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https://openalex.org/W2956669133
https://pure.eur.nl/files/48218774/REPUB_118464-OA.pdf
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
Frontiers in psychiatry
2,019
cc-by
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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, insufficient data and reliable concepts on the inflammation pathogenesis of MDD to design clinically applicable treatment REFERENCES J Affect Disord (2005) 88(2):167– 73. doi: 10.1016/j.jad.2005.07.008 6. Irwin MR, Miller AH. Depressive disorders and immunity: 20 years of progress and discovery. Brain Behav Immun (2007) 21(4):374–83. doi: 10.1016/j.bbi.2007.01.010 24. Pundiak TM, Case BG, Peselow ED, Mulcare L. Discontinuation of maintenance selective serotonin reuptake inhibitor monotherapy after 5 years of stable response: a naturalistic study. J Clin Psychiatry (2008) 69(11):1811–7. doi: 10.4088/JCP.v69n1117 7. 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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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Overeducation in the labour market
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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: https://hdl.handle.net/10419/219966 This Version is available at: https://hdl.handle.net/10419/219966 Terms of use: Documents in EconStor may be saved and copied for your personal and scholarly purposes. Die Dokumente auf EconStor dürfen zu eigenen wissenschaftlichen Zwecken und zum Privatgebrauch gespeichert und kopiert werden. You are not to copy documents for public or commercial purposes, to exhibit the documents publicly, to make them publicly available on the internet, or to distribute or otherwise use the documents in public. Sie dürfen die Dokumente nicht für öffentliche oder kommerzielle Zwecke vervielfältigen, öffentlich ausstellen, öffentlich zugänglich machen, vertreiben oder anderweitig nutzen. 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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. 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DOI: http://dx.doi.org/10.1080/09585190500405538 Melosik Z. (2013). Edukacja uniwersytecka i procesy stratyfikacji społecznej. Kultura-Społeczeństwo-Edukacja,1, Poznań. Piróg D. (2013). Wybrane determinanty tranzycji absolwentów studiów wyższych na rynek pracy. Dylematy współczesnego rynku pracy. Studia Ekonomiczne. Zeszyty Naukowe Wydziałowe UE w Katowicach, 160. Piróg D. (2015). A geography graduate's transition into the labour market in Po- land: a quantitative and qualitative evaluation of the process. Bulletin of Geogra- phy-Socio-Economic Series, 29. DOI: http://dx.doi.org/10.1515/bog-2015-0028 Rękas M. (2015). Sytuacja ludzi młodych na rynku pracy w Polsce i innych kra- jach Unii Europejskiej w latach 2008-2013. Studia Ekonomiczne. Zeszyty Naukowe Uniwersytetu Ekonomicznego w Katowicach, 214. y g , Sicherman N., Galor O. (1990). A Theory of Career Mobility. Journal of Political Economy 1 DOI: http://dx doi org/10 1086/261674 cherman N., Galor O. (1990). A Theory of Career Mobility. Journal of Political Sicherman N., Galor O. (1990). A Theory of Career Mobility. Journal of Political Economy, 1. DOI: http://dx.doi.org/10.1086/261674 Economy, 1. DOI: http://dx.doi.org/10.1086/261674 Szkoły wyższe i ich finanse 2014. (2015). Warszawa: GUS. Thurow L. (1972). Education and Economic Equality, The Public Interest, 28. Verhaest D. ,Omey E. (2010). The determinants of overeducation: different measures, different outcomes?. International Journal of Manpower, 31(6), DOI: http://dx.doi.org/10.1108/01437721011073337 Thurow L. (1972). Education and Economic Equality, The Public Interest, 28. Verhaest D. ,Omey E. (2010). The determinants of overeducation: different measures, different outcomes?. International Journal of Manpower, 31(6), DOI: http://dx.doi.org/10.1108/01437721011073337
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Structure and Petrology of the Red Hill Complex, Nelson
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Bio-hartt I rvlnt SaLe of t OF IIIE - BED IIfDI/ C0UPI'EI. NtsLS0N s!$4lttsa for t;bs daelBs of ,Dootsr d Phtloeanw in Beol.ogy at flre Tto,toa'la Unlvcattf d lo&lt {gtonr lf'l Ecal€nd. il&T .r9€5 Bio-hartt I rvlnt SaLe of t OF IIIE BED IIfDI/ C0UPI'EI. NtsLS0N s!$4lttsa for t;bs daelBs of ,Dootsr d Phtloeanw in Beol.ogy at flre Tto,toa'la Unlvcattf d lo&lt {gtonr lf'l Ecal€nd. CONBENTS CONBENTS - Page .....r"1 aBslts0cr nfNRODUCTION Seolog:ical Out1ine, fiel.tl work ancl seope of thesis o . Pre'qi.ous work AslimowL6ilgmento aaall.o aaataoa I+ .6 I ata.aaaao aaraata oo,aa,aat aa.arora oa!aaaa aa,.laa,a aaaoaaa aaaaa.t oaoaria aaaataa tla.aaa raaaoaa taoaota oaaa.aa aloaaoo tQfaaao (|aaotla ta'aaa.o .aatata oaaafta aa.ootta t|'oarta 10 r6 18 18 19 19 21 a ,a ,1 34 tu ttS r{o 48 I+8 w 52 52 56 # 6r PARI I. . STR4:IIBBIPIII Al$D @LEAI, eEpIOGt General g€olqgy PEoRUS eRoItP Star Fonoation Wether Formatl,on Wqrdl Fomation DL,stribution of fomatLons Goatent ancl petrogna$lryr Ptrwemnpe and tle4rositional envirqr€r* .{ge LE RIIfEn eRoIlP Soat Formatlon ^ Contmt Glennie Fornation Content UATTAI GRTIIP Tloodeil P€k LLoegtate Gwteut trwry Sedstone Gom,teut GredLLe Fom,tlm Bolrtent Shiua Fonnation - Page .....r"1 aBslts0cr nfNRODUCTION Seolog:ical Out1ine, fiel.tl work ancl seope of thesis o . Pre'qi.ous work AslimowL6ilgmento aaall.o aaataoa I+ .6 I ata.aaaao aaraata oo,aa,aat aa.arora oa!aaaa aa,.laa,a aaaoaaa aaaaa.t oaoaria aaaataa tla.aaa raaaoaa taoaota oaaa.aa aloaaoo tQfaaao (|aaotla ta'aaa.o .aatata oaaafta aa.ootta t|'oarta toaaaaa ?olaoao 10 r6 18 18 19 19 21 a ,a ,1 34 tu ttS r{o 48 I+8 w 52 52 56 # 6r 62. 62 PARI I. . STR4:IIBBIPIII Al$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$rses TE(ruRE Desaription ReoryotaLlizatlon aoaaaaaa aaaaa.aa aaaaaaoo aaoaaaaa aaaaaata aaaaaaaa aoaaataa aaaoaaaa aaaa.ota aaaaaaaa aaaaaaaa laaaaaaa aaaaaaaa o.o.....95 .o......97 o......o97 .t.t....97 ..... . .. 1O2 ... r o '.. 105 .t..o....1O5 ........1O7 ...oro..109 . . . . . . . . 112 ..... o .,. 115 ....,r...115 .....to.115 ..t.r...121 o...o...15O .o...br.132 ........132 ........f40 65 66 73 75 75 79 80 B1 81 85 BB B8 9o 92 DI]N IIOUM.A"TN IIIjTRAI{AFICS COUPOSISMN OF I'TIE BOCK9 Mineralogy Rock Types Chenical Arra$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 /..- T '.- '\ \- \ -' ,/ / \ /\tt , r [] nx ffimI l.-?.tt4 l/[il ltoA 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 e+TTTtRre .fan8 'euolstrruos uear8 pue enTcl '.tfanB 'amdrrrg tpeaT.rap cTrrBcToA eTqEuroJrroc eTqsuro$roc +TnB,tI +TNBd eTqEutroJruocsTG EeTcEJ e&rat1o eATBsar8srrazg, eftreqo eaTsserBsuer; eTc[BrrrroJuoc soTcBJ E+S ) ) ) ) ) ) ) ) ] ) ) )l J ) ) ) snroTsd gATII oeT T€+Tq!T r00Bt- rooZ s€rteT arEI .erb+strflres uear8 Jounu jeuolspnres rres.r8 1nru par pe>IcatrI se11lg8re faffi prre per se.mdrrp speaprep cTueoTo1 req+aa rOOOilf oo elrag-r8na pTfi' euo+s+Tts rarolsprres /Ceffi rrear3 'e.mclnrg 'paag.rep cTrrBcToA B;rBJT sncraJTrloqrBc rOoOt 'o egg1158.re pue euo+s+TTs tatrolstrnrras tercoarq cTrrecTo 3 sear1,turoTT16 +Pet rIBT.rBuDtBS 1rBT{st4+IV uenrr8trny r@O5 'o e4l1g8re pua suo+s+TTs 'enolsprres ta+T.reTop Ir.rB +T?s€q. clrygds Jo posocluroo EcTtrBcTo^ +eer{S eTrnreTfl rOott L- r0O5 euD+sputts rou.ru puB euo+sertrFT .+sT {Bed pePoo.ll, uETtIBz€)I IrB I.r€+Bt roof L-r005 e111g8.re Jorrgur ptra elD+s+TFs snoreigTTssoJ seuoqspuag '+ss rfellmrg, f oooE sesrraT e+B.reuo1' r.roc mroer.El pue euo+sgres r{+T.!tr a+TTTFRTB pe+strFuBl far8 +rup pue fanp eTTTaero e111a€re pa+Err.rurel uee.rts pue pe6 BnTBdt SSEI$DICI}TI TOO{B)FIfiTII tcv$Ioc do @InfivN .[DIfrVt[I0r dnolo sDv v'luff trIIH CEI fiO lllmml;nruilS CIUZOffM UIIIdn 'I qEV& r0OOZ 'c e+TTTtRre .fan8 'euolstrruos uear8 pue enTcl '.tfanB 'amdrrrg tpeaT.rap cTrrBcToA r00Bt- rooZ s€rteT arEI .erb+strflres uear8 Jounu jeuolspnres rres.r8 1nru par pe>IcatrI se11lg8re faffi prre per se.mdrrp speaprep cTueoTo1 rOOOilf oo elrag-r8na pTfi' euo+s+Tts rarolsprres /Ceffi rrear3 'e.mclnrg 'paag.rep cTrrBcToA rOoOt 'o egg1158.re pue euo+s+TTs tatrolstrnrras tercoarq cTrrecTo 3 sear1,turoTT16 r@O5 'o e4l1g8re pua suo+s+TTs 'enolsprres ta+T.reTop Ir.rB +T?s€q. GENMAIJ GEOIOGY clrygds Jo posocluroo EcTtrBcTo^ +eer{S rOott L- r0O5 euD+sputts rou.ru puB euo+sertrFT roof L-r005 e111g8.re Jorrgur ptra elD+s+TFs snoreigTTssoJ seuoqspuag f oooE sesrraT e+B.reuo1' r.roc mroer.El pue euo+sgres r{+T.!tr a+TTTFRTB pe+strFuBl far8 +rup pue fanp e111a€re pa+Err.rurel uee.rts pue pe6 SSEI$DICI}TI TOO{B)FIfiTII d.rro.rg ,\rU*V aI s rs3ilI srHt -r;r- _-a_a_d _ rl+ 7+.}++ ,*+ i + ++ ^i + i:,; (€96t U 3(nY1 I SnOn !3rvru _\trO)iJ -03)}SJNI_ ,"*U f srrop/ t I a"rag { ywl t votlvvrroJ €JS nr otlur.toJ .AIprU Morl^^i,rJg pryA duo.rg suoPd EIV?J OJ NMY)C ION SN\,'INlO? :3ION a1 t1o{t\-c1! "nrU{Ct? a11p1r9.ry- '.'tI "ltt11 a111 1dg 1'\ qtlt'l (raql,.g arlpeda;:),r 9)rsuq?J{10 ,,^nO f "t!|l{g ^{rlqJ. a^[{r'i raFarg 0{o{:P.rt 7l1row c1oy.e*v/ '"1n 9 e1o1,h.r21 lll tlalg la^a1nt 'o"l', qavr.1^"adrT) f c*wt61,tr la11"sro.rJ DvolstauPJ\ r,vx dmrg laa!U "rl ( -lt "h h^ro{.^a..r,:pes q*e[ v.tra€. z,wcp^)4 (,a1*t.a[ v^ol Mgtt ) _ -o!1tauo1 41ro? 5r!jrrv4?r+tn rrrulvnolA/ "0( (*7*4,t hrulva,rrpag) (selwo1o1 {@\s) (ot>ntq :1^.aqo4) "?,,l*r% ?,uu"tg t "l*rqr11 "tralePv4ej' "vapawrl 14a ?WN '+s5 - ho"^r'rq1 . ?il1^arg ( clpad *f) ' f?tvPqOA !l'1% dnolg i?l0w t?9 vtttu.rllfl r]rlvno),r/ ^roC '?\oJsourtJ i*d PePooA 'J=S tnvnwvl Nr srrm; riciB8lil+;le !l* 'Uzcfl ?rno6rErv^rj sNorrv'lauxo? 9Ntrv)rsn11L sN}{nrot cxsrlvl(L /t , -l /r\\/ a\ /\ \ , -'J, ( l( i: )t , I trr-/ f a /\ f rt \ / \ ('\r t (-l / ) \ ( .. -\'t ( I ( t\ t I / /.r \l \1 t/f ,-:i.,' ?+|t I * tr* * 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 ts ft ffi o (, ! c, cot 3 t_f .EtI {s .gr lr I tr -l CI! g IJ CJl =J lrJ F E, rdz, lrJ E, l4J :trF 1r-o (L N F tritt; =+ T3 E L.'.) .t.!\. t- tl,'7 <X. { E E' /. a a :l , :1./,,/, / I ,il /,f,r7/T J l'- IY tA! I tI. IW-t | \ zt fr -a I ff-^ lf o t 1.1 / lI ,Af t\ -\ f il tt..\< tlllf z'\\ , Ft -\r I..t / | -- | q>/ \'j w{<< g \\-./:6 /i\. .7 t n - \\' --,/ t-\\t r \7 \.\ l a \ - -r - -t .t C,c .o lo : ; ."-' ;o.\' .a...d 4i^:> dj..\N '.\! .t.i.' s {(s?$ wu wilr* k\<i W i7< \.A'ds CJl =J lrJ F E, rdz, lrJ E, l4J :trF 1r-o (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 t l l t il d l i i f h i L 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 rs , -rs- a t._t .c- XC' o' +l -l c .:: !. C r_) q- o -i -J {-' =b".'i ( o) #c ( r .t-l r\ +- i: >i l- OL1 f:U fl - -a-i f i> -!- . ,:., LFi n.C .F (,lt .tl 'rl O' f -' t-t a t._t .c- XC' o' +l -l c .:: !. C r_) q- o -i -J {-' =b".'i ( o) #c ( r .t-l r\ +- i: >i l- OL1 f:U fl - -a-i f i> -!- . ,:., LFi n.C .F (,lt .tl 'rl O' f -' t-t a t._t .c- XC' o' +l -l c .:: !. C r_) q- o -i -J {-' =b".'i ( o) #c ( r .t-l r\ +- i: >i l- OL1 f:U fl - -a-i f i> -!- . ,:., LFi n.C .F (,lt .tl 'rl O' f -' 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 $l a rl>rr$lrc\l ct\ 9\ o\ o\ ct\ cr o\ € { €€8€€ .rrAOcO €* fi* 4" l'lxil F H $ $F H ,-f A r-++ -. t{ R !{; t{ }4 \r \r l*- @ I> l-* oO @ S EBtsSH S'R rn \o \o \o \o \o \gl \o .t.ftt.a a...rt'T-iH!.t. 6ssr:+ d S-'H H x S H* x aafir Frt+Fts = s. f;s B .f; $ * s il s * sfr s H @ |f,.1 x x x flS x a'| I .j J t'rl rd : Dr\R${H J HH o #d tf\ o 'E+ ln art q)atrr d f, rC dct o '$H{ = r{ ll il{ flsd @ (\| @ R r(.\ B f Hg e+ o t .19 AIlJ lrl .fl En - a-- .L Fl .H-,J '[€ fi3 @co o lf\ ot> tr B'a -+ x\ FI $$H (\l: \otrs a'F t: i H HH g! €|O \oI s H (\l rR \o Ir 0l FI rn{ & rlo o H H HRASGS 8 SSSSSS #FF*r-Fr -tlf - .$ f,d $o oo'rlfi @ H trl rd.I Hl $ HI ,r, Hf lHl $lElE Hl $ Fatgt F-t r -l 7llVI fl$ 'q $ H I _0n @C\tOOO(OOOO\f..-t 030\(I\c6\@(r\c'\co@o\ € € 868t'5€6 €fi€ a H Fqld g B ll H riN rf\ rn c{()t\. I -+qd f-$ Hg h sg rrt f rH FO F\ ll osdB o $ 9- HL. g .H d tl HE 4d d3 5 gt rn @ E l.-r $' \o T o +t .d $€! (\I @ @ 'rtH oo$F EE -€ .g c\| \o co l-l.a ofi fl aF A t{H},{XH}t HXI4H f,t o f* r,f\ tn\Or\OO\@rr\OC$gr\O o\cE)o\t--oJn-c|'\f-o\r-@ \o r.c\ \o \o \o \o \o \o \o \o Ln x aoffoaaalol.a iri.t-.rFi-{-!.s-t- OOO€r\O @co@t*@ [N \O H H X H H H I{ H tnTO \C) aaaaa rfrs H hn r.n teJ rn .+ q\u\rnrnF \o- x \o- H \o- lt \o' H [r\ t{ oeaaa FrFT-f f* c\| Lft t- \o rn aa sr oHoo'H fis$sfisfisfis fis$$ .+ s,o @ Ff.l o 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 h\ " g?('x-ern-Lt g SpcrL*Lt Lta DLops d ,L 28. clagglflcatlon of pyrorene beirtng :Berld,otl.teg. Ftg. -122- d m C{ cO c{ r c\t C\l c$ 11 c{ crJ crl XXXXH|4Hr.1 o\XH H r.t\ -+ cC )1 tf\ rr\ Ln X HOC! l- rcf -+ tnd-!h S$Sr-:\cl--P\oN-! c\| c{ \O -+ F- crr .r f- O\ CD p- F.- Lf\ I.* o\q\o\co+-+rrt(r\.s.c \O\O\CO-\+rNNF+ $xsorcslf\_+ HHSSp*$ FqF HH HH T H bmFIri>tFtrpqFrlp H@rr\r ic\ .- C\l f- BI-l I,l Hl HI x$F= H= n H frHFF$FHgFFF $KH= s F, Rf RHRHHSilSH -s-s3A 4 o $HFE, H e n, -q t fiEf 'i"fi.", t t . t fl E ff .'H ^H .'E Tql*rs $ T H s s-q H t $ r r d fi * €B f,$ B B r -E A .e B i B r E E E E $ $ $ fls rl E E fi H E H E E E E SS RF F N F f F F F ts-d R8 s' 6 s € q8888888 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 fl +t ll fl +r o H .$ t{ c)R Pl p 9-ro Htr{ .qo ,O{ F){ F tl t c)g .s F{ C) H F q-l o f F, t{o E 'Jtl H a FI .R d tD d !l 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.-?\ $t) €€Uilo - _ \ , \ t,. \ | Trrr\ Uf U \. 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.-?\ $t) €€Uilo - _ \ , \ t,. \ | Trrr\ Uf U \. r. - . \ \. , ,-'\r\ \l-r\\/ (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 .d f c '-r E -lIc 'r{ f .rl . -lo o+ tr< ..'t F|,- OFi '-l 5 fN aF{ q c,j !DS EI r{ e) (l)'r{ f-.4{ + CUq t (l) Ln€ $.'f o o$r a0 .'-l c F. .l-t tr .d f c '-r E -lIc 'r{ f .rl . -lo o+ tr< ..'t F|,- OFi '-l 5 fN aF{ q c,j !DS EI r{ e) (l)'r{ f-.4{ + CUq t (l) Ln€ $.'f o o$r a0 .'-l c F. .l-t tr .d f c '-r E -lIc 'r{ f .rl . -lo o+ tr< ..'t F|,- OFi '-l 5 fN aF{ q c,j !DS EI r{ e) (l)'r{ f-.4{ + CUq t (l) Ln€ $.'f o o$r a0 .'-l c F. .l-t -1 54- a0c .Fl P f o g 'r{ {J.(ii o go .Fl g go r-l O'o oa ru.rl (t) m+ Cr .r{ obc .r{ h 'rJ 3 lp F{N ct{ Ad @,4 'dl t-{ O o{J Eq .rlg a 4c a\o€ -<ro h .O h0 >) .-l d hrr a0c .Fl P f o g 'r{ {J.(ii o go .Fl g go r-l O'o oa ru.rl (t) m+ Cr .r{ obc .r{ h 'rJ 3 lp F{N ct{ Ad @,4 'dl t-{ O o{J Eq .rlg a 4c a\o€ -<ro h .O h0 >) .-l d hrr -155- aOC +,4 .-l -J, 5 C gi-. 'FC -L- \. ,L .r{ -, Lf-'-] ( .F :t .F{ (1, -i i]co .-r A_ \Fl e .{-: c0' -l +0i Ar \!)': cr tr, 0: Q) Fl x.ch t^. a .. _J r_) q L-t a- !- rL' \,' # f'-tg L#'r1 g i-r f .r'1 -- - --: !L=ir i- ('; '--i Ft a n. hJl o, 'ri J: c' i 3r -.t tr ho c,+- -: '-lc- o{l ?r: l< .t-o cah C< >) Igr ?' i,+ (-: (-\ otc # c. s: o .- f- C .r-{ (rg F1 =o--o .+J c*- fui .rl -+c# .r{ i .P: b0 +: hr) .r1 = (D f-. O {1 ,t; ', ttrl c t l 55 aOC +,4 .-l -J, 5 C gi-. 'FC -L- \. Description ,L .r{ -, Lf-'-] ( .F :t .F{ (1, -i i]co .-r A_ \Fl e .{-: c0' -l +0i Ar \!)': cr tr, 0: Q) Fl x.ch t^. a .. _J r_) q L-t a- !- rL' \,' # f'-tg L#'r1 g i-r f .r'1 -- - --: !L=ir i- ('; '--i Ft a n. hJl o, 'ri J: c' i 3r -.t aOC +,4 .-l -J, 5 C gi-. 'FC -L- \. ,L .r{ -, Lf-'-] ( .F :t .F{ (1, -i i]co .-r A_ \Fl e .{-: c0' -l +0i Ar \!)': cr tr, 0: Q) Fl x.ch t^. a .. _J r_) q L-t a- !- rL' \,' # f'-tg L#'r1 g i-r f .r'1 -- - --: !L=ir i- ('; '--i Ft a n. hJl o, 'ri J: c' i 3r -.t tr ho c,+- -: '-lc- o{l ?r: l< .t-o cah C< >) Igr ?' i,+ (-: (-\ otc # c. s: o .- f- C .r-{ (rg F1 =o--o .+J c*- fui .rl -+c# .r{ i .P: b0 +: hr) .r1 = (D f-. O {1 ,t; ', ttrl c t -l 55- tr ho c,+- -: '-lc- o{l ?r: l< .t-o cah C< >) Igr ?' i,+ (-: (-\ otc # c. s: o .- f- C .r-{ (rg F1 =o--o .+J c*- fui .rl -+c# .r{ i .P: b0 +: hr .r1 = (D f-. O {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 - q-r . o rr) # ''-'. rl 4., C.No\ C'- .r{ r-l *:o\ cl U) c. Q: r- a -i, (\ .d fco F0) u u,' i .n ;-:. t-. !, )q +r. C/^ r0 .g '<r t*- i rO /r, rl Ct f-:: .I \tl O - q-r . o rr) # ''-'. rl 4., C.No\ C'- .r{ r-l *:o\ cl U) c. Q: r- a -i, (\ .d fco F0) u u,' i .n ;-:. t-. !, )q +r. C/^ r0 .g '<r t*- i rO /r, rl Ct f-:: .I O - q-r . o rr) # ''-'. rl 4., C.No\ C'- .r{ r-l *:o\ cl U) c. Q: r- a -i, (\ .d fco F0) u u,' i .n ;-:. t-. !, )q +r. C/^ r0 .g '<r t*- i rO /r, rl Ct 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 -{ Li co r_' JJ, .A € 0iB c J- q-i o fOI c, #d c.l( 6l O g h al,c+ oz ao 00 a U) .d Fq JJ, .A € 0iB c J- q-i o fOI c, #d c.l(\| 6l O g h al,c+ oz ao 00 a U) .d 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 h0h{p N t{ RI ,g Io€ .ds rd h0g .-l P-P5o g .rl o o€ 'rl v)os€ t-ros a 'ac l\q co 'il e (l) q0h 'd(d fuF4 5o g .rl o o€ 'rl v)os€ t-ros ' -246- Or #o: .-t '-l c. 7'L F- r< .i.ri t, fi, <f .. ,,^, !; L; 'r-1 a .-{ P \L i.), 'a C.v if !- F; t! co i! .l '> F^ -- .-.i o -t F .io -) -l rC o*# c a .r-{ bj- .'f' I lJ ,? I I iF: ffi :*t{'; ilr ,tI i. ;r:,' (;. I .i Or #o: .-t '-l c. 7'L F- r< .i.ri t, fi, <f .. ,,^, !; L; 'r-1 a .-{ P \L i.), 'a C.v if !- F; t! co i! .l '> F^ -- .-.i o -t F .io -) -l rC o*# c a .r-{ bj- Or #o: .-t '-l c. 7'L F- r< .i.ri t, fi, <f .. ,,^, !; L; 'r-1 a .-{ P \L i.), 'a C.v if !- F; t! co i! .l '> F^ -- .-.i o -t F .io -) -l rC o*# c a .r-{ 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 oA, F.r 0l lic t, >r 'r{ti.(t h \c f'. .r t n cic + -l-tsr rL i- rd o o a, t m.d+ o (' Hl+ F{ a' r-s q+ .r-i .r 9-i -l oo op{ -,^ \-/ €- OC f 'rl O A/' tf 7 :, Fr(+J t- qJ .- 'lH +- C<- .rl P d f. a4 tr--Pc .-t4.q( Egt',(f; .r-t ^Fit{ r-l O) ar:o.E (1rrg L \-/ bC +: (-i: 'r{ 'g F,- a\ C \-/ + l.u .rl E tr0]'/: Oj€Qr. h .-1 ,d ha (.9"c. -r5C)'l-1 \/ -(\ >! gr 'n C) r.{ C\/+ ts'SdhCC zs'! ni -l um.d o, Fl,l-Q-t rIho \coc- r{ O r-t r,- cro) .+W-m Cf. .r1 O C (f\ # q-r ^d ' '- tu c.j (.0j-(J q.Cro opr-\a F,(l-!,-{ O tr f{ c,, +c*fcJ 5o-a': o p.r.o.c o i_ {i c tr.Ar- l{ c, Ut f. ,! rt rrr 0+=,;- t{ p c,- O' q-{ N Fr ,Aa''.- -uHui- LriO o.t.,,q+- A{q+O o '15 ii .-i flF. Fl{J O\O:,O, a{ AHA .+.rl+ h0E .rl O fu +r P-€-o a oA, F.r 0l lic t, >r 'r{ti.(t hn \c f'. .r-l tJ n cic + -l-tsr rL i- rd o, o a, tr m.d+ o ('. Hl+ F{ a'. PORTTR.S K}rcB flNCROP r-s q+ .r-i .r{ 9-i -l oo op{ -,^ \-/ €-( OC f 'rl O A/' tf 7 :,- Fr(+J t-^ qJ .-l 'lH +- C<- .rl P d f.) a4 tr--Pc .-t4.q( Egt',(f; .r-t ^Fit{ r-l O) ar:o.E (1rrg L \-/ bC +: (-i: 'r{ 'g F,- a\ C \-/ + l.u .rl E tr0]'/: Oj€Qr. h .-1 ,d ha (.9"c. -r5C)'l-1 \/ -(\ >! gr 'n C) r.{ C\/+ ts'SdhCC zs'! ni -l um.d o, Fl,l-Q-t rIho \coc- r{ O r-t r,- cro) .+W-m Cf. .r1 O C (f\ # q-r ^d ' '- tu c.j (.0j-(J q.Cro opr-\a F,(l-!,-{ O tr f{ c,, +c*fcJ 5o-a': o p.r.o.c o i_ {i c tr.Ar- l{ c, Ut f. ,! rt rrr 0+=,;- t{ p c,- O' q-{ N Fr ,Aa''.- -uHui- LriO o.t.,,q+- A{q+O o '15 ii .-i flF. Fl{J O\O:,O, a{ AHA .+.rl+ h0E .rl O fu +r P-€-o a oA, F.r 0l lic t, >r 'r{ti.(t hn \c f'. .r-l tJ n cic + -l-tsr rL i- rd o, o a, tr m.d+ o ('. Hl+ F{ a'. r-s q+ .r-i .r{ 9-i -l oo op{ -,^ \-/ €-( OC f 'rl O A/' tf 7 :,- Fr(+J t-^ qJ .-l 'lH +- C<- .rl P d f.) a4 tr--Pc .-t4.q( Egt',(f; .r-t ^Fit{ r-l O) ar:o.E (1rrg L \-/ bC +: (-i: 'r{ 'g F,- a\ C \-/ + l.u .rl E tr0]'/: Oj€Qr. h .-1 ,d ha (.9"c. -r5C)'l-1 \/ -(\ >! gr 'n C) r.{ C\/+ ts'SdhCC zs'! ni -l um.d o, Fl,l-Q-t rIho \coc- r{ O r-t r,- cro) .+W-m Cf. .r1 O C (f\ # q-r ^d ' '- tu c.j (.0j-(J q.Cro opr-\a F,(l-!,-{ O tr f{ c,, +c*fcJ 5o-a': o p.r.o.c o i_ {i c tr.Ar- l{ c, Ut f. ,! rt rrr 0+=,;- t{ p c,- O' q-{ N Fr ,Aa''.- -uHui- LriO o.t.,,q+- A{q+O o '15 ii .-i flF. Fl{J O\O:,O, a{ AHA .+.rl+ h0E .rl O fu +r P-€-o - -25O- HSF=E '..riffi)€S Ft. ,-3: Fi 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 $fe, 1951). The Recl HiIL CoropJ.ex is therefore considerecl to have been oplaced. as a near surface zubraarine intnrsion of crystalline periclotitetmagrnat which metamorl*rosecl superficial clqtosits. The cover ilcludirg intnr<lect clastLc sedirents was probebly no mtre than 1000 feet tluick ancl possibly nuclt lesg il pJ.aceo. lhe ultnmafics were later overLain and irrtmttect by basaLtio magna. Irirnestone waa clqlositecl as reefs on those parts of the volcardcs near sea 1evel ancL Lateur in furn overlain by sand.stone and ar6iLlites. -265- RETIERENCES Albeee A.t. t L962, Relationship between the nineral association, chenical courposition antl physical properties of the chlorLte series. .A$. Mineralogist, v.47r po B5L-870 At1as, L. r L952, Ttre pol3nnorphisn of MgS10.-CaIvlgSLZA6. Journ. Geol, vo 50, pr L25 Bailey, E.B.r ancl lficCallien, [.J. , 1953t Serpentine Iavas, the Ankara Melange and the Anatolian thrustr Roy. Soc. Eclinburghr Irans. g vr 52, pt. 2, po t+O}-\)C. 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Soc. lnerLoa litcoolr 8O Hey, I.H., 1!!1, I ncr revlar of the ohl'orltesr ldla. llato r v. 5O, p. 277 frrinel [.1f., 196r, OrJ.gtn otr. the ultra.naftc couplsr et Duka falend, louth-eaater.tl lleske. lfi.n. Soc. lnerice Spectal Paper no. 1, P. 56-t+5 Jackgoa. 8.D., 1961, h5,nar.5r tertures antl nlneral agsoetatl.ong Ln the tll.tranef,tc 7.a ne of the Stt}lrater Couplex, lfontane. Profo Papo U.9. Gool. 9urr. 158 -270- Johannsen, A., 1957t A Desorlptlon Petrography of the fgneous Rocks. vo 3t Univr Cblcago kess, 36tpp. Kenngclye G.G., L95Ot A porbton of the systeur siLica-rater. Bcon. GeoL. vr l+D t po 629-653 Kenngclye G.G., L95Ot A porbton of the systeur siLica-rater. Bcon. GeoL. vr l+D t po 629-653 Kuncligr 8., 1956, t'he position in time and. space of the ophlolites rlth reLatLon to orogenic metanorphism, Geologie en Ml,inbouwo LB po 105-Il4 Laclurtrer, J., L956, Das Verhalten des Olivins als Geftrgekora in einigen 0Livinge steinen' Tgchernaks Mtn. Petr. l,{itt. JeF. , B , 5 t Pr 2l-36 Laud.er, R., in press. Structrrre and Petrol,ogy of Dun Mountain. Part I ancl ff , N. Z.J . GeoL. Geophys. Lealcel B.E. , 196l+, Ner light and the Dawros Periclotite, Corutemara, Irelandr Geol. Mag. r v. 101 p. 6r'7, Lensen, G.J. , L962, Sheet 16, Kaikoura (fst Ed.. ) Geo),ogical Map of Ner Zeal-end. LzZjOrOffi, Dept. Sci. Ind. Regearch. Wellington New Zeals,nd Lipnan, P.IL' L964, Stnrctrrre and origin of an ultramaflc pluton in the Klarnath Mountal-ns, Californla. .0mo Jourr ScL. r v. 262, Pr L9Y222 Itacitonald, G.A. r end Katsura, T. , 196l+, Ctrenl,cal, conposLtion of Hawaian Ievag. Jour. RETIERENCES Petrol.ory, vr 5 r pr B2-L35 McKayr 4., 1878r Report of the rtlstrict betreen the traLrau anil Motueka Valleys N.Z. Geol' Survr Rep. geolo &qllorrr 1878-79 (fZ) Pr 97'LZL lfiaokenrie, D.B., 1950, Hlgh-t"nperature llpine-tJrpe prldottte fron Venezul.e. Geol. Soc. Anerica Bull. yo 7l., pr ,O}tl.9 llalalroff, A. , L%2, The Geolo6r anrl GravLuetrl,c gtudlies of the Tophouse Dlstrlot, South Nelgon. Unpubltshed HoSc. thegia. Geology Dept. Vtotorla Urdverslty, Telltngton, N.Z. -27 L- Migllorid, C.f .p &ntl Kuenan, P.H. t L950, Turblctity currents as a caus€ of gra,Ab.d bedltling. Jour. Geology v. 58, pr 91-L27 trtrunro, Mor L963, Errors ia the ne&surement of 7( rith the universal stage. Amer. Mineralo6lstr v, l+8, pr 308.^323 OrHara, M.J.r and Mercy, E.L.P., 1963, Petrology and. petrogenesls of some 6arnetlferous perirtotites. Roy. Soc. Ed.lnburgh lbansr vo 65, Po 25l.-3J4- Ragair D.M., 1963, Enplacenent of the IH.n Slsters Dunite, Ifashington. Am. Jour. ScL.r vo 26L, po 5l+y565 Raleigh, C.B. , 1963, Fabrlcs of naturally ancL e:qperimentally ctefornecl olivine. Unpublishedl Ph.D thesls Univ. Californiae Los AngeJ.es Reed.r J.J., L957, Petrolory of the lower Mesozoic Rocks of the Wellington District. N.Z. GeoL. Surnr, BuIl. rreso 57 Reetlr J.J., 1959, Sod^a-metasox0ati.sed argillitee assocated. rith the Nelson IBtranafic Belt. N.Z.J. Geol. Geophysr v. 2, po 905-9L5 Rossnan; D.L.r Fertranclezr N'S., Fontanosp C.A., and Zeped.ap Z.C.t 1959. Chromite d.eposits on fnsular chrourite Reser:vetl,on No. I, Zanbeleg. Pbt11"tp. Bureeu of Mines, Speclal project serleg noo L9 Rossr C.S., Fosteri M'D., and Myerse A.T., L95\ Ortgtn of dunites and olivlne-rlch Lnclusions ln bagaltic rockse .0mer. Mineralogist vr 39, Pr t+56..t+62 Rothateln, A"T.V. , 1957, The Damros periclotite, Corurenara, Eire. Quart. Jourr Geol. Soc. Lonclon v. IIJr pr t-25 Snl,thr J.R. , J;957 r Optlcal properties of heated plagloclases (^lnnuaf Report DLreotor GeophJrs. Lab, ) Cone6ie fngt. Washington, Yr. Book no. 56, Pr l-25 Snithr C.H. 1958r Bay of Islancls fgneous Conplex. Canad.a Geol. Sur:v. Mem. 290 -27 2- Sug6atee R.P. , 1963, The Alpine Fault. transr Roy. Soco N.Z. y.2 (n.s. ) p. LO5-]-:29 Sutton, J., and Watson, Jo, I95L, Varying trencl,s in rneta^morphisn of doLerites. GeoL. Ma6. vo 88, po 2r-r5 fal.iafTerro, N't. , I9l+3t Franclscan-Knorville Problen. Bu].L. Amr Assoc. Petroleun Geol. ve 27 r pr IO9'2L9 TlraSrer, T.P. , L96O, Sone cfitical di,fferences betreen .llpine-true ancl Stratlfor"n perioclolitg-gabbro semFlexes. 21st fnt. C'eol. Soc. Psrt l3t pr 247-259 fira5rer, T.P. , 1963, Elonlayering in Alpine-t3rye periclotlls-gabbro complexes. Min. Soc. Anerl,ca Special Paper no. RETIERENCES 1, p.55-6L fironson, R., 1935, Sudburite, a meta,morphic rock near, Suclbury, Ontarior Jour. Ge o1. Yo l+3, pr l+27-l+3l Tsuboi, S., 1955, Petrological notes (f) - (fO). Japanese Journ. Geo1. Geogr. Tr L2, pr 110 I\rrner, F.J. , 1933, The metamorphtc anrl lntrusLve rocks of southern Ifestlantl. Trans. Royo Soc ' e N. Z. , T. 65 , p o 179-284 Turner, F.J. , l9l1€, Prefemecl orientation of olivine crystals in perioclotites, wlth special reference to New Zealgnd exarrryles. T?ans. Royr t*._, N.Z. r v. 72, po 280-100 furner, F.J., and Verhoogen, J., 1960, Igneous and MetanorAhic Petrologyr 2ncl Ed. tc0rar-Hlll, Ner York llurner, F.J., and. f,elss, L.E. , 1963, Stnrctrrral AnalysLs of Meta.morphlc Tectordtes. lst Ed. MoGrar-IIlJI, New York Tnenhofel, [.H. r and othersr J:g32t Treatles on sedlnentation (Zna Bd. ), Baltlnore, f,llliams ancl lfilldns faterhouse, J.8., I;959t Stratlgraphy of the lower part of the lfaitai Group, Nelson. N.Z.J. Geo1. Geophys., vr 2, pr 9tal*-953 -27 3- ltaterhouse, J.B. , L%l+, Permlan Stratlgraphy and Faunas of Ner Zealand.. N.Z. Geol. SurY. 8u11. nose 72 Fellnanl H.ff. , 1955, Data for the stucly of Recent ancl Lrate Pleistocene Faulting in the South Island. of New ZeaLand.. N.Z.J. Sci. Tech. B. 5\ pr 270-289 Wellmanl H.[. t L956, Structural Outline of Ner ZealancL N.Z. Dept. Sci. Ind. Research 8u11. l,zL Ililkinson, J.F.G.1 L955t Some aspects of the Alpine-tflpe ser?entiniteg of Queensland. Goo1. Mag. ve 90, pr 305-53L trillians, H., Turner, F.J., end. Gllbert1 C.M.' L95l+, Petrography. An trillians, H., Turner, F.J., end. Gllbert1 C.M.' L95l+, Petrography. An introcluction to the stu{y of rocks in thln sections' FreBm&Dr San hlncisco. [oocl, 8.1,. , L962, Sheet 22.. WalcatLpu. (fst Bd,.) Geological Map of Ner Zealanclo lz2j0rO00. Dept. Sci. fnd.. Research. trelIihgton, N.Z. ffylJ.te, P.J. t 1958, Discrepancies between optic aJda1 angles of olivines oyer different bisectrlces. Aner. Ivtineralogistr v. l+4t po 49 Yorler, H.9., and. Til1ey, C.E. , 1962, Tlre origln of basaltic ns,gnaso Jor.ro Petrology, vr 5t po 5I+2-552. H.9., and. Til1ey, C.E. , 1962, Tlre origln of basaltic ns,gnaso Jor ro Petrology vr 5t po 5I 2 552 -27 tr-
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Cilostazol Inhibits Accumulation of Triglyceride in Aorta and Platelet Aggregation in Cholesterol-Fed Rabbits
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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 the SAS software (release 9.1, SAS Institute Japan, Tokyo, Japan). Cilostazol Reduced Aortic Triglyceride in Rabbits 22. Rizzo M, Corrado E, Patti AM, Rini GB, Mikhailidis DP. (2011) Cilostazol and atherogenic dyslipidemia: a clinically relevant effect? Expert Opin Pharmac- other. 12: 647–655. cGMP-inhibited phosphodiesterase, in vitro and ex vivo. Life Sciences 61: PL383–389. cGMP-inhibited phosphodiesterase, in vitro and ex vivo. Life Sciences 61: PL383–389. 32. Park SY, Lee JH, Kim YK, Kim CD, Rhim BY, et al. (2005) Cilostazol prevents remnant lipoprotein particle-induced monocyte adhesion to endothelial cells by suppression of adhesion molecules and monocyte chemoattractant protein-1 expression via lectin-like receptor for oxidized low-density lipoprotein receptor activation. J Pharmacol Exp Ther 312: 1241–1248. 23. Brousseau ME, Hoeg JM (1999) Transgenic rabbits as models for atherosclerosis research. J Lipid Res 40: 365–375. 24. Rizzo M, Taylor JM, Barbagallo CM, Berneis K, Blanche PJ, et al. (2004) Effects on Lipoprotein Subclasses of Combined Expression of Human Hepatic Lipase and Human apoB in Transgenic Rabbits. Arterioscler Thromb Vasc Biol 24: 141–146. 33. Okutsu R, Yoshikawa T, Nagasawa M, Hirose Y, Takase H, et al. (2009) Cilostazol inhibits modified low-density lipoprotein uptake and foam cell formation in mouse peritoneal macrophages. Atherosclerosis 204: 405–411. 25. Hirano K, Ikeda Y, Zaima N, Sakata Y, Matsumiya G. (2008) Triglyceride deposit cardiomyovasculopathy. N Engl J Med 359: 2396–2398. 34. Ishizaka N, Taguchi J, Kimura Y, Ikari Y, Aizawa T, et al. (1999) Effects of a single local administration of cilostazol on neointimal formation in balloon- injured rat carotid artery. Atherosclerosis 142: 41–46. 26. Hokland BM, Slotte JP, Bierman EL, Oram JF (1993) Cyclic AMP stimulates efflux of intracellular sterol from cholesterol-loaded cells. J Biol Chem 268: 25343–25349. 35. Iba T, Kidokoro A, Fukunaga M, Takuhiro K, Ouchi M, et al. (2006) Comparison of the protective effects of type III phosphodiesterase (PDE3) inhibitor (cilostazol) and acetylsalicylic acid on intestinal microcirculation after ischemia reperfusion injury in mice. Shock 26: 522–526. 27. Girman CJ, Rhodes T, Mercuri M, Pyo¨ra¨la¨ K, Kjekshus J, et al. (2004) The metabolic syndrome and risk of major coronary events in the Scandinavian Simvastatin Survival Study (4S) and the Air Force/Texas Coronary Athero- 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 monocytic cell adhesion to vascular endothelium via up-regulation of cAMP. J Atheroscler Thromb 14: 213–218. 28. Amarenco P, Goldstein LB, Callahan A 3rd, Sillesen H, Hennerici MG, et al. References Sudo T, Ito H, Ozeki Y, Kimura Y (2001) Estimation of anti-platelet drugs on human platelet aggregation with a novel whole blood aggregometer by a screen filtration pressure method. Br J Pharmacol 133: 1396–1404. 19. Dawson DL, Cutler BS, Meissner MH, Strandness DE Jr. (1998) Cilostazol has beneficial effects in treatment of intermittent claudication: results from a multicenter, randomized, prospective, double-blind trial. Circulation 98: 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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https://zenodo.org/records/1277499/files/article.pdf
en
A fast low noise CMOS charge sensitive preamplifier for column parallel CCD readout
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public-domain
2,534
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.
https://openalex.org/W1904614428
https://bmcplantbiol.biomedcentral.com/counter/pdf/10.1186/s12870-015-0583-5
English
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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
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cc-by
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© 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 2,3,7, 8-tetrachlorodibenzo-p-dioxin-induced immune suppression in 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 P-450 in dioxin toxicity. Biochem Biophys Res Commun. 1990;172(3):1180–8. 11. Rifkind AB, Gannon M, Gross SS. Arachidonic acid metabolism by dioxin-induced cytochrome P-450: a new hypothesis on the role of P-450 in dioxin toxicity. Biochem Biophys Res Commun. 1990;172(3):1180–8. 12. 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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 14C-2,3,7,8-tetrachlorodibenzo-p-dioxin to the brain and peripheral tissues of fetal rats and its comparison with adults. J Toxicol Sci. 2010;35(4):563–9. 8. Lovati MR, Galbussera M, Franceschini G, Weber G, Resi L, Tanganelli P, et al. Increased plasma and aortic triglycerides in rabbits after acute administration of 2,3,7,8-tetrachlorodibenzo-p-dioxin. Toxicol Appl Pharmacol. 1984;75(1):91–7. Authors’ contributions 16. Zeeb BA, Amphlett JS, Rutter A, Reimer KJ. Potential for phytoremediation of 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 responses of Arabidopsis thaliana to 2,3,7,8-tetrachlorinated dibenzo-p-dioxin exposure. Chemosphere. 2014;104:76–84. 21. Baryla A, Laborde C, Montillet JL, Triantaphylidès C, Chagvardieff P. Evaluation of lipid peroxidation as a toxicity bioassay for plants exposed to copper. Environ Pollut. 2000;109:131–5. Received: 16 June 2015 Accepted: 29 July 2015 Received: 16 June 2015 Accepted: 29 July 2015 25. Bannenberg G, Martinez M, Hamberg M, Castresana C. Diversity of the enzymatic activity in the lipoxygenase gene family of Arabidopsis thaliana. Lipids. 2009;44:85–95. Author details 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 Commission of Syria (AECS) P O Box 6091 Damascus Syria 22. Mosblech A, Feussner I, Heilmann I. Oxylipins: structurally diverse metabolites from fatty acid oxidation. Plant Physiol Biochem. 2009;47:511–7. Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria. 3Department of 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, 4 23. Hamberg M, Sanz A, Castresana C. Alpha-oxidation of fatty acids in higher plants: identification of a pathogen-inducible oxygenase (piox) as an alpha-dioxygenase and biosynthesis of 2-hydroperoxylinolenic acid. J Biol 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 Commission of Syria (AECS), P.O. Box 6091, Damascus, Syria. 24. Feussner I, Wasternack C. The lipoxygenase pathway. Annu Rev Plant Biol. 2002;53:275–97. 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. 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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: 50. 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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
Turismo: visão e ação/Turismo : visão e ação
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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 aguçar futuras pesquisas que colaborem com o presente estudo. REFERÊNCIAS Alberini, B. (2014). Megaeventos: uma estratégia de atração turística? Turismo e Sociedade, Curitiba, v. 7, n. 1, p. 64-76. Araújo, C.A. (2006). Bibliometria: evolução histórica e questões atuais. Em Questão. Porto Alegre, v. 12, n. 1, p. 11-32, jan./jun. Araújo, R.F.; Alvarenga, L. (2011). 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Disponível em: www.univali.br/periodicos 658 Roche, M. Mega events and urban policy. (1994). In: Annals of Tourism Research. 21, 1994, Nova York. Anais... Nova York: Pergamon Press, 1994. 658 ISSN: 1983-7151 Firkowski, O.L.C.F.; Baliski, P. e Ferreira, A.G. (2014). Copa do Mundo no Brasil: entre expectativas elevadas e benefícios imprecisos. Turismo e Sociedade. Curitiba, v. 7, n. 1, p. 41-63. Freitag, B.B.; Tiscoski, G.P. e Moretto Neto, L. (2010). Análise da produção acadêmica em administração sobre turismo. 34o EnANPAD, Rio de Janeiro, p. 1-13. Funk, D. e Bruun, T. (2007). The role of socio-psychological and culture-education motives in marketing – international sport tourism: a cross-cultural perspective. Tourism Management, 20 (3), 806-819. Getz, D. (2008) Event tourism: definition, evolution and research. Tourism Management. 29; p. 403-428. Gimenes-Minasse, M.H.S.G. (2014). A gastronomia brasileira na Copa do Mundo de Futebol da FIFA 2014: uma breve análise. Turismo e Sociedade. Curitiba, v. 7, n. 1, p. 77-98. Hall, M. (2011). Publish and perish? Bibliometric analysis, journal ranking and the assessment of research quality in tourism. Tourism Management. V. 32. p. 16-27. Hall, C.M. (2006). Urban entrepreneurship, corporate interests and sports mega-events: The thin policies of competitiveness within the hard outcomes of neoliberalism. In: HORNE, J e MANZENREITER, W. (orgs). Sports mega-events: Social scientific analyses of a global phenomenon. Oxford: Blackwell, p. 59-70. ICCA – International Congress and Convention Association. (2014) The international association meetings market 2014 - ICCA statistic report 2014. Disponível em: <www. iccaworld.com/dcps/doc.cfm?docid=1789>. Acesso em 30 de abril de 2016. Ishiy, M. (1998). Turismo e megaeventos esportivos. Turismo em Análise. São Paulo, v. 9, n. 2, p. 47-61. Jago, L.; Dwyer, L.; Lipman, G.; Lill, D. e Vorster, S. (2010). Optimising the potential of mega-events: an overview. International Journal of Event and Festival Management, v. 1, p. 220-237. Jesus, G.M. (2014). Cidade mercadoria, cidade-vitrine, cidade turística: a espetacularização do urbano nos megaeventos esportivos. Caderno Virtual de Turismo. Rio de Janeiro, v. 14, n. especial, p. 52-65. Kotler, P; Gertner, D.; Rein, I e Haider, D. (2006). Marketing de lugares: como conquistar crescimento ao longo prazo na América Latina e no Caribe. São Paulo: Prentice Hall. Lohmann, G. e Panosso Netto, A. (2008). Teoria do turismo: conceitos, modelos e sistemas. São Paulo: Aleph. 657 657 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016 Veal, A. J. (2011). Metodologia de pesquisa em lazer e turismo. Tradução Gleice Guerra, Mariana Aldrigui. São Paulo: Aleph. ISSN: 1983-7151 Rodrigues, R.P.; Dacosta, L., Pinto, L.M. e Terra, R. (2008). Legados de megaeventos esportivos. Ministério do Esporte. DF, Brasil. Romano, F.S; Vico, R.P.; Silva, A.C.; Uvinha, R.R. (2015). Megaeventos esportivos: Uma reflexão sobre os legados da UEFA Eurocopa. Revista Podium, Sport, Leisure and Tourism Review. v. 4, n. 3, setembro/dezembro. Ruschmann, D.M. e Solha, K.T. Planejamento turístico. Barueri (SP): Manole, 2006. Ruschmann, D.M. e Solha, K.T. Planejamento turístico. Barueri (SP): Manole, 2006. Santos, M.P. (2000). Da Expo’98 ao Euro 2004: notas para o estudo do impacto de grandes eventos no turismo regional. Educação e Comunicação. (4). 22-47. Silva, I.O.F. (2012). Megaeventos esportivos e relações internacionais como estratégia de atração turística. Revista Acadêmica Observatório de Inovação do Turismo. Rio de Janeiro, v. 7, n. 1. Silva, S.B.M.; Carvalho, S.S e Silva, B.C.M.N. (2009). Globalização, turismo e residências secundárias: o exemplo de Salvador-Bahia e de sua região de influência. Revista Acadêmica Observatório de Inovação do Turismo, Rio de Janeiro, v. 4, n. 3. Tavares, O. (2007). Instalações temporárias do Pan Rio 2007: possíveis legados. In: Rubio, K. (Org.). Megaeventos esportivos, legado e responsabilidade social. São Paulo: Casa do Psicólogo. Trotta, S.T.; Strehlau, V.I. e Turolla, F.A. (2015). 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. Revista Turismo Visão e Ação, Balneário Camboriú (SC), v.17, n.2, ago. Tyler, D.; Guerrier, Y. e Robertson, M. (orgs.). (2001). Gestão do turismo municipal: teoria e prática de planejamento turístico nos centros urbanos. (tradução Gleice Guerra). São Paulo: Futura. Tyler, D.; Guerrier, Y. e Robertson, M. (orgs.). (2001). Gestão do turismo municipal: teoria e prática de planejamento turístico nos centros urbanos. (tradução Gleice Guerra). São Paulo: Futura. Veal, A. J. (2011). Metodologia de pesquisa em lazer e turismo. Tradução Gleice Guerra, Mariana Aldrigui. São Paulo: Aleph. 659 Revista Turismo - Visão e Ação - Eletrônica, Vol. 18 - n. 3 - set. - dez. 2016
https://openalex.org/W2949269253
https://elar.urfu.ru/bitstream/10995/75873/1/UM_2019_1-2_72-80.pdf
Russian
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FLAGSHIP UNIVERSITIES’ PERSONNEL POTENTIAL DEVELOPMENT MECHANISMS IN RUSSIA
Universitetskoe upravlenie: praktika i analiz
2,019
cc-by
6,000
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- ханизмов развития кадрового потенциала ву- 78 Суровицкая Г. В. 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Такое положение дел свидетельствует о до- статочно длительном периоде достижения эффек- тов от мероприятий по омоложению кадрового состава опорных университетов и обусловливает целесообразность поиска нестандартных путей повышения эффективности механизмов разви- тия их кадрового потенциала. Особый интерес представляют инновационные методы разви- тия персонала, хорошо зарекомендовавшие се- бя в сфере бизнеса (Mentoring (наставничество), Secondment (командирование), Shadowing (быть тенью), Buddying (партнерство)). Насколько быстро удастся университетам, отличающимся опреде- ленной инерционностью, воспринять свежие идеи и повысить эффективность механизмов развития кадрового потенциала во многом зависит от эффек- тивности реализации их стратегических проектов и от формата участия университетов в реализации национальных проектов «Образование» и «Наука». 3. Гончарова Н. В., Зайцева Е. В., Сокол Н. В. 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Organizacionno-kadrovyj potencial univer- siteta: metodologija i metodika izmerenija [Organizational and personnel potential of the University: methodology and measurement methodology]. Yekaterinburg, Publishing house 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
https://openalex.org/W3194226021
https://link.springer.com/content/pdf/10.1007/s00222-021-01065-x.pdf
English
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Babai’s conjecture for high-rank classical groups with random generators
Inventiones mathematicae
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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+1 dr ≤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 5(2), 271–284 (1994) 1. Alon, N., Roichman, Y.: Random Cayley graphs and expanders. Random Struct. Algorithms 5(2), 271–284 (1994) 2. Aschbacher, M.: Finite Group Theory, vol. 10 of Cambridge Studies in Advanced Mathe- matics. Cambridge University Press, Cambridge, second edition (2000) 2. Aschbacher, M.: Finite Group Theory, vol. 10 of Cambridge Studies in Advanced Mathe- matics. Cambridge University Press, Cambridge, second edition (2000) 3. Babai, L., Beals, R., Seress, Á: On the diameter of the symmetric group: polynomial bounds. In: Proceedings of the Fifteenth Annual ACM-SIAM Symposium on Discrete Algorithms, pp. 1108–1112. ACM, New York (2004) 3. Babai, L., Beals, R., Seress, Á: On the diameter of the symmetric group: polynomial bounds. In: Proceedings of the Fifteenth Annual ACM-SIAM Symposium on Discrete Algorithms, pp. 1108–1112. ACM, New York (2004) pp. 1108–1112. ACM, New York (2004) 4. Breuillard, E., Green, B., Guralnick, R., Tao, T.: Expansion in finite simple groups of Lie type. J. Eur. Math. Soc. 17(6), 1367–1434 (2015) 4. Breuillard, E., Green, B., Guralnick, R., Tao, T.: Expansion in finite simple groups of Lie type. J. Eur. Math. Soc. 17(6), 1367–1434 (2015) 5. Breuillard, E., Green, B., Tao, T.: Approximate subgroups of linear groups. Geom. Funct. Anal. 21(4), 774–819 (2011) 5. Breuillard, E., Green, B., Tao, T.: Approximate subgroups of linear groups. Geom. Funct. Anal. 21(4), 774–819 (2011) 6. Babai, L., Hayes, T.P.: Near-independence of permutations and an almost sure polynomial bound on the diameter of the symmetric group. In: Proceedings of the Sixteenth Annual ACM-SIAM Symposium on Discrete Algorithms, pp. 1057–1066. ACM, New York (2005) 6. Babai, L., Hayes, T.P.: Near-independence of permutations and an almost sure polynomial bound on the diameter of the symmetric group. In: Proceedings of the Sixteenth Annual ACM-SIAM Symposium on Discrete Algorithms, pp. 1057–1066. ACM, New York (2005) 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– 243 (1992) 12 123 Babai’s conjecture for random generators 209 10. Biswas, A., Yang, Y.: A diameter bound for finite simple groups of large rank. J. Lond. Math. Soc. 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Modern Birkhäuser Classics. Birkhäuser Verlag, Basel, 2010. With an appendix by Jonathan D. Rogawski, Reprint of the 1994 edition g p 39. Pyber, L., Szabó, E.: Growth in finite simple groups of Lie type. J. Am. Math. Soc. 29(1), 95–146 (2016) 40. Schlage-Puchta, J.-C.: Applications of character estimates to statistical problems for the symmetric group. Combinatorica 32(3), 309–323 (2012) 41. Wall, G.E.: On the conjugacy classes in the unitary, symplectic and orthogonal groups. J. Austral. Math. Soc. 3, 1–62 (1963) 123 123
https://openalex.org/W4311285724
https://link.springer.com/content/pdf/10.1007/s13346-022-01257-9.pdf
English
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Alginate-pectin microparticles loaded with nanoemulsions as nanocomposites for wound healing
Drug delivery and translational research
2,022
cc-by
10,966
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://​creat​iveco​mmons.​org/​licen​ses/​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. Elec-\ntrospun nanocomposites containing cellulose and its derivatives \nmodified with specialized biomolecules for an enhanced wound \nhealing. 2020;10:557. 4. Rosso A, Andretto V, Chevalier Y, Kryza D, Sidi-Boumedine J, Grenha \nA, Guerreiro F, Gharsallaoui A, La Padula V, Montembault A, et al. Nanocomposite sponges for enhancing intestinal residence time fol-\nlowing oral administration. J Control Release. 2021;333:579–92. https://​doi.​org/​10.​1016/j.​jconr​el.​2021.​04.​004. Supplementary Information  The online version contains supplemen-\ntary material available at https://​doi.​org/​10.​1007/​s13346-​022-​01257-9. 5. Andretto V, Rosso A, Briançon S, Lollo G. Nanocomposite \nsystems for precise oral delivery of drugs and biologics. Drug \nDeliv Transl Res. 2021;11:445–70. https://​doi.​org/​10.​1007/​\ns13346-​021-​00905-w. Acknowledgements  The authors would like to thank Giorgia Magli-\nocca for her support in the cytotoxicity experiments. 6. 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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. 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(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 analysis of RNAs from a grapevine showing Syrah decline symptoms reveals a multiple virus infection that includes a novel virus. Virology 387: 395–401. 1. Anderson PK, Cunningham AA, Patel NG, Morales FJ, Epstein PR, et al. 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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 likelihood phylogenies with PhyML. Methods Mol Biol 537: 113–137. 41. Kashif M, Pietila S, Artola K, Jones RAC, Tugume AK, et al. 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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 Res 169: 127–136. 38. Westerhout EM, Ooms M, Vink M, Das AT, Berkhout B (2005) HIV-1 can 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. 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English
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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
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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- nocarcinoma patients from the Middle East region. Ann Thorac Med. 2019;14:173‐178. https://doi.org/10.4103/atm. ATM_344_18 2. Giaccone G, Rodriguez JA. EGFR inhibitors: what have we learned from the treatment of lung cancer? Nat Clin Prac Oncol. 2005;2:554‐561. https://doi.org/10.1038/ncponc0341 2.6 | 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 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, 2.6 | Micron‐scale computed tomography AM, alveolar macrophage; ANOVA, analysis of variance; IT, intratracheal; IV, intravenously since IV injection of clodronate was accompanied by 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 to EGFR inhibitors. Sci Transl Med. 2011;3:75ra26. https://doi. org/10.1126/scitranslmed.3002003 10. Politi K, Zakowski MF, Fan P‐D, Schonfeld EA, Pao W, Varmus HE. Lung adenocarcinomas induced in mice by mu- tant EGF receptors found in human lung cancers respond to a tyrosine kinase inhibitor or to down‐regulation of the re- 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 interstitial macrophages in EGFR mutant lung 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, Linden J. Leukocyte compartments in the mouse lung: distin- guishing between marginated, interstitial, and alveolar cells in response to injury. J Immunol Methods. 2012;375:100‐110. https://doi.org/10.1016/j.jim.2011.09.013 9. Wang D‐H, Lee H‐S, Yoon D, et al. Progression of EGFR‐ mutant lung adenocarcinoma is driven by alveolar
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Metabolic engineering of the pentose phosphate pathway for enhanced limonene production in the cyanobacterium Synechocysti s sp. PCC 6803
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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 Subject to p y Maximize vbiomass or vls S bj t t y Maximize vbiomass or vls Subject to mize vbiomass or vls ect to ∑ = ∀ ∈ … … = s v 0 i 1, , n (1) j m ij j 1 ≤ ≤ ∀ ∈ … … a v v a v j 1, , m (2) j j min j j j max = (1) j 1 ≤ ≤ ∀ ∈ … … a v v a v j 1, , m (2) j j min j j j max ≤ ≤ ∀ ∈ … … a v v a v j 1, , m (2) j j min j j j max (2) ≤ ≤ ∀ ∈ − v v 0 Nutrients Light, Carbon source(s), Micro nutrients (3) Nutrients Nutrients max ≤ ≤ ∀ ∈ − v v 0 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 1, , n (1) j m ij j 1 ≤ ≤ ∀ ∈ … … a v v a v j 1, , m (2) j j min j j j max ∀ ∈ − Nutrients Light, Carbon source(s), Micro nutrients (3) Nutrients max ∑ = ∀ ∈ … … = s v 0 i 1, , n (1) j m ij j 1 ≤ ≤ ∀ ∈ … … a v v a v j 1, , m (2) j j min j j j max ≤ ∀ ∈ − v Nutrients Light, Carbon source(s), Micro nutrients (3) Nutrients max ≥ v v (4) biomass biomass max ∑ = ∀ ∈ … … = s v 0 i 1, , n (1) j m ij j 1 ≤ ≤ ∀ ∈ … … a v v a v j 1, , m (2) j j min j j j max ≤ ≤ ∀ ∈ − v 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 ∑ = ∀ ∈ … … = s v 0 i 1, , n (1) j m ij j 1 ≤ ≤ ∀ ∈ … … a v v a v j 1, , m (2) j j min j 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 products. Trends in biotechnology 33, 352–361 (2015). 3. Berla, B. M. et al. Synthetic biology of cyanobacteria: unique challenges and opportunities. Frontiers in microbiology 4, 246 (2013). 4 B i i E T fl f h h (J h Wil & S 2006) 3. Berla, B. M. et al. Synthetic biology of cyanobacteria: unique challenges and opportunities. Frontiers in microbiology 4, 246 (2013). 4. Breitmaier, E. Terpenes: flavors, fragrances, pharmaca, pheromones. (John Wiley & Sons, 2006). fl f g y 5. George, K. W., Alonso-Gutierrez, J., Keasling, J. D. & Lee, T. S. Isoprenoid drugs, biofuels, and chemicals–artemisinin, farnesene, and beyond. Advances in biochemical engineering/biotechnology 148, 355–389 (2015). 6. Wang, G., Tang, W. & Bidigare, R. R. Terpenoids as therapeutic drugs and pharmaceutical agents. In Natural products pp. 197–227 Springer (2005). 7. Westfall, P. J. et al. Production of amorphadiene in yeast, and its conversion to dihydroartemisinic acid, precursor to the antimalarial agent artemisinin. Proceedings of the National Academy of Sciences of the United States of America 109, E111–118 (2012). 8. Martin, V. J., Pitera, D. J., Withers, S. T., Newman, J. D. & Keasling, J. D. Engineering a mevalonate pathway in Escherichia coli for production of terpenoids. Nat Biotechnol 21, 796–802 (2003). p p 9. Tracy, N. I., Chen, D., Crunkleton, D. W. & Price, G. L. Hydrogenated monoterpenes as diesel fuel additives. Fuel 88, 2238–2240 (2009).h 10. Chuck, C. J. & Donnelly, J. 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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 max (2) Author Contributions P.C.L. performed experiments; R.S. performed computational studies; All authors designed research, wrote and edited the manuscript. .C.L. performed experiments; R.S. performed computational studies; All authors designed research, wrote and dited the manuscript. www.nature.com/scientificreports/ C. Engineered isoprenoid pathway enhances astaxanthin production in Escherichia coli. Biotechnology and bioengineering 62, 235–241 (1999). gy g g 6. Banerjee, A. & Sharkey, T. D. Methylerythritol 4-phosphate (MEP) pathway metabolic regulation. Natural product reports 31 1043–1055 (2014). 37. Poliquin, K., Cunningham, F. X., Gantt, R. R. & Gantt, E. In Isoprenoid Synthesis in Plants and Microorganisms: New Concepts and Experimental Approaches (eds Thomas J. Bach & Michel Rohmer) 51–63 (Springer New York, 2013). h 38. Taton, A. et al. Broad-host-range vector system for synthetic biology and biotechnology in cyanobacteria. Nucleic Acids Res 42, e136 (2014). 9. Gibson, D. G. et al. Enzymatic assembly of DNA molecules up to several hundred kilobases. Nature methods 6, 343–345 (2009).hfi 39. G bso , . G. et al. y at c asse b y o N o ecu es up to seve a u d ed k obases. Nature methods 6, 3 3 3 5 ( 009). 40. Porra, R., Thompson, W. & Kriedemann, P. Determination of accurate extinction coefficients and simultaneous equations for assaying chlorophylls a and b extracted with four different solvents: verification of the concentration of chlorophyll standards by atomic absorption spectroscopy. Biochimica et Biophysica Acta (BBA)-Bioenergetics 975, 384–394 (1989). p p py p y ( ) g ( ) 41. Wellburn, A. R. The spectral determination of chlorophylls a and b, as well as total carotenoids, using various solvents with spectrophotometers of different resolution. Journal of plant physiology 144, 307–313 (1994). 1. Wellburn, A. R. The spectral determination of chlorophylls a and b, as well as total carotenoids, using various solvents with spectrophotometers of different resolution. Journal of plant physiology 144, 307–313 (1994). www.nature.com/scientificreports/ 3. Davies, F. K., Work, V. H., Beliaev, A. S. & Posewitz, M. C. Engineering Limonene and Bisabolene Production in Wild Type and a Glycogen-Deficient Mutant of Synechococcus sp. PCC 7002. Frontiers in bioengineering and biotechnology 2, 21 (2014). i 4. Alonso-Gutierrez, J. et al. Metabolic engineering of Escherichia coli for limonene and perillyl alcohol production. Metaboli engineering 19, 33–41 (2013). g g ( ) 25. Williams, D. C., McGarvey, D. J., Katahira, E. J. & Croteau, R. Truncation of limonene synthase preprotein provides a fully active ‘pseudomature’ form of this monoterpene cyclase and reveals the function of the amino-terminal arginine pair. Biochemistry 37, 12213–12220 (1998). ( ) 6. Ng, A. H., Berla, B. M. & Pakrasi, H. B. Fine-Tuning of Photoautotrophic Protein Production by Combining Promoters and Neutra Sites in the Cyanobacterium Synechocystis sp. Strain PCC 6803. Applied and environmental microbiology 81, 6857–6863 (2015). y y y p pp gy 7. Poliquin, K. et al. Inactivation of sll1556 in Synechocystis strain PCC 6803 impairs isoprenoid biosynthesis from pentose phosphate cycle substrates in vitro. J Bacteriol 186, 4685-4693 (2004). y 28. Tai, M. & Stephanopoulos, G. Engineering the push and pull of lipid biosynthesis in oleaginous yeast Yarrowia lipolytica for biofuel production. Metab Eng 15, 1–9 (2013).ih p g 9. Hosfield, D. J. et al. Structural basis for bisphosphonate-mediated inhibition of isoprenoid biosynthesis. The Journal of biologica chemistry 279, 8526–8529 (2004). y 0. Burke, C. & Croteau, R. Geranyl diphosphate synthase from Abies grandis: cDNA isolation, functional expression, and characterization. Archives of biochemistry and biophysics 405, 130–136 (2002). f y p y 31. Berla, B. M. & Pakrasi, H. B. Upregulation of plasmid genes during stationary phase in Synechocystis sp. strain PCC 6803, a cyanobacterium. Applied and environmental microbiology 78, 5448–5451 (2012). y pp gy 2. Yu, J. et al. Synechococcus elongatus UTEX 2973, a fast growing cyanobacterial chassis for biosynthesis using light and CO(2) Scientific reports 5, 8132 (2015). fi p ( ) 3. Wang, X. et al. Enhanced limonene production in cyanobacteria reveals photosynthesis limitations. Proceedings of the Nationa Academy of Sciences of the United States of America 113, 14225–14230 (2016). y f f f 34. Estevez, J. M., Cantero, A., Reindl, A., Reichler, S. & Leon, P. 1-Deoxy-D-xylulose-5-phosphate synthase, a limiting enzyme for plastidic isoprenoid biosynthesis in plants. The Journal of biological chemistry 276, 22901–22909 (2001). h 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 format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Cre- ative Commons license, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons license and your intended use is not per- mitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/. © The Author(s) 2017 Scientific REPOrTS | 7: 17503 | DOI:10.1038/s41598-017-17831-y 10
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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
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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 http://www.bmj.com/ BMJ: first published as 10.1136/bmj.l5678 on 16 October 2019. Downloaded from 6  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 regionalization for very low-birth-weight and very preterm infants: a meta-analysis. JAMA 2010;304:992-1000. doi:10.1001/ jama.2010.1226 8  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 utero or postnatally. J Perinat Med 1983;11:200-3. doi:10.1515/ jpme.1983.11.4.200 Data sharing: Data are available through the National Neonatal Research Database with relevant approvals (www.imperial.ac.uk/ neonatal-data-analysis-unit/neonatal-data/utilising-the-nnrd/). 21  Kollée LA, Verloove-Vanhorick PP, Verwey RA, Brand R, Ruys JH. Maternal and neonatal transport: results of a national collaborative survey of preterm and very low birth weight infants in The Netherlands. Obstet Gynecol 1988;72:729-32.i The guarantors (NM, LL, and CG) affirm that the manuscript is an honest, accurate, and transparent account of the study being reported; that no important aspects of the study have been omitted; and any discrepancies from the study as planned have been explained. 22  Lubchenco LO, Butterfield LJ, Delaney-Black V, Goldson E, Koops BL, Lazotte DC. Outcome of very-low-birth-weight infants: does antepartum versus neonatal referral have a better impact on mortality, morbidity, or long-term outcome?Am J Obstet Gynecol 1989;160:539-45. doi:10.1016/S0002-9378(89)80022- 5 This is an Open Access article distributed in accordance with the terms of the Creative Commons Attribution (CC BY 4.0) license, which permits others to distribute, remix, adapt and build upon this work, for commercial use, provided the original work is properly cited. See: http://creativecommons.org/licenses/by/4.0/. 23  Shlossman PA, Manley JS, Sciscione AC, Colmorgen GH. An analysis of neonatal morbidity and mortality in maternal (in utero) and neonatal transports at 24-34 weeks’ gestation. Am J Perinatol 1997;14:449- 56. doi:10.1055/s-2007-994178 24  Mohamed MA, Aly H. Transport of premature infants is associated with increased risk for intraventricular haemorrhage. Arch Dis Child Fetal Neonatal Ed 2010;95:F403-7. doi:10.1136/adc.2010.183236 25  Watson A, Saville B, Lu Z, Walsh W. It is not the ride: inter- hospital transport is not an independent risk factor for intraventricular hemorrhage among very low birth weight infants. J Perinatol 2013;33:366-70. doi:10.1038/jp.2012.126 26  Hauspy J, Jacquemyn Y, Van Reempts P, Buytaert P, Van Vliet J. Intrauterine versus postnatal transport of the preterm infant: a short- distance experience. Early Hum Dev 2001;63:1-7. 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 p 28  McNamara PJ, Mak W, Whyte HE. Dedicated neonatal retrieval teams improve delivery room resuscitation of outborn premature infants. J Perinatol 2005;25:309-14. doi:10.1038/sj.jp.7211263 42  Stuart EA. Matching methods for causal inference: A review and a look forward. Stat Sci 2010;25:1-21. doi:10.1214/09-STS313 43  Brookhart MA, Schneeweiss S, Rothman KJ, Glynn RJ, Avorn J, Stürmer T. Variable selection for propensity score models. Am J Epidemiol 2006;163:1149-56. doi:10.1093/aje/kwj149 29  Battersby C, Statnikov Y, Santhakumaran S, Gray D, Modi N, Costeloe K, et al, UK Neonatal Collaborative and Medicines for Neonates Investigator Group. The United Kingdom National Neonatal Research Database: A validation study. PLoS One 2018;13:e0201815. doi:10.1371/journal.pone.0201815 p 44  Pappas A, Kendrick DE, Shankaran S, et al, Eunice Kennedy Shriver National Institute of Child Health and Human Development Neonatal Research Network. Chorioamnionitis and early childhood outcomes among extremely low-gestational-age neonates. JAMA Pediatr 2014;168:137-47. doi:10.1001/jamapediatrics.2013.4248 p 30  www.datadictionary.nhs.uk. Accessed March 18, 2019. 31  NHS Clinical Reference Group. E08/S/a. Neonatal Critical Care. SCHEDULE 2-THE SERVICES A. Service Specifications. www.england. nhs.uk/commissioning/spec-services/npc-crg/group-e/e08/. Accessed March 18, 2019. p 45  Johansson S, Montgomery SM, Ekbom A. Preterm delivery, level of care, and infant death in sweden: a population-based study. Pediatrics 2004;113:1230-5. doi:10.1542/peds.113.5.1230 46  Marlow N, Bennett C, Draper ES, Hennessy EM, Morgan AS, Costeloe KL. Perinatal outcomes for extremely preterm babies in relation to place of birth in England: the EPICure 2 study. Arch Dis Child Fetal Neonatal Ed 2014;99:F181-8. doi:10.1136/ archdischild-2013-305555 32  Cole TJ, Williams AF, Wright CM, et al, RCPCH Growth Chart Expert Group. Revised birth centiles for weight, length and head circumference in the UK-WHO growth charts. Ann Hum Biol 2011;38:7-11. doi:10.3109/03014460.2011.544139 f Biol 2011;38:7-11. doi:10.3109/03014460.2011.544139 f 33  Papile LA, Burstein J, Burstein R, Koffler H. Incidence and evolution of subependymal and intraventricular hemorrhage: a study of infants with birth weights less than 1,500 gm. J Pediatr 1978;92:529-34. doi:10.1016/S0022-3476(78)80282-0 47  New ambition to halve rate of stillbirths and infant deaths - GOV. UK. www.gov.uk/government/news/new-ambition-to-halve-rate-of- stillbirths-and-infant-deaths. Accessed April 12, 2019. 48  Gale C, Hay A, Philipp C, Khan R, Santhakumaran S, Ratnavel N. In-utero transfer is too difficult: results from a prospective study. Early Hum Dev 2012;88:147-50. doi:10.1016/j. earlhumdev.2011.07.016 34  Gale C, Statnikov Y, Jawad S, Uthaya SN, Modi N, et al, Brain Injuries expert working group. Neonatal brain injuries in England: population-based incidence derived from routinely recorded clinical data held in the National Neonatal Research Database. Arch Dis Child Fetal Neonatal Ed 2018;103:F301-6. 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/ S0378-3782(00)00128-6 10 doi: 10.1136/bmj.l5678 | BMJ 2019;367:l5678 | the bmj RESEARCH 27  Palmer KG, Kronsberg SS, Barton BA, Hobbs CA, Hall RW, Anand KJ. Effect of inborn versus outborn delivery on clinical outcomes in ventilated preterm neonates: secondary results from the NEOPAIN trial. J Perinatol 2005;25:270-5. doi:10.1038/sj.jp.7211239 41  Roberts D, Brown J, Medley N, Dalziel SR. Antenatal corticosteroids for accelerating fetal lung maturation for women at risk of preterm birth. Cochrane Database Syst Rev 2017;3:CD004454. doi:10.1002/14651858.CD004454.pub3 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 doi:10.1136/ archdischild-2017-313707 49  Binder S, Hill K, Meinzen-Derr J, Greenberg JM, Narendran V. Increasing VLBW deliveries at subspecialty perinatal centers via perinatal outreach. Pediatrics 2011;127:487-93. doi:10.1542/ peds.2010-1064 35  Safer Maternity Care -The National Maternity Safety Strategy -Progress and Next Steps. www.nationalarchives.gov.uk/doc/open- government-licence/. Published 2017. Accessed May 28, 2018.ffi 50  Lehtonen L, Rautava L, Korvenranta E, Korvenranta H, Peltola M, Häkkinen U. PERFECT preterm infant study. Ann Med 2011;43(Supp 1):S47-53. doi:10.3109/07853890.2011.586359 36  McCaffrey DF, Griffin BA, Almirall D, Slaughter ME, Ramchand R, Burgette LF. A tutorial on propensity score estimation for multiple treatments using generalized boosted models. Stat Med 2013;32:3388-414. doi:10.1002/sim.5753 51  Blaxter L, Yeo M, McNally D. 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Pediatr Crit Care Med 2015;16:733-8. doi:10.1097/PCC.0000000000000482 Supplementary information: List of congenital malformations, covariates, details of matching, supporting tables, and sensitivity analyses Supplementary information: List of congenital malformations, covariates, details of matching, supporting tables, and sensitivity analyses 40  Longford NT. Searching for causes of necrotising enterocolitis. An application of propensity matching. Stat Trans. 2018;19:87-117. doi:10.21307/stattrans-2018-006 No commercial reuse: See rights and reprints http://www.bmj.com/permissions Subscribe: http://www.bmj.com/subscribe
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Qeios · Definition, February 8, 2020 Open Peer Review on Qeios Crilvastatin National Cancer Institute National Cancer Institute Qeios ID: VQO692 · https://doi.org/10.32388/VQO692 Open Peer Review on Qeios Source National Cancer Institute. Crilvastatin. NCI Thesaurus. Code C90865. A pyrrolidone non-competitive inhibitor of hydroxymethyl-glutaryl coenzyme A (HMG- CoA) reductase. Crilvastatin acts by stimulating LDL-cholesterol uptake by hepatocytes and also by stimulating bile cholesterol and bile salt secretion. 1/1
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The management of extremely preterm infants
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References 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. 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. 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. 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, 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. 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 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
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Monitoring extinction risk and threats of the world’s fishes based on the Sampled Red List Index
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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/​speci​es/​our-​work/​iucn-​red-​list-​ threa​tened-​speci​es/​iucn-​toyota-​partn​ership) 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/​fishe​ry/​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://​creat​iveco​mmons.​org/​licen​ses/​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 ol.: (01 3 123456789) Rev Fish Biol Fisheries References Abdul Malak D, Livingstone SR, Pollard D, et al (2011) Over- view of the conservation status of the marine fishes of the mediterranean sea. 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English
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Historic constructions of the early multinational: on power, politics and culture in Pan Am narratives
International journal of business and globalisation
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public-domain
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This is an electronic reprint of the original article. This reprint may differ from the original in pagination and typographic detail. Author(s): Title: Year: Version: Please cite the original version: 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): Title: Year: Version: Please cite the original version: 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 duplication or sale of all or part of any of the repository collections is not permitted, except that 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. 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(1976) Pictorial History of Pan American Airways, Ian Allan, Shepperton. Vaara, E. and Tienari, J. (2011) ‘On the narrative construction of multinational corporations: an antenarrative analysis of legitimation and resistance in a cross-border merger’, Organization Science, Vol. 22, No. 2, pp.370–390. Westwood, R. and Jack, G. (2008) ‘The US commercial-military-political complex and the emergence of international business and management studies’, Critical Perspectives on International Business, Vol. 4, No. 4, pp.367–388. White, H. (1973) Metahistory: The Historical Imagination in Nineteenth-Century Europe, The Johns Hopkins University Press, Balitimore, MD. White, H. (1984) ‘The question of narrative in contemporary historical theory’, History and Theory, Vol. 23, No. 1, pp.1–33. White, H. (1987) The Content of the Form: Narrative Discourse and Historical Representation, John Hopkins University Press, London. Wilkins, M. (1974) The Maturing of Multinational Enterprise. American Business Abroad from 1914 to 1970, Harvard University Press, Cambridge, MA. Young, R.J.C. Historic constructions of the early multinational (2001) Postcolonialism: An Historical Introduction, Blackwell Publishers Ltd, Oxford. Zinn, H. (1999) A People’s History of the United States. 1492–Present, HarperCollins, New York. 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. 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).
https://openalex.org/W4394017445
https://ejurnal.iaipd-nganjuk.ac.id/index.php/es/article/download/692/430
Indonesian
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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)
Jurnal Dinamika Ekonomi Syariah
2,023
cc-by-sa
4,671
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 y p g Anggito, Albi dan Setiawan, Johan. Metodologi Penelitian Kualitatif, CV Jejak, Sukabumi, 2018. Arifin, Miftahol. Kurdi, Moh. Anwar, Syaiful. Strategi Pemasaran Digital Dalam Meningkatkan 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 p p Rachmat. Manajemen Strategi, Cv Pustaka Setia, Bandung, 2014. Rozallinda. Ekonomi Islam: teori dan aplikasinya pada aktivitas ekonomi, Pt Raja grafindo Persada, 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 Wati, Andy Prasetyo Dkk. Digital Marketing, Literindo Berkah Karya, Malang, 2020. g y f, f , , g, Wati, Andy Prasetyo Dkk. Digital Marketing, Literindo Berkah Karya, Malang, 2020.
https://openalex.org/W2744113329
https://jurnal.ugm.ac.id/jpkm/article/download/27031/16634
Indonesian
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Pemberdayaan Peternak Marginal: Studi Kasus di Wilayah Banguntapan Bantul
Jurnal Pengabdian Kepada Masyarakat (Indonesian Journal of Community Engagement)/Jurnal pengabdian kepada masyarakat (Indonesian journal of community engagement)
2,017
cc-by-sa
4,223
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.
International journal of advanced research
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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 shows fibrillation potentials. 488 ISSN: 2320-5407 Int. J. Adv. Res. 6(2), 487-489 Int. J. Adv. Res. 6(2), 487-489 8. Zhigang Cai, Guangyan Yu, Daquan Ma, Jing Tan, Zhaohui Yang, Xiaoming Zhang. Experim traumatic facial nerve injury. J Laryngol Otol 1998;112:243-247. References:- 1. AG Kerr and GDL Smyth. Ear Trauma: Scott-Brown’s Otolaryngology, Butterworth International Edition 1987;5:172-84. 1. AG Kerr and GDL Smyth. Ear Trauma: Scott-Brown’s Otolaryngology, Butterworth International Edition 1987;5:172-84. 2. C Hartley, AD Mendelow. Post traumatic bilateral facial palsy. J Laryngol Otol 1993;107:730-1. 3. Dragoljub Popovic, Milan Stankovic, Zorica Popovic, Dusan Mulisavljevic. Traumatic facial palsy. Facta Universitatis Series, Medicine & Biology 2003;10:145-7. 3. Dragoljub Popovic, Milan Stankovic, Zorica Popovic, Dusan Mulisavljevic. Traumatic facial palsy. Facta Universitatis Series, Medicine & Biology 2003;10:145-7. nd M Bagot D’Arc. Management of Traumatic Facial palsy. Traumatology of skull base, edited by d J Brihaye. Springer Verlag New York 1983:152-4. y p g g 5. PP Devriese. Facial paralysis after trauma of the skull. In, Samii M and Brihaye J (eds). Traumatology of the skull base. Springer Verlag New York 1983:155-63. 5. PP Devriese. Facial paralysis after trauma of the skull. In, Samii M and Brihaye J (eds). Traumatology of the skull base. Springer Verlag New York 1983:155-63. 6. Jackler RK; Facial, auditory, and vestibular nerve injuries associated with basilar skull fractures.In, Youman JR (ed) Neurological Surgery. WB Saunders 1990;3:2305-16. 6. Jackler RK; Facial, auditory, and vestibular nerve injuries associated with basilar skull fractures.In, Youman JR (ed) Neurological Surgery. WB Saunders 1990;3:2305-16. g g y 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 traumatic facial nerve injury. J Laryngol Otol 1998;112:243-247. 489
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https://link.springer.com/content/pdf/10.1007/JHEP02(2014)112.pdf
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331 models facing new b → sμ + μ − data
˜The œJournal of high energy physics/˜The œjournal of high energy physics
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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. 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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. 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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 políticas de saúde mental no Brasil para a prática nos 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 na atenção à saúde: uma contribuição da narrativa 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 psicanalítica ao tema do sujeito na saúde coletiva. Cien Saude Coletiva. 2005;10(3):573-83. DOI: 10.1590/S1413-81232005000300015 5. Gadamer HG. Verdade e método: traços fundamentais 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: Casa do Psicólogo; 1991. 16. Ricoeur P. Tempo e narrativa. Campinas: Papirus; 1994. v.1. 17. Wright JTC, Giovinazzo RA. Delphi: uma ferramenta de apoio ao planejamento prospectivo. Cad Pesq 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 t d l ã h flit d i t
https://openalex.org/W4366352788
https://figshare.com/articles/journal_contribution/Using_elastography-based_multilayer_perceptron_model_to_evaluate_renal_fibrosis_in_chronic_kidney_disease/22656581/1/files/40217585.pdf
English
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Using elastography-based multilayer perceptron model to evaluate renal fibrosis in chronic kidney disease
Renal failure
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375
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
https://openalex.org/W2990680139
https://cyberleninka.ru/article/n/o-tibetskom-i-mongolskom-ksilograficheskih-izdaniyah-povesti-o-lunnoy-kukushke-po-materialam-natsionalnogo-muzeya-tuvy-i-arhiva-kalmnts/pdf
Russian
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О тибетском и монгольском ксилографических изданиях «Повести о Лунной кукушке» (по материалам Национального музея Тувы и архива КалмНЦ РАН)
Novye issledovaniâ Tuvy
2,019
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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 www.nit.tuva.asia THE NEW RESEARCH OF TUVA Novye issledovaniia Tuvy 2019 №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 Novye issledovaniia Tuvy 2019 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia №4 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 Novye issledovaniia Tuvy 2019 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia №4 THE NEW RESEARCH OF TUVA Novye issledovaniia Tuvy 2019 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia №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 www.nit.tuva.asia THE NEW RESEARCH OF TUVA Novye issledovaniia Tuvy 2019 №4 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 Novye issledovaniia Tuvy 2019 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia №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. THE NEW RESEARCH OF TUVA Novye issledovaniia Tuvy 2019 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia №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). THE NEW RESEARCH OF TUVA Novye issledovaniia Tuvy 2019 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia №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 www.nit.tuva.asia THE NEW RESEARCH OF TUVA Novye issledovaniia Tuvy 2019 №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 2019 НОВЫЕ ИССЛЕДОВАНИЯ ТУВЫ www.nit.tuva.asia №4 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 редакцин газар. 439 с. (На монг. языке). 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. 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 ditsii buddizma vadzhrayany [The written tradition of Vajrayana Buddhism: Ārya Bhadracarya Praṇidhāna Rāja (Tib. Bzang spyod smon lam)]. Bulletin of the Kalmyk Institute for Humanities of the Russian Academy of Sciences (Oriental Studies), vol. 36, no. 2, pp. 131–143. (In Russ.). Mirzaeva, S. V. and Tuvshintugs, B. (2019) Mongoloyazychnye versii «Sutry o vos'mi svetonosnyh» (mong. Najman gegeen, kalm. Nәәmn gegәn): ob istorii izucheniya i spiskah v fondohranilishchah Rossii [Mongol- language versions of the Sutra of the eight light-bearers (Mong. Naiman Gegen, Kalm. Naemn gegen): about the history of studying and lists in the Russian storage facilities]. Oriental Studies, no. 44(4), p.p 716–727. (In Russ.) Mongolyn uran zohiolyn toym [History of Mongolian Literature] (1976). Vol. 2. Ulaanbaatar, Mong. Acad. of Sc. 672 p. (In Mong.). Muzraeva, D. N. (2018) Kollektsiya tibetskikh i mongol'skikh pis'mennykh istochnikov Kalmytskogo nauchnogo centra RAN, postupivshaya ot E. B. Ubushieva. Shtrikhi k portretu fondoobrazovatelya po darstvennym zapisyam [The collection of Tibetan and Mongolian written sources donated to the Archive of 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: https://nit.tuva. asia/nit/article/view/852 (access date: 23.06.2019). DOI: 10.25178/nit.2019.2.12. (In Russ.). Povest' o Lunnoi kukushke. Mongol'skaya versiya. Faksimile ksilografa / Predislovie, transliteracija, perevod, kommentarii, glossarij i prilozhenija D. N. Muzraevoi [The Tale of the Moon Cuckoo. Mongolian version. Facsimile of the xylograph, introduction, transliteration, translation, commentary, glossary and indices by D. N. Muzraeva] (2004). Ed. by I. V. Kulganek. (‘Written heritage of Central Asian Peoples’. Is. I). Elista, Dzhangar. 576 p. (In Russ. and Mong.). Skorodumova, L. G. (2017) Rukopisnoe nasledie V. Inzhinasha: «Povest' o lunnoi kukushke» [The manuscript heritage of V. Inzhinash: ‘The Tale of the Moon Cuckoo’]. In: Kul'turnoe nasledie mongolov: rukopisnye i arkhivnye sobraniya Sankt-Peterburga i Ulan-Batora. III Mezhd. konf. pri podderzhke Prezidenta Mongolii [Cultural Heritage 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 2019 №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
https://openalex.org/W2961020211
https://www.nature.com/articles/s41388-019-0867-6.pdf
English
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Stepwise detection and evaluation reveal miR-10b and miR-222 as a remarkable prognostic pair for glioblastoma
Oncogene
2,019
cc-by
11,599
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 X.D.Z. wrote the paper and prepared the final version. http://bio-nefu.com/resource/jcdsa. http://bio-nefu.com/resource/jcdsa. References 24. Vazquez A, Bond EE, Levine AJ, Bond GL. The genetics of the p53 pathway, apoptosis and cancer therapy. Nat Rev Drug Discov. 2008;7:979–87. 1. 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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. 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If material is not included in the article’s Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this license, visit http://creativecommons. org/licenses/by/4.0/. 20. Zhou BP, Liao Y, Xia W, Zou Y, Spohn B, Hung MC. HER-2/neu induces p53 ubiquitination via Akt-mediated MDM2 phosphor- ylation. Nat Cell Biol. 2001;3:973–82. 21. Mayo LD, Donner DB. Compliance with ethical standards A phosphatidylinositol 3-kinase/Akt pathway promotes translocation of Mdm2 from the cytoplasm to the nucleus. Proc Natl Acad Sci USA. 2001;98:11598–603. 22. Chow LM, Baker SJ. PTEN function in normal and neoplastic growth. Cancer Lett. 2006;241:184–96. 23. Chang CJ, Freeman DJ, Wu H. PTEN regulates Mdm2 expression through the P1 promoter. J Biol Chem. 2004;279:29841–8. 40. Chow LM, Endersby R, Zhu X, Rankin S, Qu C, Zhang J, et al. 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https://openalex.org/W2116758931
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Radiation therapy at the end of life: a population-based study examining palliative treatment intensity
Radiation oncology
2,015
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7,647
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. 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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
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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- 84 [21] 1] Sonmez A, Yilmaz MI, Saglam M, Unal HU, Gok M, Cetinkaya H, et al. (2015). The role of plasma triglyceride/high-density lipoprotein cholesterol ratio to predict cardiovascular outcomes in chronic kidney disease. Lipids Health Dis, 14: 29 [11] [11] Weir CJ, Sattar N, Walters MR, Lees KR (2003). Low triglyceride, not low cholesterol concentration, independently predicts poor outcome following acute stroke. Cerebrovasc Dis, 16: 76-82 [22] Turak O, Afsar B, Ozcan F, Oksuz F, Mendi MA, Yayla C, et al. (2016). The Role of Plasma Triglyceride/High-Density Lipoprotein Cholesterol Ratio to Predict New Cardiovascular Events in Essential Hypertensive Patients. Authors and Contributors J Clin Hypertens (Greenwich), 18: 772-777 [12] [12] Choi KH, Park MS, Kim JT, Chang J, Nam TS, Choi SM, et al. (2012). Serum triglyceride level is an important predictor of early prognosis in patients with acute ischemic stroke. J Neurol Sci, 319: 111-116 [13] [13] Deng QW, Wang H, Sun CZ, Xing FL, Zhang HQ, Zuo L, et al. (2017). Triglyceride to high-density lipoprotein cholesterol ratio predicts worse outcomes after acute ischaemic stroke. Eur J Neurol, 24: 283- 291 [23] [23] Eeg-Olofsson K, Gudbjornsdottir S, Eliasson B, Zethelius B, Cederholm J, Ndr (2014). The triglycerides-to-HDL-cholesterol ratio and cardiovascular disease risk in obese patients with type 2 diabetes: an observational study from the Swedish National Diabetes Register (NDR). Diabetes Res Clin Pract, 106: 136-144 [14] [14] Adams RJ, Albers G, Alberts MJ, Benavente O, Furie K, Goldstein LB, et al. (2008). Update to the AHA/ASA recommendations for the prevention of stroke in patients with stroke and transient ischemic attack. Stroke, 39: 1647-1652 [24] Wierda WG, O'Brien S, Wang X, Faderl S, Ferrajoli A, Do KA, et al. (2007). Prognostic nomogram and index for overall survival in previously untreated patients with chronic lymphocytic leukemia. Blood, 109: 4679-4685 [15] [15] Deng Q, He B, Liu X, Yue J, Ying H, Pan Y, et al. (2015). Prognostic value of pre-operative inflammatory response biomarkers in gastric cancer patients and the construction of a predictive model. J Transl Med, 13: 66 [25] [25] Touijer K, Scardino PT (2009). Nomograms for staging, prognosis, and predicting treatment outcomes. Cancer, 115: 3107-3111 [16] [16] Tsai CF, Thomas B, Sudlow CL (2013). Epidemiology of stroke and its subtypes in Chinese vs white populations: a systematic review. Neurology, 81: 264- 272 Wang Y, Li J, Xia Y, Gong R, Wang K, Yan Z, et al. (2013). Prognostic nomogram for intrahepatic cholangiocarcinoma after partial hepatectomy. J Clin Oncol, 31: 1188-1195 [17] [17] Lv P, Jin H, Liu Y, Cui W, Peng Q, Liu R, et al. (2016). Comparison of Risk Factor between Lacunar Stroke and Large Artery Atherosclerosis Stroke: A Cross- Sectional Study in China. PLoS One, 11: e0149605 [27] Camp RL, Dolled-Filhart M, Rimm DL (2004). X-tile: a new bio-informatics tool for biomarker assessment and outcome-based cut-point optimization. Clinical cancer research : an official journal of the American Association for Cancer Research, 10: 7252-7259 [18] [18] Yang N, Lin M, Wang BG, Zeng WY, He YF, Peng HY, et al. Aging and Disease • Volume 9, Number 3, June 2018 [26] [25] [27] Authors and Contributors (2016). Low level of low-density lipoprotein Aging and Disease • Volume 9, Number 3, June 2018 506
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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 endorsement of intercultural language education indicated here is decidedly persuasive. Bennett, T. (1996). Putting policy into cultural studies. In Storey, John (ed.), What is Cultural Studies? (pp. 307-321). London: Arnold. Allwright, D., & Kathleen, M. B. (1991). Focus on the Language Classroom. New York: Cambridge University Press. American Council on the Teaching of Foreign Languages. (2006). Standards for Foreign Language Learning, 3rd Ed. 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https://openalex.org/W4244818969
https://www.nature.com/articles/s41598-021-87268-x.pdf
English
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Spin Structure Factors of Doped Monolayer Germanene in the Presence of Spin-Orbit Coupling
Research Square (Research Square)
2,021
cc-by
11,810
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+(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  +∞ −∞ dteiωtz(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 Y t l A bi iti t d f b d d l ti i G h b d t di i l l d l tti 3. Xu, Y. et al. An abinitiostudy of energy-band modulation in Graphene-based two dimensional layered superlattices. J. Mater. Chem 22, 23821 (2012). 4. Chang, K. & Chen, W. X. In situ synthesis of MoS2/Graphene nanosheet composites with extraordinarily high electrochemical performance for lithium ion batteries. Chem. Commun. 47, 4252 (2011). 5. Chang, K. & Chen, W. X. I-Cysteine-Assisted synthersis of Layered MoS2 / Graphene composites with excellent electro performance for lithium ion batteries. Acs Nano 5, 4720 (2011). p 6. Dean, C. R. et al. boron nitride substrates for high-quality graphene electronics. Nat. Nanotechnol. 5, 722 (2010). 6. Dean, C. R. et al. boron nitride substrates for high-quality gra 7. Novoselov, K. S. et al. Two dimensional atomic crystals. Proc. Natl. Acad. Sci. USA 102, 10541 (2005). l h l l ll b d h h 8. Bertolazzi, S., Krasnozhon, D. & Kis, A. Nonvolatile memory cells based on Mos2/graphene heterostructures. Acs Nano 7, 3246 (2013). 9. Cahangirov, S., Topsakal, M., Akturk, E., Sahin, H. & Ciraci, S. Two-and one-dimensional honeycomb structures of silicon and Germanene. Phys. Rev. Lett 102, 236804 (2009).f y 10. Liu, C. C., Feng, W. & Yao, Y. Quantum spin hall effect in Silicene and two-dimensional Germanium. Phys. Rev. Lett. 107, 076802 (2011). Thf 1. Padilha, J. E. & Pontes, R. B. Free-standding bilayer silicene: The effect of stacking order on structural, electronic, and transpor properties. J. Chem. C 119, 3818 (2015). 2. Chowdhury, S. & Jana, D. A theoretical review on electonic, magnetic and optical properties of silicene. Rep. Prog. Phys. 79, 126501 (2016). 3. Kaloni, T. P. Tuning the structural, electronic, and magnetic properties of Germanene by the adsorption of 3d transition meta atoms. J. Phys. Chem. C 118, 25200 (2014).f 4. Liu, C.-C., Jiang, H. & Yao, Y. Low energy effective Hamiltonian involving spin-orbit coupling in silicene and two dimensiona germanium and Tin. Phys. Rev. B 84, 195430 (2011).i 15. Ye, X.-S. et al. Numerical results and discussions 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 components of spins parallel to the 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 (2016). 16. Monshi, M. M., Aghaei, S. M. & Calizo, I. DFT study of adsorption behavior NO Co, NO2 and NH3 molecules on Graphen BC3: A search for highly sensitive molecular sensor. Surf. Sci. 665, 96 (2017).i g y f 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 superlattices. Nanoscale Res. Lett. 9, 110 (2014).ff 19. Qiao, Z. et al. Quantum anomalous Hall effect in Graphene from Rashba and exchange effects. Phys. Rev. B 82(R), 161414 (2 ff 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 ( ) 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 g 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 h h d h l ff h d hb b l 2. Inglot, M., Dugaev, V. K., Ya Sherman, E. & Barnas, J. Enhanced photogalvanic effect in graphene due to Rashba spin-orbit coupling Phys. Rev. B 91, 195428 (2015). y , ( ) 3. Inglot, M., Dugaev, V. K., Ya Sherman, E. & Barnas, J. Optical spin injection in graphene with Rashba spin-orbit interaction. Phys 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 g pi p g y 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 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 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://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. © The Author(s) 2021 https://doi.org/10.1038/s41598-021-87268-x Scientific Reports | (2021) 11:7651 |
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СВІТОВІ ЕКОНОМІЧНІ КРИЗИ: ПРИЧИНИ ТА НАСЛІДКИ
Ekonomìka ta suspìlʹstvo
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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 (дата звернення: 01.06.2021). в А.А. Всеобщая организационная наука (тектология). URL: https://gtmarket.ru/library/basis/5909 я: 01.06.2021). 2. 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To view a copy of this licence, visit http://​creat​iveco​mmons.​org/​licen​ses/​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‑ heim, Germany, 2010) 1. R. Barnes, Formation and evolution of exoplanets (Wiley-VCH, Wein‑ heim, Germany, 2010) 2. L.D. Landau, E.M. Lifshitz, Quantum mechanics (Non-relativistic theory) (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) 5. I. Bloch, J. Dalibard, W. Zwerger, Many-body physics with ultracold gases. Rev. Mod. Phys. 80, 885 (2008) 6. S. Giorgini, L.P. Pitaevskii, S. Stringari, Theory of ultracold atomic Fermi gases. Rev. Mod. Phys. 80, 1215 (2008) 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. 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Stringari, Theory of ultracold atomic Fermi 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 phenomena are devoted to future studies. 1. R. Barnes, Formation and evolution of exoplanets (Wiley VCH, Wein heim, Germany, 2010) 2. L.D. Landau, E.M. Lifshitz, Quantum mechanics (Non-relativistic theory) (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) 5. I. 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First international workshop on human endogenous retroviruses and diseases, HERVs &amp; disease 2015
Mobile DNA
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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 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 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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_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
https://openalex.org/W4386807529
https://ejournal.up45.ac.id/index.php/JHCJ/article/download/1100/798
Indonesian
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PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA DIGITAL
Jurnal Hukum Caraka Justitia
2,022
cc-by
9,221
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 ( y) ( p ) 6 Fadli Andi Natsif, “Perlindungan Hak Asasi Manusia Dalam Perspektif Negara Hukum Indonesia,” Al-Risalah 19, no. 1 (Mei 2019): 149. , ( ) 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 j p p p ( gy y ) 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 ( y ), , ( ) 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 j ( ) 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 j p p p ( gy y ) Benedictus Renny See, “Perlindungan Hukum Bagi Nasabah Dan Bank Terhadap Tindak Kejahatan B k l i I f i (C b C i ) ” J l H k C k J i i 2 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 g p g p 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 g p g p 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)”. , ( p ) 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 l i k y g g y g p 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 p p y g g 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 H k 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 ( p ( ) g g ) 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 i i h ll mah, “DT. Analisis Keadilan Restoratif Pada Penerapan Hukum Adat di Indonesia”, Jurnal Veritas et , no. 1 (Juni 2018): 224. , j ( , ), 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 g 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 g 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 Cirebon Dikaitkan Dengan Perda Nomor 9 Tahun 2003 Tentang Ketertiban Umum”. Jurnal Hukum Responsif 11, no. 1 (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. 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USU Law Journal 3, no. 3 (November 2015): 64-71. http://download.garuda.kemdikbud.go.id/article.php?article=1423465&val=4099&title =restorative%20justice%20sebagai%20pembaharuan%20sistem%20peradilan%20pida na%20berdasarkan%20uu%20no11%20tahun%202012%20tentang%20sistem%20per adilan%20pidana%20anak. Hendrik, Anton, & Januar Simorangkir. “Kebebasan Informasi di Dunia Siber dan Pembajakan Musik, Video dan Software.” Jurnal The Arysuta Center Series on Strategic Management 26, 2014. Istiqamah. “DT. Analisis Keadilan Restoratif Pada Penerapan Hukum Adat di Indonesia”. Jurnal Veritas et Justitia 4, no. 1 (Juni 2018): 206-226. https://journal.unpar.ac.id/index.php/veritas/article/download/2914/2512. Natsif, Fadli Andi. “Perlindungan Hak Asasi Manusia Dalam Perspektif Negara Hukum Indonesia.” Al-Risalah 19, no. 1 (Mei 2019): 148-158. http://download.garuda.kemdikbud.go.id/article.php?article=1766528&val=6396&title =perlindungan%20hak%20asasi%20manusia%20dalam%20perspektif%20negara%20 hukum%20indonesia%20human%20rights%20protection%20in%20perspective%20in donesian%20state%20law/1000. See, Benedictus Renny. “Perlindungan Hukum Bagi Nasabah Dan Bank Terhadap Tindak Kejahatan Berbasis Teknologi Informasi (Cyber Crime).” Jurnal Hukum Caraka Justitia 2, no. 1 (Mei 2022): 54-74, https://ejournal.up45.ac.id/index.php /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, 2003. Barton, Charles K. B. Restorative Justice (The Empowerment Model). Sydney: Hawkins Press, 2003. 112 HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI HARTANTO, DJOKO BUDIARTO, & HYRONIMUS RHITI 112 RAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA TAL PENERAPAN RESTORATIVE JUSTICE KEPOLISIAN TERHADAP PENCEMARAN NAMA BAIK DALAM DUNIA DIGITAL Braithwaite, John. Restorative Justice and Responsive Regulation. New York: Oxford University Press, 2002. Chazawi, Adami, & Ardi Ferdian. Tindak Pidana Informasi dan Transaksi Elektronik. Malang: 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 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). 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). Oktaviani, Murni. “Mengenal Konsep Restorative Justice”. https://ilmu.lpkn.id/2021/03/01/mengenal-konsep-restorative-justice/ (diakses 12 April 2022). Presisi.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). 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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The mortality risk after myocardial infraction in migrants compared with natives: a systematic review and meta-analysis
Frontiers in cardiovascular medicine
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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. 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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 ş y f f y ( g ş 12 Detaylı bilgi için bkz. Zafer Erginli (ed.), Metinlerle Tasavvuf Terimleri Sözlüğü (İstanbul: Kalem Yayınlar 123. 13 Eb ’l H Sî â î l B â ’ S âd (T h Mü i P jûh i Hik F l f i İ â 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 , ( ), 16 Ebû Abdurrahmân es-Sülemî, Tabakâtu’s-Sûfiyye, thk. Nureddin Şeribe (Kahire: Câmiatü’l-Ezher, 1373), 506 17 Â 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 ( y , ), 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. , , f f 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 , ( y , ), 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 f ( yy ) 21 İbnü’l-Arabî, Fusûsu’l-Hikem (Hârûn Fassı), thk. Ebu’l-Alâ Afîfî (Beyrut: Dâru’l-Kütübi’l-Arabî, ty.), 192. 22 İ İ ) / 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 y y ( y y p , , ), 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 , f ğ , 27 Seyyid Mustafa Râsim Efendi, Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil, 767. yy f ğ 28 İsmâîl Hakkî Bursevî, Şerh-i Ebyât-ı Hacı Bayram-ı Velî (İstanbul: Süleymaniye K y y ( y y p ) 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. , yy , Ş ( y 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 p ( y y ) / 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 ş g / ( ) 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. 39 y ğ Ç y g / ( ) 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 g 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 ğ y g 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 î’ i â ifi f l i fik i d bi ö l ü lü İ l fil f M ll S d â’ â ifi dö f 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 Abdü âk Kâ â î T f Sö lüğü Ek D i li (İ b l İ Y l k 2004) 406 51 Bursevî, Lübbü’l-Lübb ve Sırru’s-Sırr, 28-30. Bursevî, Lübbü l Lübb ve Sırru s Sırr, 28 30. 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. , f y f f ğ , ( y , 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 Görüşleri”. Tasavvuf: İlmî ve Akademik Araştırma Dergisi14/31 (2013), 33-56. Bursevî, İsmâîl Hakkı. Allah’a Yakın Olmak: Varlık Mertebeleri ve İnsân-ı Kâmil. İstanbul: Hayy Kitap, 2012. Bursevî, İsmâîl Hakkı. Lübbü’l-Lübb ve Sırru’s-Sırr. İstanbul: Uhuvvet Matbaası, 1328. Bursevî, İsmâîl Hakkı. Şerh-i Ebyât-ı Hacı Bayram-ı Velî. İstanbul: Süleymaniye Ktp., Esad Efendi, 1521. Çelik, İsa. “Tasavvuf Tarihinde Ârif Kavramı”. Tasavvuf: İlmî ve Akademik Araştırma Dergisi 5/12 (2004), 25-52. Demirli, Ekrem. “İbnü’l-Arabî ve Takipçilerinin Tanrı Anlayışı: Tenzih ve Teşbih Hükümlerinin Birleştirilmesi”, İslâm Araştırmaları Dergisi 19 (2008), 25-44. Dihhudâ, Ali Ekber. Lugatnâme. Tahran: Müessese-i Luğatnâme-i Dihhudâ, 1377. Erginli, Zafer (ed). Metinlerle Tasavvuf Terimleri Sözlüğü. İstanbul: Kalem Yayınları, 2006. Gazzâlî. Meâricu’l-Kuds. Beyrut: Dâru’l-Âfâkı’l-Cedîde, 1975. Gazzâlî. Meâricu’l-Kuds. Beyrut: Dâru’l-Âfâkı’l-Cedîde, 1975. Gazzâlî. Mişkâtü’l-Envâr: Varlık, Bilgi, Hakîkat. trc. ve nşr. Mahmut Kaya. İstanbul: Klasik, 2016. Hakîm Tirmizî. Beyânu’l-Fark. thk. Nichola Heer. Kahire: 1958. Hakîm Tirmizî. Beyânu’l-Fark. thk. Nichola Heer. Kahire: 1958. Haydarî, Seyyid Kemâl. Mine’l-Halk ile’l-Hakk: Rihletü’s-Sülûk fî Esfârihi’l-Erba’a Herevî, Hâce Abdullah Ensârî. Menâzilü’s-Sâirîn. -Kâşânî Şerhi İle Birlikte- Tahran: İntişârât-ı Bîdâr, 1994. İbn Sînâ. el-İşârât ve’t-Tenbîhât. İstanbul: Litera Yayıncılık, 2005. İbnü’l-Arabî. el-Futûhâtu’l-Mekkiyye. thk. Ahmed Şemseddin. Beyrut: Dâru’l-Kütübi’l-İlmiyye, 1999. İbnü’l-Arabî. Fusûsu’l-Hikem (Hârûn Fassı). thk. Ebu’l-Alâ Afîfî. Beyrut: Dâru’l-Kütübi’l-Arabî, ty. İbnü’l-Arabî. Kitabu Istılâhâti’s-Sûfiyye. trc. Seyfullah Sevim. Mukaddemât içinde Kayseri: Kayseri Büyükşehir Belediyesi, 1997. İbnü’l-Arabî. “Risâletü’l-Envâr”. Resâil. Beyrut: Dâru’l-Mehacceti’l-Beyzâ, 2000. İzutsu, Toshihiko. Sufism and Taoism: A Comparative Study of Key Philosophical Concepts. USA: University of California Press, 1984. Kâşânî, Abdürrezzâk. Letâifu’l-A’lâm. Kahire: Mektebetü’s-Sekâfeti’d-Dîniyye, 2005. 88 THEOSOPHIA Journal, Aralık 2020, Sayı1 Kâşânî, Abdürrezzâk. Şerhu Menâzili’s-Sâirîn. Tahran: İntişârât-ı Bîdâr, 1994. Kâşânî, Abdürrezzâk. Tasavvuf Sözlüğü. trc. Ekrem Demirli. İstanbul: İz Yayıncılık, 2004. Kâşânî, İzzeddîn. Misbâhu’l-Hidâye ve Miftâhu’l-Kifâye. Tahran: Vezâret-i Ferheng u İrşâd, Kâşânî, İzzeddîn. Misbâhu’l-Hidâye ve Miftâhu’l-Kifâye. Tahran: Vezâret-i Ferheng u İrşâd, 1367 hş. Konevî, Sadreddin. Miftâhu’l-Gayb: Tasavvuf Metafiziği. trc. Ekrem Demirli. İstanbul: İz Yayıncılık, 2004. Konevî, Sadreddin. Miftâhu’l-Gayb: Tasavvuf Metafiziği. trc. Ekrem Demirli. İstanbul: İz Yayıncılık, 2004. Kuşeyrî, Abdülkerîm. er-Risâle. thk. Ma’rûf Züreyk. Beyrut: 1991. Kuşeyrî, Abdülkerîm. 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. Musakhanov, Orkhan. “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. Musakhanov, Orkhan. “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. Namlı, Ali. Kaynakça İsmail Hakkı Bursevi Hayatı, Eserleri, Tarîkat Anlayışı. İstanbul: İnsan Yayınları, 2001. Osman Karadeniz. “Heyûlâ”. TDV İslâm Ansiklopedisi. 17/295-296. İstanbul: Diyanet Vakfı Yayınları, 1998. Seccâdî, Seyyid Cafer. Tasavvuf ve İrfan Sözlüğü. trc. Hakkı Uygur. İstanbul: Ensar Neşriyat, 2007. Seyyid Mustafa Râsim Efendi. Tasavvuf Sözlüğü: Istılahât-ı İnsân-ı Kâmil. İstanbul: İnsan Yayınları, 2008. Sîrcânî, Ebu’l-Hasan. el-Beyâz ve’s-Sevâd. Tahran: Müessese-i Pejûheş-i Hikmet ve Felsefe-i İrân, 1390. Suâd el-Hakîm. İbnü’l-Arabî Sözlüğü. trc. Ekrem Demirli. İstanbul: Kabalcı Yayınevi, 2005. Sülemî, Ebû Abdurrahmân. “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. Sülemî, Ebû Abdurrahmân. “Sülûku’l-Ârifîn”. Tis’atü Kütüb fî Usûli’t-Tasavvuf ve’z-Zühd. en-Nâşir, 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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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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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 have now been described with such structures in this large genus. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press 363 References Huelsenbeck JP and Ronquist F (2001) MRBAYES: Bayesian inference of phylogenetic trees. Bioinformatics 17, 754–755. Ahti T (1982) Morphological interpretation of cladoniiform thalli. Lichenologist 14, 105–113. Jahns HM (1970) Untersuchungen zur Entwicklungsgeschichte der Cladoniaceen unter besonderer Berücksichtigung des Podetien-Problems. Nova Hedwigia 20, 1–177. 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Zoller S, Frey B and Scheidegger C (2000) Juvenile development and diaspore survival in the threatened epiphytic lichen species Sticta fuliginosa, Leptogium saturninum and Menegazzia terebrata: conclusions for in situ conservation. Plant Biology 2, 496–504. Rindi F, Lam DW and López-Bautista JM (2009) Phylogenetic relationships and species circumscription in Trentepohlia and Printzina (Trentepohliales, Chlorophyta). Molecular Phylogenetics and Evolution 52, 329–339. Sanders WB (2002) In situ development of the foliicolous lichen Phyllophiale (Trichotheliaceae) from propagule germination to propagule production. American Journal of Botany 89, 1741–1746. Zotz G and Winter K (1994) Photosynthesis and carbon gain of the lichen, Leptogium azureum, in a lowland tropical forest. Flora 189, 179–186. https://doi.org/10.1017/S0024282923000440 Published online by Cambridge University Press
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English
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Influence of the Design Solutions of Extruder Screw Mixing Tip on Selected Properties of Wheat Bran-Polyethylene Biocomposite
Polymers
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cc-by
16,087
  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. 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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 Excellence Initiative, funded by the Polish Ministry of Science and Higher Education (contract no. 030/RID/2018/19). 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A Neural N-Gram-Based Classifier for Chinese Clinical Named Entity Recognition
Applied sciences
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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 help in the Chinese CNER task. References 1. Skounakis, M.; Craven, M.; Ray, S. Hierarchical hidden markov models for information extraction. y 2. Kang, T.; Zhang, S.; Tang, Y.; Hruby, G.W.; Rusanov, A.; Elhadad, N.; Weng, C. EliIE: An open-source information extraction system for clinical trial eligibility criteria. J. Am. Med. Inform. Assoc. 2017, 24, 1062–1071. [CrossRef] 3. Yadav, V.; Bethard, S. A Survey on Recent Advances in Named Entity Recognition from Deep Learning models. In Proceedings of the 27th International Conference on Computational Linguistics, Santa Fe, NM, USA, 21–25 August 2018; pp. 2145–2158. p g g pp 4. Wang, X.; Yang, C.; Guan, R. A comparative study for biomedical named entity recognition. Int. J. Mach. Learn. Cybern. 2018, 9, 373–382. [CrossRef] Z.; Wang, X.; Chen, Q.; Tang, B. HITSZ_CNER: A Hybrid System for Entity Recognition from Chinese Clinical Text oceedings: Aachen, Germany, 2017; Volume 1976, pp. 25–30. 5. Hu, J.; Shi, X.; Liu, Z.; Wang, X.; Chen, Q.; Tang, B. HITSZ_CNER: A Hybrid System for Entity Recognition CEUR Workshop Proceedings: Aachen, Germany, 2017; Volume 1976, pp. 25–30. 6. Li, L.; Zhao, J.; Hou, L.; Zhai, Y.; Shi, J.; Cui, F. An attention-based deep learning model for clinical named entity recognition of Chinese electronic medical records. BMC Med. Inform. Decis. Mak. 2019, 19, 235. [CrossRef] f 7. Gong, L.; Zhang, Z.; Chen, S. Clinical Named Entity Recognition from Chinese Electronic Medical Records Based on Deep Learning Pretraining. J. Healthc. Eng. 2020, 2020, 8829219. [CrossRef] g g g 8. Wu, G.; Tang, G.; Wang, Z.; Zhang, Z.; Wang, Z. An Attention-Based BiLSTM-CRF Model for Chinese Clinic Named Entity Recognition. IEEE Access 2019, 7, 113942–113949. [CrossRef] 9. Zhu, Q.; Li, X.; Conesa, A.; Pereira, C. GRAM-CNN: A deep learning approach with local context for named entity recognition in biomedical text. Bioinformatics 2018, 34, 1547–1554. [CrossRef] 10. Wang, Q.; Zhou, Y.; Ruan, T.; Gao, D.; Xia, Y.; He, P. Incorporating dictionaries into deep neural networks for the Chinese clinical named entity recognition. J. Biomed. Inform. 2019, 92, 103133. [CrossRef] f ao, Z.; Liu, Q.; Li, Y.; Qin, Q. MAF-CNER: A Chinese Named Entity Recognition Model Based on Multifeature omplexity 2021, 2021, 6696064. [CrossRef] 11. Han, X.; Zhou, F.; Hao, Z.; Liu, Q.; Li, Y.; Qin, Q. MAF-CNER: A Chinese Named Entity Recognition Mod Adaptive Fusion. Complexity 2021, 2021, 6696064. [CrossRef] 12. Zeng, Q.T.; Goryachev, S.; Weiss, S.; Sordo, M.; Murphy, S.N.; Lazarus, R. 5. Conclusions In this study, we propose a neural model based on n-gram character embeddings to learn more semantic information of Chinese characters and address the problem of Chinese clinical named entity recognition. This method avoids relying on external resources and knowledge bases. We conduct the experiments on CCKS-2017 Shared Task 2 dataset with five categories of clinical named entities. The empirical studies show that our approach performs better than other CNN and LSTM based baselines. p 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. Li, Z.; Zhang, Q.; Liu, Y.; Feng, D.; Huang, Z. Recurrent Neural Networks with Specialized Word Embedding for Chinese Clinical Named Entity Recognition; CEUR Workshop Proceedings: Aachen, Germany, 2017; Volume 1976, pp. 55–60. References Extracting principal diagnosis, co-morbidity and smoking status for asthma research: Evaluation of a natural language processing system. BMC Med. Inform. Decis. Mak. 2006, 6, 30. [CrossRef] 13. Savova, G.K.; Masanz, J.J.; Ogren, P.V.; Zheng, J.; Sohn, S.; Kipper-Schuler, K.C.; Chute, C.G. Mayo clinical Text Analysis and Knowledge Extraction System (cTAKES): Architecture, component evaluation and applications. J. Am. Med. Inform. Assoc. 2010, 17, 507–513. 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Inform. 1999, 54, 225–253. [CrossRef] 18 D ll K SNOMED CT Th d d t i l d di t f H lth St d H lth T h l I f 2006 121 279 17. McDonald, C.J.; Overhage, J.M.; Tierney, W.M.; Dexter, P.R.; Martin, D.K.; Suico, J.G.; Zafar, A.; Schadow T.; et al. The Regenstrief medical record system: A quarter century experience. Int. J. Med. Inform. 1999 18. Donnelly, K. SNOMED-CT: The advanced terminology and coding system for eHealth. Stud. Health Tech y gy g y f 19. Wang, Y.; Yu, Z.; Chen, L.; Chen, Y.; Liu, Y.; Hu, X.; Jiang, Y. Supervised methods for symptom name recognition in free-text clinical records of traditional Chinese medicine: An empirical study. J. Biomed. Inform. 2014, 47, 91–104. [CrossRef] [PubMed] 20. Ju, Z.; Wang, J.; Zhu, F. Named entity recognition from biomedical text using SVM. In Proceedings of the 2011 5th International Conference on Bioinformatics and Biomedical Engineering, Wuhan, China, 10–12 May 2011; pp. 1–4. 21. Yin, W.; Kann, K.; Yu, M.; Schütze, H. Comparative study of CNN and RNN for natural language processing. arXiv 2017, arXiv:1702.01923. 22. Li, Z.; Zhang, Q.; Liu, Y.; Feng, D.; Huang, Z. nn, K.; Yu, M.; Schütze, H. Comparative study of CNN and RNN for natural language processing. arX 1923. References Recurrent Neural Networks with Specialized Word Embedding for Chinese Clinical Named Entity Recognition; CEUR Workshop Proceedings: Aachen, Germany, 2017; Volume 1976, pp. 55–60. Appl. Sci. 2021, 11, 8682 10 of 10 10 of 10 23. Ouyang, E.; Li, Y.; Jin, L.; Li, Z.; Zhang, X. Exploring N-Gram Character Presentation in Bidirectional RNN-CRF for Chinese Clinical Named Entity Recognition; CEUR Workshop Proceedings: Aachen, Germany, 2017; Volume 1976, pp. 37–42. y g p g y pp 24. Vaswani, A.; Shazeer, N.; Parmar, N.; Uszkoreit, J.; Jones, L.; Gomez, A.N.; Polosukhin, I. Attention is All you Need. Adv. Neural Inf. Process. Syst. 2017, 30, 5998–6008. f y 25. Tan, Z.; Wang, M.; Xie, J.; Chen, Y.; Shi, X. 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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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English
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Integer Sets Having the Maximum Number of Distinct Differences
Zenodo (CERN European Organization for Nuclear Research)
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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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How Each Prosodic Boundary Cue Matters: Evidence from German Infants
Frontiers in psychology
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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. 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Acoust. Soc. Am. 90, 2956–2970. Vaissière, J., and Michaud, A. (2006). “Prosodic constituents in French: a data-driven approach,” in Prosody and Syntax, eds I. Fónagy, Y. Kawaguchi, and T. Moriguchi (Ams- terdam: John Benjamins), 47–64. Jusczyk, P. W., Hirsh-Pasek, K., Nelson, Jusczyk, P. W., Hirsh-Pasek, K., Nelson, D. G., Kennedy, L. J., Woodward, Hayashi, A., and Mazuka, R. (2002). Developmental change in infants’ preferences for continuousness in Japanese speech. Paper presented at Jusczyk, P. W., Hirsh-Pasek, K., Nelson, D. G., Kennedy, L. Stimuli Addi- tional evidence for this view comes from the study by Seidl and Cristià (2008),which revealed that younger,4-month-old English- 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- tion of acoustic correlates of major Ramus, F., Nespor, M., and Mehler, J. (2000). Correlates of linguistic A., and Piwoz, J. (1992). Percep- 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 Behav. Develop. 7, 49–63. This article was submitted to Frontiers in LanguageSciences,aspecialtyof Frontiers in Psychology. Venditti, J. J., Jun, S.-A., and Beck- man, M. E. (1996). “Prosodic cues to syntactic and other linguistic structures in Japanese, Korean, and English,” in Signal to Syntax: Boot- strapping from Speech to Gram- 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 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. Wightman, C. W., Shattuck-Hufnagel, S., Ostendorf, M., and Price, P. J. (1992). Segmental durations in the vicinity of prosodic phrase boundaries. J. Acoust. Soc. Am. 91, 1707–1717. 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. 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 Received: 30 July 2012; accepted: 10 December 2012; published online: 31 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 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 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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Chitosan Coated Textiles May Improve Atopic Dermatitis Severity by Modulating Skin Staphylococcal Profile: A Randomized Controlled Trial
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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 November 30, 2015 References Zhang Z, Chen L., Ji J., Huang Y. and Chen D.. Antibacterial properties of cotton fabrics treated with chitosan. Text Res J 2003; 73: 1103–6. 12. Zheng L-YaZ, J.-F.. Study on antimicrobial activity of chitosan with different molecular weights. Carbo- hydr Polym. 2003; 54:527–30. 13. Shin Y, Yoo D.I. and Jang J. Molecular weight effect on antimicrobial activity of chitosan-treated cotton fabrics. J Appl Polym Sci 2001; 80:2495–501. 14. Hanifin R. Severity scoring of atopic dermatitis: the SCORAD index. Consensus Report of the Euro- pean Task Force on Atopic Dermatitis.Dermatology 1993. 1993; 186:23. PMID: 8435513 15. Schram ME, Spuls PI, Leeflang MM, Lindeboom R, Bos JD, Schmitt J. EASI, (objective) SCORAD and POEM for atopic eczema: responsiveness and minimal clinically important difference. Allergy. 2012; 67 (1):99–106. doi: 10.1111/j.1398-9995.2011.02719.x PMID: 21951293 16. International Organization for Standardization in Textile Industry. ISO 105-C06 A1S. 17. AW U Darsow, Simon D, Werfel T, Oranje A, Gelmetti C, Svensson A, Deleuran M, Calza A-M, Seide- nari S,Ring J. ETFAD/EADV eczema task force 2009 position paper on diagnosis and treatment of atopic dermatitis. J Eur Acad Dermatol Venereol. 2010; 24:317–28. doi: 10.1111/j.1468-3083.2009. 03415.x PMID: 19732254 18. http://www.dermatology.org.uk/quality/dlqi/quality-dlqi-languages.html. 19. Pontes MN. Quality of life, disease representations, social support and family relation in patients with skin tumors (translated from Portuguese) Repositório Universidade do Minho Minho; 2013;https:// repositorium.sdum.uminho.pt/bitstream/1822/25446/1/Mafalda%20Rodrigues%20Nunes%20Ponte. pdf 20. Finlay AY KG. Dermatology Life Quality Index (DLQI): A simple practical measure for routine clinical use. Clin Exp Dermatol. 1994; 19:210–6. PMID: 8033378 21. Lewis-Jones MS FA. The Children’s Dermatology Life Quality Index (CDLQI): Initial validation and prac- tical use. Br J Dermatol. 1995(132: ):942–49. 22. Sine´ad M. Langan MKST, PhD; Hywel C. Williams FRCP,. What Is Meant by a “Flare” in Atopic Derma- titis? A Systematic Review and Proposal. Arch Dermatol 2006; 142:1190–6. PMID: 16983006 23. Chalmers JR, Schmitt J, Apfelbacher C, Dohil M, Eichenfield LF, Simpson EL, et al. Report from the Third International Consensus Meeting to Harmonise Core Outcome Measures for Atopic Eczema / Dermatitis Clinical Trials (HOME). Br J Dermatol. 2014. 24. Twiss J, Meads DM, Preston EP, Crawford SR, McKenna SP. Can we rely on the Dermatology Life Quality Index as a measure of the impact of psoriasis or atopic dermatitis? J Invest Dermatol. 2012; 132 (1):76–84. doi: 10.1038/jid.2011.238 PMID: 21881588 25. Soares J, Lopes C, Tavaria F, Delgado L, Pintado M. References 1. Flohr C, Mann J. New insights into the epidemiology of childhood atopic dermatitis. Allergy. 2014; 69 (1):3–16. doi: 10.1111/all.12270 PMID: 24417229 1. Flohr C, Mann J. New insights into the epidemiology of childhood atopic dermatitis. Allergy. 2014; 69 (1):3–16. doi: 10.1111/all.12270 PMID: 24417229 2. Leung DY. New insights into atopic dermatitis: role of skin barrier and immune dysregulation. Allergol Int. 2013; 62(2):151–61. doi: 10.2332/allergolint.13-RAI-0564 PMID: 23712284 3. van Drongelen V, Haisma EM, Out-Luiting JJ, Nibbering PH, El Ghalbzouri A. Reduced filaggrin expression is accompanied by increased Staphylococcus aureus colonization of epidermal skin mod- els. Clin Exp Allergy. 2014; 44(12):1515–24. doi: 10.1111/cea.12443 PMID: 25352374 3. van Drongelen V, Haisma EM, Out-Luiting JJ, Nibbering PH, El Ghalbzouri A. Reduced filaggrin expression is accompanied by increased Staphylococcus aureus colonization of epidermal skin mod- els. Clin Exp Allergy. 2014; 44(12):1515–24. doi: 10.1111/cea.12443 PMID: 25352374 4. Ring J, Alomar A, Bieber T, Deleuran M, Fink-Wagner A, Gelmetti C, et al. Guidelines for treatment of atopic eczema (atopic dermatitis) Part II. J Eur Acad Dermatol Venereol. 2012; 26(9):1176–93. doi: 10. 1111/j.1468-3083.2012.04636.x PMID: 22813359 5. Ring J, Alomar A, Bieber T, Deleuran M, Fink-Wagner A, Gelmetti C, et al. Guidelines for treatment of atopic eczema (atopic dermatitis) part I. J Eur Acad Dermatol Venereol. 2012; 26(8):1045–60. doi: 10. 1111/j.1468-3083.2012.04635.x PMID: 22805051 6. de Bruin Weller MS, Rockmann H, Knulst AC, Bruijnzeel-Koomen CA. Evaluation of the adult patient with atopic dermatitis. Clin Exp Allergy. 2013; 43(3):279–91. doi: 10.1111/cea.12030 PMID: 23414536 12 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844 November 30, 2015 Chitosan Textiles and Atopic Dermatitis 7. Gauger A, Fischer S, Mempel M, Schaefer T, Foelster-Holst R, Abeck D, et al. Efficacy and functionality of silver-coated textiles in patients with atopic eczema. J Eur Acad Dermatol Venereol. 2006; 20 (5):534–41. PMID: 16684280 8. Stinco G, Piccirillo F, Valent F. A randomized double-blind study to investigate the clinical efficacy of adding a non-migrating antimicrobial to a special silk fabric in the treatment of atopic dermatitis. Derma- tology. 2008; 217(3):191–5. doi: 10.1159/000141648 PMID: 18583910 9. Lopes C, Silva D, Delgado L, Correia O, Moreira A. Functional textiles for atopic dermatitis: a system- atic review and meta-analysis. Pediatr Allergy Immunol. 2013; 24(6):603–13. doi: 10.1111/pai.12111 PMID: 23980847 10. Qin C, Du Y., Xiao L., Li Z. and Gao X.. Enzymic preparation of water-soluble chitosan and their antitu- mor activity. Int J Biol Macromol. 2002; 31:111–7. PMID: 12559434 11. PLOS ONE | DOI:10.1371/journal.pone.0142844 November 30, 2015 30. Lai Y, Villaruz A.E., Li M., Cha D.J., Sturdevant D.E., Otto M.. The human anionic antimicrobial peptide dermcidin induces proteolytic defence mechanisms in staphylococci. Mol Microbiol 2007; 63:497–506. PMID: 17176256 31. Akiyama H, Yamasaki O, Tada J, Arata J. Adherence characteristics and susceptibility to antimicrobial agents of Staphylococcus aureus strains isolated from skin infections and atopic dermatitis. J Dermatol Sci. 2000; 23(3):155–60. PMID: 10959040 PLOS ONE | DOI:10.1371/journal.pone.0142844 November 30, 2015 Chitosan Textiles and Atopic Dermatitis References A diversity profile from the staphylococcal com- munity on atopic dermatitis skin: a molecular approach. J Appl Microbiol. 2013; 115(6):1411–9. doi: 10. 1111/jam.12296 PMID: 23910049 26. Dhandayuthapani B, Krishnan UM, Sethuraman S. Fabrication and characterization of chitosan-gelatin blend nanofibers for skin tissue engineering. J Biomed Mater Res B Appl Biomater. 2010; 94(1):264– 72. doi: 10.1002/jbm.b.31651 PMID: 20524203 27. Shi C, Zhu Y, Ran X, Wang M, Su Y, Cheng T. Therapeutic potential of chitosan and its derivatives in regenerative medicine. J Surg Res. 2006; 133(2):185–92. PMID: 16458923 28. Wang YP, Gan Y, Zhang XX. Novel gastroretentive sustained-release tablet of tacrolimus based on self-microemulsifying mixture: in vitro evaluation and in vivo bioavailability test. Acta Pharmacol Sin 2011; 32(10):1294–302. doi: 10.1038/aps.2011.90 PMID: 21927013 29. Wu Y-B, Yu S.-H., Mi F.-L., Wu C.-W., Shyu S.-S., Peng C.-H. aA-CC. Preparation and characterization on mechanical and antibacterial properties of chitosan/cellulose blends. Carbohydr Polym 2004(57: ): 435–40. 13 / 14 PLOS ONE | DOI:10.1371/journal.pone.0142844 November 30, 2015 Chitosan Textiles and Atopic Dermatitis 14 / 14
https://openalex.org/W2165169390
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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
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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 suggested in that previous trial. British Journal of Cancer (2006) 95(10), 1342 – 1347 & 2006 Cancer Research UK REFERENCES J Clin Oncol 18: 2676–2684 Castellanos AM, Fields WS (1986) Grading of neurotoxicity in cancer therapy. 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J Clin Oncol 11: 1269–1275 Maurel J, Fra J, Lopez-Pousa A, Garcia del Muro X, Balana C, Casado A, Martin J, Martinez-Trufero J, de las Penas R, Buesa JM (2004b) Sequential dose-dense doxorubicin and ifosfamide for advanced soft tissue sarcomas: a Phase II trial by the Spanish Group for Research on Sarcomas (GEIS). Cancer 100: 1498–1506 t advanced soft tissue sarcomas. J Clin Oncol 11: 1269–1275 Fata F, O’Reilly E, Ilson D, Pfister D, Leffel D, Kelsen DP, Schwartz GK, Casper ES (1999) Paclitaxel in the treatment of patients with angiosarcoma of the scalp or face. REFERENCES Antman KH, Ryan L, Elias A, Sherman D, Grier HE (1989) Response to ifosfamide and mesna: 124 previously treated patients with metastatic or unresectable sarcoma. J Clin Oncol 7: 126–131 Hensley ML, Maki R, Venkatraman E, Geller G, Lovegren M, Aghajanian C, Sabbatini P, Tong W, Barakat R, Spriggs DR (2002) Gemcitabine and docetaxel in patients with unresectable leiomyosarcoma: results of a phase II trial. J Clin Oncol 20: 2824–2831 Benjamin RS (1987) Grade 3 nausea, vomiting, and myelosuppression or progressive, metastatic sarcoma? J Clin Oncol 5: 833–835 phase II trial. J Clin Oncol 20: 2824–2831 Hryniuk W, Goodyear M (1990) The calculation of received dose intensity. J Clin Oncol 8: 1935–1937 Billingsley KG, Lewis JJ, Leung DH, Casper ES, Woodruff JM, Brennan MF (1999) Multifactorial analysis of the survival of patients with distant metastasis arising from primary extremity sarcoma. Cancer 85: 389–395 Judson I (2004) Systemic therapy of soft tissue sarcoma: an improvement in outcome. Ann Oncol 15(Suppl 4): iv193–iv196 Ku¨pfer A, Aeschlimann C, Wermuth B, Cerny T (1994) Prophylaxis and reversal of ifosfamide encephalopathy with methylene-blue. Lancet 343: 763–764 Blay JY, van Glabbeke M, Verweij J, van Oosterom AT, Le Cesne A, Oosterhuis JW, Judson I, Nielsen OS (2003) Advanced soft-tissue sarcoma: a disease that is potentially curable for a subset of patients treated with chemotherapy. Eur J Cancer 39: 64–69 Le Cesne A, Antoine E, Spielmann M, Le Chevalier T, Brain E, Toussaint C, Janin N, Kayitalire L, Fontaine F, Genin J, Vanel D, Contesso G, Tursz T (1995) High-dose ifosfamide: circumvention of resistance to standard-dose ifosfamide in advanced soft tissue sarcomas. J Clin Oncol 13: 1600–1608 y Bramwell VHC, Anderson D, Charette ML, The Sarcoma Disease Site Group (2003) Doxorubicin-based chemotherapy for the palliative treatment of adult patients with locally advanced or metastatic soft tissue sarcoma (review). The Cochrane Database Syst Rev, (3): CD003293, John Wiley and Sons, Ltd Le Cesne A, Judson I, Crowther D, Rodenhuis S, Keizer HJ, Van Hoesel Q, Blay JY, Frisch J, Van Glabbeke M, Hermans C, Van Oosterom A, Tursz T, Verweij J (2000) Randomized 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 117 patients that have been operated in order to render them British Journal of Cancer (2006) 95(10), 1342 – 1347 High-dose ifosfamide and doxorubicin in soft-tissue sarcoma S Leyvraz et al S Leyvraz et al 1346 the ground for salvage therapies to improve the outcome further. And future research should focus on identifying patients that might benefit form such a combined treatment approach. without evidence of disease, a median overall survival of 19 months was obtained (Billingsley et al, 1999). In previous studies of high- dose chemotherapy, salvage surgery with or without radiotherapy could be performed in 17–32% of patients and may have contributed to the improved outcomes in these series. & 2006 Cancer Research UK REFERENCES Cancer 86: 2034–2037 g Fayette J, Blay JY (2005) Genetic predictors for drug resistance in soft tissue sarcoma: a review of publications in 2004. Curr Opin Oncol 17: 370–375 O’Bryan RM, Luce JK, Talley RW, Gottlieb JA, Baker LH, Bonadonna G (1973) Phase II evaluation of adriamycin in human neoplasia. Cancer 32: 1–8 Oken MM, Creech RH, Tormey DC, Horton J, Davis TE, McFadden ET, Carbone PP (1982) Toxicity and response criteria of the Eastern Cooperative Oncology Group. 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J Clin Oncol 15: 350–362 p Reichardt P, Tilgner J, Hohenberger P, Dorken B (1998) Dose-intensive chemotherapy with ifosfamide, epirubicin, and filgrastim for adult patients with metastatic or locally advanced soft tissue sarcoma: a phase II study. & 2006 Cancer Research UK Glabbeke M, Verweij J (2002) Results of randomised studies of the EORTC Soft Tissue and Bone Sarcoma Group (STBSG) with two different ifosfamide regimens in first- and second-line chemotherapy in advanced soft tissue sarcoma patients. 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J Clin Oncol 13: 1537–1545 Worden FP, Taylor JM, Biermann JS, Sondak VK, Leu KM, Chugh R, McGinn CJ, Zalupski MM, Baker LH (2005) Randomized phase II evaluation of 6 g m2 of ifosfamide plus doxorubicin and granulocyte colony-stimulating factor (G-CSF) compared with 12 g m2 of ifosfamide plus doxorubicin and G-CSF in the treatment of poor-prognosis soft tissue sarcoma. J Clin Oncol 23: 105–112 Van Glabbeke M, van Oosterom AT, Oosterhuis JW, Mouridsen H, Crowther D, Somers R, Verweij J, Santoro A, Buesa J, Tursz T (1999) Prognostic factors for the outcome of chemotherapy in advanced soft tissue sarcoma: an analysis of 2185 patients treated with anthracycline- containing first-line regimens – a European Organization for Research and Treatment of Cancer Soft Tissue and Bone Sarcoma Group Study. J Clin Oncol 17: 150–157 World Health Organization (1979) Handbook for Reporting results for Cancer Treatment, 48, WHO offset publication No 48 (ed). WHO: Geneva Clinical Studies Yovine A, Riofrio M, Blay JY, Brain E, Alexandre J, Kahatt C, Taamma A, Jimeno J, Martin C, Salhi Y, Cvitkovic E, Misset JL (2004) Phase II study of ecteinascidin-743 in advanced pretreated soft tissue sarcoma patients. J Clin Oncol 22: 890–899 van Oosterom AT, Mouridsen HT, Nielsen OS, Dombernowsky P, Krzemieniecki K, Judson I, Svancarova L, Spooner D, Hermans C, Van British Journal of Cancer (2006) 95(10), 1342 – 1347 & 2006 Cancer Research UK
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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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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 fixation for completely displaced 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 Science Policy Centre report 02/12. Available: http://royalsociety.org/ Making Research Data Repositories Visible APIs, versioning of datasets, software of the RDR), November 2013 | Volume 8 | Issue 11 | e78080 PLOS ONE | www.plosone.org 7 Paris. Available: http://www.oecd.org/dataoecd/9/61/38500813.pdf. Accessed 16 May 2013. 3. The Royal Society (2012) Science as an open enterprise. The Royal Society Science Policy Centre report 02/12. Available: http://royalsociety.org/ Paris. Available: http://www.oecd.org/dataoecd/9/61/38500813.pdf. Accessed 16 May 2013. Making Research Data Repositories Visible N quality standards (e.g. certificates, audit processes), 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. Making Research Data Repositories Visible 26. European Strategy Forum on Research Infrastructures (2006) European Roadmap for Research Infrastructures. Report 2006. Available: http://ec. europa.eu/research/infrastructures/pdf/esfri/esfri_roadmap/roadmap_2006/ esfri_roadmap_2006_en.pdf Accessed 15 March 2013. uploadedFiles/Royal_Society_Content/policy/projects/sape/2012-06-20- SAOE.pdf. Accessed 16 May 2013. 4. European Commission (2012) Commission Recommendation on access to and preservation of scientific information. C(2012) 4890 final. Available: http://ec. europa.eu/research/science-society/document_library/pdf_06/ recommendation-access-and-preservation-scientific-information_en.pdf. Ac- cessed 16 May 2013. 27. Suber P (2012) Open Access. Cambridge, Massachusetts: The MIT Press. Available: http://mitpress.mit.edu/books/open-access. Accessed 15 March 2013. 5. Office of Science and Technology Policy (2013) Increasing Access to the Results of Federally Funded Scientific Research. 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References November 2013 | Volume 8 | Issue 11 | e78080 PLOS ONE | www.plosone.org 8 53. ESF & EUROHORCs (2011) Basic Requirements for Research Infrastructures in Europe. Available: http://www.dfg.de/download/pdf/foerderung/ programme/wgi/basic_requirements_research_infrastructures.pdf. Accessed 15 March 2013. 54. ICSU World Data System (WDS) (2011) Certification of World Data System Members Introduction. Available: http://icsu-wds.org/images/files/ Certification_summary_6_Jul_2011.pdf. Accessed 03 January 2012. 51. Consultative Committee for Space Data Systems (CCSDS) (2011) Audit and Certification of Trustworthy Digital Repositories. Recommended Practice. CCSDS 652.0-M-1. Magenta Book. Available: http://public.ccsds.org/ publications/archive/652x0m1.pdf. Accessed 15 March 2013. 52. Data Seal of Approval (2010) Data Seal of Approval. Guidelines version 1. Available: http://assessment.datasealofapproval.org/documentation/. Accessed 15 March 2013. 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Comparative study of the Neurotoxic Effects of Pregabalin versus Tramadol in Rats
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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 and revised the final manuscript. 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Evoy, K.E., Morrison, M.D., Saklad, S.R., 2017. Abuse and Misuse of Pregabalin and Gabapentin. Drugs. 77 (4), 403–426. https://doi.org/10.1007/s40265-017-0700-x 24. Evoy, K.E., Peckham, A.M., Covvey, J.R., Tidgewell, K.J., 2021. Gabapentinoid pharmacology in the context of emerging misuse liability. The Journal of Clinical Pharmacology. 61, S89-S99. https://doi.org/10.1002/jcph.1833 25. Faron-Górecka, A., Kuśmider, M., Inan, S.Y., Siwanowicz, J., Piwowarczyk, T., Dziedzicka-Wasylewska, M., 2004. Long-term exposure of rats to tramadol alters brain dopamine and alpha 1-adrenoceptor function that may be related to antidepressant potency. Eur J Pharmacol. 501 (1–3), 103–110. https://doi.org/10.1016/j.ejphar.2004.08.011 26. Fink, K., Dooley, D.J., Meder, W.P., Suman-Chauhan, N., Duffy, S., Clusmann, H., et al., 2002. References Bancroft (Eds.), Bancroft's Theory and Practice of Histological Techniques E-Book (8th ed., pp. 176–187). 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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). 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English
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Environmental Risk Due to Heavy Metal Contamination Caused by Old Copper Mining Activity at ?ubietová Deposit, Slovakia
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 concentrations of heavy metals are in roots, than in leaves and stems and the lowest concentrations are in flowers, 195 Energy and Environment Research Vol. 3, No. 2; 2013 www.ccsenet.org/eer seeds and in fruits. The plant tissues from the dump-field are heavily damaged. of Agronomy. Kishk, F. M., & Hassan, M. N. (1973). Sorption and desorption of copper by and from clay minerals. Plant Soil, 39(3), 497-505. http://dx.doi.org/10.1007/BF00264168 Koděra, M. (1990). 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The effect of fertility stress on endometrial and subendometrial blood flow among infertile women
Reproductive biology and endocrinology
2,017
cc-by
4,958
© The Author(s). 2017 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. 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 of Zhengzhou University Ethics Committee. 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[Assessment of endometrial receptivity by color Doppler and ultrasound imaging]. Med Pregl. 2007;60:237–40. 6. Klonoff-Cohen H, Natarajan L. The concerns during assisted reproductive technologies (CART) scale and pregnancy outcomes. Fertil Steril. 2004;81:982–8. 29. Slayden OD, Rubin JS, Lacey DL, Brenner RM. Effects of keratinocyte growth factor in the endometrium of rhesus macaques during the luteal-follicular transition. J Clin Endocrinol Metab. 2000;85:275–85. 7. Ebbesen SM, Zachariae R, Mehlsen MY, Thomsen D, Hojgaard A, Ottosen L, Petersen T, Ingerslev HJ. Stressful life events are associated with a poor in- vitro fertilization (IVF) outcome: a prospective study. Hum Reprod. 2009;24: 2173–82. 30. Coughlan C, Sinagra M, Ledger W, Li TC, Laird S. References Predictors of psychological distress in patients starting IVF treatment: infertility-specific versus general psychological characteristics. Hum Reprod. 2010;25:1471–80. 20. Peng T, Coates R, Merriman G, Zhao Y, Maycock B. Testing the psychometric 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 power Doppler ultrasound. Ultrasound Obstet Gynecol. 2005;26:765–9. 22. Ng EH, Chan CC, Tang OS, Yeung WS, Ho PC. Factors affecting endometrial and subendometrial blood flow measured by three-dimensional power Doppler ultrasound during IVF treatment. Hum Reprod. 2006;21:1062–9. 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. 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 • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit and we will help you at every step: 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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Farming and land use changes in Cerrado biome: the case of East Maranhão – Brazil (1985/2018)
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., 2020) 5 References ABRAMSON, M; HAGBERG, J-M. What about community sustainably? – dilemmas of ageing in shrinking semi-rural areas in Sweden. Scottish Geographical Journal, n.134, v.3-4, p.103-121, 2018. DOI: https://doi.org/10.1080/14702541.2018.1527941 ABRAMSON, M; HAGBERG, J-M. What about community sustainably? – dilemmas of ageing in shrinking semi-rural areas in Sweden. Scottish Geographical Journal, n.134, v.3-4, p.103-121, 2018. DOI: https://doi.org/10.1080/14702541.2018.1527941 ALMEIDA, J. G.; MATTOS JÚNIOR, J. S. A dinâmica da produção de soja no município de Brejo (MA) e seus reflexos na produção agrícola camponesa. Campo-Território: revista de geografia agrária, Uberlândia, v. 11, n. 24, p. 374-399, Aug. 2016. ARAÚJO, M. L. S.; SANO, E. E.; BOLFE, E. L.; SANTOS, J. R. N.; SANTOS, J. S.; SILVA, F. B. Spatiotemporal dynamics of soybean crop in the Matopiba region, Brazil (1990–2015). Land use policy, v.80, p.57-67, 2019. DOI: https://doi.org/10.1016/j.landusepol.2018.09.040 ARAÚJO, M. L. S.; SANO, E. E.; BOLFE, E. L.; SANTOS, J. R. N.; SANTOS, J. S.; SILVA, F. B. Spatiotemporal dynamics of soybean crop in the Matopiba region, Brazil (1990–2015). Land use policy, v.80, p.57-67, 2019. DOI: https://doi.org/10.1016/j.landusepol.2018.09.040 BECKMANN, E.; SANTANA, A. C. Modernização da agricultura na nova fronteira agrícola do Brasil: MATOPIBA e Sudeste do Pará. Revista em Agronegócio e Meio Ambiente, Maringá (PR), v. 12, n. 1, p. 81-102, Jan.Mar. 2019. DOI: https://doi.org/10.17765/2176-9168.2019v12n1p81- 102 BRASIL. INSTITUTO BRASILEIRO DE GEOGRAFIA E ESTATÍSTICA. Produção Agrícola Municipal. Available at: < https://sidra.ibge.gov.br/pesquisa/pam/tabelas >. Accessed on: Aug. 5 2019a. BRASIL. INSTITUTO BRASILEIRO DE GEOGRAFIA E ESTATÍSTICA. Produção Agrícola Municipal. Available at: < https://sidra.ibge.gov.br/pesquisa/pam/tabelas >. Accessed on: Aug. 5 2019a. 8 Unfortunately, we are seeing the prevalence of a simplify rural development speech in Brazil (MIRA 2020) ely, we are seeing the prevalence of a simplify rural development speech in Brazil (MIRANDA et al., COLÓQUIO – Revista do Desenvolvimento Regional - Faccat - Taquara/RS - v. 17, n. 2, abr./jun. 2020 144 ______. MINISTÉRIO DA AGRICULTURA, PECUÁRIA E ABASTECIMENTO. Balança Comercial Agronegócio – Junho 2018. Available at: <http://www.agricultura.gov.br/noticias/saldo-da- balanca-do-agro-em-junho-e-de-us-8-17-bilhoes/Junho2018.docx>. Accessed on: Aug. 7 2019b. ______. INSTITUTO BRASILEIRO DE GEOGRAFIA E ESTATÍSTICA. Estimativas da População. Available at: < https://sidra.ibge.gov.br/pesquisa/estimativas>. Accessed on: Aug. 29 2019c. ______. INSTITUTO BRASILEIRO DE GEOGRAFIA E ESTATÍSTICA. Censo Agropecuária 2017. Available at: < https://sidra.ibge.gov.br/pesquisa/pam>. Accessed on: Nov. 21 2019d. ______. INSTITUTO BRASILEIRO DE GEOGRAFIA E ESTATÍSTICA. Produção Pecuária Municipal. Available at: < https://sidra.ibge.gov.br/pesquisa/pam/tabelas>. Accessed on: Dec. 2 2019e. DUTRA, J. A. A.; AREND, S. C. Tecnologia de informação e desenvolvimento agrícola regional: estudo de caso em Balsas/MA. https://doi.org/10.17127/got/2019.16.006 ELIAS, D. Reestruturação produtiva da agropecuária e novas regionalizações no Brasil. In: ALVES, V. E. L (org). Modernização e regionalização nos Cerrados do Centro Norte do Brasil: Oeste da Bahia, Sul do Maranhão e do Piauí e Leste de Tocantins. Rio de Janeiro: Consequênci ELIAS, D. Reestruturação produtiva da agropecuária e novas regionalizações no Brasil. In: ALVES, V. E. L (org). Modernização e regionalização nos Cerrados do Centro Norte do Brasil: Oeste da Bahia, Sul do Maranhão e do Piauí e Leste de Tocantins. Rio de Janeiro: Consequência Editora, p. 25-44, 2015. ELIAS, D. Reestruturação produtiva da agropecuária e novas regionalizações no Brasil. In: ALVES, V. E. L (org). Modernização e regionalização nos Cerrados do Centro Norte do Brasil: Oeste da Bahia, Sul do Maranhão e do Piauí e Leste de Tocantins. Rio de Janeiro: Consequência Editora, p. 25-44, 2015. ______. Construindo a noção de Região Produtiva do Agronegócio. OLIVEIRA, H.C.; CALIXTO, M. J. M. S.; SOARES, B. R. (orgs.). In: Cidades médias e região. São Paulo: Cultura Acadêmica, 2017. ______. Construindo a noção de Região Produtiva do Agronegócio. OLIVEIRA, H.C.; CALIXTO, M. J. M. S.; SOARES, B. R. (orgs.). In: Cidades médias e região. São Paulo: Cultura Acadêmica, 2017. ______. Construindo a noção de Região Produtiva do Agronegócio. OLIVEIRA, H.C.; CALIXTO, M. J. M. S.; SOARES, B. R. (orgs.). In: Cidades médias e região. São Paulo: Cultura Acadêmica, 2017. ______. Interações entre o rural e o urbano a partir do agronegócio globalizado e desenvolvimento regional. SILVEIRA, R. L. L. S.; FELIPPI, A. C. T. (orgs.). In: Territórios, redes e desenvolvimento regional: perspectivas e desafio. Florianópolis: Editora Insular, 2018. ______. Interações entre o rural e o urbano a partir do agronegócio globalizado e desenvolvimento regional. SILVEIRA, R. L. L. S.; FELIPPI, A. C. T. (orgs.). In: Territórios, redes e desenvolvimento regional: perspectivas e desafio. Florianópolis: Editora Insular, 2018. ______. Interações entre o rural e o urbano a partir do agronegócio globalizado e desenvolvimento regional. SILVEIRA, R. L. L. S.; FELIPPI, A. C. T. (orgs.). In: Territórios, redes e 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 econômico e social do Maranhão. 2017. 325p. Tese (Doutorado) – Universidade Estadual do Oeste do Paraná, Toledo. ______; OLIVEIRA, T.; SCHNEIDER, M. Maranhão: comparação da competitividade dos ciclos da cotonicultura (1755-1970) e da sojicultura (desde 1980). Revista de Geografia e Ordenamento do Território (GOT), n. 16, p. 125-152 Mar. 2019. DOI: ______; OLIVEIRA, T.; SCHNEIDER, M. Maranhão: comparação da competitividade dos ciclos da cotonicultura (1755-1970) e da sojicultura (desde 1980). Revista de Geografia e Ordenamento 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. 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. 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
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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Epidemiology and Patient Characteristics of Chronic Kidney Disease in Saudi Arabia
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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 Hemodialysis Patients in Saudi Arabia. Kidney Int Rep. 2021;6(3):817–20. 2. Mousa D, et al. Prevalence and Associated Factors of Chronic Kidney Disease among Relatives of Hemodialysis Patients in Saudi Arabia. Kidney Int Rep. 2021;6(3):817–20. 3. Alsuwaida AO, et al. Epidemiology of chronic kidney disease in the Kingdom of Saudi Arabia (SEEK- Saudi investigators) - a pilot study. Saudi J Kidney Dis Transpl. 2010;21(6):1066–72. 3. Alsuwaida AO, et al. Epidemiology of chronic kidney disease in the Kingdom of Saudi Arabia (SEEK- Saudi investigators) - a pilot study. Saudi J Kidney Dis Transpl. 2010;21(6):1066–72. 4. Miller WG, et al. National Kidney Foundation Laboratory Engagement Working Group recommendations for implementing the CKD-EPI 2021 race-free equations for estimated glomerular filtration rate: practical guidance for clinical laboratories. Clin Chem. 2022;68(4):511–20. 4. Miller WG, et al. National Kidney Foundation Laboratory Engagement Working Group recommendations for implementing the CKD-EPI 2021 race-free equations for estimated glomerular filtration rate: practical guidance for clinical laboratories. Clin Chem. 2022;68(4):511–20. 5. Levin A, et al. Kidney Disease: Improving Global Outcomes (KDIGO) CKD Work Group. KDIGO 2012 clinical practice guideline for the evaluation and management of chronic kidney disease. Kidney Int supplements. 2013;3(1):1–150. 6. Levey AS, et al. Definition and classification of chronic kidney disease: a position statement from Kidney Disease: Improving Global Outcomes (KDIGO). Kidney Int. 2005;67(6):2089–100. 6. Levey AS, et al. Definition and classification of chronic kidney disease: a position statement from Kidney Disease: Improving Global Outcomes (KDIGO). Kidney Int. 2005;67(6):2089–100. Page 19/23 Page 19/23 7. Assiry A et al. Public Awareness of Chronic Kidney Disease in Jazan Province, Saudi Arabia-A Cross- Sectional Survey. Healthc (Basel), 2022. 10(8). 8. Cyrus C, et al. Assessing known chronic kidney disease associated genetic variants in Saudi Arabian populations. BMC Nephrol. 2018;19(1):88. 9. Shaheen FA, Souqiyyeh MZ. Current status of renal transplantation in the Kingdom of Saudi Arabia. Transpl Proc. 2004;36(1):125–7. 10. Foley RN, Collins AJ. End-stage renal disease in the United States: an update from the United States Renal Data System. J Am Soc Nephrol. 2007;18(10):2644–8. 11. Bakarman MA, Alghamdi HA, Alraddadi RM. Quality of healthcare for hemodialysis patients in 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
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The FoxP1 gene regulates lung function, production of matrix metalloproteinases and inflammatory mediators, and viability of lung epithelia
Respiratory research
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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://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. The Creative Commons Public Domain Dedication waiver (http://​creat​iveco​ mmons.​org/​publi​cdoma​in/​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 1. Huang X, Mu X, Deng L, Fu A, Pu E, Tang T, Kong X. The etiologic origins for chronic obstructive pulmonary disease. Int J Chron Obstruct Pulmon Dis. 2019;14:1139–58. 2. Shi W, Bellusci S, Warburton D. Lung development and adult lung dis- eases. Chest. 2007;132:651–6. 3. Shu W, Lu MM, Zhang Y, Tucker PW, Zhou D, Morrisey EE. Foxp2 and Foxp1 cooperatively regulate lung and esophagus development. Devel- opment. 2007;134:1991–2000. 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. 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. 1. Huang X, Mu X, Deng L, Fu A, Pu E, Tang T, Kong X. The etiologic origins for chronic obstructive pulmonary disease. Int J Chron Obstruct Pulmon Dis. 2019;14:1139–58. 24. Bacon C, Rappold GA. The distinct and overlapping phenotypic spectra of FOXP1 and FOXP2 in cognitive disorders. Hum Genet. 2012;131:1687–98. 25. Chokas AL, Trivedi CM, Lu MM, Tucker PW, Li S, Epstein JA, Morrisey EE. Foxp1/2/4-NuRD interactions regulate gene expression and epithelial injury response in the lung via regulation of interleukin-6. J Biol Chem. 2010;285:13304–13. 2. Shi W, Bellusci S, Warburton D. Lung development and adult lung dis- eases. Chest. 2007;132:651–6. 3. Shu W, Lu MM, Zhang Y, Tucker PW, Zhou D, Morrisey EE. Foxp2 and Foxp1 cooperatively regulate lung and esophagus development. Devel- opment. 2007;134:1991–2000. Declarations 13. Gharib SA, Manicone AM, Parks WC. Matrix metalloproteinases in emphy- sema. Matrix Biol. 2018;73:34–51. Consent for publication Not applicable. 17. Joshi B, Cameron A, Jagus R. Characterization of mammalian eIF4E-family members. Eur J Biochem. 2004;271:2189–203. Funding 8. Shrine N, Guyatt AL, Erzurumluoglu AM, Jackson VE, Hobbs BD, Melbourne CA, Batini C, Fawcett KA, Song K, Sakornsakolpat P, et al. New genetic signals for lung function highlight pathways and chronic obstructive pulmonary disease associations across multiple ancestries. Nat Genet. 2019;51:481–93. This material is based upon work supported by National Institutes of Health grants HL1534001 (to D.C.), HL126912 (to D.C.), and HL149719 (to T.N.), the Samuel Winters Foundation (713263, to D.C), and the American Heart Association (to T.N.). This research is also supported by the US Department of Veterans Affairs, Veterans Health Administration, Office of Research and Development, Biomedical Laboratory Research, and Development by a Merit Review award CX000105 (to T.N.). The funding sources did not have a direct role in the design, conduct, interpretation, writing, or decision to submit this manuscript for publication. 9. Myers TA, Chanock SJ, Machiela MJ. LDlinkR: an R package for rapidly calculating linkage disequilibrium statistics in diverse populations. Front Genet. 2020;11:157. 10. Zheng Z, Huang D, Wang J, Zhao K, Zhou Y, Guo Z, Zhai S, Xu H, Cui H, Yao H, et al. QTLbase: an integrative resource for quantitative trait loci across multiple human molecular phenotypes. Nucleic Acids Res. 2020;48:D983–91. Availability of data and materials SpiroMeta GWAS summary statistics and UK Biobank GWAS summary statistics are available online via LD-Hub (http://​ldsc.​broad​insti​tute.​org/​ldhub/). The newly derived spirometry variables are available from UK Biobank (http://​ www.​ukbio​bank.​ac.​uk/). Data from in vitro experiments are available from the authors on request. 11. Craig VJ, Zhang L, Hagood JS, Owen CA. Matrix metalloproteinases as therapeutic targets for idiopathic pulmonary fibrosis. Am J Respir Cell Mol Biol. 2015;53:585–600. 12. Mahalanobish S, Saha S, Dutta S, Sil PC. Matrix metalloproteinase: an upcoming therapeutic approach for idiopathic pulmonary fibrosis. Phar- macol Res. 2020;152: 104591. Acknowledgements The Genotype-Tissue Expression (GTEx) Project was supported by the Common Fund of the Office of the Director of the National Institutes of Health, and by NCI, NHGRI, NHLBI, NIDA, NIMH, and NINDS. The data used for the analyses described in this manuscript were obtained from the GTEx Portal on 09/05/2021. Page 11 of 11 Page 11 of 11 Andreas et al. Respiratory Research (2022) 23:281 Andreas et al. Respiratory Research (2022) 23:281 Competing interests 18. Romagnoli A, D’Agostino M, Ardiccioni C, Maracci C, Motta S, La Teana A, Di Marino D. Control of the eIF4E activity: structural insights and pharma- cological implications. Cell Mol Life Sci. 2021;78(21–22):6869–85. The authors declare that they have no conflicts of interest with the contents of this article. 19. Huggins HP, Keiper BD. Regulation of germ cell mRNPs by eIF4E:4EIP complexes: multiple mechanisms, one goal. Front Cell Dev Biol. 2020;8:562. Author details 1 Department of Medicine, University of Pittsburgh, Pittsburgh, USA. 2 Medical Specialty Service Line, Veterans Affairs Pittsburgh Healthcare System, Pittsburgh, PA, USA. 3 Pulmonary, Allergy, and Critical Care Medicine, UPMC Montefiore Hospital-NW628, 3459 Fifth Avenue, Pittsburgh, PA 15213, USA. 20. Yang X, Zhong W, Cao R. Phosphorylation of the mRNA cap-binding protein eIF4E and cancer. Cell Signal. 2020;73: 109689. 21. Li S, Wang Y, Zhang Y, Lu MM, DeMayo FJ, Dekker JD, Tucker PW, Morrisey EE. Foxp1/4 control epithelial cell fate during lung development and regeneration through regulation of anterior gradient 2. Development. 2012;139:2500–9. Received: 22 April 2022 Accepted: 27 September 2022 Received: 22 April 2022 Accepted: 27 September 2022 22. Golson ML, Kaestner KH. Fox transcription factors: from development to disease. Development. 2016;143:4558–70. p 23. Hannenhalli S, Kaestner KH. The evolution of Fox genes and their role in development and disease. Nat Rev Genet. 2009;10:233–40. Author contributions 6. Hobbs BD, de Jong K, Lamontagne M, Bosse Y, Shrine N, Artigas MS, Wain LV, Hall IP, Jackson VE, Wyss AB, et al. Genetic loci associated with chronic obstructive pulmonary disease overlap with loci for lung function and pulmonary fibrosis. Nat Genet. 2017;49:426–32. AA and AM: Performed most of the in vitro experiments. TN: Genomic analysis and manuscript writing. YZ: Performed assays for inflammatory mediators and AA and AM: Performed most of the in vitro experiments. TN: Genomic analysis and manuscript writing. YZ: Performed assays for inflammatory mediators and MMPs. DC: Conceptualized the study, planned the experiments, interpreted the results, and wrote the manuscript. All authors read and approved the final manuscript. pulmonary fibrosis. Nat Genet. 2017;49:426–32. 7. Allen RJ, Guillen-Guio B, Oldham JM, Ma SF, Dressen A, Paynton ML, Kraven LM, Obeidat M, Li X, Ng M, et al. Genome-wide association study of susceptibility to idiopathic pulmonary fibrosis. Am J Respir Crit Care Med. 2020;201:564–74. Ethics approval and consent to participate 14. Houghton AM. Matrix metalloproteinases in destructive lung disease. Matrix Biol. 2015;44–46:167–74.f Ethics approval and consent to participate was not required for this manuscript because the data was publically available from the UK BioBank and no participants were enrolled by the authors. SpiroMeta GWAS summary statistics and UK Biobank GWAS summary statistics are available online via LD-Hub (http://​ldsc.​broad​insti​tute.​org/​ldhub/). The newly derived spirometry variables are available from UK Biobank (http://​www.​ukbio​bank.​ac.​uk/). 15. Blue ML, Janoff A. Possible mechanisms of emphysema in cigarette smok- ers. Release of elastase from human polymorphonuclear leukocytes by cigarette smoke condensate in vitro. Am Rev Respir Dis. 1978;117:317–25. 16. Brynedal B, Choi J, Raj T, Bjornson R, Stranger BE, Neale BM, Voight BF, 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
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 n102ðn1Þ   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 eDG° 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 kcalmol1) when changing radicals, chalcogens and medium and spans from 27 to 32 kcalmol1. 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 CollinsKimball 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 kcalmol1 to almost 20 kcalmol1, 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 kcalmol1) 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 kcalmol1) 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 kcalmol1) 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 kcalmol1) for radical adduct formation (RAF).[a] Table 2. Gibbs free energy of activation (ΔG°, in kcalmol1) for hydrogen atom transfer (HAT) from site 1. Table 2. Gibbs free energy of activation (ΔG°, in kcalmol1) for hydrogen atom transfer (HAT) from site 1. Table 2. Gibbs free energy of activation (ΔG°, in kcalmol1) 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 kcalmol1) 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 M1s1).[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 kcalmol1) 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 kcalmol1) 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 kcalmol1). 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 kcalmol1) 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 kcalmol1) 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 (109 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 kcalmol1) 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 kcalmol1 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 M1s1, %) 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 kcalmol1) 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 kcalmol1) 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 M1s1, %) 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 * 3.72·101 (0%) 3.53·101 (0%) 5.09·101 (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 M1s1, %) 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 M1s1) for the quenching activity of several antioxidant molecules towards different ROSs. Table 11. Calculated and experimental kinetic rate constants (in M1s1) 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[5557] 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[6264] Melatonin HO * Aqueous 1.85·1010[65,66] 3.04·1010[6771] 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. 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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. 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ChemMedChem published by Wiley-VCH GmbH Kinetic constants and antioxidant activity kapp in lipid 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 * 4.32·102 (0%) 5.04·102 (0%) 4.47·102 (0%) CH3OO * 1.86·104 (0%) 2.13·104 (0%) 3.50·104 (0%) SET HO * 8.80·1019 (0%) 6.84·1015 (0%) 7.45·1022 (0%) HOO * 2.60·1031 (0%) 2.87·1028 (0%) 9.60·1030 (0%) CH3OO * 9.24·1033 (0%) 1.13·1029 (0%) 2.65·1031 (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 M1s1, %) for all analyzed mechanisms in pentyl ethanoate at 298.15 K. Table 10. 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ChemMedChem 2021, 16, 3763–3771 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 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 Conflict of Interest Hata, Y. Muroya, K. Nakagawa, J. Photochem. Photobiol. B 2007, 89, 36–43. [54] A. Galano, J. R. Alvarez-Idaboy, RSC Adv. 2011, 1, 1763. [81] C. Muraro, M. Polato, M. Bortoli, F. Aiolli, L. Orian, J. Chem. Phys. 2020, 153, 114117. [55] M. Quintiliani, R. Badiello, M. Tamba, A. Esfandi, G. Gorin, Int. J. Radiat. Biol. Relat. Stud. Phys. Chem. Med. 1977, 32, 195–202. [56] T. E. Eriksen, G. Fransson, J. Chem. Soc. Perkin Trans. 2 1988, 1117. [57] D. Hofstetter, T. Nauser, W. H. Koppenol, Chem. Res. Toxicol. 2010, 23, 1596–1600. [58] M. Z. Baker, R. Badiello, M. Tamba, M. 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Correction to: Reply to: The PulMiCC Trial Provides Control Data for Colorectal Lung Metastases Amenable to Local Treatments
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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DDX58 and Classic Singleton-Merten Syndrome
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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- gy. J Interf Cytokine Res. 2018;38(4):171–85. 1. Rutsch F, MacDougall M, Lu C, Buers I, Mamaeva O, Nitschke Y, et al. A specific IFIH1 gain-of-function mutation causes Singleton- Merten syndrome. Am J Hum Genet. 2015;96(2):275–82. 11. Feigenbaum A, Müller C, Yale C, Kleinheinz J, Jezewski P, Kehl HG, et al. Singleton-Merten syndrome: an autosomal dominant dis- order with variable expression. Am J Med Genet A. 2013;161A: 360–70. 2. Rice GI, Del Toro Duany Y, Jenkinson EM, et al. Gain-of-function mutations in IFIH1 cause a spectrum of human disease phenotypes associated with upregulated type I interferon signaling. Nat Genet. 2014;46(5):503–9. 12. Crow YJ, Chase DS, Lowenstein Schmidt J, et al. Characterization of human disease phenotypes associated with mutations in TREX1, RNASEH2A, RNASEH2B, RNASEH2C, SAMHD1, ADAR, and IFIH1. Am J Med Genet A. 2015;167A(2):296–312. 3. Oda H, Nakagawa K, Abe J, Awaya T, Funabiki M, Hijikata A, et al. Aicardi-Goutières syndrome is caused by IFIH1 mutations. Am J Hum Genet. 2014;95(1):121–5. 4. de Carvalho LM, Ngoumou G, Park JW, Ehmke N, Deigendesch N, Kitabayashi N, et al. Musculoskeletal disease in MDA5-related type I interferonopathy: a Mendelian mimic of Jaccoud’s arthropa- thy. Arthritis Rheumatol. 2017;69(10):2081–91. 13. Rodero MP, Tesser A, Bartok E, Rice GI, Della Mina E, Depp M, et al. Type I interferon-mediated autoinflammation due to DNase II deficiency. Nat Commun. 2017;8(1):2176. 14. Kothur K, Bandodkar S, Chu S, Wienholt L, Johnson A, Barclay P, et al. An open-label trial of JAK 1/2 blockade in progressive IFIH1- associated neuroinflammation. Neurology. 2018;90(6):289–91. 5. Bursztejn AC, Briggs TA, del Toro Duany Y, Anderson BH, O’Sullivan J, Williams SG, et al. Unusual cutaneous features asso- ciated with a heterozygous gain-of-function mutation in IFIH1: overlap between Aicardi-Goutières and Singleton-Merten syn- dromes. Br J Dermatol. 2015;173(6):1505–13. 15. Sanchez GAM, Reinhardt A, Ramsery S, et al. JAK1/2 inhibition with baricitinib in the treatment of autoinflammatory interferonopathies. J Clin Invest. 2018;128(7):3041–52. 6. Jang MA, Kim EK, Now H, Nguyen NTH, Kim WJ, Yoo JY, et al. Mutations in DDX58, which encodes RIG-I, cause atypical 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 that DDX58 gain-of-function pathogenic variants are associated 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 systemic flares, could not be assessed because no further samples 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 ubiquitin-mediated antiviral signal activation by RIG-I. Nature. 2014;509:110–4. References Efficacy of the Janus kinase 1/2 inhibitor ruxolitinib in the treatment of vasculopathy associated with TMEM173-activating mutations in 3 children. J Allergy Clin Immunol. 2016;138(6): 1752–5. 7. Jiang F, Ramanathan A, Miller MT, Tang GQ, Gale M, Patel SS, et al. Structural basis of RNA recognition and activation by innate immune receptor RIG-I. Nature. 2011;479(7373):423–7.
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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 Consent to participate : Not applicable Consent to participate : Not applicable Consent for publication : Not applicable Consent for publication : Not applicable References 1. Pillot S (2016) Fusion laser sélective de lit de poudres métalliques.Technique de l’ingénieurBM7900, 1. Pillot S (2016) Fusion laser sélective de lit de poudres métalliques.Technique de l’ingénieurBM7900, 2. Mauduit A, Pillot S, Frascati F (2015) Application study of AlSi10Mg alloy by selective laser melting: physical and mechanical properties, microstructure, heat treatments and man-ufacturing of aluminium metallic matrix composite (MMC). Metallurgical research & technology, 112, 605. Doi: 10.1051/ metal/2015039 3. Carl R (1989) Deckard. Method and ap- paratus for producing parts by selective sintering.US4863538A, 4. Tan LJ, Zhu W, Zhou K (2020) Recent progress on polymer materials for additive manufacturing. Adv Funct Mater. https://doi.org/10.1002/adfm.202003062 5. Kumar S (2003) Selective laser sintering: a qualitative and objective approach. Jom 55:43–47 5. Kumar S (2003) Selective laser sintering: a qualitative and objective approach. Jom 55:43–47 6. Rajesh R, Sudheer S, Kulkarni MV (2015) Selective laser sintering process: a review. Int J Curr Engg 6. Rajesh R, Sudheer S, Kulkarni MV (2015) Selective laser sintering process: a review. Int J Curr Engg Sci Res 2:91–100 7. Kruth JP, Wang X, Laoui T, Froyen L (2003) Lasers and materials in selective laser sintering. J Assembly Automation 23(4):357–371 8. Pandey PM, Reddy NV, Dhande SG (2003) Slicing procedures in layered manufacturing: a review,J. Rapid Prototyping 8. Pandey PM, Reddy NV, Dhande SG (2003) Slicing procedures in layered manufacturing: a review,J. Rapid Prototyping 9. Goodridge RD, Tuck CJ, Hague RJM (2012) Laser sintering of polyamides and other polymers. Prog Mater Sci 57(2):229–267. http://dx.doi.org/10.1016/ j.pmatsci.2011.04.001 9. Goodridge RD, Tuck CJ, Hague RJM (2012) Laser sintering of polyamides and other polymers. Prog Mater Sci 57(2):229–267. http://dx.doi.org/10.1016/ j.pmatsci.2011.04.001 10. Drummer D, Rietzel F, Kühnlein D (2010) Development of a characterization approach for the sintering behavior of new thermoplastics for selective laser sintering. Physics Procedia 5:533–542. http://dx.doi.org/10.1016/j.phpro.2010.08.. 081 10. Drummer D, Rietzel F, Kühnlein D (2010) Development of a characterization approach for the sintering behavior of new thermoplastics for selective laser sintering. Physics Procedia 5:533–542. http://dx.doi.org/10.1016/j.phpro.2010.08.. 081 11. Paolucci F, Govaert L, Peters G (2019) In situ waxd and saxs during tensile deformation of moulded and sintered polyamide 12. Polymers 11(6):1001. http://dx.doi.org/10.3390/polym11061001 11. Paolucci F, Govaert L, Peters G (2019) In situ waxd and saxs during tensile deformation of moulded and sintered polyamide 12. Polymers 11(6):1001. http://dx.doi.org/10.3390/polym11061001 12. References Van Hooreweder B, Moens D, Boonen R, Kruth J-P, Sas P (2013) On the difference in material structure and fatigue properties of nylon specimens produced by injection molding and selective laser sintering. Polym Test 32(5):972–981. http://dx.doi.org/10.1016/j.polymertesting.2013.04.014 12. Van Hooreweder B, Moens D, Boonen R, Kruth J-P, Sas P (2013) On the difference in material structure and fatigue properties of nylon specimens produced by injection molding and selective laser sintering. Polym Test 32(5):972–981. http://dx.doi.org/10.1016/j.polymertesting.2013.04.014 Page 11/16 Page 11/16 13. Reddy TJ, Kumar YR, Rao CS (2006) Determination of optimum process parameters using taguchi’s approach to improve the quality of SLS parts, in: Proceedings of the 17th IASTED International Conference on Modelling and Simulation, 228–233 14. Zhao M, Drummer D, Wudy K, Drexler M (2015) Sintering study of polyamide 12 particles for selective laser melting. iJES 3(1):34–38 14. Zhao M, Drummer D, Wudy K, Drexler M (2015) Sintering study of polyamide 12 particles for selectiv laser melting. iJES 3(1):34–38 15. Bacchewar PB, Singhal SK, Pandey PM (2006) Statistical modelling and optimization of surface roughness in the selective laser sintering process, Proc. IMechE, Pa. Birds: J. Eng. Manuf. 221 35 15. Bacchewar PB, Singhal SK, Pandey PM (2006) Statistical modelling and optimization of surface roughness in the selective laser sintering process, Proc. IMechE, Pa. Birds: J. Eng. Manuf. 221 35 15. Bacchewar PB, Singhal SK, Pandey PM (2006) Statistical modelling and optimization of surface roughness in the selective laser sintering process, Proc. IMechE, Pa. Birds: J. Eng. Manuf. 221 35 Figure 1 Schematic diagram of the laser sintering process [Majewski 2009]. Schematic diagram of the laser sintering process [Majewski 2009]. Schematic diagram of the laser sintering process [Majewski 2009]. 13. Reddy TJ, Kumar YR, Rao CS (2006) Determination of optimum process parameters using taguchi’s approach to improve the quality of SLS parts, in: Proceedings of the 17th IASTED International 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
https://openalex.org/W4392175958
https://journal.universitasbumigora.ac.id/index.php/biocity/article/download/3160/1483
Indonesian
null
Analysis of Physical and Chemical Tests of Bidara Leaves (Ziziphus spina-christi L.) Dried Using a Tray Dryer Machine with Different Temperatures
Biocity
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cc-by-sa
4,312
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. 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English
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Molecular survey of Enterocytozoon bieneusi in sheep and goats in China
Parasites & vectors
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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 Enterocytozoon bieneusi isolates from dogs and cats in China: host specificity and public health implications. J Clin Microbiol. 2014;52:3297–302. 36. Zhao W, Zhang W, Wang R, Liu W, Liu A, Yang D, et al. Enterocytozoon bieneusi in sika deer (cervus nippon) and red deer (cervus elaphus): deer specificity and zoonotic potential of ITS genotypes. Parasitol Res. 2014;113:4243–50. 13. Fayer R, Santin M, Trout JM. Enterocytozoon bieneusi in mature dairy cattle on farms in the eastern United States. Parasitol Res. 2007;102:15–20. 14. Wagnerová P, Sak B, Květoňová D, Buňatová Z, Civišová H, Maršálek M, et al. Enterocytozoon bieneusi and Encephalitozoon cuniculi in horses kept under different management systems in the Czech Republic. Vet Parasitol. 2012;190:573–7. 37. Zhao W, Zhang W, Yang D, Zhang L, Wang R, Liu A. Prevalence of Enterocytozoon bieneusi and genetic diversity of ITS genotypes in sheep and goats in China. Infect Genet Evol. 2015;32:265–70. 15. Sulaiman IM, Fayer R, Lal AA, Trout JM, Schaefer 3rd FW, Xiao L. Molecular characterization of microsporidia indicates that wild mammals harbor host- adapted Enterocytozoon spp. as well as human-pathogenic Enterocytozoon bieneusi. Appl Environ Microbiol. 2003;69:4495–501. 38. Li N, Xiao L, Wang L, Zhao S, Zhao X, Duan L, et al. Molecular surveillance of Cryptosporidium spp., Giardia duodenalis, and Enterocytozoon bieneusi by genotyping and subtyping parasites in wastewater. PLoS Negl Trop Dis. 2012;6:e1809. 39. Thellier M, Breton J. Enterocytozoon bieneusi in human and animals, focus on laboratory identification and molecular epidemiology. Parasite. 2008;15:349–58. 16. Dengjel B, Zahler M, Hermanns W, Heinritzi K, Spillmann T, Thomschke A, et al. Zoonotic potential of Enterocytozoon bieneusi. J Clin Microbiol. 2001;39:4495–9. 17. Drosten C, Laabs J, Kuhn EM, Schottelius J. Interspecies transmission of Enterozytozoon bieneusi supported by observations in laboratory animals and phylogeny. Med Microbiol Immunol. 2005;194:207–9. 40. Henriques-Gil N, Haro M, Izquierdo F, Fenoy S, del Aguila C. Phylogenetic approach to the variability of the microsporidian Enterocytozoon bieneusi and its implications for inter- and intrahost transmission. Appl Environ Microbiol. 2010;76:3333–42. 18. Cama VA, Pearson J, Cabrera L, Pacheco L, Gilman R, Meyer S, et al. Transmission of Enterocytozoon bieneusi between a child and guinea pigs. J Clin Microbiol. 2007;45:2708–10. 41. Karim MR, Dong H, Li T, Yu F, Li D, Zhang L, et al. Conclusions Predomination and new genotypes of Enterocytozoon bieneusi in captive nonhuman primates in zoos in China: high genetic diversity and zoonotic significance. PLoS One. 2015;10:e0117991. 19. Santín M, Fayer R. Enterocytozoon bieneusi, Giardia, and Cryptosporidium infecting white-tailed deer. J Eukaryot Microbiol. 2014;194:207–9. 20. Karim MR, Wang R, Dong H, Zhang L, Li J, Zhang S, et al. Genetic polymorphism and zoonotic potential of Enterocytozoon bieneusi from nonhuman primates in China. Appl Environ Microbiol. 2014;80:1893–8. 42. Du SZ, Zhao GH, Shao JF, Fang YQ, Tian GR, Zhang LX, et al. Cryptosporidium spp. Giardia intestinalis, and Enterocytozoon bieneusi in Captive Non- Human Primates in Qinling Mountains. Korean J Parasitol. 2015;53:395–402. 21. Karim MR, Yu F, Li J, Li J, Zhang L, Wang R, et al. First molecular characterization of enteric protozoa and the human pathogenic microsporidian, Enterocytozoon bieneusi, in captive snakes in China. Parasitol Res. 2014;113:3041–8. 43. Zhao GH, Du SZ, Wang HB, Hu XF, Deng MJ, Yu SK, et al. First report of zoonotic Cryptosporidium spp., Giardia intestinalis and Enterocytozoon bieneusi in golden takins (Budorcas taxicolor bedfordi). Infect Genet Evol. 2015;34:394–401. 22. Haro M, Izquierdo F, Henriques-Gil N, Andrés I, Alonso F, Fenoy S, et al. First detection and genotyping of human-associated microsporidia in pigeons from urban parks. Appl Environ Microbiol. 2005;71:3153–7. 44. Li W, Li Y, Song M, Lu Y, Yang J, Tao W, et al. Prevalence and genetic characteristics of Cryptosporidium, Enterocytozoon bieneusi and Giardia duodenalis in cats and dogs in Heilongjiang province, China. Vet Parasitol. 2015;208:125–34. 23. Feng Y, Li N, Dearen T, Lobo ML, Matos O, Cama V, et al. Development of a multilocus sequence typing tool for high-resolution genotyping of Enterocytozoon bieneusi. Appl Environ Microbiol. 2011;77:4822–8. 24. Santín M, Fayer R. Enterocytozoon bieneusi genotype nomenclature based on the internal transcribed spacer sequence: a consensus. J Eukaryot Microbiol. 2009;56:34–8. 45. Yang Y, Lin Y, Li Q, Zhang S, Tao W, Wan Q, et al. Widespread presence of human-pathogenic Enterocytozoon bieneusi genotype D in farmed foxes (Vulpes vulpes) and raccoon dogs (Nyctereutes procyonoides) in China: first identification and zoonotic concern. Parasitol Res. 2015;114:4341–8. 25. Lobo ML, Xiao L, Cama V, Stevens T, Antunes F, Matos O. Genotypes of Enterocytozoon bieneusi in mammals in Portugal. J Eukaryot Microbiol. 2006;53:S61–4. 46. Zhao W, Zhang W, Yang F, Zhang L, Wang R, Cao J, et al. Conclusions 5. Didier ES. Microsporidiosis: an emerging and opportunistic infection in humans and animals. Acta Trop. 2005;94:61–76. This study to infer the prevalence and genotype distribu- tion of E. bieneusi in sheep and goats in China. The data showed there were a widespread distribution, high 6. Lores B, del Aguila C, Arias C. Enterocytozoon bieneusi (Microsporidia) in faecal specimen from domestic animals from Galicia, Spain. Mem Inst Oswaldo Cruz. 2002;97:941–5. Page 7 of 8 Page 7 of 8 Shi et al. Parasites & Vectors (2016) 9:23 7. Del Aguila C, Izquierdo F, Navajas R, Pieniazek NJ, Miró G, Alonso AI, et al. Enterocytozoon bieneusi in animals: rabbits and dogs as new hosts. J Eukaryot Microbiol. 1999;46:8S–9S. children during a cryptosporidiosis outbreak in a pediatric hospital in China. PLoS Negl Trop Dis. 2013;7:e2437. children during a cryptosporidiosis outbreak in a pediatric hospital in China. PLoS Negl Trop Dis. 2013;7:e2437. 32. 32. Ye J, Xiao L, Ma J, Guo M, Liu L, Feng Y. Anthroponotic enteric parasites in monkeys in public park, China. Emerg Infect Dis. 2012;18:1640–3. 8. Li W, Diao R, Yang J, Xiao L, Lu Y, Li Y, et al. High diversity of human-pathogenic Enterocytozoon bieneusi genotypes in swine in northeast China. Parasitol Res. 2014;113:1147–53. 33. Ye J, Xiao L, Li J, Huang W, Amer SE, Guo Y, et al. Occurrence of human-pathogenic Enterocytozoon bieneusi, Giardia duodenalis and Cryptosporidium genotypes in laboratory macaques in Guangxi, China. Parasitol Int. 2014;63:132–7. 9. Li W, Li Y, Li W, Yang J, Song M, Diao R, et al. Genotypes of Enterocytozoon bieneusi in livestock in China: high prevalence and zoonotic potential. PLoS One. 2014;9:e97623. 10. Stensvold CR, Beser J, Ljungström B, Troell K, Lebbad M. Low host-specific Enterocytozoon bieneusi genotype BEB6 is common in Swedish lambs. Vet Parasitol. 2014;205:371–4. 34. Ye J, Xiao L, Wang Y, Guo Y, Roellig DM, Feng Y. Dominance of Giardia duodenalis assemblage A and Enterocytozoon bieneusi genotype BEB6 in sheep in Inner Mongolia, China. Vet Parasitol. 2015;210:235–9. 11. Zhang X, Wang Z, Su Y, Liang X, Sun X, Peng S, et al. Identification and genotyping of Enterocytozoon bieneusi in China. J Clin Microbiol. 2011;49:2006–8. 35. Jiang Y, Tao W, Wan Q, Li Q, Yang Y, Lin Y, et al. Zoonotic and potentially host-adapted Enterocytozoon bieneusi genotypes in sheep and cattle in Northeast China and an increasing concern about the zoonotic importance of previously considered ruminant-adapted genotypes. Appl Environ Microbiol. 2015;81:3326–35. Shi et al. Parasites & Vectors (2016) 9:23 50. 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. 2015;62:21–5. Conclusions Enterocytozoon bieneusi in dairy cattle in the Northeast of China: genetic diversity of ITS gene and evaluation of zoonotic transmission potential. J Eukaryot Microbiol. 2015;62:553–60. 26. Santín M, Trout JM, Fayer R. Enterocytozoon bieneusi genotypes in dairy 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 genotyping of isolates. Vet Parasitol. 2006;141:334–9. 47. Guo Y, Alderisio KA, Yang W, Cama V, Feng Y, Xiao L. Host specificity and 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 cattle, beef cattle and water buffaloes in China. Vet Parasitol. 2015;207:220–7. 31. Wang L, Xiao L, Duan L, Ye J, Guo Y, Guo M, et al. 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. 50. 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. 2015;62:21–5. 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 • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step:
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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
Micromachines
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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 Engineering Science and Materials Commons, and the Other Mechanical Engineering Commons This Article is brought to you for free and open access by the Mechanical & Materials Engineering, Department of 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. Follow this and additional works at: https://digitalcommons.unl.edu/mechengfacpub This Article is brought to you for free and open access by the Mechanical & Materials Engineering, Department of 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 the 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. 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https://openalex.org/W2171069275
https://molecular-cancer.biomedcentral.com/counter/pdf/10.1186/1476-4598-8-126
English
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CXCR4 expression heterogeneity in neuroblastoma cells due to ligand-independent regulation
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 (page number not for citation purposes) Page 3 of 14 (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 (page number not for citation purposes) Page 4 of 14 (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 (page number not for citation purposes) Page 5 of 14 (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 (page number not for citation purposes) Page 6 of 14 (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 (page number not for citation purposes) Page 7 of 14 (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 (page number not for citation purposes) Page 8 of 14 (page number not for citation purposes) Molecular Cancer 2009, 8:126 http://www.molecular-cancer.com/content/8/1/126 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). 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 (page number not for citation purposes) Page 9 of 14 (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- denced by the absence of any apparent endogenously derived SDF-1. References 1. Yang CP, Hung IJ, Jaing TH, Shih LY, Chang WH: Cancer in infants: a review of 82 cases. Pediatr Hematol Oncol 2005, 22:463-481. 1. 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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- formed cell culture, FACS and RT-PCR assays. JMM per- formed data analysis and manuscript editing, and also Page 13 of 14 (page number not for citation purposes) Page 13 of 14 (page number not for citation purposes) http://www.molecular-cancer.com/content/8/1/126 Molecular Cancer 2009, 8:126 provided critical expertise on the biology of neuroblast- oma cells. All authors have read and approved the final manuscript. opment of bone marrow metastases in neuroblastoma. J Immunol 2001, 167:4747-4757. 19. 19. Airoldi I, Raffaghello L, Piovan E, Cocco C, Carlini B, Amadori A, Cor- rias MV, Pistoia V: CXCL12 does not attract CXCR4+ human metastatic neuroblastoma cells: clinical implications. Clin Cancer Res 2006, 12:77-82. Acknowledgements 20. Catani MV, Corasaniti MT, Navarra M, Nistico G, Finazzi-Agro A, Melino G: gp120 induces cell death in human neuroblastoma cells through the CXCR4 and CCR5 chemokine receptors. J Neurochem 2000, 74:2373-2379. We would like to thank Eric Riedel of the Flow Cytometry Core laboratory and Dr. Ed Williamson of the Pathology Core Laboratories, Joseph Stokes Jr. Research Institute, Children's Hospital of Philadelphia. This work was supported in part by NIH Grant P01 CA97323, the Alex's Lemonade Stand Foundation, the Rally Foundation, the Evan Dunbar Foundation, and the Abramson Family Cancer Research Institute (all to JMM). 21. Wang Q, Diskin S, Rappaport E, Attiyeh E, Mosse Y, Shue D, Seiser E, Jagannathan J, Shusterman S, Bansal M, et al.: Integrative genomics identifies distinct molecular classes of neuroblastoma and shows that multiple genes are targeted by regional altera- tions in DNA copy number. Cancer Res 2006, 66:6050-6062. 22. Sloane AJ, Raso V, Dimitrov DS, Xiao X, Deo S, Muljadi N, Restuccia D, Turville S, Kearney C, Broder CC, et al.: Marked structural and functional heterogeneity in CXCR4: separation of HIV-1 and SDF-1alpha responses. Immunol Cell Biol 2005, 83:129-143. References Diaz GA, Gulino AV: WHIM syndrome: a defect in CXCR4 sig- naling. Curr Allergy Asthma Rep 2005, 5:350-355. 14. Kollet O, Petit I, Kahn J, Samira S, Dar A, Peled A, Deutsch V, Gunetti M, Piacibello W, Nagler A, Lapidot T: Human CD34(+)CXCR4(-) sorted cells harbor intracellular CXCR4, which can be func- tionally expressed and provide NOD/SCID repopulation. Blood 2002, 100:2778-2786. Publish with BioMed Central and every scientist can read your work free of charge "BioMed Central will be the most significant development for disseminating the results of biomedical research in our lifetime." Sir Paul Nurse, Cancer Research UK Your research papers will be: available free of charge to the entire biomedical community peer reviewed and published immediately upon acceptance cited in PubMed and archived on PubMed Central yours — you keep the copyright Submit your manuscript here: http://www.biomedcentral.com/info/publishing_adv.asp BioMedcentral Page 14 of 14 Publish with BioMed Central and every scientist can read your work free of charge "BioMed Central will be the most significant development for disseminating the results of biomedical research in our lifetime." Sir Paul Nurse, Cancer Research UK Your research papers will be: available free of charge to the entire biomedical community peer reviewed and published immediately upon acceptance cited in PubMed and archived on PubMed Central yours — you keep the copyright Submit your manuscript here: http://www.biomedcentral.com/info/publishing_adv.asp BioMedcentral Publish with BioMed Central and every scientist can read your work free of charge Publish with BioMed Central and every scientist can read your work free of charge 15. Phillips R, Ager A: Activation of pertussis toxin-sensitive CXCL12 (SDF-1) receptors mediates transendothelial migration of T lymphocytes across lymph node high endothelial cells. Eur J Immunol 2002, 32:837-847. J 16. Feng Y, Broder CC, Kennedy PE, Berger EA: HIV-1 entry cofactor: functional cDNA cloning of a seven-transmembrane, G pro- tein-coupled receptor. Science 1996, 272:872-877. p p 17. Hatse S, Bridger G, de Clercq E, Schols D: X4 HIV-1 induces neu- roblastoma cell death by interference with CXCL12/CXCR4 interaction. Cell Mol Biol (Noisy-le-grand) 2003, 49:443-452. ( 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- ( 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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INNOVATION IN ENGINEERING CURRICULUM AS B.TECH. (HONS) BY INTEGRATING STEAM, ESEP & IPR
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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 Engineering and Management Letters (IJAEML), 2(1), 64-71. DOI: http://dx.doi.org/10.5281/zenodo.1205185. [2] Aithal P. S., & Suresh Kumar P. M. (2019). Evolving a Competency Based Grading System for Higher Education. International Journal of Applied Engineering and Management Letters (IJAEML), 3(1), 60. [3] Felder, R. M., Woods, D. R., Stice, J. E., & Rugarcia, A. (2000). The future of engineering education II. Teaching methods that work. Chemical Engineering Education, 34(1), 26-39. [4] Parashar, A. K., & Parashar, R. (2012). Innovations and curriculum development for engineering education and research in India. Procedia-Social and Behavioral Sciences, 56, 685-690. [5] Kırkgöz, Y. (2009). The challenge of developing and maintaining curriculum innovation at higher education. Procedia-Social and Behavioral Sciences, 1(1), 73-78. [6] Ostler, E. (2012). 21st century STEM education: a tactical model for long-range success. International Journal of Applied Science and Technology, 2(1). SIMS Pandeshwar & Srinivas University Mukka Page 43 Page 43 ISBN No.: 978-81-941751-0-0 [7] Engberg, M., & Wolniak, G. C. (2013). College student pathways to the STEM disciplines. Teachers College Record, 115(1). [8] Beach, A. L., Henderson, C., & Finkelstein, N. (2012). Facilitating change in undergraduate STEM education. Change: The Magazine of Higher Learning, 44(6), 52- 59. [9] Porter, A. L., Roessner, J. D., Oliver, S., & Johnson, D. (2006). A systems model of innovation processes in university STEM education. Journal of Engineering Education, 95(1), 13-24. [10] Roehrig, G. H., Johnson, C. C., Moore, T. J., & Bryan, L. A. (2015). Integrated STEM education. In STEM road map (pp. 23-37). Routledge. [11] Fan, S. C., & Yu, K. C. (2017). How an integrative STEM curriculum can benefit students in engineering design practices. International Journal of Technology and Design Education, 27(1), 107-129. [12] Connor, A., Karmokar, S., & Whittington, C. (2015). From STEM to STEAM: Strategies for enhancing engineering & technology education. International Journal of Engineering Pedagogy, 5(2), 37-47. [13] Wells, J. G. (2008, November). STEM education: The potential of technology education. In 95th Mississippi Valley Technology Teacher Education Conference, St. Louis, MO(Vol. 41). [14] Ritz, J. M., & Fan, S. C. (2015). STEM and technology education: International state-of- 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 development programs. REFERENCES : Journal of Technology Education, 25(1), 55-69. [16] Watson, A. D., & Watson, G. H. (2013). Transitioning STEM to STEAM: Reformation 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 curriculum. Procedia Computer Science, 20, 541-546. [18] Kim, Sung-Won, et al. "Development of a theoretical model for STEAM education." Journal of the Korean Association for Science Education 32.2 (2012): 388- 401. [19] Kim, Y., & Park, N. (2012). Development and application of STEAM teaching model based on the Rube Goldberg’s invention. In Computer science and its applications (pp. 693-698). Springer, Dordrecht. [20] Kim, J. A., Kim, B. S., Lee, J. H., & Kim, J. H. (2011). A study of teaching-learning methods for the it-based STEAM education model with regards to developing people of interdisciplinary abilities. Journal of Fisheries and Marine Sciences Education, 23(3), 445-460. [21] Madden, M. E., Baxter, M., Beauchamp, H., Bouchard, K., Habermas, D., Huff, M., ... & Plague, G. (2013). Rethinking STEM education: An interdisciplinary STEAM curriculum. Procedia Computer Science, 20, 541-546. SIMS Pandeshwar & Srinivas University Mukka Page 44 Page 44 ISBN No.: 978-81-941751-0-0 [22] Watson, A. D., & Watson, G. H. (2013). Transitioning STEM to STEAM: Reformation 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, creativity & learning thinking. In Proceedings of the 31st European conference on cognitive ergonomics (p. 3). ACM. [24] Ahn, J., & Kwon, N. (2013). An analysis on STEAM education teaching and learning program on technology and engineering. Journal of the Korean Association for Science Education, 33(4), 708-717. [25] Quigley, C. F., Herro, D., & Jamil, F. M. (2017). Developing a conceptual model of STEAM teaching practices. School Science and Mathematics, 117(1-2), 1-12. [26] Liao, C. (2016). From interdisciplinary to transdisciplinary: An arts-integrated approach to STEAM education. Art Education, 69(6), 44-49. [27] Park, H., Byun, S. Y., Sim, J., Baek, Y. S., & Jeong, J. S. (2016). A study on the current status of STEAM Education. Journal of the Korean Association for Science Education, 36(4), 669-679. [28] Guyotte, K. W., Sochacka, N. W., Costantino, T. E., Walther, J., & Kellam, N. N. (2014). STEAM as social practice: Cultivating creativity in transdisciplinary spaces. Art Education, 67(6), 12-19. [29] KIM, J. SIMS Pandeshwar & Srinivas University Mukka REFERENCES : W., & WON, H. H. (2015). Examination of the Practical Model for STEAM Education through Case Studies. Journal of Fisheries and Marine Sciences Education, 27(6), 1676-1684. [30] Oner, A. T., Nite, S. B., Capraro, R. M., & Capraro, M. M. (2016). From STEM to STEAM: Students’ beliefs about the use of their creativity. The STEAM Journal, 2(2), 6. [31] Bridgstock, R. (2009). The graduate attributes we’ve overlooked: Enhancing graduate employability through career management skills. Higher Education Research & Development, 28(1), 31-44. [32] Asonitou, S. (2015). Employability skills in higher education and the case of Greece. Procedia-Social and Behavioral Sciences, 175, 283-290. [33] Andrews, J., & Higson, H. (2008). Graduate employability, ‘soft skills’ versus ‘hard’ business knowledge: A European study. Higher education in Europe, 33(4), 411-422. [34] Zaharim, A., Yusoff, Y., Omar, M. Z., Mohamed, A., & Muhamad, N. (2009, July). Engineering employability skills required by employers in Asia. In Proceedings of the 6th WSEAS international conference on Engineering education (pp. 195-201). [35] Muldoon, R. (2009). Recognizing the enhancement of graduate attributes and employability through part-time work while at university. Active Learning in Higher Education, 10(3), 237-252. [36] Aithal, P. S., Suresh Kumar, P.M., and Kumari, Pavithra, (2015). Methods and 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 work-related learning. Teaching in Higher Education, 8(2), 211-231. SIMS Pandeshwar & Srinivas University Mukka Page 45 ISBN No.: 978-81-941751-0-0 [38] Harvey, L. (2001). Defining and measuring employability. Quality in higher education, 7(2), 97-109. [39] Anealka Aziz Hussin (2018). Education 4.0 Made Simple: Ideas For Teaching. International Journal of Education & Literacy Studies, 6(3), 92-98. DOI : http://dx.doi.org/10.7575/aiac.ijels.v.6n.3p.92. [40] Madhushree L. M, Revathi Radhakrishnan, P. S. Aithal (Jan 2019). A Review on Impact of Information Communication & Computation Technology (ICCT) on Selected Primary, Secondary, and Tertiary Industrial Sectors. Saudi Journal of Business and Management Studies, 4(1), 106-127. ISSN 2415-6663, Scholars Middle East Publishers, Dubai, United Arab Emirates. DOI: http://doi.org/10.21276/sjbms.2019.4.1.14. [41] Aithal, P. S. and Shubhrajyotsna Aithal. (2018). Study of various General-Purpose Technologies and their contribution towards developing Sustainable Society, International Journal of Management, Technology, and Social Sciences (IJMTS), 3(2), 16-33. ISSN : 2581-6012, DOI : http://dx.doi.org/10.5281/Zenodo.1409476. [42] Aithal, P. S. (2018). REFERENCES : Emerging Trends in ICCT as Universal Technology for Survival, Sustainability, Differentiation, Monopoly and Development. Conference Proceedings on Advances in Information Technology, Management, Social Sciences and Education, pp. 129- 139. December 2018, ISBN No.: 978-81-938040-8-7. SIMS Pandeshwar & Srinivas University Mukka SIMS Pandeshwar & Srinivas University Mukka Page 46 Page 46
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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
Cogent business & management
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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 Zwecken und zum Privatgebrauch gespeichert und kopiert werden. Documents in EconStor may be saved and copied for your personal and scholarly purposes. 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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 Press, hlm 144. 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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%. 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An apllies service marketing theory. European Journal of Marketing 16 (7), p. 30–41 doi:10.1108/EUM0000000004859 Page 21 of 22 Page 21 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 Kadarisman, Cogent Business & Management (2019), 6: 1629096 https://doi.org/10.1080/23311975.2019.1629096 © 2019 The Author(s). This open access article is distributed under a Creative Commons Attribution (CC-BY) 4.0 license. You are free to: Share — copy and redistribute the material in any medium or format. Adapt — remix, transform, and build upon the material for any purpose, even commercially. The licensor cannot revoke these freedoms as long as you follow the license terms. Under the following terms: Attribution — You must give appropriate credit, provide a link to the license, and indicate if changes were made. You may do so in any reasonable manner, but not in any way that suggests the licensor endorses you or your use. No additional restrictions You may not apply legal terms or technological measures that legally restrict others from doing anything the license permits. © 2019 The Author(s). This open access article is distributed under a Creative Commons Attribution (CC-BY) 4.0 license py y Adapt — remix, transform, and build upon the material for any purpose, even commercially. The licensor cannot revoke these freedoms as long as you follow the license terms. g Attribution — You must give appropriate credit, provide a link to the license, and indicate if changes were made. You may do so in any reasonable manner, but not in any way that suggests the licensor endorses you or your use. No additional restrictions You may not apply legal terms or technological measures that legally restrict others from doing anything the license permits. 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Publishing with Cogent OA ensures: • Immediate, universal access to your article on publication • High visibility and discoverability via the Cogent OA website as well as Taylor & Francis Online • Download and citation statistics for your article • Rapid online publication • Input from, and dialog with, expert editors and editorial boards • Retention of full copyright of your article • Guaranteed legacy preservation of your article • Discounts and waivers for authors in developing regions Submit your manuscript to a Cogent OA journal at www.CogentOA.com cis Online Page 22 of 22
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https://www.frontiersin.org/articles/10.3389/fnhum.2018.00276/pdf
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Prediction of the Effect of Sleep Deprivation on Response Inhibition via Machine Learning on Structural Magnetic Resonance Imaging Data
Frontiers in human neuroscience
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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- Armstrong, W., Gazzaniga, M. S., et al. (2013). Neuroprediction of future rearrest. Proc. Natl. Acad. Sci. U S A 110, 6223–6228. doi: 10.1073/pnas. 1219302110 Cohen, J. R., Asarnow, R. F., Sabb, F. W., Bilder, R. M., Bookheimer, S. Y., Knowlton, B. J., et al. (2010). Decoding developmental differences and individual variability in response inhibition through predictive analyses across individuals. Front. Hum. Neurosci. 4:47. doi: 10.3389/fnhum.2010.00047 individuals. Front. Hum. Neurosci. 4:47. doi: 10.3389/fnhum.2010.00047 Aron, A. R., Behrens, T. E., Smith, S., Frank, M. J., and Poldrack, R. A. (2007). Triangulating a cognitive control network using diffusion-weighted magnetic resonance imaging (MRI) and functional MRI. J. Neurosci. 27, 3743–3752. doi: 10.1523/JNEUROSCI.0519-07.2007 Congdon, E., Altshuler, L. L., Mumford, J. A., Karlsgodt, K. H., Sabb, F. W., Ventura, J., et al. (2014). Neural activation during response inhibition in adult attention-deficit/hyperactivity disorder: preliminary findings on the effects of medication and symptom severity. Psychiatry Res. 222, 17–28. doi: 10.1016/j. pscychresns.2014.02.002 Aron, A. R., Fletcher, P. C., Bullmore, E. T., Sahakian, B. J., and Robbins, T. W. (2003). Stop-signal inhibition disrupted by damage to right inferior frontal gyrus in humans. Nat. Neurosci. 6, 115–116. doi: 10.1038/nn1003 Congdon, E., Mumford, J. A., Cohen, J. R., Galvan, A., Aron, A. R., Xue, G., et al. (2010). Engagement of large-scale networks is related to individual differences in inhibitory control. Neuroimage 53, 653–663. doi: 10.1016/j.neuroimage. 2010.06.062 Aron, A. R., and Poldrack, R. A. (2006). Cortical and subcortical contributions to Stop signal response inhibition: role of the subthalamic nucleus. J. Neurosci. 26, 2424–2433. doi: 10.1523/JNEUROSCI.4682-05.2006 Diamond, A. (2013). Executive functions. Annu. Rev. Psychol. 64, 135–168. doi: 10.1146/annurev-psych-113011-143750 Aron, A. R., Robbins, T. W., and Poldrack, R. A. (2004). Inhibition and the right inferior frontal cortex. Trends Cogn. Sci. 8, 170–177. doi: 10.1016/j.tics. 2004.02.010 Drucker, H., Burges, C. J. C., Kaufman, L., Smola, A. J., and Vapnik, V. (1996). Support vector regression machines. Adv. Neural Inf. Process. Syst. 28, 779–784. Aron, A. R., Robbins, T. W., and Poldrack, R. A. (2014). Inhibition and the right inferior frontal cortex: one decade on. Trends Cogn. Sci. 18, 177–185. doi: 10.1016/j.tics.2013.12.003 Eichele, T., Debener, S., Calhoun, V. D., Specht, K., Engel, A. K., Hugdahl, K., et al. (2008). REFERENCES Prediction of human errors by maladaptive changes in event-related brain networks. Proc. Natl. Acad. Sci. U S A 105, 6173–6178. doi: 10.1073/pnas. 0708965105 Band, G. P., van der Molen, M. W., and Logan, G. D. (2003). Horse-race model simulations of the stop-signal procedure. Acta Psychol. 112, 105–142. doi: 10.1016/s0001-6918(02)00079-3 Ellingson, B. M., Salamon, N., Hardy, A. J., and Holly, L. T. (2015). Prediction of neurological impairment in cervical spondylotic myelopathy using a combination of diffusion MRI and proton MR spectroscopy. PLoS One 10:e0139451. doi: 10.1371/journal.pone.0139451 Bogousslavsky, J., Miklossy, J., Deruaz, J. 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Dissociable mechanisms of cognitive control in prefrontal and premotor cortex. J. Neurophysiol. 98, 3638–3647. doi: 10.1152/jn.00685.2007 Floden, D., and Stuss, D. T. (2006). Inhibitory control is slowed in patients with right superior medial frontal damage. J. Cogn. Neurosci. 18, 1843–1849. doi: 10.1162/jocn.2006.18.11.1843 Chambers, C. D., Bellgrove, M. A., Stokes, M. G., Henderson, T. R., Garavan, H., Robertson, I. H., et al. (2006). Executive ‘‘brake failure’’ following deactivation of human frontal lobe. J. Cogn. Neurosci. 18, 444–455. doi: 10.1162/089892906775990606 Galván, A., Poldrack, R. A., Baker, C. M., McGlennen, K. M., and London, E. D. (2011). Neural correlates of response inhibition and cigarette smoking in late adolescence. Neuropsychopharmacology 36, 970–978. doi: 10.1038/npp. 2010.235 Chambers, C. D., Garavan, H., and Bellgrove, M. A. (2009). Insights into the neural basis of response inhibition from cognitive and clinical neuroscience. Neurosci. Biobehav. Rev. 33, 631–646. doi: 10.1016/j.neubiorev.2008.08.016 Horne, J. A., and Ostberg, O. (1975). A self-assessment questionnaire to determine morningness-eveningness in human circadian rhythms. Int. J. Chronobiol. 4, 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 online at: https://www.frontiersin.org/articles/10.3389/fnhum. 2018.00276/full#supplementary-material REFERENCES Available online at: http://www.R-project.org/ Johnson, J. W., and Lebreton, J. M. 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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 image analysis and implementation as FSL. Neuroimage 23, S208–S219. doi: 10.1016/j.neuroimage.2004.07.051 Smola, A. J., and Schölkopf, B. (2004). A tutorial on support vector regression. Stat. Comput. 14, 199–222. doi: 10.1023/b:stco.0000035301.49549.88 July 2018 | Volume 12 | Article 276 Frontiers in Human Neuroscience | www.frontiersin.org 12
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Surgical Management of Burns in Chest Zone
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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 - https://doi.org/10.47191/ijmscrs/v3 DOI: Impact Factor: 6.597 , 32 - i9 - 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 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 mixture. Appl. Chem. 2009, 13, 93–96. 2. Teh, C.Y.; Budiman, P.M.; Shak, K.P.Y.; Wu, T.Y. Recent advancement of coagulation-flocculation and its 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 review. Renew. Sustain. Energy Rev. 2008, 12, 116–140. [CrossRef] 5. Werther, J.; Ogada, T. Sewage sludge combustion. Prog. Energy Combust. Sci. 1999, 25, 55–116. [CrossRef] 6. Takahiro, M.; Yoshizo, S.; Hidekazu, N.; Takafumi, Y.; Takami, K.; Hitoshi, H.; Seiichiro, O. 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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 Agency Austria Umweltbundesamt: Canberra, Australia, 2015. 11. Federal Environment Agency (UBA). National Inventory Report for the German Greenhouse Gas Inventory 1990–2013; Federal Environment Agency (UBA): Dessau, Germany, 2015. 12. Greenhouse Gas Inventory Office of Japan (GIO). References National Greenhouse Gas Inventory Report of Japan; Greenhouse Gas Inventory Office of Japan (GIO): Tsukuba-shi, Japan, 2015. 13. 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A novel approach for independent budgeting of fossil CO2 over Europe by 14CO2 observations. Geophys. Res. Lett. 2003, 30, 2194. [CrossRef] p y p y 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- miology of Clostridium difficile infections. Clin Microbiol Rev 23: 529–549. doi: 10.1128/CMR.00082- 09 PMID: 20610822 3. Grassly NC, Fraser C (2006) Seasonal infectious disease epidemiology. Proc Biol Sci 273: 2541– 2550. PMID: 16959647 4. 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. PMID: 15116293 5. Gilca R, Hubert B, Fortin E, Gaulin C, Dionne M (2010) Epidemiological patterns and hospital character- istics associated with increased incidence of Clostridium difficile infection in Quebec, Canada, 1998– 2006. Infect Control Hosp Epidemiol 31: 939–947. doi: 10.1086/655463 PMID: 20677973 6. Jagai J, Naumova E (2009) Clostridium difficile-associated disease in the elderly, United States. Emerg Infect Dis 15: 343–344. PMID: 19193291 7. Brown KA, Khanafer N, Daneman N, Fisman DN (2013) Meta-analysis of antibiotics and the risk of community-associated Clostridium difficile infection. Antimicrob Agents Chemother 57: 2326–2332. doi: 10.1128/AAC.02176-12 PMID: 23478961 8. Deshpande A, Pasupuleti P, Thota P, Pant C, Rolston DDK, Sferra TJ, et al. (2013) Community-associ- ated Clostridium difficile infection antibiotics: A meta-analysis. J Antimicrob Chemother 68: 1951– 1961. doi: 10.1093/jac/dkt129 PMID: 23620467 9. Slimings C, Riley TV (2014) Antibiotics and hospital-acquired Clostridium difficile infection: update of systematic review and meta-analysis. J Antimicrob Chemother 69: 881–891. doi: 10.1093/jac/dkt477 PMID: 24324224 10. Thomas C, Stevenson M, Riley TV (2003) Antibiotics and hospital-acquired Clostridium difficile-associ- ated diarrhoea: a systematic review. J Antimicrob Chemother 51: 1339–1350. PMID: 12746372 11. 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. doi: 10.1093/aje/kws463 PMID: 23660799 12. 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 antibiot- ic prescriptions: a time series analysis in Quebec, Canada. Antimicrob Agents Chemother 56: 639– 646. doi: 10.1128/AAC.05411-11 PMID: 22106208 13. Van Boeckel TP, Gandra S, Ashok A, Caudron Q, Grenfell BT, Levin SA, et al. (2014) Global antibiotic consumption 2000 to 2010: an analysis of national pharmaceutical sales data. Lancet Infect Dis 14: 742–750. doi: 10.1016/S1473-3099(14)70780-7 PMID: 25022435 14. S1 PRISMA Checklist. (DOC) 9 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730 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 March 16, 2015 References Cunningham R, Dale B, Undy B, Gaunt N (2003) Proton pump inhibitors as a risk factor for Clostridium difficile diarrhoea. J Hosp Infect 54: 243–245. PMID: 12855243 26. Furuya-Kanamori L, Stone JC, Clark J, McKenzie SJ, Yakob L, Paterson DL, et al. (2015) Comorbidi- ties, Exposure to Medications, and the Risk of Community-Acquired Clostridium difficile Infection: A Systematic Review and Meta-analysis. Infec Control Hosp Epidemiol 36: 131–141. 27. Clements AC, Magalhaes RJ, Tatem AJ, Paterson DL, Riley TV (2010) Clostridium difficile PCR ribo- type 027: assessing the risks of further worldwide spread. Lancet Infect Dis 10: 395–404. doi: 10.1016/ S1473-3099(10)70080-3 PMID: 20510280 28. Rodriguez-Palacios A, Reid-Smith RJ, Staempfli HR, Daignault D, Janecko N, Avery BP, et al. (2009) Possible seasonality of Clostridium difficile in retail meat, Canada. Emerg Infect Dis 15: 802–805. doi: 10.3201/eid1505.081084 PMID: 19402975 29. Riley TV (2013) Clostridium difficile infection: the Australian experience. Available: http://www.hqsc. govt.nz/assets/Infection-Prevention/CDI-workshop-Feb-2013-Riley.pdf. Accessed 2014 October 30. 30. Wong-McClure RA, Guevara-Rodríguez M, Abarca-Gómez L, Solano-Chinchilla A, Marchena-Picado M, Shea M, et al. Clostridium difficile outbreak in Costa Rica: control actions and associated factors. Rev Panam Salud Publica 32: 413–418. PMID: 23370184 31. Kuntz JL, Chrischilles EA, Pendergast JF, Herwaldt LA, Polgreen PM (2011) Incidence of and risk fac- tors for community-associated Clostridium difficile infection: a nested case-control study. BMC Infect Dis 11: 194. doi: 10.1186/1471-2334-11-194 PMID: 21762504 32. Pituch H (2009) Clostridium difficile is no longer just a nosocomial infection or an infection of adults. Int J Antimicrob Agents 33: S42–45. doi: 10.1016/S0924-8579(09)70016-0 PMID: 19303569 33. Khanna S, Baddour LM, Huskins WC, Kammer PP, Faubion WA, Zinsmeister AR, et al. (2013) The epi- demiology of Clostridium difficile infection in children: a population-based study. Clin Infect Dis 56: 1401–1406. doi: 10.1093/cid/cit075 PMID: 23408679 34. Deorari S, McConnell A, Tan KK, Jadavji N, Ma D, Church D, et al. (1999) Differential yield of pathogens from stool testing of nosocomial versus community-acquired paediatric diarrhea. Can J Infect Dis 10: 421–428. PMID: 22346400 35. Pascual M, Dobson A (2005) Seasonal Patterns of Infectious Diseases. PLoS Med 2: e5. PMID: 15696215 36. Codella J, Safdar N, Heffernan R, Alagoz O (2014) An Agent-based Simulation Model for Clostridium difficile Infection Control. Med Decis Making (Epub ahead of print). 37. Lanzas C, Dubberke ER (2014) Effectiveness of Screening Hospital Admissions to Detect Asymptom- atic Carriers of Clostridium difficile: A Modeling Evaluation. Infect Control Hosp Epidemiol 35: 1043– 1050. References Furuya-Kanamori L, Robson J, Soares Magalhaes RJ, Yakob L, McKenzie SJ, Paterson DL, et al. (2014) A population-based spatio-temporal analysis of Clostridium difficile infection in Queensland, Australia over a 10-year period. J Infect 69: 447–455. doi: 10.1016/j.jinf.2014.06.014 PMID: 24984276 15. Slimings C, Armstrong P, Beckingham WD, Bull AL, Hall L, Kennedy KJ, et al. (2014) Increasing inci- dence of Clostridium difficile infection, Australia, 2011–2012. Med J Aust 200: 272–276. PMID: 24641152 16. Moher D, Liberati A, Tetzlaff J, Altman DG, PRISMA Group (2009) Preferred reporting items for system- atic reviews and meta-analyses: the PRISMA statement. PLoS Med 6: e1000097. doi: 10.1371/journal. pmed.1000097 PMID: 19621072 17. Wells GA, Shea B, O'Connell D, Peterson J, Welch V, Losos M, et al. The Newcastle-Ottawa Scale (NOS) for assessong the quality of nonrandomized studies in meta-analyses. Available: http://www. ohri.ca/programs/clinical_epidemiology/oxford.asp. Accessed 2015 February 2. 10 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730 March 16, 2015 Clostridium difficile Infection Seasonality 18. Hensgens MPM, Goorhuis A, Dekkers OM, Kuijper EJ (2012) Time interval of increased risk for Clos- tridium difficile infection after exposure to antibiotics. J Antimicrob Chemother 67: 742–748. doi: 10. 1093/jac/dkr508 PMID: 22146873 19. Polgreen PM, Yang M, Bohnett LC, Cavanaugh JE (2010) A time-series analysis of Clostridium difficile and its seasonal association with influenza. Infect Control Hosp Epidemiol 31: 382–387. doi: 10.1086/ 651095 PMID: 20175682 20. Fleming DM, Ross AM, Cross KW, Kendall H (2003) The reducing incidence of respiratory tract infec- tion and its relation to antibiotic prescribing. Br J Gen Pract 53: 778–783. PMID: 14601353 21. Altizer S, Dobson A, Hosseini P, Hudson P, Pascual M, Rohani P (2006) Seasonality and the dynamics of infectious diseases. Ecol Lett 9: 467–484. PMID: 16623732 22. Tamerius J, Nelson MI, Zhou SZ, Viboud C, Miller MA, Alonso WJ (2011) Global influenza seasonality: reconciling patterns across temperate and tropical regions. Environ Health Perspect 119: 439–445. doi: 10.1289/ehp.1002383 PMID: 21097384 23. Patrick DM, Marra F, Hutchinson J, Monnet DL, Ng H, Bowie WR (2004) Per capita antibiotic consump- tion: how does a North American jurisdiction compare with Europe? Clin Infect Dis 39: 11–17. PMID: 15206046 24. Marra F, Monnet DL, Patrick DM, Chong M, Brandt CT, Winters M, et al. (2007) A comparison of antibi- otic use in children between Canada and Denmark. Ann Pharmacother 41: 659–666. PMID: 17374628 25. PLOS ONE | DOI:10.1371/journal.pone.0120730 March 16, 2015 References doi: 10.1086/677162 PMID: 25026622 38. Yakob L, Riley T, Paterson D, Clements A (2013) Clostridium difficile exposure as an insidious source of infection in healthcare settings: an epidemiological model. BMC Infect Dis 13: 376. doi: 10.1186/ 1471-2334-13-376 PMID: 23947736 39. Yakob L, Riley TV, Paterson DL, Marquess J, Clements ACA (2014) Assessing control bundles for Clostridium difficile: a review and mathematical model. Emerg Microbes Infect 3: e43. 11 / 12 PLOS ONE | DOI:10.1371/journal.pone.0120730 March 16, 2015 Clostridium difficile Infection Seasonality 40. Burckhardt F, Friedrich A, Beier D, Eckmanns T (2008) Clostridium difficile surveillance trends, Saxo- ny, Germany. Emerg Infect Dis 14: 691–692. doi: 10.3201/eid1404.071023 PMID: 18394306 41. Camacho-Ortiz A, Galindo-Fraga A, Rancel-Cordero A, Macias AE, Lamothe-Molina P, Ponce de Leon-Garduno A, 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. PMID: 20184096 42. Damani N, Trudy R, Markey M, Wallace S (2011) C. difficile associated diarrhoea-don't blame commu- nity or norovirus. BMC Proc 5(Suppl 6): P186. 43. Dubberke ER, Butler AM, Hota B, Khan YM, Mangino JE, Mayer J, 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. doi: 10.1086/597380 PMID: 19419269 44. Faires MC, Pearl DL, Ciccotelli WA, Berke O, Reid-Smith RJ, Weese JS (2014) Detection of Clostridi- um difficile infection clusters, using the temporal scan statistic, in a community hospital in southern On- tario, Canada, 2006–2011. BMC Infect Dis 14: 254. doi: 10.1186/1471-2334-14-254 PMID: 24885351 45. MacDonald KS, McLeod J, Nicolle L (1993) Clostridium difficile enteritis in a Canadian tertiary care hos- pital. Can J Infect Control 8: 37–40. PMID: 8400341 46. McFarland LV, Clarridge JE, Beneda HW, Raugi GJ (2007) Fluoroquinolone use and risk factors for Clostridium difficile-associated disease within a Veterans Administration health care system. Clin Infect Dis 45: 1141–1151. PMID: 17918075 47. Reil M, Hensgens MP, Kuijper EJ, Jakobiak T, Gruber H, Kist M, et al. (2012) Seasonality of Clostridium difficile infections in Southern Germany. Epidemiol Infect 140: 1787–1793. doi: 10.1017/ S0950268811002627 PMID: 22152928 48. 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. 49. Sonnenberg A (2008) Seasonal variation of enteric infections and inflammatory bowel disease. Inflamm Bowel Dis 14: 955–959. PLOS ONE | DOI:10.1371/journal.pone.0120730 March 16, 2015 References doi: 10.1002/ibd.20408 PMID: 18302273 50. Von Muller L, Speck K, Herrmann M (2011) Surveillance analysis of C. difficile genotyps demonstrates decreasing frequencies of 027 infections in a tertiary care hospital. Clin Microbiol Infec 17: S577. 12 / 12
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https://discovery.ucl.ac.uk/10070646/7/O%27Neill_In%20assisted%20reproduction%20by%20IVF%20or%20ICSI%2C%20the%20rate%20at%20which%20embryos%20develop%20to%20the%20blastocyst%20stage%20is%20influenced%20by%20the%20fertilization%20method%20used_VoR.pdf
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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
Journal of assisted reproduction and genetics
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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. 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Pregnancies after intracytoplasmic injection of single spermatozoon into an oo- cyte. Lancet. 1992;340:17–8. 7. Chiamchanya C, Tor-udom P, Gamnarai N. Comparative study of intracytoplasmic sperm injection and in vitro fertilization with high insemination concentration in sibling oocytes in the treatment of unexplained infertility. J Med Assoc Thail. 2009;92:1713. 17. Shoukir Y, Chardonnens D, Campana A, Sakkas D. Blastocyst devel- opment from supernumerary embryos after intracytoplasmic sperm in- jection: a paternal influence? Hum Reprod. 1998;13:1632–7. 8. Dumoulin JCM, Coonen E, Bras M, Van Wissen LCP, Ignoul- Vanvuchelen R, Bergers-Jansen JM, et al. Comparison of in-vitro development of embryos originating from either conventional in- vitro fertilization or intracytoplasmic sperm injection. Hum Reprod. 2000;15:402–9. 18. Shveiky D, Simon A, Gino H, Safran A, Lewin A, Reubinoff B, et al. Sibling oocyte submission to IVF and ICSI in unexplained in- fertility patients: a potential assay for gamete quality. References Reprod BioMed Online. 2006;12:371–4. 9. Fishel S, Aslam I, Lisi F, Rinaldi L, Timson J, Jacobson M, et al. Should ICSI be the treatment of choice for all cases of in-vitro conception? Hum Reprod. 2000;15:1278–83. 19. Speyer BE, Pizzey AR, Ranieri M, Joshi R, Delhanty JDA, Serhal P. Fall in Implantation rates following ICSI with sperm with high DNA fragmentation. Hum Reprod. 2010;25:1609–18. 20. Staessen C, Camus M, Clasen K, De Vos A, Van Steirteghem. Conventional in-vitro fertilization versus intracytoplasmic sperm injection in sibling oocytes from couples with tubal infertility and normozoospermic semen. Hum Reprod. 1999;14:2474–9. 10. Gardner DK, Schoolcraft WB, Wagley L, Schlenker T, Stevens J, Hesla J. A prospective randomized trial of blastocyst culture and transfer in in-vitro fertilization. Hum Reprod. 1998;13: 3434–40. 21. Tesarik J, Mendoza C, Greco E. Paternal effects acting during the first cell cycle of human preimplantation development after ICSI. Hum Reprod. 2002;17:184–9. 11. Hershlag A, Paine T, Kvapil G, Feng H, Napolitano B. In vitro fertilization-intracytoplasmic sperm injection split: an insemina- tion method to prevent fertilization failure. Fertil Steril. 2002;77:229–32. 22. Vitek WS, Galarraga O, Klatsky PC, Robins JC, Carson SA, Blazar AS. Management of the first in vitro fertilization cycle for unex- plained infertility: a cost- effectiveness analysis of split in vitro fertilization-intracytoplasmic sperm injection. Fertil Steril. 2013;100:1381–8. 12. Hewitson L, Dominko T, Takahashi D, Martinovitch C, Ramalho- Santos J, Sutovsky P, et al. Unique checkpoints during the first cell cycle of fertilization after intracytoplasmic sperm injection in rhesus monkeys. Nat Med. 1999;5:431–3. 23. Zhang A, Xu B, Sun Y, Lu X, Niu Z, Chen Q, et al. 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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 Proof Published in Journal of Psychiatric and Mental Health Nursing License CC BY Link to publication 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 It is not permitted to download or to forward/distribute the text or part of it without the consent of the author(s) and/or copyright holder(s), other than for strictly personal, individual use, unless the work is under an open content license (like Creative Commons). Disclaimer/Complaints regulations If you believe that digital publication of certain material infringes any of your rights or (privacy) interests, please let the Library know, stating your reasons. In case of a legitimate complaint, the Library will make the material inaccessible and/or remove it from the website. Please contact the library: https://www.amsterdamuas.com/library/contact/questions, or send a letter to: University Library (Library of the University of Amsterdam and Amsterdam University of Applied Sciences), Secretariat, Singel 425, 1012 WP Amsterdam, The Netherlands. You will be contacted as soon as possible. Received: 12 November 2019  |  Revised: 20 December 2019  |  Accepted: 21 December 2019 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. 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Psychiatric Quarterly, 79(2), 97–109. https​:// doi.org/10.1007/s11126-007-9063-x How to cite this article: Doedens P, Vermeulen J, Boyette L-L, Latour C, de Haan L. Influence of nursing staff attitudes and characteristics on the use of coercive measures in acute mental health services—A systematic review. J Psychiatr Ment Health Nurs. 2020;00:1–14. https​://doi.org/10.1111/ jpm.12586​ How to cite this article: Doedens P, Vermeulen J, Boyette L-L, Latour C, de Haan L. Influence of nursing staff attitudes and characteristics on the use of coercive measures in acute mental health services—A systematic review. J Psychiatr Ment Health Nurs. 2020;00:1–14. https​://doi.org/10.1111/ jpm.12586​ How to cite this article: Doedens P, Vermeulen J, Boyette L-L, Latour C, de Haan L. Influence of nursing staff attitudes and characteristics on the use of coercive measures in acute mental health services—A systematic review. J Psychiatr Ment Health Nurs. 2020;00:1–14. https​://doi.org/10.1111/ jpm.12586​ Vedana, K. G. G., da Silva, D. M., Ventura, C. A. A., Giacon, B. C. C., Zanetti, A. C. G., Miasso, A. I., & Borges, T. L. (2017). Physical and me- chanical restraint in psychiatric units: Perceptions and experiences of nursing staff. Archives of Psychiatric Nursing, 32(3), 367–372. https​ ://doi.org/10.1016/j.apnu.2017.11.027 Vollema, M. G., Hollants, S. J., Severs, C. J., & Hondius, A. J. (2012). Determinants of seclusion in a psychiatric institution: A naturalistic and exploratory study. Tijdschr Psychiatr, 54(3), 211–221. Wells, G. A., Shea, B., O'Connell, D., Peterson, J., Welch, V., Losos, M., & Tugwell, P. (2000). The Newcastle-Ottawa Scale (NOS) for assessing
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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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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 scientist can read your work free of charge "BioMed Central will be the most significant development for disseminating the results of biomedical research in our lifetime." Sir Paul Nurse, Cancer Research UK Your research papers will be: available free of charge to the entire biomedical community peer reviewed and published immediately upon acceptance cited in PubMed and archived on PubMed Central yours — you keep the copyright Submit your manuscript here: http://www.biomedcentral.com/info/publishing_adv.asp BioMedcentral Page 5 of 5 (page number not for citation purposes) Publish with BioMed Central and every scientist can read your work free of charge
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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 in Web of Science™ Core Collection (BKCI) Interested in publishing with us? Contact book.department@intechopen.com Numbers displayed above are based on latest data collected. For more information visit www.intechopen.com Open access books available Countries delivered to Contributors from top 500 universities International authors and editors Our authors are among the most cited scientists Downloads We are IntechOpen, the world’s leading publisher of Open Access books Built by scientists, for scientists 14% 191,000 210M TOP 1% 154 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 (37) { } ( ) 1 2 1 2 1 2 1 2 1 2 1 2 2 4 2 2Im Re 2 2Im Re λ λ λ λ     Δ ≡ Δ Δ + Δ Δ           ss s s ij i i ij di di i i ij si si i i i i d d Q I I (38) { } ( ) ( ) ( ) 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 (37) 2 4 λ λ     (37) { } ( ) 1 2 1 2 1 2 1 2 1 2 1 2 2 4 2 2Im Re 2 2Im Re λ λ λ λ     Δ ≡ Δ Δ + Δ Δ           ss s s ij i i ij di di i i ij si si i i i i d d I I (38) (38) { } ( ) 1 2 2 1 2 3 1 2 3 4 4 Re λ λ ∗   Δ ≡ Δ Δ Δ     sR s i i i i i si si si i i i d V I (39) { } ( ) 1 2 2 1 2 3 1 2 3 4 4 Im λ λ ∗   Δ ≡ Δ Δ Δ     sI s i i i i i si si si i i i d V I (40) { } ( ) 1 2 2 1 2 3 1 2 3 4 4 Re λ λ ∗   Δ ≡ Δ Δ Δ     sR s i i i i i si si si i i i d V I (39) (39) { } ( ) 1 2 2 1 2 3 1 2 3 4 4 Im λ λ ∗   Δ ≡ Δ Δ Δ     sI s i i i i i si si si i i i d V I (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. 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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&mdash;an&aelig;mia, 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,&mdash;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&mdash;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,&mdash;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,&mdash;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,&mdash;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 &pound;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 &pound;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.
https://openalex.org/W4221059657
https://zenodo.org/records/4997533/files/ResearchPaper.pdf
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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 661 Some of the authors of this publication are also working on these related projects: Some of the authors of this publication are also working on these related projects: All content following this page was uploaded by Priyanka Patel on 16 December 2020. 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 View publication stats View publication stats View publication stats
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Late ECG Changes after Cisplatin-Based Chemotherapy in Testicular Cancer Survivors
Journal of Clinical Cardiology
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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 𝑄𝑄𝑄𝑄𝑄𝑄௠௔௫= 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 𝑄𝑄𝑄𝑄𝑄𝑄௠௔௫= 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 𝑄𝑄𝑄𝑄𝑄𝑄௠௔௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ • The electrical QRS axis (EA) in frontal plane calculated as:𝑄𝑄𝑄𝑉𝑎𝑎𝑎𝑉𝐸𝐸𝑎𝑎𝑎𝑡𝑡𝑡𝑎𝑎𝑎𝐼 𝑄𝑄𝑄𝑄𝑄𝑄௠௔௫= 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; 𝑄𝑄𝑄𝑄𝑄𝑄௠௔௫= ඥ𝑉𝑉2ଶ+ 𝑎𝑎𝑎𝑎𝑎𝑎ଶ+ 𝑉𝑉5ଶ 𝑎𝑎𝑎 𝑄𝑄𝑄𝑄𝑄𝑄௠௔௫= 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 chemotherapy in patients with germ cell tumors. J Clin Oncol. 1992;10:1609-14. 13. Fosså SD, Aass N, Harvei S, Tretli S. Increased mortality rates in young and middle-aged patients with malignant germ cell tumours. Br J Cancer. 2004;90:607-12. 14. Nuver J, Smit AJ, Sleijfer DT, van Gessel AI, van Roon AM, van 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 statistical analysis. 15. van den Belt-Dusebout AW, de Wit R, Gietema JA, Horenblas S, Louwman MW, Ribot JG, et al. Treatment-specific risks of second malignancies and cardiovascular disease in 5-year survivors of testicular cancer. J Clin Oncol. 2007;25:4370-8. 16. Lauritsen J, Hansen MK, Bandak M, Kreiberg MB, Skøtt JW, Wagner T, et al. Cardiovascular risk factors and disease after male germ cell cancer. J Clin Oncol. 2020;38:584-92. Limitation of the Study Conclusion It could be concluded that cisplatin treatment did not It could be concluded that cisplatin treatment did not J Clin Cardiol. 2022 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 Cisplatin-Based Chemotherapy in Testicular Cancer Survivors. J Clin Cardiol. 2022;3(1):1-11. show signs of late cardiotoxicity that could be documented by ECG. The ECG findings in patients treated by cisplatin were dominantly within normal limits and the number of pathological ECG findings was negligible. The GLM model did not show a significant effect of cisplatin-based therapy, but the ECG parameters were significantly affected by age and obesity. However, the additive effect of radiotherapy cannot be excluded. 9. Raghavan D, Cox K, Childs A, Grygiel J, Sullivan D. Hypercholesterolemia after chemotherapy for testis cancer. J Clin Oncol. 1992;10:1386-9. show signs of late cardiotoxicity that could be documented by ECG. The ECG findings in patients treated by cisplatin were dominantly within normal limits and the number of pathological ECG findings was negligible. The GLM model did not show a significant effect of cisplatin-based therapy, but the ECG parameters were significantly affected by age and obesity. However, the additive effect of radiotherapy cannot be excluded. 10. Hansen SW, Groth S, Daugaard G, Rossing N, Rørth M. Long- term effects on renal function and blood pressure of treatment with cisplatin, vinblastine, and bleomycin in patients with germ cell cancer. J Clin Oncol. 1988;6:1728-31. 11. Bokemeyer C, Berger CC, Kuczyk MA, Schmoll HJ. Evaluation of long-term toxicity after chemotherapy for testicular cancer. J Clin Oncol. 1996;14:2923-32. References 2022 Volume 3, Issue 1 9 Volume 3, Issue 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. T wave changes in LVH: a model study. J Electrocardiology. J Electrocardiol 2010; 43: 624-33. T wave changes in LVH: a model study. J Electrocardiology. J Electrocardiol 2010; 43: 624-33. chemotherapy with etoposide, cisplatin, and 5-fluorouracil. Korean J Intern Med. 1990;5:112-7. 24. Eskilsson J, Albertsson M, Mercke C. Adverse cardiac effects during induction chemotherapy treatment with cis-platin and 5-fluorouracil. Radiother Oncol. 1988;13:41-46. 36. Lu HR, Yan GX, Gallacher DJ. A new biomarker – index of cardiac electrophysiological balance (iCEB) – plays an important role in drug- induced cardiac arrhythmias: beyond QT prolongation and torsade de pointes (TdPs). J Pharmacol Toxical Methods 2013;68:250-9. 25. El-Hawwary AA, Omar NM. The influence of ginger administration on cisplatin-induced cardiotoxicity in rat: Light and electron microscopic study. Acta Histochem. 2019 Jul;121:553-62. 37. Robyns T, Lu HR, Gallacher DJ, Garweg C, Ector J, Willems R, et al. Evaluation of cardio-electrophysiological balance (iCEB) as a new biomarker for the identification of patients at increased arrhythmic risk. Ann Noninvasive Electrocardiol 2016; 21:294-304. 26. Chowdhury S, Sinha K, Banerjee S, Sil PC. Taurine protects cisplatin induced cardiotoxicity by modulating inflammatory and endoplasmic reticulum stress responses. Biofactors. 2016 Nov 12;42:647-64. 38. Altena R, Hummel YM, Nuver J, Smit AJ, Lefrandt JD, de Boer RA, et al. Longitudinal changes in cardiac function after cisplatin- based chemotherapy for testicular cancer. Annals of Oncology 2011;22:2286-93. 27. Bazett HC. An analysis of time relations of electrocardiograms. Heart 1920;7:353-67. Cited from: Salvi V, Karnad DR, Panicker K, Kothari S: Update on the evaluation of a new drug for effects on cardiac repolarization in humans: issues in early drug development. British J Pharmacol 2010; 159: 34-48. 39. Dugbartey GJ, Peppone LJ, de raaf IAM. An integrative view of cisplatin-induced renal and cardiac toxicities: molecular mechanisms, current treatment challenges and potential protective measures. Toxicology 2016; 371:58-66. 28. Fridericia HJ. Der Systolendaeur in Elektrokardiogram bei normalen Menchen und bei Herzkranken. Acta Med Scand 1920; 53: 469–86. Cited from: Russel T, Stein DS, Kazierad DJ: Design, conduct and analysis of thorough QT studies. References In: Bonate PL, Howard DR (eds.): Pharmacokinetics in drug development: Advances and applications, Volume 3, Springer, New York 2011: 211-41. 40. Sancho-Martínez SM, Prieto-García L, Prieto M, López-Novoa JM, López-Hernández FJ. Subcellular targets of cisplatin cytotoxicity: an integrated view. Pharmacol Ther. 2012;136:35-55. 41. Zack PM, Wiens RD, Kennedy HL Left-axis deviation and adiposity: the United States Health and Nutrition Examination Survey. Am J Cardiol. 1984;53:1129-34. 29. Rautaharju PM, Surawicz B, Gettes LS, Bailey JJ, Childers R, Deal BJ, et al. AHA/ACCF/HRS recommendations for the standardization and interpretation of the electrocardiogram: part IV: the ST segment, T and U waves, and the QT interval: a scientific statement from the American Heart Association Electrocardiography and Arrhythmias Committee, Council on Clinical Cardiology; the American College of Cardiology Foundation; and the Heart Rhythm Society: endorsed by the International Society for Computerized Electrocardiology. Circulation. 2009;119:e241-50. 42. Abergel E, Tase M, Menard J, Chatellier G. Influence of obesity on the diagnostic value of electrocardiographic criteria for detecting left ventricular hypertrophy. Am J Cardiol. 1996;77:739–44. 43. Palhares DMF, Marcolino MS, Santos TMM, da Silva JLP, Gomes PR, Ribeiro LB, et al. Normal limits of the electrocardiogram derived from a large database of Brazilian primary care patients. BMC Cardiovasc Disord. 2017;17:152. 30. Baumert M, Porta A, Vos MA, Malik M, Couderc JP, Laguna P, et al. QT interval variability in body surface ECG: measurement, physiological basis, and clinical value: position statement and consensus guidance endorsed by the European Heart Rhythm Association jointly with the ESC Working Group on Cardiac Cellular Electrophysiology. Europace. 2016;18:925-44. 30. Baumert M, Porta A, Vos MA, Malik M, Couderc JP, Laguna P, et al. QT interval variability in body surface ECG: measurement, physiological basis, and clinical value: position statement and consensus guidance endorsed by the European Heart Rhythm Association jointly with the ESC Working Group on Cardiac Cellular Electrophysiology. Europace. 2016;18:925-44. 44. Macfarlane PW, van Oosterom A, Pahlm O, Kligfield P, Janse J, Camm J. Comprehensive electrocardiology. London: Springer-Verlag; 2011. 45. Rijnbeek PR, van Herpen G, Bots ML, Man S, Verweij N, Hofman A, et al. Normal values of the electrocardiogram for ages 16–90 years. J Electrocardiol. 2014;47:914–21. 31. Kucharz J, Michalowska-Kaczmarczyk A, Zygulska AL, Wojtak J, Pawlik W, Herman RM, et al. Bradycardia as a rare symptom of cisplatin cardiotoxicity: A case report. Oncol Lett. 2016;11:2297-9. 46. References 1. Feldman DR, Bosl GJ, Sheinfeld J, Motzer RJ. Medical treatment of advanced testicular cancer. JAMA. 2008;299:672-84. 17. Gerl A. Vascular toxicity associated with chemotherapy for testicular cancer. Anticancer Drugs. 1994;5:607-14. 2. Einhorn LH. Treatment of testicular cancer: a new and improved model. J Clin Oncol. 1990;8:1777-81. 2. Einhorn LH. Treatment of testicular cancer: a new and improved model. J Clin Oncol. 1990;8:1777-81. 18. Stefenelli T, Kuzmits R, Ulrich W, Glogar D. Acute vascular toxicity after combination chemotherapy with cisplatin, vinblastine, and bleomycin for testicular cancer. Eur Heart J. 1988;9:552-56. 3. Kounis NG, Cervellin G, Lippi G. Cisplatin-induced bradycardia: Cardiac toxicity or cardiac hypersensitivity and Kounis syndrome? Int J Cardiol. 2016;202:817-8. 19. Jakubowski AA, Kemeny N. Hypotension as a manifestation of cardiotoxicity in three patients receiving cisplatin and 5-fluorouracil. Cancer. 1988;62:266-69. 4. Schlumbrecht MP, Hehr K. Cisplatin-induced bradycardia and the importance of the QT interval. J Oncol Pharm Pract. 2015;21:157-60. 20. van Schinkel LD, Willemse PM, van der Meer RW, Burggraaf J, van Elderen SG, Smit JW, et al. Chemotherapy for testicular cancer induces acute alterations in diastolic heart function. Br J Cancer. 2013;109:891-6. 5. Meinardi MT, Gietema JA, van der Graaf WT, van Veldhuisen DJ, Runne MA, Sluiter WJ, et al. Cardiovascular morbidity in long-term survivors of metastatic testicular cancer. J Clin Oncol. 2000;18:1725- 32. 21. Doll DC, List AF, Greco FA, Hainsworth JD, Hande KR, Johnson DH. Acute vascular ischemic events after cisplatin-based combination chemotherapy for germ-cell tumors of the testis. Ann Intern Med. 1986;105:48-51. 6. Sagstuen H, Aass N, Fosså SD, Dahl O, Klepp O, Wist EA, et al. Blood pressure and body mass index in long-term survivors of testicular cancer. J Clin Oncol. 2005;23:4980-90. 7. Huddart RA, Norman A, Shahidi M, Horwich A, Coward D, Nicholls J, et al. Cardiovascular disease as a long-term complication of treatment for testicular cancer. J Clin Oncol. 2003;21:1513-23. 22. Ozkan TA, Aydin U, Ay D, Cebeci IO. Cisplatin and bleomycin- induced acute peripheral-vascular stenosis in patient with testicular cancer. Urol Ann. 2016;8:483-85. 8. Nord C, Fosså SD, Egeland T. Excessive annual BMI increase after chemotherapy among young survivors of testicular cancer. Br J Cancer. 2003;88:36-41. 23. Lee KH, Lee JS, Kim SH. Electrocardiographic changes simulating acute myocardial infarction or ischemia associated with combination J Clin Cardiol. 2022 Volume 3, Issue 1 J Clin Cardiol. 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. electrocardiographic findings in healthy young individuals with a normal body mass index. Neth Heart J. 2019;27:506-512. 65. Bacharova L, Szathmary V, Mateasik A. QRS complex and ST segment manifestations of ventricular ischemia: the effect of regional slowing of ventricular activation. J Electrocardiol. 2013;46:497-504. 50. Vicent L, Martínez-Sellés M. Electrocardiogeriatrics: ECG in advanced age. J Electrocardiol. 2017;50:698-700. 66. Nielsen KM, Offersen BV, Nielsen HM, Vaage-Nilsen M, Yusuf SW. Short and long term radiation induced cardiovascular disease in patients with cancer. Clin Cardiol. 2017;40:255-61. 51. Molander U, Dey DK, Sundh V, Steen B. ECG abnormalities in the elderly: prevalence, time and generation trends and association with mortality. Aging Clin Exp Res. 2003;15:488-93. 67. Lenneman CG, Sawyer DB. Cardio-Oncology: An update on cardiotoxicity of cancer-related treatment. Circ Res. 2016;118:1008- 20. 52. Bacharova L, Krivosikova Z, Wsolova L, Gajdos M. Alterations in the QRS complex in the offspring of patients with metabolic syndrome and diabetes mellitus: early evidence of cardiovascular pathology. J Electrocardiol. 2012;45:244-251. 68. Zhu Q, Kirova YM, Cao L, Arsene-Henry A, Chen J. Cardiotoxicity associated with radiotherapy in breast cancer: A question-based review with current literatures. Cancer Treat Rev. 2018;68:9-15. 53. Bacharova L, Triantafyllou E, Vazaios C, Tomeckova I, Paranicova I, Tkacova R. The effect of obstructive sleep apnea on QRS complex morphology. J Electrocardiol. 2015;48:164-70. 69. Seemann I, Gabriels K, Visser NL, Hoving S, te Poele JA, Pol JF, et al. Irradiation induced modest changes in murine cardiac function despite progressive structural damage to the myocardium and microvasculature. Radiother Oncol. 2012;103:143-50. 54. Wang Y, Yin X, Liang X, Chen Y, Pan S, Chen Z, et al. Three- dimensional vectorcardiographic characteristics of breast cancer patients treated with chemotherapy. J Electrocardiol. 2021;67:23-30. 70. DeBo RJ, Lees CJ, Dugan GO, Caudell DL, Michalson KT, Hanbury DB, et al. Late effects of total-body gamma irradiation on cardiac structure and function in male Rhesus Macaques. Radiat Res. 2016;186:55-64. 55. Kannel WB, Anderson K, McGee DL, Degatano LS, Stampfer MJ. Nonspecific electrocardiographic abnormality as a predictor of coronary heart disease: the Framingham Study. Am Heart J. 1987;113:370-6. 71. Boerma M, Hauer-Jensen M. Preclinical research into basic mechanisms of radiation-induced heart disease. Cardiol Res Pract. 2010;2011. pii: 858262. 56. Greenland P, Xie X, Liu K, Colangelo L, Liao Y, Daviglus ML, et al. Impact of minor electrocardiographic ST-segment and/or T-wave abnormalities on cardiovascular mortality during long-term follow- up. Am J Cardiol. 2003;91:1068-74. 72. References Elffers TW, de Mutsert R, Lamb HJ, Maan AC, Macfarlane PW, Willems van Dijk K, et al. Relation of overall and abdominal adiposity with electrocardiogram parameters of subclinical cardiovascular disease in individuals aged 45 to 65 years (from the Netherlands Epidemiology of Obesity Study). Am J Cardiol. 2018;121:570-8. 32. Chandrasekhar S, Fradley MG. QT interval prolongation associated with cytotoxic and targeted cancer therapeutics. Curr Treat Options Oncol. 2019;20:55. 33. Porta-Sánchez A, Gilbert C, Spears D, Amir E, Chan J, Nanthakumar K, et al. Incidence, diagnosis, and management of QT prolongation induced by cancer therapies: A systematic review. J Am Heart Assoc. 2017;6. pii: e007724. 47. Alpert MA, Terry BE, Cohen MV, Fan TM, Painter JA, Massey CV. The electrocardiogram in morbid obesity. Am J Cardiol. 2000;85:908- 10. 48. Eisenstein I, Edelstein J, Sarma R, Sanmarco M, Selvester RH. The electrocardiogram in obesity. J Electrocardiol. 1982;15:115–8. 34. Cubeddu LX. QT prolongation and fatal arrhythmias: a review of clinical implications and effects of drugs. Am J Ther. 2003;10:452-7. 49. Hassing GJ, van der Wall HEC, van Westen GJP, Kemme MJB, Adiyaman A, Elvan A, et al. Body mass index related 49. Hassing GJ, van der Wall HEC, van Westen GJP, Kemme 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 after chemotherapy for superficial esopheal cancer: a retrospective kohort study. BMC Cancer 2019; 19:195. 57. Martinho N, Santos TCB, Florindo HF, Silva LC. Cisplatin- Membrane Interactions and Their Influence on Platinum Complexes Activity and Toxicity. Front Physiol. 2019;9:1898. 73. Guzzardi MA, Iozzo P. Fatty heart, cardiac damage, and inflammation. Rev Diabet Stud 2011;8:403-417. 58. El-Awady el-SE, Moustafa YM, Abo-Elmatty DM, Radwan A. Cisplatin-induced cardiotoxicity: Mechanisms and cardioprotective strategies. Eur J Pharmacol. 2011;650:335-41. 74. Iozzo P. Myocardial, perivascular, and epicardial fat. Diabetes Care 2011;34 Suppl 2:S371-379. 59. Alexandre J, Moslehi JJ, Bersell KR, Funck-Brentano C, Roden DM, Salem JE. Anticancer drug-induced cardiac rhythm disorders: Current knowledge and basic underlying mechanisms. Pharmacol Ther. 2018;189:89-103. 75. Altena R, de Haas EC, Nuver J, Brouwer CA, van den Berg MP, Smit AJ, Postma A, Sleijfer DT, Gietema JA. Evaluation of sub-acute changes in cardiac function after cisplatin-based combination chemotherapy for testicular cancer. Br J Cancer. 2009;100:1861-6. 60. Spencker S, Schmittel A, Westermann D, Marek A, Schultheiss HP, Witzenbichler B. Angina pectoris and ST-elevation after chemotherapy with 5-fluorouracil. Internist (Berl). 2007;48:69-72. 61. Finsterer J, Ohnsorge P. Influence of mitochondrion-toxic agents on the cardiovascular system. Regul Toxicol Pharmacol. 2013;67:434- 45. 62. Bachmeyer C, Joly H, Jorest R. Early myocardial infarction during chemotherapy for testicular cancer. Tumori. 2000;86:428-30. 63. Surawicz B, Knilans TK: Chou’s Electrocardiography in Clinical Practice. 6th Ed. Philadelphia: Saunders Elsevier; 2008. 64. Bacharova L, Mateasik A, Krause R, Prinzen FW, Auricchio A, Potse M. The effect of reduced intercellular coupling on electrocardiographic signs of left ventricular hypertrophy. J Electrocardiol. 2011;44:571-6. J Clin Cardiol. 2022 Volume 3, Issue 1 J Clin Cardiol. 2022 Volume 3, Issue 1 11 11
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Nucleotide excision repair pathway assessment in DNA exposed to low-intensity red and infrared lasers
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, doi: 10.1016/S1011-1344(03)00018-6. 1. Raber-Durlacher JE, von Bultzingslowen I, Logan RM, Bowen J, Al-Azri AR, Everaus H, et al. Systematic review of cytokines and growth factors for the management of oral mucositis in cancer patients. Support Care Cancer 2013; 21: 343–355, doi: 10.1007/s00520-012-1594-5. 17. Fonseca AS, Geller M, Bernardo Filho M, Valenca SS, de Paoli F. Low-level infrared laser effect on plasmid DNA. Lasers Med Sci 2012; 27: 121–130, doi: 10.1007/s10103- 011-0905-2. 2. McGowan D. 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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>
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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. 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Contribution of TEX15 genetic variants to the risk of developing severe non-obstructive oligozoospermia
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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). 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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 online at: https://www.frontiersin.org/articles/10.3389/fcell.2022. 1089782/full#supplementary-material References doi:10.1093/nar/gkz947 Guo, J., Grow, E. J., Mlcochova, H., Maher, G. 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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 .حا ز على ا ادة الدبلوم العالي 129 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة ق اهداه الدراسة كون ا تعرض على المستجوبين اسئلة تت ق مع فرضية الدراسة واهدافة الرئيسة : 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 - ، 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 . 03 - ، 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 ر 1- 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 “ 8th ed ,South Western Publishing company ,Ohio ,1984 . th g p y 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 م االخ المستجوب المحتر م نضاع باين اياديكم اساتبانة الدراساة الموساومة ( اهمياة تخفايض التكااليف التساويقية والاتحكم فيهاا لمنظمااات . : المصادر االجنبية - ًثانيا ميسة تنافسية تدعم بقائ ا في السوق 0 ان تخ يض تكاليف االعالن والتروي يساعد . الشركة على زيادة مستوب ارباح ا 3 ان تخ يض تكاليف االعالن والتروي من قبز الشركة مع المحافظة على ن س مستوب مبيعات ا يدو على ان الشركة تعمز باقصى ك اءة وفاعلية ممكنة 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 .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 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 . الباحث على استعداد تام للتوضيح واالجابة على اي است سار يتعلق ب قرات االستبانة مع فائق شكرنا وتقديرنا الباحث م.م علي قاسم حسن العبيدي 20 |6| 2010 142 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة أوآل– : معلومات شخصية يرجى وضع عالمة ( ) في المربع المناسب العمر 02 - 32 سنة30 - 42 سنة 40 - 12 سنة 10 سنة فأك ر الجنس ذكر ان ى الماهز العلمي اعدادية دبلوم بكالوريوم دبلوم عالي ماجستير دكتوراة مد الخدم بالوظيف 0 - 4 سن 4 - 3 سن 1 - 01 سنة 01 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 . منتجات ا ال اتفق بشدة ال اتفق محايد اتفق اتفق بشدة الفقرة ت تستطيع الشركة من تخ يض تكاليف االعالن والتروي مع المحافظة على ن س مستوب مبيعات ا في السوق. 0 تساعد عملية تخ يض تكاليف االعالن والتروي الشركة على بيع منتجات ا باقز اسعار ممكنة 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 ال اتفق بشدة ال اتفق مح ايد اتفق اتفق بشدة الفقرة ت تسعى الشركة الى تخ يض رواتب واجور الوسطاء والموزعين غير الك وءين الى . ادنى حد ممكن 0 ان تخ يض تكاليف الخسن والتوزيع يخ ض من اجمالي تكاليف الشركة ويساعدهاعلى زيادة . ارباح ا ويعسز بقائ ا في السوق 0 تعمز ا لشركة على تخ يض رواتب واجور . العاملين في المخازن الى ادنى حد ممكن 3 تقوم الشركة بتخ يض مصاره التأمين على مخازن الشركة ومصاريف االدوات المكتبية ومصاريف االج سة والمعدات المستخدمة . في مخازن الشركة الى ادنى حد ممكن 4 ان قيام الشركة بتخ يض تكاليف الخسن والتوزيع مع المحافظة على ن س حجم مبيعات ا في السوق . يدو على ان الشركة تعمز بك اءة عالية 1 ال اتفق بشدة ال اتفق محايد اتفق اتفق بشدة الفقرة ت ان تخ يض تكاليف البيع الياثر على الحصة . السوقية لمبيعات الشركة 0 تعمز الشركة على تخ يض رواتب واجور ومكافأت رجاو البيع ومندوبي المبيعات غير . الك وءين الى ادنى حد ممكن 0 تساعد عملية تخ يض تكاليف البيع الشركة على بيع منتجات ا باسعار منخ ة تعسز الموقف . التنافسي ل ا في السوق 3 تسعى الشركة الى تخ يض مصاريف ادارة المبيعات ومصاريف س ر وانتقاو رجاو البيع الى االسواق ذات . المبيعات المنخ ة 4 ان تخ يض تكاليف البيع ياثر على اجمالي تكاليف الشركة ويساعد على زيادة مستوب . 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 ال اتفق مح ايد اتفق اتفق بشدة الفقرة ت تسعى الشركة الى تخ يض رواتب واجور الوسطاء والموزعين غير الك وءين الى . ادنى حد ممكن 0 ان تخ يض تكاليف الخسن والتوزيع يخ ض من اجمالي تكاليف الشركة ويساعدهاعلى زيادة . ارباح ا ويعسز بقائ ا في السوق 0 تعمز ا لشركة على تخ يض رواتب واجور . العاملين في المخازن الى ادنى حد ممكن 3 تقوم الشركة بتخ يض مصاره التأمين على مخازن الشركة ومصاريف االدوات المكتبية 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 ال اتفق محايد اتفق اتفق بشدة الفقرة ت تستطيع الشركة من تخ يض تكاليف االعالن والتروي مع المحافظة على ن س مستوب مبيعات ا في السوق. 0 تساعد عملية تخ يض تكاليف االعالن والتروي الشركة على بيع منتجات ا باقز اسعار ممكنة مقارنة بالشركات المماثلة مما يمنح ا . ميسة تنافسية تدعم بقائ ا في السوق 0 ان تخ يض تكاليف االعالن والتروي يساعد . الشركة على زيادة مستوب ارباح ا 3 ان تخ يض تكاليف االعالن والتروي من قبز الشركة مع المحافظة على ن س مستوب مبيعات ا يدو على ان الشركة تعمز باقصى ك اءة وفاعلية ممكنة 4 ال تاثر عملية نخ يض تكاليف االعالن والتروي على اجمالي تكاليف الشركة وعلى مستوب ارباح ا وموق ا التنافسي في السوق . 1 ال اتفق بشدة ال اتفق محايد اتفق اتفق بشدة الفقرة ت تستطيع الشركة من تخ يض تكاليف االعالن والتروي مع المحافظة على ن س مستوب مبيعات ا في السوق. 0 تساعد عملية تخ يض تكاليف االعالن والتروي الشركة على بيع منتجات ا باقز اسعار ممكنة مقارنة بالشركات المماثلة مما يمنح ا . ميسة تنافسية تدعم بقائ ا في السوق 0 ان تخ يض تكاليف االعالن والتروي يساعد . الشركة على زيادة مستوب ارباح ا 3 ان تخ يض تكاليف االعالن والتروي من قبز الشركة مع المحافظة على ن س مستوب مبيعات ا يدو على ان الشركة تعمز باقصى ك اءة وفاعلية ممكنة 4 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 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 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 0 - تكاليف الخسن والتوزيع : وتشمز كافة تكاليف خسن منتجات الشركة ورواتب العاملين في المخازن وتكاليف االدوات والمعدات . : االسئلة المتعلقة بمتغيرات الدراسة -ثانيآ في مخازن الشركة الى ادنى حد ممكن 4 ان قيام الشركة بتخ يض تكاليف الخسن والتوزيع مع المحافظة على ن س حجم مبيعات ا في السوق . يدو على ان الشركة تعمز بك اءة عالية 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 اتفق بشدة الفقرة ت ان تخ يض تكاليف البيع الياثر على الحصة . السوقية لمبيعات الشركة 0 تعمز الشركة على تخ يض رواتب واجور ومكافأت رجاو البيع ومندوبي المبيعات غير . الك وءين الى ادنى حد ممكن 0 تساعد عملية تخ يض تكاليف البيع الشركة على بيع منتجات ا باسعار منخ ة تعسز الموقف . التنافسي ل ا في السوق 3 تسعى الشركة الى تخ يض مصاريف ادارة المبيعات ومصاريف س ر وانتقاو رجاو البيع الى االسواق ذات . المبيعات المنخ ة 4 ان تخ يض تكاليف البيع ياثر على اجمالي 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 . التسويقي ال اتفق بشدة ال اتفق محايد اتفق اتفق بشدة الفقرة ت ان تخ يض تكاليف الدراسات والبحوث التسويقية تاثر. على اجمالي تكاليف الشركة 0 تعمز الشركة على تخ يض رواتب واجور الخبراء والمستشارين في مجاو التسويق . غير ال اعلين 0 ان تخ يض تكاليف الدراسات والبحوث التسويقية يساعد الشركة على بيع منتجات ا باسعار .تنافسية مقارنة بالشركات المماثلة 3 التاث ر عملية تخ يض تكاليف الدراسات والبحوث التسويقية على مستوب مبيعات الشركة . في السوق 4 ان تخ يض تكاليف الدراسات والبحوث . التسويقية يساعد على زيادة ارباح الشركة 1 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 0202 / أنساني / الرابع العدد – الثامن المجلد – العلمية كربالء جامعة مجلة 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 . التسويقي ال اتفق بشدة ال اتفق محايد اتفق اتفق بشدة الفقرة ت ان تخ يض تكاليف الدراسات والبحوث التسويقية تاثر. على اجمالي تكاليف الشركة 0 تعمز الشركة على تخ يض رواتب واجور الخبراء والمستشارين في مجاو التسويق . غير ال اعلين 0 ان تخ يض تكاليف الدراسات والبحوث التسويقية يساعد الشركة على بيع منتجات ا باسعار .تنافسية مقارنة بالشركات المماثلة 3 التاث ر عملية تخ يض تكاليف الدراسات والبحوث التسويقية على مستوب مبيعات الشركة . في السوق 4 ان تخ يض تكاليف الدراسات والبحوث . التسويقية يساعد على زيادة ارباح الشركة 1 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 يق الت ال اتفق بشدة ال اتفق محايد اتفق اتفق بشدة الفقرة ت ان تخ يض تكاليف الدراسات والبحوث التسويقية تاثر. على اجمالي تكاليف الشركة 0 تعمز الشركة على تخ يض رواتب واجور الخبراء والمستشارين في مجاو التسويق . غير ال اعلين 0 ان تخ يض تكاليف الدراسات والبحوث التسويقية يساعد الشركة على بيع منتجات ا باسعار .تنافسية مقارنة بالشركات المماثلة 3 التاث ر عملية تخ يض تكاليف الدراسات والبحوث التسويقية على مستوب مبيعات الشركة . في السوق 4 ان تخ يض تكاليف الدراسات والبحوث . التسويقية يساعد على زيادة ارباح الشركة 1 146
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Praktik Promo Tebus Murah Merchant Alfamart dalam Perspektif Al-Uqud Al-Mutaqabilah
Jurnal Riset Ekonomi Syariah
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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
https://openalex.org/W4232523373
https://europepmc.org/articles/pmc3793826?pdf=render
Sinhala, Sinhalese
null
(<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
cc-by
5,814
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
https://openalex.org/W1988598393
https://www.frontiersin.org/articles/10.3389/fmicb.2012.00312/pdf
English
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Structural Basis for Specific Recognition of Substrates by Sapovirus Protease
Frontiers in microbiology
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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., and White, P. A. (2011). Compari- 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- teolytic processing of the MD145 norovirus ORF1 nonstructural 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- ery, C., Fleming, D. M., and Gray, J. J. (2009). Structured surveillance of infectious intestinal disease in pre-school children in the commu- nity: “The Nappy Study.” Epidemiol. Infect. 137, 922–931. Chiba, S., Nakata, S., Numata- Kinoshita, K., and Honma, S. (2000). Sapporo virus: history and recent findings. J. Infect. Dis. 181(Suppl. 2), S303–S308. Bergmann,E. M.,Cherney,M. M.,Mck- endrick, J., Frormann, S., Luo, C., Malcolm, B. A., Vederas, J. C., and James, M. N. (1999). Crystal struc- ture of an inhibitor complex of the 3C proteinase from hepatitis A virus (HAV) and implications for the polyprotein processing in HAV. Virology 265, 153–163. Hansman, G. S., Oka, T., Katayama, K., and Takeda, N. (2007). Human sapoviruses: genetic diversity, 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. 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Citation: Yokoyama M, Oka T, Kojima H, Nagano T, Okabe T, Katayama K, Wakita T, Kanda T and Sato H (2012) Structural basis for specific recognition of substrates by sapovirus protease. Front. Microbio. 3:312. doi: 10.3389/fmicb.2012.00312 This article was submitted to Frontiers in Virology, a specialty of Frontiers in Microbiology. Received: 11 June 2012; paper pend- ing published: 10 July 2012; accepted: 08 August 2012; published online: 05 September 2012. Oka, T., Yamamoto, M., Katayama, K., Hansman, G. S., Ogawa, S., Miya- mura, T., and Takeda, N. (2006). Identification of the cleavage sites of sapovirus open reading frame 1 polyprotein. J. Gen. Virol. 87, 3329–3338. Citation: Yokoyama M, Oka T, Kojima H, Nagano T, Okabe T, Katayama K, Wakita T, Kanda T and Sato H (2012) Structural basis for specific recognition of substrates by sapovirus protease. Front. Microbio. 3:312. doi: 10.3389/fmicb.2012.00312 Schuster, D., Laggner, C., Steindl, T. M., Palusczak, A., Hartmann, R. W., and Langer, T. (2006a). Pharmacophore modeling and in silico screening for new P450 19 (aromatase) inhibitors. J. Chem. Inf. Model. 46, 1301–1311. Motomura, K., Yokoyama, M., Ode, H., Nakamura, H., Mori, H., Kanda, T., Oka, T., Katayama, K., Noda, M., Tanaka, T., Takeda, N., and Sato, H. (2010). Divergent evolution of norovirus GII/4 by genome recom- bination from May 2006 to Feb- ruary 2009 in Japan. J. Virol. 84, 8085–8097. Oka, T., Yamamoto, M., Yokoyama, M., Ogawa, S., Hansman, G. S., Katayama, K., Miyashita, K., Takagi, H., Tohya, Y., Sato, H., and Takeda, N. (2007). Highly conserved con- figuration of catalytic amino acid residues among calicivirus-encoded proteases. J. Virol. 81, 6798–6806. This article was submitted to Frontiers in Virology, a specialty of Frontiers in Microbiology. Schuster, D., Maurer, E. M., Lag- gner, C., Nashev, L. G., Wilck- ens, T., Langer, T., and Oder- matt, A. (2006b). The discovery of new 11beta-hydroxysteroid dehy- drogenase type 1 inhibitors by com- mon feature pharmacophore mod- eling and virtual screening. J. Med. Chem. 49, 3454–3466. Copyright © 2012 Yokoyama, Oka, Kojima, Nagano, Okabe, Katayama, Wakita, Kanda and Sato. REFERENCES A proposal for a new HIV-1 DLS struc- tural model. Nucleic Acids Res. 40, 5012–5022. Mirny, L. A., and Shakhnovich, E. I. (1999). Universally conserved posi- tions in protein folds: reading evolu- tionary signals about stability, fold- ing kinetics and function. J. Mol. Biol. 291, 177–196. Oka, T., Katayama, K., Ogawa, S., Hans- man,G. S.,Kageyama,T.,Miyamura, T., and Takeda, N. (2005a). Cleavage activity of the sapovirus 3C-like pro- tease in Escherichia coli. Arch. Virol. 150, 2539–2548. Zeitler, C. E., Estes, M. K., and Venkataram Prasad, B. V. (2006). X-ray crystallographic structure of the Norwalk virus protease at 1.5-A resolution. J. Virol. 80, 5050–5058. 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Differential cleavage of the norovirus polypro- tein precursor by two active forms of the viral protease. J. Gen. Virol. 88, 2013–2018. REFERENCES This is an open-access article distributed under the terms of the Creative Commons Attribu- tion License, which permits use, distrib- ution and reproduction in other forums, provided the original authors and source are credited and subject to any copy- right notices concerning any third-party graphics etc. Naganawa, S., Yokoyama, M., Shi- ino, T., Suzuki, T., Ishigatsubo, Y., Ueda, A., Shirai, A., Takeno, M., Hayakawa, S., Sato, S., Tochikubo, O., Kiyoura, S., Sawada, K., Ikegami, T., Kanda, T., Kitamura, K., and Sato, H. (2008). Net positive charge of HIV-1 CRF01_AE V3 sequence regulates viral sensitivity to humoral Oka, T., Yokoyama, M., Katayama, K., Tsunemitsu, H., Yamamoto, M., Miyashita, K.,Ogawa, S.,Motomura, Oka, T., Yokoyama, M., Katayama, K., Tsunemitsu, H., Yamamoto, M., Miyashita, K.,Ogawa, S.,Motomura, K., Mori, H., Nakamura, H., Wakita, T., Takeda, N., and Sato, H. (2009). Structural and biological constraints on diversity of regions immediately Shannon, C. E. (1948). A mathematical theory of communication. Bell Syst. Tech. J. 27, 379–423, 623–656. hirakawa, K., Takaori-Kondo, A., Yokoyama, M., Izumi, T., Matsui, Frontiers in Microbiology | Virology September 2012 | Volume 3 | Article 312 | 10 10
https://openalex.org/W4389977840
https://journal.uii.ac.id/JIPRO/article/download/28231/15280
Indonesian
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IMPLEMENTASI HUKUM RAHASIA DAGANG SEBAGAI HAK KEKAYAAN INTELEKTUAL DI ERA DIGITAL
Journal of Intellectual Property
2,023
cc-by
2,719
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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Diabetogenic Effects of Ochratoxin A in Female Rats
Toxins
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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 pp 2. Fink-Gremmels, J. Ochratoxin A in food: recent developments and significance. Food Addit. Contam. 2005, 22, Suppl 1, 1-5. 4. O’Brien, E.; Dietrich, D.R. Ochratoxin A: The continuing enigma. Crit. Rev. Toxicol. 2005, 35, 33-60. pp 3. 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 A: Preliminary results of a survey in foodstuff, Acta Pathol. Microbiol. Scand. B. 1977, 85, 238 –240. 10. Pavlovic, M.; Plestina, R.; Krogh, P. Ochratoxin A contamination of foodstuffs in an area with Balkan (endemic) nephropathy, Acta Pathol. Microbiol. Scand. B. 1979, 87, 243–246. 11. Jurjevic, Z.; Solfrizzo, M.; Cvjetkovic, B.; Avantoggiato, G.; Visconti, A. Ochratoxin A and Fumonisin (B1 and B2) in maize from Balkan nephropathy endemic and non endemic areas of Croatia. Mycotoxin Res. 1999, 15, 67–80. 12. Puntarić, D.; Bosnir, J.; Smit, Z.; Skes, I.; Baklaić, Z. Ochratoxin A in corn and wheat: geographical association with endemic nephropathy. Croat Med. J. 2001, 42,175-180. 13. Akash, M.S.H.; Shen, Q.; Rehman, K.; Chen, S. Interleukin-1 receptor antagonist: a new therapy for type 2 diabetes mellitus. J. Pharm. Sci. 2012, 101, 1647–1658. 14. Anjum, R.; Zahra, N.; Rehman, K.; Alam, R.; Parveen, A; Akash, M.S.H. Comparative analysis of serum lipid profile between normotensive and hypertensive Pakistani pregnant women. J. Mol. Genet. Med. 2013,7,64. 15. Akash, M.S.H.; Rehman, K.; Chen, S. Role of inflammatory mechanisms in pathogenesis of type 2 diabetes mellitus. J. Cell Biochem. 2013a,114, 525–531. 16. Akash, M.S.H., Rehman, K., Chen. S. An overview of valuable scientific models for diabetes mellitus. Curr. Diabetes. Rev. 2013b, 9, 286–293. 17. Nayak, B.S.,Roberts, L Relationship between inflammatory markers, metabolic and anthropometric variables in the Caribbean type 2 diabetic patients with and without microvascular complications. J Inflam. 2006, 3, article no. 17. 18. ADA (American Diabetes Association) Evidence-based nutrition principles and recommendations for the treatment and prevention of diabetes and related complications (Position Statement). Diabetes Care 2003, 26 Suppl 1, S51–61. 19. Yajnik, C.S. The insulin resistance epidemic in India: fetal origins, later lifestyle, or both? Nutritional Rev. 2001, 59, 1–9. 20. Molitch, M.E. Diabetes mellitus. In: Walker HK, Hall WD and Hurst JW (eds) Clinical Methods: Th History, Physical, and Laboratory Examinations. 3rd edition. Boston: Butterworths, 1990, Chapter 136. 21. Colditz, G.A.; Manson, J.E.; Stampfer, M.J.; Rosner, B.; Willett, W.C.; Speizer, F.E. Diet and risk o clinical diabetes in women. Am. J. Clin. Nutr. 1992, 55, 1018–1023. 22. Knowler, W.C.; Barrett-Connor, E.; Fowler, S.E.; Hamman, R.F.; Lachin, J.M.; Walker, E.A.; Nathan, D.M.; Diabetes Prevention Program Research Group. References 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. 2. Fink-Gremmels, J. Ochratoxin A in food: recent developments and significance. Food Addit. Contam. 2005, 22, Suppl 1, 1-5. 3. WHO. Selected Mycotoxins: Ochratoxins, Trichothecenes, Ergot (Environmental Health Criteria 105), 1990, Geneva 4. O’Brien, E.; Dietrich, D.R. Ochratoxin A: The continuing enigma. Crit. Rev. Toxicol. 2005, 35, 33-60. 4. O’Brien, E.; Dietrich, D.R. Ochratoxin A: The continuing enigma. Crit. Rev. Toxicol. 2005, 35, 33-60. 5. EFSA (European Food Safety Authority). Opinion of the Scientific Committee on a request from EFSA related to Exposure Assessments. Adopted on 22 June 2005. EFSA J. 2005; 249, 1-26. 5. EFSA (European Food Safety Authority). Opinion of the Scientific Committee on a request from EFSA related to Exposure Assessments. Adopted on 22 June 2005. EFSA J. 2005; 249, 1-26. 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. 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.), 53–57. 7. Kuiper-Goodman, T. Risk assessment of ochratoxin A: An update. Food Addit. Contam. 1996, 13(Suppl.) 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, London 1993, Vol. 231, pp. 85– 100. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 13 April 2017 Reduction in the incidence of type 2 diabetes with lifestyle intervention or metformin. N. Engl. J. Med. 2002, 346, 393–403. 23. Pfohl-Leszkowicz, A.; Manderville, R.A. Ochratoxin A: An overview on toxicity and carcinogenicity in animals and humans. Mol. Nutr. Food Res. 2007, 51, 61 – 99. 24. Shanmugasundaram, E.R.B.; Parameswari, C.S.; Shanmugasundaram, K.R. Tereic Acid- A 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 tolerance studied in rats. Curr. Sci. 1986, 55, 98-100. 27. Kumar, S.N.; Gopal, A. Toxic manifestation of endosulfan and ochratoxin- A in adult male rats. MOJ Toxicol., 2015, 1, 1-6. 28. Stoev SD, Stoeva JK, Anguelov G, Hald B, Creppy EE, Radic B. Haematological, biochemical and toxicological investigations in spontaneous cases with different frequency of porcine nephropathy in Bulgaria. Zentralbl Veterinarmed A., 1998, 45, 229-36. 29. Stoev SD, Gundasheva D, Zarkov I, Mircheva T, Zapryanova D, Denev S, Mitev Y, Daskalov H, Dutton M, Mwanza M, Schneider YJ. Experimental mycotoxic nephropathy in pigs provoked by a mouldy diet containing ochratoxin A and fumonisin B1. Exp Toxicol Pathol., 2012, 64, 733-41. 30. Stoev SD, Vitanov S, Anguelov G, Petkova-Bocharova T, Creppy EE. Experimental mycotoxic nephropathy in pigs provoked by a diet containing ochratoxin A and penicillic acid. Vet Res Commun.,2001, 25, 205-23. 31. Pleadin J, Perši N, Mitak M, Terzić S, Milić D, Vulić A, Brstilo M. Biochemical changes in pig serum after ochratoxin A exposure. Bull Environ Contam Toxicol., 2012, 88, 1043-7 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 32. Mir MS, Dwıvedi P. Ochratoxin A-induced serum biochemical altertions in New Zealand White rabbits (Oryctolagus cuniculus). 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Self-administered acupressure for treating adult psychiatric patients with constipation: a randomized controlled trial
Chinese medicine
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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. 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Neural mechanism of acupuncture-induced gastric relaxations in rats. Dig Discov Sci. 2003;45:59–68. 16. Marieke D, Marloes EJ, de Giel-Jan V, Martha A, Bob F, Marc A. Behavioral therapy for childhood constipation: a randomized controlled trial. J Am Acad Pediatrics. 2008;121(5):1334–41. 45. References 28. Wang HP, Horng HC, Lu CM, Chen MY, Chen HC, Chang CH, Lin CH. The effectiveness of acupressure on stroke patient with constipation. Chang Gung Nurs. 2006;17(4):418–27. 1. Cheng C, Chan AOO, Hui WM, Lam SK. Coping strategies, illness percep- tion, anxiety and depression of patients with idiopathic constipation: a population-based study. Aliment Pharmacol Ther. 2003;18(3):319–26. 1. Cheng C, Chan AOO, Hui WM, Lam SK. Coping strategies, illness percep- tion, anxiety and depression of patients with idiopathic constipation: a population-based study. Aliment Pharmacol Ther. 2003;18(3):319–26. g 29. Chen YT, Chang Y, Bai CH. The effectiveness of acupressure at relieving constipation in neurological patients. J Evid Based Nurs. 2006;2(4):301–10. p p y 2. Higgens PD, Johanson JF. Epidemiology of constipation in North America a systematic review. Am J Gastroenterol. 2004;99:750–9. p p y 2. Higgens PD, Johanson JF. Epidemiology of constipation in North Americ a systematic review. Am J Gastroenterol. 2004;99:750–9. 30. Lin SF, Tang WR, Chang YC, Maa SH. Effectiveness of acupressure on elderly patients with constipation. J Nurs Healthc Res. 2011;7(3):175–87. 3. Dockx L, De Hert M. Antipsychotic and constipation: literature review. Psychiatric Nurs. 2009;3:141–51. 3. Dockx L, De Hert M. Antipsychotic and constipation: literature review. Psychiatric Nurs. 2009;3:141–51. 31. Scogin F, Hanson A, Welsh D. Self-administered treatment in stepped-care models of depression treatment. J Clin Psychol. 2003;59:341–9. 4. Wilson L. Understanding bowel problems in older people: part 2. Nurs Older People. 2005;17:24–9. 4. Wilson L. Understanding bowel problems in older people: part 2. Nurs Older People. 2005;17:24–9. p y 32. Watkins PL, Clum GA. Handbook of self-help therapy. New York: Taylor & Francis Group; 2008. 5. Bengtsson M, Ohlsson B. Psychological well-being and symptoms in women with chronic constipation treated with sodium picosulphate. Gastroenterol Nurs. 2005;28(1):3–12. 5. Bengtsson M, Ohlsson B. Psychological well-being and symptoms in women with chronic constipation treated with sodium picosulphate. Gastroenterol Nurs. 2005;28(1):3–12. 33. Wong WK. Evaluation of the effect of acupressure protocol on adult psychiatric in-patients with constipation. DHSc thesis. The Hong Kong Polytechnic University, Faculty of Health and Social Sciences; 2014. 6. Jay RT, Gail AC. Palliative care and pain: new strategies for managing opioid bowel dysfunction. Journal of Palliative Medicine. 2008;11(1):1–19 34. McMillan SC, Williams FA. Validity and reliability of the Constipa Assessment Scale. Cancer Nurs. 1989;12(3):183–8. 7. Dennison C, Prasad M, Lloyd A, Bhattacharyya SK, Dhawan R, Coyne K. The health-related quality of life and economic burden of constipation. Received: 25 September 2014 Accepted: 26 October 2015 26. Stannard D. Pressure prevents nausea. Nurs Times. 1989;85(4):33–4. 27. Dundee JW, Yang J. Prolongation of the antiemetic action of P6 acupunc- ture by acupressure in-patients having cancer chemotherapy. J R Soc Med. 1990;83:360–2. Acknowledgements The data collection for this paper was supported by the Forensic Psychiat- 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 All authors declare that they have no competing interests. 24. Liu Y. The essential book of traditional Chinese medicine. New York: Columbia University Press; 1988. y 25. Davis CL, Lewith GT, Broomfield J, Prescott P. A pilot project to assess the methodological issues in evaluating acupuncture as a treatment for disabling breathlessness. J Altern Complement Med. 2001;7(6):633–9. Received: 25 September 2014 Accepted: 26 October 2015 References Zhu B, Rong PJ, Li YQ, Mei ZG, He W. Acupoints-stimulated effec- tive regularity and its mechanisms. World J Acupunct Moxibustion. 2009;19(1):6–10. 17. Marybetts S. Review: the use of abdominal massage to treat chronic constipation. J Bodyw Mov Ther. 2010;xx:1–10. 46. Stahl E, Lindberg A, Jansson SA, et al. Health-related quality of life is related to COPD disease severity. Health Qual Life Outcomes. 2005;3:56. 18. Zhang W. Evaluation of therapeutic effect and safety of deep acupunc- ture at Tianshu (ST25) for treatment of slow transit constipation. J Tradit Chin Med. 2006;47:105–7. 47. Wald A, Scarpignato C, Kamm MA, Mueller-lissners S, Helfrich I, Schuijt C, Petrini O. The burden of constipation on quality of life: results of a multinational survey. Aliment Pharmacol Ther. 2007;26(2):227–36. 19. Wang LS, Chen YM. Effective observation of using the acupuncture on the kidney meridian of foot-shaoyin to treat constipation. Liaoning J Tradit Chin Med. 2006;33:881–2. 48. Anderson L, Lewis G, Araya R, Elgie R, Harrison G, Proudfoot J, Williams C. Self-help books for depression: how can practitioners and patients make the right choice? Br J Gen Pract. 2005;55:387–92. 20. Liu ZS, Zheng CZ, Zhang W. Observation on the short-term therapeutic effect of deep-needling Tianshu (ST25) on senile constipation. Chin Acupunct Moxibustion. 2004;24:155–6. 49. Pantalon MV. Use of self-help books in the practice of clinical psychol- ogy. In: Bellack AS, Hersen M, Salkovskis P, editors. Comprehensive clinical psychology: volume 6. Adults: clinical formulation and treatment. New York: Elsevier Science; 1998. p. 265–276. 21. Lai HM, Cheng W, Li P, Tan J, Wu LI. Wangbuliuxing therapy for constipation in fractured patients. Nurs J Chin People’s Liberation Army. 2000;17:9–10. 50. Garvin V, Striegel-Moore RH, Kaplan A, Wonderlich SA. The potential of professionally developed self-help interventions for the treatment of eat- ing disorders. In: Striegel-Moore RH, Smolak L, editors. Eating disorders: innovative directions in research and practice. Washington: American Psychological Association; 2001. p. 153–72. 22. Lamas K, Lindholm L, Stenlund H, Engstorm B, Jacobsson C. Effects of abdominal massage in management of constipation. Int J Nurs Stud. 2009;46:759–67. 23. Mains JA, Scoggins FR. The effectiveness of self-administered treat- ments: a practice-friendly review of the research. J Clin Psychol Sess. 2003;59:237–46. 51. Lev EL, Owen SV. A measure of self-care self-efficacy. Res Nurs Health. 1996;19:421–9.
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Research of psychological features of the personality of students exhibiting addictive behavior
SHS web of conferences
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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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https://link.springer.com/content/pdf/10.1007/s11356-020-10788-y.pdf
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Mineral composition of elements in wood-growing mushroom species collected from of two regions of Poland
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 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/. 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 higher content of Mg in M. References Abdel-Azeem AM, Abdel-Moneim TS, Ibrahim ME, Hassan MAA, Saleh MY (2007) Effects of long-term heavy metal contamination on diversity of terricolous fungi and nematodes in Egypt: a case study. Water Air Soil Pollut 186:233–254. https://doi.org/10.1007/ s11270-007-9480-3 Agrawal DC, Dhanasekaran M (2019) Medicinal mushrooms – recent progress in research and development. 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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. 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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. Baghdad Journal of Biochemistry and Applied Biological Sciences, 4(3) | 2023 | https://doi.org/10.47419/bjbabs.v4i03.259 118 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- Baghdad Journal of Biochemistry and Applied Biological Sciences, 4(3) | 2023 | https://doi.org/10.47419/bjbabs.v4i03.259 119 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 REFERENCES 1. 2. 3. 4. 5. 6. 7. Yildiz BO. 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Archives of gynecology and obstetrics. 2009;279:473–479. https://doi.org/10.1007/s00404-008-0747-8. Baghdad Journal of Biochemistry and Applied Biological Sciences, 4(3) | 2023 | https://doi.org/10.47419/bjbabs.v4i03.259 122 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 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. Nourbala M, Kefaei P. 2010;12(2):111–117. Available from: https://pesquisa.bvsalud. org/portal/resource/pt/emr-93177. Tehrani FR, Rashidi H, Azizi F. The Prevalence of idiopathic hirsutism and polycystic ovary syndrome in the Tehran Lipid and Glucose Study. Reproductive biology and endocrinology. 2011;9(144):1–8. https://doi.org/10.1186/1477-7827-9-144. Erem C. Update on idiopathic hirsutism: diagnosis and treatment. Acta Clinica Belgica. 2013;68(4):268–274. https://doi.org/10.2143/acb.3267. Lapidoth M. Best practice options for hair removal in patients with unwanted facial hair using combination therapy with laser: guidelines drawn up by an expert working group. Dermatology. 2010;221(1):34–42. https://doi.org/10.1159/000315499. Azziz R. The evaluation and management of hirsutism. Obstetrics & Gynecology. 2003;101(5):995–1007. https://doi.org/10.1016/s0029-7844(02)02725-4. Dewhurst J. 9th ed. and others, editor. John Wiley & Sons; 2012. Available from: https://www.wiley.com/en-jp/Dewhurst’s+Textbook+of+Obstetrics+&+ Gynaecology,+9th+Edition-p-9781119211426. Karrer-Voegeli S. Androgen dependence of hirsutism, acne, and alopecia in women: retrospective analysis of 228 patients investigated for hyperandrogenism. Medicine. 2009;88(1):32–45. https://doi.org/10.1097/md.0b013e3181946a2c. Ozdemir D, Cuhaci N, Balkan F. Bioscientifica; 2011. Available from: https://www. endocrine-abstracts.org/ea/0026/ea0026p92. Kamrul-Hasan A, Aalpona AB, Zahura FT. Prevalence of thyroid dysfunction and thyroid autoimmunity in polycystic ovary syndrome: A multicenter study from Bangladesh Thyroid Research and Practice. 2020;17(2):76–81. DOI: 10.4103/trp.trp620. Singla R. Thyroid disorders and polycystic ovary syndrome: An emerging relationship. Indian journal of endocrinology and metabolism. 2015;19(1):25–25. https://doi.org/10.4103/2230-8210.146860. Kopera D, Wehr E, Obermayer-Pietsch B. Endocrinology of hirsutism International journal of trichology. 2010;2(1):30–35. https://doi.org/10.4103/0974-7753.66910. Baghdad Journal of Biochemistry and Applied Biological Sciences, 4(3) | 2023 | https://doi.org/10.47419/bjbabs.v4i03.259 123
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http://periodicos2.uesb.br/index.php/odeere/article/download/5370/4036
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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 Moçambique
Odeere
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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). _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 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). _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 223 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 224 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 225 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 226 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 227 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 228 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 229 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 230 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 231 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 232 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 233 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 234 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 235 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 236 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 237 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 _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 238 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 239 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 240 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. ISSN: 2525-4715 – Ano 2019, Volume 4, número 7, Janeiro – Junho de 2019. 241 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. _____________________________________________________________________________________________________________________ ODEERE: Revista do Programa de Pós-Graduação em Relações Étnicas e Contemporaneidade – UESB. 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
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: n and n 1º à z ± z ² ¼ ¼ A B B A B = = + ( ) − + − ( ) − ( )   κn 1 1 2 1 2 / / , n and n 1º à z ± z ² ¼ ¼ A B B A B = = + ( ) − + − ( ) − ( )   κn 1 1 2 1 2 / / , z à nA nB = − ( ) √ + ( ) µ µ A B / / / 1 1 z à nA nB = − ( ) √ + ( ) µ µ A B / / / 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. 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(2015) 43:568–76. doi: 10.1177/0310057X1504300504 26. Qin Y, Zhang S, Jiang R, Gao F, Tang X, Zhu W. Region-specific atrophy of precentral gyrus in patients with amyotrophic lateral sclerosis. References Early functional connectome integrity and 1-year recovery in comatose survivors of cardiac arrest. Radiology. (2018) 287:247–55. doi: 10.1148/radiol.2017162161 33. Medicherla CB, Lewis A. The critically ill brain after cardiac arrest. Ann N Y Acad Sci. (2022) 1507:12–22. doi: 10.1111/nyas.14423 34. Polanowska KE, Sarzynska-Dlugosz IM, Paprot AE, Sikorska S, Seniow JB, Karpinski G, et al. Neuropsychological and neurological sequelae of out-of-hospital cardiac arrest and the estimated need for neurorehabilitation: a prospective pilot study. Kardiol Pol. (2014) 72:814–22. doi: 10.5603/KP.a2014.0087 13. Koenig MA, Holt JL, Ernst T, Buchthal SD, Nakagawa K, Stenger VA, et al. MRI default mode network connectivity is associated with functional outcome after cardiopulmonary arrest. Neurocrit Care. (2014) 20:348–57. doi: 10.1007/s12028-014-9953-3 14. Orbo MC, Aslaksen PM, Anke A, Tande PM, Vangberg TR. Cortical thickness and cognitive performance after out-of-hospital cardiac arrest. Neurorehabil Neural Repair. (2019) 33:296–306. doi: 10.1177/1545968319834904 35. Warenits AM, Hatami J, Müllebner A, Ettl F, Teubenbacher U, Magnet IAM, et al. Motor cortex and hippocampus display decreased Heme oxygenase activity 2 weeks after ventricular fibrillation cardiac arrest in rats. Front Med (Lausanne). (2020) 7:513. doi: 10.3389/fmed.2020.00513 15. Horstmann A, Frisch S, Jentzsch RT, Muller K, Villringer A, Schroeter ML. Resuscitating the heart but losing the brain: brain atrophy in the aftermath of cardiac arrest. Neurology. (2010) 74:306–12. doi: 10.1212/WNL.0b013e3181cbcd6f 36. Middleton JW, Simons DJ, Simmons JW, Clark RSB, Kochanek PM, Shoykhet M. Long-term deficits in cortical circuit function after Asphyxial cardiac arrest and resuscitation in developing rats. eNeuro. (2017) 4:ENEURO.0319–16.2017. doi: 10.1523/ ENEURO.0319-16.2017 16. Byron-Alhassan A, Tulloch HE, Collins B, Quinlan B, Fang Z, Chakraborty S, et al. Exploratory analyses of cerebral gray matter volumes after out-of-hospital cardiac arrest in good outcome survivors. Front Psychol. (2020) 11:856. doi: 10.3389/fpsyg.2020.00856 37. Tu S, Qiu J, Martens U, Zhang Q. Category-selective attention modulates unconscious processes in the middle occipital gyrus. Conscious Cogn. (2013) 22:479–85. doi: 10.1016/j.concog.2013.02.007 17. Stamenova V, Nicola R, Aharon-Peretz J, Goldsher D, Kapeliovich M, Gilboa A. Long-term effects of brief hypoxia due to cardiac arrest: hippocampal reductions and memory deficits. Resuscitation. (2018) 126:65–71. doi: 10.1016/j. resuscitation.2018.02.016 38. Lisman J, Buzsaki G, Eichenbaum H, Nadel L, Ranganath C, Redish AD. Viewpoints: how the hippocampus contributes to memory, navigation and cognition. Nat Neurosci. (2017) 20:1434–47. doi: 10.1038/nn.4661 18. Orbo MC, Vangberg TR, Tande PM, Anke A, Aslaksen PM. Memory performance, 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 time. Brain Lang. (2020) 201:104711. doi: 10.1016/j.bandl.2019.104711 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 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
Open access journal of surgery
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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 Your next submission with Juniper Publishers will reach you the below assets • Quality Editorial service • Swift Peer Review • Reprints availability • E-prints Service • Manuscript Podcast for convenient understanding • Global attainment for your research • Manuscript accessibility in different formats ( Pdf, E-pub, Full Text, Audio) • Unceasing customer service Track the below URL for one-step submission https://juniperpublishers.com/online-submission.php This work is licensed under Creative Commons Attribution 4.0 Licens DOI: 10.19080/OAJS.2017.02.555602 Your next submission with Juniper Publishers will reach you the below assets • Quality Editorial service • Swift Peer Review • Reprints availability • E-prints Service • Manuscript Podcast for convenient understanding • Global attainment for your research • Manuscript accessibility in different formats ( Pdf, E-pub, Full Text, Audio) • Unceasing customer service Track the below URL for one-step submission https://juniperpublishers.com/online-submission.php This work is licensed under Creative Commons Attribution 4.0 Licens DOI: 10.19080/OAJS.2017.02.555602 Your next submission with Juniper Publishers will reach you the below assets • Quality Editorial service • Swift Peer Review • Reprints availability • E-prints Service • Manuscript Podcast for convenient understanding • Global attainment for your research • Manuscript accessibility in different formats ( Pdf, E-pub, Full Text, Audio) • Unceasing customer service Track the below URL for one-step submission https://juniperpublishers.com/online-submission.php 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 an authorized administrator of Digital Commons @ Ryerson. For more information, please contact bcameron@ryerson.ca.
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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) 350 400 450 500 550 600 650 700 0 0.2 0.4 0.6 0.8 1.0 365 nm LED 488 nm laser M-opsin S-opsin rhodopsin melanopsin GCaMP6s excitation GCaMP6s emission 620 nm LED ChrimsonR Fig 2. Action spectra of mouse photoreceptors, GCaMP6s, ChrimsonR, and light sources for FACILE. Normalized 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 wavelength (nm) 350 400 450 500 550 600 650 700 0 0.2 0.4 0.6 0.8 1.0 365 nm LED 488 nm laser M-opsin S-opsin rhodopsin melanopsin GCaMP6s excitation GCaMP6s emission 620 nm LED ChrimsonR Fig 2. Action spectra of mouse photoreceptors, GCaMP6s, ChrimsonR, and light sources for FACILE. Normalized 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 E F 0 0.04 0.08 0.12 0.16 0.2 B E F Response amplitude (F1/F0) B A Time (s) 0 10 20 30 40 5 F Time (s) 0 10 10 20 30 40 Pixel value (a.u.) E E F D 0˚ (OFF) (ON)180˚ C E F Response phase (deg) 0 0.04 0.08 0.12 0.16 0.2 B E F Response amplitude (F1/F0) A E F https://doi.org/10.1371/journal.pone.0194947 March 29, 2018 7 / 20 0 0˚ (OFF) (ON)180˚ C E F Response phase (deg) E F D C D Time (s) 0 10 20 30 40 5 F Time (s) 0 10 10 20 30 40 Pixel value (a.u.) E p p g Time (s) 0 10 20 30 40 F E F 10 Pixel value (a.u.) 5 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947 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 0.1 0.2 0.3 0.4 Response to red LED 0 0.1 0.2 0.3 0.4 Response to red LED 0 0.1 0.2 0.3 0.4 Response to red LED WT - P71 (n = 296) rd10 - P50 (n = 126) rd10 - P99 (n = 170) 0 0.1 0.2 0.3 0.4 rd10 - P70 (n = 202) rd10 - P84 (n = 171) rd10 - P112 (n = 427) A B C 0 0.1 0.2 0.3 0.4 Response to red LED WT - P71 (n = 296) A 0 0.1 0.2 0.3 Response to red LED 0 0.1 0.2 0.3 0.4 Response to red LED 0 0.1 0.2 0.3 0.4 Response to red LED rd10 - P50 (n = 126) rd10 - P99 (n = 170) 0 0.1 0.2 0.3 0.4 Response to UV LED rd10 - P70 (n = 202) rd10 - P84 (n = 171) rd10 - P112 (n = 427) B C 0 0 0.1 0.2 0.3 0.4 Response to red LED 0 0.1 0.2 0.3 0.4 Response to red LED rd10 - P50 (n = 126) rd10 - P99 (n = 170) 0 0.1 0.2 0.3 0.4 Response to UV LED rd10 - P70 (n = 202) rd10 - P84 (n = 171) rd10 - P112 (n = 427) B C 0 0 0.1 0.2 0.3 0.4 Response to red LED 0 0.1 0.2 0.3 0.4 Response to red LED rd10 - P50 (n = 126) rd10 - P99 (n = 170) 0 0.1 0.2 0.3 0.4 Response to UV LED rd10 - P70 (n = 202) rd10 - P84 (n = 171) rd10 - P112 (n = 427) B C PLOS ONE | https://doi.org/10.1371/journal.pone.0194947 March 29, 2018 10 / 20 0 0.1 0.2 0.3 0.4 Response to red LED rd10 - P50 (n = 126) rd10 - P99 (n = 170) B C 0 0.1 0.2 0.3 0.4 Response to red LED 0.2 0.3 0.4 nse to red LED rd10 - P50 (n = 126) rd10 - P99 (n = 170) rd10 - P70 (n = 202) rd10 - P84 (n = 171) rd10 - P112 (n = 427) B C B 0 0.1 0.2 0.3 Response to red LED 0 0.1 0.2 0.3 0.4 Response to red LED 0 0.1 0.2 0.3 0.4 Response to UV LED rd10 - P70 (n = 202) rd10 - P84 (n = 171) rd10 - P112 (n = 427) C 0 0 0.1 0.2 0.3 0.4 Response to red LED 0 0.1 0.2 0.3 0.4 Response to UV LED rd10 - P70 (n = 202) rd10 - P84 (n = 171) rd10 - P112 (n = 427) 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 -90 0 90 180 0 20 40 60 no. of cells P70 0 40 80 120 no. of cells P112 F1 phase D E P70 P112 Time point 0 0.1 0.2 0.3 620 nm response (f1/f0) C 60 P70 D P112 P70 A B Fig 5. Tracking responses of individual cells over time in rd10 mice with ChrimsonR. (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 P70 A P112 B B P112 A P70 -180 -90 0 90 180 0 20 40 60 no. of cells P70 0 40 80 120 no. of cells P112 F1 phase D E 60 P70 D -180 -90 0 90 1 0 20 40 60 no. of cells P70 0 40 80 120 no. of cells P112 F1 phase D E P70 P112 Time point 0 0.1 0.2 0.3 620 nm response (f1/f0) C 60 P70 D P70 P112 Time point 0 0.1 0.2 0.3 620 nm response (f1/f0) 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. 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Laminar restriction of retinal ganglion cell dendrites and axons: subtype-specific developmental patterns revealed with transgenic markers. J Neurosci. 2010; 30 (4):1452–62. Epub 2010/01/29. https://doi.org/10.1523/JNEUROSCI.4779-09.2010 PMID: 20107072; PubMed Central PMCID: PMCPMC2822471. PLOS ONE | https://doi.org/10.1371/journal.pone.0194947 March 29, 2018 References Architecture and activity- mediated refinement of axonal projections from a mosaic of genetically identified retinal ganglion cells. Neuron. 2008; 59(3):425–38. Epub 2008/08/15. https://doi.org/10.1016/j.neuron.2008.07.018 PMID: 18701068. 59. Krieger B, Qiao M, Rousso DL, Sanes JR, Meister M. Four alpha ganglion cell types in mouse retina: Function, structure, and molecular signatures. PLoS One. 2017; 12(7):e0180091. Epub 2017/07/29. https://doi.org/10.1371/journal.pone.0180091 PMID: 28753612; PubMed Central PMCID: 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 motion. Neuron. 2009; 62(3):327–34. Epub 2009/05/19. https://doi.org/10.1016/j.neuron.2009.04.014 PMID: 19447089; PubMed Central PMCID: PMC3140054. 19 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0194947 March 29, 2018 Imaging restored vision in the living eye 20 / 20
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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. 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https://openalex.org/W4376317269
https://zenodo.org/record/7931997/files/EJLFAS0517.pdf
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ДАВЛАТ ТОМОНИДАН ТAШҚИ CAВДОНИ ТAРТИБГA CОЛИШНИНГ ҲУҚУҚИЙ АСОСЛАРИ
Zenodo (CERN European Organization for Nuclear Research)
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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. 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https://research-information.bris.ac.uk/ws/files/186677194/1_s2.0_S0045793018304730_main.pdf
English
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Restricted snakes volume of solid (RSVS): A parameterisation method for topology optimisation of external aerodynamics
Computers & fluids
2,019
cc-by
22,026
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 Fig. 26. 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