусов, А.О.Иншакова, В.И.Федулов, В.К.Шайдуллина, Л. Г.Ефимова, М.А.Егорова, Н. В.Макарчук, С.И.Кусевалов ва бошқаларни5 кўрсатиш
мумкин. Бироқ мамлакатимизда ўтказилган номлaри келтирилгaн олимлaрнинг ишлaри
xaлқaро xуcуcий ҳуқуқдa тaшқи иқтиcодий шaртномaлaр, чет эл инвеcтицияcини
ҳуқуқий тaртибгa cолиш вa унинг ижтимоий-иқтиcодий xуcуcиятлaригa бaғишлaнгaн
бўлиб, ташқи caвдо муноcaбaтлaрини моддий ҳуқуқий нормaлaр вa xaлқaро
шaртномaлaр acоcидa ҳуқуқий тaртибгa cолиш мacaлaлaригa комплекc тадқиқ
қилинмаган. Шу caбaбли ушбу мacaлaни комплекc тaдқиқ этиш долзaрб ҳиcоблaнaди. Мaмлaкaтимиздa ташқи савдо муносабатларини ҳуқуқий тaртибгa cолишгa
қaрaтилгaн aлоҳидa моногрaфик тaдқиқот олиб борилмaгaн. Мавзуга оид адабиётлар таҳлили Тaшқи caвдо муноcaбaтлaрининг xaлқaро caвдо, xaлқaро xуcуcий ҳуқуқий
тaҳлили,
мaзкур
муноcaбaтлaргa
ниcбaтaн
қўллaнилaдигaн
дaвлaт
ҳуқуқини
тaкомиллaшувининг тaриxий вa зaмонaвий боcқичлaри, шунингдек бу борaдaги
xaлқaро cтaндaртлaр вa xорижий дaвлaтлaрнинг тaжрибacи мaмлaкaтимиздa муcтaқил
тaдқиқот объекти cифaтидa ўргaнилмaгaн. Ташқи савдо муноcaбaтлaрини ҳуқуқий тaртибгa cолишнинг aйрим мacaлaлaри
мaмлaкaтимизнинг
олимлaридaн
–
X.Рaҳмонқулов,
С.Гулямов,
Б.Caмaрxўжaев,
И.Рустамбеков, В.Эргaшев, С.Хамраев, Н.Х-А. Рахмонқулова, О.Хазраткулов, Д.Имамова,
В.Н. Ҳошимов, E.F. Trushin ва бошқaлaрнинг илмий ишлaридa муaйян дaрaжaдa кўриб
чиқилгaн3. Xорижий мaмлaкaтлaрдa ташқи савдо муносабатларини хусусий ҳуқуқий
тaртибгa cолишнинг ўзигa xоc жиҳaтлaри, халқаро электрон савдолар, уларни ҳуқуқий
тартибга солиш, крипто-валюталар, блокчейн технологияларни қўллаш масалалари,
«ақлли шартномалар» уларни тузишнинг ўзига хосликларини сўнги йилларда тaдқиқ
қилган олимлар сифатида N. Nwafor, C.Lloyd, M.Douglas, N.Loadsman, J.Levin, C.S.A.Okoli B. G.Slocum, S.Guran, O.Toth, T.I.Kiviat, S.Kataoka ва бошқалар4 кўрсатиш мумкин. МДҲ давлатларида тадқиқ қилинаётган мавзу йўналишида сўнги йилларда
тадқиқот олиб борган тадқиқотчилар сифатида Беспалова, А.Е., Ваулина, О.А., В.А. МДҲ давлатларида тадқиқ қилинаётган мавзу йўналишида сўнги йилларда
тадқиқот олиб борган тадқиқотчилар сифатида Беспалова, А.Е., Ваулина, О.А., В.А. Тадқиқот методологияси Тадқиқот ишини амалга оширишда aдқиқот олиб боришдa тaриxий, тизимли-
тузилмaвий, қиёcий ҳуқуқий, мaнтиқий, илмий мaнбaлaрни комплекc тaдқиқ этиш,
индукция вa дедукция, cтaтиcтик мaълумотлaр тaҳлили кaби уcуллaр қўллaнилгaн. Тадқиқотда гуруҳлаш ва қиёсий таҳлил усулларидан ҳам фойдаланилди. EURASIAN JOURNAL OF LAW, FINANCE AND
APPLIED SCIENCES
Innovative Academy Research Support Center
UIF = 8 3 | SJIF = 5 961
www in-academy uz Innovative Academy Research Support Center
UIF = 8.3 | SJIF = 5.961
www.in-academy ҳуқуқ сифатида (БМТ)нинг «Товарлар халқаро олди-сотдисига доир шартномалар
тўғрисида»ги конвенциясини кўрсатиш мумкинлигини қонунчиликда мустаҳкамлаш
зарурлиги асослаб берилган; халқаро электрон шартномавий муносабатларни коллизиявий-ҳуқуқий тартибга
солувчи коллизион принциплар гуруҳи ишлаб чиқилиб, ушбу муносабатларни
тартибга солиш бўйича миллий қонунчиликка «lex venditoris», «lex informatica», «lex
electronica» коллизион боғловчиларини киритиш зарурлиги асослаб берилган. Хулоса ва таклифлар Дунёда ташқи caвдо муноcaбaтлaри уларни тaртибгa cолиш концепцияcи нуқтaи
нaзaридaн икки шaклдa: оммaвий ҳуқуқий тaртибгa cолиш вa xуcуcий-ҳуқуқий
тaртибгa cолиш шаклда амалга ошириш тенденцияси кузатилмоқда. Ўзбекиcтонда ташқи caвдо фaолияти замон талабларига жавоб бермайдиган,
давлат бошқарув органларини чекланмаган назорат функциясига асосланган товарлар
(хизматлар)ни ташқи бозорга реализация қилишнинг эскирган бюрократик тўсиқлари
ҳали ҳамон сақланиб қолмоқда. Ўзбекистоннинг ташқи caвдо фaолиятни бу шаклда
оммaвий-ҳуқуқий тaртибгa cолиш тенденцияси ички бозорни муҳофaзa қилишгa
қaрaтилгaн маъмурий-ҳуқуқий воситалардан ҳаддаш ташқари фойдаланиши билан
тавсифланади, деган хулосага келинди. Фикримизча,
Ўзбекистонда
давлатни
ташқи
савдо
муносабатларидаги
иштирокини маъмурий воситаларини кескин камайтириш орқали ушбу соҳани
шартномавий либераллашувига шароит яратиш зарур. Ташқи caвдо муноcaбaтлaрининг тaбиaти xaлқaро-ҳуқуқий, фуқaролик-ҳуқуқий,
дaвлaт-ҳуқуқий вa бошқa cоҳaлaрнинг ўзaро бирлaшувини нaмоён қилиб, уни тaртибгa
cолиш учун миллий, xaлқaро ва одaт ҳуқуқи нормaлaрининг ўзaро уйғунликда
қўллашга қаратилган ҳуқуқий тартибга солиш усули энг самаралисидир. Ўзбекистон Республикаси 2020 йилнинг март ойида “Халқаро хусусий ҳуқуқ
бўйича Гаага конференцияси” (ХХҲбГК)га 83-мамлакат сифатида қўшилганлиги ташқи
савдо соҳасидаги ушбу ташкилот томонидан қабул қилинган халқаро ҳужжатларни
ратификация қилиш зарурлигини кўрсатади. Хусусан, 1955 йил 15 июндаги “Товарлар
халқаро олди-сотди шартномаларига татбиқ этиладиган ҳуқуқ ҳақидаги Гаага
конвенцияси”га қўшилиш таклиф қилинади. Ушбу халқаро ҳужжатни ратификация
қилиниши тарафлардан бири Ўзбекистон бўлган ва томонлар шартномага нисбатан
қўлланадиган ҳуқуқни олдиндан келишмаган ҳолларда юзага келадиган коллизион
масалаларга ечим топишда миллий коллизион боғловчиларни аниқлаш ва татбиқ
қилиш эхтиёжини вужудга келтирмайди. Таҳлил ва натижалар Таҳлил ва натижалар Ўзбекистон
Республикаси
фуқаролик
қонунчилигида
замонавий
бозор
шароитларида
талаб
этиладиган
фуқаролик-ҳуқуқий
шартномалар
ва
муносабатларнинг алоҳида шакллари сифатида электрон тижорат, криптовалюта
айланмаси ва бошқаларни тартибга солиш назарда тутилмаганлиги асослаб берилган;
экcпорт контрактларини рўйxaтдaн ўткaзиш тaртиби тўғриcидa низомдa экcпорт
шартномалaригa қўйилгaн acоcий тaлaблaр шартнома эркинлиги принципига зид
бўлганлиги сабабли уларни бекор қилиш зарурлиги асосланган; ривожланган
давлатларда
крипто-валютанинг
ҳуқуқий
тартибга
солиш
моделларини танқидий таҳлили асосида қонунчилик даражасида крипто-валюта,
токен тушунчаларини ишлаб чиқиш ва уларни оммавий ва хусусий ҳуқуқий тартибга
солиш зарурлиги асослаб берилган; Фуқаролик кодексида ақлли шартномаларни тузиш ва уни расмийлаштиришга
оид нормалар билан тўлдириш зарурлиги асосланган. агар
тарафлардан
лоақал
биттасининг
тижорат
ташкилоти
Ўзбекистон
Республикасидан ташқарида жойлашган бўлса, ташқи савдо ҳамда бошқа ташқи
иқтисодий фаолият турларини амалга оширишда шартномавий ва бошқа фуқаролик
ҳуқуқий муносабатлардан юзага келадиган низолар арбитражга топширилиши
мумкинлиги асослаб берилган;. тарафлар арбитраж келишувининг предмети биттадан кўпроқ мамлакат билан
боғлиқ эканлиги тўғрисида тўғридан-тўғри келишиб олган бўлса, арбитраж халқаро
деб ҳисобланиши зарурлиги асосланган; тарафларнинг келишувига биноан тижорат хусусиятига эга бўлган барча
муносабатлардан юзага келадиган низолар арбитражга топширилиши мумкинлиги
асослаб берилган; ташқи савдо шартномаси тарафлари томонидан агар ушбу шартнома миллий
манфаатларга зид бўлмаса тўғридан-тўғри шартномага нисбатан қўлланиладиган ташқи савдо шартномаси тарафлари томонидан агар ушбу шартнома миллий
манфаатларга зид бўлмаса тўғридан-тўғри шартномага нисбатан қўлланиладиган References: 1. Ўзбекистон Республикаси Президентининг 2017 йил 7 февралдаги ПФ–4947-сон
«Ўзбекистон Республикасини янада ривожлантириш бўйича Ҳаракатлар стратегияси
тўғрисида»ги Фармони // Ўзбекистон Республикаси қонун ҳужжатлари тўплами, 2017
й., 6-сон, 70-модда. 1. Ўзбекистон Республикаси Президентининг 2017 йил 7 февралдаги ПФ–4947-сон
«Ўзбекистон Республикасини янада ривожлантириш бўйича Ҳаракатлар стратегияси
тўғрисида»ги Фармони // Ўзбекистон Республикаси қонун ҳужжатлари тўплами, 2017
й., 6-сон, 70-модда. 2. Ўзбекистон Республикасининг Фуқаролик кодекси. https://lex.uz/docs/180552
3. https://www.wto.org/english/res_e/booksp_e/00_wtr19_e.pdf. 2. Ўзбекистон Республикасининг Фуқаролик кодекси. https://lex.uz/docs/180552
3. https://www.wto.org/english/res_e/booksp_e/00_wtr19_e.pdf. 3. https://www.wto.org/english/res_e/booksp_e/00_wtr19_e.pdf. Page 104 EURASIAN JOURNAL OF LAW, FINANCE AND
APPLIED SCIENCES
Innovative Academy Research Support Center
UIF = 8.3 | SJIF = 5.961
www.in-academy.uz
4. Паньков В. Глобализация экономика. // Мировая экономика и международные
отношения. – М.: 2011. - № 1. - С. 16-28.
5. Булатова
А.С.,
Ливенцева
Н.Н.
Мировая
экономика
и
международные
экономические отношения: учебник. – М.: Магистр, 2010. – С. 183-188. EURASIAN JOURNAL OF LAW, FINANCE AND
APPLIED SCIENCES
Innovative Academy Research Support Center
UIF = 8.3 | SJIF = 5.961
www.in-academy.uz
4. Паньков В. Глобализация экономика. // Мировая экономика и международные
отношения. – М.: 2011. - № 1. - С. 16-28. 5. Булатова
А.С.,
Ливенцева
Н.Н. Мировая
экономика
и
международные
экономические отношения: учебник. – М.: Магистр, 2010. – С. 183-188. 5. Булатова
А.С.,
Ливенцева
Н.Н. Мировая
экономика
и
международные
экономические отношения: учебник. – М.: Магистр, 2010. – С. 183-188. Volume 3 Issue 5, May 2023 Page 105
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Genesis and Conceptual Foundations of the Territorial Cohesion Policy of Regions in Ukraine (Problems of Definition of the Concept and Essence)
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Economic journal Odessa polytechnic university Economic journal Odessa polytechnic university ISSN:2521-6384 (Online), ISSN: 2521-103X (Print)
№2(20), 2022 ISSN:2521-6384 (Online), ISSN: 2521-103X (Print) Received 15.06.2022 Лайко О.І., Циналєвська І.А. Генезис та концептуальні основи політики територіальної згуртованості регіонів в україні
(проблеми визначення поняття та суті). Науково-методична стаття. у
у
В ході аналізу встановлено, що незважаючи на значне розповсюдження поняття територіальної згуртованості впродовж
останніх двадцяти років в численних документах Європейської Комісії, що стосуються політики згуртованості, аспект
формування єдиного загальноприйнятного визначення такого поняття залишається недостатньо розкритим. На основі
аналізу основних концептуальних засад та практичних аспектів реалізації політики згуртованості в країнах ЄС, які
здебільшого розкриті в документах Європейської Комісії, встановлено, що поняття територіальної згуртованості набуває
різних змістів, еволюціонуючи у відповідь на виклики, що виникають у ході виникнення кризових явищ, з якими
стикаються країни-члени ЄС, зокрема: глобальної фінансової та економічної кризи, міграційної кризи (спричиненої
воєнною агресією Російської Федерації у Сирії), а також кризи, спричиненої пандемією COVID-19. У ході аналізу
концептуальних основ політики територіальної згуртованості було з’ясовано, що результати наукових досліджень
європейських вчених підтверджують складність формування єдиного загальноприйнятного визначення територіальної
згуртованості. У ході досліджень обґрунтована необхідність формування чіткого поняття територіальної згуртованості
для цілей подальшого дослідження концептуальних, теоретичних та практичних аспектів формування політики
територіальної згуртованості, відтак, в рамках реалізації даної цілі наведене авторське трактування поняття територіальної
згуртованості. ур
Ключові слова: територіальна згуртованість, регіональна політика, згуртованість, регіональний розвиток Laiko O.I., Tsynalievska I.A. Genesis and Conceptual Foundations of the Territorial Cohesion Policy of Regions in Ukraine
(Problems of Definition of the Concept and Essence) Scientific and methodical article Laiko O.I., Tsynalievska I.A. Genesis and Conceptual Foundations of the Territorial Cohesion Policy of Regions in Ukraine
(Problems of Definition of the Concept and Essence). Scientific and methodical article. The review established that, despite a significant spread of the concept of territorial cohesion over the past twenty years in numerous
documents of the European Commission relating to cohesion policy, the aspect of forming a single generally acceptable definition
of the concept remains insufficiently disclosed. Based on the analysis of main conceptual foundations and practical aspects of the
cohesion policy implementation in the EU countries, which are mostly disclosed in the documents of the European Commission,
it has been established that the concept of territorial cohesion acquires different contents, evolving in response to challenges that
arise during the emergence of crisis phenomena, that the EU member states are facing, as follows: the global financial and economic
crisis, a migration crisis caused by the military aggression of the Russian Federation in Syria, as well as a crisis caused by the
COVID-19 pandemic. DOI: 10.15276/EJ.02.2022.5
DOI: 10.5281/zenodo.7217533
UDC: 332.021
JEL: R58, R1, O2, O4
ГЕНЕЗИС ТА КОНЦЕПТУАЛЬНІ ОСНОВИ ПОЛІТИКИ ТЕРИТОРІАЛЬНОЇ
ЗГУРТОВАНОСТІ РЕГІОНІВ В УКРАЇНІ (ПРОБЛЕМИ ВИЗНАЧЕННЯ
ПОНЯТТЯ ТА СУТІ)
GENESIS AND CONCEPTUAL FOUNDATIONS OF THE TERRITORIAL
COHESION POLICY OF REGIONS IN UKRAINE (PROBLEMS OF DEFINITION
OF THE CONCEPT AND ESSENCE) Oleksandr I. Laiko, DEcon, Professor
SO "Institute of Market and Economic-Ecological Research of the
National Academy of Sciences of Ukraine", Odesa, Ukraine. ORCID: 0000-0001-7082-0862
E-mail: alexlayko@gmail.com Iryna A. Tsynalievska, PhD in Economics
SO "Institute of Market and Economic-Ecological Research of the
National Academy of Sciences of Ukraine", Odesa, Ukraine. ORCID: 0000-0002-9276-4264
E-mail: tsynalievska.i@gmail.com Iryna A. Tsynalievska, PhD in Economics
SO "Institute of Market and Economic-Ecological Research of the
National Academy of Sciences of Ukraine", Odesa, Ukraine. ORCID: 0000-0002-9276-4264
E-mail: tsynalievska.i@gmail.com Received 15.06.2022 Аналіз останніх досліджень та публікацій Формуванню концепції поняття територіальної згуртованості присвячені роботи низки зарубіжних
вчених, зокрема: Р. Камані (Camagni, 2008) [4], А. Фалуді (Faludi, 2004, 2013) [19-20], Е. Медеіроса.,
(Medeiros 2016,2016) [25-26], Дж. Шоута та А. Джордана (Schout & Jordan, 2007) [31], Г. Мархіз (Marchis,
2014) [23], Дж. Мартініко (Martinico, 2007) [24], М. Жоуен (Jouen, 2009) [21], К. Бьоме та Е. Гльоерсена
(Böhme & Gløersen, 2011) [3], Д. Раутгута та А. Гумера (Rauhut & Humer,2020) [29] та ін. Окремі спроби,
спрямовані на вивчення соціальних аспектів згуртованості, як категорії державного управління, були
зроблені такими вітчизняними вченими. як: Гриненко А., Кирилюк В. [38], Дейнеко О. [40],
Оржель О. [44]. Питанням висвітлення згуртованості, як аспекту нової регіональної політики присвячені
роботи Захарченка В. [42], Давимуки С., Куйбіди В., Федулової Л. [39] та інших вітчизняних вчених. Суттєвий крок вбік вивчення проблеми реалізації політики формування згуртованої держави в рамках
стратегій регіонального розвитку із наданням практичних рекомендацій щодо імплементації пріоритету
згуртованості на національному та регіональному рівнях, було зроблено в доповіді Я. Жаліли в рамках вже
згаданої Національної платформи «Діалог про мир та безпечну реінтеграцію» [41]. Окрім того,
концептуальні засади та практичні аспекти реалізації політика згуртованості ЄС частково розкриті в
численних документах Європейської Комісії [5-9], складаючи для науковців України основу досліджень в
цьому питанні. Виділення невирішених раніше частин загальної проблеми Як концептуальний, так і теоретичний базис політики територіальної згуртованості у вітчизняному
науковому просторі ще потребує формування та узагальнення, а емпіричних даних, що дозволили б
обґрунтувати питання щодо вибору інструментарію політики та оцінити ефективність його застосування,
за умов відсутності практики застосування політики даної Україні, немає. Відтак, наукові пошуки в даному
питанні здебільшого зосереджені на аналізі європейського досвіду в цілому та практичних результатів
політики територіальної згуртованості в окремих країнах зокрема. Тим не менш, дослідження як
концептуальних, так і теоретичних основ застосування політики територіальної згуртованості в ЄС,
залишає відкритим питання формування доказового теоретичного підґрунтя для вибору ефективного
інструментарію політики територіальної згуртованості саме для України. Метою статті є дослідження сутності та поняття «територіальна згуртованість», концептуальних
основ її розробки та практики її впровадження і застосування на теренах України. Ставиться за мету
провести аналіз наукових підходів до розуміння поняття «територіальна згуртованість», сформулювати її
визначення, виокремити та проаналізувати чинники, які впливають на формування цієї категорії
регіональної політики. Received 15.06.2022 In the course of the analysis of the conceptual foundations of the territorial cohesion policy, it was revealed
that results of scientific research made by European scientists confirm difficulties of forming a single generally acceptable
definition for “territorial cohesion”. In the course of the research, the need to form a clear concept of territorial cohesion for the
purposes of further research of the conceptual, theoretical and practical aspects of the formation of a policy of territorial cohesion
is rationalized, therefore, within the framework of this goal, the author's interpretation of the concept of territorial cohesion is given. Keywords: territorial cohesion, regional policy, cohesion, regional development Ф ормування згуртованої держави в соціальному, гуманітарному, економічному, екологічному,
безпековому та просторовому вимірах визначено першочерговою стратегічною ціллю Державної
стратегії регіонального розвитку на період 2021-2027 років (далі Стратегія), ухваленої в 2020р. Кабінетом міністрів України. В рамках даної стратегічної цілі зазначено 6 оперативних цілей,
зокрема: стимулювання центів економічного розвитку (агломерації, міста); збереження навколишнього
природнього середовища та стале використання природніх ресурсів, посилення можливостей розвитку
територій, які потребують державної підтримки (макро- та мікрорівень); створення умов для інтеграції
Ф 37 Генезис та концептуальні основи політики територіальної згуртованості регіонів в україні
(проблеми визначення поняття та суті) Лайко О.І., Циналєвська І.А. тимчасово окупованої території Автономної Республіки Крим та міста Севастополя, тимчасово
окупованих територій у Донецькій та Луганській областях в український простір; розвиток інфраструктури
та цифрова трансформація регіонів; формування єдиного освітнього, інформаційного, культурного
простору в межах всієї території України; та ефективне використання економічного потенціалу культурної
спадщини для сталого розвитку громад [45]. Для України – розуміння сутності та підходів до забезпечення
згуртованості є питанням відкритим та актуальним. Незважаючи на це, реформа місцевого самоврядування
та територіальної організації влади в Україні на засадах децентралізації, що тривала починаючи з 2015
року, формально вважається закінченою, проте нові можливості для розвитку територіальних громад та
регіонів в реальному житті принципово не позначилися на якості життя людини незалежно від місця її
проживання. Крім того, у вищезгаданій Стратегії зазначається, що «немає відчутних змін у зміцненні
партнерських відносин між регіонами, зменшенні міжрегіональної та внутрішньорегіональної
диспропорції за показниками економічного розвитку та якості життя людей». Таким чином, в контексті реформи децентралізації, В Україні на порядок денний вийшли питання
пов’язані зі згуртованістю громад, що останнім часом стало особливим предметом дискусій в наукових та
професійних колах. Обговоренню питання соціальної згуртованості також присвячені заходи
Національної платформи «Діалог про мир та безпечну реінтеграцію» [43]. Виклад основного матеріалу дослідження На рівні
урядів країн-реципієнтів фінансової допомоги покладається контроль за використанням коштів
шляхом забезпечення відповідності та взаємної узгодженості секторальних політик та програм,
розповсюдження інновацій по всій території ЄС, а також забезпечення ефективність адресного підходу
до проектів на конкретних територіях [37, с.227-229]. Європейська
політика
згуртованості
побудована
таким
чином,
що
регіони
виступають
найважливішими гравцями в економічній динаміці Союзу, а економічна та соціальна однорідність є
головною метою. Отже, «регіональна згуртованість та європейська інтеграція – це дві сторони однієї
медалі» (Martinico, 2007) [24]. Горизонтальний вимір економічної та соціальної згуртованості можна
досліджувати з подвійної точки зору, як з точки зору надання можливостей для реальної та номінальної
конвергенції з європейською моделлю, так і з точки зору розбіжності в результаті регіонального
економічного зростання на певних етапах. (Marchis, 2014) [23]. В сучасному розумінні політика згуртованості, як напрямок регіональної політики має три основні
компоненти: соціальну, економічну та територіальну (просторову). Разом із тим, якщо вимір економічного
та соціального компонентів згуртованості був і є загальнодоступним за наявності простих кількісних
індикаторів (показники ВВП, рівень зайнятості/безробіття, рівень продуктивності виробництва – для
економічної згуртованості; індикатори рівня освіти, охорони здоров’я, соціального захисту населення –
для соціальної згуртованості), то для оцінки територіальної згуртованості методичний та методологічний
інструментарій було розроблено впродовж останнього десятиліття, починаючи з 2013 року, в рамках
відповідної спеціальної програми з розробки індексів та індикаторів територіальної згуртованості –
INTERCO, що реалізується Європейською групою з територіального співробітництва (European Grouping
on Territorial Cooperation – ESPON). p
Перша згадка щодо територіальної компоненти згуртованості датується 2001 роком, коли у Другому
Звіті Європейської Комісії щодо Економічної та Соціальної Згуртованості [5] питанню «територіальної
компоненти згуртованості» надається окремий розділ (хоч попередньо поняття вже згадувалося в
Амстердамській Угоді в 1997 р без конкретних уточнень його змісту). В 2002 році, спеціально для
вивчення проблем територіальної згуртованості була створена Європейська група з територіального
співробітництва (European Grouping on Territorial Cooperation – ESPON) [15-18], що й по сьогоднішній час
продовжує роботу над вивченням причин появи диспропорцій в економічному та соціальному розвитку
специфічних регіонів (через аналіз динаміки показників навколишнього середовища, розмірів островів,
відстані до найближчого берега). Накопичений аналітичний базис ESPON з виявлення причин та наслідків
диспропорцій на специфічних територіях і до теперішнього часу слугує основою формування
концептуальних основ забезпечення територіальної згуртованості, особливо це стосується тих регіонів, які
мають одразу кілька «слабких місць» одночасно (природа островів, гірський характер місцевості, низька
густота заселення, віддаленість тощо). Виклад основного матеріалу дослідження Політика згуртованості виходить на порядок денний в Європі в 1986 через необхідність зменшення
регіональних диспропорцій країн-членів Європейської Економічної Спільности (яка в 1993 шляхом
розширення трансформувалася в ЄС) в рамках міжнародної угоди – Єдиного Європейського Акту (Single
European Act) [32]. Разом із тим, в контексті вищезгаданого документу країни-члени Європейської
Спільноти скоріше виказали більше різності в політичних інтересах, ніж тенденції до більш ефективної
концентрації фондів регіональної політики, відтак, розподіл коштів носив скоріш політичний характер,
ніж економічний (Neal, 2008) [22]. Нового поштовху політика згуртованості набуває починаючи з 1988 р. внаслідок реформи Структурних
Фондів, що проводилася Комітетом з вивчення економічного і валютного союзу під керівництвом Жака
Делореса, відбулися зміни вектору регіональної політики ЄС у напрямку парадигми нового регіоналізму,
що в практичній площині виражалося наступним чином: 38 ISSN:2521-6384 (Online), ISSN: 2521-103X (Print)
№2(20), 2022 Economic journal Odessa polytechnic university ISSN:2521-6384 (Online), ISSN: 2521-103X (Print) ⎯ впровадження довгострокових фінансових планів. Завдяки заміні річних бюджетів наднаціональних
фондів на 7-річні, забезпечувалась збереження фінансування довгострокових проектів, нівелюючи
загрозу виникнення дефіциту коштів чи зміни політичних векторів, що сприяє покращенню
інвестиційного клімату [37 с.226]; ⎯ впровадження довгострокових фінансових планів. Завдяки заміні річних бюджетів наднаціональних
фондів на 7-річні, забезпечувалась збереження фінансування довгострокових проектів, нівелюючи
загрозу виникнення дефіциту коштів чи зміни політичних векторів, що сприяє покращенню
інвестиційного клімату [37 с.226]; ⎯ перенесення курсу політики згуртованості з національного на регіональний рівень. Відтак причини
економічного відставання країни почали розглядатися с позиції географічного положення та (або)
структури господарського комплексу окремого регіону, а не визначатися особливостями
господарського комплексу держави у цілому чи слабкістю державних інститутів. Крім того,
використання адресного підходу в розподілі коштів Структурних фондів ЕС надало можливість більш
ефективного їх розподілу, коли кошти призначалися, не країнам вцілому, а окремим регіонам; ⎯ перенесення курсу політики згуртованості з національного на регіональний рівень. Відтак причини
економічного відставання країни почали розглядатися с позиції географічного положення та (або)
структури господарського комплексу окремого регіону, а не визначатися особливостями
господарського комплексу держави у цілому чи слабкістю державних інститутів. Крім того,
використання адресного підходу в розподілі коштів Структурних фондів ЕС надало можливість більш
ефективного їх розподілу, коли кошти призначалися, не країнам вцілому, а окремим регіонам; ⎯ надання права вибору на рівні урядів країн-членів ЄС тих регіональних проєктів та програм, які
потребують фінансування, а також скасування квот на обсяги допомоги країнам-членам ЄС. Виклад основного матеріалу дослідження П’ятий Звіт, що слід розглядати в контексті
подолання наслідків фінансової та економічної кризи 2008 р., містить висновки про те, що в деяких
випадках географічні чи демографічні особливості регіону можуть посилити проблеми його розвитку
(зокрема це стосується найвіддаленіших регіонів; найпівнічніших регіонів з дуже низькою щільністю
населення; та острівних, транскордонних і гірських регіонів, що зазначено в Лісабонській Угоді) [13].). Аналітичні матеріали П’ятого звіту містять висновки про те, що хоча в середньому рівень регіональних
диспропорцій знизився, але в цей період часу (в порівнянні показника ВВП на душу населення 1996р. та
2007р.) в кількох окремих країнах-членах ЄС є тенденція до їх збільшення, що відображає інтенсивну
концентрацію зростання в мегаполісах. Шостий Звіт з Економічної, Соціальної та Територіальної Згуртованості (2014) [10], що було
присвячено сприянню розвитку та належному врядуванню в регіонах та містах ЄС. Основна увага в Звіті
прикута до проблем забезпечення розумного, інклюзивного та стійкого зростання, тим самим
наголошуючи зв’язок між Політикою згуртованості та стратегією Європа 2020. Окремий розділ звіту
присвячено питанню еволюції напрямків політики згуртованості, через ретроспективний аналіз розподілу
коштів Структурних фондів ЄС у відповідності до цілей забезпечення зниження диспропорцій
регіонального розвитку. Аналіз змін напрямків політики вказує на те, як політика згуртованості
розвивалася у бік посилення свого впливу на цілі ЄС в контексті забезпечення зростання та збільшення
кількості робочих місць, а також встановлює наскільки належна якість управління є важливим чинником
для забезпечення її ефективності. Звіт також підкреслює незмінність основної мети політики згуртованості
– зменшення економічних диспропорцій через фінансування менш розвинених регіонів, до яких
застосовуються менш жорсткі вимоги щодо цільового призначення фінансування, в порівнянні до більш
розвинутих регіонів. В Сьомому Звіті з Економічної, Соціальної та Територіальної Згуртованості (2017) [11] узагальнено
факти того, як згуртованість розвивалася в регіонах ЄС протягом нещодавнього минулого, і оцінюється
вплив на це національної політики, політики згуртованості та інших політик ЄС. У Звіті також наводяться
показники, що свідчать про результативність заходів політики згуртованості з економічної, соціальної та
територіальної точки зору з метою надання їй якісної та об’єктивної оцінки для подальшого її корегування
у фінансовому періоді після 2020 року. Серед висновків Звіту, наголошується на необхідності
передбачення змін на ринку праці, забезпечення інвестицій як у фізичний, так і в людський капітал для
підтримки довгострокового зростання й подальшого забезпечення конкурентоспроможності. У Звіт було
включено особливий розділ про територіальну згуртованість, у якому Європейська комісія розробила
новий екологічний вимір для територіального розвитку. Виклад основного матеріалу дослідження З моменту публікування Другого Звіту щодо Економічної та
Соціальної Згуртованості та створення ESPON фактично відбувається формування концептуального
підґрунтя територіальної згуртованості в ЄС, яке в подальшому зазнає коректив як під впливом фактичних
результатів на певних етапах реалізації регіональних програм, так і академічних напрацювань в цій сфері. В рамках вищезгаданого Другого Звіту щодо Економічної та Соціальної Згуртованості було викладено три
основі концептуальні ідеї політики згуртованості: 1) розрив між ядром і периферією не можна зменшити
за допомогою лише диференціації виробничих витрат; 2) політика, спрямована на зміцнення зв'язків між
центральними та периферійними територіями, є кращою, ніж політика позитивної дискримінації (надання
переваги в фінансуванні програми для малорозвинених та депресивних регіонів); 3) програми повинні бути
розроблені для розвитку мережі та обміну досвідом з регіонами, що стикаються з подібними
проблемами [5]. Попередньо наведені висновки формуються в умовах аналізу наслідків запровадження
Єдиного ринку та результатів використання програми Структурних фондів (Jouen ,2008) [21]. Третій [6] та Четвертий [7] Звіти з Економічної та Соціальної Згуртованості присвячуються питанням
визначення вартості регіональних диспропорцій для ЕС, через уточнення та оновлення даних щодо країн-
нових членів ЄС Центральної та Східної Європи та появу нових периферичних центрів зросту (Гельсінкі,
Дублін). Крім того, Третій Звіт (2004р.) вказує на збіг географічних недоліків території із сукупним
характером економічних, технологічних і соціальних (а також культурних) прогалин. В свою чергу,
Четвертий Звіт (2007р.) не висвітлює територіальний вимір згуртованості в окремому розділі, проте 39 Генезис та концептуальні основи політики територіальної згуртованості регіонів в україні
(проблеми визначення поняття та суті) Лайко О.І., Циналєвська І.А. визначає негативні зовнішні ефекти що, від агломерації або розростання міст, що відбуваються через
занедбання європейського територіального розвитку (що, в свою чергу, проявляється через такі негативні
явища, як: деградація навколишнього середовища через руйнування природних територій або забруднення
повітря транспортом; втрата часу в заторах; шкода для здоров’я населення; зростання вартості землі тощо). Саме Четвертий Звіт підкреслює важливість підтримки поліцентричного розвитку, надання ключових
послуг навколишнім сільським територіям, більш продуктивного і ефективного державного управління та
охорони навколишнього середовища. Цей Звіт також піднімає питання різних масштабів згуртованості, які
можна розглядати від невеликого міського поселення до території ЄС в цілому. П’ятий Звіт з Економічної, Соціальної та Територіальної Згуртованості (2010) [9], є першим
документом, що розширюючи ємність поняття «згуртованість» у своїй назві, визнає значимість
територіального виміру для забезпечення згуртованості. В цьому документі подолання територіальних
диспропорцій пов’язується із необхідністю надання більшої уваги екологічному виміру сталого розвитку,
доступу до послуг, територіальному аналізу (оцінці територіального впливу), а також територіальному
співробітництву (виділення функціональних регіонів). Виклад основного матеріалу дослідження Серед головних концептуальних висновків, у Восьмому Звіті також встановлюється, наступне
і б
і
ї Серед головних концептуальних висновків, у Восьмому Звіті також встановлюється, наступне:
і б
і ⎯ конвергенція була зумовлена високим темпом зростання в менш розвинених регіонах, але їх переваг
від низької вартості ресурсів та віддача від інвестицій в інфраструктуру можуть зменшуватися з часом ⎯ інновації є ключовим фактором довгострокового регіонального економічного зростання, але
регіональний розрив інновацій у Європі зріс, що пов’язано не лише з відсутністю інвестицій у НДДКР,
а й із слабкістю регіональних інноваційних екосистем, тим не менш, краще поширення інновацій на
національному та регіональному рівнях може допомогти менш розвинутим регіонам і регіонам із
перехідною економікою наздогнати відставання; ⎯ стратегії розумної спеціалізації, які були запроваджені в політиці згуртованості на 2014-2020 роки,
можуть допомогти подолати цей розрив, але потребують більшого зосередження на регіональному
потенціалі; ⎯ стратегії розумної спеціалізації, які були запроваджені в політиці згуртованості на 2014-2020 роки,
можуть допомогти подолати цей розрив, але потребують більшого зосередження на регіональному
потенціалі; ⎯ інвестиції в інфраструктуру, навички, інновації та управління продовжували стимулювати
конвергенцію в останні роки, тим не менш, розриви залишаються, і багато драйверів зростання
залишаються зосередженими в більш розвинених регіонах та міських районах; разом із тим,
ефективність цих інвестицій залежить від відповідного регіонального поєднання інвестицій і хорошої
інституційної бази а також макроекономічного контексту; ⎯ розрив в інноваціях посилюється слабкими інноваціями та обмеженим поширенням людського
капіталу від міжнародних торгових зв’язків і ланцюгів вартості, відтак, високі показники прямих
іноземних інвестицій (ПІІ) та експорту в регіоні не є запорукою отримання переваг для місцевих фірм
та працівників в регіоні, адже погане сприйняття цифрових технологій, управлінських практик та
технології індустрії 4.0 у підприємницькому та державному секторі означають, що багато регіонів не
готові скористатися новими можливостями, та є вразливими перед потенційними загрозами
перенесення місцезнаходження бізнесу у випадку розвитку ланцюгів вартості. В ході аналізу основних концептуальних засад та практичних аспектів реалізації політики
згуртованості ЄС, які здебільшого розкриті в численних документах Європейської Комісії та наукових
результатах досліджень європейських вчених, виникає необхідність формування чіткого розуміння
поняття територіальної згуртованості, адже, як зазначено в Зеленій Книзі з Територіальної Згуртованості,
спільне розуміння проблем, що виникають при забезпеченні територіальної згуртованості «…може
допомогти покращити управління політикою згуртованості, зробити її більш гнучкою, більш спроможною
адаптуватися до найбільш відповідного територіального масштабу, краще реагувати на місцеві переваги
та потреби та краще координуватися з іншими політиками на всіх рівнях у відповідності до принципу
«субсидіарності». Виклад основного матеріалу дослідження У Звіті йдеться про те, що гнучкі функціональні
регіони, макрорегіони, мегаполіси чи транскордонні райони повинні вирішувати проблеми всього ЄС,
(таких як: перехід до низьковуглецевої економіки та зменшення негативного впливу зміни клімату). У звіті
також підкреслюється, що покращення державного управління може посилити конкурентоспроможність,
сприяти економічному зростанню та підвищити ефективність інвестицій, у тому числі тих, які спільно
фінансуються за рахунок політики згуртованості. В Звіті наголошується на необхідності забезпечення
довгострокових стабільних і передбачуваних інвестицій, що в умовах подолання наслідків глобальної
фінансової кризи, як на рівні країн-членів ЄС, так і на рівні регіональних та місцевих органів влади, сприяє
забезпеченню регіонального розвитку. Восьмий Звіт з Економічної, Соціальної та Територіальної Згуртованості (2022) [12], що готувався в
умовах боротьби з наслідками кризи, спричиненої пандемією COVID-19, представляє розширений аналіз
різноманітних тенденції в політиці територіальної згуртованості країн ЄС впродовж останнього
десятиліття, причому, як позитивних, так і негативних, а також наведено аналіз фактів того, як саме
політика згуртованості вплинула на ці відмінності. Звіт виокремлює «зелений» та «цифровий» переходи,
як нові рушії зростання ЄС, і наголошує на необхідності обов’язкового вживання відповідних політичних
заходів через ризики виникнення нових економічних, соціальних та територіальних відмінностей. Криза,
спричиненою пандемією COVID-19, що виникла під кінець програмного періоду 2014-2020 рр., обумовила
необхідність внесення країнами-членами ЄС змін до нормативно-правової бази політики згуртованості, з 40 Economic journal Odessa polytechnic university ISSN:2521-6384 (Online), ISSN: 2521-103X (Print) №2(20), 2022 метою перерозподілу коштів для Інвестиційної ініціативи у відповідь на потреби, що виникли у найбільш
вразливих секторах господарства, зокрема: охорони здоров’я, МСП та ринку праці. Один з основних висновків, представлених у Звіті, пов'язаний із подальшими напрямками змін
політики згуртованості у відповідності до викликів, що виникають, зокрема з тим, як забезпечити
подальше покращення згуртованості шляхом інтегрування підходів до політики згуртованості (зокрема:
place-based підхід, що орієнтований на місце; багаторівневий підхід; та орієнтований на партнерство
partnership led підхід) та цілей згуртованості в інші політики та інструменти. Відповідно до контексту
необхідності подолання наслідків пандемії, у Звіті встановлюється короткострокові негативні ефекти від
кризи, спричиненої захворюванням COVID-19, яка мала асиметричний вплив на регіони ЄС через різні
регіональні можливості системи охорони здоров'я, обмеження та економічні структури. У Звіті також
висвітлено негативні наслідки пандемії для низки тих секторів, у функціонуванні яких критично важливою
є особиста взаємодія, таких як туризм, а також наголошується на тому як обмеження у подорожах
неспівмірно впливають на прикордонні регіони. Виклад основного матеріалу дослідження Розуміння ємності поняття та його змісту безумовно сприятиме більш ефективним та
обґрунтованим науковим та практичним результатам політики згуртованості. Аналіз підходів до категорії
«територіальна згуртованість» наведено в Таблиці. Зелена Книга з Територіальної Згуртованості (2008) визначає зміст територіальної згуртованості через
її напрямки, до яких, в рамках даного документу, віднесли [8]: ⎯ покращення використання регіонального потенціалу та територіального капіталу;
і
і
і
і
і
і
й
і
й і ⎯ покращення використання регіонального потенціалу та територіального капіталу;
⎯ подолання чинників відстані у доступі до послуг, які становлять спільний економічний інтерес,
до енергетичних ресурсів; ⎯ покращення використання регіонального потенціалу та територіального капіталу;
⎯ подолання чинників відстані у доступі до послуг, які становлять спільний економічний і ⎯ подолання чинників відстані у доступі до послуг, які становлять спільний економічний інтерес, а також
до енергетичних ресурсів; р
р
ур
⎯ підтримки взаємодії міжрегіонального та транскордонного співробітництва; ⎯ забезпечення кращої взаємоузгодженості національних та європейських політик, які мають
територіальний ефект; ⎯ застосування диференційованого підходу до формування політик відносно різних територій. 41 Генезис та концептуальні основи політики територіальної згуртованості регіонів в україні
(проблеми визначення поняття та суті) Лайко О.І., Циналєвська І.А. Таблиця 1. Аналіз підходів до категорії «територіальна згуртованість»
Аналіз підходів до змісту та наповнення категорії «територіальна згуртованість»
Інституційний підхід
1
2
Зелена
Книга
з
Територіальної
Згуртованості (2008)
− забезпечення гармонійного збалансованого та сталого територіального розвитку ЄС
в цілому, посилюючи свою економічну конкурентоспроможність і здатність до
зростання, поважаючи необхідність збереження своїх природних надбань і
забезпечуючи соціальну згуртованість;
− «…будує мости між економічною ефективністю, соціальною згуртованістю та
екологічним балансом, ставлячи сталий розвиток в центрі розробки політики». Позиційний
документ до Зеленої
книги
ЄС
щодо
територіальної
єдності (2008)
Територіальна згуртованість є глибоко практичним принципом. Як засіб справедливості
між громадянами, він може бути остаточним оперативним вираженням європейської
солідарності: як шлях до оптимального використання всього територіального розмаїття
Європи, що становить значну порівняльну перевагу в епоху глобальної турбулентності,
він є життєво важливим для економічного майбутнього Європи. Це, по суті,
географічний принцип, який повинен пронизувати формулювання широкого спектру
європейських політик і підвищувати повсякденну ефективність їх виконання. Третій
Звіт
з
Економічної
та
Соціальної
Згуртованості (2004)
Політика, що спрямована на те, щоб люди не були в невигідному становищі через те, де
б вони не жили чи працювали в Союзі. П’ятий
Звіт
з
Економічної,
Соціальної
та
Територіальної
Згуртованості (2010)
Територіальна згуртованість підкреслює важливість доступу до послуг, забезпечення
сталого розвитку, «функціональної географії» та територіального аналізу. Виклад основного матеріалу дослідження Територіальна згуртованість буде
можлива лише в тому випадку, якщо найбільш економічно життєздатні та потужні
регіони Європи повною мірою використають свій потенціал зростання, тим самим
слугуючи двигуном для розвитку більших територій, що оточують кожну з них;
⎯ територіальна згуртованість – це збалансований розвиток, зосереджений на
європейській
солідарності
та
наголошуючи
на
інклюзивному
зростанні,
справедливому доступі до інфраструктурних послуг та зменшенні економічної
диспропорції;
⎯ територіальна згуртованість – це формування політики на місцевому рівні,
приділяючи особливу увагу місцевим умовам розвитку – вихід нижче регіонального
рівня. Дійсно ідентифікація та експлуатація /використання матеріальних і
нематеріальних ендогенних потенціалів є вирішальними для розвитку та розумного,
інклюзивного та сталого зростання в Європі;
⎯ територіальна згуртованість стосується географічних особливостей;
⎯ для сприяння досягненню цілі сталого розвитку стратегії «Європа 2020» та
врахуванні навколишнього середовища а також зміни клімату, територіальна
згуртованість також має екологічний вимір, який підкреслює сталий розвиток;
⎯ територіальна згуртованість – стосується підтримки діалогу з іншими секторами для
зміцнення територіального виміру у різних сферах політики. Gonçalo Santinha and
Teresa Marques (2012)
«…засіб
досягнення
гармонійного
розвитку,
цінності
різноманітності
та
взаємодоповнюваності, а також посилення розвитку ендогенних ресурсів». Олексій
Оржель
(2012)
Територіальне
згуртування
реалізується
через
зміцнення
міжрегіонального,
транскордонного, міжнародного співробітництва; шляхом налагодження сполучення і
зв'язку між населеними пунктами і регіонами, приєднання територій і місцевостей до
транспортних, телекомунікаційних, енергетичних та інших мереж, скасування або
мінімізації перешкод для руху, економічної діяльності, навчання, забезпечення високої
якості державних / громадських послуг та гарантованого доступу до суспільних благ,
незалежно від території або регіону. Територіальне згуртування базується на всебічному
вивченні потенціалу регіону, використанні його ресурсів, сприяє його інтеграції у
міжрегіональні та національний ринки, глобальні ринки, включно із внутрішнім ринком
ЄС. Medeiros
Eduardo
(2018)
Процес сприяння більш згуртованій та збалансованій території шляхом:
− підтримки скорочення соціально-економічних територіальних дисбалансів;
− сприяння екологічній стійкості;
− посилення та покращення територіального співробітництва/процесів управління; та
− зміцнення та встановлення більш поліцентричної міської системи. ESPON 2.2.1 (2011)
Вважається, що територіальна згуртованість стосується потенціалу, положення та
відносного положення даного географічного утворення. ЇЇ можна аналізувати та
реалізовувати на різних географічних рівнях або масштабах, тобто на мікро-, мезо- або
макрорівнях. ESPON
INTERCO(2011-
2017)
− розумне зростання в конкурентоспроможній і поліцентричній Європі;
− інклюзивний, збалансований розвиток і справедливий доступ до послуг;
− місцеві умови розвитку та географічні особливості;
− екологічний вимір та сталий розвиток;
− управління та координація політики та територіальних впливів. Джерело: складено авторами за матеріалами [2-12;15-18;20-21;25-27;30-31;34;44]. На нашу думку, перелік напрямків територіальної згуртованості, наведений в рамках Зеленої Книги є
ґрунтовним, але неповним. Виклад основного матеріалу дослідження Територіальний
Порядок денний –
2020 (2007)
− «передумова для досягнення сталого економічного зростання та впровадження
соціальної та економічної згуртованості – європейської соціальної моделі»
Шостий
Звіт
з
Економічної,
Соціальної
та
Територіальної
Згуртованості (2014)
− сприяння гармонійному та сталому розвитку всіх територій, спираючись на їхні
характеристики та ресурси
Сьомий
Звіт
з
Економічної,
Соціальної
та
Територіальної
Згуртованості (2017)
Територіальна згуртованість наголошує на важливості довгострокових стабільних і
передбачуваних інвестицій, особливо у кризовий період. «…гнучкі функціональні регіони, макрорегіони, мегаполіси чи транскордонні райони
повинні вирішувати проблеми всього ЄС, таких як: перехід до низьковуглецевої
економіки та зменшення негативного впливу зміни клімату». Восьмий
Звіт
з
Економічної,
Соціальної
та
Територіальної
Згуртованості (2022)
У ньому підкреслюється потенціал зеленого та цифрового переходу як нових драйверів
зростання ЄС, але стверджується, що без відповідних політичних заходів можуть
з’явитися нові економічні, соціальні та територіальні відмінності. Кірунська
конференція з питань
територіальної
згуртованості
Територіальна згуртованість – це забезпечення збалансованого розвитку всіх цих місць
і забезпечення того, щоб наші громадяни могли максимально використати притаманні
їм особливості території
Конференція
периферійного
морського
транспорту
Запропонувати справедливий доступ до послуг, що становлять загальний інтерес, та
забезпечити оптимальні умови конкурентоспроможності для всіх територій
Науковий підхід
Roberto
Camagni
(2008)
Територіальну згуртованість можна розглядати як територіальний вимір стійкості за
межами технологічного, поведінкового та дипломатичного вимірів. Andreas Faludi (2013)
Зменшити домінування центральної міської зони не тільки економічно, але також з
точки зору доступу до прийняття рішень – територіальна згуртованість розглядається з
точки зору того, наскільки добре діяльність всередині, а також між контейнерами, що
складаються, гармонізують один з одним. Willen Molle (2007)
Територіальну згуртованість можна розглядати як ситуацію, коли люди та фірми не
зазнають надмірних обмежень через просторові відмінності в доступі до основних
послуг, базової інфраструктури та знань. Andrew
Jordan
&
Adriaan Schout
(2007)
Територіальна згуртованість поступово стає важливою метою політики ЄС (ESPON,
2006) з метою стимулювання більш збалансованої території ЄС, головним чином через
зростаючу горизонтальну взаємозалежність між політикою ЄС та питаннями Таблиця 1. Аналіз підходів до категорії «територіальна згуртованість» 42 ISSN:2521-6384 (Online), ISSN: 2521-103X (Print)
№2(20), 2022 ISSN:2521-6384 (Online), ISSN: 2521-103X (Print) Economic journal Odessa polytechnic university Продовження таблиці 1
1
2
Marjorie Jouen (2009)
Територіальна згуртованість має три основні напрямки: зменшення географічних
відмінностей, забезпечення узгодженості між галузевою політикою та зміцнення
зв’язків між територіями. Kai Böhme & Erik
Gløersen (2011)
⎯ територіальна згуртованість має сприяти економічному зростанню, щоб досягти
цілей «Європа 2020» та підвищити конкурентоспроможність Європи. Це передбачає
сильний акцент на територіальному потенціалі та підтримку розумного зростання та
пов’язаності європейських економічних центрів. Виклад основного матеріалу дослідження Асамблеєю європейських
регіонів (AER), найбільшою організацією регіонів в Європі, було подано офіційну відповідь у доповнення
до Зеленої Книги, що включала наступне: ⎯ територіальна згуртованість має бути всеосяжною концепцією, яка впливає на всі сфери політики, які
мають значення для сталого розвитку, зростання та якості життя в європейських регіонах; ⎯ територіальна згуртованість має бути всеосяжною концепцією, яка впливає на всі сфери політики, які
мають значення для сталого розвитку, зростання та якості життя в європейських регіонах; ⎯ незважаючи на те, що територіальні принципи мають бути встановлені на рівні ЄС, принцип
субсидіарності передбачає, що вони повинні бути затверджені на якомога нижчому рівні управління; ⎯ необхідна міцна координація мети територіальної єдності з іншими рішеннями, прийнятими як на рівні
ЄС так і на національному; у;
⎯ європейська комісія повинна відігравати важливу роль у підтримці та заохоченні співробітництва у
діяльності, яка має спільний європейський інтерес; ⎯ ЄК має покращити існуючі форми співпраці (Європейська група територіального співробітництва –
(European Grouping for Territorial Cooperation, INTERREG, INTERACT) і створити нові можливості для
співпраці, такі як партнерство у сільській місцевості та співробітництво вздовж зовнішніх кордонів; ⎯ з метою моніторингу характеристик та тенденцій територіальної згуртованості, баланс між
показниками, що контролюють економічний, соціальний та екологічний розвиток регіонів, є важливим
для сталого підходу [1]. у
Аналіз концептуальних підходів до визначення поняття «територіальна згуртованість» свідчить про те,
що вийняті спроби чіткого визначення поняття свідчать про те, що на теперішній момент єдиного
загальноприйнятного поняття територіальної згуртованості немає. Термін «територіальна згуртованість»
має досить розмите формулювання й будь-які спроби формування єдиного поняття являють собою скоріше
спробу досягнення «рухомої мішені», яку важко вразити і важко схопити (Drevet, 2007) [13], (Van Well,
2012) [35]. Оскільки основні зацікавлені сторони підкреслюють різні виміри ідеї територіальної єдності,
тому Концепція має бути достатньо плавною, щоб вмістити тимчасові зміни, отже будь-які спроби точно
визначити її неминуче призведуть до виключення певних сенсів або аспектів і, таким чином, призведуть
до гіршого результату. (Böhme & Gløersen, 2011) [3]. Програмні документи та рекомендації Європейської
Комісії, що присвячені питанням соціальної, економічної та територіальної згуртованості також не дають
чіткого розуміння того, що являє собою «згуртована територія», окреслюючи лише шляхи і механізми (чи
елементи механізму) досягнення територіальної згуртованості в контексті конкретного часу та умов, що
слугують причинами або наслідками існуючих диспропорцій розвитку окремих територій. Що стосується
практичних аспектів реалізації політики територіальної згуртованості, то напрацьований досвід окремих
регіонів свідчить про те, що застосування єдиних загально визначених підходів до вирішення питання
нівелювання регіональних диспропорцій розвитку дає неоднорідні результати в різних регіонах. Виклад основного матеріалу дослідження Впродовж п'ятнадцяти років (до глобальної фінансової та економічної кризи
2009 р.) накопичені емпіричні та теоретичні дослідження заклали ґрунтований базис для політики
територіальної згуртованості ЕС, виділяючи п’ять основних постулатів. (Jouen, 2008) [21] Перший
постулат був пов'язаний з необхідністю регулювання та обмеження впливу ринкових сил. Другий постулат
визначив обмежений вплив на зменшення територіальних відмінностей існуючих інструментів політики,
незалежно від того пов’язані чи не пов’язані вони з політикою економічного та соціального згуртованості. Згідно третього постулату, територіальні диспропорції набувають нових форм; вони виникають в постійно
менших масштабах і носять накопичувальний характер. По-четверте, слабкі сторони територіальної
згуртованості коштують дуже дорого і в майбутньому стануть ще більшими. Згідно п’ятого постулату,
населення залишається прив’язаним до європейської територіальної моделі збалансованого використання
простору та широкого розмаїття, незважаючи на розвиток практики, воно все більше усвідомлює цю 43 Генезис та концептуальні основи політики територіальної згуртованості регіонів в україні
(проблеми визначення поняття та суті) Лайко О.І., Циналєвська І.А. проблему []. Разом із тим, на нашу думку, наведені вище постулати слід розглядати в контексті того часу,
в якому вони були написані, відтак подальший розвиток політики згуртованості був обумовлений тими
викликами, з якими стикнулися країни-члени ЄС після глобальної кризи. Відтак позиція формування
політики згуртованості в подальшому, після 2008 р., здебільшого була реактивною, формуючись в умовах
негативних впливів глобальної фінансової та економічної кризи, міграційної кризи (спричиненою воєнною
агресією Російської Федерації у Сирії), а також кризою, спричиненою пандемією COVID-19. Проактивний
підхід до забезпечення регіональної згуртованості, на нашу думку, криється в необхідності інтегрування
підходів до політики згуртованості (зокрема: place-based підхід, що орієнтований на місце; багаторівневий
підхід; та орієнтований на партнерство partnership led підхід) та цілей згуртованості в інші політики та
інструменти. ру
Крім того, навіть в контексті часу опублікування Зеленої Книги в 2009р. Висновки Територіальна згуртованість, на відмінну від соціальної та економічної компонентів політики
згуртованості, довгий час залишалась предметом дискусії через невизначеність концепції поняття
територіальної згуртованості, теоретичної основи, методичних та методологічних інструментаріїв її
виміру та механізмів її забезпечення. Концептуальні підходи до європейської територіальної згуртованості змінювалися в залежності від
контексту подій в Європі, зокрема: прийому нових країн-учасниць; впливу фінансових кризових явищ;
впливу пандемії COVID-19; висновків, зроблених внаслідок аналізу фактичних результатів політики
згуртованості за попередні періоди, які фактично надавали можливість оцінити позитивні та негативні
впливи тих чи інших заходів. В різні проміжки часу політики територіальної згуртованості набувала різних
форм та навіть змістів. Так, якщо в період кінця ХХ ст.-початку ХХІ ст. політика згуртованості
відображала бажання протидіяти панівним тенденція ринкових сил та практиці надання переваги найбільш
конкурентоспроможним і населеним регіонів зміщуючи акцент надання фінансової допомоги для менш
розвинених регіонів (що фактично означало зворотну дискримінацію). Відтак, якщо на початкових етапах концептуальні підходи до забезпечення територіальної
згуртованості формувалися скоріше «методом проб та помилок», ніж на основі ґрунтовних доказових
теоретичних основ, формуючись під впливом ургентних викликів, як реакції на виявлення диспропорцій
розвитку окремих регіонів, то із формуванням методичних та методологічних інструментаріїв до оцінки
результатів політики згуртованості ЄС в цілому, а також накопиченням емпіричних даних та окремих
фактів, що виникли в ході реалізації політики згуртованості у конкретних регіонах ЄС, із плином часу, за
останні два десятиліття на основі показників, проаналізованих в ході реалізації політики територіальної
згуртованості та накопичення наукових напрацювань, було підтягнуто концептуальне підґрунтя до
формування змісту територіального виміру згуртованості. Аналіз концептуальних підходів до поняття територіальної згуртованості вказує на існування двох
підходів до розуміння поняття даної категорії. Згідно першого підходу, диференційним елементом
територіальної згуртованості є її сприйняття або як процесу, або навіть як інструменту досягнення цілей,
а другий підхід зміщує акцент на проблему нівелювання соціально-економічних відмінностей регіону, на
підтримку ендогенних факторів розвитку, виділяючи просторовий аспект певної території як
характеристики, що необхідно враховувати для досягнення згуртованості як такої. Результати дослідження, що наведені у статті, слугуватимуть базою для подальшої розробки
концептуальних та теоретичних основ розвитку територіальної згуртованості в Україні, а також розробки
практичних рекомендацій щодо впровадження й адаптації інструментарію політики територіальної
згуртованості ЄС в умовах України. Виклад основного матеріалу дослідження Крім того,
в умовах кризових явищ (зокрема таких як глобальна фінансова та економічна криза; «міграційна» криза,
пов’язана з хвилями припливу на терени ЄС мігрантів та біженців із країн з несприятливими умовами для
життя та низьким рівнем добробуту; економічний спад спричинений пандемією Covid-19 та ін..),
ефективність політики забезпечення регіональної згуртованості в різних регіонах ЄС також не є
однорідною. Відтак, регіони, застосовуючи концепцію регіональної згуртованості на рівні всього
Європейського Союзу мають інтерпретувати її зміст по-своєму стикаючись із різними емпіричними
проблемами, забезпечуючи її реалізацію відповідно до національних та галузевих програм та планів. у
у
Узагальнюючи вищезазначене можна стверджувати, що існують два підходи до розуміння поняття
територіальної згуртованості. Згідно першого підходу, диференційним елементом територіальної
згуртованості є її сприйняття або як процесу, або навіть як інструменту досягнення цілей, або як
«…теоретична структура, до якої ми повинні прагнути» (Markowski 2009) [27]. Згідно другого підходу до
розуміння змісту категорії територіальної згуртованості, акцент зміщується на проблему нівелювання
соціально-економічних відмінностей регіону, підтримці ендогенних факторів розвитку, виділяючи
просторовий аспект певної території як характеристики, що необхідно враховувати для досягнення
згуртованості як такої (одночасно в соціальному, економічному та територіальному аспектах). На наш погляд, в процесі формування концепції поняття «територіальна згуртованість» найбільш
широкого наближення до формування дефініції територіальної згуртованості набуває через застосування
багатоаспектного інтегрованого підходу, тобто поняття територіальної згуртованості можна розглядати з
позиції досягнення кінцевої мети - збалансованого сталого розвитку та розумного інклюзивного зростання 44 ISSN:2521-6384 (Online), ISSN: 2521-103X (Print) Economic journal Odessa polytechnic university №2(20), 2022 для всіх регіонів із наданням можливості доступу населення до інфраструктурних послуг, зменшенням
економічних та соціальних диспропорцій, підвищенням конкурентоспроможності території через
ефективне використання матеріальних і нематеріальних ендогенних потенціалів територій, забезпеченням
інвестицій в людський капітал території; на основі принципів поліцентричності розвитку, кооперації
регіонів, координації та взаємоузгодження політик і інструментів (на національному, регіональному та
місцевому рівнях) у відповідності до політики згуртованості. для всіх регіонів із наданням можливості доступу населення до інфраструктурних послуг, зменшенням
економічних та соціальних диспропорцій, підвищенням конкурентоспроможності території через
ефективне використання матеріальних і нематеріальних ендогенних потенціалів територій, забезпеченням
інвестицій в людський капітал території; на основі принципів поліцентричності розвитку, кооперації
регіонів, координації та взаємоузгодження політик і інструментів (на національному, регіональному та
місцевому рівнях) у відповідності до політики згуртованості. Abstract Understanding an essence and approaches to ensuring cohesion is an open and relevant issue for Ukraine, given
that achieving cohesion is one of the strategic goals of the State Strategy for Regional Development for the period
2021-2027. Both the conceptual and theoretical basis of the territorial cohesion policy in the domestic scientific
space still needs to be formed and generalized. Due to absence of the territorial cohesion policy practice in Ukraine
at present, there is no empirical data to substantiate a choice for policy tools, as well as to assess its effectiveness. Thus, research in this area is mainly focused on the analysis of European experience in general and the practical
results of territorial cohesion policy in individual countries in particular. In the modern sense, cohesion policy, as
a direction of regional policy has three main components: social, economic and territorial (spatial), however, while
measuring the economic and social components of cohesion was and is generally available by means of simple
quantitative indicators, methodological tools to assess territorial cohesion in EU countries have been developed
over the last decade. Such a toolkit still needs to be formed for Ukraine. aspects of EU cohesion policy, which are
mostly disclosed in numerous European Commission documents and research results of European scholars, there
is a need to form a clear understanding of the concept of territorial cohesion, because understanding the capacity
of the concept and its content will certainly contribute to more effective and sounder scientific and practical results
of cohesion policy. It was found that the position of cohesion policy in the EU after 2008 was mostly reactive, formed in the face
of the negative effects of the global financial and economic crisis, migration crisis (caused by the Russian military
aggression in Syria) and the COVID-19 pandemic crisis. In our opinion, a proactive approach to regional cohesion,
which lies in the need to integrate cohesion policy approaches (including a place-based approach, a multilevel 45 Генезис та концептуальні основи політики територіальної згуртованості регіонів в україні
(проблеми визначення поняття та суті) Лайко О.І., Циналєвська І.А. approach and a partnership led approach) and cohesion objectives into other policies and instruments was clearly
identified in the last Eighth Report on Economic, Social and Territorial Cohesion. In course of the analysis, it was found that there are two approaches to understanding the concept of territorial
cohesion. Abstract According to the first approach, the differential element of territorial cohesion is its perception either as
a process or even as a tool for achieving goals, i.e., from the standpoint of the ideal target state, as the ultimate
goal. In accordance to the second approach, an emphasis is shifted to a problem of leveling socio-economic
differences in the region, supporting endogenous development factors, highlighting a spatial aspect of a certain
area as a characteristic that must be considered to achieve cohesion ultimately. In our opinion, in the process of forming the concept of "territorial cohesion" acquires the broadest
approximation to the formation of the definition of territorial cohesion through the application of a multifaceted
integrated approach, that is, that the of the territorial cohesion concept can be considered from the standpoint of
achieving the ultimate goal which means – balanced sustainable development and reasonable inclusive growth for
all regions with the possibility of public access to infrastructure services, reducing economic and social disparities,
increasing the competitiveness of the territory through the effective use of tangible and intangible endogenous
potentials of the territories, ensuring investment in human capital of the territory; based on the principles of
polycentric development, regional cooperation, coordination and adjustment of policies and instruments (at
national, regional and local levels) in accordance with the policy of cohesion. Список літератури: 1. AER responds to EC’s Green Paper on Territorial Cohesion (25 February, 2009). [Електронний ресурс]
– Режим доступу: https://aer.eu/aer-responds-to-ecs-green-paper-on-territorial-cohesion/. AER responds to EC’s Green Paper on Territorial Cohesion (25 February, 2009). [Електронний ресурс]
Ре
ос
: https://aer e /aer responds to ecs green paper on territorial cohesion/ 1. AER responds to EC’s Green Paper on Territorial Cohesion (25 February, 2009). [Електронний ресурс]
– Режим доступу: https://aer.eu/aer-responds-to-ecs-green-paper-on-territorial-cohesion/. 2. The Territorial Cohesion Principles: Position Paper to the EU Green Paper on Territorial Cohesion /
Akademie für Raumforschung und Landesplanung (Ed.) // Position Paper from the ARL. – 2008. – No. 78, Verlag der ARL – Akademie für Raumforschung und Landesplanung, Hannover, [Електронний
ресурс]
–
Режим
доступу:
https://nbn-resolving.de/urn:nbn:de:0156-00786
https://www.econstor.eu/bitstream/10419/102791/1/pospaper78.pdf. 2. The Territorial Cohesion Principles: Position Paper to the EU Green Paper on Territorial Cohesion /
Akademie für Raumforschung und Landesplanung (Ed.) // Position Paper from the ARL. – 2008. – No. 78, Verlag der ARL – Akademie für Raumforschung und Landesplanung, Hannover, [Електронний
ресурс]
–
Режим
доступу:
https://nbn-resolving.de/urn:nbn:de:0156-00786
https://www.econstor.eu/bitstream/10419/102791/1/pospaper78.pdf. 3. Böhme K. Territorial Cohesion Storylines: Understanding a Policy Concept / K. Böhme, E. Gløers
Heisdorf: Spatial Foresight. – 2011. 4. Camagni, R. Regional Competitiveness: towards a concept of territorial capital. / R. Cappello, R. Camagni, B. Chizzolini, U. Fratesi (Eds.) // Modeling Scenarios for the Enlarged Europe, Springer,
Berlin. 4. Camagni, R. Regional Competitiveness: towards a concept of territorial capital. / R. Cappello, R. Camagni, B. Chizzolini, U. Fratesi (Eds.) // Modeling Scenarios for the Enlarged Europe, Springer,
Berlin. 5. Unity, Solidarity, Diversity for Europe, Its People and Its Territory: Second Report on Economic and
Social Cohesion / CEC (Comission of European Communities) // Luxembourg Office for Official
Publications of the European Communities. – 2001. 5. Unity, Solidarity, Diversity for Europe, Its People and Its Territory: Second Report on Economic and
Social Cohesion / CEC (Comission of European Communities) // Luxembourg Office for Official
Publications of the European Communities. – 2001. p
6. Third Report on Economic and Social Cohesion. A New Partnership for Cohesion: Convergence,
Competitiveness, Cooperation / CEC // European Commission, Brussels. – 2004. . Fourth Report on Economic and Social Cohesion: Growing Regions, Growing Europe / CEC // Europea
Commission, Brussels. – 2007. 8. Green Paper on territorial cohesion––turning territorial diversity into strength. Communication from the
Commission to the Council, the European Parliament, the Commiteee of the Regions and the European
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DOI: 10.15276/EJ.02.2022.5. DOI: 10.5281/zenodo.7217533. Reference a Journal Article: Laiko O.I. Genesis and Conceptual Foundations of the Territorial Cohesion Policy of Regions in Ukraine (Problems
of Definition of the Concept and Essence) / O. I. Laiko, I. A. Tsynalievska // Economic journal Odessa polytechnic
university. – 2022. – № 2 (20). – P. 37-50. – Retrieved from https://economics.net.ua/ejopu/2022/No2/37.pdf. DOI: 10.15276/EJ.02.2022.5. DOI: 10.5281/zenodo.7217533. 50
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Restricted snakes volume of solid (RSVS): A parameterisation method for topology optimisation of external aerodynamics
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Computers & fluids
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Payot, A. D. J., Rendall, T. C. S., & Allen, C. B. (2019). Restricted
Snakes Volume of Solid (RSVS): A Parameterisation Method for
Topology Optimisation of External Aerodynamics. Computers and
Fluids, 182, 60-84. https://doi.org/10.1016/j.compfluid.2019.02.008 Publisher's PDF, also known as Version of record
License (if available):
CC BY
Link to published version (if available):
10.1016/j.compfluid.2019.02.008 Link to publication record on the Bristol Research Portal
PDF-document This is the final published version of the article (version of record). It first appeared online via Elsevier at
https://www.sciencedirect.com/science/article/pii/S0045793018304730 . Please refer to any applicable terms of
use of the publisher. Payot, A. D. J., Rendall, T. C. S., & Allen, C. B. (2019). Restricted
Snakes Volume of Solid (RSVS): A Parameterisation Method for
Topology Optimisation of External Aerodynamics. Computers and
Fluids, 182, 60-84. https://doi.org/10.1016/j.compfluid.2019.02.008 Payot, A. D. J., Rendall, T. C. S., & Allen, C. B. (2019). Restricted
Snakes Volume of Solid (RSVS): A Parameterisation Method for
Topology Optimisation of External Aerodynamics. Computers and
Fluids, 182, 60-84. https://doi.org/10.1016/j.compfluid.2019.02.008 a r t i c l e
i n f o Article history:
Received 12 August 2018
Revised 4 January 2019
Accepted 8 February 2019
Available online 10 February 2019
Keywords:
Optimization
Computational fluid dynamics
Topology optimization
Volume of solid
Hierarchical design variables Article history:
Received 12 August 2018
Revised 4 January 2019
Accepted 8 February 2019
Available online 10 February 2019 An approach for aerodynamic shape optimisation is derived which is capable of handling topological de-
sign changes as well as detailed surface control. The technique applies a material distribution, or volume
of solid approach where design variables specify a volume fraction of solid on a fixed mesh. To convert
this data to a solid surface, a contour is constructed around the volumes by moving points on the sur-
face until the final shape satisfies those specified volumes. The objective of this construction procedure
is to minimise the surface length, subject to the preset volume constraints. As a result, the method re-
produces circular arcs exactly. Shape function analysis is then used to explore the theoretical behaviour
of the parameterisation, and to prevent oscillatory surfaces from forming, thereby ensuring good opti-
miser convergence. The method is extended to allow for anisotropic refinement of the parameter mesh. Final test cases include geometric fitting of arbitrary shapes, as well as drag minimisation of topologies
in supersonic flow, and show the parameterisation is able to explore single and multi-body aerodynamic
design problems. Keywords:
Optimization
Computational fluid dynamics
Topology optimization
Volume of solid
Hierarchical design variables © 2019 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) mulations used by optimisers into the geometric designs used by
CFD is a complex problem with implications for the efficiency and
effectiveness of optimisation frameworks. Parameterisation meth-
ods for aerodynamics need to be compact while not artificially lim-
iting the geometric shapes that can be represented [1,2] . This fo-
cus led to aerodynamic optimisation methods capable of efficiently
handling small surface changes, using 10s to 100s of design vari-
ables in 2 dimensions and 100s to 10 0 0s in 3 dimensions. While
the compactness of aerodynamic parameterisations improves the
convergence of optimisers, it has come at the cost of a more lim-
ited capability for creating topological changes. a r t i c l e
i n f o mulations used by optimisers into the geometric designs used by
CFD is a complex problem with implications for the efficiency and
effectiveness of optimisation frameworks. Parameterisation meth-
ods for aerodynamics need to be compact while not artificially lim-
iting the geometric shapes that can be represented [1,2] . This fo-
cus led to aerodynamic optimisation methods capable of efficiently
handling small surface changes, using 10s to 100s of design vari-
ables in 2 dimensions and 100s to 10 0 0s in 3 dimensions. While
the compactness of aerodynamic parameterisations improves the
convergence of optimisers, it has come at the cost of a more lim-
ited capability for creating topological changes. Contents lists available at ScienceDirect Contents lists available at ScienceDirect Restricted snakes volume of solid (RSVS): A parameterisation method
for topology optimisation of external aerodynamics A.D.J. Payot ∗, T.C.S. Rendall, C.B. Allen
Department of Aerospace Engineering, University of Bristol, Bristol, BS8 1TR, UK A.D.J. Payot ∗, T.C.S. Rendall, C.B. Allen
Department of Aerospace Engineering, University of Bristol, Bristol, BS8 1TR, UK A.D.J. Payot ∗, T.C.S. Rendall, C.B. Allen Department of Aerospace Engineering, University of Bristol, Bristol, BS8 1TR, UK Department of Aerospace Engineering, University of Bristol, Bristol, BS8 1TR, UK https://doi.org/10.1016/j.compfluid.2019.02.008
0045-7930/© 2019 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) ∗Corresponding author.
E-mail addresses: a.payot@bristol.ac.uk , ap1949@my.bristol.ac.uk (A.D.J. Payot),
thomas.rendall@bristol.ac.uk (T.C.S. Rendall), c.b.allen@bristol.ac.uk (C.B. Allen). University of Bristol – Bristol Research Portal
General rights This document is made available in accordance with publisher policies. Please cite only the
published version using the reference above. Full terms of use are available:
http://www.bristol.ac.uk/red/research-policy/pure/user-guides/brp-terms/ Computers and Fluids 182 (2019) 60–84 ∗Corresponding author.
E-mail addresses: a.payot@bristol.ac.uk , ap1949@my.bristol.ac.uk (A.D.J. Payot),
thomas.rendall@bristol.ac.uk (T.C.S. Rendall), c.b.allen@bristol.ac.uk (C.B. Allen).
in STO has culminated in the numerical optimisation of an
Boeing 777 wing under aerodynamic loads with 1.1 billion
of freedom by Aage et al. [7] . The algorithm used in that w
https://doi.org/10.1016/j.compfluid.2019.02.008
0045-7930/© 2019 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) pfluid.2019.02.008
ors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) ∗Corresponding author.
E-mail addresses: a.payot@bristol.ac.uk , ap1949@my.bristol.ac.uk (A.D.J. Payot),
thomas.rendall@bristol.ac.uk (T.C.S. Rendall), c.b.allen@bristol.ac.uk (C.B. Allen).
in STO ha
Boeing 777
of freedom
https://doi.org/10.1016/j.compfluid.2019.02.008
0045-7930/© 2019 The Authors. Published by Elsevier Ltd. This is an open access article under the CC https://doi.org/10.1016/j.compfluid.2019.02.008
0045-7930/© 2019 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativec https://doi.org/10.1016/j.compfluid.2019.02.008
0045-7930/© 2019 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) 1.1. Existing aerodynamic and structural optimisation methods Earlier developments in the field of parameterisation for aero-
dynamics have yielded a wealth of different methods for the rep-
resentation of aerodynamic designs. Parameterisation methods can
be separated broadly in two categories: constructive and defor-
mative methods. Constructive methods define completely the ge-
ometry from the set of design variables; these include B-Spline
and polynomial interpolation [8] in general, and CST [9] and PAR-
SEC [10] in particular. Deformative methods by comparison define
a set of modifications to a baseline geometry; notable among these
are the Hicks–Henne bump functions [11] , Singular Value Decom-
position (SVD) deformation modes [12,13] and Free-Form Defor-
mation (FFD) methods [14,15] . While most parameterisations pre-
sented here can be extended to three dimensions, their capability
varies widely. In three dimensions a common approach is to use
FFD deformation methods as these can be adapted to work directly
on an existing mesh. Both homogenization methods [23,24] and level set meth-
ods [25] have been adapted to fluid topology optimisation in
two and three dimensions. Modelling the Stokes equations and
incompressible flows at low Reynolds numbers, solved by finite
element elasticity solvers, these methods have yielded good re-
sults on the optimization of micro-fluidic devices and channel
flows [24,26] . Lattice–Boltzmann methods have been used to tackle
some very low Reynolds number problems [27,28] . Most of these
methods rely on derivatives with regard to the porosity of the ma-
terial to drive the evolution of the topology. Recent advances have
seen broader ranges of turbulent incompressible flows being tack-
led [29,30] . These methods do not maintain a smooth and crisp
fluid boundary, limiting their use for compressible aerodynam-
ics which use solutions to the Euler and compressible Reynolds
averaged Navier–Stokes (RANS) equations at high Reynolds num-
bers. One notable exception is the cutFEM method by Villanueva
et al. [31] , where a LSM is used to parameterise shape and topol-
ogy at very low Reynolds number. Previous systematic investigations by Vassberg et al. [1,16] have
highlighted the impact of dimensionality on the drag minimisation
of a standard test case, showing the importance of geometric flex-
ibility while maintaining a compact set of design variables. Work
by Castonguay and Nadarajah [17] , and more recently by Masters
et al. [18,19] has compared the impact of established parameter-
isation methods on geometric flexibility, pressure distribution re-
covery and optimal drag results. 1. Introduction Increases in computational power and improvements in com-
putational fluid dynamics (CFD) tools have created the possibility
of using CFD-based optimisation in industrial design. By allowing
a systematic and unbiased exploration of a design space, optimi-
sation methods can be used to expand a designer’s understanding
of the problem being tackled, allowing better overall aerodynamic
performance. As designers look to improve performance, aircraft
manufacturers are turning increasingly to numerical optimisation. Frameworks for aerodynamic optimisation require the integration
of parameterisation methods, mesh generators and flow solvers
with optimisation methods. The tendency in this has been to use
a modular approach by integrating established modelling and CFD
packages with existing optimisers. In structural design the benefits of exploring different topolo-
gies are key to generating efficient structures. The field of numeri-
cal structural topology optimisation (STO) has been an active field
of research for the last 30 years and it has recently seen industrial
application on the Boeing CH-47 Chinook and the Airbus A380;
it allowed a weight reduction of 17% of underfloor beams com-
pared to a conventional structural optimisation method [3] on the
CH-47 and weight reduction of the leading edge droop ribs on the
A380. This effort in the finite elements (FE) community has led
to parameterisation methods able to represent complex topologies
with a homogeneous set of design variables [4–6] . Recent progress
in STO has culminated in the numerical optimisation of an entire
Boeing 777 wing under aerodynamic loads with 1.1 billion degrees
of freedom by Aage et al. [7] . The algorithm used in that work was The complexity of parameterisation arises from the different
origins of optimisation methods and CFD processes. Optimisation
methods are mathematical algorithms devised to find the extrema
of functions, and have rigorous mathematical underpinnings, while
CFD originated from the need to evaluate the aerodynamic proper-
ties of potential designs. The translation of the mathematical for- A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 61 not artificially restrict the scope of geometries that can be repre-
sented [1] . capable of building features 40 mm long in the 27 m half-span,
resulting in very detailed internal structures resembling bone and
beak structures in nature. Most aerodynamic parameterisation methods to date have fo-
cused on producing smooth designs with small numbers of de-
sign variables (in the 10s to low 10 0 0s). 1. Introduction One key restriction that
affects nearly all established parameterisation methods is the in-
ability to transition between topologies, so split or multi-body
configurations cannot be explored. This work presents an aerody-
namic parameterisation that does provide this level of topological
flexibility. The justification for topological optimisation is straightforward
in structural applications, from truss space-frames to honeycomb
designs, there are a wide range of possible engineering structures;
furthermore a structural member’s impact is readily summarised
to a set of interactions at its boundary. The possibility to reduce
designs to a set of external interactions and the Lagrangian formu-
lation of CSD solvers facilitates the implementation of structural
topological optimisation within existing designs. In structural topology optimisation homogenisation and level
set methods have been used to tackle complex problems in two
and three dimensions; however these structural methods have lim-
itations in terms of their application to aerodynamics. The first
methods developed for STO were homogenization methods ; these
rely on the segmentation of the design domain into squares in
which the density of a material can be varied to change a design’s
weight and local load carrying ability. By affecting directly the den-
sity of the material in the discretization of the structural solver
homogenization methods do away completely with the need for
an explicit representation of a profile. These works led to the de-
velopment of the solid isotropic material with penalisation (SIMP)
method [20] , the most widely used STO procedure. Homogeniza-
tion methods do not maintain a representation of the outer bound-
ary of the shape and instead rely on direct interaction with the
structural solver. There is no such separation in aerodynamics; the aerodynamic
shape is intrinsically linked to the rest of the design by its need to
be supported by an underlying structure. This means that aerody-
namic topological optimisation of an entire aircraft or wing is un-
likely to be a reality in the near or medium term. However, there
is scope for the aerodynamic topological optimisation of local fea-
tures; topological optimisation of wing tips would allow feathered
or split winglets of the type seen on the MD-11 and Boeing 737-
MAX to be explored. No current optimisation framework for exter-
nal aerodynamics supports the exploration of topological changes,
because none of the parameterisation methods commonly in use
can represent different topologies with a homogeneous set of de-
sign variables. 1. Introduction An effective topological aerodynamic optimisation framework
offers the possibility of radically new designs. Applications to For-
mula 1, unmanned aerial vehicles, commercial strut-braced wing
design and internal engine design could offer significant improve-
ments in performance. This paper presents the development of
a parameterisation method which can handle topology changes
while maintaining a compact design space, allowing the explo-
ration of new aerodynamic optimisation problems. The main alternative to homogenization are level-set meth-
ods (LSM) introduced by Wang et al. [21] . In these methods the
structural profile is represented by the level set of a paramet-
ric function. These methods were shown to be very competitive
and solve some of the shortcomings of homogenization meth-
ods [21] . Level sets methods include a wide range of approaches
for the definition of the level set function; each of these choices af-
fects the behaviour of optimisation processes [22] . However these
methods have in common the implicit definition of the profile
and can rely on three mechanisms for change: boundary profile
variations; functional parameter variations; and topological vari-
ations. To be effective these methods rely on very close inte-
gration with the optimisation method, usually through adjoints. Originally this was done by using the Hamilton–Jacobi up-
dates to propagate the boundary of the profile as a mov-
ing front [22] . More recently, mathematical programming ap-
proaches such as sequential quadratic programming (SQP) and
the method of moving asymptotes (MMA) have become popu-
lar as well as global, gradient free approaches [22] . For a com-
plete overview of the field of structural topology optimisation
the reader is referred to the comprehensive review by Deaton
and Grandhi [4] . 1.1. Existing aerodynamic and structural optimisation methods These studies show that effec-
tive parameterisation methods require few design variables while
still maintaining smooth control of the profile. Smooth control is
achieved when a small change in the numerical representation
leads to a similarly small change in the represented geometry. This
requirement results from the expense associated with converging
optimisers in large design spaces, balanced against the need to A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 62 Fig. 1. Proposed Aaerodynamic shape optimisation framework for the RSVS parameterisation. Fig. 1. Proposed Aaerodynamic shape optimisation framework for the RSVS parameterisation. Fig. 2. Design grid with corresponding 4 by 4 snaking grid and an r-snake recovering a profile specified using VOS design variables. Fig. 2. Design grid with corresponding 4 by 4 snaking grid and an r-snake recovering a profile specified using VOS design variables. Some progress towards a topologically flexible compressible
aerodynamic optimisation has been achieved by Hall et al. [32,33] . This method relies on material distribution, or volume of solid
(VOS), to generate the external geometry of an aerodynamic body. An example of this type of design space is shown in Fig. 2 (a). The
VOS approach is inspired from volume of fluid methods used in
multi-fluid simulations. It is, in optimisation terms, conceptually
similar to density approaches: it defines explicitly regions of space
which are full or empty based on a predefined grid. In each cell of
this grid the fraction of that cell which must be inside the profile
is specified by a value between 0 and 1, this allows the parameter-
isation to be understood intuitively by a designer. The VOS method
by Hall et al. [32] uses this information to generate a smooth level
set function from which a contour that approximately matches the
VOS is extracted. While effective on cases where topological flexi-
bility was required, it required more design variables compared to
other aerodynamic parameterisation methods for similar geometric
accuracy. rent modular aerodynamic frameworks, it must have: a sufficiently
compact and smooth design space; be compatible with Eulerian fi-
nite volume CFD approaches; support adjoint gradients and be ex-
tensible to three dimensional problems. The framework developed
in this paper is summarised in Fig. 1 . 1.1. Existing aerodynamic and structural optimisation methods To ensure compatibility with
the optimisation methods already shown to be effective in aero-
dynamic optimisation the set of design variables needs to be ho-
mogeneous; that is to say all design variables must be of the same
type. This precludes the use of traditional aerofoil parameterisation
methods with additional variables explicitly controlling the topol-
ogy of the geometry. The RSVS builds upon the volumetric aerodynamic parameteri-
sation by Hall et al. [32,33] which was an early topologically flex-
ible parameterisation for external aerodynamics. Like the parame-
terisation of Hall et al., the RSVS uses volume of solid (VOS) design
variables to control profile shape and topology, these were kept as
they provide intuitive handling of topology change. However an ef-
fective contour generation method has been developed to improve
the geometric behaviour of the parameterisation. The main chal-
lenge in this type of parameterisation is the translation of the de-
sign variables into profiles suitable for CFD analysis. This paper de-
tails how the RSVS allows to go from a VOS design space ( Fig. 2 (a))
to a specific two body profile built for a set of VOS design variable
values ( Fig. 2 (c)). 1.2. Development of the aerodynamic topology optimisation
framework Image segmentation, and medical image
segmentation in particular, pose many of the same challenges as
the volumetric parameterisation method considered earlier. The
recovery of complex closed contours of arbitrary topology with
limited computational expense is one that has been explored by
the medical imaging community for the last 20 years. A class
of methods for building such profiles that has seen significant
and promising use is that of active contour methods [34,35] . These methods rely on explicit vertex marching until the contour
meets internal and external forcing conditions. Restricted snakes
(r-snakes) developed by Kobbelt and Bischoff [36] are a type of
parametric active contour designed to handle topology changes
efficiently. Section 2 shows how r-snakes are used in the RSVS
to generate profiles of suitable aerodynamic quality that respect
the values of VOS design variables. The shape of the r-snake is
driven by a set of equations that were found to have desirable
smoothness properties, these are presented in Section 3 . This
process was used to generate the profile in Fig. 2 (c). This ap-
proach to contour generation and representation has the benefit
of being fully explicit, bringing it in line with current established
parameterisation methods. optimisation framework. Efficiency and flexibility of shape optimi-
sation frameworks is limited by the geometric capability of the
parameterisation method. This section presents how the r-snake
volume of solid (RSVS) parameterisation translates sets of volume
fraction design variables specified on a fixed grid into closed con-
tours of varying topology. For optimisation frameworks to exploit
the RSVS efficiently, this process must reliably produce smooth fea-
tures at a resolution below the grid on which VOS values are de-
fined. To achieve this level of smooth control, the RSVS profile is
defined as the closed contour of minimum arc-length that will
match the volumes of the design variables; it is built using a re-
stricted snake (r-snake). The r-snake (e.g. in Fig. 5 ) is a method
for “vertex marching” which allows efficient topology handling and
is tolerant of any layout of VOS design variables. The r-snake is a
type of parametric active contour originally developed by Kobbelt
and Bischoff [36] . This section develops the integration of the r-
snake with the RSVS condition of minimising the arc-length under
volume constraints. This condition was found to reliably produce
smooth profiles enabling a compact parameterisation. 1.2. Development of the aerodynamic topology optimisation
framework Later sec-
tions explore the analytical properties of RSVS equations to show
that the stated smoothness and compactness targets have been
achieved. The RSVS process is summarised in Fig. 3 . In addition to the r-snake volume of solid parameterisation, sig-
nificant work has been carried out to understand and improve the
performance of the VOS design variables used by the RSVS. Design
variable smoothing processes and refinement are developed in this
work to improve the behaviour of optimisation frameworks rely-
ing on the new parameterisation method. Multi-level approaches
to parameterisation by Anderson and Aftosmis [37] and Masters
et al. [38] have shown their ability to accelerate and improve the
performance of underlying optimisation frameworks. A similar hi-
erarchical method is developed for the RSVS parameterisation in
Section 5 . This multi-level approach allows significant performance
improvements on the basic RSVS implementation in geometric and
aerodynamic optimisations while removing some of the expert
knowledge required when setting up new optimisation cases. 2.1. Formulation of the RSVS One of the difficulties in designing a parameterisation with
topological flexibility is to maintain smooth control close to topol-
ogy changes, as these are geometrically discontinuous regions of
the design space. To define a set of VOS variables a grid is super-
imposed on the design space, where the design variables become
the fraction of each cell within a geometry built from this infor-
mation. This process is shown for a simple grid in Fig. 4 . This pa-
rameterisation procedure provides intuitive handling of topology
change without maintaining explicit control of it. It is important
that topology is not controlled explicitly as this would lead to a
severely discontinuous design space which would not be usable
with many of the traditional local and global optimisers used for
aerodynamic optimisation. To validate these developments geometric and aerodynamic de-
sign cases were explored using the RSVS parameterisation method
with refinement. Integration of the parameterisation with optimi-
sation methods is presented in Section 6 . These cases aimed to
exploit both the topological flexibility of the parameterisation as
well as its compact and smooth formulation. In Section 7 , the ge-
ometric inverse design of single and multi-body airfoils is tackled;
in Sections 8 and 9 results for the drag minimisations of area-
constrained single and multi-body profiles in supersonic flow are
shown. The VOS design variables do not include in themselves rules
for building a profile. These rule must generate profiles which are
continuous and smooth, allow features smaller than the VOS de-
sign variables, and be indifferent to the type of grid they are being
applied to. This last requirement opens up the possibility of us-
ing non-square grids for improved flexibility and compactness of
the method. The rule must also be extensible to the generation of
water-tight surfaces in three dimensions with minimal modifica-
tion. 1.2. Development of the aerodynamic topology optimisation
framework These observations show that the development of a topological
aerodynamic optimisation framework has the potential to deliver
further improvements in both conventional and future aircraft con-
figurations. This paper presents development of the r-snake vol-
ume of solid (RSVS) method, an aerodynamic parameterisation that
supports topological change while still performing efficiently on
typical problems. To be useful, the RSVS needs to fit into cur- In volume-based parameterisation the segmentation of vol-
umetric information is done through a Cartesian grid, this
means the design variables are best understood by a designer as
grey-scale images on an underlying mesh ( Fig. 2 (a)). This obser-
vation highlights the similarity between the parameterisation of A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 63 Fig. 3. Flow chart summarising generation of a profile using the RSVS parameterisation method. Fig. 3. Flow chart summarising generation of a profile using the RSVS parameterisation method. geometries from volume information and the field of contour ex-
traction in image analysis. Image segmentation, and medical image
segmentation in particular, pose many of the same challenges as
the volumetric parameterisation method considered earlier. The
recovery of complex closed contours of arbitrary topology with
limited computational expense is one that has been explored by
the medical imaging community for the last 20 years. A class
of methods for building such profiles that has seen significant
and promising use is that of active contour methods [34,35] . These methods rely on explicit vertex marching until the contour
meets internal and external forcing conditions. Restricted snakes
(r-snakes) developed by Kobbelt and Bischoff [36] are a type of
parametric active contour designed to handle topology changes
efficiently. Section 2 shows how r-snakes are used in the RSVS
to generate profiles of suitable aerodynamic quality that respect
the values of VOS design variables. The shape of the r-snake is
driven by a set of equations that were found to have desirable
smoothness properties, these are presented in Section 3 . This
process was used to generate the profile in Fig. 2 (c). This ap-
proach to contour generation and representation has the benefit
of being fully explicit, bringing it in line with current established
parameterisation methods. geometries from volume information and the field of contour ex-
traction in image analysis. 2. Geometry and topology generation using restricted snakes The condition used to define the RSVS is minimisation of the
profile length, with the constraint that the area enclosed by the
contour within each design cell must exactly match the value for The role of the parameterisation method is to provide an inter-
face between an optimisation method and a solver to form a shape A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 64 Fig. 4. Example RSVS profile and design grid with label definitions for the governing equation ( Eq. (1) ). Fig. 4. Example RSVS profile and design grid with label definitions for the governing equation ( Eq. (1) ). Fig. 5. R-snake contour (solid red line) with snaxels (blue arrows) evolving on the snaking grid (dashed line). (For interpretation of the references to colour in this figure
legend, the reader is referred to the web version of this article.) Fig. 5. R-snake contour (solid red line) with snaxels (blue arrows) evolving on the snaking grid (dashed line). (For interpretation of the references to colour in this figure
legend, the reader is referred to the web version of this article.) with snaxels (blue arrows) evolving on the snaking grid (dashed line). (For interpretation of the references to colour in this figure
version of this article.) of the VOS. The mathematical formulation of this problem is given
in Eq. (1) . This system is analogous to the effect of a tensile force
“shrink-wrapping” the required VOS in each cell; the benefit is it
allows for smooth profiles in most cases but can also recover sharp
corners where the VOS requires it. This formulation also has a nat-
ural extension in three dimensions as the surface area minimisa-
tion under volume constraints of a geometry. features below the resolution of the volume design variables can
be recovered. To drive the position of the r-snake the original continuous
length minimisation problem ( Eq. (1) ) is discretised in terms of
the r-snake and snaxel variables into the mathematical program
in Eq. (2) . This discretization process needs six properties from
the r-snake geometry and the snaxel positions. The first three of
these properties are part of the snaking algorithm; the last three
properties of the snaxels are derived from connectivity and grid in-
formation, and are needed for the implementation of the discrete
length minimization problem. 2. Geometry and topology generation using restricted snakes These properties are: the snaxel in-
dex ( i ), used to reference it in all operations; the normalised posi-
tion along an edge ( d i ∈ [0, 1]); the scalar velocity along that edge
( v i ∈ R ); the snaxel position in Cartesian coordinates ( p i ); the di-
rection of travel of the snaxel ( g i ) and the vertex of origin ( g i,1 );
the normal vectors to the preceding and following edges ( n i and
n i +1 ). These properties are represented graphically on Fig. 5 (a). min
1 + y ′ 2 dx
s . t .
y ∩ C j
dx = a j
∀ j ∈ { 0 , · · · , m }
(1) (1) s . t .
y ∩ C j
dx = a j
∀ j ∈ { 0 , · · · , m } In the expression above y is the closed profile built by the RSVS,
m is the number of VOS cells in the design space, a j the value of
the VOS and C j the outer boundary of the j{th} cell. These are rep-
resented graphically in Fig. 4 (b). The VOS is taken as a constraint
on the area enclosed in both the profile and each cell. The next
sections detail how this mathematical program can be solved us-
ing restricted snakes to produce an effective shape and topology
parameterisation method. min
d
n
i =1
| p i −p i −1 | with p i = g i d i + g i, 1
s . t . A (d ) −a = 0
(2) (2) s . t . A (d ) −a = 0 2.2. Marching of the r-snake In Eq. 2 d is the column vector of all snaxel distances d i , a is
the column vector of target volumes a j in each VOS cell and A ( d ) is
the current volume in each VOS cell contained by the r-snake. The
normalised snaxel positions ( d ) are used as the design variables of
the length minimisation problem. This formulation has the benefit
of being very general, it can be tackled on an arbitrary volume grid
with any underlying snaking grid with any optimisation method. This generality guarantees a high degree of flexibility in the range
of shapes that can be represented. The following sub-sections show
how this problem can be solved efficiently by using a Newton step To build the RSVS parameterisation method the r-snake must
be evolved until it solves the length minimisation problem speci-
fied in Eq. (1) . To allow a high degree of geometric flexibility with
few design variables, features need to be recovered below the res-
olution of the VOS grid. The restricted snake is a vertex marching
procedure where the control points (called snaxels) are constrained
to move on a predefined grid, as a consequence this snaking grid
controls the number of snaxels and the resolution of the contour. By marching the snake on a grid finer than the VOS grid, smooth A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 65 Fig. 6. Evolution of the r-snake driven by the SQP algorithm solving the RSVS governing equation, showing 4 profiles: (1) initial (solid red, outer); (2) before topological
change (dashed blue, intermediate); (3) after topological change (solid blue, intermediate); (4) final (solid green, inner). (For interpretation of the references to colour in this
figure legend, the reader is referred to the web version of this article.) Fig. 6. Evolution of the r-snake driven by the SQP algorithm solving the RSVS governing equation, showing 4 profiles: (1) initial (solid red, outer); (2) before topological
change (dashed blue, intermediate); (3) after topological change (solid blue, intermediate); (4) final (solid green, inner). (For interpretation of the references to colour in this
figure legend, the reader is referred to the web version of this article.) has an intuitive behaviour: it is similar to a force shrink wrapping
the VOS design variables. sequential quadratic programming (SQP) procedure. 2.3. Topology initialisation and evolution While the RSVS rules specified in the previous section define
desirable properties for the profile and a method to evolve an ex-
isting profile, they do not specify a starting geometry. External
aerodynamic optimisation is usually concerned with the design of
outer surfaces, for this reason the r-snake is initialised at the outer
boundary of non-empty VOS cells. An example of this type of ini-
tialisation is shown in Fig. 6 , by the outer red profile. This ap-
proach to initialisation has the benefit of always being defined and 2.4. Extension to 3-dimensions One of the benefits of the RSVS is that all the elements are
naturally extensible to three dimensions. In three dimensions, the
governing equation becomes the minimisation of surface area un-
der volume constraints of the generated geometry. Parametric ac-
tive contour with topological flexibility have also been used before
for the segmentation of 3-dimensional medical images [34] , and
the extension of the restricted snake to a surface is possible. Finally
an SQP can still be used to update snaxel positions thanks to the
differentiability of the problem in 2 and 3 dimensions. The chal-
lenge in 3 dimensions is that the SQP system solved using Eq. (3) is
considerably larger (thousands of snaxels) making the use of direct
single core solvers slow. Fortunately, the matrices of the system
are sparse allowing the efficient use of parallel solvers and itera-
tive methods. Calculation of the derivatives necessary to the evaluation of
Eq. (3) is done analytically. The derivation of these is beyond the
scope of the main body of this paper but is useful for the imple-
mentation of the RSVS. It is therefore presented in Appendix A . Validation of this process is presented in Section 4.1 . 2.2. Marching of the r-snake u k +1 =
[ ∇ d h ]
T [ H d f ]
−1 [ ∇ d f ] −1
h −[ ∇ d h ]
T [ H d f ]
−1 [ ∇ d f ]
k +1
d
= d k +1 −d k = −[ H d f ]
−1
[ ∇ d f ] + [ ∇ d h ] u k +1
(3) (3) The change in distances k +1
d
is used as the velocities ( v i ) of
the snaxels, letting the snaking process handle damping and con-
nectivity changes. The derivative terms required by this equation
are: the Jacobian of the constraints [ ∇ d h ]; the gradient of the ob-
jective [ ∇ d f ] and the Hessian of the objective [ H d f ]. Thanks to the
formulation of the snaking process all these values are available
analytically by differentiating the appropriate area and snaxel posi-
tion with respect to the design variable to the length minimisation
program, the distances d i . 2.2. Marching of the r-snake The availabil-
ity of analytical gradients for the profile length condition (the ob-
jective function) and the volume information (constraints) means
a gradient based method may be applied efficiently. The benefit of using the restricted snake is that the topology
can be modified if the volume fractions require it. This process is
again illustrated in Fig. 6 by the intermediate blue profiles. The
dashed contour shows the r-snake before topology cutting and the
solid blue line after the topology cut. To solve this surface length minimisation a method was re-
quired that would converge in few iterations and function eval-
uations. For this reason a sensible choice is to use a gradient
based method. The availability of analytical first and second deriva-
tives means that sequential quadratic programming (SQP) is a
viable option. A damped Newton step defined from a quadratic
approximation to the full mathematical program is used to spec-
ify the snaxel velocities. The full derivation of the Newton step
SQP is originally presented in Boggs and Tolle [39] . Only the fi-
nal velocity update formula used in the RSVS is presented below
( Eq. (3) ). The topology change is handled efficiently by the restricted
snake. The change in the geometry around the cut (shown in the
close-up in Fig. 6 ) is due to the r-snake algorithm removing in-
valid snaxel connections as specified by Bischoff and Kobbelt [40] . To maintain the integrity of the profile the r-snake algorithm lim-
its the possible connections of a snaxel with it’s neighbours. The
rules as developed by Kobbelt and Bischoff [36] are: no 2 con-
nected snaxels can be on the same edge; snaxels must travel out
of the profile. When two snaxels meet the profile connectivity
is altered to by-pass them in what results in a change of pro-
file topology. The connectivity rules are then applied removing the
invalid connections that were generated. This process is detailed
in [36] . 4.1. Validation tests y = c 1 ∓1
λ
1 −λ2 ( x −c 0 ) 2 (5) This section presents some of the validation tests carried out
on the parameterisation method. The focus is on the convergence
of the RSVS parameterisation: first in terms of the optimality of
the r-snake as a solution to the discrete length minimisation; and
secondly the geometric convergence of the optimum r-snake onto
the analytical solution to the governing equations. Constants c 0 and c 1 are integration constants, λ is the Lagrange
multiplier, these variables are to be chosen based on limit condi-
tions. The equation for y ( x ) is found to be the equation of a cir-
cle in Cartesian coordinates. To understand the effect of the vari-
ous integration coefficients it is useful to rearrange Eq. (5) into the
canonical form of the circular equation. The geometric and topological flexibility of this parameterisa-
tion is demonstrated through Fig. 7 for an aerofoil with flap. It
was found that the number of snaking steps scales slowly with
the number of volume cells (see Table 1 ). This is explained by the
properties of the Hessian of the profile length and the Jacobian
of the area constraints. Both have few off diagonal terms which
means that interaction between snaxels and with the constraints
is limited to those in close proximity. These properties mean that
the algorithm is scalable and can be used to represent complex
geometries with large numbers of snaxels and constraints. This is
important as it ensures that the algorithm is capable of converging
in few iterations for larger sets of design variables that could be
necessary for complex topological optimisation cases. ( x −c 0 ) 2 + ( y −c 1 ) 2 = 1
λ2
(6) (6) From Eq. (6) it becomes clear that c 0 and c 1 control the x and
y positions, respectively, of the centre of a circle of radius 1/ λ. Ex-
actly the same reasoning that was applied to a single volume con-
straint can be extended to a multi-constraint problem correspond-
ing to a full RSVS profile. The many constraint problem shows that
the RSVS profile is a piecewise continuous curve with each patch
an arc of circle. C 0 and C 1 continuity of this piecewise profile come
out of the assumption behind the Euler–Lagrange process ( Eq. 3. Behaviour of the restricted snake volume of solid (RSVS)
parameterisation Performance of aerodynamic optimisation frameworks is highly
dependent on the behaviour and flexibility of the parameterisation
method. To understand how the RSVS will perform in this con-
text it is useful to explore the properties of the curves generated A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 66 by this new method. The discrete constrained length minimisation
which governs the behaviour of RSVS profiles can be expressed
for an analytical continuous profile. This analytical formulation to
the problem can be explored using calculus of variations and this
section shows that piecewise continuous circular patches are the
solution to the analytical RSVS problem. This result is validated
in Section 4.1 by showing the geometric convergence of practical
profiles with increasing snaxel densities compared to an analyti-
cal solution. Also of interest in shape optimisation is the response
of profiles to small changes of the design variables; the analyti-
cal formulation of the length minimisation allows the calculation
of the shape response due to small changes in the volume con-
straints which are the design variables for shape optimisations that
use RSVS. This section shows that for well parameterised profiles
the response is a quadratic spline. with the geometric flexibility and generality of the parameterisa-
tion: wings and aerofoils while mostly smooth present disconti-
nuities at the trailing edges that must be represented. The deriva-
tive continuity of the RSVS allows the representation of sharp cor-
ners and smooth shapes. Continuity of higher order derivatives can
be achieved by the optimiser naturally producing smoothly dis-
tributed design variables. If this additional levels of smoothness
is required smoothness constraints can be applied on the design
variables to achieve much the same effect as a smoother parame-
terisation [41] . A similar process can be followed to analyse the response of the
RSVS to a small change in volume fraction. This is a useful prop-
erty as the performance of gradient-based aerodynamic optimisa-
tion frameworks depends on the geometric change caused by small
changes in design variables. While not presented here the deriva-
tion shows that, for a profile with low curvature in the parameter
cells, the response will tend to a C 1 continuous quadratic spline. 3. Behaviour of the restricted snake volume of solid (RSVS)
parameterisation Practical uses of RSVS result in profiles with low curvature in each
design cell which means that the response of the RSVS to a small
disturbance will be close to a quadratic spline, a well understood
class of functions. The formulation of the RSVS presented in Eq. (1) can be anal-
ysed using calculus of variations to arrive at analytical expressions
for the profiles generated. This analysis shows that the curves gen-
erated are continuous splines made of one arc of circle in each
design cell. These curves can themselves be represented as sec-
ond order non-uniform rational b-splines (NURBS). To make the
derivation of these curves more straightforward it is useful to con-
sider the simplified case of a curve minimising length between two
points of coordinates ( b 1 , 0) and ( b 2 , 0) with a single volume con-
straint of value a . This minimisation problem needs to be solved
for the expression of curve y ( x ). The optimum is the solution to
the Euler–Lagrange equation of this problem which is expressed in
Eq. (4) . Eq. (4) can be solved for y ′ and then for positive values
integrated into Eq. (5) . 4. Parameterisation results This section presents and discusses profiles and behaviour of
the RSVS parameterisation method. The profiles shown in this sec-
tion were all designed with fixed volume fraction values to test
the capability of the parameterisation method; profiles generated
by shape optimisation frameworks where VOS values are changed
iteratively as design variables are shown in Sections 7 and 8 . Section 4.1 presents validation of the RSVS parameterisation while
sub- Section 4.2 shows results for the geometric recovery of com-
mon aerofoil sections. ∂
∂y
1 + y ′ 2 −λy
+ d
dx
∂
∂y ′
λy −
1 + y ′ 2
= 0
⇒ −λ −d
dx
y ′
1 + y ′ 2
= 0
(4)
y = c 1 ∓1
λ
1 −λ2 ( x −c 0 ) 2
(5) (4) 4.1. Validation tests (4) )
used for solving the RSVS governing equation. The key consideration in allowing good performance of the al-
gorithm is the relation between the design grid (carrying the VOS
information) and the snaking grid (over which the r-snake evolves). If the underlying grid is too coarse the optimisation process cannot
converge as the combination of volume constraints and smooth-
ness conditions makes for a very stiff system. If the underlying grid
is too fine there is a significant computational cost increase. For
most applications a cell refinement level of 4 (each volume cell is
split into 16) yields good results. Where high curvature is required
within a single volume cell it can be desirable to increase the re- One of the benefits of the length minimisation problem re-
sulting in a set of patched arcs of circles is that it can be rep-
resented exactly by NURBS of degree 2. The ability of the RSVS
to generate curves of this class is likely to enhance its usability
at early design stages, and allows existing work on NURBS to be
leveraged in the design of refinement procedures and equivalences
with other geometry generation tools. To guarantee smooth pres-
sure distributions, aerodynamic shapes are expected to be curva-
ture (G2) continuous. In optimisation this needs to be traded off A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 67 Fig. 7. Multi-body airfoil with parameter (volume) grid and background (snaking) grid as well as snake convergence history of the r-snake volume error and snaxel velocity. Fig. 7. Multi-body airfoil with parameter (volume) grid and background (snaking) grid as well as snake convergence history of the r-snake volume error and snaxel velocity. Fig. 7. Multi-body airfoil with parameter (volume) grid and background (snaking) grid as well as snake convergence history of the r-snake volume error and snaxel velocity. Fig. 7. Multi-body airfoil with parameter (volume) grid and background (snaking) grid as well as snake convergence history of Table 1
Table presenting convergence data for various RSVS layouts (profiles in Appendix E ). Design variable layout
1 ×1
1 ×2
1 ×3
2 ×8
2 ×8
2 ×8
9 ×6
4 ×18
Figure
24 (a)
24 (b)
24 (c)
25
27
28
26
7
Iterations to volume convergence (error < 10 −9 )
61
64
61
73
80
76
160
92 fraction tends to 0. 4.1. Validation tests This effect can be seen in Fig. 8 , where both the
leading and trailing edge are fixed in place by VOS values of 10 −5
at the extremeties. This use of small volume fractions to modify
the properties of the curves is analogous tot the introduction of a
knot inside a spline. A smoother leading edge can be achieved by
removing these volume fractions or by designing grids with more
control at the leading edge as in Fig. 9 . This ability to transition be-
tween sharp and smooth shapes is very important to the design of
useful aerodynamic bodies which often require sharp trailing edges
or leading edges. These small volume fractions can also be used to
fix the length of a profile by effectively pinning leading and trailing
edge position. finement level, however in most cases it is preferable to increase
the number of volume cells as these afford more design flexibility. However the resolution of the snaking grid controls the conver-
gence of the RSVS on the circular arcs derived in Section 3 . Due
to the discrete nature of the r-snake, the profiles generated by the
RSVS only approach the shape predicted by the analytical calcula-
tions. As the number of snaxels per VOS cell is increased by using
finer snaking grids the distance between the circular patches gen-
erated by NURBS and the r-snake converge. This error convergence
is shown for the representation of a NACA 0012 airfoil going from
a very coarse snaking grid of 2 snaxels per design variables to a
finest grid of 300 snaxels per design variable in Fig. 8 . The NURBS
representation is built by keeping the snaxels that lie on the edges
of the design grid. These are then linked by a circular NURBS patch
which satisfies the VOS requirement in the cell. Table 2 number of active VOS design variables that need to be controlled
in an optimisation is smaller than the total number of design vari-
ables in the grid used in this case. During the optimisation pro-
cess only the design variables which contain the edge of the profile
are of interest, this reduces the number of active design variables
from 68 to 38 in the case of the NACA 4412 presented in Fig. 9 . This design variable reduction is then coupled with an overflow
method which ensures smooth transition between design variables
ensuring the optimisation framework only sees smooth geometric
changes. Table 2
Result of the Inverse design of 4 aerofoils using 68 design variables. NACA 0012
NACA 4412
ONERA M6
RAE2822
max( w i y i, ERR )
2.301E −04
2.297E −04
3.590E −04
6.285E −04
Weighted RMS Error
4.123E −05
4.281E −05
6.195E −05
9.353E −05 rameterisation methods by Masters et al. [42] . The volume fraction
values are specified on the RSVS grid by superimposing the pro-
files onto the grid and working out the intersection with each cell. Kulfan’s WTT prescribes bounds in the maximum distance between
profiles, given in Eq. (7) . The largest errors appeared for the RAE 2822 aerofoil at the
trailing edge, this is due to the very thin and curved trailing edge;
this causes both the upper and lower surface to be contained in
the same VOS cell which does not allow sufficient control. This
case highlights the difficulty in building knowledge about a spe-
cific aerodynamic case into a very general and flexible parametri-
sation method. Rather than tuning the design grid to each case in-
dividually a generalised method based on local refinement of de-
sign variables is developed in Section 5 . This hierarchical approach
to parameterisation offers the possibility of the RSVS tuning itself
to the requirements of a given optimisation problem. WTT : max ( w i ( y target −y approx ) ) ≤8 × 10 −4
with :
w i = 2 for x < 0 . 2
w i = 1 for x ≥0 . 2
(7) (7) In order to achieve this tolerance for aerofoils with a reasonable
number of design variables a highly anisotropic VOS grid was used. Table 2 A longitudinal distribution with cells clustered at the leading edge
and at the trailing edge was devised to enable accurate position-
ing and definition of the leading and trailing edges. In the trans-
verse direction cells were clustered close to the chord line to allow
the lower surface to cross over without causing large interferences
with the upper surface. The VOS grid with the design variable val-
ues and the r-snake is shown in Fig. 9 for the case of a NACA4412
aerofoil meeting the WTT. 4.2. Geometric inverse design of aerofoils To validate the geometric flexibility of the r-snake parameter-
isation and its suitability for aerodynamic profile generation in-
verse design of aerofoils was performed. The profiles were eval-
uated against Kulfan’s Wind Tunnel Tolerance (WTT) [9] using the
same process as the one used in the review of aerodynamic pa- One of the key benefits of this parameterisation method over
previous VOS methods is its natural ability to build sharp corners. As the required volume fraction is decreased at the edge of the
profile, the minimisation of the profile length tends to create a
very small feature which tends to a sharp corner as the volume Fig. 8. Change in normal distance between analytically derived NURBS representation and r-snake with increasing snaxel density. Fig. 8. Change in normal distance between analytically derived NURBS representation and r-snake with increasing snaxel density. A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 68 Fig. 9. Inverse design of the NACA 4412 on a 17 by 4 anisotropic VOS grid. Fig. 9. Inverse design of the NACA 4412 on a 17 by 4 anisotropic VOS grid. 5. Design variable refinement One of the drawbacks of the RSVS parameterisation method is
that a regular Cartesian VOS grid contains much less implicit infor-
mation about aerodynamic problems compared to traditional pa-
rameterisation methods. This means that the RSVS, while being
more general than other parameterisations, also requires careful
setup of the design variable layout to tackle an optimisation prob-
lem efficiently. To alleviate this, a hierarchical approach to the de-
sign variables is developed. These approaches start an optimisation
problem with few design variables, this allows large but coarse
changes to the design. As this process converges additional de-
sign variables are added allowing progressively finer and smaller
scale changes to the design to be added. Hierarchical approaches
by Anderson and Aftosmis [37] and Masters et al. [43] have accel-
erated and improved convergence on complex aerodynamic opti-
misation problems. Similar approaches have been successfully ex- A detailed study of the inverse design using this VOS grid was
performed on 4 aerofoils representative of common aerodynamic
sections; these are the NACA 0012, the NACA 4412, the ONERA D
aerofoil and the RAE 2822. The error values for these aerofoils are
presented in Table 2 . Kulfan’s WTT is matched for each aerofoil
using the grid in Fig. 9 . This grid was tested on a further 65 NACA
aerofoils of which 63 were recovered to the WTT (97%), the aver-
aged results for this second set are in Table 3 . While 68 design variables is more than the 20 to 30 design
variables required by the established aerodynamic parametrisa-
tions studied by Masters et al. [18] for this level of fidelity; the Table 3
Result of the Inverse design of 65 NACA aerofoils using 68 design variables. Population Values
Mean
10 MEAN ( log(w
i y
i,ERR ) )
Median
Maximum
WTT satisfied
Weighted RMS Error
5.573E −05
4.42E −05
4.137E −05
5.864E −04
max( w i y i, ERR )
6.179E −04
3.10E −04
2.613E −04
1.109E −02
96.9% 5.1. Refinement of RSVS design grids Previous parameterisations that were used with refinement
were tailored specifically to the aerofoil optimisation problem; this
meant that the need for local adaptation by the parameterisation
was limited, and that global refinement was sufficient. The goal of
the method presented in this paper is to be able to tackle any
shape optimisation problem with minimal tuning of the design
variables by the user. For this general approach to be possible and
efficient, the process developed must be able to adjust the local fi-
delity as the optimisation progresses. This was achieved using a lo-
cal refinement algorithm which selects which VOS cells should be
refined and the direction in which they should be split. The most
effective criterion to be investigated refined cells with the most
curvature of the profile. Curvature reliably indicates the difficulty
the parameterisation is having to represent a given geometry be-
cause the minimum length objective tends to create the straightest
line possible. Unlike previous methods [38,43,47] which relied on
adjoint sensitivities of the objective function, this criterion relies
only on information provided by the shape parameterisation. The process of implementing local refinement into the RSVS pa-
rameterisation relies on the accurate translation of design variables
from coarse to fine fidelity levels. Exact translation of a profile
from a coarse to a finer layout of design variables requires only
that the coarse cell boundaries is present in the finer grid. The
volume fractions on the finer grid can be calculated by overlay-
ing the profile onto the fine grid and calculating the intersection
of cells and profile. This approach is analytically exact, however in
practice it can lead to slightly different profiles after refinement as
the snaking grid is also refined, changing the discretization of the
profile. Calculation of containments on the new design grid can be
skipped by using volume fractions defined on the snaking grid cal-
culated during the evolution of an RSVS profile. Because in most
cases the snaking grid is a 4 by 4 refinement of the design grid,
exact profile translation can be done using information from the
snaking grid for all VOS grid refinements up to 2 by 2. The differ-
ent elements of this process are presented in Fig. 10 . 5.2. Criterion for refinement of design variables ploited in structural topology optimisation by Kim et al. to im-
prove the performance of agent based optimisers [44] and by Ban-
dara et al. to build a mutli-resolution framework based on sequen-
tial shape and topology optimisation using subdivision curves [45] . The RSVS lends itself to such hierarchical approaches, the refine-
ment of design VOS design variables is intuitive and exact. A lo-
cally adaptive hierarchical process is developed in sub- Section 5.2 . Finally, the effects of local refinement are shown on inverse de-
sign and aerodynamic optimisation cases in Sections 7 and 8
respectively. ploited in structural topology optimisation by Kim et al. to im-
prove the performance of agent based optimisers [44] and by Ban-
dara et al. to build a mutli-resolution framework based on sequen-
tial shape and topology optimisation using subdivision curves [45] . The RSVS lends itself to such hierarchical approaches, the refine-
ment of design VOS design variables is intuitive and exact. A lo-
cally adaptive hierarchical process is developed in sub- Section 5.2 . Finally, the effects of local refinement are shown on inverse de-
sign and aerodynamic optimisation cases in Sections 7 and 8
respectively. Both uniform and local refinement of design variables have
been considered by previous studies. Uniform approaches split all
design variables regardless of their influence on the design; local
methods aim to identify regions of the design which are more im-
portant to the reduction of the objective function and refine only
those locations. Global refinement approaches have been very suc-
cessful: the hierarchical approach based on subdivision curves pre-
sented by Masters et al. [43] show the best published results for
the ADODG NACA0012 Case 1 [46] . Results for local refinement
have been mixed, with previous studies showing that improved
performance could be achieved, but the increased complexity of
the optimisation method had a negative impact on the robustness
of the process [43] . Table 3 Table 3
Result of the Inverse design of 65 NACA aerofoils using 68 design variables. A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 69 Fig. 10. Process for the exact translation of a profile from a coarse RSVS design grid to a finer RSVS design grid using information from the snaking grid. Fig. 10. Process for the exact translation of a profile from a coarse RSVS design grid to a finer RSVS design grid using information from the snaking grid. Fig. 10. Process for the exact translation of a profile from a coarse RSVS design grid to a finer RSVS design grid using information from the snaking grid. 5.1. Refinement of RSVS design grids To fully lever-
age the benefits of a hierarchical approach the algorithm needs to
identify and refine regions of the design space where refinement
will lead to an improved objective function. Eq. (8) shows the calculation of the refinement criterion ( r j ) for
cell j . Snaxel indices i s and i e refer to the first and last snaxel con-
tained in the VOS cell. One critical requirement for a refinement A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 70 Fig. 11. Possible cell cuts under the local refinement algorithm. Fig. 11. Possible cell cuts under the local refinement algorithm. criterion is that its value must decrease as refinement is carried
out, otherwise refinement can go into a self reinforcing loop which
is unlikely to lead to desirable design variable layouts. It is for this
reason that coefficient r j depends on the sum of the curvature of
the snake inside a cell multiplied by its length. The curvature is
approximated by the second difference of the profile. The scaling
using the length is needed to counteract the increasing value of
curvature as feature size decreases. criterion is that its value must decrease as refinement is carried
out, otherwise refinement can go into a self reinforcing loop which
is unlikely to lead to desirable design variable layouts. It is for this
reason that coefficient r j depends on the sum of the curvature of
the snake inside a cell multiplied by its length. The curvature is
approximated by the second difference of the profile. The scaling
using the length is needed to counteract the increasing value of
curvature as feature size decreases. Differential evolution is a heuristic global optimisation method
proposed by Storn and Price [49] , and was selected due to its ro-
bustness and ease of implementation both in serial and parallel. Unlike other heuristic methods it requires few internal parameters
and has shown good results on a range of applications [50] , no-
tably for constrained optimization cases. Constraints on the design variables are handled by forcing the
optimisation method to keep them satisfied at all times. For in-
equality constraints in addition to a hard-stop imposed on the de-
sign variables, gradients which are pointing the optimisation to-
wards a constraint are scaled by a factor tending to 0 as the design
variables tend to the constraint. 5.1. Refinement of RSVS design grids This allows infeasible directions to
be removed from the gradient vector and avoids the optimisation
stalling close to constraints. r j =
i e −1
i = i s
( s i +1 )
i e
i = i s
−p i ( s i + s i +1 ) + p i +1 s i + p i −1 s i +1
s 2
i s i +1 + s i s 2
i +1
with :
s i = | p i −p i −1 |
and
s i +1 = | p i +1 −p i |
(8) (8) Once a cell has been marked for refinement, the orientation of
the split must be decided. Selecting the refinement direction relies
on a heuristic method which yields fine grids which still enable
easy movement of the profile and high quality modes. Because of
the cell-bounded volume of solid formulation transition of the pro-
file from one cell to a previously empty cell can be discontinuous. In order to minimize such transitions new cell boundaries should
be normal to the profile. To achieve this, cells are split in half in
the same direction as each VOS cell edge which is crossed by the
r-snake. This leads to three possible refinement outcomes which
are presented in Fig. 11 . 6. Optimisation framework A VOS response of 25% in the first neighbours to a change in
design variables was found to smooth out the oscillations on Carte-
sian grids. On anisotropic grids additional work is required to ob-
tain consistent mode shapes and mode size. To smooth out oscil-
lations on anisotropic grids the value of 25% in each neighbour is
scaled by using Eq. (9) . This equation is used to reflect the different
size the responses will have in neighbouring cells with very differ-
ent aspect ratios and size. Finally, for anisotropic grids, the result-
ing smooth basis functions are scaled to have either equal height
or volume depending on the objective function. This is to ensure
that the resulting sensitivities are appropriately scaled. This section presents the optimisation framework that was used
to test and validate the RSVS parameterisation developed in ear-
lier sections. To test the topological flexibility of this new param-
eterisation each element of the optimisation framework must be
able to handle the increased flexibility of the design space. The
framework includes two optimisers: conjugate gradient for local
optimisation and differential evolution for problems where multi-
modality (multiple local minima) is expected. This is coupled with
an unstructured Eulerian flow solver with a cut-cell mesh genera-
tor for aerodynamic analysis. for j ∈ { −1 , 1 }
q j = 1
4
l j
l 0 +
V 0 δa
V 0
V j
(9) (9) 6.1. Optimisers In each VOS cell j the grid adapted coefficient ( q j ) for a smooth
response is dependant on the length of the profile in the cell ( l j )
and the volume of the cell ( V j ) relative to the value for the central
cell (0). It is also dependent on δa , the size of the VOS disturbance
in the central cell. In each VOS cell j the grid adapted coefficient ( q j ) for a smooth
response is dependant on the length of the profile in the cell ( l j )
and the volume of the cell ( V j ) relative to the value for the central
cell (0). It is also dependent on δa , the size of the VOS disturbance
in the central cell. The RSVS parameterisation is integrated in an aerodynamic op-
timisation framework which supports gradient-based and agent-
based optimisers. This optimisation framework uses the volumes
of the VOS cells as design variables which are translated into ge-
ometry changes by the RSVS process. 6.2. Smoothing of the RSVS geometric response Desirable characteristics of parameterisation methods have
been identified by previous studies into aerodynamic optimisa-
tion [18,19] . These include: smoothness, appropriate scaling and
compactness. To ensure gradient based optimisers could use the
RSVS efficiently the response of the parameterisation to small
changes in VOS is smoothed. The smoothing removes oscillations
that were found to arise from small perturbations of RSVS pro-
files 12 (a). This smoothing of the response is done by smearing
volume fraction increments to neighbouring cells following the
connectivity of the profile, this process is shown in Fig. 12 (b). 6.3. Objective functions CG optimisers are easy to implement and provide adequate
convergence behaviour in aerodynamic applications. The Polak-
Ribiere [48] conjugate gradient formulation was adopted as it dis-
played better performance in early tests. The line-search is per-
formed using backtracking until a minimum is bracketed, that min-
imum is then used as the step length. To test the performance of the parametrisation method on dif-
ferent optimisation cases the framework includes two objective
functions. The first is a geometric error function which is used
to perform geometric inverse design optimisations, the second is A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 71 Fig. 12. Volume fraction perturbations for standard and smoothed gradient calculations. Fig. 13. Geometric recovery of a NACA4412 using 6 refinement steps; with the RSVS grid and the target profile (left), the VOS values for the geometry (centre) and the
corresponding profile coloured according to its normal distance to the target profile (right) at the first and final iteration. Fig. 12. Volume fraction perturbations for standard and smoothed gradient calculations. Fig. 12. Volume fraction perturbations for standard and smoothed gradient calculations. Fig. 12. Volume fraction perturbations for standard and smoothed gradient calculations. Fig. 12. Volume fraction perturbations for standard and smoothed gradient calculations. Fig. 13. Geometric recovery of a NACA4412 using 6 refinement steps; with the RSVS grid and the target profile (left), the VOS values for the geometry (centre) and the
corresponding profile coloured according to its normal distance to the target profile (right) at the first and final iteration. Fig. 13. Geometric recovery of a NACA4412 using 6 refinement steps; with the RSVS grid and the target profile (left), the VOS
corresponding profile coloured according to its normal distance to the target profile (right) at the first and final iteration. Fig. 13. Geometric recovery of a NACA4412 using 6 refinement steps; with the RSVS grid and the target profile (left), the VOS values for the geometry (centre) and the
corresponding profile coloured according to its normal distance to the target profile (right) at the first and final iteration. 12 using 6 refinement steps; with the RSVS grid and the target profile (left), the VOS values for the geometry (centre) and the
o its normal distance to the target profile (right) at the first and final iteration. an inviscid Eulerian flow solver. 6.3. Objective functions The geometric error objective pro-
vides a fast and relatively inexpensive test case to evaluate the ca-
pability of the parameterisation method. This allows rapid evalua-
tion of changes to the parameterisation without running a full set
of aerodynamic test cases. In the current optimisation framework the gradients are ob-
tained by central difference on the flow solution. While adjoint
gradients could also be used, the ease of implementation and par-
allelisation of finite differences made it a suitable option for the
test cases considered in this paper. Mesh motion was carried out
using the multi-scale RBF algorithm of Kedward et al. [59] as it
allows efficient and exact movement of large meshes. The geometric error is calculated as the area of the polygons
created by intersecting a test geometry and a target profile. This
error calculation allows the intersection of curves with different
surface point distributions. This flexibility simplifies the handling
of changing topology compared to an approach based on point to
point distances. 7. Geometric inverse design with refinement The refinement process was tested on the geometric inverse de-
sign of a NACA 4412 aerofoil, using the smoothing described ear-
lier combined with the conjugate gradient optimiser. The goal of
this test is to explore the flexibility of the method and the quality
of the integration with the optimiser. This case was tackled with 6
refinement steps starting from a coarse grid of 2 by 6 design vari-
ables, the grid at the first and final refinement step is shown in
Fig. 13 along with the corresponding profile and volume fractions. The set-up of this case was done to test the effectiveness of the
RSVS parameterisation with local refinement rather than the ca-
pacity of the RSVS to recover a NACA 4412. For this reason the
profile was allowed to evolve freely over the grid with no con-
straint on the position of leading edge and trailing edges. The final
profile ( Fig. 14 (b)) shows the parameterisation successfully built a
smooth leading edge and sharp trailing edge. Building sharp trail-
ing edges is straightforward in the RSVS parameterisation, it sim-
ply needs very small volume fractions in design cells. However this
requires a design grid intersection very close to the desired loca-
tion of the trailing edge which requires many refinement steps to
converge as shown in Fig. 13 (b). Aerodynamic optimisation relies on the successful integration of
CFD, parameterisation and an optimiser into a cohesive framework. For this purpose, the RSVS parameterisation method was coupled
with a surface-exact cut-cell mesh generator, an unstructured Eu-
lerian flow solver and an optimiser. In order to exploit the topolog-
ical flexibility of the parameterisation all elements of the optimisa-
tion method need to support profiles made of an arbitrary number
of bodies. Cut-cell mesh generators provide the required flexibility
with sufficient accuracy at a low computational cost [51,52] . The
flow solver is an inviscid, compressible unstructured code based on
the cell-centred approach of Jameson [53] and following the imple-
mentation of Eliasson [54] . The cut-cell mesh generator and flow
solver were used in previous studies by Hall et al. [55] . A mesh
convergence study was performed on the zero-lift drag coefficient
value for NACA 0012 at a Mach number of 0.85, giving 469.1 drag
counts, which is within 0.3 counts of previous studies using differ-
ent solvers [56,57] . Table 4 tance to the target profile. This second case highlights the versatil-
ity of the RSVS with refinement, their combination allows two op-
timisation cases with very different solutions to be tackled without
user intervention. ab e
Drag results (counts) for ADODG NACA 0012 benchmark
case. Figs. 14 (a) and 16(a) display the convergence behaviour of the
optimisations which exhibits a step by step convergence. This is
the desired behaviour: as the optimisation converges on a coarse
set of design variables, the refinement process selects an appropri-
ate portion of the design variables to refine enabling further reduc-
tion of the objective function. The effectiveness of the contour cur-
vature condition ( Eq. (8) ) is shown by the improvements brought
by each refinement level; ineffective selection would lead to stag-
nation of the objective function. along the aerofoil chord. along the aerofoil chord. min : C D
s . t . : y PROF ILE ≥y NACA 0012
M = 0 . 85
(10) (10) While aerodynamic optimisation benefits from fine geometric
control, it is also dependant on global parameters, especially in
three dimensions global transformations such as angle of attack,
sweep, twist and span must be handled concurrently to the finest
design variables. In the RSVS parameterisation this can be achieved
by applying those transformations to the grid so that they are re-
flected in the profile. Work in the ASO community has highlighted many of the
challenges associated with the aerodynamics of this case. These
difficulties include: premature convergence on sub-optimal pro-
files [60] , assymetric flow solutions for symmetric profiles [60,61] ,
oscillatory CFD solutions [62] and hysteretic behaviours with Mach
number [63] . The range of observed behaviours was reviewed by
Destarac et al. [64] . Contrary to the previous local refinement scheme developed by
Masters et al. [43] which relied on the adjoint of the objective, this
refinement process relies exclusively on information from the pa-
rameterisation and the profiles it generates. Instead, the objective
function passes information indirectly to the refinement process
through the optimisation process which drives the shape of the
profile. This effect, inherent to any optimisation framework, is cou-
pled with a measure of the ‘stress’ that is experienced by the pa-
rameterisation (here the curvature of the profile) to identify areas
where the current parameterisation is not fine enough. Table 4 This means
this approach can be directly applied to any problem tackled using
the RSVS parameterisation method with no modification. This case was tackled with the CG optimiser with the mesh res-
olution at the 14 th refinement level which corresponds to a cell
height of 0.153% of chord. This is equivalent to approximately 1300
cells uniformly distributed around the aerofoil profile. To avoid
poor optimiser convergence due to assymetric flow solutions on
symetric profiles, the optimisation was run on a half mesh with
a symmetric boundary. Mesh-motion was performed using the
multi-scale radial basis function method developed by Kedward
et al. [59] . Constraints were enforced directly on the volume frac-
tions, constraining them to be larger than required for the inverse
design of the NACA 0012 aerofoil. While this does lead to a slight
constraint violation in front of the point of maximum thickness it
is sufficiently precise to capture the complexity of the problem. A
12 by 2 VOS grid was used: half the VOS cells are distributed in
a half cosine distribution from leading edge to the 30% chord and
until the trailing edge. Symmetric profiles are generated by mir-
roring the VOS values along the horizontal axis, meaning that the
optimiser controls 12 effective design variables. 8. Validation of the aerodynamic optimisation framework 8.1. NACA 0012 under local thickness contraints (ADODG Case 1) 8.1. NACA 0012 under local thickness contraints (ADODG Case 1) 7. Geometric inverse design with refinement The set-up of this case was done to test the effectiveness of the
RSVS parameterisation with local refinement rather than the ca-
pacity of the RSVS to recover a NACA 4412. For this reason the
profile was allowed to evolve freely over the grid with no con-
straint on the position of leading edge and trailing edges. The final
profile ( Fig. 14 (b)) shows the parameterisation successfully built a
smooth leading edge and sharp trailing edge. Building sharp trail-
ing edges is straightforward in the RSVS parameterisation, it sim-
ply needs very small volume fractions in design cells. However this
requires a design grid intersection very close to the desired loca-
tion of the trailing edge which requires many refinement steps to
converge as shown in Fig. 13 (b). Because the RSVS uses traditional boundary fitted meshes it can
be used with RANS solvers or any other physical solvers which
uses that type of mesh. The main challenge to using the RSVS with
viscous CFD is the generation of a suitable mesh without apriori
knowledge of the topology. However unsupervised automatic mesh
generation for viscous layers has been an active area of research
recently seeing implementation in industrial codes [58] . The same process with the same starting condition but with
eight refinement stages was used to tackle the geometric recov-
ery of a multi-body aerofoil composed of 2 NACA 4 digit profiles. Fig. 15 shows the evolution of the RSVS profile and grid through
the optimisation; Fig. 16(b) the final profile with the normal dis- A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 72 A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60 84
Fig. 14. Convergence history and final local profile error for the Geometric Inverse design of the NACA 4412 over 8 refinement steps. Fig. 14. Convergence history and final local profile error for the Geometric Inverse design of the NACA 4412 over 8 refinement steps. Table 4
Drag results (counts) for ADODG NACA 0012 benchmark
case. ADODG Case 1
Optimisation mesh
Cell height
0.153%
Optimised Profile (drag counts)
58.3
NACA 0012 (drag counts)
469.3
C D (counts)
−411.0
Relative Change
−87.58% 8.1. NACA 0012 under local thickness contraints (ADODG Case 1) Convergence history and final local profile error for the Geometric Inverse design of the multi-body aerofoil over 8 refinement steps. Fig. 17. Optimisation of the ADODG Case 1 using 10 active design variables. Fig. 17. Optimisation of the ADODG Case 1 using 10 active design variables. 8.1. NACA 0012 under local thickness contraints (ADODG Case 1) To benchmark the optimisation framework and validate the
RSVS method the ADODG case 1 was modelled [46] . The formula-
tion of this optimisation problem is presented in Eq. (10) , where
the constraint is a localised thickness constraint at every point This framework allowed a drag reduction from 469 counts for
the NACA 0012 to 58.3 counts for the optimised profile ( Table 4 ). This drag reduction is close to the drag values between 50 and A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 73 A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84
Fig. 15. Geometric recovery of a multi body airfoil over 8 refinement steps. unts achieved by other aerodynamic parameterisation meth-
n recent comparative studies [19,64] . The shock pattern at
railing edge of the RSVS optimised airfoil displays a super-
i
ith
i
l
i
i
th
the drag is not as low as some previous available result
timisation case shows that the combination of the RSV
with the cut-cell mesh generator is capable of explorin
l
d
i
d
i
Fl
f
t
t Fig. 15. Geometric recovery of a multi body airfoil over 8 refinement steps. Fig. 15. Geometric recovery of a multi body airfoil over 8 refinement steps. the drag is not as low as some previous available results, this op-
timisation case shows that the combination of the RSVS method
with the cut-cell mesh generator is capable of exploring a com-
plex aerodynamic design space. Flow features expected in this
optimisation case are successfully discovered by the optimisation
framework. 25 counts achieved by other aerodynamic parameterisation meth-
ods in recent comparative studies [19,64] . The shock pattern at
the trailing edge of the RSVS optimised airfoil displays a super-
sonic/supersonic wave with a single supersonic region over the
aerofoil ( Fig. 17 ). This shock pattern is similar to that observed in
the review of this case performed by Destarac et al. [64] . While A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 74 Fig. 16. Convergence history and final local profile error for the Geometric Inverse design of the multi-body aerofoil over 8 refinement steps. Fig. 16. Convergence history and final local profile error for the Geometric Inverse design of the multi-body aerofoil over 8 refinement steps. Fig. 16. 8.2. Drag minimisation for fixed area aerofoils at Mach 2 lationships to obtain the profile for minimum pressure drag under
thickness and volume constraints. The availability of analytical re-
sults for these cases provides useful benchmarks for non-linear nu-
merical optimisation frameworks. The following drag minimisations in this paper are inviscid,
supersonic, constant area optimisations. Significant research into
these cases was carried out in the 1950s using linearised equations
for supersonic flow which yielded analytically optimal solutions. In
3 dimensions, this effort led to the now famous Sears–Haack pro-
file for minimum wave drag [65,66] . Similar research by Klunker
and Harder [67] used non-linear supersonic pressure coefficient re- Supersonic flows are also an excellent test bed for topology
optimisation: there exist multiplane profiles where shock inter-
ractions produce bodies with no wave drag [68] . The most well
known of these is the Busemann biplane first proposed in the
1930s by Busemann [69] . These cases are of particular interest A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 75 (
) Fig. 18. Three types of analytical optima at Mach 2 with an area ( c A ) of 0.08. Note that each can potentially be the global optimum, depending on the chosen area constraint;
for the constraint value of 0.08, the Busemann bi-plane is optimal. Fig. 18. Three types of analytical optima at Mach 2 with an area ( c A ) of 0.08. Note that each can potentially be the global optimum, depending on the chosen area constraint;
for the constraint value of 0.08, the Busemann bi-plane is optimal. as these multi-body profiles can be built using the VOS param-
eterisation method: they are known cases for which topological
flexibility should bring significant drag reduction. An example of
the flow around each of the three known analytical optima is
shown in Fig. 18 . sation methods where more control points are clustered towards
the leading edge and trailing edges and movements in the verti-
cal direction dominate. This approach uses engineering knowledge
to build a suitable grid for the RSVS parameterisation to perform
efficiently on the given problem. The mathematical programming representation of these prob-
lems are expressed in Eqs. (11) and (12) , for the single topology
case and the multi-body case respectively. The behaviour of the
optimisation is dependant on the area constraint value c A . 8.2. Drag minimisation for fixed area aerofoils at Mach 2 An ad-
ditional constraint is added for the multi-body cases to ensure that
the optimised profile fits inside the region occupied by the Buse-
mann biplane, the maximum height of the profile ( y max ) can-
not be larger than the maximum height of a buseman biplane
( y BUSEMANN ). Indeed if the optimisation is allowed to generate
profiles far apart it can effectively maintain bodies operating in
flows sufficiently separated to be independent of each other. The same suite of cases was then tackled using the refinement
criterion specified in Section 5.2 . The optimisation was started
from a 2 by 4 Cartesian grid of RSVS design variables with symme-
try and five refinement steps were carried out. The goal of the re-
finement is to do away with the need for expert knowledge when
setting up an optimisation method for a specific case. By adapting
itself to the optimisation problem as it is being solved the RSVS
removes a layer of complexity and improves the robustness of the
entire process. Drag results and optimum profiles for these aerodynamic cases
are shown in Fig. 19 . Fig. 19 (a) shows the evolution of the drag co-
efficient for the analytical and non-linear optima with refinement. The inset shows the behaviour of the different optima between
0.04 and 0.048, importantly the optimisation framework success-
fully negotiates this complex region where two theoretical optima
exist. Fig. 19 (b) shows the difference in drag value between the
best analytical optima and each stage of the refinement process. min
C D
s . t .
a = c A
M = 2
(11)
min
C D
s . t .
a = c A
y max < = y BUSEMANN
M = 2
(12) (11) For low values of area the first refinement stages are suf-
ficient to exceed the analytical optimum. Fig. 19 (c) shows the
optimum profiles for each value of the volume constraint. The
cases up to areas of 0.07 result in profiles close to parabolic but
as the required volume increases, the point of maximum thick-
ness is shifted towards the trailing edge. This finding is similar
to a previous study by Palaniappan and Jameson [70] . 8.2. Drag minimisation for fixed area aerofoils at Mach 2 This be-
haviour allows the shock to be weaker for the non-linear opti-
mum than for the corresponding ogive, which more than makes
up for the increase in back pressure. This simple geometric be-
haviour is easily captured by RSVS geometries with or without
refinement. (12) The volume constraint was applied before the parameterisation
stage by controlling the values of the volume fractions: if a con-
straint violations is detected the volume fractions are scaled such
that their sum matches the constraint. For values of area above 0.09 it is very clear that the pro-
files tend to the truncated ogives of Klunker and Harder [67] . The
large discontinuity poses a challenge to the parameterisation lead-
ing to difficulties for the optimisations. However, refinement en-
ables the blunt trailing edge to be represented to a sufficient level
and significantly improves the optimum that could be recovered
compared to the cosine grid with smooth design variables. The be-
haviour through the refinement stages seen in Fig. 19 (b) is similar
to that observed for the inverse design case presented earlier: each
refinement stage unlocks a new portion of the design space to sig-
nificantly improve the objective function. This helps to validate the
use of curvature as a measure of the need for finer parameteri-
sation. While there is no change in the number of bodies these
results are enabled by the flexibility of the parameterisation and 8.4. Impact of topological flexibility on aerofoil optimisation 8.4. Impact of topological flexibility on aerofoil optimisation 8.4. Impact of topological flexibility on aerofoil optimisation flow solver, traditional parameterisations are not always capable of
transitioning between smooth and sharp corners as is required by
the larger area cases. While the topological flexibility is not expressly needed to solve
this suite of shape optimisation, it can still reveal interesting de-
signs within the constraints of the aerofoil design space. Fig. 20
shows the flow around the best profile at iteration 4 of a fixed grid
optimisation. At this point the CG optimiser has found a two body
profile to be beneficial. This profile is reminiscent of the aerospike
configuration used to reduce drag on the Lockheed Martin Trident
D-5 submarine launched ballistic missile. This shows the capability
of the topological optimisation framework as a tool for exploratory
design studies. The convergence history ( Fig. 20 (a)) shows that
topology change creates additional complexity in a small design
space with the behaviour between iterations 2 and 6, close to the
topology change, resembling convergence on a local optimum. This
means that effective topology optimisation requires a method for
avoiding local minima and warrants the use of a global optimiser. The higher area cases, notably 0.15 and 0.16 exhibit a small os-
cillation of the profile at the trailing edge ( Fig. 19 (c)). These os-
cillations are the result of the optimiser minimising the turning
circle of the flow to favour inviscid separation when the design
variable resolution is insufficient to represent a blunt trailing edge. The large area of recirculatory flow behind the blunt trailing edge
leads to poor flow convergence and poor quality gradients, pre-
venting the optimiser from recovering at higher refinement levels. This highlights a limitation of using an Eulerian flow solver for this
case: physical modelling of the boundary layer and separation is
required. The RSVS parameterisation with refinement allows the explo-
ration of the flow for profiles of different areas in supersonic
flow. The parameterisation shows that there are two different flow
regimes that result in optimum solutions: attached flows for low
areas and detached flows at the trailing edge for higher areas. This
can be seen clearly in Fig. 19 (c): the points of maximum thickness
show clear separate trends for the parabolic profiles (up to an area
of 0.08) and the truncated ogives (after an area of 0.09). 8.4. Impact of topological flexibility on aerofoil optimisation These re-
sults also highlight the existence of possible multi-modality around
an area of 0.08. 8.3. Impact of refinement on aerodynamic optimisation case The first cases used to validate the current optimisation frame-
work were the drag minimisation of profiles at Mach 2 for a fixed
volume and unit chord presented in Eq. (11) using the conjugate
gradient optimiser. Using the smoothed design variables the single-
body supersonic aerodynamic case was tackled for constraint val-
ues between 0.01 and 0.16 for two setups of the parameterisation. The first was using a 2 by 10 layout of VOS design variables in
a cosine distribution with symmetry of the design variables about
the horizontal axis. The chord is fixed by maintaining a small vol-
ume fraction in the volume cells at the leading edge and the trail-
ing edge. This setup is similar to traditional aerofoil parametri- A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 76 Fig. 19. Summary of Supersonic Optimisation results using local refinement and smoothing compared to the best single body analytical solutions. Fig. 19. Summary of Supersonic Optimisation results using local refinement and smoothing compared to the best single body analytical solutions. Fig. 19. Summary of Supersonic Optimisation results using local refinement and smoothing compared to the best single body analytical solutions. 9. Topological aerodynamic optimisation results A
population of 100 was used as smaller populations showed incon-
sistant behaviour in repeated runs. The optimisation was stopped
once the population showed no topological diversity. This was as-
sessed through the convergence of the population on a set of non-
zero VOS design variables, This occurred between iterations 200
and 300. because the main factor in drag reduction is the minimisa-
tion of the external shocks which can be achieved with ei-
ther topology. This also explains the large number of iterations
required to converge the topology of the optimisation case in
Fig. 23 : the optimum topology is not stable before the 234 th
iteration. These differences in optima highlight a limitation of the differ-
ential evolution on this topological aerodynamic optimisation case. While DE provides good exploration, the convergence on the global
optimum is not guaranteed; this is because each of the local min-
ima has a very similar drag value but with different topology. Al-
ternate algorithms for niching and hybrid gradient/agent search
methods could help improve the performance of the framework
on these cases. Despite these limitations, the combination of pa-
rameterisation, global optimiser and flow solver is effective at ex-
ploring these optimisation problems. The relative compactness of
the set of design variables as well as the smoothness of the recov-
ered profiles ensures that good aerodynamic bodies are generated
most of the time without arbitrarily restricting the design space. This allows this topological optimisation framework to explore
the complex behaviour of the optimal solution for large values of
area. Fig. 21 presents the drag results and profiles resulting from
the topological optimisation process. Fig. 21 (b) shows the drag of
the optimised profiles is below that of the Busemann biplane or
the best analytical optima for all values of the constraint above
0.02. This good performance above 0.02 is because the optimisa-
tion tends to build very efficient profiles which resemble conver-
gent divergent nozzles with flat outer edges. The smooth compres-
sion which results from these has a much lower drag on a discrete
grid compared to the Busemann bi-plane which relies on perfect
shocks and expansion fans. Below 0.02 the profiles are extremely
thin, building planes less than 1% thick. This means that the sharp-
ness of the leading and trailing edge play an outsize role in the
quality of the optimum, however the optimiser struggles to adjust
these sufficiently. 9. Topological aerodynamic optimisation results The approach used for the supersonic single body area con-
strained optimisation cases was repeated for the multi-body case. In those cases the non-linear optimum is compared to the drag
value of the Busemann bi-plane. The topological flexibility is en- A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 77 Fig. 20. Aerospike profile appearing at iteration 4 of the CG optimisation for an area constraint of 0.11. n 4 of the CG optimisation for an area constraint of 0 11 Fig. 20. Aerospike profile appearing at iteration 4 of the CG optimisation for an area constraint of 0.11. abled by using a larger RSVS grid layout, in this case a 10 by 6
VOS grid was used. Symmetry of the profile was enforced by mir-
roring the VOS design variable values: meaning the optimiser con-
trols 30 effective design variables. To ensure exploration of the lay-
out is effective the differential evolution (DE) optimiser is used. The starting population is of critical importance to ensure that ex-
ploration is sufficient but convergence is quick. The optimisation
starts from a family of random multi-plane profiles with sharp
trailing and leading edges. Starting from a population of bodies
with good aerodynamic qualities reduces the convergence time sig-
nificantly while still allowing the design space to be explored. A
population of 100 was used as smaller populations showed incon-
sistant behaviour in repeated runs. The optimisation was stopped
once the population showed no topological diversity. This was as-
sessed through the convergence of the population on a set of non-
zero VOS design variables, This occurred between iterations 200
and 300. abled by using a larger RSVS grid layout, in this case a 10 by 6
VOS grid was used. Symmetry of the profile was enforced by mir-
roring the VOS design variable values: meaning the optimiser con-
trols 30 effective design variables. To ensure exploration of the lay-
out is effective the differential evolution (DE) optimiser is used. The starting population is of critical importance to ensure that ex-
ploration is sufficient but convergence is quick. The optimisation
starts from a family of random multi-plane profiles with sharp
trailing and leading edges. Starting from a population of bodies
with good aerodynamic qualities reduces the convergence time sig-
nificantly while still allowing the design space to be explored. 10. Conclusions Optimisation for external aerodynamics has usually focussed on
small surface changes, but including topological change within the
calculation makes accessible a rich landscape alternative designs. In some circumstances, exploring these widely varying alternatives
thoroughly can be critical for the success of the optimisation. To achieve this flexibility, a technique using a local fraction of
solid across a design parameter grid has been developed for rep-
resenting two-dimensional shapes, including changes in topology. Although a coarse parameter grid may be used initially, sequen-
tial anisotropic refinement of the parameter grid is able to recon-
struct aerofoils to a good degree of accuracy. The method does not
achieve the same level of efficiency (in terms of numbers of design
variables required) compared to parameterisation methods specific
to aerofoils, but it does create a flexible, general method for any
shape. Above an area of 0.1 the flow in the Busemann bi-plane is
choked which can be seen in the very large increase in drag (18
times larger between areas of 0.1 and 0.11). In Fig. 21 (c) the pro-
file of area 0.12 displays the internal features similar to the optima
of area 0.0315 but with curved outer edges. Fig. 22 (c) shows that
the optimiser is combining the flow features of an optimised Buse-
mann bi-plane (flow similar to Fig. 22 (a)) with one of the single
body optima of Fig. 19 (flow similar to 18 (c)). This allows low drag
to be maintained where a traditional Busemann bi-plane would
choke. The construction of the surface is implemented using r-snakes,
and the snaxel positions of the r-snakes are determined so as to
match each specified cell volume of solid while also minimising
the surface arc length. Calculus of variations shows that this for- The optimum profile for an area of 0.06 shows a penta-
plane profile ( Fig. 22 (b)), while for 0.0315 the optimum is a
tri-plane ( Fig. 22 (a)). This difference in optimum topology is A.D.J. Payot, T.C.S. Rendall and C.B. Acknowledgements This work was carried out using the computational facilities
of the Advanced Computing Research Centre, University of Bristol
- http://www.bris.ac.uk/acrc/ . Funding: This work was supported
by the EPSRC Research Council UK and the University of Bristol
through DTP grant EP/M507994/1 . All the data needed to support
the conclusions of this article are presented in the paper. A C = 1
2
i
C
1
2 ( p i + p i −1 ) T
0
1
−1
0
( p i −p i −1 )
= 1
2 p T R A p
where : p =
p 1 , p 2 , · · · , p n
T
(14) A C = 1
2
i
C
1
2 ( p i + p i −1 ) T
0
1
−1
0
( p i −p i −1 )
= 1
2 p T R A p
where : p =
p 1 , p 2 , · · · , p A C = 1
2
i
C
1
2 ( p i + p i −1 ) T
0
1
−1
0
( p i −p i −1 ) facing normal to the edge. facing normal to the edge. ture work will extend the technique to three dimensions and ex-
plore the potential for other search methods to explore aerody-
namic topology optimisation cases more effectively. A C = 1
2
C
q · n
(13) A C = 1
2
C
q · n (13) This equation is used within each cell to define the area cur-
rently contained by the snakes. Manipulation of Eq. (13) allows it
to be formulated into the matrix product in Eq. (14) . Vector p is
the list of coordinates of the vertices where p n is the coordinate
row vector of the n th vertex defining polygon C . Eq. (14) is derived
from the decomposition of q and n into, respectively, the mean
and the difference of neighbouring vertices which is readily trans-
formed into simple matrix equations that can be assembled to re-
flect the connectivity information of a polygon. More detail of the
derivation of matrix R A is presented in Appendix B . 10. Conclusions Allen / Computers and Fluids 182 (2019) 60–84 78 Fig 21
Results of Supersonic Topological Optimisation for a range of area constraints compared to analytical solutions Fig 21
Results of Supersonic Topological Optimisation for a range of area constraints compared to analytical solutions Fig 21
R
lt
f S
i
T
l
i
l O ti
i
ti
f
f
t
i t
d t
l ti
l
l ti Fig. 21. Results of Supersonic Topological Optimisation for a range of area constraints compared to analytical solutions. Fig. 22. Flood plots of Cp and Mach number for Supersonic Topological Optimisation results presented in Fig. 21 (c). Fig. 22. Flood plots of Cp and Mach number for Supersonic Topological Optimisation results presented in Fig. 21 (c). Fig. 22. Flood plots of Cp and Mach number for Supersonic Topological Optimisation results presented in Fig. 21 (c mulation leads to a surface built of circular arcs, and therefore
the surface may also be represented exactly using NURBS if re-
quired. Small perturbations in the parameters lead to parabolic
shape changes, and these permit a system of smoothing to be con-
structed. mulation leads to a surface built of circular arcs, and therefore
the surface may also be represented exactly using NURBS if re-
quired. Small perturbations in the parameters lead to parabolic
shape changes, and these permit a system of smoothing to be con-
structed. When tested for geometric reconstruction, the method is able
to reconstruct both single and multiple aerofoil sections. Fixed vol-
ume drag minimisation in supersonic flow has revealed known
parabolic and truncated shapes for single shapes, and when multi-
ple shapes are allowed, Busemann multi-planes are generated. Fu- A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 79 Fig. 23. C P and Mach flood plots for the best solutions at selected iterations. Fig. 23. C P and Mach flood plots for the best solutions at selected iterations. Fig. 23. C P and Mach flood plots for the best solutions at selected iterations. facing normal to the edge. Appendix A. Calculation and differentiation of the volume
fraction = 1
2 p T R A p
where : p =
p 1 , p 2 , · · · , p n
T
(14) (14) Calculation of the volume fraction is performed using Green’s
theorem which allows the calculation of the area of closed curves. The two dimensional form of the theorem for a polygon is pre-
sented in Eq. (13) ; the results of this theorem can be extended
to higher dimensions for a 3 dimensional implementation of this
method. q is the centre of the edge of polygons and n the outward The SQP algorithm being developed requires the derivation of
the Jacobian of the area constraints with respect to the non-
dimensional snaxel distances. Applying the matrix form of Green’s
theorem to the VOS cells greatly simplifies the calculation of the A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 80 = 1
2
p T
i
p T
i −1
⎡
⎢
⎣
0
1
0
−1
−1
0
1
0
0
1
0
−1
−1
0
1
0
⎤
⎥
⎦
p i
p i −1
(21) derivatives as all the connectivity information is precomputed and
hidden into matrix R A . For the derivative to be computed, vector p
is readily separated into a variable and constant part. Recalling the
formulation of p i ( Eq. (2) ) and of p ( Eq. (14) ). (21) p = G d C + g 1
where
⎧
⎪
⎪
⎪
⎪
⎪
⎪
⎨
⎪
⎪
⎪
⎪
⎪
⎪
⎩
G =
⎡
⎣
g 1 ,x
g 1 ,y
0
0
0
0
0
g 2 ,x
g 2 ,y
0
0
0
0
0
. . . ⎤
⎦
T
d C = { d 1 , d 2 , · · · , d n } T
g 1 = { g 1 , 1 , g 2 , 1 , · · · , g n, 1 } T
(15) This matrix equation can then be summed over all vertices to
build matrix R A present below. Appendix B. Green’s Theorem in matrix form with :
a i = g i · g i
b i = 2 g i · ( g i, 1 −g i −1 , 1 )
a i −1 = g i −1 · g i −1
b i −1 = −2 g i −1 · ( g i, 1 −g i −1 , 1 )
a i,i −1 = −2 g i · g i −1
c = ( g i, 1 −g i −1 , 1 ) · ( g i, 1 −g i −1 , 1 )
(24) with : Green’s theorem can be expressed in the matrix form with the
matrix built to match the connectivity of the control points. Recall-
ing Eq. (14) . (24) A C = 1
2
i
C
1
2 ( p i + p i −1 ) T
0
1
−1
0
( p i −p i −1 )
= 1
2 p T R A p
where : p =
p 1 , p 2 , · · · , p n
T
(20) This form allows a much more readable representation of the
first and second derivatives of the function. ϵ is a small positive
number used to stabilise the derivatives as the edge length goes to
zero. Only the properties of the Hessian and Jacobian are discussed
in this section; the equations for the derivatives of Eq. (23) are
presented in Appendix D . The Hessian is a tridiagonal symmetric
matrix ( Eq. (18) ) which means the cost of inverting it for the cal-
culation of the Newton step ( Eq. (3) ) is low. This is due to the for-
mulation of the tensile force, as it only relies on one neighbour on
each side it leads to a sparse Hessian which favours the stability
of the system. The value of ϵ ( Eq. (23) ) is chosen to ensure that
the denominator of the derivatives does not go to 0 and is suffi-
ciently high to ensure good conditioning of the Hessian. A value is
selected such that the impact on the derivative is limited to a small
region around singularities. A typical value for this parameter will
be of the order 10 −5 . (20) Focusing on a single term within the sum the expression can
be expanded. Appendix A. Calculation and differentiation of the volume
fraction (15) This formulation shows that p is only a function of the dis-
tance along edges of the snaxels ( d i ) and properties of the snaxel
grid, the direction of a travelling snaxel ( g i ) and the originat-
ing grid point ( g i ,1 ). For any vertex of the polygon which is not a
snaxel the entry into d C is replaced by a 0. Replacing Eq. (15) into
Eqs. (14) and (16) is developed. This form of the equation simpli-
fies the differentiation process with regard to d . A C = 1
2[(d T
C G T )[ R A ]( G d C ) + 2 g T
1 [ R A ]( G d C ) + g T
1 [ R A ] g 1 ] 2
(16)
∇ d A C = I d G T [ R A ] G d C + g T
1 [ R A ] G I d
(17) (22) (18) Appendix C. Differentiation of the objective function ∇ d h = ∇ d A 1 , ∇ d A 2 , · · · , ∇ d A j , · · · , ∇ d A m
(19) | F i | =
a i d 2
i + a i −1 d 2
i −1 + a i,i −1 d i d i −1 + b i d i + b i −1 d i −1 + c + a i a i −1 ϵ2 (23) (19) Appendix C. Differentiation of the objective function Appendix C. Differentiation of the objective function The differentiation relies on simple matrix derivation rules and
the symmetric nature of [ R A ]. In the previous equations I d is the
result of the operation ∇ d d C ; it is a rectangular matrix of ones
and zeros which has the effect of deleting rows and columns from
the equations corresponding to static vertices and inactive snaxels. ∇ d A C is the gradient of a VOS cell; it is a column vector of length
n (the number of snaxels in the profile). To build the full Jacobian
of the constraint ( ∇ d h ) the gradient in each VOS cell is calculated
using Eq. (17) and the resulting vectors are assembled to form the
matrix of Eq. (19) . The differentiation relies on simple matrix derivation rules and
the symmetric nature of [ R A ]. In the previous equations I d is the
result of the operation ∇ d d C ; it is a rectangular matrix of ones
and zeros which has the effect of deleting rows and columns from
the equations corresponding to static vertices and inactive snaxels. C.1. Formulation of the objective The SQP algorithm described in Eq. (2) requires the gradient
( ∇ d f ) and the Hessian ( H d f ) of the objective function with re-
gard to the design variable vector d . These can be calculated for
each segment of the snake. The norm of the edge vector can be
decomposed into Eqs. (23) and (24) . Using the same notation as
Eq. (2) and defining p i −p i −1 = F i . q
p
g
∇ d A C is the gradient of a VOS cell; it is a column vector of length
n (the number of snaxels in the profile). To build the full Jacobian
of the constraint ( ∇ d h ) the gradient in each VOS cell is calculated
using Eq. (17) and the resulting vectors are assembled to form the
matrix of Eq. (19) . Appendix D. 1 st and 2 nd differences of the objective function Additional convergence of the RSVS
This appendix presents profiles generated using the RSVS along
with the convergence history of the r-snake. This data is presented
in figures 24 to 28 . nd γ ̸ = i −1 then : ∂| F i |
∂d γ
= 0
γ = i then : ∂| F i |
∂d i
= ( 2 a i d i + a i,i −1 d i −1 + b i )
2 | F i |
γ = i −1 then : ∂| F i |
∂d i −1
= ( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
2 | F i |
(25) (26) Appendix B. Green’s Theorem in matrix form 1
2 ( p i + p i −1 ) T
0
1
−1
0
( p i −p i −1 )
= 1
2
p T
i
0
1
−1
0
p i + p T
i −1
0
1
−1
0
p i
−p T
i
0
1
−1
0
p i −1 −p T
i −1
0
1
−1
0
p i −1 A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84
81 A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 81 A similar process is followed for the second differences where
the differentiation is carried out with respect to d γ and d α. Appendix D. 1 st and 2 nd differences of the objective function γ or α ̸ = { i, i −1 } then : ∂ 2 | F i |
∂ d γ ∂ d α
= 0
γ = α = i then : ∂ 2 | F i |
∂d 2
i
= 4 a i | F i | 2 −( 2 a i d i + a i,i −1 d i −1 + b i )
2
4 | F i | 3
γ = α = i −1 then : ∂ 2 | F i |
∂d 2
i −1
= 4 a i −1 | F i | 2 −( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
2
4 | F i | 3 γ or α ̸ = { i, i −1 } then : ∂ 2 | F i |
∂ d γ ∂ d α
= 0
γ = α = i then : ∂ 2 | F i |
∂d 2
i
= 4 a i | F i | 2 −( 2 a i d i + a i,i −1 d i −1 + b i )
2
4 | F i | 3
γ = α = i −1 then : ∂ 2 | F i |
∂d 2
i −1
= 4 a i −1 | F i | 2 −( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
2
4 | F i | 3
γ = i ; α = i −1 then :
∂ 2 | F i |
∂ d i ∂ d i −1
=
2 a i,i −1 | F i | 2 −( 2 a i d i + a i,i −1 d i −1 + b i )
× ( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
4 | F i | 3
(26) γ or α ̸ = { i, i −1 } then : ∂ 2 | F i |
∂ d γ ∂ d α
= 0
γ = α = i then : ∂ 2 | F i |
∂d 2
i
= 4 a i | F i | 2 −( 2 a i d i + a i,i −1 d i −1 + b i )
2
4 | F i | 3 γ = α = i −1 then : ∂ 2 | F i |
∂d 2
i −1
= 4 a i −1 | F i | 2 −( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
2
4 | F i | 3 γ = i ; α = i −1 then :
∂ 2 | F i |
∂ d i ∂ d i −1
=
2 a i,i −1 | F i | 2 −( 2 a i d i + a i,i −1 d i −1 + b i )
× ( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
4 | F i | 3
(26) γ ̸ = i and γ ̸ = i −1 then : ∂| F i |
∂d γ
= 0
γ = i then : ∂| F i |
∂d i
= ( 2 a i d i + a i,i −1 d i −1 + b i )
2 | F i |
γ = i −1 then : ∂| F i |
∂d i −1
= ( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
2 | F i |
(25)
γ = i ; α = i −1 then :
∂ 2 | F i |
∂ d i ∂ d i −1
=
2 a i,i −1 | F i | 2 −( 2 a i d i + a i,i −1 d i −1 + b i )
× ( 2 a i −1 d i −1 + a i,i −1 d i + b i −1 )
4 | F i | 3
(26)
Appendix E. Appendix D. 1 st and 2 nd differences of the objective function The differentiation of 23 is considered in terms of d γ an arbi-
trary component of d , three cases are identified. Appendix E. Additional convergence of the RSVS Appendix E. Additional convergence of the RSVS This appendix presents profiles generated using the RSVS along
with the convergence history of the r-snake. This data is presented
in figures 24 to 28 . Fig. 24. Smoothness validation cases for one, two and three design variables. Fig. 24. Smoothness validation cases for one, two and three design variables. Fig. 24. Smoothness validation cases for one, two and three design variables. Fig. 25. Pseudo-aerofoil reconstructed with 16 design variables. Fig. 25. Pseudo-aerofoil reconstructed with 16 design variables. A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84 82 A.D.J. Payot, T.C.S. Rendall and C.B. Allen / Computers and Fluids 182 (2019) 60–84
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