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https://openalex.org/W4384694690
https://www.frontiersin.org/articles/10.3389/feart.2023.1165685/pdf
English
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Changes in air and liquid permeability properties of loess due to the effect of lead contamination
Frontiers in earth science
2,023
cc-by
11,756
TYPE Original Research PUBLISHED 18 July 2023 DOI 10.3389/feart.2023.1165685 TYPE Original Research PUBLISHED 18 July 2023 DOI 10.3389/feart.2023.1165685 TYPE Original Research PUBLISHED 18 July 2023 DOI 10.3389/feart.2023.1165685 OPEN ACCESS OPEN ACCESS EDITED BY Maxim Lebedev, Edith Cowan University, Australia REVIEWED BY Danqing Song, South China University of Technology, China Bing Bai, Beijing Jiaotong University, China Mukhtiar Ali Soomro, Quaid-e-Awam University of Engineering, Pakistan *CORRESPONDENCE Wen-Chieh Cheng, w-c.cheng@xauat.edu.cn RECEIVED 14 February 2023 ACCEPTED 03 July 2023 PUBLISHED 18 July 2023 CITATION Wen S, Cheng W-C, Hu W and Rahman MM (2023), Changes in air and liquid permeability properties of loess due to the effect of lead contamination. Front. Earth Sci. 11:1165685. doi: 10.3389/feart.2023.1165685 REVIEWED BY Danqing Song, South China University of Technology, China Bing Bai, Beijing Jiaotong University, China Mukhtiar Ali Soomro, Quaid-e-Awam University of Engineering, Pakistan Shaojie Wen1,2, Wen-Chieh Cheng1,2*, Wenle Hu1,2 and Md Mizanur Rahman3 1School of Civil Engineering, Xi’an University of Architecture and Technology, Xi’an, China, 2Shaanxi Key Laboratory of Geotechnical and Underground Space Engineering (XAUAT), Xi’an, China, 3UniSA STEM, SIRM, University of South Australia, Adelaide, SA, Australia Heavy metals in landfill leachate are easily adsorbed by soil particles, causing serious threats to human health and surrounding environments. Mining and metallurgy activities are intensive in Northwest China, thereby enlarging threats. The aim of the present study is to enhance our knowledge about the linkage between the microstructural evolution of the loess soil induced by lead contamination and the macro air and liquid permeability properties. A series of air and liquid permeability tests on the uncontaminated and Pb-contaminated loess specimens were conducted. Their air and liquid permeability properties were evaluated on the basis of Darcy’s law and the soil–water retention curves, respectively. The microstructural evolution, when subjected to low and high Pb2+ concentrations, was assessed using scanning electron microscopy (SEM), X-ray diffraction (XRD), mercury intrusion porosimetry (MIP), and zeta potential tests. The intrusion of Pb2+ decreases the absolute zeta potential ζ, which in turn leads to a more distinct agglomerated structure and higher intrinsic permeability. Moreover, the dedolomitization and associated cerussite (PbCO3) precipitation are deemed as the main cause of micropore clogging, whereas the corrosion of the cement between soil particles by H+ shows a good correspondence to an increase in the number of mesopores. With the concentration of Pb2+ increasing from 0 to 2,000 mg/kg, the proportion of micropores decreases from 37.9% to 15.1%, and the proportion of mesopores increases from 17.3% to 53.3%. In addition, the air entry value decreased from 19.5 to 12.8 kPa, indicating that the water retention behavior decreased. OPEN ACCESS The findings highlight the impacts of lead contamination on the microstructure and macro permeability properties and give some design guideposts to heavy metal-contaminated site remediation. CITATION Wen S, Cheng W-C, Hu W and Rahman MM (2023), Changes in air and liquid permeability properties of loess due to the effect of lead contamination. Front. Earth Sci. 11:1165685. doi: 10.3389/feart.2023.1165685 COPYRIGHT © 2023 Wen, Cheng, Hu and Rahman. 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. KEYWORDS loess, lead, air permeability, water retention, diffuse double layer, diffuse dedolomitization COPYRIGHT © 2023 Wen, Cheng, Hu and Rahman. 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. frontiersin.org 1 Introduction et al., 2021; Shi et al., 2021; Xie et al., 2023; Xue et al., 2021) and thereby promotes the escape of leachate and landfill air from the landfill (Moon et al., 2007; Bian et al., 2021; Hu et al., 2022). The leachate, in particular, is a major geoenvironmental concern as heavy metals in leachate are adsorbed onto soil particles by cation exchange or chemisorption and clump formation due to their capacity to form strong metallic bonds (Wang et al., 2009; Burakov et al., 2017; Naveen et al., 2017), which will increase the permeability of compacted soil (Souli et al., 2008; Zha et al., 2021). Therefore, there is a pressing need to investigate the engineering properties of heavy metal-contaminated soils, particularly their permeability. The permeability of soils is mainly controlled by their microstructure, such as the pore size distribution, void ratio, and connectivity among pores (Cai et al., 2014; Elhakim, 2016; Liu and Jeng, 2019; Wang J. D. et al., 2020; Wei et al., 2020; Xu P. P. et al., 2021). Some research efforts have investigated the relationships between the microstructure and permeability of soil (Chen et al., 2019; Xu J. et al., 2020; Zhang J. et al., 2020). Hong et al. (2019) found that the pore structure of Malan loess showed good connectivity in the horizontal direction, and the horizontal direction was more permeable than the vertical direction. Zhou et al. (2021) illustrated that a decrease in the volume and diameter of pores could reduce permeability. The same conclusions were made by Gao et al. (2018) when an attempt was made to link permeability and the microstructure of lime- treated loess. Zhao et al. (2016) studied the microstructure characteristics of leachate-polluted compacted clays and found that the aggregate structure was destroyed by leachate pollution. The loess has a metastable microstructure with weak cementation and high porosity. Heavy metals are adsorbed by loess particles through cation exchange or chemisorption to form agglomerated structures, which makes the microstructure change complex. In addition, no comprehensive studies have not been conducted yet concerning the water retention and permeability of heavy metal- contaminated loess. The aforementioned study reveals a series of gaps and shortcomings that remain to be addressed. 1 Introduction The main objectives of this study are as follows: 1) to derive the water retention curve of the uncontaminated and Pb-contaminated loess specimens for assessing its air and liquid permeability properties, 2) to assess the microscale structural evolution using scanning electron microscopy (SEM), X-ray diffraction (XRD), mercury intrusion porosimetry (MIP), and zeta potential tests considering low and high Pb2+ concentrations, and 3) to present a correspondence between the microscale structural evolution and the air and liquid permeability properties. In recent years, research on the engineering properties of heavy metal-contaminated soils has attracted extensive attention. Dutta and Mishra (2016) found that the permeability of contaminated soils increases with an increase in the heavy metal concentration. Souli et al. (2008) observed that soil permeability increased with an increase in Zn2+ concentration. Li et al. (2015), Dutta and Mishra (2016), and Zha et al. (2021) indicated that the changes in geotechnical properties and microstructure caused by heavy metals could be interpreted by diffuse double layer (DDL) theory. Contaminant transport and leaching processes are strictly unsaturated fluid transport phenomena (Lu & Likos, 2004). Generally speaking, the movement of pore water and pore air in unsaturated soil is the focus of the research on the permeability of unsaturated soils. Various studies have been conducted over recent years to link air permeability with dry density, liquid saturation, and pore size (Zhan et al., 2014; Chen et al., 2017; Xu L. et al., 2020). Some studies on liquid permeability have concentrated on the influences of liquid saturation and dry density (Wang H. K. et al., 2020; Pandey et al., 2021). However, previous studies on the permeability of unsaturated soils were performed at air permeability or liquid permeability, and very little data regarding the functional relationship between liquid permeability and air permeability have been reported, except for the tests reported by Zhang D. F. et al. (2020) and Zhan et al. (2017a). However, they did not consider the effect of heavy metals on the liquid permeability and air permeability of unsaturated soils. Thus, the loess has a large adsorption capacity for heavy metals (Tang et al., 2008; Wang et al., 2016). In other words, once the leachate leaks, the heavy metals in the leachate will be adsorbed by loess. In addition, the loess has been used as an earthen final cover (EFC) material on a small scale (Zhan et al., 2014). 1 Introduction The Chinese Loess Plateau (CLP) is located in the central and western parts of China and formed in arid and semi-arid climatic conditions, and the widely distributed loess is a typical unsaturated soil (Wen et al., 2023b; Bai et al., 2022; Hu et al., 2023; Zhang D. F. et al., 2020). The loess has great potential as an EFC material (Xue et al., 2023; Wang et al., 2023; Zhan et al., 2016; Zhan et al., 2017b). Therefore, it is urgent to study the liquid and air permeability of unsaturated heavy metal-contaminated loess. 1 Introduction Rapid urbanization and population growth over the last few years have resulted in a huge generation of municipal solid waste (MSW). In China, nearly 235 million tons of MSW were collected in the cities accommodating 902 million urban residents in 2020 (NBSPRC, 2021). MSW landfills are the dominant option for waste disposal in many developed/developing countries due to their simple operation, low cost, and large disposal capacity (Laner et al., Frontiers in Earth Science 01 frontiersin.org frontiersin.org Wen et al. 10.3389/feart.2023.1165685 10.3389/feart.2023.1165685 2012; Zhan et al., 2017a). For example, in China, there are 644 active landfills for the disposal of the MSW generated, and approximately 33% of the 235 million tons of MSW generated was landfilled in 2020 (NBSPRC, 2021). There are numerous hazardous compounds in landfill leachate due to the unscientific collection, classification, and disposal methods of MSW (Bai et al., 2021; Wen et al., 2023a; Gao et al., 2015; Naveen et al., 2017; Negi et al., 2020). Due to biodegradation, the landfill air of MSW increases the pressure within landfills (Xu Y. et al., 2021; Shi et al., 2021; Xie et al., 2023; Xue et al., 2021) and thereby promotes the escape of leachate and landfill air from the landfill (Moon et al., 2007; Bian et al., 2021; Hu et al., 2022). The leachate, in particular, is a major geoenvironmental concern as heavy metals in leachate are adsorbed onto soil particles by cation exchange or chemisorption and clump formation due to their capacity to form strong metallic bonds (Wang et al., 2009; Burakov et al., 2017; Naveen et al., 2017), which will increase the permeability of compacted soil (Souli et al., 2008; Zha et al., 2021). Therefore, there is a pressing need to investigate the engineering properties of heavy metal-contaminated soils, particularly their permeability. 2012; Zhan et al., 2017a). For example, in China, there are 644 active landfills for the disposal of the MSW generated, and approximately 33% of the 235 million tons of MSW generated was landfilled in 2020 (NBSPRC, 2021). There are numerous hazardous compounds in landfill leachate due to the unscientific collection, classification, and disposal methods of MSW (Bai et al., 2021; Wen et al., 2023a; Gao et al., 2015; Naveen et al., 2017; Negi et al., 2020). Due to biodegradation, the landfill air of MSW increases the pressure within landfills (Xu Y. Frontiers in Earth Science 2/6/12/14/18/20/22/25 The loess was crushed, and their majority was retained using a sieve with a 2 mm mesh opening. Then, it was dried in an oven at 105°C for 24 h. The loess, Pb(NO3)2, and deionized water were weighed to prepare a Pb(NO3)2 solution in the first place. Given Pb2+ concentrations equal to 0, 500, 1,000, and 2,000 mg/kg, a thorough mix of loess and Pb(NO3)2 solution was conducted (Du et al., 2016; Zha et al., 2021). The Pb-contaminated loess was sealed and stewed for 24 h. The Pb-contaminated loess, while preparing a cylinder specimen with a diameter of 39.1 mm and a height of 40 mm, was divided into three equal parts. Each part was loaded into a mold using the static compaction approach and with scarification between layers. A Pb-contaminated specimen with a unit weight of 15.9 kN/m3 was obtained when three batches were sequentially compacted in the mold. Compared with conventional cylinder specimens of 39.1 mm diameter and 80 mm height, the height of the Pb-contaminated specimens was reduced to 40 mm to shorten the time required for achieving a matric suction equilibrium (Zhang D. F. et al., 2020; Wang J. D. et al., 2020). The Pb-contaminated specimens were then sealed in a constant temperature chamber for 10 days, thereby securing Pb2+ adsorption equilibrium (Du et al., 2016; Zha et al., 2021). 2.3 Methods Given that the air and liquid permeability of the Pb-contaminated loess are crucial in determining the migration of Pb2+ provided landfill leachate contains lead-based contaminants, tests were designed in the present work. They are detailed in Table 1. Prior to the permeability tests, the statically compacted specimens were saturated by the vacuum saturation method, and then the drying path was applied to prevent the soil hysteresis effect. 2.1 Materials Pb2+ concentration (mg/kg) Dry density ρd (kN/m3) Cell pressure (kPa) Water content (%) Air pressure (kPa) AT1 0 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 AT2 500 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 AT3 1,000 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 AT4 2,000 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 There are numerous hazardous compounds in landfill leachate (Gao et al., 2015; Naveen et al., 2017; Negi et al., 2020; Xu Y. et al., 2021; Shi et al., 2021). Lead is deemed to be a typical toxic heavy metal in landfill leachate and is featured with high bioavailability. Because lead contamination can cause significant threats to surrounding environments and human health (Taylor et al., 2010; Pareja et al., 2014), lead nitrate (Pb(NO3)2) is selected as the main contaminant applied to the preparation of Pb- contaminated specimens. 2.1 Materials Loess, as a contaminant transport and diffusion medium, is spread over Northwest China and is rich in carbonates and a variety of minerals. In light of the aforementioned details, the loess is widely applied as an adsorbent of contaminants and, therefore, distinguished from others. A series of block samples applied to the present work were collected at 3 m deep ground from Lantian County, Shaanxi Province. The block samples were immediately wrapped and transported back to Shaanxi Key Laboratory of Geotechnical and Underground Space Engineering (XAUAT), preventing disturbances and changes in water content. The particle size distribution curve of the loess was measured according to ASTM D7928-21e1 and D6913-04e1 (ASTM, 2010; ASTM, 2021). The liquid limit (ωL) and plasticity index (PI) of the loess are 31.6% and 12.1%, respectively. The loess is classified as low- plasticity clay (CL) in accordance with the Unified Soil Classification System (USCS). The physicochemical properties of the loess are tabulated in Supplementary Table S1. Frontiers in Earth Science 02 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 TABLE 1 Summary of the testing schemes applied to the present work. Testing scheme applied to liquid permeability tests (LT) Test no. Pb2+ concentration (mg/kg) Dry density ρd (kN/m3) Net stress (kPa) Air pressure (kPa) Water pressure (kPa) Matric suction (kPa) LT1 0 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 LT2 500 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 LT3 1,000 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 LT4 2,000 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 Testing scheme applied to air permeability tests (AT) Test no. Pb2+ concentration (mg/kg) Dry density ρd (kN/m3) Cell pressure (kPa) Water content (%) Air pressure (kPa) AT1 0 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 AT2 500 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 AT3 1,000 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 AT4 2,000 13.7 50 2/6/12/14/18/20/22/25 10/20/30/40 TABLE 1 Summary of the testing schemes applied to the present work. Testing scheme applied to liquid permeability tests (LT) Test no. Pb2+ concentration (mg/kg) Dry density ρd (kN/m3) Net stress (kPa) Air pressure (kPa) Water pressure (kPa) Matric suction (kPa) LT1 0 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 LT2 500 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 LT3 1,000 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 LT4 2,000 13.7 50 30/35/50/90/150/230/330 30 0/5/20/60/120/200/300 Testing scheme applied to air permeability tests (AT) Test no. frontiersin.org 2.3.1 Liquid permeability test In the present work, the permeability of saturated liquid was measured by the GDS permeameter, whereas the leachate was derived at the end of the permeability test for cation concentration testing. The soil suction was elevated through a drying pathway using the multi- step air pressure increase method, referred to as the “axial translation” technique (Figure 1A), to derive the soil–water characteristic curve. Given that the air pressure ua is increased in a multi-step manner, the pore water pressure uw is supposed to be positive, and the confining pressure σ3 is increased accordingly to keep the net stress (σ3-ua) constant in a triaxial system. An automatic unsaturated triaxial testing system (VJT9020; VJTech Limited, United Kingdom) was applied to the derivation of the soil–water characteristic curve where a Frontiers in Earth Science 03 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 FIGURE 1 (A) Squeezing water out by increasing air pressure in a multi-step manner and (B) derivation of the soil–water characteristic curve using the multi- step air pressure increase method in a triaxial system. FIGURE 1 (A) Squeezing water out by increasing air pressure in a multi-step manner and (B) derivation of the soil–water characteristic curve using the multi- step air pressure increase method in a triaxial system. FIGURE 2 Schematic illustration of the triaxial apparatus applied to (A) liquid permeability and (B) air permeability measurements. Bishop–Wesley double wall triaxial cell of 100 mm in diameter allows the inner and outer cell pressures to be kept at the same value by the cell pressure controller to eliminate the volume change due to cell expansion (Figure 2A). By adding the prescribed air pressure from the top cap, each specimen was “dried,” where the air pressure increment for a given step was applied instantaneously (i.e., from Ai1 to Bi1 in Figure 1B) to drive the pore water out through the high-air entry ceramic disk at the bottom cap (Figure 2A). Provided the air pressure increment starts transferring to the soil suction increment, the degree of saturation changes accordingly (i.e., Bi1 to Ci1 in Figure 1B), and the water content is measured upon completion of the transfer (i.e., from Ai1 to Ci1 in Figure 1B). The cumulative outflow ΔQL measured by the water pressure-volume controller at the end of each step was used to back-calculate the water content. frontiersin.org 2.3.3 SEM, XRD, MIP, and zeta potential tests KL  kLμL ρLg (6) The changes in microstructural characteristics of Pb- contaminated loess were investigated by SEM. The SEM images were captured using a JEOL scanning electron microscope (JSM-7610F). The composition of major elements was analyzed by SEM images using energy-dispersive X-ray spectroscopy (SEM-EDS). Image-Pro Plus 6.0 was used to extract microstructure information, including pore size distribution and pore number. The classification for pores, as recommended by Lei (1987), refers to four categories: micropores with diameters smaller than 2 μm, small pores with diameters between 2 μm and 8 μm, mesopores with diameters between 8 μm and 32 μm, and macropores with diameters greater than 32 μm. The main minerals in loess were analyzed using a Bruker AXS X-ray diffractometer to investigate not only the interactions between Pb2+ and the loess but also its implications on the microscale structural evolution. Pb2+ is adsorbed to the soil particles by cation exchange or chemisorption, forming new minerals and releasing calcium ions, sodium ions, or magnesium ions into pore fluid. The changes in minerals can be detected by comparing the XRD pattern. An automatic mercury porosimeter (AutoPore Iv 9500) was applied to the MIP tests. The MIP tests are featured with a low-pressure range of 3–207 kPa and a high-pressure range of 207 kPa–413.7 MPa. They were employed to determine variations in the pore size distribution of soil samples contaminated with different concentrations of lead ions. The zeta potential of Pb- contaminated loess samples was analyzed using Malvern Zetasizer Nano ZS90 to investigate changes in the DDL of Pb-contaminated loess. (6) Furthermore, the unsaturated triaxial apparatus contains an internal pressure chamber and an external pressure chamber, and the sample overall volume change ΔV was also measured. The void ratio e of the specimen consolidated under net stress (σ3–ua) is calculated with the following formula: e  en −1 + en ( ) ΔV V0 (7) (7) where en and V0 represent the initial void ratio and initial volume of the specimen, respectively. 2.3.1 Liquid permeability test As long as the equilibrium of the transfer is attained, ua increases further to the pressure prescribed in the subsequent step. While elevating the soil suction, the aforementioned equilibrium is repeated until the final transfer reaches an equilibrium state. The advantages of the use of the multi-step air pressure increase method include 1) easing time-consuming concerns raised while applying multiple specimens to derive a soil–water characteristic curve, 2) preventing the impact of changes in pore structure using one single specimen, and 3) enhancing the accuracy of the curve- fitting parameters derived. The raw soil–water characteristic curve was curve-fitted to extract the behavior at high suction ranges using the van Genuchten (1980) equation that corresponds to one of the most common functions applied to describe the soil water retention curve (termed VG model hereafter): FIGURE 2 Schematic illustration of the triaxial apparatus applied to (A) liquid permeability and (B) air permeability measurements. SeL  SL −SRL 1 −SRL  1 1 + αs | |n   m (1) (1) where SeL is effective liquid saturation; SL is liquid saturation; SRL is residual liquid saturation; α, n, and m (m = 1 −1/n) are fitting parameters; and s is matric suction (kPa). The unsaturated liquid permeability was predicted by Fredlund’s permeability model (Fredlund et al., 1994): FIGURE 2 FIGURE 2 Schematic illustration of the triaxial apparatus applied to (A) liquid permeability and (B) air permeability measurements. Schematic illustration of the triaxial apparatus applied to (A) liquid permeability and (B) air permeability measurements. frontiersin.org 04 Frontiers in Earth Science frontiersin.org 10.3389/feart.2023.1165685 10.3389/feart.2023.1165685 Wen et al. Rahardjo, 1993; Lu & Likos, 2004), the ratio of the inflow rate QAin to the outflow rate QAout is, therefore, considered a key indicator that determines whether the equilibrium state of air inflow and outflow is attained. Here, QAin and QAout were measured by the electronic soap-film flowmeter at the bottom and top, respectively. Given the water content = 18% and degree of saturation = 57%, the equilibrium of air inflow and outflow takes approximately 2 h. In the present work, the time necessary for attaining the equilibrium state varies from 1.5 h for lower water contents to 9 h for higher water contents. Frontiers in Earth Science 2.3.1 Liquid permeability test Thus, the coefficient of air permeability kA (m·s−1) can be calculated by substituting the air velocity vA (m·s−1) and the air pressure gradient iA into the following equation: kw θw ( )i  ks ksc Ad m ji 2j + 1 −2i   ua −uw ( )−2 j   i  1, 2, . . . , m (2) (2) Ad  T2 sρLg 2μL θp s N2 (3) N  m θs θs −θL ( ) (4) ksc  Ad m ji 2j + 1 −2i   ua −uw ( )−2 j   i  0, 1, . . . , m (5) where kL(θW)i represents the liquid permeability coefficient determined by the volumetric liquid content (θL)i of the ith interval (m·s−1); i represents the number of intervals; m represents the interval number between saturated volume liquid content and minimum volume liquid content on the soil–water characteristic curve, taken as 20; ks and ksc are measured and calculated saturated coefficients of liquid permeability (m·s−1), respectively; (ua −uw)j represents suction corresponding to the jth interval (kPa); Ad represents adjusting constant (m·s−1·kPa); Ts is surface tension of liquid, taken as 7.28×10−5 kN/m; ρL represents density of liquid (kg·m−3) at a standard temperature of 293.15K; g is acceleration of gravity (m·s−2); μL is liquid viscosity (N·s·m−2); θs represents saturated volumetric liquid content; p represents the constant of the interaction between pores of different sizes, taken as 2.0; N is the interval number between the saturated volume liquid content and minimum volume liquid content; and θL is the minimum volume of liquid content on the soil–water characteristic curve. Liquid permeability KL is expressed as kA  vA iA  QA A Δp ρAgh   (8) (8) where QA represents airflow rate (m3·s−1); A represents cross- sectional area of the specimen (m2); Δp represents air pressure difference (kPa); ρA is air density (kg·m−3), taken as 1.21 kg·m−3; and h represents specimen height (m). Air permeability KA is expressed as KA  kAμA ρAg  QAμAh ΔpA (9) (9) where μA represents air viscosity, taken as 1.80×10−5 kg m−1·s−1. where μA represents air viscosity, taken as 1.80×10−5 kg m−1·s−1. 3.1 Water retention behavior The soil–water characteristic curves for the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg, respectively, are shown in Figure 3A. The liquid saturation SL shows a small change under lower suction s ranges (1–10 kPa), and under higher suction s ranges (10–1,000 kPa), it goes into a sharp decline. Furthermore, the decline under higher suction s ranges becomes more significant when Pb2+ concentration is increased. Frontiers in Earth Science 3 Results using the horizontal intercept of the extension of the high-suction asymptote. Generally, the soil–water characteristic curves are well- fitted with the VG model. Furthermore, the air entry value decreased from 22.2 to 11.6 kPa when the Pb2+ concentration changed from 0 to 2,000 mg/kg. The higher the Pb2+ concentration, the lower the air entry value, indicating that Pb2+ degrades the water retention behavior of the loess, and the degradation in the water retention behavior becomes more significant when subjected to higher Pb2+ concentrations. 2.3.2 Air permeability test In this study, a modification was applied to VJT9020. The bottom cap was linked to an electronic soap-film flowmeter and air supply system, whereas the top cap was connected to the other electronic soap-film flowmeter whose outlet was connected to the atmosphere (Figure 2B). The specimens contaminated at various Pb2+ concentrations were vacuum-saturated and then air-dried to attain eight different water contents, respectively (i.e., 2.0%, 6.0%, 12.0%, 14%, 18%, 20%, 22%, and 25%), and then sealed for at least 72 h, allowing the water content to be thoroughly equalized. The confining pressure σ3 = 50 kPa was applied, and air pressures ua lower than σ3, including 10, 20, 30, and 40 kPa, were applied to the bottom of the specimen using the air supply system to develop an air pressure gradient Δua. Assuming the air flux through the Pb- contaminated specimen is in a proportional relation with Δua, and their relationship is in line with Darcy’s law (Fredlund & 05 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 FIGURE 3 (A) Soil–water characteristic curves derived against different Pb2+ concentrations, (B) fitting curve using the VG model (Pb2+ = 0 mg/kg), (C) fitting curve using the VG model (Pb2+ = 500 mg/kg), (D) fitting curve using the VG model (Pb2+ = 1,000 mg/kg), and (E) fitting curve using the VG model (Pb2+ = 2,000 mg/kg). FIGURE 3 (A) Soil–water characteristic curves derived against different Pb2+ concentrations, (B) fitting curve using the VG model (Pb2+ = 0 mg/kg), (C) fitting curve using the VG model (Pb2+ = 500 mg/kg), (D) fitting curve using the VG model (Pb2+ = 1,000 mg/kg), and (E) fitting curve using the VG model (Pb2+ = 2,000 mg/kg). frontiersin.org 3.2 Liquid and air permeability The soil–water characteristic curves were fitted using the VG model. The best-fitting results are shown in Figures 3B–E. Given that the air entry value describes how difficult air can permeate into soil and squeeze pore water out, it is also indicated in each of the soil–water characteristic curves. The air entry value was derived Figure 4 shows the variations in the intrinsic permeabilities KiA and KiL against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg, measured by the liquid and air saturation permeability tests, respectively. The experimental results indicated 06 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 that K increased from 3 73×10−12 m2 to 7 92×10−13 m2 with the relationships between KA determined using Darcy’s law (Eq. 8 and Eq. 9) and SL for the Pb-contaminated loess are shown in Figure 7. KA generally decreases with an increase in SL. Its rate is moderate for a 0.1–0.6 range and becomes more significant for a 0.6–0.8 range. It is also observed that the rate differs significantly from each other, most likely due to the change in microstructure (see the enlargement shown in Figure 7). Furthermore, for a given SL, the higher the concentration of Pb2+, the higher the value of KA. It is worth noting that SL corresponding to the curve turning point increases from 0.61 to 0.68 when Pb2+ concentration increases from 0 to 2,000 mg/kg, showing that Pb2+ concentration has some implications on KA. This may be attributed to the connectivity of pore fluid channels. 3.3 Microscopic tests The SEM images taken from the present work at a magnification of 500 times were binarised using Image-Pro Plus 6.0 software to extract microstructural parameters. The SEM images on the left represent the raw images, and those in the middle refer to the binarised images (Figures 8A–D) Those on the right show the FIGURE 4 Variations of the intrinsic permeabilities measured using the liquid and air saturation permeability tests, respectively. FIGURE 5 Relationships between liquid permeability and liquid saturation against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 6 Relationships between airflow and pressure gradient against eight water contents. FIGURE 4 Variations of the intrinsic permeabilities measured using the liquid and air saturation permeability tests, respectively. FIGURE 6 Relationships between airflow and pressure gradient against eight water contents. FIGURE 6 Relationships between airflow and pressure gradient against eight water contents. 3.2 Liquid and air permeability FIGURE 6 Relationships between airflow and pressure gradient against eight water contents. FIGURE 4 Variations of the intrinsic permeabilities measured using the liquid and air saturation permeability tests, respectively. FIGURE 4 Variations of the intrinsic permeabilities measured using the liquid and air saturation permeability tests, respectively. relationships between KA determined using Darcy’s law (Eq. 8 and Eq. 9) and SL for the Pb-contaminated loess are shown in Figure 7. KA generally decreases with an increase in SL. Its rate is moderate for a 0.1–0.6 range and becomes more significant for a 0.6–0.8 range. It is also observed that the rate differs significantly from each other, most likely due to the change in microstructure (see the enlargement shown in Figure 7). Furthermore, for a given SL, the higher the concentration of Pb2+, the higher the value of KA. It is worth noting that SL corresponding to the curve turning point increases from 0.61 to 0.68 when Pb2+ concentration increases from 0 to 2,000 mg/kg, showing that Pb2+ concentration has some implications on KA. This may be attributed to the connectivity of pore fluid channels. FIGURE 5 Relationships between liquid permeability and liquid saturation against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 5 Relationships between liquid permeability and liquid saturation against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. Frontiers in Earth Science 4.1 Water retention behavior The XRD test results for the uncontaminated and Pb- contaminated loess are shown in Figure 10. Six main minerals are identified: quartz, calcite, albite, illite, orthoclase, and kaolinite. Illite and kaolinite are identified at 10.0880 Å and 7.1439 Å, respectively, whereas calcite and orthoclase are recognized at 3.0437 Å and 3.7923 Å, respectively. Furthermore, the intensity against illite, kaolinite, albite, orthoclase, and calcite reduces with the increase in Pb2+ concentration, and the diffractogram of the Pb-contaminated loess shows two new reflections at 2θ = 25.419° and 2θ = 30.776°, respectively, corresponding to the formation of cerussite. Wang et al. (2016) observed a similar phenomenon. Moreover, the inter-layer spacing against the minerals increases with the increasing Pb2+ concentration, as indicated by the analyzed results based on MDI Jade software. Li et al. (2015)also identified the increase in inter- layer spacing. The intrinsic permeability is dependent mainly upon pore size, pore geometry, and pore size distribution (Lu & Likos, 2004). In the present work, KiA is much higher than KiL, and their difference can be as high as two orders of magnitude, which is in line with observations carried out by Stoltz et al. (2010), Xu et al. (2014), and Zhang D. F. et al. (2020) (Figure 4). The formation of their differences is most likely because of air slippage and pore fluid polarity (Xu et al., 2014). Air slippage can reduce the friction of airflow and, therefore, accelerates its flow rate. In some cases, air slippage can aggravate measurement error to greater than 10% as the intrinsic permeability is less than 10–13 m2 (Klinkenberg, 1941; Fredlund et al., 2012). This leads to a non-Darcy flow phenomenon when measuring permeability with air. However, in our experiments, the measured air permeability conforms to Darcy’s law (Figure 6). Correction for air slippage is deemed unnecessary for high-permeability soils (Fredlund et al., 2012). Therefore, in the present work, the effect of air slippage can be neglected because the intrinsic permeability KiA is measured as approximately 3.4×10−10 m2, which is three orders of magnitude larger than 10–13 m2. Conversely, the asymmetric distribution of the two hydrogen and oxygen atoms results in water being a polar molecule that can form hydrogen bonds with adjacent molecules, leading to the presence of surface tension and capillary forces. Wojnarowski et al. 4 Discussion increasing Pb2+ concentration, whereas the proportion of the mesopores elevates with the increase in Pb2+ concentration. 3.3 Microscopic tests The SEM images taken from the present work at a magnification of 500 times were binarised using Image-Pro Plus 6.0 software to extract microstructural parameters. The SEM images on the left represent the raw images, and those in the middle refer to the binarised images (Figures 8A–D). Those on the right show the distribution of the four pore categories. The distribution of the four pore categories is further analyzed in a quantitative manner, as shown in Figure 8E. The proportion of micropores decreases with the increase in Pb2+ concentration. In contrast, the proportion of mesopores increases with the increase in Pb2+ concentration. that KiL increased from 3.73×10−12 m2 to 7.92×10−13 m2 with the increase in the Pb2+ concentration, and the magnitude could be as high as approximately one order. Furthermore, KiA shows a small change, indicating that Pb2+ concentration has a minimal effect on KiA. The relationships between the liquid permeability KL and the liquid saturation SL for the Pb-contaminated loess are shown in Figure 5. KL increases with the increase in SL, with a rate higher for a 0.45–0.65 range and a rate lower for a 0.65–1.0 range. Furthermore, for a given SL, the higher the concentration of Pb2+, the higher the value of KL. Conversely, the relationships between the airflow QA and the pressure gradient iA against SL ranging from 0.06 to 0.73 are shown in Figure 6. It is evident that QA behaves in a linear relationship with iA. In other words, airflows in our permeability tests can still be described by Darcy’s law. As a result, the The incremental pore volume curves derived from the MIP tests for the Pb-contaminated loess are rather similar to each other (Figure 9B). The difference in the cumulative pore volume curves is more significant for smaller pore size ranges than larger pore size ranges (Figure 9A). The proportion of the four pore categories against Pb2+ concentrations at 0, 500, 1,000, and 2,000 mg/kg, respectively, is shown in Figure 9C. The results of the MIP tests are almost in line with those derived from the analyzed results of the SEM images; the proportion of the micropores reduces with the Frontiers in Earth Science 07 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 FIGURE 7 Relationships between air permeability and liquid saturation against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. Frontiers in Earth Science 3.3 Microscopic tests FIGURE 7 Relationships between air permeability and liquid saturation against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. 4.1 Water retention behavior (2018) found that water adsorption on the surface of porous media leads to a decrease in its effective channel radius, which causes some smaller pore channels, allowing airflows but not water flows. As indicated by our experiments, the intrinsic permeability measured using water is smaller than that measured using air. Clay soil features a negatively charged surface, and pore fluid with polarity may interact with the negatively charged surface. For example, pore water, categorized as one of the “polar” fluids, may be absorbed by hydrogen bonds formed on the clay surface. To this end, the majority of flow channels become narrower or even clogged to cause an increase in the friction of liquid flow and then reduce the intrinsic permeability. However, air (corresponding to one of the “non-polar” fluids) has a rather small tendency to be adsorbed by clay soil, causing the majority of flow channels to become wider and The results of the SEM-EDS tests for the uncontaminated loess and contaminated loess are shown in Figure 11. The content of sodium, calcium, magnesium, aluminum, and potassium ions generally decreases with the increase in Pb2+ concentration. To interpret this part in more detail the content change in chemical components and the cation concentration in pore fluid, the leachate, derived right after the permeability tests, was analyzed in terms of cation concentration. The results show that Na+ and Ca2+ concentrations increase with the increase in Pb2+ concentration, whereas K+ and Mg2+ concentrations show a small change (Figure 12). The zeta potential for the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg is presented in Figure 13. The absolute ζ value decreases with increasing Pb2+ concentration. Given the Pb2+ concentration of 500 mg/kg, the absolute ζ value decreases rapidly, from 15.7 mV of the natural loess to 11.9 mV. When the Pb2+ concentration increases to 1,000 mg/kg, the absolute ζ value decreases from 11.9 to 11.4 mV, and the rate of decrease becomes slow. When the lead concentration is greater than 1,000 mg/kg, the absolute ζ value stabilizes at approximately 11.2 mV. 08 frontiersin.org Wen et al. Frontiers in Earth Science 4.1 Water retention behavior 10.3389/feart.2023.1165685 FIGURE 8 Scanning electron microscopic images: (A) loess contaminated by Pb2+ of 0 mg/kg; (B) loess contaminated by Pb2+ of 500 mg/kg; (C) loess contaminated by Pb2+ of 1,000 mg/kg; (D) loess contaminated by Pb2+ of 2,000 mg/kg; and (E) distributions of micropore, small pore, mesopores, and macropore for the Pb-contaminated loess. FIGURE 8 Scanning electron microscopic images: (A) loess contaminated by Pb2+ of 0 mg/kg; (B) loess contaminated by Pb2+ of 500 mg/kg; (C) loess contaminated by Pb2+ of 1,000 mg/kg; (D) loess contaminated by Pb2+ of 2,000 mg/kg; and (E) distributions of micropore, small pore, mesopores, and macropore for the Pb-contaminated loess. increasing the intrinsic permeability. As a result, for porous media, the intrinsic permeability determined primarily relies not only on the pore structure but also on polarity. conditions and establishing its linkage to the macroscale permeability properties (Li et al., 2015). Water molecules (polar fluid) and cations are adsorbed onto the surface of negatively charged clay particles and arranged in a directional manner, as depicted in Figure 14A. It is widely acknowledged that the The DDL theory is deemed useful in interpreting microscale structural evolution when subjected to the effect of seepage 09 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 FIGURE 9 MIP test results: (A) cumulative pore volume curves, (B) incremental pore volume curves, and (C) distribution of four pore categories against Pb2+ concentrations of 0, 1,000, and 2,000 mg/kg. FIGURE 9 MIP test results: (A) cumulative pore volume curves, (B) incremental pore volume curves, and (C) distribution of four pore categories against Pb2+ concentrations of 0, 1,000, and 2,000 mg/kg. electrostatic attraction is the strongest near the surface of particles, and the hydrated cations due to the electrostatic attraction force are firmly adsorbed onto the surface of particles to form the Stern layer. The greater the distance from particles, the smaller the attraction force. To this end, for those farther from the particle, their activity is not as restricted as that in the Stern layer, thereby defining the Gouy layer. As indicated by the present literature (Brian and Ernest, 2004; Liu et al., 2017; Darrow et al., 2020), the slippage of water molecules FIGURE 10 XRD test results of the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 11 Chemical components of the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg. Frontiers in Earth Science 4.1 Water retention behavior FIGURE 12 Variations of cation concentrations against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 10 XRD test results of the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 10 FIGURE 10 XRD test results of the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg. electrostatic attraction is the strongest near the surface of particles, and the hydrated cations due to the electrostatic attraction force are firmly adsorbed onto the surface of particles to form the Stern layer. The greater the distance from particles, the smaller the attraction force. To this end, for those farther from the particle, their activity is not as restricted as that in the Stern layer, thereby defining the Gouy layer. As indicated by the present literature (Brian and Ernest, 2004; Liu et al., 2017; Darrow et al., 2020), the slippage of water molecules FIGURE 11 Chemical components of the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 12 Variations of cation concentrations against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 12 Variations of cation concentrations against Pb2+ concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 11 Chemical components of the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg. FIGURE 11 Chemical components of the Pb-contaminated loess against concentrations of 0, 500, 1,000, and 2,000 mg/kg. force. To this end, for those farther from the particle, their activity is not as restricted as that in the Stern layer, thereby defining the Gouy layer. As indicated by the present literature (Brian and Ernest, 2004; Liu et al., 2017; Darrow et al., 2020), the slippage of water molecules electrostatic attraction is the strongest near the surface of particles, and the hydrated cations due to the electrostatic attraction force are firmly adsorbed onto the surface of particles to form the Stern layer. The greater the distance from particles, the smaller the attraction force. To this end, for those farther from the particle, their activity is not as restricted as that in the Stern layer, thereby defining the Gouy layer. As indicated by the present literature (Brian and Ernest, 2004; Liu et al., 2017; Darrow et al., 2020), the slippage of water molecules force. To this end, for those farther from the particle, their activity is not as restricted as that in the Stern layer, thereby defining the Gouy layer. 4.1 Water retention behavior As indicated by the present literature (Brian and Ernest, 2004; Liu et al., 2017; Darrow et al., 2020), the slippage of water molecules frontiersin.org Frontiers in Earth Science 1 Frontiers in Earth Science 10 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 pH value, valence state, ion properties, and ion concentration. The concentration and valence of cations in the pore fluid of loess increase when contaminated by Pb2+ (Figure 12). Under the action of potential energy and electrostatic attraction, Pb2+ intrudes into the DDL with cation exchange, which results in the disintegration and transformation of minerals (Figure 10). In other words, the intrusion of Pb2+ increases the concentration and valence of cations in the DDL, which can neutralize more electric charges in the Stern layer, reduce the absolute zeta potential ζ, and make the DDL thinner (Figures 13, 14A). As a result, the van der Waals attraction between particles is greater than the repulsion force, leading to the agglomeration of clay particles and the widening of the pore channels (Figure 14B). In other words, the higher the concentration of Pb2+, the thinner the Gouy layer, and the more significant the agglomerated structure, which also indicates an increase in the intrinsic permeability and a decrease in the water retention ability. Conversely, due to the thinner Gouy layer, the minimum capillary diameter (Dmin) between two free interfaces for which the electrostatic attraction reaches a minimum is increased accordingly. Therefore, some new pore channels are developed. Macroscopically, it corresponds to an enhancement of the permeability of Pb-contaminated soil, a decrease in the air entry threshold, and a decrease in the water retention ability. On the whole, the water retention ability is found to behave in a descending manner. The effect of agglomerated structure formation goes against the water retention ability, whereas the effect of pore fluid polarity promotes it. FIGURE 13 Zeta test results of the Pb-contaminated loess against concentrations of 0, 500, 1,000, 2,000 mg/kg. Zeta test results of the Pb-contaminated loess against concentrations of 0, 500, 1,000, 2,000 mg/kg. is easily present at a distance a bit farther from the Helmholtz plane that distinguishes the Gouy layer from the Stern layer, and this is referred to as the slipping plane. 4.3 Summary The effect of pore fluid polarity causes the majority of flow channels to become narrower or even clogged, reducing the intrinsic permeability determined by the liquid. In addition, Pb2+ can neutralize more electric charges and, therefore, reduce the absolute zeta potential ζ (Figure 13). As a result, the Gouy layer becomes thinner than before, which promotes the formation of an agglomerated structure. The more significant the agglomerated structure, the higher the intrinsic permeability. The results of the SEM and MIP tests are in good agreement with those derived from the permeability tests; the proportion of the micropores reduces as a consequence of the precipitation of PbCO3, resulting from the dedolomitization and cation exchange, whereas the proportion of the mesopores elevates with the increasing Pb2+ concentration because of the corrosion of H+. The change in the liquid and air permeability properties shows a strong correspondence to the microscale structural evolution when subjected to the effect of lead contamination. KL behaving in an ascending tendency is just opposite to KA behaving in a descending tendency when SL is increased, most likely due to pore fluid connectivity (Figures 5, 7). When under a high liquid saturation (i.e., SL > 0.8), the pore water is sufficient and distributed uniformly, thereby increasing the polar fluid connectivity and subsequently degrading the non-polar fluid connectivity. The non-polar fluid becomes continuous when SL is reduced to about 85% toward initiating the airflow (Fredlund and Rahardjo, 1993). As SL ranges between 0.6 and 0.8, air and water flows are present at the same time, indicating that the air and water flows reach a quasi-equilibrium condition (Zhan et al., 2014; Chen et al., 2017; Zhang D. F. et al., 2020). When under a low liquid saturation (i.e., SL < 0.6), the pore water is not sufficient and distributed in a scattered manner, hence causing some difficulty in increasing the polar fluid connectivity and subsequently increasing the non-polar fluid connectivity. These results satisfactorily address the change in KL and KA. Given that the dolomite-rich loess is widely distributed across Northwest China (Wang et al., 2022), Ca(HCO3)2 and Mg(HCO3)2 are discharged when the leaching of dolomite is initiated by the permeability tests (Eq. 10). Their dissolution discharges Ca2+ and Mg2+ (Eqs 11 and 12), and they could, however, react with dolomite again to discharge Mg2+ and precipitate CaCO3 (referred to as “dedolomitization”) (Eq. 13). 4.2 Liquid and air permeability CaMg(CO3)2 + 2H2O + 2CO2 →Ca(HCO3)2 + Mg(HCO3)2 (10) Ca(HCO3)2 →Ca2+ + 2HCO3 − (11) Mg(HCO3)2 →Mg2+ + 2HCO3 − (12) CaMg(CO3)2 + Ca2+ →Mg2+ + 2CaCO3 (13) CaCO3 + Pb2+ →Ca2++ PbCO3 (14) 2≡SOK + Pb2+ →≡SOPbOS≡+ 2K+ (15) 2≡SOH + Pb2+ →≡SOPbOS≡+ 2H+ (16) Upon the saturated state, the saturated permeability associated with free pore water flowing only along the free surface to overcome the viscous force of the fluid itself is considered to be the maximum. As the air pressure increases but remains less than the air entry value, the change in contact angle results in an increase in matrix suction. At this time, the fluid overcomes its own viscous force, although it is influenced by the matrix suction. When subjected to air pressure higher than the air entry value, the liquid overflows, and therefore, the soil enters an unsaturated state where the capillary action occurs. Considering water molecules farther than the free interface, their movement regime is not governed by the electrostatic attraction but by the Brownian motion. Therefore, they can be regarded as free pore water. Due to the capillary action, the free interface moves inwards. The liquid flow needs to overcome its own viscous force and the matrix suction to mitigate the effect of adsorption. The permeability of loess decreases rapidly as water in macropores and mesopores overflows in the first place. The permeability reduces further to a minimum when the water occupying micropores overflows afterward, although the adsorption of particles may impede such water overflowing. These arguments aim to describe how the permeability changes when transferred from a saturated state to an unsaturated state, and a detailed discussion on KL and KA is given as follows. forming a slow-release layer (Figure 14B). These results satisfactorily explain the changes in the enlargement shown in Figure 7 and the absolute ζ value shown in Figure 13. On the other hand, the intrinsic characteristics of clay minerals enhance the adsorption properties of lead ions along the external hydroxyl surface, and a part of H+ ions are discharged (Frost, 1998) ( Eqs 15 and 16). H+ ions discharge causes damage to the cementation between particles due to their corrosion, resulting in an increase in the fraction of mesopores and a deterioration of the microstructural characteristics. 4.1 Water retention behavior Considering the DDL features, a change in its thickness can occur when subjected to the effect of mineral and external conditions, including surface charge density, FIGURE 14 Schematic illustration of microstructure changes when subjected to the effect of lead contamination: (A) diffuse double layer and (B) microstructure changes of loess. FIGURE 14 Schematic illustration of microstructure changes when subjected to the effect of lead contamination: (A) diffuse double layer and (B) microstructure changes of loess. FIGURE 14 Schematic illustration of microstructure changes when subjected to the effect of lead contamination: (A) diffuse double layer and (B) microstructure changes of loess 11 Frontiers in Earth Science frontiersin.org Wen et al. 10.3389/feart.2023.1165685 4.3 Summary In other words, dedolomitization is a physicochemical process of transforming dolomite to calcite through the effect of Ca-rich or Mg-rich water leaching. When subjected to the effect of Pb2+, the ion exchange between sodium, calcium magnesium, aluminum, and lead ions causes morphology and structural changes in minerals included in the loess. CaCO3 transforms to PbCO3 due to its higher solubility product ( Figure 10 and Eq. 14). Therefore, micropores are clogged by PbCO3, leading to the reduction in the proportion of micropores (Figures 8E, 9C). In addition, PbCO3 is deposited on the surface of the soil particles, Frontiers in Earth Science frontiersin.org 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. Acknowledgments This study is based on work supported by the Shaanxi Educational Department (2020TD-005) and the Shaanxi Housing and Urban-Rural Development Office (2018-K15). (4) The dedolomitization of transforming dolomite to calcite through the effect of Ca-rich or Mg-rich water leaching notably affects the distribution of pores, and PbCO3 precipitation induced by the dedolomitization clogs the micropores. A part of H+ ions is discharged, and they cause damage to the cementation between particles, increasing the fraction of mesopores. The change in the liquid and air permeability properties presents a strong correspondence to the microscale structural evolution. Such a microscale structural evolution may change when subjected to other metals. Funding This research was supported by the Shaanxi Educational Department (2020TD-005) and the Shaanxi Housing and Urban- Rural Development Office (2018-K15). (3) The higher the liquid saturation (SL > 0.8), the higher the polar fluid connectivity, and the lower the non-polar fluid connectivity. The air and water flows reach a quasi- equilibrium condition when SL falls within the 0.6–0.8 range. Under a low liquid saturation (SL < 0.6), the pore water is distributed in a scattered manner, thereby increasing the non- polar fluid connectivity. (3) The higher the liquid saturation (SL > 0.8), the higher the polar fluid connectivity, and the lower the non-polar fluid connectivity. The air and water flows reach a quasi- equilibrium condition when SL falls within the 0.6–0.8 range. Under a low liquid saturation (SL < 0.6), the pore water is distributed in a scattered manner, thereby increasing the non- polar fluid connectivity. 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. Author contributions The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/feart.2023.1165685/ full#supplementary-material SW: data curation, formal analysis, validation, software, and writing—original draft. W-CC: conceptualization, methodology, 5 Conclusion This work investigated the effect of lead contamination on the microstructure and air and liquid permeability of the loess. The microscale structural evolution corresponded well to the macroscale air and liquid permeability properties. Based on the results and discussion, some main conclusions can be drawn as follows: (1) The effect of pore fluid polarity plays a leading role in modifying the air and liquid permeability properties of Pb-contaminated loess. The airflow has a rather small tendency to be adsorbed by clay soil, making the majority of flow channels wider and increasing the intrinsic permeability. In contrast, the pore fluid narrows flow channels or raises their clogging potential. (1) The effect of pore fluid polarity plays a leading role in modifying the air and liquid permeability properties of Pb-contaminated loess. The airflow has a rather small tendency to be adsorbed by clay soil, making the majority of flow channels wider and increasing the intrinsic permeability. In contrast, the pore fluid narrows flow channels or raises their clogging potential. Frontiers in Earth Science 12 frontiersin.org Wen et al. 10.3389/feart.2023.1165685 10.3389/feart.2023.1165685 The intrinsic permeability measured in airflows is higher than that measured in liquid flows. Furthermore, the agglomerated structure formation, induced by the reduction in the absolute zeta potential ζ resulting from the intrusion of Pb2+, also increases the intrinsic permeability. writing—review and editing, supervision, and funding acquisition. WH: data curation, formal analysis, validation, software, and writing—original draft. MR: writing—review and editing and supervision. All authors contributed to the article and approved the submitted version. The intrinsic permeability measured in airflows is higher than that measured in liquid flows. Furthermore, the agglomerated structure formation, induced by the reduction in the absolute zeta potential ζ resulting from the intrusion of Pb2+, also increases the intrinsic permeability. (2) The results of microscopic tests show that the physicochemical reactions between Pb2+ and loess lead to mineral disintegration and transformation, causing cerussite precipitation (PbCO3). The pore structure of the Pb-contaminated soil, due to the corrosion induced by H+, evolves from small pores to mesopores, and the total pore volume increases, reducing air entry value and degrading water retention behavior. 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. Chen, Y. Z., Zhou, W. H., Liu, F. M., Yi, S. P., and Geng, X. Y. (2019). 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https://journals.plos.org/plospathogens/article/file?id=10.1371/journal.ppat.1003556&type=printable
English
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Brucella Modulates Secretory Trafficking via Multiple Type IV Secretion Effector Proteins
PLOS pathogens
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cc-by
18,144
Abstract The intracellular pathogenic bacterium Brucella generates a replicative vacuole (rBCV) derived from the endoplasmic reticulum via subversion of the host cell secretory pathway. rBCV biogenesis requires the expression of the Type IV secretion system (T4SS) VirB, which is thought to translocate effector proteins that modulate membrane trafficking along the endocytic and secretory pathways. To date, only a few T4SS substrates have been identified, whose molecular functions remain unknown. Here, we used an in silico screen to identify putative T4SS effector candidate proteins using criteria such as limited homology in other bacterial genera, the presence of features similar to known VirB T4SS effectors, GC content and presence of eukaryotic-like motifs. Using b-lactamase and CyaA adenylate cyclase reporter assays, we identified eleven proteins translocated into host cells by Brucella, five in a VirB T4SS-dependent manner, namely BAB1_0678 (BspA), BAB1_0712 (BspB), BAB1_0847 (BspC), BAB1_1671 (BspE) and BAB1_1948 (BspF). A subset of the translocated proteins targeted secretory pathway compartments when ectopically expressed in HeLa cells, and the VirB effectors BspA, BspB and BspF inhibited protein secretion. Brucella infection also impaired host protein secretion in a process requiring BspA, BspB and BspF. Single or combined deletions of bspA, bspB and bspF affected Brucella ability to replicate in macrophages and persist in the liver of infected mice. Taken together, these findings demonstrate that Brucella modulates secretory trafficking via multiple T4SS effector proteins that likely act coordinately to promote Brucella pathogenesis. Citation: Myeni S, Child R, Ng TW, Kupko JJ III, Wehrly TD, et al. (2013) Brucella Modulates Secretory Trafficking via Multiple Type IV Secretion Effector Proteins. PLoS Pathog 9(8): e1003556. doi:10.1371/journal.ppat.1003556 Editor: Raphael H. Valdivia, Duke University, United States of America Citation: Myeni S, Child R, Ng TW, Kupko JJ III, Wehrly TD, et al. (2013) Brucella Modulates Secretory Trafficking via Multiple Type IV Secretion Effector Proteins. PLoS Pathog 9(8): e1003556. doi:10.1371/journal.ppat.1003556 Editor: Raphael H. Valdivia, Duke University, United States of America Received March 20, 2013; Accepted June 27, 2013; Published August 8, 2013 icle, free of all copyright, and may be freely reproduced, distributed, transmitted, modified, built upon, or otherwise used by anyone for work is made available under the Creative Commons CC0 public domain dedication. This is an open-access article, free of all copyright, and may be freely reproduced, distributed, transmitted, modified, built upon, or ot any lawful purpose. The work is made available under the Creative Commons CC0 public domain dedication. Abstract Funding: This work was supported by the Intramural Research Program of the National Institutes of Health, National Institute of Allergy and Infectious Diseases, project #AI000954-01. 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: jcelli@vetmed.wsu.edu ¤a Current address: Department of Microbiology and Immunology, Albert Einstein College of Medicine, Bronx, New York, United States of America. ¤b Current address: Paul G. Allen School for Global Animal Health, College of Veterinary Medicine, Washington State University, Pullman, Washington, United States of America. rtment of Microbiology and Immunology, Albert Einstein College of Medicine, Bronx, New York, United States of America. G. Allen School for Global Animal Health, College of Veterinary Medicine, Washington State University, Pullman, Washington, United known as brucellosis or Malta fever [6]. Key to the pathogenesis of these bacteria is their ability to infect both phagocytic and non- phagocytic cells ranging from macrophages and dendritic cells to epithelial cells [7,8,9,10]. Upon entry into host cells, Brucella reside within a membrane-bound compartment known as the Brucella- containing vacuole (BCV), whose trafficking along the endocytic and secretory pathways is controlled by the bacterium [11,12,13]. During maturation along the endocytic pathway, the BCV is acidified and acquires late endosomal markers such as Rab7 and LAMP1 [8,9,13], before being redirected towards the early secretory pathway through intimate interactions with ERES, eventually fusing with the ER in a process that depends upon the small GTPase Sar1 and thus on the formation of COPII- dependent transport vesicles [14]. During this process, the BCV recruits the small GTPase Rab2 and GAPDH [15] that regulate membrane traffic between the ER and ERGIC, and are required for Brucella replication. Sebenzile Myeni1, Robert Child1, Tony W. Ng1¤a, John J. Kupko III2, Tara D. Wehrly1, Stephen F. Porcella2, 3 1 ¤b 1 Laboratory of Intracellular Parasites, Rocky Mountain Laboratories, National Institute of Allergy and Infectious Diseases, National Institutes of Health, Hamilton, Montana, United States of America, 2 Genomics Unit, Research Technologies Section, Rocky Mountain Laboratories, National Institute of Allergy and Infectious Diseases, National Institutes of Health, Hamilton, Montana, United States of America, 3 Paul G. Allen School for Global Animal Health, College of Veterinary Medicine, Washington State University, Pullman, Washington, United States of America PLOS Pathogens | www.plospathogens.org Sebenzile Myeni1, Robert Child1, Tony W. Ng1¤a, John J. Kupko III2, Tara D. Wehrly1, Stephen F. Porcella2, Leigh A. Knodler3, Jean Celli1*¤b ert Child1, Tony W. Ng1¤a, John J. Kupko III2, Tara D. Wehrly1, Stephen F. Porcella2, b In silico identification of putative Brucella VirB T4SS effector proteins To identify Brucella putative VirB T4SS effector proteins, we chose to focus on Brucella predicted proteins annotated as hypothetical proteins of unknown functions, based on the assumption that such effectors fulfill functions specific to Brucella intracellular pathogenesis and should consequently be either restricted to the Brucella genus or conserved mostly among closely related a2- proteobacteria. Additionally, we reasoned that they may possess a positive net charge in their C-terminal end and possibly Arginine-rich motifs, which are features of known VirB effector proteins in the closely related organisms Agrobacterium tumefaciens and Bartonella henselae [25,26]. Out of the 3,085 predicted proteins from the Brucella abortus strain 9-941 genome sequence annotated in the ERGO Genome Analysis Suite (http:// integratedgenomics.com/ergo.html), 823 proteins without as- signed functions were examined using the Blastp algorithm (http://blast.ncbi.nlm.nih.gov/Blast.cgi) for limited similarities with proteins in other bacteria, and the net charge of their C- terminal 20 amino-acids residues calculated using an EMBOSS bioinformatics tool called ‘‘charge’’ (http://emboss.bioinformatics. nl/). Using this analysis, 93 proteins that were either Brucella- specific or highly represented within the a2- proteobacteria and contained a positively-charged C-terminus were selected for further screening (Table S1). An additional criterion for selection was the deviation in GC content from that of the entire genome (Table S1), based on the possibility that VirB T4SS effectors may have been acquired by horizontal transfer. Further analyses used an array of bioinformatics tools including SMART (http://smart. embl-heidelberg.de/), TMpred (http://www.ch.embnet.org/ software/TMPRED_form.html), Coils (http://www.ch.embnet. org/software/COILS_form.html), and SignalP v4.1 (http:// www.cbs.dtu.dk/services/SignalP/) for the presence of functional or structural domains and presence or absence of Sec-dependent secretion signals, following the assumption that VirB T4SS effector proteins may possess domains or motifs either present in eukaryotic proteins or consistent with interactions with, and modulation of host factors. This combinatorial analysis led to the selection of 20 predicted proteins as candidate VirB T4SS substrates that fulfilled most or parts of the selection criteria (Table S2). Additionally, a predicted protein encoded by the locus BAB1_1671 was independently selected based on the presence of a coiled-coil domain and a C-terminal transmembrane domain in an arrangement reminiscent of eukaryotic membrane fusion soluble NSF attachment protein receptor (SNARE) proteins (Table S2). that are thought to modulate BCV trafficking. Importantly, the VirB Type IV secretion apparatus is essential for Brucella pathogenesis, since virB mutants are incapable of survival and replication in host cells and attenuated in a mouse model of infection [8,14,16,17,18]. Introduction Intracellular parasites have evolved specialized mechanisms that exploit a variety of host cellular pathways to generate idiosyncratic niches of replication or persistence. Among these, various bacterial pathogens including Brucella spp., Legionella pneumophila, Chlamydia spp. and Salmonella enterica serovar Typhimurium target several compartments of the secretory pathway to promote their replication [1]. The secretory pathway orchestrates the synthesis, modification and transport of proteins and lipids [2]. It is organized into successive membrane-bound compartments includ- ing the endoplasmic reticulum (ER), ER-to-Golgi intermediate compartment (ERGIC), Golgi apparatus, trans-Golgi network (TGN), and the plasma membrane [3]. Secretory cargo is selected and transported from ER exit sites (ERES) to the Golgi apparatus via the sequential action of COPII and COPI coat complexes, the activities of which are regulated by Rab-family and ARF-family small GTPases [4,5], which are targets of bacterial modulation [1]. Brucella spp. are Gram-negative intracellular pathogens of various mammals that cause the worldwide zoonotic disease Biogenesis of the rBCV depends upon the VirB Type IV secretion apparatus [8,13,16,17,18], a crucial virulence factor of Brucella that delivers effector molecules into the host cell [19,20] Brucella spp. are Gram-negative intracellular pathogens of various mammals that cause the worldwide zoonotic disease August 2013 | Volume 9 | Issue 8 | e1003556 1 PLOS Pathogens | www.plospathogens.org Brucella Modulation of Secretory Trafficking of a role of VirB T4SS effector proteins on intracellular membrane trafficking important to Brucella pathogenesis. Author Summary Many intracellular parasites ensure their survival and proliferation within host cells by secreting an array of effector molecules that modulate various cellular func- tions. Among these, Brucella abortus, the causative agent of the worldwide zoonosis brucellosis, controls the intracellular trafficking of its vacuole, the Brucella-contain- ing vacuole (BCV), towards compartments of the secretory pathway via the expression of a Type IV secretion system (T4SS), VirB, which is thought to translocate effector proteins. Here, we have used bioinformatic algorithms and protein translocation reporter assays to identify novel Brucella proteins translocated into host cells, some of which are VirB T4SS substrates and targeted secretory pathway compartments when ectopically expressed in mammalian cells. Three VirB effectors, BspA, BspB and BspF, inhibited protein secretion and contributed to varying degrees to bacterial inhibition of host protein secretion, pathogen intracellular growth and persistence in the liver of infected mice. These findings demonstrate that Brucella modulates secretory trafficking via multiple T4SS effector proteins to promote Brucella pathogenesis. In silico identification of putative Brucella VirB T4SS effector proteins Recently, a number of Brucella VirB- dependent effector proteins have been identified [19,20]. The first VirB substrates, VceA and VceC, were uncovered by screening for genes co-regulated with the virB operon [19], of which VceC induces inflammation through the induction of ER stress [21]. Since then, various strategies have been implemented to identify Brucella effectors, including the use of in silico screening for proteins with distinct features [20], a strategy that has proven to be successful in identifying T4SS effectors of other intracellular pathogens such as L. pneumophila and Coxiella burnetti [22,23]. Using this approach, four proteins, BPE123, BPE043, BPE005 and BPE275, were identified as VirB substrates [20], yet their molecular functions and roles in Brucella pathogenesis remain unknown. A high throughput yeast two-hybrid screening approach for potential host interactors also recently identified RicA, a protein translocated in a VirB-dependent manner that interacts with Rab2 [24]. Despite our understanding of the VirB T4SS roles in the Brucella intracellular cycle and the identification of several effector proteins, VirB-associated molecular functions and the cellular pathways that Brucella effectors modulate to control the bacter- ium’s intracellular trafficking still remain unknown. In particular, given Brucella’s reliance on cellular processes associated with the secretory pathway, determining how the VirB T4SS-mediated functions interfere with this compartment is key to a molecular understanding of Brucella pathogenesis. In an effort to identify novel Brucella VirB T4SS effector proteins, here we have used a genome-wide in silico analysis and protein translocation reporter assays. We report the identification of 11 Brucella proteins translocated into host cells, among which 10 are novel and at least 5 are translocated in a VirB T4SS-dependent manner. Importantly, several of these proteins target compartments of the secretory pathway and contribute to Brucella interference with host cellular protein secretion, intracellular proliferation and persis- tence in vivo. This study demonstrates Brucella modulation of host secretion via novel effector proteins and provides the first evidence PLOS Pathogens | www.plospathogens.org Brucella Modulation of Secretory Trafficking Brucella Modulation of Secretory Trafficking terminus of each putative effector protein were generated and expressed under the control of the isopropyl-ß-D-thiogalactopyr- anoside (IPTG)-inducible Ptrc promoter in either pJC120 or pJC121, respectively (Table S2), in wild-type B. abortus 2308. With the exception of BAB1_0227-TEM1, BAB1_1386-TEM1 and BAB1_1495-TEM1, the expression of all fusions was detected by Western blot analysis using anti-b-lactamase and anti-Brucella outer membrane lipoprotein Omp19 antibody as loading control, albeit to varying levels (Fig. 1E). a TEM1-VceC fusion [19] and TEM1 fusions to the BPE123 effector protein [20] were used as positive controls. Expression of the TEM1-VceC fusion triggered CCF2/AM conversion in infected J774.A1 cells, indicating protein translocation, while almost all cells infected with Brucella strains expressing either TEM1-GST or GST-TEM1 fusions did not show any transloca- tion (Fig. 1A–D). Additionally, translocation of BPE123-TEM1 was observed (Fig. 1A–B and D), despite undetectable expression (Fig. 1E), but not that of TEM1-BPE123, consistent with the previous demonstration of this effector’s translocation [20]. Under these validated experimental conditions, 11 of the 21 Brucella putative effector proteins were repeatedly translocated into host cells (Fig. 1, S1 and S2). Ten of these Brucella proteins, BAB1_0227, BAB1_0678, BAB1_0712, BAB1_0847, BAB1_1611, BAB1_1671, a TEM1-VceC fusion [19] and TEM1 fusions to the BPE123 effector protein [20] were used as positive controls. Expression of the TEM1-VceC fusion triggered CCF2/AM conversion in infected J774.A1 cells, indicating protein translocation, while almost all cells infected with Brucella strains expressing either TEM1-GST or GST-TEM1 fusions did not show any transloca- tion (Fig. 1A–D). Additionally, translocation of BPE123-TEM1 was observed (Fig. 1A–B and D), despite undetectable expression (Fig. 1E), but not that of TEM1-BPE123, consistent with the previous demonstration of this effector’s translocation [20]. Under these validated experimental conditions, 11 of the 21 Brucella putative effector proteins were repeatedly translocated into host cells (Fig. 1, S1 and S2). Ten of these Brucella proteins, BAB1_0227, BAB1_0678, BAB1_0712, BAB1_0847, BAB1_1611, BAB1_1671, To test translocation of these TEM1 fusions, J774.A1 macro- phage-like cells were infected with TEM1 fusion-expressing wild type Brucella strains at an MOI of 1000 for 16 h and processed for fluorescence microscopy analysis. TEM1-GST and GST-TEM1 fusion proteins were used as negative controls of translocation and Figure 1. Translocation of Brucella putative effector proteins into J774A.1 cells. (A and B) Quantification of the translocation of N- terminally- (A) or C-terminally- (B) TEM1-tagged Brucella proteins. The cytosolic translocation of b-lactamase by B. Translocation of Brucella putative effector proteins p p To test whether the Brucella putative VirB T4SS effector proteins are translocated into host cells during infection, we first used the TEM1 b-lactamase protein translocation reporter assay [27] previously employed to identify Brucella VirB T4SS substrates [19,24]. Based on a shift in fluorescence emission by the membrane-permeant b-lactamase substrate CCF2/AM upon b- lactamase translocation into host cells, this assay allows for the detection and quantification of protein translocation in cells infected with Brucella strains expressing TEM1 fusions with putative translocated effectors [27]. Given the lack of knowledge of VirB-mediated translocation signals in Brucella, translational fusions of the TEM1 protein with either the N-terminus or the C- August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 2 Distinct cellular localization patterns of Brucella effector proteins p To gain insight into the functions of the Bsp proteins, we first tested whether they target a particular intracellular compartment when expressed ectopically in mammalian cells. HeLa cells were transfected with expression plasmids encoding either Hemagglu- tinin (HA)- or Green Fluorescent Protein (GFP)-tagged Bsp proteins for 12 h, and processed for fluorescence confocal microscopy analysis for representative expression patterns in low-expressing cells. In most cases, HA- or GFP-tagged Bsp proteins displayed similar expression patterns. While HA-BspH, and HA-BspI displayed a cytosolic localization, HA-BspG partitioned between the cytosol and the nucleus (Fig. 3), with cytosol and nuclear localizations in some cells (data not shown). Similarly, HA-BspJ also partitioned between the cytosol and punctate structures in the nucleus reminiscent of nuclear speckles (Fig. 3). HA-BspE formed discrete vesicles predominantly in the perinuclear area, while HA-BspF localized to both the cytosol and plasma membrane protrusions (Fig. 3). Interestingly, GFP-BspA, HA-BspB, BspD-GFP and HA-BspK displayed distinct reticular expression pattern consistent with a localization to the ER (Fig. 3). Colocalization of GFP-BspA, HA-BspB, BspD-GFP and HA- BspK with the ER-resident chaperone protein, Calnexin (Fig. 4) confirmed that these proteins accumulate in the ER. In addition, GFP-BspC localized to a discrete perinuclear compartment consistent with the Golgi apparatus (Fig. 3), which was confirmed by colocalization of GFP-BspC-positive vesicles with the Golgi marker GM130 (Fig. 4). Hence, ectopically expressed Bsp proteins localize to distinct intracellular compartments in HeLa cells, with 5 out of 11 (BspA, BspB, BspC, BspD and BspK) targeting the secretory pathway. CyaA translational fusions with the identified proteins translo- cated by Brucella (Fig. 1A–B) were generated in plasmids pJC125 and pJC126, by positioning the CyaA tags as the TEM1 moieties (Table S2), introduced into either wild type 2308 or the DvirB9 mutant strain and their expression was verified by Western blot analysis using a anti-CyaA antibody (data not shown). Cyclic AMP (cAMP) levels were measured in J774.A1 cells infected for 6 h with either wild type or DvirB9 strains expressing the CyaA fusions and were normalized to intracellular CFUs to account for variations in infection levels and viability between strains. Compared to pJC125 and pJC126 empty vector controls, expression of the VirB- dependent effector protein BPE123 [20] fused to CyaA generated significant cAMP production in cells infected with the wild type, but not with the DvirB9 mutant (Fig. 2A), validating our experimental conditions. VirB T4SS-dependent translocation of Brucella effectors p To determine whether the newly identified Brucella effector proteins were translocated in a VirB T4SS-dependent manner, we needed to examine their translocation by a VirB-deficient strain. Given that virB mutants do not survive in macrophages and are progressively killed [8,14], a translocation assay in which similar numbers of intracellular viable wild type and VirB-deficient bacteria are present was required to generate conclusive data. Consistent with previous reports [8,14,16], infection of J774A.1 cells with both the wild type 2308 strain and an isogenic DvirB9 mutant showed a progressive decrease in recovery of viable DvirB9 bacteria, reaching a 2 Log difference with 2308 by 16 h pi (Fig. S3A), a time point required by our b-lactamase reporter system. We therefore chose to use the B. pertussis calmodulin-dependent adenylate cyclase (CyaA) reporter system [28], which has previously identified substrates of the VirB T4SS of Brucella [20], at an infection time point (6 h pi) where MOI adjustments yielded similar numbers of recoverable CFUs for both wild type and VirB- deficient bacteria (Fig. S3B). Brucella Modulation of Secretory Trafficking (P,0.05) after infection with the DvirB9 mutant strain (Fig. 2A). Cells infected with DvirB9 mutant strains expressing either BAB1_0227 or BAB2_0541 fusion proteins did not show any significant decrease of cAMP levels compared to the wild type strain (Fig. 3), indicating that translocation of these fusion proteins is not VirB-dependent. Intriguingly, VirB-dependency of translo- cation of the BAB1_1864, BAB1_1865 and BAB2_0119 fusion proteins was inconclusive since the location of the CyaA tag influenced the results: translocation of these fusion proteins was VirB-dependent when the CyaA tag was C-terminal, but VirB- independent when N-terminal (Fig. 2A). Additionally, VirB- dependent translocation of BAB1_1611 could not be assessed, since the CyaA fusion led to protein instability in Brucella (data not shown). Taken together, our results demonstrate that we have identified 11 Brucella proteins translocated into host cells during infection, at least 5 of which are Brucella VirB T4SS effector proteins. We therefore named these proteins Brucella secreted proteins (Bsp) BspA (BAB1_0678), BspB (BAB1_0712), BspC (BAB1_0847), BspD, (BAB1_1611), BspE (BAB1_1671), BspF (BAB1_1948), BspG (BAB1_0227), BspH (BAB1_1864), BspI (BAB1_1865), BspJ (BAB2_0119) and BspK (BAB2_0541), of which BspA, BspB, BspC, BspE and BspF are VirB T4SS substrates (Fig. 2B). Interestingly, BspA contains the Pfam domain DUF2062; BspB, a SCOP structural domain (d2gsaa) present in pyridoxal phosphate (PLP)-dependent transferases flanked by 2 predicted transmembrane (TM) domains; BspD and BspE contain Coiled-coil (CC) and TM domains; BspF, a GNAT-family acetyltransferase domain; BspG, internal repeat sequences (RPT) in its C-terminal end; BspH, Armadillo (ARM) repeats; BspI, a GTPase Activating Protein (GAP) domain. BspC is the only translocated protein containing a predicted Sec-dependent signal peptide (Fig. 2B and Table S1). BAB1_1864, BAB1_1948, BAB2_0119 and BAB2_0541 were newly identified as translocated by Brucella into host cells, while translocation of BAB1_1865 (also named BPE865) was previously reported [20]. BAB1_0678, BAB1_1864, BAB1_1865, BAB1_1948 and BAB2_0119 were translocated into host cells regardless of the N- or C-terminal tagging with TEM1 (Fig. 1A–D). However, only the N-terminal TEM1 fusions of BAB2_0541 and BAB1_0227 showed translocation (Fig. 1A–D). While BAB2_0541 fusion constructs were expressed to comparable levels, the BAB1_0227-TEM1 fusion protein was not detected by Western blot analysis (Fig. 1E), potentially explaining its lack of translocation. Yet, the inability to detect protein expression in Brucella did not hinder the translocation of BAB2_0123-TEM1 fusion (Fig. 1B, D and E), suggesting that very low levels are sufficient to detect translocation. Brucella Modulation of Secretory Trafficking Conversely, only the C-terminal TEM1 fusions to BAB1_0712, BAB1_0847, BAB1_1611 and BAB1_1671 were translocated, even-though both N- and C-terminal constructs were expressed in Brucella (Fig. 1E). Taken together, these results demonstrate that the majority (11 out of 21) of our putative Brucella effector proteins identified in silico are translocated by Brucella during infection and the position of the TEM1 tag at either the N- or C-terminus of the protein can influence its translocation in this assay. Brucella Modulation of Secretory Trafficking abortus strain 2308 expressing the different TEM1 fusion proteins was assessed by fluorescence microscopy in J774.A1 macrophages after 16 h of infection. Cells from ten independent random fields were counted and the percentage of blue cells calculated. Results shown are the mean 6 SD of three independent experiments. TEM1- GST and GST-TEM1 were used as negative controls (green fluorescence) and TEM1-VceC as a positive control (blue fluorescence). (C and D) Representative fluorescence micrographs from individual assay wells showing control proteins (GST and VceC) and selected TEM1 fusion proteins tagged at either the N-terminus (C) or C-terminus (D). (E) Western blot analysis showing expression of TEM-1 fusions. Bacterial lysates from B. abortus 2308 strain expressing TEM-1 fusion proteins were resolved using SDS-PAGE and subjected to Western blot analysis with anti- b-lactamase TEM-1 antibody. Detection of Brucella Omp19 was used as a loading control. doi:10.1371/journal.ppat.1003556.g001 Figure 1. Translocation of Brucella putative effector proteins into J774A.1 cells. (A and B) Quantification of the translocation of N- terminally- (A) or C-terminally- (B) TEM1-tagged Brucella proteins. The cytosolic translocation of b-lactamase by B. abortus strain 2308 expressing the different TEM1 fusion proteins was assessed by fluorescence microscopy in J774.A1 macrophages after 16 h of infection. Cells from ten independent random fields were counted and the percentage of blue cells calculated. Results shown are the mean 6 SD of three independent experiments. TEM1- GST and GST-TEM1 were used as negative controls (green fluorescence) and TEM1-VceC as a positive control (blue fluorescence). (C and D) Representative fluorescence micrographs from individual assay wells showing control proteins (GST and VceC) and selected TEM1 fusion proteins tagged at either the N-terminus (C) or C-terminus (D). (E) Western blot analysis showing expression of TEM-1 fusions. Bacterial lysates from B. abortus 2308 strain expressing TEM-1 fusion proteins were resolved using SDS-PAGE and subjected to Western blot analysis with anti- b-lactamase TEM-1 antibody. Detection of Brucella Omp19 was used as a loading control. doi:10.1371/journal.ppat.1003556.g001 August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 3 Brucella Modulation of Secretory Trafficking BspA, BspB and BspF inhibit host protein secretion inhibition in secretion (.80%) to levels comparable to the effect of ARF1[T31N] (Fig. 5A). The levels of secretion inhibition did not correlate with Bsp expression levels, since BspA and BspB showed lower expression than BspF (Fig. S4A). In comparison, expression of either BspC, BspD, BspE, BspG or BspJ did not affect SEAP secretion levels (Fig. 5A–B), regardless of their expression levels (Fig. S4A). Since expression of BspC, BspD or BspK did not alter SEAP secretion despite their targeting of secretory compartments (Fig. 3 and 4) and BspF does not accumulate in a secretory compartment yet impairs SEAP secretion (Fig. 3–5), BspA-, BspB- or BspF-mediated inhibition of SEAP secretion is not simply due to their accumulation along the secretory compartment. Rather, inhibition of protein secretion may result from specific activities of these effectors. Given the propensity of the identified Bsp proteins to target the secretory pathway and considering that Brucella manipulates functions of this particular compartment to generate the rBCV, we sought to determine whether expression of Bsp proteins affects functions of the secretory pathway. To achieve this, we first examined secretion of a reporter protein, the secreted embryonic alkaline phosphatase (SEAP) [29], in HEK293T cells co-express- ing SEAP and HA- or GFP-tagged Bsp proteins. The GDP-locked allele of the small GTPase ARF1[T31N] was used as a control for inhibition of secretion, since its expression disrupts the early secretory pathway [30]. With the exception of HA-BspC, all HA- or GFP-tagged Bsp proteins were expressed in HEK293T cells when analyzed by Western blot using anti-HA or anti-GFP antibodies, although to varying levels (Fig. S4A). After 24 h of co- transfection, HEK293T cells were processed for SEAP secretion analysis and the secretion index calculated as the extracellular SEAP activity versus intracellular SEAP activity normalized to transfections with the SEAP plasmid only. While cotransfections of empty vectors with the SEAP plasmid did not alter the levels of secreted SEAP, expression of HA- or GFP-tagged ARF1[T31N] led to a ,80% reduction in SEAP secretion (Fig. 5A and B). Interestingly, expression of HA-BspA, HA-BspB, or HA-BspF led to a significant decrease in SEAP secretion, with BspF inhibiting secretion by ,50%, while BspA and B showed a stronger The decrease of processing in the secretory pathway is a hallmark of ER stress [31], which can quickly down regulate SEAP secretion [32]. Distinct cellular localization patterns of Brucella effector proteins Similarly, 10 of the 11 Brucella protein fusions showed a significant increase in cAMP levels compared to negative controls (Fig. 2A), confirming our b-lactamase assay results (Fig. 1A–B). Notably, the translocation of BAB1_0678, BAB1_0712, BAB1_0847, BAB1_1671 and BAB1_1948 was VirB T4SS-dependent, as the cAMP levels were significantly lower August 2013 | Volume 9 | Issue 8 | e1003556 4 PLOS Pathogens | www.plospathogens.org Brucella Modulation of Secretory Trafficking Figure 2. VirB-dependent translocation of Brucella Bsp effectors into J774.A1 cells. (A) B. abortus strain 2308 (black bars) or the DvirB9 mutant strain (white bars) expressing the CyaA fusions to the indicated Brucella proteins were used to infect J774.A1 cells, and the cAMP level of infected cells was determined. A previously identified VirB effector, BPE123, was used as a positive control while vectors expressing the CyaA domain alone (CyaA-X or X-CyaA) were used as a negative control. Total cAMP levels resulting from translocation of protein fusions were quantified and are expressed as fmol.ml21/106 CFUs. Results are means 6 SD from a representative experiment performed in triplicate. (B) Schematic representation of Brucella secreted proteins (Bsp proteins), indicating the corresponding locus, protein lengths and predicted domains or motifs. doi:10.1371/journal.ppat.1003556.g002 Brucella Modulation of Secretory Trafficking gure 2. VirB-dependent translocation of Brucella Bsp effectors into J774.A1 cells. (A) B. abortus strain 2308 (black bars) or the DvirB9 utant strain (white bars) expressing the CyaA fusions to the indicated Brucella proteins were used to infect J774.A1 cells, and the cAMP level of fected cells was determined. A previously identified VirB effector, BPE123, was used as a positive control while vectors expressing the CyaA domain one (CyaA-X or X-CyaA) were used as a negative control. Total cAMP levels resulting from translocation of protein fusions were quantified and are pressed as fmol.ml21/106 CFUs. Results are means 6 SD from a representative experiment performed in triplicate. (B) Schematic representation of ucella secreted proteins (Bsp proteins) indicating the corresponding locus protein lengths and predicted domains or motifs Figure 2. VirB-dependent translocation of Brucella Bsp effectors into J774.A1 cells. (A) B. abortus strain 2308 (black bars) or the DvirB9 mutant strain (white bars) expressing the CyaA fusions to the indicated Brucella proteins were used to infect J774.A1 cells, and the cAMP level of infected cells was determined. Distinct cellular localization patterns of Brucella effector proteins A previously identified VirB effector, BPE123, was used as a positive control while vectors expressing the CyaA domain alone (CyaA-X or X-CyaA) were used as a negative control. Total cAMP levels resulting from translocation of protein fusions were quantified and are expressed as fmol.ml21/106 CFUs. Results are means 6 SD from a representative experiment performed in triplicate. (B) Schematic representation of Brucella secreted proteins (Bsp proteins), indicating the corresponding locus, protein lengths and predicted domains or motifs. doi:10.1371/journal.ppat.1003556.g002 BspA, BspB and BspF inhibit host protein secretion (A and B) Quantitation of SEAP secretion in HEK 293T cells expressing Bsp proteins. HEK 293T cells were co-transfected with plasmid pSEAP-2 and plasmids encoding either HA- (A) or GFP- (B) tagged Bsp proteins are indicated. Twenty-four hours after transfection, SEAP was measured and expressed as a secretion index. Empty vectors served as control and expression of GDP-locked ARF1[T31N] served as a positive control. Data points represent the mean 6 SEM of three independent experiments performed in triplicate (* indicates a P value,0.001). (C) Representative confocal micrographs of HeLa cells showing VSV- Gts045-GFP temporal trafficking in HeLa cells expressing the HA-tagged indicated Bsp proteins. HeLa cells were co-transfected with plasmids expressing VSV-Gts045-GFP and the indicated Bsp protein, incubated for 20 h at 40uC. Cells were then treated with cycloheximide and shifted to 32uC at t = 0 min to allow VSV-Gts045-GFP transport to occur. Cells were fixed and immunostained for GFP at the indicated times post-temperature shift. Scale bar, 10 mm. Brucella Modulation of Secretory Trafficking Figure 5. Ectopic expression of BspA, BspB and BspF in HeLa cells interferes with the host secretory pathway. (A and B) Quantitation of SEAP secretion in HEK 293T cells expressing Bsp proteins. HEK 293T cells were co-transfected with plasmid pSEAP-2 and plasmids encoding either HA- (A) or GFP- (B) tagged Bsp proteins are indicated. Twenty-four hours after transfection, SEAP was measured and expressed as a secretion index. Empty vectors served as control and expression of GDP-locked ARF1[T31N] served as a positive control. Data points represent the mean 6 SEM of three independent experiments performed in triplicate (* indicates a P value,0.001). (C) Representative confocal micrographs of HeLa cells showing VSV- Gts045-GFP temporal trafficking in HeLa cells expressing the HA-tagged indicated Bsp proteins. HeLa cells were co-transfected with plasmids expressing VSV-Gts045-GFP and the indicated Bsp protein, incubated for 20 h at 40uC. Cells were then treated with cycloheximide and shifted to 32uC at t = 0 min to allow VSV-Gts045-GFP transport to occur. Cells were fixed and immunostained for GFP at the indicated times post-temperature shift. Scale bar, 10 mm. d i 0 3 /j l 003 6 00 doi:10.1371/journal.ppat.1003556.g005 demonstrates that BspC, BspG and BspK induce significant ER stress when ectopically expressed in mammalian cells. cytokine expression upon ER stress induction [21] were used as positive controls in these assays (Fig. S4B). BspA, BspB and BspF inhibit host protein secretion To examine whether the decrease in SEAP secretion observed upon expression of either BspA, BspB or BspF was due to induction of ER-stress, we monitored this response in cells expressing these proteins using the ERSE reporter (luc) dual- luciferase assay and expression of downstream protein targets of ER stress, CHOP and BiP/GRP78 [33]. Tunicamycin, an ER stress stimulus that inhibits NH2-linked glycosylation and protein folding in the ER, and expression of HA-VceC, a Brucella VirB T4SS effector that induces ER stress and proinflammatory 5 August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org August 2013 | Volume 9 | Issue 8 | e1003556 Brucella Modulation of Secretory Trafficking Figure 3. Expression patterns of Brucella Bsp effector proteins in HeLa cells. Representative confocal micrographs of HeLa cells transfected for 12 h with plasmids expressing either GFP- or HA-tagged Bsp proteins. HeLa cells expressing HA-tagged Brucella effectors were immunostained using an anti-HA antibody. The dashed line on the GFP-BspC panel delineates the cell contour. Scale bar, 10 mm. doi:10.1371/journal.ppat.1003556.g003 Figure 3. Expression patterns of Brucella Bsp effector proteins in HeLa cells. Representative confocal micrographs of HeLa cells transfected for 12 h with plasmids expressing either GFP- or HA-tagged Bsp proteins. HeLa cells expressing HA-tagged Brucella effectors were immunostained using an anti-HA antibody. The dashed line on the GFP-BspC panel delineates the cell contour. Scale bar, 10 mm. doi:10.1371/journal.ppat.1003556.g003 Figure 4. A subset of Bsp effectors target the host secretory pathway. Representative confocal micrographs of HeLa cells transfected with the indicated HA- or GFP-tagged Bsp protein and immunostained for HA (green) and calnexin or GM130 (red) at 12 h post-transfection. Magnified insets show single channel and overlay color images of the boxed region. Scale bar, 10 and 2 mm. doi:10.1371/journal.ppat.1003556.g004 Figure 4. A subset of Bsp effectors target the host secretory pathway. Representative confocal micrographs of HeLa cells transfected with the indicated HA- or GFP-tagged Bsp protein and immunostained for HA (green) and calnexin or GM130 (red) at 12 h post-transfection. Magnified insets show single channel and overlay color images of the boxed region. Scale bar, 10 and 2 mm. doi:10.1371/journal.ppat.1003556.g004 August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org PLOS Pathogens | www.plospathogens.org PLOS Pathogens | www.plospathogens.org 6 Brucella Modulation of Secretory Trafficking Figure 5. Ectopic expression of BspA, BspB and BspF in HeLa cells interferes with the host secretory pathway. Brucella impairs cellular secretion during infection p g Given the effect of ectopically-expressed BspA, BspB and BspF on host protein secretion, we hypothesized that Brucella interferes with secretory transport to the plasma membrane during infection. To test this hypothesis, we monitored host protein secretion during Brucella infection utilizing both SEAP and VSV-G transport assays. First, HeLa cells were transfected with the SEAP plasmid for 16 h, then mock-infected or infected with wild type Brucella strain 2308. At 24 h pi, SEAP secretion was synchronized by treating cells for 30 min with brefeldin A (BFA) to reversibly disrupt the early secretory pathway and block transport from the ER [39,40] and cycloheximide to inhibit new SEAP biosynthesis and allow for monitoring secretion of a given pool of SEAP. BFA was then washed out, which allowed Golgi apparatus full reassembly within 2 h [41] with similar kinetics in mock- and Brucella-infected cells (Fig. S7), and SEAP secretion was monitored at various time points post washout. Compared to mock-infected cells, Brucella infection caused a strong delay in SEAP secretion (Fig. 6A), which was only restored to control levels by 10 h post washout. It is also worth noting that a maxiumum of 30% of cells were both transfected and infected with Brucella in these experiments (data not shown), likely causing an underestimation of the inhibitory effect that Brucella exerts on cellular secretion. These results demonstrate that Brucella trafficking to and replication in the ER affects secretion along the secretory pathway. Brucella-induced delayed transport of a given pool of secretory cargo suggests that this bacterium affects a subcompartment of the secretory pathway that can eventually support trafficking. To investigate further Brucella inhibitory effects on secretion, we examined the trafficking kinetics of VSV-Gts045-GFP in Brucella- infected cells. HeLa cells were mock-infected or infected with Brucella for 24 h and then transfected with VSV-Gts045-GFP for 20 h at 40uC. Confocal micrographs were collected at various time points after a temperature shift to 32uC to quantify the localization of VSV-Gts045-GFP to different subcompartments (ER, ERGIC, Golgi, Golgi to PM and PM) of the secretory pathway. Upon temperature shift, VSV-Gts045-GFP rapidly trafficked out of the ER in mock-infected cells (Fig. 6B) to accumulate in the Golgi Since overexpression of BspA in HeLa cells inhibits host secretion (Fig. 5), yet deletion of bspA does not relieve Brucella- mediated inhibition of secretion (Fig. BspA, BspB and BspF mediate Brucella inhibition of host secretion Since Brucella disrupts host cell secretion during infection (Fig. 6) and the VirB T4SS effectors BspA, BspB and BspF also affect this process when ectopically expressed (Fig. 5), we next investigated a direct role of these effectors on the host secretory pathway during infection. We therefore generated single or multiple in-frame deletions of bsp genes in B. abortus strain 2308 (Table S3 and Fig. S6). HeLa cells transfected with the SEAP plasmid were infected with either the wild type 2308 strain or various single bsp mutants. At 24 h pi, SEAP secretion was synchronized as described above using BFA and cycloheximide, and measured 6 h post BFA washout, a time point when Brucella infection caused significant inhibition of SEAP secretion (Fig. 6A). As a positive control for secretion inhibition, BFA treatment strongly inhibited SEAP secretion when maintained throughout the experiment (Fig. 7A– B). While infection with the wild type 2308 strain significantly reduced SEAP secretion by ,50%, the DbspB and DbspF failed to inhibit SEAP secretion (Fig. 7A–B). Complementation of either bspB or bspF mutants with a single chromosomal copy of the respective gene restored the inhibitory phenotype (Fig. 7B), demonstrating that BspB and BspF specifically contribute to Brucella-mediated inhibition of secretion during infection. By contrast, the DbspA mutant strain inhibited SEAP secretion similar to the wild type strain, despite strongly decreasing protein secretion when overexpressed in HEK293T or HeLa cells (Fig. 5), suggesting it does not contribute to inhibition of secretion in the context of an infection. As controls, deletion of either bspC, bspD, or bspK, whose products all target the secretory pathway, did not restore host protein secretion, consistent with their lack of effect on this pathway when ectopically expressed (Fig. 5), and deletion of either bspE or bspG, which encode two effector proteins unrelated to the secretory pathway (Fig. 3 and 5), did not relieve the secretory inhibition phenotype (Fig. 7A). Taken together, these results demonstrate that BspB and BspF specifically interfere with cellular secretion. Interestingly, the combinatorial deletion of bspA, bspB and bspF rescued the SEAP secretion to levels comparable to uninfected cells expressing SEAP protein alone (control; Fig. 7A) and more completely than upon deletion of single genes, suggesting that at least BspB and BspF coordinately act to impair protein secretion. Brucella Modulation of Secretory Trafficking To independently confirm that BspA, B and F inhibit host protein secretion, we then examined the anterograde transport of VSV-Gts045, a temperature sensitive mutant reporter protein from the vesicular stomatitis virus that is retained in the ER at a non-permissive temperature of 40uC due to a temperature sensitive misfolding, but can be folded normally and transported to the Golgi and the plasma membrane (PM) at 32uC [37,38]. HeLa cells were co-transfected with plasmids expressing VSVGts045-GFP and either HA-BspA, HA-BspB or HA- BspF for 20 h at 40uC and then shifted to 32uC to monitor VSV- Gts045-GFP trafficking by fluorescence microscopy. In control cells expressing VSVGts045-GFP alone, the majority of the protein was transported from the ER to the Golgi apparatus within 20 min after temperature shift, and was located at the PM by 60 and 120 min (Fig. 5C). VSVGts045-GFP was transported with apparent similar kinetics in cells expressing BspF (Fig. 5C), but not in cells expressing BspA, where it was strongly retained in the ERGIC and Golgi apparatus even after 120 min (Fig. 5C). Expression of BspB also altered VSVGts045-GFP transport specifically from the Golgi to the PM, since the majority of the mutant protein remained in Golgi compartments for up to 60 min and did not reach the PM by 120 min (Fig. 5C). Hence, BspA and BspB expression in HeLa cells impairs secretory trafficking, consistent with their inhibitory effects on protein secretion (Fig. 5A). apparatus by 20 min (Fig. 6D), undergo post-Golgi trafficking by 40 min (Fig. 6E) and reach the PM by 60 min (Fig. 6F). While VSV-Gts045-GFP trafficking out of the ER was only slightly delayed in infected cells (Fig. 6B), it accumulated and was retained in the ERGIC from 20 to 40 min (Fig. 6C), after which it underwent post-Golgi trafficking (Fig. 6E) but inefficiently reached the PM by 120 min (Fig. 6F). Hence, consistent with the SEAP secretion data (Fig. 6A), these results demonstrate that Brucella disrupts host protein secretion by impairing cargo trafficking between the ER and the Golgi apparatus and decreasing transport to the PM. BspA, BspB and BspF inhibit host protein secretion Compared to Tunicamycin treatment or VceC expression, which induced ER stress to varying degrees, expression of either HA-BspA, HA-BspB or HA-BspF did not induce ER stress (Fig. S4B–C), nor did expression of HA-BspD, HA-BspE, HA-BspH or HA-BspI, although HA-BspF increased BiP levels (Fig. S4C). In comparison, GFP-BspC, HA-BspG or HA-BspK expression significantly induced ER stress to levels similar or higher than VceC and upregulation of BiP, but not CHOP (Fig. S4B–C). These results verify that inhibition of SEAP secretion by BspA and BspB is not due to induction of ER stress, while this remains unclear for BspF due to its ability to increase levels of BiP expression, and also Since inhibition of secretory transport can also result from the physical disruption of secretory compartments [34,35,36], we also examined the effect of HA-BspA, HA-BspB or HA-BspF expression on the morphology of the secretory pathway, using immunofluorescence confocal microscopy. In HeLa cells express- ing either GFP-BspA, HA-BspB or HA-BspF proteins, no significant difference was observed in the morphology of the ER, ERES, ERGIC or Golgi apparatus (Fig. S5), indicating that the inhibitory effect these proteins have on SEAP secretion does not result from overt physical disruption of the secretory compart- ment. August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 7 Brucella Modulation of Secretory Trafficking PLOS Pathogens | www.plospathogens.org Brucella impairs cellular secretion during infection 7A), we hypothesized that BspA effect on the host secretory pathway may be counteracted by (an)other unidentified Brucella effector(s) that would be absent in an ectopic expression context, and that BspA overexpression in Brucella may enhance and reveal its inhibitory effect on secretion. To test this hypothesis, BspA, BspB, BspF, BspD and BspE fused to a 36FLAG tag according to their translocation requirements (Fig. 1 and 2) were expressed under IPTG-inducible Ptrc promoters on multicopy plasmids pJC123 or pJC124 in the August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 8 Brucella Modulation of Secretory Trafficking Figure 6. Brucella impairs host cell secretion during infection. (A) Quantification of SEAP secretion in uninfected (control) and B. abortus 2308- infected (2308) HeLa cells. HeLa cells were transfected with pSEAP-2 for 16 h, then infected with B. abortus 2308. At 24 h pi, SEAP protein production was synchronized as described in the Materials and Methods and the external and internal SEAP activity measured at various times post- synchronization. Data show SEAP ratios (external/internal SEAP activity) from uninfected or infected cells. (B–F) VSV-Gts045-GFP trafficking in either control or B. abortus 2308-infected HeLa cells. HeLa cells were either mock-infected or infected with DsRedm-expressing B. abortus 2308. Twenty-four hours pi, cells were transfected with plasmid encoding VSV-Gts045-GFP and incubated at 40uC for 20 h. After 30 min of cycloheximide treatment to stop VSV-Gts045-GFP production, cells were shifted to 32uC, then fixed and immunostained at the indicated time points and VSV-Gts045-GFP localization was examined. (B) Percentage of VSV-Gts045-GFP in the ER, (C) in the ERGIC, (D) in the Golgi apparatus, (E) in the Golgi to plasma membrane (Golgi-PM) compartments and (F) % of VSV-G at the plasma membrane (PM). Data are expressed as a percentage of where VSV-G is located in the defined compartment, as shown in the representative confocal micrographs and are the means 6 SD from three independent experiments. doi:10.1371/journal.ppat.1003556.g006 Figure 6. Brucella impairs host cell secretion during infection. (A) Quantification of SEAP secretion in uninfected (control) and B. abortus 2308- infected (2308) HeLa cells. HeLa cells were transfected with pSEAP-2 for 16 h, then infected with B. abortus 2308. At 24 h pi, SEAP protein production was synchronized as described in the Materials and Methods and the external and internal SEAP activity measured at various times post- synchronization. Brucella impairs cellular secretion during infection Data show SEAP ratios (external/internal SEAP activity) from uninfected or infected cells. (B–F) VSV-Gts045-GFP trafficking in either control or B. abortus 2308-infected HeLa cells. HeLa cells were either mock-infected or infected with DsRedm-expressing B. abortus 2308. Twenty-four hours pi, cells were transfected with plasmid encoding VSV-Gts045-GFP and incubated at 40uC for 20 h. After 30 min of cycloheximide treatment to stop VSV-Gts045-GFP production, cells were shifted to 32uC, then fixed and immunostained at the indicated time points and VSV-Gts045-GFP localization was examined. (B) Percentage of VSV-Gts045-GFP in the ER, (C) in the ERGIC, (D) in the Golgi apparatus, (E) in the Golgi to plasma membrane (Golgi-PM) compartments and (F) % of VSV-G at the plasma membrane (PM). Data are expressed as a percentage of where VSV-G is located in the defined compartment, as shown in the representative confocal micrographs and are the means 6 SD from three independent experiments. d i 10 1371/j l t 1003556 006 doi:10.1371/journal.ppat.1003556.g006 derived rBCVs, we next sought to examine whether they also exert an inhibitory effect on host secretion prior to reaching the ER, i.e. when VirB-associated functions control BCV trafficking [8,14,16]. When SEAP secretion was measured at 8 h pi, i.e. before bacteria generate rBCVs and replicate, infection with the wild-type strain 2308 inhibited SEAP secretion to levels comparable to those seen at 30 h pi (Fig. 7C). Deletion of either bspB or bspF, but not bspA, relieved secretion inhibition, which was restored upon genetic complementation of the DbspB or DbspF mutants (Fig. 7C), as observed at 30 h pi (Fig. 7A–B). Additionally, infection with a DvirB9 mutant, which was interpretable at this time point due to its similar intracellular viable numbers to 2308 (Fig. S3), also failed to inhibit SEAP secretion (Fig. 7C), consistent with the roles of BspB and BspF in this process. Altogether, these results demonstrate that Brucella- mediated inhibition of host secretion is a VirB-dependent process that requires BspB and BspF and occurs prior to rBCV biogenesis. wild-type 2308 strain (Fig. S8) and SEAP secretion was measured in infected HeLa cells. Compared to the secretory inhibition caused by the wild-type strain or strains carrying empty vector controls and under experimental conditions where both the DbspB and DbspF mutants failed to inhibit protein secretion, overexpres- sion of BspA-36FLAG and BspB-36FLAG significantly enhanced inhibition of SEAP secretion, while that of 36FLAG-BspF did not (Fig. 7D). Brucella impairs cellular secretion during infection This increased inhibition of host secretion was specific to these effectors, since it was not observed upon overexpression of either BspD-36FLAG, which localizes to the ER when expressed ectopically in HeLa cells without affecting host secretion, or BspE- 36FLAG, a VirB-dependent effector that does not target the secretory pathway (Fig. 7D). Taken together and consistent with our ectopic expression data (Fig. 5), these results indicate that bacterially-expressed BspA also affects the host secretory pathway in infected cells. Brucella inhibition of host secretion precedes rBCV biogenesis and replication (A) SEAP secretion in HeLa cells infected with either wild type or bsp in-frame deletion mutants. Brefeldin A (BFA) treatment (5 mg/ml) was used as a control for secretion inhibition. (B) SEAP secretion in HeLa cells infected with either B. abortus 2308, DbspB and DbspF or the chromosomally-complemented strains DbspB::mTn7- bspB or DbspF::mTn7-bspF. (C) SEAP secretion in HeLa cells infected with either B. abortus 2308, DvirB9, DbspA, DbspB, DbspF, the chromosomally- complemented strains DbspB::mTn7-bspB or DbspF::mTn7-bspF or the DbspABF mutant. (D) SEAP secretion in HeLa cells infected with either B. abortus 2308, its isogenic DbspA, DbspB, DbspF, DbspD, DbspE mutants, or 2308 carrying pJC123, pJC124 or derivatives expressing FLAG-tagged BspA, BspB, BspF, BspD or BspE. Infection assays were carried out as described in Materials and Methods section and SEAP secretion was measured at 6 h post- synchronization, corresponding to 30 h pi (A, B and D) or 8 h pi (C). Data points represent the means 6 SD from three independent experiments performed in quadruplicates. Statistically significant differences (P,0.05) are indicated by asterisks, as compared to control (C) or 2308 (D) samples. doi:10.1371/journal.ppat.1003556.g007 replication defect when compared to the wild type strain, which was genetically complemented (Fig. 8E). Consistent with the CFU enumeration (Fig. 8D), the DbspABF mutant was also significantly impaired in replication inside BMMs (Fig. 8E), confirming its intracellular growth defect. Hence, both BspB and the coordinated action of BspA, BspB and BspF promote Brucella intracellular replication. intracellular trafficking and replication, we sought to determine whether these proteins play a role in Brucella pathogenesis. First, intracellular growth of the single and triple deletion mutants was examined in murine BMMs by CFU enumeration over 24 h. No significant difference was observed in Brucella replication between the wild type strain and the DbspA or DbspB mutants, as similar numbers of CFUs were recovered during the time course of infection, while the DbspF mutant showed decreased survival by 8 h pi but underwent subsequent replication similar to the wild type strain (Fig. 8A–C). In contrast, a stronger decrease in recoverable bacteria was observed at 8 h pi and afterwards for the triple DbspABF mutant compared to the wild type strain (Fig. 8D), indicating that the combined deletion of several Bsp effectors affects Brucella intracellular growth. Since CFU enumeration examines global intracellular growth within a population, it may lack the ability to uncover minor, yet significant, phenotypic defects at the cellular level. Brucella inhibition of host secretion precedes rBCV biogenesis and replication Given the effect of BspB, BspF and BspA on the host secretory pathway and the importance of this compartment for Brucella While the above results demonstrate that Brucella inhibits host secretion at 30 h pi, i.e. when the bacteria replicate within ER- PLOS Pathogens | www.plospathogens.org PLOS Pathogens | www.plospathogens.org August 2013 | Volume 9 | Issue 8 | e1003556 9 Brucella Modulation of Secretory Trafficking Figure 7. Contribution of BspA, BspB and BspF to inhibition of host cell secretion during infection. (A) SEAP secretion in HeLa cells infected with either wild type or bsp in-frame deletion mutants. Brefeldin A (BFA) treatment (5 mg/ml) was used as a control for secretion inhibition. (B) SEAP secretion in HeLa cells infected with either B. abortus 2308, DbspB and DbspF or the chromosomally-complemented strains DbspB::mTn7- bspB or DbspF::mTn7-bspF. (C) SEAP secretion in HeLa cells infected with either B. abortus 2308, DvirB9, DbspA, DbspB, DbspF, the chromosomally- complemented strains DbspB::mTn7-bspB or DbspF::mTn7-bspF or the DbspABF mutant. (D) SEAP secretion in HeLa cells infected with either B. abortus 2308, its isogenic DbspA, DbspB, DbspF, DbspD, DbspE mutants, or 2308 carrying pJC123, pJC124 or derivatives expressing FLAG-tagged BspA, BspB, BspF, BspD or BspE. Infection assays were carried out as described in Materials and Methods section and SEAP secretion was measured at 6 h post- synchronization, corresponding to 30 h pi (A, B and D) or 8 h pi (C). Data points represent the means 6 SD from three independent experiments performed in quadruplicates. Statistically significant differences (P,0.05) are indicated by asterisks, as compared to control (C) or 2308 (D) samples. doi:10.1371/journal.ppat.1003556.g007 Figure 7. Contribution of BspA, BspB and BspF to inhibition of host cell secretion during infection. (A) SEAP secretion in HeLa cell infected with either wild type or bsp in-frame deletion mutants. Brefeldin A (BFA) treatment (5 mg/ml) was used as a control for secretion inhibition (B) SEAP secretion in HeLa cells infected with either B. abortus 2308, DbspB and DbspF or the chromosomally-complemented strains DbspB::mTn7 bspB or DbspF::mTn7-bspF. (C) SEAP secretion in HeLa cells infected with either B. abortus 2308, DvirB9, DbspA, DbspB, DbspF, the chromosomally l d i Db b Db b h Db ( ) S i i ll i f d i h i h b Figure 7. Contribution of BspA, BspB and BspF to inhibition of host cell secretion during infection. PLOS Pathogens | www.plospathogens.org August 2013 | Volume 9 | Issue 8 | e1003556 Discussion Many Gram-negative bacterial pathogens including Brucella spp., Legionella pneumophila, Coxiella burnetii, Bartonella spp., Helico- bacter pylori, Bordetella pertussis, and Rickettsia prowazekii use T4SS to translocate effector proteins into host cells as part of their pathogenic process [42]. The identification and characterization of these proteins is a crucial step in our molecular understanding of many human diseases and has been the subject of several bioinformatics-based efforts with recent successful outcomes in the case of Legionella, Coxiella, Bartonella and Brucella [19,20,22,23,26,43]. Here we have used similar approaches and protein translocation reporter systems to identify in Brucella abortus 11 translocated proteins (BspA to K), 10 of which are novel since BspI (BPE865) has previously been reported [20], and at least 5 are translocated in a VirB T4SS-dependent manner. These findings expand the number of known Brucella effector proteins to 19, including VceA and VceC [19], RicA [24], and 6 BPEs [20] and suggest that this pathogen translocates into host cells an array of proteins with possibly redundant functions. A retrospective analysis of the criteria used to identify the Bsp proteins did not reveal consensus features shared by these effectors, including some that would typify VirB substrates. While BspA, BspB, BspC, BspD, BspH and BspK all possessed a RXR (or RXK in the case of BspC) motif in their C-terminus (Table S2), reminiscent of the A. tumefaciens Arginine-rich motifs in VirB effectors [25], this could not be strictly correlated with VirB- dependency or a requirement for a free C-terminus for translo- cation in our assays, nor was the net charge of their C-termini. Except for BspC, none of the Bsp proteins contained a predicted Sec-dependent signal peptide sequence, suggesting that their translocation does not require Sec-dependent translocation into the periplasm. Most bsp genes nonetheless showed a significant deviation in their GC content from that of the total genome (Table S2). Despite the intracellular lifestyle of Brucella spp., which intuitively limits genetic exchange with other bacteria, and their overall genetic homogeneity, this suggests that these bsp genes have been acquired via horizontal transfer during evolution of an ancestral genome, perhaps in extracellular environments, in The initial demonstration of protein translocation of the Bsp effectors used a TEM1 b-lactamase reporter system, in which we systematically tested both N- and C-terminal TEM1 fusions. Brucella inhibition of host secretion precedes rBCV biogenesis and replication To evaluate the intracellular growth of the bsp mutants by single cell analysis, we examined bacterial replication in BMMs at 24 h pi using immunofluorescence microscopy. Under infection conditions where 1–4 bacteria were initially phagocytozed by BMMs (data not shown), the percentage of infected cells supporting bacterial replication was scored as those containing at least 10 bacteria and showed that the DbspB mutant strain displayed a significant To extend these findings and examine whether the intracellular defects of these mutants translate into virulence defects, we monitored establishment and persistence of these strains in a BALB/c mouse model of chronic brucellosis. Following intraper- itoneal inoculation with either the wild type 2308 strain, the DbspA, DbspB, DbspF or DbspABF deletion mutants, splenomegaly was assessed as a readout for inflammation, and bacterial loads enumerated in the spleen and liver at day 3, 7 and 42 pi, to assess initial infection (day 3), establishment of the chronic stage (day 7) and persistence (day 42). In this infection model, a DvirB9 mutant did not induce any splenomegaly and failed to establish a chronic infection and persist in both spleen and liver (Fig. S9). Although all strains induced splenomegaly similarly and colonized the spleen equally at all times points, the numbers of recoverable DbspB and DbspABF mutants from the liver at day 42 pi were significantly lower than the wild type strain (Fig. S10), indicating a role of BspB and the cumulative functions of BspA, BspB and BspF in bacterial persistence in this organ. August 2013 | Volume 9 | Issue 8 | e1003556 10 Brucella Modulation of Secretory Trafficking Figure 8. Contribution of BspA, BspB and BspF to Brucella intracellular growth. (A–D) Intracellular growth of B. abortus 2308 and its isogenic in-frame deletion mutants DbspA (A), DbspB (B), DbspF (C) and DbspABF (D) in BMMs. Cells were infected and intracellular CFUs were enumerated at various time points. Data shown are means 6 SEM from a representative experiment performed in triplicates. (E) Single-cell analysis of Brucella replication in BMMs infected with either B. abortus 2308, its isogenic mutants DbspA, DbspB, DbspF and DbspABF or the complemented strain DbspB::mTn7-bspB. Data is represented as the percentage of infected cells supporting bacterial replication and are means 6 SD of three independent experiments. doi:10.1371/journal.ppat.1003556.g008 Figure 8. Contribution of BspA, BspB and BspF to Brucella intracellular growth. (A–D) Intracellular growth of B. Brucella inhibition of host secretion precedes rBCV biogenesis and replication abortus 2308 and its isogenic in-frame deletion mutants DbspA (A), DbspB (B), DbspF (C) and DbspABF (D) in BMMs. Cells were infected and intracellular CFUs were enumerated at various time points. Data shown are means 6 SEM from a representative experiment performed in triplicates. (E) Single-cell analysis of Brucella replication in BMMs infected with either B. abortus 2308, its isogenic mutants DbspA, DbspB, DbspF and DbspABF or the complemented strain DbspB::mTn7-bspB. Data is represented as the percentage of infected cells supporting bacterial replication and are means 6 SD of three independent experiments. doi:10 1371/journal ppat 1003556 g008 p doi:10.1371/journal.ppat.1003556.g008 p doi:10.1371/journal.ppat.1003556.g008 translocation, while those to BspA, BspF, BspH, BspI and BspJ showed translocation regardless of the TEM1 tag location. This suggests that the position of the reporter tag may interfere with translocation signals and protein translocation. Consequently, one cannot exclude that TEM1 tagging at either end of the negative candidate effector proteins also interfered with their translocation or led to fusion proteins in which TEM1 activity was impaired. These observations highlight the necessity to characterize the molecular mechanisms by which the Brucella VirB T4SS translo- cates proteins into host cells and the caveats associated with using reporter translocation systems. PLOS Pathogens | www.plospathogens.org Discussion Considering that flagellar and virB genes are co-regulated in Brucella [48], some of these Brucella secreted proteins could also be targeted to and translocated by the flagella export pathway, a hypothesis that remains to be tested. Additionally, the secretion of RicA in broth culture in a VirB T4SS- and flagella-independent manner supports the possibility of yet another unidentified translocation system in Brucella [20,24]. While our results clearly assign modulatory functions along the secretory pathway to the VirB T4SS effectors BspA, BspB and BspF, we also provide evidence that they contribute to biogenesis of rBCVs and bacterial replication in macrophages, and long-term persistence in the liver of chronically infected mice. Given that combining deletions in bspA, bspB and bspF resulted in additive effects on restoration of inhibition of secretion by Brucella and intracellular replication defects, we also speculate that these effectors coordinately act on modulating the secretory pathway to promote Brucella pathogenesis. Collectively, our results potentially link VirB T4SS effector-mediated modulation of the secretory pathway with BCV trafficking, although we cannot yet conclude whether BspA-, BspB- and BspF-mediated inhibition of host protein secretion is a requirement for rBCV biogenesis and bacterial replication, or is unrelated to their requirement for optimal intracellular growth. Additionally, Brucella-mediated inhi- bition of host protein secretion may affect secretion or surface exposure of immunity-related molecules to the pathogen’s benefit. Consistent with our results, Brucella induces retention of MHC Class I molecules in the Golgi apparatus in human macrophages, resulting in downmodulation of CD8+ cytotoxic T-cell responses [56], possibly via BspA, BspB and/or BspF. Similarly, it will be most interesting to examine whether these effectors downmodulate secretion of pro-inflammatory cytokines, an effect that may explain the persistence defects of the DbspB and DbspABF mutants observed in the liver. y With the exception of VceC, shown to induce ER stress and secretion of proinflammatory cytokines [21], the recently discov- ered Brucella effectors remain uncharacterized and virulence phenotypes associated with individual effector proteins have not been observed, presumably due to some functional redundancy [20]. Additionally, the role of Brucella effectors in the biogenesis and trafficking of the BCV along the endocytic and secretory pathway remains poorly understood. RicA was shown to interact with Rab2, a small GTPase recruited on BCVs and required for Brucella intracellular replication [15], potentially assigning a direct role for RicA in the intracellular trafficking of Brucella [24]. Discussion Contrary to the effect of ectopically-expressed BspA and unlike BspB and BspF, deletion of bspA did not restore secretion in Brucella-infected cells, suggesting some functional redundancy between BspA and other translocated Brucella proteins, otherwise absent in the ectopic expression model used. Yet, BspA overexpression in Brucella enhanced inhibition of host secretion, arguing for a role of this effector in also impairing secretory functions in the context of an infection, as seen with ectopically-expressed BspA. agreement with evidence for discrete horizontal transfer events gained from genomic comparisons between Brucella spp. [44]. Consistently, the colinear genetic organization of bspH and bspI adjacent to an IS2020 transposase-encoding open reading frame (BAB1_1863) argues for the presence of a mini genomic island carrying these effectors. A CyaA translocation reporter assay with sufficient sensitivity to detect Brucella effector translocation at 6 h pi identified BspA, BspB, BspC, BspE and BspF as VirB T4SS substrates, since their translocation was significantly reduced in the DvirB9 mutant background. In contrast, the translocation of BspG and BspK was independent of a functional T4SS, suggesting the presence of another unknown translocation system in Brucella. This is in line with the VirB-independent translocation of BPE865 (BspI) and BPE159 [20]. Of note, translocation of the BspI-CyaA (BPE865) was VirB-dependent under our experimental conditions, unlike a previous report by Marchesini et al. [20]. Although the same CyaA-based translocation assays were used in both studies, we found that normalization of cAMP levels to recoverable CFUs was essential to uncover VirB dependency in these assays, a technical variation that could explain the contrasting results obtained. Surprisingly, the translocation of the BspH, BspI and BspJ was VirB-dependent when tagged at the C-terminus, indicating these proteins are VirB T4SS substrates, but VirB-independent when tagged on their N-terminus. These results suggest that these proteins may be promiscuously translocated by more than one translocation system, the VirB T4SS and another yet unknown secretion system, through translocation signals that confer pathway specificity and are differentially affected by the CyaA tag location. Translocation of bacterial effectors via multiple type three secretion systems (T3SS) and the flagella export system has been shown for YplA in Yersinia [45] and SptP in Salmonella [5]. Brucella does possess all the flagellar genes needed for the assembly of a functional flagellum, but not those encoding for chemotaxis [46,47]. Discussion This was a necessary precaution due to a lack of consensus for Brucella VirB-mediated translocation signals, as exemplified by the findings that the N-terminal region of BPE123 is necessary for its translocation into host cells [20] while the C-terminal region of VceC is required for efficient secretion [19]. Interestingly, only the C-terminal TEM1 fusion proteins to BspB, BspC, BspD and BspE and only the N-terminal TEM1 fusions to BspG and BspK showed August 2013 | Volume 9 | Issue 8 | e1003556 August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 11 Brucella Modulation of Secretory Trafficking trafficking along the secretory pathway. That BspF affects host protein secretion despite a cytosolic and plasma membrane localization is not inconsistent, as i) the bacterially-translocated form may localize differently via interactions with other bacterial effectors or BCV-associated host factors, and ii) various host cell proteins that mediate membrane trafficking events localize to the cytosol and are targeted to vesicular compartments via regulatory proteins [49]. A number of T4SS and T3SS bacterial effectors in other pathogens also affect functions of the secretory pathway. When overexpressed in eukaryotic cells, the L. pneumophila Dot/ Icm effectors DrrA/SidM [50,51], and LidA [52] disrupt the Golgi apparatus, and RalF [53], AnkX [23], the Coxiella Dot/Icm effector CBU0635 [54], and the Enteropathogenic Escherichia coli (EPEC) T3SS effector NleA [55] inhibit host protein secretion, similar to the effect of BspA, BspB or BspF. Unlike the L. pneumophila Dot/Icm effector proteins that cause Golgi apparatus fragmentation [50,52], the overexpression of BspA, BspB or BspF did not alter the morphology of secretory compartments including the ERES, ERGIC, and Golgi apparatus, suggesting subtle effects on this compartment. We therefore speculate that the effect these effectors exert on protein secretion results from discrete interfer- ence with specific molecular processes along the secretory pathway and may reflect a specific inhibitory role in protein secretion related to Brucella pathogenesis, and/or a collateral consequence of BCV trafficking-related modulation of membrane transport. Importantly, inhibition of host protein secretion and secretory membrane trafficking was also revealed during Brucella infection and required the functions of BspB and BspF, functionally correlating effector ectopic expression and infection, as previously reported only in the case of EPEC NleA [55]. PLOS Pathogens | www.plospathogens.org Reagents Antibodies were from the following sources: mouse anti-Beta- lactamase (QED Bioscience, Inc.), mouse monoclonal anti-Omp19 SC10 and anti-p17 (gifts from Dr Axel Cloeckaert, INRA, France), mouse anti-CyaA 3D1(Santa Cruz Biotechnology, Inc.), mouse monoclonal anti-HA, mouse monoclonal anti-FLAG M2 and mouse anti-SEAP (Sigma-Aldrich Co. LLC.), rabbit polyclonal anti-GFP (Life Technologies), rabbit anti-Calnexin (Enzo Life Sciences), mouse anti-GM130 (BD Transduction Laboratories), rabbit anti-COPII (Thermo Scientific, Pierce Antibodies), mouse anti-ERGIC-53 (Enzo Life Sciences), goat anti-Brucella LPS (gift from Dr Rene´e Tsolis, UC Davis, CA), rat anti-mouse LAMP-1 (clone 1D4B, developed by J. T. August and obtained from the Developmental Studies Hybridoma Bank (DSHB) developed under the auspices of the NICHD and maintained by the University of Iowa, Department of Biological Sciences, Iowa City, IA 52242), rabbit polyclonal anti-Actin (Bethyl Laboratories, Inc.), rabbit anti-BiP and mouse monoclonal anti-CHOP (Cell Signaling Technology); Alexa Fluor 488-donkey anti-mouse, anti-rat anti- bodies (Invitrogen, Life Technologies), or Cyanin 5-conjugated goat anti-rabbit and anti-mouse (Jackson ImmunoResearch Laboratories, Inc.). HRP-conjugated anti-rabbit IgG or anti- mouse IgG (1:10,000, Cell Signaling Technology) and the ECL western blotting substrate (Thermo Scientific, Pierce Protein Biology Products) were used for Western blotting. DAPI (Invitro- gen, Life Technologies) was used for DNA staining. Dulbecco’s modified Eagle medium (DMEM), DMEM without phenol red, phosphate saline buffer (PBS), Hank’s Balanced Salt Solution (HBSS), fetal bovine serum (FBS) and gentamicin were from Life Technologies. FuGENE HD and X-tremeGENE 9 transfection reagents were used to transfect cell lines according to the manufacturer’s instructions. SEAP secretion assays were per- formed with the SEAP reporter gene assay, chemiluminescent kit (Roche Applied Science). The levels of intracellular cAMP were measured with the cAMP Enzyme Immunoassay kit from Sigma- Aldrich Corporation LLC while the beta-lactamase activity was assayed with the Beta-lactamase loading solution and Probenecid from Life Technologies (Invitrogen). ER stress measurements were implemented with the Cignal ERSE Reporter Luciferase assay kit from SABiosciences. Luciferase measurements were performed with the Passive Lysis Buffer and Dual-Luciferase Reporter Assay System from Promega Corporation. Tunicamycin, Cycloheximide and Brefeldin A were purchased from Sigma-Aldrich. y q g The plasmids pJC125 and pJC126 were constructed by PCR amplification of the catalytic portion of the cyaA gene (first 399 codons) from plasmid pJB2581 [59] with primers TW682 (CGGTATCGATAAGCTTCAGCAATCGCATCAGGCTGGT) or TW684 (ATTCGATATCAAGCTTCTGGCGTTCCACTG- CGCCCAGCGA), and TW682 and TW683 (ATTCGATAT- CAAGCTTTCACTGGCGTTCCACTGCGCCCAGCGA), re- spectively, and cloning into the HindIII-digested pBBR1 lacIq-Ptrc derivative using In-Fusion, and were confirmed by sequencing. Brucella Modulation of Secretory Trafficking with kanamycin (50 mg/ml). All manipulations of B. abortus strains were performed in a Biosafety Level 3 facility according to standard operating procedures approved by the Rocky Mountain Laboratories Institutional Biosafety Committee and in compliance with the CDC Division of Select Agents and Toxins regulations. Escherichia coli strains were grown in Luria-Bertani (LB) broth at 37uC, supplemented with 50 mg/ml of kanamycin and 100 mg/ml of ampicillin when necessary. By identifying novel VirB T4SS effectors and characterizing their activities and contribution to pathogenesis, this study expands our knowledge at the molecular level of how Brucella manipulates the host secretory pathway to promote its intracellular survival. Future studies focusing on the mechanisms of BspA, BspB and BspF actions and on the characterization of the additional Bsp proteins identified should reveal new facets of Brucella molecular interactions with host cells, generating much-needed knowledge about its pathogenic mechanisms. Reagents The stop codon in the cyaA open reading frame in plasmid pJC125 was removed to allow for generation of N-terminal in-frame fusions of potential effector-CyaA fusions, while it was left intact in pJC126 to allow for generation of in-frame C-terminal fusions. The resulting plasmids: pJC120, pJC121, pJC123, pJC124, pJC125 and pJC126 were used to construct either TEM-1, 36FLAG or CyaA Brucella Materials and Methods Primers and plasmids used in this study are described in Table S3. The pSEAP-2 control vector, pCMV-HA, pEGFP-C1 and pEGFP-N1 were purchased from Clontech. Plasmids pHA- ARF1[T31N] and pGFP-ARF1[T31N] have been described [30] and pEGFP-VSVGts045 was a gift from Dr Jennifer Lippincott-Schwartz (NIH, Bethesda, MD). The b-lactamase TEM-1 (pJC120 and pJC121) and CyaA (pJC125 and pJC126) fusion plasmids were constructed from pBBR1MCS-2 [57]. First, the lac promoter region of pBBR1MCS-2 was replaced with a lacIq-Ptrc fragment by ligating XhoI-digested pBBR1MCS-2 to a PCR product from plasmid pTrc99A [58] obtained with primers TW331 (CGGGCCCCCCCTCGAGCCGCCAACACCCGCT- GAC) and TW332 (TACCGTCGACCTCGAGCATTATTAC- CACCTCCTCTG) using the In-Fusion PCR Cloning System (Clontech). The modification was confirmed by sequencing. Vectors pJC120 and pJC121 were then constructed by cloning PCR products containing the blaM gene from pCX340 [27] with primers TW333 (GCTTGATATCGAATTCCACCCA- GAAACGCTGGTGAAAG) or TW340 (CGGGCTGCAG- GAATTCCCAATGCTTAATCAGTGAGGC), and TW333 and TW334 (CGGGCTGCAGGAATTCTCACCAATGCT- TAATCAGTGAGGC) respectively, into the EcoRV-digested pBBR1-lacIq-Ptrc derivative using In-Fusion, and were confirmed by sequencing. The resulting plasmids pJC120 and pJC121 encode the mature form of TEM-1 under the control of the lacIq gene and the IPTG-inducible Ptrc promoter, allowing for cloning of potential effector protein genes with blaM to generate effector- TEM-1 fusion proteins. The stop codon of the blaM gene was removed in pJC120 to allow generation of in-frame N-terminal fusions, while it was left intact in pJC121 to allow generation of in- frame C-terminal fusion proteins. The plasmids pJC123 and pJC124 were constructed by PCR amplifying the 36FLAG sequence from a synthesized template with primers TW337 (GCTTGATATCGAATTCGATTATAAAGATGATGATG), TW338 (CGGGCTGCAGGAATTCCTATTTATCATCAT- CATCT), and TW337, TW343 (CGGGCTGCAGGAATTCTT- TATCATCATCATCT), respectively, into the EcoRI-digested pBBR1-lacIq-Ptrc plasmid using In-Fusion. Inserts were confirmed by sequencing. Discussion Yet, how RicA interaction with Rab2 contributes to the intracellular lifestyle of Brucella remains speculative. In our attempt to characterize the functions of the newly identified Brucella effectors, a high proportion of the Bsp proteins localized to compartments of the secretory pathway when ectopically expressed in HeLa cells. BspA, BspB, BspD and BspK localized to the ER and BspC localized to the Golgi apparatus. Considering the importance of the secretory pathway in Brucella intracellular pathogenesis, where BCVs engage early secretory compartments by initiating interac- tions with ERES [14] and recruit Rab2 and GAPDH [15], we pursued these initial observations to demonstrate that BspA, BspB and BspF specifically inhibit host protein secretion and membrane August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 12 Brucella Modulation of Secretory Trafficking Brucella in-frame deletion mutants and genetic complementation In-frame deletion mutants of B abortus strain 2308 were generated using the SacB-assisted allelic replacement suicide vector pJC80, as described previously [14], and were designed to preserve the integrity of the downstream genes and avoid any polar effect of the deletion. Recombinant in-frame deletions of either BAB1_0678 (bspA), BAB1_0712 (bspB), BAB1_0847 (bspC), BAB1_1611 (bspD), BAB1_1671 (bspE), BAB1_1948 (bspF), BAB_10227 (bspG) and BAB2_0541 (bspK) were constructed by fusing 59 and 39 fragments flanking the open reading frame of the gene using PCR amplification and the relevant primers (Table S4). The 59 fragments contained the upstream region, the start codon and the first 1 to 3 codons of each gene. The 39 fragments contained the downstream region, the last 1 to 3 codons of each gene, and the stop codon. 59 and 39 fragments were fused and cloned into the BamHI and SalI sites of pJC80 using the In-Fusion PCR Cloning System (Clontech) and fully sequenced. To perform allelic replacement in the chromosome of B abortus 2308 strain, deletion plasmids were introduced by electroporation, carbenicil- lin-resistant, sucrose-sensitive electroporants were selected and sub-cultured further in TSB. Cultures were subjected to sucrose counter-selection by plating onto TSA plates supplemented with 5% sucrose (wt/vol) in order to isolate clones that had undergone allelic replacement. The presence of the deleted allele within the correct chromosomal locus was verified by PCR using primers listed in Table S3. Independent clones carrying the correct in- frame deletion were isolated and used for further studies. The multiple deletion mutant DbspABF was generated by sequential allelic replacement. HeLa cells and BMMs were infected with Brucella strains at the appropriate multiplicity of infection (MOI) as previously described [13]. For experiments that required incubation at 40uC or 32uC, pre-warmed media was employed at each step. Temperature shifts from 40uC directly to 32uC were performed by removing the 40uC medium and replacing it with medium at 32uC. For infections of J774.A1 cells, two days before infection, cells were seeded at either 86103 (96-well plates) or 56104 (24-well plates) cells/well in complete medium, then infected with Brucella strains in triplicate wells at the desired MOI. Following 30 min of incubation at 37uC, cells were washed five times with pre-warmed DMEM and incubated for another 30 min before a 1 h treatment with 100 mg/ ml gentamicin to kill residual extracellular Brucella. Mammalian cell culture, transfections and infections Murine bone marrow-derived macrophages (BMMs) from 6–12 week-old female C57BL/6J mice (Jackson Laboratories, Bar Harbor, ME) were generated and cultured as described before [61]. HeLa cells (ATCC clone CCL-2) were cultured as described [13]. J774.A1 macrophage-like cells (ATCC, TIB-67) were maintained in Dulbecco’s high glucose DMEM supplemented with 10% FBS and 4 mM L-glutamine at 37uC in 7% CO2. Human Embryonic Kidney 293T (HEK293T; ATCC CRL- 11268) were cultured in Dulbecco’s Modified Eagle’s Medium (DMEM) supplemented with 10% FBS at 37uC in 7% CO2. HeLa and HEK293T cells were transfected with either FuGENE HD or X-tremeGENE 9 transfection reagents (Roche Applied Science) according to the manufacturer’s instructions at a ratio of 3:1 (reagent:DNA; v/w). Brucella Modulation of Secretory Trafficking Brucella Modulation of Secretory Trafficking effector fusions (Table S3). Full-length genes encoding putative Brucella effectors to be fused to either the blaM or cyaA fragments were amplified by PCR using genomic DNA from B. abortus 2308 strain as a template with sequence specific primers containing restriction sites for cloning into either pJC120 (XhoI), pJC121 (SalI), pJC125 (EcoRI) or pJC126 (SalI)) vectors (Table S3) using the In- Fusion PCR Cloning System (Clontech, 639650). effector fusions (Table S3). Full-length genes encoding putative Brucella effectors to be fused to either the blaM or cyaA fragments were amplified by PCR using genomic DNA from B. abortus 2308 strain as a template with sequence specific primers containing restriction sites for cloning into either pJC120 (XhoI), pJC121 (SalI), pJC125 (EcoRI) or pJC126 (SalI)) vectors (Table S3) using the In- Fusion PCR Cloning System (Clontech, 639650). Fusion PCR Cloning System. A fragment containing the 1283 bp bspF gene and 340 bp upstream of its start codon were PCR amplified using primers RC395 and RC396 (Table S3) and inserted into pmTn7K to create pmTn7K-bspF. All inserts were confirmed by sequencing. The resulting pmTn7K-bspB and pmTn7K-bspF plasmids were introduced into the DbspB and DbspF mutants, respectively, together with the helper plasmid pTNS2 [60] by electroporation. Electroporants were selected on TSA plates containing 50 mg/ml of kanamycin, and clones carrying the mTn7K derivatives inserted within the attTn7 site downstream of the BAB2_0658 glmS gene were confirmed using PCR primers RC603 (ATCATCCTCATCACCGACAA) and RC604 (GCTATATTCTGGCGAGCGAT). To tag putative Brucella effectors with either GFP or HA, open reading frames of the Brucella target genes were amplified by PCR using genomic DNA from B. abortus 2308 strain as template, Platinum Pfx DNA Polymerase (Invitrogen), and specific primers (Table S3). The PCR-amplified DNA fragments were cloned into either BglII-digested pEGFP-C1 (Clontech), PstI-digested pEGFP- N1 (Clontech), or EcoRI-digested pCMV-HA (Clontech) using the In-Fusion PCR Cloning System (Clontech). The identity and orientation of all constructs generated by PCR were confirmed by restriction digest analysis, sequencing and protein expression where indicated. Brucella in-frame deletion mutants and genetic complementation Intracellular bacterial growth was evaluated in triplicates by lysing infected cells with 0.1% Triton X-100 in H2O at the indicated times after infection and plating a series of 1:10 dilutions on TSA plates for colony-forming unit (CFU) enumeration. PLOS Pathogens | www.plospathogens.org Bacterial strains and culture Brucella abortus 2308 strains and derivatives were grown on tryptic soy agar (TSA) (Difco) for 72 h at 37uC or in tryptic soy broth (TSB) at 37uC with shaking overnight to late logarithmic phase. B. abortus strains 2308DvirB9 [14] and DsRedm-expressing 2308 (pJC44) [13] have been described previously. Brucella strains harboring pJC120, pJC121, pJC125 and pJC126 plasmids described in Table S2 were cultured in TSA or TSB supplemented August 2013 | Volume 9 | Issue 8 | e1003556 13 August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org Brucella Modulation of Secretory Trafficking to initiate bacterial-cell contact followed by incubation at 37uC for 30 min after which the cells were washed 5 times and incubated for another 30 min. At 1 h pi, cells were treated with gentamicin for 1 h to kill extracellular bacteria. At 16 h pi, cells were washed two times in DMEM and loaded with the fluorescent substrate CCF2/AM (LiveBLAzer-FRET B/G loading kit; Invitrogen) in the b-lactamase loading solution supplemented with 15 mM Probenecid (Invitrogen). Cells were incubated in the dark for 90 min at room temperature and then observed under epifluor- escence using a Carl Zeiss Axiovert 200 M fitted with a b- lactamase Blue/Aqua 41031 filterset (Chroma Technology Corp.). At least 300 cells were counted in triplicate wells to determine the percentage of cells emitting a blue fluorescence (TEM1-positive). The presented data are mean values 6 SD from three independent experiments performed in triplicate. In each exper- iment, cells were then fixed and stained for Brucella (see below) to verify that .95% cells were infected, ensuring that the CCF2/AM conversion events occurred in infected cells. fresh tissue culture medium was added. Eight hours later, media containing culture supernatant (extracellular SEAP) was removed to collect secreted SEAP and the cell associated (intracellular) SEAP was harvested by washing cells once with PBS and lysing them with equal volume of culture medium containing 0.5% Triton X-100. SEAP activities were measured in triplicate wells using SEAP reporter gene assay, chemiluminescent kit (Roche Applied Science). Data are presented as the SEAP secretion index, which is a ratio of extracelluar SEAP activity to intracellular SEAP activity normalized to values obtained from cells co-transfected with empty vector controls. Each experiment was carried out in triplicate and at least three independent experiments were performed. For SEAP secretion measurements in infected cells, HeLa cells were plated in 24-well plates at 56104 cells/well. Sixteen hours after transfection, cells were infected with the indicated Brucella strains as previously described [13]. At 24 h post infection, all wells were treated with 5 mg/ml Brefeldin A (BFA) and 10 mg/ml of cycloheximide for 30 min to reversibly block secretion and novel SEAP biosynthesis and synchronize SEAP secretion. BFA was then removed with 5 washes using DMEM and subsequent incubation in complete medium containing 10 mg/ml cycloheximide to allow reconstitution of the secretory pathway and secretion of the SEAP pool. Measurement of ER stress To evaluate ER stress, the transcriptional activity of the ER stress element (ERSE) was measured using the Cignal ERSE Reporter Luciferase Assay Kit (SA Biosciences, Qiagen, Frederick, MD). The ERSE reporter assay is a mixture of an ERSE- responsive luciferase construct and a constitutively expressed Renilla luciferase construct (40:1). Following the manufacturer’s instructions, HEK293T cells expressing HA- or GFP-tagged Brucella effectors were transfected in 96-well plates with either a ERSE reporter plasmid, a negative control, or a positive control (a mixture of constitutively expressing GFP, constitutively expressing firefly luciferase, and constitutively expressing Renilla luciferase Immunofluorescence microscopy For immunofluorescence staining, cells cultured on 12 mm glass coverslips in 24-well plates or in 96 well plates were fixed in 3% paraformaldehyde in PBS, pH 7.4 for 20 min at 37uC and processed for immunostaining as described previously [13]. Samples were observed with a Carl Zeiss MicroImaging AxioImager epifluorescence microscope for quantitative analysis or a LSM710 confocal laser scanning microscope for image acquisition (Carl Zeiss Micro Imaging, Thornwood, NY). Repre- sentative confocal micrographs of 102461024 pixels were ac- quired and assembled for presentation using Adobe Photoshop CS3. CyaA protein translocation assay y y CyaA adenylate cyclase protein translocation assays were performed as previously described [20,28] with the following modifications. CyaA fusion constructs described in Table S3 were introduced into either the wild type B. abortus 2308 strain or its isogenic DvirB9 mutant [14] by electroporation, and their expression was detected by Western blot analysis using monoclo- nal anti-CyaA 3D1 antibody (Santa Cruz Biotechnology, Inc.). Bacteria were grown in TSB supplemented with 50 mg/ml of kanamycin overnight and treated with 1 mM IPTG for 2 h before infection. J774.A1 cells were infected at an MOI of either 1000 (wild type strains) or 5000 (DvirB9 strains). These MOIs were necessary to achieve high levels of infection that allowed for detection of cAMP production. Infected cells were centrifuged at 4006g for 10 min followed by incubation at 37uC for 30 min after which the cells were washed 5 times and incubated for another 30 min. At 1 h pi, cells were treated with gentamicin for 1 h to kill extracellular bacteria. At 6 h post infection, cells were lysed and processed for cAMP levels using a colorimetric direct cAMP Enzyme Immunoassay Kit (Sigma, CA200) according to the manufacturer’s instructions. Each independent experiment was performed in triplicates and the levels of cAMP were normalized to the number of intracellular bacteria (CFUs). Data are means 6 SD from three independent experiments. VSV-G trafficking assay y HeLa cells were co-transfected with equal amounts (0.5 mg) of VSV-Gts045-GFP [63,64] and plasmids expressing HA-tagged Brucella effectors and incubated at 37uC for 4 h to allow transfection to occur. Cells were then moved to 40uC and incubated for 16–20 h at this non-permissive temperature to allow for VSV-Gts045-GFP accumulation in the ER. Cells were replenished with fresh medium containing 25 mM HEPES pH 7.4 and 10 mg/ml cycloheximide (Sigma) to stop further protein synthesis, and incubated for an additional hour at 40uC. Transfected cells were then moved to 32uC (permissive temper- ature) to allow VSV-Gts045-GFP to fold properly and traffic along the secretory pathway and then fixed and analyzed by immuno- fluorescence microscopy. In the case of Brucella infections, HeLa cells were first infected with Brucella for 24 h at 37uC, then transfected to express VSV-Gts045-GFP for 20 h at 40uC and further processed as above. Quantitative data of VSV-Gts045- GFP transport are means 6 SD from three independent experiments. TEM1 protein translocation assay p y The translocation of translational fusions between TEM1 and the Brucella candidate proteins described in Table S1 was evaluated by detecting b-lactamase activity in infected J774.A1 cells as previously described [19]. TEM1 fusions described in Table S3 were transformed in Brucella by electroporation and the expression of the fusions was verified by Western blot analysis with an anti-b- lactamase antibody (1:1000, QED Bioscience Inc, San Diego, CA). Bacteria were grown in TSB supplemented with 50 mg/ml of kanamycin overnight, then treated with 1 mM IPTG for 2 h to induce expression of fusion proteins before infection. J774.A1 cells were then infected with Brucella strains harboring the TEM1 fusions at an MOI of 1000 in presence of 0.1 mM of IPTG throughout the infection. This MOI was necessary to achieve high levels of infection within the population (.95% infected cells, data not shown) and within individual cells and detect TEM fusion translocation. Infected cells were centrifuged at 4006g for 10 min The B. abortus 2308 DbspB and DbspF in-frame deletion mutants were complemented using a derivative of the mini-Tn7 system. First, the plasmid pmTn7K was constructed by amplifying a 937 bp fragment from pBBR1MCS-2 containing the aphA3 gene and its own promoter region using primers RC7 and RC8 (Table S3) and cloning into pUC18Tmini-Tn7 [60] digested with EcoRV using the In-Fusion PCR Cloning System, in order to generate a mini-Tn7 derivative expressing kanamycin resistance. The bspB and bspF genes and their respective promoter regions were subsequently cloned into pmTn7K using SpeI and BamHI. Briefly, the 561 bp bspB gene was amplified using primers RC389 and RC390 (Table S3), and a 150 bp fragment upstream of BAB1_0710 was amplified using primers RC360 and RC388 (Table S2). The two fragments were fused by overlap PCR and cloned into pmTn7K to generate pmTn7K-bspB using the In- August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 14 Brucella Modulation of Secretory Trafficking Brucella Modulation of Secretory Trafficking SEAP activity was measured in quadruplicate at indicated times post BFA washout and independent experiments were performed at least three times. Staining of the Golgi apparatus of cells grown on glass coverslips using a mouse anti-GM130 antibody was performed to evaluate the kinetics of secretory pathway reconstitution after BFA washout in uninfected and Brucella- infected cells. PLOS Pathogens | www.plospathogens.org (TIFF) Bacterial or mammalian cell lysates were generated using cell lysis buffer 106(Cell Signaling Technology, Inc). Samples were normalized according to colony forming units (CFUs) or protein concentrations where indicated, resolved on SDS-PAGE and transferred onto Amersham Hybond-ECL nitrocellulose mem- branes (GE Healthcare). Western blots were probed using relevant primary antibodies, HRP-conjugated secondary anti- goat, mouse or rabbit antibodies, all diluted in in TBS-Tween 20 with 5% skim milk and developed using the ECL western blotting substrate (Thermo Scientific, Pierce Protein Biology Products). Signals were acquired using a Kodak Image Station 4000MM Pro and assembled for presentation using Adobe Photoshop CS3. Figure S3 Intracellular growth and survival of B. abortus strain 2308 and its isogenic DvirB9 mutant strain within J774.A cells. (A) Cells were infected with either the wild-type 2308 or the DvirB9 mutant strains at an MOI of 1000 and intracellular CFUs enumerated at the indicated time points. (B) Similar to (A), J774.A1 cells were infected with either wild-type 2308 or the DvirB9 mutant strains at an MOI of 1000 and 5000, respectively, and intracellular CFUs enumerated at various time points. Arrow indicates the timepoint at which infected cells were processed for cAMP estimation. Data are means 6 SEM from a representative experiment performed in triplicates. (TIF) Figure S4 Assessment of ER stress in cells co-expressing HA- or GFP-tagged Brucella Bsp proteins and pSEAP-2 vector in HEK293T cells. (A) Expression of HA- or GFP-tagged Brucella Bsp proteins in HEK293T cells after 24 h of transfection. Samples resolved by SDS-PAGE were normalized to total protein concentrations. Asterisks indicate full-length proteins. (B) To monitor ER stress, HEK293T cells were co-transfected with ERSE reporter and indicated plasmids. After 32 h of transfection, Dual Luciferase assay was performed, and the promoter activity values calculated as described in the Materials and Methods. Cells expressing the ERSE reporter were also treated with the ER stress inducer Tunicamycin (5 mg/ml) for 8 h and assayed similarly. Data are means 6 SD from a representative experiment performed three times in triplicates. (C) Western blot analysis of BiP and CHOP expression in HEK293T cells expressing HA- or GFP-tagged Bsp fusion proteins. Tunica- mycin and HA-VceC were used as a positive control while single transfections with pSEAP-2 or co-transfections with empty vectors were used as negative controls. At 32 h post-transfection, cell lysates were generated and quantified using a BCA protein Assay Kit (Pierce). Brucella Modulation of Secretory Trafficking constructs (40:1:1)) for 24 h according to the manufacturer’s instructions. The ER stress inducer Tunicamycin (5 mg/ml) was used as a positive control. At 32 h post-transfection, cells were washed with Dulbecco’s PBS and harvested in 100 ml of Passive Lysis Buffer (Promega) and used to measure luciferase activity. The luciferase assay was developed with the Dual-Luciferase Reporter Assay System (Promega) according to the manufacturer’s instructions. Bioluminescence was detected using a Tecan Infinite M1000 luminometer (Tecan Group LTD). Data was processed by dividing the luminescence intensity of firefly luciferase by that of Renilla luciferase, to calculate the ‘‘relative luciferase activity’’ as the luminescence ratio of the test plasmid to that of the reporter- control. Experiments were performed in triplicates and repeated at least three times and the standard deviation is indicated. Expression levels of BiP and CHOP were determined by Western blot analysis using either an anti-BiP monoclonal antibody or a mouse anti-CHOP monoclonal antibody (1:1,000). The mem- branes were stripped and reprobed using an anti-Actin antibody (1:25,000) to verify equal loading. constructs (40:1:1)) for 24 h according to the manufacturer’s instructions. The ER stress inducer Tunicamycin (5 mg/ml) was used as a positive control. At 32 h post-transfection, cells were washed with Dulbecco’s PBS and harvested in 100 ml of Passive Lysis Buffer (Promega) and used to measure luciferase activity. The luciferase assay was developed with the Dual-Luciferase Reporter Assay System (Promega) according to the manufacturer’s instructions. Bioluminescence was detected using a Tecan Infinite M1000 luminometer (Tecan Group LTD). Data was processed by dividing the luminescence intensity of firefly luciferase by that of Renilla luciferase, to calculate the ‘‘relative luciferase activity’’ as the luminescence ratio of the test plasmid to that of the reporter- control. Experiments were performed in triplicates and repeated at least three times and the standard deviation is indicated. Expression levels of BiP and CHOP were determined by Western blot analysis using either an anti-BiP monoclonal antibody or a mouse anti-CHOP monoclonal antibody (1:1,000). The mem- branes were stripped and reprobed using an anti-Actin antibody (1:25,000) to verify equal loading. Supporting Information Figure S1 Representative fluorescence micrographs of J774A.1 cells infected with B. abortus expressing N-terminally tagged (TEM1-X) TEM1 fusion proteins and processed at 16 h post- infection for translocation of b-lactamase. (TIFF) Figure S1 Representative fluorescence micrographs of J774A.1 cells infected with B. abortus expressing N-terminally tagged (TEM1-X) TEM1 fusion proteins and processed at 16 h post- infection for translocation of b-lactamase. (TIFF) Figure S2 Representative fluorescence micrographs of J774A.1 cells infected with B. abortus expressing C-terminally tagged (X- TEM1) TEM1 fusion proteins and processed at 16 h post- infection for translocation of b-lactamase. (TIFF) (TIFF) Equal amounts of samples were resolved by SDS-PAGE and immunoblotted with rabbit anti-BiP, mouse anti-CHOP and rabbit anti-Actin (as loading control) antibodies. (TIF) Statistical analysis Statistical analysis was performed using the GraphPad Prism software. All results are presented as means 6 SD from at least three independent experiments, unless otherwise stated. Statistical significance was determined by either an unpaired, two-tailed Student t test or in the case of groups, a one-way ANOVA followed by the Tukey’s test. A P value,0.05 indicates a statistically significant difference. SEAP secretion assay SEAP secretion assays were performed as previously reported [62] with some modifications. Briefly, HEK293T cells were seeded in 24-well plates to ,60% confluency and co-transfected with plasmids expressing the indicated Brucella secreted proteins (300 ng DNA) and the secreted embryonic alkaline phosphatase (SEAP) (200 ng DNA). At 16 h post transfection, cells were washed and August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 15 Brucella Modulation of Secretory Trafficking References 1. Hilbi H, Haas A (2012) Secretive bacterial pathogens and the secretory pathway. Traffic 13: 1187–1197. 13. Starr T, Ng TW, Wehrly TD, Knodler LA, Celli J (2008) Brucella intracellular replication requires trafficking through the late endosomal/lysosomal compart- ment. Traffic 9: 678–694. 2. Hirschberg K, Miller CM, Ellenberg J, Presley JF, Siggia ED, et al. (1998) Kinetic analysis of secretory protein traffic and characterization of golgi to plasma membrane transport intermediates in living cells. J Cell Biol 143: 1485– 1503. 14. Celli J, Salcedo SP, Gorvel JP (2005) Brucella coopts the small GTPase Sar1 for intracellular replication. Proc Natl Acad Sci U S A 102: 1673–1678. 15. Fugier E, Salcedo SP, de Chastellier C, Pophillat M, Muller A, et al. (2009) The glyceraldehyde-3-phosphate dehydrogenase and the small GTPase Rab 2 are crucial for Brucella replication. PLoS Pathog 5: e1000487. 3. Appenzeller-Herzog C, Hauri HP (2006) The ER-Golgi intermediate compart- ment (ERGIC): in search of its identity and function. J Cell Sci 119: 2173–2183. 4. Barlowe C (2000) Traffic COPs of the early secretory pathway. Traffic 1: 371– 377. 16. Comerci DJ, Martı´nez-Lorenzo MJ, Sieira R, Gorvel JP, Ugalde RA (2001) Essential role of the VirB machinery in the maturation of the Brucella abortus- containing vacuole. Cell Microbiol 3: 159–168. 5. Lee MC, Miller EA, Goldberg J, Orci L, Schekman R (2004) Bi-directional protein transport between the ER and Golgi. Annu Rev Cell Dev Biol 20: 87–123. 17. Hong PC, Tsolis RM, Ficht TA (2000) Identification of genes required for chronic persistence of Brucella abortus in mice. Infect Immun 68: 4102– 4107. 6. Pappas G (2010) The changing Brucella ecology: novel reservoirs, new threats. Int J Antimicrob Agents 36 Suppl 1: S8–11. 7. Archambaud C, Salcedo SP, Lelouard H, Devilard E, de Bovis B, et al. (2010) Contrasting roles of macrophages and dendritic cells in controlling initial pulmonary Brucella infection. Eur J Immunol 40: 3458–3471. 18. Sieira R, Comerci DJ, Sa´nchez DO, Ugalde RA (2000) A homologue of an operon required for DNA transfer in Agrobacterium is required in Brucella abortus for virulence and intracellular multiplication. J Bacteriol 182: 4849– 4855. 8. Celli J, de Chastellier C, Franchini DM, Pizarro-Cerda J, Moreno E, et al. (2003) Brucella evades macrophage killing via VirB-dependent sustained interactions with the endoplasmic reticulum. J Exp Med 198: 545–556. 19. Acknowledgments We are grateful to Jennifer Lippincott-Schwartz, Axel Cloeckaert, Eric Oswald, Marty Roop and Rene´e Tsolis for reagents, to Rachel LaCasse for assistance with mouse infections, and to Rene´e Tsolis for critical reading of the manuscript. Figure S9 Effect of VirB T4SS deficiency on infection and persistence of Brucella in mice. Groups of five 6–8 weeks old BALB/c female mice were infected intraperitoneally (i.p.) with approximately 56104 CFUs of B. abortus strain 2308 and its isogenic DvirB9 mutant strain. On day 3, 7 and 42 mice were euthanized, and splenomegaly (A) and bacterial loads in spleens (B) and livers (C) were examined. Figure S9 Effect of VirB T4SS deficiency on infection and persistence of Brucella in mice. Groups of five 6–8 weeks old BALB/c female mice were infected intraperitoneally (i.p.) with approximately 56104 CFUs of B. abortus strain 2308 and its isogenic DvirB9 mutant strain. On day 3, 7 and 42 mice were euthanized, and splenomegaly (A) and bacterial loads in spleens (B) and livers (C) were examined. Brucella Modulation of Secretory Trafficking Insets in micrographs of GFP-BspA-expressing cells show accumulation of GFP-BspA in ERGIC structures (arrows) in addition to the ER. Scale bars, 10, 2 mm. (TIF) Insets in micrographs of GFP-BspA-expressing cells show accumulation of GFP-BspA in ERGIC structures (arrows) in addition to the ER. Scale bars, 10, 2 mm. (TIF) Figure S10 Effect of single or combined deletions of bspA, bspB and bspF on infection and persistence of Brucella in mice. Groups of five 6–8 weeks old BALB/c female mice were infected intraperitoneally (i.p.) with approximately 16105 CFUs of B. abortus strain 2308 and its isogenic mutant strains. On day 3, 7 and 42 mice were euthanized, and splenomegaly (A and B) and bacterial loads in spleens (C and D) and livers (E and F) were examined. Asterisks indicate a statistically significant difference (P,0.05) as determined by a one-way ANOVA analysis followed by the Tukey’s test. (TIF) Figure S6 Confirmation of in-frame deletion of bsp genes in B. abortus strain 2308. (A and B) Chromosomal loci flanking the deleted bsp genes were amplified by PCR using primers described in Table S3 and resolved by electrophoresis. (TIF) Figure S7 Brucella infection does not affect the kinetics of Golgi re- assembly after BFA washout. HeLa cells either transfected with pSEAP-2 alone or infected with B. abortus strain 2308 or infected and transfected with pSEAP-2 were incubated with 5 mg/ml Brefeldin A (BFA) for 30 min, and then washed extensively. Cells were then fixed and immunostained for the Golgi apparatus using anti-GM130 antibodies, and changes in GM130 localization were monitored at the indicated times after BFA washout. Scale bar, 10 mm. (TIFF) Table S1 List of predicted B. abortus proteins of unknown functions fulfilling search criteria for putative VirB T4SS effectors. (DOCX) Table S2 List and features of B. abortus putative VirB T4SS effector proteins. (DOCX) Table S3 Primers and plasmids used in this study. (DOCX) Figure S8 Representative expression of 36FLAG-tagged Bsp proteins in B. abortus 2308. Whole cell lysates from strains carrying derivatives of either pJC123 or pJC124 expressing 36FLAG- tagged BspA, BspB, BspF, BspD and BspE were resolved by SDS- PAGE and analyzed by Western blotting using either an anti- FLAG antibody to detect Bsp protein expression, or a anti-Brucella p17 protein to verify equal loading of samples. Asterisks indicate full length proteins. Table S4 Primers used to construct and confirm Brucella in- frame deletion mutants. (DOCX) Author Contributions Conceived and designed the experiments: SM RC TWN JJK LAK JC. Performed the experiments: SM RC TWN JJK TDW JC. Analyzed the data: SM RC JJK SFP JC. Contributed reagents/materials/analysis tools: RC TWN JJK SFP. Wrote the paper: SM JC. Conceived and designed the experiments: SM RC TWN JJK LAK JC. Performed the experiments: SM RC TWN JJK TDW JC. Analyzed the data: SM RC JJK SFP JC. Contributed reagents/materials/analysis tools: RC TWN JJK SFP. Wrote the paper: SM JC. Mice infection Six to eight weeks old BALB/c female mice purchased from Jackson Labs (Bar Harbor, ME) were acclimated for a minimum of 1 week prior to infection and used in experimental groups of 5 animals. Mice were infected intraperitoneally (i.p.) with a total dose of approximately 105 CFUs of B. abortus strain wild type strain 2308 or its isogenic bsp mutants suspended in 100 ml of PBS. Infectious doses were confirmed by plating serial dilutions of inocula on TSA plates. Groups of five mice per strain were euthanized at day 3, 7 and 42 post inoculation by isoflurane inhalation overdose followed by cervical dislocation. Spleens and livers were collected aseptically. Spleens were weighed to evaluate splenomegaly and bacteria were enumerated from livers and spleens through homogenization in PBS, plating of serial 10-fold dilutions on TSA plates and growth at 37uC for three days. All animal rearing, handling and experimental methods were conducted under protocols (#2010-043 and #2012-031) ap- proved by the RML Institutional Animal Care and Use Committee (IACUC; USDA Permit Number: 51-F-0016, PHS number: A4149-01) in strict accordance with the recommenda- tions of the Guide for the Care and Use of Laboratory Animals of the National Institutes of Health. All infections were performed in an Animal Biosafety Level 3 (ABSL3) facility according to protocols reviewed and approved by the Rocky Mountain Laboratories Institutional Biosafety Committee and the RML Institutional Animal Care and Use Committee (IACUC), in compliance with the CDC Division of Select Agents and Toxins regulations. Figure S5 Ectopic expression of BspA, BspB and BspF do not alter the morphology of the secretory compartment. HeLa cells expressing GFP-BspA, HA-BspB and HA-BspF were transfected for 12 h, fixed and immunostained using anti-HA, anti-COPII, anti-ERGIC-53 or anti GM130 antibodies and imaged by confocal microscopy. Images are representative micrographs. Figure S5 Ectopic expression of BspA, BspB and BspF do not alter the morphology of the secretory compartment. HeLa cells expressing GFP-BspA, HA-BspB and HA-BspF were transfected for 12 h, fixed and immunostained using anti-HA, anti-COPII, anti-ERGIC-53 or anti GM130 antibodies and imaged by confocal microscopy. Images are representative micrographs. August 2013 | Volume 9 | Issue 8 | e1003556 PLOS Pathogens | www.plospathogens.org 16 Brucella Modulation of Secretory Trafficking Sory MP, Cornelis GR (1994) Translocation of a hybrid YopE-adenylate cyclase from Yersinia enterocolitica into HeLa cells. Mol Microbiol 14: 583–594. g 51. 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Early Response to the Plant Toxin Stenodactylin in Acute Myeloid Leukemia Cells Involves Inflammatory and Apoptotic Signaling
Frontiers in pharmacology
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Keywords: acute myeloid leukemia, apoptosis, plant toxins, ribosome-inactivating protein, stenodactylin, toxic lectins, type 2 ribosome inactivating protein ORIGINAL RESEARCH published: 08 May 2020 doi: 10.3389/fphar.2020.00630 Edited by: Lina Ghibelli, University of Rome Tor Vergata, Italy Edited by: Lina Ghibelli, University of Rome Tor Vergata, Italy Daniele Mercatelli 1,2*†, Massimo Bortolotti 1†, Vibeke Andresen 3,4, Andre´ Sulen 3, Letizia Polito 1*, Bjørn Tore Gjertsen 3,4‡ and Andrea Bolognesi 1‡ Reviewed by: Yasuhiro Ozeki, Yokohama City University, Japan Antimo Di Maro, University of Campania Luigi Vanvitelli, Italy Reviewed by: Yasuhiro Ozeki, Yokohama City University, Japan Antimo Di Maro, University of Campania Luigi Vanvitelli, Italy 1 Department of Experimental, Diagnostic and Specialty Medicine-DIMES, Alma Mater Studiorum, University of Bologna, Bologna, Italy, 2 Department of Pharmacy and Biotechnology-FaBiT, Alma Mater Studiorum, University of Bologna, Bologna, Italy, 3 Centre of Cancer Biomarkers CCBIO, Department of Clinical Science, University of Bergen, Bergen, Norway, 4 Hematology Section, Department of Internal Medicine, Haukeland University Hospital, Bergen, Norway Stenodactylin, a highly toxic type 2 ribosome-inactivating protein purified from the caudex of Adenia stenodactyla Harms, is a potential anticancer drug candidate. Previous studies demonstrated that stenodactylin induces apoptosis and necroptosis in treated cells, involving the production of reactive oxygen species. We analyzed the effect of stenodactylin on Raji and Ramos (Human Burkitt’s lymphoma cells) and MOLM-13 (acute myeloid leukemia cells). Moreover, we focused on the early events in MOLM-13 cells that characterize the cellular response to the toxin by whole-genome microarray analysis of gene expression. Treatment with stenodactylin induced the depurination of 28S rRNA within 4 h and increased the phosphorylation of p38 and JNK. A time- dependent activation of caspase 1, 2, 8, 9, 3/7 was also observed. Genome-wide gene expression microarray analysis revealed early changes in the expression of genes involved in the regulation of cell death, inflammation and stress response. After 4 h, a significant increase of transcript level was detectable for ATF3, BTG2, DUSP1, EGR1, and JUN. Increased upstream JUN signaling was also confirmed at protein level. The early response to stenodactylin treatment involves inflammatory and apoptotic signaling compatible with the activation of multiple cell death pathways. Because of the above described properties toward acute myeloid leukemia cells, stenodactylin may be a promising candidate for the design of new immunoconjugates for experimental cancer treatment. *Correspondence: Daniele Mercatelli daniele.mercatelli2@unibo.it Letizia Polito letizia.polito@unibo.it †These authors share first authorship ‡These authors share last authorship *Correspondence: Daniele Mercatelli daniele.mercatelli2@unibo.it Letizia Polito letizia.polito@unibo.it †These authors share first authorship ‡These authors share last authorship Specialty section: This article was submitted to Experimental Pharmacology and Drug Discovery, a section of the journal Frontiers in Pharmacology Received: 06 March 2020 Accepted: 21 April 2020 Published: 08 May 2020 Specialty section: This article was submitted to Experimental Pharmacology and Drug Discovery, a section of the journal Frontiers in Pharmacology ORIGINAL RESEARCH published: 08 May 2020 doi: 10.3389/fphar.2020.00630 INTRODUCTION Ribosome-inactivating proteins (RIPs) are a family of cytotoxic RNA N-glycosylases from plants able to hydrolyze the glycosidic bond of a specific adenine in the eukaryotic ribosomal 28S RNA causing the irreversible translational arrest and consequent cell death (Bolognesi et al., 2016). RIPs are largely distributed in the plant kingdom and many plants producing RIPs have been used for centuries in traditional medicine (Polito et al., 2016a; Bortolotti et al., 2019). RIPs are monomeric or dimeric proteins, classified as type 1 or type 2 depending on the absence or presence of a lectin B-chain, respectively (Bolognesi et al., 2016). Both type 1 and type 2 RIPs possess an A-chain with enzymatic activity. The presence of the B-chain in type 2 RIPs facilitates the binding to the cell surface and mediates the entry of the whole toxin into the cell, making type 2 RIPs more cytotoxic than type 1 (Bolognesi et al., 2016). Besides the well-known activity on 28S rRNA, some RIPs show activity on other nucleotide substrates, such as mRNA, tRNA, DNA, and poly (A). It was then proposed to classify them as polynucleotide: adenosine glycosylases (Barbieri et al., 1997; Battelli et al., 1997; Bolognesi et al., 2002). RIPs have been widely investigated for their antineoplastic potential and frequently employed as toxic payload to produce a variety of immunotoxins (ITs) after conjugation to a carrier molecule, specifically designed to selectively eliminate a cell population (Polito et al., 2013; Gilabert-Oriol et al., 2014; Akkouh et al., 2015). RIP-containing ITs have been investigated in several pre-clinical models and clinical trials, often achieving promising results, especially in the treatment of hematological neoplasms (Bolognesi et al., 2005; Polito et al., 2011; Polito et al., 2016b; Bortolotti et al., 2018). The encouraging success rate of IT-based therapy in clinical trials, particularly in the leukemia field, has driven efforts toward the investigation of enhanced versions of these anticancer drugs. However, the efficacy of ITs as single agents remains limited, and there is a need to integrate more strategies, as combination therapy, in future studies (Wayne et al., 2014; Weidle et al., 2014; Tyagi et al., 2015; Madhumathi et al., 2016; Giansanti et al., 2018; Valent et al., 2019). We have previously shown that stenodactylin induces apoptosis and necroptosis in a neuroblastoma cell line. Citation: Mercatelli D, Bortolotti M, Andresen V, Sulen A, Polito L, Gjertsen BT and Bolognesi A (2020) Early Response to the Plant Toxin Stenodactylin in Acute Myeloid Leukemia Cells Involves Inflammatory and Apoptotic Signaling. Front. Pharmacol. 11:630. doi: 10.3389/fphar.2020.00630 May 2020 | Volume 11 | Article 630 1 Frontiers in Pharmacology | www.frontiersin.org Stenodactylin-Induced Cell Death Mercatelli et al. The knowledge of the mechanism of action of the toxic payload allows a better design of ITs to achieve specificity in targeting and more potency in destroying cancer cells. Furthermore, it allows predicting synergistic toxic effects in combination with conventional or experimental targeted therapies to develop more effective combination regimens, or to design the more appropriate carrier for delivery (Bornstein, 2015; Polito et al., 2017). Despite several studies on RIPs cytotoxicity, a complete comprehension of the mechanism underlying induction of cell death is still missing. It has been observed in several in vitro and in vivo models that RIPs, both type 1 and 2, induce apoptosis in intoxicated cells (Narayanan et al., 2005). In addition to apoptosis, increasing evidences suggest that these plant toxins elicit alternative molecular mechanisms that trigger different cell death programs (Polito et al., 2009; Bora et al., 2010; Pervaiz et al., 2016; Polito et al., 2016c). Besides protein synthesis inhibition, RIPs and other ribotoxins have been shown to activate a MAPK-driven proinflammatory and proapoptotic response, termed the ribotoxic stress response (Iordanov et al., 1997; Jandhyala et al., 2008; Jetzt et al., 2009; Zhou et al., 2014) and inflammasome activation (Lindauer et al., 2010) in different cellular models. In some cases, another stress response has been shown to contribute in different manners to inflammation and proapoptotic signaling during RIP intoxication, i.e. the unfolded protein response (UPR) following endoplasmic reticulum (ER)–stress (Lee et al., 2008; Horrix et al., 2011). It has also been suggested that some RIPs could produce a direct damage to nuclear DNA (Bolognesi et al., 2012). However, all these features seem to be somewhat RIP and cellular-context specific. INTRODUCTION It has been reported that the production of intracellular ROS is a critical feature of stenodactylin-induced cell death in neuroblastoma cells (Polito et al., 2016c), similar to what observed for the type 2 RIP abrin in HeLa, 293 T (Shih et al., 2001) and Jurkat cells (Saxena et al., 2014). In this context, the primary aim of this study was to investigate the early response to stenodactylin in hematological cells, focusing on gene expression and signaling changes occurring soon after exposure to the toxin, in order to ameliorate our understanding of molecular mechanisms underlying susceptibility to stenodactylin-induced apoptosis. Since very few analyses on how RIPs globally affect gene expression have been made so far, we investigated stenodactylin-induced early gene expression changes by a whole-genome gene expression profile analysis approach using acute myeloid leukemia cells MOLM-13 as experimental model. Among type 2 RIPs, the most known being ricin (Polito et al., 2019), stenodactylin is a highly toxic lectin purified from the caudex of Adenia stenodactyla Harms (Pelosi et al., 2005; Stirpe et al., 2007). Due to its elevated cytotoxicity, especially toward nervous cells, it is considered to be among the most cytotoxic RIPs discovered so far, and an attractive molecule for the production of ITs (Monti et al., 2007; Polito et al., 2016c). Structurally, stenodactylin consists of two chains linked by a disulfide bond, where the A-chain shows the enzymatic activity toward the 28S rRNA, and the B-chain binds the glycan structures on cell surface (Tosi et al., 2010). The separated A- chain of stenodactylin was shown to retain the ability to inhibit in vitro protein synthesis, an important feature that makes this protein an attractive candidate for targeted drug delivery. Stenodactylin has been also shown to possess a high enzymatic activity toward ribosomes and herring sperm DNA (hsDNA) substrates, but not on tRNA nor on poly(A) (Stirpe et al., 2007). Frontiers in Pharmacology | www.frontiersin.org Reagents and Antibodies g Stenodactylin was purified from the caudex of Adenia stenodactyla Harms as previously described (Stirpe et al., 2007); the purity grade was > 99%. CellTiter 96® Aqueous Non-Radioactive Cell Proliferation Assay was obtained from Promega Corporation (Madison, WI, USA). PhosSTOP - Phosphatase Inhibitor and complete ULTRA protease inhibitor cocktail were purchased from Roche Applied Science (Penzberg, Germany). The primary antibodies against phospho-SAPK/JNK (Thr183/Tyr185; 81E11), p38, phospho-p38 (Thr180/Tyr182; 12F8), p44/42 MAPK (Erk1/2), COX IV, and the secondary horseradish peroxidase-conjugated anti-mouse and anti-rabbit IgG were purchased from Cell Signaling Technology, Inc. (Danvers, MA, USA). The primary antibody against caspase 3 and p-ERK 1/2 were purchased from Santa Cruz Biotechnology, Inc (Santa Cruz, CA, USA). Antibodies were diluted following manufacturer’s instructions. Phospho flow cytometry was performed with Alexa Fluor® 647 conjugate mouse antibodies against phospho-p38 (Thr180/Tyr182; clone 36/p38), phospho- JNK (Thr183/Tyr185; clone N9-66), phospho-ERK1/2 (Thr202/ Tyr204; clone 20A), and IgG isotype k control (clone MOPC-21) purchased from BD transduction Laboratories (Heidelberg, Germany) (Mercatelli, 2015). Cell Lines Human Burkitt’s lymphoma (Raji and Ramos) and human acute monocytic leukemia (AML) (MOLM-13) cells (American Type Culture Collection - ATCC), free of pathogenic contaminations, were maintained in RPMI 1640 medium (Sigma-Aldrich Co., St Louis, MO, USA) containing 10% heat-inactivated fetal bovine serum (FBS), 2 mM L-glutamine, 100 U/ml penicillin and 100 May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 2 Stenodactylin-Induced Cell Death Mercatelli et al. µg/ml streptomycin (Sigma-Aldrich), hereafter named complete medium. All the cultures were kept under standard incubation conditions (humidified atmosphere, 5% CO2, 37°C) and passed from two to three times a week to keep them in logarithmic growth phase. concentrations with additional 100 µl of complete medium. After the indicated times, 20 µl/well of MTS were added to each well and incubated at 37°C for 1 h and the absorbance was measured at 492 nm. All assays were performed in triplicate and repeated in at least three independent experiments. Cell survival rate was expressed as the percentage of untreated controls and half-maximal effective concentration (EC50) of stenodactylin was calculated by linear regression. cDNA Synthesis and qRT-PCR for Apurinic Sites p For detection of apurinic sites in the 28S rRNA, the quantitative Real-Time PCR (qRT-PCR) method described by Melchior and Tolleson (Melchior and Tolleson, 2010) was applied with some modifications. Briefly, 800 ng of total RNA were reverse transcribed with the iScript cDNA Synthesis kit (Bio-Rad) following the manufacturer’s instructions, applying 4 ml of 5× iScript Mix, 1 ml of iScript reverse, the sample and Nuclease free water to a total volume of 20 ml. The reaction mix was incubated for 5 min 25°C, followed by 30 min incubation at 42°C, then by 5 min at 85°C. The cDNA was then stored at −20°C. Three ml of a 1:125 dilution of the resulting cDNA were used for qRT-PCR, which was performed in 20 ml of reaction mixture consisting of 10 ml of 2× EvaGreen Supermix (Bio-Rad), 1 ml of each primer (final concentration of 0.4 mM), 3 ml of template and 6 ml of Nuclease free water. A sequence of the 28S rRNA near to the apurinic site served as internal control. The following primers w e r e u s e d : 2 8 S r R N A c o n t r o l , 5 ′ - G A T G T C G GCTCTTCCTATCATTGT-3′ (forward); 28S rRNA control, 5′-CCAGCTCACGTTCCCTATTAGTG-3′ (reverse); 28S rRNA depurination, 5′- TGCCATGGTAATCCTGCTCAGTA- 3′ (forward); 28S rRNA depurination, 5′- TCTGAACCTGCGG TTCCACA-3′ (reverse). qRT-PCR was performed using the CFX96 Bio-Rad Real-Time System and the following cycling program: enzyme activation for 30 s at 98°C, 44 cycles of denaturation for 3 s at 98°C and annealing/extension for 8 s at 60°C, and melt curve for 5 s/step at 65°C–95°C (in 0.5°C increments). The relative gene expression changes (given as fold changes compared to untreated controls, which were set to 1) were calculated with BioRad CFX Manager software using the DDCt method. The data represent mean ± SD of three independent experiments, each performed in duplicate (Mercatelli, 2015). Cell Protein Synthesis Inhibition Assay y y The inhibitory activity of stenodactylin was evaluated as inhibition of L-[4,5-3H] leucine incorporation. Cells (4 × 104/ well) were seeded in 96-well microtiter plates in 100 µl of complete medium in the presence or absence (untreated controls) of 100 µl of stenodactylin added to final concentration ranging from 10-9 to 10-13 M. At different time points, 1µCi of L-[4,5-3H] leucine was added to each well. After further 6 h, cells were harvested with an automatic cell harvester (Skatron Instruments, Lier, Norway) onto glass-fiber diskettes. Cell-incorporated radioactivity was determined by a b-counter with ReadyGel scintillation liquid (Beckman Instrument, Fullerton, USA) containing 0.7% acetic acid. Cell protein synthesis inhibitory rate was expressed as the percentage of untreated controls, and concentrations inhibiting 50% of protein synthesis (IC50) of stenodactylin were calculated (Mercatelli, 2015). Cell and Nuclear Morphology Cells (3 × 104/well) were seeded in 24-well plates in 500 µl of complete medium in the presence or absence (untreated controls) of 500 µl of stenodactylin at final concentration of 10-9 M. After 48 h, the morphological analysis was conducted through phase contrast microscopy directly in 24-well plates using a digital camera from Motic Microscopes, (Xiamen, Fujian, China). Immunoblotting The samples for immunoblotting analysis were prepared as follow: cells (3 × 106 MOLM-13 cells) were pelleted, washed twice in 0.9% NaCl and lysed in a lysis buffer containing 5 mM TrisHCl (pH 7.5), 1.5 mM KCl, 2.5 mM MgCl2, 1% NP40, 5 mM NaF, 1 mM sodium orthovanadate, cOmplete ULTRA protease inhibitor cocktail, PhosSTOP–Phosphatase Inhibitor Cocktail Tablets (Roche) (50–100 ml lysis buffer per sample). The samples were then transferred into 1.5 ml tubes, kept for 45 min on ice and homogenized by pipetting before centrifugation at 14,000 × g for 20 min. Protein concentration was determined using the Bradford protein assay, following the manufacturer’s instructions (Bio-Rad). The protein samples were added to SDS loading buffer (final: 1% SDS, 10% Glycerol, 12 mM Tris-HCl pH 6.8, 50 mM DTT and 0.1% Bromophenol Blue) and boiled for 10 min. SDS-polyacrylamide gels (4%–20%) were loaded with 30 mg protein per well. After electrophoresis (150 V, 1 h) and electroblotting (100 V, o/n 4°C), the PVDF-membranes (HybondP, Amersham Biosciences, Oslo, Norway) were blocked for 1 h in I-Block Blocking agent (Applied Biosystems, Foster City, CA, USA). Primary antibodies were incubated for 1– 2 h at room temperature or overnight at 4°C followed by 1 h washing in TBS-Tween 0.1%. Secondary antibodies conjugated to horseradish peroxidase were diluted in 4%–5% fat-free dry milk in TBS-Tween 0.1% and incubated 1 h at room temperature. After washing for 1 h with TBS-Tween 0.1%, the membranes were developed using Supersignal® West Pico or West Femto Chemiluminiscence Substrate (Pierce Caspase 1 activation was evaluated using the Caspase 1 Colorimetric Assay Kit (Biovision, Milpitas, CA, USA). Cells (1 × 106/2 ml complete medium) were seeded in 25 cm2-flasks and treated with 1 ml stenodactylin at final concentration of 10-9 M. After 2, 4, and 6 h incubation, cells were centrifuged at 400 × g for 5 min and resuspended in 50 µl of chilled Cell Lysis Buffer, provided with the kit, and incubated on ice for 10 min. After a centrifugation for 1 min at 10,000 × g, supernatants were transferred to fresh tubes, kept on ice and protein concentration of each sample was determined through Bradford method. Afterwards, each sample was added of 50 µl of Cell Lysis Buffer, 50 µl of 2× Reaction Buffer (containing 10 mM DTT) and 5 µl of the YVAD-pNA caspase 1 substrate (200 µM final concentration). Immunoblotting After incubation at 37°C for 2 h, samples were transferred in a 96-well plate and the absorbance at 405 nm was measured using the microtiter plate reader Multiskan EX (Thermo Labsystems). Cell Viability Assay Cell Viability Assay Cell viability was assessed by 3-(4,5-dimethylthiazol-2-yl)-5-(3- carboxymethoxy-phenyl)-2-(4-sulfophenyl)-2H-tetrazolium, inner salt (MTS) reduction assay, using the CellTiter 96® Aqueous Non-Radioactive Cell Proliferation Assay. Briefly, cells (4 × 104/well) were seeded in 96-well microtiter plates (BD Falcon, Franklin Lakes, NJ, USA) in 100 µl complete medium. Cells were then incubated in the absence (untreated controls) or in the presence of stenodactylin, at the desired The nuclear morphology was evaluated using fluorescence microscopy. Briefly, cells (3 × 104/well) were seeded in 24-well plates in 500 µl of complete medium in the presence or absence (untreated controls) of 500 µl of stenodactylin at final concentration of 10-9 M. Subsequently, the cells were collected from each well, centrifuged at 500 × g for 5 min, washed once May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 3 Stenodactylin-Induced Cell Death Mercatelli et al. with PBS and fixed with methanol:acetic acid 3:1 for 30 min at room temperature. After a further wash with PBS, cells were pelleted, loaded onto glass slide and incubated with 7 µl DAPI (4´,6-diamidino-2-phenylindole)/antifade and visualized using a Nikon Eclipse E600W fluorescence microscope (Nikon, Melville, NY, USA) (Mercatelli, 2015). stained with Annexin V-fluorescein Isothiocyanate (FITC) and propidium iodide (PI), using the Apoptest™kit from Nexins Research (Hoeven, the Netherlands) according to the manufacturer’s protocol (Bredholt et al., 2013). Data were collected on a Guava easyCyte™Flow Cytometer (Merck Millipore, Merck KGaA, Darmstadt, Germany) and analyzed with FlowJo 7.2.5 software (TreeStar Inc., Ashland, OR, USA). Caspase Activity Assay The caspase 2, 3/7, 8, and 9 activities were assessed by the luminescent assays Caspase-Glo™2 Caspase-Glo™3/7, Caspase- Glo™8, and Caspase-Glo™9 (Promega). Cells (1 × 104/well) were seeded in 96-well white-walled microtiter plates in 50 µl RPMI complete medium containing 10-9 M stenodactylin. After incubation for the indicated time, Caspase-Glo™reagents (50 ml/ well) were added and the luminescence was measured by Fluoroskan Ascent FL (Labsystem, Helsinki, Finland) following manufacturer’s instructions (Mercatelli, 2015). Intracellular Staining of Proteins and Phospho Flow Cytometric Analyses Phospho Flow Cytometric Analyses MOLM-13 cells (1 × 106) were fixed in 1.6% paraformaldehyde (PFA), permeabilized with 100% methanol and stored at −80°C until flow cytometry analysis. PFA fixed, methanol- permeabilized cells were rehydrated by addition of 2 ml phosphate buffered saline (PBS) pH 7.4, resuspended by vortexing, and then centrifuged. The cell pellet was washed once with 2 ml PBS + 1% bovine serum albumin (BSA) (Sigma-Aldrich), resuspended in 50 ml PBS + 1% BSA, and then split evenly into new cytometry tubes for staining. Then, 50 ml of an antibody mix containing 0.13 mg primary Alexa Fluor® 647 conjugated phospho-specific antibody per sample was added to each tube of cells and staining proceeded for 20 min at room temperature. Stained cells were washed by adding 2 ml PBS + 1% BSA and resuspended in 200 ml PBS. Data were collected on a FACS Fortessa (BD) and analyzed with FlowJo software (Mercatelli, 2015). Median fluorescence intensity (MFI) values were used as basis for data analyses. The mitochondrial Dym was examined after staining MOLM-13 cells with the cationic, lipophilic dye JC-1 contained in the Mitochondria Staining Kit (Sigma-Aldrich), which upon aggregation exhibits a fluorescence emission shift from 530 nm (green monomer) to 590 nm (red “J-aggregates”=healthy cells). The cells (1 × 105/1 ml) were seeded in 6-well plates and treated with 1 ml of stenodactylin 10-9 M for 24 h. Control samples were carried out adding 1 ml of complete medium. Subsequently, cells were stained with 500 µl of JC-1 dye (1:100 in RPMI) and incubated at room temperature in the dark for 10 min, as previously described (Polito et al., 2016c). The cells were washed three times and observed under the Nikon Eclipse E600W fluorescence microscope. Isolation of Total RNA MOLM-13 cells (4 × 106) were seeded in 75 cm2 flasks and then stenodactylin (10-9 M) was added to a final volume of 20 ml. After different incubation times, ranging from 2 to 6 h, cells were harvested and collected by centrifugation at 500×g for 5 min at room temperature. Cell pellets were frozen at −80°C, then total RNA was extracted using the RNeasy Plus Minikit (Qiagen, Germany), following manufacturer’s instructions. Amount and quality of the extracted RNA were measured by the NanoDrop® ND-1000 spectrophotometer (NanoDrop Technologies, USA) and the Agilent 2100 Bioanalyzer (Agilent Technologies, USA). For microarray experiments, six biological replicates were collected at each time point (Mercatelli, 2015). cDNA Synthesis and qRT-PCR cDNA Synthesis and qRT PCR cDNAs were synthesized using the iScript cDNA Synthesis Kit (Bio-Rad) running 500 ng RNA in a total reaction volume of 20 ml. Real Time PCR was performed using primePCR custom assays containing primers of genes of interest (Bio-Rad). Human GAPDH and b-Actin were used as endogenous controls. SsoAdvanced™Universal SYBR® Green Supermix (Bio-Rad) was run with 3 ml cDNA in 20 ml total reaction volumes. The reaction was performed in a 96-well white plate on a CFX96 Real Time PCR system (Bio-Rad) and the following cycling program: enzyme activation for 30 s at 98°C, 40 cycles of denaturation for 5 s at 95 °C and annealing/extension for 20 s at 60°C, and melt curve for 5 s/step at 65°C–95°C (in 0.5°C increments). All the samples were run in three replicates and the data were analyzed using the DDCt method in CFX Manager software (Bio-Rad). The data represent mean ± SD of two independent experiments, each performed in duplicate. Details of the amplicons were given in S1 (Mercatelli, 2015). Statistical Analyses Transcriptome analysis was performed using the Illumina iScan, which is based upon fluorescence detection of biotin-labeled cRNA. Using the Illumina TotalPrep RNA Amplification Kit (version 280508, Applied Biosystems/Ambion, USA), 300 ng of total RNA from each sample were reversely transcribed, amplified and Biotin-16-UTP–labeled. The amount (15–52 mg) and quality of labeled cRNA were measured using both NanoDrop spectrophotometer and Agilent 2100 Bioanalyzer. Biotin-labeled cRNA (750 ng) was hybridized to the The Illumina Sentrix BeadChip according to manufacturer’s instructions. The Human HT12 v4 BeadChip targets approximately 47231 annotated RefSeq transcripts. Statistical analyses were conducted using the XLSTAT-Pro software, version 6.1.9 (Addinsoft 2003). Result are given as means ± SD. Data were analyzed by ANOVA/Bonferroni, followed by comparison with Dunnett’s test (Mercatelli, 2015). Cytotoxicity of Stenodactylin in Raji, Ramos, and MOLM-13 Cells Cytotoxicity of Stenodactylin in Raji, Ramos, and MOLM-13 Cells , Protein synthesis inhibition and cytotoxic activity of stenodactylin were investigated in three hematological cell lines: the lymphoblastic Burkitt’s lymphoma derived Raji and Ramos cells and the AML derived MOLM-13 cells. Protein synthesis inhibition assay was performed in the presence of 10-13-10-9 M stenodactylin. After 48 h of continuous exposure to 10-9 M stenodactylin, protein synthesis was almost completely inhibited in all tested cell lines (Figure 1A). However, in these experimental conditions, MOLM- 13 cells resulted more sensible to stenodactylin than Raji and Ramos cells, with a difference of about one logarithm in the IC50 values (Figures 1A, E). Cell viability was evaluated by MTS dye reduction and measured after 48 h of exposure to the toxin. In the presence of 10-14-10-8 M stenodactylin, cell viability decreased in a concentration-dependent manner (Figure 1B). Despite a marked difference reported in the efficacy of stenodactylin to inhibit protein synthesis in the three cell lines, viability assays showed that all tested cell lines were similarly sensitive to the toxin, with very close EC50 values (Figure 1E). Time-course dose-response experiments showed a time and dose dependent reduction in MOLM-13 cell viability (Figure 1C) (Mercatelli, 2015). Annexin V-Fluorescein Isothiocyanate/ Propidium Iodide Staining The apoptosis/necrosis rate in stenodactylin treated cells was evaluated through flow cytometry analysis. Briefly, cells were May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org Stenodactylin-Induced Cell Death Mercatelli et al. Enrichment Analysis (GSEA) was performed using fgsea R package v1.10.0. Gene sets were derived from the Broad Institute MSigDB collection (msigdbr package v6.2.1). Enrichment Analysis (GSEA) was performed using fgsea R package v1.10.0. Gene sets were derived from the Broad Institute MSigDB collection (msigdbr package v6.2.1). Biotechnology Inc, Rockford, IL, USA) according to the manufacturer’s instructions. The membranes were imaged using an ImageQuant LAS 4000 (GE Healthcare), and bands were quantified using ImageLab software (Bio-Rad). Data were exported to Excel spreadsheet, corrected for background and loading control (b-actin or COX IV) intensities. Microarray Data Extraction and Analysis A B B A C D C C D E E FIGURE 1 | (A) Protein synthesis inhibition and (B) viability assay on Raji (triangle), Ramos (square), and MOLM-13 (circle) cells treated for 48 h with stenodactylin. (C) Viability assay on MOLM-13 cells treated for 24 (white circle), 48 (gray circle, already shown in 1B) and 72 h (black circle) with different concentration of stenodactylin. Results are means of three independent experiments each performed in triplicate. SD never exceeded 10%. (D) Depurination of 28S rRNA by 10-9 M stenodactylin in MOLM-13 cells. The resulting relative amount of apurinic sites in 28S rRNA, compared to untreated controls, was determined by quantitative Real- Time PCR (qRT-PCR). Data are given as mean fold change ± standard deviation of the mean of three independent experiments, each performed in duplicate. ***p = 0.0003; ****p < 0.0001 (Mercatelli, 2015). (E) Table summarizing concentrations inhibiting 50% of protein synthesis (IC50) and the half-maximal concentration reducing cell viability (EC50) difference compared to control was observed after 2 h (Figure 1D) (Mercatelli, 2015). concentration of 10-9 M, i.e. the concentration causing a complete inhibition of protein synthesis after 48 h of incubation, was chosen for the analysis of MOLM-13 cells at early time point treatment. A time-dependent increase of apurinic sites in 28S rRNA was detected upon stenodactylin treatment at short times of incubation. A significant increase in the relative amount of apurinic rRNA was observed after 4 h (12.1 ± 3.2-fold) and 6 h (41.2 ± 7.4-fold). No significant Microarray Data Extraction and Analysis Microarray Data Extraction and Analysis Bead summary data was imported into GenomeStudio to remove control probes and to produce a text file containing the signal and detection p-values per probe for all samples. The text file was imported into J-Express Pro 2012 (http://jexpress.bioinfo.no), and signal intensity values were quantile normalized (Bolstad et al., 2003) and log2 transformed (Mercatelli, 2015). Further bioinformatic analysis was performed using R v3.6.1. The array probes were converted into matched gene symbols according to annotation information. In case of multiple probes corresponding to a single gene, the value of gene expression was designated as the highest value of the probes. After this procedure, 23368 genes were kept in the dataset. Samples were then analyzed using Bayes methods based limma package v3.40.0 (Ritchie et al., 2015), and raw p-values were revised using the Benjamini and Hochberg method to control the false discovery rate. If not stated otherwise, genes showing an absolute log2 Fold Change (log2FC) ≥1 and an adjusted p-value < 0.05 were considered as Differentially Expressed Genes (DEGs). Gene Ontology (GO) enrichment analysis was performed using the R package enrichR v2.1 (Kuleshov et al., 2016). Gene Set MOLM-13 was the cellular model chosen to investigate stenodactylin-induced cell death at gene and protein level. The May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 5 Stenodactylin-Induced Cell Death Mercatelli et al. A B C E D GURE 1 | (A) Protein synthesis inhibition and (B) viability assay on Raji (triangle), Ramos (square), and MOLM-13 (circle) cells treated for 48 h with stenodactylin. Viability assay on MOLM-13 cells treated for 24 (white circle), 48 (gray circle, already shown in 1B) and 72 h (black circle) with different concentration of nodactylin. Results are means of three independent experiments each performed in triplicate. SD never exceeded 10%. (D) Depurination of 28S rRNA by 10-9 M nodactylin in MOLM-13 cells. The resulting relative amount of apurinic sites in 28S rRNA, compared to untreated controls, was determined by quantitative Real- me PCR (qRT-PCR). Data are given as mean fold change ± standard deviation of the mean of three independent experiments, each performed in duplicate. ***p = 0003; ****p < 0.0001 (Mercatelli, 2015). (E) Table summarizing concentrations inhibiting 50% of protein synthesis (IC50) and the half-maximal concentration ducing cell viability (EC50). Stenodactylin-Induced Apoptotic Features in MOLM-13 Cells The presence of cellular and nuclear morphological changes in MOLM-13 cells treated for 48 h with stenodactylin were evaluated by phase contrast microscopy and fluorescence microscopy. In these May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org Stenodactylin-Induced Cell Death Mercatelli et al. cells morphological features compatible with apoptosis were detected (Figure 2A), including cell shrinkage, membrane blebbing and cytoplasmic condensation. DAPI staining confirmed the presence of nuclear alteration (Figure 2B). Disruption of mitochondrial membrane potential was detected at 24 h by JC-1 staining. JC-1 formed characteristic J-aggregates in intact mitochondria, yielding red fluorescence, while in stenodactylin- treated cells mitochondrial depolarization consequent to membrane permeability transition, led to green fluorescence caused by monomeric JC-1 (Figure 2C). Caspase activity of MOLM-13 cells exposed to stenodactylin significantly increased after 4 h for caspase 8, 9, and 3/7, and after 6 h for caspase 1 and 2 (Figure 2D). A B C D FIGURE 2 | Activation of apoptosis induced by stenodactylin in MOLM-13 cells. Cells were cultured in the absence (controls) or in the presence of 10−9 M stenodactylin. Cells morphology was assessed after 48 h of intoxication using phase contrast microscopy (magnification 400×) (A) and fluorescence microscopy after incubation with DAPI (magnification 600×) (B). Mitochondrial transmembrane potential of cells was evaluated after 24 h by staining with JC-1 and analysis through fluorescence microscopy (magnification 600×) (C). Caspase activation was evaluated through luminescent (caspase 8, 9, 2 and 3/7) or colorimetric (caspase 1) assays (D). Caspase activity is expressed as percentage of control values. Data are given as mean fold change ± standard deviation of the mean of three independent experiments, each performed in duplicate (Mercatelli, 2015). Data were analyzed by ANOVA/Bonferroni test, followed by Dunnett’s comparison (confidence range 95%; ****p ≤0.0001). A B C A B C A D D D FIGURE 2 | Activation of apoptosis induced by stenodactylin in MOLM-13 cells. Cells were cultured in the absence (controls) or in the presence of 10−9 M stenodactylin. Cells morphology was assessed after 48 h of intoxication using phase contrast microscopy (magnification 400×) (A) and fluorescence microscopy after incubation with DAPI (magnification 600×) (B). Mitochondrial transmembrane potential of cells was evaluated after 24 h by staining with JC-1 and analysis through fluorescence microscopy (magnification 600×) (C). Caspase activation was evaluated through luminescent (caspase 8, 9, 2 and 3/7) or colorimetric (caspase 1) assays (D). Stenodactylin-Induced Apoptotic Features in MOLM-13 Cells Caspase activity is expressed as percentage of control values. Data are given as mean fold change ± standard deviation of the mean of three independent experiments, each performed in duplicate (Mercatelli, 2015). Data were analyzed by ANOVA/Bonferroni test, followed by Dunnett’s comparison (confidence range 95%; ****p ≤0.0001). May 2020 | Volume 11 | Article 630 7 Frontiers in Pharmacology | www.frontiersin.org Stenodactylin-Induced Cell Death Mercatelli et al. were upregulated and 20 were downregulated. However, only 33 genes having an absolute log2FC > 1 were found to be significantly upregulated (Figure 5B). Top 50 significant genes are showed in Figure 5C. The complete results of this analysis are given in Supplementary Table 1. Annexin V-PI double staining, analyzed by flow cytometry, also identified apoptotic changes. Consistently with the time- dependent increase in caspase activity reported above, MOLM- 13 cells treated with 10-9 M stenodactylin showed a time- dependent increase in Annexin V positive cells (Figure 3A). Quantitative analysis showed a significant increase in Annexin V-positive/PI-negative cells (Q3) after 6 h (13.7% ± 0.9%). Consequently, the percentage of viable cells (Q4) significantly decreased after 6 h, reaching values of 38.0% and 12.4%, after 24 and 48 h, respectively (Figure 3B). The Gene Ontology (GO) Biological Process (BP) category was significantly enriched in GO Terms related to inflammatory processes and stress responses. The top 10 significant GO Terms are showed in Figure 6A. Results of the GO analysis are given in Supplementary Table 2. To gain more insights into the biological significance of our results, we applied Gene Set Enrichment Analysis (GSEA) to evaluate our microarray data. GSEA confirmed that, after 6 h of exposure to the toxin, most significantly enriched gene sets are related to inflammation, ROS and stress responses. The complete results of GSEA are given in Supplementary Table 3. A strong positive enrichment was found with the HALLMARK TNFA SIGNALING VIA NFKB gene set, suggesting the involvement of NF-kB as a mediator of stenodactylin-induced inflammation. In particular, a time dependent increase in gene expression can be observed for ATF3, BTG2, DUSP1, EGR1, EIF1, IER1, IER2, IL1B, JUN (heat map in Figure 6B). A strong positive enrichment was found with the HALLMARK APOPTOSIS gene set, confirming the involvement of programmed cell death at transcriptional level (Figure 7A). Gene Expression Analysis by Microarray Gene Expression Analysis by Microarray In order to identify the early effects of stenodactylin on cellular processes, changes in the gene expression profile of MOLM-13 cells treated with stenodactylin 10-9 M were analyzed by microarray in a time-course experiment, considering 2-h intervals between 0 and 6 h. The data normalization process and significance cut-offs to identify differentially expressed genes (DEGs) are described in methods. The association between all samples was analyzed by Principal Component Analysis (PCA) (Ringnér, 2008). The first two components of the PCA plot showed a gradient-like placement of samples according to the time of exposure to the toxin, with 2 and 4 h treated samples and controls at one side and 6 h treated samples at the other side (Figure 5A). Stenodactylin-Induced Apoptotic Features in MOLM-13 Cells Furthermore, a positive enrichment was found for the GO RESPONSE TO REACTIVE OXYGEN SPECIES gene set, reinforcing the idea that the production of ROS may represent an important feature of stenodactylin induced cell death, occurring soon after exposition to the toxin (Figure 7B). A positive enrichment was found with the KEGG MAPK SIGNALING PATHWAY gene set, confirming the involvement of the MAPK cascade in the early response to 28S rRNA damage (Figure 7C). Interestingly, a negative association was found with the GO IRE1 MEDIATED UNFOLDED PROTEIN RESPONSE gene set, suggesting that stenodactylin exposure may downregulate some key factors linked to UPR response (Figure 7D). Analysis of MAPK Signaling Pathway a ys s o S g a g a ay The main MAPKs involved in cell signaling, such as ERK, p38, and JNK, were investigated in the early stages of stenodactylin intoxication. Flow cytometry was used to obtain a single-cell profiling of signal transduction using specific antibodies recognizing phosphorylated proteins; western blot analysis was used to further confirm observed changes. Phospho flow analysis (Figure 4A) of phosphorylation of ERK1/2 (Thr202/Tyr204) showed no significant differences between stenodactylin-treated and control samples, while western blot analysis (Figure 4C) revealed a slight decrease in ERK1/2 phosphorylation, even if a decrease in total ERK 1/2 was also shown. A time-dependent increase in p38 phosphorylation (Thr180/Tyr182) was clearly detectable in both phospho flow and western blot analysis. Percentage of phospho-p38 cells increased significantly after 4 h of exposure to the toxin. Pearson correlation between phospho flow median fluorescence intensity (MFI) and band intensities for phospho-p38 showed a very strong positive correlation (R=0.999) (Figure 4B). A time-dependent increase in phosphorylation of JNK (Thr183/Tyr185) was also observed and the same tendency was detected by western blot, even if with different intensity (Mercatelli, 2015). A clear increase in JNK phosphorylation was evident after 2 h by western blot. A time-dependent increase in phospho-MKK3/6 signal and caspase 3 cleavage (19 and 17 kDa fragments) were detected in treated samples (Figure 4C). To validate the microarray results on a quantitative level, we studied six of the top DEGs. Time-dependent effect of stenodactylin treatment on the relative expression of JUN, EGR1, ATF3, DUSP1, IL1B and IL8 was assayed (Figure 8). Compared to control, the most prominent change in expression was detected for transcription factor JUN, showing a time- dependent increase in expression that reached about 350-fold of the control value. A similar tendency with different intensities was observed for ATF3, EGR1 IL1B, IL8, and DUSP1. Significance of the alteration of expression was proved for all these genes at transcript level (p < 0.0001). According to the microarray analysis, no gene expression for the selected genes was found to be significantly altered after 2 h of treatment with the toxin. DISCUSSION Considering a significance threshold for adjusted p-value < 0.05, few differentially expressed genes were found to be significantly upregulated after 4 h of exposure to the toxin (JUN, EGR1, ATF3, DUSP1, BTG2). After 6 h, the genes significantly differentially expressed were 164, 144 of them Since its first characterization (Pelosi et al., 2005), stenodactylin has been shown to be among the most toxic RIPs described so far, but the mechanism of cell death induced by this toxin is still May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org Stenodactylin-Induced Cell Death Mercatelli et al. A A A B E 3 | (A) Flow cytometric analysis of apoptosis in MOLM-13 cells measured by using Annexin V- propidium iodide (PI) double staining. Representative tric dot-plots images of MOLM-13 cells obtained after incubation with stenodactylin (10-9M) at different time points. Each specimen presents: viable cells (left orner, Q4); early apoptotic cells (right down corner, Q3); late apoptotic cells (right upper corner, Q2) and necrotic cells (left upper corner, Q1). (B) Quantitative ntation of the means of six independent experiments of Annexin V-PI flow cytometric analysis (Mercatelli, 2015). Significance of the difference is indicated by 0001 (ANOVA/Bonferroni). n Pharmacology | www frontiersin org May 2020 | Volume 11 | Article 630 9 B B FIGURE 3 | (A) Flow cytometric analysis of apoptosis in MOLM-13 cells measured by using Annexin V- propidium iodide (PI) double staining. Representative cytometric dot-plots images of MOLM-13 cells obtained after incubation with stenodactylin (10-9M) at different time points. Each specimen presents: viable cells (left down corner, Q4); early apoptotic cells (right down corner, Q3); late apoptotic cells (right upper corner, Q2) and necrotic cells (left upper corner, Q1). (B) Quantitative representation of the means of six independent experiments of Annexin V-PI flow cytometric analysis (Mercatelli, 2015). Significance of the difference is indicated by *p < 0.0001 (ANOVA/Bonferroni). May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 9 Stenodactylin-Induced Cell Death Mercatelli et al. A B C FIGURE 4 | (A) Phospho flow analysis of MOLM-13 cells with Alexa-Fluor 647 anti-phospho-ERK 1/2, anti-phospho-p38 and anti-phospho-p-JNK, representative plots out of six independent experiments. Control (black), 2 h (red), 4 h (blue), and 6 h (green) samples are represented. (B) Pearson correlation between phospho flow MFI (median fluorescence intensity) and band intensities for phospho-ERK 1/2, phospho-p38 and phospho-JNK. (C) Western blot analysis of kinases. DISCUSSION Cell lysates (40 mg total protein) were separated by SDS-PAGE and immunoblotted. Figure is representative of three independent experiments (Mercatelli, 2015). C C A A B B B FIGURE 4 | (A) Phospho flow analysis of MOLM-13 cells with Alexa-Fluor 647 anti-phospho-ERK 1/2, anti-phospho-p38 and anti-phospho-p-JNK, representative plots out of six independent experiments. Control (black), 2 h (red), 4 h (blue), and 6 h (green) samples are represented. (B) Pearson correlation between phospho flow MFI (median fluorescence intensity) and band intensities for phospho-ERK 1/2, phospho-p38 and phospho-JNK. (C) Western blot analysis of kinases. Cell lysates (40 mg total protein) were separated by SDS-PAGE and immunoblotted. Figure is representative of three independent experiments (Mercatelli, 2015). et al., 2010). Concurrently, an increase in initiator caspases 8 and 9 and effector caspases 3/7 was detectable after 4 h, while caspase 1 and 2 activities were shown to be significantly higher at 6 h in treated cells, when also apoptotic membrane changes became detectable. It appears that both the intrinsic and the extrinsic pathway are involved in stenodactylin-induced cell death, reinforcing the idea that RIPs induce a complex response in intoxicated cells triggering multiple death pathways (Polito et al., 2009; Pervaiz et al., 2016). Furthermore, it has been recently reported that abrin, another type 2 RIP, can trigger cell death through many mechanisms in different cell lines (Tiwari and Karande, 2019). Stenodactylin treatment induces the disruption of mitochondrial membrane potential, as confirmed by JC-1 positive staining at 24 h. RIP-triggered mitochondria-associated apoptotic signaling was also previously described (Narayanan et al., 2005; Sikriwal et al., 2008; Bora et al., 2010; Polito et al., 2016c). not completely understood. Very low concentrations—in the picomolar range—of stenodactylin were previously reported to induce apoptosis and necroptosis in neuroblastoma cells, involving the production of ROS in intoxicated cells (Polito et al., 2016c). Several studies have indicated that different cell death pathways may be involved in RIP-induced cytotoxicity. However, very few reports have investigated the early response to RIP-induced ribosomal damage (Korcheva et al., 2005; Polito et al., 2009; Bora et al., 2010; Leyva-Illades et al., 2010; Horrix et al., 2011; Daniels-Wells et al., 2013; Pervaiz et al., 2016). The present study was designed to evaluate the early response to stenodactylin in a cellular model of blood neoplasia. Frontiers in Pharmacology | www.frontiersin.org DISCUSSION Different lectins with b-trefoil folding were reported to have antitumor effects both in cell lines (Bovi et al., 2013) and in a melanoma xenografted zebrafish model (Valenti et al., 2020) and to induce apoptosis with the activation of MAPK and stress- activate kinase pathways in addition to NF-kB (Hasan et al., 2019). Moreover, it was previously shown that TNF-a-mediated signaling pathway and apoptosis can be elicited in hematological cells by several lectins upon binding to surface receptors, like globotriaosylceramide (Gb3) carbohydrate chain (Hosono et al., 2014; Liao et al., 2016; Chernikov et al., 2017), which is also a known receptor for Shiga toxins (Lee et al., 2015). Stenodactylin may possess a similar cell entry mechanism, and its B-chain may contribute to the induction of the observed inflammatory response, however we consider most of the stress responses showed in this study to rely on stenodactylin enzymatic activity. In fact, it was previously shown that Shiga toxin enzymatic activity was required to induce p38 and JNK activation in the intestinal epithelial cell line HCT-8, and that inhibition of MAPKs activation prevented cell death (Smith et al., 2003). Furthermore, the sole ricin A chain was found to be fully able to induce apoptosis in MAC-T cells through JNK and p38 signaling pathways (Jetzt et al., 2009). Stirpe and coworkers showed that stenodactylin A chain alone fully retained its enzymatic activity on a cell-free system (Stirpe et al., 2007), but further studies are required to characterize its cytotoxic properties both alone and in conjugation with specific carriers. To date, novel technologies and bioinformatic analysis have fueled an increase in precision oncology approaches, pushing toward a more comprehensive profiling of single patient disease (Gullaksen et al., 2017). Due to its early and powerful cytotoxic effect, stenodactylin represents an attractive tool in cancer therapy both as native molecule and as toxic part of ITs. Due to its high systemic toxicity, native stenodactylin could be used only for loco-regional treatments. Stenodactylin A- chain, linked by chemical conjugation or by genetic engineering, Five DEGs were identified at 4 h: JUN, EGR1, ATF3, DUSP1, and BTG2. These genes are known to be immediate-early genes, whose activation and transcription usually occur within few minutes after stimulation by extracellular or intracellular signals (Bahrami and Drabløs, 2016). DISCUSSION Blue dots are genes showing an adjusted p-value < 0.05, while red dots are genes showing both an adjusted p-value < 0.05 and absolute log2FC > 1. (C) Heat map of the top 50 genes with an adjusted p-value < 0.05. Samples showing a similar expression pattern are clustered together. The mean normalized expression value of each gene is mapped to a color-intensity value, as indicated by the color bar above. of p38, JNK 1/2, and MKK 3/6 phosphorylation, while no significant influence was detected on ERK 1/2 activation. Prolonged activation of JNK and p38 MAPKs was previously reported in human myelogenous leukemia cells treated with Shiga toxin type 1, while modest and transient activation of ERK 1/2 was reported (Leyva-Illades et al., 2010). Interestingly, we found that dual specificity phosphatase 1 (DUSP1) was among the first genes induced by stenodactylin. DUSP1 is a negative regulator of MAPKs activity, which dephosphorylates and inactivates MAPK in mammalian cells. Ribotoxic stress response can thus represent a complex reaction to ribosome damage, eliciting a multiple stress-response pathway, which lead to cell death if cellular recovery after ribotoxic insult is not possible. similar response involving inflammasome activation was previously reported in ricin-treated macrophages (Lindauer et al., 2010) and in leukemia cells treated with Shiga toxins (Lee at al., 2015). In our study, a mild but significant augment of caspase 1 activity was detectable after 6 h, while effector caspases activity was already at 4 h, thus suggesting a secondary role of caspase-1-dependent pyroptosis in driving cellular responses leading to cell death. As we previously showed in neuroblastoma cells (Polito et al., 2016c), the production of ROS is a key feature of stenodactylin-induced cell death. In the present work, we observed upregulation of genes involved in the cellular response to ROS production, suggesting that oxidative stress may be an early feature of stenodactylin cellular activity. Induction of UPR was reported for some RIPs (Lee et al., 2008; Horrix et al., 2011). Instead, here we showed that stenodactylin downregulates some of the genes involved in the IRE1-mediated UPR. Similarly, ricin toxicity to mammalian cells was previously shown to be enhanced by UPR inhibition (Wang et al., 2011; Pierce et al., 2019). DISCUSSION After evaluation of stenodactylin cytotoxicity in three different human-derived hematological cell lines (Raji, Ramos and MOLM-13), the AML derived MOLM-13 cells were chosen to study gene expression through whole-genome microarray analysis. All the experiments were conducted using stenodactylin at 10-9 M, a dose which causes the complete inhibition of protein synthesis after 48 h of incubation. A 12- fold increase in 28S rRNA apurinic sites was detectable after 4 h in stenodactylin–exposed MOLM-13 cells, suggesting that the minimum time required for stenodactylin endocytosis and for its catalytic activity on rRNA is between 2 to 4 h of exposure, consistently with data previously reported for HeLa cells (Battelli Stenodactylin treatment significantly altered the MOLM-13 transcriptome affecting cellular stress response pathways related to cell death and inflammation. From GSEA, it seems likely that stenodactylin apoptotic signaling may involve the TNF-a/NF-kB axis. Pro-inflammatory cytokines expression was also enhanced, especially IL1B, IL8, IL1A, and IL23A, suggesting the involvement of pyroptosis following toxin treatment (Gaidt et al., 2016). A May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 10 Stenodactylin-Induced Cell Death Mercatelli et al. A B C 5 | Continued B A B C GURE 5 | Continued FIGURE 5 | Continued FIGURE 5 | Continued May 2020 | Volume 11 | Article 630 11 Frontiers in Pharmacology | www.frontiersin.org Stenodactylin-Induced Cell Death Mercatelli et al. FIGURE 5 | (A) Principal Component Analysis (PCA) projection (PC2 vs. PC1) of samples. (B) The volcano plot of Differentially Expressed Genes (DEGs). Horizontal dotted line placed at p-value = 0.05 level; vertical dotted lines placed at log2FC = −1 and 1, respectively. Blue dots are genes showing an adjusted p-value < 0.05, while red dots are genes showing both an adjusted p-value < 0.05 and absolute log2FC > 1. (C) Heat map of the top 50 genes with an adjusted p-value < 0.05. Samples showing a similar expression pattern are clustered together. The mean normalized expression value of each gene is mapped to a color-intensity value, as indicated by the color bar above. FIGURE 5 | (A) Principal Component Analysis (PCA) projection (PC2 vs. PC1) of samples. (B) The volcano plot of Differentially Expressed Genes (DEGs). Horizontal dotted line placed at p-value = 0.05 level; vertical dotted lines placed at log2FC = −1 and 1, respectively. Frontiers in Pharmacology | www.frontiersin.org DISCUSSION Immediate-early genes have been previously shown to be induced in macrophagic/ monocytic cells by ricin (Korcheva et al., 2005), shiga toxin (Leyva-Illades et al., 2010) and other ribosome-targeting toxins, like trichothecene mycotoxin deoxynivalenol in six different human cell lines (Casteel et al., 2010) and pyrrolidine antibiotic anisomycin in HeLa cells (Lu et al., 2006). JUN, ATF3, and EGR1 are well-characterized transcription factors belonging to the AP-1 family, which plays a central role in cell proliferation and transformation and can regulate cytokine and chemokine expression. These transcription factors are often induced in the same cluster by activation of MAPKs due to phosphorylation, which is one of the main up-stream events triggering immediate-early genes. It has been well documented that as a direct consequence of 28S rRNA damage, RIPs may activate the so-called ribotoxic stress response, that is an early event anticipating protein synthesis inhibition, being the latter a late event as it was previously shown in neuroblastoma cells treated with stenodactylin (Polito et al., 2016c). The activation of MAPKs was shown to be involved in ribotoxic stress signaling in immune cells exposed to different protein synthesis inhibitors, thus leading to a proinflammatory response (Tesh, 2012; Jandhyala et al., 2015; Lee et al., 2015). Depending on cell type, exposure to ribotoxins resulted in the alteration of JNK, p38, and ERK signaling (Iordanov et al., 1997; Korcheva et al., 2005; Zhou et al., 2014; Wang et al., 2016). In the present study, we showed that stenodactylin exposure induces a time-dependent increase May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 12 Stenodactylin-Induced Cell Death Mercatelli et al. A B nued A A B tinued B FIGURE 6 | Continued B B ti d FIGURE 6 | Continued FIGURE 6 | Continued May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 13 Stenodactylin-Induced Cell Death Stenodactylin-Induced Cell Death Mercatelli et al. FIGURE 6 | (A) Dot plot of the top 10 terms of Gene Ontology (GO) categories of biological process (BP), an adjusted p-value < 0.05 was considered statistically significant. (B) Gene Set Enrichment Analysis (GSEA) enrichment plots of the HALLMARK TNFA SIGNALING VIA NFKB from the Broad Institute’s MSigDB in cells treated with stenodactylin for 6 h. The heat map shows the clustered genes in the leading edge of the 6 h subset compared to other time points. FIGURE 6 | (A) Dot plot of the top 10 terms of Gene Ontology (GO) categories of biological process (BP), an adjusted p-value < 0.05 was considered statistically significant. (B) Gene Set Enrichment Analysis (GSEA) enrichment plots of the HALLMARK TNFA SIGNALING VIA NFKB from the Broad Institute’s MSigDB in cells treated with stenodactylin for 6 h. The heat map shows the clustered genes in the leading edge of the 6 h subset compared to other time points. The mean normalized expression value of each gene is mapped to a color-intensity value, as indicated by the color bar above. Color intensity is representative of the limma differential expression statistic values vs. control samples (scaled). DATA AVAILABILITY STATEMENT The raw data supporting the conclusions of this manuscript have been made publicly available by the Authors at NCBI Gene Expression Omnibus (GEO), accession identifier: GSE139401. ACKNOWLEDGMENTS The present article contains some report on knowledge/insight/ data previously included in DM’s Ph.D. Dissertation Thesis. DISCUSSION The mean normalized expression value of each gene is mapped to a color-intensity value, as indicated by the color bar above. Color intensity is representative of the limma differential expression statistic values vs. control samples (scaled). A B C D Set Enrichment Analysis (GSEA) enrichment plots of the indicated gene sets from the Broad Institute’s MSigDB in cells treated with heat maps show the clustered genes in the leading edge of the 6 h subset compared to other time points. Color intensity is representative pression statistic values vs. control samples (scaled). A B C D Enrichment Analysis (GSEA) enrichment plots of the indicated gene sets from the Broad Institute’s t maps show the clustered genes in the leading edge of the 6 h subset compared to other time po sion statistic values vs. control samples (scaled). A B B C C D D D FIGURE 7 | (A–D) Gene Set Enrichment Analysis (GSEA) enrichment plots of the indicated gene sets from the Broad Institute’s MSigDB in cells treated with stenodactylin for 6 h. The heat maps show the clustered genes in the leading edge of the 6 h subset compared to other time points. Color intensity is representative of the limma differential expression statistic values vs. control samples (scaled). May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 14 Mercatelli et al. Stenodactylin-Induced Cell Death FIGURE 8 | Quantitative Real-Time PCR (qRT-PCR) validation of selected genes from microarray analysis. Data are given as mean fold change ± standard deviation of the mean of two independent experiments, each performed in triplicate (Mercatelli, 2015). Data were analyzed by ANOVA/ Bonferroni test, followed by Dunnett’s comparison (confidence range 95%; ****p ≤0.0001). may help to design new therapeutic combination regimens to enhance the efficacy of currently used anti-AML drugs. FUNDING This work was supported by funds for selected research topics from the Alma Mater Studiorum—University of Bologna and by the Pallotti Legacies for Cancer Research; Fondazione CARISBO, Project 2019.0539; DM was supported by Marco Polo Scholarship; BG, AS, and VA were supported by the Norwegian Cancer Society; Solveig & Ole Lunds Legacy. FIGURE 8 | Quantitative Real-Time PCR (qRT-PCR) validation of selected genes from microarray analysis. Data are given as mean fold change ± standard deviation of the mean of two independent experiments, each performed in triplicate (Mercatelli, 2015). Data were analyzed by ANOVA/ Bonferroni test, followed by Dunnett’s comparison (confidence range 95%; ****p ≤0.0001). to monoclonal antibodies or antibody fragments specifically designed to target tumor cells, could be used for systemic therapy. Considering the growing interest in personalized medicine, the identification of signaling pathways induced by ribosome damage could help to design tailored drug combinations to enhance cytotoxic potential of RIP-based ITs. AUTHOR CONTRIBUTIONS DM, MB, LP, BG, and AB conceived and designed the experiments. DM, MB, VA, and AS performed the experiments. DM carried bioinformatic analysis. All the authors analyzed the data. DM, MB, and LP drafted the paper. All the authors revised and made the final approval of the version to be submitted. SUPPLEMENTARY TABLE 2 | GO Analysis. SUPPLEMENTARY TABLE 2 | GO Analysis. SUPPLEMENTARY TABLE 3 | Gene Set Enrichment Analysis. CONCLUSIONS The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fphar.2020.00630/ full#supplementary-material Stenodactylin elicits a rapid stress response with production of proinflammatory factors and ROS in AML cells leading mainly to apoptosis, but also triggering other cell death pathways. For its elevated cytotoxic potential, stenodactylin may be an ideal candidate to produce immunoconjugates for the experimental treatment of AML and other hematological malignancies. The knowledge of the complex stress response induced by this toxin SUPPLEMENTARY TABLE 1 | Differential Expression Analysis. SUPPLEMENTARY TABLE 1 | Differential Expression Analysis. REFERENCES doi: 10.1016/ j.biocel.2009.08.007 Bortolotti, M., Bolognesi, A., and Polito, L. (2018). Bouganin, an Attractive Weapon for Immunotoxins. Toxins (Basel) 10, E323. doi: 10.3390/ toxins10080323 Korcheva, V., Wong, J., Corless, C., Iordanov, M., and Magun, B. (2005). 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Nucleic Acids Res. 43, e47. doi: 10.1093/nar/gkv007 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. Saxena, N., Rao, P. V., Bhaskar, A. S., and Bhutia, Y. D. (2014). Protective effects of certain pharmaceutical compounds against abrin induced cell death in Jurkat cell line. Int. Immunopharmacol. 21, 412–425. doi: 10.1016/j.intimp.2014.05.028 Copyright © 2020 Mercatelli, Bortolotti, Andresen, Sulen, Polito, Gjertsen and Bolognesi. 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 © 2020 Mercatelli, Bortolotti, Andresen, Sulen, Polito, Gjertsen and Bolognesi. 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. Shih, S. F., Wu, Y. H., Hung, C. Frontiers in Pharmacology | www.frontiersin.org REFERENCES H., Yang, H. Y., and Lin, J. Y. (2001). Abrin triggers cell death by inactivating a thiol-specific antioxidant protein. J. Biol. Chem. 276, 21870–21877. doi: 10.1074/jbc.M100571200 Sikriwal, D., Ghosh, P., and Batra, J. K. (2008). Ribosome inactivating protein saporin induces apoptosis through mitochondrial cascade, independent of May 2020 | Volume 11 | Article 630 Frontiers in Pharmacology | www.frontiersin.org 17
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Toward an Evolved Concept of Landrace
Frontiers in plant science
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Edited by: Edited by: Paul Christiaan Struik, Wageningen University and Research Centre, Netherlands Reviewed by: John Edward Bradshaw, Retired, Edinburgh, UK Vassilis Papasotiropoulos, Technological Educational Institute of Western Greece, Greece *Correspondence: Jaime Prohens jprohens@btc.upv.es Keywords: landraces, heirlooms, evolution, breeding, biotechnology, traditional varieties, cultural preferences Toward an Evolved Concept of Landrace Francesc Casañas1, Joan Simó1, Joan Casals1 and Jaime Prohens2* 1 Fundació Miquel Agustí/Barcelonatech, Barcelona, Spain, 2 Institut de Conservació i Millora de l’Agrodiversitat Valenciana, Universitat Politècnica de València, València, Spain The term “landrace” has generally been defined as a cultivated, genetically heterogeneous variety that has evolved in a certain ecogeographical area and is therefore adapted to the edaphic and climatic conditions and to its traditional management and uses. Despite being considered by many to be inalterable, landraces have been and are in a constant state of evolution as a result of natural and artificial selection. Many landraces have disappeared from cultivation but are preserved in gene banks. Using modern selection and breeding technology tools to shape these preserved landraces together with the ones that are still cultivated is a further step in their evolution in order to preserve their agricultural significance. Adapting historical landraces to present agricultural conditions using cutting-edge breeding technology represents a challenging opportunity to use them in a modern sustainable agriculture, as an immediate return on the investment is highly unlikely. Consequently, we propose a more inclusive definition of landraces, namely that they consist of cultivated varieties that have evolved and may continue evolving, using conventional or modern breeding techniques, in traditional or new agricultural environments within a defined ecogeographical area and under the influence of the local human culture. This includes adaptation of landraces to new management systems and the unconscious or conscious selection made by farmers or breeders using available technology. In this respect, a mixed selection system might be established in which farmers and other social agents develop evolved landraces from the variability generated by public entities. PERSPECTIVE published: 08 February 2017 doi: 10.3389/fpls.2017.00145 THE CONCEPT OF LANDRACE Specialty section: This article was submitted to Crop Science and Horticulture, a section of the journal Frontiers in Plant Science Widely used in the literature, the term “landrace” encompasses a range of different concepts that have varied over time depending on prevailing trends in the use and conservation of genetic resources. After an initial period in which it was considered important to conserve landraces to maintain biodiversity, nowadays there is an increasingly promoted commercial message that holds that landraces are generally endowed with superior nutritional and sensory properties (“a flavor of the past” belief), and this has influenced the concept of landrace. For many years after von Rümker (1908) introduced the term, the term “landrace” was applied to cultivars that had evolved without conscious selection. Zeven (1998) proposed a new and more concise description of landrace, modifying Mayr’s (1938) early distinction of landrace and taking into account the possible contamination of landraces with foreign material that was neglected by Mayr (1937). According to Zeven (1998) “an autochthonous landrace is a landrace grown for a long period in Received: 29 November 2016 Accepted: 24 January 2017 Published: 08 February 2017 Keywords: landraces, heirlooms, evolution, breeding, biotechnology, traditional varieties, cultural preferences Citation: Casañas F, Simó J, Casals J and Prohens J (2017) Toward an Evolved Concept of Landrace. Front. Plant Sci. 8:145. doi: 10.3389/fpls.2017.00145 February 2017 | Volume 8 | Article 145 1 Frontiers in Plant Science | www.frontiersin.org An Evolved Concept of Landrace Casañas et al. In this respect, Harlan (1965, 1992) enlightenment on the role of weeds in the evolution of landraces gave rise to a dynamic view of the flow of genes among wild plants, landraces, and improved varieties. Information about gene flow has increased considerably thanks to the use of molecular markers and has also raised concerns on the potential dissemination of transgenes into landraces and wild types. The conclusion is that genes are transferred in all directions, both in allogamous and autogamous plants (Ellstrand et al., 1999, 2013; Jarvis and Hodgkin, 1999; Messeguer, 2003; Gompert and Buerkle, 2016), even though gene transfer can vary tremendously among species and populations, between plants within a population, and even over time (Ellstrand, 2014). Interestingly, after spontaneous crossing from commercial hybrids into some Italian landraces of maize, the introgressed genes have become the main targets for positive selection in farmers’ traditional management (Bitocchi et al., 2009, 2015). Causse et al. (2013) report a similar phenomenon in tomatoes. This evidence argues against attempts to bind the concept of landrace to isolated, immobile, easily classifiable cultivars that can evolve only without formal breeding (i.e., with no application of genetics knowledge) or to cultivation with techniques now considered obsolete that are rooted in ideological preconceptions. In fact, the most conservative definitions doom landraces to become artifacts in museums, since these cultivars can only evolve without formal breeding. Any definition that does not take into account technological changes relegates most landraces to the status of curios, kept in existence through on-farm conservation as a mere subsidized activity, which can be inviable under the usual restriction of funds for in situ conservation. the farming system concerned. As the environment changes annually and as the landrace becomes ‘contaminated’ with few genotypes of other landrace(s), or cultivar(s) it will continuously adapt itself” and “an allochthonous landrace is an autochthonous landrace of a foreign region recently introduced into the region concerned. This will be a rare type, as after its introduction it frequently becomes contaminated with a few genotypes of the autochthonous landraces or locally grown cultivar(s). Citation: Depending on the number of generations of after growth and on the frequency of seed change, it may become an autochthonous landrace.” Nevertheless, in his review Zeven (1998) considered that the amended Manholt’s definition was still the best description of landraces at that time: “an autochthonous landrace is a variety with a high capacity to tolerate biotic and abiotic stress resulting in a high yield stability and an intermediate yield level under a low input agricultural system.” All these definitions are based more on the properties of the population than on the events or methods leading up to the development of the landrace or its history. It is not concerned with who has multiplied the seeds or how, or with whether conservative selection or innovative techniques are involved in the multiplication of the landrace. More recent approaches to the concept of landrace again incorporate elements related to the mechanics of its evolution. Villa et al. (2005) define landrace as “a dynamic population of a cultivated plant that has historical origin, distinct identity and lacks formal crop improvement, as well as often being genetically diverse, locally adapted and associated with traditional farming systems.” In the Task Force on Farm Conservation and Management report, Del Greco et al. (2007) chose to use the Villa et al. (2005) definition for their future activities, thus tying the concept of landrace to traditional farming systems and the absence of formal breeding (although both these terms are ambiguous, since farmers have always used genetic and environmental selection). Frontiers in Plant Science | www.frontiersin.org LANDRACES, THE NEW GENERATION However, the main reason for genetic erosion is the inability of unimproved landraces to compete against improved varieties. Cultivated germplasm has evolved since Neolithic times, so it should not surprise us that this has continued into the modern times; and in some cases it has sped up dramatically as in the development of improved varieties for widespread use. Given that adaptability to particular environments, general resilience, cultural value, tolerance to local stresses, sensorial value, etc. are traits often controlled by multiple genes, the most reasonable material for initial development of new generations of local cultivars consists of historical landraces, found in seed banks or under local cultivation. Our proposal involves extending the concept of landraces beyond their currently recognized value as a reservoir of genes. We propose to use these materials, study their potential, and correct their defects with available technology. The first wave of transformations that candidate landraces might undergo are the introduction of monogenic traits, such as resistance to pathogens, although this might create a “boom and bust” phenomenon. Globalization has allowed pests and pathogens to circulate freely, so farmers cultivating historical landraces often have to apply many phytosanitary treatments or risk losing their entire crop, making it impossible to meet the goals of keeping inputs to a minimum and using minimally aggressive agricultural practices. Problems related to traditional methods, such as linkage drag in backcrossing (introducing undesirable genes linked to the gene introduced mainly when the donor is a wild plant), can be overcome by biotechnological approaches available today (Nogué et al., 2016) and others that will surely be devised in the future. Nevertheless, these improved varieties have drawbacks: (a) cultural ties with consumers are weak or non-existent (especially important in fruit and vegetables), (b) growing them requires large investments in energy (the extreme case being high-tech greenhouses), and (c) methods of distribution (e.g., harvesting unripe fruit) can lower sensorial quality. On the other hand, materials that meet the narrow definition of landraces also suffer from serious drawbacks such as low yields and vulnerability to new pests introduced in new areas as a consequence of globalization. On a small scale, and still fundamentally through backcrossing or classical selection, new cultivars have already been obtained from landraces. LANDRACES, THE NEW GENERATION prevalent in the area, medium yields, yield stability over time, and adaptation to low inputs. In fact, the key point is yield stability, which enables the system consisting of the landrace and dependant human population to extend over time. This restricted definition of landrace implies that evolution of landraces halted with the appearance of improved varieties derived with knowledge of genetics, which would mean that the history of landraces came to an end in the 20th century in most places (while everywhere else genetically improved cultivars continued to gain ground). Under this definition, landraces could only survive in isolated spots, such as amateurs’ gardens, where they would be free from genetic contamination and introgression of new foreign genes (providing that someone takes charge of multiplication to conserve the landrace). This approach threatens to transform landraces into something they have never been: museum relics. Our proposal aims to modify the concept of landrace delineated by Zeven (1998), while taking into account that the tools now available for selection are far more powerful than those available in the Neolithic or in the late 19th century. If we wish to continue enjoying cultivars with cultural pedigrees that are intimately associated with specific geographical areas (particular environmental traits) and thus require fewer inputs for their cultivation, the generalist strategy used in modern breeding programs is insufficient (although it will surely continue to supply a large proportion of our alimentary needs). This does not mean that we need to invent a new approach. Rather, we need only develop cultivars that meet Zeven’s criteria for landraces, using the tools now available for genetic improvement, agronomics, and biotechnology, which is nothing more than a new generation of landraces for a new period of Agriculture. It is an undeniable fact that genetically improved varieties have become predominant throughout most of the world. This predominance has been made possible by high energy inputs in crop production (machinery, protection from pests, fertilizers, etc.) and heavy investment in research and genetic improvement. To the extent that these factors molded similar environments, the same or only slightly different varieties could be cultivated in more places. With the loss of farmer specialization in propagating their landraces, professional breeders can obtain returns on investments from developing new varieties. Legislation on protection of cultivars and seed trade also favor improved cultivars by demanding homogeneous materials for each variety commercialized. LANDRACES REVISITED As a consequence of this coevolution, populations that have not undergone organized genetic improvement meet Zeven’s (1998) definition: high tolerance to biotic and abiotic stress February 2017 | Volume 8 | Article 145 2 Casañas et al. An Evolved Concept of Landrace LANDRACES REVISITED We propose a more inclusive definition of landraces as plant materials consisting of cultivated varieties that have evolved and may continue evolving, using conventional or modern breeding techniques, in traditional or new agricultural environments within a defined ecogeographical area and under the influence of local human culture. This includes adaptation of landraces to the management systems and the unconscious or conscious selection made by farmers or breeders with available technology. This coevolution has been modeling landraces as a result of several factors: the initial genetic variation; the generation of new variation through mutation, migration, recombination, and crossing with other populations; the soil, climate, and other ecological conditions of the region of cultivation; and the influence of humans, which includes cultivation techniques (evolving over time) and preferences (sensorial, nutritional, religious, etc.). This definition emphasizes the role of humans in the evolution of landraces because human intervention has been a key factor (in fact humans and cultivated plants have constituted a symbiotic system since the Neolithic period). Finally, in an excellent review, Negri et al. (2009) approach the subject of on-farm conservation, proposing that the selection techniques used should be eliminated from the definition of landraces: “on-farm conservation should be reformulated as the management of genetic diversity of locally developed crop varieties (landraces) by farmers within their own agricultural, horticultural or agri-silvicultural systems.” This view considers that landraces can evolve within any farming system and avoids the restriction that breeding landraces should forgo the use of genetic knowledge. The ambiguous term “traditional” is replaced with the description “their own agricultural, horticultural or agri- silvicultural systems” (i.e., with any farming system in use at a given place and time). Zeven points out that landraces are continually evolving and also continually mixing with other landraces or cultivars on a genetic level. Natural and artificial selection together with migration resulting from the exchange of seeds can contribute to creating different landraces (populations), as well as groups of interrelated landraces (which could be considered as metapopulations). Therefore, landraces should be viewed as evolving entities in contrast to modern cultivars, which are expected to be maintained true to type according to Union for the Protection of New Varieties of Plants (UPOV) rules. Frontiers in Plant Science | www.frontiersin.org LANDRACES, THE NEW GENERATION In Spain, for example, with this aim of local and cultural adaptation, new improved materials have been developed from landraces in tomatoes (Casals et al., 2010; Garcia-Martínez et al., 2011), beans (Bosch et al., 1998; Almirall et al., 2010; Ferreira et al., 2012), onions (Simó et al., 2012), and eggplants (Prohens et al., 2009). It would be difficult to argue that these cultivars should not be considered landraces because they have been obtained using breeding techniques like directed crossings and/or self-fertilization followed by selection. Given our society’s growing concern for the environment (inputs, recycling, pesticides, etc.) and growing interest in identity issues (sensorial value of food, local and ethnic cuisine, etc.), the ecological aspects of traditional varieties (aspects related to the milieu) can represent values appreciated by consumers and therefore be used as tools for development and progress by farmers. Thus, there is a need for a less orthodox conceptualization of landraces, one that is based on values that continue to be interesting in modern societies, such as adaptation to the environment, need of reduced inputs, cultural values, and diversity as a consequence of local adaptation, etc. In this new view, intravarietal heterogeneity can be replaced by a large number of landraces with different traits that fit in together with the different environmental characteristics encompassed in the local cultural sphere. For example, different landraces with similar sensory profiles and yields, adapted to the needs of local February 2017 | Volume 8 | Article 145 3 An Evolved Concept of Landrace Casañas et al. cuisine, but with different degrees of earliness to allow scaled sowing or to allow for yearly variations in the weather, especially in moisture content of the soil for sowing, might be developed. Thus, we could even consider using landrace hybrids, whether between two landraces or between a landrace and a single inbred line. corporations, (b) cultivars that we continue to refer to as landraces, which include a blend of “unselected” varieties that have continued to evolve “on farm,” but that are usually heavily introgressed from genetically improved varieties or other “landraces” with which they have been crossed, (c) “unselected” landraces, which in some cases have remained more or less free of introgression, in which evolution has been suspended by conservative selection (heirlooms or vintage varieties in the strictest sense), and (d) varieties that maintain their character as garden varieties, easily confused with the “landraces” described in (b). LANDRACES, THE NEW GENERATION Thus, the evolution of landraces can take different paths, some of which lead to products that conserve the spirit of landraces before the advent of scientific selection (Figure 1). EVOLUTION IN LANDRACES NOWADAYS Before the advent of scientific breeding techniques, landraces evolved together with the farmers that managed them within their cultures (including aesthetic preferences, ethical values, and technological knowledge) in the soil and climatic conditions in which the evolutionary process occurred. Large-scale breeding and better control over environmental factors, together with the availability of vast amounts of energy and global food distribution systems, have transformed landraces into new types which generally can be classified in different categories: (a) generalized, universally embraced, commercial cultivars of extremely homogeneous materials that are no longer bound to a particular local culture, which are managed by breeding If we wish to continue the coevolution of landraces on a local level with strong ties to local culture (what we understand to be their differential trait), we need to manage this coevolution. This task cannot be relegated to farmers dedicated to cultivating landraces with traditional techniques in relatively isolated sites. This unrealistic vision is rooted in a conservative ideology that does not take evolution into account. We need to design participative strategies in which, just as society has moved toward a division of labor with increasing specialization, various FIGURE 1 | Timeline of historical relationship among different kinds of plant materials and prospects for the immediate future. RE 1 | Timeline of historical relationship among different kinds of plant materials and prospects for the immediate futur February 2017 | Volume 8 | Article 145 Frontiers in Plant Science | www.frontiersin.org An Evolved Concept of Landrace Casañas et al. Territories without local varieties should be able to seek out landraces from other territories that would become allochthonous according to Zeven’s (1998) definition. New landraces, developed according to the needs of societies, could be created. In fact, allochthonous landraces have been developed throughout history, and if we consider the strictest definition of landrace to include only autochthonous materials, these could only exist in territories where wild types were domesticated. social agents participate in the evolution of the landraces. The burden of this task cannot be placed only on farmers, because farmers have also become specialists with their own niche in our knowledge-based societies that tend to distribute responsibilities among various agents. EVOLUTION IN LANDRACES NOWADAYS In this respect, participatory plant breeding (PPB), preferably implemented through public-private partnerships (PPP), could play an important role in the evolution of landraces in order to respond to the challenges and demands of the different stakeholders in the marketing chain going from producer to consumer. The second step is to evaluate the landraces’ potential, considering rational cultivation techniques used in a certain place and time (Figure 2). This merely means using cultivation techniques that seem most reasonable and accepted by a given society. Nowadays in advanced Western societies, this means low-input agriculture, with minimal agrochemical intervention. In the future, other approaches might be considered more rational. Based on this assessment, technology centers and experimental stations should be put in charge of characterizing the materials and determining their commercial potential in close The first step in managing the evolution of landraces should be filtering by the local cultures and societies that are the depositories of these materials. These societies should evaluate the plant genetic resources linked to their histories that are extant in situ or ex situ. It is important to identify varieties with traits that have added value in today’s society (nutritional, nutraceutical, sensorial, and/or cultural value), recognizing that the adaptation to the local environment is already the defining characteristic of these materials (Figure 2). FIGURE 2 | The approach to creating evolved landraces using the present available tools. FIGURE 2 | The approach to creating evolved landraces using the present available tools. FIGURE 2 | The approach to creating evolved landraces using the present available tools. Frontiers in Plant Science | www.frontiersin.org February 2017 | Volume 8 | Article 145 5 An Evolved Concept of Landrace Casañas et al. collaboration with farmers, who need to be involved in these processes. urgent action is required to inventory, rescue, and preserve the wealth of European landrace diversity. The first logical step appears to be to compile inventories, later threat assessment and prioritization for conservation should be carried out.” We believe that this paradigm of fear that is usually linked to the idea of landraces as a reservoir for genes to improve commercial varieties so that they can face the challenges of the future should be supplanted by a more historical vision that considers the evolution of the landraces, preserving the spirit of the concept while increasing diversity with truly competitive materials. EVOLUTION IN LANDRACES NOWADAYS In other words, we propose preserving landrace diversity through their use in multiple, objectively compatible plant materials. The third step is to correct the varieties’ weaknesses without undermining their strengths (Figure 2). In our opinion it is essential to take full advantage of all available tools from classic breeding and biotechnology. As stated above, landraces should be defined by their essence, not by the methods used to obtain them. This approach requires the intervention of institutions that generate unselected materials, introducing variability for the traits that need to be modified. Again, farmers must serve as the final filter for a large number of new candidate varieties that technological centers and experimental stations can provide. One last point that must be resolved is the ownership of the landraces, their certification, and their maintenance until they are replaced by newly evolved types (it is to be expected that landraces will have a certain half-life during which they will be maintained invariable through conservative selection, while new, further-evolved versions are being developed) (Figure 2). Dealing with this point requires imagination and generosity. Registries of conservation varieties represent an attempt to provide a legal framework for these materials, but further developments are needed to take into account the inherent heterogeneity of landraces. REFERENCES Annu. Rev. Ecol. Evol. Syst. 30, 539–563. doi: 10.1146/annurev.ecolsys.30. 1.539 Almirall, A. R., Bosch, L., Romero Del Castillo, M., Rivera, A., and Casañas, F. (2010). “Croscat” common bean (Phaseolus vulgaris L.), a prototypical cultivar within the “Tavella Brisa” type. HortScience 45, 432–433. Ferreira, J. J., Campa, A., Pérez-Vega, E., Rodríguez-Suárez, C., and Giraldez, R. (2012). Introgression and pyramiding into common bean market class fabada of genes conferring resistance to anthracnose and potyvirus. Theor. Appl. Genet. 124, 777–788. doi: 10.1007/s00122-011-1746-x Bitocchi, E., Bellucci, E., Rau, D., Albertini, E., Rodriguez, M., Veronesi, F., et al. (2015). European flint landraces grown in situ reveal adaptive introgression from modern maize. PLoS ONE 10:e0121381. doi: 10.1371/journal.pone. 0121381 Garcia-Martínez, S., Grau, A., Aranzazu, A., Rubio, F., Valero, M., and Ruiz, J. J. (2011). UMH 1200, a breeding line within the muchamiel tomato type resistant to three viruses. HortScience 46, 1054–1055. Gompert, Z., and Buerkle, C. A. (2016). What, if anything, are hybrids: enduring truths and challenges associated with population structure and gene flow. Evol. Appl. 9, 909–923. doi: 10.1111/eva.12380 Bitocchi, E., Nanni, L., Rossi, M., Rau, D., Bellucci, E., Giardini, A., et al. (2009). Introgression from modern hybrid varieties into landrace populations of maize (Zea mays ssp. mays L.) in central Italy. Mol. Ecol. 18, 603–621. doi: 10.1111/j. 1365-294X.2008.04064.x Harlan, J. R. (1965). The possible role of weed races in the evolution of cultivated plants. Euphytica 14, 173–176. doi: 10.1007/BF00038984 Bosch, L., Casañas, F., Sánchez, E., Pujolà, M., and Nuez, F. (1998). Selection L67, a pure line with true seed type of the Ganxet common bean (Phaseolus vulgaris L.). HortScience 33, 905–906. Harlan, J. R. (1992). Crops & Man, Second Edn. Madison, WI: Crop Science Society of America and American Society of Agronomy. Jarvis, D. I., and Hodgkin, T. (1999). Wild relatives and crop cultivars: detecting natural introgression and farmer selection of new genetic combinations in agroecosystems. Mol. Ecol. 8, 159–173. doi: 10.1046/j.1365-294X.1999.00799.x Casals, J., Bosch, L., Casañas, F., Cebolla, J., and Nuez, F. (2010). Montgrí, a cultivar within the montserrat tomato type. Hortscience 45, 1885–1886. Mayr, E. (1937). Alpine Landsorten in ihrer Bedeutung für die praktische Züchtung. Forschungsdienst 4, 162–166. Causse, M., Desplat, N., Pascual, L., Le Paslier, M. C., Sauvage, C., Bauchet, G., et al. (2013). Whole genome resequencing in tomato reveals variation associated with introgression and breeding events. BMC Genomics 14:791. doi: 10.1186/1471- 2164-14-791 Messeguer, J. (2003). Gene flow assessment in transgenic plants. FUNDING This work has been partially funded by the European Union’s Horizon 2020 research and innovation program under grant agreements no. 634651 (TRADITOM) and no. 677379 (G2P- SOL). This work has been partially funded by the European Union’s Horizon 2020 research and innovation program under grant agreements no. 634651 (TRADITOM) and no. 677379 (G2P- SOL). The review of Negri et al. (2009) warns that “Unless action is taken immediately, landraces losses will continue and complete extinction is the only possible conclusion. As a consequence, AUTHOR CONTRIBUTIONS FC and JP conceived the project and supervised the manuscript. FC, JS, JC, and JP drafted the manuscript and contributed to discussions. JS and JC designed and drew the figures. REFERENCES Plant Cell Tissue Organ. Cult. 73, 201–212. doi: 10.1023/A:1023007606621 Del Greco, A., Negri, V., Maxted, N., and compilers. (2007). “Report of a task force on on-farm conservation and management,” in Proceedings of the Second Meeting, Stegelitz, Germany, (Rome: Bioversity International), 19–20. Negri, V., Maxted, N., and Veteläinen, M. (2009). “European landrace conservation: an introduction,” in European Landraces: on farm Conservation, Management and Use: Biodiversity Technical Bulletin no 15, eds M. Veteläinen, V. Negri, and N. Maxted (Rome: European Cooperative Programme for Plant Genetic Resources). Ellstrand, N. C. (2014). Is gene flow the most important evolutionary force in plants? Am. J. Bot. 101, 737–753. doi: 10.3732/ajb.1400024 Nogué, F., Mara, K., Collonnier, C., and Casacuberta, J. M. (2016). Genome engineering and plant breeding: impact on trait discovery and development. Plant Cell. Rep. 35, 1475–1486. doi: 10.1007/s00299-016-1993-z Ellstrand, N. C., Meirmans, P., Rong, J., Bartsch, D., Ghosh, A., de Jong, T. J., et al. (2013). Introgression of crop alleles into wild or weedy populations. Annu. Rev. Ecol. Evol. Syst. 44, 325–345. doi: 10.1146/annurev-ecolsys-110512-135840 Prohens, J., Muñoz-Falcon, J. E., Rodriguez-Berruezo, A., Ribas, F., Castro, A., and Nuez, F. (2009). ‘H15’, an Almagro-type eggplant with high yield and reduced prickliness. Hortscience 44, 2017–2019. Ellstrand, N. C., Prentice, H. C., and Hancock, J. F. (1999). Gene flow and introgression from domesticated plants into their wild relatives. Frontiers in Plant Science | www.frontiersin.org February 2017 | Volume 8 | Article 145 6 Casañas et al. An Evolved Concept of Landrace An Evolved Concept of Landrace Simó, J., Romero Del Castillo, R., Almirall, A., and Casañas, F. (2012). “Roquerola” and “Montferri” first improved onion (Allium cepa L.) cultivars for “calçots” production. HortScience 47, 801–802. Conflict of Interest Statement: The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest. Villa, T. C., Maxted, N., Scholten, M. A., and Ford-Lloyd, B. V. (2005). Defining and identifying crop landraces. Plant Genet. Res. 3, 373–384. doi: 10.1079/ PGR200591 Copyright © 2017 Casañas, Simó, Casals and Prohens. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) or licensor are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. Zeven, A. C. (1998). Landraces: a review of definitions and classifications. Euphytica 104, 127–139. doi: 10.1023/A:1018683119237 Frontiers in Plant Science | www.frontiersin.org REFERENCES No use, distribution or reproduction is permitted which does not comply with these terms. von Rümker, K. (1908). Die systematische Einteilung und Benennung der Getreidesorten für praktische Zwecke. Jahrb. Dtsch. Landwirtsch. Ges. 23, 137–167. Zeven, A. C. (1998). Landraces: a review of definitions and classifications. Euphytica 104, 127–139. doi: 10.1023/A:1018683119237 February 2017 | Volume 8 | Article 145 Frontiers in Plant Science | www.frontiersin.org 7
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Modeling Influencing Factors in B-Cell Reconstitution After Hematopoietic Stem Cell Transplantation in Children
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Modeling influencing factors in B-cell reconstitution after hematopoietic stem cell transplantation in children Maas, N.G. van der; Asmuth, E.G.J. von; Berghuis, D.; Schouwenburg, P.A. van; Putter, H.; Burg, M. van der; Lankester, A.C. ling influencing factors in B-cell reconstitution after topoietic stem cell transplantation in children Modeling influencing factors in B-cell reconstitution after hematopoietic stem cell transplantation in children Maas, N.G. van der; Asmuth, E.G.J. von; Berghuis, D.; Schouwenburg, P.A. van; Putter, H.; Burg, M. van der; Lankester, A.C. Citation Maas, N. G. van der, Asmuth, E. G. J. von, Berghuis, D., Schouwenburg, P. A. van, Putter, H., Burg, M. van der, & Lankester, A. C. (2021). Modeling influencing factors in B-cell reconstitution after hematopoietic stem cell transplantation in children. Frontiers In Immunology, 12. doi:10.3389/fimmu.2021.684147 Citation Maas, N. G. van der, Asmuth, E. G. J. von, Berghuis, D., Schouwenburg, P. A. van, Putter, H., Burg, M. van der, & Lankester, A. C. (2021). Modeling influencing factors in B-cell reconstitution after hematopoietic stem cell transplantation in children. Frontiers In Immunology, 12. doi:10.3389/fimmu.2021.684147 Citation Maas, N. G. van der, Asmuth, E. G. J. von, Berghuis, D., Schouwenburg, P. A. van, Putter, H., Burg, M. van der, & Lankester, A. C. (2021). Modeling influencing factors in B-cell reconstitution after hematopoietic stem cell transplantation in children. Frontiers In Immunology, 12. doi:10.3389/fimmu.2021.684147 Modeling Influencing Factors in B-Cell Reconstitution After Hematopoietic Stem Cell Transplantation in Children 1 Willem-Alexander Children’s Hospital, Department of Pediatrics and Laboratory for Pediatric Immunology, Leiden University Medical Center, Leiden, Netherlands, 2 Leiden University Medical Center, Department of Medical Statistics and Bioinformatics, Leiden, Netherlands Keywords: B lymphocyte, allogeneic, hematopoietic stem cell transplantation, immune reconstitution, pediatric, linear mixed effect modelling Citation Version: Publisher's Version License: Creative Commons CC BY 4.0 license Downloaded from: https://hdl.handle.net/1887/3277437 Version: Publisher's Version License: Creative Commons CC BY 4.0 license Downloaded from: https://hdl.handle.net/1887/3277437 License: Note: To cite this publication please use the final published version (if applicable). ORIGINAL RESEARCH published: 07 May 2021 doi: 10.3389/fimmu.2021.684147 Edited by: Benny J. Chen, Duke University, United States Reduced total and memory B-cell numbers in peripheral blood long term after hematopoietic stem cell transplantation (HSCT) are associated with an increased incidence of infections and immune complications. Using novel modelling strategies, baseline factors influencing B-cell reconstitution can be comprehensively studied. This study aims to investigate the numerical total and memory B-cell reconstitution in children and the association with baseline determinants 0.5-2 years after allogeneic HSCT. Eligible for inclusion were children transplanted in our center between 2004-2017 who received a first HSCT for malignant or non-malignant disorders. The continuous absolute counts of total and memory B-cells were evaluated as outcome measure. Exploratory analysis at one year was done to identify possible determinants. Linear mixed effect modelling was used to analyze the association of these determinants with total and memory B-cell reconstitution 0.5-2 years after HSCT. In a cohort of 223 evaluable patients analyzed at 1-year after HSCT donor age, stem cell source, donor type, recipient age and conditioning were identified as significant determinants for total and memory B-cell numbers. Multivariable analysis revealed that both donor and recipient age were inversely correlated with the size of total and memory B-cell reconstitution. In contrast, no correlation was found with stem cell source, donor type and conditioning. Making use of linear mixed modelling both stem cell donor and recipient age were identified as independent determinants of total and memory B-cell reconstitution 0.5-2 years after HSCT. Reviewed by: Suhag Parikh, Emory University, United States Rusan Ali Catar, Charite´ – Universitätsmedizin Berlin, Germany *Correspondence: Arjan C. Lankester A.lankester@lumc.nl *Correspondence: Arjan C. Lankester A.lankester@lumc.nl Specialty section: This article was submitted to Alloimmunity and Transplantation, a section of the journal Frontiers in Immunology Received: 22 March 2021 Accepted: 22 April 2021 Published: 07 May 2021 Specialty section: This article was submitted to Alloimmunity and Transplantation, a section of the journal Frontiers in Immunology Specialty section: This article was submitted to Alloimmunity and Transplantation, a section of the journal Frontiers in Immunology Received: 22 March 2021 Accepted: 22 April 2021 Published: 07 May 2021 ORIGINAL RESEARCH published: 07 May 2021 doi: 10.3389/fimmu.2021.684147 Outcome The outcome was the continuous count of total and memory B-cells. Citation: van der Maas NG, von Asmuth EGJ, Berghuis D, van Schouwenburg PA, Putter H, van der Burg M and Lankester AC (2021) Modeling Influencing Factors in B-Cell Reconstitution After Hematopoietic Stem Cell Transplantation in Children. Front. Immunol. 12:684147. doi: 10.3389/fimmu.2021.684147 May 2021 | Volume 12 | Article 684147 Frontiers in Immunology | www.frontiersin.org 1 Modeling B-Cell Recovery Post-HSCT van der Maas et al. Study Subjects y j Eligible for inclusion were patients transplanted between April 2004 and January 2017 at the Leiden University Medical Center (LUMC). Inclusion criteria were children whom received a single bone marrow (BM), peripheral blood stem cell (PBSC) or cord blood (CB) HSCT from a matched family/sibling donor, haplo-identical donor or a matched/mismatched unrelated donor. Indication for transplantation was malignant hematological disease, non- malignant hematological disorders, and inborn errors of immunity. Because we wanted to investigate the full reconstitution pattern of B-cell and memory B-cell numbers after HSCT, we tried to exclude all possible complicated trajectories: death or relapse within half a year post-HSCT, use of rituximab and graft-versus-host disease more than grade II. Peripheral blood samples were routinely obtained for analysis at several time points after HSCT. All available blood samples between 0.5 and 2 years were used in the analysis. Missing outcome values were excluded from analysis. Transplantations were performed in line with the guidelines of the European society of Blood and Marrow Transplantation. Approval for obtaining and analyzing blood samples was given by the local ethics committee (protocol P01.028). Informed consent was provided by the patient and/or parent or guardian. METHODS • Stem cell source, donor type and conditioning do not influence the B-cell and memory B-cell numbers 0.5-2 years after HSCT. • Stem cell source, donor type and conditioning do not influence the B-cell and memory B-cell numbers 0.5-2 years after HSCT. HIGHLIGHTS with baseline factors using these mixed effects models after allogeneic HSCT. • Using a novel linear mixed model approach we demonstrated that B-cell and memory B-cell numbers 0.5-2 years after HSCT are influenced by time after transplantation, donor age and recipient age. Flow Cytometry y y Between October 1, 2004 and December 31, 2015, PBMC were separated using ficoll-isopaque density gradient centrifugation. PBMC were stained with CD45, CD14, CD33, CD235a, CD19, CD27 antibodies. Four-color flow cytometry was performed on a BD FACS Calibur II flow cytometer (Becton Dickinson Biosciences [BD], Franklin Lakes, NJ). Between January 1, 2016 and January 1, 2019, leukocyte subsets (absolute leukocyte counts and differential) were measured by an automated hematology analyzer, and lymphocyte subpopulations (CD3+ T cells, CD3+CD4+ T cells, CD3+CD8+ T cells, CD19+ B cells and CD16+/-CD56+ NK cells, CD19+CD27+ memory B-cells) were measured by flow cytometry in freshly collected blood samples as part of the patients’ routine clinical follow-up. Data were analyzed using BD Cellquest software. Lymphocytes were defined as CD45+ CD33/CD235a/CD14−cells within the forward/sideward scatter lymphocyte gate. Total B-cells were defined as CD19+ cells and total memory B-cells as CD19+CD27+ cells within the lymphocyte gate and absolute cell numbers per mL of peripheral blood were calculated. Up to now, identification of determinants of B-cell and memory B-cell reconstitution after HSCT has been mainly performed with a suboptimal approach using single time point outcomes. This could potentially lead to data loss, as other time points are excluded, and precludes to study the influence of determinants on the pattern of reconstitution. Moreover, investigating the trajectories with multiple measurements per subject would provide a better view of the reconstitution kinetics after HSCT. Mixed effects models are designed to meet this requirement (7). As a first step, we studied in, to our knowledge, the largest pediatric cohort to date the numerical B-cell and memory B-cell reconstitution during the first half to two years after pediatric stem cell transplantation and their association INTRODUCTION Allogeneic hematopoietic stem cell transplantation (HSCT) is a curative treatment for patients with congenital and acquired disorders of the hematopoietic system. After HSCT, balanced recovery of the repopulating hematopoietic system is required to ensure lasting protective immunity and immune tolerance (1). Typically, innate immune reconstitution precedes the recovery of the adaptive immune system. Full reconstitution of the hematopoietic system, especially B-cell immunity, can take up to 2 years or even longer. Immune reconstitution after allogeneic HSCT has been studied extensively with the main focus on T-cell reconstitution. Only limited information is available about B-cell reconstitution. Following HSCT, proper B-cell reconstitution is required to provide optimal protective immunity against pathogens as well as balanced immune regulation. Deficiencies therein may result in lasting immunoglobulin (Ig) dependency, increased risk of infections, impaired vaccine responses and immune dysregulation, leading to considerable morbidity and mortality (2–4). Identifying baseline factors that influence the reconstitution pattern of peripheral B-cells could be instrumental to predict clinical and immunological transplant outcome, and to timely anticipate complications. So far, several transplant factors have been described to influence the numerical B-cell reconstitution in children including stem cell source, donor type and conditioning regimen [reviewed in (5)]. The impact of donor and recipient age as independent parameters on B-cell or memory B-cell reconstitution in pediatric HSCT recipients is largely unresolved. Still, evidence from the normal pediatric population shows dynamic age-dependent changes of the B- cell and memory B-cell populations during childhood (6). Frontiers in Immunology | www.frontiersin.org Included Patients We investigated donor age (CB excluded), recipient age, stem cell source, donor type and conditioning as potential influencing factors on total and memory B-cell numbers at 1 year after HSCT. With the exception of conditioning and B-cells, all investigated determinants were significantly associated with total B and memory B-cell numbers 1 year after HSCT (Figures 1A–J). Subsequently, we investigated the determinants further in a multivariable analysis. Between April 2004 and January 2017, 359 patients received a first HSCT at the LUMC (Figure S1). First, 68 patients were excluded (19%) because of death or relapse of disease within 6 months after HSCT. Subsequently, 44 patients (12%) were excluded from the cohort because of the use of rituximab, a B-cell depleting monoclonal antibody. Acute graft versus host disease (aGvHD) above grade 2 was present in 21 patients (6%). These patients were also excluded, because of the intensive and prolonged immunosuppressive treatment associated with aGvHD. Finally, 3 patients (0.8%) were excluded who had no engraftment or from whom no blood samples were available in the period of analysis. This resulted in a sample population of 223 patients (Figure S1). From these patients, we obtained 1531 data points for total B-cell numbers of all 223 patients and 993 data points for memory B-cell numbers of 219 patients. The mean follow up time of the cohort was 1.7 years with a median of 6 measurements per patient for total B-cell numbers. For memory B-cell numbers, the mean follow up time was 1.4 years with a median of 4 measurements per patient. Statistical Analysis BM, bone marrow; CB, cord blood; PBSC, peripheral blood stem cells; MAC, myeloablative; RIC, reduced intensity conditioning. Data is presented as number with percentage (%) or as median with minimum and maximum range. B-Cell Reconstitution To study the dynamics of total and memory B-cell patterns over time in our sample population, we quantified cell numbers of all patients between 0.5-2 years after transplantation. Total and memory B-cell numbers increase over time after HSCT. The average total B-cell numbers increase in the first year after HSCT (Figure 2A). From 1 year after HSCT onwards, the B-cell numbers stabilize. The average memory B-cell numbers show a different profile with a continuous declining increase over two years (Figure 2B). Both for total as well as memory B-cell numbers considerable variability is seen up to 2 years after HSCT (Figures 2A, B). The total and memory B-cell numbers are correlated at 1 year and 2 years after HSCT (1 year after HSCT R=0.84 and 2 years after HSCT R=0.7, Figures 2C, D) Statistical Analysis y To assess what potential factors are associated with higher or lower B-cell counts we started with determinant analysis at 1 year. May 2021 | Volume 12 | Article 684147 Frontiers in Immunology | www.frontiersin.org 2 Modeling B-Cell Recovery Post-HSCT van der Maas et al. TABLE 1 | Patient characteristics. Total = 223 Recipient age Year 8.7 (0.2 -17.9) Recipient sex Male 155 (69.5%) Female 68 (30.5%) Donor age (CB excluded) Year 24.6 (1.75- 56.8) Donor sex Male 112 (50.2%) Female 111 (49.8%) Stem cell source BM 175 (78.5%) CB 22 (9.9%) PBSC 26 (11.7%) Donor type Identical related 83 (37.2%) Haplo-identical 20 (9.0%) Unrelated 120 (53.8%) HSCT indication Malignant hematological disease 109 (48.9%) Non-malignant hematological disorders 82 (36.8%) Inborn errors of immunity 32 (14.3%) Conditioning MAC 207 (92.8%) RIC 16 (7.2%) BM, bone marrow; CB, cord blood; PBSC, peripheral blood stem cells; MAC, myeloablative; RIC, reduced intensity conditioning. Data is presented as number with percentage (%) or as median with minimum and maximum range. Median and interquartile ranges were used to describe continuous variables. Donor and recipient age were categorized in 0-5, 5-10, 10-15 and >15 years. The variables were compared on total and memory B-cell count using the Wilcoxon signed-rank test or Kruskal-Wallis test. We constructed a regression model in which the variables from analysis at 1 year were selected. To assess the trajectories with multiple measurements per patient, Mixed effects models were used to investigate the patterns of total and memory B-cell count after HSCT. The total and memory B-cell count were the outcomes of the model. To satisfy the model assumptions, the total B-cell and memory B-cell count was transformed with the natural logarithm. As independent variable, the time after HSCT was included. Time was allowed to have a non-linear effect, using a natural cubic spline. Adding splines in a model enables flexibility, capturing the trend in the data with more precision. The spline knots were set on 9 and 13 months. Residual plots were used to validate the models’ assumptions. The statistical analyses were performed with R software version 3.6.2 using the nlme (linear mixed effects model) software package (8, 9). BM, bone marrow; CB, cord blood; PBSC, peripheral blood stem cells; MAC, myeloablative; RIC, reduced intensity conditioning. Data is presented as number with percentage (%) or as median with minimum and maximum range. Patient Characteristics Patient characteristics are summarized in Table 1. The subjects in the sample population were predominantly male (69.5%) with a median age of 8.7 years. The median donor age (CB excluded in this analysis) was 24.6 years and there was a balanced use of male and female donors in the group (male 50.2% vs female 49.8%). Most patients were transplanted with a bone marrow graft (78.5%), and had an unrelated donor (53.8%). Indication for transplantation was in most cases malignant disease (48.9%). In 207 (92.8%) patients myeloablative conditioning (MAC) was used and in 16 (7.2%) reduced intensity conditioning (RIC). Linear Mixed Effects Modelling We developed a model with time, donor age, recipient age, stem cell source, donor type and conditioning as independent variables. CB was left out of the analysis. Effect estimates can be seen in Table S1 and in Figures 3A–J we plotted the effect of donor age, recipient age, stem cell source, donor type and conditioning for cell number trajectories over time. May 2021 | Volume 12 | Article 684147 Frontiers in Immunology | www.frontiersin.org 3 Modeling B-Cell Recovery Post-HSCT van der Maas et al. A B D E F G I H J C J) Determinant analysis at 1 year. BM, bone marrow; CB, cord blood; PBSC, peripheral blood stem cells; Haplo, haplo-identical; IRD, identical , unrelated donor; MAC, myeloablative; RIC, reduced intensity conditioning. P value from the Wilcoxon signed-rank test or Kruskal-Wallis test ories and total and memory B-cell numbers Data is presented as median with interquartile ranges D E G I ant analysis at 1 year. BM, bone marrow; CB, cord bloo E F G I H J FIGURE 1 | (A–J) Determinant analysis at 1 year. BM, bone marrow; CB, cord blood; PBSC, peripheral blood stem cells; Haplo, haplo-identical; IRD, identical related donor; UD, unrelated donor; MAC, myeloablative; RIC, reduced intensity conditioning. P value from the Wilcoxon signed-rank test or Kruskal-Wallis test comparing categories and total and memory B-cell numbers. Data is presented as median with interquartile ranges. F H J od; PBSC, peripheral blood stem cells; Haplo, hap nditioning P value from the Wilcoxon signed-rank t F H FIGURE 1 | (A–J) Determinant analysis at 1 year. BM, bone marrow; CB, cord blood; PBSC, peripheral blood stem cells; Haplo, haplo-identical; IRD, identical related donor; UD, unrelated donor; MAC, myeloablative; RIC, reduced intensity conditioning. Donor Age Patients transplanted with younger donors have a significantly increased total and memory B-cell trajectories at 6 months. This difference remains visible up to 2 years after HSCT (Figures 3A, B). For total B-cells, we found no significant difference between the trajectories of patients receiving a graft of 0-5 years old donor and 5-10 years (P=0.56, Table S1, Figure 3A). However, the adjusted mean trajectory was decreased for those receiving grafts with donor age 10-15 years and also for those receiving grafts with donor age >15 years compared to donor age 0-5 years (P=0.01, P=0.001). The trajectories of memory B-cells in patients receiving a graft of 0-5 years and 5-10 years old donor were not significantly different (P=0.51, Figure 3B). The adjusted mean trajectory was less for those receiving grafts with donor age 10-15 years and donor age >15 years compared to donor age 0-5 years (P=0.009, P=0.004). The linear association of total and memory B-cells and donor age can be seen in Figures S2 A, B. Time After HSCT patients between 10-15 years and older than 15 years show lower memory B-cell numbers after HSCT compared to reference (P<0.001). The linear association of total and memory B-cells and recipient age can be seen in Figure S3 A, B. Time after HSCT (0.5-2 years) has a significant influence on the reconstitution of total and memory B-cell numbers. Total B-cells increase significantly between 6-9 months (P< 0.001, Table S1), 9-13 months (P< 0.001) and 13-24 months (P< 0.001). Memory B-cell numbers show a similar trend, they increase significantly between 6-9 months (P< 0.001), 9-13 months (P< 0.001) and 13- 24 months (P< 0.001). Stem Cell Source, Donor Type and Conditioning There were no significant variations in the trajectories with respect to the total and memory B-cell numbers and the use of different stem cell sources (BM, PBSC), donor type (identical related, haplo-identical or unrelated donor) and conditioning used prior to HSCT (MAC or RIC) (Table S1, Figures 3E–J). Patient Characteristics P value from the Wilcoxon signed-rank test or Kruskal-Wallis test comparing categories and total and memory B-cell numbers. Data is presented as median with interquartile ranges. May 2021 | Volume 12 | Article 684147 4 Frontiers in Immunology | www.frontiersin.org Modeling B-Cell Recovery Post-HSCT van der Maas et al. A B D C FIGURE 2 | (A–D) The effect of time on total (A) and memory B-cell (B) numbers after HSCT. The correlation of memory B-cells and total B-cells 1 year (C, n=223) after HSCT and 2 years (D, n=86) after HSCT. Data is presented as individual trajectories and dots in black and as the average reconstitution in red. R is the Pearson’s correlation coefficient. A B D C FIGURE 2 | (A–D) The effect of time on total (A) and memory B-cell (B) numbers after HSCT. The correlation of memory B-cells and total B-cells 1 year (C, n=223) after HSCT and 2 years (D, n=86) after HSCT. Data is presented as individual trajectories and dots in black and as the average reconstitution in red. R is the Pearson’s correlation coefficient DISCUSSION This study aimed to identify baseline characteristics that influence the total and memory B-cell reconstitution after HSCT in children. We used a comprehensive analysis approach, taking into account the grouped nature of our data with linear mixed modelling. Making optimal use of all available data from each patient, we found an inverse correlation with donor age and recipient age. Stem cell source, donor type and conditioning revealed no significant association with total and memory B-cell reconstitution trajectories in multivariable analysis. Our data show that donor age has an inverse relationship with total and memory B-cell reconstitution. The effect of donor age on the total and memory B-cell reconstitution could be a reflection of physiological age-associated quantitative changes. Age dependent dynamics are observed in all B-cell subsets of the normal pediatric (donor)population (6) and could determine the pattern of immune reconstitution together with recipient age, time after HSCT and possibly environmental factors. In line with these findings, it will be interesting to address the potential association between donor age and infection susceptibility or protective vaccination responses after HSCT in future studies. Recipient Age Together, this suggests that both age- related donor cell-intrinsic factors and quantitative changes in composition of the donor graft may have an impact on B cell reconstitution. As younger donors appear to be associated with improved B-cell reconstitution, this aspect may be taken into consideration during the process of donor selection. The CD19+CD27+ memory B-cell population includes both non-switched and switched memory B-cells. Furthermore, CD27- memory B-cells, accounting for approximately 2.5-8.2% of all B-cells in the healthy pediatric population, are not included here (21). This study was a single center analysis. In the future, the general concept of model-based evaluation of clinical parameters should preferably be implemented in prospective studies. Detailed data on the other B-cell subsets (transitional, naïve, non-switched and switched), the B-cell receptor repertoire (both naïve and antigen selected) and the quality of humoral immune response e.g. vaccine responses or infection rate after HSCT gathered through multicenter prospective cohort studies will increase our understanding of the fitness of the reconstituting adaptive immune system. More specifically, this could validate the findings in this study, gain new insights in successful adaptive immune reconstitution and stimulate the integration of model-informed evaluation in daily clinical practice with the aim to optimize clinical and immunological outcome after HSCT. Although several other studies have analyzed the effect of donor age on B-cell reconstitution, our study is the first to use the mixed model approach to investigate the influence of donor age on the total and memory B-cell reconstitution after HSCT (10–12). Avanzini et al. and Gonzalez-Vicent et al. studied the percentage of B-cells instead of absolute B-cell numbers, and found no association with donor age (10, 11). Storek et al. reported a correlation between peripheral B cell counts and the number of B cell precursors as detected in bone marrow during the first year after HSCT (12). However the latter were not related to the numbers of CD34 cells in the graft, the stem cell source, and donor and recipient age. Together, this suggests that both age- related donor cell-intrinsic factors and quantitative changes in composition of the donor graft may have an impact on B cell reconstitution. As younger donors appear to be associated with improved B-cell reconstitution, this aspect may be taken into consideration during the process of donor selection. ETHICS STATEMENT The studies involving human participants were reviewed and approved by Medisch Ethisch Toetsingscommissie Leiden-Den Haag-Delft, Leiden University Medical Center. Written informed consent to participate in this study was provided by the participants’ legal guardian/next of kin. This study demonstrates that there is no significant difference in B-cell reconstitution beyond 6 months after HSCT between BM and PBSC as stem cell source, which is in line with previous reports (17, 18). In contrast, CB has a significantly higher B-cell and memory B-cell numbers 1 year after HSCT, which is in line with other studies (2, 19). The difference could be explained by the higher number of B lymphocyte progenitors found in CB with a better in vitro and in vivo B-cell reconstituting capacity compared to bone marrow grafts (20). Our study shows that there was no significant difference between identical related, unrelated or haplo- identical donors with respect to numerical B-cell or memory B-cell reconstitution. This observation could be relevant in the context of donor selection and the increasing use of haploidentical donors. Recipient Age We found that younger recipient age was associated with higher total and memory B-cell counts after HSCT pointing to a potential role of non-hematopoietic/microenvironmental factors. In mice studies, transplanted young hematopoietic stem cells engraft at a lower efficiency in aged recipients, give rise to a lower percentage of donor derived B-cells and seem to adversely impact mature B-cell production short term, but not long term after HSCT (13, 14). Transplanting hematopoietic stem cells into a younger microenvironment might thus contribute to a numerical increase of the B-cell reconstitution as observed in our study. Further studies will be required to unravel the age-related mechanisms responsible for the hematopoietic cell-intrinsic as well as microenvironmental determinants of B cell development. In conclusion, using a linear mixed modelling approach we demonstrated in a large pediatric cohort that donor age, recipient age as well as time after HSCT have a significant impact on the reconstitution pattern of total and memory B-cell numbers 0.5-2 years after HSCT. AUTHOR CONTRIBUTIONS NM and MB contributed conception of the paper. NM did the statistical analysis and wrote the first draft of the manuscript. HP and EA contributed to the statistical analysis. DB, MB, PS, and AL contributed to study design and contributed in writing the manuscript. All authors contributed to the article and approved the submitted version. DATA AVAILABILITY STATEMENT The data and code of the model is available on request to the corresponding author. RIC regimens are frequently used in children either because the underlying disease or the pre-existing co-morbidities prohibits a MAC approach. Conditioning with RIC is associated with better survival in these subgroups, due to favorable toxicity profile and thus lower transplant-related mortality (15, 16). Since RIC results in less myeloablation it is more likely for autologous hematopoietic precursors including B-cell lineage, to survive. In this study we did not have the opportunity to investigate whether B-cell chimerism had an impact on numerical B-cell reconstitution. Still, in our study RIC and MAC had similar B-cell and memory B-cell reconstitution profiles. Frontiers in Immunology | www.frontiersin.org Recipient Age Recipient age 5-10 is associated with a lower total B-cell number mean adjusted trajectory 0.5-2 years after HSCT compared to the reference recipient age of 0-5 years (P=0.04, Table S1, Figure 3C). Recipient age 10-15 was not significantly different (P=0.07), but patient older than 15 years again had lower total B-cell numbers (P=0.04). Patient age 5-10 years did not significantly influence memory B-cell numbers (P=0.11, Figure 3D). But May 2021 | Volume 12 | Article 684147 Frontiers in Immunology | www.frontiersin.org 5 Modeling B-Cell Recovery Post-HSCT van der Maas et al. A B D E F G I H J C RE 3 | (A–J) Cell number trajectories of total B-cells and memory B-cells and the effect of baseline factors over time. Yrs, years; BM, bone marrow; CB, cord d; PBSC, peripheral blood stem cells; Haplo, haplo-identical; IRD, identical related donor; UD, unrelated donor; MAC, myeloablative; RIC, reduced intensity tioning. Lines represent mean predicted values, shaded areas the 95% CI’s. A B B C D D D E F F E F G I H J G H H H G I J FIGURE 3 | (A–J) Cell number trajectories of total B-cells and memory B-cells and the effect of baseline factors over time. Yrs, years; BM, bone marrow; CB, cord blood; PBSC, peripheral blood stem cells; Haplo, haplo-identical; IRD, identical related donor; UD, unrelated donor; MAC, myeloablative; RIC, reduced intensity conditioning. Lines represent mean predicted values, shaded areas the 95% CI’s. May 2021 | Volume 12 | Article 684147 Frontiers in Immunology | www.frontiersin.org 6 Modeling B-Cell Recovery Post-HSCT van der Maas et al. Although several other studies have analyzed the effect of donor age on B-cell reconstitution, our study is the first to use the mixed model approach to investigate the influence of donor age on the total and memory B-cell reconstitution after HSCT (10–12). Avanzini et al. and Gonzalez-Vicent et al. studied the percentage of B-cells instead of absolute B-cell numbers, and found no association with donor age (10, 11). Storek et al. reported a correlation between peripheral B cell counts and the number of B cell precursors as detected in bone marrow during the first year after HSCT (12). However the latter were not related to the numbers of CD34 cells in the graft, the stem cell source, and donor and recipient age. REFERENCES 13. Rossi DJ, Bryder D, Zahn JM, Ahlenius H, Sonu R, Wagers AJ, et al. Cell Intrinsic Alterations Underlie Hematopoietic Stem Cell Aging. Proc Natl Acad Sci USA (2005) 102:9194–9. doi: 10.1073/pnas.0503280102 1. Ogonek J, Kralj Juric M, Ghimire S, Varanasi PR, Holler E, Greinix H, et al. Immune Reconstitution After Allogeneic Hematopoietic Stem Cell Transplantation. Front Immunol (2016) 7:507. doi: 10.3389/fimmu.2016.00507 1. Ogonek J, Kralj Juric M, Ghimire S, Varanasi PR, Holler E, Greinix H, et al. Immune Reconstitution After Allogeneic Hematopoietic Stem Cell Transplantation. Front Immunol (2016) 7:507. doi: 10.3389/fimmu.2016.00507 14. Ergen AV, Boles NC, Goodell MA. Rantes/Ccl5 Influences Hematopoietic Stem Cell Subtypes and Causes Myeloid Skewing. Blood (2012) 119:2500–9. doi: 10.1182/blood-2011-11-391730 2. Abdel-Azim H, Elshoury A, Mahadeo KM, Parkman R, Kapoor N. Humoral Immune Reconstitution Kinetics After Allogeneic Hematopoietic Stem Cell Transplantation in Children: A Maturation Block of IgM Memory B Cells May Lead to Impaired Antibody Immune Reconstitution. Biol Blood Marrow Transpl (2017) 23:1437–46. doi: 10.1016/j.bbmt.2017.05.005 15. Chiesa R, Veys P. Reduced-Intensity Conditioning for Allogeneic Stem Cell Transplant in Primary Immune Deficiencies. Expert Rev Clin Immunol (2012) 8:255–66; quiz 267. doi: 10.1586/eci.12.9 16. Rao K, Amrolia PJ, Jones A, Cale CM, Naik P, King D. Improved Survival After Unrelated Donor Bone Marrow Transplantation in Children With Primary Immunodeficiency Using a Reduced-Intensity Conditioning Regimen. Blood (2005) 105:879–85. doi: 10.1182/blood-2004-03-0960 3. Corre E, Carmagnat M, Busson M, de Latour RP, Robin M, Ribaud P, et al. Long-Term Immune Deficiency After Allogeneic Stem Cell Transplantation: B-cell Deficiency is Associated With Late Infections. Haematologica (2010) 95:1025–9. doi: 10.3324/haematol.2009.018853 17. Storek J, Dawson MA, Storer B, Stevens-Ayers T, Maloney DG, Marr KA, et al. Immune Reconstitution After Allogeneic Marrow Transplantation Compared With Blood Stem Cell Transplantation. Blood (2001) 97:3380–9. doi: 10.1182/ blood.v97.11.3380 4. Sarantopoulos S, Blazar BR, Cutler C, Ritz J. B Cells in Chronic Graft-Versus- Host Disease. Biol Blood Marrow Transplant (2015) 21:16–23. doi: 10.1016/ j.bbmt.2014.10.029 18. Abrahamsen IW, Somme S, Heldal D, Egeland T, Kvale D, Tjonnfjord GE. Immune Reconstitution After Allogeneic Stem Cell Transplantation: The Impact of Stem Cell Source and Graft-Versus-Host Disease. Haematologica (2005) 90:86–93. Available at: https://www.haematologica.org/article/ download/3348/12043. 5. van der Maas NG, Berghuis D, van der Burg M, Lankester AC. B Cell Reconstitution and Influencing Factors After Hematopoietic Stem Cell Transplantation in Children. Front Immunol (2019) 10:782. doi: 10.3389/ fimmu.2019.00782 6. Blanco E, Perez-Andres M, Arriba-Mendez S, Contreras-Sanfeliciano T, Criado I, Pelak O, et al. REFERENCES Age-Associated Distribution of Normal B-cell and Plasma Cell Subsets in Peripheral Blood. J Allergy Clin Immunol (2018) 141:2208–19.e2216. doi: 10.1016/j.jaci.2018.02.017 19. Bartelink IH, Belitser SV, Knibbe CAJ, Danhof M, de Pagter AJ, Egberts TCG, et al. Immune Reconstitution Kinetics as an Early Predictor for Mortality Using Various Hematopoietic Stem Cell Sources in Children. Biol Blood Marrow Transpl (2013) 19:305–13. doi: 10.1016/j.bbmt.2012.10.010 7. von Asmuth EGJ, Mohseny AB, Putter H, Schilham MW, Lankester AC. Modeling Long-Term Erythropoietic Recovery After Allogeneic Stem Cell Transplants in Pediatric Patients. Front Pediatr (2020) 8:584156. doi: 10.3389/ fped.2020.584156 20. Arakawa-Hoyt J, Dao MA, Thiemann F, Hao QL, Ertl DC, Weinberg KI, et al. The Number and Generative Capacity of Human B Lymphocyte Progenitors, Measured In Vitro and In Vivo, is Higher in Umbilical Cord Blood Than in Adult or Pediatric Bone Marrow. Bone Marrow Transpl (1999) 24:1167–76. doi: 10.1038/sj.bmt.1702048 8. R Core Team. R: A Language and Environment for Statistical Computing: R Foundation for Statistical Computing. (2019). Available at: http://www. R-project.org/. 21. van Gent R, van Tilburg CM, Nibbelke EE, Otto SA, Gaiser JF, Janssens- Korpela PL, et al. Refined Characterization and Reference Values of the Pediatric T- and B-cell Compartments. Clin Immunol (2009) 133:95–107. doi: 10.1016/j.clim.2009.05.020 9. Pinheiro J BD, DebRoy S, Sarkar D, Core Team R. Nlme: Linear and Nonlinear Mixed Effects Models. R Package Version, Vol. 3. CRAN (2018). pp. 1–137. 10. Avanzini MA, Locatelli F, Dos Santos C, Maccario R, Lenta E, Oliveri M, et al. B Lymphocyte Reconstitution After Hematopoietic Stem Cell Transplantation: Functional Immaturity and Slow Recovery of Memory CD27+ B Cells. Exp Hematol (2005) 33:480–6. doi: 10.1016/j.exphem.2005.01.005 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. 11. Gonzalez-Vicent M, Molina B, Deltoro N, Sevilla J, Vicario JL, Castillo A, et al. Donor Age Matters in T-cell Depleted Haploidentical Hematopoietic Stem Cell Transplantation in Pediatric Patients: Faster Immune Reconstitution Using Younger Donors. Leuk Res (2017) 57:60–4. doi: 10.1016/j.leukres. 2017.03.001 Copyright © 2021 van der Maas, von Asmuth, Berghuis, van Schouwenburg, Putter, van der Burg and Lankester. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fimmu.2021. 684147/full#supplementary-material In this retrospective study in which we focused on the quantitative reconstitution, memory B-cells were defined based on positivity of the classical markers CD19 and CD27. May 2021 | Volume 12 | Article 684147 7 Modeling B-Cell Recovery Post-HSCT van der Maas et al. REFERENCES The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms. 12. Storek J, Wells D, Dawson MA, Storer B, Maloney DG. Factors Influencing B Lymphopoiesis After Allogeneic Hematopoietic Cell Transplantation. Blood (2001) 98:489–91. doi: 10.1182/blood.v98.2.489 May 2021 | Volume 12 | Article 684147 Frontiers in Immunology | www.frontiersin.org
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Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data
Remote sensing
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Citation (APA): Ranndal, H., Sigaard Christiansen, P., Kliving, P., Baltazar Andersen, O., & Nielsen, K. (2021). Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data. 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Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data Ranndal, Heidi; Sigaard Christiansen, Philip; Kliving, Pernille; Baltazar Andersen, Ole; Nielsen, Karina Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data Ranndal, Heidi; Sigaard Christiansen, Philip; Kliving, Pernille; Baltazar Andersen, Ole; Nielsen, Karina Ranndal, Heidi; Sigaard Christiansen, Philip; Kliving, Pernille; Baltazar Andersen, Ole; Nielsen, Karina Document Version Publisher's PDF, also known as Version of record General rights Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. General rights Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. Users may download and print one copy of any publication from the public portal for the purpose of private study or research Downloaded from orbit.dtu.dk on: Oct 24, 2024 Downloaded from orbit.dtu.dk on: Oct 24, 2024 Downloaded from orbit.dtu.dk on: Oct 24, 2024   Citation: Ranndal, H.; Sigaard Christiansen, P.; Kliving, P.; Baltazar Andersen, O.; Nielsen, K. Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data. Remote Sens. 2021, 13, 3548. https://doi.org/10.3390/rs13173548 Keywords: ICESat-2; ATLAS; ATL03; lidar; bathymetry; Sisimiut; Heron Reef Link back to DTU Orbit Link back to DTU Orbit Citation (APA): Ranndal, H., Sigaard Christiansen, P., Kliving, P., Baltazar Andersen, O., & Nielsen, K. (2021). Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data. Remote Sensing, 13(17), Article 3548. https://doi.org/10.3390/rs13173548 remote sensing Citation: Ranndal, H.; Sigaard Christiansen, P.; Kliving, P.; Baltazar Andersen, O.; Nielsen, K. Evaluation of a Statistical Approach for Extracting Shallow Water Bathymetry Signals from ICESat-2 ATL03 Photon Data. Remote Sens. 2021, 13, 3548. https://doi.org/10.3390/rs13173548 Heidi Ranndal 1,* , Philip Sigaard Christiansen 2 , Pernille Kliving 1, Ole Baltazar Andersen 1 and Karina Nielsen 1 ,* , Philip Sigaard Christiansen 2 , Pernille Kliving 1, Ole Baltazar Andersen 1 1 1 DTU Space, Technical University of Denmark, Elektrovej 328, 2800 Kongens Lyngby, Denmark; pernille@kliving.dk (P.K.); oa@space.dtu.dk (O.B.A.); karni@space.dtu.dk (K.N.) 1 DTU Space, Technical University of Denmark, Elektrovej 328, 2800 Kongens Lyngby, Denmark; pernille@kliving.dk (P.K.); oa@space.dtu.dk (O.B.A.); karni@space.dtu.dk (K.N.) 2 Danish Geodata Agency, Lindholm Brygge 31, 9400 Nørresundby, Denmark; phsic@gst.dk * Correspondence h il@space dtu dk p g p p 2 Danish Geodata Agency, Lindholm Brygge 31, 9400 Nørresundby, Denmark; phsic@gst.dk * Correspondence: hvil@space.dtu.dk Abstract: In this study we present and validate a simple empirical method to obtain bathymetry pro- files using the geolocated photon data from the Ice, Cloud, and Land Elevation Satellite-2 (ICESat-2) mission, which was launched by NASA in September 2018. The satellite carries the Advanced Topographic Laser Altimeter System (ATLAS), which is a lidar that can detect single photons and calculate their bounce point positions. ATLAS uses a green laser, causing some of the photons to penetrate the air–water interface. Under the right conditions and in shallow waters (<40 m), these photons are reflected back to ATLAS after interaction with the ocean bottom. Using ICESat-2 data from four different overflights above the Heron Reef, Australia, a comparison with SDB data showed a median absolute deviation of approximately 18 cm and Root Mean Square Errors (RMSEs) down to 28 cm. Crossovers between two different overflights above the Heron Reef showed a median absolute difference of 13 cm. For an area north-west of Sisimiut, Greenland, the comparison was done with multibeam echo sounding data, with RMSEs down to between 35 cm, and correspondingly showed median absolute deviations between 33 and 49 cm. The proposed method works well under good conditions with clear waters such as in the Great Barrier Reef; however, for more difficult areas a more advanced machine learning technique should be investigated in order to find an automated method that can distinguish between bathymetry and other signals and noise. 1. Introduction However, the training of these empirical models and calibration of the physical models requires another source of bathymetry or special atmospheric corrections. Using satellite imagery has a higher uncertainty, but has the benefit that it can be done quite easily for many remote areas simply by downloading often freely available imagery online. Another approach which utilizes satellite imagery is two-media photogrammetry, which is a method that has been around for a long time [3,4]. In recent years, WordView-2 stereo imagery has been used to derive bathymetry estimates for depths ranging between 5 and 20 m with Root Mean Square Errors (RMSE) around 1–2 m [5,6]. In addition to satellite imagery, air-borne or even images from drones can be used to derive shallow water bathymetry. To perform two-media photogrammetry, no atmospheric corrections or in-situ data are needed, which in that sense makes it superior to SDB methods. , p Both ICESat and ICESat-2 data have previously been used for bathymetry studies. In [7] they focused on Lake Poopó in Bolivia and used ICESat data to derive isolines from the lake boundaries during low water stages. During high water stages where these areas are inundated, the isolines were used to estimate changes in the water storage. In [8] ICESat-2 ATL03 bathymetry was derived for four different sites, where it was shown that bathymetry could be found for depths down to ≈40 m or a maximum penetration depth of around 0.96 Secchi. The study also performed the first validation of the bathymetric signals from ICESat-2 using in situ data in the area of St. Thomas, U.S. Virgin Islands. After applying a refraction correction they compared the ICESat-2 bathymetry to lidar data from the U.S. Geo- logical Survey (USGS) and the National Oceanic and Atmospheric Administration (NOAA). They found a RMSE of around 0.43–0.60 m. In [9] they used a machine learning method to derive ICESat-2 bathymetry from the ATL03 data set. More specifically, they took advantage of a density-based spatial clustering algorithm called “dbscan” to derive the bathymetry. These bathymetries were then used as input for an empirical SDB model. The resulting SDB depths were validated using airborne lidar bathymetry data near Ganquan Island in the Yongle Atolls, and the resulting RMSE was 1.44 m. The ICESat-2 bathymetry data themselves were not validated. 1. Introduction Received: 17 July 2021 Accepted: 28 August 2021 Published: 6 September 2021 Received: 17 July 2021 Accepted: 28 August 2021 Published: 6 September 2021 Mapping of bathymetry has been important for the safety of marine endeavours since long before modern times. The earliest development of bathymetric charts dates back to 1900 BC in Ancient Egypt [1]. In modern times, nautical charts are important not only for marine safety, but also for fish and marine industries and coastal management. In particular, near shore bathymetry is important for engineering, coastal safety, and environmental monitoring. In some places, shallow water bathymetry also changes with time due to erosion and sediment transport. For these reasons, it is essential that the bathymetry for coastal and shallow waters is mapped. 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. Mapping near coastal bathymetry requires a great effort. Traditionally, single-beam or multibeam echo sounders mounted on a ship are used. The time it takes for a beam of sound to travel from the ship to the seafloor and back reveals the depth at the time of measurement. Near-coastal ship measurements from single- or multibeam sonars are difficult to obtain, since they are hard to deploy close to the shore. They are also costly and require a lot of planning. Today, these kinds of high-resolution soundings of the seafloor can in some cases be carried out by remotely operated vehicles (ROVs) or autonomous underwater vehicles (AUVs) [2]. Another option is airborne lidar bathymetry, which also has the same limitations of being local or regional, as well as being expensive and time consuming. Global, shallow water bathymetry data can currently be obtained using 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/remotesensing Remote Sens. 2021, 13, 3548. https://doi.org/10.3390/rs13173548 Remote Sens. 2021, 13, 3548 2 of 19 multi-spectral satellite imagery from satellites such as WorldView, Landsat and Sentinel-2. This is usually referred to as Satellite-Derived Bathymetry (SDB). Various bands from satellite images are used together with empirical and/or physical models to derive depths. 1. Introduction Other studies have also used ICESat-2 bathymetry together with satellite imagery, mostly from Sentinel-2, to derive Satellite Derived Bathymetry (SDB) in areas such as Florida, Crete and Bermuda [10], St. Croix in the U.S. Virgin Islands [11], and Destin, Florida, U.S [12]. All of these studies have used manual methods to determine bathymetry photons in the ATL03 product from ICESat-2. p Project Trident, led by TCarta and funded by the US National Science Foundation, has developed a bathymetric extraction application and turned it into a commercial prod- uct [13], demonstrating that shallow water bathymetry information is of great value for many purposes. y p p In [14,15] they developed and studied methods for detecting supraglacial lakes and retrieving lake depth from ICESat-2 ATL03 data. These lake depths are well below 10 m, and therefore a lot shallower than the detectable ocean bathymetry as shown in [8,9]. In this study, a new semi-automatic method which can be used to extract the bathy- metric signals directly from the ATL03 data files is presented. The derived bathymetry is validated using SDB data from EOMAP for the Heron Reef in Australia as well as in the waters around Sisimiut, Greenland, where also Multibeam Echo Sounder (MBES) data, provided by the Danish Geodata Agency, is used for validation. The ICESat-2 bathymetry is therefore validated in two completely different coastal environments, where the Arctic waters around Sisimiut, Greenland, is very different from the study sites used in previ- ous publications. 2.2. Sisimiut, Greenland The coastal waters north-west of Sisimiut, Greenland were chosen as a validation site, to see how well ATLAS captures the bathymetry in the archipelago. It is located in the central-western coast of Greenland at 66◦56′20′′N, 53◦40′20′′W, around 320 km north of Nuuk. It is predominantly rocky seabed and with highly varying depths ranging from very deep (down to approximately 200 m) to very shallow areas (0–10 m). The coastal slopes are very high which is a challenge when measuring the depths. Between the skerries, there are patches of shallow water, where soundings by ship is more difficult to obtain. 2. Materials and Methods This section describes the two study areas and the different data sets included in this study as well as the methods needed to derive the ICESat-2 bathymetry. 3 of 19 Remote Sens. 2021, 13, 3548 2.1. Heron Reef The Heron Reef (23◦27′S, 151◦55′E) in Queensland, Australia was used as one of the primary development sites for the algorithm due to its clear waters and the availability of accurate, high-resolution SDB data from EOMAP GmbH & Co. KG. The Heron Reef is a part of the Great Barrier Reef in Australia, and is located 70 km northeast of Gladstone, Queensland. The reef surrounds Heron Island, which is just 800 m wide. The average water temperature is around 25 ◦C according to hourly temperatures listed by the AIMS Temperature Logger Program [16] and the salinity can be approximated to 35‰ by viewing at the AIMS eReefs Visualisation Portal (https://ereefs.aims.gov.au/ereefs-aims (accessed on 8 April 2021) [17]. 2.3. Satellite Derived Bathymetry from EOMAP In order to evaluate the derived bathymetry from ICESat-2, SDB products from EOMAP GmbH & Co. KG have been used. Here we use SDB data for two areas: (1) Heron Reef in the Great Barrier Reef in Australia and (2) the area around Sisimiut, Greenland. The latter was provided by EOMAP in cooperation with the Danish Geodata Agency. Both data sets can be seen in Figure 1. Figure 1. (left) SDB bathymetry of Heron Reef wrt. to the mean sea level, and (right) north of Sisimiut, Greenland, wrt. the latoid. Figure 1. (left) SDB bathymetry of Heron Reef wrt. to the mean sea level, and (right) north of Sisimiut, Greenland, wrt. the latoid. Derivation of SDB data is based on the semi-analytical model by [18,19] which is a remote-sensing reflectance model for shallow waters that do not require any in situ depth measurements. The model retrieves water depths, in addition to optical properties of the water and seabed, from above surface multispectral satellite measurements. The SDB product depends on water clarity and the seabed conditions, and typically only retrieves depths around 0–30 m. According to the Survey Report attached to the demo data from the Heron Reef, EOMAP applies a physics-based procedure, where satellite data are corrected for adjacency from land as described in [20] and corrected for atmospheric and sea surface impacts according to [21]. The process is known as Modular Inversion Program (MIP) and a more thorough description can be found in several scientific articles [21–23]. For this study, both SDB data sets are based on the commercial optical satellite data from the Maxar/DigitalGlobe WorldView-2/3 sensor, which has a high spatial resolution of 2 m. For the Heron Reef, the provided SDB estimates have uncertainties between 0.5 and 2.6 m, or more specifically 0.5 m + 10% of the depth estimate, meaning that the uncertainty increases with depth. The uncertainties for the depth estimates are higher around Sisimiut, where Remote Sens. 2021, 13, 3548 4 of 19 they are based on comparisons with other reference data, and range between 40 cm and 2.4 m, with a mean value of 0.68 m, for depths down to 8 m. Here, the uncertainty also increases with depth. 2.4. Multibeam Reference Data Around Sisimiut, multibeam reference data (see Figure 2) was collected by multibeam echo sounder (MBES) and delivered by the Danish Geodata Agency in cooperation with the surveyors from the Danish Defence. It was collected in the years 2012–2018 and the multibeam surveys are categorized with IHO order 2 [26], which is the least stringent order of hydrographic surveys as defined by the International Hydrographic Organization. The data set has a spatial resolution of 10 m within the surveyed areas. The depths were originally referenced to the lowest astronomical tide, but using the DTU18LAT latoid and the EGM2008 geoid, the bathymetry was referenced to the EGM2008 geoid instead. The time of ICESat-2 data capture and the collected multibeam will be different and therefore temporal changes may be present; however, such changes are expected to be small due to a predominantly rocky seabed in the areas of investigation. Figure 2. Multibeam echo sounding reference data in the area around Sisimiut, Greenland. Figure 2. Multibeam echo sounding reference data in the area around Sisimiut, Greenland. 2.3. Satellite Derived Bathymetry from EOMAP In the area around Sisimiut, the data set was originally referenced to the Lowest Astronomical Tide (LAT); however, using the DTU18LAT latoid model [24] and the EGM2008 geoid heights [25], the data were referenced to EGM2008 to ensure proper comparison between the different data sets. For the Heron Reef, the heights were relative to the mean sea level, and were adjusted using the DTU18MSS. No other adjustments or corrections were applied to these data. 2.5. ICESat-2 Data ICESat-2 was launched by NASA on 15 September 2018 with the primary focus of monitoring elevation changes in the cryosphere. However, due to the green laser onboard the satellite, it is possible to map shallow ocean and lake bathymetry. The satellite carries a single instrument; the Advanced Topographic Laser Altimeter System, which is an altimeter using a green laser with a wavelength of 532 nm—meaning that the laser beam has a footprint size of around 17 m at the surface. ATLAS emits 10.000 laser pulses per second, corresponding to an along-track interval of 70 cm, and each pulse contains around 20 trillion photons. The photons travel with the speed of light towards the ground, where they are reflected. Some of the photons are reflected in the atmosphere and some on the surface. The number of reflected photons that returns to ATLAS depends on the reflectivity of the surface. For ice and snow, which are highly reflective, the number of photons that returns is around 10 per laser shot. For open ocean, which has a lower reflectance, the signal rate is around 0–4 [27]. Some of the photons also penetrate water surfaces and are reflected from either the water column or the bottom of the water body. If the water body is clear and calm, more photons will be reflected from the bottom. Muddy waters or waves limit the laser’s ability to reach the bottom as more photons are reflected higher in the water column. Remote Sens. 2021, 13, 3548 5 of 19 The beams are pairwise arranged with 3.3 km between each pair. Within each pair there is a strong and a weak beam with 90 m distance. This setup makes it possible to determine an across-track surface slope, and for bathymetry purposes it facilitates the derivation of up to six different bathymetry profiles depending on the water clarity and other environmental characteristics that can affect the reflectance. The orbit of ICESat-2 has a repeat period of 91 days and an inclination of 92 degrees, and therefore provides data up to 88 degrees north and south. For the first two years, ICESat-2 was operating in a vegetation mapping mode, where the ground tracks were non-repeating on midlatitudes (<60°N/S). [28] For this study we use the ATL03 level 2 product (version 3) [29], which contains data from the geolocated photons. The data can be downloaded for free (https://search.earthdata. 2.5. ICESat-2 Data nasa.gov/search) (accessed on 8 April 2021) and is stored in an easily read Hierarchical Data Format (HDF). For every single photon that is detected by ATLAS, a position is calculated and provided as longitude, latitude, and the height relative to the WGS84 ellipsoid. The ATL03 product includes everything necessary to derive the bathymetry profiles. The photon heights in the product have already been corrected for the necessary atmospheric effects and solid earth deformation, but also provides an ocean tide correction as well as the dynamic atmospheric correction, both of which are not automatically applied and will not be applied for this study. The along-track resolution of the ATL03 product is around 0.7 m. Using the provided geoid values, the heights are referenced to the EGM2008 geoid. The full ATL03 data dictionary can be obtained through the NSIDC webpage: https://nsidc.org/sites/nsidc.org/ files/technical-references/ICESat2_ATL03_data_dict_v003.pdf (accessed on 8 April 2021). p p For comparison, the bathymetry estimates from the ATL13 product are also shown in this study [30]. The main focus of the ATL13 product is on the inland water bodies; however, additional information is given about the depth of coastal waters. These bottom topography profiles are also derived from the ATL03 data. The ATL13 bathymetry is estimated using an empirical method described in [31]. 5. A moving median with a window of 50 data points is calculated, and data more than 3 f hi d 3 m away from this are removed. 6. Another moving median is calculated, this time using a window size of 30 points, resulting in Hsmooth. A moving standard deviation of the difference between this and each data points is calculated as well. 7. Now, the data are divided into three groups: High, medium and low confidence bathymetry. Outliers are once again excluded, but this time using different thresholds. First, indexes for data within a distance, kdi f f , of the just calculated moving median are found (see Equation (1)). The data within this distance and also with a moving standard deviation lower than kstd are kept for further processing (See Equation (2)). Notice that the original heights are kept, whereas the smoothed heights are only used for finding the assumed bathymetry signals. The thresholds, kdi f f and kstd, are stated in Table 1 and were determined by studying the bathymetry signals of several tracks around the Heron Reef, Australia, the Red Sea, Egypt, and the Maldives. 7. Now, the data are divided into three groups: High, medium and low confidence bathymetry. Outliers are once again excluded, but this time using different thresholds. First, indexes for data within a distance, kdi f f , of the just calculated moving median are found (see Equation (1)). The data within this distance and also with a moving standard deviation lower than kstd are kept for further processing (See Equation (2)). Notice that the original heights are kept, whereas the smoothed heights are only used for finding the assumed bathymetry signals. The thresholds, kdi f f and kstd, are stated in Table 1 and were determined by studying the bathymetry signals of several tracks around the Heron Reef, Australia, the Red Sea, Egypt, and the Maldives. std p p g ( q ( )) Notice that the original heights are kept, whereas the smoothed heights are only used for finding the assumed bathymetry signals. The thresholds, kdi f f and kstd, are stated in Table 1 and were determined by studying the bathymetry signals of several tracks around the Heron Reef, Australia, the Red Sea, Egypt, and the Maldives. ix = |Hsmooth −H| < kdi f f , (1) Hkeep = H[ix & movstd < kstd]. (2) ix = |Hsmooth −H| < kdi f f , (1) (1) Hkeep = H[ix & movstd < kstd]. (2) (2) 8. 2.6. Extracting Bathymetry Signals The steps taken to identifying the bathymetry signals are described below. For the tuning of the algorithm tracks crossing various shallow waters were used. Since the water clarity and weather is more favourable at low latitudes with calm water, the development was undertaken looking at latitudes below 30 degrees N/S, where the best bathymetric reflections were encountered. Sites include Sharm El Sheik, Great Barrier Reef, Bermuda, Puerto Rico, etc. Before applying an algorithm to detect the bathymetry, the land and sea surface reflections have to be removed from the data set. This is done using the following steps: 1. All ATL03 photons with heights, H, above 5 m (referenced to the geoid) are removed. 1. All ATL03 photons with heights, H, above 5 m (referenced to the geoid) are rem This is done to remove the majority of photons reflected by islands and the coast. 1. All ATL03 photons with heights, H, above 5 m (referenced to the geoid) are removed This is done to remove the majority of photons reflected by islands and the coast. 2. The median height, Hmedian, of all the remaining data points is found. In ocean tracks, this median will be very close to the sea surface, once the heights above 5 m have been removed as done in the first step. While the laser can penetrate the air/water interface, most of the reflections are from the sea surface and they therefore dominate the median height. 3. After finding the median height, i.e., the sea surface, only data below this median are used onward. The algorithm uses a buffer, Hbu f f to account for sea surface reflections below the median height. Data points are only kept if they fulfil H < (Hmedian −Hbu f f ). At low latitudes, where the algorithm has been used in coral reefs, the buffer was set to 0.5 m. However, at high latitudes, the buffer had to be higher due to a less distinctive sea surface, i.e., waves and more scattering near the surface, and was set to 1 m. The size of the buffer was chosen manually after studying several tracks in different locations. More automatic methods were also attempted using various filters and moving standard deviations of the surface photons to set size of the buffer. However, due to various signals caused by different sea states and Remote Sens. 2.6. Extracting Bathymetry Signals 2021, 13, 3548 6 of 19 near-surface bathymetry/topography, such automatic methods often failed and did not improve the end result but only added to the complexity of the algorithm. near-surface bathymetry/topography, such automatic methods often failed and did not improve the end result but only added to the complexity of the algorithm. 4. All subsurface data are then corrected for refraction at the air-sea interface using the method described in Section 2.7. 4. All subsurface data are then corrected for refraction at the air-sea interface using the method described in Section 2.7. An example of how the discrimination between sub-surface and sea surface photons works is shown in Figure 3. Once the sub-surface photon data have been found, the bottom topography, if detected by the photons, can be found. The figure also shows the magnitude of the refraction correction. Figure 3. Illustration of discrimination procedure using a track crossing Heron Reef on 15 September 2019 (beam gt1r). Surface points are shown in grey, with the median surface height in black, sub- surface points before the refraction correction are shown in green. Blue points correspond to the subsurface data after the refraction correction. Figure 3. Illustration of discrimination procedure using a track crossing Heron Reef on 15 September 2019 (beam gt1r). Surface points are shown in grey, with the median surface height in black, sub- surface points before the refraction correction are shown in green. Blue points correspond to the subsurface data after the refraction correction. Figure 3. Illustration of discrimination procedure using a track crossing Heron Reef on 15 September 2019 (beam gt1r). Surface points are shown in grey, with the median surface height in black, sub- surface points before the refraction correction are shown in green. Blue points correspond to the subsurface data after the refraction correction. 5. A moving median with a window of 50 data points is calculated, and data more than 3 m away from this are removed. 5. A moving median with a window of 50 data points is calculated, and data more than 3 m away from this are removed. 5. A moving median with a window of 50 data points is calculated, and data more than 5. A moving median with a window of 50 data points is calculated, and data more than 3 f hi d Then, the data are divided into segments dependent on latitude. Each segment has a length of 0.001 degrees latitude, which corresponds to an along-track distance of roughly 100 m. For each segment it is determined how many data points lie within each segment for each confidence (low, medium, high). If there are less than 10 data points within a segment, the data are not considered as bathymetry data. This limit was found most appropriate for a number of different tracks, but is chosen empirically and the limit might be better suited for some tracks compared to others. The limit is 8. Then, the data are divided into segments dependent on latitude. Each segment has a length of 0.001 degrees latitude, which corresponds to an along-track distance of roughly 100 m. For each segment it is determined how many data points lie within each segment for each confidence (low, medium, high). If there are less than 10 data points within a segment, the data are not considered as bathymetry data. This limit was found most appropriate for a number of different tracks, but is chosen empirically and the limit might be better suited for some tracks compared to others. The limit is 8. Then, the data are divided into segments dependent on latitude. Each segment has a length of 0.001 degrees latitude, which corresponds to an along-track distance of roughly 100 m. For each segment it is determined how many data points lie within each segment for each confidence (low, medium, high). If there are less than 10 data points within a segment, the data are not considered as bathymetry data. This limit was found most appropriate for a number of different tracks, but is chosen empirically and the limit might be better suited for some tracks compared to others. The limit is Remote Sens. 2021, 13, 3548 7 of 19 introduced to make sure that there are enough photons left to believe that an actual bathymetry signal has been detected. Table 1. Thresholds for Equations (1) and (2) depending on bathymetry confidence. Table 1. Thresholds for Equations (1) and (2) depending on bathymetry confidence. Threshold Low Medium High kdi f f 0.75 m 1 m 2 m kstd 1.5 m 2m 4m 2.7. Refraction Correction The photons from ATLAS are refracted in the air–water interface when they enter the ocean and continue their travel in the water. Once in the sea water, the photons travel at a lower speed and have changed direction. The refraction therefore introduces both a horizontal and a vertical offset compared to the geographical positions given in the ATL03 product. The positions given in the product assumes that the photon only travels in air, meaning that the distance travelled by the photon will be overestimated, making the bottom topography look deeper. In order to account for the refraction, some corrections must be applied. An illustration of the refraction is shown in Figure 4. Figure 4. Illustration of refraction of the laser beams at the air-sea interface. Inspiration from [8]. Figure 4. Illustration of refraction of the laser beams at the air-sea interface. Inspiration from [8]. In [8] an approximation to the refraction correction for the vertical offset is introduced as Z′ = Z + 0.25416D, where Z′ is the corrected photon height, Z are the original height measurements and D is the absolute depth from water surface to seafloor (see Figure 4). To Remote Sens. 2021, 13, 3548 8 of 19 8 of 19 obtain this approximation, they used a refractive index of 1.34116 based on water with a temperature of 20 °C, a salinity of 35 PSU, and a wavelength of 540 nm. The approximation is sufficient at lower latitudes, where the temperature is similar, but at higher latitudes, the approximation will lead to errors of around 1 cm at a depth of 10 m and 5 cm at a depth of 35 m. These numbers might be relatively small compared to the total error of the bathymetry estimate, but it was still decided to use a higher accuracy solution, also described by [8], which takes into consideration the refractive indices of air and water, nair and nsea, the angle of incidence and azimuth of the unit pointing vector for the photon. The latter two parameters can be estimated by using the re f_elev and re f_azimuth parameters available in the ATL03 file. The full derivation of the equations used can be found in [8]. For this study, we implement Equations (1)–(11) from [8] to calculate both the vertical and horizontal corrections. 2.7. Refraction Correction The refractive index of water varies depending on the temperature and the salinity of the water as well as the wavelength of the laser beam. The approximated vertical correction is based on these numbers, and will work sufficiently in areas with similar conditions. However, if the water is significantly different, and if the horizontal offset is also needed, the full corrections to the measurement should be carried out. For this study, we are looking at ICESat-2 data in the area of Sisimiut, Greenland, where the average water temperature and salinity is very different from the 20 °C used in the approximation. According to the observations published in [32] the average water temperature from 1946 to 2013 was 1.67 °C for the top 50 m, and the corresponding mean salinity was 33.46‰. Therefore, it was chosen to use the full correction described in [8]. Firstly, the refractive index of sea water was calculated with values appropriate for the study areas. Ref. [33] presented an empirical function, where the water temperature, salinity and the photon wavelength is used to calculate the refraction index of water. Using the ATLAS wavelength of 532 nm, the empirical function simplifies to: (3) nsea = n0 + (n1 + n2T + n3T2)S + (n4 + n5T)T (3) where n0 =1.336 n1 =1.996 × 10−4, n2 = −1.050 × 10−6, n3 =1.600 × 10−8, n4 = −7.951 × 10−6, and n5 = −2.020 × 10−6 are empirical constants and S and T are the local salinity and temperature, respectively. The equation above is applicable globally, as long as a temperature and salinity are provided as input. Using this function and the temperature and salinity for Sisimiut yields a refraction index of 1.3426. Figure 5 shows the calculated refraction index of various temperatures and salinities and Figure 6 shows the corresponding vertical refraction corrections as a function of temperature using the equations from [8] with nsea for three different salinities and a temperature ranging from 0 to 30 ◦C. The lowest shown salinity of 10‰ corresponds to places such as the Baltic Sea with a sea surface salinity just below 10‰ [34], and salinities higher than 100‰ is usually only found in salt lakes, such as Lake Urmia in Iran [35]. The Gaet’ale Pond in Ethiopia currently holds the record as the most saline water body in the world with a salinity of 433‰ [36]. 2.7. Refraction Correction The effect of the refraction correction can be seen in Figure 3, where an example of uncorrected and corrected photon bounce points is shown. 9 of 19 Remote Sens. 2021, 13, 3548 Figure 5. Refraction index for sea water at various salinities and temperatures. Only valid for the ATLAS instrument, which uses a green laser with a wavelength of 532 nm. Figure 5. Refraction index for sea water at various salinities and temperatures. Only valid for the ATLAS instrument, which uses a green laser with a wavelength of 532 nm. Figure 5. Refraction index for sea water at various salinities and temperatures. Only valid for the ATLAS instrument, which uses a green laser with a wavelength of 532 nm. Figure 6. Vertical refraction correction as a function of temperature for three different salinities and at two different depths of 10 m (left y-axis) and 35 m (right y-axis). Figure 6. Vertical refraction correction as a function of temperature for three different salinities and at two different depths of 10 m (left y-axis) and 35 m (right y-axis). 2.8. Comparison with Other Data Sources 2.8. Comparison with Other Data Sources Since the bathymetry will be described as a height above the EGM2008 geoid and all the in situ data sets have already been referenced to static reference surfaces, such as the latoid, we will not be making any corrections for tidal effects for this paper. The instantaneous depth from the ICESat-2 ATL03 data will be referenced to the EGM2008 geoid. Whenever the term “depth” is used, this will as such be with respect to the EGM2008 geoid and not the instantaneous sea surface. The different reference data sets are interpolated to the positions of the photon reflec- tions using a natural neighbour interpolation method without extrapolation to areas where there are no data. The natural neighbour interpolation is expected to perform well even if the query points are located at the boundary of the interpolated data set, since this kind of interpolation is computed using area based weights [37]. Remote Sens. 2021, 13, 3548 10 of 19 10 of 19 After interpolation of the reference data sets, the ICESat-2 bathymetry is compared to these by studying the median and mean absolute deviations, as well as the standard deviation of the differences, the RMSE and Pearson correlation coefficient. The RMSE error was calculated as follows: RMSE = v u u t 1 N −1 N ∑ i=1 (dIS2 i −di)2 (4) (4) where N is the number of identified bathymetric photons from ICESat-2, dIS2 is the depth below the geoid for each bathymetric photon, and d is the corresponding value from either SDB or MBES. The Pearson correlation coefficient, ρ(dIS2, d), is also found as the covariance divided by the product of the standard deviations, σ, of the two data sets: ρ(dIS2, d) = cov(dIS2, d) σIS2σ (5) (5) The above-mentioned statistics are calculated separately for each bathymetric confi- dence for all beams available in the studied region. The above-mentioned statistics are calculated separately for each bathymetric confi- dence for all beams available in the studied region. 3.1. Heron Reef, Australia Using a salinity of 35 and a sea temperature of 25 °C the bathymetry profiles were extracted for four different ICESat-2 tracks flying over the Heron Reef. The results for a selected couple of the beams from the overflight on 15 September 2019, are shown in Figure 8. For reference, the location of the different beams can be seen in Figure 9. Using a salinity of 35 and a sea temperature of 25 °C the bathymetry profiles were extracted for four different ICESat-2 tracks flying over the Heron Reef. The results for a selected couple of the beams from the overflight on 15 September 2019, are shown in Figure 8. For reference, the location of the different beams can be seen in Figure 9. Figure 8. ICESat-2 track crossing Heron Reef on 15 September 2019. ICESat-2 data from ATL13 and ATL03 shown along with SDB data and the GEBCO model. Figure 8. ICESat-2 track crossing Heron Reef on 15 September 2019. ICESat-2 data from ATL13 and ATL03 shown along with SDB data and the GEBCO model. Figure 9. (Left) Location of Heron Reef, Australia. (Right) Map of ICESat-2 tracks, pink highlights areas with detected bathymetry. A: 8 April 2019, beam gt3l (strong), B: 15 September 2019, beams gt3l/gt3r(strong), C: 8 April 2019, beams gt2l/gt2r(weak). Figure 9. (Left) Location of Heron Reef, Australia. (Right) Map of ICESat-2 tracks, pink highlights areas with detected bathymetry. A: 8 April 2019, beam gt3l (strong), B: 15 September 2019, beams gt3l/gt3r(strong), C: 8 April 2019, beams gt2l/gt2r(weak). In total, four ICESat-2 overflights with a total of 15 beams crossing the Heron Reef were used for a statistical comparison. The bias between the ICESat-2 and SDB datasets can be seen in Figure 10. As seen from the figure, the ICESat-2 and SDB bathymetries agree very well with a small tendency of ICESat-2 depths to be higher below 15 m. The histogram in Figure 11 shows the distribution of the absolute differences between the ICESat-2 high confidence bathymetry photons and the corresponding SDB depths. The median and mean absolute deviations between the heights are shown in Table 2, along with the standard deviations and the RMSE. From these, it is clear that the higher the confidence, the better the ICESat-2 derived bathymetry agrees with that from SDB. 3. Results Using the algorithms described in Section 2.6, the bathymetry signals from the ATL03 products were extracted for ICESat-2 passes over the Heron Reef in Australia as well as the waters near Sisimiut, Greenland. To compare with the previously published method suggested by [9], the bathymetry signals obtained from an ICESat-2 track crossing the Yongle Atoll in China on 22 October 2018, is shown in Figure 7. Comparing the results from the high confidence bathymetry derived using the algorithm presented here to their results for the same track, the algorithm presented here performs just as well, if not better, as there are fewer outliers surrounding the bathymetry signal and less noise close to the surface. Figure 7. ICESat-2 track crossing the Yongle Atoll in South China Sea on 22 October 2018. The beam shown in this plot is gt3r. (Top left) Location of the Yongle Atoll in the South China Sea, (Top right) Location of beam gt3r across the Yongle Atoll, and (bottom) the derived bathymetry signal compared to uncorrected ATL03 data. Figure 7. ICESat-2 track crossing the Yongle Atoll in South China Sea on 22 October 2018. The beam shown in this plot is gt3r. (Top left) Location of the Yongle Atoll in the South China Sea, (Top right) Location of beam gt3r across the Yongle Atoll, and (bottom) the derived bathymetry signal compared to uncorrected ATL03 data. Remote Sens. 2021, 13, 3548 11 of 19 11 of 19 3.1. Heron Reef, Australia 3.1. Heron Reef, Australia 3.1. Heron Reef, Australia The ATL13 product does not capture the bathymetry, and the GEBCO model, although closer to the observed bathymetry, has a very poor resolution. 12 of 19 Remote Sens. 2021, 13, 3548 Figure 10. Bias plot comparing the depth of Heron Reef, Australia from ICESat-2 and EOMAP. Depths are metres below the EGM2008 geoid. A perfect fit line (black) is shown along with a linear fit of all high confidence data (grey). Figure 10. Bias plot comparing the depth of Heron Reef, Australia from ICESat-2 and EOMAP. Depths are metres below the EGM2008 geoid. A perfect fit line (black) is shown along with a linear fit of all high confidence data (grey). Figure 11. Histogram showing the absolute differences between ICESat-2 and EOMAP depth estimates for Heron Reef, Australia. Figure 11. Histogram showing the absolute differences between ICESat-2 and EOMAP depth estimates for Heron Reef, Australia. 13 of 19 Remote Sens. 2021, 13, 3548 Table 2. Statistics from comparison between ICESat-2 derived bathymetry and bathymetry from determined from satellite imagery and provided by EOMAP over the Heron Reef, Australia. The values in parentheses are the number of photons used for the comparison. The statistics were calculated for four overflights with a total of 15 beams holding bathymetry signals for Heron Reef. The numbers in the table are calculated for all beams for each confidence. Statistic Low Confidence [62568] Medium Confidence [59681] High Confidence [58740] Median abs. dev. 0.19 m 0.18 m 0.18 m Mean abs. dev. 0.28 m 0.22 m 0.21 m Standard dev. 0.35 m 0.21 m 0.19 m RMSE 0.45 m 0.31 m 0.28 m Table 2. Statistics from comparison between ICESat-2 derived bathymetry and bathymetry from determined from satellite imagery and provided by EOMAP over the Heron Reef, Australia. The values in parentheses are the number of photons used for the comparison. The statistics were calculated for four overflights with a total of 15 beams holding bathymetry signals for Heron Reef. The numbers in the table are calculated for all beams for each confidence. Table 2. Statistics from comparison between ICESat-2 derived bathymetry and bathymetry from determined from satellite imagery and provided by EOMAP over the Heron Reef, Australia. The values in parentheses are the number of photons used for the comparison. The statistics were calculated for four overflights with a total of 15 beams holding bathymetry signals for Heron Reef. 3.1. Heron Reef, Australia The numbers in the table are calculated for all beams for each confidence. Statistic Low Confidence [62568] Medium Confidence [59681] High Confidence [58740] Median abs. dev. 0.19 m 0.18 m 0.18 m Mean abs. dev. 0.28 m 0.22 m 0.21 m Standard dev. 0.35 m 0.21 m 0.19 m RMSE 0.45 m 0.31 m 0.28 m Some of the tracks crossing the Heron Reef intersect and can be compared. This is the case for the beams shown in Figure 12. In total, four crossovers were compared in this area, between beams gt2r/gt2l and gt3r/gt3l from 8 April 2019, and 15 September 2019, respectively. The heights at intersections as well the absolute differences are given in Table 3. Without smoothing the data sets, but simply by using linear interpolation to the point of intersection, the median absolute difference between the different bathymetry estimates was found to be 15 cm. When first smoothing the data with a Gaussian weighted moving average with a window size of 20 points, the median absolute difference was 2 cm. The 15 cm are well within the expected error margin, and without smoothing one would not expect this value to be smaller, also because the bathymetry in coral reefs varies a lot over very short distances. It is worth noting that crossover point no. 2, which is the one with the biggest discrepancies, is also the intersect of two weak beams, whereas crossover point no. 3, which has the smallest difference, is the intersection of two strong beams. Figure 12. Crossover points over Heron Reef between two beam pairs from tracks 154 and 1213, on 9 April 2019, and 15 September 2019, respectively. Figure 12. Crossover points over Heron Reef between two beam pairs from tracks 154 and 1213, on 9 April 2019, and 15 September 2019, respectively. Remote Sens. 2021, 13, 3548 14 of 19 14 of 19 Table 3. Comparison of bathymetry derived from crossovers from two different tracks. The bathymetry is given as heights above the EGM2008. Two different methods were used to derive the bathymetry at the crossover positions. 3.1. Heron Reef, Australia No Smoothing ⋆1 ⋆2 ⋆3 ⋆4 8 April 2019 −0.32 m −0.55 m −0.12 m −0.60 m 15 September 2019 −0.24 m −0.21 m −0.11 m −0.78 m Absolute difference 0.08 m 0.34 m 0.01 m 0.18 m Gaussian Weighted Moving Average ⋆1 ⋆2 ⋆3 ⋆4 8 April 2019 −0.28 m −0.21 m −0.20 m −0.45 m 15 September 2019 −0.30 m −0.13 m −0.20 m −0.48 m Absolute difference 0.02 m 0.08 m 0.00 m 0.03 m 3.2. Sisimiut, Greenland The algorithm described in Section 2.6 was also used to extract bathymetry profiles at higher latitudes near Sisimiut, Greenland. The tracks studied in this area are shown in Figure 13. Figure 13. (Left) Location of Sisimiut, Greenland. (Right) The different ICESat-2 beams used for this study. Figure 13. (Left) Location of Sisimiut, Greenland. (Right) The different ICESat-2 beams used for this study The results for beams gt2r and gt3r from a track crossing the area on 2 November 2018, are shown in Figure 14. For beam gt2r, it can be seen that the extracted bathymetry agrees well with the SDB data from EOMAP and the MBES data (see latitudes between 66.99 and 67.0°N). However, for the most part, the MBES bathymetry is available for depths that cannot be reached by the ATLAS photons or from satellite imagery. The visibly thicker line for the GEBCO model shown in the bottom part of Figure 14 around 67.04◦N is merely a result of the visualisation and the fact that a nearest neighbour interpolation was used for the GEBCO values. A more mixed result was obtained when the ICESat-2 satellite flew over the same area on 1 February 2019, see Figure 15. The data from beam gt3l show that the extracted bathymetry is very similar to that obtained from satellite imagery. Even a bathymetric signal with a depth of more than 10 m is captured by ICESat-2 around 67.04 degrees north. The extracted signals for beam gt3r are not from bathymetry, but are interpreted as bathymetry by the algorithm because of the high density of signal returns coming from these depths. The same lines also appear in the gt3l data, but here, the density of the deeper reaching photons is higher and the moving median is therefore placed at higher depths. For both the gt3l and gt3r data, the ATL13 product mistook these lines as bathymetry. 15 of 19 Remote Sens. 2021, 13, 3548 Figure 14. Figure showing the different bathymetry profiles as well as all the ATL03 photon data from ICESat-2 track 529. The ICESat-2 data were acquired on 2 November 2018. Figure 14. Figure showing the different bathymetry profiles as well as all the ATL03 photon data from ICESat-2 track 529. The ICESat-2 data were acquired on 2 November 2018. Figure 15. Figure showing the different bathymetry profiles as well as all the ATL03 photon data from ICESat-2 track 529. 3.2. Sisimiut, Greenland The values in parentheses show the number of data points used for the statistics. Statistic Low Confidence Medium Confidence High Confidence SDB[3057]/MBES * [153] SDB[2100]/MBES * [64] SDB[1691]/MBES * [47] Mean abs. dev. [m] 2.76/0.93 2.30/0.48 2.21/0.32 Med. abs. dev. [m] 1.73/0.49 1.59/0.37 1.57/0.33 Std. dev. [m] 3.04/1.28 2.19/0.44 1.85/0.14 Correlation 0.51/0.94 0.68/0.97 0.74/0.98 RMSE [m] 4.11/1.58 3.18/0.65 2.89/0.35 Figure 16. (Left) Bias plots comparing the obtained ICESat-2 bathymetry around Sisimiut, Greenland with bathymetry from EOMAP SDB and (Right) MBES. Depths are metres below the EGM2008. 4 Di i Table 4. Statistics for the comparisons of ICESat-2 derived bathymetry around Sisimiut. * For comparison with MBES the obvious misinterpretations of the ICESat-2 algorithm were removed. The values in parentheses show the number of data points used for the statistics. Statistic Low Confidence Medium Confidence High Confidence SDB[3057]/MBES * [153] SDB[2100]/MBES * [64] SDB[1691]/MBES * [47] Mean abs. dev. [m] 2.76/0.93 2.30/0.48 2.21/0.32 Med. abs. dev. [m] 1.73/0.49 1.59/0.37 1.57/0.33 Std. dev. [m] 3.04/1.28 2.19/0.44 1.85/0.14 Correlation 0.51/0.94 0.68/0.97 0.74/0.98 RMSE [m] 4.11/1.58 3.18/0.65 2.89/0.35 Figure 16. (Left) Bias plots comparing the obtained ICESat-2 bathymetry around Sisimiut, Greenland with bathymetry from EOMAP SDB and (Right) MBES. Depths are metres below the EGM2008. 4 Discussion Table 4. Statistics for the comparisons of ICESat-2 derived bathymetry around Sisimiut. * For comparison with MBES the obvious misinterpretations of the ICESat-2 algorithm were removed. The values in parentheses show the number of data points used for the statistics. Table 4. Statistics for the comparisons of ICESat-2 derived bathymetry around Sisimiut. * For comparison with MBES the obvious misinterpretations of the ICESat-2 algorithm were removed. The values in parentheses show the number of data points used for the statistics. Figure 16. (Left) Bias plots comparing the obtained ICESat-2 bathymetry around Sisimiut, Greenland with bathymetry from EOMAP SDB and (Right) MBES. Depths are metres below the EGM2008. 3.2. Sisimiut, Greenland The ICESat-2 data were acquired on 1 February 2019. Figure 15. Figure showing the different bathymetry profiles as well as all the ATL03 photon data from ICESat-2 track 529. The ICESat-2 data were acquired on 1 February 2019. The left plot in Figure 16 shows the bias between SDB and the bathymetry derived from ICESat-2. Compared to the observed bias for the data from the Heron Reef, the bias is larger in the area around Sisimiut. There does not seem to be a pattern to describe this, and the discrepancies are most likely just a result of the inaccuracies of both methods in these Arctic waters. When comparing ICESat-2 bathymetries with the MBES data set (right plot in Figure 16), it can be seen that the proposed algorithm wrongly assumes that mirror reflections in the top 5 m of the ocean are caused by bathymetry, when actually, the true ocean bottom is beyond measure for photons. If the obvious misinterpretations are removed by only including data points where the absolute difference between MBES and ICESat-2 bathymetry is less than 7 m, it can be seen that the ICESat-2 bathymetry agrees well with the MBES data. Unfortunately, this exclusion of bad data leaves behind only a small amount of bathymetry data. The statistics resulting from a comparison between the three kinds of bathymetry can be seen in Table 4. As seen, the numbers are not as convincing as they were in the Heron Reef. However, to methods relying on light reflection (such as lidar and SDB), the area around Sisimiut is also more challenging compared to the coral reefs in Australian waters. The correlation between Remote Sens. 2021, 13, 3548 16 of 19 SDB and ICESat-2 is present, but the deviations are around 2 m without a clear reason such as was the case for the MBES comparison. The statistics between ICESat-2 and MBES bathymetry are based on small numbers, but an agreement is definitely visible. SDB and ICESat-2 is present, but the deviations are around 2 m without a clear reason such as was the case for the MBES comparison. The statistics between ICESat-2 and MBES bathymetry are based on small numbers, but an agreement is definitely visible. Table 4. Statistics for the comparisons of ICESat-2 derived bathymetry around Sisimiut. * For comparison with MBES the obvious misinterpretations of the ICESat-2 algorithm were removed. 4. Discussion Overall, the bathymetry from ICESat-2 derived from using the method proposed in Section 2.6 agrees well with other available bathymetry data sets. Good results were seen especially for the Heron Reef, Australia, where the waters are clear and the ocean bottom is sand and corals. In this area the ICESat-2 bathymetry was compared to SDB depths provided by EOMAP, and the median deviation between the ocean bottom topography estimates was less than 20 cm. In the area around Sisimiut, ICESat-2 data were compared to both an SDB and a MBES dataset. In this area, the ICESat-2 data were more ambiguous causing the proposed method to misinterpret certain photon bounces as being from the seabed while they were in fact mirror reflections in the surface waters in areas where the ocean bottom was at too great depths for the photons to reach and thereby for ATLAS to detect any reflections. In [8] they calculated RMSEs between ICESat-2 bathymetry and airborne lidar data to be around 43 to 60 cm near St. Thomas, U.S. Virgin Islands. The RMSEs found in this study, for the Heron Reef, Australia, range between 28 and 45 cm. However, the maximum depth in this area is only around 22 m, whereas the bathymetry found near St. Thomas in [8] covered depths all the way down to 38 m. p y ICESat-2 and SDB only applies to shallow waters while the MBES data also used in this study mainly measure bottom topography at greater depths. This resulted in very little overlapping data between ICESat-2 and MBES in the area around Sisimiut. Therefore, it would be preferable to get more tracks with data in order to perform a better analysis. However, as the validity of ICESat-2 bathymetry has already been proven in other publications [8–10], the main goal of this study is to present a method that automatically detects photons reflected from the shallow ocean bottom. The results from this study show Remote Sens. 2021, 13, 3548 17 of 19 17 of 19 that the method presented in Section 2.6 is able to extract most bathymetric signals from the geolocated photon data. The empirical method will perform better or worse for different tracks depending on the thresholds and window sizes used for the different steps. As such, the algorithm can be adjusted to a specific region to obtain better results. 4. Discussion Here it was chosen to keep as many thresholds as possible the same for all situations. Therefore, only the buffer below the estimated sea surface varied to accommodate the different sea states. The approach is challenged by the inability of statistics to differ between noise and bathymetry, when the density of the noise is equal to the density of the bathymetry signals. This has proven to be difficult especially in deep waters, where patches of very calm waters can lead to multiple mirror reflections in the shallow part of the water column. These could be filtered out by only looking at bathymetry at depths beyond 5 m; however, this would also result in a huge loss of the shallow bathymetry caught by the algorithm. Misinterpretations are also seen when the appearance of the sea surface is affected by waves or land. The ATL03 product also includes an estimation of the height uncertainty (1−σ) for the consecutive reference photons for which all geophysical corrections are provided. The provided uncertainty estimate includes many effects such as those of electronics timing jitter, the transmit pulse width, radial orbit uncertainty, pointing angle uncertainty. In the area around Sisimiut the median uncertainty for all low confidence bathymetry photons is 63 cm, whereas it is only 23 cm for the high confidence photons. As expected, the height uncertainty is lower for the Heron Reef, with median values of 24 and 13 cm for the low and high confidence bathymetry photons. The uncertainties did not appear to depend on the depth of the bounce point. p p There is also an error in the refraction correction linked to the way the local mean sea surface is computed, since the refraction correction depends on the depth of the assumed photon bounce. Here, we simply use the median of what we characterize as the surface photon returns, but in reality, the actual surface could be higher or lower, depending on local factors such as waves, sea spray, objects below the sea surface [38]. Another assumption that might lead to inaccuracies in the height estimates is the fact that a single value for the mean sea level for every beam track is used. The ideal sea level would be the instantaneous sea level observed by every single photon, as the sea surface varies from place to place due to waves, currents, and tides. Author Contributions: Conceptualization, H.R. and O.B.A.; Data curation, H.R., P.S.C. and O.B.A.; Formal analysis, H.R.; Funding acquisition, O.B.A.; Investigation, H.R.; Methodology, H.R.; Project administration, H.R.; Resources, O.B.A.; Software, H.R. and P.K.; Supervision, O.B.A.; Validation, H.R.; Visualization, H.R.; Writing—original draft, H.R., P.S.C. and P.K.; Writing—review & editing, H.R., P.S.C. and K.N. All authors have read and agreed to the published version of the manuscript. Funding: This research was supported by the EOforChina DANIDA project (grant file number 18-M01-DTU). Funding: This research was supported by the EOforChina DANIDA project (grant file number 18-M01-DTU). Data Availability Statement: NASA’s ICESat-2 data can be downloaded from the NSIDC website. ATL03: https://nsidc.org/data/atl13/versions/3 (accessed on 8 April 2021) and ATL13: https: //nsidc.org/data/atl13/versions/3 (accessed on 8 April 2021). EOMAP SDB Demo Data can be requested here: https://www.eomap.com/great-barrier-reef/ (accessed on 8 April 2021). Acknowledgments: We thank the NASA National Snow and Ice Data Center (NSIDC) Distributed Active Archive Center (DAAC) for distributing the ICESat-2 data. We also thank EOMAP GmbH & Co.KG for providing their SDB data. We would also like to thank the anonymous reviewers for their comments and suggestions, which helped to improve this paper. Acknowledgments: We thank the NASA National Snow and Ice Data Center (NSIDC) Distributed Active Archive Center (DAAC) for distributing the ICESat-2 data. We also thank EOMAP GmbH & Co.KG for providing their SDB data. We would also like to thank the anonymous reviewers for their comments and suggestions, which helped to improve this paper. Conflicts of Interest: The authors declare no conflict of interest. References 1. Hamden, M.H.; Din, A.H.M. A review of advancement of hydrographic surveying towards ellipsoid technique. IOP Conf. Ser. Earth Environ. Sci. 2018, 169, 012019. [CrossRef] 2. Micallef, A. Chapter Thirteen—Marine Geomorphology: Geomorphological Mapping and the Study of Submarine Landslides. In Geomorphological Mapping; Developments in Earth Surface Processes; Smith, M.J., Paron, P., Griffiths, J.S., Eds.; Elsevier: Amsterdam, The Netherlands, 2011; Volume 15, pp. 377–395. [CrossRef] 3. Tewinkel, G. Water depths from aerial photographs. Photogramm. Eng. 1963, 29, 1037–1042. , p p g p g g , , 4. Murase, T.; Tanaka, M.; Tani, T.; Miyashita, Y.; Ohkawa, N.; Ishiguro, S.; Suzuki, Y.; Kayanne, H.; Yamano, H. A photogrammetric correction procedure for light refraction effects at a two-medium boundary. Photogramm. Eng. Remote Sens. 2008, 74, 1129–1136. [CrossRef] [ ] 5. Cao, B.; Fang, Y.; Jiang, Z.; Gao, L.; Hu, H. 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Remote Sens. 2019, 11, 1634. [CrossRef] 9. Ma, Y.; Xu, N.; Liu, Z.; Yang, B.; Yang, F.; Wang, X.H.; Li, S. Satellite-derived bathymetry using the ICESat-2 lidar and Sentinel-2 imagery datasets. Remote Sens. Environ. 2020, 250, 112047. [CrossRef] 9. Ma, Y.; Xu, N.; Liu, Z.; Yang, B.; Yang, F.; Wang, X.H.; Li, S. Satellite-derived bathymetry u imagery datasets. Remote Sens. Environ. 2020, 250, 112047. [CrossRef] 10. Thomas, N.; Pertiwi, A.P.; Traganos, D.; Lagomasino, D.; Poursanidis, D.; Moreno, S.; Fatoyinbo, L. Space-Borne Cloud-Native Satellite-Derived Bathymetry (SDB) Models Using ICESat-2 And Sentinel-2. Geophys. Res. Lett. 2021, 48, e2020GL092170. [CrossRef] 11. Babbel, B.J.; Parrish, C.E.; Magruder, L.A. 4. Discussion An approach that accommodates this was used in [9], but was not implemented here. They estimated that the horizontal accuracy of the position of an underwater ICESat-2 photon is approximately 6 m [9], where 5 m were attributed to the above surface contribution [39] and the remaining error was assumed to be from refraction errors. g The algorithm presented in this study performs well overall. However, some chal- lenges make it hard to use an empirical method near the air-sea interface, because very shallow topography can be hard to distinguish from sea surface reflections. Moreover, sometimes the noise density is as high as the signal density, in which case the empirical approach will fail, because it cannot tell a true signal from a false one. The bathymetry signals from ICESat-2 do not provide global coverage, but they offer a way to do regional studies, perhaps even to see change with time. The ICESat-2 data could also be used as an input for training SDB models and/or to verify these, such as is done in [9–12]. In conclusion, it can be said that the statistical approach presented here works well, even more so under supervision, to extract bathymetry signals locally or regionally, where one can do an intermediate evaluation. However, a more global extraction of bathymetry signals from the ICESat-2 ATL03 product should be approached with deep learning meth- ods trained with known bathymetry. Author Contributions: Conceptualization, H.R. and O.B.A.; Data curation, H.R., P.S.C. and O.B.A.; Formal analysis, H.R.; Funding acquisition, O.B.A.; Investigation, H.R.; Methodology, H.R.; Project administration, H.R.; Resources, O.B.A.; Software, H.R. and P.K.; Supervision, O.B.A.; Validation, H.R.; Visualization, H.R.; Writing—original draft, H.R., P.S.C. and P.K.; Writing—review & editing, H.R., P.S.C. and K.N. All authors have read and agreed to the published version of the manuscript. 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Low Frequency Electrical Stimulation Either Prior to Or after Rapid Kindling Stimulation Inhibits the Kindling-Induced Epileptogenesis
BioMed research international
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Hindawi BioMed Research International Volume 2017, Article ID 8623743, 8 pages http://dx.doi.org/10.1155/2017/8623743 Hindawi BioMed Research International Volume 2017, Article ID 8623743, 8 pages http://dx.doi.org/10.1155/2017/8623743 Research Article Low Frequency Electrical Stimulation Either Prior to Or after Rapid Kindling Stimulation Inhibits the Kindling-Induced Epileptogenesis Mostafa Jalilifar,1 Ali Yadollahpour,1 Ahmad Ali Moazedi,2 and Zohreh Ghotbeddin3 1Department of Medical Physics, Faculty of Medicine, Ahvaz Jundishapur University of Medical Sciences, Ahvaz 6135715794, Iran 2Department of Biology, Faculty of Science, Shahid Chamran University of Ahvaz, Ahvaz 6135743337, Iran 3Department of Physiology, Faculty of Veterinary Medicine, Shahid Chamran University of Ahvaz, Ahvaz 6135743337, Iran Correspondence should be addressed to Ali Yadollahpour; yadollahpour.a@gmail.com Received 24 September 2016; Revised 21 January 2017; Accepted 31 January 2017; Published 8 March 2017 Academic Editor: Oliver von Bohlen und Halbach Academic Editor: Oliver von Bohlen und Halbach Copyright © 2017 Mostafa Jalilifar et al. This is an open access article distributed under the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Objective. Studies are ongoing to find appropriate low frequency stimulation (LFS) protocol for treatment of epilepsy. The present study aimed at assessing the antiepileptogenesis effects of LFS with the same protocol applied either just before or immediately after kindling stimulations. Method. This experimental animal study was conducted on adult Wistar rats (200 ± 20 g) randomly divided into kindle (𝑛= 7), LFS + Kindle (𝑛= 6), and Kindle + LFS groups (𝑛= 6). All animals underwent rapid kindling procedure and four packages of LFS (1 Hz) with 5 min interval were applied either immediately before (LFS-K) or after kindling stimulation (K- LFS). The after discharge duration (ADD), daily stages of kindling, and kindling seizure stage and number of stimulations required to reach each stage were compared between the three groups using two-way analysis of variance (ANOVA) followed by Tukey post hoc and one-way ANOVA, and Kruskal-Wallis test, respectively. Results. LFS in both protocols significantly decreased the ADD (𝑝< 0.05) and daily seizure stages (𝑝< 0.05) and increased the number of stimulations required to achieve stage 3 and stages 4 and 5 of kindling compared with the kindle group (stage 2: 𝑝> 0.05, stages 3 to 5: 𝑝< 0.05). Conclusion. Although LFS-K showed more inhibiting effect than K-LFS, the difference was not statistically significant. 2. Materials and Methods seizure [18]. Given the unpredictable characteristic of less- controlled seizures, seizure prediction is a fundamental goal in clinical management [19]. In the majority of epileptic cases, Anti-Epileptic Drugs (AEDs) cannot completely eliminate epileptic seizures and they only reduce seizure severity [20]. Another traditional treatment is surgery that can only be used in patients with focal epilepsy and it may impair memory [21]. In addition, each of the current therapeutic options has its own side effects. In spite of developing various current traditional treatments such as pharmacological drugs and surgery, a large number of patients have experienced little improvement or suffered serious side effects. Therefore, find- ing a new and safe alternative therapeutic method is required. Vagus nerve stimulation (VNS) has been widely employed as an alternative for treatment of drug resistant epileptic patients [22, 23]. In this regard, Zhang et al. [24] reported that VNS decreases seizure frequency and it can be a safe and effective treatment for pharmacoresistant epileptic patients. Recently, application of electrical stimulation, especially low frequency stimulation (LFS), of brain as an antiepileptic method has gained considerable attention [25]. Administration of LFS is considered to inhibit the seizure activity by inducing long term depression (LTD) and removing kindling-induced synaptic potentiation [26]. The antiepileptogenic role of LFS during the kindling procedure was first introduced by Gaito et al. [27, 28]. Following that, several studies revealed that LFS can prevent generalization of seizures and inhibit boosting induction of the kindling phenomenon through alteration of electrophysiological features and inhibition of the synaptic activity [20, 25, 29–32]. In addition, electrical stimulation provides various privileges in comparison with other current therapies. It is more secure and, up to now, its serious side effects have not been reported [33–35]. Thus, LFS is considered as an alternative to the brain surgery for patients with epilepsy because of its low risk and being less invasive [36].f 2.1. Animals. Adult male Wistar rats weighing 200 ± 20 g were obtained from the animal house of Ahvaz Jundisha- pur University of Medical Sciences (AJUMS), Ahvaz, Iran. They were maintained in a colony room with a constant temperature (23 ± 2∘C), humidity (50 ± 5%), and artificial 12 : 12 h light-dark cycle. The lights were turned on at 7:00 AM. Animals were housed in individual cages with woodchip bedding and had free access to standard food and water. 2. Materials and Methods Efforts were made to reduce animal suffering and to minimize the number of used animals. All the experimental procedures of this study were performed in accordance with the ethical guidelines set by the local Ethical Committee of AJUMS (Reg. code; U-94147) which completely coincide with the “NIH Guide for the Care and Use of Laboratory Animals.” All experiments were done within the same day time (9:00 AM to 5:00 PM). The experiments lasted for 8 months from 14 September 2015 to 28 May 2016. 2.2. Surgery. The animals were anesthetized using a mix- ture of ketamine (100 mg/kg, i.p.) and xylazine (20 mg/kg, i.p.) [20]. The anesthetized rats were fixed in a stereotaxic instrument. Three holes were drilled including one for an anchor screw, one for placement of a monopolar stainless steel electrode used as ground and reference electrode in the front of skull, and another hole for implantation of tripolar stainless steel electrode (A-M system, USA) (a bipolar for stimulating and a monopolar for recording EEG signals) that was implanted in the right amygdale, using Paxinos and Watson atlas coordinates from Bregma: anteroposterior: −2.5 mm; lateral: 4.8 mm; vertical: 7.2 and 0.2 mm below the skull [43]. Electrodes were embedded with acrylic dental cement and attached to a socket. 2.3. Stimulation Procedures. Ten days after surgery, the threshold intensity of kindling stimulation protocol, after discharge (AD) threshold, was determined. The AD threshold was determined by 1 ms monophasic square-wave of 50 Hz with 3 s train duration as described previously [43]. The stimulating currents were initially delivered at 10 𝜇A and then its intensity was increased in increments of 10 𝜇A at 5 min intervals. The minimum intensity sufficient to induce the ADs for at least 8 s was selected as the AD threshold and used for kindling stimulation. The AD was defined as spikes with a frequency of at least 1 Hz and amplitude of at least twice the baseline activity originating immediately after stimulation [43, 44]. Electrical stimulations were applied using an electromodulator device (Sciencebeam Co., Tehran, Iran) which was connected to a monitor to show EEG signal alterations using the e-probe software. The rats which elicited no AD with a current intensity of up to 350 𝜇A were removed from the experiment. 1. Introduction [24] reported that VNS decreases seizure frequency and it can be a safe and effective treatment for pharmacoresistant epileptic patients. Recently, application of electrical stimulation, especially low frequency stimulation (LFS), of brain as an antiepileptic method has gained considerable attention [25]. Administration of LFS is considered to inhibit the seizure activity by inducing long term depression (LTD) and removing kindling-induced synaptic potentiation [26]. The antiepileptogenic role of LFS during the kindling procedure was first introduced by Gaito et al. [27, 28]. Following that, several studies revealed that LFS can prevent generalization of seizures and inhibit boosting induction of the kindling phenomenon through alteration of electrophysiological features and inhibition of the synaptic activity [20, 25, 29–32]. In addition, electrical stimulation provides various privileges in comparison with other current therapies. It is more secure and, up to now, its serious side effects have not been reported [33–35]. Thus, LFS is considered as an alternative to the brain surgery for patients with epilepsy because of its low risk and being less invasive [36].f 1. Introduction susceptibility and it also produces other changes in brain functions which are similar to those appearing in TLE patients [11–13]. Different kindling models have been emp- loyed to demonstrate the procedure for kindling-induced epileptogenesis but electrical kindling has gained much atten- tion due to noninterference of chemical and pharmacological agents in the result of experiments. Electrical kindling was first described by Goddard et al. [14] and more research on the characteristics of the kindling revealed that it can be an acceptable option to simulate human epileptogenesis, learn- ing, and memory. Later, Lothman et al. [15–17] introduced rapid kindling (RK) protocol that made animals fully kindled faster than other approaches.fi According to the recent World Health Organization (WHO) report, approximately 50 million people suffer from epilepsy worldwide and it is appraised that nearly 2.4 million new cases occur each year [1]. Temporal lobe epilepsy (TLE) is the most common type of epilepsy comprising more than 60% of all epileptic disorders [1, 2]. TLE consists of complex partial seizures originating from a small area of the temporal lobe or frontal lobe of the brain and quickly generalize to other areas of the brain [3]. Kindling is the most common experimental model of TLE used to study the development of human epilepsy [4–10]. It is a chronic technique where the consecutive electrical stimulation of specific areas of the brain increases seizure It is evident that the efficacy of an epileptic treat- ment technique can be considerably improved by predicting BioMed Research International 2 seizure [18]. Given the unpredictable characteristic of less- controlled seizures, seizure prediction is a fundamental goal in clinical management [19]. In the majority of epileptic cases, Anti-Epileptic Drugs (AEDs) cannot completely eliminate epileptic seizures and they only reduce seizure severity [20]. Another traditional treatment is surgery that can only be used in patients with focal epilepsy and it may impair memory [21]. In addition, each of the current therapeutic options has its own side effects. In spite of developing various current traditional treatments such as pharmacological drugs and surgery, a large number of patients have experienced little improvement or suffered serious side effects. Therefore, find- ing a new and safe alternative therapeutic method is required. Vagus nerve stimulation (VNS) has been widely employed as an alternative for treatment of drug resistant epileptic patients [22, 23]. In this regard, Zhang et al. 2. Materials and Methods Animals were randomly divided into 3 groups: the Kindle group (𝑛 = 7), the LFS + Kindle group (LFS-K) (𝑛= 6) where LFS was applied just before the kindling stimulations, and Kindle + LFS group (K-LFS) (𝑛 = 6) where LFS was administered immediately after the kindling stimulations. All animals were subjected to a Several studies have demonstrated the inhibiting effects of LFS during the kindling process, highlighting the idea that LFS can be regarded as a good alternative therapy for epileptic patients [20, 29, 37]. In order to develop this technique, few studies have investigated the ability of LFS applied immediately before epileptic discharges or kindling stimulation to prevent the seizure attacks and most of them applied LFS some minutes before kindling stimulation [20, 38–41]. On the other hand, developing responsiveness closed loop systems for prediction and prevention or early treatment of seizures has drawn a considerable amount of research interest. One of the main prerequisites of such systems is an efficient therapeutic agent capable of being applied just before epileptic seizures to prevent or inhibit them [42]. LFS seems to meet this criterion if applied in optimum protocols and time. Developing such effective LFS protocol can be used in responsiveness closed loop system for predicting and preventing seizure attacks. The present study aimed to comparatively assess the antiepileptogenic effects of 1 Hz LFS with the same protocol applied just before and immediately after the kindling. BioMed Research International 3 Kindle group Recovery period Day 0 Surgery Day 10 Kindling procedure Days 11–15 60min Thresholding (a) LFS Recovery time Day 0 Surgery Day 10 Kindling procedure Immediately Days 11–15 LFS + Kindle group 60min 20min Thresholding (b) Day 0 Surgery Day 10 Kindling procedure LFS Immediately Kindle + LFS group Recovery period Days 11–15 60min 20min Thresholding (c) Figure 1: Schematic diagram of the study design and experiments in Kindle group (a), low frequency stimulation (LFS) + Kindle group (b), and Kindle + LFS group (c). Recovery period Recovery period Recovery time Day 0 Surgery Kindle + LFS group 60min Recovery period Day 0 Surgery Day 10 Thresholding (c) Figure 1: Schematic diagram of the study design and experiments in Kindle group (a), low frequency stimulation (LFS) + Kindle group (b), and Kindle + LFS group (c). the changes in the values of after discharge duration (ADD). Moreover, the significant differences were determined using a post hoc of Tukey. 2. Materials and Methods Four packages of LFS (each package consisted of 200 monophasic square pulses, 0.1 ms pulse duration at 1 Hz with the AD threshold intensity) with 5 min interval were daily applied immediately either before the kindling stimulations (LFS-K group) or after the termination of the kindling stimulations (K-LFS group). The time between the LFS and kindling stimulation was as short as technical limitation allowed. However, the time did not exceed more than 1 min. The schematic diagram of the experimental groups is presented in Figure 1. 2. Materials and Methods A one-way analysis of variance (ANOVA) was employed to determine differences in ADD between three groups during each day. The behavioral stages of kindling and the number of stimulations required to achieve different seizure stages were compared using Kruskal-Wallis followed by Bonferroni’s test. Statistical analysis was done by statistical package of SPSS (version 21, IBM Corporation, Chicago, IL, USA) for windows. For all statistical analyses, the tests were carried out as two-sided and significance was set at 𝑝< 0.05. rapid kindling stimulation (a 3 s train of 50 Hz monophasic pulses of 1 ms duration with the threshold intensity applied 12 times daily). The kindling progression was scored according to the Racine scale: stage 1: facial clonus, wet dog shakes, and mouth; stage 2: facial movement and head nodding; stage 3: forelimb clonus; stage 4: rearing and tonic extension of forelimbs; stage 5: falling and loss of balance [13]. The kindling stimulations continued until emergence of stage 5 of kindling (it took 4.42 days). Therefore, the LFS-K and K-LFS animals were stimulated for 5 days. Four packages of LFS (each package consisted of 200 monophasic square pulses, 0.1 ms pulse duration at 1 Hz with the AD threshold intensity) with 5 min interval were daily applied immediately either before the kindling stimulations (LFS-K group) or after the termination of the kindling stimulations (K-LFS group). The time between the LFS and kindling stimulation was as short as technical limitation allowed. However, the time did not exceed more than 1 min. The schematic diagram of the experimental groups is presented in Figure 1. rapid kindling stimulation (a 3 s train of 50 Hz monophasic pulses of 1 ms duration with the threshold intensity applied 12 times daily). The kindling progression was scored according to the Racine scale: stage 1: facial clonus, wet dog shakes, and mouth; stage 2: facial movement and head nodding; stage 3: forelimb clonus; stage 4: rearing and tonic extension of forelimbs; stage 5: falling and loss of balance [13]. The kindling stimulations continued until emergence of stage 5 of kindling (it took 4.42 days). Therefore, the LFS-K and K-LFS animals were stimulated for 5 days. 3. Results LFS: low frequency stimulation. Along with the kindling acquisition, the difference between Kindle group and LFS-K and K-LFS groups increased (𝑝> 0.05) (Figure 2). average of (32.86 ± 1.97) trials, whereas at the end of 60 trials, only one animal of LFS-K and two of K-LFS group showed seizure generalized stage (Figure 4). In this assessment, LFS- K showed stronger inhibiting effect than K-LFS, whereas the difference was not significant. To reach stage 3 and stages 4-5, the LFS-K, respectively, received 49.83 ± 8.03 and 59.0 ± 2.04 stimulations, whereas K-LFS received 46.16 ± 16.50 and 55.33 ± 7.89, respectively. 3.2. Seizure Stage. The results showed no significant differ- ence in daily stage between all groups during the first day of the experiment (𝑝> 0.05). However, application of LFS at the 2nd, 3rd, 4th, and 5th days significantly suppressed the daily stages (for day 2: H[2] = 10.191, 𝑝< 0.05, for day 3: H[2] = 13.696, 𝑝< 0.05, for day 4: H[2] = 12.003, 𝑝< 0.05, and for day 5: H[2] = 10.667, 𝑝< 0.05). All animals in the Kindle group achieved the generalized seizure stages (stages 4-5 of kindling) at most at the 5th day. Administration of LFS could significantly prevent the behavioral progression of seizure as at the end of the experiment only one animal in LFS-K group (16%) and two animals (32%) in K-LFS groups reached generalized seizure stage. Figure 3 compared the daily stage of animals during 5 consecutive days’ stimulation between 3 groups. Applying the LFS either before or after kindling stimulation significantly inhibited the epileptogenesis (𝑝< 0.05). Though the LFS-K showed more inhibition effect as compared with the K-LFS protocol, the difference was not statistically significant (𝑝> 0.05). 3. Results A Kruskal-Wallis followed by Bonferroni’s test showed significant decrease of seizure stage in both Kindle + LFS and LFS + Kindle groups compared with Kindle group (𝑝< 0.05). The Kindle + LFS and LFS + Kindle groups showed no significant difference (𝑝> 0.05). Data are shown as mean ± Standard Error of Mean (SEM). ∗ denotes 𝑝< 0.05 compared with Kindle group. LFS: low frequency stimulation. BioMed Research International 2 3 1 5 4 Stimulation (day) 0 1 2 3 4 5 Seizure stage ∗ ∗ ∗ ∗ ∗ ∗ ∗ ∗ Kindle LFS + Kindle Kindle + LFS F 3 C i f b h i l i t d i 5 d 100 0 200 300 Mean cumulative ADD (second) 2 3 1 5 4 Stimulation (day) Kindle LFS + Kindle Kindle + LFS ∗ ∗ ∗ ∗ ∗ ∗ ∗ Figure 2: Comparison of after discharge duration (ADD) in 5 days of stimulation between 3 groups (Kindle, LFS + Kindle, and Kindle + LFS). LFS either prior to or after kindling significantly reduced ADD compared with Kindle group. In addition, the Kindle + LFS and LFS + Kindle groups showed no significant difference (𝑝> 0.05). Values are represented as mean ± Standard Error of Mean (SEM). ∗𝑝< 0.05 compared with Kindle group. LFS: low frequency stimulation. 100 0 200 300 Mean cumulative ADD (second) 2 3 1 5 4 Stimulation (day) ∗ ∗ ∗ ∗ ∗ ∗ ∗ Figure 3: Comparison of behavioral seizure stages during 5 days of stimulation between 3 groups. LFS significantly inhibited seizure progression. A Kruskal-Wallis followed by Bonferroni’s test showed significant decrease of seizure stage in both Kindle + LFS and LFS + Kindle groups compared with Kindle group (𝑝< 0.05). The Kindle + LFS and LFS + Kindle groups showed no significant difference (𝑝> 0.05). Data are shown as mean ± Standard Error of Mean (SEM). ∗ denotes 𝑝< 0.05 compared with Kindle group. LFS: low frequency stimulation. Figure 2: Comparison of after discharge duration (ADD) in 5 days of stimulation between 3 groups (Kindle, LFS + Kindle, and Kindle + LFS). LFS either prior to or after kindling significantly reduced ADD compared with Kindle group. In addition, the Kindle + LFS and LFS + Kindle groups showed no significant difference (𝑝> 0.05). Values are represented as mean ± Standard Error of Mean (SEM). ∗𝑝< 0.05 compared with Kindle group. 3. Results 3.1. Alterations in after Discharge Duration. A two-way ANOVA showed significant difference in cumulative ADD between the experimental groups (F[2, 78] = 19.682, 𝑝< 0.05). The data demonstrated that the cumulative ADD decreased significantly as a result of applying LFS in both LFS-K and K-LFS groups as compared with Kindle group (𝑝< 0.05). Although ADD in LFS-K group was lower than K- LFS, the difference was not statistically significant (𝑝> 0.05). 2.4. Statistical Analyses. Values were averaged and expressed as the mean ± Standard Error of Mean (SEM). A two-way analysis of variance (ANOVA) was performed to compare BioMed Research International 2 3 1 5 4 Stimulation (day) 0 1 2 3 4 5 Seizure stage ∗ ∗ ∗ ∗ ∗ ∗ ∗ ∗ Kindle LFS + Kindle Kindle + LFS Figure 3: Comparison of behavioral seizure stages during 5 days of stimulation between 3 groups. LFS significantly inhibited seizure progression. A Kruskal-Wallis followed by Bonferroni’s test showed significant decrease of seizure stage in both Kindle + LFS and LFS + Kindle groups compared with Kindle group (𝑝< 0.05). The Kindle + LFS and LFS + Kindle groups showed no significant difference (𝑝> 0.05). Data are shown as mean ± Standard Error of Mean (SEM). ∗ denotes 𝑝< 0.05 compared with Kindle group. LFS: low frequency stimulation. BioMed Research International 4 4 BioMed Research International 100 0 200 300 Mean cumulative ADD (second) 2 3 1 5 4 Stimulation (day) Kindle LFS + Kindle Kindle + LFS ∗ ∗ ∗ ∗ ∗ ∗ ∗ Figure 2: Comparison of after discharge duration (ADD) in 5 days of stimulation between 3 groups (Kindle, LFS + Kindle, and Kindle + LFS). LFS either prior to or after kindling significantly reduced ADD compared with Kindle group. In addition, the Kindle + LFS and LFS + Kindle groups showed no significant difference (𝑝> 0.05). Values are represented as mean ± Standard Error of Mean (SEM). ∗𝑝< 0.05 compared with Kindle group. LFS: low frequency stimulation. 2 3 1 5 4 Stimulation (day) 0 1 2 3 4 5 Seizure stage ∗ ∗ ∗ ∗ ∗ ∗ ∗ ∗ Kindle LFS + Kindle Kindle + LFS Figure 3: Comparison of behavioral seizure stages during 5 days of stimulation between 3 groups. LFS significantly inhibited seizure progression. 4. Discussion However, there was no association between the number of pulses and the amount of the antiepileptic effect of LFS [44]. Therefore, it seems that various LFS parameters can affect its anticonvulsant effect. Although the inhibitory effect of LFS has been widely reported, its exact antiepileptogenesis mechanism still remains unknown. The mechanism of long term depression (LTD) has been demonstrated to interfere with increasing the threshold of ADD and suppressing the generalization of seizures [20, 45–47]. In this regard, several studies have revealed that LFS-induced LTD [29, 31] and low level direct current stimulation-induced LTD [48] during the kindling acquisition can prevent the progression of sei- zure. The LTD phenomenon was first introduced in the hippocampus and then it was recognized in the other areas of the brain [49]. This effect can also appear in different neurons which release neurotransmitters. The most common neurotransmitter involved in inducing LTD is glutamate which affects some receptors causing inhibition effects on the synaptic activities. It was reported that the anticonvulsant effect of LFS may occur through inhibiting the synaptic transition in the dentate gyrus [50]. Similarly, another study examined the antiepileptogenic effect of LFS during the kin- dling acquisition of perforant path and they suggested that the inhibiting effect of LFS is caused by the suppression of synaptic transmission in dentate gyrus. They also found that LFS prevents the kindling-induced enhancement of pulses depotentiation [51]. In addition, a large amount of ATP and adenosine products were released from the end of presynaptic to synaptic regions during exciting the CA1 region of the In the present study, application of LFS either before or after the kindling stimulation significantly decreased ADD, compared with the Kindle group; however, the difference between the K-LFS and LFS-K groups was not statistically sig- nificant. It seems that applying LFS either immediately before or after kindling stimulation has the same antiepileptogenesis effects.hi f The findings showed that LFS can suppress behavioral seizure generalization which agreed with the earlier studies [20, 21, 55–57]. All animals in the Kindle group experienced generalized seizure stages within 5 days, whereas only one animal in the LFS-K group and two animals in the K-LFS group achieved stages 4 and 5 of the kindling. Moreover, application of LFS in both LFS-K and K-LFS protocols significantly increased the number of stimulations required to achieve generalized seizure stages. 4. Discussion Some studies have reported that adenosine induces the inhibitory effect through affecting A1 receptors and the expression of these receptors was increased as a result of applying LFS [50, 53]. In addition, it was showed that the application of the A1 receptors agonist during LFS increases LTD phenomenon [52]. Due to the role of the A1 receptors in the inhibiting effect of LFS, enhancement of the extracellular amount of adenosine can increase the antiepileptic effect of LFS. There- fore, applying LFS induces alteration in the adenosine recep- tors which may be associated with the increase of the AD threshold and reduction of seizure susceptibility during the kindling procedure [54]. Similar to the results, numerous studies have revealed LFS-induced reduction of ADD during the kindling process [20, 32, 44], whereas Toibaro et al. [21] reported that the reduction was not statistically significant. However, comparing the findings of our study with other previous similar studies it is important to consider the difference between the LFS parameters particularly the exact time of LFS application. In our study, we applied the LFS stimulation immediately before or after kindling stimulation, whereas in most of the other similar studies there was an interval between LFS and kindling of mostly 5 minutes. Esmaeilpour et al. (2013) used 8 packages at 100 s interval, each package consisting of 200 monophasic square-wave pulses, 0.1 ms pulse duration at 1 Hz [20], and Wu et al. (2013) applied LFS twice per day for two weeks [32]. Shahpari et al. (2012) used several protocols of LFS at 1, 0.25, and 5 Hz [44]. They also applied the protocol used in this experiment but the protocol was applied in the perforant path region whereas we stimulated the amygdala. Stimulation number Figure 4: Effect of LFS on stimulation numbers required to achieve each seizure stage. Both Kindle + LFS and LFS + Kindle groups showed significant increase in stimulation numbers required to reach kindling stages compared to Kindle group (𝑝 < 0.05). Although LFS + Kindle group required more stimulation numbers to achieve localized (stage 3) and generalized seizure stages (stages 4- 5), compared to Kindle + LFS rats, the difference was not statistically significant (𝑝> 0.05). The values are represented as mean ± SEM. ∗ denotes 𝑝< 0.05 compared with Kindle group. LFS: low frequency stimulation. LFS at 0.25 Hz provides more inhibitory effect than other frequencies. 4. Discussion However, there was no association betw number of pulses and the amount of the antiepileptic LFS [44]. Therefore, it seems that various LFS parame affect its anticonvulsant effect. Although the inhibitor of LFS has been widely reported, its exact antiepilepto mechanism still remains unknown. The mechanism term depression (LTD) has been demonstrated to i with increasing the threshold of ADD and suppress generalization of seizures [20, 45–47]. In this regard, studies have revealed that LFS-induced LTD [29, low level direct current stimulation-induced LTD [48] the kindling acquisition can prevent the progression zure. The LTD phenomenon was first introduced hippocampus and then it was recognized in the oth of the brain [49]. This effect can also appear in d neurons which release neurotransmitters. The most co neurotransmitter involved in inducing LTD is glu which affects some receptors causing inhibition ef the synaptic activities. It was reported that the anticon effect of LFS may occur through inhibiting the s transition in the dentate gyrus [50]. Similarly, anothe examined the antiepileptogenic effect of LFS during t dling acquisition of perforant path and they suggest the inhibiting effect of LFS is caused by the suppre synaptic transmission in dentate gyrus. They also fou LFS prevents the kindling-induced enhancement o depotentiation [51]. In addition, a large amount of A adenosine products were released from the end of pres to synaptic regions during exciting the CA1 region 1 2 3 4-5 Stage 0 20 40 60 80 Stimulation number Kindle LFS + Kindle Kindle + LFS ∗ ∗ ∗ ∗ ∗ Figure 4: Effect of LFS on stimulation numbers required to achieve each seizure stage. Both Kindle + LFS and LFS + Kindle groups showed significant increase in stimulation numbers required to reach kindling stages compared to Kindle group (𝑝 < 0.05). Although LFS + Kindle group required more stimulation numbers to achieve localized (stage 3) and generalized seizure stages (stages 4- 5), compared to Kindle + LFS rats, the difference was not statistically significant (𝑝> 0.05). The values are represented as mean ± SEM. ∗ denotes 𝑝< 0.05 compared with Kindle group. LFS: low frequency stimulation. 1 2 3 4-5 Stage 0 20 40 60 80 Stimulation number ∗ ∗ ∗ ∗ ∗ hippocampus in the kindling process. In this regard, admin- istration of LFS enhances the release of adenosine which in turn induces LTD in neurons of the CA1 region [52]. 4. Discussion The results confirmed that applying LFS either before or after the kindling stimulation significantly inhibited the kindling acquisition procedure. All LFS-K and K-LFS animals showed lower ADD and daily stages in comparison with the Kindle group. LFS could also considerably prevent generalization of behavioral stages during the kindling procedure. Moreover, all animals treated by LFS required more stimulations to show generalized seizure stages. The findings correspond with most of the previous studies which confirmed the inhibition effect of LFS during the kindling acquisition [25, 30, 37]. In addition, applying LFS reduced ADD which can be attributed to the retarding seizure generalization.l 3.3. Stimulation Number. A Kruskal-Wallis followed by a Bonferroni’s test showed that applying LFS either before or after kindling stimulations significantly increased the number of stimulations required to achieve localized (stage 3) and generalized (stages 4 and 5) seizure stages (for stage 2: H[2] = 6.725, 𝑝> 0.05, for stage 3: H[2] = 8.498, 𝑝< 0.05, and for stages 4-5: H[2] = 13.658, 𝑝< 0.05). All animals of Kindle group showed the seizure generalization within an Due to the flexibility of LFS protocols, numerous studies have investigated different parameters involved in using this approach [20, 44, 45]. For example, Shahpari et al. [44] reported that the frequency of LFS and the interval time between LFS and the kindling stimulation play an important role in the extent of effectiveness of LFS. They reported that 4 packages of LFS showed the stronger antiepileptic effect than 1 and 8 packages. In addition, they found that applying 5 BioMed Research International BioMed Research International 1 2 3 4-5 Stage 0 20 40 60 80 Stimulation number Kindle LFS + Kindle Kindle + LFS ∗ ∗ ∗ ∗ ∗ Figure 4: Effect of LFS on stimulation numbers required to each seizure stage. Both Kindle + LFS and LFS + Kindle showed significant increase in stimulation numbers req reach kindling stages compared to Kindle group (𝑝 < Although LFS + Kindle group required more stimulation n to achieve localized (stage 3) and generalized seizure stages ( 5), compared to Kindle + LFS rats, the difference was not sta significant (𝑝> 0.05). The values are represented as mean ± denotes 𝑝< 0.05 compared with Kindle group. LFS: low fr stimulation. LFS at 0.25 Hz provides more inhibitory effect tha frequencies. 4. Discussion In fact, this inhibition effect might be due to the delay of the behavioral progression from stages 0–3 to stages 4-5. It is clear that increasing the seizure threshold would reduce the risk of behavioral seizure generalization. Thus, application of LFS following the kindling procedure can increase the seizure threshold through the LTD process which retards network synchro- nization and suppresses seizure progression. This can justify requiring more stimulations in the LFS-K and K-LFS groups as compared with the Kindle group animals to demonstrate each seizure stage [21]. BioMed Research International 6 To sum up, applications of the same LFS protocol just before or immediately after the kindling stimulations signif- icantly inhibit the kindling-induced epileptogenesis and the LFS before the kindling stimulations exerts higher inhibiting effects than the later protocol but the difference was not significant. In a similar study, Shahpari et al. [44] compared the antiepileptic effect of the same LFS protocol applied immediately before kindling stimulation and 5 min after ter- mination of kindling stimulation and reported that LFS pro- tocol immediately before the kindling stimulation induced more inhibiting effects [44]. However, the main difference between this study and that of Shahpari et al. [44] is that we applied LFS immediately after kindling termination which can be attributed to the different antiepileptic effect between immediately after LFS and LFS applied 5 min after stimula- tion. Five minutes is a long enough time to propagate epileptic activities through other regions of brain particularly in stages 3–5; therefore, applying LFS immediately after kindling stim- ulation more likely inhibits the epileptic activities. However, in addition to the time variable of applying LFS, there are many other factors that should be discussed and examined in order to use LFS as a therapeutic approach. During the recent years, a considerable amount of research interest has been devoted to developing seizure predicting approaches for efficient management of epileptic disorders [19]. Developing an open loop or closed loop system capable of predicting seizure attack or early detection of seizure onset and applying efficient electrical stimulations to prevent or at least impede the seizure attacks is one of the management options for patients with intractable epilepsy. In this regard, finding appropriate parameters of electrical stimulations particularly time of application is a crucial step. References [1] D. W. McCandless, Epilepsy: Animal and Human Correlations, Springer Science & Business Media, 2012. [2] R. S. 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The main limitation of this study was lack of cellular and molecular assessments to investigate the mechanisms of action of the two protocols of LFS. In addition, the time of LFS applications prior to or after kindling stimulation varies and was not exactly the same. This variation was because of the technical limitation in changing the stimulus paradigm from kindling to LFS and vice versa. However, we tried to apply all LFS prior to or after kindling with minimum variation and all the stimulations were performed within 1 min interval with kindling stimulation. In addition, possible interfering effects of surgery on the study parameters were another source of the limitation of this study. However, we have a kindling group and comparing the parameters between the three groups we can expect that any possible effects of the surgery could be similar in all animals. [8] W. H. Theodore and R. S. 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Thermal Stability, Fire and Smoke Behaviour of Epoxy Composites Modified with Plant Waste Fillers
Polymers
2,019
cc-by
12,949
Received: 17 June 2019; Accepted: 22 July 2019; Published: 25 July 2019 Abstract: The influence of plant fillers on the flammability and smoke emission of natural composites was investigated. Epoxy composites with 15, 25, and 35 wt % of walnut and hazelnut shell, as well as sunflower husk, were prepared and examined. The ground organic components were characterized by grain size distribution, thermogravimetric analysis (TGA) and microstructure observations (SEM). The composite materials were subjected to dynamic mechanical analysis (DMA) and structural evaluation with scanning electron microscopy. Cone calorimeter tests and TGA determined the influence of plant waste filler addition on thermal stability and flammability. Moreover, the semi-volatile and volatile compounds that evolved during the thermal decomposition of selected samples were identified using a steady state tube furnace and a gas chromatograph with a mass spectrometer. The intensity of the degradation reduced as a function of increasing filler content, while the yield of residue corresponded to the amount of lignin that is contained in the tested plants. Moreover, the incorporation of agricultural waste materials resulted in the formation of a char layer, which inhibits the burning process. The yield of char depended on the amount and type of the filler. The composites containing ground hazelnut shell formed swollen char that was shaped in multicellular layers, similar to intumescent fire retardants. Keywords: polymer-matrix composites; plant waste fillers; thermal stability; fire and smoke behaviour; smoke toxicity Thermal Stability, Fire and Smoke Behaviour of Epoxy Composites Modified with Plant Waste Fillers Kamila Salasinska 1,* , Mateusz Barczewski 2, Monika Borucka 1, Rafał L. Górny 1, Paweł Kozikowski 1, Maciej Celi´nski 1 and Agnieszka Gajek 1 1 Department of Chemical, Biological and Aerosol Hazards, Central Institute for Labour Protection-National Research Institute, Czerniakowska 16, 00-701 Warsaw, Poland 2 Institute of Materials Technology, Poznan University of Technology, Piotrowo 3, 61-138 Pozna´n, Poland * Correspondence: kamila.salasinska@ciop.pl   polymers polymers 1. Introduction Interesting properties, high durability, aesthetics, as well as relatively low price all inspire a growing interest in plastics reinforced with lignocellulosic fillers, which are referred to as Natural Fibre Composites (NFC) or Wood Plastics Composites (WPC) in the case of wood fillers. Reports on polymers that were filled with plants, such as wood biomass, flax, hemp, jute, sisal, kenaf, and various types of cereals can be increasingly frequently found in the literature [1–5]. Construction and automotive industries are the main directions of application of these kinds of composites in the European Union. According to data, WPCs are mainly used in floorboards (67%), car equipment (23%), facades, terraces and fences (6%), technical applications (2%), furniture (1%) and consumer goods (1%). In the case of NFCs, almost 98% of the materials are applied in the automotive industry, mostly door and board components [6]. The properties of such fillers, in combination with environmental aspects, provide strong arguments for replacing synthetic fibres with natural ones. It is estimated that up to 30% of products that are made of polymers and glass fibres can be replaced with ones that are based on plant fillers [7]. www.mdpi.com/journal/polymers Polymers 2019, 11, 1234; doi:10.3390/polym11081234 www.mdpi.com/journal/polymers Polymers 2019, 11, 1234 2 of 19 Due to the fact that floor panels are flammable and they often trigger fires, it is required that the materials from which they are made are fire resistant [8]. At present, the flammability reduction of NFCs is accomplished by introducing as much as 60% of fire retardants [9]. Unfortunately, the proposed solution is not satisfactory to manufacturers, because of their non-ecological impact, negative influence on the properties, and higher costs. Natural fibres that are exposed to flame or heat undergo thermal degradation and/or ignite, according to the conditions [10,11]. The mechanism of the thermal degradation process differs depending on the type of a given material and it is influenced by a number of factors, such as chemical composition, structure, degree of polymerization, and fibre orientation. The lignin decomposition process starts at the temperature range of 160–400 ◦C; weak bonds are broken at lower temperatures, while at higher ones ether and carbon bonds crack. The cyclisation process favours the formation of a char layer, which in the case of lignin is far greater than that of cellulose or hemicellulose. 1. Introduction Low lignin content in fibre increases the decomposition temperature, and it reduces fibre resistance to oxidizing agents, which is related to the amount of aromatic groups. The degradation of hemicellulose, low mass polysaccharides, starts at 180 ◦C, causing a release of inflammable gasses and tar. An exothermic reaction takes place in the temperature range of 200–260 ◦C, which is associated with an increased emission of gaseous products of decomposition, tar generation, and local ignitions of low mass carbohydrates. Cellulose decomposes at above 260 ◦C generating a load of gaseous products, char (pyrophoric carbon), and tar. The presence of water may catalyse the decomposition process of cellulose. The decomposition process of natural fibres consists of a series of reactions: • dehydration (evaporation of water); • depolymerization and decarboxylation combined with dehydration of cellulose chains (formation of dehydrocellulose); • decomposition of dehydrocellulose related to the formation of char; • formation of levoglucosan; • decomposition of levoglucosan to low mass, volatile gasses [12,13]. • dehydration (evaporation of water); y p • depolymerization and decarboxylation combined with dehydration of cellulose chains (formation of dehydrocellulose); • decomposition of dehydrocellulose related to the formation of char; • decomposition of dehydrocellulose related to the formation of char; • formation of levoglucosan; • decomposition of levoglucosan to low mass, volatile gasses [12,13]. The process takes place over three most important phases: initial (flameless), main (flaming phase), and final (flameless) [14,15]. The initial phase includes a dehydration process with release of water. Up to 200 ◦C inner fibre bonds weaken and the material starts to release flammable gasses. The main phase includes ignition of the decomposition products and fire spread, which is accompanied by an increase in the heat release rate due to the progressive decomposition process and fibre mass loss. The phase occurs in the temperature range of 260–450 ◦C depending on the material. The final phase is associated with a slow extinguishing process and a formation of solid residue. It has been found that the course of burning of NFCs may be influenced, among others, by moisture content or morphology of the composites, as well as by the chemical composition and filler content [8]. Unfortunately, there are still only a few publications on the flammability of polymer composites modified by plant fillers other than wood, and they rarely discuss the problem of smoke emission. 2. Materials and Methods Epoxy resin, based on bisphenol A (Epidian 624, epoxy number 0.48–0.51 mol/100g, viscosity 600–800 mPa·s), and isophorone diamine curing agent (IDA, amine number 250–350 mg KOH/g, viscosity 150–300 mPa·s), both produced by CIECH Sarzyna S.A (Nowa Sarzyna, Poland), were used as the polymer matrix. Composition ingredients were proportioned by weight: 50g of curing agent for 100g of epoxy resin, while following the producer’s suggestion. Walnut shell (Juglans Regia species, WS) and hazelnut shell (Corylus avellana species, HS) that were obtained from AGRO Jarosław Seroczy´nski (Nadbrzez, Poland), as well as sunflower husk (Helianthus annuus L. species, SH) from FODER BIO-TECH (D˛ebowa Góra, Poland), were used as agricultural waste fillers [16,17]. The grinding of the fillers was conducted on a laboratory sieve mill type MUKF-10 from Młynpol P.P.H. (Cerekiew, Poland). The mixing of the components was performed using a high-speed mechanical stirrer with a water jacket (Central Institute for Labour Protection-National Research Institute, Warsaw, Poland); three rotational speeds equal to 7000, 10,000, and 17,000 rpm, for 3, 1.5, and 0.5 min, respectively, were applied. Next, the components were degassed in a vacuum dryer for at least 1h and a curing agent was introduced. The mixtures were stirred again for two minutes at a speed of 7000 rpm and degassed for about 10 min. The samples were cured in forms at room temperature for 2 ± 1 days and then at 80 ◦C for 3 h. Three composite series with the fillers content equalling to 15, 25, and 35 wt %, as well as a reference material of unmodified polymer matrix were manufactured [16,17]. The particle size distribution of ground shell and husk was defined by means of a vibratory sieve shaker AS 200 from Retsch GmbH (Haan, Germany), which was equipped with sieves with the following mesh size: 0.02, 0.032, 0.063, 0.071, 0.125, 0.25, 0.5, and 0.8 mm. The measurements were carried out on a sample with the mass of 50 g over 1h. The surface structures of plant fillers and composites were based on the analysis of images from the scanning electron microscopy (SEM) SU-8010 from Hitachi High-Technologies Corp (Tokyo, Japan). Prior to the tests, all of the specimens of husk and shell were placed on the carbon tape and covered with a layer of gold while using sputter coater SC7620 from Quorum Technologies Ltd (Lewes, UK). 1. Introduction In our study, composites that are based on epoxy resins with agricultural waste material in the form of ground walnut (WS) and hazelnut shell (HS), as well as sunflower husk (SH) were prepared. Natural composites containing between 15–35 wt % of fillers were subjected to a series of DMA and TGA, as well as cone calorimeter measurements. The microstructure analysis complemented the influence of ground shell and husk on the properties of the composites. Additionally, a steady state tube furnace was used to determine the nature and quantity of the substances, which can evolve during the combustion and thermal degradation processes of natural composites. The main objective of the study was to manufacture thermoset composites that were modified with a plant waste filler of reduced flammability and smoke emission. Polymers 2019, 11, 1234 3 of 19 2. Materials and Methods The electron accelerating voltage of 5 or 10 kV was applied and the magnifications of 100× and 2000× were used in the case of filler, 400× for composites, and 100× for char residue. Thermo Scientific NORAN System 7 performed the analysis of the elemental composition of the char in FESEM, which was equipped with an electrically cooled Silicon Drift Detector EDS from Thermo Fisher Scientific (Waltham, MA, USA). The dynamic mechanical-thermal analysis (DMTA) experiments were performed while using Anton Paar MCR 301 rheometer (Graz, Austria), equipped with a torsion DMA measuring system. The investigations were conducted with a constant frequency of 1 Hz and a strain of 0.01%. All of the samples were evaluated in the temperature range from 30 to 140 ◦C with a temperature ramp of 2 ◦C/min. The thermal stability of the filler, the unmodified epoxy resin, and the epoxy composites were determined by TGA that was carried out in the temperature range of 30–900 ◦C at the heating rate of 10 ◦C/min under air or nitrogen atmosphere, using a TG 209 F1 Libra apparatus from Erich NETZSCH GmbH & Co. Holding KG. (Selb, Germany). Holding KG. 5 ± 0.1 mg samples were placed on ceramic pans. The burning behaviour of the composites was examined by cone calorimeter tests from Fire Testing Technology Ltd. (East Grinstead, UK), being conducted in accordance with the ISO 5660 standard. The specimens with dimensions of 100 mm × 100 mm × 10 mm and the weight of approx. 60 g were horizontally irradiated at a heat flux of 35 kW/m2. An optical system with silicon photodiode and a helium-neon laser enabled continuous measurement of the optical density of the smoke. Spark ignition was used to ignite the pyrolysis products and the values are the average obtained for three samples from each material. The nature and quantity of the thermal degradation products of selected composites based on epoxy resins with agricultural waste materials were determined using a steady state tube furnace 4 of 19 Polymers 2019, 11, 1234 (Purser furnace) and a gas chromatography with a mass selective detector (Agilent Technologies 7890 A GC MSD 5975, Santa Clara, CA, US), in accordance with the ISO TS 19700 standard (Figure 1). The 5 g samples of materials were combusted at 650 ◦C. 2. Materials and Methods The fire effluents were taken from the mixing chamber of the tube furnace using the solid phase microextraction technique and carboxen/polydimethylsiloxane fibre coating, since it is recommended for the extraction of both non-polar and polar chemicals. The chromatographic separation was achieved with an HP-5 MS fused silica capillary column. Chromatographic peaks were identified through comparing the mass ions of each peak with NIST MS Library. As the chromatographic peak area of a specific compound is linearly correlated with its quantity, its concentration can be reflected by the peak area ratio. The summed identified peak areas were normalized to 100% and the relative abundance of a specific compound can be reflected by its peak area ratio. Polymers 2019, 11, x FOR PEER REVIEW 4 of 19 A GC MSD 5975, Santa Clara, CA, US), in accordance with the ISO TS 19700 standard (Figure 1). The 5 g samples of materials were combusted at 650 °C. The fire effluents were taken from the mixing chamber of the tube furnace using the solid phase microextraction technique and carboxen/polydimethylsiloxane fibre coating, since it is recommended for the extraction of both non- polar and polar chemicals. The chromatographic separation was achieved with an HP-5 MS fused silica capillary column. Chromatographic peaks were identified through comparing the mass ions of each peak with NIST MS Library. As the chromatographic peak area of a specific compound is linearly correlated with its quantity, its concentration can be reflected by the peak area ratio. The summed identified peak areas were normalized to 100% and the relative abundance of a specific compound can Polymers 2019, 11, x FOR PEER REVIEW 4 of 19 A GC MSD 5975, Santa Clara, CA, US), in accordance with the ISO TS 19700 standard (Figure 1). The 5 g samples of materials were combusted at 650 °C. The fire effluents were taken from the mixing chamber of the tube furnace using the solid phase microextraction technique and carboxen/polydimethylsiloxane fibre coating, since it is recommended for the extraction of both non- polar and polar chemicals. The chromatographic separation was achieved with an HP-5 MS fused silica capillary column. Chromatographic peaks were identified through comparing the mass ions of each peak with NIST MS Library. As the chromatographic peak area of a specific compound is linearly correlated with its quantity, its concentration can be reflected by the peak area ratio. 3 1 Natural Fillers Analysis 3.1. Natural Fillers Analysis 3 1 N t l Fill A l i 3.1. Natural Fillers Analysis Figure 2 presents the grain size distribution of ground shell and husk in relation to the mass of material that remained on individual sieves. It was found that 86% of the particles of WS and 73% of the particles of HS ranged between 32 and 71μm in size. The highest share of relatively large grain, for which as many as 62% of particles were above 71μm, was determined for ground SH. The most uniform grain size distribution, with more than 99% of the particles between 32–250 μm, was recorded for WS [16]. Nevertheless, it can be assumed that a fairly homogeneous size distribution h t i ll f th i ti t d fill Figure 2 presents the grain size distribution of ground shell and husk in relation to the mass of material that remained on individual sieves. It was found that 86% of the particles of WS and 73% of the particles of HS ranged between 32 and 71µm in size. The highest share of relatively large grain, for which as many as 62% of particles were above 71µm, was determined for ground SH. The most uniform grain size distribution, with more than 99% of the particles between 32–250 µm, was recorded for WS [16]. Nevertheless, it can be assumed that a fairly homogeneous size distribution characterizes all of the investigated fillers. 3.1. Natural Fillers Analysis Figure 2 presents the grain size distribution of ground shell and husk in relation to the mass of material that remained on individual sieves. It was found that 86% of the particles of WS and 73% of the particles of HS ranged between 32 and 71μm in size. The highest share of relatively large grain, for which as many as 62% of particles were above 71μm, was determined for ground SH. The most uniform grain size distribution, with more than 99% of the particles between 32–250 μm, was recorded for WS [16]. Nevertheless, it can be assumed that a fairly homogeneous size distribution characterizes all of the investigated fillers characterizes all of the investigated fillers. Fi P i l i di ib i b i h f d d l (WS) h l h ll (HS) d Figure 2. Particle size distribution by weight of ground ground walnut (WS), hazelnut shell (HS), and Figure 2. 2. Materials and Methods The summed reflected by its peak area ratio. Figure 1. The scheme of steady state tube furnace (Purser furnace), adapted from [18]. Figure 1. The scheme of steady state tube furnace (Purser furnace), adapted from [18]. dentified peak areas were normalized to 100% and the relative abundance of a specific compound can e reflected by its peak area ratio. Figure 1. The scheme of steady state tube furnace (Purser furnace), adapted from [18]. zed to 100% and the relative abu Figure 1. The scheme of steady state tube furnace (Purser furnace), adapted from [18]. Figure 1. The scheme of steady state tube furnace (Purser furnace), adapted from [18]. Figure 1. The scheme of steady state tube furnace (Purser furnace), adapted from [18]. 3 1 Natural Fillers Analysis 3.1. Natural Fillers Analysis 3 1 N t l Fill A l i Particle size distribution by weight of ground ground walnut (WS), hazelnut shell (HS), and sunflower husk (SH). Fi 2 P ti l i di t ib ti b i ht f d d l t (WS) h l t h ll (HS) d Figure 2. Particle size distribution by weight of ground ground walnut (WS), hazelnut shell (HS), and Figure 2. Particle size distribution by weight of ground ground walnut (WS), hazelnut shell (HS), and sunflower husk (SH). Figure 2. Particle size distribution by weight of ground ground walnut (WS), hazelnut shell (HS), and sunflower husk (SH). The o holo y of the a ti le of the a aly ed atu al a te la t fille a a e ed ba ed sunflower husk (SH). The morphology of the particles of the analysed natural waste plant fillers was assessed based SEM i Th l i f SEM i (Fi 3) fi d th t th ti l th t bt i d The morphology of the particles of the analysed natural waste plant fillers was assessed based on SEM images. The analysis of SEM images (Figure 3) confirmed that the particles that were obtained as a 5 of 19 Polymers 2019, 11, 1234 result of grinding WS, HS, and SH differed in size (Figure 3a,e) and geometry (Figure 3c). The greatest differences in the appearance of particles were observed between shell and husk, due to the different construction of such complex structures and their behaviour during the grinding process. The particles of ground shell resembled a sphere (Figure 3b), and moreover their surface was rough to varying degrees. In contrast, the particles of ground SH looked like short fibres, due to their longitudinal shape. Surface roughness impedes its proper wetting by the polymer matrix in the course of processing, thereby contributing to the formation of voids at the interface. The problem mostly refers to polymers with high viscosity. On the other hand, the well-developed surface of the particles increases the contact surface of the components and it enables their mechanical linkage [19–21]. Polymers 2019, 11, x FOR PEER REVIEW 5 of 19 the different construction of such complex structures and their behaviour during the grinding process. The particles of ground shell resembled a sphere (Figure 3b), and moreover their surface was rough to varying degrees. 3 1 Natural Fillers Analysis 3.1. Natural Fillers Analysis 3 1 N t l Fill A l i In contrast, the particles of ground SH looked like short fibres, due to their longitudinal shape. Surface roughness impedes its proper wetting by the polymer matrix in the course of processing, thereby contributing to the formation of voids at the interface. The problem mostly refers to polymers with high viscosity. On the other hand, the well-developed surface of the particles increases the contact surface of the components and it enables their mechanical linkage [19,20,21]. (a) (b) (c) (d) (e) (f) Figure 3. SEM images of ground WS (a, b), HS (c, d), and SH (e, f). Figure 3. SEM images of ground WS (a,b), HS (c,d), and SH (e,f). (b) (a) (b) (a) (c) (d) (d) (c) (e) (f) (e) (f) Figure 3. SEM images of ground WS (a, b), HS (c, d), and SH (e, f). Figure 3. SEM images of ground WS (a,b), HS (c,d), and SH (e,f). 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials Figure 4 shows images of the unmodified epoxy resin as well as WS, HS, and SH composite fractures at 400× magnification. The analysis of SEM images allowed for observing the occurrence of the particles of fillers in the entire volume of samples, as well as their uneven arrangement and variation in size, in accordance with the SEM images of the grains before they were introduced into the 6 of 19 6 of 19 Polymers 2019, 11, 1234 P l 2019 11 FOR resin (Figure 3). Uneven distribution of plant fillers in the polymer is characteristic for composites that were filled with particles or short fibres [22]. A proper wettability of the surface of the fillers resulting from the use of a polymer with a relatively low molecular weight increases the adhesion between the composite components [16]. It is not only that the surface of the filler is covered by the polymer, but it appears that the epoxy resin also penetrates into the porous structure of the particles. This phenomenon was visible, especially in the case of composites with SH (Figure 4j). Nonetheless, a considerable number of voids distributed in the epoxy matrix as well as in the region of components contact was found. The highest porosity was observed in the case of a series of composites that were modified with SH, regardless of the amount of the filler. Voids of significant size that occurred in the whole sample, whose share grew with the increase in the filler amount, might be the result of an impeded degassing of the highly viscous mixtures [16,17]. The particles of ground shell and husk differ in the aspect ratio and surface area [17], which affects the viscosity of composition. However, the voids located in the interphase region predominated for WS and HS composites, reflecting the limited adhesion between matrix and plant filler in the form of ground shell. This is also confirmed by the intact surface of the particles of these fillers, which are visible on fracture images. the resin (Figure 3). Uneven distribution of plant fillers in the polymer is characteristic for composites that were filled with particles or short fibres [22]. A proper wettability of the surface of the fillers resulting from the use of a polymer with a relatively low molecular weight increases the adhesion between the composite components [16]. 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials It is not only that the surface of the filler is covered by the polymer, but it appears that the epoxy resin also penetrates into the porous structure of the particles. This phenomenon was visible, especially in the case of composites with SH (Figure 4j). Nonetheless, a considerable number of voids distributed in the epoxy matrix as well as in the region of components contact was found. The highest porosity was observed in the case of a series of composites that were modified with SH, regardless of the amount of the filler. Voids of significant size that occurred in the whole sample, whose share grew with the increase in the filler amount, might be the result of an impeded degassing of the highly viscous mixtures [16,17]. The particles of ground shell and husk differ in the aspect ratio and surface area [17], which affects the viscosity of composition. However, the voids located in the interphase region predominated for WS and HS composites, reflecting the limited adhesion between matrix and plant filler in the form of ground shell. This is also confirmed by the intact surface of the particles of these fillers, which are visible on fracture images. Figure 4. SEM images of unmodified epoxy resin (a) and composites with 10, 25, and 35 wt % of ground: WS (b, c, d), HS (e, f, g), and SH (h, i, j). Figure 4. SEM images of unmodified epoxy resin (a) and composites with 10, 25, and 35 wt % of ground: WS (b,c,d), HS (e,f,g), and SH (h,i,j). Figure 4. SEM images of unmodified epoxy resin (a) and composites with 10, 25, and 35 wt % of ground: WS (b, c, d), HS (e, f, g), and SH (h, i, j). Figure 4. SEM images of unmodified epoxy resin (a) and composites with 10, 25, and 35 wt % of ground: WS (b,c,d), HS (e,f,g), and SH (h,i,j). g g 3 3 Dynamic Mechanical Analysis 3.3. Dynamic Mechanical Analysis 3 3 Dynamic Mechanical Analysis 3.3. Dynamic Mechanical Analysis 3 3 Dynamic Mechanical Analysis 3.3. Dynamic Mechanical Analysis 3.3. Dynamic Mechanical Analysis In Figure 5, the results of the thermo-mechanical evaluation of the composites are presented. The values of the storage modulus (G') and damping factor (tanδ) are presented on separate graphs In Figure 5, the results of the thermo-mechanical evaluation of the composites are presented. 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials The values of the storage modulus (G’) and damping factor (tanδ) are presented on separate graphs 7 of 19 Polymers 2019, 11, 1234 as a function of temperature (T) measured for unmodified epoxy resin cast samples and epoxy-based composites that were filled with various amounts of the three analysed natural fillers. As can be seen in Figure 5a–c, the incorporation of all the natural lignocellulosic fillers that were used in this study caused an increase in the composites stiffness in almost the whole considered temperature range in comparison to the unmodified polymer. This effect may be attributed to the presence of rigid filler structures that are dispersed in a polymeric matrix, which allows the composite sample to accomplish an effective stress transfer despite the softening of the epoxy resin. This effect is due to the increasing molecular chains mobility at elevated temperatures. The only deviation from this tendency was observed for samples containing 25 wt % of the ground SH. In this case, the effect of stiffness improvement was observed above 48 ◦C, that is, at the beginning of the composite glass transition. Usually, the storage modulus vs. temperature curve of fully cured epoxy resin and its composites consists of three temperature-dependent distinct regions: a glassy region at a low temperature, an intensive drop of storage modulus corresponding to α-relaxation, and a rubbery plateau at a high temperature [23–25]. The extended stiffness of composite samples at a glassy region is an effect of effective reinforcement of the polymer by natural filler, which improves the epoxy resin’s ability to support the mechanical strains with recoverable deformation [24]. The comparison of the storage modulus values that were measured at selected temperature (30, 50, and 100 ◦C) is presented in Figure 6a–c. The highest storage modulus was observed for the composites that were modified with ground WS. As was described in our previous work, the incorporation of this filler type into the epoxy resin provides a significant modification of the mechanical properties of the composites [26]. An increase in G’ value is a simultaneous effect of the filler stiffness, which enables an effective stress transfer during the load and interfacial bonding between the composite components [16]. The lowest stiffness of the composites was observed for epoxy castings filled with SH, and the biggest difference was observed at 50 ◦C. 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials Those results are reasonable if they are discussed in reference to the measured composites glass transition temperature (Figure 6d). The glass transition temperature (Tg) of epoxy-based composites was determined at a peak of tanδ vs. T curves presented in Figure 5d–f. Detailed information regarding Tg is presented in the aforementioned Figure 6d. The incorporation of ground WS and HS results in an increase in the epoxy-based composites glass transition temperature, whereas the opposite tendency was denoted in the case of SH-filled composites. This phenomenon may be attributed to the chemical structure of the filler, as well as the shape of ground organic particles. The main difference in the chemical structure of the fillers used in this study is connected to the amount of lignin and fat [21]. Lignin is responsible for lingo-cellulosic material stiffness. A higher amount of lignin in organic fillers (HS 38 wt % and WS 35 wt %) results in an increased stiffness of those fillers in comparison to SH, which only contains 22 wt % of lignin [20]. What is interesting, the self-standing lignin that is incorporated into the polymeric matrix as a filler may be effective plasticizing agent [27,28]. Figure 6d shows the different effects of various organic fillers added to epoxy-based composites, whose glass transition temperature is mostly connected with the amount of fat in the agricultural waste plant fillers: the higher amount of fat, the lower glass transition temperature. In the case of SH composites that contain 8% of fat [21], glass transition temperatures were the lowest. The tendency in glass transition changes that were evaluated by DMA are in a good agreement with the experiments conducted with differential scanning calorimetry (DSC) described in our previous work [17]. It cannot be excluded that the observed lowered Tg in the case of SH-filled composites is partially connected with insufficient adhesion between the polymeric matrix and the filler, as well as increased porosity that is caused by hindered degassing in case of SH composites containing short fibre-shaped fillers. However, due to the observation of glass transition reduction effect by two different methods it can be stated that the dominant effect in the case the thermo-mechanical properties modification of SH-filled composites is caused by residual fat and oil migration. 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials Effective plasticization of the polymer usually results in a simultaneously observed decrease of the Tg and an increase in the tanδ value at the peak as a result of the increased damping properties of the modified material. High t f f t i SH hi h ti ll i t f th i ti l t i t f i l i id as a function of temperature (T) measured for unmodified epoxy resin cast samples and epoxy-based composites that were filled with various amounts of the three analysed natural fillers. As can be seen in Figure 5a–c, the incorporation of all the natural lignocellulosic fillers that were used in this study caused an increase in the composites stiffness in almost the whole considered temperature range in comparison to the unmodified polymer. This effect may be attributed to the presence of rigid filler structures that are dispersed in a polymeric matrix, which allows the composite sample to accomplish an effective stress transfer despite the softening of the epoxy resin. This effect is due to the increasing molecular chains mobility at elevated temperatures. The only deviation from this tendency was observed for samples containing 25 wt % of the ground SH. In this case, the effect of stiffness improvement was observed above 48 ◦C, that is, at the beginning of the composite glass transition. Usually, the storage modulus vs. temperature curve of fully cured epoxy resin and its composites consists of three temperature-dependent distinct regions: a glassy region at a low temperature, an intensive drop of storage modulus corresponding to α-relaxation, and a rubbery plateau at a high temperature [23–25]. The extended stiffness of composite samples at a glassy region is an effect of effective reinforcement of the polymer by natural filler, which improves the epoxy resin’s ability to support the mechanical strains with recoverable deformation [24]. The comparison of the storage modulus values that were measured at selected temperature (30, 50, and 100 ◦C) is presented in Figure 6a–c. The highest storage modulus was observed for the composites that were modified with ground WS. As was described in our previous work, the incorporation of this filler type into the epoxy resin provides a significant modification of the mechanical properties of the composites [26]. 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials An increase in G’ value is a simultaneous effect of the filler stiffness, which enables an effective stress transfer during the load and interfacial bonding between the composite components [16]. The lowest stiffness of the composites was observed for epoxy castings filled with SH, and the biggest difference was observed at 50 ◦C. Those results are reasonable if they are discussed in reference to the measured composites glass transition temperature (Figure 6d). The glass transition temperature (Tg) of epoxy-based composites was determined at a peak of tanδ vs. T curves presented in Figure 5d–f. Detailed information regarding Tg is presented in the aforementioned Figure 6d. The incorporation of ground WS and HS results in an increase in the epoxy-based composites glass transition temperature, whereas the opposite tendency was denoted in the case of SH-filled composites. This phenomenon may be attributed to the chemical structure of the filler, as well as the shape of ground organic particles. The main difference in the chemical structure of the fillers used in this study is connected to the amount of lignin and fat [21]. Lignin is responsible for lingo-cellulosic material stiffness. A higher amount of lignin in organic fillers (HS 38 wt % and WS 35 wt %) results in an increased stiffness of those fillers in comparison to SH, which only contains 22 wt % of lignin [20]. What is interesting, the self-standing lignin that is incorporated into the polymeric matrix as a filler may be effective plasticizing agent [27,28]. Figure 6d shows the different effects of various organic fillers added to epoxy-based composites, whose glass transition temperature is mostly connected with the amount of fat in the agricultural waste plant fillers: the higher amount of fat, the lower glass transition temperature. In the case of SH composites that contain 8% of fat [21], glass transition temperatures were the lowest. The tendency in glass transition changes that were evaluated by DMA are in a good agreement with the experiments conducted with differential scanning calorimetry (DSC) described in our previous work [17]. It cannot be excluded that the observed lowered Tg in the case of SH-filled composites is partially connected with insufficient adhesion between the polymeric matrix and the filler, as well as increased porosity that is caused by hindered degassing in case of SH composites containing short fibre-shaped fillers. 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials However, due to the observation of glass transition reduction effect by two different methods it can be stated that the dominant effect in the case the thermo-mechanical properties modification of SH-filled composites is caused by residual fat and oil migration. Effective plasticization of the polymer usually results in a simultaneously observed decrease of the Tg and an increase in the tanδ value at the peak as a result of the increased damping properties of the modified material. High amounts of fat in SH, which partially migrate from the organic particle to an interfacial region, provide a limitation in reactivity between the organic filler and the thermoset polymeric matrix, which may occur during the curing [26]. Higher values of the tanδ that were measured at α-relaxation may be related to 8 of 19 8 of Polymers 2019, 11, 1234 Polymers 2019, 11, x FOR poorer interfacial bonding between the matrix and the filler, which results in a higher mechanical energy dissipation [23]. On the basis of our previous studies concerning the effect of the filler shape, as well as migration of the fat and oil from agricultural filler on various polymers [17,29,30], it can be concluded that the reinforcing effect in the thermo-mechanical behaviour of the composites containing particle-shaped fillers may be suppressed by oil migration, resulting in simultaneously occurring plasticization of the polymeric matrix as well as the accumulation of oil in the interfacial region. In the case of SH-filled composites for all compositions, a significant reduction in the damping behaviour was noted, which, in reference to the previously discussed observations regarding the composite structures and the shape of the fillers, may be attributed to a different behaviour of the filler during the high shear mixing and the confined gas micro domains removal before forming. , g gy p [ ] previous studies concerning the effect of the filler shape, as well as migration of the fat and oil fro agricultural filler on various polymers [17,29,30], it can be concluded that the reinforcing effect in th hermo-mechanical behaviour of the composites containing particle-shaped fillers may b suppressed by oil migration, resulting in simultaneously occurring plasticization of the polymer matrix as well as the accumulation of oil in the interfacial region. temperature. 3.4. Thermal Stability Analysis Table 1. Values determined based on thermogravimetric (TG) analysis conducted for WS, HS, and SH in nitrogen as well as air (organic components). Filler Water, % T150+1%, °C DTG 1, °C DTG 2, °C Residual mass at 900 °C, % Organic components, % WS 3.1 216 291 345 17.9 94.1 HS 3.8 215 290 347 17.8 94.0 SH 3.8 194 - 333 19.7 91.1 3.4. Thermal Stability Analysis The impact of the applied plant fillers on the thermal stability of polymer composites was evaluated through TGA. The values that were read from the curves of mass loss (TG) and derivatives of mass loss (DTG) are presented in Table 1 and 2, while the graphs are shown in Figure 7. The peaks appearing on DTG curves illustrate the rate of changes occurring in the materials and provide information regarding their chemical structure. As a result of the temperature increase, the dehydration process occurs first, accompanied by the emission of liquid and volatile compounds [12– 15]. Based on the mass change in the range from ambient temperature up to 130°C, it was observed that the amount of water in the fillers could be as much as about 3% (Tab.1). It is important to determine the degradation temperature of the plant waste fillers (Tdmax) due to the increase in temperature in the course of the composites production related to mechanical mixing and the cross- slinked epoxy resin process. The Tdmax is the value that corresponds to a mass loss equal to 1% at a temperature above 150 °C, below which the entire water present in the component evaporates [30]. The impact of the applied plant fillers on the thermal stability of polymer composites was evaluated through TGA. The values that were read from the curves of mass loss (TG) and derivatives of mass loss (DTG) are presented in Tables 1 and 2, while the graphs are shown in Figure 7. The peaks appearing on DTG curves illustrate the rate of changes occurring in the materials and provide information regarding their chemical structure. As a result of the temperature increase, the dehydration process occurs first, accompanied by the emission of liquid and volatile compounds [12–15]. Based on the mass change in the range from ambient temperature up to 130 ◦C, it was observed that the amount of water in the fillers could be as much as about 3% (Table 1). 3.2. Structure of Composite Mater 3.2. Structure of Composite Materials In the case of SH-filled composit or all compositions, a significant reduction in the damping behaviour was noted, which, in referen o the previously discussed observations regarding the composite structures and the shape of th illers, may be attributed to a different behaviour of the filler during the high shear mixing and th confined gas micro domains removal before forming. Figure 5. Storage modulus (G') and damping factor (tanδ) as a function of temperature of pure cast l d b d i Figure 5. Storage modulus (G’) (a–c) and damping factor (tanδ) (d–f) as a function of temperature of pure cast epoxy sample and epoxy-based composites. Figure 5. Storage modulus (G') and damping factor (tanδ) as a function of temperature of pure ca Figure 5. Storage modulus (G’) (a–c) and damping factor (tanδ) (d–f) as a function of temperature of pure cast epoxy sample and epoxy-based composites. 9 of 19 9 of 19 Polymers 2019, 11, 1234 Polymers 2019, 11, x FO 9 of 19 9 of 19 Figure 6. The values of composites storage modulus at various temperatures and glass transition Figure 6. The values of composites storage modulus at various temperatures (a–c) and glass transition temperature (d). Figure 6. The values of composites storage modulus at various temperatures and glass transition Figure 6. The values of composites storage modulus at various temperatures (a–c) and glass transition temperature (d). temperature. 3.4. Thermal Stability Analysis Filler Water, % T150+1%, ◦C DTG 1, ◦C DTG 2, ◦C Residual Mass at 900 ◦C, % Organic Components, % WS 3.1 216 291 345 17.9 94.1 HS 3.8 215 290 347 17.8 94.0 SH 3.8 194 - 333 19.7 91.1 Table 1. Values determined based on thermogravimetric (TG) analysis conducted for WS, HS, and SH in nitrogen as well as air (organic components). Table 1. Values determined based on thermogravimetric (TG) analysis conducted for WS, HS, and SH in nitrogen as well as air (organic components). Filler Water, % T150+1%, ◦C DTG 1, ◦C DTG 2, ◦C Residual Mass at 900 ◦C, % Organic Components, % WS 3.1 216 291 345 17.9 94.1 HS 3.8 215 290 347 17.8 94.0 SH 3.8 194 - 333 19.7 91.1 Table 2. TG and DTG data of epoxy resin (EP) and composites investigated in an inert atmosphere. Sample Designation 5% Mass Loss, ◦C 10% Mass Loss, ◦C 50% Mass Loss, ◦C DTGA, ◦C, %/min Residual Mass 900 ◦C, % EP 172 224 364 368, −12.9 4.74 15% WS 183 247 360 358, −11.0 9.43 25% WS 175 240 357 358, −10.8 10.96 35% WS 190 261 355 354, −10.0 13.98 15% HS 178 240 361 365, −11.8 9.15 25% HS 181 245 360 361, −11.1 12.66 35% HS 190 255 357 354, −9.1 14.96 15% SH 167 223 363 363, −11.1 8.50 25% SH 154 209 364 365, −10.8 9.90 35% SH 158 215 362 362, −8.9 11.31 Table 2. TG and DTG data of epoxy resin (EP) and composites investigated in an inert atmosphere. Sample Designation 5% Mass Loss, ◦C 10% Mass Loss, ◦C 50% Mass Loss, ◦C DTGA, ◦C, %/min Residual Mass 900 ◦C, % EP 172 224 364 368, −12.9 4.74 15% WS 183 247 360 358, −11.0 9.43 25% WS 175 240 357 358, −10.8 10.96 35% WS 190 261 355 354, −10.0 13.98 15% HS 178 240 361 365, −11.8 9.15 25% HS 181 245 360 361, −11.1 12.66 35% HS 190 255 357 354, −9.1 14.96 15% SH 167 223 363 363, −11.1 8.50 25% SH 154 209 364 365, −10.8 9.90 35% SH 158 215 362 362, −8.9 11.31 Table 2. TG and DTG data of epoxy resin (EP) and composites investigated in an inert atmosphere. temperature. 3.4. Thermal Stability Analysis It is important to determine the degradation temperature of the plant waste fillers (Tdmax) due to the increase in temperature in the course of the composites production related to mechanical mixing and the cross-slinked epoxy resin process. The Tdmax is the value that corresponds to a mass loss equal to 1% at a temperature above 150 ◦C, below which the entire water present in the component evaporates [30]. The obtained values were about 220, 215, and 195 ◦C in the case of HS, WS, and SH, respectively, and they were much higher when compared to the temperature, which may be recorded during the manufacturing of the composites. The peaks that were observed for HS and WS at a temperature of about 290 ◦C, being difficult to determine in the case of SH, correspond to the decomposition of hemicellulose and the glycosidic linkage of cellulose. The next ones occurring at a temperature of about 350 ◦C correspond to the degradation of α-cellulose [31]. The lignin decomposition gradually occurs in a wide range of temperatures and quite often overlaps with the degradation of the other compounds without a sharp peak [32–35]. The residual that was determined at 900 ◦C reached approximately 20% for all of the tested fillers, and the largest yield was obtained for ground SH. Similarly, tests that were carried out in the air were conducted to ascertain the amount of residue and allow for calculating the share of organic components. In the case of the tested fillers, the amount of organic constituents ranged from 91% to 94%. Peaks that are present on 10 of 19 Polymers 2019, 11, 1234 the derivative curves of the mass loss of the composites correspond to the degradation processes of the organic fillers’ components, i.e., hemicellulose (270–300 ◦C) and α-cellulose (330–370 ◦C) [27–31]. However, the peak that was associated with the EP degradation (which occurred at 368 ◦C) was difficult to distinguish on the DTG curves, as it coincided with cellulose decomposition. It was observed that the transformation was shifted towards lower temperatures as the amount of plant filler (and hemicellulose) in the composites increased (Table 2). Table 1. Values determined based on thermogravimetric (TG) analysis conducted for WS, HS, and SH in nitrogen as well as air (organic components). temperature. 3.4. Thermal Stability Analysis The thermal stability of the composites was defined on the basis of temperatures corresponding to 5%, 10%, and 50% mass loss read from the TG curves. The onset temperature of degradation (5% mass loss) was subject to growth that was correlated with the increase in the amount of plant component, and the highest value (higher by 18 ◦C when compared to EP) was determined for the composites containing 35 wt % WS and 35 wt % HS. Different results were only noted in the SH series, for which the temperature was lower when compared to EP and decreased as the content of husk increased, which is probably related to the largest contribution of secondary components, i.e. fats and protein [21]. The temperature of 5% mass loss was above 150 ◦C, regardless of the type and amount of the natural component, which is higher than the expected temperature of utilization of the final products. Based on the analysis of the values corresponding to 10% mass loss (Table 2) and the course of TG curves of composites with shell (Figure 7), it was found that the materials have higher thermal stability in the temperature range up to 300 ◦C when compared to the unmodified epoxy resin. Probably, the improved thermal stability of the composites was related to the modified curing process of epoxy composites, as described in our previous work [16]. However, in the case of the temperature corresponding to 50% mass loss, the values that were obtained for the resin and composites were similar, which is probably related to the intense degradation of all the components (including the polymer matrix) at this stage of the test. Interestingly, slightly higher values were obtained for the SH series among the composites, unlike in the case of temperatures corresponding to 5% and 10% mass loss. Polymers 2019, 11, 1234 sformation was s i ll l ) i h 11 of 19 nt filler u o e) i e o po i e i ea e ( a e ) ure 7. TG and DTG curves of epoxy resin, epoxy composites and natural filler investigated in Figure 7. TG and DTG curves of epoxy resin, epoxy composites and natural filler investigated in an inert atmosphere. re 7. TG and DTG curves of epoxy resin, epoxy composites and natural filler investigated Figure 7. temperature. 3.4. Thermal Stability Analysis TG and DTG curves of epoxy resin, epoxy composites and natural filler investigated in an inert atmosphere. inert atmosphere. The differences in the decomposition rates were associated with the amounts of shell and husk in composite materials. Although the peak values determined for composites were lower when compared to EP (Table 2), the intensity of the transformation was reduced as a function of increasing filler content. Similarly, the residue at 900 ◦C grew with increasing organic compounds and it corresponded to the amount of lignin that they contained (SH < WS < HS) [21]. This is associated with the presence of aromatic groups in lignin, the occurrence of which promotes the formation of char [12–15]. 3.5. Flammability Behaviour Heat Release Rate (HRR) is the single most important variable to evaluate fire safety of materials [36]. The representative heat release curves of epoxy resin and epoxy-based composites that were filled with different amount of shell or husk are presented in Figure 8. It was found that the curves of unmodified polymer were characterized by one single peak with the value of 1156 kW/m2, while the HRR of composites in most cases showed a broad shoulder without a well-defined peak. The incorporation of plant waste fillers into the epoxy matrix caused a decrease in the peak of Heat Release Rate (pHRR) 12 of 19 13 of 19 Polymers 2019, 11, 1234 Polymers 2019, 11, x FOR values in comparison to the polymer (Table 3). For instance, the values of pHRR for sunflower pellets reached 192 kW/m2 in the article [37], which is much lower when compared to epoxy resin. The application of 15 wt % of less combustibility filler caused a slight reduction in the heat release rate, while increasing its amount by additional several percent resulted in a sharp reduction of the analysed parameter. For composite materials that were modified with 35 wt % of the ground sunflower husk the pHRR value, mainly about 520 kW/m2, was almost twice lower in comparison to the EP sample (Figure 8d). The addition of the filler causes a reduction in the pHRR values, which is attributed to the formation of carbonaceous char (approx. 14% fire residue from the initial mass in the case of composites with the highest amount of the filler). The lack of a clear dependence, according to which the pHRR values linearly decrease with the increase in SH share, results from the fact that it is not a commercial product with strictly defined composition and properties. Moreover, only a larger amount of filler causes the formation of char, which covers a significant part of the sample and it can effectively protect the polymer. contrast to the completely burned epoxy resin, the cone residue formed in the case of all composites allowed for ascertaining that the introduction of a natural filler led to the formation of a char layer. It was observed that the amount, as well as the type of the filler, determined the yield and appearance of char. 3.5. Flammability Behaviour Sample Designation TTI, pHRR, THR, MARHE, Fire Residue, SEA, TSR, s kW/m2 MJ/m2 kW/m2 % m2/kg m2/m2 EP 51(17) 1156 (221) 184 (7) 569 (82) 8 (1) 1582 (554) 10,353 (3672) 15% WS 47 (6) 803 (81) 167 (1) 536 (43) 10 (1) 834 (43) 5303 (284) 25% WS 55 (2) 826 (14) 167 (7) 531 (12) 11 (2) 743 (22) 4731 (239) 35% WS 46 (3) 873 (87) 155 (2) 543 (26) 14 (0) 650 (35) 3986 (199) 15% HS 46 (1.5) 744 (92) 158 (18) 502 (39) 11 (1) 849 (22) 5122 (490) 25% HS 47 (3) 802 (78) 161 (1) 487 (33) 12 (0) 810 (58) 4974 (365) 35% HS 50 (3) 677 (81) 143 (2) 428 (27) 14 (1) 642 (17) 3915 (147) 15% SH 37 (2) 1002 (150) 161 (4) 568 (43) 11 (0) 857 (9) 5344 (184) 25% SH 38 (11) 615 (62) 158 (2) 447 (28) 11 (1) 700 (114) 4368 (713) 35% SH 31 (5) 520 (69) 151 (2) 383 (21) 14 (1) 716 (13) 4371 (127) Simultaneously, the values of the Total Heat Release (THR), which is also an important parameter for evaluating flame retardancy of a material [38,39], were lower for composites in comparison to the EP. The Maximum Average Rate of Heat Emission (MAHRE) makes it possible to foresee fire development in full scale conditions. It can be clearly observed that the shell or husk incorporation led to a reduction in MAHRE for all the composites and for most series the values decreased as a function of increasing filler content. The parameters that evaluate the smoke behaviour according to the conducted studies using the cone calorimeter are Specific Extinction Area (SEA) and Total Smoke Release (TSR). When comparing the values of SEA obtained for the epoxy resin with the results that were determined for composites, it was found that as little as 15 wt % of the filler resulted in a fumes emission decrease by 46%. The lowest result was denoted for the composite containing 35 wt % of HS (642 m2/kg), while the value was 1582 m2/kg in the case of the unmodified polymer. The lowest value of the Total Smoke Release was also achieved for 35 wt % HS and it was more than two and a half times lower in comparison to the unmodified resin. 3.5. Flammability Behaviour The photograph of composites containing ground hazelnut shell allowed for observing the residues in the form of swollen char shaped in multicellular layers (Figure 9b,e). The 35 wt % WS composite gives a dense carbonaceous char after complete burning, but only with a small volume gain (Figure 9a,d). Meanwhile, an integrated char with holes covering the whole container was noticed in the case of the epoxy resin that was modified with SH (Figure 9c,f). Probably, the chemical structure of organic compounds, in particular the presence of lignin and cellulose that promote the formation of carbonaceous char, had influence on the quality of the residue. Moreover, the hemicellulose consisted of various saccharides (xylose, glucose, galactose, etc.) and it degraded to volatiles evolving out (including CO and CO2) [40], which favoured the formation of a cellular structure of char. We cannot exclude the possibility that the fine-grained form of particles in the case of shell boosts the raising of the solidifying layer of char. Figure 8. Effects of plant waste filler on the heat release behaviour of epoxy resin composites. Figure 8. Effects of plant waste filler on the heat release behaviour of epoxy resin composites: (a) 15–35% WS; (b) 15–35% HS; (c) 15–35% SH; (d) 35% WS, HS and SH. Figure 8. Effects of plant waste filler on the heat release behaviour of epoxy resin composites. Figure 8. Effects of plant waste filler on the heat release behaviour of epoxy resin composites: (a) 15–35% WS; (b) 15–35% HS; (c) 15–35% SH; (d) 35% WS, HS and SH. Polymers 2019, 11, 1234 13 of 19 Table 3. Cone calorimeter results of epoxy composites modified with shell and husk (standard deviation). 14 of 19 14 of 19 14 of 19 14 of 19 14 of 19 14 of 19 Figure 9. Photographs of selected materials after a cone calorimetry tests: 35 wt % WS (a, d), 35 wt % HS (b e) and 35 wt % SH (c f) Figure 9. Photographs of selected materials after a cone calorimetry tests: 35 wt % WS (A,D), 35 wt % HS (B,E), and 35 wt % SH (C,F). Figure 9. Photographs of selected materials after a cone calorimetry tests: 35 wt % WS (a, d), 35 wt % HS (b e) and 35 wt % SH (c f) Figure 9. Photographs of selected materials after a cone calorimetry tests: 35 wt % WS (a, d), 35 wt % HS (b ) d 35 t % SH ( f) Figure 9. Photographs of selected materials after a cone calorimetry tests: 35 wt % WS (A,D), 35 wt % HS (B,E), and 35 wt % SH (C,F). Figure 9. Photographs of selected materials after a cone calorimetry tests: 35 wt % WS (a, d), 35 wt % HS (b e) and 35 wt % SH (c f) The morphology of the samples after cone calorimetry tests was investigated by SEM images analysis. The porous and swollen structure of all char, being especially visible in the inner part, confirms that ground shell and husk act similarly to intumescent flame retardants. Figure 10a and b allow for observing quite smooth surface of the char with a lot of holes, while that of 35 wt % SH is rougher and continuous (Figure 10c). The formation of swollen char with a solid top layer, covering the whole surface of the materials, ensures the effectiveness of char barrier. The chemical composition showed that the chars comprised C, O, and K, but also N, P, and Cl elements. This implies that the chemical structures of shell and husk decomposed into oxides and other products of degradation, which participated in the formation of a cross-linking network creating char [41]. It cannot be l d d h f h l h b The morphology of the samples after cone calorimetry tests was investigated by SEM images analysis. The porous and swollen structure of all char, being especially visible in the inner part, confirms that ground shell and husk act similarly to intumescent flame retardants. 14 of 19 14 of 19 14 of 19 Figure 10a,b allow for observing quite smooth surface of the char with a lot of holes, while that of 35 wt % SH is rougher and continuous (Figure 10c). The formation of swollen char with a solid top layer, covering the whole surface of the materials, ensures the effectiveness of char barrier. The chemical composition showed that the chars comprised C, O, and K, but also N, P, and Cl elements. This implies that the chemical structures of shell and husk decomposed into oxides and other products of degradation, which participated in the formation of a cross-linking network creating char [41]. It cannot be excluded that some of the elements were nothing but contamination. The morphology of the samples after cone calorimetry tests was investigated by SEM images analysis. The porous and swollen structure of all char, being especially visible in the inner part, confirms that ground shell and husk act similarly to intumescent flame retardants. Figure 10a and b allow for observing quite smooth surface of the char with a lot of holes, while that of 35 wt % SH is rougher and continuous (Figure 10c). The formation of swollen char with a solid top layer, covering the whole surface of the materials, ensures the effectiveness of char barrier. The chemical composition showed that the chars comprised C, O, and K, but also N, P, and Cl elements. This implies that the chemical structures of shell and husk decomposed into oxides and other products of degradation, which participated in the formation of a cross-linking network creating char [41]. It cannot be l d d th t f th l t thi b t t i ti cluded that some of the elements were nothing but contamination. Figure 10. SEM images of the char residue of 35 wt % WS, 35 wt % HS, 35 wt % SH (top—magnification ×500 and bottom—magnification ×100). cluded that some of the elements were nothing but contamination. Figure 10. SEM images of the char residue of 35 wt % WS, 35 wt % HS, 35 wt % SH (top—magnification ×500 and bottom—magnification ×100). Figure 10. SEM images of the char residue of 35 wt % WS (A), 35 wt % HS (B), 35 wt % SH (C) (top—magnification ×500 and bottom—magnification ×100). s were nothing but contam g Figure 10. 3.5. Flammability Behaviour The photographs of the cone carbonaceous char that are presented in Figure 9 illustrate the burning behaviour differences between composites with the highest content of plant waste fillers. In contrast to the completely burned epoxy resin, the cone residue formed in the case of all composites allowed for ascertaining that the introduction of a natural filler led to the formation of a char layer. It was observed that the amount, as well as the type of the filler, determined the yield and appearance of char. The photograph of composites containing ground hazelnut shell allowed for observing the residues in the form of swollen char shaped in multicellular layers (Figure 9B,E). The 35 wt % WS composite gives a dense carbonaceous char after complete burning, but only with a small volume gain (Figure 9A,D). Meanwhile, an integrated char with holes covering the whole container was noticed in the case of the epoxy resin that was modified with SH (Figure 9C,F). Probably, the chemical structure of organic compounds, in particular the presence of lignin and cellulose that promote the formation of carbonaceous char, had influence on the quality of the residue. Moreover, the hemicellulose consisted of various saccharides (xylose, glucose, galactose, etc.) and it degraded to volatiles evolving out (including CO and CO2) [40], which favoured the formation of a cellular structure of char. We cannot exclude the possibility that the fine-grained form of particles in the case of shell boosts the raising of the solidifying layer of char. Polymers 2019, 11, 1234 Polymers 2019, 11, x FOR Polymers 2019, 11, x FOR 14 of 19 14 of 19 14 of 19 14 of 19 14 of 19 14 of 19 SEM images of the char residue of 35 wt % WS, 35 wt % HS, 35 wt % SH (top—magnification ×500 and bottom—magnification ×100). Figure 10. SEM images of the char residue of 35 wt % WS, 35 wt % HS, 35 wt % SH (top—magnification ×500 and bottom—magnification ×100). Figure 10. SEM images of the char residue of 35 wt % WS (A), 35 wt % HS (B), 35 wt % SH (C) (top—magnification ×500 and bottom—magnification ×100). Polymers 2019, 11, 1234 15 of 19 15 of 19 3.6. Purser Furnace—GC-MS Analysis 3.6. Purser Furnace—GC-MS Analysis 3.6. Purser Furnace—GC-MS Analysis 3.6. Purser Furnace—GC-MS Analysis The results that were obtained while using a Purser furnace and a GC-MS show that the amount and number of products released during the degradation of selected composites depend on the type of agricultural waste material used for the modification (Figure 11). The materials designated as 35 wt % WS behaved similarly to the unmodified epoxy resin (EP), while a significant decrease in the quantity and number of emitted products was observed for composites with HS and SH (29 and 26 compounds were detected in the samples of thermal degradation products of composite with 35 wt % HS and 35 wt % SH). However, the significant increase in the non-flammable production (COx, NOx, and H2O), diluting the oxidant in fire zone and inhibiting the combustion process, was recorded for composite with 35 wt % WS. The results that were obtained while using a Purser furnace and a GC-MS show that the amount and number of products released during the degradation of selected composites depend on the type of agricultural waste material used for the modification (Figure 11). The materials designated as 35 wt % WS behaved similarly to the unmodified epoxy resin (EP), while a significant decrease in the quantity and number of emitted products was observed for composites with HS and SH (29 and 26 compounds were detected in the samples of thermal degradation products of composite with 35 wt % HS and 35 wt % SH). However, the significant increase in the non-flammable production (COx, NOx, and H2O), diluting the oxidant in fire zone and inhibiting the combustion process, was recorded for composite with 35 wt % WS. p Figure 11. Chromatograms from analysis of thermal degradation products of selected modified epoxy composites at 650 °C. Figure 11. Chromatograms from analysis of thermal degradation products of selected modified epoxy composites at 650 ◦C. Figure 11. Chromatograms from analysis of thermal degradation products of selected modified epoxy composites at 650 °C Figure 11. Chromatograms from analysis of thermal degradation products of selected modified epoxy composites at 650 ◦C. Polymers 2019, 11, 1234 16 of 19 16 of 19 Table 4 shows the main compounds that were identified in the samples of gases and fumes emitted during the thermal degradation of selected polymers. 3.6. Purser Furnace—GC-MS Analysis 3.6. Purser Furnace—GC-MS Analysis In the largest quantities, polycyclic aromatic hydrocarbons, and phenolic compounds (such as: phenol, 2-methylphenol, 3-methylphenol and isopropenylphenol) were formed, especially when the test materials were EP and 35 wt % WS. At the same time, the addition of HS and SH reduced the amounts and types of evolved products, especially phenols, which are highly toxic pollutants. The smallest number of substances was detected and identified during the thermal decomposition of composites with 35 wt % SH. Table 4. Thermal degradation products of selected modified epoxy composites at 650 ◦C. Peak Number Retention Time (min) Compound Emissionyields (peakarea %) EP 35 wt % WS 35 wt % HS 35 wt % SH 1 1.50 COx, NOx, H2O 1.60 2.51 1.51 4.41 2 9.49 Styrene 0.16 0.33 0.39 0.39 3 12.11 Benzaldehyde 3.93 3.74 4.67 3.82 4 13.15 Phenol 3.67 3.96 4.47 3.12 5 14.95 Benzylalcohol 16.04 12.29 17.31 8.99 6 15.62 2-methylphenol 1.14 0.60 0.67 7 16.33 3-methylphenol 0.93 0.68 8 19.58 Naphthalene 7.11 5.34 4.97 3.19 9 21.16 2,3-dihydro-benzofuran 5.95 3.01 2.49 2.73 10 22.82 1-methylnaphthalene 2.46 2.11 1.99 0.86 11 23.29 2-methylnaphthalene 1.67 1.24 1.28 12 23.87 p-isopropenylphenol 13.82 8.20 9.12 5.96 13 25.18 Biphenyl 4.07 4.66 3.57 2.48 14 25.83 1,3-dimethyl-naphthalene 1.07 1.08 15 26.03 Ethenylnaphthalene 0.68 0.77 16 26.68 1,2,3,4-tetrahydro-2,5,8-trimethyl- 1-naphthalenol 0.49 0.57 0.73 17 27.04 Acenaphthylene 8.13 14.12 14.17 10.20 18 27.56 1-dodecanol 4.63 6.92 11.15 3.53 19 27.92 1-isopropyl-naphthalene 1.44 1.78 1.13 20 28.74 Dibenzofuran 0.67 1.22 0.82 1.24 21 30.44 Fluorene 1.78 4.70 4.51 7.77 Table 4. Thermal degradation products of selected modified epoxy composites at 650 ◦C. 4. Discussion Composite materials that were modified with walnut and hazelnut shell, as well as sunflower husk, were prepared and examined. The incorporation of all the natural lignocellulosic fillers that were used in this study caused an increase in composite stiffness in comparison to the unmodified polymer, which may be attributed to the presence of rigid filler structures dispersed in the polymeric matrix. Based on the thermogravimetric analysis, it was found that the composites have a higher thermal stability in the temperature range up to 300 ◦C when compared to the epoxy resin. The intensity of the degradation reduced as a function of increasing filler content, while the yield of residue corresponded to the amount of lignin that was contained in the plants. The incorporation of plant waste filler into the epoxy resin matrix led to a modification in the fire and smoke behaviour of the polymer matrix. Materials containing fillers in the form of ground shell and husk showed a decrease in heat and fumes release in comparison to the unmodified EP. The formation of less combustible char layer inhibited the decomposition process of composites and limited the smoke emission. It was observed that the yield of char was determined by the amount and type of the filler. Composites containing ground hazelnut shell showed the residue in the form of swollen char shaped in multicellular layers. Using a steady state tube furnace and a gas chromatograph with mass spectrometer allowed for identifying the major organic substances present in the gases and fumes that were emitted during the combustion of selected epoxy composites with agricultural waste. It was found that the addition of agricultural waste (especially hazelnut shell as well as sunflower husk) reduces the amount and the number of emitted products, and also determines their type. 17 of 19 17 of 19 Polymers 2019, 11, 1234 Author Contributions: Conceptualization K.S.; methodology K.S., M.B. (Mateusz Barczewski), M.B. (Monika Borucka), R.G., P.K; formal analysis K.S.; resources K.S.; investigation K.S., M.B. (Mateusz Barczewski), M.B. (Monika Borucka), R.G., P.K; writing—original draf K.S., M.B. (Mateusz Barczewski), M.B. (Monika Borucka), M.C.; writing—review and editing K.S. and M.B. (Mateusz Barczewski); visualization, K.S., M.B. (Mateusz Barczewski), M.B. (Monika Borucka); supervision, K.S; project administration, K.S.; funding acquisition, K.S. and A.G. 4. Discussion Funding: Publication of the results of the research task No I-48 “Manufacture of polymer composites modified with plant fillers of low flammability and smoke emission”, carried out under the statutory activities of the Central Institute for Labour Protection-National Research Institute, and also realized with equipment allocated in Poznan University of Technology. Acknowledgments: This research was also realized with equipment allocated in Poznan University of Technology. Acknowledgments: This research was also realized with equipment allocated in Poznan University of Technology. Conflicts of Interest: The authors declare no conflict of interest Conflicts of Interest: The authors declare no conflict of interest. References 1. Faruk, O.; Bledzki, A.K.; Fink, H.-P.; Sain, M. Biocomposites reinforced with natural fibers: 2000–2010. Prog. Polym. Sci. 2012, 37, 1552–1596. [CrossRef] 1. Faruk, O.; Bledzki, A.K.; Fink, H.-P.; Sain, M. 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https://openalex.org/W2134972873
https://biomaterialsres.biomedcentral.com/track/pdf/10.1186/s40824-015-0031-5
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Electron beam effect on biomaterials I: focusing on bone graft materials
Biomaterials Research/Biomaterials research
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Kim et al. Biomaterials Research (2015) 19:10 DOI 10.1186/s40824-015-0031-5 Background has these four qualities, so many studies have been per- formed investigating the development of ideal bone graft materials from allogenic, xenogenic, and synthetic graft materials. Electron beam irradiation (EBI), or electron beam pro- cessing, is a process that uses electrons, usually of high energy, to treat objects for purposes such as sterilization and the cross-linking of polymers. Electron beams have been used in research, technology, and medical therapy to produce images on television screens, and are also used for electron microscopes for the ultramicroscopic analysis of materials [1-3]. During our recent investigations of the effec of EBI on maxillofacial reconstructive polymer materials, we have tried to identify gross changes in the substitute bone materials. To advance the study of applying bio- material in hard-tissue reconstruction, this article is intended to suggest new possibilities for electron beam treatment of bone graft materials. For the successful regeneration of grafted bone mate- rials in the human body, many factors including bone composition and the bony matrix must be considered (Figure 1) [1,4]. The four basic desired properties of bone graft materials are osteogenesis, osteoinduction, osteo- conduction, and osteointegration. Only autogenous bone Abstract Background: To develop biocompatible bony regeneration materials, allogenic, xenogenic and synthetic bones have been irradiated by an electron beam to change the basic structures of their inorganic materials. The optimal electron beam energy and individual dose have not been established for maximizing the bony regeneration capacity in electron beam irradiated bone. Results: Commercial products consisting of four allogenic bones, six xenogenic bones, and six synthetic bones were used in this study. We used 1.0-MeV and 2.0 MeV linear accelerators (power: 100 KW, pressure; 115 kPa, temperature; -30 to 120°C, sensor sensitivity: 0.1-1.2 mV/kPa, generating power sensitivity: 44.75 mV/kPa, supply voltage: 50.25 V), and a microtrone with different individual irradiation doses such as 60 kGy and 120 kGy. Additional in vitro analyses were performed by elementary analysis using field emission scanning electron microscopy (FE-SEM), scanning electron microscopy (SEM), X-ray diffraction (XRD) and confocal laser scanning microscopy (CLSM). In vivo clinical, radiographic, and micro-computed tomography (Micro-CT) with bone marrow density (BMD) analysis was performed in 8- and 16-week-old Spraque-Dawley rats with calvarial defect grafts. Conclusions: Electron beam irradiation of bony substitutes has four main effects: the cross-linking of biphasic calcium phosphate bony apatite, chain-scissioning, the induction of rheological changes, and microbiological sterilization. These novel results and conclusions are the effects of electron beam irradiation. Keywords: Allogenic bone, Xenogenic bone, Synthetic bone, Bony regeneration, Electron beam irradiati Electron beam effect on biomaterials I: focusing on bone graft materials Soung Min Kim1, Huan Fan1, Yun Ju Cho1, Mi Young Eo1, Ji Hyun Park2, Byung Nam Kim3, Byung Cheol Lee2 and Suk Keun Lee4* © 2015 Kim 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. * Correspondence: sukkeunlee@hanmail.net 4Department of Oral Pathology, College of Dentistry, Gangneung-Wonju National University, 123 Chibyon-dong, Gangneung 210-702, South Korea Full list of author information is available at the end of the article Preparation of electron beam-irradiated bone Preparation of electron beam-irradiated bone To prepare the electron beam-irradiated bone, we first ob- tained commercially available samples consisting of four allogenic bones, six xenogenic bones, and six synthetic bones. We used 1.0-MeV and 2.0-MeV linear accelerators * Correspondence: sukkeunlee@hanmail.net 4Department of Oral Pathology, College of Dentistry, Gangneung-Wonju National University, 123 Chibyon-dong, Gangneung 210-702, South Korea Full list of author information is available at the end of the article Page 2 of 10 Kim et al. Biomaterials Research (2015) 19:10 Figure 1 Schematic drawing of the basic compositions of human bone. In vitro analyses (power 100 KW, pressure 115 kPa, temperature -30 to 120°C, sensor sensitivity: 0.1-1.2 m V/kPa, generating power sensitivity: 44.75 mV/kPa, supply voltage: 50.25 V), and a microtrone with different individual irradiation doses such as 60 kGy and 120 kGy. After the irradiation of all specimens under strict dose calcu- lations (Figure 2), all specimens were analyzed in vitro by elementary analysis with an EA 1110® elementary analyzer (CE instruments Co., Milan, Italy) using cold field emission. To observe the changed ultra-structures and to detect their elementary components, a Leo1455VP-SEM® (Carl Zeiss Inc., Aalen, Germany) scanning electron microscope (SEM), and S-4200® (Hitachi Co., Tokyo, Japan) field emission scan- ning electron microscope (FE-SEM) were also used. For the analysis of the molecular changes after EBI, 8D advance® (Bruker Co., Berlin, Germany) X-ray diffraction (XRD) ana- lysis was performed. The three-dimensional changes on the surfaces of the specimen were evaluated with a LSM 5 Pascal® (Carl Zeiss Inc., Aalen, Germany) confocal laser scanning microscope (CLSM). The allogenic bone materials were Accell® (ISOTIS OrthogBiologics Inc., Irvine, USA), Allotis® (BioTis Bone Bank, Seoul, Korea), Oragraft® (LifeNet, Virginia Beach, VA, USA), and Orthoblast® (Integra Orthobiologics Inc., Irvine, USA). The xenogenic bone materials were BBP® (OscoTec Inc., Seongnam, Korea), Bio-cera® (OscoTec Inc., Seongnam, Korea), Bio-oss® (Geistlich Pharma AG, Wolhusen, Switzerland), Indu-cera® (OscoTec Inc., Seongnam, Korea), OCS-B® (Nibec Co., Seoul, Korea), and OCS-H® (Nibec Co., Seoul, Korea). The synthetic bone materials were BMP® (Cowellmedi Co., Seoul, Korea), BoneMedik® (Meta Biomed Co., Cheongju, Korea), Boneplus® (Megagen Co., Seoul, Korea), MBCP® (Biomatlante, vigneux de Bretagne, France), Osteon® (Genoss, Suwon, Korea), and Osteogen® (Impladent Ltd., Hollis, USA). Clinical and bone marrow density evaluation after the grafting of calvarial defects of Sprague-Dawley rat We compared possible differences in each bone mater- ial before and after EBI, and each bone materials was Figure 2 Basic study designs showing the electron beam irradiated bone materials, according to their origin, energy, and radiation dose. Kim et al. Biomaterials Research (2015) 19:10 Page 3 of 10 implanted onto the perforated calvarial defects of Sprague- Dawley rats. Evaluation at 8 and 16 weeks was performed (Figure 3). embedded in paraffin. The cross-sectioned area of the frontal bone containing the perforated area was microsec- tioned to a thickness of 4 μm and subsequently stained by hematoxylin and eosin [5]. In vitro analyses after EBI Specimens were examined to determine that they had no specific characteristics such as discoloration, broken powder, or coagulation. The macroscopic structures be- fore and after EBI did not differ. In the elementary analysis of the allogenic and syn- thetic bone materials, no significant difference was found in the carbon, oxygen, calcium, and phosphorus compo- nents. In the BBP® and Bio-cera® allogenic bone materials, some differences according to the irradiaton conditions were found, but were not significant (Figure 5). The XRD patterns of the allogenic, xenogenic, and synthetic bone were identical, with several strong X-ray deflection peaks that did not differ with different conditions of Statistical analysis All of the data above were analyzed and compared by analysis of variance (ANOVA ) using SPSS for Windows® (Version 12.2, SPSS Inc., USA) and mean values with 95% confidence intervals. Correlations between three dif- ferent kinds of bone, and between 12 different irradiated conditions were analyzed by the Pearson's correlation test (p < 0.05). In vitro analyses The cross-sectional microsec- tions of the regenerated bone were observed under a light microscope and the histological images were captured by a DP-70® digital camera (Canon Co., Saitama, Japan). g In total, 48 Sprague-Dawley male rats (each weigh- ing 200-230 g) were anesthetized with a mixture of Ketamine® (60 mg/kg, ketamine hydrochloride; Yuhan Co., Korea) and Rompun® (3 mg/kg, xylazine hydro- chloride; Bayer Korea, Korea) in a 4:1 ratio. The rats’ bilateral frontal bones were exposed (Figure 4A) and perforated with a round bur (5.0 mm diameter; Shinhung Co., Korea) so as not to damage the internal brain tissue (Figure 4B). The result was a round bone perforation measuring 5 mm in diameter, and the perforated bone wound was filled with each bone graft materials (Figure 4C). After implantation, the wound was covered by a periosteal membrane suture using 5-0 Vicryl® (Johnson & Johnson Co., USA), followed by a tight suture of the incised skin with 4-0 Nylon® (Ailee Co., Korea). After surgery, animals were kept warm in their individual cages until they made a full re- covery from the anesthesia and were then returned to the holding room with free access to water and food. Tarasyn® (2 mg/kg, ketorolac tromethamine; Yuhan Co., Korea) was given to each animal subcutaneously for 3 days to reduce any postoperative pain, and Icepacin® (1.5 mg/kg, icepacin sulfate; Yuhan Co., Korea) was used for 3 days to prevent postoperative infection. Results Electron beam irradiation to a total of 1,152 specimens Electron beam irradiation to a total of 1,152 specimens A total of 16 bone materials, including four allogenic, six xenogenic, and six synthetic bones, were irradiated under 12 different conditions, such as with 1.0 or 2.0 MeV, and at 60 or 120 kGy. Each bone material was divided into six specimens for the in vitro study and graft procedures, so a total of 1,152 specimens were irradiated by the electron beam (Figure 2). The skin wounds healed uneventfully after two weeks. A group of rats was sacrificed by intramuscular injection of 50% Urethane® (U2500, 1.5 g/kg; Sigma-Aldrich Co., USA) at 8 (Figure 4D) and 16 weeks (Figure 4E) post- treatment. The frontal bone tissue, including the perforated area and covering periosteal membrane, was removed (Figures 4D,E). Each removed specimen was evaluated with micro-computed tomography (Micro-CT) with bone marrow density (BMD) calculations. Light microscope observation of the regenerated calvarial defect To determine the histological features of the regenerated bone in the calvarial defect, every specimen was fixed in 10% buffered formalin, decalcified in 4% nitric acid, and Figure 3 Basic units of the electron beam irradiation devices in EB Tech Co., Daejeon, South Korea. Specimens holding tables (A), monitoring device, and the actual radiation dosages according to the set energy (B), and schematic time-tables of the clinical, radiologic, and histologic study of a calvarial defect model grafted with electron beam-irradiated bone materials (C). Figure 3 Basic units of the electron beam irradiation devices in EB Tech Co., Daejeon, South Korea. Specimens holding tables (A), monitoring device, and the actual radiation dosages according to the set energy (B), and schematic time-tables of the clinical, radiologic, and histologic study of a calvarial defect model grafted with electron beam-irradiated bone materials (C). Figure 3 Basic units of the electron beam irradiation devices in EB Tech Co., Daejeon, South Korea. Specimens holding tables (A), monitoring device, and the actual radiation dosages according to the set energy (B), and schematic time-tables of the clinical, radiologic, and histologic study of a calvarial defect model grafted with electron beam-irradiated bone materials (C). Page 4 of 10 Kim et al. Biomaterials Research (2015) 19:10 Figure 4 Implantation of each bone material and the evaluation process showing the exposed bilateral frontal bone of the Sprague-Dawley rat (A), 5.0-mm-diameter perforations of the frontal bone were created with a round bur, avoiding damage to the internal brain tissues (B), implantation of each perforated calvarial wound (C), acquired frontal bone tissue including the perforated area and covering periosteal membrane after 8 weeks (D) and 16 weeks (E). Figure 4 Implantation of each bone material and the evaluation process showing the exposed bilateral frontal bone of the Sprague-Dawley rat (A), 5.0-mm-diameter perforations of the frontal bone were created with a round bur, avoiding damage to the internal brain tissues (B), implantation of each perforated calvarial wound (C), acquired frontal bone tissue including the perforated area and covering periosteal membrane after 8 weeks (D) and 16 weeks (E) eks (E). 16 weeks (E). electron beam energy or irradiation dose (Figure 6). By the three-dimensional construction of less-than-0.1-mm sized continuous optical sections, each specimen had their own CLSM images constructed. There were no differences observed before and after EBI in each specimen. Clinical evaluation and BMD calculations We compared the specimens for possible clinical differ- ences before and after EBI, and each bone material was implanted onto the perforated calvarial defect of the rats [6,7]. Clinically, there was no swelling, redness, or local infection around the suture site in all animals. No rats were lost in the interval period and all had normal- appearing weight, feeding, and activity during the 8 or 16 weeks. Light microscope observation of the regenerated calvarial defect synthetic bone materials, but this pattern was not typ- ical in the allogenic and xenogenic bone materials. This result suggested that any remaining bone particles did not undergo osteogenesis. For example, the BMD of BMP® was statistically higher under 1 MeV-60 kGy and 2 MeV-60 kGy conditions, but xenogenic bone such as Bio-cera® showed no special characteristics and did not show statistical significance (Figure 9). Light microscopic observation of the regenerated calvarial defect To determine the histological features of the regenerated bone in the calvarial defect, every specimen was ob- served under the light microscope. Histologically, new bone formation was more active in the synthetic bone materials than in the allogenic or xenogenic bone mate- rials. The allogenic bone materials showed slightly more regenerative activity than the xenogenic bone materials. The BMP® grafted bone showed the most regenerative tendencies with bone marrow calcification at 8 weeks. However, there were neither remarkable differences, nor statistical significance in the samples between 8 and 16 weeks (Figure 10). Incomplete bony healing was found in the horizontal radiographic view in most animals after 8 weeks under different electron beam energy and radiation conditions (Figure 7). There was less radiopacity observed in the 16 weeks specimen as compared to the 8 weeks specimen. No remarkable changes were found according to differ- ent electron beam energy or irradiation dose. In the comparison of the coronal Micro-CT views of the re- generated frontal bone under each irradiation condition after 8 and 16 weeks, many of the electron beam- irradiated xenogenic and synthetic bone materials be- come hard and dense after 16 weeks of observation (Figure 8). The BMD after 16 weeks was calculated to be higher than that after 8 weeks in most of the Discussion The application of nanotechnology in biomaterials en- gineering is one of the fastest growing areas in tissue en- gineering [8,9]. Radiation has been shown to be a useful tool to arrange atoms and ions with ion or electron beams. All radiation stems from ionizing radiation that Figure 5 Elementary analysis of BBP® and Bio-cera® according to the different conditions of EBI. Figure 5 Elementary analysis of BBP® and Bio-cera® according to the different conditions of EBI. Page 5 of 10 Kim et al. Biomaterials Research (2015) 19:10 Figure 6 The X-ray diffraction (XRD) patterns of BMP® with several strong X-ray deflection peaks noted not to change with different EBI conditions. can originate either from a radioactive source or from highly accelerated electrons [9-11]. The anode is composed of a high atomic-number mater- ial with a large bremsstrahlung cross-section and a high probability for producing bremsstrahlung, with about 99% of the kinetic energy of the electrons striking the anode transformed into thermal energy [8,9]. For medical radiotherapeutical or engineering pur- poses, the most common form of radiation involves photons, with energies up to KeV and MeV and elec- trons with energies in the range between 4 and 15 MeV. In an X-ray tube, the cathode produces electrons by thermionic emission and acts as an electron source, with these electrons impinging on the positively charged anode after being accelerated in a strong electric field. The kinetic energy of the electrons is converted into X- radiation and then bremsstrahlung upon deceleration. Charged particles produces electromagnetic radi- ation when they interact with matter, which is emitted as a characteristic line spectrum with energies typical for the emitting element, as well as bremsstrahlung with a continuous spectrum. Because of their large e/m (charge divided by mass) ratio, which is much greater than the e/m ratio for other charged particles like Figure 7 Horizontal radiographic views of the BMP® implanted frontal bone after 8 weeks, no beam treatment (A), 1 MeV-60 kGy (B), 1 MeV-120 kGy (C), 2 MeV-60 kGy (D), and 2 MeV-120 kGy (E). Figure 7 Horizontal radiographic views of the BMP® implanted frontal bone after 8 weeks, no beam treatment (A), 1 MeV-60 kGy (B), 1 MeV-120 kGy (C), 2 MeV-60 kGy (D), and 2 MeV-120 kGy (E). Page 6 of 10 Kim et al. Discussion Biomaterials Research (2015) 19:10 Figure 8 Comparison of the coronal Micro-CT views of the regenerated frontal bone under the different conditions after 8 and 16 weeks (right) of the electron beam-irradiated BMP® implantation. No beam treatment (A,F), 1 MeV-60 kGy (B,G), 1 MeV-120 kGy (C,H), 2 MeV-60 kGy (D,I), and 2 MeV-120 kGy (E,J). Figure 8 Comparison of the coronal Micro-CT views of the regenerated frontal bone under the different conditions after 8 and 16 weeks (right) of the electron beam-irradiated BMP® implantation. No beam treatment (A,F), 1 MeV-60 kGy (B,G), 1 MeV-120 kGy (C,H), 2 MeV-60 kGy (D,I), and 2 MeV-120 kGy (E,J). electrostatic field geometry established by the grid and anode. The electron beam then emerges from the gun assembly through an exit hole in the ground-plane anode with an energy equal to the value of the negative high volt- age being applied to the cathode. This use of a direct high voltage to produce a high-energy electron beam allows the conversion of input AC power to beam power at a greater than 95% efficiency, making electron beam material pro- cessing a highly energy-efficient technique. After exiting the gun, the beam passes through an electromagnetic focusing lens and magnetic deflection coil system. This focusing lens is used for producing either a focused or de- focused beam spot on the specimens, while the deflection coil is used to either position the beam spot on a stationary location or provide some form of oscillatory motion [1,3,8]. protons, deuterons or heavier ions, electrons produce significantly more bremsstrahlung. For commercial use, the most important characteristics for an accelerator are its electron energy and average beam power. Industrial electron accelerators are usually classified according to their energy range, which is classified as low (80-300 keV), medium (300 keV - 5 MeV), and high (above 5 MeV) [8,9]. EBI or electron beam processing is a process that in- volves using electrons, usually of high energy, to treat an object for a variety of purposes under elevated tem- peratures and a nitrogen atmosphere. EBI is also used to treat products with a high-energy electron beam accelerator which utilizes an on-off technology with a common design similar to that of a cathode ray televi- sion. Electron energies typically fall within the keV to MeV ranges, depending on the depth of penetration required. Discussion The basic components of a typical electron beam processing device are an electron gun, dose chamber, magnet, emitter, grid, anode, and deflection coil [1,3]. The electron gun is used to generate and accelerate the primary beam, while the magnetic op- tical focusing lens and deflection coil are used for con- trolling the way in which the electron beam impinges on the specimens (Figure 11). The cathode emitter is a source of thermally-emitted electrons that are both ac- celerated and shaped into a collimated beam by the EBI technology has been used in the engineering and manufacturing industry, mainly for product modi- fications. The first modification is the cross-linking of polymer-based products to improve their mechanical, thermal, chemical properties. The second purpose is for degradation, often used in the recycling of mate- rials. The third purpose is for the sterilization of med- ical and pharmaceutical goods. Cross-linking is the interconnection of adjacent long molecules with networks of bonds induced by chemical treatment or EBI. The cross-linking of polymers through Figure 9 Comparison of bone marrow density in the Bio-cera® and BMP® bone materials, showing a slight increase in the 1 MeV-60 Gy and 2 MeV-60 Gy irradiated BMP®. Figure 9 Comparison of bone marrow density in the Bio-cera® and BMP® bone materials, showing a slight increase in the 1 MeV-60 Gy and 2 MeV-60 Gy irradiated BMP®. Kim et al. Biomaterials Research (2015) 19:10 Page 7 of 10 Figure 10 Photomicrographs of the regenerated frontal bone after 8 (left) and 16 weeks (right) after electron beam-irradiated BMP® implantation, with the coronal views of each condition are compared. Figure 10 Photomicrographs of the regenerated frontal bone after 8 (left) and 16 weeks (right) after electron beam-irradiated BMP® implantation, with the coronal views of each condition are compared. (TPUs), polybutylene terephthalate (PBT), polyvinylidene fluoride (PVDF), polymethylpentene (PMP), polyethylenes, polyamides and nylons, and ethylene copolymers such as ethylene-vinyl acetate (EVA) and ethylene tetra- fluoroethylene (ETFE). An electron beam induces the chain scissioning and cross-linking of these polymers. This chain scissioning effect makes the polymer chains shorter and result in changes in the crystallinity and microstructure of the materials. In the in vivo results of this study, some of the synthetic bone powder showed changes in its crystallinity, suggesting that EBI changes a thermoplastic material into a thermoset material making the polymer stable against heat by the impedance of molecular movement [5]. Discussion The benefits of cross-linking is due to the locking effect of molecules, which improves several properties including thermal re- sistance to high and low temperature, resistance to aging, mechanical strength (including tensile, modulus, abrasion resistance and creep resistance), chemical stress crack resistance, and heat shrink memory properties. Commonly cross-linked polymers include polyvinyl chlor- ide (PVC), thermoplastic polyurethanes and elastomers Figure 11 Schematic drawings of the basic electron beam accelerator including the electron gun, cathodic emitter, grid, anode, magnetic focusing lens and magnetic deflection coil. This accelerator includes the beam-defining system in electron mode. Figure 11 Schematic drawings of the basic electron beam accelerator including the electron gun, cathodic emitter, grid, anode, magnetic focusing lens and magnetic deflection coil. This accelerator includes the beam-defining system in electron mode. Page 8 of 10 Kim et al. Biomaterials Research (2015) 19:10 the microstructure was able to accommodate some vasculature. ability to acquire in-focus images from selected depths, a process known as optical sectioning [17,18]. Images are acquired point-by-point and reconstructed in a com- puter, allowing for the three-dimensional reconstruc- tions of topologically complex objects, such as synthetic bone apatite. Chain-scissioning, also known as polymer degradation, is the breaking apart of molecular chains to produce mo- lecular sub-units. The main effect of EBI is to break these molecular chains and reduce molecular weight. Without the use of any chemicals, EBI creates a chain-scission process that has been used to create fine micropowders from uses ranging from scrap and off-grade materials to inks and coatings for the automotive industry [12,13]. In addition, the high-energy electron irradiation lowers the energy barrier for ferroelectric-paraelectric phase tran- sition and reduces polarization hysteresis losses in poly- vinylidene fluoride-trifluoroethylene copolymers, with some of the energy barrier between calcium phosphate particles changed to reduce polarization hysteresis after EBI. Unfortunately, the mechanism underlying this deg- radation process has not been shown in in vitro ana- lyses with SEM, XRD, or CLSM [14]. Since many materials can form crystals, including salts, metals, minerals, semiconductors, and various organic and biological molecules, XRD has been fun- damental in the development of many scientific fields. X-ray crystallography is a tool used for identifying the atomic and molecular structure of a crystal, in which the crystalline atoms cause a beam of incident X-rays to diffract into many specific directions [19]. Discussion By measur- ing the angles and intensities of these diffracted beams, a crystallographer can produce a three-dimensional pic- ture of the density of electrons within the crystal. From this electron density, the mean positions of the atoms in the crystal can be determined, as well as their chemical bonds, disorder and various other characteristics [20]. In this study, no changes in the peaks or other diffract- ive patterns in the bone substitutes before and after EBI were observed with CLSM or XRD. The effect of EBI on these bone particles could not be observed, so different approaches to induce bony regeneration are needed. For microbiological sterilization, EBI has the ability to break the DNA chains of living organisms, such as bac- teria, resulting in microbial death and rendering the space they inhabit sterile. EBI has already been used for the sterilization of medical products, the development of aseptic packaging materials for foods, as well as for disinfectants. EBI's sterilization effect can also be applied in biomaterials, especially bone grafts. For sterilization, EBI has significant advantages over other methods of sterilization currently in use. The process is quick, reli- able, and compatible with most materials, and does not require any period of quarantine following processing [15]. For some materials and products that are sensitive to oxidative effects, the radiation tolerance levels for EBI may be slightly higher than for gamma exposure. This is due to the higher dose rates and shorter exposure times of EBI, which have been shown to reduce the degrada- tive effects of oxygen [16]. Various studies have reported the effects of EBI on various woods and semiconductive metals, but few data are available regarding the biologic and clinical applica- tions of EBI on biomaterials. Rat calvarial defects have been used to evaluate bone regeneration and survey different materials before clin- ical application in humans. The rat calvarial defect protocol involves preparation, surgery, and several ana- lyses of bone regeneration, which has been described in our previous publications [1,4,6]. A defect if 8 mm is generally accepted to be the critical size in the rat calvar- ial defect model, but smaller defects have been investi- gated in models with two defects per animal, allowing fewer animals to be required for a given study. This study used a model with two 5-mm sized defects per cal- varium, which has been used to examine the healing of subcritically sized defects. Discussion Although any reduction in min- eral content decrease mechanical strength of the graft, the scissoning effect of EBI can mitigate this decrease in mechanical strength. As we have previously reported [1,2], type I collagen contributes to mineral deposition, vascular ingrowth, and growth factor binding, which provides a favorable environment for grafed bone regeneration. Type I collagen has the potential for immunogenicity and has diminished structural integrity. EBI can induce bone apatite to be incorporated and combined with type I collagen and BMPs. The four desired properties of bone graft materials are osteogenesis, osteoinduction, osteoconduction, and osteointegration. Osteogenesis is new bone formation that occurs from osteoprogenitor cells that are present in the graft, survive the transplant, and proliferate and differentiate to osteoblasts. Marrow elements provide the fusion bed with osteoinductive proteins, potential osteogenic cells, and a local blood supply that make osteo- genesis possible. Osteoconduction entails the stimulation and recruitment of nearby undifferentiated mesenchymal stem cells to the graft site. The stem cells are triggered to differentiate into chondrocytes and osteoblasts on the graft site. The method of recruitment and differentiation occurs through a cascade of events triggered by graft- derived factors known as BMP -2, -4, and -7, which are members of the transforming growth factor-ß superfamily. These BMPs are present in the matrix of the graft and are accessed after the mineral content of the bone graft has been removed. In addition to the BMPs, other vital factors involved in healing include platelet-derived growth factors, fibroblast growth factors, insulin-like growth factors, granulocyte colony-stimulating factors, mitogens, and interleukins. Angiogenic factors, such as vascular endothelial-derived growth factor, are also present. Osteoconduction is the ingrowth of vascular tissue and mesenchymal stem cells into the scaffold structure presented by the graft material. This is an or- dered process that results in the formation of new Haversian systems in a predictable pattern along the host-graft interface, which subsequently infuses into the graft material. Osseointegration is described as the bonding of the host and the graft material. This phenomenon is vital to graft survival. For the graft to be functional, an inadequate amount of new bone must exist in the graft and unite with the host bone [21-23]. Xenografts are derived from genetically different spe- cies. One of the most used xenograft is bovine bone, with Bio-oss® being the best-known example. Discussion The potential for interactions between these two adjacent defects was prevented by allowing at least a 1.5-mm distance from the middle sa- gittal suture line. The primary goal of this design was to compare the regeneration of the bony materials, so the natural regenerative capacity of these two defects had to be excluded from the rat model [7]. As a means of disinfection for pests and other patho- gens, EBI could replace antiquated and environmentally unfriendly methods such as fumigation and chemical dipping. A significant advantages of EBI is the reduction of bacterial contamination without compromising dis- tinctive flavors and sensory properties. Fruits, vegetables, grains and other food items can also be processed by EBI to control the population of fruit flies and other in- sects that use these commodities as a host for propaga- tion. Given these properties, EBI can be readily used to advance the use of biomaterials. EBI has four main effects to bony materials. First, it in- duces the cross-linking of biphasic calcium phosphate bony apatite, with a thermal effect on its resistance to temperature changes, a mechanical effect although with no specific changes to the surface morphology or apatite structure, and a chemical effect with a slight increase in CLSM or laser scanning confocal microscopy (LSCM) are recent technique for obtaining high-resolution op- tical images with depth selectivity. While a conventional microscope can see as far into the specimen as the light can penetrate. While CLSM can only see images one depth level at a time. The key feature of CLSM is its Page 9 of 10 Page 9 of 10 Kim et al. Biomaterials Research (2015) 19:10 the calcium and phosphorous contents in the synthetic bone, among other effects of irradiation such as changes in the DNA structure. Second, chain-scissioning causes the degradation and breaking of bony apatite chains, such as type I collagen, inducing blood supply formation and and coagulation near the grafted bony substitutes. Third, EBI has also been implicated in rheological changes, especially in BMP-coated apatites. Finally, EBI results in microbiological sterilization, as previously described. cells. EBI has been suggested to have demineralization effects by creating new vacant spaces or micro-sized voids in the bony apatite. Within this space, a new vascular supply can be created for both osteoinduction and osteoconduction. Discussion These de- proteinized bovine bone minerals have been treated so that all of their organic materials have been removed. The application of these bones results in a crystal struc- ture that practically matches human cancellous bone. In this study, the bone samples after 8 and 16 weeks of Bio-cera® showed some differences after EBI, with par- ticle sizes of 0.25 to 1 mm, which are the dimensions that are thought to promote osteogenesis. 75% of its volume of Bio-oss® is known to be contained in a porous scaffold, so this structure greatly increases surface area and results in a material that is useful for osteoconduc- tion. However, due to its large porous nature, the initial stability of Bio-oss® remains an issue. Treatment of Bio-oss® with EBI can increase angiogenesis and enhance further new bone growth. Conclusions The use of EBI on synthetic bone has thermal, mechan- ical, and chemical effects on the cross-linking of bi- phasic calcium phosphate apatites. Another effect of chain-scissioning is the degradation or breaking of bony apatite chains, which can induce blood supply formation and coagulation near the grafted bony substitutes. References 1. Kim SM, Eo MY, Kang JY, Myoung H, Choi EK, Lee SK, et al. Bony regeneration effect of electron-beam irradiated hydroxyapatite and tricalcium phosphate mixtures with 7 to 3 ratio in the calvarial defect model of rat. Tissue Engineering Regenerative Medicine. 2013;9:24–32. 1. Kim SM, Eo MY, Kang JY, Myoung H, Choi EK, Lee SK, et al. Bony regeneration effect of electron-beam irradiated hydroxyapatite and tricalcium phosphate mixtures with 7 to 3 ratio in the calvarial defect model of rat. Tissue Engineering Regenerative Medicine. 2013;9:24–32. 1. Kim SM, Eo MY, Kang JY, Myoung H, Choi EK, Lee SK, et al. Bony regeneration effect of electron-beam irradiated hydroxyapatite and tricalcium phosphate mixtures with 7 to 3 ratio in the calvarial defect model of rat. Tissue Engineering Regenerative Medicine. 2013;9:24–32. 2. Park JM, Kim SM, Kim MK, Park YW, Myoung H, Lee BC, et al. Effect of electron-beam irradiation on the artificial bone substitutes composed of hydroxyapatite and tricalcium phosphate mixtures with type I collagen. J Korean Assoc Maxillofac Plast Reconstr Surg. 2013;35:38–50. 2. Park JM, Kim SM, Kim MK, Park YW, Myoung H, Lee BC, et al. Effect of electron-beam irradiation on the artificial bone substitutes composed of hydroxyapatite and tricalcium phosphate mixtures with type I collagen. J Korean Assoc Maxillofac Plast Reconstr Surg. 2013;35:38–50. 3. Laurell B, Föll E. Electron-beam accelerators for new applications. RadTech Europe 2011 Exhibition & Conference for Radiation Curing. Electron Crosslinking AB; 2011 3. Laurell B, Föll E. Electron-beam accelerators for new applications. RadTech Europe 2011 Exhibition & Conference for Radiation Curing. Electron Crosslinking AB; 2011 g 4. Kim JH, Kim SM, Kim JH, Kwon KJ, Park YW. Effect of type I collagen on hydroxyapatite and tricalcium phosphate mixtures in rat calvarial bony defects. J Kor Oral Maxillofac Surg. 2008;34:36–48. 5. Clark G: Staining procedure, 4th edn. Wiliams & Wilkins, Baltimore. 6. Kim SM, Park JM, Kang TY, Kim YS, Lee SK. Purification of squirt cellulose membrane from the cystic tunic of Styela clava and identification of its osteoconductive effect. Cellulose. 2013;20:655–73. 6. Kim SM, Park JM, Kang TY, Kim YS, Lee SK. Purification of squirt cellulose membrane from the cystic tunic of Styela clava and identification of its osteoconductive effect. Cellulose. 2013;20:655–73. 7. Spicer PP, Kretlow JD, Young S, Jansen JA, Kasper FK, Mikos AG. Evaluation of bone regeneration using the rat ciritical size calvarial defects. Nat Protoc. 2012;7:1918–29. 8. Received: 13 January 2015 Accepted: 30 March 2015 23. Jiang B, Wu Z, Zhao H, Tang F, Lu J, Wei Q, et al. Electron beam irradiation modification of collagen membrane. Biomaterials. 2006;27:15–23. Authors’ contributions All authors read and approved the final manuscript. SM read and wrote the manuscript, FH collected the in vivo data, YJ prepared the figures with the schematic drawings, MY summarized the animal data, JH & BN designed the electron beam conditions, BC arranged the radiation instruments, and SK prepared the histologic data. 16. Xia Z, Huang Y, Adamopoulos IE, Walpole A, Triffitt JT, Cui Z. Macrophage- mediated biodegradation of poly(DL-lactide-co-glycolide) in vitro. J Biomed Mater Res A. 2006;79:582–90. 17. Barakat NAM, Khalil KA, Sheikh FA, Omran AM, Gaihre B, Khil SM, et al. Physiochemical characterizations of hydroxyapatite extracted from bovine bones by three different methods: extraction of biologically desirable Hap. Mater Sci Eng C. 2008;28:1381–7. References Jastrzebska A, Kaminski A, Grazka E, Marowska J, Sadlo J, Gut G, et al. Effect of gamma radiation and accelerated electron beam on stable paramagnetic centers induction in bone mineral: influence of dose, irradiation temperature and bone defatting. Cell Tissue Bank. 2014;15:413–28. 9. Kaminski A, Grazka E, Jastrzebska A, Marowska J, Gut G, Wojciechowski A, et al. Effect of accelerated electron beam on mechanical properties of human cortical bone: influence of different processing methods. Cell Tissue Bank. 2012;13:375–86. 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: 10. Fan H, Kim SM, Cho YJ, Eo MY, Lee SK, Woo KM. New approach for the treatment of osteoradionecrosis with pentoxifyllin and tocopherol. Biomaterials Research. 2014;18:13. • Convenient online submission 11. Nishi Y, Izumi H, Kawano J, Oguri K, Kawaguchi Y, Ogata M, et al. Effect of electron-beam irradiation on water wettability of hydroxyapatites for artificial bone. J Mater Sci. 1997;32:3637–9. 11. Nishi Y, Izumi H, Kawano J, Oguri K, Kawaguchi Y, Ogata M, et al. Effect of electron-beam irradiation on water wettability of hydroxyapatites for artificial bone. J Mater Sci. 1997;32:3637–9. 12. Choi JM, Kong YM, Kim S, Kim HE, Hwang CS. Formation and characterization of hydroxyapatite coating layer on Ti-based metal implant by electron-beam deposition. J Mater Res. 1999;14:2890–985. 12. Choi JM, Kong YM, Kim S, Kim HE, Hwang CS. Competing interests 14. Fray ME, Bartkowiak A, Prowans P, Slonecki J. Physical and mechanical behavior of electron beam irradiated and ethylene oxide sterilized multiblock polyester. J Mater Sci Mater Med. 2000;11:757–62. The authors declare that they have no competing interests. The authors declare that they have no competing interests. 15. Ponader S, Vairaktaris E, Heinl P, Wilmowsky CV, Rottmair A, Körner C, et al. Effects of topographical surface modifications of electron beam melted Ti-6Al-4 V titanium on human fetal osteoblasts. J Biomed Mater Res A. 2008;84:1111–9. Acknowledgement Th k g This work was supported by the National Research Foundation of Korea(NRF) grant funded by the Korea government(MEST) (No. 2012M2B2A4029638). This work was supported by the National Research Foundation of Korea(NRF) grant funded by the Korea government(MEST) (No. 2012M2B2A4029638). g 18. Paddock SW. Confocal laser scanning microscopy. Biotechniques. 1999;27:992–1004. Author details 1 19. Yoshikawa H, Tamai N, Murase T, Myoui A. Interconnected porous hydroxyapatite ceramics for bone tissue engineering. J R Soc Interface. 2009;6:S341–8. 1Department of Oral and Maxillofacial Surgery, Dental Research Institute, School of Dentistry, Seoul National University, 62-1 Changgyeonggungno, Jongno-gu, Seoul 110-768, South Korea. 2Quantum Optics Research Division, Korea Atomic Energy Research Institute, Daejeon, South Korea. 3Radiation Instrumentation Research Division, Korea Atomic Energy Research Institute, Daejeon, South Korea. 4Department of Oral Pathology, College of Dentistry, Gangneung-Wonju National University, 123 Chibyon-dong, Gangneung 210-702, South Korea. 1Department of Oral and Maxillofacial Surgery, Dental Research Institute, School of Dentistry, Seoul National University, 62-1 Changgyeonggungno, Jongno-gu, Seoul 110-768, South Korea. 2Quantum Optics Research Division, Korea Atomic Energy Research Institute, Daejeon, South Korea. 3Radiation Instrumentation Research Division, Korea Atomic Energy Research Institute, 20. Brodie JC, Goldie E, Connel G, Merry J, Grant MH. Osteoblast interactions with calcium phosphate ceramics modified by coating with type I collagen. J Biomed Mater Res A. 2005;73:409–21. Daejeon, South Korea. 4Department of Oral Pathology, College of Dentistry, Gangneung-Wonju National University, 123 Chibyon-dong, Gangneung 210-702, South Korea. 21. Rangavittal N, Landa-Cánovas AR, González-Calbet JM, Vallet-Regí M. Structural study and stability of hydroxyapatite and beta-tricalcium phosphate: two important bioceramics. J Biomed Mater Res. 2000;51:660–8. 22. Diociaiuti M. Electron energy loss spectroscopy microanalysis and imaging in the transmission electron microscope: example of biological applications. J Electron Spectro Related Phenomena. 2005;143:189–203. Received: 13 January 2015 Accepted: 30 March 2015 Availability of supporting data There are no organic or protein-related factors in the xenogenic and synthetic bone materials. Calcified or mineralized bone matrix has no osteoinductive proper- ties and the BMPs are encased by the bone minerals, so the content of the allograft directly affects how add- itional proteins or factors can be used at the grafting site. The osteoinductive property is elevated with de- creasing mineral content in the graft, with growth fac- tors more available for the stimulation of mesenchymal Recent advances in the understanding of EBI have re- sulted in new therapeutic strategies designed to improve the cross-linking of polymer-based products, the degrad- ation of recycled materials, and the sterilization of med- ical and pharmaceutical goods. Additional effects of EBI include rheological changes, especially in the BMP- coated apatites, and the sterilization of microorganisms for pathogen control, anti-fungal fumigation, disinfec- tion, and immunization. Page 10 of 10 Page 10 of 10 Kim et al. Biomaterials Research (2015) 19:10 Kim et al. Biomaterials Research (2015) 19:10 References Formation and characterization of hydroxyapatite coating layer on Ti-based metal implant by electron-beam deposition. J Mater Res. 1999;14:2890–985. 13. Kim HW, Knowles JC, Kim HE. Hydroxyapatite and gelatin composite foams processed via novel freeze-drying and crosslinking for use as temporary hard tissue scaffolds. J Biomed Mater Res A. 2005;72:136–45. 13. Kim HW, Knowles JC, Kim HE. Hydroxyapatite and gelatin composite foams processed via novel freeze-drying and crosslinking for use as temporary hard tissue scaffolds. J Biomed Mater Res A. 2005;72:136–45.
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The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt
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The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt Diana Fajarwati1 1Universitas Islam 45 Published by LPPM Universitas Islam 45 ---- Vol. 20, No. 01, Year 2023, pp. 114 – 129 ---- https://jurnal.unismabekasi.ac.id/index.php/paradigma e-ISSN : 2775-9105, p-ISSN : 0853-9081 DOI : https://doi.org/10.33558/paradigma.v20i1.7003 Copyright © The Author(s) This work is licensed under a Creative Commons Attribution 4.0 International License INTRODUCTION The Effect of Tax Avoidance Company Size and Good Corporate Governance on the Cost of Debt In the operational activities of a company so that it can run smoothly there are several things that really have an effect on the operational activities of a company, one of which is the company's funding source which is said to be the soul of a company, with large capital the company will be able to carry out its operational activities smoothly (Cymbidiana, 2012). A company's capital is usually obtained from two sources, namely internal and external sources, but companies will tend to choose internal sources first (Hayyuni, 2020). Companies will use external sources, namely by way of carrying out debt if internal sources are deemed insufficient to finance the company's operational activities, the debt will cause debt costs (cost of debt) (Juliasty, 2009; Putra & Hasanah, 2018). The cost of debt is the required rate of return. The cost of debt of a company is determined by the characteristics of the company issuing the debt because it affects bankruptcy risk, agency costs and information asymmetry problems (Bhojraj & Sengupta, 2003). As was the case with PT Agung Podomoro Land Tbk (APLN). The burden of debt is still overshadowing the property company's performance. Agung Podomoro's weak liquidity to pay its debts prompted the international rating agency Moody's Investors Service to cut the company's rating to B2 from B1. Jacintha Poh, Vice President and Senior Credit Officer at Moody's, said that the downgrade reflects Agung Podomoro's uncertainty about refinancing its maturing debt within the next year. Agung Podomoro obtained a term loan facility in May 2019 to repay bonds that will mature in the next 12 months. The company has used part of the loan facility to refinance the IDR 750 billion bond maturing June 6 2019. However, Moody's sees the availability of funds to repay the remaining IDR 500 billion bond debt, which is still uncertain. The bonds in question are bonds worth IDR 491 billion which will mature in December 2019, and IDR 99 billion which will mature in March 2020. The risk of refinancing is also exacerbated by the risk of maturing syndicated loans. Until now, Agung Podomoro has not been able to confirm a concrete plan to repay the loan (Narita, 2019). The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt ABSTRACT This study aims to examine the effect of tax avoidance, company size, and good corporate governance on the cost of debt in property, real estate and building construction companies listed on the Indonesia Stock Exchange (IDX) during 2019 to 2021. The research method applies the quantitative with secondary data obtained from annual reports obtained from the website www.idx.co.id with this type of research using purposive sampling technique used to obtain sample data. The samples obtained in this study amounted to 26 company data with an observation period of 3 consecutive years. Then obtained 78 data used as samples. data analysis techniques in this study using multiple linear regression techniques. The results showed that tax avoidance had a significant negative effect on the cost of debt. Company size has no effect on the cost of debt. Good corporate governance which is proxied by institutional ownership, managerial ownership, independent board of commissioners, and audit committee has a significant negative effect on the cost of debt. Keywords: Tax Avoidance, Company Size, Good Corporate Governance, Cost of Debt Keywords: Tax Avoidance, Company Size, Good Corporate Governance, Cost of Debt 114 Diana Fajarwati INTRODUCTION From this case, it can be seen that Agung Podomoro's uncertainty in paying off his debt will result in a cost of debt originating In the operational activities of a company so that it can run smoothly there are several things that really have an effect on the operational activities of a company, one of which is the company's funding source which is said to be the soul of a company, with large capital the company will be able to carry out its operational activities smoothly (Cymbidiana, 2012). A company's capital is usually obtained from two sources, namely internal and external sources, but companies will tend to choose internal sources first (Hayyuni, 2020). Companies will use external sources, namely by way of carrying out debt if internal sources are deemed insufficient to finance the company's operational activities, the debt will cause debt costs (cost of debt) (Juliasty, 2009; Putra & Hasanah, 2018). The cost of debt is the required rate of return. The cost of debt of a company is determined by the characteristics of the company issuing the debt because it affects bankruptcy risk, agency costs and information asymmetry problems (Bhojraj & Sengupta, 2003). As was the case with PT Agung Podomoro Land Tbk (APLN). The burden of debt is still overshadowing the property company's performance. Agung Podomoro's weak liquidity to pay its debts prompted the international rating agency Moody's Investors Service to cut the company's rating to B2 from B1. Jacintha Poh, Vice President and Senior Credit Officer at Moody's, said that the downgrade reflects Agung Podomoro's uncertainty about refinancing its maturing debt within the next year. Agung Podomoro obtained a term loan facility in May 2019 to repay bonds that will mature in the next 12 months. The company has used part of the loan facility to refinance the IDR 750 billion bond maturing June 6 2019. However, Moody's sees the availability of funds to repay the remaining IDR 500 billion bond debt, which is still uncertain. The bonds in question are bonds worth IDR 491 billion which will mature in December 2019, and IDR 99 billion which will mature in March 2020. The risk of refinancing is also exacerbated by the risk of maturing syndicated loans. Until now, Agung Podomoro has not been able to confirm a concrete plan to repay the loan (Narita, 2019). INTRODUCTION From this case, it can be seen that Agung Podomoro's uncertainty in paying off his debt will result in a cost of debt originating 115 Diana Fajarwati from debt loans that are still a burden to PT Agung Podomoro Land Tbk when the loan cannot be repaid within the specified timeframe which will result in an even greater cost of debt. There are various factors that affect the cost of debt, including tax avoidance, company size, and good corporate governance (Bela & Utama, 2019; Putra & Aryanti, 2021). In assessing the risks and benefits of corporate tax avoidance it is felt to be more accurately assessed by the cost of debt because banks usually have long-term relationships with borrowing companies and have access to exclusive corporate information. So from that it can be seen that there is a relationship between tax avoidance and the cost of debt in the company. Research on tax avoidance on the cost of debt has been carried out by Rahmawati, (2015) dan Romadani,( 2019). The results show that tax avoidance has a positive effect on the cost of debt. Meanwhile, different results were shown by the research conducted Sherly & Fitria, (2016),Wardani & Rumahorbo, (2018), dan Syofyan, (2019) which shows that tax avoidance has a negative effect on the cost of debt. One of the indicators used by investors in assessing the company's assets and performance is company size. The size of a company can be seen from the total assets, total sales (netsales) owned by the company Sudarmadji and Sularto, (2007) in Meiriasari, (2017). The larger the company, the greater the total assets owned. Large company sizes will find it easier to gain investor confidence in terms of capital loans because the greater the total assets owned by a company, the greater the possibility of providing returns. Research conducted by Ashkhabi & Agustina, (2015) shows that company size has a positive effect on the cost of debt. While research conducted by Wardani & Rumahorbo, (2018) shows that the size of the company has no effect on the cost of debt. To assess whether the implementation of good corporate governance in good companies requires proxies that are directly related to company managers, therefore this study uses four proxies such as institutional ownership, managerial ownership, independent commissioners, and audit committees which are proxies in companies that directly manage companies. The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt INTRODUCTION when every decision to be taken by management will be monitored and assessed by the four proxies to achieve the goals of good corporate 116 Diana Fajarwati governance itself (Aliyah & Nahar, 2012; Finarti & Putra, 2015). There are several research results on the effect of good corporate governance on the cost of debt. In research conducted by Rahmawati, (2015) states that the board of independent commissioners has a positive effect on the cost of debt, but in research conducted by Romadani, (2019) negative effect. Meanwhile, corporate governance is proxied by managerial ownership from the results of research conducted by Wardani & Rumahorbo, (2018) that managerial ownership has a positive effect on the cost of debt. In contrast to the results of the study Ashkhabi & Agustina, (2015) that managerial ownership has no effect on the cost of debt. In the research conducted. Sutarti et al., (2016) states that the audit committee has a positive effect on the cost of debt, but in research conducted by (Rahmawati, 2015) inversely proportional to the negative effect on the cost of debt. And the most recent research conducted by Romadani, (2019) states that institutional ownership has a negative and significant effect on the cost of debt. From previous studies it can be seen that there are still many differences in the results obtained, this can occur due to differences in the samples and methods used in measuring each variable. The inconsistency of the results of this study made researchers interested in raising the topic of the cost of debt by using tax avoidance, company size, and good corporate governance as independent variables. The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt RESEARCH METHOD This study uses a quantitative method obtained from annual reports of property, real estate and building construction companies listed on the Indonesia Stock Exchange (IDX) from 2019 to 2021. The data source in this study was obtained from the Indonesian Stock Exchange (IDX) website namely www.idx.co.id and also obtained from the company's website, which is in the form of annual financial reports issued and listed on the Indonesia Stock Exchange. The population of this study are property, real estate and building construction companies listed on the Indonesia Stock Exchange (IDX) from 2019 to 2021, namely 80 companies. While the selection of this The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt 117 Diana Fajarwati research sample using purposive sampling method (Darmawan, 2013). Table 1 below presents the sample selection criteria used in this study: Table 1. Sample Selection Criteria Sample Selection Criteria Amount Property, real estate and building construction companies listed on the IDX in 2021 80 Property, real estate and building construction companies listed after 2019 (4) Property, real estate and building construction companies delisted in 2019-2021 (1) Companies that publish complete annual reports (9) Companies that publish financial statements as of December 31 and financial statements are presented in Rupiah 0 The financial reports have the data needed in research for the 3 year period 2019-2021 (21) The company did not suffer losses during the study period (19) Total Research Sample 26 Total Research Observations for 2019-2021 78 Table 1. Sample Selection Criteria Sample Selection Criteria Amount Property, real estate and building construction companies listed on the IDX in 2021 80 Property, real estate and building construction companies listed after 2019 (4) Property, real estate and building construction companies delisted in 2019-2021 (1) Companies that publish complete annual reports (9) Companies that publish financial statements as of December 31 and financial statements are presented in Rupiah 0 The financial reports have the data needed in research for the 3 year period 2019-2021 (21) The company did not suffer losses during the study period (19) Total Research Sample 26 Total Research Observations for 2019-2021 78 Based on table 1, a sample of 26 companies was obtained from property, real estate and building construction companies. With 3 consecutive years of observation, a total sample of 78 was obtained, obtained from 26 companies multiplied by 3 years of observation. The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt RESEARCH METHOD The sample was selected because it met all the criteria set out in this study. This study uses a descriptive analysis test with multiple linear regression analysis techniques. This study uses a hypothesis test which consists of a coefficient of determination test, f test and t test (Sugiyono, 2018). The following is the framework for this research : 118 Diana Fajarwati Picture 1. Research Framework Picture 1. Research Framework Based on Picture 1, the research framework shows the effect of tax avoidance, firm size, institutional ownership, managerial ownership, independent commissioners and audit committees on the cost of debt by testing the following hypotheses. Based on Picture 1, the research framework shows the effect of tax avoidance, firm size, institutional ownership, managerial ownership, independent commissioners and audit committees on the cost of debt by testing the following hypotheses. H1: Tax Avoidance has a positive effect on the Cost Of Debt H2: Company Size has a negative effect on the Cost Of Debt H3: Institutional Ownership has a negative effect on the Cost Of Debt H4: Managerial Ownership has a negative effect on the Cost Of Debt H5: Independent Commissioners have a negative effect on the Cost Of Debt H6: The Audit Committee has a negative effect on the Cost Of Debt firm size, institutional ownership, managerial ownership, independent commiss and audit committees on the cost of debt by testing the following hypotheses. H1: Tax Avoidance has a positive effect on the Cost Of Debt H2: Company Size has a negative effect on the Cost Of Debt H3: Institutional Ownership has a negative effect on the Cost Of Debt H4: Managerial Ownership has a negative effect on the Cost Of Debt H5: Independent Commissioners have a negative effect on the Cost Of Debt H6: The Audit Committee has a negative effect on the Cost Of Debt RESULTS & DISCUSSION Multiple Linear Regression Analysis = 0,920 -0,103 CETR + 0,009 SIZE - 0,173 KI - 0,118 KM - 0,414 DKI - 0,167 KA Y = 0,920 -0,103 CETR + 0,009 SIZE - 0,173 KI - 0,118 KM - 0,414 DKI - 0,167 KA The coefficients of the multiple linear regression equation above can be interpreted as a regression coefficient for a constant of 0.920 indicating that if the variables of tax avoidance, company size, institutional ownership, managerial ownership, independent board of commissioners, and audit committee are zero then the value of th t f d bt i 0 920 it independent board of commissioners, and audit committee are zero then the value of the cost of debt is 0.920 units. Multiple Linear Regression Analysis Multiple linear regression analysis is also called an analysis that has more than one independent variable. This technique is used to determine whether there is a significant influence between two or more independent variables (X) on the dependent variable (Y). The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt Table 2. Multiple Linear Regression Test Results Coefficientsa Model Unstandardized Coefficients Standardized Coefficients T Sig. B Std. Error Beta 1 (Constant) ,920 ,390 2,360 ,021 Table 2. Multiple Linear Regression Test Results The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt Table 2. Multiple Linear Regression Test Results Coefficientsa Model Unstandardized Coefficients Standardized Coefficients T Sig. B Std. Error Beta 1 (Constant) ,920 ,390 2,360 ,021 The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt 119 Diana Fajarwati CETR -,103 ,038 -,255 -2,688 ,009 SIZE ,009 ,073 ,013 ,123 ,903 KI -,173 ,055 -,345 -3,135 ,002 KM -,118 ,049 -,253 -2,422 ,018 DKI -,414 ,157 -,256 -2,641 ,010 KA -,167 ,068 -,288 -2,459 ,016 a. Dependent Variable: COD Based on table 2, a regression equation can be formulated to determine the effect of tax avoidance, firm size, institutional ownership, managerial ownership, independent board of commissioners, and audit committee on the cost of debt as follows: Hypothesis Testing Table 3. Determination Coefficient Test Results (R2) Model Summaryb Model R R Square Adjusted R Square Std. Error of the Estimate 1 ,590a ,348 ,293 ,0428715 a. Predictors: (Constant) CETR, SIZE, KI, , KM DKI ,KA b. Dependent Variable: COD Table 3. Determination Coefficient Test Results (R2) Based on table 3 shows the value of the coefficient of determination is located in the Adjusted R-Square column. It is known that the coefficient of determination is 𝑅2 = 0.293. This value means that all independent variables (tax evasion, company size, institutional ownership, managerial ownership, independent board of commissioners, and audit committees) affect the cost of debt variable by 29.3%, the remaining 70.7% is influenced by other factors . The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt Table 4. F Test Result ANOVAa Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt 120 Diana Fajarwati Model Sum of Squares Df Mean Square F Sig. 1 Regression ,070 6 ,012 6,311 ,000b Residual ,130 71 ,002 Total ,200 77 a. Dependent Variable: COD b. Predictors: (Constant), CETR, SIZE, KI, , KM DKI, KA The value of F table obtained by testing the degree of freedom (df) with the formula k(n-k), k in this study amounted to k=6 and n from this study amounted to n=78, so it can be seen that df in F table (6; 71) is 2, 23. Based on Table 4.9 above, a significance value of 0.000 <0.05 is obtained and the calculated F value is 6.311 > from the F table value of 2.23. The results prove that the independent variables in this study simultaneously or simultaneously have a significant effect on the variables dependent. Table 5. T-Test Result Table 5. T-Test Result Coefficientsa Model Unstandardized Coefficients Standardized Coefficients t Sig. B Std. Error Beta 1 (Constant) ,920 ,390 2,360 ,021 CETR -,103 ,038 -,255 -2,688 ,009 SIZE ,009 ,073 ,013 ,123 ,903 KI -,173 ,055 -,345 -3,135 ,002 KM -,118 ,049 -,253 -2,422 ,018 DKI -,414 ,157 -,256 -2,641 ,010 KA -,167 ,068 -,288 -2,459 ,016 a. The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt Hypothesis Testing Dependent Variable: COD The results obtained by the value of t table are obtained by the formula (0.05/2; n-k-1), n in this study is n = 78 and k in this study is k = 6. It can be seen in the t table (0.025; 71) of 1.666. 1. The CETR regression coefficient has a negative sign of -0.103 indicating that the variable tax avoidance has a significant negative effect on the COD of debt because it has a significant value (0.009) less than 0.05 with a calculated t value of 2.688 and t table of 1.666 where t count > t table, so that hypothesis 1 which he Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Deb 121 Diana Fajarwati states "tax avoidance has a positive effect on the cost of debt," is not supported or H1 is rejected. states "tax avoidance has a positive effect on the cost of debt," is not supported or H1 is rejected. states "tax avoidance has a positive effect on the cost of debt," is not supported or H1 is rejected. 2. The regression coefficient SIZE has a positive sign of 0.009 indicating that the variable tax avoidance has a positive effect on the COD and is not significant because it has a significant value (0.903) greater than 0.05 with a calculated t value of 0.123 and a t table of 1.666 where t count < t table so that hypothesis 2 which states "company size has a negative effect on the COD," is not supported or H2 is rejected. 2. The regression coefficient SIZE has a positive sign of 0.009 indicating that the variable tax avoidance has a positive effect on the COD and is not significant because it has a significant value (0.903) greater than 0.05 with a calculated t value of 0.123 and a t table of 1.666 where t count < t table so that hypothesis 2 which states "company size has a negative effect on the COD," is not supported or H2 is rejected. 3. Hypothesis Testing The KI regression coefficient is negative at -0.173 indicating that the institutional ownership variable has a negative effect on the COD of debt, and has a significant value (0.002) less than 0.05 with a t-value of 3.135 and a t-table of 1.666 where t count > t table, so that hypothesis 3 which states "institutional ownership has a negative effect on the cost of debt," is supported or H3 is accepted. 4. The KM regression coefficient has a negative sign of -0.118 indicating that the managerial ownership variable has a negative effect on the COD of debt, and has a significant value (0.018) less than 0.05 with a calculated t value of 2.422 and a t table of 1.666 where t count > t table, so that hypothesis 4 which states "managerial ownership has a negative effect on the COD of debt," is supported or H4 is accepted. The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt The Effect of Tax Avoidance on the Cost of Debt Based on the results of data processing that has been done, it can be seen from the results of testing the first hypothesis that tax evasion has a significant negative effect on the cost of debt. These results do not support the hypothesis which states that tax avoidance has a positive effect on the cost of debt, therefore H1 is rejected. Research conducted by Lim, (2011) in Sherly & Fitria, (2016) states that efforts to minimize taxes such as tax shelter and tax avoidance are substitutes for using debt. The research states that companies prefer to use other ways of tax avoidance (tax avoidance) to minimize taxes that will be remitted to the state compared to increasing the use of debt so that it will increase financial slack, companies prefer to reduce costs and risk of bankruptcy, improve credit quality due to the use of debt which is not high, the impact will reduce the cost of debt. With reduced risk, investors will also be more confident in investing their capital in companies, therefore companies are more likely to choose other, safer ways to avoid bankruptcy risk. Other tax avoidance besides the use of debt such as taking advantage of the loopholes in the tax law and will affect state revenue from the tax sector (Ardiansyah, 2016). or H4 is accepted. 5. DKI's regression coefficient has a negative sign of -0.414 indicating that the independent board of commissioners variable has a negative effect on the cost of debt, and has a significant value (0.10) less than 0.05 with a calculated t value of 2.641 and a t table of 1.666 where t count > t table, so that hypothesis 5 which states "the board of commissioners has a negative effect on the cost of debt," is supported or H5 is accepted. 6. The KA regression coefficient has a negative sign of -0.167 indicating that the audit committee variable has a negative effect on the COD, and has a significant value (0.016) less than 0.05 with a t-value of 2.459 and a t-table of 1.666 where t he Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Deb 122 Diana Fajarwati count > t table, so that hypothesis 6 which states "the audit committee has a negative effect on the cost of debt", is supported or H6 is accepted. The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt The Effect of Institutional Ownership on the Cost of Debt Based on the results of data processing that has been done, it can be seen the results of testing the third hypothesis that institutional ownership has a significant negative effect on the cost of debt. These results support the hypothesis which states that institutional ownership has a negative effect on the cost of debt, therefore H3 is accepted. Meiriasari, (2017) states that institutional investors are believed to have a better ability to monitor management's actions so as to encourage management to improve company performance. This is because institutional parties have greater incentives to carry out stricter oversight of management and company policies. In other words, the greater the level of institutional ownership, the more effective the control mechanism is on management performance because institutions do not want management to make decisions that are can increase business risk which of course this has an impact on the smaller the cost of debt borne by the company because the cost of debt arising from the loan will decrease and the return desired by creditors will also be lower along with the increase in company performance so that it will minimize the risk business risk to the company (Putri, 2017). The Effect of Company Size on the Cost of Debt Based on the results of data processing that has been done, it can be seen from the results of testing the second hypothesis that company size has no effect on the cost of debt. These results do not support the hypothesis which states that firm size has a negative effect on the cost of debt, therefore H2 is rejected. Fauzi, (2017) in Syofyan, (2019) states that company size does not have an effect on debt policy because large companies tend to have large assets, so that in decision-making policies funding sources prefer to use retained earnings compared to loans that will incur a cost of debt and business risk for the company. In the sample research used, property, real estate, and building construction companies are capital-intensive companies that tend to have large assets, so they prefer to use retained earnings rather than use debt, therefore he Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Deb 123 Diana Fajarwati company size does not affect the cost of debt because it tends to utilize assets that are owned by the company to reduce business risk (Komara & Sudarma, 2016). The Effect of Institutional Ownership on the Cost of Debt The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt The Influence of Independent Commissioners on Cost Of Debt Based on the results of data processing that has been done, it can be seen from the results of testing the fifth hypothesis that the board of independent commissioners has a significant negative effect on the cost of debt. These results support the hypothesis which states that managerial ownership has a negative effect on the cost of debt, therefore H5 is accepted. Piot, (2007) in Wibowo & Nugrahati, (2012) states that with a large proportion of independent commissioners, management performance can be relied upon. Users of financial statements, including creditors, will trust the company more. When a company is in debt, the cost of debt borne by the company is small compared to companies that have a small proportion of independent commissioners. Based on an agency perspective, the monitoring function is crucial in limiting agent opportunistic actions and reducing agency costs. Related to the supervisory and advisory functions, the board of commissioners will be able to carry out its functions better, so that agency costs will decrease. With the oversight function of the independent board of commissioners that will strictly control opportunistic behavior from management who will take policies that will benefit without considering the risks that will be obtained by the company, so that the board of commissioners will control how management will make decisions in terms of safer funding and not at high risk, thus the level of cost of debt owned by the company will decrease (Herawati, 2019). The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt The Effect of Managerial Ownership on the Cost of Debt Based on the results of data processing that has been done, it can be seen the results of testing the fourth hypothesis that managerial ownership has a significant negative effect on the cost of debt. These results support the hypothesis which states that managerial ownership has a negative effect on the cost of debt, therefore H4 is accepted. Juniarti & Sentosa, (2009) states that with managerial share ownership, management tries to improve company performance so that the company's risk is smaller/lower in the eyes of creditors. So that management will prefer to determine policies without causing business risks that will only benefit shareholders regardless of the risks to be borne, therefore management will prefer to seek funding sources that are safer and do not contain risks such as debt and will also further improve company he Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Deb 124 Diana Fajarwati performance so that the return that will be demanded by creditors will be low thereby reducing the level of cost of debt in the company (Prihastini & Fidiana, 2019). The Influence of Independent Commissioners on Cost Of Debt reducing the level of cost of debt in the company (Prihastini & Fidiana, 2019). The Influence of Independent Commissioners on Cost Of Debt The Influence of the Audit Committee on the Cost of Debt Based on the results of data processing that has been done, it can be seen from the results of testing the sixth hypothesis that the audit committee has a significant negative effect on the cost of debt. These results support the hypothesis which states that the audit committee has a negative effect on the cost of debt, therefore H6 is accepted. Rahmawati, (2015) states that the audit committee has a negative effect on the cost of debt because the same is the case with other good corporate governance functions. finances will also be very tight so that it will reduce opportunistic 125 Diana Fajarwati management actions in determining policies. Because in funding sources the use of debt will raise a cost of debt which has a risk for the sustainability of the company, therefore supervision is needed from the audit committee where management must find other ways in terms of safer funding sources. Policies taken by management should have a low level of risk and not solely for the benefit of one party, so that the company's financial policy decisions to be taken in terms of funding are better not high risk in other ways than the use of debt which will create risks by thus the level of cost of debt owned by the company will decrease (Juniarti & Sentosa, 2009). CONCLUSION Based on the results of the research and discussion it can be concluded that tax avoidance has a negative and negative and significant effect on the cost of debt. Company size has no effect on the cost of debt. Institutional ownership has a negative and significant effect on the cost of debt. 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(2019). Pengaruh Penghindaran Pajak dan Good Corporate Governance Terhadap Cost Of Debt: Studi Empiris Pada Perusahaan di Indonesia. Skripsi.Fakultas Ekonomi.Universitas Islam Indonesia: Yogyakarta. Sherly, E. N., & Fitria, D. (2016). Pengaruh Penghindaran Pajak, Kepemilikan Institusional, dan Profitabilitas terhadap Biaya Hutang (Studi Empiris Pada Perusahaan Manufaktur Yang Terdaftar Di BEI Periode 2011‐2015). Program Studi Akuntansi Ekonomi .Universitas Muhammadiyah: Bengkulu, 58–69. Sugiyono. (2018). Metode Penelitian Kuantitatif dan Kualitatif dan R&D. Alfabeta Bandung. Sutarti, D. T., Andini, R., & Pranaditya, A. (2016). Pengaruh Tata Kelola Perusahaan dan Penghindaran Pajak Terhadap Biaya Hutang dengan Kepemilikan The Effect of Tax Avoidance, Company Size, and Good Corporate Governance on the Cost of Debt 128 Diana Fajarwati Diana Fajarwati Institusional Sebagai Variabel Moderating. Jurnal. Fakultas Ekonomika Dan Bisnis. Universitas Pandanaran : Semarang, 1–34. Syofyan, A. (2019). Pengaruh Tax Avoidance, Kepemilikan Institusional, dan Ukuran Perusahaan Terhadap Cost Of Debt (Studi Empiris Pada Perusahaan Manufaktur Sub Aneka Industri Yang Terdaftar di BEI Periode 2014-2018) ”. Skripsi.Fakultas Ekonomi Dan Ilmu Sosial. Universitas Islam Negeri Sultan Syarif Kasim: Riau. Wardani, D. K., & Rumahorbo, H. D. S. (2018). Pengaruh penghindaran pajak, tata kelola dan karakteristik perusahaan terhadap biaya hutang. Jurnal Akuntansi, 6(2), 180–193. https://doi.org/10.24964/ja.v6i2.691 Wibowo, P. F., & Nugrahati, Y. W. (2012). Pengaruh Mekanisme Corporate Governance Terhadap Biaya Hutang. Jurnal Akuntansi Dan Keuangan, 2012, 1– 25. 129
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Comparison of the KonRad IMRT and XiO treatment planning systems
Journal of applied clinical medical physics
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JOURNAL OF APPLIED CLINICAL MEDICAL PHYSICS, VOLUME 9, NUMBER 3, SUMMER 2008 JOURNAL OF APPLIED CLINICAL MEDICAL PHYSICS, VOLUME 9, NUMBER 3, SUMMER 2008 Comparison of the KonRad IMRT and XiO treatment planning systems Bodo Reitz,1, 2,a and Moyed Miften1, 2 Department of Radiation Oncology,1 Allegheny General Hospital, and Drexel University College of Medicine,2 Allegheny Campus, Pittsburgh, Pennsylvania, USA breitz@wpahs.org Received 9 October 2007; accepted 27 March 2008 Reducing the treatment time for IMRT patients is highly desirable. The objective of this work was to evaluate the new clinical Siemens KonRad inverse treatment plan- ning system (TPS) and compare it to the CMS XiO TPS with special emphasis on the segmentation efficiency. For head and neck, liver and prostate cancer patients, step-and-shoot IMRT plans were designed using both CMS XiO and Siemens KonRad TPS. Number, direction and energy of beams used were the same in the plans from both systems for each treatment site. The plans were optimized to achieve the same clinical objectives concerning dose to the target volume and to the rel- evant organs-at-risk (OARs). The number of intensity levels were minimized until the clinical objectives could not be achieved anymore. Dose-volume histograms (DVHs), mean and maximum doses were compared, as well as the number of beam segments and monitor units (MUs). The beams of each plan were delivered indi- vidually on a MapCheck device to verify the agreement between calculations and measurements to be less than 3%-3 mm distance-to-agreement. Plans optimized with KonRad resulted in fewer segments and lower number of MUs and therefore reduced delivery time on average by 28% or 3.6 min, while achieving similar dose distributions. CMS XiO plans exhibited a slightly steeper dose fall-off outside the target volumes; however the difference was not clinically significant. DVHs to OARs were comparable. All calculated dose distributions passed the 3%-3 mm verification check. Key words: TPS, IMRT, Segmentation, QA Key words: TPS, IMRT, Segmentation, QA PACS numbers: 87.55.D PACS numbers: 87.55.D a Corresponding author: Bodo Reitz, Department of Radiation Oncology, Allegheny General Hospital, Pittsburgh, Pennsylvania 15212, USA; phone: 412-359-3661; fax: 412-359-3981;email: breitz@wpahs.org I. INTRODUCTION Intensity modulated radiation therapy (IMRT) delivers increasingly conformal radiation fields to tumors with sharp dose-gradients around the target volume while allowing better sparing of healthy tissue. In the static or step-and-shoot IMRT approach each IMRT field is composed of several overlaying segments with different weights and shapes, designed by the segmentation algorithm of the treatment planning system. The fields of each segment are shaped by the multi-leaf collima- tor (MLC) and delivered sequentially. The MLC leaves stay stationary while the beam is turned on, and only move to reshape between the segments, while the beam is turned off. As compared to 3D conformal radiation therapy, the treatment time to deliver a similar dose is typically longer. Because the field is composed of smaller segments the total number of monitor units (MUs) is larger, and more importantly the time for moving the MLC leaves and subsequent need for record and verify cycles add a significant overhead to the total treatment time. Therefore, reducing the number of beam segments and MUs is a prerequisite for shortening the delivery time of step-and-shoot IMRT 122 122 Reitz and Miften: Comparison of KonRad and XiO 123 123 plans. Considering that cancer patients may have difficulties lying on the treatment couch for long periods of time during the radiation delivery, shortening the IMRT treatment time is highly desir- able. It decreases the risk that patients involuntarily move during the radiation therapy delivery. It also minimizes the risk of decreased tumor cell killing potentially associated with fraction delivery times in the range of 15–45 min.(1-4) Several leaf sequencing algorithms have been discussed and compared in the literature.(5-14) Recently Siemens Medical Solutions released a new version of its KonRad IMRT (Siemens Medical Solutions, Concord, CA) treatment planning system,(15) and received 510k approval for its clinical use in the U.S. from the Food and Drugs Administration (FDA). The objective of this work was to evaluate the clinical KonRad treatment planning system, with emphasis on the efficiency of the sequencing algorithm. The agreement between calculated and measured dose distributions was another objective of this work. The CMS XiO treatment planning system (CMS Inc., St. Louis, MO) was chosen as a baseline of all comparisons for this evaluation. II. METHODS Six cancer patients, including two head and neck (H&N), one liver and three prostate cases, were selected for this study. For the first H&N case (HN1), a dose of 70 Gy in 35 fractions was prescribed to the primary planning target volume (PTV70). Additionally three other PTVs were treated with prescription doses of 65.8 Gy (PTV65.8), 63 Gy (PTV63), and 57.8 Gy (PTV57.8), respectively. The treatment prescription also included limitations on the mean or maximum doses to the optic chiasm (Dmax <4 5 Gy), brainstem (Dmax < 50 Gy), oral cavity (Dmean< 40 Gy), mandible (Dmean < 55 Gy), left and right parotid (Dmean < 26 Gy and < 30 Gy, respectively), esophagus (Dmax < 60 Gy). For the second H&N case (HN2) three PTVs were defined with prescription doses of 62.4 Gy (PTV62.4), 57.6 Gy (PTV57.6) and 53.4 Gy (PTV53.4), respectively. 57.6 53.4 For the liver case (LI), a single PTV was delineated and received a dose of 50.4 Gy in 28 fractions. Organs at risk (OARs) included in the radiation prescription were the lungs (V20 < 10 %), heart (Dmax< 20 Gy), liver, small bowel and kidneys. For the last three organs, dose-volume histogram constraints were included in the prescription. For all three prostate cases (PR1, PR2, and PR3), the PTV received 77.4 Gy in 43 fractions. OARs for the prostate cases were rectum, bladder, and femoral heads. The clinical IMRT treatment plans were designed with the established XiO treatment planning system (Version 4.33.02). These plans were used as a baseline for a comparison with plans gener- ated by the new KonRad system (Version 2.2). All plans were designed as step-and-shoot IMRT plans for delivery on a Siemens Primus Accelerator with a 58 leaf MLC. On both systems, plans were optimized to achieve the same clinical objectives concerning target dose, target coverage and sparing OARs. Beam energy, as well as number and direction of beams (five beams for the prostate and liver cases, seven beams for the H&N cases) were identical. The cost or objective function F utilized by both treatment planning systems is based on physical constraints, namely dose and dose volume constraints – as opposed to biological con- straints such as tumor control probability (TCP), normal tissue complication probability (NTCP), or equivalent uniform dose (EUD). Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 II. METHODS Similarly the objective for a minimum dose constraint has the form: with (6) gk (Di) = 0 for Di > D0 , (7) gk (Di) = m− (Di − D0) for D0 > Di > Dmax, (8) gk (Di) = m− (Di − D0) + (Di − Dmax)λ for Di < Dmax, (9) ∑ = = k M i i k k k k D g M F 1 ) ( ν (6) gk (Di) = 0 for Di > D0 , (7) (7) gk (Di) = m− (Di − D0) for D0 > Di > Dmax, (8) for D0 > Di > Dmax, (8) gk (Di) = m− (Di − D0) + (Di − Dmax)λ for Di < Dmax, (9) (9) where D0 is again the desired or goal dose, Dmin the minimum dose, wk the importance weight, m- the linear penalty and λ the penalty power. In addition to minimum and maximum dose con- straints both treatment planning systems allow the use of dose volume constraints based on the work of Bortfeld et al.(16) Although the general form of the objective function is similar in both systems, the implementa- tion differs in some details. KonRad uses only a quadratic penalty; the linear penalty is not implemented. Therefore the parameters m-, m+, and D0 are not used, and the penalty powers λ and Λ are set to 2. In XiO the penalty powers λ and Λ are user selectable with values between 2 and 5. The desired dose D0 for OARs, and 1/2 (Dmax + Dmin) for target volumes. Both systems require the use of a combination of minimum and maximum dose constraints for target volumes, and maximum dose constraints or dose volume constraints for OARs. For the final dose calculation in XiO the superposition algorithm(17) was used. To ensure a correct calculation of the scatter dose, the manufacturer suggests using 2 mm voxel spacing for the optimization and dose calculation. The optimizer minimizes the cost function F using a conjugate gradient optimization algorithm, which is a special type of gradient descent optimization algo- rithm.(18, 19) The optimization process ends, after a user defined number of iterations is exceeded or when the cost function converges to the solution. The convergence criterion requires the differ- ence in the cost function for two consecutive iterations to fall below a user selectable threshold. II. METHODS The cost function has the general form: (1) with K the number of objectives and Fk the subcost for an objective k. KonRad and XiO both utilize dose objectives for targets and OARs. The subcost function for a maximum dose constraint has the form: with K the number of objectives and Fk the subcost for an objective k. KonRad and XiO both utilize dose objectives for targets and OARs. The subcost function for a maximum dose constraint has the form: Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 4 Reitz and Miften: Comparison of KonRad and XiO 124 124 with (2) gk (Di) = 0 for Di < D0 , (3) gk (Di) = m+ (Di − D0) for D0 < Di < Dmax’ (4) gk (Di) = m+ (Di −D0) + (Di −D )Λ for Di >D , (5) ∑ = = k M i i k k k k D g M F 1 ) ( ν with (2) gk (Di) = 0 for Di < D0 , (3) ∑ = = k M i i k k k k D g M F 1 ) ( ν with (2) gk (Di) = 0 for Di < D0 , (3) gk (Di) = m+ (Di − D0) for D0 < Di < Dmax’ (4) Λ ∑ = = k M i i k k k k D g M F 1 ) ( ν with with with (2) gk (Di) = 0 for Di < D0 , (3) ∑ = i i k k k M 1 gk (Di) = 0 for Di < D0 , (3) gk (Di) = m+ (Di − D0) for D0 < Di < Dmax’ (4) gk (Di) = m+ (Di − D0) gk (Di) = m+ (Di − D0) + (Di − Dmax)Λ for Di > Dmax, (5) (5) where D0 is the desired or goal dose, Dmax the maximum dose, Vk is the importance weight, Mk is the number of voxels in the structure for objective k, m+ is the linear penalty, and Λ is the penalty power. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Reitz and Miften: Comparison of KonRad and XiO KonRad employs a pencil beam algorithm with three decomposed pencil beam kernels for the dose calculation.(20) Tongue and grove effects are accounted for, following the methods described by Webb et al.(21) The optimal voxel spacing according to the manufacturer is 1√3 times the leaf width. For the Siemens 58 leaf MLC with a leaf size of 1 cm, a dose grid size of 4 mm was employed. The objective function is minimized using a scaled gradient projection algorithm until the differ- ence in the objective function between two consecutive steps is less than 0.1 % or until a finite number (99) of iterations have been performed. While there are many similarities between the XiO and KonRad TPS in the optimization process, there are important differences as well. Specifically, after optimization constraints or sequencer settings have been changed, KonRad starts the optimization process based on the last iteration prior to the change, whereas XiO resets the fluence map and starts from the beginning. Another important difference is the capability of KonRad to apply the sequencing algorithm for each iteration of the optimization. XiO, on the other hand, only performs the beam segmentation during the final stage of the optimization. Furthermore, KonRad can use a median filter to smooth the fluence map, which reduces the number of beam segments.(22) All KonRad plans discussed in this work use a 2D median filter with a size of 3 × 3 pixels to remove peaks in the fluence map. It should be noted that the clinically prescribed objectives do not have the same numerical values as the corresponding parameters for the objectives in the cost function of the treatment system. The clinical objectives were used as a guideline, but during the design of the treatment plans the parameters Dmax, Dmin, ωk, and Vk, and in the case of XiO the power penalties λ and Λ, were tuned individually for each organ and for each of the six plans to obtain the best treatment plan. Both systems allow the user to choose the number of intensity levels for the discretization of the fluence map needed for the beam segmentation. The number of intensity levels was manually minimized by optimizing and reviewing the plans using different values for that parameter. The plan with the fewest intensity levels and therefore the fewest numbers of segments, which meet all clinical objectives, was selected for further evaluation in this study. Reitz and Miften: Comparison of KonRad and XiO The minimization was per- formed independently for all 6 plans. Dose-volume histograms (DVHs) for clinical target volume (CTV), planning target volume (PTV) and the relevant OARs as well as dosimetric indices, equiva- lent uniform dose (EUD), mean dose and maximum dose, were calculated and compared. The KonRad and XiO TPSs do not provide means to calculate EUD, therefore it was calculated with external MatLab programs only after the plans were finished and exported. p g y p p Both treatment planning systems allow for the design of verification plans by applying the optimized MLC sequence onto a phantom. A MapCheck device (Sun Nuclear, Melbourne, FL) was used for that purpose. The MapCheck device consists of a 2-dimensional array of 445 photo diodes housed between two layers of acrylic. Each diode has an active area of 0.8 × 0.8 mm. The diodes are distributed over a square area of 22 × 22 cm. The detector spacing is 7 mm in the inner region of the detector and 14 mm in the outer. The device includes a 2 g/cm3 layer of acrylic for build-up and 2 g/cm3 for backscatter. Additionally 2 g/cm3 of solid water were placed on top of the detector. Therefore, the measurements for dose verification were all done at an effective water equivalent depth of 4 cm, both for 6 and 18 MV photon beams. The dose distribution at 4 cm depth was calculated by the TPS for each field of the six plans and exported to the MapCheck software. The verification plans were generated and the beams from each plan were delivered individually on the MapCheck device using a Siemens Primus linear accelerator. The maximum available dose rate of 300 MU/min for 6 MV and 500 MU/min for 18 MV photon beams was used. The MapCheck software was used to analyze and compare delivered and calculated dose distributions. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 II. METHODS The segmentation of the fluence map into an MLC sequence is only started after the optimization is finished. The segmentation algorithm uses the sliding window technique with the number of intensity levels being selectable by the user. In the last stage, the beam weights are re-optimized. 125 125 Reitz and Miften: Comparison of KonRad and XiO III. RESULTS Fig. 1 compares the dose distribution obtained from the two systems for the head and neck cases HN1 and HN2. The dose distributions are shown as a color wash overlaid on the transverse CT slice through the isocenter. The results from KonRad are shown in the left column, the results from Reitz and Miften: Comparison of KonRad and XiO 126 126 XiO in the middle column, while dose difference maps are shown in the right column. The beam directions are indicated in yellow. The top row shows the case HN1. The contours of PTV70, PTV65.8, PTV63, and PTV57.8 are shown in red, green, blue, and cyan, respectively. The dose distri- butions from both TPS are similar with minor differences. Qualitatively both plans achieve similar coverage of the PTVs. The XiO plan appears to be slightly more conformal. On the other hand the dose distribution generated by the KonRad plan yields lower doses to unspecified tissue and OARs located away from the PTVs. Qualitatively such results were similar in the second H&N case (second row), in the liver case (Fig. 2) and in the three prostate cases (Fig. 3). The dose difference maps of cases LI, and PR1-3 demonstrate that although the integral dose distribution is very similar, the relative beam weights of the five fields can be different depending on the treatment planning system. A comparison of the DVHs yields a more quantitative result than the qualitative comparison of the dose distribution itself. Fig. 4 shows the DVHs for the PTV for cases HN1, HN2, LI and PR1 for both TPS. The DVHs for cases PR2 and PR3 would look similar to PR1. The KonRad results are displayed as solid lines, the XiO results as dashed lines. The prostate case PR1 is shown in blue, the liver case LI in green. For the head and neck case HN1 the DVH for PTV70 is shown in red, for case HN2 the DVH for PTV62.4 is shown in light blue. The XiO and KonRad plans achieved similar PTV coverage, exceeding the prescribed requirements on the dose coverage in each case. In all three cases, a slightly sharper dose fall-off of the XiO plans was noticed. III. RESULTS g y p p Table 1 shows the prescription dose, mean dose Dmean, the dose received by 98% of the volume D98, the equivalent uniform dose EUD and maximum dose Dmax to the PTVs for the XiO and KonRad plans. For the prostate and the liver cases the values for Dmean, Dmax and EUD are very similar FIG. 1. Beam arrangement and dose distribution for cases HN1 (top row) and HN2 (bottom row) from the KonRad (left column) and XiO (middle column) systems. The beam directions are indicated as yellow lines on a transverse CT slice through the isocenter. For HN1 the contours of PTV70, PTV65.8, PTV63, and PTV57.8 are shown in red, green, blue, and cyan. For case HN2 the contours of PTV62.4, PTV57.6, and PTV53.4 are shown in red, green, and blue. The dose distribution for the two plans is shown as a color wash overlay. The right column shows dose difference maps. The color wash ranges from +5 Gy in dark red to -5 Gy in dark blue, where positive numbers indicate a higher dose value in the XiO plan. FIG. 1. Beam arrangement and dose distribution for cases HN1 (top row) and HN2 (bottom row) from the KonRad (left column) and XiO (middle column) systems. The beam directions are indicated as yellow lines on a transverse CT slice through the isocenter. For HN1 the contours of PTV70, PTV65.8, PTV63, and PTV57.8 are shown in red, green, blue, and cyan. For case HN2 the contours of PTV62.4, PTV57.6, and PTV53.4 are shown in red, green, and blue. The dose distribution for the two plans is shown as a color wash overlay. The right column shows dose difference maps. The color wash ranges from +5 Gy in dark red to -5 Gy in dark blue, where positive numbers indicate a higher dose value in the XiO plan. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Reitz and Miften: Comparison of KonRad and XiO 127 127 FIG. 2. Beam arrangement and dose distribution of the liver case from the KonRad (left) and XiO (middle) systems. The beam directions are indicated as yellow lines on a transverse CT slice through the isocenter. III. RESULTS The contours of the PTV is shown in red, the contours of liver, kidneys and spinal cord in green, blue, and cyan, respectively. The dose distribution for the two plans is shown as a color wash overlay. The right panel shows the dose difference between the two plans FIG. 2. Beam arrangement and dose distribution of the liver case from the KonRad (left) and XiO (middle) systems. The beam directions are indicated as yellow lines on a transverse CT slice through the isocenter. The contours of the PTV is shown in red, the contours of liver, kidneys and spinal cord in green, blue, and cyan, respectively. The dose distribution for the two plans is shown as a color wash overlay. The right panel shows the dose difference between the two plans FIG. 3. Beam arrangement and dose distribution of the prostate cases PR1, PR2 and PR3 from the KonRad (left column) and XiO (middle column) systems as well as the dose difference between the two plans (right column). The beam directions are indicated as yellow lines on a transverse CT slice through the isocenter. The contours of the PTVs are shown in red, the left and right femoral heads in green and blue, and the rectum in cyan. The dose distribution for the two plans is shown as a color wash overlay. The right column shows the difference of the dose distributions. The color wash for the dose difference ranges from +5 Gy in dark red to -5 Gy in dark blue, where positive numbers indicate a higher dose value in the XiO plan. FIG. 3. Beam arrangement and dose distribution of the prostate cases PR1, PR2 and PR3 from the KonRad (left column) and XiO (middle column) systems as well as the dose difference between the two plans (right column). The beam directions are indicated as yellow lines on a transverse CT slice through the isocenter. The contours of the PTVs are shown in red, the left and right femoral heads in green and blue, and the rectum in cyan. The dose distribution for the two plans is shown as a color wash overlay. The right column shows the difference of the dose distributions. The color wash for the dose difference ranges from +5 Gy in dark red to -5 Gy in dark blue, where positive numbers indicate a higher dose value in the XiO plan. III. RESULTS Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Reitz and Miften: Comparison of KonRad and XiO 128 128 between the two systems, the differences being less than 1.0 Gy. The head and neck cases with different PTVs posed a larger challenge for both treatment planning systems. Still the mean doses to the PTVs differed by 1.1 Gy at most, with KonRad generating the higher values. This is also reflected in the higher values for Dmax of the KonRad plans. between the two systems, the differences being less than 1.0 Gy. The head and neck cases with different PTVs posed a larger challenge for both treatment planning systems. Still the mean doses to the PTVs differed by 1.1 Gy at most, with KonRad generating the higher values. This is also reflected in the higher values for Dmax of the KonRad plans. max For the liver and prostate plans, as well as for the PTVs with the two highest prescription doses in the head and neck examples, the EUD is almost as high as Dmean and both values are exceeding the prescription dose. This again illustrates that the plans from both systems achieve similar and good coverage. For cases HN1 and HN2, neither system could achieve as good coverage for the PTVs with the lower prescription doses compared to the primary PTV which was deemed more important by the physician. This is most obviously reflected in the EUD values for PTV63 and PTV57.8 for HN1 and PTV53.4 for HN2, which are below the prescription doses. In these two examples no plan could be found which would have provided better coverage of these targets without compromising the primary PTV coverage. Whereas the PTV coverage was very similar, the DVHs for OARs differed between the plans generated by the two systems. The upper panel of Fig. 5 shows DVHs for the left and right parotid, the mandible and the brainstem for patient HN1. The KonRad plan resulted in a better sparing of the mandible and the brainstem, whereas the XiO plans achieved a better sparing of the left parotid. The a smaller partial volume of the right parotid received doses above 25 Gy using the XiO plan, but a larger partial volume received doses between 10 and 15 Gy. III. RESULTS Case ID TPS Prescribed Dose Mean Dose D98 EUD Maximum Dose Tumor Site (Gy) (Gy) (Gy) (Gy) (Gy) HN1 KonRad 70.0 71.7 67.2 70.5 77.9 Head&Neck 65.8 66.5 59.7 62.2 72.9 63.0 64.6 56.4 53.4 76.1 57.8 59.3 52.4 25.1 74.9 XiO 70.0 71.0 67.0 70.7 75.7 65.8 66.2 63.1 65.6 70.9 63.0 63.5 50.5 29.0 71.5 57.8 60.3 55.8 43.4 72.9 HN2 KonRad 62.4 64.7 60.1 62.4 75.5 Head&Neck 57.6 60.9 57.0 60.1 66.3 53.4 56.1 51.3 48.87 67.3 XiO 62.4 63.9 61.0 63.7 68.7 57.6 60.1 57.0 59.9 64.9 53.4 55.5 51.3 54.7 66.7 LI1 KonRad 50.4 52.5 48.6 51.8 56.1 Liver XiO 50.4 52.5 47.2 51.5 56.5 PR1 KonRad 77.4 79.7 74.7 77.2 84.5 Prostate XiO 77.4 79.0 75.3 78.4 83.9 PR2 KonRad 77.4 79.4 76.2 79.0 82.9 Prostate XiO 77.4 80.4 77.1 80.0 83.5 PR3 KonRad 77.4 80.0 76.9 79.7 83.5 Prostate XiO 77.4 81.0 77.7 80.6 84.5 The results of the beam weight and beam segmentation optimization are shown in Table 2. The plans optimized using KonRad resulted in a reduced number of MUs (between 18% and 35%). With the exception of the first head and neck case (HN1), KonRad required fewer number of intensity levels than XiO. In all cases, the number of beam segments was reduced between 10% and 50% for the KonRad plans. The reduction of both the number of MUs and the number of segments led to shorter delivery times. The time savings of the KonRad plans ranged from 1.5 min for the third prostate case to over 5 minutes for case HN1. On average the time saving was 3.5 min or 28.6%. Table 3 shows the average number of MUs per segment, the number of MUs for the longest and shortest segments, as well as the size of the smallest and largest segment for the six plans. The most significant difference between the two systems was that the XiO plans consis- tently included segments with very small field sizes (< 1.5 cm2). The twelve plans generated by the two treatment planning systems were all deliverable. For the QA of the IMRT treatment plans, a coronal dose distribution at a depth of 4 cm was measured for each field separately. With an acceptance criteria of 3% dose difference, 3 mm distance-to-agree- ment and a 10% threshold per data point, the passing rate for all fields of all plans always exceeded 90%. III. RESULTS For patient HN2 the DVHs for the relevant OARs are shown in the bottom part of Fig. 5. In this case the KonRad plan showed improved sparing of all OARs. Fig. 6 shows a similar comparison of liver, kidney, and small bowel DVHs for the patient with liver cancer. The DVHs for both kidneys and for the small bowel only show minor differences, but the XiO plan achieved a slightly better sparing of the liver. The DVHs of left and right femoral heads, of the bladder and of the rectum for the prostate patients PR1, PR2 and PR3 are shown Fig. 7. The DVHs from the XiO plan are shown dashed, the ones from KonRad as solid lines. Concerning the femoral heads, KonRad achieved a superior sparing. The DVHs for rectum and bladder are clinically equivalent for both systems. For example for case PR1 the mean dose to the bladder is 52.9 Gy for both the XiO and the KonRad plan. The mean dose of the rectum is 52.7 Gy for the XiO plan compared to 52.9 Gy for the KonRad plan. FIG. 4. Comparison of the DVH for the PTV from the KonRad (solid) and XiO (dashed) systems. The prostate example PR1 is shown in blue, the head and neck cases HN1 and HN2 in red and light blue, and the liver case in green. Besides a slightly steeper dose fall-off of the XiO plans, the DVHs are similar. FIG. 4. Comparison of the DVH for the PTV from the KonRad (solid) and XiO (dashed) systems. The prostate example PR1 is shown in blue, the head and neck cases HN1 and HN2 in red and light blue, and the liver case in green. Besides a slightly steeper dose fall-off of the XiO plans, the DVHs are similar. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Reitz and Miften: Comparison of KonRad and XiO 129 129 TABLE 1. Comparison of the RT plans generated by the KonRad and XiO treatment planning systems and dosimetric outcome for the PTV. The three prostate and the liver cases had one PTV each, whereas in the head and neck examples several PTVs with different prescription doses were defined. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 III. RESULTS The passing rate for the KonRad plans was on average 3.1 percent points better than for the corresponding XiO plan. Table 4 summarizes the results of the MapCheck analysis. Fig. 8 shows the result for the AP field of the KonRad plan for the prostate case. On the left side the overlaid calculated and measured isodose lines are shown, and on the right side a profile of the dose distribution along the center of the field is shown, with the measured data points (circles) and the calculation (solid line). Reitz and Miften: Comparison of KonRad and XiO 130 130 130 FIG. 5. Comparison of DVHs for the relevant OARs of the cases HN1 (top) and HN2 (bottom). XiO plans are shown as dashed and KonRad as solid curves. FIG. 5. Comparison of DVHs for the relevant OARs of the cases HN1 (top) and HN2 (bottom). XiO plans are shown as dashed and KonRad as solid curves. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 FIG. 6. Comparison of DVHs for four OARs (liver, right and left kidneys, and small bowel) of the liver patient. XiO plans are shown as dashed and KonRad as solid curves. FIG. 6. Comparison of DVHs for four OARs (liver, right and left kidneys, and small bowel) of the liver patient. XiO plans are shown as dashed and KonRad as solid curves. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Miften: Comparison of KonRad and XiO ed Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 of DVHs for four OARs (right and left femoral head, rectum, and bla PR2 (middle) and PR3 (bottom). XiO plans are shown as dashed and Ko Reitz and Miften: Comparison of KonRad and XiO 131 131 131 131 Reitz and Miften: Comparison of KonRad and XiO 131 Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 FIG. 7. Comparison of DVHs for four OARs (right and left femoral head, rectum, and bladder) of the prostate examples PR1 (top), PR2 (middle) and PR3 (bottom). XiO plans are shown as dashed and KonRad as solid curves. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 FIG. 7. Comparison of DVHs for four OARs (right and left femoral head, rectum, and bladder) of the prostate examples PR1 (top), PR2 (middle) and PR3 (bottom). Reitz and Miften: Comparison of KonRad and XiO 132 TABLE 2. Comparison of the segmentation results and treatment times for KonRad and XiO treatment plans. Tumor Site TPS MU/fx Total Segments Intensity Levels Duration(sec) HN1 KonRad 788 117 10 966 XiO 1032 128 8 1283 HN2 KonRad 727 85 6 823 XiO 883 106 7 1008 LI1 KonRad 311 52 10 475 XiO 436 69 11 607 PR1 KonRad 348 49 10 453 XiO 535 82 12 724 PR2 KonRad 339 37 10 301 XiO 486 76 12 593 PR3 KonRad 314 45 10 361 XiO 427 55 9 452 TABLE 3. Detailed comparison of the segmentation results between the KonRad and the XiO systems for the six cases. Tumor Site TPS MU/Segment Shortest Longest Smallest Largest Segment (MU) Segment(MU) Segment(cm2) Segment (cm2) HN1 KonRad 6.7 4.0 24.0 2.0 15.1 XiO 8.1 5.0 23.0 1.2 14.1 HN2 KonRad 8.6 6.8 10.4 2.0 13.1 XiO 8.3 5.6 21.4 1.1 12.8 LI1 KonRad 6.0 5.0 15.0 1.6 9.3 XiO 6.3 5.0 13.0 1.0 8.8 PR1 KonRad 7.1 5.0 29.0 2.4 11.0 XiO 6.5 5.0 15.0 1.0 10.7 PR2 KonRad 9.2 5.4 33.8 2.4 7.9 XiO 6.4 4.9 13.5 1.0 7.9 PR3 KonRad 7.0 5.2 24.5 2.0 8.5 XiO 7.8 5.7 18.0 1.5 9.2 FIG. 8. Dose verification of the AP field for the prostate case. The left panel shows the dose distribution (isodose lines) calculated by the KonRad TPS together with the ones measured with the MapCheck device. The right panel shows the vertical profile of the dose distribution. The measured dose points are shown as yellow circles, the calculated dose profile as a solid line. For this field 202 out of 205 points passed the 3%/3mm acceptance criteria. TABLE 3. Detailed comparison of the segmentation results between the KonRad and the XiO systems for the six cases. Tumor Site TPS MU/Segment Shortest Longest Smallest Largest Segment (MU) Segment(MU) Segment(cm2) Segment (cm2) HN1 KonRad 6.7 4.0 24.0 2.0 15.1 XiO 8.1 5.0 23.0 1.2 14.1 HN2 KonRad 8.6 6.8 10.4 2.0 13.1 XiO 8.3 5.6 21.4 1.1 12.8 LI1 KonRad 6.0 5.0 15.0 1.6 9.3 XiO 6.3 5.0 13.0 1.0 8.8 PR1 KonRad 7.1 5.0 29.0 2.4 11.0 XiO 6.5 5.0 15.0 1.0 10.7 PR2 KonRad 9.2 5.4 33.8 2.4 7.9 XiO 6.4 4.9 13.5 1.0 7.9 PR3 KonRad 7.0 5.2 24.5 2.0 8.5 XiO 7.8 5.7 18.0 1.5 9.2 TABLE 3. III. RESULTS XiO plans are shown as dashed and KonRad as solid curves. FIG. 7. Comparison of DVHs for four OARs (right and left femoral head, rectum, and bladder) of the prostate examples PR1 (top), PR2 (middle) and PR3 (bottom). XiO plans are shown as dashed and KonRad as solid curves. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Reitz and Miften: Comparison of KonRad and XiO 132 IV. DISCUSSION For all six cases both the plans from KonRad and from XiO were determined to be clinically acceptable. The plans from the two different systems generated equivalent dose distributions. Especially the PTV coverage was very similar, which is reflected in similar values for the mean dose for the PTV. However differences concerning the PTV coverage between the two systems were noticed, although none of them was judged to be clinically significant: the DVHs for the PTVs of the XiO plans displayed a sharper dose fall-off and the maximum dose to the PTV was slightly higher using the KonRad plans. This was not caused by the reduced numbers of intensity levels in KonRad. Even increasing this parameter during optimization did not improve the dose fall-off or reduce the maximum dose. Potentially the smoothing of the fluence map with a median filter as well as the slightly larger voxel size within KonRad are possible explanations. However, since the difference was not clinically important, we did not explore this topic any further. Both systems achieve good target coverage for the primary target, however for the two more complicated head and neck cases HN1 and HN2 with multiple distinct targets of different prescrip- tion doses, neither system was able to achieve good coverage for the lower priority targets (PTV63 and PTV57.8 for HN1; PTV53.4 for HN2), which is reflected in the low EUD values, compared to the mean dose and prescription dose. It should be pointed out, that the EUD values were not available during the design of the treatment plan, because it can not be calculated by KonRad and XiO. Therefore, the quality of the coverage was judged based on the DVH, Dmean and D98. mean 98 The dose distribution outside the target volume of both systems differed in details; however by slight adjustments to the optimization constraints the differences were minimized. Generally, it was observed that KonRad achieved superior sparing of OARs located several cm away from the PTV. The femoral heads of the prostate patient are the prime example for this observation. On the other hand, for OAR in close proximity to the tumor, XiO is able to achieve a better sparing, as illustrated by the DVH of the liver in the case of the patient treated for liver cancer (case LI), where the PTV is embedded in the liver. Reitz and Miften: Comparison of KonRad and XiO 133 TABLE 4. Results of the dose verification of the twelve plans on the Sun Nuclear MapCheck device. The acceptance criteria demanded a dose difference less than 3% within 3 mm. With passing rates well above 90%, all plans were clinically acceptable. Tumor Site TPS Dose Points pass Dose Points failed Passing Rate HN1 KonRad 1721 46 97.4% XiO 1400 137 91.1% HN2 KonRad 1772 83 95.5% XiO 1883 187 91.0% LI1 KonRad 591 34 94.6% XiO 539 42 92.8% PR1 KonRad 895 6 99.3% XiO 859 26 97.1% PR2 KonRad 606 2 99.7% XiO 649 16 97.6% PR3 KonRad 670 3 99.6% XiO 771 17 97.8% Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Reitz and Miften: Comparison of KonRad and XiO Detailed comparison of the segmentation results between the KonRad and the XiO systems for the six cases. Detailed comparison of the segmentation results between the KonRad and the XiO systems for the six FIG. 8. Dose verification of the AP field for the prostate case. The left panel shows the dose distribution (isodose lines) calculated by the KonRad TPS together with the ones measured with the MapCheck device. The right panel shows the vertical profile of the dose distribution. The measured dose points are shown as yellow circles, the calculated dose profile as a solid line. For this field 202 out of 205 points passed the 3%/3mm acceptance criteria. FIG. 8. Dose verification of the AP field for the prostate case. The left panel shows the dose distribution (isodose lines) calculated by the KonRad TPS together with the ones measured with the MapCheck device. The right panel shows the vertical profile of the dose distribution. The measured dose points are shown as yellow circles, the calculated dose profile as a solid line. For this field 202 out of 205 points passed the 3%/3mm acceptance criteria. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 Reitz and Miften: Comparison of KonRad and XiO 133 V. CONCLUSION Treatment plans generated using the new Siemens KonRad treatment planning system were dosimetrically equivalent to plans generated with the established XiO system. The sequencing algorithm of KonRad was more efficient, reducing the number of beam segments and therefore delivery time on average by more than 25%. The dose verification with the MapCheck device did not reveal any significant difference in the quality of the plans concerning accuracy of the dose calculation or deliverability of the fields. ACKNOWLEDGEMENT This work was partially supported by Siemens Medical Solutions. IV. DISCUSSION In all six examples the segmentation using KonRad was more efficient, resulting in fewer seg- ments, fewer MUs and therefore shorter delivery times by up to 5 min, while achieving similar coverage of the PTV and a clinically equivalent sparing of the OARs. Unlike KonRad, XiO allows the user to manually change or remove segments after the optimization. Segments with small field sizes and small number of MUs could in principle be removed this way. However, because this method is labor intensive and because the intention of this work was to evaluate the implemented segmentation algorithm, such modifications were not included in our analysis. It was already Reitz and Miften: Comparison of KonRad and XiO 134 134 reported(23, 24) that the segmentation algorithm(11) implemented in KonRad, is one of the most efficient methods concerning the number of MUs. However, concerning the number of beam segments no such observation was made previously. Furthermore, segmentation algorithms in both systems rely on similar techniques. Therefore, the smaller numbers of beam segments using KonRad must probably be attributed in some extend to the smoothing of the fluence map before converting it into a MLC leaf sequence. The two systems employ different dose calculation engines. The pencil beam algorithm of KonRad is faster than the XiO superposition algorithm. This advantage is enhanced by the larger voxel size needed with KonRad for a Siemens 58 leave MLC, reducing the computing time even further. The dose calculation for the verification plans on a MapCheck device for both systems shows clinically fully satisfactory agreement between the calculated and the observed dose distri- butions. However it has to be noted that this method of evaluating the quality of the dose calculation is limited, because the MapCheck device basically represents a homogenous block of acrylic. Therefore, using the MapCheck system for the dose verification does not simulate an environment where inhomogeneity corrections would play an important role. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 REFERENCES 1. Sugie C, Shibamoto Y, Ito M, et al. Radiobiologic effect of intermittent radiation exposure in murine tumors. Int J Radiat Oncol Biol Phys. 2006;64(2):619-624. y ( ) 2. Paganetti H. Changes in tumor cell response due to prolonged dose delivery times in fractionated radiation therapy. Int J Radiat Oncol Biol Phys. 2005;63(3):892-900. 2. Paganetti H. Changes in tumor cell response due to prolonged dose delivery times in fractionated radiation therapy. Int J Radiat Oncol Biol Phys. 2005;63(3):892-900. py y ; ( ) 3. Shibamoto Y, Ito M, Sugie C, Ogino H, Hara M. Recovery from sublethal damage during intermittent exposures in cultured tumor cells: implications for dose modifications in radiosurgery and IMRT. Int J Radiat Oncol Biol Phys. 2004;59(5) 1484-1490. py y ( ) 3. Shibamoto Y, Ito M, Sugie C, Ogino H, Hara M. Recovery from sublethal damage during intermittent exposures in cultured tumor cells: implications for dose modifications in radiosurgery and IMRT. Int J Radiat Oncol Biol Phys. 2004;59(5) 1484-1490. y ; ( ) 4. Wang JZ, Li XA, D’Souza WD, Stewart RD. Impact of prolonged fraction delivery times on tumor control: a note of caution for intensity-modulated radiation therapy (IMRT). Int J Radiat Oncol Biol Phys. 2003;57(2):543-552. y ( ) 4. Wang JZ, Li XA, D’Souza WD, Stewart RD. Impact of prolonged fraction delivery times on tumor control: a note of caution for intensity-modulated radiation therapy (IMRT). Int J Radiat Oncol Biol Phys. 2003;57(2):543-552. 5. Luan S, Wang C, Chen DZ, et al. A new MLC segmentation algorithm/software for step-and-shoot IMRT delivery. Med Phys. 2004;31(4):695-707. 5. Luan S, Wang C, Chen DZ, et al. A new MLC segmentation algorithm/software for step-and-shoot IMRT delivery. Med Phys. 2004;31(4):695-707. 6. Siochi RAC. Modifications to the IMFAST leaf sequencing optimization algorithm. Med Phys. 2004;31(12):3267-3278. ( ) 7. Potter LD, Chang SX, Cullip TJ, Siochi AC. A quality and efficiency analysis of the IMFAST segmentation algorithm in head and neck “step & shoot” IMRT treatments. Med Phys. 2002;29(3):275-283. 7. Potter LD, Chang SX, Cullip TJ, Siochi AC. A quality and efficiency analysis of the IMFAST segmentation algorithm in head and neck “step & shoot” IMRT treatments. Med Phys. 2002;29(3):275-283. 8. Crooks SM, McAven LF, Robinson DF, Xing L. Minimizing delivery time and monitor units in static IMRT by leaf-sequencing. Phys Med Biol. 2002;47(17):3105-3116. 8. Crooks SM, McAven LF, Robinson DF, Xing L. Journal of Applied Clinical Medical Physics, Vol. 9, No. 3, Summer 2008 REFERENCES Minimizing delivery time and monitor units in static IMRT by leaf-sequencing. Phys Med Biol. 2002;47(17):3105-3116. y q g y ( ) 9. Bär W, Alber M, Nüsslin F. A variable fluence step clustering and segmentation algorithm for step and sho IMRT. Phys Med Biol. 2001;46(7):1997-2007. y q g y 9. Bär W, Alber M, Nüsslin F. A variable fluence step clustering and segmentation algorithm for step and shoot IMRT. Phys Med Biol. 2001;46(7):1997-2007. y 10. Que W. Comparison of algorithms for multileaf collimator field segmentation. Med Phys. 1999;26(11):2390-2396. 10. Que W. Comparison of algorithms for multileaf collimator field segmentation. Med Phys. 1999;26(11):2390-2396. Reitz and Miften: Comparison of KonRad and XiO Reitz and Miften: Comparison of KonRad and XiO 135 135 11. Bortfeld T, Kahler D, Waldron T, Boyer A. X-ray field compensation with multileaf collimators. Int J Radiat Oncol Biol Phys. 1994;28(3):723-730. y ( ) 12. Dai J, Zhu Y. Minimizing the number of segments in a delivery sequence for intensity-modulated radiation therapy with a multileaf collimator. Med Phys. 2001;28(10): 2113-2120. py y 13. Xia P, Verhey L. Multileaf collimator leaf sequencing algorithm for intensity modulated beams with multiple static segments. Med Phys. 1998;25(8):1424-1434. g y 14. Stein J, Bortfeld T, Dörschel B, Schlegel W. Dynamic X-ray compensation for conformal radiotherapy by means of multi-leaf collimation. Radiother Oncol. 1994;32(2):163-173. ; ( ) 15. Preiser K, Bortfeld T, Hartwig K, Schlegel W, Stein. A new program for inverse radiotherapy planning. Proceedings of the XIIth International Conference on the Use of Computers in Radiation Therapy. Madi- son, WI: Medical Physics Publishing; 1997:425-428. , y g; 16. Bortfeld T, Stein J, Preise K. Clinically relevant intensity modulation optimization using physical criteria. Proceedings of the XIIth International Conference on the Use of Computers in Radiation Therapy. Madi- son, WI: Medical Physics Publishing; 1997:1-4. , y g; 17. Miften M, Wiesmeyer M, Monthofer S, Krippner K. Implementation of FFT convolution and multigrid superposition models in the FOCUS RTP system. Phys Med Biol. 2000;45(4):817-833. Wright SJ. Numerical Optimization. New York (NY): Spring 18. Nocedal J, Wright SJ. Numerical Optimization. New Y 19. Press WH, Teukolsky SA, Vetterling WT, Flannery BP. Numerical Recipes in C++: The Art of Scientific Computing. 2nd ed. Cambridge (UK): Cambridge University Press; 2002. 20. Bortfeld T, Schlegel W, Rhein B. Decomposition of pencil beam kernels for fast dose calculations in three- dimensional treatment planning. Med Phys. 1993;20(2):311-318. p g y 21. Webb S, Bortfeld T, Stein J, Convery D. The effect of stair-step leaf transmission on the ‘tongue-and-groove problem’ in dynamic radiotherapy with a multileaf collimator. Phys Med Biol. 1997;42(3):595-602. p y py y 22. Kessen A, Grosser KH, Bortfeld T. Simplification of IMRT intensity maps by means of 1-D and 2-D median– filtering during the iterative calculation. Proceedings of the XIIIth International Conference on the Use of Computers in Radiation Therapy. Heidelberg, Germany: Medical Physics Publishing; 2000: 545-547. p py g y 23. Webb S. Configuration options for intensity modulated radiation th by a multileaf collimator. Phys Med Biol. 1998;43(2):241-260. 23. Webb S. Configuration options for intensity modulated radiation therapy using multiple static fields sh by a multileaf collimator. Reitz and Miften: Comparison of KonRad and XiO Phys Med Biol. 1998;43(2):241-260. 23. Webb S. Configuration options for intensity modulated radiation by a multileaf collimator. Phys Med Biol. 1998;43(2):241-260. 24. Kamath S, Sahni S, Li J, Palta J, Ranka S. Leaf sequencing algorithms for segmented multileaf collimation. Phys Med Biol. 2003;48(3):307-324.
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Supplementary Data from Intravesical VAX014 Synergizes with PD-L1 Blockade to Enhance Local and Systemic Control of Bladder Cancer
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Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a saline treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a saline treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a saline treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a VAX014 treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a VAX014 treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a VAX014 treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a PD-L1 monotherapy treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a PD-L1 monotherapy treated animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a combination treatment (VAX014 and PD- L1 blockade) animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a combination treatment (VAX014 and PD- L1 blockade) animal in the o.t./i.d. dual tumor model. Representative gating strategy and corresponding flow cytometry data for immune cell characterization of the distal i.d. tumor from a combination treatment (VAX014 and PD- L1 blockade) animal in the o.t./i.d. dual tumor model.
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Characteristics and interpretation of subgroup analyses based on tumour characteristics in randomised trials testing target-specific anticancer drugs: design of a systematic survey
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Strengths and limitations of this study Background  Target-­specific anticancer drugs are under rapid development. Little is known, however, about the risk of administering target-­specific drugs to patients who have tumours with molecular alterations or other characteristics that can make the drug ineffective or even harmful. An increasing number of randomised clinical trials (RCTs) investigating target-­specific anticancer drugs include subgroup analyses based on tumour characteristics. Such subgroup analyses have the potential to be more credible and influential than subgroup analyses based on traditional factors such as sex or tumour stage. In addition, they may more frequently lead to qualitative subgroup effects, that is, show benefit in one but harm in another subgroup of patients (eg, if the tumour characteristic makes the drug ineffective or even enhance tumour growth). If so, subgroup analyses based on tumour characteristics would be highly relevant for patient safety. The aim of this study is to systematically assess the frequency and characteristics of subgroup analyses based on tumour characteristics, the frequency of qualitative subgroup effects, their credibility, and the interpretations that investigators and guidelines developers report. Methods and analysis  We will perform a systematic survey of 433 RCTs testing the effect of target-­specific anticancer drugs. Teams of methodologically trained investigators and oncologists will identify eligible studies, extract relevant data and assess the credibility of putative subgroup effects using a recently developed formal instrument. We will systematically assess how trial investigators interpret apparent subgroup effects based on tumour characteristics and the extent to which they influence subsequent practice guidelines. Our results will provide empirical data characterising an increasingly used type of subgroup analysis in cancer trials and its potential impact on precision medicine to predict benefit or harm. ► ►We will use rigorous methodology including a sys- tematic search for oncology trials published in lead- ing journals, duplicate data extraction by a team involving both experienced methodologists and on- cologists, transparent documentation including the collection of verbatim quotes, and use of a formal instrument for assessing the credibility of claimed subgroup effects. ► ►Prepublication history and additional material for this paper are available online. To view these files, please visit the journal online (http://​dx.​doi.​ org/​10.​1136/​bmjopen-​2019-​ 034565). ► ►The systematic survey will specifically address subgroup claims based on tumour characteristics, which become increasingly relevant for decision making in an era of precision medicine. To cite: Schandelmaier S, Schmitt AM, Herbrand AK, et al. Characteristics and interpretation of subgroup analyses based on tumour characteristics in randomised trials testing target-­specific anticancer drugs: design of a systematic survey. BMJ Open 2020;10:e034565. doi:10.1136/ bmjopen-2019-034565 Strengths and limitations of this study ► ►Potential limitations include a small number of eli- gible subgroup claims based on tumour character- istics, suboptimal reporting of identified subgroup claims and lack of subgroup analysis plans. Received 07 October 2019 Revised 02 March 2020 Accepted 22 April 2020 Characteristics and interpretation of subgroup analyses based on tumour characteristics in randomised trials testing target-­specific anticancer drugs: design of a systematic survey Stefan Schandelmaier  ‍ ‍ ,1,2 Andreas M Schmitt,3 Amanda K Herbrand,3 Dominik Glinz,1 Hannah Ewald,4 Matthias Briel,1,2 Gordon H Guyatt,2,5 Lars G Hemkens,1 Benjamin Kasenda3,6 Stefan Schandelmaier  ‍ ‍ ,1,2 Andreas M Schmitt,3 Amanda K Herbrand,3 Dominik Glinz,1 Hannah Ewald,4 Matthias Briel,1,2 Gordon H Guyatt,2,5 Lars G Hemkens,1 Benjamin Kasenda3,6 To cite: Schandelmaier S, Schmitt AM, Herbrand AK, et al. Characteristics and interpretation of subgroup analyses based on tumour characteristics in randomised trials testing target-­specific anticancer drugs: design of a systematic survey. BMJ Open 2020;10:e034565. doi:10.1136/ bmjopen-2019-034565 Received 07 October 2019 Revised 02 March 2020 Accepted 22 April 2020 Open access Open access Protocol Characteristics and interpretation of subgroup analyses based on tumour characteristics in randomised trials testing target-­specific anticancer drugs: design of a systematic survey Stefan Schandelmaier  ‍ ‍ ,1,2 Andreas M Schmitt,3 Amanda K Herbrand,3 Dominik Glinz,1 Hannah Ewald,4 Matthias Briel,1,2 Gordon H Guyatt,2,5 Lars G Hemkens,1 Benjamin Kasenda3,6 Introduction (D) Corresponding randomised clinical trial in patients with lung cancer; the trial reports a subgroup analysis for outcome survival suggesting benefit in patients with EGFR deletion 19 but harm in patients with EGFR substitution Leu858Arg.6 benefit (HR: 0.78, 95% CI: 0.62 to 0.99), whereas patients with a mutation in one of the RAS genes seemed to have worse survival when treated with panitumumab (HR: 1.25, 95% CI: 1.02 to 1.55, figure 1B). A statistical test of interaction suggested that chance may not satisfactorily explain the observed subgroup difference (interaction p value=0.01). and spans several steps starting with an interaction of the drug with the target molecule, followed by a signalling cascade, leading to endpoints relevant for tumour growth such as proliferation or apoptosis. Alterations of the molecules involved in this mechanism have the potential to modify the effect of the drug. Anticancer treatments typically have side effectsand are judged acceptable under the assumption that the benefits will outweigh the side effects. Molecular alterations of the tumor could affect this net benefit and render the drug useless or even harmful for certain patients. Another RCT addressed afatinib, which also targets the EGFR pathway (figure 1C), in patients with lung cancer.6 The study included patients with a mutation in the EGFR gene, either deletion 19 or substitution Leu858Arg, genetic alterations that might modify the effect of afatinib. Patients with deletion 19 had a significant survival benefit (HR: 0.59, 95% CI: 0.45 to 0.77), whereas the effect in patients with substitution Leu858Arg suggested harm (HR: 1.25, 95% CI: 0.92 to 1.71, figure 1D).6 Chance was an even less likely explanation of the apparent subgroup effect than in the prior example (p=0.0003). Investigators of randomised clinical trials (RCTs) increasingly use subgroup analyses to explore effect modifications by tumour characteristics. Those include subgroup analyses based on specific molecular alterations (eg, certain BRAF mutations), and also more unspecific tumour characteristics such as measures of mutation burden (ie, composite variables of several alterations), tumour grade, or histological subtype. A recent survey of cancer trials showed that 103 of 221 (47%) oncology trials published between 2011 and 2013 reported subgroup analyses based on biomarkers.4 These two examples suggest that target-­specific agents may be highly beneficial in one but potentially harmful in another subgroup of patients. The authors of the two trials may have underemphasised the potential risk of giving target-­specific drugs to the inferior subgroup. Introduction The increasing understanding of the biology of malignancies and the availability of new biotechnologies has led to a rapid develop- ment of anticancer drugs directed at molec- ular targets. The hope associated with a target-­specific (or biomarker-­driven) therapy is to maximise anticancer effects and mini- mise side effects. Prominent examples include BRAF inhibitors for melanoma,1 tyrosine kinase inhibitors for patients with mutated epidermal growth factor receptor2 (EGFR), or overexpression of the programmed death ligand-1 protein.3 For numbered affiliations see end of article. Correspondence to Dr Stefan Schandelmaier; ​s.​schandelmaier@​gmail.​com © Author(s) (or their employer(s)) 2020. Re-­use permitted under CC BY. Published by BMJ. Target-­specific anticancer drugs are designed to directly inhibit tumour growth or enhance immunological antitumour response, by influencing a known—or at least partly understood—molecular mechanism. Typically, the targeted mechanism is complex Ethics and dissemination  Formal ethical approval is not required for this study. We will disseminate the findings in a peer-­reviewed and open-­access journal publication. Correspondence to Dr Stefan Schandelmaier; ​s.​schandelmaier@​gmail.​com 1 Schandelmaier S, et al. BMJ Open 2020;10:e034565. doi:10.1136/bmjopen-2019-034565 Open access Figure 1  (A) Mechanisms of action of panitumumab and molecular alteration of RAS protein. (B) Corresponding randomised clinical trial in patients with colorectal cancer; the trial reports a subgroup analysis for outcome survival suggesting benefit in patients with RAS wild-­type tumours but harm in patients with RAS-­mutated tumours.5 (C) Mechanism of action of afatinib and molecular alteration of epidermal growth factor receptor (EGFR). (D) Corresponding randomised clinical trial in patients with lung cancer; the trial reports a subgroup analysis for outcome survival suggesting benefit in patients with EGFR deletion 19 but harm in patients with EGFR substitution Leu858Arg.6 Figure 1  (A) Mechanisms of action of panitumumab and molecular alteration of RAS protein. (B) Corresponding randomised clinical trial in patients with colorectal cancer; the trial reports a subgroup analysis for outcome survival suggesting benefit in patients with RAS wild-­type tumours but harm in patients with RAS-­mutated tumours.5 (C) Mechanism of action of afatinib and molecular alteration of epidermal growth factor receptor (EGFR). Schandelmaier S, et al. BMJ Open 2020;10:e034565. doi:10.1136/bmjopen-2019-034565 Search strategy Based on a sensitive search strategy that we developed together with a medical information specialist, we searched PubMed for eligible RCTs published since 2014 in the nine oncology and four general medical journals with the highest impact factor in the year 2016. We used free text and medical subject headings for terms related to cancer and combined them with journal indexations and a validated filter for RCTs29 (online supplementary appendix A). Teams of two investigators, working inde- pendently and in duplicate, will screen abstracts for potentially eligible studies, for which we will acquire full texts. A database that our group has established for a related project will provide an initial list of target-­specific drugs that we will extend during the screening.30 Teams of two investigators, one of whom will be an oncologist, will assess final eligibility and, if needed, resolve disagree- ments by discussion or, if needed, third-­party adjudica- tion. The teams will also independently identify reported tumour characteristics used for subgroup analyses. For RCTs that claim one or more subgroup effects based on tumour characteristics, we will screen references and trial registries to identify corresponding study protocols, which are relevant for the credibility assessment. For each subgroup claim, we will search corresponding statements in the most current version of clinical guidelines from the American Society of Clinical Oncology, European Society of Medical Oncology and ​UpToDate.​com. p g pp p y Some have suggested that subgroup analyses based on tumour characteristics, compared with traditional subgroup analyses (eg, by age or sex), might lead to more credible findings:26 first, subgroup effects based on tumor characteristics may have a high biological plau- sibility (ie, a clear a priori hypothesis); second, the side effects typically associated with anticancer drugs may—in the absence of benefit—actually cause harm and corre- sponding subgroup effects27 28 may therefore be more likely to be large enough to be detected by statistical tests.27 28 For instance, the two examples suggested large qualitative subgroup effects (harmful in one subgroup and beneficial in another) with p values suggesting chance as an unlikely explanation.5 6 No empirical study is available that addresses subgroup effects based on tumour characteristics in target-­specific anticancer therapy. Therefore, we will perform a system- atic survey of RCTs to determine if the presented examples are isolated instances or a generalisable phenomenon. Specific study objectives are 1. Search strategy To assess, in RCTs investigating target-­specific antican- cer drugs, the frequency of – subgroup analyses based on tumour characteristics –– subgroup analyses based on tumour characteristics. –– claims about subgroup effects based on tumour characteristics made by trial investigators. Data extraction We will develop and standardise extraction forms with detailed explanations for each data point. Teams of two methodologically trained investigators will extract data from publications and associated protocols and resolve disagreements by discussion. Introduction Rather than acknowledging the potential for serious harm, they concluded a ‘lack of response’5 or ‘absence of effect’6 in the inferior subgroups. Evidence users may be misled by such conclusions and erroneously assume safety when administering those drugs to patients in whom it may actually cause harm. Moreover, the neglect of possible harm may result in a missed opportunity for For instance, an RCT in patients with colorectal cancer addressed the impact of panitumumab, a monoclonal EGFR antibody.5 The downstream signalling pathway of panitumumab includes proteins encoded by the RAS gene family. Mutations in RAS genes might there- fore modify the effect of panitumumab (figure  1A). A subgroup analysis of that RCT suggested that patients with wild-­type RAS proteins have a significant survival 2 Schandelmaier S, et al. BMJ Open 2020;10:e034565. doi:10.1136/bmjopen-2019-034565 Open access further research investigating the reasons and mecha- nisms for the potential harmful effects. for example, tyrosine kinase inhibitors targeting specific proteins resulting from mutations, all monoclonal anti- bodies targeting specific proteins or antihormonal drugs (eg, oestrogen or androgen receptor antagonists and/or agonists) In contrast, findings suggested by subgroup analyses have generally low credibility. The majority of claimed subgroup effects are not confirmed in subsequent research7 and even dramatic-­looking subgroup effects that are subsequently found to be spurious are not rare.8 9 There is vast empirical evidence documenting the high risk of spurious subgroup effects,4 7 10–25 the main reasons being weak hypotheses, multiple testing, selective reporting and inappropriate statistical analysis. Sample size Our search identified 1119 potentially relevant abstracts of which we already acquired and screened the full texts. Of those, 433 proved eligible RCTs testing a target-­specific anticancer therapy and reporting one or more subgroup analysis. Based on previous research,4 we estimate that approximately 90 of them will report a subgroup anal- ysis based on a tumour characteristic. Of those, we esti- mate that approximately 35 will lead to claimed subgroup effects.11 This number of RCTs and claims should be suffi- cient to achieve the study objectives. –– qualitative subgroup effects based on tumour char- acteristics, that is, suggesting benefit in one and harm in another subgroup. 2. To assess the credibility of claimed subgroup effects based on tumour characteristics. 3. To assess, for claimed subgroup effects, how trial inves- tigators or guideline developers interpreted the results (eg, mentioned the potential for harm) and how these interpretations relate to the credibility assessment (eg, it would be problematic to emphasise subgroup effects with low credibility or not highlight subgroup effects with high credibility). Assessing the strength of subgroup claims To assess the strength of reported subgroup claims, we will use predefined criteria developed by Sun et al.11 The criteria address where the authors presented the claim (abstract, conclusion of the abstract and discussion), whether they used descriptive words to strengthen (eg, using words such as ‘particular’) or soften (eg, using words such as ‘might’) the claim, obvious notes of caution (eg, ‘but not significant’) or indicated that results need to be explored in the future. Based on the assessment, the claims will then be categorised as (1) no claim; (2) suggestion of a possible effect modification; (3) claim of a likely effect modification; (4) or a strong claim of effect modification. Two reviewers will independently assess the presence and strength of claims, collect supporting verbatim quotes and resolve discrepancies by discussion, if necessary, with the help of a third reviewer. For all individual subgroup claims, we will present the type of effect modifier (tumour characteristics vs other), the numerical results, the credibility rating and the inter- pretations presented by primary study authors and/or guidelines. We will also create forest plots showing, for all claimed subgroup effects, point estimates and associated CIs within subgroups, differentiating MA-­based and other subgroup effects. We will clearly indicate if a trial reports more than one subgroup claim. g p A key criterion for the credibility assessment is the result of an interaction test (usually a p value). We know from previous empirical studies that most trials reporting subgroup effects do not include the results of a test of interaction.4 7 11 We will report the proportion of studies that report an appropriate test of interaction, present sufficient data to calculate a p value of interaction, or fail to present a p value and sufficient data to calculate a p value of interaction. Because here we are interested in the credibility of subgroup claims rather than reporting quality, we will perform missing interaction tests when- ever possible. For instance, if subgroup-­specific estimates and CIs are reported, then we will calculate the stan- dard errors and approximate the test of interaction by performing a t-­test. We will transparently report when we imputed missing data points. Statistical analysis W ill d i We will use descriptive statistics (frequency, proportions and distribution) to present trial characteristics, including the number and type of subgroup analyses reported per trial, number and strength of claims made,and whether a subgroup claim is qualitative. A qualitative subgroup claim means that (a) authors claim a subgroup difference plus (b) the point estimates suggest benefit in one harm in another subgroup. (Note that a situation in which one subgroup suggests an HR of 0.99 and another subgroup, an HR of 1.01 would not count due to the lack of a claim. Typically, authors make a claim only if point estimates differ substantially or a test of interaction suggests a p value of ≤0.05.) Sample of randomised trials main paper, appendices or in secondary publications; number of effect modifiers (ie, subgrouping variables) type of effect modifiers (categorised by oncologists into (1) tumour characteristics of interest defined as genetic alterations, grade, subtype, or other molecular or histo- logical characteristics; (2) tumour characteristics not of interest such as staging, location, size, or other macro- scopic or radiological characteristics; or (3) other effect modifiers such as age or sex), subgroup hypotheses (if reported, eg, a rationale explaining how a genetic alter- ation might diminish the effect of a target-­specific drug), methods used for subgroup analyses (eg, interaction term in cox model, forest plot and multivariable analysis of effect modification), numerical results of subgroup analyses (eg, point estimates and CIs in each subgroup, p value from a test of interaction), and whether authors make no, a weak, a moderate or a strong claim of effect modification. Assessing the credibility of claimed subgroup effects To assess the credibility of claimed effect modification (based on tumour characteristics), we will apply a recently developed instrument for assessing the credibility of effect modification analyses (ICEMAN).31 In the version for RCTs, the instrument provides five core questions: 1. Was the direction of the effect modification correctly hypothesised a priori? 2. Was the effect modification supported by prior evi- dence? 3. Does a test for interaction suggest that chance is an un- likely explanation of the apparent effect modification? Patient and public involvement Patients and/or the public were not involved in the design, or conduct, or reporting, or dissemination plans of this research. 4. Did the authors test only a small number of effect mod- ifiers or consider the number in their statistical analy- sis? 5. If the effect modifier is a continuous variable, were ar- bitrary cut-­points avoided? Sample of randomised trials Sample of randomised trials We will include publications of parallel-­group RCTs that (1) enrol patients with a malignant disease; and (2) include a comparison to investigate the effect of a target-­ specific anticancer drug. We will use an inclusive defini- tion of ‘target-­specific anticancer drug’ and consider any drug with a defined mode of pharmacodynamic action, We will extract the following information for each trial: population; interventions; primary outcome(s), the overall treatment effect including CIs; whether the trial reported any subgroup analyses (or analyses of effect modification based on a continuous variable) in the Schandelmaier S, et al. BMJ Open 2020;10:e034565. doi:10.1136/bmjopen-2019-034565 3 Open access main paper, appendices or in secondary publications; number of effect modifiers (ie, subgrouping variables) type of effect modifiers (categorised by oncologists into (1) tumour characteristics of interest defined as genetic alterations, grade, subtype, or other molecular or histo- logical characteristics; (2) tumour characteristics not of interest such as staging, location, size, or other macro- scopic or radiological characteristics; or (3) other effect modifiers such as age or sex), subgroup hypotheses (if reported, eg, a rationale explaining how a genetic alter- ation might diminish the effect of a target-­specific drug), methods used for subgroup analyses (eg, interaction term in cox model, forest plot and multivariable analysis of effect modification), numerical results of subgroup analyses (eg, point estimates and CIs in each subgroup, p value from a test of interaction), and whether authors make no, a weak, a moderate or a strong claim of effect modification. will independently apply ICEMAN to claimed subgroup effects based on tumour characteristics and resolve disa- greements by discussion. Items 1, 2, 4 and potentially 5 require a study protocol for optimal assessment. There- fore, for each study reporting a claim, we will search for corresponding study protocols by screening references and trial registry entries. Discussion The instrument provides four predefined responses for each question and an overall credibility rating on a continuous scale ranging from very low to high credi- bility. Teams of two methodologically trained investigators This study will provide insights into the effectiveness and safety of target-­specific anticancer drugs—in particular, in patients subgroups with potentially relevant tumour Schandelmaier S, et al. BMJ Open 2020;10:e034565. doi:10.1136/bmjopen-2019-034565 4 Open access characteristics. It might be possible that we will identify only a small number of relevant claims based on tumour characteristics and corresponding guideline statements. characteristics. Our study will clarify as yet unresolved issues of whether subgroup analyses based on tumour characteristics performed as part of RCT reports deliver useful results and whether trial investigators and guide- line developers draw appropriate conclusions. In summary, this systematic survey of RCTs will address characteristics, frequency, credibility and impact of effect modification analysis based on tumour characteristics. If our findings support the alarming hypothesis that the risk of harm caused by target-­based drugs might be system- atically underemphasised, then our results will help to increase the awareness of the issue among patients, oncologists, trial investigators, journal editors, and guide- line developers. The results may trigger a re-­evaluation of existing trials, inform planning of future trials and influ- ence how trial investigators and guideline developers interpret MA-­based subgroup analyses in the context of target-­specific anticancer therapy. Several previous studies have systematically assessed the credibility of subgroup effects,4 7 11 but none has focused on tumour characteristics in the context of target-­specific anticancer drugs. Provenance and peer review  Not commissioned; externally peer reviewed. Provenance and peer review  Not commissioned; externally peer reviewed. Open access  This is an open access article distributed in accordance with the Creative Commons Attribution 4.0 Unported (CC BY 4.0) license, which permits others to copy, redistribute, remix, transform and build upon this work for any purpose, provided the original work is properly cited, a link to the licence is given, and indication of whether changes were made. See: https://​creativecommons.​org/​ licenses/​by/​4.​0/. A limitation of quantitative results such as the frequency of subgroup claims based on tumour charac- teristics in cancer trials will be a high risk of reporting and publication bias. We will therefore make clear that our results will reflect what is reported and not necessarily how often authors consider those analyses. This poten- tial limitation, however, will not weaken inferences made for individual RCTs. Another potential limitation is that, although we know from previous research that subgroup analyses based on biomarkers are included in almost half of oncology trials,4 we have no specific information about the frequency of subgroup analyses based on tumour ORCID iD Stefan Schandelmaier http://​orcid.​org/​0000-​0002-​8429-​0337 Ethics and dissemination Formal ethical approval is not required for this study that will be based on published information only. We will disseminate the findings in a peer-­reviewed and open-­ access journal publication. Discussion A strength of our study will be the use of formally developed ICEMAN credibility instru- ment.31 32 Previous studies that investigated the credibility of subgroup claims have used ad hoc criteria or check- lists with important limitations including non-­transparent development process, criteria based on individual expert opinion rather than consensus, vagueness in criteria and lack of user testing.33 ICEMAN is a new instrument based on a systematic survey of the relevant methodological liter- ature, an explicit measurement concept, a formal instru- ment development process together with a consensus panel consisting of leading experts, and systematic user testing.31 32Another strength of the study is that we will focus on subgroup claims that are more likely to be based on causal hypotheses and thus likely more credible than subgroup claims based on sex, region or other charac- teristics for which there is usually little reason to suspect effect modification.34 35 Schandelmaier S, et al. BMJ Open 2020;10:e034565. doi:10.1136/bmjopen-2019-034565 Author affiliations 1 1Institute for Clinical Epidemiology and Biostatistics, Department of Clinical Research, University Hospital and University of Basel, Basel, Switzerland 2Department of Health Research Methods, Evidence, and Impact, McMaster University, Hamilton, Ontario, Canada We do not anticipate any serious feasibility problems. In previous empirical studies, investigators have success- fully used similar methods, including systematic surveys of subgroup analyses in cancer trials,4 assessing the strength of subgroup claims,7 11 12 and qualitative anal- ysis of clinical practice guidelines.30 We anticipate some difficulties in rating the credibility of subgroup claims related to reporting quality. For instance, some trials will not provide a published protocol or insufficiently report the number of effect modifiers tested or numerical results.18 As implemented in the ICEMAN instrument, we will take the position that insufficient reporting is a reason for lower credibility. Because rating the credibility of subgroup analysis and appropriateness of interpreta- tion inevitably involves judgement, different investigators may come to different conclusions. Therefore, in order to reduce the variability of judgements, two investigators will make independent assessments and come to a consensus by discussion. In addition, we will provide verbatim quotes to support our judgements in a transparent way. 3Department of Medical Oncology, University Hospital Basel, Basel, Switzerland 4University Medical Library, University of Basel, Basel, Switzerland 5Department of Medicine, McMaster University, Hamilton, Ontario, Canada 6Research and Development, iOMEDICO AG, Freiburg, Germany Twitter Lars G Hemkens @LGHemkens Acknowledgements  The authors thank Kuebra Oezoglu for acquiring the full texts. Contributors  SS, LH, GG, MB and BK: conceptualised the study. HE, DG and BK: developed the search strategy and screened titles and abstracts. SS, BK, AKH and AMS: screened full texts. All authors discussed and edited drafts of the manuscript and read and approved the final version. Funding  The work was supported by a personal grant to StS from the Swiss National Science Foundation (project number 180830). Competing interests  BK reports consultant activities for Roche and Siemens, research Grants from Roche/AbbVie and travel support from Riemser, AbbVie and Amgen—all not related to the project described herein. Patient consent for publication  Not required. Patient consent for publication  Not required. Provenance and peer review  Not commissioned; externally peer reviewed. Open access N Engl J Med 2016;375:2263–71. 9 Guyatt G. Users’ guides to the medical literature : a manual for evidence-­based clinical practice. New York: McGraw-­Hill Education, 2015. 27 Peto R. Statistical aspects of cancer trials. In: The treatment of cancer. London: Chapman & Hall, 1982: 867–71. 10 Whitely E, Egger M, Egger M, et al. Subgroup analyses in randomized trials: risks of subgroup-­specific analyses; power and sample size for the interaction test. J Clin Epidemiol 2004;57:229–36. p 28 Cuzick J. The assessment of subgroups in clinical trials. Experientia Suppl 1982;41:224–35. 11 Sun X, Briel M, Busse JW, et al. Credibility of claims of subgroup effects in randomised controlled trials: systematic review. BMJ 2012;344:e1553. 29 Lefebvre C, Manheimer E, Glanville J. Searching for studies. In: Higgins J, Green S, eds. Cochrane Handbook for systematic reviews of interventions version 510, 2011. 12 Saragiotto BT, Maher CG, Moseley AM, et al. A systematic review reveals that the credibility of subgroup claims in low back pain trials was low. J Clin Epidemiol 2016;79:3–9. 30 Ladanie A, Speich B, Naudet F, et al. The comparative effectiveness of innovative treatments for cancer (CEIT-­Cancer) project: rationale and design of the database and the collection of evidence available at approval of novel drugs. Trials 2018;19:505. 13 Pocock SJ, Assmann SE, Enos LE, et al. Subgroup analysis, covariate adjustment and baseline comparisons in clinical trial reporting: current practice and problems. Stat Med 2002;21:2917–30. 31 Schandelmaier S, Briel M, Varadhan R, et al. A new instrument to assess the credibility of effect modification analyses (ICEMAN) in randomized controlled trials and meta-­analyses. Under revision in CMAJ. 14 Schuit E, Li AH, Ioannidis JPA. How often can meta-­analyses of individual-­level data individualize treatment? A meta-­epidemiologic study. Int J Epidemiol 2019;48:596–608. 32 Schandelmaier S. Evaluating the credibility of effect modification claims in randomized controlled trials and meta-­analyses. Doctoral thesis published on macsphere [Internet], 2019. Available: http://​hdl. handle.​net/​11375/​24375 15 Gabler NB, Duan N, Raneses E, et al. No improvement in the reporting of clinical trial subgroup effects in high-­impact general medical journals. Trials 2016;17:320. j 16 Donegan S, Williams L, Dias S, et al. Exploring treatment by covariate interactions using subgroup analysis and meta-­regression in Cochrane reviews: a review of recent practice. PLoS One 2015;10:e0128804. 33 Schandelmaier S, Chang Y, Devasenapathy N, et al. A systematic survey identified 36 criteria for assessing effect modification claims in randomized trials or meta-­analyses. J Clin Epidemiol 2019;113:159–67. Open access melanoma (BRIM-3): extended follow-­up of a phase 3, randomised, open-­label study. Lancet Oncol 2014;15:323–32.i 19 Fernandez Y Garcia E, Nguyen H, Duan N, et al. Assessing heterogeneity of treatment effects: are authors Misinterpreting their results? Health Serv Res 2010;45:283–301. melanoma (BRIM-3): extended follow-­up of a phase 3, randomised, open-­label study. Lancet Oncol 2014;15:323–32.i p y 2 Haaland B, Tan PS, de Castro G, et al. Meta-­Analysis of first-­line therapies in advanced non-­small-­cell lung cancer harboring EGFR-­ activating mutations. J Thorac Oncol 2014;9:805–11. 20 Koopman L, van der Heijden GJMG, Hoes AW, et al. Empirical comparison of subgroup effects in conventional and individual patient data meta-­analyses. Int J Technol Assess Health Care 2008;24:358–61. 3 Reck M, Rodríguez-­Abreu D, Robinson AG, et al. Pembrolizumab versus chemotherapy for PD-­L1-­positive non-­small-­cell lung cancer. N Engl J Med 2016;375:1823–33. 21 Wang R, Lagakos SW, Ware JH, et al. Statistics in medicine-- reporting of subgroup analyses in clinical trials. N Engl J Med 2007;357:2189–94. 4 Zhang S, Liang F, Li W, et al. Subgroup analyses in reporting of phase III clinical trials in solid tumors. J Clin Oncol 2015;33:1697–702. 5 Douillard J-­Y, Oliner KS, Siena S, et al. Panitumumab-­FOLFOX4 treatment and RAS mutations in colorectal cancer. N Engl J Med 2013;369:1023–34. 22 Patsopoulos NA, Tatsioni A, Ioannidis JPA. Claims of sex differences: an empirical assessment in genetic associations. JAMA 2007;298:880–93. 6 Yang JC-­H, Wu Y-­L, Schuler M, et al. Afatinib versus cisplatin-­based chemotherapy for EGFR mutation-­positive lung adenocarcinoma (LUX-­Lung 3 and LUX-­Lung 6): analysis of overall survival data from two randomised, phase 3 trials. Lancet Oncol 2015;16:141–51. 23 Hernández AV, Boersma E, Murray GD, et al. Subgroup analyses in therapeutic cardiovascular clinical trials: are most of them misleading? Am Heart J 2006;151:257–64. p misleading? Am Heart J 2006;151:257–64. 24 Assmann SF, Pocock SJ, Enos LE, et al. Subgroup analysis and other (mis)uses of baseline data in clinical trials. Lancet 2000;355:1064–9. 7 Wallach JD, Sullivan PG, Trepanowski JF, et al. Evaluation of evidence of statistical support and corroboration of subgroup claims in randomized clinical trials. JAMA Intern Med 2017;177:554–60. 25 Bhandari M, Devereaux PJ, Li P, et al. Misuse of baseline comparison tests and subgroup analyses in surgical trials. Clin Orthop Relat Res 2006;447:247–51. 8 Rothwell PM. Treating individuals 2. subgroup analysis in randomised controlled trials: importance, indications, and interpretation. Lancet 2005;365:176–86. 26 Yusuf S, Wittes J. Interpreting geographic variations in results of randomized, controlled trials. References References 1 McArthur GA, Chapman PB, Robert C, et al. Safety and efficacy of vemurafenib in BRAF(V600E) and BRAF(V600K) mutation-­positive 1 McArthur GA, Chapman PB, Robert C, et al. Safety and efficacy of vemurafenib in BRAF(V600E) and BRAF(V600K) mutation-­positive 5 Schandelmaier S, et al. BMJ Open 2020;10:e034565. doi:10.1136/bmjopen-2019-034565 Open access Open access 17 Mistry D, Patel S, Hee SW, et al. Evaluating the quality of subgroup analyses in randomized controlled trials of therapist-­delivered interventions for nonspecific low back pain: a systematic review. Spine 2014;39:618–29. 34 Rhodes KM, Turner RM, Higgins JPT. Empirical evidence about inconsistency among studies in a pair-­wise meta-­analysis. 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https://biologicalproceduresonline.biomedcentral.com/track/pdf/10.1186/s12575-018-0076-7
English
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Isolation and semi quantitative PCR of Na<sup>+</sup>/H<sup>+</sup> antiporter (SOS1&amp; NHX) genes under salinity stress in <i>Kochia scoparia</i>
bioRxiv (Cold Spring Harbor Laboratory)
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Abstract Background: Kochia scoparia is a dicotyledonous annual herb and belongs to the Amaranthaceae family. Genetic diversity and resistance to drought stress of this plant has made it widely scattered in different regions which contains highly genetic diversity and great potential as fodder and can grow on salty, drought affected areas. Since the soil salinity has become widely spread, environmental concern has sparked so many debates. An important limiting factor in agricultural production worldwide is the sensitivity of most of the crop to salinity caused by high concentration of salts soil. Plants use three different strategies to prevent and adapt to high Na+ concentrations. Antiporters are important category of genes that play a pivotal role in ion homeostasis in plants. Na+/H+ antiporters (NHX1 and SOS1) are located in tonoplasts and reduce cytosolic Na+ concentration by pumping in the vacuole whereas SOS1 is localized at the plasma membrane and extrudes Na+ in apoplasts. Results: Coding sequence of plasma membrane Na+/H+ antiporter (SOS1) and vacuole membrane Na+/H+ antiporter (NHX) in Kochia scoparia were isolated using conserved sequences of SOS1 and NHX. Also, expression profile under salinity stress was studied in this study. The amino acid sequences (aa) of the isolated region of K.SSOS1 and K.SNHX showed the maximum identity up to 84% and 90% to its orthologous in salicornia brachiate and suede maritime, respectively. The results of semi-quantitative RT-PCR revealed that salinization has affected positively on SOS1 transcription level. The expression of K.SSOS1 and K.SNHX in leaves and roots of Kochia scoparia were progressively increased under all salinity levels compared to control. Conclusion: The results suggest that K.SSOS1 and K.SNHX play an essential role in salt tolerance of K.scoparia and they can be useful to improve salt tolerance in other crops. Keywords: Kochia scoparia, Na+/H+ antiporters, Salinity tolerance, Semi-quantitative RT-PCR by high salt concentration, ultimately causing yield lost. Sal- inity stress can reduce the productivity of glycophytes, which are the majority of agricultural products. High salt concentrations cause hyper osmotic stress and ion imbal- ance in plants which often as a secondary effect leads to oxidative damage in cellular components [1]. Plants adapt to environmental stresses via responses, including the activation of molecular networks that regulate stress per- ception, signal transduction and the expression of both stress related genes and metabolites [2]. Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 https://doi.org/10.1186/s12575-018-0076-7 Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 https://doi.org/10.1186/s12575-018-0076-7 Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 https://doi.org/10.1186/s12575-018-0076-7 Open Access Open Access RESEARCH © The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Plants have stress specific adaptive responses as well as responses which pro- tect the plants from more than one environmental stress [2]. Plants employ three different strategies to prevent and adapt to high Na+ concentrations: 1) active Na+ efflux, 2) Na+ compartmentalization in vacuoles, and 3) Na+ influx Isolation and Semi Quantitative PCR of Na+/H+ Antiporter (SOS1 and NHX) Genes under Salinity Stress in Kochia scoparia Leila Fahmideh1* and Ziba Fooladvand2 * Correspondence: l.fahmide@gmail.com 1Department of Plant Breeding and Biotechnology, University of Zabol, Zabol 98613-35856, Iran Full list of author information is available at the end of the article Background Activation of SOS1 by direct phosphorylation of the self-regulation scope is possible by serine/threonine protein kinas or SOS2 that requires calcium binding protein or SOS3 [9]. C-terminal end of the protein causes the Na+ to move. At the C-terminal end, SOS1, the 764,849 region is cyclic nucleotide-binding site and in the 998–1146 region a self-regulator domain exists. In the res- pite state the self-regulator domain interacts with upstream sequence bearing the cyclic nucleotide-binding site [9]. In fact, the self-regulator domain is a target location for phos- phorylation by SOS2. After SOS1 phosphorylation, the self- regulator domain leaves upstream location and attaches at this location of cyclic nucleotide and transferring pro- tein activity begins [9]. According to the above- mentioned information, domain connected to the cyclic nucleotide can be used as one of the most important locations to regulate SOS1 activity, eventually its effect on salinity tolerance. K. scoparia, a dicotyledonous erect annual herb belongs to Amaranthaceae family with high genetic diversity and great foliage potential [10], reported that K. scoparia on of its Iranian variety is highly tolerant to salt and could be considered as a foliage species in cold regions of the world. Rapid vege- tative growth under high salinity and temperature and drought and stress makes it a very valuable candidate as a non-conventional foliage crop for arid temperate regions [11]. K. scoparia has been widely used in Chin- ese and Korean traditional medicine as a treatment for skin diseases, diabetes, mellitus, rheumatoid arthritis, liver disorders, and jaundice [12, 13]. Kochia seeds con- tain an ovi position pheromone that can be added as an attractant for mosquito pesticides [14, 15]. It has been reported that seeds of Kochia also contain other chemi- cals that could be beneficial for human, such as com- pounds used in ulcers, rheumatoid arthritis, treatment and some pathogenic bacteria [15–17]. The aim of this study was to investigate the presence of SOS1 and NHX1 genes and trace it using by induced salt stress in Kochia scoparia, Futures of these genes in protein Background According to the above- mentioned information, domain connected to the cyclic nucleotide can be used as one of the most important locations to regulate SOS1 activity, eventually its effect on salinity tolerance. K. scoparia, a dicotyledonous erect annual herb belongs to Amaranthaceae family with high genetic diversity and great foliage potential [10], reported that K. scoparia on of its Iranian variety is highly tolerant to salt and could be considered as a foliage species in cold regions of the world. Rapid vege- tative growth under high salinity and temperature and drought and stress makes it a very valuable candidate as a non-conventional foliage crop for arid temperate regions [11]. K. scoparia has been widely used in Chin- ese and Korean traditional medicine as a treatment for skin diseases, diabetes, mellitus, rheumatoid arthritis, liver disorders, and jaundice [12, 13]. Kochia seeds con- tain an ovi position pheromone that can be added as an attractant for mosquito pesticides [14, 15]. It has been reported that seeds of Kochia also contain other chemi- cals that could be beneficial for human, such as com- pounds used in ulcers, rheumatoid arthritis, treatment and some pathogenic bacteria [15–17]. The aim of this study was to investigate the presence of SOS1 and structure characterized with in silico tools. Furthermore, profiling gene expression for two gene characterized. K. scoparia is an attractive plant model for study the mechanism of salt tolerance. This work to gain insights into the role played by this transporter in K. scoparia halophyte. prevention [3, 4]. Antiporters are important groups of genes that have a key role in ion homeostasis in plants. Na+/H+ antiporters (NHX1 and SOS1) maintain the appropriate concentration of ions in the cytosol, thereby minimizing cytotoxicity. NHX1 are located in tonoplasts and reduce cytosolic Na+ concentration by pumping it in the vacuole [5], whereas SOS1 is localized at the plasma membrane and extrudes Na+ in apoplasts [6]. Both of these antiporters are driven by a motive proton force generated by the H+-ATPase [7]. The SOS signaling pathway consists of three major proteins including: SOS1, SOS2, and SOS3. SOS1, which encodes a plasma membrane Na+/H+ antiporter, is essential in regulating Na+ efflux at the cellular level. It also facilitates long distance transportation of Na+ from root to shoot. Over expression of this protein leads to salt tolerance in plants [8]. Background Most of studies have revealed that the greatest lost in vari- ous crop production is due to abiotic stresses, such as, sal- inity, water deficit, low temperature and heavy metals adversely affect the growth and several physiological pro- cesses such as leaf cell growth and biomass production of plants. An important limiting factor in agricultural produc- tion worldwide is the sensitivity of most of the crop to sal- inity caused by high concentration of salts soil. Processes such as seed germination, seedling growth and vigor, vege- tative growth, flowering and fruit set are adversely affected * Correspondence: l.fahmide@gmail.com 1Department of Plant Breeding and Biotechnology, University of Zabol, Zabol 98613-35856, Iran Full list of author information is available at the end of the article Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 Page 2 of 9 Page 2 of 9 prevention [3, 4]. Antiporters are important groups of genes that have a key role in ion homeostasis in plants. Na+/H+ antiporters (NHX1 and SOS1) maintain the appropriate concentration of ions in the cytosol, thereby minimizing cytotoxicity. NHX1 are located in tonoplasts and reduce cytosolic Na+ concentration by pumping it in the vacuole [5], whereas SOS1 is localized at the plasma membrane and extrudes Na+ in apoplasts [6]. Both of these antiporters are driven by a motive proton force generated by the H+-ATPase [7]. The SOS signaling pathway consists of three major proteins including: SOS1, SOS2, and SOS3. SOS1, which encodes a plasma membrane Na+/H+ antiporter, is essential in regulating Na+ efflux at the cellular level. It also facilitates long distance transportation of Na+ from root to shoot. Over expression of this protein leads to salt tolerance in plants [8]. Activation of SOS1 by direct phosphorylation of the self-regulation scope is possible by serine/threonine protein kinas or SOS2 that requires calcium binding protein or SOS3 [9]. C-terminal end of the protein causes the Na+ to move. At the C-terminal end, SOS1, the 764,849 region is cyclic nucleotide-binding site and in the 998–1146 region a self-regulator domain exists. In the res- pite state the self-regulator domain interacts with upstream sequence bearing the cyclic nucleotide-binding site [9]. In fact, the self-regulator domain is a target location for phos- phorylation by SOS2. After SOS1 phosphorylation, the self- regulator domain leaves upstream location and attaches at this location of cyclic nucleotide and transferring pro- tein activity begins [9]. Genetic Samples K.scoparia was collected from Sabzevar in Khorasan Razavi Agricultural Research Center (Iran) and planted in Biotechnology research Center University of Zabol. The fresh leaves were applied to isolate RNA after salin- ity stress (plants were irrigated by 100 mM, 200 mM, 300 mM and 400 mM sodium chloride solutions). Primers Design Primers Design Seventeen SOS1 and 22 NHX coding sequences data which are available at NCBI data base(ncbi.nlm.nih.gov) have been showed in Table 1, were aligned by ClustalW method provided in DNASTAR Laser gene software (EditSeq, Meg-Align, Version 5.00), GENEDOC (Mul- tiple Sequence Alignment Editor and Shading Utility Version 2.5.000). All specific primers designed based on the most conservative parts of the alignments. Specific forward and reverse primers were designed (Table 2). RNA Isolation and cDNA Amplification in K.scoparia Total RNA of samples was isolated by Total RNA isola- tion kit (DENA Zist Asia). The cDNA(s) were synthe- sized using Hyper script reverse transcriptase (Gene All) and oligod (T) 18mer, P.SOS.S-REV1, P.SOS.S-REV2, P. SOS.S-REV3, P.SOS.S-REV4, P.NHX.S.REV1, P.NHX.S. REV2 and P.NHX.S.REV3primers (Table 1) and ampli- fied with a combination of primers (Table 2). The ampli- fications were obtained in 30 cycles at defined annealing temperature for each pair of primers using TaqDNA polymerase (AMPLIQON). The process finished after a final extension for 5–15 min at 720C (Fig. 1). Sequencing of SOS1 and NHX in K.scoparia PCR products were extracted and purified from 0.8% agarose gel using GEL recovery DNA kit (DENA Zist Asia). PCR reactions were sequenced utilizing Euro fins MWG Operon company service. Sequence analysis in- cluding deletion of error in sequences, assembly of frag- ments, alignment with other plant species gene sequences, was done using DNA STAR Laser gene soft- ware (EditSeq, SeqManII Meg-Align, MapDraw; Version5.00), GENEDOC (Multiple Sequence Alignment Editor and Shading Utility Version 2.5.000 and NCBI BLAST [18]. The amino acid sequences were aligned with CLUSTALW software. Conserved Domains, Homology and Phylogenetic Analyses of SOS1 and NHX in K.scoparia Analyses of SOS1 and NHX in K.scoparia After sequencing the coding SOS1 and NHX genes se- quences in K.scoparia, Conserved domain specified using of NCBI revealed that putative protein SOS1 belongs to the Sodium/hydrogen exchanger family; These antiporters con- tain 10–12 trans membrane regions (M) at the amino- terminus and a large cytoplasm region at the carboxyl terminus. The transmembrane regions M3-M12 share the same identity with other members of the which family. The M6 and M7 regions are highly conserved. Thus, this is be- lieved to be the region involved in the transportation of so- dium and hydrogen ions. The cytoplasm region has little similarity throughout the family. Conserved domain Ana- lysis for NHX showed that family represents five trans- membrane helices. This suggests that the paired regions form a ten-helical structure, probably forming the pore, whereas the binds a ligand for export or regulation of the pore. The development of intracellular membrane systems and compartments has led to a considerable increase in the number of ion transporters in eukaryote cells. As a result, plants contain a large number of sequences encoding pro- teins that share homology to Na+/H+ antiporters which are key transporters in maintaining the pH of actively metabolizing cells. According to highly similar sequences Results and Discussions In this research, isolation of the coding sequence of plasma membrane Na+/H+ antiporter (SOS1) and vacuolar membrane Na+/H+ exchanger (NHX) in Kochia scparia was performed and, the consequence of salinity stress was studied on the expression profile of this gene. We focused on SOS1 and NHX the critical genes in the SOS pathway and vacuolar membrane for the resistant to salt stress (Fig. 1). The SOS pathway and vacuolar membrane Na+/H+ exchanger (NHX) are currently the most extensively studied mechanisms in controlling the salt stress response in plants. The SOS and vacuolar membrane Na+ /H+ exchanger (NHX) pathway is responsible for ion homeostasis and salt tolerance in plants. Fig. 1 Regulation of ion homeostasis by ion Na+/H+ pumps antiporters (SOS1), vacuolar Na+/H+ exchanger (NHX) that salt sensors present at the plasma and vacuolar membranes [32] Fig. 1 Regulation of ion homeostasis by ion Na+/H+ pumps antiporters (SOS1), vacuolar Na+/H+ exchanger (NHX) that salt sensors present at the plasma and vacuolar membranes [32] SOS1 and NHX from other plants (Fig. 3). Assembled sequences for gene submitted to DDBJ data base ad- dressed: ddbj.nig.ac.jp and assigned accession number (LC218450, LC218451 for SOS1 and NHX gene respectively). Molecular Docking to Predict SOS1 Protein of K.scoparia and Regulation in the Salt Stress Molecular docking of the desired fragments isolated from Kochia using SWISSDOCK was performed as followed procedure: First, tertiary structure of se- quence fragments was predicted in the by SWISS- MODEL is a fully automated protein structure hom- ology modelling server [19–22]. Then, target ligand, cAMP from Zinc dock using online service of Swiss Dock available on the Expasy site molecular docking. The best state for interaction was reported using UCSF-Chimera method [23]. Primers Design SOS1 and NHX nucleotides and amino acid sequences aligned and analyzed with Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 Page 3 of 9 Table 1 Plant species and accession numbers of gene sequences used for primer design alignment Gene Plant species Coding sequence length Accession number SOS1 Salicornia brachiata Salicornia dolichostachya Suaeda japonica Suaeda salsa Halogeton glomeratus Spinacia oleracea Mesembryanthemum crystallinum Sesuvium portulacastrum Gossypium hirsutumvoucher Aeluropus littoralis Vitis vinifera 3541 bp 3601 bp 3481 bp 3541 bp 3481 bp 3301 bp 3421 bp 3541 bp 3481 bp 3421 bp 3421 bp 3481 bp EU879059.1 HG799054.1 AB198179.1 KF914414.1 KT759142.1 HG799055.1 EF207776.1 JX674067.1 KM986873.1 JN936862.1 NM_012801211.1 GU177864.1 NHX Salicornia europaea Salicornia bigelovii Salicornia brachiata Kalidium foliatum Halostachys caspica Salsola komarovii Suaeda pruinosa Salsola suaeda Atriplex gmelini Suaeda japonica Suaeda salsa Suaeda corniculata Atriplex halimus Suaeda maritima Chenopodium glaucum Atriplex patens Atriplex dimorphostegia Populuse uphratica Glycine max 2161 bp 2161 bp 1681 bp 1681 bp 1621 bp 2161 bp 1621 bp 1621 bp 2341 bp 1681 bp 1801 bp 1621 bp 1621 bp 1621 bp 1621 bp 1621 bp 1621 bp 1621 bp 1501 bp AY131235.1 DQ157454.1 EU448383.1 AY825250.1 GU188850.1 AB531436.1 KJ452342.1 EU073422.1 AB038492.1 AB198178.1 AF370358.1 DQ512716.1 KJ452341.1 AY261806.1 AY371319.1 KC608048.1 AY211397.1 DQ414512.1 JN872904.1 Table 2 Primers sequences and names were developed for isolation and gene expression of SOS1, NHX in K.scoparia Gene Primers Name Primers Sequences application SOS1 P.SOS.S.FWD1 P.SOS.S.FWD2 P.SOS.S.FWD3 P.SOS.S.FWD4 P.SOS.S.REV1 P.SOS.S.REV2 P.SOS.S.REV3 P.SOS.S.REV4 P.SOS.S.FWD1 5- ATG GCA GCA TCT CGA A-3 5- ACT GGA ACA CTG TTT-3 5- CAA ATG GGA TCT GGC T-3 5- CAC TTT TGG GAG ATG GT-3 5-AGA AAA CAA ACA ATG TTC C -3 5- CCG TTT GAT ATA AGC CA-3 5- GAG ATT ACT TGG TGA ATC-3 5- CAA TAA CAC TTT CCT TCC A-3 5- ATG GCA GCA TCT CGA A-3 NHX P.NHX.S.FWD1 P.NHX.S.REV1 P.NHX.S.FWD2 P.NHX.S.REV2 5-ATGTGGTCACAGTTAAGC-3 5-ATAAGCCATAAGCATCAT −3 5-GTGAGGTTGCTTTAATG-3 5-CCAAATACAGGCCGCAT-3 Gene sequencing P.NHX.S.FWD3 P.NHX.S.REV3 P.NHX.S.FWD1 P.NHX.S.REV1 5-ACAGATTCTGTTTGCAC-3 5-CATAAGACCAGCCCACCA-3 5-ATGTGGTCACAGTTAAGC-3 5-ATAAGCCATAAGCATCAT −3 SOS1 P.SOS.G.F P.SOS.G.R 5-GGAAGGTTTGGGGATGGTAT-3 5-GTCCAGCAAGCAAACCATT-3 Gene expression NHX P.NHX.G.F P.NHX.G.R 5-TTCTGGATTGCTCAGTGCTT-3 5-CAGCCAGCATGTAAGAGAGG-3 Gene expression 18srRNA Forward Reverse 5-ATGATAACTCGACGGATCGC-3 5-CTTGGATGTGGTAGCCGTTT-3 Gene expression Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 Page 4 of 9 Page 4 of 9 Fig. 1 Regulation of ion homeostasis by ion Na+/H+ pumps antiporters (SOS1), vacuolar Na+/H+ exchanger (NHX) that salt sensors present at the plasma and vacuolar membranes [32] Fig. RT-PCR for Analyzing of SOS1 and NHX Gene Expression in K.scoparia under Salt Stress Eight-week-old seedlings Plants were treated in Salinity stress. Afterward plants were irrigated by 150 mM, 300 mM sodium chloride solutions. Then, sampling was done during 12, 48, 72 h after treatment. RNAs were ex- tracted using Total RNA isolation kit (DENA Zist Asia, Iran) from the treated seedlings according to manufac- turer’s instructions. After Dnase1 treatment of RNA sam- ples, 2 μg of RNAs, using Gene All first strand cDNA Synthesis Kit, was reverse transcribed to cDNAs, that were used as templates for semi quantitative RT-PCR. The cDNA amounts were first normalized by 18 s rRNA PCR product intensity. PCR process was performed using the following procedure: 95 0C for 5 min followed by 35 cycles of 950C for 30 s, annealing temperature for 45 s, and 720C for 1 min, and finally 15 min at 720C for final extension. Primers Design 1 Regulation of ion homeostasis by ion Na+/H+ pumps antiporters (SOS1), vacuolar Na+/H+ exchanger (NHX) that salt sensors present at the plasma and vacuolar membranes [32] Molecular Docking to Predict SOS1 Protein of K.scoparia and Regulation in the Salt Stress Molecular Docking to Predict SOS1 Protein of K.scoparia and Regulation in the Salt Stress Gel Analysis for Gene Expression of SOS1 and NHX in K.scoparia under Salt Stress Images of the RT-PCR ethidium bromide-stained agar- ose gels were taken with a Vilber documentation system (E-BOX CX5) and Band intensity was expressed as rela- tive absorbance units. The ratio between the sample Total RNA and 18srRNA was determined and calculated to normalize for initial variations in sample concentra- tion and as a control for reaction efficiency. Mean and standard deviation of all experiments were calculated after normalization to 18srRNA. Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 Page 5 of 9 Table 3 Analysis sequence alignment using MegaBlast (%identity) related to NHX and SOS1 genes isolated from K.scoparia NHX SOS1 No. Plant species %Identity Plant species Identity % 1 Suaeda maritima 90% Salicornia dolichostachya %84 2 Suaeda japonica 89% Salicornia brachiata %84 3 Atriplex gmelini 89% Suaeda japonica %83 4 Suaeda comigulata 89% Suaeda salsa %82 5 Atriplex halimus 89% Beta vulgaris %80 6 Chenopodium glaucum 89% Spinica oleraceae %81 7 Suaeda salsa 89% Sesuvium portulacastum %79 8 Suaeda pruinosa 88% Mesemebryanthemum crystallinum %77 9 Atriplex dimorphostegia 88% Vitis vinifera %78 10 Atriplex patens 88% Populus trichocarpa %76 11 Halostachy scaspica 88% Populus eupharatica %76 sequence alignment using MegaBlast (%identity) related to NHX and SOS1 genes isolated from K.scoparia (Mega Blast) search for sequence homology of SOS1 and NHX genes in the NCBI data base on Table 3 was provided. Maximum identity up to90% with Suade amaritima of NHX gene and for SOS1 gene is 84% by Salicornia brachiata. (Mega Blast) search for sequence homology of SOS1 and NHX genes in the NCBI data base on Table 3 was provided. Maximum identity up to90% with Suade amaritima of NHX gene and for SOS1 gene is 84% by Salicornia brachiata. example; SOS1 gene that characterized in K.scoparia had maximum homology with Beta vulgaris, Salicorni abrachiata, Spinaceaeoleraceae and suadea salsa, While, show the lowest similarity to Helianthus tuberosus and Sorghum bicolor. As well as a highest similarity NHX gene isolated from k.scoparia related to different species from suaeda genus and the lowest similarity be seen with Brachypodium distachyon. According to phylogenic tree; Fig. 2 coding sequences SOS1 and NHX genes isolated from K.scoparia had the maximum identity with Chenpodiaceae family, for a b Fig. 2 The phylogenic relationship between K.scoparia SOS1(a) and NHX(b) with SOS1 and NHX from other plant species. The phylogenic tree was constructed using ClustalW method from the DNASTAR software package. The scale bar indicates substitutions per site. Effects of Salinity Stress on SOS1 and NHX Genes Expression Profiles Effects of Salinity Stress on SOS1 and NHX Genes Expression Profiles domain in these proteins has a For prediction binding of Cyclic nucleotide to cyclic nucleotide-binding domain to SOS1 protein isolated from K.scoparia: First, the tertiary structure of the desired protein domain was predicted (Automated Mode, The pipeline will automatically identify suitable templates based on Blast and HHblits. Cyclic nucleotide-binding domain in these proteins has a com- mon structure with 120 amino acids. The domain consists of three alpha helixes and eight turn structures that form a pore like structure. Three protected glycine amino acids seem important to maintain the barrel shaped structure. In the anticipation of the domain in the K.scoparia, struc- tures such as antiparallel beta sheets and alpha helix asso- ciated with small screws. Using molecular docking (using by Swiss Dock, a protein-small molecule docking web ser- vice based on EADock DSS [25]) of the desired fragments separated from Kochia plant as shown in (Fig. 4). Figure 4, the pore-like structure created in the first part of cyclic nucleotide binding site, provides the most likely connec- tion for cyclic nucleotide cNMP. p Studies have identified salt tolerance determinants in organisms ranging from cyanobacteria to fungi and from algae to higher plants. Research with halophytic species has provided information on adaptive behav- ior but information on the molecular level is still In- sufficient. Furthermore, information related to salt tolerance of K.scoparia at molecular level is insuffi- cient. In this study we tried to be focused on the analysis of isolation, characterization and gene ex- pression pattern of key genes involved in salinity tol- erance in halophytes species such as K.scoparia. Gene expression profile for SOS1 and NHX were checked in 48 h after treatment with 0, 150, 300 mMNaCl. In this study, we found a basal level of SOS1 and NHX in K.scoparia without salt stress, which is regulated with salt treatments. Gene expres- sion Profile for SOS1 and NHX in K.scoparia shoot parts showed that salinization was affected SOS1 and NHX levels positively and positive correlation with salinity levels. In other words K.scoparia compared to control like most halophytes leaves are progressively in- creased under all salinity stress. Amounts of mRNA in- creased for SOS1 gene: 1.5 and 2.5 and NHX gene: 1 and 2 times higher than the control (0 mM) in 150 and 300 mM stressed plants after 48 h of exposure respectively (Fig. 3). Gel Analysis for Gene Expression of SOS1 and NHX in K.scoparia under Salt Stress The protein sequences used for construction of the phylogenetic tree are showed on the branch of tree b a b a Fig. 2 The phylogenic relationship between K.scoparia SOS1(a) and NHX(b) with SOS1 and NHX from other plant species. The phylogenic tree was constructed using ClustalW method from the DNASTAR software package. The scale bar indicates substitutions per site. The protein sequences used for construction of the phylogenetic tree are showed on the branch of tree Page 6 of 9 Page 6 of 9 Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 Effects of Salinity Stress on SOS1 and NHX Genes Expression Profiles While amounts of mRNA increased for SOS1 gene and NHX in root plant but less than the increase in leaves, 1 and 2 times for SOS1, 0.5 and 1-fold higher than the control in 150 and 300 mM treated plants (Fig. 3). Discussion 4 Molecular docking was performed to locate the meeting point of cyclic nucleotide binding to SOS1 protein separated from K.scoparia using the online service of Swiss Dock and UCSF Chimera software. The placed mark on Fig is the pore-like structure available in the area for suitable connection between cyclic nucleotide and the desired location in SOS1 protein isolated from K.scoparia treatments in A. thaliana and T. halophila. It has been re- ported that A. thaliana AtSOS1is expressed at low basal levels but is up-regulated significantly by salt stress in both roots and shoots. Moreover, it regulates other genes in response to salt stress [8, 30]. Based on the con- ducted docking; there is a possibility of hydrogen and hydrophobic connection in the porous structure. The amino acid phenylalanine, lysine, threonine, glycine and arginine have the most connection and position- ing in the porous structure according to their charge, polar, non-polar and structure features. Meanwhile, the conserved glycine amino acids, which are involved in the formation of pore-like structure, are also effect- ive in hydrophobic connections, with further investi- gation on this domain, these factors affecting it can be determined. In the other plants antiporter activity, long cytosolic C-Terminal tail of SOS1 in thought to be involved in the sensing of Na+ [8]. Furthermore, SOS1 has been demonstrated to be a target of SOS pathway, relationships between SOS1 and SOS2/SOS3 can be a way of regulating the activity of SOS1. Certain domains of SOS1 reacted with SOS2/SOS3 that characterization of these domains can be helped to the use of this protein in process will create resistance plants. To provide factors will be affected the SOS1 activity and to determine suitable methods to activate these proteins in Glycophytic plant. On the other NHX exchanger acts as a mediator of K+ transport between cytosol and vacuole, SOS2 also activates the vacuolar-ATPase and vacuolar Na+/K+ antiporter NHX exchangers, which compartmentalization Na+/K+ into vacuoles. K+ compartmentalization in the vacuole could result in a cytosolic K+ deficiency [31]. So, physiological function of NHX in K.scoparia, even in the absence of stress NHX levels positively have correlation with salinity levels. In other words, compared to control K.scoparia like most halophytes leaves progressively in- creases under salinity stress. Discussion Studies have identified salt tolerance determinants in or- ganisms ranging from cyanobacteria to fungi and from algae to higher plants. In plant cell maintain a high K+/ Na+ in the cytoplasm, under normal conditions. Under salt stress conditions plants have several strategies and adaptive mechanisms for tolerant to these conditions. In these mechanisms, to be launched sensing, signal transduction, gene expression and metabolic pathways. Evidence may be these tolerance programs slow and steady adaptation in the sensitives plants. Therefore, understanding the components of these mechanisms in halophytes can do contribute substantially to improving retrofitting sensitive plants. We focused on isolation, characterization and gene expression pattern analysis of main genes involved in salinity tolerance in halophytes from K.scoparia. In the present study, the relatively high basal expression level of V-NHX indicated the important Prediction of SOS1 Antiporter Using Bioinformatic Tools For prediction binding of Cyclic nucleotide to cyclic nucleotide-binding domain to SOS1 protein isolated from K.scoparia: First, the tertiary structure of the desired pro- tein domain was predicted (Automated Mode, The pipe- line will automatically identify suitable templates based on Blast [18] and HHblits [24]. Cyclic nucleotide-binding Fig. 3 Semi quantitative RT-PCR analysis showing differential gene expression in leaf tissues and roots of 12-day-old seedlings for SOS1 and NHX gene of K.scoparia. The expression of each gene was compared relative to its expression in control gene (18 s rRNA). Samplings were carried out at 24 h after treatments with 0, 150, 300 mM salt stress Fig. 3 Semi quantitative RT-PCR analysis showing differential gene expression in leaf tissues and roots of 12-day-old seedlings for SOS1 and NHX gene of K.scoparia. The expression of each gene was compared relative to its expression in control gene (18 s rRNA). Samplings were carried out at 24 h after treatments with 0, 150, 300 mM salt stress Page 7 of 9 Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 Fig. 4 Molecular docking was performed to locate the meeting point of cyclic nucleotide binding to SOS1 protein separated from K.scoparia using the online service of Swiss Dock and UCSF Chimera software. The placed mark on Fig is the pore-like structure available in the area for suitable connection between cyclic nucleotide and the desired location in SOS1 protein isolated from K.scoparia Fig. Competing interests Competing interests The authors declare that they have no competing interests. 22. Biasini M, Bienert S, Waterhouse A, Arnold K, Studer G, Schmidt T, Kiefer F, Cassarino TG, Bertoni M, Bordoli L, Schwede T. SWISS-MODEL: modelling protein tertiary and quaternary structure using evolutionary information. Nucleic Acids Res. 2014;42:252–8. Discussion Biasini M, Bienert S, Waterhouse A, Arnold K, Studer G, Schmidt T, Kiefer F, Cassarino TG, Bertoni M, Bordoli L, Schwede T. SWISS-MODEL: modelling protein tertiary and quaternary structure using evolutionary information. Nucleic Acids Res. 2014;42:252–8. 23. Bordoli L, Kiefer F, Arnold K, Benkert P, Battey J, Schwede T. Protein structure homology modelling using SWISS-MODEL workspace. Nat Protoc. 2009;4:1–13. 24. Remmert M, Biegert A, Hauser A, Soding J. HHblits: lightning-fast iterative protein sequence searching by HMM-HMM alignment. Nat Methods. 2012;9:173–5. 25. Kumar V, Kumar CS, Hari G, Venugopal NK, Vijendra PD, Basappa G. determine how to communicate this antiporter can be controlled out ways of increasing salt tolerance to be properly. Sequencing of SOS2 and prediction of interact with NHX can be used for controlling of SOS pathway. 2. Huang GT, Ma SL, Bai LP, Zhang L, Ma H, Jia P, Liu J, Zhong M, Guo ZF. Signal transduction during cold, salt, and drought stresses in plants. Mol Biol Rep. 2011;39:969–87. 3. Rajendran KA, Tester M, Roy SJ. Quantifying the three main components of salinity tolerance in cereals. Plant Cell Environ. 2009;32:237–49. 3. Rajendran KA, Tester M, Roy SJ. Quantifying the three main components of salinity tolerance in cereals. Plant Cell Environ. 2009;32:237–49. 4. Niu X, Bressan RA, Hasegawa PM, Pardo JM. Ion homeostasis in NaCl stress environments. Plant Physiol. 1995;109:735–42. 4. Niu X, Bressan RA, Hasegawa PM, Pardo JM. Ion homeostasis in NaCl stress environments. Plant Physiol. 1995;109:735–42. Abbreviations l cDNA: Complementary deoxyribonucleic acid; NHX: Tonoplast Na+/H+ exchanger; PCR: Polymerase chain reaction; RT-PCR: Reverse transcription polymerase chain reaction; SOS: Salt overly sensitive; SOS1: Plasma membrane Na+/H+ exchanger 10. Mullinex W. Kochia (Kochia spp.) biology outline and bibliography.1998. 10. Mullinex W. Kochia (Kochia spp.) biology outline and bibliography.1998. 11. Kafi M, Asadi H, Ganjeali A. Possible utilization of high-salinity waters and application of low amounts of water for production of the halophyte K. scoparia as alternative fodder in saline agroecosystems. Agric Water Manag. 2010;97:139–47. Author details 1 f 25. Kumar V, Kumar CS, Hari G, Venugopal NK, Vijendra PD, Basappa G. Homology modeling and docking studies on oxidosqualene cyclases associated with primary and secondary metabolism of Centella asiatica. Springer Plus. 2013;2:1. 26. Khedr AHA, Serag MS, Nemat-Alla MM, El-Naga AZA, Nada RM, Quick WP, Abogadallah GM. Growth stimulation and inhibition by salt in relation to Na+ manipulating genes in xero-halophyte Atriplex halimus L. Acta Physiol Plant. 2011;33:1769–84. Conclusion 5. Gaxiola RA, Rao R, Sherman A, Grifasi P, Alpier SL, Fink GR. The Arabidopsis thaliana proton transporters, AtNHX1 and Avp1, can function in cation detoxification in yeast. Proc Natl Acad Sci U S A. 1999;96:1480–5. Conclusion In my study SOS1 and NHX genes se- quenced and determined Proteins characteristics with Insilco tools. Characterization of other genes involved these pathways and signaling pathway and investigation invitro of proteins are a promising area of research that may lead to improvements in the biomass production of crop with external applications materials and genetic manipulation. 6. Shi H, Quintero FJ, Pardo JM, Zhu JK. The putative plasma membrane Na+/H+ antiporter SOS1 controls long-distance Na+ transport in plants. Plant Cell. 2002;14:465–77. 7. Blumwald E, Aharon GS, Apse MP. Sodium trans Biochimica Biophysica Acta. 2000;1465:140–51. 7. Blumwald E, Aharon GS, Apse MP. Sodium tran Biochimica Biophysica Acta. 2000;1465:140–51. 8. Shi H, Ishitani M, Kim C, Zhu JK. The Arabidopsis thaliana salt tolerance gene SOS1 encodes a putative Na+/H+ antiporter. Proc Natl Acad Sci USA. 2000;12:6896–901. 8. Shi H, Ishitani M, Kim C, Zhu JK. The Arabidopsis thaliana salt tolerance gene SOS1 encodes a putative Na+/H+ antiporter. Proc Natl Acad Sci USA. 2000;12:6896–901. 9. Quintero FJ, Martinez-Atienza J, Villalta I, Jiang X, Kim WY, Ali Z, Fujii H, Mendoza I, Yun DJ, Zhu JK, Pardo JM. Activation of the plasma membrane Na/H antiporter salt-overly sensitive 1 (SOS1) by phosphorylation of an auto-inhibitory C-terminal domain. Proc Natl Acad Sci USA. 2011;108:2611–6. Acknowledgements f l ll We are grateful to all members of department of plant breeding and biotechnology, University of Zabol for their helpful discussion and technical assistance. 12. Choi J, Lee KT, Jung HJ, Park HS, Park HJ. Anti-rheumatoid arthritis effect of the Kochia. Arch Pharma Cal Res. 2002;25:336–42. 13. Kim NY, Lee MK, Park MJ, Kim SJ, Park HJ. Momordin Ic and Oleanolic acid from Kochiae Fructus reduce carbon tetrachloride induced hepatoxicity in rats. J Med Food. 2005;8:177–83. Availability of data and materials 15. Friesen LF, Beckie HJ, Warwick SI, Van RC. The biology of Canadian weeds. 138. K.scoparia (L.) Schrad. Can J Plant Sci. 2009;89:141–67. 15. Friesen LF, Beckie HJ, Warwick SI, Van RC. The biology of Canadian weeds. 138. K.scoparia (L.) Schrad. Can J Plant Sci. 2009;89:141–67. The datasets measured and analyzed during the study are available from the corresponding authors upon reasonable request. 138. K.scoparia (L.) Schrad. Can J Plant Sci. 2009;89:141–67. 16. Beckie HJ, Blackshaw RE, Low R, Hall LM, Sauder CA, Martin S, Brandt RN, Shirriff SW. Glyphosate-and acetolactate synthase inhibitor–resistant kochia (Kochia scoparia) in western Canada. Weed Sci. 2013;61:310–8. Funding Funding Publication of this article was funded by University of Zabol. g Publication of this article was funded by University of Zabol. Publication of this article was funded by University of Zab 14. Whitney HM, Sayanova JA, Pickett JA. Isolation and expression pattern of two putative acyl-ACP desaturase cDNAs from K.scoparia. J Exp Bot. 2004;55:787–9. 14. Whitney HM, Sayanova JA, Pickett JA. Isolation and expression pattern of two putative acyl-ACP desaturase cDNAs from K.scoparia. J Exp Bot. 2004;55:787–9. Publisher’s Note 23. Bordoli L, Kiefer F, Arnold K, Benkert P, Battey J, Schwede T. Protein structure homology modelling using SWISS-MODEL workspace. Nat Protoc. 2009;4:1–13. 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. 24. Remmert M, Biegert A, Hauser A, Soding J. HHblits: lightning-fast iterative protein sequence searching by HMM-HMM alignment. Nat Methods. 2012;9:173–5. 24. Remmert M, Biegert A, Hauser A, Soding J. HHblits: lightning-fast iterative protein sequence searching by HMM-HMM alignment. Nat Methods. 2012;9:173–5. Author details 1Department of Plant Breeding and Biotechnology, University of Zabol, Zabol 98613-35856, Iran. 2Agriculture and Biotechnology Research Institute, University of Zabol, Zabol 98613-35856, Iran. Author details 1Department of Plant Breeding and Biotechnology, University of Zabol, Zabol 98613-35856, Iran. 2Agriculture and Biotechnology Research Institute, University of Zabol, Zabol 98613-35856, Iran. Consent for publication Not applicable. Consent for publication Not applicable. 21. Kiefer F, Arnold K, Künzli M, Bordoli L, Schwede T. The SWISSMODEL repository and associated resources. Nucleic Acids Res. 2009;37:387–92. Competing interests The authors declare that they have no competing interests. Authors’ contributions LF and ZF performed the experiments, analysis and interpretation of data. LF and ZF were involved in the conception and experimental designs, interpretation of results and advisements. LF and ZF drafted the manuscript. LF and ZF finalized the manuscript. All the authors have read and approved the final manuscript. 17. Borrelli F, Izzo AA. The plant kingdom as a source of anti-ulcer remedies. Phytother Res. 2000;14:581–91. 18. Altschul SF, Gish W, Miller W, Myers EW, Lipman DJ. Basic local alignment search tool. J Mol Biol. 1990;215:403–10. 19. Arnold K, Bordoli L, Kopp J, Schwede T. The SWISS-MODEL workspace: a web-based environment for protein structure homology modelling. Bioinformatics. 2006;22:195–201. Ethics approval and consent to participate This article does not contain any studies with human participants. 20. Guex N, Peitsch MC, Schwede T. Automated comparative protein structure modeling with SWISS MODEL and Swiss PdbViewer: a historical perspective. Electrophoresis. 2009;30:162–73. Discussion Amounts of mRNA in- creased for NHX gene: 1 and 2 times higher than the control (0 mM) in 150 and 300 mM stressed plants after 48 h of exposure respectively (Fig. 4), the higher NHX1 expression in the leaves was a prompt response to NaCl treatment which could have helped decrease the Na+ content in the cytoplasm and maintain water concentrations [26]. Previously transgenic studies have shown that the over expression of the NHX1 gene significantly enhanced plant salt tolerance abilities, in transgenic Arabidopsis over expressing AtNHX1, higher activities of the vacuolar Na+/H+ antiporter were observed and enabling it to grow in the presence of 200 mMNaCl [27]. The over expression of the cotton Na+/H+ antiporter gene GhNHX1 in tobacco improved salt tolerance in comparison with wild-type plants [28]. Na+/H+ antiporter is an important membrane protein responsible for pumping Na+ into the vacuole to reduce Na+ toxicity and alleviate the adverse effects of salt stress [28]. The expression of the K. s SOS1 gene in L. fusca was regulated by Na+ and to characterize the engagement of SOS1 in kochia response to saline conditions, results showed that a basal level of K.scoparia SOS1 transcripts in plants without salt stress, which up-regulated significantly with salt treatments. Amounts of mRNA increased for SOS1 gene and NHX in roots plant but less than the increase in leaves, once and twice times for SOS1, 0.5 and 1 time higher than the control in 150 and 300 mM treated plants. These results are in agreement with the Oh et al. [29], report about the in- crease of the SOS1 expression level in response to salt Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 Page 8 of 9 Page 8 of 9 Page 8 of 9 2. Huang GT, Ma SL, Bai LP, Zhang L, Ma H, Jia P, Liu J, Zhong M, Guo ZF. Signal transduction during cold, salt, and drought stresses in plants. Mol Biol Rep. 2011;39:969–87. 3. Rajendran KA, Tester M, Roy SJ. Quantifying the three main components of salinity tolerance in cereals. Plant Cell Environ. 2009;32:237–49. 4. Niu X, Bressan RA, Hasegawa PM, Pardo JM. Ion homeostasis in NaCl stress environments. Plant Physiol. 1995;109:735–42. 5. Gaxiola RA, Rao R, Sherman A, Grifasi P, Alpier SL, Fink GR. The Arabidopsis thaliana proton transporters, AtNHX1 and Avp1, can function in cation detoxification in yeast. Proc Natl Acad Sci U S A. 1999;96:1480–5. 6. Discussion Shi H, Quintero FJ, Pardo JM, Zhu JK. The putative plasma membrane Na+/H+ antiporter SOS1 controls long-distance Na+ transport in plants. Plant Cell. 2002;14:465–77. 7. Blumwald E, Aharon GS, Apse MP. Sodium transport in plant cells. Biochimica Biophysica Acta. 2000;1465:140–51. 8. Shi H, Ishitani M, Kim C, Zhu JK. The Arabidopsis thaliana salt tolerance gene SOS1 encodes a putative Na+/H+ antiporter. Proc Natl Acad Sci USA. 2000;12:6896–901. 9. Quintero FJ, Martinez-Atienza J, Villalta I, Jiang X, Kim WY, Ali Z, Fujii H, Mendoza I, Yun DJ, Zhu JK, Pardo JM. Activation of the plasma membrane Na/H antiporter salt-overly sensitive 1 (SOS1) by phosphorylation of an auto-inhibitory C-terminal domain. Proc Natl Acad Sci USA. 2011;108:2611–6. 10. Mullinex W. Kochia (Kochia spp.) biology outline and bibliography.1998. 11. Kafi M, Asadi H, Ganjeali A. Possible utilization of high-salinity waters and application of low amounts of water for production of the halophyte K. scoparia as alternative fodder in saline agroecosystems. Agric Water Manag. 2010;97:139–47. 12. Choi J, Lee KT, Jung HJ, Park HS, Park HJ. Anti-rheumatoid arthritis effect of the Kochia. Arch Pharma Cal Res. 2002;25:336–42. 13. Kim NY, Lee MK, Park MJ, Kim SJ, Park HJ. Momordin Ic and Oleanolic acid from Kochiae Fructus reduce carbon tetrachloride induced hepatoxicity in rats. J Med Food. 2005;8:177–83. 14. Whitney HM, Sayanova JA, Pickett JA. Isolation and expression pattern of two putative acyl-ACP desaturase cDNAs from K.scoparia. J Exp Bot. 2004;55:787–9. 15. Friesen LF, Beckie HJ, Warwick SI, Van RC. The biology of Canadian weeds. 138. K.scoparia (L.) Schrad. Can J Plant Sci. 2009;89:141–67. 16. Beckie HJ, Blackshaw RE, Low R, Hall LM, Sauder CA, Martin S, Brandt RN, Shirriff SW. Glyphosate-and acetolactate synthase inhibitor–resistant kochia (Kochia scoparia) in western Canada. Weed Sci. 2013;61:310–8. 17. Borrelli F, Izzo AA. The plant kingdom as a source of anti-ulcer remedies. Phytother Res. 2000;14:581–91. 18. Altschul SF, Gish W, Miller W, Myers EW, Lipman DJ. Basic local alignment search tool. J Mol Biol. 1990;215:403–10. 19. Arnold K, Bordoli L, Kopp J, Schwede T. The SWISS-MODEL workspace: a web-based environment for protein structure homology modelling. Bioinformatics. 2006;22:195–201. 20. Guex N, Peitsch MC, Schwede T. Automated comparative protein structure modeling with SWISS MODEL and Swiss PdbViewer: a historical perspective. Electrophoresis. 2009;30:162–73. 21. Kiefer F, Arnold K, Künzli M, Bordoli L, Schwede T. The SWISSMODEL repository and associated resources. Nucleic Acids Res. 2009;37:387–92. 22. 6. Shi H, Quintero FJ, Pardo JM, Zhu JK. The putative plasma membrane Na+/H+ antiporter SOS1 controls long-distance Na+ transport in plants. Plant Cell. 2002;14:465–77. 32. Chinnusamy V, Schumaker K, Zhu JK. Molecular genetic perspectives on cross talk and specificity in abiotic stress signaling in plants. J Exp Bot. 2004; 55:225–36. Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 31. Zhang YM, Zhang HM, Liu ZH, Li HC, Guo XL, Li GL. The wheat NHX antiporter gene TaNHX2 confers salt tolerance in transgenic alfalfa by increasing the retention capacity of intracellular potassium. Plant Mol Biol. 2015;87:317–27. 28. Wu CA, Yang GD, Meng QW, Zheng CC. The cotton GhNHX1 gene encoding a novel putative tonoplast Na+/H+ antiporter plays an important role in salt stress. Plant Cell Physiol. 2004;45:600–7. 29. Oh D, Leidi E, Zhang Q, Hwamg S, Li Y, Quintero FJ, Jiang X, D'Urzo MP, Lee SY, Zhao Y, Bahk JD, Bressan RA, Yun D, Pardo JM, Bohnert HJ. Loss of halophytism by interference with SOS1 expression. Plant Physiol. 2009;151:210–22. 30. Gong Z, Koiwa H, Cushman MA, Ray A, Bufford D, Kore-eda S, Matsumoto TK, Zhu J, Cushman J, Bressan RA, Hasegawa PM. Genes that are uniquely stress regulated in salt overly sensitive (sos) mutants. Plant Physiol. 2001;126:363–75. 31. Zhang YM, Zhang HM, Liu ZH, Li HC, Guo XL, Li GL. The wheat NHX antiporter gene TaNHX2 confers salt tolerance in transgenic alfalfa by increasing the retention capacity of intracellular potassium. Plant Mol Biol. 2015;87:317–27. 32. Chinnusamy V, Schumaker K, Zhu JK. Molecular genetic perspectives on cross talk and specificity in abiotic stress signaling in plants. J Exp Bot. 2004; 55:225–36. 30. Gong Z, Koiwa H, Cushman MA, Ray A, Bufford D, Kore-eda S, Matsumoto TK, Zhu J, Cushman J, Bressan RA, Hasegawa PM. Genes that are uniquely stress regulated in salt overly sensitive (sos) mutants. Plant Physiol. 2001;126:363–75. 28. Wu CA, Yang GD, Meng QW, Zheng CC. The cotton GhNHX1 gene encoding a novel putative tonoplast Na+/H+ antiporter plays an important role in salt stress. Plant Cell Physiol. 2004;45:600–7. References 27. Apse MP, Aharon GS, Snedden WA, Blumwald E. Salt tolerance conferred by overexpression of a vacuolar Na+/H+ antiport in Arabidopsis. Science. 1999; 285:1256–8. 27. Apse MP, Aharon GS, Snedden WA, Blumwald E. Salt tolerance conferred by overexpression of a vacuolar Na+/H+ antiport in Arabidopsis. Science. 1999; 285:1256–8. Page 9 of 9 Fahmideh and Fooladvand Biological Procedures Online (2018) 20:11 28. Wu CA, Yang GD, Meng QW, Zheng CC. The cotton GhNHX1 gene encoding a novel putative tonoplast Na+/H+ antiporter plays an important role in salt stress. Plant Cell Physiol. 2004;45:600–7. 29. Oh D, Leidi E, Zhang Q, Hwamg S, Li Y, Quintero FJ, Jiang X, D'Urzo MP, Lee SY, Zhao Y, Bahk JD, Bressan RA, Yun D, Pardo JM, Bohnert HJ. Loss of halophytism by interference with SOS1 expression. Plant Physiol. 2009;151:210–22. 30. Gong Z, Koiwa H, Cushman MA, Ray A, Bufford D, Kore-eda S, Matsumoto TK, Zhu J, Cushman J, Bressan RA, Hasegawa PM. Genes that are uniquely stress regulated in salt overly sensitive (sos) mutants. Plant Physiol. 2001;126:363–75. 31. Zhang YM, Zhang HM, Liu ZH, Li HC, Guo XL, Li GL. The wheat NHX antiporter gene TaNHX2 confers salt tolerance in transgenic alfalfa by increasing the retention capacity of intracellular potassium. Plant Mol Biol. 2015;87:317–27. References • 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: • 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: Submit your next manuscript to BioMed Central and we will help you at every step:
https://openalex.org/W3106201640
https://link.springer.com/content/pdf/10.1007/JHEP05(2020)142.pdf
English
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Slepian models for Gaussian random landscapes
˜The œJournal of high energy physics/˜The œjournal of high energy physics
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Published for SISSA by Springe Published for SISSA by Springer Received: December 26, 2019 Revised: April 27, 2020 Accepted: May 4, 2020 Published: May 27, 2020 Received: December 26, 2019 Revised: April 27, 2020 Accepted: May 4, 2020 Published: May 27, 2020 Slepian models for Gaussian random landscapes JHEP05(2020)142 Jose J. Blanco-Pillado,a,b Kepa Sousac and Mikel A. Urkiolaa aDepartment of Theoretical Physics, University of the Basque Country, UPV/EHU, 48080, Bilbao, Spain bIKERBASQUE, Basque Foundation for Science, 48011, Bilbao, Spain cInstitute of Theoretical Physics, Faculty of Mathematics and Physics, Charles University in Prague, V Holesˇoviˇck´ach 2, Prague, Czech Republic E-mail: josejuan.blanco@ehu.eus, kepa.sousa@utf.mff.cuni.cz, mikel.alvarezu@ehu.eus Open Access, c⃝The Authors. Article funded by SCOAP3. Jose J. Blanco-Pillado,a,b Kepa Sousac and Mikel A. Urkiolaa https://doi.org/10.1007/JHEP05(2020)142 Contents 1 Introduction 1 2 Preliminaries for Gaussian random fields 3 3 Slepian models for constrained Gaussian random fields 4 3.1 Slepian models for critical points 5 3.2 Slepian models for inflection points 7 3.3 2D numerical implementation 9 4 Tunneling in a Gaussian random landscape 9 4.1 Statistics of the instanton action 13 4.1.1 Dependence with the height 13 4.2 Approximations for the calculation of the action 14 4.2.1 Thin wall approximation 14 4.2.2 Straight-path approximation 15 4.3 The lowest action 16 4.3.1 Exit angle 16 4.3.2 Estimating the lowest action 16 5 Inflation in a Slepian random landscape 18 5.1 1D inflection point inflation 19 5.2 Numerical inflection points in a 2D landscape 20 5.3 Statistics of inflationary parameters 21 6 Summary and conclusions 24 A Construction of Slepian models 27 A.1 Introductory remarks and some properties of Gaussian random variables 27 A.2 Conditioned Gaussian random vectors 27 A.3 Gaussian random fields 29 A.4 Useful correlations 29 A.5 The Kac-Rice formula and conditioned Gaussian random fields 31 A.6 Conditioned Gaussian random field for a critical point 31 A.6.1 Analysis of a conditioned 2D Gaussian field 35 A.6.2 Distribution of heights and eigenvalues of the Hessian at a critical point 35 A.7 Conditioned Gaussian random field for an inflection point 36 A.7.1 Probability distribution for the inflection point parameters 38 B Numerical implementation and tests of the probability distributions 38 B.1 Generation of Gaussian random fields: Karhunen-Lo`eve expansion 38 B.2 Numerical evaluations of critical points 39 B.3 Numerical evaluations of inflection points 41 1 Introduction 2 Preliminaries for Gaussian random fields 3 Slepian models for constrained Gaussian random fields 3.1 Slepian models for critical points 3.2 Slepian models for inflection points 3.3 2D numerical implementation JHEP05(2020)142 4 Tunneling in a Gaussian random landscape 4 Tunneling in a Gaussian random landscape 4.1 Statistics of the instanton action 4.1.1 Dependence with the height 4.1.1 Dependence with the height p g 4.2 Approximations for the calculation of the action 4.2.1 Thin wall approximation 4.2.2 Straight-path approximation 4.3 The lowest action 4.3.1 Exit angle 4.3.2 Estimating the lowest action 4.3.2 Estimating the lowest action 5 Inflation in a Slepian random landscape Jose J. Blanco-Pillado,a,b Kepa Sousac and Mikel A. Urkiolaa aDepartment of Theoretical Physics, University of the Basque Country, UPV/EHU, 48080, Bilbao, Spain cInstitute of Theoretical Physics, Faculty of Mathematics and Physics, Charles University in Prague, V Holesˇoviˇck´ach 2, Prague, Czech Republic Abstract: Phenomenologically interesting scalar potentials are highly atypical in generic random landscapes. We develop the mathematical techniques to generate constrained ran- dom potentials, i.e. Slepian models, which can globally represent low-probability realiza- tions of the landscape. We give analytical as well as numerical methods to construct these Slepian models for constrained realizations of a full Gaussian random field around critical as well as inflection points. We use these techniques to numerically generate in an efficient way a large number of minima at arbitrary heights of the potential and calculate their non-perturbative decay rate. Furthermore, we also illustrate how to use these methods by obtaining statistical information about the distribution of observables in an inflationary inflection point constructed within these models. Keywords: Cosmology of Theories beyond the SM, Stochastic Processes, Superstring Vacua ArXiv ePrint: 1911.07618 ArXiv ePrint: 1911.07618 ArXiv ePrint: 1911.07618 Open Access, c⃝The Authors. Article funded by SCOAP3. 1 Introduction The low energy description of many higher dimensional theories involve a large number of fields (moduli fields) that need to be stabilized. This is normally achieved by the existence of a potential that fixes the values of these fields to a local minimum of that potential function. A typical example of this procedure can be found in String Theory compactification scenarios. In particular, models of flux compactification have been shown to lead to an enormous set of possible 4d potentials that can have many local minima. The typical number of moduli fields in these cases is quite large, reaching often the order of a few hundred. This makes prohibitively difficult to study these potentials in detail and one is forced to look for simple models where the field space has been truncated to a small subset of fields. Alternatively, one can try to study these models by taking a more statistical approach, where the scalar potential is regarded as a random field whose sample space is the set of 4d low-energy effective potentials. These ideas have been pursued in relation to the study of the stability of critical points in these potentials in [1–3], as well as the description of cosmological models for the early universe in [4–6]. JHEP05(2020)142 In many of these studies one is interested in particular points of the landscape such as, for example, a minimum with some value of its cosmological constant, or an inflection point with a particular set of conditions in its derivatives necessary for it to sustain infla- tion. However, depending on the restrictions imposed, it may be very difficult to obtain an example of the potential with these characteristics by producing random realizations of the scalar potential. Indeed, metastable de Sitter vacua and inflationary points com- patible with observations are very rare in generic landscapes, with probabilities scaling as P ∼exp(−Np f ), where Nf is the number of scalar fields in the theory, and p > 0 is a number of order one [7–12]. To obtain realizations with the desired properties, one can of course use a Taylor expansion around the point in question and take into account the probability distribution for its coefficients [13, 14]. 5 Inflation in a Slepian random landscape 5 Inflation in a Slepian random landscape 18 5.1 1D inflection point inflation 19 5.2 Numerical inflection points in a 2D landscape 20 5.3 Statistics of inflationary parameters 21 6 Summary and conclusions 24 A Construction of Slepian models 27 A.1 Introductory remarks and some properties of Gaussian random variables 27 A.2 Conditioned Gaussian random vectors 27 A.3 Gaussian random fields 29 A.4 Useful correlations 29 A.5 The Kac-Rice formula and conditioned Gaussian random fields 31 A.6 Conditioned Gaussian random field for a critical point 31 A.6.1 Analysis of a conditioned 2D Gaussian field 35 A.6.2 Distribution of heights and eigenvalues of the Hessian at a critical point 35 A.7 Conditioned Gaussian random field for an inflection point 36 A.7.1 Probability distribution for the inflection point parameters 38 B Numerical implementation and tests of the probability distributions 38 B.1 Generation of Gaussian random fields: Karhunen-Lo`eve expansion 38 B.2 Numerical evaluations of critical points 39 B.3 Numerical evaluations of inflection points 41 5.1 1D inflection point inflation 5.2 Numerical inflection points in a 2D landscape 5.3 Statistics of inflationary parameters – i – 1For another method of generating a specific class of constrained Gaussian random fields, see [15]. 1 Introduction However this becomes quite compli- cated as one increases the number of fields and the field range that one is interested in.1 Moreover, with this type of procedures it is not possible to capture correctly the global properties of the scalar potential, which are essential to study quantum decay processes in the landscape. Here we present a different strategy to generate these potentials that locally will be constrained to have a particular form, but that globally will still represent a faithful realization of the random landscape, the so-called Slepian models [16]. Several different methods have been suggested as a way to represent these random potentials in the landscape. In this paper we will concentrate on potentials described by Gaussian Random Fields (GRFs). This is based on the assumption that the 4d potential can be thought of as a sum of many different terms, of classical and quantum origin, coming from the compactification mechanism rendering the final result a Gaussian random field. This type of models have also been studied in connection to the distribution of vacua and its stability [9, 17, 18] as well as inflation [13–15, 19, 20] in the landscape. As an illustration of the mathematical techniques presented here for the construction of constrained GRFs we develop Slepian models that are locally described by critical points (maxima, minima and – 1 – saddle points) as well as inflection points and use these realizations to extract important statistical information about them. In particular, we will first study the quantum mechanical stability of local minima in these landscapes. In order to do so, we will compute numerically the decay rate of these minima using the quantum tunneling techniques first described in a series of papers in [21, 22]. The result of this quantum instability is the creation of a bubble instanton that interpolates between the false vacuum and the true vacuum states. Using these Euclidean methods one can evaluate the probability of this decay channel and therefore estimate the lifetime of any specific vacuum. The calculation of these tunneling events in a multidimen- sional potential is however notoriously difficult. Recently some work on this direction has been done in relation to the stability of vacua in models with large number of dimensions in field space. It has been argued that the probability of the decay depends exponentially on the number of fields although the particular scaling is still uncertain [23–26]. 1 Introduction JHEP05(2020)142 In this paper we will study these tunneling events in models of Gaussian random potentials. In particular we are interested in studying the dependence of the tunnelling rate with the height of the potential at the false vacuum. For large values of the cosmological constant this calculation would be impossible without constraining methods, since the number of these minima is negligible compared to the minima at lower values of the field. Our techniques allowed us to efficiently generate the same number of minima for different heights and have a good sample of cases from where we can extract statistical information. The obtained distribution for the instanton actions SE (which determines the decay rate Γ ∼e−SE) is displayed in figures 5 and 6, where we found that the average dependence of the decay rate on the false vacuum height Vfv is given by log10  SE U −1 0 Λ4  ≈3.29 exp  −0.18Vfv U0  , where U0 and Λ are the characteristic energy and length scale (in field space) of our potential respectively. The distribution for the Euclidean action becomes increasingly peaked around its mean, and thus more predictive, for larger values of Vfv. As we show in the main text, this enhancement of the predictability can be explained using Slepian models for very atypical extrema of the potential, such as high minima. Our second application involves the generation of inflection points. These are some of the most likely points in the landscape where cosmological inflation can happen. However this does not mean that an arbitrary inflection point would lead to inflation. Obtaining a successful inflationary period consistent with the current cosmological observations still requires some amount of fine tuning of the potential around the inflection point. Therefore, to characterise the distribution of observables for these inflationary models in the landscape one should again use some sort of constraining method, and look at a particular set of non-generic inflection points. In the present paper we will explore the dependence of the observable parameters of inflation to its initial conditions in the landscape. In particular we will take the initial conditions for the fields to be the ones determined by the exit point of an instanton describing the transition from a nearby parent false vacuum. 1 Introduction Note that in order to perform this analysis, one requires not only the knowledge of the potential around the – 2 – inflection point but also its relation to nearby minima. Hence our method, which accurately captures the global statistical properties of the potential, is particularly suitable to carry out this investigation. It is worth noting that, to the best of our knowledge, this is the first time that an Slepian model for inflection points is presented in the literature. The effect of the tunneling in the initial stages of inflation has also been discussed in [14, 27–29]. The remaining of the paper is organized as follows. In section 2 we introduce the notation that we will be using for describing our random potential function as a GRF. In section 3 we will outline the method for generating constrained random potentials as Slepian models. In section 4, we implement these ideas for a 2d field space landscape and generate a large set of random potentials with a minimum at a specific point in field space. This allows us to compute the tunneling paths from these minima and determine the statistics of the decay rate. In section 5, we condition the random potential to have an inflection point suitable for inflation, and study the effect of the initial conditions set by the tunneling process from a nearby minimum. We conclude in section 6 with some comments on the results and some further ideas that can be implemented with these numerical techniques. Some of the mathematical details and numerical proofs have been left for the appendices. In the present work, unless otherwise stated, we will use reduced Planck units M−2 pl = 8πG/(ℏc) = 1. JHEP05(2020)142 2 Preliminaries for Gaussian random fields In this paper we will take our random potential, V (φ), to be a Gaussian random field defined over a N-dimensional field space, which we will parametrize with the vector φ = {φi}, with i = 1, . . . , N. Furthermore, we will consider the probability distribution for the random potential to be homogeneous and isotropic, so its covariance function will only depend on the distance between the points at which it is evaluated, in other words it is of the form (2.1) ⟨V (φ1)V (φ2)⟩= C(|φ1 −φ2|) . (2.1) e will additionally require the potential to have a null mean: We will additionally require the potential to have a null mean: ⟨V (φ)⟩= 0 . (2.2) (2.2) In the rest of the paper we will evaluate our expressions using the following simple covariance function: In the rest of the paper we will evaluate our expressions using the following simple covariance function: C(φ) = U 2 0 exp  −φ2 2Λ2  , (2.3) (2.3) for the case of N = 2 field space dimensions. The parameter U0 sets the energy scale of the potential while Λ represents the correlation length in field space. It is important to realize that the techniques used in this paper are generic and can be applied to other interesting situations like, for example, non-Gaussian covariance functions so in this sense these constructions are quite more generic than the ones presented in [15]. We have decided – 3 – to use the simple Gaussian covariance function since it considerably simplifies some of the expressions in this paper.2 In the following we will be interested in the value of the field and its derivatives at a particular point in field space, which we can take to be φ = 0 without loss of generality, and we will refer to it as the center of field space. In order to simplify the notation we introduce the following definitions for the value of the potential and its derivatives: u = V (φ)|φ=0, ηi = ∂V (φ) ∂φi φ=0 , ζij = ∂2V (φ) ∂φi∂φj φ=0 , ρijk = ∂3V (φ) ∂φi∂φj∂φk φ=0 . Furthermore, we will denote the eigenvalues of the Hessian matrix by λi with i = 1, 2 which will single out the directions 1, 2 in our field space. 2 Preliminaries for Gaussian random fields Note that the derivatives of the scalar potential are also Gaussian random variables, and therefore any collection of the previous quantities forms a Gaussian random vector. In appendix A.4 we will give the expressions for the correlators between these different derivatives of the potential as a function of the derivatives of the covariance function C(φ). These correlations will play an important role in some parts of our discussions. JHEP05(2020)142 3See a brief description of the Kac-Rice formula in the current context in appendix A.5. 3 Slepian models for constrained Gaussian random fields A key point in our construction of the GRF rests on the fact that a conditioned GRF maintains its Gaussian nature. More specifically, homogeneous and isotropic processes (such as the GRFs we are dealing with) can be conditioned using the Kac-Rice formula [30] in order to obtain new mean and covariance functions which generate GRFs with the required constraints.3 The models for stochastic processes dealing with conditional events and crossings where pioneered by David Slepian [16], and have thus been coined in the mathematical literature as Slepian models. We can describe these constrained processes in a generic form in the following way. For simplicity, let us consider first a Gaussian random p-dimensional vector, composed of jointly Gaussian variables, xT = (x1, . . . , xp), whose probability distribution function (PDF) is given by, f(x) = 1 (2π)p/2√ det Σ exp  −1 2(x −µ)T Σ−1 (x −µ)  (3.1) (3.1) where µ=⟨x⟩is the mean vector and Σ is the covariance matrix, whose elements are given by Σab = ⟨(xa −µa)(xb −µb)⟩, (3.2) (3.2) with a, b = 1, . . . , p. with a, b = 1, . . . , p. with a, b = 1, . . . , p. Let us now consider the following decomposition of the random vector x = (x1, x2), where x2 are pc components of the vector x that will be constrained by a condition x2 = ˜x, 2Note, however, that this covariance function leads to a somewhat special form of the Hessian matrix for the minima in this GRF (See for example the discussion of this point in [18].) It would be interesting to check whether this could have any quantitative effect on the conclusions of our paper. 3 3See a brief description of the Kac-Rice formula in the current context in appendix A.5. – 4 – and x1 are the remaining p −pc unconstrained elements. Then one can show [30, 31] that the distribution probability for x1 holding x2 fixed to the desired values is given by, ˜f(x1|x2 = ˜x) = 1 (2π) p−pc 2 p det ˜Σ exp  −1 2 (x1 −˜µ)T ˜Σ−1 (x1 −˜µ)  , (3.3) (3.3) which shows that the distribution for the variables x1 is indeed a Gaussian distribution but now with a mean and covariance functions given in terms of the original ones as ˜µ = µ1 + Σ12Σ−1 22 (˜x −µ2) , ˜Σ = Σ11 −Σ12Σ−1 22 Σ21 , (3.4) (3.4) JHEP05(2020)142 where µ1 and µ2 are the means of the vectors x1 and x2 respectively, and Σ11 = ⟨(x1 −µ1)(x1 −µ1)⟩, Σ12 = Σ21 = ⟨(x1 −µ1)(x2 −µ2)⟩, Σ22 = ⟨(x2 −µ2)(x2 −µ2)⟩. (3.5) (3.5) This is possible because one can always find a new Gaussian random vector x′ = (x′ 1, x′ 2), connected to the original one with a non-singular linear transformation x′ = A · x, such that x′ 2 = x2 is uncorrelated to x′ 1. We show in appendix A.2 a proof of this statement. In the rest of the paper we will use this fact in several different ways, apply- ing this technique for Gaussian random vectors made of different quantities of our potential. 3.1 Slepian models for critical points In this section we will use the methods described earlier to generate a Gaussian random field with a critical point with a specific height at the center, φ = 0. In other words, we will find a description of the new GRF conditioned so that the point at its center satisfies the following properties: V (0) = u and V ′ i (0) = ηi = 0 for i = 1, 2. In order to do this we will follow the prescription used in the mathematical literature for maxima in GRF [32] and adapt it to our case. Let us start by introducing the following Gaussian random vector: x = {V (φ1), . . . , V (φq), V (0), η1, η2, ζ11, ζ22, ζ12} (3.6) (3.6) where we denote by φa, with a = 1, . . . , q, the position in field space of a discrete set of q points. One can show that the Gaussian random vector x has zero mean, and a probability distribution that can be readily computed using the form of the covariance function and its derivatives. This is a somewhat lengthy calculation and we have given the general expression in appendix A.6. According to the description for constrained Gaussian random vectors given above this is all we need to obtain the new mean and covariance function for the new conditioned vector (and thus, also for the constrained GRF). Using the results in appendix A.6, one can show that the new mean function for the GRF with the constrained conditions is given by, ˜µ(φ) = e−φ2 2Λ2 " u  1 + φ2 2Λ2  + 1 2 2 X i=1 φ2 i λi # . (3.7) (3.7) – 5 – This result corresponds to the particular choice of covariance function in eq. (2.3), and is written in terms of the value of the field V (0) = u and the eigenvalues of the Hessian matrix at the center, λi, which are to be drawn from the distribution in eq. (3.9) below. The new covariance function is ˜C(φ1, φ2) = U 2 0 exp  −|φ1|2 + |φ2|2 2Λ2   exp φ1 · φ2 Λ2  −1 −φ1 · φ2 Λ2 −(φ1 · φ2)2 2Λ4  , (3.8)  (3.8) which is no longer homogeneous, but it is still isotropic. which is no longer homogeneous, but it is still isotropic. 3.1 Slepian models for critical points It is important to note that the eigenvalues of the Hessian are not statistically indepen- dent of the height of the potential. This is intuitively clear since, for example, one would expect the typical minimum at a large height to be quite shallow compared to the minima situated well bellow the mean value of the potential. This expectation can be translated to the existence of important correlations between the field and its second derivatives at a point, and in particular at critical points. In order to take this effect into account one can calculate the joint probability distributions for the Hessian eigenvalues (λi) and heights (u) at critical points to obtain4 JHEP05(2020)142 Pu,λ du Y i dλi = N exp  −u2 2U 2 0  |λ1 −λ2| 2 Y i=1 |λi| exp " − Λ2λi + u 2U0 2# dλi du , (3.9) (3.9) where N is a normalizing constant. This distribution includes all types of critical points, namely maxima, minima and saddle points. Depending on the kind we are interested in, we simply need to impose positivity or negativity conditions on the values of each λi. Using these results we can generate a Gaussian random field with a critical point with the desired properties by the following procedure. Let us consider for example a minimum with fixed height u. Our first step will be to generate a set of eigenvalues drawn from the distribution (3.9) taking into account the value of u, imposing the non-negativity condition λi ≥0, and fixing the normalization factor accordingly. Using these values for λi we can then generate realizations of the potential using the expression V (φ) = e−φ2 2Λ2 " u  1 + φ2 2Λ2  + 1 2 2 X i=1 φ2 i λi # + ∆(φ) (3.10) (3.10) where we have denoted by ∆(φ) an inhomogeneous, zero-mean Gaussian random field whose covariance function is given by ˜C(φ1, φ2) in eq. (3.8). We show in figure 1 an example of the different ingredients that make up a Slepian model for a local minimum in a 1d GRF. We can use a similar procedure to generate other critical points, such as saddle points with different number of negative eigenvalues, by generating the appropriate samples of λi’s. 4See the calculation in appendix A.6. 3.1 Slepian models for critical points An important conclusion that can be derived from the Slepian model (3.10), first noticed in [32], is that for highly non-generic extrema |u| ≫U0 (such as very low maxima or high minima), the shape of this GRF becomes very deterministic around the critical – 6 – μ(ϕ) Δ(ϕ) -4 -2 2 4 ϕ -2.0 -1.5 -1.0 -0.5 0.5 -4 -2 2 4 ϕ -2.0 -1.5 -1.0 -0.5 0.5 V(ϕ) Figure 1. A 1d example of a Slepian model of a constrained minimum in a GRF. We show, for a particular realization, the two separate components of the construction on the left, namely, the constrained mean field form µ(φ) in eq. (3.7) and the inhomogenous new GRF ∆(φ) with covariance function given by eq. (3.8). The total GRF is shown on the right. -4 -2 2 4 ϕ -2.0 -1.5 -1.0 -0.5 0.5 V(ϕ) μ(ϕ) Δ(ϕ) 2 4 ϕ -2.0 -1.5 -1.0 -0.5 0.5 μ(ϕ) Δ(ϕ) -4 -2 2 4 ϕ -2.0 -1.5 -1.0 -0.5 0.5 Figure 1. A 1d example of a Slepian model of a constrained minimum in a GRF. We show, for a particular realization, the two separate components of the construction on the left, namely, the constrained mean field form µ(φ) in eq. (3.7) and the inhomogenous new GRF ∆(φ) with covariance function given by eq. (3.8). The total GRF is shown on the right. JHEP05(2020)142 point, and it is described very accurately by the first two terms in eq. (3.10). Indeed, one can see from eq. (3.8) that the standard deviation of the random component ∆(φ) is always smaller than U0, and that it approaches zero near the extremum located at φ = 0 (see also figure 1). Therefore the last contribution in (3.10) can be neglected in a neighbourhood of the extremum where |∆(φ)| ≲U0 ≪|V (0)| holds. On the other hand, in the limit |u| ≫U0 the eigenvalue distribution of the Hessian (3.9) is approximately given by5 Pλ dλ1 dλ2 ∼|λ1 −λ2||λ1||λ2| exp  −Λ2|(λ1 + λ2)u| 2U 2 0  dλ1 dλ2 , (3.11) (3.11) which indicates that in this limit the magnitude of the eigenvalues is very suppressed |λi| ≪U0/Λ2. Then, as we mentioned above, for highly non-generic extrema the decom- position (3.10) is dominated by its deterministic part (the first term), what makes these Slepian models very predictive in those situations. 3.1 Slepian models for critical points As we shall see bellow, this result is particularly important when we consider the distribution of non-perturbative decay rates from minima with a large vacuum energy. For an example of a realization with a high minimum see figure 2(a). This deterministic character of large fluctuations of Gaussian Random Fields plays an important role in various areas of Cosmology, such as the analysis of the CMB data, and the study of Large Scale Structure formation in the universe (see e.g. [33–37]). 5Note that for very high minima u > 0 and λi > 0, while for very low maxima all signs are reversed. 6See the computation of these distributions in appendix A.7. 3.2 Slepian models for inflection points As we discussed in the Introduction, we are also interested in inflection points in the landscape. The reason is that in a cosmological context these points could be one of the regions of the potential that give rise to a cosmological inflationary period. However, in order to be compatible with the latest cosmological observations, one needs to restrict the form of these inflection points. This leads us to consider an inflection point at φ = 0 as a realization of the GRF with a small gradient of the potential in the φ1 direction, denoted by η1, and the rest of the coefficients of the Taylor expansion of the field around that point – 7 – of the form η2 = 0 , λ1 = 0 , λ2 > 0 , η1 · ρ111 > 0 . (3.12) (3.12) The intuitive picture of these choices is clear, we are looking for a one dimensional inflection point that allows the slow-roll conditions to be satisfied along the direction φ1 while the perpendicular directions have positive curvature. In other words, we are looking for a potential where inflation is effectively one dimensional locally. This also explains the last condition, which is imposed in order to allow for enough slow-roll inflation in the vicinity of this inflection point. This is admittedly a very particular form of the potential around the inflection point and, even though it could be interesting to identify this type of points in a GRF in other contexts, we have not seen any studies of this class of constrained points on GRFs in the mathematical literature. However, it is not difficult to follow a similar procedure to the one for critical points in order to obtain Slepian models in this case. The first thing we should do is to enlarge the form of our initial Gaussian random vector (3.6), since we now want to constrain not only first derivatives but second derivatives as well. This suggests that we should take the vector of the form, JHEP05(2020)142 (3.13) x = {V (φ1), . . . , V (φq), V (0), η1, η2, ζ11, ζ22, ζ12, ρ111, ρ122, ρ222, ρ112} (3.13) which, similarly to the critical point case, can now be conditioned to have the desired properties given in eq. (3.12). 6See the computation of these distributions in appendix A.7. 3.3 2D numerical implementation All GRFs generated for this work were constructed following the Karhunen-Love expansion (see e.g. [31]), which is briefly described in appendix B. This algorithm generates values for a GRF discretized over a lattice which is to be interpolated afterwards. JHEP05(2020)142 Based in the criteria developed in [14], we used 5 lattice points per correlation length (25 per length squared). The resulting grid was then interpolated with fourth-order splines in order to analyse up to third-order derivatives of the field as faithfully as possible. The generated GRFs were found to follow successfully the initial mean and covariance function, as well as other properties such as the distribution of critical points and eigenvalues thereof. Two examples of (rather extreme) GRFs generated following the steps in this section have been plotted in figure 2. 3.2 Slepian models for inflection points Following the computations given in the appendix A.7 one arrives to the result that a GRF with an inflection point at φ = 0 is described by the expression V (φ) = exp  −φ2 2Λ2  (u+φ·η)  1+ φ2 2Λ2  + 1 2 2 X i=1 λiφi2 + 1 6 2 X i,j,k=1 φiφjφkρijk  +Γ(φ), (3 14) (3.14) where Γ(φ) is an inhomogeneous zero-mean GRF with covariance function ˜C(φ1,φ2) = U 2 0 exp  −|φ1|2+|φ2|2 2Λ2  exp φ1·φ2 Λ2  −1−φ1·φ2 Λ2 −(φ1·φ2)2 2Λ4 −(φ1·φ2)3 6Λ6  . (3.15)  (3.15)  (3.15) In these expressions u, λi and ρijk should be drawn from the joint probability distribution for heights, first, second and third derivatives of the potential at inflection points6 Pinf du dλ2 dη1 dρ = N|λ2|2|ρ111| P(u, λ2 | λ1 = 0) P (η1, ρijk | η2 = 0) du dλ2 dη1 dρ (3.16) where In these expressions u, λi and ρijk should be drawn from the joint probability distribution for heights, first, second and third derivatives of the potential at inflection points6 Pinf du dλ2 dη1 dρ = N|λ2|2|ρ111| P(u, λ2 | λ1 = 0) P (η1, ρijk | η2 = 0) du dλ2 dη1 dρ (3.16) where where P(u, λ2 | λ1 = 0) du dλ2 = N|λ2| exp  −4u2 −2Λ2uλ2 −Λ4λ2 2 2U0  du dλ2, P (η1, ρijk | η2 = 0) dη1 dρijk = (3.17) N exp  −Λ2 12U 2 0  18η2 1 + 6Λ2η1(ρ111 + ρ122) + Λ4 2 X i,j,k=1 ρ2 ijk    dη1 dρijk . (3.17) 6See the computation of these distributions in appendix A.7. – 8 – In the last distribution, the condition η1·ρ111 > 0 should also be imposed if one is interested in ‘inflationary’ inflection points. We have checked the accuracy of these distributions by numerically computing them from a large set of generic (unconstrained) GRF examples. We have identified all the inflection points of our sample, and used this information to compute the distributions of the parameters of the inflection points we are interested in. See appendix B for the details of these numerical checks, which are summarised in figure 14. 7Here we will not be concerned with the pre factor A. See [22] for a detailed description of its compu- tation. 4 Tunneling in a Gaussian random landscape A Gaussian random landscape possesses a large number of perturbatively stable minima. However, we know that quantum mechanically these vacua are not completely stable and can decay by the nucleation of a bubble of the new state. This means that a typical vacuum in our landscape will have many channels to decay into, each of them with a different probability. Here we would like to study the statistics of these decay channels in a controlled way by generating a large number of GRF realizations, and analyse their dependence on the parameters of the central minimum. In order to do that we will use the instanton techniques first described by Coleman and collaborators [21] where it was shown that for a given minimum of the potential the decay probability per unit time and per unit volume is given by Γ/V ∼Ae−SE (4.1) (4.1) where SE is the Euclidean action for the bounce solution that interpolates between the new state and the original one.7 In the absence of gravity, one can show that the most likely decay channel is given by the O(4)-symmetric instanton solution in a 4-dimensional Euclidean spacetime; therefore we will be interested in solving the following set of Euclidean equations of motion φ′′ i + 3 rφ′ i = ∂V (φ) ∂φi , (4.2) (4.2) 7Here we will not be concerned with the pre factor A. See [22] for a detailed description of its compu- tation. – 9 – – 9 – (a) (b) gure 2. A pair of realizations of a 2d Gaussian random fields with zero mean, covariance nction (2.3), and conditioned to have a minimum at center of height (in units of U0) 4 (a) and 4 (b). The higher the minimum is, the lower its eigenvalues will typically be and vice versa (see xt). The location of the minima of each realization has been marked with a white dot. (a) JHEP05(2020)142 (a) (b) Figure 2. A pair of realizations of a 2d Gaussian random fields with zero mean, covariance function (2.3), and conditioned to have a minimum at center of height (in units of U0) 4 (a) and −4 (b). The higher the minimum is, the lower its eigenvalues will typically be and vice versa (see text). The location of the minima of each realization has been marked with a white dot. 4 Tunneling in a Gaussian random landscape where the prime denotes a derivative with respect to the radial coordinate in 4-dimensional Euclidean spacetime, r, and we have assumed that the fields φ(r) = {φ1(r), . . . , φN(r)} are canonically normalized. Finally the boundary conditions are φ(∞) = φFV , φ′ i(0) = 0, (4.3) (4.3) – 10 – where φFV is the location of the false vacuum in field space, the minimum of the potential from which the decay happens. Once the field equations have been solved, the action in the exponent of (4.1) reads SE = 2π2 Z ∞ 0 dr r3 1 2|φ′|2 + V (φ) −V (φFV )  . (4.4) (4.4) Computing the coupled system of the instanton equations (4.2) is no easy task; partic- ularly, as the dimensionality of the field space grows, the solutions tend to be increasingly unstable. There are, however, several publicly available algorithms in the literature to tackle the problem (see, e.g., [38, 39]); additionally, some alternative methods have been recently proposed to find the action and escape point for the instanton, as in [40, 41]. JHEP05(2020)142 In this work, we use AnyBubble [42] to compute the instanton actions for our realiza- tions. AnyBubble is a Mathematica Package based on efficient numerical methods for the solution and optimization of the tunneling equations, see [42] for details. In order to obtain statistics of the tunneling action in terms of the properties of the central minimum, we sampled false vacua with heights between -2 and 5 (in units of U0, see eq. (2.3)) in uniform intervals. As explained in [14], we can write the Euclidean action as SE = Λ4 U0 ¯S (4.5) (4.5) so that ¯S corresponds to the Euclidean action of a potential with covariance function (2.3) with U0 = Λ = 1. Unless otherwise specified, all histograms corresponding to the action are given in terms of ¯S due to numerical simplicity. Following the procedure of the Slepian models described the previous sections, for each value of the false vacuum height, we generated 2 · 104 Gaussian random field realizations centered around the minimum. All of these minima have the correct distribution of the Hessian eigenvalues, and the potentials are quite different from one another as one moves away from the minimum by one correlation length. 4 Tunneling in a Gaussian random landscape This means that each realization has different vacua situated in different directions and lengths from the false vacuum, although the typical number of minima below V (φFV ) is quite similar in all cases. We can readily see the power of the machinery described in the previous section when constraining the field to have a minimum with a vacuum energy higher than 1.5U0. If we tried to find a minimum higher than that drawing samples from an unconstrained GRF, we would need to generate tens (if not hundreds) of random fields before finding a single minimum satisfying that condition, see figure 13(a) in appendix B. For example, from equations (B.5), we can easily check that the probability of any minimum being higher than 5U0 is O(10−16), so finding one by chance happens to be quite remarkable. With the aid of conditioning methods, we are able to construct very efficiently large samples of random fields subject to a condition as difficult to meet as this one. In order to study tunneling processes on each generated example, we identified all the minima near the center of field space and computed the tunneling rate between the central minimum (which always acts as a false vacuum, in our analysis) to all lower minima. An example of this procedure is plotted in figures 3 and 4, where we show the paths followed in – 11 – Figure 3. A typical example of the considered tunneling events. After generating a GRF with a minimum at the center with height 1 (in terms of U0), we compute possible tunnelings with AnyBubble. The plot shows the GRF along with its minima (green), saddles (yellow), maxima (red) and inflection points (blue) as well as 3 of the instanton trajectories in field space for 3 decay channels. JHEP05(2020)142 Figure 3. A typical example of the considered tunneling events. After generating a GRF with a minimum at the center with height 1 (in terms of U0), we compute possible tunnelings with AnyBubble. The plot shows the GRF along with its minima (green), saddles (yellow), maxima (red) and inflection points (blue) as well as 3 of the instanton trajectories in field space for 3 decay channels. ϕ1,A ϕ2,A ϕ1,B ϕ2,B ϕ1,C ϕ2,C 2 4 6 8 10 12 14 r -3 -2 -1 0 1 2 ϕ Figure 4. 4 Tunneling in a Gaussian random landscape Field trajectories for the decays channels shown in figure 3 in terms of the distance r in Euclidean space. Figure 4. Field trajectories for the decays channels shown in figure 3 in terms of the distance r in Euclidean space. – 12 – FV height 5 3 1 0 -2 2 4 6 8 Log10(S) 0.0 0.2 0.4 0.6 0.8 PS _ Figure 5. Obtained distribution of tunneling action ( ¯S) in terms of false vacuum height. JHEP05(2020)142 2 8 6 Figure 5. Obtained distribution of tunneling action ( ¯S) in terms of false vacuum height. field space by the different instanton decay channels.8 We have only considered tunneling to minima around the center to avoid problematic issues with minima close to the boundaries of our realizations. field space by the different instanton decay channels.8 We have only considered tunneling to minima around the center to avoid problematic issues with minima close to the boundaries of our realizations. 9Unless otherwise specified, all histograms represent the normalized probability distribution function the obtained results. 4.1.1 Dependence with the height Figure 5 shows the resulting distributions9 for the tunneling action, for different values of the false vacuum height. There is an interesting correlation between the mean and width of this distribution and the height of the false vacuum. Namely, we find that the higher the false vacuum is the lower the action and thus, the higher the probability of tunneling is. This behaviour is quite intuitive; as we can see from the examples in figure 2, tunneling from a minimum high up in field space requires crossing a lower barrier to the true vacuum, which in turn results in a lower action for those transitions. Figure 6 (blue dots) shows the median of each distribution along with the range of actions between the first and third quartiles. We see, once again, that higher false vacua lead to accumulation over lower values of the action. The obtained data for each potential height was found to be easily fitted to a log- normal distribution. More specifically, the logarithm of the median of each distribution ¯Smed (which, in this case, is very similar to the mean of log10 ¯S) can be fitted by the following expression log10 ¯Smed ≈3.29 exp  −0.18Vfv U0  (4.6) (4.6) where Vfv stands for the height of the false vacuum. As we see from figure 6, increasing Vfv reduces the width of the distribution significantly, thus increasing the predictive power 8We have also identified the rest of critical points as well as inflection points with different colours in all of our GRF realizations. 9Unless otherwise specified, all histograms represent the normalized probability distribution function of the obtained results. – 13 – ▲ ▲ ▲ ▲ ▲ ▲ ▲ ▲ ■ ■ ■ ■ ■ ■ ■ ■ Optimal path ▲Linear approximation ■ Thin-wall approximation -2 -1 0 1 2 3 4 5 V(ϕFV)/U0 100 103 104 105 S Figure 6. Evolution of the median of the action, with error bars representing data between the first and third quartiles of each distribution, for the optimal path, the linear (straight-path) and the thin wall approximations, along with a fitting curve (see (4.6)). ▲ ▲ ▲ ▲ ▲ ▲ ▲ ▲ ■ ■ ■ ■ ■ ■ ■ ■ Optimal path ▲Linear approximation ■ Thin-wall approximation -2 -1 0 1 2 3 4 5 V(ϕFV)/U0 100 103 104 105 S S JHEP05(2020)142 Figure 6. 4.2 Approximations for the calculation of the action Due to the inherent instability of the equations to be solved to compute tunneling profiles, it is clear that as we increase the domain and dimensionality of the potential under study, the required computational time to solve the system will grow accordingly. Evidently, this makes the study of higher-dimensional GRFs and their tunneling properties almost prohibitive in this sense. Motivated by these limitations, we turn to computing several different approximations of tunneling actions suggested in the literature, and compare them with our exact results. 4.1.1 Dependence with the height Evolution of the median of the action, with error bars representing data between the first and third quartiles of each distribution, for the optimal path, the linear (straight-path) and the thin wall approximations, along with a fitting curve (see (4.6)). of (4.6) for the expected value of the action. This enhancement of the predictability of the Slepian model for large values of Vfv corresponds precisely to what we anticipated in the previous section. Indeed, there we showed that near high minima the random potential becomes dominated by the first term in the decomposition (3.10), and therefore the land- scape is very deterministic in a neighbourhood of false vacua with large Vfv. Consistent with this result, when studying the non-perturbative stability from these vacua we observe a reduction of the variance of tunneling actions for large heights of the false vacuum. This agreement also suggests that in the case of minima with a large Vfv the value of the instan- ton action is dominated by the local structure of the minimum. We will provide further evidence for this claim below. 4.2.1 Thin wall approximation The thin-wall prescription was already discussed in the original papers by Coleman in [21]. In this approximation the instanton action is given in terms of the difference between potential at the false vacuum (Vfv) and true vacuum (Vtv) and σ, the tension of the wall – 14 – interpolating between them, namely, ¯Stw = 27π2σ4 2(Vfv −Vtv)3 , σ = Z φF V φT V dφ p 2(V (φ) −V (φTV )) . (4.7) (4.7) This approximation is accurate as long as the difference between Vfv and Vtv is small. This approximation is accurate as long as the difference between Vfv and Vtv is small. We evaluated (4.7) for each bounce we previously found with AnyBubble in order to check this expression and its predictive power for GRFs. In the computation we restricted the field to a straight line in field space connecting the true and false vacua. Figure 6 shows the evolution of the median of ¯Stw as a function of the false-vacuum height. While the width and median of the distribution in this case follow the same pattern as the optimal action, the values diverge rapidly from the optimal ones as the false vacuum height increases. This is not too surprising since, as one increases the height of the false vacuum minimum, the field can tunnel to a minimum with quite different values of the potential, what violates one of the premises of the thin wall approximation. JHEP05(2020)142 4.2.2 Straight-path approximation Exit angle distribution with respect to direction of the lowest eigenvalue for the instanton path of the most probable decay channel in each generated potential. FV height -2 -1 0 1 2 3 4 5 0 π/8 π/4 3π/8 π/2θ 0.0 0.2 0.4 0.6 0.8 1.0 Pθ Figure 7. Exit angle distribution with respect to direction of the lowest eigenvalue for the instanton path of the most probable decay channel in each generated potential. JHEP05(2020)142 Figure 7. Exit angle distribution with respect to direction of the lowest eigenvalue for the instanton path of the most probable decay channel in each generated potential. ysis, a rough statistical estimate of the decay rate obtained with this approximation would still be very valuable. 4.3 The lowest action In many circumstances one will be interested in the lowest action for a particular kind of minima. This will of course correspond to the path that would dominate the decay for those minima. In this subsection we will investigate the characteristics of such trajectories in field space. 4.3.1 Exit angle An intuitive way to think about the most likely decay process would be to imagine that the tunneling occurs along the trajectory with the lowest barrier. One can check this idea in our case by first identifying the angle (in our 2d field space), θ, that the instanton trajectory makes with respect to the direction of the lowest eigenvalue of the Hessian at the minimum. A distribution of such angles obtained for different values of the height is plotted in figure 7. We see that there is a clear tendency of the tunnelings to occur around θ ≈0 but the correlation is not very strong. 4.2.2 Straight-path approximation While the thin-wall prescription provides a solid upper bound on the bounce action [43], it does not provide any useful estimation on the actual value on the bounce in our case. This fact calls for an alternative way to estimate the action, mostly for higher-dimensional landscapes. A straightforward simplification to this problem was introduced in [44], which we will denote by straight-path approximation. This prescription is based on reducing the field space to a single straight line connecting the false and true vacua, thus making the problem of tunneling effectively one-dimensional. As can be seen from figure 3, this approximation may not be too unreasonable. Even though there are some paths which do curve over the field space, many (if not most) of them follow a straight trajectory in field space. Note, however, that this restriction in field space may yield effective potentials where the bounce does not exist or might even correspond to a different bounce in the full theory. For more details on the properties of this approximation, see [45]. For each optimal path, we considered a straight line in the two-dimensional GRF connecting the true and false vacua, and computed the corresponding estimate of the action, ¯Ssp, in each case. In principle, ¯Ssp represents an upper bound on the optimal action ¯S, as the former only considers variations of the action in the direction of the straight path [44]. It is thus expected (and explicitly shown in [45]) that this approximation will diverge from the full solution as the dimensionality of the potential is increased. We found that in this case the distribution of actions in terms of false vacuum height is identical to the optimal one shown in figure 5, though slightly shifted to higher values. As we can see from figure 6, the change in the median is minimal when the straight-path approximation is considered. Although, as we just mentioned, the straight-path approxima- tion is not expected to give precise results for potentials in a higher field space dimension, this result suggests that it would be interesting to explore the validity of this method with GRFs in higher dimensions. Indeed, due to the computational complexity of such an anal- – 15 – FV height -2 -1 0 1 2 3 4 5 0 π/8 π/4 3π/8 π/2θ 0.0 0.2 0.4 0.6 0.8 1.0 Pθ Figure 7. 4.3.2 Estimating the lowest action The correlation of the instanton path with the lowest eigenvalue direction at the false vacuum suggests that one can try to estimate the lowest action by analyzing the potential along the lowest eigenvalue direction alone. This has been recently proposed in the context of the landscape in [26]. In the following we will use our large sample of realizations to test this idea in detail in our 2d GRF model of the landscape. – 16 – ◆ ◆ ◆ ◆ ◆ ◆ ◆ ◆ Min. action per potential ◆Sarid app. along lowest eig. -2 -1 0 1 2 3 4 5 V(ϕFV)/U0 1 100 103 104 105 S Figure 8. Distribution of lowest action per potential and Sarid approximation [46] along the lowest barrier direction, in terms of false vacuum height. The fit in eq. (4.6) is shown for comparison with previous results. ◆ ◆ ◆ ◆ ◆ ◆ ◆ ◆ Min. action per potential ◆Sarid app. along lowest eig. -2 -1 0 1 2 3 4 5 V(ϕFV)/U0 1 100 103 104 105 S S Min. action per potential ◆Sarid app. along lowest eig. JHEP05(2020)142 Figure 8. Distribution of lowest action per potential and Sarid approximation [46] along the lowest barrier direction, in terms of false vacuum height. The fit in eq. (4.6) is shown for comparison with previous results. In order to evaluate the instanton action along the lowest eigenvalue direction we first take a slice of the potential along that direction and fit it to be of the form, In order to evaluate the instanton action along the lowest eigenvalue direction we first take a slice of the potential along that direction and fit it to be of the form, Vle(φ1) = V0 + 1 2λ1φ2 1 + 1 3!ρ111φ3 1 + 1 4!δφ4 1 . (4.8) (4.8) Note that this procedure does not guarantee that the resulting one-dimensional poten- tial is suitable for a tunneling process. In fact, in many cases the potential constructed this way does not have a lower minimum along this direction and therefore it cannot be used to estimate the decay rate. In the following we will only compute the instanton action in the successful cases where this 1d truncation gives an acceptable form, what in particular requires ρ111 < 0. 10Note that in our calculation we kept the quartic term of the potential while in reference [26] the authors drop this term arguing that for large number of fields (N) this coefficient becomes irrelevant. We have checked that in our case this is not the case and in order to obtain a good agreement it is necessary to take this term into account. This is due to the fact that we have limited our investigation to the N=2 case. 4.3.2 Estimating the lowest action Considering this simple form of the potential as the most likely exit path for the decay transition we can estimate the instanton action. In order to do that we will use the parametrization of the Euclidean action for the bounce that was obtained by Sarid in [46]. In our notation this becomes, ¯SS =    18λ1 ρ1112  45.4 −46.1 + 2π2 12(1−4κ)3 + 16.5 (1−4κ)2 + 28 1−4κ  , κ > 0 18λ1 ρ1112 45.4 1 + ( 136.2 2π2 )1.1|κ|1.1−1/1.1 , κ ≤0 (4.9) (4.9) where κ = 3 4δ λ1 ρ2 111 . (4.10) (4.10) We show in figure 8 the distributions of the lowest action from the exact computation and compare it to this estimate along the lowest barrier direction. We notice that the agreement between these two results is pretty good, what suggest that one can use this – 17 – approximation to estimate the decay rate of vacua in a Gaussian random landscape. More- over, it is worth noting that this approximation depends only on the local structure of the minimum, precisely where the Slepian model has a large predictive power for large values of Vfv. The expression (4.9) becomes increasingly accurate for large values of the false vacuum energy Vfv, what indicates that in this regime instanton action is mostly determined by the local form of the minimum. On the other hand, according to the Slepian model, the scalar potential around all high minima should look very similar in all realizations, with its shape dominated by the first term in (3.10). This explains why the distribution of instanton actions becomes more deterministic (figure 5) for larger values of Vfv, and therefore also the agreement between the Sarid approximation (4.9) for the lowest action and our fit in eq. (4.6) for the median of the distribution. JHEP05(2020)142 It would be interesting to check if this good agreement persists on a much larger landscape with hundreds of directions in field space,10 and whether the approximation (4.9) can be used in combination with our Slepian model make robust predictions regarding the tunneling rates of high vacua. 5 Inflation in a Slepian random landscape Up to now we have been using all the software and mathematical tools described above for the computation of bounce profiles and actions with Gaussian random fields conditioned to have a minimum at φ = 0. In this section, we turn to studying constrained GRFs with inflection points at the origin of field space focusing on their application to cosmological inflation. Inflation in random potentials has already been extensively studied [13, 14, 19, 20, 47]. More specifically, inflation around inflection points has received special attention for being capable of sustaining enough e-folds to make contact with observations, while taking place in a small region of field space with an effectively one-dimensional potential. While most of the obtained results and distributions seem promising, they have only been tested within Taylor expansions around these points, instead of using full GRFs. As we mentioned before, such methods do not capture correctly the global features of the potential, what is essential for characterising the non-perturbative stability of vacua. Therefore, this procedure is unsuitable for studying models of inflation where the initial conditions are determined by the decay of a parent false vacuum. In this section we will apply Slepian models to constrain Gaussian random fields to have inflection point with the desired properties to sustain inflation, and then we will study the dependence of its cosmological observables on the initial conditions, set by different realizations of the parent vacuum. – 18 – 5.2 Numerical inflection points in a 2D landscape We now want to embed 1d inflection-point inflation in our 2d GRF landscape. In order to do that we can follow the procedure explained in section 3.2 for Slepian models in the case of inflection points. In the notation introduced earlier, the 1d parameters η = η1 and ρ = ρ111, correspond to the derivatives along the flat direction of the multidimensional inflection point. Note that, in principle, u and ρ111 (when evaluated at the same point) are uncorrelated, but the same is not true for u and the second derivative along the inflaton direction λ1; similarly η1 and ρ111 are also correlated, see eq. (3.17). Here we are interested in studying the global properties of the landscape on the cosmological observables so we will focus on a particular type of inflection point where we have fixed its 1d parameters.11 JHEP05(2020)142 Following the steps from the previous section, we built two-dimensional GRFs with an inflection point whose inflating direction has fixed features. In the forthcoming sections we set u = 0.5 U0 , η1 = 6.8 · 10−6 U0 Λ , ρ111 = 2.5 U0 Λ3 (5.8) (5.8) where U0 = 6.0 · 10−16 M4 Pl and Λ = 0.5 MPl define the energy scale and correlation length respectively, with the Planck masses written explicitly for clarity. Once u, η and ρ have been fixed, using the probability distributions listed in (3.16) and (3.17), we can obtain the remaining parameters of the two-dimensional inflection point set at the origin of field space φ = 0, and generate in a efficient way a large sample of GRFs with the listed properties.12 As an example, we show in figure 9 a field constructed with the above constraints. We then used AnyBubble to tunnel from a higher false vacuum to the central inflection point. We note that even though in every realization the inflection point has the same properties along the φ1 direction up to third order, the potentials are different away from that point. This means that the false vacuum, which decays to the region around the inflection point, is located in a different place and it also has different features in each realization, e.g. vacuum energy and barrier height. Using AnyBubble we computed the exit points of a large set of realizations. 5.1 1D inflection point inflation Let us briefly review the main results for one-dimensional inflection-point inflation (see [20, 48] and references therein for more details). Let us consider a potential of the form, Let us briefly review the main results for one-dimensional inflection-point inflation (see [20, 48] and references therein for more details). Let us consider a potential of the form, V (φ) = u + ηφ + 1 6ρφ3 , (5.1) (5.1) where, in order to satisfy the slow-roll conditions around the inflection point, we will assume that η ≪u. Note that we do not need to assume that the third derivative is too small. In fact, following typical conditions for a GRF we will consider the case where u ≪ρ. Taking this into account one can show that slow-roll inflation conditions will be satisfied in the interval JHEP05(2020)142 −u ρ < φ < u ρ , (5.2) (5.2) which together with the condition u ≪ρ implies that we are describing small field inflation. Using the slow-roll conditions, it is easy to check that the expected number of e-folds, Nexp, that can be achieved within that region is Nexp = Z u/ρ −u/ρ dφ √ 2ϵ ≈π √ 2 u √ηρ −4 ≡Nmax −4, (5.3) (5.3) where ϵ = (V ′′(φ)/ √ 2V (φ))2 and Nmax is the maximal number of e-folds achievable in the whole potential. Moreover, defining x ≡πNCMB Nmax , y ≡Nmax 2π , (5.4) (5.4) where NCMB is the e-fold number at which the CMB scales leave the horizon, the spectral index of scalar perturbations can be shown to be given by ns = 1 + 2 y  tan x −y 1 + y tan x  . (5.5) (5.5) Finally, the amplitude of scalar perturbations can be expressed as ∆2 R = 1 12π2 V 3(φ) V ′(φ)2 ≈N4 CMBρ2 48π2u f2(x, y) (5.6) (5.6) where where f(x, y) = cos2(x)(y tan(x) + 1)2 x2(y2 + 1) , (5.7) (5.7) satisfies f(x, y) ∼1 for y ≫1 and x ∼1. satisfies f(x, y) ∼1 for y ≫1 and x ∼1. With these expressions at hand, we can easily obtain a set of parameters for the inflec- tion point (u, η and ρ) that are in agreement with the current cosmological observations, namely, Nexp > NCMB ≈50, ns ≈0.965 and ∆2 R ≈2 × 10−9 (see eq. (5.8) below). – 19 – 13Note that in reality the initial cosmological evolution is dominated by the spatial curvature of the open FRW slices that describe the bubble interior. This will have some effect on the initial stages of the evolution of the scalar field in a multidimensional potential. See [19, 28] for a discussion of these effects. 11It is also interesting to study the effects of varying these parameters together with the global properties of the GRF. We leave the details of this calculation for a future publication. 12Note that following our earlier definition of the inflection point in our 2d landscape, we have set η2 = 0 and λ2 > 0. 13Note that in reality the initial cosmological evolution is dominated by the spatial curvature of the open FRW slices that describe the bubble interior. This will have some effect on the initial stages of the evolution of the scalar field in a multidimensional potential. See [19, 28] for a discussion of these effects. 11It is also interesting to study the effects of varying these parameters together with the global properties of the GRF. We leave the details of this calculation for a future publication. 12Note that following our earlier definition of the inflection point in our 2d landscape, we have set η2 = and λ2 > 0. 13 5.2 Numerical inflection points in a 2D landscape After that we used these exit points of the instanton decay as the starting points of a Lorentzian evolution of a FRW universe with this potential. In order to study the inflationary trajectory we used mTransport [49], a Mathematica code developed to compute inflationary observables using the transport method. The cosmological evolution inside of a bubble universe created from tunneling is described by an open FRW universe [50]. Here, for simplicity, we used the flat-space approximation for the evolution of the cosmological interior of the bubble.13 – 20 – Figure 9. A Gaussian random field conditioned to have an inflection point in the middle. The dashed line represents the tunneling from a minimum to a lower inflection point. The inflationary slow-roll phase starts at the exit point, inflates for around 124 e-folds following the solid line, and evolves towards the closest minimum. We only show the inflationary part of the trajectory. Green, yellow and red dots represent minima, saddle points and maxima of the potential. The inflection point is marked with a blue dot. JHEP05(2020)142 Figure 9. A Gaussian random field conditioned to have an inflection point in the middle. The dashed line represents the tunneling from a minimum to a lower inflection point. The inflationary slow-roll phase starts at the exit point, inflates for around 124 e-folds following the solid line, and evolves towards the closest minimum. We only show the inflationary part of the trajectory. Green, yellow and red dots represent minima, saddle points and maxima of the potential. The inflection point is marked with a blue dot. In the example from figure 9, the dashed line represents the tunneling trajectory, while the solid one marks the inflationary one. We found this path to sustain a total of 124.1 e-folds and a spectral index of ns = 0.964 at the observable scale. In the example from figure 9, the dashed line represents the tunneling trajectory, while the solid one marks the inflationary one. We found this path to sustain a total of 124.1 e-folds and a spectral index of ns = 0.964 at the observable scale. 14The cosmological evolution of these Lorentzian trajectories continue after inflation until they reach a lower minimum. We have not fine-tuned this minimum to be in Minkowski space, so in general the evolution leads to eternal de Sitter or to an Anti-deSitter crunch. We are only interested in the statistics of the inflationary period so we have stopped this evolution after the field leaves the slow-roll regime. 5.3 Statistics of inflationary parameters In order to test the method described above to generate inflationary random fields, we generated 5000 GRFs constrained to have an inflection point with the same properties as the one in the example of figure 9 (see eq. (5.8)). Next, in each of these realizations, we found all minima lying above the central inflection point and used anyBubble to compute the tunneling trajectory from the former to the latter in each case. Considering the exit point as the starting point of an inflationary phase, we used mTransport to find the number of e-folds, power spectrum, tensor-to-scalar ratio, spectral index and its running. The distributions of the e-fold number and the spectral index are shown in figure 10, for a pivot scale of 50 e-folds, whereas the action associated to the tunneling to the inflection point is shown in figure 11. This is a different distribution than the ones we found earlier, since the common factor in these decays is the final point and we do not impose anything about the initial (false vacuum) state. It is interesting to see that this distribution is quite peaked around an action of the order of 103. – 21 – 0.960 0.965 0.970 0.975ns 0 100 200 300 400 Pns (b) 110 120 130 140 150Ne 0.00 0.05 0.10 0.15 0.20 0.25 PNe (a) 0.960 0.965 0.970 0.975ns 0 100 200 300 400 Pns (b) Figure 10. (a) Distribution of number of e-folds, with Nexp shown with a dashed line (b) Histogram of the obtained spectral index, with the analytic prediction marked with a dashed line. Both figures represent 4000 inflationary trajectories (see text). 110 120 130 140 150Ne 0.00 0.05 0.10 0.15 0.20 0.25 PNe (a) JHEP05(2020)142 (a) (b) Figure 10. (a) Distribution of number of e-folds, with Nexp shown with a dashed line (b) Histogram of the obtained spectral index, with the analytic prediction marked with a dashed line. Both figures represent 4000 inflationary trajectories (see text). 5.3 Statistics of inflationary parameters We have also obtained the distributions for the amplitude of scalar perturbations, tensor-to-scalar ratio and running of spectral index which turned out the be centered around the values We have also obtained the distributions for the amplitude of scalar perturbations, tensor-to-scalar ratio and running of spectral index which turned out the be centered around the values ∆2 R = (2.02±0.04)·10−9, r = (8.0±0.1)·10−9 and α = (−2.49±0.02)·10−3, (5.9) (5.9) respectively.14 Our results in this section are fully compatible with the 1d studies in [14]. Finally, in figure 12, we show several inflationary trajectories corresponding to tun- nelings in different GRFs with an inflection point in the middle with the same features. Note that all trajectories, no matter how far they start from, have a similar behavior. After oscillating in the vertical φ2 direction, they all stabilize around the inflection point and inflate along it. Most of the e-folds happen in the vicinity of the inflection point, as predicted by the analytic estimation. We have obtained successful results from this analysis around 80% of the times. The rest of the times the procedure did not yield a cosmological solution in agreement with our universe either because inflation ended too soon or because the exit point was too far from the central inflection point and the inflaton trajectory went astray. The successful paths show very good agreement with the 1d results presented in the previous section. We see that even though some of the trajectories have some substantial deviation from the 1d inflationary direction, the cosmological observables are still in pretty good agreement with the single field inflection point inflation. The distributions of the results are quite peaked around their central values, so we can conclude that the dependence of the observables on the initial conditions seems to be quite mild. – 22 – 2 4 6 8 Log10[S] 0.0 0.1 0.2 0.3 0.4 PS _ Figure 11. Distribution of the tunneling action from a minimum to the central inflection point, right before inflation begins. 2 4 6 8 Log10[S] 0.0 0.1 0.2 0.3 0.4 PS _ JHEP05(2020)142 Figure 11. Distribution of the tunneling action from a minimum to the central inflection point, right before inflation begins. 0.05 0.10 0.15 0.20ϕ1 -0.2 -0.1 0.1 ϕ2 Figure 12. Showcase of several inflationary trajectories from different tunnelings to the central inflection point. Each exit point is marked by a blue dot. Figure 12. 6 Summary and conclusions Slepian models are a powerful mathematical technique for modelling the statistics of ran- dom landscapes conditioned to satisfy a certain set of constraints. For this reason they are particularly useful to characterise phenomenologically interesting corners of the landscape, e.g. de Sitter vacua or inflationary regions consistent with the cosmological data, which are known to have highly suppressed probability to occur in generic random potentials. On the one hand, Slepian models provide a way to generate numerically large samples of a random landscape containing the region of phenomenological interest to be studied, regardless of the low probability of the realizations. On the other hand, this technique can also be used as an analytical description of conditioned random potentials, and thus to obtain valuable insight about properties of the landscape around these regions of interest. A particularly attractive feature of Slepian models, as opposed for example to the use of Taylor expansions, is that they can capture the global features of the random potential, and therefore they are specially useful for studying quantum mechanical instabilities in the landscape. In this paper we have presented the mathematical techniques for studying conditioned Gaussian random landscapes. We have applied these method to condition a 2d random potential to have a de Sitter minimum with a specific vacuum energy and also to study 2d landscapes containing an inflection point capable of sustaining a period of inflation compatible with the data. JHEP05(2020)142 More specifically, regarding our discussion of de Sitter minima, we have considered the non-perturbative decay of these vacua to lower minima, and characterised the statistical distribution of their decay rate as a function of the height of the false vacuum. For this purpose we have used our Slepian model to generate numerically large samples of vacua with varying values of the vacuum energy, and then computed the corresponding decay rates both solving the full instanton equations, and using various approximate methods present in the literature: the thin-wall approximation [21], the straight-path approximation [44], and the estimate proposed by Sarid [46] for the lowest instanton action (see eq. (4.9)). Our analysis shows that the thin-wall approximation is in good qualitative agreement with the numerical results, but only provides an accurate estimate of the instanton action for minima with a relatively small vacuum energy. 5.3 Statistics of inflationary parameters Showcase of several inflationary trajectories from different tunnelings to the central inflection point. Each exit point is marked by a blue dot. It is important to remember that all these realizations have the same 1d inflection point parameters. In order to extract the complete statistical information about the predictions of a particular GRF we should combine these results with the ones obtained from inflection points with other parameters with their correct statistical weight. This is a much more numerically intensive problem and we leave it for a future publication. – 23 – 6 Summary and conclusions Indeed, consistently with the thin-wall prediction of the instaton action, we observe that the decay rate increases (on average) for increasing values false vacuum height. This can be understood noticing that, in a Gaussian random landscape, the barrier height that needs to be crossed to escape from the vacuum decreases when the vacuum energy of the minimum increases. However, for minima with a large vacuum energy the tunneling typically occurs to much lower vacua, what violates the assumptions of the thin-wall approximation, and thus it cannot provide a good quantitative estimate of the decay rate. In the straight-path approximation one assumes the decay is effectively one-dimensional, so that it occurs along the line connecting the false and true vacua. We have shown this simplification agrees remarkably well with the results of our full numerical analysis in all cases we studied in a 2d Gaussian landscape. It is interesting to check if this simplification still provides a rough estimate (see [45] for a discussion) for the instanton action in higher – 24 – dimensional landscapes where the numerical resolution of the full instanton equations be- comes prohibitively difficult. In the particular case of a Gaussian random landscape this approach is specially attractive, since the statistics of the random field along the straight line connecting the false and true vacua can be fully described by simply restricting its covariance function to that line. Therefore, if this method would prove useful to estimate the non-perturbative stability of vacua in large-dimensional Gaussian landscapes, it would not be necessary to produce a sample the full higher dimensional GRF, it would suffice to generate one dimensional realizations of the random field with the same covariance. Regarding the estimate of Sarid [46] for the lowest action (the most likely decay chan- nel), our numerical analysis shows that this approximation provides an accurate quantita- tive estimate of the instanton action in the case of minima with a large vacuum energy. Interestingly, this estimate depends only on the form of the potential in a neighbourhood of the false vacuum which, according to the predictions of the Slepian model, does not experience large variations between different realizations. In plain words, all high minima look locally very similar to each other. Indeed, Gaussian random potentials conditioned to have high minima exhibit a very deterministic shape in a large region around it, which is dominated by the first term in equation (3.10). 6 Summary and conclusions As we argued in the main text, combining the estimate of [46] for the lowest action, with the Slepian analysis one concludes that the distribution for the instanton actions should become increasingly peaked and deterministic for higher minima. Our numerical results, displayed in figures 5 and 8, match perfectly this expectation. This suggests that the estimate for the instanton action in eq. (4.9), in combination with the Slepian techniques, might also provide a very good prediction for the decay rates of high false vacua in higher dimensional landscapes. For this purpose, the alternative methods proposed in [15] to generate constrained multidimensional Gaussian random landscapes might also proof very useful. JHEP05(2020)142 With respect to our second application of Slepian models, the analysis of inflection point inflation in a Gaussian random landscape, we have considered the dependence of the cosmological observables on the initial conditions for inflation. This initial conditions in our model are determined by the exit point of a quantum tunnelling process from a parent false vacuum. This study would have been very difficult without the aid of our conditioning techniques, since generating numerically a large sample of potentials with an inflection point with the right properties is exceedingly costly in terms of computation time. With our methods, however, we were able to generate easily a large number of realizations of the landscape with an inflection point capable of sustaining more that 60 e-folds of inflation, and with observables consistent with the current cosmological data. Note also that the ability of Slepian models to reproduce faithfully the global features of the potential was also essential in this analysis, in particular for modelling the preinflationary phase of false vacuum decay. Our results are summarised by figure 10 and equation (5.9), which display the computed values of the cosmological observables. We see that the dependence of the inflationary parameters on the initial conditions is quite mild. The obtained distributions for the observables are very peaked around their expected value in the 1d slow roll model where inflation happens around the inflection point. The typical realizations in our landscape have some variation on the observable parameters ranging between 1% and 10% depending – 25 – on the quantity under consideration. It is important to emphasise that in this study we kept fixed the local properties of the inflection point. 6 Summary and conclusions In order to perform a complete characterisation of inflection point inflation in a Gaussian landscape we would also need to study the effect of changing the inflection point parameters on the observables. We will leave this analysis for a later publication.15 It is worth mentioning that the present work has potentially very interesting appli- cations to characterise the landscape of 4d effective field theories in String Theory flux compactifications at tree-level. Actually, as was discussed in [1], the superpotential defin- ing the effective supergravity description of flux compactifications can be modelled as a (complex) Gaussian random field with a specific covariance function determined by the geometry of the compact dimensions. The superpotential encodes a large amount of in- formation about the low energy theory: the critical points of the superpotential represent minima of the tree-level moduli potential; the supersymmetry breaking scale is given by its absolute value; and the eigenvalues of its Hessian encode the mass spectrum of the moduli fields and their fermionic superpartners. Thus, the conditioning methods presented in this paper can be immediately translated into this context, allowing to study the statistical properties of the 4d effective theory when constrained to satisfy one or various conditions (see [2, 3]), e.g. the existence of a vacuum with a particular supersymmetry breaking scale, or to have a mass spectrum containing a certain number of light modes. JHEP05(2020)142 Finally, one may also use the techniques presented in this paper to analyze the possi- bility of a non-Gaussian Landscape. In fact similar methods have already been discussed in the mathematical literature for various non-gaussian random fields, and in particular were used to describe constrained extrema in these models [52–54]. One could in principle use the methods developed in those papers to implement a more accurate description of the String Theory Landscape potential or some sectors of it. This will allow us to explore the possibility that the results presented here could be modified by the relaxation of the Gaussian assumption. However the non-gaussian nature of the statistical description of the model seems to further complicate the calculations in a significant way in these cases so we will leave the implementation of these ideas for future work. 15A realistic study of the observable parameters of inflation in this model should also include a prescription to calculate their probability distribution in the multiverse. This will require the introduction of a measure. Here we have not discussed this issue any further. (See [51] for a detailed description of the proposed prescriptions.) Acknowledgments We are grateful to Alex Vilenkin, Masaki Yamada and Jeremy M. Wachter for useful dis- cussions, and to Jonathan Frazer for discussions and collaboration at the early stages of this project. This work was supported in part by the Spanish Ministry MINECO grant (FPA2015-64041-C2-1P), the MCIU/AEI/FEDER grant (PGC2018-094626-B-C21), the Basque Government grant (IT-979-16), the University of the Basque Country grant (PIF17/74), the Basque Foundation for Science (IKERBASQUE) and the Czech science foundation GAˇCR grant (19-01850S). The numerical work necessary to carry out this re- search has been possible thanks to the computing infrastructure of the ARINA cluster at the University of the Basque Country, UPV/EHU. 15A realistic study of the observable parameters of inflation in this model should also include a prescription to calculate their probability distribution in the multiverse. This will require the introduction of a measure. Here we have not discussed this issue any further. (See [51] for a detailed description of the proposed prescriptions.) – 26 – A.1 Introductory remarks and some properties of Gaussian random variable A random variable x is said to follow a normal or Gaussian distribution if its probability distribution function (PDF) is given by JHEP05(2020)142 f(x) = 1 √ 2πσ2 e−(x−µ)2 2σ2 (A.1) (A.1) where µ = ⟨x⟩and σ = x2 are the mean and variance of the distribution, respectively. Likewise, a p-dimensional vector xT = (x1, . . . , xp) is defined as a Gaussian random vector (composed of jointly Gaussian variables) if every linear combination satisfies a · x = p X i=1 aixi ∼N(˜µ, ˜σ), (A.2) (A.2) that is, it follows a normal distribution. The PDF of the whole vector is f(x) = 1 (2π)p/2√ det Σ exp  −1 2(x −µ)T Σ−1(x −µ)  (A.3) (A.3) where µ = ⟨x⟩is the mean vector and Σ is the (non-degenarate) covariance matrix, whose elements are given by Σij = ⟨(xi −µi)(xj −µj)⟩. (A.4) (A.4) .2 Conditioned Gaussian random vectors A.2 Conditioned Gaussian random vectors A Construction of Slepian models Throughout this appendix, we will give a detailed description of the tools and derivations needed in order to generate conditioned Gaussian random fields, such as the ones we have been using throughout the main text. We will be mainly following [31, 32]. A.2 Conditioned Gaussian random vectors A.2 Conditioned Gaussian random vectors Let A be a p × p matrix and xT = (x1, . . . , xp) a Gaussian random vector. Then, by definition, (A.5) y = Ax → yj = Aijxi (A.5) is also a Gaussian random vector with mean µ′ and covariance matrix Σ′. Since (A.5) is a linear transformation, the new mean is given by µ′ = Aµ, (A.6) (A.6) whereas the new covariance matrix is whereas the new covariance matrix is whereas the new covariance matrix is Σ′ ij = (yi −µ′ i)(yj −µ′ j) = ⟨(xaAai −µbAbi)(xcAcj −µdAdj)⟩ = ⟨xaxc⟩AaiAcj −µd⟨xa⟩AaiAdj −µb⟨xc⟩AbiAcj + µbµdAbiAdj = ⟨(xa −µa)(xb −µb)⟩AaiAbj = (AT )iaΣabAbj (A.7) (A.7) or, more compactly, Σ′ = AT ΣA. (A.8) Σ′ = AT ΣA. (A.8) – 27 – – 27 – In order to introduce conditional probability notions to jointly Gaussian random vari- ables, let us discuss some interesting properties of grouped random variables. If we split some Gaussian vector x into two parts, namely, x = (x1, x2) = ((x1, . . . , xd), (xd+1, . . . , xp)) (A.9) (A.9) then the mean vector and covariance matrix will also split accordingly: µ = (µ1, µ2) = ((µ1, . . . , µd), (µd+1, . . . , µp)) (A.10) µ = (µ1, µ2) = ((µ1, . . . , µd), (µd+1, . . . , µp)) (A.10) Σ = Σ11 Σ12 Σ21 Σ22 ! , (A.11) (A.10) (A.11) JHEP05(2020)142 each block in Σ having the proper dimensions to accommodate the covariances among the vectors x1 and x2. each block in Σ having the proper dimensions to accommodate the covariances among the vectors x1 and x2. With these remarks at hand, let us perform a linear transformation on x, choosing A = 1d −Σ12Σ−1 22 0 1p−d ! . (A.12) (A.12) After some straightforward algebra, one can show that the new Gaussian vector y is yT = x1 −Σ12Σ−1 22 x2, x2  = (y1, x2) (A.13) (A.13) whose associated mean vector and covariance matrix are whose associated mean vector and covariance matrix are µ′T = µ1 −Σ12Σ−1 22 µ2, µ2  (A.14) Σ′ = Σ11 −Σ12Σ−1 22 Σ21 0 0 Σ22 ! , (A.15) (A.14) (A.15) meaning that the new y1 and x2 are uncorrelated and, therefore, independent. meaning that the new y1 and x2 are uncorrelated and, therefore, independent. Given a bivariate joint probability distribution function f(x1, x2), the conditional prob- ability f′(x1|x2 = ˜x) is defined by [55] meaning that the new y1 and x2 are uncorrelated and, therefore, independent. whereas the new covariance matrix is Given a bivariate joint probability distribution function f(x1, x2), the conditional prob- ability f′(x1|x2 = ˜x) is defined by [55] Given a bivariate joint probability distribution function f(x1, x2), the conditional pro ability f′(x1|x2 = ˜x) is defined by [55] f′(x1|x2 = ˜x) ≡ f(x1, ˜x) R dx1 f(x1, ˜x) = R dx2 δ(x2 −˜x)f(x1, x2) R dx1 dx2 δ(x2 −˜x) f(x1, x2). (A.16) (A.16) Let x be a Gaussian random vector, a subset of which has been set to x2 = ˜x. We could, in principle, substitute the value of the variables x1 into (A.3) and proceed with the remaining (and normalized) expression. However, more interesting conclusions can be drawn if the above results are applied. Instead of working with x = (x1, x2), let us use the PDF associated to y = Ax, where A is given by (A.12): Let x be a Gaussian random vector, a subset of which has been set to x2 = ˜x. We could, in principle, substitute the value of the variables x1 into (A.3) and proceed with the remaining (and normalized) expression. However, more interesting conclusions can be drawn if the above results are applied. Instead of working with x = (x1, x2), let us use the PDF associated to y = Ax, where A is given by (A.12): 1 f(y) = 1 (2π)p/2√det Σ22 q det(Σ11 −Σ12Σ−1 22 Σ21) exp  −1 2(y1 −µ′ 1)T (Σ11 −Σ12Σ−1 22 Σ21)−1(y1 −µ′ 1) −1 2(x2 −µ2)T Σ−1 22 (x2 −µ2)  = ˜f(x1, x2) (A.17) f(y) = (2π)p/2√det Σ22 q det(Σ11 −Σ12Σ−1 22 Σ21) exp  −1 2(y1 −µ′ 1)T (Σ11 −Σ12Σ−1 22 Σ21)−1(y1 −µ′ 1) −1 2(x2 −µ2)T Σ−1 22 (x2 −µ2  2 2  = ˜f(x1, x2) (A.17) (A.17) – 28 – Fixing x2 = ˜x and applying (A.16) to the resulting probability distribution function, we find we find ˜f′(x1|x2 = ˜x) = 1 (2π)d/2p det ˜Σ exp  −1 2 (x1 −˜µ)T ˜Σ−1 (x1 −˜µ)  (A.18) (A.18) where ˜µ = µ1 + Σ12Σ−1 22 (˜x −µ2) (A.19) ˜Σ = Σ11 −Σ12Σ−1 22 Σ21 (A.20) (A.19) (A.20) (A.20) From the expression above, we can conclude that conditioned Gaussian random vec- tors retain their Gaussian nature with mean and covariance matrix given by ˜µ and ˜Σ respectively. JHEP05(2020)142 A.3 Gaussian random fields The idea of Gaussian random vectors can be generalized to random variables dependent on a certain set of parameters. Instead of having p Gaussian variables, we will have an infinite amount of them; the mean vector and covariance matrix will thus transform into a mean and covariance functions. A Gaussian random field (GRF) {V (t), t ∈Rn} is defined as a function satisfying r X i=1 aiV (ti) ∼N(˜µ, ˜σ) ∀r ∈N, ∀ai ∈R (A.21) (A.21) at every point of its domain. The mean function will be given by µ(t) = ⟨V (t)⟩whereas the covariance function must satisfy C(t, s) = ⟨V (t)V (s)⟩. If C(t, s) = f(t−s) the GRF is said to be homogeneous; if, on the other hand, C(t, s) = g(t·s, |t|, |s|) the field is isotropic. GRFs which are both homogeneous and isotropic are referred to as stationary, and satisfy (A.22) C(t, s) = C(|t −s|). (A.22) the main text, we will we working with this last type of covariance function. In the main text, we will we working with this last type of covariance function. Finally, note that any GRF V (t) with mean µ(t) can always be decomposed as Finally, note that any GRF V (t) with mean µ(t) can always be decomposed as V (t) = µ(t) + W(t) (A.23) (A.23) where W(t) is a mean-zero GRF sharing the same covariance function V (t). This con- struction will be useful to construct GRFs numerically (see appendix B). A.4 Useful correlations Since linear combinations of Gaussian variables are Gaussian as well, it is straightforward to see that the derivatives of Gaussian random fields at any point of their domain are Gaussian too. Some of the most important covariance functions relating different Gaussian variables are the following [31, section 5.5]: ∂α+βV (φ) ∂αφi∂βφj ∂γ+δV (φ) ∂γφk∂δφl  = (−1)α+β ∂α+β+γ+δ ∂αφi∂βφj∂γφk∂δφl C(φ) φ=0 . (A.24) (A.24) – 29 – – 29 – Let us change the notation to ∂φjV (0) = V ′ j (0) and evaluate the previous expression for some useful cases: Let us change the notation to ∂φjV (0) = V ′ j (0) and evaluate the previous expression for some useful cases: ⟨V (0)V (0)⟩= U 2 0 (A.25) ⟨V (0)V ′ i (0)⟩= V ′ i (0)V ′′ jk(0) = 0 (A.26) V ′ i (0)V ′ j (0) = − V (0)V ′′ ij(0) = −∂2C(0) ∂φi∂φj = α2δij (A.27) ⟨V (0)V (0)⟩= U0 (A.25) ⟨V (0)V ′ i (0)⟩= V ′ i (0)V ′′ jk(0) = 0 (A.26) V ′ i (0)V ′ j (0) = − V (0)V ′′ ij(0) = −∂2C(0) ∂φi∂φj = α2δij (A.27) V ′′ ij(0)V ′′ kl(0) = ∂4C(0) ∂φi∂φj∂φk∂φl =    α22 if i = j ̸= k = l (and perms.) α4 if i = j = k = l 0 otherwise. (A.28) V (0)V ′′′ jkl(0) = V ′′ ij(0)V ′′′ klm(0) = 0 (A.29) −α22 if i = j ̸= k = l (and perms.) V ′′ ij(0)V ′′ kl(0) = ∂4C(0) ∂φi∂φj∂φk∂φl =    α22 if i = j ̸= k = l (and perms.) α4 if i = j = k = l 0 otherwise. (A.28) JHEP05(2020)142 (0) = V ′′ ij(0)V ′′′ klm(0) = 0 (A.29) V (0)V ′′′ jkl(0) = V ′′ ij(0)V ′′′ klm(0) = 0 (A.29) V ′ i (0)V ′′′ jkl(0) = − V ′′ ij(0)V ′′ kl(0) =    −α22 if i = j ̸= k = l (and perms.) −α4 if i = j = k = l 0 otherwise. (A.30) V ′ i (0)V ′′′ jkl(0) = − V ′′ ij(0)V ′′ kl(0) =    −α22 if i = j ̸= k = l (and perms.) −α4 if i = j = k = l 0 otherwise. A.5 The Kac-Rice formula and conditioned Gaussian random fields Consider a Gaussian random vector field with components V(φ) = {V1(φ), . . . , Vn(φ)}. The multidimensional16 Kac-Rice formula for this field gives us the expected number of times a certain event, say, V(φ) = u, happens in an interval φ ∈I of volume V: E#,I [V(φ) = u] = Z I dφ | det V′(φ)| δ(V(φ) −u)  (A.35) (A.35) where det V′(φ) stands for the Jacobian determinant of the vector field,17 that is, V′(φ) =    ∂φ1V1(φ) · · · ∂φ1Vn(φ) ... ... ∂φnV1(φ) · · · ∂φnVn(φ)   . (A.36) JHEP05(2020)142 (A.36) If the field is stationary, that is, homogeneous and isotropic, we can simplify the expression above. Denoting V0 = V(0) and V′ 0 = V′(0), we find, assuming ergodicity, If the field is stationary, that is, homogeneous and isotropic, we can simplify the expression above. Denoting V0 = V(0) and V′ 0 = V′(0), we find, assuming ergodicity, E#,I [V(φ) = u] = V Z dV0 dV0′ | det V0′| δ(V0 −u) P(V0, V0′) (A.37) (A.37) where the integral is performed over the whole domain of V0 and V′ 0 and P(V0, V0′) is the joint PDF of V0 and its derivatives. More than one simultaneous event can be considered in the expressions above by enlarging the vector V and introducing more Dirac deltas representing each event.18 More than one simultaneous event can be considered in the expressions above by enlarging the vector V and introducing more Dirac deltas representing each event.18 While the above expression can certainly be used to obtain the number of times a certain event happens in a given interval, it can also be used to obtain distribution functions. More specifically, applying ergodicity theorems, it can be shown [30] that the probability of an event A happening, given that B has happened, that is, P(A|B), can be obtained by P(A|B) = E#,I [A ∩B] E#,I [B] . (A.38) (A.38) If A depends on continuous parameters (such as the position in field space of the GRF), then the expression above represents a probability distribution function. 18See, however, [30, ch.8] for a discussion on different types of conditioning events and how to deal with them. The reason why we consider the V0 = u event simply with a Dirac delta is that it is a vertical window conditioning event. A.4 Useful correlations (A.30) V ′′′ ijk(0)V ′′′ lmn(0) = − ∂6C(0) ∂φi∂φj∂φk∂φl∂φm∂φn =        α222 if i = j ̸= k = l ̸= m = n (and perms.) α24 if i = j ̸= k = l = m = n (and perms.) α6 if i = j = k = l = m = n 0 otherwise. (A.31) (A.31) In the above expressions, αi, αij and αijk are numerical constants which depend only on the covariance function of the (unconstrained) Gaussian random field. Note that in the two-dimensional case α222 will be absent from all derivations, since the indices appearing in the correlation function between the third derivatives can only take two different values. Note also that odd derivatives of the GRF are uncorrelated with even ones when they are evaluated at the same point in field space. This is due to the isotropy of the covariance function: if it is written as a power series, only even powers such as φ2 i , φ2 i φ2 j will be involved. Therefore, only those correlations which end up involving even derivatives of the covariance function are non-zero. This however, does not mean the fields V (φ) and, say, V ′ i (φ) are completely uncorre- lated. If we evaluate them at different points in field space, it can be shown [30, theorem 2.3] that V (φ)V ′ i (0) = −∂ ∂φi C(φ) (A.32) V (φ)V ′′ ij(0) = ∂2 ∂φi∂φj C(φ) (A.33) V (φ)V ′′′ ijk(0) = − ∂3 ∂φi∂φj∂φk C(φ) (A.34) (A.32) therefore, a GRF and any of its derivatives are correlated as processes. therefore, a GRF and any of its derivatives are correlated as processes. – 30 – A.5 The Kac-Rice formula and conditioned Gaussian random fields 16Note that this formula is only valid for fields mapping Rn →Rn. y pp g 17For critical points, the Jacobian is identical to the Hessian of the GRF at the critical point. 18 6Note that this formula is only valid for fields mapping Rn →Rn. A.6 Conditioned Gaussian random field for a critical point With the tools presented in the sections above, we are now ready to begin conditioning GRFs. We can begin applying (A.38) and specializing it for critical points. We denote by A the event describing the field V (φ) taking a particular configuration, while B im- poses V (0) ≡V0 = u and V ′ i (0) ≡ηi = 0, that is, a critical point lying in the center of field space at height u. In order to proceed more easily, we shall discretize V (φ) as {V (φ1), . . . , V (φq)} ≡{V1, . . . Vq} ≡V . – 31 – In this case, the conditioning event involves the Gaussian random vector field V = ∇V , whose Jacobian is the Hessian of the original field V evaluated at φ = 0. Therefore, its determinant is simply the product of the eigenvalues of the Hessian evaluated at the origin, Qn i=1 λi. Applying the Kac-Rice formula (A.37) into (A.38) yields Applying the Kac-Rice formula (A.37) into (A.38) yields P  V (φ) V0 = u,∇V0 = 0  ≡Pcp[V (φ)] = = Z n Y i=1  dηiδ(ηi)dλi|λi|  ∆(λ) δ(V0 −u) qY j=1  d ˜Vjδ( ˜Vj −Vj)  P  V0,V ,η,λ  Z n Y i=1  dηiδ(ηi)dλi|λi|  ∆(λ) δ(V0 −u) P  V0,η,λ  (A.39) = N Z n Y i 1 (dλi|λi|)∆(λ)P  V (φ),λ1,...,λn V0 = u, ∇V0 = 0  (A.40) P  V (φ) V0 = u,∇V0 = 0  ≡Pcp[V (φ)] = = Z n Y i=1  dηiδ(ηi)dλi|λi|  ∆(λ) δ(V0 −u) qY j=1  d ˜Vjδ( ˜Vj −Vj)  P  V0,V ,η,λ  Z n Y dηiδ(ηi)dλi|λi|  ∆(λ) δ(V0 −u) P  V0,η,λ  (A.39) JHEP05(2020)142 Z n Y i=1  dηiδ(ηi)dλi|λi|  ∆(λ) δ(V0 −u) P  V0,η,λ  ( ) = N Z n Y i=1 (dλi|λi|)∆(λ)P  V (φ),λ1,...,λn V0 = u, ∇V0 = 0  (A.4 = N Z n Y i=1 (dλi|λi|)∆(λ)P  V (φ),λ1,...,λn V0 = u, ∇V0 = 0  (A.40) (A.40) where the integration domain will depend on the kind of critical point we are working with. ∆(λ) ∝Q i<j |λi −λj| is the Jacobian of the variable change from components of the Hessian matrix to its eigenvalues, the proportionality constant depending on the dimensionality of the field space. A.6 Conditioned Gaussian random field for a critical point For simplicity, the denominator in (A.39) has been considered as a normalization factor for the distribution in the numerator. We can rewrite (A.39) in a more useful way: We can rewrite (A.39) in a more useful way: Pcp[V (φ)] = Y i Z dλi qu(λ1, . . . , λn) P  V (t) V0 = u, ∇V0 = 0, λ1, . . . , λn  (A.41) where where qu(λ1, . . . , λn) = Y i |λi| ∆(λ) P  λ1, . . . , λn V0 = u, ∇V0 = 0  (A.42) qu(λ1, . . . , λn) = Y i |λi| ∆(λ) P  λ1, . . . , λn V0 = u, ∇V0 = 0  (A.42) (A.42) represents the distribution of the Hessian eigenvalues at the origin for a critical point of height u. However, due to the homogeneous and isotropic nature of the original GRF, the latter distribution is valid for any critical point in the GRF, thus giving us a distribution for the parameters at critical points in the unconstrained field. Equations (A.41) and (A.42) are central results in this derivation. Note that the Q i |λi| ∆(λ) factor is a direct consequence of the Kac-Rice formula, and as we shall ex- plicitly see in appendix B, it carries important consequences in the distribution of the eigenvalues at critical points. We can now see the power of this method. Assuming we have discretized our field space, we can readily compute the conditional probability distributions in (A.41) and (A.42) using the results from section A.2. This leads, together with (A.42), to a distribution from which we can draw eigenvalues for a minimum of height u. These can be plugged in (A.41) to generate iterations of GRFs with a minimum (or any other critical point) at their origin. In order to apply all this machinery, let us introduce the following Gaussian random vector: {V (φ1), . . . , V (φq), V (0), V ′ 1(0), . . . , V ′ n(0), V ′′ 11(0), . . . , V ′′ nn(0), V ′′ 12(0), . . . A.6 Conditioned Gaussian random field for a critical point , V ′′ (n−1)n(0) | {z } V ′′ ij(0) i<j } (A.43) {z V ′′ ij(0) i<j (A.43) (A.43) – 32 – where we denote by φq the position in field space of a discrete set of points whose center is located at 0, V ′ i (0) describes the first derivative along φi and V ′′ ij(0) is the (i, j)-th element of the Hessian matrix. In order to unclutter the notation, we will compactify the previous vector as {V , V (0), V ′(0), V ′′(0)} (A.44) (A.44) which has dimension q + 1 + n + n + 1 2n(n −1). The mean of (A.43) is zero, and the covariance matrix of these quantities can be computed from the results in section A.4: Σ =      SV V SV 0 SV 1 SV 2 S0V U 2 0 0 S02 S1V 0 S11 0 S2V S20 0 S22      (A.45) JHEP05(2020)142 (A.45) where S02 =  −α2 · · · −α2 0 · · · 0  = ST 20 (A.46) S11 = α2 × 1n (A.47) S22 =              α4 α22 · · · α22 α22 α4 · · · α22 0 ... ... ... ... α22 α22 · · · α4 α22 0 0 ... 0 α22              (A.48) SV V =       C(0) C(φ1 −φ2) · · · C(φ1 −φq) C(φ2 −φ1) C(0) · · · C(φ2 −φq) ... ... ... ... C(φq −φ1) C(φq −φ2) · · · C(0)       (A.49) S0V =  C(φ1) C(φ2) · · · C(φq)  = ST V 0 (A.50) S1V =       −C′ 1(φ1) −C′ 1(φ2) · · · −C′ 1(φq) −C′ 2(φ1) −C′ 2(φ2) · · · −C′ 2(φq) ... ... ... ... −C′ n(φ1) −C′ n(φ2) · · · −C′ n(φq)       = ST V 1 (A.51) S2V =            C′′ 11(φ1) · · · C′′ 11(φq) ... ... ... C′′ nn(φ1) · · · C′′ nn(φq) C′′ 12(φ1) · · · C′′ 12(φq) ... ... ... A.6 Conditioned Gaussian random field for a critical point C′′ (n−1)n(φ1) · · · C′′ (n−1)n(φq)            = ST V 2 (A.52) S22 =           ... ... ... ... α22 α22 · · · α4 α22 0 0 ... 0 α22           (A.48) (A.48) SV V =       C(0) C(φ1 −φ2) · · · C(φ1 −φq) C(φ2 −φ1) C(0) · · · C(φ2 −φq) ... ... ... ... C(φq −φ1) C(φq −φ2) · · · C(0)       (A.49)  (φq φ1) (φq φ2) ( )  S0V =  C(φ1) C(φ2) · · · C(φq)  = ST V 0 (A.50) S1V =       −C′ 1(φ1) −C′ 1(φ2) · · · −C′ 1(φq) −C′ 2(φ1) −C′ 2(φ2) · · · −C′ 2(φq) ... ... ... ... −C′ n(φ1) −C′ n(φ2) · · · −C′ n(φq)       = ST V 1 (A.51) S2V =            C′′ 11(φ1) · · · C′′ 11(φq) ... ... ... C′′ nn(φ1) · · · C′′ nn(φq) C′′ 12(φ1) · · · C′′ 12(φq) ... ... ... C′′ (n−1)n(φ1) · · · C′′ (n−1)n(φq)            = ST V 2 (A.52) (A.52) – 33 – In order to simplify the notation, since the jointly Gaussian probability distribution in the end depends on two-point functions, we can actually write19 (A.45) in the following way: Σ =        U 2 0 C(φ1 −φ2) C(φ1) SV 1(φ1) SV 2(φ1) C(φ2 −φ1) U 2 0 C(φ2) SV 1(φ2) SV 2(φ2) C(φ1) C(φ2) U 2 0 0 S02 S1V (φ1) S1V (φ2) 0 S11 0 S2V (φ1) S2V (φ2) S20 0 S22        (A.53) (A.53) where SV 1(φ) =  −C′ 1(φ) · · · −C′ n(φ)  = ST 1V (A.54) SV 2(φ) =  C′′ 11(φ) · · · C′′ nn(φ) C′′ 12(φ) · · · C′′ (n−1)n(φ)  = ST 2V (A.55) JHEP05(2020)142 (A.54) (A.55) With these arrangements, the Gaussian random vector corresponding to (A.53) is  V (φ1), V (φ2), V (0), V ′(0), V ′′(0) . A.6 Conditioned Gaussian random field for a critical point (A.56) (A.56) (A.56) We have decomposed (A.53) into blocks so it can be plugged into (A.57) and (A.58) to obtain the mean function and covariance matrix of the conditioned process.20 Using the results given above, one gets that the expectation value for the GRF around a critical point where V0 = u and V ′ 0 = 0, is given by, ˜µ(φ) = µ(φ) +  C(φ) SV 1(φ) SV 2(φ)     U 2 0 0 S02 0 S11 0 S20 0 S22    −1    u 0 h    =  C(φ) SV 2(φ)  U 2 0 S02 S20 S22 !−1 u h ! (A.57) (A.57) where h =  h11, . . . , hnn, h12, . . . , h(n−1)n represents a certain configuration of the Hessian components of the field around the origin. Furthermore, the covariance function for the conditioned GRF is now Furthermore, the covariance function for the conditioned GRF is now ˜C(φ1, φ2) = C(φ1 −φ2) −  C(φ1) SV 1(φ1) SV 2(φ1)     U 2 0 0 S02 0 S11 0 S20 0 S22    −1    C(φ2) S1V (φ2) S2V (φ2)    = C(φ1 −φ2) −  C(φ1) SV 2(φ1)  U 2 0 S02 S20 S22 !−1 C(s) S2V (φ2) ! −SV 1(φ1)S−1 11 S1V (φ2) (A.58) (A.58) 19We basically have evaluated the first row for a given φ1 and the first column for a given φ2, just as 19We basically have evaluated the first row for a given φ1 and the first column for a given φ2, just as in [32]. Doing so allows us to treat the independent variable as a continuous one, rather than a discrete one. 19We basically have evaluated the first row for a given φ1 and the first column for a given φ2, just as in [32]. Doing so allows us to treat the independent variable as a continuous one, rather than a discrete one. 20Strictly speaking, we should be getting the mean and covariance of the random vector {V (φ1), V (φ2)}. A.6.1 Analysis of a conditioned 2D Gaussian field Let us apply these expressions to a two-dimensional isotropic and homogeneous GRF with covariance function  2  C(φ) = U 2 0 exp  −φ2 2Λ2  , (A.59) (A.59) and zero mean. For this case, we obtain the conditioned mean from (A.57), which gives JHEP05(2020)142 ˜µ(φ) = e−φ2 2Λ2 " u  1 + φ2 2Λ2  + 1 2  φ1 φ2  h11 h12 h21 h22 ! φ1 φ2 !# , (A.60) where h21 = h12, by definition. Since we are free to choose the basis of φ, in order to simplify the expression we will employ the eigenvector basis of the Hessian matrix, therefore transforming (A.60) to ˜µ(φ) = e−φ2 2Λ2 " u  1 + φ2 2Λ2  + 1 2 2 X i=1 λiφ2 i # , (A.61) (A.61) where λi denote the two eigenvectors, drawn from (A.42) specialized to this case (see below). As for the conditioned covariance, from (A.58) we obtain ˜C(φ1,φ2) = U 2 0 exp  −|φ1|2+|φ2|2 2Λ2  exp φ1·φ2 Λ2  −1−φ1·φ2 Λ2 −(φ1·φ2)2 2Λ4  . (A.62) (A.62) Note that the covariance function of the conditioned process is not homogeneous anymore! This, however, makes complete sense. We have actually made the center of every realization special, meaning that homogeneity is broken in this sense. In fact, the new covariance is isotropic with respect to φ = 0, further stating that the center of the GRF is somehow different from the rest of the points. Note that the covariance function of the conditioned process is not homogeneous anymore! This, however, makes complete sense. We have actually made the center of every realization special, meaning that homogeneity is broken in this sense. In fact, the new covariance is isotropic with respect to φ = 0, further stating that the center of the GRF is somehow different from the rest of the points. All the presented machinery works not only for minima, but also for maxima and saddle points as well; the only difference among these being the sign of each λi. A.6 Conditioned Gaussian random field for a critical point D t th i t f th GRF φ d φ b i t i fild Th i d t l tt We basically have evaluated the first row for a given φ1 and the first column for a given φ2, just as in [32]. Doing so allows us to treat the independent variable as a continuous one, rather than a discrete one. 20Strictly speaking, we should be getting the mean and covariance of the random vector {V (φ1), V (φ2)}. Due to the isotropy of the GRF, φ1 and φ2 can be any points in field space. Thus, in order to unclutter the notation, we will only keep track of a single component of the resulting mean vector. Likewise, we will only keep the ⟨V (φ1)V (φ2)⟩component of the covariance matrix. – 34 – We can also obtain (A.42), the distribution of eigenvalues at a critical point of a given height u, following the same steps as above, using as initial covariance matrix the bottom- right block of (A.53). A.6.1 Analysis of a conditioned 2D Gaussian field A.6.2 Distribution of heights and eigenvalues of the Hessian at a critical poin In order to calculate the probability distribution of the eigenvalues of the Hessian at a certain height of the potential at critical points we should pay attention to two ingredients. The first one is the fact that the height and the second derivatives are correlated, so we need to calculate the multivariate covariance function for these quantities together. Furthermore, we also want to calculate this at critical points which can be done with the use of the generalized Kac-Rice formula. Assuming a critical point located at φ = 0, the probability distribution to be com- puted is P  V0, λ1, λ2 ∇V0 = 0  (A.63) (A.63) – 35 – We can easily compute the PDF by conditioning the following random vector: We can easily compute the PDF by conditioning the following random vector: {V0, h11, h22, h12, η1, η2} (A.64) (A.64) of mean zero and covariance matrix of mean zero and covariance matrix    U 2 0 S02 0 S20 S22 0 0 0 S11    (A.65) (A.65) Applying (A.19) and (A.20) to obtain the mean and covariance of the conditioned process and plugging them into (A.42), we get JHEP05(2020)142 Pcp(V0, λ1, λ2) du 2 Y i=1 dλi = N |λ1||λ2| ∆(λ) P  V0, λ1, λ2 ∇V0 = 0  (A.66) = N|λ1 −λ2||λ1||λ2| exp  −V 2 0 2U 2 0  exp " − Λ2λi + V0 2U0 2# dλi dV0 (A.67) here N is a normalization factor and, in this two-dimensional example, ∆(λ)=|λ1−λ2|·π/2. where N is a normalization factor and, in this two-dimensional example, ∆(λ)=|λ1−λ2|·π/2. Setting V0 to a constant value, say V0 = u, in (A.67) yields the distribution qu(λ1, λ2), defined in (A.42). On the other hand, integrating out either V0 or the eigenvalues, gives the marginal distribution for the remaining variables in critical points (see appendix B for more detail). Another interesting application of (A.66) is that it can be used to count the expected number of critical points in a certain region of field space. For example, to compute the expected number of minima per correlation volume Λ2 in the example above, a direct application of (A.37) yields E(#min) Λ2 = Z +∞ −∞ du Z +∞ 0 dλ1 Z +∞ 0 dλ2 π 2 λ1λ2 |λ1 −λ2|P  V0, λ1, λ2 ∇V0 = 0  = 1 2 √ 3. A.6.2 Distribution of heights and eigenvalues of the Hessian at a critical poin (A.68) (A.68) In this case, the eigenvalues have been assumed to be positive. Setting other integration limits can give the expected number of maxima and saddle points, for example. A.7 Conditioned Gaussian random field for an inflection point We shall define an inflection point on our GRF as a point where the gradient of the field points in the direction of a Hessian eigenvector whose corresponding eigenvalue is zero. Furthermore, we will also demand that the non-zero eigenvalue of the Hessian to be positive at this point. In order to do this we can expand the discussion of the previous section by taking into account the third derivatives of the GRFs along with the lower ones. In order to simplify this description we will give a detail account of this construction for a 2d GRF – 36 – only. Extending this to higher dimensions is straightforward. In particular we will be interested in the Gaussian random vector only. Extending this to higher dimensions is straightforward. In particular we will be interested in the Gaussian random vector  V (φ1), V (φ2), V0, V ′ 1(0), V ′ 2(0), V ′′ 11(0), V ′′ 22(0), V ′′ 12(0), V ′′′ 111(0), V ′′′ 122(0), V ′′′ 222(0), V ′′′ 112(0) (A.69)  V (φ1), V (φ2), V0, V ′ 1(0), V ′ 2(0), V ′′ 11(0), V ′′ 22(0), V ′′ 12(0), V ′′′ 111(0), V ′′′ 122(0), V ′′′ 222(0), V ′′′ 112(0) (A.69) (A.69) whose components have zero mean. As for the covariance matrix, it can be expressed as Σ =          U 2 0 C(φ1 −φ2) C(φ1) SV 1(φ1) SV 2(φ1) SV 3(φ1) C(φ2 −φ1) U 2 0 C(φ2) SV 1(φ2) SV 2(φ2) SV 3(φ2) C(φ1) C(φ2) U 2 0 0 S02 0 S1V (φ1) S1V (φ2) 0 S11 0 S13 S2V (φ1) S2V (φ2) S20 0 S22 0 S3V (φ1) S3V (φ2) 0 S31 0 S33          (A.70) JHEP05(2020)142 (A.70) where (for the 2D case) SV 3(φ) =  −C′ 111(φ) −C′ 122(φ) −C′ 222(φ) −C′ 112(φ)  = ST 3V (A.71) S13 = −α4 −α22 0 0 0 0 −α4 −α22 ! = ST 31 (A.72) S33 =      α6 α24 0 0 α24 α24 0 0 0 0 α6 α24 0 0 α24 α24      (A.73) (A.71) and the other matrix blocks have been defined in (A.46)–(A.52). A.7 Conditioned Gaussian random field for an inflection point Following the same steps as in the critical point case, we can obtain (for the covariance function (A.59)) the expression for a GRF once we conditioned everything up to the third derivative. In order to do this we can first compute the mean value of the GRF in the vicinity of our inflection point, which is given by ˜µ(φ) = 0+  C(φ) SV 1(φ) SV 2(φ) SV 3(φ)       U 2 0 0 S02 0 0 S11 0 S13 S20 0 S22 0 0 S31 0 S33      −1      u η h ρ      (A.74) =  C(φ) SV 2(φ)  U 2 0 S02 S20 S22 !−1 u h ! +  SV 1(φ) SV 3(φ)  S11 S13 S31 S33 !−1 η ρ ! = exp  −φ2 2Λ2  (u+φ·η)  1+ φ2 2Λ2  + 1 2 2 X i=1 λiφ2 i + 1 6 2 X i,j,k=1 φiφjφkρijk  , (A.75) ˜µ(φ) = 0+  C(φ) SV 1(φ) SV 2(φ) SV 3(φ)       U 2 0 0 S02 0 0 S11 0 S13 S20 0 S22 0 0 S31 0 S33      −1      u η h ρ      (A.74) (A.74) =  C(φ) SV 2(φ)  U 2 0 S02 S20 S22 !−1 u h ! +  SV 1(φ) SV 3(φ)  S11 S13 S31 S33 !−1 η ρ ! = exp  −φ2 2Λ2  (u+φ·η)  1+ φ2 2Λ2  + 1 2 2 X i=1 λiφ2 i + 1 6 2 X i,j,k=1 φiφjφkρijk  , (A.75) where the basis of φ has been chosen to be the eigenbasis of the Hessian matrix (whose components are described by h and its eigenvalues by λi) and we have denoted by η and ρ the components of the first and third derivatives at the origin along the eigenbasis. A.7 Conditioned Gaussian random field for an inflection point – 37 – The conditioned covariance, on the other hand, reads The conditioned covariance, on the other hand, reads The conditioned covariance, on the other hand, reads The conditioned covariance, on the other hand, reads ˜C(φ1,φ2) = C(φ1−φ2)− C(φ1) SV 1(φ1) SV 2(φ1) SV 3(φ1)      U 2 0 0 S02 0 0 S11 0 S13 S20 0 S22 0 0 S31 0 S33     −1     C(φ2) S1V (φ2) S2V (φ2) S3V (φ2)     = U 2 0 exp  −|φ1|2+|φ2|2 2Λ2  exp φ1·φ2 Λ2  −1−φ1·φ2 Λ2 −(φ1·φ2)2 2Λ4 −(φ1·φ2)3 6Λ6  (A.76) which, once again, is isotropic around the origin of the field. which, once again, is isotropic around the origin of the field. which, once again, is isotropic around the origin of the field. B Numerical implementation and tests of the probability distributions B Numerical implementation and tests of the probability distributions A.7.1 Probability distribution for the inflection point parameters JHEP05(2020)142 We can extend the treatment for the eigenvalues of the hessian that we did for the critical points to inflection points. The difference is that we will now impose that one of the eigenvalues vanishes while the other one is positive. Furthermore we will also impose that the gradient in the second eigenvalue direction also vanishes. These conditions have to be included in the calculation of the PDF of the parameters of the inflection points (V0, η1, λ2, ρ). Using a generalized version of the Kac-Rice procedure we arrive to, Pinf dV0 dλ2 dη1 dρ = N|λ2|2|ρ111| P  V0, λ2 | λ1 = 0  P (η1, ρijk | η2 = 0) (A.77) where Pinf dV0 dλ2 dη1 dρ = N|λ2|2|ρ111| P  V0, λ2 | λ1 = 0  P (η1, ρijk | η2 = 0) (A.77) Pinf dV0 dλ2 dη1 dρ = N|λ2|2|ρ111| P  V0, λ2 | λ1 = 0  P (η1, ρijk | η2 = 0) (A.77) where where P  V0, λ2 | λ1 = 0  dV0 dλ2 = N exp  −4V 2 0 −2Λ2V0λ2 −Λ4λ2 2 2U0  dV0 dλ2 (A.78) P (η1, ρijk | η2 = 0) dη1 dρijk = N exp  −Λ2 12U 2 0  18η2 1 + 6Λ2η1(ρ111 + ρ122) + Λ4 2 X i,j,k=1 ρ2 ijk    dη1 dρijk (A.79) (A.78) In (A.77), one of the |λ2| factors comes from the Jacobian of the variable change to the eigenbasis of the Hessian (though with λ1 = 0); the remaining |λ2||ρ111| factor is just the determinant appearing in Kac-Rice’s expression. These last expressions can be used as in (A.68) to compute the expected number of inflection point per correlation volume Λ2, which yields, for our choice of covariance function, E(#ip) Λ2 = √ 5 − √ 3 3π . (A.80) (A.80) B.1 Generation of Gaussian random fields: Karhunen-Lo`eve expansion In order to generate realizations of two-dimensional Gaussian random fields, we resorted to the so-called spectral or Karhunen-Lo`eve decomposition, due to its mathematical and computational simplicity. – 38 – Given a certain mean function µ(t), covariance function C(t, s) and a discretized space {ta} (where a runs over all n points in the lattice space) of a GRF, we can build the matrix Cab = C(ta, tb), which by construction is symmetric and positive definite; therefore, we can always decompose Cab as C = UΛU T (B.1) (B.1) where Λ = diag(λ1, . . . , λn) is the diagonal eigenvalue matrix, consisting of non-negative entries, and U is constructed by inserting all eigenvectors along its rows. Since Λ > 0, we can further decompose C as where Λ = diag(λ1, . . . , λn) is the diagonal eigenvalue matrix, consisting of non-negative entries, and U is constructed by inserting all eigenvectors along its rows. Since Λ > 0, we can further decompose C as JHEP05(2020)142 C = U √ Λ √ ΛU T =  U √ Λ   U √ Λ T = L LT . (B.2) (B.2) This procedure is tantamount to performing a Cholesky decomposition [56] on C; which is by far the most expensive step in this algorithm, in terms of computational cost. Once we have computed L, constructing the GRF on the discretized space is straight- forward. We only need to construct a random vector ξ of length n whose entries are independently distributed as Gaussian variables of zero mean and unit variance, and intro- duce the following variables: Va = µa + Labξb, (B.3) (B.3) where µa = µ(ta). It can be easily shown that this gives the correct correlations among the values of the GRF evaluated at different points ta, where µa = µ(ta). It can be easily shown that this gives the correct correlations among the values of the GRF evaluated at different points ta, ⟨(Va −µa)(Vb −µb)⟩= ⟨LacξcLbdξd⟩= LacLbd⟨ξcξd⟩ = LacLbdδcd = LacLbc = LacLT cb = (LLT )ab = Cab = C(ta,tb). (B.4) (B.4) The main advantage of using this procedure to generate GRFs is that the main compu- tationally costly step, constructing the L matrix, needs to be performed only once. The rest of the algorithm is highly trivial from this perspective and allows for further simplification, as we have seen. B.2 Numerical evaluations of critical points Using the expressions above we can compute the normalized distribution of heights of minima, maxima and saddle points for a 2d GRF, Pu,mindu = √ 3 4πU0 e−u2/U 2 0  −2u U0 +2√πeu2/4U 2 0 erfc h u 2U0 i + √ 2π  u2 U2 0 −1  eu2/2U 2 0 erfc h u √ 2U0 i du Pu,maxdu = √ 3 4πU0 e−u2/U 2 0  2u U0 +2√πeu2/4U 2 0 erfc h −u 2U0 i + √ 2π  u2 U2 0 −1  eu2/2U 2 0 erfc h − u √ 2U0 i du Pu,sp du = √ 3 2√πU0 exp  −3u2 4U2 0  . (B.5) (B.5) – 39 – Minima Saddle points Maxima -4 -2 0 2 4 ucp 0 1000 2000 3000 4000 5000 # (a) (b) (c) (d) Figure 13. Histograms of (a) heights and (b-d) eigenvalues for critical points, normalized to expected values, from a 105Λ2 GRF. Distributions (B.5) and (B.6) are plotted along with their respective histograms, normalized with respect to (A.68). (b) Minima Saddle points Maxima -4 -2 0 2 4 ucp 0 1000 2000 3000 4000 5000 # (a) JHEP05(2020)142 (b) (a) (d) (c) (d) (c) Figure 13. Histograms of (a) heights and (b-d) eigenvalues for critical points, normalized to expected values, from a 105Λ2 GRF. Distributions (B.5) and (B.6) are plotted along with their respective histograms, normalized with respect to (A.68). Furthermore, we can also compute the marginal distribution for the Hessian eigenvalues at critical points regardless of their height. This distribution is given by, Psp,λidλ1dλ2 = r 3 π Λ10 32U 5 0 2 Y i=1  |λi|exp  −Λ4 8U 2 0 λ2 i  |λ1−λ2|exp  −Λ4 16U 2 0 (λ1−λ2)2  dλ1dλ2 = 1 2Pmin,max,λidλ1dλ2. (B.6) (B.6) We have checked the distributions above with numerical realizations of unconstrained Gaus- sian random fields in Mathematica. Regarding the heights of critical points, the numerical results fit the analytical prediction perfectly, as shown in figure 13(a). As for the eigenvalue distribution, figure 13(b)-(d) shows that the histograms fit the analytical predictions perfectly once again. B.2 Numerical evaluations of critical points An important feature of these distributions is the fact that critical points with one of the eigenvalues close to zero or both eigenvalues close to each other are very rare; this effect (referred to as eigenvalue repulsion) is a direct consequence of the presence of the Vandermonde determinant in the distributions, as well as the Jacobian of the gradient field in the Kac-Rice formula. – 40 – -4 -3 -2 -1 0 1 2 u 0.0 0.1 0.2 0.3 0.4 0.5 Pu (a) 0.2 0.4 0.6 0.8 1.0 η1 0.5 1.0 1.5 2.0 2.5 3.0 Pη1 (b) 1 2 3 4 5 6 7 λ2 0.1 0.2 0.3 0.4 Pλ2 (c) -10 -5 0 5 10 ρ111 0. 0.04 0.08 0.12 Pρ111 (d) Figure 14. Normalized histograms of (a) height (b) η1 (c) λ2 (d) ρ111 for inflection points and their expected PDFs (B.7)–(B.10), constrained by the condition λ2/η1 > 4. 0.2 0.4 0.6 0.8 1.0 η1 0.5 1.0 1.5 2.0 2.5 3.0 Pη1 (b) -4 -3 -2 -1 0 1 2 u 0.0 0.1 0.2 0.3 0.4 0.5 Pu (a) 0.2 0.4 0.6 0.8 1.0 η1 0.5 1.0 1.5 2.0 2.5 3.0 Pη1 (b) -4 -3 -2 -1 0 1 2 u 0.0 0.1 0.2 0.3 0.4 0.5 Pu (a) JHEP05(2020)142 -10 -5 0 5 10 ρ111 0. 0.04 0.08 0.12 Pρ111 (d) 1 2 3 4 5 6 7 λ2 0.1 0.2 0.3 0.4 Pλ2 (c) (d) (c) Figure 14. Normalized histograms of (a) height (b) η1 (c) λ2 (d) ρ111 for inflection points and their expected PDFs (B.7)–(B.10), constrained by the condition λ2/η1 > 4. B.3 Numerical evaluations of inflection points Using the results given above, we can obtain the following distributions for the parameters of the inflection points in a typical GRF. Pudu = 3 √ 3 16πU 3 0 exp  −u2 U 2 0  −2U0u+√π(u2+2U 2 0 )exp  u2 4U 2 0  erfc h u 2U0 i du (B.7) Pλ2dλ2 = r 3 π 3 16 Λ6 U 3 0 λ2 2 exp  −3Λ4 16U 2 0 λ2 2  dλ2 (B.8) Pη1dη1 = (3+ √ 15)Λ 12U 2 0 exp  −5Λ2 4U 2 0 η2 1  r 12 π U0−3Λ|η1|exp  3Λ2 4U 2 0 η2 1  erfc √ 3Λ 2U0 |η1| ! dη1 (B.9) ( Pρ111dρ111 = (5+ √ 15)Λ6 60U 2 0 |ρ111|exp  −Λ6 30U 2 0 ρ2 111  erfc  Λ3 2 √ 5U0 |ρ111|  dρ111 (B.1 Pρ111dρ111 = (5+ √ 15)Λ6 60U 2 0 |ρ111|exp  −Λ6 30U 2 0 ρ2 111  erfc  Λ3 2 √ 5U0 |ρ111|  dρ111 (B.10) where the complementary error function is defined as where the complementary error function is defined as erfc(x) = 2 √π Z ∞ x dt e−t2. erfc(x) = 2 √π Z ∞ x dt e−t2. Once again, we found these expressions to be fully consistent with the numerical results, as shown in figure 14. Once again, we found these expressions to be fully consistent with the numerical results, as shown in figure 14. – 41 – In order to find inflection points in our numerically generated potentials, we looked for roots of the system ( ηT H η ηT H η⊥ (B.11) (B.11) where H is the Hessian matrix, ηT = (η1, η2) represents the gradient at any point of the field and ηT ⊥= (−η2, η1). It can be easily shown that simultaneous roots of eq. (B.11) are either critical or inflection points. Finding inflection points numerically is quite tricky and the algorithm sometimes in- corporates spurious points that, upon further study, are proven to be fictitious inflection points. In order to make a proper comparison to the general expressions we have found analytically and avoid the inclusion of those spurious inflection points, we only considered those points which satisfied λ2/η1 > 4. This cut removes around 30% of the potential inflec- tion points. 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https://openalex.org/W4390942729
https://link.springer.com/content/pdf/10.1007/s10278-023-00950-6.pdf
English
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Automatic 3D Segmentation and Identification of Anomalous Aortic Origin of the Coronary Arteries Combining Multi-view 2D Convolutional Neural Networks
Journal of Imaging Informatics in Medicine
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Abstract This work aimed to automatically segment and classify the coronary arteries with either normal or anomalous origin from the aorta (AAOCA) using convolutional neural networks (CNNs), seeking to enhance and fasten clinician diagnosis. We implemented three single-view 2D Attention U-Nets with 3D view integration and trained them to automatically segment the aortic root and coronary arteries of 124 computed tomography angiographies (CTAs), with normal coronaries or AAOCA. Furthermore, we automatically classified the segmented geometries as normal or AAOCA using a decision tree model. For CTAs in the test set (n = 13), we obtained median Dice score coefficients of 0.95 and 0.84 for the aortic root and the coronary arteries, respectively. Moreover, the classification between normal and AAOCA showed excellent performance with accuracy, precision, and recall all equal to 1 in the test set. We developed a deep learning-based method to automatically segment and classify normal coronary and AAOCA. Our results represent a step towards an automatic screening and risk profiling of patients with AAOCA, based on CTA. Keywords  Convolutional neural network · Coronary arteries · AAOCA · U-Net Automatic 3D Segmentation and Identification of Anomalous Aortic Origin of the Coronary Arteries Combining Multi‑view 2D Convolutional Neural Networks Ariel Fernando Pascaner1   · Antonio Rosato2 · Alice Fantazzini3 · Elena Vincenzi3 · Curzio Basso Francesco Secchi4 · Mauro Lo Rito5 · Michele Conti1 Ariel Fernando Pascaner1   · Antonio Rosato2 · Alice Fantazzini3 · Elena Vincenzi3 · Curzio Bass Francesco Secchi4 · Mauro Lo Rito5 · Michele Conti1 Received: 16 August 2023 / Revised: 18 October 2023 / Accepted: 29 October 2023 / Published online: 17 January 2024 © The Author(s) 2024 https://doi.org/10.1007/s10278-023-00950-6 Journal of Imaging Informatics in Medicine (2024) 37:884–891 https://doi.org/10.1007/s10278-023-00950-6 Journal of Imaging Informatics in Medicine (2024) 37:884–891 Mauro Lo Rito mauro.lorito@grupposandonato.it 1 Department of Civil Engineering and Architecture, University of Pavia, Via Adolfo Ferrata 3, 27100 Pavia, Italy 2 3D and Computer Simulation Laboratory, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 3 Camelot Biomedical Systems S.r.l., Via Al Ponte Reale 2/20, 16124 Genoa, Italy 4 Unit of Radiology, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 5 Department of Congenital Cardiac Surgery, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy Background position. The AAOCA are highly heterogeneous and gen- erally are classified depending on the affected coronary, the location of the ostium, the course, and the geometrical characteristics of the anomalous artery [1]. Often the diag- nosis of AAOCA is incidental during examinations for other medical reasons, although in a significant proportion of the cases, the first manifestation of the disease may be a sudden cardiac death (SCD) event or a myocardial infarction under Anomalous aortic origin of the coronary arteries (AAOCA) is a rare congenital disease in which one of the coronary arteries may originate from the aorta but in an abnormal Ariel Fernando Pascaner and Antonio Rosato contributed equally to this work and share first authorship. Vol:.(1234567890) 1 3 Ariel Fernando Pascaner and Antonio Rosato contributed equally to this work and share first authorship. * Michele Conti michele.conti@unipv.it Ariel Fernando Pascaner ariel.pascaner@unipv.it Antonio Rosato antonio.rosato@grupposandonato.it Alice Fantazzini alice.fantazzini@camelotbio.com Elena Vincenzi elena.vincenzi@camelotbio.com Curzio Basso curzio@camelotbio.com Francesco Secchi francesco.secchi@unimi.it Vol:.(1234567890) 1 3 Ariel Fernando Pascaner and Antonio Rosato contributed equally to this work and share first authorship. Ariel Fernando Pascaner and Antonio Rosato contributed equally to this work and share first authorship. Image Acquisition and Preprocessing We included 124 CTA scans of patients (age: 36 ± 20 years old, 65% male) referred to IRCCS Policlinico San Donato (Milan, Italy), with either normal (n = 50) or anomalous aortic origin of the coronary artery (n = 74). For each CTA scan, the aortic root and the coronary arteries were semi-automatically segmented by a trained expert (AR) using ITK-Snap interac- tive tool [21], and considered as the ground truth. The study was approved by the Ethical Committee (protocol number: 54/INT/2023), and the consent was waived due to the retro- spective nature of the study. Contrast-enhanced coronary CT angiography (CTA) has become the first-line diagnostic tool for evaluating chest pain or myocardial infarction in the adult population [7], because it accurately depicts the coronary tree and the relative sten- otic lesions without any invasive intervention such as for the coronary angiography. For this reason, the number of coronary CTAs performed has dramatically increased, lead- ing also to the increase in diagnosis for AAOCA. When an AAOCA is detected in an asymptomatic subject, the deci- sion about which is the best treatment is greatly debated and mainly relies on anatomical characteristics, result of func- tional tests, and invasive evaluation [8]. Image pre-processing plays a crucial role in CNNs train- ing [22]; therefore, after manual segmentations were con- ducted and prior to CNN training, all CTA scans underwent the following steps. First, volumes were resized to a fixed dimension of 320 × 320 × 320 voxels to account for hetero- geneity among scans. Then, we set a Hounsfield units (HU) window of interest centered at 100 HU and width 700 HU, i.e., between − 250 HU and 450 HU. All voxels with HU outside of this range were saturated. Quantitative analysis of AAOCA from CTA is used in dif- ferent contexts, such as diagnosis and risk profiling, surgical planning, and numerical biomechanical simulations [9–12]. Recently, deep learning techniques have shown promising performance in the medical field, addressing classification, segmentation, and detection tasks [13–15]. Since segmenta- tion is a time-consuming and subjective task, an automatic tool capable of extracting the coronary lumen from the CTA would reduce the inter- and intra-operator variability and would enable a faster analysis of large datasets. Moreover, coronary arteries segmentation is a useful step in perform- ing coronary examination and accurately identifying vessels with anomalous origin and course [16]. Background * Michele Conti michele.conti@unipv.it Ariel Fernando Pascaner ariel.pascaner@unipv.it Antonio Rosato antonio.rosato@grupposandonato.it Alice Fantazzini alice.fantazzini@camelotbio.com Elena Vincenzi elena.vincenzi@camelotbio.com Curzio Basso curzio@camelotbio.com Francesco Secchi francesco.secchi@unimi.it Mauro Lo Rito mauro.lorito@grupposandonato.it 1 Department of Civil Engineering and Architecture, University of Pavia, Via Adolfo Ferrata 3, 27100 Pavia, Italy 2 3D and Computer Simulation Laboratory, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 3 Camelot Biomedical Systems S.r.l., Via Al Ponte Reale 2/20, 16124 Genoa, Italy 4 Unit of Radiology, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 5 Department of Congenital Cardiac Surgery, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy Mauro Lo Rito mauro.lorito@grupposandonato.it 1 Department of Civil Engineering and Architecture, University of Pavia, Via Adolfo Ferrata 3, 27100 Pavia, Italy 2 3D and Computer Simulation Laboratory, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 2 3D and Computer Simulation Laboratory, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 3 Camelot Biomedical Systems S.r.l., Via Al Ponte Reale 2/20, 16124 Genoa, Italy 4 Unit of Radiology, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 5 Department of Congenital Cardiac Surgery, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy 5 Department of Congenital Cardiac Surgery, IRCCS Policlinico San Donato, Piazza Edmondo Malan 2, 20097 San Donato Milanese, Italy Vol:1 .(123456789 3 Journal of Imaging Informatics in Medicine (2024) 37:884–891 885 effort conditions [2, 3]. Because AAOCA, which is one of the leading causes of SCD in young athletes [4, 5], may also have a lethal presentation in the late adult age, it has been considered in differential diagnosis of myocardial infarction with non-obstructive coronary arteries [6] and its diagnosis cannot be missed because it may deeply impact the patient’s outcome. Results The output of each CNN consisted of 2D probability maps for the aortic root and the coronary arteries, which were binarized with the thresholds that maximized the DSC on the validation set. The resulting thresholds were 0.30 and 0.15, respectively. Workflow Description In other words, the pre- dictions made by the three 2D U-Nets were combined to provide a spatially coherent final segmentation, overcoming the limitations of single-plane CNNs, namely the lack of information regarding the association among different slices. The CNNs were implemented in Python, using Keras framework (v 2.8.0) based on Tensorflow (v 2.8.3) with GPU support (NVIDIA GeForce RTX 2080 Ti graphic card with CUDA compute capability of 7.5), under Windows 10 operating system. The CNNs were implemented in Python, using Keras framework (v 2.8.0) based on Tensorflow (v 2.8.3) with GPU support (NVIDIA GeForce RTX 2080 Ti graphic card with CUDA compute capability of 7.5), under Windows 10 operating system. Workflow Description We implemented three identical bidimensional Attention U-Nets [23] for each of the CTA orthogonal planes (axial, sagittal, and coronal), which were reconstructed from the preprocessed CTA volume. Each single-plane network per- formed multi-class classification of the input pixels onto the three considered classes, namely, background, aortic root, and coronary arteries. The output of each CNN consisted of three 2D probability maps (one for each class) in which the intensity value of the pixels represented the probability of belonging to each class. Then, given the single-view prob- ability maps obtained for the entire CTA, a simple aver- age was performed to integrate the results among the three orthogonal directions. The potential of deep learning and convolutional neu- ral networks (CNNs) for coronary artery segmentation in CTA images has been demonstrated in several studies [17]. Different variations of CNNs have been explored, including 3D CNNs, multi-channel U-Nets, and graph CNNs, with reported Dice score coefficients (DSCs) ranging from 0.6 to 0.9 [18]. Recent review works have highlighted the growing popularity of CNN-based methods for coronary artery seg- mentation and emphasized the need for further development to translate research into clinical practice [17, 19]. For each class of interest (i.e., aortic root, and coronary artery), a 3D label map was obtained by binarizing the inte- grated prediction maps with the threshold that maximized the DSC on the validation set for that specific class. The voxels in which the probability of more than one class sur- passed the binarizing threshold were assigned to the class with highest probability. The end-result was a single 3D label map (i.e., the output of the multi-class classification task) representing the segmentation of the aortic root and the coronary arteries within the CTA volume. Figure 1 shows a schematic representation of the workflow. Therefore, we aimed to create an AI-based automatic tool, by developing a CNN, able to accurately segment the coro- nary tree in AAOCA patients and automatically detect the presence of the anomaly based on the segmented geometry. We have already conducted some preliminary experiments in which we developed a CNN to automatically segment the aorta from CTA images, obtaining a mean DSC of 0.93 [20]. Following these encouraging results, in the present work, we addressed the feasibility of fully automatic coronary seg- mentation and classification. Data Analysis The segmentations obtained with the developed method were compared against the ground truth annotations using the DSC, which is commonly used to evaluate the perfor- mance of the multi-view network as an overlap measure between the predicted and the ground truth segmentations. Two different DSC were computed, i.e., one DSC for the aortic root segmentation and one DSC for the coronary seg- mentation. The classification results were evaluated using accuracy, precision, and recall. To train the models, we used binary cross-entropy as a loss function, and Adam optimizer with learning rate = 0.0001 to optimize the network parameters. We trained the CNNs providing to the 2D networks mini-batches of 10 slices each, randomly sampled from the training set. The training was stopped using early stopping criteria, with patience of 15 epochs. CNN Training The CTA acquisitions and the corresponding segmentations were randomly divided into three groups: training set (n = 99 scans), validation set (n = 12 scans), and test set (n = 13 scans). Each CTA scan was parsed into 2D axial, sagittal, and coronal views, and the single-plane CNNs were trained for each orthogonal view using a separate segmentation model. To increase the variety of the dataset, we performed data augmentation on the training and validation by mak- ing a random rotation (range: − 7°–7°), shift (range in width direction: − 22–22 pixels; range in height direction: − 22–22 pixels for axial planes and − 72–72 pixels for sagittal and coronal planes) and zoom (range: 0.85–1.15) to each image. To train the models, we used binary cross-entropy as a loss function, and Adam optimizer with learning rate = 0.0001 to optimize the network parameters. We trained the CNNs providing to the 2D networks mini-batches of 10 slices each, randomly sampled from the training set. The training was stopped using early stopping criteria, with patience of 15 epochs. The CTA acquisitions and the corresponding segmentations were randomly divided into three groups: training set (n = 99 scans), validation set (n = 12 scans), and test set (n = 13 scans). Each CTA scan was parsed into 2D axial, sagittal, and coronal views, and the single-plane CNNs were trained for each orthogonal view using a separate segmentation model. To increase the variety of the dataset, we performed data augmentation on the training and validation by mak- ing a random rotation (range: − 7°–7°), shift (range in width direction: − 22–22 pixels; range in height direction: − 22–22 pixels for axial planes and − 72–72 pixels for sagittal and coronal planes) and zoom (range: 0.85–1.15) to each image. Workflow Description The 3D view integration step was intended to regularize the voxel prediction by considering the spatial information 1 3 Journal of Imaging Informatics in Medicine (2024) 37:884–891 886 Fig. 1   Schematic of the developed workflow. Three 2D U-Nets were implemented, corresponding to the axial, sagittal, and coronal planes. The networks’ outputs were integrated into a single 3D label map some anomalous cases, both coronaries share the same ostium, resulting in a single connected component on the segmenta- tion. Furthermore, in another type of anomaly, the left anterior descending and the left circumflex arteries do not originate from the left main coronary, but instead both originate directly from the aortic root. In this case, the segmentation results in three connected components. Accordingly, the first step was to classify a CTA as anomalous if its segmentation possessed either one or three 3D connected components. In cases with a segmentation composed of exactly two 3D connected compo- nents, an origin angulation criterium was applied, as explained in the following paragraph. Fig. 1   Schematic of the developed workflow. Three 2D U-Nets were implemented, corresponding to the axial, sagittal, and coronal planes. The networks’ outputs were integrated into a single 3D label map The ostia of the anomalous coronary arteries are close to each other, whereas in the case of normal coronaries the ostia are far apart. Using this anatomical characteris- tic, to classify the coronaries as normal or anomalous, we first identified the coronary ostia as the points within the segmentation that were closer to the aortic wall. Then, the 3D coordinates of the origins were projected onto the axial plane that was halfway between the Z values of both origins; and in that plane the centroid of the aorta was automatically obtained. Finally, we calculated the directions between: (i) the aortic centroid and the first coronary ostium, and (ii) the aortic centroid and the second coronary ostium (Fig. 2). The angle between these directions (origin angle, α) was used to discriminate between normal and abnormal coronaries using a decision tree model. from the three orthogonal views. In other words, the pre- dictions made by the three 2D U-Nets were combined to provide a spatially coherent final segmentation, overcoming the limitations of single-plane CNNs, namely the lack of information regarding the association among different slices. from the three orthogonal views. Classification of Anomalous Coronaries The origin angle (α) was computed between the vectors joining the centroid (blue point) with the ostia (red points) onto this plane and the centroid of the aorta was automatically com- puted (right side of the figure). The origin angle (α) was computed between the vectors joining the centroid (blue point) with the ostia (red points) automatically classified as normal or anomalous using 3D connectivity features and a decision tree model. Table 1 shows the mean DSCs obtained for the aortic root and the coronary arteries in all sets of CTAs, namely the train- ing, validation, and test sets. It can be observed that, on the test set, the DSC for the aortic root was 0.95 ± 0.04, whereas the DSC of the coronary arteries was 0.80 ± 0.11. Possible reasons for this difference are addressed in the “Discussion” section. Segmentation of the aortic root showed high perfor- mance, with a mean DSC of 0.95 in the test set. The coro- nary tree segmentation showed a mean DSC of 0.80 on the test set. This lower performance can possibly be explained by a particular anomaly that was included in the dataset, i.e., the retroaortic origin [1], which is a rare type of AAOCA. In this case, the anatomy of the coronary arteries differs substantially from other types of AAOCA. Our dataset pos- sessed 2/99, 2/12, and 3/13 cases of retroaortic anomalies in the training, validation, and test sets, respectively. Given the low proportion of these cases in the training set, the CNN did not learn to generalize this type of abnormality. The DSCs of retroaortic cases were in the range of 0.5–0.7, significantly lowering the mean value of the entire sets (including the training and validation sets). Accordingly, the median DSCs of the training, validation and test sets were 0.87, 0.83, and 0.84, respectively, which is higher than the mean value in all cases. Moreover, the mean DSC on the training set, considering only the 10 non-retroaortic cases, was 0.83. Future works should include larger datasets with significant amounts of CTAs of all the types of AAOCA to be able to generalize this highly heterogeneous anatomy. Table 1 shows the accuracy, precision, and recall of the classification task. Normal and anomalous CTAs showed a median of the origin angle of 135° (quartiles: 121°–154°) and 30° (quartiles: 20°–46°), respectively, with a threshold of 73°. Classification of Anomalous Coronaries In almost all cases, the decision tree correctly clas- sified the coronary arteries as normal or anomalous. There was only one CTA incorrectly classified as abnormal. In no cases, there was an anomalous coronary tree wrongly identified as normal. Figure 4 shows two examples of input images from the test set (one normal and one AAOCA) with the respective output images (segmentation) and classification labels. Classification of Anomalous Coronaries Figure 3 shows two examples of the overlap between the ground truth and the automatically obtained segmentations of a normal and an AAOCA case. Both cases shown belong to the test set. It can be observed that there is a high super- position between both segmentations. The classification task was divided into two parts. First, a con- nectivity criterion of the 3D segmentation was applied. A cor- rect segmentation of normal coronaries should consist of two connected components, one for each trunk (left and right). In 1 3 3 Journal of Imaging Informatics in Medicine (2024) 37:884–891 887 Fig. 2   Example of the calculation of the origin angle. On the left is shown the segmentation of a normal case from the test set, in which the ostia of the coronaries were automatically retrieved. The green plane is the axial slice that is halfway between the Z coordinates of the origins. The points where the ostia were found were projected Fig. 2   Example of the calculation of the origin angle. On the left is shown the segmentation of a normal case from the test set, in which the ostia of the coronaries were automatically retrieved. The green plane is the axial slice that is halfway between the Z coordinates of the origins. The points where the ostia were found were projected onto this plane and the centroid of the aorta was automatically com- puted (right side of the figure). The origin angle (α) was computed between the vectors joining the centroid (blue point) with the ostia (red points) onto this plane and the centroid of the aorta was automatically com- puted (right side of the figure). The origin angle (α) was computed between the vectors joining the centroid (blue point) with the ostia (red points) Fig. 2   Example of the calculation of the origin angle. On the left is shown the segmentation of a normal case from the test set, in which the ostia of the coronaries were automatically retrieved. The green plane is the axial slice that is halfway between the Z coordinates of the origins. The points where the ostia were found were projected onto this plane and the centroid of the aorta was automatically com- puted (right side of the figure). Discussion We developed a fully automatic method for segmenting the aortic root and either normal or anomalous coronary arteries from CTA images based on 2D attention U-Nets with multi- view integration. Moreover, the segmented geometries were The classification task provided excellent results, show- ing perfect predictions in the validation and test sets. The 1 3 3 888 Journal of Imaging Informatics in Medicine (2024) 37:884–891 Fig. 3   Examples of segmented aortic root and coronary arteries from the test set. On red is shown the segmentation of the aortic root, and on green and purple, the ground truth and the segmented coro- nary arteries, respectively. It can be observed a good correspondence between the coronary arteries segmented with our proposed method and the ground truth (superposition of green and purple). On the left, a normal case is shown, where both coronaries originate from the corresponding physiological site; and on the right, an AAOCA case is shown, where it can be seen the proximity between the ostia of the coronaries and the ground truth (superposition of green and purple). On the left, a normal case is shown, where both coronaries originate from the corresponding physiological site; and on the right, an AAOCA case is shown, where it can be seen the proximity between the ostia of the coronaries and the ground truth (superposition of green and purple). On the left, a normal case is shown, where both coronaries originate from the corresponding physiological site; and on the right, an AAOCA case is shown, where it can be seen the proximity between the ostia of the coronaries Fig. 3   Examples of segmented aortic root and coronary arteries from the test set. On red is shown the segmentation of the aortic root, and on green and purple, the ground truth and the segmented coro- nary arteries, respectively. It can be observed a good correspondence between the coronary arteries segmented with our proposed method right coronary artery, the segmentation resulted in three con- nected components, which were thus automatically classified as anomalous (without considering the angle of origin). To avoid this issue, the classification method could be improved by adding a size criterion on the connected components; the volume of the region wrongly identified as artery was 15 ml, representing 0.68% of the total volume of the segmented coronary tree. Table 1   Results of segmentation (DSCs for the aortic root and for the coronary arteries) and classification (accuracy, precision, and recall) for training, validation, and test sets CTA images to allow better visualization of the area of interest; all unshown pixels were assigned to the background. The examples cor- respond to a normal (top row) and an AAOCA (bottom row) patient from the test set. In both cases, the assigned label matched the true class of the patient Fig. 4   Examples of axial input images (left) with the corresponding segmentation outputs (center) and classification labels (right). Colors gray, red, and green on the segmentation images correspond, respec- tively, to background, aorta, and coronary arteries. It is noteworthy that the segmentation images are not to scale with respect to the of 3D segmentation using U-Nets in patients with AAOCA. Furthermore, compared to the available literature, we obtained high DSC values for the coronary arteries alone, as well as for the aorta (above 0.80 and 0.95, respectively). have focused on the extraction of the centerline [24, 25] or of the centerline and the radius [26]. Although in many cases the geometry of the vessel may be assumed cylindrical, rending sufficient the information of centerline and radius, patients with AAOCA often present an intramural tract, which has a highly elliptic cross section [9], thus needing a volumetric segmenta- tion. Other authors have used CNNs to achieve an end-to-end 3D segmentation of the coronary arteries [27–29], obtaining DSC that ranged between 0.6 and 0.8. Some authors have included anatomical restrictions to regularize during training [30, 31]. However, in the context of pathological anatomies like the ones considered in our work, these types of constraints are not suitable to be applied [13] (particularly in a rare disease like AAOCA, in which there exists a large variety of possible anatomical configurations). Recent works have implemented different variations of U-Nets to segment the coronary arteries, being one of the most utilized architectures for this purpose. Using a modified 2D U-Net architecture, Cheung et al. obtained a DSC of 0.888 in the segmentation of the coronaries of inter- mediate risk patients with anatomically normal arteries [18]. To our knowledge, ours is the first work to assess the feasibility have focused on the extraction of the centerline [24, 25] or of the centerline and the radius [26]. Discussion The examples cor- respond to a normal (top row) and an AAOCA (bottom row) patient from the test set. In both cases, the assigned label matched the true class of the patient Discussion A threshold could be applied to eliminate small regions like these from the automatic segmentation before performing the classification task. single case that was misclassified corresponded to a nor- mal coronary tree that was considered as anomalous. We highlight that in none of the analyzed CTAs an anomalous case was missed and classified as normal. From the clinical point of view, this a major finding, since missing patho- logical cases would imply an under-diagnosis, leading to potentially severe complications. Instead, the wrongly clas- sified as anomalous case would be immediately identified as normal by physicians, given the geometry of the segmen- tation. The misclassification was caused by a small group of voxels near the aortic root that was considered as part of the right coronary artery in the automatic segmentation. Since these voxels were not 3D connected to the rest of the Deep learning is now the most used tool to segment cardiac images, although a small number of works investigated its use for the segmentation of coronary arteries [13]. Some authors Results of tion (DSCs for the t and for the coronary and classification , precision, and recall) ng, validation, and test Training set (n = 99) Validation set (n = 12) Test set (n = 13) Segmentation DSC aortic root 0.98 ± 0.03 0.97 ± 0.02 0.95 ± 0.04 DSC coronary arteries 0.84 ± 0.06 0.81 ± 0.09 0.80 ± 0.11 Classification Accuracy 0.99 1 1 Precision 0.98 1 1 Recall 1 1 1 Table 1   Results of segmentation (DSCs for the aortic root and for the coronary arteries) and classification (accuracy, precision, and recall) for training, validation, and test sets Training set (n = 99) Validation set (n = 12) Test set (n = 13) Training set (n = 99) Validation set (n = 12) Test set (n = 13) 1 3 889 Journal of Imaging Informatics in Medicine (2024) 37:884–891 Fig. 4   Examples of axial input images (left) with the corresponding segmentation outputs (center) and classification labels (right). Colors gray, red, and green on the segmentation images correspond, respec- tively, to background, aorta, and coronary arteries. It is noteworthy that the segmentation images are not to scale with respect to the CTA images to allow better visualization of the area of interest; all unshown pixels were assigned to the background. Conclusion 5. Amado J, Carvalho M, Ferreira W, Gago P, Gama V, Bettencourt N: Coronary arteries anomalous aortic origin on a computed tomography angiography population: prevalence, characteristics and clinical impact. The International Journal of Cardiovascular Imaging 32:983-990, 2016 We developed a deep learning-based workflow to automati- cally segment the aortic root and both normal and AOOCA coronary arteries using single 2D U-Nets with multi-view inte- gration. Furthermore, the segmented geometries were automat- ically classified as normal or anomalous using 3D connectivity and a decision tree model. We obtained high correspondence of our segmentation with respect to the ground truth and excel- lent results in the classification task. Further work is needed to develop tools that could be used in clinical routine. 6. Disabato G, Camporeale A, Lo Rito M, Tondi L, Zuniga Olaya KG, Frigiola A, Agnifili ML, Bedogni F, Lombardi M, Pica S: Myocardial infarction with non‐obstructive disease and anoma- lous coronary origin: look for the common in the uncommon. ESC Heart Failure 9(5):3614-3618, 2022 ( ) 7. Members WC, Gulati M, Levy PD, Mukherjee D, Amsterdam E, Bhatt DL, Birtcher KK, Blankstein R, Boyd J, Bullock-Palmer RP, Conejo T, Diercks DB, Gentile F, Greenwood JP, Hess EP, Hollenberg SM, Jaber WA, Jneid H, Joglar JA, Morrow DA, O’Connor RE, Ross MA, Shaw LJ: 2021 AHA/ACC/ASE/CHEST/SAEM/SCCT/SCMR guideline for the evaluation and diagnosis of chest pain: executive summary: a report of the American college of cardiology/Ameri- can heart association joint committee on clinical practice guidelines. JACC 78(22):2218-2261, 2021 Acknowledgements  Authors would like to express their gratitude to Giovanni Maria Formato and Lucia Trabucchi for their valuable con- tributions in the preliminary data collection and management. Funding  Open access funding provided by Università degli Studi di Pavia within the CRUI-CARE Agreement. This work was supported by IRCCS Policlinico San Donato, a Clinical Research Hospital partially funded by the Italian Ministry of Health. Authors are grateful for the support provided by the Necessary project (GR-2019–12369116, Ital- ian Ministry of Health) and the University of Pavia, Italy. 8. Bigler MR, Ashraf A, Seiler C, Praz F, Ueki Y, Windecker S, Kadner A, Räber L, Gräni C: Hemodynamic relevance of anomalous coronary arteries originating from the opposite sinus of valsalva-in search of the evidence. Frontiers in cardiovascular medicine 7:1-15, 2021 9. References 1. Jacobs ML, Mavroudis C: Anomalies of the coronary arteries: nomencla- ture and classification. Cardiology in the Young 20(S3):15-19, 2010 2. Cheitlin MD, De Castro CM, McAllister HA: Sudden death as a complication of anomalous left coronary origin from the anterior sinus of Valsalva: a not-so-minor congenital anomaly. Circulation 50(4):780-787, 1974 3. Taylor AJ, Byers JP, Cheitlin MD, Virmani R: Anomalous right or left coronary artery from the contralateral coronary sinus:“high- risk” abnormalities in the initial coronary artery course and het- erogeneous clinical outcomes. Am Heart J 133(4):428-435, 1997 4. Bedi P, Peck O, Adams J: 168 Prevalence and adverse cardiac events in anomalous aortic origin of coronary artery (AAOCA) in ct coronary angiography in west of Scotland. Heart 107(S1), 2021 Competing Interests  The authors declare no competing interests. A limitation of our work was the inclusion of several different types of AAOCA anatomies into the dataset. Bet- ter results might be obtained if a single type of anomaly was considered or if a separate deep learning system was developed for each sub-classification of AAOCA disease. However, any of these options would require a larger data- set, containing a wide range of AAOCA variants. Given the rareness of AAOCA disease and the substantial number of undiagnosed cases, data collection is a slow process. Future works should include larger datasets. Open Access  This article is licensed under a Creative Commons Attri- bution 4.0 International License, which permits use, sharing, adapta- tion, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. In this work, we trained a deep learning model with a single configuration of training, validation, and test sets. It could be helpful to perform cross validation (e.g., five-fold cross-validation) to have an average performance evalua- tion on training, validation, and test set. The reported results might then be more stable, also reducing the impact of out- liers in performance evaluation. By training and testing on different subsets of data, a more complete understanding of the performance of the model on different CTAs will be obtained, both for the segmentation and the classification tasks. This can be very important when working with lim- ited datasets, as choosing a single configuration for training, validation and testing sets can lead to bias. Conclusion Formato GM, Lo Rito M, Auricchio F, Frigiola A, Conti M: Aortic expansion induces lumen narrowing in anomalous coronary arter- ies: a parametric structural finite element analysis. J Biomech Eng 140(11):1-9, 2018 Data Availability  The data that support the findings of this study are available from the corresponding author upon reasonable request. 10. Rito ML, Romarowski RM, Rosato A, Pica S, Secchi F, Giamberti A, Auricchio F, Frigiola A, Conti M: Anomalous aortic origin of coronary artery biomechanical modeling: toward clinical applica- tion. J Thorac Cardiovasc Surg 161(1):191-201, 2021 Although in many cases the geometry of the vessel may be assumed cylindrical, rending sufficient the information of centerline and radius, patients with AAOCA often present an intramural tract, which has a highly elliptic cross section [9], thus needing a volumetric segmenta- tion. Other authors have used CNNs to achieve an end-to-end 3D segmentation of the coronary arteries [27–29], obtaining DSC that ranged between 0.6 and 0.8. Some authors have included anatomical restrictions to regularize during training [30, 31]. However, in the context of pathological anatomies like the ones considered in our work, these types of constraints are not suitable to be applied [13] (particularly in a rare disease like AAOCA, in which there exists a large variety of possible anatomical configurations). Recent works have implemented different variations of U-Nets to segment the coronary arteries, being one of the most utilized architectures for this purpose. Using a modified 2D U-Net architecture, Cheung et al. obtained a DSC of 0.888 in the segmentation of the coronaries of inter- mediate risk patients with anatomically normal arteries [18]. To our knowledge, ours is the first work to assess the feasibility The performance of 2D compared to 3D CNNs has been dis- cussed [18]. 2D approaches are easier to implement and usually converge faster than 3D CNNs, which, in turn, allow a volumet- ric interpretation of the input data instead of analyzing single planes. Nevertheless, the combination of both features (easy and fast implementation from 2D and volumetric information from 3D) is possible thanks to the so-called 2D + approaches. One example of a 2D + workflow is the one adopted in this work; namely, the multi-view integration, which uses a single 2D CNN for each orthogonal plane, thus enabling a 3D coherent end- result since information among slices is taken into consideration. Although the current dataset has some limitations in terms of available CTAs, the segmentation model showed promis- ing results. In future developments, having more CTA scans, it will be possible to perform a more accurate and comprehensive comparison between our pipeline and state of the art methods for segmenting coronary arteries in AAOCA. 1 3 890 Journal of Imaging Informatics in Medicine (2024) 37:884–891 Declarations Ethics Approval  The study was approved by the institutional review board (protocol number: 54/INT/2023), and the consent was waived due to the retrospective nature of the study. 11. Razavi A, Sachdeva S, Frommelt PC, LaDisa Jr JF: Patient-specific numerical analysis of coronary flow in children with intramural 1 3 Journal of Imaging Informatics in Medicine (2024) 37:884–891 891 anomalous aortic origin of coronary arteries. Semin Thorac Cardio- vasc Surg 33(1):155-167, 2021 22. Pal KK, Sudeep KS: Preprocessing for image classification by convolutional neural networks. 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Cardiovascular Engineering and Technology 11:576-586, 2020 31. Lee MCH, Petersen K, Pawlowski N, Glocker B, Schaap M: TETRIS: Template transformer networks for image segmentation with shape priors. IEEE Trans Med Imaging 38(11):2596-2606, 2019 21. Declarations Yushkevich PA, Gao Y, Gerig G: ITK-SNAP: An interactive tool for semi-automatic segmentation of multi-modality biomedical images. In 2016 38th annual international conference of the IEEE engineer- ing in medicine and biology society (EMBC) 3342–3345, 2016 Publisher's Note  Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Publisher's Note  Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. 1 3 1 3 1 3 3
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Modelling the water balance of Lake Victoria (East Africa) – Part 2: Future projections
Hydrology and earth system sciences
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cc-by
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ETH Library Correspondence: Inne Vanderkelen (inne.vanderkelen@vub.be) Correspondence: Inne Vanderkelen (inne.vanderkelen@vub.be) Correspondence: Inne Vanderkelen (inne.vanderkelen@vub.be) Received: 28 March 2018 – Discussion started: 4 April 2018 Accepted: 4 October 2018 – Published: 25 October 2018 Received: 28 March 2018 – Discussion started: 4 April 2018 Accepted: 4 October 2018 – Published: 25 October 2018 Abstract. Lake Victoria, the second largest freshwater lake in the world, is one of the major sources of the Nile river. The outlet to the Nile is controlled by two hydropower dams of which the allowed discharge is dictated by the Agreed Curve, an equation relating outflow to lake level. Some regional cli- mate models project a decrease in precipitation and an in- crease in evaporation over Lake Victoria, with potential im- portant implications for its water balance and resulting level. Yet, little is known about the potential consequences of cli- mate change for the water balance of Lake Victoria. In this second part of a two-paper series, we feed a new water bal- ance model for Lake Victoria presented in the first part with climate simulations available through the COordinated Re- gional Climate Downscaling Experiment (CORDEX) Africa framework. Our results reveal that most regional climate models are not capable of giving a realistic representation of the water balance of Lake Victoria and therefore require bias correction. For two emission scenarios (RCPs 4.5 and 8.5), the decrease in precipitation over the lake and an increase in evaporation are compensated by an increase in basin precip- itation leading to more inflow. The future lake level projec- tions show that the dam management scenario and not the emission scenario is the main controlling factor of the future water level evolution. Moreover, inter-model uncertainties are larger than emission scenario uncertainties. The compar- ison of four idealized future management scenarios pursuing certain policy objectives (electricity generation, navigation reliability and environmental conservation) uncovers that the only sustainable management scenario is mimicking natu- ral lake level fluctuations by regulating outflow according to the Agreed Curve. The associated outflow encompasses, however, ranges from 14 m3 day−1 (−85 %) to 200 m3 day−1 (+100 %) within this ensemble, highlighting that future hy- dropower generation and downstream water availability may strongly change in the next decades even if dam management adheres to he Agreed Curve. Correspondence: Inne Vanderkelen (inne.vanderkelen@vub.be) Our results overall underline that managing the dam according to the Agreed Curve is a key prerequisite for sustainable future lake levels, but that under this management scenario, climate change might po- tentially induce profound changes in lake level and outflow volume. 1 Introduction Lake Victoria is directly sustaining 30 million people liv- ing in its basin and 200 000 fishermen operating from its shores. Therefore, the water level fluctuations of the lake are of major importance. Declining water levels may affect the local communities by their ability to access water, to fish and to transport goods (Semazzi, 2011). Further down- stream, the livelihood of about 300 million people in the Nile Basin is supported by the natural resources of Lake Victoria, as it is one of the two major sources of the Nile (Semazzi, 2011). Originating from Lake Victoria, the White Nile pro- vides a more constant flow during the year, providing 70 % to 90 % of the total Nile discharge during the dry season in the Ethiopian highlands, where the second major source is lo- cated (Di Baldassarre et al., 2011). A drop in the water level could imply a decreasing outflow, which may have major im- plications downstream in the Nile Basin. The countries of the Nile Basin require sufficient water resources for their fu- Modelling the water balance of Lake Victoria (East Africa) – Part 2: Future projections Inne Vanderkelen1, Nicole P. M. van Lipzig2, and Wim Thiery1,3 1Department of Hydrology and Hydraulic Engineering, Vrije Universiteit Brussel, Brussels, Belgium 2Department of Earth and Environmental Sciences, KU Leuven, Leuven, Belgium 3Institute for Atmospheric and Climate Science, ETH Zurich, Zurich, Switzerland Inne Vanderkelen1, Nicole P. M. van Lipzig2, and Wim Thiery1,3 1Department of Hydrology and Hydraulic Engineering, Vrije Universiteit Brussel, Brussels, Belgium 2Department of Earth and Environmental Sciences, KU Leuven, Leuven, Belgium 3Institute for Atmospheric and Climate Science, ETH Zurich, Zurich, Switzerland Author(s): This page was generated automatically upon download from the ETH Zurich Research Collection. For more information, please consult the Terms of use. Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 https://doi.org/10.5194/hess-22-5527-2018 © Author(s) 2018. This work is distributed under the Creative Commons Attribution 4.0 License. Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5528 ture development and wellbeing, considering the population growth and economic development (Deconinck, 2009; Taye et al., 2011). Consequently, there are a lot of tensions be- tween countries in the Nile Basin. The outflow of the lake is controlled by the Nalubaale and Kiira dams for hydropower generation, located in Jinja (Fig. 1). Human strategies to- wards regulating the outflow might therefore play a crucial role in the downstream Nile Basin water resources and asso- ciated political tensions. This will be even more relevant in the light of climate change, where water will become an even more important resource, both around the lake and down- stream in the Nile Basin (Taye et al., 2011). While the re- leased outflow affects the lake level, climate-driven lake level fluctuations also influence the outflow volume released by the dam. The hydropower potential, and thus energy avail- ability in the region, strongly depends on the interplay be- tween outflow and lake levels. Information on the future evo- lution of the levels and outflow volumes of Lake Victoria is thus vital for future generations living along its shores. remain unclear (Rowell et al., 2015). To find explanations, (Rowell et al., 2015) stated that more research is needed on the reliability of climate projections over East Africa, for the attribution of changing anthropogenic aerosol emissions and for the role of natural variability in recent droughts. How- ever, (Philip et al., 2017) found that the severe drought in northern and central Ethiopia in 2015 is attributable to natu- ral variability and therefore conclude that there is no paradox for this type of event. Future climate simulations with regional climate models (RCMs) project a decreasing mean precipitation and an in- creasing evaporation over Lake Victoria (Thiery et al., 2016; Souverijns et al., 2016). Compared to global climate models (GCMs), RCMs have a high spatial resolution and are there- fore able to represent regional- and local-scale forcings (Kim et al., 2014; Giorgi et al., 2009). Published by Copernicus Publications on behalf of the European Geosciences Union. In East Africa, accounting for local variations in topography, vegetation, lakes, soils and coastlines is of major importance, as these variations have a significant effect on the regional climate. Over the LVB, models with sufficiently high resolution are needed to repro- duce key circulation features such as the lake–land breeze system (Williams et al., 2015). High-resolution (∼7 km grid spacing) coupled lake–land–atmosphere climate simulations for the African Great Lakes region with the Consortium for Small-Scale Modelling in climate mode (COSMO-CLM2) RCM were therefore performed by (Thiery et al., 2015). These simulations outperform state-of-the-art regional cli- mate simulations for Africa conducted at ∼50 km grid spac- ing, because of the coupling to land surface and lake mod- els and enhanced model resolution, which allows for a better representation of the fine-scale circulation and precipitation patterns (Thiery et al., 2015, 2016). The water levels of Lake Victoria are determined by the water balance (WB) of the lake, consisting of precipitation on the lake, lake evaporation, inflow by tributary rivers and dam outflow. Since the construction of the dam complex in 1954, a rating curve called the “Agreed Curve” was established re- lating the lake level and outflow in natural conditions (Sene, 2000): Qout = 66.3(L −7.96)2.01. (1) (1) In this equation, the dam outflow Qout (m3 day−1) is cal- culated based on the lake level, L (m), as directly measured at the dam. The Agreed Curve can be used to calculate outflow volumes based on lake levels which lie in the historically ob- served range going from 10 to 13.5 m measured at the dam (Sutcliffe and Parks, 1999). p ( y ) At the moment, almost no research is dedicated to the po- tential consequences of climate change for the WB of Lake Victoria. This is remarkable, since the evolution of the fu- ture levels of Lake Victoria is vital information for the fu- ture generations living on its coasts. Tate et al. (2004) used simulations with one fully coupled GCM to model future fluctuations of the lake level. Model disparities were, how- ever, very high over East Africa and the GCM was not ca- pable to sufficiently model precipitation over the African Great Lakes (Tate et al., 2004). Therefore, the results from Tate et al. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5529 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure 1. Map of Lake Victoria and its basin with surface heights from the Shuttle Radar Topography Mission (SRTM). Taken from Van- derkelen et al. (2018). Figure 1. Map of Lake Victoria and its basin with surface heights from the Shuttle Radar Topography Mission (SRTM). Taken from Van- derkelen et al. (2018). toria and its basin with surface heights from the Shuttle Radar Topography Mission (SRTM). Taken from Va rently simulations with six RCMs available (CCLM4-8-17, CRCM5, HIRHAM5, RACMO22T, RCA4 and REMO2009) for the historical (1950–2005) and future period (2006–2100) under representative concentration pathways (RCPs) 2.6, 4.5 and 8.5. In the CRCM5 and RCA4 models, lakes are repre- sented by a one-dimensional lake model FLake (Samuelsson et al., 2013; Hernández-Díaz et al., 2012; Martynov et al., 2012), while the other RCMs have no lake model embedded. By using different GCMs as initial and lateral boundary con- ditions, there are in total 25 historical model simulations, 11 simulations for RCP 2.6, 21 simulations for RCP 4.5 and 20 simulations for RCP 8.5 (see Table A1 in the Appendix). The use of model ensembles is essential, because separate simu- lations show larger biases than ensemble means when they are compared to the observed climate (Nikulin et al., 2012; Endris et al., 2013; Kim et al., 2014; Davin et al., 2016). Next to the historical and RCP simulations, the CORDEX frame- work also provides an evaluation simulation for each RCM, driven by the European Centre for Medium-Range Weather Forecasts (ECMWF) ERA-Interim reanalysis as initial and lateral boundary conditions for the period 1990–2008. Here we use these reanalysis downscaling simulations to evaluate the skill of the RCMs by comparing them with observations. with individual model deficiencies, concentration pathways and natural variability. Here, we use the WBM constructed in the first part of this two-paper series (Vanderkelen et al., 2018) and drive it with climate simulations from the CORDEX over the African do- main from 1950 to 2100. First, we assess the ability of RCMs from the CORDEX ensemble to reproduce the historical lake level of Lake Victoria. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Based on this analysis it appears that it is not possible to use a subset of models for which the WB closes. Therefore, a bias correction based on observations is applied on these simulations. Last, the future evolution of the water level of Lake Victoria under various climate change scenarios is investigated, together with the role of different human management strategies at the outflow dams based on three policy objectives (electricity generation, navigation re- liability and environmental conservation). 2.1 CORDEX ensemble In recent years, RCM downscaling of the Coupled Model In- tercomparison Project Phase 5 (CMIP5) GCMs have become available through the CORDEX framework. The CORDEX- Africa project provides simulations over the African domain, which includes the whole African continent with a spatial resolution of 0.44◦by 0.44◦and a daily output frequency (Nikulin et al., 2012). In CORDEX-Africa, there are cur- Published by Copernicus Publications on behalf of the European Geosciences Union. (2004) serve as an illustration of the sensitiv- ity of lake levels and outflows to climate change scenarios, rather than as an actual lake level projection. Recently, high- resolution ensemble climate projections became available for Africa through the COordinated Regional Climate Down- scaling Experiment (CORDEX; Nikulin et al., 2012). Oper- ating at 0.44◦(∼50 km) horizontal resolution, these mod- els attempt to resolve the lake and its mesoscale circulation. When these simulations are used as input for a water bal- ance model (WBM) for Lake Victoria, future lake level pro- jections can be generated. The ensemble approach ensures that the model spread incorporates uncertainties associated The climate in East Africa experiences large interannual variability in precipitation (Nicholson, 2017). The region is a hotspot for climate change, as it is very likely that cli- mate change will have a major influence on precipitation (Nicholson, 2017; Kent et al., 2015; Otieno and Anyah, 2013; Souverijns et al., 2016). Precipitation over the Lake Victo- ria Basin (LVB) experiences a seasonal cycle with two main rainfall seasons: the long rains in March, April and May and the short rains in September, October and November (Williams et al., 2015). In the last decades, the long rain sea- sons in East Africa have experienced a series of dry anoma- lies (Lyon and Dewitt, 2012; Rowell et al., 2015; Souveri- jns et al., 2016; Nicholson, 2016, 2017; Thiery et al., 2016), while there was no trend observed for the short rains due to a large year-to-year variability (Rowell et al., 2015). This drying trend of the long rains is in contrast with climate model projections for the upcoming decades, projecting an increase in precipitation over East Africa (Otieno and Anyah, 2013; Kent et al., 2015). This apparent contradiction has been called the East African climate paradox of which the causes www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 2.3 Dam management scenarios The evaluation of WBM simulations use recorded outflow values. In the historical WBM simulations, the outflow is cal- culated based on the Agreed Curve. While observed outflow volumes are available for the historical period, these cannot be used in the WBM as RCMs driven by GCMs represent the general climatology and do not account for the actual ob- served weather, reflected in the recorded outflow volumes. Considering the known deviations of water release from the Agreed Curve during the period 2000–2006 (Kull, 2006; Vanderkelen et al., 2018), future outflow is subject to uncer- tainty. Therefore, we start from three main policy objectives concerning the environmental conservation, navigation relia- bility and constant electricity generation to determine future dam management scenarios. These policy objectives lead to four idealized dam management scenarios: (i) managing out- flow following the Agreed Curve, reflecting natural condi- tions by mimicking natural outflow, (ii) managing outflow so that the lake level remains constant, to keep the lake ac- cessible for fishing boats from the harbours in shallow bays, and (iii) managing outflow to provide a constant supply of hydropower from the dams: one scenario prescribing the his- torical mean production of hydropower and the other an el- evated hydropower production, reflecting the supply needed to meet the rising power demand in Uganda (Adeyemi and Asere, 2014). These scenarios are highly simplified and re- flect very different management; they were chosen to investi- gate the effect of extreme dam management scenarios on the lake level fluctuations of Lake Victoria. Each scenario will thereby be applied with lake levels constrained to their phys- ical boundaries. dL dt = P −E + Qin −Qout A (2) (2) First, relevant spatial variables provided by the CORDEX simulations are regridded using a nearest neighbour remap- ping to the WBM grid with a resolution of 0.065◦by 0.065◦ (about 7 by 7 km) containing Lake Victoria and its basin. P is computed by taking the daily mean over the lake cells of the regridded CORDEX precipitation. Basin and lake cells are defined by using masks based on lake and basin shape files. E is calculated from the latent heat flux (W m−2) simu- lated by the CORDEX models, using the latent heat of vapor- ization, which is assumed to be constant at 2.5 × 106 J kg−1. This term is aggregated in the same way as the precipitation term. 2.3 Dam management scenarios The inflow term is calculated from the daily gridded basin precipitation with the “curve number” method as de- scribed in Vanderkelen et al. (2018) using daily basin pre- cipitation retrieved from the CORDEX precipitation simula- tions. The same land cover classes based on the Global Land Cover 2000 dataset (GLC 2000; Mayaux et al., 2003) and the hydrological soil groups are applied to all CORDEX simula- tions. Note that this approach does not account for potential influences of future land use changes on runoff. However, the curve number does change based on the antecedent moisture condition for a particular day, derived from the preceding 5- day precipitation. y p p First, a set of WBM integrations is conducted by driving the WBM with the six CORDEX evaluation simulations. As these simulations (hereafter referred to as evaluation simula- tions) are driven by “ideal” boundary conditions, this WBM simulation allows us to examine the ability of the RCMs to represent precipitation, lake evaporation, inflow and the re- sulting lake levels during the period when observations for these terms are available (1990–2008). Therefore, the out- flow is given by observations too. Second, the WBM is driven by the 25 historical CORDEX simulations for the period 1951–2005. Finally, future WBM runs are conducted follow- ing the RCP 2.6, 4.5 and 8.5 scenarios. One GCM-RCM combination is excluded from the analysis because of in- consistencies between the historical and future simulations (see Appendix A). To be comparable, the input terms to the transient WBM need to adhere to the same calendar. There- fore, the number of days are adjusted in a number of histor- ical and future CORDEX simulations, as described in Ap- pendix B. Finally, the WBM requires an initial lake level. The evaluation simulations start with the observed lake level in 1990 (1135 m a.s.l.) and the historical simulations with the observed lake level in 1950 (1133.7 m a.s.l.). For the future A first assumption is that future outflow starts follow- ing the Agreed Curve again. In this Agreed Curve scenario, daily outflow is calculated following Eq. (1) based on the lake level of the previous day. Lake level fluctuations are restricted to fluctuate within the historically observed range (10 to 13.5 m measured at the dam, corresponding to 1130 to 1136.5 m a.s.l.), as this is the range for which the Agreed Curve is known. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projectio per day dL/dt (m day−1) is calculated based on the precipi- tation on the lake P (m day−1), the evaporation from the lake E (m day−1), the inflow from tributary rivers Qin (m3 day−1) and the dam outflow Qout (m3 day−1) divided by the lake sur- face area A (6.83 × 1010 m2). simulations, the last lake level calculated by the correspond- ing historical simulation is used. 2.2 Water balance model For a detailed description of the WBM used in this paper, we refer to Vanderkelen et al. (2018). In summary, the WB is modelled following Eq. (2) in which the change in lake level www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 5530 2.4 Bias-correction method For the efficiency factor k a value of 13.77 kN m−3 is used, calcu- lated from Eq. (2) using the values for maximum turbine flow Caphpp, maximum water head (hmax = 24 m) and the sum of maximum electricity production, 380 MW (180 MW for Nalubaale and 200 MW for the Kiira dam; Kull, 2006). Based on this, two management scenarios providing a con- stant hydropower production (HPP) are defined. The histori- cal HPP management scenario prescribes a daily HPP equal to the mean historical HPP (Pel = 168 MW), which is calcu- lated using Eq. (3) with the historically observed mean out- flow (88 × 106 m3 day−1) and the mean relative lake level (11.9 m). Second, in the high HPP management scenario, HPP is set equal to the electricity produced in the year in which the outflow was maximum (Pel = 247 MW, in 1964 with an outflow of 138 × 106 m3 day−1). ˆPo = a + bPm (5) (5) ˆPo = a + bPm with ˆPo the best estimate of Po, the distribution of the ob- served values, Pm the modelled values, and a and b cali- bration parameters. An overview of the a and b parameters generated per WB term for the different simulations can be found in Table D1 in the Appendix. The second method is the non-parametric quantile mapping method and is described in Sect. E in the Appendix. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections levels could drop under the lower limit if there is more water evaporating than precipitating and flowing in the lake. remainder from the positive WB results then in outflow for that day. By consequence, the lake level in this scenario is constant apart from short negative excursions. 2.4 Bias-correction method In the last defined scenarios, future outflow is regulated in order to provide a constant hydropower production with- out interruptions while lake levels fluctuate in their physical range. In the study of Koch et al. (2013), hydropower pro- duction of a reservoir is quantified as In this study, we applied a bias correction on the three WB terms derived from the CORDEX simulations (daily mean lake precipitation, lake evaporation and inflow). For every historical simulation from the CORDEX ensemble, a trans- formation function is calculated based on the WB terms from the observational WBM presented in Vanderkelen et al. (2018). This is done for the overlapping period of 22 years ranging from 1983 until 2005. Next, the transformation func- tions specific to each simulation are applied on the full his- torical simulation and on the available corresponding future simulations for all three RCPs. Finally, the resulting lake levels are calculated by forcing the WBM with the bias- corrected WB terms. The main assumption of bias correction is that the bias in the RCM simulations is stationary for all scenarios (historical, RCP 2.6, 4.5 and 8.5). (3) Pel = Qout × h × k (3) with Qout the outflow of the reservoir in m3 day−1, Pel the electricity produced (kW), h the water head (m) and k the ef- ficiency factor (kN m−3). After rearranging this equation and adding a constraint to maximum outflow, the outflow needed to produce a firm amount of electricity is given by Qout = MIN( Pel h × k ,Caphpp) (4) (4) WB closure is adhered with two of the seven tested bias-correction methods of the qmap package, provided in the R language by Gudmundsson et al. (2012). The first method uses a linear parametric transformation to model the quantile–quantile relation between the observed and mod- elled data according to with Caphpp the maximum turbine flow capacity (m3 s−1). Lake Victoria is controlled by both the Nalubaale and Ki- ira dams. As these dams operate parallel to each other, we simplified the analysis by assuming only one dam regulat- ing the outflow, with the combined hydropower capacity of both real dams. This results in a Caphpp of 1150 m3 s−1 (the average of 1200 m3 s−1 for Nalubaale and 1100 m3 s−1 for Kiira; Kizza and Mugume, 2006). h is assumed to be equal to the relative lake level, as measured at the dam. 2.3 Dam management scenarios If the lake level of the previous day drops below the lower limit, the outflow is set to 0 m3 day−1 and if the lake level rises above the upper limit, all additional water is discharged. Another possibility is to manage future outflow in such a way that the lake level remains constant and the WB is closed. In this constant lake level scenario, daily outflow is calculated as residual of the WB, with the lake level kept constant at the last known lake level, ranging between 1134.5 and 1135.2 m for the different simulations. If the WB is neg- ative, there is no outflow, but the lake level is allowed to decrease. When the WB is positive again, the lake level is first restored to its predefined constant height. The possible www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 5531 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 3.1 Evaluation water balance simulations Results of the evaluation WBM runs are compared directly to the terms used in the observational WBM (Vanderkelen et al., 2018). Precipitation observations are retrieved from the Precipitation Estimation Remotely Sensed Information using Artificial Neural Networks – Climate Data Record (PERSIANN-CDR; Ashouri et al., 2015). Evaporation is es- timated from the latent heat flux output of the high-resolution reanalysis downscaling of the COSMO-CLM2 RCM (Thiery et al., 2015). In both the constant lake level scenario and the HPP man- agement scenarios, we impose physical constraints to the lake level fluctuations: the lake level should fluctuate be- tween 0 and 26 m as measured at the dam, 1122.9 and 1146.9 m a.s.l. (the height of the dam is 31 m with a safety level of 7 m). Similar to the limits of the Agreed Curve, the outflow is set to 0 m3 day−1 whenever the lake level drops below 1122.9 m a.s.l. and all additional water is discharged by the sluice gates if the lake level rises above 1146.9 m a.s.l. These are merely theoretical limits. In extreme cases, lake The modelled annual precipitation over the study area during the evaluation period (1990–2008) shows different spatial distributions (Fig. 2). Compared to the observed precipitation, the majority of the models (CCLM4-8-17, www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 5532 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure 2. Annual accumulated precipitation during the period 1993–2008 as derived from PERSIANN-CDR (a) the CORDEX evaluation simulations (b–g). Figure 2. Annual accumulated precipitation during the period 1993–2008 as derived from PERSIANN-CDR (a) the CORDEX evaluation simulations (b–g). RACMO22T, RCA4 and REMO2009) underestimates the amount of lake precipitation up to −79 % compared to the reference. Only HIRHAM5 gives a large overestimation of precipitation over the lake of +78 % compared to the refer- ence. The mean annual lake evaporation varies a lot among the models as well (Fig. 3). The evaporation amount is under- estimated by CCLM4-8-17, RACMO22T and REMO2009 up to −71 % compared to the reference and overestimated by HIRHAM5 and RCA4 up to +39 %. Similar conclusions can be drawn from the comparison of the histograms of ob- served and simulated lake precipitation (Fig. 4). The differ- ence between the distributions is also found for inflow and the resulting lake levels. 3.1 Evaluation water balance simulations The seasonal cycles of the WB terms – lake precipitation, evaporation and inflow (Fig. 5b, c and d) – show the same over- and underestimations compared to the observed values. This indicates that even RCM down- scaling reanalysis data still entail important precipitation and evaporation biases. In most cases, the biases in precipita- tion and evaporation result in drifting lake levels (Fig. 5a). The overestimation of HIRHAM5 in the precipitation term is too large to be compensated by its overestimated evapo- ration term. Therefore, the modelled HIRHAM5 lake levels shows an unrealistic increase. The lake levels modelled with CCLM4-8-17, RACMO22T, RCA4 and REMO2009 show a large, unrealistic drop up to 13.3 m, which is mainly due to the underestimation of lake precipitation and inflow. Over- all, only CRCM5 is able to represent the lake level within an acceptable range. 3.2 Simulations with bias-corrected water balance terms As only CRCM5 is able to close the WB and there are only two simulations following RCP 4.5 with this RCM avail- able, it is not possible to base the analysis of lake level pro- jections on an observationally constrained RCM ensemble. Therefore, we applied two bias-correction methods to be able to use all CORDEX simulations. After applying the linear parametric transformation on the CORDEX evaluation sim- ulations, the seasonal cycle of the lake precipitation, lake Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ 5533 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure 3. Annual accumulated evaporation during the period 1993–2008 as derived from COSMO-CLM2 (a) the CORDEX evaluation simulations (b–g). Figure 3. Annual accumulated evaporation during the period 1993–2008 as derived from COSMO-CLM simulations (b–g). Figure 3. Annual accumulated evaporation during the period 1993–2008 as derived from COSMO-CLM2 (a) the CORDEX evaluation simulations (b–g). ulations in every RCP scenario (Fig. 7a, b, c). For some sim- ulations, lake precipitation demonstrates a strong decrease (e.g. CCLM4-8-17 driven by EC-EARTH, CRCM5 driven by CanESM2 and REMO2009 driven by EC-EARTH), while other simulations show an increase (e.g. RACMO22T driven by HadGEM2-ES and REMO2009 driven by CM5A-LR). The model simulations with a smaller increase or decrease also vary in sign. In contrast to lake precipitation, the lake evaporation signal is more consistent for the different sim- ulations, with generally an increasing trend (Fig. 7d, e and f). The future changes in the inflow term are generally con- sistent as well and show an increase in inflow under all three RCP scenarios. As lake inflow is directly related to precipita- tion, the increase in inflow can be attributed to the increase in precipitation over the LVB. For all three WB terms, the width of the 95 % confidence intervals is larger for strong climate change signals. evaporation and inflow term approximates the observations (Fig. 6). Consequently, the resulting lake levels lie within the range of observed lake levels. As the linear paramet- ric bias-correction method provides a closed WB for all six RCMs, it is applied on the WB terms of the historical and fu- ture CORDEX simulations. Using the second bias-correction method, with empirical quantiles, also leads to WB closure. Applying this bias-correction method on the historical and future CORDEX simulations yields similar results as the lin- ear parametric transformation. 3.2 Simulations with bias-corrected water balance terms Therefore, only results from the linear parametric transformation are shown hereafter. Re- sults with the empirical quantile bias-correction method are presented in the Appendix. After applying the linear parametric bias correction, we quantified the future change of the three WB terms accord- ing to the three RCP scenarios for all simulations. This is achieved by computing the difference between the future (mean of the period 2071–2100) and the historical (mean of the period 1971–2000) simulations (Fig. 7). The climate change signal for lake precipitation differs between the sim- The signs of the signals are broadly consistent with the signs of the original, non-bias-corrected WB terms (see Fig. E1 in the Appendix). The amplitude of the signals, how- www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5534 5534 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure 4. Histograms of lake precipitation derived from the CORDEX evaluation simulations for the period 1993–2008 (observed distribu- tions, derived from PERSIANN-CDR are indicated in grey). Figure 4. Histograms of lake precipitation derived from the CORDEX evaluation simulations for the period 1993–2008 (observed distribu- tions, derived from PERSIANN-CDR are indicated in grey). Figure 5. Modelled lake levels (a), seasonal precipitation (b), evaporation (c) and inflow (d) according to the CORDEX evaluation simula- tions without bias correction. Note the different y axis scales. Figure 5. Modelled lake levels (a), seasonal precipitation (b), evaporation (c) and inflow (d) according to the CORDEX evaluation simula- tions without bias correction. Note the different y axis scales. www.hydrol-earth-syst-sci.net/22/5527/2018/ www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5535 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure 6. Modelled lake levels (a), seasonal precipitation (b), evaporation (c) and inflow (d) according to the CORDEX evaluation simula- tions, bias corrected using parametric linear transformations. Note the different y axis scales. Figure 6. Modelled lake levels (a), seasonal precipitation (b), evaporation (c) and inflow (d) according to the CORDEX evaluation simula- tions, bias corrected using parametric linear transformations. Note the different y axis scales. 2.6, −3.2 m for RCP 4.5 and −1.5 m for RCP 8.5; Fig. 8b). The model uncertainty again increases with time for the three RCPs, consistent with the rising spread in the historical HPP management scenario. ever, generally decreases after applying the bias correction. This decrease is larger for the simulations with the more extreme signals, with important effects on the multi-model means. In the Agreed Curve scenario, the outflow is adjusted ev- ery day based on the lake level of the previous day. In this scenario, the modelled lake levels stay within the range of the historical fluctuations and show no clear trend (Fig. 8c). The seasonal cycles in lake level are clearly visible in the en- semble mean. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections In 2100, the uncertainty has increased to 1.1 m for RCP 2.6, 3.1 m for RCP 4.5 and 3.9 m for RCP 8.5. It is not surprising that the lake level modelled with this scenario stays within the historical range, as the approximated WB equilibrium is maintained by adjusting the outflow based on the lake level on a daily basis. Moreover, the Agreed Curve relation between lake level and outflow is originally made to mimic natural outflow, accounting for the natural climate variability (Sene, 2000). Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5536 Figure 7. Bar plots showing the relative projected climate chance following RCPs 2.6, 4.5 and 8.5 for lake precipitation (a–c), lake evapora- tion (d–f) and inflow (g–i) for the CORDEX simulations bias corrected with the linear parametric transformation. The climate change signal is defined as the mean difference between the future (2071–2100) and the historic (1971–2000) simulations. The whiskers indicate the 95 % confidence interval of the change based on the 30-year annual difference. Figure 7. Bar plots showing the relative projected climate chance following RCPs 2.6, 4.5 and 8.5 for lake precipitation (a–c), lake evapora- tion (d–f) and inflow (g–i) for the CORDEX simulations bias corrected with the linear parametric transformation. The climate change signal is defined as the mean difference between the future (2071–2100) and the historic (1971–2000) simulations. The whiskers indicate the 95 % confidence interval of the change based on the 30-year annual difference. imum lake level and all additional water is discharged. The uncertainty in the projections is therefore very large, ranging from 14 × 106 to 209 × 106 m3 day−1 for RCP 8.5, whereby the latter constitutes more than double the historically ob- served outflow (88 × 106 m3 day−1). imum level, while all additional water is discharged for lake levels which reach the maximum level. Consequently, with outflow volumes reaching these extremes, it is not possible to maintain a constant hydropower supply, despite the man- agement scenario being designed for this aim. In the constant lake level scenario, the outflow volume varies following a spiky pattern (Fig. 9b). Since the outflow is altered each day to maintain a constant lake level given the precipitation, inflow and evaporation terms of that day, the outflow volume greatly varies on daily timescales with an average standard deviation of 172 × 106 m3 day−1. Fig. 9b therefore shows annually averaged daily outflow values. The three RCPs show no clear trend, but uncertainties range up to 253×106 m3 day−1. Fluctuating around a multi-model mean of 88.9 × 106 m3 for RCP 2.6, 90.3 × 106 m3 for RCP 4.5 and 95.5 × 106 m3 for RCP 8.5, annual average outflow vol- umes are higher than historical outflow, with an average out- flow volume of 88×106 m3 day−1, measured from 1950 until 2006. 3.3 Future lake level and outflow projections Lake level projections following different dam management scenarios are computed from the CORDEX simulations, bias corrected with a linear parametric transformation (Fig. 8). Future lake levels according to the constant lake level sce- nario are not represented in this figure, as they are constant at their 2006 level per definition. Under the historical HPP scenario, the ensemble mean projects a lake level increase of 1.03 m for RCP 2.6, 2.2 m for RCP 8.5 and a decline of −0.36 m for RCP 4.5 in 2100, compared to the 2006 level (Fig. 8a). The ensemble mean lake level projections thereby all stay within the observed range. The model uncertainty in- creases over time for three RCPs with an enveloped width ranging up to 24 m. The uncertainty range encompasses both rising and decreasing lake levels (e.g. up to +12 and −12 m in 2100 under RCP 8.5). The different simulations tend to diverge with a more or less constant ensemble mean as a result, as is shown by their interquartile range (Fig. C1 in the Appendix). Overall, lake level projections thus encom- pass large uncertainties within this management scenario. In the high HPP scenario the ensemble mean projections of the three RCPs project a decrease in lake level (−3.9 m for RCP The outflow projections following the Agreed Curve sce- nario fluctuate around the historically observed outflow vol- ume for RCPs 2.6 and 4.5. For RCP 8.5 the model projects a slight increase towards the end of the century, resulting in an averaged outflow volume being 6.7×106 m3 day−1 (+7.6 %) higher than the historically observed outflow. This increase in outflow results from outflow volumes for some simulations that are larger than prescribed by the Agreed Curve, as the lake level for these simulations reaches the prescribed max- www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 4.1 Model quality and projected changes None of the RCMs, except for CRCM5, are able to provide reliable estimations of the WB terms in the LVB (Figs. 4 and 5). Endris et al. (2013) found that most RCMs simulate the main precipitation features reasonably well in East Africa. Over the whole CORDEX-Africa domain, all RCMs capture the main elements of the seasonal mean precipitation distri- bution and its cycle, but also significant biases are present in individual models depending on season and region (Nikulin et al., 2012; Kim et al., 2014). Here, a specific region is in- vestigated wherein lakes act as main driving features of the regional climate (Thiery et al., 2015, 2016, 2017; Docquier et al., 2016). Therefore, model performance is primarily de- termined by how lakes are resolved in the models. A cor- rect representation of lake surface temperatures in the mod- els is crucial to account for the lake–climate interactions and associated mesoscale circulations (Stepanenko et al., 2013; Thiery et al., 2014a, b). The good performance of CRCM5 Finally, outflow volumes following the historical HPP sce- nario decrease slightly until roughly 2055, whereas outflow volumes following the high HPP scenario remain constant until 2055 (Fig. 9c and d). Afterwards, the ensemble mean outflow projections start to diverge and uncertainties strongly increases. From this moment, most lake level projections reach the imposed minimum or maximum levels (Sect. 2.3). No outflow is released for projections which drop to the min- www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5537 Figure 8. Lake level projections for the historical HPP management scenario (Pel is 168 MW) (a), the high HPP management scenario (Pel is 247 MW) (b) and the Agreed Curve scenario (c). The solid line shows the ensemble means and the envelope the 5th–95th percentiles of the CORDEX ensemble simulations, bias corrected using the parametric linear transformation method. Note the different y axis scale for panel (c). Figure 8. Lake level projections for the historical HPP management scenario (Pel is 168 MW) (a), the high HPP management scenario (Pel is 247 MW) (b) and the Agreed Curve scenario (c). 4.1 Model quality and projected changes The solid line shows the ensemble means and the envelope the 5th–95th percentiles of the CORDEX ensemble simulations, bias corrected using the parametric linear transformation method. Note the different y axis scale for panel (c). The decrease in lake precipitation for RCPs 4.5 and 8.5 (respectively −2.5 % and −2.3 %) is not visible in the lake level projections following the Agreed Curve or the HPP sce- narios. This is due to the fact that the decrease in lake precip- itation is largely compensated in the total WB by the increase in lake inflow, which is determined by the increase in precip- itation over the LVB. In the bias-corrected simulations using the linear parametric transformation, the deficit in lake pre- cipitation is compensated for 184 % (RCP 4.5) and 450 % (RCP 8.5) by an increase in inflow. In RCP 2.6, this effect is not present. can be attributed to the presence of the lake model FLake, ensuring a realistic representation of lake surface tempera- tures, while the other models have no lake model embedded. The fact that RCA4, which also uses FLake as lake model, gives no accurate representation of the WB terms in the LVB is most likely due to other model biases apart from the lake model. Thiery et al. (2016) performed high-resolution simula- tions (∼7 km grid spacing) with the coupled land–lake– atmosphere model COSMO-CLM2 under RCP 8.5 over the LVB. In these simulations, the precipitation shows a de- crease of −7.5 % towards the end of the century over the lake surfaces of the African Great Lake region, which is a higher decrease than found in this study (−2.3 %). The in- crease in lake evaporation following RCP 8.5 according to (Thiery et al., 2016) (+142 mm year−1) confirms the sign of the evaporation signal of most CORDEX simulations of this study (Fig. E1f). However, the effect is not visible in the bias-corrected multimodel mean (−0.07 mm year−1), which results from the negative signal of three CORDEX simu- lations (Fig. E1f). While COSMO-CLM2 generally outper- forms CORDEX-Africa simulations, these simulations are only available in time slices and could therefore not be used to drive the WBM. 4.2 Water management and climate change The analysis reveals that the management scenario has an important influence on the future lake levels and outflow vol- umes. The physical lake level constraint means that the ef- fect of unsustainable management scenarios is reflected in the outflow volumes, which become highly variable once the lake level limit is reached. In both constant HPP scenar- ios, various simulations reach these limits, leading to very high or almost no outflow anymore, and a hydropower pro- duction which does not meet the goal for which it was de- signed. The multi-model mean lake level projections follow- ing these management scenarios appear sustainable, but are www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 5538 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure 9. Outflow projections (annual averaged) for the Agreed Curve scenario (a), the constant lake level scenario (b), the historical HPP management scenario (c) and the high HPP management scenario (d). The solid line shows the ensemble means and the envelope the 5th–95th percentiles of the CORDEX ensemble simulations, bias corrected using the parametric linear transformation method. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5538 Figure 9. Outflow projections (annual averaged) for the Agreed Curve scenario (a), the constant lake level scenario (b), the historical HPP management scenario (c) and the high HPP management scenario (d). The solid line shows the ensemble means and the envelope the 5th–95th percentiles of the CORDEX ensemble simulations, bias corrected using the parametric linear transformation method. downstream water availability may occur in the next decades even if dam managers adhere to the Agreed Curve. Neverthe- less, considering the multi-model mean, the Agreed Curve scenario can be denoted as a sustainable management sce- nario. However, violations against the prescribed outflow can have important consequences for the lake levels, as shown by the observed drop in lake level in 2004–2005, which was 48 % attributable to an enhanced dam outflow (Van- derkelen et al., 2018). In Uganda, hydropower provides up to 90 % of the electricity generated (Adeyemi and Asere, 2014). I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5539 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Within each management scenarios, the climate model un- certainty appears to be larger than the uncertainty related to the emission scenario. This could be seen by the large spread around the multi-model mean and the coinciding RCP curves and spread (Figs. 8 and 9). The spread according to the RCP 2.6 scenario is the smallest. This scenario contains only 11 simulations, while there are 19 simulations following RCP 4.5 and 17 simulations following RCP 8.5. The future pro- jections provide no clear differentiation between the three RCP scenarios, indicating that uncertainties associated with the model deficiencies and initial conditions play a more im- portant role. Therefore, to further refine lake level projections presented in this study, it is of vital importance to account for model deficiencies and natural variability. mains sustainable or not. Idealized dam management pursu- ing a constant hydropower production (electricity policy ob- jective) leads to unsustainable lake levels and outflow fluc- tuations. The management scenario in which the lake level is kept constant, targeting a reliable navigation policy, leads to highly variable outflow volumes, which is not realistic in terms of hydropower production. (iv) When outflow is man- aged following the Agreed Curve, mimicking natural out- flow pursuing environmental policy targets, the evolution of lake level and outflow remains sustainable for most real- izations. (v) The outflow projections following the Agreed Curve, however, encompass large uncertainties, ranging from 14 × 106 to 209 × 106 m3 day−1 (up to 229 % of the histor- ically observed outflow). Although the multi-model mean projected lake levels demonstrate no clear trend, these large uncertainties show that even if the Agreed Curve is followed, future lake levels and outflow volumes could potentially rise or drop drastically, with profound potential implications for local hydropower potential and downstream water availabil- ity. (vi) Next to the management scenario, we found that cli- mate model uncertainty (RCM-GCM combination) is larger than the uncertainty related to the emission scenario. Apart from the large climate model uncertainties, this ap- proach using the WB model has some other shortcomings. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections First, we do not account for future land cover changes in the inflow calculations, as a static land cover map for the year 2000 is used (Vanderkelen et al., 2018). Changes in land cover are, however, very important in future simulations, as they affect the curve number and therefore the amount of runoff (Ryken et al., 2014). Moreover, future changes in land use could induce changes in precipitation in tropical regions (Akkermans et al., 2014; Lejeune et al., 2015). Second, the employed management scenarios are based on three simple assumptions. The management scenario exerts a major influ- ence on future lake level fluctuations and future lake levels appeared to be sustainable only if the Agreed Curve is fol- lowed. As the importance of dam management in response to rising hydropower demand increases, more sophisticated management scenarios accounting for the rising hydropower demand could be developed and examined for their ability to preserve historical lake level fluctuations. In this study, we provide the first indications of poten- tial consequences of climate change for the water level of Lake Victoria. The large biases and uncertainties present in the projections stress the need for an adequate representation of lakes in RCMs to be able to make reliable climate im- pact studies in the African Great Lakes region. Finally, the evolution of future lake levels of Lake Victoria are primar- ily determined by the decisions made at the dam. Therefore, the dam management of Lake Victoria is of major concern to ensure the future of the people living in the basin, the future hydropower generation and water availability downstream. Code and data availability. The water balance model code is publicly available at https://github.com/VUB-HYDR/2018_ Vanderkelen_etal_HESS_ab (Vanderkelen, 2018). The qmap R package is available on the Comprehensive R Archive Network (https://cran.r-project.org/, Gudmundsson, 2018). Data from the COordinated Regional Climate Downscaling Experiment (CORDEX) Africa framework is available at http://cordex.org/data-access/esgf/ (CORDEX, 2018). Code and data availability. The water balance model code is publicly available at https://github.com/VUB-HYDR/2018_ Vanderkelen_etal_HESS_ab (Vanderkelen, 2018). The qmap R package is available on the Comprehensive R Archive Network (https://cran.r-project.org/, Gudmundsson, 2018). Data from the COordinated Regional Climate Downscaling Experiment (CORDEX) Africa framework is available at http://cordex.org/data-access/esgf/ (CORDEX, 2018). www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Code and data availability. The water balance model code is publicly available at https://github.com/VUB-HYDR/2018_ Vanderkelen_etal_HESS_ab (Vanderkelen, 2018). The qmap R package is available on the Comprehensive R Archive Network (https://cran.r-project.org/, Gudmundsson, 2018). Data from the COordinated Regional Climate Downscaling Experiment (CORDEX) Africa framework is available at http://cordex.org/data-access/esgf/ (CORDEX, 2018). 4.2 Water management and climate change There is a rapidly growing gap between electricity supply and a rising demand, as the electricity consumption per capita in Uganda is among the lowest in the world. The Kiira and Nalubaale hydropower stations, managing Lake Victoria’s outflow, are the largest power generators in the country (Adeyemi and Asere, 2014). The third largest capac- ity is provided by the new Bujagali hydropower dam located 8 km downstream of Lake Victoria. Therefore, operations at those dams will become even more important in the future. If there are again violations against the Agreed Curve be- cause of the increasing hydropower demand, this may have substantial consequences for the future evolution of the lake level. A relatively stable lake level is, however, necessary for local water availability providing resources to the 30 million people living in its basin and to the 200 000 fisherman oper- ating from its shores (Semazzi, 2011). the result of averaging two branches of drifting lake levels, as illustrated by the interquartile range being large compared to the Agreed Curve (see Fig. C1 in the Appendix). Lake levels diverge towards their limits, leading to extreme situ- ations where the lake extent is altered substantially, causing various impacts along the shoreline, such as reduced acces- sibility to fishing grounds and harbours located in shallow bays. Therefore, the dam management scenarios aiming at constant hydropower production are not sustainable. Further- more, to meet the goal of a constant lake level, the outflow volumes have to be highly variable, which is not realistic if hydropower generation is pursued. Therefore the constant lake level scenario can also be qualified as unsustainable. If the released dam outflow follows the Agreed Curve, the lake level will reflect the climatic conditions and it will fluc- tuate within its natural range. Moreover, the corresponding outflow following the multi-model mean also stays within the observed range. However, the uncertainties in the out- flow simulations reach up to 229 % of the projected multi- model mean, highlighting that future lake level trajectories may strongly differ even under a single climate change re- alization. This has important implications for the potential hydropower generation and water availability downstream: while the lowest projected outflow volumes close to zero inhibit hydropower potential and exacerbate hydrological drought in the White Nile, increased outflow volumes could lead to more flooding downstream. Hence, strong changes in www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Appendix B: Correction of CORDEX ensemble members for number of days The CORDEX ensemble simulations used in this study are listed in Table A1. From all available simulations, the simula- tion of HIRHAM5 driven by EC-EARTH following RCP 4.5 is not used because it exhibits discrepancies between its his- torical and future simulation. These discrepancies are non- physical and inhibit the application of a bias correction. Not all simulations from the CORDEX ensemble have the same number of days. As a fixed number of days is a neces- sary condition to compare the WBM simulations, a correc- tion was applied on the daily WB terms of some simulations. First, simulations driven by HadGEM2-ES (CCLM4-8-17, RACMO22T, RCA4, REMO2009), have 30-day months and only go until 2099. To account for the missing days, 5 extra days are added for every 72 days in the year, starting after the 36th day. The index of these 5 extra days within each year are given in Table B1. The added days are the average of the respective WB terms during the previous and next day. In addition, we accounted for the fact that these model sim- ulations do not include the year 2100, by repeating the year 2099. The simulations with HadGEM2-ES for RCP 4.5 have no December month in the year 2099. This is also the case for the HadGEM2-ES CCLM4-8-17 simulation for RCP 8.5. In both cases, December 2099 is added by repeating the month November of the same year. Table A1. Overview of the different CORDEX simulations and their availability (Y: yes, N: no). (∗data not used because of dis- crepancy between historical and future simulation). 5 Conclusions In this second part of a two-paper series, a water balance model (WBM) developed for Lake Victoria is forced with climate projections from the COordinated Regional Climate Downscaling Experiment (CORDEX) ensemble following three representative concentration pathways (RCPs 2.6, 4.5 and 8.5). Lake level fluctuations are projected up to 2100 us- ing four different dam management scenarios, which emerge from three policy objectives. This study identified the following key messages. (i) RCMs incorporated in the CORDEX ensemble are typi- cally not able to reproduce Lake Victoria’s WB, and there- fore require bias correction. Applying the bias correction closes the WB and results in realistically simulated lake lev- els. (ii) The projected decrease in lake precipitation under RCPs 4.5 and 8.5 is compensated by an increase in lake inflow, which is directly determined by precipitation over the Lake Victoria Basin. (iii) The choice of management strategy will determine whether the lake level evolution re- Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ 5540 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Appendix B: Correction of CORDEX ensemble members for number of days RCM Driving GCM RCP 2.6 RCP 4.5 RCP 8.5 CCLM4-8-17 EC-EARTH N Y Y CCLM4-8-17 HasGEM2-ES N Y Y CCLM4-8-17 MPI-ESM-LR N Y Y CCLM4-8-17 CNRM-CM5 N Y Y CRCM5 MPI-ESM-LR N Y N CRCM5 CanESM2 N Y N HIRHAM5 EC-EARTH N Y∗ Y RACMO22T EC-EARTH N Y Y RACMO22T HadGEM2-ES Y Y Y RCA4 CanESM2 N Y Y RCA4 EC-EARTH Y Y Y RCA4 MIROC5 Y Y Y RCA4 HadGEM2-ES Y Y Y RCA4 NorESM1-M Y Y Y RCA4 GFDL-ESM2M N Y Y RCA4 CM5A-MR N Y Y RCA4 CNRM-CM5 N Y Y RCA4 MPI-ESM-LR Y Y Y RCA4 CSIRO-Mk3-6-0 N Y Y REMO2009 MIROC5 Y N N REMO2009 GFDL-ESM2G Y N N REMO2009 CM5A-LR Y N Y REMO2009 HadGEM2-ES Y N N REMO2009 EC-EARTH N Y Y REMO2009 MPI-ESM-LR Y Y Y Finally, in all simulations that do not account for leap years (RCMs driven by CanESM2, NorESM1-M, MIROC5, GFDL-ESM2M, CM5A-MR and CSIRO-Mk3-6-0), an extra day in the leap years is added by taking the average WB term value of the days corresponding to the 28 February and the 1 March. Overall, compared to the total number of days of the future projections (34 698 days), we note that corrections on single days (up to 888 days depending on the simulations) have a little influence on the outcomes of this study. Table B1. Indices where extra days are added per year Original index 36 108 180 252 324 Index of added day 37 110 183 256 329 Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ www.hydrol-earth-syst-sci.net/22/5527/2018/ 5541 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ Appendix C: Interquartile ranges of lake level projections The interquartile range of the lake level projections (Fig. C1) compared with their 5th and 95th percentile envelope shows a large decrease in uncertainty range for outflow following the Agreed Curve, while the uncertainty following the HPP management scenarios knows a smaller decrease. Figure C1. As in Fig. 8, but the envelope shows the interquartile range of the CORDEX simulations. Figure C1. As in Fig. 8, but the envelope shows the interquartile range of the CORDEX simulations. Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ www.hydrol-earth-syst-sci.net/22/5527/2018/ www.hydrol-earth-syst-sci.net/22/5527/2018/ 5542 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Appendix D: Overview of the parameters used in the linear parametric transformation Table D1 shows the a and b calibration parameters for the different CORDEX simulations used in the linear parametric transformation to bias correct the lake precipitation, evapo- ration and inflow terms of the WB. Table D1. Parameters a and b of the linear parametric transformation of the WB terms for the different CORDEX simulations (Eq. 5). Lake precipitation Lake evaporation Inflow RCM Driving GCM a (10−3) b a (10−3) b a (106) b CCLM4-8-17 CNRM-CM5 0.65 0.350 2.30 0.476 27.0 0.257 CCLM4-8-17 EC-EARTH 1.68 0.574 2.82 0.536 38.1 0.315 CCLM4-8-17 HadGEM2-ES 1.69 0.425 2.88 0.339 47.6 0.404 CCLM4-8-17 MPI-ESM-LR 1.20 0.342 2.05 0.556 36.6 0.261 CRCM5 MPI-ESM-LR 1.06 0.810 1.71 0.676 −16.5 0.705 CRCM5 CanESM2 −1.54 0.850 2.86 0.655 −15.0 0.647 RACMO22T EC-EARTH −0.01 0.528 1.95 0.206 −31.1 2.041 RACMO22T HadGEM2-ES 0.43 1.823 2.98 0.944 −16.0 2.225 HIRHAM5 EC-EARTH 1.04 1.630 1.59 0.424 0.90 0.730 RCA4 CanESM2 1.78 0.926 1.78 0.658 16.0 0.759 RCA4 CM5A-MR 1.81 0.860 1.86 0.629 24.4 0.691 RCA4 CNRM-CM5 1.95 0.982 1.78 0.643 27.6 0.916 RCA4 EC-EARTH 1.64 0.794 1.66 0.706 19.0 0.657 RCA4 GFDL-ESM2M 2.04 0.878 1.73 0.699 36.8 0.652 RCA4 HadGEM2-ES 2.40 1.125 2.70 0.433 36.5 1.177 RCA4 MIROC5 1.73 0.885 2.00 0.593 23.9 0.767 RCA4 MPI-ESM-LR 1.79 0.889 1.76 0.657 21.8 0.812 RCA4 NorESM1-M 2.04 0.994 1.81 0.657 31.3 0.946 RCA4 CSIRO-Mk3-6-0 1.74 1.048 1.89 0.648 22.9 0.971 REMO2009 HadGEM2-ES 0.16 0.425 2.90 0.241 33.5 0.525 REMO2009 MPI-ESM-LR 1.23 0.639 2.50 0.519 42.2 0.814 REMO2009 EC-EARTH 1.76 0.923 2.59 0.703 40.7 1.013 REMO2009 CM5A-LR 0.73 0.414 2.81 0.271 19.7 0.453 REMO2009 GFDL-ESM2G 0.51 0.415 2.58 0.327 13.3 0.470 REMO2009 MIROC5 0.57 0.481 2.88 0.279 23.1 0.524 Table D1. Parameters a and b of the linear parametric transformation of the WB terms for the different CORDEX simulations (Eq. 5). b of the linear parametric transformation of the WB terms for the different CORDEX simulations (Eq. 5). I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections In this study, applying a bias correction on the WB terms of the CORDEX simulations was necessary to be able to make lake level and outflow projections, as subsetting is not possible. RCMs are often bias corrected, as their simulations inhibit errors (Christensen et al., 2008; Teutschbein and Seib- ert, 2013; Maraun et al., 2010; Themeßl et al., 2012; Lange, 2018). Both linear parametric transformation and the quan- tile mapping bias-correction methods are used. The advan- tage of the first is the simplicity and transparency of the method (Teutschbein and Seibert, 2013). The quantile map- ping method, on the other hand, is a non-parametric method and is able to correct for errors in variability as well (The- meßl et al., 2011). Yet, no substantial differences could be noted between the resulting projections of both methods, which supports that there is no single optimal way to cor- rect for RCM biases (Themeßl et al., 2011). It is, however, important to consider the limitations concerning the bias- correction methods. In both methods, each WB term is cor- rected independently, whereas biases may not be independent among the terms, which may be important in the context of climate change (Boé et al., 2007). The consistency between the variables could be preserved by using a more sophisti- cated method using a multivariate bias correction (Cannon, 2017; Vrac and Friederichs, 2015). However, Maraun et al. (2017) showed that bias correction could lead to improba- ble climate change signals and cannot overcome large model errors. www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ 5543 Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Appendix E: Simulations with empirical quantile bias correction Next to the bias-correction method using a linear parametric transformation (see Sect. 2.4), WB closure was adhered with a second method which is the non-parametric quantile map- ping method, a common approach for statistical transforma- tion (e.g. Panofsky and Brier, 1968; Wood et al., 2004; Boé et al., 2007; Themeßl et al., 2011, 2012). Following Gud- mundsson et al. (2012) and Boé et al. (2007), this method uses the cumulative density function (CDF) based on the em- pirical quantiles from the observed variable to transform the modelled variable. First, the CDFs of the three WB terms fol- lowing each historical simulation in the overlapping period (the reference simulations) are matched with the cumula- tive density function of the WB terms from the observational WBM (observations). This generates a correction function, relating the quantiles of both distributions. Next, this correc- tion function is used to unbias the WB term simulations for the whole simulation period quantile by quantile (Boé et al., 2007). When a bias correction based on empirical quantiles is used, very similar results are found (compare Figs. E2, E3, E4 and E6). Based on this, we conclude that the bias- correction methods has very little effect on the results pre- sented in this study. Figure E1. Bar plots showing the relative projected climate chance following RCPs 2.6, 4.5 and 8.5 for lake precipitation (a–c), lake evaporation (d–f) and inflow (g–i) for the CORDEX simulations without bias correction. The climate change signal is defined as the difference between the future (2071–2100) and the historical (1971–2000) simulations. The whiskers indicate the 95 % confidence interval of the change based on the 30-year annual difference. Figure E1. Bar plots showing the relative projected climate chance following RCPs 2.6, 4.5 and 8.5 for lake precipitation (a–c), lake evaporation (d–f) and inflow (g–i) for the CORDEX simulations without bias correction. The climate change signal is defined as the difference between the future (2071–2100) and the historical (1971–2000) simulations. The whiskers indicate the 95 % confidence interval of the change based on the 30-year annual difference. Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ 5544 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure E2. As in Fig. 6, but bias corrected using empirical quantiles. Figure E3. As in Fig. 7, but bias corrected using empirical quantiles. I. Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ Competing interests. The authors declare that they have no conflict of interest. Competing interests. The authors declare that they have no conflict of interest. Davin, E. L., Maisonnave, E., and Seneviratne, S. I.: Is land sur- face processes representation a possible weak link in current Regional Climate Models?, Environ. Res. Lett, 11, 074027, https://doi.org/10.1088/1748-9326/11/7/074027, 2016. Special issue statement. This article is part of the special issue “Modelling lakes in the climate system (GMD/HESS inter-journal SI)”. It is a result of the 5th workshop on “Parameterization of Lakes in Numerical Weather Prediction and Climate Modelling”, Berlin, Germany, 16–19 October 2017. Deconinck, S.: Security as a threat to development: the geopolitics of water scarcity in the Nile River basin, Focus Paper, Royal High Insitute for Defence, Brussels, Belgium, 2009. Di Baldassarre, G., Elshamy, M., Van Griensven, A., Soliman, E., Kigobe, M., Ndomba, P., Mutemi, J., Mutua, F., Moges, S., Xuan, Y., Solomatine, D., and Uhlenbrook, S.: Future hydrology and climate in the River Nile basin: a review, Hydrolog. Sci. J., 56, 199–211, https://doi.org/10.1080/02626667.2011.557378, 2011. Acknowledgements. We acknowledge the CLM-community (https://www.clm-community.eu/, last access: 16 October 2018) for developing COSMO CLM2 and making the model code available. Computational resources and services used for the COSMO-CLM2 simulations were provided by the VSC (Flemish Supercomputer Centre), funded by the Hercules Foundation and the Flemish Government department EWI. In addition, we are grateful to the World Climate Research Programme (WRCP) for initiating and coordinating the CORDEX-Africa initiative and to the modelling centres for making their downscaling results publicly available through ESGF. Wim Thiery was supported by an ETH Zurich postdoctoral fellowship (Fel-45 15-1). The Uniscientia Foundation and the ETH Zurich Foundation are thanked for their support to this research. Docquier, D., Thiery, W., Lhermitte, S., and van Lipzig, N. P. M.: Multi-year wind dynamics around Lake Tanganyika, 47, 3191– 3202, https://doi.org/10.1007/s00382-016-3020-z, 2016. Endris, H. S., Omondi, P., Jain, S., Lennard, C., Hewitson, B., Chang’a, L., Awange, J. L., Dosio, A., Ketiem, P., Nikulin, G., Panitz, H. J., Büchner, M., Stordal, F., and Tazalika, L.: Assess- ment of the performance of CORDEX regional climate models in simulating East African rainfall, J. Climate, 26, 8453–8475, https://doi.org/10.1175/JCLI-D-12-00708.1, 2013. Giorgi, F., Jones, C., and Asrar, G. R.: Addressing climate informa- tion needs at the regional level: The CORDEX framework, World Meteorological Organization Bulletin, 58, 175–183, 2009. Gudmundsson, L., Bremnes, J. B., Haugen, J. Competing interests. The authors declare that they have no conflict of interest. E., and Engen- Skaugen, T.: Technical Note: Downscaling RCM precipitation to the station scale using statistical transformations – a com- parison of methods, Hydrol. Earth Syst. Sci., 16, 3383–3390, https://doi.org/10.5194/hess-16-3383-2012, 2012. Edited by: Miguel Potes Reviewed by: two anonymous referees Edited by: Miguel Potes Edited by: Miguel Potes Reviewed by: two anonymous referees Appendix E: Simulations with empirical quantile bias correction Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5544 Figure E2. As in Fig. 6, but bias corrected using empirical quantiles. ntiles Figure E2. As in Fig. 6, but bias corrected using empirical quantiles. Figure E3. As in Fig. 7, but bias corrected using empirical quantiles. Figure E3. As in Fig. 7, but bias corrected using empirical quantiles. www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 554 Figure E4. As in Fig. 8, but bias corrected using empirical quantiles. Figure E5. As in Fig. C1, but bias corrected using empirical quantiles. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5545 g Figure E4. As in Fig. 8, but bias corrected using empirical quantiles. Figure E4. As in Fig. 8, but bias corrected using empirical quantiles. Figure E4. As in Fig. 8, but bias corrected using empirical quantiles. Figure E5. As in Fig. C1, but bias corrected using empirical quantiles. Figure E5. As in Fig. C1, but bias corrected using empirical quantiles. Figure E5. As in Fig. C1, but bias corrected using empirical quantiles. Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 5546 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Figure E6. As in Fig. 9, but bias corrected using empirical quantiles. I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5546 Figure E6. As in Fig. 9, but bias corrected using empirical quantiles. Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/ 5547 I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections Christensen, J. H., Boberg, F., Christensen, O. B., and Lucas- Picher, P.: On the need for bias correction of regional climate change projections of temperature and precipitation, Geophys. Res. Lett., 35, 20709, https://doi.org/10.1029/2008GL035694, 2008. Author contributions. IV, NPMvL and WT designed the study. IV performed the analysis and wrote the manuscript. All authors com- mented on the manuscript. CORDEX-Africa simulation data: available at http://www.cordex. org/data-access/esgf/, last access: 16 October 2018. www.hydrol-earth-syst-sci.net/22/5527/2018/ I. Vanderkelen et al.: Modelling the water balance of Lake Victoria (East Africa) – Part 2: future projections 5548 Panofsky, H. and Brier, G. 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Williams, K., Chamberlain, J., Buontempo, C., and Bain, C.: Re- gional climate model performance in the Lake Victoria basin, Clim. Dynam., 44, 1699–1713, https://doi.org/10.1007/s00382- 014-2201-x, 2015. Wood, A. W., Leung, L. R., Sridhar, V., and Lettenmaier, D. P.: Hy- drologic implications of dynamical and statistical approaches to downscaling climate model outputs, Climate Change, 62, 189– 216, 2004. Thiery, W., Davin, E. L., Panitz, H.-J., Demuzere, M., Lhermitte, S., and van Lipzig, N. P. M.: The Impact of the African Great Lakes on the Regional Climate, J. Climate, 28, 4061–4085, https://doi.org/10.1175/JCLI-D-14-00565.1, 2015. Thiery, W., Davin, E. L., Seneviratne, S. I., Bedka, K., Lher- mitte, S., and van Lipzig, N. P. M.: Hazardous thunder- storm intensification over Lake Victoria, Nat. Commun., 7, https://doi.org/10.1038/ncomms12786, 12786, 2016. Hydrol. Earth Syst. Sci., 22, 5527–5549, 2018 www.hydrol-earth-syst-sci.net/22/5527/2018/
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Review of: "Tolerance and Biological Removal of Fungicides by Trichoderma Species Isolated From the Endosphere of Wild Rubiaceae Plants"
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Qeios, CC-BY 4.0 · Review, May 11, 2022 Qeios ID: 77PQ10 · https://doi.org/10.32388/77PQ10 Review of: "Tolerance and Biological Removal of Fungicides by Trichoderma Species Isolated From the Endosphere of Wild Rubiaceae Plants" KULDEEP SINGH JADON Potential competing interests: The author(s) declared that no potential competing interests exist. Endosphere Trichoderma species can be used as biological removal of fungicides besides its tolerance to fungicides. A group of scientists from University of Costa Rica and University of Maryland envisaged this concept. They obtained Trichoderma isolates from the endosphere of wild Rubiaceae plants (living leaf tissue of) from natural forests of Costa Rica. Efraín Escudero-Leyva elaborated in this study that four Trichoderma isolates (Trichoderma rifaii, T. aff. crassum, T. aff. atroviride, and T. aff. strigosellum) worked well with azoxystrobin, chlorothalonil, cyproconazole, and trifloxystrobin fungicides while the removal and detoxification of cyproconazole was unsuccessful with all the isolates as cyproconazole also inhibit the growth of the isolates. Major findings of this research work are 1. endosphere of wild plants can be utilised for isolating new Trichoderma spp. and 2. Trichoderma spp. can be utilised as bioremediation material 3. Durability and effectiveness of biocontrol agents should be considered before mixing of agrochemicals. This study will help in the development of Integrated Pest and Disease Management strategies for conventional and organic agriculture. Qeios ID: 77PQ10 · https://doi.org/10.32388/77PQ10 1/1
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Effects of Climate Change on Vegetation Cover in the Oued Lahdar Watershed. Northeastern Morocco
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Hind Khalis 1,*, Abdelhamid Sadiki 1, Fatimazahra Jawhari 2 , Haytam Mesrar 1 , Ehab Azab 3 , Adil A. Gobouri 4, Muhammad Adnan 5 and Mohammed Bourhia 6 Hind Khalis 1,*, Abdelhamid Sadiki 1, Fatimazahra Jawhari 2 , Haytam Mesrar 1 , Ehab Azab 3 , Adil A. Gobouri 4, Muhammad Adnan 5 and Mohammed Bourhia 6 1 Laboratory of Geosciences, Environment and Associated Ressources LGERA, Faculty of Sciences, University Sidi Mohamed Ben Abdellah (USMBA), Fez 30000, Morocco; abdelhamid.sadiki@usmba.ac.ma (A.S.); mesrar.haytam@gmail.com (H.M.) 2 Laboratory of Biotechnology and Preservation of Natural Resources (BPRN), Faculty of Sciences, University Sidi Mohamed Ben Abdellah (USMBA), Fez 30000, Morocco; fatimazahra.jawhari@usmba.ac.ma y gy y University Sidi Mohamed Ben Abdellah (USMBA), Fez 30000, Morocco; fatimazahra.jawhari@usmba.ac.ma 3 Department of Nutrition and Food Science, College of Science, Taif University, P.O. Box 11099, Taif 21944, Saudi Arabia; e.azab@tu.edu.sa y ( ) j 3 Department of Nutrition and Food Science, College of Science, Taif University, P.O. Box 11099, Taif 21944, Saudi Arabia; e.azab@tu.edu.sa 4 Department of Chemistry, College of Science, Taif University, P.O. Box 11099, Taif 21944, Saudi Arabia; a.gobouri@tu.edu.sa 5 Department of Botanical and Environmental Sciences, Faculty of Biological Sciences, Kohat University of Science and Technology, Kohat 26000, Khyber Pakhtunkhwa, Pakistan; ghurzang@hotmail.com 6 Laboratory of Chemistry-Biochemistry, Environment, Nutrition and Health, Faculty of Medicine and Pharmacy, Hassan II University, Casablanca 5696, Morocco; bourhiamohammed@gmail.com * Correspondence: hind.khalis@usmba.ac.ma Abstract: Episodes of drought that Morocco experienced in the years 1984–1986, 1993–1995, and 1997–2000 had repercussions that were felt many years later and continue to pose serious problems for environmentalists, as some of the affected lands have become practically deserted. These problems acted on the socio-economic conditions and created severe constraints for the development of the country. This work was conducted to study and identify changes that occurred in vegetation cover in the Oued Lahdar watershed (Rif, Morocco) between 1984 and 2017 using Land Surface Temperature (LST), Normalized Difference Vegetation Index (NDVI), Landsat TM 5, and Landsat OLI 8. The LST had significantly increased overall from 1984 to 2017, where it moved from a mean value of 29.4 ◦C in 1984 to 40.4 ◦C in 2007 and then reduced slightly to 37.9 ◦C in 2017. The vegetation cover index for the study area indicates that in 1984, fully vegetated areas represented 94.3% before deteriorating to 35.4% in 2007 and recovering in 2017 to 54.3%. While bare soil, which previously constituted 5.7%, reached a very high value of 64.6% in 2007 and then decreased to 47.7%.   Citation: Khalis, H.; Sadiki, A.; Jawhari, F.; Mesrar, H.; Azab, E.; Gobouri, A.A.; Adnan, M.; Bourhia, M. Effects of Climate Change on Vegetation Cover in the Oued Lahdar Watershed. Northeastern Morocco. Plants 2021, 10, 1624. https:// doi.org/10.3390/plants10081624 Academic Editors: Michael Gomez Selvaraj and Sindhuja Sankaran Received: 9 June 2021 Accepted: 2 August 2021 Published: 6 August 2021 Keywords: climate change; droughts; desertification; land cover degradation; NDVI; LST Publisher’s Note: MDPI stays neutral with regard to jurisdictional claims in published maps and institutional affil- iations. plants plants Hind Khalis 1,*, Abdelhamid Sadiki 1, Fatimazahra Jawhari 2 , Haytam Mesrar 1 , Ehab Azab 3 , Adil A. Gobouri 4, Muhammad Adnan 5 and Mohammed Bourhia 6 This study contributes towards society as it provides interesting data about the consequences of climate change in the area studied as well as potential protective strategies to protect vegetation cover.   Citation: Khalis, H.; Sadiki, A.; Jawhari, F.; Mesrar, H.; Azab, E.; Gobouri, A.A.; Adnan, M.; Bourhia, M. Effects of Climate Change on Vegetation Cover in the Oued Lahdar Watershed. Northeastern Morocco. Plants 2021, 10, 1624. https:// doi.org/10.3390/plants10081624 Academic Editors: Michael Gomez Selvaraj and Sindhuja Sankaran Received: 9 June 2021 Accepted: 2 August 2021 Published: 6 August 2021   Citation: Khalis, H.; Sadiki, A.; Jawhari, F.; Mesrar, H.; Azab, E.; Gobouri, A.A.; Adnan, M.; Bourhia, M. Effects of Climate Change on Vegetation Cover in the Oued Lahdar Watershed. Northeastern Morocco. Plants 2021, 10, 1624. https:// doi.org/10.3390/plants10081624 Academic Editors: Michael Gomez Selvaraj and Sindhuja Sankaran Received: 9 June 2021 Accepted: 2 August 2021 Published: 6 August 2021 Citation: Khalis, H.; Sadiki, A.; Jawhari, F.; Mesrar, H.; Azab, E.; Gobouri, A.A.; Adnan, M.; Bourhia, M. Effects of Climate Change on Vegetation Cover in the Oued Lahdar Watershed. Northeastern Morocco. Plants 2021, 10, 1624. https:// doi.org/10.3390/plants10081624 plants plants plants 1. Introduction Morocco’s climate varies considerably from north to south. Rainfall and temperature are strongly influenced by the Atlantic Ocean in the west, the Mediterranean Sea in the north, the Sahara Desert in the south and southeast, and in particular by the position of the Atlas and the Rif mountains. This geographical and topographical characteristic of Morocco determines the distribution of rainfall over the country. 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/). The increasing temperature in Morocco is associated with global climate change. The year 2017 was the hottest year on record, surpassing the previous high mark set in 2016. Similar trends have been recorded for Morocco and the Middle East and North Africa region, though there are year-to-year country-level variations from the global mean [1]. With approximately global temperatures of 1.2 ◦C above pre-industrial levels. Due to severe climatic conditions, deforestation, overgrazing, and poor planting techniques, more than 40% of the total area of Morocco have been affected by soil erosion. https://www.mdpi.com/journal/plants Plants 2021, 10, 1624. https://doi.org/10.3390/plants10081624 Plants 2021, 10, 1624 2 of 16 Climate has a direct effect on soil erosion through rainfall, runoff, and indirectly through vegetation. As a result, there is a strong link between vegetation, soil, and the phenomenon of degradation. Plant cover is an important factor in protecting soil from erosion by maintaining soil fertility and moisture. It can also play an important role in thermal protection: maximum temperatures under canopy cover are generally 2 to 4 ◦C lower than on surrounding agricultural land, and minimum are 1 to 2 ◦C higher [2]. The role of thermoregulation played by vegetation covering river embankments was reported as follows: soil temperatures were almost 4 ◦C higher for vegetated embankments than for bare embankments. The destruction of vegetation leads in the long term to soil degradation and aggravated cases to desertification. Rouse and his collaborators [3] developed the NDVI (Normalized Difference Vegeta- tion Index) using the red and near-infrared bands of the electromagnetic spectrum. The Vegetation Index reveals that the vegetation covers relative to the ground. It is mainly correlated with leaf chlorophyll activity. Indeed, chlorophyll pigments absorb strongly in the red and leaves reflect in the near-infrared. NDVI was used for the diagnosis and evaluation of the active vegetation. 1. Introduction The spectral signature of plants ranges from a very active photosynthetic green state in wet weather to a very weak active dry state in dry weather, which has no distinct spectral signature to differentiate it from bare soil. High values indicate abundant and dense vegetation. These values progressively decrease as chlorophyll activity and vegetation decline. Several studies [4–6] have been devoted to linking this index to a land cover structure parameter (percent land cover, green biomass, or leaf area index). LST is the main topic for developing methodologies to be measured from space. LST is an important factor in many study areas, such as global climate change, hydrological and agricultural processes, and urban land use/land cover [7]. y g g p The higher NDVI index indicates the presence of vegetation, i.e., the quantity or state of vegetation. Land surface temperature (LST) is one of the key factors in the physical process of the Earth’s surface, combining surface-atmosphere interactions and energy flows between the atmosphere and the ground [8,9]. The lowest LSTs are generally found in areas with high NDVI. This negative correlation between NDVI and LSTs is valuable for urban climate studies found that the vegetation fraction is slightly more negatively correlated with LSTs. Many researchers have tried to understand the increase in temperature in the world. Few studies have involved the continuous rise of temperature [10,11], while few others analyzed the relationship between LST-NDVI over Morocco, Europe, and North America [4,6,12]. In Morocco, the arid zones represent 77% of the national territory and the Saharan regions alone occupy 60%. However, if we consider the arid zone in the broad sense, including the semi-arid regions where the risks of desertification are high, we end up with 90% of the territory [13]. The region of Taza had become arid between 1961 and 2008 (according to the aridity index of de martonne) [14]. The present work was conducted to investigate the evolution of the vegetation state in the Oued Lahdar watershed between 1984 and 2017, and its effect on land surface temperature increase (LST). During these years the soil recorded the effects of major drought episodes experienced in various regions of Morocco since the 1980s. A literature review on drought in Morocco indicates that occurrences of drought during the 20th century grew steadily [13,15,16]. The periods of drought were marked by the rise in soil temperature. 1. Introduction The study by remote sensing of this index during 33 years allows us to contribute to diagnosing the degradation of the vegetation during the last decades. This method was used for the first time in Morocco and could contribute to combatting desertification, of which Morocco has a particularly rich history, which began in 1951. 1.1. Study Area The Riffian domain is bordered by the Mediterranean Sea on more than 400 km of coastline and in its northwestern part, by the Atlantic Ocean, constitutes the most Plants 2021, 10, 1624 3 of 16 3 of 16 septentrional part of Morocco. Geologically, it is the only Moroccan massif resulting from the alpine orogeny, most of its facies having more affinities with those of Andalusia than with those of the rest of Morocco. Geographically, the reliefs are strong and uneven, with varied geological nature of the terrain (schists, marl, sandstone, limestone, etc.) [14,15]. This leads in particular to great variability in the potentiality of groundwater resources, and a dissymmetry of the hydrography between the Mediterranean slope (short wadis with very steep slopes) and the Atlantic slope (long wadis, with many tributaries). oa i e a i i o e e pa , y e A a i O ea , o i u e e o ep e trional part of Morocco. Geologically, it is the only Moroccan massif resulting from the alpine orogeny, most of its facies having more affinities with those of Andalusia than with those of the rest of Morocco. Geographically, the reliefs are strong and uneven, with var- ied geological nature of the terrain (schists, marl, sandstone, limestone, etc.) [14,15]. This leads in particular to great variability in the potentiality of groundwater resources, and a dissymmetry of the hydrography between the Mediterranean slope (short wadis with very steep slopes) and the Atlantic slope (long wadis, with many tributaries). The Oued Lahdar watershed is part of the Oued Inaouene watershed, which is itself a sub-basin of the Sebou (Figure 1), covering an area of 3680 km2. The Oued Inaouene is considered the second main tributary of the Sebou after the Oued Ouergha; it flows in an east-west direction along the southern Rif corridor, towards the Idriss I dam. It thus covers part of the External Rif in its left part, and part of the Middle Atlas in its right part, and its valley the southern Rif corridor Fez-Taza. This geographical position of the watershed of Oued Inaouene presents a very marked dissymmetry due to the contrast of the lithology of its two slopes: the southern limestone and dolomitic slope (Middle Atlas) presents harder facies than the northern slope (Rif) consisting of marly hills. 1.1. Study Area y p p ) p ( g , y ) The Oued Lahdar watershed is part of the Oued Inaouene watershed, which is itself a sub-basin of the Sebou (Figure 1), covering an area of 3680 km². The Oued Inaouene is considered the second main tributary of the Sebou after the Oued Ouergha; it flows in an east-west direction along the southern Rif corridor, towards the Idriss I dam. It thus covers part of the External Rif in its left part, and part of the Middle Atlas in its right part, and its valley the southern Rif corridor Fez-Taza. This geographical position of the watershed of Oued Inaouene presents a very marked dissymmetry due to the contrast of the lithology of its two slopes: the southern limestone and dolomitic slope (Middle Atlas) presents harder facies than the northern slope (Rif) consisting of marly hills. Figure 1. The geographic situation of the Study Area. Figure 1. The geographic situation of the Study Area. Oued Lahdar originates in the mountains of the Outer Rif, in the northern part Oued Inaouene. The watershed of Oued Lahdar extends over the Outer Rif, which Figure 1. The geographic situation of the Study Area. Figure 1. The geographic situation of the Study Area. Oued Lahdar originates in the mountains of the Outer Rif, in the northern part of Oued Inaouene. The watershed of Oued Lahdar extends over the Outer Rif, which is Plants 2021, 10, 1624 4 of 16 characterized by a fragile terrain and high altitudes. The climate that dominates in the watershed is the Mediterranean with a continental oceanic influence. The average annual rainfall of the watershed varies between 600 mm and 800 mm/year. In terms of vegetation, the Rifain region, due to its differences in altitude, facies, and humidity, offers a great diversity in the natural population and the crop range. The shrubby vegetation is represented in the western half of the Rif by the dwarf palm, or doum (Chamaerops humilis) and the mastic tree (Pistacia lentiscus), which combined with other species form an impenetrable scrubland. The eastern half is characterized by the jujube tree (Zizyphus lotus) esparto (Stipa ten acissima). These areas correspond roughly to those of the olive tree (replaced in altitude by the walnut tree) in the West and the almond tree in the East. 1.1. Study Area The forest formations, which are generally very discontinuous, are mainly characterized by the following species: cork oak (Quercus suber) on the acid soils of the peninsula, holm oak (Q. ilex), and Q. pyrenaïca in the central mountainous areas with maritime pine (Pinus pinaster). Finally, the degraded soils that receive low rainfall are the domain of thuja (Callitris articulara), and Aleppo pine (Pinus halepensis). As far as crops are concerned, the mountains have small, and often irrigated fields with supplementary livestock farming (usually goats), while the hills, particularly in the Prerif, have cereal crops. The irrigable plains bear market gardening crops. 1.2. Satellite Data This study was carried out using satellite images coupled with detailed field observa- tions, verification, and statistical analysis to assess the relationship between these variables. The satellite images were collected from the USGS data portal [16]. A Landsat TM 5 (Thematic Mapper) satellite image dated 1984, 1994, 2005, and 2007, and Landsat OLI 8 (Operational Land Imager) dated 2016 and 2017. Satellite image pre-processing: Following the reading of the raw images, a generalized and systematic pre-processing phase was required. The pre-processing applied to the images included the following procedures: radiometric calibration and radiometric correction Fast Line-of-sight Atmospheric Analysis of Hypercubes (FLAASH). As we chose to map only natural vegetation and to exclude cultivated plants, the period chosen for the NDVI calculation was June/July. This choice was justified for LST by the fact that this period corresponds to the maximum temperature in Morocco. Landsat series data are downloadable free of charge directly from the United States Geological Survey (USGS) website. The characteristics of the Landsat TM 5 and OLI 8 satellite sensors used in this study are presented in Table 1. Table 1. TM5 and Landsat 8 thermal bands. Date of Images Landsat Imageries RED NIR Path/Row 8 June 1984 Landsat TM5 Band 3 Band 4 200/36 20 June 1994 18 June 2005 10 July 2007 20 June 2016 Landsat OLI 8 Band 4 Band 5 5 July 2017 1.3. Meteorological Data Table 1. TM5 and Landsat 8 thermal bands. Table 1. TM5 and Landsat 8 thermal bands. 1.3. Meteorological Data 2.2. Normalized Difference Vegetation Index (NDVI) The NDVI represents two environmental facto 2.2. Normalized Difference Vegetation Index (NDVI) The NDVI represents two environmental factors: the ecosystem, which explains long- term changes in vegetation as well as the ecosystem in response to climate fluctuations. The purpose of using the vegetation index has several objectives between them we chose; Estimation of the mass of green plants covering the soil [18]. The evolution of land cover on a temporal scale [19]. To determine the NDVI in the Oued Lahdar watershed we used the Landsat 5 TM The NDVI represents two environmental factors: the ecosystem, which explains long- term changes in vegetation as well as the ecosystem in response to climate fluctuations. The purpose of using the vegetation index has several objectives between them we chose; Estimation of the mass of green plants covering the soil [18]. The evolution of land cover on a temporal scale [19]. To determine the NDVI in the Oued Lahdar watershed, we used the Landsat 5 TM and Landsat-8 OLI satellite series (This study was carried out using satellite images cou- pled with detailed field observations, verification, and statistical analysis to assess the re- lationship between these variables. The satellite images were collected from the USGS data portal [16]. A Landsat TM 5 (Thematic Mapper) satellite image dated 1984, 1994, 2005, and 2007, and Landsat OLI 8 (Operational Land Imager) dated 2016 and 2017. Satellite image pre-processing: Following the reading of the raw images, a generalized and sys- tematic pre-processing phase was required. The pre-processing applied to the images in- cluded the following procedures: radiometric calibration and radiometric correction Fast p To determine the NDVI in the Oued Lahdar watershed, we used the Landsat 5 TM and Landsat-8 OLI satellite series (This study was carried out using satellite images coupled with detailed field observations, verification, and statistical analysis to assess the relation- ship between these variables. The satellite images were collected from the USGS data portal [16]. A Landsat TM 5 (Thematic Mapper) satellite image dated 1984, 1994, 2005, and 2007, and Landsat OLI 8 (Operational Land Imager) dated 2016 and 2017. Satellite image pre-processing: Following the reading of the raw images, a generalized and systematic pre-processing phase was required. The pre-processing applied to the images included the following procedures: radiometric calibration and radiometric correction Fast Line-of-sight Atmospheric Analysis of Hypercubes (FLAASH). As we chose to map only natural vege- tation and to exclude cultivated plants, the period chosen for the NDVI calculation was June/July. 1.3. Meteorological Data Monthly and annual average precipitation and temperature data are calculated over the period 1984 to 2017. Rainfall patterns throughout the basin are very similar: heavy rainfall in winter, relatively minimum in autumn and spring, and very light rainfall in summer. The average annual rainfall increases from 383 mm at Meknassa, to 575 mm at Taza, 577 mm at Bab Merzouka. The increase in rainfall downstream can be explained by the influence of the Middle Atlas (Figure 2). Plants 2021, 10, 1624 5 of 16 Figure 2. Mean annual precipitation (primary y-axis, blue histogram) and temperature (secondary y-axis, red curve) on the main stations of the Oued Lahdar Watershed for the period 1984–2017. 2 M th d l Figure 2. Mean annual precipitation (primary y-axis, blue histogram) and temperature (secondary y-axis, red curve) on the main stations of the Oued Lahdar Watershed for the period 1984–2017. Figure 2. Mean annual precipitation (primary y-axis, blue histogram) and temperature (secondary y-axis, red curve) on the main stations of the Oued Lahdar Watershed for the period 1984–2017. Figure 2. Mean annual precipitation (primary y-axis, blue histogram) and temperature (secondary y-axis, red curve) on the main stations of the Oued Lahdar Watershed for the period 1984–2017. 2.1. Image Corrections The images were 2.1. Image Corrections The images were radiometrically normalized to reduce any variations in the signal received by the sensor. Afterward, atmospheric corrections FLAASH for multi-temporal optical satellite images are necessary to control change detection analyses such as normal- ized difference vegetation index (NDVI) rationing [17]. The images were radiometrically normalized to reduce any variations in the signal received by the sensor. Afterward, atmospheric corrections FLAASH for multi-temporal op- tical satellite images are necessary to control change detection analyses such as normalized difference vegetation index (NDVI) rationing [17]. NIR = near-infrared The LST is the radiative temperature of the ground. It influences the partition of energy between ground and vegetation and determines the surface air temperature [20,21]. The effective at-sensor brightness temperature (BT) also known as black body temper- ature is obtained from the spectral radiance using Plank’s inverse function [22]. Conversion of digital number (DN) to Spectral Radiance Lλ [23]. Lλ = LMIN + (LMAX −LMin) × DN 255 (2) (2) Lλ = Spectral radiance, p LMIN =Spectral radiance of DN value 1 LMIN =Spectral radiance of DN value 1 LMIN =Spectral radiance of DN value 1 LMAX = Spectral radiance of DN value 255 DN = Digital Number Conversion of spectral Radiance to temperature in Kelvin [22,24]. BT = K2 ln  ( K1 L ) + 1  (3) (3) K1 = Calibration constant 1 K1 = Calibration constant 1 K2 = Calibration constant 2 K2 = Calibration constant 2 2 BT = surface temperature The calibration constants K1 and K2 obtained from the Landsat data user’s manual are given in Table 2. Table 2. TM5 and Landsat 8 thermal band calibration constants. Image Bands K1 (w/(m2 sr lm) K2 (K) Landsat 8 OLI Band 10 774.88 1321.08 Band 11 480.89 1201.14 Landsat 5 TM Band 6 607.76 1260.56 Table 2. TM5 and Landsat 8 thermal band calibration constants. In Table 3, LST classification is based on the mean temperature (Tmean) and the standard deviation (STD) of the six years of the study. Table 3. Classification of the surface temperature [25]. Table 3. Classification of the surface temperature [25]. Table 3. Classification of the surface temperature [25]. LST Class Class Range Very low temperature T ≤Tmean −1.5 STD Low temperature Tmean −1.5STD < T ≤Tmean −STD Medium temperature Tmean −STD < T ≤Tmean High temperature Tmean < T ≤Tmean + STD Very high temperature Tmean + STD < T ≤Tmean + 1.5 STD Extremely high temperature T > Tmean + 1.5 STD 2.2. Normalized Difference Vegetation Index (NDVI) The NDVI represents two environmental facto 2.2. Normalized Difference Vegetation Index (NDVI) This choice was justified for LST by the fact that this period corresponds to the maximum temperature in Morocco. Plants 2021, 10, 1624 6 of 16 Landsat series data are downloadable free of charge directly from the United States Geological Survey (USGS) website. The characteristics of the Landsat TM 5 and OLI 8 satellite sensors used in this study are presented in Table 1. NDVI = (NIR −RED) (NIR + RED) (1) (1) NIR = near-infrared 2.3. Statistical Analysis The statistical analysis was performed by using LST and NDVI data, which includes central tendency, variability, and shape measurements. Next, the analysis of variance Plants 2021, 10, 1624 7 of 16 ANOVA for the variables (LST, NDVI) was conducted to study the evolution of variable factors over time RED. 3.1. Plants Inventory The determination of plant diversity was carried out by analyzing the exhaustive inventories of species in the study area. Botanical identification was carried out according to the earlier literature [26–28]. The reference specimens of each plant were deposited in the herbarium of the Laboratory of Biotechnology, Environment, Agri-food, and Health, University of Sidi Mohamed Ben Abdellah, FSDM-Fez, Morocco. y The watershed of the Oued Lahdar presents a bioclimatic stratification composed of about 36 species belonging to different families (Table 4). The most represented families are Lamiaceae, Pinaceae, Asteraceae, and Cupressaceae. Table 4. An exhaustive inventory of plant species encountered in the study area. Family Scientific Name Biological Type Morphological Type Anacardiaceae Pistacia atlantica Desf. Phanerophytes Perennial Pistacia lentiscus L. Phanerophytes Perennial Apiaceae visnaga daucoides Gaertn. Therophytes Annual Apocynaceae Nerium Oleander L. Phanerophytes Perennial Arecaceae Chamaerops humilis L. Phanerophytes Perennial Asparagaceae Urginea maritima L. Baker Geophytes Perennial Asteraceae Silybum marianum Gaertn. Hemicryptophytes Biannual Scolymus hispanicus L. Hemicryptophytes Biannual Calendula arvensis Therophytes Annual Cactaceae Opuntia ficus-indica (L.) Mill Phanerophytes Perennial Cistaceae Cistus albidus L. Chamephytes Perennial Cistus ladanifer L. Chamephytes Perennial Cupressaceae Tetraclinis articulata (Vahl) Mast. Phanerophytes Perennial Juniperus phoenicea L. Phanerophytes Perennial Juniperus oxycedrus (L.) Cade Phanerophytes Perennial Fabaceae Ulex europaeus (L.) Ajonc, Lande Phanerophytes Perennial Fagaceae Quercus ilex L. Phanerophyte Perennial Lamiaceae Marrubium vulgare L. Hemicryptophytes Perennial Lavandula angustifolia Mill. Chamephytes Perennial Lavandula dentata L. Chamephytes Perennial Thymus vulgaris L. Chamephytes Perennial Mentha pulegium L. Hemicryptophytes Perennial Mentha suaveolens Ehrh. Hemicryptophytes Perennial Mimosaceae Acacia retinodes Schltdl. Phanerophytes Perennial Moraceae Ficus carica L. Phanerophytes Perennial Myrtaceae Eucalyptus globulus Labill. Phanerophytes Perennial Oleaceae Olea europaea subsp. Europaea L. Phanerophytes Perennial Olea europea L. subsp. Europae var. sylvestris (Mill) Lehr, Phanerophytes Perennial Pinaceae Pinus pinaster Aiton Phanerophyte Perennial Pinus halepensis Mill. Phanerophytes Perennial Cedrus atlantica (Manetti ex Endl.) Phanerophytes Perennial Rhamnaceae Ziziphus jujuba P. Miller Phanerophytes Perennial Ziziphus lotus (L.) Lam. Phanerophytes Perennial Rosaceae Rosa damascena Mill. Phanerophytes Perennial Thymelaeaceae Daphne gnidium L. Phanerophytes Perennial Typhaceae Typha latifolia L. Geophytes Perennial Table 4. An exhaustive inventory of plant species encountered in the study area. Plants 2021, 10, 1624 Thymelaeaceae Typhaceae yp aceae 8 of 16 According to the model used to study the ecology of plants in [29]. The Oued Lahdar watershed has a mountainous exposure with similar characteristics to the study area of Farhad Aghajanlou, such as sandstone and limestone. 3.1. Plants Inventory This study helped us to characterize the different plant species that exist in the watershed of Oued Lahdar. g y gy p [ ] tershed has a mountainous exposure with similar characteristics to the study area of had Aghajanlou, such as sandstone and limestone. This study helped us to characterize different plant species that exist in the watershed of Oued Lahdar. Analysis of the biological type of species inventoried in the area (Figure 3) shows that d Aghajanlou, such as sandstone and limestone. This study helped us to characterize ferent plant species that exist in the watershed of Oued Lahdar. nalysis of the biological type of species inventoried in the area (Figure 3) shows that oportion of the different categories of biological types is variable, with the domi- Analysis of the biological type of species inventoried in the area (Figure 3) shows that the proportion of the different categories of biological types is variable, with the dominance of phanerophytes (61%), followed by chamaephyte and hemicryptophytes (14%), while the lowest percentage is those of geophytes (6%) and therophytes (5%). y g yp p ( g ) proportion of the different categories of biological types is variable, with the domi- nce of phanerophytes (61%), followed by chamaephyte and hemicryptophytes (14%), ile the lowest percentage is those of geophytes (6%) and therophytes (5%). of phanerophytes (61%), followed by chamaephyte and hemicryptophytes (14%), he lowest percentage is those of geophytes (6%) and therophytes (5%). ure 3. Biological types of plant species encountered in the study area. 61% 14% 14% 5% 6% phanerophytes Chamephytes Hemicryptophytes Therophytes Geophytes Figure 3. Biological types of plant species encountered in the study area. 3. Biological types of plant species encountered in the study area. h d i l d i i h f 89% h 61% 14% 14% 5% 6% phanerophytes Chamephytes Hemicryptophytes Therophytes Geophytes ure 3. Biological types of plant species encountered in the study area. Figure 3. Biological types of plant species encountered in the study area. g yp p p y h d i l d i i h f 89% In the study area, perennials dominate with a percentage of 89%, while annuals and nnials represent only 5% and 6%, respectively (Figure 4). In the study area, perennials dominate with a percentage of 89%, while annuals and biennials represent only 5% and 6%, respectively (Figure 4). 3.1. Plants Inventory the study area, perennials dominate with a percentage of 89%, while annuals and als represent only 5% and 6%, respectively (Figure 4). 89% 5% 6% 89% 5% 6% perennial annual biannual 89% 5% 6% perennial annual biannual 4 Lifespan of plant species encountered in the study area 89% 5% 6% perennial annual biannual Figure 4. Lifespan of plant species encountered in the study area. perennial annual biannual perennial annual biannual 4. Lifespan of plant species encountered in the study area. Figure 4. Lifespan of plant species encountered in the study area. perennial annual biannual 4. Lifespan of plant species encountered in the study area. Figure 4. Lifespan of plant species encountered in the study area. perennial annual biannual 4. Lifespan of plant species encountered in the study area. Figure 4. Lifespan of plant species encountered in the study area. ure 4. Lifespan of plant specie p p p 3.2. Cartographic Analysis ure 4. Lifespan of plant specie p p p 3.2. Cartographic Analysis ure 4. Lifespan of plant species encountered in the s g p y 3.2.1. Normalized Difference Vegetation Index p p p 3.2.1. Normalized Difference Vegetation Index The NDVI map analysis (Figure 5) reveals that in 1984, the lowest value of NDVI found was only 5.7% of the catchment area in streams and bare soils in small areas. 63.2% of the study area presented an average NDVI corresponding to sparse vegetation such as grassland or senescing crop and shrubs. High NDVI testifying of forests and dense vegetation covered 31.1%. 9 of 16 n such a nse vege Plants 2021, 10, 1624 Figure 5. Monitoring of cover vegetation in the Oued Lahder watershed from 1984–2017. Figure 5. Monitoring of cover vegetation in the Oued Lahder watershed from 1984–2017. gure 5. Monitoring of cover vegetation in the Oued Lahder watershed from 1984–2017. Figure 5. Monitoring of cover vegetation in the Oued Lahder watershed from 1984–2017. In 1994 the natural vegetation cover was too affected. Bare soil reached 57.7% of the udy area. The sparse vegetation layer was gradually reduced to 36.9%. 5.4% of the re aining area was a forest. More than perennial cover was also eliminated during the yea In 1994 the natural vegetation cover was too affected. Bare soil reached 57.7% of the study area. The sparse vegetation layer was gradually reduced to 36.9%. 5.4% of the remaining area was a forest. More than perennial cover was also eliminated during the year due to low rainfall. ue to low rainfall. In 2005, bare soil reached 62.6% of the total area and became 64.6% in 2007. The spars egetation layer was reduced to 31.1% and then 28.2% in 2007. The forests gradually in reased to 6% in 2005 and 7.2% in 2007. The decline in plant cover continues to increas y In 2005, bare soil reached 62.6% of the total area and became 64.6% in 2007. The sparse vegetation layer was reduced to 31.1% and then 28.2% in 2007. The forests gradually increased to 6% in 2005 and 7.2% in 2007. The decline in plant cover continues to increase with a slight increase in the area of forests. p with a slight increase in the area of forests. In 2016, we could note that the bare soil surface was reduced to 45.3% and the spars egetation layer significantly increased to 46.3%. The presence of dense vegetation wa In 2016, we could note that the bare soil surface was reduced to 45.3% and the sparse vegetation layer significantly increased to 46.3%. p p p 3.2.1. Normalized Difference Vegetation Index The presence of dense vegetation was also improved in the Northwest zone by 8.3%. egetation layer significantly increased to 46.3%. The presence of dense vegetation wa lso improved in the Northwest zone by 8.3%. The last year of our study was 2017, in which it was reported that the bare soil ex ended by 47 7% the sparse vegetation layer reduced by 44 4% and the forests 7 9% of th The last year of our study was 2017, in which it was reported that the bare soil extended by 47.7%, the sparse vegetation layer reduced by 44.4%, and the forests 7.9% of the watershed of Oued Lahdar. watershed of Oued Lahdar. 3.2.2. Land Surface Temperature Geographic studies for the LST (Figure 6) show that in 1984, the temperature in the study area varied as follows: very low temperature filled 4.2%, low temperature covered 43.3%, medium temperature occupied 51.3%, and high temperature covered 1.2% (Figure 6). 10 of 16 e covered % (Figure Plants 2021, 10, 1624 Figure 6. Monitoring of LST changes over the years from 1984–2017. Figure 6. Monitoring of LST changes over the years from 1984–2017. gure 6. Monitoring of LST changes over the years from 1984–2017. Figure 6. Monitoring of LST changes over the years from 1984–2017. In 1994 the very low-temperature area disappeared from the watershed, while the reas with the low temperature decreased to be 1.2% only. On the other side, the area medium-temperature increased to 63.9% and those with high temperatures to 34.9%of the In 1994 the very low-temperature area disappeared from the watershed, while the areas with the low temperature decreased to be 1.2% only. On the other side, the area medium-temperature increased to 63.9% and those with high temperatures to 34.9%of the watershed area. atershed area. In 2005, the temperature in the study area varied as follows: the low-temperature rea showed 0.5%, where the area with medium temperature remained almost the same resenting 59.2%, the areas with high temperatures covered 40%, and the very high tem- In 2005, the temperature in the study area varied as follows: the low-temperature area showed 0.5%, where the area with medium temperature remained almost the same present- ing 59.2%, the areas with high temperatures covered 40%, and the very high temperature displayed only 0.1% of the study area. g , g p , y g erature displayed only 0.1% of the study area. The year 2007 presented exceptional results, where the medium temperature zone resented 5.6%, the high-temperature zone 48%, and the very high-temperature zone 7 7% A new category appeared that year namely the extremely high-temperature cate- y y y The year 2007 presented exceptional results, where the medium temperature zone presented 5.6%, the high-temperature zone 48%, and the very high-temperature zone 37.7%. A new category appeared that year, namely the extremely high-temperature category, with 8.7%. 7.7%. A new category appeared that year, namely the extremely high-temperature cate- ory, with 8.7%. The temperature decreased significantly in 2016 and 2017; the medium temperature one covered 12.6% in 2016 and 14.2% in 2017. ween 1.2% and 3.6%. 3.3. Statistical Analysis ween 1.2% and 3.6%. 3.3. Statistical Analysis 3.3.1. Summary Statistics of LST and NDVI watershed of Oued Lahdar. 3.2.2. Land Surface Temperature The high-temperature zone covered be- 82 2% i 2016 d 86 1% i 2017 hil th hi h t t b The temperature decreased significantly in 2016 and 2017; the medium temperature zone covered 12.6% in 2016 and 14.2% in 2017. The high-temperature zone covered between 82.2% in 2016 and 86.1% in 2017, while the very high-temperature zone was between 1.2% and 3.6%. 3.3.1. Summary Statistics of LST and NDVI 3.3.1. Summary Statistics of LST and NDVI ANOVA and simple regression were used for statistical analysis for a better under- standing of the evolution of NDVI and LST over time. Table 5 shows the summarized statistics for each selected data variable (LST, NDVI) by representing the measurements recorded in June of the six years considered, the mea- surements of average, variability and shape, and the shape measurements. Standardized Plants 2021, 10, 1624 11 of 16 Skewness γ1 and standardized Kurtosis γ2 were used to determine whether the sample has a normal distribution. The standard normal distribution is perfectly symmetrical when Skewness and Kurtosis are equal to 0. Values outside the range of −2 to +2 indicate a significant deviation from normality. Table 5. Summary statistics of LST and NDVI. LST NDVI Samples 36 36 Average 35.91 0.26 Std. deviation 7.65 0.42 Coef. of variation 21.32% 160.99% Minimum 17.93 −0.62 Maximum 52.06 0.92 Extent 34.13 1.54 Std. skewness −0.24 0.53 Std. Kurtosis 0.21 0.77 Table 5. Summary statistics of LST and NDVI. In this case, the measurements of Standardized Skewness for LST γ1 = −0.24 means an asymmetry on the left. For NDVI γ1 = 0.53 means positive Skewness and indicates an asymmetry on the right. The measurements of standardized Kurtosis show values in LST γ2 = 0.21 and in NDVI 0.77 that may be classified as Mesokurtic distributions. 3.3.2. Simple Regression-LST in the Function of NDVI The adjusted model R2 explains 78.21% of the variability in LST. The correlation coefficient is −0.88, indicating a moderately strong negative relationship between the variables (Table 6). The standard error of estimation indicates that the standard deviation of the residues is 3.62. The average absolute error of 2.63 is the average value of the residues. The Durbin-Watson (DW) statistic allows determining if there is a significant correlation based on the order in which they appear in the data file. Since the probability value is less than 0.05, this indicates a possible serial autocorrelation of the residues at the 95.0% confidence level. Display the residues with the observation numbers to see if there is a particular shape in the graph. Table 6. Regression simple linear model. Table 6. Regression simple linear model. Table 6. Regression simple linear model. Correlation Coefficient −0.88 R2 78.21% R2 (adjusted) 77.57% Estimation of the standard deviation of the residue 3.62688 Mean absolute error 2.63072 Durbin-Watson statistic 0.406548 (p = 0.0000) Analyze of variance p-value 0.0000 Correlation Coefficient R2 R2 (adjusted) Estimation of the standard deviation of the residue Mean absolute error Durbin-Watson statistic Analyze of variance p-value Since the probability value in the ANOVA Table 6 is less than 0.05, there is a statistically significant relationship between LST and NDVI at the 95.0% confidence level. The output shows the results of fitting a model to describe the relationship between LST and NDVI (Figure 7). The equation of the fitted model is Since the probability value in the ANOVA Table 6 is less than 0.05, there is a statistically S ce e p o y e e NO e 6 s ess 0 05, e e s s s c y significant relationship between LST and NDVI at the 95.0% confidence level. The output shows the results of fitting a model to describe the relationship between LST and NDVI (Figure 7). The equation of the fitted model is LST = 40.1265 −16.0562 × NDVI (4) LST = 40.1265 −16.0562 × NDVI (4) LST = 40.1265 −16.0562 × NDVI (4) 12 of 16(5) Plants 2021, 10, 1624 Figure 7. A-Scatterplot of LST and NDVI, B- Plot of the simple linear regression between NDVI and LST. LST = 40,1265 − 16,0562*NDVI −0.7 −0.4 −0.1 0.2 0.5 0.8 1.1 NDVI 17 27 37 47 57 LST Figure 7. A-Scatterplot of LST and NDVI, B- Plot of the simple linear regression between NDVI and LST. LST = 40,1265 − 16,0562*NDVI Figure 7. A-Scatterplot of LST and NDVI, B- Plot of the simple linear regression between NDVI and LST. Figure 7. A-Scatterplot of LST and NDVI, B- Plot of the simple linear regression between NDVI and LST. These results confirm those obtained by using ANOVA and help explain the causes of environmental degradation These results confirm those obtained by using ANOVA and help explain the causes of environmental degradation. 4 Vegetation and Temperature Interannual Variability 4. Vegetation and Temperature Interannual Variability 4. Vegetation and Temperature Interannual Variability Statistical analysis indicates a strong relationship between Land Surface Temperature (LST) and vegetation index (NDVI). This can help us conclude that, over time, the tem- h d h h d d Statistical analysis indicates a strong relationship between Land Surface Tempera- ture (LST) and vegetation index (NDVI). This can help us conclude that, over time, the temperature increases when and where the vegetation cover decreases, and vice versa. perature increases when and where the vegetation cover decreases, and vice versa. The study area is characterized by the presence of cultivated and wild plant species. However, since 1984, the vegetation cover of the study area has decreased significantly due to habitat fragmentation, overgrazing, deforestation, desertification, and other an- thropic and climatic threats. This has a significant effect on the reduction of the area cov- ered, and on the increase in temperature. The NDVI study reveals this alarming degrada- g The study area is characterized by the presence of cultivated and wild plant species. However, since 1984, the vegetation cover of the study area has decreased significantly due to habitat fragmentation, overgrazing, deforestation, desertification, and other anthropic and climatic threats. This has a significant effect on the reduction of the area covered, and on the increase in temperature. The NDVI study reveals this alarming degradation of the vegetation tion of the vegetation Between 1984–1994 (Figure 8), natural vegetation covered 94.3% of the study area before being decreased to 43.3% in 1994, and the forest covering 31% of the watershed was reduced to 5%. The sparse vegetation such as grasslands or senescent shrubs and shrubs covered 63.2% was reduced to 36.9%. The bare ground, which affected 5.7% at earlier g Between 1984–1994 (Figure 8), natural vegetation covered 94.3% of the study area before being decreased to 43.3% in 1994, and the forest covering 31% of the watershed was reduced to 5%. The sparse vegetation such as grasslands or senescent shrubs and shrubs covered 63.2% was reduced to 36.9%. The bare ground, which affected 5.7% at earlier times, reached 47.7% in 2017. Figure 8. Evolution of different land cover between 1984 and 2017. 1984 1994 2005 2007 2016 2017 0 10 20 30 40 50 60 70 Bare land Sparse vegetation Forest Figure 8. Evolution of different land cover between 1984 and 2017. gure 8 Evolution of different land cover between 1984 and 20 Figure 8. 4 Vegetation and Temperature Interannual Variability 4. Vegetation and Temperature Interannual Variability Evolution of different land cover between 1984 and 2017. Plants 2021, 10, 1624 13 of 16 13 of 16 Between 1994 and 2007, the vegetation cover continued to deteriorate progressively. Bare soil area increased to 64.6%, sparse vegetation continued to decline by 28.2%, even though the forest improved slightly by 7.2%. g p g y y From 2006 to 2009 within the framework of the LIFE-Pays-Tiers program (mainly Mediterranean and Baltic Sea countries), funded by the European Union. At the Moroccan level, the CRTS (Royal Center for Spatial Remote Sensing), the MAPM (Ministry of Agri- culture), and the HCEFLCD (High Commission for Water, Forests and the Fight against Desertification) [30], were involved in the nature conservation project, regeneration and forest management. It is thus fitting that the vegetation cover had improved noticeably between 2007 and 2017 in the study area. y In 2016, we can note that the bare soil area was reduced by 45.3% and the sparse vege- tation layer significantly increased by 46.3%. Dense vegetation and forest also improved in the northwest area by 8.3%. Between 2016 and 2017, there was a slight deterioration, where the bare soil increased by 2.7%, the sparse vegetation layer decreased by 1.9%, while forests increased by 0.4% of the Oued Lahdar watershed. The slight improvement observed can be explained by the exceptionally rainy years from 2008 to 2010 that had never been known since dry years similar to that of the 80s (INRA). In addition, Morocco adopted a National Action Program to Combat Desertifi- cation (NAP-CD) in June 2001 [31]. As a result, several integrated projects have been implemented for the development of forest areas and arboriculture, in particular olive trees, the development of watersheds, rain-fed agricultural land, and rangelands, which in our study area can be explained by the increase in forests by 8% in 2016. Besides, stricter control of water, forest management, and agriculture on natural resources (water, forests, soils, etc.). The geographical studies of the LST (Figure 9) show that between 1984 and 1994, the temperature in the study area (the Oued Lahdar watershed) varied as follows: the low temperature covered 42% and decreased to 1.2% in 1994, the medium temperature covered 51% and became 63.9%, the high temperature covered only 1.2% before being increased to 34.6% later. 14 Figure 9. Evolution of different land surface temperatures between 1984 and 2017. 4 Vegetation and Temperature Interannual Variability 4. Vegetation and Temperature Interannual Variability 0.0 10.0 20.0 30.0 40.0 50.0 60.0 70.0 80.0 90.0 100.0 1984 1994 2005 2007 2016 2017 Very low temperature Low temperature Medium temperature High temperature Very high temperature Extremly high temperature Figure 9. Evolution of different land surface temperatures between 1984 and 2017. Figure 9. Evolution of different land surface temperatures between 1984 and 2017. d h l d d 0.0 10.0 20.0 30.0 40.0 50.0 60.0 70.0 80.0 90.0 100.0 1984 1994 2005 2007 2016 2017 Very low temperature Low temperature Medium temperature High temperature Very high temperature Extremly high temperature Figure 9. Evolution of different land surface temperatures between 1984 and 2017. gure 9. Evolution of different land surface temperatures between 1984 and 20 Figure 9. Evolution of different land surface temperatures between 1984 and 2017. Plants 2021, 10, 1624 14 of 16 14 of 16 Between 1994 and 2007, the normal temperature area decreased continuously to 0.5% in 2005, while the medium and high-temperature areas were 59.2% and 40.3% of the total study area respectively. The year 2007 witnessed an alarming increase in temperature in the entire study area, with the medium temperature covered 5.2%, the area with high-temperature presented 48%, where the one with very high covered 37.7%, and the extremely high temperature appeared with 8.7%. In 2007, the increase in LST reached maximum values, resulting from the combination of the last droughts recorded in the 1980s, 1990s, and the early 2000s and global warming of the planet. g g p From the years 2008–2010 which were exceptionally rainy, the LST started to drop, and also there was no significant drought after 2010. Areas with very high temperatures decreased (from 37.7% in 2007 to 1.2% in 2016 and 3.6% in 2017) in favor of areas with high temperatures, which increased from 48% to 86.1% and 82.2% in the same order. Areas with medium temperature increased from 5.6% to 12.6 % and 14.2% in the same order. The decreasing of LST still didn’t reach the normal state in the watershed Oued Lahdar. 5. Conclusions This study explored the spatial and temporal relationship between LST and NDVI over the Oriental Rif of Morocco. LST and NDVI investigated over the last 33 years showed that the study area can be considered as a fragile state of the Mediterranean environment, which was impacted by multiple anthropogenic and climatic degradation factors. p y p p g g From 1984 to 2017, the land surface temperature had increased from 1984 to 2007 due to droughts, while a gradual decrease was registered after 2007 due to the partial restoration of vegetation in the Watershed after the rainy years 2008–2010. This finding could reflect the effect of vegetation cover thermoregulation. In Morocco, the rainy years after 2008 have reduced the negative effects of drought, and therefore, they have played a crucial role in the restoration of vegetation, which is showing good results in the Watershed of the Oued Lahdar. In comparison with diachronic analysis, on aerial photographs between 1986 and 2006, authors assessed forest decline at the equivalent of 5000 ha/year [15]. Another study reported the vegetation cover on Oued Sra watershed, neighboring Lahdar, showed that the forest cover which occupied 38% in 1986, decreased to 19% in 2006 and 15% in 2013 [32]. Furthermore, in the Taounate region, forest cover decreased by 11.76% from 1982 to 1992 [33]. The monitoring of land cover time series provides an overview of the increase or decrease of vegetation, while if we combine them with LST time series, they can become a good characterization of droughts in terms of identification and monitoring sensitive areas to be protected before reaching the desertification. Author Contributions: H.K. and M.B.: writing—original draft; F.J.: formal analysis; H.M.: formal analysis, A.S.: methodology and supervision, E.A.: revision and editing, A.A.G.: revision and editing, M.A.: revision and editing All authors have read and agreed to the published version of the manuscript. Funding: This work was funded by Taif University Researches Supporting Project number (TURSP- 2020/13), Taif University, Taif, Saudi Arabia. Data Availability Statement: The data used to support the findings of this study are available from the corresponding author upon request. Acknowledgments: The authors are grateful to Taif University Researches Supporting Project num- ber (TURSP-2020/13), Taif University, Taif, Saudi Arabia. The authors are also grateful to the USGS portal for providing the LANDSAT data for the analysis. Conflicts of Interest: The authors declare that they have no conflict of interest. References [CrossRef] Vulnerability of North African Countries to Climatic Changes; IISD: Winnipeg, MA, Canada, 2003. 11. Agoumi, A. Vulnerability of North African Countries to Climatic Changes; IISD: Winnipeg, MA, Canad 12. Benmohammadi, A.; Benmohammadi, L.; Ballais, J.; Riser, J. Analyse des inter-relations anthropiques et naturelles: Leur impact sur la recrudescence des phénomènes d’ensablement et de désertification au sud-est du Maroc (vallée de Drâa et vallée de Ziz). Sécheresse 2000, 11, 297–308. , , 13. Driouech, F. Distribution des Précipitations Hivernales sur le Maroc dans le Cadre d’un Changement Climatique: Descente D’échelle et Incertitudes. 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Tariq, A.; Riaz, I.; Ahmad, Z.; Yang, B.; Amin, M.; Kausar, R.; Andleeb, S.; Farooqi, M.A.; Rafiq, M. Abbreviations NDVI Normalized Difference Vegetation Index LST Land surface temperature 5. Conclusions Conflicts of Interest: The authors declare that they have no conflict of interest. 15 of 16 Plants 2021, 10, 1624 Abbreviations 27. Fennane, M.; Ibn Tattou, M.; Mathez, J.; Ouyahya, A.; El Oualidi, J. Flore Pratique du Maroc; Institut Scientifique de Rabat: Rabat, Morocco, 2007; Volume 2. References 1. Verner, D.; Treguer, D.; Redwood, J.; Christensen, J.; McDonnell, R.; Elbert, C.; Konishi, Y. Climate Variability, Drought, and Drought Management in Tunisia’s Agricultural Sector; World Bank: Washington, DC, USA, 2018. g g son of stream bank erosion processes on forested and moorland streams in the Balquhidder Catchments rth Surf. Process. Landf. 1997, 22, 383–399. [CrossRef] g g g 2. Stott, T. 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Environ. 2007, 106, 375–386. [CrossRef] 9. Lu, D.; Weng, Q. A survey of image classification methods and techniques for improving classification performance. Int. J. Remote Sens. 2007, 28, 823–870. [CrossRef] 10. Collins, J.M. Temperature variability over Africa. J. Clim. 2011, 24, 3649–3666. 28. Fennane, M.; Ibn Tattou, M.; Mathezk, J.; Ouyahya, A.; El Oualidi, J. Flore Pratique du Maroc; Institut Scientifique de Rabat: Rabat, Morocco, 1999; Volume 1. pp 33. FAO. Rapport National. Evaluation Des Ressources Forestières Mondiales; FAO: Rome, Italy, 2015. 30. El Khatri, S.; El Hairech, T. Drought Conditions and Management Strategies in Morocco. 2014. //www.droughtmanagement.info/literature/UNW-DPC_NDMP_Country_Report_Morocco_2014.pdf g g y p p 31. Wilkie, M.L. Evaluation des Ressources Forestière Mondiales; FAO: Rome, Italy, 2010. 29. Aghajanlou, F.; Mirdavoudi, H.; Shojaee, M.; Mac Sweeney, E.; Mastinu, A.; Moradi, P. Rangeland management and ecological adaptation analysis model for astragalus curvirostris boiss. Horticulturae 2021, 7, 67. [CrossRef] y 32. Al Karkouri, J. Les Milieux Montagneux Marocains à L’épreuve du Changement Climatique (Cas de l Thesis, Université Ibn-Tofail, Kenitra, Morroco, 2017; pp. 237–267. , ; , y, 32. Al Karkouri, J. Les Milieux Montagneux Marocains à L’épreuve du Changement Climatique (Cas de la Montagne Rifaine). Ph.D. Thesis Université Ibn Tofail Kenitra Morroco 2017; pp 237 267 pp 33. FAO. Rapport National. Evaluation Des Ressources Forestières Mondiales; FAO: Rome, Italy, 2015. p y g [ ] 30. El Khatri, S.; El Hairech, T. Drought Conditions and Management Strategies in Morocco. 2014. Available online: https: //www.droughtmanagement.info/literature/UNW-DPC_NDMP_Country_Report_Morocco_2014.pdf (accessed on 8 June 2021). 31 Wilki M L E l ti d R F tiè M di l FAO R It l 2010 28. Fennane, M.; Ibn Tattou, M.; Mathezk, J.; Ouyahya, A.; El Oualidi, J. Flore Pratique du Maroc; Institut Scientifique de Rabat: Rabat, Morocco, 1999; Volume 1. 29. Aghajanlou, F.; Mirdavoudi, H.; Shojaee, M.; Mac Sweeney, E.; Mastinu, A.; Moradi, P. Rangeland management and ecological adaptation analysis model for astragalus curvirostris boiss. Horticulturae 2021, 7, 67. [CrossRef] 30. El Khatri, S.; El Hairech, T. Drought Conditions and Management Strategies in Morocco. 2014. Available online: https: //www.droughtmanagement.info/literature/UNW-DPC_NDMP_Country_Report_Morocco_2014.pdf (accessed on 8 June 2021). 31. Wilkie, M.L. Evaluation des Ressources Forestière Mondiales; FAO: Rome, Italy, 2010. 32. Al Karkouri, J. Les Milieux Montagneux Marocains à L’épreuve du Changement Climatique (Cas de la Montagne Rifaine). Ph.D. Thesis, Université Ibn-Tofail, Kenitra, Morroco, 2017; pp. 237–267. 33. FAO. Rapport National. Evaluation Des Ressources Forestières Mondiales; FAO: Rome, Italy, 2015. El Khatri, S.; El Hairech, T. Drought Conditions and Management Strategies in Morocco. 2014. Av //www.droughtmanagement.info/literature/UNW-DPC_NDMP_Country_Report_Morocco_2014.pdf (acc Wilki M L E l ti d R F tiè M di l FAO R It l 2010 29. Aghajanlou, F.; Mirdavoudi, H.; Shojaee, M.; Mac Sweeney, E.; Mastinu, A.; Moradi, P. Rangeland management and ecological adaptation analysis model for astragalus curvirostris boiss. Horticulturae 2021, 7, 67. [CrossRef] 30. El Khatri, S.; El Hairech, T. Drought Conditions and Management Strategies in Morocco. 2014. Available online: https: //www.droughtmanagement.info/literature/UNW-DPC_NDMP_Country_Report_Morocco_2014.pdf (accessed on 8 June 2021). 31. Wilkie, M.L. Evaluation des Ressources Forestière Mondiales; FAO: Rome, Italy, 2010. 32. Al Karkouri, J. Les Milieux Montagneux Marocains à L’épreuve du Changement Climatique (Cas de la Montagne Rifaine). Ph.D. Th i U i ité Ib T f il K it M 2017 237 267 References Land surface temperature relation with normalized satellite indices for the estimation of spatio-temporal trends in temperature among various land use land cover classes of an arid Potohar region using Landsat data. Environ. Earth Sci. 2020, 79, 40. [CrossRef] g g 25. Alavi panah, S.K.; Kiavarz Mogaddam, M.; Karimi Mogaddam, M. Monitoring Spatiotemporal Changes of Heat Island in Babol City Due to Land Use Changes. Int. Arch. Photogramm. Remote Sens. Spat. Inf. Sci. -ISPRS Arch. 2017, 42, 17–22. [CrossRef] panah, S.K.; Kiavarz Mogaddam, M.; Karimi Mogaddam, M. Monitoring Spatiotemporal Changes of Hea 26. Fennane, M.; Ibn Tattou, M.; Mathezk, J.; Ouyahya, A.; El Oualidi, J. Flore Pratique du Maroc; Institut Scientifique de Rabat: Rabat, Morocco, 2014; Volume 3. 27. Fennane, M.; Ibn Tattou, M.; Mathez, J.; Ouyahya, A.; El Oualidi, J. Flore Pratique du Maroc; Institut Scientifique de Rabat: Rabat, Morocco, 2007; Volume 2. Plants 2021, 10, 1624 16 of 16 y 32. Al Karkouri, J. Les Milieux Montagneux Marocains à L’épreuve du Changement Climatique (Cas de la Montagne Rifaine). Ph.D. Thesis, Université Ibn-Tofail, Kenitra, Morroco, 2017; pp. 237–267. 33. FAO. Rapport National. Evaluation Des Ressources Forestières Mondiales; FAO: Rome, Italy, 2015
https://openalex.org/W4387193988
https://zenodo.org/records/8388353/files/Police%20Record%20Management.pdf
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POLICE RECORD MANAGEMENT: IDENTIFICATION OF THE PROBLEMS ENCOUNTERED BY POLICE PERSONNEL IN THE FIRST CONGRESSIONAL DISTRICT OF ZAMBOANGA DEL NORTE
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POLICE RECORD MANAGEMENT: IDENTIFICATION OF THE PROBLEMS ENCOUNTERED BY POLICE PERSONNEL IN THE FIRST CONGRESSIONAL DISTRICT OF ZAMBOANGA DEL NORTE (a) Joseph B. Bangalando, (b) Jerome M. Guillena, (c) Junalisa I. Uguis, (d) Leo C. Naparota, PhD (e) Love H. Falloran, PhD (f) Ronnel T. Lampawog, MSCJ Research in Management and Humanities DWIJMH VOL 2 NO 3 (2023) ISSN: 2980-4817 Available online at www.dwijmh.org Journal homepage: http://www.dwijmh.org © 2023 by the authors. Licensee DWIJMH. 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/). A R T I C L E I N F O This paper determined the effectiveness of police records management in the first congressional district of Zamboanga del Norte. To achieve this goal, a quantitative research method was employed, utilizing both descriptive-survey and descriptive-correlational approaches. The study had a sample size of thirty (30) respondents, and several statistical tools were utilized, including frequency count and percent, weighted mean, Mann-Whitney U Test, Kruskal-Wallis H Test, and Spearman rank-order correlation. Article history: Received: May 15, 2023 Received in rev. form: August, 15, 2023. Published: September 30, 2023. Keywords: police personnel, police records management, attributes JEL Classification: E23; M 15 The findings of the study revealed that the respondents perceived the attributes of records management, such as records creation, records retention and disposition, records storage and maintenance, records access and retrieval, and appropriate use of technology and records management program, as "very much effective." However, their perception of archival records management was rated as "much effective." These results indicate that while the overall records management system was considered effective, there is room for improvement specifically in the management of archival records. Additionally, the study showed that the problems encountered by police personnel in managing police records were not significant, and the factors contributing to these problems were of least concern. This implies that the existing issues faced by police personnel in record management were not severe and did not hinder the overall effectiveness of the system. It is worth noting that there was no established relationship between the attributes of police record management and the problems encountered, suggesting that officers who were highly competent in managing records did not necessarily face major difficulties. In conclusion, the study suggests that the police records management system in the first congressional district of Zamboanga del Norte is largely effective. However, there is a need for improvement in the management of archival records. Efforts should be made to address any existing problems and enhance the overall record management process to ensure a smoother and more efficient system. Introduction © 2023 by the authors. Hosting by DWIJMH. Peer review under responsibility of Divine Word International Journal of Management and Humanities. * Corresponding author. ORCID ID: 0000-0002-9693-1541 4 * Corresponding author. ORCID ID: 0000-0002-9693-1541 Divine Word International Journal of Management and Humanities 2(3)(2023) 451-473 Divine Word International Journal of Management and Humanities 2(3)(2023) 451-473 * Corresponding author. ORCID ID: 0000-0002-9693-1541 © 2023 by the authors. Hosting by DWIJMH. Peer review under responsibility of Divine Word International Journal of Management and Humanities. Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Records are vital to the functioning of an organization. The day-to-day operations of any successful organization rely entirely on its records (Bakare, Abioye, & Issa, 2016). Additionally, the importance of easily accessible, accurate, and timely records in fulfilling an organization's mission cannot be overstated. Records such as calls for service records, investigative records, arrest records, criminal identification records, detention records, and civil records contain valuable information that, when combined with data from other jurisdictions, can aid investigations at all levels, ultimately contributing to national safety and security (FBI, 1984). Both private and public organizations acknowledge that records are necessary for their efficient and effective operation. Records document the decisions and activities of governments and other organizations, serving as benchmarks against which future activities and decisions can be evaluated (World Bank, 2006). Various studies have established the link between a records management system and effective law enforcement (FBI, 1984; Ngoepe, 2014). Law enforcement agencies rely on records management systems to provide accurate information for carrying out their mission of enforcing laws and protecting the public. If data is not properly recorded, the accuracy of the input is compromised, rendering the law enforcement system ineffective. Despite this reciprocal relationship between the law enforcement system and records management, it has been observed that most governmental bodies' risk registers do not include records management, and risk committees often lack representation from records management practitioners. In many governmental organizations, risk management falls under the purview of internal audit functions. Within this context, the present study aims to assess police record management and identify the problems encountered by police personnel in the first congressional district of Zamboanga del Norte. Additionally, the study explores the relationship between the attributes of police record management and the problems encountered. Through this research, evidence-based decisions about records management can be derived, developed, and promoted, leading to improved practices and problem identification. Literature Review The purpose of the literature review is to deepen the understanding of the main concepts or theories of the current topic related to police record management. Introduction Effective records management is crucial for the survival and success of organizations. Without well-kept, maintained, and utilized records, organizations are left to make ad hoc decisions without the benefit of institutional memories (Bakare, Abioye, & Issa, 2016). Poorly managed records can become a liability, hindering operations, and draining resources (Ridener, 2009). Moreover, the time spent on sorting and locating information from large volumes of records when they are poorly managed is significant. The high rate of misplaced or lost records, which often contain valuable information for decision making, poses a challenge to effective record-keeping (Bakare, Abioye, & Issa, 2016). 451 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Police Record Management According to the FBI's Manual of Law Enforcement Records (1984), "records" are defined as information created, received, and preserved as proof and information by an organization or individual to fulfill legal obligations or conduct business. The International Council on Archives (ICA) Committee on Electronic Records offers a broader perspective, defining records as "recorded information generated or received during the initiation, execution, or completion of an institutional or individual activity, and that possesses content, context, and structure sufficient to provide evidence of the activity." For the purpose of this paper, records are specifically limited to documents or electronic files directly related to law enforcement operations, encompassing incidents, arrests, citations, warrants, case management, field contacts, and similar aspects. The introduction of an incident/offense-based reporting system was developed with the aim of enhancing the accuracy of information captured for report writing and recordkeeping activities. Implementing a comprehensive Records Management System (RMS) that incorporates standardized records, such as incident/offense reports, yields significant benefits for law enforcement agencies. Additionally, the incident-based system proves invaluable in identifying reported criminal activity across different geographical areas (Saraih et al., 2021). In the dynamic context of today's global interconnectedness, the significance of maintaining excellent record- keeping and implementing efficient information-sharing methods has escalated exponentially. Beyond their intrinsic value in providing critical internal information such as supporting business operations and managing cases, records play a pivotal role as the official repository of an agency's investigative history. As law enforcement agencies now face the imperative to communicate and cooperate across geographical borders and continents in their mission to protect citizens, the necessity for seamless record management and information exchange has become paramount. With the law enforcement community evolving into a more diverse landscape, the requirement for accurate and timely data is indispensable for a multitude of objectives, ranging from strategic planning and budgeting to resource allocation and the comprehensive evaluation of police performance and experimental program efficacy (Buen et al., 2017). Record Management This study draws its foundation from Buckland's Records Management Theory (1994), as articulated in his seminal work "On the Nature of Records Management Theory." Buckland's theory posits that effective records management involves regulating access to an organization's operational records. Consequently, this undertaking encompasses various intricate aspects, including (1) information retrieval, (2) the life cycle of records, and (3) information policy. Supporting this perspective, Uwaif (2004) emphasizes that records management theory provides an established framework and methodology for ensuring the systematic management of all records and the information they encompass. Aligning closely with this theory, the current research identifies the prevalent challenges in record management encountered by police personnel in the first district of Zamboanga del Norte, as well as the underlying factors contributing to these problems. 452 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 measures that are unambiguous and enforceable to govern the management of police records and other relevant information (Chokprajakchat et al., 2021). The study conducted by Buen et al. (2017) shed light on prevalent challenges faced by police personnel, including inadequate storage for files and records, as well as the time-consuming nature of locating necessary documents. Insufficient storage capacity often results in improper organization, misplacement, and loss of critical papers. Moreover, the lack of efficient storage systems leads to wastage of valuable time spent on searching for essential files. As the volume of records continues to increase, the lack of corresponding expansion in storage capacity leads to disarray and difficulties in locating necessary files. Recognizing the pivotal role of records management, the researchers emphasize that excellent and proper recordkeeping should be regarded as a vital element of well-governed organizations, rather than a fortuitous aspect (Timbur, 2017). Sharing effective records management techniques and processes with government-owned or sponsored statutory organizations offers tangible benefits by enhancing corporate governance and fostering good management practices. According to Saraih et al. (2021), changes in administration emerged as a significant trigger for record management challenges, as policy shifts with each new administration or the arrival of new police personnel in the records department can create confusion and disrupt established practices. Police Record Management Challenges Recent studies have brought to light alarming issues concerning the management of police data, encompassing inadvertent document deletions and the failure to inform relevant EU nations about murder convictions of individuals within the UK. Given the gravity of these concerns, it is essential for the Code of Practice to incorporate robust controls that effectively prevent such occurrences (Sulaiman et al., 2021). Additionally, the Code should provide clear guidance on redress mechanisms and disciplinary procedures in cases of misuse or major failures. Furthermore, the potential loophole whereby officers under investigation can evade disciplinary proceedings by resigning from their positions, as witnessed in past disciplinary procedures prior to the establishment of Professional Standards in the Metropolitan Police, raises further uncertainty. The recording, storage, management, and deletion of police information can pose substantial threats to privacy and other fundamental rights. Therefore, it is imperative to establish stringent oversight and transparency 453 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Police undertake a wide range of responsibilities encompassing pursuing, arresting, and charging criminals, preventing crime, dealing with traffic offenses and accidents, resolving conflicts in their communities, reducing social disorder, and establishing and maintaining community relations. Evaluating police performance is a complex task with multiple dimensions (Coleman, 2012; Maguire, 2003; Moore and Braga, 2003; Maslov, 2015). It is challenging to measure the performance of all aspects of police work using a single metric. As police expenses continue to rise, it becomes unsustainable for many jurisdictions, especially when competing priorities like education and healthcare require public funding. This concern has been expressed by provinces, municipalities, and policing stakeholders, who find it difficult to justify the high costs of police services (Brennan, 2014; CBC, 2013). In an era of limited resources, assessing and evaluating police performance becomes increasingly important to ensure that the service is effectively meeting its objectives. Performance evaluation of public organizations has gained significant importance in the past decade (Whitaker et al., 1982, as cited by Chaiwutissak, 2019). Systematic assessments and evaluations are increasingly used to plan, sustain, initiate, or terminate governmental programs. Police departments, like other government agencies, face the challenge of justifying their budgets, programs, procedures, and future directions. However, most police departments' performance measurement efforts fall short in meeting these demands. While police officers have access to advanced technologies and generate substantial amounts of data, the quality and extent of these figures are often overlooked by other government officials and the public as indicators of police success. The primary function of police officers is to protect life and property and ensure the appropriate measurement of all security and crime prevention functions, with citizen safety being the most crucial (Muhammad et al., 2020). The country faces increasingly severe challenges in maintaining peace and order (Laguyo, 2020). To address this, internal improvements and transformations are necessary, which can be achieved through excellent training programs. Recording incidents is vital for police departments to stay informed about the happenings in their jurisdiction. These records aid in informing follow-up actions and addressing specific types or patterns of crime. Citizens rely on these reports for legal purposes and insurance claims. It is essential for police agencies to report crimes at various levels, from local to county, state, and national, to calculate crime rates and identify trends (Cunningham, 2021). Police Personnel The effectiveness of work within an organization is a critical factor in its overall success. Organizations that establish adequate processes to support and enhance their employees' job performance are more likely to achieve a strong return on investment and experience rapid, effective, and sustainable growth. Conversely, a lack of proper processes that promote and enhance internal employee work effectiveness results in ineffective and disengaged employees who struggle to meet the necessary job performance standards (Tengpongsthorn, 2017). These unfavorable conditions directly impact employees' ability to utilize their full range of skills and competencies, leading to a detrimental effect on the improvement of work processes within the company and causing slow organizational development (Guss et al., 2020). Police officers hold a pivotal position in the economic and social development of a nation, given their essential role and authority in maintaining public security, ensuring safety, and safeguarding communal assets that are fundamental to meeting the basic needs of individuals in society (Chokprachakchat, 2011; Guss et al., 2020). A secure and stable environment is crucial for fostering progress and development across various facets of civilization. Additionally, the functions and responsibilities of police personnel have a significant impact on a country's infrastructure development (Royal Thai Government Gazette, 2004; Timbur, 2017). Timbur's (2017) study highlights the substantial influence of knowledge and skills on police officers' ability to demonstrate appropriate work competences. Creating a work environment that offers employment security positively contributes to job performance, while fair remuneration assists in meeting officers' social welfare needs, thereby enhancing their overall performance within the police service. 454 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 The independent variable is the common problems encountered in managing police records, including issues related to records creation, retention, storage, access, technology use, archival records, and program integration. The mediating variable is the perceived attributes of police record management, representing how police personnel perceive the effectiveness and efficiency of various record management aspects. The dependent variable is the factors contributing to the problems encountered in managing police records. These factors can be organizational, technological, or procedural in nature. The arrows in the framework represent the relationships between the variables. It is expected that the common problems directly influence the perceived attributes of record management, while the factors contribute to the occurrence and severity of these problems. This framework aims to understand the common problems in police record management, their impact on perceived attributes, and the factors influencing these problems. The findings will inform strategies to improve record management practices, enhance efficiency, and ensure the integrity and accessibility of police records. Conceptual Framework The conceptual framework depicted in Figure shows the relationship between the independent variable, which encompasses the common problems encountered by police personnel and the factors that contribute to these problems. The dependent variable in this framework is the police record management. The arrow from the independent variable to the dependent variable signifies the connection between the common record-related issues faced by police personnel and their impact on the management of police records. The conceptual framework illustrates the relationship between three key variables: common problems in managing police records, perceived attributes of police record management, and factors contributing to these problems. 455 Conceptual Framework Independent Variables Dependent Variables Figure 1 Conceptual Framework Demographic Profile of the Respondents • age • gender • marital status • length in service Attributes of Police Record Management • Records Creation • Records Retention and Disposition • Records Storage and Maintenance • Records Access and Retrieval • Appropriate Use of Technology • Archival Records • Records Management Program Integration • Problems encountered by Police Personnel relating to records • Factors precipitating the problems in record management Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 The dependent variable in this framework is the police record management. The arrow from the independent variable to the dependent variable signifies the connection between the common record-related issues faced by police personnel and their impact on the management of police records. Statement of the Problem This study identified the common problems encountered by police personnel related to managing police records. More specifically, the researchers seek to determine the following: 1. What is the profile of the respondents in terms of: 1.1 age 1.2 gender 1.3 marital status and 2. What is the level of the respondent’s perceived attributes of police record management in terms of: 2.1 records creation; 2.2 records retention and disposition; 3. How serious do the problems encountered by police personnel in managing police records? 4. To what extent do the factors precipitating the problems encountered by police personnel in managing police records? 5. Is there a significant relationship between the perceived attributes of police records management and the problems in managing records? 6. Is there a significant relationship between the perceived attributes of police record management and the factors precipitating the problems in managing record? Independent Variables 456 Methodology The study employed rigorous research methodologies including research design, data gathering instruments, population, study locale, data gathering procedures, and statistical treatment of data. Research Design In this study descriptive method of research is employed by utilizing a checklist questionnaire. The main goal of this study is to identify the common problems encountered by police personnel regarding record management, and the factors precipitating the problems in record management. Additionally, the researchers intend to establish relationship between the problems encountered and the factors precipitating the problems encountered by police personnel. Population The target participants of this study are 30 police personnel including the Non-Uniformed Personnel in charge in record management of police stations in the first Congessional district of Zamboanga del Norte. Participating police stations of this study are from Dapitan City, and the municipalities of La Libertad, Mutia, Pinan, Polanco, Rizal, Sergio Osmena Sr., and Sibutad. There will be 3 to 4 police or non-uniformed personnel in each participating stations in charge in record management. Hypothesis The profile of police personnel has a significant relation with their perceived attributes of police record management. The perceived attributes of police record management affect the problems encountered by police personnel in managing police records. Assumption The respondents' self-reported information regarding their profile and perceived attributes of police record management is accurate and reliable. The respondents' self-reported information regarding their profile and perceived attributes of police record management is accurate and reliable. The respondents have sufficient knowledge and experience to assess and evaluate the problems encountered in managing police records. The respondents have sufficient knowledge and experience to assess and evaluate the problems encountered in managing police records. The factors identified as precipitating problems in police record management are valid and comprehensive. ors identified as precipitating problems in police record management are valid and comprehensive. The factors identified as precipitating problems in police record management are valid and compr 457 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Data Gathering Instrument The research instrument that used is the study of Buen et al., (2017). The questionnaire is composed with three (3) sections. The first section is designed to determine the demographic profile of the respondents. The second part are indicators that seeks to identify the common problems encountered by police personnel relating to records. Finally, the third section will determine the factors precipitating the problems in record management. Moreover, rating method will be used to assess the intensity of indicators mentioned in the second and third section of the questionnaire. 458 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Data Gathering Procedure A sample of police personnel was selected to participate in the study. The sampling technique used was probability sampling to ensure representativeness. A random sample of police personnel from different ranks and units was drawn from the target population. A structured questionnaire was developed to gather data on the profile of respondents, the perceived attributes of police record management, the common problems encountered, and the factors contributing to these problems. The questionnaire consisted of both closed-ended and Likert scale questions to facilitate data analysis. Prior to the main data collection, a pilot test of the questionnaire was conducted with a small group of police personnel. This allowed for the identification of any ambiguities, difficulties, or issues in the questionnaire. Based on the feedback received, necessary revisions and improvements were made. The data collection process involved distributing the questionnaires to the selected sample of police personnel. This was done either in person or through an online survey platform, depending on the logistical feasibility and preferences of the participants. Clear instructions and guidelines were provided to ensure consistent and accurate responses. Once the questionnaires were collected, the data was compiled and organized for analysis. Statistical techniques such as descriptive statistics, correlation analysis, and regression analysis were employed to analyze the data and examine the relationships between variables. Ethical Consideration Ethical guidelines and procedures were followed throughout the data gathering process. Informed consent was obtained from all participants, and their confidentiality and anonymity were ensured. The study also adhered to ethical guidelines regarding the handling and storage of data. Statistical Treatment of Data The data collected via the study instrument were meticulously tabulated, categorized, analyzed, and interpreted using suitable descriptive and inferential statistical procedures. Frequency Count and Percentage. This was used to assess and describe the demographics of the respondents. This will be used to calculate the percentage of respondents who have the same attributes or how frequently the traits occur. Standard Deviation. This was used to determine the homogeneity and heterogeneity of the employees scores where SD ≤ 3 is homogenous and SD > 3 is heterogeneous (Aiken & Susane, 2001; Refugio, Galleto, & Torres, 2019). 459 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Weighted Mean. It will be used to quantify and interpret the respondents' responses to the problems encountered by police personnel in relation to record management, as well as the factors that precipitated the problems. Pearson Correlation. This will be used to determine the relationship between the problems encountered by police personnel and the factors precipitating record management Pearson Correlation. This will be used to determine the relationship between the problems encountered by police personnel and the factors precipitating record management Presentation and Analysis of Data Presentation and Analysis of Data Presentation and Analysis of Data Table 1. Profile of Respondents in terms of Age Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Table 3. Profile of Respondents in terms of Marital Status Frequency Percent Single 9 30.0 Married 20 66.7 Separated 1 3.3 Total 30 100.0 Table 3. Profile of Respondents in terms of Marital Status The profile of the respondents in terms of marital status is displayed in Table 3. As seen in the table, most respondents—roughly 67 percent—were married. It showed that Police Officers who were married outnumbered those who were single or separated in the Police Stations studied. It signifies that responsible officers oversee the Police record area of the Police Stations since caring for sensitive data is like caring for the most priceless members of their family, the kids. This present study finding refutes the data revealed by Sulaiman et al., (2021), wherein most of the respondents was single. This may suggest that single police officers are more sensible in terms of records management. Table 4. Profile of Respondents in terms of Length in Service Table 4. Profile of Respondents in terms of Length in Service Frequency Percent 1 – 5 years 5 16.7 6 – 10 years 13 43.3 11 – 15 years 10 33.3 16 years & above 2 6.7 Total 30 100.0 Table 4 displays the profile of respondents based on their length of service. The data reveals that approximately 17% of respondents had served for less than five years, while over 43% had served for more than five years but less than ten years. Further examination of the table indicates that 40% of the police respondents had served for more than ten years. These findings suggest that the length of service of police officers may contribute to their experience in managing police records and applying the law effectively. This finding aligns with the results of Sulaiman et al. (2021), where the majority of their respondents had served for over five years but less than ten years. This supports the assumption of the present study that the length of service of personnel significantly contributes to their capability in handling and managing police records. Table 1. Profile of Respondents in terms of Age Table 1. Profile of Respondents in terms of Age Frequency Percent 20 – 30 years old 5 16.7 31 – 40 years old 20 66.7 41 – 50 years old 5 16.7 Total 30 100.0 Table 1 displays the age profile of the survey respondents, categorized into five groups: 20-30 years old and under, 31-40 years old, 41-50 years old, 51-60 years old, and 61 years old and above. Approximately 17% of the participants were 30 years old or younger. However, the cumulative frequency percent indicated that at least 83% of the respondents were between the ages of 30 and under 50. This suggests that a significant portion of the police force was in their middle years, indicating their capability to perform their duties effectively. This finding aligns with Cappetelli's (2018) study, where the majority of respondents were police personnel aged 31 to 40 years old. Table 2. Profile of Respondents in terms of Gender Frequency Percent Male 17 56.7 Female 13 43.3 Total 30 100.0 Table 2. Profile of Respondents in terms of Gender Table 2. Profile of Respondents in terms of Gender Table 2: presents the gender profile of the respondents, indicating that approximately 57% of the participants were men. This data confirms that most police officers are male, which is consistent with the demographics of the Philippine National Police. Policing has traditionally been a male-dominated profession, resulting in limited representation of women in the field. Similarly, Cunningham's (2021) study, highlighted the traditional male dominance in the occupation of police officers. Therefore, most of the respondents in this study were male. Similarly, Cunningham's (2021) study, highlighted the traditional male dominance in the occupation of police officers. Therefore, most of the respondents in this study were male. 460 Attributes of Police Records Management Table 5. Respondents’ Perception Level of Police Record Management Attributes in terms of Records Creation 461 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023 ne Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Descriptors AWV SD Interpretation 1. Records are sufficient for audits. 4.57 0.679 Very Much Effective 2. Unneeded records and copies are kept to a minimum. 4.23 0.679 Very Much Effective 3. Official copies of records are identified. 4.63 0.490 Very Much Effective 4. Records are available for litigation. 4.57 0.626 Very Much Effective 5. Guidelines and other professional standards are used in records creation. 4.63 0.615 Very Much Effective Overall Mean & SD 4.53 0.505 Very Much Effective AWV-Average Weighted Value, SD-Standard Deviation Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Overall Mean & SD Table 5 illustrates the respondent's perception of the attributes of police record management specifically in terms of records creation. The data indicates that police officers were rated as "very much effective" in all five categories related to records creation. This finding suggests that the police personnel responsible for record management demonstrated a strong understanding of the records creation process, recognizing that the creation or receipt of documents marks the beginning of the records management procedure. This finding contradicts the results of Laguyo et al. (2020), where records creation was rated as moderately effective. This discrepancy implies the need for record management personnel to undergo programs that enhance their abilities in record creation. Table 6. Respondents’ Perception Level of Police Record Management Attributes in terms of Records Retention and Disposition Table 6. Respondents’ Perception Level of Police Record Management Attributes in terms of Records Retention and Disposition Descriptors AWV SD Interpretation 1. Archival records are identified early in their life cycle. 4.50 0.682 Very Much Effective 2. Retention schedules are developed, adopted and used in the normal course of business 4.57 0.626 Very Much Effective 3. Records are systematically disposed of and routinely documented. 4.23 0.679 Very Much Effective 4. Electronic records are retained and disposed of according to retention schedules. 4.20 0.610 Very Much Effective 5. Plans are in place to ensure that electronic records continue to be accessible following the technology changes. 4.40 0.621 Very Much Effective Overall Mean & SD 4.38 0.547 Very Much Effective AWV-Average Weighted Value, SD-Standard Deviation Table 6. Respondents’ Perception Level of Police Record Management Attributes in Retention and Disposition 462 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Table 6 presents the profile of the police record management system regarding document retention and disposition in the surveyed police stations. The data indicates that respondents rated record retention and disposition as "very much effective" in all five items. Overall, the record managers demonstrated a high level of effectiveness in handling the retention and disposal of records. This suggests that the police record managers were knowledgeable about the regulations governing record keeping and disposal, and a retention schedule was implemented in the investigated police stations to determine the lifespan of records at each stage of the information life cycle. This finding contradicts the results of Laguyo et al. (2020), where the mean score for records retention and disposition was interpreted as effective. Table 7. Respondents’ Perception Level of Police Record Management Attributes in terms of Records Storage and Maintenance Descriptors AWV SD Interpretation 1. Inactive records are stored off-site in an in-house or contracted records center. 4.23 0.817 Very Much Effective 2. Vaults and proper shelving are used for the most valuable records. 4.53 0.681 Very Much Effective 3. Microfilm masters, computer backups, and electronic data backup procedures are in place, routinely followed and stored off-site. 4.30 0.915 Very Much Effective 4. Disaster preparedness plans, fire prevention systems, adequate environmental controls and security rules and regulations are in place in storage areas. 4.50 0.731 Very Much Effective 5. Recording format standards are complied with. 4.55 0.736 Very Much Effective Overall Mean & SD 4.42 0.660 Very Much Effective AWV-Average Weighted Value, SD-Standard Deviation Table 7. Respondents’ Perception Level of Police Record Management Attrib Table 7. Respondents’ Perception Level of Police Record Management Attrib Records Storage and Maintenance Table 7. Respondents’ Perception Level of Police Record Management Attributes in terms of Records Storage and Maintenance Records Storage and Maintenance Records Storage and Maintenance Overall Mean & SD Table 7 presents the profile of records storage and maintenance in the analyzed Police Stations' record management system. The data indicates that respondents rated records storage and maintenance as "very much effective" across all five items. Overall, the respondents assessed the Police Stations as highly effective in records storage and maintenance, indicating that records were securely stored in clean and well-guarded areas. This finding suggests that the stations successfully implemented policies related to record keeping and upkeep. This finding aligns with the study conducted by Laguyo et al. (2020), which also indicated a very high level of effectiveness in records storage and maintenance. It implies that police personnel received proper training in safeguarding and maintaining records. 463 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Table 8. Respondents’ Perception Level of Police Record Management Attributes in terms of Records Access and Retrieval Descriptors AWV SD Interpretation 1. Satisfactory filing and locator systems with documented policies and procedures. 4.47 0.776 Very Much Effective 2. Finding aids, such as indexes, are prepared and used. 4.50 0.861 Very Much Effective 3. Policies and procedures regarding access restrictions are developed and used. 4.57 0.728 Very Much Effective 4. Filing equipment is used appropriately. 4.57 0.728 Very Much Effective 5. Electronic database policies and procedures are developed and in use. 4.37 0.999 Very Much Effective Overall Mean & SD 4.49 0.753 Very Much Effective AWV-Average Weighted Value, SD-Standard Deviation ndents’ Perception Level of Police Record Management Attributes in terms of Table 8. Respondents’ Perception Level of Police Record Management Attribute Overall Mean & SD Records access and retrieval refers to the availability of stored documents ready for access and ensures rapid recovery. Table 8 presents the records access and retrieval profile of the police records management system in the Police Stations included in the study. Respondents rated their police record sections as "very much effective" in accessing and retrieving documented information. The overall finding disclosed that the Police records management system of the Police Stations covered in the study was "very much effectively" managed by the Police records officers. It means that records in the stations were made accessible and could be retrieved when the need arose. It may also imply that records in the station were accessible and retrievable by the public. The current study result was supported by the findings of Laguyo et al., (2020), in terms of records access and retrieval, the investigated police personnel were very much effective in doing so. This signifies that the personnel were highly effective in accessing and retrieving records. Table 9. Respondents’ Perception Level of Police Record Management Attributes in terms of Appropriate Use of Technology Descriptors AWV SD Interpretation 1. Recordkeeping requirements is taken into account in technology implementation. 4.40 1.070 Very Much Effective 2. PNP standards for acquiring and implementing technology are complied with. 4.37 0.964 Very Much Effective 3. Adequate technical support is available internally or via contract. 4.43 0.935 Very Much Effective Table 9. Respondents’ Perception Level of Police Record Management Attrib Appropriate Use of Technology 464 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 4. Formal electronic filing structures and policies for electronic recordkeeping are in place. 4.47 0.937 Very Much Effective 5. Adequate training for staff in the use of technology. 4.33 0.711 Very Much Effective Overall Mean & SD 4.40 0.863 Very Much Effective AWV-Average Weighted Value, SD-Standard Deviation Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Overall Mean & SD Table 9 provides insights into the indicators of the "appropriate use of technology" in the study, focusing on cost-effectiveness, productivity, and efficiency. Respondents consistently rated all five indicators as "very much effective." This implies that the police stations effectively implemented technology that aligned with recordkeeping requirements, complied with Philippine National Police standards, provided adequate technical support, had formal electronic filing structures and policies, and offered sufficient training for staff in technology usage. Overall, respondents rated their stations as highly effective in terms of the appropriate use of technology. This suggests that police stations embraced technological advancements, considering factors such as scale, labor, energy efficiency, environmental sustainability, and local control. It indicates that the stations viewed technology as a tool for intellectual, societal, and cultural advancement. This finding contradicts the findings of Laguyo et al. (2020), where the results indicated a moderately effective rating for the appropriate use of technology. This suggests that police personnel in their study had a moderate familiarity with selecting the right technology for effective records management. Table 10. Respondents’ Perception Level of Police Record Management Attributes in terms of Archival Records Descriptors AWV SD Interpretation 1. Records reference use areas are available for the public. 4.10 0.923 Much Effective 2. Policies and procedures are in place for use of records by the public. 4.07 0.828 Much Effective 3. Information sharing with other agencies or organizations is done to develop and distribute finding aids to access to archival records is improved. 4.03 0.809 Much Effective 4. Records are used for exhibits and education. 4.03 1.033 Much Effective 5. The internet and marketing strategies are made available and are in place for public access to and actual use of records. 4.00 0.983 Much Effective Overall Mean & SD 4.05 0.858 Much Effective AWV-Average Weighted Value, SD-Standard Deviation Table 10. Respondents’ Perception Level of Police Record Management Attribut Archival Records Table 10. Respondents’ Perception Level of Police Record Management Attribut spondents’ Perception Level of Police Record Management Attributes in terms of 465 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Archival records are materials preserved for their valuable knowledge or as evidence of roles and responsibilities. They include papers, texts, images, videos, sound recordings, and more. Table 10 shows the archival records profile in the investigated Police Stations, with each indicator receiving a "much effective" rating. This indicates that the Police staff recognized the importance of preserving records for their enduring significance. The findings align with Laguyo et al.'s (2020) study, supporting the assumption that records should be preserved. Table 11. Respondents’ Perception Level of Police Record Management Attributes in terms of spondents’ Perception Level of Police Record Management Attributes in terms of gement Program Integration spondents’ Perception Level of Police Record Management Attributes in terms of Table 11. Respondents’ Perception Level of Police Record Management Attribut Records Management Program Integration Table 11. Respondents’ Perception Level of Police Record Management Attribut Table 11. Respondents’ Perception Level of Police Record Management Attributes in terms of Records Management Program Integration Descriptors AWV SD Interpretation 1. Records management policies and procedures are in place and updated regularly. 4.50 0.731 Very Much Effective 2. Records policies and procedures and routinely and consistently communicated to the staff. 4.47 0.730 Very Much Effective 3. A disaster preparedness plan is in place and reviewed regularly. 4.40 0.855 Very Much Effective 4. A records management advisory council, officer and staff are appointed and active. 4.60 0.675 Very Much Effective 5. Staffs attends archives workshops, professional conferences, and other educational events. 4.20 0.761 Very Much Effective Overall Mean & SD 4.43 0.671 Very Much Effective AWV-Average Weighted Value, SD-Standard Deviation Records Management Program Integration SD-Standard Deviation Table 12 presents the summary profile of the police records management system in the investigated Police Stations. The respondents rated the system as "very much effective" in six indicators, including records creation, retention and disposition, storage and maintenance, access and retrieval, appropriate use of technology, and records management program integration. Archival records received a rating of "much effective." Overall, the record managers were highly effective in delivering the police records management system, indicating that the studied police stations implemented a strategic records management system to gain a competitive edge. This finding contradicts the results of Laguyo et al. (2020) in terms of records creation, retention and disposal, and appropriate use of technology, which were interpreted as fairly effective. However, the results for records access and retrieval, storage and maintenance, and archival records were consistent with the findings of the present study. Overall Mean & SD AWV-Average Weighted Value, SD-Standard Deviation Program integration for records management involves combining various elements and coordinating multiple tasks. Table 11 presents the integration indicators for the records management program in the studied Police Stations. All indicators received a "very much effective" rating from respondents. Overall, the Police Stations obtained a "very much effective" rating for integrating their records management programs. This suggests that the police station's system for managing records provides clear directions and instructions for the administration and maintenance of public records. The records management program also trains officials and managers to ensure effective records management. This finding is consistent with the results of Laguyo et al. (2020), where respondents also rated records management program integration as "very much effective. Table 12. Summary of the Respondents’ Perception Level of Police Record Management Attributes Indicators Mean SD Interpretation Records Creation 4.53 0.505 Very Much Effective Table 12. Summary of the Respondents’ Perception Level of Police Record Management Attributes Indicators Mean SD Interpretation Records Creation 4.53 0.505 Very Much Effective 466 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 ne Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Records Retention and Disposition 4.38 0.547 Very Much Effective Records Storage and Maintenance 4.42 0.660 Very Much Effective Records Access and Retrieval 4.49 0.753 Very Much Effective Appropriate Use of Technology 4.40 0.863 Very Much Effective Archival Records 4.05 0.858 Much Effective Records Management Program Integration 4.43 0.671 Very Much Effective Grand Mean & SD 4.39 0.578 Very Much Effective SD-Standard Deviation Problems Encountered by Police Personnel in Managing Police Records Table 13. Problems Encountered by Police Personnel in Managing Police Records Descriptors AWV SD Interpretation 1. Misplacing of documents, files, records and mails of all kinds such as letters memoranda and faxes. 1.73 1.112 Not Serious 2. Attaching of irrelevant documents and passing it to other police personnel. 1.73 1.172 Not Serious 3. Unable to determine what kind of file and documents they are handling. 1.63 1.066 Not Serious 4. Mishandling of the computers and other technology used for storing records. 1.59 0.907 Not Serious 5. Insufficient storage for files and records. 1.87 1.042 Less Serious 6. Time of finding the needed files. 1.80 1.064 Less Serious Table 13. Problems Encountered by Police Personnel in Managing Police Records 467 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 7. Presence of outdated and unnecessary files. 1.77 0.971 Not Serious 8. Lost documents or unable to return the documents to the filing cabinet/storage. 1.80 1.064 Less Serious 9. Duplication of files that makes the police personnel confused of the records kept. 1.73 1.048 Not Serious 10. No record or uncoordinated transferring of a document from one personnel to another. 1.87 1.137 Less Serious Overall Mean & SD 1.76 0.996 Not Serious AWV-Average Weighted Value, SD-Standard Deviation Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 erage Weighted Value, SD-Standard Deviation Table 13 presents the issues faced by police staff in managing police records. The table indicates that six issues were not considered significant by the police records officers. These findings suggest that managing police records posed minimal challenges for law enforcement officers. It demonstrates that the officers responsible for handling documented information had the necessary knowledge and experience to maintain records securely. Additionally, it indicates that the studied Police Stations provided effective facilities for storing, retrieving, retaining, manipulating, archiving, and viewing law enforcement-related data, records, documents, or files. This finding supports the results of Buen et al. (2017), where the overall mean score of 2.15 suggests that the encountered problems were not serious and did not significantly impact the capability of police personnel in handling and managing police records. Factors Precipitating the Police Personnel Problems Encountered in Managing Police Records Factors Precipitating the Police Personnel Problems Encountered in Managing Police Records ng the Police Personnel Problems Encountered in Managing Police Records Table 14. The Extent of the Factors Precipitating the Police Personnel Problems Encountered in Managing Police Records Descriptors AWV SD Interpretation 1. Insufficient knowledge of records‘ management 1.90 1.125 To a least extent 2. Lack of experience. 1.90 1.062 To a least extent 3. Personal matters affecting concentration and efficiency. 1.79 1.048 Not at all 4. Family issues 2.03 1.066 To a least extent 5. Financial problems 2.10 1.094 To a least extent 6. Performing multiple police functions such as patrolling, OPLAN Bakal, OPLAN Sita and etc. 3.07 1.337 To a moderate extent 7. Lack of English Proficiency. 2.20 0.997 To a least extent xtent of the Factors Precipitating the Police Personnel Problems Encountered in Records xtent of the Factors Precipitating the Police Personnel Problems Encountered in 468 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023 ne Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 8. Communication Barrier (dialects). 1.97 1.066 To a least extent 9. Ethnicity and race. 1.80 1.095 To a least extent 10. Changes in administration. Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 2.60 1.192 To a moderate extent Overall Mean & SD 2.14 0.892 To a least extent AWV-Average Weighted Value, SD-Standard Deviation ne Word International Journal of Management and Humanities 2(3) (2023) 451-473 Table 14 presents the causes contributing to the issues faced by police employees in managing police records. One item had minimal relevance, while two items were moderately influential. However, seven factors had the least impact on the problems encountered. Overall, these factors had minimal influence, indicating that police records managers had quality training and proficiency in record management. The results align with Buen et al.'s (2017) findings, suggesting that the identified factors do not significantly affect the proficiency of police officers in managing records. Relationship Between the Attributes of Police Records Management and the Problems in Managing Police Records Table 15. Test of Relationship Between the Attributes of Police Records Management and the Problems in Managing Records Variables Problems in Managing Records Records Creation Correlation Coefficient -0.390 Sig.(2-tailed) 0.033 N 30 Records Retention and Disposition Correlation Coefficient -0.378 Sig.(2-tailed) 0.039 N 30 Records Storage and Maintenance Correlation Coefficient -0.229 Sig.(2-tailed) 0.223 N 30 Records Access and Retrieval Correlation Coefficient -0.528 Sig.(2-tailed) 0.003 N 30 Appropriate Use of Technology Correlation Coefficient -0.169 Sig.(2-tailed) 0.371 N 30 Archival Records Correlation Coefficient -0.234 Sig.(2-tailed) 0.214 N 30 Correlation Coefficient -0.342 Table 15. Test of Relationship Between the Attributes of Police Records Management and Managing Records 469 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 ne Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Records Management Program Integration Sig.(2-tailed) 0.065 N 30 Overall Attributes of Police Records Management Correlation Coefficient -0.339 Sig.(2-tailed) 0.067 N 30 *Correlation is significant at the 0.05 level. Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (20 ne Word International Journal of Management and Humanities 2(3) (2023) 451-473 *Correlation is significant at the 0.05 level. Table 15 shows the relationship between police record management attributes and record management problems. It indicates that there was a significant relationship between accessing and retrieving records and issues with maintaining records, albeit not very strong. Additionally, a moderate and significant correlation was found between issues with managing police records and records creation, retention, and disposal. Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 However, overall, there was no significant relationship between police record management attributes and record management problems. This supports the findings of Muhammad et al. (2020) that the attributes of records management were not correlated with the problems in police records management. tween the Attributes of Police Records Management and the Factors Precipitating the Problems Results and Discussion The study examined various aspects of police record management and the issues faced by police personnel. The findings revealed a diverse profile of respondents, with a majority of male officers and a significant portion in the middle age group. Perceived attributes of police record management were rated as "very much effective." The problems encountered in managing police records were not perceived as serious, and factors such as performing multiple functions and changes in administration had moderate-level impact. However, there was no significant relationship between record management attributes and problems. The findings highlight the need for effective record management practices and continuous training and support in law enforcement agencies. Future research can focus on strategies to enhance record management processes. Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 *Correlation is significant at the 0.05 level. Table 16 examines the relationship between police record management attributes and the causes of record management issues. It indicates a strong correlation between records generation, accessing, and retrieval, and the causes of problems in managing records. There is also a moderate correlation between records retention and disposition, appropriate use of technology, and program integration, and the factors causing record management issues. Overall, there is a moderate correlation between police record management attributes and the causes of these issues. These findings align with the results of Muhammad et al. (2020) that highlight the positive correlation between police records management attributes and the problems associated with record management. Relationship Between the Attributes of Police Records Management and the Factors Precipitating the Problems in Managing Records Relationship Between the Attributes of Police Records Management and the Factors Precipitating the Problems in Managing Records Relationship Between the Attributes of Police Records Management and the Factors Precipitati Table 16. Test of Relationship Between the Attributes of Police Records Management and the Factors Precipitating the Problems in Managing Records Variables Factors Precipitating the Problems in Managing Records Records Creation Correlation Coefficient -0.537 Sig.(2-tailed) 0.002 N 30 Records Retention and Disposition Correlation Coefficient -0.438 Sig.(2-tailed) 0.016 N 30 Records Storage and Maintenance Correlation Coefficient -0.322 Sig.(2-tailed) 0.083 N 30 Records Access and Retrieval Correlation Coefficient -0.578 Sig.(2-tailed) 0.001 N 30 Appropriate Use of Technology Correlation Coefficient -0.371 Sig.(2-tailed) 0.043 N 30 Archival Records Correlation Coefficient -0.329 st of Relationship Between the Attributes of Police Records Management and the Table 16. Test of Relationship Between the Attributes of Police Records Manage Table 16. Test of Relationship Between the Attributes of Police Records Management and the Factors Precipitating the Problems in Managing Records 470 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Sig.(2-tailed) 0.076 N 30 Records Management Program Integration Correlation Coefficient -0.441 Sig.(2-tailed) 0.015 N 30 Overall Attributes of Police Records Management Correlation Coefficient -0.446 Sig.(2-tailed) 0.013 N 30 *Correlation is significant at the 0.05 level. Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (20 ne Word International Journal of Management and Humanities 2(3) (2023) 451-473 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 It is recommended that the Philippine National Police administration shall conduct retraining programs and activities that allows those in-charge in records management to attain necessary skills that may enhance their efficacy in doing their job. It is recommended further to have an annual assessment among personnel in-charge in record management to ensure that they equipped knowledge in addressing problems that may arise in the course of record management. References Bakare, A. A., Abioye, A., & Issa, A. O. (2016). An Assessment of Records Management Practice in Selected Local Government Councils in Ogun State, Nigeria. Journal of Information Science Theory and Practice, 4(1), 49-64. doi:http://dx.doi.org/10.1633/JIST. Bakare, A. A., Abioye, A., & Issa, A. O. (2016). An Assessment of Records Management Practice in Selected Local Government Councils in Ogun State, Nigeria. Journal of Information Science Theory and Practice, 4(1), 49-64. doi:http://dx.doi.org/10.1633/JIST. Basilio, R. D., Cueto, M. M., Dumas, E. M., Ortega, M. J., Zapata, J. D., & Bautista, M. L. (n.d). Job Satisfaction Levels of PNP Employees in a Provincial City. College of the Criminology Research Journal, 8. Retrieved from https://research.lpubatangas.edu.ph/wp-content/uploads/2019/02/CRIM-2017-002.pdf Cappitelli, P. (2018). 5 of the biggest issues facing law enforcement in019. Retrieved from https://www.police1.c000om/2018-review/articles/5-of-the-biggest-issues-facing-law-…enforcement-in-2019- Nfo4Fin1vBoTwFJS/. Chaiwuttisak, P. (2019). Factors Affecting Efficiency of Police Stations inMetropolitan Police Division 3. 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Conclusion The researchers concluded that factors causing the problems in processing police records contributed "to the least extent" to the problems that police personnel managing police records encountered. It is reasonable to presume that police records administrators had adequate police training. Moreover, study revealed that there was a close relationship between police record management attributes and the factors that contributed to record management difficulties. The link between the two variables was likewise somewhat significant. It means that the police records officers who managed their records well faced the factors most likely to cause issues with record management to a lesser extent. 471 References Statistical analysison public evaluation performance of police: A case study of yelwa division. International journal of applied research, 6, 159-162. 472 Abun et al.,Divine Word International Journal of Management and Humanities 2(3) (2023) 451-473 Ngoepe, M. (2014). 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Publisher’s Note: DWIJMH stays neutral with regard to jurisdictional claims in published maps and institutional affiliations. Publisher’s Note: DWIJMH stays neutral with regard to jurisdictional claims in published maps and institutional affiliations. © 2023 by the authors. Licensee DWIJMH. 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/). © 2023 by the authors. Licensee DWIJMH. 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/). Divine Word International Journal of Management and Humanities. DWIJMH is licensed under a Creative Commons Attribution 4.0 International License. 473 473
https://openalex.org/W4382807177
https://ejournal.unma.ac.id/index.php/educatio/article/download/4829/2889
Indonesian
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Kesalahan Siswa SMP Dalam Menyelesaikan Soal Platform Merdeka Mengajar Berdasarkan Prosedur Newman
Jurnal Educatio FKIP UNMA/Jurnal educatio FKIP UNMA
2,023
cc-by-sa
4,126
Abstrak Article History: Received 2023-03-04 Revised 2023-04-21 Accepted 2023-05-06 DOI: 10.31949/educatio.v9i2.4829 DOI: 10.31949/educatio.v9i2.4829 Kata Kunci: Kurikulum Merdeka, Numerasi, PMM, Prosedur Newman Kata Kunci: Kurikulum Merdeka, Numerasi, PMM, Prosedur Newman Abstract bst act Numeration is crucial in education, especially in Kurikulum Merdeka. Based on the results of the 2021 Asesmen Nasional (AN), the numeracy skills of junior high school students in Indonesia are below the minimum competency, because less than 50% of students reach the limit. As a way to get used to AN questions, the government is proposing the use of the Platform Merdeka Mengajar (PMM) as a more flexible learning media. This study aims to describe the types of student errors in working on numeracy PMM types using the Newman procedure. The PMM numeracy material provided is data and development. The instrument used is a diagnostic test adapted from PMM questions. The research was conducted with a survey at an Islamic Middle School in Karawang. The sample used was 32 grade 8 students. Based on the results of the study it was found that the types of errors were reading errors at 56%; misunderstanding at 61%; transformation errors at as much as 72%; processing skill error at 75%; and 72% encoding error. Each student error is above 50% similar to the results of the Education Report Card, so students have difficulty working on PMM-type questions. Keywords: Kurikulum Merdeka, Numeracy, PMM, Newman's Procedure Abstrak Numerasi merupakan hal krusial pada kurikulum merdeka dalam pendidikan. Dilihat dari hasil Asesmen Nasional (AN) tahun 2021, kemampuan numerasi siswa SMP di Indonesia berada di bawah kompetensi minimum, karena kurang dari 50% siswa yang mencapai batas. Sebagai pembiasaan terhadap soal AN, pemerintah menganjurkan penggunaan Platform Merdeka Mengajar (PMM) sebagai media pembelajaran yang lebih fleksibel. Penelitian ini bertujuan menjabarkan jenis kesalahan siswa dalam mengerjakan soal tipe PMM numerasi lewat prosedur Newman. Materi PMM numerasi yang diberikan adalah data dan ketidakpastian. Instrumen yang digunakan adalah tes diagnostik yang diadaptasi dari soal PMM. Penelitian dilakukan dengan survei di sebuah SMP Islam di Kabupaten Karawang. Sampel yang digunakan sebanyak 32 siswa kelas 8. Berdasarkan hasil penelitian ditemukan bahwa jenis kesalahan yaitu reading erorrs sebesar 56%; comprehension errors 61%; transformations error sebanyak 72%; processing skill errors sejumlah 75%; dan encoding errors sebanyak 72%. Setiap kesalahan siswa berada di atas 50% sejalan dengan Rapor Pendidikan, maka siswa kesulitan mengerjakan soal tipe PMM. Article History: Received 2023-03-04 Revised 2023-04-21 Accepted 2023-05-06 Jurnal Educatio ISSN 2459-9522 (Print), 2548-6756 (Online) Vol. 9, No. 2, 2023, pp. 581-589 Kesalahan Siswa SMP Dalam Menyelesaikan Soal Platform Merdeka Mengajar Berdasarkan Prosedur Newman Jurnal Educatio ISSN 2459-9522 (Print), 2548-6756 (Online) Vol. 9, No. 2, 2023, pp. 581-589 Kesalahan Siswa SMP Dalam Menyelesaikan Soal Platform Merdeka Mengajar Berdasarkan Prosedur Newman Jurnal Educatio ISSN 2459-9522 (Print), 2548-6756 (Online) Vol. 9, No. 2, 2023, pp. 581-589 Kesalahan Siswa SMP Dalam Menyelesaikan Soal Platform Merdeka Mengajar Berdasarkan Prosedur Newman Kesalahan Siswa SMP Dalam Menyelesaikan Soal Platform Merdeka Mengajar Berdasarkan Prosedur Newman Ratna Nurmayningsih*, Dadang Rahman Munandar Universitas Singaperbangsa Karawang, Karawang, Indonesia *Coresponding Author: 1910631050025@student.unsika.ac.id DOI: 10.31949/educatio.v9i2.4829 PENDAHULUAN Pendidikan bergerak mengikuti perkembangan zaman, termasuk di Indonesia. Hal ini bisa dilihat dari perubahan budaya pendidikan yang terus menerus berganti (Priyantini, 2019). Salah satu perubahan terbaru dalam pendidikan Indonesia terjadi ketika pandemi Covid-19. Kegiatan belajar dijalankan secara daring yang menghadirkan banyak kekurangan, misalnya kegiatan pembelajaran menjadi membosankan bagi siswa. Hal ini menyebabkan terjadi fenomena learning loss, yaitu menurunnya minat belajar siswa karena interaksi yang This is an open access article under the CC BY-SA license. Copyright © 2023 by Author 582 Jurnal Educatio, 9(2), 2023, 581-589 berkurang dan menyebabkan proses belajar tidak efektif, sehingga berdampak pada hasil belajar dan kualitas Sumber Daya Manusia (Muthmainnah, & Rohmah 2022). Munculnya fenomena learning loss ini merupakan sinyal kuat bahwa ada kebutuhan mendesak untuk meningkatkan akses pendidikan, serta tata kelola dan kualitas pendidikan bagi pelajar Indonesia (Kemendikbud, 2021). Perbaikan ini dapat dilihat dari perbaruan kurikulum dan assesmen nasional. Kemendikbudristek meluncurkan Kurikulum Merdeka sebagai upaya untuk mengatasi kemunduran pendidikan pasca pandemi Covid-19 (Nugraha, 2022). Melalui Kepmendikbudristek Nomor 56 Tahun 2022 tentang Penerapan Kurikulum Merdeka, Menteri Pendidikan Indonesia resmi meluncurkan Kurikulum Merdeka dan Platform Merdeka Mengajar (PMM). Sementara itu, pada Webinar Koordinasi Asesmen Nasional 06 Oktober 2020 lewat kanal Youtube resmi Kemedikbud, pemerintah terlebih dahulu mengeluarkan Asesmen Nasional (AN) sebagai pengganti Ujian Nasional. Kurikulum Merdeka merupakan bagian penting dari upaya pemulihan pembelajaran berdasarkan krisis yang dialami oleh anak-anak Indonesia yang tidak dapat memahami bacaan sederhana atau menerapkan konsep matematika dasar (Kemendikbud, 2022). Lebih lanjut dijelaskan pula mengenai Platform Merdeka Mengajar (PMM) yang dibangun guna membantu tenaga pendidik meningkatkan kompetensi dan melaksanakan pembelajaran dengan Kurikulum Merdeka. Selajan dengan hal ini, pada modul AKM dan Implikasinya pada pembelajaran, dijelaskan bahwa AN bertujuan memberikan informasi akurat dan memperbaiki kualitas belajar dan mengajar. Tidak hanya mengukur penguasaan konten, AN menilai kompetensi dasar secara mendalam yang diperlukan siswa untuk berkembang dan berpartisipasi dalam masyarakat (Kemendikbud, 2022). Lebih lanjut, Asesmen Nasional tersusun atas Asesmen Kompetensi Minimum (AKM) Literasi dan Numerasi, Survei Karakter, serta Survei Lingkungan Belajar. Ada dua pelajaran dasar yang diujikan AKM yaitu literasi membaca dan literasi matematika/numerasi. Literasi numerasi merupakan perantara antara bahan ajar dengan siswa dan media untuk pelaksanaan segala macam kegiatan pembelajaran untuk mencapai tujuan pembelajaran (Tabroni et al., 2022). Peserta didik diharuskan mempunyai kemampuan literasi matematis yang baik agar mampu menyelesaikan masalah dalam kehidupan sehari-hari dengan tepat (Ully & Hakim, 2022). Open Access: https://ejournal.unma.ac.id/index.php/educatio PENDAHULUAN Mengingat numerasi merupakan jembatan serta diujikan pada AN dan penting dalam pemulihan krisis terkait peningkatan konsep matematika dasar, maka dapat disimpulkan bahwa numerasi merupakan hal krusial penentu majunya pendidikan. Namun, AN diujikan pada kelas tertentu, misalnya pada SMP, AN hanya diujikan di kelas 8, dalam kurun waktu satu tahun sekali. Sebagai upaya pembiasaan bagi seluruh siswa terhadap soal AN ini, pemerintah menganjurkan penggunaan PMM sebagai media pembelajaran, yang dapat diujikan kapanpun sesuai kebutuhan. PMM dan AKM numerasi yang ada dalam AN sama-sama membagi kompetensi numerasi ke dalam tiga proses kognitif yaitu pemahaman, penerapan, dan penalaran. Soal yang diujikan dalam keduanya berjenis pilihan ganda, pilihan ganda kompleks, dan uraian. Maka dapat dikatakan bahwa kemampuan siswa mengerjakan AN numerasi dapat diprediksi lewat PMM. Berdasarkan Rapor Pendidikan tahun 2021 kemampuan numerasi siswa SMP di seluruh Indonesia tidak mencapai kompetensi minimum, karena lebih dari 50% siswa berada di bawah kompetensi tersebut (Pusmendik Kemendikbud, 2022). Sejalan dengan hal ini, pada observasi awal berupa tes yang dilakukan melalui Aplikasi AKM Kelas pada SMP Islam di Karawang, hanya 15% jumlah jawaban benar siswa. Rendahnya kemampuan numerasi siswa paling parah ditemukan pada materi data dan ketidakpastian karena hanya 5,8% jawaban benar pada materi ini. Hal ini menjelaskan bahwa kemampuan siswa mengerjakan soal tipe AKM atau PMM masih rendah. Hasil wawancara dengan guru matematika juga menggambarkan siswa mengalami kesulitan mengerjakan soal tipe ini. Siswa bahkan belum menguasai pengetahuan dasar apalagi melakukan aplikasi serta penalaran. Sementara itu, kompetensi yang diujikan dalam AKM dan PMM selalu memuat level kognitif aplikasi dan penalaran. Ditemukan beberapa kesalahan dalam mengerjakan soal matematika, diantaranya menurut Mulyawati (2022) adalah ketidakcermatan, kurangnya pemahaman, kurang teliti, dan kurang menguasai materi. Penelitian sebelumnya yang berupaya menemukan kesalahan siswa dalam menyelesaikan matematika telah banyak dilakukan. Penelitian Kahar & Layn (2017), Rofi’ah et al (2019) dan Siregar (2019) berusaha Jurnal Educatio, 9(2), 2023, 581-589 583 menemukan kesalahan siswa dalam menyelesaikan soal-soal matematika berbentuk cerita. Penelitian serupa juga pernah dilakukan pada materi-materi matematika SMP, diantaranya materi persamaan linier satu variabel (Rahmania & Rahmawati, 2016), persamaan linier dua variabel (Yusuf & Fitriani, 2020), aritmatika sosial (Kurniawan & Fitriani, 2020), Himpunan (Aulia & Kartini, 2021), Perbandingan (Toha et al, 2018), luas permukaan dan volume limas (Sumadiasa, 2014), dan operasi bentuk aljabar (Mauliandari & Kartini, 2020). Dalam penelitian ini, kesalahan-kesalahan siswa yang diungkap adalah kesalahan dalam menyelesaikan soal tipe PMM numerasi pada materi data dan ketidakpastian dengan berdasarkan teori Newman. PENDAHULUAN Dalam teori Newman, kesalahan siswa dalam menyelesaikan matematika terbagi ke dalam lima kategori yaitu, reading errors, comprehension errors transformations errors, processing skill errors, dan encoding error (Karnasih, 2015). Kesalahan siswa Pada penelitian ini, instrumen tes yang diberikan kepada siswa berupa tes diagnostik soal tipe PMM yang berbentuk pilihan ganda, pilihan ganda kompleks, dan uraian. Soal tipe PMM mengacu pada kompetensi dasar yang terdapat pada PMM di jenjang SMP atau Fase D. Soal yang digunakan untuk mendiagnosa diadaptasi dari PMM dengan menambahkan instruksi yang mengharuskan siswa menjabarkan jawabannya agar peneliti lebih mudah menelaah hasil pekerjaan siswa. Berdasarkan latar belakang masalah yang disampaikan, peneliti berniat melakukan analisis kesalahan siswa SMP dalam menyelesaikan soal tipe PMM numerasi pada materi data dan ketidakpastian. Penelitian ini bertujuan mengetahui letak kesalahan yang dilakukan siswa, agar dapat dimanfaatkan untuk meningkatkan kemampuan numerasi, sebagai bagian dari peningkatan mutu pendidikan. Open Access: https://ejournal.unma.ac.id/index.php/educatio METODE PENELITIAN Metode penelitian yang dilakukan adalah survei. Survei ialah cara yang dilakukan untuk memperoleh infromasi mengenai sikap, pendapat, ciri-ciri, maupun fenomena, dengan menghimpun data satu atau beberapa variabel yang didapatkan dari anggota populasi yang sedang diteliti (Maidiana, 2021). Sampel penelitian diambil dengan teknik purposive sampling yang ditentukan oleh pihak sekola. Sampel berjumlah 32 orang siswa. Tabel 1 Kesalahan berdasarkan Teori Newman Jenis Kesalahan Indikator Reading Errors (RE) Siswa keliru membaca atau mengenal simbol dan maknanya, serta kata kunci yang terdapat pada soal. Comprehension Errors (CE) Siswa tidak mengerti makna soal, yaitu tidak menerangkan yang diketahui dan ditanyakan pada soal. Transformations Errors (TE) Siswa keliru menentukan rumus atau operasi matematika. Processing Skill Errors (PE) Siswa salah memproses penyelesaian atau tidak bisa menjalankan prosedur atau perhitungan dengan sesuai. Encoding Errors (EE) Siswa keliru menyimpulkan, sehingga terjadi perubahan makna. Tabel 1 Kesalahan berdasarkan Teori Newman Siswa keliru menentukan rumus atau operasi matematika. HASIL DAN PEMBAHASAN Jawaban dari lima soal yang diberikan, diperoleh hasil jawaban sebanyak 32 siswa, lalu diperiksa berdasarkan banyaknya siswa menjawab benar, kurang tepat atau salah, dan tidak menjawab. Sehingga diperoleh jawaban siswa yang sebanyak 160 butir, yang ditunjukkan pada Tabel 2. Tabel 2 Hasil Analisis Statistik Kategori Soal 1 Soal 2 Soal 3 Soal 4 Soal 5 Jumlah Benar Keseluruhan 16 1 11 8 2 38 Kurang tepat atau salah 14 15 5 6 21 61 Tidak menjawab 2 16 16 18 9 61 Jumlah 32 32 32 32 32 160 Tabel 3 Persentase kesalahan siswa berdasarkan prosedur newman (𝑛=160) Jenis Kesalahan Jumlah Presentase Reading Errors (RE) 90 56% Comprehension Errors (CE) 97 61% Transformations Errors (TE) 115 72% Processing Skill Errors (PE) 120 75% Encoding Errors (EE) 115 72% Tabel 2 Hasil Analisis Statistik Kategori Soal 1 Soal 2 Soal 3 Soal 4 Soal 5 Jumlah Benar Keseluruhan 16 1 11 8 2 38 Kurang tepat atau salah 14 15 5 6 21 61 Tidak menjawab 2 16 16 18 9 61 Jumlah 32 32 32 32 32 160 Tabel 3 Persentase kesalahan siswa berdasarkan prosedur newman (𝑛=160) Jenis Kesalahan Jumlah Presentase Reading Errors (RE) 90 56% Comprehension Errors (CE) 97 61% Transformations Errors (TE) 115 72% Processing Skill Errors (PE) 120 75% Encoding Errors (EE) 115 72% Tabel 3 menjabarkan persentase kesalahan siswa ke dalam lima tipe. Keelima tipe kesalahan menunjukkan presentase diatas 50%. Kesalahan paling sering dilakukan siswa adalah Processing Skill Errors (PE) sebesar 75%. Tabel 4 Persentase kesalahan siswa berdasarkan indikator soal (𝑛=160) Jenis Kesalahan Soal 1 Soal 2 Soal 3 Soal 4 Soal 5 Reading Errors (RE) 44% 56% 63% 56% 63% Comprehension Errors (CE) 47% 59% 63% 59% 75% Transformations Errors (TE) 47% 88% 63% 72% 91% Processing Skill Errors (PE) 47% 97% 66% 72% 94% Encoding Errors (EE) 47% 81% 66% 72% 94% Tabel 4 Persentase kesalahan siswa berdasarkan indikator soal (𝑛=160) Soal 1 Soal 2 Soal 3 Soal 4 Soal 5 Berdasarkan tabel 4, diketahui bahwa kesalahan terbanyak berada pada soal 5 tentang ketidakpastian dan peluang, yaitu menghitung peluang kejadian sederhana. Soal ini memuat level penalaran yang merupakan level kognitif tertinggi. Kesalahan paling banyak dilakukan siswa saat processing skil ada pada soal nomor 2 mengenai data dan representasinya pada level kognitif pemahaman. Reading errors adalah kesalahan yang paling sedikit ditemukan pada penelitian ini sebesar 56%. Encoding Errors (EE) Intrumen tes yang diagnostik digunakan merupakan soal tipe PMM numerasi materi data dan ketidakpastian. Penelitian menggunakan lima soal yang mengacu kepada kompetensi dasar dan aspek kognitif yang ingin dicapai. Soal 1 dan 2 mengenai data dan representasinya, yaitu menentukan dan menggunakan mean, median, dan modus. Soal 3, 4, dan 5 mengenai ketidakpastian dan peluang, yaitu menghitung peluang kejadian sederhana. Indikator pemahaman soal dibagi sesuai level kognitif. Level pemahaman ditandai dengan siswa mampu memahami dan mengakses informasi, yang diwakilkan pada soal nomor 1 dan 2. Level kedua yaitu penerapan ditandai dengan siswa mampu menerapkan dan menggabungkan informasi yang dipahami, pada soal 3 dan 4. Level ketiga yaitu penalaran di wakilkan soal 5, dimana siswa dapat menggunakan penalaran dan logika untuk menyelesaikan masalah. Soal yang diberikan berbentuk pilihan ganda pada soal 1 dan 3, pilihan ganda kompleks pada soal 2 dan 4, dan uraian pada soal 5. Namun, pada setiap soal disediakan ruang Open Access: https://ejournal.unma.ac.id/index.php/educatio Jurnal Educatio, 9(2), 2023, 581-589 584 coretan agar siswa analisis mudah dilakukan. Pada penelitian ini, validitas instrumen dibuktikan melalui validitas isi lewat penilaian dosen, dengan mempreroleh skor 3,75. Berdasarkan kategori kevalidan, instrumen tes termasuk interval “sangat valid” (Riyani et al., 2022). Data selanjutnya dianalisis melalui statistik deskritif dengan memeriksa hasil tes yang dikumpulkan siswa. Jawaban yang diberikan oleh siswa diberikan kategori menjawab benar, kurang tepat atau salah, dan tidak menjawab (Herdiman et al., 2018). Selanjutnya hasil tes siswa dianalisis secara diagnostik didasarkan pada kesalahan siswa yang diambil dari teori Newman dan disajikan pada Tabel 1 (Karnasih, 2015). Open Access: https://ejournal.unma.ac.id/index.php/educatio 2. Comprehension errors p Kesalahan selanjutnya adalah comprehension errors atau kesalahan memahami soal. Pada soal nomor 4 disajikan tiga jenis permen, siswa lalu diminta menunjukkan peluang terpilihnya suatu permen. Pada jawaban di Gambar 3a siswa dapat menuliskan apa yang diketahui, tetapi tidak dapat menentukan apa yang ditanyakan. Saat diberikan pernyataan “peluang terambil permen jeruk atau stawberi adalah 12/17”, siswa menyalahkan pertanyaan tersebut, seperti yang ditunjukkan oleh Gambar 3b. Siswa tidak mampu menggabungkan informasi yang diketahui lalu menerapkannya ke dalam jawaban. Penemuan ini sejalan dengan penyataan bahwa comprehension errors dapat terjadi bila siswa tidak memahami kata yang dipakai dalam persoalan sehingga siswa tidak bisa memaknai apa yang ditulis (Paladang, 2022). Gambar 3 Comprehension Errors Soal Nomor 4 dan Jawaban Siswa Soal Nomor 4 HASIL DAN PEMBAHASAN Pada soal nomor 1, siswa diminta menentukan modus dari sebuah data, yang ditunjukkan pada Gambar 1a. Sesuai alasan pada Gambar 1c, siswa memilih jawaban “100” (Gambar 1b), karena nilai ini nominalnya paling besar. Seharunya siswa memilih jawaban “80” yang memiliki jumlah terbanyak bukan terbesar. Hal ini dapat terjadi karena siswa keliru mengenali kata kunci pada soal. Jurnal Educatio, 9(2), 2023, 581-589 585 Gambar 1a Soal Nomor 1 Gambar 1a Soal Nomor 1 Gambar 1b Jawaban Siswa dan alasannya Gambar 1a Soal Nomor 1 Gambar 1b Jawaban Siswa dan alasannya Gambar 1b Jawaban Siswa dan alasannya Gambar 1a Soal Nomor 1 Gambar 1a Soal Nomor 1 Soal nomor 3 adalah yang terbanyak ditemukan reading errors. Pada soal ini terdapat sebuah tabel yang berisi data persilangan monohybird yang menunjukkan kemungkinan warna bunga mawar dari kedua induk dan disajikan dalam bentuk persen. Siswa ditanya peluang keturunan mawar berwarna putih dari kedua induk yang berwarna pink. Jika siswa dapat membaca data dalam tabel pada Gambar 2b, maka siswa seharusnya menjawab ¼, karena data menunjukkan nilai 25%. Jawaban siswa ditampilkan oleh Gambar 2a di bawah ini. Siswa menjawab demikian karena tidak bisa membaca simbol dan memaknainya. Walaupun mengubah persen menjadi pecahan sebetulnya telah dipelajari siswa sebelumnya. Temuan ini sejalan dengan penelitian terdahulu dimana siswa tidak memahami makna simbol yang digunakan pada soal sekalipun sudah pernah dipelajari pada materi sebelumnya (Paladang, 2018). Gambar 2a Reading Errors Soal Nomor 3 Gambar 2b Tabel Pada Soal Nomor 3 Gambar 2a Reading Errors Soal Nomor 3 Gambar 2b Tabel Pada Soal Nomor 3 Open Access: https://ejournal.unma.ac.id/index.php/educatio 3. Transformation Errors Kesalahan transformasi adalah yang kedua terbanyak setelah kesalahan proses. Contohya pada jawaban siswa di bawah ini. Soal tersebut adalah soal nomor 5 yang memiliki level kognitif tertinggi yaitu penalaran, Open Access: https://ejournal.unma.ac.id/index.php/educatio Jurnal Educatio, 9(2), 2023, 581-589 586 juga soal yang paling banyak dijawab keliru oleh siswa. Siswa diminta menentukan persentase dari peminat sebuah sekolah bila peminat sekolah lain berpindah tujuan. Siswa di bawah mampu menentukan jumlah peminat, namun keliru dalam menentukan rumus untuk mengubah jumlah ke dalam persen. Seharusnya siswa menjawab 14/50 atau 28%. Jawaban siswa ditampilkan melalui Gambar 4. Gambar 4 Transformation Errors Soal Nomor 5 4. Processing Skill Errors Gambar 4 Transformation Errors Soal Nomor 5 4. Processing Skill Errors Kesalahan proses merupakan kesalahan yang paling banyak ditemukan yaitu sebesar 75%. Kesalahan ini paling banyak ditemukan pada soal nomor 2 yang memerlukan banyak perhitungan. Siswa di bawah mampu memaknai soal, menggunakan rumus yang tepat, bahkan menarik kesimpulan. Namun kesalahan siswa terletak pada saat menghitung. Pada Gambar 5 siswa menuliskan bahwa 60x3=90, yang seharusnya dijawab 180. Hal ini sesuai dengan pernyataan bahwa siswa kesulitan melaksanakan rencana karena terdapat kesalahan dalam menuliskan penyelesaiannya (Midawati, 2022). Bila dilihat dari jawaban siswa, dimana ia dapat menuntaskan perkalian yang lebih rumit dengan benar. Maka dapat disimpulkan bahwa kesalahan ini dikarenakan siswa kurang teliti. Keadaan ini juga mendukung peryantaan bahwa penyebab kesalahan jenis proses atau melakukan rencana yaitu kurang hati-hati saat menghitung (Mulyawati, 2022). Gambar 5 Processing Skill Errors Soal Nomor 2 Gambar 5 Processing Skill Errors Soal Nomor 2 Gambar 5 Processing Skill Errors Soal Nomor 2 Ada juga kesalahan processing skill errors yang disebabkan oleh ketidakmampuan siswa dalam berhitung. Seperti pada contoh di bawah ini. Siswa tidak mampu menyederhanakan pecahan. Siswa keliru mengubah 5/20 menjadi 1/5 yang seharusnya dijawab ¼, seperti yang ditunjukkan pada Gambar 6. Gambar 6 Processing Skill Errors Soal Nomor 3 Gambar 6 Processing Skill Errors Soal Nomor 3 Open Access: https://ejournal.unma.ac.id/index.php/educatio Gambar 7a Soal Nomor 2 serta Hasil Proses Siswa dan Encoding Errors Kesimpulan Siswa Berdasarkan hasil analisis penelitian yang dilakukan maka dapat disimpulkan bahwa tipe kesalahan siswa dalam mengerjakan soal numerasi PMM pada materi data dan ketidakpastian yaitu reading errors sebesar 56%, comprehension errors sebanyak 61%, transformation errors dan encoding errors sebanyak 72%, dan yang terbanyak procesing errors sebesar 75%. Kesalahan terbanyak yang ditemukan adalah procesing errors. Pada tahap proses siswa hanya membutuhkan kecakapan dan ketelitian, tidak memerlukan kemampuan analisis apa lagi penalaran. Kesalahan semacam procesing errors sebetulnya dapat diatasi bila siswa sering berlatih mengarjakan soal. Hasil ini agak berbeda dengan hasil penelitian yang dilakukan Saputra (2015) dan Savitri & Yuliani (2020) yang menunjukkan hasil bahwa dalam analisis newman kategori kesalahan terbanyak dilakukan siswa pada tahap encoding error. Open Access: https://ejournal.unma.ac.id/index.php/educatio 5. Encoding Errors Selain kesalahan transformasi, kesalahan yang banyak dilakukan adalah encoding errors atau kesalahan menarik kesimpulan. Kesalahan di bawah ditemukan pada soal nomor 2. Di soal ini siswa diminta mencari rata-rata dari sebuah data, yang dapat dilihat pada Gambar 7a. Siswa di bawah berhasil hingga ke tahap proses, yang ditunjukkan oleh Gambar 7b. Namun, siswa keliru dalam menyimpulkan. Pada data yang disajikan, Jurnal Educatio, 9(2), 2023, 581-589 587 sebanyak 21 orang siswa memperoleh nilai di atas 80. Lalu dari 21 orang tersebut diambil 8 dan 15 orang dengan nilai berbeda-beda. Selanjutnya, siswa diberikan pernyataan bahwa kedelapan dan kelima belas orang tersebut terpilih. Siswa menyimpulkan bahwa kedua pernyataan tersebut salah. Hal ini keliru karena orang- orang tersebut benar terpilih, maka siswa seharusnya memilih jawaban “benar” pada kedua soal pilihan ganda kompleks ini. Oleh sebab itu, maka siswa tidak dapat menggunakan penalaran dan logikanya dalam menganalsis informasi yang ada. Hal ini sejalan dengan pernyataan bahwa ketidakmampuan siswa menganalisis jawaban yang ia temukan akan menyebabkan kesalahan menyimpulkan jawaban akhir (Vionita & Hartanto, 2022). sebanyak 21 orang siswa memperoleh nilai di atas 80. Lalu dari 21 orang tersebut diambil 8 dan 15 orang dengan nilai berbeda-beda. Selanjutnya, siswa diberikan pernyataan bahwa kedelapan dan kelima belas orang tersebut terpilih. Siswa menyimpulkan bahwa kedua pernyataan tersebut salah. Hal ini keliru karena orang- orang tersebut benar terpilih, maka siswa seharusnya memilih jawaban “benar” pada kedua soal pilihan ganda kompleks ini. Oleh sebab itu, maka siswa tidak dapat menggunakan penalaran dan logikanya dalam menganalsis informasi yang ada. Hal ini sejalan dengan pernyataan bahwa ketidakmampuan siswa menganalisis jawaban yang ia temukan akan menyebabkan kesalahan menyimpulkan jawaban akhir (Vionita & Hartanto, 2022). Gambar 7a Soal Nomor 2 serta Hasil Proses Siswa dan Encoding Errors Kesimpulan Siswa DAFTAR PUSTAKA DAFTAR PUSTAKA Aulia, J., & Kartini, K. (2021). Analisis Kesalahan Siswa dalam Menyelesaikan Soal Matematika Pada Materi Himpunan Kelas VII SMP/MTs. Jurnal Cendekia: Jurnal Pendidikan Matematika, 5(1), 484-500. Herdiman, et al. (2018). Kemampuan Berpikir Kritis Matematik Siswa SMP Pada Materi Lingkaran. PRISMA, 07(01), 1-10. Karnasih, I. (2015). Analisis Kesalahan Newman Pada Soal Cerita Matematis. PARADIKMA: Jurnal Pendidikan Matematika, 08(01), 37-51. Kahar, M. S., & Layn, M. R. (2017). Analisis kesalahan siswa dalam menyelesaikan soal cerita matematika. Jurnal Math Educator Nusantara: Wahana Publikasi Karya Tulis Ilmiah Di Bidang Pendidikan Matematika, 3(2), 95-102. Kemendikbud. (2022). AKM dan Implikasinya pada Pembelajaran. Jakarta: Pusmenjar, Badan Penelitian dan Pengembangan dan Perbukuan, Kemendikbud. Kemendikbud. (2021). Panduan Penguatan Literasi dan Numerasi Di Sekolah. Jakarta: Direktorat Jenderal PAUD, Pendidikan Dasar, dan Pendidikan Menengah, Kemendikbud. Kemendikbud. (2022). Buku Saku Tanya Jawab Kurikulum Merdeka. Jakarta: Kemendikbud. Kemendikbud R.I.. (2022). Kebijakan Asesmen Nasional, Retrieved from https://www.youtube.com/watch?v=3xOFTaBXRno, on 16th December 2022. Kepmendikbudristek No. 56 Tahun 2022 tentang Pedoman Penerapan Kurikulum dalam Rangka Pemulihan Pembelajaran. Kurniawan, A., & Fitriani, N. (2020). Analisis kesalahan siswa dalam menyelesaikan soal aritmatika sosial. Journal on Education, 2(2), 225-232. Maidiana. (2022). Penelitian Survey. ALACRITY : Journal Of Education, 01(02), 20-29. Midawati. (2022). Analisis Kesulitan Siswa dalam Menyelesaikan Soal Pemecahan Masalah Berdasarkan Langkah Polya. Jurnal Educatio, 08(03), 831-837. Mulyawati, I. (2022). Analisis Kesalahan Mahasiswa PGSD Menyelesaikan Soal Pemecahan Masalah Dengan George Polya. Al-Madrasah: Jurnal Ilmiah Pendidikan Madrasah Ibtidaiyah, 06(01), 201-211. Muthmainnah, A., & Rohmah, S. Learning Loss: Analisis Pembelajaran Jarak Jauh. Jurnal Kewarganegaraan, 06(01), 969-975. Nugraha, T. S. (2022). Kurikulum Merdeka untuk Pemulihan Krisis Pembelajaran. Inovasi Kurikulum, 19(02), 251-262. Paladang, K. K., Indriyani, S., & Dirgantoro. (2018). Analisis Kesalahan Siswa Kelas VIII SLH Medan dalam Mengerjakan Soal Matematika Materi Fungsi Ditinjau Dari Prosedur Newman. Jurnal of Holistic Mathematics Education, 01(02), 93-103. Priyantini, D. A. M. M. O., Suarni N. K., & Adnyana, I. K. S. (2022). Analisis Kurikulum Merdeka dan Platform Merdeka Belajar Untuk Mewujudkan Pendidikan Yang Berkualitas. Jurnal Penjaminan Mutu, 08(02), 243-250. Pusmendik Kemendikbud. (2022). Rapor Pendidikan Publik: Profil Wilayah, Retrieved from https://pusmendik.kemdikbud.go.id/profil_pendidikan/profil-wilayah.php, on 14th December 2022. Rahmania, L., & Rahmawati, A. (2016). Analisis kesalahan siswa dalam menyelesaikan soal cerita persamaan linier satu variabel. JMPM: Jurnal Matematika Dan Pendidikan Matematika, 1(2), 165-174. Riyani, R., Maizora, S., & Hanifah. (2017). Uji Validitas Pengembangan Tes Untuk Mengukur Kemampuan Pemahaman Relasional Pada Materi Persamaan Kuadrat Siswa Kelas VII SMP. Jurnal Penelitian Pembelajaran Matematika Sekolah, 01(01), 60-65. Open Access: https://ejournal.unma.ac.id/index.php/educatio KESIMPULAN Kesimpulan dari penelitian ini adalah tipe kesalahan siswa dalam mengerjakan soal numerasi PMM pada materi data dan ketidakpastian yaitu kebanyakan ditemukan adalah procesing errors. Pada tahap proses siswa hanya membutuhkan kecakapan dan ketelitian, tidak memerlukan kemampuan analisis apa lagi penalaran. Meninjau dari kesalahan yang ditemukan, pada setiap kategori terdapat lebih dari 50% jumlahnya, bahkan pada tahap proses yang sederhana. Maka hal ini mengindikasikan bahwa siswa masih kesulitan memecahkan soal tipe PMM. Berdasarkan temuan yang didapat, maka guru disarankan sering memberikan soal yang memuat tidak hanya pemahaman namun juga penerapan dan penalaran, agar kesalahan-kesalahan tersebut dapat teratasi. Peneliti merekomendasikan penggunaan PMM sebagai media pembelajaran rutin untuk meningkatkan level kognitif siswa. Jurnal Educatio, 9(2), 2023, 581-589 588 Open Access: https://ejournal.unma.ac.id/index.php/educatio DAFTAR PUSTAKA Rofi'ah, N., Ansori, H., & Mawaddah, S. (2019). Analisis kesalahan siswa dalam menyelesaikan soal cerita matematika berdasarkan langkah penyelesaian polya. EDU-MAT: Jurnal Pendidikan Matematika, 7(2). Open Access: https://ejournal.unma.ac.id/index.php/educatio Jurnal Educatio, 9(2), 2023, 581-589 589 Saputra, F. D. (2015). Analisis Kesalahan Operasi Hitung Campuran Bilangan Bulat Pada Siswa Kelas V Sdn Sumbersih 01 Kabupaten Blitar (Doctoral dissertation, University of Muhammadiyah Malang). Savitri, D. A., & Yuliani, A. (2020). Analisis kesalahan siswa dalam menyelesaikan permasalahan trigonometri ditinjau dari gender berdasarkan Newman. JPMI (Jurnal Pembelajaran Matematika Inovatif), 3(5), 463- 474. Siregar, N. F. (2019). Analisis kesalahan siswa dalam menyelesaikan soal matematika. Logaritma: Jurnal Ilmu- Ilmu Pendidikan Dan Sains, 7(01), 1-14. Sumadiasa, I. G. (2014). Analisis kesalahan siswa kelas VIII SMP Negeri 5 Dolo dalam menyelesaikan soal luas permukaan dan volume limas. Aksioma, 3(2), 197-208. Tabroni, I. et al. (2022). Peranan Model Pembelajaran Vygotski Untuk Meningkatkan Literasi Numerasi. Al- Madrasah: Jurnal Ilmiah Pendidikan Madrasah Ibtidaiyah, 06(03), 486-495. Toha, M., Mirza, A., & Ahmad, D. (2018). Analisis kesalahan siswa dalam menyelesaikan soal cerita materi perbandingan di kelas VII SMP. Jurnal Pendidikan dan Pembelajaran Khatulistiwa (JPPK), 7(1). Ully, A. C., & Hakim, D. L. (2022). Kemampuan Literasi Matematis Siswa Pada Penyelesaian Soal Asesmen Kompetensi MinimumNumerasi. Jurnal Educatio, 08(04), 1318-1325. Vionita, A., & Hartono. (2021). Kesalahan Siswa dalam Menyelesaikan Soal Operasi Bilangan Model Ujian Negara Tingkat SMP. Jurnal Riset Pendidikan Matematika, 08(01), 117-127. Yusuf, A., & Fitriani, N. (2020). Analisis kesalahan siswa smp dalam menyelesaikan soal persamaan linear dua variabel di SMPN 1 campaka mulya-cianjur. JPMI (Jurnal Pembelajaran Matematika Inovatif), 3(1), 59-68.
https://openalex.org/W2789560217
https://iris.uniroma1.it/bitstream/11573/1273793/1/Locatelli_Accurate_2018.pdf
English
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An Accurate Estimate of the Free Energy and Phase Diagram of All-DNA Bulk Fluids
Polymers
2,018
cc-by
8,721
Received: 23 March 2018 ; Accepted: 13 April 2018; Published: 16 April 2018 Abstract: We present a numerical study in which large-scale bulk simulations of self-assembled DNA constructs have been carried out with a realistic coarse-grained model. The investigation aims at obtaining a precise, albeit numerically demanding, estimate of the free energy for such systems. We then, in turn, use these accurate results to validate a recently proposed theoretical approach that builds on a liquid-state theory, the Wertheim theory, to compute the phase diagram of all-DNA fluids. This hybrid theoretical/numerical approach, based on the lowest-order virial expansion and on a nearest-neighbor DNA model, can provide, in an undemanding way, a parameter-free thermodynamic description of DNA associating fluids that is in semi-quantitative agreement with experiments. We show that the predictions of the scheme are as accurate as those obtained with more sophisticated methods. We also demonstrate the flexibility of the approach by incorporating non-trivial additional contributions that go beyond the nearest-neighbor model to compute the DNA hybridization free energy. Keywords: DNA; DNA nanotechnology; patchy particles; Wertheim theory; thermodynamic integration; phase coexistence   Received: 23 March 2018 ; Accepted: 13 April 2018; Published: 16 April 2018 polymers polymers www.mdpi.com/journal/polymers Polymers 2018, 10, 447; doi:10.3390/polym10040447 An Accurate Estimate of the Free Energy and Phase Diagram of All-DNA Bulk Fluids Emanuele Locatelli 1,* ID and Lorenzo Rovigatti 2,3 ID 1 Faculty of Physics, University of Vienna, Boltzmanngasse 5, A-1090 Vienna, Austria 2 CNR-ISC, Uos Sapienza, Piazzale A. Moro 2, 00185 Roma, Italy; lorenzo.rovigatti@uniroma1.it 3 Department of Physics, Sapienza Università di Roma,Piazzale A. Moro 2, 00185 Roma, Italy * Correspondence: emanuele.locatelli@univie.ac.at www.mdpi.com/journal/polymers 1. Introduction The most prominent function of DNA is to store the genetic information of all living organisms. However, the main biophysical features that allow DNA to fulfil its role, namely, the extremely regular structure of its double-stranded form and the outstanding specificity of its single-stranded form, make it a great addition to the toolboxes of nanotechnology and materials science [1,2]. The usage of DNA in the latter field is extremely variegated, as it can be used not only as a link to connect nano- or micro-particles [3,4], but also to synthesize all-DNA materials. In both cases, the resulting materials can be made either ordered or disordered [5–8]. An important factor that contributes to the complexity of DNA self-assembly is its polymeric nature [9–14]. Biologically, it can be found in linear or circular form [15,16]; the thermodynamical [17,18] and topological [19–22] properties of DNA as a biopolymer have been the object of increasing interest in the recent past. On the other side, DNA has been used to synthesize polymeric materials such as dendrimers [23,24] or hydrogels [25,26]. The strategy devised to synthesize all-DNA materials is based on the concept of hierarchical or multi-step self-assembly: short (usually 10–100 nucleotides) DNA single strands are designed to self-assemble into a well-defined object at intermediate temperature T. As T is lowered, these DNA constructs start to aggregate and form higher-order finite structures or even bulk materials [1]. Because the melting temperature of DNA is highly dependent on the specific strand sequence and its length, the temperature at which the self-assembly of the constructs and the formation of inter-construct bonds occur can be tuned independently. Therefore, it is common to use sequences Polymers 2018, 10, 447; doi:10.3390/polym10040447 www.mdpi.com/journal/polymers 2 of 14 Polymers 2018, 10, 447 of length 4–10 for the inter-construct bonding and of length 15–30 for the constructs themselves. Sequences designed to follow this principle have been used to synthesize crystals [7], gels [8] and reentrant gels [27]. Most of the time, these synthetic sequences have to be chosen carefully and through a tedious and expensive trial-and-error procedure. Indeed, from a theoretical standpoint, there are two-state thermodynamic descriptions of DNA, the “nearest-neighbour” models, that make it easy to estimate the melting temperature (and even secondary structure) of DNA sequences [28]. However, there is no straightforward way of predicting the actual phase behaviour of complicated DNA systems. 1. Introduction For all-DNA constructs that interact and bind through a small number of short sticky ends, some progress has been made by employing a well-known liquid-state theory, the Wertheim thermodynamic perturbation theory (WTPT) [29,30], complemented by detailed simulations of a realistic DNA model [31]. The output of these calculations is the free energy of the system, from which it is possible to estimate the thermodynamic stability of the different phases as a function of temperature and density (or concentration). It has been shown that this hybrid theoretical/numerical approach is able to semi-quantitatively (and, in some cases, quantitatively) reproduce experimental results. However, the method developed in [31] rests on some assumptions and approximations that were not fully controlled and require a more stringent validation in light of their sheer simplicity. For example, rather than requiring cumbersome simulations of bulk systems, the approach of [31] efficiently evaluates the free energy by employing results from two-body simulations as inputs for a second-order virial expansion. In this paper we employ large-scale molecular dynamics simulations to complement the WTPT and compute the phase behaviour of all-DNA systems with higher accuracy, in order to more strictly validate the method introduced in [31]. In particular, we run extensive bulk simulations to calculate the free energy with unprecedented accuracy by considering a third-order virial expansion and by thermodynamic integration. We also show that the method can be readily extended by considering additional contributions. We further improve the agreement between theory and experiment by assessing, for the first time, the electrostatic effect due to the presence of long tails on the hybridization of the sticky ends [32] and hence on the nanostar phase behaviour. The paper is organized as follows: In Section 2, after discussing the estimation of the Helmoltz free energy within the WTPT framework, we briefly discuss the determination of critical points and phase coexistence; we further briefly review the numerical models. In Section 3, we detail all the results obtained. First, we characterize the structure of the fluid (Section 3.1); we then examine and comment on the data obtained from the numerical simulation for the pressure as a function of the concentration at different salt concentrations and different temperatures (Section 3.2). Last, we compute the critical points for trivalent and tetravalent nanostars, comparing the results with previous estimates (Section 3.3). 2.1. DNA Sequences We consider systems made up of all-DNA nanostars, that is, branched polymers with f arms. These DNA constructs are composed of f single strands with specifically designed sequences (see Figure 1). The sequences used are the same as those reported in previous experimental works [8,33,34]. We focus on trivalent (trimers, f = 3) and tetravalent (tetramers, f = 4) constructs. In both cases, each of the f strands are composed of 49 nucleotides. Each sequence is divided into two central regions (20 nucleotides each), and a third, shorter region (6 nucleotides). The two central regions are designed to form the stiff double-stranded sections of the arms; they are separated by two unpaired nucleotides, also called spacers, that provide flexibility at the centre of the construct. The third region is identical in all four sequences; one spacer is present before the sticky end, also providing flexibility. The final sequence is self-complementary and thus allows for inter-tetramer bonding. The difference in length between the double-stranded arms and the sticky ends provides a separation between the temperatures 3 of 14 Polymers 2018, 10, 447 at which bonds and arms melt. This allows for a temperature-controlled hierarchical self-assembly scenario, where the f single strands can spontaneously assemble at intermediate temperatures and form stable constructs before bonds can be formed. Therefore, there is a range of temperatures in which the construct is stable and can represent an all-DNA experimentally accessible realization of a patchy particle [8,27,35]. As will be also mentioned later, in this work we scramble the sticky end sequences so that no bonding is possible. Such expedient provides, in the case of DNA constructs, the reference fluid. Trimer sequences CTACTATGGCGGGTGATAAAAACGGGAAGAGCATGCCCATCCACGATCG GGATGGGCATGCTCTTCCCGAACTCAACTGCCTGGTGATACGACGATCG CGTATCACCAGGCAGTTGAGAATTTATCACCCGCCATAGTAGACGATCG Tetramer sequences CTACTATGGCGGGTGATAAAAACGGGAAGAGCATGCCCATCCACGATCG GGATGGGCATGCTCTTCCCGAACTCAACTGCCTGGTGATACGACGATCG CGTATCACCAGGCAGTTGAGAACATGCGAGGGTCCAATACCGACGATCG CGGTATTGGACCCTCGCATGAATTTATCACCCGCCATAGTAGACGATCG Figure 1. (Top) Strand sequences for the DNA constructs used in this work. Spacers (nucleotides that add flexibility to the structure but are not designed to pair up) are coloured in grey. Non-grey nucleotides that are part of complementary sequences share the same colour. (Bottom) Simulation snapshots of a trimer and a tetramer, coloured according to the same color convention. Figure 1. (Top) Strand sequences for the DNA constructs used in this work. Spacers (nucleotides that add flexibility to the structure but are not designed to pair up) are coloured in grey. Non-grey nucleotides that are part of complementary sequences share the same colour. 2.1. DNA Sequences (Bottom) Simulation snapshots of a trimer and a tetramer, coloured according to the same color convention. 2.3. Theoretical Framework We combine the WTPT with an accurate mass-action law describing DNA binding. In a pure, one-species system, within the representation of the Helmoltz free energy, the thermodynamic quantities can be expressed as functions of the temperature T and the density ρ. In the WTPT, the Helmholtz free energy per particle for DNA nanostars of valence f = 4 (tetramers) or f = 3 (trimers) can be written as follows [31,42]: β ¯f (T, ρ) ≡β F(T, ρ) N = β fref(T, ρ) + β fb(T, ρ), (1) (1) where β = 1/kBT, kB is the Boltzmann constant. Following the standard notation, β fref(T, ρ) is the free energy per particle of the reference system, that is, the system in which particles are not decorated with bonding sites, and β fb(T, ρ) is the free energy per particle associated to the bond formation. The former term, in the case of DNA nanostars, is evaluated by considering a system in which the sticky end sequences are scrambled in such a way that Watson–Crick pairing does not occur and no inter-star bond can form; the residual interaction is purely repulsive. β fref itself is given by the two contributions: β fref(T, ρ) = β fid(T, ρ) + β fex(T, ρ), (2) (2) where the ideal-gas free-energy density is given by β fid(T, ρ) = ln(v0ρ) −1; here v0 is a reference volume whose value has no effect on the derivatives of the free energy. Because WPTP is often applied to systems with hard-core excluded volume interactions, the free energy of the reference fluid is usually approximated with the Carnahan–Starling expression. Here, however, we deal with a system for which there are unknown theoretical estimates. In [31], a simple virial expansion truncated at the second order was adopted for the sake of simplicity and numerical efficiency. Here we extensively check the quality of the approximation by providing more accurate estimates of the reference free energy. More specifically, we compute the excess free energy per particle following two standard routes: thermodynamic integration (TI) and the virial expansion truncated at the third order. 2.2. Numerical Methods We perform simulations of DNA nanostars modeled with oxDNA2 [36], a DNA model coarse-grained at the level of single nucleotides. The interaction forms and parameters in oxDNA2 are chosen to reproduce structural and thermodynamical properties of both single- and double-stranded DNA molecules in B-form. The interactions between nucleotides, modeled as rigid bodies, account for excluded volume, electrostatic repulsion between the negatively charged backbones, backbone connectivity, Watson–Crick hydrogen bonding, stacking, cross-stacking and coaxial stacking. The interaction parameters have been adjusted in order to be consistent with experimental data on the structure and thermodynamics of DNA [37,38]. The electrostatic repulsion is provided by a Yukawa term characterized by a screening length that is an increasing function of T and a decreasing function of the salt concentration S [38]. Multivalent salts are not supported by the model. We ran large-scale simulations (250 purely repulsive trimers or tetramers for a total of 36,750 or 49,000 nucleotides, respectively) at eight different densities, three salt concentrations and three temperatures (15 and 20 ◦C for tetramers and 20◦C for trimers). We performed molecular dynamics simulations in the NVT ensemble using a Brownian thermostat [39]. The equations of motion were integrated with the velocity Verlet algorithm with a timestep of ∆t = 0.001. We performed these simulations on NVIDIA GTX1080 GPUs [40]. We equilibrated for up to 107 MD steps and, in order to calculate the equation of state with adequate precision, performed production runs for ∼109 MD Polymers 2018, 10, 447 4 of 14 steps (2–3 weeks of single-GPU wall time, depending on the salt concentration). The pressure was computed by using the molecular definition of the virial [41]. 2.3. Theoretical Framework The standard path of thermodynamic integration consists of computing the free energy from a known reference state through integration of the equation of state as β fref(T, ρ) = β fid(T, ρ) + β f0(T, ρ) + Z ρ 0 βP(ρ′) −ρ′ ρ′2 dρ′, (3) (3) where P is the pressure of the reference fluid, which is the main output of the bulk simulations. We evaluate P at different densities ρ, temperatures and salt concentrations. Because there is essentially no attraction between the DNA nanostars in the reference system, we expect the pressure to be a convex well-behaving function of the density. Therefore, for each (T, S) pair we can span almost 3 orders of magnitude in density by simulating just eight state points. Once P is calculated with sufficient precision, we interpolate and integrate it analytically within the range of densities considered. The pressure measurements done in the bulk, large-scale numerical simulations performed can be also used to improve the virial expansion, which was previously limited at the second order [31]. Within the virial expansion, the pressure as a function of density reads βP = ρ + B2ρ2 + B3ρ3, (4) (4) where B2 = B2(T) is the second virial coefficient: where B2 = B2(T) is the second virial coefficient: B2(T) = −1 2 Z ∞ 0 4πr2  exp  −V(r) kBT  −1  dr (5) (5) olymers 2018, 10, 447 5 5 of 14 Polymers 2018, 10, 447 computed at different salt concentrations; V(r) is here the effective intra-molecular pair potential. We obtain the third virial coefficient through a fitting procedure; then we write the excess free energy as in [31], employing the virial expansion: β fex(T, ρ) = B2(T)ρ + B3(T) 2 ρ2. (6) (6) Finally, as all bonds are identical, the bonding free energy per particle is given by the following [43]: β fb(T, ρ) = f  ln(1 −pb(T, ρ)) + 1 2 pb(T, ρ)  , (7) (7) where pb is the fraction of formed bonds. The latter, which is a function of T and ρ, can be evaluated via a law of mass action, yielding pb(T, ρ) = 1 −−1 + p 1 + 4∆f ρ 2∆f ρ , (8) (8) where ∆is linked to the free-energy difference between bonded and non-bonded pairs of sticky ends. 2.3. Theoretical Framework Following [28,44], ∆≡vb exp(−β∆G) = vb exp  −∆H −(∆Snosalt + ∆Ssalt)T kBT  , (9) (9) where vb = 1.6606 nm3 is the reference volume of the non-bonded single strands [45], ∆H = −54,000 cal is the enthalpy gain upon bonding, and ∆Snosalt = −151.99 cal/K and ∆Ssalt = 0.368 · (LDNA − 1) · ln(S) cal/K are the salt-independent and -dependent entropy variations again upon bonding, respectively. These quantities refer to the sticky end sequences considered here, for which LDNA = 6 (see Appendix A for additional details on the different contributions to the bonding free energy). The expression for ∆thus encodes the salt, temperature and sequence dependence of the free-energy difference between bonded and non-bonded states. In general, the free energy computed according to the SantaLucia model does not take into account the effect of the presence of more than one non-binding nucleotide flanking the binding sequence [28]. Here the sticky ends are attached to the whole construct, which, particularly at low salt concentrations, might exert a substantial electrostatic repulsion that it is not straightforward to quantify in terms of contributions to the binding free energy. However, a recent joint numerical/experimental work provided a quantitative estimation of the effect of single-stranded tails on the melting temperature and hybridization free energy of short strands [32]. It was shown that the effect depends strongly on the salt concentration and seems to saturate when the length of the tail exceeds 4–5 single-stranded nucleotides. Unfortunately, the effect of double-stranded tails has not been investigated yet. In order to tentatively estimate the effect of the nanostar’s electrostatic repulsion on the phase behaviour, we use the long-tail limit of the values reported in [32] and extrapolate its dependence on S to correct the SantaLucia’s free energies. The detailed derivation of these additional terms is reported in Appendix A. Once the free energy is known, the location of the critical point at a fixed salt concentration is found by invoking global stability; mathematically, the critical temperature Tc and density ρc must satisfy the conditions ∂P ∂ρ (Tc,ρc) = 0 and ∂2P ∂ρ2 (Tc,ρc) = 0, (10) (10) where P(ρ, T) = ρ2 ∂¯f ∂ρ. We also evaluate the coexistence region by employing a standard common tangent construction [42]. 3.1. Structural Properties of the Fluid We consider the reference fluid as a polymeric system composed of purely repulsive particles. We consider the reference fluid as a polymeric system composed of purely repulsive particles. We choose as the characteristic length scale of the fluid the length of one arm, defined as the average distance between the central nucleotides and any arm tip. This choice is dictated by the fact that the arms of the stars are quite rigid, particularly at a low salt concentration, as their length (≈20 nucleotides) is only a fraction of the double stranded (ds) DNA persistence length (≈150). On the contrary, the overall structure, as a result of the presence of the central unpaired nucleotides, can be very floppy [42]; thus the radius of gyration underestimates the size of the construct and does not provide a reliable measure for the typical interaction range. From numerical simulations, we find that Larm depends on the salt concentration only, as we obtain Larm = 9.70 nm for S = 0.05 M, Larm = 8.93 nm for S = 0.2 M, and Larm = 8.72 nm for S = 0.5 M, regardless of temperature and functionality. It follows that the overlap density for our system, defined as ρ∗= 3/(4πL3 arm), is ρ∗= 2.61 × 10−4 nm−3 for S = 0.05 M, ρ∗= 3.35 × 10−4 nm−3 for S = 0.2 M and ρ∗= 3.60 × 10−4 nm−3 for S = 0.5 M. We mention that, for the most dense systems considered, the arms become shorter and, overall, the nanostars start shrinking. This is usually a sign of the onset of the semi-dilute regime. Indeed, examining the radial distribution function G2(r), we note a structural change as ρ/ρ∗≳1. As is visible in Figure 2, for very low values of ρ/ρ∗, that is, in the dilute regime, the radial distribution function has no peak, the fluid having no structure. Upon approaching the overlap density, the fluid becomes more structured and a small peak appears. This peak happens at around 1.5Larm, as is commonly observed in soft fluids at these densities [46]. These features support the choice of Larm as the characteristic length scale of a nanostar in solution. 2.3. Theoretical Framework We compute the pressure and chemical potential as Polymers 2018, 10, 447 6 of 14 6 of 14 Polymers 2018, 10, 447 P = −∂¯f ∂v = ρ2 ∂¯f ∂ρ and µ = g = ¯f + P ρ , where g is the Gibbs free energy per particle, and we exploit the well-known property µ = g. We thus impose P1(T, ρ1) = P2(T, ρ2) and µ1(T, ρ1) = µ2(T, ρ2), (11) (11) where Pj and µj are the pressure and chemical potentials in the phase j, respectively. In order to solve the system of equations given by Equations (10) and (11), we use a nonlinear solver (modified Powell algorithm) and set a grid of initial conditions in the ρ–T or ρ1–ρ2 plane at fixed T, for critical and coexistence points, respectively. Such a research strategy is proficient in finding critical and coexistence points. 3.2. Pressure of the Reference Fluid Next we analyze the pressure computed from the bulk simulations introduced in Section 2. As reported in the literature [47], the reduced (osmotic) pressure of semi-dilute solutions of polyelectrolytes with added salt should be a universal function of the reduced density B2ρ, B2 being the second virial coefficient. In Figure 3, we report the reduced pressure βP/ρ as a function of the reduced density B2ρ. We observe a nice collapse for both tetramers and trimers, at three different salt concentrations and three different temperatures. In what follows, we use these data to compute the reference free energy, using the two methods described in Section 2. We start from the third-order virial approximation: panel (a) of Figure 4 shows the comparison between numerical data for the reduced pressure and the best fit of Equation (4) as a function of the reduced density. The dashed lines in Figure 4a refer to polynomial fits of Equation (4). In the fitting procedure, we fix B2 to the values reported in [31]. The only fitting parameter is thus the third virial 7 of 14 Polymers 2018, 10, 447 coefficient B3: as shown in Figure 3, such a functional form fits the numerical data well for all the densities and salt concentrations considered; a small discrepancy is observed only for the lowest salt concentration S = 0.05 M, well in the semi-dilute regime. We further show, in the inset of Figure 4a, how the second-order virial approximation performs: the solid line is Equation (4), considered only up to the second order. The second-order approximation fits the data very nicely almost up to the semi-dilute regime, ρ/ρ∗= 1, where the effective pair potential description for polymer solutions usually breaks down [48,49]. 0 1 2 3 4 r/Larm 0 0.5 1 G2(r) ρ/ρ * = 2.63 ρ/ρ * = 2.16 ρ/ρ * = 1.11 ρ/ρ * = 0.14 ρ/ρ * = 0.04 Figure 2. Radial distribution function of the centers of mass of the DNA tetramers as function of the inter-particle distance r, measured in units of the average arm length Larm, at fixed temperature T = 25 ◦C and salt concentration S = 0.5 M, for different reduced densities ρ/ρ∗. Figure 2. 3.2. Pressure of the Reference Fluid Radial distribution function of the centers of mass of the DNA tetramers as function of the inter-particle distance r, measured in units of the average arm length Larm, at fixed temperature T = 25 ◦C and salt concentration S = 0.5 M, for different reduced densities ρ/ρ∗. 0.01 0.1 1 B2 ρ 1 10 100 βP/ρ S = 0.05M S = 0.2M S = 0.5M 0.01 0.1 1 B2 ρ 1 10 100 βP/ρ S = 0.05M S = 0.2M S = 0.5M 0.01 0.1 1 B2 ρ 1 10 100 βP/ρ S = 0.05M S = 0.2M S = 0.5M f = 4, T = 25°C f = 4, T = 15°C f = 3, T = 20°C Figure 3. Reduced pressure for the reference fluid as function of the reduced density B2ρ, for different functionalities, salt concentrations and temperatures. Figure 3. Reduced pressure for the reference fluid as function of the reduced density B2ρ, for different functionalities, salt concentrations and temperatures. We further carry on the validation by comparing how the third-order virial approximation compares against thermodynamic integration. In Figure 4b, we present the reference free energy per particle β fref as a function of the reduced density, computed using the two methods: the third-order virial approximation agrees well with the TI, except, once again, at a high density for the lowest salt concentration. As shown in Section 3.3, the critical point always lies well within the dilute regime, where all the methods considered are bound to predict the same reference free energy. This strongly confirms the validity of the numerically undemanding approach adopted in [31]. 3.3. Critical Points and Coexistence We now compute the critical points using as excess free energy either the virial approximation (Equation (6)) or TI (Equation (3)). We now compute the critical points using as excess free energy either the virial approximation (Equation (6)) or TI (Equation (3)). In Figure 5, we report critical temperatures (Figure 5a) and critical densities (Figure 5b) for tetramers and trimers. We also report the results of the second-order virial coefficient, as is done in [31], for direct comparison. We note that although we use the values of B2 reported in [31], the two sets of results differ, as the corrections to ∆H and ∆S due to the presence of dangling ends were miscalculated (see Appendix A). Looking at the comparison, it is evident that the second-order virial expansion of the free energy is almost as accurate as the third-order and TI expressions in predicting the locus of the critical temperatures. Concerning the critical densities, the more accurate methods predict even smaller critical densities than the second-order virial approximation; the disagreement is, however, small with respect to the discrepancy that still persists with respect to the experimental data. Such a poor agreement should be ascribed to a limitation of the WTPT, which is known to underestimate the critical density [42,50]. 0 0.1 0.2 0.3 0.4 0.5 0.6 S [M] 10 20 30 40 50 Tc [°C] f = 4 (B2) f = 3 (B2) 0 0.1 0.2 0.3 0.4 0.5 0.6 10 20 30 40 50 f = 4 (B2 + B3) f = 3 (B2 + B3) f = 4 (TI) f = 3 (TI) a 0 0.1 0.2 0.3 0.4 0.5 0.6 S [M] 0.0 0.2 0.4 0.6 0.8 ρc [10 -4nm -3] f = 4 (B2) f = 3 (B2) 0 0.1 0.2 0.3 0.4 0.5 0.6 0.0 0.2 0.4 0.6 0.8 f = 4 (B2 + B3) f = 3 (B2 + B3) f = 4 (TI) f = 3 (TI) b Figure 5. (a) Critical temperature as function of salt concentration. (b) Critical density as function of salt concentration. Circles and full line refer to tetramers (f = 4); squares and dashed line refer to trimers (f = 3). The data has been obtained with the second-order virial approximation [31] (black lines), the third-order virial approximation (full red symbols), thermodynamic integration (TI) (dashed green symbols) and experiments [8] (full blue symbols). 3.2. Pressure of the Reference Fluid Polymers 2018, 10, 447 8 of 14 8 of 14 10 -1 10 0 ρ/ρ * -10 0 10 20 30 βfref S = 0.05M S = 0.2M S = 0.5M 10 -1 10 0 ρ/ρ * -10 0 10 20 30 βfref S = 0.05M S = 0.2M S = 0.5M b 10 -2 10 -1 10 0 ρ/ρ * 10 0 10 1 10 2 βP/ρ S = 0.05M S = 0.2M S = 0.5M 10 -2 10 -1 10 0 ρ / ρ * 10 0 10 1 βP/ρ B2 , B3 B2 10 -2 10 -1 10 0 ρ/ρ * 10 0 10 1 10 2 βP/ρ S = 0.05M S = 0.2M S = 0.5M a 10 -1 10 0 ρ/ρ * -10 0 10 20 30 βfref S = 0.05M S = 0.2M S = 0.5M 10 -1 10 0 ρ/ρ * -10 0 10 20 30 βfref S = 0.05M S = 0.2M S = 0.5M b Figure 4. (a) Reduced pressure of a reference fluid of tetramers, as function of the reduced density ρ/ρ∗. Points are data from numerical simulations; dashed lines are polynomial fits (Equation (4)). Inset: Pressure as function of ρ/ρ∗for S = 0.5 M: symbols and dashed line as in the main panel; the full line is the second-order virial approximation; (b) Reference free energy as function of the reduced density ρ/ρ∗computed using thermodynamic integration (TI) (full symbols) and a third-order virial approximation (dashed lines). 10 -2 10 -1 10 0 ρ/ρ * 10 0 10 1 10 2 βP/ρ S = 0.05M S = 0.2M S = 0.5M 10 -2 10 -1 10 0 ρ / ρ * 10 0 10 1 βP/ρ B2 , B3 B2 10 -2 10 -1 10 0 ρ/ρ * 10 0 10 1 10 2 βP/ρ S = 0.05M S = 0.2M S = 0.5M a βf βf b Figure 4. (a) Reduced pressure of a reference fluid of tetramers, as function of the reduced density ρ/ρ∗. Points are data from numerical simulations; dashed lines are polynomial fits (Equation (4)). Inset: Pressure as function of ρ/ρ∗for S = 0.5 M: symbols and dashed line as in the main panel; the full line is the second-order virial approximation; (b) Reference free energy as function of the reduced density ρ/ρ∗computed using thermodynamic integration (TI) (full symbols) and a third-order virial approximation (dashed lines). 3.3. Critical Points and Coexistence 0 0.1 0.2 0.3 0.4 0.5 0.6 S [M] 0.0 0.2 0.4 0.6 0.8 ρc [10 -4nm -3] f = 4 (B2) f = 3 (B2) 0 0.1 0.2 0.3 0.4 0.5 0.6 0.0 0.2 0.4 0.6 0.8 f = 4 (B2 + B3) f = 3 (B2 + B3) f = 4 (TI) f = 3 (TI) b 0 0.1 0.2 0.3 0.4 0.5 0.6 S [M] 10 20 30 40 50 Tc [°C] f = 4 (B2) f = 3 (B2) 0 0.1 0.2 0.3 0.4 0.5 0.6 10 20 30 40 50 f = 4 (B2 + B3) f = 3 (B2 + B3) f = 4 (TI) f = 3 (TI) a 4 3 Figure 5. (a) Critical temperature as function of salt concentration. (b) Critical density as function of salt concentration. Circles and full line refer to tetramers (f = 4); squares and dashed line refer to trimers (f = 3). The data has been obtained with the second-order virial approximation [31] (black lines), the third-order virial approximation (full red symbols), thermodynamic integration (TI) (dashed green symbols) and experiments [8] (full blue symbols). Polymers 2018, 10, 447 Polymers 2018, 10, 447 9 of 14 Polymers 2018, 10, 447 Next, we examine how employing more accurate expressions for the free energy affects the coexistence regions. In Figure 6, we report the prediction of WTPT for tetramers at different salt concentrations (trimers exhibit the same qualitative trends). The main panel, which shows a comparison between the temperature–density phase diagram computed with the second- (lines) and third-order (symbols) virial approximations, reflects the qualitative trends noted before for the critical point. As expected, the range of temperatures remains virtually unchanged, while the coexistence region shrinks towards smaller densities. From the inset of Figure 6, we can appreciate that the low-density branch remains untouched, as at low density the second-order virial expansion is already very accurate, while at higher densities the third term of the virial increases the excess free energy, thereby stabilizing the liquid. 3.3. Critical Points and Coexistence 0 1 2 3 4 5 6 ρ [10 -4 nm -3] 0 10 20 30 40 50 60 70 T [°C] S = 0.05M S = 0.2M S = 0.5M S = 0.05M S = 0.2M S = 0.5M 10 -10 10 -8 10 -6 10 -4 10 -2 10 0 ρ [10 -4 nm -3] 0 10 20 30 40 50 T [°C] Figure 6. Main panel: Coexistence regions in the T–ρ plane for tetramers at different salt concentrations. Symbols and lines refer to data obtained with second-order virial approximation (full lines) and third-order virial approximation (open symbols); full symbols refer to critical points. Inset: As in main panel, semi-log scale emphasizes the low-density branch. Figure 6. Main panel: Coexistence regions in the T–ρ plane for tetramers at different salt concentrations. Symbols and lines refer to data obtained with second-order virial approximation (full lines) and third-order virial approximation (open symbols); full symbols refer to critical points. Inset: As in main panel, semi-log scale emphasizes the low-density branch. Lastly, we look at the effect of the tail correction of the free energy [32] on the critical temperature, as shown in Figure 7. The increased effective repulsion does not significantly change the critical density, which is therefore not shown. At a low salt concentration, the electrostatic repulsion shifts Tc by as much as 8 K for both tetramers and trimers, improving the agreement with experimental results. Upon increasing S, the effect weakens and becomes effectively irrelevant above S ≈0.3 M. The crossing of the lines obtained with and without corrections is most likely a spurious effect due to the salt dependence of the entropy change we assume (see Appendix A for details). Improving these estimates requires a better understanding of the tail effect on the DNA hybridization free energy for different secondary structures and local geometries, calling for additional experiments and simulations. 10 of 14 Polymers 2018, 10, 447 0 0.1 0.2 0.3 0.4 0.5 0.6 S [M] 10 20 30 40 50 Tc [°C] f = 4 (B2) f = 3 (B2) f = 4 (B2 + tail correction) f = 3 (B2 + tail correction) 0 0.1 0.2 0.3 0.4 0.5 0.6 10 20 30 40 50 f = 4 (B2 + B3 + tail correction) f = 3 (B2 + B3 + tail correction) Figure 7. 3.3. Critical Points and Coexistence Critical temperature as function of salt concentrations, estimated by taking into account the contribution of the the repulsive tails, as is done in [32]. Circles and solid lines refer to tetramers (f = 4); squares and dashed lines refer to trimers (f = 3). The data has been obtained with the second-order virial approximation [31] (orange and black lines for data obtained with and without tail corrections), the third-order virial approximation (full violet symbols) and experiments [8] (full blue symbols). Data obtained with thermodynamic integration (TI) overlap with the B2 + B3 symbols and are therefore omitted for clarity. 0 0.1 0.2 0.3 0.4 0.5 0.6 S [M] 10 20 30 40 50 Tc [°C] f = 4 (B2) f = 3 (B2) f = 4 (B2 + tail correction) f = 3 (B2 + tail correction) 0 0.1 0.2 0.3 0.4 0.5 0.6 10 20 30 40 50 f = 4 (B2 + B3 + tail correction) f = 3 (B2 + B3 + tail correction) Figure 7. Critical temperature as function of salt concentrations, estimated by taking into account the contribution of the the repulsive tails, as is done in [32]. Circles and solid lines refer to tetramers (f = 4); squares and dashed lines refer to trimers (f = 3). The data has been obtained with the second-order virial approximation [31] (orange and black lines for data obtained with and without tail corrections), the third-order virial approximation (full violet symbols) and experiments [8] (full blue symbols). Data obtained with thermodynamic integration (TI) overlap with the B2 + B3 symbols and are therefore omitted for clarity. 4. Conclusions This is consistent with the electrostatic origin of the free energy shift, as reported in [32]. To conclude, we have shown that the method developed in [31] is not only very accurate despite its simplicity, but is also easily extensible by incorporating additional terms into the WTPT’s theoretical description of the system. The agreement between the theoretical and experimental results shows that this approach already allows for a simple yet accurate in silico evaluation of the phase behaviour of all-DNA systems. The flexibility of the method, which is not tied to the specific DNA sequences or geometry of the nanoconstructs, makes it a powerful tool to assist future experimental realizations of all-DNA materials [1]. Acknowledgments: The computational results presented have been achieved using the Vienna Scientific Cluster (VSC). The authors kindly acknowledge the Open Access Publishing Fund of the University of Vienna for fundings. Author Contributions: E.L. performed the numerical simulations. The two authors designed the research, analyzed the data and wrote the manuscript. Conflicts of Interest: The authors declare no conflict of interest. The founding sponsors had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript; or in the decision to publish the results. 4. Conclusions We have reported a computational study aimed at accurately evaluating the phase behaviour of all-DNA systems. This was done by employing the hybrid theoretical/numerical approach introduced in [31], where numerical simulations were used to calculate the inputs required by the WTPT to evaluate the system free energy. We performed extensive numerical simulations to precisely compute one of these inputs, namely, the reference free energy, for trivalent and tetravalent DNA nanostars at different temperatures, densities and salt concentrations. We have used this data to find a close comparison with the results obtained through a much simpler virial expansion truncated at the second order, as is done in [31]. The numerical results reported here show that such a second virial coefficient approximation faithfully reproduces the behaviour of the pressure in the reference fluid in a remarkably large interval of densities (essentially up to the semi-dilute regime). The agreement we observe demonstrates that, indeed, the effective pair-wise interaction is sufficient to reproduce the reference fluid structure and provides an inexpensive and yet accurate route to estimate the pressure, even at a much higher density. Next, we have used the pressure data to estimate the reference free energy necessary for WTPT by truncating the virial expansion to the third term and by performing TI. The critical points computed with the WTPT exhibit a good agreement with each other and with the much simpler second-order virial approximation, once again demonstrating the validity of the approach developed in [31]. The only notable difference is a shift of the density of the coexisting liquid towards smaller values, which is to be ascribed to the increased repulsion with respect to the second-order virial expansion. We have also looked at the effect of including an additional correction to the free energy because of the presence of nearby non-binding nucleotides on the hybridization of the sticky ends, estimated by extrapolating values taken by [32]. This additional contribution effectively reduces the critical temperature, improving the agreement with experiments [8]. As noticed, the presence of the tails affects the position of the critical points at low salt concentrations, while, upon increasing S, the effect Polymers 2018, 10, 447 11 of 14 weakens and becomes irrelevant above S ≈0.3 M. This is consistent with the electrostatic origin of the free energy shift, as reported in [32]. weakens and becomes irrelevant above S ≈0.3 M. Appendix A. Calculation of the Hybridization Free Energy Hybridization enthalpies ∆H, entropies ∆S and free energies ∆G at T = 37 ◦C for the sequence (5′A) −CGATCG −3′ according to SantaLucia nearest-neighbor DNA model Sequence ∆H (kcal/mol) ∆S (cal/K·mol) ∆G(37 ◦C) (kcal/mol) Sequence ∆H (kcal/mol) ∆S (cal/K·mol) ∆G(37 ◦C) (kcal/mol) CG/GC −9.8 −24.38 −2.24 GA/CT −7.8 −21.02 −1.28 AT/TA −7.2 −21.34 −0.58 TC/AG −7.8 −21.02 −1.28 CG/GC −9.8 −24.38 −2.24 The sum of all stacking contributions are The sum of all stacking contributions are ∆Hstack = −42.4 kcal/mol ∆Sstack = −112.139 cal/K·mol. ∆Hstack = −42.4 kcal/mol ∆Sstack = −112.139 cal/K·mol. ∆Hstack = −42.4 kcal/mol ∆Sstack = −112.139 cal/K·mol. The contribution for the initial G/C pair amounts to The contribution for the initial G/C pair amounts to ∆Hinit = 0.2 kcal/mol ∆Sinit = −5.7 cal/K·mol. ∆Hinit = 0.2 kcal/mol ∆Sinit = −5.7 cal/K·mol. ∆Sinit = −5.7 cal/K·mol. The symmetry correction carries a contribution ∆Hsym = 0 kcal/mol ∆Ssym = −1.4 cal/K·mol. ∆Hsym = 0 kcal/mol ∆Ssym = −1.4 cal/K·mol. ∆Ssym = −1.4 cal/K·mol. Before the dangling end correction, the total enthalpy and entropy differences are ∆H = −42.2 kcal/mol and ∆S = −119.23 cal/K·mol. Finally, following SantaLucia, the sticky end sequence has two CA/G 3′ dangling ends. Each dangling end gives a contribution of ∆Sdangl = −16.38 cal/K·mol. ∆Hdangl = −5.9 kcal/mol The final free energy difference is therefore ∆H = −54 kcal/mol and ∆S = −151.99 cal/K gy We complement the calculation of the bonding free energy by also taking into account the effect of the nanostar on the bond formation, following [32]. As reported in the paper, the shift in the hybridization free energy δ∆G observed experimentally, due essentially to electrostatic repulsions, is independent of the duplex length, depends on the salt concentration S and reaches a constant value for sufficiently long tails (ntail ≳4). Because the “tail” is, in our case, an entire double-stranded arm composed of 10 nucleotides, we consider the limiting (plateau) value of δ∆G at the proper salt concentration. We then consider Section S3.3 and Figure S7 of the Supplementary Information of [32], in which a numerical estimate for the extra contribution to the hybridization enthalpy and entropy in the presence of inert tails is provided. The data reported concern a duplex of length nhybrid = 9 with tails of length ntail = 7, and hence these numbers should be taken with a grain of salt. δ∆Htail = 0.30296 kcal/mol (A5) We assume that δ∆Stail = δ∆Stail,0 + α ln(S); such a choice is motivated by the observed dependence of δ∆Gtail on the salt concentration, which we assume, following SantaLucia and for the lack of further experimental data, to have a purely entropic origin. Fitting the experimental data (Figure 3e of [32]), we obtain α = 1.6821 cal/K and δ∆Stail,0 = 2.4525 cal/K. The shift in the Gibbs free energy for every temperature and every salt concentration is then given by δ∆Gtail = δ∆Htail + (δ∆Stail,0 + α ln(S)) T. (A6) (A6) δ∆Gtail = δ∆Htail + (δ∆Stail,0 + α ln(S)) T. Appendix A. Calculation of the Hybridization Free Energy In general, the hybridization free energy at any temperature is given by ∆G(T) = ∆H + T∆S, (A1) (A1) where ∆H and ∆S are the difference in enthalpy and entropy, which are assumed to be T-independent. From SantaLucia, the free energy at 37 degrees Celsius is given by where ∆H and ∆S are the difference in enthalpy and entropy, which are assumed to be T-independent. From SantaLucia, the free energy at 37 degrees Celsius is given by ∆G(37◦) = ∆Ginit(37 ◦C) + ∆Gsym(37 ◦C) + ∑∆Gstack(37 ◦C) + ∆Gterm(37 ◦C) + ∆Gdangl(37 ◦C). (A2 (A2) The sequence we are interested in is (5′A) −CGATCG −3′: this duplex is self-complementary, which means ∆Gsymmetry(37 ◦C) ̸= 0, and is attached to the arm of the nanostar through an unpaired A base at the 5′ end. (5′A) −CGATCG −3′ = ∆Gsym(37 ◦C) + CG + GA + AT + TC + CG + ∆Gterm(37 ◦C) 3 −GCTAGC −(A5′) GC CT TA AG GC (A3) (A3) plus the additional contribution due to the dangling ends. SantaLucia gives the values for ∆H and ∆G(37 ◦C) only. The entropy difference can be estimated by using Equation (A1), as ∆S = ∆H −∆G T , (A4) (A4) from which, at T = 37 ◦C and S = 1 M, we can obtain the entropy difference ∆S. Table A1 reports the SantaLucia contributions due to the stacking; the entropy difference has been estimated by using Equation (A4). We note that the 5′ and 3′ ends are reversed with respect to the convention used in oxDNA. Data reported in Table A1 are considered accordingly. ab e epo ts t e Sa ta uc a co t but o s due to t e stack g; t e e t opy d e e ce as bee estimated by using Equation (A4). We note that the 5′ and 3′ ends are reversed with respect to the convention used in oxDNA. Data reported in Table A1 are considered accordingly. 12 of 14 Polymers 2018, 10, 447 Table A1. Appendix A. Calculation of the Hybridization Free Energy Rescaling the numerical δ∆G to the experimental values (at fixed salt concentration S = 0.05 M) and rescaling the enthalpy and entropy shifts accordingly, we obtain that δ∆Stail = −0.00260 kcal/K·mol. (A5) δ∆Htail = 0.30296 kcal/mol δ∆Stail = −0.00260 kcal/K·mol. (A5) 1. Seeman, N.C. DNA in a material world. Nature 2003, 421, 427–431. [CrossRef References 1. Seeman, N.C. DNA in a material world. Nature 2003, 421, 427–431. [CrossRef] 13 of 14 Polymers 2018, 10, 447 13 of 14 2. Seeman, N.C. DNA Nanotechnology: Novel DNA Constructions. Annu. Rev. Biophys. Biomol. 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Design of Self-Assembling Materials, Chapter 1; Springer International Publishing: Cham, Switzerland, 2018. 50. Bianchi, E.; Tartaglia, P.; Zaccarelli, E.; Sciortino, F. Theoretical and Numerical Study of the Phase Diagram of Patchy Colloids: Ordered and Disordered Patch Arrangements. J. Chem. Phys. 2008, 128, 144504. [CrossRef] c⃝2018 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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The Spirit of the Cloud: The ‘New Jerusalem’ as a metaphor for social experiences of virtual technologies
Electronic workshops in computing
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http://dx.doi.org/10.14236/ewic/EVA2020.9 http://dx.doi.org/10.14236/ewic/EVA2020.9 The Spirit of the Cloud: The ‘New Jerusalem’ as a metaphor for social experiences of virtual technologies and the beginnings of the 'New Jerusalem' (Isaacs 2005). The Spirit of the Cloud: The ‘New Jerusalem’ as a metaphor for social experiences of virtual technologies Doron Altaratz Hadassah Academic College Jerusalem, Israel doronal@hac.ac.il Adam Havkin Scan the City Tel Aviv, Israel adam@scanthecityproject.com Moshe Caine Hadassah Academic College Jerusalem, Israel mosheca@hac.ac.il Doron Altaratz Hadassah Academic College Jerusalem, Israel doronal@hac.ac.il Eytan Mann Scan the City Tel Aviv, Israel eytan@scanthecityproject.com Adam Havkin Scan the City Tel Aviv, Israel adam@scanthecityproject.com Over the past centuries, the city of Jerusalem has been a centre for social and spiritual experiences of diverse communities separated from their homes and cultures. The crusaders notion of a 'New Jerusalem'; the physical reconstruction of the holy city of Jerusalem in Europe has been reversed and implemented through remote communities who moved to Jerusalem from overseas and reconstructed their home and places of worship. This project aims to express and enhance the dialectical relationship between diverse geographical locations, manifested through lost and reborn communities, the old and the New Jerusalem. Two very different, yet historically linked test cases are explored: The reconstructed Synagogue of the lost community of Conegliano Veneto, Italy, and the Kidane Mehret Ethiopian Church. Both located today in Jerusalem. Through the use of advanced photogrammetry, we attempt to create an emotional experience, transcending time and space and intensifying the complex experience of life in a home away from home. The two structures are recreated as 3D point clouds, enhanced by sounds of prayer and blended with historical imagery. The relationship between technology and meaning can be seen as an extension of the age-old mind-body problem. That is, how the physical and technological process may influence emotion and the subjective experience. The 'Spirit of the Cloud' attempts to bridge this gap by offering a personal encounter, which transcends the objectivity of technology and elevates the subject into a personal spiritual voyage. This is attempted by providing an immersive multi- sensory experience, combining eye, ear and physical interaction. Two integral components contribute towards this: The virtual reality headset and the point cloud audio-visual experience, These aim to create a spiritual voyage, where one may wander at will and experience the atmosphere of a twilight zone, bound neither by space nor time, yet strongly attached to both. The paper outlines the considerations, limitations, and solutions undertaken in the digital recreation of the structures. Likewise, it explores the process of fusing the technical challenge with the desired emotional impact on the user. Jerusalem. Church. Synagogue. Point cloud. Photogrammetry. Virtual reality. 1. INTRODUCTION and the beginnings of the 'New Jerusalem' (Isaacs 2005). In the year 1888, Jerusalem, the ancient holy city, which for thousands of years lay cramped within its protective walls, has grown in numbers. The latest walls, dating to the 16th century Ottoman Empire can no longer contain its population. In the late 1850s, Sir Moses Montefiore, a son-in-law of the Rothschilds, visits the city. Troubled by the plight of his fellow Jews he purchases a plot of land on an open hillside, west of the city, outside the walls. This signals the start of an exodus from the old city In the year 1888, Jerusalem, the ancient holy city, which for thousands of years lay cramped within its protective walls, has grown in numbers. The latest walls, dating to the 16th century Ottoman Empire can no longer contain its population. In the late 1850s, Sir Moses Montefiore, a son-in-law of the Rothschilds, visits the city. Troubled by the plight of his fellow Jews he purchases a plot of land on an open hillside, west of the city, outside the walls. This signals the start of an exodus from the old city Christian Europe rediscovered Jerusalem in the 19th century. The budding sciences of archaeology, geography, photography and anthropology made major inroads in Jerusalem at this time. 19th century explorations of Jerusalem produced a wealth of information and literature, which did much to arouse western interest in the city. The explorers came motivated by religion, intellectual curiosity and romantic imagination. 58 The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin Figure 1. Jerusalem 1917. Figure 1. Jerusalem 1917. Orthodox community in Jerusalem. From the second half of the nineteenth century, Ethiopians could acquire houses and lands in Jerusalem. In 1888, not 300 meters away, The Ethiopian Emperor Yohanes bought a plot of land and began construction of a new church and monastery for his growing community. The complex eventually lent its name to the road on which it is situated – Ethiopia Street. (Ben-Nathan 2012) In the year 1905, the Ottoman authorities designated a part of the town as Haret al-Habash, known today as the Ethiopian Compound. Meanwhile, just a stone’s throw away, another religious complex had just been completed. The Schmidt building in the heart of Jerusalem. 1. INTRODUCTION Built originally as a German Catholic Institution, it was also called the German Compound and named after Wilhelm Schmidt (1833–1908), a Lazarist priest who headed the German Catholic Society in Palestine for many years. The building served both as a hospice for pilgrims and as a centre for philanthropic activity. Figure 1. Jerusalem 1917. Figure 1. Jerusalem 1917. Figure 2: Construction of the Ethiopian Church. From the Ottoman Imperial Archive (date unknown). Yet, as so often in Jerusalem, religious practice, history, politics and location intertwine. Thousands of miles from Jerusalem, in the small town of Conegliano Veneto, Italy, a religious transition was also taking place. Jews had lived in Conegliano from the sixteenth century and prayed in a small synagogue. As the community dwindled the synagogue remained in sporadic use until the First World War. The last service was held on The Day of Atonement in 1919 by Jewish soldiers of the Austro-Hungarian army. Figure 2: Construction of the Ethiopian Church. From the Ottoman Imperial Archive (date unknown). Figure 2: Construction of the Ethiopian Church. From the Ottoman Imperial Archive (date unknown). Figure 3: Schmidt building. Lande Ein alter schlesischer Pionier, Nicolai O. S. Druck von C. Miarka, G. m. b. H., 1911. In 1944, when the last member of the Jewish community, Adolfo Vital, died, the community ceased to exist. Nevertheless, spiritual buildings can sometimes transcend the demise of their community. Thus, in 1951 following the establishment of the state of Israel, the synagogue was transferred in its entirety to Jerusalem, where the original hall was reconstructed in all its detail, in no other than the Schmidt building. Today the synagogue is in constant use by the Italia community of Jerusalem, descendants of Rome, Florence, Torino, mantua and other communities (Contessa 2014). Figure 3: Schmidt building. Lande Ein alter schlesischer Pionier, Nicolai O. S. Druck von C. Miarka, G. m. b. H., 1911. 2. TEST CASES Alongside this came a sharp upsurge of Christian religious activity in Jerusalem. The Latin Patriarch resumed residence in Jerusalem, as did the Greek Orthodox Patriarch. The Anglicans engaged in missionary activity aimed at converting Jews to Christianity. In order to advance this goal, they established schools and a hospital. This period also witnessed the development of the Ethiopian 2.1 The Kidane Mehret Ethiopian Church There are two forms of native Ethiopian churches: one oblong, traditionally found in Tigray, the other circular, as traditionally found in Amhara and Shewa. The Kidane Mehret Church in Jerusalem follows this style, round in shape with a dome of some 30 meters in height. 59 The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin Italy was so great that even the veil of the Ghetto could not block it and the Jews both absorbed it and were highly influenced by it, especially in the field of Synagogue decoration. The elegance of the interiors stood in stark contrast to the humble exteriors, which, both in line with the severe conditions imposed by the authorities and the security considerations self-imposed by the community, prevented any expressions of artistic and architectural luxury (Cassuto 2012). Figure 4: Soldiers of the Austro-Hungarian Army at the Synagogue. Yom Kippur 1919. Nahon Museum archives. 3. PROJECT RATIONALE As we have seen, the expanses of time and space are relative. Distances are measured sometimes less by actual miles than by human desires and yearnings, and the span of time counted less by calendar years than by memories and dreams. The magnetic and mystical pull of Jerusalem has for millennia drawn the faithful and the fanatics alike from the four corners of the earth. Figure 4: Soldiers of the Austro-Hungarian Army at the Synagogue. Yom Kippur 1919. Nahon Museum archives. Figure 5: The Ethiopian Church. Photo: M. Caine. Yet, as the saying goes: You can take an Englishman out of England, but you can’t take England out of the Englishman. Thus, even as the ongoing waves of immigration established their new centres of worship in the holy city of Jerusalem, they still maintained an unbroken link to their past and their homeland, be it Italy, Germany, Greece, Russia, or Ethiopia. This project aims to express and enhance the dialectical relationship between present and past, lost and reborn communities, the old and the New Jerusalem. 3.1 The virtual pilgrim The concept of Simulacrum and the New Jerusalem gives rise to the fundamental question: Can the VR voyage act as a virtual substitute for the pilgrimage journey? Central to this is the even deeper question: does a spiritual pilgrimage necessarily involve a physical journey? Is it possible that ‘arriving’ does not involve going out at all, but is rather an introspective process? Figure 5: The Ethiopian Church. Photo: M. Caine. The interior consists of three concentric rings. In the centre is the square meqdes ( ), ‘sanctuary’ (Mikdash in Hebrew), also called the qiddiste qiddusan ( ), ‘holy of holies’ (Kodesh Hakodashim in Hebrew), which only priests and deacons may enter and which contains the tabot, the tablet over which the Eucharist is celebrated. Around this is the circular part known as qiddist ( ), ‘holy’, intended for those able to receive Holy Communion. The outer circular ring, the qne mahlet ( ) is for the cantors and is accessible to public prayer (Twite 1996). This dilemma is not new. As early as 1480, following his pilgrimages to the Holy Land, the Dominican theologian Felix Fabri wrote instructions to his followers on how to experience a spiritual pilgrimage. (Fabri 1848) In recent years, with the dominance of the digital world and the Internet, the issue has become more prominent. A multitude of websites offer virtual experiences in lieu of physical travel (e.g. http://jerusalemexperience.com and http://www.jesus2000.com). Lately, the escalation of the worldwide Coronavirus has heightened the potential dangers of travel. Does the VR pilgrimage offer a viable alternative? 3.2 Utopia, simulacrum and the New Jerusalem The utopian idea behind the manifestation of the New Jerusalem’ is deeply rooted in the ritual of pilgrimage, where pilgrims, returning to their homes in Europe, brought with them artefacts of the holy land as souvenirs. 2.2 The Conegliano Veneto Synagogue 16th century Italian Synagogues were built in the Jewish Ghettos by Christian craftsmen, as this work was not permitted to Jews. Architecturally they were therefore a meeting between two opposite trends. One, which copied the artistic abilities of the Church, and the other, which veered away from it. Nevertheless, the sensitivity to art in 60 The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin In his famous poem dated 1808 'Jerusalem' the English Romantic William Blake (1757–1827) describes the ‘dark satanic mills’ where men and women toiled to create enormous wealth for a few. Figure 6: Revelation. Gustave Dore (1832–1883). I will not cease from Mental Fight, Nor shall my Sword sleep in my hand: Till we have built Jerusalem, In England’s green & pleasant Land. One of the most beautiful expressions of this concept of an imaginary city, born of dreams, desires and memory, appears in the book ‘Invisible Cities’ by Italo Calvino in 1972. Calvino's ‘Invisible Cities’ consists of a sequence of imaginary dialogues between the Venetian traveller Marco Polo and the Tartar emperor Kublai Khan. In these discussions, Polo describes a series of imaginary cities including among others, Cities and Desires, Cities and Memory, Cities and the Sky, and Hidden Cities. This belief is handed down in Beersheba: that, suspended in the heavens, there exists another Beersheba, where the city’s most elevated virtues and sentiments are poised, and that if the terrestrial Beersheba will take the celestial one as its model the two cities will become one (Cities and the Sky). Figure 6: Revelation. Gustave Dore (1832–1883). 5.1 The virtual reality headset Figure 8: 3D Space. Central to the experience of the VR headset is the disconnection of the user from his immediate surroundings. The visual and auditory sensory inputs are cut off and replaced by those fed into the user by the headset. This effectively captivates the user and cuts him off from his 'here and now' faculties. The immersive experience is directly fed into his eyes and ears, effectively taking over control. Photogrammetry is the extraction of three- dimensional measurements from two-dimensional data. In practice this means the extraction of the full XYZ coordinates of the point cloud by means of multiple photographs. Each (control) point on the 3d surface needs to be photographed from at least two different angles. Using the basic principles of triangulation, it is then possible to determine the distance of the object from the camera, i.e. the Z coordinate. In this respect it can be regarded as equivalent or akin to a 3D photographic pixel. It signifies a mathematical point in 3D space, devoid of actual size, but like the two-dimensional pixel it is represented in a given dimension relative to the display mechanism choice. In the same way that the digital photograph is comprised of many hundreds or thousands of pixels, each containing parameters of colour and intensity, so too the point cloud is a dense clustering of a vast number of points in space, each representing the RGB value and intensity of light reflecting off a single point. Figure 7: The Oculus Rift environment. Figure 7: The Oculus Rift environment. In conventional 3D modelling, these points are then connected to create a mesh, and the mesh is further surfaced with a texture, either derived from the photographic data or created artificially by software. Thus, the 3D model surface is solid and opaque, mimicking the original structure. The point cloud, on the contrary is not solid. Like a cluster of locusts in the sky, dots on the printed page or pixels on a screen, the cloud is measured by its density, i.e. by the distance between the dots. The denser the dots, the more seemingly opaque the scene. The sparser the dots, the more transparent. VR headsets are not uniform in their function. Essentially, two types exist: The simpler ones are those that place the user in a fixed point in 3D space, offering a 360 X180 degree view. 5. APPLICATION OF TECHNOLOGY it is the primary source of the three-dimensional digital structure. Technology is just a tool. It is man that gives it meaning. Technology is just a tool. It is man that gives it meaning. Figure 8: 3D Space. The relationship between technology and meaning can be seen as an extension of the age-old mind- body problem. That is, how the physical and technological process may influence emotion and the subjective experience. The 'Spirit of the Cloud' project attempts to bridge this gap by offering a personal encounter, which transcends the objectivity of technology and elevates the subject into a personal spiritual voyage. This is attempted by providing a multi-sensory experience, combining eye, ear and physical interaction. Two integral components contribute towards this: The virtual reality headset and the Point Cloud visual experience. 5.1 The virtual reality headset The more advanced, such as the Oculus Rift allow the user to move freely and at will within the virtual space, as music and sounds engulf the user and the world around him is transformed into an array of coloured dots, the point cloud. 4. THE EXPERIENCE It is this sense of dynamic dialectic tension between dream and reality, between mystique and objectivity, the here and now and the imaginary, that this project attempts to express and explore. Later when the physical link to the holy land was lost, churches representing the holy places were built throughout Europe, acting as a spiritual substitute to the old city of Jerusalem. These locations are described an ideal rather than real places. A utopia. A better Jerusalem. A copied image of a utopian idea disconnected from its original concept and evolving into a truth of its own. The term ‘Utopia’ means ‘no place’ in Greek and is associated with Thomas More (b.1478). More coined the word in his famous book of that name, to describe an island community with an ideal mode of government. First published in Latin in 1517, this concept of an ideal world and society resonates throughout history, in religions and within secular belief systems. By allowing the viewer to immerse in a virtual reality experience, equipped with VR goggles (such as the Oculus Rift), we wish to enable the user to navigate at will through the point cloud structures of both the Ethiopian Church and The Conegliano Italian Synagogue. Enhanced by the traditional sounds, chants, hymns and prayers, as well possibly as with historical photographic materials, we aim to create an emotional experience, transcending time and space and intensifying the complex experience of life in a home away from home; a 'virtual pilgrimage'. Churches in general, and the Church of England in particular, have long used Jerusalem as a metaphor for Heaven, a place of universal love and peace. In this respect, contemporary virtual reality could be considered as the New Jerusalem of social- technology, a redefined form of simulacrum, where the user (the believer) experiences a 'virtual pilgrimage' as 'a potential pilgrim which is 'out there' without ever stepping foot on an actual pilgrim road'. And I saw a new heaven and a new earth; for the former heaven and the former earth were passed away; and the sea was no more. And I, John, saw the holy city, the New Jerusalem, descending from God out of heaven, prepared like a bride adorned for her husband... (Revelation 21: 1–2) 61 The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin 5.2 The point cloud and photogrammetry The point cloud is a digital representation of three- dimensional space. In photogrammetry, 3D laser scanning and other optical acquisition technologies Likewise, the apparent density of the cloud will be relative to the distance from which it is viewed. As we approach the cloud, the apparent distance between the dots will grow, and vice versa as it 62 The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin following tests with a DSLR and even a 360 camera, the unusual choice was made to shoot with an iPhone 11, which offered very good low light quality. Ultimately, the photogrammetric model was constructed with some 2500 images, taken discreetly over some 5 separate visits. recedes into the distance. Because a point cloud is entirely mathematical and based on principles of trigonometry, we may place our viewpoint (camera) at any point in space. Furthermore, we may change our viewpoint at will and 'travel' through the clouds like a bird or a plane. As we approach the pixels, they grow larger and further apart. Unlike a standard 3D structure, the walls are never fully solid. Ceilings and floors no longer constrain our path of flight and space assumes a dreamlike quality. The Italian Synagogue on the other hand proved a friendlier experience. After several initial tests of photogrammetry, we were fortunate to gain access to a Faro Focus S150 Laser scanner. Some 50 scans were needed to cover the Synagogue interior. Figure 9: traveling through the Point Cloud of the Conegliano Synagogue. Figure 10: Laser scanning the Synagogue Ark. Figure 11: Top view point cloud of the church. Figure 10: Laser scanning the Synagogue Ark. Figure 10: Laser scanning the Synagogue Ark. Figure 9: traveling through the Point Cloud of the Conegliano Synagogue. 5.3 Technological challenge VR experiences are not new. Computer games abound and are highly immersive. However, usually they are based on rapidly processed low- polygon models enhanced by photorealistic textures to enhance the visual experience. 'The Spirit of the Cloud' experience is however based and dependent on a high-resolution point cloud. This places a hefty load on the computer processors, especially when displayed in the context of an interactive experience running at 30 FPS. Currently, various optimisation approaches are being tested in both the Unity and the Unreal Engine software in an attempt to reach an acceptable balance for a good user experience. Figure 10: Laser scanning the Synagogue Ark. Figure 11: Top view point cloud of the church. 6.1 Private/public One of the inbuilt conflicts of the religious spiritual experience lies in the fact that it is intrinsically and profoundly personal, yet at the same time a communal, shared experience. Attending a Church, Synagogue or mosque is a social event and the emotional impact is elevated by the togetherness, singing, holding hands or even communal silence. The intense emotional impact of the crowd is no less apparent in football matches or in the joint singing of William Blake’s Jerusalem at the last night of the Proms. 5.4 Creating the point cloud The practicalities of imaging the two structures were challenging to say the least. Some of the obstacles were technical, but no less were the religious, bureaucratic/political ones. The two went hand in hand. The Ethiopia church is 30 meters high. All requests for permission to enter with a laser scanner, or even a tripod, were turned down. Likewise, there was no possibility whatsoever to use a ladder, let alone a drone. The interior was extremely dark and could not be lit, so all photography had to be performed with available light. For these reasons, Figure 11: Top view point cloud of the church. 63 The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin Figure 12: Decimated point cloud of the church. journey. This is relevant to the VR experience, which by its very definition is and must be personal. The technology locks out the external world and all it contains. This can be both good and bad. It heightens the personal impact, yet at the same time it prevents the communal sharing experience. 6.2 Application in context This issue raises the question of how, where and when the VR experience can or should be applied. The obvious answer would be in the user’s private domain, when the muse is upon one and when the condition calls for it. However, in practice, very few people today have immediate access to high-end VR viewers such as the Oculus rift. This may well change in the not distant future as the technology becomes less cumbersome and more user friendly. Figure 12: Decimated point cloud of the church. These were then connected together in the FARO SCENE software. There, the initial processing, cleaning, filtering, colour correction, and stitching was carried out by https://www.scanthecity.com The unified point cloud was further migrated to additional software, including Cloud Compare, Reality Capture, Meshlab, etc. for further processing, cloud decimation and format conversion. In both cases the final models were immense (20–45 million points) and drastic decimation was needed in order to achieve a reasonable degree of fluid interactivity in the VR headset. Another possible answer would be installation in public places such as churches. Sometimes these magnificent edifices would appear to be in danger of losing some of their spirituality, as they become tourist attractions. VR installations on site could possibly become virtual cloisters of seclusion and introspection. 7. CONCLUSION Virtual reality is fast becoming the new reality. The digital explosion is expanding at an ever-growing pace and the technological experimentation described here will no doubt seem like child's play to the readers of this paper in the years to come. Therefore, the importance of the work must lie in the intrinsic questions raised regarding the role of technology in our spiritual lives and the application of 'gaming' software for other purposes. The interactive experience itself was developed in conventional gaming software. Early tests were carried out in Unity, but ultimately it was decided to move to the Unreal Engine development environment, as it proved more efficient in handling the point clouds. Finding the optimal balance between the best cloud density and usability was not easy, and at the time of writing tests are still on- going. Irrespective of the level of success that this particular project achieves, in its attempt to evoke an emotional sense of pilgrimage, it is the very attempt that must be regarded as relevant. For technology is part of our lives and will continue to evolve. Likewise, human nature will always crave a sense of purpose and belief. It is the motivation to unify and consolidate these two forces that lies at the core of this work, and this, it would seem, is to remain a never-ending task. 9. REFERENCES Ben-Nathan, G. (2012) The Ethiopian Church in Jerusalem – Debre Genet (Sanctuary of Paradise) [online]. https://anglo- Isaacs, A. (2005) Modernity Comes to Jerusalem [online]. Isaacs, A. (2005) Modernity Comes to Jerusalem [online]. The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin Fabri, F. (1848) Fratris Felicis Fabri Evagatorium in Terrae sanctae, Arabiae in Aegypti peregrinationem, vol.3. Fabri, F. (1848) Fratris Felicis Fabri Evagatorium in Terrae sanctae, Arabiae in Aegypti peregrinationem, vol.3. 8. TECHNOLOGIES UTILISED The following software was used for this project: Agisoft Metashape, Zephyr 3D Aerial, Reality Capture, Meshlab, CloudCompare, Autodesk MeshMixer, Unity 3D, Unreal Engine, Adobe Photoshop, Adobe Lightroom, Adobe Audition. The hardware used for this project consisted of the following: Nikon 5300 DSLR, Faro Focus S150 3D Laser Scanner, iPhone 11, Insta 360 camera. In parallel however, the spiritual experience is highly personal and inward looking. Me and my maker. Solitude, silence, an internal private 64 The Spirit of the Cloud Moshe Caine, Doron Altaratz, Eytan Mann & Adam Havkin ethiopian.org/publications/articles.php?type=A&refe rence=publications/articles/2012winter/jerusalem.p hp (retrieved 21 March 2020). ethiopian.org/publications/articles.php?type=A&refe rence=publications/articles/2012winter/jerusalem.p hp (retrieved 21 March 2020). Twite, R. (2020) Africa in Jerusalem – The Ethiopian Church [online]. Twite, R. (2020) Africa in Jerusalem – The Ethiopian Church [online]. Cassuto, D. (2012) Synagogues in Italy until the 18th century. In: R. Weinstein (ed.) Israeli communities in the East during the nineteenth and twentieth centuries [Hebrew], Yad Ben Zvi. pp.169– 171. https://mfa.gov.il/MFA/MFA- Archive/2003/Pages/Africa in Jerusalem - The Ethiopian Church.aspx (retrieved 21 March 2020). Contessa, A. (2014) From Italy to Jerusalem. The birth of the Umberto Nahon Museum of Italian Jewish Art. In: R. Bonfil (ed.) The Italian Jewish Cultural Centre in the Heart of Jerusalem, Jerusalem. 65
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Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series
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Received March 18, 2021, accepted April 9, 2021, date of publication April 15, 2021, date of current version April 28, 2021. Received March 18, 2021, accepted April 9, 2021, date of publi Digital Object Identifier 10.1109/ACCESS.2021.3073598 DANIEL PERDICES 1, JOSÉ LUIS GARCÍA-DORADO 1, JAVIER RAMOS 1, RODRIGO DE POOL 2, AND JAVIER ARACIL 1,2 epartment of Electronics and Communications Technology, Escuela Politécnica Superior, Universidad Autónoma de Madrid, 28049 Madrid, Spain audit High Performance Computing and Networking, S. L., 28049 Madrid, Spain This work was supported in part by the Ministry of Science and Innovation of Spain through Project AGILEMON under Grant AEI PID2019-104451RB-C21, and in part by the Predoctoral Fellowship of the Program for the Training of University Lecturers of the Ministry of Science, Innovation and Universities of Spain, under Grant FPU19/05678. ABSTRACT A common factor of every network monitoring system is an alerting module for time series. This module aims at triggering a warning when any type of abnormal behavior is detected in the patterns of a time series. Such a search for anomalies can be carried out by network managers as a supervised task such that the thresholds for considering a measurement as an anomaly are set following a manual process. Alternatively, we focus on how to translate such a task to an unsupervised one, thus alleviating network managers’ dedication. To this end, we have developed, based on the experience of monitoring dozens of networks, a player of real anomalies. Thus, by recreating real issues, the alerting systems’ parametrization can be carried out without supervision. Additionally, as a novelty, we propose to consider the network managers’ workforce as a significant parameter to configure the thresholds of the alerting module—essentially, avoiding triggering alarms that will hardly receive attention. Then, we propose to measure and rank alarms by relevance, and relate them to the time to be solved for constructing, eventually, automatic schedules for the members of the staff—according to their time availability. Finally, all these proposals have been put into practice in various deployments of monitoring systems on networks in operation, which gives us evidence of its usefulness and low demand for resources. INDEX TERMS Monitoring systems, alerting module, Internetwork time series, LSTM networks, network managers schedule. under a Creative Commons Attribution 4.0 License. For more information, see https://creativecommons.org/licenses/by/4.0/ VOLUME 9, 2021 This work is licensed under a Creative Commons Attribution 4.0 License. For more information, see https://creativecommons.org/licenses/by/4.0 I. INTRODUCTION ically, such alarms are triggered if a time series exceeds or drops over/below some given threshold from a baseline [4]. However, from our experience in monitoring large-enterprise networks, we noticed soon that the parametrization of such thresholds engenders a conflict. If thresholds are too narrow, there would be a large number of alarms [5] that exceed network managers’ dedication, and they will not be analyzed. In the opposite case, if thresholds are too wide, there would be real anomalies missing. Modern monitoring systems provide network managers with thousands of time series of diverse measurements on beau- tiful dashboard environments such as Grafana, Kibana, or Tableau [1]. Such time series may represent internet- work Key Performance Indicators (KPI) such as the band- width, round trip times (RTT), TCP-window sizes, or the number of retransmissions [2]. However, it is the duty of network managers to inspect the time series to both assess good performance and find any evidence of anomalies in the network [3]. Unfortunately, network managers’ time is limited which calls for systems that help them in such a task. Therefore, monitoring systems provide alerting mechanisms so that network managers only need to inspect time series after an alarm is triggered, so alleviating their burden. Typ- In this scenario, in our view, the keys to set efficient thresholds are: (i) the probability of a real anomaly not to be detected—i.e., a false negative—is marginal; (ii) the matching of the number of alarms to the analysis capacity of network managers. We emphasize that this last aspect is novel albeit the fact that triggering alarms with no time to be analyzed lacks sense. The associate editor coordinating the review of this manuscript and approving it for publication was Chakchai So-In . To address the first design line—avoiding false negatives—, we noticed that typically setting and updating thresholds used 61346 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series alarms over the workforce will be, simply, ignored. Needless to say, in the event of a significant number of unattended alarms, the total working capacity should be increased. to be a manual process based on previous experience without any automatic support. The research community noticed soon that such an approach, named Fixed Threshold Anomaly Detector [6], was not very useful. I. INTRODUCTION For example, a period of high activity, in the case of periodic time series, may not represent an anomaly at all but, simply, the typical busy hour of the network [7]. Even more, given that the task of updating parameters is usually tedious, some thresholds may not be adapted to regular network changes (e.g., more users or different services) over time [8]. To the best of our knowledge, this line of design has received no attention from the Internet community despite its direct relationship with the labor of network managers. As a first approach, we propose to formally define a metric for the relevance of the anomaly. Thus, network managers may order anomalies and take care of the top N anomalies according to their availability. Importantly, note that this avoids defining a hard threshold for what is normal or abnormal behavior of a network which has been an open question since the network monitoring was born [13]. From this scenario arose the natural idea of defining dynamics thresholds that the modern anomaly detection sys- tems apply nowadays. The answer to this need for dynamic thresholds has been following a stochastic approach. For example, Prometheus [9] suggests considering time series as Gaussian processes and sets thresholds according to excur- sions over a certain number of standard deviations over/below the average. The authors in [10] refine that approach by defin- ing the width according to the standard deviation of the noise of the time series—the difference between real and predicted values. Interestingly, the prediction is carried out through a trained Long Short-Term Memory (LSTM) neural network, similar to other works such as [11], [12]. We share their view of how the current trends of transferring machine-learning mechanisms to network problems are a good direction and, then, we embrace the approach of predicting traffic through neural networks. As a further step, we propose to re-adapt such threshold values as a balance between the labor force and the historical time the analysis of an alarm requires. That is, the number of alarms and the time they require must be balanced with the available time of the technical staff. In other words, alarms should be parameterized according to the number and rele- vance of the resulting anomalies in such a way that managers may pay attention to them. I. INTRODUCTION From the network managers’ per- spective, they simply receive an activity schedule according to relevance and time-dedication functions. In practice, we have added these two novel design lines in an operational monitoring tool that meets the needs of most of the commercial networks. Throughout the paper, we illustrate the system’s operation with examples and evaluate the perfor- mance in a real scenario with data from a large network with hundreds of servers for months. In this way, the contributions of the paper can be summarized as: However, we believe that the way of defining thresholds must be related to real-world anomalies and not to statistical variations of a signal. That is, an anomaly may pass unde- tected in such approaches, simply, because anomalies do not exceed one or more standard deviations of the time series but, in fact, it may entail a problem for the users of the net- works. Fortunately, we have characterized a large number of anomalies in real networks which has allowed us to reproduce the impact of anomalies in regular operation. That is, after replaying anomalies on time series, we can set thresholds in such a way that anomalies are detected. The point of this is that we can define thresholds to maximize/minimize true/false positives ratios of alerting for anomalies. In other words, we are translating a supervised task, where network managers must perform the threshold definition manually, to an unsupervised one, where this is totally automatic and requires minimal validation from them. • Automatic alerting of internetwork time series. We explain and illustrate the methodologies and novel mechanisms proposed to set alerting thresholds auto- matically. Threshold setting is based on the replay of abnormal variations from diverse sets of real incidents and the search for those values that optimize classifica- tion metrics. That is, given a trained time series regressor (for example, an LSTM network), we compare its output prediction to the original time series after adding the controlled anomalies. Those thresholds that maximize the identification of the anomalies according to some classification metric (e.g., F-score [14]) are chosen as parameters for the system. This process is completely automated and not based on arbitrary figures. • Automatic alerting of internetwork time series. We explain and illustrate the methodologies and novel mechanisms proposed to set alerting thresholds auto- matically. I. INTRODUCTION Threshold setting is based on the replay of abnormal variations from diverse sets of real incidents and the search for those values that optimize classifica- tion metrics. That is, given a trained time series regressor (for example, an LSTM network), we compare its output prediction to the original time series after adding the controlled anomalies. Those thresholds that maximize the identification of the anomalies according to some classification metric (e.g., F-score [14]) are chosen as parameters for the system. This process is completely automated and not based on arbitrary figures. In the second line of design—a balanced number of alarms—we note that the alarms must be triggered if an anomaly is detected regardless of whether the number of alarms is excessive. That is, making wider the threshold intervals to reduce the number of alarms is not the point, the key is that alarms can be ranked. Ranked by relevance and dedication time—that time a network manager would require solving it. With this data, dedication and relevance, the set of alarms effectively triggered would be those that are the most relevant for the network management and fit the availability of the management staff. Note that triggering few alarms may render the network managers’ workday unproductive, and • Schedule-aware alerting of internetwork time series. As a distinguishing characteristic, we have introduced the workforce of the network-manager staff as a relevant element to consider in network monitoring: – Rankings. We rank anomalies by formally defining their relevance as a function of the deviation of a vector of KPI measurements and the number of trig- gered alarms. By doing so, it allows network man- agers to pay attention to the most relevant alarms first. – Schedules. As a further refinement, we propose a novel schedule-aware alerting approach. We relate 61347 61347 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series TABLE 1. Network time-series metrics estimated by default. TABLE 1. Network time-series metrics estimated by default. the workforce, relevance, and type of alarm to con- struct, automatically, schedule proposals for analy- sis to the network-manager staff. • Data and modules availability. Finally, we share a player of network anomalies together with examples for the reproduction of real-world anomalies fruit of the monitoring of dozens of networks. Besides, a set of anonymized time series used throughout the paper is made available so that the results are reproducible. A. ARCHITECTURE The monitoring system is a probe or set of probes that receive traffic from both SPAN ports of routers and taps that replicate and forward traffic to the capture module on several network interfaces. These interfaces run a tuned high-performance network driver such as HPCAP or Intel’s DPDK [15]. These drivers accelerate packet processing workloads running on a wide variety of CPU architectures, especially, multi-core. As a result, they can capture packets and process them at ratios of dozens of Gb/s, even, in commodity hardware. • Flow-level. In-between packet traces and time series, network flows summarize traffic by aggregating pack- ets by quintuple (4-layer protocol, IP addresses, and port numbers) so alleviating storage demands [21]. By default, we store traffic measurements as Netflows for one year indexing each of their fields in an Elasticsearch database [22]. Once packets are in memory, the monitoring system stores data at three levels [16]: • Packet level. This is the most demanding data set as it requires storing as much volume as the traffic aggregate. • Packet level. This is the most demanding data set as it requires storing as much volume as the traffic aggregate. Consequently, the system only stores data for a config- urable number of days—e.g., one week is the default in our system. Consequently, the system only stores data for a config- urable number of days—e.g., one week is the default in our system. II. MONITORING SYSTEM As a first step, we describe the architecture and environ- ment of the monitoring system that we have deployed in a diverse set of real-world networks. Such networks include those of banking data centers, oil and gas company infrastruc- tures, and postal and package delivery services. Then, over such deployments, we detail our proposals to promote the automatic and schedule-aware alerting of internetwork time series. • Time series. The data represent a sequence of network measurements over time at different granularities—e.g., 1 second, 5 minutes, 1 week, or 1 month. By default, the time series are constructed by IP address. Under demand, IP addresses can be grouped by ranges or services—hereinafter, a network element. The set of network metrics that the monitoring system measures, by default, are shown in Table 1. Time series’ storage needs are far below packet traces. However, we note that storing them at the finest granularity—e.g., 1 second— in networks with a high diversity of IP addresses may be challenging. By default, we store the finest-grained ones for a month, weekly for the last year, and monthly for longer periods. All the time series data is indexed in an Elasticsearch database [20], Table 2 exemplifies this data. • Time series. The data represent a sequence of network measurements over time at different granularities—e.g., 1 second, 5 minutes, 1 week, or 1 month. By default, the time series are constructed by IP address. Under demand, IP addresses can be grouped by ranges or services—hereinafter, a network element. The set of network metrics that the monitoring system measures, by default, are shown in Table 1. Time series’ storage needs are far below packet traces. However, we note that storing them at the finest granularity—e.g., 1 second— in networks with a high diversity of IP addresses may be challenging. By default, we store the finest-grained ones for a month, weekly for the last year, and monthly for longer periods. All the time series data is indexed in an Elasticsearch database [20], Table 2 exemplifies this data. I. INTRODUCTION In the rest of the paper, we first describe the architecture of the monitoring system and the data under study. Then, we pay attention to the methodologies we have needed to carry out the design lines, and we explain how we have put into practice our proposal. Finally, we study some execution examples and the system’s performance in a real scenario, and some future lines of work conclude the paper. TABLE 2. Examples of records of network metrics of a given IP. TABLE 2. Examples of records of network metrics of a given IP. B. DATA UNDER ANALYSIS On the right part, we can choose the date interval for analysis. This operation is the Grafana equivalent of a network filter, it will perform a search over the field that was defined as the timestamp in the database, and only data in the desired interval are considered. In this way, any subsequent query in the databases would be related to the service/network and specific time of interest. 1) On the left side of the first window (W1), the service, network, or set of networks are introduced as a filter or set of filters based on IP addresses, port numbers or blocks of them—depending on the type of network being monitored. Other more specific filters can be also introduced at this point. than 300 servers and thousands of users. From now on, we will make direct reference to this set for the proposed examples. A sample piece of this data has been anonymized for privacy reasons and is freely available at [25], [26]. We remark that similar deployments are in operation in net- works such as international banks, postal and package deliv- ery services, and electric utility companies. Thanks to these deployments, we have both real data of a large number of internetwork time series and, importantly, we have labeled anomalies. That is, while monitoring commercial networks, we have received dozens of notices of abnormal behavior and how they were solved. That has allowed us to create a generator of anomalies following real issues. On the right part, we can choose the date interval for analysis. This operation is the Grafana equivalent of a network filter, it will perform a search over the field that was defined as the timestamp in the database, and only data in the desired interval are considered. In this way, any subsequent query in the databases would be related to the service/network and specific time of interest. 2) Below the first window, we have the Packet and Flow Data Window (W2). As an own module for Grafana, we have created a plugin to download a PCAP trace for the selected networks and dates. As standard Grafana modules do, we have developed a back-end service that, after receiving the search parameters, retrieves the PCAP file or files from the Influx database and con- catenates them. Finally, the system serves the filtered trace using HTTP for its download. 2) B. DATA UNDER ANALYSIS Alternatively, the system allows capping packets to headers—ruling out payloads—or applying selective capping depending on the application-level relevance. That is, the system stores packet headers in all cases and, additionally, non-encrypted payloads are also stored. Note that encrypted ones do not provide any possible forensic study but still require storage capacity [17]. Packet traces are stored in PCAP format [18] in files that comprise traffic for 5 minutes, after that time, a new file is created. Then, PCAP traces are indexed by name in an InfluxDB database [19]. To illustrate the monitoring system and proposal with numer- ical examples, we are showing real measurements from the network of an international oil and gas company. The network provides workers, offices, gas stations, and refineries with Internet connectivity and other services such as teleconfer- ence, telephony, distribution/sharing files, manage business operations (e.g., Enterprise Resource Planning (ERP) [23]) and customer relations (e.g., SAP [24]), DNS, monitoring protocols, and payment gateways among other services. In particular, we are analyzing an interval of three months of measurements (March, April, and May, 2020) from more 61348 VOLUME 9, 2021 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series FIGURE 1. Main dashboard of the monitoring system. FIGURE 1. Main dashboard of the monitoring system. 1) On the left side of the first window (W1), the service, network, or set of networks are introduced as a filter or set of filters based on IP addresses, port numbers or blocks of them—depending on the type of network being monitored. Other more specific filters can be also introduced at this point. On the right part, we can choose the date interval for analysis. This operation is the Grafana equivalent of a network filter, it will perform a search over the field that was defined as the timestamp in the database, and only data in the desired interval are considered. In this way, any subsequent query in the databases would be related to the service/network and specific time of interest. 1) On the left side of the first window (W1), the service, network, or set of networks are introduced as a filter or set of filters based on IP addresses, port numbers or blocks of them—depending on the type of network being monitored. Other more specific filters can be also introduced at this point. C. ACCESS, VISUALIZATION AND ALERTING SYSTEMS The former is an estimation for the behavior of the time series and the latter permits to visually examine the limits for normal behavior. We have developed it as a background pro- cess that automatically calculates both values, which are inserted in the time series databases as an additional field and it is shown together with the measured values in the time series windows. 3) Then, we have a Time-Series Window (W3) for the metrics under measurement. Metrics that can be selected through drop-down menus. By default, the set of available time series are those shown in Table 1, any other measurements that can be extracted from Netflow records or packets can be added on demand. For each time series, the interface also depicts the baseline and normality thresholds. The former is an estimation for the behavior of the time series and the latter permits to visually examine the limits for normal behavior. We have developed it as a background pro- cess that automatically calculates both values, which are inserted in the time series databases as an additional field and it is shown together with the measured values in the time series windows. FIGURE 2. LSTM cell diagram. ht−1 and Ct−1 are the cell state propagated from the previous time step. ht acts both as the hidden state and as the output of the cell. represent the input of the network, its state, and its output at time t. 4) Finally, the fourth window (W4) is dedicated to the alerting and task scheduling. When a gathered mea- surement breaks thresholds, an alarm is raised. Each alarm is detailed with its duration, severity/relevance, and estimated time to solve. There is a specific database for alarms deployed in InfluxDB. Such a database per- mits to view the triggered alarms and some statistics related to the alerting. At the bottom of the figure, the alarm handling interface is depicted. Here a net- work manager may delete, modify, or mark as solved an alarm as well as, once resolved, add feedback. In addi- tion, at the left of these buttons, it is possible to view the proposed schedule for the network-management staff. The Ct state of the network is responsible for storing the context information that will be used in future predictions. III. METHODOLOGIES III. METHODOLOGIES Let us review both how neural networks may help us to implement precise time series regressors and some concepts about the classification metrics used in our proposal. C. ACCESS, VISUALIZATION AND ALERTING SYSTEMS For its part, the network is made up of three ‘gates’: 1) The forget gate is responsible for determining which state information will persist in the next state. 2) The input gate is responsible for updating the state of the network to include new information regarding the current entry. 3) The output gate determines the network output based on the state values (Ct), the input (Xt), and the output of the previous step (ht−1 ). Each of the gates of the cell works as a common network feed-forward, while the circles in the figure represent the multiplication and sum operations bit by bit. Using gradi- ent descent learning in recurrent networks (Backpropagation through time), each gate learns to determine its output to optimize prediction, that is: the forget gate will learn what is relevant that persists in the state of the network based on Xt and ht−1; the input gate will learn what information should be included in the state based on the same parameters; and, then, the output gate will learn how to compose the network output based on the input, the state, and the previous output. Finally, following the cyclical structure of the recurrent net- works, the output and its status will be fed into the network along with the next input. LSTM networks are effective time series estimators, even being robust against noisy data, with long-term dependencies and with little relevant or random traits [34]. At this point, it emerges the novel goals of this paper: how to determine automatic and better thresholds, how to define alarm relevance, and how to schedule alarms’ atten- tion according to the availability of staff of managers. Our proposal to face these aspects is detailed in the following sections. A. LONG SHORT-TERM MEMORY NETWORKS LSTM is an artificial recurrent neural network (RNN) that allows information from previous processing steps to persist and be part of the prediction of new inputs. Thanks to the property of identifying interdependencies in inputs, recurrent networks have been successfully applied in time series pre- diction [10], [29], [30], speech recognition [31], translation and language modeling [32], areas where context information is necessary to achieve the best results. C. ACCESS, VISUALIZATION AND ALERTING SYSTEMS Users can access the different levels of data and inspect them through standard and custom-made modules of Grafana [27]. Grafana is open software to query—with an extensive set of filters—, visualize—at the desired time interval—, alert— based on thresholds—on any kind of time series stored in a diverse set of databases—including InfluxDB, Elasticsearch, MongoDB or SQL-based ones. Also in this part, we can download Netflow records for the selected period or, more interesting, creating an automatic report [28]. This functionality extracts from Netflow records an extensive set of KPIs and This way, Figure 1 provides a conceptual view of the com- ponents of our monitoring system’s main dashboard. Let us review the four components, or windows, that the dashboard comprises, namely W1. . . W4. 61349 61349 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series FIGURE 2. LSTM cell diagram. ht−1 and Ct−1 are the cell state propagated from the previous time step. ht acts both as the hidden state and as the output of the cell. depicts them in a formal report. Such indicators include response times of both HTTP and DNS protocols, extended TCP performance metrics, and topology dis- covery among others. 3) Then, we have a Time-Series Window (W3) for the metrics under measurement. Metrics that can be selected through drop-down menus. By default, the set of available time series are those shown in Table 1, any other measurements that can be extracted from Netflow records or packets can be added on demand. For each time series, the interface also depicts the baseline and normality thresholds. The former is an estimation for the behavior of the time series and the latter permits to visually examine the limits for normal behavior. We have developed it as a background pro- cess that automatically calculates both values, which are inserted in the time series databases as an additional field and it is shown together with the measured values in the time series windows. 3) Then, we have a Time-Series Window (W3) for the metrics under measurement. Metrics that can be selected through drop-down menus. By default, the set of available time series are those shown in Table 1, any other measurements that can be extracted from Netflow records or packets can be added on demand. For each time series, the interface also depicts the baseline and normality thresholds. A. MULTI-METRIC ANALYSIS OF TIME SERIES p = incidents correctly detected incidents detected (4) Intending to capture time-series covariances, we propose not to contrast time series individually. Instead, we pro- pose to construct a vector of prediction values—through regression—, and, then, to contrast it to the measured vector—i.e., the measured values for the set of time series joined as a multidimensional sample. Let us refer to this latter vector as the vector of network metrics, and any of its single components, a network metric (e.g., 16 components as in our case, Table 1). More formally, we will denote the time series that defines the network metrics by {Xk}∞ k=1, where Xk ∈Rd is the vector of network metrics in the k-th time interval with d different types of measurements. First, we need to estimate the next Xi based on previous information, this means that (4) • F-score: It is a metric that balances the information of sensitivity and precision. It is calculated as the harmonic mean between the aforementioned sensitivity (3) and the precision (4): • F-score: It is a metric that balances the information of sensitivity and precision. It is calculated as the harmonic mean between the aforementioned sensitivity (3) and the precision (4): F = s · p s + p (5) (5) Alternatively, Fβ-score is the weighted harmonic mean between p and s: Alternatively, Fβ-score is the weighted harmonic mean between p and s: Fβ = (1 + β2) · s · p p · β2 + s (6) (6) where the parameter β is a relevance factor that indicates how many times sensitivity is considered more impor- tant than precision. ˆXi = E [Xi|Xi−1, . . . , Xi−m] , (7) (7) where m is the number of previous elements we consider to compute the estimate. The next subsection will cover how to compute it, but we want to state our method in a way that is completely agnostic to the method for estimation as long as it is accurate enough. Because the regressor is primarily trained with incidence-free data, the estimated network vector ˆXi will resemble server behavior under normal circumstances. Thus, we define an incidence as a deviation from this expected behavior. Finally, regarding the evaluation of network anomalies, it is worth noting that incidents tend to occur in bursts. B. DATA PRE-PROCESSING AND NORMALIZATION Since neural networks are based on linear regressors, they require that the input data is normalized to provide satis- factory results. Normalization can be carried out in many different ways. The usual standardization is the most common Figure 2 illustrates the structure of the recurrent cells of an LSTM network [33]. The vectors Xt, Ct and ht, respectively, 61350 61350 VOLUME 9, 2021 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series procedure, and it is defined as: procedure, and it is defined as: IV. PROPOSAL AND OPERATION In general terms, the operation of an alerting system is as follows: A time series regressor, trained with previous values, predicts the values that would be expected under ‘typical’ circumstances for the time-series under study. If the sys- tem observes that the expected and measured values deviate excessively, then it reports that some issue has occurred. The problem here is to formally define ‘excessively’. X(c) = X −µ σ , (1) (1) where µ is the mean and σ the standard deviation, so that X(c) has 0 mean and standard deviation 1 as well as no units. Although standard deviation controls the scattering of the data, it does not necessarily bound it—i.e., we can still have high values that bias any linear regressor. On the other hand, min-max scaling is another preprocessing method useful for neural networks, where µ is the mean and σ the standard deviation, so that X(c) has 0 mean and standard deviation 1 as well as no units. Although standard deviation controls the scattering of the data, it does not necessarily bound it—i.e., we can still have high values that bias any linear regressor. On the other hand, min-max scaling is another preprocessing method useful for neural networks, Moreover, some incidents may moderately affect more than one time series instead of affecting intensely just one. Actually, a significant hint of a real anomaly is the change in several metrics at the same time [16]. For example, an increase in bandwidth may mean, at a certain time, that there are more users in the network—for example, when workers arrive at offices, which is not an anomaly. However, if at the same time, the number of IP/MAC addresses does not increase, that points to abnormal behavior. B. DATA PRE-PROCESSING AND NORMALIZATION This multi-metric approach will demand a process of normalization of the mea- surements as the values of the metrics are in different units— e.g., bandwidth can be in Mb/s or Gb/s and the number of MAC addresses is in single units. X(M) = X −min(X) max(X) −min(X). (2) (2) This method is particularly useful when min(X) or max(X) are theoretically bounded—e.g., the minimum measured RTT or bandwidth equal to 0—and it has the advantage of project- ing the data to the interval [0, 1] having no units. C. EVALUATION OF BINARY CLASSIFICATION METRICS Let us define some metrics widely used in the context of incident classification. Moreover, the capacity of handling alerts must be a key factor for an alerting module. In particular, we propose to rank alarms according to their relevance, hence network man- agers may prioritize. And, finally, if possible, to construct a schedule for them once the time to resolve alarms can be estimated through alarms’ characteristics. Let us detail how our proposal copes with these issues. • Sensitivity: Refers to the percentage of true positives to the total positives of the problem. In the specific study case, • Sensitivity: Refers to the percentage of true positives to the total positives of the problem. In the specific study case, s = incidents correctly detected total actual incidents (3) (3) • Precision: Refers to the percentage of true positives out of the total positives given by the classifier. In our case, A. MULTI-METRIC ANALYSIS OF TIME SERIES For the purpose of network management in a real-world context, it is far more relevant to be able to detect an incident—i.e., when it begins—than its exact duration. Therefore, when evaluating classifications, we will give an interval as well classified from the first moment in which the incidence is detected and it ends, without considering if during such periods some time intervals are considered non-incident. 61351 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series To calculate such deviation between Xi and ˆXi, we use the mean squared error (MSE) and compare it to a threshold T, model precision at the expense of its sensitivity by reporting only the most extreme alarms. Conversely, a low threshold will increase the model’s sensitivity, decreasing its precision by detecting the finest incidents. MSE(Xi, ˆXi) = 1 n d X j=1 ( ˆXj i −Xj i )2 > T 2. (8) (8) We believe that the alerting thresholds for anomaly devi- ations must be the result of maximizing classification pre- cision scores of labeled anomalies. Unfortunately, we do not believe it is a good practice to charge managers with the responsibility for labeling incidents. Actually, we believe that the most convenient approach is the opposite. That is, we propose an unsupervised approach that helps managers in their tasks with no more additional burden. To do so, we are adding synthetic anomalies based on our expertise over the regular traffic—picking time intervals of normal operation—and estimate the threshold values that maximize classification scores. In this way, we can provide automatic thresholds regardless of the particular shape or behavior of a network time series. Moreover, we based thresholds on real anomalies, not in statistical deviations that potentially may reflect a typical behavior for heterogeneous time series. Consequently, we have developed an anomaly generator— or, interchangeably, anomaly player—that is parametrized according to real issues observed for years in a large number of networks. It is freely available at [39]. Let us now detail it more formally. If the inequality (8) is satisfied, we will state that the behav- ior of the network in the i-th time interval is suspected of incidence. Consequently, the system would trigger a process to create an alarm in the monitoring system. ˆ Regarding the units of T, we will assume that X and ˆX have been pre-processed so that this T has no units. 1) GENERATING INCIDENTS We will assume that we can find—actually, select—some time spans free of incidents. Although it may seem like a strong hypothesis, commercial and industrial networks tend to work most of the time with no incidents and if not, net- work managers would receive notifications through ticketing systems. In general, all forecasting techniques want to find a func- tion g such that: Based on this, we design anomalies according to four parameters: g = arg min f E h (Xi −f (Xi−1, . . . , Xi−m))2i , (9) (9) • Network metric involved. • The time interval in which the incident occurs. i.e., g must predict Xi only using the previous m time steps and it must minimize this expectation, which is just the poblational equivalent of the MSE. This means that g(Xt−1, . . . , Xt−m) provides an estimation of the expectation of the right-hand side of (7), • The percentage of elements affected—i.e., IP addresses, port numbers or services (set of IP addresses) affected by the incident. • A multiplicative average factor to apply on the values of the time series. This factor indicates the intensity of the incidence in the affected time series. E [Xt|Xt−1 =xt−1, . . . , Xt−m =xt−m]≈g(xt−1, . . . , xt−m) (10) Importantly, the induced anomalies can overlap each other, thus affecting several network metrics at the same time. By combining different lists of parameters—fixed according to previous real incidents—we can replay real issues under demand. For example, to simulate a denial-of-service attack, it would suffice to increase the number of connections and incoming bandwidth in a specific interval and set of IP addresses. (10) For the sake of simplicity, we have entrusted LSTM regres- sors with the task of predicting time series. They are built with Keras Deep Learning library in Python [37], [38]. The data under study is detailed in Section II-B and the best parametrization per metric and network was obtained using a grid search. In practical terms, our generator receives a JSON file for the description of one or several anomalies. The file includes a set of blocks where each of them comprises four attribute-value pairs describing how the generator has A. MULTI-METRIC ANALYSIS OF TIME SERIES Depending on the normalization procedure, we have different properties. For the standardization (1), the distance is the mean number of standard deviations that separates Xi from ˆXi. For instance, a difference of T = 25 would mean that all metrics are separated from the expected vector in an average of 5 standard deviations. On the other hand, the min-max scaler (2) uses the amplitude (max(X) −min(X)) as scale—i.e., a distance of T = 0.8 would mean that, in average, metrics are separated 0.8 times the amplitude. The use of one pre-processing tech- nique over others depends on the nature of the metric, since both depend on the accurate estimation of either the standard deviation or the maximum and minimum of the metric. B. REGRESSOR IMPLEMENTATION There are many alternatives for time series forecasting, they range from simple methodologies based on moving-average processes [35], through the analysis of complex networks [36], to the newest deep learning-based regressors as previ- ously stated. As mentioned before, we intend to be as agnostic as possible in this regard, therefore our proposal supports any kind of time series prediction technique. C. THRESHOLD DEFINITION STRATEGY Interestingly, with this approach, we have translated a problem that required super- vision into an unsupervised one. On the one hand, any record that has not been altered is labeled as incident-free. Whereas those in which a variation was induced are classified as anomalies. The classification that this generator induces allows evaluating the performance of the alerting system according to how thresholds are parametrized. As an exam- ple of the incident generator, Figure 3 depicts an incidence generated on real data. Over the original data, we have an interval of 100 seconds in which the incidence was induced, in particular, an increase in the rate of incoming packets per second. In this example, we illustrate the incidence of a single metric, however, as stated before, incidents can alter several metrics simultaneously. to modify the network time series. Interestingly, with this approach, we have translated a problem that required super- vision into an unsupervised one. On the one hand, any record that has not been altered is labeled as incident-free. Whereas those in which a variation was induced are classified as anomalies. The classification that this generator induces allows evaluating the performance of the alerting system according to how thresholds are parametrized. As an exam- ple of the incident generator, Figure 3 depicts an incidence generated on real data. Over the original data, we have an interval of 100 seconds in which the incidence was induced, in particular, an increase in the rate of incoming packets per second. In this example, we illustrate the incidence of a single metric, however, as stated before, incidents can alter several metrics simultaneously. • Finally, the Incident Package 5 emerged from visualiza- tion problems of multimedia services at end clients. The problem was a saturated link and, consequently, several network metrics varied. C. THRESHOLD DEFINITION STRATEGY The threshold T is a parameter that states a trade-off between sensitivity and precision. A high threshold will improve 61352 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series TABLE 3. Specifications of the set of incident packages. FIGURE 3. Incidence induced the incoming packets-per-second time series. To il structed Packag we foun a set, w section Whil more de • Th sev un • Th be • Fo sat TABLE 3. Specifications of the set of incident packages. FIGURE 3. Incidence induced the incoming packets-per-second time series. To illustrate some of the set of incidents w structed, the available code includes five examp Packages [39]. Such examples consist of signifi we found in the networks on monitoring. Lever a set, we provide the evaluation of our propos section. While Table 3 summarizes such examples, more details: • The Incident Package 1 represents an inci several SAP servers started to carry out da unnecessarily. • The Incident Package 2 arises from a sate began to exceed its regular values of prop • For its part, the Incident Package 3 was th saturation of a VoIP gateway. TABLE 3. Specifications of the set of incident packages. TABLE 3. Specifications of the set of incident packages. To illustrate some of the set of incidents we have con- structed, the available code includes five examples of Incident Packages [39]. Such examples consist of significant incidents we found in the networks on monitoring. Leveraging on such a set, we provide the evaluation of our proposal in the next section. FIGURE 3. Incidence induced the incoming packets-per-second time series. While Table 3 summarizes such examples, let us provide more details: • The Incident Package 1 represents an incident whereby several SAP servers started to carry out data replications unnecessarily. • The Incident Package 2 arises from a satellite link that began to exceed its regular values of propagation delay. FIGURE 3. Incidence induced the incoming packets-per-second time series. • For its part, the Incident Package 3 was the result of the saturation of a VoIP gateway. • Then, in the Incident Package 4, a payment gateway collapsed. Multiple errors on charging clients occurred which generated numerous re-connections, and, eventu- ally, the number of concurrent flows peaked. to modify the network time series. 3) SETTING THRESHOLDS We apply the following process to finally set thresholds per element, i.e., IP address, set of them, or service: • We feed the LSTM network-based regressor to obtain the estimated time series. • We apply an extensive set of incident packages to the full set of measured time series. Additionally, to add some extra variety, we randomly vary the number of elements affected—IP address, port number or services as stated before—, intensity factors and times, and reapply them to the time series. alarm observed for a given element as Ri = MSE( ˆXi, Xi) T 2 , (11) (11) where the metric Ri defines how many thresholds (T) the observed values (Xi) has deviated from the expected ones ( ˆXi) for the n metrics under consideration. Note that T value is individually computed for each element. Finally, we consider, R, as the relevance of an observed alarm for a given element during its whole lifetime—as an alarm may be active during several consecutive time intervals t = 1, . . . , I: By the time the monitoring system is in real operation, a single threshold per element must be set. Typically, the low- est figure is a good approach so that minimizing false nega- tives. This will lead to more alarms per item, but note that, thanks to our approach, we can rank alarms and distribute only the most relevant according to the staff’s capacity. The real problem would be the opposite, i.e., real anomalies missed. Alternatively, thresholds may vary over time on an intra-day basis, being stricter when more analysis capacity is available, and relaxing them otherwise. R = max i=1,...,I Ri, (12) R = max i=1,...,I Ri, (12) (12) Clearly, the greater the factor R is, the more radical the behavior of the incidence comparatively is, and then the alarm is more relevant. Additionally, we are interested in a measure to summarize the relevance of each metric in a given anomaly. We believe that such a measure can be a good descriptor for types of anomalies. For this, it is enough to consider the percentage that each component of the vector ( ˆXi −Xi) contributes to its module. The contribution of the j-th metric would be: Finally, for the sake of completeness, Table 4 also includes the results for the 10 and 100 most active servers, as well as for the full set of 300 servers under study. In particular, the averages of the classification metrics are shown. Note that, in operation, each server would have its own threshold depending on the optimization process. It becomes apparent that the resulting metrics reach significant figures in these scenarios. Mj i = ( ˆXj i −Xj i )2 Pd j=1( ˆXj i −Xj i )2 . (13) (13) 2) INCIDENT PACKAGES’ PARAMETRIZATION We have translated many of the issues that we have reported in the process of monitoring commercial networks to JSON anomaly-description files. In this way, real issues can be replayed in a controlled environment. Let us refer to them such as Incident Packages. • We contrast estimated and modified time series val- ues. For all possible threshold values in the range, e.g., [1, 50]—in terms of standard deviations—we calculate VOLUME 9, 2021 61353 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series TABLE 4. Examples of optimal threshold selection and classification metrics. TABLE 4. Examples of optimal threshold selection and classification metrics. the F2-score. That is, if given a certain threshold, those periods of time that we know that are anomalous are detected as so—i.e., being over/below the threshold. g • Finally, we select the specific threshold with the best F2-score and analyze its suitability—therefore, skewing relevance towards the sensitivity. As an example of the output of the above process, Table 4 shows the resulting thresholds and classification metrics per Incident Package for a representative server under monitor- ing of the available data set (Section II-B). In particular, the server with the highest volume of traffic generated (Top 1). By default, we use a random proportion of 70% of the server’s data for training the LSTM models and the remaining 30% as the validation set—to set the thresholds injecting anomalies. The table depicts the best thresholds according to the F2-score, while precision and sensitivity measurements are also shown. We remark that, especially, the two first metrics reach significant figures. Moreover, we note that in the example the thresholds for the element under study are estimated per Incident Package—or, in other words, per type of incident. alarm observed for a given element as alarm observed for a given element as alarm observed for a given element as alarm observed for a given element as E. SCHEDULING MODULE After an alarm is triggered, the monitoring system gets its rel- evance (R) and the contribution of each metric (M). As time passes, we will also have information about the time each alarm needs to be solved and some statistics of how many alarms are triggered per element. These pieces of information are useful to construct schedules for network managers. FIGURE 4. Workflow diagram of the proposed scheduling system. Dashed boxes represent the threshold-setting process and continuous boxes represent the system’s operation. In particular, we note that the frequency that the pair ele- ment and metric generates an alarm may be a natural indicator of a heterogeneous behavior. In this way, we propose to give extra relevance to those elements that triggered fewer alarms than those that frequently are requiring inspection. Consequently, the metric R is weighted, according to the number of alarms per element and period of measurement, namely ¯R. While there are multiple weight functions (e.g., [40], [41]), in particular, we define the weighted metric as: ¯R = R log2  N Ns  , (14) (14) where N and Ns stand for the total number of alarms and the number of alarms raised by element or system s. We note that this normalization keeps the original relevance if the percentage of total alarms raised by s is low and reduces the relevance when elements are raising a large number of alarms. Regarding M, it has so many dimensions as network met- rics, now let us consider the value of each dimension as a point in a hyperplane. Then, we propose to relate times to solve (hereinafter, TTS) to such points by applying a multivariate linear regression [42], which will give the estimation we pur- sue. In other words, metric M provides us with a description of the types of network issues, and then, we relate it to TTS— as more and more issues are solved. Such a relationship will allow regressing dedication times for present alarms. Finally, to associate alarms under inspection to a network manager, the simplest way is to rank alarms according to both ¯R and TTS, and managers should go picking alarms sequentially during their workday. Alternatively, the monitoring system has a module to automatically schedule their tasks. This module considers, in addition to ¯R and TTS, the availability of the staff. D. ALARMS RANKING The factor Mj i allows us to order the network metrics according to how much they have deviated from their expected value. Then, we have that those metrics with a higher factor M will have more unusual behaviors and, prob- ably, they will be more descriptive regarding the nature of the incidence. By doing so, the model will not only allow us to indicate if a network exhibits abnormal behavior but, both ordering the anomalies by relevance and estimating the weight of each component. A data center or a large deployment can be made up of thousands of servers or networks to be monitored. There- fore, prioritizing incidents allows managers to focus on those alarms that are more urgent or show more unusual behavior. This calls for a mechanism to compare alarms from differ- ent networked elements that were triggered with different thresholds—those that optimized F2-score for each element in the period under study as the previous section explained. To make alarms from different elements and times compa- rable, we propose to relativize the relevance of an anomaly to the particular threshold used by the given element to consider a measurement as an anomaly. This way, we consider devia- tions in terms of how many thresholds instead of deviations in absolute terms. We define the relevance at time i, Ri, of an The first measure, R, will be useful to prioritize one incident over others. The second one, M, will be useful to describe an incident and eventually relate such a description to the time to solve incidents. As a conclusion, we propose using both metrics to plan network managers’ schedules. 61354 61354 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series V. MONITOR SYSTEM IN OPERATION This section exemplifies the system operation and evaluates its computational load in a real context. In particular, we show how the system has worked for measurements of the first two weeks of June, 2020 once parametrized as Section IV-C3 detailed with three months worth of data, March-May, 2020 (Section II-B). E. SCHEDULING MODULE Once staff availability is introduced to the system, the scheduling module will provide a proposal that minimizes the completion time of the most relevant incidents. The module also allows manual modifications by network managers when unex- pected issues occur. Similarly, managers can update sched- ules when they finish a task earlier or later than expected. To conclude and provide a global view of our proposal, all the previously described processes and parameters of our proposed system are depicted in Figure 4 together with a table that explains the notation. As a summary, in a first stage, alarm thresholds for each network element are calculated using real traffic modified with a wide set of tailored inci- dent packages—shown as dashed boxes in the figure. Next, such thresholds are used in normal operation to trigger and rank alarms—shown as continuous boxes. Finally, the most relevant alarms are scheduled and assigned to managers to FIGURE 4. Workflow diagram of the proposed scheduling system. Dashed boxes represent the threshold-setting process and continuous boxes represent the system’s operation. FIGURE 4. Workflow diagram of the proposed scheduling system. Dashed boxes represent the threshold-setting process and continuous boxes represent the system’s operation. be addressed depending on the number of alarms, relevance, time to solve, and workforce (i.e., the set of network managers and their availability)—shown at the bottom of the figure. VOLUME 9, 2021 61355 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series FIGURE 5. Example of anomalies in a given server (outgoing bandwidth and average RTT time series, respectively). FIGURE 5. Example of anomalies in a given server (outgoing bandwidth and average RTT time series, respectively). FIGURE 6. Example of the schedule module output and inputs. FIGURE 6. Example of the schedule module output and inputs. FIGURE 6. Example of the schedule module output and inputs. V. MONITOR SYSTEM IN OPERATION inspection are marked. In circles, we mark the incidents detected by the model, which clearly constitute circum- stances worthy of attention by a manager. With a square, we highlight an example of apparently abnormal behavior that was not spotted by the system as such. Digging into this, we noticed that very short drops in the profile of the metric were not infrequent, and they should not be especially treated. VI. CONCLUSION Throughout this paper we have presented some novel design lines for the development and deployment of modern mon- itoring systems in large networks. The design key that con- ducts all this proposal is to make network managers’ work easier by alleviating the dedication that some of their tasks usually require. [14] J. Lever, M. Krzywinski, and N. Altman, ‘‘Classification evaluation,’’ Nature Methods, vol. 13, no. 8, pp. 603–604, 2016. [15] V. Moreno, J. Ramos, P. M. Santiago del Río, J. L. García-Dorado, F. J. Gomez-Arribas, and J. Aracil, ‘‘Commodity packet capture engines: Tutorial, cookbook and applicability,’’ IEEE Commun. Surveys Tuts., vol. 17, no. 3, pp. 1364–1390, 3rd Quart., 2015. [16] V. Moreno, P. M. Santiago del Río, J. Ramos, D. Muelas, J. L. García-Dorado, F. J. Gomez-Arribas, and J. Aracil, ‘‘Multi-granular, multi-purpose and multi-Gb/s monitoring on off-the-shelf systems,’’ Int. J. Netw. Manage., vol. 24, no. 4, pp. 221–234, Jul. 2014. In particular, over an already-in-operation monitoring sys- tem, we have explained the set of methodologies and mecha- nisms used to implement novel features such as the automatic and schedule-aware setting of network thresholds for alerting internetwork time series. The full monitoring system has been in operation for months providing us with illustrative numeri- cal examples, evidence of its usefulness, and low demand for resources. Consequently, we believe that our approach may fit in the most demanding scenarios. [17] V. Uceda, M. Rodríguez, J. Ramos, J. L. García-Dorado, and J. Aracil, ‘‘Selective capping of packet payloads at multi-Gb/s rates,’’ IEEE J. Sel. Areas Commun., vol. 34, no. 6, pp. 1807–1818, Jun. 2016. [18] Tcpdump & Libpcap. (2020). Library for Network Traffic Capture: Libp- Cap. [Online]. Available: http://www.tcpdump.org [19] S. N. Z. Naqvi, S. Yfantidou, and E. Zimányi, ‘‘Time series databases and InfluxDB,’’ Advanced Databases Studienarbeit, Université Libre de Bruxelles, Brussels, Belgium, 2017. [20] N. Shah, D. Willick, and V. Mago, ‘‘A framework for social media data ana- lytics using Elasticsearch and Kibana,’’ Wireless Netw., pp. 1–9, Dec. 2018. Č As future work, we plan to work on mechanisms that allow network managers to provide richer feedback in comparison with the couple of numbers—the alarm relevance and the time required to solve—that they currently provide as a report once an incident is closed. B. COMPUTATION TIME The number of elements that a data center may com- prise can range from a few hundred to hundreds of thou- sands of servers, links, or other devices [43]. Therefore, we have estimated the time to both modeling and apply- ing the model per element which, consequently, allows the extrapolation to different scenarios. In the same vein of generalizing results, all the benchmark was carried out on a single desktop PC, thus encompassing a worst-case hardware scenario. [3] P. Barford and D. Plonka, ‘‘Characteristics of network traffic flow anoma- lies,’’ in Proc. 1st ACM SIGCOMM Workshop Internet Meas. (IMW), 2001, pp. 69–73. [4] R. Mijumbi, A. Asthana, M. Koivunen, F. Haiyong, and Z. Norman, ‘‘DARN: Dynamic baselines for real-time network monitoring,’’ in Proc. 4th IEEE Conf. Netw. Softwarization Workshops (NetSoft), Jun. 2018, pp. 37–45. [5] J. Viinikka, H. Debar, L. Mé, A. Lehikoinen, and M. Tarvainen, ‘‘Process- ing intrusion detection alert aggregates with time series modeling,’’ Inf. Fusion, vol. 10, no. 4, pp. 312–324, Oct. 2009. [6] M. Mobilio, M. Orrù, O. Riganelli, A. Tundo, and L. Mariani, ‘‘Anomaly detection as-a-service,’’ in Proc. IEEE Int. Symp. Softw. Rel. Eng. Work- shops (ISSREW), Oct. 2019, pp. 193–199. The modeling using LSTM networks required, on average, less than 30 seconds to model a time series. Then, the eval- uation of the possible thresholds took less than 1 second per time series assuming a range from 0 to 50 standard deviations with a step of 0.01. As the modeling of the full set of servers and time series can be an offline process that may require a weekly or monthly update, this should not be a challenge. Once the model is constructed, the evaluation of a potential anomaly of each multi-metric sample requires less than 200 µs on average with marginal variance. Given that the records are typically collected every minute [44], or even every 5 minutes [45], we conclude that the monitoring system may be integrated into the most demanding data centers or networks. [7] F. Mata, P. Žuraniewski, M. Mandjes, and M. Mellia, ‘‘Anomaly detection in diurnal data,’’ Comput. Netw., vol. 60, pp. 187–200, Feb. 2014. [8] J. L. García-Dorado, J. A. Hernandez, J. Aracil, J. E. López de Vergara, F. J. Monserrat, E. Robles, and T. P. de Miguel, ‘‘On the duration and spatial characteristics of Internet traffic measurement experiments,’’ IEEE Commun. Mag., vol. 46, no. 11, pp. 148–155, Nov. REFERENCES [1] S. K. Peddoju and H. Upadhyay, ‘‘Evaluation of IoT data visualizationtools and techniques,’’ in Data Visualization: Trends and Challenges Toward Multidisciplinary Perception. Singapore: Springer, 2020. [2] A. Finamore, M. Mellia, M. Meo, M. M. Munafò, and D. Rossi, ‘‘Expe- riences of Internet traffic monitoring with Tstat,’’ IEEE Netw., vol. 25, no. 3, pp. 8–14, May 2011. B. COMPUTATION TIME 2008. [9] Prometheus. (2020). How to Use Prometheus for Anomaly Detection in GitLab. [Online]. Available: https://about.gitlab.com/ blog/2019/07/23/anomaly-detection-using-prometheus/ [10] R. Mijumbi, A. Asthana, M. Koivunen, F. Haiyong, and Q. Zhu, ‘‘Design, implementation, and evaluation of learning algorithms for dynamic real- time network monitoring,’’ Int. J. Netw. Manage., p. e2108, Mar. 2020. [11] G. Nguyen, S. Dlugolinsky, V. Tran, and A. López García, ‘‘Deep learning for proactive network monitoring and security protection,’’ IEEE Access, vol. 8, pp. 19696–19716, 2020. [12] C.-T. Yang, J.-C. Liu, E. Kristiani, M.-L. Liu, I. You, and G. Pau, ‘‘NetFlow monitoring and cyberattack detection using deep learning with Ceph,’’ IEEE Access, vol. 8, pp. 7842–7850, 2020. [13] J. L. García-Dorado, ‘‘Bandwidth measurements within the cloud: Char- acterizing regular behaviors and correlating downtimes,’’ ACM Trans. Internet Technol., vol. 17, no. 4, pp. 1–25, Sep. 2017. that the system uses to create schedules are shown (TTS and ¯R (Eq. 14)). that the system uses to create schedules are shown (TTS and ¯R (Eq. 14)). A. EXECUTION EXAMPLE Finally, to illustrate the output that network-management staff would receive, Figure 6 depicts how the scheduling module of the monitoring system provides a proposal. In par- ticular, it has been developed as a custom-made plugin for Grafana (Section II-C). Given the number of elements and days under study, we show, as an example, the system’s output for November 1st, 2020 between 1 p.m. and 2:30 p.m. In such an interval, four managers (Manager1 . . . Manager4) were active with full availability except for Manager1 with some free intervals as well as a shared established 10-minute break time. At that moment, 14 alarms (i1 . . . v14) were active on five network elements (i . . . v). Next to the figure, the inputs In this part, we visually inspect the alarms the system trig- gered and show how the system provides schedules to the network managers. In the set of 300 servers under measure- ment, we found an average of 10 incidents per server for the 14 days under evaluation. The server with the fewest incidents had only 3 incidents, and the server with the highest number reported 29 anomalies. Through manual inspection, we assess that all detected alarms match abnormal behaviors. As an example, we depict the server with the highest number of incidents in Fig- ure 5, where the incidents detected in one of the days under 61356 61356 VOLUME 9, 2021 VOLUME 9, 2021 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series VI. CONCLUSION 28, no. 6, p. e2044, Nov. 2018. J. Netw. Manage., vol. 28, no. 6, p. e2044, Nov. 2018. [29] Z. Zhao, W. Chen, X. Wu, P. C. Y. Chen, and J. Liu, ‘‘LSTM network: A deep learning approach for short-term traffic forecast,’’ IET Intell. Transp. Syst., vol. 11, no. 2, pp. 68–75, Mar. 2017. [30] F. Karim, S. Majumdar, H. Darabi, and S. Chen, ‘‘LSTM fully convo- lutional networks for time series classification,’’ IEEE Access, vol. 6, pp. 1662–1669, 2018. [31] A. Graves, N. Jaitly, and A.-R. Mohamed, ‘‘Hybrid speech recognition with deep bidirectional LSTM,’’ in Proc. IEEE Workshop Autom. Speech Recognit. Understand., Dec. 2013, pp. 273–278. traffic, quality of service virtualization. JAVIER RAMOS received the M.Sc. degree in computer science and the Ph.D. degree in computer science and telecommunications from the Universidad Autónoma de Madrid, Spain, in 2008 and 2013, respectively. He was a Vis- iting Researcher with the Fraunhofer Institute for Open Communication Systems FOKUS, Ger- many, in 2012. He is currently an Associate Pro- fessor with the Universidad Autónoma de Madrid. His research interests include analysis of network traffic, quality of service, software-defined networks, and network function virtualization. [32] Y. Bengio, R. Ducharme, P. Vincent, and C. Janvin, ‘‘A neural probabilistic language model,’’ J. Mach. Learn. Res., vol. 3, pp. 1137–1155, Feb. 2003. [33] C. Olah. (2015). Understanding LSTMs. [Online]. Available: https:// colah.github.io/posts/2015-08-Understanding-LSTMs/ [34] S. Hochreiter and J. 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Available: https://github.com/jlgarciadorado/IncidencesPlayer RODRIGO DE POOL received the double degree in mathematics and computer science from the Universidad Autónoma de Madrid (UAM), in 2020, where he is currently pursuing the M.Sc. degree in mathematics and applications. VI. CONCLUSION Such feedback must be close to natural language for the convenience of managers, and, ideally, it should be automatically and rapidly integrated to refine the parameters of the system on the fly. This may be the key to provide the most useful and realistic working schedules. [21] R. Hofstede, P. Čeleda, B. Trammell, I. Drago, R. Sadre, A. Sperotto, and A. Pras, ‘‘Flow monitoring explained: From packet capture to data analysis with NetFlow and IPFIX,’’ IEEE Commun. Surveys Tuts., vol. 16, no. 4, pp. 2037–2064, 4th Quart., 2014. [22] Y. Yang, Q. Cao, and H. Jiang, ‘‘EdgeDB: An efficient time-series database for edge computing,’’ IEEE Access, vol. 7, pp. 142295–142307, 2019. [23] K. Shafi, U. S. Ahmad, S. Nawab, W. K. Bhatti, S. A. Shad, Z. Hameed, T. Asif, and F. Shoaib, ‘‘Measuring performance through enterprise resource planning system implementation,’’ IEEE Access, vol. 7, pp. 6691–6702, 2019. [24] SAP. (2020). SAP Business Suite. [Online]. Available: https://www.sap. com/products/business-one.html VOLUME 9, 2021 VOLUME 9, 2021 61357 D. Perdices et al.: Towards the Automatic and Schedule-Aware Alerting of Internetwork Time Series [25] HPCN. (2020). Measurement Campaigns. [Online]. Available: https:// github.com/hpcn-uam/deepfda-experiments/tree/master/dataset JOSÉ LUIS GARCÍA-DORADO received the M.Sc. and Ph.D. degrees in computer and telecom- munications engineering from the Universidad Autónoma de Madrid (UAM), Spain, in 2006 and 2010, respectively. Since 2005, he has been a member of the High Performance Computing and Networking (HPCN) Research Group, UAM. He was awarded a four-year predoctoral fellow- ship by the Ministry of Education of Spain, in 2007. He was a Visiting Scholar with the Telecommunication Networks Group, Politecnico di Torino, Italy, in 2010, the Internet Systems Laboratory, Purdue University, USA, in 2013, and the Faculty of Applied Science, Universidad Técnica del Norte, Ecuador, in 2014 and 2015. He is currently an Associate Professor with UAM. His research interests include analysis of Internet traffic: its management, modeling, and evolution. [26] D. Perdices, J. E. López de Vergara, and J. Ramos, ‘‘Deep-FDA: Using functional data analysis and neural networks to characterize network ser- vices time series,’’ IEEE Trans. Netw. Service Manage., vol. 18, no. 1, pp. 986–999, Mar. 2021. [27] Grafana. (2020). Beautiful Metric & Analytic Dashboards. [Online]. Avail- able: http://grafana.org/ [28] C. Vega, E. Miravalls-Sierra, G. Julían-Moreno, J. E. López de Vergara, E. Magaña, and J. Aracil, ‘‘On the design and performance evaluation of automatic traffic report generation systems with huge data volumes,’’ Int. J. Netw. Manage., vol. VI. CONCLUSION While studying for his degree, he enjoyed four grants from the Madrid Local Government for his excel- lent academic record and collaborated with Naudit HPCN, Spain. He actively participated in program- ming competitions reaching international level, in 2018 and 2020 (SWERC competition). He is holding a Severo Ochoa grant to do mathematical research at the Institute of Mathematical Sciences (ICMAT), UAM. His research interests include algebraic geometry and topology. [40] J. Grossman, M. Grossman, and R. Katz, The First Systems of Weighted Differential and Integral Calculus. Rockport, MA, USA: Archimedes Foundation, 2006. [41] Y. Ho and S. Wookey, ‘‘The real-world-weight cross-entropy loss function: Modeling the costs of mislabeling,’’ IEEE Access, vol. 8, pp. 4806–4813, 2020. [42] Z. Xuanxuan, ‘‘Multivariate linear regression analysis on online image study for IoT,’’ Cognit. Syst. Res., vol. 52, pp. 312–316, Dec. 2018. [43] W. Zhang, Y. Wen, L. L. Lai, F. Liu, and R. Fan, ‘‘Electricity cost min- imization for interruptible workload in datacenter servers,’’ IEEE Trans. Services Comput., vol. 13, no. 6, pp. 1059–1071, Nov./Dec. 2017. [44] M. H. Lambert, A Model for Common Operational Statistics, document IETF Request For Comments 1857, Oct. 1995. [45] T. Oetiker, ‘‘Monitoring your IT gear: The MRTG story,’’ IT Prof., vol. 3, no. 6, pp. 44–48, 2001. JAVIER ARACIL received the M.Sc. and Ph.D. degrees (Hons.) in telecommunications engineer- ing from the Technical University of Madrid, in 1993 and 1995, respectively, and the five-year degree in mathematics from UNED, in 2009. He was awarded a Fulbright scholarship to pursue postdoctoral research at the University of Cali- fornia at Berkeley, Berkeley, CA, USA, in 1995. He was a Research Scholar with the Center for Advanced Telecommunications, Systems, and Ser- vices, University of Texas at Dallas, in 1998. He was an Associate Professor with the University of Cantabria and the Public University of Navarra. He is currently a Full Professor with UAM and a Founding Partner of the spin-off company Naudit HPCN. He has authored more than 100 papers in international conferences and journals. His research interests include optical networks and performance evaluation of communication networks. DANIEL PERDICES received the B.Sc. degree (Hons.) in mathematics, the B.Sc. degree in com- puter science, the M.Sc. degree in mathematics and applications, and the M.Sc. degree in infor- mation and communications technologies from the Universidad Autónoma de Madrid (UAM), Spain, in 2018, 2019, and 2020, respectively, where he is currently pursuing the Ph.D. VI. CONCLUSION degree with the High Performance Computing and Net- working (HPCN) Research Group. He is also an Assistant Researcher with the High Performance Computing and Network- ing (HPCN) Research Group, UAM, where he has received a four-year predoctoral fellowship by the Spanish Ministry of Science, Innovation, and Universities. He was a Research and Development Engineer with Naudit HPCN, Spain. His research interests include deep learning, statistics, math- ematical modeling, network traffic analysis, and software defined networks. VOLUME 9, 2021 61358
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PENGARUH SIKAP BELAJAR TERHADAP HASIL BELAJAR IPS TERPADU SEMESTER GANJIL PESERTA DIDIK KELAS VII SMP MA’ARIF 1 METRO TAHUN PELAJARAN 2021/2022
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Edunomia: Jurnal Ilmiah Pendidikan Ekonomi Vol. 3, No. 2, Mei 2023 P-ISSN: 2746-5578 E-ISSN: 2746-5586 Edunomia: Jurnal Ilmiah Pendidikan Ekonomi Vol. 3, No. 2, Mei 2023 P-ISSN: 2746-5578 E-ISSN: 2746-5586 Edunomia: Jurnal Ilmiah Pendidikan Ekonomi Vol. 3, No. 2, Mei 2023 P-ISSN: 2746-5578 E-ISSN: 2746-5586 PENGARUH SIKAP BELAJAR TERHADAP HASIL BELAJAR IPS TERPADU SEMESTER GANJIL PESERTA DIDIK KELAS VII SMP MA’ARIF 1 METRO TAHUN PELAJARAN 2021/2022 Fitriani1, Triani Ratnawuri, M.Pd.2, Bobi Hidayat, M.Pd3 Fitriani1, Triani Ratnawuri, M.Pd.2, Bobi Hidayat, M.Pd3 ¹,²,³Universitas Muhammadiyah Metro E-mail: menikfitriani3@gmail.com ¹) E-mail: menikfitriani3@gmail.com ¹) KATA KUNCI Hasil belajar yang maksimal dapat dilihat dari bagaimana sikap belajar siswa di kelas saat proses belajar mengajar. Tujuan dari penelitian ini untuk mengetahui pengaruh Sikap Belajar Terhadap Hasil Belajar Ilmu Pengetahuan Sosial Terpadu Pada Semester Ganjil Peserta Didik Kelas VII SMP Ma’arif 1 Metro Tahun Pelajaran 2021/202. Jenis penelitian yang digunakan dalam penelitian ini adalah penelitian kuantitatif. Adapun yang menjadi populasi dalam penelitian ini adalah Peserta Didik kelas VII SMP Ma’arif 1 Metro tahun pelajaran 2021/2022. Peneliti mengambil sampel menggunakan cluster random sampling karena populasi kurang dari 100 maka seluruh populasi yaitu 72 orang dijadikan sebagai sampel. Teknik pengumpulan data yang digunakan adalah angket, tes dan dokumentasi. Metode analisis data yang digunakan dalam penelitian ini adalah uji regresi linier sederhana. Hasil penelitian menunjukkan bahwa terdapat Pengaruh Sikap Belajar Terhadap Hasil Belajar Ilmu Pengetahuan Sosial Terpadu Pada Semester Ganjil Peserta Didik Kelas VII SMP Ma’arif 1 Metro Tahun Pelajaran 2021/2022 dengan persamaan regresi yaitu Y= 40,190 + 0,884 X. nilai Fhitung sebesar 13,517 nilai Fhitung = 13,517 > Ftabel = 42,3 dan besarnya koefisien determinasi atau R Square adalah sebesar 0,626. Besarnya angka koefisien determinasi (R Square) adalah 0,626 atau sama dengan 62,6%. Angka tersebut mengandung arti bahwa variabel penggunaan Sikap Belajar (X) berpengaruh terhadap variabel hasil belajar (Y) sebesar 62,6%. Sedangkan sisanya 37,4% dipengaruhi oleh variabel lain. Hasil tersebut menunjukkan bahwa sikap belajar mempunyai pengaruh yang signifikan terhadap hasil belajar Ilmu Pengetahuan Sosial Terpadu Pada Semester Ganjil Peserta Didik Kelas VII SMP Ma’arif 1 Metro Tahun Pelajaran 2021/2022. Kata Kunci: Sikap Belajar, Hasil Belajar, IPS Terpadu Kata Kunci: Sikap Belajar, Hasil Belajar, IPS Terpadu PENDAHULUAN Proses pembelajaran hakikatnya adalah proses komunikasi, dimana guru berperan sebagai pengantar pesan dan siswa sebagai penerima pesan. Pesan yang dikirimkan oleh guru berupa isi/materi pelajaran yang dituangkan kedalam simbol-simbol komunikasi baik verbal (kata-kata dan tulisan) maupun nonverbal. Selama proses komunikasi terkadang terjadi hambatan, artinya tidak selamanya pesan yang disampaikan oleh pengirim pesan mudah diterima oleh penerima pesan. Terkadang pesan yang diterima tidak sesuai dengan maksud yang disampaikan. Ini yang dimaksud dengan kesalahan dalam komunikasi. Sikap merupakan perbuatan seseorang terhadap dirinya sendiri maupun orang lain. Contoh sikap peserta didik terhadap objek misalnya sikap terhadap sekolah atau terhadap mata pelajaran. Sikap peserta didik terhadap mata pelajaran harus lebih positif setelah peserta didik mengikuti pembelajaran dibanding sebelum mengikuti pembelajaran. Sikap merupakan sesuatu yang dipelajari, dan sikap menentukan bagaimana individu bereaksi terhadap situasi serta menentukan apa yang dicari individu dalam kehidupan. Dari pengertian di atas dapat mengandung tiga komponen yaitu : Komponen kognitif, Komponen afektif dan Komponen tingkah laku. Beberapa komponen di dalam sikap yaitu: (1) kognisi: berhubungan dengan keyakinan (belief) ide dan konsep; (2) afektif menyangkut kehidupan emosional seseorang; (3) psikomotorik merupakan kecenderungan untuk bertingkah laku. Ketiga komponen sikap ini tidak berdiri sendiri, melainkan berinteraksi satu dengan yang lainnya. Dengan demikian timbulnya sikap terhadap suatu obyek tidak bisa terlepas dari pengaruh ketiga komponen tersebut. Sikap merupakan respon evaluatif yang dapat berbentuk positif maupun negatif terhadap suatu obyek peristiwa yang dimiliki oleh siswa. Dengan sikap yang positif siswa akan memiliki respon dalam melakukan proses belajar mengajar. Kemampuan intelektual siswa sangat menentukan keberhasilan siswa dalam memperoleh prestasi. Untuk mengetahui berhasil tidaknya seseorang dalam belajar maka perlu dilakukan suatu evaluasi, tujuannya untuk mengetahui prestasi yang diperoleh siswa setelah proses belajar mengajar berlangsung. Dalam keseluruhan proses pendidikan di sekolah, kegiatan belajar merupakan kegiatan pokok. Tujuan dari pembelajaran dikembangkan melalui bidang kognitif, afektif, dan psikomotorik. Ketiga bidang ini saling berkesinambungan dan tidak bisa dipisahkan satu sama lain dalam proses pembelajaran. Apabila bidang kognitif telah terlaksana dengan baik oleh guru, maka bidang afektif siswa akan baik pula dengan terlihat sikap yang di perlihatkan oleh siswa itu sendiri seperti perhatian terhadap pembelajaran, motivasi belajar, menghargai guru, teman sekelas dan hasil belajar. Berhasil atau tidaknya suatu pembelajaran turut dipengaruhi oleh sikap siswa dalam proses pembelajaran. hasil belajar itu di pengaruhi oleh sikap siswa. Maka sikap merupakan tindakan yang datang dalam pribadi seorang yang timbul dari dalam dirinya. ABSTRACT keyword1; keyword1; sort a- Keywords: Learning Attitudes, Learning Outcomes, Integrated Social Studies Maximum learning outcomes can be seen from the attitude of students in the classroom during the teaching and learning process. The purpose of this study was to determine the effect of learning attitudes on integrated social science learning outcomes in the odd semester of seventh grade students of SMP Ma'arif 1 Metro 115 Vol. 3, No. 2, Mei 2023 in the academic year 2021/202. The type of research used in this research is quantitative research. The population in this study are class VII students of SMP Ma'arif 1 Metro for the academic year 2021/2022. Researchers took samples using cluster random sampling because the population was less than 100, the entire population of 72 people was used as a sample. Data collection techniques used are questionnaires, tests and documentation. The data analysis method used in this study is a simple linear regression test. The results showed that there was an effect of learning attitudes on integrated social science learning outcomes in the odd semester of seventh grade students of SMP Ma'arif 1 Metro in the academic year 2021/2022 with the regression equation Y= 40,190 + 0,884 X. Fcount value of 13,517 Fcount. = 13,517 > Ftable = 42,3 and the magnitude of the coefficient of determination or R Square is 0.626. The magnitude of the coefficient of determination (R Square) is 0.626 or equal to 62.6%. This figure means that the variable of the use of Learning Attitudes (X) has an effect on the variable of learning outcomes (Y) by 62.6%. While the remaining 37.4% is influenced by other variables. These results indicate that learning attitudes have a significant influence on learning outcomes of Integrated Social Sciences in the Odd Semester of Class VII students of SMP Ma'arif 1 Metro in the 2021/2022 academic year. 116 Vol. 3, No. 2, Mei 2023 Vol. 3, No. 2, Mei 2023 PENDAHULUAN Suatu proses pembelajaran dikatakan baik, bila proses tersebut dapat membangkitkan kegiatan belajar yang efektif, sehingga dapat memperoleh hasilbelajar yang maksimal. Hasil belajar yang maksimal dapat pula dilihat dari bagaimana sikap belajar siswa dikelas saat proses belajar mengajar. Hasil belajar adalah suatu bukti keberhasilan belajar atau kemampuan seseorang siswa dalam melakukan kegiatan belajarnya sesuai dengan bobot yang dicapainya. Hasil belajar dikatakan sempurna apabila memenuhi tiga aspek yakni: kognitif, affektif dan psikomotor, sebaliknya dikatakan prestasi kurang memuaskan jika seseorang belum mampu memenuhi target dalam ketiga kriteria tersebut.” Faktor yang mempengaruhi hasil belajar siswa yaitu faktor yang berasal dari dalam siswa, faktor yang berasal dari luar siswa dan faktor pendekatan belajar. Faktor yang berasal dari dalam diri siswa meliputi dua aspek, yaitu: (1) aspek fisiologis, terdiri dari perhatian, kesehatan dan kebugaraN, (2) aspek psikologis, terdiri dari intelegensi, sikap, bakat, minat, dan motivasi. Faktor yang berasal dari luar diri siswa juga terdiri atas dua macam, yakni: (1) faktor lingkungan sosial meliputi orang tua, keluarga, guru, teman sekelas, masyarakat, tetangga dan teman sepermainan. 117 Vol. 3, No. 2, Mei 2023 (2) faktor lingkungan nonsosial meliputi gedung sekolah dan letaknya, rumah tempat tinggal dan letaknya, alat-alat belajar, keadaan cuaca dan waktu belajar. Dan terakhir faktor pendekatan belajar, keadaan cuaca dan waktu belajar dan terakhir faktor pendekatan belajar yaitu segala cara atau strategi untuk menunjang proses pembelajaran. Berdasarkan keterangan di atas dapat diambil kesimpulan bahwa sikap siswa mempengaruhi atau mempunyai hubungan dengan hasil belajar siswa karena sikap atau perilaku yang sedang senang dalam menerima pelajaran maka siswa dapat menerima materi yang telah disampaikan oleh guru. Dengan sikap itu diharapkan dapat menambah prestasi yang didapat oleh siswa. Berdasarkan pra survey yang peneliti lakukan di Kelas VII SMP Ma’arif 1 Metro, dihasilkan data tentang sikap siswa dan prestasi belajar siswa pada bidang studi Ilmu Pengetahuan Sosial dengan Kriteria Ketuntasan Minimum (KKM) yaitu 70. PENDAHULUAN Hal itu peneliti tuliskan dalam bentuk tabel di bawah ini : abel 1 Data Prasurvey Siswa Kelas VII Pada Mata Pelajaran IPS Terpadu di SMP Ma’arif 1 Kota etro Tahun 2021/2022 Tabel 1 Data Prasurvey Siswa Kelas VII Pada Mata Pelajaran IPS Terpadu di SMP Ma arif 1 Kota Metro Tahun 2021/2022 No Kelas Ketuntasan Jumlah Tuntas % Tidak Tuntas % 1 VII A 10 42 14 8 24 2 VII B 9 38 15 2 24 3 VII C 11 46 13 4 24 Jumlah 30 42 42 8 72 Sumber : Hasil Ulangan Harian IPS Kelas VII Sumber : Hasil Ulangan Harian IPS Kelas VII Berdasarkan tabel di atas dapat dilihat bahwa siswa yang belum mencapai ketuntasan minimal mencapai 42%, hal ini menunjukan bahwa Hasil Belajar masih cukup kurang karena banyak yang dibawah KKM pada mata pelajaran IPS, Hasil Belajar yang kurang ini disebabkan oleh salah satunya adalah sikap belajar siswa yang merupakan salah satu faktor eksternal yang mempengaruhi hasil belajar siswa. Terdapat berbagai sikap yang kurang efektif saat kegiatan belajar mengajar berlangsung diantaranya pada saat guru menjelaskan ada siswa yang tidak memperhatikan, ada yang tidak mau mencatat, ada yang berbicara dengan teman sebangkunya, ada yang melamun dan bahkan asik sendiri bermain handphone, ada yang diam, jika guru memberikan pertanyaan siswa tidak dapat menjawab dengan benar serta ada yang tidak menjawab bahkan ada siswa yang tertidur dikelas. Namun ada juga yang disiplin dan aktif dikelas. Berdasarkan penjelasan di atas, dapat dilihat bahwa sikap sangat mendukung untuk terlaksananya proses belajar mengajar yang baik, sehingga memunculkan sikap yang baik pula dari diri siswa. Keras atau tidaknya usaha belajar peserta didik tergantung pada besar tidaknya sikap belajar siswanya. Demi suksesnya belajar, sikap positif dalam belajar itu haruslah ada dan kuat. Untuk itu, sikap belajar penting bagi siswa untuk ditingkatkan, karena siswa akan menjadi sadar bahwa ia harus mencapai tujuan belajarnya, yaitu untuk mendapatkan hasil belajar yang maksimal Dengan pertimbangan inilah yang dapat mendorong peneliti untuk meneliti masalah ini, mengingat pentingnya sikap belajar. Sehubungan dengan hal di atas, maka peneliti mengemukakan judul sebagai berikut: “PENGARUH SIKAP BELAJAR TERHADAP HASIL BELAJAR IPS TERPADU PADA SEMESTER GANJIL PESERTA DIDIK KELAS VII SMP MA’ARIF 1 METRO TAHUN PELAJARAN 2021/2022”. Metode Penelitian Penelitian ini menggunakan pendekatan penelitian kuantitatif. Penelitian ini untuk menguji pengaruh Variabel X (Sikap Belajar) terhadap Y (Hasil Belajar Peserta Didik). Sedangkan untuk menganalisis pengaruh masing-masing variabel menggunakan teknik analisis regresi linear sederhana. Adapun yang menjadi populasi dalam penelitian ini adalah Peserta Didik kelas VII SMP Ma’arif 1 Metro tahun pelajaran 2021/2022. Berdasarkan jumlah populasi tersebut di atas. Peneliti mengambil sampel menggunakan cluster random sampling karena populasi kurang dari 100 maka seluruh populasi yaitu 72 orang dijadikan sebagai sampel. Metode Penelitian 118 Vol. 3, No. 2, Mei 2023 HASIL PENELITIAN Pengujian normalitas ini dihitung menggunakan SPSS 23.0 dengan hasil yang disajikan dalam bentuk tabel dibawah ini. Pengujian normalitas ini dihitung menggunakan SPSS 23.0 dengan hasil yang disajikan dalam entuk tabel dibawah ini. Pengujian normalitas ini dihitung menggunakan SPSS 23.0 dengan hasil yang disajikan dalam bentuk tabel dibawah ini. Tabel 10 Hasil Uji Normalitas Tabel 10 Hasil Uji Normalitas Kolmogorov-Smirnova Shapiro-Wilk Statis tic Df Sig. Statis tic df Sig. Sikap Belajar .134 72 .132* .940 72 .162 Hasil Belajar .150 72 .173 .940 72 .161 a. Lilliefors Significance Correction *. This is a lower bound of the true significance. *. This is a lower bound of the true significance. Dari tabel tersebut dapat dilihat nilai statistic pada Kolmogorov-smirnov sebesar 0,200 dan nilai Ltabel dengan taraf signifikansinya sebesar 5% adalah 0,05 yang dapat dilihat pada tabel Llilifors pada lampiran. Hipotesis yang digunakan oleh peneliti adalah H0 = data tidak berdistribusi nornal dan H1 = data berdistribusi normal. Dari hasil perhitungan SPSS diatas dapat dilihat nilai statistik ujinya sebesar 0,200 dan 0,173 lebih besar nilai signifikan 0,05 sehingga H0 ditolak dan H1 diterima. Jadi dapat disimpulkan bahwa data berdistribusi normal. Gambar 3 Histogram Hasil Belajar 119 Vol. 3, No. 2, Mei 2023 Gambar 4 Grafik Plot Variabel Sikap Belajar Berdasarkan tampilan output chart di atas kita dapat melihat grafik histrogram maupun grafik plot. Dimana grafik histrogram memberikan pola distribusi yang melenceng ke kanan yang artinya adalah data berdistribusi normal.Selanjutnnya, pada gambar P-Plot terlihat titik-titik mengikuti dan mendekati garis diagonalnya sehingga dapat disimpulkan bahwa model regresi memenuhi asumsi normalitas. Vol. 3, No. 2, Mei 2023 Gambar 4 Grafik Plot Variabel Sikap Belajar Gambar 4 Grafik Plot Variabel Sikap Belajar Grafik Plot Variabel Sikap Belajar Berdasarkan tampilan output chart di atas kita dapat melihat grafik histrogram maupun grafik plot. Dimana grafik histrogram memberikan pola distribusi yang melenceng ke kanan yang artinya adalah data berdistribusi normal.Selanjutnnya, pada gambar P-Plot terlihat titik-titik mengikuti dan mendekati garis diagonalnya sehingga dapat disimpulkan bahwa model regresi memenuhi asumsi normalitas. Berdasarkan tampilan output chart di atas kita dapat melihat grafik histrogram maupun grafik plot. Dimana grafik histrogram memberikan pola distribusi yang melenceng ke kanan yang artinya adalah data berdistribusi normal.Selanjutnnya, pada gambar P-Plot terlihat titik-titik mengikuti dan mendekati garis diagonalnya sehingga dapat disimpulkan bahwa model regresi memenuhi asumsi normalitas. Uji Homogenitas Uji homogenitas bertujuan untuk menguji apakah data dari dua kelompok sampel penelitian mempunyai varians sama atau tidak. Data yang digunakan untuk menguji homogenitas kelas adalah nilai hasil belajar mata pelajaran IPS terpadh. Peneliti menggunakan program SPSS 16.0 untuk membantu kemudahan dalam menguji homogenitas data. Pengambilan keputusan dalam uji homogenitas data didasarkan pada nilai signifikansi. Jika nilai signifikan > 0,05 maka data dikatakan homogen. Hasil uji homogenitas data dapat dilihat pada tabel berikut ini: Tabel 4.11 Hasil Perhitungan Uji Homogenitas 120 Vol. 3, No. 2, Mei 2023 Test of Homogeneity of Variances Hasil Belajar Levene Statistic df1 df2 Sig. 178.202 7 10 .212 Test of Homogeneity of Variances Test of Homogeneity of Variances Test of Homogeneity of Variances Hasil Belajar Levene Statistic df1 df2 Sig. 178.202 7 10 .212 Tabel tersebut menunjukkan nilai signifikansi sebesar 0,382 yang berarti nilai tersebut > 0,05 sehingga dapat diambil kesimpulan bahwa data tersebut homogen. a. Pengujian Hipotesis Hipotesis dalam penelitian ini adalah Ho : Tidak ada pengaruh yang signifikan antara Sikap Belajar terhadap hasil belajar siswa H1 : Ada pengaruh yang signifikan antara Sikap Belajar terhadap hasil belajar siswa Untuk mencari persamaan regresinya dengan bantuan SPSS 16.0 didapat hasil sebagai berikut: Tabel 4.12 Output Keempat dari Uji Analisis Regresi Linier Sederhana Coefficientsa Model Unstandardized Coefficients Standardized Coefficients t Sig. B Std. Error Beta 1 (Constant) 40.190 9.286 4.328 .013 Sikap Belajar .884 .240 .626 3.677 .001 a. Dependent Variable: Hasil Belajar a. Pengujian Hipotesis Hipotesis dalam penelitian ini adalah Ho : Tidak ada pengaruh yang signifikan antara Sikap Belajar terhadap hasil belajar siswa H1 : Ada pengaruh yang signifikan antara Sikap Belajar terhadap hasil belajar siswa Untuk mencari persamaan regresinya dengan bantuan SPSS 16.0 didapat hasil sebagai berikut: Tabel 4.12 O t t K t d i Uji A li i R i Li i S d h a. Pengujian Hipotesis p p j g Coefficientsa Model Unstandardized Coefficients Standardized Coefficients t Sig. B Std. Error Beta 1 (Constant) 40.190 9.286 4.328 .013 Sikap Belajar .884 .240 .626 3.677 .001 a. Dependent Variable: Hasil Belajar Coefficientsa a. Dependent Variable: Hasil Belajar Berdasarkan hasil di atas diperoleh nilai konstanta pada kolom B. Sehingga dapat diperoleh persamaan regresi sebagai berikut: Y = a + bX Y = 40,190 + 0,884 X atau Hasil Belajar = 40,190 + 0,884 (Sikap Belajar) Untuk mengetahui apakah persamaan regresi di atas dapat digunakan untuk memprediksi atau meramalkan besarnya variabel kriterium (Y) berdasarkan variabel prediktor (X) dilakukan pengujian hipotesis untuk mengetahui signifikansi antara dua variabel. Untuk pengujian hipotesis menggunakan analisis regresi linier sederhana, dibawah ini merupakan hasil analisis regresi linier sederhana dengan bantuan SPSS 16.0: 121 ANOVA Model Sum of Squares df Mean Square F Sig. 1 Regressi on 1457.353 1 1457.353 13.51 7 .001a Residual 2264.125 21 107.815 Total 3721.478 22 a. Predictors: (Constant), Sikap Belajar b. Dependent Variable: Hasil Belajar b. Dependent Variable: Hasil Belajar b. Dependent Variable: Hasil Belajar Pada tabel ANOVA di atas diperoleh nilai Fhitung = 13,517, nilai Fhitung akan dibandingkan dengan Ftabel. Nilai Ftabel dengan dfreg = 1 dan dfres = 21 adalah 4,23 pada taraf 5% dan 7,44 pada taraf 1%. Untuk mengambil keputusan didasarkan pada kriteria pengujian dibawah ini: Jika Fhitung < Ftabel maka H0 diterima Jika Fhitung > Ftabel maka H0 ditolak Jika Fhitung > Ftabel maka H0 ditolak Pada output didapat Ftabel pada db 1 dan 21 adalah 4,13 pada taraf 5% dan 7,44 pada taraf 1%. Berdasarkan penjelasan di atas maka 13,517 > 4,23 pada taraf 5% dan 13,517 > 7,44 pada taraf 1%, sehingga H0 ditolak artinya Ada pengaruh yang signifikan antara Sikap Belajar terhadap hasil belajar siswa. Pada output didapat Ftabel pada db 1 dan 21 adalah 4,13 pada taraf 5% dan 7,44 pada taraf 1%. Berdasarkan penjelasan di atas maka 13,517 > 4,23 pada taraf 5% dan 13,517 > 7,44 pada taraf 1%, sehingga H0 ditolak artinya Ada pengaruh yang signifikan antara Sikap Belajar terhadap hasil belajar siswa. Kemudian untuk mencari besarnya pengaruh Sikap Belajar terhadap hasil belajar siswa, dengan menghitung nilai koefisien determinasinya (KD) atau R Square kemudian dikalikan 100%. Dengan bantuan SPSS 16.0 didapatkan R Square sebagai berikut: Model Summary M odel R R Square Adjusted R Square Std. Error of the Estimate 1 .626a .392 .363 10.383 a. PEMBAHASAN Dari hasil analisis di atas diperoleh persamaan regresi yaitu Y= 40,190 + 0,884 X. Berdasarkan pengujian hipotesis diperoleh nilai Fhitung = 13,517 dan Nilai Ftabel adalah 4,23, diambil keputusan bahwa H0 ditolak karena Fhitung > Ftabel artinya ada pengaruh yang signifikan antara Sikap Belajar dengan hasil belajar siswa. Jadi persamaan regresi tersebut dapat digunakan untuk meramalkan besarnya variabel kriterium (Y) berdasarkan variabel prediktor (X). Persamaan regresi = 40,190 + 0,884 X. kemudian diuji apakah memang valid untuk memprediksi variabel terikatnya. Artinya apakah Sikap Belajar benar-benar dapat memprediksi tingkat hasil belajar siswa. hasil dari analisis di atas terbukti bahwa koefisien konstanta pada model linier (a) signifikan karena nilai signifikan dari adalah 0,013 , jauh lebih kecil dari 0,05 . Kemudian hasil dari uji signifikansi koefisien regresi variabel Sikap Belajar (b) menunjukkan signifikan karena nilai signifikan dari adalah 0,000, jauh lebih kecil dari taraf signifikan 5% atau 0,05. Koefisien konstanta pada model linier (a) dan koefisien regresi variabel hasil belajar siswa (b) signifikan. jadi hasil belajar siswa dapat memprediksi hasil belajar siswa siswa. Sehingga persamaan regresi dapat dijelaskan sebagai berikut: 1. Konstanta sebesar 40,190 menyatakan bahwa jika nilai dari Sikap Belajar adalah 0, mak nilai dari hasil belajar siswa adalah 40,190. 2. Koefisien regresi sebesar 0,884 bertanda positif menyatakan bahwa setiap penambahan nilai sebesar 1 poin untuk nilai Sikap Belajar akan meningkatkan nilai hasil belajar sebesar 0, 884 poin. Dan sebaliknya jika nilai Sikap Belajar turun 1 poin maka nilai dari hasil belajar siswa juga mengalami penurunan sebesar 0, 884 poin. Dari persamaan terlihat bahwa koefisien b bernilai positif, ini menunjukkan bahwa perubahan Y searah dengan perubahan X. Jadi nilai Y akan meningkat jika X meningkat, sebaliknya nilai Y akan menurun jika X menurun. Jadi dapat disimpulkan bahwa tingkat hasil belajar siswa berbanding lurus dengan Sikap Belajar. 3. Nilai Rata-rata Sikap Belajar adalah 37,57. Jika nilai ratarata Sikap Belajar dimasukkan dalam persamaan regresi menjadi = 40,190 + 0,884 (37,57) = 40,190 + 33,22 artinya nilai rata-rata Sikap Belajar sebesar 37,57 poin akan meningkatkan nilai hasil belajar sebesar 4,450 poin. Dan sebaliknya jika nilai kecerdasan visualspasial turun 37,57 poin maka nilai dari hasil belajar siswa juga mengalami penurunan sebesar 4,450 poin Dari hasil analisis di atas, dapat dikemukakan bahwa hipotesis dalam penelitian ini yaitu “Ada pengaruh yang signifikan antara Sikap Belajar terhadap hasil belajar IPS Terpadu” dapat diterima secara signifikan. Hal ini terlihat pada korelasi atau nilai R = 0,626 (R ≠ 0). a. Pengujian Hipotesis Predictors: (Constant), Sikap Belajar Model Summary Dari output di atas diperoleh nilai koefisian Determinasi atau R Square (r2 ) adalah 0,626. Untuk melihat seberapa besar pengaruh Sikap Belajar terhadap hasil belajar siswa adalah Dari output di atas diperoleh nilai koefisian Determinasi atau R Square (r2 ) adalah 0,626. Untuk melihat seberapa besar pengaruh Sikap Belajar terhadap hasil belajar siswa adalah KD 2 100 % Dari output di atas diperoleh nilai koefisian Determinasi atau R Square (r2 ) adalah 0,626. Untuk melihat seberapa besar pengaruh Sikap Belajar terhadap hasil belajar siswa adalah KD = r2 x 100 % = 0,626 x 100% = 62,6% Jadi besar pengaruh pengaruh Sikap Belajar terhadap hasil belajar siswa siswa adalah 62,6%. Sisanya 100% - 62,6% = 37,4% dipengaruhi oleh variabel-variabel lain yang belum dimasukkan dalam model. Menurut Sugiyono pedoman untuk memberikan interpretasi koefisien korelasi sebagai berikut: 0,00 - 0,199 = sangat rendah 0,20 - 0,399 = rendah 0,00 - 0,199 = sangat rendah 0,20 - 0,399 = rendah 122 Vol. 3, No. 2, Mei 2023 0,40 - 0,599 = sedang 0,60 - 0,799 = kuat 0,80 - 1,000 = sangat kuat 0,40 - 0,599 = sedang 0,60 - 0,799 = kuat 0,80 - 1,000 = sangat kuat Berdasarkan interpretasi koefisien korelasi di atas maka nilai r2 = 0,626 berada pada hubungan rendah sehingga dapat diambil kesimpulan bahwa Sikap Belajar terhadap hasil belajar siswa mempunyai hubungan yang kuat. Berdasarkan interpretasi koefisien korelasi di atas maka nilai r2 = 0,626 berada pada hubungan rendah sehingga dapat diambil kesimpulan bahwa Sikap Belajar terhadap hasil belajar siswa mempunyai hubungan yang kuat. KESIMPULAN Berdasarkan hasil penelitian dan pembahasan, maka penulis dapat mengambil kesimpulan bahwa hipotesis diterima yaitu Ada Pengaruh Sikap Belajar Terhadap Hasil Belajar Ilmu Pengetahuan Sosial Terpadu Pada Semester Ganjil Peserta Didik Kelas VII SMP Ma’arif 1 Metro Tahun Pelajaran 2021/2022 dibuktikan dengan hasil analisis persamaan regresi linier sederhana yaitu Y= 40,190 + 0,884 X. Nilai fhitung sebesar 13,517 nilai Fhitung = 13,517 > Ftabel = 42,3 dan besarnya koefisien determinasi atau R Square adalah sebesar 0,626. Besarnya angka koefisien determinasi (R Square) adalah 0,626 atau sama dengan 62,6%. Angka tersebut mengandung arti bahwa variabel penggunaan Sikap Belajar (X) berpengaruh terhadap variabel hasil belajar (Y) sebesar 62,6%. Sedangkan sisanya 37,4% dipengaruhi oleh variabel lain. Hasil tersebut menunjukkan bahwa sikap belajar mempunyai pengaruh yang signifikan terhadap hasil belajar Ilmu Pengetahuan Sosial Terpadu Pada Semester Ganjil Peserta Didik Kelas VII SMP Ma’arif 1 Metro Tahun Pelajaran 2021/2022. PEMBAHASAN Besarnya nilai korelasi R2 = 0,626 atau 0,626 x 100% = 62,6% menunjukkan derajat hubungan yang kuat. Ini menunjukan bahwa hasil belajar siswa dipengaruhi oleh variabel Sikap Belajar sebesar 62,6%. Untuk sisanya 100% - 62,6 % = 37,4 % dipengaruhi variabel lain. Data yang diperoleh menunjukan bahwa sikap belajar yang sangat baik dan baik, hal tersebut haruslah ditunjang dengan cara mengajar yang baik. Guru sebaiknya memperhatikan metode pembelajaran apa yang digunakan seperti dengan menggunakan metode paikem gembrot yang artinya pembelajaran aktif, inovatif, kreatif, efektif, menyenangkan, gembira dan berbobot. Adapun kelebihan metode paikem gembrot adalah keterampilan sosial anak berkembang dalam proses pembelajaran. Keterampilan sosial ini antara lain adalah kerja sama, komunikasi dan mau mendengarkan pendapat orang lain. Keterampilan berpikir siswa berkembang dalam proses 123 Vol. 3, No. 2, Mei 2023 Vol. 3, No. 2, Mei 2023 pembelajaran, dan kegiatan kegiatan yang dipilih sesuai dengan minat dan kebutuhan siswa. Guru sebaiknya mengguanakn metode pembelajaran yang dapat mendorong siswa menjadi aktif, inovatif, kreatif, efektif dan menarik. Hal tersebut sesuai dengan Peraturan Menteri Pendidikan Nasional Republik Indonesia No 41 Tahun 2007. Adanya temuan-temuan dalam penelitian ini menunjukan sikap belajar siswa pada mata pelajaran IPS Terpadu bisa lebih baik lagi, karena pelajaran IPS Terpadu sangat penting untuk dipelajari, didalamnya membahas tentang perilaku individu dan masyarakat dalam usaha memenuhi kebutuhan hidupnya yang tak terbatas dengan alat pemuas kebutuhan yang terbatas jumlahnya. Penelitian ini telah membantu peneliti untuk menyelesaikan skripsi ini, karena pada saat penelitian. Pada saat pengisian angket siswa sangat mengahargai peneliti, begitu pula pada saat observasi dan wawancara guru mau meluangkan waktunya untuk melakukan observasi dan wawancara. Peneliti berharap kedepannya guru dapat lebih memperhatikan sikap peserta didiknya pada saat belajar demi tercapainya tujuan belajar dan hasil belajar yang baik dan guru dapat memilih metode belajar yang akan digunakan sesuai dengan materi yang disajikan. Dalam penelitian ini peneliti melibatkan beberapa teori sesuai dengan variabel penelitian yaitu sikap belajar dan hasil belajar siswa. DAFTAR PUSTAKA Arikunto, Suharsimi. 2016. Prosedur Penelitian Suatu Pendekatan Praktik. Jakarta: Rineka Cipta Aunurrahman, 2014. Belajar dan Pembelajaran, Bandung: Alfabeta. Aunurrahman, 2014. Belajar dan Pembelajaran, Bandung: Alfabeta. Azwar, Saifuddin. 2000. Sikap Manusia, Teori dan Pengukurannya. Yogyakarta: Liberty. Budiyono. 2012. Statistik Untuk Penelitian. Jakarta; Rajawali Pers Budiyono. 2012. Statistik Untuk Penelitian. Jakarta; Rajawali Pers Djaali. 2016. Psikologi Pendidikan. Jakarta: Bumi Aksara Djaali. 2016. Psikologi Pendidikan. Jakarta: Bumi Aksara Fransisca, Lucia. Endang Sri Sarwiyatin. 2016. Pengaruh Sikap Belajar Dan Kebiasaan Belajar Terhadap Hasil Belajar Geografi Peserta Didik SMA Negeri 1 Ponggok Kecamatan Ponggok Kabupaten Blitar. LIKHITAPRAJNA. ISSN: 1410-8771. Volume 19, Nomor 1, hal 110-121 Frederik D.E Jemudin, Alberta P. Makur, Ferdinandus A. Ali. 2014. Hubungan Sikap Belajar dan Motivasi belajar Terhadap Prestasi Belajar Matematika Siswa smpn 6 langke Rembong. 124 Jemudin, Frederik D.E. Alberta P. Makur, Ferdinandus A. Ali 2019. Hubungan Sikap Belajar dan Motivasi belajar Terhadap Prestasi Belajar Matematika Siswa smpn 6 Langke Rembong. JHM, Vol. 2, No. 1, pp. 1 - 11, April 2019 Narbuko, Cholid. 2013. Metodologi Penelitian. Jakarta: Bumi Aksara Narbuko, Cholid. 2013. Metodologi Penelitian. Jakarta: Bumi Aksara Nasution, S. 2012. Metode Research (penelitian ilmiah), Jakarta: Bumi Aksara. Nasution, S. 2013. Didaktik Asas-asas Mengajar, Jakarta: Bumi Aksara. asution, S. 2013. Didaktik Asas-asas Mengajar, Jakarta: Bumi Aksara. Pratiwi, Risti. 2016. Pengaruh Sikap Siswa Terhadap Keaktifan Belajar Kompetensi Pembuatan Saku Tempel Mata Pelajaran Dasar Teknologi Menjahit Kelas X Jurusan Tata Busana Smkn 6 Yogyakarta. Skripsi. Yogyakarta: Universitas Negeri Yogyakarta Purwanto. 2013. Evaluasi Hasil Belajar. Yogyakarta: Pustaka Pelajar Putro Widoyoko, Eko. 2014. Teknik Penulisan Skripsi. Yogyakarta: Pustaka Pelajar Risti Pratiwi. 2017. Pengaruh Sikap Siswa Terhadap Keaktifan Belajar Kompetensi Pembuatan Saku Tempel Mata Pelajaran Dasar Teknologi Menjahit Kelas X Jurusan Tata Busana SMKN 6 Yogyakarta. Skripsi. Yogyakarta: Universitas Negeri Yogyakarta. Rusmono. 2016. Model-model Pembelajaran. Jakarta: Rajawali Pers Sabri, Alisuf. 2012. Psikologi Pendidikan. Bandung: PT Remaja Rosdakarya Sardiman, A.M., 2014. Interaksi dan Motivasi Belajar Mengajar. Jakarta: Rajawali Pers Slameto. 2010. Belajar dan Faktor-faktor yang Mempengaruhinya. Jakarta: Rineka Cipta Sugiyono. 2009. Penelitian Kualitatif, Kuantitatif, R&D. Bandung: Alfabeta Suprijono, Agus. 2012. Cooperative Learning. Yogyakarta: Pustaka Pelajar. Suryabrata, Sumadi. 2010. Metodologi Penelitian. Jakarta: Rajawali Perss. Surya, Mohamad. 2004. Psikologi Pembelajaran dan Pengajaran. Bandung: Pustaka Bani Quraisy. Syah, Muhibbin. 2010. Psikologi Pendidikan dengan Pendekatan Baru, Bandung: PT Remaja Rosdakarya Tanzeh, Ahmad. 2014. Metode Penelitian. Bandung: Putaka Setia Tanzeh, Ahmad. 2014. Metode Penelitian. Bandung: Putaka Setia Thobroni, Muhammad., & Arif Mustofa, Belajar & Pembelajaran: Pengembangan Wacana dan Praktik Pembelajaran dalam Pembangunan Nasional, Jogjakarta: Ar-Ruzz Media, 2011 125
https://openalex.org/W2036821054
https://zenodo.org/records/1566886/files/article.pdf
English
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A NEW DIRECTOR FOR BLIND INTERNAL FISTULA.
Lancet
1,906
public-domain
1,359
ANOMALY OF VISION. BY M. J. GODMAN.* THE inversion of images formed on the retina, by the passage of rays of light through the anterior part of the eye, resulting from the laws of optics, is constant, and does not produce any uncertainty in the judgment relative to the position of the objects, provided the other senses be in their natural condition. The following case presents an extremely interesting exception :-A child, seven years of age, the son of a distinguished artist, commenced taking lessons in draw- ing from his father ; but it may be imagined how great the parent’s surprise was at finding all the objects which the child represented, drawn upside down. It was first supposed that the child might be practising this inversion of objects in joke, but he affirmed that he drew the objects as they appeared to him ; and as the drawings were, in other re- spects, very accurate, there was no reason for doubting the child’s word. Every time that the object was turned before he took a sketch of it, he represented it in the natural position, showing that the sensation received by the eye corresponded perfectly with the inversion formed on the retina. This state of vision continued more than a year ; after which time the child began to see objects in their natural position. The Annual Charities Register and Digest, 1906. London : Longmans, Green, and Co., and the Charity Organisation Society. Pp. cccii.-688. Price 5s.-This well known com- pilation is indispensable to every almsgiver. The intro- duction by Mr. C. S. Loch is a mine of information in itself and the index is a model of what an index should be. A new feature in the present volume is a series of articles upon special branches of charitable work written by experts in the particular subject of which they treat. " A Review of the Year" " is another addition. Our remarks about charities which are no charities, but rather polemical politico-religious societies, apply to this book as to nearly all other charity guides. We hold no brief either for or against such societies, we merely contend that they should not call themselves charities. position. Many analogous cases have been observed ; a very dis- tinguished lawyer, for instance, saw, for some time, objects inverted ; the houses appeared to him to rest on the roofs- men, to walk on their heads, &c. d Looking Back. FROM THE LANCET, SATURDAY, May 24th, 1828. FOREIGN DEPARTMENT. chemists and druggists. It contains details of the examina- tions of the Pharmaceutical Society, both the minor exami- nation and the major, a list of prizes, sundry tables, and a list of Latin terms used in prescribing, with translations of the same. Altogether, the class for which it is written shoul find it very useful. chemists and druggists. It contains details of the examina- tions of the Pharmaceutical Society, both the minor exami- nation and the major, a list of prizes, sundry tables, and a list of Latin terms used in prescribing, with translations of the same. Altogether, the class for which it is written shoul find it very useful. ANOMALY OF VISION. BY M. J. GODMAN.* This aberration of vision depended on a disturbed state of the digestive organs, and disappeared with the cause which gave it origin. Dr. Wollaston, after considerable exercise of body and mind, suddenly found that he could see but half of the figures of persons whom he met, as well as other objects which came before him. Dr. Crawford relates the history of a woman who was attacked with a slight hemiplegia of the left side, who, from that period, could see but half an object, not even after that the power of motion had been restored to the paralysed side. Another person had, for several years, a derangement in the vision of the right eye, to which every single object was represented multiplied seven or eight times. y gg CECIL H. LEAF, M.B., B.C.Cantab., F.R.C.S.Eng., Surgeon to the Cancer Hospital and Gordon Hospital for Rectal Diseases. FOREIGN DEPARTMENT. ANOMALY OF VISION. BY M. J. GODMAN.* Wimpole-street, W. d FROM THE LANCET, SATURDAY, May 24th, 1828. FOREIGN DEPARTMENT. y Low’s Handbook to the Charities of London, 1906. Seventy- first year of publication. London : Eliot Boothroyd. Pp. xxxii.-286. Price ls.-This excellent little book is arranged alphabetically, so that it is easy to find any par- ticular charity. Like all guides to charities, it contains details of a number of societies the work of which can in no sense be called charitable. For those who wish to contribute to real charities, however, the book is an admirable help, although it does not pretend to enter into such a detailed account of charity and charities as does the work noticed below. 1477 A NEW DIRECTOR FOR BLIND INTERNAL FISTULA. IT may happen that in cases of blind internal fistula difficulty may be experienced in finding the opening and passing an ordinary probe into the sinus. To accomplish this manoeuvre it usually means that the probe has to be bent to a greater or less degree. To overcome this difficulty I have devised an instrument of which the accompanying illustration is a representation. It consists of a straight stem terminating above in a bulbous extremity and expanding below into a broad handle. The length of the stem is three and a half inches. From the stem runs a straight probe-pointed director one and three-quarter inches in length and set at an angle of 23 degrees. There is a groove on both sides of the director which is carried almost up to the point on the one hand and obliquely on to the stem on the other. The special points about this instrument are: (1) its top is bulbous, so that when it is inserted it can do no harm to the mucous membrane ; (2) the groove being on both sides of the probe-pointed director enables the surgeon to slit up the tissues overlying the fistula, no matter where the latter may be situated ; and (3) the handle being broad the instrument can easily be rotated into any position desired. The makers of the instrument are the Holborn Surgical Instrument Company, who have admirably parried out my suggestions. * Journal Universel des Sciences Med. Feb. 1828. * Journal Universel des Sciences Med. Feb. 1828. ASYLUM WORKERS’ ASSOCIATION.-The annual general meeting of this society (founded in 1895 to improve the status of asylum nurses and attendants, to provide for them "homes of rest and nursing," and to enlist public sympathy in their work) will be held at the Medical Society’s house, 11, Chandos-street, Cavendish-square, London, W., on Friday, June lst, at 4 P.M. Sir John Batty Tuke, M.P. (president of the association), will take the chair. There will be a presentation of two gold and two silver medals awarded by the association for long and meritorious nursing service. All interested in asylum work and workers are cordially invited to attend. y THE PANHELLENIC MEDICAL CONGRESS AT ATHENs.-The Fifth Panhellenic Medical Congress has just taken place at the Greek capital. It lasted a week and closed at the time when the Olympic games were brought to an end. The King of Greece and the Royal Family were present at this Congress and the Minister of Public Instruc- tion opened it, in his capacity of president, with an eloquent discourse on the progress of medical science generally. The work of the Congress has been divided into two sections-a pathological one which held its meetings in the halls of the University and a surgical one which gathered in the academy rooms. It is reported from Athens that there was a large influx of foreign medical men desirous of attending the Congress. At its close the President announced the forma- tion of a joint-stock society for the purpose of exploitation of all the mineral waters of Greece. He also communicated the news that this society offers 2000 drachmas (one drachma = one franc) for the best work on the curative properties of the mineral waters of Greece. -- Wimpole-street, W. Wimpole-street, W.
https://openalex.org/W4375936388
https://jurnal.uns.ac.id/recidive/article/download/58873/34399
Indonesian
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PERLINDUNGAN HUKUM ATAS PENGUNGKAPAN IDENTITAS ANAK OLEH APARAT PENEGAK HUKUM
Recidive
2,021
cc-by
4,308
Abstract This research aimed to discuss the disclosure of children’s identity by law enforcement officials and law enforcement against the actions taken. The research method used is normative with prescriptive properties. This research approach is a statutory and conceptual approach. The legal materials used in this research are primary and secondary legal materials. The data analysis technique uses deductive logic. The results of this study indicate the form of disclosure of children’s identities carried out by law enforcement officials both on social media or on websites of law enforcement officials as well as law enforcement on disclosure of children’s identities by law enforcement officials that have not been carried out in legal practice, so that children are not protected. Keywords: Children, Identity Disclosure Children, Law Enforcement Official. Keywords: Children, Identity Disclosure Children, Law Enforcement Official. PERLINDUNGAN HUKUM ATAS PENGUNGKAPAN IDENTITAS ANAK OLEH APARAT PENEGAK HUKUM M. Hufron Fakih, Subekti Fakultas Hukum Universitas Sebelas Maret E-mail : Muhammadhufron77@gmail.com , Subektifhuns@gmail.com Abstrak Penelitian ini bertujuan membahas pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum dan perlindungan secara hukum terhadap tindakan yang dilakukan. Metode penelitian yang digunakan normatif dengan sifat preskriptif. Pendekatan penelitian ini yaitu pedekatan perundang- undangan dan konsepsual. Bahan hukum yang digunakan dalam penelitian ini yaitu bahan hukum primer dan sekunder. Teknik analisis data menggunakan logika deduktif. Hasil dari penelitian ini menunjukan dari bentuk pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum baik di sosial media atau di website aparat penegak hukum serta penegakan hukum atas pengungkapan identitas Anak oleh aparat penegak hukum yang belum dilakukan dalam praktik hukumnya, sehingga Anak tidak mendapat perlindungan. Kata Kunci: Anak, Pengungkapan Identitas Anak, Aparat Penegak Hukum. A. Pendahuluan Undang-Undang Dasar Negara Republik Indonesia Tahun 1945 bahwa negara telah men- cantumkan untuk memajukan kesejahteraan umum dan mencerdasakan kehidupan bangsa ter- utama anak sebagai generasi penerus bangsa. Anak merupakan anugrah Tuhan Yang Maha Esa yang wajib dijaga, dirawat, dan dilindungi Karena memiliki Hak Asasi yang harus dijunjung tinggi oleh setiap manusia. Pasal 28 B Ayat (2) Undang-Undang Dasar Republik Indonesia Tahun 1945 menyatakan bahwa yakni setiap anak berhak atas kelangsungan hidup, tumbuh, dan berkembang. Anak perlu dididik dan dibimbing dengan cara yang tepat agar kecil kesempatan untuk menjadi Anak yang berhadapan dengan Hukum khususnya menjadi pelaku tindak pidana. Istilah Anak berhadapan dengan hukum termaktub dalam Undang-Undang Nomor 11 Tahun 2012 tentang Sistem Peradilan Pidana Anak yang selanjutnya disebut dengan UU SPPA. Anak berhadapan dengan hukum terdiri dari Anak yang berkonflik dengan hukum, Anak yang menjadi saksi tindak pidana, dan Anak yang menjadi korban tindak pidana, namun Anak yang berkonflik dengan hukum atau anak sebagai pelaku tindak pidana dalam UU SPPA disebut dengan istilah Anak. Menurut Undang-Undang Nomor 11 Tahun 2012 tentang Sistem Peradilan Pidana Anak, Pasal 1 Ayat (3) dijelaskan bahwa pengertian Anak adalah anak yang telah berusia 12 ( dua belas) tahun Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... 109 Recidive Volume 10 No. 2, Mei. - Ags. 2021 tetapi belum berusia 18 (delapan belas) tahun yang diduga melakukan tindak pidana. sejak tahun 2011 sampai 2019 kasus anak berhadapan dengan hukum yang dilaporkan ke Komisi Perlindungan Anak Indonesia ( KPAI ) mencapai 11.492 kasus, jauh lebih tinggi dari pada kasus anak terjerat masalah kesehatan dan narkotika (2.820 kasus), pornografi dan cyber crime (3.232 kasus), serta trafficking dan eksploitasi (2.156 kasus). Perlindungan hukum Anak yaitu ketika proses peradilan berlangsung baik sebelum atau setelah, terutama perlindungan terhadap hak atas kerahasiaan identitas bagi Anak karena marak terjadi pengungkapan identitas Anak melalui media cetak atau elektronik. Pengungkapan identitas Anak umumnya dilakukan oleh wartawan atau non-profesi sebagai wartawan. Secara yuridis perlindungan Anak tercantum pada Undang-Undang Nomor 11 Tahun 2012 tentang Sistem Peradilan Pidana Anak Pasal 19 Ayat (1) dan (2) berbunyi : “1) Identitas Anak, Anak Korban, dan/ atau Anak Saksi wajib dirahasiakan dalam pemberitaan di media cetak ataupun elektronik. B. Perumusan Masalah Berdasarkan uraian diatas maka rumusan masalahnya yaitu bagaimana perlindungan hukum terhadap pengungkapan identitas Anak oleh aparat penegak hukum ? A. Pendahuluan (2) Identitas sebagaimana dimaksud pada Ayat (1) meliputi nama Anak, nama Anak Korban, nama Anak Saksi, nama orang tua, alamat, wajah, dan hal lain yang dapat mengungkapkan jatidiri Anak, Anak Korban, dan/atau Anak Saksi.” Sanksi dari pengungkapan identitas Anak tecantum pada Pasal 97 di dalam UU SPPA yaitu :” setiap orang yang melanggar kewajiban sebagaimana dimaksud dalam Pasal 19 Ayat (1) dipidana dengan pidana penjara paling lama 5 (lima) tahun dan denda paling banyak Rp 500.000.000,00 ( lima ratur juta rupiah ). Perlindungan Hak Privasi Anak tercantum juga dalam Beijing Rules “8. Protection of privacy 8.1 The juvenile’s right to privacy shall be respected at all stages in order to avoid harm being caused to her or him by undue publicity or by the process of labelling. 8.2 In principle, no information that may lead to the identification of a juvenile offender shall be published” (Beijing Rules, 1985:5). Pada aturan ke-8 (delapan) tentang perlindungan privasi yaitu : 8.1 Hak nak atas privasi harus dihormati di semua tahap untuk menghindari kerugian yang ditimbulkan kepadanya oleh publitas yang tidak semestinya atau oleh proses pelabelan. 8.2 Pada prinsipnya tidak ada informasi yang dapat mengarah pada identifikasi pelaku remaja yang akan dipublikasikan. Sehingga, per- lindungan identitas Anak penting untuk mendapatkan perlindungaan dari tindakan yang dapat merugikan Anak karena menyangkut kelangsungan hidup dan berkembang di dalam masyarakat. Pengungkapan identitas Anak dapat dilakukan oleh siapa saja termasuk oknum dari aparat penegak hukum yang seharusnya menjaga hak privasi Anak tetap aman namun justru melakukan tindakan pengungkapan identitas Anak yang dapat diakses oleh publik. Peraturan perlindungan hukum terhadap pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum Identitas Anak adalah hak asasi manusia yang harus dirahasiakan dan tidak untuk disebar- luaskan baik dimedia cetak atau elektronik maka perlu adanya perlindungan yang tegas dan tidak memandang yang mengungkapkan identitas Anak tersebut ke masyarakat terutama aparat penegak hukum yang sudah seharusnya lebih mengerti dan menegakkan perlindungan tersebut. Bentuk pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum yaitu melalui video di media sosial. Contoh kasus yaitu pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum dalam proses penyidikan yang dilakukan di Polresta Suarakarta, yaitu seorang Anak berinisial Hk berumur 16 ( enam belas ) tahun diduga telah menyerang petugas dengan menggunakan ketapel dan kelereng, sehingga mengakibatkan 4 ( empat ) Polwan terluka saat sedang mengamankan Demo di DPRD Surakarta pada hari senin, 30 September 2019 lalu. Postingan video dengan durasi 30 detik tersebut menunjukan proses penyidikan polisi terhadap Anak, meskipun identitas wajah Anak telah di-blur atau disamarkan namun nama dari Anak tersebut masih dapat di dengar ketika video diputar. Video tersebut terdapat tulisan atau caption yang menerangkan tempat Anak sekolah yaitu di SMK 5 Surakarta. Postingan video yang diunggah telah ditonton sebanyak 15.177 kali di akun isntagram Polresta Surakarta. Pengungkapan identitas Anak yang dilakukan polisi ketika melakukan penyidikan melanggar peraturan perundangan yang melindungi hak atas identitas Anak. Tindakan yang dilakukan oleh oknum polisi Polresta Surakarta tersebut merupakan tindakan pengungkapan identitas Anak yang seharusmya dan wajib untuk dirahasiakan agar tidak diketahui oleh publik. Salah satu perlindungan hukum terhadap Anak yang menjadi pelaku tindak pidana adalah dengan menerapkan pasal-pasal yang ada dalam Undang-Undang Sistem Peradilan Pidana Anak khususnya dalam hal penyidikan. Proses penyidikan diatur dalam KUHAP. Pasal 1 butir 2 (Kitab Undang-Undang Hukum Acara Pidana) KUHAP diuraikan bahwa : “ penyidikan adalah tindakan penyidikan dalam hal dan menurut cara yang diatur dalam undang-undang, mencari dan mengumpulkan bukti yang dengan bukti itu membuat terang tentang tindak pidana yang terjadi dan guna menemukan tersangkanya”. Penyidikan bertujuan untuk menunjuk siapa yang telah melakukan kejahatan dan memberikan pembuktian-pembuktin mengenai masalah yang telah dilakukannya. Untuk mencapai maksud tersebut maka penyidik akan menghimbau dengan fakta atau peristiwa-peristiwa tertentu (Hamid, Husein, 1991:58). Perkara Anak diatur lebih khusus mengenai penanganannya karena anak tidak dapat disamakan dengan orang dewasa maka pihak kepolisian wajib untuk memperhatikan tata cara penyidikan yang ada dalam Undang- Undang Sistem Peradilan Pidana Anak agar dapat memenuhi hak-hak Anak, salah satunya adalah tidak dipublikasikan identitasnya. Oleh sebab itu, dalam proses penyidikan terhadap Anak adalah penyidik Anak. C. Metode Penelitian Sebagai kegiatan ilmiah yang berdasarkan pada metode dan sistematika untuk dapat mem- berikan jawaban atas permasalahan yang dihadapi, maka diperlukan metode penelitian yang tepat. Berikut merupakan metode yang penulis gunakan: Jenis penelitian yang digunakan adalah penelitian hukum normatif atau doctrinal. Sifat penelitian ini adaah prespektif atau terapan. Penelitian prespektif bertujuan untuk mendapatkan saran guna memecahkan suatu permasalahan. Pendekatan yang digunakan penelitian ini adalah pendekatan konsepsual (conseptual approach), yaitu berangkat dari gagasan dan pemikiran serta doktrin yang berkembang dalam ilmu hukum. Pendekatan ini dijadikan sebagai pijakan untuk membangun argumentasi hukum dan mengatasi persoalan yang penulis bahas dalam penelitian ini. Jenis penelitian yang digunakan adalah penelitian normatif dimana menggunakan data sekunder yang berasal dari bahan hukum primer dan sekunder. Selanjutnya teknik pengumpulan bahan hukum berasal dari bahan hukum primer dan sekunder dikumpulkan melalui studi kepustakaan Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... 110 Recidive Volume 10 No. 2, Mei. - Ags. 2021 (library research). Penulis mengumpulkan bahan-bahan yang berasal dari gagasan serta doktrin ahli hukum, perundang-undagan, buku, artikel, jurnal ilmiah, makalah, hasil penelitian pakar hukum, serta browsing internet mengenai hal-hal yang terkait dengan permasalahan kemudian dianalisis sebagai dasar untuk menjawab persoalan perlindungan hukum atas pengungkapan identitas Anak oleh aparat penegak hukum. Penelitian hukum ini mengambil informasi dan bahan hukum yang relevan, kemudian dari hasil bahan hukum tersebut dilakukan pembahasan secara deskriptif analitis bertujuan untuk memperoleh gambaran menyeluruh tentang fakta-fakta yang berhubungan dengan penelitian. Peraturan perlindungan hukum terhadap pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum Hak ini termaktub dalam Pasal 26 Ayat (3) Undang-Undang Sistem Peradilan Pidana Anak, Pengungkapan nama Anak dalam putusan oleh Hakim yang diunggah oleh Mahkamah Agung di Website Direktori Putusan Mahkamah Agung Republik Indonesia pada perkara Pidana khusus Anak masih terdapat perbedaan pencantuman identitas Anak yang dapat dikatakan sebagai upaya Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... 111 Recidive Volume 10 No. 2, Mei. - Ags. 2021 pengungkapan identitas Anak kepada publik karena dapat diakses secara umum. Contohnya dalam putusan nomor 37/Pid.Sus-Ank/2020/PN.Mnd. yang mencantumkan nama Anak yaitu Rivaldo Muhammad berusia (17 tahun) putusan tersebut secara langsung mengungkapkan identitas Anak putusan Nomor 38/pid.Sus-Anak/2020/PN.Kis. untuk nama Anak tidak ditulis nama lengkap hanya ditulis ANAK berusia (13 tahun) yang berarti Anak yang berkonflik dengan hukum (ABH) dan Putusan Nomor 60/pid.Sus/2014/PN.Tli. Nama Anak ditulis dengan sebutan TERDAKWA berusia (17 tahun) di dalam peraturan Mahkamah Agung Republik Indonesia Nomor 9 Tahun 2017 tentang format (template) dan penulisan putusan/penetapan Mahkamah Agung, tidak membahas secara khusus terkait penulisan nama dari tindak pidana khusus Anak hanya format dalam bentuk kasasi yaitu pada halaman 111 – 121. Maka penulisan nama Anak dalam putusan dapat dikatakan sebagai upaya pengungkapan identitas Anak yang seharusnya dilindungi dan wajib untuk dirahasiakan. Pengungkapan identitas Anak yang tertulis di dalam putusan hakim merupakan tindak pidana karena telah melanggar ketentuan undang-undang yang melindungi hak atas kerahasiaan identitas Anak yang wajib untuk dilindungi. Perbedaan penulisan istilah nama Anak di dalam putusan hakim yang ditemukan oleh penulis memiliki 3 (tiga) versi pertama nama Anak ditulis secara terang yaitu nama panjang Anak, kedua nama Anak ditulis dengan inisial Terdakwa, dan ketiga nama Anak ditulis dengan istilah Anak. 3 (tiga) versi penulisan Anak tersebut di dalam draf penyusunan putusan hakim tidak dijelaskan secara detail terkait penulisan dari nama Anak, namun di dalam Undang-Undang Nomor 11 Tahun 2012 tentang Sistem Peradilan Pidana Anak menyebutkan bahwa Anak yang berkonflik dengan hukum atau anak sebagai pelaku tindak pidana disebut dengan istilah Anak. Istilah Anak pada penulisan nama anak jika menerapkan ketentuan Undang- Undang Sistem Peradilan Pidana Anak maka ditulis dengan istilah Anak bukan nama terang anak atau Terdakwa. Proses peradilan pidana Anak mengatur mengenai hakim yang akan mengadili Anak. Pasal 1 angka 10 Undang-Undang Sistem Peradilan Pidana Anak dikatakan bahwa hakim adalah hakim Anak serta diperkuat dengan adanya Pasal 43 Ayat (2) Undang-Undang Sistem Peradilan Pidana Anak. Peraturan perlindungan hukum terhadap pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum Aparat penegak hukum sebagai pejabat pemerintah sudah semestinya untuk mematuhi peraturan perundang-undangan terlebih ketika sudah menjabat sebagai aparat penegakan hukum, oleh sebab itu tidak ada istilah kebal terhadap hukum (Equality before the law principle) atau asas persamaan di hadapan hukum yang merupakan salah satu asas dalam deklarasi Universal HAM dan dianut dalam Undang-Undang Dasar Negara Republik Indonesia Tahun 1945 tercantum dalam Pasal 27 Ayat (1) berbunyi “ segala warga negara bersamaan kedudukannya di dalam hukum dan pemerintahan dan wajib menjunjung tinggi hukum dan pemerintahan itu dengan tidak ada kecualinya”. Aparat penegak hukum sebagai pejabat pemerintah yang menjadi garda terdepan dalam menerapkan dan menegakan peraturan perundangan yang menyangkut kepentingan umum termasuk dalam menjaga hak atas privasi Anak. Pasal 1 angka 3 Undang-Undang Nomor 30 Tahun 2014 tentang Administrasi Pemerintahan menerangkan bahwa pejabat pemerintah adalah unsur yang melaksanakan fungsi pemerintahan, baik di lingkungan pemerintah maupun penyelenggra negara lainnya. Fungsi pemerintah sendiri adalah fungsi dalam melaksanakan administrasi pemerintah yang meliputi fungsi pengaturan, pelayanan, pembangunan, pemberdayaan, dan pelindungan. Jika dikaitkan dengan fungsi sebagai pejabat pemerintah khususnya aparat penegak hukum dalam hal fungsi perlindungan maka sudah seharusnya untuk melindungi kepentingan Anak terutama hak kerahasiaan identitas Anak agar tidak disebar luaskan secara umum. Tindak pidana pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum baik dalam bentuk video, caption atau artikel dan dalam putusan hakim menunjukan bahwa masih lemahnya penegakan hukum terhadap pejabat pemerintah terlebih kepada aparat penegak hukum. Hal tersebut terjadi karena adanya konflik kepentingan hukum di dalam sistem pemerintahan (conflict of interest). Konflik kepentingan (Conflict of Interest) terjadi antara dua pelaku yang disebut principal dan agen. Principal adalah orang yang memberikan suatu pertanggungjawaban atau mandat kepada agen. Hubungan principal dan agen bisa terjadi antara manajer dengan bawahan, dewan komisiaris dengan jajaran direksi, dan lainnya. konflik kepentingan ini berdampak pada tumpulnya sistem hukum yang berlaku karena akan menganggap sebagai suatu tindakan kelalaian yang dilakukan pejabat pemerintah dan tidak mendapat sanksi. Tindakan tersebut mencerminkan bahwa adanya ketidakberpihakan dan menyalahgunakan kewenangan demi kepentingan pribadi atau kelompok tertentu daripada kepentingan umum. Dikaitkan dengan aparat penegak hukum sebagai pejabat pemerintah bahwa tindakan penungkapan identitas Anak yang dilakukan dapat dikatakan sebagai tindakan kesalahan atau kelalaian yang semata terjadi karena adanya unsur ketidak sengajaan atau kurangnya wawasan terhadap yang dilakukan oleh oknum. Pengungkapan identitas Anak yang dilakukan oleh pejabat pemerintah khususnya aparat penegak hukum melanggar adanya asas ketidakberpihakan dan asas tidak menyalahgunakan kewenangan. Peraturan perlindungan hukum terhadap pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum Perlindungan terhadap identitas Anak diperlukan untuk menghindari Anak dari dampak- dampak negatif dari masyarakat oleh sebab itu perlu adanya upaya untuk mendorong Anak agar tetap tumbuh dan berkembang serta diterima di masyarakat dengan baik. Perlindungan tersebut dapat menjadi lebih efektif apabila penyelenggara penegakan hukum dapat mengerti tentang Anak, maka perlu adanya peningkatan kapasitas dan sosalisasi tentang Undang-Undang Sistem Peradilan Pidana Anak. Pasal 92 Undang-Undang Sistem Pradilan Pidana Anak dijelaskan bahwa : (1) pemerintah wajib menyelenggarakan pendidikan dan pelatihan bagi penegak hukum dan pihak terkait secara terpadu; (2) pendidikan dan pelatihan sebagaimana dimaksud pada Ayat (1) dilakukan paling singkat 120 (seratus dua puluh) jam,; (3) pelaksanaan pendidikan dan pelatihan sebagimana dimaksud pada Ayat (1) dikoordinasikan oleh kementrian yang menyelenggarakan urusan pemerintahan dan pelatihan di bidang hukum; (4) ketentuan lebih lanjut mengenai penyelenggaraan pendidikan dan pelatihan sebagaimana dimaksud pada Ayat (3) diatur perturan presiden. Bentuk pemenuhan perlindungan hukum terhadap Anak yang terdapat pada Pasal ini menunjukan bahwa pelatihan diselenggarakan melalui Kementrian Hukum dan Hak Asasi Manusia sangat perlu untuk dilaksanakan agar terciptanya proses peradilan Anak yang ideal. Pelatihan ini diatur dalam peraturan presiden Nomor 175 Tahun 2014 Tentang Pendidikan dan Pelatihan Terpadu bagi penegak hukum dan pihak terkait mengenai Sistem Peradilan Anak. Salah satu tujuan dari pelatihan tersebut terdapat pada Pasal 3 Ayat (1), yaitu meningkatkan pengetahuan yang sama bagi penegak hukum dan pihak terkait tentang hak-hak Anak, keadilan restoratif, dan diversi dalam Sistem Peradilan Pidana Anak. Pasal a quo merupakan salah satu cara untuk memenuhi hak-hak anak dalam proses peradilan pidana, salah satu hak anak adalah perlindungan terhadap identitas Anak tersebut. Upaya perlidungan identitas Anak kementrian Komunikasi dan Informatika mempunyai peran untuk melindungi dengan melakukan pemblokiran terhadap berita-berita di media sosial atau akun-akun yang menyebarkan identitas Anak sebagai pelaku pidana. Batasan Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... Recidive Volume 10 No. 2, Mei. - Ags. 2021 112 mengenai larangan mempublikasikan identitas anak yang berhadapan dengan hukum dalam pemberitaan di media massa sebagaimana hak anak diatur dalam Pasal 64 huruf i Undang-Undang Nomor 23 Tahun 2002 sebagaimana diperbaharui dengan Undang-Undang Nomor 35 Tahun 2014 dan Undang-Undang Nomor 17 Tahun 2016 tentang Perlindungan Anak yaitu penghindaran dari publikasi atas identitas Anak. Peraturan perlindungan hukum terhadap pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum Asas ketidakberpihakan adalah asas yang mewajibkan badan dan/atau pejabat pemerintah dalam menetapkan dan/atau melakukan keputusan dan/atau tindakan dengan mem- pertimbangkan kepentingan para pihak secara keseluruhan dan tidak diskriminasi. Sedangkan asas tidak menyalahgunakan kewenangan adalah asas yang mewajibkan setiap badan dan/atau pejabat pemerintah tidak menggunakan kewenangannya untuk kepentingan pribadi atau kepentingan yang lain dan tidak sesuai dengan tujuan pemberian kewenangan tersebut, tidak melampaui, tidak menyalahgunakan, dan/atau tidak mencampuradukkan kewenangan. Selain adanya konflik kepentingan kurangnya sinergitas antar pejabat pemerintah atau aparat penegak hukum menjadi salah satu faktor tidak adanya penegakan hukum terhadap pengungkapan identitas Anak oleh Aparat penegak hukum. Sinergitas bertujuan agar tindakan yang melanggar peraturan perundangan untuk ditegakkan sanksi sesuai dengan ketentuan yang berlaku. Sehingga, terjadinya lolos sanksi Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... 113 Recidive Volume 10 No. 2, Mei. - Ags. 2021 hukum dapat diminimalisir karena aparat penegak hukum saling mengawasi keberjalanannya peraturan perundang-undangan khususnya perlindungan terhadap hak privasi Anak. Sanksi tindak pidana pengungkapan identitas Anak tercantum di dalam Pasal 97 Undang- Undang Sistem Peradilan Pidana Anak Nomor 11 Tahun 2012 yang berbunyi “ Setiap orang yang melanggar kewajiban sebagaimana dimaksud dalam Pasal 19 Ayat (1) dipidana dengan pidana penjara paling lama 5 (lima) tahun dan denda paling banyak Rp. 500.000.000,00 (lima ratus juta rupiah)”. Peraturan komisi penyiaran Indonesia tentang Standar Program Siaran (SPS), pada Pasal 79 SPS menyebutkan sanksi terhadap pengungkapan identitas Anak yaitu dikenai sanksi administratif berupa teguran tertulis pertama dan kedua atas pelanggaran yang dilakukan oleh lembaga penyiaran paling sedikit 7 (tujuh) dari kalender. Apabila dalam penyiaran tidak menghiraukan teguran yang diberikan maka KPI akan memberikan sanksi administratif sebagaimana diatur pada ketentuan Pasal 75 Ayat (2) SPS yaitu: (a) Teguran tertulis; (b) Penghentian sementara mata acara yang bermasalah setelah melalui tahap tertentu; (c) Pembatasan durasi dan waktu; (d) Denda administratif; (e) Pembekuan siaran untuk waktu tertentu; (f) Tidak diberi perpanjangan izin penyelenggaraan penyiaran;atau (g) Pencabutan izin penyelenggaraan penyiaran. Anak merupakan pribadi yang masih bersih dan peka terhadap rangksangan-rangsangan yang berasal dari lingkungan (Gunarsa, 1986:5). Anak menjadi subjek hukum akan berbeda dengan orang dewasa baik secara tingkah laku atau perbuatan tersebut belum didasari dengan pemikiran dewasa. Sehingga, tidak mengerti terhadap tindakan yang dilakukan untuk masa akan datang, berdasarkan pandangan psikogenis terhadap anak yang berhadapan atau berkonflik dengan hukum disebabkan oleh dorongan konflik batin. Peraturan perlindungan hukum terhadap pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum Anak-anak yang delikuensi mempraktekan konflik batin mereka untuk mengurangi beban tekanan jiwa sendiri melalui tingkah laku agresif, impulsive, dan primitif. Tindakan kriminal anak pada umumnya berkaitan erat dengan temperamen, kejiwaan yang chaos, konflik batin, dan frekuensi yang akhirnya ditampilkan secara spontan dalam bentuk kriminalitas (Gunarsa, 1986:6). Penanganan hukum terhadap Anak harus memperhatikan seperti aspek psikologis, mengedepankan sosialisasi hukum, pendampingan psikologis, pemisahan tempat penahanan hingga pendampingan pengacara. Hal tersebut harus dilakukan karena penanganan tanpa diimbangi program terpadu terkait pendidikan, kesehatan, bimbingan psikologis, dan keterlibtan komunitas akan mendorong kecenderungan anak untuk mengulangi perbuatan yang dapat melanggar hukum. Pemerintah agar dapat menjalankan langkah di atas, perlu untuk melakukan tindakan koordinasi lintas dinas khususnya dinas pendidikan, dinas sosial, dan dinas kesehatan yang bekerja sama dengan aparat penegak hukum (Achmad Ratomi, 2013:134-135). Tindakan pengungkapan identitas Anak dapat merugikan Anak, khususnya kerugian moril yaitu kerugian yang tidak bisa dinilai dalam jumlah yang pasti. Misalnya rasa ketakutan, kehilangan kesenangan atau cacat anggota tubuh. Hak atas ganti kerugian dalam perkara pidana terdapat pada Undang-Undang Nomor 48 Tahun 2009 tentang Kekuasaan Kehakiman pada Pasal 9 Ayat (3) yaitu; ketentuan mengenai tata cara penuntutan ganti kerugian, rehabilitasi, dan pembebanan ganti rugi diatur dalam undang-undang. Hak untuk meminta ganti rugi ada dalam KUHAP Pasal 95 dan Pasal 96, dalam praktiknya istilah ganti kerugian dalam hukum pidana tidak ditemukan dalam hukum pidana materil namun terdapat dalam hukum pidana formil. Anak sebagai korban pengungkapan identitas Anak seharusnya mendapat hak untuk ganti rugi karena telah menderita kerugian moril namun hal tersebut hanya dapat dilakukan ketika dalam persidangan sesuai hukum pidana formil. Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... Recidive Volume 10 No. 2, Mei. - Ags. 2021 114 Pengaturan perlindungan terhadap Identitas Anak dalam hukum Internasional telah termaktub dalam Beijing Rules dan Konvensi Hak Anak. Beijing Rules “8. Protection of privacy 8.1 The juvenile’s right to privacy shall be respected at all stages in order to avoid harm being caused to her or him by undue publicity or by the process of labelling. 8.2 In principle, no information that may lead to the identification of a juvenile offender shall be published”. ( pada aturan ke-8 tentang perlindungan privasi yaitu : 8.1 Hak anak atas privasi harus dihormati di semua tahap untuk menghindari kerugian yang ditimbulkan kepadanya oleh publisitas yang tidak semestinya atau oleh proses pelabelan. Peraturan perlindungan hukum terhadap pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum 8.2 Pada prinsipnya, tidak ada informasi yang dapat mengarah pada identifikasi pelaku remaja yang akan dipublikasikan ) (Beijing Rules, 1985:5). Hak privasi mempunyai cakupan ruang mendetail dengan setidaknya merujuk pada empat bentuk gangguan terhadap diri pribadi seseorang. (a) Gangguan terhadap tindakan pribadi seseorang mengasingkan diri atau menyendiri, atau gangguan terhadap relasi pribadinya; (b) Pengungkapan fakta-fakta pribadi yang memalukan secara publik; (c) Publisitas menempatkan seseorang secara keliru dihadapan publik; (d) Penguasaan tanpa ijin atas kemiripan seseorang untuk keuntungan orang lain. Pengungkapan terhadap fakta-fakta pribadi secara sepihak tanpa adanya izin dari pihak bersangkutan merupakan hal yang dapat dikatakan sebagai tindakan yang melanggar hak privasi seseorang. Di dalam Konvensi Hak Anak (KHA) juga menetapkan kewajiban untuk memberikan perlindungan khusus terhadap setiap anak yang dirampas kebebasannya karena berhadapan atau berkonflik dengn hukum. Diatur dalam Pasal 37 huruf d Konvensi Hak Anak (KHA) yang berbunyi “ setiap anak yang dirampas kemerdekaannya di depan pengadilan atau pejabat lain yang berwenang, independen, dan tidak memihak, dan berhak untuk dengan segera memperoleh keputusan mengenai tindakan perampasan kemerdekaan tersebut” (KHA, 1989:14). Pada dasarnya saat identitas Anak sebagai pelaku tindak pidana tersebut ketika identitasnya disebarluaskan Anak akan kehilangan hak privasi kehidupan pribadinya. Pada Pasal diatas dijelaskan bahwa anak mempunyai hak untuk mendapat bantuan hukum atau bantuan yang dapat membantu anak termasuk penggugatan keabsahan perampasan kemerdekaan anak itu sendiri. Pasal 40 Ayat (1) dan (2) Konvensi Hak Anak (KHA) memperkuat pernyataan Pasal sebelumnya yang menyatakan; Negara-negara pihak mengakui hak setiap anak yang di sangka, dituduh, atau dinyatakan melanggar hukum pidana untuk diperlakukan dengan cara yang sesuai dalam rangka memberikan penghargaan anak pada hak asasi manusia dan kebebasan dasar orang lain. b. Saran Pengungkapan identitas Anak yang dilakukan oleh aparat penegak hukum wajib untuk ditegakkan dan diterapkan sesuai dengan amanat Undang-Undang Nomor 11 Tahun 2012 tentang Sistem Peradilan Pidana Anak dan Undang-Undang Nomor 23 Tahun 2002 sebagaimana diperbaharui dengan Undang-Undang Nomor 35 Tahun 2014 dan Undang-Undang Nomor 17 Tahun 2016 tentang Perlindungan Anak yaitu dengan meningkatkan kualitas dan kapasitas para aparat penegak hukum tentang pentingnya menerapkan perlindungan terhadap identitas Anak yang diungkapkan baik di media cetak atau elektronik dan menempatkan aparat penegak hukum yang sudah menjalani pelatihan tentang UU SPPA di setiap lembaga pemerintah hukum khususnya aparat penegak hukum. a. Simpulan Pengungkapan identitas Anak oleh aparat penegak hukum memiliki bentuk-bentuk yang berbeda, yaitu dapat melalui video di media sosial atau di dalam putusan hakim. Tindakan tersebut merupakan tindak pidana karena telah melanggar Pasal 19 Ayat (1) dan (2) Undang- Undang Nomor 11 Tahun 2012 tentang Sistem Peradilan Pidana Anak. Pengungkapan identitas Anak oleh aparat penegak hukum belum dilakukan sehingga anak tidak mendapat perlindungan hak privasi terhadap identitas Anak. Seharusnya, aparat penegak hukum me- lindungi kepentingan dan hak-hak anak bukan melakukan tindakan yang dapat merugikan Anak dengan mengungkapkan identitas Anak baik yang dapat diakses oleh publik baik di media cetak atau elektronik. Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... 115 Recidive Volume 10 No. 2, Mei. - Ags. 2021 F. Daftar Pustaka Abintoro Prakoso, 2013, Kriminologi dan Hukum Pidana,Yoyakarta, Laksbang Grafika. Achmad Ratomi, 2013, penyelesaian Anak yang berkonflik dengan hukum dengan hukum dalam konteks masyarakat, Fakultas Hukum Universitas Lambung Mangkurat Banjarmasin, Vol. 5, No. 2. Chairul Bariah, dkk. 2017.”perluasan pertanggungjawaban Terhadap Tindakan Pidana yang Dilakukan oleh Anak.” Syahkuala Law Jurnal, vol.1,No.3, 2017. General Asasembly relution,1985, United Nations Standard Minimum Rules for the Administration of Juvenile Justice ( “The Beijing Rules” ), Beijing. Gunarsa, Ny. Y. Singgih D. dan Singgih D. Gunarsa,1986, Psikologi Keluarga, (Jakarta: BPK Gunung Mulia,). Hamrat Hamid dan Harun Husein, 1991, Penyidikan dan Penuntutan dalam Proses Pidana, Jakarta, Rineka Cipta. Majelis Umum Perserikatan Bangsa-Bangsa, 1989, Konvensi Hak-hak Anak. Sunarto, Kamanto,2004, Pengantar Sosiologi (edisi ketiga), Jakarta : Lembaga Penerbit Fakultas Ekonomi Universitas Indonesia. Undang-Undang Nomor 11 Tahun 2012 Tentang Sistem Peradilan Pidana Anak. Undang-Undang Nomor 23 Tahun 2002 Tentang Perlindungan Anak yang telah diperbaharui dengan Undang-Undang Nomor 35 Tahun 2014 dan Undang-undang Nomor 17 Tahun 2016. Wahyu Djafar, 2019, Hukum Perlindungan Data Pribadi di Indonesia : Laskap, Urgensi, dan kebutuhan Pembaruan, makalah disampaikan sebagai materi dalam kuliah umum “ Tantangan Hukum dalam Era Analisis Big Data”, program pasca sarjana Fakutas Hukum Universitas Gadjah ada, Yogyakarta. William L. Prosser, 1960 “Privacy: A Legal Analysis”, California Law Review 48: 338-423. Recidive Volume 10 No. 2, Mei. - Ags. 2021 Perlindungan Hukum atas... 116
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Somatic embryogenesis and plant regeneration from cotyledonary node's calli of Trigonella foenum-graecum L.
Maǧallaẗ Markaz buḥūṯ al-taqniyyaẗ al-aḥyāʾiyyaẗ
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انمسحخهص ص جصف انذساسة انحانية أخالف اننباجات من األجنة انجسمية انمحكٌنة من كانس انؼقذ انفهقية انمسحأصهة من انؼقذ انفهقية نبادسات انحهبةTrigonella foenum-graecum صسػث ىزه انؼقذ في ًسظMS انمجيض بانبنضايم ادنينBA 2.0 مهغم نحش- 1 ًنفثانين حامض انخهيكNAA 1.0 مهغم نحش- 1 . حُفضت مضاسع انكانس ػهى جكٌين األجنة انجسمية بنسبة جكشاس32 % في ًسظMS انمجيض بـ15 % حجم : ً حجم من ماء جٌص انينذNAA 0.5 مهغم نحش- 1 . ًبينث فحٌصات انمجيش انضٌئي نهمقاطغ انحششيحية نألجنة في مشحهة انطٌس انقهبي إنى جطٌس األًػية انناقهة فييا . ًشجغ نقم األجنة انجسمية في مخحهف مشاحهيا انحطٌسية إنى جضاػفيا في ًسظ انححفيض راجو ًٌجطٌسىا إنى نبيحات ػهى ًسظ اننمMS ٌانخاني من منظمات اننم .جزست ال نباجات انمحكٌنة بسيٌنة في ًسظ MSO ًنجحث أقهمحيا ًنقهيا إنى انحشبة . Vol.7 No.3 2013 Vol.7 No.3 2013 Vol.7 No.3 Journal of Biotechnology Research Center 2013 Somatic embryogenesis and plant regeneration from cotyledonary node's calli of Trigonella foenum-graecum L. جكٌين األجنة انجسمية ًإخالف اننباجات من كانس انؼقذ انفهقية ننبات انحهبة Trigonella foenum-graecum L. Somatic embryogenesis and plant regeneration from cotyledonary node's calli of Trigonella foenum-graecum L. جكٌين األجنة انجسمية ًإخالف اننباجات من كانس انؼقذ انفهقية ننبات انحهبة Trigonella foenum-graecum L. M.M. Al-Mahdawe M.K. Al-Mallah* A.O. Al-Attrakchii** College of Engineering / University of Diyala * College of Education / University of Mosul ** College of Agriculture and Forestry /University of Mosul مثنى محمذ ابشاىيم مضاحم قاسم انمالح * ػماس ػمش االطشقجي** كلية الهندسة /جامعة ديالى * كلية التربية /جامعة المىصل ** كلية الزراعة والغابات/جامعة المىصل M.M. Al-Mahdawe Abstract The present study describes plant regeneration via somatic embryogenesis from cotyledonary node callus. Callus cultures were derived from cotyledon node segment excised from Trigonella foenum-graecum L. axenic seedlings grown in agar solidified Murashing and Skoog's(MS) medium supplemented with Benzyl adenine BA at 2.0 mg l-1 and Naphthalene acetic acid NAA at 1.0 mg l-1. These cultures were stimulated to form somatic embryoids at 32% frequency of in agar-solidified MS medium containing NAA at 0.5mg l-1 in the presence of 15% v/v coconut water. Light microscopy examination of sections of heart embryos stage proved the presence of vascular system. Transfer of other developmental stages of embryos to the same induction medium led to the development of secondary somatic embryos and embryoids into plantlets in agar-solidified MS medium lacking hormones. They were readily rooted in MSO and successfully transferred to soil. key words: Somatic embryogenesis , Cotyledonary node's calli , Trigonella foenum-graecum L. Introduction Plant tissue culture systems have been developed for Fenugreek Trigonella foenum- graecum L., which utilize either shoot morphogenesis [ 1 ] or somatic embryogenesis [ 2 ] as the route regeneration. This embryogenesis occurs directly from explants, or indirectly from callus [ 3 ] . Further argued that the morphological and temporal development of somatic embryos are very similar to that of zygotic embryos, and that they both proceed through a series of distinct stages, namely globular, heart, torpedo, and cotyledon or plantlet stages in dicotyledons [ 4 ] . Somatic embryo is a versatile technique of micropropagation of various herbaceous plant species belong to leguminous family e.g., key words: Somatic embryogenesis , Cotyledonary node's calli , Trigonella foenum-graecum L. 29 Journal of Biotechnology Research Center Vol.7 No.3 2013 Glycine max [ 5 ] , Arachis glabrata [ 6 ] , Astragalus chrysochlorus [ 7 ] , Desmodium gangeticum [ 8 ] . This method of micropropagation offers several advantages over organogenesis and clonally propagation through explants: Somatic embryos grow individually making the system easy to manipulate (to subculture) and developing scaling-up methods and offer the possibility to produce somatic embryos in cell cultures and use of bioreactors for scale-up technology and presence of bipolar structures in the same unit (presence of both root and shoot) avoids the rooting step required in organogenesis [ 9 ] . Trigonella foenum-graecum L. is an important medicinal legume plants used as vegetable and spices [ 10 ] . The current work describes an efficient protocol of somatic embryogenesis from cotyledon node callus to overcome the barrier of shoot regeneration in this plant species. Materials and Methods 1- Callus induction and maintenance Seeds, of Trigonella foenum-graecum L., were obtained from local market. It was washed in running tap water, surface disinfected in a 3% solution of NaOCl for 5 min. and finally rinsed with sterile distilled water for three times. Sterilized seeds were germinated on agar- solidified MSO (hormone-free) medium [ 11 ] and maintained in dark for three days at 25±2ºC. The produced plantlets were maintained at 25±2ºC in the light at 700 lux with a daily 16h photoperiod [ 12 ] . Cotyledon nodes were excised from 15 days old plantlets, these explants were sliced into lengths of 0.5cm and placed horizontally on the surface of callus-induction MS medium supplemented with 2.0 mg l-1 BA and 1.0 mg l-1 NAA [ 13 ] . Cultures were maintained under the same as above conditions. 2- Induction of somatic embryos Cotyledon node-derived calli were cultured on three types of media including multiplication medium (MSNCW) which consist from ; MS + 0.5 mg l-1 NAA + Coconut water (CW) 15% v/v [ 14 ] , and MSNB medium which consist of ; MS + 2.0 mg l-1 NAA + 0.5 mg l-1 BA [ 2 ] , and on MSD media ; MS+1.0 mg l-1 2,4-D . Coconut water was collected from fresh nuts (obtained from the greengrocer), this is usually strained through cloth and deproteinized by being heated to 80-100ºC for about 10 min. while being stirred, it is then allowed to settle and the supernatant is separated from the coagulated proteins by filtration through paper. The liquid is stored frozen at -20ºC [ 15 ] . Tissues were subcultured at the thirty days' interval, during subculture 100mg fresh weight callus was used as inoculums. The cultures were maintained at 25±2ºC under a photoperiod (16h/8h) used for plantlets formation in agar solidified MSO medium at ten replicates in each treatment. 1- Somatic embryos growth development The results indicate the formation of callus easily from three weeks old cotyledonary node explants on MS medium supplemented with 2.0 mg l-1 BA + 1.0 mg l-1 NAA Figure (1.A). Transfer of this callus to medium consisting of MS base salts + 15% coconut water + 0.5 mg l-1 NAA enhanced the occurrence of somatic embryogenesis by viewing numerous green and undistinguishable structures Figure (1.B). Somatic embryos were observed by naked eye after 30 days of callus transfer, various embryos developmental stages, and the formation of cotyledonary embryos structures after the fourth subculture Figure (1.C). Fig (1): Induction of somatic embryos from cotyledon node explants of Trigonella foenum-graecum. (A) callus induction on MS+2.0mgl-1 BA+1.0mgl-1NAA. (B) Formation of numerous green structures on callus in (A) grown on stimulation media MS+ coconut water 15% + 0.5mgl-1 NAA. (C) Development of cotyledonary embryos on callus in (B) after 4th subcultures on stimulation media M hi d Sk di i i 2 0 l-1NAA 0 5 l-1BA i l h Fig (1): Induction of somatic embryos from cotyledon node explants of Trigonella foenum-graecum. (A) callus induction on MS+2.0mgl-1 BA+1.0mgl-1NAA. (B) Formation of numerous green structures on callus in (A) grown on stimulation media MS+ coconut water 15% + 0.5mgl-1 NAA. (C) Development of cotyledonary embryos on callus in (B) after 4th subcultures on stimulation media 1 1 Murashige and Skooge medium containing 2.0 mg l-1NAA + 0.5 mg l-1BA stimulate the formation of many structures similar to embryos globular stage but failed to develop further. The results proved that multiplication medium (MSNCM) superiority was clear Table (1). Murashige and Skooge medium containing 2.0 mg l-1NAA + 0.5 mg l-1BA stimulate the formation of many structures similar to embryos globular stage but failed to develop further. The results proved that multiplication medium (MSNCM) superiority was clear Table (1). ( ) 1): Numbers of somatic embryos stages produced from cotyledon node callus of Trigonella foenum-graecum in three different media Table (1): Numbers of somatic embryos stages produced from cotyledon node callus of Trigonella foenum-graecum in three different media No. embryos/ stage Induction media Cotyledon Torpedo Heart Globular 25 26 31 32 MSNCM 0 0 0 30 MSNB 0 0 0 0 MSD The MSNCM medium encourages the formation of many embryogenic masses Figure (2.A) which develop later to globular stage compared with the other stimulation media Figure (2.B). 3- Embryos sectioning. Free-hand sections method was used, embryonic heart stage samples were sliced into 2-3 mm thickness longitudinal sections by fresh-mediated models of sharp blade. Sections were staind with solution of 1% Safranin O (Sigma-Alderich, UK) transported immediately on glass slides, and examined using light microscopy [ 16 ] . 30 Journal of Biotechnology Research Center Vol.7 No.3 2013 4- Plant regeneration and multiplication. 4- Plant regeneration and multiplication. Approximately fifty mg of cotyledonry callus were placed on the surface of regeneration medium containing MS salts or multiplication medium (MSNCW) and incubated under the same conditions used for initiation of ermbryogenic callus cultures. The developed shoots were excised and transferred separately to fresh regeneration MSO medium for rootin [ 13 ] . 1- Somatic embryos growth development Total numbers of 32 embryos were turned after first subculture and The MSNCM medium encourages the formation of many embryogenic masses Figure (2.A) which develop later to globular stage compared with the other stimulation media Figure (2.B). Total numbers of 32 embryos were turned after first subculture and The MSNCM medium encourages the formation of many embryogenic masses Figure (2.A) which develop later to globular stage compared with the other stimulation media Figure (2.B). Total numbers of 32 embryos were turned after first subculture and 31 Journal of Biotechnology Research Center Vol.7 No.3 2013 subsequently developed after 60 days to heart stage Figure (2.C). Majority of these heart embryos were start to elongate and transformed to torpedo stage Fig (2.D) at the 3rd subculture, and most of them pass to the differentiated cotyledon stage Figure (2. E,F). Light microscopy examination of embryos sections refers clearly Figure (2.G) to the development of vascular system in these somatic embryos. This is proving strongly the evolutionary state and the beginning of differentiation to organs. Fig (2): Embryos different stages (bar=0.4mm) developed from node callus of T. foenum-graecum (A) Embryogenic masses formed after 21 days (arrows). (B) Development of globular shape embryos in (A) (arrow). (C) Heart shape embryo stage(arrow). (D) Torpedo stage embryo. (E) Cotyledonary stage embryo (arrow). (F) Embryos germination and leaf proliferation (arrows). (G) Longitudinal sections showing the vascular system of somatic embryo (bar=400µm)(arrows). Fig (2): Embryos different stages (bar=0.4mm) developed from node callus of T. foenum-graecum (A) Embryogenic masses formed after 21 days (arrows). (B) Development of globular shape embryos in (A) (arrow). (C) Heart shape embryo stage(arrow). (D) Torpedo stage embryo. (E) Cotyledonary stage embryo (arrow). (F) Embryos germination and leaf proliferation (arrows). (G) Longitudinal sections showing the vascular system of somatic embryo (bar=400µm)(arrows). Fig (2): Embryos different stages (bar=0.4mm) developed from node callus of T. foenum-graecum (A) Embryogenic masses formed after 21 days (arrows). (B) Development of globular shape embryos in (A) (arrow). (C) Heart shape embryo stage(arrow). (D) Torpedo stage embryo. (E) Cotyledonary stage embryo (arrow). (F) Embryos germination and leaf proliferation (arrows). (G) Longitudinal sections showing the vascular system of somatic embryo (bar=400µm)(arrows). 2- Transfer of embryos and plant regeneration The results found that transfer of somatic embryos masses, each containing 3-4 embryos, will pass through various stages of embryogenesis in the same stimulating medium and produce cluster of 10-15 embryos from each piece figure (3.A). 1- Somatic embryos growth development They were pale-green in color everlasting and preventing the emergence of vitrification figure (3.B). 3- Rooting and transfer These embryos were able to grow producing numerous fenugreek plants on MSO medium figure (3.C). 32 Vol.7 No.3 2013 Vol.7 No.3 Journal of Biotechnology Research Center Fig (3): Regeneration of T. foenum-graecum plantlet and multiplication stage . (A) Secondary somatic embryos on stimulation media. (B) Somatic embryos excise in (A). (C) True leaves (arrows) expanded and a whole plantlet was established on MSO media Fig (3): Regeneration of T. foenum-graecum plantlet and multiplication stage . (A) Secondary somatic embryos on stimulation media. (B) Somatic embryos excise in (A). (C) True leaves (arrows) expanded and a whole plantlet was established on MSO media Discussion Somatic embryogenesis phenomenon based on two steps, the first include the induction of embryogenic competence (referred to as embryogenic masses or clumps), in the presence of high concentration of auxin. The second step involved the development of embryogenic cell into embryos in absence or in presence of lower concentration of auxin. There are exceptional cases, like carrot, where auxin did not required for somatic embryogenesis and its presence can inhibit the somatic embryogenesis, and embryo development may be achieved in absence or in presence of lower auxin and cytokinin concentration [9]. This study demonstrates the effect of the bioactive compounds of coconut water that usually had an important role in differentiation, and has been identified as enhancers of somatic embryogenesis. Its efficacy in embryogenesis has been attributed to their contribution to various cellular processes, such as improving cell signaling processes in various signal transduction pathway [ 17 ] . Again, coconut water also contains substances identified as components include amino acids, organic acids, sugars, sugar alcohols and minerals [ 18 ] , vitamins and growth substances [ 19 ] . Other investigators have emphasized that the inclusion of complex organic extracts, such as coconut water are essential for somatic embryogenesis in Doritaenopsis orchid [ 20 ] . Moreover, it has also been proposed that these organic extracts are either non-mutagenic or less mutagenic in comparison to conventional growth regulators and, as such, their incorporation in the culture media may minimize somaclonal variations [ 21 ] . The authors found that the ability of high plant regeneration from cotyledon node directly (unpublished data) or indirectly through somatic embryogenesis may due to the presence of meristemoids a certain types of cells. The facts that these cells are responsive to influantial genetic organic such as the ratio between auxin and cytokinins [ 22 ] . Many investigators mentioned that coconut water can stimulate the growth of some in vitro cultures, in the absence of exogenous auxins; this is almost certainly, due to its supply of 33 Journal of Biotechnology Research Center Vol.7 No.3 2013 highly active natural cytokinin growth substances. Although, it has been found to have some auxin activity which increased by autoclaving probably because such growth substances exist in abound form and are released by hydrolysis. This means that a beneficial effect in growth or morphogenesis is often dependent on the presence of an auxin [23]. Discussion Other study found a synergistic action between NAA and coconut water in stimulating bud-like structures on leaf callus of Trigonella corniculata [ 14 ] . In conclusion, the results obtained in this study may cooperate in overcoming problems arise in plant regeneration from certain types of callus of other leguminous plants. References 1. Aasim, M., Hussain, N., Umer, E. M., Zubair, M., Hussain, S.B., Saeed, S., Rafique, T. S. and Sancak, C. (2010). In vitro shoot regeneration of fenugreek (Trigonella foenum- graecum L.) using different cytokinins. Afric. J. Biotech. 9: 7174-7179. 2. Lu, D.Y., Davey M.R. and Cocking, E.C. (1982). Somatic embryogenesis from mesophyll protoplasts of Trigonella corniculata (Leguminosae). Plant Cell Repts. 1:278-280. 3. Razdan, M. K. (2003). Introduction to Plant Tissue Culture. Science Publishers Inc. USA, third edition. 3. Razdan, M. K. (2003). Introduction to Plant Tissue Culture. Science Publishers Inc. USA, third edition. 4. Zimmerman, J.L. (1993). Somatic embryogenesis: a model for early development in higher plants. The Plant Cell. 5: 1411-1423. 5. Finer, J.J. and Nagasawa, A. (1988). Development of an embryogenic suspension culture of soybean (Glycine max Merrill.). Plant Cell, Tiss. & Org. Cult. 15:125- 136. 6. Vidoz, M.L.,Rey, H.Y., Gonzalen, A.M. and Mroginski, L. A. (2004). Somatic embryogenesis and plant regeneration through leaf culture in Arachis glabrata (Leguminosae). Acta Phys. Planta. 26: 59-66. 7. Hasancebi, S., Kara, N.T., Cakir, O. and Ari, S. (2010). Micropropagation and root culture of Turkish endemic Astragalus chrysochlorus (Leguminosae). Turk J. Bot. 35:203-210. 8. Puhan, P. and Rath, S.P. (2012). Induction, development and germination of somatic embryos from In vitro grown seedling explants in Desmodium gangeticum L.: a medicinal plant. Res. J. Medic. Plant. 6: 346-369. 9. Ramawat, K. G. (2008). Plant Biotechnology. S. Chand and Company Ltd. New Delhi, Indian, 3th ed. 10. Khan, M.B., Khan, M.A. and Sheikh, M. (2005). Effect of phosphorus levels on growth and yield of fenugreek. Int. J. Agric. Biol. 7:504-507. 11. Murashige, T. and Skoog, F. (1962). A revised medium for rapid growth and bioassays with tobacco cultures. Physiol. Plant. 15: 473-497. 12. Merkli, A., Christen P. and Kapetanidis, I. (1997). Production of diosgenin by hairy root cultures of Trigonella foenum-graecum L. Plant Cell Repts. 16:632-636. 13. Al-Mallah, M.K. and Yaseen, J.M. (2000). One step plant regeneration from stem- derived callus of the medicinal plant Trigonella foenum-graecum L.J.Edu. & Sci. 46: 17-27. 34 Journal of Biotechnology Research Center Vol.7 No.3 2013 2013 14. Sen, B. and Gupta, S. (1979). Differentiation in callus cultures of leaf of two species of Trigonella. Physiol. Plant. 45:425-428. 15. Borkird, C. and Sink, K.C. (1983). Medium components for shoot cultures of chlorophyll-deficient mutants of Petunia inflate. Plant Cell Repts. 2:1-4. 16. Purvis, M.J., Collier D.C. and Walls, D. (1966). References Laboratory Techniques in Botany, second edition, London Butterworths. 17. Lakshmanan, P. and Taji, A. (2000). Somatic embryogenesis in leguminous plant. Plant Biol. 2: 136-148. 18. Tulecke, W., Weinstein, L.H., Rutner A. and Laurencot, H.J. (1961). The biochemical composition of coconut water as related to its use in plant tissue culture. Contrib. Boyce Thomps. 21: 115-128. 19. Dlx, L. and Van Staden, J. (1982). Auxin and gibberellins-like and vitamins substances in coconut water and malt extract. Plant Cell, Tiss. & Org. Cult. 1: 239- 245. 20. Islam, M.O., Rahman, A.R.M.M., Matsui, S. and Prodhan, A.K.M.A. (2003). Effects of complex organic extracts on callus growth and PLB regeneration through embryogenesis in the Doritaenopsis orchid. Jap. J. Agricul. Res.Quarterly. 37: 229-235. 21. Lam, T. W., Ernst, R., Arditti J. and Ichihashi, S. (1991). The effects of complex additives and (6- y-Dimethyl allylamino )- purine on the proliferation of Phalaenopsis protocorms. Lindleyana. 6: 24-26. 22. Torrey, J.G. (1966).The initiation of organized development in plants. Adv. Morphog, 5:39. 23. George, E. F., Hall M.A. and De Klerk, G.J. (2008). Plant Propagation by Tissue Culture. 3rd edition, Springer. The Netherlands. 35
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Infrastructure for Personalized Medicine at Partners HealthCare
Journal of personalized medicine
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Scott T. Weiss 1,* and Meini Sumbada Shin 2 1 Partners Personalized Medicine, Partners HealthCare System, Brigham and Women’s Hospital, Harvard Medical School, Boston, MA 02115, USA , , , 2 Partners Personalized Medicine, Partners HealthCare System, Boston, MA 02139, USA; msumbadashin@partners.org 2 Partners Personalized Medicine, Partners HealthCare System, Boston, MA 02139, USA; msumbadashin@partners.org * Correspondence: Scott.weiss@channing.harvard.edu; Tel.: +1-617-525-5136 * Correspondence: Scott.weiss@channing.harvard.edu; Tel.: +1-617-525-5136 Academic Editor: Stephen B. Liggett Academic Editor: Stephen B. Liggett Received: 21 October 2015; Accepted: 3 February 2016; Published: 27 February 2016 Received: 21 October 2015; Accepted: 3 February 2016; Published: 27 February 2016 Abstract: Partners HealthCare Personalized Medicine (PPM) is a center within the Partners HealthCare system (founded by Massachusetts General Hospital and Brigham and Women’s Hospital) whose mission is to utilize genetics and genomics to improve the care of patients in a cost effective manner. PPM consists of five interconnected components: (1) Laboratory for Molecular Medicine (LMM), a CLIA laboratory performing genetic testing for patients world-wide; (2) Translational Genomics Core (TGC), a core laboratory providing genomic platforms for Partners investigators; (3) Partners Biobank, a biobank of samples (DNA, plasma and serum) for 50,000 Consented Partners patients; (4) Biobank Portal, an IT infrastructure and viewer to bring together genotypes, samples, phenotypes (validated diagnoses, radiology, and clinical chemistry) from the electronic medical record to Partners investigators. These components are united by (5) a common IT system that brings researchers, clinicians, and patients together for optimal research and patient care. Keywords: personalized medicine; academic medical centers; Partners HealthCare; biobank; bioinformatics; laboratory testing; information technology infrastructure Journal of Personalized Medicine Journal of Personalized Medicine Journal of Personalized Medicine Journal of Personalized Medicine 1. Introduction In this article we will describe the resources devoted to Personalized Medicine at Partners HealthCare, how we integrate that set of resources with the existing infrastructure at the two academic medical centers: Massachusetts General Hospital and Brigham and Women’s Hospital and how we advance our mission to better integrate genomic data into clinical practice at Partners in a cost effective way. This article will describe the center and its components and relate each element to our overall vision and mission. 2. Results and Discussion 2.1. Partners HealthCare System J. Pers. Med. 2016, 6, 13; doi:10.3390/jpm6010013 2.1. Partners HealthCare System Partners HealthCare System (Partners) is a not-for-profit, integrated health care system in Boston, Massachusetts founded by two of the nation’s leading academic medical centers (AMC), Massachusetts General Hospital (MGH) and Brigham and Women’s Hospital (BWH), which have been ranked #1 and #6 respectively in the U.S. News and World Report 2015 Honor Roll of academic medical centers. In addition to the two AMCs, Partners also includes community and specialty hospitals, a physician network, community health centers, home care, and other health related services, cares for four million patients with more than 7000 physicians attending and has 160,000 admissions per year. The J. Pers. Med. 2016, 6, 13; doi:10.3390/jpm6010013 www.mdpi.com/journal/jpm 2 of 9 J. Pers. Med. 2016, 6, 13 composition of the patients in terms of race, gender and age is representative of the population of eastern Massachusetts. In addition, Partners institutions maintain a total research budget of more than $1.4 billion. MGH and BWH are the largest private hospital recipients of National Institutes of Health (NIH) funding in the nation. 2.2. Partners HealthCare Personalized Medicine (PPM) The mission of the PPM is to utilize genetics and genomics to improve the care of patients through the promotion and implementation of personalized medicine in caring for patients throughout the Partners HealthCare System and in healthcare nationally and globally in a cost effective manner. Harvard Medical School (HMS) and Partners established the Harvard-Partners Center for Genetics and Genomics (HPCGG) in 2001, recently renamed as Partners Personalized Medicine (PPM) to reflect a heightened focus on translational issues related to moving genetics and genomics into clinical practice. Figure 1 depicts the organizational structure of the Center. The arrows indicate informatics links between the various Center components: the Biobank, the Translational Genomics Core (TGC), the Laboratory for Molecular Medicine (LMM), and the Research Patient Data Registry (RPDR) to enable data analysis and distribution to investigators across the health system. One of the keys to PPM’s success is having a robust IT infrastructure that includes a sample management and tracking system (StarLIMS) and a genomic results delivery system GeneInsight (described below) and a home-grown LIMS System (GIGPAD). The details of this IT infrastructure are provided in subsequent sections. The Center is physically located at 65 Landsdowne St. in Cambridge, MA approximately 15 min from BWH and MGH. All staff are located onsite and each of the Labs (Biobank, LMM, and TGC) are contiguous to allow the use of the same equipment and resources. We will describe each of the components in Figure 1 in more detail. Figure 1. Partners HealthCare Personalized Medicine (PPM) organizational structure. Figure 1. Partners HealthCare Personalized Medicine (PPM) organizational structure. 2.2.2. Translational Genomics Core (TGC) The Translational Genomics core of the PPM (Figure 1) performs high throughput next-generation sequencing (NGS), library construction for NGS, genotyping, and gene expression analysis (both chip and sequencing) for all Partners investigators and non-Partners researchers. The core consists of one Director, one Lab Manager, one Project Manager, and four Technicians. The core serves over 200 customers per year, performs over 400 individual projects annually, and supports over $148 million in NIH Grants. The core has one Illumina HiSeq 2500 and two Illumina MiSeq for sequencing. It performs sequencing of large genomes and transcriptomes, whole exome, and whole genome for both clinical (LMM) and research projects. The core provides flexible, high-throughput SNP genotyping using the Illumina iScan platform. Both Illumina (HT-12) and Affymetrix chip based microarray assays are supported as well as RNA seq. The core is currently developing end to end services for sequencing of the human microbiome as well as RNA seq for microRNA in tissue, serum and plasma. Genome Wide SNP genotyping with the Illumina Mega Chip (GWAS) is being performed on the first 25,000 subjects in the Biobank. The first 5000 subjects have been available in the Fall of 2015 with the full 25,000 available in 2017 see (Figure 3 below) [2]. 2.2.1. The Laboratory for Molecular Medicine (LMM) 2.2.1. The Laboratory for Molecular Medicine (LMM) 2.2.1. The Laboratory for Molecular Medicine (LMM) The LMM is a CLIA-certified molecular diagnostic laboratory, operating within the PPM. The LMM was founded 13 years ago with the mission to bridge the gap between research and clinical medicine, by accelerating the adoption of new molecular tests into clinical care. The current focus of the LMM is on germ line mutation testing. Cancer testing is performed through molecular pathology laboratories at each AMC affiliated with the two cancer centers associated with Partners i.e., the Dana Farber Cancer Center and MGH Cancer Center. Major areas of expertise include inherited 3 of 9 J. Pers. Med. 2016, 6, 13 respiratory disorders, cardiomyopathies, hearing loss, connective tissue disorders, RASopathies, and multi-organ genetic syndromes. Annually, the LMM performs about 5000 high complexity genetic and genomics tests of disease-targeted NGS panels for a variety of disorders with genetic and clinical heterogeneity, covering about 400 genes, as well as exome and genome sequencing. The lab consists of six geneticists and 25 staff including genetic counselors and fellows. The LMM continues to develop novel genetic tests in multiple areas, most recently, pulmonary and renal panels. An integral component of the mission of the LMM is the incorporation of IT support into the dayto-day operations of the clinical lab, as well as implementing innovative programs to help physicians stay current on genetic information relevant to their patients. The LMM shares the lab instruments with TGC and Biobank see Sections 2.2.2 and 2.2.3 below. In addition, the LMM’s close integration with the other PPM components, especially with IT and bioinformatics teams, and its access to the AMCs physicians have allowed the LMM to have a proven track record of developing and clinically implementing novel, cutting-edge technologies, including bioinformatics tools, data analysis pipelines and novel approaches to interpret and communicate medical genomic results to healthcare providers and patients such as GeneInsight see Section 2.2.5 below. While many academic health centers have molecular genetic clinical laboratories, what is unique at PPM is the close link with the other two center’s labs (TGC and Biobank) and the common IT Infrastructure for all components [1]. 2.2.3. Partners HealthCare Biobank Partners HealthCare Biobank is a large research data and sample repository operating within the framework of PPM (Figure 1). It provides researchers access to high quality, consented samples to help foster research, advance our understanding of the causes of common diseases, and advance the practice of medicine. The Partners Biobank provides banked samples (plasma, serum and DNA) collected from consented patients. These samples are available for distribution to Partners Healthcare investigators with appropriate approval from the Partners Institutional Review board (IRB). They are linked to phenotypic data stored in the Research Data Patient Registry (RPDR), as well as some additional health information collected at the time of collection. To date, more than 35,000 patients have consented to join the Partners Biobank. An additional 1000 to 2000 patients consent each month. The ultimate goal is to reach 75,000 total subjects of whom samples are available on 50,000. Samples are collected at the participating hospitals within Partners HealthCare. Samples are sent to the processing labs where the plasma, serum, and buffy coats from each specimen are isolated, with the intention of being completed within 4 h of collection to ensure highest quality for banking purposes. All specimens are shipped to the Central Facility for DNA Extraction and long-term storage. One of the buffy coat aliquots is extracted for DNA, quantitated and stored in both master tubes and tubes containing 50 µg of DNA. 4 of 9 J. Pers. Med. 2016, 6, 13 These specimen shipments are tracked by our internal software LIMS (STARLIMS), that interfaces with other software maintaining specimen and data integrity. STARLIMS manages the collection, processing, storage, distribution and billing of samples at the Central Facility. Samples are distributed in the following manner. As noted above, investigators may request assistance from Biobank co-Principal Investigators or complete specimen requests in the Biobank Portal of the Research Patient Data Portal. These requests are routed through our custom software (EMSI) for parsing, and then forwarded to the appropriate bank supervisor(s) for fulfillment. The Biobank Program Director is responsible for managing the day-to-day operations including the distribution of the samples to the investigator community, and ensuring that sample status is updated in Sunquest or Crimson the software used to track specimens, as appropriate. To date, the Biobank has distributed >5000 specimens to >50 different investigators through the RPDR and outreach to different clinics within the cardiovascular disease and various others. 2.2.3. Partners HealthCare Biobank The Biobanks supports over $80 million in NIH research. The Biobank staff includes five Faculty members, one Program Director, one Project Manager, two Recruitment Managers, 18 Research Assistants, one Senior Lab Manager, and eight full time Technicians. As noted above, the central facility is co-localized with the Translational Genomics Core (TGC), allowing for tight integration and continuity of projects for investigators. Samples can be moved directly from the Biobank to TGC for genotyping/sequencing before results are returned to investigators. The biobank can accommodate >2 M specimens in 28.8 cubic-foot Revco Upright Ultra-low temperature freezers. To ensure specimen integrity, freezers are all on emergency back-up power. Each individual freezer is also monitored 24 h/7 days per week using the SIEMEN’s security system. This system is triggered when there is a loss of normal power, a rise in temperature within the freezer, or a loss of communication with the freezer’s alarm circuit. The storage space has two sources of cooling so that the back-up system (the independent HVAC) can function automatically upon loss of normal power through the use of an automatic transfer switch connected to the house standby generator. A copy of the Biobank consent has been included as a supplement to this article [3]. 2.2.4. PPM IT Infrastructure and Bioinformatics Team 2.2.4. PPM IT Infrastructure and Bioinformatics Team PPM provides an integrated IT architecture supporting research and clinical activities, which is directly connected to the Partners and Harvard Medical School networks and to the rest of the academic community through the Internet. The PPM clinical IT team is responsible for IT support for LMM and GeneInsight [4]. The PPM Research IT is responsible for IT support for Biobank and TGC [4,5]. The PPM IT teams are part of Partners Research Computing group, which maintains PPM’s high performance computing infrastructure database servers and virtual machine servers that are currently used by our group in many applications. This includes ~100 Tb of dedicated primary tier storage with access to >100 Tb of additional storage, as well as access to >300 Tb of long-term replicated storage. We also have three dedicated computational clusters consisting of ten 128-core nodes with 128 GB of memory each, fourteen 72-core nodes with 96 GB of memory each, and sixteen 32-core nodes with 16 GB of memory each. All systems are patched, monitored and scanned routinely for vulnerabilities and intrusions by the systems administrator and Partners Information Security. In addition to our IT hardware, PPM has a dedicated full-time IT staff of 21, including directors, architects, analysts, developers, an implementation manager, implementation engineers, a quality manager, genetic counselors and a geneticist. Three pieces of software tie the LMM, TGC, and Biobank together: GeneInsight (described below), GIGPAD, and StarLIMS. GIGPAD is the internal LIMS for LMM and TGC and handles samples management for these two labs. StarLIMS handles sample management for the Biobank and can hand these samples off to GIGPAD either in the LMM or in the TGC. StarLIMS is a commercial biobank software while GIGPAD and GeneInsight are home-grown. The bioinformatics team consists of one director, and seven bioinformaticians. The bioinformatics team routinely processes and analyzes DNA sequencing, RNA sequencing, and microarray data, supporting both our CLIA-certified lab and outside investigators via the translational genomics core. 5 of 9 J. Pers. Med. 2016, 6, 13 This includes a custom automated pipeline for generating sample-specific, demultiplexed fastq files for all Illumina sequencing projects. For DNA-sequencing: (1) Quality Control steps are performed using Picard and SAMtools; (2) alignment and variant calling use BWA and GATK for indels and small SNVs; (3) coverage metrics are generated with a combination of GATK and custom scripts; and (4) CNV calls are generated with a custom tool VisCap. 2.2.4. PPM IT Infrastructure and Bioinformatics Team Additionally, an evaluation of CNV calling using XHMM, ExomeDepth, and others is underway. Our RNA-seq pipeline uses (1) FastQC for quality steps and (2) the Tuxedo package for differential expression analysis and visualization, including TopHat, Cufflinks, CuffDiff and CummeRbund. Microarray data is processed via (1) Affymetrix Expression Console; (2) Illumina GenomeStudio; and (3) Heatmap2 package in R and custom scripts for visualization. We are also in the process of implementing Beelin/Autoconvert, plink, and custom software for high-throughput genotyping and annotation of Illumina data. 2.3. Partners Research Computing Partners Research Computing is a Division of Academic Programs of Partners HealthCare. The group occupies about 5000 square feet about 1200 yards from the MGH main campus and is physically separate from the PPM space at 65 Lansdowne Street, Cambridge. This space is connected through Ethernet with the main campus. The space houses offices for about 27 employees and staff members. Dr. Murphy’s computer resources are located in the Needham Data Center of Partners HealthCare. Over 40 powerful Windows 2003/2008 Pentium IV class servers are available on site, including several that host large Oracle and SQL Server databases. These servers host both relational database (Oracle and SQL Server) and Web server (Microsoft IIS and Tomcat/JBoss) software. Database servers include RAID5 disk array capabilities. There are also redundant Pentium IV class Windows 2003 file servers for shared use. In total the group hosts over 20 Terabytes of server disk storage. All servers are backed up nightly to a Tivoli Storage Manager (TSM) system. Development and production servers reside in the Partners corporate datacenter, which is, staffed 24/7. The main enterprise computer systems at Partners are available through the network. All network activity at Partners occurs behind a Cisco Firewall and traffic is constantly monitored. The group has over 50 desktop workstations ranging from high-end Pentium multi-processor systems to moderate Pentiums. They include machines with Microsoft Windows, Macintosh OS, and Linux operation systems. This group has built the Research Patient Data Registry including the Biobank portal and the Phenotype Discovery Center as described below. 2.2.5. GeneInsight Suite The GeneInsight Suite of IT tools has been developed by the PPM Clinical IT team, to address some of the most critical challenges to enabling broad clinical utilization of genomic testing, a key step towards the promise of personalized medicine. These challenges include the need to streamline the clinical testing process, manage the vast amounts of data generated through genetic testing, generate clinically useful interpretations from these data and channel this information efficiently and effectively to clinicians to impact patient care. GeneInsight® assets have been developed through close collaboration between LMM laboratory technicians, laboratory managers, geneticists, IT developers and Partners hospitals practicing physicians to address the distinct, yet interrelated, needs of laboratories and providers. GeneInsight delivers the IT infrastructure needed to overcome these challenges (Figure 2). Figure 2. GeneInsight workflow. Figure 2. GeneInsight workflow. J. Pers. Med. 2016, 6, 13 6 of 9 IT applications include: GeneInsight Lab® (Boston, MA, USA), a laboratory tool to assist with genetic variant knowledge management and interpretative report generation, GeneInsight Clinic®, a standalone hosted clinician interface to enable delivery of patient genetic test results and future variant updates to clinicians, and GeneInsight Network, a hub designed to enable high throughput transfer of structured genetic data between and among laboratories and clinicians. The system has been used to generate over 30,000 clinical reports. The GeneInsight Suite is registered with the FDA as a Class I exempt medical device. It is subject to inspection and must comply with quality regulations. Based on a set of IT assets designed to support genetic testing, the PPM IT team has built a solution to provide broad support for the genetic testing processes in clinical settings. At present a strategic alliance has been formed between Sunquest Information Systems and Partners HealthCare around GeneInsight to collaborate on providing seamless genetic testing workflow capabilities to clinical geneticists and pathologist and the goal to provide a wider dissemination of the software and its continued development into the industry standard for delivery of genomic results to clinicians [6]. 2.3.1. Research Patient Data Registry (RPDR) and Biobank Portal Developed by the Partners Research Computing group, the RPDR is a data warehouse that gathers data from multiple hospital electronic record systems at Partners HealthCare and stores it in a SQL Server database. The RPDR gathers clinical data from several hospital systems at Partners HealthCare. (Enterprise Master Patient Index—EMPI, Hospital Decision Support System—EPSI (formerly TSI), Physician Billing System—IDX and EPIC, Longitudinal Medical Record—LMR, Corporate Provider Master—CPM, Clinical Data Repository—CDR, and Partners Personalized Medicine—PPM), and stores the data in one central data warehouse. Researchers are able to query this data by using an online query tool. The query tool returns aggregate totals of patient data that are populated with appropriately obfuscated, de-identified/encrypted data as per HIPPA privacy rules and the HHS Common Rule. With the proper IRB approval, researchers may access the patients’ detailed medical records for their specified cohorts of patients. The detailed medical records are returned to researchers in an encrypted Microsoft Access file and text (.txt) files. Detailed medical records may include the following types of data: transfusion, cardiology, contact information, demographics, diagnoses, discharge notes, endoscopy, laboratory tests, PEAR allergies, LMR health maintenance, LMR medications, 7 of 9 J. Pers. Med. 2016, 6, 13 LMR notes, LMR problems, LMR vital signs, medications (RxNorm), microbiology, operative notes, pathology reports, procedures (CPT codes), providers, pulmonary, radiology reports, radiology tests and transfusion. Furthermore, images from hospital image repositories can be returned and viewed online. The RPDR is able to obtain patient notes from hospital systems and create a secure database for eMERGE III [7]. Security and privacy of the patients whose data are contained in RPDR are of paramount importance in its operation. We have robust methods to protect the information while maintaining its usability. We have developed methods of data obfuscation to allow users to have access to aggregate data without threatening patient confidentiality. In addition to the RPDR, both genotype data (GWAS) and survey data on Biobank participants are visible in the Biobank Portal that is the final common pathway for investigators to get all of this integrated data. Figure 3 depicts the infrastructure for the Biobank Portal [8]. Figure 3. Data Integration—Biobank Portal. Figure 3. Data Integration—Biobank Portal. 2.3.2. Phenotype Discovery Center (PDC) 2.3.2. Phenotype Discovery Center (PDC) The Partners Phenotype Discovery Center provides support to investigators to link phenotypes with data on consented subjects in the Partners HealthCare Biobank. As part of the PDC, we have created the Biobank Portal (see Figure 3) to combine specimen data with data from the electronic medical record in a SQL Server database with a web-based application that enables users to query, view and work with the data in a variety of ways. The Biobank Portal allows users to perform queries, visualize longitudinal data (e.g., medication prescriptions, diagnoses, lab results), perform PheWAS based on >1500 clinically grouped ICD9-CM codes, query phenotypes defined by i2b2 algorithms, perform automated natural language processing (NLP), and request samples from cases and matched controls. Data in the Biobank Portal database includes narrative data from doctors’ notes and other hospital text reports (cardiology, pathology, radiology, operative, discharge summaries), as well as coded data such as demographics, diagnoses, procedures, vital signs, lab values and medications. In addition, patient reported data from the health information survey given to all Biobank subjects is included in the Biobank Portal database and contains data on body mass index, occupational exposure, sun exposure, physical activity, alcohol, smoking and sleep behaviors, family history of disease and reproductive history for women. Users of the Biobank Portal application can run queries on the aforementioned data to find particular sets of patients and then view the query criteria in a timeline patient-by-patient to visualize when phenomena of interest have occurred. Users can also review sets of patients in a Viewer that 8 of 9 J. Pers. Med. 2016, 6, 13 allows them to look at each patient’s data to determine whether or not to request specimen data for that patient. Users can then use the application to request the set of patients selected using the Timeline and Viewer from the Biobank. Another set of functions available in the Biobank Portal is designed to help with phenotyping sets of patients. Existing validated phenotypes are available in the user interface for eight diseases (Rheumatoid Arthritis, Ulcerative Colitis, Crohn’s Disease, Multiple Sclerosis, Type2 Diabetes Mellitus, Coronary Heart Disease, Congestive Heart Failure, and Bipolar Disorder), with an additional set of 12 planned to be completed over the next year. 2.3.2. Phenotype Discovery Center (PDC) In addition, we are creating a Validation Workbench to help users create their own phenotypes, which will require creating a Natural Language Processing pipeline to help extract required features from narrative data, creating further methods to help users annotate the data, providing basic statistical guidelines and educating researchers about the nature of this work. Ultimately, genotyped results for the biobank subjects will be added into the Biobank Portal data mart and made available for further investigation. The Biobank is fully integrated with the Laboratory for Molecular Medicine, and the Translational Genomics Core via the IT connections in the Biobank Portal (Figure 1). All of the work done within the Biobank Portal and the Phenotype Discovery Center has been vetted by the IRB and abides by strict security measures. 3. Conclusions Although we do not provide a formal analysis of similar programs at other AMCs in this description of the PPM, it is clear that the comprehensive nature of the infrastructure integration is not common in AMCs. Investigators can utilize the PPM to obtain consented samples, have them genotyped or sequenced, and then develop relevant diagnostic and prognostic indicators using the structured IT system across the three labs. We propose this as one model that will facilitate progress in this complex arena. We also note that the approach that we have taken is dynamic. We are moving in the direction of having not just the LMM approved, but also the TGC core and the Biobank CLIA, thus further strengthening the link between research and clinical care. Acknowledgments: We acknowledge the leaders of PPM: Heidi Rehm, PhD, Fellow American College of Medical Genetics (FACMG); Sandy Aronson, MA, ALM; Sami Amr, PhD, FACMG; Matthew Lebo, PhD, FACMG; Elizabeth Karlson, MD; Jordan Smoller, MD, ScD; Robert Green, MD, MPH; Birgit Funke, PhD, FACMG; Natalie Boutin and Lisa Mahanta for their contributions to the Center and to this manuscript. Grant support: 1 U01 HG008685-01 From the National Institute for Human Genome Research. Author Contributions: Scott T. Weiss wrote the first draft of the paper and Meini Sumbada Shin wrote the second draft and edited the document. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. © 2016 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons by Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/). References 1. Rehm, H.L.; Hynes, E.; Funke, B. The changing landscape of molecular diagnostic testing: Implications for Academic Medical Centers. J. Pers. Med. 2016. [CrossRef] [PubMed] 2. Blau, A.; Brown, A.; Mahanta, L.; Amir, S. The Translational Genomics Core at Partners Personalized Medicine: Facilitating the Transition of Research towards Personalized Medicine. J. Pers. Med. 2016. [CrossRef] 3. Karlson, E.; Boutin, B.; Hoffnagle, A.; Allen, N. Building the Partners HealthCare Biobank at Partners Personalized Medicine: Informed consent, return of research results, recruitment lessons and operational considerations. J. Pers. Med. 2016. [CrossRef] [PubMed] 4. Boutin, N.; Holzbach, A.; Mahanta, L.; Aldama, J.; Cerretani, X.; Embree, K.; Leon, I.; Rathy, N.; Vickers, M. The information technology infrastructure for the translational genomics core and the Partners Biobank at Partners Personalized Medicine. J. Pers. Med. 2016. [CrossRef] [PubMed] 5. Tsai, E.A.; Shakbatyan, R.; Evans, J.; Rossetti, P.; Graham, C.; Shamra, H.; Lin, C.F.; Lebo, M. Bioinformatics Workflow for Clinical Whole Genome Sequencing at Partners HealthCare Personalized Medicine. J. Pers. Med. 2016. [CrossRef] 5. Tsai, E.A.; Shakbatyan, R.; Evans, J.; Rossetti, P.; Graham, C.; Shamra, H.; Lin, C.F.; Lebo, M. Bioinformatics Workflow for Clinical Whole Genome Sequencing at Partners HealthCare Personalized Medicine. J. Pers. Med. 2016. [CrossRef] 9 of 9 J. Pers. Med. 2016, 6, 13 6. Aronson, S.; Mahanta, L.; Hien, L.; Clark, E.; Babb, L.; Oates, M.; Rehm, H.L.; Lebo, M. Information technology support for clinical genetic testing within an Academic Medical Center. J. Pers. Med. 2016. [CrossRef] [PubMed] 7. Smoller, J.; Karlson, E.; Green, R.; Kathiresan, S.; MacArthur, D.G.; Talkowski, M.; Murphy, S.; Weiss, S.T. An eMERGE Clinical Center at Partners Personalized Medicine. J. Pers. Med. 2016. [CrossRef] [PubMed] 8. Gainer, V.; Cagan, A.; Castro, V.; Duey, S.; Ghosh, B.; Goodson, A.; Goryachev, S.; Metta, R.; Wang, T.; Wattanasin, N.; et al. Using i2b2 to enable researchers to work with the Partners Biobank data and samples in the Partners Biobank Portal at Partners Personalized Medicine. J. Pers. Med. 2016. pending decision. © 2016 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons by Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/). 6. Aronson, S.; Mahanta, L.; Hien, L.; Clark, E.; Babb, L.; Oates, M.; Rehm, H.L.; Lebo, M. Information technology support for clinical genetic testing within an Academic Medical Center. J. Pers. Med. 2016. References [CrossRef] [PubMed] moller, J.; Karlson, E.; Green, R.; Kathiresan, S.; MacArthur, D.G.; Talkowski, M.; Murphy, S.; Weiss, S.T. n eMERGE Clinical Center at Partners Personalized Medicine. J. Pers. Med. 2016. [CrossRef] [PubMed] 8. Gainer, V.; Cagan, A.; Castro, V.; Duey, S.; Ghosh, B.; Goodson, A.; Goryachev, S.; Metta, R.; Wang, T.; Wattanasin, N.; et al. Using i2b2 to enable researchers to work with the Partners Biobank data and samples in the Partners Biobank Portal at Partners Personalized Medicine. J. Pers. Med. 2016. pending decision. 8. Gainer, V.; Cagan, A.; Castro, V.; Duey, S.; Ghosh, B.; Goodson, A.; Goryachev, S.; Metta, R.; Wang, T.; Wattanasin, N.; et al. Using i2b2 to enable researchers to work with the Partners Biobank data and samples in the Partners Biobank Portal at Partners Personalized Medicine. J. Pers. Med. 2016. pending decision. © 2016 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons by Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).
https://openalex.org/W2009988230
https://jiasociety.biomedcentral.com/track/pdf/10.1186/1758-2652-11-S1-P193
English
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Patterns of drug resistance mutations after failure of first-line NNRTI-based antiretroviral therapy in Western India
Journal of the International AIDS Society
2,008
cc-by
537
Methods Patients with confirmed first-line therapy failure (d4T or ZDV/3TC/NVP or EFV) as defined virologic (VF), immu- nologic (IF) and clinical (CF) (according to WHO ARV scale-up guidelines), were eligible. Genotypic drug resist- ance testing (GRT) was done by viral RNA extraction, RT- PCR and in-house sequencing and interpretation done according to the Stanford database. The frequency of DRMs (NNRTI mutations-K103N, V106M, Y181C, G190A and others, 3TC-M184V/I and TAMs: 41, 210, 215 or 67, 70, 219 or no specific pathway) were determined. Univariate analysis were used to determine the risk of development of >3 TAMs according to age, gender, type of failure, duration on regimen, duration of HIV infection, exposure to suboptimal regimens, CD4 counts and PVL at time of GRT. Conclusion Patterns of resistance mutations after failure of NNRTI- based first-line regimens amongst subtype C viruses is similar to that documented in other subtypes in literature. After failure of first-line therapy most patients have NNRTI and/or 3TC resistance. The frequency of TAMs is high and is associated with high viral loads and low CD4 counts at the time of GRT. Background and 168/mm3(IQR 67–289), respectively. 83% patients had PVL>4 logs. Amongst patients with failure, 42% were VF, 39.7% IF and 18.3% CF. All patients were infected with subtype c virus. 92%, 66.6% and 31.1% patients had NNRTI mutations (K103N:44.4%, Y181C:32.1%), M184V and both, respectively. At least one TAM was doc- umented in 71.9% patients, 38.2% had >3 TAMs, with 38.2% and 35.5% following the 67/70/219 and 41/210/ 215 pathway. 4.4% had K65R. A last CD4 count<200/ mm3 and PVL >4 log copies/ml were associated with a trend towards harbouring >3 TAMs, though they failed to achieve statistical significance. g There is limited information on the pattern of drug resist- ance mutations (DRMs) after failure of NNRTI-based first- line ART in India (subtype C viruses). We assessed the prevalence of DRMs after first-line failure and explored risk factors associated with development of thymidine analog mutations (TAMs). Journal of the International AIDS Society 2008, 11(Suppl 1):P193 doi:10.1186/1758-2652-11-S1-P193 Journal of the International AIDS Society 2008, 11(Suppl 1):P193 doi:10.1186/1758-2652-11-S1-P193 This abstract is available from: http://www.jiasociety.org/content/11/S1/P193 © 2008 Pujari et al; licensee BioMed Central Ltd. Journal of the International AIDS Society BioMed Central Open Access Page 1 of 1 (page number not for citation purposes) Poster presentation Patterns of drug resistance mutations after failure of first-li NNRTI-based antiretroviral therapy in Western India SN Pujari*1, AN Dravid1, N Gupte2, A Makne1, S Gaikwad1, P Mukhopadhaya3, B Aich3 and V Bele1 Address: 1Institute of Infectious Diseases, Pune, India, 2Consultant Biostatistician, Pune, India and 3Genomebio Laboratories, Pune, India * Corresponding author from Ninth International Congress on Drug Therapy in HIV Infection Glasgow, UK. 9–13 November 2008 from Ninth International Congress on Drug Therapy in HIV Infection Glasgow, UK. 9–13 November 2008 from Ninth International Congress on Drug Therapy in HIV Infection Glasgow, UK. 9–13 November 2008 Published: 10 November 2008 Summary of results y Data from 89 patients (80.6% male) with median age 38 years were available. Median duration on ART at the time of GRT was 43.5 (IQR 23–67) months, and the median PVL and CD4 count were 4.5 log copies/ml (IQR 4.1–5.3) Page 1 of 1 (page number not for citation purposes)
https://openalex.org/W4320302880
https://ejournal.lppmunidayan.ac.id/index.php/sipil/article/download/588/436
Indonesian
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Pengaruh Penambahan Serat Sabut Kelapa Terhadap Kuat Tekan Beton
Jurnal Media Inovasi Teknik Sipil Unidayan
2,017
cc-by-sa
4,026
PENGARUH PENAMBAHAN SERAT SABUT KELAPA TERHADAP KUAT TEKAN BETON Surianti1 dan Arham2 (Dosen Program Studi Teknik Sipil Fakultas Teknik Unidayan Baubau)1 (Mahasiswa Teknik Sipil Fakultas Teknik Unidayan)2 Email : suri.yanthi82@gmail.com ABSTRAK Beton terdiri dari bahan campuran semen, kerikil, pasir, air dan bahan tambah. Penggunaan bahan tambah berupa serat alam yakni serat sabut kelapa diharapkan dapat memberi peningkatan kuat tekan beton pada beton normal. Penelitian ini dimaksudkan untuk mengetahui karakteristik agregat kasar dan halus dari Desa Burukene Kecamatan Batauga Kabupaten Buton Selatan, pengaruh serat sabut kelapa sebagai bahan tambah terhadap kuat tekan beton serta membandingkan kekuatan beton normal dengan beton campuran serat sabut kelapa. Pembuatan campuran beton mengacu SK SNI T-15-1990-003 tentang “Tata Cara Pembuatan Rencana Campuran Beton Normal”. Benda uji untuk pengujian kuat tekan beton adalah silinder ukuran 15x30 cm. Variasi konsentrasi penambahan serat sebesar 0%, 0,25%, 0,5%, dan 0,75% terhadap berat benda uji beton. Hasil pengujian karakteristik material yang diperoleh melalui hasil pemeriksaan terhadap material asal dari Desa Burukene Kecamatan Batauga masing – masing jenis pemeriksaan ada yang masuk dalam standar namun ada juga yang tidak masuk standar pemeriksaan yang disyaratkan. Bahan tambah serat sabut kelapa yang digunakan berasal dari Kelurahan Kamaru Kecamatan Lasalimu Kabupaten Buton dengan panjang serat 5 cm. Benda uji yang di rencanakan 36 buah dengan masing-masing proporsi 9 buah benda uji. Beton normal umur 28 hari sebesar 193,2 Kg/cm², beton penambahan serat 0,25% umur 28 hari sebesar 205,2 Kg/cm², beton penambahan serat 0,5% umur 28 hari sebesar 169,9 Kg/cm², beton penambahan serat 0,75% umur 28 hari sebesar 126,2 Kg/cm². Dari hasil pengujian kuat tekan beton dengan bahan tambah serat sabut kelapa sebanyak 0,25% terhadap berat benda uji meningkat kuat tekan betonnya dari beton normal sebesar 6,21% . Kata Kunci : Beton, Bahan Tambah, Serat Sabut Kelapa, Kuat Tekan Beton, Karakteristik Material Beton sebagai bahan konstruksi tidak hanya terdiri sebagai bahan campuran semen, pasir, kerikil dan air, tapi juga adanya bahan tambahan (admixture) yang dapat meningkatkan kelecakan (workability), kuat tekan, kuat tarik, kuat lentur, memperlambat atau mempercepat waktu ikat awal dan sebagainya, sesuai dengan kebutuhan. Kata Kunci : Beton, Bahan Tambah, Serat Sabut Kelapa, Kuat Tekan Beton, Karakteristik Material 1. Rumusan Masalah Adapun batasan masalah yang dibahas dalam penelitian ini adalah : c. Melakukan pengujian kekuatan mekanik pada campuran beton yaitu pengujian kuat tekan beton pada umur 3 hari, 7 hari dan 28 hari dengan menggunakan faktor air semen ( FAS) 0,54. a. Bagaimana karakteristik agregat halus dan kasar dari Desa Burukene Kec. Batauga ? b. Bagaimana pengaruh serat sabut kelapa sebagai bahan tambah terhadap kuat tekan beton ? c. Bagaimana perbandingan kuat tekan beton normal dengan beton campuran serat sabut kelapa ? A. PENDAHULUAN Penggunaan beton sebagai bahan bangunan telah lama dikenal. Beton merupakan material komposit yang tersusun dari agregat dan terbungkus oleh matrik semen yang mengisi ruang di antara partikel-partikel sehingga membentuk satu kesatuan. Berdasarkan kekuatan tekannya beton dibagi menjadi tiga klasifikasi, yaitu beton normal, kinerja tinggi, dan kinerja sangat tinggi. Beton memiliki beberapa kelebihan antara lain: kuat desaknya relatif tinggi, mudah dibentuk sesuai keinginan, perawatannya murah dan dapat dikombinasikan dengan bahan lain. Penambahan bahan lain khususnya serat alam dalam beton normal tentu memiliki cara analisis tersendiri. Penambahan serat dalam proporsi tertentu kemungkinan dapat mempengaruhi perilaku struktur beton secara keseluruhan. Pengaruh perubahan ini perlu diteliti untuk 57 a. Untuk mengetahui karakteristik agregat kasar dan halus dari Desa Burukene Kecamatan Batauga. memberikan informasi yang tepat mengenai perilaku dan kapasitas beton berserat terkhususnya serat serabut kelapa. memberikan informasi yang tepat mengenai perilaku dan kapasitas beton berserat terkhususnya serat serabut kelapa. b. Untuk mengetahui pengaruh serat sabut kelapa sebagai campuran terhadap kuat tekan beton. Pohon kelapa banyak tersebar di Kelurahan Kamaru, Kecamatan Lasalimu, Kabupaten Buton, Propinsi Sulawesi Tenggara baik di daerah pegunungan maupun daerah pesisir pantai. Masyarakat yang ada di sana belum mengetahui manfaat dari serat sabut kelapa sebagai bahan tambah beton. Mereka hanya memanfaatkan sabut kelapa sebagai bahan pembakar sehingga sampah sabut kelapa masih banyak terdapat di berbagai daerah baik di pesisir pantai maupun pegunungan. p c. Membandingkan kekuatan beton normal dengan beton campuran serat sabut kelapa pada umur 3 hari, 7 hari dan 28 hari. 4. Batasan Masalah Adapun batasan masalah yang di bahas dalam penelitian ini adalah: a. Menerangkan secara rinci bagaimana pembutan beton dengan campuran serat sabut kelapa dengan panjang serat 5 cm dan persentase campuran 0%, 0,25%, 0,5%, 0,75% dari volume beton normal . Dari latar belakang di atas, maka penulis mengambil penelitian tentang “Pengaruh Penambahan Serat Sabut Kelapa Terhadap Kuat Tekan Beton” b. Menjelaskan secara garis besar fungsi serat sabut kelapa sebagai bahan campuran dalam konstruksi bangunan. 3. Manfaat Penelitian Dengan penelitian ini diharapkan masyarakat dapat mengetahui fungsi lebih dari serat sabut kelapa. Selain itu diharapkan serat sabut kelapa dapat dipergunakan oleh masyarakat sebagai bahan campuran dalam pembuatan beton yang digunakan dalam teknologi beton. Serat serabut kelapa mempunyai keuntungan yaitu tahan terhadap serangan mikroorganisme, pelapukan dan pekerjaan mekanis (gosokan dan pukulan) dan lebih ringan dari serat yang lain. Serat serabut kelapa juga mempunyai sifat yang ulet, dapat menyerap air, dan mempunyai tingkat keawetan yang baik jika tidak berhubungan langsung dengan cuaca. (Mulyono, 2004). Oleh karena itu serat serabut kelapa dipilih dalam penelitian ini mengingat ketersediaan cukup banyak sehingga harganya murah. 5. Bahan Tambah Pembentuk Beton ( Serat Sabut Kelapa ) Adapun sabut kelapa terdiri atas 78% dinding sel dan 22,2% rongga. Salah satu cara mendapatkan serat dari sabut kelapa yaitu dengan ekstrasi menggunakan mesin. Serat yang dapat diekstrasi diperoleh 40% 1. Tinjauan Umum Penelitian Langkah awal dari penelitian ini adalah pemilihan lokasi penelitian, yaitu menentukan daerah penghasil agregat yang akan dijadikan sampel pada penelitian ini. Agregat yang akan dijadikan sampel pada penelitian ini adalah untuk agregat halus (pasir) dan agrekat kasar (krikil) dari Kecamatan Batauga serta bahan tambah Serat Sabut Kelapa yang berasal dari Kecamatan Lasalimu, Kabupaten Buton. Pada penelitian terdahulu Eniarti M., (2006) sudah melakukan penelitian tentang serat serabut kelapa pada beton ringan dengan panjang serat 5 cm dan variasi konsentrasi serat 0%0.25%,0,5%,0,75%,1% dari volume campuran beton, dimana kuat tekan optimum sebesar 22,28 MPa diperoleh dari konsentrasi serat 0,5%. B. KAJIAN PUSTAKA Bahan tambah adalah bahan selain unsur pokok beton (air, semen, dan agregat) yang ditambahkan pada adukan beton. Tujuannya ialah mengubah satu atau lebih sifat-sifat beton sewaktu masih dalam keadaan segar atau setelah mengeras, misalnya mempercepat pengerasan, menambah daktilitas (mengurangi sifat getas), mengurangi retak-retak pengerasan, dan sebagainya (Tjokrodimuljo, 1996). 2. Tujuan Penelitian Tujuan dilakukannya penellitian ini adalah sebagai berikut : 58 adalah 1, 2, 3, 4, 5, 6, 7, 8, 9, dan 10 gram untuk setiap 100 ml air. Hasil yang didapatkan adalah komposisi 4 gram NaOH dapat meningkatkan kuat tarik serat hingga 35%. adalah 1, 2, 3, 4, 5, 6, 7, 8, 9, dan 10 gram untuk setiap 100 ml air. Hasil yang didapatkan adalah komposisi 4 gram NaOH dapat meningkatkan kuat tarik serat hingga 35%. serabut berbulu dan 60% serat matras. Dari 100 gram serabut yang diabstrasikan diperoleh serat 30 bagian, serat matras 18 bagian, dan serat berbulu 12 bagian. Dari segi teknis sabut kelapa memiliki sifat-sifat yang menguntungkan, antara lain mempunyai panjang 15 - 30 cm, tahan terhadap serangan mikroorganisme, pelapukan dan pekerjaan mekanis (gosokan dan pukulan) dan lebih ringan dari serat lain. Ronald Marpaung, R., Karolina, R., (2012) Penggunaan serabut kelapa pada campuran beton dengan variasi 5%,10% , 15% dan 20% dapat menurunkan nilai slump. Hal ini disebabkan oleh bahan tambahan yang tinggi mengakibatkan volume udara dan faktor air semennya turun sesuai dengan sifat serabut kelapa yang memiliki daya serap air tinggi. Nilai koefisien serap bunyi menunjukkan grafik yang semakin meningkat pada setiap penambahan variasi serabut kelapa. Pada penelitian ini serat sabut kelapa yang digunakan adalah serat sabut kelapa yang telah dikeringkan, panjang serat sabut kelapa yang digunakan 5 cm dan proporsi penambahan serat 0,0%, 0,25%, 0,5%, 0,75% terhadap berat benda uji dengan Faktor Air Semen ( FAS ) 0,54. Menurut (SKSNI T-15-1990- 03:1),beton didefinisikan sebagai campuran antara semen portland atau semen hidrolik yang lainnya, agregat halus, agregat kasar dan air dengan atau tanpa bahan campuran tambahan membentuk massa padat. ACI ( American Concrete Institute ) memberikan definisi pada beton serat, yaitu suatu konstruksi yang tersusun dari bahan semen, agregat halus dan kasar serta sejumlah kecil serat (fibre). C. METODE PENELITIAN Menurut Suhardiyono (1999), serabut kelapa adalah bahan berserat dengan ketebalan sekitar 5 cm, merupakan bagian terluar dari buah kelapa. Buah kelapa sendiri terdiri atas serabut 35%, tempurung 12%, daging buah 28%, dan air buah 25%. e. Air Pengambilan sampel untuk agregat halus (pasir), agregat kasar (kerikil) dan bahan tambah Serat Sabut Kelapa dilakukan secara langsung dilokasi atau daerah penambangan. Hal ini dilakukan agar sampel yang diambil benar-benar langsung bersumber dari lokasi tersebut. Sampel kemudian dimasukkan kedalam satu tempat (karung sampel) untuk pemeriksaan data- data karakteristik dan mix design. Lokasi pengambilan material agregat halus (Pasir) dan agregat kasar (krikil) dari kali di Kecamatan Batauga serta bahan tambah berasal dari Kecamatan Lasalimu Kabupaten Buton. Air yang dipakai pada penelitian ini adalah air PDAM yang diperoleh di laboratorium pengujian. Air ini juga dipakai mengingat mudah mendapatkanya dan kualitas telah memenuhi persyaratan penelitian ini. a. Hasil Penelitian Agregat Halus Hasil pemeriksaan sifat-sifat agregat halus pasir desa Burukene Kecamatan Batauga yang dapat dilihat pada Tabel 1. b. Agregat Halus Pasir yang digunakan pada penelitian ini adalah pasir yang diperoleh dari kali Kecamatan Batauga. d. Serat Sabut Kelapa Serat Sabut Kelapa yang digunakan pada penelitian ini adalah Serat Sabut Kelapa diperoleh dari Kecamatan Lasalimu Kabupaten Buton. a. Semen (PC) Tabel 1. Hasil Pemeriksaan Sifat-sifat Agregat Halus Pasir Desa Burukene. No Jenis Pemeriksaan Hasil Pemeriksaan Desa Burukene Satuan 1 Berat Jenis : Berat Jenis Bulk 2,26 -- Berat Jenis SSD 2,10 -- Berat Jenis Semu 1,97 -- Penyerapan 6,40 % 2 Berat Isi Lepas 1,40 gr/cm3 3 Berat Isi Padat 1,47 gr/cm3 4 Kadar Lumpur 3,84 % 5 Kadar Air 2,50 % Sumber: Hasil analisa data Tabel 1. Hasil Pemeriksaan Sifat-sifat Agregat Halus Pasir Desa Burukene. Semen yang dipergunakan pada penelitian ini adalah jenis semen yang digunakan untuk konstruksi beton dan banyak tersedia di pasaran yaitu jenis semen portland tipe I yang diproduksi di pabrik semen Tonasa. 2. Lokasi dan Waktu Penelitian Penelitian yang dilakukan oleh (Darmanto etal, 2011) mengupayakan untuk meningkatkan kekuatan serat sabut kelapa melalui proses alkalisasi dengan bahan kimia NaOH. Komposisi yang digunakan Penelitian kuat tekan beton dilakukan dilaboratorium Teknik Sipil Universitas Dayanu Ikhsanuddin Baubau yang beralamat di Jalan Dayanu Ikhsanuddin 59 Baubau Kelurahan Lipu Kota Baubau. Penelitian ini mulai dilaksanakan pada tanggal 15 Februari 2016 sampai selesai. Tahapan waktu yang digunakan dalam penyusunan tugas akhir ini mulai dari penyusunan proposal, bimbingan proposal, penelitian sampai dengan pelaksanan ujian akhir. memiliki tekstur yang kasar, bulat tak beraturan dan tidak berpori. Baubau Kelurahan Lipu Kota Baubau. Penelitian ini mulai dilaksanakan pada tanggal 15 Februari 2016 sampai selesai. Tahapan waktu yang digunakan dalam penyusunan tugas akhir ini mulai dari penyusunan proposal, bimbingan proposal, penelitian sampai dengan pelaksanan ujian akhir. 1. Karakteristik Material 1. Karakteristik Material c. Agregat Kasar Kerikil yang digunakan dalam penelitian ini diperoleh dari kali Kecamatan Batauga. Agregat kasar ini Sumber: Hasil analisa data Hasil pemeriksaan analisa saringan agregat halus pasir desa Burukene 60 Kecamatan Batauga yang dapat dilihat pada Tabel 2. d. DaerahGradasiIV = Pasir Halus Tabel 2. Tabel 2. Hasil Pemeriksaan Analisa Saringan Agregat Halus No Luban g Ayaka n Material 1370 Gram Berat Tertaha n Rata- rata (gr) % Tertah an % Komulat if Tertaha n % Komul atif Lolos 1 1″ 0,00 0,00 0,00 100,00 2 ¾″ 0,00 0,00 0,00 100,00 3 ½″ 0,00 0,00 0,00 100,00 4 3/8″ 0,00 0,00 0,00 100,00 5  15,00 1,09 1,09 98,91 6  145,00 10,58 11,68 88,32 7  340,00 24,82 36,50 63,50 8  550,00 40,15 76,64 23,36 9  250,00 18,25 94,89 5,11 10 No. 100 45,00 3,28 98,18 1,82 11 Pan 25,00 1,82 100 00,00 Sumber: Hasil analisa data Berdasarkan spesifikasi, hasil pemeriksaan analisa saringan Agregat Halus (Pasir) Desa Burukene masuk dalam daerah Gradasi I atau Pasir kasar. Gambar 1. Tabel 2. Hasil Pemeriksaan Analisa Saringan Agregat Halus Gambar 1. Hubungan ukuran saringan dengan persen lolos pasir 90 60 30 15 5 0 100 90 70 34 20 10 98.91 88.32 63.50 23.36 5.11 1.82 0 10 20 30 40 50 60 70 80 90 100 No. 4 No. 8 No. 16 No. 30 No. 50 No. 100 PERSEN LOLOS UKURAN SARINGAN BATAS GRADASI PASIR PADA ZONE 1 BATAS BAWAH BATAS ATAS BATAS GRADASI PASIR PADA ZONE 1 Sumber: Hasil analisa data Gambar 1. Hubungan ukuran saringan dengan persen lolos pasir Hasil pemeriksaan gradasi agregat halus pasir desa Burukene Kecamatan Batauga yang dapat dilihat pada Tabel 3. b. Hasil Penelitian Agregat Kasar Sumber: Hasil analisa data b. Hasil Penelitian Agregat Kasar Hasil Pemeriksaan sifat-sifat agregat kasar desa burukene yang digunakan dalam penelitian ini dapat dilihat pada Tabel 4. Tabel 3. Hasil Pemeriksaan Gradasi Pasir Lubang Ayakan Porsentase Berat Butir yang Lewat Ayakan Agregat Yang Digunakan Daerah I Daerah II Daerah III Daerah IV Pasir Buruke ne Ket 3/8″ 100 100 100 100 100 I No.4 90 -100 90 -100 90 -100 95 -100 98,91 I No.8 60 - 90 75 - 100 85 – 100 95 -100 88,32 I No.16 30 - 70 55 - 90 75 – 100 90 - 100 63,50 I No.30 15 - 34 35 - 59 60 – 79 80 - 100 23,36 I No.50 5 - 20 8 - 30 12 – 40 15 - 50 5,11 I No.100 0 - 10 0 - 10 0 – 10 0 - 15 1,82 I Sumber: Hasil analisa data Keterangan: a. Daerah Gradasi I = Pasir Kasar b. Daerah GradasiII = Pasir Agak Kasar c. DaerahGradasiIII = Pasir Agak Halus Tabel 3. Hasil Pemeriksaan Gradasi Pasir Tabel 3. Hasil Pemeriksaan Gradasi Pasir Tabel 3. Hasil Pemeriksaan Gradasi Pasir Tabel 4. Hasil Pemeriksaan Sifat-sifat Agregat Kasar. No Jenis Pemeriksaan Hasil Pemeriksaan Kerikil Burukene Satuan 1 Berat Jenis : Berat Jenis Bulk 1,84 -- Berat Jenis SSD 1,82 -- Berat Jenis Semu 1,80 -- Penyerapan 1,12 % 2 Berat Isi Lepas 1,68 gr/cm3 3 Berat Isi Padat 1,82 gr/cm3 4 Kadar Air 1,72 % 5 Kadar lumpur 1,21 % Sumber: Hasil analisa data Tabel 4. Hasil Pemeriksaan Sifat-sifat Agregat Kasar. Keterangan: b. Daerah GradasiII = Pasir Agak Kasar c. DaerahGradasiIII = Pasir Agak Halus 61 Gambar 2. Hubungan ukuran saringan dengan persen lolos kerikil c. Air 100 95 30 10 0 100.00 95.00 70.40 19.40 6.00 100 100 70 35 5 0 10 20 30 40 50 60 70 80 90 100 1 1/2" 1" 3/4" 3/8" No. 4 PERSEN LOLOS 1 UKURAN SARINGAN BATAS GRADASI KERIKIL ZONE 4,75 - 40 MM (No.4 - 1 1/2") BATAS BAWAH HASIL PENGAMATAN BATAS ATAS Hasil Pemeriksaan analisa saringan agregat kasar desa burukene yang digunakan dalam penelitian ini dapat dilihat pada Tabel 5. BATAS GRADASI KERIKIL ZONE 4,75 - 40 MM (No.4 - 1 1/2") BATAS GRADASI KERIKIL ZONE 4,75 - 40 MM (No.4 - 1 1/2") Tabel 5. Hasil Analisa Saringan Agregat Kasar. g g g Kasar. e. Hasil Pemeriksaan Komposisi Agregat e. Hasil Pemeriksaan Komposisi Agregat Perancangan komposisi agregat (halus dan kasar) berdasarkan gradasinya untuk adukan beton dari hasil penggabungan agregat diperoleh komposisi 34,38% pasir dan 65,62% kerikil. Perancangan komposisi agregat (halus dan kasar) berdasarkan gradasinya untuk adukan beton dari hasil penggabungan agregat diperoleh komposisi 34,38% pasir dan 65,62% kerikil. b. Hasil Penelitian Agregat Kasar Nomor Saringa n Material 2500 Gram Berat Tertahan (Gr) Persen Tertahan (%) Terta han% Lewat % 1 1/2" 0,00 0,00 0,00 100,0 0 1" 125,00 5,00 5,00 95,00 3/4" 615,00 24,60 29,60 70,40 1/2" 690,00 27,60 57,20 42,80 3/8" 585,00 23,40 80,60 19,40 No. 4 335,00 13,40 94,00 6,00 No. 8 105,00 4,20 98,20 1,80 No. 16 15,00 0,60 98,80 1,20 No. 30 10,00 0,40 99,2 0 0,80 No. 50 5,00 0,20 99,4 0 0,60 PAN 15,00 0,60 100, 00 0,00 Sumber: Hasil analisa data Gambar 2. Hubungan ukuran saringan dengan persen lolos kerikil Air c. Air yang digunakan di Laboratorium adalah air yang tidak berwarna, tidak berbau, juga tidak mempunyai rasa tertentu. Sehingga sangat baik untuk digunakan dalam pencampuran beton. d. Semen Semen yang dipergunakan pada penelitian ini adalah semen yang umum digunakan untuk konstruksi beton dan banyak tersedia dipasaran yaitu jenis semen Portland type I yang diproduksi pabrik semen Tonasa. Berdasarkan spesifikasi diatas, hasil pemeriksaan analisa saringan Agregat Kasar (Kerikil) Burukene masuk dalam daerah Gradasi Standar Agregat dengan butiran maksimum 40 mm. Gambar 2. 2. Pengujian Kuat Tekan Beton Pengujian kuat tekan bertujuan untuk mengetahui kekuatan beton (compressive strength) yang direndam (curing) di Laboratorium pada umur 3 hari, 7 hari, dan 28 hari. Pengujian dilakukan dengan FAS 62 0,5%, 0,75% dan Beton Normal (0,0%) umur 3, 7,dan 28 hari. 0,5%, 0,75% dan Beton Normal (0,0%) umur 3, 7,dan 28 hari. 0,5%, 0,75% dan Beton Normal (0,0%) umur 3, 7,dan 28 hari. 0,54 dan penambahan serat sabut kelapa 0,0%, 0,25%, 0,5%, 0,75% dari berat volume beton yang masing-masing terdiri dari 3 benda uji. Dari grafik di atas dapat dilihat peningkatan kuat tekan beton yang dicampur dengan menggunakan penambahan serat sabut kelapa 0,25% lebih tinggi kuat tekannya bila dibandingkan dengan beton normal. Pada sampel beton campuran bahan tambah serat sabut kelapa 0,0%, 0,25%, 0,5%, 0,75% kuat tekan beton dengan FAS 0,54 pada umur 3 hari sebesar 89,2 Kg/cm2, 106,2 Kg/cm2, 81,4 Kg/cm2, 57,8 Kg/cm2, umur 7 hari sebesar 136,8 Kg/cm2, 146,3 Kg/cm2, 107,3 Kg/cm2, 69,6 Kg/cm2 dan umur 28 hari sebesar 193,2 Kg/cm2, 205,2 Kg/cm2, 169,9 Kg/cm2, 126,2 Kg/cm2. Berdasarkan hasil kuat tekan pada grafik 12 penambahan serat sabut kelapa sebanyak 0,25% dari berat benda uji pada campuran beton dapat meningkatkan kuat tekan dibandingkan dengan campuran beton normal. Benda Uji Silinder berukuran diameter 150 mm dan tinggi 300 mm dipasang pada mesin tekan secara sentris. Pembebanan dilakukan sampai benda uji menjadi hancur dan tidak dapat lagi menahan beban yang diberikan (jarum penunjuk berhenti kemudian bergerak turun), sehingga didapatkan beban maksimum yang ditahan oleh benda uji tersebut. Hasil pengujian yang dilakukan terhadap benda uji diperoleh kuat tekan rata-rata beton pada tiap-tiap umur pengujian berdasarkan komposisi perbandingan agregat dengan panjang serat 5 cm serta proporsi 0%, 0,25%, 0,5%, 0,75%. Hal ini berakibat ikatan serat dari bahan sabut kelapa dengan campuran beton tidak maksimal, sedangkan penambahan proporsi serat sebesar 0,25% memilki nilai kuat tekan tertinggi diakibatkan pasta semen masih mengisi sebagian besar adukan beton sehingga lekatan antar bahan penyusun beton mampu bekerja secara maksimal. Tabel 6. Hasil Pengujian Kuat Tekan Beton Rata-rata dengan Menggunakan Serat Sabut Kelapa pada FAS 0,54 Tabel 6. 2. Pengujian Kuat Tekan Beton Hasil Pengujian Kuat Tekan Beton Rata-rata dengan Menggunakan Serat Sabut Kelapa pada FAS 0,54 No Uraian Kuat Tekan (Kg/cm²) 0% 0,25% 0,5% 0,75 % 1 Umur 3 hari 89,2 106,2 81,4 57,8 2 Umur 7 hari 136,8 146,3 107,3 69,6 3 Umur 28 hari 193,2 205,2 169,9 126,2 Sumber : Hasil Analisa Data 50 100 150 200 250 3 Hari 7 Hari 28 Hari 0,00 % 0,25 % 0,50 % 0,75 % KUAT TEKAN BETON (Kg/cm2) UMUR BETON (Hari) 106,2 146,3 205,2 89,2 81,4 57,8 69,6 107,3 136,8 193,2 169,9 126,2 Gambar 3. Grafik Kuat Tekan beton menggunakan Serat Sabut Kelapa 0,25%, Kelapa pada FAS 0,54 No Uraian Kuat Tekan (Kg/cm²) 0% 0,25% 0,5% 0,75 % 1 Umur 3 hari 89,2 106,2 81,4 57,8 2 Umur 7 hari 136,8 146,3 107,3 69,6 3 Umur 28 hari 193,2 205,2 169,9 126,2 Sumber : Hasil Analisa Data Sumber : Hasil Analisa Data Bina Marga Provinsi Sulawesi Selatan, Makassar pasir 1,4, kondisi padat pasir 1,47, berat jenis pasir nyata 2,26, berat jenis pasir dasar kering 1,97, berat jenis pasir kering permukaan 2,1, kadar air kerikil 1,72%, kondisi lepas kerikil 1,68, kondisi padat kerikil 1,82, berat jenis nyata kerikil 1,84, berat jenis kerikil dasar kering 1,8, berat jenis kerikil kering permukaan 1,82, modulus kekerasan kerikil 6,62, dan absorpsi kerikil 1,12%. Anonim, Badan Penelitian dan Pengembangan Jalan dan Jembatan.,2010. Pengendalian Mutu Pekerjaan Beton, Kementrian Pekerjaan Umum, Bandung ASTM C 33/03.Standar Spesifikasi For Concrete Aggregates. Darmanto, S., Umardani, Y., Sumantri, H., Sutanto, A. (2011). Peningkatan Kekuatan Serat Sabut Kelapa Dengan Perlakuan Alkali. Teknis.Vol. 6, No. 3. 2. 2. Dari hasil pengujian kuat tekan beton dengan bahan tambah serat sabut kelapa sebanyak 0,25% terhadap berat benda uji meningkat kuat tekan betonnya dari beton normal sebesar 6,21% dan ketika penambahan serat sabut kelapa sebanyak 0,5% kuat tekan betonnya menurun sebesar 12,06% dan 0,75% kuat tekannya menurun sebesar 34,68%. 2. Dari hasil pengujian kuat tekan beton dengan bahan tambah serat sabut kelapa sebanyak 0,25% terhadap berat benda uji meningkat kuat tekan betonnya dari beton normal sebesar 6,21% dan ketika penambahan serat sabut kelapa sebanyak 0,5% kuat tekan betonnya menurun sebesar 12,06% dan 0,75% kuat tekannya menurun sebesar 34,68%. Departemen Pekerjaan Umum Badan Penelitian dan Pengembangan Pusat Penelitian dan Pengembangan Jalan dan Jembatan. (2010). Teknologi Beton. Makassar: Laboratorium BBPJN VI Makassar. , 3. Beton normal umur 3 hari sebesar 89,2 Kg/cm², umur 7 hari sebesar 136,8 Kg/cm², umur 28 hari sebesar 193,2 Kg/cm², beton penambahan serat 0,25% umur 3 hari sebesar 106,2 Kg/cm², umur 7 hari sebesar 146,3 Kg/cm², umur 28 hari sebesar 205,2 Kg/cm², beton penambahan serat 0,5% umur 3 hari sebesar 81,4 Kg/cm², umur 7 hari sebesar 107,3 Kg/cm², umur 28 hari sebesar 169,9 Kg/cm², beton penambahan serat 0,75% umur 3 hari sebesar 57,8 Kg/cm², umur 7 hari sebesar 69,6 Kg/cm², umur 28 hari sebesar 126,2 Kg/cm². 3. Beton normal umur 3 hari sebesar 89,2 Kg/cm², umur 7 hari sebesar 136,8 Kg/cm², umur 28 hari sebesar 193,2 Kg/cm², beton penambahan serat 0,25% umur 3 hari sebesar 106,2 Kg/cm², umur 7 hari sebesar 146,3 Kg/cm², umur 28 hari sebesar 205,2 Kg/cm², beton penambahan serat 0,5% umur 3 hari sebesar 81,4 Kg/cm², umur 7 hari sebesar 107,3 Kg/cm², umur 28 hari sebesar 169,9 Kg/cm², beton penambahan serat 0,75% umur 3 hari sebesar 57,8 Kg/cm², umur 7 hari sebesar 69,6 Kg/cm², umur 28 hari sebesar 126,2 Kg/cm². Bina Marga Provinsi Sulawesi Selatan, Makassar Eniarti,M.(2006).Pengaruh Pemanfaatan Serat Sabut Kelapa terhadap perbaikan Sifat Mekanik Beton Normal, Laporan Penelitian Dosen Muda, Jakarta. Ir. Tri Mulyono, MT, Teknologi Beton, Penerbit Andi.Yogyakarta. 2005 Ronald Marpaung, R., Karolina, R. (2012). Pengaruh Penambahan Sabut Kelapa Pada Campuran Beton Terhadap Kuat Tekan Dan Sebagai Peredam Suara. Departemen Teknik Sipil, Universitas Sumatera Utara, Jl. Perpustakaan No.1 Kampus USU Medan. E. KESIMPULAN 50 100 150 200 250 3 Hari 7 Hari 28 Hari 0,00 % 0,25 % 0,50 % 0,75 % KUAT TEKAN BETON (Kg/cm2) UMUR BETON (Hari) 106,2 146,3 205,2 89,2 81,4 57,8 69,6 107,3 136,8 193,2 169,9 126,2 Gambar 3. Grafik Kuat Tekan beton menggunakan Serat Sabut Kelapa 0,25%, 50 100 150 200 250 3 Hari 7 Hari 28 Hari 0,00 % 0,25 % 0,50 % 0,75 % KUAT TEKAN BETON (Kg/cm2) UMUR BETON (Hari) 106,2 146,3 205,2 89,2 81,4 57,8 69,6 107,3 136,8 193,2 169,9 126,2 1. Hasil pengujian karakteristik agregat halus dan agregat kasar yang diperoleh melalui hasil pemeriksaan terhadap material asal dari Desa Burukene Kecamatan Batauga masing – masing jenis pemeriksaan ada yang masuk dalam standar namun ada juga yang tidak masuk standar pemeriksaan yang disyaratkan. Misalnya yang tidak masuk dalam standar pemeriksaan yang disyaratkan absorpsi pasir 6,4 %, modulus kehalusan pasir 4,19 %, kadar lumpur kerikil 1,21%, sedangkan yang masuk dalam standar yang di syaratkan kadar lumpur pasir 3,84%, kadar air pasir 2,5%, kondisi lepas 1. Hasil pengujian karakteristik agregat halus dan agregat kasar yang diperoleh melalui hasil pemeriksaan terhadap material asal dari Desa Burukene Kecamatan Batauga masing – masing jenis pemeriksaan ada yang masuk dalam standar namun ada juga yang tidak masuk standar pemeriksaan yang disyaratkan. Misalnya yang tidak masuk dalam standar pemeriksaan yang disyaratkan absorpsi pasir 6,4 %, modulus kehalusan pasir 4,19 %, kadar lumpur kerikil 1,21%, sedangkan yang masuk dalam standar yang di syaratkan kadar lumpur pasir 3,84%, kadar air pasir 2,5%, kondisi lepas Gambar 3. Grafik Kuat Tekan beton menggunakan Serat Sabut Kelapa 0,25%, 63 Bina Marga Provinsi Sulawesi Selatan, Makassar DAFTAR PUSTAKA Tjokrodimuljo, K, (2007), Teknologi Beton, Jurusan Teknik Sipil Fakultas Teknik Universitas Gajah Mada, Yogyakarta. Anonim, Bidang Pengujian dan Pengembangan Teknologi. 2010. Persyaratan SNI, Buku I, Dinas Bina Marga Provinsi Sulawesi Selatan .Makassar. Anonim, Zulkifli, dkk. (2013). Pengaruh Penambahan Serat Sabut Kelapa terhadap Kuat Tekan Beton pada Beton Normal. Universitas Halu Oleo Jurusan Teknik Sipil: Kendari Anonim, Bidang Pengujian dan Pengembangan Teknologi., 2010. Persyaratan SNI, Buku II, Dinas 64
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Assessment of Good Governance Principles Implementation in Urban Land Administration: The Case of Bishoftu Town
Journal of Resources Development and Management
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1.1. Back ground of the study Governance refers to the approach in which power is implemented by governments in managing a country’s social, economic, and environmental recourses, in other words it is the process of decision making and the process by which decisions are implemented (Stig, 2009) Good governance in land administration is not a new idea, and essential for both developed and developing countries in many nations, land is a reason for social, ethnic, cultural and religious conflict for many years significant numbers of wars and revolutions have been occurred rights to land, throughout history, virtually all human developments have committed considerable efforts to defining rights to land and in establishing organizations to administer these rights, land administration strategy (Keith , 2007). gy ( ) Good governance within land administration and land management institutions is necessary for sustainable development both in terms of operational durability, equitable stakeholder involvement and benefits, and consistency in law and policy implementation (Tony and Kate, 2008). land in towns is a major element in urban development, especially while going with land use ,urban planning, taxation and protection basic rights while; insecurity of land tenure is a main bottleneck for urban growth and strictly harsh the source of revenue of poor urban residents (Tukstra , 2012). ( , ) United Nations (UN) Feb 2008 defines land administration as “The process of determining, recording and disseminating information about ownership, value and use of land, when implementing land policies.” In history, land issues have been an essential factor in Ethiopia’s political and economic improvement for example the pre 1974 imperial regime supported a feudal agrarian organization, with major inequities based on ethnic identity and social class exploitation of the landless peasant tenants supported the nobility, government bureaucracy, military, and church (Ayeno, 2009). Assessment of Good Governance Principles Implementation in Urban Land Administration: The Case of Bishoftu Town Ashenafi Bekele Mulatu College of Social Sciences and Humanities, Department of Development and Environmental Manageme Studies, University of Gondar, Ethiopia Abstract The main objective of the study is to assess implementation of good governance principles in Urban land administration of bishoftu town, to select sample respondents from the total population researcher was use both probability and non probability sampling techniques. The instruments used to collect data from participants for this study were; Questionnaire, Interview and Focused group discussion. Five selected principles of good governance were taken as variables of good governance. Cross sectional research design is applied in this study. To achieve the study objectives, Descriptive and inferential statistical analyses were also carried out. The findings of the study revealed that the existing land administration practice in Bishoftu town can be characterized as it is not participatory as it is expected to be by its citizens. It shows a tendency of biasedness by sex, social group, and land ownership status differences of the general public, in none of all the five indicator parameters of good governance was the existing land administration practice perceived as good or very good by any of the social, economic, demographic groups considered in the study. Even the town’s Land development and management office employees characterized it as “satisfactory”. “Participation” and “Fairness and Equity” are the most problematic points on which the land administration practice of Bishoftu town is found to be ineffective and inadequately implementing good governance principles to the expectation level of the citizens. Keywords: Good governance urban land administration Publication date:May 31st 2022 www.iiste.org www.iiste.org Journal of Resources Development and Management ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 www.iiste.org 1.3.2. SPECIFIC OBJECTIVES OF THE STUDY The specific objectives of the study include to The specific objectives of the study include to p j y 1. Examine the activities of residents in implementation of good governace principles of the town land administration 2. Assess the perception of both service users and service providers on the implementation of good governance principles in land administration of bishoftu town. 3. Identify challenges on the implementation of good governance principles in land administration of bishoftu town. 4. Assess overall service delivery in bishoftu town land administration on the implementation of good governance principles. 1.1. Back ground of the study However, there were regional differences in the level of inequality in general; the population in Amhara and Tigray with their communal or kinship land regimes had comparatively more egalitarian access to land in, than the population in the South; even within these systems, there were significant inequities (Asmelash, 2006) Land is a very essential resource and a driver of economic growth in Ethiopia but the way it managed and administrated has its own implication on a countries economy ,experts have belief that land is not set to good use in Ethiopia in addition; the country is plagued with corruption that torrent all sectors, including land administration and it is familiar with corruption as well as state detain; there are a number of factors in Ethiopia’s present land administration system that can generate possible entry points for corrupt activities occurrence, from this some reasons are: lack of clear policies, weak institutions, lack of transparency, and limited society involvement, and lack of capacity building (Linder, 2014). The government of Ethiopia designed national programs, policies, and strategies to strengthen and susta 1 Journal of Resources Development and Management ww.iiste.org the country's implementation capacity, which is a key to build on the continuous democratization process; however, the economy has been faced with implementation capacity challenges, in line with the development strategies therefore, the implementation of public Service improvement plan and good governance packages were further enhanced ensuring efficiency, effectiveness, transparency and accountability at all level (MoFED, 2014) 1.4. Significance of the Study g y This study has a vital importance by provide valuable information on the implementation of good governance in land administration system of bishoftu town municipality it is paper based relevance to policy makers, and to concerned bodies, it will be suggesting recommendations to the improvement of land administration. This study has a vital importance by provide valuable information on the implementation of good governance in land administration system of bishoftu town municipality it is paper based relevance to policy makers, and to concerned bodies, it will be suggesting recommendations to the improvement of land administration. 3.1 Research Design g In this study, the researcher used cross sectional research design based on the ground that helps to explain the current status of good governance implementation in land administration of the study area. In addition, cross sectional research design method has an advantageous to collect details of data from many respondents in a short period of time, it helps to investigate what the reality or what actually exist within a situation such as current practices, progresses and situations of different aspects. 1.3. OBJECTIVES OF THE STUDY 1.3.1. GENERAL OBJECTIVE The general objective of the study is to assess the implementation of good governance principles in urban land administration of Bishoftu Town. The general objective of the study is to assess the implementation of good governance principles in urban land administration of Bishoftu Town. 1.2 Statement of the Problem Good governance at stage of public level depends on state organs and public service organizations to enhance stakeholder’s participatin, it also depends on a consistent, transparent, and accountable public administration that guarantees the fairness and effectiveness of decisions and their implementation, the treat to almost all problems that we face in the society such as corruption, inefficiency, and carelessness is to fully adopt and implement the principles of good governance (Fikret, 2015). According to Diana and valukoyte ( 2012) good governance principle implementation faces lack of a clear strategic visualization, prevailing manifestation of governance conservatism that do not motivate initiatives and challenges in local self government. g g In Ethiopia, urban areas are characterize by a variety of land related qualifications with indistinguishable legal standing and high levels of lack of formality with little prospect for formalization unlike the large scale rural program because of the accelerating rapidity of urban migration and population growth, the government takes corrective action through cadastral mapping and regularization ;the regularization process include an assessment of the potential to incorporated different land related documents to set up land use records ( World Bank, 2010) According to Takele (2014) land administration in the Ethiopia city lacks transparency, accountability, equity, efficiency and effectiveness, governance in the city is weak which leads to an abuse land delivery system. According to Ashenafi (2015), urban land administrators and municipality’s lacked skilled human resources to attend to land administration, and irregularity on interpreting enacted legislations due to the absence of definite work procedure, capacity building training and proper planning. The previous studies mainly focused on practice, customer’s satisfaction and prevalence of good governance. Therefore; to fill the gaps of previous study this research intends to assess the implementation of good governance principle in urban land administration of bishoftu town. 1.3. OBJECTIVES OF THE STUDY 3.3 Sampling Techniques and Sampling Size In this study; to select sample respondents from the total households, the researcher used both probability and non probability sampling techniques. According to 2015/16 plan and Information Office of Bishoftu Town municipality, the total households of a town are 33,568. Bishoftu has fourteen kebeles from this Five kebeles are rural urban kebele of the town. Whereas only 9 kebeles are urban kebeles in a new reform of the town. The researcher selected kebele 2, 5 and 9 by Simple random selection. Totally, there are 3742 households are there in this three selected kebeles. The simple random sampling technique was employed to select the representative of the target population, with 95% confidence level and 5% precision level was used to determine sampling size. It is calculated by using Yamane formula (1967) sited in masuku (2014) n=N/1+N (e) 2 ( ) Where: n- is desired sample size N- Target population of the study e- Margin of error. n=3742/1+3742 (0.05)2 = 361 of the sample size. ( ) Where: n- is desired sample size N- Target population of the study e- Margin of error. n=3742/1+3742 (0.05)2 = 361 of th Where: n- is desired sample size N- Target population of the study e- Margin of error. n=3742/1+3742 (0.05)2 = 361 of the sample size. Where: n- is desired sample size N- Target population of the study e- Margin of error. n=3742/1+3742 (0.05)2 = 361 of the sample size. Where: n- is desired sample size N- Target population of the study Out of 33,568 total households, the researcher selected 3742 households for this study as a sample frame. The proportional of the total sample households were selected randomly on the basis of their number of household within each kebeles. So, total samples as household were 361. Bishoftu town municipality has 147 employees however, department of land administration has 60 employees. From those, the researcher selected 3 higher officials for interview as key informant purposively based on assuming that they know well about the problem. In addition to this, 29 employees were selected by simple Random selection and given questionnaire for them. Totally, 32 simple sizes were selected from land administration institution based on the objectives that are selected to be considered however only 25 questionare returned and analysed. y q y Table 3.1: Summarize of samples distribution of household of the study area. 3.2 Research Approach 3.2 Research Approach The study employed mixed research approach which aimed to produce both qualitative and quantitative data. pp tudy employed mixed research approach which aimed to produce both qualitative and quantitative da 2 Journal of Resources Development and Management Journal of Resources Development and Management ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 The quantitative approach like mean standard deviation and percentage were employed to get relevant data from selected respondents regarding the implementation, and challenges of good governance implementation in the study area by using questionnaires. The qualitative approach is useful to understand the perception of respondents about good governance implementation in land administration by using Interview, and Focus Group Discussion (FGD). 3.4 Methods of data Collection Both primary and secondary sources of data were used in this study. Primary data were gathered through, household questionnaire survey, (which were includes close and same open ended questions), focused group discussion and key informant interview. Interviews were conducted with higher land administration officials. Moreover, for issues that require more clarification and exploration of the group, experiences and debates on the topic under the study one Focus Group Discussions (FGDs) which consist 9 members 3 people from each kebele was conducted in this study. Each of them was selected purposively from each kebeles. y p p y Secondary data were obtained from text books, press release, periodicals, journals, newsletters, annual reports, and seminar papers, unpublished materials of relevance to the study, report documents, internet sources, and documents of the municipalities. 3.3 Sampling Techniques and Sampling Size Table 3.1: Summarize of samples distribution of household of the study area. Name of kebele Total household number Sample size Percentage (%) Sampling techniques kebele 02 1247 120 33 Simple random kebele 05 1059 102 28 Simple random kebele 09 1436 139 39 Simple random Total 3742 361 100 Simple random Source: the researcher exploitation from city administration (2017) 4. Result and Discussion 4.1. Description on Groups of Participants of the Sociodemographic Characterstics of Respondents 4.1. Description on Groups of Participants of the Sociodemographic Characterstics of Respondents In this study, there are two groups of Participants, namely, residents of Bishoftu town and employees of the town’s Land Development and Management Office. They were involved in the study as depicted on table 4.1 below based on the sampling procedure described in the previous chapters. The 390 mixed-type of questionnaires were distributed to selected residents and employees of professional experts of Bishoftu land development and management office. However, only 97% questionnaires were returned and analyzed. Accordingly, based on the descriptive statistical analysis that was made on the response and collected from groups, a total of 378 (97%) respondents, 353 (93.4%) from the residents, and 25 (6.6%) from the employees groups were practically participated in the study from each group respectively. 3.5 Data Collection Instrument In conducting this study, the researcher used three data gathering tools. These are questionnaires for beneficiaries and the staff of land development and management and interview guides for leaders of the institution, interviews and FGD for the data collection method of this study consist of two parts. Part one is concerned with the demographic information of respondents including gender, age, educational background, marital status and land occupation. The second part contains questions related with good governance which contains principles or dimensions with their indicators that extracted and adopted from Land Governance Assessment Frameworks. Likert scale was employed for this study in the data collection instrument. Therefore, in this study respondents have been asked to rate each item on a Likert five point scales by assigning a value: 1 = strongly disagree, 2 = disagree, 3 = neutral, 4 = agree and 5= strongly agree. In addition to this, there were some close ended questionnaires that interpreted by narration in qualitative parts. Data were collected for about 5 weeks in 3 Journal of Resources Development and Management ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 3.7. Methods 0f Data Analysis and Presentation y In order to meet the general and specific objectives of the study, both qualitative and quantitative methods of data analysis were employed. The data collected from primary sources using a variety of methods and techniques were used to be organized, coded, condensed, and analyzed into sub sections based on their similarities. Information that collected through interviews, questionnaire and FGDs were checked and edited to detect errors and omissions. 4. Result and Discussion In terms of Educational Status, out of 353 total numbers of participants, 9 (3%) were illiterate, 140 (40%) completed 1-8 grade levels, 84 4 Journal of Resources Development and Management www.iiste.org ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 www.iiste.org (24%) completed 9-12 grades, 62 (17%) diploma holders, 54 (15%) first degree holders, and the remaining 4 (1%) second degree holders. In terms of land/House Owners ship, 187 (81%) have private land and 63 (18%) are living in kebele house, the rest 3 (1%) have neither their own land nor kebele house they lived in house rent from private owners. Discussion and presentation on demographic data analysis on the employee group of p Table 4.3: Discussion and presentation on demographic data analysis on the employee group of participants participants Number and percentage of employee participants by various demographic variables Demographic Variable Value Label N % Age categories of Employee respondents 20-25 5 20 26-30 8 32 31-35 4 16 36-40 4 16 >41 4 16 Educational qualification of Employee catagories 1-12 1 4 Diploma 5 20 Degree 16 64 Masters 3 12 Marital Status of employee Married 19 76 Unmarried 6 24 Work Experience of Employee <1 Year 6 24 1-5 Year 13 52 6-10 Year 4 16 >10 Year 2 8 Sex of Employee respondents Male Female 19 6 76 24 Land (House) Ownership status of the Participants Have Private Land (House) 16 64 Rented from Kebele/Government) 6 24 Rented from Private House Owners 3 12 Source: Own Survey Result (March, 2017) Table 4.3 shows that, the total number of employees represented in the study from the Land Development and Management office of Bishoftu town were 25. The number and percentage of this group of participants that grouped in terms of six types of demographic variables, namely: sex, educational level, work experience, marital status, land Ownership and age. Accordingly, out of the total employee-participants that involved in the study, 6 (24%) of them were females, and the remaining 19 (76%) were males. In terms of age, 5 (20%) were with 20-25 years of age, 8 (32%) with 26-30 years of age, and the remaining 12 employees, 4(16%) in each of the age rages: 31-35, 36-40, and >41. The other grouping variable applied was marital status. Based on this variable, 19 (76%) were married and the remaining 6 (24%) were unmarried. 4. Result and Discussion (1 Resident, 2 Employee) Group Frequency % Valid Residents 353 93.4 Employees 25 6.6 Total 378 100.0 Source: Own Survey Result (March, 2017) Table 4.2: Discussion and presentation on demographic data nalysis on the residents group of participants Number and percentage of residents participants by various demographic variables Demographic Variable Value Label N % S f d M l 308 87 Table 4.2: Discussion and presentation on demographic data nalysis on the residents group of participants Number and percentage of residents participants by various demographic variables Demographic Variable Value Label N % Sex of respondents Male Female 308 45 87 13 Age of respondents 20-30 31-40 41-50 51-60 >60 47 120 87 63 36 13 34 25 18 10 Marutal status Married Divorced Windowed 302 15 36 86 4 10 Educationalstatus Illitrate Grade1-8 Grade9-12 Dipiloma Frist dgree Mastarate dgree 9 140 84 62 54 4 3 40 24 17 15 1 Land Owener ship Private Rented (kebele house) Have no land 287 63 3 81 18 1 Source: Own survey result (March, 2017) As it is depicted on the above table 4.2, the resident participants of the study were characterized by five 2: Discussion and presentation on demographic data nalysis on the residents group of participants and percentage of residents participants by various demographic variables Table 4.2: Discussion and presentation on demographic data nalysis on the residents Number and percentage of residents participants by various demographic variables y ( ) As it is depicted on the above table 4.2, the resident participants of the study were characterized by five types of demographic variables, namely: sex, educational level, marital status, age, and land ownership status. Therefore, out of the overall 353 resident-participants involved in the study, 45 (13%) of them were female, and the remaining 308 (87%) were male. In terms of age, 36 (10%) were with more than 60 years of age, 63 (18%) within the range of 51-60 years of age, 87 (25%) within 41-50, 120 (34%) within 31-40, and 47 (13%) individuals within a range of 20-30 years of age had been involved in the study. Regarding to marital status variable 15 (4%) divorces, 36 (10%) widowed, and 302 (86%) were married participants. 4. Result and Discussion Academically, out of the 25 total number of participants 1 individual (4%) was below 12 grade, 5 (20%) with diploma, 16 (64%) with first degree, and 3 (12%) of them were with second degree. Other variable was the employee work experience. Accordingly, 6 (24%) employees have <1 year work expriace, 13 (52%) were 1-5 year, 4 (16%) were 6-10 year, and 2 (8%) employee were >10 year work experience. In terms of land Owner status, 16 (64%) have private land, 6 (24%) lived in kebele house and the rest 3 (12%) were living in private rent house. y ( , ) Table 4.3 shows that, the total number of employees represented in the study from the Land Development and Management office of Bishoftu town were 25. The number and percentage of this group of participants that grouped in terms of six types of demographic variables, namely: sex, educational level, work experience, marital status, land Ownership and age. Accordingly, out of the total employee-participants that involved in the study, 6 (24%) of them were females, and the remaining 19 (76%) were males. In terms of age, 5 (20%) were with 20-25 years of age, 8 (32%) with 26-30 years of age, and the remaining 12 employees, 4(16%) in each of the age rages: 31-35, 36-40, and >41. The other grouping variable applied was marital status. Based on this variable, 19 (76%) were married and the remaining 6 (24%) were unmarried. Academically, out of the 25 total number of participants 1 individual (4%) was below 12 grade, 5 (20%) with diploma, 16 (64%) with first degree, and 3 (12%) of them were with second degree. Other variable was the employee work experience. Accordingly, 6 (24%) employees have <1 year work expriace, 13 (52%) were 1-5 year, 4 (16%) were 6-10 year, and 2 (8%) employee were >10 year work experience. In terms of land Owner status, 16 (64%) have private land, 6 (24%) lived in kebele house and the rest 3 (12%) were living in private rent house. y ( ) Table 4.3 shows that, the total number of employees represented in the study from the Land Development and Management office of Bishoftu town were 25. The number and percentage of this group of participants that grouped in terms of six types of demographic variables, namely: sex, educational level, work experience, marital status, land Ownership and age. 4. Result and Discussion % Freq % Strongly disagree 30 8.5 28 7.9 5 1.4 33 9.3 20 5.7 Disagree 195 55.2 199 56.4 154 43.6 200 56.7 191 54.1 Neutral 105 29.7 101 28.6 161 45.6 84 23.8 120 34.0 Agree 22 6.2 23 6.5 31 8.8 33 9.3 19 5.4 Strongly Agree 1 .3 2 .6 2 .6 3 .8 3 .8 Total 353 100.0 353 100.0 353 100.0 353 100.0 353 100.0 Source: Own Survey Result (March, 2017) The above table 4.4 summarizes frequency, percentage, mean and standard deviation of the overall perceived responses of the resident groups of participants in the study, on the five indicators of good governance, namely: participation, transparency, accountability and responsibility, equity and fairness, and effectiveness and efficiency. Accordingly, as compared to the total number of this group of participants (353), the majority (more than half) of the participants responded on four of good governance principles, except the “accountability and responsibility” parameter, that they strongly disagree and disagree on the positively written statements under these five major indicator independent variables of good governance mentioned above. In specific terms, a total of 225 (63.7%) respondents strongly disagree and disagree on that the existing land administration scheme in Bishoftu is generally participatory. g y p p y On the other hand, 30 (8.5%) strongly disagree, and 195 (55.2%) disagree. ( ) g y g ( ) g Similarly, 227 (64.3%) strongly disagree and disagree on that the existing land administration scheme of Bishoftu town is generally transparent. From those 28 (7.9%) Strongly disagree and 199 (56.4) disagree. The finding obtained from open ended questionnaires for residents implies that; the ways of service provision of Bishoftu town land administration is very complicated and have no transparency and fairness. Similarly, 227 (64.3%) strongly disagree and disagree on that the existing land administration scheme of Bishoftu town is generally transparent. From those 28 (7.9%) Strongly disagree and 199 (56.4) disagree. The finding obtained from open ended questionnaires for residents implies that; the ways of service provision of Bishoftu town land administration is very complicated and have no transparency and fairness. y p p y Besides, the mean and standard deviation results displayed in the above table 4.4 prove the interpretation made above. 4. Result and Discussion Accordingly, out of the total employee-participants that involved in the study, 6 (24%) of them were females, and the remaining 19 (76%) were males. In terms of age, 5 (20%) were with 20-25 years of age, 8 (32%) with 26-30 years of age, and the remaining 12 employees, 4(16%) in each of the age rages: 31-35, 36-40, and >41. The other grouping variable applied was marital status. Based on this variable, 19 (76%) were married and the remaining 6 (24%) were unmarried. Academically, out of the 25 total number of participants 1 individual (4%) was below 12 grade, 5 (20%) with diploma, 16 (64%) with first degree, and 3 (12%) of them were with second degree. Other variable was the employee work experience. Accordingly, 6 (24%) employees have <1 year work expriace, 13 (52%) were 1-5 year, 4 (16%) were 6-10 year, and 2 (8%) employee were >10 year work experience. In terms of land Owner status, 16 (64%) have private land, 6 (24%) lived in kebele house and the rest 3 (12%) were living in private rent house. 5 5 www.iiste.org Journal of Resources Development and Management www.iiste.org 4.2: Separate Analysis and Interpretation on the Response of the Resident Groups Only. Table 4.4: Frequency Percentage Mean and Standard deviation of responses of resid indicator variables of good governance rate Analysis and Interpretation on the Response of the Resident Groups Only. 4.2: Separate Analysis and Interpretation on the Response of the Resident Groups Only. Table 4.4: Frequency Percentage Mean and Standard deviation of responses of residents on the five indicator variables of good governance Response Participation Transparency Accountability and Responsibility Equity and Fairness Efficiency and Effectiveness Mean S.D Mean S.D Mean S.D Mean S.D Men S.D 2.35 .734 2.35 .744 2.63 .686 2.36 .810 2.42 .719 Freq. % Freq. % Freq. % Freq. 4. Result and Discussion The mean and standard deviation figures representing the response of the resident group of participants on each indicator variables of good governance, namely: participation (M=2.35, S.D=0.734), transparency (M= 2.35, S.D=0.744), equity and fairness (M= 2.36, S.D=0.810) and effectiveness and efficiency (M= 2.42, S.D=0.719), generally mean can taken as in which existed between “disagree” and “neutral”. Except the accountability and responsibility variable with (M= 2.63, S.D=0.686) in which is nearer to “Neutral” in which is different fro other variables. However, to check what causes these lower levels of mean responses on the five indicators of good governance and assurance whether, these responses are true to the overall population or not, inferential statistical analysis procedures were followed using five grouping independent variables, namely: sex, age, educational status, marital status and land ownership status. With this premise, multivariate and correlation statistical analyses were made within and between the above two groups of variables: five demographic independent and five good governance indicator dependent variables using SPSS (version 20 ) statistical software as shown on the following consecutive tables. 6 Journal of Resources Development and Management www.iiste.org 4.3. Comparisons among Responses on the Five Indicators of Good Governance Based On Grouping Demographic Variables. Table 4.5: Comparisons among responses on the five indicators of good governance based on grouping demographic variables of residents groups Grouping Variable Sub group Measure Indicator OverallPerception on the Implementation of Good Governance Participation Transparency Accountability and Responsibility Equity and Fairness Effective-ness and Efficiency Sex male Mean 2.40 2.35 2.64 2.40 2.42 2.4422 N Std. Deviation 308 .722 308 .749 308 .697 308 .827 308 .715 308 .54160 female Mean 1.98 2.38 2.62 2.04 2.38 2.2800 N 45 45 45 45 45 45 Std. Deviation .723 .716 .614 .601 .747 .42082 Total Mean 2.35 2.35 2.63 2.36 2.42 2.4215 N 353 353 353 353 353 353 Std. Deviation .734 .744 .686 .810 .719 .53000 Land (House) Ownership Status private Mean 2.44 2.38 2.63 2.39 2.44 2.4556 N 284 284 284 284 284 284 Std. Deviation .747 .754 .683 .814 .703 .53737 Rent from kebele Mean 1.95 2.28 2.66 2.26 2.34 2.2985 N 65 65 65 65 65 65 Std. Deviation .543 .673 .691 .776 .776 .47713 Rent from Private Owners Mean 2.00 2.00 2.25 1.50 2.25 2.0000 N 4 4 4 4 4 4 Std. 4. Result and Discussion However, to check whether or not these perception differences exhibited due to “sex” and “land ownership status” demographic variables are true to the general population of the study, significance test had to be carried out. Hence, the next multivariate inferential statistical analysis was made to check the significance and practicality (effect size) levels of the preceding descriptive analysis result displayed between these two demographic variables and the independent good governance indicator variables. 4.4: Multivariate Analysis Result of Overall Perception of the Respondents on the Prevalence of Good Governance Table 4.6: Multivariate analysis result of overall Perception of the respondents on the Impelementation of good governance in the land administration system of Bishoftu town Source Type III Sum of Squares df Mean Square F Sig. Partial Eta Squared Sex Participation 2.355 1 2.355 4.747 .030 .014 Transparency .084 1 .084 .151 .698 .000 Effectiveness and Efficiency .193 1 .193 .371 .543 .001 Equity and Fairness 6.331 1 6.331 9.913 .002 .028 Accountability and Responsibility .403 1 .403 .851 .357 .002 Land Ownership status Participation 4.992 2 2.496 5.031 .007 .028 Transparency .851 2 .425 .762 .467 .004 Effectiveness and Efficiency .871 2 .435 .835 .435 .005 Equity and Fairness 4.278 2 2.139 3.349 .036 .019 Accountability and Responsibility .795 2 .398 .839 .433 .005 Sex Overall Perception on the Imlementation of Good Governance 1.106 1 1.106 4.012 .046 .011 Land Ownership status 1.490 2 .745 2.701 .069 .015 Source: Own Survey (March, 20170) 4.4: Multivariate Analysis Result of Overall Perception of the Respondents on the Prevalence of Good Governance Table 4.6: Multivariate analysis result of overall Perception of the respondents on the Impelementation of Multivariate Analysis Result of Overall Perception of the Respondents on the Prevalence of Go nance ate Analysis Result of Overall Perception of the Respondents on the Prevalence of Good Multivariate analysis result of overall Perception of the respondents on the Impelementation of nance in the land administration system of Bishoftu town y ( , ) From the above presentation of multivariate statistical analysis result on table 4.6,one can see that “sex” as a source (independent) variable showed significant, P< 0.05 value on : “ participation” (F=4.747 , P= .030), “Equity and Fairness” (F=9.913 , P=.002 ), and “ Overall Perception on the Prevalence of Good Governance” (F=4.012, P=0.046) independent variables. 4. Result and Discussion Deviation .000 1.155 .957 .577 .957 .43205 Total Mean 2.35 2.35 2.63 2.36 2.42 2.4215 N 353 353 353 353 353 353 Std. Deviation .734 .744 .686 .810 .719 .53000 Source: Own Survey Result (March, 2017) Comparisons among Responses on the Five Indicators of Good Governance based on Grouping Demographic Variables Showing Significant Differences (Sex and Land (House) Ownership Status of the 4.3. Comparisons among Responses on the Five Indicators of Good Governance Based On Grouping Demographic Variables. Table 4.5: Comparisons among responses on the five indicators of good governance based on grouping d hi i bl f id parisons among Responses on the Five Indicators of Good Governance Based On Grouping phic Variables. Source: Own Survey Result (March, 2017) y ( , ) Comparisons among Responses on the Five Indicators of Good Governance based on Grouping Demographic Variables Showing Significant Differences (Sex and Land (House) Ownership Status of the Participants) Based on the mean and standard deviation comparisons made between sex groups (male, and female), and among participants with varying land (house) ownership status (1. participants having private house, 2. participants renting from kebele, and 3. Those renting from private owners), close examination on the above response analysis result on table 4.5, tells two important trends that are worth analyzing further: 1. In relative terms, female resident participants exhibited lower mean response than males on the overall land administration practice as well as on each of the five measuring indicator variables used to check their perception on the level of various aspects signaling the prevalence of good governance characterizing the land 7 Journal of Resources Development and Management ww.iiste.org administration practice in Bishoftu town. This implies that females are less satisfied with the existing land management practice in Bishoftu than men as it is observed from their responses on almost all indicator variables except the “Transparency” variable. p p y 2.The mean response of resident participants having no private house (rented from kebele or rented in private owners) based on almost all parameters except on the “Efficiency and Effectiveness” variable reported to have lower satisfaction with the existing land management practice in Bishoftu than private house (land) owners in terms of both the overall land administration practice, as well as on each of the five measuring indicator variables used to check their perceived opinion characterizing the land administration practice in Bishoftu town in terms of good governance measuring indicators. 4. Result and Discussion Moreover, the effect size (Eta Squared) level of “sex” on these dependent variables, as shown on the table, is computed as: 0.014 (for participation), 0.028 (for Equity and Fairness), and 0.011(for Overall Perception on the Prevalence of Good Governance). Hence, from these significance test results, it can be concluded that the response of differences exhibited between the two sex groups in the resident group of participants is true, the general population only on these specific dependent variables. However, based on the corresponding effect size (d- values) for each dependent variable computed from sex as a source, the practicality level of the difference on all the three dependent variables can be interpreted as with low effect based on the following Cohen’s effect size interpretation rule of thumb. On the other hand, it should be noted that among the total of 353 resident participants involved in the study, the number of females (N=45 or 13%) respondents as compared to the number of males (N=308 or 87%) does not represent the real female to male ratio as indicated in the current population census results both at the national and global levels, which is estimated to be nearly 51% female and 49% male composition. Hence, the effect size score should not be taken for granted to consider the response difference as a source of sex to be practically insignificant. According to Cohen (1988) the most widely accepted rule of thumb for interpreting effect size: Effect sizes of d < 0.20 are interpreted as insignificant; values of d between 0.20 and 0.50 are interpreted as small 8 Journal of Resources Development and Management www.iiste.org ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 effects; values of d between 0.50 and 0.80 are interpreted as medium effects; and values of d larger than 0.80 are interpreted as large effects. Journal of Resources Development and Management effects; values of d between 0.50 and 0.80 are interpreted as medium effects; and values of d larger than 0.80 are interpreted as large effects. p g Similarly, the difference on land (house) ownership status amongst the resident participants as an independent source variable showed significant level of response difference: on the participation” with (F= 5.031, P=.007), and “Equity and Fairness” (F= 3.349, P= .036) good governance indicator independent variables. 4. Result and Discussion Thus, the status of residents in terms of land (house) ownership as an independent grouping variable for the whole population of Bishoftu can be taken as true segment of the population on which the land management practice of the town has to give due emphasis to insure fair, equitable and participatory manifestations of good governance on its land management system. rate Analysis and Interpretation on the Response of the Employee Group of Participants Only 7: Frequency, percentage, Mean and Standard Deviation of responses of employee on the five r variables of good governance discussed as following. 4.5. Separate Analysis and Interpretation on the Response of the Employee Group of Participants Only Table 4.7: Frequency, percentage, Mean and Standard Deviation of responses of employee on the five indicator variables of good governance discussed as following. Response Participation Transparency Accountability and Responsibility Equity and Fairness Efficiency and Effectivness Mean S.D Mean S.D Mean S.D Mean S.D Mean S.D 2.92 .812 2.68 1.069 2.80 .707 2.64 .810 2.68 .802 Freq. % Freq. % Freq. % Freq. % Freq. % Strongly disagree - - 2 8 - - 1 4 1 4 Disagree 9 36 11 44 9 36 11 44 10 40 Neutral 9 36 7 28 12 48 9 36 10 40 Agree 7 28 3 12 4 16 4 16 4 16 Strongly Disagree - - 2 8 - - - - - - Total 25 100 25 100 25 100 25 100 25 100 Source: Own Survey Result (March, 2017) y ( ) The above table 4.7 summarizes frequency, percentage, mean, and standard deviation of the overall perceived responses of the Employee groups of participants in the study, on the five indicators of good governance, namely: participation, transparency, accountability and responsibility, equity and fairness, and effectiveness and efficiency. Accordingly, as compared to the total number of this group of participants (25), (Less than half) of the participants responded on four of the variables, except the “Transparency” parameter, that 13 (52%) the strongly disagree and disagree on the positively written statements under these five major indicator dependent variables of good governance mentioned above. In specific terms, a total of 9 (36%) respondents “disagree” and” Neutral” that on the existing land administration scheme in Bishoftu is participatory. 4. Result and Discussion Efficiency and Effectiveness * Land (House) Ownership of the Participant Between Groups (Combined) 3.690 2 1.845 3.454 .050 Within Groups 11.750 22 .534 Total 15.440 24 Trancparency * Land (House) Ownership of the Participant Between Groups (Combined) .048 2 .024 .038 .864 Within Groups 11.464 22 .486 Total 11.944 24 Accountability and Responsibility* Land (House) Ownership of the Participant Between Groups (Combined) .063 2 .031 .058 .944 Within Groups 11.938 22 .543 Total 12.000 24 Equity and Fairness * Land (House) Ownership of the Participant Between Groups (Combined) 4.823 2 2.411 4.850 .018 Within Groups 10.938 22 .497 Total 15.760 24 Participation * Land (House) Ownership of the Participant Between Groups (Combined) .236 2 .118 .166 .848 Within Groups 15.604 22 .709 Total 15.840 24 overall good governance characteristics * Land (House) Ownership of the Participant Between Groups (Combined) .623 2 .311 .574 .572 Within Groups 11.937 22 .543 Total 12.560 24 Source: Own Survey Result (March, 2017) Variables Besides, even though six demographic variables, namely: sex, work experience, age, marital status land ownership status and educational status, as indicated on table 4.8, were considered to analyze differences of responses by employees on the five indicator variables of good governance and the overall practice land management in Bishoftu town, only the difference in terms of land ownership status of the employee respondents is found to exhibit significant difference on two of the five good governance indicator variables as indicated on table 4.8 These indicator variables include: “Efficiency and Effectiveness” with (F=3.454, P=0.050), and “Equity and Fairness” with (F= 4.850, P= 0.018). Besides, even though six demographic variables, namely: sex, work experience, age, marital status land ownership status and educational status, as indicated on table 4.8, were considered to analyze differences of responses by employees on the five indicator variables of good governance and the overall practice land management in Bishoftu town, only the difference in terms of land ownership status of the employee respondents is found to exhibit significant difference on two of the five good governance indicator variables as indicated on table 4.8 These indicator variables include: “Efficiency and Effectiveness” with (F=3 454 P=0 050) and “Equity and 4.6. Combined (Both Residents and Employees) Response Analysis Result Presentation and Interpretation Here analysis focused on both residents and employee response is analysis and interpreted as follows. 4. Result and Discussion The result from the interview with land higher officials also indicates that, there is less Residents “participation” on the updating plans and policies formulation of land administration.Similarly 9 (36%) of the respondents disagree and 12 (48) are “Neutral” on positively written statenmet that there is accountablty and responsibility in bishoftu town land administration system.According to the interview with land administration, key informant they were believed that there was not well organized super-vision in their institution. Moreover, less than half 12 (48%) of them strongly disagree and disagree that the existing land administration scheme in the town is characterized by equity and fairness. Generally, still less than half of the resident group of participants- 11 (44%) responded that they strongly disagree and disagree that the existing land administration system is efficient and effective. The result obtained from open ended questionnaire from employee side participants; In this view, limitations are mainly associated to land related policy, decision making, problem of recognize key roles, rule, regulation and procedure are lacked public participation. In a general, the key informant of land officials blame society for their unwilling to actively participated in their institutions rule, regulation and procedure progress. They agreed on that society come to their institution only to take service. The mean and standard deviation figures representing the response of the employee group of participants on each indicator variables of good governance, namely: participation (m=2.92, s.d=0.812), more and more nearer tp “neutral” response while accountability and responsibility variable with (m= 2.63, s.d=0.686).Equity and fairness (m= 2.64, SD=0.810), almost the same response wich lays between disagree and neutral response but more nearer to “neutral” and effectiveness and efficiency (m=2.86, s.d= 0.802), again transparency (m= 2.68, SD=0.810) are also lays between disagree and neutral wich is nearer to neutral again. a response of employees are generally taken as ranging between disagree and Neutral but nearer to “Neutral” when compared to residents response. Employee mean result is greater than mean of residents. According to interview with land official key informant the office has formerly put a clear and ope 9 Journal of Resources Development and Management www.iiste.org ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 delivery standard concerning each activity for each responsibility. However; most of the key informant believed that there is still a problem on implementation the rule and regulation of land administration. 4. Result and Discussion The major challenges raised by most of the key respondents during interview were; include: illegal construction, low Journal of Resources Development and Management www.iiste.org ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 Journal of Resources Development and Management www.iiste.org delivery standard concerning each activity for each responsibility. However; most of the key informant believed that there is still a problem on implementation the rule and regulation of land administration. The major challenges raised by most of the key respondents during interview were; include: illegal construction, low commitment of investors in construction at a given time or using the land taken for other purpose, lack of employee’s commitment in their job are among the major challenges faced in their institution. Table 4.8: Presentation on the significance level of responses on the five indicators of good governance based on grouping demographic variables of responses by Employees delivery standard concerning each activity for each responsibility. However; most of the key informant believed that there is still a problem on implementation the rule and regulation of land administration. The major challenges raised by most of the key respondents during interview were; include: illegal construction, low commitment of investors in construction at a given time or using the land taken for other purpose, lack of employee’s commitment in their job are among the major challenges faced in their institution. g p g g p p y p y Variables Sum of Squares df Mean Square F Sig. 4. Result and Discussion Table 4.9: Mean and Standard Deviation of responses by both residents and employees on the five indicator variables of good governance Variable Mean S.D N Participation 2.38 .752 378 Transparency 2.38 .772 378 Accountability and Responsibility 2.65 .688 378 Equity and Fairness 2.38 .812 378 Effectiveness and Efficiency 2.43 .726 378 Overall Implementation of Good Governance 2.44 .550 378 Source: Own Survey Result (March, 2017) (Both Residents and Employees) Response Analysis Result Presentation and Interpretation cused on both residents and employee response is analysis and interpreted as follows. The mean and standard deviation of responses by the overall group of participants (both residents and employees) on the majority of good governance indicator variables, can be traced from the above table 4.9, can be interpreted as ranging from between “disagree” and “Neutraal” except the “accountability and responsibility” 10 Journal of Resources Development and Management www.iiste.org ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 variable which can be interpreted with higher mean when compared to other variables with (Mean 2.65 and SD 0.688). Journal of Resources Development and Management g ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 variable which can be interpreted with higher mean when compared to other variables with (Mean 2.65 and SD 0.688). The rest” participation”,”taransparency”,and ”equity and fairness” have the same mean value with (Mean 2.38 and SD 0.752) in wich is nearer to disagree response . However, to check whether or not these low levels of mean and standard deviation results are true to the overall population that this study is representing and measuring the strength of association multivariate and correlation analyses procedure had to be followed as indicated on tables 4.10 and 4.11 of the below. 10: Multivariate analysis on Significance Levels Group, Sex, and Land Ownership Status f h G l G R V i i I di V i bl f G d G ivariate analysis on Significance Levels Group, Sex, and Land Ownership Status eneral Group versus Response Variations on Indicator Variables of Good Governance Table 4.10: Multivariate analysis on Significance Levels Group, Sex, and Land Ownershi Table 4.10: Multivariate analysis on Significance Levels Group, Sex, and Land Ownership Status Variation of the General Group versus Response Variations on Indicator Variables of Good Governance Source Variable Type III Sum of Squares df Mean Square F Sig. 4. Result and Discussion Partial Eta Squared Group of Participant Participation 11.454 1 11.454 22.569 .000 .057 Transparency 2.688 1 2.688 4.550 .034 .012 Accountability and Responsibility .660 1 .660 1.389 .239 .004 Equity and Fairness 3.326 1 3.326 5.225 .023 .014 Effectiveness and Efficiency 2.155 1 2.155 4.128 .043 .011 Overall Implementation of Good Governance 3.551 1 3.551 12.23 .001 .032 Sex Participation 4.914 1 4.914 9.683 .002 .025 Transparency .439 1 .439 .743 .389 .002 Accountability and Responsibility .013 1 .013 .026 .871 .000 Equity and Fairness 3.240 1 3.240 5.090 .025 .013 Effectiveness and Efficiency .001 1 .001 .002 .966 .000 Overall Implementation of Good Governance .418 1 .418 1.438 .231 .004 Land (house) Ownership Status Participation 9.983 1 9.983 19.671 .000 .050 Transparency .897 1 .897 1.519 .218 .004 Accountability and Responsibility .050 1 .050 .106 .745 .000 Equity and Fairness 4.944 1 4.944 7.768 .006 .020 Effectiveness and Efficiency 2.004 1 2.004 3.840 .051 .010 Overall Implementation of Good Governance 2.193 1 2.193 7.56 .006 .020 Source: Own Survey Result (March 2017) 10: Multivariate analysis on Significance Levels Group, Sex, and Land Ownership Status n of the General Group versus Response Variations on Indicator Variables of Good Governance Table 4.10: Multivariate analysis on Significance Levels Group, Sex, and Land Owner Variation of the General Group versus Response Variations on Indicator Variables of Good G ariation of the General Group versus Response Variations on Indicator Variables of Good Governa Source: Own Survey Result (March, 2017) Source: Own Survey Result (March, 2017) Based on the above overall combined multivariate statistical analysis computed amongst the three demographic characteristics of the participants, namely, group, Sex, and land ownership status as an independent grouping variables versus five indicator variables of good governance, group difference (1=resident, 2= Employee) showed significant difference in all perceived responses on good governance indicator variables except “Accountability and Responsibility variable” Similarly, the mean response difference on “participation” and “ Equity and Fairness” good governance indicator variables as a result of the sex variation exhibited significant level of difference on the response of the respondents on these two indicator dependent variables with P-value < 0.05, with (F=9.683, P=.002) (d=0.025), and (F=5.090, P=..025) (d=0.013) values respectively. However, the significant difference exhibited by the sex variable on the separate resident group’s only analysis on the overall implementation of good governance principles is not proved to be significant at this combined group analysis level. Moreover, the difference on the land ownership status of the respondents also showed significant difference on “participation”, “equity and fairness”, and “overall implementation of good governance principles” that were taken as dependent indicator variables as depicted on table 4.10 of the above. Taking the corresponding significance and correlation coefficient figures that the “overall manifestation of good governance” and the five specific indicator variables in to consideration in the next table 4.11, they all can be interpreted as with high level of correlation and highest level of significance based on the following Evans’s criteria of interpreting correlation that can even be true at 99% confidence level. This proves that the instrument used to evaluate the implementation of good governance principles in the land administration system of Bishoftu town can be taken as a good measuring framework.(Evans , 1996) criteria for interpreting correlation coefficients: 11 Journal of Resources Development and Management www.iiste.org ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 1.00- perfect correlation 0.80 to 0.99-very high correlation 0.60 to 0.79-high correlation 0.40 to 0.59- moderate correlation 0.20 to 0.39- low correlation 0.001 to 0.19- very low correlation. Table 4.11: Correlation between differences on demographic characteristics on both groups and their response on indicator variables of good governance Group of the Participant 1=Resident, 2= Employee Pearson Correlation 1 .148** .082 .190** .105* .060 .087 .090 .153** Sig. Source: Own Survey Result (March, 2017) (2-tailed) .004 .112 .000 .041 .246 .092 .079 .003 Status of Land Tenure Owner ship: 1=Having Private land(house) 2=Rented from Kebele House 3=Rented from Private Owners Pearson Correlation .148** 1 .076 - .196** -.044 -.007 - .134** -.086 - .119* Sig. (2-tailed) .004 .139 .000 .391 .888 .009 .094 .021 Sex 1= male, 2= female Pearson Correlation .082 .076 1 - .150** .049 .012 - .116* -.001 -.057 Sig. (2-tailed) .112 .139 .003 .346 .814 .024 .979 .270 Participation Pearson Correlation .190** -.196** - .150** 1 .482** .274** .311** .267** .639** Sig. (2-tailed) .000 .000 .003 .000 .000 .000 .000 .000 Transparency Pearson Correlation .105* -.044 .049 .482** 1 .491** .422** .442** .779** Sig. (2-tailed) .041 .391 .346 .000 .000 .000 .000 .000 Accountability and Responsibility Pearson Correlation .060 -.007 .012 .274** .491** 1 .419** .394** .703** Sig. (2-tailed) .246 .888 .814 .000 .000 .000 .000 .000 Equity and Fairness Pearson Correlation .087 -.134** - .116* .311** .422** .419** 1 .519** .748** Sig. (2-tailed) .092 .009 .024 .000 .000 .000 .000 .000 Effectiveness and Efficiency Pearson Correlation .090 -.086 -.001 .267** .442** .394** .519** 1 .709** Sig. (2-tailed) .079 .094 .979 .000 .000 .000 .000 .000 Overall Implementation of Good Governance Pearson Correlation .153** -.119* -.057 .639** .779** .703** .748** .709** 1 Sig. (2-tailed) .003 .021 .270 .000 .000 .000 .000 .000 N 378 378 378 378 378 378 378 378 378 **. Correlation is significant at the 0.01 level (2-tailed). **. Correlation is significant at the 0.01 level (2-tailed). *. Correlation is significant at the 0.05 level (2-tailed). y ( , ) A correlation coefficient is supportive means to review the relationship between two variables with a single number that falls between -1 and +1 (Kothari, 1990) A correlation analysis with Pearson´s correlation coefficient (r) was performed on all variables in this study to look at the relationship between good governance variables as indipendet variables and overall good governance manifestation as depenedt variables. g ( ) *. Correlation is significant at the 0.05 level (2-tailed). g ( ) Source: Own Survey Result (March, 2017) Source: Own Survey Result (March, 2017) p g g p Pearson correlation coefficients were calculated for each relationship between; Groups of the Participant, Status of Land Tenure Owner ship, Sex of participants and variables with the overall good governance implementation.The Pearson correlation coefficient show that all the five good governance dimensions and significant demographic variables are significantly, Negetivily and positively correlate with overall good governance implementation, Transparency, equity and fearness , Efficiency and Effectiviness,(r=.779), (r=.748), and (r=.709) respectively; have the highest correlation with overall Good Governance Implementation. When the Status of land ownership (r= -.119) has the lowest correlation with overall manifestation of good governance. Pearson correlation coefficients were calculated for each relationship between; Groups of the Participant, Status of Land Tenure Owner ship, Sex of participants and variables with the overall good governance implementation.The Pearson correlation coefficient show that all the five good governance dimensions and significant demographic variables are significantly, Negetivily and positively correlate with overall good governance implementation, Transparency, equity and fearness , Efficiency and Effectiviness,(r=.779), (r=.748), and (r=.709) respectively; have the highest correlation with overall Good Governance Implementation. When the Status of land ownership (r= -.119) has the lowest correlation with overall manifestation of good governance. Pearson correlation coefficients were calculated for each relationship between; Groups of the Participant, Status of Land Tenure Owner ship, Sex of participants and variables with the overall good governance implementation.The Pearson correlation coefficient show that all the five good governance dimensions and significant demographic variables are significantly, Negetivily and positively correlate with overall good governance implementation, Transparency, equity and fearness , Efficiency and Effectiviness,(r=.779), (r=.748), and (r=.709) respectively; have the highest correlation with overall Good Governance Implementation. When the Status of land ownership (r= -.119) has the lowest correlation with overall manifestation of good governance. 12 Journal of Resources Development and Management www.iiste.org ISSN 2422-8397 An International Peer-reviewed Journal Vol.85, 2022 5. Conclusion and Recomendation This research tried to assess urban land administration system of bishoftu town from the perspective of good governance principles implementation. The existing land administration practice in Bishoftu town can be characterized as it is not participatory as it is expected to be by its citizens. It shows a tendency of biasedness by sex, social group, and land ownership status differences of the general public. In none of all the five indicator parameters of good governance, the existing land administration Implementation in Bishoftu town not perceived as good by any of the social, economic, demographic groups considered in the study. Even the town’s Land Development and Management Office employees characterized it as “satisfactory.” “Participation” and “Fairness and Equity” are the most problematic points on which the land administration practice of Bishoftu town is found to be ineffective and insufficiently implementing good governance principles to the expectation level of the citizens. The instrument used to evaluate the implementation of good governance principles in the land administration system of Bishoftu town can be taken as a good measuring framework. 5.1 Recommendations Based on the findings of the study, the researcher found it vital to put ways forward. Accordingly, the study has the following policy recommendations for interventions based on the findings. In order to bring good governance and better land administration system in Bishoftu, the town’s administration should focus on making its overall practices more participatory as it expected to be by its citizens without discriminating any of the social, economic and demographic group in it. Fair and equitable resource distribution has to be practiced in Bishoftu town’s land administration system, so that good governance can be achieved. REFERENCE REFERENCE Abdellatif, A. M. (2003). 3 . Good Governance and Its Relationship to Democracy and Economic Development, (May), 1–27. ( y), Abrham Daniel. (2014). The Challenges and Opportunities of Goood Govrnance in Ghana,Addis Ababa University. Addis Ababa Univeristy. Adane Bekele. (2013). The Chaleenges of good governance in africa :the case of Keniya. Addis Ababa University. AGGN, Re. and P. C. of the. (2010). Addressing Good Governance In Africa A Discussion P paper. AGGN Research and Puplication committee. 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(2005). Second Language Research, Methodology and Design, 9(3), 3–4. ( ) Mansberger, R., Navratil, G., Muggenhuber, G., Twaroch, C., Good, I., & Landadministration, D. (2012). Is Good Governance in Land Administration Measurable and Comparable ?, 63(1). Mardiasmo, Diaswati and barnes, paul, H.and sakuri, Y. (2008). Implementation of Good Governance by Regional Governments in Indonesia : The Challenges in Brown,Kerry A and Mandell, Myrna and furneaux. Retrieved from d.mardiasmo@qut.edu.au 14 Journal of Resources Development and Management www.iiste.org Masuku, M. B. (2014). REFERENCE Towards good land governace in Tanzania;The Case Of Urba Hague ,the Nethrlands. Tony burns and Kate Dalrymple. (2008). Conceptual Framework for Governance in Land Administration 1. Stockholm,Sweden. Tukstra, Jan, R. S. (2012). Sustaining Urban Land Information : a frame work based on experiences in post Conflict and Developing Countreis, 1-27. Retrieved from ww.gltn.net UGGPOE. (2006). 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Assessment of the Prevalence of Good Governance In The Public Sector : the Case of Public Institutions in Debre Statement of Declaration. mekele university. Yirga, K. (2010). Assessment of the Prevalence of Good Governance In The Public Sector : the Case of Public Institutions in Debre Statement of Declaration. mekele university. Z.Dornyei. (2007). Research in applied Linguistcs. In san francisco state U. Priyanvada Abeywickerama (Ed.) Dornyei. (2007). Research in applied Linguistcs. In san francisco state U. Priyanvada Abeywickerama (p. 336). New York. Zarfu Hailu. (2016). Using LGAF as an Input into ongoing and future law Revision :Lessons from Ethiopia. Zimmermannn, W. (n.d.). Effective and Transparent Management of Public Land Experiences , Guiding Principles and Tools for Implementation. In I. International Seminar on State and Public Land Management in Verona (Ed.), september,2008 (pp. 1–17). 15
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Evaluating impact from research: A methodological framework
Research policy
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A B S T R A C T i Our guidance enables impact evaluation design to be tailored to the aims and context of the evaluation, for example choosing a design to establish a body of research as a necessary (e.g. a significant contributing factor amongst many) or sufficient (e.g. sole, direct) cause of impact, and choosing the most appropriate evaluation design for the type of impact being evaluated. i g yp p g Conclusion: Using the proposed definitions, typology and methodological framework, researchers, funders and other stakeholders working across multiple disciplines can select a suitable evaluation design and methods to evidence the impact of research from any discipline. Evaluating impact from research: A methodological framework M.S. Reed a,g,*, M. Ferr´e b,f, J. Martin-Ortega b, R. Blanche c, R. Lawford-Rolfe d, M. Dallimer b, J. Holden e a Thriving Natural Capital Challenge Centre, Department of Rural Economies, Environment & Society, Scotland’s Rural College (SRUC), Peter Wilson Building, Kings Buildings, West Mains Road, Edinburgh EH9 3JG b Communication and Performing Arts, School of Arts, Social Sciences and Management, Queen Margaret University, Queen Margaret University Way, 6UU, United Kingdom d School of Earth & Environment, University of Leeds, Leeds, LS2 9JT, United Kingdom e School of Geography, University of Leeds, Leeds, LS2 9JT, United Kingdom g f p ( ), ff , , g Centre for Rural Economy and Institute for Agri-Food Research and Innovation, School of Natural and Environmental Sciences, Newcastle University, Agriculture Building, Newcastle upon Tyne NE1 7RU, United Kingdom A B S T R A C T Aims: This paper analyses literature to provide a new definition of research impact and impact evaluation, develops a typology of research impact evaluation designs, and proposes a methodological framework to guide evaluations of the significance and reach of impact that can be attributed to research. Method: An adapted Grounded Theory Analysis of research impact evaluation frameworks drawn from cross-disciplinary peer-reviewed and grey literature. Results: Recognizing the subjective nature of impacts as they are perceived by different groups in different times, places and cultures, we define research impact evaluation as the process of assessing the significance and reach of both positive and negative effects of research. i p p g g gi p Method: An adapted Grounded Theory Analysis of research impact evaluation frameworks drawn from cross-disciplinary peer-reviewed and grey literature. Results: Recognizing the subjective nature of impacts as they are perceived by different groups in different times, places and cultures, we define research impact evaluation as the process of assessing the significance and reach of both positive and negative effects of research. i i Method: An adapted Grounded Theory Analysis of research impact evaluation frameworks drawn from cross-disciplinary peer-reviewed and grey literature. Results: Recognizing the subjective nature of impacts as they are perceived by different groups in different times, places and cultures, we define research impact evaluation as the process of assessing the significance and reach of both positive and negative effects of research. i types of impact evaluation design are identified encompassing a range of evaluation methods and approaches: i) experimental and arts-based methods; iii) systems analysis methods; iv) indicator-based approaches; and v) evidence synthesis approache i impact evaluation design are identified encompassing a range of evaluation methods and approaches: i) experimental and stati -based methods; iii) systems analysis methods; iv) indicator-based approaches; and v) evidence synthesis approaches. yp p gi p g g pp ) p ; ) , oral and arts-based methods; iii) systems analysis methods; iv) indicator-based approaches; and v) evidence synthesis approaches. Our guidance enables impact evaluation design to be tailored to the aims and context of the evaluation, for example choosing a design to establish a body of research as a necessary (e.g. a significant contributing factor amongst many) or sufficient (e.g. sole, direct) cause of impact, and choosing the most appropriate evaluation design for the type of impact being evaluated. * Corresponding author. E-mail address: mark.reed@sruc.ac.uk (M.S. Reed). A B S T R A C T Background: Interest in impact evaluation has grown rapidly as research funders increasingly demand evidence that their investments lead to public benefits. i Background: Interest in impact evaluation has grown rapidly as research funders increasingly demand evidence that their investments lead to public benefits. Aims: This paper analyses literature to provide a new definition of research impact and impact evaluation, develops a typology of research impact evaluation designs and proposes a methodological framework to guide evaluations of the significance and reach of impact that can be attributed to research. Method: An adapted Grounded Theory Analysis of research impact evaluation frameworks drawn from cross-disciplinary peer-reviewed and grey literature. Results: Recognizing the subjective nature of impacts as they are perceived by different groups in different times, places and cultures, we define research impact evaluation as the process of assessing the significance and reach of both positive and negative effects of research. Five types of impact evaluation design are identified encompassing a range of evaluation methods and approaches: i) experimental and statistical methods; ii) textual oral and arts-based methods; iii) systems analysis methods; iv) indicator-based approaches; and v) evidence synthesis approaches. Our guidance enables impact evaluation design to be tailored to the aims and context of the evaluation, for example choosing a design to establish a body of research as a necessary (e.g. a significant contributing factor amongst many) or sufficient (e.g. sole, direct) cause of impact, and choosing the most appropriate evaluation design for the type of impact being evaluated. i Background: Interest in impact evaluation has grown rapidly as research funders increasingly demand evidence that their investments lead to public benefits. Aims: This paper analyses literature to provide a new definition of research impact and impact evaluation, develops a typology of research impact evaluation designs, Background: Interest in impact evaluation has grown rapidly as research funders increasingly demand evidence that their investments lead to public benefits. Aims: This paper analyses literature to provide a new definition of research impact and impact evaluation, develops a typology of research impact evaluation designs, and proposes a methodological framework to guide evaluations of the significance and reach of impact that can be attributed to research. Background: Interest in impact evaluation has grown rapidly as research funders increasingly demand evidence that their investments lead to public benefits. Research Policy 50 (2021) 104147 Research Policy 50 (2021) 104147 lished by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/) 0048-7333/© 2020 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). 2.1. What is research impact? However, it is increasingly clear that the relationship between research and societal impact is far more indirect, non-linear, and com­ plex than many evaluation frameworks allow (Bornmann, 2012; UNEG, 2013). Indeed, it is rare for an impact in any domain to be solely attributable to a single research project or output. More commonly, impacts arise from a body of knowledge that may include hundreds or even thousands of strands of research, some of which may stretch back several decades (Morris et al., 2011). Moreover, effects from research are often mediated by many other enabling factors (e.g. new incentives, economic volatility or changing attitudes) without which the impacts would not have been possible. Furthermore, pathways to impact (the knowledge exchange or engagement activities that facilitate impacts; UKRI, 2018), are often littered with unintended positive or negative consequences Alvarez et al., 2010), time lags (Morris et al., 2011; San­ jari et al., 2014), lack of researcher control over the implementation of recommendations (Rau et al., 2018), ethical challenges (Sanjari et al., 2014), spillover effects and knowledge creep (Penfield et al., 2014) and that makes evaluation difficult. Even when these factors are taken into account, few evaluations of research impact draw on the latest literature or are aware of the full range of evaluation options available (Stem et al., 2005). A number of definitions of research impact have been developed, primarily in technical documents guiding research assessments (e.g. Australian Research Council, 2017; Research England, 2019) or within narrow disciplinary contexts (e.g. Halse and Mowbray, 2011; Neider­ man et al., 2015; Alla et al., 2017). Alla et al. (2017) reviewed 108 research impact definitions, noting the tendency to discuss rather than define impact, and called for greater conceptual clarity on impact (their definition was tailored specifically for use in health policy contexts). There are problems with many of the existing definitions of research impact. For example, they tend to restrict their focus to certain types of beneficiary leading to the exclusion of others (e.g. Research England’s (2019) anthropocentric focus on “economy, society and/or culture” to the apparent exclusion of environmental impacts, non-human benefi­ ciaries and future generations). They also typically combine definitions of impact with typologies, listing examples of types of impact as (part of) their definition (e.g. Nutley et al. 1. Introduction evidence to justify budgetary requests to governments. The drive to evaluate the societal impact of research is exemplified by the assessment of non-academic impact by the UK’s Research Excellence Framework in 2014 and 2021 (REF; the system for assessing the quality of research in UK higher education institutions), and the growing trend to evaluate research impact at national scales around the world (Box 1). Interest is growing rapidly in the evaluation of non-academic bene­ fits or “impacts” (see Section 3 for definition) arising from research, as funders and Governments around the world increasingly seek evidence of the value of their research investments to society (Edler et al., 2012; Oancea, 2019). The growth of research over the past few decades has outstripped available public funding in many countries, leading to dis­ cussions about how to get best value from research, particularly basic research which may not have immediate application (Boreman, 2012). The Global Financial Crisis of 2007/8, further intensified discussions about how to measure the quality of research and how to evaluate its societal value, to provide public research funding agencies with In this paper, we refer to evaluation as the process of collecting and interpreting data to assess the significance, reach and attribution of impacts from research. We refer to evidence as the communication or “demonstration” of impact based on robust evaluation. However, defining the benefits of research is a highly subjective process, and a benefit for one group in one place, time and culture, may be perceived as damaging the interests of others (e.g. other groups, future generations or * Corresponding author. E-mail address: mark.reed@sruc.ac.uk (M.S. Reed). 0048-7333/© 2020 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://cre M.S. Reed et al. Research Policy 50 (2021) 104147 framework within which to think critically about a diverse range of impacts from research from any discipline. the environment). The diversity of benefits and perceptions of benefits arising from research presents a major methodological challenge for evaluating and evidencing impact claims (as an illustration, 3709 unique impact pathways were identified from the 6679 case studies submitted to REF2014; Grant, 2015). In the face of such diversity, there can be no single process or checklist for evaluating and evidencing impact. Rather, methods need to be adapted to the unique impacts, pathways and contexts associated with research on a case-by-case basis. 2.1. What is research impact? (2007) and Morton (2015) define impact as changes in: “awareness, knowledge and understanding; ideas, attitudes and perceptions; and policy and practice as a result of research”). Temporal dimensions of impact are rarely considered; as Brewer (2011, p.256) noted, impact “varies over time and can change, positively or negatively, at the one-point snapshot whenever it is measured”. It is also worth considering how the significance of past events can be revised as contexts change and the importance of an event becomes clearer, and hence evaluations of impact may always have to be considered provisional e.g. insights from the philosophy of history suggest that views of the significance of past events change repeatedly based future events, and hence historical significances can never be fixed once and for all (Danto, 1962). i As a result, many evaluations of research impact are not able to capture the multifaceted, complex and long-term benefits arising from research, and so can lack credibility and potentially offer few lessons to enhance future practice in research or impact domains (Cartwright and Hardie, 2021; Woolcock, 2013). In response to these challenges, there have been calls for research impact evaluation to draw on mixed methods approaches (Gaunand et al., 2015), triangulating evidence from multiple sources to demonstrate rigour (Reed, 2018). Evaluating and evidencing impact is harder for some research dis­ ciplines than others. The impact agenda aligns well with the norms and practices of some (especially more applied) disciplines and the intrinsic motivations of certain researchers, legitimising their investment of time and energy in the pursuit of impact (Watermeyer, 2019). However, there is evidence that other researchers (especially from arts, humanities and pure science disciplines), whose work may have no obvious or concrete application or immediate/obvious public interest, are concerned by expectations that their work should generate impact, and feel that their academic freedom is under threat from the increasing evaluation (and especially metricisation) of impact (Chubb et al., 2017; Bulaitis, 2017; Chubb and Reed, 2018). With this in mind, it is important to emphasise that rather than legitimizing a narrowing and instrumentalization of impact through evaluation, we seek to provide a holistic and adaptive i The most widely used definitions rarely explicitly recognise the subjectivity associated with determining who benefits from research and how, and the extent to which research can be shown to have made a necessary or sufficient contribution towards the benefit. 2. Definitions: What is research impact evaluation? 2. Definitions: What is research impact evaluation? 1. Introduction In this paper we attempt to tackle some of the key challenges of evaluating and evidencing impacts arising from research. We do so by proposing a comprehensive research impact evaluation typology and methodological framework, based on an analysis of evaluation frame­ works from multiple disciplines. Methodological frameworks currently available are not well adapted for application beyond the disciplines within which they were originally developed. By comparing impact evaluation frameworks from different research fields, we hope to enable researchers, funders and other stakeholders, to easily select (and where relevant integrate) the most appropriate methods for evaluating and evidencing the impact of research. Our analysis makes a theoretical contribution by providing new and universally applicable definitions of research impact and impact evaluation in a field that is dominated by discipline-specific and technocratic definitions. We make a methodo­ logical contribution by proposing the first typology of research impact evaluation designs, which we use as the basis for a wider methodological framework to guide rigorous impact evaluations in any discipline. There is no shortage of methods for evaluating research impact (Alla et al., 2017; Reed, 2018). The challenge therefore lies in choosing the most appropriate methods in an evaluation design that is suited to a given impact and context. Guidance from the realms of evidence-based policy/practice and research-informed international development typi­ cally follows a hierarchy of methods, based implicitly on their assumed accuracy and minimization of bias (e.g. Gertler et al., 2011; HM Trea­ sury, 2011; USAID, 2011). Randomised controlled trials sit at the top of this notional hierarchy, followed by quasi-experiments, mixed methods and qualitative methods. Implicit in this hierarchy is the idea that quantitative measures are superior to qualitative approaches. This hi­ erarchy may be valid in the evaluation of some types of impact in certain contexts, for example where it is possible to isolate and evidence the sole cause (e.g. an intervention based on research) of any given effect (the impact). 2.1. What is research impact? the research was a significant contributing factor amongst other causes but was not sufficient alone to generate the impact); or ii) sufficient, implying that a body of research alone was sufficient to generate the impact. A “body of research” could range from a body of evidence within a single project or programme to a body of work by a single researcher or group or a wider body of research by multiple authors and teams on a given topic. We distinguish between necessary and sufficient causation on the basis of literature from philosophy (e.g. Mackie, 1974), law (e.g. Greene and Darley, 1998; Braham and Van Hees, 2009), and mathe­ matics (e.g. Pearl, 1999; Tian and Pearl, 2000), which has been applied in contexts as broad as epidemiology (e.g. Parascandola and Weed, 2001), genetics (Moss, 1981) and international development (Mayne, 2012). Our approach focuses on evaluating impact: i) on individuals and organisations (including funders) who may be engaging directly with research, who are the object of research, or are being targeted in other ways as beneficiaries of a research project; and ii) those indirectly affected by research. We are interested in how these individuals or or­ ganisations learn, think, behave and benefit (or are compromised or harmed) as a result of their engagement with research. As such, evalu­ ation of impact must go beyond the measurement of outcomes to more nuanced assessments of tacit and implicit effects of research that may need to be accessed indirectly and evaluated in qualitative terms. Based on the definition of impact above, it is clear that impact evaluation is not only concerned with identifying ultimate, end-of-pipe impacts (e.g. economic or health and wellbeing benefits), but also the range of in­ termediate impacts that occur on the pathway to impact (e.g. under­ standing/awareness, behaviour change and policy). i As such, the task of any impact evaluation is to establish whether or not there is a causal relationship between research and impact, providing evidence that the research was necessary (at least) or suffi­ cient (at best). Necessary and sufficient cause can be established in a number of ways. Counterfactual causation is demonstrated by showing that it is plausible that the research led to the impact and that the impact would not have been possible without the research. Additive causation is demonstrated by showing a dynamic relationship between research and impact variables, such that one varies with the other. 2.1. What is research impact? Impact is in the eye of the beholder; a benefit perceived by one group at one time and place may be perceived as harmful or damaging by another group at the same or another time or place. These value judgements and assumptions are implicit in most definitions of research impact, which are rarely unpacked (the word “impact” could refer to positive or negative effects of research, but the implicit focus is on benefits (Australian Research Council, 2017; Research England, 2019; Samuel and Derrick, 2015). A researcher aspiring to achieve one impact may discover unexpected alternative benefits or unintended negative consequences. As such, there is a normative assumption underpinning the “impact agenda” that 2 M.S. Reed et al. Research Policy 50 (2021) 104147 of perspectives on the outcomes of the research, whether positive or negative, based on the same ethics that govern the research process itself. i research should seek positive and not negative impacts. This focus on seeking positive outcomes matches perceptions of impact evaluators who were interviewed by Samuel and Derrick (2015) as part of the REF2014 process, which showed most viewed impact as an “outcome” that they would define as a “change” or “difference” that was con­ ceptualised by some as the “final” outcome and by others as a series of secondary or intermediary outcomes that may ultimately lead to the final outcome. As such, our definition recognises and makes explicit this normative dimension of impact as benefit. i We therefore define research impact evaluation as the process of assessing the significance and reach (defined later in this section) of both positive and negative effects of research. Impact may be evaluated over different time horizons, at different social scales (from individuals to society), spatial scales (from local to international) and across multiple domains (including social, economic, environmental, health and well­ being, and cultural). In addition to these ultimate impact domains, there are a range of intermediary domains where impacts can occur, including understanding/awareness, attitudinal change, behaviour change and decision-making, policy and capacity building (based on Reed’s (2018) impact typology). i Finally, definitions of research impact rarely consider the nature or level of attribution between research and impact, which can vary considerably. The causal relationship between research and impact can be: i) necessary, implying that a body of research was necessary to generate the impact but could not alone have caused the impact (i.e. 2.1. What is research impact? Generative causation is demonstrated by showing the mechanism or process that causes the research to generate impact. Each of these types of cause and effect relationship may be demonstrated probabilistically, for example using experimental design and statistics, or through triangulation, where multiple sources of evidence are compared to infer a likely rela­ tionship (Pawson, 2013). The extent to which sufficient or necessary causation is required in any evaluation will depend on the context, with high risk or controversial claims typically requiring a higher burden of proof, for example where impact claims (such as the efficacy of a medical treatment) could lead to harm if later disproven. In these con­ texts, evaluations require significant research investment (for example, commissioning randomised controlled trials). i Significance and reach are the two most commonly used criteria to assess impact from research (as used, for example, in the UK’s Research Excellence Framework). The significance of an impact can be defined as the magnitude, or intensity of the effect of research on individuals, groups or organisations (after Alvarez et al. (2010) and Research En­ gland (2019)). The reach of an impact can be defined as the number, extent or diversity of individuals, groups or organisations that benefit from research (after Douthwaite et al. (2003) and Research England (2019)). Reach can be understood in two ways. First, scaling-out refers to an impact spreading socially (from one individual, community, organisation or interest group to another) and/or spatially (e.g. from the farm to the catchment level, or from one state or country to another). Second, scaling-up and scaling-down refer to an impact reaching a higher or lower institutional or governance level, for example, from influencing individual behaviour change and changing policy mecha­ nisms (e.g. regulation) to influencing the policy frameworks within which those mechanisms sit. Alternatively, scaling-up could range from changing individual perceptions, to social learning (where ideas spread through social networks to become situated in Communities of Practice or social units; c.f. Reed et al., 2010). To take another example, scaling-up could range from informal changes in individual professional practice to changes in codes of conduct, professional guidance or organisational practice. These processes can operate in reverse, where impacts scale-down from higher to lower institutional or governance levels, for example evidence-based policies, operationalised through regulation, may lead to individual behaviour change. 2.1. What is research impact? These two di­ mensions of reach are linked in the sense that scaling-up an impact to higher institutional levels increases the probability of more widespread adoption of ideas, practices and other changes that reach new benefi­ ciaries at wider social or spatial scales. Building on these considerations, we define research impact as demonstrable and/or perceptible benefits to individuals, groups, orga­ nisations and society (including human and non-human entities in the present and future) that are causally linked (necessarily or sufficiently) to research. 2.2. What is research impact evaluation? Although by definition (see previous section) the impact agenda fo­ cuses on benefits, it is clear that there may be a variety of perspectives that may challenge whether or not research led to unquestionably beneficial outcomes. It is therefore essential that the process of impact evaluation looks even-handedly at these different perspectives to pro­ vide researchers with formative feedback that can enable them to learn from mistakes, identify and hopefully reduce negative outcomes during the pathway to impact and build capacity for more responsible research and innovation (Scriven, 1991; Patton, 1996; Joly et al., 2017). If this is not possible, then an impact evaluation needs to represent the diversity 3. Methods an important contributing factor) or sufficient (e. g. sole attribution) cause of impact (see Section 2.1). Given the wide range of frameworks and methods that can be adapted to evaluate impact from almost every discipline, the goal was to generalize across this literature (rather than to provide an exhaustive list of frameworks and methods) to identify a comprehensive list of distinctive types of impact evaluation. We sought to illustrate the breadth of methods available to operationalise each type of evaluation and show how different approaches and methods can be used to evaluate different types of impact. Google Scholar (for peer-reviewed literature and books) and Google (for grey literature) were searched by two co- authors with the keywords “impact”, “evaluation”, “monitoring”, “research”, and “framework”, reading until theoretical saturation was reached in the categories that emerged (see adapted Grounded Theory Analysis approach below). Despite early criticism of the reliability of Google Scholar (Falagas et al., 2008), more recent analyses have shown strong correlations between citation counts in Google Scholar, Web of Science and Scopus, with Google Scholar consistently returning the highest percentage of citations across subject areas (Martin-Martin et al., 2018a), with significant coverage deficiencies in Web of Science and Scopus (Martin-Martin et al., 2018b). Subsequent to this, further searches were performed for arts-based methods, which were under-represented in the search results, using “arts and humanities” and “arts-based methods” in combination with the previous search terms. Following an adapted Grounded Theory Analysis approach (Strauss and Corbin, 1997), open coding of literature was used to identify emergent themes, continuing to read individual texts until theoretical saturation was reached for each theme. Axial coding was then used to organize themes into theoretical constructs that informed the development of the typology and methodological framework for research impact evaluation. Fig. 1 shows how the five different types of impact evaluation design that emerged from the literature (covered in the next section) were categorised in relation to these two continua, leading to the typology. Experimental and statistical methods and evidence synthesis approaches tend to be used in summative mode, and textual, oral and arts-based methods, systems analysis methods and indicator-based approaches are used in either summative or formative mode. 3. Methods We analysed existing theoretical and methodological frameworks for impact evaluation from a range of fields, using an adapted Grounded Theory Analysis (Strauss and Corbin, 1997) to develop robust definitions of research impact and impact evaluation and a novel methodological 3 M.S. Reed et al. Research Policy 50 (2021) 104147 framework, including a new typology of research impact evaluation designs. To do this, we started by using a narrative review of cross-disciplinary peer-reviewed literature to identify a wide range of evaluation frameworks and methods that could be used to evaluate impact from research. We also considered grey literature from the non-academic realm. Grey literature included documentation capturing the way in which governmental departments and agencies, non-governmental organizations and other organisations evaluate their own impact, and impacts more broadly within their sector, including the evaluation of actual or likely benefits as well as negative impacts (e.g. the assessment of environmental, economic or social impacts of policies as part of the policy appraisal process). Unlike systematic reviews or meta-analyses, a narrative literature review is an expert-based “best-e­ vidence synthesis” of key literature; it does not seek to capture all literature (Baumeister and Leary, 1997). Greenhaulgh et al. (2018) argue that such methods may be more appropriate than systematic ap­ proaches for reviews that aim to pursue a broad overview via expert synthesis of literature, and where it is harder to identify specific outcome measures, as is the case here. epistemology and theoretical perspective of the choice-maker (Moon and Blackman, 2014). For example, experimental and statistical evalu­ ation designs are more likely to arise from a realist (ontology), objective (epistemology) and positivist (theoretical) perspective, whereas textual, oral and arts-based evaluation designs are more likely to arise from a relativist (ontology), subjective (epistemology) and constructivist, interpretivist or post-modern (theoretical) perspective. Two key theoretical constructs emerged from the analysis of litera­ ture, and these are conceptualised in Fig. 1 as two continua along which research impact evaluations can be arranged or categorised: • Evaluation designs with a summative focus on achieving, evidencing and claiming impacts and being accountable (referred to as external evaluation by Richards, 2008) versus a design with a more formative focus on ongoing monitoring, learning, adaptation and taking epistemic responsibility for the generation of impact (referred as internal evaluation by Richards (2008). • Evaluation designs that provide evidence that a body of research was a necessary (e.g. 4. A research impact evaluation typology The methods for evaluating impacts are as numerous and diverse as the research and impacts they seek to evaluate. There is no “gold stan­ dard” method, checklist or standard process. Rather than attempting to lay out a prescriptive methodology for impact evaluation, this section reviews different evaluation designs. We distinguish between ap­ proaches and methods for evaluation design. Table 1 identifies five different types of evaluation design from the literature, within which a range of methods (e.g. experimental) and approaches (e.g. logic model) are then nested. While the first three types of evaluation design consist of related evaluation methods, the last two consist of related approaches to impact evaluation. These approaches may draw on any of the methods covered in the first three types, but they do so in distinctive ways that provide higher order insights based on a theory-driven or systematic synthesis of insights from those methods. As with any choice of method or approach in research, this will be influenced by the ontology, 3. Methods There are evaluation designs that can help disentangle the contribution research has made towards an impact as one of a range of different factors (demonstrating that research was “necessary” to cause impact), and designs that are typically used to demonstrate sole, direct attribution between research and impact (demonstrating that research was “sufficient” to cause impact). The position of evaluation designs in Fig. 1 is approximate, and necessarily generalised (given the diversity of methods and approaches that can be used within each evaluation design) to illustrate how the different designs are typically used in practice. As such, Fig. 1 shows how the evaluation designs in the typology are arranged from more formative approaches that establish the contribution research makes as a necessary cause of impact (bottom left) to more summative approaches that establish research as a sufficient cause of impact (top right). i Each type of impact evaluation design takes a different approach to establishing attribution between research (cause) and impact (effect) (see Section 2.1 for a discussion of the different types of causality used to classify evaluation designs in Table 1). Each type gives rise to different forms of evidence, ranging from testimonials and other forms of quali­ tative evidence to statistical inferences and other forms of quantitative evidence. Some types of evaluation design have distinct epistemological and/or disciplinary roots (e.g. experimental or arts-based methods), but are not restricted to evaluating impacts from this sort of research (e.g. experimental methods could be used to evaluate impacts arising from arts and humanities research, and arts-based methods could be used to evaluate impacts arising from experimental research). The rest of this section reviews each type of impact evaluation in turn, considering some of the key advantages and limitations associated with each. Used either in formative mode to enable beneficiaries to engage and shape feedback that then enhances impact, or in summative mode, ex-post, to assess the extent to which research contributed to impact. Contribution analysis, knowledge mapping, Social Network Analysis, Bayesian networks, agent-based models, Dynamic System Models, influence diagrams, Participatory Systems Mapping, Bayesian Updating Causation is inferred by building a case (sometimes generative and sometimes jointly with beneficiaries) that triangulates multiple sources of evidence to create an evidence-based, credible argument for research being a necessary cause of impact. Typically used in summative mode, ex ante and/or ex-post, to infer the extent to which research is a sufficient cause of impact (often showing sole and/or direct attribution from research to impact) Can be used in formative or summative mode, usually ex- post or during a pathway to impact Additive causation based on tracing links between causes and effects along causal chains or pathways to impact Theory of Change, Logical Framework Analysis, Payback Systems analysis methods Indicator-based approaches Generative causation, identifying causal processes in Textual, oral and arts- based methods Indicator-based approaches Theory of Change, Logical Framework Analysis, Payback Indicators-based approaches use indicators to assess Table 1 Approach to establishing attribution between research and impact Examples of type of evidence Types of impact typically evaluated Counterfactual causation based on the difference between two otherwise identical cases (cases include individuals, sites, environments/contexts), one that is manipulated and the other that is controlled giving rise to evidence of cause and effect. Additive causation may be inferred from correlation between cause (dependant variables) and effect (independent variables) or statistical difference between effect before/after or with/ without an intervention (cause), controlling where possible for confounding effects, and quantifying the extent to which effects can be attributed to multiple causes • Improvements in water quality based on improved regulation arising from research • Reduced morbidity and mortality amongst patients receiving new treatment based on research compared to control group • Monetary benefits arisen from a change on asset management practices in financial organisations informed by research • Optimization in the choice of policy instrument to promote a specific land management technique, informed by research • Numbers of companies, employment or new roles in the workforce • Numbers of (or profits from) new commercial products or spin-out companies • Improvements in indicators of social cohesion or social mobility, within a defined perimeter/community • Time, money, ecosystem variables, or lives saved as a result of new evidence-based practices • Economic • Environmental • Social • Health and wellbeing • Policy • Other forms of decision-making and behaviour change Additive causation based on tracing links between causes and effects along causal chains or pathways to impact • A significant contribution made by research to the solution of a previously intractable problem • Increase and strengthening of the number of nodes or connections in a social network following a participatory process • Understanding of how a group of actors relate to each other and act • Policy • Other forms of decision-making and behaviour change • Capacity building Causation is inferred by building a case (sometimes generative and sometimes jointly with beneficiaries) that triangulates multiple sources of evidence to create an evidence-based, credible argument for research being a necessary cause of impact. • Testimonials or statements from end users (e.g. 4.1. Experimental and statistical methods Experimental and statistical methods for impact evaluation typically provide evidence of research as a sufficient cause of impact. This is often done by inferring counterfactual causation, based on the difference be­ tween two otherwise identical cases, one that is manipulated and the other that is controlled giving rise to evidence of cause and effect (see Table 1). Traditionally, experimental and statistical methods have dominated impact evaluation, and in many fields (e.g. in medical trials and many international development programmes) are still considered 4 Research Policy 50 (2021) 104147 M.S. Reed et al. M.S. Reed et al. 4.2. Systems analysis methods Evaluation designs based on systems analysis are similar to evalua­ tions based on Theory of Change. However, they are typically used ex- post to explore whether research was necessary to cause impact, by disentangling the messy complexity of impacts that occur in complex systems (compared to indicator-based approaches that are more often used in impact planning). They tend to draw on a range of qualitative and quantitative research methods to depict more complex cause-and- effect relationships. They are able to capture the complex range of other factors mediating impacts, to enable the generation of arguments that the research made a significant contribution to the impact, even if direct and sole attribution is not possible. Experimental and statistical methods may be essential for high risk and/or controversial studies, however they are often costly and time- consuming to implement. As a result, less costly and time-consuming methods have been developed to evaluate impact, for example using quasi experimental designs in which space (a comparable situation or territory without the intervention) is substituted for time. Examples include the comparison-case approach or matching design (e.g. using propensity score matching) (Dickson et al., 2017). Yet, it is often diffi­ cult to find a comparable case that represents the alternative state. There are three other weaknesses associated with experimental and statistical impact evaluation (Hewlett et al., 2017). First, the potential to replicate and synthesise studies to provide reliable evidence of what works at national or system levels to inform wider policy and practice is compromised by a lack of common standards for collecting and reporting data (Victora et al., 2011). Second, quantitative, metric-based approaches to impact assessment have been criticized as oversimplifying and so providing partial and/or misleading findings (e.g. Bayley and Phipps, 2017). For example, Australia’s Engagement and Impact Framework (2017) allows higher education institutes to use up to eight quantitative indicators to assess engagement with non-academics, and For example, Reed et al. (2018) used a combination of Social Network Analysis and qualitative interviews to map knowledge flows through science-policy networks to attribute policy impacts to specific research outputs. Research findings were traced as they were commu­ nicated between members of the network, identifying which findings got into policy and practice (or not) and how the research findings had been transformed as they were translated for different audiences. Working with another part of the same network, Chapman et al. Table 1 Evidence synthesis approaches Meta-analysis, narrative synthesis, realist-based synthesis, rapid evidence synthesis, systematic reviews Used in summative mode, ex- post, to infer sole attribution or quantify the extent to which research was a sufficient cause of impacts Causation based on the systematic aggregation and analysis of cause and effect across multiple evaluations (of any type) in different contexts • Time, money or lives saved as a result of new evidence-based practices • Example of an actual product, service or policy based on evidence synthesis, with evidence of benefits for those using the product/service or affected by the policy All types Approach to establishing attribution between research and impact progress towards anticipated impacts. Any method may then be used evaluate each indicator. These frameworks can be used in summative or formative mode, typically ex ante (but can be used ex-post), to show the extent to which research contributed towards, or was a necessary cause of, impact chains from the generation of research to the wider impacts in the context of wider supporting or mediating factors and contexts Meta-analysis, narrative synthesis, realist-based synthesis, rapid evidence synthesis, systematic reviews Used in summative mode, ex- post, to infer sole attribution or quantify the extent to which research was a sufficient cause of impacts • Time, money or lives saved as a result of new evidence-based practices All types • Example of an actual product, service or policy based on evidence synthesis, with evidence of benefits for those using the product/service or affected by the policy two out of the four mandatory indicators are “cash support from research end users” and “research commercialization income”. Eco­ nomic indicators such as these are a crude proxy for engagement, may or may not be correlated to impacts and favour certain disciplines over others (e.g. engineering over many other sciences, and design over many other arts and humanities disciplines). Third, quantitative approaches can be used to establish correlations that may be mistaken for cause and effect without the use of additional methods to infer causality. the “gold standard” (Khandker et al., 2009). This type of evaluation typically compares treatment and control groups (e.g. using a Rando­ mised Control Trial), using statistics to analyse results (e.g. using the difference-in-difference method). Causation based on the systematic aggregation and analysis of cause and effect across multiple evaluations (of any type) in different contexts Meta-analysis, narrative synthesis, realist-based synthesis, rapid evidence synthesis, systematic reviews Evidence synthesis approaches Table 1 Where there are large populations (of observed data), statistical methods can help identify biases and provide quantitative assessments of the likelihood that impacts occurred and are statistically related to a research intervention (Garbarino and Holland, 2009). Attribution between intervention and outcomes often rely on pre-post assessments (i.e. comparison of outcomes before versus after intervention implementation; Dimick and Ryan, 2014). New methods have emerged to cope with time-dependant trends in outcomes that are unrelated to interventions (e.g. the difference-in-difference method uses a comparison group experiencing the same trends that is not exposed to the intervention; Lance et al., 2014). Used in summative mode, ex- post, to infer sole attribution or quantify the extent to which research was a sufficient cause of impacts Table 1 policy makers) now applying a modelling tool • Testimonials from practitioners explaining how they gained a higher level of capability and capacity handling daily work thanks to a new guidance (improved skills, understanding, and confidence • All types • Numbers of companies, employment or new roles in the workforce i • Numbers of (or profits from) new commercial products or spin-out companies • Improvements in indicators of social cohesion or social mobility, within a defined perimeter/community • Time, money, ecosystem variables, or lives saved as a result of new evidence-based practices i • A significant contribution made by research to the solution of a previously intractable problem • Policy • Other form decision-m • Increase and strengthening of the number of nodes or connections in a social network following a participatory process and behaviour change • Capacity building • Understanding of how a group of actors relate to each other and act Testimonials, ethnography, participant observation, qualitative comparative analysis, linkage and exchange model, interviews and focus groups, opinion polls and surveys, other textual analysis e.g. of focus group and interview data, participatory monitoring and evaluation, empowerment evaluation, action research and associated methods, aesthetics, oral history, story- telling, digital cultural mapping, (social) media analysis, poetry and fiction, music and dance, theatre • Testimonials or statements from end users (e.g. policy makers) now applying a modelling tool • All types • Testimonials from practitioners explaining how they gained a higher level of capability and capacity handling daily work thanks to a new guidance (improved skills, understanding, and confidence l l ) • Improvements in variables that indicate the achievement of goals set by a stakeholder or other social group who co- produced research (e.g. number of community members having • Changes of perception, awareness or attitudes of a social group as a result of engaging with research • Changes in culture, cultural discourse or appreciation and benefit from cultural artifacts and experiences i and experiences Indicators-based approaches use indicators to assess Generative causation, identifying causal processes in • Change in pre-established indicators set at the start of a 5 M.S. Reed et al. Table 1 Research Policy 50 (2021) 104147 Research Policy 50 (2021) 104147 Table 1 (continued) Type of research impact evaluation Examples of commonly used methods and approaches Characteristics Approach to establishing attribution between research and impact Examples of type of evidence Types of impact typically evaluated Framework, other logic models, SIAMPI, DPSIR progress towards anticipated impacts. Any method may then be used evaluate each indicator. These frameworks can be used in summative or formative mode, typically ex ante (but can be used ex-post), to show the extent to which research contributed towards, or was a necessary cause of, impact chains from the generation of research to the wider impacts in the context of wider supporting or mediating factors and contexts project that would be expected to show change as impacts occur, for example: ○ Number of farm advisors adapting their discourse to farmers, numbers of farmers taking up the conservation measure, hectares of land restored, followed by reduction in water pollution, savings to water companies and reductions in water bills M.S. Reed et al. Type of research impact evaluation Examples of commonly used methods and approaches Characteristics Approach to establishing attribution between research and impact Examples of type of evidence Types of impact typically evaluated Framework, other logic models, SIAMPI, DPSIR progress towards anticipated impacts. Any method may then be used evaluate each indicator. These frameworks can be used in summative or formative mode, typically ex ante (but can be used ex-post), to show the extent to which research contributed towards, or was a necessary cause of, impact chains from the generation of research to the wider impacts in the context of wider supporting or mediating factors and contexts project that would be expected to show change as impacts occur, for example: ○ Number of farm advisors adapting their discourse to farmers, numbers of farmers taking up the conservation measure, hectares of land restored, followed by reduction in water pollution, savings to water companies and reductions in water bills ○ Access to health care, number of individuals getting immunized against a particular disease, number of individuals not contracting the disease, followed by reduction in the predominance of the disease, and savings in health expenditures. Europe: Europe: Horizon Europe has the most advanced programme of impact evaluation that has been seen in any EU framework programme (Directorate-General for Research and Innovation (Directorate-General for Research and Innovation, 2018). Across Europe, Governments are incentivising the generation of impact through conditions attached to research funding and through research evaluations, which increasingly evaluate impact alongside research excellence. For example: evaluate impact alongside research excellence. For example: •UK: The UK’s Research Excellence Framework (REF) incorporated an evaluation of impact using case studies which comprised 20% and 25% of total scores in 2014 and 2021 respectively. Impacts were evaluated in terms of their relative significance and reach, and unlike most other impact assessments elsewhere in Europe, Government funding to Higher Education Institutes was then linked to the outcome. A recent survey suggested 57% UK researchers held negative attitudes towards REF2021 (compared to 29% positive) (Weinstein et al., 2019) •Netherlands: Since 2015, Dutch Universities have had to submit 3–5 page impact narratives for each of their research units as part of their six-yearly Standard Evaluation Protocol (VSNU/KNAW/NOW, 2014) •Sweden: Since 2019, Swedish Research Council Strategic Research Centres have to submit impact case studies for evaluation (based on a template derived from the UK’s REF) •Italy: Italy’s Research Quality Evaluation (VQR) evaluates technology transfer activities in Italian Universities and Research Bodies (Rebora and Turri, 2013; Geuna and Piolatto, 2016)bib122 Fig. 1. Five types of impact evaluation designs categorized by the extent to which they provide summative evidence versus formative feedback and the extent to which they provide evidence of research as a sufficient (e.g. sole attribution) or necessary (e.g. a significant contributing factor amongst many) cause of impact. Fig. 1. Five types of impact evaluation designs categorized by the extent to which they provide summative evidence versus formative feedback and the extent to which they provide evidence of research as a sufficient (e.g. sole attribution) or necessary (e.g. a significant contributing factor amongst many) cause of impact. Europe: •Spain: From 2019, the Spanish National Commission on the Evaluation of Research Performance (CNAI) has provided monetary incentives to researchers who submit “evidence of impact and influence” of their research “on social and economic matters” as part of their six-yearly individual research performance review (Spanish Government, 2018) •Norway: Norway’s Humeval exercise (2015–2017) assesses research at the unit of research groups, and social sciences and environmental research institutes are expected to submit impact case studies based on the UK’s REF model (Wr´oblewska, 2019) seen as arising from the “cultural effects of societal interaction”, rather than from individual researchers and research outputs, focussing on “research impact as ‘our’ rather than ‘my’ impact”. •Poland: Poland will soon follow suit with their own research impact assessment planned for 2020 (Dziennik Ustaw Rzeczpospolitej Polskiej, 2018, 2019; Wr´oblewska, 2017) More broadly, systems models can provide detailed understanding of causal links from research to impacts, and are particularly useful for understanding complex, non-linear and unpredictable outcomes. As a family of methods, systems models range from highly quantitative, process-based models, to qualitative conceptual models (referred to variously as mediated modelling, conceptual modelling and participa­ tory systems modelling). At the quantitative end of this spectrum are process-based modelling methods, which can be used to estimate im­ pacts arising from evidence-based interventions in policy and practice. For example, Ewen et al. (2000) developed a spatially distributed process-based model of the full water cycle for integrated land and water management, integrating new techniques for modelling flow and transport of sediments and contaminants, to support decision making at the catchment scale and inform policy related to the environmental impacts of land erosion, pollution, climate change, and land use change within river basins. At the qualitative end of this spectrum, Kenter et al. (2014) used conceptual models to trace the shared social and cultural impacts of new policies based on research, considering environmental, economic and social effects alongside deeper effects on transcendental values and beliefs of affected populations. Sitting in the middle of the spectrum are Dynamic Systems Models, fuzzy cognitive mapping and Bayesian methods, which can integrate both qualitative information (e. g. a relationship between two variables of unknown direction or strength) and quantitative information (e.g. a regression equation). Although more technically challenging, Bayesian methods are particu­ larly useful for quantifying the uncertainty arising from missing infor­ mation and are able to integrate multiple complex sub-models in addition to qualitative information. Europe: By modelling beliefs elicited from relevant experts about likely causal chains between research and impact, Bayesian methods can be used to improve the clarity and precision of likely impacts as part of an a priori effectiveness analysis and when in­ tegrated with monitoring data assess the relative contribution made by research to impacts (e.g. Befani et al., 2017). Some evaluations, how­ ever, are based purely on qualitative data, as the next section shows. •Finland: in 2019 the Strategic Research Council agreed a set of funding principles mandating impact assessment in all their programmes, requiring funded projects to report impacts (as well as challenges encountered), which are given to external evaluators who assess how well the programme has “solved the challenges facing society and…how efficient this funding instrument is in promoting such research”, including the promotion of public debate. Evaluation reports for the first four programmes are expected towards the end of 2020 •Finland: in 2019 the Strategic Research Council agreed a set of funding principles mandating impact assessment in all their programmes, requiring funded projects to report impacts (as well as challenges encountered), which are given to external evaluators who assess how well the programme has “solved the challenges facing society and…how efficient this funding instrument is in promoting such research”, including the promotion of public debate. Evaluation reports for the first four programmes are expected towards the end of 2020 4.2. Systems analysis methods (2009) used Agent-Based Modelling to understand how target stakeholders were likely to respond to different policy scenarios, to evaluate the social processes through which impacts typically occurred in the study system and guide ongoing impact generation activities (the outcomes of which 6 M.S. Reed et al. Research Policy 50 (2021) 104147 Fig. 1. Five types of impact evaluation designs categorized by the extent to which they provide summative evidence versus formative feedback and the extent to which they provide evidence of research as a sufficient (e.g. sole attribution) or necessary (e.g. a significant contributing factor amongst many) cause of impact. Fig. 1. Five types of impact evaluation designs categorized by the extent to which they provide summative evidence versus formative feedback and the extent to which they provide evidence of research as a sufficient (e.g. sole attribution) or necessary (e.g. a significant contributing factor amongst many) cause of impact. Rest of the world: •Hong Kong has broadly replicated the UK’s REF methodology in its 2020 Research Assessment Exercise (University Grants Committee, 2017) •Hong Kong has broadly replicated the UK’s REF methodology in its 2020 Research Assessment Exercise (University Grants Committee, 2017) •Australia: Engagement and Impact Assessment was introduced as part of Excellence in Research for Australia in 2018 (Australian Research Council, 2017) •Australia: Engagement and Impact Assessment was introduced as part of Excellence in Research for Australia in 2018 (Australian Research Council, 2017) •New Zealand: A 2019 review of the Performance Based Research Fund (PBRF) examined options, costs and benefits of introducing additional impact measures into the PBRF, and the Ministry of Business, Innovation and Employment’s 2019 position paper on The Impact of Research called on research funders to articulate line-of- sight to impact in all research funds and contracts and perform impact assessment exercises, collecting impact data to common standards. It called on Universities to support researchers to plan for and generate impact and “work with MBIE towards systems that capture linkable data along the results-chain”. •New Zealand: A 2019 review of the Performance Based Research Fund (PBRF) examined options, costs and benefits of introducing additional impact measures into the PBRF, and the Ministry of Business, Innovation and Employment’s 2019 position paper on The Impact of Research called on research funders to articulate line-of- sight to impact in all research funds and contracts and perform impact assessment exercises, collecting impact data to common standards. It called on Universities to support researchers to plan for and generate impact and “work with MBIE towards systems that capture linkable data along the results-chain”. (2014) used conceptual models to trace the shared social and cultural impacts of new policies based on research, considering environmental, economic and social effects alongside deeper effects on transcendental values and beliefs of affected populations. Sitting in the middle of the spectrum are Dynamic Systems Models, fuzzy cognitive mapping and Bayesian methods, which can integrate both qualitative information (e. g. a relationship between two variables of unknown direction or strength) and quantitative information (e.g. a regression equation). Although more technically challenging, Bayesian methods are particu­ larly useful for quantifying the uncertainty arising from missing infor­ mation and are able to integrate multiple complex sub-models in addition to qualitative information. 4.3. Textual, oral and arts-based methods 4.3. Textual, oral and arts-based methods deeper and more nuanced understanding of human experience, meaning and values (Coates et al., 2014). As such, they are able to provide “thick” narratives of impact that highlight lived experience and meaning, and attend to contextual factors (Boydell et al., 2012). Such a constructivist approach towards building up accounts and understanding of benefi­ ciaries’ experiences has distinct value for capturing impact. Further­ more, such approaches to impact evaluation typically infer causation by jointly building a case with beneficiaries that triangulates multiple sources of evidence (including data collected by beneficiaries) to create a credible argument for a significant contribution of the research to impact. Textual, oral and arts-based evaluation methods tend to build a case that research was necessary to cause impact by triangulating multiple sources of evidence to create a credible, evidence-based argument that attributes impacts to research. All of these methods can be participatory, engaging beneficiaries and other stakeholders in the evaluation itself, enabling these groups to engage and shape the evaluation, which then has the potential to further enhance impact. Textual and oral methods have a number of key advantages for reflecting impact (Hewlett et al., 2017). Referring to arts and culture case studies in REF2014, Hewllett et al. (2017, p40) commented that, “while reach [of impact] was largely presented as a quantitative mea­ sure, a qualitative layer of information about the type of engagement it described also appeared vital. Little distinction can be made between direct and indirect beneficiaries when considering reach in purely sta­ tistical terms”. In many research settings, there are multiple lines of evidence (and lines of argument) and other factors contributing towards impact, and it can be difficult to isolate and collect data on all factors, risks, and assumptions. However, qualitative data, for example from interviews/testimonials and focus groups, can help explain and con­ textualise a project’s results, and create a rounded picture of the likely impacts, considering economic, political, institutional and socio-cultural factors (Dickson et al., 2017). In fact, compared to quantitative methods, qualitative methods lead in some cases to a greater depth of under­ standing of how and why a research project was or was not effective and how it might be adapted in future to make it more effective (Garbarino and Holland, 2009). 4.3. Textual, oral and arts-based methods In resisting binary thinking (van der Vaart et al., 2018), arts-based methods have the capacity to capture meaning, implicit and ephem­ eral phenomena, and benefits that are difficult to express and might therefore pass unrecorded (Hewlett et al., 2017). Methods based on the arts can be particularly useful for researching implicit and tacit impacts that are difficult or impossible to conceptualise or articulate. It is well known that some types of knowledge cannot easily be conveyed through language, such as emotional, aesthetic and symbolic aspects of experi­ ence (Fraser and al Sayah, 2011; Dunn and Mellor, 2017). In these cases, arts-based research methods can add value where more traditional tools such as interviews or questionnaires fail to articulate impacts. This is particularly important when working with (often vulnerable) pop­ ulations with limited verbal or written competence (van der Vaart et al., 2018); arts-based methods enable “better access to the emotional, af­ fective, and embodied realms of life, cultivate empathy, and challenge and provoke audiences to engage with complex and difficult social is­ sues” (Chamberlain et al., 2018). Analysis of textual and oral data, when combined with quantitative work as part of a case study, can furthermore help in the interpretation of quantitative data and relationships, especially in terms of inferring cause and effect. Using a mix of quantitative and qualitative methods in the impact evaluation process can enhance the validity or credibility of evaluation findings, facilitate the development of a method, extend comprehensiveness of evaluation findings, and generate new insights into evaluation findings (Bamberger, 2012). Having said this, criticisms faced by qualitative evaluations of textual and oral data include: the difficulty of generalizing from case-specific findings; the risk of exces­ sive reliance on the opinion and perspective of the evaluator or those providing testimonials; perceived bias arising from small sample sizes where there is insufficient triangulation, and the inability to replicate or validate findings in quantitative terms; and the difficulty of obtaining standardized data allowing us to measure change over time or between groups. Visual arts methods commonly used in impact evaluation include photo elicitation (Harper, 2002; also known as photo voice (Wang et al., 1998) and photo survey (Moore et al., 2008)), drawing (e.g. rich pictures from soft systems methodology; Checkland, 2000), paintings (e.g. Gillies et al., 2015) and collages (e.g. Gerstenblatt, 2013). 4.3. Textual, oral and arts-based methods Music, theatre and dance may be used in participatory monitoring and evaluation, for example in ethnotheatre evaluation data are translated into a play script, which is performed, offering potential for further debate and insight (Chamberlain et al., 2018). Fiction writing may be used as a method of enquiry and analysis. For example, Sundin et al. (2018) used storytelling to increase stakeholder engagement in environmental evidence syn­ thesis (see next section) and Kenter et al. (2014) used storytelling to elicit implicit knowledge about the values people held for the natural environment in research that sought to understand the social impacts of policy. The participatory nature of many textual, oral and arts-based eval­ uation methods means that people are engaged with research through an action–reflection cycle, enabling new understandings of the phenomena under study to come to light (Fraser and al Sayah, 2011), often chal­ lenging perceptions and providing fresh perspectives (Daykin et al., 2017). These methods emphasise plural perspectives from a multiplicity of voices (Coemans et al., 2015) and promote “a form of understanding that is derived or evoked through empathetic experience” (van der Vaart et al., 2018 citing Eisner 2008). In addition to understanding impact at new levels, arts-based methods in themselves provide a medium for communicating the findings of an evaluation in a powerful way (Coates et al., 2014) and are often used to support dissemination, making project reporting more engaging, accessible and relevant to those beyond pro­ fessional practice and academia (Daykin et al., 2017). Qualitative Comparative Analysis attempts to overcome some of these limitations by mixing qualitative and quantitative methods in a case-based study (Rihoux and Ragin, 2008). It is particularly useful for disentangling complex relationships where there are multiple causal factors at play. Positive and negative cases of impact to be evaluated (e. g. behaviour change versus offence caused by a public engagement event) are identified and analysed with stakeholders. The group defines a range of likely causal factors (e.g. the research versus a range of other contextual factors) which are analysed using Boolean algebra to assess the combination of causal factors most likely to lead to cases of negative or positive impacts. Arts-based methods may be used to evaluate impacts arising from any discipline, and should not be seen as only relevant for the evaluation of impacts arising from research in the arts and humanities. Rest of the world: By modelling beliefs elicited from relevant experts about likely causal chains between research and impact, Bayesian methods can be used to improve the clarity and precision of likely impacts as part of an a priori effectiveness analysis and when in­ tegrated with monitoring data assess the relative contribution made by research to impacts (e.g. Befani et al., 2017). Some evaluations, how­ ever, are based purely on qualitative data, as the next section shows. •USA: The America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science (COMPETES) Reauthorization Act of 2010 highlighted that a ‘broader impacts criterion’ was crucial for National Science Foundation funding and encouraged higher education and non-profit organisations to take an institutional approach to achieving societal impacts and determining their accountability (National Science Foundation, 2014; Bozeman and Youtie, 2017). In 2016, the National Science Foundation, National Institute of Health, US Department of Agriculture, and US Environmental Protection Authority developed a data repository for assessing the impact of federal research and development investment (StarMetrics, 2016) were reported by Reed et al., 2018). Woolcott et al. (2019) built on quantitative measures of social networks to build a methodological framework based on human cultural accumulation theory, and used interviews, questionnaires and focus groups to assess how interpersonal as well as person-environment (including stored knowledge e.g. via books and internet) interactions contributed to the accumulation of memory within individuals and groups, leading to cultural change. As such, in complex systems, they argued that research impact should be 7 M.S. Reed et al. Research Policy 50 (2021) 104147 4.4. Indicator-based approaches 4.4. Indicator-based approaches Developing a logic model includes an identification of the different beneficiaries or users of the research output(s), assessments of risk (e.g. internal and external factors that may influence the delivery of each outcome along the causal chain) and identification of assumptions behind the causal links that have been inferred [ibid; Funnell and Rogers, 2011; Douthwaite et al., 2011). The causal chain in a Theory of Change is usually expressed visually using diagrams, whereas logic models tend to be presented as tables (e.g. Logical Framework Analysis or the Fast Track Impact Planning Template; Reed et al., 2018), and both may also be turned into narrative. Theories of Change tend to focus more on the multiple, potentially alternative links that can be made in the causal chain from research to impact, whereas logic models tend to focus more on activity and impact indicators (and their means of verification). Both Theories of Change and logic models may be developed by a project or research, or may be co-developed in collaboration with stakeholders. For example, Participatory Impact Pathways Analysis enables re­ searchers and stakeholders to jointly describe a project’s theories of action, develop logic models, create network maps and use them for planning and evaluation (Alvarez et al., 2010). Indicator-based approaches identify variables that indicate the achievement of impacts. Indicators may be used prospectively during planning as milestones and targets, and then retrospectively to see if planned impacts were achieved. Indicators may be identified, organised and evaluated in categories (e.g. see SIAMPI and DPSIR frameworks below) or logical structures (e.g. logic models and Theory of Change). Any method may then be used to evaluate each indicator (e.g. economics and interviews are commonly used to evaluate benefits arising from seven stages of the research cycle in the Payback Framework). Similar to systematic reviews (Section 4.5), which analyse evaluations carried out using any method, theory of change and logic models are a type of approach rather than a type of method. A theory of change explains how, in theory, research might lead to successive impacts, which can each be measured in turn, providing ev­ idence of clear causal chains from research to impact. Logic models provide a common structure in which expected impacts are systemati­ cally measured to generate easily comparable case studies. 4.3. Textual, oral and arts-based methods Many of the methods used in the wider ‘action research’ tradi­ tion, seek to challenge and sometimes overturn the typical power dy­ namics that exist between the evaluator and those being evaluated, empowering supposed beneficiaries to set the questions for the evalua­ tion and interpret the outcomes, rather than acting as passive research subjects to an external evaluator (van der Vaart et al., 2018). A logic model (also, called logical framework, Julian et al., 1995) or Theory of Change (Stachowiak, 2013) is typically developed at the start of a research project, working back from the ultimate benefits (in the case of a Theory of Change) or working forwards from impact goals (in the case of a logic model). It consists of mapping out the steps that would be necessary to move from the planned research activities, to the gen­ eration of research outputs, intermediate outcomes, short-term impacts and the ultimate benefits that are sought (Alvarez et al., 2010). If the links in the causal chain (also referred to as “programme theory”) accurately enable the design of the pathway to impacts and reflect the impact delivery process, then it is possible to design an evaluation to look for each of the causal links and measure indicators to infer whether or not the research is making progress towards impact. For example, an evaluation may assess whether or not capacity has been built and awareness raised by the end of the first year of a project, as envisaged in its Theory of Change, by stress testing procedures or services or surveying staff. Alternatively, national statistics may be used to monitor indicators of malnutrition or morbidity in a project designed to enhance the health of a population. A Theory of Change may be used to work out with greater detail and flexibility how the measurable targets and ob­ jectives in a logic model might be delivered in a given context (but it is rare for a logic model to be based on a Theory of Change). 4.3. Textual, oral and arts-based methods Although they derive strongly from an arts and humanities context, we found creative arts methods reported across a very wide range of disciplines within social sciences, healthcare, anthropology, biodiversity and environment settings. The use of arts-based methods in particular has “grown from the desire of researchers to elicit, process and share un­ derstandings and experiences that are not readily or fully accessed through more traditional fieldwork approaches” (Greenwood, 2012:2). Research methods used in the arts and humanities aim to provide a Participatory evaluation methods that generate textual and oral data include transect walks (walking interviews) and matrix ranking (Chambers, 2013). Van der Vaart et al. (2018) used creative workshops about place, identity and community resilience to create an exhibition, gaining multifaceted knowledge of factors leading to impacts (van der Vaart et al., 2018). Others have used process tracing: a qualitative causal inference method where participants score and rank the importance of different possible causal factors for a given impact (Dickson et al., 2017). Role playing games are another type of participatory approach that is 8 M.S. Reed et al. Research Policy 50 (2021) 104147 often combined with art-based work, and can be used to test, for example, policy impacts arising from research. For example, Garcia et al. (2015) used role-playing games to engage ecosystem users and academics in the co-design of a board-game that represented and simulated socio-ecosystem functioning, in order to address issues regarding decision processes between stakeholders and predict policy impacts on ecosystem management. Indicator-based approaches may be used to provide evidence that research was either sufficient or necessary to generate impact, but the explicit consideration of risks and assumptions in both approaches make them well suited to evaluating whether the research was a necessary cause of impact in the context of other contributory/confounding fac­ tors. Although they tend to be used ex-ante to plan for impacts, they can also be used in evaluation to compare actual impacts to those that were planned. Participatory methods that can be borrowed from anthropology and ethnography include sensory ethnography (exploring subjective expe­ riences through interconnected senses (Crossick and Kaszynska, 2016), and ‘Spirit of Place’ (capturing the intrinsic values of an environment and why and how people connect to it emotionally; Chamberlain et al., 2018). 4.3. Textual, oral and arts-based methods i As a way of evaluating impact, textual, oral and arts-based methods offer particular value in: creating new knowledge spaces (Byrne et al., 2016); eliciting new perspectives on a theme or topic (Boydell et al., 2012; Daykin et al., 2017; van der Vaart et al., 2018); overcoming or challenging power imbalances (van der Vaart et al., 2018); facilitating genuine knowledge exchange (Byrne et al., 2018); and eliciting evidence on “sensitive” or “hard-to-verbalise topics” (van der Vaart 2018). In doing so, this type of evaluation can generate unexpected data layers (Greenwood, 2012) and enhance the communication of both research and impact (Douglas and Carless, 2018). 4.4. Indicator-based approaches Impact indicators are identified to collect evidence for each element of the pathway, and thus write a ‘contribution story’ that considers various alternative explanations. synthesis is a process of carrying out a review of existing data, literature and other forms of evidence with pre-defined methodological ap­ proaches, to provide a transparent, rigorous and objective assessment of whether something arising from research is a sufficient cause of im­ pactful outcomes. Its use is now widespread across many sectors of so­ ciety in which research can be used to influence and inform decision- making (Game et al., 2018). The Social Impact Assessment Methods for research and funding instruments through the study of Productive Interactions project (SIAMPI) developed an approach to contribution analysis that acknowledged the complexity of attribution between research activities and observed impacts. It focused specifically on reflecting the ‘produc­ tive interactions’ between actors, such as the researcher-stakeholder interaction where knowledge is produced and valued that is both scientifically robust and socially relevant (Sanjari et al., 2014; Spaapen and van Drooge, 2011). The Driver-Pressure-State-Impact-Response (DPSIR) framework identifies and monitors indicators within these five categories that are causally linked (OECD, 2001). In this framework, impacts are generally negative outcomes, and so in impact evaluation, the focus is on the effectiveness of the response to the negative impact. g Efforts to improve the connections between policy decisions and research evidence have resulted in a number of approaches to evidence synthesis (Game et al., 2018), from meta-analysis to different forms of narrative-based synthesis. Many of these can be broadly grouped under the umbrella term of ‘systematic reviews’. The utility of systematic re­ views is well established across a broad range of research disciplines (Victora et al., 2011; Game et al., 2018), including the medical and public health sectors (Egger et al., 2003), development and humani­ tarian interventions (Mallett et al., 2012), and conservation and envi­ ronmental management (Pullin and Knight, 2001; Sutherland et al., 2004). Systematic reviews locate information from the peer-reviewed and grey literature, critically appraise methodologies and synthesise findings to deliver answers to research/practice/policy questions. Indeed, by engaging stakeholders in the co-development of a search protocol, as is recommended practice, the probability that review out­ comes are relevant enough to generate impact is increased. Stakeholder confidence in systematic reviews is enhanced by the fact that they follow a transparent and repeatable protocol, and give an extensive account of the available evidence. 4.4. Indicator-based approaches This approach minimises the incorporation of bias into the review. For example, a conventional review may reflect the author(s)’ own opinions and can be based on a selection of literature that is in itself potentially biased. p g p Both Theories of Change and logic models typically involve the identification of activity and impact indicators and criteria. Reed et al. (2006) provided a list of attributes for designing indicators for use by researchers and/or stakeholders that combine accuracy and ease of use. Others have adapted SMART indicators from the management world to suggest that impact indicators should be specific (capture the essence of the desired result and able to pick up changes over the time), measurable in either quantitative or qualitative terms; achievable (feasible in terms of equipment, funding, competences and time), relevant (capture what is to be measured accurately and consistently), and timely (able to provide information in a timely manner) (Douthwaite et al., 2003). The design of impact indicators follows two broad methodological para­ digms: i) an expert-led and top–down approach whereby indicators are collected rigorously, scrutinized, and assessed often using statistical tools (this top-down approach enables evaluators to present trends and make comparisons, but such evaluations usually fail to engage local communities); and ii) a community-based and bottom–up paradigm that is rooted in an understanding of local context and local perceptions of the environment and society, but that may be difficult to compare to other contexts (Reed et al., 2006, 2008; Richards and Panfil, 2011). The methods for reviewing the literature, and for the subsequent synthesis of evidence, under the broad family of systematic reviews, can be very varied. One of the critiques of a full systematic review is that it is time and labour intensive as it requires considerable consultation with likely end-users and searching of unpublished and grey literature, often by hand and often at geographically disparate locations. Further criti­ cisms include that the traditional format of a systematic review (and the meta-analysis that is subsequently carried out on the data) is that it is “mechanistic, driven more by concerns about reliability and replica­ bility than about adding to understanding of phenomena of interest” (Slavin, 1995). As response to those criticisms, alternative ways of synthesizing evidence have emerged in which some of the most rigid principles of systematic reviews and meta-analysis are relaxed (Mallet et al., 2012; Slavin, 1995). 4.4. Indicator-based approaches For example, the Payback Framework (Donovan and Hanney, 2011) organises mea­ surement of impact across seven stages and two interfaces that are typically seen in the research cycle. Methods used to evaluate impact across these stages and interfaces differ from project to project, ranging from quantitative economics methods to qualitative interviews. Simi­ larly, the Fast Track Impact Planning Template (Reed et al., 2018) asks for indicators and means of verification to evaluate the success of engagement and progress towards impact, followed by an assessment of risks to engagement and impact. Depending on the indicators identified, impacts may be measured using very different methods in any given application of the logic model. One advantage to logic model approaches to impact evaluation is their ability to standardise the collection of data in the creation of case studies that are easily comparable. Similar to the Payback Approach (described above), the ASIRPA method (Socio-economic Analysis of Impacts of Public Agronomic Research) is based on standardized case studies that combine three analytical tools: a chronology that underlines the role of specific actors and the context; an impact pathway (there is no chronology in the impact pathway) that describes the productive configuration, the outputs, the intermediary stage and the impacts; and a vector of impacts that scores the intensity of five impact dimensions (economic, health, political, social and environmental) (Joly et al., 2015; Matt et al., 2017). Public Value Mapping (Bozeman and Sarewitz, 2011) identifies the public value of policies and then tracks the evolu­ tion and impacts of policies as they lead to social outcomes. As a type of impact evaluation, indicator-based approaches should be seen as a way of identifying and ordering relevant methods in an eval­ uation, rather than as methods in their own right. They trace causal chains from research to impact, based on an anticipated logic or a theory of likely or desirable change. The closer that reality corresponds to what was expected in theory at the outset, the stronger the case for assuming the research contributed to the outcomes (Bamberger, 2012). Contribution analysis also takes a logic model approach, focusing on tracing pathways to impact as a way of assessing the relative contribu­ tion of the research to the impact (Morton, 2015). It involves mapping a 9 M.S. Reed et al. Research Policy 50 (2021) 104147 pathway to impact, and identifying assumptions and risks for each stage of the pathway. 4.4. Indicator-based approaches These alternative ways include: rapid evi­ dence assessments/synthesis, scoping reviews, systematic maps, semi or flexible systematic reviews and best-evidence synthesis and simply following systematic and repeatable search strategies (Koricheva et al., 2013). More ‘informal’ rapid reviews and “realist-based” synthesis have also emerged. These often use broad inclusion criteria for evidence (qualitative and quantitative) to facilitate comparison of impact evalu­ ation methods, develop a transferable theory, and attempt to provide policy-makers with knowledge in response to time sensitive and emerging issues (Victora et al., 2011; Saul et al., 2013; Pawson, 2002). However, the lack of transparency and repeatability might render these informal processes less useful for impact evaluation. i Alternatively, criteria-based approaches evaluate impacts against pre-established, theory-driven criteria, designed to predict or explain why impacts arise (Rau et al., 2018). For example, Mitchell (2019) developed a survey approach in which data from publics and stake­ holders is collected to measure outcomes in different categories, rating their usefulness (based on Likert scale answers to questions about instrumental, conceptual and symbolic use) to create a numeric impact index against which different case studies can be compared. A number of others have proposed the “usability” of research as a key evaluation criterion (Kirchhoff et al., 2013, Lemos, 2014), categorising research according to the ways in which it can be used, for example conceptual use, instrumental use and capacity-building (Meagher and Lyall, 2013. Alternatively, based on criteria arising from participatory research with researchers, Mårtensson et al. (2016) proposed that impact should be evaluated in relation to the credibility of the underpinning research, its contribution to society, the extent to which the research can be effec­ tively communicated and the extent to which it conforms to established ethical and research quality standards. Systematic review approaches have also been developed which uti­ lise qualitative evidence (Noyes, 2010) and are centred predominantly on exploring and progressing theoretical frameworks (Dixon-Woods et al., 2006), investigating system complexity (Sheppard et al., 2017) and placing research within its social context via meta-narratives (Greenhalgh et al., 2005). A configurative systematic review is one example (Gough et al., 2017). Such reviews set out to interpret and understand a concept by configuring information and generating new knowledge/perspectives and are largely concerned with identifying patterns (Barnett-Page et al., 2009). 4.5. Evidence synthesis approaches While each of the preceding methods or approaches can be used as part of a project cycle, evidence synthesis typically takes place at the programme level and draws on bodies of work emerging from multiple projects. Evidence synthesis is especially useful where there is appar­ ently contradictory evidence across a range of studies about the rela­ tionship between an intervention arising from research (e.g. a new process or product) and impact (e.g. studies reporting positive, negative or no association with outcomes that are valued as impacts). Evidence The methods used for data analysis as part of the review process include configurative and aggregative approaches, or a combination of 10 M.S. Reed et al. Research Policy 50 (2021) 104147 the two. Configurative methods aim to formulate ways of understanding phenomena and their meaning/value, usually through the review of qualitative data. Aggregative methods combine the (generally quanti­ tative) findings of similar studies to judge the strength of a conclusion and normally follow a more traditional statistical/meta-analytical approach (Gough et al., 2017). Whereas classic quantitative aggrega­ tive reviews are likely to be meta-analysing similar forms of data, configurative reviews are concerned with identifying patterns provided by heterogeneity (Barnett-Page et al., 2009). As such, they are ideal for synthesising evidence from different disciplines or methodologies. The choice between them, or how they are combined, usually depends on data quality and availability, which is often driven by the heterogeneity in methods used by researchers to address the questions underpinning the impact that needs to be evaluated. Table 1 identifies five types of evaluation design, and Fig. 2 suggests that there are two key factors likely to inform the choice between these evaluation designs. First the choice of evaluation design must be suited to the context in which it is to be used, including the resources available (some types of evaluation design, such as experimental methods, can be time consuming and resource intensive), the scope of the evaluation (e. g. in spatial or temporal scale or the range of linked systems to be considered), the types of impact being evaluated (as noted in Table 1, some types of evaluation design are suited to evaluating certain types of impact), and the ontology and epistemology of the team selecting the evaluation design (see introduction to Section 4). 5. A methodological framework for research impact evaluation In this penultimate section, we explain how the different types of impact evaluation identified in the previous section fit into a broader methodological framework. Fig. 2 shows how research leads to possible impacts via an impact plan and pathways to impact (in the case of serendipitous impacts, the impact plan is missing but pathways can still typically be traced). However, these possible impact claims may be contested in terms of their significance or reach, or on the basis of the evidence that significant or far-reaching impacts can be attributed to the research. Therefore, for impacts to be considered demonstrable, an impact evaluation needs to be designed (denoted by the grey box in Fig. 2). Ideally evaluations can draw on monitoring that has been designed to track progress towards planned impacts (however an eval­ uation can proceed in the absence of monitoring, drawing on alternative sources of evidence). Monitoring can provide formative feedback that can help adapt and refine pathways (the feedback loop in Fig. 2), increasing the likelihood of delivering impacts. Various types of moni­ toring can be used as part of the evaluation process depending on the nature and purpose of the impact evaluation.1 In addition to monitoring data (such as intervention outcome data), the evaluation may produce other evidence (such as health economics evidence of cost savings resulting from the intervention), which taken together demonstrate that significant and far-reaching impacts were derived from the research. In this paper, we have provided new definitions of research impact and impact evaluation informed by our analysis of the literature, including a new way to conceive of reach as scaling up and/or out, that can be applied in any disciplinary context. Based on these definitions, we have sought to simplify the bewildering range of methods and ap­ proaches available into five types of evaluation design that can be used to guide the selection of relevant evaluation methods and approaches. Like any typology, there are many alternative ways we could have divided and named the types of evaluation we came across in the review. As a typology of evaluation designs, it includes types of method (e.g. experimental or arts-based) and types of approach (e.g. indicator-based approaches or systematic review). Indicator-based and systematic re­ view approaches may be operationalised using any number of methods, including methods from other parts of the typology. 1 Monitoring can be categorized as follows: i) surveillance monitoring is about assessing long-term changes in conditions resulting from an activity; ii) operational monitoring consists of implementing additional measure for cases where there is risk of failure of not meeting initial directives; and iii) investi­ gative monitoring determines reasons to failure. 4.5. Evidence synthesis approaches Based on the theo­ retical constructs that emerged from the analysis of literature (described in the introduction to Section 4), the choice of evaluation design will also reflect the aims of the evaluation, for example the extent to which the evaluate aims to provide summative versus formative feedback, or provide evidence of necessary versus sufficient causal links between research and impact. Evaluations are typically designed to establish relationships between research and impacts along causal chains (which often include the evaluation of knowledge exchange activities or path­ ways to impact). It can be possible to attribute impact to research through long causal chains, however the strength of evidence for research impact is only as strong as the weakest link in the chain. As a result, attribution in long causal chains is often partial, indicating that research may have been necessary amongst other factors or may have only made a minor, contestable contribution to impact, give the range of confounding factors at play at the end of a long causal chain. The different variables measured, methods used and ways of reporting outcomes is a significant constraint preventing evidence syn­ thesis in systematic reviews. In response to this challenge, a number of attempts have been made to develop standards of evidence in specific domains. For example, the Alliance for Useful Evidence reviewed 18 standards of evidence currently used in UK social policy and called for the creation of a single set of standards that could enable more effective comparison between policy appraisals (Puttick, 2018). This is similar to approaches to evidence in the medical research community (e.g. the use of common outcome measures for chronic pain clinical trials enabling findings to be synthesised across studies in meta-analyses to inform evidence-based medicine policy and practice; Turk et al., 2003) and could in theory be applied to the generation of evidence for research impact. i 6. Conclusion Regardless of the specific approach taken to the review, or to the analysis of resultant data, one of the great strengths of following sys­ tematic approaches, is that reviews are updatable as new evidence be­ comes available. Thus, systematic approaches allow tracking, through time, of the nature and pathways through which evidence travels through the literature resulting in impact on wider society. With sufficient time and resources, there are now evaluation methods that can be used to monitor and assess almost any impact arising from research. Knowing what delivers impact (and what does not) can help researchers and research evaluators anticipate challenges and avoid using methods that are unlikely to work or that might lead to unintended negative consequences. When things do not go according to plan, evaluation findings can give researchers ideas about how to get things back on track or do things better next time. Whether for funders, the media or the wider public, the process of evaluating impact often enables researchers to communicate the value of research to wider audiences. i References Alla, K., Hall, W.D., Whiteford, H.A., Head, B.W., Meurk, C.S, 2017. How do we define the policy impact of public health research? a systematic review. Health Res. Policy Systems 15, 84. Alvarez, S., Douthwaite, B., Thiele, G., Mackay, R., C´ordoba, D., Tehelen, K, 2010. Participatory Impact Pathways Analysis: a practical method for project planning and evaluation. Dev. Pract. 20, 946–958. authors declare that they have no known competing interest. authors declare that they have no known competing interest. differ substantially from those of funders and other stakeholders seeking to evaluate impact. While we have sought to generalise as far as possible through the construction of our typology and methodological frame­ work, to provide methods that can be used across contexts and for different purposes, it is important to recognise the differences between these groups, and how their contexts, perceptions and beneficiaries are likely to change over time. Although it is impossible to capture all possible methods for evaluating impact, we hope that the examples provided under each type of evaluation design will stimulate additional reading and experimentation. Using the methodological framework described in this paper, it should be possible for researchers, funders and other stakeholders working across multiple disciplines to design more effective evaluations to evidence the impact of research. Acknowledgements The authors were supported by the Integrated Catchment Solutions Programme (iCASP) funded by the UK Natural Environment Research Council’s Regional Impact from Science of the Environment scheme (grant NE/P011160/1). CRediT authorship contribution statement Australian Research Council (ARC), 2017. Engagement and impact assessment. Access via: https://www.arc.gov.au/engagement-and-impact-assessment. M.S. Reed: Conceptualization, Methodology, Formal analysis, Writing - original draft, Writing - review & editing, Visualization, Project administration. M. Ferr´e: Writing - original draft, Writing - review & editing. J. Martin-Ortega: Writing - original draft, Writing - review & editing. R. 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Measuring the societal impact of research: research is less and less assessed on scientific impact alone—we should aim to quantify the increasingly important contributions of science to society. EMBO Rep. 13 (8), 673–676. Bozeman, B., Sarewitz, D., 2011. Public value mapping and science policy evaluation. Minerva 49, 1–23. Bornmann, L., 2012. Measuring the societal impact of research: research is less and less assessed on scientific impact alone—we should aim to quantify the increasingly important contributions of science to society. EMBO Rep. 13 (8), 673–676. 5. A methodological framework for research impact evaluation While this in­ troduces potential overlap between types, indicator-based and system­ atic review approaches are widely used in impact evaluation, and to remove these from the typology to avoid potential overlap would significantly constrain the utility of the typology for identifying the most relevant type of evaluation design for any given purpose or context. This typology then formed the basis for a wider methodological framework to guide anyone who needs to select a relevant evaluation design and methods to causally link impacts to research and assess their significance and reach. There are almost as many evaluation methods and approaches as there are impacts, and as researchers seek to demonstrate new impacts, methods will continue to evolve. The audi­ ence for this paper is also diverse, and the needs of researchers may 1 Monitoring can be categorized as follows: i) surveillance monitoring is about assessing long-term changes in conditions resulting from an activity; ii) operational monitoring consists of implementing additional measure for cases where there is risk of failure of not meeting initial directives; and iii) investi­ gative monitoring determines reasons to failure. 11 M.S. Reed et al. Research Policy 50 (2021) 104147 Fig. 2. Methodological framework for evaluating research impact. Fig. 2. 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Abstract Purpose Intraoperative localisation and preservation of parathyroid glands improves outcomes following thyroid and parathyroid surgery. This can be facilitated by fluorescent imaging and methylene blue; a fluorophore is thought to be taken up avidly by parathyroid glands. This preliminary study aims to identify the optimum dose of methylene blue (MB), fluorescent patterns of thyroid and parathyroid glands and develop a protocol for the use of intravenous MB emitted fluorescence to enable parathyroid identification. Methods This is a phase 1b, interventional study (NCT02089542) involving 41 patients undergoing thyroid and/or parathyroid surgery. After exposure of the thyroid and/or parathyroid gland(s), intravenous boluses of between 0.05 and 0.5 mg/kg of MB were injected. Fluobeam® (a hand held fluorescence real-time imager) was used to record fluorescence from the operating field prior and up to 10 min following administration. Results The optimum dose of MB to visualise thyroid and parathyroid glands was 0.4 mg/kg body weight. The median time to onset of fluorescence was 23 and 22 s and the median time to peak fluorescence was 41.5 and 40 s, respectively. The peak fluorescence for thyroid and parathyroid glands compared to muscle were 2.6 and 4.3, respectively. Parathyroid auto- fluorescence prior to methylene blue injection was commonly observed. Conclusions A clinical protocol for detection of fluorescence from MB during thyroid and parathyroid surgery is presented. Parathyroids (especially enlarged glands) fluoresce more intensely than thyroid glands. Auto-fluorescence may aid parathyroid detection, but MB fluorescence is needed to demonstrate viability. Keywords Methylene blue . Near-infrared . Fluorescence . Localisation . Parathyroid . Intraoperativ * Sarah L. Hillary sarah.hillary@sth.nhs.uk Use of methylene blue and near-infrared fluorescence in thyroid and parathyroid surgery Sarah L. Hillary1,2 & Stephanie Guillermet3 & Nicola J. Brown2 & Sabapathy P. Balasubramanian1, Received: 21 March 2017 /Accepted: 24 November 2017 /Published online: 11 December 2017 # The Author(s) 2017. This article is an open access publication Langenbeck's Archives of Surgery (2018) 403:111–118 https://doi.org/10.1007/s00423-017-1641-2 Langenbeck's Archives of Surgery (2018) 403:111–118 https://doi.org/10.1007/s00423-017-1641-2 ORIGINAL ARTICLE 1 Sheffield Teaching Hospitals NHS Foundation Trust, c/o Room F25, Royal Hallamshire Hospital, Glossop Road, Sheffield, South Yorkshire S10 2JF, UK 3 Fluoptics, Grenoble, France 2 Department of Oncology and Metabolism, University of Sheffield, Sheffield, UK Methods This is an interventional study, without a control arm. Two groups of patients were included—patients with primary hy- perparathyroidism (PHPT) undergoing parathyroidectomy (bilateral neck exploration/targeted parathyroidectomy) and patients undergoing thyroid resection (hemithyroidectomy/to- tal thyroidectomy). At thyroid and/or parathyroid surgery under general anaes- thesia, the intervention was paused after exposure of the thy- roid gland and at least one parathyroid gland to assess fluo- rescence. Accurate identification of the parathyroid gland re- lied on the surgeon’s judgement based on the appearance and location of the gland. In patients undergoing parathyroid sur- gery, the abnormal gland was identified. If the patient was undergoing a bilateral procedure, only one side of the neck was included in the recordings and assessments. The study could only proceed after at least one parathyroid gland was identified with confidence by the surgeon. At this stage, the Fluobeam® 700 camera in a sterile, transparent cover and connected to a laptop computer was held at a working distance of around 20 cm from the surgical field. The ambient room light was dimmed to a level similar to that used during lapa- roscopic surgery and the camera set at an exposure time of 83 ms. Intravenous methylene blue was then administered at a pre-determined dose based on results from previous partici- pants in the study. For the first patient, a dose of 0.05 mg/kg body weight of MB was administered based on extrapolation from the previous animal experiment [24]. A sequence of images was recorded with a fixed interval time of 1 s between images. Recording was started before methylene blue was infused and continued for 10 min in the majority of patients. Continuous ECG and saturation monitoring was used in all patients. Blood pressure was monitored at 5-min intervals throughout the operation. MB emits light in the near-infrared range (~ 700 nm). As near-infrared (NIR) light is invisible to the naked eye, the dye does not stain the operating field. Its presence is detected by a camera and is projected to a screen for visualisation. An addi- tional advantage is that NIR radiation penetrates tissue better than visible light. The Fluobeam® 700 (Fluoptics, Grenoble, France) is a portable NIRF imaging system comprising of a control box linked to a camera head. The instrument head contains a class 1 laser (wavelength 680 nm), white light emitting diodes (LED) and a charge-coupled device camera. Introduction Transient and long-term post-surgical hypoparathyroidism due to inadvertent removal, damage or devascularisation of parathyroid glands remains a common problem [1–4]. Accurate identification and differentiation between normal and enlarged parathyroid glands is essential for a good outcome. Parathyroid glands can have a varied position and their small size and soft consistency increases the risk of inaccurate identification and damage at surgery. These glands may also be mistaken for other soft tissues such as lymph nodes or thyroid nodules, or vice versa. Near-infrared fluorescence (NIRF) is one of several novel technologies that may be useful in early identification and preservation of parathyroid glands during surgery. Fluorophores re-emit light of a higher wavelength when ex- cited by a light source. Some emit light outside of the visible spectrum in the near infra-red region (700–900 nm) [5]. NIRF 2 Department of Oncology and Metabolism, University of Sheffield, Sheffield, UK 112 Langenbecks Arch Surg (2018) 403:111–118 has been used in surgery to aid real-time intraoperative visu- alisation of tissues and differentiate between tissue types [6–10] including sentinel lymph node mapping [6, 10–12]. Fluorophores that are currently available for clinical use in- clude methylene blue (MB), indocyanine green (ICG) and 5- aminolevulinic acid (5-ALA). Intraoperative use of NIRF ex- ploits the routes of metabolism and clearance of these agents in the body. ICG, excreted by the liver, is present in bile. This has been used to image bile ducts and liver cancers [8, 13–17]. MB, excreted via the kidneys, allows imaging of the ureters [7, 18]. Studies in neurosurgery have found that 5-ALA al- lows intraoperative assessment of tumours including menin- gioma [19]. fluorescence between thyroid, parathyroid and other soft tis- sue structures. Although MB fluorescence from human thy- roid and parathyroid tissue has been reported recently [26, 27], a systematic evaluation of dose response and temporal chang- es in fluorescence has not been performed. The aim of the current study was to develop a protocol for the use of Fluobeam® 700 in combination with intravenous MB, for the detection of parathyroid tissue with differentiation from adjacent soft tissue, during thyroid and parathyroid sur- gery. The objectives were to identify the optimum dose of intravenous MB and time to peak fluorescence of normal and abnormal thyroid and parathyroid glands and to determine differences in patterns (onset, intensity and duration) of fluo- rescent staining between the various soft tissues of interest in the neck. Introduction Methylene blue is likely to be favourable for use in thyroid and/or parathyroid surgery as it is taken up readily by endo- crine tissues [20, 21]. MB has traditionally been used intrave- nously in high doses (3–7.5 mg/kg) to aid naked eye identifi- cation of enlarged parathyroid glands by discolouring the gland blue. This method is thought to be very sensitive [22]. However, high-dose MB has many disadvantages. The oper- ative field may be discoloured by blue dye; the staining may not be visualised through overlying tissue or fascia; there may be significant discolouration of the patient’s skin and urine and patients may suffer severe allergic reaction to the dye, but this is rare. At these high doses, MB also exerts neurotoxic effects, especially when used in conjunction with serotonin re- uptake inhibitors (SSRIs), adding significant morbidity to an otherwise relatively safe procedure [22, 23]. Methods A high-band pass filter ensures that only fluorescent light over 700 nm is collected. The control box is linked to a laptop where real-time still and video images are displayed on screen and recorded. We have previously investigated the use of MB and this imaging system in a rabbit model and showed that both thy- roid and parathyroid glands fluoresced at low doses (0.025– 3 mg/kg) of MB; the parathyroid glands showed a lower in- tensity of fluorescence with faster washout when compared to the thyroid gland [24]. A Phase Ia human study evaluated the feasibility of using NIRF imaging in the detection of parathyroid tissue and the patterns of fluorescent staining during parathyroidectomy [25]. This study showed that MB fluorescence can be demon- strated during surgery and there are differences in 113 Langenbecks Arch Surg (2018) 403:111–118 The study was divided into three stages—‘training’, ‘test- ing’ and ‘final’. The aim of the training stage was to estimate the optimal dose of MB, the duration of observation and to develop a working protocol. The dose of MB was refined in the testing stage before moving onto the final stage where the agreed protocol was tested. In the training and testing stages, MB doses starting at 0.05 mg/kg were administered and in- creased in increments of 0.05 mg/kg up to a maximum of 0.5 mg/kg in subsequent patients. The incremental change in dose depended on the results obtained from previous patients in the trial and the nature of the surgery (thyroid vs parathy- roid) and was decided upon by the primary investigators (SH and SPB). approached for participation and given study information leaf- lets. A second meeting was planned with all patients to con- firm eligibility and consent. The flow of patients from initial screening to inclusion in the study is shown in Fig. 1. Of the 42 patients (36 female, 6 male), 32 underwent sur- gery for thyroid pathology and 10 for primary hyperparathy- roidism. The median age (range) of participants was 49 (20– 85). One patient was withdrawn prior to administration of MB as a decision was made not to interrupt the surgery due to anaesthetic difficulties that were encountered intraoperatively and is therefore not included in the study. Twenty-one patients were included in the training stage, 14 in the testing stage and 6 in the final stage. Methods The training stage was used to find the approximate dose of MB that would be required by systemat- ically increasing the dose by 0.05 mg/kg until fluorescence was reliably demonstrable in the tissues. The testing phase narrowed down the dose from a narrow range (0.3–0.5 mg/ kg) to a single dose that was taken forward to the final stage (0.4 mg/kg). Two patients’ results were excluded as the laser was inadvertently switched off during recording in one and bright ambient light adversely affected detection of fluores- cence in another. Images captured were analysed using ImageJ software [28]. Fluorescence intensity readings were taken from the thyroid gland, parathyroid gland, soft tissue (muscle or subcutaneous tissue) and surgical drapes. The mean grey scale measurement from the defined area was plotted against time. Ratios were calculated of the thyroid and parathyroid glands compared to soft tissue and the drapes and also plotted against time. There are no formal statistical grounds (e.g. precision or power) on which an informed decision could be made regard- ing sample size calculations. A sample size of 50 (25 of each procedure) was selected on pragmatic grounds, keeping in mind the design of the protocol. There was a predictable, transient and spurious fall in oxy- gen saturation (pseudohypoxia) within the first minute of ad- ministration of MB, which recovered completely in all pa- tients within 30 s. Oxygen saturations were shown to fall briefly to as low as 65%. All other hemodynamic parameters were stable at this time. This fall in saturation is due to an artefactual change in light absorbance as the dye in plasma interferes with photometric measurement of blood oxygen saturation [30, 31]. No patients had significant hypotension or ECG changes in relation to the administration of MB. No visible staining was observed of the glands or the rest of the surgical field. Postoperatively, some patients commented on a transient discolouration of urine but no other side effects were noted. Onset of fluorescence and peak fluorescence readings were taken from the first 120 s after administration of MB. This captured the onset and first peak of fluorescence in all cases. As recording continued past 5 min, there was a significant increase in artefact from repositioning of hands and instru- ments and camera movement. Further peaks after this time were therefore disregarded. Methods Analyses of fluorescent intensity were limited to the first 120 s of recording in patients given the final dose of 0.4 mg/kg MB. The first few seconds of record- ing, prior to administration of MB, was used to evaluate para- thyroid auto-fluorescence. The parathyroid glands were often noted to be fluorescent and distinct from surrounding soft tissue prior to administra- tion of methylene blue (auto-fluorescence). The mean differ- ence in relative intensity between the PG and thyroid gland was +1.3 (n = 14) in the 10 s prior to MB administration in patients administered 0.4 mg/kg. Fluorescence was detected from the thyroid and PGs at doses as low as 0.05 mg/kg. However, at this dose, fluorescence was short-lived (around 8 s) and therefore unlikely to be useful in clinical practice. Data analyses were primarily descriptive. The time to peak fluorescence of the thyroid and parathyroid glands and the fluorescent ratios were compared using the Wilcoxon signed rank test. The study was approved by the Medicines and Healthcare Regulatory Agency (MHRA) (Reference number: 21304/ 0252/001-0001) and the Regional Research Ethics Committee (REC) (Reference number: 14/NW/0270). The study protocol was registered with ClinicalTrials.gov [29]. All patients included in the study were fully informed and gave written consent. Enlarged parathyroid glands (adenomatous or hyperplastic tissue in the context of primary hyperparathyroidism) showed increased fluorescence compared to normal glands. In one patient where an abnormal and normal parathyroid gland were both in view; at a dose of 0.1 mg/kg MB, the enlarged para- thyroid gland demonstrated a peak fluorescence parathyroid: muscle ratio of 4.5 compared to 2.1 for the normal appearing gland. With increasing dose of MB, enlarged parathyroid Results A total of 101 patients who were due to undergo thyroid and/ or parathyroid surgery were screened for eligibility, 114 Langenbecks Arch Surg (2018) 403:111–118 101 paents pre- screened 71 paents reviewed for consent 41 paents parcipated 1 paent was withdrawn 2 declined 28 unable to meet researcher again 22 not eligible 7 declined consent 2 paents excluded Fig. 1 Recruitment flow chart Fig. 1 Recruitment flow chart 101 paents pre- screened 2 declined 28 unable to meet researcher again 71 paents reviewed for consent 22 not eligible 7 declined consent 2 paents excluded glands showed intense fluorescence compared to surrounding tissues and in comparison to thyroid and normal PGs. Eleven PGs thought to be abnormal by the surgeon were sent for histology. All of these were shown on histology to be parathy- roid tissue. Ten of these glands were abnormal (8 adenoma, 2 hyperplastic) and one was a normal parathyroid. improve the quality of images. At this dose, PGs appeared to fluoresce brighter than the adjacent thyroid tissue in the major- ity of patients. PG adenomas showed significantly brighter fluorescence compared to normal glands at the same dose. Parathyroid glands have been shown to auto-fluoresce in the near-infrared spectrum. Two other studies evaluating para- thyroid auto-fluorescence at wavelengths 750 nm [32] and 785 nm [33, 34] have shown that the parathyroid fluoresces between 2 and 11 times more than the thyroid or other neck structures [32–34]. The mechanism behind parathyroid auto- fluorescence is not yet understood and the fluorescence ap- pears to be independent of pathology and gland viability [32, 35]. This study has demonstrated auto-fluorescence at excita- tion wavelength of 680 nm and this has not previously been observed. Although auto-fluorescence may aid intraoperative parathyroid identification, a further assessment of viability is needed to help make the decision for auto-transplantation as auto-fluorescence appears to be independent of perfusion. This is highlighted by an example in this study where there were concerns about viability in one parathyroid. Here, the PG was visible with use of the Fluobeam® 700 prior to the bolus of MB. The PG did not show any change in fluorescence after the bolus for up to 7 min after injection; which was not in keeping with other glands that were deemed to be viable. Results The demonstration of auto-fluorescence at 680 nm that is also compatible with MB fluorescence is of significance because the same device/technology can be used to both screen for the presence of parathyroid glands and also determine their via- bility after MB administration (Fig. 4). At the end of the testing phase, a dose of 0.4 mg/kg was adopted as the optimum dose (Figs. 2 and 3). At this dose, fluorescence from normal PGs was deemed to be reliable. A total of 15 patients received 0.4 mg/kg of MB (thyroid = 12, parathyroid = 3). The median of the times to onset of fluores- cence, time to peak fluorescence, gland to ‘drape’ ratios and gland to muscle ratios at this dose are shown in Table 1. At this dose, the thyroid and PGs show a similar time to onset of fluorescence (p = 0.109) regardless of pathology. The time to peak fluorescence was 41.5 s (28–103) and 40s (26– 88) for thyroid and parathyroid glands respectively and this was not significantly different (p = 0.859). PGs fluoresce more intensely than the thyroid when comparing either the gland to drape (p = 0.019) or gland to muscle ratios (p = 0.013). Abnormal parathyroid glands appear to fluoresce brighter than normal PGs, but the numbers within these sub groups are too small to test for statistical significance. Discussion To our knowledge, this is the first human, phase I intraoperative dose response study of any fluorescent agent in surgical litera- ture. The dose of 0.4 mg/kg MB appears to be the optimum level at which both thyroid and PGs reliably fluoresce for a clinically useful period of time. Increasing the dose does not Alternative imaging systems such as FLARE™and Mini- FLARE™have been used in some studies to assess MB fluo- rescence of parathyroid adenomas [26, 27]. A fixed dose of 115 Langenbecks Arch Surg (2018) 403:111–118 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 60 Fluorescence Mean (greyscale/ms) Time (S) 0.1mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.2mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.35mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.4mg/kg Parathyroid Thyroid Fig. 2 Mean fluorescence of normal parathyroid and abnormal thyroid glands over at four different concentrations of MB in individuals with Graves’ disease 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 60 Fluorescence Mean (greyscale/ms) Time (S) 0.1mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.2mg/kg Time (S) Time (S) 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.35mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.4mg/kg Parathyroid Thyroid Fig. 2 Mean fluorescence of normal parathyroid and abnormal thyroid glands over at four different concentrations of MB in individuals with Graves’ disease Fig. 2 Mean fluorescence of normal parathyroid and abnormal thyroid glands over at four different concentrations of MB in individuals with Graves’ disease Fig. Discussion 116 Langenbecks Arch Surg (2018) 403:111–118 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.1mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.2mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.3mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.4mg/ kg Parathyroid Thyroid Fig. 3 Mean fluorescence of abnormal parathyroid and normal thyroid glands over time at four different concentrations of MB in individuals with primary hyperparathyroidism 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.2mg/kg 0 50 100 150 200 250 300 1 61 121 181 241 301 361 421 481 541 601 Fluorescence Mean (greyscale/ms) Time (S) 0.1mg/kg 1 1 2 2 3 Fluorescence Mean (greyscale/ms) Fig. 3 Mean fluorescence of abnormal parathyroid and normal thyroid glands over time at four different concentrations of MB in individuals with primary hyperparathyroidism Fig. 3 Mean fluorescence of abnormal parathyroid and normal thyroid glands over time at four different concentra primary hyperparathyroidism normal parathyroid and normal thyroid glands over time at four different concentrations of MB in individuals with These include the distance of the camera from the tissues due to operator use or depth of the surgical field, the position of the gland within the field of view and degradation of the image due to the original sterile cover. Adjusting for all these factors and keeping all extraneous factors constant is difficult in clin- ical practice. However, despite these extraneous influences, an objective assessment of fluorescent intensity using ImageJ enabled comparison of fluorescence between soft tissues at different doses and over time. This has resulted in the devel- opment of a clinical protocol that can be used in a pragmatic manner in the clinical setting. For the purpose of the experi- ments, both the thyroid and PG remained in a fixed field of view throughout the recording. Discussion 2 Mean fluorescence of normal parathyroid and abnormal thyroid glands over at four different concentrations of MB in individuals with Graves’ disease 0.5 mg/kg was used in all patients included in the studies, which concluded that parathyroid adenomas could be local- ised intraoperatively using this method and that normal PGs could occasionally be seen [26]. However, the basis of this fixed dose is not clear and no dose response assessments were included in the published reports. This study shows the potential for parathyroid auto- fluorescence at 680 nm to be used as a screening method for early parathyroid identification and MB fluorescence following intravenous administration for confirmation of parathyroid glands and assessment of its viability. The tech- nology may be of help in a number of different scenarios— early parathyroid identification to enable preservation of normal glands during thyroidectomy; assessment of viabil- ity of parathyroid glands at the end of thyroidectomy to determine the need for auto-transplantation; and early iden- tification of enlarged parathyroid glands in parathyroid sur- gery. This has in turn the potential to improve outcomes of thyroid and parathyroid surgery. As the onset of fluores- cence from the tissues is seen within seconds of MB admin- istration, the presented method enables a rapid assessment of viability without extensive preparation. Our study has shown that both normal and abnormal PGs can be identified at doses as low as 0.4 mg/kg (around 7.5– 17.5 times lower than doses previously used for macroscopic blue staining). At this dose, the viability of a parathyroid gland can be confirmed and it may be possible to differentiate para- thyroid adenoma from normal glands during a neck explora- tion. MB fluorescence can also be used to differentiate be- tween PG and surrounding soft tissue such as lobules of brown fat or lymph nodes. Although the thyroid gland fluo- resces following MB administration, the differences in auto- fluorescence along with MB fluorescence patterns assist in distinguishing parathyroids from thyroid tissue. There are a number of factors that affect the quantitative assessment of fluorescent intensity during the operation. Compliance with ethical standards entering the field of view and obscuring all or part of a gland. In this case, an area was selected which best represented the gland. It was also noted that over the period of 10 min there was operator fatigue and movement of the tissues of interest outside the field of view. During the repositioning of the in- struments or surgeon’s fingers used for retraction of the thy- roid, there were changes in fluorescence due to changes in exposure, movement from the centre of the field of view or changes in blood supply due to pressure on adjacent vascula- ture. Whilst attempts were made to take the reading from muscle, some of these readings may have been at least in part from adjacent subcutaneous soft tissue as it was difficult to always ensure that the strap muscles were in view during recording. Conflict of interest Authors SL Hillary and SP Balasubramanian declare that study equipment was on loan from Fluoptics. Author S Guillermet declares that she is employed by Fluoptics. Author N Brown declares that she has no conflict of interest. Ethical approval All procedures performed in studies involving human participants were in accordance with the ethical standards of the institu- tional and/or national research committee and with the 1964 Helsinki declaration and its later amendments or comparable ethical standards. Informed consent Informed consent was obtained from all individual participants included in the study. 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. The MB was injected via a tubing connected to a peripheral cannula. The size of this tubing varied in diameter, depending on the anaesthetist’s preference. It was noted that despite flushing of the tubing after administration of MB, occasional- ly, MB was left in the tubing. It is therefore recommended that MB is administered via a fine tube or connector to the periph- eral cannula. In conclusion, parathyroid glands can be identified intraop- eratively using NIR imaging following administration of in- travenous methylene blue at doses as low as 0.4 mg/kg. PG fluorescence is observed within 60 s of administration and PGs fluoresce more intensely than the thyroid tissue. Compliance with ethical standards Enlarged parathyroid glands may be distinguished from nor- mal glands based on the fluorescence intensity. This method has potential in enabling early and accurate identification of parathyroid glands and determining gland viability, thereby improving outcomes in thyroid and parathyroid surgery. A phase II study of this protocol to evaluate clinical outcomes such as post thyroidectomy hypoparathyroidism is now required. Discussion c NIRF image at peak parathyroid fluorescence (42 s after injection of 0.4 mg/kg MB) showing significant PG fluorescence (dotted circle) compared to thyroid and surround soft tissues (dotted circle). c NIRF image at peak parathyroid fluorescence (42 s after injection of 0.4 mg/kg MB) showing significant PG fluorescence (dotted circle) compared to thyroid and surround soft tissues Fig. 4 Patient with thyroid nodule undergoing right hemithyroidectomy. a Colour photograph of surgical field. Thyroid retracted medially by surgeon’s fingers. Normal superior PG identified dotted circle. b NIRF image prior to injection of MB showing parathyroid auto-fluorescence Acknowledgements Emma E Collins1, Peter P Truran1, Chern B Lim1, Barnard J Harrison1, Mireille C Berthoud2 1. Directorate of General Surgery, Sheffield Teaching Hospitals NHS Foundation Trust 2. Directorate of Anaesthesia, Sheffield Teaching Hospitals NHS Foundation Trust Clinical Research Facility (CRF) and operative ser- vices, Sheffield Teaching Hospitals NHS Foundation Trust 2. Directorate of Anaesthesia, Sheffield Teaching Hospitals NHS Foundation Trust Clinical Research Facility (CRF) and operative ser- vices, Sheffield Teaching Hospitals NHS Foundation Trust 1. Directorate of General Surgery, Sheffield Teaching Hospitals NHS Foundation Trust Discussion This may affect the fluores- cence detected by the camera from the more peripheral areas of the field of view compared to the centre as the laser exci- tation is highest in the centre. In practice, surgeons may use the camera in a less static manner and therefore the centre of the field of view may change as different areas of the neck are investigated. ImageJ was used post-acquisition as a method of quantifying the fluorescence detected from the images obtain- ed. A mean greyscale measurement of the pixels within a chosen area is a representation of fluorescence. The areas of interest were determined by free-hand selection. The images were occasionally degraded by surgical instruments or hands Table 1 Fluorescent patterns of thyroid and parathyroid glands at dose of 0.4 mg/kg body weight Median time in seconds to onset of fluorescence (range) Median time in seconds to peak fluorescence (range) Median peak gland to drape ratio (range) Median peak gland to muscle ratio (range) Parathyroid gland (n = 15) 22.0 (13–33) 40.0 (26–88) 17.8 (6.7–54.8) 4.3 (1.7–6.8) Thyroid gland (n = 14) 23.0 (12–34) 41.5 (27–103) 10.4 (5.7–29.7) 2.6 (1.1–5.1) Table 1 Fluorescent patterns of thyroid and parathyroid glands at dose of 0.4 mg/kg body weight 117 Langenbecks Arch Surg (2018) 403:111–118 Fig. 4 Patient with thyroid nodule undergoing right hemithyroidectomy. a Colour photograph of surgical field. Thyroid retracted medially by surgeon’s fingers. Normal superior PG identified dotted circle. b NIRF image prior to injection of MB showing parathyroid auto-fluorescence Fig. 4 Patient with thyroid nodule undergoing right hemithyroidectomy. a Colour photograph of surgical field. Thyroid retracted medially by surgeon’s fingers. Normal superior PG identified dotted circle. b NIRF image prior to injection of MB showing parathyroid auto-fluorescence (dotted circle). c NIRF image at peak parathyroi injection of 0.4 mg/kg MB) showing significan circle) compared to thyroid and surround soft ti (dotted circle). c NIRF image at peak parathyroid fluorescence (42 s after injection of 0.4 mg/kg MB) showing significant PG fluorescence (dotted circle) compared to thyroid and surround soft tissues with thyroid nodule undergoing right hemithyroidectomy. tograph of surgical field. Thyroid retracted medially by ers. Normal superior PG identified dotted circle. b NIRF o injection of MB showing parathyroid auto fluorescence (dotted circle). 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Neuroimmune Interaction in Inflammatory Diseases
Clinical medicine. Circulatory, respiratory and pulmonary medicine
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cc-by
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Peyman Otmishi, Joshiah Gordon, Seraj El-Oshar, Huafeng Li, Juan Guardiola, Mohamed Saad, Mary Proctor and Jerry Yu Pulmonary and Critical Care, Department of Medicine, Ambulatory Care Building, 3rd floor University of Louisville, Louisville, KY 40292, U.S.A. Pulmonary and Critical Care, Department of Medicine, Ambulatory Care Building, 3rd floor University of Louisville, Louisville, KY 40292, U.S.A. Pulmonary and Critical Care, Department of Medicine, Ambulatory Care Building, 3rd floor University of Louisville, Louisville, KY 40292, U.S.A. Abstract: The infl ammatory response is modulated through interactions among the nervous, endocrine, and immune systems. Intercommunication between immune cells and the autonomic nervous system is a growing area of interest. Spatial and temporal information about infl ammatory processes is relayed to the central nervous system (CNS) where neuroimmune modulation serves to control the extent and intensity of the infl ammation. Over the past few decades, research has revealed various routes by which the nervous system and the immune system communicate. The CNS regulates the immune system via hormonal and neuronal pathways, including the sympathetic and parasympathetic nerves. The immune system signals the CNS through cytokines that act both centrally and peripherally. This review aims to introduce the concept of neuroimmune interaction and discuss its potential clinical application, in an attempt to broaden the awareness of this rapidly evolving area and open up new avenues that may aid in the treatment of infl am- matory diseases. Keywords: vagus nerve, sensory nerve, infl ammation, immune, autonomic nervous system Correspondence: Dr. Jerry Yu, Professor, Department of Medicine (Pulmonary), University of Louisville, Louisville, KY 40292, U.S.A. Tel: 502-852-5146; Fax: 502-852-1359; Email: j0yu0001@louisville.edu Copyright in this article, its metadata, and any supplementary data is held by its author or authors. It is published under the Creative Commons Attribution By licence. For further information go to: http://creativecommons.org/licenses/by/3.0/. REVIEW REVIEW Neural Regulation of the Immune System g y The CNS regulates the immune system through hormonal and neuronal pathways. The Hypothalamic- Pituitary-Adrenal (HPA) axis is the most important neuroendocrine pathway. Corticotropin releasing hormone (CRH) released from the paraventricular nucleus of the hypothalamus into the hypophyseal portal circulation causes the anterior pituitary gland to secrete adrenocorticotropin (ACTH). ACTH in turn induces the expression and release of glucocorticoids from the adrenal gland. Glucocorticoids suppress the immune system and have been used extensively in the treatment of infl ammatory diseases since the 1940s (Webster, Tonelli, and Sternberg, 2002). In addition to affecting immune cell traf- fi cking, migration, maturation and differentiation, glucocorticoids regulate the expression of cytokines, adhesion molecules, and chemotactic factors (Eskandari, Webster, and Sternberg, 2003). Glucocor- ticoids shift the cytokine pattern from pro-infl ammatory [interleukin-1 (IL-1) and tumor necrosis factor-alpha (TNF-α)] to anti-infl ammatory (IL-10) (Elenkov and Chrousos, 1999). Glucocorticoids act through a cytosolic glucocorticoid receptor that eventually translocates into the nucleus and binds to specifi c DNA sequences called glucocorticoid response elements to regulate gene transcription (Aranda and Pascual, 2001). Abnormalities in the signaling pathways can over-express or under- express certain infl ammatory mediators, leading to diseases such as asthma (Leung et al. 1997), infl ammatory bowel disease (Honda et al. 2000), and rheumatoid arthritis (Derijk et al. 2001). Other Hypothalamic-Pituitary-target axes, such as the Hypothalamic-Pituitary-Gonadal axis, have also been implicated in the immune response (Berczi, 2001). At physiological concentrations, estrogen enhances the immune response whereas androgens suppress it (Cutolo and Wilder, 2000). For this reason, autoimmune and infl ammatory diseases are more common in females than in males (Olsen and Kovacs, 1996). ) Dendritic cells are antigen presenting cells. Their bone marrow-derived precursors reach most tissue via the bloodstream, becoming resident immature dendritic cells. These cells mature after activation and initiate the immune responses toward foreign proteins (Caux, Liu, and Banchereau, 1995). After capturing antigens, dendritic cells migrate to the T cell-dependent lymphoid organs via the afferent lymph. Their migration depends on the cell maturation and on the concentration of neuropeptides released by the sensory neurons at the site of infl ammation (Dunzendorfer et al. 2001). 35 Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 35–44 Otmishi et al Thus, stimulation of sensory nerve during infl ammation may recruit antigen presenting cells to the infl ammatory sites and therefore, propagate and control the degree of response. Neural Regulation of the Immune System and favor a shift from Th1 (cellular) to Th2 (humoral) responses (Elenkov and Chrousos, 1999). The parasympathetic nerves innervate most visceral organs and regulate the immune response through the so called ‘infl ammatory refl ex’ by a vagal-vagal mechanism (Tracey, 2002). In this scenario, vagal afferents are stimulated by pro- infl ammatory cytokines (TNF-α and IL-1β) and mediators (histamine and prostaglandins) and refl exively activate vagal efferents, via the solitary nucleus, to release acetylcholine (Ach) (Fig. 1). Subsequently, Ach acts through alpha-nicotinic r e c e p t o r s o n m a c r o p h a g e s t o inhibit production of pro-infl ammatory cytokines (Borovikova et al. 2000; Wang et al. 2003a). Stimulation of vagal afferents by intraperitoneal g p Neural control of the immune system also occurs through the sympathetic and parasympa- thetic nerves. Both, in general, are anti- infl ammatory. The sympathetic nerve innervates immune organs, such as the thymus, spleen and lymph nodes, causing effects through release of catecholamines. Immune cells (CD4+ T cells and B cells) express β2 adrenergic receptors, support- ing direct regulation by neurotransmitters released from sympathetic efferents (Kin and Sanders, 2006). Catecholamines decrease pro-infl ammatory cytokines, stimulate anti-infl ammatory cytokines, Figure 1. Illustration of a neuroimmune interaction. Infl ammatory mediators and cytokines may activate vagal afferents, causing a ‘refl ex’ via NTS to trigger neural circuitry and fi nally through vagal efferents to inhibit infl ammatory cells to release infl ammatory agents. The large, bold, blue arrows indicate initiation of the refl ex pathway, while the thin, blue arrows denote a direct stimulatory effect; the red arrow indicates an inhibitory effect. Involvement of inter-neurons is indicated by two-arrow connections. LPS and high levels of cytokines and mediators may infl uence the higher brain centers via the CVO. Abbreviations: Ach: Acytylcholine; CVO: Circumventricular Organ; Hypotha: hypothalamus; Infl am. cells: infl ammatory cells; NA: Nucleus Ambiguous; NTS: Nucleus Tractus Solitarus; LPS: Lipopolysacharide; VMN: Vagal Motor Nucleus. Figure 1. Illustration of a neuroimmune interaction. Infl ammatory mediators and cytokines may activate vagal afferents, causing a ‘refl ex’ via NTS to trigger neural circuitry and fi nally through vagal efferents to inhibit infl ammatory cells to release infl ammatory agents. The large, bold, blue arrows indicate initiation of the refl ex pathway, while the thin, blue arrows denote a direct stimulatory effect; the red arrow indicates an inhibitory effect. Neural Regulation of the Immune System Involvement of inter-neurons is indicated by two-arrow connections. LPS and high levels of cytokines and mediators may infl uence the higher brain centers via the CVO. Abbreviations: Ach: Acytylcholine; CVO: Circumventricular Organ; Hypotha: hypothalamus; Infl am. cells: infl ammatory cells; NA: Nucleus Ambiguous; NTS: Nucleus Tractus Solitarus; LPS: Lipopolysacharide; VMN: Vagal Motor Nucleus. n centers via the CVO. ytylcholine; CVO: Circumventricular Organ; Hypotha: hypothalamus; Infl am. cells: infl ammatory cells; NA: Nucleu us Tractus Solitarus; LPS: Lipopolysacharide; VMN: Vagal Motor Nucleus. g Abbreviations: Ach: Acytylcholine; CVO: Circumventricular Organ; Hypotha: hypothalamus; Infl am. cells: infl am Ambiguous; NTS: Nucleus Tractus Solitarus; LPS: Lipopolysacharide; VMN: Vagal Motor Nucleus. Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 36 Neuroendocrine and immune injection of IL-1β produces sickness responses (fever, lethargy, etc.), which is blocked by sub-diaphragmatic vagotomy (Goehler et al. 1999). Vagal afferent activity is also increased by exogenous IL-1β injected into the receptive fi eld of vagal sensory afferents in the lung (Yu et al. 2007) or by abdominal injection of lipopolysac- charides (LPS) that increase endogenous IL-1β. Electrical stimulation of vagal afferents increases IL-1β expression in the brain and activates HPA axis (Hosoi, Okuma, and Nomura, 2000). Electri- cal stimulation of vagal efferents during lethal endotoxemia inhibits TNF synthesis in the liver and lowers its serum level, preventing endotox- emic shock (Borovikova et al. 2000). Furthermore, using nicotine to activate the cholinergic anti- inflammatory pathways reduces mortality of endotoxemia (Wang et al. 2004) and inhibits endo- thelial cell activation and leukocyte migration (Saeed et al. 2005). Vagotomy nearly doubled mortality in septic animals (Kessler et al. 2006). Moreover, the discovery that mast cells interact with the nervous system through synaptic cell adhesion molecules (Ito and Oonuma, 2006) has shed light into the complex neuron-immune reac- tion. This vast undiscovered area of physiology has sparked interest and coined the term “the neuro-immune system” of disease. IL-1, which acts on the brain to activate the HPA axis to modulate the inflammatory response (Haddad, Saade, and Safi eh-Garabedian, 2002). ( ) Cytokines exert their effects on the CNS by various mechanisms, including: 1) by crossing the blood brain barrier through an active transport mechanism, 2) by passively diffusing through brain areas called circumventricular organs (CVO), where the fenestrated capillaries allow for higher permeability. Neural Regulation of the Immune System Through the CVO, the brain can monitor levels of cytokines and medi- ators in the blood, and 3) by directly activating peripheral sensory nerves (Hosoi, Okuma, and Nomura, 2002). Pro-infl ammatory cytokines or mediators may induce a series of mood and behavioral changes (collectively termed sickness behaviour, which is adaptive and helps the host to prevent system failure) by acting on receptors in the CNS, which are identical to those found on immune cells (Dantzer, 2004). The vagus nerve innervates a vast majority of internal organs, hence it can potentially receive various immune stimuli and convey immunological information to the CNS (Goehler et al. 1997; Watkins et al. 1995). In addition, fever develops within minutes following the peripheral injection of LPS when concentrations are not adequate to affect the brain in time to account for the response (Hosoi, Okuma, and Nomura, 2002; Kluger, 1991). These observations support a neural path- way that conveys peripheral immune signals to the brain and suggest a surveillance role of the CNS in numerous systemic diseases related to organ dysfunction like Irritable Bowel Syndrome and Acute Lung Injury. Infl uences of the Immune System on the CNS The neuro-immune interaction is bidirectional through their soluble products: cytokines and mediators (Shepherd, Downing, and Miyan, 2005). Infl ammatory cytokines play a crucial role in immune stimulation of nerves. Cytokines are a heterogenous group of polypeptides associ- ated with activating the immune system and infl ammatory responses. Cytokine receptors are found throughout the nervous system, including the CNS, vagus nerve, dorsal root ganglia, sciatic and sural nerves (Goehler et al. 1997; Plata- Salaman, 1991; Sorkin et al. 1997). IL-1β recep- tors are found even in carotid bodies (Wang et al. 2002). Activation of cytokine receptors contrib- utes to neurological diseases such as multiple sclerosis, AIDS dementia complex, stroke, and Alzheimer’s disease (Benveniste, 1998; Hopkins and Rothwell, 1995; Rothwell and Hopkins, 1995). During acute inflammatory states the immune response includes systemic release of In summary, the nervous system regulates the immune responses. Inflammation, a common mechanism involved in the pathophysiological process of various diseases, is an integral part of innate immune responses. Infl ammatory products activate sensory nerves and send signals regarding the state of the infl ammation to the CNS. Further- more, through the reflex, efferent nerves can release mediators that act on immune cells (Fig. 1). In the following sections, we will discuss some particular infl ammatory diseases associated with neuroimmune interaction. Rheumatology gy Rheumatoid arthritis (RA) affects 1% of the gen- eral population, making it the most common form Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 37 Otmishi et al of chronic inflammatory arthritis. RA can be divided into two main phases: pre-clinical and clinical. The pre-clinical phase is asymptomatic (Vassilopoulos and Mantzoukis, 2006), when auto- antibodies can be detected in blood (Nielen et al. 2004). Neuronendocrine interaction plays a crucial role at this stage. The clinical phase is symptom- atic and can be further divided into early and chronic phases. Chronic infl ammation alters neu- ropeptide processing, leading to long-term func- tional and structural changes in innervation, neurovascular regulation, and immune modula- tion. An altered HPA axis in RA points to an interaction between the disease and the neuroen- docrine system. mainstay treatment in severe RA. The immune response is predominantly regional, but can be systemic. Substance-P (SP) released by sensory fi bers in the infl amed synovium, cytokines such as TNF-α and IL-2, and circulating activated immune cells have all been implicated in rheu- matoid pathology (Straub and Cutolo, 2001). For example, SP, which is pro-inflammatory, is secreted by nerves and infl ammatory cells such as macrophages, eosinophils, lymphocytes and dendritic cells and acts through its neurokinin-1 (NK-1) receptor. SP and NK-1 receptor mRNA levels are elevated in the synovium and syn- oviocytes of patients with RA. Joint infl amma- tion involves plasma extravasation, infi ltration of the synovium with inflammatory cells, followed by vascular remodeling. SP potentiates plasma extravasation and enhances infl ammatory responses in a mouse arthritis model (Keeble et al. 2005). Infl ammatory signals activate the HPA axis and the hypothalamic-autonomic ner- vous system axis, exerting anti-infl ammatory effects in arthritic joints through cortisol and catecholamines. In theory, an inadequate neuro- endocrine response may result in the transition from the early to chronic phase in RA. Sympa- thetic responses are increased in RA patients following stimulation of sensory fi bers in syno- vial tissue. Despite this, the number of sympa- thetic fi bers in infl amed RA joints is lower than in non-infl ammatory joints (Miller et al. 2000). Perhaps this loss of sympathetic fi bers prevents the host from conveying anti-inflammatory actions through the sympathetic system. y The symmetric involvement of joints in RA and autonomic dysfunction associated with RA pro- vides a compelling link of the disease with the CNS. Neurological Diseases g There has been much interest in the relationship between infl ammation and pain. Painful informa- tion (nociception) is relayed to the CNS through afferent nerves, which are mostly comprised of unmyelinated C fi bers and myelinated Aδ fi bers. These afferents synapse to second order neurons in the dorsal horn of the spinal cord. Nociceptors are usually polymodal, responding to a variety of nox- ious stimuli (Kidd and Urban, 2001). Tissue infl am- mation or injury generates a surge of infl ammatory mediators (cations, bradykinin, histamine, 5 HT, ATP, nitric oxide and cytokines). These mediators can either directly stimulate or sensitize the noci- ceptors. They can also increase production and release of more infl ammatory mediators, leading to nociceptor activation. Hence, pro-infl ammatory mediators may play a major role in the pathogen- esis of chronic neuropathic pain syndromes. ( ) Sympathetic nerve has been investigated in various studies related to neuroimmune interac- tion, including the pathogenesis of multiple scle- rosis (Elenkov et al. 2000). Receptors for sympathetic neural transmitter, β2 adrenoceptors, provide important protective and supportive func- tions in cell proliferation, response, and metabo- lism. Astrocytes in multiple sclerosis lack β2 adrenoceptors (De et al. 2004), the activation of which inhibits the expression of pro-infl ammatory cytokines via cAMP. Lack of β2 adrenoceptors may also transform astrocytes into facultative antigen presenting cells, initiating the infl amma- tory cascade. β2 receptor defects also impair glycogenolysis, which generates lactate as an energy source for axons. Disturbances in axonal metabolism may cause accumulation of calcium ions inside the axon and thus degeneration. This rationale might provide a new therapeutic strategy to reduce or prevent both relapses and the progres- sion of multiple sclerosis by increasing c-AMP levels in astrocytes (De et al. 2004). p p y Painful neuropathies are caused by nerve injury from infl ammatory disease or trauma, and are infl u- enced by cytokines and immune mediators (Baron, 2000). Their study can be traced back to Mitchell’s classic work from the American Civil War (Moalem and Tracey, 2006). Nerve injury activates resident immune cells and recruits infl ammatory cells to the injured sites, initiating an infl ammatory cascade. Mast cells near the nerve are activated to release histamine and TNF-α, which recruit neutrophils and macrophages, as well as sensitize nociceptors. In turn, the recruited infl ammatory cells secrete cyto- kines and mediators (TNF-α and PGE2) that can further sensitize nociceptors. Rheumatology For example, TNF- α can be released from sciatic Schwann cells (Wag- ner and Myers, 1996) and injection of TNF-α and IL-1β into rat sciatic nerve causes pain (Zelenka, Schafers, and Sommer, 2005). TNF-α can stimulate the sciatic nerve directly. Intradermal injection of TNF-α leads to sensitization and subsequent hyper- algesia (Sorkin et al. 1997). Such an interaction may prime the system for slowly developing sustained pain during the chronic phase of neuropathy (Ben- nett, 1999). Over time, episodic priming, by the release of infl ammatory mediators, may also con- tribute to chronic conditions like diabetic neuropa- thy. Guillain-Barré Syndrome, an autoimmune injury of the peripheral nervous system causing demyelination, is characterized by progressive ascending polyneuropathy, which may progress to quadriplegia and lead to respiratory arrest. A strong correlation of serum levels of TNF-α and its receptors with disease severity and recovery is found in patients with Guillain-Barré Syndrome (Radhakrishnan et al. 2003). identifi cation techniques may help determine if genes associated with the neuroendocrine axis play a role in RA predisposition. The neuroendocrine link has also been implicated in Sjogren’s syndrome (Johnson and Moutsopoulos, 2000), chronic fatigue syndrome and fi bromyalgia (Moldofsky, 1995). Sjogren’s syndrome is a perfect model for studying alterations in the neuroendocrine- immune system, since patients are usually medica- tion free and hence devoid of the confounding effects of immunosuppressive treatment (Johnson and Moutsopoulos, 2000). Rheumatology Additionally, patients with central or periph- eral hemiparesis who later develop RA, do not have joint disease in the paretic limbs, further suggest- ing neuronal involvement. In Sprague Dawley rats, infl ammation (swelling and hyperalgesia) induced in one hindpaw produced the same signs in the contralateral paw with a similar magnitude and duration (Levine et al. 1985b). Chronic denerva- tion of either the injured or the uninjured limb markedly attenuated the contralateral infl ammatory response. This suggests that local infl ammation can stimulate sensory nerves and refl exively pro- duce infl ammatory responses in the contralateral limb. In addition, denervation by capsaicin in either hind limb attenuates the contralateral responses, indicating an involvement of afferent C-fi bers. Vein ligation has no effect on the infl ammatory responses observed, excluding the possibility of humoral mediation (Levine et al. 1985a). g y p y Following exposure to streptococcal cell wall antigen, chronic arthritis develops in Lewis rats, which have a blunted HPA response, but not in Fischer rats having an increased hypothalamic CRH response. Glucocorticoid antagonists increase the susceptibility to arthritis, while glucocorticoids suppress the infl ammatory response in arthritic rats (Vassilopoulos and Mantzoukis, 2006). However, arthritis in rat models is a polygenic disease where the impact of genetic variability on phenotypic expression accounts for about one-third of the cases. In human RA, genetic analysis for disease susceptibility has been performed around the world. Human Leukocyte Antigen (HLA)-related genes may be involved in predisposition to disease in about one-third of the cases, whereas non-HLA regions are responsible for remainders (Steinsson and arcon-Riquelme, 2005). Newly developed gene In physiological states, synovial nociceptors (C fi bers and Aδ fi bers) remain silent. During infl ammation, however, they become sensitized to chemical, mechanical and thermal stimulation via two mechanisms. First, the mechanosensitive myelinated A fi bers mediate sensitization at the pre-synaptic (CNS) level through repeated, pro- longed stimulation. Second, soluble cytokines and infl ammatory mediators (prostaglandins, adenosine, serotonin, and bradykinin) can directly sensitize neurons, including nociceptors (Niissalo et al. 2002). TNF-α and IL-1β play vital roles in joint inflammation and bone destruction. Immun-modulators such as steroids, anti-TNF, and anti-IL-1 have become the Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 38 Neuroendocrine and immune Tracey, 2006). Focal neuritis in the rat sciatic nerve produces neuropathic pain sensations. Neuroim- mune interaction occurs at the outset of nerve injury that produces neuropathic pain. Neurological Diseases Nerve injury releases mediators, including ATP, nerve growth factor, PGE2 and pro-infl ammatory cytokines. This promotes recruitment of T cells, secreting a variety of cyto- kines. This cocktail of mediators enhances the infl ammation and contributes to pain (Moalem and Gastrointestinal Tract Macrophages are acti- vated in the muscularis externa of the human small bowel following intestinal manipulation (Kalff et al. 2003). Once activated, these resi- dent macrophages release pro-inflammatory mediators that cause bowel inflammation and inhibit contractility. Local inflammation can also inhibit distant sites, demonstrating that a neural pathway can paralyze the entire GI tract (de Jonge et al. 2003). were up-regulated in intestinal tissue. NK-1 receptor antagonists decreased disease severity and promoted healing pre-existing lesions (Sonea et al. 2002). Infl iximab, an antibody, which neu- tralizes TNF-α and down-regulates interferon gamma production (Agnholt and Kaltoft, 2001), benefi ts patients with active steroid-dependent or with fi stulizing Crohn’s disease. All stated above are consistent with that neuroimmune interactions play a role in the pathogenesis of IBD. Perhaps new avenues will open up for designing drugs to modify the disease course and decrease the morbidity of IBD. Irritable bowel syndrome (IBS) is the conse- quence of altered visceral perception and regula- tion of gastrointestinal motility and epithelial function, and is associated with CNS disturbance and psycosocial stresses (Barbara et al. 2004). The syndrome may accrue from primary altera- tions in the periphery or in the CNS, or a com- bination (Mayer, Naliboff, and Chang, 2001). Brain-gut interactions are mediated by outputs from the autonomic and neuroendocrine systems, as well as from attentional and pain modulatory responses. Psychological and physical stressors affect function of the GI tract through neuronal activity within emotion-specifi c circuits in the brain, and therefore enhancing gastric motility, mucosal blood flow and acid secretion. In response to internal or external stress, pro-infl am- matory cytokines in the GI tract are increased. This causes perception of symptoms via intrinsic and extrinsic primary afferent neurons (Barbara et al. 2004), which in turn further activates the neuronal circuits, intensifying the symptoms. Thus, IBS patients have an enhanced GI respon- siveness due to malfunction of the neuro- endocrine-immune interaction (Mulak and Bonaz, 2004). In the last 20 years, low dose antidepressants have been successfully used to treat IBS patients, partly due to their neuro- modulator properties, in addition to their anal- gesic effects (Wald, 2002). Inflammatory bowel disease, including Crohn’s disease and ulcerative colitis, is charac- terized by overproduction of infl ammatory cyto- kines, dysregulation of mucosal immunity and uncontrolled infl ammation in the gut. Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 Gastrointestinal Tract Recent research demonstrates the interrelation- ship between the nervous system and the Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 39 Otmishi et al mucosal immune system (Shanahan, 1999). In the gastrointestinal (GI) tract, activated mast cells release inflammatory mediators, which in turn stimulate sensory nerve endings (De Jonge et al. 2005). Activation of sensory nerves initiates ‘the inflammatory reflex’, releasing acetylcholine from vagal efferents and inhibit- ing cytokine production by macrophages (De Jonge et al. 2005). Furthermore, vagotomy leads to increase levels of IL-6, TNF-α and IL-1β in the gut (Ghia et al. 2006), exemplify- ing the vagal anti-inflammatory effects. Such a mechanism explains a well-established rela- tionship between tobacco use (nicotine) and inflammatory bowel disease (IBD). In ulcer- ative colitis, the protective effect of nicotine is related to the α7-subunit and its inhibition of TNF-α (Johnson, Cosnes, and Mansfield, 2005) and IL-8 (Louvet et al. 1999). Bowel manipulation, transplantation, and ischemia/ reperfusion injury activate intestinal macro- phages and cause acute gut inflammation. The pathogenesis of post-operative ileus exempli- fies such a mechanism. Macrophages are acti- vated in the muscularis externa of the human small bowel following intestinal manipulation (Kalff et al. 2003). Once activated, these resi- dent macrophages release pro-inflammatory mediators that cause bowel inflammation and inhibit contractility. Local inflammation can also inhibit distant sites, demonstrating that a neural pathway can paralyze the entire GI tract (de Jonge et al. 2003). mucosal immune system (Shanahan, 1999). In the gastrointestinal (GI) tract, activated mast cells release inflammatory mediators, which in turn stimulate sensory nerve endings (De Jonge et al. 2005). Activation of sensory nerves initiates ‘the inflammatory reflex’, releasing acetylcholine from vagal efferents and inhibit- ing cytokine production by macrophages (De Jonge et al. 2005). Furthermore, vagotomy leads to increase levels of IL-6, TNF-α and IL-1β in the gut (Ghia et al. 2006), exemplify- ing the vagal anti-inflammatory effects. Such a mechanism explains a well-established rela- tionship between tobacco use (nicotine) and inflammatory bowel disease (IBD). In ulcer- ative colitis, the protective effect of nicotine is related to the α7-subunit and its inhibition of TNF-α (Johnson, Cosnes, and Mansfield, 2005) and IL-8 (Louvet et al. 1999). Bowel manipulation, transplantation, and ischemia/ reperfusion injury activate intestinal macro- phages and cause acute gut inflammation. The pathogenesis of post-operative ileus exempli- fies such a mechanism. Respiratory System y y Pulmonary nociceptors, the most abundant afferent nerves in the lung, are sensitive to infl ammatory products, such as histamine, prostaglandins, and SP (Coleridge and Coleridge, 1984; Lee and Pisarri, 2001). Rodent nociceptors are associated with neuropeptides, SP, tachykinins, and Calcitonin Gene-Related Peptide, as well as other neurokinins. These neuropeptides are responsible for neurogenic infl ammation through the interaction of nociceptive fi bers and alveolar macrophages, releasing neuro- peptides and cytokines, respectively (McDonald, 1987; Solway and Leff, 1991). TNF-α increases bronchial tissue responsiveness (Anticevich et al. 1995), suggesting a role of infl ammatory cytokines in asthma and COPD. Accumulating evidence indicates the neuroendocrine and immune systems interact during the development of asthma (Mar- shall, Jr. and Agarwal, 2000). Many mediators released in the infl ammatory zone may modulate sensory and motor nerves in the airways (Barnes, 1992). Sensory nerves, in turn, may amplify infl ammation through the release of peptide neu- rotransmitters. Electrical stimulation of the cervi- cal vagus nerve evokes neurogenic infl ammation in the trachea and bronchi of rats. Neural mediators modulate the pulmonary infl ammatory response by triggering vasodilatation, tissue edema, and influx of inflammatory cells (Kraneveld and Nijkamp, 2001). SP and neurokinin are involved in bronchoconstriction and mucous production. The presence of SP in sensory fi bers is the ground- work of neurogenic infl ammation. Interestingly, mechanosensors in the lung, which do not express SP, become SP immune reactive after allergen challenge in guinea pigs. Ipsilateral vagotomy suppresses the SP expression (Chuaychoo et al. 2005). Nerve growth factor, which is closely associated with asthma, is released from lung fi broblasts at an increased rate when exposed to TNF-α and IL-1β (Olgart and Frossard, 2001). Pulmonary afferents, traveling through sympathetic nerves, also exist (Soukhova et al. 2003; Wang et al. 2003b) and potentially contribute to lung pathophysiology. Acute hypoxia infl uences pp g Acute Respiratory Distress Syndrome (ARDS) is a major source of intensive care mortality because of its association with other acute disor- ders (infection, trauma, sepsis, intoxication, or pancreatitis). Pro-infl ammatory cytokines may be crucial in the initiation, propagation, maintenance and regression of the infl ammatory response in the lungs by stimulating pulmonary nociceptors. Pro-infl ammatory cytokines are markedly elevated in broncho-alveolar lavage (BAL) samples from patients with ARDS, or those at risk for ARDS (Siler et al. 1989; Suter et al. 1992). Gastrointestinal Tract In patients with IBD, structural abnormalities include enteric glial cell hyperplasia (Geboes and Collins, 1998), ganglion cell and axonal degeneration, and necro- sis (Dvorak et al. 1993). Functionally, enteric glial cells are equivalent to astrocytes in the CNS (Cabarrocas, Savidge, and Liblau, 2003). Enteric glial cells and neurons in Crohn’s Disease express a major histocompatibility complex class 2 anti- gen on their cell surface (similar to macrophages) allowing them to act as antigen presenting cells and release pro-inflammatory cytokines and mediators (Geboes et al. 1992). SP has been implicated in IBD pathology. In IBD mouse mod- els, NK-1 receptors (the binding sites for SP) Lastly, neuroimmune interaction may also account for some cases of appendicitis that are negative for inflammation on histopathology. These are associated with neuroproliferation and increased SP and vasointestinal polypeptides. This distinct pathological entity, neuroimmune appen- dicitis, explains up to 25% of normal appendixes in surgical patients (Di et al. 1999). In experimen- tal pancreatitis, the vagus nerve provides a Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 40 Neuroendocrine and immune protective function through anti-infl ammatory effects via nicotinic receptors (van Westerloo et al. 2006). This may result in new approaches to treating acute pancreatitis besides bowel rest and pain analgesia. the neuroimmune system through the action of IL-1β under numerous conditions (asthma, chronic obstructive lung disease, sleep apnea and heart failure) (Johnson et al. 2007). In addition, emotions have a clear infl uence on asthmatic attack. A num- ber of studies have found a relationship between asthma and negative emotions, such as anxiety, anger, and sadness (von, Ehnes, and Dahme, 2006), supporting a neuroimmune interaction. Respiratory System TNFα, IL-1β and IL- 6 in plasma and BAL are increased in non-survivors of ARDS (Meduri et al. 1995). Furthermore, pulmonary nociceptor activity is increased dramatically during oleic acid-induced ARDS (Lin et al. 2007) or by direct injection of the infl ammatory cytokine IL-1β into the sensory receptive fi eld (Yu et al. 2007). This supports neuroimmune interaction mechanisms during acute pulmonary events. References Agnholt, J. and Kaltoft, K. 2001. Infl iximab downregulates interferon- gamma production in activated gut T-lymphocytes from patients with Crohn’s disease. Cytokine, 15(4):212–22. Derijk, R.H., Schaaf, M.J., Turner, G., Datson, N.A., Vreugdenhil, E., Cidlowski, J., de Kloet, E.R., Emery, P., Sternberg, E.M. and tera- Wadleigh, S.D. 2001. A human glucocorticoid receptor gene variant that increases the stability of the glucocorticoid receptor beta-isoform mRNA is associated with rheumatoid arthritis. J. Rheumatol., 28(11):2383–8. Anticevich, S.Z., Hughes, J.M., Black, J.L. and Armour, C.L. 1995. 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Neurokinins derived from sensory nerves interact with antigen presentation in dermal Langerhans cells in allergic skin disease (Darsow and Ring, 2001). Intracerebral adminis- tion of melanocyte-stimulating hormone α can inhibit cytokine-induced cutaneous infl ammation (Brazzini et al. 2003). Infl ammation also is a cru- cial component in cardiovascular diseases, includ- ing atherosclerosis. The autonomic nervous system may perform heart-brain communication through cytokine signaling to alter the disease course through anti-infl ammatory actions (Shishehbor, Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 41 Otmishi et al Alves, and Rajagopal, 2007). Neuropsychiatric disorders are infl uenced by neuroimmune interac- tion via neurotransmitters and cytokines (Fricchione et al. 2001). Neuroendocrine-immune cross-talk is not limited to infl ammation as a triggering factor. 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In short, research has advanced our understand- ing of neuroimmune interaction in disease processes over the last decade. This new under- standing has introduced a new approach to a vari- ety of disease processes. Both pro-infl ammatory cytokines and immune cells have been targeted for the treatment of various diseases. With intensifi ed research, detailed underlying mechanisms will be revealed and innovative strategies will be devel- oped to alter the course of currently debilitating and life threatening diseases. Coleridge, JCG. and Coleridge, H.M. 1984. Afferent vagal C fi bre innerva- tion of the lungs and airways and its functional signifi cance. Acknowledgements g This work is supported by a grant from NIH HL- 58727. gy ( ) De, K.J., Zeinstra, E., Mostert, J. and Wilczak, N. 2004. Beta 2-adrenoceptor involvement in infl ammatory demyelination and axonal degeneration in multiple sclerosis. Trends Pharmacol.. Sci., 25(2):67–71. Conclusion Rev. Physiol. Biochem. 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High bronchoalveolar levels of tumor necrosis factor and its inhibitors, interleukin-1, interferon, and elastase, in patients with adult respiratory distress syndrome after trauma, shock, or sepsis. Am. Rev. Respir. Dis., 145(5):1016–22. Zelenka, M., Schafers, M. and Sommer, C. 2005. Intraneural injection of interleukin-1beta and tumor necrosis factor-alpha into rat sciatic nerve at physiological doses induces signs of neuropathic pain. Pain, 116(3):257–63. Tracey, K.J. 2002. The infl ammatory refl ex. Nature, 420(6917):853–9. van Westerloo, D.J., Giebelen, I.A., Florquin, S., Bruno, M.J., Larosa, G.J., Ulloa, L., Tracey, K.J. and van der, P.T. 2006. The vagus nerve and nicotinic receptors modulate experimental pancreatitis severity in mice. Gastroenterology, 130(6):1822–30. Clinical Medicine: Circulatory, Respiratory and Pulmonary Medicine 2008:2 44
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Competitive Centipede Games: Zero-End Payoffs and Payoff Inequality Deter Reciprocal Cooperation
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Games 2015, 6, 262-272; doi:10.3390/g6030262 Games 2015, 6, 262-272; doi:10.3390/g6030262 OPEN ACCESS www.mdpi.com/journal/games Keywords: centipede game; backward induction; take-it-or-leave-it game; end-game effects; cooperation; reciprocity 1. Introduction Reciprocal interactions characterized by a repeated pattern of give-and-take underlie many human relationships. The following example should not be taken too literally but rather be considered as an archetype of a wide range social relationships: Two neighbors with adjacent properties take turns, once a week, tending to an apple tree growing on the border which separates their gardens. With each week of cultivation, the number of apples on the tree increases, and existing apples ripen, thus improving the prospective value of the harvest. This process continues as long as both neighbors continue to cooperate, and it terminates as soon as one of them defects by harvesting the crop. In this case, the defector secures a larger share of fruit, leaving a comparatively small share to the other person. If neither neighbor chooses to defect, then the process comes to a natural end once the fruit have reached full ripeness. In this second case, the individual whose turn it is at the time takes the larger share. The same basic strategic structure is present in a very wide variety of human interactions, including interpersonal relationships characterized by repeated, alternating opportunities for reciprocal acts of cooperation, economic and business relationships with recurrent opportunities for turn-taking assistance or favors, and political interactions with sequential opportunities for the exchange of support in voting assemblies, for example. In the apple harvesting example, even small variations of the collaborative reciprocal relationship could turn it into a new, much more competitive interaction. One such variation could be the introduction of a deadline by which the crop had to be harvested in order to prevent the fruit from rotting and leaving both neighbors with nothing. Such a deadline would make defection—at some point during the interaction—virtually inevitable. Hence, in contrast to the decision whether to defect, in this scenario individuals would have to decide when to defect. Another variation could be to increase the inequality in crop distribution between the two neighbors, in the most extreme case allocating the total crop to the defector. By increasing differences in relative gains, the roles of “winner” and “loser” become more pronounced and every cooperative action becomes more risky. The harvest decision context and its two competitive variations can be modeled with variations of Rosenthal’s [1] Centipede game, a two-player game of complete and perfect information. Eva M. Krockow *, Briony D. Pulford and Andrew M. Colman Department of Neuroscience, Psychology and Behaviour, University of Leicester, Leicester LE1 7RH, UK; E-Mails: bdp5@le.ac.uk (B.D.P.); amc@le.ac.uk (A.M.C.) Department of Neuroscience, Psychology and Behaviour, University of Leicester, Leicester LE1 7RH, UK; E-Mails: bdp5@le.ac.uk (B.D.P.); amc@le.ac.uk (A.M.C.) * Author to whom correspondence should be addressed; E-Mail: emk12@le.ac.uk; Tel.: +44-(0)116-229-7084; Fax: +44-(0)116-229-7196. * Author to whom correspondence should be addressed; E-Mail: emk12@le.ac.uk; Tel.: +44-(0)116-229-7084; Fax: +44-(0)116-229-7196. Academic Editor: Ulrich Berger Received: 2 July 2015 / Accepted: 14 August 2015 / Published: 18 August 2015 Abstract: Reciprocal cooperation can be studied in the Centipede game, in which two players alternate in choosing between a cooperative GO move and a non-cooperative STOP move. GO sustains the interaction and increases the player pair’s total payoff while incurring a small personal cost; STOP terminates the interaction with a favorable payoff to the defector. We investigated cooperation in four Centipede games differing in their payoffs at the game’s end (positive versus zero) and payoff difference between players (moderate versus high difference). The games shared the same game-theoretic solution, therefore they should have elicited identical decision patterns, according to orthodox game theory. Nevertheless, both zero-end payoffs and high payoff inequality were found to reduce cooperation significantly. Contrary to previous predictions, combining these two factors in one game resulted in a slight weakening of their independent deterrent effects. These findings show that small changes in the payoff function have large and significant effects on cooperation, and that the effects do not combine synergistically. Keywords: centipede game; backward induction; take-it-or-leave-it game; end-game effects; cooperation; reciprocity Games 2015, 6 Games 2015, 6 Games 2015, 6 263 1. Introduction Rosenthal’s original version, which he did not name in his original article, was of the type shown in Figure 1. Players A and B alternate in choosing between a cooperative GO move and a non-cooperative (defecting) STOP move at their respective decision nodes. Whereas GO serves to sustain the relationship, STOP terminates the game and leads down to an exit node at the bottom of the game tree, where both players’ final payoffs are displayed. The game was first named in print by Binmore [2] after its visual resemblance to a multi-legged insect. At a workshop in Haifa organized by the Israeli economist Joseph Greenberg in 1988, Robert Aumann presented a competitive version belonging to the type shown in Figure 2, in which both players are faced with zero payoffs at the end of the interaction if neither chooses to defect. We shall call games of this type Zero-end Centipede games. The competitive version shown in Figure 3, in which a player who defects takes the entire payoff pot that has accumulated up to that point, leaving nothing to the co-player, was introduced by Reny [3], who named games of this type Take-it-or-leave-it Centipede games (Huck and Jehiel [4] called them Take-or-pass games). Finally, a game version combining both competitive features—Zero-end and Take-it-or-leave it payoff function—is displayed in Figure 4. Games 2015, 6 26 Figure 1. Exponential Centipede game with positive payoffs at terminal exit node. Figure 2. Exponential Zero-end Centipede game. Figure 3. Take-it-or-leave-it Centipede game with positive payoffs at terminal exit node. Games 2015, 6 Games 2015, 6 264 Figure 1. Exponential Centipede game with positive payoffs at terminal exit node. Figure 3. Take-it-or-leave-it Centipede game with positive payoffs at terminal exit node. gure 3. Take-it-or-leave-it Centipede game with positive payoffs at terminal exit node. Figure 4. Take-it-or-leave-it plus Zero-end Centipede game. Figure 4. Take-it-or-leave-it plus Zero-end Centipede game. The subgame perfect Nash equilibrium solution of the Centipede game—in all its variations—is an immediate STOP move by Player A at Node 1, and this is proved with a well-known backward induction 265 Games 2015, 6 Games 2015, 6 (BI) argument. Referring for convenience just to the version shown in Figure 1, the BI reasoning begins at the game’s final decision node, Node 8, where Player B faces a choice between GO, leading to the natural end and a personal payoff of 25.60, and STOP, earning 51.20. 1. Introduction Player B, who is assumed to be a rational payoff maximizer, will therefore STOP at Node 8. Assuming that Player A is also a rational payoff maximizer and that the specification of the game and the rationality of both players are common knowledge, at Node 7 Player A will anticipate B’s defection and will therefore choose GO move at Node 7, and the argument unfolds all the way back to the beginning of the game, where Player A will defect immediately. The game-theoretic solution, despite appearing logically compelling and being supported by formal mathematical proofs [5–8], is highly counterintuitive. Comparing the outcomes of 0.40 and 102.40, the prospect of the higher amount should make a STOP at the first node seem unattractive. Even in the more competitive versions of the game (Figures 2 and 3), much higher payoffs can be obtained through mutual cooperation. Indeed, a growing body of empirical evidence has shown strong and reliable deviations from the equilibrium solution with little and inconsistent learning across games [9–12]. In McKelvey and Palfrey’s [10] first empirical study of the game, only 0.7% of players in their six-node game stopped at the first decision node, and 1.4% continued until the natural end of the game, representing a strong deviation from the theoretical prediction. Various reasons have been suggested for human subjects’ tendency to cooperate in the Centipede game; these include mistakes arising from bounded rationality, other-regarding preferences, direct and indirect reciprocity, use of the Take-the-Best heuristic, and best-reply matching [10,13,14]. Various modified versions of the basic Centipede have been investigated, and some of them have yielded significantly earlier defection, but the published evidence does not show which of the various modifications increase early defection. The experiment reported in this article is designed to disentangle the potential psychological factors and clarify our understanding of early defection in Centipede games. Comparatively little research has focused on more competitive versions of the Centipede game (Figures 2 and 3). Parco, Rapoport, and Stein [15] first introduced a nine-node Centipede game with three players, high payoff differences between players, and zero payoffs at the final exit node. This game was subsequently used in a number of experiments [16–18]. In a study of a high-stakes version of the game, Rapoport, et al. 1. Introduction [18], found very low levels of cooperation (almost 40% of their games ended at Node 1) and strong learning effects with decreasing cooperation across 60 repeated rounds of the game. This experiment elicited a different pattern of decisions from what is typically observed in standard Centipede games, but it remains unclear to which aspects of the design these differences can be attributed. The zero payoffs at the end are likely to have played an important role, but the number of players and the high payoff inequality may also have had large effects. Another confounding factor that could explain the strong learning effects reported in multi-player Zero-end Centipede games is the comparatively small pool of players taking part in the reported experiments, especially taking into account the high number of players per game and the numerous game repetitions (60–90 rounds). Even with anonymous random re-pairing after each round, players in these studies must have been aware of the high likelihood of repeated pairings with the same co-players, which could have elicited elements of supergame thinking and behavioral adaptations based on experience from previous rounds. Three studies—two of which as yet unpublished—used Take-it-or-leave-it Centipede games with even greater payoff inequality than the games used by Rapoport and his colleagues [4,19]. In a complex Games 2015, 6 266 Games 2015, 6 research design investigating decision making in Take-it-or-leave-it Centipede games with partially unknown payoff functions, continuous versus discrete moves, and simultaneous versus sequential move order, Cox and James [19] reported the lowest cooperation levels ever reported in any type of Centipede game. In their version of the game with continuous and simultaneous moves, more than 95% of all games ended at the first decision node. However, as in the case of the multi-player Zero-end games discussed above, it is difficult to pinpoint which of their design aspects—continuous moves, partial payoff information, Zero-end payoffs, or Take-it-or-leave-it payoff function—were the decisive factors yielding these remarkable results. In a follow-up study [20], the same authors compared four-node Exponential Centipede games with two Take-it-or-leave-it game variations—one under time pressure and one without—and found that the high payoff difference of the Take-it-or-leave-it games decreased cooperation whereas time pressure did not affect the choices in the game. Nevertheless, due to the shortness of the games used in this experiment, overall stake sizes remained small (maximum of $6.40) which is likely to have influenced decision making. 1. Introduction Given the lack of conclusive results from previous studies on competitive Centipede games, a controlled comparison of a standard Centipede game with versions characterized by zero payoff ends and/or high player inequality is needed to disentangle the respective influences of these different game variations. In order to resolve these ambiguities, the present study compared an eight-node version of McKelvey and Palfrey’s [10] original Exponential Centipede game with three competitive variations: an Exponential Zero-end version, a Take-it-or-leave-it version, and a game combining both competitive features. Based on game-theoretic predictions, if the standard common knowledge assumption of game theory applies, then all games should elicit the same decision patterns, since they share the subgame perfect Nash equilibrium in which Player A defects at the first decision node. Nevertheless, the previous studies reviewed above indicate that certain game features may have important psychological effects on human decision makers, leading to strikingly different choices in games with only slightly different payoff functions. Drawing on this research, we propose the following two hypotheses: Hypothesis 1. The standard Exponential Centipede game with positive payoffs at the terminal exit node will yield significantly higher levels of cooperation than Zero-end and Take-it-or-leave-it games. Hypothesis 2. The game version combining both competitive features—Zero-end and Take-it-or- leave-it payoff function—will yield even lower levels of cooperation than games with just one of these competitive features. 2. Results and Discussion Out of 820 games played in total, 18 (2.2%) ended at the first exit node and 21 (2.6%) continued until the final exit node (Node 9). Figure 5 shows the proportions of games ending at each exit node per treatment condition. The modal exit node for Conditions 1 and 3 (both characterized by positive payoffs at the terminal node) was Node 6. The modal exit node for Conditions 2 and 4 (Zero-end games) was Node 5. Only 2% of all games in Condition 4 (Take-it-or-leave-it plus Zero-end game) and not a single game in Condition 2 (Exponential Zero-end game) continued beyond Node 7. Furthermore, Condition 2 yielded a very high percentage of games terminating in the first third of the game tree: Over 24% of 267 Games 2015, 6 Games 2015, 6 games ended at one of the first three decision nodes, whereas in the other three conditions, this percentage did not exceed 4.5%. did not exceed 4.5%. Figure 5. Proportion of games ending at each exit node for the four game conditions. Figure 6 displays the mean exit node per game round across the four treatment conditions. Th 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Exponential Centipede game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Exponential Zero-end game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Take-it-or-leave-it game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Take-it-or-leave-it plus Zero- end game did not exceed 4.5%. Figure 5. Proportion of games ending at each exit node for the four game conditions. Figure 6 displays the mean exit node per game round across the four treatment conditions. 2. Results and Discussion 0.00 1.00 2.00 3.00 4.00 5.00 6.00 7.00 8.00 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Mean exit node Game round Exponential, Zero-end Take-it-or leave-it Exponential Take it or leave it, Zero-end end Games 2015, 6 26 0.00 1.00 2.00 3.00 4.00 5.00 6.00 7.00 8.00 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Mean exit node Game round Exponential, Zero-end Take-it-or leave-it Exponential Take it or leave it, Zero-end end 268 Games 2015, 6 Games 2015, 6 Games 2015, 6 Game round Figure 6. Mean exit nodes per game round across the four treatment conditions. The experimental manipulation had a significant effect on the mean exit points, F(3, 76) = 77.272, p < 0.001, eta squared = 0.75 (medium effect size). Post-hoc comparison indicated significant differences between all four treatment conditions (Tukey HSD tests yielded p < 0.02 in all cases). The Exponential game with positive payoffs at the end produced the highest cooperation levels (M = 6.13; SD = 0.56). This was followed by the Take-it-or-leave-it Centipede game with positive payoffs at the end (M = 5.74; SD = 0.35) and the Take-it-or-leave-it plus Zero-end game (M = 5.12; SD = 0.33). The Exponential Zero-end Centipede game yielded the lowest levels of cooperation (M = 4.29; SD = 0.35). There were no significant gender differences. Across treatment conditions, the mean exit nodes were 5.19 (male) and 5.33 (female), t(80) = 0.467, p = 0.64 (two-tailed), and for each of the four treatment conditions separately, the mean difference was very small, with p > 0.25. 2. Results and Discussion The i f th diff t d t h di ibl t d f ith i i 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Exponential Centipede game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Exponential Zero-end game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Take-it-or-leave-it game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Take-it-or-leave-it plus Zero- end game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Exponential Zero-end game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Exponential Centipede game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Take-it-or-leave-it plus Zero- end game 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 1 2 3 4 5 6 7 8 9 Game proportions Exit nodes Take-it-or-leave-it game Take-it-or-leave-it game Figure 5. Proportion of games ending at each exit node for the four game conditions. Figure 6 displays the mean exit node per game round across the four treatment conditions. The learning curves for the different games do not show any discernible trends of either increasing or decreasing cooperation with greater experience in the game. mes 2015, 6 26 Figure 6. Mean exit nodes per game round across the four treatment conditions. Discussion This study set out to investigate psychological factors influencing decision making in repeated reciprocal interactions modeled by the Centipede game. Overall, the results confirmed previous findings of low defection percentages at the first decision node and an absence of any marked learning effects across games rounds [10,14]. The results further support Hypothesis 1 that modifications of the game’s payoff function elicit significant changes in the subjects’ decision patterns, even though the game-theoretic solution is identical in all game variations. As predicted, Zero-end Centipede games and those characterized by a Take-it-or-leave-it payoff functions were shown to elicit significantly lower levels of cooperation compared to the standard Exponential Centipede game. In the Zero-end game, this finding can be attributed to the deterrent psychological effect of a zero payoff at the terminal exit node. In this version, players are forced to defect at some point during the game in order to avoid a payoff of zero at the game’s natural end. This finding is in line with previous Games 2015, 6 269 research by Rapoport et al. [18] and Murphy et al. [16,17], who reported play in their three-player, Zero-end Centipede game to be much more competitive than in standard Centipede games with positive values at the natural end, but those previous studies did not allow the separate effects of game variations to be compared. In the Take-it-or-Leave it game, lower cooperation levels can be explained by the extreme player inequality and the higher risk involved in choosing a cooperative GO move; if the co-player terminates the game at the immediately following decision node, then the payoff to the player who previously cooperated is zero. The findings on the Take-it-or-leave-it game link in with previous research that found very low cooperation levels using a game of a similar winner-takes-all payoff function [19,20] although, once again, the research design made it impossible to pinpoint the factor(s) that caused the low levels of cooperation. Contrary to the predictions of Hypothesis 2, the game design combining both competitive features— Take-it-or-leave-it payoff structure and Zero-end—was not the one to yield the lowest cooperation levels overall. Whereas subjects in this condition exited significantly earlier than in the standard Exponential game and the Take-it-or-leave-it game with positive payoffs at the natural end, the game condition eliciting the earliest exit moves was the Exponential Centipede game with Zero-end payoff structure. 3.1. Subjects 3.1. Subjects The sample consisted of 82 undergraduate psychology students from the University of Leicester—17 males and 65 females—with a mean age of 19.78 years (SD = 3.29), all of whom received course credits for participation. Additionally, all subjects were entered into a lottery, and one person per testing session had his or her payoff from a randomly selected game completed during the experiment converted to a cash payment in pounds sterling. There is evidence for the validity of this incentive system [23,24]. The mean cash remuneration of the four subjects selected was £5.60 ($8.21). 3.2. Design The subjects were randomly assigned to one of four treatment conditions varying in their game designs: (a) Exponential Centipede game; (b) Exponential Zero-end Centipede game; (c) Take-it-or-leave-it Centipede game; and (d) Take-it-or-leave-it plus Zero-end Centipede game (see Figures 1–4). The dependent variable was the mean exit node of all games completed during one round of the game. Large values indicated late exit moves and thus high levels of cooperation, whereas small values indicated early exit moves and low levels of cooperation. Games 2015, 6 Games 2015, 6 Games 2015, 6 players can hope to benefit from reciprocal cooperation, hence it is hardly surprising that we observed less defection at the first decision node. players can hope to benefit from reciprocal cooperation, hence it is hardly surprising that we observed less defection at the first decision node. 3.3. Materials The study was conducted in a large computer laboratory. Each subject was seated at a computer— separated by at least one free seat from the next person—and interacted in the Centipede game through a custom-made, web-based game application that included several detailed instruction slides and a color-coded, animated display of the relevant Centipede game. Discussion When comparing the numbers of games terminating at each exit node across treatment conditions, the Exponential Zero-end game stood out as the condition with the most STOP moves in the first third of the game tree, leading to the lowest mean exit node of our four game variations. We propose the following explanation for why the Exponential Zero-end game yielded lower levels of cooperation than the Take-it-or-leave-it plus Zero-end version. The payoff function of the Take-it-or- leave-it plus Zero-end version is heavily dominated by zeroes (the losing player never receives anything), and one consequence of this is that the zero payoffs at the end has less salience than in the Exponential Zero-end version, where these are the only zeros. Consequently, the deterrent psychological effect of the zero payoffs at the end may be comparatively smaller than in the version characterized by the typical Exponential payoff function. A second possibility, not necessarily negating the first, is that fairness-seeking or inequality-averse individuals may perceive the equal payoffs of zero to both players as a desirable goal in a Centipede game with Take-it-or-leave-it plus Zero-end payoff function, because the payoffs at all other exit nodes create extreme inequality between the two players—a lot more so than in the standard Exponential Centipede game. Indeed, two of our subjects with the role of Player B in Condition 4 opted for GO at the final decision node, thus choosing equal payoffs of zero at Exit node 9 over a personal payoff of 51.20 with the co-player receiving nothing at Exit node 8. These decisions must either be errors arising from bounded rationality or manifestations of inequality aversion in the form of a strong drive to achieve a fair outcome for both individuals. Fey, McKelvey, and Palfrey [21] and Kawagoe and Takizawa [22] studied choices in constant-sum Centipede games with high payoff differences, increasingly unequal from one decision node to the next, and they found more frequent defection at the first decision node than we found in our experiment. In game-theoretic terms, any two-player constant-sum game is strictly competitive, and an implication of this is that it is impossible for both players to benefit from cooperation, as there is no social gain from cooperation. In our non-constant-sum Centipede games, by contrast, the payoff pot increases and both 270 3.4. Procedure Testing took place in groups of 18 to 22 subjects with each session lasting between 30 and 45 min. The subjects were told not to communicate with each other, and the experimenter ensured that subjects focused attention on their own computer screens. After filling in the consent form, subjects were presented with the game instructions and encouraged to ask questions about the rules and procedure. They were then randomly assigned to a player role (Player A or B), and they remained in the same role for the duration of the testing session. Each subject completed 20 rounds of one of the four Centipede games, with random and anonymous pairings for each round. They received real-time feedback on their co-players’ moves, the outcome of each game, and the number of rounds completed. Following the last round, one subject was randomly drawn from the group for remuneration on a randomly selected game played during the session. Games 2015, 6 Games 2015, 6 271 4. Conclusions Taken together, the findings of this study shed further light on the different and often subtle aspects of reciprocal interactions that may influence the extent of cooperation and teamwork exhibited by human decision makers. The increase of inequality between two individuals in an interpersonal relationship was shown to reduce overall cooperation significantly. Furthermore, the introduction of undesirable final payoffs as a consequence of unconditional or automatic cooperation was shown to have an even stronger effect on cooperation. Surprisingly, however, coupling these two deterrent factors did not reinforce their respective effects but appeared to form a novel decision-making context that elicited slightly higher cooperation levels than expected. The results of our study therefore demonstrate the need for carefully controlled experimental designs when investigating decision making and cooperation. Variations in the game’s payoff structure can elicit significant behavioral changes, and the interplay of these factors can have unexpectedly complex effects. Acknowledgments The research reported in this article was supported by an award from Friedrich-Naumann-Stiftung für die Freiheit. The authors are grateful to Kevin McCracken for help with software development. Author Contributions E.M.K. conceived and designed the experiment in consultation with B.D.P. and A.M.C., E.M.K performed the data-collection, E.M.K. in consultation with B.D.P. analyzed the data, and all authors contributed to the write-up. Conflicts of Interest The authors declare no conflict of interest. The authors declare no conflict of interest. 6. Aumann, R.J. On the Centipede game. Games Econ. Behav. 1998, 23, 97–105. References 1. Rosenthal, R.W. Games of perfect information, predatory pricing and chain store paradox. J. Econ. Theory 1981, 25, 92–100. 1. Rosenthal, R.W. Games of perfect information, predatory pricing and chain store paradox. J. Econ. Theory 1981, 25, 92–100. 2. Binmore, K. Modeling rational players: Part 1. Econ. Philos. 1987, 3, 179–214. 3. Reny, P.J. Rationality in extensive-form games. J. Econ. Perspect. 1992, 6, 103–11 4. Huck, S.; Jehiel, P. Public Statistics and Private Experience: Varying Feedback Information in a Take-or-Pass Game. Available online: http://www.enpc.fr/ceras/jehiel/huck_jehiel.pdf (accessed on 15 October 2013). 4. Huck, S.; Jehiel, P. Public Statistics and Private Experience: Varying Feedback Information in a Take-or-Pass Game. Available online: http://www.enpc.fr/ceras/jehiel/huck_jehiel.pdf (accessed on 15 October 2013). 5. Aumann, R.J. Backward induction and common knowledge of rationality. Games Econ. Behav. 1995, 8, 6–19. 5. Aumann, R.J. Backward induction and common knowledge of rationality. Games Econ. Behav. 1995, 8, 6–19. 6. Aumann, R.J. On the Centipede game. Games Econ. Behav. 1998, 23, 97–105. 7. Ben-Porath, E. Rationality, Nash and backwards equilibrium induction in perfect-information. Rev. Econ. Stud. 1997, 64, 23–46. 7. Ben-Porath, E. Rationality, Nash and backwards equilibrium induction in perfect-information. Rev. Econ. Stud. 1997, 64, 23–46. Games 2015, 6 Games 2015, 6 272 8. Zauner, K.G. A payoff uncertainty explanation of results in experimental centipede games. Games Econ. Behav. 1999, 26, 157–185. 9. Bornstein, G.; Kugler, T.; Ziegelmeyer, A. Individual and group decisions in the Centipede game: Are groups more “rational” players? J. Exp. Soc. Psychol. 2004, 40, 599–605. 10. McKelvey, R.D.; Palfrey, T.R. An experimental study of the Centipede game. Econometrica 1992, 60, 803–836. 11. Nagel, R.; Tang, F.F. Experimental results on the Centipede game in normal form: An investigation on learning. J. Math. Psychol. 1998, 42, 356–384. 12. Pulford, B.D.; Krockow, E.M.; Colman, A.M.; Lawrence, C.L. University of Leicester: Leicester, UK. Unpublished work, 2015. 13. Droste, E.; Kosfeld, M.; Voorneveld, M. Best-reply matching in games. Math. Soc. Sci. 2003, 46, 291–309. 14. Pulford, B.D.; Colman, A.M.; Lawrence, C.L.; Krockow, E.M. University of Leicester: Leicester, UK. Unpublished work, 2015. 15. Parco, J.E.; Rapoport, A.; Stein, W.E. Effects of financial incentives on the breakdown of mutual trust. Psychol. Sci. 2002, 13, 292–297. 16. Murphy, R.O.; Rapoport, A.; Parco, J.E. Population learning of cooperative behavior in a three-person centipede game. Ration. Soc. 2004, 16, 91–120. 17. Murphy, R.O.; Rapoport, A.; Parco, J.E. The breakdown of cooperation in iterative real-time trust dilemmas. Exp. Econ. © 2015 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/4.0/). References 2006, 9, 147–166. 18. Rapoport, A.; Stein, W.E.; Parco, J.E.; Nicholas, T.E. Equilibrium play and adaptive learning in a three-person Centipede game. Games Econ. Behav. 2003, 43, 239–265. 19. Cox, J.C.; James, D. Clocks and trees: Isomorphic Dutch auctions and centipede games. Econometrica 2012, 80, 883–903. 20. Cox, J.C.; James, D. On replication and perturbation of the McKelvey and Palfrey Centipede game experiment. In Research in Experimental Economics, Volume 18: Replication in Economic Experiments; Deck, C.A., Fatas, E., Rosenblat, T., Eds.; Emerald: Bingley, UK, 2015. 21. Fey, M.; McKelvey, R.D.; Palfrey, T.R. An experimental study of constant-sum centipede games. Int. J. Game Theory 1996, 25, 269–287. 22. Kawagoe, T.; Takizawa, H. Level-k analysis of experimental centipede games. J. Econ. Behav. Organ. 2012, 82, 548–566. 23. Cubitt, R.; Starmer, C.; Sugden, R. On the validity of the random lottery incentive system. Exper. Econ. 1998, 1, 115–131. 24. Bolle, F. High reward experiments without high expenditure for the experimenter. J. Econ. Psychol. 1990, 11, 157–167. © 2015 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/4.0/). © 2015 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/4.0/).
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مفهوم الشعر لدى الدكتور الشيخ أحمد الوائلي
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The meaning of verse according to Doctor Sheikh Ahmed Alwaeili Nazia Gohar * nazia.gohar@aiou.edu.pk Dr. Atef Ismail Muhesin ** Dratef1969@gmail.com Dr. Atef Ismail Muhesin ** Dratef1969@gmail.com Abstract Sheikh Ahmed Alwaeili was one of top most poet of Iraq. His poetry was based on principles of truth. His poetry consists of topics like religion, society and social reform. He connects man with Allah. According to him is most influential than prose, and it has impact on reader.in his poems he has highlighted social problrms.in this article author has presented and explained the specificity of Sheikh Ahmed Alwaeili’s poetry. Key words:Truth.Purity. Poetic heritage. Humanity and Art. * Research Associate, Department of Arabic, Allama Iqbal Open University, Islamabad ** Professor Arabic Linguistics - Egypt 63 63 ﻣﻔﻬﻮم اﻟﺸﻌﺮ ﻟﺪى اﻟﺪﻛﺘﻮر اﻟﺸﻴﺦ أﲪﺪ اﻟﻮاﺋﻠﻲ ** Professor Arabic Linguistics - Egypt * Research Associate, Department of Arabic, Allama Iqbal Open University, Islamabad ** Professor Arabic Linguistics - Egypt Key words:Truth.Purity. Poetic heritage. Humanity and Art. ﺗﺒﻮأ اﻟﺸـــــــﻴﺦ اﻟﻮاﺋﻠﻲ ﻣﻜﺎﻧﺔ ﰲ ﻧﻔﻮس اﻟﻌﺮاﻗﻴﲔ ﺧﺎﺻـــــــﺔ واﻟﻌﺎﱂ اﻟﻌﺮﰊ ﻋﺎﻣﺔ ﺳـــــــﻠﻮﺑﻪ اﳌﺘﻤﻴﺰ وأداﺋﻪ اﳌﺘﻤﻜﻦ، ﻓﻜﺎن ﻷﻓﻜﺎرﻩ ﺻــﺪىً ﰲ اﻟﻮاﻗﻊ اﻟﺪﻳﲏ واﻻﺟﺘﻤﺎﻋﻲ واﻟﺴــﻴﺎﺳــﻲ واﻟﺜﻘﺎﰲ ، وﺳــﺠﻠﺖ أدﺑﻴﺎﺗﻪ ﻣﻌﺎﱂ ﳘﻮم أﻣﺘﻪ وأﺷــﻮاﻗﻬﺎ وﺗﻄﻠﻌﺎ7ﺎ، اذ ﺑﺮزت .ﻣﺸﺎﻋﺮﻩ اﻟﻨﺒﻴﻠﺔ ﻟﺘﻌﱪ ﻋﻦ ﻫﺬﻩ اﳌﻌﺎJة واﻵﻻم ﻳﻨﻄﻠﻖ اﻟﻮاﺋﻠﻲ ﰲ ﻓﻬﻢ اﻟﺸــــﻌﺮ ﻣﻦ ﺧﺼــــﻮﺻــــﻴﺔ اﻟﺘﺼــــﻮر اﻻﺳــــﻼﻣﻲ، ﻓﲑﺳــــﻢ ﻟﻨﺎ ﺻــــﻮراً ﻟﻠﺤﻴﺎة واﻻﻧﺴــــﺎن واﻟﻜﻮن إﻧﻄﻼﻗﺎً ﻣﻦ ﻫ ﺬﻩ اﻟﺰاوﻳﺔ1. Key words:Truth.Purity. Poetic heritage. Humanity and Art. ﻓﺎﳌﻨﻬﺞ اﻟﺬي ﻳﻬﺪف إﱃ ﻏﺎﻳﺔ إﺳـــــــﻼﻣﻴﺔ، وإﱃ اﻟﺘﺄﻣﻞ ﰲ ﺑﺪاﺋﻊ ﻫﺬا اﻟﻜﻮن وﺳـــــــﱪ أﻏﻮار اﻟﻨﻔﺲ اﻻﻧﺴـــــــﺎﻧﻴﺔ ﳘ ﻣﺎدة ﺷﻌﺮ اﻟﺸﺎﻋﺮ2 .وﻫﺬا ﻣﺎ ﻳﻨﻄﺒﻖ ﻋﻠﻰ ﺷﻌﺮ اﻟﻮاﺋﻠﻲ وﻫﺬﻩ اﻟﺮؤc اﻟﱵ ﳛﻤﻠﻬﺎ اﻟﺸــــﺎﻋﺮ ﺗﺸــــﻜﻞ ذﺧﺮاً ﻣﻌﺮﻓﻴﺎً ﻳﻔﻴﺪ ﻣﻨﻬﺎ اﳌﺘﻠﻘﻲ ﰲ اﺳــــﺘﻜﺸــــﺎف ﻣﺎ ﺗﻨﻄﻮي ﻋﻠﻴﻪ أ ﺳــــﺮار َاﻟﻜﻮن واﻟﻨﻔﺲ اﻻﻧﺴـﺎﻧﻴﺔ ﻣﻦ ﻣﻌﺎن ﺗﺼـﻞ اﻻﻧﺴـﺎن on ﻋﺰ وﺟﻞ، ﻗﺎل ﺗﻌﺎﱃ: ﺳـَﻨُﺮِﻳﻬِﻢْ آcَﺗِﻨَﺎ ﰲِ اﻵﻓَﺎقِ وَﰲِ أَﻧـْﻔُﺴـِﻬِﻢْ ﺣ ﱴﱠ ٌﻳـَﺘـَﺒَﲔﱠَ ﳍَُﻢْ أَﻧﱠﻪُ اﳊَْﻖﱡ أَوَﱂَْ ﻳَﻜْﻒِ ﺑِﺮَﺑِّﻚَ أَﻧﱠﻪُ ﻋَﻠَﻰ ﻛُﻞِّ ﺷَﻲْءٍ ﺷَﻬِﻴﺪ3 62 واﻟﻮاﺋﻠﻲ ﻗﺒﻞ ﻛﻞ ﺷﻲء اﻟﺘﺰم oﻟﻜﻠﻤﺔ اﳌﻌﱪة ﻋﻦ اﳊﻘﻴﻘﺔ اﻟﱵ ﺗﺆدي دورﻫﺎ اﻟﻔﺎﻋﻞ ﰲ اﳊﻴﺎة، ﻓﻬﻮ ﻳﺮى أنّ اﻟﻜﻠﻤﺔ ﰲ ﻗﺎﻟﺒﻬﺎ اﻟﺸــــﻌﺮي ﲣﺘﻠﻒ ﻋﻨﻬﺎ ﰲ ﻗﺎﻟﺒﻬﺎ اﻟﻨﺜﺮي، ﻓﻔﻲ اﻷوﱃ ﺗﻜﻮن ﻣﺼــــﺤﻮﺑﺔ ﺑﺸــــﺤﻨﺎت ﻋﺎﻃﻔﻴﺔ Jﺑﻀـــﺔ ﺑﻘﻮة ﺗﻌﺒﲑﻳﺔ، ﳍﺎ وﻗﻊ ﺧﺎص ﰲ اﻟﻨﻔﻮس، أﻣﺎ اﻟﻘﺎﻟﺐ اﻵﺧﺮ ) اﻟﻘﺎﻟﺐ اﻟﻨﺜﺮي( ﻓﺈﻧﻪ ﻣﻬﻤﺎ ارﺗﻔﻊ وﲤﻴﺰ ﲜﻮاﻧﺒﻪ اﻟﻔﻨﻴﺔ، ﻓﺈن اﻟﺸـﻌﺮ ﻳﺮﺗﻔﻊ ﻋﻠﻴﻪ ؛ ذﻟـﻚ أن اﻟﻜﻠﻤـﺔ ﲡﻤﻊ إﱃ ﺟـﺎﻧـﺐ ‰ﺛﲑﻫـﺎ اﻟـﺬاﰐ اﻷﺛﺮ اﳌﻮﺳــــــــــــــﻴﻘﻲ اﻟﻨـﺎﺗﺞ ﻣﻦ اﻟﻮزن واﻟﻘـﺎﻓﻴـﺔ، ﻟـﺬا ﻓـﺈﻧـﻪ ﻃـﺎﻗـﺔ ﻣﺆﺛﺮة ‰ﺧـﺬ oﳊﺴﺒﺎن ﺷﺄﺎ ﺷﺄن اﻟﻄﺎﻗﺎت اﻷﺧﺮى4 ﻓـﺎﻟﻮاﺋﻠﻲ ﻣﻦ ﺷــــــــــــــﻌﺮاء اﻟﻨﺠﻒ اﻟـﺬﻳﻦ اﻟﺘﺰﻣﻮا ﺑﻮﺣـﺪة اﻟﻮزن واﻟﻘـﺎﻓﻴـﺔ ﰲ اﻟﻘﺼــــــــــــــﻴـﺪة، وﻻ ﻳﺆﻣﻦ oﳋﺮوج ﻋﻨﻬـﺎ ﻋﻠﻰ ﺣﺴــــــﺎب اﻟﺘﺠﺪﻳﺪ، ﻓﺎﻹﺑﺪاع ﻋﻨﺪﻫﻢ ﻻ ﻳﻌﲏ اﳋﺮوج ﻋﻠﻰ أﺳــــــﺎﻟﻴﺐ اﻟﺸـــــﻌﺮ اﻟﻌﺮﰊ، إﻻ أن ﻋﺪداً ﻣﻦ ﺷــــــﻌﺮاﺋﻬﻢ ﻧﺒﺬ اﻟﻘﺎﻓﻴﺔ وﲢﺮر ﻣﻦ ﻗﻴﻮدﻫﺎ، وﻛﺘﺐ ﻋﻠﻰ ﻃﺮﻳﻘﺔ اﻟﻘﺼﻴﺪة اﳊﺪﻳﺜﺔ5 وﰲ اﳉﺎﻧﺐ اﻟﺸـــﻌﺮي ﻳﺆﻛﺪ اﻟﺸـــﺎﻋﺮ اﳉﺎﻧﺒﲔ اﻟﻔﲏ أو اﳉﻤﺎﱄ اﳌﺘﻤﺜﻞ ﰲ ﲨﺎﻟﻴﺔ اﻟﻨﺺ، واﳉﺎﻧﺐ اﻟﺮﺳـــﺎﱄ اﳌﺘﻤﺜﻞ ﰲ أداء اﻟﻮﻇﻴﻔﺔ اﻻﺑﻼﻏﻴﺔ واﻻﺟﺘﻤﺎﻋﻴﺔ اﻹﺻــــــــﻼﺣﻴﺔ، ﻳﻘﻮل: " إن ﺗﻐﻠﻴﺐ اﳉﺎﻧﺐ اﻟﻔﲏ اﳉﻤﺎﱄ ﻋﻠﻰ اﳉﺎﻧﺐ اﻟﺮﺳـــــــــﺎﱄ أو ،اﻟﻌﻜﺲ، إﳕـﺎ ﳛـﺪدﻩ اﻟﺘـﺄﻛﻴـﺪ ﻋﻠﻰ أﺣـﺪ اﳉـﺎﻧﺒﲔ ﻣﻦ دون أن ﻳﻄﻤﺲ ﻫـﺬا اﻟﺘـﺄﻛﻴـﺪ ﻣﻌـﺎﱂ اﳉـﺎﻧـﺐ اﻵﺧﺮ] وأن ا ﻷدﻳـﺐ[ "ًﰲ أﻣﺲ اﳊﺎﺟﺔ ﻹﺗﺒﺎع ﻫﺬﻳﻦ اﳉﺎﻧﺒﲔ ﰲ اﻷﺛﺮ اﻷدﰊ ﺷﻌﺮاً ﻛﺎن أم ﻧﺜﺮا6 ﻓﺎﻟﺸـﺎﻋﺮ ﰲ ‰ﻛﻴﺪﻩ ﳍﺬﻳﻦ اﳉﺎﻧﺒﲔ، إﳕﺎ ﻳﺆﻛﺪ ﺿـﺮورة اﻟﺘﻔﺎﻋﻞ اﻻﳚﺎﰊ ﺑﻴﻨﻬﻤﺎ، ﻷن اﳉﺎﻧﺐ اﻟﺮﺳـﺎﱄ ﻳﻬﻢ اﻟﺸـﺎﻋﺮ ﺑﻮﺻـــــﻔﻪ ﺣﺎﻣﻼً رﺳـــــﺎﻟﺔ ﰲ اﻟﺘﻮﺟﻴﻪ واﻻﺑﻼغ، واﳉﺎﻧﺐ اﻟﻔﲏ اﳉﻤﺎﱄ ﻳﻬﻤﻪ أﻳﻀـــــﺎ، إذ ﻻﺑﺪ ﻣﻦ ﺻــــﻴﺎﻏﺔ أﻓﻜﺎرﻩ ﰲ إﺳـــــﻠﻮب ﺷـــﻌﺮي ﲨﺎﱄ " ﻟﻴﺒﻨﻴﺎ ﻣﻌﺎً اﳉﻤﺎل اﻟﻔﲏ اﳌﺘﻤﻴﺰ اﳌﺆﺛﺮ، اﳉﻤﺎل اﻟﺬي ﻳﻘﺪم اﳌﺘﻌﺔ اﻟﺪاﺋﻤﺔ ﻏﲑ اﻟﻌﺎﺑﺮة، اﳌﺘﻌﺔ اﻟﻄﺎﻫﺮة اﻟﱵ ﲤﻸ "ﺣﺲ اﻻﻧﺴﺎن اﻟﻄﺎﻩ7 " وﺗﺘﻮاﻓﻖ ﻧﻈﺮة اﻟﺸــــﺎﻋﺮ ﰲ ﺗﻌﺮﻳﻔﻪ ﻟﻠﺸـــﻌﺮ ﻣﻊ ﺳــــﻴﺪ ﻗﻄﺐ ﰲ اﻧﻪ ﻳﻌﱪ ﻋﻦ اﺛﺮ ﻣﺴــــﺠﻞ ﳊﺎﻟﺔ ﺷـــﻌﻮرﻳﺔ ﳝﺮ §ﺎ " اﻹﻧﺴﺎن ﰲ ﻓﱰة ﻣﻌﻴﻨﺔ8 إن ﺗﻌﺒﲑ اﻟﺸـﺎﻋﺮ ﻋﻤﺎ ﻳﻌﺘﻤﻞ ﰲ ﻧﻔﺴـﻪ ﻏﲑ ﻛﺎف إن ﱂ ﻳﺼـﺪر ﻋﻦ ﻃﺒﻊ وﻋﻔﻮﻳﺔ، ﻓﻜﻠﻤﺎ ﻛﺎن اﻟﺘﻌﺒﲑ" ﻋﻔﻮcً ﻏﲑ "ﻣﻌﺘﻤﻞ وﻻ ﻣﺘﻜﻠﻒ ﻛﺎن اﺑﻠﻎ وأﻛﺜﺮ اﻧﺴــــــﺠﺎﻣﺎً ﻣﻊ اﻟﺬوق وﲤﺸــــــﻴﺎً ﻣﻊ اﻟﻔﻄﺮة9 أﻣﺎ اﻟﻌﻔﻮﻳﺔ ﻓﻼ ﺑﺪ ﻟﻠﺸــــــﺎﻋﺮ اﳌﻠﺘﺰ م دﻳﻨﻴﺎً أن ﻳﺼـــــــــﺪر ﰲ ﺷـــــــــﻌﺮﻩ ﻋﻦ ﺻـــــــــﺪق ﻓﲏ، واﺧﺘﻴﺎر اﳌﻔﺮدات اﻟﻠﻔﻈﻴﺔ، وﻛﻴﻔﻴﺔ ﺗﻌﺒﲑﻩ ﻋﻨﻬﺎ ﻟﻜﻮﺎ ﺗﻌﻄﻲ ﻟﻠﻨﺺ اﻟﺸـــــــــﻌﺮي ﲨﺎﻟﻴﺔ واﺧﺘﻴﺎرﻫﺎ ﻣﺸـــــﺪود إﱃ ﳕﻂ ﺛﻘﺎﻓﺔ اﻟﺸـــــﺎﻋﺮ، وﻻ ﻳﻘﺘﺼـــــﺮ اﻫﺘﻤﺎﻣﻪ ﻋﻠﻰ اﻟﻠﻔﻆ ﻓﺤﺴـــــﺐ وإﳕﺎ ﻳﺘﻌﺪى ذﻟﻚ إﱃ اﳌﻌﲎ وﻳﻮازن ﺑﻴﻨﻬﻤﺎ، ﻓﻴﻘﻮل اﻟﺸـﺎﻋﺮ:" إن ﻫﺬﻩ اﻟﻌﻔﻮﻳﺔ واﻟﺼـﺪق ﰲ اﻷداء §ﺎ ﻳﺘﻔﺎوت اﻷدoء وﺗﺘﻤﻴﺰ ﲰﺎ7ﻢ ﻣﻊ اﳉﺰء اﻟﺜﺎﱐ ﻣﻦ اﻟﱰﻛﻴﺒﺔ اﻟﱵ ﺗﺆﻟﻒ اﻟﻜـﻞ اﳉﻤـﺎﱄ اﳌﻮﺣـﺪ، وأﻋﲏ §ـﺬا اﳉﺰء اﳌﻔﺮدة اﻟﻠﻔﻈﻴـﺔ اﻟﱵ ﳚـﺐ أن ﳛﺴــــــــــــــﻦ اﺧﺘﻴـﺎرﻫـﺎ، إن إﺧﺘﻴـﺎر ﻫـﺬﻩ اﳌﻮاد اﻟﻠﻔﻈﻴﺔ وﻫﻨﺪﺳـﺘﻬﺎ ﻣﺸـﺪود إﱃ ﳕﻂ ﺛﻘﺎﻓﺔ اﻟﺸـﺎﻋﺮ وﻣﻮﺳـﻮﻋﻴﺘﻪ وﻣﺪى ﺗﻔﺎﻋﻠﻪ ﻣﻊ ﺛﻘﺎﻓﺎت ﻋﺼـﺮﻩ، ﳑﺎ ﻳﺘﺤﻜﻢ ﺑﺸـﻜﻞ وآﺧﺮ ﺑﻨﻮﻋﻴﺔ ﻫﺬﻩ اﳌﻮاد ﻣﻦ ﺣﻴﺚ اﳉﻮدة وﺣﺴـﻦ اﻟﱰﻛﻴﺐ، وﳑﺎ ﻳﻜﻮن اﳌﻌﻴﺎر اﻷﺳـﺎﺳـﻲ ﻟﺘﻘﻴﻴﻢ اﻟﺸـﺎﻋﺮ وﺗﻘﻴﻴﻢ آ³رﻩ، وﻣﺎ إذا ﻛﺎن "ذا رﺻﻴﺪ ﻏﲏ oﻟﻠﻔﻆ واﳌﻌﲎ أم ﻻ10 . Key words:Truth.Purity. Poetic heritage. Humanity and Art. 63 وﻫﻮ ﰲ ذﻟﻚ ﻳﺘﻮاﻓﻖ ﰲ ﻧﻈﺮﺗﻪ ﻣﻊ ﺧﻠﻴﻞ ﻣﻄﺮان اﻟﺬي ﻳﻌﺪ اﻟﺸـﻌﺮ ﻓﻨﺎً ﻳﻌﱪ ﺑﻪ ا ﻟﺸـﺎﻋﺮ ﻋﻤﺎ ﳚﻴﺶ ﰲ ﻧﻔﺴـﻪ، وﻫﻮ ﻻ ﻳﻘﺘﺼﺮ ﻋﻠﻰ اﻟﻄﺒﻊ ﻓﺤﺴﺐ، وإﳕﺎ ﺗﺮدﻓﻪ ﰲ ذﻟﻚ ﺛﻘﺎﻓﺔ ﺗﻌﻤﻞ ﻋﻠﻰ ﺗﻨﻘﻴﺢ اﻟﻄﺒﻊ و7ﺬﻳﺒﻪ11 .إن ﺷﺎﻋﺮJ اﺳﺘﻤﺪ ﺛﻘﺎﻓﺘﻪ اﻟﺸﻌﺮﻳﺔ ﻣﻦ اﳌﻮروث اﻟﺸﻌﺮي، وﺗﺰود ﺑﺜﻘﺎﻓﺔ اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳊﺪﻳﺚ .إن ﺷﺎﻋﺮJ اﺳﺘﻤﺪ ﺛﻘﺎﻓﺘﻪ اﻟﺸﻌﺮﻳﺔ ﻣﻦ اﳌﻮروث اﻟﺸﻌﺮي، وﺗﺰود ﺑﺜﻘﺎﻓﺔ اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳊﺪﻳﺚ ﻓﻔﻲ ﺗﻠﻚ اﳌﺮﺣﻠﺔ اﻟﺬﻫﺒﻴﺔ اﻟﱵ ﻋﺎﺷـــﻬﺎ اﻟﺸـــﺎﻋﺮ ﰲ اﻟﻨﺠﻒ اﻷﺷـــﺮف، ﻛ ،ﺎن اﻟﻮﻓﺪ اﻟﺜﻘﺎﰲ ﻣﻦ اﳋﺎرج ﻳﺼـــﻞ إﻟﻴﻬﺎ ،ﻓﻠﻢ ﺗﺮﻓﻀـــــــﻪ، ﺑﻞ أﻓﺎدت ﻣﻨﻪ وأﻓﺎدت ﻣﻦ اﳌﻮروث، ﻓﺸـــــــﻜﻞ ذﻟﻚ ﺗﺰاوﺟﺎ ﺑﲔ اﻟﻘﺪﱘ واﳊﺪﻳﺚ، أﻣﺪﱠ اﻟﻨﺠﻒ ﺑﻐﺬاء ﻓﻜﺮي .ﺳﺎﻋﺪ ﻋﻠﻰ ذﻟﻚ ﻣﺎﳍﺎ ﻣﻦ ºرﻳﺦ ﺛﻘﺎﰲ ﻋﺮﻳﻖ ﻓﻀﻼً ﻋﻦ ﻣﻮﻫﺒﺔ إﻧﺴﺎﺎ وﳑﺎ ذﻛﺮJ ﻳﺘﻀـﺢ ﻟﻨﺎ أن اﳌﺼـﺎدر اﻟﱵ ﻳﻨﺘﺞ ﻋﻨﻬﺎ اﻷﺛ ﺮ اﻷدﰊ، ﳘﺎ ﻣﺼـﺪران، اﻷول اﻟﻘﺮﳛﺔ ﺑﺼـﻔﺘﻬﺎ اﻟﻔﻄﺮﻳﺔ، أﻣﺎ اﻵﺧﺮ ﻓﺎﳌﻀﻤﻮن اﳊﻀﺎري اﻟﻜﺴﱯ، أي ) اﻟﺜﻘﺎﻓﺔ (، وﻳﻜﺎد اﻟﺸﺎﻋﺮ ﻳﺼﻄﺒﻎ ﺑﺴﻤﺎت ﻫﺬﻳﻦ اﳌﺼﺪرﻳﻦ ﻣﻦ دون أن ﻳﻜﻮن ﻟﻪ اﻻﺧﺘﻴﺎر ﰲ اﻟﺘﺤﻜﻢ §ﻤﺎ12 وﻫﺎºن اﻟﻄﺒﻴﻌﺘﺎن اﻹﻧﺴـــــــــــﺎﻧﻴﺔ واﻟﻔﻨﻴﺔ "ﻋﻤﻠﻴﺔ ﲣﺘﻠﻂ ﻓﻴﻬﻤﺎ اﳊﻴﺎة oﻟﻠﻐﺔ وﻳﺘﺰاوج ﻓﻴﻬﺎ اﳌﻌﲎ واﳌﺒﲎ، وﻳﻠﻌﺐ ﻓﻴﻬﺎ "ﻛﻞ ﻣﻦ اﻟﺘﻨﻘﻴﺢ واﻟﻄﺒﻊ دورﳘﺎ13 ذﻟﻚ أنﱠ اﻟﺸــﺎﻋﺮ ﻳﺘﺴــﻠﻢ ﻧﺘﺎﺟﻬﻤﺎ وﻳﻌﺮض اﻷﺛﺮ اﻷدﰊ اﻟﻨﺎﺗﺞ ﻋﻨﻬﻤﺎ، ﰒ ‰ﰐ ﺑﻌﺪ ذﻟﻚ وﻇﻴﻔﺔ اﻟﻨﻘﺪ ﰲ ﲢﺪﻳﺪ ﻗﻴﻤﺔ ﻫﺬا اﻷﺛﺮ14 ﳑﺎ ﺗﻘﺪم ﻳﺘﻀــــــﺢ ﻟﻨﺎ أﻫﻢ اﻵراء اﻟﻨﻘﺪﻳﺔ اﻟﱵ ﻋﺮﺿـــــﻬﺎ اﻟﺸــــــﺎﻋﺮ ﰲ ﲢﺪﻳﺪ ﻣﻔ ﻬﻮﻣﻪ ﻟﻠﺸـــــﻌﺮ ﻓﻀــــــﻼُ ﻋﻦ أن اﳉﺎﻧﺐ اﻟﻔﻜﺮي واﻟﻌﺎﻃﻔﻲ ﻛﻼﳘﺎ ﻋﻨﺼـــﺮ ﻓﻌﺎل ﰲ اﻟﺸـــﻌﺮ، ﳚﻌﻞ ﻣﻨﻪ ذا أﺛﺮ ووﻗﻊ ﺷـــﺪﻳﺪ ﰲ ﻧﻔﺲ اﳌﺘﻠﻘﻲ، ﻓﺘﻨﻔﻌﻞ ﺑﻪ ﳏﻘﻘﺔ ﺑﺬﻟﻚ .اﻷﺛﺮ اﳉﻤﺎﱄ واﻻﺑﻼﻏﻲ اﻟﺬي ﻳﺮﻣﻲ إﻟﻴﻪ اﻟﺸﺎﻋﺮ :اﻟﺪﻛﺘﻮر اﻟﺸﻴﺦ أﲪﺪ اﻟﻮاﺋﻠﻲ واﻻﻟﺘﺰام اﻟﺸﻌﺮي اﻟﻮاﺋﻠﻲ أدﻳﺐ إﺳـﻼﻣﻲ، وﻋﺎﱂ دﻳﻦ وداﻋﻴﺔ ﻣﻦ دﻋﺎة اﻹﺳـﻼم، واﻧﻄﻼﻗﺎ ﻣﻦ ﻣﺴـﺆوﻟﻴﺘﻪ اﻟﺪﻳﻨﻴﺔ، ﺳـﺨﺮ ﺷـﻌﺮﻩ ﻋﻠﻰ .وﻓﻖ أﻫﺪاف اﻻﻟﺘﺰام ﲟﺒﺎدﺋﻪ واﻹﺳــــــــﻼم ذو ﻃﺒﻴﻌﺔ روﺣﻴﺔ ﻋﻘﺎﺋﺪﻳﺔ ﳍﺎ أﺛﺮﻫﺎ ﰲ ﻧﻔﻮس أﻓﺮاد اÁﺘﻤﻊ اﻹﺳــــــــﻼﻣﻲ، ﻓﺨﺎﻃﺒﻬﻢ اﻟﺸــــــــﺎﻋﺮ ﻣﻦ ﻫﺬﻩ اﻟﺰاوﻳﺔ ) اﻟﺘﺼــــــﻮر اﻹﺳــــــﻼﻣﻲ ﻟﻠﺤﻴﺎة (، ﺑﻌﺪ أن اﻗﺘﻨﻊ اﻗﺘﻨﺎﻋﺎً وﺟﺪاﻧﻴﺎً ﻋﻤﻴﻘﺎً ﺑﺼــــــﺤﺔ ﻣﺬﻫﺒﻪ اﻹﺳــــــﻼﻣﻲ وﺗﺸــــــﺮﺑﻪ ﰲ ﻋﻘﻠﻪ ،وروﺣﻪ وﺗﺸـــﺒﻊ ﻛﻴﺎﻧﻪ اﻟﻨﻔﺴــﻲ ﺑﻪ، ﳑﺜﻼً ﰲ ﺣﺐ أﻫﻞ اﻟﺒﻴﺖ )ﻋﻠﻴﻬﻢ اﻟﺴـــﻼم( واﻟﺪﻓﺎع ﻋﻦ اﳊﻘﻴﻘﺔ وﻧﺸـــﺮﻫﺎ واﳌﻨﺎﻓﺤﺔ ﻋﻨﻬﺎ ﻟﺬا ﻓﻘﺪ ﺻـــــﺪر ﺷـــــﻌﺮﻩ ﲟﺎ أوﺣﺎﻩ إﻟﻴﻪ ذوﻗﻪ اﻷدﰊ وﻣﺎ ﺗﻌﺞ ﺑﻪ ﻋﻮاﻃﻔﻪ ﻣﻦ ﻣﺸـــــﺎﻋﺮ وأﺣﺎﺳـــــﻴﺲ، واﲡﻬﺖ اﲡﺎﻫﺎً ﺗﻠﻘﺎﺋﻴﺎ ﻣﻦ دون ﻗﻴﺪ أو ﺷﺮط ﻣﻊ ﻣﺎ ﻳﺘﻄﻠﺒﻪ اﻹﺳﻼم ﻣﻦ ﺗﻌﺎﻟﻴﻢ وأﻫﺪاف ﻳﺪﻋﻮ إﻟﻴﻬﺎ15 ، إن ﻓﻜﺮة اﻻﻟﺘﺰام ﻟﻴﺴـﺖ ﻓﻜﺮة ﺣﺪﻳﺜﺔ ﺑﻞ ﻫﻲ ﻗﺪﳝﺔ، ﻋﺮﻓﺖ ﻣﻨﺬ اﻟﻌﺼـﺮ اﻹﻏﺮﻳﻘﻲ وإن ﱂ ﺗﻌﺮف §ﺬا اﳌﺼـﻄﻠﺢ ،ﻟﻜﻦ ﻣﻮﻗﻒ ﻓﻼﺳــﻔﺔ اﻹﻏﺮﻳﻖ ﻛﺎﻓﻼﻃﻮن وأرﺳــﻄﻮ ﺗﻮﺿــﺢ ﻣﻨﻬﺞ اﻻﻟﺘﺰام ﻋﻨﺪﻫﻢ ﻓﺎﻓﻼﻃﻮن ﻃﺮد اﻟﺸــﻌﺮاء ﻣﻦ ﲨﻬﻮرﻳﺘﻪ ﻷﻧﻪ 64 إن اﻻﻟﺘﺰام ﻛﻈﺎﻫﺮة، وﻣﺼـﻄﻠﺢ ﻧﺸـﺄ ﺣﺪﻳﺜﺎً، ﻓﺎﻷدﻳﺐ اﳌﻌﺎﺻـﺮ اﺣﺘﻚ ﲟﺸـﻜﻼت اﳊﻴﺎة اﶈﻴﻄﺔ ﺑﻪ ﻓﻌﺎﻳﺸـﻬﺎ وﻋﱪ ﻋﻨﻬﺎ، وأدرك ﺧﻄﻮرة اﻟﺪور اﻟﺬي ﻳﻘﻮم ﺑﻪ إزاءﻫﺎ18 ﻟﺬا اﻧﻄﻠﻖ اﻟﺸـﺎﻋﺮ ﰲ ﻛﺘﺎoﺗﻪ ﻣﻦ زاوﻳﺔ اﻻﻟﺘﺰام، ﻓﻘﺪ ﻛﺎن ﻟﻠﻜﻠﻤﺔ ﻋﻨﺪﻩ ﺣﻴﺰ ﺧﺎص ﻟﻠ ﺪور واﻷﺛﺮ اﻟﺬي ﺗﺆدﻳﻪ ﰲ ﳐﺘﻠﻒ ﳎﺎﻻت اﳊﻴﺎة19 ﻓﻴﻘﻮل اﻟﺸـــــــــــﺎﻋﺮ:" إنﱠ ﳎﺘﻤﻌﻨﺎ ﳝﺮ ﻫﺬﻩ اﻷcم ﺑﻔﱰة ﻓﻘﺪت اﻟﻜﻠﻤﺔ ﻓﻴﻬﺎ ﻛﺜﲑاً ﳑﺎ ﻛﺎن ﳍﺎ ﻣﻦ ﻋﻄﺎء " وﻣﺰاc وﻋﺎدت أﻣﺎ ﻣﻠﻬﺎة ﺗﺴــــﻮﱠد §ﺎ اﻟﺼــــﺤﺎﺋﻒ، أو ﺗﺮﻓﺎ ﳝﺎرﺳــــﻪ اﳌﱰﻓﻮن ﻓﻴﻤﺎ ﳝﺎرﺳــــﻮﻧﻪ ﻣﻦ أﻋﻤﺎل20 ﻓﻤﺎ زاﻟﺖ اﻟﻜﻠﻤﺔ ﺗﺪور ﰲ . Key words:Truth.Purity. Poetic heritage. Humanity and Art. ﺣﻴﺰ اﻟﺼﺪق واﻟﻜﺬب، وﻣﺎ ﻳﻬﻢ اﻟﺸﺎﻋﺮ ﻫﻮ أن ﻳﺘﻮاﻓﺮ ﻓﻴﻬﺎ ﻋﻨﺼﺮ اﻟﺼﺪق ﻟﺘﺼﺒﺢ رﺳﺎﻟﺔ اﳌﻔﻜﺮ اﻷدﻳﺐ وﻣﻦ اﳌﻘﻮﻣﺎت اﻷﺳــﺎﺳــﻴﺔ ﰲ اﻟﻌﻤﻞ اﻷدﰊ ﺗﻮﻓﺮ ﻋﻨﺼــﺮ اﻟﺼــﺪق، وﻫﻮ أن ﻳﻜﻮن اﻟﺸــﺎﻋﺮ ﺻــﺎدﻗﺎً ﻣﻊ ﻧﻔﺴــﻪ ﻓﻴﻤﺎ ﻳﻌﱪﻋﻨﻪ21وﻳﺘﻤﺜﻞ ذﻟﻚﰲﲨﻴﻊﻣﻈﺎﻫﺮ اﳊﻴﺎة اﻟﱵﻳﻌﺎﳉﻬﺎ اﻟﺸﺎﻋﺮﰲﺷﻌﺮﻩ ﻟﺬا اﻧﻄﻠﻖ اﻟﺸـﺎﻋﺮ ﰲ ﻛﺘﺎoﺗﻪ ﻣﻦ زاوﻳﺔ اﻻﻟﺘﺰام، ﻓﻘﺪ ﻛﺎن ﻟﻠﻜﻠﻤﺔ ﻋﻨﺪﻩ ﺣﻴﺰ ﺧﺎص ﻟﻠ ﺪور واﻷﺛﺮ اﻟﺬي ﺗﺆدﻳﻪ ﰲ ﳐﺘﻠﻒ ﳎﺎﻻت اﳊﻴﺎة19 ﻓﻴﻘﻮل اﻟﺸـــــــــــﺎﻋﺮ:" إنﱠ ﳎﺘﻤﻌﻨﺎ ﳝﺮ ﻫﺬﻩ اﻷcم ﺑﻔﱰة ﻓﻘﺪت اﻟﻜﻠﻤﺔ ﻓﻴﻬﺎ ﻛﺜﲑاً ﳑﺎ ﻛﺎن ﳍﺎ ﻣﻦ ﻋﻄﺎء " وﻣﺰاc وﻋﺎدت أﻣﺎ ﻣﻠﻬﺎة ﺗﺴــــﻮﱠد §ﺎ اﻟﺼــــﺤﺎﺋﻒ، أو ﺗﺮﻓﺎ ﳝﺎرﺳــــﻪ اﳌﱰﻓﻮن ﻓﻴﻤﺎ ﳝﺎرﺳــــﻮﻧﻪ ﻣﻦ أﻋﻤﺎل20 ﻓﻤﺎ زاﻟﺖ اﻟﻜﻠﻤﺔ ﺗﺪور ﰲ . ﺣﻴﺰ اﻟﺼﺪق واﻟﻜﺬب، وﻣﺎ ﻳﻬﻢ اﻟﺸﺎﻋﺮ ﻫﻮ أن ﻳﺘﻮاﻓﺮ ﻓﻴﻬﺎ ﻋﻨﺼﺮ اﻟﺼﺪق ﻟﺘﺼﺒﺢ رﺳﺎﻟﺔ اﳌﻔﻜﺮ اﻷدﻳﺐ وﻣﻦ اﳌﻘﻮﻣﺎت اﻷﺳــﺎﺳــﻴﺔ ﰲ اﻟﻌﻤﻞ اﻷدﰊ ﺗﻮﻓﺮ ﻋﻨﺼــﺮ اﻟﺼــﺪق، وﻫﻮ أن ﻳﻜﻮن اﻟﺸــﺎﻋﺮ ﺻــﺎدﻗﺎً ﻣﻊ ﻧﻔﺴــﻪ ﻓﻴﻤﺎ ﻳﻌﱪ ﻋﻨﻪ21وﻳﺘﻤﺜﻞ ذﻟﻚ ﰲ ﲨﻴﻊ ﻣﻈﺎﻫﺮ اﳊﻴﺎة اﻟﱵ ﻳﻌﺎﳉﻬﺎ اﻟﺸﺎﻋﺮ ﰲ ﺷﻌﺮﻩ . Key words:Truth.Purity. Poetic heritage. Humanity and Art. ًوﻟﻠﻜﻠﻤﺔ اﳌﻮزوﻧﺔ اﳌﻘﻔﺎة أﺛﺮ ووﻗﻊ ﰲ اﻟﻨﻔﻮس ﻻﺣﺪﱠ ﻟﺘﺄﺛﲑﻩ، ﻓﻬﻲ وإن ﻛﺎﻧﺖ ﻣﻜﻬﺮﺑﺔ ﻋﺎﻃﻔﻴﺎً، ﻓﺈﺎ ‰ﺧﺬ وﺿﻌﺎ ﻣﻠﺘﺰﻣﺎ إذا اﺳـﺘﻄﺎع اﻟﺸـﺎﻋﺮ أنْ ﻳﻮﻇﻔﻬﺎ ﰲ اﳌﺴـﺎر اﻻﻳﺪﻳﻮﻟﻮﺟﻲ، وﲣﺮج ﻋﻦ ﻛﻮﺎ ﳎﺮد ﻋﺎﻃﻔﺔ إﱃ ﲦﺮﻩ ﻣﻌﺎJة ﻣﻘﺼـﻮدة ذات ﻫﺪف ﳏﺪد22 ﻓﺎﻟﺘﺰام اﻟﺸــــﺎﻋﺮ ﲟﻮﻗﻒ ﻓ ﻜﺮي ﻻ ﻳﻀــــﲑ اﻟﺸــــﻌﺮ ذاﺗﻪ ﺑﻘﺪر ﻣﺎ ﻳﻀــــﻤﻦ ﻟﻪ اﻟﻔﻌﺎﻟﻴﺔ واﻷﳘﻴﺔ23 وﻫﺬا ﻳﻌﲎ أنﱠ اﻟﺸﺎﻋﺮ ﻳﺴﻠﻚ اﲡﺎﻫﺎً ﻣﻌﻴﻨﺎ ﰲ ﺷﻌﺮﻩ، وﻻ ﺑﺪ أن ﻳﺘﺄﺛﺮ ﻧﺘﺎﺟﻪ ﲞﺼﺎﺋﺼﻪ ﰲ ﲰﺎ7ﺎ اﻟﻌﺎﻣﺔ24 إن اﻟﺘﺰام اﻟﺸــﺎﻋﺮ oﻟﻔﻜﺮة أو اﻟﺘﺠﺮﺑﺔ اﻟﱵ ﻳﻨﻔﻌﻞ §ﺎ، ﻳﻌﲏ أﻧﻪ ﻳﻬﺘﻢ ن ﻳﻜﻮن ﺷــﻌﺮﻩ ﻫﺎدﻓﺎ وﻳﺮﺑﻂ ﻣﺎ ﺑﲔ أﻓﻜﺎرﻩ .وﻋﻘﻴﺪﺗﻪ، ﻣﻊ اﻫﺘﻤﺎﻣﻪ oﳉﺎﻧﺐ اﻟﻔﲏ اﳉﻤﺎﱄ اﳌﺆﺛﺮ ﰲ ﻗﺼﺎﺋﺪﻩ، ﻓﻴﺼﺒﺢ ﺷﻌﺮﻩ ﻃﺎﻗﺔ ﺣﻴﻮﻳﺔ ﻣﺆﺛﺮة ﰲ اﻟﻨﻔﻮس ﻟﻘﺪ ﻋﺮض اﻟﺸـﺎﻋﺮ اﻟﻔﻜﺮة اﻟﱵ ﻳﺘﺪاوﳍﺎ ﳎﻤﻮﻋﺔ ﻣﻦ اﻟﺸـﻌﺮاء، وﻫﻲ أن ﻳﻜﻮن اﻟﺸـﻌﺮ ﻋﺒﺜﺎ وﳍﻮا وﺳـﺒﻴﻼ ﻳﺮﺗﺰق ﺑﻪ 65 ﻻ ﺗــــــــــﻄــــــــــﻠــــــــــﺒــــــــــﻮا ﻣــــــــــﻨـــــــــﻪ ﻓــــــــــﻤــــــــــﺎ ﻫــــــــــﻮ oﻟــــــــــﺬي ﻳﺒﲏ وﻳﻬﺪم أو ﻳﻀﺮ وﻳﻨﻔﻊ 25 واﻟﺸــــﻴﺦ اﻟﻮاﺋﻠﻲ ﺟﺴــــﺪ ﻗﻀــــﻴﺔ اﻷﻣﺔ اﻹﺳــــﻼﻣﻴﺔ اﻟﻮﻃﻨﻴﺔ واﻹﻧﺴــــﺎﻧﻴﺔ ﲡﺴــــﻴﺪا ﺻــــﺎدﻗﺎ ﻓﻬﻮ ﻋﺎJﻫﺎ وﻋﱪ ﻋﻦ ﻫﺬﻩ اﻟﺘﺠﺮﺑﺔ ﲝﺮارة اﻟﻌﺎﻃﻔﺔ وﺻـﺪق اﻻﻧﻔﻌﺎل، واﺳـﺘﻄﺎع أن ﳚﻌﻠﻨﺎ ﻧﻔﻜﺮ ﰲ ﻫﺬﻩ اﻟﻘﻀـﻴﺔ وان ﺗﻨﺘﺎب ﻧﻔﻮﺳـﻨﺎ ﺛﻮرة ﻋﻠﻰ اﻷوﺿـﺎع اﳌﻬﻴﻤﻨﺔ ﰲ ﻋﺼـــــــﺮJ اﻟﺮاﻫﻦ، ﻓﻬﻮ ﻋﺎﱏ ﻣﺸـــــــﻜﻼت ﳎﺘﻤﻌﻪ، وﻫﺬا ﻣﺎ ﲤﺜﻠﻪ ﺧﲑ ﲤﺜﻴﻞ ﻓﻜﺮة اﻻﻟﺘﺰام، ﻟﺬا ﻓﻘﺪ أﻛﱪ اﻟﺸـــــــﺎﻋﺮ اﻟﺪور اﳌﻨﺎط oﻟﺸــﻌﺮ ﻓﻮﻇﻴﻔﺘﻪ ﺗﺘﻤﺜﻞ ﲟﺸـــﺎرﻛﺔ اﻟﺸـــﺎﻋﺮ ﻟﻘﻀـــﺎc ﻗﻮﻣﻪ اﻟﻮﻃﻨﻴﺔ واﻹﻧﺴـــﺎﻧﻴﺔ oﻟﻔﻜﺮ واﻟﺸــﻌﻮر واﻟﻔﻦ واﻵﻻم اﻟﱵ ﻳﻌﺎﻧﻮﺎ وﻣﺎ ﻳﺒﻨﻮن ﻣﻦ آﻣﺎل26وﻳﺘﺠﻠ :ﻰ ذﻟﻚ ﰲ ﻗﻮﻟﻪ أﻛـــــــــﱪت دور اﻟﺸــــــــــــــــــــــﻌـــــــــﺮ ﻋـــــــــﻤـــــــــﺎ ﺻــــــــــــــــــــــﻮروا وﻋـــــــــﺮﻓـــــــــﺖ رزء اﻟـــــــــﻔـــــــــﻜـــــــــﺮ ﰲ ﻣـــــــــﻦ ﱂ ﻳـــــــــﻌـــــــــﻮا ﻓـــــــــــﺎﻟﺸــــــــــــــــــــــــﻌـــــــــــﺮ أﺟـــــــــــﺞ أﻟــــــــــﻒ Jر واﻧـــــــــــﱪى ﻳـــــــــــــﻠـــــــــــــﻮي أﻧـــــــــــــﻮف اﻟـــــــــــــﻈـــــــــــــﺎﳌـــــــــــــﲔ وﳚـــــــــــــﺪع ﻟﻮ ﺷـــــــــــــــــــــﺎء ﺻـــــــــــــــــــــﺎغ اﻟﻨﺠﻢ ﻋﻘـــــــﺪاً Jﺻــــــــــــــﻌـــــــﺎ ﻳـــــــــــــﺰﻫـــــــــــــﻮ ﺑـــــــــــــﻪ ﻋـــــــــــــﻨـــــــــــــﻖ أرق وأﻧﺼـــــــــــــــــــــــــــﻊ أو ﺷــــــــــــــــــــــﺎء رد اﻟـــــــــﺮﻣـــــــــﻞ ﻣـــــــــﻦ ﻧـــــــــﻔـــــــــﺤـــــــــﺎﺗـــــــــﻪ ﺧﻀــــــــــــــــــــــﻼ ﻧـــــــــﻔـــــــــﺎس اﻟﺸــــــــــــــــــــــﺬى ﻳـــــــــﺘﻀــــــــــــــــــــــﻮع أو ﺷــــــــــــــــــــــــــﺎء رد اﻟــــــــــــﻠــــــــــــﻴــــــــــــﻞ ﰲ اﲰــــــــــــﺎرﻩ واﺣــــــــــﺎت ﻧــــــــــﻮر ﺗﺴــــــــــــــــــــــــﺘﺸـــــــــــــــــــــــﻒ وﺗــــــــــﻠــــــــــﻤــــــــــﻊ أو ﺷـــــــــــــــــــــﺎء ﻗـــــــﺎد ﻣــــﻦ اﻟﺸــــــــــــــــــﻌـــــﻮب ﻛــــﺘـــــــﺎﺋــــﺒـــــــﺎ ﻳـــــــــﻌـــــــــﻨـــــــــﻮ ﳍـــــــــﺎ ﻣـــــــــﻦ ﻛـــــــــﻞ أﻓـــــــــﻖ ﻣـــــــــﻄـــــــــﻠـــــــــﻊ27 ،وﻳﺮﻓﺾ اﻟﺸﺎﻋﺮ أن ﻳﺘﺨﺬ اﻟﺸﻌﺮ وﺳﻴﻠﺔ ﻟﻠﻬﻮ واﻟﻌﺒﺚ أو اﳌﺪح اﻟﻜﺎذب ﺑﻮﺻﻔﻪ ﺳﺒﻴﻼً ﻟﻼرﺗﺰاق أو اﻟﺘﻜﺴﺐ ﺑﻪ ذﻟﻚ أﻧﻪ ﱂ ﻳﻌﺪ وﺳﻴﻠﺔ ) ﺳﻠﻌﺔ ( ﻳﺮﺗﺰق ﻣﻨﻬﺎ اﻟﺸﺎﻋﺮ، وإﳕ ﺎ أﺻﺒﺢ ﻟﻪ اﺛﺮ ﻣﻬﻢ ﰲ اﻟﺒﻨﻴﺔ اﻻﺟﺘﻤﺎﻋﻴﺔ28 :ﻛﻤﺎ ﰲ ﻗﻮﻟﻪ ﻻ ﺗــــــــــﻄــــــــــﻠــــــــــﺒــــــــــﻮا ﻣــــــــــﻨـــــــــﻪ ﻓــــــــــﻤــــــــــﺎ ﻫــــــــــﻮ oﻟــــــــــﺬي ﻳﺒﲏ وﻳﻬﺪم أو ﻳﻀﺮ وﻳﻨﻔﻊ 25 واﻟﺸــــﻴﺦ اﻟﻮاﺋﻠﻲ ﺟﺴــــﺪ ﻗﻀــــﻴﺔ اﻷﻣﺔ اﻹﺳــــﻼﻣﻴﺔ اﻟﻮﻃﻨﻴﺔ واﻹﻧﺴــــﺎﻧﻴﺔ ﲡﺴــــﻴﺪا ﺻــــﺎدﻗﺎ ﻓﻬﻮ ﻋﺎJﻫﺎ وﻋﱪ ﻋﻦ ﻫﺬﻩ اﻟﺘﺠﺮﺑﺔ ﲝﺮارة اﻟﻌﺎﻃﻔﺔ وﺻـﺪق اﻻﻧﻔﻌﺎل، واﺳـﺘﻄﺎع أن ﳚﻌﻠﻨﺎ ﻧﻔﻜﺮ ﰲ ﻫﺬﻩ اﻟﻘﻀـﻴﺔ وان ﺗﻨﺘﺎب ﻧﻔﻮﺳـﻨﺎ ﺛﻮرة ﻋﻠﻰ اﻷوﺿـﺎع اﳌﻬﻴﻤﻨﺔ ﰲ ﻋﺼـــــــﺮJ اﻟﺮاﻫﻦ، ﻓﻬﻮ ﻋﺎﱏ ﻣﺸـــــــﻜﻼت ﳎﺘﻤﻌﻪ، وﻫﺬا ﻣﺎ ﲤﺜﻠﻪ ﺧﲑ ﲤﺜﻴﻞ ﻓﻜﺮة اﻻﻟﺘﺰام، ﻟﺬا ﻓﻘﺪ أﻛﱪ اﻟﺸـــــــﺎﻋﺮ اﻟﺪور اﳌﻨﺎط oﻟﺸــﻌﺮ ﻓﻮﻇﻴﻔﺘﻪ ﺗﺘﻤﺜﻞ ﲟﺸـــﺎرﻛﺔ اﻟﺸـــﺎﻋﺮ ﻟﻘﻀـــﺎc ﻗﻮﻣﻪ اﻟﻮﻃﻨﻴﺔ واﻹﻧﺴـــﺎﻧﻴﺔ oﻟﻔﻜﺮ واﻟﺸــﻌﻮر واﻟﻔﻦ واﻵﻻم اﻟﱵ ﻳﻌﺎﻧﻮﺎ وﻣﺎ ﻳﺒﻨﻮن ﻣﻦ آﻣﺎل26وﻳﺘﺠﻠ :ﻰ ذﻟﻚ ﰲ ﻗﻮﻟﻪ أJ ﻻ أرﻳــــــــــﺪ اﻟﺸـــــــــــــــــــــــﻌــــــــــﺮ إن ﺟــــــــــﺪت ﺑــــــــــﻨــــــــــﺎ ﻧـــــــــــﻮب ﳚـــــــــــﻠـــــــــــﻲ ﻣـــــــــــﺎ ﻋـــــــــــﻨـــــــــــﺎﻩ وﻳـــــــــــﻘـــــــــــﺒـــــــــــﻊ أو أن ﻳـــــــــﻮﺷــــــــــــــــــــــﻲ اﻟـــــــــﻜـــــــــﺄس ﰲ ﲰـــــــــﺮ اﳍـــــــــﻮى ﻟــــــــــﻴﻀـــــــــــــــــــــــﺎء ﻟــــــــــﻴــــــــــﻞ اﳌــــــــــﱰﻓـــــــــﲔ ﻓــــــــــﻴﺴـــــــــــــــــــــــﻄــــــــــﻊ أو أن ﻳـــــــــــﺒـــــــــــﺎع ﻓـــــــــــﻴﺸــــــــــــــــــــــــﱰي إﻛـــــــــــﻠـــــــــــﻴـــــــــــﻠــــــــــﻪ ºج ﻣــــــــــﻦ اﳌــــــــــﺪح اﻟــــــــــﻜــــــــــﺬوب ﻣــــــــــﺮﺻـــــــــــــــــــــــﻊ29 أJ ﻻ أرﻳــــــــــﺪ اﻟﺸـــــــــــــــــــــــﻌــــــــــﺮ إن ﺟــــــــــﺪت ﺑــــــــــﻨــــــــــﺎ أو أن ﻳـــــــــﻮﺷــــــــــــــــــــــﻲ اﻟـــــــــﻜـــــــــﺄس ﰲ ﲰـــــــــﺮ اﳍـــــــــﻮى أو أن ﻳـــــــــــﺒـــــــــــﺎع ﻓـــــــــــﻴﺸــــــــــــــــــــــــﱰي إﻛـــــــــــﻠـــــــــــﻴـــــــــــﻠــــــــــﻪ ﻓﺎﻟﺸـــــــﻌﺮ ﳛﻴﻲ ﰲ أﺑﻨﺎء اﻷﻣﺔ ﺛﻮرة ﻋﺎرﻣﺔ، ﺗﻘﻒ ﰲ وﺟﻪ اﻟﺘﺤﺪcت اﻟﱵ ﺗﻮاﺟﻬﻬﺎ ﻣﻦ ﻋﻨﺎﺻــــــــﺮ ﺧﺎرﺟﻴﺔ وداﺧﻠﻴﺔ ،اﳌﺘﻤﺜﻠﺔ ﰲ ﺗﺴـــــــﻠﻴﻂ ﺣﺎﻛﻢ ﻇﺎﱂ وواﻗﻊ اﻷﻣﺔ اﳌﱰدي ﻟﻴﺠﺴـــــــﺪ ﻟﻨﺎ رﺳـــــــﺎﻟﺔ اﻟﺪﻳﻦ اﻹﺳـــــــﻼﻣﻲ ﰲ اﳉﻬﺎد واﻟﻨﻀـــــــﺎل واﻟﻜﻔﺎح :وﻳﺘﺠﻠﻰ ذﻟﻚ ﰲ ﻗﻮﻟﻪ ﻟـــــــﻜـــــــﻦ أرﻳـــــــﺪ اﻟﺸـــــــــــــــــــــﻌـــــــﺮ وﻫـــــــﻮ ﺑـــــــﺪرﺑـــــــﻨـــــــﺎ ﳎـــــــــــﺪٌ وﺳــــــــــــــــــــــــﻴــــــــــﻒ ﰲ ُاﻟـــــــــــﻜـــــــــــﻔـــــــــــﺎح وأدرع30 ٌ◌ ﻓﺎﻟﺸﻌﺮ وﺳﻴﻠﺔ ﻳﻌﱪ §ﺎ اﻟﺸﺎﻋﺮ ﻋﻦ واﻗﻊ اﳊﻴﺎة اﳌﻌﺎﺻﺮ اﻟﺬي أﺻﺒﺢ ﺟﺰءاً ﻣﻦ أﺟﺰاء اﻻﻟﺘﺰام اﻷدﰊ31 ﻓﺎﻟﺸـــــــﻌﺮ ﳛﻴﻲ ﰲ أﺑﻨﺎء اﻷﻣﺔ ﺛﻮرة ﻋﺎرﻣﺔ، ﺗﻘﻒ ﰲ وﺟﻪ اﻟﺘﺤﺪcت اﻟﱵ ﺗﻮاﺟﻬﻬﺎ ﻣﻦ ﻋﻨﺎﺻــــــــﺮ ﺧﺎرﺟﻴﺔ وداﺧﻠﻴﺔ ،اﳌﺘﻤﺜﻠﺔ ﰲ ﺗﺴـــــــﻠﻴﻂ ﺣﺎﻛﻢ ﻇﺎﱂ وواﻗﻊ اﻷﻣﺔ اﳌﱰدي ﻟﻴﺠﺴـــــــﺪ ﻟﻨﺎ رﺳـــــــﺎﻟﺔ اﻟﺪﻳﻦ اﻹﺳـــــــﻼﻣﻲ ﰲ اﳉﻬﺎد واﻟﻨﻀـــــــﺎل واﻟﻜﻔﺎح :وﻳﺘﺠﻠﻰ ذﻟﻚ ﰲ ﻗﻮﻟﻪ ﻟـــــــﻜـــــــﻦ أرﻳـــــــﺪ اﻟﺸـــــــــــــــــــــﻌـــــــﺮ وﻫـــــــﻮ ﺑـــــــﺪرﺑـــــــﻨـــــــﺎ ﳎـــــــــــﺪٌ وﺳــــــــــــــــــــــــﻴــــــــــﻒ ﰲ ُاﻟـــــــــــﻜـــــــــــﻔـــــــــــﺎح وأدرع30 ٌ◌ ﻓﺎﻟﺸﻌﺮ وﺳﻴﻠﺔ ﻳﻌﱪ §ﺎ اﻟﺸﺎﻋﺮ ﻋﻦ واﻗﻊ اﳊﻴﺎة اﳌﻌﺎﺻﺮ اﻟﺬي أﺻﺒﺢ ﺟﺰءاً ﻣﻦ أﺟﺰاء اﻻﻟﺘﺰام اﻷدﰊ31 66 :وﻳﺮى اﻟﻮاﺋﻠﻲ أن ﻟﻠﺸﻌﺮ ﻣﻮاﻗﻒ ﻗﺒﻞ ﻛﻞ ﺷﻲء، وﻳﻈﻬﺮ ذﻟﻚ ﰲ ﻗﻮﻟﻪ :وﻳﺮى اﻟﻮاﺋﻠﻲ أن ﻟﻠﺸﻌﺮ ﻣﻮاﻗﻒ ﻗﺒﻞ ﻛﻞ ﺷﻲء، وﻳﻈﻬﺮ ذﻟﻚ ﰲ ﻗﻮﻟﻪ :وﻳﺮى اﻟﻮاﺋﻠﻲ أن ﻟﻠﺸﻌﺮ ﻣﻮاﻗﻒ ﻗﺒﻞ ﻛﻞ ﺷﻲء، وﻳﻈﻬﺮ ذﻟﻚ ﰲ ﻗﻮﻟﻪ ﺟـــــﻨـــــــﺪ اﻟﺸـــــــــــــــــــﻌـــــﺮ ﻟـــــﻠـــــﻤـــــﻮاﻗـــــﻒ واﻟﺸـــــــــــــــــــﻌــــــ ــــــــــــــــــــــــــــــــــــــﺮ ﺑــــــــــﻼ ﻣــــــــــﻮﻗــــــــــﻒ ﻛــــــــــﻼم رﺗــــــــــﻴــــــــــﺐ32 ﺑﻌﺪ ﻫﺬا اﻟﻌﺮض ﻻﺛﺮ اﻟﺸــــﻌﺮ ﰲ أﺣﻴﺎء ﻗﻀــــﺎc اﻷﻣﺔ واÁﺘﻤﻊ ﻋﻠﻰ وﻓﻖ ﻣﻨﻈﻮر اﻟﺸــــﺎﻋﺮ، ﻧﺮﺟﻊ ﻟﻨﺒﲔ اﺛﺮ اﻟﻜﻠﻤﺔ ﰲ وﺿــﻌﻬﺎ اﳌﻠﺘﺰم، ﻓﻬﻲ ﰲ ﻣﺎد7ﺎ وﻏﺎﻳﺘﻬﺎ ﲤﺜﻞ " رﺳــﺎﻟﺔ اﳌﻔﻜﺮ اﻟﺸــﺮﻳﻒ وﺳــﺘﺴــﻬﻢ ﻣﻊ رﺻــﻴﻔﺎ7ﺎ ﻣﻦ اﻟﻮﺳــﺎﺋﻞ اﻷﺧﺮى ﰲ ﺑﻨﺎء اﻟﺼـــــﺮح اﳊﻀـــــﺎري ﻟﻸﻣﺔ اﻟﱵ ﺗﺘﺤﺪد ﻣﻌﺎﳌﻬﺎ ﻣﻦ ﺣﻀـــــﺎر7ﺎ، وأﺎ ﻣﻦ ﻣﻌﺎﱂ ﺗﺴـــــﺠﻴ ،ﻞ اﳌﻮاﻗﻒ اﻟﱵ ﻳﺮاد اﻟﺘﻌﺮف ﻋﻠﻴﻬﺎ ﺑﺪاﻫﺔ أنﱠ اﻟﻜﻠﻤﺔ إﻣﱠﺎ أن ﲤﻠﻚ زﻣﺎمَ اﳌﺒﺎدرة أو ﰲ ﺣﺎﻟﺔ ﻋﺠﺰﻫﺎ ﻋﻦ ذﻟﻚ ﻓﻼ أﻗﻞﱠ ﻣﻦ أنْ ﲢﺘﺠﺐ اﻟﻜﻠﻤﺔ ﺗﻌﺒﲑاً ﻋﻦ ﻋﺪم اﻻﻧﺰﻻق ﰲ ﺣﻀـــــﻴﺾ اﻟﺬل أو اﻟﺘﺤﻮل إﱃ ﺑﻀـــــﺎﻋﺔ رﺧﻴﺼـــــﺔ ﻣﺄﺟﻮرة، ﳑﺎ ﻳﻌﺪ ﻛﺎرﺛﺔ ﻟﻠﻔﻜﺮ ﰲ ﺣﻴﺎة ﻛﻞّ أﻣﺔ، ﺗﺘﻌﺮض ﳌﺜﻞ ﻫ " ﺬﻩ اﻟﻈﺎﻫﺮة ﻓﺘﺨﺴﺮ ﺳﻼﺣﺎً ﻣﻦ أﻫﻢِّ أﺳﻠﺤﺘﻬﺎ33 . Key words:Truth.Purity. Poetic heritage. Humanity and Art. ﻣﻦ ﻫﻨﺎ ﺗﺘﺤﺪد رﺳـــﺎﻟﺔ ﻛﻞ ﻣﻔﻜﺮ ﻳﺴـــﻌﻰ ﻟﺒﻨﺎء ﺣﻀـــﺎرة ﳎﺘﻤﻌﻪ، ﻓﻘﺪ ﻋﺪﱠ اﻟﻜﻠﻤﺔ ﻣﻦ أﻫﻢ اﻷﺳـــﻠﺤﺔ اﻟﱵ ﺗﺘﻘﻠﺪﻫﺎ اﻷﻣﺔ ﻟﺘﻌﱪ ﻋﻦ أﻓﻜﺎرﻫﺎ وﻣﺸﺎﻋﺮﻫﺎ وﺗﺜﺒﺖ ﺑﻪ وﺟﻮدﻫﺎ واﺳﺘﻤﺮار ﺳﻠﺴﻠﺔ اﻻﺗﺼﺎل اﻟﻔﻜﺮي ﺑﲔ اﳌﺎﺿﻲ واﳊﺎﺿﺮ ،واﳌﺴﺘﻘﺒﻞ ﻓﺎﻟﺸـــــــﻌﺮ ﻛﻤﺎ ﳝﺜﻞ ردﱠ ﻓﻌﻞ ﻋﻠﻰ " أﺣﺪاث اﳊﻴﺎة ﰲ ﺻــــــــﻮرة oﻗﻴﺔ Jﻣﻴﺔ ﻣﺘﻄﻮرة ﺑﺘﻄﻮر ﻣﺸــــــــﺎﻛﻠﻬﺎ وﻣﺼــــــــﺎﻋﺒﻬﺎ وأﻫﺪاﻓﻬﺎ و " أﻣﺎﻧﻴﻬﺎ34 . 4 . : ( ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ ،د.أﲪﺪ اﻟﻮاﺋﻠﻲ ، دﻓﱰ ﺗﺒﻠﻴﻐﺎت إﺳﻼﻣﻲ، )د.م( ، اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ، )د .ت2 / 8 ..وﻳﻨﻈﺮ : ﻛﺮﺑﻼء اﳊﺴﲔ ، ﳏﺎﺿﺮات د ، اﲪﺪ اﻟﻮاﺋﻠﻲ ، اﻋﺪاد اﻟﻠﺠﻨﺔ اﻟﺜﻘﺎﻓﻴﺔ ﳌﺆﺳﺴﺔ اﳋﺮﺳﺎن ، ﻣﻨﺸﻮرات ﻣﺆﺳﺴﺔ اﳋﺮﺳﺎن ﻟﻠﻤﻄﺒﻮﻋﺎت ، ﺑﲑوت1426 ﻫـ - 2005 م : 330 Muqadima Diwan Alwayili ,d.'Ahmad alwayili , Daftar Tablighat 'Islami, (du.m) , Altabeat Alsania, (d .t ) : 2/ 8 .wayanzur : karbala' Al Hussain , Mahazrat da. Ahmad Alwayili , aedad allajnat althaqafiat limuasasat alkhursan , Manshurat muasasat alkhursan lilmatbueat , bayrut , 1426 hi - 2005 m : 330 ﻢ ﻊ ﻲ ﺞ Manhaj Alfani Al Islami , Muhamad Qutb , matabie dar alqalam , alqahirat , (du.ta) , (da.t ) : 6 2 . ،ﰲ ﻇﻼل اﻟﻘﺮآن : ﺳﻴﺪ ﻗﻄﺐ ، دار إﺣﻴﺎء اﻟﱰاث اﻟﻌﺮﰊ ، ﺑﲑوت ، اﻟﻄﺒﻌﺔ اﳋﺎﻣﺴﺔ1386 ﻫـ- 1967 : م19 / 120 - 121 Fi Zilal Alquran : Sayed Qutb , Dar 'ihya' alturath alearabi , Byrot , Altabea alkhamisata, 1386h - 1967m : 19/120-121 1 . : ( ﻣﻨﻬﺞ اﻟﻔﻦ اﻻﺳﻼﻣﻲ ، ﳏﻤﺪ ﻗﻄﺐ ، ﻣﻄﺎﺑﻊ دار اﻟﻘﻠﻢ ، اﻟﻘﺎﻫﺮة ، )د.ط( ، )د.ت6 3 . ﻓ :ﺼﻠﺖ53 Manhaj Alfani Al Islami , Muhamad Qutb , matabie dar alqalam , alqahirat , (du.ta) , (da.t ) : 6 2 . ،ﰲ ﻇﻼل اﻟﻘﺮآن : ﺳﻴﺪ ﻗﻄﺐ ، دار إﺣﻴﺎء اﻟﱰاث اﻟﻌﺮﰊ ، ﺑﲑوت ، اﻟﻄﺒﻌﺔ اﳋﺎﻣﺴﺔ1386 ﻫـ- 1967 : م19 / 120 - 121 1 . : ( ﻣﻨﻬﺞ اﻟﻔﻦ اﻻﺳﻼﻣﻲ ، ﳏﻤﺪ ﻗﻄﺐ ، ﻣﻄﺎﺑﻊ دار اﻟﻘﻠﻢ ، اﻟﻘﺎﻫﺮة ، )د.ط( ، )د.ت6 Manhaj Alfani Al Islami , Muhamad Qutb , matabie dar alqalam , alqahirat , (du.ta) , (da.t ) : 6 2 . ،ﰲ ﻇﻼل اﻟﻘﺮآن : ﺳﻴﺪ ﻗﻄﺐ ، دار إﺣﻴﺎء اﻟﱰاث اﻟﻌﺮﰊ ، ﺑﲑوت ، اﻟﻄﺒﻌﺔ اﳋﺎﻣﺴﺔ1386 ﻫـ- 1967 : م19 / 120 - 121 Fi Zilal Alquran : Sayed Qutb , Dar 'ihya' alturath alearabi , Byrot , Altabea alkhamisata, 1386h - 1967m : 19/120-121 3 . ﻓ :ﺼﻠﺖ53 Fasalat: 53 4 . : ( ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ ،د.أﲪﺪ اﻟﻮاﺋﻠﻲ ، دﻓﱰ ﺗﺒﻠﻴﻐﺎت إﺳﻼﻣﻲ، )د.م( ، اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ، )د .ت2 / 8 ..وﻳﻨﻈﺮ : ﻛﺮﺑﻼء اﳊﺴﲔ ، ﳏﺎﺿﺮات د ، اﲪﺪ اﻟﻮاﺋﻠﻲ ، اﻋﺪاد اﻟﻠﺠﻨﺔ اﻟﺜﻘﺎﻓﻴﺔ ﳌﺆﺳﺴﺔ اﳋﺮﺳﺎن ، ﻣﻨﺸﻮرات ﻣﺆﺳﺴﺔ اﳋﺮﺳﺎن ﻟﻠﻤﻄﺒﻮﻋﺎت ، ﺑﲑوت1426 ﻫـ - 2005 م : 330 Muqadima Diwan Alwayili ,d.'Ahmad alwayili , Daftar Tablighat 'Islami, (du.m) , Altabeat Alsania, (d .t ) : 2/ 8 .wayanzur : karbala' Al Hussain , Mahazrat da. Ahmad Alwayili , aedad allajnat althaqafiat limuasasat alkhursan , Manshurat muasasat alkhursan lilmatbueat , bayrut , 1426 hi - 2005 m : 330 Key words:Truth.Purity. Poetic heritage. Humanity and Art. 16 .ﲨﻬﻮرﻳﺔ اﻓﻼ ، ﻃﻮن ، ﻧﻘﻠﻬﺎ ﻟﻠﻌﺮﺑﻴﺔ : ﺣﻨﺎ ﺧﺒﺎز ، دار اﻟﻘﻠﻢ ، ﺑﲑوت ، اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1980 : 94 Jamhuriah Aflatun , Naqalaha lilearabia : hana khabaaz , Dar alqalam , Bayrut , Al Tibia Sania , 1980: 94 17 . : م. ن126 mi. n : 126 18 .اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳌﻌﺎﺻﺮ ﻗﻀﺎcﻩ وﻇﻮاﻫﺮﻩ اﻟﻔﻨ , ﻴﺔ واﳌﻌﻨﻮﻳﺔ , د. ﻋﺰ اﻟﺪﻳﻦ إﲰﺎﻋﻴﻞ , دار اﻟﻌﻮدة ودار اﻟﺜﻘﺎﻓﺔ , ﺑﲑوت , اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1972 : 374 Alshiaru Alarabia Almuasir qazayah wazawahiruh alfaniya walmaenawia , da. Azz udeen 'ismaeil , dar aleawda wadar althaqafa , Bayrut , Al Tabiusania , 1972: 374 19 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/7 Muqadima diwan alwayili : 1/7 20 . م : . ن2/7 Harakat Alshier fi Alnajaf al'ashraf wa'atwaruh khilal Al Quran alraby eashar alhijri , du. eabd alsaahib almusawi , dar alzahra', bayrut, altabeat alawlaa , 1408 hi - 1988 : 341 6 . : ﻗﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/7 - 8 Qadmah diwan alwayili : 1/7-8 Qadmah diwan alwayili : 1/7-8 Q y : / 7 . ﻷﺳﻠﻮب واﻷﺳﻠﻮﺑﻴﺔ ﺑﲔ اﻟﻌﻠﻤﺎﻧﻴﺔ واﻷدب اﳌﻠﺘﺰم ، oﻹﺳﻼم ، د.ﻋﺪJن ﻋﻠﻲ رﺿﺎ اﻟﻨﺤﻮي، دار اﻟﻨﺤﻮي، اﻟﺴﻌﻮدﻳﺔ، اﻟﻄﺒﻌﺔ اﻷوﱃ1419 ﻫـ- 1999 : م281 . م Li Aslub wal'Aslubiat bayn alealmania wal'adab almultazim bi Al'Islam, da.adnan ealin Raza alnahwi, dar alnahwi, Al Saudia, altabi tu al'uwlaa , 1419h - 1999m : 281 . 8 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1 / 8 : (. وﻳﻨﻈﺮ : اﻟﻨﻘﺪ اﻷدﰊ أﺻﻮﻟﻪ وﻣﻨﺎﻫﺠﻪ ، ﺳﻴﺪ ﻗﻄﺐ، د دار اﻟﺸﺮوق ، ﺑﲑوت ، )د. ط ( ، ) د.ت8 Muqadimah diwan alwayili : 1/ 8 . wayanzur : alnaqd al'adabi 'usulah wamanahijah , Sayed Qutba, d Da Alshuruq , Bayrut , (d. t ) , ( da.t) : 8 Li Aslub wal'Aslubiat bayn alealmania wal'adab almultazim bi Al'Islam, da.adnan ealin Raza alnahwi, dar alnahwi, Al Saudia, altabi tu al'uwlaa , 1419h - 1999m : 281 . 8 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1 / 8 : (. وﻳﻨﻈﺮ : اﻟﻨﻘﺪ اﻷدﰊ أﺻﻮﻟﻪ وﻣﻨﺎﻫﺠﻪ ، ﺳﻴﺪ ﻗﻄﺐ، د دار اﻟﺸﺮوق ، ﺑﲑوت ، )د. ط ( ، ) د.ت8 Muqadimah diwan alwayili : 1/ 8 . wayanzur : alnaqd al'adabi 'usulah wamanahijah , Sayed Qutba, d Da Alshuruq , Bayrut , (d. t ) , ( da.t) : 8 9 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 9 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 . : ﻳﻮن ﻮﻲ/ Muqadimah diwan alwayili : 1/8 10 . Key words:Truth.Purity. Poetic heritage. Humanity and Art. : .ن1 / 8 n :1/ 8 11 . ، اﻟﺜﺎﺑﺖ واﳌﺘﺤﻮل ﲝﺚ ﰲ اﻹﺑﺪاع واﻹﺗﺒﺎع ﻋﻨﺪ اﻟﻌﺮب ، أدوﻧﻴﺲ ، دار اﻟﺸﺎﻗﻲ ، ﺑﲑوت اﻟﻄﺒﻌﺔ اﻟﺜﺎﻣﻨﺔ2002 : 1/ 13 Al Sabit walmutahawil Bahas fi al'ibdae wal'itbae eind Alarab , 'Adunis , Dar Alshaaqi , Bayrut altabeat Al Samina , 2002 : 1/13 12 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 Muqadimah diwan alwayili :1/8 13 . ا ﻟﺸﻌﺮ ﻛﻴﻒ ﻧﻔﻬﻤﻪ وﻧﺘﺬوﻗﻪ, أﻟﻴﺰاﺑﻴﺚ درو, ﺗﺮﲨﺔ : ﳏﻤﺪ إﺑﺮاﻫﻴﻢ اﻟﺸﻮش, ﻣﻄﺒﻌﺔ ﻋﻴﺘﺎﱐ اﳉﺪﻳﺪة , ﺑﲑوت , ( , ) د. ط1961 : 25 . Alshier kayf nafhamuh wanatadhawaquha, 'alizabis dru, tarjamah : Muhamad 'Ibrahim Alshuwsha, Matbaa eitani aljadidat , Bayrut , ( da. t ) , 1961: 25 14 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 Muqadimah diwan al wayili : 1/8 15 . ﺣﻮل اﻷدب اﻹﺳﻼﻣﻲ اﳌﻠﺘﺰم , ﳏﻤﺪ اﻟﺼﺪر , ﳎﻠﺔ اﻷﺿﻮاء اﻹﺳﻼﻣﻴﺔ , ع1, س5 , اﻟﻨﺠﻒ اﻷﺷﺮف1384 ﻫـ- 1964 : م31 - 32 . haolu al'adab al'islami almultazim , Muhamad Alsadr , Majalat al'azwa' al'islamiat , ea1, si5 alnajaf al'ashraf , 1384h - 1964m : 31-32. 16 .ﲨﻬﻮرﻳﺔ اﻓﻼ ، ﻃﻮن ، ﻧﻘﻠﻬﺎ ﻟﻠﻌﺮﺑﻴﺔ : ﺣﻨﺎ ﺧﺒﺎز ، دار اﻟﻘﻠﻢ ، ﺑﲑوت ، اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1980 : 94 Jamhuriah Aflatun , Naqalaha lilearabia : hana khabaaz , Dar alqalam , Bayrut , Al Tibia Sania , 1980: 94 17 . : م. ن126 mi. n : 126 18 .اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳌﻌﺎﺻﺮ ﻗﻀﺎcﻩ وﻇﻮاﻫﺮﻩ اﻟﻔﻨ , ﻴﺔ واﳌﻌﻨﻮﻳﺔ , د. ﻋﺰ اﻟﺪﻳﻦ إﲰﺎﻋﻴﻞ , دار اﻟﻌﻮدة ودار اﻟﺜﻘﺎﻓﺔ , ﺑﲑوت , اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1972 : 374 Alshiaru Alarabia Almuasir qazayah wazawahiruh alfaniya walmaenawia , da. Azz udeen 'ismaeil , dar aleawda wadar althaqafa , Bayrut , Al Tabiusania , 1972: 374 19 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/7 Muqadima diwan alwayili : 1/7 20م:ن2/7 Muqadimah diwan alwayili : 1/8 10 . : .ن1 / 8 Muqadimah diwan alwayili : 1/8 Muqadimah diwan alwayili :1/8 13 . ا ﻟﺸﻌﺮ ﻛﻴﻒ ﻧﻔﻬﻤﻪ وﻧﺘﺬوﻗﻪ, أﻟﻴﺰاﺑﻴﺚ درو, ﺗﺮﲨﺔ : ﳏﻤﺪ إﺑﺮاﻫﻴﻢ اﻟﺸﻮش, ﻣﻄﺒﻌﺔ ﻋﻴﺘﺎﱐ اﳉﺪﻳﺪة , ﺑﲑوت , ( , ) د. ط1961 : 25 . Alshier kayf nafhamuh wanatadhawaquha, 'alizabis dru, tarjamah : Muhamad 'Ibrahim Alshuwsha, Matbaa eitani aljadidat , Bayrut , ( da. t ) , 1961: 25 14 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 15 . ﺣﻮل اﻷدب اﻹﺳﻼﻣﻲ اﳌﻠﺘﺰم , ﳏﻤﺪ اﻟﺼﺪر , ﳎﻠﺔ اﻷﺿﻮاء اﻹﺳﻼﻣﻴﺔ , ع1, س5 , اﻟﻨﺠﻒ اﻷﺷﺮف1384 ﻫـ- 1964 : م31 - 32 . 15 . Key words:Truth.Purity. Poetic heritage. Humanity and Art. ﻳﺘﻀـﺢ ﳑﺎ ﺳـﺒﻖ أنﱠ ﺻـﻔﺔ اﻹﳝﺎن، واﻟﺼـﺪق، اﻻﻟﺘﺰام oﻟﺪﻳﻦ ﻫﻲ اﻟﻨﺒﻊ اﻷﺻـﻴﻞ اﻟﺬي اﻏﱰف ﻣﻨﻪ اﻟﺸـﺎﻋﺮ اﳌﻠﺘﺰم إﺳــــــﻼﻣﻴﺎً، وأدﺑﻨﺎ ﻳﻘﺪم اﻟﺼــــــﻮرة اﳊﻘﻴﻘﻴﺔ ﻟﻠﺤﻴﺎة واÁﺘﻤﻊ، وﻗﺪ ﲤﺜﻞ ﺷــــــﺎﻋﺮJ ﻛﻞ ذﻟﻚ ﰲ أدﺑﻪ اﻟﺬي ﺻــــــﺪر ﻋﻨﻪ، ﻓﻘﺪم ﻟﻨﺎ اﻟﺘﺰاﻣﺎً oﻟﻜﻠﻤﺔ، oﻟﻌﻘﻴﺪة، واﻗﱰن ذﻟﻚ oﻟﺴـــــﻠﻮك36 ، ﻓﺎﻟﺸـــــﻌﺮ ﻋﻨﺪﻩ ﳝﺲ ﺻـــــﻤﻴﻢ اﳊﻴﺎة اﻹﻧﺴـــــﺎﻧﻴﺔ، ﻓﻴﺴـــــﺘﻤﺪ ﻣﻨﻬﺎ ﺻـــــﻮر ﻩ وﻳﻌﺮﺿﻬﺎ ﻟﻨﺎ ﻋﻠﻰ وﻓﻖ ﻣﻨﻈﻮر أدﰊ ﻓﲏ0 ﻟﻸدﻳﺐ ﻋﻨﺪ اﻟﻮاﺋﻠﻲ رﺳـــﺎﻟﺔ، ﲣﺘﻄﻬﺎ ﻛﻠﻤﺎﺗﻪ ﻟﱰﺳـــﻢ ﻟﻸﻣﺔ اﻟﻔﻜﺮ اﻟﺬي ﳛﺪد ﳍﺎ اﳌﻨﻬﺞ اﻟﺬي ﻳﺴـــﲑ ﻋﻠﻴﻪ أﺑﻨﺎؤﻫﺎ ﻟﻴﺴـــﻬﻢ ﰲ ﺑﻨﺎء اﻟﺼـــﺮح اﳊﻀـــﺎري ﻟﻸﻣﺔ، وﻗﺪ رﺳـــﻢ ﻟﻨﺎ ﺷـــﺎﻋﺮJ اﻟﺮﺳـــﺎﻟﺔ اﻟﱵ ﺗﺒﺪ أ ﻣﻦ ﺻـــﻴﺤﺔ ﻳﻄﻠﻘﻬﺎ اﻷدﻳﺐ ﻟﺘﻬﺰ ﻋﺮوش اﻟﻈﻠﻢ واﻟﻈﺎﳌﲔ، ﻛﻤﺎ ﺗﻨﻬﺞ اﻟﻄﺮﻳﻖ ﻧﻔﺴــــــﻪ ﰲ اﻷﻏﺮاض اﻷﺧﺮى ﻛﺎﻟﺮ³ء واﻟﺒﻄﻮﻟﺔ، وأن ﺷـــــــﻌﺮﻩ إﳛﺎءات وﺟﺪاﻧﻴﺔ ﳍﺎ ﻃﺎﺑﻌﻬﺎ اﻟﻘﻮي اﻟﺬي ﻳﻘﱰب ﻣﻦ اﻟﻄﺒﻴﻌﺔ ﻓﻴﺘﻤﺜﻠﻬﺎ ﰲ وﺟﺪاﻧﻪ ﻟﻴﻌﱪ ﻋﻦ ﺧﺒﺎc اﻟﻨﻔﺲ اﻹﻧﺴﺎﻧﻴﺔ37 :، ﻓﻴﻘﻮل َﺳــــــــــــــــــــﻞِ اﻟﺮﺳــــــــــــــــــــﺎﻻت ِ ﻫـــــــﻞ ﻛـــــــﺎن اﻷدﻳـــــــﺐ ﺳــــــــــــــﻮى ُرﺳـــــــــــــــــــــــــﺎﻟـــــــــــﺔ إذْ ﳚـــــــــــﺪﱡ اﻻﻣـــــــــــﺮُ ﺗـــــــــــﺮﺗـــــــــــﻘـــــــــــﺐ 67 ٍوﺻــــــــــــــــــــــﻴـــــــــﺤــــــــﺔ ﻳـــــــــﺘـــــــــﺤـــــــــﺪى اﻟـــــــــﺒـــــــــﻐــــــــﻲ أو ﻗـــــــــﺒـــــــــﺲ ُإذا أدﳍـــــــــﻤـــــــــ ّﺖْ ﻋـــــــــﻠـــــــــﻰ أﺑـــــــــﻌـــــــــﺎدJ اﳋـــــــــ ُﻄـــــــــ ُﺐ وﰲ اﻟـــــــــــــــﻨـــــــــــــــﻮاﺋـــــــــــــــﺐ ﺗـــــــــــــــﺮﺟـــــــــــــــﻴـــــــــــــــﻊٌ ﻟـــــــــــــــﻮاﳍــــــــــــــﺔ وﰲ اﻟـــــــــــﺒـــــــــــﻄـــــــــــﻮﻻت ﻋـــــــــــﺰم ﻣـــــــــــﺎرد ﻳـــــــــــﺜـــــــــــﺐ وﰲ اﻟﺸـــــــــــــــــــــــﻘــــــــــﺎﺋــــــــــﻖ ﻓــــــــــﻴــــــــــﻤــــــــــﺎ ﳚــــــــــﺘــــــــــﻠـــــــــﻰ ﻋــــــــــﺒــــــــــﻖ وﰲ اﻟﺼـــــــــــــــــــــﺤـــــــﺎﺋـــــــﻒِ ﻓـــــــﻴـــــــﻤـــــــﺎ ﳚـــــــﺘـــــــﲎ أدب38 :اﻟﻮاﺋﻠﻲ واﻟﺸﻌﺮ اﳊﺮ اﻟﻮاﺋﻠﻲ ﻣﻦ أﺗﺒﺎع اﳌﺪرﺳـــــــــــــﺔ اﻟﺘﻘﻠﻴﺪﻳﺔ ﰲ اﻟﻨﺠﻒ اﻷﺷـــــــــــــﺮف اﻟﱵ ﻋﺮﻓﺖ ﺑﺜﺮاﺋﻬﺎ اﻟﻠﻐﻮي واﻟﻔﲏ، وﻣﻦ أﻧﺼـــــــــــــﺎرﻫﺎ واﳌﻨﺎﻓﺤﲔ ﻋﻨﻬﺎ، ﻟﺬا ﻓﺈﻧﻪ اﺳــــﺘﻬﺠﻦ اﻟﺸــــﻌﺮ اﳊﺮ وﻋﺪ ﻣﺆداﻫﺎ ﻋﺠﺰ وﻗﺼــــﻮر أﺻــــﺤﺎﺑﻪ ﻋﻦ اﻟﻨﻬﻮض oﳌﺴــــﺘﻮى اﻟﺬي ﻳﻠﻴﻖ ﻧﻔﺴــﻬﻢ ﻛﺸــﻌﺮاء وoﻷدب اﻟﺮﻓﻴﻊ اﻟﺬي ﻳﺘﻄﻠﺐ ﺷــﺎﻋﺮﻳﺔ أﺻــﻴﻠﺔ39، ﻓﺎ ﻟﺸــﺎﻋﺮ آﻣﻦ نﱠ اﻟﺸــﻌﺮ اﻣﺘﺪاد ﻟﻔﻜﺮ اﻟﺸــﺎﻋﺮ واﻟﺮوح اﻟﱵ ﺗﻌﱪ ﻋﻤﺎ ﳜﺎﳉﻪ ﻣﻦ ﻣﺸــــﺎﻋﺮ واﻧﻔﻌﺎﻻت ﻣﺘﻨﻮﻋﺔ، وﻗﺪ ﻋﱪ اﻟﺸــــﺎﻋﺮ ﻋﻦ رأﻳﻪ ﺑﺼــــﺮاﺣﺔ ﰲ ﻗﺼــــﻴﺪﺗﻪ اﻟﺮ³ﺋﻴﺔ )دﻣﻌﺔ ﻋﻠﻰ (ﻗﱪ اﲪﺪ40 :، ﻓﻴﻘﻮل وﻓـــــــــــﺮﻳـــــــــــﻖ ﺗـــــــــــﻴـــــــــــﻤـــــــــــﻤـــــــــــﻮا اﻟﺸـــــــــــــــــــــــــﻌـــــــــــﺮ ﻓـــــــــــﺎﻏـــــــــــﺘـــــــــــﺎ ُﻟـــــــــــﻮﻩ واﻟﺸــــــــــــــــــــــــﻌـــــــــــﺮ ﻓـــــــــــﻜـــــــــــﺮJ اﳌـــــــــــﻜـــــــــــﺘـــــــــــﻮب ﻣﺰﻗﻮا ﻫﻴﻜﻼ ﻟﻪ ﻓﺈذا اﻟﺸﻌـــــــ ـــــــــــــــــــــــــــــــــــــــﺮ ﺗـــــــــــﻔـــــــــــﺎرﻳـــــــــــﻖ ﻣـــــــــــﺰﻗـــــــــــﺖ وﺟـــــــــــﻴـــــــــــﻮب وأذاﺑﻮا وﻗﻊ اﻟﻘﺮار ﲟﻮﺳﻴـــــــ ـــــــــــــــــــــــــــــــــــــﻘـــــــــﺎﻩ ﻓـــــــــﺎﻣـــــــــﺘــــــــﺺ روﺣــــــــﻪ اﻟـــــــــﺘـــــــــﺬوﻳـــــــــﺐ وأºﻩ ﻳﺴـــــــــــــــــــــــــــــﺘـــــــــــــــﺎﻣـــــــــــــــﻪ ﺑـــــــــــــــﻌـــــــــــــــﺪ ﻧـــــــــــــــﺰع اﻟــــــــــــــــ ﻧﺴـــــــــــــــــــــﺮ ﻣـــــــﻦ ﻣـــــــﻌﺸـــــــــــــــــــــﺮ اﻟـــــــﺒـــــــﻐـــــــﺎث دﺑـــــــﻴـــــــﺐ أﳒـــــــــــــــــــــﺒـــــــــــــــــــــﻮﻩ وﻗـــــــــــــــــــــﺪ ﺣـــــــــــــــــــــﺮاً زﻋـــــــــــــــــــــﻤـــــــــــــــــــــﻮﻩ وﳏـــــــــــــــﺎل أن ﻳـــــــــــــــﻨـــــــــــــــﺠـــــــــــــــﺐ اÁـــــــــــــــﺒـــــــــــــــﻮب إﺎ ﺑﺪﻋﺔ اﻟﺘﺒﲏ وﻫﻴﻬــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــﺎ ت ﻳﺴـــــــــــــــــــــــــﺎوى ﲟـــــــــــﺎ وﻟـــــــــــﺪت اﻟـــــــــــﺮﺑـــــــــــﻴـــــــــــﺐ إﳕـــــــــــﺎ اﺳـــــــــــــــــــــــــﺘـــــــــــﻬـــــــــــﺪﻓـــــــــــﻮا اﻟـــــــــــﻨـــــــــــﺒـــــــــــﻮغ ﻟـــــــــــﻌـــــــــــﺠـــــــــــﺰ ﻛــــــــــــﻲْ ﻳﺴــــــــــــــــــــــــــﺎوى ﲞــــــــــــﺎﻣــــــــــــﻞ ﻣــــــــــــﻮﻫــــــــــــﻮب ﺳـــــــــــــــــــــــــــــــــــﱰﺗــــــــــــــــــــﻪ وإن ﺻـــــــــــــــــــــــــــــــــــﺎرخ ﻫـــــــــــــــــــــﺪف ُ ﻇـــــــــــﻠـــــــــــﻤـــــــــــﺎت اﻹ§ـــــــــــﺎم واﻟـــــــــــﺘﻀــــــــــــــــــــــــﺒـــــــــــﻴـــــــــــﺐ وﺳــــــــــــــــــــــــﻴـــــــــــﺒـــــــــــﻘــــــــــﻰ ﰲ اﻟـــــــــــﻨـــــــــــﺎسِ ﻛـــــــــــﻞ أﺻــــــــــــــــــــــــﻴـــــــــــﻞ ُاÁـــــــــــــــــــــﻠـــــــــــــــــــــﻮب ﻷﻫـــــــــــــــــــــﻠــــــــــــــــــــﻪ وﻳـــــــــــــــــــــﻮﱄ 41 وﻫﺬا اﻟﺮأي اﳌﺆﻳﺪ ﻟﻠﺸــﻌﺮ اﻟﻌﻤﻮدي ﻧﺘﻴﺠﺔ ﻃﺒﻴﻌﻴﺔ ؛ ﻻن اﻟﺸـــﺎﻋﺮ ﻣﻦ اﳌﺆﻣﻨﲔ oﻷﺛﺮ اﳌﻮﺳـــﻴﻘﻲ ﰲ اﻟﺸــﻌﺮ اﳌﺘﻤﺜﻞ ﰲ اﻟﻮزن واﻟﻘﺎﻓﻴﺔ، ﻓﺎﻟﻮاﺋﻠﻲ ﻣﻦ ﺷـﻌﺮاء اﻟﻨﺠﻒ اﻟﺬﻳﻦ ﻻ ﳛﻴﺪون ﻋﻦ وﺣﺪة اﻟﻮزن واﻟﻘﺎﻓﻴﺔ وﻳﻌﺪوﺎ ﻣﻦ أﺻـﻮل اﻹﺑﺪاع وﻣﻦ ﻣﻈﺎﻫﺮ اﻛﺘﻤﺎﳍﺎ اﻟﻔﲏ ﰲ اﻟﻘﺼـــﻴﺪة42 ، ﻓﺎﻻﺻـــﺎﻟﺔ ﻋﻨﺪ اﻟﻮاﺋﻠﻲ ﻣﻜﺎﻧﻴﺔ أي اﺻـــﺎﻟﺔ اﻻﻧﺘﻤﺎء اﱃ ﻧﺴـــﻖ ﺷـــﻌﺮي ﻋﺮﰊ ﻳﻨﺘﻤﻲ اﱃ 67 ٍوﺻــــــــــــــــــــــﻴـــــــــﺤــــــــﺔ ﻳـــــــــﺘـــــــــﺤـــــــــﺪى اﻟـــــــــﺒـــــــــﻐــــــــﻲ أو ﻗـــــــــﺒـــــــــﺲ ُإذا أدﳍـــــــــﻤـــــــــ ّﺖْ ﻋـــــــــﻠـــــــــﻰ أﺑـــــــــﻌـــــــــﺎدJ اﳋـــــــــ ُﻄـــــــــ ُﺐ وﰲ اﻟـــــــــــــــﻨـــــــــــــــﻮاﺋـــــــــــــــﺐ ﺗـــــــــــــــﺮﺟـــــــــــــــﻴـــــــــــــــﻊٌ ﻟـــــــــــــــﻮاﳍــــــــــــــﺔ وﰲ اﻟـــــــــــﺒـــــــــــﻄـــــــــــﻮﻻت ﻋـــــــــــﺰم ﻣـــــــــــﺎرد ﻳـــــــــــﺜـــــــــــﺐ وﰲ اﻟﺸـــــــــــــــــــــــﻘــــــــــﺎﺋــــــــــﻖ ﻓــــــــــﻴــــــــــﻤــــــــــﺎ ﳚــــــــــﺘــــــــــﻠـــــــــﻰ ﻋــــــــــﺒــــــــــﻖ وﰲ اﻟﺼـــــــــــــــــــــﺤـــــــﺎﺋـــــــﻒِ ﻓـــــــﻴـــــــﻤـــــــﺎ ﳚـــــــﺘـــــــﲎ أدب38 :اﻟﻮاﺋﻠﻲ واﻟﺸﻌﺮ اﳊﺮ اﻟﻮاﺋﻠﻲ ﻣﻦ أﺗﺒﺎع اﳌﺪرﺳـــــــــــــﺔ اﻟﺘﻘﻠﻴﺪﻳﺔ ﰲ اﻟﻨﺠﻒ اﻷﺷـــــــــــــﺮف اﻟﱵ ﻋﺮﻓﺖ ﺑﺜﺮاﺋﻬﺎ اﻟﻠﻐﻮي واﻟﻔﲏ، وﻣﻦ أﻧﺼـــــــــــــﺎرﻫﺎ واﳌﻨﺎﻓﺤﲔ ﻋﻨﻬﺎ، ﻟﺬا ﻓﺈﻧﻪ اﺳــــﺘﻬﺠﻦ اﻟﺸــــﻌﺮ اﳊﺮ وﻋﺪ ﻣﺆداﻫﺎ ﻋﺠﺰ وﻗﺼــــﻮر أﺻــــﺤﺎﺑﻪ ﻋﻦ اﻟﻨﻬﻮض oﳌﺴــــﺘﻮى اﻟﺬي ﻳﻠﻴﻖ ﻧﻔﺴــﻬﻢ ﻛﺸــﻌﺮاء وoﻷدب اﻟﺮﻓﻴﻊ اﻟﺬي ﻳﺘﻄﻠﺐ ﺷــﺎﻋﺮﻳﺔ أﺻــﻴﻠﺔ39، ﻓﺎ ﻟﺸــﺎﻋﺮ آﻣﻦ نﱠ اﻟﺸــﻌﺮ اﻣﺘﺪاد ﻟﻔﻜﺮ اﻟﺸــﺎﻋﺮ واﻟﺮوح اﻟﱵ ﺗﻌﱪ ﻋﻤﺎ ﳜﺎﳉﻪ ﻣﻦ ﻣﺸــــﺎﻋﺮ واﻧﻔﻌﺎﻻت ﻣﺘﻨﻮﻋﺔ، وﻗﺪ ﻋﱪ اﻟﺸــــﺎﻋﺮ ﻋﻦ رأﻳﻪ ﺑﺼــــﺮاﺣﺔ ﰲ ﻗﺼــــﻴﺪﺗﻪ اﻟﺮ³ﺋﻴﺔ )دﻣﻌﺔ ﻋﻠﻰ (ﻗﱪ اﲪﺪ40 :، ﻓﻴﻘﻮل وﻓـــــــــــﺮﻳـــــــــــﻖ ﺗـــــــــــﻴـــــــــــﻤـــــــــــﻤـــــــــــﻮا اﻟﺸـــــــــــــــــــــــــﻌـــــــــــﺮ ﻓـــــــــــﺎﻏـــــــــــﺘـــــــــــﺎ ُﻟـــــــــــﻮﻩ واﻟﺸــــــــــــــــــــــــﻌـــــــــــﺮ ﻓـــــــــــﻜـــــــــــﺮJ اﳌـــــــــــﻜـــــــــــﺘـــــــــــﻮب ﻣﺰﻗﻮا ﻫﻴﻜﻼ ﻟﻪ ﻓﺈذا اﻟﺸﻌـــــــ ـــــــــــــــــــــــــــــــــــــــﺮ ﺗـــــــــــﻔـــــــــــﺎرﻳـــــــــــﻖ ﻣـــــــــــﺰﻗـــــــــــﺖ وﺟـــــــــــﻴـــــــــــﻮب وأذاﺑﻮا وﻗﻊ اﻟﻘﺮار ﲟﻮﺳﻴـــــــ ـــــــــــــــــــــــــــــــــــــﻘـــــــــﺎﻩ ﻓـــــــــﺎﻣـــــــــﺘــــــــﺺ روﺣــــــــﻪ اﻟـــــــــﺘـــــــــﺬوﻳـــــــــﺐ وأºﻩ ﻳﺴـــــــــــــــــــــــــــــﺘـــــــــــــــﺎﻣـــــــــــــــﻪ ﺑـــــــــــــــﻌـــــــــــــــﺪ ﻧـــــــــــــــﺰع اﻟــــــــــــــــ ﻧﺴـــــــــــــــــــــﺮ ﻣـــــــﻦ ﻣـــــــﻌﺸـــــــــــــــــــــﺮ اﻟـــــــﺒـــــــﻐـــــــﺎث دﺑـــــــﻴـــــــﺐ أﳒـــــــــــــــــــــﺒـــــــــــــــــــــﻮﻩ وﻗـــــــــــــــــــــﺪ ﺣـــــــــــــــــــــﺮاً زﻋـــــــــــــــــــــﻤـــــــــــــــــــــﻮﻩ وﳏـــــــــــــــﺎل أن ﻳـــــــــــــــﻨـــــــــــــــﺠـــــــــــــــﺐ اÁـــــــــــــــﺒـــــــــــــــﻮب إﺎ ﺑﺪﻋﺔ اﻟﺘﺒﲏ وﻫﻴﻬــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــــﺎ ت ﻳﺴـــــــــــــــــــــــــﺎوى ﲟـــــــــــﺎ وﻟـــــــــــﺪت اﻟـــــــــــﺮﺑـــــــــــﻴـــــــــــﺐ إﳕـــــــــــﺎ اﺳـــــــــــــــــــــــــﺘـــــــــــﻬـــــــــــﺪﻓـــــــــــﻮا اﻟـــــــــــﻨـــــــــــﺒـــــــــــﻮغ ﻟـــــــــــﻌـــــــــــﺠـــــــــــﺰ ﻛــــــــــــﻲْ ﻳﺴــــــــــــــــــــــــــﺎوى ﲞــــــــــــﺎﻣــــــــــــﻞ ﻣــــــــــــﻮﻫــــــــــــﻮب ﺳـــــــــــــــــــــــــــــــــــﱰﺗــــــــــــــــــــﻪ وإن ﺻـــــــــــــــــــــــــــــــــــﺎرخ ﻫـــــــــــــــــــــﺪف ُ ﻇـــــــــــﻠـــــــــــﻤـــــــــــﺎت اﻹ§ـــــــــــﺎم واﻟـــــــــــﺘﻀــــــــــــــــــــــــﺒـــــــــــﻴـــــــــــﺐ وﺳــــــــــــــــــــــــﻴـــــــــــﺒـــــــــــﻘــــــــــﻰ ﰲ اﻟـــــــــــﻨـــــــــــﺎسِ ﻛـــــــــــﻞ أﺻــــــــــــــــــــــــﻴـــــــــــﻞ ُاÁـــــــــــــــــــــﻠـــــــــــــــــــــﻮب ﻷﻫـــــــــــــــــــــﻠــــــــــــــــــــﻪ وﻳـــــــــــــــــــــﻮﱄ 41 وﻫﺬا اﻟﺮأي اﳌﺆﻳﺪ ﻟﻠﺸــﻌﺮ اﻟﻌﻤﻮدي ﻧﺘﻴﺠﺔ ﻃﺒﻴﻌﻴﺔ ؛ ﻻن اﻟﺸـــﺎﻋﺮ ﻣﻦ اﳌﺆﻣﻨﲔ oﻷﺛﺮ اﳌﻮﺳـــﻴﻘﻲ ﰲ اﻟﺸــﻌﺮ اﳌﺘﻤﺜﻞ ﰲ اﻟﻮزن واﻟﻘﺎﻓﻴﺔ، ﻓﺎﻟﻮاﺋﻠﻲ ﻣﻦ ﺷـﻌﺮاء اﻟﻨﺠﻒ اﻟﺬﻳﻦ ﻻ ﳛﻴﺪون ﻋﻦ وﺣﺪة اﻟﻮزن واﻟﻘﺎﻓﻴﺔ وﻳﻌﺪوﺎ ﻣﻦ أﺻـﻮل اﻹﺑﺪاع وﻣﻦ 67 وﻫﺬا اﻟﺮأي اﳌﺆﻳﺪ ﻟﻠﺸــﻌﺮ اﻟﻌﻤﻮدي ﻧﺘﻴﺠﺔ ﻃﺒﻴﻌﻴﺔ ؛ ﻻن اﻟﺸـــﺎﻋﺮ ﻣﻦ اﳌﺆﻣﻨﲔ oﻷﺛﺮ اﳌﻮﺳـــﻴﻘﻲ ﰲ اﻟﺸــﻌﺮ اﳌﺘﻤﺜﻞ ﰲ اﻟﻮزن واﻟﻘﺎﻓﻴﺔ، ﻓﺎﻟﻮاﺋﻠﻲ ﻣﻦ ﺷـﻌﺮاء اﻟﻨﺠﻒ اﻟﺬﻳﻦ ﻻ ﳛﻴﺪون ﻋﻦ وﺣﺪة اﻟﻮزن واﻟﻘﺎﻓﻴﺔ وﻳﻌﺪوﺎ ﻣﻦ أﺻـﻮل اﻹﺑﺪاع وﻣﻦ ﻣﻈﺎﻫﺮ اﻛﺘﻤﺎﳍﺎ اﻟﻔﲏ ﰲ اﻟﻘﺼـــﻴﺪة42 ، ﻓﺎﻻﺻـــﺎﻟﺔ ﻋﻨﺪ اﻟﻮاﺋﻠﻲ ﻣﻜﺎﻧﻴﺔ أي اﺻـــﺎﻟﺔ اﻻﻧﺘﻤﺎء اﱃ ﻧﺴـــﻖ ﺷـــﻌﺮي ﻋﺮﰊ ﻳﻨﺘﻤﻲ اﱃ ﺛﻘﺎﻓﺔ ﻣﻌﻴﻨ .ﺔ 68 وﰲ ﻗﺼـــﻴﺪة أﺧﺮى أرﺳـــﻠﻬﺎ اﻟﺸـــﺎﻋﺮ إﱃ ﲰﺎﺣﺔ اﻟﺴـــﻴﺪ ﳏﻤﺪ ﺣﺴـــﲔ ﻓﻀـــﻞ ﷲ ﲢﻴﺔ ﻟﺪﻳﻮاﻧﻪ " ﻗﺼـــﺎﺋﺪ ﻟﻺﺳـــﻼم "واﳊﻴﺎة " ﺑﻌﻨﻮان " أﻧﺖ ﻛﻮن ﳋﺼﺘﻪ ﺳﻄﻮر أﻧﻜﺮ ﻓﻴﻬﺎ اﻟﺸﻌﺮ اﳊﺮ، ﻓﺎﻟﻠﻐﺔ واﻟﺼﻮرة واﳌﻮﺳﻴﻘﺎ ﲢﺪد أﺛﺮ اﻹﺑﺪاع اﻟﻔﲏ ﰲ اﻟﻘﺼﻴﺪة وﺗﻀﻔﻲ ﻋﻠﻴﻬﺎ ﻣﺮوﻧﺔ وﺣﻴﻮﻳﺔ، إذ ﻳﻌﻮذ ا ﻟﺸـﻌﺮ ﻣﻦ ﻛﻞ ﺷـﺎﻋﺮ ﻳﻨﻄﻖ ﺑﻠﻐﺔ ﻏﺎﻣﻀـﺔ ﻻ ﻳﻔﻬﻤﻬﺎ اﳌﺘﻠﻘﻲ، ﻓﻬﻮ ﻋﺐء ﻋﻠﻰ اﻟﺴـﻤﻊ وﺻـﻮرﻩ اﻟﻔﻨﻴﺔ ﻏﲑ واﺿـﺤﺔ وﻣﻮﺳـﻴﻘﺎﻩ :ﰲ ﺿﻴﺎع، ﻓﻴﻘﻮل وإﱐ أﻋـــــــــﻴـــــــــﺬ اﻟﺸــــــــــــــــــــــﻌـــــــــﺮ ﻣـــــــــﻦ ﻛـــــــــﻞ ﺷــــــــــــــــــــــﺎﻋـــــــــﺮ ﺗـــــــــــﺪور ﻓـــــــــــﻼ ﺗـــــــــــﻠـــــــــــﻘـــــــــــﺎﻩ ﻛـــــــــــﻴـــــــــــﻒ ﺗـــــــــــﺪور ٌ ﻋــــــــﻠـــــــﻰ اﻟــــــــﻔــــــــﻬـــــــﻢ ﻋــــــــﺐء ﻓــــــــﻬـــــــﻮ ﻟــــــــﻐــــــــﺰٌ ﻣــــــــﻌــــــــﺘـــــــﻢ وﰲ اﻟﺴــــــــــــــــــﻤــــﻊ ﻋـــــــﺐء ﻓــــﻬــــﻮ ﻓــــﻴـــــــﻪ ﺻــــــــــــــــــﺨــــﻮر ﻳﺴـــــــــــــــــــــــــــــﻴـــــــــــــــﺢ ﻓـــــــــــــــﻼ ﺗـــــــــــــــﺪري أﻳـــــــــــــــﻦ ﻗـــــــــــــــﺮا رﻩ ﺗـــــــــــــﻐــــــــــــــﺮق ﻓــــــــــــــﻴـــــــــــــﻪ ﺻــــــــــــــــــــــــــــﻮرة وﺗـــــــــــــﻔــــــــــــــﻮر ﻳـــــــــﻘـــــــــﻮﻟـــــــــﻮن ﺣـــــــــﺮﱡ وﻫـــــــــﻮ ﻓـــــــــﻮﺿــــــــــــــــــــــﻰ ﻋـــــــــﺮﻳﻀــــــــــــــــــــــﺔ ُوﻣــــــــﺮﻛــــــــﺐ ﻋــــــــﺠــــــــﺰ ﻣــــــــﺎ اﻣــــــــﺘــــــــﻄــــــــﺎﻩ ﻗــــــــﺪﻳــــــــﺮ43 وارى أن اﻟﻮاﺋﻠﻲ ﻗﺪ oﻟﻎ ﰲ ﻣﻬﺎﲨﺔ اﻟﺸــﻌﺮ اﳊﺮ، ﻓﺎﻟﺸـــﺎﻋﺮ وان Jﺻـــﺮ اﻟﺸــﻌﺮ اﻟﻌﺮﰊ ﰲ أﺻـــﻮﻟﻪ اﳌﻮﺳـــﻴﻘﻴﺔ، ﻓﺎن ﻣﻦ اﻟﺸﻌﺮ اﳊﺮ ﻣﺎ ﺣﺴﻦ ﻟﻔﻈﻪ وﺟﺎد ﻣﻌﻨﺎﻩ وﺳﺎﻳﺮ ﺗﻄﻮر اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳊﺪﻳﺚ ﰲ ﺣﺪاﺛﺘﻪ اﻟﺸﻌﺮﻳﺔ، وأدى اﻟﺮﺳﺎﻟﺔ ذا7ﺎ ﰲ ،اﳊﻴﺎة اﻹﻧﺴــﺎﻧﻴﺔ ﻣﺎ أدى اﻟﺸــﻌﺮ اﻟﻌﺮﰊ اﳌﻌﺎﺻــﺮ، ﻧﺬﻛﺮ ﻣﻨﻬﻢ ﻋﻠﻰ ﺳــﺒﻴﻞ اﳌﺜﺎل: اﻟﺴــﻴﺎب، وJزك اﳌﻼﺋﻜﺔ، وﺑﻠﻨﺪ اﳊﻴﺪري .وﺟﻮاد ﻛﺎﻇﻢ، وﻋﺒﺪ اﻟﻮﻫﺎب اﻟﺒﻴﺎﰐ وﰲ ﻗﺼـــﻴﺪة أﺧﺮى أرﺳـــﻠﻬﺎ اﻟﺸـــﺎﻋﺮ إﱃ ﲰﺎﺣﺔ اﻟﺴـــﻴﺪ ﳏﻤﺪ ﺣﺴـــﲔ ﻓﻀـــﻞ ﷲ ﲢﻴﺔ ﻟﺪﻳﻮاﻧﻪ " ﻗﺼـــﺎﺋﺪ ﻟﻺﺳـــﻼم "واﳊﻴﺎة " ﺑﻌﻨﻮان " أﻧﺖ ﻛﻮن ﳋﺼﺘﻪ ﺳﻄﻮر أﻧﻜﺮ ﻓﻴﻬﺎ اﻟﺸﻌﺮ اﳊﺮ، ﻓﺎﻟﻠﻐﺔ واﻟﺼﻮرة واﳌﻮﺳﻴﻘﺎ ﲢﺪد أﺛﺮ اﻹﺑﺪاع اﻟﻔﲏ ﰲ اﻟﻘﺼﻴﺪة وﺗﻀﻔﻲ ﻋﻠﻴﻬﺎ ﻣﺮوﻧﺔ وﺣﻴﻮﻳﺔ، إذ ﻳﻌﻮذ ا ﻟﺸـﻌﺮ ﻣﻦ ﻛﻞ ﺷـﺎﻋﺮ ﻳﻨﻄﻖ ﺑﻠﻐﺔ ﻏﺎﻣﻀـﺔ ﻻ ﻳﻔﻬﻤﻬﺎ اﳌﺘﻠﻘﻲ، ﻓﻬﻮ ﻋﺐء ﻋﻠﻰ اﻟﺴـﻤﻊ وﺻـﻮرﻩ اﻟﻔﻨﻴﺔ ﻏﲑ واﺿـﺤﺔ وﻣﻮﺳـﻴﻘﺎﻩ :ﰲ ﺿﻴﺎع، ﻓﻴﻘﻮل وإﱐ أﻋـــــــــﻴـــــــــﺬ اﻟﺸــــــــــــــــــــــﻌـــــــــﺮ ﻣـــــــــﻦ ﻛـــــــــﻞ ﺷــــــــــــــــــــــﺎﻋـــــــــﺮ ﺗـــــــــــﺪور ﻓـــــــــــﻼ ﺗـــــــــــﻠـــــــــــﻘـــــــــــﺎﻩ ﻛـــــــــــﻴـــــــــــﻒ ﺗـــــــــــﺪور ٌ ﻋــــــــﻠـــــــﻰ اﻟــــــــﻔــــــــﻬـــــــﻢ ﻋــــــــﺐء ﻓــــــــﻬـــــــﻮ ﻟــــــــﻐــــــــﺰٌ ﻣــــــــﻌــــــــﺘـــــــﻢ وﰲ اﻟﺴــــــــــــــــــﻤــــﻊ ﻋـــــــﺐء ﻓــــﻬــــﻮ ﻓــــﻴـــــــﻪ ﺻــــــــــــــــــﺨــــﻮر ﻳﺴـــــــــــــــــــــــــــــﻴـــــــــــــــﺢ ﻓـــــــــــــــﻼ ﺗـــــــــــــــﺪري أﻳـــــــــــــــﻦ ﻗـــــــــــــــﺮا رﻩ ﺗـــــــــــــﻐــــــــــــــﺮق ﻓــــــــــــــﻴـــــــــــــﻪ ﺻــــــــــــــــــــــــــــﻮرة وﺗـــــــــــــﻔــــــــــــــﻮر ﻳـــــــــﻘـــــــــﻮﻟـــــــــﻮن ﺣـــــــــﺮﱡ وﻫـــــــــﻮ ﻓـــــــــﻮﺿــــــــــــــــــــــﻰ ﻋـــــــــﺮﻳﻀــــــــــــــــــــــﺔ ُوﻣــــــــﺮﻛــــــــﺐ ﻋــــــــﺠــــــــﺰ ﻣــــــــﺎ اﻣــــــــﺘــــــــﻄــــــــﺎﻩ ﻗــــــــﺪﻳــــــــﺮ43 وارى أن اﻟﻮاﺋﻠﻲ ﻗﺪ oﻟﻎ ﰲ ﻣﻬﺎﲨﺔ اﻟﺸــﻌﺮ اﳊﺮ، ﻓﺎﻟﺸـــﺎﻋﺮ وان Jﺻـــﺮ اﻟﺸــﻌﺮ اﻟﻌﺮﰊ ﰲ أﺻـــﻮﻟﻪ اﳌﻮﺳـــﻴﻘﻴﺔ، ﻓﺎن ﻣﻦ اﻟﺸﻌﺮ اﳊﺮ ﻣﺎ ﺣﺴﻦ ﻟﻔﻈﻪ وﺟﺎد ﻣﻌﻨﺎﻩ وﺳﺎﻳﺮ ﺗﻄﻮر اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳊﺪﻳﺚ ﰲ ﺣﺪاﺛﺘﻪ اﻟﺸﻌﺮﻳﺔ، وأدى اﻟﺮﺳﺎﻟﺔ ذا7ﺎ ﰲ ،اﳊﻴﺎة اﻹﻧﺴــﺎﻧﻴﺔ ﻣﺎ أدى اﻟﺸــﻌﺮ اﻟﻌﺮﰊ اﳌﻌﺎﺻــﺮ، ﻧﺬﻛﺮ ﻣﻨﻬﻢ ﻋﻠﻰ ﺳــﺒﻴﻞ اﳌﺜﺎل: اﻟﺴــﻴﺎب، وJزك اﳌﻼﺋﻜﺔ، وﺑﻠﻨﺪ اﳊﻴﺪري .وﺟﻮاد ﻛﺎﻇﻢ، وﻋﺒﺪ اﻟﻮﻫﺎب اﻟﺒﻴﺎﰐ 69 5 . Key words:Truth.Purity. Poetic heritage. Humanity and Art. ، ﺣﺮﻛﺔ اﻟﺸﻌﺮ ﰲ اﻟﻨﺠﻒ اﻷﺷﺮف وأﻃﻮارﻩ ﺧﻼل اﻟﻘﺮن اﻟﺮاﺑﻊ ﻋﺸﺮ اﳍﺠﺮي ، د. ﻋﺒﺪ اﻟﺼﺎﺣﺐ اﳌﻮﺳﻮي ، دار اﻟﺰﻫﺮاء، ﺑﲑوت، اﻟﻄﺒﻌﺔ اﻻوﱃ 1408 ﻫـ- 1988 : 341 . Harakat Alshier fi Alnajaf al'ashraf wa'atwaruh khilal Al Quran alraby eashar alhijri , du. eabd alsaahib almusawi , dar alzahra', bayrut, altabeat alawlaa , 1408 hi - 1988 : 341 . 6 . : ﻗﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/7 - 8 Qadmah diwan alwayili : 1/7-8 7 . ﻷﺳﻠﻮب واﻷﺳﻠﻮﺑﻴﺔ ﺑﲔ اﻟﻌﻠﻤﺎﻧﻴﺔ واﻷدب اﳌﻠﺘﺰم ، oﻹﺳﻼم ، د.ﻋﺪJن ﻋﻠﻲ رﺿﺎ اﻟﻨﺤﻮي، دار اﻟﻨﺤﻮي، اﻟﺴﻌﻮدﻳﺔ، اﻟﻄﺒﻌﺔ اﻷوﱃ1419 ﻫـ- 1999 : م281 . Li Aslub wal'Aslubiat bayn alealmania wal'adab almultazim bi Al'Islam, da.adnan ealin Raza alnahwi, dar alnahwi, Al Saudia, altabi tu al'uwlaa , 1419h - 1999m : 281 . 8 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1 / 8 : (. وﻳﻨﻈﺮ : اﻟﻨﻘﺪ اﻷدﰊ أﺻﻮﻟﻪ وﻣﻨﺎﻫﺠﻪ ، ﺳﻴﺪ ﻗﻄﺐ، د دار اﻟﺸﺮوق ، ﺑﲑوت ، )د. ط ( ، ) د.ت8 Muqadimah diwan alwayili : 1/ 8 . wayanzur : alnaqd al'adabi 'usulah wamanahijah , Sayed Qutba, d Da Alshuruq , Bayrut , (d. t ) , ( da.t) : 8 9 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 Muqadimah diwan alwayili : 1/8 10 . : .ن1 / 8 n :1/ 8 11 . ، اﻟﺜﺎﺑﺖ واﳌﺘﺤﻮل ﲝﺚ ﰲ اﻹﺑﺪاع واﻹﺗﺒﺎع ﻋﻨﺪ اﻟﻌﺮب ، أدوﻧﻴﺲ ، دار اﻟﺸﺎﻗﻲ ، ﺑﲑوت اﻟﻄﺒﻌﺔ اﻟﺜﺎﻣﻨﺔ2002 : 1/ 13 Al Sabit walmutahawil Bahas fi al'ibdae wal'itbae eind Alarab , 'Adunis , Dar Alshaaqi , Bayrut altabeat Al Samina , 2002 : 1/13 12 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 Muqadimah diwan alwayili :1/8 13 . ا ﻟﺸﻌﺮ ﻛﻴﻒ ﻧﻔﻬﻤﻪ وﻧﺘﺬوﻗﻪ, أﻟﻴﺰاﺑﻴﺚ درو, ﺗﺮﲨﺔ : ﳏﻤﺪ إﺑﺮاﻫﻴﻢ اﻟﺸﻮش, ﻣﻄﺒﻌﺔ ﻋﻴﺘﺎﱐ اﳉﺪﻳﺪة , ﺑﲑوت , ( , ) د. ط1961 : 25 . Alshier kayf nafhamuh wanatadhawaquha, 'alizabis dru, tarjamah : Muhamad 'Ibrahim Alshuwsha, Matbaa eitani aljadidat , Bayrut , ( da. t ) , 1961: 25 14 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ1/8 Muqadimah diwan al wayili : 1/8 15 . ﺣﻮل اﻷدب اﻹﺳﻼﻣﻲ اﳌﻠﺘﺰم , ﳏﻤﺪ اﻟﺼﺪر , ﳎﻠﺔ اﻷﺿﻮاء اﻹﺳﻼﻣﻴﺔ , ع1, س5 , اﻟﻨﺠﻒ اﻷﺷﺮف1384 ﻫـ- 1964 : م31 - 32 . haolu al'adab al'islami almultazim , Muhamad Alsadr , Majalat al'azwa' al'islamiat , ea1, si5 alnajaf al'ashraf , 1384h - 1964m : 31-32. Key words:Truth.Purity. Poetic heritage. Humanity and Art. 29 . :إﻳﻘﺎع اﻟﻔﻜﺮ92 29 . :إﻳﻘﺎع اﻟﻔﻜﺮ92 ' iqae alfikr:92 ' iqae alfikr:92 30 . : م.ن92 . mi.n :92 . 31 . ، اﻷدﻳﺐ واﻻﻟﺘﺰام ، د. ﻧﻮري ﲪﻮدي اﻟﻘﻴﺴﻲ ، دار اﳊﺮﻳﺔ ، ﺑﻐﺪاد1400 ﻫـ- 1979 :م25 ﻲ م م Al'adib walialtizam , du. nuri hamuwdi alqaysiu , Dar Alhuriyat , Baghdad , 1400h -1979m:25 32 . : إﻳﻘﺎع اﻟﻔﻜﺮ316 . Al'adib walialtizam , du. nuri hamuwdi alqaysiu , Dar Alhuriyat , Baghdad , 1400h -1979m:25 32 . : إﻳﻘﺎع اﻟﻔﻜﺮ316 . Al'adib walialtizam , du. nuri hamuwdi alqaysiu , Dar Alhuriyat , Baghdad , 1400h -1979m:25 32 . : إﻳﻘﺎع اﻟﻔﻜﺮ316 . 32 . : إﻳﻘﺎع اﻟﻔﻜﺮ316 . iqae alfikr : 316 . 33 . : ﻗﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ2/8 . 33 . : ﻗﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ2/8 . 34 . ، (ﳏﺎﺿﺮات ﰲ ﻋﻨﺼﺮ اﻟﺼﺪق ﰲ اﻷدب , د. ﳏﻤﺪ اﻟﻨﻮﻳﻬﻲ , ) د. ﻣﻂ( , ) د.م( , )د.ط1959 : 18 . Muhazarat fi Ansiri alsidq fi al'adab , du. Muhamad Alnuwayhi , ( da. mut) , ( da.ma) , (du.ta) , 1959: 18. Muhazarat fi Ansiri alsidq fi al'adab , du. Muhamad Alnuwayhi , ( da. mut) , ( da.ma) , (du.ta) , 1959: 18. Muhazarat fi Ansiri alsidq fi al'adab , du. Muhamad Alnuwayhi , ( da. mut) , ( da.ma) , (du.ta) , 1959: 18. 35 . : ﻣﻘﺪﻣﺔ دﻳﻮان اﻟﻮاﺋﻠﻲ2 / 8 . Muqadimah diwan alwayili : 2/ 8. Muqadimah diwan alwayili : 2/ 8. 36 . ,ﰲ اﻷدب اﻹﺳﻼﻣﻲ اﳌﻌﺎﺻﺮ , ﳏﻤﺪ ﺣﺴﻦ ﺑﺮﻳﻐﺶ , ﻣﻜﺘﺒﺔ اﳌﻨﺎر, اﻻردن , اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1415 ﻫـ- 1985 : 37 - 40 . 36 . ,ﰲ اﻷدب اﻹﺳﻼﻣﻲ اﳌﻌﺎﺻﺮ , ﳏﻤﺪ ﺣﺴﻦ ﺑﺮﻳﻐﺶ , ﻣﻜﺘﺒﺔ اﳌﻨﺎر, اﻻردن , اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1415 ﻫـ- 1985 : 37 - 40 . ,ﻴ ﺒ , ر ر, ﺒ ﻦﺑﺮﺶ , ﺮ , ﻲ بﻹ ﰲ fi al'adab al'islami almueasir , muhamad hasan birighish , maktabata alminar, Al Ordan , altibo alsaania, 1415h - 1985: 37-40. fi al'adab al'islami almueasir , muhamad hasan birighish , maktabata alminar, Al Ordan , altibo alsaania, 1415h - 1985: 37-40. 37 . ،رﻣﺎد اﻟﺸﻌﺮ، د.ﻋﺒﺪ اﻟﻜﺮﱘ راﺿﻲ ﺟﻌﻔﺮ، دار اﻟﺸﺆون اﻟﺜﻘﺎﻓﻴﺔ اﻟﻌﺎﻣﺔ ، ﺑﻐﺪاد، اﻟﻄﺒﻌﺔ اﻷوﱃ1998 : 65 . 37 . ،رﻣﺎد اﻟﺸﻌﺮ، د.ﻋﺒﺪ اﻟﻜﺮﱘ راﺿﻲ ﺟﻌﻔﺮ، دار اﻟﺸﺆون اﻟﺜﻘﺎﻓﻴﺔ اﻟﻌﺎﻣﺔ ، ﺑﻐﺪاد، اﻟﻄﺒﻌﺔ اﻷوﱃ1998 : 65 . ramad alshaer, da. Key words:Truth.Purity. Poetic heritage. Humanity and Art. ﺣﻮل اﻷدب اﻹﺳﻼﻣﻲ اﳌﻠﺘﺰم , ﳏﻤﺪ اﻟﺼﺪر , ﳎﻠﺔ اﻷﺿﻮاء اﻹﺳﻼﻣﻴﺔ , ع1, س5 , اﻟﻨﺠﻒ اﻷﺷﺮف1384 ﻫـ- 1964 : م31 - 32 u al'adab al'islami almultazim , Muhamad Alsadr , Majalat al'azwa' al'islamiat , ea1, si5 alnajaf 15 . ﺣﻮل اﻷدب اﻹﺳﻼﻣﻲ اﳌﻠﺘﺰم , ﳏﻤﺪ اﻟﺼﺪر , ﳎﻠﺔ اﻷﺿﻮاء اﻹﺳﻼﻣﻴﺔ , ع1, س5 , اﻟﻨﺠﻒ اﻷﺷﺮف1384 ﻫـ- 1964 : م31 - 32 . haolu al'adab al'islami almultazim , Muhamad Alsadr , Majalat al'azwa' al'islamiat , ea1, si5 alnajaf al'ashraf , 1384h - 1964m : 31-32. haolu al'adab al'islami almultazim , Muhamad Alsadr , Majalat al'azwa' al'islamiat , ea1, si5 alnajaf al'ashraf , 1384h - 1964m : 31-32. 16 .ﲨﻬﻮرﻳﺔ اﻓﻼ ، ﻃﻮن ، ﻧﻘﻠﻬﺎ ﻟﻠﻌﺮﺑﻴﺔ : ﺣﻨﺎ ﺧﺒﺎز ، دار اﻟﻘﻠﻢ ، ﺑﲑوت ، اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1980 : 94 16 .ﲨﻬﻮرﻳﺔ اﻓﻼ ، ﻃﻮن ، ﻧﻘﻠﻬﺎ ﻟﻠﻌﺮﺑﻴﺔ : ﺣﻨﺎ ﺧﺒﺎز ، دار اﻟﻘﻠﻢ ، ﺑﲑوت ، اﻟﻄﺒﻌﺔ اﻟﺜﺎﻧﻴﺔ1980 : 94 Jamhuriah Aflatun , Naqalaha lilearabia : hana khabaaz , Dar alqalam , Bayrut , Al Tibia Sania , 1980: 94 mi. n : 126 Muqadima diwan alwayili : 1/7 mi. n : 2/7 mi. n : 2/7 70 Muqadima diwan alwayili : 2/8 26 . ( اﻟﻨﻘﺪ اﻷدﰊ اﳊﺪﻳﺚ ﰲ اﻟﻌﺮاق , أﲪﺪ ﻣﻄﻠﻮب , ﻣﻄﺒﻌﺔ اﳉﺒﻼوي , ) د. م( , )د .ط1388 ﻫـ- 1968 : م367 - 368 Alnaqd al'adabi alhadisfi Al Iraq , 'Ahmad Matlub , Matbaea al jabalawi , ( du. ma) , (dd .t ) 1388h - 1968m : 367-368 27 . :إﻳﻘﺎع اﻟﻔﻜﺮ91 . ' Iqae al fikr:91. 28 . , ( ﺗﻄﻮر اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳊﺪﻳﺚ ﰲ اﻟﻌﺮاق , ﻋﻠﻲ ﻋﺒﺎس ﻋﻠﻮان , ﻣﻨﺸﻮرات وزارة اﻹﻋﻼم، اﻟﻌﺮاق , ) د.ط1975 : 11 . وﻳﻨﻈﺮ : اﻻﻟﺘﺰام واﻟﺜﻮرة ﰲ اﻷدب اﻟﻌﺮﰊ اﳊﺪﻳﺚ , أﲪﺪ ﳏﻤﺪ ﻋﻄﻴﺔ , دار , اﻟﻌﻮدة , ﺑﲑوت , اﻟﻄﺒﻌﺔ اﻷوﱃ1974 : 21 . 28 . , ( ﺗﻄﻮر اﻟﺸﻌﺮ اﻟﻌﺮﰊ اﳊﺪﻳﺚ ﰲ اﻟﻌﺮاق , ﻋﻠﻲ ﻋﺒﺎس ﻋﻠﻮان , ﻣﻨﺸﻮرات وزارة اﻹﻋﻼم، اﻟﻌﺮاق , ) د.ط1975 : 11 . وﻳﻨﻈﺮ : اﻻﻟﺘﺰام واﻟﺜﻮر ﰲ اﻷدب اﻟﻌﺮﰊ اﳊﺪﻳﺚ , أﲪﺪ ﳏﻤﺪ ﻋﻄﻴﺔ , دار , اﻟﻌﻮدة , ﺑﲑوت , اﻟﻄﺒﻌﺔ اﻷوﱃ1974 : 21 . Tatawur Alshier Alarabi alhades fi Al Iraq, alaa Abaas Eulwan , Manshurat wizarat al'iielami, aleiraq , ( du.t ) , 1975 : 11 . wayanzur : alailtizam walthawra fi al'adab alearabi alhadith , 'ahmad muhamad eatiat , dar aleawda , Bayrut , altabea al'uwlaa , 1974 : 21. Key words:Truth.Purity. Poetic heritage. Humanity and Art. Abdul Karim Razi jaefar, dar alshuwuwn alsaqafia tu aleama , Baghdad, altabeat al'uwlaa ، 1998 : 65. amad alshaer, da. Abdul Karim Razi jaefar, dar alshuwuwn alsaqafia tu aleama , Baghdad, altabeat al'uwlaa ، 1998 : 65. ramad alshaer, da. Abdul Karim Razi jaefar, dar alshuwuwn alsaqafia tu aleama , Baghdad, altabeat al'uwlaa ، 1998 : 65. 71 38 . : ﻳﻘﺎع اﻟﻔﻜﺮ247 - 248 . Yuqae alfikr : 247 - 248. 39 . ، أﻣﲑ اﳌﻨﱪ اﳊﺴﲏ ، ﳏﻤﺪ ﺳﻌﻴﺪ اﻟﻄﺮﳛﻲ ، )د.ﻣﻂ( ، )د.م( ، اﻟﻄﺒﻌﺔ اﻻوﱃ1424 ﻫـ- 003 2 : م41 . ' Amir Alminbar Alhusni , Muhamad saeid alturayhii , (da.mut) , (du.m) , altabeat alawlaa , 1424 hi - 2003 m :41. 40 . . ﱂ ﻳﺬﻛﺮ اﻟﺸﺎﻋﺮ ºرﻳﺦ ﻛﺘﺎﺑﺔ ﻫﺬﻩ اﻟﻘﺼﻴﺪة 3 . ، أﻣﲑ اﳌﻨﱪ اﳊﺴﲏ ، ﳏﻤﺪ ﺳﻌﻴﺪ اﻟﻄﺮﳛﻲ ، )د.ﻣﻂ( ، )د.م( ، اﻟﻄﺒﻌﺔ اﻻوﱃ1424 ﻫـ- 003 2 : م41 . وﱃ ( ) م( ﺮﻲ ) ﲏ ﱪ ﲑ م ' Amir Alminbar Alhusni , Muhamad saeid alturayhii , (da.mut) , (du.m) , altabeat alawlaa , 1424 hi - 2003 m :41. ' Amir Alminbar Alhusni , Muhamad saeid alturayhii , (da.mut) , (du.m) , altabeat alawlaa , 1424 hi 2003 m 41 hi - 2003 m :41. hi - 2003 m :41. 40 . . ﱂ ﻳﺬﻛﺮ اﻟﺸﺎﻋﺮ ºرﻳﺦ ﻛﺘﺎﺑﺔ ﻫﺬﻩ اﻟﻘﺼﻴﺪة 40 . . ﱂ ﻳﺬﻛﺮ اﻟﺸﺎﻋﺮ ºرﻳﺦ ﻛﺘﺎﺑﺔ ﻫﺬﻩ اﻟﻘﺼﻴﺪة Lam Yazkur alshaaeir tarikh kitabat hazihi alqasida 41 . :ﻳﻘﺎع اﻟﻔﻜﺮ315 . 41 . :ﻳﻘﺎع اﻟﻔﻜﺮ315 . yuqae alfikr: 315. yuqae alfikr: 315. 42 . : ﺣﺮﻛﺔ اﻟﺸﻌﺮ ﰲ اﻟﻨﺠﻒ اﻷﺷﺮف واﻃﻮارﻩ ﺧﻼل اﻟﻘﺮن اﻟﺮاﺑﻊ ﻋﺸﺮ اﳍﺠﺮي341 . harakat alshier fi Al Najaf al'ashraf watiwaruh khilal alqarn alraabie eashar alhijri : 341. harakat alshier fi Al Najaf al'ashraf watiwaruh khilal alqarn alraabie eashar alhijri : 341. 43 . ﻗﺼﻴﺪة " أﻧﺖ ﻛﻮن ﳋﺼﺘﻪ ﺳﻄﻮر" , د. أﲪﺪ اﻟﻮاﺋﻠﻲ , اﻟﺒﻴﻨﺎت , ع19 , اﳉﻤﻌﺔ 18 ﲨﺎدى اﻷول1424 ﻫـ- 18 ﲤﻮز2003 : م9 qasida " 'ant kawn likhisatih suturu" , du. 'ahmad alwayili , albayinat , ea19 , aljumueat 18jmadaa al'awal 1424hi - 18 tamuwz 2003m : 9 al'awal 1424hi - 18 tamuwz 2003m : 9
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Growth Patterns of School Children of South Guwahati, Kamrup District of Assam
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Key Words: School Children, South Guwahati, Kamrup District, Assam. Key Words: School Children, South Guwahati, Kamrup District, Assam. Growth Patterns of School Children of South Guwahati, Kamrup District of Assam Dr. Tiluttoma Baruah1, Associate Professor, Dept. of Anthropology, Cotton University, Assam email: tiluttoma.baruah@rediffmail.com 5 Dr. Tiluttoma Baruah1, Associate Professor, Dept. of Anthropology, Cotton University, Assa email: tiluttoma.baruah@rediffmail.com 1 Paper presented in the IUAES 2014 Inter Congress : The future with /of anthropologies, in chibacity, greater Toyo from 15/5/2014 to 18/5/2014, organized by the Japanese Society of Cultural Anthropology (JASCA) and International Union of Anthropological and ethno logical sciences (IUAES). Asian Mirror - Volume VI, Issue IV, 30 December-2019 International Research Journal Date of Acceptance : 17 August 2019 © Dr. Tiluttoma Baruah Asian Mirror - Volume VI, Issue IV, 30 December-2019 International Research Journal Date of Acceptance : 17 August 2019 © Dr. Tiluttoma Baruah ISSN : 2348-6112 ISSN : 2348-6112 DOI - 10.21276/am.2019.6.4.AN5 DOI - 10.21276/am.2019.6.4.AN5 Abstract The result of a cross-sectional study of growth in height, horizontal circumference of head girth of bicep, girth of chest, girth of calf and weight of children of both sexes (n=1604 under 10 years of age of Guwahati city are presented. The children are divided into Assamese, Bengali and Hindi speaking groups. The study reveals that the Assamese children are the tallest and the heaviest and the Bengali children the shortest and the lightest of all in almost all the ages. In other characters also the Assamese children show the highest and the Bengali children the lowest mean values in most of the ages. Key Words: School Children, South Guwahati, Kamrup District, Assam. The following measurements were taken on the children: stature horizontal circumference of head, girth of bicep, chest girth, girth of calf and weight. Introduction In the background of the above situation, an anthropometric survey of the children of Guwahati city under 10 years of age was carried out with a view to study the growth pattern and to assess their nutritional status. Introduction Growth is one of the best indices of child health and a continuous monitoring of the growth and development of children in under and over nourished population, is, or should be a major concern of all public health authorities and government (Tanner, 1967). Anthropometry (The use of body measurements to assess nutritional status is a practical and immediately applicable technique for assessing children’s development patterns during the first year of life. An evaluation of their growth also provides useful weights into the nutrition and health situation of entire population group (Gorstein et. al. 1986.) The Indian Council of Medical Research conducted a national survey in 1972 on different aspects of growth and physical development of Indian children. But the children of North-East India were not included in that study. Consequently, in any search for the data on growth of the children of North-East India, one has to depend upon a few localized studies. These local level studies are also very limited in Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48 019.6.4.AN5 g ISSN : 2348-6112 DOI - 10.21276/am.2019.6.4.AN5 DOI - 10.21276/am.2019.6.4.AN5 this part of India more particularly in the urban areas. The studies of Das & Das (1969-71) and Das and Choudhury (1982) on the Assamese children of Guwahati city and that of Das (1987) on the Assamese and Rajasthani children of Dibrugarh are the only available growth studies conducted on urban children in this region. Another studies like Choudhury & Begum (2001) Baruah (2006) on the growth studies of Assamese & other group are countable. In the background of the above situation, an anthropometric survey of the children of Guwahati city under 10 years of age was carried out with a view to study the growth pattern and to assess their nutritional status. this part of India more particularly in the urban areas. The studies of Das & Das (1969-71) and Das and Choudhury (1982) on the Assamese children of Guwahati city and that of Das (1987) on the Assamese and Rajasthani children of Dibrugarh are the only available growth studies conducted on urban children in this region. Another studies like Choudhury & Begum (2001) Baruah (2006) on the growth studies of Assamese & other group are countable. www.asianmirror.in 49 I Page Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48 019.6.4.AN5 Material and Method The present cross-sectional study is based on the data collected on 1604 school going children of Guwahati city. The data were collected in the month of July and August, 2013. The girls numbering 759 and boys 845 were from the schools of various localities (Jalukbari, Maligaon, Pandu, Bharalumukh, of South Guwahati city. The children from 4 to 10 years of age were taken into consideration. They were later divided into Assamese, Bengali and Hindi speaking group. The last group includes children belonging to different communities from Rajasthan, Panjab, Bihar and Uttar Pradesh. Caution has been maintained while recording the age of each student. Age of each and every child has been recorded by consulting the school records and verifying the birth certificates. The numbers of children of each of the groups against their ages are given below: Assamese Bengali Hindi Speakers Age in years Nos of Boys Nos. of Girls Nos. of Boys Nos. of girls Nos. of boys Nos. of girls 4 34 20 30 22 37 18 5 41 24 32 24 42 31 6 44 49 32 41 36 37 7 48 34 36 43 43 48 8 54 29 48 31 39 41 9 41 33 36 40 33 39 10 31 35 61 46 49 54 www.asianmirror.in ISSN : 2348-6112 Asian Mirror - Volume VI, Issue IV, 30 December-2019 International Research Journal DOI - 10.21276/am.2019.6.4.AN5 DOI - 10.21276/am.2019.6.4.AN5 Discussion Tiluttoma Baruah ISSN : 2348-6112 DOI - 10.21276/am.2019.6.4.AN5 observations perhaps we can make an attempt to examine those aspects of socio-cultural life which have direct or indirect relations with the nutritional status of the people. observations perhaps we can make an attempt to examine those aspects of socio-cultural life which have direct or indirect relations with the nutritional status of the people. Under the same socio-economic condition, two cultural groups may utilize their income in a completely different way. The budgetary distribution pattern of a group of people is determined mostly by their cultural needs. It is observed that the migrant people try to save more for their future. The saving might be a necessity for their new permanent establishment. Moreover, dowry system, prevalent among different communities of India including the Bengalis and the Hindi speaking peoples of the north, also demands sizeable is saving. The dowry system is not prevalent among the Assamese people and the parents need not save at least for that purpose saving is to be done at the cost of the standard of living. It demands the sacrifice of some of the material needs of the people. These may include some essential food items. In that case most of the children at their initial formation of growth are likely to suffer from malnutrition. These might be some of the cause for the shorter stature and lighter weight of the Bengali and Hindi speaking children than the Assamese children. The Bengali children are the shortest and the lightest of all the children covered under present study. The Bengali boys covered in another study (Dutta Banik et.al., 1973) are found to be distinctly shorter and lighter than the boys from well-off families residing in Delhi. Raghaban et. al. (1971) also has show that the Bengali boys are shorter and lighter than the Indian boys of well-off families. An explanation for the shorter stature and lighter weight of the Bengali boys could be sought in the realm of their dietary habit particularly the method of preparing food, spicy, fried and overcooked food, characteristic of Bengali cuisine, might be responsible for low nutritive value of their food. A detailed study of the dietary habit of all the communities might reveal, in addition to food processing, differences in many more dietary elements which have direct bearing upon the variable growth pattern of the children. Discussion A close look into the above analysis reveals the fact that the Assamese children are the tallest and the heaviest of all the children of Guwahati city almost at all ages. The differences between the Assamese and the Bengali children in respect of height and weight are more marked than the differences between the Assamese and the Hindi speaking children. In other characters also the Assamese boys show higher mean values than the boys of other groups almost at all ages. The Bengali boys, on the other hand, show the lower mean values of all the boys almost at all ages. The differences in growth between the different groups are not so distinct in case of girls. Though growth is determined by the pre-established constitutional hereditary factors, it is influenced by the environment factors, like climate, diet, living conditions, etc. (Tanner, 1978; Frisancho et. al., 1973) Dreizen et. al. (1967) and Malcolm (1970) suggested that nutritional status is clearly associated with growth differences among genetically related children. Johnstone et.al. (1976) opined that variation in growth in height and weight during the early ages among the children of diverse ethnic groups is almost completely regulated by the environment. Against these perspectives we can assume that the growth differences between children of the different groups of the present study are due mainly to their environmental differences. But the entire present samples are drawn from the Guwahati city and as such they are living under the same geographical and climatic condition. Apparently the socio-economic conditions of the different groups also do not show marked differences. Therefor, it is difficult to explain the causes of the differences in growth between the different groups. Different population groups living under the same geographical environment may posses’ apparently similar economic conditions, but they may vary in respect of their dietary habit and also in their life style which is determined by one’s own culture. A thorough study of the different aspects of the socio-cultural life of all the groups of people under study is expected to explain the causes of their variation in growth. Though we do not have, at present, sufficient data on different aspects of the socio-cultural life of the people, on the basis of our empirical www.asianmirror.in Page Asian Mirror - Volume VI, Issue IV, 30 December-2019 International Research Journal Date of Acceptance : 17 August 2019 © Dr. www.asianmirror.in Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48- 60. doi - 10.21276/am.2019.6.4.AN5 51 I Page Discussion Such a study is necessary to arrive at definite conclusion. ISSN : 2348-6112 DOI - 10.21276/am.2019.6.4.AN5 DOI - 10.21276/am.2019.6.4.AN5 From the analysis of our data it is also observed that the differences in growth between the girls of different groups of people are not that distinct as are between the boys. It might be because of the fact that girls apparently are less easily thrown off their growth curves by adverse circumstances than the boys (Tanner, 1978). In the Oxford Child Health Survey also it was found that poor home conditions produced a greater effect on boys than girls (Acheson and Hewitt, 1954). It is also revealed that in all the groups, the boys are found to be taller and heavier than the girls. In other characters also the boys show the higher mean values than the girls, However, in some characters particularly in stature, the girls’ are seen to supersede the boys at the age of 9 or 10 years. As the adolescent spurt begins, girls come to be temporarily larger in practically all dimensions. This situation last till boys’ spurt begins to take effect and girls’ to die away (Tanner, 1978). Probably adolescent spurt of the girls of the present study begins at the age of 9 or 10 years because of which the girls are seen to supersede the boys. Acknowledgement The author is thankful to the different school authorities for their kindly permitting to work in their schools. Thank are also due to all the students for their kind co-operation in taking their measurements. Bibliography Acheson, R.M. and D. Hewitt 1954 Oxford Child Health Survey, Stature and Skeletal maturation in the Pre-school child brit. Jr. Preve. Soc. Med. 8 : 59-65 Das, A. K. 1978, A study of growth of height, weight and chest circumference of Assamese and Rajasthani boys. Cultural and biological adaptability of man with special reference to North-East India. Bull Deptt. Anth. Dib. Univ. VI : 176-180. Das. B. M. and P.B. Das 1969-71. A study of some aspects of growth of the Assamese boys. Jr. Gau. Univ. (Sc.) XX-XXII: 51-65. Das. B. M. and P.B. Das 1969-71. A study of some aspects of growth of the Assamese boys. Jr. Gau. Univ. (Sc.) XX-XXII: 51-65. www.asianmirror.in Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48- 60. doi - 10.21276/am.2019.6.4.AN5 52 I Page www.asianmirror.in Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48- 60. doi - 10.21276/am.2019.6.4.AN5 53 I Page www.asianmirror.in ISSN : 2348-6112 DOI - 10.21276/am.2019.6.4.AN5 DOI - 10.21276/am.2019.6.4.AN5 Das, P.B. and B. Choudhury, 1982, A mixed longitudinal study of growth in height and weight of Assamese Children from 1-7 years. Bull. Anth. Surv. India, XXXI (3&4) : 37-42 Datta Banik, N.D., S. Nayar, R. Krishna, S. Bakshi and A.D. Taskar 1978, Growth pattern of Indian school children in relation to nutrition and adolescence. Ind. Jour. Pediat., 40: 173-179. Dreizen, S. C. and N. Spirakis 1967. A comparison of skeletal growth and malnutrition in undernourished and well nourished girls before and after menarche. Jr. Pediat. 70: 256-263 Frisancho, A.R. J. Sanchez, D. Pallardel and L. Yanez 1973. Adaptive significance of small body size under poor socio-economic conditions in South Peru. Amer Jr. Phy. Anth. 39 : 255-262 Gorstein, J. and A. James 1986. The use of anthropometry to assess nutritional status. W.H.O. Bull, 64(6):929-941. Indian Council of Medical Research, 1972, Growth and physical development of Indian Infants and children. Technical Report Series No. 18 Indian Council of Medical Research, 1972, Growth and physical development of Indian Infants and children. Technical Report Series No. 18 Johnston, F.E., H. Weiner, D. Thissen and R. Mac Vean. 1976. Heredity and environmental determinants of growth in height in a longitudinal sample of children and youth of Guatemalan and European ancestry. Amer Jr. Phy. Anth., 44 : 469-475. Malcolm L.A. 1970 Growth and development of New Guinea : A study of Bundi people of Madang District. Institute of Human Biology. Madang Papua- New Guinea. Tanner, J. M. 1967 Growth and physique in different populations of mankind. In “The Biology of Human Adaptability” ed. P.T. Baker and J.S. Weiner, Glarendon Press Oxford. Tanner, J. M. 1967 Growth and physique in different populations of mankind. In “The Biology of Human Adaptability” ed. P.T. Baker and J.S. Weiner, Glarendon Press Oxford. Tanner, J. M. 1967 Growth and physique in different populations of mankind. In “The Biology of Human Adaptability” ed. P.T. Baker and J.S. Weiner, Glarendon Press Oxford. …… 1978 Feeetus into Man : Physical growth from conception to Maturity. Open Books, London. …… 1978 Feeetus into Man : Physical growth from conception to Maturity. Open Books, London. Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 tion : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – Dec RESULT The data of different somatometric measurements with reference to their mean values, standard deviations and the rate of growth are presented in tables 1 to 6. The data of different somatometric measurements with reference to their mean values, standard deviations and the rate of grow presented in tables 1 to 6. www asianmirror in I Page 54 Table-1 Anthropometric measurements of Guwahati Children (HE/GHT) (cm.) Assamese Bengali Hindi speaking All Communities Age (Years) Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum BOYS 4 105.24±7.03 8.30 10.4.32±5.27 2.82 105.52±5.03 4.43 105.07±5.77 5.38 5 113.54±6.82 0.27 107.14±4.98 3.51 109.95±5.90 4.65 110.45±5.97 2.71 6 113.81±5.58 5.54 110.65±5.15 6.41 114.60±5.23 4.13 113.16±5.54 5.33 7 119.35±7.37 7.53 117.06±5.54 0.99 118.73±7.60 6.74 118.49±7.39 4.99 8 126.88±5.71 5.05 118.05±6.97 8.52 125.47±6.65 4.53 123.48±6.39 6.12 9 131.93±4.96 3.29 126.57±5.59 3.34 130.0±7.33 4.59 129.60±5.88 3.10 10 135.22±6.90 129.91±6.22 134.59±5.44 132.70±6.09 GIRLS 4 104.55±6.66 4.35 102.19±5.61 5.93 102.51±5.03 5.54 103.07±5.79 5.26 5 108.90±5.40 4.43 108.12±5.32 4.39 108.05±5.19 3.71 108.33±5.29 4.28 6 113.33±5.51 4.95 112.51±5.21 2.61 111.76±5.19 5.55 112.61±55.32 4.21 7 118.28±6.71 5.60 115.12±4.45 5.62 117.31±6.26 6.87 116.82±5.16 6.22 8 123.88±10.74 7.55 120.74±5.72 2.95 124.18±6.87 0.49 123.04±7.63 3.02 9 131.43±5.20 4.12 123.69±5.88 9.00 124.67±7.08 5.84 126.06±6.25 6.50 10 135.55±7.39 132.69±6.73 130.51±8.13 132.56±7.46 Anthropometric measurements of Guwahati Children (HE/GHT) (cm.) It is revealed from table 1 and 1a and 1b that there is a continuous increase in height from 4 years onwards. The increment is however, not uniform throughout the age period. Both the Assamese and Hindi speaking boys are taller than the respective girls at all ages except at 10 years when the Assamese girls are slightly taller than the Assamese boys. The sexual dimorphism in height is not well defined among the Bengali children. The Assamese children are the tallest of all the children at all ages except at 4 and 8 years. At the age of 4 years the Hindi speaking boys are slightly taller than the Assamese boys and at 8 years the Hindi speaking girls are taller than the Assamese girls. The Bengali girls are seen to be taller than the Hindi speaking girls at the age of 5, 6 and 10 years. Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 tion : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – Dec ol Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 RESULT ments of Guwahati Children (Horizontal Circumference of Head) (cm.) www.asianmirror.in I Page 55 Table-2 : Anthropometric measurements of Guwahati Children (Horizontal Circumference of Head) (cm.) Assamese Bengali Hindi speaking All Communities Age (Years) Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum BOYS 4 50.74±1.29 0.64 50.24±1.13 0.24 50.94±1.34 0.06 50.66±1.26 0.33 5 51.38±1.41 0.17 50.48±1.56 0.58 51.00±1.34 0.10 50.99±1.43 0.28 6 51.55±1.75 0.32 51.06±1.21 0.49 51.10±1.31 0.17 51.27±1.45 0.31 7 51.87±1.58 0.32 51.55±1.40 0.24 51.27±1.20 0.02 51.58±1.40 0.22 8 52.19±1.57 0.14 51.79±1.39 0.45 51.29±1.87 0.83 51.80±1.59 0.44 9 52.33±1.71 0.13 52.24±1.14 0.05 52.12±1.74 0.15 52.24±1.53 0.08 10 52.46±1.33 52.29±1.34 52.27±1.31 52.32±1.33 GIRLS 4 50.35±1.45 0.31 49.75±1.36 0.45 49.81±1.17 0.42 49.97±1.33 0.38 5 50.66±1.19 0.03 50.20±1.24 0.17 5023±1.60 0.17 50.35±1.19 0.15 6 50.69±1.77 0.06 50.37±1.19 0.09 50.40±1.07 0.63 50.50±1.38 0.26 7 50.75±1.40 0.27 50.46±1.39 0.24 51.03±1.50 0.34 50.76±1.43 0.30 8 51.02±1.41 0.23 50.70±1.33 0.24 51.37±2.44 0.08 51.06±1.80 0.19 9 51.25±1.49 0.26 50.94±1.50 0.76 41.45±1.53 0.25 51.25±1.51 0.40 10 51.51±1.24 51.70±1.27 51.70±1.48 51.65±1.35 www.asianmirror.in Table 2 shows a continuous but slow increase of horizontal circumference of head throughout all the age levels. It is observed that the boys of all the groups show the higher mean values than the respective girls at all ages except at 8 years when the Hindi speaking girls show the higher mean values than the boys of respective group (fig- 2a and 2b). The mean values of the horizontal circumference of head of the Assamese boys are the highest of all the children at all age levels except at 4 years when the Hindi speaking boys show the higher mean value in case of girls, the differences between the different groups are not well marked. The mean values of the horizontal circumference of head of the Assamese boys are the highest of all the children at all age levels except at 4 years when the Hindi speaking boys show the higher mean value in case of girls, the differences between the different groups are not well marked. www.asianmirror.in I Page 56 Hindi speaking boys show the higher mean value in case of girls, the differences between the different groups are not well marked. Table-3 : Anthropometric measurements of Guwahati Children (Girth of Bicep) (cm.) Assamese Bengali Hindi speaking All Communities Age (Years) Mean± S. D. Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 tion : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – Dec ol Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 RESULT Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum BOYS 4 16.38±0.79 0.13 16.06±0.91 0.12 15.96±0.93 0.44 16.13±0.88 0.25 5 16.51±1.45 0.24 16.18±0.88 0.37 16.40±0.95 0.55 16.38±1.11 0.38 6 16.75±0.92 0.34 16.55±0.89 0.36 16.95±1.40 0.10 16.76±1.07 0.27 7 17.09±1.04 0.75 16.91±1.16 0.34 17.05±1.32 0.31 17.03±1.17 0.48 8 17.84±1.48 0.07 17.25±1.16 0.44 17.36±1.69 0.85 17.51±1.43 0.42 9 17.91±1.49 0.57 17.09±1.73 0.40 18.21±1.62 0.08 17.93±1.61 0.32 10 18.48±2.07 18.09±1.50 18.29±1.62 18.25±1.67 GIRLS 4 16.15±1.29 0.30 16.11±1.68 0.47 16.07±0.75 0.68 16.11±1.27 0.50 5 16.45±0.78 0.10 16.58±0.92 0.15 16.75±0.88 0.05 16.61±0.86 0.07 6 16.55±1.21 0.11 16.73±1.49 0.15 16.80±1.11 0.40 16.68±1.27 0.26 7 16.66±1.13 0.96 16.88±1.26 0.40 17.20±1.21 0.76 16.94±1.21 0.71 8 17.62±0.98 0.96 17.28±1.31 0.76 17.96±1.25 0.20 17.65±1.19 0.58 9 18.58±1.23 0.44 18.04±1.30 0.97 18.16±1.85 0.70 18.23±1.53 0.83 10 19.42±1.45 19.01±1.88 18.86±2.24 19.06±1.91 www.asianmirror.in The girth of bicep is seen to increase continuously along with age (Table 3and Fig.3a and 3b). The Assemese boys show the highest mean value of girth of bicep at all ages except at 6 and 9 years when their mean value are slightly lower than the mean values of the Hindi speaking boys. The Bengali boys, on the other hand, show the lowest mean values at all ages except 4 years when their mean value is slightly higher than that of the Hindi speaking boys. No distinct difference between the girls of the different groups is observed. The mean values of girth of bicep are higher for the Assamese boys than the girl’s up to 8 years of age. At 9 and 10 years the girls show the higher mean values. The sex difference is not well defined in case of Bengali and Hindi speaking children. www.asianmirror.in I Page 57 Table-4 : Anthropometric measurements of Guwahati Children (Chest Girth) (cm.) Assamese Bengali Hindi speaking All Communities Age (Years) Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 tion : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – Dec ol Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 RESULT Absolute Growth per annum BOYS 4 53.90±2.55 1.88 53.42±2.69 0.18 53.71±2.15 0.72 53.69±2.18 1.19 5 55.78±2.52 0.22 53.60±2.24 1.15 54.43±2.18 1.46 54.88±2.32 073 6 56.00±2.51 1.12 54.75±2.09 1.41 55.89±3.01 0.80 55.61±2.55 1.09 7 57.12±2.41 2.46 56.16±1.73 0.47 56.69±3.05 1.88 56.70±3.00 1.60 8 59.58±1.63 0.70 56.63±2.63 3.21 58.57±4.20 1.93 58.30±3.45 1.90 9 60.28±2.75 2.72 59.84±5.14 1.34 60.50±5.31 1.07 60.20±4.30 1.52 10 61.00±5.33 61.18±2.93 61.57±3.18 61.72±3.54 GIRLS 4 51.55±3.33 0.37 52.09±2.42 0.39 50.36±1.21 1.65 52.21±2.36 1.50 5 51.92±2.19 0.92 52.48±2.03 1.81 54.51±2.53 0.71 53.71±2.27 1.06 6 54.81±1.85 167 54.29±3.73 0.47 55.22±2.81 1.71 54.77±2.74 1.14 7 56.51±1.23 2.42 54.76±2.77 1.43 56.93±3.19 2.18 55.91±3.06 2.25 8 58.93±2.57 2.32 56.19±2.95 2.85 59.11±2.60 0.13 58.16±2.60 1.52 9 61.25±2.93 1.60 59.04±3.23 4.85 59.24±4.77 1.29 59.68±3.84 2.50 10 62.85±4.87 63.62±4.56 60.53±5.96 62.18±5.20 www.asianmirror.in It appears from table 4 and Fig. 4a & 4b that the chest girth of Assamese boys is distinctly the greatest of all the boys at all ages except at 9 years when their mean value is slightly lower than that of the Hindi speaking boys. At 8 years the Bengali boys show slightly higher mean value tan the Hindi speaking boys. In other ages their mean values are the lowest of all the boys. The Bengali girls also show the lowest mean values of all the girls except at 10 years when their mean value is the highest. The chest girths of the boys of all the groups are higher than the respective girls at all ages except at 10 years when the Bengali girls show higher mean value. www.asianmirror.in I Page 58 g Table-5 : Anthropometric measurements of Guwahati Children (Girth of Calf) (cm.) Assamese Bengali Hindi speaking All Communities Age (Years) Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 tion : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – Dec ol Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 RESULT Absolute Growth per annum BOYS 4 21.48±0.98 0.92 20.86±1.42 0.75 21.12±1.13 0.76 21.16±1.17 0.83 5 22.40±1.79 0.33 21.61±1.28 0.14 21.88±2.72 0.49 21.99±1.98 0.30 6 22.73±1.34 0.55 21.75±1.35 0.80 22.73±1.36 0.03 22.29±1.35 0.49 7 23.25±1.33 1.02 22.55±1.81 0.58 22.40±1.81 0.95 22.78±1.63 0.36 8 24.30±1.96 0.35 23.13±1.39 0.76 23.35±1.74 1.31 23.64±1.71 0.76 9 24.65±1.46 1.25 23.89±1.86 0.38 24.66±2.47 0.75 24.40±1.89 0.62 10 25.90±2.53 24.27±1.47 25.41±1.85 25.02±1.84 GIRLS 4 21.35±1.78 0.47 20.80±2.08 0.48 20.71±0.92 1.02 20.96±1.63 0.67 5 21.82±1.30 0.39 21.28±1.75 0.13 21.73±1.64 0.17 21.63±1.57 0.23 6 22.21±1.60 0.50 21.41±1.65 0.83 21.90±1.36 0.55 21.86±1.54 0.59 7 22.71±1.19 0.98 22.24±1.77 0.86 22.45±1.46 0.73 22.45±1.49 0.85 8 23.69±1.33 0.67 23.10±1.47 0.69 23.18±1.54 0.83 23.30±1.46 0.73 9 24.36±1.52 0.85 23.79±1.74 1.10 24.01±2.14 0.42 24.03±1.86 0.76 10 25.21±1.59 24.89±1.88 24.43±2.31 24.79±1.98 www.asianmirror.in It is observed from table 5 and fig 5a & 5b that the Assamese boys show the highest and the Bengali boys show the lowest mean values of girth of calf at all ages except at 9 years when the Assamese and the Hindi speaking boys show almost the same mean values. The same trend is observed in case of girls also. The Assamese and the Hindi speaking boys show the higher mean value of girth of calf than the respective girls at all ages. The sex difference in case of the Bengali children is not distinct. 5 and fig 5a & 5b that the Assamese boys show the highest and the Bengali boys show the lowest mean values of girth of calf at all ages e Assamese and the Hindi speaking boys show almost the same mean values. The same trend is observed in case of girls also. Hindi speaking boys show the higher mean value of girth of calf than the respective girls at all ages. The sex difference in case of the stinct. Bengali children is not distinct. Table-6 : Anthropometric measurements of Guwahati Children (Weight) (Kg.) Assamese Bengali Hindi speaking All Communities Age (Years) Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Absolute Growth per annum Mean± S. D. Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 RESULT Absolute Growth per annum BOYS 4 16.15±1.66 2.13 15.25±1.99 0.33 15.57±1.93 1.98 15.67±1.49 1.59 5 18.28±2.87 0.15 15.58±1.95 1.82 17.55±2.37 2.09 17.26±2.43 1.26 6 18.43±2.51 1.52 17.40±2.05 2.34 19.64±2.60 0.93 18.52±2.41 1.57 7 19.95±2.50 2.87 19.74±3.54 0.73 20.57±2.71 1.25 20.09±2.87 1.65 8 22.82±3.19 0.46 20.47±2.69 3.04 21.82±3.19 3.01 21.74±3.02 2.08 9 23.28±4.41 2.82 23.51±4.88 0.17 24.83±4.57 0.92 23.82±4.61 1.11 10 26.10±5.83 23.68±2.88 25.75±3.50 24.93±3.74 GIRLS 4 15.95±2.80 0.50 15.30±3.33 0.75 14.82±1.40 1.41 15.37±2.57 0.87 5 16.45±2.08 1.67 16.05±2.02 1.72 16.23±2.40 0.43 16.24±2.19 1.34 6 18.12±1.75 1.68 17.77±2.14 0.83 16.66±2.35 2.54 17.58±2.05 1.58 7 19.80±2.47 2.27 18.60±2.36 1.70 19.20±2.92 2.08 19.16±2.60 2.05 8 22.07±2.10 1.68 20.30±2.36 1.35 21.28±2.93 1.30 21.21±2.52 1.38 9 23.75±2.61 1.75 21.65±3.16 3.95 22.58±4.08 3.37 22.59±3.43 3.13 10 25.50±3.92 25.60±4.11 25.95±5.94 25.72±4.79 Table-6 : Anthropometric measurements of Guwahati Children (Weight) (Kg.) 59 : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – Decembe ol Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi www.asianmirror.in It is revealed from table 6 and fig. 6a & 6b that the increase of weight, though continuous, is not uniform. The Assamese boys are found to be the heaviest of all the boys almost at all the ages. At 6 year the Assamese boys are lighter than the Hindi speaking boys and at 9 years they are lighter than the Bengali boys. Except at 9 years the Bengali boys are the lightest of all the girls. The Assamese girls are also the heaviest of all the girls except at 10 years. The difference between the Bengali and Hindi speaking girls is not distinct. The boys of all the groups are distinctly heavier than the respective girl’s up to 8 years. At 9 years the Assamese boys are slightly lighter than Assamese girls. Both Bengali and Hindi speaking boys are lighter than the respective girls at 10 years. Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN5 School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi - 10.21276/am.2019.6.4.AN Citation : Dr. Tiluttoma Baruah (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirr (2019). Growth Patterns of School Children of South Guwahati, Kamrup District of Assam, Asian Mirror – December 2019, 6(4):48-60. doi www.asianmirror.in www.asianmirror.in It is revealed from table 6 and fig. 6a & 6b that the increase of weight, though continuous, is not uniform. The Assamese boys are found to be the heaviest of all the boys almost at all the ages. At 6 year the Assamese boys are lighter than the Hindi speaking boys and at 9 years they are lighter than the Bengali boys. Except at 9 years the Bengali boys are the lightest of all the girls. The Assamese girls are also the heaviest of all the girls except at 10 years. The difference between the Bengali and Hindi speaking girls is not distinct. The boys of all the groups are distinctly heavier than the respective girl’s up to 8 years. At 9 years the Assamese boys are slightly lighter than Assamese girls. Both Bengali and Hindi speaking boys are lighter than the respective girls at 10 years. I Page 60
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The role of the nervous system in aging and longevity
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Edited by: The connections between the nervous system, aging and longevity are manifold and profound. On the one hand, the nervous sys- tem plays an important role in processing complex information from the environment, which has a major influence on an ani- mal’s aging and longevity. Accordingly, environmental signals are received and integrated by this organ system, leading to diverse physiological outputs that can have pervasive effects on home- ostasis and lifespan. Thus, an animal’s nervous system not only controls its homeostatic responses but can also alter its lifespan and aging process. On the other hand, similar to the feedback regulation that characterizes homeostatic mechanisms, aging also impacts the functional state of the nervous system, as exemplified, for instance, by the prevalence of age-associated neurodegenera- tive diseases. importance of maintaining calcium homeostasis. They discuss how loss of calcium homeostasis increases the risk for neu- rodegenerative diseases and how aging itself can impair this homeostasis (Nikoletopoulou and Tavernarakis, 2012). Calcium homeostasis requires the coordinated function of different organelles, including that of the mitochondria (Nikoletopoulou and Tavernarakis, 2012). Troulinaki and Bano (2012) further underscores the involvement of mitochondria in known longevity pathways and their dual role in aging and neurodegeneration. They review how the decline of mitochondrial activity signifi- cantly contributes to age-related impairment of neural circuits (Troulinaki and Bano, 2012). Consistent with this idea, several reviews discuss evidence suggesting that impaired, aging neurons can modulate the func- tional outputs of the nervous system, such as protein homeostasis (David, 2012), learning, memory (Stein and Murphy, 2012), and emotional state (McKinney et al., 2012). The review of David (2012) focuses on the role of protein aggregation and protein- quality control in the aging brain. Of note, several reviews discuss how neuronal signaling upon mitochondrial dysfunc- tion, in addition to other stimuli, plays a role in coordinating the mitochondrial unfolded protein response, which in turn affects protein misfolding and polyglutamine aggregation in non- neuronal tissues (David, 2012; Kagias et al., 2012; Alcedo et al., 2013). The lead review (Alcedo et al., 2013) in this collection of arti- cles introduces different aspects of neuronal inputs and outputs of signaling pathways that affect homeostasis, and consequently longevity and aging. A number of these inputs, which can be detected by sensory neurons acting at the interface between an animal’s external and internal environments, have been found to either shorten or lengthen lifespan. Jeong et al. Edited by: (2012) describe more explicitly how gustatory, olfactory and thermosensory cues affect invertebrate lifespan and the possible implications on mam- malian aging. In mammals, these sensory cues likely modulate hypothalamic function and the neuroendocrine systems required for maintaining homeostasis [reviewed in Alcedo et al. (2010, 2013); Jeong et al. (2012)]. Consistent with this notion, Bartfai and Conti (2012) discuss how nutrient signals act on heat- sensing hypothalamic neurons to regulate energy expenditure by maintaining mammalian core body temperature, which has been previously shown to affect lifespan (Conti et al., 2006). McKinney et al. (2012) and Stein and Murphy (2012) present other mechanisms through which aging neurons affect the rate of organismal senescence. The impact of neuronal aging on cogni- tive and psychological states can be observed through consistent and specific age-dependent gene expression changes in the brain. The review by McKinney et al. (2012) also supports the impor- tant notion that naturally occurring individual variation in the rates of gene expression changes during brain aging can deter- mine the onset of senescence and of developing age-related brain disorders. Last but not least, the paper by Huffman (2012) reviews the intimate links between the regulation of development and aging by discussing how patterns of neocortical gene expression and neocortical sensory-motor axonal connections develop and change throughout the lifespan of the animal and how they affect aging. In addition to nutritional and temperature cues, the ner- vous system can sense other environmental cues and stressors (Alcedo et al., 2013). Iranon and Miller (2012) focus on one such stressor—i.e., low oxygen availability, which compromises many important physiological processes; in their paper, the authors review the mechanisms animals use to maintain oxy- gen homeostasis in response to hypoxia. In contrast, Kagias et al. (2012) elaborate on different types of stressors and the neuronal responses that these elicit. Besides extrinsic environmental fac- tors, they also discuss how the processes of development and aging generate intrinsic stress (Kagias et al., 2012). Collectively, the reviews in this Special Topic provide ample evidence from recent literature that show how aging is modulated by a complex interplay between the environment, genes, signal- ing networks and tissues. In particular, they highlight the key role in aging and longevity played by the nervous system, which is the central integrator of information from both the external Neuronal inputs are integrated by neural circuits, which can then lead to longevity-modulating outputs. Joy Alcedo 1*†, Thomas Flatt 2*† and Elena G. Pasyukova 3*† Joy Alcedo 1*†, Thomas Flatt 2*† and Elena G. Pasyukova 3*† 1 Department of Biological Sciences, Wayne State University, Detroit, MI, USA 2 Department of Ecology and Evolution, University of Lausanne, Lausanne, Switzerland 3 Laboratory of Genome Variation, Institute of Molecular Genetics, Russian Academy of Sciences, Moscow, Russia *Correspondence: joy.alcedo@wayne.edu; thomas.flatt@unil.ch; egpas@rambler.ru †These authors have contributed equally to this work. Edited by: Bl k R i U i it f C ti t H lth C t USA Joy Alcedo 1*†, Thomas Flatt 2*† and Elena G. Pasyukova 3*† Joy Alcedo 1*†, Thomas Flatt 2*† and Elena G. Pasyukova 3*† 1 Department of Biological Sciences, Wayne State University, Detroit, MI, USA 2 Department of Ecology and Evolution, University of Lausanne, Lausanne, Switzerland 3 Laboratory of Genome Variation, Institute of Molecular Genetics, Russian Academy of Sciences, Moscow, Russia *Correspondence: joy.alcedo@wayne.edu; thomas.flatt@unil.ch; egpas@rambler.ru †These authors have contributed equally to this work. Edited by: Blanka Rogina, University of Connecticut Health Center, USA 1 Department of Biological Sciences, Wayne State University, Detroit, MI, USA 2 Department of Ecology and Evolution, University of Lausanne, Lausanne, Switzerland 3 Laboratory of Genome Variation, Institute of Molecular Genetics, Russian Academy of Sciences, Moscow, Russia *Correspondence: joy.alcedo@wayne.edu; thomas.flatt@unil.ch; egpas@rambler.ru †These authors have contributed equally to this work. www.frontiersin.org EDITORIAL published: 27 June 2013 doi: 10.3389/fgene.2013.00124 EDITORIAL published: 27 June 2013 doi: 10.3389/fgene.2013.00124 EDITORIAL EDITORIAL published: 27 June 2013 doi: 10.3389/fgene.2013.00124 published: 27 June 2013 doi: 10.3389/fgene.2013.00124 published: 27 June 2013 doi: 10.3389/fgene.2013.00124 Edited by: Because of the central role that calcium signaling plays in processing neural infor- mation, Nikoletopoulou and Tavernarakis (2012) highlight the June 2013 | Volume 4 | Article 124 | 1 The role of the nervous system in aging and longevity Alcedo et al. environment and the inner “milieu” intrinsic to the organism. In discussing the state-of-the-art, these papers also illustrate key areas for future work. For example, our current under- standing of the sensory perception of environmental cues and the signals that integrate and process these cues in affect- ing lifespan and aging is still very limited. Moreover, major and unresolved questions remain about the mechanistic rela- tionship between the neuronal regulation of lifespan and the senescence of neuronal and cognitive function. Finally, we still lack essential information on the evolutionary conservation of the neuronal inputs and outputs of longevity and aging. Such information might prove to be extremely helpful in generating therapeutic/pharmacological interventions in the future. As is clearly demonstrated by the review articles in this Special Topic, the neurobiology of aging is a rapidly developing field; at the same time, numerous difficult problems remain to be solved in future work, making this vibrant field a major frontier in aging research. body temperature have an increased life span. Science 314, 825–828. June 2013 | Volume 4 | Article 124 | 2 Frontiers in Genetics | Genetics of Aging Received: 07 June 2013; accepted: 09 June 2013; published online: 27 June 2013. Citation: Alcedo J, Flatt T and Pasyukova EG (2013) The role of the nervous sys- tem in aging and longevity. Front. Genet. 4:124. doi: 10.3389/fgene.2013.00124 This article was submitted to Frontiers in Genetics of Aging, a specialty of Frontiers i G ti Received: 07 June 2013; accepted: 09 June 2013; published online: 27 June 2013. Citation: Alcedo J, Flatt T and Pasyukova EG (2013) The role of the nervous sys- tem in aging and longevity. Front. Genet. 4:124. doi: 10.3389/fgene.2013.00124 This article was submitted to Frontiers in Genetics of Aging, a specialty of Frontiers in Genetics. REFERENCES body temperature have an increased life span. Science 314, 825–828. for aging and neurodegenera- tion. Front. Genet. 3:244. doi: 10.3389/fgene.2012.00244 aging. Front. Genet. 3:218. doi: 10.3389/fgene.2012.00218 Alcedo, J., Flatt, T., and Pasyukova, E. G. (2013). Neuronal inputs and outputs of aging and longevity. Front. Genet. 4:71. doi: 10.3389/fgene.2013.00071 David, D. C. (2012). Aging and the aggregating proteome. Front. Genet. 3:247. doi: 10.3389/fgene.2012.00247 Kagias, K., Nehammer, C., and Pocock, R. (2012). Neuronal responses to physiological stress. Front. Genet. 3:222. doi: 10.3389/fgene.2012.00222 Alcedo, J., Maier, W., and Ch’ng, Q. (2010). “Sensory influence on homeostasis and lifespan: molecules and circuits,” in Protein Metabolism and Homeostasis in Aging, ed. N. Tavernarakis (Austin, TX: Landes Bioscience), 197–210. Huffman, K. (2012). The developing, aging neocortex: how genetics and epigenetics influence early develop- mental patterning and age-related change. Front. Genet. 3:212. doi: 10.3389/fgene.2012.00212 McKinney, B. C., Oh, H., and Sibille, E. (2012). Age-by-disease biological interactions: implications for late- life depression. Front. Genet. 3:237. doi: 10.3389/fgene.2012.00237 Iranon, N. N., and Miller, D. L. (2012). Interactions between oxygen homeostasis, food avail- ability, and hydrogen sulfide signaling. Front. Genet. 3:257. doi: 10.3389/fgene.2012.00257 Nikoletopoulou, V., and Tavernarakis, N. (2012). Calcium homeostasis in aging neurons. Front. Genet. 3:200. doi: 10.3389/fgene.2012.00200 Bartfai, T., and Conti, B. (2012). Molecules affecting hypothalamic control of core body temper- ature in response to calorie intake. Front. Genet. 3:184. doi: 10.3389/fgene.2012.00184 Copyright © 2013 Alcedo, Flatt and Pasyukova. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in other forums, provided the original authors and source are credited and subject to any copyright notices concerning any third-party graphics etc. Stein, G. M., and Murphy, C. T. (2012). The intersection of aging, longevity pathways, and learning and memory in C. elegans. Front. Genet. 3:259. doi: 10.3389/fgene.2012.00259 Jeong, D.-E., Artan, M., Seo, K., and Lee, S.-J. (2012). Regulation of lifespan by chemosensory and thermosensory systems: find- ings in invertebrates and their implications in mammalian Conti, B., Sanchez-Alavez, M., Winsky- Sommerer, R., Morale, M. C., Lucero, J., Brownell, S., et al. (2006). Transgenic mice with a reduced core Troulinaki, K., and Bano, D. (2012). Mitochondrial defi- ciency: a double-edged sword June 2013 | Volume 4 | Article 124 | 2 Frontiers in Genetics | Genetics of Aging Frontiers in Genetics | Genetics of Aging
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1 Introduction Abstract. Determination of transition metals in ambient aerosols is important due to their toxicity to human health. However, the traditional measurement techniques for metal analysis are often costly and require sophisticated instru- ments. In this study, we developed and verified relatively low-cost liquid spectrophotometric methods for the measure- ments of iron (Fe) and copper (Cu), the two most abundant transition metals in ambient fine particulate matter (PM2.5). For Fe analysis, we utilized a ferrozine-based colorimetric method, which has been frequently used for water-soluble (WS) Fe determination, and further extended this approach for the measurement of total Fe (water-soluble + water- insoluble). In this method, Fe is quantified through the for- mation of a light-absorbing ferrozine–Fe(II) complex (ab- sorbance at 562 nm). A similar colorimetric method, which forms a bathocuproine–Cu(I) complex absorbing light at 484 nm, was developed and examined for measurement of WS and total Cu. Transition metals are known to contribute to airborne par- ticle toxicity and can cause a wide range of adverse health effects (Chen et al., 2018; Gonet and Maher, 2019). Iron (Fe) and copper (Cu) are often two of the most abundant transition metals in ambient fine particles (PM2.5) and have been linked to a number of human diseases associated with the respiratory, cardiovascular and central nervous systems (Calderón-Garcidueñas et al., 2019; Dreher et al., 1997; Wang et al., 2007). They have also been associated with other organ damage (Kim et al., 2013; Schrand et al., 2010). Tran- sition metals in ambient aerosols are emitted in a variety of chemical forms, such as metal oxides, metal sulfates, metal halides, metal organics and reactive nano-metalloid particles (Gonet and Maher, 2019; Sutto, 2018). Fe and Cu nanoparti- cles (< 0.1 µm) may be especially toxic due to unique surface properties, combined with their small sizes that allow them to pass through cellular membranes and ability to be translo- cated to other organs (Bongaerts et al., 2020; Lee et al., 2020; Moreno-Ríos et al., 2021). Water-soluble species are opera- tionally defined and are obtained though aqueous dissolution of collected aerosols followed by liquid filtration of the ex- tract solution (typical filter pore sizes of 0.22 or 0.45 µm), which is roughly analogous to the process particles undergo when deposited in the respiratory-tract-lining fluid. Metals measured in this fraction can include molecules and colloidal nanoparticles that are more readily bioavailable than insol- uble species. A method for liquid spectrophotometric measurement of total and water-soluble iron and copper in ambient aerosols Yuhan Yang1, Dong Gao2, and Rodney J. Weber1 1Earth and Atmospheric Sciences, Georgia Institute of Technology, Atlanta, GA 30332, USA 2Department of Environmental Health Sciences, School of Public Health, Yale University, New Haven, CT 06510, USA Correspondence: Rodney J. Weber (rodney.weber@eas.gatech.edu) Received: 6 March 2021 – Discussion started: 9 March 2021 Revised: 20 May 2021 – Accepted: 21 May 2021 – Published: 28 June 2021 Received: 6 March 2021 – Discussion started: 9 March 2021 Revised: 20 May 2021 – Accepted: 21 May 2021 – Published: 28 June 2021 Atmos. Meas. Tech., 14, 4707–4719, 2021 https://doi.org/10.5194/amt-14-4707-2021 © Author(s) 2021. This work is distributed under the Creative Commons Attribution 4.0 License. 1 Introduction Studies have found that water-soluble transi- tion metals, including water-soluble (WS) Fe and Cu, have stronger adverse health associations than the correspond- ing water-insoluble components (Costa and Dreher, 1997; These methods were applied to 24 h integrated filter sam- ples collected in urban Atlanta. Based on PM2.5 ambi- ent aerosols, total and water-soluble Fe and Cu concen- trations were in good agreement with inductively coupled plasma mass spectrometry (ICP-MS) measurements (slopes 1.0±0.1, r2 > 0.89). The water-soluble components, opera- tionally defined as those species in the aqueous filter extract that pass through a 0.45 µm filter, were further characterized by ultrafiltration, which showed that roughly 85 % of both the Fe and Cu in the water-soluble fraction was composed of species smaller than nominally 4 nm. Y. Yang et al.: A method for measuring iron and copper in aerosols Although only able to measure a specific compound per analysis, in contrast to mass spec- trometer methods, the instrument is small, portable and rela- tively low cost and can be used for offline measurements of sample extracts or for online measurement when connected to a particle-into-liquid sampler (PILS) or similar system (Oakes et al., 2010; Rastogi et al., 2009). Here we report on the development, verification and application of liquid spec- trophotometers for measurement of Fe and Cu in ambient aerosols collected on filters. Transition-metal-bearing particles are emitted by a wide variety of sources. Major Fe sources include resuspended mineral and road dust (tire and brake wear) and combus- tion of biomass and fossil fuels (Khillare and Sarkar, 2012; See et al., 2007; Wang et al., 2016). Cu sources are often dominated by traffic road dust and in certain locations by in- dustrial sources (Adachi and Tainosho, 2004; Khillare and Sarkar, 2012; Kulshrestha et al., 2009; Lee and Hieu, 2011; Wang et al., 2016). Water-soluble transition metals may orig- inate from primary emissions, such as combustion (e.g., WS Fe), but secondary processing is likely the major source. This can occur by dissolution of the various insoluble forms of the metals emitted as primary emissions, for example, dissolu- tion of metal oxides to soluble forms as the particles age in the atmosphere (Alves et al., 2020; Fang et al., 2015; Galon- Negru et al., 2019; Ito et al., 2019; Meskhidze et al., 2005; See et al., 2007; Wong et al., 2020). 2.1 Collection of ambient PM2.5 filters One year of filter collection was conducted throughout 2017 at the Jefferson Street (JST) site located ∼4 km northwest of downtown Atlanta, Georgia. The JST site is surrounded by a mixed commercial–residential area and has a characteristic urban signature (Hansen et al., 2003). A total of 355 PM2.5 filter samples were collected with high-volume (hi-vol) sam- plers (Thermo Andersen, flow rate normally 1.13 m3 min−), each filter collected over a 24 h period (midnight to mid- night) using prebaked (maximum T = 550 ◦C) quartz filters (Pallflex® Tissuquartz™, 0.2×0.25 m) with an effective col- lection area of 516.13 cm2 (20.32 cm by 25.40 cm). Samples were immediately wrapped in prebaked aluminum foil and stored at −18 ◦C until analysis. A selection of these filters are included in the following analyses. A suite of other air quality sampling instruments was also operational during the filter sampling period. Portions of these filters have already been utilized in studies on aerosol oxidative potential (Gao et al., 2020a, b). g Measuring transition metals in ambient aerosols is chal- lenging due to their low concentrations (tens of nanograms per cubic meter or less). Various analytical methods have been utilized. X-ray fluorescence (XRF) and particle-induced X-ray emission analysis (PIXE) are non-destructive but can be influenced by matrix effects that result in major interfer- ences (Lin and Luo, 1979). Inductively coupled plasma mass spectrometry (ICP-MS) is widely used for quantifying trace elements and is included in some federal reference methods for the identification of metals in water and ambient PM in the USA (e.g., Method IO-3.5, USEPA Method 1640) (Am- mann, 2007; Chow, 1995; Danadurai et al., 2011). Overall, these instruments tend to be expensive, making it challeng- ing to do routine analysis of large numbers of aerosol particle samples in modestly equipped laboratories. An alternative approach is liquid-based colorimetric meth- ods, which can provide precise and accurate measurements of specific metal species based on the assumption that the lig- and used reacts exclusively with the target metal (i.e., in this case Fe or Cu) to form a light-absorbing complex. Stookey (1970) developed a spectrophotometric method for the anal- ysis of Fe(II) based on Fe(II) complexing with a ferrozine ligand (3-(2-pyridyl)-5,6-bis(4-phenylsulfonic acid)-1,2,4- triazine) that absorbs light at 562 nm. Smith and Wilkins (1953) reported a colorimetric reagent, bathocuproine (2,9- dimethyl-4,7-diphenyl-1,10-phenanthroline), that can selec- tively chelate with Cu(I). The absorption spectra of the Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. Y. Yang et al.: A method for measuring iron and copper in aerosols 4708 Frampton et al., 1999; Huang et al., 2003; Ye et al., 2018). Transition metal ions that can form dissolution of aerosol components, such as Fe(II) and Fe(III) and Cu(I) and Cu(II), are highly redox-active components of PM2.5. These ions can trigger and sustain catalytic reaction cycles, such as Fenton reactions, generating reactive oxygen species (ROSs; OH, O− 2 , HO2, O3 and H2O2) in vivo (Brewer, 2007; Lakey et al., 2016), which can induce oxidative stress and further lead to inflammatory responses and a subsequent host of adverse health effects (Brook et al., 2010; Donaldson et al., 2001; Ghio et al., 2012; Nel, 2005). bathocuproine–Cu(I) complex display a maximum value at 484 nm. Both techniques have been developed and used to detect Fe and Cu in natural waters (Moffett et al., 1985; Vio- llier et al., 2000); however, use of the Fe–ferrozine approach is much more common and has also been utilized for mea- surements of ambient aerosols (Kuang et al., 2019; Majestic et al., 2006; Oakes et al., 2010; Rastogi et al., 2009; Zhu et al., 1997; Zhuang et al., 1992). These analytical techniques can be applied to relatively small liquid spectrophotome- ters that utilize a long-path liquid waveguide capillary cell (LWCC) for high sensitivity. Although only able to measure a specific compound per analysis, in contrast to mass spec- trometer methods, the instrument is small, portable and rela- tively low cost and can be used for offline measurements of sample extracts or for online measurement when connected to a particle-into-liquid sampler (PILS) or similar system (Oakes et al., 2010; Rastogi et al., 2009). Here we report on the development, verification and application of liquid spec- trophotometers for measurement of Fe and Cu in ambient aerosols collected on filters. bathocuproine–Cu(I) complex display a maximum value at 484 nm. Both techniques have been developed and used to detect Fe and Cu in natural waters (Moffett et al., 1985; Vio- llier et al., 2000); however, use of the Fe–ferrozine approach is much more common and has also been utilized for mea- surements of ambient aerosols (Kuang et al., 2019; Majestic et al., 2006; Oakes et al., 2010; Rastogi et al., 2009; Zhu et al., 1997; Zhuang et al., 1992). These analytical techniques can be applied to relatively small liquid spectrophotome- ters that utilize a long-path liquid waveguide capillary cell (LWCC) for high sensitivity. 2.4.1 Extraction for water-soluble metals and ultrafiltration For measurements of the water-soluble Fe and Cu collected on the filters, one circular filter punch (1 in. in diameter, Apunch = 5 cm2) was extracted in 7 mL (Ve) of de-ionized water (DI water; Nanopure Infinity™ultrapure water system; > 18 M cm−1) in a sterile polypropylene centrifuge tube (VWR International LLC, Suwanee, GA, USA) via 30 min sonication (Ultrasonic Cleanser, VWR International LLC, West Chester, PA, USA). The extract was filtered using a 0.45 µm PTFE syringe filter (Fisherbrand™) and then acidi- fied using 6 M high-purity HCl to a pH of 1 to preserve the Fe or Cu in solution. A schematic of the extraction is shown in Fig. 1. Since the light absorption efficiencies of Fe(II)–ferrozine and Cu(I)–bathocuproine complexes differed, the optical path lengths of the LWCC for Fe and Cu measurements were 100 cm (LWCC-3100) and 250 cm (LWCC-3250), respec- tively. To keep the light absorption within an optimal range, the recommended Fe(II) and Cu(I) liquid concentrations de- tected by the system are up to 40 and 50 ppb, respectively. The filterable metal fraction in the extracts, defined as water-soluble metals in this paper, will include all dissolved metal forms and any colloidal particles with a diameter less than 0.45 µm, assuming that all colloidal particles < 0.45 µm can penetrate through the syringe filter, and the retention ef- ficiency of particles > 0.45 µm is 100 %. To assess the contribution of colloidal particles to the op- erationally defined WS Fe and WS Cu, a subset of the col- lected filters (N = 69) were further filtered by ultrafiltration (Amicon™Ultra centrifugal filter units, Merck Millipore Ltd., Tullagreen, Carrigtwohill, Co. Cork, Ireland). Two fil- ter sizes, 30 000 and 3000 daltons (Da), were used for size fractionation, which roughly correspond to colloidal parti- cles of 4 and 2 nm diameter, respectively (Erickson, 2009). Details of the conversion of particle mass in daltons to par- ticle diameter and the effects of ultrafiltration membrane re- jection are discussed in the Supplement. The particles were separated within the 30 000 and 3000 Da ultrafiltration units at ∼3000 g (4000 rpm) centrifugation for 30 and 60 min, re- spectively. The filtrate was then pH-adjusted to 1 and mea- sured for WS Fe and WS Cu. 2.3 Spectrophotometer and LWCC system Similar spectrophotometric instruments were used for all measurements (WS and total Fe and Cu). The final mixture containing the light-absorbing complexes was pushed into a liquid waveguide capillary cell (LWCC-3250 or LWCC-3100 World Precision Instruments, Sarasota, FL). The waveguide was coupled at one end to a dual deuterium and tungsten halogen light source (DT-Mini-2, Ocean Optics, Dunedin, FL), which produced light over the wavelength range of 200 to 800 nm, and at the other end to a multi-wave light detector (USB4000, Ocean Optics, Dunedin, FL), using 400 µm fiber core diameter fiber optic cables (QP400-2-SR, Ocean Op- tics, Dunedin, FL). The light absorbance was recorded with a data requisition software (SpectraSuite). For Fe analysis, the light absorption over the wavelength range between 557 and 567 nm was measured and averaged as the absorbance of the Fe complex in the sample (Abs562). Average absorption be- tween wavelengths of 479 and 489 nm was recorded and re- ferred to as the absorbance for Cu measurements (Abs484). In both measurements, the average absorbance measured over the wavelength range of 695 to 705 nm (Abs700) was chosen as the baseline absorbance. Y. Yang et al.: A method for measuring iron and copper in aerosols 4709 The final ambient concentration of each element, Cair (ng m−3), was calculated by tained from Fisher Scientific International Inc. (Fair Lawn, New Jersey, USA) and ferrozine (3-(2-pyridyl)-5,6-bis (4- phenylsulfonic acid)-1,2,4-triazine) from the HACH Com- pany (Loveland, CO, USA). Bathocuproine (2,9-dimethyl- 4,7-diphenyl-1,10-phenanthroline), sodium citrate dihydrate (HOC(COONa)(CH2COONa)2 · 2H2O) and hydroxylamine hydrochloride (HONH2 · HCl) were obtained from Sigma Aldrich (St. Louis, MO, USA). Details of the chemical preparations are provided in the Supplement. Cair = Csample −Cblank  Vl Vs × Ve Vair × Afilter Apunch , (2) (2) (2) where Csample and Cblank are the liquid sample and blank con- centrations of the specific element (ng mL−1), determined by Eq. (1); Ve (mL) is the liquid volume of the sample (or blank) extract; Vs (mL) is the liquid extract volume used for the actual measurement; and Vl (mL) is the volume of liquid sample solution after being diluted by all the chemi- cals (i.e., Vl = Vs +Vchemicals). Vair (m3) is the volume of air drawn through the filter during sampling. Afilter (cm2) and Apunch (cm2) are the total areas of the hi-vol filter and the filter punches used for analysis, respectively. 2.2 Reagents and standards All acids and sodium hydroxide (NaOH) used were trace- metal-grade obtained from VWR International LLC (Rad- nor, PA, USA). Standard stock solutions for Fe and Cu calibrations were prepared by dilution of commercially available standards (1000 ppm in 2 % HCl obtained from the RICCA Chemical Company, Arlington, TX, USA) and stored in a refrigerator (T = 4 ◦C). Calibration with these standards was performed at the beginning of every mea- surement day. Ammonium acetate (C2H7NO2) was ob- Atmos. Meas. Tech., 14, 4707–4719, 2021 https://doi.org/10.5194/amt-14-4707-2021 2.4.1 Extraction for water-soluble metals and ultrafiltration The metal concentrations in the liquid (C) were deter- mined based on the light absorbances by C = 1 b [(Absλ −Abs700) −a], (1) (1) where Absλ represents the average light absorption of the sample (or blank) for the ranges given above, which encom- passes the wavelength (λ) at which maximum optical absorp- tion occurs; for Fe, λ = 562 nm, and for Cu, λ = 484 nm. Abs700 represents the average light absorption between 695 and 705 nm; a (arbitrary units) and b (1/ng mL−1) are the intercept and slope of the calibration curve, respectively. https://doi.org/10.5194/amt-14-4707-2021 Atmos. Meas. Tech., 14, 4707–4719, 2021 4710 Y. Yang et al.: A method for measuring iron and copper in aerosols Figure 1. Schematic of the experimental procedures for the measurement of water-soluble (blue line) and total (red line) Fe and Cu. The upper schematic shows the processes common to both methods. The sample vial from this process is then analyzed for Fe or Cu via the process illustrated in the bottom schematic. In the bottom schematic the process for Fe (yellow line) or Cu (green line) is given. The black line is common to both the WS and total measurement (in the upper schematic) or common to both the Fe and Cu measurement (in the lower schematic). X refers to the liquid samples used to assess the interference of other light-absorbing species at 562 or 484 nm (purple line). 4710 Y. Yang et al.: A method for measuring iron and copper in aerosols Figure 1. Schematic of the experimental procedures for the measurement of water-soluble (blue line) and total (red line) Fe and Cu. The upper schematic shows the processes common to both methods. The sample vial from this process is then analyzed for Fe or Cu via the process illustrated in the bottom schematic. In the bottom schematic the process for Fe (yellow line) or Cu (green line) is given. The black line is common to both the WS and total measurement (in the upper schematic) or common to both the Fe and Cu measurement (in the lower schematic). X refers to the liquid samples used to assess the interference of other light-absorbing species at 562 or 484 nm (purple line). Y. Yang et al.: A method for measuring iron and copper in aerosols 4710 Fi 1 S h i f h i l d f h f l bl (bl li ) d l ( d li ) F d C Th Figure 1. Schematic of the experimental procedures for the measurement of water-soluble (blue line) and total (red line) Fe and Cu. The upper schematic shows the processes common to both methods. The sample vial from this process is then analyzed for Fe or Cu via the process illustrated in the bottom schematic. In the bottom schematic the process for Fe (yellow line) or Cu (green line) is given. https://doi.org/10.5194/amt-14-4707-2021 The black line is common to both the WS and total measurement (in the upper schematic) or common to both the Fe and Cu measurement (in the lower schematic). X refers to the liquid samples used to assess the interference of other light-absorbing species at 562 or 484 nm (purple line). sedimental standards and > 98 % of Fe from standard rocks and inner-shelf muds (Poulton and Canfield, 2005). The ef- fect of extraction time, heating temperature and rotation rate on extraction efficiency were tested and are discussed below. The extract was diluted to 10 mL (Ve) using DI and then fil- tered by a 0.45 µm pore PTFE syringe filter. The volume of the sample extract used for the measurement (Vs) differed between samples and was determined by the ambient con- centration of each sample. The pH of the sample extract was adjusted to 1 using 5 M NaOH, and the sample volume was adjusted to 2.5 mL with DI water. The soluble metal fraction may be affected by the degree of dilution of the samples in the extraction process. The ra- tio of extraction water volume to the volume of air sampled on the analyzed filter portion, denoted as P, is ∼0.5 in this study. This implies that Fe- and Cu-containing substances with solubility higher than roughly 10−3 g L−1 under condi- tions close to neutral pH will likely be fully dissolved, while species with water solubility as low as 10−6 g L−1 may be partially soluble but still contribute to the WS Fe and WS Cu measured with our method. Details of the effect of P on Fe or Cu solubility are discussed in the Supplement. A total of 10 blank filters were collected throughout the 1 year of sampling, and these were used randomly to assess the blank levels (i.e., multiple punches were taken from the blank filters for a blank analysis on different days). The same tools and type of filter were used for blanks and samples to track all possible contamination. The concentration of blanks was calculated using Eq. (1), assuming Va was equal to the volume of air drawn through actual ambient filter samples. 2.5.1 Colorimetric method for Fe The colorimetric methods can provide insights on the forms of metal ions present, such as Fe(II) and Fe(III), or Cu(I) and Cu(II), for example by first measuring the re- duced species, Fe(II) or Cu(I), then adding the reducing agent to measure the total (Fe(II)+Fe(III) or Cu(I)+Cu(II)). We do not attempt to speciate the WS Fe and WS Cu in this study since reduction–oxidation processes during the sam- pling, storage or extraction procedures may alter the valence states of airborne metals from what existed in the ambient particles. In situ measurements of Fe(II) are feasible using this colorimetric method when connected to a PILS or similar system (Oakes et al., 2010; Rastogi et al., 2009). It is not fea- sible to perform near-real-time measurements of Fe(III) due to its long reduction reaction time (overnight). Quantifying speciation of Cu is challenging due to the tendency of Cu(I) to undergo disproportionation in aqueous solutions (Johnson et al., 2015). In situ measurements of Cu(I) are possible with the presence of reducing agents and masking ligand to inhibit Cu(II) interference (Moffett et al., 1985), but further studies are necessary to achieve an acceptable detection limit. A ferrozine-based method, which has been previously es- tablished and discussed (Oakes et al., 2010; Rastogi et al., 2009), was adopted and modified in this study for Fe mea- surement. Briefly, an excessive amount of reducing agent, hydroxylamine hydrochloride (0.1 mL, 1.5 M), was added to 2.5 mL (Vs) of sample solution to reduce all soluble forms of Fe (e.g., Fe(III)) to Fe(II). The vial was sealed and stored overnight (roughly 18 h) at room temperature to ensure com- plete reduction (Bengtsson et al., 2002; Rozan et al., 2002). After the overnight redox reaction, the sample pH was ad- justed to 4–5 using an ammonium acetate buffer. A total of 0.2 mL of 5 mM ferrozine–acetate reagent was added to the solution to form the colored ferrozine–Fe(II) complex that absorbs light at 562 nm. The total volume of sample solution after addition of all the chemicals (Vl) was 2.85 mL. The reaction between Fe(II) and ferrozine is found to be pH-dependent; the absorption of the complex increases rapidly when pH is above 0 and becomes steady within the pH range of 3 to 6 (Gibbs, 1976; Stookey, 1970). 2.5.1 Colorimetric method for Fe Under the conditions of the original method, when the pH of the sample was approximately 1, the absorbance of the complex was sensitive to small fluctuations in pH, adding uncertainty to the analysis. A further disadvantage is that at lower pH (pH = 1), the reaction rate of Fe(II) and ferrozine was much slower relative to higher pH (3 to 5). Therefore, we tested a modification to the method by raising the pH of the sample to 4–5 during the colorimetric reaction using ammonium ac- etate buffer to increase the precision of the Fe measurement (Fig. 1). Part of the WS Fe samples was analyzed both ways, with low and higher pH, whereas all total Fe measurements were done with the buffered (higher pH) samples. 2.6 Metal analysis by ICP-MS Both total and water-soluble elements, which included mag- nesium (Mg), aluminum (Al), potassium (K), manganese (Mn) and zinc (Zn) in addition to Fe and Cu, were also measured by inductively coupled plasma mass spectrometry (ICP-MS) (Agilent 7500a series, Agilent Technologies, Inc., CA, USA). The sample preparation procedures have been de- scribed in detail in Gao et al. (2020a). The sample prepa- ration for WS metal analysis followed the same extraction procedures as those described above for WS Fe and Cu. The filtered extract was then acid-preserved with concentrated ni- tric acid (70 %) to a final concentration of 2 % (v/v). For total metal analysis, aqua regia, a more powerful acid than HCl, was used for filter digestion. The acid-digested sample was then diluted and filtered for ICP-MS analysis. Y. Yang et al.: A method for measuring iron and copper in aerosols 1 mL of 2.8 mM bathocuproine (Vl = 5.05 mL). After 15 min of reaction, the light absorption of the bathocuproine–Cu(I) complex was measured. 2.5.2 Colorimetric method for Cu For the determination of Cu concentrations, a bathocuproine assay was used. Bathocuproine can selectively chelate with Cu(I) and form complexes absorbing light at 464 nm. To con- vert other soluble Cu forms (e.g., Cu(II)) to Cu(I), 0.5 mL of 1.6 M hydroxylamine hydrochloride was added to 2.5 mL (Va) sample extracts at pH 1 (as described above) and al- lowed to react for 30 min (Imamura and Fujimoto, 1975; Tomat and Rigo, 1975). The reaction between Cu(I) and bathocuproine is also pH-dependent, and so a set of con- trolled trials were performed with different pH conditions ranging from 0.5 to 6 to assess the optimal pH for forming the colored complex (Fig. S1 in the Supplement). The light absorption of the complex remained low at pH < 1.5 and ex- hibited a rapid increase above pH 2 and became steady when pH was within the range of 5 to 6. Based on these results, 1 mL of 1 M sodium citrate was added to the sample solution to maintain the pH within the range of 5 to 6, followed by 2.4.2 Extraction for total metal analysis The extraction procedures for the determination of total Fe and Cu (shown in Fig. 1) follow the method conducted by Aller et al. (1986). To increase the solubility of metals, fil- ter punches (1.5 cm2 for Fe and 3 cm2 for Cu) were digested with 1.5 and 2 mL of 6 M HCl for total Fe and Cu mea- surements, respectively. The filter was incubated in acid at 99 ◦C and shaken at a rotational frequency of 350 rpm using a ThermoMixer (Eppendorf North America, Inc., Hauppauge, NY, USA) for 24 h. This extraction method has been demon- strated to remove > 96 % of Fe from the PACS1 international https://doi.org/10.5194/amt-14-4707-2021 Atmos. Meas. Tech., 14, 4707–4719, 2021 4711 3.1.2 Blanks, detection limit and uncertainty Field blanks were analyzed on each test day in parallel with samples to assess the overall system background. The limits of detection (LODs) of the spectroscopic systems, determined as 3 times the standard deviation of the filter blanks, were 3.07 ng m−3 (N = 34) for WS Fe, 14.79 ng m−3 (N = 6) for total Fe, 3.04 ng m−3 (N = 29) for WS Cu and 3.23 ng m−3 (N = 6) for total Cu. The detection limits in the solutions were 2.07 ppb for WS Fe, 2.05 ppb for WS Cu, 7.00 ppb for total Fe and 3.06 ppb for total Cu. The over- all uncertainties in the sampling system ranged from 7 % to 14 %, calculated from the combination of the analytical un- certainty, uncertainty in blank measurements and quadrature sum of the square of various relative uncertainties (such as uncertainties caused by calibrations, blank filters, flow rates, liquid extract volumes, etc.). The detection limits and uncer- tainties were comparable to the measurement using ICP-MS, indicating that the LWCC has an equally good performance as ICP-MS, especially for the WS Fe measurement. A sum- mary of LODs, blanks and uncertainty are shown in Table 1. We also used a series of metal mixtures, which contained different levels of Fe, Cu, Co and Mn, to test the possible interferences from the formation of colored complexes with other metals. For the Cu measurement, no interference from Fe, Co or Mn was observed with up to 100 ppb of mixture of Fe, Co and Mn present. Similarly, Co or Mn did not inter- fere with the Fe measurement with Co or Mn concentrations in the liquid up to 100 ppb. Cu had an interference of less than 2 ppb in the Fe measurement with a Cu concentration in the liquid up to 40 ppb. In this study, the liquid concentra- tions of Cu from ambient samples were lower than 40 ppb; therefore, there was no interference of other metals in Cu or Fe measurements for the colorimetric methods. All mea- surements for ambient samples in this study were blank and interference-corrected. Y. Yang et al.: A method for measuring iron and copper in aerosols The slopes of calibra- tion curves from multiple calibration runs were 0.033±0.004 for Cu (coefficient of variation, CV = 12 %, N = 22) and 0.053 ± 0.005 for Fe (CV = 9 %, N = 5), indicating the sta- ble performance of the systems. Repeated measurements (N = 20) of a 35 µgL−1 standard solution had a relative stan- dard deviation for both Cu and Fe of < 10 %. These results indicated good precision and the robustness of this method for quantifying both Cu and Fe. ficient of determination (R2) of 1.00. The slopes of calibra- tion curves from multiple calibration runs were 0.033±0.004 for Cu (coefficient of variation, CV = 12 %, N = 22) and 0.053 ± 0.005 for Fe (CV = 9 %, N = 5), indicating the sta- ble performance of the systems. Repeated measurements (N = 20) of a 35 µgL−1 standard solution had a relative stan- dard deviation for both Cu and Fe of < 10 %. These results indicated good precision and the robustness of this method for quantifying both Cu and Fe. Y. Yang et al.: A method for measuring iron and copper in aerosols 4712 Table 1. Limits of detection, blanks and uncertainties for WS Fe, WS Cu and total Cu for the liquid spectrophotometric (LWCC) and ICP-MS measurement. cles are collected as part of the blank measurement. To as- sess the interference, the light absorption at 484 or 562 nm of the individual liquid samples was measured without adding the colorimetric reagents (see X in Fig. 1). The interference was measured for the ambient samples collected in this study and in an extreme case (sampling wildfire smoke). By com- paring the interference-corrected and non-corrected data, it is found that the average interference was less than 20 % for WS Fe and 1 % for total Fe. For total and WS Cu, a correc- tion of about 24 % and 30 % was found, respectively. For the extreme case, samples from within wildfire plumes, for WS Cu an average correction of 50 % was needed (see Fig. S2). The impact of this correction also depends on the concen- trations of the Fe or Cu, which in smoke plumes can be at low concentrations relative to a high level of light-absorbing aerosol species (i.e., BC and BrC), and so the correction, in this case, is important. The magnitude of the interference also depends on the extraction method; methods that more effec- tively extract solid particles (e.g., BC) or solubilize light- absorbing species at low pH (e.g., mineral dust) could pro- duce higher interferences. Black carbon absorbs light over all wavelengths, whereas BrC and mineral dust absorb pref- erentially at lower wavelengths and so would be a potentially larger interference for the Cu method since the Cu complex is measured at 484 nm compared to 562 nm for Fe. Since in- complete combustion is the main source for BC and BrC, tests for this interference are most important when these types of emissions make a large contribution to the overall aerosol sources, such as sampling in regions highly influ- enced by biomass burning or vehicle tailpipe emissions. In- terference from light-absorbing mineral dust species is most likely when sampling under dry conditions and high winds. LWCC ICP-MS LOD, Overall LOD, Overall ng m−3 uncertainty, ng m−3 uncertainty, % % WS Fe 3.07 12.5 4.38 18.0 WS Cu 3.04 13.8 2.86 6.3 Total Fe 14.79 7.2 14.80 7.2 Total Cu 3.23 9.9 9.67 6.3 ficient of determination (R2) of 1.00. 3.1.1 Calibration of the detection methods The analytical systems were calibrated and assessed with a series of standards diluted from the standard stocks of Cu(II) and Fe(III). The calibration curves for the reduced form of metals (Cu(I) and Fe(II)) are illustrated in Fig. 2. York regression (Wu and Yu, 2018) was applied and demon- strated a strong linear relationship between the element con- centrations and the detected light absorbance with a coef- https://doi.org/10.5194/amt-14-4707-2021 Atmos. Meas. Tech., 14, 4707–4719, 2021 Y. Yang et al.: A method for measuring iron and copper in aerosols 4713 Figure 2. Calibration curves for (a) Fe(II) and (b) Cu(I) measurement by the LWCC system. Results of York regression are shown. Figure 2. Calibration curves for (a) Fe(II) and (b) Cu(I) measurement by the LWCC system. Results of York regression are shown. LWCC system on all collected filters (N = 355), but only a portion of the 355 filters were used for the measurement of total Fe and total Cu using the same LWCC system (Fe: N = 23, Cu: N = 21). All filters (N = 355) were used for the ICP-MS measurements of both WS and total elements. (with N = 3 filters for each condition). It was found that for total Fe extraction, there was a 5 % decrease when the extrac- tion time was shortened from 24 to 2.5 h and a 5 % increase when extraction time was increased from 24 to 120 h. For Cu, the concentration decreased by 15 % when the extrac- tion time was changed from 24 to 2.5 h and decreased by 5 % when the extraction time was extended to 120 h. An extrac- tion time of 24 h was concluded to be optimal for both Fe and Cu. Extract temperature had a small impact, with a 5 % and 10 % decrease for Fe and Cu extraction, respectively, when the temperature decreased from 99 to 50 ◦C. The rotational shaking was found to significantly affect the extraction effi- ciency. Compared to shaking at a rate of 350 rpm, extraction without rotational shaking reduced the extraction efficiency by 98 % and 89 % for Fe and Cu, respectively. Water-soluble Fe and Cu. Regression analysis between the colorimetric methods and ICP-MS measurements showed good quantitative agreement for WS Fe and WS Cu with R2 greater than 0.89. The differences between the LWCC- and ICP-MS-measured concentrations were 6 % and 12 % for WS Fe and WS Cu (Fig. 3a and c) with the offsets (in- tercepts) less than 1 ng m−3. Considering measurement un- certainty, most points overlap the 1 : 1 line except for sev- eral WS Fe measurements. The difference in WS Fe between these two methods was possibly due to the acidic conditions (pH ∼1) of the colored-complex-forming solution used in the original approach of the colorimetric method. Y. Yang et al.: A method for measuring iron and copper in aerosols As noted above, to improve the method, some of the samples (N = 69) were re-analyzed with sample pH adjusted to 4–5, which resulted in a higher correlation with the ICP-MS measure- ment, consistent with less sensitivity of the complex to pH when in the higher pH range (r2 = 0.92, slope 1.02, intercept −0.42 ng m−3) (Fig. 4). Considering the overall uncertainties in these two methods, the LWCC and ICP-MS measurements of the water-soluble metals were in agreement. 3.1.4 Comparison to ICP-MS measurements and influence of experimental conditions In the spectrophotometric method, species in ambient aerosol particles, such as black carbon (BC, or also called refrac- tory BC), light-absorbing organic species (i.e., brown car- bon, BrC) or inorganic species (i.e., components of mineral dust), can also absorb light at 482 or 562 nm, potentially re- sulting in measurement interference. However, these inter- ferences are not accounted for in the blanks since no parti- To further evaluate the accuracy of the new detection method, the concentrations determined by the colorimetric methods were compared to ICP-MS measurements. WS Fe and WS Cu were measured with the colorimetric methods using the Atmos. Meas. Tech., 14, 4707–4719, 2021 https://doi.org/10.5194/amt-14-4707-2021 Y. Yang et al.: A method for measuring iron and copper in aerosols 4714 Y. Yang et al.: A method for measuring iron and copper in aeroso Figure 3. Comparison between LWCC method and ICP-MS method for (a) WS Fe, (b) total Fe, (c) WS Cu and (d) total Cu (results of York regression are shown along with 1 : 1 ratio by the black line). Bars represent the uncertainties in measurements. Figure 3. Comparison between LWCC method and ICP-MS method for (a) WS Fe, (b) total Fe, (c) WS Cu and (d) total Cu (results of York regression are shown along with 1 : 1 ratio by the black line). Bars represent the uncertainties in measurements. N = 21). These concentrations were comparable with a pre- vious study conducted in Atlanta, GA, and in the range re- ported for many other regions globally (Table 3). trations through 30 000 Da ultrafiltration were significantly higher than those through a 0.45 µm filter were removed. The size fractionation results are given in Fig. 5. Based on me- dians of all ultrafiltration data, approximately 84 % of the WS Fe had a nominal diameter smaller than 4 nm, passing through the 30 000 Da filter; 61 % of the WS Fe was nomi- nally smaller than 2 nm in diameter, which passed through the 3000 Da filter. The fractions for the sizes in between were calculated by taking the difference, and a rough dis- tribution of Fe in the overall WS Fe was 61 % smaller than 2 nm, 23 % between 2 and 4 nm, and 16 % between 4 nm and 0.45 µm. For WS Cu, most (84 %) of WS Cu passed through the 3000 Da filter and had a nominal diameter less than 2 nm, with 4 % between 2 and 4 nm and 15 % between 4 nm and 0.45 µm. As expected the total Fe concentration was much higher than total Cu since Fe is a common element in the Earth’s crust (mass fraction of iron is 5.63 %) (Tomaszewski, 2017) and ubiquitous in mineral dust, while PM2.5 Cu in urban environments is mainly derived from vehicle brake and tire wear and tailpipe emissions resulting from motor-oil impuri- ties; both of these sources are associated with traffic (Fang et al., 2015; Marcazzan et al., 2003). Other industrial sources of PM2.5 Cu are also possible. Y. Yang et al.: A method for measuring iron and copper in aerosols Despite much higher total con- centrations, the concentrations of WS Fe were comparable with WS Cu. This is due to a much lower solubility of Fe than Cu. The average soluble fraction of Fe and Cu is 14.6 % and 50.7 %, respectively (Table 2). The 2 to 4 nm fraction of Fe colloidal particles (23 %) was higher than that found in WS Cu (4 %, which was practically zero). Laboratory studies find that ambient particles under- going pH cycling from low pH (∼2) in deliquesced particles to circumneutral pH of 5 to 6 when activated in cloud drops lead to the formation of nanoparticles of highly reactive fer- rihydrite of a few nanometers in diameter (∼5 nm) (Shi et al., 2011). The pH of the bulk PM2.5 aerosol in this region is 3.2.1 Water-soluble, total and fractional solubility The annual average concentrations of total Fe measured by ICP-MS and WS Fe measured by the LWCC was 203.7 and 20.2 ng m−3, respectively. Mass concentrations of WS Fe spanned a wide range, from the detection limit (3.07 ng m−3) to 169 ng m−3. The average concentrations of total Cu and WS Cu were 30.7 and 13.8 ng m−3, respectively. Mass concentration of WS Cu ranged from the detection limit (3.04 ng m−3) to 132 ng m−3. Due to uncertainties in both water-soluble and total measurements, a few calculated Cu solubilities were higher than 1 and were treated as 1 when calculating the average fraction of Cu. Those solubilities when total or WS concentrations were blank were estimated using half of the detection limit of the total or WS concentra- tion. Tables 2 and S4 in the Supplement provide a more com- plete summary. The statistics of the LWCC measurement and ICP-MS measurement of total metals were different since only a fraction of all the 2017 filter samples were analyzed for total metals using the LWCC system (Fe: N = 23, Cu: Total Fe and Cu. Similar results were found between the LWCC and ICP-MS methods for the measurement of total element concentration. For total Fe, York regression between the LWCC and ICP-MS yields a slope of 1.07, with an in- tercept of 3.09 ng m−3 and r2 = 0.97; see Fig. 3b. For Cu, the slope was 0.96, intercept = −1.86 ng m−3 and r2 = 0.95 (Fig. 3d). As noted, in the colorimetric method description above, the filters for the total Fe and total Cu analysis were ex- tracted for a 24 h period with the assistance of shaking and high temperature. The effect of extraction time, heating tem- perature and rotation rate on extraction efficiency was tested https://doi.org/10.5194/amt-14-4707-2021 Atmos. Meas. Tech., 14, 4707–4719, 2021 Y. Yang et al.: A method for measuring iron and copper in aerosols (2014). c Canepari et al. (2014). d Olson et al. (2008). e Hagler et al. (2007). f Kulshrestha et al. (2009). g Based on ICP-MS measurement. h Based on LWCC measurement Figure 4. Comparison between LWCC method and ICP-MS method for WS Fe with pH adjustment of the light-absorbing sam- ple. The blue points and line represent the original method without ammonium acetate and with pH of ∼1. The red points and line re- fer to the improved method with ammonium acetate and with pH of 4 to 5 (results of York regression are shown). estimated to be in the range of 1.63 to 2.31 (25th and 75th percentiles throughout the year; Wong et al., 2020), which would rise rapidly to pH between 5 and 7 in the extraction solution (based on measurements). Rapid increase to circum- neutral pH leads to a supersaturated soluble Fe(III), which then precipitates out of the solution. Thus, either from pH cycling experienced by the ambient aerosol or changes due to the filter extraction process, the colloidal particles of WS Fe observed in the 2 to 4 nm range are consistent with the ferrihydrite reported by Shi et al. (2011). Acid-driven sol- ubility of Cu occurs rapidly at higher pHs and so may not reach supersaturation like that of Fe when pH increases to circumneutral, accounting for the lack of colloidal particles in the nominal 2 to 4 nm size range of WS Cu. For both Fe and Cu, the fraction of Fe and Cu in the 4 nm to 0.45 µm range may be insoluble chemical forms from pri- mary emissions, like metal oxides that had been extracted from the filter and had passed through the syringe filter, mak- ing them not a “true” water-soluble species (i.e., not unique from the insoluble fraction). More research needs to be done to determine what caused the variability in the various frac- tions separated by ultrafiltration and to characterize the forms of the metals in the various size fractions of what we opera- tionally define as overall water-soluble metal. These results have implications for aerosol toxicity and health effects. Figure 4. Comparison between LWCC method and ICP-MS method for WS Fe with pH adjustment of the light-absorbing sam- ple. The blue points and line represent the original method without ammonium acetate and with pH of ∼1. 3.2.2 Components of water-soluble Fe and Cu based on ultrafiltration Ultrafiltration of WS Fe and WS Cu was used to assess contributions of colloidal particles to the concentrations of water-soluble metals. The data of the samples whose concen- Atmos. Meas. Tech., 14, 4707–4719, 2021 https://doi.org/10.5194/amt-14-4707-2021 Y. Yang et al.: A method for measuring iron and copper in aerosols 4715 Table 2. Statistical summary of transition metal concentrations in PM2.5 measured in Atlanta in 2017 based on liquid spectrophotometric (LWCC) measurement. Total Fe Total Cu WS Fe WS Cu Fe solubility Cu solubility (N = 23) (N = 21) (N = 355) (N = 355) (N = 23) (N = 21) Mean (ng m−3) 478.9 61.8 20.2 13.8 14.6 % 45.6 % Median (ng m−3) 388.4 45.4 11.4 10.8 16.3 % 44.0 % Maximum (ng m−3) 1535.2 247.1 169.3 131.5 32.5 % > 100 % Minimum (ng m−3) 22.1 4.4 < LOD < LOD 0.2 % 3.3 % RSD 0.76 0.87 1.25 0.98 0.76 0.82 Table 3. Concentration of PM2.5 particulates (µgm−3) and transition metals (ng m−3) in the ambient air of urban and suburban areas in different parts of the world. Table 2. Statistical summary of transition metal concentrations in PM2.5 measured in Atlanta in 2017 based on liquid spectrophotometric (LWCC) measurement. ble 2. Statistical summary of transition metal concentrations in PM2.5 measured in Atlanta in 2017 based on WCC) measurement. nsition metal concentrations in PM2.5 measured in Atlanta in 2017 based on liquid spectrophotometric Table 2. Statistical summary of transition metal concentrations in PM2.5 measured in Atlanta in 2017 based on liquid spectrophotometric (LWCC) measurement. tration of PM2.5 particulates (µgm−3) and transition metals (ng m−3) in the ambient air of urban and subu the world. ion of PM2.5 particulates (µgm−3) and transition metals (ng m−3) in the ambient air of urban and suburban ld particulates (µgm−3) and transition metals (ng m−3) in the ambient air of urban and suburban areas in Table 3. Concentration of PM2.5 particulates (µgm−3) and transition metals (ng m−3) in the ambient air of urban and suburban areas in different parts of the world. PM2.5 mass Total Fe WS Fe Total Cu WS Cu Present study, Atlanta (USA) 10.4 203.7g 20.2h 30.7g 13.8h Previous study, Atlanta (USA)a 21.1 13.8 Patras (Greece)b 17.4 124 11.9 7.28 2.67 Megalopolis (Greece)b 23.0 87 8.51 4.02 0.94 Po Valley (Italy)c 103 4.7 Tampa (USA)d 12.7 790 2.4 Hong Kong (China)e 29 160 15 Agra (India)f 104.9 1900 200 a Fang et al. (2015). b Manousakas et al. (2014). c Canepari et al. (2014). d Olson et al. (2008). e Hagler et al. (2007). f Kulshrestha et al. (2009). g Based on ICP-MS measurement. h Based on LWCC measurement a Fang et al. (2015). b Manousakas et al. Y. Yang et al.: A method for measuring iron and copper in aerosols The red points and line re- fer to the improved method with ammonium acetate and with pH of 4 to 5 (results of York regression are shown). https://doi.org/10.5194/amt-14-4707-2021 Atmos. Meas. Tech., 14, 4707–4719, 2021 Y. Yang et al.: A method for measuring iron and copper in aerosols Concentrations in differ- ent size ranges were determined by difference (statistics calculated on the differences). Figure 5. Components of PM2.5 (a) Fe and (b) Cu. Water-soluble (WS) species are operationally defined by samples that pass through a 0.45 µm pore syringe filter (shown in light blue). Water-insoluble (WI) species are defined by the difference in all (total) species of that metal and WS species (shown in dark blue). WS Fe (a) and WS Cu (b) concentrations were further separated in ultrafiltration via 30 000 or 3000 Da ultrafiltration filters (roughly corresponding to particle sizes of 4 and 2 nm, respectively). Concentrations in differ- ent size ranges were determined by difference (statistics calculated on the differences). Data availability. The data used in this paper are publicly available at https://doi.org/10.5281/zenodo.4927503 (yhyang611, 2021) and can also be obtained from the corresponding author upon request. Supplement. The supplement related to this article is available on- line at: https://doi.org/10.5194/amt-14-4707-2021-supplement. Author contributions. YY is responsible for the study design, ex- periment using the LWCC, data analysis and manuscript writing. RJW supervised the study and participated in the writing and revi- sion of the paper. DG provided ICP-MS data and interpretation of the results. Y. Yang et al.: A method for measuring iron and copper in aerosols 4716 total Cu) the spectrophotometry data were in good agreement (slopes ranged between 0.88 and 1.07 and r2 > 0.89). Figure 5. Components of PM2.5 (a) Fe and (b) Cu. Water-soluble (WS) species are operationally defined by samples that pass through a 0.45 µm pore syringe filter (shown in light blue). Water-insoluble (WI) species are defined by the difference in all (total) species of that metal and WS species (shown in dark blue). WS Fe (a) and WS Cu (b) concentrations were further separated in ultrafiltration via 30 000 or 3000 Da ultrafiltration filters (roughly corresponding to particle sizes of 4 and 2 nm, respectively). Concentrations in differ- ent size ranges were determined by difference (statistics calculated on the differences). In Atlanta, total Fe concentration was much higher than to- tal Cu, whereas the level of WS Fe was comparable with WS Cu due to a higher soluble fraction of PM2.5 Cu (45.6 %) compared to Fe (14.6 %). The composition of what is op- erationally defined as WS Fe and WS Cu (i.e., the aerosol filter extracted in pure water and extract passed through a 0.45 µm pore liquid filter) was investigated with ultrafiltra- tion Fe and Cu in the filtrate measured with the spectrophoto- metric (LWCC) method. Ultrafiltration showed that roughly 84 % of both WS Fe and WS Cu was composed of dissolved species or colloidal particles smaller than nominally 4 nm di- ameter. Fe and Cu are two important redox-active metals that have been linked to reactive oxygen species (ROSs) formed in vivo and lead to adverse health effects through oxidative stress. These spectrophotometric methods allow analyses of the various physical forms of Fe and Cu in ambient aerosol particles and are directly applicable to aerosol toxicity stud- ies and their contribution to aerosol oxidative potential (OP). Figure 5. Components of PM2.5 (a) Fe and (b) Cu. Water-soluble (WS) species are operationally defined by samples that pass through a 0.45 µm pore syringe filter (shown in light blue). Water-insoluble (WI) species are defined by the difference in all (total) species of that metal and WS species (shown in dark blue). WS Fe (a) and WS Cu (b) concentrations were further separated in ultrafiltration via 30 000 or 3000 Da ultrafiltration filters (roughly corresponding to particle sizes of 4 and 2 nm, respectively). References trometry: Application to monitoring episodic industrial emission events, Anal. Chim. Acta, 686, 40–49, 2011. 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Part II: concentration and solubility of micro- and trace-elements, Environ. Sci. Pollut. Res., 21, 4010–4022, 2014. Gonet, T. and Maher, B. A.: Airborne, vehicle-derived Fe-bearing nanoparticles in the urban environment: A review, Environ. Sci. Technol., 53, 9970–9991, 2019. Hagler, G. S. W., Bergin, M. H., Salmon, L. G., Yu, J. Z., Wan, E. C. H., Zheng, M., Zeng, L. M., Kiang, C. S., Zhang, Y. H., and Schauer, J. J.: Local and regional anthropogenic influence on PM2.5 elements in Hong Kong, Atmos. Environ., 41, 5994– 6004, 2007. 4 Conclusion In this study, a new approach for the measurement of WS Cu and total Cu has been developed and tested based on liq- uid spectrophotometry. It follows a similar method for quan- tifying WS Fe. All measurements can be performed with a single relatively inexpensive spectrophotometer. Utilizing daily PM2.5 filters collected in Atlanta during 2017, the spec- trophotometer methods were assessed by comparing with elements measured by ICP-MS on the same ambient filter samples. Calibrations with liquid standards produced by se- rial dilutions were highly linear and stable over periods of days. The spectrophotometric method detection limits in this study were 3.07 ng m−3 for WS Fe, 14.8 ng m−3 for total Fe, 3.04 ng m−3 for WS Cu and 3.23 ng m−3 for total Cu, with measurement uncertainties ranging from 7 % to 14 %. The detection limit and uncertainties are comparable to ICP- MS measurement. Possible interferences from other light- absorbing species, such as black and brown carbon, should be considered, especially for the Cu measurement and in sit- uations where emissions of light-absorbing aerosols are high (e.g., BC, BrC, mineral dust). From comparisons with ICP- MS measurements, in all cases (WS Fe, total Fe, WS Cu and Competing interests. The authors declare that they have no conflict of interest. Acknowledgements. The authors acknowledge funding by the Phillips 66 company. Thanks are given to Linghan Zeng for his kind guidance in the experiment and many interesting discussions about data analysis. We would also like to thank Allison Weber for her help in conducting the IC measurements. Financial support. This research has been supported by the Phillips 66 Company (grant no. AGR DTD 10/05/2020). Review statement. This paper was edited by Mingjin Tang and re- viewed by two anonymous referees. Atmos. Meas. Tech., 14, 4707–4719, 2021 https://doi.org/10.5194/amt-14-4707-2021 https://doi.org/10.5194/amt-14-4707-2021 Y. Yang et al.: A method for measuring iron and copper in aerosols 4717 https://doi.org/10.5194/amt-14-4707-2021 Y. 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Functional conservation of specialized ribosomes bearing genome-encoded variant rRNAs in Vibrio species
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Functional conservation of specialized ribosomes bearing genome-encoded variant rRNAs in Vibrio species Younkyung Choi1☯, Eunkyoung Shin1☯, Minho Lee2, Ji-Hyun Yeom1, Kangseok LeeID1* Younkyung Choi1☯, Eunkyoung Shin1☯, Minho Lee2, Ji-Hyun Yeom1, Kangseok LeeID1* 1 Department of Life Science, Chung-Ang University, Seoul, Republic of Korea, 2 Department of Microbiology, College of Medicine, Hallym University, Chuncheon, Republic of Korea 1 Department of Life Science, Chung-Ang University, Seoul, Republic of Korea, 2 Department of Microbiology, College of Medicine, Hallym University, Chuncheon, Republic of Korea ☯These authors contributed equally to this work. * kangseok@cau.ac.kr a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 PLOS ONE PLOS ONE RESEARCH ARTICLE a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 Editor: Bashir Sajo Mienda, Federal University Dutse, NIGERIA Received: May 12, 2023 Accepted: July 10, 2023 Published: December 5, 2023 heterogeneity in gene expression control by preferential translation of specific mRNAs, pro- viding another layer of specialized ribosome system. Copyright: © 2023 Choi 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: Choi Y, Shin E, Lee M, Yeom J-H, Lee K (2023) Functional conservation of specialized ribosomes bearing genome-encoded variant rRNAs in Vibrio species. PLoS ONE 18(12): e0289072. https://doi.org/10.1371/journal. pone.0289072 Editor: Bashir Sajo Mienda, Federal University Dutse, NIGERIA Abstract Heterogeneity of ribosomal RNA (rRNA) sequences has recently emerged as a mechanism that can lead to subpopulations of specialized ribosomes. Our previous study showed that ribosomes containing highly divergent rRNAs expressed from the rrnI operon (I-ribosomes) can preferentially translate a subset of mRNAs such as hspA and tpiA in the Vibrio vulnificus CMCP6 strain. Here, we explored the functional conservation of I-ribosomes across Vibrio species. Exogenous expression of the rrnI operon in another V. vulnificus strain, MO6-24/O, and in another Vibrio species, V. fischeri (strain MJ11), decreased heat shock susceptibility by upregulating HspA expression. In addition, we provide direct evidence for the preferential synthesis of HspA by I-ribosomes in the V. vulnificus MO6-24/O strain. Furthermore, exoge- nous expression of rrnI in V. vulnificus MO6-24/O cells led to higher mortality of infected mice when compared to the wild-type (WT) strain and a strain expressing exogenous rrnG, a redundant rRNA gene in the V. vulnificus CMCP6 strain. Our findings suggest that special- ized ribosomes bearing heterogeneous rRNAs play a conserved role in translational regula- tion among Vibrio species. This study shows the functional importance of rRNA heterogeneity in gene expression control by preferential translation of specific mRNAs, pro- viding another layer of specialized ribosome system. Bacterial culture conditions All bacterial strains and plasmids used in this study are listed in S1 Table. Vibrio strains were grown at 30–45˚C in LBS (Luria-Bertani [LB] medium containing NaCl at a final concentra- tion of 2.5% [w/v]) under aerobic conditions. E. coli strains were grown in LB medium at 37˚C. To express rrnI or rrnG exogenously, the pRK415-rrnI or pRK415-rrnG plasmid was conjugated into the Vibrio strains [18, 19]. Animals 7-week-old female ICR mice were kept under a 12:12 hours light/dark cycle, constant tempera- ture of 25˚C, 50% humidity, and allowed free access to water and a standard diet. Mouse body weight was monitored twice a week. Mice were acclimatized to the new environment for a few weeks before any experimental procedure. Ethics statement All animal experiments were performed in accordance with the national guidelines for the use of animals in scientific research. The protocol was approved by Chung-Ang University Sup- port Center (Approval No. CAU2012-0044). Per protocol, mice were sacrificed by using 100% CO2 followed by cervical dislocation if mice developed tumors greater than 1.8 cm in diameter, or if the mice showed any signs of persistent morbidity such as loss in weight greater than 20%, lethargy, unwillingness to ambulate, hunched posturing and ruffled fur. No invasive pro- cedures likely to produce moderate to severe pain were performed. All efforts were made to minimize possible pain and suffering for mice during irradiation, monitoring, and euthanasia. Introduction Data Availability Statement: All relevant data are within the paper and its Supporting Information files. Recent growing evidence suggests that ribosomes are much more complex and heterogeneous macromolecules than previously thought [1–5]. Ribosome heterogeneity, caused by composi- tional changes such as divergent rRNAs, ribosomal proteins, ribosome-associated factors, or modifications of these factors, is found within species across various organisms. These subpop- ulations of ribosome variants are proposed to have specialized functions in regulating many biological processes—such as stress response, differentiation, and development—through the preferential translation of a specific subset of mRNAs [6–10]. Ribosomal heterogeneity due to variations in rRNA sequences has been observed in various organisms over several decades Funding: This research was supported by the National Research Foundation of Korea in the form of grants to KL [2021R1A2C3008934; 2018R1A5A1025077], ES [2021R1I1A1A01058183], J-HY [2021R1I1A1A01056162], and ML [RS-2023- 00210754]. PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 1 / 13 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Competing interests: The authors have declared that no competing interests exist. Competing interests: The authors have declared that no competing interests exist. [11–14]. These genome-encoded heterogeneous rRNAs have been implicated in cellular devel- opment and adaptation to environmental changes. For instance, Streptomyces coelicolor differ- entially expresses heterogeneous rRNAs during the morphological developmental stages [15, 16], and heterogeneous 16S rRNAs in Haloarcula marismortui can be preferentially expressed under different growth temperatures [17]. In Escherichia coli, among seven rRNA operons, rrnH is highly expressed in response to nutrient limitation [6]. However, a critical question is whether the heterogeneity of rRNA sequences can lead to functional ribosome specialization. Our previous experiments have shown that ribosome variants containing genome-encoded divergent rRNAs (I-ribosomes) can preferentially translate specific mRNAs, including hspA and tpiA mRNAs, in the opportunistic human pathogen Vibrio vulnificus CMCP6 [9]. Here, we investigated whether the physiological functions of I-ribosomes seen in V. vulnificus CMCP6 are conserved in other Vibrio strains and species. Competing interests: The authors have declared that no competing interests exist. Mouse mortality test The virulence of V. vulnificus was measured using a mouse mortality test as previously described [9]. Briefly, the V. vulnificus MO6-24/O strains were grown in LBS medium to mid- log phase. Before injection, pathogen-free, 7-week-old female ICR mice (n = 10 mice per treat- ment) were fasted for 24 h and water deprived for 4 h. Tetracycline (200 mg per kg of body weight) was administered to the mice orally, and iron dextran (80 μg per g body weight) was injected intraperitoneally. After 1 h, V. vulnificus MO6-24/O (1 × 106) cells were injected sub- cutaneously into the mice. Mice were monitored for 25 h, and dead mice were counted. Western blot analysis Cell lysates were prepared and subjected to 12% SDS polyacrylamide gel electrophoresis (SDS-PAGE) for subsequent immunoblotting with the appropriate antibodies. Images of the western blots were obtained using an Amersham Imager 600 (GE Healthcare Life Sciences, Amersham, Buckinghamshire, UK) and quantified using Quantity One (Bio-Rad Laborato- ries). The ribosomal protein S1 was used as the control. The following antibodies were used: anti-HspA (generated in our laboratory; [9]), anti-RNAP-β (Abcam, Cambridge, UK), and anti-S1 (obtained from the laboratory of Dr. Stanley N. Cohen [9]). Isolation of crude ribosomes Total RNA and crude ribosomes were isolated as previously described [9]. Briefly, cells grown to the mid-log phase were lysed using a French press, and the lysate was then subjected to load- ing onto a 30% sucrose cushion. Crude ribosomes were pelleted after centrifugation at 100,000g for 16 h at 4˚C. The pellet was resuspended and loaded onto a 15–40% sucrose gradi- ent and centrifuged at 79,500g for 13.5 h at 4˚C. After centrifugation, 70S ribosomes were obtained by fractionation and measurement of the optical density (OD) at 260 nm. The quality and quantity of the extracted crude ribosomes were assessed using a Nanodrop 2000 spectro- photometer (Thermo Fisher Scientific, MA, USA). 2 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Quantification of I-rRNA in ribosomes The proportion of ribosomes incorporating I-rRNAs was determined by allele-specific RT-PCR as previously described [9, 20]. Complementary DNA (cDNA) was synthesized using an iScript cDNA synthesis kit (Bio-Rad Laboratories, CA, USA) according to the manufactur- er’s instructions. Primers specific to the 23S rrnI or rrnG region were designed with a mis- match at a variable nucleotide position (Fig 1A). The PCR primers used for allele-specific RT-PCR are listed in S2 Table. All primers were purchased from BIONICS (Seoul, Korea). Measurement of heat shock susceptibility Heat shock susceptibility was measured as previously described [9]. Briefly, Vibrio strains were grown in LBS medium containing 0.2 μg/ml tetracycline at 30˚C until reaching an OD600 of 0.6, and then each culture was immediately incubated in a water bath at 45˚C for 180 min to induce heat shock. Co-immunoprecipitation Co-immunoprecipitation of nascent peptides of HspA or RNAP-β subunit bound ribosomes was performed as previously described [20]. The presence of peptides in the eluted samples was confirmed by western blot, and total RNA was purified by ethanol precipitation. Purified RNA in the samples was quantified by allele-specific RT-PCR. https://doi.org/10.1371/journal.pone.0289072.g001 Measurement of viable bacterial counts in mouse organs Viable bacterial counts of V. vulnificus in mouse organs were performed as described previ- ously [9]. Briefly, mice (n = 5 mice per treatment) were infected subcutaneously with V. vulni- ficus MO6-24/O. Mice were sacrificed 6 h post-infection, and spleens and livers were isolated. The organs were weighed, homogenized, and dissolved in LBS, and the homogenates were plated on LBS agar or LBS agar containing 0.2 μg/ml tetracycline and incubated overnight at 30˚C. Bacterial colonies were then counted and expressed as the number of colony-forming units (CFUs)/g. 3 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Fig 1. rrnI-dependent expression of HspA in V. vulnificus MO6-24/O strains. (A) Schematic representation of the allele-specific RT-PCR analysis analyzing the relative amounts of I-rRNA or G-rRNA. (B) The number of I-rRNA or G- rRNA amplicons and other rRNAs amplified from the cDNA of the MO6 WT, MO6+rrnG, and MO6+rrnI strains was determined by PCR using common and allele-specific primers. The cDNA was synthesized from rRNAs purified from crude ribosomes of these strains. PCR products were resolved on a 2% agarose gel. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). (C) Sequence alignment and secondary structure prediction of hspA mRNAs in the V. vulnificus strains MO6-24/O and CMCP6. Sequences of the hspA genes from V. vulnificus strains MO6-24/O and CMCP6 were obtained from the NCBI database (NC_014965.1 and NC_004459.2, respectively) and aligned using ClustalW (https://www.genome.jp/tools-bin/clustalw). The putative transcriptional start site (TSS) and the first nucleotide of the hspA gene are indicated in yellow and red, respectively. (D) Predicted secondary structures of hspA mRNAs from V. vulnificus CMCP6 (left) or V. vulnificus MO6-24/O (right). Secondary structures were obtained using the M-fold program (http://unafold.rna.Albany.edu). (E) rrnI-dependent expression of HspA. Vibrio vulnificus MO6-24/O strains (WT, +rrnG, and +rrnI) were grown in LBS at 30˚C until mid-log phase and harvested for t bl t l i f H A t i i l l l tib di i t H A (F) Eff t f I i h t p p Fig 1. rrnI-dependent expression of HspA in V. vulnificus MO6-24/O strains. (A) Schematic representation of the Fig 1. rrnI-dependent expression of HspA in V. vulnificus MO6-24/O strains. Effect of rrnI expression on HspA levels in V. vulnificus MO6-24/O To determine the effect of rrnI expression on HspA levels in a V. vulnificus strain that does not express highly variant rRNA genes, V. vulnificus MO6-24/O strains exogenously expressing rrnI (MO6+rrnI) or rrnG (MO6+rrnG) were constructed. The rrnG operon was used as a nega- tive control to evaluate the effect of rRNA gene copy number variation. It is one of the redun- dant rRNA genes in the V. vulnificus CMCP6 strain [9]. The incorporation of exogenously expressed rRNA from the rrnI or rrnG operon (I-rRNAs or G-rRNAs) into ribosomes was assessed by allele-specific RT-PCR using primers specific to bind to 23S I-rRNA and G-rRNA (Fig 1A). These exogenously expressed rRNAs represented ~15% of the total rRNAs in these strains (Fig 1B). Similar results were obtained using the 23S I-rRNA-specific primers in allele- specific RT-PCR (S1 Fig). Next, we investigated whether the HspA protein level was increased in MO6+rrnI cells. The sequences of the hspA gene were 99% identical between the V. vulnificus MO6-24/O and CMCP6 strains (Fig 1C), generating virtually the same secondary structure of hspA mRNA (Fig 1D). Expression of HspA was increased by approximately 1.5-fold in MO6+rrnI cells compared with the levels seen in MO6 WT and MO6+rrnG cells (Fig 1E). Consistent with pre- vious results showing a strong correlation between heat shock susceptibility and the rrnI expression-dependent changes in HspA expression in the V. vulnificus CMCP6 strain [9], heat shock at 45˚C for 60 min resulted in a ~30% increase in CFUs/g of the MO6+rrnI strain com- pared to those of the MO6 WT and MO6+rrnG strains (Fig 1F). These results indicate that the increased heat shock susceptibility of MO6+rrnI cells is a direct result of the overexpression of HspA in these cells. Measurement of viable bacterial counts in mouse organs (A) Schematic representation of the allele-specific RT-PCR analysis analyzing the relative amounts of I-rRNA or G-rRNA. (B) The number of I-rRNA or G Fig 1. rrnI-dependent expression of HspA in V. vulnificus MO6-24/O strains. (A) Schematic representation of the allele-specific RT-PCR analysis analyzing the relative amounts of I-rRNA or G-rRNA. (B) The number of I-rRNA or G- rRNA amplicons and other rRNAs amplified from the cDNA of the MO6 WT, MO6+rrnG, and MO6+rrnI strains was determined by PCR using common and allele-specific primers. The cDNA was synthesized from rRNAs purified from crude ribosomes of these strains. PCR products were resolved on a 2% agarose gel. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). (C) Sequence alignment and secondary structure prediction of hspA mRNAs in the V. vulnificus strains MO6-24/O and CMCP6. Sequences of the hspA genes from V. vulnificus strains MO6-24/O and CMCP6 were obtained from the NCBI database (NC_014965.1 and NC_004459.2, respectively) and aligned using ClustalW (https://www.genome.jp/tools-bin/clustalw). The putative transcriptional start site (TSS) and the first nucleotide of the hspA gene are indicated in yellow and red, respectively. (D) Predicted secondary structures of hspA mRNAs from V. vulnificus CMCP6 (left) or V. vulnificus MO6-24/O (right). Secondary structures were obtained using the M-fold program (http://unafold.rna.Albany.edu). (E) rrnI-dependent expression of HspA. Vibrio vulnificus MO6-24/O strains (WT, +rrnG, and +rrnI) were grown in LBS at 30˚C until mid-log phase and harvested for western blot analysis of HspA proteins using polyclonal antibodies against HspA. (F) Effect of rrnI expression on heat shock susceptibility of V. vulnificus MO6-24/O strains (WT, +rrnG, and +rrnI, and ΔhspA). The number of CFUs of each V. vulnificus MO6-24/O strain grown at 30˚C or transiently grown at 45˚C for 180 min was measured. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; **, P < 0.01; ***, P < 0.001; ****, P < 0.0001). https://doi.org/10.1371/journal.pone.0289072.g001 4 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Phylogenetic analysis of I-rRNA based on rRNA gene sequences For the phylogenetic analysis of Vibrio species, 16S or 23S rRNA sequences were aligned using Silva (https://www.arb-silva.de/). Evolutionary distances were calculated using the Kimura two-parameter model [21]. The phylogenetic trees were constructed using the neighbor-join- ing method [22] in the MEGA7 program [23] with bootstrap values based on 1,000 replicates [24–26]. Statistical analysis All statistical details of experiments are included in the figure legends. Data are presented as the mean ± standard error of the mean (SEM). Statistical analyses were performed using Graph Pad Prism 9 software (version 9.4.1; Graph Pad Software Inc.), and P-values were obtained from a two-tailed unpaired t-test or one-way analysis of variance (ANOVA) followed by Dunnett’s multiple comparison test. Preferential association of the I-ribosome to nascent HspA peptides in V. vulnificus MO6-24/O The precipitate was subjected to western blotting with antibodies against HspA or RNAP-β. S1 protein was used as a loading control. (B) Characterization of the expression and assembly of I-rRNAs after co-IP. The number of amplicons of 23S I-rRNAs and other 23S rRNAs amplified from the cDNAs of the MO6 WT, MO6+rrnG, and MO6+rrnI strains was determined by RT-PCR using common and allele-specific primers. The cDNA was synthesized from rRNAs purified from immunoprecipitated samples or crude ribosome samples, which was used as controls. PCR products were resolved on a 2% agarose gel. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). Fig 2. Co-immunoprecipitation (co-IP) showing the predominant association of I-ribosomes with HspA nascent peptides in V. vulnificus MO6-24/O strains. (A) Identification of HspA and the RNAP-β subunit after co-IP. The precipitate was subjected to western blotting with antibodies against HspA or RNAP-β. S1 protein was used as a loading control. (B) Characterization of the expression and assembly of I-rRNAs after co-IP. The number of amplicons of 23S I-rRNAs and other 23S rRNAs amplified from the cDNAs of the MO6 WT, MO6+rrnG, and MO6+rrnI strains was determined by RT-PCR using common and allele-specific primers. The cDNA was synthesized from rRNAs purified from immunoprecipitated samples or crude ribosome samples, which was used as controls. PCR products were resolved on a 2% agarose gel. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). https://doi.org/10.1371/journal.pone.0289072.g002 whereas it represented ~15% of the total rRNAs from crude ribosome samples or RNAP-β- bound ribosomes (Fig 2B). This suggests that hspA mRNA can be preferentially translated by I-ribosomes in the V. vulnificus MO6-24/O strain. whereas it represented ~15% of the total rRNAs from crude ribosome samples or RNAP-β- bound ribosomes (Fig 2B). This suggests that hspA mRNA can be preferentially translated by I-ribosomes in the V. vulnificus MO6-24/O strain. Preferential association of the I-ribosome to nascent HspA peptides in V. vulnificus MO6-24/O To explore whether hspA mRNA is preferentially translated by I-ribosomes in V. vulnificus MO6-24/O cells, co-immunoprecipitation (co-IP) analysis using anti-HspA antibodies was performed in MO6 WT, MO6+rrnI, and MO6+rrnG cells [20]; Fig 2A). Immunoprecipitation of RNAP-β, levels of which are not rrnI expression dependent, was used as a control. Total rRNA was purified from the co-immunoprecipitated ribosomes and relative amounts of I-rRNA in the total rRNA populations were measured by allele-specific RT-PCR. In MO6 +rrnI cells, I-rRNA accounted for ~50% of the total rRNA from HspA-bound ribosomes, To explore whether hspA mRNA is preferentially translated by I-ribosomes in V. vulnificus MO6-24/O cells, co-immunoprecipitation (co-IP) analysis using anti-HspA antibodies was performed in MO6 WT, MO6+rrnI, and MO6+rrnG cells [20]; Fig 2A). Immunoprecipitation of RNAP-β, levels of which are not rrnI expression dependent, was used as a control. Total rRNA was purified from the co-immunoprecipitated ribosomes and relative amounts of I-rRNA in the total rRNA populations were measured by allele-specific RT-PCR. In MO6 +rrnI cells, I-rRNA accounted for ~50% of the total rRNA from HspA-bound ribosomes, 5 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Fig 2. Co-immunoprecipitation (co-IP) showing the predominant association of I-ribosomes with HspA nascent peptides in V. vulnificus MO6-24/O strains. (A) Identification of HspA and the RNAP-β subunit after co-IP. The precipitate was subjected to western blotting with antibodies against HspA or RNAP-β. S1 protein was used as a loading control. (B) Characterization of the expression and assembly of I-rRNAs after co-IP. The number of amplicons of 23S I-rRNAs and other 23S rRNAs amplified from the cDNAs of the MO6 WT, MO6+rrnG, and MO6+rrnI strains was determined by RT-PCR using common and allele-specific primers. The cDNA was synthesized from rRNAs purified from immunoprecipitated samples or crude ribosome samples, which was used as controls. PCR products were resolved on a 2% agarose gel. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). h //d i /10 1371/j l 0289072 002 Fig 2. Co-immunoprecipitation (co-IP) showing the predominant association of I-ribosomes with HspA nascent Fig 2. Co-immunoprecipitation (co-IP) showing the predominant association of I-ribosomes with HspA nascent peptides in V. vulnificus MO6-24/O strains. (A) Identification of HspA and the RNAP-β subunit after co-IP. PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 Effect of rrnI on V. vulnificus MO6-24/O virulence in mice In our previous study, the survival rates and duration of survival of mice infected with rrnI- deleted V. vulnificus CMCP6 cells were increased compared to that of mice infected with the CMCP6 WT strain [9]. To confirm the physiological function of I-ribosomes in the virulence of V. vulnificus MO6-24/O, the MO6 WT, MO6+rrnG, or MO6+rrnI strains were intraperitoneally injected into BALB/c mice, and the survival rate and duration of infected mice were examined. In addition, since plasmid vectors require antibiotics for maintenance in V. vulnificus cells after being infected into mice [27], we first confirmed the plasmid loss rate of WT V. vulnificus MO6- 24/O by comparing the number of CFUs isolated from representative mice organs (spleen and liver) after administration of tetracycline. As shown in Fig 3A, the plasmid loss rate was ~82% and ~49% after the first administration of antibiotics in the spleen and liver, respectively (Fig 3A). After the second administration of antibiotics, the plasmid loss rate was reduced in both organs (Fig 3A), suggesting that two consecutive administrations of antibiotics are needed to maintain plasmid vectors in V. vulnificus cells in infected mice. Thus, we used two consecutive injections of tetracycline for vector maintenance in the mouse mortality experiment. Lower survival rates were observed in MO6+rrnI-infected mice than in mice infected with the MO6 WT or MO6+rrnG strains (Fig 3B), indicating that I-rRNA influences the virulence of V. vulnificus MO6-24/O. Next, we measured the number of viable bacterial cells in the spleen and liver of mice infected with the MO6 WT, MO6+rrnG, or MO6+rrnI strains to further explore the effect of PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 6 / 13 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Fig 3. Effect of rrnI expression on the virulence of V. vulnificus MO6-24/O in mice. (A) Plasmid loss rate of V. vulnificus MO6-24/O in mice. Pathogen-free 7-week-old female ICR mice that were pretreated with tetracycline and iron dextran (n = 5 mice per group) were subcutaneously injected with 1 × 106 cells of V. vulnificus MO6-24/O (MO6 WT). Mice with tetracycline administered orally before infection and those treated once more 6 h after the initial treatment were sacrificed 6 h and 12 h after infection, respectively. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using a two-tailed unpaired Student’s t-test (ns, not significant; ****, P < 0.0001). Effect of rrnI on V. vulnificus MO6-24/O virulence in mice Two-tailed unpaired Student’s t-tests were used to assess significant differences: ** denotes P < 0.01 for comparisons of MO6+rrnI-infected mice versus WT- or MO6+rrnG-infected mice. (C) Viable bacterial counts in the spleen and liver of mice infected with the V. vulnificus MO6-24/O strains (MO6 WT, MO6+rrnG, and MO6+rrnI). Six hours after bacterial infection, the mice (n = 5 mice per group) were sacrificed. Results are expressed as numbers of CFU/g of each organ. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). Fig 3. Effect of rrnI expression on the virulence of V. vulnificus MO6-24/O in mice. (A) Plasmid loss rate of V. vulnificus MO6-24/O in mice. Pathogen-free 7-week-old female ICR mice that were pretreated with tetracycline and iron dextran (n = 5 mice per group) were subcutaneously injected with 1 × 106 cells of V. vulnificus MO6-24/O (MO6 WT). Mice with tetracycline administered orally before infection and those treated once more 6 h after the initial treatment were sacrificed 6 h and 12 h after infection, respectively. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using a two-tailed unpaired Student’s t-test (ns, not significant; ****, P < 0.0001). (B) Survival rates and the survival time of mice infected with V. vulnificus MO6-24/O strains (MO6 WT, MO6+rrnG, and MO6+rrnI). Pathogen-free 7-week-old female ICR mice pretreated with iron dextran (n = 10 mice per group) were intraperitoneally injected with 8 × 102 cells of the V. vulnificus MO6-24/O strains. Survival rate was monitored for 25 h. Data are presented as the mean ± SEM of three independent experiments. Two-tailed unpaired Student’s t-tests were used to assess significant differences: ** denotes P < 0.01 for comparisons of MO6+rrnI-infected mice versus WT- or MO6+rrnG-infected mice. (C) Viable bacterial counts in the spleen and liver of mice infected with the V. vulnificus MO6-24/O strains (MO6 WT, MO6+rrnG, and MO6+rrnI). Six hours after bacterial infection, the mice (n = 5 mice per group) were sacrificed. Results are expressed as numbers of CFU/g of each organ. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). Effect of rrnI on V. vulnificus MO6-24/O virulence in mice https://doi.org/10.1371/journal.pone.0289072.g003 rrnI expression on bacterial survival in the host environment. We administered tetracycline twice and sacrificed the mice 6 h after bacterial infection, a time chosen based on the mouse survival duration. A ~3-fold increase in colonization was observed in the organs of the MO6 +rrnI strain-infected mice compared to the MO6 WT strain-infected mice (Fig 3C). By con- trast, no significant changes in colonization were detected between mice infected by the MO6 +rrnG strain and the MO6 WT strain (Fig 3C), suggesting that MO6+rrnI cells can grow more rapidly than the other strains in mouse organs. These results indicate that expression of I- rRNA makes V. vulnificus more virulent in mice. Effect of rrnI on V. vulnificus MO6-24/O virulence in mice (B) Survival rates and the survival time of mice infected with V. vulnificus MO6-24/O strains (MO6 WT, MO6+rrnG, and MO6+rrnI). Pathogen-free 7-week-old female ICR mice pretreated with iron dextran (n = 10 mice per group) were intraperitoneally injected with 8 × 102 cells of the V. vulnificus MO6-24/O strains. Survival rate was monitored for 25 h. Data are presented as the mean ± SEM of three independent experiments. Two-tailed unpaired Student’s t-tests were used to assess significant differences: ** denotes P < 0.01 for comparisons of MO6+rrnI-infected mice versus WT- or MO6+rrnG-infected mice. (C) Viable bacterial counts in the spleen and liver of mice infected with the V. vulnificus MO6-24/O strains (MO6 WT, MO6+rrnG, and MO6+rrnI). Six hours after bacterial infection, the mice (n = 5 mice per group) were sacrificed. Results are expressed as numbers of CFU/g of each organ. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). Fig 3. Effect of rrnI expression on the virulence of V. vulnificus MO6-24/O in mice. (A) Plasmid loss rate of V. Fig 3. Effect of rrnI expression on the virulence of V. vulnificus MO6-24/O in mice. (A) Plasmid loss rate of V. vulnificus MO6-24/O in mice. Pathogen-free 7-week-old female ICR mice that were pretreated with tetracycline and iron dextran (n = 5 mice per group) were subcutaneously injected with 1 × 106 cells of V. vulnificus MO6-24/O (MO6 WT). Mice with tetracycline administered orally before infection and those treated once more 6 h after the initial treatment were sacrificed 6 h and 12 h after infection, respectively. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using a two-tailed unpaired Student’s t-test (ns, not significant; ****, P < 0.0001). (B) Survival rates and the survival time of mice infected with V. vulnificus MO6-24/O strains (MO6 WT, MO6+rrnG, and MO6+rrnI). Pathogen-free 7-week-old female ICR mice pretreated with iron dextran (n = 10 mice per group) were intraperitoneally injected with 8 × 102 cells of the V. vulnificus MO6-24/O strains. Survival rate was monitored for 25 h. Data are presented as the mean ± SEM of three independent experiments. Effect of rrnI expression on HspA levels in V. fischeri MJ11 fischeri MJ11 strains (WT, +rrnG, and +rrnI) were grown and harvested for a western blot analysis of HspA proteins using polyclonal antibodies against HspA (see the Fig 1E legend for details). (D) Effect of rrnI expression on heat shock susceptibility of V. fischeri MJ11 strains (WT, +rrnG, and +rrnI). The number of CFUs of each V. fischeri MJ11 strain was measured as described in the legend of Fig 1F. The expression levels of HspA and the number of CFUs were compared by setting those of the WT to 1. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; *, P < 0.05 and ***, P < 0.001). htt //d i /10 1371/j l 0289072 004 https://doi.org/10.1371/journal.pone.0289072.g004 (MJ11+rrnI) or rrnG (MJ11+rrnG) were constructed. In this Vibrio species, the hspA gene has 86% sequence homology with that of the V. vulnificus CMCP6 strain (Fig 4A), resulting in a sec- ondary structure of hspA mRNA that is distinct from that of the V. vulnificus strains (Fig 4B). We also observed enhanced expression of HspA and heat shock tolerance in the MJ11+rrnI strain compared to those in the MJ11 WT and MJ11+rrnG strains (Fig 4C and 4D). These results suggest that exogenous expression of rrnI enhances HspA expression, leading to the increased heat shock resistance of V. fischeri cells. Effect of rrnI expression on HspA levels in V. fischeri MJ11 To determine the effect of rrnI expression on HspA expression in another Vibrio species that does not express highly variant rRNA genes, V. fischeri MJ11 strains exogenously expressing rrnI PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 7 / 13 Functional conservation of specialized ribosomes in Vibrio species PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Fig 4. rrnI-dependent expression of HspA in V. fischeri MJ11 strains. (A) Sequences of hspA genes in V. fischeri MJ11 and V. vulnificus CMCP6 were obtained from the NCBI database (NC_011184.1 and NC_004459.2, respectively) and were aligned using ClustalW. The putative transcriptional start site of V. vulnificus CMCP6 and the first nucleotide of the hspA sequence are indicated in yellow and red, respectively. (B) Prediction of the secondary structures of V. fischeri MJ11 hspA mRNAs. Secondary structures were obtained using the M-fold program. (C) V. fischeri MJ11 strains (WT, +rrnG, and +rrnI) were grown and harvested for a western blot analysis of HspA proteins using polyclonal antibodies against HspA (see the Fig 1E legend for details). (D) Effect of rrnI expression on heat shock susceptibility of V. fischeri MJ11 strains (WT, +rrnG, and +rrnI). The number of CFUs of each V. fischeri MJ11 strain was measured as described in the legend of Fig 1F. The expression levels of HspA and the number of CFUs were compared by setting those of the WT to 1. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; *, P < 0.05 and ***, P < 0.001). https://doi.org/10.1371/journal.pone.0289072.g004 Fig 4. rrnI-dependent expression of HspA in V. fischeri MJ11 strains. (A) Sequences of hspA genes in V. fischeri MJ11 and V. vulnificus CMCP6 were obtained from the NCBI database (NC_011184.1 and NC_004459.2, respectively) Fig 4. rrnI-dependent expression of HspA in V. fischeri MJ11 strains. (A) Sequences of hspA genes in V. fischeri MJ11 and V. vulnificus CMCP6 were obtained from the NCBI database (NC_011184.1 and NC_004459.2, respectively) and were aligned using ClustalW. The putative transcriptional start site of V. vulnificus CMCP6 and the first nucleotide of the hspA sequence are indicated in yellow and red, respectively. (B) Prediction of the secondary structures of V. fischeri MJ11 hspA mRNAs. Secondary structures were obtained using the M-fold program. (C) V. Discussion Emerging studies have suggested that heterogeneous rRNAs have specialized roles in protein synthesis. However, a longstanding question is how ribosome heterogeneity at the level of rRNAs can contribute to specialized ribosome function. Our previous studies showed that ribosomes containing the most divergent rRNAs preferentially bind and translate specific 8 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Fig 5. The role of the I-ribosome in bacterial survival. (A and B) Phylogenetic trees of rRNA operons in V. vuln strains. Neighbor-joining phylogenetic trees based on 16S rRNA (A) and 23S rRNA (B) sequences showing the positions of rRNA operons within the Vibrio genomes. Bold text represents the V. vulnificus CMCP6 rRNA opero vulnificus strains that contain rRNA genes similar to the rrnI operon were selected using NCBI nucleotide blast (https://blast.ncbi.nlm.nih.gov) and the rRNA gene sequences of these strains were obtained from the NCBI datab The rRNA genes of each strain were named starting with “A” according to the nucleotide position in the genome. Fig 5. The role of the I-ribosome in bacterial survival. (A and B) Phylogenetic trees of rRNA operons in V. vulnificus Fig 5. The role of the I-ribosome in bacterial survival. (A and B) Phylogenetic trees of rRNA operons in V. vulnificus strains. Neighbor-joining phylogenetic trees based on 16S rRNA (A) and 23S rRNA (B) sequences showing the positions of rRNA operons within the Vibrio genomes. Bold text represents the V. vulnificus CMCP6 rRNA operon. V. vulnificus strains that contain rRNA genes similar to the rrnI operon were selected using NCBI nucleotide blast (https://blast.ncbi.nlm.nih.gov) and the rRNA gene sequences of these strains were obtained from the NCBI database. The rRNA genes of each strain were named starting with “A” according to the nucleotide position in the genome. The PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 9 / 13 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species values above and below the branches (expressed as percentages) indicate the robustness of the corresponding branch as determined by bootstrap analysis (heuristic search). (C) I-ribosomes from V. vulnificus CMCP6 were exogenously expressed in V. vulnificus MO6-24/O strains. Overexpression of rrnI in the V. vulnificus MO6-24/O strain leads to increased bacterial survival in heat shock and host environments by preferentially translating the target mRNAs. https://doi.org/10.1371/journal.pone.0289072.g005 https://doi.org/10.1371/journal.pone.0289072.g005 stress-response mRNAs in V. vulnificus CMCP6 cells under stress conditions [9, 20]. Discussion Our pres- ent study highlights the functional conservation of these divergent rRNAs in other Vibrio spe- cies that do not express highly variant rRNAs. Specifically, exogenous expression of I-rRNAs in the V. vulnificus MO6-24/O strain resulted in enhanced HspA expression, heat shock toler- ance, and virulence (Figs 1, 3 and S1 Fig). In addition, the co-immunoprecipitation analysis shows that the enhanced HspA expression is a direct consequence of I-ribosome-mediated preferential translation of hspA mRNA (Fig 2). As previously proposed, the target mRNAs of the I-ribosome showed a common feature [9]. In the case of hspA mRNA in V. fischeri, the putative Shine-Dalgarno (SD) sequence is also embedded in the secondary structure (Fig 4B), indicating that I-ribosome mediated mRNA selection does not require a strong SD/anti-SD interaction. A comparative analysis of the 16S and 23S rRNA gene sequences of Vibrio strains indicates that rrnI operon from V. vulnificus CMCP6 is not closely related to rRNA operons of the other Vibrio species (Fig 5A and 5B), which suggests that the rrnI operon might have evolved recently in the V. vulnificus CMCP6 strain. Taken together, our findings indicate that heterogeneous ribosomes differing in their rRNA sequences have evolved to have a unique and conserved function in selectively translat- ing specific mRNAs in Vibrio species (Fig 5C). Further studies are needed to unveil why some bacterial species have retained an evolutionarily unfavorable pathway of maintaining divergent rRNA genes to control protein synthesis from specific mRNAs. Conclusions This study provides evidence for the functional conservation of ribosomes carrying heteroge- neous rRNAs among Vibrio species. We observed that the exogenous expression of the rrnI operon from V. vulnificus CMCP6 led to enhanced expression of HspA by preferential binding of I-ribosomes to hspA mRNA, and, consequently, decreased heat shock susceptibility in V. vulnificus MO6-24/O strain and V. fischeri. This study highlights functional conservation of specialized ribosomes in preferential translation of specific mRNAs among Vibrio species and provides another layer of regulation of gene expression at the ribosome level. Supporting information S1 Fig. rrnI-dependent expression of HspA in V. vulnificus MO6-24/O strains. (A) Sche- matic representation of the allele-specific RT-PCR analysis analyzing the relative amounts of I- rRNA. (B) The number of I-rRNA amplicons and other rRNAs amplified from the cDNA of the MO6 WT, MO6+rrnG, and MO6+rrnI strains was determined by PCR using common and allele-specific primers. The cDNA was synthesized from rRNAs purified from crude ribosomes of these strains. PCR products were resolved on a 2% agarose gel. Data are presented as the mean ± SEM of three independent experiments. Statistical significance was determined using one-way ANOVA followed by Dunnett’s multiple comparison test (ns, not significant; ****, P < 0.0001). (TIF) 10 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0289072 December 5, 2023 PLOS ONE Functional conservation of specialized ribosomes in Vibrio species Acknowledgments We thank Dr. Minji Joo for her helpful comments. We thank Dr. Minji Joo for her helpful comments. Writing – review & editing: Minho Lee, Ji-Hyun Yeom, Kangseok Lee. Writing – review & editing: Minho Lee, Ji-Hyun Yeom, Kangseok Lee. Conceptualization: Kangseok Lee. Data curation: Younkyung Choi. Formal analysis: Eunkyoung Shin. Funding acquisition: Eunkyoung Shin. Investigation: Younkyung Choi, Ji-Hyun Yeom. Methodology: Eunkyoung Shin, Kangseok Lee. Project administration: Eunkyoung Shin. Project administration: Eunkyoung Shin. 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Local dynamics and global attractivity of a certain second-order quadratic fractional difference equation
Advances in difference equations
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University of Rhode Island University of Rhode Island DigitalCommons@URI DigitalCommons@URI University of Rhode Island University of Rhode Island DigitalCommons@URI DigitalCommons@URI University of Rhode Island University of Rhode Island DigitalCommons@URI DigitalCommons@URI Mathematics Mathematics Faculty Publications Follow this and additional works at: https://digitalcommons.uri.edu/math_facpubs // Kulenovic et al.: Local dynamics and global attractivity of a certain second-order quadratic fractional difference equation. Advances in Difference Equations 2014, 2014:68 Available at: https://doi.org/10.1186/1687-1847-2014-68 Kulenovic et al.: Local dynamics and global attractivity of a certain second-order quadratic fractional difference equation. Advances in Difference Equations 2014, 2014:68 Available at: https://doi.org/10.1186/1687-1847-2014-68 This Article is brought to you by the University of Rhode Island. 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Local dynamics and global attractivity of a certain second-order quadratic Local dynamics and global attractivity of a certain second-order quadratic fractional difference equation fractional difference equation Creative Commons License Creative Commons License R ES EARCH Open Access Mustafa RS Kulenovi´c1*, Esmir Pilav2 and Enesa Sili´c3 Mustafa RS Kulenovi´c1*, Esmir Pilav2 and Enesa Sili´c3 Mustafa RS Kulenovi´c1*, Esmir Pilav2 and Enesa Sili´c3 *Correspondence: kulenm@math.uri.edu 1Department of Mathematics, University of Rhode Island, Kingston, Rhode Island 02881-0816, USA Full list of author information is available at the end of the article Abstract We investigate the local and global character of the equilibrium and the local stability of the period-two solution of the difference equation xn+1 = βxnxn–1+γ x2 n–1+δxn Bxnxn–1+Cx2 n–1+Dxn where the parameters β, γ , δ, B, C, D are nonnegative numbers which satisfy B + C + D > 0 and the initial conditions x–1 and x0 are arbitrary nonnegative numbers such that Bxnxn–1 + Cx2 n–1 + Dxn > 0 for all n ≥0. n n 1 n–1 n ≥ MSC: Primary 39A10; 39A11; secondary 39A30 Keywords: boundedness; difference equation; global attractivity; local stability; period-two solutions ©2014 Kulenovi´c et al.; licensee Springer. 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. Creative Commons License Creative Commons License This work is licensed under a Creative Commons Attribution 2.0 License. This article is available at DigitalCommons@URI: https://digitalcommons.uri.edu/math_facpubs/57 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 *Correspondence: kulenm@math.uri.edu 1Department of Mathematics, University of Rhode Island, Kingston, Rhode Island 02881-0816, USA Full list of author information is available at the end of the article 1 Introduction and preliminaries In this paper we study the global dynamics of the following rational difference equation: xn+= βxnxn–+ γ x n–+ δxn Bxnxn–+ Cx n–+ Dxn , n = ,,,..., () () where the parameters β, γ , δ, B, C, D are nonnegative numbers which satisfy B + C + D > and the initial conditions x–and xare arbitrary nonnegative numbers such that Bxnxn–+ Cx n–+ Dxn > for all n ≥. where the parameters β, γ , δ, B, C, D are nonnegative numbers which satisfy B + C + D > and the initial conditions x–and xare arbitrary nonnegative numbers such that Bxnxn–+ Cx n–+ Dxn > for all n ≥. Equation (), which has been studied in [–], is a special case of a general second-order quadratic fractional equation of the form xn+= Ax n + Bxnxn–+ Cx n–+ Dxn + Exn–+ F axn + bxnxn–+ cx n–+ dxn + exn–+ f , n = ,,... () () with nonnegative parameters and initial conditions such that A + B + C > , a + b + c + d + e + f > and ax n + bxnxn–+ cx n–+ dxn + exn–+ f > , n = ,,... . Several global asymptotic results for some special cases of () were obtained in [–]. The change of variable xn = /un transforms () into the difference equation un+= Du n–+ Cun + Bun– δu n–+ γ un + βun– , n = ,,..., () un+= Du n–+ Cun + Bun– δu n–+ γ un + βun– , n = ,,..., () ©2014 Kulenovi´c et al.; licensee Springer. 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. ©2014 Kulenovi´c et al.; licensee Springer. 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. Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 2 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 2 of 32 where we assume that δ + β + γ > and that the nonnegative initial conditions u–, uare such that δu n–+ γ un + βun–> for all n ≥. Thus the results of this paper extend to (). The first systematic study of global dynamics of a special quadratic fractional case of () where A = C = D = a = c = d = was performed in [, ]. The dynamics of some related quadratic fractional difference equations was considered in the papers [–]. In this paper we will perform the local stability analysis of the unique equilibrium and the period-two solution and we will give the necessary and sufficient conditions for the equilibrium to be locally asymptotically stable, a saddle point, a repeller or a non-hyperbolic equilibrium. The local stability analysis indicates that some possible dynamics scenarios for () include period-doubling bifurcations and Naimark-Sacker bifurcation and global attractivity of the equilibrium, see [, ]. This means that the techniques we used in [, , –] are applicable. We will also obtain the global asymptotic stability results for (). As we have seen in [] an efficient way of studying the dynamics of () is considering the dynamics of special cases of () which are obtained when one or more coefficients are set to zero. Based on our results in [], it is difficult to prove global asymptotic stability results of the unique equilibrium even for linear fractional difference equations; there are still two remaining cases one needs to study to prove the general conjecture that the local stability of the unique equilibrium implies the global stability. where we assume that δ + β + γ > and that the nonnegative initial conditions u–, uare such that δu n–+ γ un + βun–> for all n ≥. Thus the results of this paper extend to (). The first systematic study of global dynamics of a special quadratic fractional case of () where A = C = D = a = c = d = was performed in [, ]. The dynamics of some related quadratic fractional difference equations was considered in the papers [–]. In this paper we will perform the local stability analysis of the unique equilibrium and the period-two solution and we will give the necessary and sufficient conditions for the equilibrium to be locally asymptotically stable, a saddle point, a repeller or a non-hyperbolic equilibrium. The local stability analysis indicates that some possible dynamics scenarios for () include period-doubling bifurcations and Naimark-Sacker bifurcation and global attractivity of the equilibrium, see [, ]. This means that the techniques we used in [, , –] are applicable. We will also obtain the global asymptotic stability results for (). As we have seen in [] an efficient way of studying the dynamics of () is considering the dynamics of special cases of () which are obtained when one or more coefficients are set to zero. Based on our results in [], it is difficult to prove global asymptotic stability results of the unique equilibrium even for linear fractional difference equations; there are still two remaining cases one needs to study to prove the general conjecture that the local stability of the unique equilibrium implies the global stability. Some interesting special cases of (), which were thoroughly studied in [], are the fol- lowing equations. () The Beverton-Holt difference equation when γ = δ = C = : () The Beverton-Holt difference equation when γ = δ = C = : () The Beverton-Holt difference equation when γ = δ = C = : xn+= βxn– Bxn–+ D, n = ,,..., which represents the basic discrete model in population dynamics, see []. () The Riccati difference equation when γ C : which represents the basic discrete model in population dynamics, see []. which represents the basic discrete model in population dynamics, see []. () The Riccati difference equation when γ = C = : xn+= βxn–+ δ Bxn–+ D, n = ,,.... where L > and U are lower and upper bounds of all solutions of (), then ¯x is globally asymptotically stable. Corollary If the following condition holds:  |β – B¯x| + |γ – C¯x|  (M + ¯x) + |δ – D¯x| < (B + C)m+ Dm, () () where m = min{¯x,x–,x} > and M = max{¯x,x–,x} are lower and upper bounds of a specific solution of (), then the unique equilibrium ¯x is globally asymptotically stable on the interval [m,M]. where m = min{¯x,x–,x} > and M = max{¯x,x–,x} are lower and upper bounds of a specific solution of (), then the unique equilibrium ¯x is globally asymptotically stable on the interval [m,M]. In this paper we present the local stability analysis for the unique equilibrium and the period-two solutions of () and then we apply Corollaries and to some special cases of () to obtain global asymptotic stability results for those equations. The obtained results will give the regions of the parametric space where the unique positive equilibrium of () is globally asymptotically stable. In an upcoming manuscript we will give more precisely the dynamics in some special cases of () such as the case where the right-hand side of () is decreasing in xn and increasing in xn–; here the theory of monotone maps can be applied to give the global dynamics. The application of the monotone map theory requires precise information on the local stability of the equilibrium solutions and the period-two solutions which will be given in this paper. See [, ] for an application of the monotone maps techniques to some competitive systems of linear fractional difference equations. These results will give the parameter regions where a global period-doubling bifurcation takes place, see []. The special cases of () where the unique equilibrium changes its sta- bility character from the local stability to repeller are cases where the Naimark-Sacker bifurcation occurs, see [, ], and these cases will be treated in an upcoming manuscript. Following the approach from [], we divide () into special cases of types (k,m) where k (resp. m) denotes the number of positive parameters in the numerator (resp. denomina- tor). () The difference equation studied in [, , ], when δ = D = : () The difference equation studied in [, , ], when δ = D = : () The difference equation studied in [, , ], when δ = D = : xn+= βxn + γ xn– Bxn + Cxn– , n = ,,..., () () which represents the discretization of the differential equation model in biochemical networks, see []. which represents the discretization of the differential equation model in biochemical networks, see []. The global attractivity results obtained specifically for the complicated cases of () are the following theorems []. Theorem Assume that () has the unique equilibrium ¯x. If the following condition holds: Theorem Assume that () has the unique equilibrium ¯x. If the following condition holds: (|A – a¯x| + |B – b¯x| + |C – c¯x|)(U + ¯x) + |D – d¯x| + |E – e¯x| (a + b + c)L+ (d + e)L + f < , where L and U are lower and upper bounds of all solutions of () and L + f > , then ¯x is globally asymptotically stable. Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 3 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Theorem Assume that () has the unique equilibrium ¯x in the interval [m,M], where m = min{¯x,x–,x} and M = max{¯x,x–,x} are lower and upper bounds of a specific solu- tion of () and m + f > . If the following condition holds:  |A – a¯x| + |B – b¯x| + |C – c¯x|  (M + ¯x) + |D – d¯x| + |E – e¯x| < (a + b + c)m+ (d + e)m + f , then ¯x is globally asymptotically stable on the interval [m,M]. n ¯x is globally asymptotically stable on the interval [m,M]. In the case of () Theorems and give the following special results. In the case of () Theorems and give the following special results. Corollary If the following condition holds: Corollary If the following condition holds: (|β – B¯x| + |γ – C¯x|)(U + ¯x) + |δ – D¯x| (B + C)L+ DL < , () () where L > and U are lower and upper bounds of all solutions of (), then ¯x is globally asymptotically stable. We summarize information as regards the stability of both the equilibrium solution and the period-two solution as well as the monotonic character of the right-hand side of the special cases of types (,), (,), (,), (,) and (,) of () in Tables -. We did not include the cases of the type (,), which are well known from [] as well as cases Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 4 of 32 Table 1 Equations of type (1,2) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = βxn–1xn Cx2 n–1+xn ¯x = β–1 C for β > 1 no eq. point for β ≤1 LAS for β > 1 no period-two solution f ′ u = Cv3β (Cv2+u)2 f ′ v = uβ(u–Cv2) (Cv2+u)2 xn+1 = γ x2 n–1 Cx2 n–1+xn ¯x = γ –1 C for γ > 1 no eq. point for γ ≤1 LAS for γ > 3 a saddle point for 1 < γ < 3 a non-hyp. eq. for γ = 3 {0,γ /C}-LAS { γ +1–√ (γ –3)(γ +1) 2C , γ +1+√ (γ –3)(γ +1) 2C } a saddle point for γ > 3 a non-hyp. eq. for γ = 3 f ′ u = – γ v2 (Cv2+u)2 f ′ v = 2γ uv (Cv2+u)2 xn+1 = γ x2 n–1 Bxn–1xn+xn ¯x = γ –1 B for γ > 1 no eq. point for γ ≤1 a saddle point for γ > 1 no period-two solution f ′ u = – γ v2 u2(Bv+1) f ′ v = γ v(Bv+2) u(Bv+1)2 xn+1 = δxn Bxnxn–1+x2 n–1 ¯x =  δ B+1 a repeller for δ > 0, B > 0 no period-two solution f ′ u = δ (Bu+v)2 f ′ v = – uδ(Bu+2v) (Buv+v2)2 xn+1 = δxn Cx2 n–1+xn ¯x = √ 4Cδ+1–1 2C LAS for cδ < 2 a repeller for cδ > 2 a non-hyp. eq. for cδ = 2 no period-two solution f ′ u = Cv2δ (Cv2+u)2 f ′ v = – 2Cuvδ (Cv2+u)2 Table 1 Equations of type (1,2) of types (,), (,), and (,) for which global stability will be given in Section . Using the techniques established in [–] one can determine the rate of convergence for all regions of parameters for which we established convergence. Some special cases of () have very interesting dynamics such as xn+= βxn–xn Cx n–+xn given in Table where, in the case β ≤, every solution converges to although is out of range of this equation. Another interesting example is the equation xn+= γ x n– Cx n–+xn from Table , where, in the case γ ≤, every solution converges to or to the unique period- two solution. It is interesting to notice that is out of the range of this equation. Another interesting example is the equation xn+= βxnxn–+γ x n– xn from Table , which has the prop- erty that if β ≥every solution approaches ∞. None of these dynamics scenarios were possible in the case of the linear fractional difference equation, which is also a special case of () and which was studied in great detail in []. 2 Local stability of the positive equilibrium In this section we investigate the equilibrium points of Eq. () where β,γ ,δ,A,B,C ∈ [,∞), β + γ + δ,A + B + C ∈(,∞) and where the initial conditions x–and xare ar- bitrary nonnegative real numbers such Bxnxn–+ Cx n–+ Dxn > for all n ≥. In view of the above restriction on the initial conditions of (), the equilibrium points of () are positive solutions of the equation ¯x = β¯x+ γ ¯x+ δ¯x B¯x+ C¯x+ D¯x, () ¯x = β¯x+ γ ¯x+ δ¯x B¯x+ C¯x+ D¯x, () or equivalently or equivalently ¯x(B + C) + ¯x(D – β – γ ) – δ = . () ¯x(B + C) + ¯x(D – β – γ ) – δ = . () Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 5 of 32 Table 2 Equations of type (2,1) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = βxnxn–1+γ x2 n–1 xn ¯x = t, t > 0 for β + γ = 1 no eq. point for β + γ ̸= 1 a non-hyp. for β + γ = 1 no minimal period-two solution f ′ u = – v2γ u2 f ′ v = 2vγ u + β xn+1 = βxn–1xn+δxn x2 n–1 ¯x = 1 2(  β2 + 4δ + β) a repeller for β,δ > 0 no minimal period-two solution f ′ u = vβ+δ v2 f ′ v = – u(vβ+2δ) v3 xn+1 = γ x2 n–1+δxn xn–1xn ¯x = 1 2(  γ 2 + 4δ + γ ) LAS for 4δ > 3γ 2 a saddle point for 4δ < 3γ 2 a non-hyp. for 4δ = 3γ 2 { γ δ+√ δ2(4δ–3γ 2) 2(γ 2–δ) , γ δ–√ δ2(4δ–3γ 2) 2(γ 2–δ) } exists for 3γ 2 < 4δ < 4γ 2 a saddle point for 3γ 2 < 4δ < 4γ 2 f ′ u = – vγ u2 f ′ v = v2γ –uδ uv2 xn+1 = γ x2 n–1+δxn x2 n–1 ¯x = 1 2( γ 2 + 4δ + γ ) LAS for δ < 2γ 2 a repeller for δ > 2γ 2 a non-hyp. 2 Local stability of the positive equilibrium for δ = (γ +1)(3γ –1) 4B {φ,ψ} exists for (γ +1)(3γ –1) 4B < δ < γ (γ +1) B φ = δ(–√ 4Bδ–γ (3γ +2)+1+γ +1) 2(–Bδ+γ 2+γ ) ψ = δ(√ 4Bδ–γ (3γ +2)+1+γ +1) 2(–Bδ+γ 2+γ ) a saddle point for (γ +1)(3γ –1) 4B < δ < γ (γ +1) B f ′ u = – v2γ u2(Bv+1) f ′ v = vγ (Bv+2)–Buδ u(Bv+1)2 xn+1 = γ x2 n–1+δxn Cx2 n–1+xn ¯x = √ 4Cδ+(1–γ )2+γ –1 2C LAS δ < (γ +2)(2γ +1) C and (3–γ )(3γ –1) 16C < δ a repeller for δ > (γ +2)(2γ +1) C a saddle for (3–γ )(3γ –1) > δ possible Naimark-Sacker bifurcation f ′ u = v2(Cδ–γ ) (Cv2+u)2 f ′ v = 2uv(γ –Cδ) (Cv2+u)2 Table 3 Equations of type (2,2) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = βxnxn–1+γ x2 n–1 Cx2 n–1+xn ¯x = β+γ –1 C for β + γ > 1 no eq. point for β + γ ≤1 LAS for (3β + γ > 3 ∧γ ≤3) ∨γ > 3 a saddle point for β < 1 ∧β + γ > 1 ∧3β + γ < 3 a non-hyp. eq. for γ < 3 ∧3β + γ = 3 {φ1,ψ1} = {0,γ /C}-LAS for β < 1 saddle for β > 1; non-hyp. for β = 1 {φ2,ψ2} exists for β < 1, 3β + γ > 3 a saddle point for β < 1, 3β + γ > 3 ψ1 = (γ +1–β)+√ (γ +1–β)(3β+γ –3) 2c φ2 = (γ +1–β)–√ (γ +1–β)(3β+γ –3) 2c f ′ u = v2(Cvβ–γ ) (Cv2+u)2 f ′ v = u(v(2γ –Cvβ)+uβ) (Cv2+u)2 xn+1 = βxnxn–1+γ x2 n–1 Bxn–1xn+xn ¯x = β+γ –1 B for β + γ > 1 LAS for β > γ + 1 a saddle for 1 – γ < β < γ + 1 a non-hyp. for β = γ + 1 {φ,ψ} for φ,ψ > 0 for β = γ + 1 f ′ u = – v2γ u2(Bv+1) f ′ v = vγ (Bv+2)+uβ u(Bv+1)2 xn+1 = βxn–1xn+δxn Bxnxn–1+x2 n–1 ¯x = √ 4Bδ+β2+4δ+β 2(B+1) LAS for Bβ2 > δ a repeller for Bβ2 < δ a non-hyp. 2 Local stability of the positive equilibrium for δ = 2γ 2 possible Naimark-Sacker bifurcation f ′ u = δ v2 f ′ v = –2uδ v3 xn+1 = γ x2 n–1+δxn xn ¯x = δ γ –1 for γ < 1 LAS for 3γ < 1 a saddle point for 3γ > 1 a non-hyp. for 3γ = 1 {φ,ψ} for 3γ < 1 φ = –√ (γ +1)(1–3γ )δ2+γ δ+δ 2γ (γ +1) ψ = √ (γ +1)(1–3γ )δ2+γ δ+δ 2γ (γ +1) a saddle point for 3γ < 1 f ′ u = – v2γ u2 f ′ v = 2vγ u When δ = , B + C >  and β + γ > D the unique positive equilibrium of () is given by the unique positive equilibrium of () is given by ¯x = β + γ – D B + C . ¯x = β + γ – D B + C . When When δ > , B + C =  and D > β + γ the unique positive equilibrium of () is given by ¯x = δ D – β – γ . ¯x = δ D – β – γ . Finally when δ >  and B + C >  δ >  and B + C >  the only equilibrium point of () is the positive solution the only equilibrium point of () is the positive solution ¯x =  δ(B + C) + (D – β – γ )– D + β + γ (B + C) of the quadratic equation (). Page 6 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Table 3 Equations of type (2,2) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = βxnxn–1+γ x2 n–1 Cx2 n–1+xn ¯x = β+γ –1 C for β + γ > 1 no eq. point for β + γ ≤1 LAS for (3β + γ > 3 ∧γ ≤3) ∨γ > 3 a saddle point for β < 1 ∧β + γ > 1 ∧3β + γ < 3 a non-hyp. eq. for γ < 3 ∧3β + γ = 3 {φ1,ψ1} = {0,γ /C}-LAS for β < 1 saddle for β > 1; non-hyp. 2 Local stability of the positive equilibrium for β = 1 {φ2,ψ2} exists for β < 1, 3β + γ > 3 a saddle point for β < 1, 3β + γ > 3 ψ1 = (γ +1–β)+√ (γ +1–β)(3β+γ –3) 2c φ2 = (γ +1–β)–√ (γ +1–β)(3β+γ –3) 2c f ′ u = v2(Cvβ–γ ) (Cv2+u)2 f ′ v = u(v(2γ –Cvβ)+uβ) (Cv2+u)2 xn+1 = βxnxn–1+γ x2 n–1 Bxn–1xn+xn ¯x = β+γ –1 B for β + γ > 1 LAS for β > γ + 1 a saddle for 1 – γ < β < γ + 1 a non-hyp. for β = γ + 1 {φ,ψ} for φ,ψ > 0 for β = γ + 1 f ′ u = – v2γ u2(Bv+1) f ′ v = vγ (Bv+2)+uβ u(Bv+1)2 xn+1 = βxn–1xn+δxn Bxnxn–1+x2 n–1 ¯x = √ 4Bδ+β2+4δ+β 2(B+1) LAS for Bβ2 > δ a repeller for Bβ2 < δ a non-hyp. for Bβ2 = δ no minimal period-two solution f ′ u = vβ+δ (Bu+v)2 f ′ v = –u(Buδ+v2β+2vδ) v2(Bu+v)2 xn+1 = βxn–1xn+δxn Cx2 n–1+xn ¯x = √ 4Cδ+(β–1)2+β–1 2C a LAS for cδ < 2D(1 + β) a repeller for cδ > 2D(1 + β) a non-hyp. eq. for cδ = 2D(1 + β) no minimal period-two solution f ′ u = Cv2(vβ+δ) (Cv2+u)2 f ′ v = u(uβ–Cv(vβ+2δ)) (Cv2+u)2 xn+1 = γ x2 n–1+δxn Bxn–1xn+x2 n–1 ¯x = √ 4Bδ+γ 2+4δ+γ 2(B+1) LAS for 3(B–1)γ 2 (B+2)2 < 4δ or δ < 2(2B + 1)γ 2 saddle point for B > 1 ∧δ < 3(B–1)γ 2 4(B+2)2 non-hyp. eq. for (4b + 2)γ 2 = δ or 4(B+2)2δ = 3(B–1)γ 2 repeller for δ > 2(2B + 1)γ 2 possible Naimark-Sacker bifurcation f ′ u = δ–Bvγ (Bu+v)2 f ′ v = u(Bv2γ –2vδ–Buδ) v2(Bu+v)2 xn+1 = γ x2 n–1+δxn Bxnxn–1+xn ¯x = √ 4Bδ+(1–γ )2+γ –1 2B LAS for δ > (γ +1)(3γ –1) 4B a saddle point for δ < (γ +1)(3γ –1) 4B a non-hyperbolic eq. 2 Local stability of the positive equilibrium for δ = γ (β + 2γ ) possible Naimark-Sacker bifurcation f ′ u = vβ+δ v2 f ′ v = –uvβ–2uδ v3 xn+1 = βxnxn–1+γ x2 n–1+δxn xn ¯x = δ 1–β–γ LAS for β > γ or β + 3γ < 1 a saddle for β + 3γ > 1 a non-hyperbolic eq. for β + 3γ = 1 {φ,ψ} exists for β + 3γ < 1 φ = δ(γ –β+1+√ (β–γ –1)(β+3γ –1)) 2γ (–β+γ +1) ψ = δ(γ –β+1–√ (β–γ –1)(β+3γ –1)) 2γ (–β+γ +1) a saddle point for β + 3γ < 1 f ′ u = – v2γ u2 f ′ v = uβ+2vγ u Table 5 Equations of type (1,3) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = xn–1xn Bxnxn–1+Cx2 n–1+Dxn ¯x = 1–D B+C exists for D < 1 LAS for D < 1 no minimal period-two sol. f ′ u = Cv3 (v(Bu+Cv)+Du)2 f ′ v = Du2–Cuv2 (Buv+Cv2+Du)2 xn+1 = x2 n–1 Bxnxn–1+Cx2 n–1+Dxn ¯x = 1–D B+C exists for D < 1 LAS for D < C–B B+3C a saddle for D > C–B B+3C a non-hyp. for D = C–B B+3C {φ1,ψ1} = {0,1/C}-LAS {φ2,ψ2} exists for D < C–B B+3C φ2 = D+1+ √ B–C 2C φ2 = D+1– √ B–C 2C  = (D + 1)(B – C)(BD + B + 3CD – C) a saddle point for D < C–B B+3C f ′ u = –v2(Bv+D) (v(Bu+Cv)+Du)2 f ′ v = Buv2+2Duv (Buv+Cv2+Du)2 xn+1 = xn Bxnxn–1+Cx2 n–1+Dxn ¯x = √ 4B+4C+D2–D 2(B+C) LAS for B > C2–2CD2 D2 a repeller for B < C2–2CD2 D2 a non-hyp. eq. for B = C2–2CD2 D2 no minimal period-two sol. f ′ u = Cv2 (v(Bu+Cv)+Du)2 f ′ v = –u(Bu+2Cv) (Buv+Cv2+Du)2 Table 5 Equations of type (1,3) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = xn–1xn Bxnxn–1+Cx2 n–1+Dxn ¯x = 1–D B+C exists for D < 1 LAS for D < 1 no minimal period-two sol. f ′ u = Cv3 (v(Bu+Cv)+Du)2 f ′ v = Du2–Cuv2 (Buv+Cv2+Du)2 xn+1 = x2 n–1 Bxnxn–1+Cx2 n–1+Dxn ¯x = 1–D B+C exists for D < 1 LAS for D < C–B B+3C a saddle for D > C–B B+3C a non-hyp. 2 Local stability of the positive equilibrium for Bβ2 = δ no minimal period-two solution f ′ u = vβ+δ (Bu+v)2 f ′ v = –u(Buδ+v2β+2vδ) v2(Bu+v)2 xn+1 = βxn–1xn+δxn Cx2 n–1+xn ¯x = √ 4Cδ+(β–1)2+β–1 2C a LAS for cδ < 2D(1 + β) a repeller for cδ > 2D(1 + β) a non-hyp. eq. for cδ = 2D(1 + β) no minimal period-two solution f ′ u = Cv2(vβ+δ) (Cv2+u)2 f ′ v = u(uβ–Cv(vβ+2δ)) (Cv2+u)2 xn+1 = γ x2 n–1+δxn Bxn–1xn+x2 n–1 ¯x = √ 4Bδ+γ 2+4δ+γ 2(B+1) LAS for 3(B–1)γ 2 (B+2)2 < 4δ or δ < 2(2B + 1)γ 2 saddle point for B > 1 ∧δ < 3(B–1)γ 2 4(B+2)2 non-hyp. eq. for (4b + 2)γ 2 = δ or 4(B+2)2δ = 3(B–1)γ 2 repeller for δ > 2(2B + 1)γ 2 possible Naimark-Sacker bifurcation f ′ u = δ–Bvγ (Bu+v)2 f ′ v = u(Bv2γ –2vδ–Buδ) v2(Bu+v)2 xn+1 = γ x2 n–1+δxn Bxnxn–1+xn ¯x = √ 4Bδ+(1–γ )2+γ –1 2B LAS for δ > (γ +1)(3γ –1) 4B a saddle point for δ < (γ +1)(3γ –1) 4B a non-hyperbolic eq. for δ = (γ +1)(3γ –1) 4B {φ,ψ} exists for (γ +1)(3γ –1) 4B < δ < γ (γ +1) B φ = δ(–√ 4Bδ–γ (3γ +2)+1+γ +1) 2(–Bδ+γ 2+γ ) ψ = δ(√ 4Bδ–γ (3γ +2)+1+γ +1) 2(–Bδ+γ 2+γ ) a saddle point for (γ +1)(3γ –1) 4B < δ < γ (γ +1) B f ′ u = – v2γ u2(Bv+1) f ′ v = vγ (Bv+2)–Buδ u(Bv+1)2 xn+1 = γ x2 n–1+δxn Cx2 n–1+xn ¯x = √ 4Cδ+(1–γ )2+γ –1 2C LAS δ < (γ +2)(2γ +1) C and (3–γ )(3γ –1) 16C < δ a repeller for δ > (γ +2)(2γ +1) C a saddle for (3–γ )(3γ –1) 16C > δ a non-hyp. eq. for (3–γ )(3γ –1) 16C = δ or δ = (γ +2)(2γ +1) C possible Naimark-Sacker bifurcation f ′ u = v2(Cδ–γ ) (Cv2+u)2 f ′ v = 2uv(γ –Cδ) (Cv2+u)2 f ′ u = δ–Bvγ (Bu+v)2 f ′ v = u(Bv2γ –2vδ–Buδ) v2(Bu+v)2 Page 7 of 32 Kulenovi´c et al. 2 Local stability of the positive equilibrium Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Table 4 Equations of type (3,1) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = βxnxn–1+γ x2 n–1+δxn xn–1xn ¯x = √ (β+γ )2+4δ+β+γ 2 LAS for β > γ or β ≤γ ∧β2 + 2βγ + 4δ > 3γ 2 a saddle point for β < γ ∧β2 + 2βγ + 4δ < 3γ 2 a non-hyp. eq. for β < γ ∧β2 + 2βγ + 4δ = 3γ 2 no minimal period-two sol. f ′ u = – vγ u2 f ′ v = v2γ –uδ uv2 xn+1 = βxnxn–1+γ x2 n–1+δxn x2 n–1 ¯x = √ (β+γ )2+4δ+β+γ 2 LAS for δ < γ (β + 2γ ) a repeller for δ > γ (β + 2γ ) a non-hyp. eq. for δ = γ (β + 2γ ) possible Naimark-Sacker bifurcation f ′ u = vβ+δ v2 f ′ v = –uvβ–2uδ v3 xn+1 = βxnxn–1+γ x2 n–1+δxn xn ¯x = δ 1–β–γ LAS for β > γ or β + 3γ < 1 a saddle for β + 3γ > 1 a non-hyperbolic eq. for β + 3γ = 1 {φ,ψ} exists for β + 3γ < 1 φ = δ(γ –β+1+√ (β–γ –1)(β+3γ –1)) 2γ (–β+γ +1) ψ = δ(γ –β+1–√ (β–γ –1)(β+3γ –1)) 2γ (–β+γ +1) a saddle point for β + 3γ < 1 f ′ u = – v2γ u2 f ′ v = uβ+2vγ u Table 4 Equations of type (3,1) Table 4 Equations of type (3,1) Equation Equilibrium point Stability of equilibrium point Period-two solution and stability Partial derivatives xn+1 = βxnxn–1+γ x2 n–1+δxn xn–1xn ¯x = √ (β+γ )2+4δ+β+γ 2 LAS for β > γ or β ≤γ ∧β2 + 2βγ + 4δ > 3γ 2 a saddle point for β < γ ∧β2 + 2βγ + 4δ < 3γ 2 a non-hyp. eq. for β < γ ∧β2 + 2βγ + 4δ = 3γ 2 no minimal period-two sol. f ′ u = – vγ u2 f ′ v = v2γ –uδ uv2 xn+1 = βxnxn–1+γ x2 n–1+δxn x2 n–1 ¯x = √ (β+γ )2+4δ+β+γ 2 LAS for δ < γ (β + 2γ ) a repeller for δ > γ (β + 2γ ) a non-hyp. eq. 2 Local stability of the positive equilibrium for D = C–B B+3C {φ1,ψ1} = {0,1/C}-LAS {φ2,ψ2} exists for D < C–B B+3C φ2 = D+1+ √ B–C 2C φ2 = D+1– √ B–C 2C  = (D + 1)(B – C)(BD + B + 3CD – C) a saddle point for D < C–B B+3C f ′ u = –v2(Bv+D) (v(Bu+Cv)+Du)2 f ′ v = Buv2+2Duv (Buv+Cv2+Du)2 xn+1 = xn Bxnxn–1+Cx2 n–1+Dxn ¯x = √ 4B+4C+D2–D 2(B+C) LAS for B > C2–2CD2 D2 a repeller for B < C2–2CD2 D2 a non-hyp. eq. for B = C2–2CD2 D2 no minimal period-two sol. f ′ u = Cv2 (v(Bu+Cv)+Du)2 f ′ v = –u(Bu+2Cv) (Buv+Cv2+Du)2 Table 5 Equations of type (1,3) Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 8 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Kulenovic et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 http://www.advancesindifferenceequations.com/content/2014/1/68 In summary, it is interesting to observe that when () has a positive equilibrium ¯x, then ¯x is unique and it satisfies () and (). This observation simplifies the investigation of the local stability of the positive equilibrium of (). Next, we investigate the stability of the positive equilibrium of (). Set f (u,v) = uvβ + uδ + vγ Buv + Cv+ Du and observe that and observe that fu(u,v) = v(C(vβ + δ) – γ (Bv + D)) (v(Bu + Cv) + Du) and fv(u,v) = u(–Buδ + Bvγ – Cv(vβ + δ) + D(uβ + vγ )) (v(Bu + Cv) + Du) . If ¯x denotes an equilibrium point of (), then the linearized equation associated with () about the equilibrium point ¯x is zn+= pzn + qzn–, where p = fu(¯x, ¯x) and q = fv(¯x, ¯x). p = fu(¯x, ¯x) and q = fv(¯x, ¯x). Theorem Assume that δ = , B + C >  and β + γ > D. Then the unique equilibrium point p = fu(¯x, ¯x) = ¯x(Cβ – Bγ ) + Cδ – Dγ (¯x(B + C) + D) = ¯x(Cβ – Bγ ) + Cδ – Dγ D¯x(B + C) + ¯x(B + C)+ D = ¯x(Cβ – Bγ ) + Cδ – Dγ ¯x(B + C)(D + β + γ ) + δ(B + C) + D, Then the unique equilibrium point ¯x = β + γ – D B + C of () is f (i) locally asymptotically stable if C(–D + β + γ ) > B(D – β + γ ); (ii) a saddle point if C(–D + β + γ ) < B(D – β + γ ); (iii) a non-hyperbolic equilibrium if C(–D + β + γ ) = B(D – β + γ ) or (B = γ = D = ∧β > ∧C > ). ( ) y y p y f ( β γ ) ( β γ ); (ii) a saddle point if C(–D + β + γ ) < B(D – β + γ ); (iii) a non-hyperbolic equilibrium if C(–D + β + γ ) = B(D – β + γ ) or (B = γ = D = ∧β > ∧C > ). Proof It is easy to see that p = fu(¯x, ¯x) = C(β – D) – Bγ (B + C)(β + γ ) and q = fv(¯x, ¯x) = B(D + γ ) + C(D – β) (B + C)(β + γ ) . Then the proof follows from Theorem ..in [] and the fact that Then the proof follows from Theorem ..in [] and the fact that – p – q = β + γ – D β + γ > , p – q + = C(–D + β + γ ) – B(D – β + γ ) (B + C)(β + γ ) Page 9 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 and q + = B(D + β + γ ) + C(D + γ ) (B + C)(β + γ ) ≥. □ Theorem Assume that Theorem Assume that Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 q = fv(¯x, ¯x) = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) (¯x(B + C) + D) = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) D¯x(B + C) + ¯x(B + C)+ D = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) ¯x(B + C)(D + β + γ ) + δ(B + C) + D, () q = fv(¯x, ¯x) = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) (¯x(B + C) + D) = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) D¯x(B + C) + ¯x(B + C)+ D = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) ¯x(B + C)(D + β + γ ) + δ(B + C) + D, = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) ¯x(B + C)(D + β + γ ) + δ(B + C) + D, () () and and p – q + = ¯x(B(D + β – γ ) + C(D + β + γ )) + δ(B + C) + D– D(β + γ ) ¯x(B + C)(D + β + γ ) + δ(B + C) + D , – p – q = ¯x(B + C)(D + β + γ ) + δ(B + C) + D– D(β + γ ) ¯x(B + C)(D + β + γ ) + δ(B + C) + D , q + = ¯x(B(D + β + γ ) + C(D + γ )) – Cδ + D(D + β + γ ) ¯x(B + C)(D + β + γ ) + δ(B + C) + D , q – = ¯x(Bγ – Cβ) – δ(B + C) + D(β + γ ) ¯x(B + C)(D + β + γ ) + δ(B + C) + D. () () Let Let ρ= D(–D + β + γ ) – δ(B + C) B(D + β – γ ) + C(D + β + γ ), ρ= D(–D + β + γ ) – δ(B + C) (B + C)(D + β + γ ) , ρ= Cδ – D(D + β + γ ) B(D + β + γ ) + C(D + γ ). Theorem Assume that δ > , B + C =  and D > β + γ . Then the unique equilibrium point ¯x = δ D – β – γ of () is of () is (i) locally asymptotically stable if D > β + γ ; (ii) a saddle point if β + γ < D < β + γ ; (iii) a non-hyperbolic if D = β + γ . (i) locally asymptotically stable if D > β + γ ; (ii) a saddle point if β + γ < D < β + γ ; (iii) a non-hyperbolic if D = β + γ . Proof It is easy to see that Proof It is easy to see that p = fu(¯x, ¯x) = – γ D and q = fv(¯x, ¯x) = β + γ D . Then the proof follows from Theorem ..in [] and the fact that Then the proof follows from Theorem ..in [] and the fact that – p – q = D – β – γ β + γ , p – q + = D – β – γ D , q + = D + β + γ D . □ □ As we previously mentioned if δ >  and B + C >  δ >  and B + C >  the only equilibrium point of () is the positive solution the only equilibrium point of () is the positive solution ¯x =  δ(B + C) + (D – β – γ )– D + β + γ (B + C) of the quadratic equation (). By using the identity of the quadratic equation (). By using the identity ¯x(B + C) = ¯x(β + γ – D) + δ one can see that p = fu(¯x, ¯x) = ¯x(Cβ – Bγ ) + Cδ – Dγ (¯x(B + C) + D) = ¯x(Cβ – Bγ ) + Cδ – Dγ D¯x(B + C) + ¯x(B + C)+ D = ¯x(Cβ – Bγ ) + Cδ – Dγ ¯x(B + C)(D + β + γ ) + δ(B + C) + D, () Difference Equations 2014, 2014:68 Page 10 of 32 ferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 10 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 10 of 32 Kulenovi´c et al. Theorem Assume that Advances in Difference Equations 2014, 2014:68 Page 11 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 11 of 32 (a) Then – p – q > is true for all values of parameters. (b) Then p – q + > if and only if δ > –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) . δ > –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) . (c) Then q + > if and only if C =  or (c) Then q + > if and only if or C >  and δ < (D + β + γ )(B(D + β + γ ) + C(D + γ )) C . C >  and δ < (D + β + γ )(B(D + β + γ ) + C(D + γ )) C . Proof (a) The inequality – q – p > is equivalent to Proof (a) The inequality – q – p > is equivalent to D(–D + β + γ ) – δ(B + C) ≤ or  D(–D + β + γ ) – δ(B + C) > and F(ρ) <   , D(–D + β + γ ) – δ(B + C) ≤ or  D(–D + β + γ ) – δ(B + C) > and F(ρ) <   , which is equivalent to C ≥D(–D + β + γ ) – Bδ δ or  C < D(–D + β + γ ) – Bδ δ and C < –Bδ + Dβ + Dγ δ  . Since Since –Bδ + Dβ + Dγ δ – D(–D + β + γ ) – Bδ δ = D+ Dβ + Dγ δ ≥ we find that – q – p > is always true. (b) There are three cases to consider. (i) Assume B(D + β – γ ) + C(D + β + γ ) > . Then p – q + > is equivalent to ¯x > ρ. One can see that (i) Assume B(D + β – γ ) + C(D + β + γ ) > . Then p – q + > is equivalent to ¯x > ρ. Theorem Assume that () ρ= D(–D + β + γ ) – δ(B + C) B(D + β – γ ) + C(D + β + γ ), ρ= D(–D + β + γ ) – δ(B + C) (B + C)(D + β + γ ) , ρ= Cδ – D(D + β + γ ) B(D + β + γ ) + C(D + γ ). () Now if we set F(u) = u(B + C) + u(D – β – γ ) – δ F(u) = u(B + C) + u(D – β – γ ) – δ it is clear that F(¯x) = and that ¯x > ρ if and only if F(ρ) < while ¯x < σ if and only if F(σ) > for some ρ,σ ∈[,∞). it is clear that F(¯x) = and that ¯x > ρ if and only if F(ρ) < while ¯x < σ if and only if F(σ) > for some ρ,σ ∈[,∞). A straightforward computation gives A straightforward computation gives F(ρ) =  δ(B + C) – D(β + γ )  × ((D – β – γ )((B + C)(D – β) + γ (B – C)) + δ(B + C)) (BD + Bβ – Bγ + CD + Cβ + Cγ ) , F(ρ) = (δ(B + C) – D(β + γ ))(δ(B + C) + (–D + β + γ )) (B + C)(D + β + γ ) , F(ρ) = (D(β + γ ) – δ(B + C))(B(D + β + γ )+ C((D + γ )(D + β + γ ) – Cδ)) (BD + Bβ + Bγ + CD + Cγ ) . F(ρ) =  δ(B + C) – D(β + γ )  × ((D – β – γ )((B + C)(D – β) + γ (B – C)) + δ(B + C)) (BD + Bβ – Bγ + CD + Cβ + Cγ ) , F(ρ) = (δ(B + C) – D(β + γ ))(δ(B + C) + (–D + β + γ )) (B + C)(D + β + γ ) , Lemma Let p and q be partial derivatives given by () and (). Assume that δ > , B + C > . δ > , B + C > . Kulenovi´c et al. Theorem Assume that One can see that (i) Assume B(D + β – γ ) + C(D + β + γ ) > . Then p – q + > is equivalent to ¯x > ρ. One can see that F(ρ) <  if and only if if and only if δ ∈  –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) , D(β + γ ) B + C  , since since D(β + γ ) B + C + (D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) = (B(D + β – γ ) + C(D + β + γ ))(B(D + β + γ ) + C(D + β + γ )) (B + C)(B + C) > . D(β + γ ) B + C + (D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) D(β + γ ) B + C + (D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) B + C (B + C) = (B(D + β – γ ) + C(D + β + γ ))(B(D + β + γ ) + C(D + β + γ )) (B + C)(B + C) > . Difference Equations 2014, 2014:68 Page 12 of 32 ferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 12 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 12 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 12 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Theorem Assume that Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 q , http://www.advancesindifferenceequations.com/content/2014/1/68 From (), we have p – q + > if and only if From (), we have p – q + > if and only if From (), we have p – q + > if and only if δ ≥–D(D – β – γ ) (B + C) or  δ < –D(D – β – γ ) (B + C) and F(ρ) <   , which is equivalent to δ ≥–D(D – β – γ ) (B + C) or δ ∈  –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) ,–D(D – β – γ ) (B + C)  , () () since D(D – β – γ ) (B + C) – (D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) = (D – β – γ )(B(D + β – γ ) + C(D + β + γ )) (B + C) <  () () and D(D – β – γ ) (B + C) + D(β + γ ) B + C = D(B(D + β – γ ) + C(D + β + γ )) (B + C)(B + C) . Statement () is equivalent to δ > –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) , D(D – β – γ ) (B + C) + D(β + γ ) B + C = D(B(D + β – γ ) + C(D + β + γ )) (B + C)(B + C) . Statement () is equivalent to δ > –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) , from which the proof follows. (ii) Assume B(D + β – γ ) + C(D + β + γ ) < . Then p – q + > if and only if ¯x < ρ. It is easy to see that F(ρ) >  F(ρ) >  if and only if if and only if δ < D(β + γ ) B + C or δ > –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) , which implies that p – q + > if and only if which implies that p – q + > if and only if δ > –D(D – β – γ ) (B + C) and F(ρ) >  δ > –D(D – β – γ ) (B + C) and F(ρ) >  which is equivalent to which is equivalent to δ > –D(D – β – γ ) (B + C) and δ > –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) , () () since D(D – β – γ ) (B + C) + D(β + γ ) B + C = D(B(D + β – γ ) + C(D + β + γ )) (B + C)(B + C) < . Difference Equations 2014, 2014:68 Page 13 of 32 ferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 13 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 13 of 32 In view of the left-hand side of () we see that () is equivalent to ( ) ( ) q δ > –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) , from which the proof follows. from which the proof follows. (iii) If B(D + β – γ ) + C(D + β + γ ) = , then the proof follows from (). (c) The inequality q > –is equivalent to (iii) If B(D + β – γ ) + C(D + β + γ ) = , then the proof follows from (). from which the proof follows. (c) The inequality q > –is equivalent to Cδ – D(D + β + γ ) ≤ or  Cδ – D(D + β + γ ) > and F(ρ) <   , () () which is true for C = . If C > , then () is equivalent to δ ≤D(D + β + γ ) C () δ ≤D(D + β + γ ) C () () r or or δ > D(D + β + γ ) C and δ ∈ D(β + γ ) B + C , (D + β + γ )(B(D + β + γ ) + C(D + γ )) C  , () () since (D + β + γ )(B(D + β + γ ) + C(D + γ )) C – D(β + γ ) B + C = (B(D + β + γ ) + C(D + γ ))(B(D + β + γ ) + C(D + β + γ )) C(B + C) > . It is easy to see that It is easy to see that D(D + β + γ ) C – (D + β + γ )(B(D + β + γ ) + C(D + γ )) C = –(D + β + γ )(B(D + β + γ ) + C(D + γ )) C ≤ and D(β + γ ) B + C – D(D + β + γ ) C = –D(B(D + β + γ ) + C(D + γ )) C(B + C) ≤, D(D + β + γ ) C – (D + β + γ )(B(D + β + γ ) + C(D + γ )) C = –(D + β + γ )(B(D + β + γ ) + C(D + γ )) C ≤ and δ ∈ D(D + β + γ ) C , (D + β + γ )(B(D + β + γ ) + C(D + γ )) C  . () () Since C > , in view of () we find that () and () are equivalent to δ < (D + β + γ )(B(D + β + γ ) + C(D + γ )) C . □ C Page 14 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. from which the proof follows. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Theorem Assume δ > , B + C > . Then the unique equilibrium point ¯x =  δ(B + C) + (D – β – γ )– D + β + γ (B + C) of () is (i) locally asymptotically stable if and only if any of the following holds: (a) C >  and –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) < δ < (D + β + γ )(B(D + β + γ ) + C(D + γ )) C δ > , B + C > . –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) < δ < (D + β + γ )(B(D + β + γ ) + C(D + γ )) C (b) (b) C =  and δ > –(D – β – γ )(D – β + γ ) B ; C =  and δ > –(D – β – γ )(D – β + γ ) B ; (ii) a repeller if and only if the following holds: C >  and δ > (D + β + γ )(B(D + β + γ ) + C(D + γ )) C ; C >  and δ > (D + β + γ )(B(D + β + γ ) + C(D + γ )) C ; (iii) a saddle point if and only if the following holds: (iii) a saddle point if and only if the following holds: δ < –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) ; (iv) a non-hyperbolic equilibrium if and only if any of the following holds: (a) (iv) a non-hyperbolic equilibrium if and only if any of the following holds: (a) δ = –(D – β – γ )((B + C)(D – β) + γ (B – C)) (B + C) (b) (b) C >  and δ = (D + β + γ )(B(D + β + γ ) + C(D + γ )) C . Proof The proof follows from Theorem ..in [] and Lemma . □ □ Page 15 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 q , http://www.advancesindifferenceequations.com/content/2014/1/68 http://www.advancesindifferenceequations.com/content/2014/1/68 In addition to the conditions x,y > it is necessary that x– y > . 3 Existence of period-two solutions Assume that {φ,ψ} is a minimal period-two solution of (). Then φ = f (ψ,φ) and ψ = f (φ,ψ) with ψ,φ ∈[,∞) and φ ̸= ψ, φ = f (ψ,φ) and ψ = f (φ,ψ) with ψ,φ ∈[,∞) and φ ̸= ψ, which is equivalent to which is equivalent to φ = βφψ + γ φ+ δψ Bφψ + Cφ+ Dψ and ψ = βφψ + γ ψ+ δφ Bφψ + Cψ+ Dφ , from which it immediately follows that from which it immediately follows that from which it immediately follows that φ  Bφψ + Cφ+ Dψ  = βφψ + γ φ+ δψ () d φ  Bφψ + Cφ+ Dψ  = βφψ + γ φ+ δψ () φ  Bφψ + Cφ+ Dψ  = βφψ + γ φ+ δψ () and and ψ  Bφψ + Cψ+ Dφ  = βφψ + γ ψ+ δφ. () () Lemma Equation () has a minimal period-two solution {φ,ψ} with φψ = if and only if the following holds: (i) δ = , γ > and C > , then {φ,ψ} = {,γ /C} is the minimal period-two solution. (ii) δ = , γ = and C = , then {φ,ψ} = {,ψ}, with ψ ̸= is a minimal period-two solution. Proof If φ = , then () and () are equivalent to ψδ =  and ψ(Cψ – γ ) = , ψδ =  and ψ(Cψ – γ ) = , ψδ =  and ψ(Cψ – γ ) = , from which the proof follows. □ from which the proof follows. □ from which the proof follows. (iii) If δ = , γ > and C > then () has two minimal period-two solutions {,γ /C} and {φ,ψ} where (iii) If δ = , γ > and C > then () has two minimal period-two solutions {,γ /C} and {φ,ψ} where φ = (B – C)(D – β + γ ) + √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , φ = (B – C)(D – β + γ ) + √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , ψ = (B – C)(D – β + γ ) – √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , ψ = (B – C)(D – β + γ ) – √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , if and only if if and only if  (B + C)(D – β) + γ (B – C)  (B – C) >  and D – β + γ > ∧(B – C)(D – β) < .  (B + C)(D – β) + γ (B – C)  (B – C) >  and D – β + γ > ∧(B – C)(D – β) < . (iv) If δ = C = , γ > then () has no minimal period-two solution. (iv) If δ = C = , γ > then () has no minimal period-two solution. Proof (i) The proof follows from (), since φ,ψ ≥and φ ̸= ψ. (ii) Assume that C = and δ > . By using () we see that x and y satisfy the following equations: y(–D + β – γ ) + xδ = ∧By = (xγ – δ). () () me that γ (D – β + γ ) – Bδ ̸= . The solution of system () is given by Assume that γ (D – β + γ ) – Bδ ̸= . from which the proof follows. (ii) If C = , γ > and δ > then () has the minimal period-two solution {φ,ψ} where (i) If γ = then () has no a minimal period-two solution. (ii) If C = , γ > and δ > then () has the minimal period-two solution {φ,ψ} where (i) If γ then () has no a minimal period two solution. (ii) If C = , γ > and δ > then () has the minimal period-two solution {φ,ψ} whe (ii) If C = , γ > and δ > then () has the minimal period-two solution {φ,ψ} where (ii) If C = , γ > and δ > then () has the minimal period-two solution {φ,ψ} where φ = δ(D – β + γ +  Bδ + (D – β – γ )(D – β + γ )) γ (D – β + γ ) – Bδ , () ψ = δ(D – β + γ –  Bδ + (D – β – γ )(D – β + γ )) γ (D – β + γ ) – Bδ () () () if and only if if and only if Bδ + (D – β – γ )(D – β + γ ) >  and γ (D – β + γ ) – Bδ > . Bδ + (D – β – γ )(D – β + γ ) >  and γ (D – β + γ ) – Bδ > . from which the proof follows. □ Assume that φψ ̸= . Subtracting equations () and () we get (φ – ψ)  φψ(B + C) + C  φ+ ψ – γ (φ + ψ) + δ  = . () Assume that φψ ̸= . Subtracting equations () and () we get Assume that φψ ̸= . Subtracting equations () and () we get (φ – ψ)  φψ(B + C) + C  φ+ ψ – γ (φ + ψ) + δ  = . () (φ – ψ)  φψ(B + C) + C  φ+ ψ – γ (φ + ψ) + δ  = . () () (φ – ψ)  φψ(B + C) + C  φ+ ψ – γ (φ + ψ) + δ  = Dividing () by φ and () by ψ and subtracting them we get (φ – ψ)(φψ(C(φ + ψ) – D + β – γ ) + δ(φ + ψ)) φψ = . If we set φ + ψ = x and φψ = y, φ + ψ = x and φψ = y, φ + ψ = x and φψ = y, where x,y > , then φ and ψ are positive and different solutions of the quadratic equation where x,y > , then φ and ψ are positive and different solutions of the quadratic equation t– xt + y = . () t– xt + y = . () t– xt + y = . () In addition to the conditions x,y > it is necessary that x– y > . In addition to the conditions x,y > it is necessary that x– y > . Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 16 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 16 of 32 From () and () we get the system From () and () we get the system  y(Cx – D + β – γ ) + xδ = , y(B – C) + Cx– xγ + δ = . () () Theorem For () the following holds: (i) If γ = then () has no a minimal period-two solution. (i) If γ = then () has no a minimal period-two solution. (i) If γ = then () has no a minimal period-two solution. from which the proof follows. The solution of system () is given by x = δ(D – β + γ ) γ (D – β + γ ) – Bδ , y = δ γ (D – β + γ ) – Bδ , x = δ(D – β + γ ) γ (D – β + γ ) – Bδ , y = δ γ (D – β + γ ) – Bδ , and x,y > ∧x– y > if and only if Bδ + (D – β – γ )(D – β + γ ) > ∧γ (D – β + γ ) – Bδ > , and x,y > ∧x– y > if and only if and x,y > ∧x– y > if and only if and x,y > ∧x– y > if and only if Bδ + (D – β – γ )(D – β + γ ) > ∧γ (D – β + γ ) – Bδ > , Difference Equations 2014, 2014:68 Page 17 of 32 ferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 17 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 17 of 32 since x– y = δ(D – β + γ ) (γ (D – β + γ ) – Bδ)– δ γ (D – β + γ ) – Bδ = δ(Bδ + (D – β – γ )(D – β + γ )) (γ (D – β + γ ) – Bδ) . In this case the equation In this case the equation t– δ(D – β + γ ) γ (D – β + γ ) – Bδ t + δ γ (D – β + γ ) – Bδ =  has positive distinct solutions which are given by t± = δ(D – β + γ ±  Bδ + (D – β – γ )(D – β + γ )) γ (D – β + γ ) – Bδ . If γ (D – β + γ ) – Bδ = , it is easy to see that system () has no solutions from which follows that () has no minimal period-two solution. (iii) Assume that δ = , γ > and C > . By using () we find that x and y satisfy the following equations:  y(Cx – D + β – γ ) = , y(B – C) + Cx– xγ = . from which the proof follows. □ Theorem Assume that C = B > , δ > and γ > . Let x± = γ ±  γ – Cδ C , y± = δ((γ ±  γ – Cδ)(D – β + γ ) – Cδ) C(Cδ + (D – β)(D – β + γ )) . Then for () the following holds: Then for () the following holds: Then for () the following holds: (i) If γ > cδ and D >    γ – Cδ + γ  + β then () has two minimal period-two solutions {φ+,ψ+} and {φ–,ψ–}, where φ+ and ψ+ are solutions of equation t– x+t + y+ = and φ– and ψ– are solutions of equation t– x–t + y– = . (ii) If γ > cδ and    γ –  γ – Cδ  + β < D ≤   γ +  γ – Cδ  + β then () has one minimal period-two solution {φ+,ψ+} where φ+ and ψ+ are solutions of equation t– x+t + y+ = . then () has one minimal period-two solution {φ+,ψ+} where φ+ and ψ+ are solutions of equation t– x+t + y+ = . (iii) In all other cases () has no minimal period-two solution. (iii) In all other cases () has no minimal period-two solution. Proof It is clear that (x±,y±) are solutions of system (). Then minimal period-two so- lutions are solutions of the equation t– x+t + y+ = if x+,y+ > ∧x + – y+ > and the equation t– x–t + y– = if x–,y– > ∧x – – y– > . Let Proof It is clear that (x±,y±) are solutions of system (). Then minimal period-two so- lutions are solutions of the equation t– x+t + y+ = if x+,y+ > ∧x + – y+ > and the equation t– x–t + y– = if x–,y– > ∧x – – y– > . Let  = D γ – Cδ  + D  Cβδ – Cγ δ – βγ + γ  + β γ – Cδ  – β  γ – Cγ δ  + Cδ  Cδ – γ  and = D  –Cδ – βγ + γ  + Cβδ – Cγ δ + Dγ + βγ – βγ . from which the proof follows. ()  y(Cx – D + β – γ ) = , y(B – C) + Cx– xγ = . () Assume that y ̸= and B ̸= C. The solution of system () is given by Assume that y ̸= and B ̸= C. The solution of system () is given by x = D – β + γ C and y = –(D – β)(D – β + γ ) C(B – C) , and x,y > ∧x– y > if and only if and x,y > ∧x– y > if and only if  (B + C)(D – β) + γ (B – C)  (B – C) > ∧D – β + γ > ∧(B – C)(D – β) < , since x– y = (D – β + γ ) C + (D – β)(D – β + γ ) C(B – C) = (D – β + γ )((B + C)(D – β) + γ (B – C)) C(B – C) . In this case the equation In this case the equation t– D – β + γ C t – (D – β)(D – β + γ ) C(B – C) =  has positive distinct solutions which are given by has positive distinct solutions which are given by t± = (B – C)(D – β + γ ) ± √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) . Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 18 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 If y = , then from () we have x = γ C , which implies that { γ C ,} is the minimal period- two solution. If y ̸= and B = C, then the rest of the proof follows from Lemma . If y ̸= and B = C, then the rest of the proof follows from Lemma . □ (iv) The proof follows from the proof of Lemma . □ Theorem Assume that C = B > , δ > and γ > . Let Theorem Assume that C = B > , δ > and γ > . Let Theorem Assume that C = B > , δ > and γ > . Let One can show that the following identities hold: x± – y± =  ±  γ – cδ Cδ + (D – β)(D – β + γ ), –  γ – cδ  = Cδ Cδ + (D – x± – y± =  ±  γ – cδ Cδ + (D – β)(D – β + γ ), –  γ – cδ  = Cδ Cδ + (D – β)(D – β + γ )  Cδ + (D – β)(D – β – γ )  , from which the proof follows. □ from which the proof follows. from which the proof follows. □ from which the proof follows. from which the proof follows. □ Difference Equations 2014, 2014:68 Page 19 of 32 f i / /2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 19 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 19 of 32 n Difference Equations 2014, 2014:68 Page 19 of 32 ferenceequations.com/content/2014/1/68 http://www.advancesindifferenceequations.com/content/2014/1/68 Assume now that B ̸= C and C > . Solving the second equation of system () for y we get get y = –Cx+ xγ – δ B – C . () y = –Cx+ xγ – δ B – C . () Substituting () in the first equation of system () we see that x satisfies the following equation: –Cx+ Cx(D – β + γ ) + x  Bδ – Cδ – Dγ + βγ – γ  + δ(D – β + γ ) = . () () In a similar way one can show that y satisfies the following equation: Cy(C – B) + Cy –Bδ + Cδ – D+ Dβ – Dγ – β+ βγ  + yδ  –Bδ – Cδ + Dγ – βγ + γ  – δ= . + yδ  –Bδ – Cδ + Dγ – βγ + γ  – δ= . Let a = –C, b = C(D – β + γ ), c =  Bδ – Cδ – Dγ + βγ – γ  , d = –δ. Theorem Assume that C = B > , δ > and γ > . Let Eliminating φ and ψ from () and () implies that if {φ,ψ} is a minimal period-two solution; then g(φ) =  and g(ψ) =  with φ ̸= ψ, g(φ) =  and g(ψ) =  with φ ̸= ψ, from which it follows that g(t) = C(C – B)  t– xt + y  t– xt + y  t– xt + y  for B ̸= C, since {φi,ψi} are distinct roots of equation t– xit + yi = . Theorem Assume that C = B > , δ > and γ > . Let The solutions of () are given by The solutions of () are given by The solutions of () are given by x= S + T – b a, x= –S + T  – b a + i √  (S – T), x= –S + T  – b a – i √  (S – T), where S =  R +  Q+ R and T =  R –  Q+ R and Q = ac – b a , R = abc – ad – b a . Then the solutions of the system () are given by Then the solutions of the system () are given by (xi,yi) = –Cx i + xiγ – δ B – C , i = ,,. (xi,yi) = –Cx i + xiγ – δ B – C , i = ,,. If xi,yi > and x i – yi > , then () has minimal period-two solutions given by φi = xi –  x i – yi  ,ψi = xi +  x i – yi  for i = ,,. Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 20 of 32 Kulenovic et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Let g be a function given by g(x) = Cx(C – B) – Cx(C – B)(D – β + γ ) + x δ  B– BC + C + γ (C – B)(D – β + γ ) + C(D – β)(D – β + γ )  + x δ  B(D – β + γ ) – C(D – β + γ )  + γ (β – D)(D – β + γ )  + xδ  –Bδ + Cδ + (D – β + γ ) – xδ(D – β + γ ) + δ. 4 Local stability of period-two solutions Let {φ,ψ} be a minimal period-two solution of (). Let {φ,ψ} be a minimal period-two solution of (). Set Let {φ,ψ} be a minimal period-two solution of (). S un = xn– and vn = xn for n = ,,... un = xn– and vn = xn for n = ,,... and write () in the equivalent form and write () in the equivalent form un+= vn, vn+= βvnun + γ u n + δvn Bunvn + Cun + Dvn vn+= βvnun + γ u n + δvn Bunvn + Cun + Dvn for n = ,,... . Let T be the function defined by for n = ,,... . Let T be the function defined by T(u,v) =  v, βvu + γ u+ δv Buv + Cu+ Dv  . Then {φ,ψ} is a fixed point of T, the second iterate of T, and Then {φ,ψ} is a fixed point of T, the second iterate of T, and Then {φ,ψ} is a fixed point of T, the second iterate of T, and Then {φ,ψ} is a fixed point of T, the second iterate of T, and T(u,v) =  G(u,v),H(u,v)  , where H(u,v) = G(v,G(u,v)) and where H(u,v) = G(v,G(u,v)) and G(u,v) = uγ + uvβ + vδ Buv + Cu+ Dv, H(u,v) = uv(v(Bvγ + β) + βδ) + uγ (v(Cv + β) + δ) + v(Dvγ + δ(vβ + δ)) Cv(Bu + D) + (Bv + D)(uγ + uvβ + vδ) + Cuv . G(u,v) = uγ + uvβ + vδ Buv + Cu+ Dv, H(u,v) = uv(v(Bvγ + β) + βδ) + uγ (v(Cv + β) + δ) + v(Dvγ + δ(vβ + δ)) Cv(Bu + D) + (Bv + D)(uγ + uvβ + vδ) + Cuv . Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 21 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 21 of 32 Page 21 of 32 By definition JT(φ,ψ) = ∂G ∂u (φ,ψ) ∂G ∂v (φ,ψ) ∂H ∂u (φ,ψ) ∂H ∂v (φ,ψ) . JT(φ,ψ) = ∂G ∂u (φ,ψ) ∂G ∂v (φ,ψ) ∂H ∂u (φ,ψ) ∂H ∂v (φ,ψ) . Theorem If C = , γ > and δ > , then () has the minimal period-two solution {φ,ψ} where φ and ψ are given by () and () if and only if Theorem If C = , γ > and δ > , then () has the minimal period-two solution {φ,ψ} where φ and ψ are given by () and () if and only if Theorem If C = , γ > and δ > , then () has the minimal period-two solution {φ,ψ} where φ and ψ are given by () and () if and only if Bδ + (D – β – γ )(D – β + γ ) > ∧γ (D – β + γ ) – Bδ > . In this case the minimal period-two solution {φ,ψ} is a saddle point. Proof The existence of the minimal period-two solution follows from Theorem . Now, we prove that the minimal period-two solution is a saddle point. Since G(φ,ψ) = φ we have δ = φ(ψ(Bφ + D – β) – γ φ) ψ . () () Using () and the fact C = we see that the Jacobian matrix of Tat the point {φ,ψ} is given by JT(φ,ψ) JT(φ,ψ) = γ φ–Bψφ+βψ (D+Bφ)ψ – γ φ (D+Bφ)ψ γ ψ(–γ φ+Bψφ–βψ) φ(D+Bφ)(D+Bψ) φψ(D+Bψ)γ +(D+Bφ)(Dψ+B(φ+ψ))γ –φ(D+Bφ)(Bφ–β)ψ φ(D+Bφ)ψ(D+Bψ) . Then {φ,ψ} is a fixed point of T, the second iterate of T, and () JT(φ,ψ) = γ φ–Bψφ+βψ (D+Bφ)ψ – γ φ (D+Bφ)ψ γ ψ(–γ φ+Bψφ–βψ) φ(D+Bφ)(D+Bψ) φψ(D+Bψ)γ +(D+Bφ)(Dψ+B(φ+ψ))γ –φ(D+Bφ)(Bφ–β)ψ φ(D+Bφ)ψ(D+Bψ) . () () The determinant of the Jacobian matrix () is given by The determinant of the Jacobian matrix () is given by detJT(φ,ψ) = (Bφψ – βψ – γ φ)(φψ(Bφ + D)(Bφ – β) – γ (B(φ+ ψ) + Dψ)) φψ(Bφ + D)(Bψ + D) . () detJT(φ,ψ) () The trace of the Jacobian matrix () is given by rJT(φ,ψ) = –φψ(Bφ+D)(Bφ–β)+γ φψ(Bψ+D)+γ (Bφ+D)(B(φ+ψ)+Dψ) φ(Bψ+D) – Bφψ + βψ + γ φ ψ(Bφ + D) . () () ψ(Bφ + D) Substituting () and () into () and () we find that the determinant of the Jacobian matrix () is given by = Bδ– Bδ(D(β + γ ) + γ (γ – β)) + γ (D – β + γ )(Dβ – β– βγ + γ ) Bδ+ BDδ(γ – β) + Dγ (D – β + γ ) , Page 22 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 and the trace of the Jacobian matrix () is given by and the trace of the Jacobian matrix () is given by trJT(φ,ψ) = –Bδ– Bδ(D– Dγ + β+ γ (β – γ )) + γ (D– Dγ + γ )(D – β + γ ) Bδ+ BDδ(γ – β) + Dγ (D – β + γ ) . The period-two solution {φ,ψ} is a saddle point if and only if trJT(φ,ψ) > + detJT(φ,ψ) . One can see that + detJT(φ,ψ) – trJT(φ,ψ) = –(γ (D – β + γ ) – Bδ)(Bδ + (D – β – γ )(D – β + γ )) Bδ+ BDδ(γ – β) + Dγ (D – β + γ ) and and + detJT(φ,ψ) + trJT(φ,ψ) = γ (D – β + γ )(D– γ (D + β) + Dβ – β+ γ ) Bδ+ BDδ(γ – β) + Dγ (D – β + γ ) – Bδ(–γ (D + β) + (D + β)+ γ ) Bδ+ BDδ(γ – β) + Dγ (D – β + γ ). Since γ (D – β + γ ) – Bδ >  () we have β < –Bδ + Dγ + γ  γ . Then {φ,ψ} is a fixed point of T, the second iterate of T, and Since Since Bδ+ BDγ δ + Dγ + Dγ  D(Bδ + Dγ ) – –Bδ + Dγ + γ  γ = Bδ(D + γ ) Dγ (Bδ + Dγ ) ≥ we have we have Bδ+ BDγ δ + Dγ + Dγ  D(Bδ + Dγ ) > β, which implies which implies Bδ+ BDδ(γ – β) + Dγ (D – β + γ ) > . Bδ+ BDδ(γ – β) + Dγ (D – β + γ ) > . Hence, we prove that + detJT(φ,ψ) – trJT(φ,ψ) < . From () we have B < γ (D – β + γ ) δ . B < γ (D – β + γ ) δ . Page 23 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Let h(x) = x–γ x+γ . Since the discriminant of h is negative we have h(x) > for x ∈R, which implies Let h(x) = x–γ x+γ . Since the discriminant of h is negative we have h(x) > for x ∈R, (D + β)– γ (D + β) + γ > . (D + β)– γ (D + β) + γ > . Since γ (D – β + γ )(D– γ (D + β) + Dβ – β+ γ ) δ(–γ (D + β) + (D + β)+ γ ) – γ (D – β + γ ) δ = γ (D + β)(D – β + γ ) δ(–γ (D + β) + (D + β)+ γ ) ≥, γ (D – β + γ )(D– γ (D + β) + Dβ – β+ γ ) δ(–γ (D + β) + (D + β)+ γ ) – γ (D – β + γ ) δ we have γ (D – β + γ )(D– γ (D + β) + Dβ – β+ γ ) δ(–γ (D + β) + (D + β)+ γ ) > B. Then {φ,ψ} is a fixed point of T, the second iterate of T, and () () Inequality () is equivalent to Inequality () is equivalent to γ (D – β + γ )  D– γ (D + β) + Dβ – β+ γ  – Bδ  –γ (D + β) + (D + β)+ γ  > , γ (D – β + γ )  D– γ (D + β) + Dβ – β+ γ  – Bδ  –γ (D + β) + (D + β)+ γ  > , from which it follows that from which it follows that + detJT(φ,ψ) + trJT(φ,ψ) > . □ + detJT(φ,ψ) + trJT(φ,ψ) > . □ □ Theorem Assume δ = , γ > and C > . Then () has the minimal period-two solution {φ,ψ} where {φ,ψ} where φ = (B – C)(D – β + γ ) + √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , ψ = (B – C)(D – β + γ ) – √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) if and only if if and only if  (B + C)(D – β) + γ (B – C)  (B – C) > ∧D – β + γ > ∧(B – C)(D – β) < . The minimal period-two solution {φ,ψ} is (i) locally asymptotically stable if The minimal period-two solution {φ,ψ} is (i) locally asymptotically stable if (i) locally asymptotically stable if D – β + γ > ∧D < β ∧(B + C)(D – β) + γ (B – C) > , (ii) a saddle point if γ + β – D > ∧D > β ∧(B + C)(D – β) + γ (B – C) < . n Difference Equations 2014, 2014:68 Page 24 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 24 of 32 e e ce quat o s 0 , 0 68 age o 3 ferenceequations.com/content/2014/1/68 http://www.advancesindifferenceequations.com/content/2014/1/68 Proof The existence of the minimal period-two solution follows from Theorem . Now, we investigate the stability of {φ,ψ}. Then {φ,ψ} is a fixed point of T, the second iterate of T, and The Jacobian matrix of Tat the point {φ,ψ} is given by JT(φ,ψ) = e f g h , JT(φ,ψ) = e f g h , () () where where e = ψ(–Cβφ+ γ (D + Bφ)φ + Dβψ) (Cφ+ (D + Bφ)ψ) , f = φ(Cβφ – γ (D + Bφ)) (Cφ+ (D + Bφ)ψ), g = ψ(–Cβφ+ γ (D + Bφ)φ + Dβψ)(Cβψ – γ (D + Bψ)) (C(D + Bφ)ψ+ Cφψ+ φ(D + Bψ)(γ φ + βψ)) , h =  φ  βψ Dβφ – Cψ(Bφ + D)  + γ φ  Cφψ(Bψ + D) + ψ(Bφ + D)(Bψ + D) + Dβφ /  Cψ(Bφ + D) + φ(Bψ + D)(βψ + γ φ) + Cφψ + βγ φψ(ψ(ψ(Bφ + D)(D – Cφ) + Bψ(Bφ + D) + Cφ(D – Cφ)) + Dβ e = ψ(–Cβφ+ γ (D + Bφ)φ + Dβψ) (Cφ+ (D + Bφ)ψ) , f = φ(Cβφ – γ (D + Bφ)) (Cφ+ (D + Bφ)ψ), g = ψ(–Cβφ+ γ (D + Bφ)φ + Dβψ)(Cβψ – γ (D + Bψ)) (C(D + Bφ)ψ+ Cφψ+ φ(D + Bψ)(γ φ + βψ)) , h =  φ  βψ Dβφ – Cψ(Bφ + D)  + γ φ  Cφψ(Bψ + D) + ψ(Bφ + D)(Bψ + D) + Dβφ /  Cψ(Bφ + D) + φ(Bψ + D)(βψ + γ φ) + Cφψ + βγ φψ(ψ(ψ(Bφ + D)(D – Cφ) + Bψ(Bφ + D) + Cφ(D – Cφ)) + Dβφ) (Cψ(Bφ + D) + φ(Bψ + D)(βψ + γ φ) + Cφψ) . The determinant of the Jacobian matrix () is given by Advances in Difference Equations 2014, 2014:68 Page 25 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 25 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 trJT(φ,ψ) = e + h = (D – β)(Bβ(β – D) + BCβ(β – D) + C(D+ Dβ – β)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) + γ (D – β)(B(D – β) + BC(D – β) + C(β – D)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) + γ (B – C)(BD + C(β – D)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)). () = (D – β)(Bβ(β – D) + BCβ(β – D) + C(D+ Dβ – β)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) + γ (D – β)(B(D – β) + BC(D – β) + C(β – D)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) + γ (B – C)(BD + C(β – D)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)). + γ (B – C)(BD + C(β – D)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)). The determinant of the Jacobian matrix () is given by The determinant of the Jacobian matrix () is given by The determinant of the Jacobian matrix () is given by detJT(φ,ψ) = eh – gf detJT(φ,ψ) = eh – gf = φψ(βψ + γ φ)(–γ φ(Bφ + D) + Cβφ– Dβψ) (ψ(Bφ + D) + Cφ) × βψ(Cψ(ψ(Bφ + D) + Cφ) – Dβφ) (Cψ(Bφ + D) + φ(Bψ + D)(βψ + γ φ) + Cφψ) – γ (ψ(Bψ + D)(ψ(Bφ + D) + Cφ) + Dβφ) (Cψ(Bφ + D) + φ(Bψ + D)(βψ + γ φ) + Cφψ). By using By using φ = (B – C)(D – β + γ ) + √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , ψ = (B – C)(D – β + γ ) – √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) φ = (B – C)(D – β + γ ) + √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , φ = (B – C)(D – β + γ ) + √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) , ψ = (B – C)(D – β + γ ) – √D – β + γ  (B – C)((B + C)(D – β) + γ (B – C)) C(B – C) we find that we find that detJT(φ,ψ) = –(D – β)(BD(D – β + γ ) + BC(D – β)(D – γ ) – C(β – D)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) , () detJT(φ,ψ) detJT(φ,ψ) = –(D – β)(BD(D – β + γ ) + BC(D – β)(D – γ ) – C(β – D)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) , () () Difference Equations 2014, 2014:68 Page 25 of 32 ferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 25 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. The determinant of the Jacobian matrix () is given by () () From () and () it follows that From () and () it follows that From () and () it follows that + detJT(φ,ψ) – trJT(φ,ψ) = (D – β)(D – β + γ )((B + C)(D – β) + γ (B – C)) γ (CD – Bβ) + βγ (B + C)(β – D) + Cβ(D – β), + detJT(φ,ψ) + trJT(φ,ψ) + detJT(φ,ψ) – trJT(φ,ψ) = (D – β)(D – β + γ )((B + C)(D – β) + γ (B – C)) γ (CD – Bβ) + βγ (B + C)(β – D) + Cβ(D – β), = (β – D)(D(B+ BC – C) – β(B+ C) + CDβ(B + C)) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) × γ (B – C)(B(D + β) + C(β – D)) – Cγ (D – β)(B(β – D) + CD) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) , – detJT(φ,ψ) = γ (D – β)(B(D + β) + BC(β – D) – Cβ) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) + (D – β)(BD + BC(D + β) – CD) + γ (B – C)(Bβ – CD) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) . The rest of the proof follows from Lemma . □ The rest of the proof follows from Lemma . □ □ Lemma Assume that D – β + γ > . () If D < β then D– Dβ + β+ βγ + γ > . () D– D(β + γ ) – β– βγ – γ < . Proof Proof f () It is sufficient to prove that the inequality D– Dβ + β+ βγ > holds for D – β + γ > and D < β. Since –D+ Dβ – β β – (β – D) = –(D – β)(D – β) β <  we find that we find that –D+ Dβ – β β < β – D < γ which implies which implies –D+ Dβ – β β – γ = –D+ Dβ – β– βγ β < , from which the inequality follows. from which the inequality follows. from which the inequality follows. The determinant of the Jacobian matrix () is given by Page 26 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 () In view of the assumption of the lemma we have D– D(β + γ ) – β– βγ – γ  = D(D – γ ) – Dβ – β– βγ – γ  < Dβ – β– βγ – γ < (β + γ )β – β– βγ – γ  = –β– βγ – γ < , = –β– βγ – γ < , om which the proof follows. □ □ from which the proof follows. from which the proof follows. □ Lemma If C > , γ > and Lemma If C > , γ > and  (B + C)(D – β) + γ (B – C)  (B – C) > ∧D – β + γ > ∧(B – C)(D – β) < , Lemma If C > , γ > and f γ  (B + C)(D – β) + γ (B – C)  (B – C) > ∧D – β + γ > ∧(B – C)(D – β) < ,  (B + C)(D – β) + γ (B – C)  (B – C) > ∧D – β + γ > ∧(B – C)(D – β) < , then (i) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) > ; (ii) γ (D – β)(B(D + β) + BC(β – D) – Cβ) + (D – β)(BD + BC(D + β) – CD) + γ (B – C)(Bβ – CD) > ; (iii) (β – D)(D(B+ BC – C) – β(B+ C) + CDβ(B + C)) + γ (B – C)(B(D + β) + C(β – D)) – Cγ (D – β)(B(β – D) + CD) > . (i) (B – C)(γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)) > ; (ii) γ (D – β)(B(D + β) + BC(β – D) – Cβ) + (D – β)(BD + BC(D + β) – CD) + γ (B – C)(Bβ – CD) > ; Proof (i) Assume that D > β and β > holds. Observe that –CDβ+ CDβγ – CDγ + Cβ– Cβγ βγ (–D + β – γ ) – C = C(D – β)(β – γ ) βγ (D – β + γ ) ≥. The determinant of the Jacobian matrix () is given by Since B < C, we obtain Since B < C, we obtain –CDβ+ CDβγ – CDγ + Cβ– Cβγ βγ (–D + β – γ ) – B = γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D) βγ (–D + β – γ ) ≥. Since D – β + γ > , we obtain Since D – β + γ > , we obtain Since D – β + γ > , we obtain γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D) < , which implies (B – C)  γ (Bβ – CD) + βγ (B + C)(D – β) + Cβ(β – D)  > . Similarly, one can prove the statement of the lemma if (D < β and β > ) or β = . (ii) Assume D > β. The lemma’s assumptions imply B < C and B < C(–D + β + γ ) D – β + γ and –D + β + γ > . () () Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 27 of 32 q http://www.advancesindifferenceequations.com/content/2014/1/68 Assume for the sake of contradiction that D – β – γ ≥. Then –D + β + γ > and D – β – γ ≥imply D < β, which is a contradiction. Hence, D – β – γ < . Let = (D – β) D+ D(γ – β) + D β+ βγ – γ  + Dβ  β– βγ + γ  +  β– βγ + γ  and H(B) := γ (D – β)  B(D + β) + BC(β – D) – Cβ  + (D – β) BD + BC(D + β) – CD  + γ (B – C)(Bβ – CD). The solutions of the equation H(B) = for B are given by The solutions of the equation H(B) = for B are given by The solutions of the equation H(B) = for B are given by B± = C(–D+ Dβ + Dγ – Dβγ + Dγ – β+ βγ + βγ ± √) (D – β + γ )(D– Dβ + βγ ) . Since the coefficient of Bin the quadratic equation H(B) = is positive we have H(B) > ⇔B ∈[,B–) ∪(B+,∞). The determinant of the Jacobian matrix () is given by Since the coefficient of Bin the quadratic equation H(B) = is positive we have H(B) > ⇔B ∈[,B–) ∪(B+,∞). Note that the following three identities hold: D– Dβ + β+ βγ + γ = (β + γ – D)(β + γ + D) + D(D – β) + βγ ; () – (D – β) D– Dβ + β+ βγ + γ  = (D – β)(D – β – γ )  D– Dβ + βγ  D + (β + γ )  ; () B± – C(–D + β + γ ) D – β + γ = C((D – β)(D– Dβ + β+ βγ + γ ) ± √) (D – β + γ )(D– Dβ + βγ ) . () () = (D – β)(D – β – γ )  D– Dβ + βγ  D + (β + γ )  ; () B± – C(–D + β + γ ) D – β + γ = C((D – β)(D– Dβ + β+ βγ + γ ) ± √) (D – β + γ )(D– Dβ + βγ ) . () () () If < then H(B) > for all B ≥. Assume ≥holds. Since If < then H(B) > for all B ≥. Assume ≥holds. Since B < C(–D + β + γ ) D – β + γ and D > β and D – β – γ <  from (), () and () we have B– > C(–D+β+γ ) D–β+γ > B, which implies that H(B) > . Similarly, if D < β the assumption of the lemma implies from (), () and () we have B– > C(–D+β+γ ) D–β+γ > B, which implies that H(B) > . Similarly, if D < β the assumption of the lemma implies B > C and B > C(–D + β + γ ) D – β + γ and D – β + γ > , from which it follows that from which it follows that from which it follows that D– Dβ + βγ > D– Dβ + Dγ = D(D – β + γ ) ≥. () D– Dβ + βγ > D– Dβ + Dγ = D(D – β + γ ) ≥. The determinant of the Jacobian matrix () is given by Note that the following two identities hold: Note that the following two identities hold: Note that the following two identities hold: – (D – β) D– D(β + γ ) – β– βγ – γ  = (D – β)(D + β)(D – β – γ )  D+ Dβ + Dγ + β+ βγ + γ  , () B± – C(–D + β + γ ) D – β + γ = C((D – β)(D– D(β + γ ) – β– βγ – γ ) ± √) (D + β)(D – β – γ )(D – β + γ ) . () – (D – β) D– D(β + γ ) – β– βγ – γ  = (D – β)(D + β)(D – β – γ )  D+ Dβ + Dγ + β+ βγ + γ  , () B± – C(–D + β + γ ) D – β + γ () = C((D – β)(D– D(β + γ ) – β– βγ – γ ) ± √) (D + β)(D – β – γ )(D – β + γ ) . () () In view of (), (), (), D > β, D – β – γ < , which by Lemma implies that B– > B+ > B. This and the fact that the coefficient of Bis positive imply H(B) > . In view of (), (), (), D > β, D – β – γ < , which by Lemma implies that B– > B+ > B. This and the fact that the coefficient of Bis positive imply H(B) > . Assume that D < β and for the sake of contradiction that D – β – γ ≥. Then, adding the inequalities D–β +γ > and D–β –γ ≥, we obtain D > β, which is a contradiction. Hence, D – β – γ < . Similarly, by using (), (), (), and Lemma , one can prove statement (iii) if D < β, and the proof will be omitted. □ □ The determinant of the Jacobian matrix () is given by () In view of Lemma , (), and () we get B+ < C(–D + β + γ ) D – β + γ < B, B+ < C(–D + β + γ ) D – β + γ < B, which implies H(B) > for C(–D+β+γ ) D–β+γ < B, from which the proof follows. which implies H(B) > for C(–D+β+γ ) D–β+γ < B, from which the proof follows. Difference Equations 2014, 2014:68 Page 28 of 32 ferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 28 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 28 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 28 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Difference Equations 2014, 2014:68 Page 28 of 32 ferenceequations.com/content/2014/1/68 Kulenovic et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 (iii) Assume that D > β. As in case (ii) we have B < C(–D + β + γ ) D – β + γ and D – β – γ < . () () t Let = (D – β) D+ γ  D– Dβ + β – Dβ+ Dβ– Dγ (D – β)(D + β) – Dγ – β+ γ  and H(B) := (β – D)  D B+ BC – C – β B+ C + CDβ(B + C)  + γ (B – C)  B(D + β) + C(β – D)  – Cγ (D – β)  B(β – D) + CD  . The solutions of the equation H(B) = for B are given by The solutions of the equation H(B) = for B are given by B± = C(–D+ Dγ + D(β– βγ – γ ) + βγ ± √) (D + β)(D – β – γ )(D – β + γ ) . 5 Boundedness of solutions of (1) In view of Theorems and and Corollaries and , any result on the existence of lower and upper bounds of the solutions of () yields some global asymptotic stability result for the unique equilibrium of (). See Section for such results. As we show in Remark  global asymptotic results obtained by application of Theorems and and Corollaries  and are not sharp, in the sense that they do not cover the whole parametric region of global asymptotic stability, but they are robust as they can be applied as soon as we have the lower and upper bounds of the solutions. The problem of boundedness of all solutions of () is more difficult than the corresponding problem for the linear fractional equation and in view of its importance requires a separate paper. An additional difficulty in studying boundedness is the presence of quadratic terms. Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 29 of 32 Here we will give some equations for which the boundedness of all solutions is clear and leave the problem of determining the boundedness of all solutions for a future study. The boundedness or existence of unbounded solutions for all nine special cases of () of the type (,) follows immediately from the corresponding properties of the linear equation obtained by the substitution xn = eun and it can range from boundedness of all solutions, periodicity of all solutions with the same period, to the unboundedness of all solutions. All three special cases of () of the type (,), and all three special cases of () of the type (,) as well as the special case of the type (,) have all solutions uniformly bounded that is, there are constants L, U, L < U such that every solution satisfies L ≤xn ≤U, n = ,,... . All six special cases of () of the type (,), where the term in the nominator is also present in the denominator are also uniformly bounded as well as three special cases of () of the type (,), with corresponding terms in the nominator and the denominator. Two spe- cial cases of (), where B = C = and B = C = γ = allow the existence of unbounded solutions. 5 Boundedness of solutions of (1) The remaining special cases of () require detailed study and probably new methods in determining boundedness of solutions and complete classification of all spe- cial cases of (). 6 Global asymptotic stability results In this section we give the following global asymptotic stability result for some special cases of (). Theorem  (i) Consider (), where D = , and all other coefficients are positive, subject to the condition (|β – B¯x| + |γ – C¯x|)(U + ¯x) + δ (B + C)L < , (|β – B¯x| + |γ – C¯x|)(U + ¯x) + δ (B + C)L < , where L = min{β,γ ,δ} max{B,C} , U = max{β,γ } min{B,C} + δ BL. Then ¯x is globally asymptotically stable. (ii) Consider (), where all coefficients are positive, subject to condition (), where L = min{β,γ ,δ} max{B,C,D}, U = max{β,γ ,δ} min{B,C,D}. Then ¯x is globally asymptotically stable. Proof In view of Corollary we need to find the lower and upper bounds for all solutions of () for n ≥. of () for n ≥. (i) In this case the lower and upper bounds for all solutions of () for n ≥are derived as (i) In this case the lower and upper bounds for all solutions of () for n ≥are derived as as xn+= βxnxn–+ γ x n–+ δxn Bxnxn–+ Cx n– ≥min{β,γ ,δ} max{B,C} x n–+ xnxn–+ xn x n–+ xnxn– ≥min{β,γ ,δ} max{B,C} = L > , and xn+= βxnxn–+ γ x n–+ δxn Bxnxn–+ Cx n– = βxnxn–+ γ x n– Bxnxn–+ Cx n– + δxn Bxnxn–+ Cx n– ≤max{β,γ } min{B,C} x n–+ xnxn– x n–+ xnxn– + δ Bxn– ≤max{β,γ } min{B,C} + δ BL = U. Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 30 of 32 q http://www.advancesindifferenceequations.com/content/2014/1/68 http://www.advancesindifferenceequations.com/content/2014/1/68 http://www.advancesindifferenceequations.com/content/2014/1/68 (ii) In this case the lower and upper bounds for all solutions of () for n ≥are derived as xn+= βxnxn–+ γ x n–+ δxn Bxnxn–+ Cx n–+ Dxn ≥min{β,γ ,δ} max{B,C,D} x n–+ xnxn–+ xn x n–+ xnxn–+ xn = min{β,γ ,δ} max{B,C,D} = L > , and and xn+= βxnxn–+ γ x n–+ δxn Bxnxn–+ Cx n–+ Dxn ≤max{β,γ ,δ} min{B,C,D} x n–+ xnxn–+ xn x n–+ xnxn–+ xn = max{β,γ ,δ} min{B,C,D} = U. □ □ By using a similar method as in the proof of Theorem one can prove the following result. Author details 1Department of Mathematics, University of Rhode Island, Kingston, Rhode Island 02881-0816, USA. 2Department of Mathematics, University of Sarajevo, Sarajevo, Bosnia and Herzegovina. 3High School, Cazin, Bosnia and Herzegovina. Authors’ contributions Authors’ contributions Each of the authors, MK, EP, and ES, contributed to each part of this work equally and read and approved the final version of the manuscript. Acknowledgements Acknowledgements The authors are grateful to two anonymous referees for a number of suggestions, which have improved the quality of the exposition of the results. Received: 24 December 2013 Accepted: 5 February 2014 Published: 18 Feb 2014 Received: 24 December 2013 Accepted: 5 February 2014 Published: 18 Feb 2014 References Kulenovi´c, MRS, Merino, O: Discrete Dynamical Systems and Difference Equations with Mathematica. Chapman & Hall/CRC, Boca Raton (2002) 12. Kulenovi´c, MRS, Merino, O: Di Hall/CRC, Boca Raton (2002) 13. Kulenovi´c, MRS, Merino, O: Invariant manifolds for competitive discrete systems in the plane. Int. J. Bifurc. Chaos Appl Sci. Eng. 20, 2471-2486 (2010) g 14. Sedaghat, H: Nonlinear Difference Equations: Theory with Applications to Social Science Models. Mathematical Modelling: Theory and Applications vol 15 Kluwer Academic Dordrecht (2003) g 14. Sedaghat, H: Nonlinear Difference Equations: Theory with Applications to Social Science Models. Mathematica 14. Sedaghat, H: Nonlinear Difference Equations: Theory with Applications to Social Sc Modelling: Theory and Applications, vol. 15. Kluwer Academic, Dordrecht (2003) 14. Sedaghat, H: Nonlinear Difference Equations: Theory with Applications to Social S Modelling: Theory and Applications, vol. 15. Kluwer Academic, Dordrecht (2003) 15. Allen, LJ: An Introduction to Mathematical Biology. Pearson Education, Upper Saddle River (2006) 16. Camouzis, E, Ladas, G: Dynamics of Third-Order Rational Difference Equations with Open Problems and Conj adas, G: Dynamics of Third-Order Rational Difference Equations with 16. Camouzis, E, Ladas, G: Dynamics of Third-Order Rational Difference Equations with Open Problems and Advances in Discrete Mathematics and Applications vol 5 Chapman & Hall/CRC Boca Raton (2008) 16. Camouzis, E, Ladas, G: Dynamics of Third-Order Rational Difference Equations with Open Problems an Advances in Discrete Mathematics and Applications, vol. 5. Chapman & Hall/CRC, Boca Raton (2008) 17. Kulenovi´c, MRS, Ladas, G, Sizer, W: On the recursive sequence xn+1 = (αxn + βxn–1)/(γ xn + δxn–1). Math. Sci. Res. Hot-Line 2, 1-16 (1998) 18. Enciso, EG, Sontag, ED: Global attractivity, I/O monotone small-gain theorems, and biological delay systems. Discrete Contin. Dyn. Syst. 14, 549-578 (2006) y y 19. DiPippo, M, Janowski, EJ, Kulenovi´c, MRS: Global stability and attractivity of second order quadratic fractional difference equation (to appear) q pp 20. Kalabuši´c, S, Kulenovi´c, MRS, Pilav, E: Global dynamics of a competitive system of rational difference equations in the plane. Adv. Differ. Equ. 2009, Article ID 132802 (2009) 20. Kalabuši´c, S, Kulenovi´c, MRS, Pilav, E: Global dynamics of a competitive system of rational difference equations in the l Ad Diff E 2009 A i l ID 132802 (2009) y plane. Adv. Differ. Equ. 2009, Article ID 132802 (2009) p q 21. Kalabuši´c, S, Kulenovi´c, MRS, Pilav, E: Dynamics of a two-dimensional system of rational difference equations of 21. Theorem  Theorem Consider (), where B = β = , and all other coefficients are positive, subject to the condition to the condition |γ – C¯x|(U + ¯x) + |δ – D¯x| CL+ DL < , |γ – C¯x|(U + ¯x) + |δ – D¯x| CL+ DL < , where L = min{γ ,δ} max{C,D}, U = max{γ ,δ} min{C,D}. Then ¯x is globally asymptotically stable. Proof Now, we have Proof Now, we have xn+= γ x n–+ δxn Cx n–+ Dxn ≥min{γ ,δ} max{C,D} x n–+ xn x n–+ xn = min{γ ,δ} max{C,D} = L > , and xn+= γ x n–+ δxn Cx n–+ Dxn ≤max{γ ,δ} min{C,D} x n–+ xn x n–+ xn = max{γ ,δ} min{C,D} = U. □ □ Remark Equation (), where D = δ = and all other coefficients are positive, reduces to the well-known equation () which was studied in great detail in [, ] and for which we have shown that the unique equilibrium is globally asymptotically stable if and only if is locally asymptotically stable, that is, if and only if condition (i) of Theorem holds. This result is certainly better than the global asymptotic result we derive from Corollaries  and . Remark Equation (), where either B = or C = , and all other coefficients are pos- itive, can be treated with Corollary and the global asymptotic stability of the equi- librium (whenever it exists) follows from condition () in the interval [min{¯x,x–,x}, max{¯x,x–,x}] when min{¯x,x–,x} > , that is, when x–x> . Similarly, (), where ex- actly one of the coefficients β, γ or δ is zero, and all other coefficients are positive, can be treated with Corollary and the global asymptotic stability of the equilibrium follows Page 31 of 32 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 from condition () in the interval [min{¯x,x–,x},max{¯x,x–,x}] when min{¯x,x–,x} > , that is, when x–x> . In this case max{¯x,x–,x} can be replaced by U = max{β,γ ,δ} min{B,C,D}. References References 1. Amleh, AM, Camouzis, E, Ladas, G: On the dynamics of a rational difference equation, Part I. Int. J. Differ. Equ. 3, 1-35 (2008) 2. Amleh, AM, Camouzis, E, Ladas, G: On the dynamics of a rational difference equation, Part II. Int. J. Differ. Equ. 3, 195-225 (2008) 3. Kulenovi´c, MRS, Merino, O: A global attractivity result for maps with invariant boxes. Discrete Contin. Dyn. Syst., Ser. B 6, 97-110 (2006) 4. Janowski, EA, Kulenovi´c, MRS: Attractivity and global stability for linearizable difference equations. Comput. Math. Appl. 57, 1592-1607 (2009) 5. Kent, CM, Sedaghat, H: Global attractivity in a quadratic-linear rational difference equation with delay. J. Differ. Equ. Appl. 15, 913-925 (2009) 5. Kent, CM, Sedaghat, H: Global attractivity in a quadratic-linear rational difference equation with delay. J. Differ. Equ. Appl. 15, 913-925 (2009) 6. Kent, CM, Sedaghat, H: Global attractivity in a rational delay difference equation with quadratic terms. J. Differ. Equ. Appl. 17, 457-466 (2011) 6. Kent, CM, Sedaghat, H: Global attractivity in a rational delay difference equation with quadratic terms. J. Differ. Equ. Appl. 17, 457-466 (2011) pp 7. Sedaghat, H: Global behaviours of rational difference equations of orders two and three with quadratic terms. J. Differ. Equ. Appl. 15, 215-224 (2009) 8. Elaydi, SN: An Introduction to Difference Equations. 3rd edn. Undergraduate Texts in Mathematics. Springer, New York (2005) 8. Elaydi, SN: An Introduction to Difference Equations. 3rd edn. Undergraduate Texts in Mathematics. Springer, New York (2005) 9. Kulenovi´c, MRS, Merino, O: Global bifurcations for competitive systems in the plane. Discrete Contin. Dyn. Syst., Ser. B 12, 133-149 (2009) 9. Kulenovi´c, MRS, Merino, O: Global bifurcations for competitive systems in the plane. Discrete Contin. Dyn. Syst., Ser. B 12, 133-149 (2009) 10. Brett, A, Kulenovi´c, MRS: Basins of attraction of equilibrium points of monotone difference equations. Sarajevo J. Math. 5, 211-233 (2009) 10. Brett, A, Kulenovi´c, MRS: Basins of attraction of equilibrium points of monotone difference equations. Sarajevo J. Math. 5, 211-233 (2009) 11. Kulenovi´c, MRS, Ladas, G: Dynamics of Second Order Rational Difference Equations with Open Problems and Conjectures. Chapman & Hall/CRC, Boca Raton (2001) 11. Kulenovi´c, MRS, Ladas, G: Dynamics of Second Order R Conjectures. Chapman & Hall/CRC, Boca Raton (2001) 11. Kulenovi´c, MRS, Ladas, G: Dynamics of Second Order Rational Difference Equations with Open Problems and Conjectures. Chapman & Hall/CRC, Boca Raton (2001) 12. Competing interests h h d l h Competing interests The authors declare that they have no competing interests. References Kalabuši´c, S, Kulenovi´c, MRS, Pilav, E: Dynamics of a two-dime Leslie-Gower type. Adv. Differ. Equ. 2011, Article ID 29 (2011) 21. Kalabuši´c, S, Kulenovi´c, MRS, Pilav, E: Dynamics of a two- Leslie-Gower type. Adv. Differ. Equ. 2011, Article ID 29 (2011) 22. Elaydi, SN: Discrete Chaos: With Applications in Science and Engineering, 2nd edn. Chapman & Hall/CRC, Boca Raton (2008) 22. Elaydi, SN: Discrete Chaos: With Applications in Science and Engineering, 2nd edn. Chapman & Hall/CRC, Boca Raton (2008) 23. Agarwal, RP, Pituk, M: Asymptotic expansions for higher-order scalar difference equations. Adv. Differ. Equ. 2007, Article ID 067492 (2007) ( ) 24. Kalabuši´c, S, Kulenovi´c, MRS: Rate of convergence of solutions of rational difference equation of second order. Adv. Differ. Equ. 2004(2), 121-139 (2004) 25. Pituk, M: More on Poincare’s and Perron’s theorems for difference equations. J. Differ. Equ. Appl. 8(3), 201-216 (2002) Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 Page 32 of 32 http://www.advancesindifferenceequations.com/content/2014/1/68 10.1186/1687-1847-2014-68 Cite this article as: Kulenovi´c et al.: Local dynamics and global attractivity of a certain second-order quadratic fractional difference equation. Advances in Difference Equations 2014, 2014:68 Kulenovi´c et al. Advances in Difference Equations 2014, 2014:68 http://www.advancesindifferenceequations.com/content/2014/1/68 Page 32 of 32 10.1186/1687-1847-2014-68 Cite this article as: Kulenovi´c et al.: Local dynamics and global attractivity of a certain second-order quadratic fractional difference equation. Advances in Difference Equations 2014, 2014:68
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English
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DNA damage response at telomeres contributes to lung aging and chronic obstructive pulmonary disease
American journal of physiology. Lung cellular and molecular physiology
2,015
cc-by
16,264
senescence; airway epithelial cells; cigarette smoke Birch J, Anderson RK, Correia-Melo C, Jurk D, Hewitt G, Marques FM, Green NJ, Moisey E, Birrell MA, Belvisi MG, Black F, Taylor JJ, Fisher AJ, De Soyza A, Passos JF. DNA damage response at telomeres contributes to lung aging and chronic obstruc- tive pulmonary disease. Am J Physiol Lung Cell Mol Physiol 309: L1124 –L1137, 2015. First published September 18, 2015; doi:10.1152/ajplung.00293.2015.—Cellular senescence has been as- sociated with the structural and functional decline observed during physiological lung aging and in chronic obstructive pulmonary dis- ease (COPD). Airway epithelial cells are the first line of defense in the lungs and are important to COPD pathogenesis. However, the mech- anisms underlying airway epithelial cell senescence, and particularly the role of telomere dysfunction in this process, are poorly under- stood. We aimed to investigate telomere dysfunction in airway epi- thelial cells from patients with COPD, in the aging murine lung and following cigarette smoke exposure. We evaluated colocalization of -histone protein 2A.X and telomeres and telomere length in small airway epithelial cells from patients with COPD, during murine lung aging, and following cigarette smoke exposure in vivo and in vitro. We found that telomere-associated DNA damage foci increase in small airway epithelial cells from patients with COPD, without significant telomere shortening detected. With age, telomere- associated foci increase in small airway epithelial cells of the murine lung, which is accelerated by cigarette smoke exposure. Moreover, telomere-associated foci predict age-dependent emphysema, and late- generation Terc null mice, which harbor dysfunctional telomeres, show early-onset emphysema. We found that cigarette smoke accel- erates telomere dysfunction via reactive oxygen species in vitro and may be associated with ataxia telangiectasia mutated-dependent se- cretion of inflammatory cytokines interleukin-6 and -8. We propose that telomeres are highly sensitive to cigarette smoke-induced dam- age, and telomere dysfunction may underlie decline of lung function observed during aging and in COPD. CHRONIC OBSTRUCTIVE PULMONARY disease (COPD) is a major global health problem that is becoming increasingly prevalent (26). COPD is characterized by chronic inflammation of the peripheral airways and lung parenchyma and involves airway fibrosis, mucous hypersecretion (chronic bronchitis), and de- struction of alveolar air spaces (emphysema). The key risk factor for COPD is cigarette smoking (19). Accelerated lung aging and cellular senescence have been associated with COPD (38, 48). DNA damage response at telomeres contributes to lung aging and chronic obstructive pulmonary disease Jodie Birch,1,2 Rhys K. Anderson,1 Clara Correia-Melo,1 Diana Jurk,1 Graeme Hewitt,1 Francisco Madeira Marques,1 Nicola J. Green,2 Elizabeth Moisey,2 Mark A. Birrell,5 Maria G. Belvisi,5 Fiona Black,6 John J. Taylor,4 Andrew J. Fisher,2,3 Anthony De Soyza,2* and João F. Passos1* 1Newcastle University Institute for Ageing, Institute for Cell and Molecular Biosciences, Newcastle upon Tyne, United Kingdom; 2Lung Immunobiology Group, Institute of Cellular Medicine, Newcastle University, Newcastle upon Tyne, United Kingdom; 3Institute of Transplantation, Freeman Hospital, Newcastle upon Tyne, United Kingdom; 4Institute of Cellular Medicine, Newcastle University, Newcastle upon Tyne, United Kingdom; 5Respiratory Pharmacology, Airway Disease Section, National Heart and Lung Institute, Faculty of Medicine, Imperial College London, London, United Kingdom; and 6Department of Pathology, Newcastle upon Tyne Hospitals Trust, Newcastle upon Tyne, United Kingdom Submitted 24 August 2015; accepted in final form 14 September 2015 * A. De Soyza and J. F. Passos contributed equally to this work. Address for reprint requests and other correspondence: J. F. Passos, Institute for Cell and Molecular Biosciences, Newcastle Univ. Institute for Ageing, Campus for Ageing and Vitality, Newcastle Univ., Newcastle upon Tyne NE4 5PL, UK (e-mail: joao.passos@newcastle.ac.uk). Am J Physiol Lung Cell Mol Physiol 309: L1124–L1137, 2015. First published September 18, 2015; doi:10.1152/ajplung.00293.2015. Am J Physiol Lung Cell Mol Physiol 309: L1124–L1137, 2015. First published September 18, 2015; doi:10.1152/ajplung.00293.2015. Licensed under Creative Commons Attribution CC-BY 3.0: © the American Physiological Society. ISSN 1040-0605. http://www.ajplung.org http://www.ajplung.org METHODS All work was compiled with the guiding principles for the care and use of laboratory animals. The project was approved by the Faculty of Medical Sciences Ethical Review Committee, Newcastle University (project license no. 60/3864). Immuno-FISH. Immuno-FISH was performed as described (25). Briefly, cells grown on sterile coverslips were fixed with 2% parafor- maldehyde and incubated with anti-H2A.X antibody (mouse mono- clonal, no. 05–636, Millipore) overnight at 4°C. After application of the secondary antibody, cells were washed with PBS, and FISH was performed. Ten microliters of Cy-3-labeled telomere-specific (C3TA2)3 peptide nucleic acid probe (4 ng/l) (Panagene) was applied to the cells, followed by denaturation at 80°C and hybridiza- tion for 2 h at room temperature in the dark. Cells were washed three times for 10 min with wash buffer [70 ml formamide (70%), 30 ml saline-sodium citrate 2%] and three times for 5 min with Tris-buffered saline-Tween 0.05%. Cells were incubated with 4,6-diamidino-2- phenylindole (DAPI), mounted, and imaged using a Leica DM5500B fluorescence microscope. In depth Z-stacking was used (images were captured as stacks separated by 0.247 m with 100 objective) followed by Huygens (SVI) deconvolution. Lung tissues from mice exposed to either room air or cigarette smoke were a kind gift from Dr. Mark Birrell, Imperial College London, UK. Male C57BL/6 mice (n  5/group) at 10 wk of age were subjected to a whole body cigarette smoke exposure system or room air, as previously described (18). Briefly, cigarette smoke was gener- ated using 3R4F cigarettes (cigarette filter removed, Tobacco Health Research Institute, University of Kentucky, Lexington, KY) and pumped into a Teague chamber (136 liters) for 1 h, twice daily (500 ml/min), for 14 days. Mice were killed 24 h after the final exposure. ) y p Cell culture and treatments. Human embryonic lung MRC5 fibro- blasts were obtained from European Collection of Cell Cultures (Salisbury, UK) and cultured in Dulbecco’s modified Eagle’s medium Table 1. Clinical characteristics of patients with COPD and controls (tissue samples) Patients with COPD Controls n 19 11 Sex, male/female 11/8 3/8 Age, yr 52.84  6.9† 70.45  7.56 FEV1, liter 0.53  0.22† 1.79  0.32 FEV1, % 17.63  6.99† 84.36  9.45 FVC, liter 1.89  0.51* 2.69  0.59 FVC, % 52.05  14.15† 95.9  16.8 Smoking history, pack·yr 39.95  27.1 31.3  17.93 GOLD score, I/II/III/IV 0/0/1/18 0/0/0/0 Values are means  SD; n, no. METHODS p y MRC5 fibroblasts (population doublings 20–25) were grown until replicative senescence and cultured with DMEM plus 5% cigarette smoke extract (CSE) or DMEM alone. CSE was generated by bub- bling smoke from one research-grade cigarette (University of Ken- tucky; 4A1) into 25 ml DMEM. The solution was filtered (0.2 m), and the resulting CSE designated 100%. The CSE solution was diluted to 5% in sterile DMEM and used immediately. CSE or DMEM alone was replenished every 48 h. Identical experiments under hypoxic conditions (3% O2) were run in parallel. Human primary small airway epithelial cells (passages 1–3) were treated with two exposures of 5% CSE or media alone (control), 48 h apart. Study subjects. Patients undergoing lung resection for localized lung tumors were recruited as controls from the Freeman Hospital, Newcastle upon Tyne, UK (Table 1). Samples from patients with advanced COPD were obtained from an archive of explant lung tissue taken at the time of lung transplantation at the Freeman Hospital. A smaller number of cases were used for immunofluorescence in situ hybridization (immuno-FISH) analysis due to limited availability of tissue at time of staining. All samples were parenchymal, and only airways with a diameter of 2 mm and without cartilage were included in the analysis. The clinical characteristics of these subjects are the same as those listed in Table 1. All subjects gave written, informed consent before inclusion in the study. This work was approved by the County Durham and Tees Valley 2 Research Ethics Committee (Res-11/NE/0291). p Chemical inhibitors used were KU55933 (ATM chemical inhibitor) (10 M, diluted in DMSO) (R&D, 3544). Inhibitors were replaced every 48 h, along with 5% CSE or fresh DMEM. Immunofluorescence. Cells grown on coverslips were fixed with 2% paraformaldehyde, permeabilized with PBG-Triton and incubated with the primary antibody at 4°C overnight. The following day, cells were incubated with fluorescein-conjugated secondary antibody (Al- exa Fluor 488 or 594; Invitrogen) for 45 min at room temperature. Primary antibodies used were as follows: rabbit polyclonal anti-Ki67 (ab15580; 4 g/ml Abcam), mouse monoclonal anti-H2A.X (no. 05–636; 0.25 g/ml Millipore), and mouse monoclonal anti-p16 (SC-81156; 1:500 Santa Cruz). Animals. Wild-type C57BL/6 male mice were used [n  3–5 per age group (6.5, 15 and 24 mo)]. TERC/ C57BL/6 male mice were bred to produce successive generations of mice with decreasing telomere length. Lungs from fourth-generation (G4) mice were col- lected. senescence; airway epithelial cells; cigarette smoke In our study, we investigate the role of telomere dysfunction in the aging mouse lung and its potential role in cigarette smoke-induced COPD. increase in the skin of baboons (23) and in the liver, brain, and gut of mice, which can occur irrespectively of length (20, 25). Telomere shortening has been associated with COPD in circulating leukocytes (45), alveolar epithelial cells (27, 36), and pulmonary vascular endothelial cells (5). However, it is unclear whether activation of a DDR at telomeres contributes to senescence and tissue dysfunction in the aging lung and to COPD-associated accelerated lung aging. In our study, we investigate the role of telomere dysfunction in the aging mouse lung and its potential role in cigarette smoke-induced COPD. Primary human small airway epithelial cells were isolated from bronchial brushings carried out during research bronchoscopy (normal controls) or from explant lung tissue specimens (COPD) (Table 2). The work was performed under approval of the Newcastle 1 Research Ethics Committee. Primary human bronchial epithelial cells were cultured on 0.5% Purecol-coated (Invitrogen, Carlsbad, CA) dishes in small airway epithelial cell growth medium (L/SABM), supplemented with 2% fetal bovine serum, 100 U/ml penicillin, and 100 mg/ml streptomycin (Lonza, Basel, Switzerland). AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org senescence; airway epithelial cells; cigarette smoke Senescence, defined as the irreversible loss of division potential in somatic cells, plays important roles in vivo: on the one hand, it protects against cancer progression, yet on the other hand it contributes to age-dependent tissue dysfunction (10). Evidence is mounting that cells bearing senescent markers accumulate in tissues with age (23) and in age-related diseases (13). Telomeres are specialized structures at the ends of chromo- somes consisting of tandem TTAGGG repeats stabilized by a complex of proteins, known as shelterin (15). Shelterin is thought to arrange telomeric DNA into a loop structure known as the T-loop. It is believed that, during replicative senescence, the progressive loss of telomere repeats destabilizes T-loops, increasing the probability of telomere uncapping, i.e., loss of shelterin (21). Telomere uncapping, whether by inhibition of shelterin or telomere shortening due to extensive replication, has been shown to activate the DNA damage response (DDR) in a manner similar to double-strand breaks (DSBs) (14). Uncapped telomeres become associated with DDR factors, such as phosphorylated forms of the histone protein 2A.X (H2A.X) and ataxia telangiectasia mutated (ATM), which can activate a signaling cascade leading to culmination of senes- cence (14). More recently, it has been shown that a DDR can induce senescence, irrespective of telomere length, which has been attributed to telomeres being particularly susceptible to oxidation-induced damage and to the inability of telomeres to repair DSBs (20, 25, 30). Moreover, it has been shown in vivo that, with age, telomeres colocalizing with DDR proteins L1125 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD (DMEM) (Sigma, Dorset, UK), supplemented with fetal bovine serum (10% vol/vol), L-glutamine (2 mM), and penicillin/streptomycin and maintained at 37°C, 5% CO2. increase in the skin of baboons (23) and in the liver, brain, and gut of mice, which can occur irrespectively of length (20, 25). increase in the skin of baboons (23) and in the liver, brain, and gut of mice, which can occur irrespectively of length (20, 25). increase in the skin of baboons (23) and in the liver, brain, and gut of mice, which can occur irrespectively of length (20, 25). Telomere shortening has been associated with COPD in circulating leukocytes (45), alveolar epithelial cells (27, 36), and pulmonary vascular endothelial cells (5). However, it is unclear whether activation of a DDR at telomeres contributes to senescence and tissue dysfunction in the aging lung and to COPD-associated accelerated lung aging. METHODS Three DNA samples with known telomere lengths (3.0, 5.5, and 9.5 kilobase pairs) were run as internal standards, allowing us to estimate telomere length in base pairs. abundance of telomeric template vs. a single gene by quantitative real-time PCR. Measurements were performed in quadruplicate. Three DNA samples with known telomere lengths (3.0, 5.5, and 9.5 kilobase pairs) were run as internal standards, allowing us to estimate telomere length in base pairs. Detection of ROS levels. Superoxide anion levels were determined by flow cytometric analysis of MitoSOX fluorescence, as described (40). Detection of senescence-associated secretory phenotype factors. A Quantibody human cytokine array for 20 cytokines (RayBiotech; QAH-CYT-1) was performed. Concentrations of interleukin (IL)-6 and IL-8 in cell culture media were determined using sandwich ELISA (R&D Systems; DY206/DY208), according to the manufac- turer’s instructions. Limits of detection for these assays were 10 pg/ml. Western blotting. Western blotting was conducted using routine protocol. (Roche)] containing 2.5 g/ml Cy-3-labeled telomere specific (CCCTAA) peptide nuclei acid probe (Panagene), followed by hy- bridization for 2 h at room temperature in the dark. The slides were washed twice, for 15 min each, with wash buffer, followed by 2 saline-sodium citrate and PBS washes for 10 min. Sections were incubated with DAPI, mounted, and imaged. In depth Z-stacking was used (a minimum of 40 optical slices with 100 objective) followed by Huygens (SVI) deconvolution. Statistical analysis. Data are represented as means  SE or median  range. Where data were normally distributed, statisti- cally significant differences between groups were assessed using ANOVA, and significant differences between two groups were evaluated using an independent samples t-test. Where data were not normally distributed, statistically significant differences be- tween groups were assessed using the Kruskal Wallis test, and significant differences between two groups were evaluated using the Mann-Whitney U-test. P values 0.05 were considered signif- icant. Data were analyzed with GraphPad Prism version 6.0, GraphPad Software, San Diego, CA (www.graphpad.com). y yg ( ) Immunohistochemistry. Sections were dewaxed in xylene (5 min), rehydrated through graded ethanol solutions (100, 90, and 70%) and washed in distilled H2O. Endogenous peroxidase activity was blocked by immersing sections in 0.3% H2O2 (Sigma, H1009) diluted in methanol for 30 min. To retrieve antigens, sections were boiled in 0.01 M citrate (pH 6.0) or 0.01 M EDTA buffer (pH 8.0). METHODS Sections were blocked in 5% nonfat milk protein diluted in Tris-buffered saline (human) or normal goat serum diluted 1:60 in 0.1% BSA in PBS (mouse). Sections were incubated with the primary antibody overnight at 4°C or for 45 min to 1 h at room temperature. For human tissue, anti-mouse (Dako, K4006) or anti-rabbit (Dako, K4010) secondary antibody conjugated with a horseradish-peroxidase-labeled polymer was added (Envision System-HRP, Dako), and slides were treated with 3,3=-diamino- benzidine for 5–10 min. For mouse tissue, biotinylated secondary antibody was added and detected using the rabbit peroxidase ABC kit (Vector Laboratories, PK-4001), according to the manufactur- er’s instructions. Substrate was developed using the NovaRed kit (Vector Laboratories, SK-4800). Nuclei were counterstained with Carrazzi hematoxylin, and sections were dehydrated through graded ethanol solutions, cleared in xylene, and mounted in di-n- butyle phthalate in xylene (Thermo Scientific, LAMB-DPX). Staining was analyzed with a NIKON ECLIPSE-E800 microscope, and images were captured with a Leica DFC420 camera using the LAS software (Leica). Primary antibodies used were as follows: mouse monoclonal anti-p16 (1:500, SC-81156; Santa Cruz), rabbit polyclonal anti-SIRT1 (1:100, ab13749; Abcam), and rabbit poly- clonal anti-p21 (1:200, ab7960; Abcam). AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org METHODS of subjects. COPD, chronic obstructive pulmonary disease; FEV1, forced expiratory volume in 1 s; FEV1 %, percent- age of predicted FEV1; FVC, forced vital capacity; FVC %, percentage of predicted FVC; GOLD, Global Initiative for Chronic Obstructive Lung Dis- ease. *P  0.001, †P  0.0001 compared with controls. Table 1. Clinical characteristics of patients with COPD and controls (tissue samples) For immuno-FISH in formalin-fixed, paraffin-embedded murine and human lung tissues, sections were dewaxed in 100% Histoclear and hydrated in 100, 90, and 70% ethanol (2  5 min incubations) and in distilled water (2  5 min). For antigen retrieval, the slides were placed in 0.01 M citrate buffer and heated until boiling for 10 min. After cooling down to room temperature, the slides were washed twice with distilled water for 5 min. After blocking in normal goat serum (1:60) in BSA/PBS, primary antibody (rabbit polyclonal anti- H2AX 1:400) (Cell Signaling, 9718) was applied and incubated at 4°C overnight. The next day, slides were washed three times in PBS, incubated with secondary antibody for 30 min, washed three times in PBS, and incubated with Avidin DCS (1:500) for 20 min. Following incubation, slides were washed three times in PBS and dehydrated with 70, 90, and 100% ethanol for 3 min each. Sections were denatured for 5 min at 80°C in hybridization buffer [70% formamide (Sigma), 25 mM MgCl2, 1 M Tris, pH 7.2, 5% blocking reagent AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org L1126 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Table 2. Clinical characteristics of patients with COPD and controls (small airway epithelial cells) Table 2. Clinical characteristics of patients with COPD and controls (small airway epithelial cells) Table 2. Clinical characteristics of patients with COPD and controls (small airway epithelial cells) Patients with COPD Normal Controls n 5 5 Sex, male/female 4/1 4/1 Age, yr 56  6.9 50.4  6.9 FEV1, liter 0.53  0.2* 3.59  1.1 FEV1, % 16  4.5† 106.8  17.7 FVC, liter 2.57  1.1 4.9  1.7 FVC, % 61.6  20.8* 118.2  23.3 Smoking history, pack·yr 40.4  23.7* 0 GOLD score, I/II/III/IV 0/0/0/0/5 0/0/0/0 Values are means  SD; n, no. of subjects. *P  0.05, †P  0.01 compared with controls. abundance of telomeric template vs. a single gene by quantitative real-time PCR. Measurements were performed in quadruplicate. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Following ex vivo analysis, we investigated whether TAF were increased in small airway epithelial cells isolated from the COPD lung (Table 2). By immuno-FISH, we found a signifi- cant increase in percentage of cells positive for TAF from patients with COPD (Fig. 3A), without significant differences in telomere FISH intensity (Fig. 3B). Because we found no significant differences in telomere length using Q-FISH, we compared telomere length in small airway epithelial cells isolated from COPD patients and age-matched controls (Table 3), using quantitative real-time PCR. Similarly, we detected no statistically significant differences (Fig. 3B). Small airway epithelial cells isolated from the COPD lung had increased positivity of Sen- -Gal; however, this failed to reach statistical significance, with extensive interpatient variability observed (Fig. 3, C and D). 4F). Altogether, these results suggest that small airway epithe- lial cells accumulate TAF with age, which can be accelerated by cigarette smoke exposure. Late-generation TERC/ mice show increased telomere- associated foci (TAF) in small airway epithelial cells and early-onset emphysema. At late generations, mice deficient in the RNA component of telomerase (mTERC/) exhibit a number of phenotypes indicative of premature aging, thought to be due to early onset of senescence (8). Late-generation mTERC/ mice show critically short telomeres in most tis- sues and premature incidence of TAF. We found at 6 mo of age that G4 mTERC/ mice have an increase in percentage of small airway epithelial cells containing TAF and decreased telomere FISH intensity (Fig. 5, A–C). Consistent with the hypothesis that telomere dysfunction contributes to loss of alveolar integrity, we found a significant reduction in number of air spaces in G4 mTERC/ mice (Fig. 5, D and E). The correlation between TAF and number of air spaces we report is strengthened when G4 mTERC/ are added (Fig. 5F); how- ever, telomere FISH intensity still does not correlate (not shown). Telomere-associated foci increase in small airway epithe- lial cells in mice with age and following cigarette smoke exposure. Following our observation that TAF were in- creased in small airway epithelial cells of patients with COPD, we investigated whether TAF increased in small airway epithelial cells during physiological aging. Mice have long telomeres and express ubiquitously the enzyme telomerase; hence it was believed that telomere dysfunction did not play a role in cellular senescence in murine tissues (39). TELOMERE DYSFUNCTION IN LUNG AGING AND COPD However, our group demonstrated that TAF accumu- late in liver and intestine with age (25), and TAF have been shown to quantitatively predict mean and maximum lifespan in both short- and long-lived mice cohorts (29). Cigarette smoke extract induces TAF and senescence mark- ers in primary human airway epithelial cells and MRC5 fibroblasts. In vitro exposure to cigarette smoke has been shown by several groups to result in expression of senes- cence-associated markers (3, 38). Nevertheless, the role of telomere dysfunction in cigarette smoke-induced senescence is less clear. Recent data from our group and others have revealed that stress-induced activation of a DDR at telo- meres is persistent compared with nontelomeric damage, mostly because of inhibition of DNA repair mechanisms at telomere regions (20, 25). This suggests that TAF, given their persistence, may be excellent markers for age-related accumulated damage. We found a significant increase in percentage of cells pos- itive for TAF from 6.5 until 24 mo of age (as well as mean number of TAF per cell, not shown) (Fig. 4, A and B). No significant changes in telomere FISH intensity were found; however, a tendency for decreased FISH intensity in older animals was observed (Fig. 4C). To determine whether CSE induced TAF in isolated small airway epithelial cells, we cultured cells isolated from healthy nonsmoking controls (n  5) and exposed them to 5% CSE for 48 h. Small airway epithelial cells had increased TAF follow- ing CSE exposure (Fig. 6, A and B); however, analysis of Sen- -Gal expression revealed no significant increases (not shown). Our data shows that TAF are induced as a conse- quence of CSE and may precede the induction of other senes- cence markers. Telomere dysfunction has been associated with increased expression of p21 (12). Consistently, we found with increasing age that a greater percentage of small airway epithelial cells stained positive for p21 (Fig. 4D). The aging lung is associated with structural changes similar to those that occur in emphy- sema, including distal air space enlargement (28). Consistent with this, we found increased air space size in mice with age, indicated by a decreasing number of air spaces per visual field (Fig. 4E). Interestingly, telomere FISH intensity did not cor- relate with air space number; however, there was an inverse correlation between percentage of cells positive for TAF and number of air spaces (P  0.02) (Fig. 4E). RESULTS Patients with COPD show increased telomere-associated foci in small airway epithelial cells. To assess telomere dys- function, we obtained explant lung tissue from patients under- going transplantation for COPD (n  10) and from controls (n  9) undergoing pulmonary resection for localized lung cancer (Table 1). We performed telomere specific quantitative FISH (Q-FISH), together with immunofluorescence staining against DNA damage protein H2A.X (immuno-FISH). Anal- ysis revealed a significant increase in percentage of small airway epithelial cells containing telomere-associated DNA damage foci (TAF) in patients with COPD (Fig. 1, A and B). No significant differences in telomere FISH intensity were detected (Fig. 1C). Similarly, analysis of individual telomeres in small airway epithelial cells in the COPD lung revealed no differences in FISH intensity between colocalizing (with H2A.X) and non-colocalizing telomeres (Fig. 2), suggesting that TAF can occur independently of telomere length. To determine whether other senescence markers were increased in patients with COPD, we conducted immunohistochemistry against p16, p21, and SIRT1. p16 and p21 are cyclin-depen- dent kinase inhibitors and tumor suppressors, expressed in most senescent cells (31). Decreased expression of SIRT1 (a NAD-dependent deacetylase) has been associated with cellular senescence (50). Consistent with a senescent-associated phe- notype, using a semiquantitative scoring method, we observed increased p16 and decreased SIRT1 expression in small airway epithelial cells from patients with COPD (Fig. 1D). No signif- icant differences in p21 expression were observed (data not shown). Using immuno-FISH (p16 and H2A.X), we found that p16-positive cells have more TAF than p16-negative cells (Fig. 1E), suggesting that TAF may be involved in senescence induction. Senescence-associated -galactosidase staining. Senescence-asso- ciated -galactosidase (Sen- -Gal) staining was carried out as previ- ously described (17). Briefly, cells were fixed with 2% formaldehyde in PBS for 5 min. Following fixation, cells were washed once with PBS and incubated at 37°C for 16 h in freshly prepared Sen- -Gal staining solution containing 2 mM magnesium chloride, 150 mM sodium chloride, 40 mM citric acid, 12 mM sodium phosphate dibasic, 5 mM potassium ferrocyanide, 5 mM potassium ferricyanide, and 1 mg/l, 5-bromo-4-chloro-3-inolyl- -D-galactoside at pH 6.0. Following staining, nuclei were stained with DAPI, and cells were imaged. Analysis of telomere length by real-time PCR. Telomere length of isolated epithelial cells (Table 3) was measured by quantitative real-time PCR, as described (34). AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org RESULTS Telomere length was measured as AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1127 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD These results suggest that telomere dysfunction may play a role in age- related lung tissue decline. Epithelial cells cannot be cultured for prolonged periods of time without induction of epithelial-to-mesenchymal transition, a process whereby epithelial cells lose their epithelial features and acquire mesenchymal characteristics. This limits our ability to determine the effects of chronic cigarette smoke exposure on telomere dysfunction and other senescence-associated phenotypes. Therefore, we used nor- mal human fetal lung fibroblasts (MRC5), which can be cultured for longer periods of time and are not overly sensitive to the effects of cigarette smoke exposure. MRC5 cells were cultured for 60 days in the presence or absence of 5% CSE to determine the effects of long-term cigarette smoke exposure. Consistent with previous observations, we show that long-term exposure to CSE induces accelerated senescence in MRC5 cells, evidenced by reduced population doublings (Fig. 6C), increased Sen- -Gal activity (Fig. 6D), and reduction in proliferation marker Ki67 (Fig. 6D). Se- nescence is characterized by increased secretion of bioac- Cigarette smoke has been associated with early onset-senes- cence and induction of H2A.X phosphorylation in human pulmonary endothelial cells in vitro (3), and telomere length is reduced in small airway epithelial cells isolated from healthy smokers (49). However, the role of cigarette smoke in activa- tion of a DDR specifically at telomeres has not been fully elucidated. We found that 3-mo-old mice exposed to cigarette smoke, twice daily for 2 wk, had an increased percentage of small airway epithelial cells positive for TAF, similar to levels observed in mice at 15 mo of age. While this increase was not significant (P  0.06), we found that mean number of TAF increased significantly (P  0.03) (Fig. 4F). No significant differences in telomere FISH intensity were observed (Fig. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1128 DAPI Telo-FISH γH2A.X merge Control COPD 100 20 40 60 80 ** % Cell with TAF 100 200 300 Telo γH2A.X 0 0.5 1 1.5 2 2.5 100 200 300 Fluo. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Intensity (AU) Distance (μm) 0 1 2 3 * p16 expression score Control COPD (n=19) (n=11) Control COPD p16 COPD Control SIRT1 0 1 2 3 * SIRT1 expression score A B C D E airway space airway space Control COPD p16 (-) 0.0 0.4 0.8 1.2 1.6 2.0 Mean number of TAF * p16 (+) DAPI p16 FISH γH2A.X merge Telomere-associated foci (TAF) single plane Telomere length 0 10 20 30 Telomere length (AU) 10 20 30 40 50 Telomere length (AU) Control COPD (n=10) (n=9) 0 Control COPD (n=10) (n=9) 10μm 50μm single plane 0 1 3 N of TAF 2 30μm 30μm 10μm 50μm AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org DAPI Telo-FISH γH2A.X merge Control COPD 100 200 300 Telo γH2A.X 0 0.5 1 1.5 2 2.5 100 200 300 Fluo. Intensity (AU) Distance (μm) A single plane 10μm A DAPI Telo-FISH γH2A.X merge Control COPD 100 20 40 60 80 ** % Cell with TAF 100 200 300 Telo γH2A.X 0 0.5 1 1.5 2 2.5 100 200 300 Fluo. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Intensity (AU) Distance (μm) B C airway space airway space Control COPD Telomere-associated foci (TAF) Telomere length 0 10 20 30 Telomere length (AU) 10 20 30 40 50 Telomere length (AU) Control COPD (n=10) (n=9) 0 Control COPD (n=10) (n=9) single plane 0 1 3 N of TAF 2 30μm 30μm 10μm Control 100 20 40 60 80 ** % Cell with TAF B C airway space airway space Control COPD Telomere-associated foci (TAF) Telomere length 0 10 20 30 Telomere length (AU) 10 20 30 40 50 Telomere length (AU) Control COPD ( 10) ( 9) 0 Control COPD (n=10) (n=9) 0 1 3 N of TAF 2 30μm 30μm 100 20 40 60 80 ** % Cell with TAF B airway space airway space Control COPD Telomere-associated foci (TAF) 0 Control COPD 0 1 3 N of TAF 2 30μm 30μm B C C Telomere length 0 10 20 30 Telomere length (AU) Telomere length (AU) Control (n=9) 0 1 2 3 * p16 expression score Control COPD (n=19) (n=11) Control COPD p16 COPD Control SIRT1 0 1 2 3 * SIRT1 expression score D E p16 (-) 0.0 0.4 0.8 1.2 1.6 2.0 Mean number of TAF DAPI p16 FISH γH2A.X merg (n=10) (n=9) 10μm 50μm 50μm D 0 1 2 3 * p16 expression score COPD E DAPI ( ( ) E E p16 (-) 0.0 0.4 0.8 1.2 1.6 2.0 Mean number of TAF * p16 (+) DAPI p16 FISH γH2A.X merge single plane 10μm p16 expression score Control COPD (n=19) (n=11) COPD ontrol RT1 0 1 2 3 * SIRT1 expression score 50μm AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org L1129 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD γ-H2A.X telo-FISH γ-H2A.X telomeres colocalising 6.0 12.0 18.0 24.0 30.0 36.0 42.0 48.0 Telomere intensity (AU) 0 2 4 6 8 10 Frequency non-colocalising 0.0 0 2 4 6 8 10 Frequency colocalising b a b a Distance (μm) 0.0 0.5 1.0 1.5 2.0 0.0 0.5 1.0 1.5 2.0 Telomere FISH intensity 0 50 100 150 200 250 300 Distance (μm) A B C Fig. 2. TAF in COPD occur irrespective of telomere length. A: representative immuno-FISH (H2A.X and telomere peptide nucleic acid probe) of small airway epithelial cell present in COPD lung tissue. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Arrows indicate telomeres of similar length colocalizing (a) or not (b) with H2A.X. B: quantification of telomere intensity of colocalizing (a) or non-colocalizing (b) telomere. C: quantification of telomere intensity in colocalizing and non-colocalizing telomeres in COPD patients; red line indicates median telomere intensity. Five hundred individual telomeres were quantified per condition. Mann-Whitney U-test shows no statistically significant difference. γ-H2A.X telomeres b a Distance (μm) 0.0 0.5 1.0 1.5 2.0 0.0 0.5 1.0 1.5 2.0 Telomere FISH intensity 0 50 100 150 200 250 300 Distance (μm) B B A γ-H2A.X telo-FISH b a A colocalising 6.0 12.0 18.0 24.0 30.0 36.0 42.0 48.0 Telomere intensity (AU) 0 2 4 6 8 10 Frequency non-colocalising 0.0 0 2 4 6 8 10 Frequency colocalising C C 1 1 2 3 3 4 4 Telomere intensity (AU) Fig. 2. TAF in COPD occur irrespective of telomere length. A: representative immuno-FISH (H2A.X and telomere peptide nucleic acid probe) of small airway epithelial cell present in COPD lung tissue. Arrows indicate telomeres of similar length colocalizing (a) or not (b) with H2A.X. B: quantification of telomere intensity of colocalizing (a) or non-colocalizing (b) telomere. C: quantification of telomere intensity in colocalizing and non-colocalizing telomeres in COPD patients; red line indicates median telomere intensity. Five hundred individual telomeres were quantified per condition. Mann-Whitney U-test shows no statistically significant difference. and have been shown to contribute to the induction and maintenance of senescence in autocrine and paracrine fash- ions (1, 2). ELISAs for IL-6 and IL-8 detection indepen- dently confirmed the findings of the cytokine array (Fig. 6E). This rise in cytokine secretion following CSE expo- sure was first observed at day 13, but became enriched after 39 days in culture when cells reached premature senescence. tive, proinflammatory peptides; the so-called senescence- associated secretory phenotype (SASP). We first conducted a cytokine array analysis of 20 proinflammatory mediators and found that CSE exposure for 39 days leads to increased secretion of IL-6, IL-8, growth-related oncogene, monocyte chemotactic protein-1, and vascular endothelial growth fac- tor (Fig. 6E). Most other cytokines or growth factors ana- lyzed were secreted below detection level. Fig. 1. Chronic obstructive pulmonary disease (COPD) patients show increased telomere-associated DNA damage foci (TAF) in small airway epithelial cells without significant telomere shortening. Explant lung tissue sections from patients with COPD and lung resection specimens from control subjects containing small airway material were analyzed for expression of senescence-associated markers by immunofluorescence in situ hybridization (immuno-FISH) and immunohistochemistry. A: representative images of immuno-FISH staining for -histone protein 2A.X (H2A.X; green) and telomeres (red) in small airway epithelial cells from patients with COPD and controls captured using 100 oil objective and following Huygens (SVI) deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF), depicted by associated histograms and shown at higher magnification on the right (images are from one single Z-plane). B: immuno-FISH images of small airway epithelium in patients with COPD and controls color-coded according to number of TAF (blue: low number; red: high number). C: quantitative FISH (Q-FISH) images of small airway epithelium in patients with COPD and controls color-coded according to telomere length (blue: short; red: long). Dot plots represent percentage of cells positive for TAF and mean telomere length for each individual generated by quantifying Z-stacks of at least 50 cells per subject. The horizontal line represents group median. D: representative images of immunostaining for p16 and SIRT1 (brown) in small airway epithelial cells captured using 40 objective. Arrows point to positive cells. Bar graphs represent the level of positive staining in the airway epithelium quantified using a semiquantitative scoring method. Values are median range. E: representative image of double immunofluorescence staining for H2A.X (green) and p16 (yellow) combined with Q-FISH (red), carried out on lung tissue samples from patients with COPD (n  8) to determine whether TAF and p16 expression colocalizes. Dot plot represents mean number of TAF in both p16-positive and p16-negative cells per individual, with the horizontal line representing group median. AU, arbitrary units. Statistics: Mann-Whitney U-test: *P  0.05, **P  0.01. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD D: representative image of Sen- -Gal staining (blue) in small airway epithelial cells from patients with COPD and controls. Statistics: independent samples t-test: **P  0.05. of TAF following CSE exposure, preceding other markers of senescence (Fig. 6, F and G). At day 67 in culture, all cells were positive for TAF, but mean number of TAF was increased in CSE-exposed cells (Fig. 6F). however, cultivation of cells at 3% O2 drastically reduced frequencies of Sen- -Gal-positive cells (Fig. 7D). Further- more, we found that CSE-driven growth arrest was suppressed upon cultivation of MRC5 fibroblasts at low oxygen (not shown). Cigarette smoke-induced proinflammatory phenotype is ac- celerated by ROS-dependent telomere dysfunction. Mechanis- tically, it is unclear how CSE induces telomere dysfunction. Telomeres are highly sensitive to oxidative stress compared with the bulk of the genome and less efficiently repaired when subjected to single-strand breaks and DSBs (25, 42). More- over, it has been shown that exposure to CSE increases ROS and oxidative stress markers in human fibroblasts and airway epithelial cells (9, 16). To determine whether TAF were in- duced by oxidative stress, we cultured MRC5 fibroblasts under low oxygen pressure (3% O2) and exposed them for 25 days to 5% CSE. Culturing cells at low oxygen pressure is an accepted method of reducing intracellular ROS, and under these condi- tions we and others have previously reported reduced mito- chondrial and cellular oxidative stress (39, 40, 43), which resulted in reduced DNA damage and delayed onset of senes- cence. We found that CSE significantly increased mitochon- drial-derived ROS (measured by MitoSOX fluorescence), which was suppressed when culturing cells under 3% O2 (Fig. 7A). Consistent with a causal role for oxidative stress in TAF induction, we found that low oxygen was able to suppress smoke-induced increases in TAF (Fig. 7B). Similarly, treat- ment of primary small airway epithelial cells with antioxidant N-acetyl-cysteine significantly reduced short-term CSE-in- duced increases in TAF (Fig. 7C). As shown previously, CSE exposure increased percentage of cells positive for Sen- -Gal, Telomere-dysfunction and resulting DDR activation result in increased expression of IL-6 and IL-8 (44). Consistent with a role for ROS-dependent telomere dysfunction contributing to the SASP, we found that low oxygen significantly reduced IL-6 and IL-8 secretion in MRC5 fibroblasts, irrespective of smoke exposure (Fig. 7E). Mechanistically, it has been shown that persistent ATM activation is necessary for induction of the SASP (44). TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1130 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD A Control COPD 0 20 40 60 80 100 % cells with TAF ** Control COPD A B 0 1 2 3 4 50 100 150 200 250 Telomeres γH2A.X 0 20 40 60 80 100 Fluo. Intensity (AU) Distance (μm) ROI 1 ROI 2 ROI 1 ROI 2 Control COPD 10μm 5μm 1000 2000 3000 4000 5000 Telomere length (bp) Control COPD Q-FISH Real-Time PCR 15 20 25 30 35 Telomere length (A.U.) Control COPD 0 20 40 60 80 100 % cells with TAF ** Control COPD 0 1 2 3 4 50 100 150 200 250 Telomeres γH2A.X 0 20 40 60 80 100 Fluo. Intensity (AU) Distance (μm) ROI 1 ROI 2 ROI 1 ROI 2 10μm 5μm B 1000 2000 3000 4000 5000 Telomere length (bp) Control COPD Q-FISH Real-Time PCR 15 20 25 30 35 Telomere length (A.U.) Control COPD B .) A B ) Real-Time PCR Telomere length (bp) C 0 20 40 60 80 % Sen-β-Gal Control COPD D Control COPD Sen-β-Gal D 40µm D C Fig. 3. Cultured small airway epithelial cells from patients with COPD show increased TAF and senescence-associated -galactosidase (Sen- -Gal) activity without significant telomere shortening. Small airway epithelial cells (passages 1–3) from patients with COPD and aged-matched controls were stained for H2A.X and telomeres by immuno-FISH. A, left: dot plots represent percentage of cells positive for TAF for each individual generated by quantifying Z-stacks of at least 40 cells per subject. Values are the mean for individual subjects, with the horizontal line representing group mean. Right: representative image of immuno-FISH staining for H2A.X (green) and telomeres (red) in small airway epithelial cells from patients with COPD and controls captured using 100 oil objective and following Huygens (SVI) deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF), depicted by associated histograms and shown at higher magnification on the right (images are from one single Z-plane). B: dot plots representing telomere length quantified by Q-FISH (controls, n  5; COPD, n  5; left) and telomere length quantified by real-time PCR (controls, n  4; COPD, n  6; right). Horizontal line represents group mean. C: dot plot represents percentage of cells positive for Sen- -Gal staining generated by quantifying at least 500 cells per subject. Dots represent mean value per subject, with horizontal line representing group mean. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD This is consistent with previous reports suggesting that proinflammatory cy- tokines IL-6 and IL-8 are major components of the SASP y p Consistent with a potential role for telomere dysfunction in the process, immuno-FISH revealed a significant increase in the percentage of cells containing TAF and in the mean number TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1130 A B C Control COPD Sen-β-Gal 0 1 2 3 4 50 100 150 200 250 Telomeres γH2A.X 0 20 40 60 80 100 Fluo. Intensity (AU) Distance (μm) ROI 1 ROI 2 ROI 1 ROI 2 Control COPD 10μm 5μm D 40µm 1000 2000 3000 4000 5000 Telomere length (bp) Control COPD Q-FISH Real-Time PCR 15 20 25 30 35 Telomere length (A.U.) Control COPD 0 20 40 60 80 100 % cells with TAF ** Control COPD 0 20 40 60 80 % Sen-β-Gal Control COPD Fig. 3. Cultured small airway epithelial cells from patients with COPD show increased TAF and senescence-associated -galactosidase (Sen- -Gal) activity without significant telomere shortening. Small airway epithelial cells (passages 1–3) from patients with COPD and aged-matched controls were stained for H2A.X and telomeres by immuno-FISH. A, left: dot plots represent percentage of cells positive for TAF for each individual generated by quantifying Z-stacks of at least 40 cells per subject. Values are the mean for individual subjects, with the horizontal line representing group mean. Right: representative image of immuno-FISH staining for H2A.X (green) and telomeres (red) in small airway epithelial cells from patients with COPD and controls captured using 100 oil objective and following Huygens (SVI) deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF), depicted by associated histograms and shown at higher magnification on the right (images are from one single Z-plane). B: dot plots representing telomere length quantified by Q-FISH (controls, n  5; COPD, n  5; left) and telomere length quantified by real-time PCR (controls, n  4; COPD, n  6; right). Horizontal line represents group mean. C: dot plot represents percentage of cells positive for Sen- -Gal staining generated by quantifying at least 500 cells per subject. Dots represent mean value per subject, with horizontal line representing group mean. D: representative image of Sen- -Gal staining (blue) in small airway epithelial cells from patients with COPD and controls. Statistics: independent samples t-test: **P  0.05. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD To test the hypothesis that CSE-dependent activation of a DDR results in increased IL-6 and IL-8, we treated smoke-ex- Table 3. Clinical characteristics of patients with COPD and controls (small airway epithelial cells used for RT-PCR) controls (small airway epithelial cells used for RT-PCR) Patients with COPD Normal Controls n 6 4 Sex, male/female 5/1 3/1 Age, yr 54.6  7 49.5  7.59 FEV1, liter 0.54  0.17‡ 3.75  1.24 FEV1, % 15.6  14.13§ 111  17.33 FVC, liter 2.59  0.95* 5.02  1.96 FVC, % 58.8  19.79† 120.25  26.36 Smoking history, pack·yr 38.6  21.67† 0 GOLD score, I/II/III/IV 0/0/0/0/6 0/0/0/0 Values are means  SD; n, no. of subjects. *P  0.05, †**P  0.01, ‡P  0.001, §P  0.0001 compared with controls. Patients with COPD Normal Controls AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1131 6.5 months 15 months 24 months 0 20 40 60 80 100 % p21 positive cells * p21 H&E Small airway Small airway Small airway 6.5 15 24 0 5 10 15 20 25 ** * % cells with TAF 0 50 100 150 *** 10 weeks old 2 weeks N airspaces 0 5 10 15 20 25 p = 0.06 * air 3m 15m air smoke % cells with TAF 6.5 15 24 0 5 10 15 20 25 Mean telomere length(AU) +/- 0 10 20 30 40 Mean telomere length air smoke 6.5 15 24 Age (months) 6.5 15 24 A 24 m small airway small airway 6.5m Telomere length TAF γH2A.X Telo-FISH small airway small airway small airway small airway 0 100 200 300 Telomeres γH2A.X 0 100 200 300 0 1 2 3 Distance (μm) Fluorescence Intensity (AU) 0 1 3 N of TAF 0 10 20 30 Telomere length (AU) B C D E F 0.0 0.1 0.2 0.3 Mean number of TAF * * air 3m 15m air smoke 10μm 10μm 10μm 2 25μm 50μm R = - 0.39 P = 0.02 0 50 100 150 N airspaces 5 10 15 20 25 WT (6-24m) % cells with TAF Fig. 4. TAF increase in small airway epithelial cells in mice in vivo with age and following cigarette smoke exposure without significant telomere shortening. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1131 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD 10 weeks old 2 weeks 20 25 p = 0.06 * TAF +/- A 24 m 6.5m γH2A.X Telo-FISH 0 100 200 300 Telomeres γH2A.X 0 100 200 300 0 1 2 3 Di t ( ) Fluorescence Intensity (AU) F 10μm F A Fluorescence Intensity (AU) B 6.5 months 15 months 24 months 6.5 0 5 10 15 20 25 % cells with TAF small airway TAF small airway small airway Distance (μm) 0 1 3 N of TAF B C 10μm 2 N of TAF gth Mean number of TAF Mean telomere length Mean num Mean telomere length D p21 H&E Small airway Small airway Small airway D E 25μm 50μm 0 % p2 0 50 100 150 *** N airspaces 6.5 15 24 Age (months) 6.5 15 24 R = - 0.39 P = 0.02 0 50 100 150 N airspaces 5 10 15 20 25 WT (6-24m) % cells with TAF H&E E 25μm 50μm E Fig. 4. TAF increase in small airway epithelial cells in mice in vivo with age and following cigarette smoke exposure without significant telomere shortening. Lung tissue sections from male C57BL/6 mice of increasing age (6.5–24 mo) were stained by immunofluorescence and immunohistochemistry for senescence-associated markers. A: representative image of immuno-FISH for H2A.X (green) and telomeres (red) in small airway epithelial cells from 6.5- and 24-mo-old mice captured using 100 oil objective and following Huygens (SVI) deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF), depicted by associated histograms and shown at higher magnification on the right (images are from one single Z-plane). B: immuno-FISH images of 6.5-, 15-, and 24-mo-old mice color-coded according to number of TAF (blue: low number; red: high number). C: Q-FISH images of 6.5-, 15-, and 24-mo-old mice color-coded according to telomere length (blue: short; red: long). Dot plots represent percentage of cells positive for TAF and mean telomere length for each animal generated by quantifying Z-stacks of at least 100 cells per animal. D: representative images of p21 immunostaining (brown) in small airway epithelial cells from 6.5-, 15-, and 24-mo-old mice captured using 40 objective. Arrows point to p21-positive cells. Dot plots represent the percentage of epithelial cells expressing p21 in small airways generated by quantifying 10 random images for each animal. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Lung tissue sections from male C57BL/6 mice of increasing age (6.5–24 mo) were stained by immunofluorescence and immunohistochemistry for senescence-associated markers. A: representative image of immuno-FISH for H2A.X (green) and telomeres (red) in small airway epithelial cells from 6.5- and 24-mo-old mice captured using 100 oil objective and following Huygens (SVI) deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF), depicted by associated histograms and shown at higher magnification on the right (images are from one single Z-plane). B: immuno-FISH images of 6.5-, 15-, and 24-mo-old mice color-coded according to number of TAF (blue: low number; red: high number). C: Q-FISH images of 6.5-, 15-, and 24-mo-old mice color-coded according to telomere length (blue: short; red: long). Dot plots represent percentage of cells positive for TAF and mean telomere length for each animal generated by quantifying Z-stacks of at least 100 cells per animal. D: representative images of p21 immunostaining (brown) in small airway epithelial cells from 6.5-, 15-, and 24-mo-old mice captured using 40 objective. Arrows point to p21-positive cells. Dot plots represent the percentage of epithelial cells expressing p21 in small airways generated by quantifying 10 random images for each animal. E: representative images of hematoxylin and eosin (H&E) staining of alveolar air spaces in 6.5-, 15-, and 24-mo-old mice captured using 20 objective. Dot plots represent mean number of air spaces quantified from 10 random images taken for each animal. Correlation between mean number of TAF and number of air spaces in wild-type (WT) mice aged between 6.5 and 24 mo of age is shown. F: C57Bl/6 mice at 10 wk of age were exposed to cigarette smoke for 1 h, twice daily, or room air for 14 days, and immuno-FISH was carried out on sections from the left lung. Dot plots represent percentage of cells positive for TAF, mean number of TAF per cell, and mean telomere length of small airway epithelial cells for each animal, generated by quantifying Z-stacks of at least 100 cells per animal. Values are the mean for individual animals, with the horizontal line representing group mean. Statistics: independent samples t-test: *P  0.05, **P  0.01, ***P  0.001. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD E: representative images of hematoxylin and eosin (H&E) staining of alveolar air spaces in 6.5-, 15-, and 24-mo-old mice captured using 20 objective. Dot plots represent mean number of air spaces quantified from 10 random images taken for each animal. Correlation between mean number of TAF and number of air spaces in wild-type (WT) mice aged between 6.5 and 24 mo of age is shown. F: C57Bl/6 mice at 10 wk of age were exposed to cigarette smoke for 1 h, twice daily, or room air for 14 days, and immuno-FISH was carried out on sections from the left lung. Dot plots represent percentage of cells positive for TAF, mean number of TAF per cell, and mean telomere length of small airway epithelial cells for each animal, generated by quantifying Z-stacks of at least 100 cells per animal. Values are the mean for individual animals, with the horizontal line representing group mean. Statistics: independent samples t-test: *P  0.05, **P  0.01, ***P  0.001. supporting the hypothesis that smoked-induced DDR acti- vation results in increased SASP. posed MRC5 fibroblasts with an ATM inhibitor (KU55933). We first demonstrated that KU55933 suppresses phosphor- ylation of H2A.X (a target of ATM kinase), confirming its role in DDR inhibition (Fig. 7F). At 14 days, we found that ATM inhibition represses smoke-induced TAF increase (not shown), as well as IL-6 and IL-8 secretion (Fig. 7F), Altogether, the results from MRC5 cells suggest that ciga- rette smoke exposure causes telomere dysfunction, possibly through increased oxidative stress, which leads to senescence induction and SASP activation. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1132 WT G4TERC -/- 0 50 100 150 N airspaces *** % cells with TAF 0 5 10 15 20 25 Mean telomere intensity *** WT G4TERC -/- WT G4TERC -/- 0 10 20 30 Telomere length (AU) small airway small airway small airway small airway Wild-type G4 TERC-/- TAF Telomere Length 0 20 40 60 * H&E 0 50 100 150 0 10 20 30 40 R = - 0.73 P = 0.001 % cells with TAF N airspaces WT (6-24m) G4TERC-/- (6m) A B C D E F 10μm 10μm 50μm 0 1 3 N of TAF 2 Fig. 5. Late-generation TERC/ mice show increased TAF in small airway epithelial cells and early-onset emphysema. DISCUSSION relatively small sample size. Decreased telomere length in smokers (49) and patients with COPD (5) has been described, using larger sample sizes than in our study. However, only small differences in telomere length have been reported (15% in most cases). We observe significant increases in the frequency of cells positive for TAF in patients with COPD, even with smaller sample sizes. Moreover, we have found clear evidence for increased TAF in small airway epithelial cells in lung tissue from COPD patients, which are younger than controls, demonstrating that TAF are robust indicators of COPD-associated damage, despite the age discrepancy. Con- sistently, another study also failed to find differences in telo- mere length between lung fibroblasts isolated from patients with emphysema and aged-matched controls, despite increased expression of senescence-associated markers (37). In addition to increased TAF, we observed increased p16, which is con- sidered a hallmark of senescence. Moreover, TAF content was greater in p16-positive cells, suggesting that TAF correlate with expression of senescence markers. We did not detect differences in p21 positivity between patients with COPD and controls. However, the p16-pRB pathway may be activated following activation of, or independent to, the p21 pathway (24). Increased cellular senescence is a major feature of aging and has been implicated in COPD pathogenesis. Short telomeres, known activators of cellular senescence, have been implicated in COPD, mostly in circulating leukocytes (45). Recent data has questioned the utility of telomere length in circulating leukocytes as a biomarker of aging. While some studies suggest that leukocyte telomere length may act as a proxy for telomere length in other somatic cell types, there is evidence suggesting that this is not true for some tissues (47). Furthermore, recent studies have suggested telomere dysfunc- tion can be induced independently of length. In fact, data suggest that senescence can be induced by activation of a DDR at relatively long telomeres in human fibroblasts during stress- induced (20, 25), replicative (30), and oncogene-induced se- nescence in vitro (46) and in mice in vivo (25). While the mechanisms driving telomere dysfunction are still unclear, these data suggest that a “critical” telomere length may not be the sole determinant in the activation of a persistent DDR. Using Q-FISH and real-time PCR in small airway epithelial cells, we failed to detect robust differences in telomere length between controls and patients with COPD. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Immuno-FISH staining for H2A.X and telomeres was carried out on lung tissue sections from late-generation TERC/ and WT C57Bl/6 mice at 6.5 mo old. A: immuno-FISH images of small airway epithelial cells from WT and late-generation [fourth generation (G4)] TERC/ mice color-coded according to number of TAF (blue: low number; red: high number) and telomere length (blue: short; red: long). Dot plots represent the percentage of cells positive for TAF (B) and the mean telomere length (C) for each animal generated by quantifying Z-stacks of at least 100 cells per animal taken using 100 oil objective. D: representative images of H&E staining of alveolar air spaces in WT and G4 TERC/ mice captured using 20 objective. E: dot plots represent the mean number of air spaces quantified per visual field from 10 random images taken for each animal. Values are the mean for individual animals, with the horizontal line representing group mean. F: correlation between percentage of small airway epithelial cells positive for TAF and number of air spaces. Statistics: independent samples t-test, Pearson’s correlation: *P  0.05, ***P  0.001. 0 10 20 30 Telomere length (AU) small airway small airway small airway small airway Wild-type G4 TERC-/- TAF Telomere Length A D 10μm 10μm 0 1 3 N of TAF 2 % cells with TAF WT G4TERC -/- 0 20 40 60 * B 0 5 10 15 20 25 Mean telomere intensity *** WT G4TERC -/- C B A t C TAF 0 50 100 150 0 10 20 30 40 R = - 0.73 P = 0.001 % cells with TAF N airspaces WT (6-24m) G4TERC-/- (6m) F WT G4TERC -/- 0 50 100 150 N airspaces *** E F E D H&E D 50μm Fig. 5. Late-generation TERC/ mice show increased TAF in small airway epithelial cells and early-onset emphysema. Immuno-FISH staining for H2A.X and telomeres was carried out on lung tissue sections from late-generation TERC/ and WT C57Bl/6 mice at 6.5 mo old. A: immuno-FISH images of small airway epithelial cells from WT and late-generation [fourth generation (G4)] TERC/ mice color-coded according to number of TAF (blue: low number; red: high number) and telomere length (blue: short; red: long). TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Dot plots represent the percentage of cells positive for TAF (B) and the mean telomere length (C) for each animal generated by quantifying Z-stacks of at least 100 cells per animal taken using 100 oil objective. D: representative images of H&E staining of alveolar air spaces in WT and G4 TERC/ mice captured using 20 objective. E: dot plots represent the mean number of air spaces quantified per visual field from 10 random images taken for each animal. Values are the mean for individual animals, with the horizontal line representing group mean. F: correlation between percentage of small airway epithelial cells positive for TAF and number of air spaces. Statistics: independent samples t-test, Pearson’s correlation: *P  0.05, ***P  0.001. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org DISCUSSION L1133 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD A Untreated CSE 5% 0 20 40 60 80 p = 0.06 % Cells with TAF CSE 5% Control γH2A.X Telo-FISH merge 5μm single plane B 0.0 0.5 1.0 1.5 2.0 * Untreated CSE 5% Mean number of TAF A B D E Untreated CSE 5% 40μm Sen-β-Gal 3d 25d 40μm Ki-67 Mean ± S.E.M = 81.21 ± 1.6 (3d), 60.55 ± 4.4 (25d) Mean ± S.E.M = 70.56 ± 5.2 (3d), 54.97 ± 2.9 (25d) Mean ± S.E.M = 6.65 ± 1.04 25d Mean ± S.E.M = 21.2 ± 2.92 0 20 40 60 20 25 30 35 40 45 Days in culture PD number Untreated CSE 5% C 0 20 40 60 20 25 30 35 40 45 Days in culture PD number Untreated CSE 5% C D E Untreated CSE 5% 40μm Sen-β-Gal 3d 25d 40μm Ki-67 Mean ± S.E.M = 81.21 ± 1.6 (3d), 60.55 ± 4.4 (25d) Mean ± S.E.M = 70.56 ± 5.2 (3d), 54.97 ± 2.9 (25d) Mean ± S.E.M = 6.65 ± 1.04 25d Mean ± S.E.M = 21.2 ± 2.92 E IL-6 IL-8 VEGF GRO MCP-1 MIP-1α MIP-1β RANTES IFNα MMP-9 GM-CSF IL-12p70 IL-1β IL-1α TNFα IL-4 IL-2 IL-5 IL-10 IL-13 Control CSE 5% 1 10 100 1000 ρg/mL 3 7 13 25 39 0 200 400 600 800 IL-6 (pg/ml) Days in culture Untreated CSE 5% 0 2000 4000 6000 *** *** * 3 7 13 25 39 ** *** ND ND * IL-8 (pg/ml) E IL-6 IL-8 VEGF GRO MCP-1 MIP-1α MIP-1β RANTES IFNα MMP-9 GM-CSF IL-12p70 IL-1β IL-1α TNFα IL-4 IL-2 IL-5 IL-10 IL-13 Control CSE 5% 1 10 100 1000 ρg/mL d d D E D 3 7 13 25 39 0 200 400 600 800 IL-6 (pg/ml) Days in culture Untreated CSE 5% 0 2000 4000 6000 *** *** * 3 7 13 25 39 ** *** ND ND * IL-8 (pg/ml) C 3 7 25 67 0 50 100 ** * % Cells with TAF Days in culture F ** G 3 days γH2A.X FISH merge Control CSE 5% single plane single plane 25 days γH2A.X FISH merge 5μm 3 7 25 67 0 50 100 ** * % Cells with TAF Days in culture Untreated CSE 5% 0 2 4 6 8 Mean number of TAF * * 3 7 25 67 Days in culture F G 3 d γH2A.X F Control CSE 5% ** Untreated CSE 5% 0 2 4 6 8 Mean number of TAF * * 3 7 25 67 Days in culture F G Fig. DISCUSSION 6. Cigarette smoke induces TAF and senescence markers in human MRC5 fibroblasts and primary small airway epithelial cells in vitro. A: normal human small airway epithelial cells (n  5) were exposed to 5% cigarette smoke extract (CSE) (two exposures, 48 h apart) or left untreated and analyzed for H2A.X and telomeres by immuno-FISH. Dot plots represent percentage of TAF-positive cells (left) and mean number of TAF (right) per cell generated by quantifying Z-stacks of at least 50 cells per subject using 100 oil objective. Horizontal line represents group mean. B: representative Z-projection of immuno-FISH staining for H2A.X (green) and telomeres (red) in small airway epithelial cells exposed to 5% CSE or untreated captured using 100 oil objective and following deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF) and are shown at higher magnification on the right (images are from single Z-plane). C: MRC5 cells (untreated or exposed to 5% CSE every 48 h) were subjected to repeated passaging and population doubling (PD) level calculated for each condition and plotted against number of days in culture. D: representative images of Sen- -Gal staining in MRC5 cells after 25 days in culture, and representative images of Ki-67 staining in MRC5 cells after 3 and 25 days in culture. E, left: secreted protein array (RayBiotech) for range of inflammatory proteins 39 days following 5% CSE. Data are from n  3 experiments. GRO, growth-related oncogene; MCP-1, monocyte chemotactic protein-1; MIP, macrophage inflammatory protein; RANTES, regulated on activation, normal T cell expressed and secreted; MMP-9, matrix metalloproteinase; GM-CSF, granulocyte-macrophage colony-stimulating factor. Right: concentrations of IL-6 and IL-8 in cell culture media from MRC5 cells exposed to 5% CSE or untreated were measured by ELISA and are presented as means  SE of n  4 experiments. F: immuno-FISH staining for H2A.X and telomeres was carried out on MRC5 cells from a number of time points. Percentage of cells positive for TAF (left) or mean number of TAF per cell (right) generated by quantifying Z-stacks of at least 30 cells per condition using 100 oil objective are shown. Values are means  SE. G: representative Z-stacks of immuno-FISH staining for H2A.X (green) and telomeres (red) in MRC5 cells exposed to 5% CSE or untreated at 3 and 25 days in culture captured using 100 oil objective and following Huygens (SVI) deconvolution. DISCUSSION This contrasts with previous reports where telomere shortening is described in other lung cells from patients with COPD, including alveolar type II cells and endothelial cells (5, 48). It is possible that our study failed to detect differences in telomere length due to a Our study cannot eliminate telomere shortening as a mech- anism driving COPD-associated telomere dysfunction because 1) in age-matched isolated small airway epithelial cells, our TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1133 0 20 40 60 20 25 30 35 40 45 Days in culture PD number Untreated CSE 5% 3 7 13 25 39 0 200 400 600 800 IL-6 (pg/ml) 3 7 25 67 0 50 100 ** * % Cells with TAF Days in culture Untreated CSE 5% 0 2 4 6 8 Mean number of TAF * * 3 7 25 67 Days in culture Days in culture Untreated CSE 5% CSE 5% Control γH2A.X Telo-FISH merge 0 2000 4000 6000 *** *** * 3 7 13 25 39 ** *** ND ND * IL-8 (pg/ml) C D E F G A 5μm Untreated CSE 5% 40μm Sen-β-Gal 3 days γH2A.X FISH merge Control CSE 5% single plane single plane single plane 25 days γH2A.X FISH merge 5μm IL-6 IL-8 VEGF GRO MCP-1 MIP-1α MIP-1β RANTES IFNα MMP-9 GM-CSF IL-12p70 IL-1β IL-1α TNFα IL-4 IL-2 IL-5 IL-10 IL-13 Control CSE 5% B 1 10 100 1000 ρg/mL 0.0 0.5 1.0 1.5 2.0 * Untreated CSE 5% Untreated CSE 5% 0 20 40 60 80 p = 0.06 % Cells with TAF Mean number of TAF 3d 25d 40μm Ki-67 Mean ± S.E.M = 81.21 ± 1.6 (3d), 60.55 ± 4.4 (25d) Mean ± S.E.M = 70.56 ± 5.2 (3d), 54.97 ± 2.9 (25d) Mean ± S.E.M = 6.65 ± 1.04 25d Mean ± S.E.M = 21.2 ± 2.92 ** Fig. 6. Cigarette smoke induces TAF and senescence markers in human MRC5 fibroblasts and primary small airway epithelial cells in vitro. A: normal human small airway epithelial cells (n  5) were exposed to 5% cigarette smoke extract (CSE) (two exposures, 48 h apart) or left untreated and analyzed for H2A.X and telomeres by immuno-FISH. Dot plots represent percentage of TAF-positive cells (left) and mean number of TAF (right) per cell generated by quantifying Z-stacks of at least 50 cells per subject using 100 oil objective. Horizontal line represents group mean. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org DISCUSSION B: representative Z-projection of immuno-FISH staining for H2A.X (green) and telomeres (red) in small airway epithelial cells exposed to 5% CSE or untreated captured using 100 oil objective and following deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF) and are shown at higher magnification on the right (images are from single Z-plane). C: MRC5 cells (untreated or exposed to 5% CSE every 48 h) were subjected to repeated passaging and population doubling (PD) level calculated for each condition and plotted against number of days in culture. D: representative images of Sen- -Gal staining in MRC5 cells after 25 days in culture, and representative images of Ki-67 staining in MRC5 cells after 3 and 25 days in culture. E, left: secreted protein array (RayBiotech) for range of inflammatory proteins 39 days following 5% CSE. Data are from n  3 experiments. GRO, growth-related oncogene; MCP-1, monocyte chemotactic protein-1; MIP, macrophage inflammatory protein; RANTES, regulated on activation, normal T cell expressed and secreted; MMP-9, matrix metalloproteinase; GM-CSF, granulocyte-macrophage colony-stimulating factor. Right: concentrations of IL-6 and IL-8 in cell culture media from MRC5 cells exposed to 5% CSE or untreated were measured by ELISA and are presented as means  SE of n  4 experiments. F: immuno-FISH staining for H2A.X and telomeres was carried out on MRC5 cells from a number of time points. Percentage of cells positive for TAF (left) or mean number of TAF per cell (right) generated by quantifying Z-stacks of at least 30 cells per condition using 100 oil objective are shown. Values are means  SE. G: representative Z-stacks of immuno-FISH staining for H2A.X (green) and telomeres (red) in MRC5 cells exposed to 5% CSE or untreated at 3 and 25 days in culture captured using 100 oil objective and following Huygens (SVI) deconvolution. Arrows point to H2A.X foci colocalizing with telomeres (TAF), shown at higher magnification on the right (images are from single Z-plane). Statistics: independent samples t-test: *P  0.05, **P  0.01, ***P  0.001. DISCUSSION Bar graphs represent mean fluorescence intensity  SE of n  3 experiments. B: immuno-FISH staining for H2A.X and telomeres was carried out after 25 days in culture. Bar graphs represent mean number of TAF per cell generated by quantifying Z-stacks of at least 50 cells per condition taken using 100 oil objective, represented as means  SE. C: primary human small airway epithelial cells were treated with 5% CSE for 48 h in the presence or absence of 2.5 mM N-acetyl-cysteine (NAC) compared with untreated cells. Values are means  SE of 50 cells. D: bar graph and representative image of Sen- -Gal staining (blue) after 25 days in culture. Bar graphs represent percentage of cells positive for Sen- -Gal generated by quantifying at least 500 cells per condition. Values are means  SE of at least 10 random planes. E: concentrations of IL-6 and IL-8 in cell culture media from MRC5 cells after 25 days in culture were measured by ELISA and are presented as means  SE of n  3 experiments. F: human MRC5 fibroblasts (PD20-25) were grown in culture for 14 days with 5% CSE, replaced every 48 h, or normal DMEM (untreated control) with DMSO or 10 M KU55933 [ataxia telangiectasia mutated inhibitor (ATMi)]. Concentrations of IL-6 and IL-8 in cell culture media after 14 days in culture were measured by ELISA and are presented as means  SE of n  3 experiments. Representative example of Western blot shows reduced H2A.X expression 1 day after 20 Gy X-ray irradiation of MRC5 cells when treated with the same concentration of the ATM inhibitor. Statistics: independent samples t-test: *P  0.05, **P  0.01, ***P  0.001, ****P  0.0001. formed large foci that colocalize with DSB repair proteins, and another forming abundant small foci dissociated from repair proteins, which may have a role in the mitotic process (35). It is, therefore, possible that the presence of H2A.X foci at telomeres that we observe occur independently of oxidative DNA damage and DSBs to the sequence. However, based on our data, we have reasons to believe that the TAF we observe are not those described small foci associated with mitosis. First, H2A.X foci, which generally colocalize with telomeres, are the largest in size, both in small airway epithelial cells and in human fibroblasts (25). DISCUSSION Representative example of Western blot shows reduced H2A.X L1134 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD 0.0 0.5 1.0 1.5 2.0 2.5 ** **** MitoSOX Fluorescence (AU) Day 25 Untreated CSE 5% A B 0 1 2 3 Mean number of TAF * * Untreated CSE 5% Day 25 Untreated Untreated 3% CSE 5% CSE 5% 3%O C O2 O2 Untreated Untreated + NAC CSE 5% CSE 5% + NAC ** ** Mean number of TAF 0 2 4 6 Untreated CSE 5% ** 48 hours C B A D 0 100 200 300 400 IL-6 (pg/ml) * * *** 0 200 400 600 800 1000 IL-8 (pg/ml) ** *** *** Day 25 Untreated CSE 5% 0 5 10 15 20 Untreated + DMSO Untreated + ATMi CSE 5% + DMSO CSE 5% + ATMi ** * p = 0.08 0 50 100 150 200 * ** IL-8 (pg/ml) IL-6 (pg/ml) Untreated CSE 5% Day 14 E F Untreated Untreated 3% O2 CSE 5% CSE 5% 3%O2 - -+ ++ - 20Gy ATMi γH2A.X GAPDH 0 10 20 30 *** ND ND % Sen-β-Gal Untreated CSE 5% Day 25 untreated CSE 5% 20% O2 3% O2 40μm Sen-β-Gal Untreated Untreated 3% O2 CSE 5% CSE 5% 3%O2 0 100 200 300 400 IL-6 (pg/ml) * * *** 0 200 400 600 800 1000 IL-8 (pg/ml) ** *** *** Day 25 Untreated CSE 5% 0 5 10 15 20 Untreated + DMSO Untreated + ATMi CSE 5% + DMSO CSE 5% + ATMi ** * p = 0.08 0 50 100 150 200 * ** IL-8 (pg/ml) IL-6 (pg/ml) Untreated CSE 5% Day 14 E F Untreated Untreated 3% O2 CSE 5% CSE 5% 3%O2 - -+ ++ - 20Gy ATMi γH2A.X GAPDH % O2 %O2 D 0 10 20 30 *** ND ND % Sen-β-Gal Untreated CSE 5% Day 25 untreated CSE 5% 20% O2 3% O2 40μm Sen-β-Gal Untreated Untreated 3% CSE 5% CSE 5% 3%O D E F Fig. 7. Cigarette smoke-induced proinflammatory phenotype is accelerated by ROS-dependent telomere dysfunction. MRC5 fibroblasts (PD20-25) were grown in culture for 25 days with 5% CSE, replaced every 48 h, or normal DMEM (untreated control) under normoxia (20% O2) or hypoxia (3% O2). A: MitoSOX staining coupled with FACS analysis was used to measure mitochondrial ROS generation after 25 days in culture. DISCUSSION Arrows point to H2A.X foci colocalizing with telomeres (TAF), shown at higher magnification on the right (images are from single Z-plane). Statistics: independent samples t-test: *P  0.05, **P  0.01, ***P  0.001. sample number is relatively small; and 2) in lung tissue sections, where our numbers are greater, the controls were older. Nonetheless, comparison of individual telomere lengths colocalizing and not with H2A.X in small airway epithelial cells present in COPD lung tissue revealed no significant differences, suggesting that telomeres can signal a DDR, irre- spective of length. These data are in accordance with several recent publications reporting telomere dysfunction, irrespec- tive of length, in a variety of cells (20, 25). We have used H2A.X immunoreactivity alone to determine damage both in genomic DNA and at telomere regions. It has previously been shown that H2A.X immunoreactivity can be detected inde- pendent of DNA damage. For example, one study described two distinct H2A.X populations during cell division: one that AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1134 0.0 0.5 1.0 1.5 2.0 2.5 ** **** MitoSOX Fluorescence (AU) Day 25 Untreated CSE 5% A B 0 1 2 3 Mean number of TAF * * Untreated CSE 5% Day 25 D 0 100 200 300 400 IL-6 (pg/ml) * * *** 0 200 400 600 800 1000 IL-8 (pg/ml) ** *** *** Day 25 Untreated CSE 5% 0 5 10 15 20 Untreated + DMSO Untreated + ATMi CSE 5% + DMSO CSE 5% + ATMi ** * p = 0.08 0 50 100 150 200 * ** IL-8 (pg/ml) IL-6 (pg/ml) Untreated CSE 5% Day 14 E F Untreated Untreated 3% O2 CSE 5% CSE 5% 3%O2 C - -+ ++ - 20Gy ATMi γH2A.X GAPDH 0 10 20 30 *** ND ND Untreated Untreated 3% O2 CSE 5% CSE 5% 3%O2 % Sen-β-Gal Untreated CSE 5% Day 25 untreated CSE 5% 20% O2 3% O2 40μm Sen-β-Gal Untreated Untreated 3% O2 CSE 5% CSE 5% 3%O2 Untreated Untreated + NAC CSE 5% CSE 5% + NAC ** ** Mean number of TAF 0 2 4 6 Untreated CSE 5% ** 48 hours Fig. 7. Cigarette smoke-induced proinflammatory phenotype is accelerated by ROS-dependent telomere dysfunction. DISCUSSION MRC5 fibroblasts (PD20-25) were grown in culture for 25 days with 5% CSE, replaced every 48 h, or normal DMEM (untreated control) under normoxia (20% O2) or hypoxia (3% O2). A: MitoSOX staining coupled with FACS analysis was used to measure mitochondrial ROS generation after 25 days in culture. Bar graphs represent mean fluorescence intensity  SE of n  3 experiments. B: immuno-FISH staining for H2A.X and telomeres was carried out after 25 days in culture. Bar graphs represent mean number of TAF per cell generated by quantifying Z-stacks of at least 50 cells per condition taken using 100 oil objective, represented as means  SE. C: primary human small airway epithelial cells were treated with 5% CSE for 48 h in the presence or absence of 2.5 mM N-acetyl-cysteine (NAC) compared with untreated cells. Values are means  SE of 50 cells. D: bar graph and representative image of Sen- -Gal staining (blue) after 25 days in culture. Bar graphs represent percentage of cells positive for Sen- -Gal generated by quantifying at least 500 cells per condition. Values are means  SE of at least 10 random planes. E: concentrations of IL-6 and IL-8 in cell culture media from MRC5 cells after 25 days in culture were measured by ELISA and are presented as means  SE of n  3 experiments. F: human MRC5 fibroblasts (PD20-25) were grown in culture for 14 days with 5% CSE, replaced every 48 h, or normal DMEM (untreated control) with DMSO or 10 M KU55933 [ataxia telangiectasia mutated inhibitor (ATMi)]. Concentrations of IL-6 and IL-8 in cell culture media after 14 days in culture were measured by ELISA and are presented as means  SE of n  3 experiments. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org DISCUSSION Second, the presence of TAF in- versely correlates with decreased proliferation and downstream pathways of senescence in both fibroblasts and small airway epithelial cells. However, since we have not analyzed colocal- ization between H2A.X, telomeres, and DSB repair proteins, it is possible that the TAF we observe may not be the outcome of DSBs, but due to activation of another signaling event. formed large foci that colocalize with DSB repair proteins, and another forming abundant small foci dissociated from repair proteins, which may have a role in the mitotic process (35). It is, therefore, possible that the presence of H2A.X foci at telomeres that we observe occur independently of oxidative DNA damage and DSBs to the sequence. However, based on our data, we have reasons to believe that the TAF we observe are not those described small foci associated with mitosis. First, H2A.X foci, which generally colocalize with telomeres, are the largest in size, both in small airway epithelial cells and in human fibroblasts (25). Second, the presence of TAF in- versely correlates with decreased proliferation and downstream pathways of senescence in both fibroblasts and small airway Our study suggests that cigarette smoke enhances oxidative stress and contributes to telomere dysfunction in vitro and in vivo. Data indicate that telomeres are particularly susceptible to oxidative stress compared with the rest of the genome (25, 42); however, the mechanisms are not completely understood. Telomere repeats contain guanine triplets, which are suscepti- ble to oxidative modifications and are less efficiently repaired when subjected to different types of DNA damaging agents (20, 25). While cigarette smoke has been shown to induce AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org L1135 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD H2A.X (3), this is, to our knowledge, the first time TAF have been observed. The importance of this finding lies in the fact that, when a DDR is induced at telomeric regions, it is persistent and unresolved, which is characteristic of senescence (25). We did not determine whether cigarette smoke exposure increased levels of oxidative stress in vivo. However, it has been shown by other groups that both short- and long-term exposures to cigarette smoke increase markers of oxidative stress in the lungs of mice, including 8-hydroxy-2=-deox- yguanosine and 4-hydroxynonenal (6, 51, 52). DISCLOSURES No conflicts of interest, financial or otherwise are declared by the author(s). DISCLAIMERS The views expressed are those of the author(s) and not necessarily those of the NHS, the NIHR, or the Department of Health. GRANTS The research was funded/supported by the National Institute for Health Research (NIHR) Biomedical Research Centre for Ageing and Chronic Dis- ease based at Newcastle Upon Tyne Hospitals National Health Service (NHS) Foundation Trust. J. Birch is funded partly by a UK Medical Research Council (MRC) studentship. N J. Green and E. Moisey are funded by the Welcome Trust. A. J. Fisher is partly supported by the COPD MRC/Association of the British Pharmaceutical Industry (COPDMAP) consortium. Work in J. F. Passos’ laboratory is supported by a Biotechnology and Biological Sciences Research Council (BBSRC) David Phillips Fellowship and a BBSRC grant BB/K017314/1. A. De Soyza acknowledges a Higher Education Funding Council for England senior lectureship and the support of Northumbria Tyne and Wear Comprehensive local research network (NIHR-Clinical Research Network). p yp g y Our data propose that TAF correlate with development of lung emphysema more strongly than telomere length in aging mice and could play a causal role in age-related lung degen- eration, given that late-generation mTERC/ mice show early onset of emphysematous-like changes. There is still uncer- tainty regarding the role of telomere length in emphysema: a previous study using G4 mTERC/ mice failed to observe lung emphysema (4). However, the authors reported very small differences in telomere length of 15% between wild-type and G4 mTERC/ mice, in contrast to an almost fourfold differ- ence we observed. This may explain the discrepancies in the data, as another study using G4 mTERC/ reported loss of alveolar integrity coupled with similar telomere signal loss, as observed in our mice (32). DISCUSSION We demonstrate that 1) inhibition of ROS suppresses smoke-induced telomere dys- function, along with decreased secretion of IL-6 and IL-8; and 2) inhibition of ATM, one of the main initiating factors of a DDR, diminishes CSE-induced IL-6 and IL-8 release. Alto- gether, these data suggest a causal link between ROS, activa- tion of a DDR at telomeres, and the proinflammatory pheno- type characteristic of senescence. However, it is not possible to delineate from these experiments whether telomeric damage specifically is responsible for ATM-dependent SASP induc- tion, since ATM inhibition with KU55933 will have global effects. Technically, it would be very difficult to inhibit ATM activity only at telomere regions, but this would allow any causal link between telomere dysfunction and SASP activation to be identified. Moreover, it is not possible to extrapolate the findings from MRC5 cells to primary airway epithelial cells, as we were unable to culture these cells for longer than 5 days without development of epithelial-to-mesenchymal transition- related phenotypic changes, which is a limitation of our study. ACKNOWLEDGMENTS We acknowledge Thomas von Zglinicki for providing aging mouse tissues; Samuel Sharp (BSc student) for providing technical assistance; the Biomarkers’ Lab (particularly Claire Kolenda) for conducting telomere real-time PCR; and Gail Johnson and Kasim Jiwa from the Sir William Leech Centre for Lung Research, Freeman Hospital, UK, for providing technical assistance and advice with immu- nohistochemical staining. We also acknowledge Chris Ward for technical advice and support. DISCUSSION The importance of oxidative DNA damage to the pathogenesis of COPD has been underscored by a number of studies showing that patients with COPD have different types of oxidative DNA damage in both the nuclear and mitochondrial genomes (7, 11, 33, 41). However, this is the first report, to our knowledge, describing possible oxidative damage to telomere regions (independently of telomere shortening) in the context of physiological lung aging and cigarette smoke-induced accelerated lung aging. While we do not disregard the role of other forms of oxidative damage in the pathogenesis of COPD or following cigarette smoke exposure, we hypothesize that telomere-associated damage is highly important in the context of senescence, since telomeres are particularly susceptible to oxidative damage and are irreparable. In summary, while our data do not invalidate the role of telomere shortening in COPD-associated senescence, it sug- gests that TAF are a more robust marker of senescence in COPD, compared with telomere length. We observe increases in percentage of cells positive for TAF in COPD, despite relatively small samples sizes. Moreover, although we ob- served good associations between number of H2A.X foci alone and mean number of TAF with age and in the context of cigarette smoke exposure, we consistently observe more sig- nificant increases in TAF. Telomeres occupy just 0.02% of the genome, and thus the probability of damage occurring at telomeres is extremely low. Despite this, we observed robust increases in TAF with age and even following short-term cigarette smoke exposure, suggesting that telomeres may have particular properties that render them susceptible to damage. In fact, it has been shown that telomeres accumulate more single- stranded breaks than the bulk of the genome in response to oxidative stress (42). It has been argued that this may be due to the fact that telomeric repeats contain guanine triplets, which are remarkably sensitive to oxidative modifications (22). These factors, coupled with the reported protection of telomeres from repair activities, may contribute to their specific targeting and persistent damage as a consequence of cigarette smoke expo- sure and during the aging process. Further work needs to be performed to establish whether TAF are associated with COPD susceptibility and severity or have any prognostic value. We propose that TAF may be causal to structural decline and increased inflammatory processes that occur during physiolog- ical lung aging and in COPD. DISCUSSION p Telomere length in COPD patients has been shown to inversely correlate with mRNA expression of inflammatory cytokines (5); however, it is still unclear whether there is a causal link between telomere dysfunction and the SASP as a result of cigarette smoke exposure. We demonstrate that 1) inhibition of ROS suppresses smoke-induced telomere dys- function, along with decreased secretion of IL-6 and IL-8; and 2) inhibition of ATM, one of the main initiating factors of a DDR, diminishes CSE-induced IL-6 and IL-8 release. Alto- gether, these data suggest a causal link between ROS, activa- tion of a DDR at telomeres, and the proinflammatory pheno- type characteristic of senescence. However, it is not possible to delineate from these experiments whether telomeric damage specifically is responsible for ATM-dependent SASP induc- tion, since ATM inhibition with KU55933 will have global effects. Technically, it would be very difficult to inhibit ATM activity only at telomere regions, but this would allow any causal link between telomere dysfunction and SASP activation to be identified. Moreover, it is not possible to extrapolate the findings from MRC5 cells to primary airway epithelial cells, as we were unable to culture these cells for longer than 5 days without development of epithelial-to-mesenchymal transition- related phenotypic changes, which is a limitation of our study. Our data propose that TAF correlate with development of lung emphysema more strongly than telomere length in aging mice and could play a causal role in age-related lung degen- eration, given that late-generation mTERC/ mice show early onset of emphysematous-like changes. There is still uncer- tainty regarding the role of telomere length in emphysema: a previous study using G4 mTERC/ mice failed to observe lung emphysema (4). 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DNA damage as a molecular link in the pathogenesis of COPD in smokers. Eur Respir J 39: 1368–1376, 2012. 29. Jurk D, Wilson C, Passos JF, Oakley F, Correia-Melo C, Greaves L, Saretzki G, Fox C, Lawless C, Anderson R, Hewitt G, Pender SL, Fullard N, Nelson G, Mann J, van de Sluis B, Mann DA, von Zglinicki T. Chronic inflammation induces telomere dysfunction and accelerates ageing in mice. Nat Commun 2: 4172, 2014. 8. Blasco MA, Lee HW, Hande MP, Samper E, Lansdorp PM, DePinho RA, Greider CW. Telomere shortening and tumor formation by mouse cells lacking telomerase RNA. Cell 91: 25–34, 1997. 9. Caito S, Rajendrasozhan S, Cook S, Chung S, Yao H, Friedman AE, Brookes PS, Rahman I. SIRT1 is a redox-sensitive deacetylase that is post-translationally modified by oxidants and carbonyl stress. FASEB J 24: 3145–3159, 2010. 30. Kaul Z, Cesare AJ, Huschtscha LI, Neumann AA, Reddel RR. Five dysfunctional telomeres predict onset of senescence in human cells. EMBO Rep 13: 52–59, 2012. 31. Krishnamurthy J, Torrice C, Ramsey MR, Kovalev GI, Al-Regaiey K, Su L, Sharpless NE. Ink4a/Arf expression is a biomarker of aging. J Clin Invest 114: 1299–1307, 2004. 10. Campisi J, d’Adda di Fagagna F. Cellular senescence: when bad things happen to good cells Nat Rev Mol Cell Biol 8: 729–740, 2007. 11. Ceylan E, Kocyigit A, Gencer M, Aksoy N, Selek S. TELOMERE DYSFUNCTION IN LUNG AGING AND COPD TELOMERE DYSFUNCTION IN LUNG AGING AND COPD analyzed data; J.B., R.K.A., G.H., A.J.F., A.D.S., and J.F.P. interpreted results of experiments; J.B., R.K.A., D.J., and J.F.P. prepared figures; J.B. and J.F.P. drafted manuscript; J.B., R.K.A., C.C.-M., D.J., G.H., F.M.M., N.J.G., E.M., M.A.B., M.G.B., F.B., J.J.T., A.J.F., A.D.S., and J.F.P. edited and revised manuscript; J.B., D.J., A.J.F., A.D.S., and J.F.P. approved final version of manuscript. A biomarker that identifies senescent human cells in culture and in aging skin in vivo. Proc Natl Acad Sci U S A 92: 9363–9367, 1995. 18. Eltom S, Stevenson CS, Rastrick J, Dale N, Raemdonck K, Wong S, Catley MC, Belvisi MG, Birrell MA. P2X7 receptor and caspase 1 activation are central to airway inflammation observed after exposure to tobacco smoke. PLoS One 6: e24097, 2011. 19. Forey BA, Thornton AJ, Lee PN. Systematic review with meta-analysis of the epidemiological evidence relating smoking to COPD, chronic bronchitis and emphysema. BMC Pulm Med 11: 36, 2011. L1136 L1136 AUTHOR CONTRIBUTIONS Author contributions: J.B., C.C.-M., A.J.F., A.D.S., and J.F.P. conception and design of research; J.B., R.K.A., C.C.-M., G.H., F.M.M., N.J.G., and E.M. performed experiments; J.B., R.K.A., C.C.-M., G.H., F.M.M., and J.F.P. Author contributions: J.B., C.C.-M., A.J.F., A.D.S., and J.F.P. conception and design of research; J.B., R.K.A., C.C.-M., G.H., F.M.M., N.J.G., and E.M. performed experiments; J.B., R.K.A., C.C.-M., G.H., F.M.M., and J.F.P. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD L1137 TELOMERE DYSFUNCTION IN LUNG AGING AND COPD 39. Parrinello S, Samper E, Krtolica A, Goldstein J, Melov S, Campisi J. Oxygen sensitivity severely limits the replicative lifespan of murine fibroblasts. Nat Cell Biol 5: 741–747, 2003. 46. Suram A, Kaplunov J, Patel PL, Ruan H, Cerutti A, Boccardi V, Fumagalli M, Di Micco R, Mirani N, Gurung RL, Hande MP, d’Adda di Fagagna F, Herbig U. Oncogene-induced telomere dysfunction en- forces cellular senescence in human cancer precursor lesions. EMBO J 31: 2839–2851, 2012. 40. Passos JF, Saretzki G, Ahmed S, Nelson G, Richter T, Peters H, Wappler I, Birket MJ, Harold G, Schaeuble K, Birch-Machin MA, Kirkwood TB, von Zglinicki T. Mitochondrial dysfunction accounts for the stochastic heterogeneity in telomere-dependent senescence. PLoS Biol 5: e110, 2007. 47. Thomas P, O’Callaghan NJ, Fenech M. Telomere length in white blood cells, buccal cells and brain tissue and its variation with ageing and Alzheimer’s disease. Mech Ageing Dev 129: 183–190, 2008. 41. Pastukh VM, Zhang L, Ruchko MV, Gorodnya O, Bardwell GC, Tuder RM, Gillespie MN. Oxidative DNA damage in lung tissue from patients with COPD is clustered in functionally significant sequences. Int J Chron Obstruct Pulmon Dis 6: 209–217, 2011. g g 48. Tsuji T, Aoshiba K, Nagai A. Alveolar cell senescence in patients with pulmonary emphysema. Am J Respir Crit Care Med 174: 886–893, 2006. 49. Walters MS, De BP, Salit J, Buro-Auriemma LJ, Wilson T, Rogalski AM, Lief L, Hackett NR, Staudt MR, Tilley AE, Harvey BG, Kaner RJ, Mezey JG, Ashbridge B, Moore MA, Crystal RG. Smoking accelerates aging of the small airway epithelium. Respir Res 15: 94, 2014. 42. Petersen S, Saretzki G, von Zglinicki T. Preferential accumulation of single-stranded regions in telomeres of human fibroblasts. Exp Cell Res 239: 152–160, 1998. g g y p p 50. Yao H, Chung S, Hwang JW, Rajendrasozhan S, Sundar IK, Dean DA, McBurney MW, Guarente L, Gu W, Ronty M, Kinnula VL, Rahman I. SIRT1 protects against emphysema via FOXO3-mediated reduction of premature senescence in mice. J Clin Invest 122: 2032–2045, 2012. 43. Richter T, von Zglinicki T. A continuous correlation between oxidative stress and telomere shortening in fibroblasts. Exp Gerontol 42: 1039– 1042, 2007. 44. Rodier F, Coppe JP, Patil CK, Hoeijmakers WA, Munoz DP, Raza SR, Freund A, Campeau E, Davalos AR, Campisi J. Persistent DNA damage signalling triggers senescence-associated inflammatory cytokine secretion. REFERENCES Deslee G, Adair-Kirk TL, Betsuyaku T, Woods JC, Moore CH, Gierada DS, Conradi SH, Atkinson JJ, Toennies HM, Battaile JT, Kobayashi DK, Patterson GA, Holtzman MJ, Pierce RA. Cigarette smoke induces nucleic-acid oxidation in lung fibroblasts. Am J Respir Cell Mol Biol 43: 576–584, 2010. 38. Nyunoya T, Monick MM, Klingelhutz A, Yarovinsky TO, Cagley JR, Hunninghake GW. Cigarette smoke induces cellular senescence. Am J Respir Cell Mol Biol 35: 681–688, 2006. 17. Dimri GP, Lee X, Basile G, Acosta M, Scott G, Roskelley C, Medrano EE, Linskens M, Rubelj I, Pereira-Smith O, Peacocke M, Campisi J. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org TELOMERE DYSFUNCTION IN LUNG AGING AND COPD Nat Cell Biol 11: 973–979, 2009. 51. Yao H, Sundar IK, Ahmad T, Lerner C, Gerloff J, Friedman AE, Phipps RP, Sime PJ, McBurney MW, Guarente L, Rahman I. SIRT1 protects against cigarette smoke-induced lung oxidative stress via a FOXO3-dependent mechanism. Am J Physiol Lung Cell Mol Physiol 306: L816–L828, 2014. , 45. Savale L, Chaouat A, Bastuji-Garin S, Marcos E, Boyer L, Maitre B, Sarni M, Housset B, Weitzenblum E, Matrat M, Le Corvoisier P, Rideau D, Boczkowski J, Dubois-Rande JL, Chouaid C, Adnot S. Shortened telomeres in circulating leukocytes of patients with chronic obstructive pulmonary disease. Am J Respir Crit Care Med 179: 566–571, 2009. , 52. Yao H, Yang SR, Edirisinghe I, Rajendrasozhan S, Caito S, Adenuga D, O’Reilly MA, Rahman I. Disruption of p21 attenuates lung inflam- mation induced by cigarette smoke, LPS, and fMLP in mice. Am J Respir Cell Mol Biol 39: 7–18, 2008. AJP-Lung Cell Mol Physiol • doi:10.1152/ajplung.00293.2015 • www.ajplung.org
https://openalex.org/W1842697411
https://ejournals.bc.edu/index.php/ctsa/article/download/9911/8782
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Christianity and Judaism
Occasional bulletin - Missionary Research Library
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CTSA Proceedings 72 / 2017 CHRISTIANITY AND JUDAISM—CONSULTATION Topic: Jesuit Kaddish Convener: Leo Lefebure, Georgetown University Moderator: Carol Ann Martinelli, Independent Scholar Presenter: James Bernauer, S.J., Boston College Respondent: Noel Pugach, University of New Mexico James Bernauer, S.J., presented a paper, “Jesuit Kaddish: Jews, Jesuits and Holocaust Remembrance.” Although there have been major statements from the Vatican and from several conferences of bishops regarding the failure of Catholics during the period of the Holocaust, organizations within the Catholic world have been far less articulate about their own responsibilities for these failings. “Jesuit Kaddish” addresses the history of Jesuit conduct toward the Jews and how it prepared for weakness in dealing with the anti-Judaism and anti-Semitism of the 19th and 20th centuries. At the center of Jesuit conduct was a theological indifference to the disappearance of Judaism. The question Rabbi Abraham Heschel pressed on his Jesuit friend, Father Gustave Weigel in 1964 went to the heart of the matter: “Is it really the will of God that there be no more Judaism in the world? Would it really be the triumph of God if the scrolls of the Torah were no longer taken out of the Ark and the Torah no longer read in the synagogue, our ancient Hebrew prayers in which Jesus himself worshipped no more recited, the Passover Seder no longer celebrated in our lives, the Law of Moses no longer observed in our homes? Would it really be ad maiorem Dei gloriam to have a world without Jews?” The fact that Heschel used in his last sentence the very motto of the Society of Jesus—“For the greater Glory of God”—made the question a direct interrogation of the Jesuit approach to Jews. Fortunately the beginning of Jesuit confrontation with its history has been underway and from that chorus of critics, “Jesuit Kaddish” proposes a statement of repentance. “Jesuit Kaddish” is profoundly personal, emerging, of course, from the speaker’s own life but also from encounter with Jesuits whose minds and hearts are entwined with the Jewish dead from the Shoah. There is the Jesuit Pope speaking of the Jewish artist Chagall’s painting, “White Crucifixion.” There is the Jesuit teacher who spoke with love of Judaism to the young rescued Jew who was to become one of the greatest Holocaust historians. There is the Jesuit student who witnessed the violent mistreatment of Jews at the train deporting them to a death camp. CTSA Proceedings 72 / 2017 CHRISTIANITY AND JUDAISM—CONSULTATION Their fate became the tragedy of his life. And then there was the Jesuit resister who was executed by the Nazis and whose ashes were scattered over a field of Berlin sewage. Jesuits and Jews encounter the Shoah amid ashes but also in interior communion, through the words of the Kaddish. Noel Pugach responded, praising Bernauer’s honesty in recognizing the history of Jesuit failings in relation to Jews. He stressed the importance of Bernauer’s comments on the historical Jesuit practice of “Asemitism,” the exclusion of Jews from human society and the total indifference to them, which together with Anti-Semitism prepared the way for the Shoah. Pugach also considered factors that informed Jesuit support for Jews, both in their scholarly work and also, probably more importantly, the human contacts that connected Jesuits and other rescuers to Jews. Pugach stressed the importance of basic human connections to Jews that enabled rescuers to ignore the risks. Pugach noted Bernauer’s attention to French and German Jesuits and asked about the roles of Polish Jesuits during the Shoah. He acknowledged Jesuit efforts after World 119 Consultation: Christianity and Judaism War II to build trust and work for reconciliation with Jews, and he expressed concern about the current growth of Anti-Semitism and asked what Jesuits are doing today to counter it. Pugach concluded by noting the original meaning of “Kaddish” as the sanctification of God’s name; only later did the practice become related to honoring the dead. War II to build trust and work for reconciliation with Jews, and he expressed concern about the current growth of Anti-Semitism and asked what Jesuits are doing today to counter it. Pugach concluded by noting the original meaning of “Kaddish” as the sanctification of God’s name; only later did the practice become related to honoring the dead. The lively discussion that followed explored the situation of Jesuits and other Catholics in Poland and also turned to the roles of Karl Rahner and his student Johann Baptist Metz in relating to Jews. LEO D. LEFEBURE Georgetown University, Washington, DC 120
https://openalex.org/W4362460570
https://figshare.com/articles/journal_contribution/Supplementary_Table_1_from_ST6Gal-I_Protein_Expression_Is_Upregulated_in_Human_Epithelial_Tumors_and_Correlates_with_Stem_Cell_Markers_in_Normal_Tissues_and_Colon_Cancer_Cell_Lines/22399737/1/files/39845481.pdf
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Supplementary Table 1 from ST6Gal-I Protein Expression Is Upregulated in Human Epithelial Tumors and Correlates with Stem Cell Markers in Normal Tissues and Colon Cancer Cell Lines
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Supplementary Table 1 Supplementary Table 1 Patient # Age Pathological Diagnosis Differentiation 1 48 M Adenocarcinoma Unknown 2 57 M Adenocarcinoma Unknown 3 68F Adenocarcinoma Unknown 4 68 M Adenocarcinoma Moderately Differentiated 5 70 M Adenocarcinoma Mod/Poorly Differentiated 6 52 F Adenocarcinoma Mod/Well Differentiated 7 70 M Adenocarcinoma Mod/Poorly Differentiated 8 67 M Adenocarcinoma Mod/Poorly Differentiated
https://openalex.org/W4313393309
http://bit.fsv.cvut.cz/issues/01-22/full_01-22_03.pdf
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Human resource information systems of medium-sized firms
Business & IT
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Department of Management of Technology, University of Moratuwa, Moratuwa 10400, Sri Lanka, vathsala@uom.lk Department of Management of Technology, University of Moratuwa, Moratuwa 10400, Sri Lanka, vathsala@uom.lk Abstract The purpose of the study was to investigate the characteristics of human resource information systems (HRIS) that influence the success of the same. Findings led to identify the important characteristics of HRIS that influence its success in medium-sized firms in a developing country, Sri Lanka. The research adds value to the existing literature on antecedents and outcomes of HRIS in medium-sized firms Keywords HRIS; human resource information system; medium-sized firms JEL Classification M15 IT Management O15 Human Resource O15 Technological Change: Choices and Consequences DOI: https://doi.org/10.14311/bit.2022.01.03 Editorial information: journal Business & IT, ISSN 2570-7434, CreativeCommons license published by CTU in Prague, 2022, http://bit.fsv.cvut.cz/ HRIS; human resource information system; medium-sized firms JEL Classification M15 IT Management O15 Human Resource O15 Technological Change: Choices and Consequences DOI: https://doi.org/10.14311/bit.2022.01.03 Editorial information: journal Business & IT, ISSN 2570-7434, CreativeCommons license published by CTU in Prague, 2022, http://bit.fsv.cvut.cz/ 01/2022 01/2022 01/2022 Business & IT HUMAN RESOURCE INFORMATION SYSTEMS OF MEDIUM- SIZED FIRMS Vathsala Wickramasinghe Introduction Human resource information system is any organized approach by an organization to acquire, store, analyze, maintain, retrieve, and distribute pertinent information about its human resources [1]. Systems can be either manual or use computerized processes to perform required tasks. The term human resource information system (HRIS) is largely used to refer to a technology-based system or a software solution used to automate and carry out human resources management tasks within an organization. Over time, HRIS has been improved from a simple database management system to a more sophisticated organization-wide web-based system of human resource information. Human resource information system improves administrative efficiency by implementing internally consistent human resource policies and practices and through speedy information processing, greater information accuracy, and swift communications [2]. Human resource information system could transform the human resource management function into a strategic business partner by not only contributing to lower HR costs and improve overall HR productivity in human resource administration functions but also providing information to support strategic decision making of the organization [2] [3] [4]. The purpose of the current study was to investigate characteristics of HRIS that enhance its success in medium-sized firms. Hall and Torrington [5] observed a relationship between organizational-size and computer use to perform personnel tasks, where higher the number of personnel employed the higher is the use of computer for personnel work. Martinsons [6] showed that smaller organizations are less likely to use HRIS. However, within the last two decades HRIS market has grown rapidly across business sectors and HRIS software vendors has identified small and medium-sized firms as a growth area for their products [7]. Although medium-sized firms reported to spend large amounts of money on HRIS software [8], research on HRIS to date is oriented more towards larger firms, in developed countries. From the ongoing discussion on the HRIS in the literature, two main research themes can be identified, i.e., benefits of HRIS use and perceptions of users towards HRIS use. Of the former, an extensive array of research already available. Of the latter, however, little is known about the users’ perception of what HRIS characteristics determines the success of HRIS in medium-sized firms in developing countries. In this regard, the HRIS literature identifies that the use of HRIS largely remains in the hands of its end-users and their perceptions on its adoption [9] [3] [10]. JEL Classification JEL Classification M15 IT Management O15 Human Resource O15 Technological Change: Choices and Consequences JEL Classification M15 IT Management O15 Human Resource O15 Technological Change: Choices and Consequences M15 IT Management 22 01/2022 Business & IT Introduction End users of HRIS are of two types, i.e., users associated with the HR function and others, such as middle-level managers who are interested in human resource information for decision making and control and senior-level managers who deals with strategic planning and decision making [11]. The current study investigated perceptions of managerial-level employees for their experiences of HRIS use in medium-sized firms in a developing country, Sri Lanka. The next section reviews the literature within the scope of the study. It is followed by the presentation of methodology followed. Subsequently, the findings of the study are presented together with a discussion on the implications of findings for theory and practice. HRIS success and characteristics The success of HRIS has been widely measured against user perceptions [12] [13] [14]. For the study the success of HRIS has been measured against user satisfaction regarding usefulness. User satisfaction reflects the net feeling of pleasure or displeasure based on all the benefits that an individual expects to experience from interaction with a system [15]. Perceived usefulness referred to “the degree to which a person believes that using a particular system would enhance his or her job 23 Business & IT 01/2022 performance” [16, p. 320], and the term perceived usefulness has been constantly found to be identified in connection to individual use of a technology [13] [17]. performance” [16, p. 320], and the term perceived usefulness has been constantly found to be identified in connection to individual use of a technology [13] [17]. A system’s characteristics such as quality and ease of use have important influence on HRIS success [17]. In this regard, Avgerou [18] noted that technology implementations in developing countries largely ignore a systematic analysis of organizational and broader contexts within which the innovation is embedded. Previous research [8] [19] emphasized the need of HRIS being in line with not only information system strategic plan but also corporate strategic plan. However, Ngai and Wat [19] pointed out that although HRIS system’s characteristics provide quick response and access to timely information, the greatest barrier in implementations was insufficient financial support; the latter is very true for small and medium-sized firms. The literature identifies quality of a system in terms of information quality and system quality [13]. Information quality focuses on the nature of the output produced by a system such as information accuracy, information preciseness, information completeness and output timeliness whereas system quality focuses on performance characteristics of the system such as processing speed, time of response, ease of access and presenting integrated reports [13]. Another important characteristic is a system’s ability to provide pleasant and fulfilling experience for users. In this regard, the term ease of use is referred to the “degree to which an individual believes that using a particular system would be free of effort” [16, 195]. Previous studies showed positive relationships between HRIS characteristics and the success of information systems [20]. Based on the above reviewed literature, it is hypothesized: H1: Characteristics of HRIS significantly positively related to success of HRIS Functions of HRIS The distribution of functionalities of HRIS provides information on the purposes for which HRIS is widely used by the firms. The functionalities were broadly categorized based on HR practices’ use in context as proposed by Lepak et al. [21] rather than a more generic categorization of practices in and of themselves. The results are shown in Table 1. widely used by the firms. The functionalities were broadly categorized based on HR practices’ use in context as proposed by Lepak et al. [21] rather than a more generic categorization of practices in and of themselves. The results are shown in Table 1. Table 1: Functions of HRIS (source: authors) Function % of existence Transactional - data posting services: Personal details of staff 100 Employment history 93 Payroll 81 Job descriptions and categories 78 Notifications to staff 76 Skill and competency log 70 Traditional - data activity capabilities: Time and attendance 100 Leave applications and approvals 96 Training applications and bookings 86 Travel applications and monitoring 84 Performance evaluation 78 Applicant tracking 68 Transformational - strategically aligned analytical services: Turnover analysis 58 Payroll projections 51 Training and development needs assessments 45 Tables 2 shows the results of factor analysis for HRIS success. The analysis yielded one factor, which explained a variance of 55%. Methodology In Sri Lanka, firms with less than 10 employees are identified as micro enterprises, those with 10- 49 employees are identified as small enterprises; those with 50-99 employees are identified as medium enterprises; and those with more than 100 employees are identified as large enterprises. For the study, a sample of medium-sized firms that implemented HRIS and using the system for at least 3 years was selected. The literature suggests differing experiences of information systems by different user groups [4]. Respondents were a cross section of managerial-level employees from non-IT division and non-HR division, who were using the system for at least one year in the respective firms. These individuals use HRIS as a managerial tool for processing routine transactions, generating regular reports for decision making and control, and strategic planning and decision making [11]. The respondents had considerable understanding about the HRIS System in their current organizations. Web-based questionnaire was used for the data collection. Responses were received from 288 individuals who fulfilled above mentioned sample selection criteria attached to 26 firms. With regard to demographic characteristics of the respondents, mean age was 32 (S.D. = 3.12); mean firm-tenure was 3.42 (S.D. = 1.68); 35% were female, and 75% had bachelor’s degree as the highest level of educational qualification. HRIS success was defined as the extent to which individuals believe that using HRIS would improve their task performance. It was measured by 7-items on a five-point Likert scale ranging from 1 (strongly disagree) to 5 (strongly agree). The items used are given in Table 2. The characteristics of HRIS were measured by 13-items on a five-point Likert scale ranging from 1 (strongly disagree) to 5 (strongly agree). The items used are given in Table 3. Factor analysis, correlation, and multiple regression were used for data analysis. 24 01/2022 Business & IT Functions of HRIS 25 01/2022 Business & IT Table 3: HRIS characteristics (source: authors) Strategic Quality User friendly My organization sufficiently funds to implement a technically feasible HRIS .832 Continuous improvements are made to our HRIS .824 The importance of suing HRIS has been clearly communicated to me .766 HRIS is aligned with corporate objectives .711 Use of HRIS is promoted by my organization .601 The use of HRIS is supported by my organization .580 HRIS allows information to be readily accessible .797 HRIS provides accurate information .741 HRIS provides information on time .717 HRIS automated repetitive job tasks .572 Web application icons are easy to understand .884 Web application layout is easy to understand .851 Web application graphics helps in the navigation of the web site .818 Eigenvalue 3.29 2.86 2.68 % of Variance 25.33 22.04 20.64 Cronbach's Alpha .887 .813 .855 AVE .527 .506 .725 CR .868 .801 .888 Table 3: HRIS characteristics (source: authors) Table 3: HRIS characteristics (source: authors) Strategic Quality User friendly My organization sufficiently funds to implement a technically feasible HRIS .832 Continuous improvements are made to our HRIS .824 The importance of suing HRIS has been clearly communicated to me .766 HRIS is aligned with corporate objectives .711 Use of HRIS is promoted by my organization .601 The use of HRIS is supported by my organization .580 HRIS allows information to be readily accessible .797 HRIS provides accurate information .741 HRIS provides information on time .717 HRIS automated repetitive job tasks .572 Web application icons are easy to understand .884 Web application layout is easy to understand .851 Web application graphics helps in the navigation of the web site .818 Eigenvalue 3.29 2.86 2.68 % of Variance 25.33 22.04 20.64 Cronbach's Alpha .887 .813 .855 AVE .527 .506 .725 CR .868 .801 .888 Table 4: Correlations (source: authors) Mean SD 1 2 3 4 5 6 7 8 1 Age (yrs) 31.87 3.12 - 2 Sex1 - - .169 - 3 Tenure-firm (yrs) 3.42 1.68 .383** .005 - 4 HRIS experience (yrs) 3.78 1.98 .517** .081 .423** - 5 Strategic 3.73 .64 .116 .104 .061 .196* .73 6 Quality 3.65 .62 .111 .108 .093 .168* .457** .71 7 User friendly 3.63 .69 .138* .042 .080 .140* .294** .338** .85 8 HRIS success 3.55 .66 .116* .103 .116* .125* .440** .502** .381** .74 Notes: 1binary coded variables, **p < 0.01, diagonal entries, square root of AVE where appropriate; off-diagonal entries, correlation between constructs Table 4: Correlations (source: authors) Mean SD 1 2 3 4 5 6 7 8 1 Age (yrs) 31.87 3.12 - 2 Sex1 - - .169 - 3 Tenure-firm (yrs) 3.42 1.68 .383** .005 - 4 HRIS experience (yrs) 3.78 1.98 .517** .081 .423** - 5 Strategic 3.73 .64 .116 .104 .061 .196* .73 6 Quality 3.65 .62 .111 .108 .093 .168* .457** .71 7 User friendly 3.63 .69 .138* .042 .080 .140* .294** .338** .85 8 HRIS success 3.55 .66 .116* .103 .116* .125* .440** .502** .381** .74 Notes: 1binary coded variables, **p < 0.01, diagonal entries, square root of AVE where appropriate; off-diagonal entries, correlation between constructs Table 4: Correlations (source: authors) The results of the regression analysis are shown in Table 5. Functions of HRIS Table 2: HRIS success (source: authors) Factor loading I can provide accurate information to my supervisor with HRIS .803 I make fewer requests to obtain routine information with HRIS .759 I can continuously monitor progress of my work with HRIS .758 I have access to information that are not previously accessible to make better decisions .750 I can make precise decisions with HRIS .733 Information flow has enhanced with HRIS .731 I can provide timely information to my supervisor with HRIS .647 Eigenvalue 3.84 % of Variance 54.97 Cronbach's Alpha .862 AVE .550 CR .895 Tables 3 shows the results of factor analysis for the characteristics of HRIS The analysis yielded Table 1: Functions of HRIS (source: authors) Table 1: Functions of HRIS (source: authors) Table 1: Functions of HRIS (source: authors) Function % of existence Transactional - data posting services: Personal details of staff 100 Employment history 93 Payroll 81 Job descriptions and categories 78 Notifications to staff 76 Skill and competency log 70 Traditional - data activity capabilities: Time and attendance 100 Leave applications and approvals 96 Training applications and bookings 86 Travel applications and monitoring 84 Performance evaluation 78 Applicant tracking 68 Transformational - strategically aligned analytical services: Turnover analysis 58 Payroll projections 51 Training and development needs assessments 45 Factor loading I can provide accurate information to my supervisor with HRIS .803 I make fewer requests to obtain routine information with HRIS .759 I can continuously monitor progress of my work with HRIS .758 I have access to information that are not previously accessible to make better decisions .750 I can make precise decisions with HRIS .733 Information flow has enhanced with HRIS .731 I can provide timely information to my supervisor with HRIS .647 Eigenvalue 3.84 % of Variance 54.97 Cronbach's Alpha .862 AVE .550 CR .895 Tables 3 shows the results of factor analysis for the characteristics of HRIS. The analysis yielded three factors, which were named as strategic, quality and user friendliness. The three factors explained a total variance of 68%. Means and standard deviations of the variables and correlations are shown in Table 4. Discussion of findings and implications The study investigated characteristics of HRIS that enhance its success in medium-sized firms in Sri Lanka. The study helped to enhance the understanding of managerial-level employees’ (non-IT and non-HR) perceptions towards HRIS characteristics and success in these firms. Human resource information refers to any form of data of personnel engaged in an organization and these are very supportive in making various types of decisions. Findings showed that HRIS had capabilities of providing transactional, traditional and transformations services (Table 1). However, the use for transformational human resource activities is considerably lower with compared to other two. Transactional activities that aid in administrative and record keeping activities such as maintaining personal details of staff and employment history are widely available. Traditional activities that aid in managing the workers and work context such as maintaining time and attendance, leave applications and approvals, training applications and bookings, and travel applications and monitoring are widely available. Of the transformational activities, HRIS is mostly used for turnover analysis. These findings suggest that HRIS in the medium-sized firms have not helped to make considerable transformation of the human resource management function towards performing a strategic role in the business. Human resource management function mainly contributes to perform routine processing and compliance activities. Our findings support the observations of previous research conducted in medium-sized firms [8] [11], and also in general [3]. The results of the factor analysis showed that the measures used are relevant and valid. One of the important characteristics emerged from the study is that HRIS need to be strategic. In other words, HRIS should stem from business strategy of firms; funding availability and top management support are also important (Table 3). The literature [22] suggests that lack of top management support and funds are the main obstacles for HRIS adoption. A system’s ability to fulfill end-users’ needs are in the forefront of considerations. The findings showed the importance of user-friendliness of HRIS. Overall, the results of the regression analysis showed that HRIS characteristics of strategic, quality and user- friendliness significantly positively predict its success. Overall, the findings suggest that HRIS success in medium-sized firms stem from worthy HRIS characteristics. While investigations on medium-sized enterprises in a developing country context add immense value to the existing literature, the study design had certain limitations. Functions of HRIS The HRIS characteristics of strategic, quality and user friendliness significantly positively related to its success supporting H1. Regression coefficient of 0.517 (p < 0.001) suggests that all three variables account for 51% of the variation of HRIS success. Table 5: Summary of regression analysis (source: authors) Table 5: Summary of regression analysis (source: authors) Variable HRIS success β R2(Adj.) Age (yrs) .011 .517*** Sex1 .020 Tenure-firm (yrs) .105 HRIS experience (yrs) .165* Strategic .385*** Quality .488*** User friendly .349*** Table 5: Summary of regression analysis (source: authors) Variable HRIS success β R2(Adj.) Age (yrs) .011 .517*** Sex1 .020 Tenure-firm (yrs) .105 HRIS experience (yrs) .165* Strategic .385*** Quality .488*** User friendly .349*** Table 5: Summary of regression analysis (source: authors) Variable HRIS success β R2(Adj.) Age (yrs) .011 .517*** Sex1 .020 Tenure-firm (yrs) .105 HRIS experience (yrs) .165* Strategic .385*** Quality .488*** User friendly .349*** 26 01/2022 01/2022 Business & IT Discussion of findings and implications The study was conducted in medium-sized firms, and line managers who fulfilled the sample selection criteria responded using a survey questionnaire based on self-report method. Further, the study investigated a selected number of HRIS characteristics and criteria of HRIS success. The findings showed that HRIS characteristics account for 51% of the variation of HRIS success. Therefore, future research could be designed to incorporate other characteristics and success measures of HRIS in the context of medium-sized firms in different countries. eferences [1] TANNENBAUM, S.I. (1990). HRIS information: User group implications. Journal of Systems Management, 41(1), 27-32 [2] BAMEL, N., BAMEL, U.K., SAHAY, V., & THITE, M. (2014). Usage, benefits and barriers of human resource information system in universities. VINE: The journal of information and knowledge management systems, 44(4), 519-536 [3] DERY, K., HALL, R., WAILES, N., & WIBLEN, S. (2013). Lost in translation? An actor-network approach to HRIS implementation. Journal of Strategic Information Systems, 22(3), 225-237 [4] KASSIM, M.D., RAMAYAH, T., & KURNIA, S. (2012). Antecedents and outcomes of human resource information system (HRIS) use. International Journal of Productivity and Performance Management, 61(6), 603-623 [1] TANNENBAUM, S.I. (1990). HRIS information: User group implications. Journal of Systems Management, 41(1), 27-32 Management, 41(1), 27-32 [2] BAMEL, N., BAMEL, U.K., SAHAY, V., & THITE, M. (2014). Usage, benefits and barriers of human resource information system in universities. VINE: The journal of information and knowledge management systems, 44(4), 519-536 [3] DERY, K., HALL, R., WAILES, N., & WIBLEN, S. (2013). Lost in translation? An actor-network approach to HRIS implementation. Journal of Strategic Information Systems, 22(3), 225-237 [4] KASSIM, M.D., RAMAYAH, T., & KURNIA, S. (2012). Antecedents and outcomes of human resource References [3] DERY, K., HALL, R., WAILES, N., & WIBLEN, S. (2013). Lost in translation? An actor-network approach to HRIS implementation. Journal of Strategic Information Systems, 22(3), 225-237 [4] KASSIM, M.D., RAMAYAH, T., & KURNIA, S. (2012). Antecedents and outcomes of human resource information system (HRIS) use. International Journal of Productivity and Performance Management, 61(6), 603-623 27 Business & IT 01/2022 [5] HALL, L., & TORRINGTON, D. (1986). Why not use the computer? The use and lack of use of computers in personnel. Personnel Review, 15(1), 3-7 [6] MARTINSONS, M. G. (1994). Benchmarking human resource information systems in Canada and Hong Kong. Information and Management, 26(6), 305-316 [7] KIRSTIE, S. B. (2001). The use of human resource information systems: A survey. Personnel Review, 30(6), 677-693 [8] NAGENDRA, A., & DESHPANDE, M. (2014). Human resource information systems (HRIS) in HR planning and development in mid to large sized organizations. Procedia - Social and Behavioral Sciences, 133, 61-67 [9] DELORME, M., & ARCAND, M. (2010). HRIS implementation and deployment: a conceptual framework of the new roles, responsibilities and competences for HR professionals. International Journal of Business Information System, 5(2), 148-161 [10] WILLIAMS, M. D., DWIVEDI, Y. K., LAL, B., & SCHWARZ, A. (2009). Contemporary trends and issues in IT adoption and diffusion research. Journal of Information Technology, 24(1), 1-10 ́́ [11] PIVAC, S., TADIĆ, I., & MARASOVIĆ, B. (2014). The level of the usage of the human resource information system and electronic recruitment in Croatian companies. Croatian Operational Research Review, 291–304 [12] DELONE, W. H., & MCLEAN, E. R. (1992). Information systems success: The quest for the dependent variable. Information Systems Research, 3(1), 60-90 [13] HOSNAVI, R., & RAMEZAN, M. (2010). Measuring the effectiveness of a human resource information system in National Irani Oil Company: An empirical assessment. Education, Business and Society: Contemporary Middle Eastern Issues, 3(1), 28-39 [14] IVES, B., & OLSON, M. H. (1984). User involvement and MIS Success: A review of research. Management Science, 30(5), 586-603 [15] SEDDON, P. B., & KIEW, M. Y. (1994). A partial test and development of the DeLone and McLean model of IS success. Proceedings of the International Conference on Information Systems, Vancouver, BC, Canada (ICIS 94), pp.99-110 pp [16] DAVIS, F. D. (1989). Perceived usefulness, perceived ease of use, and user acceptance of information technology. MIS Quarterly, 13(3), 319-340 [17] ZIN, M. L. M., IBRAHIM, H., & HASSAN, Z. (2016). References The determinants of human resource information system success in Japanese manufacturing companies. East Asian Journal of Business Management, 6(4), 27-34 [18] AVGEROU, C. (2001). The significance of context in information systems and organizational change. Information Systems Journal, 11, 43-63 [19] NGAI, E. W. T., & WAT, F. K. T. (2006). Human resource information systems: A review and empirical analysis. Personnel Review, 35(3), 297-314 [20] JOO, S., & CHOI, N. (2015). Factors affecting undergraduates' selection of online library re-sources in academic tasks: Usefulness, ease-of-use, resource quality, and individual differences. Library Hi Tech, 33(2), 272-291 [21] LEPAK, D.P., BARTOL, K.M., & ERHARDT, N.L. (2005). A contingency framework for the delivery of H practices. Human Resource Management Review, 15, 139-159 [22] KOVACH, K. A., & CATHCART, C. E. Jr. (1999). Human resource information systems (HRIS): Providing business with rapid data access, information exchange and strategic advantage. Public Personnel Management, 28(2), 275-281 28
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The Expression of Formyl Peptide Receptor 1 is Correlated with Tumor Invasion of Human Colorectal Cancer
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The Expression of Formyl Peptide Receptor 1 is Correlated with Tumor Invasion of Human Colorectal Cancer Shu-Qin Li1,2, Ning Su3, Ping Gong1, Hai-Bo Zhang1, Jin Liu1, Ding Wang1, Yan-Ping Sun3, Yan Zhang1, Feng Qian1, Bo Zhao1, Yang Yu1 & Richard D. Ye4 Received: 30 December 2016 Accepted: 12 June 2017 Published: xx xx xxxx Formyl peptide receptors (FPRs) are G protein-coupled chemoattractant receptors expressed mainly in phagocytic leukocytes. High expression of FPRs has also been detected in several cancers but the functions of FPR1 in tumor invasion and metastasis is poorly understood. In this study, we investigated the expression of FPRs in primary human colorectal cancer (CRC) and analyzed the association of FPRs expression with clinicopathological parameters. The levels of FPRs mRNA, especially those of FPR1, were significantly higher in colorectal tumors than in distant normal tissues and adjacent non-tumor tissues. FPR1 mRNA expression was also associated with tumor serosal infiltration. FPR1 protein expression was both in the colorectal epitheliums and tumor infiltrating neutrophils/macrophages. Furthermore, the functions of FPR1 in tumor invasion and tissue repair were investigated using the CRC cell lines SW480 and HT29. Higher cell surface expression of FPR1 is associated with significantly increased migration in SW480 cells compared with HT29 cells that have less FPR1 membrane expression. Finally, genetic deletion of fpr1 increased the survival rate of the resulting knockout mice compared with wild type littermates in a mouse model of colitis-associated colorectal cancer. Our data demonstrate that FPR1 may play an important role in tumor cell invasion in CRC patients. Colorectal cancer (CRC) is one of the most common malignancies in the world1. In 2015 alone, CRC accounted for more than 750,000 deaths with 1.48 million new cases2. Several risk factors are associated with CRC progres- sion, including aging, genetic aberrations including mutations, and chronic intestinal inflammation1, 3–5. As a type of highly invasive carcinomas, CRC has high rates of lymphatic duct invasion, venous invasion, and lymph node metastasis6. Metastatic colorectal cancer (mCRC) is a major cause of mortality in CRC patients7. However, the underlying mechanisms for CRC tumor invasion and metastasis have not been fully elucidated. Formyl peptide receptors (FPRs) are a group of seven transmembrane domains, G protein-coupled receptors8. In humans, three distinct FPRs (FPR1, FPR2, and FPR3) are encoded by three identified genes, FPR1, FPR2, and FPR39, 10. FPRs are known to play important roles in host defense and inflammation. In phagocytes, binding of both exogenous and endogenous agonists to FPRs triggers a G protein-mediated signaling cascade, that leads to chemotaxis, calcium flux, phagocytosis, and release of pro-inflammatory mediators11, 12. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 30 December 2016 Accepted: 12 June 2017 Published: xx xx xxxx The Expression of Formyl Peptide Receptor 1 is Correlated with Tumor Invasion of Human Colorectal Cancer Shu-Qin Li1,2, Ning Su3, Ping Gong1, Hai-Bo Zhang1, Jin Liu1, Ding Wang1, Yan-Ping Sun3, Yan Zhang1, Feng Qian1, Bo Zhao1, Yang Yu1 & Richard D. Ye4 Although FPRs are expressed mainly on phagocytic leukocytes such as neutrophils, monocytes, and macrophages8, these receptors have also been detected on cells of non-hematopoietic tissues and cell types including epithelial cells, smooth muscle, endothelial cells and neurons13. Recently, FPRs have been found in several types of human cancer tissues and cells, such as highly malignant glioblastoma (GBM) cells14, 15, astrocytoma cells16, gastric cancer17, 18, lung cancer19, breast cancer20, neuroblastoma cells21, and melanoma skin cancer22. The potential roles for FPRs in cancer cells have only been investigated in a limited number of disease models and the results suggest that FPRs 1School of Pharmacy, Shanghai Jiao Tong University, 800 Dongchuan Road, Shanghai, 200240, China. 2School of Pharmacy, Ruijin Hospital Affiliated to Shanghai Jiao Tong University School of Medicine, 197 Ruijin Road (No.2), Shanghai, 200025, China. 3Department of General Surgery, Shanghai Chang Zheng Hospital, Second Military Medical University, 415 Fengyang Road, Shanghai, 200003, China. 4Institute of Chinese Medical Sciences, University of Macau, Macau, 999078, China. Shu-Qin Li and Ning Su contributed equally to this work. Correspondence and requests for materials should be addressed to Y.Y. (email: yuyang2011@sjtu.edu.cn) or R.D.Y. (email: richardye@ umac.mo) Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 1 www.nature.com/scientificreports/ Figure 1. Expression of FPRs was increased in CRC tissues. (a) The levels of FPR mRNA in CRC tissues, distant control, and adjacent non-tumor tissues were examined with real-time quantitative PCR. The relative transcript expression was calculated as 2−ΔΔCT and was normalized against GAPDH/PPIA. (b) The tissue homogenates were analyzed by western blotting for the expression of FPR1. Two representative sample blots (p5 and p13) are shown. M, distant mormal tissue; N, adjacent non-tumor tissue; T, cancer tissue. The full-length blots were presented in Supplementary Fig. S3. (c) The blots were quantified densitometrically and the relative immunoreactivities are shown. All data shown are means ± SEM. *p < 0.05 compared with distant control; #p < 0.05 compared with adjacent non-tumor tissue. Figure 1. Expression of FPRs was increased in CRC tissues. (a) The levels of FPR mRNA in CRC tissues, distant control, and adjacent non-tumor tissues were examined with real-time quantitative PCR. The relative transcript expression was calculated as 2−ΔΔCT and was normalized against GAPDH/PPIA. (b) The tissue homogenates were analyzed by western blotting for the expression of FPR1. Two representative sample blots (p5 and p13) are shown. M, distant mormal tissue; N, adjacent non-tumor tissue; T, cancer tissue. The Expression of Formyl Peptide Receptor 1 is Correlated with Tumor Invasion of Human Colorectal Cancer Shu-Qin Li1,2, Ning Su3, Ping Gong1, Hai-Bo Zhang1, Jin Liu1, Ding Wang1, Yan-Ping Sun3, Yan Zhang1, Feng Qian1, Bo Zhao1, Yang Yu1 & Richard D. Ye4 The full-length blots were presented in Supplementary Fig. S3. (c) The blots were quantified densitometrically and the relative immunoreactivities are shown. All data shown are means ± SEM. *p < 0.05 compared with distant control; #p < 0.05 compared with adjacent non-tumor tissue. xert different functions in tumor growth and angiogenesis in different cancer histotypes23. However, the level o xpression and the role for FPRs in human colorectal cancer remain unclear. p In this study, we investigated the expression of FPRs in primary human colorectal cancer and analyzed the association of FPRs expression with clinicopathological parameters. We found that the mRNA level of FPRs, especially that of FPR1, was significantly higher in colorectal tumors than in distant normal tissues and adjacent non-tumor tissues. Furthermore, FPR1 mRNA expression was associated with the size of tumor and serosal infil- tration. Of note, FPR2 expression correlated with the location of the tumor, and FPR3 was not significantly asso- ciated with any of these characteristics except for the expression of FPR2. These results suggest that the expression of FPR1 may play a more important role in tumor invasion in CRC patients compared with FPR2 and FPR3. The protein expression level and distribution of FPR1 were further investigated in human CRCs, and the biological functions of this receptor were examined in CRC cell lines and FPR1 gene knock-out (fpr1−/−) mice. FPR1 expression in colorectal epitheliums and in tumor infiltrating neutrophils/m h h f fi l d d h d FPR1 expression in colorectal epitheliums and in tumor infiltrating neutrophils/mac- rophages. Since the expression of FPR1 was significantly increased in CRC tissues compared with adjacent non-tumor tissues, we further determined the cellular source of FPR1 in these tissues using immunofluorecence staining. Previous work showed that FPR1 is present on certain epithelial cells (including follicular cells of the thy- roid and cortical cells of the adrenal gland) and infiltrating leukocytes such as neutrophils and monocytes/mac- rophages13. Thus, we examined whether FPR1 was expressed in the colorectal epithelium and tumor-infiltrating neutrophils and macrophages. As shown in Fig. 2a, few colorectal epithelial cells in the adjacent normal tissue expressed FPR1. In CRC tissues, both colorectal epithelial cells (MPO negative) and tumor infiltrating myeloid cells (MPO positive) expressed FPR1 (Fig. 2b). These results suggest that the increased expression of FPR1 in CRC tissues may come from both colorectal epithelial cells and tumor-infiltrating myeloid cells. As the expression of FPR1 in the infiltrating leukocytes are well expected and may be an important part of the tumor microenviron- ment, the increased expression of FPR1 in CRC epithelial cells is of interest to us and suggests a correlation with the invasiveness of CRC. FPR1 was expressed in colorectal cancer cell lines. To study the potential role of FPR1 in a CRC model without concerns over individual variations, two human CRC cell lines, SW480 and HT29, were used. We firstly examined the expression of FPR1 in these two cancer cells using qPCR and western blotting. The results showed that FPR1 was moderately expressed in both SW480 and HT29 not only at mRNA level (Fig. 3a) but also at protein level (Fig. 3b). In addition to western blotting, flow cytometry was used to confirm the distribution of FPR1 expression in these two cell lines. The cells were treated with or without membrane-penetration solution to detect total protein expression and membrane expression of FPR1. The result showed a moderate level of total FPR1 expression in both SW480 cells and HT29 cells (Fig. 3d and f, with membrane-penetrating solution). A small amount of FPR1 was expressed on the cell surface of SW480 cells (Fig. 3c), while less expression of FPR1 was recorded on HT29 cell surface (Fig. 3e). FPR1 activation promoted SW480 cell migration and invasion. www.nature.com/scientificreports/ www.nature.com/scientificreports/ Parameters No. of patients n (%) Exp. of FPR1 n (%) p value Exp. of FPR2 n (%) p value Exp. of FPR3 n (%) p value ↑ − ↓ ↑ − ↓ ↑ − ↓ All patients 20 (100) 13 (65) 3 (15) 4 (20) 11 (55) 8 (40) 1 (5) 11 (55) 7 (35) 2 (10) Location of tumor   Colon 12 (60) 9 (69) 1 (33) 2 (50) 0.47 10 (89) 1 (9) 1 (100) 0.002** 8 (87) 3 (43) 1 (50) 0.45   Rectum 8 (40) 4 (31) 2 (67) 2 (50) 1 (11) 7 (91) 0 (0) 3 (13) 4 (57) 1 (50) 0.33 Size of tumor   ≤3 3 (15) 0 (0) 2 (67) 1 (25) 0.0272* 0 (0) 3 (38) 0 (0) 0.18 0 (0) 2 (29) 1 (50) 0.43   3.1–6 12 (60) 9 (69) 0 (0) 3 (75) 7 (64) 4 (50) 1 (100) 7 (64) 4 (57) 1 (50)   >6 5 (25) 4 (31) 1 (33) 0 (0) 4 (36) 1 (12) 0 (0) 4 (36) 1 (14) 0 (0) Serosa infiltration   Yes 17 (85) 13 (100) 3 (100) 1 (58) 0.0009*** 10 (89) 6 (25) 1 (100) 0.58 10 (89) 5 (71) 2 (100) 0.55   No 3 (15) 0 (0) 0 (0) 3 (42) 1 (11) 2 (75) 0 (0) 1 (11) 2 (29) 0 (0) Exp. of FPR2   ↑ 11 (55) 8 (87) 3 (43) 0 (0) 0.0179*   − 8 (40) 3 (13) 4 (57) 1 (50)   ↓ 1 (5) 0 (0) 0 (0) 1 (50) Table 1. FPRs and clinicopathological characteristics. Exp., Expression; *P < 0.05; **P < 0.01; ***P < 0.001. mRNA expression were deemed either increased when the ratio of their levels in tumors against distant normal tissues was no less than 2.0, or decreased when the ratio was no more than 0.5, or unaltered when the ratio was between 0.5–2.0 (Table 1). The results showed that FPR1 mRNA expression level was associated with tumor size (p < 0.05) and serosal infiltration (p < 0.001). The FPR2 expression level was related with the location of the tumor (p < 0.05). The expression level of FPR3 was not significantly associated with any of these characteristics, except for the expression of FPR2 (p < 0.05) (Table 1). Results li Baseline characteristics of the colorectal cancer patients. Twenty CRC patients were enrolled in this study, with 8 (40%) males and 12 (60%) females. Their age ranged from 39 to 78 years (mean age, 57 years). Twelve patients had colon cancers (60%) and eight patients had rectal cancers (40%). According to the TNM (Tumor Node Metastasis) classification, all patients had T1, T2, T3, or T4 cancers, with 4 patients (20%) classified as having poorly differentiated and 16 (80%) as good or moderately differentiated cancers. One of these patients (5%) had distant metastasis (M1). The demographic and disease characteristics of these patients are summarized in Supplementary Table S1. Increased FPR1 expression was correlated with serosal infiltration. To evaluate FPRs expression in the CRC, real-time qPCR was performed with samples collected from distant normal tissues, adjacent non-tumor tissues and cancer tissues. The GAPDH/PPIA ratio was used as a normalization control24. We found that the mRNA levels of FPRs, especially those of FPR1, were significantly higher in colorectal tumors than in distant normal tissues and adjacent non-tumor tissues (p < 0.05). There was no significant difference in gene expression of FPRs between distant normal tissues and adjacent non-tumor tissues (Fig. 1a). Since the mRNA levels of FPRs in CRC tissues were markedly elevated, we next examined the correlation between FPRs expression and clinicopathological characteristics which included sex, age, stage and location of tumor, tumor size, differentiation, lymphatic invasion, serosa infiltration, and distant metastasis. Changes in FPRs Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 2 www.nature.com/scientificreports/ These results suggest that the expression level of FPR1, but not that of FPR2 and FPR3, may be functionally related to tumor cell invasion in CRC patients. We further examined the expression of FPR1 at the protein level using western blot with an anti-FPR1 antibody, normalized against the expression level of β-actin. Significant upregulation of FPR1 protein level was found in CRC tissue compared with distant normal tissues and adjacent non-tumor tissues (Fig. 1b and c), which was consistent with its mRNA expression profile. FPR1 expression in colorectal epitheliums and in tumor infiltrating neutrophils/m h h f fi l d d h d To explore whether the activa- tion of FPR1 plays a role in promoting the migration and invasion of CRC cells, Boyden chamber migration assay and wound healing assay were performed. For Boyden chamber migration assay, the cells were treated for 12 h with fMLF, an agonist of FPR1, with or without 15 min of pretreatment with the FPR1 antagonist cyclo- sporine H (1 μM) or Boc 1 (10 μM). A significant migration of SW480 cells was observed after treatment with fMLF, and pretreatment with cyclosporine H or Boc 1 reduced the migration of the cells (Fig. 4a and c and Supplementary Fig. S1), suggesting that the fMLF-induced migration was mediated through FPR1. In compari- son, the fMLF-treated HT29 cells had no significant changes in migration (Fig. 4b and d). We further confirmed Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 3 www.nature.com/scientificreports/ Figure 2. Immunofluorescence staining of FPR1 in human CRC tissues. Frozen sections of the adjacent normal tissues (a) and CRC tissues (b) were stained by immunofluorescence for the expression of FPR1 (FITC, green) and MPO (Cy3, red), as described in Materials and Methods. Cell nuclei were stained with DAPI (blue). Images shown are representative of three independent experiments with similar results. Scale bar, 25 µm. Figure 2. Immunofluorescence staining of FPR1 in human CRC tissues. Frozen sections of the adjacent normal tissues (a) and CRC tissues (b) were stained by immunofluorescence for the expression of FPR1 (FITC, green) and MPO (Cy3, red), as described in Materials and Methods. Cell nuclei were stained with DAPI (blue). Images shown are representative of three independent experiments with similar results. Scale bar, 25 µm. the chemotactic effect of fMLF on these cells using the wound healing assay. For wound healing assay, the cells were treated with fMLF for 24 h and 48 h, with or without a 15-min pretreatment with cyclosporine H (1 μM) or Boc 1 (10 μM). Images were taken and wound closure was quantified after 24 h and 48 h, respectively. Consistent with the result of the Boyden chamber migration assay, a significantly increased wound closure was found in SW480 cells treated with fMLF after 24 h and 48 h compared with cells treated with medium alone, and pretreat- ment with cyclosporine H or Boc 1 attenuated wound closure (Fig. 5a and b and Supplementary Fig. S2). FPR1 expression in colorectal epitheliums and in tumor infiltrating neutrophils/m h h f fi l d d h d As expected, the fMLF-treated HT29 cells showed no obvious wound recovery either at 24 h or 48 h (Fig. 5c and d), suggesting that activation of FPR1 by fMLF promotes SW480 cell migration. FPR1 was involved in survival of CRC mice. To assess the potential role of FPR1 in CRC in vivo, we established a CRC mouse model using WT and fpr1−/− mice. The combination of DSS (Dextran sulfate sodium) with AOM (Azoxymethane) is one of the well-known experimental models for colitis-associated CRC25. For AOM/DSS treatment experiment (Fig. 6a), as described in the Materials and Methods section, the body weight changes of the mice were monitored. Both WT mice and fpr1−/− mice had weight loss and the presence of diar- rhea/hematochezia in the weeks following each DSS administration. However, the fpr1−/− mice showed marked recovery and gain of body weight afterwards compared with the WT mice (Fig. 6b). Furthermore, the survival rate of these mice was monitored. On week 21, two WT CRC mice died, and on week 23, one more WT CRC model mouse died; only one fpr1−/− CRC mouse died in the same period of time. By week 24, the survival rate of WT CRC mice was 50%, while that of fpr1−/− mice was 92% (Fig. 6c). This result indicates that depletion of FPR1 markedly improved the survival rate of the CRC model mice. Furthermore, significantly reduced colon lengths were observed in WT mice when compared with fpr1−/− mice (Fig. 6d). However, there is no significant differ- ence on the number of tumors between WT and fpr1−/− mice (Fig. 6e), suggesting that FPR1 may be involved in the progression, but not tumorigenesis of colorectal cancer. Discussion FPRs were found in several types of human cancer tissues and were thought to have different functions in tumor growth and/or angiogenesis in different cancer histotypes14–23. In the present study, we found that the expres- sion of FPR1 was associated with tumor serosal invasion. Our results also demonstrated that FPR1 activation promoted the migration and invasion of the CRC cell line SW480 in both the Boyden chamber migration assay and wound healing assay. Consistent with our findings, previous studies reported that high FPR1 expression was significantly associated with submucosal invasion and serosal invasion in gastric cancer26 and correlates with increased motility of human glioblastoma cells and the formation of highly invasive tumors27. Taken together, these data suggest that FPR1 play an important role in tumor invasion in colorectal cancer, gastric cancer, and glioblastoma. In this work, we found that the expression of FPR1, but not FPR2 or FPR3, was associated with colorectal tumor serosal invasion. However, a recent work reported a correlation of FPR2 expression with the invasive phe- notype of human colon cancer28. One of the differences between these studies is the use of different CRC tissues. In the published report, human colon cancer tissues were collected, while in our study both human colon cancer and rectal cancer tissues were used. Interestingly, we found FPR2 expression is significantly related with the loca- tion of the tumor (p = 0.002). There were 10 high FPR2 expressing cases (89%) from colon cancer patients, but just 1 (11%) from rectal cancer patient. Taken together, these results suggested a close correlation between FPR1 expression and colorectal cancers while FPR2 expression might be more sensitive in the colon cancer and affects Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 4 www.nature.com/scientificreports/ Figure 3. Expression of FPR1 in colorectal cancer cell lines. The mRNA transcripts (a) and protein expres (b) of FPR1 in SW480 and HT29 were analyzed by agarose gel electrophoresis and western blotting, respe The full-length gels and blots were presented in Supplementary Fig. S4a and b. (c–f) Flow cytometry was u to confirm the distribution of FPR1 expression in these two cell lines. The cells were treated with or withou membrane-penetration solution to detect the total protein expression (d,f) and membrane expression (c,e Figure 3. Expression of FPR1 in colorectal cancer cell lines. Discussion SW480 (a) and HT29 (b) were treated with fMLF (1 μM) or 20% FBS (positive control) for 12 h with or without a 15 min pretreatment with cyclosporine H (1 μM). The cell migration was examined using a 48-well Boyden chamber. Representative images of migrated cells (SW480 and TH29) on membrane filters were shown in (a and b) and quantified data were shown in (c and d), respectively. *p < 0.05 compared with control, #p < 0.05 compared with the cells treated with fMLF. All the data shown are mean ± SEM from three separate experiments, each in triplicates. Figure 4. FPR1 activation promoted SW480 cell migration. SW480 (a) and HT29 (b) were treated with fMLF (1 μM) or 20% FBS (positive control) for 12 h with or without a 15 min pretreatment with cyclosporine H (1 μM). The cell migration was examined using a 48-well Boyden chamber. Representative images of migrated cells (SW480 and TH29) on membrane filters were shown in (a and b) and quantified data were shown in (c and d), respectively. *p < 0.05 compared with control, #p < 0.05 compared with the cells treated with fMLF. All the data shown are mean ± SEM from three separate experiments, each in triplicates. (NFPR2) recognizing active FPR129, while we used anti-FPR1 antibody recognizing all forms of FPR1. Another difference might be because we examined the expression of FPR1 in both primary CRC tissue and the adjacent normal tissue, while the above mentioned study only detected FPR1 in normal human colonic mucosa. Finally, the cited work considered that different expression of FPR1 might be attributed to differences in exposure to luminal formyl peptides, while in the present study both luminal formyl peptides and proinflammatory factors might affect the expression of FPR1 in a cancer environment. f Our data showed that the absence of FPR1 could increase the survival rate of fpr1−/− mice compared with WT mice in a mouse model of colitis-associated CRC, suggesting that FPR1 expression is a risk factor in the prognosis of CRC. This may result from the proinflammatory function of FPR1 especially in the infiltrating mye- loid cells. At present, how FPR1 functions in colorectal epithelial cells remains unclear, but our results show that cancer cell migration correlates positively to cell surface expression of FPR1. These cells show clear polarity and the cell surface vs. Discussion The mRNA transcripts (a) and protein expression (b) of FPR1 in SW480 and HT29 were analyzed by agarose gel electrophoresis and western blotting, respectively. The full-length gels and blots were presented in Supplementary Fig. S4a and b. (c–f) Flow cytometry was used to confirm the distribution of FPR1 expression in these two cell lines. The cells were treated with or without membrane-penetration solution to detect the total protein expression (d,f) and membrane expression (c,e). he invasive phenotype of human colon cancer more specifically. It should be interesting to examine whether here is an exacerbated malignant phenotype of colon cancer co-expressing both FPR1 and FPR2 receptors.h The selected expression of FPR1 in glioblastoma cells and neuroblastoma cells has been investigated in pre- viously studies15, 21. Zhou and colleagues demonstrated that FPR1 was selectively expressed in highly malignant human glioblastomas15. However, Snapkov et al. found that although the different neuroblastoma cell lines dis- played differential expression of FPR1, there is no direct relationship between the expression of FPR1 and the var- ious genetic aberrations and biological features of neuroblastoma21. In our study, FPR1 was moderately expressed in SW480 and HT29 at both mRNA and protein levels, using real-time PCR and western blot analysis respectively (Fig. 3). Since it is known that FPR1 expressed on cell surface can be activated by agonist binding, which then triggers a G protein-mediated signaling cascade, we further identified the cellular source and distribution of FPR1 in CRC. We examined its localization on the frozen slices of CRC patient tissues and on CRC cell lines, using immunofluorescence and flow cytometry analysis, respectively. We found that FPR1 was localized to the cyto- plasm and plasma membrane of both primary colorectal epitheliums and tumor infiltrating myeloid cells, as well as in the two colorectal cell lines. Consistent with our study, Snapkov et al. reported that FPR1 was localized to the cytoplasm and plasma membrane of primary neuroblastoma tissues and cell lines21. However, another study reported that, in frozen sections of normal human colonic mucosa, FPR1 was identified in the crypt epithelium only in the lateral membrane, and no FPR1 protein was detected in surface enterocytes29. Several reasons may attribute to the difference between this report and our result. First, Babbin et al. used a monoclonal antibody Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 5 www.nature.com/scientificreports/ Figure 4. FPR1 activation promoted SW480 cell migration. Discussion intracellular expression of FPR1 is of potential interest, especially considering that regulated redistribution of this receptor may be associated with cell motility. The two CRC cell lines used in this study show different properties in chemotaxis and migration assays, which may be attributed to the fact that fewer receptors were detected in HT29 cells, although both cell lines express FPR1 on their cell surface. Consistent with our data, previous studies showed that high expression of FPR1 corresponded with poor survival in neuroblastoma and gastric cancer patients21, 26, and targeting FPR1 with an antagonist attenuated astrocytoma cell motility and pro- longed the survival of tumour-bearing mice16. All these data demonstrate that FPR1 may play an important role in cancer development and invasion, and may represent a therapy option for the treatment of these neoplasms.i p y p py p p In summary, our studies have, for the first time, demonstrated that the expression of FPR1 is associated with tumor invasion of colorectal cancer. FPR1 are expressed both in the colorectal epitheliums and tumor-infiltrating myeloid cells. Furthermore, we confirm the function of FPR1 on tumor migration and invasion using chemot- axis and wound-healing assays in two colorectal cancer cell lines. Finally, we demonstrated that the expression of FPR1 is correlated with the survival of colitis-associated CRC mice. These findings provide a foundation for Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 6 www.nature.com/scientificreports/ Figure 5. FPR1 activation accelerated the migration of SW480. The motility of SW480 (a,b) and HT29 (c,d) in wound-healing model was assayed in the presence of fMLF (1 μM) or 10% FBS with or without a 15 min pretreatment with cyclosporine H (1 μM). Then cells were photographed at 24 h and 48 h. *p < 0.05 compared with control, #p < 0.05 compared with the cells treated with fMLF. All the data shown are mean ± SEM from three separate experiments, each in triplicates. Figure 5. FPR1 activation accelerated the migration of SW480. The motility of SW480 (a,b) and HT29 (c,d) in wound-healing model was assayed in the presence of fMLF (1 μM) or 10% FBS with or without a 15 min pretreatment with cyclosporine H (1 μM). Then cells were photographed at 24 h and 48 h. *p < 0.05 compared with control, #p < 0.05 compared with the cells treated with fMLF. All the data shown are mean ± SEM from three separate experiments, each in triplicates. Discussion further investigation into the roles of FPR1 in cancer microenvironment, where myeloid cells are involved, and in the tumorigenic properties of colorectal epithelial cells such as its ability to metastasize to different tissues. Materials and Methods Tissue specimens and cell cultures. Twenty pairs of surgically resected CRC tissue specimens were obtained from Changzheng Hospital, Shanghai, China. Histological classification and stage of the CRC were determined according to the UICC TNM classification system30. Each patient signed the informed consent writ- ten in the Chinese language, which outlined the purpose and application of the colorectal tumor tissue that they donated. All samples were fixed with 10% formalin and cryoprotected in 30% sucrose for immunohistochemical staining or were kept frozen at −80 °C for other biochemistry analysis. Acquisition of human tissue specimens was approved by the Institution Review Board of Changzheng Hospital and was carried out in accordance with the Helsinki Declaration.hh The two human CRC cell lines, SW480 and HT29, were obtained from ATCC (Manassas, VA). The cells were cultured in a humidified atmosphere of 95% air and 5% CO2 using Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal bovine serum (FBS) and antibiotics. Mice and Treatment. The FPR1 knock out (fpr1−/−) mice in C57BL/6 background were kindly provided by Drs Philip Murphy and Ji-Liang Gao (NIAID, NIH, Bethesda, MD), as reported previously (Gao, J. L. et al., 1999). All mice were housed with a 12/12 h light/dark cycle with ad libitum access to food and water. The hous- ing, breeding, and animal experiments were in accordance with the National Institutes of Health Guide for the Care and Use of Laboratory Animals, with procedures approved by the Biological Research Ethics Committee of Shanghai Jiao Tong University. For AOM and DSS treatment experiment, female WT mice (n = 6) and fpr1−/− mice (n = 13) of 6 weeks in age were given a single intraperitoneal administration of AOM (Sigma-Aldrich, St. Louis, MO; 10 mg/kg body weight). Seven days later, these mice were fed with 1.5% DSS for 7 days (Sigma-Aldrich) in drinking water fol- lowed by two weeks of fresh water alternatively for 3 cycles as shown in Figure S2. The body weight of these mice was measured 2–3 times every week. The survival rate of these mice was monitored until 24th week. Mouse survival curves were plotted as Kaplan-Meier plots. Statistical analysis was performed using the statistic software GraphPad Prism 5 (San Diego, CA) and p values less than 0.05 was considered statistically significant. Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 7 www.nature.com/scientificreports/ Figure 6. FPR1 involvement in mouse survival in a colorectal cancer model. Materials and Methods (a) Schematic representation of the mouse model of CRC, as described in the Materials and Methods section. Body weights (b) and survival (c) of WT (green line) mice and fpr1−/− (red line) mice with CRC. Also shown are quantification of colon length (d) and tumor number (e) in WT mice and fpr1−/− mice with CRC. (6 mice for WT group; 13 mice for fpr1−/− group). Figure 6. FPR1 involvement in mouse survival in a colorectal cancer model. (a) Schematic representation of the mouse model of CRC, as described in the Materials and Methods section. Body weights (b) and survival (c) of WT (green line) mice and fpr1−/− (red line) mice with CRC. Also shown are quantification of colon length (d) and tumor number (e) in WT mice and fpr1−/− mice with CRC. (6 mice for WT group; 13 mice for fpr1−/− group). Total RNA extraction and real-time PCR. The level of FPRs messenger RNA (mRNA) in tissues was determined using real-time quantitative PCR. Total RNA was extracted with Trizol reagent (Invitrogen, Carlsbad, CA) according to manufacturer’s instructions. One microgram of the RNA was used for reverse transcrip- tion using the Reverse Transcription System A3500 kit (Promega, Madison, WI). The complementary DNA (cDNA) was subsequently subjected to real-time PCR to quantify the transcripts of FPR1, FPR2 and FPR3 using SYBR® Green Real-time PCR Master Mix (TOYOBO, Osaka, Japan). Primers were designed as follows: FPR1 (5′-CCTCCACTTTGCCATTC-3′; 5′-AGCAGAGCCATCACCC-3′), FPR2 (5′-GACACGCACAGTCACCA-3′; 5′-ACAGGAACCAGCCAAAA-3′), FPR3 (5′-TCTTTCAGTGCCATCCT-3′; 5′-ATCCAGAGTCCCGTCA-3′), GAPDH (5′-TCAAGAAGGTGGTGAAGCA-3′; 5′-AAAGGTGGAGGAGTGGGT-3′), and PPIA (5′-CCCCACCGTGTTCTTC-3′; 5′-GACCCGTATGCTTTAGGA-3′). PCR was performed according to the following conditions: 95 °C for 2 min; 40 cycles of denaturation at 95 °C for 15 s, annealing at 55 °C for 45 s, and extension at 72 °C for 30 s. A final extension step at 72 °C for 10 min was added before the hold step. The fold changes in mRNA level in each sample were normalized against the mRNA level of GAPDH/PPIA24 and calcu- lated using the 2exp(−ΔΔCt) method. Western Blot Analysis. Tissue specimens were homogenized in lysis buffer containing 50 mM Tris-HCl (pH7.4), 10 mM β-mercaptoethanol, 2 mM EDTA, 2 mM NaVanadate, 100 mM NaF, 8.5% sucrose, 5 μg/ml apro- tinin, 5 μg/ml leupeptin, and 5 μg/ml pepstatin. Protein concentrations were determined using a BCA Protein Assay Kit (Beyotime Biotechnology, Nantong, China) and then heated in 5 × SDS-PAGE loading buffer (Beyotime Biotechnology) at 99 °C for 7 min. Materials and Methods Tissue homogenates were separated on 12% SDS-PAGE and transferred onto 8 Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 www.nature.com/scientificreports/ nitrocellulose membranes (Whatman Protran, Dassel, Germany). Blots were blocked with 5% non-fat milk for 1 h at room temperature and incubated overnight at 4 °C with the primary antibody (anti-FPR1, BD Pharmingen, San Diego, CA; 1:1000) and anti-β-actin antibody (Cell Signaling Technology, Danvers, MA; 1:5000), followed by the respective IRDye®800CW secondary antibodies (LI-COR Biosciences, Lincoln, NE). The membranes were scanned using the 800-nm channel of an Odyssey® CLX Infrared Imaging System (Li-COR Biosciences). The immunoreactive bands were quantified using the NIH Image J software (Bethesda, MD). Flow cytometry Analysis. The expression of FPR1 in CRC cell lines, SW480 and HT29, was detected using flow cytometry. The cells were harvested and resuspended in phosphate-buffered saline containing 1% bovine serum albumin on ice, then the cells were added the equal volume of 4% papaformaldehyde or fixation and Permeabilization solution (BD Pharmingen). Following incubation with purified mouse anti-FPR1 antibody (BD Pharmingen) for 1 h, the cells were incubated with FITC-conjugated anti-mouse secondary antibody in the dark for 30 min. Receptor density was analyzed as mean fluorescent intensity on a FACScan flow cytometer (BD Pharmingen). The results were expressed as the mean ± SEM based on at least three experiments. Immunofluorescence staining. Formalin-fixed, 30% sucrose solution-dehydrated tissue blocks of colorectal tumors with adjacent noncancerous colorectal mucosa were sliced into 40μm-thick frozen sections, as previously described31. Sections were incubated with a primary mouse monoclonal antibody against human FPR1 (BD Pharmingen) and a rabbit anti-myeloperoxidase (MPO) antibody (Cell Marque, Rocklin, CA) over- night at 4 °C, rinsed with TBS, and further treated with the secondary antibodies, Alex Fluor®488-conjugated anti-mouse antibody and Alex Fluor®568-conjugated anti-rabbit antibody (1:500, Invitrogen), respectively for 1 h in the dark at room temperature. Sections were stained for nuclei with 5 μg/mL 4,6-diamidino-2-phenylindole (DAPI, Beyotime Biotechnology) for 10 min, and then mounted on glass slides. Fluorescent images were taken on a laser-scanning confocal fluorescent microscope (Leica TCS SP8, Leica Microsystems, Wetzlar, Germany). The immunofluorescence intensity was quantified using the ImagePro Plus Software (Media Cybernetics, Silver Spring, MD). The results were expressed as means ± SEM based on a minimum of three individual fields. Chemotaxis assays. Chemotaxis assays were performed using a 48-well chemotaxis chamber (Neuro Probe, Gaithersburg, MD) according to the published procedures32. Materials and Methods For SW480 and HT29 cells, after 12 h incubation with fMLF (1 μM), with or without a 15 min pretreatment with cyclosporine H (1 μM) or Boc1 (10 μM) at 37 °C, the filter was removed and fixed with methanol and stained with 0.1% crystal violet. Cells were counted in three random high-power fields in triplicate samples. The results were expressed as chemotaxis index which represents the fold increase in the number of migrated cells in response to chemoattractants over the response to control medium. Wound-healing assays. The wound-healing assays were performed as described previously27. The cells movement images were captured under light microscopy. Pictures were taken at 0 h as control. Then the cells were incubated with fMLF (1 μM) with or without 15 min pretreatment with cyclosporine H (1 μM) or Boc1 (10 μM) for 24 h or 48 h, and the pictures were taken at each of the time points. The results were quantified by calculating mean migrated distance of leading cells in the scratched area. Statistical analysis. All data are reported as the mean ± SEM. The expression of FPRs at transcript and pro- tein levels were analyzed statistically for significant differences by one-way ANOVA followed by Newman-Keuls test. Correlations between the expressions of FPRs and various clinicopathological characteristics were ana- lyzed using the Chi-square test. Statistical analysis was performed using the statistic software Prism (version 5, GraphPad, San Diego, CA) and p values less than 0.05 was considered statistically significant. References 1. Weitz, J. et al. Colorectal cancer. Lancet 365, 153–65 (2005). 1. Weitz, J. et al. Colorectal cancer. Lancet 365, 153–65 (2005). 2. Ferlay, J. et al. Cancer incidence and mortality worldwide: sources, methods and major patterns in GLOBOCAN 2012. Int J Cancer 136, E359–86 (2015). 2. Ferlay, J. et al. Cancer incidence and mortality worldwide: sources, methods and major patterns in GLOBOCAN 2012. Int J Cancer 136, E359–86 (2015).h ( ) 3. Parkin, D. M. The global health burden of infection-associated cancers in the year 2002. Int J Cancer 118, 3030–44 (2006). 4. West, N. R., McCuaig, S., Franchini, F. & Powrie, F. Emerging cytokine networks in colorectal cancer. Nat Rev Immunol 15, 615–29 (2015). 5. Su, N. et al. Increased expression of annexin A1 is correlated with K-ras mutation in colorectal cancer. Tohoku J Exp Med 222, 243–50 (2010). ( ) 6. Goseki, N., Koike, M. & Yoshida, M. Histopathologic characteristics of early stage esophageal carcinoma. A comparative study with gastric carcinoma. Cancer 69, 1088–93 (1992). g 7. Cremolini, C. et al. First-line chemotherapy for mCRC-a review and evidence-based algorithm. Nat Rev Clin Oncol 12, 607–19 (2015). 8. Ye, R. D. et al. International Union of Basic and Clinical Pharmacology. LXXIII. Nomenclature for the formyl peptide receptor (FPR) family. Pharmacol Rev 61, 119–61 (2009). y 9. Migeotte, I., Communi, D. & Parmentier, M. Formyl peptide receptors: a promiscuous subfamily of G protein-coupled receptors controlling immune responses. Cytokine Growth Factor Rev 17, 501–19 (2006).h 10. Rabiet, M. J., Huet, E. & Boulay, F. The N-formyl peptide receptors and the anaphylatoxin C5a receptors: an overview. Biochimie 89, 1089–106 (2007). ( ) 11. Le, Y., Murphy, P. M. & Wang, J. M. Formyl-peptide receptors revisited. Trends Immunol 23, 541–8 (2002).h y g y 12. Murphy, P. M. The molecular biology of leukocyte chemoattractant receptors. Annu Rev Immunol 12, 593–633 (1994). P. M. The molecular biology of leukocyte chemoattractant receptor 12. Murphy, P. M. The molecular biology of leukocyte chemoattrac p yh gy y p 13. Becker, E. L. et al. Broad immunocytochemical localization of the formylpeptide receptor in human organs, tissues, and ce Tissue Res 292, 129–35 (1998). 14. Liu, M. et al. G protein-coupled receptor FPR1 as a pharmacologic target in inflammation and human glioblastoma. Int Immunopharmacol 14, 283–8 (2012). 15. Zhou, Y. et al. Formylpeptide receptor FPR and the rapid growth of malignant human gliomas. Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 Acknowledgementsh The authors would like to thank Drs. Philip Murphy and Ji-Liang Gao (NIAID, NIH) for providing the FPR1 knockout mice. This work was supported by grants from National Natural Science Foundation of China (Grant 81571027 and Grant 31470865) and Science and Technology Development Fund of Macao SAR (FDCT 072/2015/ A2). www.nature.com/scientificreports/ Formyl Peptide receptor 1 expression is associated with tumor progression and survival in gastric cancer Anticancer Res 34, 2223–9 (2014).h 27. Huang, J. et al. The G-protein-coupled formylpeptide receptor FPR confers a more invasive phenotype on human glioblastoma cells. Br J Cancer 102, 1052–60 (2010).h 28. Xiang, Y. et al. The G-protein coupled chemoattractant receptor FPR2 promotes malignant phenotype of human colon cancer cells. Am J Cancer Res 6, 2599–2610 (2016). 9. Babbin, B. A. et al. Formyl peptide receptor-1 activation enhances intestinal epithelial cell restitution through phosphatidylinosito 3-kinase-dependent activation of Rac1 and Cdc42. J Immunol 179, 8112–21 (2007).iit p 0. Sobin, L. H. & Fleming, I. D. TNM Classification of Malignant Tumors, fifth edition (1997). Union Internationale Contre le Cance and the American Joint Committee on Cancer. Cancer 80, 1803–4 (1997).i 31. Li, S. Q. et al. Deficiency of macrophage migration inhibitory factor attenuates tau hyperphosphorylation in mouse models of Alzheimer’s disease. J Neuroinflammation 12, 177 (2015).h 31. Li, S. Q. et al. Deficiency of macrophage migration inhibitory factor attenuates tau hyperphosphorylation in mouse models of Alzheimer’s disease. J Neuroinflammation 12, 177 (2015).h i Alzheimer’s disease. J Neuroinflammation 12, 177 (2015). fl 32. Peng, L. et al. The chemerin receptor CMKLR1 is a functional receptor for amyloid-beta peptide. J Alzheimers Dis 43, 227–42 (2 Author Contributions S.Q.L., N.S., P.G., H.B.Z., J.L., and D.W. performed the in vivo and in vitro studies. S.Q.L. and N.S. processed and analyzed data. S.Q.L., N.S., R.D.Y., and Y.Y. wrote the manuscript. Y.P.S., Y.Z., F.Q., and B.Z. provided the critical reagents and participated in the discussions. R.D.Y. and Y.Y. conceived and designed this study. All authors have read and agreed with the contents of the manuscript. www.nature.com/scientificreports/ 6. Boer, J. C. et al. Inhibition of formyl peptide receptor in high-grade astrocytoma by CHemotaxis Inhibitory Protein of S. aureus. B J Cancer 108, 587–96 (2013). J Cancer 108, 587 96 (2013). 17. de Paulis, A. et al. Helicobacter pylori Hp (2–20) promotes migration and proliferation of gastric epithelial cells by interacting with formyl peptide receptors in vitro and accelerates gastric mucosal healing in vivo J Immunol 183 3761–9 (2009) 7. de Paulis, A. et al. Helicobacter pylori Hp (2–20) promotes migration and proliferation of gastric epithelial cells by interacting with formyl peptide receptors in vitro and accelerates gastric mucosal healing in vivo. J Immunol 183, 3761–9 (2009). l h f l d f h b h b y g g 18. Prevete, N. et al. The formyl peptide receptor 1 exerts a tumor suppressor function in human gastric cancer by inhibiting angiogenesis. Oncogene 34, 3826–38 (2015). g g g 19. Cattaneo, F. et al. Expression of Formyl-peptide Receptors in H p y p p p g 20. Khau, T. et al. Annexin-1 signals mitogen-stimulated breast tumor cell proliferation by activation of the formyl peptide receptors (FPRs) 1 and 2. FASEB J 25, 483–96 (2011).h 21. Snapkov, I. et al. The role of formyl peptide receptor 1 (FPR1) if yl peptide receptor 1 (FPR1) in neuroblastoma tumorigenesis. BMC h 2. Chakravarti, N. et al. Differential expression of the G-protein-coupled formyl Peptide receptor in melanoma associates wit aggressive phenotype. Am J Dermatopathol 35, 184–90 (2013). gg p yp p 3. Prevete, N., Liotti, F., Marone, G., Melillo, R. M. & de Paulis, A. Formyl peptide receptors at the interface of inflammation angiogenesis and tumor growth. Pharmacol Res 102, 184–91 (2015). gg y p 23. Prevete, N., Liotti, F., Marone, G., Melillo, R. M. & de Paul g g g 24. Sharan, R. N., Vaiphei, S. T., Nongrum, S., Keppen, J. & Ksoo, M. Consensus reference gene(s) for gene expression studies in human cancers: end of the tunnel visible? Cell Oncol (Dordr) 38, 419–31 (2015).h cancers: end of the tunnel visible? Cell Oncol (Dordr) 38, 419–3 25. Thaker, A. I., Shaker, A., Rao, M. S. & Ciorba, M. A. Modeling colitis-associated cancer with azoxymethane (AOM) and dextran sulfate sodium (DSS). J Vis Exp (2012). p 6. Cheng, T. Y. et al. References J Natl Cancer Inst 97, 823–35 (2005). Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 9 www.nature.com/scientificreports/ Scientific Reports | 7: 5918 | DOI:10.1038/s41598-017-06368-9 Additional Information Additional Information Supplementary information accompanies this paper at doi:10.1038/s41598-017-06368-9h Competing Interests: The authors declare that they have no competing interests. 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Enhanced tumour cell nuclear targeting in a tumour progression model
BMC cancer
2,015
cc-by
9,149
RESEARCH ARTICLE Open Access Abstract Background: There is an urgent need for new approaches to deliver bioactive molecules to cancer cells efficiently and specifically. Methods: Here we fuse the cancer cell nuclear targeting module of the Chicken Anaemia Virus Apoptin protein to the core histones H2B and H3 and utilise them in transfection, protein transduction and DNA binding assays. Results: We found subsequent nuclear accumulation of these proteins to be 2–3 fold higher in tumour compared to normal cells in transfected isogenic human osteosarcoma and breast tumour progression models. This represents the first demonstration of enhanced nuclear targeting by Apoptin in a tumour progression model, and its functionality in a heterologous protein context. Excitingly, we found that the innate transduction ability of histones could be exploited in combination with the Apoptin nuclear targeting module to effect an overall 13-fold higher delivery of protein to osteosarcoma cancer cell nuclei compared to their isogenic normal counterparts. Conclusions: This is the first report of cancer-cell specificity by a cell penetrating protein, with important implications for the use of protein transduction as a vehicle for gene/drug delivery in the future, and in particular in the development of highly specific and effective anti-cancer agents. Keywords: Apoptin, tNTS, Histone, Tumour progression model, Isogenic cell line pair, Cancer targeting, Cell penetrating protein tin, tNTS, Histone, Tumour progression model, Isogenic cell line pair, Cancer targeting, Cell penetrating apoptosis in cancer cells [11,13], whereas nuclear trans- location of Apoptin does not appear to be sufficient to mediate apoptosis in normal cells [14]. Interestingly, Apoptin nuclear translocation can be triggered in re- sponse to DNA damage in normal cells, while blocking these pathways in transformed cells can rescue them from Apoptin-induced cell death [13]. The N-terminal 69 amino acids of Apoptin appear to be responsible for mediating at least some of Apoptin’s cell death pathways [14], whereas the tumour selective nuclear targeting abil- ity of Apoptin has been localised to its C-terminal domain (amino acids 74–121) [15-17], known as the tumour cell enhanced nuclear targeting signal (tNTS). The tNTS contains two NLS regions (a.a. 82–88; 111– 121) [14,18,19], as well as an exportin-1 (CRM-1) recog- nised nuclear export sequence (NES a.a. 97–105) which is inhibited by specific phosphorylation of threonine 108 in cancer cells [15,16,18,20]. Importantly, the Apoptin tNTS region accouns for only ~20% of Apoptin’s proa- poptotic ability in cancer cells [14]. The ability of the * Correspondence: kylie.wagstaff@monash.edu 1Nuclear Signalling Laboratory, Department Biochemistry and Molecular Biology, Monash University, Clayton, Victoria 3800, Australia Full list of author information is available at the end of the article Nastasie et al. BMC Cancer (2015) 15:76 DOI 10.1186/s12885-015-1045-z Enhanced tumour cell nuclear targeting in a tumour progression model Michael S Nastasie1, Helmut Thissen2, David A Jans1 and Kylie M Wagstaff1* © 2015 Nastasie et al.; licensee BioMed Central. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Background Despite modest recent decreases in incidence rates due to preventative life style choices, cancer remains one of the most prevalent causes of death in both developed and developing countries [1-3]. The principal difficulty in achieving efficient anti-cancer treatment, whether by chemotherapy, radiotherapy or even excision surgery, has always been in administering the therapy specifically to tumour cells without affecting healthy bystander cells [4-8]. Since cancer cells derive from normal cells and as such share numerous biological/genetic features, target- ing one without affecting the other is extremely difficult. A protein that has attracted interest in this context is viral protein 3 (VP3, also known as Apoptin) from chicken anaemia virus (CAV), which shows enhanced nuclear targeting abilty in tumour compared to normal cells [9-12]. In most cases, Apoptin can also elicit Nastasie et al. BMC Cancer (2015) 15:76 Page 2 of 11 (Clontech) and pEPI-tNTS [16] vectors were used to ex- press GFP and GFP-tNTS in mammalian cells respectively. tNTS to confer cancer cell enhanced nuclear targeting with only minimal toxicity makes it an attractive target- ing moiety because of this additional layer of safety by comparison with full length Apoptin. The Aptoptin tNTS is unique in terms of potential as the basis of cancer therapies specifically targeting the nuclei of tumour cells [3,9]. Mammalian cell culture and transfection SAOS-2 cells were cultured in McCoys 5A medium (modified) (Sigma-Aldrich) supplemented with 2.2 g/l sodium bicarbonate, 10% heat inactivated foetal calf serum (FCS) and 1 mM sodium pyruvate. SR5 and SR40 cells were cultured in the above medium with an add- itional 800 μg/ml Geneticin (GIBCO) as a selective agent. MCF10A, MCF10AT and MCF10CA1h cells were cultured in DMEM/F12 medium with 10 mM HEPES (Sigma), supplemented with 2.2 g/l sodium bicarbonate, 5% horse serum, 100 ng/ml cholera toxin (Sigma), 0.5 μg/ ml hydrocortisone, 10 μg/ml bovine insulin and 20 ng/ml human epidermal growth factor (EGF) (GIBCO). All cells were grown at 37°C in 5% CO2. Cells were seeded onto glass coverslips (13 mm in diameter or 15 X 15 mm) 24 h prior to transduction experiments or transfection con- ducted using 4 μg of DNA complexed with 10 μl Lipofec- tAMINE 2000™(Invitrogen) per well of a 6-well tissue culture plate, according to the manufacturer’s instructions. Microscopy and image analysis C ll i d 6 h Microscopy and image analysis Cells were imaged 6–9 hours post transfection by con- focal laser scanning microscopy (CLSM; Olympus FV1000) using a 100 X oil immersion objective. The ImageJ v1.43u public domain software was used to ana- lyse digitised images to determine the ratio of nuclear (Fn) to cytoplasmic (Fc) fluorescence ratio (Fn/c) ac- cording to the formula: Fn/c = (Fn-Fb)/(Fc-Fb), where Fb is background autofluorescence [21]. An Fn/c value > 1 indicates nuclear accumulation, whereas < 1 indicates cytoplasmic localisation. An Fn/c value of 1 indicates diffuse localisation, with an equivalent amount of protein in both the cytoplasm and the nucleus. To perform a student’s t-test for statistical analysis, Microsoft Excel™ software was used. Background In this study we examine the tumour-selective nuclear targeting ability of the Apoptin tNTS in isogenic tumour and normal cells as well as an isogenic tumour progres- sion cell model. Since the lines derive from the same genetic background, conclusions can be drawn relating directly to tumorigenic status, without confounding dif- ferences in genetic or cell type factors. Utilising this powerful system, we show that the tumour-selective nu- clear targeting ability of the Apoptin tNTS can function in the heterologous protein context of core histones; core histones are strongly nuclear [21], being responsible for DNA compaction in the nucleus of all eukaryotic cells, meaning that this is, the first demonstration of the ability of the tNTS to function in the context of a highly nuclear protein. In addition, we investigate tNTS activity in the MCF10A breast tumour progression model, dem- onstrating selectivity for well-progressed tumour pheno- types and highlighting its potential for use in specific anti-cancer treatments in the future. Finally, we show that the tNTS is functional in tumour-selective nuclear targeting in the context of bacterially expressed recom- binant histones that retain protein transduction proper- ties, and hence have exciting therapeutic potential. Histones are well-established as being able to undergo protein transduction, and hence possess utility as gene/ drug delivery vehicles. The addition of the tNTS to his- tones thus represents an exciting step forward in the devel- opment of tumour-specific anti-cancer therapies [21-25]. Results SR5 and SAOS-2 cells were transfected to express GFP- H3, GFP-H3-tNTS and GFP-tNTS and examined live using confocal laser scanning microscopy (CLSM; Figure 1B). As has been previously reported, GFP-tNTS alone accumulated in the nucleus of the tumorigenic SAOS-2 cells to a greater extent than in the non- transformed SR5 line, as evident from the increased cytoplasmic fluorescence. This was confirmed by image analysis of digitised images to measure the nuclear to cytoplasmic fluorescence ratio (Fn/c, Methods: Figure 1C; where Fn/c > 1 indicates nuclear accumulation), indicating a significantly higher level (c. 2 fold, p < 0.01) of nuclear accumulation in the tumorigenic SAOS-2 cells, compared to the non-transformed SR5 cells. In contrast, GFP-H3 was almost exclusively nuclear in both lines, with little to no visible cytoplasmic fluorescence evident (Figure 1B). Quantitative analysis confirmed that there was no signifi- cant difference in the nuclear accumulation of GFP-H3 between the two cell lines. Excitingly, the addition of the tNTS to GFP-H3 significantly increased the nuclear accu- mulation of the histone in the tumorigenic SAOS-2 line and not in non-transformed SR5 cells, indicating that the DNA electrophoretic mobility shift assay tumorigenic status, including the well-characterised SR5 (SR40)/SAOS-2 osteosarcoma cell pair, which has previ- ously been used to characterise the Apoptin tNTS [16]. SAOS-2 cells contain a nonsense mutation in the retino- blastoma (Rb) gene, with ectopic expression of full length Rb restored in the SR5 and SR40 non-tumorigenic cell lines [30-33], where stable expression of wild type Rb for up to four months is known not to cause any detrimental effects, apart from an increase in cell size and a significant decrease in proliferation [30] consistent with Rb’s cell cycle role [32,33]. We also used a breast tumour progres- sion model, based on the spontaneously immortalized non-tumorigenic MCF10A normal human breast epithe- lial line [34]. MCF10A cells have been transformed to express the activated c-Ha-ras oncogene to generate the pre-malignant MCF10AT cell line [35,36], which in turn has been used to generate the MCF10CA1h cell line sub- sequent to selection through xenograft implant in mice [37]. The MCF10AT cell line expresses significantly higher levels of p21 ras protein, as well as the ability to grow in anchorage independent fashion in the absence of growth factors [36]. MCF10AT are pre-malignant, able to generate only small nodules in nude mice, representative of benign simple ducts, with < 25% of xenografts progressing to car- cinomas [35,36]. In contrast to the MCF10AT line, MCF10CA1h xenografts rapidly form well-differentiated large carcinomas in 100% of mice with no evident precur- sor stage [37]. This set of cell lines represents a wide spectrum of neoplastic progression including benign, pre- malignant and malignant cell lines, and has previously been used to elucidate differences between normal and cancer cell nuclear import [37,38]. Recombinant proteins at increasing concentrations were incubated with 300 ng of linearised plasmid DNA (6.7 KB) for 30 minutes at room temperature. Samples were then subjected to electrophoresis in a 0.8% ethidium-free agar- ose gel at 40 V for 16 h at 4°C in TAE (40 mM Tris, 0.114% glacial acetic acid, 1 mM ethylenediaminetetraace- tic acid (EDTA), ph7.5). After staining with ethidium bromide, the gel was visualised under UV illumination. Additional methods Additional methods Please see Additional file 2 for materials and methods related to the Supplementary Figures. Generation of GFP-fusion protein mammalian cell expression plasmids Gateway cloning technology and the pDest53 vector (Invitrogen) were used to generate mammalian expres- sion vectors encoding green fluorescent protein (GFP) fused to Xenopus histones H2B or H3. The optimised nuclear localisation signal (NLS) from the SV40 large tumour antigen (Op-T-NLS) or the C-terminus of Apop- tin (residues 74–121; tNTS) were fused to either histone H2B or histone H3 using primers designed for overlap extension polymerase chain reactions. These were then introduced into either the pDest53 or pTrcHisA-EGFP vector (Invitrogen and Novagen respectively) using Gateway cloning technology as previously described [21]. The fidelity of all constructs was confirmed by DNA sequencing (see Additional 1: Figure S2C). pEGFP Recombinant protein expression AND purification The fusion proteins GFP-H3, GFP-H3-tNTS or GFP- H2B-tNTS (expressed from plasmid pTrcHisA-EGFP (Novagen) [26]) were expressed and purified from bac- teria as (His)6-tagged proteins using nickel affinity chro- matography under denaturing conditions (8 M urea) and proteins were eluted in dimerization buffer as previously described [21,23]. Protein purity was c. 70%, based on Coomasie staining of SDS-PAGE (see Additional 1: Figure S2A); although limited degradation products were present, only full-length protein was incorporated into DNA binding histone tetramers (Additional 1: Figure S2B). (His)6-tagged GFP protein was made as previously [27]. Page 3 of 11 Nastasie et al. BMC Cancer (2015) 15:76 Protein transduction Cells seeded on 13 mm diameter glass coverslips in 24 well plates and 500uL media, were treated with 100uL of 7uM GFP-fusion protein in DMEM for 4 hours at 37°C. The media was removed and the cells washed using phosphate buffered saline (PBS) kept at 37°C to remove free protein. Cells were then treated with DMEM lacking phenol red, containing 1.25ug/mL Hoescht stain for 30 minutes. After thorough washing in a pool of warm PBS and imaging using CLSM as per mammalian cell transfection (above), ImageJ was used to convert the ‘.oif’ files into Tiff format. CellProfiler (r10997) public domain software was used to automatically identify nu- clei based on Hoescht staining in the blue channel and measure the relative concentration (as mean fluores- cence) of recombinant protein present in those areas using GFP fluorescence indicated in the green channel. The Apoptin tNTS confers tumour cell selectivity to histones H2B and H3 Schematic representation of the engineered histone H2B and H3 proteins utilised in this study. GFP, Green Fluorescent Protein; H2B, histone H2B; H3, histone H3; Op-T-NLS, optimised NLS from the SV40 large tumour antigen (T-ag); tNTS, C-terminal domain of Apoptin (aa 74–121). B. SR5 (normal) or SAOS-2 (tumour) cells were transfected to express the indicated fusion proteins followed by CLSM analysis 6 h post-transfection. C. Analysis of digitised images such as those shown in B was used to determine the relative levels of nuclear accumulation as described in materials and methods. Results represent the mean Fn/c ± SEM (n > 10) and p values indicate significant differences as determined by the students t-test. D. Cancer comparative indexes (CCI) of the results shown in C, determined from a ratio of the Fn/c values. E. SR40 (normal) or SAOS-2 (tumour) cells were transfected to express the indicated fusion proteins and imaged by CLSM 6 h post-transfection. F. Images such as those in E were analysed as per C to determine the Fn/c ratio. G. CCI’s calculated as per D from the results in F. onfers tumour cell selectivity to core histone variants. A. Schematic representation of the engineered histone H2B and Figure 1 The tNTS confers tumour cell selectivity to core histone variants. A. Schematic representation of the engineered histone H2B and H3 proteins utilised in this study. GFP, Green Fluorescent Protein; H2B, histone H2B; H3, histone H3; Op-T-NLS, optimised NLS from the SV40 large tumour antigen (T-ag); tNTS, C-terminal domain of Apoptin (aa 74–121). B. SR5 (normal) or SAOS-2 (tumour) cells were transfected to express the indicated fusion proteins followed by CLSM analysis 6 h post-transfection. C. Analysis of digitised images such as those shown in B was used to determine the relative levels of nuclear accumulation as described in materials and methods. Results represent the mean Fn/c ± SEM (n > 10) and p values indicate significant differences as determined by the students t-test. D. Cancer comparative indexes (CCI) of the results shown in C, determined from a ratio of the Fn/c values. E. SR40 (normal) or SAOS-2 (tumour) cells were transfected to express the indicated fusion proteins and imaged by CLSM 6 h post-transfection. F. Images such as those in E were analysed as per C to determine the Fn/c ratio. G. CCI’s calculated as per D from the results in F. The Apoptin tNTS confers tumour cell selectivity to histones H2B and H3 Although the Apoptin tNTS has been shown to be able to confer tumour-cell selective nuclear targeting onto heterol- ogous proteins such as GFP [18,28], it has never been con- firmed to confer tumour-cell selectivity to proteins that are intrinsically able to accumulate to high levels in the nu- cleus. Due to their essential role in DNA compaction and transcriptional regulation, histone proteins contain very strong endogenous NLSs and undergo rapid nuclear im- port during s-phase such that they are found exclusively in the nucleus and do not normally undergo nuclear export [29]. We generated mammalian and bacterial expression vectors which contain a GFP moiety fused to the N- terminus of either histone H2B or H3 and which also con- tain either the Apoptin tNTS or an optimised version of the SV40 large tumour antigen NLS (Op-T-NLS) fused to their C-terminus (see Figure 1A for schematic). For rigorous assessment of tumour cell selective target- ing, we utilised isogenic normal/tumour cell line pairs that are derived from a common origin and differ only in their Page 4 of 11 Nastasie et al. BMC Cancer (2015) 15:76 Figure 1 The tNTS confers tumour cell selectivity to core histone variants. A. Schematic representation of the engineered histone H2B and H3 proteins utilised in this study. GFP, Green Fluorescent Protein; H2B, histone H2B; H3, histone H3; Op-T-NLS, optimised NLS from the SV40 large tumour antigen (T-ag); tNTS, C-terminal domain of Apoptin (aa 74–121). B. SR5 (normal) or SAOS-2 (tumour) cells were transfected to express the indicated fusion proteins followed by CLSM analysis 6 h post-transfection. C. Analysis of digitised images such as those shown in B was used to determine the relative levels of nuclear accumulation as described in materials and methods. Results represent the mean Fn/c ± SEM (n > 10) and p values indicate significant differences as determined by the students t-test. D. Cancer comparative indexes (CCI) of the results shown in C, determined from a ratio of the Fn/c values. E. SR40 (normal) or SAOS-2 (tumour) cells were transfected to express the indicated fusion proteins and imaged by CLSM 6 h post-transfection. F. Images such as those in E were analysed as per C to determine the Fn/c ratio. G. CCI’s calculated as per D from the results in F. Figure 1 The tNTS confers tumour cell selectivity to core histone variants. A. Apoptin tNTS enhanced nuclear targeting in a tumour progression model We next tested tNTS dependent targeting in the MCF10A breast tumour progression model. CLSM analysis of transfected cells expressing the GFP-tNTS Figure 2 Tumour cell enhanced nuclear targeting conferred by the Apoptin-tNTS is observed in a breast cancer tumour progression model and can be conferred to histones H3 and H2B. A. MCF10A (normal), MCF10AT (pre-malignant) or MCF10Ca1h (tumour) cells were transfected for 6 h to express the indicated fusion proteins followed by CLSM analysis. B. Digitised images as those shown in A were analysed to determine relative levels of nuclear accumulation displayed as mean Fn/c ± SEM (n > 40) where p values indicate significant differences determined by the students t-test. C. CCIs of the results shown in B, determined from a ratio of the Fn/c values. Results are from a single typical experiment from a series of three similar experiments. D. MCF10A (normal), MCF10AT (pre-malignant) or MCF10Ca1h (tumour) cells were transfected for 6 h to express the indicated fusion proteins. E. Digitised images as those shown in D were analysed to determine relative levels of nuclear accumulation displayed as mean Fn/c ± SEM (n > 40) where p values indicate significant differences determined by the students t-test. F. CCIs of the results shown in E, determined from a ratio of the Fn/c values. Results are from a single typical experiment from a series of two similar experiments. Figure 2 Tumour cell enhanced nuclear targeting conferred by the Apoptin-tNTS is observed in a breast cancer tum model and can be conferred to histones H3 and H2B. A. MCF10A (normal), MCF10AT (pre-malignant) or MCF10Ca1h (tum Figure 2 Tumour cell enhanced nuclear targeting conferred by the Apoptin-tNTS is observed in a breast cancer tumour progression model and can be conferred to histones H3 and H2B. A. MCF10A (normal), MCF10AT (pre-malignant) or MCF10Ca1h (tumour) cells were transfected for 6 h to express the indicated fusion proteins followed by CLSM analysis. B. Digitised images as those shown in A were analysed to determine relative levels of nuclear accumulation displayed as mean Fn/c ± SEM (n > 40) where p values indicate significant differences determined by the students t-test. C. CCIs of the results shown in B, determined from a ratio of the Fn/c values. Results are from a single typical experiment from a series of three similar experiments. D. The Apoptin tNTS confers tumour cell selectivity to histones H2B and H3 tNTS (Figure 1D), consistent with previous observations [16,39], whilst GFP-H3 had a CCI of c. 1.0, indicating no cancer specificity. In contrast, GPF-H3-tNTS had a CCI of 1.8, comparable to that for GFP-tNTS, demonstrating clearly that tumour-selective targeting can be transferred to nuclear proteins such as histones. tNTS can confer tumour-cell selective activity even when in the context of a highly nuclear heterologous protein, in- dicating for the first time that histones can be manipu- lated to target preferentially to the nuclei of tumour cells. The Cancer Comparative Index (CCI) [39], the ratio of the Fn/c of the protein in tumour compared to normal cells (where a CCI greater than 1 denotes increased nu- clear accumulation in tumour cells), was 1.7 for GFP- To confirm that the enhanced tumour-cell selectivity shown here is not a specific property of histone H3, the Page 5 of 11 Nastasie et al. BMC Cancer (2015) 15:76 core histone H2B was analysed in identical fashion (Figure 1E-G). In comparable fashion to the results for H3, GFP-H2B was predominantly nuclear to the same extent in SR40 and SAOS-2 cells (CCI of 1.0), but the presence of the tNTS resulted in significantly higher nu- clear accumulation in SAOS-2 transformed cells (CCI of 2.7, p < 0.001). Clearly, the Apoptin tNTS has enhanced cancer cell nuclear targeting ability that is transferrable to proteins such as histones H3 and H2B, that normally have no inherent ability to accumulate to a higher extent in the nuclei of tumour versus normal cells. construct alone revealed a significant (p < 0.001) increase (almost 2-fold) in nuclear accumulation for GFP-tNTS in MCF10CA1h tumorigenic cells compared to both normal MCF10A and pre-malignant MCF10AT cells (Figure 2A-C). The almost 3 CCI indicated high cancer cell specificity, the first demonstration of tumour cell specific targeting by the Apoptin tNTS in a human breast cancer progression model. That the Apoptin tNTS displays a strong preference for more advanced tumour phenotypes, highlights its potential effectiveness as a tumour targeting moiety for cancer-therapeutics. To confirm that the tumour selective activity of Apop- tin can be conferred to histone proteins in this breast tumour model system, the engineered histone H3 con- structs were expressed in the MCF10A isogenic cell series. As observed for the SR5/SAOS-2 cell line pair, GFP-H3 did not show a significant difference in nuclear Apoptin tNTS enhanced nuclear targeting in a tumour progression model MCF10A (normal), MCF10AT (pre-malignant) or MCF10Ca1h (tumour) cells were transfected for 6 h to express the indicated fusion proteins. E. Digitised images as those shown in D were analysed to determine relative levels of nuclear accumulation displayed as mean Fn/c ± SEM (n > 40) where p values indicate significant differences determined by the students t-test. F. CCIs of the results shown in E, determined from a ratio of the Fn/c values. Results are from a single typical experiment from a series of two similar experiments. Nastasie et al. BMC Cancer (2015) 15:76 Page 6 of 11 applications [21]. To confirm that the DNA binding cap- acity of our novel tumour selective fusion proteins is not impaired by the addition of the tNTS, recombinant GFP-H3, GFP-H3-Op-T-NLS and GFP-H3-tNTS fusion proteins were examined in a DNA electrophoretic mobility shift assay. Linearised plasmid DNA was incu- bated with increasing concentrations of the recombinant proteins and subjected to agarose gel electrophoresis followed by ethidium bromide staining and UV illumin- ation to visualise the DNA bands (Figure 3). DNA bind- ing in this assay is evidenced by a retardation of the movement of the DNA through the agarose gel. GFP-H3 and GFP-H3-Op-T-NLS were able to retard the move- ment of the linearised DNA to a similar extent, indica- tive of comparable DNA binding ability. Interestingly, GFP-H3-tNTS DNA binding ability appeared to alter bands whilst at lower concentrations of protein, indicat- ing a higher binding to DNA. This is consistent with wild type histone H3 having the highest DNA binding ability of the four core histones, whereby histone H3 binds to the DNA so strongly that it is unable to enter the gel and remains in the well (Additional 1: Figure S1). accumulation across the three cell lines. In contrast, GFP-H3-tNTS showed significantly (p < 0.01) higher nu- clear accumulation in MCF10CA1h cells compared to either the MCF10A normal or the MCF10AT pre- malignant cells (Figure 2B). Further, the CCI of GFP- H3-tNTS suggests that the protein accumulates to a >2 fold higher extent in the nuclei of the tumorigenic MCF10CA1h cells compared to the MCF10A, non- transformed cells (Figure 2C). Apoptin tNTS enhanced nuclear targeting in a tumour progression model Excitingly, this demon- strates for the first time that the tumour cell nuclear targeting ability of the tNTS can be transferred to heter- ologous proteins in a model which closely resembles hu- man proliferative breast disease with increasing targeting preference in the more advanced stages of breast tumour progression. To demonstrate that this activity is exclu- sively dependent on the tNTS sequence and not merely the result of the addition of an exogenous NLS to the histone protein, we replaced the Apoptin tNTS with the optimised version of the SV40 large-tumour antigen (Op-T-NLS), which has previously been shown to in- crease the nuclear accumulation of other core histone proteins [21]. Although, the nuclear accumulation of GFP-H3-Op-T-NLS was significantly elevated compared to GFP-H3 alone, the increase was comparable across the MCF10A, MCF10AT and MCF10CA1h cell lines, with no significant difference in Fn/c observed (Figure 2B, C), confirming that the tumour-cell selective activity of these novel histones is not a general feature of NLSs but a unique property of the Apoptin tNTS. Tumour-cell selective nuclear targeting can also be conferred to histone H2B in the tumour progression model To confirm that the results observed in the breast tumour progression model were not specific to histone H3, histone H2B was also examined in the same way. Whereas GFP-H2B and GFP-H2B-Op-T-NLS showed no significant difference in their nuclear accumulation be- tween the MCF10A, MCF10AT and MCF10CA1h cells (Figure 2D-F), the nuclear accumulation of GFP-H2B- tNTS was significantly (p < 0.001) higher in the tumori- genic MCF10CA1h cells compared to the other cell types, with a CCI of >2 (Figure 2C). The level of tumour cell selectivity observed for GFP-H2B-tNTS is nearly identical to that observed for GFP-H3-tNTS in this cell system, implying that tumour cell selective activity is de- rived specifically from the Apoptin tNTS. It thus seems likely that robust tumour-cell specificity can be con- ferred by the tNTS to other heterologous proteins. Figure 3 Engineered histone H3 proteins bind to DNA. The indicated recombinant proteins were incubated at increasing concentrations (left to right; 0.1, 0.25, 0.5, 0.75 and 1 μM for the histone proteins and 0.5 and 1 μM for GFP) with 300 ng of linearised plasmid DNA (6.7 KB) for 30 min at room temperature prior to electrophoresis (40 V) at 4°C for 16 h against DNA alone (−). GFP alone was also incubated with DNA in the same way. Results are from a single typical experiment from a series of two similar experiments. Figure 3 Engineered histone H3 proteins bind to DNA. The indicated recombinant proteins were incubated at increasing concentrations (left to right; 0.1, 0.25, 0.5, 0.75 and 1 μM for the histone proteins and 0.5 and 1 μM for GFP) with 300 ng of linearised plasmid DNA (6.7 KB) for 30 min at room temperature prior to electrophoresis (40 V) at 4°C for 16 h against DNA alone (−). GFP alone was also incubated with DNA in the same way. Results are from a single typical experiment from a series of two similar experiments. Histones containing the tNTS can enter into intact cells via protein transduction and exhibit tumour specific nuclear targeting ability Histones are members of the cell penetrating family of proteins possessing innate protein transduction ability, enabling them to pass through the plasma membrane of cells in an energy and receptor-independent mechanism, a further property of great utility in gene therapy app- lications [21,23,40,41]. Based on the high CCI index observed in transfected cells, the GFP-H3 and GFP-H3- tNTS based constructs were selected to test whether the tNTS fusion proteins generated here have potential for tumour selective delivery in a protein transduction assay. Recombinant histone proteins retain DNA binding ability when fused to the tNTS The ability of histones to bind DNA is critical to their use as DNA delivery vectors for future gene therapy Page 7 of 11 Nastasie et al. BMC Cancer (2015) 15:76 SAOS-2 or SR5 cells were incubated with purified re- combinant GFP, GFP-H3 or GFP-H3-tNTS recombinant proteins. Cells were then washed extensively to remove extracellular protein, stained with Hoechst and imaged live via CLSM (Figure 4A). As GFP itself does not pos- sess any natural protein transduction potential the level of fluorescence in the nucleus of these samples did not differ significantly from the PBS alone control (not shown), as expected. Strikingly, the level of fluorescence of GFP-H3 quantitated in the SAOS-2 transformed cell line nuclei was increased by c. 350% compared that ob- served in the non-transformed counterpart (after taking into account background) (Figure 4B) which represents a CCI of > 4 (Figure 4C), indicating tumour specific nu- clear accumulation in the absence of the tNTS, most likely attributable to differences in the protein transduc- tion capacity of GFP-H3 in the two lines, with much more total protein taken up by the tumour cells in gen- eral thereby leading to a higher level of nuclear fluores- cence (Figure 4A). This is the first report of cell specificity for histone-mediated protein transduction, which had previously been thought to be similar in all cells [21,41]. Excitingly, this is also the first report of in- nate tumour cell selectivity for a protein transduction domain containing protein. This result was confirmed by subcellular fractionation experiments (Additional 1: Figure S3), whereby GFP-H3 and GFP-H3tNTS could not be detected in the SR5 normal cells under the conditions used, but were readily observed in the tumour cells. attributes endemic to tumours such as an increased level of cellular proliferation, but which are often also present in normal tissues, such as the rapidly proliferating cells of the bone marrow. The Apoptin protein from chicken anaemia virus however shows selectivity in tumour com- pared to normal cells, with increased nuclear accumula- tion in tumour cells. Here we investigate a novel use of the Apoptin protein, by isolating its tumour cell selectiv- ity and utilising it to generate tumour-cell selective proteins. Recombinant histone proteins retain DNA binding ability when fused to the tNTS We used a human breast cancer tumour pro- gression model, to examine the nuclear localisation of the Apoptin tNTS for the first time, showing that the tNTS is significantly more nuclear in the tumorigenic MCF10CA1h cell line compared to the normal MCF10A or the MCF10AT pre-malignant isogenic counterparts. This underlines the fact that Apoptin’s nuclear localization specificity is imparted by the tNTS and can be conferred on heterologous proteins which are normally exclusively nuclear. Presumably this specificity is due to increased ex- port of the Apoptin tNTS in normal cells [16]. We have shown here using two different normal/ tumour isogenic cell type models that the Apoptin tNTS was able to increase the nuclear accumulation of his- tones H3 and H2B specifically in cancer cells but not in normal isogenic counterparts, with a preference for ad- vanced tumour phenotypes similar to the Apoptin tNTS alone. Whilst the tNTS has previously been fused to GFP and maltose-binding-protein (MBP) for tracking purposes, resulting in their cancer cell specific localisa- tion [15,16,42], it has not previously been fused to a highly nuclear protein such as a histone. Thus, we show here for the first time that the tNTS is sufficient to im- part cancer cell nuclear specificity upon histone proteins and we predict that this will be consistent for other nu- clear proteins, which could have a great impact on the development of future specific nuclear delivery of cancer therapeutics. GFP-H3-tNTS showed an even more dramatic differ- ence in the level of nuclear fluorescence in the tumour cells compared to normal cells (Figure 4A), with a CCI of 13 (Figure 4C). Similar results were observed for GFP-H2B-tNTS (CCI of 11, not shown), confirming that this activity is not specific to histone H3. It is interesting to note that the additional tumour selective ability con- ferred by the tNTS did not appear to be due to an in- crease in protein concentration in the nucleus of the transformed SAOS-2 cells, but rather, was the result of a decrease in protein concentration in the nucleus of the normal SR5 cells (Figure 4B). Recombinant histone proteins retain DNA binding ability when fused to the tNTS These results confirm that the nuclear export activity of the tNTS on highly nuclear proteins such as histones in normal cells is retained in the purified recombinant fusion proteins and further- more this affect is enhanced synergistically when using proteins that already harbour innate tumour cell select- ivity as was observed here for the first time for histones. In this study we were also able to demonstrate that the addition of the tNTS moiety enhances the DNA binding ability of the recombinant GFP-tagged histone protein, indicating that the tNTS moiety itself is capable of medi- ating some DNA binding. The fact that the Op-T-NLS, containing several positive residues, does not enhance DNA binding here indicates that the contribution to DNA binding shown by the tNTS is specific. This is consistent with previous literature which showed that Apoptin is able to bind DNA [43] and the effect here may be assumed to be a summative one. The implica- tions of this may be far reaching, as previously the focus when using the tNTS was on its cancer specific nuclear delivery capabilities, we show here for the first time that it is likely to provide dual benefit when incorporated into vectors being engineered for gene therapy applica- tions. Similarly, although we have not observed any Discussion Current cancer treatments are often associated with de- bilitating side-effects on the surrounding healthy tissue and ultimately the patient due to the lack of specificity of anti-cancer chemotherapy, radiotherapy or amputa- tion/excision surgery, which take advantage of specific Page 8 of 11 Nastasie et al. BMC Cancer (2015) 15:76 Figure 4 (See legend on next page.) Figure 4 (See legend on next page.) Page 9 of 11 Nastasie et al. BMC Cancer (2015) 15:76 (See figure on previous page.) Figure 4 Innate tumour cell selectivity is exhibited by the recombinant histone H3 protein and is further enhanced by the Apoptin-tNTS. A. SR5 (normal) or SAOS-2 (tumour) cells were incubated for 4 hours in media containing 1.17 μM indicated recombinant protein. Cells were then washed with warm 37°C PBS and treated with DMEM lacking phenol red, containing 1.25 μg/mL Hoescht stain for 30 min. Cells were thoroughly washed in warm PBS and imaged using CLSM as per mammalian cell transfection (above). The blue channel shows Hoescht stained nuclei and the green channel shows the uptaken GFP-tagged recombinant protein. Blue (Hoescht) and Green (GFP) channels are presented separately in grayscale and merged in colour for clarity. B. Analysis of digitised images such as those in A was used to determine the relative mean fluorescence in the nucleus of cells as described in Materials and Methods. The mean fluorescence value was then normalised to the GFP value representing background fluorescence in each cell line. C. The data in B was used to calculate CCI values for GFP-H3 and GFP-H3tNTS recombinant proteins, relative to GFP alone (as disregarded background). Results are from a single typical experiment from a series of two similar experiments. [52]. Importantly, threshold levels of nuclear accumula- tion are critical for effective cancer gene/drug treatment strategies for numerous systems (see [53]), such as the first-line anti-cancer drug doxorubicin [54] meaning that a >10 fold increase in nuclear accumulation exhibited by histones engineered in this study may prove very valu- able factors in the future for anti-cancer therapeutics. Using recombinant histone vectors from this study in preliminary gene delivery experiments we have already achieved transfection in transformed cell lines (not shown), further highlighting their potential for use in fu- ture cancer targeted gene delivery strategies in addition to their potential for directed transport of drug/peptide cargo to cancer cell nuclei. Conclusions In conclusion, we used here for the first time a human breast tumour progression model to demonstrate that the nuclear accumulation of the Apoptin tNTS is signifi- cantly higher in transformed cells compared to their normal isogenic counterparts and that this activity can be conferred to histones H3 and H2B which we have also shown for the first time to possess innate cancer targeting abilities. Whilst these histones may be further developed to increase their specificity for tumours this study highlights the power of the Apoptin tNTS and its utility as a module for the development of a future class of highly specific anti-cancer agents. There are many physiological examples in which the extent of nuclear accumulation rather than the simple presence or absence of a protein in the nucleus is a key driver, such as in developmental processes or signal transduction and so these novel vectors may prove quite useful even before complete specificity is achieved. Ex- amples include human sex determination and nuclear concentration of the SRY/SOX9 transcription factors (where c. 2-fold differences in Fn/c represent the basis of male/female sex determination) [44-47] and in neur- onal cell function with respect to the NFkB p65 tran- scription factor (see [48]). The nuclear levels of specific viral proteins have been shown to be critical during viral infection for a range of viral pathogens, including CMV [49], porcine reproductive and respiratory syndrome virus [50], respiratory syncytial virus [51] and dengue Discussion apoptotic effects in the present study, potential Apoptin- induced tumour-specific apoptosis that might occur in therapeutic applications would have a comparable addi- tive benefit in terms of tumour cell killing. Perhaps the most interesting finding from this study was that histone H3 exhibits innate cancer specific transduction potential. This is the first report of cancer specific transduction capacity for histones, and for in- nate tumour selectivity in a protein transduction domain in general, which further highlights their potential as gene delivery vectors, especially with respect to cancer therapeutics. When recombinant fusion proteins were delivered to cells via protein transduction, the addition of the tNTS to histone H3 (or histone H2B, not shown) resulted in a synergistic effect that allowed for 13 fold higher nuclear accumulation of the protein in the trans- formed SAOS-2 cells compared to the normal SR5 iso- genic counterparts. The affect of the tNTS was due to a decrease in protein concentration in the nucleus of the normal SR5 cells rather than an increase in the SAOS-2 transformed cell line. This is consistent with the tNTS being actively exported from the nucleus by an exportin- 1 dependant mechanism in normal cells. In transformed cell types, however, nuclear export mediated by the tNTS is inhibited through phosphorylation of Threo- nine108 [15,16]. The results here suggest that the tNTS is functional even when included within a fusion protein delivery system. Additional file 2: Supplementary Materials and Methods. 11. Danen-Van Oorschot AA, Fischer DF, Grimbergen JM, Klein B, Zhuang S, Falkenburg JH, et al. Apoptin induces apoptosis in human transformed and malignant cells but not in normal cells. Proc Natl Acad Sci U S A. 1997;94:5843–7. Abbreviations CAV: Chicken anaemia virus; CCI: Cancer comparative index; CLSM: Confocal laser scanning microscopy; CRM-1: Lexportin-1; EGF: Epidermal growth factor; FCS: Foetal calf serum; Fn/c: Nuclear to cytoplasmic fluorescence ratio; GFP: Green fluorescent protein; MBP: Maltose-binding protein; NES: Nuclear export sequence; NLS: Nuclear localisation signal; Op-T-NLS: Optimised version of the SV40 large tumour antigen NLS; PBS: Phosphate buffered saline; Rb: Retinoblastoma; T-ag: SV40 large tumour antigen; tNTS: tumour cell enhanced nuclear targeting signal. 12. Los M, Panigrahi S, Rashedi I, Mandal S, Stetefeld J, Essmann F, et al. Apoptin, a tumor-selective killer. Biochim Biophys Acta. 2009;1793:1335–42. 13. Kucharski TJ, Gamache I, Gjoerup O, Teodoro JG. DNA damage response signaling triggers nuclear localization of the chicken anemia virus protein Apoptin. J Virol. 2011;85:12638–49. 14. Danen-Van Oorschot AA, Zhang YH, Leliveld SR, Rohn JL, Seelen MC, Bolk MW, et al. Importance of nuclear localization of apoptin for tumor-specific induction of apoptosis. J Biol Chem. 2003;278:27729–36. Authors’ contributions 16. Kuusisto HV, Wagstaff KM, Alvisi G, Jans DA. The C-terminus of apoptin represents a unique tumor cell-enhanced nuclear targeting module. Int J Cancer. 2008;123:2965–9. MSN performed all of the experiments and was responsible for data analysis, except for the experiment depicted in Figure 1E-G (which was conducted by KMW). He also drafted the initial manuscript. HT and DAJ were instrumental in the experimental design, supervision of MSN and critical evaluation of the manuscript. KMW oversaw all aspects of the experimental plan and analysis and made major edits to the final manuscript. All authors read and approved the final manuscript. 17. Maddika S, Panigrahi S, Wiechec E, Wesselborg S, Fischer U, Schulze-Osthoff K, et al. Unscheduled Akt-triggered activation of cyclin-dependent kinase 2 as a key effector mechanism of apoptin’s anticancer toxicity. Mol Cell Biol. 2009;29:1235–48. 18. Poon IK, Oro C, Dias MM, Zhang JP, Jans DA. A tumor cell-specific nuclear targeting signal within chicken anemia virus VP3/apoptin.[comment]. J Virol. 2005;79:1339–41. Acknowledgements 19. Shen Ni L, Allaudin ZN, Mohd Lila MA, Othman AM, Othman FB. Selective apoptosis induction in MCF-7 cell line by truncated minimal functional region of Apoptin. BMC Cancer. 2013;13:488. The authors would like to thank Cassandra David and Henna Kuusisto for routine tissue culture performed for this study and for advice and technical assistance with the tumour progression model. The confocal imaging used in this study was performed at the Monash Micro Imaging facility, Monash University, Clayton. The authors acknowledge the support of the Australian Research Council (Discovery Project Grant and Fellowship #DP110104437) and the National Health and Medical Research Council (Senior Principle Research Fellowship #APP1002486). The authors would like to thank Cassandra David and Henna Kuusisto for routine tissue culture performed for this study and for advice and technical assistance with the tumour progression model. The confocal imaging used in this study was performed at the Monash Micro Imaging facility, Monash University, Clayton. The authors acknowledge the support of the Australian Research Council (Discovery Project Grant and Fellowship #DP110104437) 20. Rohn JL, Zhang YH, Aalbers RI, Otto N, Den Hertog J, Henriquez NV, et al. A tumor-specific kinase activity regulates the viral death protein Apoptin. J Biol Chem. 2002;277:50820–7. 21. Wagstaff KM, Glover DJ, Tremethick DJ, Jans DA. Histone-mediated transduction as an efficient means for gene delivery. Mol Ther. 2007;15:721–31. 22. Kaouss M, Beaulieu R, Balicki D. Histonefection: Novel and potent non-viral gene delivery. J Control Release. 2006;113:245–54. Additional files Additional file 1: Figure S1. Wild type xenopus histone proteins bind have distinct DNA binding abilties. A DNA gel mobility shift assay was performed using the indicated proteins at increasing concentrations (0, 0.5, 0.75, 1 μM) and 300 ng of linearised plasmid DNA (pUC18) as per the legend to Figure 3. GFP was used only at 1 μM. Results are from a single typical experiment from a series of two similar experiments. Figure S2. Validation of recombinant proteins generated in this study. A. 4 and 8 μg of the indicated recombinant proteins was subjected to SDS-PAGE followed by Coomassie staining and imaging on a UV-transilluminating platform as described in materials and methods. M: Page Ruler molecular weight marker B. Histone tetramers containing the indicated recombinant H3 proteins and equimolar wild type Xenopus Histone H4 [2], were separated using SDS-PAGE, stained and visualized as in A. C. Sequence alignments of GFP-H3 (i) and GFP-H3-tTNS (ii) expression plasmids compared to pre-engineered recombinant protein templates as described in materials and methods. Figure S3. Nuclear/Cytoplasmic fractionation Page 10 of 11 Nastasie et al. BMC Cancer (2015) 15:76 time for a neoadjuvant or an adjuvant approach? Crit Rev Oncol Hematol. 2012;81:151–62. time for a neoadjuvant or an adjuvant approach? Crit Rev Oncol Hematol. 2012;81:151–62. of SR5 and SAOS-2 cells transduced with recombinant histones demonstrates tumour-cell specificity. SR5 and SAOS-2 cells transduced with the indicated recombinant proteins (as per Figure 4) were subjected to nuclear/cytoplasmic fractionation as described in the Additional file 2: Supplementary materials and methods. Samples were subjected to SDS-PAGE and Western analysis using anti-GFP and anti-actin primary antibodies and fluorescent secondary antibodies. of SR5 and SAOS-2 cells transduced with recombinant histones demonstrates tumour-cell specificity. SR5 and SAOS-2 cells transduced with the indicated recombinant proteins (as per Figure 4) were subjected to nuclear/cytoplasmic fractionation as described in the Additional file 2: Supplementary materials and methods. Samples were subjected to SDS-PAGE and Western analysis using anti-GFP and anti-actin primary antibodies and fluorescent secondary antibodies. 8. Custodio A, Mendez M, Provencio M. Targeted therapies for advanced non-small-cell lung cancer: current status and future implications. Cancer Treat Rev. 2012;38:36–53. 9. Noteborn MH. Apoptin acts as a tumor-specific killer: potentials for an anti-tumor therapy. Cell Mol Biol. 2005;51:49–60. 10. Rohn JL, Noteborn MH. The viral death effector Apoptin reveals tumor-specific processes. 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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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Validation of bidimensional measurement in nasopharyngeal carcinoma
Radiation oncology
2,010
cc-by
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Open Access Open Access * Correspondence: ml2406@hotmail.com 2Department of Otolaryngology, Buddhist Tzu Chi Dalin General Hospital, Chiayi County 622, Taiwan Full list of author information is available at the end of the article © 2010 Chang et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Abstract A BDMprn of 15 cm2 can be used to separate NPC patients into high- and low-risk groups and predict survival rates and metastasis potential. It can, therefore, be used as a reference to design clinical trials, predict prognosis, and make treatment decisions. Abstract Background: Our previous study showed a close relationship between computed tomography (CT)-derived bidimensional measurement of primary tumor and retropharyngeal nodes (BDMprn) and gross tumor volume of primary tumor and retropharyngeal nodes (GTVprn) in nasopharyngeal carcinoma (NPC) and better prognosis for NPC patients with smaller BDMprn. In this study, we report the results on of a study to validate the use of BDM in a separate cohort of NPC patients. Methods: We retrospectively reviewed 103 newly diagnosed NPC cases who were treated with radiotherapy/ concurrent chemoradiotherapy (CCRT) or CCRT with adjuvant chemotherapy from 2002 to 2009. We used magnetic resonance imaging (MRI) to measure BDMprn. We calculated overall survival, recurrence-free and distant metastasis- free survival curves and set a BDMprn cut off point to categorize patients into a high- or low-risk group. We then used Cox proportional hazard model to evaluate the prognostic influence of BDMprn after correcting age, gender and chemotherapy status. Results: After adjusting for age, gender, and chemotherapy status, BDMprn remained an independent prognostic factor for distant metastasis [Hazard ratio (HR) = 1.046; P = 0.042] and overall survival (HR = 1.012; P = 0.012). Patients with BDMprn < 15 cm2 had a greater 3-year overall survival rate than those with BDMprn ≧15 cm2 (92.3% vs. 73.7%; P = 0.009). They also had a greater 3-year distant metastasis-free survival (94% vs.75%; P = 0.034). Conclusion: The predictive ability of BDMprn was validated in a separate NPC cohort. A BDMprn of 15 cm2 can be used to separate NPC patients into high- and low-risk groups and predict survival rates and metastasis potential. It can, therefore, be used as a reference to design clinical trials, predict prognosis, and make treatment decisions. Results: After adjusting for age, gender, and chemotherapy status, BDMprn remained an independent prognostic factor for distant metastasis [Hazard ratio (HR) = 1.046; P = 0.042] and overall survival (HR = 1.012; P = 0.012). Patients with BDMprn < 15 cm2 had a greater 3-year overall survival rate than those with BDMprn ≧15 cm2 (92.3% vs. 73.7%; P = 0.009). They also had a greater 3-year distant metastasis-free survival (94% vs.75%; P = 0.034). Conclusion: The predictive ability of BDMprn was validated in a separate NPC cohort. A BDMprn of 15 cm2 can be Conclusion: The predictive ability of BDMprn was validated in a separate NPC cohort. Validation of bidimensional measurement in nasopharyngeal carcinoma ou Chang1, Sau-Tung Chu1, Yu-Yi Hou1, Kuo-Ping Chang1, Chao-Chuan Chi1, Ching-Chih Lee2,3* Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 Background based on NPC tumor stage [3,4], other factors might be incorporated to further refine prognostic accuracy. Nasopharyngeal carcinoma (NPC) is common among Asians, especially in southern China. While the annual incidence in Western countries is < 1 per 100,000 popu- lation, it is 6.17 per 100,000 in Taiwan [1]. Because it is difficult to approach nasopharyngeal tumors surgically, chemoradiotherapy or radiotherapy is the primary means of treating this disease [2]. The American Joint Committee of Cancer (AJCC) staging system for NPC is widely used to prognosticate and plan for its treatment and is well-accepted as an evaluation tool in clinical research. However, because the current TNM staging approach is limited in its ability to predict prognosis Gross tumor volume is one factor closely related to NPC survival [5-8]. It is not, however, widely advocated as a prognostic factor probably because measuring tumor volume can be time-consuming and labor-inten- sive. Several studies have used unidimensional and bidi- mensional measurement to evaluate the tumor size [9-11]. In a previous study, we found bidimensional measurement of primary NPC tumor and retropharyn- geal nodes by computed tomography (CT) imaging to be an independent prognostic factor [12]. Due to its improved accuracy, magnetic resonance imaging (MRI) has now virtually replaced CT scan as means of deter- mining the stage of tumors, including NPC, before they are treated [13]. MRI is superior to CT scan for diag- nosing the gross extent of tumor infiltration and retro- pharyngeal lymph node metastasis. * Correspondence: ml2406@hotmail.com 2Department of Otolaryngology, Buddhist Tzu Chi Dalin General Hospital, Chiayi County 622, Taiwan Full list of author information is available at the end of the article Page 2 of 7 Page 2 of 7 Page 2 of 7 Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 MRI technique and measurements In this study, we retrospectively reviewed MRI images in a separate cohort of NPC patients to further validate of the previous finding regarding the use of bidimen- sional measurement as means of prognosis in NPC. If confirmed to be an independent prognostic factor, then prognostic ability of the current TNM staging approach can be improved. MRI technique and measurements MRI technique and measurements Gross tumor volume of primary tumor and retrophar- yngeal nodes (GTVprn) of NPC measurement was per- formed with summation of area technique as described previously [12]. Clinical endpoints Validation of the bidimensional measurement of pri- mary tumor and retropharyngeal nodes was performed using a cohort which included NPC patients treated at Kaohsiung Veterans General Hospital from 2002 to 2009. The means of treating NPC patients in these two hospitals is similar. All patients received a complete course of radiotherapy (70 Gy - 75 Gy). Concurrent che- motherapy was arranged for NPC patients with advanced T (T2-4) classification or positive neck metas- tasis. Patients with T2b-T4 or N2-3 disease underwent subsequent adjuvant chemotherapy. Clinical endpoints were 3-year overall survival, any recurrence and distant metastasis. Six weeks after com- pleting the course of treatment, patients received endo- scopy and biopsy of the nasopharynx if necessary. Two months after the course of treatment, each patient received a MRI examination. Chest X-rays, abdominal sonography, and whole body bone scan were performed regularly. Patient selection The method of bidimensional measurement of primary tumor and retropharyngeal nodes (BDMprn) in NPC was derived from a cohort of newly diagnosed NPC patients with definite treatment [12]. All patients had histological confirmed NPC and received CT scan of the nasopharyngeal area, chest X-ray, ultrasound or CT scan of the abdomen and whole body bone scan. All cases were restaged based on criteria outlined in the 6th edition of the AJCC staging system [14] Patients received a complete course of radiotherapy (70 Gy - 75 Gy). Patients who received concurrent chemoradiotherapy (CCRT) received three cycles of cisplatin during the same period that were undergoing radiotherapy. Subsequent adjuvant chemotherapy con- sisting of cisplatin and 5-FU was arranged as guide- lines [2]. Using computed tomography-derived measurement, bidimensional measurement of primary tumor and retropharyngeal nodes (BDMprn) in NPC had good correlation with gross tumor volume (Spear- man’ correlation coefficient = 0.845, P < 0.001). The intrarater reliability for BDM was good. In multivariate analysis, BDMprn was an independent prognostic fac- tor for any relapse [Hazard ratio (HR) = 1.066; P = 0.029], and overall survival [HR = 1.097; P = 0.007]. NPC patients with large BDMprn conferred a poor survival and more recurrences[12]. The calculation of the three measurements was as the followings: GTVprn = Ʃ Outlined area of primary tumor and ret- ropharyngeal nodes × (slice thickness + split interval). BDMprn = Ʃ Maximum diameter × greatest perpendi- cular of primary tumor and retropharyngeal nodes. BDMp = Maximum diameter × greatest perpendicular of primary tumor. BDMp = Maximum diameter × greatest perpendicular of primary tumor. Background The lateral retropharyngeal nodes were considered malignant if its shortest axial dimension was 5 mm or greater, and any visible node in the med- ian retropharyngeal group was considered metastatic [15-17]. Bidimensional measurement of primary tumor and retropharyngeal nodes (BDMprn) was performed as described previously [12]. Briefly, BDMprn was obtained by multiplying the maximum diameter of the nasopharyngeal tumor and retropharyngeal nodes by the greatest measurement perpendicular to it (Figure 1). Bidimensional measurement of primary tumor (BDMp) was calculated by multiplying the maximum diameter of the nasopharyngeal tumor by the greatest measurement perpendicular to it [18]. It was some- times difficult to evaluate the anatomic extent of pri- mary tumor and retropharyngeal node. In such cases, when the outline of tumor was unclear, a radiologist specializing in head and neck cancer helped demarcate the margin. When there was skull base involvement or parapharyngeal space invasion, we could measure the gross tumor and retropharyngeal nodes using the same methods in Figure 1. Statistics Intrarater reliability was measured using the intraclass correlation coefficient. Overall survival, distant metasta- sis-free survival and recurrence-free survival were calcu- lated according to the methods of Kaplan and Meier. Differences between multiple survival curves were com- pared using the log-rank test. The prognostic influence of BDM was assessed using Cox proportional hazards Before treatment, all NPC patients received physical examinations, fiberoptic examinations, chest X-rays, ultrasound or CT scan of the abdomen, whole body bone scan and MRI of nasopharyngeal area. Similarly, all cases were restaged according to the AJCC stage classification system, which was modified in 2002. Page 3 of 7 Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 A1 B1 A2 B2 A3 B3 A B hted postcontrast MR image in the axial plane. The bidimensional measurement of primary tumor and retropharyngeal s obtained by summation of multiplying the maximum diameter by the greatest measurement perpendicular to it in mor (A) and retropharyngeal nodes (B). BDMprn (cm2) = A1 × B1 + A2 × B2 + A3 × B3. A1 B1 A A1 B1 A A1 B1 A B1 A1 A2 B2 A3 B3 B Figure 1 T2-weighted postcontrast MR image in the axial plane. The bidimensional measurement of primary tumor and retropharyngeal nodes (BDMprn) was obtained by summation of multiplying the maximum diameter by the greatest measurement perpendicular to it in nasopharyngeal tumor (A) and retropharyngeal nodes (B). BDMprn (cm2) = A1 × B1 + A2 × B2 + A3 × B3. A2 B2 A3 B3 B A2 B2 A3 B3 B eighted postcontrast MR image in the axial plane. The bidimensional measurement of primary tumor and retropharyngeal was obtained by summation of multiplying the maximum diameter by the greatest measurement perpendicular to it in tumor (A) and retropharyngeal nodes (B) BDMprn (cm2) = A1 × B1 + A2 × B2 + A3 × B3 B2 B3 B Figure 1 T2-weighted postcontrast MR image in the axial plane. The bidimensional measurement of primary tumor and retropharyngeal nodes (BDMprn) was obtained by summation of multiplying the maximum diameter by the greatest measurement perpendicular to it in nasopharyngeal tumor (A) and retropharyngeal nodes (B). BDMprn (cm2) = A1 × B1 + A2 × B2 + A3 × B3. Chang et al. Statistics Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 Page 4 of 7 was 87%, locoregional control survival rate 88%, distant metastasis-free survival rate 89%, and recurrence-free survival rate 79%. multivariate model after adjusting for age, gender, and chemotherapy status. BDM cut-off values were obtained by receiver operating characteristic (ROC) curve analy- sis. All statistical operations were performed using the Statistical Package for Social Sciences, version 15.0 (SPSS, Chicago, IL). Univariate and multivariate analysis Based on our univariate analysis, bidimensional mea- surement of primary tumor and retropharyngeal nodes was found to be a significant prognostic factor (Table 2). Adjusting for age, gender, and chemotherapy status, our multivariate analysis found bidimensional measure- ment of primary tumor and retropharyngeal nodes to significantly predict overall survival (HR = 1.012; 95% CI: 1.014-1.12; P = 0.012) and metastasis-free survival (HR = 1.046; 95% CI: 1.002-1.121; P = 0.042). The bidimensional measurement of primary tumor was not a significant predictor for outcomes in multivariate analysis. Both univariate and multivariate analysis found gross tumor volume of primary tumor and ret- ropharyngeal nodes to be a significant prognostic factor. Bidimensional measurement and risk groups We wanted to further validate the prognostic ability of bidimensional measurement of primary tumor and ret- ropharyngeal nodes using MRI findings. After analyzing trade-off, we chose 15 cm2 as the cut-off point in the validation cohort (additional file 1). Using this cut-off point, we further divided validation cohort into a smal- ler BDMprn group (67%) and a larger BDMprn group (33%). The smaller BDMprn group had greater 3-year overall survival, distant metastasis-free survival, and recurrence-free survival rates than the large BDM group. (92.3% vs. 73.7%, P = 0.009; 94% vs. 75%, P = 0.034; 64.1% vs. 59.7%, P = 0.082) (Figure. 2A and 2B), and they were at lower risk. Table 1 Patient Characteristics Variables Validation cohort (n = 103) No. of patients (%) Age (years) Mean ± SD 51 ± 13 Gender Male 77(75) Female 26(25) Stage I 3(3) II 12(12) III 56(54) IV 32(31) T classification T1 25(24) T2 20(19) T3 34(33) T4 24(23) N classification N0 6(6) N1 11(11) N2 72(70) N3 14(14) Histology grade Non-keratinizing carcinoma 13(13) Undifferentiated carcinoma 90(90) Treatment modality RT/CCRT 76(74) CCRT+CT 27(26) SD, standard deviation; RT, radiotherapy; CCRT, concurrent chemoradiotherapy; CCRT+CT, concurrent chemoradiotherapy with adjuvant chemotherapy Table 1 Patient Characteristics Variables Validation cohort (n = 103) No. of patients (%) Age (years) Mean ± SD 51 ± 13 Gender Male 77(75) Female 26(25) Stage I 3(3) II 12(12) III 56(54) IV 32(31) T classification T1 25(24) T2 20(19) T3 34(33) T4 24(23) N classification N0 6(6) N1 11(11) N2 72(70) N3 14(14) Histology grade Non-keratinizing carcinoma 13(13) Undifferentiated carcinoma 90(90) Treatment modality RT/CCRT 76(74) CCRT+CT 27(26) SD, standard deviation; RT, radiotherapy; CCRT, concurrent chemoradiotherapy; CCRT+CT, concurrent chemoradiotherapy with adjuvant chemotherapy Table 1 Patient Characteristics Patient and disease characteristics The intrarater reliability correlation coefficients for GTVprn, BDMprn, and BDMp were 0.956(0.935-0.97), 0.964 (0.912-0.986), and 0.966 (0.916-0.987). Table 1 shows the characteristics of patients in validation cohort. The mean age was 51 ± 13 years. Of the 103 NPC patients, 77 (75%) patients were men. 88 patients (85%) had advanced stage (stage III-IV). These NPC patients were followed up a median of 43 months (range 9-80 months). Thirty-four (33%) in the validation cohort had recurrences, including 15 (15%) with locoregional recur- rence and 12 (12%) with distant metastasis. Eighteen patients (18%) expired. The 3-year overall survival rate SD, standard deviation; RT, radiotherapy; CCRT, concurrent chemoradiotherapy; CCRT+CT, concurrent chemoradiotherapy with adjuvant chemotherapy Discussion Although the current TNM staging system for NPC is widely used, it has been reported to have several defi- ciencies. Mao et al. [3] and Cheng et al. [4] have not found any significant differences in local-relapse free survival among the T1, T2, and T3 NPC subgroups. Recently, gross tumor volume has been reported to be a risk factor for local recurrence of NPC [5,6,19]. How- ever, measurement of gross tumor volume is time-con- suming, and the technology, expertise, and manpower are often not available in routine clinical practice. radiosensitive, there is a high failure rate in treatment due to its metastatic behavior. Improvement in the out- come for NPC relies on the delivery of higher radiation doses [22]. While radiotherapy is the only standard treatment for early-stage NPC (stage I), the combination of cisplatin-based chemotherapy and radiotherapy is used to treat patients with advanced NPC (stage II-IVB) [2]. The latter group not only receives higher doses of radiotherapy, they also receive chemotherapy, both asso- ciated with significant comorbidity, including myocardial infarction, severe nutrient deficiency, nephrotoxicity, transverse myelitis, leukopenia, and central nervous sys- tem disease [2,23,24]. Recent study revealed that NPC patients with GTVprn ≧13 ml conferred a poor prog- nosis and may benefit from ≧4 cycles of chemotherapy [25]. This series implied that high-risk NPC patients, such as large GTVprn, could benefit from more inten- sive chemotherapy and radiotherapy. The treatment goals for NPC is to adjust chemoradiotherapy dosages to achieve adequate anticancer effects without overly increasing the development of such complications. It would be important and valuable if high-risk NPC patients could be identified in order to adjust the radia- tion dose and tailor chemotherapy protocol. In this way, high-risk patients (larger BDMprn) may benefit from more extensive treatment approaches, such as more intensive chemotherapy or higher dose of radiation, whereas low-risk patients (smaller BDMprn) may do well with standard therapy and can be spared the severe toxic side effects of more radical therapy. In a study of bidimensional and unidimensional MRI- derived measurement to reflect NPC tumor anatomic extent at diagnosis or the change in size after treatment, King et al. [18] found that BDM of primary tumor was a quicker and more widely applicable method than tumor volume measurement and that it could be used to assess tumor response. However, measurement of ret- ropharyngeal nodes were not included in that series. Tang et al. Discussion In a previous study, CT-derived bidimensional measure- ment of primary tumor and retropharyngeal nodes could be used to predict prognosis of NPC [12]. Using MRI to validate the ability of bidimensional measure- ment of primary tumor and retropharyngeal nodes to predict NPC outcomes in a validation cohort, we found BDMprn remained an independent prognostic factor for overall survival as well as metastasis-free survival. Adopting a BDMprn of 15 cm2 as cut-off point in vali- dation cohort, NPC patients whose BDMprn was less than 15 cm2 had a better 3-year overall survival rate and distant metastasis-free survival rate than those with BDMprn above this cut off point. Based on these two studies, we have found that BDMprn can be used to stratify patients into two different prognostic groups with significantly different overall survival and meta- static rates. Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 Page 5 of 7 Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 Table 2 Univariate and multivariate analysis results (n = 103) Overall survival Metastasis Any recurrence Univariate HR (95% CI) Multivariate* HR (95% CI) Univariate HR (95% CI) Multivariate* HR (95% CI) Univariate HR (95% CI) Multivariate* HR (95% CI) GTVprn 1.07 (1.037-1.103) 1.069 (1.033-1.107) 1.049 (1.013-1.085) 1.05 (1.01-1.091) 1.048 (1.018-1.079) 1.037 (1.004-1.071) P < 0.001 P < 0.001 P = 0.007 P = 0.013 P = 0.002 P = 0.028 BDMprn 1.071 (1.021-1.122) 1.012 (1.014-1.12) 1.06(1.006-1.116) 1.06 (1.002-1.121) 1.046 (1.002-1.093) 1.038 (0.99-1.088) P = 0.004 P = 0.012 P = 0.028 P = 0.042 P = 0.041 P = 0.121 BDMp 1.056 (1.001-1.113) 1.048 (0.991-1.108) 1.041 (0.983-1.116) 1.043 (0.981-1.108) 1.043 (0.993-1.096) 1.037 (0.984-1.092) P = 0.045 P = 0.099 P = 0.169 P = 0.176 P = 0.091 P = 0.173 GTVprn, gross tumor volume of primary tumor and retropharyngeal nodes; BDMprn, bidimensional measurement of primary tumor and retropharyngeal nodes; BDMp, bidimensional measurement of primary tumor; HR, hazard ratio; 95% CI, 95% confidence interval. *Multivariate analysis: adjusted for age, gender, and chemotherapy status. Table 2 Univariate and multivariate analysis results (n = 103) GTVprn, gross tumor volume of primary tumor and retropharyngeal nodes; BDMprn, bidimensional measurement of primary tumor and retropharyngeal nodes; BDMp, bidimensional measurement of primary tumor; HR, hazard ratio; 95% CI, 95% confidence interval. *Multivariate analysis: adjusted for age, gender, and chemotherapy status. Discussion [20] showed that retropharyngeal lymph node metastasis affects the distant metastasis-free survi- val rates of NPC, and Wang et al. [21] found a good correlation between retropharyngeal lymph node metas- tasis and parapharyngeal space involvement as well as metastasis to Level II, III, IV and/or V nodes. Based on these findings, our previous study modified the approach used by King et al. to include both primary tumor and retropharyngeal lymph nodes measurements in our definition of BDM. Previous study found a very close relationship between CT-derived BDMprn, gross tumor volume of primary tumor and retropharyngeal nodes, and overall survival [12]. In the present study, also incorporating retropharyngeal lymph node mea- surements, we found MRI-derived BDMprn could also predict overall survival as well as metastasis free survival in NPC patients. Conclusion h l We have validated bidimensional measurement of pri- mary tumor and retropharyngeal nodes in a different cohort of NPC with pretreatment staging by MRI. BDMprn, derived by MRI, is closely related to survival rates and metastatic rates of NPC patients. BDMprn can stratify patients into two different prognostic groups with significantly different overall survival. Nasopharyn- geal carcinoma patients with large bidimensional In our study, we found that we could use BDMprn to categorize patients into low- and high-risk groups. This distinction would facilitate treatment decisions, as it would spare low-risk NPC patients from receiving aggressive treatment. Although NPC is markedly Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 Page 6 of 7 Figure 2 Survival curves. (A)Probability of overall survival rates by small versus large BDMprn. (B) Probability of distant metastasis-free survival rates by BDMprn. Figure 2 Survival curves. (A)Probability of overall survival rates by small versus large BDMprn. (B) Probability of distant metastasis-free survival rates by BDMprn. urves. (A)Probability of overall survival rates by small versus large BDMprn. (B) Probability of distant metastasis-free surviva Figure 2 Survival curves. (A)Probability of overall survival rates by small versus large BDMprn. (B) Probability of distant metastasis-free survival rates by BDMprn. Page 7 of 7 Chang et al. Radiation Oncology 2010, 5:72 http://www.ro-journal.com/content/5/1/72 11. Therasse P, Arbuck SG, Eisenhauer EA, Wanders J, Kaplan RS, Rubinstein L, Verweij J, Van Glabbeke M, van Oosterom AT, Christian MC, Gwyther SG: New guidelines to evaluate the response to treatment in solid tumors. European Organization for Research and Treatment of Cancer, National Cancer Institute of the United States, National Cancer Institute of Canada. J Natl Cancer Inst 2000, 92:205-216. measurement have poor survival rates and high metasta- sis potential. BDMprn might be used in the future for the design of clinical trials, the prediction of survival, and treatment decisions. Canada. J Natl Cancer Inst 2000, 92:205-216. 12. Lee CC, Ho HC, Su YC, Lee MS, Hsiao SH, Hwang JH, Hung SK, Chou P: Bidimensional measurement of nasopharyngeal carcinoma: a simple method to predict outcomes. Clin Otolaryngol 2009, 34:26-33. Received: 11 June 2010 Accepted: 16 August 2010 Published: 16 August 2010 21. Wang XS, Hu CS, Ying HM, Zhou ZR, Ding JH, Feng Y: Patterns of retropharyngeal node metastasis in nasopharyngeal carcinoma. Int J Radiat Oncol Biol Phys 2009, 73:194-201. y 22. Perez CA, Devineni VR, Marcial-Vega V, Marks JE, Simpson JR, Kucik N: Carcinoma of the nasopharynx: factors affecting prognosis. Int J Radiat Oncol Biol Phys 1992, 23:271-280. Authors’ contributions 18. King AD, Zee B, Yuen EH, Leung SF, Yeung DK, Ma BB, Wong JK, Kam MK, Ahuja AT, Chan AT: Nasopharyngeal cancers: which method should be used to measure these irregularly shaped tumors on cross-sectional imaging? Int J Radiat Oncol Biol Phys 2007, 69:148-154. TSC and CCL designed the study, collected the data, interpreted the results of the study, and oversaw the project completion. STC, YYH, KPC and CCC participated in preparing of data acquisition. TSC and CCL performed the statistical analysis and drafted the manuscript. All authors contributed to the scientific setup of the study and revised the manuscript critically, and they have approved the final version of the manuscript. 19. Shen C, Lu JJ, Gu Y, Zhu G, Hu C, He S: Prognostic impact of primary tumor volume in patients with nasopharyngeal carcinoma treated by definitive radiation therapy. Laryngoscope 2008, 118:1206-1210. 20. Tang L, Li L, Mao Y, Liu L, Liang S, Chen Y, Sun Y, Liao X, Tian L, Lin A, et al: Retropharyngeal lymph node metastasis in nasopharyngeal carcinoma detected by magnetic resonance imaging: prognostic value and staging categories. Cancer 2008, 113:347-354. Author details 1D f 16. Watarai J, Seino Y, Kobayashi M, Shindo M, Kato T: CT of retropharyngeal lymph node metastasis from maxillary carcinoma. Acta Radiol 1993, 34:492-495. 1Department of Otolaryngology, Kaohsiung Veterans General Hospital, Kaohsiung, Taiwan. 2Department of Otolaryngology, Buddhist Tzu Chi Dalin General Hospital, Chiayi County 622, Taiwan. 3School of Medicine, Tzu Chi University, Hualian, Taiwan. 17. King AD, Ahuja AT, Leung SF, Lam WW, Teo P, Chan YL, Metreweli C: Neck node metastases from nasopharyngeal carcinoma: MR imaging of patterns of disease. Head Neck 2000, 22:275-281. Additional material 13. Chung NN, Ting LL, Hsu WC, Lui LT, Wang PM: Impact of magnetic resonance imaging versus CT on nasopharyngeal carcinoma: primary tumor target delineation for radiotherapy. Head Neck 2004, 26:241-246. 14 AJCC t i h db k N Y k S i 2002 Additional file 1: Table S1. Validity of BDMprn using death, distant metastasis or any recurrence as the standard. 14. AJCC cancer staging handbook New York: Springer 2002. 15. Ichimura K: Can Rouviere’s lymph nodes in non-malignant subjects be identified with MRI? 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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 y g pp 7. 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Annotating the Pandemic: Named Entity Recognition and Normalisation in COVID-19 Literature
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Annotating the Pandemic: Named Entity Recognition and Normalisation in COVID-19 Literature Fabio Rinaldi‡ fabio@idsia.ch Nico Colic∗ colic@ifi.uzh.ch Lenz Furrer† furrer@cl.uzh.ch Abstract et al., 2020), or Novel Coronavirus Research Com- pendium (NCRC)2, which contains 800 publica- tions selected manually for their originality and quality. The COVID-19 pandemic has been accompa- nied by such an explosive increase in media coverage and scientific publications that re- searchers find it difficult to keep up. In this publication, we are processing the articles of the LitCovid dataset, which at the time of writing contains almost 50 000 publications related the 2020 COVID-19 pandemic only, showing growth at a steady rate since its beginning. We are presenting a publicly available pipeline to perform named entity recognition and nor- malisation in parallel to help find relevant pub- lications and to aid in downstream NLP tasks such as text summarisation. In our approach, we are using a dictionary-based system for its high recall in conjunction with two models based on BioBERT for their accuracy. Their outputs are combined according to different strategies depending on the entity type. In ad- dition, we are using a manually crafted dictio- nary to increase performance for new concepts related to COVID-19. 2020-02 2020-03 2020-04 2020-05 2020-06 date 0 100 200 300 400 articles Figure 1: Publications per day included in LitCovid We have previously evaluated our work on the CRAFT corpus, and make the output of our pipeline available on two visualisation plat- forms. Figure 1: Publications per day included in LitCovid 2ncrc.jhsph.edu/ ‡Dalle Molle Institute for Artificial Intelligence Research (IDSIA); Swiss Institute of Bioinformatics; University of Zurich, Department of Computational Linguistics ∗University of Zurich, Department of Computational Linguistics † University of Zurich, Department of Computational Linguistics ‡Dalle Molle Institute for Artificial Intelligence Research (IDSIA); Swiss Institute of Bioinformatics; University of Zurich, Department of Computational Linguistics 1semanticscholar.org/cord19 1 Introduction The body of scientific literature is growing at an unprecedented rate, and this is particularly evident in the response of the biomedical research com- munity to the 2020 COVID-19 pandemic. Sev- eral platforms have been established to track pub- lications related to COVID-19, most prominently the COVID-19 Open Research Dataset (CORD- 19)1, a collaboration of the US Government and multiple other organisations, the LitCovid dataset, maintained by the NIH, which indexes papers pub- lished on PubMed related to the pandemic (Chen The flurry of news and public discussions about the pandemic, which includes a substantial amount of fake news, has been termed “infodemic”. How- ever, the term could be applied also to the rapid growth of reports and publications pertaining the disease (see Figure 1). Interestingly, this growth pattern seems to resemble that of the spread of the disease in western countries (with a delay of one to two months). While the growth is not exponential as it has oc- casionally been reported, it is still far beyond what virologists and medical scientists can manually pro- cess. This is an exacerbation of a general problem in biomedical research, where researchers cannot keep up with the growth of literature that pertains to their research, and need to resort to named en- ∗University of Zurich, Department of Computational Linguistics † University of Zurich, Department of Computational Linguistics ‡Dalle Molle Institute for Artificial Intelligence Research (IDSIA); Swiss Institute of Bioinformatics; University of Zurich, Department of Computational Linguistics tity recognition (NER), named entity normalisa- tion (NEN) and text summarisation technologies to identify relevant publications (Lu, 2011). In this vein, it has been suggested to approach NER and NEN simultaneously (ter Horst et al., 2017; Lou et al., 2017), which is similar to the approach that we follow. In NER, entities of interest are identified as text spans in free text; and then, in NEN, mapped to unique IDs in a controlled vocabulary. They consti- tute a fundamental step for other down-stream text processing tasks, on one hand; but are also a means to its own end, allowing publications to be indexed by the entities they contain, on the other hand. The authors of the LitCovid data set, which we process in the present work, also perform NER and NEN on the dataset using PubTator (Wei et al., 2019). 3 Pipeline In our approach, we build on our previous efforts where we use a parallel architecture to perform NER and NEN simultaneously (Furrer et al., 2019a, 2020). Traditionally, NER and NEN are performed after each other, which means that spans of men- tions of entities are identified first, and then mapped to the corresponding entry in a controlled vocabu- lary. This approach has the drawback that errors made in the first step are irrecoverably propagated to the second stage. The response of the text mining community to the pandemic and such shared tasks has been enormous, producing a wide array of webservices, machine learning models and databases; usually adapting existing frameworks to suit the pandemic. Wang et al. (2020c), for example, are retraining SciSpacy on the CORD-19 corpus to improve its NER performance. In our approach, however, we perform those two steps simultaneously, and were able to show that it outperforms the traditional approach (Furrer et al., 2019a). We are using BioBERT, a pre-trained lan- guage model, which we trained on the CRAFT corpus, a collection of nearly 100 full-text medical articles manually annotated for 10 different medi- cal entity types. We have evaluated our approach using the CRAFT corpus, and obtained F1-scores between 0.74 and 0.92 depending on the entity type. Some research has already been directed at downstream tasks, using a simple dictionary-based NER method as a base to perform entity relation extraction (Rao et al., 2020; Wang et al., 2020b), to create a knowledge base (Khan et al., 2020) or for summarisation systems (Gutierrez et al., 2020; Kieuvongngam et al., 2020). To improve our results on COVID-19 literature, we are adding an additional step of post-annotating our results using a manually crafted dictionary spe- cific to COVID-19. The problem of NER and NEN in the biomed- ical domain, generally, has traditionally been ap- proached with pipelines, using rules or dictionar- ies (Campos et al., 2013; D’Souza and Ng, 2015). More recently, however, machine learning using various architectures such as LSTMs or CRFs have become more popular (Leaman et al., 2013; Habibi et al., 2017). 2 Related Work In March 2020, the US White House collaborated with the National Library of Medicine, the Allen Institue for Artificial Intelligence and other private companies to create the CORD-19 corpus (Wang et al., 2020a), and with it a set of 18 challenges such as What do we know about COVID-19 risk factors? for data scientists to participate in, hosted on Kaggle3. 1 Introduction In their work, they annotate for 6 en- tity types (genes, diseases, chemicals, mutations, species and cells) and use a different architecture for every single type. For example, they use a linear classifier for annotating diseases (Leaman and Lu, 2016), and a BERT-based transformer for finding chemicals. This differs fundamentally from our approach, where we employ the same architecture for all entity types. Furthermore, apart from the NCBI Taxonomy, we are using different controlled vocabularies for entity normalisation for all types. In previous research, we have shown that we can obtain better results by performing NER and NEN in parallel rather than sequentially, avoiding propagation of errors between the steps. We are building on this previous research and add a further processing step to find terms specific to COVID-19. 3bit.ly/384VgBQ (NCBITaxon). Additionaly, we employ a manually curated, COVID-19 specific terminology4 containing over 250 terms. This is derived from the COVoc5 vocab- ulary, developed by members of the Swiss Institute of Bioinformatics. We are using these ontologies because we were able to test our performance us- ing the CRAFT corpus, and because they provide extensive coverage over the biomedical domain (Cohen et al., 2017). 3.3 BioBERT BERT is a multi-layer transformer trained on the English Wikipedia and BookCorpus (Devlin et al., 2018). While it is trained to predict whether a sen- tence follows another and randomly blacked out words, the resulting language model can be fine- tuned for different tasks, such as NER (Hakala and Pyysalo, 2019) and NEN, or adapted for different domains through further training. BioBERT is the result of training BERT on PubMed articles, mak- ing it useful for biomedical applications (Lee et al., 2020; Sun and Yang, 2019). The outputs are then merged for all entity types, and converted to various formats. 3.1 Vocabularies The dataset is annotated for entities coming from 10 different ontologies as they are used in the CRAFT corpus, such as Chemical Entities of Bio- logical Interest (CHEBI) or the NCBI Taxonomy Figure 2: Overall structure of the pipeline and an ID prediction model. The span predictor produces IOBES labels, and is used in conjunction with OGER to provide ID labels. The ID predictor also conceptualises NEN as a sequence tagging problem and works like a classical NER model, but with the output tagset extended to cover all possible concept labels. The ID predictor thus predicts spans and IDs di- rectly, making the use of other models theoretically superfluous. However, it suffers from the fact that it cannot predict concepts not seen during train- ing and that it does not perform well for tokens that occur both in general domain language and in biomedical entities (such as I in hexokinase I). By using the span prediction model in conjunction with OGER, too, we alleviate these shortcomings. Figure 2: Overall structure of the pipeline 4bit.ly/3jJxhgJ 5github.com/EBISPOT/covoc/ 3.2 OGER OGER is a dictionary-based look-up tool using an efficient fuzzy matching algorithm (Furrer et al., 2019b). Relying on a dictionary mapping relevant entities to their ID, its performance depends on the dictionary’s quality and extent, which manually or automatically curated ontologies such as CHEBI provide. It thus requires no training, and can detect entities that an example-based system would miss if they are not present in the training data, provided they are present in the dictionary. In a last step, we run OGER again to produce an additional layer of annotations for terms specific to COVID-19 using the COVoc vocabulary. In this way we hope to be able to maintain the accuracy of our models for the established vocabularies, while allowing for rapid changes to be made to the set of entities specific to the pandemic without having to retrain the BioBERT modules. • PubAnnotation and EuroPMC 3.4 Harmonising, annotating for COVID-19, merging For conflicting or overlapping annotations between the BioBERT span and ID classifiers as well as OGER, we were able to show in our previous work that the optimal merging strategy depends on the entity type in question (Furrer et al., 2020). In this step, we take these findings into account when de- ciding which system’s output to prioritise for the fi- nal output. If a span prediction is given preference, the ID label as produced by OGER as described in Section 3.3 is used. 4 Results So far, with our pipeline we have processed over 33 000 abstracts from PubMed and 7883 full-text articles from PMC, with a total amount of over 400 000 and 900 000 annotations, respectively (see Table 1). With our pipeline, we are able to continuously process new articles that are added to the LitCovid dataset, and distribute our annotations in the fol- lowing ways: We have used BioBERT and trained it further on the CRAFT corpus to build a span wprediction Figure 3: Annotations visualised by PubAnnotation’s TextAE. vocabulary PM abstracts PMC articles CoVoc 165668 261287 UBERON 79899 204355 NCBITaxon 67278 147524 GO BP 34510 84604 CHEBI 30720 99673 PR 12319 48471 GO CC 7656 28738 CL 7332 28849 SO 6801 25017 MOP 449 2559 GO MF 73 260 total 412 705 931 337 Table 1: Annotations per vocabulary for PubMed and PMC Figure 3: Annotations visualised by PubAnnotation’s TextAE. 5 Evaluation Given the recency of the pandemic, there is cur- rently a lack of resources that allow evaluation of work on the COVID-19 literature. Without a gold standard we cannot offer a true evaluation. We hope to be able to test the efficacy of our own work in the future when such resources become available. Table 1: Annotations per vocabulary for PubMed and PMC 4.2 BRAT On our own infrastructure10, we host an instance of BRAT, which visualises annotations in a similar fashion as PubAnnotation (Stenetorp et al., 2012). • Our own webservice using BRAT • Our own webservice using BRAT • Freely downloadable files Tools that automatically process literature related COVID-19 generally fall into two broad categories: Systems that follow some sort of text summarisa- tion approach, and NER+NEN systems. The OGER annotations can be obtained through an API6. The code to run the pipeline7, its outputs8 as well as the CRAFT-trained BioBERT models9 are publicly available, and with some effort could be modified using OGER’s format conversion to process other dataset such as CORD-19. Much attention has been directed at previously mentioned Kaggle challenge, for which over 1500 solutions have been submitted, ranging from statis- tical data exploration to a full clustering of the lit- erature. One of the top submissions12, for example, attempts to identify risk factors of COVID-19 by applying unsupervised topic modeling algorithms. Such approaches are very common among the sub- missions, but suffer from a high number of false positives. 4.1 Online Repositories PubAnnotation is an online repository for annota- tions on PubMed articles, (Kim et al., 2015, 2019), which also features the annotation visualisation en- gine TextAE (see Figure 3). Europe PMC is a repository of publications akin to PubMed, but also allows display of annotations (Consortium, 2015). We uploaded our annotations to both services. Similarly, platforms that allow browsing corpora of COVID-19 papers such as COVIDScholar13 and the BERT-driven COVID-19 Research Explorer14 rely on word embeddings and other unsupervised algorithms to find matching publications or even passages in publications. For the latter, the authors attempt to go beyond traditional document retrieval, and employ an automatically generated corpus to fuel their question answering learning (Ma et al., 2020). However, such approaches lack the preci- sion typical NER+NEN-driven approaches offer, and don’t perform particularly well at matching entity synonyms due to their representation as high- recall word vectors rather than precisely matched entities. 6bit.ly/2Vrbekw 7github.com/Aequivinius/covid 8bit.ly/3eMylOq 9doi.org/10.5281/zenodo.3822363 10bit.ly/3eITn0o 11bit.ly/386BbuN References David Campos, S´ergio Matos, and Jos´e Lu´ıs Oliveira. 2013. A modular framework for biomedical concept recognition. BMC bioinformatics, 14(1):1–21. Hendrik ter Horst, Matthias Hartung, and Philipp Cimi- ano. 2017. Joint entity recognition and linking in technical domains using undirected probabilistic graphical models. In International Conference on Language, Data and Knowledge, pages 166–180. Springer. Q. Chen, A. Allot, and Z. Lu. 2020. Keep up with the latest coronavirus research. Nature, 579(7798):193. K Bretonnel Cohen, Karin Verspoor, Kar¨en Fort, Christopher Funk, Michael Bada, Martha Palmer, and Lawrence E Hunter. 2017. The Colorado Richly Annotated Full Text (CRAFT) corpus: Multi-model annotation in the biomedical domain. In Hand- book of Linguistic Annotation, pages 1379–1394. Springer. Junaed Younus Khan, Md Khondaker, Tawkat Is- lam, Iram Tazim Hoque, Hamada Al-Absi, Moham- mad Saifur Rahman, Tanvir Alam, and M Sohel Rah- man. 2020. Covid-19base: A knowledgebase to ex- plore biomedical entities related to covid-19. arXiv preprint arXiv:2005.05954. Europe PMC Consortium. 2015. Europe pmc: a full- text literature database for the life sciences and platform for innovation. Nucleic acids research, 43(D1):D1042–D1048. Virapat Kieuvongngam, Bowen Tan, and Yiming Niu. 2020. Automatic text summarization of covid-19 medical research articles using bert and gpt-2. arXiv preprint arXiv:2006.01997. Jacob Devlin, Ming-Wei Chang, Kenton Lee, and Kristina Toutanova. 2018. BERT: pre-training of deep bidirectional transformers for language under- standing. arXiv preprint arXiv:1810.04805. Jin-Dong Kim, Kevin Bretonnel Cohen, and Jung-jae Kim. 2015. Pubannotation-query: a search tool for corpora with multi-layers of annotation. In BMC Proceedings, volume 9, pages 1–3. BioMed Central. Jennifer D’Souza and Vincent Ng. 2015. Sieve-based entity linking for the biomedical domain. In Pro- ceedings of the 53rd Annual Meeting of the Associa- tion for Computational Linguistics and the 7th Inter- national Joint Conference on Natural Language Pro- cessing (Volume 2: Short Papers), pages 297–302. Jin-Dong Kim, Yue Wang, Toyofumi Fujiwara, Shu- jiro Okuda, Tiffany J Callahan, and K Bretonnel Co- hen. 2019. Open agile text mining for bioinformat- ics: the PubAnnotation ecosystem. Bioinformatics, 35(21):4372–4380. Lenz Furrer, Joseph Cornelius, and Fabio Rinaldi. 2019a. UZH@CRAFT-ST: a sequence-labeling ap- proach to concept recognition. In Proceedings of The 5th Workshop on BioNLP Open Shared Tasks, pages 185–195. Robert Leaman, Rezarta Islamaj Do˘gan, and Zhiy- ong Lu. 2013. Dnorm: disease name normaliza- tion with pairwise learning to rank. Bioinformatics, 29(22):2909–2917. Robert Leaman and Zhiyong Lu. 2016. Tag- gerOne: joint named entity recognition and normal- ization with semi-Markov models. Bioinformatics, 32(18):2839–2846. 4.3 Downloads To further facilitate down-stream tasks, we provide our annotations in the most frequently used anno- tation formats11: .txt, CoNLL .tsv and BioC .json. 6bit.ly/2Vrbekw 7github.com/Aequivinius/covid 8bit.ly/3eMylOq 9doi.org/10.5281/zenodo.3822363 10bit.ly/3eITn0o 11bit.ly/386BbuN For example, both applications yield different 12bit.ly/2VkN6QP 13covidscholar.org/ 14bit.ly/3fWNOLG Maryam Habibi, Leon Weber, Mariana Neves, David Luis Wiegandt, and Ulf Leser. 2017. Deep learning with word embeddings improves biomed- ical named entity recognition. Bioinformatics, 33(14):i37–i48. results for either Angiotensin converting enzyme 2 or ACE2, even though the terms are equivalent (and link to the same entry in the Protein Ontology). Repositories that perform controlled vocabulary NEN such as KnetMiner, for example, avoid this error (Hassani-Pak et al., 2020). Kai Hakala and Sampo Pyysalo. 2019. Biomedical named entity recognition with multilingual BERT. In Proceedings of The 5th Workshop on BioNLP Open Shared Tasks, pages 56–61, Hong Kong, China. Association for Computational Linguistics. Services exploring the scientific literature still fall in either of the two camps, and thus fail to ex- ploit the high precision benefits NER+NEN offers and the variety of applications text summarisation approaches afford simultaneously. Keywan Hassani-Pak, Ajit Singh, Marco Brandizi, Joseph Hearnshaw, Sandeep Amberkar, Andrew L Phillips, John H Doonan, and Chris Rawlings. 2020. KnetMiner: a comprehensive approach for support- ing evidence-based gene discovery and complex trait analysis across species. bioRxiv. References Lenz Furrer, Joseph Cornelius, and Fabio Rinaldi. 2020. Parallel sequence tagging for concept recognition. arXiv preprint arXiv:2003.07424. Lenz Furrer, Anna Jancso, Nicola Colic, and Fabio Ri- naldi. 2019b. OGER++: hybrid multi-type entity recognition. Journal of Cheminformatics, 11(1):7. Jinhyuk Lee, Wonjin Yoon, Sungdong Kim, Donghyeon Kim, Sunkyu Kim, Chan Ho So, and Jaewoo Kang. 2020. BioBERT: a pre- trained biomedical language representation model for biomedical text mining. Bioinformatics, 36(4):1234–1240. Bernal Jimenez Gutierrez, Juncheng Zeng, Dongdong Zhang, Ping Zhang, and Yu Su. 2020. Document classification for covid-19 literature. Yinxia Lou, Yue Zhang, Tao Qian, Fei Li, Shufeng Xiong, and Donghong Ji. 2017. A transition-based joint model for disease named entity recognition and normalization. Bioinformatics, 33(15):2363–2371. Zhiyong Lu. 2011. Pubmed and beyond: a survey of web tools for searching biomedical literature. Database, 2011. Ji Ma, Ivan Korotkov, Yinfei Yang, Keith Hall, and Ryan McDonald. 2020. Zero-shot neural re- trieval via domain-targeted synthetic query genera- tion. arXiv preprint arXiv:2004.14503. Aditya Rao, VG Saipradeep, Thomas Joseph, Sujatha Kotte, Naveen Sivadasan, and Rajgopal Srinivasan. 2020. Text and network-mining for covid-19 inter- vention studies. Pontus Stenetorp, Sampo Pyysalo, Goran Topi´c, Tomoko Ohta, Sophia Ananiadou, and Jun’ichi Tsu- jii. 2012. BRAT: a web-based tool for NLP-assisted text annotation. In Proceedings of the Demonstra- tions at the 13th Conference of the European Chap- ter of the Association for Computational Linguistics, pages 102–107. Cong Sun and Zhihao Yang. 2019. Transfer learning in biomedical named entity recognition: An evaluation of BERT in the PharmaCoNER task. In Proceedings of The 5th Workshop on BioNLP Open Shared Tasks, pages 100–104, Hong Kong, China. Association for Computational Linguistics. Lucy Lu Wang, Kyle Lo, Yoganand Chandrasekhar, Russell Reas, Jiangjiang Yang, Darrin Eide, Kathryn Funk, Rodney Kinney, Ziyang Liu, William Merrill, et al. 2020a. CORD-19: the Covid-19 open research dataset. ArXiv. 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A fluorenylidene-acridane that becomes dark in color upon grinding – ground state mechanochromism by conformational change
Chemical science
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aDepartment of Chemistry, School of Science, The University of Tokyo, 7-3-1 Hongo, Bunkyo-ku, Tokyo 113-0033, Japan bDepartment of Mechanical Engineering, School of Engineering, The University of Tokyo, 7-3-1 Hongo, Bunkyo-ku, Tokyo 113-8565, Japan. E-mail: matsuo@photon.t. u-tokyo.ac.jp cGeochemical Research Center, Graduate School of Science, The University of Tokyo, 7- 3-1 Hongo, Bunkyo-ku, Tokyo 113-0033, Japan dHefei National Laboratory for Physical Science at the Microscale, University of Science and Technology of China, Hefei, Anhui 230026, China † Electronic supplementary information (ESI) available: X-ray crystallographic data for 5 and 6a, UV-vis light absorption spectra for 6b and c, uorescence and IR spectra for 6a, theoretical calculation data (HOMO and LUMO and light absorption) for FAs, thermal analysis data for 6a–d, powder X-ray diffraction data for 6a–d, high-pressure X-ray single crystal analysis data (4.6–3.9 GPa) for 6a, cyclic voltammetry for 6a and d, and carrier transport measurement data for 6a and d. CCDC 1457735–1457738. For ESI and crystallographic data in CIF or other electronic format see DOI: 10.1039/c7sc03567e A fluorenylidene-acridane that becomes dark in color upon grinding – ground state mechanochromism by conformational change† Cite this: Chem. Sci., 2018, 9, 475 We report mechanochromic color change controlled by conformational change (between folded and twisted conformers) of fluorenylidene-acridanes (FAs). FAs with four N-alkyl groups (methyl, ethyl, n- butyl and n-octyl) were synthesized via the Barton–Kellogg reaction of diazofluorene and electrophilic N-tert-butoxy carbonyl thioacridone, deprotection of the tert-butoxy carbonyl group gives fluorenylacridine, and alkylation on the nitrogen atom is done using alkyl tosylate or triflate. FAs were characterized by NMR, UV-vis absorption and photoluminescence spectroscopy, theoretical calculation, cyclic voltammetry, and powder and single-crystal X-ray analyses. The color and folded/twisted conformation of the FAs were changed by the choice of substituent on the nitrogen atom, physical state (solution or solid), and morphology (crystalline or amorphous). Grinding of N-methyl FA solids, using an agate mortar, caused the morphology to change from a crystalline to amorphous state, which induced a conformational change from the folded to the twisted conformer, and a mechanochromic color change from yellow to dark green. The reverse color change, along with a morphological and conformational change to the folded conformer, was performed by solvent vapor exposure (chloroform). The twisted and folded conformers showed ambipolar (hole/electron) and hole-only transport properties, respectively. Received 15th August 2017 Accepted 24th October 2017 DOI: 10.1039/c7sc03567e rsc.li/chemical-science Received 15th August 2017 Accepted 24th October 2017 Received 15th August 2017 Accepted 24th October 2017 properties.5–14 Much of the mechanochromic behavior is gener- ally induced by a change in the intermolecular p–p stacking structures through crystalline/amorphous morphological change7–12 and bond formation/cleavage.1,13,14 Compared with these typical examples, there are fewer examples of mechano- chromism induced by molecular conformational change. One related example could be tetraphenylethene derivatives showing mechanochromic behavior controlled by changing the dihedral angles among the aromatic groups in the molecules.15,16 This journal is © The Royal Society of Chemistry 2018 Chem. Sci., 2018, 9, 475–482 | 475 Open Access Article. Published on 14 November 2017. Downloaded on 26/03/2018 11:23:45. This article is licensed under a Creative Commons Attribution 3.0 Unported Licence Fig. 1 Fluorenylidene-acridanes (FAs) with folded and twisted conformers. The two conformers are in equilibrium in solution. Substituents can be installed on the nitrogen atom of FA to modify its aggregated structure in the solid state. This ability to exploit substituents with ease is a notable difference from typical BAE compounds, such as the oxygen analogue of FA, uorenylidene-xanthone.20,27–30 We also investigated the carrier transport properties of both isomers in addition to the mechanochromism, to understand the potential mechanical/ optical/electronic input/output relationship of this compound. Fig. 2 Synthesis of FAs. (a) Barton–Kellogg reaction giving fluo- renylacridine. (b) Installation of alkyl chains giving FA derivatives. Conditions: MeOTs, K2CO3, MeCN, reflux, 15 h (6a), EtOTf, K2CO3, CH2Cl2, rt, 15 h (6b), BuOTf, K2CO3, CH2Cl2, rt, 15 h (6c), and (i) OctylOH, TfOTf, EtOTs, K2CO3, o-dichlorobenzene, 0 C, 3 h, (ii) 5, 50 C, 17 h (6d). (c) Equilibrium between 5 and an acridinium salt (6aH+I–) in the methylation reaction. Fig. 2 Synthesis of FAs. (a) Barton–Kellogg reaction giving fluo- renylacridine. (b) Installation of alkyl chains giving FA derivatives. Conditions: MeOTs, K2CO3, MeCN, reflux, 15 h (6a), EtOTf, K2CO3, CH2Cl2, rt, 15 h (6b), BuOTf, K2CO3, CH2Cl2, rt, 15 h (6c), and (i) OctylOH, TfOTf, EtOTs, K2CO3, o-dichlorobenzene, 0 C, 3 h, (ii) 5, 50 C, 17 h (6d). (c) Equilibrium between 5 and an acridinium salt (6aH+I–) in the methylation reaction. 476 | Chem. Sci., 2018, 9, 475–482 Synthesis and structural characterization of FAs FAs were synthesized from thioacridone and diazouorene; the Barton–Kellogg reaction was a key step in the synthesis. We introduced an electron-withdrawing t-butoxy carbonyl (Boc) group to thioacridone to enhance the electrophilicity of this substrate. N-Boc-thioacridone (2) successfully reacted with diazouorene (1) to form thiirane compound 3 (Fig. 2a). Addi- tion of triphenylphosphine removed the bridging sulfur atom, and the resulting compound 4 was deprotected by triuoro- acetic acid. Upon deprotection, the hydrogen atom on the nitrogen atom instantly rearranged to form an acridine moiety, giving uorenylacridine (5). The rearranged proton was observed at 6.45 ppm in the 1H NMR spectrum, together with eight asymmetric proton peaks corresponding to the acridine moiety, indicating the slow rotation of the acridine moiety on the NMR timescale. The structure of 5 was conrmed by X-ray crystallographic analysis (Fig. 3 and S1†). Fig. 3 Crystal structures of fluorenylacridine (5) and fluorenylidene- acridane (6a). (a) Front view of 5. (b) View from the top of 5. (c) Front view of 6a. (d) A folded structure with a view from the bottom of 6a. Fluorenylacridine (5) was used as a precursor to prepare FAs with several different N-alkyl chain lengths (Fig. 2b). The treatment of 5 with methyl iodide and quenching with NaOH produced N-methyl FA (6a). In this reaction, 5 was not completely consumed even in the presence of excess methyl iodide. This result suggested that 5 was in equilibrium with an acridinium salt (6aH+I–)(Fig. 2c). The reverse reaction was sup- pressed by using potassium carbonate as a base. When meth- yltosylate was used for the methylation instead of methyl iodide, the yield improved to 88%. To obtain FAs with longer alkyl chains (6b–d), the use of alkyl triates was required because alkyl tosylates were insufficiently electrophilic. The FAs were roughly puried by alumina column chromatography, and then further puried by sublimation under reduced pressure to remove all solvent and trace impurities. FAs were characterized Fig. 3 Crystal structures of fluorenylacridine (5) and fluorenylidene- acridane (6a). (a) Front view of 5. (b) View from the top of 5. (c) Front view of 6a. (d) A folded structure with a view from the bottom of 6a. by 1H NMR, 13C NMR, mass spectrometry, elemental analysis, UV-vis absorption spectroscopy, and X-ray diffraction (XRD) analysis. by 1H NMR, 13C NMR, mass spectrometry, elemental analysis, UV-vis absorption spectroscopy, and X-ray diffraction (XRD) analysis. Introduction Controlling the optoelectronic properties of organic molecules using external stimuli has received increasing attention from the materials chemistry community and industry owing to their imaging, sensing and memory applications.1–4 Among such chromic materials, mechanochromic and mechano- uorochromic compounds have received special attention, in regard to converting macroscopic stress into changing molecular Overcrowded alkenes, bis(tricyclic) aromatic enes (BAEs), which were reported over 100 years ago,17–20 show a clear conformational change. Because of steric effects around the central double bond, BAEs possess two conformational isomers, the folded and twisted conformers (Fig. 1). The extent of the p- electron conjugated system differs between these conformers, leading to color changes. Although the photochromism and thermochromism of BAEs have been well demonstrated,20–22 their mechanochromism has been seldom investigated so far.18,23 In addition, little attention has been paid to the carrier transport properties of chromic compounds.4,11,15,24–26 In this work, we report uorenylidene-acridanes (FAs), a sort of BAE derivative that show color changes that are governed by a folded/twisted conformational change, derived from morphological change caused by mechanical stimulus. FA is composed of uorene and acridane linked by a double bond. This journal is © The Royal Society of Chemistry 2018 Chem. Sci., 2018, 9, 475–482 | 475 View Article Online Chemical Science Edge Article Edge Article Fig. 2 Synthesis of FAs. (a) Barton–Kellogg reaction giving fluo- renylacridine. (b) Installation of alkyl chains giving FA derivatives. Conditions: MeOTs, K2CO3, MeCN, reflux, 15 h (6a), EtOTf, K2CO3, CH2Cl2, rt, 15 h (6b), BuOTf, K2CO3, CH2Cl2, rt, 15 h (6c), and (i) OctylOH, TfOTf, EtOTs, K2CO3, o-dichlorobenzene, 0 C, 3 h, (ii) 5, 50 C, 17 h (6d). (c) Equilibrium between 5 and an acridinium salt (6aH+I–) in the methylation reaction. Fig. 1 Fluorenylidene-acridanes (FAs) with folded and twisted conformers. The two conformers are in equilibrium in solution. Spectroscopic appearance and morphology of FAs Compound 6a formed yellow crystalline solids, but showed a green color in the solution state. In the light absorption spectra, 6a showed absorption maxima at 420 and 680 nm in dichloro- methane (Fig. 4a, red line). We assigned the shorter and longer wavelength absorptions to the folded and twisted conformers in solution, respectively, because a yellow solid of 6a showing a short wavelength absorption (Fig. 4b, red line) was character- ized as the folded conformer by the single-crystal XRD study. We conducted density functional theory (DFT) calculations consid- ering solvent effects with the polarizable continuum model, and found that the folded conformer of 6a has a slightly lower Gibbs energy, meaning that it is slightly more stable than the twisted conformer (Table S5†). In addition, time-dependent DFT calcu- lations indicated that the folded conformer has a maximum light absorption at 431 nm and a shorter wavelength than that of the twisted conformer (625 nm) (Table S6 and Fig. S6†). These experimental and computational results suggested that the solution of 6a contained both the conformers in solution. For a related compound, uorenylidene-xanthone, the light absorp- tion spectra of both the twisted and folded conformers have been recorded by encapsulating the molecule in a self-assembled coordination cage.30 Very weak photoluminescence, with a maximum at 530 nm, was detected when a solution of 6a in dichlorobenzene was excited at a wavelength of 420 nm, while no emission was observed with excitation at 680 nm (Fig. S5a†). Aggregation-induced emission of 6a was also observed (Fig. S5b†). The uorescence quantum yield of a microcrystalline powder of 6a was 3%, while those of ground powders and solution phase samples were 1% and <1%, respectively. Regarding solid state samples of 6a, the emission intensity decreased aer grinding, and increased aer solvent vapor exposure (chloroform) (Fig. S5c†). The solid state emission of amorphous 6b could not be detected. Fig. 4 Light absorption spectra and powder XRD patterns of FAs (Red line, 6a; green line, 6d). (a) UV-vis absorption spectra in the solution state. The spectra of 6b and 6c (Fig. S4†) were similar to that of 6d. (b) UV-vis absorption spectra in the solid state. The solid films were prepared by spin-coating at 1000 rpm from PhCl solution (10 wt%). (c) The XRD patterns of reprecipitated powder samples. Synthesis and structural characterization of FAs This journal is © The Royal Society of Chemistry 2018 Fig. 4 Light absorption spectra and powder XRD patterns of FAs (Red line, 6a; green line, 6d). (a) UV-vis absorption spectra in the solution state. The spectra of 6b and 6c (Fig. S4†) were similar to that of 6d. (b) UV-vis absorption spectra in the solid state. The solid films were prepared by spin-coating at 1000 rpm from PhCl solution (10 wt%). (c) The XRD patterns of reprecipitated powder samples. Chemical Science View Article Online Chemical Science View Article Online This journal is © The Royal Society of Chemistry 2018 Edge Article Among the FA derivatives, 6a had exceptionally high crys- tallinity. It gave single crystals of one polymorph in polar dichloromethane/n-hexane solvent and another polymorph in nonpolar benzene/n-hexane solvent. These polymorphs were named polymorph 1 and polymorph 2, respectively. Both structures were determined by single-crystal XRD, revealing that both the polymorphs contained folded conformers with similar bond lengths and bond angles (Fig. 3, S2, S3 and Table S1–S4†). Hereaer the data for polymorph 1 are shown and discussed. Open Access Article. Published on 14 November 2017. Downloaded on 26/03/2018 11:23:45. This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. We assumed that the different colors of the thin lms are related to differences between the lm morphologies of 6a and 6b–d. According to powder XRD and differential scanning calo- rimetry measurements of powder samples of FAs, 6b–d exhibited broadened XRD peaks (Fig. 4c, green line; Fig. S10†) and a glass transition (Fig. S9†), whereas 6a had a sharp diffraction pattern (Fig. 4c, red line) and no glass transition. These data suggest that the 6a and 6b–d solids were in the crystalline and amorphous form, respectively. Notably, 6a and 6b had different crystallinity despite a small difference in the length of the N-alkyl substituent. The high crystallinity of 6a comes from the strong packing forces in the crystal and the predominance of the folded conformer in solution. On the other hand, the folded and twisted conformers of 6b–d are present in solution in a nearly 1 : 1 absorbance ratio, hindering the crystallization of the two conformers to give amorphous mixtures. In the DFT calculations, the length of the alkyl chain had only a small inuence on the HOMO and LUMO levels (Table S5†). This means that the differences in color arose from the steric effects of the chains rather than from alteration of the electronic structure. In particular, steric effects led to different stable conformations when the N-alkyl substituent was a methyl group and when it was a longer alkyl chain. Fig. 5 Mechanical-stimulus-driven conformation and color change of 6a, and its characterization. (a) UV-vis-NIR absorption spectra of 6a as a thin film on a quartz plate. The spectra for the as-cast film (red), ground film (blue), and film exposed to CHCl3 vapor (solvent anneal, black). Inset: photographs of powder samples of 6a in each state. (b) Grinding 6a to show ground state mechanochromism. (c) Schematic images of FA molecules in the solid phase. Fig. 5 Mechanical-stimulus-driven conformation and color change of 6a, and its characterization. (a) UV-vis-NIR absorption spectra of 6a as a thin film on a quartz plate. The spectra for the as-cast film (red), ground film (blue), and film exposed to CHCl3 vapor (solvent anneal, black). Inset: photographs of powder samples of 6a in each state. (b) Grinding 6a to show ground state mechanochromism. (c) Schematic images of FA molecules in the solid phase. Spectroscopic appearance and morphology of FAs The broad absorption band around 680 nm in solution was common to all the FAs, suggesting it results from the twisted form. By DFT analysis, the longer wavelength light absorption was assigned to the HOMO–LUMO transition of the twisted conformer. The folded conformer has a wider HOMO–LUMO gap, which can be explained by the p-conjugated system of the LUMO being disconnected at the central double bond (Fig. S7†). On the other hand, the twisted conformer has an efficiently conjugated p-system. According to electrostatic potential maps, the higher color contrast in the twisted conformer than in the folded conformer clearly indicates a greater bias in the charge distribution, suggesting a weak charge transfer ability in the twisted conformer (Fig. S8†). Compounds 6b–d showed different appearances compared to 6a. In the solution state, all the FAs (6a–d) had similar green colors but differences were evident in the UV-vis spectra, with 6b– d showing higher absorption intensity at 680 nm and lower intensity at 420 nm in comparison with 6a (Fig. 4a, green line). These differences between 6a and 6b–d in solution were also supported by the DFT analysis. Compound 6a favored the folded conformer, while 6b–d favored the twisted conformer, which had a slightly lower Gibbs energy than the folded conformer. Accord- ingly, we surmised that the differences in the light absorption spectra among the FAs were a result of the higher ratio of the twisted conformer in solution for 6b–d compared to 6a. This journal is © The Royal Society of Chemistry 2018 Chem. Sci., 2018, 9, 475–482 | 477 View Article Online 478 | Chem. Sci., 2018, 9, 475–482 This journal is © The Royal Society of Chemistry 2018 Chemical Science Edge Article Edge Article Fig. 5 Mechanical-stimulus-driven conformation and color change of 6a, and its characterization. (a) UV-vis-NIR absorption spectra of 6a as a thin film on a quartz plate. The spectra for the as-cast film (red), ground film (blue), and film exposed to CHCl3 vapor (solvent anneal, black). Inset: photographs of powder samples of 6a in each state. (b) Grinding 6a to show ground state mechanochromism. (c) Schematic images of FA molecules in the solid phase. The color difference was much more apparent in the solid state than in solution. In the case of 6a, yellow block crystals were regularly obtained, but 6b–d formed green solids. The UV- vis spectra of thin lms of 6a contained a peak at 440 nm without an absorption band in the longer wavelength region (Fig. 4b, red line). In contrast, a broad peak at 700 nm was common to thin lms of 6b–d (Fig. 4b, green line). Because of the similarities of the spectra, we assigned the peaks at 440 and 700 nm to the folded and twisted conformers also in solid state, respectively. Thus, the yellow 6a lm contained only the folded conformer, while the green 6b–d lms contained both the fol- ded and twisted conformers. Open Access Article. Published on 14 November 2017. Downloaded on 26/03/2018 11:23:45. This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. FAs 6a–d with different N-alkyl chain lengths were found to exhibit different colors in solution and in the solid state. We observed a large difference between the light absorption spectra of compound 6a and compounds 6b–d in solution. The exis- tence of a b-carbon in the N-alkyl substituent played a critical role in changing the equilibrium between the folded and twisted conformers even in the solution state. With ethyl, n- butyl and n-octyl substituents, the amount of twisted conformer increased. Furthermore, in the solid state, differences in the alkyl chain length induced differences in the crystallinity, which affected the ratio of the folded and twisted conformers. A clear difference in morphology was also observed between a methyl group and longer alkyl chains. Compound 6a was highly crys- talline, and contained the folded conformer in the crystalline form, which was characterized with X-ray crystallography. On the other hand, compounds 6b–d gave amorphous solids con- taining both the twisted and folded conformers. The carrier transport properties of thin lms of the FAs were evaluated by space charge limited current (SCLC) measure- ments. A few BAEs, such as uorenyl uorene as an electron acceptor, have been used in organic electronic devices.34–36 Compared with uorenylidene-xanthone, FAs have advantages for hole transport because of their electron-donating nitrogen- containing acridane substructure. Compounds 6a and 6d showed hole mobilities of 3.0  105 and 8.4  104 cm2 V1 s1, respectively, and compound 6d in particular additionally showed an electron mobility of 4.8  105 cm2 V1 s1 (Fig. 6 and S17†). Thin lms of 6a were crystalline as described above, and contained the folded conformer and showed only hole mobility. We failed to measure amorphous 6a because we could not grind 6a lms in the devices. As shown by DFT studies (Table S5†), the twisted conformer has higher HOMO and lower LUMO levels than the folded conformer. As a result, compound 6d has a LUMO level that is deep enough to allow electron mobility. Furthermore, the twisted structure appears to have the advantage of efficient overlap between the molecular orbitals of neighboring molecules. We expect that FAs and their analogues, that have extensive p-conjugated systems, can be applied to future mechanochromic/electronic devices by interchanging mechanical, optical and electronic information. By applying a mechanical stimulus to the solids or thin lms of FAs, 6a exhibited mechanochromic behavior by a transition between the crystalline and amorphous phases. Edge Article Edge Article Conformational change-based mechanochromism and carrier transport properties of FAs Compound 6a showed color switching behavior when it was ground in an agate mortar, changing from yellow to dark green (almost black appearance) (Fig. 5, also see a movie in ESI†). With crushing, the pale-colored crystals became dark green in color. This unique pale-to-dark color change is based on the conformational change of BAEs caused by grinding (Fig. 5b), compared to the colour change caused by hydrostatic pressure using anvils that has previously been discussed.31,32 The color change was reversed by exposure to chloroform vapor for 5 min. UV-vis absorption spectroscopy was used to monitor the color change (Fig. 5a). A broad peak at 700 nm appeared upon mechanical grinding and disappeared upon exposure to chlo- roform vapor (solvent anneal). From these results, we assumed that ground 6a had a solid phase similar to that of 6b–d, i.e. the amorphous phase. The color change was further explored by powder XRD (Fig. S11†). The as-prepared yellow solid of 6a gave a diffraction pattern that was the same as the one simulated from the single-crystal data. The green powder prepared by grinding gave a weak, broad diffraction pattern, indicating a mixture of amorphous and crystalline domains (Fig. 5c). Exposing the powder to chloroform vapor restored the sharp diffraction pattern. Changes to the IR absorption before and aer grinding were not obvious, but there was a small difference (Fig. S12†). The color change of BAEs (such as bianthrone) induced by high hydrostatic pressure has been seen,31 while the color change of BAEs induced by grinding has only briey been dis- cussed.18 Here, we propose two hypotheses based on our results: (i) pressure applied during grinding of the solids changes the conformation from folded to twisted (piezochromism), and (ii) the conformational change from folded to twisted occurs in the amorphous domain of the solid through an equilibrium between the conformers. Even when a high pressure was applied to a single crystal of 6a, the folded conformer remained unchanged (Fig. S13 and S14 and Table S7†). Similar results were reported for other BAEs.31 Accordingly, we concluded that This journal is © The Royal Society of Chemistry 2018 Chemical Science View Article Online Chemical Science View Article Online This journal is © The Royal Society of Chemistry 2018 Concluding remarks hypothesis (ii), the conformational change induced by a morphological change from a crystalline to amorphous state, is the right phenomenon. Compound 6a changed from a pale color in the crystalline state to a deep color in the amorphous state. This unique optical characteristic of 6a marks a contrast with typical organic p-electron conjugated materials, which undergo color change to a slightly pale color when they are ground. In summary, we synthesized uorenylidene-acridanes (FAs), a kind of overcrowded alkene BAE, by connecting the p-conju- gated systems of uorenes and acridanes with a double bond, utilizing the Barton–Kellogg reaction. We expected a large advantage in the design of this molecule because of the nitrogen atom in FAs, compared with the related compound uorenylidene-xanthone, which contains an oxygen atom. The nitrogen atom enables the installation of an N-alkyl group for controlling the morphology in the solid state, and adding hole transport properties, which can open an avenue for applications in organic electronics. The hybrid donor (acridane) and acceptor (uorene) structure connected with a double bond is also advantageous as it has a small frontier orbital energy gap for long-wavelength light absorption and ambipolar carrier transport properties. Cyclic voltammetry measurements of 6a and 6d showed reversible one-electron reduction and reversible one-electron oxidation processes (Fig. S15 and S16†). They showed a rst oxidation corresponding to the acridane moiety at around 0.2 V and a rst reduction corresponding to the uorenylidene moiety at around 1.8 V. In solution, FAs were in equilibrium between the folded and twisted conformers. The solutions contained a mixture of two redox-active molecules. Because the twisted conformers of the FA cation and anion are much more stable than the folded conformers, both the observed rst- oxidation and rst-reduction potentials mainly consisted of the oxidation and reduction processes for the twisted conformers (see the ESI†for details).33 These electrochemical data promised an ambipolar carrier transport ability in the twisted conformer. Synthesis of N-methyl-10-(uoren-9-ylidene)-acridane (6a) In a 30 mL two-neck ask, 9-(9-uorenyl)-acridine (500 mg, 1.46 mmol), potassium carbonate (2.02 g, 14.6 mmol) and methyl tosylate (971 mg, 5.21 mmol, 3.57 equiv.) were added to aceto- nitrile (15 mL, 0.10 M). The reaction mixture was reuxed for 15 h. The resulting mixture was poured into water to extract the organic compounds with chloroform. The crude product was further puried by reprecipitation from dichloromethane/ methanol. The solids were collected by suction to get greenish yellow solids (459.2 mg, 88%). 1H NMR (400 MHz, CDCl3): d ¼ 7.95 (dd, J ¼ 7.8, 1.4 Hz, 2H), 7.74 (d, J ¼ 7.8 Hz, 2H), 7.71 (d, J ¼ 7.3 Hz, 2H), 7.41 (t, J ¼ 7.1 Hz, 2H), 7.25 (m, 4H), 7.11 (t, J ¼ 7.6 Hz, 2H), 7.02 (t, J ¼ 7.1 Hz, 2H), 3.59 (s, 3H). 13C{1H} NMR (100.53 MHz, CDCl3): d ¼ 143.9, 140.3, 138.8, 133.8, 129.0, 128.8, 128.7, 127.0, 125.6, 124.7, 124.2, 120.3, 119.1, 113.3, 33.4. MS (APCI+) 357.1325. Mp 261.4–262.6 C, anal. calcd. for C27H19N: C, 90.72; H, 5.36; N, 3.92. Found: C, 90.64; H, 5.55; N, 3.84. N-(tert-Butoxy carbonyl)-9-acridone (4.92 g, 15.8 mmol) and 9- diazouorene (3.05 g, 15.9 mmol, 1.1 equiv.) were mixed in dichloromethane (160 mL, 0.10 M) for 4 h. Aer drying, the crude solids were puried by silica gel column chromatography with chloroform/hexane (1 : 1) to obtain yellow solids (6.02 g, 80%). 1H NMR (400 MHz, CDCl3): d ¼ 7.87 (dd, J ¼ 7.6, 1.6 Hz, 2H), 7.52 (d, J ¼ 7.8 Hz, 1H), 7.38 (dd, J ¼ 8.0, 1.1 Hz, 2H), 7.27– 7.15 (m, 6H), 6.86 (td, J ¼ 7.6, 0.9 Hz, 2H), 6.78 (d, J ¼ 7.8 Hz, 2H), 1.14 (s, 9H). 13C{1H} NMR (100.53 MHz, CDCl3): d ¼ 150.6, 141.7, 140.9, 140.8, 134.0, 127.8, 127.1, 127.0, 126.1, 124.3, 124.2, 124.1, 119.4, 81.0, 57.5, 57.0, 27.6. HR-MS (APCI+): calcd. for C31H25NO2S (M)+ ¼ 475.1601, found 475.1597. Mp 217.2– 220.0 C (decomposition). Open Access Article. Published on 14 November 2017. Downloaded on 26/03/2018 11:23:45. This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. This transition led to packing structure and conformational changes, and thus a color change. Grinding 6a changed the morphology from crystalline to amorphous, which induced a conformational change from the folded to the twisted conformer, giving a mechanochromic color change from yellow to dark green. This phenomenon, the crushing of crystals leading to a dark color, is quite unique, because in ordinary organic compounds grinding the solid makes their color pale. A reverse color change from dark green to yellow occurred with solvent vapor exposure leading to a conformational change to the folded conformer. The present work provides an obvious example of the ground state mechanochromism by hand grinding, with drastic color change. Fig. 6 The ambipolar properties of FA. Carrier transport experiments elucidated the electronic properties of FAs. Amorphous thin lms of 6d containing the twisted conformer showed ambipolar carrier transport proper- ties with a hole mobility of 8.4  104 cm2 V1 s1 and an electron mobility of 4.8  105 cm2 V1 s1. On the other hand, crystalline thin lms of 6a consisted of the folded conformer Fig. 6 The ambipolar properties of FA. This journal is © The Royal Society of Chemistry 2018 Chem. Sci., 2018, 9, 475–482 | 479 Edge Article View Article Online Edge Article View Article Online View Article Online Chemical Science 127.6, 125.9, 125.7, 125.1, 124.0, 119.3, 82.4, 28.3. HR-MS (APCI+): calcd. for C31H25NO2 (M)+ ¼ 443.1880, found 443.1880. Mp 224.0–226.0 C (decomposition). 127.6, 125.9, 125.7, 125.1, 124.0, 119.3, 82.4, 28.3. HR-MS (APCI+): calcd. for C31H25NO2 (M)+ ¼ 443.1880, found 443.1880. Mp 224.0–226.0 C (decomposition). and exhibited only hole transfer properties (3.0  105 cm2 V1 s1). One possible future application of FAs would be in color- changing mechanical sensors for detecting mechanical stimuli and outputting an electric signal. Experimental N-(tert-Butoxy carbonyl)-10-(uoren-9-ylidene)-acridane (4.20 g, 9.47 mmol) was dissolved in dichloromethane (95 mL, 0.10 M) with triuoroacetic acid (3.24 g, 2.25 mL, 3.0 equiv.) and stirred for 15 h. Aer removing the solvent, methanol and NaOH aq. (0.1 M) were added to neutralize the solution. The organic compounds were extracted with dichloromethane and dried with magnesium sulfate. Removing the solvent resulted in yellow crude product, which was puried by silica gel column chroma- tography. Pale green solids (2.08 g, 64%) were obtained by drying the product. 1H NMR (400 MHz, CDCl3): d ¼ 8.65 (d, J ¼ 9.2 Hz, 1H), 8.44 (d, J ¼ 8.7 Hz, 1H), 8.22 (d, J ¼ 8.7 Hz, 1H), 7.99 (d, J ¼ 7.3 Hz, 2H), 7.87 (ddd, J ¼ 8.8, 6.5, 1.0 Hz, 1H), 7.63 (ddd, J ¼ 8.8, 6.5, 1.3 Hz, 1H), 7.50 (ddd, J ¼ 8.7, 6.4, 1.4 Hz, 1H), 7.44 (t, J ¼ 7.6 Hz, 2H), 7.16 (td, J ¼ 7.6, 0.9 Hz, 2H), 7.05 (d, J ¼ 7.3 Hz, 2H), 6.88 (ddd, J ¼ 8.8, 6.5, 1.3 Hz, 1H), 6.77 (d, J ¼ 9.2 Hz, 1H), 6.45 (s, 1H). 13C{1H} NMR (100.53 MHz, CDCl3): d ¼ 148.9, 148.8, 143.4, 140.1, 130.7, 130.0, 129.6, 129.4, 127.5, 127.4, 127.1, 126.4, 125.3, 125.1, 124.3, 124.1, 123.6, 120.5, 48.2. MS (APCI+) 343.1154. Mp 220.2–223.0 C (decomposition), anal. calcd. for C26H17N: C, 90.93; H, 4.99; N, 4.08. Found: C, 90.90; H, 5.04; N, 3.99. General All NMR spectra were recorded at 400 MHz (JEOL ECA-500 spectrometer) or 500 MHz (Bruker AVANCE III 500 spectrom- eter). NMR spectra were recorded in parts per million (ppm, d scale) from the residual protons of CDCl3 for 1H NMR (d 7.26 ppm for chloroform) and the carbon of CDCl3 for 13C NMR (d 77.0 ppm). The data are presented as follows: chemical shi, multiplicity (s ¼ singlet, d ¼ doublet, t ¼ triplet, m ¼ multiplet and/or multiplet resonances), coupling constant in hertz (Hz), signal area integration in natural numbers and assignment (italic). Mass spectra were acquired using a Bruker microTOF II (APCI) spectrometer. High-resolution mass spectra were obtained with a calibration standard of polyethylene glycol (MW 600) and elemental analysis was performed at the University of Tokyo, Department of Chemistry, Organic Elemental Analysis Labora- tory. IR absorption was measured on a JASCO FT/IR-6100 spec- trometer equipped with an attenuated total reection (ATR) with diamond, and the data are reported as wavenumber in cm1. SCLC measurements Hole-only devices were fabricated with a conguration of glass/ ITO/PEDOT:PSS/6a,d/MoO3/Al. PEDOT:PSS layers were formed on the glass/ITO substrate to obtain a 30 nm-thick lm. Compounds 6a and d in chlorobenzene were spin-coated, then MoO3 (10 nm) was deposited under vacuum (3  104 Pa), and then Al (100 nm) was deposited. The electron-only device conguration was glass/Al/6a,d/LiF/Al. Aer the spin-coating of compounds 6a and d in chlorobenzene, LiF (0.6 nm) and Al (100 nm) were deposited under vacuum. J–V curves of these devices were measured with a sweeping voltage using a Keithley 2400 source meter unit. The lm thicknesses were obtained using a Dektak 6M stylus proler. The J–V curves were t to the equa- tion shown in the ESI† to obtain the hole and electron mobilities. X-ray crystallographic analysis X-ray crystallographic analyses were performed under ambient pressure using a RIGAKU R-AXIS RAPID II (imaging plate detector) with monochromic CuKa (l ¼ 1.5406 A) radiation. The positional and thermal parameters were rened by a full-matrix least-squares method using the SHELXL97 program on Yadokari-soware. Details of the X-ray crystallographic analysis under high pressure are described in the ESI.† Computational studies All calculations were carried out using the Gaussian09 package and the B3LYP functional. The solvent effects were estimated by the polarizable continuum model (PCM) method with the dielectric constant for dichloromethane. A 6-31G(d) basis set was used for each level. The calculation levels are described as “B3LYP/6-31G(d)”. Synthesis of N-octyl-10-(uoren-9-ylidene)-acridane (6d) In a 50 mL two-neck ask, potassium carbonate (10.1 g, 73.0 mmol) and octanol (569 mg, 0.700 mL, 4.37 mmol, 3.00 equiv.) were dispersed in o-dichlorobenzene (22 mL), which was cooled to 0 C and triuoromethanesulfonic anhydride (1.41 g, 5.01 mmol, 3.44 equiv.) was slowly added. Aer stirring for 3 h, 9-(9-uorenyl)-acridine (500 mg, 1.46 mmol) was added and heated to 50 C for 17 h. o-Dichlorobenzene was distilled to extract the organic compounds with water/chloroform. The evaporation of solvent gave a deep green oil, which was passed through an alumina column and reprecipitated from ether/ methanol at a low temperature. A lump of sticky deep green solid was obtained (230.4 mg, 35%). 1H NMR (500 MHz, CDCl3): d ¼ 8.08 (dd, J ¼ 7.9, 1.9 Hz, 2H), 7.75 (ddd, J ¼ 7.6, 1.3, 0.6 Hz, 2H), 7.72 (d, J ¼ 7.9 Hz, 2H), 7.40 (ddd, J ¼ 8.2, 6.9, 1.6 Hz, 2H), 7.29 (d, J ¼ 7.6 Hz, 2H), 7.22 (dd, J ¼ 7.6, 1.3 Hz, 2H), 7.04 (dddd, J ¼ 7.9, 6.9, 2.2, 0.9 Hz, 4H), 4.13 (t, J ¼ 7.9 Hz, 2H), 1.94 (q, J ¼ 7.6 Hz, 2H), 1.45 (q, J ¼ 6.9 Hz, 2H), 1.40–1.34 (m, 2H), 1.28–1.19 (m, 6H), 0.83 (t, J ¼ 6.9 Hz, 3H). 13C{1H} NMR (100.53 MHz, CDCl3): d ¼ 141.7, 139.7, 139.2, 136.2, 130.6, 129.3, 127.0, 129.3, 127.0, 125.9, 125.4, 124.7, 123.4, 120.4, 119.2, 114.1, 46.2, 31.7, 29.22, 29.20, 27.0, 26.9, 22.6, 14.0. MS (APCI+) 455.2240. Mp: not clear, anal. calcd. for C34H33N: C, 89.63; H, 7.30; N, 3.07. Found: C, 89.50; H, 7.35; N, 3.00. Synthesis of N-butyl-10-(uoren-9-ylidene)-acridane (6c) In a 25 mL Schlenk, 9-(9-uorenyl)-acridine (100.1 mg, 0.291 mmol), potassium carbonate (405.4 mg, 2.93 mmol) and n-butyl triuoromethanesulfonate (ca. 0.160 mL, 197.1 mg, 0.956 mmol, 3.3 equiv.) were added to dichloromethane (3 mL, 0.1 M). The reaction mixture was reuxed for 20.5 h. Then n- butyl triuoromethanesulfonate (ca. 0.320 mL, 409.8 mg, 1.99 mmol, 6.8 equiv.) was added into the Schlenk and stirred for an additional 4 h. The resulting mixture was poured into water to extract the organic compounds with chloroform. The crude product was puried by alumina column chromatog- raphy with an eluent of CHCl3/hexane (1 : 9 to 1 : 2). The solids were further puried by sublimation in vacuo to get green solids (57.5 mg, 49%). 1H NMR (500 MHz, CDCl3): d ¼ 8.10 (dd, J ¼ 7.9, 1.3 Hz, 2H), 7.77 (d, J ¼ 7.6 Hz, 2H), 7.74 (d, J ¼ 7.9 Hz, 2H), 7.41 (ddd, J ¼ 8.5, 7.3, 1.6 Hz, 2H), 7.30 (d, J ¼ 8.5 Hz, 2H), 7.24 (td, J ¼ 7.3, 0.63 Hz, 2H), 7.06 (td, J ¼ 7.6, 1.3 Hz, 4H), 4.14 (t, J ¼ 7.7 Hz, 2H), 1.94 (quintet, J ¼ 7.7 Hz, 2H), 1.53 (m, 2H), 1.02 (t, J ¼ 7.4 Hz, 3H). 13C{1H} NMR (125.76 MHz, CDCl3): d ¼ 13.8, 20.2, 29.0, 45.9, 114.1, 119.2, 120.5, 123.5, 124.7, 125.4, 126.0, 127.1, 129.3, 130.6, 136.1, 139.3, 139.7, 141.8. HR-MS (APCI+): calcd. for C30H25N (M+) ¼ 399.1987, found 399.1988. Synthesis of N-ethyl-10-(uoren-9-ylidene)-acridane (6b) Dispiro[N-(tert-butoxy carbonyl)-acridane-9,20-thiirane-30,900-u- orene] (5.80 g, 12.2 mmol) and triphenylphosphine (3.20 g, 12.2 mmol, 1.0 equiv.) were reuxed in toluene (61 mL, 0.20 M) for 13 h. The reaction mixture was dried to get yellow crude solids, which were puried by column chromatography and following reprecipitation from chloroform/methanol, the pure compound was obtained as a yellow powder (4.41 g, 82%). 1H NMR (400 MHz, CDCl3): d ¼ 7.87 (d, J ¼ 8.3 Hz, 2H), 7.84 (d, J ¼ 7.8 Hz, 4H), 7.69 (d, J ¼ 7.3 Hz, 2H), 7.34 (td, J ¼ 7.8, 1.5 Hz, 2H), 7.29 (td, J ¼ 7.3, 0.9 Hz, 2H), 7.19 (td, J ¼ 7.6, 1.2 Hz, 2H), 7.03 (t, J ¼ 7.1 Hz, 2H), 1.59 (s, 9H). 13C{1H} NMR (100.53 MHz, CDCl3): d ¼ 151.7, 140.9, 139.4, 138.2, 133.6, 133.1, 130.8, 128.2, 127.8, In a 25 mL Schlenk ask, 9-(9-uorenyl)-acridine (49.8 mg, 0.145 mmol), potassium carbonate (202.8 mg, 1.47 mmol) and ethyl triuoromethanesulfonate (ca. 0.060 mL, 83.6 mg, 0.469 mmol, 3.2 equiv.) were added to dichloromethane (1.5 mL, 0.1 M). The reaction mixture was reuxed for 13 h. The resulting mixture was poured into water to extract the organic compounds with chloroform. The crude product was puried by alumina column chromatography with an eluent of CHCl3/hexane (1 : 2). The solids were further puried by sublimation in vacuo to get green solids (27.3 mg, 51%). 1H NMR (500 MHz, CDCl3): d ¼ 8.12 (dd, J ¼ 7.9, 1.6 Hz, 2H), 7.77 (d, J ¼ 7.6 Hz, 2H), 7.74 (d, J ¼ 8.2 Hz, This journal is © The Royal Society of Chemistry 2018 480 | Chem. Sci., 2018, 9, 475–482 Chemical Science View Article Online Chemical Science View Article Online Edge Article 2H), 7.41 (ddd, J ¼ 8.5, 6.9, 1.6 Hz, 2H), 7.33 (d, J ¼ 7.9 Hz, 2H), 7.23 (td, J ¼ 7.6, 0.95 Hz, 2H), 7.05 (td, J ¼ 6.9, 0.95 Hz, 4H), 4.25 (q, J ¼ 7.1 Hz, 2H), 1.55 (t, J ¼ 7.1 Hz, 3H). 13C{1H} NMR (125.76 MHz, CDCl3): d ¼ 12.6, 40.8, 113.9, 119.2, 120.5, 123.4, 124.6, 125.4, 125.9, 127.1, 129.4, 130.8, 136.3, 139.2, 139.7, 141.4. HR- MS (APCI+): calcd. for C28H21N (M+) ¼ 371.1674, found 371.1664. Conflicts of interest There are no conicts to declare. This journal is © The Royal Society of Chemistry 2018 Electrochemical analysis Cyclic voltammetry (CV) and differential pulse voltammetry (DPV) were performed using a Hokuto Denko HZ-5000 voltam- metric analyzer. All CV measurements were carried out under argon gas, in a one-compartment cell equipped with a glassy- carbon working electrode, a platinum wire counter electrode, and an Ag/Ag+ reference electrode. The supporting electrolyte was a 0.1 mol L1 dichloromethane solution of tetrabuty- lammonium hexauorophosphate (TBAPF6). Access Article. Published on 14 November 2017. Downloaded on 26/03/2018 11:23:45. This article is licensed under a Creative Commons Attribution 3.0 Unported Licence. 4 H. Sun, S. Liu, W. Lin, K. Y. Zhang, W. Lv, X. Huang, F. Huo, H. Yang, G. Jenkins, Q. Zhao and W. Huang, Nat. Commun., 2014, 5, 3601. 23 D. L. Fanselow and H. G. Drickamer, J. Chem. Phys., 1974, 61, 4567–4574. 5 S. Yagai, S. Okamura, Y. Nakano, M. Yamauchi, K. Kishikawa, 24 E. R. Holland, D. 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Acknowledgements This work was supported by the Grants-in-Aid for Scientic Research (KAKENHI 15H02219, 15H05760, JP16H04187, JP17K19116 and 26246039), MEXT, Japan and the Strategic Promotion of Innovative Research and Development, Japan Science and Technology Agency (JST). T. S. thanks the Advanced Leading Graduate Course for Photon Science for the scholarship. This journal is © The Royal Society of Chemistry 2018 Chem. Sci., 2018, 9, 475–482 | 481 View Article Online Chemical Science Edge Article 18 E. Wasserman and R. E. Davies, J. Chem. Phys., 1959, 30, 1367–1368. This journal is © The Royal Society of Chemistry 2018 Notes and references 19 R. Korenstein, K. A. Muszkat and S. Sharafy-Ozeri, J. Am. Chem. Soc., 1973, 95, 6177–6181. 1 D. A. Davis, A. Hamilton, J. Yang, L. D. Cremar, D. van Gough, S. L. Potisek, M. T. Ong, P. V. Braun, T. J. Mart´ınez, S. R. White, J. S. Moore and N. R. Sottos, Nature, 2009, 459, 68–72. 20 P. U. Biedermann, J. J. Stezowski and I. Agranat, Chem.–Eur. 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Energy Expenditure and Macronutrient Oxidation in Response to an Individualized Nonshivering Cooling Protocol
Obesity
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Energy expenditure and macronutrient oxidation in response to an individualized nonshivering cooling protocol Sanchez-Delgado, G.; Alcantara, J.M.A.; Acosta, F.M.; Martinez-Tellez, B.; Amaro-Gahete, F.J.; Merchan-Ramirez, E.; ... ; Ruiz, J.R. Energy expenditure and macronutrient oxidation in response to an individualized nonshivering cooling protocol Sanchez-Delgado, G.; Alcantara, J.M.A.; Acosta, F.M.; Martinez-Tellez, B.; Amaro-Gahete, F.J.; Merchan-Ramirez, E.; ... ; Ruiz, J.R. Citation Sanchez-Delgado, G., Alcantara, J. M. A., Acosta, F. M., Martinez-Tellez, B., Amaro-Gahete, F. J., Merchan-Ramirez, E., … Ruiz, J. R. (2020). Energy expenditure and macronutrient oxidation in response to an individualized nonshivering cooling protocol. Obesity, 28(11), 2175-2183. doi:10.1002/oby.22972 Citation Sanchez-Delgado, G., Alcantara, J. M. A., Acosta, F. M., Martinez-Tellez, B., Amaro-Gahete, F. J., Merchan-Ramirez, E., … Ruiz, J. R. (2020). Energy expenditure and macronutrient oxidation in response to an individualized nonshivering cooling protocol. Obesity, 28(11), 2175-2183. doi:10.1002/oby.22972 Energy Expenditure and Macronutrient Oxidation in Response to an Individualized Nonshivering Cooling Protocol Guillermo Sanchez-Delgado 1,2,3, Juan M. A. Alcantara 1,2, Francisco M. Acosta 1,2, Borja Martinez-Tellez 1,2,4,5, Francisco J. Amaro-Gahete 1,2,6, Elisa Merchan-Ramirez1,2, Marie Löf 7,8, Idoia Labayen 9, Eric Ravussin 3, and Jonatan R. Ruiz 1,2 Objective: This study aimed to describe the energy expenditure (EE) and macronutrient oxidation response to an individualized nonshivering cold exposure in young healthy adults. 1 Promoting Fitness and Health Through Physical Activity Research Group, Sport and Health University Research Institute, Faculty of Sport Sciences, University of Granada, Granada, Spain. Correspondence: Guillermo Sanchez-Delgado (gsanchezdelgado@ugr.es) 2 Department of Physical Education and Sports, University of Granada, Granada, Spain 3 Pennington Biomedical Research Center, Baton Rouge, Louisiana, USA 4 Division of Endocrinology, Department of Medicine, Leiden University Medical Center, Leiden University, Leiden, the Netherlands 5 Einthoven Laboratory for Experimental Vascular Medicine, Department of Medicine, Leiden University Medical Center, Leiden University, Leiden, the Netherlands 6 Department of Medical Physiology, School of Medicine, University of Granada, Granada, Spain 7 Department of Biosciences and Nutrition,  Karolinska Institutet, Huddinge, Sweden 8 Department of Health, Medicine Caring Sciences,  Linköping University, Linköping, Sweden 9 Institute for Innovation and Sustainable Development in Food Chain, Navarra’s Health Research Institute, Department of Health Sciences, Public University of Navarra, Pamplona, Spain. Obesity (2020) 28, 2175-2183. Obesity (2020) 28, 2175-2183. Obesity (2020) 28, 2175-2183. Obesity (2020) 28, 2175-2183. How might these results change the direction of research? Citation Version: Publisher's Version License: Creative Commons CC BY 4.0 license Downloaded from: https://hdl.handle.net/1887/3185245 Note: To cite this publication please use the final published version (if applicable). Version: Publisher's Version License: Creative Commons CC BY 4.0 license Downloaded from: https://hdl.handle.net/1887/3185245 Version: Publisher's Version License: Creative Commons CC BY 4.0 license Downloaded from: https://hdl.handle.net/1887/3185245 License: Note: To cite this publication please use the final published version (if applicable). Obesity 1930739x, 2020, 11, D Obesity 1930739x, 2020, 11, D 1930739x, 2020, 11, Downloaded from https://onlinelibrary.wiley.com/doi/10.1002/oby.22972 by University Of Leiden, Wiley Online Library on [26/01/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the Original Article OBESITY BIOLOGY AND INTEGRATED PHYSIOLOGY Original Article OBESITY BIOLOGY AN What is already known? Mean cold- induced thermogenesis (9.56 ± 7.9 kcal/h) was 13.9% ± 11.6% of the RMR (range: −14.8% to 39.9% of the RMR). Carbohydrate oxidation de- creased during the first 30 minutes of the cold exposure and later recov- ered up to the baseline values (P < 0.01) in parallel to opposite changes in fat oxidation (P < 0.01). Results were replicated in study 2. © 2020 The Obesity Society. Received: 17 April 2020; Accepted: 9 July 2020; Published online 27 September 2020. doi:10.1002/oby.22972 What is already known? Methods: Two different groups of 44 (study 1: 22.1  [SD 2.1] years old, 25.6  [SD 5.2] kg/m2, 34% men) and 13 young healthy adults (study 2: 25.6  [SD 3.0] years old, 23.6  [SD 2.4] kg/m2, 54% men) participated in this study. Resting metabolic rate (RMR) and macronutrient oxidation rates were measured by indirect calorimetry under fasting conditions in a warm environment (for 30 minutes) and in mild cold conditions (for 65 minutes, with the individual wearing a water-perfused cooling vest set at an indi- vidualized temperature adjusted to the individual’s shivering threshold). Results: In study 1, EE increased in the initial stage of cold exposure and remained stable for the whole cold exposure (P < 0.001). Mean cold- induced thermogenesis (9.56 ± 7.9 kcal/h) was 13.9% ± 11.6% of the RMR (range: −14.8% to 39.9% of the RMR). Carbohydrate oxidation de- creased during the first 30 minutes of the cold exposure and later recov- ered up to the baseline values (P < 0.01) in parallel to opposite changes in fat oxidation (P < 0.01). Results were replicated in study 2. Methods: Two different groups of 44 (study 1: 22.1  [SD 2.1] years old, 25.6  [SD 5.2] kg/m2, 34% men) and 13 young healthy adults (study 2: 25.6  [SD 3.0] years old, 23.6  [SD 2.4] kg/m2, 54% men) participated in this study. Resting metabolic rate (RMR) and macronutrient oxidation rates were measured by indirect calorimetry under fasting conditions in a warm environment (for 30 minutes) and in mild cold conditions (for 65 minutes, with the individual wearing a water-perfused cooling vest set at an indi- vidualized temperature adjusted to the individual’s shivering threshold). ►A decade ago, brown adipose tissue was reported to be present and metabolically active in adult humans. Since then, non- shivering mild cold exposure has been considered a potential therapeutic tool in obesity management. ►A decade ago, brown adipose tissue was reported to be present and metabolically active in adult humans. Since then, non- shivering mild cold exposure has been considered a potential therapeutic tool in obesity management. ►Chronic exposure to nonshivering cold stimulus appears to improve energy me- tabolism and metabolic health. Results: In study 1, EE increased in the initial stage of cold exposure and remained stable for the whole cold exposure (P < 0.001). Obesity (2020) 28, 2175-2183. What does this study add? ►A mild cold exposure at a temperature adjusted to elicit maximum nonshiver- ing thermogenesis induces a modest increase in energy expenditure, which is maintained constantly over an hour. ►A metabolic shift was observed by which fat oxidation (FATox) increased in parallel to a decrease in carbohydrate oxidation (CHOox) at the beginning of cold ex- posure. Later, an inverse tendency ap- peared, by which CHOox increased and FATox slightly decreased. Conclusions: A 1-hour mild cold exposure individually adjusted to elicit maximum nonshivering thermogenesis induces a very modest increase in EE and a shift of macronutrient oxidation that may underlie a shift in thermogenic tissue activity. Introduction ►This study suggests that mild cold ex- posure is not a feasible tool to induce negative energy balance in humans. However, pharmacological or nutraceu- tical continuous induction of maximum nonshivering thermogenesis might be a feasible target for weight loss. ►This study suggests that mild cold ex- posure is not a feasible tool to induce negative energy balance in humans. However, pharmacological or nutraceu- tical continuous induction of maximum nonshivering thermogenesis might be a feasible target for weight loss. Because brown adipose tissue (BAT) was shown to be present and metabolically active in adult humans in 2009 (1-4), cold-induced thermogenesis (CIT) has received considerable attention as a possible target for stimulating BAT and energy expenditure (EE), helping weight control and counteracting obesity (5). Indeed, several independent groups have reported that chronic exposure to nonshivering cold stimulus seems to enhance energy metabolism and metabolic health in healthy individuals (6) and in people with obesity (7) or type 2 diabetes mellitus (8). www.obesityjournal.org  2175 2175 Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 Obesity old-induced Thermogenesis and Nutrient Oxidation  Sanchez-Delgado et al. Research has traditionally spent more attention on the study of shiv- ering thermogenesis (24), and important gaps remain regarding the human physiological responses to mild cold exposure in terms of EE and metabolic fuel selection (12). We hypothesized that a mild cold exposure designed to elicit nonshivering thermogenesis would exert slight, but clinically meaningful if maintained over time, modifications of EE and metabolic fuel selection. Thus, the present study aimed to describe the EE and macronutrient oxidation response to an individual- ized nonshivering cold exposure in young healthy adults. It is noteworthy that it remains unclear whether human BAT-related health benefits are explained by increases in EE or by other mechanisms beyond energy balance (9,10). Moreover, there is an open debate regarding the rel- ative contribution of BAT to CIT, in comparison with other thermogenic tissues such as skeletal muscle or white adipose tissue (11). CIT is produced by both nonshivering and shivering mechanisms (12). Shivering thermogenesis is the EE necessary to cover involuntary skele- tal muscle contractions in response to cold, whereas nonshivering ther- mogenesis refers to the energy-consuming processes not dependent on muscle contraction, such as uncoupling respiration in brown adipocytes’ mitochondria (13). Introduction Although some have reported that shivering ther- mogenesis can increase EE up to fivefold above resting metabolic rate (RMR), its uncomfortable nature, together with the loss of motor coor- dination, makes it a poorly tolerated stimulus and, therefore, an implau- sible option to be used in clinical settings (13). Moreover, nonshivering thermogenesis produces moderate increases of EE, and estimations have reported a range between 0% and 30% of the RMR in young healthy adults (13). Moreover, it has been argued that nonshivering thermogen- esis may be comfortable enough to be considered a possible tool in the prevention and treatment of obesity (13). Of note, shivering and non- shivering thermogenesis does not appear to occur in sequential phases but more as parallel phenomena (i.e., even with mild cold stimulation, shivering thermogenesis seems to contribute to CIT) (14), and the rela- tive contribution to CIT can vary within individuals (15). Methods Participants T diff h p Two different cohorts took part in this study (Table 1). For the first cohort (hereafter called study 1), 63 participants (45 female) were included in the study, all of them being part of the ACTIBATE study (25). However, only 44 out of 63 were included in the statistical analyses (Figure 1). Study 1 was conducted in October and November of 2016. For study 2, 13 participants were recruited and evaluated between December 2017 and January 2018. Inclusion criteria in both studies were as follows: <35 years old, reports being healthy, does not smoke or take any medication, has had a stable body weight (<3-kg change) during the past 3 months, and is not regularly exposed to cold. The study and written informed consent considered the last revision of the Declaration of Helsinki and were approved by the human research ethics committee of the University of Granada (No. 924) and of the Servicio Andaluz de Salud (Centro de Granada, Comité de Ética de la Investigación-Granada). There is a large interindividual variation in nonshivering thermogenesis and cold tolerance. Therefore, to study the responses to mild cold expo- sure, there is a need to individualize the cold stimulus to the individual’s cold tolerance (16,17). Van der Lans et al. (16) proposed to first assess a shivering threshold (i.e., the lowest external temperature without evok- ing externally observable and perceived shivering) as a reference point for adjusting the temperature at which an individual should be exposed. Although other methods have been proposed, such as skin tempera- ture clamping (18) or cold perception adjustment (19), the lowest tolerable temperature above the shivering threshold has been broadly accepted and used as a valid approach to induce BAT activation and CIT (17,20-23). Some studies have, however, shown that skeletal mus- cle thermogenesis takes place with very mild cold stimuli before shiver- ing can be observed (14). As a result, the shivering threshold approach may not fully exclude skeletal muscle shivering thermogenesis. We used a whole-body dual-energy x-ray absorptiometry scan (Discovery Wi, Hologic, Inc.) to assess body composition, whereas a Seca scale and stadiometer (model 799, Electronic Column Scale) were used to measure weight and height, respectively. Shivering threshold test (day 1) (2) CHOox (g∕min)=−3.21×VO2 (L∕min)+4.55×VCO2 (L∕min) −2.87×N (g∕min) The shivering threshold assessment methodology has been extensively described elsewhere (23,28). In brief, after voiding, the participants dressed with standardized clothes (clothing insulation value: 0.20). They then entered a warm room (22.1 ± 1.6 °C) where they remained seated for 30 minutes before entering a cold room (19.8 ± 0.5 °C) where they dressed with a temperature-controlled water-perfused cool- ing vest (Polar Products Inc.). The vest circulating water temperature was initially set at 16.6 °C and was decreased every 10 minutes until 3.8 °C was reached or until shivering occurred. Shivering was determined visually and was self-reported. The vest circulating water temperature when shivering started was considered as the shivering threshold. (3) FATox (g∕min)=1.67×VO2 (L∕min)−1.67×VCO2 (L∕min) −1.92×N (g∕min) (3) In study 2, we measured total urine volume and urea concentration in both urine samples. Thereafter, we estimated nitrogen urine levels from the urea concentration (Spinreact, catalog No. 283-17) following the equation N (grams per liter) = 0.0065 × urea (mg/dL) + 1.2598, which was obtained from a linear regression including measured urea and nitrogen concentrations (Kjeldahl method (36)) from an independent cohort of young healthy adults (n = 19, 16 women; 21.87 ± 2.05 years old; 24.87 ± 3.71 kg/m2). Protein oxidation (grams per minute) was cal- culated as N (grams per minute) × 6.25 (37). Obesity Obesity Cold-induced Thermogenesis and Nutrient Oxidation  Sanchez-Delgado et al. In study 1, participants fasted for at least 6 hours (9 ± 3.7 hours). Only those participants strictly following the fasting time indications (i.e., between 6 and 8 hours; n = 18) were included in the macronutrient oxidation rate analyses (26,27) (Table 1). In study 2, participants were instructed to consume a standardized meal (35% of estimated total EE; boiled rice, tomato sauce, and omelet) 10 hours before the CIT assess- ment. Moreover, they were instructed to collect all urine from the time of the standardized meal to the CIT assessment initiation (i.e., 10-hour urine production). Another urine sample was collected immediately after the CIT assessment. the curve (trapezoidal rule) using the four selected 5-minute periods and the RMR, expressing it as a percentage of the RMR. We have previously published that this method for data analyses resulted in more plausible estimations when compared with other methods for data analysis (33). The Weir abbreviated equation was used to estimate EE (Equation 1) (34), whereas Frayn equations (35) (not taking into account any urinary nitrogen in study 1) were used for estimating carbohydrate oxidation (CHOox) (Equation 2) and fat oxidation (FATox) (Equation 3). (1) EE (kcal∕min)=3.941×VO2 (L∕min)+1.106×VCO2 (L∕min) −2.17×N (g∕min) (2) CHOox (g∕min)=−3.21×VO2 (L∕min)+4.55×VCO2 (L∕min) −2.87×N (g∕min) (3) FATox (g∕min)=1.67×VO2 (L∕min)−1.67×VCO2 (L∕min) −1.92×N (g∕min) (1) EE (kcal∕min)=3.941×VO2 (L∕min)+1.106×VCO2 (L∕min) −2.17×N (g∕min) (1) CIT and cold-induced macronutrient oxidation rates (day 2) Participants returned to the laboratory (the same time of day as before) 5 to 7 days (study 1) or 2 days (study 2) after the shivering threshold test. After voiding, they dressed in the same standardized clothes and entered a warm (23.2 ± 0.7 °C) room. Before EE was assessed, all participants reclined in a bed for 20 minutes. Later, their RMR was assessed over 30 minutes, following current methodological guidelines (29). Immediately after, the participants walked into the cold room (19.7 ± 0.4 °C) and dressed in the cooling vest, which was set at 4 °C above the par- ticipant’s shivering threshold. They lay in a reclined bed while the CIT assessment was carried out for two 30-minute periods, separated by a 5-minute pause. For assessing RMR and CIT, ventilatory gas exchange was collected using a neoprene face mask hooked up to a CCM Express or Ultima CardiO2 metabolic cart (MCG Diagnostics) (30,31). Flow, at the beginning of every test day, and gas analyzers, before every 30-minute assessment, were calibrated following the manufacturer’s instructions. Statistical analysis Repeated-measures ANOVA with Bonferroni post hoc corrections was used to test differences in EE, CHOox, and FATox across time. Paired t tests were used to compare protein oxidation before and during the cold stimulus. The analyses were conducted using SPSS Statistics version 21.0 (IBM Corp). Figures were created using GraphPad Prism (version 8.3.1). The level of significance was set at <0.05. Conditions prior to the study days Participants reported to the research center on two separate oc- casions. During the first visit, shivering threshold was assessed, whereas during the second visit, CIT was measured. They were asked to sleep as usual, to avoid both moderate (24 hours) and vigorous (48 hours) physical activity prior to the testing days, and to commute by motorized vehicle. TABLE 1 Participant characteristics Study 1, CIT analyses (n = 44) Study 1, NUTox analyses (n = 18) Confirmatory study (study 2, n = 13) Sex, n women (%) 29 (65.9) 13 (72.2) 6 (46.2) Age, y 22.2 (2.2) 21.9 (2.0) 25.6 (3.0) BMI, kg/m2 25.6 (5.3) 24.3 (4.6) 23.6 (2.4) Lean mass, kg 42.7 (10.4) 40.4 (8.0) 45.7 (13.3) Fat mass, kg 27.2 (10.6) 25.0 (9.6) 18.4 (3.8) Fat mass percentage, % 37.0 (8.0) 36.1 (7.0) 28.4 (6.6) RMR, kcal/d 1,565 (278) 1,554 (227) 1,484 (286) RER 0.862 (0.054) 0.842 (0.048) 0.833 (0.036) Cooling-vest water temperature, °C 8.4 (3.5) 9.2 (3.8) 12.1 (3.1) Data are mean (SD), except for sex. CIT, cold-induced thermogenesis; NUTox, macronutrient oxidation rates; RER, resting respiratory exchange ratio; RMR, resting metabolic rate. 6         Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 2176 www.obesityjournal.org Original Article Obesity Original Article OBESITY BIOLOGY AND INTEGRATED PHYSIOLOGY Original Article OBESITY BIOLOGY AND INTEGRATED PHYSIOLOGY Figure 1 Participant flowchart. ACTIBATE, Activating Brown Adipose Tissue Through Exercise study; CIT, cold-induced thermogenesis; ECG, electrocardiogram; NUTox nutrient oxidation; RER respiratory exchange ratio E, Activating Brown Adipose Tissue Through Exercise study; CIT, cold-induced thermogenesis; ECG, electrocardiogram; ory exchange ratio. Figure 1 Participant flowchart. ACTIBATE, Activating Brown Adipose Tissue Through Exercise study; CIT, cold-induced thermogenesis; ECG, electrocardiogram; NUTox, nutrient oxidation; RER, respiratory exchange ratio. ACTIBATE, Activating Brown Adipose Tissue Through Exercise study; CIT, cold-induced thermogenesis; ECG, electrocardiogram; ER, respiratory exchange ratio. www.obesityjournal.org  Results Mild cold exposure significantly increased EE (P < 0.001; Figure 2A) from the beginning of cold exposure and EE remained stable from that moment until the end of the mild cold exposure. The mean overall CIT estimation was 13.9% ± 11.6% of the RMR (range: −14.8% to 39.9% of the RMR; Figure 2B). When translated to cumulative EE (i.e., the total amount of energy above the RMR expended during the whole 65-minute cold exposure), it resulted in 9.56 ± 7.9 kcal. In study 1, despite the careful assessment of the shivering threshold, 17 (16 women) out of 63 participants shivered during the CIT assess- ment. Those individuals were excluded from further statistical analysis. Moreover, two males were also excluded from the analyses for present- ing respiratory exchange ratio values higher than 1.1 or lower than 0.7 at any measured time point (29) (Figure 1). CIT and macronutrient oxidation rate estimation CIT and macronutrient oxidation rate estimation Oxygen consumption (VO2) and carbon dioxide production (VCO2) were downloaded from the metabolic cart software (BreezeSuite, ver- sion 8.1.0.54 SP7; MCG Diagnostics) every minute. For all 30-minute recording periods, we discarded the first 5-minute record. We then se- lected the most stable 5-minute period among the remaining records (25 minutes) to be considered as the RMR, as previously described (30,32). For calculating CIT, data were averaged every 5 minutes. In addition, we divided the CIT record into four parts and selected the most stable 5-minute period within each part. Finally, we calculated the area under CHOox decreased after 30 minutes of mild cold exposure (P = 0.001), although its level returned to the baseline after 40 minutes of mild cold exposure (Figure ). The peak FATox was observed at 30 minutes of cold exposure (P < 0.001; Figure 2D). FATox progressively increased until minute 30, and later on, there was a decrease. All results were similar in men and women and in individuals with BMI < 25 kg/m2 and individuals with BMI > 25 kg/m2 (data not shown). The mean overall cold-induced CHOox was −7.3% ± 22.5% of basal CHOox (range: −36.4% to 34.31% of basal CHOox) and mean overall cold-induced FATox was 53.6% ± 90.9% of basal FATox (range: −33.9% to 382.1% of basal FATox). s are governed by the applicable Creative Commons License www.obesityjournal.org 2178         Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 2178 Obesity Original Article Original Article OBESITY BIOLOGY AND INTEGRATED PHYSIOLOGY Figure 2 Cold-induced thermogenesis (CIT) and macronutrient oxidation rates (study 1). (A, C-D) Minute 0 represents resting metabolic rate (RMR). Values are the mean and SEM. P values were calculated using repeated-measure ANOVA. Asterisks (*) represent values significantly different from the RMR. (B) Histogram representing overall CIT (each column representing one individual’s CIT). Dashed line represents mean CIT. CHOox, carbohydrate oxidation; FATox, fat oxidation; RER, respiratory exchange ratio; VCO2, carbon dioxide production VO2, oxygen consumption. Panel A adapted with permission from Sanchez-Delgado et al. (33). 0, 11, Downloaded from https://onlinelibrary.wiley.com/doi/10.1002/oby.22972 by University Of Leiden, Wiley Online Library on [26/01/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms and co 11, Downloaded from https://onlinelibrary.wiley.com/doi/10.1002/oby.22972 by University Of Leiden, Wiley Online Library on [26/01/2023]. See the Terms and Conditions (https: Figure 2 Cold-induced thermogenesis (CIT) and macronutrient oxidation rates (study 1). (A, C-D) Minute 0 represents resting metabolic rate (RMR). CIT and macronutrient oxidation rate estimation Values are the mean and SEM. P values were calculated using repeated-measure ANOVA. Asterisks (*) represent values significantly different from the RMR. (B) Histogram representing overall CIT (each column representing one individual’s CIT). Dashed line represents mean CIT. CHOox, carbohydrate oxidation; FATox, fat oxidation; RER, respiratory exchange ratio; VCO2, carbon dioxide production VO2, oxygen consumption. Panel A adapted with permission from Sanchez-Delgado et al. (33). Figure 3 shows EE and macronutrient oxidation rates during a mild cold exposure in study 2. Cold exposure increased EE, as in study 1 (P > 0.001; Figure 3A). The effect of cold exposure on both CHOox and FATox (Figure 3D) was also similar to that in study 1. Finally, Figure 4 shows the estimated protein oxidation before (10 hours) and during the mild cold exposure in study 2. Mild cold exposure significantly increased protein oxidation (0.91 ± 0.38 g/min during the cold exposure vs. 0.54 ± 0.29 g/min for the 10 hours preceding cold exposure; P = 0.005). Figure 3 shows EE and macronutrient oxidation rates during a mild cold exposure in study 2. Cold exposure increased EE, as in study 1 (P > 0.001; Figure 3A). The effect of cold exposure on both CHOox and FATox (Figure 3D) was also similar to that in study 1. Finally, Figure 4 shows the estimated protein oxidation before (10 hours) and during the mild cold exposure in study 2. Mild cold exposure significantly increased protein oxidation (0.91 ± 0.38 g/min during the cold exposure vs. 0.54 ± 0.29 g/min for the 10 hours preceding cold exposure; P = 0.005). and decreased in the second part of the cold exposure. Of note is that these results were replicated in two independent studies, which further reinforces the findings. Our results show a modest EE increase during mild cold exposure, which is consistent with findings of previous stud- ies (12). Our data also show a previously unreported shift in the nutrient oxidation rates for sustaining CIT during the first phase of mild cold exposure (first 30 minutes). This finding might have important impli- cations for the understanding of physiological processes underlying human nonshivering thermogenesis. Mild cold exposure induces moderate increases in EE We show that a 1-hour individualized mild cold exposure produced a moderate increase in EE (9.56 ± 7.9 kcal/h) in young healthy adults. Interestingly, we observed a metabolic shift in time for sustaining CIT. CHOox decreased during the first 30 minutes of the cold exposure and recovered to the baseline value at the end of the cold exposure. In contrast, FATox continuously increased during the first 30 minutes In study 1, some individuals showed negative values of CIT (i.e., lower EE in cold than at RMR), whereas others experienced a 39% increase over the RMR, which is consistent with the huge interindividual vari- ability (38,39) that has been reported in previous studies. Whether www.obesityjournal.org  Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 2179 2179 Obesity Cold-induced Thermogenesis and Nutrient Oxidation  Sanchez-Delgado et al. Cold-induced Thermogenesis and Nutrient Oxidation  Sanchez-Delgado et al. Figure 3 Cold-induced thermogenesis (CIT) and macronutrient oxidation rates (study 2). (A, C-D) Minute 0 represents resting metabolic rate. Values are the mean and SEM. P values were calculated using repeated-measure ANOVA. (B) Histogram representing overall CIT (each column representing one individual’s CIT). Dashed line represents mean CIT. CHOox, carbohydrate oxidation; FATox, fat oxidation; RER, respiratory exchange ratio; VCO2, carbon dioxide production VO2, oxygen consumption. , 11, Downloaded from https://onlinelibrary.wiley.com/doi/10.1002/oby.22972 by University Of Leiden, Wiley Online Library on [26/01/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms and co oby.22972 by University Of Leiden, Wiley Online Library on [26/01/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Lib Figure 3 Cold-induced thermogenesis (CIT) and macronutrient oxidation rates (study 2). (A, C-D) Minute 0 represents resting metabolic rate. Values are the mean and SEM. P values were calculated using repeated-measure ANOVA. (B) Histogram representing overall CIT (each column representing one individual’s CIT). Dashed line represents mean CIT. CHOox, carbohydrate oxidation; FATox, fat oxidation; RER, respiratory exchange ratio; VCO2, carbon dioxide production VO2, oxygen consumption. this mild cold stimulus produced a considerable burden and discom- fort for participants, despite only 9.56 ± 7.9 kcal being burned (above the RMR) after an hour in this uncomfortable situation. Nonetheless, if maximum nonshivering thermogenesis were induced by pharmaco- logical or nutraceutical agents (45,46), instead of cold exposure, and were continuously elicited over 24 hours, our data would translate into 212 ± 175 kcal/d. Mild cold exposure induces shift in fuel oxidation W b d k d hif i i id i i h In study 1, CHOox and FATox rates were calculated without con- sidering protein oxidation, as we did not measure urinary nitrogen excretion. In addition, in study 1, we did not strictly control the fasting period or previous meal content. However, we performed a confirmatory study (i.e., study 2) analyzing protein oxidation and strictly controlling the fasting time and previous meal content, and similar results were found. Second, visually detected or self-reported shivering is likely to occur after electrical muscle activity (40). Therefore, the absence of electromyographic recording might have resulted in an underestimation of the shivering threshold tempera- ture. Moreover, despite excluding participants presenting detectable shivering during the CIT assessment, we cannot dismiss the possible presence of shivering thermogenesis that was not visually detectable or self-noted (14). Nonetheless, it is probable that nonshivering ther- mogenesis was the predominant form of CIT in the included par- ticipants. In addition, it should be noted that the study sample was entirely composed of young (18-32 years) healthy individuals, and the results thus cannot be generalized to older or unhealthy individ- uals. Finally, it should be noted that the reliability of the indirect calorimeters used in this study was not optimal (31). This probably explains the presence of nonphysiological values obtained in 2 out of our 63 participants enrolled in study 1. Mild cold exposure induces shift in fuel oxidation We observed a marked shift in macronutrient oxidation to sustain the thermogenic rate. Previous studies have reported similar metabolic shifts at a constant thermogenic rate in response to cold (in shivering conditions) (12,41,42); however, we observed a decrease in CHOox, which has not been reported before. Preserving muscle glycogen is con- sidered to have a profound impact on cold endurance and, therefore, on cold survival (12). Consequently, fatty acids are the most sustainable fuel for thermogenic purposes. FATox is the predominant substrate for both nonshivering and shivering thermogenesis (12). Therefore, it is bi- ologically plausible that a shift to FATox is produced when thermogenic needs are not maximized, such as at the beginning of a cold exposure. BAT is not the only contributor responsible for nonshivering thermo- genesis in humans. Skeletal muscle possibly contributes to nonshiver- ing thermogenesis to an even larger extent (14,20). Obesity Obesity Original Article OBESITY BIOLOGY AND INTEGRATED PHYSIOLOGY Original Article OBESITY BIOLOGY AND INTEGRATED PHYSIOLOGY Figure 4 Protein oxidation before (10 hours) and during mild cold exposure in study 2. P values are from paired t tests. Protein oxidation was assessed only in study 2, in which we observed a significant increase in response to mild cold exposure. A recent study in both mice and humans showed that upon cold exposure, BAT sig- nificantly increased the uptake and oxidation of branched-chain amino acids (BCAAs) (55). Importantly, blunting BCAA oxidation in BAT significantly affected the BAT thermogenic capacity in mice (55). Therefore, the increase of protein oxidation observed in our study might be explained by the increased uptake and oxidation of BCAAs in BAT. Such a statement is quite speculative, as we did not specifically measure BCAA oxidation in study 2. Further studies are needed to test whether there is an association between BAT activity and cold-induced protein oxidation in humans. In agreement with findings from previous studies (12), we observed a considerably high interindividual variability in cold-induced macronu- trient oxidation rates. In human studies, different patterns of shivering (i.e., muscle recruitment) explain most of the interindividual variability in cold-induced macronutrient oxidation rates (12,41,42). Because the protocol we applied is considered to result in a low-shivering contribu- tion to CIT, different patterns of shivering may not explain such a large interindividual variability. Alternatively, interindividual differences in tissues’ (BAT, skeletal muscle, and white adipose tissue) relative con- tribution to CIT (i.e., proportion of CIT being produced by each tissue) might partially explain such a high interindividual difference (5). Figure 4 Protein oxidation before (10 hours) and during mild cold exposure in study 2. P values are from paired t tests. be discarded as possible therapeutic targets including insulin-sensitizing effects. Mild cold exposure induces shift in fuel oxidation W b d k d hif i i id i i h Although both BAT and skeletal muscle preferentially use fatty acids as fuel in nonshivering situations, BAT is probably more FATox-preferential, as more than 90% of its energy consumption relies on FATox (49,50), whereas skeletal muscle presents a more balanced nutrient uptake (12). Therefore, it is plausible to speculate that BAT is the main contributor to CIT at initial stages of mild cold exposure, whereas the muscle contribution to CIT would increase progressively, therefore balancing the contribution of CHOox and FATox. This hypothesis is supported by recent studies show- ing that BAT is rapidly activated upon cold exposure and seems to stabi- lize after 35 minutes of cold exposure (51-53). Moreover, we previously reported a high prevalence of BAT in study 1 (88% BAT-positive, BAT volume = 94.4 ± 59.6 mL), as measured by static 18F-flurodeoxyglucose positron emission tomography/computed tomography scanning after 2 hours of personalized cold exposure (23,54); therefore, BAT thermo- genesis was likely induced during the mild cold exposure. New studies examining the contribution of both tissues, BAT and skeletal muscle, from the very beginning of the cold exposure are needed to confirm such hypothesis. Mild cold exposure induces moderate increases in EE Importantly, recent studies using radiotracers for the quantification of BAT EE have estimated that, if maximally and contin- ually activated, human BAT could account for ≈15 kcal/d (20,47,48). This is less than 10% of the 24-hour CIT estimation made in our study, which suggests that tissues other than BAT (e.g., skeletal muscle) may represent better targets for stimulating nonshivering thermogenesis in humans (5). Nonetheless, alternative mechanisms beyond energy bal- ance (9,10) have been suggested to mediate the health-promoting effects of BAT and chronic cold exposure (6-8). Therefore, mild cold expo- sure and/or pharmacological BAT activation or recruitment might not nonshivering cold exposure induces a stable EE change from the begin- ning of the exposure is unclear (40). We observed that when applying an individualized cooling protocol at a temperature near the shivering threshold, maximum nonshivering thermogenesis appeared to be elic- ited from the beginning of the cold exposure. This constant thermo- genic rate is consistent with findings from other studies analyzing the EE elicited by shivering (41,42). Moreover, it is not clear whether the magnitude of nonshivering thermogenesis is able to induce a significant negative energy balance (14,43). We observed that even when apply- ing a protocol designed to elicit maximum nonshivering thermogene- sis, all participants presented an EE below 1.4 metabolic equivalents (METs; i.e., 40% of RMR increase). Taking into account that even a very-low-intensity exercise, such as walking, can elicit 2 to 3 METs, together with the fact that cold exposure may induce a hyperphagic re- sponse (44), it seems that cold exposure at temperatures eliciting low shivering and maximum nonshivering thermogenesis is not an efficient stimuli to induce negative energy balance. It should also be noted that www.obesityjournal.org www.obesityjournal.org Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 2180 ary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License y 34. Weir JBDB. New methods for calculating metabolic rate with special reference to pro- tein metabolism. J Physiol 1949;109:1-9. y 3. van Marken Lichtenbelt WD, Vanhommerig JW, Smulders NM, et al. Cold-activated brown adipose tissue in healthy men. N Engl J Med 2009;360:1500-1508. y 35. Frayn KN. Calculation of substrate oxidation rates in vivo from gaseous exchange. J Appl Physiol 1983;55:628-634. 4. Virtanen KA, Lidell ME, Orava J, et al. Functional brown adipose tissue in healthy adults. N Engl J Med 2009;360:1518-1525. 36. Kjeldahl J. Neue Methode zur Bestimmung des Stickstoffs in organischen Körpern. Fresenius, Zeitschrift für Anal Chemie 1883;22:366-382. 5. Palmer BF, Clegg DJ. Non-shivering thermogenesis as a mechanism to facilitate sustain- able weight loss. Obes Rev 2017;18:819-831. 37. Elia M, Livesey G. Energy expenditure and fuel selection in biological systems: the theory and practice of calculations based on indirect calorimetry and tracer methods. World Rev Nutr Diet 1992;70:68-131. g 6. Lee P, Smith S, Linderman J, et al. Temperature-acclimated brown adipose tissue mod- ulates insulin sensitivity in humans. Diabetes 2014;177:3686-3698. ulates insulin sensitivity in humans. Diabetes 2014;177:3686-3698. 38. van Marken Lichtenbelt WD, Daanen HAM. Cold-induced metabolism. Curr Opin Clin Nutr Metab Care 2003;6:469-475. 7. Hanssen MJW, van der Lans AAJJ, Brans B, et al. Short-term cold acclimation recruits brown adipose tissue in obese humans. Diabetes 2016;65:1179-1189. 7. Hanssen MJW, van der Lans AAJJ, Brans B, et al. Short-term co brown adipose tissue in obese humans. Diabetes 2016;65:1179-1 39. van Marken Lichtenbelt WD, Schrauwen P, van de Kerckhove S, Westerterp-Plantenga MS. Individual variation in body temperature and energy expenditure in response to mild cold. Am J Physiol Metab 2002;282:E1077-E1083. p 8. Hanssen MJW, Hoeks J, Brans B, et al. Short-term cold acclimation improves insulin sensitivity in patients with type 2 diabetes mellitus. Nat Med 2015;21:863-865. Hanssen MJW, Hoeks J, Brans B, et al. Short-term cold acclimation 9. Peirce V, Vidal-Puig A. Regulation of glucose homoeostasis by brown adipose tissue. Lancet Diabetes Endocrinol 2013;1:353-360. 40. Acosta FM, Martinez-Tellez B, Sanchez-Delgado G, et al. Physiological responses to acute cold exposure in young lean men. PLoS One 2018;13:e0196543. doi:10.1371/ journ​al.pone.0196543 10. Villarroya F, Cereijo R, Villarroya J, Giralt M. Brown adipose tissue as a secretory organ. Nat Rev Endocrinol 2017;13:26-35. 41. Haman F, Peronnet F, Kenny GP, et al. Effects of carbohydrate availability on sustained shivering I. Oxidation of plasma glucose, muscle glycogen, and proteins. J Appl Physiol 2004;96:32-40. 11. Acknowledgments 21. Bakker LEH, Boon MR, van der Linden R, et al. Brown adipose tissue volume in healthy lean south Asian adults compared with white Caucasians: a prospective, case-controlled observational study. Lancet Diabetes Endocrinol 2014;2:210-217. This study is part of a doctoral thesis conducted in Biomedicine Doctoral Studies at the University of Granada, Spain. We are grateful to Carmen Sainz-Quinn and Jacqueline Fox for assistance with English- language editing. y 22. Leitner BP, Huang S, Brychta RJ, et al. Mapping of human brown adipose tissue in le and obese young men. Proc Natl Acad Sci U S A 2017;114:8649-8654. 22. Leitner BP, Huang S, Brychta RJ, et al. Mapping of human brown and obese young men. Proc Natl Acad Sci U S A 2017;114:8649- 23. Martinez-Tellez B, Sanchez-Delgado G, Garcia-Rivero Y, et al. A new personal- ized cooling protocol to activate brown adipose tissue in young adults. Front Physiol 2017;8:863. doi:10.3389/fphys.2017.00863 Funding agencies: This study was supported by the Spanish Ministry of Economy and Competitiveness via the Fondo de Investigación Sanitaria del Instituto de Salud Carlos III (PI13/01393 and PTA 12264-I); the Retos de la Sociedad (DEP2016-79512-R) and European Regional Development Funds (ERDF); the Spanish Ministry of Education (FPU13/04365, FPU14/04172, and FPU15/04059); the Fundación Iberoamericana de Nutrición; the Redes Temáticas de Investigación Cooperativa (RETIC, red de Salud Materno Infantil y del Desarrollo 16/0022); the AstraZeneca HealthCare Foundation; the University of Granada Plan Propio de Investigación 2016 excellence actions (Unit of Excellence on Exercise and Health and Plan Propio de Investigación 2018: Programa Contratos-Puente and Programa Perfeccionamiento de Doctores); the Junta de Andalucía, Consejería de Conocimiento, Investigación y Universidades (ERDF; SOMM17/6107/UGR); and the Fundación Alfonso Martín Escudero. p y 24. Haman F, Blondin DP. Shivering thermogenesis in humans: origin, contribution and metabolic requirement. Temperature 2017;8940:217-226. 25. Sanchez-Delgado G, Martinez-Tellez B, Olza J, et al. Activating Brown Adipose Tissue Through Exercise (ACTIBATE) in young adults: rationale, design and methodology. Contemp Clin Trials 2015;45:416-425. p 26. Jeukendrup AE, Wallis GA. Measurement of substrate oxidation during exercise by means of gas exchange measurements. Int J Sport Med Suppl 2005;26:S28-S37. 27. Venables MC, Achten J, Jeukendrup AE. Determinants of fat oxidation during exer- cise in healthy men and women: a cross-sectional study. J Appl Physiol 2005;98: 160-167. 28. Martinez-Tellez B, Sanchez-Delgado G, Acosta FM, et al. Differences between the most used equations in BAT-human studies to estimate parameters of skin temperature in young lean men. Cold-induced Thermogenesis and Nutrient Oxidation  Sanchez-Delgado et al. could be a feasible strategy for weight loss. Interestingly, we found a metabolic shift in macronutrient oxidation rates to sustain CIT, by which FATox increased in parallel to a decrease in CHOox at the begin- ning of cold exposure. Later, an inverse tendency appeared, by which CHOox increased and FATox slightly decreased. This may indicate that tissues playing the main role in CIT during the first stages of cold ex- posure could be different from those playing the main role in CIT after 30 minutes of cold exposure.O 16. van der Lans AAJJ, Wierts R, Vosselman MJ, Schrauwen P, Brans B, van Marken Lichtenbelt WD. Cold-activated brown adipose tissue in human adults: methodological issues. Am J Physiol Regul Integr Comp Physiol 2014;307:R103-R113. 17. Chen KY, Cypess AM, Laughlin MR, et al. Brown adipose reporting criteria in imag- ing STudies (BARCIST 1.0): recommendations for standardized FDG-PET/CT experi- ments in humans. Cell Metab 2016;24:210-222. 18. Blondin DP, Tingelstad HC, Noll C, et al. Dietary fatty acid metabolism of brown adipose tissue in cold-acclimated men. Nat Commun 2017;8:14146. doi:10.1038/ncomm​s14146 19. Coolbaugh CL, Bush EC, Galenti ES, Welch EB, Towse TF. An individualized, per- ception-based protocol to investigate human physiological responses to cooling. Front Physiol 2018;9:195. doi:10.3389/fphys.2018.00195 20. Din UM, Raiko J, Saari T, et al. Human brown adipose tissue [(15)O]O2 PET im- aging in the presence and absence of cold stimulus. Eur J Nucl Med Mol Imaging 2016;43:1878-1886. Acknowledgments Sci Rep 2017;7:10530. doi:10.1038/s4159​8-017-10444​-5 y g 29. Fullmer S, Benson-Davies S, Earthman CP, et al. Evidence analysis library review of best practices for performing indirect calorimetry in healthy and non-critically ill indi- viduals. J Acad Nutr Diet 2015;115:1417-1446.e2. Disclosure: The authors declared no conflict of interest. Author contributions: GSD, JMAA, FMA, BMT, and JRR designed the research; GSD, JMAA, FMA, BMT, FJAG, and EMR conducted the research; GSD and JMAA analyzed the data; GSD, ML, ER, and JRR wrote the manuscript; GSD and JRR had primary responsibility for the final content; and GSD, JMAA, FMA, BMT, FJAG, EMR, ML, IL, ER, and JRR discussed the results and approved the final version of the manuscript. 30. Sanchez-Delgado G, Alcantara JMA, Ortiz-Alvarez L, et al. Reliability of resting meta- bolic rate measurements in young adults: Impact of methods for data analysis. Clin Nutr 2018;37:1618-1624. 31. Alcantara JMA, Sanchez-Delgado G, Martinez-Tellez B, Merchan-Ramirez E, Labayen I, Ruiz JR. Congruent validity and inter-day reliability of two breath by breath metabolic carts to measure resting metabolic rate in young adults. Nutr Metab Cardiovasc Dis 2018;28:929-936. Clinical trial registration: ClinicalTrials.gov identifier NCT02365129. Clinical trial registration: ClinicalTrials.gov identifier NCT02365129. 32. Alcantara JMA, Sanchez-Delgado G, Amaro-Gahete FJ, Galgani JE, Ruiz JR. Impact of the method used to select gas exchange data for estimating the resting metabolic rate, as supplied by breath-by-breath metabolic carts. Nutrients 2020;12:4-6. Conclusion A mild cold exposure at a temperature adjusted to elicit maximum non- shivering thermogenesis induces a very modest increase in EE (<40% of RMR; ≈1.4 METs), which is maintained constantly over an hour. The cumulative cold-induced EE over an hour of mild cold exposure (9.6 ± 7.9 kcal/h) is probably insufficient to induce negative energy balance in humans. However, we cannot exclude the possibility that sustained induction of maximum nonshivering CIT (212 ± 175 kcal/d), which might be achieved by pharmacological or nutraceutical agents, www.obesityjournal.org  Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 2181 2181 Obesity Cold-induced Thermogenesis and Nutrient Oxidation  Sanchez-Delgado et al. References 1. Cypess AM, Lehman S, Williams G, et al. Identification and importance of brown adi- pose tissue in adult humans. N Engl J Med 2009;360:1509-1517. 1. Cypess AM, Lehman S, Williams G, et al. Identification and importance of brown adi- pose tissue in adult humans. N Engl J Med 2009;360:1509-1517. 33. Sanchez-Delgado G, Alcantara JMA, Acosta FM, et al. Estimation of non-shivering thermogenesis and cold-induced nutrient oxidation rates: Impact of method for data selection and analysis. Clin Nutr 2019;38:2168-2174. 2. Saito M, Okamatsu-Ogura Y, Matsushita M, et al. High incidence of metabolically ac- tive brown adipose tissue in healthy adult humans: effects of cold exposure and adipos- ity. Diabetes 2009;58:1526-1531. ary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Carpentier AC, Blondin DP, Virtanen KA, Richard D, Haman F, Turcotte ÉE. Brown adipose tissue energy metabolism in humans. Front Endocrinol (Lausanne) 2018;9:447. doi:10.3389/fendo.2018.00447 42. Haman F, Legault SR, Rakobowchuk M, Ducharme MB, Weber J-M. Effects of car- bohydrate availability on sustained shivering II. Relating muscle recruitment to fuel selection. J Appl Physiol 2004;96:41-49. 12. Blondin DP, Tingelstad HC, Mantha OL, Gosselin C, Haman F. Maintaining thermogen- esis in cold exposed humans: relying on multiple metabolic pathways. Compr Physiol 2014;4:1383-1402. 43. Janský L. Non-shivering thermogenesis and its thermoregulatory significance. Biol Rev Camb Philos Soc 1973;48:85-132. 13. van Marken Lichtenbelt WD, Kingma B, van der Lans A, Schellen L. Cold exposure– an approach to increasing energy expenditure in humans. Trends Endocrinol Metab 2014;25:165-167. 44. Langeveld M, Tan CY, Soeters MR, et al. Mild cold effects on hunger, food intake, satiety and skin temperature in humans. Endocr Connect 2016;5:65-73. 14. Blondin DP, Labbé SM, Phoenix S, et al. Contributions of white and brown adipose tissues and skeletal muscles to acute cold-induced metabolic responses in healthy men. J Physiol 2015;593:701-714. 45. Yoneshiro T, Aita S, Kawai Y, Iwanaga T, Saito M. Nonpungent capsaicin analogs (capsinoids) increase energy expenditure through the activation of brown adipose tissue in humans. Am J Clin Nutr 2012;95:845-850. y 15. Blondin DP, Daoud A, Taylor T, et al. Four-week cold acclimation in adult humans shifts uncoupling thermogenesis from skeletal muscles to BAT. J Physiol 2016;6: 2099-2113. 46. Cypess AM, Weiner LS, Roberts-Toler C, et al. Activation of human brown adipose tissue by a β3-adrenergic receptor agonist. Cell Metab 2015;21:33-38. www.obesityjournal.org www.obesityjournal.org 2182 Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 55. Yoneshiro T, Wang Q, Tajima K, et al. BCAA catabolism in brown fat controls energy homeostasis through SLC25A44. Nature 2019;572:614-619. 52. Reber J, Willershäuser M, Karlas A, et al. Non-invasive measurement of brown fat metabolism based on optoacoustic imaging of hemoglobin gradients. Cell Metab 2018;27:689-701.e4. 53. van Rooijen BD, van der Lans AAJJ, Brans B, et al. Imaging cold-activated brown ­adipose tissue using dynamic T2*-weighted magnetic resonance imaging and 2-deoxy-2- [18F]fluoro-D-glucose positron emission tomography. Invest Radiol 2013;48:708-714. 54. Sanchez-Delgado G, Martinez-Tellez B, Garcia-Rivero Y, et al. Brown adipose tissue and skeletal muscle 18F-FDG activity after a personalized cold exposure is not asso- ciated with cold-induced thermogenesis and nutrient oxidation rates in young healthy adults. Front Physiol 2018;9:1577. doi:10.3389/fphys.2018.01577 53. van Rooijen BD, van der Lans AAJJ, Brans B, et al. Imaging cold-activated brown ­adipose tissue using dynamic T2*-weighted magnetic resonance imaging and 2-deoxy-2- [18F]fluoro-D-glucose positron emission tomography. Invest Radiol 2013;48:708-714. 54. Sanchez-Delgado G, Martinez-Tellez B, Garcia-Rivero Y, et al. Brown adipose tissue and skeletal muscle 18F-FDG activity after a personalized cold exposure is not asso- ciated with cold-induced thermogenesis and nutrient oxidation rates in young healthy adults. Front Physiol 2018;9:1577. doi:10.3389/fphys.2018.01577 55. Yoneshiro T, Wang Q, Tajima K, et al. BCAA catabolism in brown fat controls energy homeostasis through SLC25A44 Nature 2019;572:614-619 Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 Obesity Obesity Obesity 52. Reber J, Willershäuser M, Karlas A, et al. Non-invasive measurement of brown fat metabolism based on optoacoustic imaging of hemoglobin gradients. Cell Metab 2018;27:689-701.e4. 47. Din UM, Saari T, Raiko J, et al. Postprandial oxidative metabolism of human brown fat indicates thermogenesis. Cell Metab 2018;28:207-216.e3. 48. Muzik O, Mangner TJ, Leonard WR, Kumar A, Janisse J, Granneman JG. 15O PET Measurement of blood flow and oxygen consumption in cold-activated human brown fat. J Nucl Med 2013;54:523-531. 53. van Rooijen BD, van der Lans AAJJ, Brans B, et al. Imaging cold-activated brown ­adipose tissue using dynamic T2*-weighted magnetic resonance imaging and 2-deoxy-2- [18F]fluoro-D-glucose positron emission tomography. Invest Radiol 2013;48:708-714. 49. Ouellet V, Labbé SM, Blondin DP, et al. Brown adipose tissue oxidative metabolism contributes to energy expenditure during acute cold exposure in humans. J Clin Invest 2012;122:545-552. 54. Sanchez-Delgado G, Martinez-Tellez B, Garcia-Rivero Y, et al. Brown adipose tissue and skeletal muscle 18F-FDG activity after a personalized cold exposure is not asso- ciated with cold-induced thermogenesis and nutrient oxidation rates in young healthy adults. Front Physiol 2018;9:1577. doi:10.3389/fphys.2018.01577 50. Schilperoort M, Hoeke G, Kooijman S, Rensen PCN. Relevance of lipid metabolism for brown fat visualization and quantification. Curr Opin Lipidol 2016;27:242-248. 55. Yoneshiro T, Wang Q, Tajima K, et al. BCAA catabolism in brown fat controls energy homeostasis through SLC25A44. Nature 2019;572:614-619. 51. Oreskovich SM, Ong FJ, Ahmed BA, et al. MRI reveals human brown adipose tissue is rapidly activated in response to cold. J Endocr Soc 2019;3:2374-2384. rapidly activated in response to cold. J Endocr Soc 2019;3:2374-2384 brary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Obesity | VOLUME 28 | NUMBER 11 | NOVEMBER 2020 2183 www.obesityjournal.org  2183
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Necessary Codimension One Components of the Projection of the Jacobian Blow-Up
Bulletin of the Brazilian Mathematical Society/Bulletin Brazilian Mathematical Society
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Bull Braz Math Soc, New Series (2023) 54:58 https://doi.org/10.1007/s00574-023-00374-4 1 Department of Mathematics, Northeastern University, Boston, MA 02115, USA B David B. Massey d.massey@northeastern.edu Abstract For a complex analytic function, the exceptional divisor of the jacobian blow-up is of great importance. In this short paper, we show what a lemma from the thesis of Lazarsfeld tells one about the structure of the projections of this exceptional divisor into the base space. Keywords Hypersurface singularities · Jacobian blow up · Vanishing cycles · a f Thom condition Mathematics Subject Classification 32S25 · 32S05 · 32S30 · 32S50 Necessary Codimension One Components of the Projection of the Jacobian Blow-Up David B. Massey1 Received: 12 April 2023 / Accepted: 16 October 2023 / Published online: 6 November 2023 © The Author(s) 2023 1 introduction Let U be an open subset of Cn+1 and let f : (U, 0) →(C, 0) be a nowhere locally constant complex analytic function. Near the origin, the critical locus  f of f is contained in the hypersurface V ( f ) defined by f ; we assume that U is chosen small enough so that this is true throughout U. We use z := (z0, . . . , zn) for the coordinates on Cn+1 and so on U. We let π : Bl j( f ) U →U be the projection map of the blow-up of U along the jacobian ideal j( f ) :=  ∂f ∂z0 , . . . , ∂f ∂zn  , where Bl j( f ) U ⊆U ×Pn. Let E = π−1( f ) denote the exceptional divisor, which is purely n-dimensional. Let W0, W1, …, Wr denote the distinct irreducible components of E over 0, i.e., the irreducible components W of E such that 0 ∈π(W). 123 58 Page 2 of 7 58 Page 2 of 7 D. B. Massey Now let us identify the U × Pn which contains the jacobian blow-up with the projectivized cotangent space P(T ∗U). Under this identification, Bl j( f ) U is equal to the projectivized closure of the relative conormal of f , that is, Bl j( f ) U = P  T ∗ f|U\ f U  . For 0 ≤k ≤r, we let Yk denote the irreducible analytic set π(Wk). Then the fact that E is purely n-dimensional, combined with the existence of an a f stratification, tells us that Wk is equal to the closure of the conormal space of the regular part Y ◦ k of Yk, that is, Wk = P  T ∗ Y ◦ k U  . We refer to the Yk as the Thom varieties of f at 0. k Clearly, the Thom varieties are important for understanding limiting relative conor- mals and the a f condition. 1 introduction In addition, the result of (Lê and Mebkhout 1983, Thèoréme 3.3) (which uses (Kashiwara 1978, Theorem 6.3.1)) or our generalization in (Massey 2000, Theorem 2.10) tells us that the exceptional divisor E is equal to the projectivized characteristic cycle of the sheaf of vanishing cycles of C• U (or Z• U) along f (note that Lê and Mebkhout (1983) and Kashiwara (1978) are in the language of D-modules). Thus, the Thom varieties are also closely related to the topology of the Milnor fibers of f at points in  f . While we prove a more general result in Theorem 2.3, a special case, Corollary 2.5, is much easier to state. See (Lê and Massey 2006, Definition 1.1) or Definition 2.4 of this paper for the precise definition of a simple μ-constant family. Corollary Suppose that  f is smooth at 0. Then, at 0, either (1) there is a Thom variety of f of codimension 1 in  f , or (2)  f itself is the only Thom variety, and f defines a family of isolated singularities with constant Milnor number, that is, defines a simple μ-constant family. So, if  f is smooth and there are any proper sub-Thom varieties in  f , then ther must be one of codimension 1. We find this somewhat surprising. So, if  f is smooth and there are any proper sub-Thom varieties in  f , then there must be one of codimension 1. We find this somewhat surprising. The crux of the proof of our theorem lies in a lemma from the Ph.D. thesis (Lazarsfeld 1980) of Lazarsfeld, which we recall in the next section. 2 The Lemma and the Theorem We now state Lazarsfeld’s lemma (Lazarsfeld 1980, Lemma 2.3), with some changes in notation; this also appears in Lazarsfeld’s book (Lazarsfeld 2004, Example 3.3.20). Lemma 2.1 (Lazarsfeld) Let Z be an irreducible normal variety of dimension n + 1, and let X ⊆Z be a subvariety which is locally defined (set-theoretically) by n + 1 −e equations. Fix an irreducible component V of X. Then, for all x ∈V ∩X\V , dimx  V ∩X\V  ≥e −1. The proof of our theorem below uses the above lemma in a crucial way. Our proof also uses our notation and results on relative polar varieties and Lê varieties (these are the analytic sets underlying the relative polar cycles and Lê cycles) as presented in 123 Page 3 of 7 5 of 7 58 58 Necessary Codimension One Components… Massey (1995). We quickly give the definitions here. Recall that z = (z0, . . . , zn) are our coordinates on U. The following is a combination, on the level of analytic sets, of (Massey 1995, Definition 1.3, Definition 1.11, and Theorem 1.28 ). Definition 2.2 Let 0 ≤e ≤n + 1. Let Definition 2.2 Let 0 ≤e ≤n + 1. Let Xe f ,z := V  ∂f ∂ze , . . . , ∂f ∂zn  , where we mean that Xn+1 f ,z = U. Note that all components of Xe f ,z must have dimension ≥e. where we mean that Xn+1 f ,z = U. Note that all components of Xe f ,z must have dimension ≥e. Let e f ,z to be the union of the irreducible components of X which are not contained in  f (and so, 0 f ,z = ∅). It is trivial that Xe f ,z = e f ,z ∪ f . Now let Y e−1 f ,z := e f ,z ∩V  ∂f ∂ze−1  . It is easy to see that, for 1 ≤e ≤n, the union of the irreducible components of Y e−1 f ,z which are not contained in  f is precisely e−1 f ,z . 1 It is easy to see that, for 1 ≤e ≤n, the union of the irreducible components of Y e−1 f ,z which are not contained in  f is precisely e−1 f ,z . (1) dim0 V ∩ f \V ≥e −1, that is, V intersected with the union of the other irreducible components of  f has dimension at least e −1, or (2) there is a Thom variety of f of dimension e −1 inside V , or (3) V =  f , and there are no Thom varieties of f of dimension less than e. 2 The Lemma and the Theorem We define the analytic set e−1 f ,z to be the union of the irreducible components of Y e−1 f ,z which are contained in  f . f ,z Given f and a point p ∈V ( f ), for a generic linear choice of coordinates (which we still denote by z), in a neighborhood of p, for all k, k f ,z and k f ,z are purely k-dimensional (which vacuously allows for them to be empty). Thus we refer to them as the k-dimensional relative polar and Lê varieties. We should mention that the next theorem and its proof are closely related to (Massey 1995, Proposition 1.31). However, the hypotheses of that proposition are confusing, the result depends on a coordinate choice, the conclusion is not as general as it could be, and the proof omits important details. Theorem 2.3 (Thom Going Down) Let V be an irreducible smooth component of  f at 0. Fix e ≤dim V . Suppose that, at 0, for all j ≥e, the Thom varieties of f of dimension j, which are contained in V , are smooth. Then, at 0, one of the following must hold: Theorem 2.3 (Thom Going Down) Let V be an irreducible smooth component of  f at 0. Fix e ≤dim V . Suppose that, at 0, for all j ≥e, the Thom varieties of f of dimension j, which are contained in V , are smooth. Then, at 0, one of the following must hold: (1) dim0 V ∩ f \V ≥e −1, that is, V intersected with the union of the other irreducible components of  f has dimension at least e −1, or (2) there is a Thom variety of f of dimension e −1 inside V , or (3) V =  f , and there are no Thom varieties of f of dimension less than e. 123 58 Page 4 of 7 Page 4 of 7 58 D. B. Massey D. B. Massey Proof Throughout, we work at the origin, i.e., consider the germ of the situation at the origin. We use our notation from Definition 2.2; however, for convenience, we write simply X in place of Xe f ,z Proof Throughout, we work at the origin, i.e., consider the germ of the situation at the origin. 2 The Lemma and the Theorem We use our notation from Definition 2.2; however, for convenience, we write simply X in place of Xe f ,z f , We will need the characterization of Lê varieties/cycles given in (Massey 1995, Corollary 10.15), which tells us that the Lê variety of dimension j is the union of the j-dimensional absolute polar varieties of the Thom varieties of dimension ≥j. The reader may see (Massey 1994, Theorem 7.5) for the details. (This follows immediately from (Massey 1994, Theorem 7.5) if one uses that the exceptional divisor E of the jacobian blow-up is equal to the projectivized characteristic cycle of the sheaf of vanishing cycles of C• U along f . However, to see the result without passing through the vanishing cycles, see (Massey 2003, Theorem 2.20 and Proposition 1.9).) By our smoothness assumption on the Thom varieties, we may also assume that our coordinates are chosen so that, for all Thom varieties W ⊆V such that dim W ≥e, the restriction of the maps (z0, . . . , zm) to W have no critical points for m < dim W, i.e., V (z0, . . . , zm) transversely intersects W for m < dim W. In terms of absolute polar varieties (for our notation and definition, see (Massey 1994, Definition 7.1)), this means that, for all Thom varieties W ⊆V such that e ≤dim W, the absolute polar varieties (as sets) m z (W) are empty for m < dim W. Note that dim W z (W) = W. Note that an irreducible component of  f of dimension < e can not be an irre- ducible component of X (its dimension is too small), but rather must be contained in an irreducible component of e f ,z. However, since our coordinates are such that e f ,z is purely e-dimensional, every component of  f of dimension ≥e must be an f ,z irreducible component of X. In particular, V is an irreducible component of X. We now apply Lazarsfeld’s Lemma. It tells us that, if 0 ∈V ∩  e f ,z ∪ f \V  , then either We now apply Lazarsfeld’s Lemma. It tells us that, if 0 ∈V ∩  e f ,z ∪ f \V  , then either dim0 V ∩e f ,z ≥e −1 or dim0 V ∩ f \V ≥e −1. 2 The Lemma and the Theorem dim0 V ∩e f ,z ≥e −1 or dim0 V ∩ f \V ≥e −1. Suppose that we are not in case (1) of the theorem, i.e., suppose that dim0 V ∩  f \V < e −1. Then either dim0 V ∩e f ,z ≥e −1, or 0 /∈e f ,z and 0 /∈ f \V . We claim that these correspond to cases (2) and (3), respectively. Case 2: Case 2: Suppose that dim0 V ∩ f \V < e −1 and dim0 V ∩e f ,z ≥e −1. By (Massey 1995, Proposition 1.15), as sets, Suppose that dim0 V ∩ f \V < e −1 and dim0 V ∩e f ,z ≥e −1. f ,z By (Massey 1995, Proposition 1.15), as sets, By (Massey 1995, Proposition 1.15), as sets, V ∩e f ,z = V ∩  j≤e−1  j f ,z, where  j f ,z is the purely j-dimensional Lê cycle. Thus, dim0 V ∩e f ,z ≥e−1 implies that V contains an (e−1)-dimensional irreducible component Y of e−1 f ,z at the origin. By (Massey 1995, Corollary 10.15 and/or Theorem 10.18), Y is a component of an absolute polar variety of a Thom variety T (which necessarily must have dimension ≥e −1) of f ; however, since we are assuming that dim0 V ∩ f \V < e −1, T cannot be contained in another irreducible component of  f , but rather must be contained in V . But by our hypotheses, the Thom varieties in V of dimension > e −1 123 Necessary Codimension One Components… Page 5 of 7 58 are smooth and have no absolute polar varieties of dimension (e −1). Thus T must be (e −1)-dimensional and so Y = T , and we have the conclusion of Case 2. Case 3: are smooth and have no absolute polar varieties of dimension (e −1). Thus T must be (e −1)-dimensional and so Y = T , and we have the conclusion of Case 2. C 3 Now suppose that 0 /∈e f ,z and 0 /∈ f \V . First, 0 /∈ f \V immediately implies that V =  f at the origin. 2 The Lemma and the Theorem As we saw in Case 2, but using that V =  f , we have V ∩e f ,z =  j≤e−1  j f ,z, and, as we are assuming that 0 /∈e f ,z, this implies that, at the origin,  j f ,z = ∅for all j ≤e −1. But  j f ,z includes any Thom variety of dimension j, and so there are none for j ≤e −1. Therefore, we have the conclusion of Case 3. ⊓⊔ and, as we are assuming that 0 /∈e f ,z, this implies that, at the origin,  j f ,z = ∅for all j ≤e −1. But  j f ,z includes any Thom variety of dimension j, and so there are none for j ≤e −1. Therefore, we have the conclusion of Case 3. ⊓⊔ ⊓⊔ We wish to consider families of singularities. The following definition is (Lê and Massey 2006, Definition 1.1). Definition 2.4 Let s := dim0  f . Suppose we have G : U →Cs, the restriction to U of a linear surjection from Cn+1. If q ∈U, we define fq := f|G−1(G(q)). G (G(q)) We say that fq is a simple μ-constant family at the origin if and only if there exists such a G such that G (G(q)) We say that fq is a simple μ-constant family at the origin if and only if there exis such a G such that (1) f0 has an isolated critical point at the origin, (1) f0 has an isolated critical point at the origin, (2)  f is smooth at the origin, (2)  f is smooth at the origin, (2)  f is smooth at the origin, (3) G| f has a regular point at the origin, (3) G| f has a regular point at the or (3) G| f has a regular point at the origin, | f (4) and, for all q ∈ f close to the origin, the Milnor number μq( fq) is independent of q. f (4) and, for all q ∈ f close to the origin, the Milnor number μq( fq) is independent of q. Letting e = dim V in Theorem 2.3, we obtain the corollary from the introduction: Letting e = dim V in Theorem 2.3, we obtain the corollary from the introduction Corollary 2.5 Suppose that  f is smooth at 0. 2 The Lemma and the Theorem Then, at 0, one of the following must hold: (1) T = V , or (2) T ⊆V ∩ f \V , or (1) T = V , or ( ) , (2) T ⊆V ∩ f \V , or ( ) f \ (3) there exists a Thom variety T ′ ⊆V of f at 0 such that T ⊆T ′, or (4) there exists a Thom variety T ′ ⊆V of f at 0 such dim T ′ = r + 1 and T ⊆T ′. f \ (3) there exists a Thom variety T ′ ⊆V of f at 0 such that T ⊆T ′, or (4) h i Th i T ′ ⊆V f f 0 h di T ′ + 1 d T ⊆ (3) there exists a Thom variety T ′ ⊆V of f at 0 such that T ⊆T ′, or (4) there exists a Thom variety T ′ ⊆V of f at 0 such dim T ′ = r + 1 and T ⊆T ′. Proof Suppose that we are not in Cases 1, 2, or 3. Then, let X := T \ ⎛ ⎜⎝ f \V ∪  T ′ T ′ ∪  T ′′⊉T T ′′ ⎞ ⎟⎠, where the unions are over all Thom varieties T ′ and T ′′ contained in V , and T ′′ ⊉T . Since we are not in Cases 2 or 3, X is an open, dense subset of T . Let x ∈X. Then, x /∈ f \V and, at x, every Thom variety T ′ ⊆V contains T and is smooth at x. We apply Theorem 2.3 at x in place of 0. Let e be the smallest dimension of a Thom variety T ′ ⊆V at x such that T ′ properly contains T ; there is such an e since we are not in Case 1, i.e., V itself is a Thom variety in V which properly contains T . Then we must be in Case 2 of Theorem 2.3, and there must be a Thom variety T of dimension (e −1) in V at x. But this T must contain T (by the choice of x), and we would have a contradiction of the definition of e unless T does not properly contain T . 2 The Lemma and the Theorem Then, at 0, either Corollary 2.5 Suppose that  f is smooth at 0. Then, at 0, either Corollary 2.5 Suppose that  f is smooth at 0. Then, at 0, either (1) there is a Thom variety of f of codimension 1 in  f , or (1) there is a Thom variety of f of codimension 1 in  f , or (2)  f itself is the only Thom variety, and f defines a family of isolated singulari- ties with constant Milnor number, that is, a simple μ-constant family as given in Definition 1.1 of Lê and Massey (2006). (2)  f itself is the only Thom variety, and f defines a family of isolated singulari- ties with constant Milnor number, that is, a simple μ-constant family as given in Definition 1.1 of Lê and Massey (2006). Proof Let e = dim V in Theorem 2.3. Then we obtain essentially the whole corollary. If  f is smooth, then it is irreducible, and Case 1 from the theorem cannot occur. Cases 2 and 3 from the theorem correspond to Cases 1 and 2, respectively, of the corollary. The only thing that requires further proof is that Case 3 of the theorem implies that f defines a family of isolated singularities with constant Milnor number. However, Case 3 of Theorem 2.3 is the case where 0 /∈e f ,z, that is, e f ,z is empty near the origin or, with its cycle structure, is 0. Then one applies the equivalence of Conditions 3 and 5 from Theorem 2.3 of Lê and Massey (2006) to conclude that f defines a family of isolated singularities with constant Milnor number (a simple μ-constant family). ⊓⊔ ⊓⊔ 3 12 58 Page 6 of 7 58 D. B. Massey We can use Theorem 2.3 to prove a version of itself which refers to super-Thom varieties rather than sub-Thom varieties. Theorem 2.6 (Thom Going Up) Let T be an r-dimensional Thom variety of f at 0. Let V ⊇T be an irreducible component of  f at 0. 2 The Lemma and the Theorem Thus we must have T = T at x and e = r + 1. Since this is true for x in an open, dense subset of T , the conclusion of Case 4 follows. ⊓⊔ 3 Examples Example 3.1 Suppose that the irreducible components of  f at the origin are a line L and a plane P. Is it possible that L and P are the only Thom varieties of f at 0? The answer is “no”, and one might suspect that that is because {0} must also be a Thom variety. However, Theorem 2.3 with e = 2 tells us that, in fact, the plane P must contain a 1-dimensional Thom variety. y Let us look at a specific example. Let f = w2 + xyz2. Then,  f = V  2w, yz2, xz2, 2xyz  = V (w, z) ∪V (w, y, x) = P ∪L. Of course, P and L are Thom varieties, but Theorem 2.3 tells us that there must be a 1-dimensional Thom variety contained in P. Of course, P and L are Thom varieties, but Theorem 2.3 tells us that there must be a 1-dimensional Thom variety contained in P. The reader is invited to calculate the blow-up of the jacobian ideal to show that the other Thom varieties are, in fact, V (w, z, x), V (w, z, y) and {0}. 123 Page 7 of 7 Necessary Codimension One Components… 58 Example 3.2 Is the smoothness requirement in Theorem 2.3 and Corollary 2.5 really necessary? Yes. Consider f = w2 + (x2 + y2 + z2)2. Then, Example 3.2 Is the smoothness requirement in Theorem 2.3 and Corollary 2.5 really necessary? Yes. Consider f = w2 + (x2 + y2 + z2)2. Then,  f = V  2w, 4(x2 + y2 + z2)x, 4(x2 + y2 + z2)y, 4(x2 + y2 + z2)z  = V (w, x2 + y2 + z2). = V (w, x2 + y2 + z2). Now V (w, x2 + y2 + z2) is a Thom variety. However, by symmetry, there cannot be a 1-dimensional Thom variety inside V (w, x2 + y2 + z2) and yet, by direct calculation, one can show that {0} is a Thom variety. Now V (w, x2 + y2 + z2) is a Thom variety. However, by symmetry, there cannot be a 1-dimensional Thom variety inside V (w, x2 + y2 + z2) and yet, by direct calculation, one can show that {0} is a Thom variety. Thus, if  f is irreducible, but not smooth, the conclusions of Corollary 2.5 need not hold. Funding Open access funding provided by Northeastern University Library OpenAccess ThisarticleislicensedunderaCreativeCommonsAttribution4.0InternationalLicense,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/. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. References Kashiwara, M.: Systems of Microdifferential Equations, volume 34 of Progress in Mathematics. Birkhäuser, 1983. Notes and translation by T. M. Fernandes from Systèmes d’equations micro-differentielles, Dépt. de Math., Univ. Paris-Nord 8, (1978) Lazarsfeld, R.: Branched Coverings of Projective Space. PhD thesis, Brown University, 1980 Lazarsfeld, R.: Positivity in Algebraic Geometry I, volume 48 of Ergebnisse der Mathematik. Springe Verlag, (2004) Lê, D.T., Massey, D.: Hypersurface singularities and milnor equisingularity. Pure Appl. Math. Quart. 2(3 893–914 (2006). (special issue in honor of Robert MacPherson&apos;s 60th birthday) Lê, D.T., Mebkhout, Z.: Variétés caractéristiques et variétés polaires. C.R. Acad. Sc. Paris 296, 129–132 (1983) Massey, D.: Numerical invariants of perverse sheaves. Duke Math. J. 73(2), 307–370 (1994) Massey, D.: Lê Cycles and Hypersurface Singularities. volume 1615 of Lecture Notes in Ma New York (1995) Massey, D.: Critical points of functions on singular spaces. Top. Appl. 103, 55–93 (2000) Massey, D.: Numerical Control Over Complex Analytic Singularities, volume 778 of Memoirs of the AMS. AMS, New York (2003) Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. 123 123 12
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https://amt.copernicus.org/preprints/amt-2022-204/amt-2022-204.pdf
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Assessing the consistency of satellite-derived upper tropospheric humidity measurements
Atmospheric measurement techniques
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Correspondence to: Lei Shi (lei.shi@noaa.gov) Conversely, large negative anomalies were obtained during El Niño events when the tropical domain average is taken. The weakened ascending branch of the Pacific Walker circulation in the western Pacific and the enhanced descending branches of the local Hadley circulation along the Pacific subtropics largely contributed to widespread drying areas and thus negative anomalies in the upper troposphere during El Niño events as shown in all four datasets. Due to differences in retrieval 25 definitions, calibration methods, and sensor limitations, there are differences in spatial anomalies and temporal change rates, where more significant anomaly values are usually found in the microwave UTH data. anomalies in the upper troposphere during El Niño events as shown in all four datasets. Due to differences in retrieval 25 definitions, calibration methods, and sensor limitations, there are differences in spatial anomalies and temporal change rates, where more significant anomaly values are usually found in the microwave UTH data. Assessing the consistency of satellite derived upper tropospheric humidity measurements Lei Shi 1, Carl J. Schreck III 2, Viju O. John 3, Eui-Seok Chung 4, Theresa Lang 5,6, Stefan A. Buehler 5, Brian J. Soden 7 1NOAA NESDIS National Centers for Environmental Information (NCEI), Asheville, NC, USA 5 2Cooperative Institute for Satellite Earth System Studies (CISESS), North Carolina State University, Asheville, NC, USA 3EUMETSAT and Met Office Hadley Centre, Exeter, UK 4Korea Polar Research Institute, Incheon, South Korea 5Meteorological Institute, Universität Hamburg, Germany 6International Max Planck Research School on Earth System Modelling, Max Planck Institute for Meteorology, Hamburg, 10 Germany 7Rosenstiel School of Marine and Atmospheric Science, University of Miami, Miami, FL, USA 6International Max Planck Research School on Earth System Modelling, Max Planck Institute for Meteorology, Hamburg, 10 Germany 7Rosenstiel School of Marine and Atmospheric Science, University of Miami, Miami, FL, USA https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. Correspondence to: Lei Shi (lei.shi@noaa.gov) Abstract. Four upper tropospheric humidity (UTH) datasets derived from satellite sounders are evaluated to assess their 15 consistency as part of the activities for the Global Energy and Water Exchanges (GEWEX) water vapor assessment project. The datasets include UTH computed from brightness temperature measurements of the 183.31 ± 1 GHz channel of the Special Sensor Microwave – Humidity (SSM/T-2), Advanced Microwave Sounding Unit-B (AMSU-B), and Microwave Humidity Sounder (MHS), and from channel 12 of the High-Resolution Infrared Radiation Sounder (HIRS). The four Abstract. Four upper tropospheric humidity (UTH) datasets derived from satellite sounders are evaluated to assess their 15 consistency as part of the activities for the Global Energy and Water Exchanges (GEWEX) water vapor assessment project. The datasets include UTH computed from brightness temperature measurements of the 183.31 ± 1 GHz channel of the Special Sensor Microwave – Humidity (SSM/T-2), Advanced Microwave Sounding Unit-B (AMSU-B), and Microwave Humidity Sounder (MHS), and from channel 12 of the High-Resolution Infrared Radiation Sounder (HIRS). The four datasets are consistent in the interannual temporal and spatial variability of the tropics. Large positive anomalies peaked over 20 the central equatorial Pacific region during El Niño events in the same phase with the increase of sea surface temperature. Conversely, large negative anomalies were obtained during El Niño events when the tropical domain average is taken. The weakened ascending branch of the Pacific Walker circulation in the western Pacific and the enhanced descending branches of the local Hadley circulation along the Pacific subtropics largely contributed to widespread drying areas and thus negative datasets are consistent in the interannual temporal and spatial variability of the tropics. Large positive anomalies peaked over 20 the central equatorial Pacific region during El Niño events in the same phase with the increase of sea surface temperature. Conversely, large negative anomalies were obtained during El Niño events when the tropical domain average is taken. The weakened ascending branch of the Pacific Walker circulation in the western Pacific and the enhanced descending branches of the local Hadley circulation along the Pacific subtropics largely contributed to widespread drying areas and thus negative datasets are consistent in the interannual temporal and spatial variability of the tropics. Large positive anomalies peaked over 20 the central equatorial Pacific region during El Niño events in the same phase with the increase of sea surface temperature. 1 Introduction UTH was shown closely associated with deep convection and the evolution of large-scale weather systems (Soden and Fu, 1995; Brogniez et al., 2009; Zelinka and Hartmann, 2009; Luo et al., 2007) and interacting with tropical cirrus life cycle (Luo and Rossow, 2004). The 55 measurements have been used in the studies on the strengthening of the Hadley and Walker circulations (Sohn and Park, 2010), the widening of the tropical width (Mantsis et al., 2017), and a possible expansion of the sub-tropical dry zones (Tivig et al., 2020). The UTH measurements from both microwave and infrared sounders are used together with ground-based observations and climate model simulations to examine global-scale changes in water vapor and response to surface and Hartmann, 2009; Luo et al., 2007) and interacting with tropical cirrus life cycle (Luo and Rossow, 2004). The 55 measurements have been used in the studies on the strengthening of the Hadley and Walker circulations (Sohn and Park, 2010), the widening of the tropical width (Mantsis et al., 2017), and a possible expansion of the sub-tropical dry zones (Tivig et al., 2020). The UTH measurements from both microwave and infrared sounders are used together with ground-based observations and climate model simulations to examine global-scale changes in water vapor and response to surface and Hartmann, 2009; Luo et al., 2007) and interacting with tropical cirrus life cycle (Luo and Rossow, 2004). The 55 measurements have been used in the studies on the strengthening of the Hadley and Walker circulations (Sohn and Park, 2010), the widening of the tropical width (Mantsis et al., 2017), and a possible expansion of the sub-tropical dry zones (Tivig et al., 2020). The UTH measurements from both microwave and infrared sounders are used together with ground-based observations and climate model simulations to examine global-scale changes in water vapor and response to surface temperature variability (Allan et al., 2022). 60 Water vapor is an important greenhouse gas. Its concentration in the free troposphere is controlled by condensation at the cold point and subsequent advection. This leads to a roughly constant relative humidity, which implies a strong increase in absolute humidity content with warming (Soden et al., 2005; Chung et al., 2014). This well understood overall picture is modulated by subtle changes in the distribution of humidity, as measured by the UTH, linked to changes in atmospheric dynamics with warming (Held and Soden, 2000). 65 temperature variability (Allan et al., 2022). 1 Introduction The development of UTH datasets and the examination of temporal and spatial variabilities of UTH have been presented in The development of UTH datasets and the examination of temporal and spatial variabilities of UTH have been presented in numerous studies, including both infrared datasets (Soden and Bretherton, 1993; Jackson and Bates, 2001; Brogniez et al., 45 2006; Shi and Bates, 2011; Iacono et al., 2003; Chung et al., 2007; Gierens et al., 2014; Schröder et al., 2014) and microwave datasets (Brogniez and Pierrehumbert, 2006; Chung et al., 2013; Sohn et al., 2000; Buehler et al., 2008; Lang et al., 2020; Brogniez et al., 2015; Moradi et al., 2016). The variability of UTH is regulated by the large-scale atmospheric circulation. The spatial patterns of UTH measurement are highly correlated with widely used climate indices such as the Niño 3.4, Pacific Decadal Oscillation (PDO), Pacific–North American (PNA), and North Atlantic Oscillation (NAO) indices 50 (Shi and Bates, 2011; Shi et al., 2018). The measurements have been applied in various atmospheric variability studies. For example, UTH datasets facilitated studies that showed strong relation between UTH and El Niño-Southern Oscillation (ENSO) (Mccarthy and Toumi, 2004; Bates et al., 1996; Soden and Lanzante, 1996). UTH was shown closely associated with deep convection and the evolution of large-scale weather systems (Soden and Fu, 1995; Brogniez et al., 2009; Zelinka and Hartmann, 2009; Luo et al., 2007) and interacting with tropical cirrus life cycle (Luo and Rossow, 2004). The 55 measurements have been used in the studies on the strengthening of the Hadley and Walker circulations (Sohn and Park, 2010), the widening of the tropical width (Mantsis et al., 2017), and a possible expansion of the sub-tropical dry zones (Tivig et al., 2020). The UTH measurements from both microwave and infrared sounders are used together with ground-based observations and climate model simulations to examine global-scale changes in water vapor and response to surface temperature variability (Allan et al., 2022). 1 Introduction 60 The development of UTH datasets and the examination of temporal and spatial variabilities of UTH have been presented in numerous studies, including both infrared datasets (Soden and Bretherton, 1993; Jackson and Bates, 2001; Brogniez et al., 45 2006; Shi and Bates, 2011; Iacono et al., 2003; Chung et al., 2007; Gierens et al., 2014; Schröder et al., 2014) and microwave datasets (Brogniez and Pierrehumbert, 2006; Chung et al., 2013; Sohn et al., 2000; Buehler et al., 2008; Lang et al., 2020; Brogniez et al., 2015; Moradi et al., 2016). The variability of UTH is regulated by the large-scale atmospheric circulation. The spatial patterns of UTH measurement are highly correlated with widely used climate indices such as the numerous studies, including both infrared datasets (Soden and Bretherton, 1993; Jackson and Bates, 2001; Brogniez et al., 45 2006; Shi and Bates, 2011; Iacono et al., 2003; Chung et al., 2007; Gierens et al., 2014; Schröder et al., 2014) and microwave datasets (Brogniez and Pierrehumbert, 2006; Chung et al., 2013; Sohn et al., 2000; Buehler et al., 2008; Lang et al., 2020; Brogniez et al., 2015; Moradi et al., 2016). The variability of UTH is regulated by the large-scale atmospheric circulation. The spatial patterns of UTH measurement are highly correlated with widely used climate indices such as the numerous studies, including both infrared datasets (Soden and Bretherton, 1993; Jackson and Bates, 2001; Brogniez et al., 45 2006; Shi and Bates, 2011; Iacono et al., 2003; Chung et al., 2007; Gierens et al., 2014; Schröder et al., 2014) and microwave datasets (Brogniez and Pierrehumbert, 2006; Chung et al., 2013; Sohn et al., 2000; Buehler et al., 2008; Lang et al., 2020; Brogniez et al., 2015; Moradi et al., 2016). The variability of UTH is regulated by the large-scale atmospheric circulation. The spatial patterns of UTH measurement are highly correlated with widely used climate indices such as the Niño 3.4, Pacific Decadal Oscillation (PDO), Pacific–North American (PNA), and North Atlantic Oscillation (NAO) indices 50 (Shi and Bates, 2011; Shi et al., 2018). The measurements have been applied in various atmospheric variability studies. For example, UTH datasets facilitated studies that showed strong relation between UTH and El Niño-Southern Oscillation (ENSO) (Mccarthy and Toumi, 2004; Bates et al., 1996; Soden and Lanzante, 1996). 1 Introduction The Global Energy and Water Exchanges (GEWEX) project’s water vapor assessment (G-VAP) is organized by the GEWEX Data and Assessments Panel. Three Global Climate Observing System (GCOS) Essential Climate Variables on 30 water vapor are assessed in the G-VAP project, including total column water vapor, upper tropospheric humidity (UTH), and 1 1 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. water vapor and associated temperature profiles. The present study is part of the G-VAP activities, focusing on the consistency assessment among satellite-derived UTH measurements. Operational routine satellite infrared measurements of UTH started with the High-Resolution Infrared Radiation Sounder (HIRS) instrument onboard Television InfraRed Observation Satellite N (TIROS-N), which was launched in 1978, and the 35 measurement has been continuously produced from the National Oceanic and Atmospheric Administration (NOAA) and Meteorological Operational satellite (Metop) polar orbiting satellites to the present. UTH measurements from geostationary observations have been generated since 1983. Since 1991, microwave sounding measurements have been added to the suite of UTH observations. UTH can also be derived from the new generation hyper-spectral sounders including Atmospheric (HIRS) instrument onboard Television InfraRed Observation Satellite N (TIROS-N), which was launched in 1978, and the 35 measurement has been continuously produced from the National Oceanic and Atmospheric Administration (NOAA) and Meteorological Operational satellite (Metop) polar orbiting satellites to the present. UTH measurements from geostationary observations have been generated since 1983. Since 1991, microwave sounding measurements have been added to the suite of UTH observations. UTH can also be derived from the new generation hyper-spectral sounders including Atmospheric 35 Infrared Sounder (AIRS), Infrared Atmospheric Sounding Interferometer (IASI), and Cross-track Infrared Sounder (CrIS), 40 and other satellite instruments such as Sondeur Atmosphérique du Profil d’Humidité Intertropicale par Radiométrie (SAPHIR). These satellite sounder measurements complement each other in providing a long-term full picture of the UTH field. Infrared Sounder (AIRS), Infrared Atmospheric Sounding Interferometer (IASI), and Cross-track Infrared Sounder (CrIS), 40 and other satellite instruments such as Sondeur Atmosphérique du Profil d’Humidité Intertropicale par Radiométrie (SAPHIR). These satellite sounder measurements complement each other in providing a long-term full picture of the UTH field. 2 Datasets 75 The four datasets analyzed in this study include UTH generated by the Satellite Application Facility on Climate Monitoring (CMSAF), the Fidelity and Uncertainty in Climate data records from Earth Observations (FIDUCEO) project, the National Centers for Environmental Information (NCEI), and University of Miami (UMIAMI). Three of these are based on microwave sounder measurements, and one is based on infrared sounder measurements. The CMSAF and UMIAMI datasets are derived from AMSU-B/MHS measurements. The FIDUCEO dataset adds Special Sensor Microwave Humidity (SSM/T- 80 The four datasets analyzed in this study include UTH generated by the Satellite Application Facility on Climate Monitoring (CMSAF), the Fidelity and Uncertainty in Climate data records from Earth Observations (FIDUCEO) project, the National Centers for Environmental Information (NCEI), and University of Miami (UMIAMI). Three of these are based on microwave sounder measurements, and one is based on infrared sounder measurements. The CMSAF and UMIAMI datasets are derived from AMSU-B/MHS measurements. The FIDUCEO dataset adds Special Sensor Microwave Humidity (SSM/T- 80 2) to the microwave measurements that extends the time series back to 1994. The NCEI UTH data are derived from HIRS Channel 12 measurements. The following provides details of the four datasets. are derived from AMSU-B/MHS measurements. The FIDUCEO dataset adds Special Sensor Microwave Humidity (SSM/T- 80 2) to the microwave measurements that extends the time series back to 1994. The NCEI UTH data are derived from HIRS Channel 12 measurements. The following provides details of the four datasets. 2.1 CMSAF UTH The microwave sounder UTH data (version 1.0) are derived from AMSU-B and MHS f The microwave sounder UTH data (version 1.0) are derived from AMSU-B and MHS from the 183.31 ± 1 GHz channel (John, 2019). The dataset is based on a microwave humidity sounder dataset record generated by EUMETSAT within the 85 framework of the ERA-Clim2 project. A combination of methods was used to estimate inter-satellite biases for the microwave humidity sounders (John et al., 2013; Saunders et al., 2013). There is a simple linear relationship between brightness temperature (Tb) emanated from water vapor emissions in the upper troposphere and the natural logarithm of UTH (e.g., see Buehler and John (2005)), which is the Jacobian weighted relative humidity in the upper troposphere: (John, 2019). The dataset is based on a microwave humidity sounder dataset record generated by EUMETSAT within the 85 framework of the ERA-Clim2 project. A combination of methods was used to estimate inter-satellite biases for the microwave humidity sounders (John et al., 2013; Saunders et al., 2013). There is a simple linear relationship between brightness temperature (Tb) emanated from water vapor emissions in the upper troposphere and the natural logarithm of UTH (e.g., see Buehler and John (2005)), which is the Jacobian weighted relative humidity in the upper troposphere: (John, 2019). The dataset is based on a microwave humidity sounder dataset record generated by EUMETSAT within the 85 framework of the ERA-Clim2 project. A combination of methods was used to estimate inter-satellite biases for the microwave humidity sounders (John et al., 2013; Saunders et al., 2013). There is a simple linear relationship between brightness temperature (Tb) emanated from water vapor emissions in the upper troposphere and the natural logarithm of UTH (e.g., see Buehler and John (2005)), which is the Jacobian weighted relative humidity in the upper troposphere: ln(UTH) = a + b * Tb (1) 90 The coefficients a and b are determined by linear regression, using a training data set of atmospheric temperature and humidity profiles, in which a = 23.467520 and b = -0.099240916. The CM-SAF UTH is derived for individual pixels and then gridded. The product is provided to users on a global, daily 1.0° x 1.0° latitude-longitude grid. 1 Introduction 60 Water vapor is an important greenhouse gas. Its concentration in the free troposphere is controlled by condensation at the cold point and subsequent advection. This leads to a roughly constant relative humidity, which implies a strong increase in absolute humidity content with warming (Soden et al., 2005; Chung et al., 2014). This well understood overall picture is modulated by subtle changes in the distribution of humidity, as measured by the UTH, linked to changes in atmospheric dynamics with warming (Held and Soden, 2000). 65 2 2 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. Inter-comparison of independently generated UTH datasets provides verification of the datasets’ credibility for their uses in research and long-term monitoring. An earlier consistency study (Chung et al., 2016) analyzed UTH derived from HIRS, Advanced Microwave Sounding Unit-B (AMSU-B) / Microwave Humidity Sounder (MHS), and AIRS, and showed that all three products exhibit consistent spatial and temporal patterns of interannual variability. The first phase of the GEWEX UTH assessment (Schröder et al., 2017) included UTH derived from both polar orbiting HIRS, AMSU-B/MHS, and geostationary 0 MVIRI/SEVIRI. Since then, two new polar-orbiting satellite microwave UTH datasets have been developed, and there are now new versions and extended records available for the HIRS and the microwave dataset examined previously. In this study we provide an update on the inter-comparison of the polar-orbiting satellite UTH datasets by including four participating datasets, two of which are new datasets and two of which have updated versions and extended time series. 2.3 NCEI UTH 110 HIRS UTH dataset has a monthly coverage based on clear-sky observations with a spatial resolution of 2.5° 120 x 2.5° degrees. The UTH is computed from gridded brightness temperature data. The data analyzed in this report cover the period of November 1978 – December 2020. and b = -0.115. HIRS UTH dataset has a monthly coverage based on clear-sky observations with a spatial resolution of 2.5° 120 x 2.5° degrees. The UTH is computed from gridded brightness temperature data. The data analyzed in this report cover the period of November 1978 – December 2020. 2.2 FIDUCEO UTH The FIDUCEO UTH (version 1.2) is based on the FIDUCEO fundamental climate data record of recalibrated microwave sounder brightness temperatures (Hans et al., 2019), covering the sensors SSM/T-2, AMSU-B and MHS. It uses a new UTH sounder brightness temperatures (Hans et al., 2019), covering the sensors SSM/T-2, AMSU-B and MHS. It uses a new UTH definition (Lang et al., 2020) based on the concept that the atmospheric emission layer for a water vapor channel is bounded 100 by two characteristic amounts of water vapor integrated from the top of the atmosphere downwards. Using this idea, UTH is defined as the mean relative humidity in a layer between two altitude levels z(IWV1) and z(IWV2), at which the integrated water vapor (IWV) exceeds two viewing angle dependent thresholds IWV1 and IWV2. The thresholds IWV1 and IWV2 play a similar role in capturing the atmospheric emission layer as the Jacobian in the traditional definition. The IWV definition (Lang et al., 2020) based on the concept that the atmospheric emission layer for a water vapor channel is bounded 100 by two characteristic amounts of water vapor integrated from the top of the atmosphere downwards. Using this idea, UTH is defined as the mean relative humidity in a layer between two altitude levels z(IWV1) and z(IWV2), at which the integrated water vapor (IWV) exceeds two viewing angle dependent thresholds IWV1 and IWV2. The thresholds IWV1 and IWV2 play a similar role in capturing the atmospheric emission layer as the Jacobian in the traditional definition. The IWV 100 thresholds were optimized in such a way that the linear relationship between the Tb and the logarithm of UTH is best 105 fulfilled for the European Centre for Medium-Range Weather Forecasts (ECMWF) training atmospheres. The data record covers the time between 1994 and 2017, and provides monthly mean brightness temperatures and derived UTH along with estimates of measurement uncertainty on a 1° × 1° latitude-longitude grid covering the tropical region (30°S to 30°N). The UTH is first derived for individual pixels before gridding. Only pixels close to the nadir view of the satellite are selected. 2.1 CMSAF UTH UTH is retrieved for all cloud and surface cleared and limb-corrected brightness temperatures ln(UTH) = a + b * Tb (1) 90 The coefficients a and b are determined by linear regression, using a training data set of atmospheric temperature and humidity profiles, in which a = 23.467520 and b = -0.099240916. The CM-SAF UTH is derived for individual pixels and then gridded. The product is provided to users on a global, daily 1.0° (1) ln(UTH) = a + b Tb (1) 90 The coefficients a and b are determined by linear regression, using a training data set of atmospheric temperature and humidity profiles, in which a = 23.467520 and b = -0.099240916. The CM-SAF UTH is derived for individual pixels and then gridded. The product is provided to users on a global, daily 1.0° x 1.0° latitude-longitude grid. UTH is retrieved for all cloud and surface cleared and limb-corrected brightness temperatures for each day. These are then separated for ascending and descending passes and binned into each 1.0° grid cell. The time 95 series analyzed in this report covers 1999 - 2019 for the CMSAF data. The CM-SAF UTH is derived for individual pixels and then gridded. The product is provided to users on a global, daily 1.0° x 1.0° latitude-longitude grid. UTH is retrieved for all cloud and surface cleared and limb-corrected brightness temperatures for each day. These are then separated for ascending and descending passes and binned into each 1.0° grid cell. The time 95 series analyzed in this report covers 1999 - 2019 for the CMSAF data. for each day. These are then separated for ascending and descending passes and binned into each 1.0° grid cell. The time 95 series analyzed in this report covers 1999 - 2019 for the CMSAF data. for each day. These are then separated for ascending and descending passes and binned into each 1.0° grid cell. The time 95 series analyzed in this report covers 1999 - 2019 for the CMSAF data. 3 3 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. 2.3 NCEI UTH 110 The NCEI UTH dataset is based on version 3.2 of HIRS channel 12 brightness temperature data (Shi and Bates, 2011). Because an infrared sounder cannot sense through clouds, cloudy pixels are removed from the dataset. The cloud-filtered and limb-corrected channel brightness temperatures are calibrated using derived adjustment coefficients from matched overlapping HIRS data between satellites. In this study the UTH is calculated based on the relationship between UTH and 𝑈𝑈𝑈𝑒 The NCEI UTH dataset is based on version 3.2 of HIRS channel 12 brightness temperature data (Shi and Bates, 2011). Because an infrared sounder cannot sense through clouds, cloudy pixels are removed from the dataset. The cloud-filtered and limb-corrected channel brightness temperatures are calibrated using derived adjustment coefficients from matched overlapping HIRS data between satellites. In this study the UTH is calculated based on the relationship between UTH and HIRS channel 12 brightness temperatures centered at 6.7 µm (T6.7) derived by Soden and Bretherton (1996): 115 𝑈𝑈𝑈𝑈𝑈𝑈= 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 𝑝𝑝0 𝑒𝑒(𝑎𝑎+ 𝑏𝑏∗ 𝑇𝑇6.7) (2) in which 𝜃𝜃 is the viewing angle. The 𝑝𝑝0 is the pressure of the 240 K isotherm divided by 300 hPa (𝑝𝑝0 = p[T = 240 K] / 300 hPa) which is determined from a training set of ECMWF profiles for 1986-1989 as a function of month, latitude, and longitude. The a, and b are determined based on the training profiles and radiative transfer model simulation of T6.7, in which a = 31.5 HIRS channel 12 brightness temperatures centered at 6.7 µm (T6.7) derived by Soden and Bretherton (1996): 115 𝑈𝑈𝑈𝑈𝑈𝑈= 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 𝑝𝑝0 𝑒𝑒(𝑎𝑎+ 𝑏𝑏∗ 𝑇𝑇6.7) (2) 𝜃𝑝𝑝 𝑈𝑈𝑈𝑈𝑈𝑈= 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 𝑝𝑝0 𝑒𝑒(𝑎𝑎+ 𝑏𝑏∗ 𝑇𝑇6.7) (2) 𝜃𝑝𝑝 (2) 𝑝 in which 𝜃𝜃 is the viewing angle. The 𝑝𝑝0 is the pressure of the 240 K isotherm divided by 300 hPa (𝑝𝑝0 = p[T = 240 K] / 300 hPa) which is determined from a training set of ECMWF profiles for 1986-1989 as a function of month, latitude, and longitude. The a, and b are determined based on the training profiles and radiative transfer model simulation of T6.7, in which a = 31.5 which is determined from a training set of ECMWF profiles for 1986-1989 as a function of month, latitude, and longitude. The a, and b are determined based on the training profiles and radiative transfer model simulation of T6.7, in which a = 31.5 and b = -0.115. 2.4 UMIAMI UTH The UMIAMI data (Chung et al., 2013) are available as gridded brightness temperatures from The UMIAMI data (Chung et al., 2013) are available as gridded brightness temperatures from AMSU-B and MHS on a 1.5° × 1.5° latitude-longitude grid. Biases due to the difference in local observation time between satellites and spurious trends 125 associated with satellite orbital drift are diagnosed and adjusted for using synthetic radiative simulations based on the Interim European Centre for Medium-Range Weather Forecasts Re-Analysis (ERA-Interim) and ERA5. The adjusted, raincloud- × 1.5° latitude-longitude grid. Biases due to the difference in local observation time between satellites and spurious trends 125 associated with satellite orbital drift are diagnosed and adjusted for using synthetic radiative simulations based on the Interim European Centre for Medium-Range Weather Forecasts Re-Analysis (ERA-Interim) and ERA5. The adjusted, raincloud- 4 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. filtered, and limb-corrected brightness temperatures are then intercalibrated using zonal-mean brightness temperature differences. In this study the formula as that is used by the CMSAF dataset is applied to compute UTH. However, unlike the computation of the CMSAF UTH in which the UTH is first derived for each individual pixel before gridding, the UMIAMI UTH is computed from gridded averaged brightness temperature values. The time series for this study covers 1999 – 2020. 3 Results and discussions The assessment examines several aspects of the UTH datasets, including consistency in time series, spatial feature consistency, and changes during the datasets’ common period. The following describes the analyses and results. 3.1 Intercomparison of time series 135 For the UMIAMI and HIRS dataset, the gridding of the brightness temperature is done first, then UTH is computed from averaged brightness temperatures. Based on a study by 5°N, 120°W-170°W) (originally presented by Trenberth (1997)). 145 In Figure 1a, the four datasets appear to be separated with two groups of similar UTH values. The values of CMSAF and FIDUCEO UTH are larger than the values of NCEI and UMIAMI UTH. Among the datasets, the UTH of CMSAF and FIDUCEO is first computed for each pixel before taking grid averages. For the UMIAMI and HIRS dataset, the gridding of the brightness temperature is done first, then UTH is computed from averaged brightness temperatures. Based on a study by 5°N, 120°W-170°W) (originally presented by Trenberth (1997)). 145 In Figure 1a, the four datasets appear to be separated with two groups of similar UTH values. The values of CMSAF and FIDUCEO UTH are larger than the values of NCEI and UMIAMI UTH. Among the datasets, the UTH of CMSAF and FIDUCEO is first computed for each pixel before taking grid averages. For the UMIAMI and HIRS dataset, the gridding of the brightness temperature is done first, then UTH is computed from averaged brightness temperatures. Based on a study by John et al. (2006), such different ways of computing UTH can lead to a difference of up to 6% UTH. Figure 1c shows that 150 there is a difference of approximately 3-5% UTH between two groups of UTH datasets when a tropical average is taken. In spite of this structural discrepancy, the anomaly plot of the brightness temperatures in Figure 1b shows good consistency in seasonal and interannual variabilities among the four datasets. In the FIDUCEO dataset, SSM/T-2 data before 1998 were at times sparse or missing, causing a few data gaps and some uncertainty in monthly means. Despite different definitions and John et al. (2006), such different ways of computing UTH can lead to a difference of up to 6% UTH. Figure 1c shows that 150 there is a difference of approximately 3-5% UTH between two groups of UTH datasets when a tropical average is taken. In spite of this structural discrepancy, the anomaly plot of the brightness temperatures in Figure 1b shows good consistency in seasonal and interannual variabilities among the four datasets. 3.1 Intercomparison of time series 135 The UTH datasets are most often used to monitor tropical atmospheric activities (e.g., Brogniez et al. (2015), Tivig et al. (2020) and John et al. (2021)). Therefore, the assessment focuses on the consistency of the tropical data. Figure 1 plots the time series of UTH datasets averaged over the domain 20°S–20°N. These include UTH derived from both microwave 183.31 ± 1 GHz brightness temperatures and infrared 6.7 µm brightness temperatures. Figure 1a displays domain-averaged monthly mean values of UTH, Figure 1b shows the corresponding anomalies, and Figures 1c and 1d show the differences in UTH and 140 in anomaly values, respectively, relative to the values of UMIAMI. In the anomaly calculation, the period 2000-2015 is used for climatology. Figure 1e displays the time series of the Oceanic Niño Index (ONI) (available at https://origin.cpc.ncep.noaa.gov/products/analysis_monitoring/ensostuff/ONI_v5.php; accessed June 16, 2022). The ONI is constructed using the three-month running average sea surface temperature (SST) anomalies in the Niño 3.4 region (5°S– mean values of UTH, Figure 1b shows the corresponding anomalies, and Figures 1c and 1d show the differences in UTH and 140 in anomaly values, respectively, relative to the values of UMIAMI. In the anomaly calculation, the period 2000-2015 is used for climatology. Figure 1e displays the time series of the Oceanic Niño Index (ONI) (available at https://origin.cpc.ncep.noaa.gov/products/analysis_monitoring/ensostuff/ONI_v5.php; accessed June 16, 2022). The ONI is constructed using the three-month running average sea surface temperature (SST) anomalies in the Niño 3.4 region (5°S– mean values of UTH, Figure 1b shows the corresponding anomalies, and Figures 1c and 1d show the differences in UTH and 140 in anomaly values, respectively, relative to the values of UMIAMI. In the anomaly calculation, the period 2000-2015 is used for climatology. Figure 1e displays the time series of the Oceanic Niño Index (ONI) (available at https://origin.cpc.ncep.noaa.gov/products/analysis_monitoring/ensostuff/ONI_v5.php; accessed June 16, 2022). The ONI is constructed using the three-month running average sea surface temperature (SST) anomalies in the Niño 3.4 region (5°S– 5°N, 120°W-170°W) (originally presented by Trenberth (1997)). 145 In Figure 1a, the four datasets appear to be separated with two groups of similar UTH values. The values of CMSAF and FIDUCEO UTH are larger than the values of NCEI and UMIAMI UTH. Among the datasets, the UTH of CMSAF and FIDUCEO is first computed for each pixel before taking grid averages. 3.1 Intercomparison of time series 135 This indicates that the infrared clear-sky dataset may not fully capture the increase of water vapor during El Niño events, and may be more sensitive to the drying of UTH. Figure 1d also shows that the tropical mean UTH has a larger 160 moistening trend in CMSAF than the other datasets. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. events). This indicates that the infrared clear-sky dataset may not fully capture the increase of water vapor during El Niño events, and may be more sensitive to the drying of UTH. Figure 1d also shows that the tropical mean UTH has a larger 60 moistening trend in CMSAF than the other datasets. 160 Figure 1: Time series of UTH (%) averaged over 20°S–20°N for (a) the averaged values of UTH, (b) the corresponding anomalies relative to the 2000-2015 climatology, (c) the differences of UTH values relative to the values of UMIAMI, and (d) the differences 165 of anomaly values relative to those of UMIAMI. A five-month moving average is applied to the UTH time series to reduce short- term fluctuations. Panel (e) shows the time series of ONI. Figure 1: Time series of UTH (%) averaged over 20°S–20°N for (a) the averaged values of UTH, (b) the corresponding anomalies relative to the 2000-2015 climatology, (c) the differences of UTH values relative to the values of UMIAMI, and (d) the differences 165 of anomaly values relative to those of UMIAMI. A five-month moving average is applied to the UTH time series to reduce short- term fluctuations. Panel (e) shows the time series of ONI. 165 During major El Niño events, tropical water vapor fields exhibit distinct characteristics, and the enhanced signals facilitate During major El Niño events, tropical water vapor fields exhibit distinct characteristics, and the During major El Niño events, tropical water vapor fields exhibit distinct characteristics, and the enhanced signals facilitate the comparison of datasets. Figure 2 shows the time series of UTH over the Niño 4 region (equatorial central Pacific 5°S– 170 5°N, 160°E-150°W). Figure 2a shows that the interannual variability of UTH is much larger compared to tropical mean values in Figure 1a, but similar differences between different datasets remain. 3.1 Intercomparison of time series 135 In the FIDUCEO dataset, SSM/T-2 data before 1998 were at times sparse or missing, causing a few data gaps and some uncertainty in monthly means. Despite different definitions and John et al. (2006), such different ways of computing UTH can lead to a difference of up to 6% UTH. Figure 1c shows that 150 there is a difference of approximately 3-5% UTH between two groups of UTH datasets when a tropical average is taken. In spite of this structural discrepancy, the anomaly plot of the brightness temperatures in Figure 1b shows good consistency in seasonal and interannual variabilities among the four datasets. In the FIDUCEO dataset, SSM/T-2 data before 1998 were at times sparse or missing, causing a few data gaps and some uncertainty in monthly means. Despite different definitions and ways of computing UTH, the anomalies of the four datasets are close to each other. As shown in Figure 1d, the anomaly 155 values are mostly within 0.5% UTH relative to UMIAMI values. Figure 1d displays that during an El Niño event (such as the 2015-16 and 2009-10 events as displayed in Figure 1e) the infrared dataset tends to have a smaller value of averaged UTH compared to microwave UTH values, and the opposite occurs during a La Niña event (such as the 2010-11 and 2007-08 ways of computing UTH, the anomalies of the four datasets are close to each other. As shown in Figure 1d, the anomaly 155 values are mostly within 0.5% UTH relative to UMIAMI values. Figure 1d displays that during an El Niño event (such as the 2015-16 and 2009-10 events as displayed in Figure 1e) the infrared dataset tends to have a smaller value of averaged UTH compared to microwave UTH values, and the opposite occurs during a La Niña event (such as the 2010-11 and 2007-08 ways of computing UTH, the anomalies of the four datasets are close to each other. As shown in Figure 1d, the anomaly 155 values are mostly within 0.5% UTH relative to UMIAMI values. Figure 1d displays that during an El Niño event (such as the 2015-16 and 2009-10 events as displayed in Figure 1e) the infrared dataset tends to have a smaller value of averaged UTH compared to microwave UTH values, and the opposite occurs during a La Niña event (such as the 2010-11 and 2007-08 5 events). 3.1 Intercomparison of time series 135 The UTH values of the CMSAF and FIDUCEO datasets are generally larger than the values of NCEI and UMIAMI datasets by approximately 5% UTH on the comparison of datasets. Figure 2 shows the time series of UTH over the Niño 4 region (equatorial central Pacific 5°S– 170 5°N, 160°E-150°W). Figure 2a shows that the interannual variability of UTH is much larger compared to tropical mean values in Figure 1a, but similar differences between different datasets remain. The UTH values of the CMSAF and FIDUCEO datasets are generally larger than the values of NCEI and UMIAMI datasets by approximately 5% UTH on 6 average (Figure 2c). In the anomaly plots (Figure 2b), all datasets depict inter-annual variations with consistency. In Figure 2d, the infrared UTH again shows smaller values compared to microwave UTH values during El Niño events and larger 175 values during La Niña events, similar to the features displayed in the tropical average time series in Figure 1d. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. average (Figure 2c). In the anomaly plots (Figure 2b), all datasets depict inter-annual variations with consistency. In Figure 2d, the infrared UTH again shows smaller values compared to microwave UTH values during El Niño events and larger 175 values during La Niña events, similar to the features displayed in the tropical average time series in Figure 1d. Figure 2: Time series of UTH (%) averaged over the Niño 4 region for (a) the averaged values of UTH, (b) the corresponding anomalies relative to the 2000-2015 climatology, (c) the differences of UTH values relative to the values of UMIAMI, and (d) the 80 differences of anomaly values relative to those of UMIAMI. A five-month moving average is applied to the UTH time series to reduce short-term fluctuations. Figure 2: Time series of UTH (%) averaged over the Niño 4 region for (a) the averaged values of UTH, (b) the corresponding anomalies relative to the 2000-2015 climatology, (c) the differences of UTH values relative to the values of UMIAMI, and (d) the 80 differences of anomaly values relative to those of UMIAMI. A five-month moving average is applied to the UTH time series to reduce short-term fluctuations. 180 It is interesting to observe that between Figures 1b and 2b the phases of the variations are mostly opposite. 3.1 Intercomparison of time series 135 During the major It is interesting to observe that between Figures 1b and 2b the phases of the variations are mostly opposite. During the major El Niño events (for example, 1982–83, 1997–98 and 2015–16), the tropical averaged time series exhibited large negative 85 values of anomalies (Figure 1b) while at the same time large positive anomalies occurred in the Niño 4 region (Figure 2b) g g p y pp g j El Niño events (for example, 1982–83, 1997–98 and 2015–16), the tropical averaged time series exhibited large negative 185 values of anomalies (Figure 1b), while at the same time, large positive anomalies occurred in the Niño 4 region (Figure 2b). An earlier study (Shi et al., 2018) showed that unlike UTH, the total column water vapor (TCWV) in the tropical average exhibited large positive anomalies during El Niño events, having the same phase as the Niño 4 region UTH time series. The El Niño events (for example, 1982–83, 1997–98 and 2015–16), the tropical averaged time series exhibited large negative 185 values of anomalies (Figure 1b), while at the same time, large positive anomalies occurred in the Niño 4 region (Figure 2b). An earlier study (Shi et al., 2018) showed that unlike UTH, the total column water vapor (TCWV) in the tropical average exhibited large positive anomalies during El Niño events, having the same phase as the Niño 4 region UTH time series. The El Niño events (for example, 1982–83, 1997–98 and 2015–16), the tropical averaged time series exhibited large negative 185 values of anomalies (Figure 1b), while at the same time, large positive anomalies occurred in the Niño 4 region (Figure 2b). An earlier study (Shi et al., 2018) showed that unlike UTH, the total column water vapor (TCWV) in the tropical average exhibited large positive anomalies during El Niño events, having the same phase as the Niño 4 region UTH time series. The 7 7 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. TCWV is largely weighted by water vapor in the lower troposphere. During an El Niño event, there are larger areas of water vapor increase in the lower atmosphere as reflected in the TCWV field, compared to the UTH field. The enhanced deep 190 convection provides a conduit to transport more water vapor to the atmosphere. However, the increased water vapor in the upper atmosphere is confined to relatively small areas. 3.1 Intercomparison of time series 135 As the Niño 4 region is the center of enhanced deep convection during El Niño events, the phase of UTH is consistent with that of 200 the water vapor in the lower atmosphere, and consistent with the phase of sea surface temperature during El Niño events as shown in Figure 1e and as described in, e.g., Trenberth (1997), Mcphaden (1999), Wolter and Timlin (2011), Lim et al. (2017), and Santoso et al. (2017). We use the Hovmöller longitude–time analysis to examine spatio-temporal variability of UTH over the deep tropics. Figure Niño 4 region is the center of enhanced deep convection during El Niño events, the phase of UTH is consistent with that of 200 the water vapor in the lower atmosphere, and consistent with the phase of sea surface temperature during El Niño events as shown in Figure 1e and as described in, e.g., Trenberth (1997), Mcphaden (1999), Wolter and Timlin (2011), Lim et al. (2017), and Santoso et al. (2017). We use the Hovmöller longitude–time analysis to examine spatio-temporal variability of UTH over the deep tropics. Figure 3 shows longitude–time evolutions of monthly UTH anomalies around the equator, averaged between 5°S and 5°N for the 205 four datasets. During the past 40 years, the most significant three El Niño events occurred in 1982–83, 1997–98 and 2015–16 according to ONI shown in Figure 1e. During these events the UTH field is marked by increased anomalies in the central- eastern and corresponding decreased UTH in the western equatorial Pacific. All three events can be clearly identified in the NCEI time series, which has the longest temporal coverage. The 1997-98 and 2015-16 events are also clearly displayed in the FIDUCEO time series. However, the sparsity of the SSM/T-2 data before 1998 can be seen in the noisier appearance of 210 the anomalies during that period. Nonetheless, both the NCEI and FIDUCEO datasets show that the 1997-98 event was marked with higher anomaly values and extended further east in the Pacific in terms of large positive UTH anomalies compared to the 2015-16 El Niño. Similar indication about the strength of El Niño events is also found in the Multivariate El Niño/Southern Oscillation Index (MEI). 3.1 Intercomparison of time series 135 The study of Lim et al. (2017) showed that during a major El Niño the rising motion of the Hadley circulation is dominant within 10°S–0°. The branch of sinking motion in the subtropical latitude (15°–25°N) is well organized stretching from the surface to the upper troposphere. In the upper troposphere, large positive anomalies of total cloud fraction are formed over 10°S-5°N, and negative cloud anomalies occurred over the 195 subtropics. Beyond the constrained positive UTH anomalies around the equator, the water vapor in the upper troposphere is suppressed in large areas outside the Niño 4 region, which causes large area of negative UTH anomalies, consistent with the sinking motion of the Hadley branch. When a tropical average is taken, the larger areas of negative anomalies over- compensate for the smaller areas of positive anomalies, and result in mean negative anomalies during El Niño events. As the positive anomalies of total cloud fraction are formed over 10°S-5°N, and negative cloud anomalies occurred over the 195 subtropics. Beyond the constrained positive UTH anomalies around the equator, the water vapor in the upper troposphere is suppressed in large areas outside the Niño 4 region, which causes large area of negative UTH anomalies, consistent with the sinking motion of the Hadley branch. When a tropical average is taken, the larger areas of negative anomalies over- compensate for the smaller areas of positive anomalies, and result in mean negative anomalies during El Niño events. As the positive anomalies of total cloud fraction are formed over 10°S-5°N, and negative cloud anomalies occurred over the 195 subtropics. Beyond the constrained positive UTH anomalies around the equator, the water vapor in the upper troposphere is suppressed in large areas outside the Niño 4 region, which causes large area of negative UTH anomalies, consistent with the sinking motion of the Hadley branch. When a tropical average is taken, the larger areas of negative anomalies over- compensate for the smaller areas of positive anomalies, and result in mean negative anomalies during El Niño events. 3.1 Intercomparison of time series 135 In addition to the commonly used sea surface temperature (SST) anomalies, the MEI also incorporates surface air temperature, sea-level pressure, zonal and meridional components of the surface wind, and 215 total cloudiness fraction of the sky (Wolter and Timlin, 2011). The Multivariate ENSO Index Version 2 (MEI.v2) values (available at https://psl.noaa.gov/enso/mei/#data; accessed June 3, 2022) show that MEI reached as high as 2.5, and remained at or above 2.0 for 12 consecutive months during the 1997-98 El Niño event. During the 2015-16 El Niño, the MEI was as high as 2.2, and remained above 2.0 for only two months. The UMIAMI and CMSAF UTH time series both started in MEI also incorporates surface air temperature, sea-level pressure, zonal and meridional components of the surface wind, and 215 total cloudiness fraction of the sky (Wolter and Timlin, 2011). The Multivariate ENSO Index Version 2 (MEI.v2) values (available at https://psl.noaa.gov/enso/mei/#data; accessed June 3, 2022) show that MEI reached as high as 2.5, and remained at or above 2.0 for 12 consecutive months during the 1997-98 El Niño event. During the 2015-16 El Niño, the MEI was as high as 2.2, and remained above 2.0 for only two months. The UMIAMI and CMSAF UTH time series both started in late 1998, and they have similar patterns in the Hovmöller analysis, both distinctively showing the 2015-2016 El Niño event. 220 During the common period when data are available from all four datasets, the most significant La Niña event occurred in 2010-2011, in which the MEI.v2 value reached -2.4. The UTH field was marked by decreased UTH in 120°E-160°W and late 1998, and they have similar patterns in the Hovmöller analysis, both distinctively showing the 2015-2016 El Niño event. 220 During the common period when data are available from all four datasets, the most significant La Niña event occurred in 2010-2011, in which the MEI.v2 value reached -2.4. The UTH field was marked by decreased UTH in 120°E-160°W and 8 8 increased UTH in 80°E-120°E. The event can be seen from all UTH datasets. In general, the equatorial UTH anomalies in the infrared measurements are relatively weaker than those in the microwave measurements. Differences in the definition and computation of UTH, the sensitivity of different sounders, and clear-sky processing may all contribute to the different 5 strengths of derived anomalies. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. 3.2 Spatial anomalies during major El Niño and La Niña events During the common period of the four datasets, the most significant El Niño and La Niña events occurred in 2015-2016 and 2010-2011, respectively. The spatial patterns of UTH anomalies for 60°S-60°N during the peak six months of the 2015-16 El During the common period of the four datasets, the most significant El Niño and La Niña events occurred in 2015-2016 and 2010-2011, respectively. The spatial patterns of UTH anomalies for 60°S-60°N during the peak six months of the 2015-16 El Niño event are shown in Figure 4. The anomalies of several environmental variables, including data from the Global 235 Precipitation Climatology Project (GPCP), NOAA Extended Reconstructed SST V5 (ERSSTv5), and modeled 200 hPa velocity potential, for the same peak six-month period of the 2015-16 El Niño are displayed in Figure 5 to show the large- scale atmospheric circulation and SST fields. The GPCP data are generated by combining satellite retrieval and in situ precipitation into a final merged gridded product (Adler et al., 2003). The ERSSTv5 dataset is derived from the International Niño event are shown in Figure 4. The anomalies of several environmental variables, including data from the Global 235 Precipitation Climatology Project (GPCP), NOAA Extended Reconstructed SST V5 (ERSSTv5), and modeled 200 hPa velocity potential, for the same peak six-month period of the 2015-16 El Niño are displayed in Figure 5 to show the large- scale atmospheric circulation and SST fields. The GPCP data are generated by combining satellite retrieval and in situ precipitation into a final merged gridded product (Adler et al., 2003). The ERSSTv5 dataset is derived from the International Comprehensive Ocean–Atmosphere Dataset (ICOADS) and is available at gridded monthly global coverage (Huang et al., 240 2017). Velocity potential anomalies at 200 hPa are taken from the Climate Forecast System Reanalysis (CFSR) (Saha et al., 2010) for 2000–2010 and the related Climate Forecast System v2 (CFSv2) operational analyses (Saha et al., 2014) for 2011– 2016. Si il h di d i Shi l (2018) d i h 2015 16 El Niñ UTH d l d i i li Comprehensive Ocean–Atmosphere Dataset (ICOADS) and is available at gridded monthly global coverage (Huang et al., 240 2017). Velocity potential anomalies at 200 hPa are taken from the Climate Forecast System Reanalysis (CFSR) (Saha et al., 2010) for 2000–2010 and the related Climate Forecast System v2 (CFSv2) operational analyses (Saha et al., 2014) for 2011– 2016. 3.1 Intercomparison of time series 135 Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. increased UTH in 80°E-120°E. The event can be seen from all UTH datasets. In general, the equatorial UTH anomalies in the infrared measurements are relatively weaker than those in the microwave measurements. Differences in the definition and computation of UTH, the sensitivity of different sounders, and clear-sky processing may all contribute to the different strengths of derived anomalies. 225 Figure 3: Time versus longitude section of UTH monthly anomaly. The analysis is based on an average of data between 5°N and 5°S. 0 Figure 3: Time versus longitude section of UTH monthly anomaly. The analysis is based on an average of data between 5°N and 5°S. 230 230 9 9 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. 3.2 Spatial anomalies during major El Niño and La Niña events Similar to that discussed in Shi et al. (2018), during the 2015-16 El Niño event, UTH developed strong positive anomalies Similar to that discussed in Shi et al. (2018), during the 2015-16 El Niño event, UTH developed strong positive anomalies over the equatorial central Pacific, extending to the eastern Pacific in 5°-10°N. The enhanced El Niño convection drove 245 compensating subsidence and thus negative UTH anomalies surrounding the positive anomalies. The positive SST anomalies were centered along the equatorial central-easter Pacific (Figure 5b). Anomalous divergence developed over the warmed SST and was balanced by the anomalous convergence over the western Pacific and the Indian Ocean (Figure 5c). The pattern of positive anomalies of UTH above the Niño 4 region and along 5°-10°N in the eastern Pacific highly resemble the pattern over the equatorial central Pacific, extending to the eastern Pacific in 5°-10°N. The enhanced El Niño convection drove 245 compensating subsidence and thus negative UTH anomalies surrounding the positive anomalies. The positive SST anomalies were centered along the equatorial central-easter Pacific (Figure 5b). Anomalous divergence developed over the warmed SST and was balanced by the anomalous convergence over the western Pacific and the Indian Ocean (Figure 5c). The pattern of positive anomalies of UTH above the Niño 4 region and along 5°-10°N in the eastern Pacific highly resemble the pattern of the positive precipitation anomalies (as shown in Figure 5a), indicating the strong linkage between the two variables. 250 Similar pattern of precipitation during the 2015-16 El Niño was also shown in the study of Santoso et al. (2017). Overall, the area of the strong positive UTH anomalies over the equatorial central Pacific is smaller than the surrounding areas of strong negative anomalies in the tropics. When a tropical domain average of anomalies is taken, it results in a negative anomaly during an El Niño event as shown in Figure 1. In the NCEI HIRS UTH panel, the magnitudes of both of the positive precipitation anomalies (as shown in Figure 5a), indicating the strong linkage between the two variables. 250 Similar pattern of precipitation during the 2015-16 El Niño was also shown in the study of Santoso et al. (2017). Overall, the area of the strong positive UTH anomalies over the equatorial central Pacific is smaller than the surrounding areas of strong negative anomalies in the tropics. 3.2 Spatial anomalies during major El Niño and La Niña events When a tropical domain average of anomalies is taken, it results in a negative anomaly during an El Niño event as shown in Figure 1. In the NCEI HIRS UTH panel, the magnitudes of both negative anomaly during an El Niño event as shown in Figure 1. In the NCEI HIRS UTH panel, the magnitudes of both positive anomalies along the central-eastern equatorial Pacific and the negative anomalies in the western Pacific appear 255 smaller than those in the other three microwave UTH panels, consistent with what is seen in the Hovmöller analysis discussed earlier. positive anomalies along the central-eastern equatorial Pacific and the negative anomalies in the western Pacific appear 255 smaller than those in the other three microwave UTH panels, consistent with what is seen in the Hovmöller analysis discussed earlier. positive anomalies along the central-eastern equatorial Pacific and the negative anomalies in the western Pacific appear 255 smaller than those in the other three microwave UTH panels, consistent with what is seen in the Hovmöller analysis discussed earlier. 10 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. Figure 4: Anomalies of UTH during the peak six months of the 2015-16 El Niño event. 260 Figure 4: Anomalies of UTH during the peak six months of the 2015-16 El Niño event. 260 Figure 4: Anomalies of UTH during the peak six months of the 2015-16 El Niño event. 260 11 11 Figure 5: Anomalies of GPCP precipitation, ERSSTv5 SST, and CFSR 200-hPa velocity potential during the peak six months of the 2015-16 El Niño event. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. Figure 5: Anomalies of GPCP precipitation, ERSSTv5 SST, and CFSR 200-hPa velocity potential during the peak six months of the 2015-16 El Niño event. Figure 5: Anomalies of GPCP precipitation, ERSSTv5 SST, and CFSR 200-hPa velocity potential during the peak six months of the 2015-16 El Niño event. 265 Figure 6 shows the UTH anomaly fields averaged over six months near the peak of the La Niña in 2010-11, and Figure 7 displays the anomalies of GPCP, ERSSTv5, and CFSR 200 hPa velocity potential data for the same time period. 3.2 Spatial anomalies during major El Niño and La Niña events During a La Niña event, the central Pacific and Indonesia exhibited mostly opposite signs of anomalies for UTH, SST, precipitation, and 200 hPa velocity potential compared to the El Niño patterns depicted in Figures 4 and 5, except that the negative anomalies 265 of the 200 hPa velocity potential were more confined to the center over Indonesia and Australia. La Niña events tend to lead 270 to significant increases of UTH over Indonesia and the equatorial eastern Indian ocean and over Pacific subtropics, and decreases of UTH over the Niño 4 region. Slightly positive UTH anomalies may be found in the equatorial eastern Pacific during a La Niña event. Similar patterns of tropical features are shown in all four datasets, although the magnitudes are again smaller in the infrared UTH (Figure 6a). of the 200 hPa velocity potential were more confined to the center over Indonesia and Australia. La Niña events tend to lead 270 to significant increases of UTH over Indonesia and the equatorial eastern Indian ocean and over Pacific subtropics, and decreases of UTH over the Niño 4 region. Slightly positive UTH anomalies may be found in the equatorial eastern Pacific during a La Niña event. Similar patterns of tropical features are shown in all four datasets, although the magnitudes are again smaller in the infrared UTH (Figure 6a). 275 12 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. Figure 6: Anomalies of UTH during the peak six months of the 2010-11 La Niña event. Figure 6: Anomalies of UTH during the peak six months of the 2010-11 La Niña event. 13 Figure 7: Anomalies of GPCP precipitation, ERSSTv5 SST, and CFSR 200-hPa velocity potential during the peak six months of 80 the 2010-11 La Niña event. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. 280 Figure 7: Anomalies of GPCP precipitation, ERSSTv5 SST, and CFSR 200-hPa velocity potential during the peak six months of 280 the 2010-11 La Niña event. 3.3 UTH changes during the common period of the datasets The common period when all four UTH datasets have data spans from 1999 to 2017. T The common period when all four UTH datasets have data spans from 1999 to 2017. To analyze UTH changes of each The common period when all four UTH datasets have data spans from 1999 to 2017. To analyze UTH changes of each dataset during the common period, we use the linear trend method to calculate the change rate of each grid, and the results 285 are displayed in Figure 8. In this study, the linear trend method is employed to show the change rates during a relatively short common period as a way to examine dataset consistency, and the results should not be interpreted as long-term trends. The La Niña event in 1998-2000 at the beginning of the common period and the strong El Niño event in 2015-16 near the end of the common period can significantly impact the resulting trend values. The Mann-Kendall test is used to test the dataset during the common period, we use the linear trend method to calculate the change rate of each grid, and the results 285 are displayed in Figure 8. In this study, the linear trend method is employed to show the change rates during a relatively short common period as a way to examine dataset consistency, and the results should not be interpreted as long-term trends. The La Niña event in 1998-2000 at the beginning of the common period and the strong El Niño event in 2015-16 near the end of the common period can significantly impact the resulting trend values. The Mann-Kendall test is used to test the significance of the trends at each grid. The trends appear to be significant at 0.95 only in a few small places, mainly sparsely 290 spotted along subtropical Pacific belts of negative change rates (not plotted in Figure 8), indicating that the time series is too 14 short for a meaningful trend study for the majority of areas. In the present study, the trend results are only used as a consistency evaluation of the datasets. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. short for a meaningful trend study for the majority of areas. 3.3 UTH changes during the common period of the datasets In the present study, the trend results are only used as a consistency evaluation of the datasets. 95 Figure 8: Change rates of the four UTH datasets during the common period 1999 to 2017. 295 Figure 8: Change rates of the four UTH datasets during the common period 1999 to 2017. 15 15 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. General consistency of the change patterns in the tropics is found among the four datasets. They all show increased UTH over the Niño 4 region (5°S–5°N, 160°E-150°W) and over eastern Pacific near 5°N-10°N, and a decrease of UTH over Peru 300 and surrounding areas. Decreased UTH along both the northern and southern Pacific subtropics are seen in all datasets. The change rate patterns over the tropical and subtropical Pacific follow the 2015-16 El Niño UTH patterns (as shown in Figure 4) to some extent, indicating the influence of the El Niño signals on the change rate calculation. Over the Indian Ocean, decreased UTH centered over the equatorial central Indian Ocean is surrounded with increased UTH in all datasets. The change rates (both positive and negative) in the NCEI HIRS dataset (Figure 8a) are generally smaller than those in 305 microwave datasets. The largest change rates are found in the CMSAF image, with positive changes covering most of the areas, consistent with the trend in Figure 1d. An earlier study (Lang et al., 2020) plotted the time series of individual satellite’s UTH from NOAA-15 to Metop-B for both FIDUCEO and CMSAF datasets (Figure 6 in that article). Their figure 6b showed that offsets between the UTH time series from consecutive satellite missions in the CMSAF record tend to be positive over time. When all the satellites are merged into one time series this may lead to a positive trend. The three datasets 310 that have mid-latitude coverage (Figure 6a, b, and d) exhibit negative change rates over the Tibetan Plateau. This may not necessarily indicate a decrease in water vapor, though. Over high elevations (similar to over high latitudes) there are contributions of the surface temperature to the radiances measured by satellite UTH sounders. A decrease in calculated UTH values over a high elevation can be caused by either a decrease in water vapor or an increase in the surface temperature. 3.3 UTH changes during the common period of the datasets General consistency of the change patterns in the tropics is found among the four datasets. They all show increased UTH over the Niño 4 region (5°S–5°N, 160°E-150°W) and over eastern Pacific near 5°N-10°N, and a decrease of UTH over Peru 300 and surrounding areas. Decreased UTH along both the northern and southern Pacific subtropics are seen in all datasets. The change rate patterns over the tropical and subtropical Pacific follow the 2015-16 El Niño UTH patterns (as shown in Figure 4) to some extent, indicating the influence of the El Niño signals on the change rate calculation. Over the Indian Ocean, decreased UTH centered over the equatorial central Indian Ocean is surrounded with increased UTH in all datasets. The change rates (both positive and negative) in the NCEI HIRS dataset (Figure 8a) are generally smaller than those in 305 microwave datasets. The largest change rates are found in the CMSAF image, with positive changes covering most of the areas, consistent with the trend in Figure 1d. An earlier study (Lang et al., 2020) plotted the time series of individual satellite’s UTH from NOAA-15 to Metop-B for both FIDUCEO and CMSAF datasets (Figure 6 in that article). Their figure 6b showed that offsets between the UTH time series from consecutive satellite missions in the CMSAF record tend to be positive over time. When all the satellites are merged into one time series this may lead to a positive trend. The three datasets 310 that have mid-latitude coverage (Figure 6a, b, and d) exhibit negative change rates over the Tibetan Plateau. This may not necessarily indicate a decrease in water vapor, though. Over high elevations (similar to over high latitudes) there are contributions of the surface temperature to the radiances measured by satellite UTH sounders. A decrease in calculated UTH values over a high elevation can be caused by either a decrease in water vapor or an increase in the surface temperature. positive over time. When all the satellites are merged into one time series this may lead to a positive trend. The three datasets 310 that have mid-latitude coverage (Figure 6a, b, and d) exhibit negative change rates over the Tibetan Plateau. This may not necessarily indicate a decrease in water vapor, though. Over high elevations (similar to over high latitudes) there are contributions of the surface temperature to the radiances measured by satellite UTH sounders. 3.3 UTH changes during the common period of the datasets A decrease in calculated UTH values over a high elevation can be caused by either a decrease in water vapor or an increase in the surface temperature. 4 Conclusion 315 In this study we assess the consistency of four UTH datasets derived from both microwave and infrared sounders of polar- orbiting satellites as part of the GEWEX water vapor assessment activities. These include measurements from the 183.31 ± 1 GHz channel on SSM/T-2, AMSU-B, and MHS and HIRS channel 12 (calibrated to 6.7 µm). The four datasets are found consistent in tropical spatial and interannual variability. Large positive anomalies peaked over the Niño 4 region during El 4 Conclusion 315 In this study we assess the consistency of four UTH datasets derived from both microwave and infrared sounders of polar- orbiting satellites as part of the GEWEX water vapor assessment activities. These include measurements from the 183.31 ± 1 GHz channel on SSM/T-2, AMSU-B, and MHS and HIRS channel 12 (calibrated to 6.7 µm). The four datasets are found consistent in tropical spatial and interannual variability. Large positive anomalies peaked over the Niño 4 region during El Niño events in the same phase with the increase of sea surface temperature. At the same time, negative anomalies were 320 obtained in the averaged tropical anomalies because the compensating drying areas of dissipation are larger than the relatively confined moistening area above deep convections. All four datasets exhibit such similar temporal variability. However, through the common period of 1999 to 2017, differences are observed in the changing rates of the datasets. Wider spread of UTH moistening is observed in one of the datasets. Niño events in the same phase with the increase of sea surface temperature. At the same time, negative anomalies were 320 obtained in the averaged tropical anomalies because the compensating drying areas of dissipation are larger than the relatively confined moistening area above deep convections. All four datasets exhibit such similar temporal variability. However, through the common period of 1999 to 2017, differences are observed in the changing rates of the datasets. Wider spread of UTH moistening is observed in one of the datasets. The four datasets show that during a major El Niño event, there are significant increases of UTH over a narrow belt of the 325 equatorial central Pacific consistent with the positive anomalies of the precipitation pattern, though typically the positive anomalies of SST cover a larger latitude span and are more prominent in the eastern Pacific. Negative anomalies develop over the weakened ascending branch of the Pacific Walker circulation in the western Pacific and eastern Indian ocean where there is a positive anomaly of the 200 hPa velocity potential, and over the enhanced descending branches of the local Hadley The four datasets show that during a major El Niño event, there are significant increases of UTH over a narrow belt of the 325 equatorial central Pacific consistent with the positive anomalies of the precipitation pattern, though typically the positive anomalies of SST cover a larger latitude span and are more prominent in the eastern Pacific. Competing interests: The authors declare that they have no conflict of interest. Acknowledgements: This study is part of the GEWEX water vapor assessment (G-VAP) organized by the GEWEX Data and Assessments Panel (GDAP). We thank Jessica Matthews for reviewing the manuscript. Carl Schreck was supported by NOAA through the Cooperative Institute for Satellite Earth System Studies under Cooperative Agreement 345 NA19NES4320002. References Adler, R. F., Huffman, G. J., Chang, A., Ferraro, R., Xie, P.-P., Janowiak, J., Rudolf, B., Schneider, U., Curtis, S., Bolvin, D., Gruber, A., Susskind, J., Arkin, P., and Nelkin, E.: The Version-2 Global Precipitation Climatology Project (GPCP) Monthly Precipitation Analysis 350 (1979–Present), J Hydrometeorol, 4, 1147-1167, 10.1175/1525-7541(2003)004<1147:Tvgpcp>2.0.Co;2, 2003. Adler, R. F., Huffman, G. J., Chang, A., Ferraro, R., Xie, P.-P., Janowiak, J., Rudolf, B., Schneider, U., Adler, R. F., Huffman, G. 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Bates J J Wu X and Jackson D L : Interannual variability of upper troposphere water vapor band brightness temperature J Climate ( ), y , , , ( ) gp p ; , Allan, R. P., Willett, K. M., John, V. O., and Trent, T.: Global Changes in Water Vapor 1979–2020, Journal of Geophysical Research: Atmospheres, 127, e2022JD036728, https://doi.org/10.1029/2022JD036728, 2022. Bates, J. J., Wu, X., and Jackson, D. L.: Interannual variability of upper-troposphere water vapor band brightness temperature, J Climate, 9, 427-438, 1996. 355 9, 427-438, 1996. 355 Brogniez, H. and Pierrehumbert, R. T.: Using microwave observations to assess large-scale control of free tropospheric water vapor in the mid-latitudes, Geophys Res Lett, 33, Doi 10.1029/2006gl026240, 2006. Brogniez, H., Clain, G., and Roca, R.: Validation of Upper-Tropospheric Humidity from SAPHIR on board <em>Megha-Tropiques</em> Using Tropical Soundings, J Appl Meteorol Clim, 54, 896-908, 2015. Brogniez, H. and Pierrehumbert, R. T.: Using microwave observations to assess large-scale control of free tropospheric water vapor in the mid-latitudes, Geophys Res Lett, 33, Doi 10.1029/2006gl026240, 2006. Brogniez, H., Clain, G., and Roca, R.: Validation of Upper-Tropospheric Humidity from SAPHIR on board <em>Megha-Tropiques</em> Using Tropical Soundings J Appl Meteorol Clim 54 896 908 2015 Brogniez, H. and Pierrehumbert, R. 4 Conclusion 315 Negative anomalies develop over the weakened ascending branch of the Pacific Walker circulation in the western Pacific and eastern Indian ocean where there is a positive anomaly of the 200 hPa velocity potential, and over the enhanced descending branches of the local Hadley 16 https://doi.org/10.5194/amt-2022-204 Preprint. Discussion started: 20 July 2022 c⃝Author(s) 2022. CC BY 4.0 License. circulation along the Pacific subtropics. During both El Niño and La Niña events, the values of the spatial anomalies in the 330 infrared dataset appear smaller than those in microwave datasets. The spatial patterns of the four datasets are generally consistent over the deep tropics. circulation along the Pacific subtropics. During both El Niño and La Niña events, the values of the spatial anomalies in the 330 infrared dataset appear smaller than those in microwave datasets. The spatial patterns of the four datasets are generally consistent over the deep tropics. Data availability: The CMSAF UTH dataset can be downloaded from https://wui.cmsaf.eu/safira/action/viewDoiDetails?acronym=UTH_V001. The FIDUCEO UTH data are obtained from 335 ftp://ftp-projects.cen.uni-hamburg.de/arts/fiduceo/. The NCEI HIRS channel 12 brightness temperature data are available at https://www.ncei.noaa.gov/data/hirs-brightness-temperature/access/. Data availability: The CMSAF UTH dataset can be downloaded from https://wui.cmsaf.eu/safira/action/viewDoiDetails?acronym=UTH_V001. The FIDUCEO UTH data are obtained from 335 ftp://ftp-projects.cen.uni-hamburg.de/arts/fiduceo/. The NCEI HIRS channel 12 brightness temperature data are available at https://www.ncei.noaa.gov/data/hirs-brightness-temperature/access/. Author contribution: The research was designed by L.S. and C.J.S.. C.J.S. performed data analyses. L.S. wrote the paper with input from co-authors. L.S., C.J.S., V.J. and E.-S.C were involved in discussions on datasets and analysis results at various stages of the study. T.L., S.A.B., and B.J.S. provided valuable comments. All of the authors reviewed the manuscript 340 and provided input. Author contribution: The research was designed by L.S. and C.J.S.. C.J.S. performed data analyses. L.S. wrote the paper with input from co-authors. 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Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry Table 1 Antibodies Used for immunocytochemistry and Flow cytometry Table 1 Antibodies Used for immunocytochemistry and Flow cytometry 0-15 15-30 30-45 45-60 0 10 20 30 40 50 60 70 Soma Diameter (μm) Percentage of neurons (%) Soma Size distribution n=962 0-300 300-600 600-900 900-1200 1200-1500 1500-1800 1800-2100 2100-2400 2400-2700 2700-3000 300-3300 0 10 20 30 40 50 60 Soma Area (μm²) Neuron Percentage (%) Soma Size Distribution n=962 Periphrin SubP CGRP 0 10 20 30 40 50 60 70 80 Percentage of B-tubulin +ve Neuron (%) Percentage of Nocipetors and Peptidergic Periphrin SubP CGRP -Tubulin III SubP -Tubulin III CGRP Peripherin -Tubulin III Merg (B) (A) (C) (D) (E) (F) Supplementary Figure 1 0-15 15-30 30-45 45-60 0 10 20 30 40 50 60 70 Soma Diameter (μm) Percentage of neurons (%) Soma Size distribution n=962 0-300 300-600 600-900 900-1200 1200-1500 1500-1800 1800-2100 2100-2400 2400-2700 2700-3000 300-3300 0 10 20 30 40 50 60 Soma Area (μm²) Neuron Percentage (%) Soma Size Distribution n=962 (B) (A) Supplementary Figure 1 Supplementary Figure 1 0-300 300-600 600-900 900-1200 1200-1500 1500-1800 1800-2100 2100-2400 2400-2700 2700-3000 300-3300 0 10 20 30 40 50 60 Soma Area (μm²) Neuron Percentage (%) Soma Size Distribution n=962 (B) 0-15 15-30 30-45 45-60 0 10 20 30 40 50 60 70 Soma Diameter (μm) Percentage of neurons (%) Soma Size distribution n=962 (A) (A) Soma Size Distribution Soma Size distribution 0-15 15-30 30-45 45-60 0 10 20 30 40 50 Soma Diameter (μm) Percentage of neuron 0-300 300-600 600-900 900-1200 1200-1500 1500-1800 1800-2100 2100-2400 2400-2700 2700-3000 300-3300 0 10 20 30 40 Soma Area (μm²) Neuron Percenta Periphrin SubP CGRP 0 10 20 30 40 50 60 70 80 Percentage of B-tubulin +ve Neuron (%) Percentage of Nocipetors and Peptidergic Periphrin SubP CGRP -Tubulin III Merg SubP -Tubulin III Merg CGRP Peripherin -Tubulin III Merg (C) (D) (E) (F) 1 3 4 Soma Diameter (μm) 1 3 4 Soma Diameter (μm) Soma Area (μm²) Peripherin -Tubulin III Merg (C) Periphrin SubP CGRP 0 10 20 30 40 50 60 70 80 Percentage of B-tubulin +ve Neuron (%) Percentage of Nocipetors and Peptidergic Periphrin SubP CGRP (D) Percentage of Nocipetors and Peptidergic (C) (D) -Tubulin III Merg SubP (E) -Tubulin III Merg CGRP (F) -Tubulin III SubP (E) -Tubulin III CGRP (F) (F) (E) Merg Merg Supplementary Figure 1. Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry Characterization of neuronal subtypes present in DRG used for co- culture experiments with BMMCs. Analysis of β-III tubulin-positive neuron soma size distribution on soma diameter (A) and area (B) show enrichment for small nociceptor like cells (<30 µm in diameter). (C) Immunocytochemistry showing distribution of β-III tubulin positive neurons (red) and peripherin positive (green) labelled nociceptors. DAPI staining of nuclei (blue) show presence of non- neuronal cells in the DRG cultures. (D) Percentage of nociceptors positive for peipherin, calcitonin gene-related peptide (CGRP) and substance P (SubP) expressed as a percentage of β-III tubulin immunoreactive neurons (N=3). (E) Immunocytochemistry showing distribution of β-III tubulin- positive neurons (red) and substance P- positive (green) labelled nociceptors, and (F) distribution of β- III tubulin-positive neurons (red) and CGRP- positive (green) nociceptors. CGRP. Scale bars 25µm Small neurons (diameter: < 30 µm and area: <600 µm2) are considered to be nociceptive while medium (diameter: 30-40 µm and area: 600-1200 µm2) and large neurons (diameter: > 40 µm and area: >1200 µm2) are mechanoreceptive (Scroggs and Fox, 1992). More than 60% of neurons in our DRG cultures appear to be small-sized nociceptive neurons. Double staining experiments for peripherin, a neurofilament protein expressed selectively in nociceptive neurons (Goldstein et al., 1991), confirmed that 66 ± 5 % of b III Tubulin-immunoreactive neurons were also positive for peripherin confirming enrichment of the cultures for nociceptors. Quantitative analysis of neurons dual stained with either anti-substance P or anti-CGRP and b III tubulin showed that 32 ± 8 % and 28 ± 4 %of neurons were positive for substance P and CGRP, respectively 0 0.5 1 1.5 2 0 10 20 30 40 50 60 Log c48/80 Conc (µg/ml) % Degranualtion BMMC BMMC-DRG coculture 0 10 20 30 40 B-Hex Release (% of degranulation) activated with 30μg/ml C48/80 ns Supplementary Figure 2-BMMC degranulation induced by compound 48/80 is not potentiated by co-culture with DRG. (A) shows concentration response curve for degranulation of BMMCs stimulated for 30 minutes with compound 48/80. The half-maximal concentration (30 µg/ ml) was then used to evaluate the effect of co-culturing BMMCs with DRG neurons on degranulation. (B) Degranulation measured in response to 30 minutes stimulation with compound 48/80 from BMMCs cultured alone or with DRG for 24 hours. Data shown are the mean ± sem for N=3 cultures, each performed in duplicate. Data were analyzed using two- tailed paired t-test. Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry (B) BMMCs adhesion to HEK cells quantified using the calcein assay and xpressed as percentage of adherent BMMC to total BMMC before washing and centrifugation. Data hown as mean ± SEM from N=3. Each done in duplicate. Data were analyzed two-tailed paired t-test (A) (C) (B) BMMC HEK Coculture 0 5 10 15 20 % Adhesion * (A) (C) (B) (A) BMMC HEK Coculture 0 5 10 15 20 % Adhesion * (B) (B) (C) % Adhesion BMMC HEK Coculture 0 BMMC HEK Coculture BMMC+Ag HEK Coculture+ Ag HEK HEK + Ag 0 5 10 15 20 25 B-Hex Release (% of degranulation) ns ns Supplementary Figure 3 – Adhesion of BMMCs with HEK cells does impact their degranulation. (A) Immunoblot of lysates prepared from HEK and BMMC cultures. The blots were probed with anti-CADM1 and anti-GAPDH (loading control). The m.w. scale is shown to the right of the blot. Multiple isoforms of CADM1 are expressed in HEK cells, including an isoform of ~70 kDa, similar to that observed in DRG. (B) BMMCs adhesion to HEK cells quantified using the calcein assay and expressed as percentage of adherent BMMC to total BMMC before washing and centrifugation. Data shown as mean ± SEM from N=3. Each done in duplicate. Data were analyzed two-tailed paired t-test *p<0.05 compared to BMMC culture alone. (C) anti-DNP IGE-sensitized BMMCs were cultured alone or with HEK cells for 24 hours. β-hexosaminidase (β-hex) release was measured in resting condition or after antigen (Ag, DNP) stimulation and expressed as a percentage of total β-hex measured from cells lysed with 0.5% Triton Xl00. Data shown are mean ± SEM of N=3, each performed in duplicate. ns=non-significant compared to BMMC alone. Data were analyzed using two-tailed paired t-test. (C) (C) HEK Coculture BMMC HEK Coculture BMMC+Ag HEK Coculture+ Ag HEK HEK + Ag 0 5 10 15 20 B-Hex Release (% of degranulation) ns ns BMMC+Ag Supplementary Figure 3 – Adhesion of BMMCs with HEK cells does impact their degranulation. (A) Immunoblot of lysates prepared from HEK and BMMC cultures. The blots were probed with anti-CADM1 and anti-GAPDH (loading control). The m.w. scale is shown to the right of the blot. Multiple isoforms of CADM1 are expressed in HEK cells, including an isoform of ~70 kDa, similar to that observed in DRG. Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry No significant difference in degranulation by compound 48/80 was found between the mono-cultures and co-cultures. (A) (B) 0 0.5 1 1.5 2 0 10 20 30 40 50 60 Log c48/80 Conc (µg/ml) % Degranualtion (A) BMMC BMMC-DRG coculture 0 10 20 30 40 B-Hex Release (% of degranulation) activated with 30μg/ml C48/80 ns (B) (A) 4 (B) B-Hex Release BMMC-DRG coculture Supplementary Figure 2-BMMC degranulation induced by compound 48/80 is not potentiated by co-culture with DRG. (A) shows concentration response curve for degranulation of BMMCs stimulated for 30 minutes with compound 48/80. The half-maximal concentration (30 µg/ ml) was then used to evaluate the effect of co-culturing BMMCs with DRG neurons on degranulation. (B) Degranulation measured in response to 30 minutes stimulation with compound 48/80 from BMMCs cultured alone or with DRG for 24 hours. Data shown are the mean ± sem for N=3 cultures, each performed in duplicate. Data were analyzed using two- tailed paired t-test. No significant difference in degranulation by compound 48/80 was found between the mono-cultures and co-cultures. Supplementary Figure 2-BMMC degranulation induced by compound Supplementary Figure 2-BMMC degranulation induced by compound 48/80 is not potentiated by co-culture with DRG. (A) shows concentration response curve for degranulation of BMMCs stimulated for 30 minutes with compound 48/80. The half-maximal concentration (30 µg/ ml) was then used to evaluate the effect of co-culturing BMMCs with DRG neurons on degranulation. (B) Degranulation measured in response to 30 minutes stimulation with compound 48/80 from BMMCs cultured alone or with DRG for 24 hours. Data shown are the mean ± sem for N=3 cultures, each performed in duplicate. Data were analyzed using two- tailed paired t-test. No significant difference in degranulation by compound 48/80 was found between the mono-cultures and co-cultures. BMMC HEK Coculture 0 5 10 15 20 % Adhesion * BMMC HEK Coculture BMMC+Ag HEK Coculture+ Ag HEK HEK + Ag 0 5 10 15 20 25 B-Hex Release (% of degranulation) ns ns upplementary Figure 3 – Adhesion of BMMCs with HEK cells does impact their degranulation. A) Immunoblot of lysates prepared from HEK and BMMC cultures. The blots were probed with nti-CADM1 and anti-GAPDH (loading control). The m.w. scale is shown to the right of the blot. Multiple isoforms of CADM1 are expressed in HEK cells, including an isoform of ~70 kDa, similar to hat observed in DRG. Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry At the indicated time point, sensory neurons were activate i i N h l i i h l i i l li i d i i 0 60 120 180 240 300 360 420 480 540 600 660 720 780 840 900 960 1020 1080 1140 1200 Time (S) 0 60 120 180 240 300 360 420 480 540 600 660 0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 Time (sec) Ratio 340/380 Cap 1µM DRG DRG BMMC1 BMMC1 BMMC2 BMMC2 BMMC3 BMMC3 D2 D1 (A) (B) D2 (B) 2 4 D1 (A) TG TG + BMMC 0.0 0.1 0.2 0.3 0.4 CGRPrelease (ng/ml) (C) 0 60 120 180 240 300 360 420 480 540 600 660 0.0 Time (sec) Supplementary Figure 4 - Evidence of chemical communication between mast cells and sensory neurons in co-culture.(A) Ratiometric fura-2 imaging of calcium signaling in co-cultures of DRG neurons and mast cells. Cells maintained in co-culture for 24 hours were passively loaded with 1µM Fura- 2AM and placed on the stage of an inverted microscope and perfused with physiological saline, washing away any non-adherent mast cells. At the indicated time point, sensory neurons were activated by the addition of capsaicin. Note the large increase in the calcium signal elicited in a representative sensory neuron indicated in (B) is followed by a short delay with an increase in calcium in the indicated mast cells (B) Transmitted light and fluorescent image of cells imaged in (A). A region of interest was placed over the soma of each of the indicated cells. Cells were excited with alternating light at 340 and 380 nm and emitted light collected at 10Hz and plotted (A). (C) CGRP measured by ELISA in the media recovered from monocultures and co-cultures of dissociated trigeminal ganglion and BMMCs. Data shown is the mean ± sem, n=3. TG + BMMC 0.0 0.1 0.2 0.3 0.4 CGRPrelease (ng/ml) (C) Supplementary Figure 4 - Evidence of chemical communication between mast cells and sensory neurons in co-culture.(A) Ratiometric fura-2 imaging of calcium signaling in co-cultures of DRG neurons and mast cells. Cells maintained in co-culture for 24 hours were passively loaded with 1µM Fura- 2AM and placed on the stage of an inverted microscope and perfused with physiological saline, washing away any non-adherent mast cells. At the indicated time point, sensory neurons were activated by the addition of capsaicin. Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry (B) BMMCs adhesion to HEK cells quantified using the calcein assay and expressed as percentage of adherent BMMC to total BMMC before washing and centrifugation. Data shown as mean ± SEM from N=3. Each done in duplicate. Data were analyzed two-tailed paired t-test *p<0.05 compared to BMMC culture alone. (C) anti-DNP IGE-sensitized BMMCs were cultured alone or with HEK cells for 24 hours. β-hexosaminidase (β-hex) release was measured in resting condition or after antigen (Ag, DNP) stimulation and expressed as a percentage of total β-hex measured from cells lysed with 0.5% Triton Xl00. Data shown are mean ± SEM of N=3, each performed in duplicate. ns=non-significant compared to BMMC alone. Data were analyzed using two-tailed paired t-test. – Adhesion of BMMCs with HEK cells does impact their degranulation. TG TG + BMMC 0.0 0.1 0.2 0.3 0.4 CGRPrelease (ng/ml) (C) 0 60 120 180 240 300 360 420 480 540 600 660 720 780 840 900 960 1020 1080 1140 1200 Time (S) 0 60 120 180 240 300 360 420 480 540 600 660 0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 Time (sec) Ratio 340/380 Cap 1µM DRG DRG BMMC1 BMMC1 BMMC2 BMMC2 BMMC3 BMMC3 D2 D1 (A) (B) tary Figure 4 - Evidence of chemical communication between mast cells and s co-culture.(A) Ratiometric fura-2 imaging of calcium signaling in co-cultures of d mast cells. Cells maintained in co-culture for 24 hours were passively loaded w placed on the stage of an inverted microscope and perfused with physiological sali non-adherent mast cells. Primary Antibodies Dilution Supplier Secondary Antibodies Dilution Supplier Rabbit anti-periphrin 1:1000 Sigma P5117 Alexa Fluor® 488 donkey anti-rabbit 1:1000 Invitrogen A-21206 Rabbit Anti-CADM1 Polyclonal IgG (H-300) 1:300 Santa Cruz sc- 33198 lot F0407 Mouse anti-CGRP 1:100 Abcam Ab81887 Alexa Fluor® 594 donkey anti-mouse 1:1000 Invitrogen A-21203 Mouse anti-B III Tubulin monoclonal IgG 1:1000 R&D MAB1195 clone TuJ-1 lot HGQ0113121 Goat anti FcεRIγ (A-18) polyclonal IgG 1:300 Santa Cruz (sc- 33496 lot: I2811) Alexa Fluor® 647 chicken anti-goat IgG 1:500 Invitrogen A21449 lot 1700331 Guinea pig anti-SubP 1:100 Abcam ab10353 FITC-donkey anti-guinea pig 1:100 Millipore Alexa Fluor@ 488 anti- mouse c-Kit 1:100 Biolegend (6861) APC-anti-mouse c-Kit (CD117) 1:100 eBioscience (17- 1171) PE-anti-mouse FceRI 1:100 eBioscience (12- 5898) Table 1 Antibodies Used for immunocytochemistry and Flow cytometry Note the large increase in the calcium signal elicited in a representative sensory neuron indicated in (B) is followed by a short delay with an increase in calcium in the indicated mast cells. (B) Transmitted light and fluorescent image of cells imaged in (A). A region of interest was placed over the soma of each of the indicated cells. Cells were excited with alternating light at 340 and 380 nm and emitted light collected at 10Hz and plotted (A). (C) CGRP measured by ELISA in the media recovered from monocultures and co-cultures of dissociated trigeminal ganglion and BMMCs. Data shown is the mean ± sem, n=3.
https://openalex.org/W4308814643
https://revistaboletim.emnuvens.com.br/revista/article/download/44/46
Portuguese
null
A perversão como defesa contra o não-dito
Boletim Formação em Psicanálise
2,022
cc-by
5,220
Resumo: The present work is based on the case of a patient seen in the consulting room, who at first was considered as having a perverse structure. Throughout the analysis process and the elaboration of this work a new hypothesis has arisen, that is the perverse behavior would be a defensive construct against annihilation and death anxieties, caused by a deadly silence about the past of his parents in the Second World War. The possibility of handling coun- tertransference in the face of the horror caused by the history of silence was also considered. O presente artigo trata de um caso atendido em consultório. Inicialmente, o paciente possuía características típicas de uma estrutura perversa. Ao longo do aten- dimento e confecção do artigo, foi surgindo a hipótese de que os comportamentos perversos seriam uma construção defensiva contra angústias de aniquilamento e morte, provenientes de um silêncio mortífero sobre o passado dos pais na Segunda Guerra Mundial. Foi também pensada a possibi- lidade de manejo da contratransferência diante do horror causado pela história e pelo silêncio. A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Perversion as defense against the unspoken: implications on the management of countertransference Aline Choueke Turnowski Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 Keywords: Eperversion; defense; confusion of tongues; countertransference. Perversão; defesa; confusão de línguas; contratransferência. Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 51 A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i O presente artigo traz um recorte da minha monografia de conclusão de curso, que tem por objetivo fazer uma reflexão sobre um caso atendido em meu con- sultório há alguns anos. Proponho, neste trabalho, pensar a perversão como defesa contra um não-dito diante de um trauma transgeracional. Chamarei aqui o paciente pelo nome Marcelo. Vários indícios me levaram, durante os atendimentos, a enxergar Marcelo como perverso. Seu comportamento sexual promíscuo, seu modo de lidar com as regras, o fato de usar as pessoas como objetos e uma relação sádica com a esposa me levaram a essa conclusão, mas havia também o modo como ele colocava a analista, inicialmente, como voyeur de suas cenas sexuais e, depois, como personagem de suas fantasias, o que acabou por paralisar a possibilidade de análise, por necessidade de defesa da analista. Em busca de pensar a respeito da possível perversão de Marcelo, faço aqui algumas breves considerações teóricas sobre como a Psicanálise vê esse modo de funcionamento. Muito importante frisar que não se trata apenas de falar em estrutura ou questioná-la, mas também do sofrimento que começou a se apresentar em Marcelo, uma vez que seus comportamentos o mantinham nesse lugar. Em A divisão do ego no processo de defesa (1940[1938]), Freud descreve o processo de clivagem do ego, que estaria presente no modo como o perverso recusa a castração. Na ocorrência de um trauma psíquico, de uma situação de perigo iminente, o ego precisa decidir entre reconhecer o perigo, renunciando à satisfação pulsional, ou ignorar a realidade. A criança, ante à percepção da castração, responde ao conflito com duas reações contraditórias. Por um lado, com o auxílio de certos mecanismos, rejeita a realidade e recusa-se a aceitar qualquer proibição; por outro, no mesmo alento, reconhece o perigo da realidade, assume o medo desse perigo como um sintoma patológico e subsequentemente tenta desfazer-se do medo (freud, p.293). É desta forma que se dá a clivagem do ego, em que o objeto fetiche surge como substituto para o pênis não existente nas mulheres, o que permite não dar crédito à angústia de castração, evitando assim, que sinta culpa por suas fantasias masturbatórias. A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i Mas a recusa se caracteriza por uma atitude dupla: É desta forma que se dá a clivagem do ego, em que o objeto fetiche surge como substituto para o pênis não existente nas mulheres, o que permite não dar crédito à angústia de castração, evitando assim, que sinta culpa por suas fantasias masturbatórias. Mas a recusa se caracteriza por uma atitude dupla: 1 Optou-se por manter o hífen no termo 'não-dito' para preservar o estilo da autora. 1 Optou-se por manter o hífen no termo 'não-dito' para preservar o estilo da autora. Artigos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski Artigos 52 é justamente porque a fantasia de castração acossa o sujeito que ele se vê obrigado a se defender, via fetichismo. De acordo com Colognese, Freud compreende: De acordo com Colognese, Freud compreende: [...] a recusa da realidade como mecanismo de defesa das perversões, assim como a necessidade da burla, enganação, mentira e supervalorização narcísica, ficam como conotações típicas das perversões (2003. p.79). Assim, podemos pensar que Marcelo é perverso, pois ele tem todas as carac- terísticas: não reconhece a castração da mãe (que morreu quando quis, pois tentou se matar, mas morreu do coração quando estava recuperada da ten- tativa), nem a própria (passou cheque sem fundo em nome da filha, sem entender o motivo dela ter ficado brava, não entendeu uma multa por esta- cionamento proibido), só pode ter satisfação através de fetiche (mulheres casadas e jovens), cisão do ego diante de um trauma (silêncio), burla, mentira e supervalorização narcísica. Marcelo possuía uma relação extremamente afetuosa com sua neta, o que me fez questionar a perversão como estrutura. Como não possuía a carac- terística de utilitarismo desta, comecei a pensar em como seria a perversão em Marcelo. A história familiar do paciente foi pouco falada durante o tempo em que esteve em análise. De forma breve e no início dos atendimentos me contou que era filho de dois sobreviventes do Holocausto, que haviam perdido famí- lias na guerra, fato que praticamente não era mencionado para o menino; havia um silêncio mortífero acerca da tragédia. Levanto a hipótese de que a perversão do paciente seja uma defesa contra o trauma provocado por um horror transgeracional, tratado como se nada houvesse ocorrido. Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i Durante vários meses iniciais da análise, Marcelo relatou sucessos e frustrações de suas aventuras sexuais, com frequência em riqueza de deta- lhes. O fato dele ter começado a colocar a analista como personagem de suas fantasias paralisou a análise. Houve um princípio de vínculo, mas a análise com uma analista que não suportou o horror pode ter sido tão traumática para ele quanto o silêncio; pode ter ocorrido uma confusão de línguas (Ferenczi, 1932) entre paciente e analista, o que levou à paralisação e consequente interrupção da análise. De acordo com Colognese (2003, p.79), para Klein “a perversão não tem um mecanismo específico: são pessoas com alteração na sexualidade”. É uma luta contra as ansiedades primitivas, e em última instância, uma luta contra a angústia de aniquilamento. Colognese também afirma que: Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 53 No perverso veremos muitos movimentos, mas não mudanças. É porque o perverso está tentando evitar uma dor maior, mas fará de tudo para nos convencer, na transferência, ou a qualquer um na rotina do coti- diano, que a dor é necessária, que o prazer, mesmo envolvendo risco, compensa. A luta está contra a fragmentação patológica. Para isso é necessário que se monte a cena da sedução, do golpe de esperteza, do saber indiscutível, estados mentais onipotentes que garantam mesmo violando o bom-senso, a lógica, a lei (2003. p. 81). De acordo com Melanie Klein (1927), o alicerce das perversões, assim como da neurose obsessiva e das psicoses, está no momento do surgimento de senti- mentos sádico-orais associados aos objetos de amor. As fantasias são de que o pai ou o próprio menino: “(...) estraçalha a mãe, espancando-a, arranhando-a, cortando-a em pedaços, são exemplos de uma concepção infantil da relação sexual.” (p. 200). Essas fantasias agressivas e destrutivas são postas em prá- tica por criminosos adultos, apesar de estar presente em todas as crianças, em suas brincadeiras. Ainda de acordo com Klein, o superego do perverso não é menos severo que os outros, mas funciona de outra maneira; permite que algumas tendências sejam mantidas para que outras mais censuráveis não surjam. Estas tendên- cias mais censuráveis seriam as que se referem ao complexo de Édipo; o que parece inibição das tendências, na realidade não é. É efeito de um superego extremamente rigoroso, mas que age de uma maneira diferente. Artigos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i Não é que falte superego; é uma presença excessiva deste que gera a ansiedade e leva a atacar o outro, porque o outro passa a ser visto como ameaça. Penso que algo desse tipo se passou com Marcelo. A confecção deste trabalho me trouxe uma possibilidade de reencontro com a humanização deste homem, que no início era uma coleção de com- portamentos perversos que me deixavam, a analista, em uma situação tão traumática quanto a dele. Um dos pontos que mais chamou minha atenção durante a confecção do trabalho a respeito da história de Marcelo, que pode ser fundamental na constituição das defesas perversas por ele utilizadas, é a história de sobrevi- ventes de guerra, de horror, de tragédia vivida por seus pais. Segundo relatava, os horrores vividos por seus pais não eram falados, sendo que tudo o que ele podia contar era que seus pais haviam perdido familiares diretos. Ficou em mim a sensação de que Marcelo foi o filho dos Artigos rtigos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski 54 sobreviventes, e de que talvez ele tivesse sido criado em um ambiente no qual bastava estar vivo, no qual o primordial era sobreviver. Isto tudo não havia chamado minha atenção durante os atendimentos; mantinha-se o imperativo do silêncio, enquanto a perversão ocupava toda a cena, o que é um indicativo de que fosse uma defesa em forma de busca pelo horror. O pai de Marcelo era um homem mais velho e doente; provavelmente a mãe vivia em uma luta por manter o filho vivo, por mantê-lo alimentado, vestido, aquecido, mas talvez tenha faltado um olhar, investimento libidinal necessário para a constituição do psiquismo. De acordo com Ferraz (2002), falando do trabalho de Masud Khan, a mãe do perverso realiza intensos cuidados pessoais de forma impessoal. Trata o filho como mais maduro, provocando desenvolvimento egoico precoce. O menino era mantido sempre com suas necessidades básicas atendidas, mesmo seu pai tendo falecido quando ele ainda era novo; mãe lutadora, batalhadora, “fazedora”. Mas enquanto tudo isso era realizado, havia algo sobre o qual não se falava, mas que poderia estar ocupando a mente da mãe constantemente: os mortos, a luta pela sobrevivência e o medo. Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i É de uma realidade onde a humanidade do outro foi destruída, e o assas- sinato não foi entendido como crime, e sim como solução; que os pais de Marcelo sobreviveram. Provavelmente também por questão de sobrevivência, isso não foi falado, mas foi transmitido, tendo se tornado traumático para o garoto desde os seus primeiros momentos de vida, de certa forma fazendo parte de sua história pessoal, mas ao mesmo tempo não o fazendo de forma explícita: uma herança transgeracional; algo transmitido de forma silenciosa. Todo ser humano é depositário de uma história individual que é relacio- nada à história coletiva, mas quando essa relação é omitida, o indivíduo fica abandonado em uma solidão, não há inscrição simbólica do horror da reali- dade. No caso da família em questão, não houve o testemunho, não houve a transmissão que oferece “ao indivíduo a possibilidade de testemunhar sobre si próprio, permitindo-lhe reconhecer a história à qual pertence, assumindo dessa maneira a responsabilidade por si próprio” (koltai, 2009, p.147). Quando há uma interrupção da transmissão, como neste caso, esta procura uma outra via de inscrição, muitas vezes nas gerações seguintes. Em Los degradados, para fora, para baixo, morte, o trauma transmitido e inflingido, conforme foi encontrado na análise de uma menina de 6 anos (2005), James M. Herzog afirma que: A mente de uma criança desenvolve-se refletindo as diferentes realidades de seus pais: quem são e com o que se debatem. Ela coloca dentro de si o estado Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 55 emocional de sua mãe e o de seu pai e observa como ambos funcionam juntos. Quando eventos históricos do passado e do presente estão muito próximos, seu impacto é tão imediato que impede uma compreen- são e uma integração adequadas e estas situações se tornam também uma parte do mundo interior da criança (herzog, p.76). O que não foi metabolizado pelos pais e a família é transmitido como trauma para a criança. Frequentemente ela apresenta o desenvolvimento precoce de algumas funções, como a linguagem, mas também da capacidade de conter, representar, disfarçar ou lidar com as situações nas quais um dos pais ou ambos não foram capazes de protegê-la. Marcelo, nesta situação de não trans- missão, pode ter desenvolvido precocemente algumas dessas funções; pode ter tido a necessidade de se proteger sozinho muito cedo. Artigos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i Sua vida sexual não se desenvolve ou assume formas perversas [...] a personalidade fracamente desenvolvida reage ao brusco desprazer, não pela defesa, mas pela identificação ansiosa e introjeção daquele que ameaça e agride (ferenczi, p.103). A criança de quem se abusou converte-se num ser que obedece mecanicamente, ou que se fixa numa atitude obstinada; mas não pode mais explicar as razões dessa atitude. Sua vida sexual não se desenvolve ou assume formas perversas [...] a personalidade fracamente desenvolvida reage ao brusco desprazer, não pela defesa, mas pela identificação ansiosa e introjeção daquele que ameaça e agride (ferenczi, p.103). É possível que algo desta ordem tenha ocorrido com Marcelo, a partir da invasão traumática do silêncio mortífero, ele se identificou com o agressor, o soldado nazista, que vê os outros com indiferença, desumanizados, como simples objetos a serem utilizados e descartados; eliminados, mortos, dizi- mados. Tornou-se incapaz de amar e de ser afetado pelos outros. Podemos pensar, com base no que vimos até aqui, que o não-dito a respeito do sofrido pelos pais pode ter sido vivenciado como um trauma extremamente violento para a criança criada no silêncio. Ele precisou se defender desta invasão traumática sozinho, o que levou a um desenvolvimento precoce de várias funções e também pode ter levado à organização de defesas perversas para garantir a sobrevivência contra angústias de aniquilamento e morte. O fato de ele ter impossibilitado a analista de se dar conta do trauma do nazismo antes do término da análise talvez também faça parte do disfarce para manter longe o sofrimento. A sessão se enche de perversão, paralisa a escuta da ana- lista e a dor fica intocada. No caso de Marcelo, foi possível perceber a presença de sadismo na relação com a esposa, no sexo um tanto agressivo, em provocar incômodo na analista. De acordo com Klein (1927), o superego de indivíduos como Marcelo é extremamente severo. Na transferência, eu pensei ser possível que Marcelo não tivesse reprimido o sadismo que demonstrava na vida para que a força repressora ficasse focada em reprimir o desejo edípico do menino, que se via entre uma mãe séria, mas cheia de potência, um pai idoso e doente, e um fan- tasma de silêncio familiar aterrorizador. Houve identificação com o agressor (Ferenczi), com o soldado nazista que trata seres humanos como objetos. A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i Ele iniciou muito precocemente sua vida sexual, e seus amigos eram sempre mais velhos; isto indica um possível amadurecimento precoce. Sandor Ferenczi, em Confusão de línguas entre adultos e a criança (1932) traz em sua obra uma original teoria do trauma, que está alicerçada na ideia do desmentido. Este é a negação por parte de um adulto que ouve a criança, de que esta sofreu um abuso, dizendo a ela que nada aconteceu ou que o acontecido não tem importância, ou ainda, que se trata de uma fantasia. Este desmentido toma um contorno traumático e desestruturante para a criança, fazendo com que esta não confie mais em sua percepção. Para que ocorra um trauma, é necessário que o indivíduo que o sofre não consiga se defender e que haja um desmentido. É possível considerar a hipótese de que houve um desmentido sobre a percepção da criança de que algo muito ruim ocorreu, e que um adulto diz não ser importante ou trata como fantasia. Nessa família, talvez o silêncio mortífero tenha se tornado esse desmentido; havia nele uma percepção de que uma tragédia havia ocorrido, mas ao não ser conversada, essa tragédia percebida pode ter tomado um contorno traumático. Nem é necessário dizer o quanto um bebê está indefeso ao evento traumático, impossibilitado de defesa. Porém, este tem uma mínima possibilidade de reação, caso contrário pereceria.i Uma importante consequência do trauma é a identificação com o agressor (ferenczi, 1933), mecanismo que ocorre quando a criança reage pela iden- tificação ansiosa com a ameaça. Dessa forma, a violência deixa de existir na realidade e passa a ser intrapsíquica. A consequência disto pode ser uma matu- ridade precoce, própria dos adultos, e “um comprometimento da capacidade de afetar e ser afetado pelo outro, que se faz acompanhar de uma dificuldade Artigos os A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski 56 de expressar afetos de amor e de ódio e de uma diminuição da potência para se afirmar de modo singular” (kuperman apud osmo e kuperman, 2012). de expressar afetos de amor e de ódio e de uma diminuição da potência para se afirmar de modo singular” (kuperman apud osmo e kuperman, 2012). A criança de quem se abusou converte-se num ser que obedece mecanicamente, ou que se fixa numa atitude obstinada; mas não pode mais explicar as razões dessa atitude. Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 A PERVERSÃO COMO DEFESA CONTRA O NÃO-DITO1i As defesas perversas tiveram a função de garantir a sobrevivência; porém essa agressão não havia sido sofrida por ele, mas por seus pais e antepassados. Considero a hipótese de que a perversão de Marcelo tenha se constituído como uma forma que ele encontrou para se defender do trauma por ele sofrido Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 57 em sua infância. Trauma decorrente do silêncio mortífero de seus pais em relação aos horrores por eles sofridos nas mãos dos nazistas. O não-dito acabou se tornando parte de sua história pessoal, mas não de forma explícita, o que fez com que ele tivesse sentido um horror que não teve inscrição possível. A criança que ele foi, filho de uma mãe extremamente batalhadora e fazedora, não pode lidar com o desmentido que o que não era dito se tornou. Com base no conceito de contratransferência, irei tecer considerações sobre como a perversão defensiva de Marcelo paralisou a analista, impedindo que houvesse um trabalho contratransferencial do material bruto projetado. Sem esse manejo da contratransferência, a angústia tomou todo campo ana- lítico, impossibilitando a continuidade da análise. Artigos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski O MANEJO (OU NÃO) DA CONTRATRANSFERÊNCIA A contratransferência é um dos principais conceitos a serem pensados quando se fala em clínica psicanalítica, pois ela pode se tornar um instrumento para o analista ou paralisar completamente a análise. No caso de Marcelo, foi possível perceber o surgimento de um vínculo incipiente. Poderia se pensar, então, no surgimento da transferência e, a partir disso, de uma resposta contratransfe- rencial por parte da analista. No texto A técnica psicanalítica, de 1919, Ferenczi traz um tópico sobre o domínio da contratransferência, no qual diz que o analista “jamais deve aban- donar-se aos seus afetos, pois o fato de estar dominado por afetos, ou mesmo por paixões, constitui um terreno pouco favorável à recepção e assimilação dos dados analíticos” (ferenczi, p.416). Contudo, como este é um ser humano, o analista deve, por um lado, observar o paciente e seu comportamento e, por outro, controlar a própria atitude, ou seja, controlar a contratransferência. A condição para isso é que o analista tenha sido analisado. Quando o psicanalista aprende a “controlar” a contratransferência, corre o risco de tornar-se extremamente duro e inacessível ao paciente, o que geraria uma resistência à transferência. Assim, o trabalho do analista parece trazer exigências contraditórias; por um lado, o analista deve dar livre curso às suas associações e fantasias e, por outro, deve examinar com atenção o material fornecido pelo paciente e por ele próprio. Em Confusão de línguas entre o adulto e a criança (1933), Ferenczi fala sobre a situação analítica. Pode ocorrer que o paciente se identifique com o analista ao invés de acusá-lo de haver cometido erros ou de confrontá-lo. A crítica ao analista só se torna possível se houver por parte deste permissão expressa ou encorajamento para tal. O analista deve investigar, além de episódios desa- gradáveis do passado, as críticas recalcadas ou reprimidas a ele endereçadas pelo paciente. Isso pode levar o analista a se defrontar com suas próprias Artigos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski 58 resistências; deve ser muito bem analisado para lidar com o ódio e desprezo que as associações do paciente podem trazer. E também deve poder admitir seus erros, para obter a confiança do analisando. A partir das observações de que a contratransferência seria uma fonte de dificuldades, Paula Heimann escreveu seu importante artigo Sobre a contratrans- ferência (1950). Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 O MANEJO (OU NÃO) DA CONTRATRANSFERÊNCIA Verificou que muitas vezes os analistas sentiam-se culpados por ter sentimentos por seus analisandos, evitando, assim, qualquer resposta emocional, o que os mantinha insensíveis e distantes. Essa distância pode ser justificada na literatura psicanalítica, que em muitos lugares propõe que senti- mentos do analista em relação ao paciente são obstáculos a serem superados. No texto de 1950, Heimann usa o termo ‘contratransferência’ para falar dos sentimentos que o analista tem em relação ao paciente e que não pode escolher não sentir. De acordo com a autora, o uso de “contra” sugere fatores adicionais à transferência por parte do analista. Minha tese é a de que a resposta emocional do ana- lista para com seu paciente na situação analítica representa uma de suas principais ferramentas de trabalho. A contratransferência do analista é um instrumento de pesquisa para penetrar no incons- ciente do paciente (heimann, 1950). A suposição básica da autora é a de que o inconsciente do analista capta o do paciente. “Essa harmonia a nível profundo vem à superfície na forma de sentimentos que o analista percebe em resposta ao paciente, na sua ‘contra- transferência’. Essa é a forma mais dinâmica pela qual a voz do paciente o alcança” (1950). Porém se as emoções são violentas, elas podem levar o analista mais para a ação, o que fará com que ele se perca em seu objetivo. “Deste ponto de vista, a contratransferência do analista não é apenas uma parte muito importante da relação analítica, mas é uma criação do paciente, é parte de sua personalidade” (1950). Quando o analista tem bem trabalhados em sua própria análise os seus conflitos e suas ansiedades, não vai atribuir ao paciente o que não é dele. Money-Kyrle (1956) também trata a contratransferência como algo que tem causa e efeito no paciente; como algo a ser nele analisado. Isso não implica que tenha deixado de constituir um obstáculo. O autor fala sobre contra- transferência normal, situação na qual o paciente fala, o analista se identifica introjetivamente e, entendendo o paciente, reprojeta e interpreta. Desta forma surgem “interpretações efetivas que o ajudam a responder com outras associa- ções que, por sua vez, podem ser compreendidas” (money-kyrle, 1956, p.37). Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 59 No entanto, a contratransferência não é contínua, pois não há analista onisciente. Artigos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski O MANEJO (OU NÃO) DA CONTRATRANSFERÊNCIA O analista falha quando o paciente se aproxima de um aspecto ainda não compreendido do próprio analista; falha por sua própria neurose, em consequência da severidade de seu superego. Então, o material fica obs- curo. Falha também porque há certos pacientes com os quais o analista tem dificuldade de manter contato. Esta situação gera um aumento de ansiedade, que tem por consequência diminuir ainda mais a compreensão. De acordo com Zimerman, em Bion: da teoria à prática (1995): [...] Bion alerta que o maior risco de uma análise é não só o estabelecimento de um conluio de calmaria e acomodação [...] como também de um resultado analítico que se respalde e pactue com uma recíproca fascinação, que pode estar refletindo uma submissão do paciente [...] (zimerman, p.201). Já Viana (1993, p.49) delineia a contratransferência, segundo dois aspectos: o primeiro como condição de escuta do analista e o segundo como perda de linguagem; emergência de uma angústia siderante e mortífera. No segundo caso, ocorreria uma falha no desenvolvimento da linguagem criativa, E é exatamente nesse momento, onde a experiência emocional do analista foi atravessada pela angústia contratransferencial siderante e mortífera, que a contratransferência deixa de ser condição de escuta e de linguagem, porque denuncia um movimento transferencial do analista (viana, 1993, p.55). Com base no que lemos nos autores citados, podemos pensar sobre a difi- culdade clínica que é lidar com a contratransferência; por um lado devemos reconhecê-la em nós e por outro saber que é material trazido pelo paciente. Tentar manter a neutralidade e a distância do analisando para que não ocorram respostas emocionais por parte do analista pode fazer com que o analista evite perceber a contratransferência e, assim, deixe de lado parte fundamental da relação analítica. Ao mesmo tempo, a contratransferência pode se constituir em um obstáculo que paralisa e cega o analista quando não reconhecida. No início da análise de Marcelo, eu sentia um desconforto enorme em relação às descrições que ele trazia de suas relações sexuais e ao modo como ele se relacionava com sua esposa e demais pessoas. Os comportamentos perversos, mesmo que constituídos como defesa, e a violência da identificação Artigos igos A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski 60 com o agressor, de início me causavam horror. Em muitos momentos eu aca- bava por me sentir contratransferencialmente como se eu fosse uma voyeur na cena. O MANEJO (OU NÃO) DA CONTRATRANSFERÊNCIA Mas com o tempo, fui me acostumando com as falas; sentia como se ele trouxesse tudo isso como descrições e deixei de ser “espectadora” dos relatos. Acredito que a reação de “me acostumar” com os relatos de Marcelo tenha sido uma tentativa da minha parte de “controlar” a contratransfe- rência e em consequência tenha me tornado uma analista distante e dura; impossibilitada de entrar em contato com o sofrimento que o comporta- mento perverso causava no paciente. Estava, assim, na situação de conluio e calmaria citada por Bion. Em dado momento, eu passei a ser objeto das fantasias de Marcelo, coisa que me pegou de surpresa, já que eu me acreditava distante e consequente- mente segura. Penso que essa atuação tenha sido realizada em consequência da necessidade de Marcelo de trazer a analista novamente para a proximidade, para um lugar no qual eu pudesse voltar a sentir o sofrimento e a angústia ocultados pela perversão que ele havia construído para se defender. O que eu senti foi uma “angústia siderante e mortífera” (Viana, p.55), que me impossibilitou de desenvolver aproximação, de me comunicar com ele por meio de uma linguagem criativa. A partir deste momento, não houve mais análise, não havia mais comunicação possível entre nós, apenas uma analista paralisada e um analisante assustado com o que havia causado. Mar- celo interrompeu os atendimentos, fazendo ataques, antes que eu pudesse retomar minha posição analítica. A contratransferência, nesse caso, não foi usada como linguagem, como uma forma de comunicação criativa para que a analista pudesse compreender o sofrimento do paciente. A tentativa inicial de controlar, depois a paralisação que foi provocada tornaram a comunicação impossível. CONSIDERAÇÕES FINAIS A aparente perversão, que no caso era a tentativa de Marcelo de se defender de angústias insuportáveis, mostrou sinais de enfraquecimento, o que se tornou assustador e trouxe atuações que deixaram a analista contratransferencial- mente assustada e imobilizada. A angústia siderante e mortífera que eu senti talvez tenha sido provocada não apenas pelos comportamentos e fantasias da construção defensiva perversa, mas também pelo silêncio, também mortífero, acerca da história de horror da origem de Marcelo. Como não havia palavra, surgiu a angústia e a paralisia, muito provavelmente sensações que ele carregava, relativas ao passado. A paralisia impediu que tocássemos no passado, impediu que mudássemos o status do silêncio imposto por seus pais. Boletim Formação em Psicanálise Ano XXX - Vol. 30 — 2022 61 Pensar sobre este caso me trouxe a importante conclusão de que o indi- víduo como este paciente não é apenas um perverso inanalisável, mas que ele passa por extremo sofrimento, e que o comportamento perverso é uma forma de se defender. Sendo assim, existe a possibilidade de o analista estar disponível para receber e atender alguém que sofre. A possibilidade de manejo da contratransferência é condição para que possa haver continuidade e pro- gresso no atendimento analítico. A perversão como defesa contra o não-dito: implicações no manejo da contratransferência Aline Choueke Turnowski REFERÊNCIAS colognese, j. a. A trama do equilíbrio psíquico: A questão econômica e as relações objetais. São Paulo: Ed. Rosari, 2003. colognese, j. a. A trama do equilíbrio psíquico: A questão econômica e as relações objetais. São Paulo: Ed. Rosari, 2003. ferenczi, s. (1919) A técnica psicanalítica. In: Psicanálise II. São Paulo: Martins Fontes, 1992. ________. (1933) Confusão de língua entre os adultos e a criança. In: Psicanálise IV. São Paulo: Martins Fontes, 1992. ________. (1933) Confusão de língua entre os adultos e a criança. In: Psicanálise IV. São Paulo: Martins Fontes, 1992. ferraz, f.c; Perversão. São Paulo: Casa do Psicólogo, 2010. heimann, p. (1950). On Countertrasference. In: International Journal of Psycho-Analysis, n.31, p.81-84. herzog, j.m. Los degradados, para fora, para baixo, morte, o trauma transmitido e inflingido, conforme foi encontrado na análise de uma menina de 6 anos. In: Rev. Brasileira de Psicanálise, v. 39, n.1, p.75-93, 2005. klein, m. (1927) Tendências criminosas em crianças normais. In: Amor, culpa e reparação. Rio de Janeiro: Ed. Imago, 1996. koltai, c. Memória do inominável. In: Trauma, memória e transmissão: a incidência da política na clínica psicanalítica. São Paulo: Ed. Primavera, 2009. money-kyrle, r. Contratransferência normal e alguns de seus desvios (1956). In: Melanie Klein hoje. v. 2. Rio de Janeiro: Ed. Imago, 1990. osmo, a; kupermann, D. Confusão de línguas, trauma e hospitalidade em Sándor Ferenczi. In: Psicologia em estudo. v.17, n. 2, p. 329-339, Maringá, 2012. viana, s.a. Contratransferência: a questão fundamental do psicanalista. São Paulo: Escuta, 1993. zimerman, d.e. Bion: da teoria à prática. Porto Alegre: Artes Médicas, 1995.v. 2, p. 329-339, 2012. Artigos 62 Artigos
https://openalex.org/W4285309224
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Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem
Acta Paulista de Enfermagem
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Artigo Original Artigo Original Kênia Lara Silva1 https://orcid.org/0000-0003-3924-2122 Rafaela Siqueira Costa Schreck1 https://orcid.org/0000-0001-5251-3973 Elen Cristiane Gandra1 https://orcid.org/0000-0002-4623-6495 Ana Renata Moura Rabelo1 https://orcid.org/0000-0002-6201-856X Letícia Luzia Ferreira Silva1 https://orcid.org/0000-0002-0464-7659 Rayssa Assunção Guimarães1 https://orcid.org/0000-0002-7058-7287 Como citar: Silva KL, Schreck RS, Gandra EC, Rabelo AR, Silva LL, Guimarães RA. Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem. Acta Paul Enferm. 2022;35:eAPE039006034. DOI http://dx.doi.org/10.37689/acta-ape/2022AO006034 1Escola de Enfermagem, Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil. Conflitos de interesse: nada a declarar. Descritores Descritores Iniquidade social; Fatores socioeconômicos; Educação em enfermagem; Competência profissional Keywords Social Inequity; Socioeconomic factors; Education nursing; Professional competence Conclusão: Há alto grau de concordância nas perspectivas de docentes e discentes sobre a abordagem das desigualdades na formação em enfermagem, com exceção da abordagem de iniquidades em saúde. Indica-se a necessidade de expandir o olhar sobre grupos sociais historicamente negligenciados. Descriptores Inequidad social; Factores socioeconómicos; Educación en enfermería; Competencia professional Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem Perspectives of professors and students on social inequalities in nursing education Perspectivas de docentes y de discentes sobre desigualdades sociales en la formación en enfermería Kênia Lara Silva1 https://orcid.org/0000-0003-3924-2122 Rafaela Siqueira Costa Schreck1 https://orcid.org/0000-0001-5251-3973 Elen Cristiane Gandra1 https://orcid.org/0000-0002-4623-6495 Ana Renata Moura Rabelo1 https://orcid.org/0000-0002-6201-856X Letícia Luzia Ferreira Silva1 https://orcid.org/0000-0002-0464-7659 Rayssa Assunção Guimarães1 https://orcid.org/0000-0002-7058-7287 Artigo Original Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem Perspectives of professors and students on social inequalities in nursing education Perspectivas de docentes y de discentes sobre desigualdades sociales en la formación en enfermería Kênia Lara Silva1 https://orcid.org/0000-0003-3924-2122 Rafaela Siqueira Costa Schreck1 https://orcid.org/0000-0001-5251-3973 Elen Cristiane Gandra1 https://orcid.org/0000-0002-4623-6495 Ana Renata Moura Rabelo1 https://orcid.org/0000-0002-6201-856X Letícia Luzia Ferreira Silva1 https://orcid.org/0000-0002-0464-7659 Rayssa Assunção Guimarães1 https://orcid.org/0000-0002-7058-7287 Artigo Original Resumo Como citar: Silva KL, Schreck RS, Gandra EC, Rabelo AR, Silva LL, Guimarães RA. Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem. Acta Paul Enferm. 2022;35:eAPE039006034. Como citar: Silva KL, Schreck RS, Gandra EC, Rabelo AR, Silva LL, Guimarães RA. Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem. Acta Paul Enferm. 2022;35:eAPE039006034. Objetivo: Identificar as competências e estratégias de ensino para abordagem das desigualdades utilizadas na formação em enfermagem, indicando convergências e divergências nas perspectivas de docentes e discentes de enfermagem. Métodos: Pesquisa descritiva, dados obtidos de questionário online respondido por 183 discentes e 86 docentes/coordenadores(as) de cursos de graduação em Enfermagem das diferentes regiões do Brasil. As variáveis foram referentes à caracterização dos participantes, temáticas vinculadas às desigualdades, preparo para atuar nas desigualdades e estratégias para desenvolver competências. Foram criados escores para dimensionar o grau de abordagem das desigualdades e a concordância quanto ao preparo para lidar com públicos vulnerabilizados. Foi considerado nível de significância de 5%. Resultados: Participaram do estudo majoritariamente mulheres, brancas, vinculadas a instituições de ensino público da região Sudeste do país. Houve alto grau de concordância quanto à abordagem das desigualdades na formação em enfermagem, exceto para a temática de Advocacia em Saúde. Identificou-se limites da formação para atuar junto às pessoas privadas de liberdade, indígenas e quilombolas. Temas relacionados à Desigualdade são ensinados especialmente por meio de ações de extensão, palestras/eventos, disciplinas obrigatórias e atividades práticas/estágios. Contraditoriamente, as aulas foram indicadas como a principal estratégia de ensino para o desenvolvimento das diversas competências frente às desigualdades, que devem ser apreendidas ao longo do curso. Resumo Descritores Iniquidade social; Fatores socioeconômicos; Educação em enfermagem; Competência profissional Keywords Social Inequity; Socioeconomic factors; Education nursing; Professional competence Descriptores Inequidad social; Factores socioeconómicos; Educación en enfermería; Competencia professional Submetido 12 de Março de 2021 Aceito 19 de Julho de 2021 Autor correspondente Kênia Lara Silva E-mail: kenialara17@gmail.com Editor Associado (Avaliação pelos pares): Edvane Birelo Lopes De Domenico (https://orcid.org/0000-0001-7455-1727) Escola Paulista de Enfermagem, Universidade Federal de São Paulo, SP, Brasil Descritores Iniquidade social; Fatores socioeconômicos; Educação em enfermagem; Competência profissional Keywords Social Inequity; Socioeconomic factors; Education nursing; Professional competence Descriptores Inequidad social; Factores socioeconómicos; Educación en enfermería; Competencia professional Submetido 12 de Março de 2021 Aceito 19 de Julho de 2021 Autor correspondente Kênia Lara Silva E-mail: kenialara17@gmail.com Editor Associado (Avaliação pelos pares): Edvane Birelo Lopes De Domenico (https://orcid.org/0000-0001-7455-1727) Escola Paulista de Enfermagem, Universidade Federal de São Paulo, SP, Brasil Resumen Objetivo: Identificar las competencias y estrategias de enseñanza para el abordaje de las desigualdades utilizadas en la formación en enfermería, indicando convergencias y divergencias en las perspectivas de docentes y de discentes de enfermería. Métodos: Investigación descriptiva, datos obtenidos del cuestionario en línea respondido por 183 discentes y 86 docentes/coordinadores(as) de cursos universitarios de Enfermería de las distintas regiones de Brasil. Las variables se refirieron a la caracterización de los participantes, temáticas vinculadas a las desigualdades, preparación para actuar en las desigualdades y estrategias para desarrollar competencias. Se crearon puntuaciones para dimensionar el grado de abordaje de las desigualdades y del nivel de acuerdo y desacuerdo con relación a la preparación para manejarse con públicos en condiciones de vulnerabilidad. Se consideró un nivel de significación del 5 %. Resultados: Participaron del estudio mayoritariamente mujeres, blancas, vinculadas a instituciones de enseñanza pública de la región Sureste del país. Se verificó un elevado de acuerdo con relación al abordaje de las desigualdades en la formación en enfermería, excepto para la temática de Abogacía en Salud. Se identificaron límites en la formación para actuar con las personas privadas de libertad, indígenas y comunidades cimarronas. Temas relacionados con la Desigualdad se enseñan especialmente por medio de acciones de extensión, conferencias/eventos, asignaturas obligatorias y actividades prácticas/pasantías. Contradictoriamente, las clases fueron indicadas como la principal estrategia de enseñanza para el desarrollo de las distintas competencias frente a las desigualdades, que se deben aprehender a lo largo del curso. Conclusión: Hay un elevado grado de acuerdo en las perspectivas de docentes y de discentes sobre el abordaje de las desigualdades en la formación en enfermería, con excepción del abordaje de iniquidades en la salud. Se indica la necesidad de expandir la mirada sobre grupos sociales que históricamente padecieron negligencia. Abstract equa ty a e taug t espec a y t oug out eac act o s, ectu es/e e ts, co pu so y subjects a d p act ca act t es/ te s ps Co t ad cto y, t e c asses were indicated as the main teaching strategy for developing the various competencies in the face of inequalities, which must be learned throughout the course. Conclusion: There is a high degree of agreement in the perspectives of professors and students on the approach to inequalities in nursing education, with the exception of the approach to health inequities. The need to expand the view on historically neglected social groups is indicated. Conclusion: There is a high degree of agreement in the perspectives of professors and students on the approach to inequalities in nursing education, with the exception of the approach to health inequities. The need to expand the view on historically neglected social groups is indicated. Acta Paul Enferm. 2022; 35:eAPE039006034. Abstract Objective: To identify the competencies and teaching strategies to address the inequalities used in nursing education, indicating convergences and divergences in the perspectives of nursing professors and students. Methods: This is a descriptive research, data obtained from an online questionnaire answered by 183 students and 86 professors/coordinators of undergraduate nursing courses from different regions of Brazil. The variables were related to the characterization of participants, themes linked to inequalities, preparation to act on inequalities and strategies to develop competencies. Scores were created to measure the degree of approach to inequalities and agreement on the preparedness to deal with vulnerable audiences. A significance level of 5% was considered. Results: The study included mostly white women, linked to public education institutions in southeastern Brazil. There was a high degree of agreement regarding the approach to inequalities in nursing education, except for 1 1 Acta Paul Enferm. 2022; 35:eAPE039006034. Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem the theme of Health Advocacy. Training limits were identified to work with people deprived of liberty, indigenous and quilombola populations. Themes related to inequality are taught especially through outreach actions, lectures/events, compulsory subjects and practical activities/internships. Contradictorily, the classes were indicated as the main teaching strategy for developing the various competencies in the face of inequalities, which must be learned throughout the course. the theme of Health Advocacy. Training limits were identified to work with people deprived of liberty, indigenous and quilombola populations. Themes related to inequality are taught especially through outreach actions, lectures/events, compulsory subjects and practical activities/internships. Contradictorily, the classes were indicated as the main teaching strategy for developing the various competencies in the face of inequalities, which must be learned throughout the course. Conclusion: There is a high degree of agreement in the perspectives of professors and students on the approach to inequalities in nursing education, with the exception of the approach to health inequities The need to expand the view on historically neglected social groups is indicated the theme of Health Advocacy. Training limits were identified to work with people deprived of liberty, indigenous and quilombola populations. Themes related to inequality are taught especially through outreach actions, lectures/events, compulsory subjects and practical activities/internships. Contradictorily, the classes were indicated as the main teaching strategy for developing the various competencies in the face of inequalities, which must be learned throughout the course. Introdução Existem também as desigualdades categoriais que envolvem gênero e idade, raça e etnicidade, clas- se social e nível educacional, nacionalidade e iden- tidade cultural, entre outras formas.(3,4) Entendendo que existem populações mais afetadas pelas desi- gualdades, dependendo da categoria analisada. As dinâmicas sociais atuais levam a necessidade da discussão sobre as desigualdades, recolocando-as sob intensa atenção pública e científica. Reconhecido autor do campo, ressalta os aspectos das desigualda- des no contexto de globalização acentuada e a plu- ralidade de desigualdades, identificando-as como diferenças hierárquicas, evitáveis e moralmente in- justificadas. Define, neste sentido, três principais dimensões de desigualdade: “vitais”, “existenciais” e “de recursos”.(1) As diferentes dimensões ou categorias que produ- zem desigualdades são ainda tema de estudos, pesqui- sas e políticas nacionais e internacionais, uma vez que atravessam o conjunto do tecido social.(5) No contex- to brasileiro, as desigualdades são históricas e expres- sivas, com repercussões no acesso aos direitos básicos, políticas públicas de saúde, educação e infraestrutu- ra. Apesar dos significativos avanços conquistados no país, inúmeras desigualdades ainda persistem, sendo um dos países mais desiguais do mundo.(6) As desigualdades vitais relacionam-se a vida e morte, de modo que saúde e longevidade são dis- tribuídas segundo padrões sociais identificáveis. As desigualdades existenciais assumem a negação de (igual) reconhecimento e respeito dos indiví- duos enquanto pessoas, com restrição de liber- dade de ação de certos sujeitos, como mulheres, negros, indígenas, imigrantes, pobres, membros de castas inferiores e de certos grupos étnicos. Na desigualdade de recursos ou material, entende-se que indivíduos contam com recursos distintos, portanto, há desigualdade de acesso à educação, carreira e contatos sociais, a chamada desigualda- de de oportunidades.(2) p g O enfrentamento das desigualdades está claramente definido como uma ação no esco- po dos profissionais da saúde, em especial da Enfermagem.(7,8) Eticamente, os enfermeiros devem promover equidade na saúde, por uma prática norteada pelos Determinantes Sociais da Saúde,(9) apresentar um esforço organizado e sustentado para promover justiça social,(7) com práticas sintonizadas às demandas e necessida- des dos territórios.(8) Acta Paul Enferm. 2022; 35:eAPE039006034. 2 Silva KL, Schreck RS, Gandra EC, Rabelo AR, Silva LL, Guimarães RA pos de pesquisa, além da divulgação em redes sociais e demais veículos de comunicação. Introdução Do ponto de vista do ensino em Enfermagem, uma revisão crítica demonstrou que existem estra- tégias utilizadas para abordagem das desigualdades, em elementos como justiça social, competência cul- tural, segurança cultural e defesa, com enfoque em populações socialmente vulneráveis.(10) A coleta dos dados foi realizada de abril a agosto de 2019, período entre a divulgação dos questioná- rios online e retorno das respostas. Os questionários foram criados pela equipe de pesquisa e disponibili- zados na Plataforma SurveyMonkey, sendo uma ver- são específica para os discentes e outra destinada aos docentes/coordenadores(as) de curso. Após a elabo- ração do questionário houve aplicação de teste para adaptação e validação do conteúdo. A confiabilidade dos questionários foi medida pelo coeficiente de Alfa de Cronbach, foi obtido coeficiente de 0,913 para os discentes e 0,944 para os docentes, indicando alto grau de consistência interna para os dois grupos. Na literatura existem apontamentos de deficiên- cias no enfrentamento das desigualdades por meio do ensino e prática de enfermagem, expressas em baixo (des)envolvimento de reformas sociais e poli- tical advocacy,(7) desafios para a equidade pela práti- ca(11) e deficiências curriculares.(7,12) i Há também uma lacuna do conhecimen- to acerca das competências necessárias para atuar no enfrentamento das desigualdades e como es- sas são desenvolvidas em cursos de graduação em Enfermagem. Estudo de revisão crítica apontou a necessidade de desenvolver pesquisas acerca de pers- pectivas e experiências de docentes e discentes sobre como incorporar as desigualdades na educação em enfermagem.(13) g p g p Os questionários tinham 12 questões divididas em duas seções. A primeira seção, de caracteriza- ção geral dos participantes, continha sete questões de múltipla escolha e uma questão de campo aber- to (idade). A segunda seção, de aspectos acerca da abordagem das desigualdades na formação, conti- nha quatro questões no formato de escala Likert e uma de múltipla escolha. Para os docentes/coorde- nadores de curso encontramos completude do ques- tionário acima de 95,4% para as diversas perguntas. Para os discentes o grau de completude das variáveis foi acima de 96,7%. Diante de tal contexto, este estudo objetiva identificar as competências e estratégias de ensino para abordagem das desigualdades utilizadas na for- mação em enfermagem, indicando convergências e divergências nas perspectivas de docentes e discen- tes de enfermagem. Introdução As variáveis do estudo se relacionavam a carac- terização dos participantes (sexo, idade, raça, estado de localização, natureza da instituição, período do curso ou nível de formação, atuação ou promoção de atividades acadêmicas ou extracurriculares); te- máticas vinculadas às desigualdades (concordância em relação à abordagem de temas relacionados às desigualdades durante a graduação de enfermagem); preparo para atuar nas desigualdades (estratégias de ensino nas quais há abordagem das desigualdades; preparo para lidar com públicos vulnerabilizados; competências para atuar frente às desigualdades); estratégias para desenvolver competências (estraté- gias adequadas para os docentes/coordenadores en- sinarem e os alunos aprenderem e o período do cur- so mais oportuno para o desenvolvimento de com- petências para o enfrentamento das desigualdades). Métodos Pesquisa descritiva e exploratória, de natureza quan- titativa, desenvolvida com a aplicação de questioná- rios online, analisados por meio da estatística descri- tiva. Dados coletados por questionários online com representação de todas as regiões do Brasil, especifi- camente dos estados: AM, PA, BA, PI, MA, SP, RJ, MG, ES, MS, SC e RS. Os critérios de seleção dos participantes foram: ser discente, docente ou coordenador(a) de curso de graduação em Enfermagem de instituições públicas ou privadas. A amostra foi constituída por discen- tes (n=183) e coordenadores(as) de curso/docentes (n=86). Para atingir o público-alvo, foram utilizadas listas de contatos de coordenadores(as) de cursos de Enfermagem do Brasil, lideranças estudantis e gru- Os dados obtidos foram exportados para o soft- ware Statistical Package for the Social Sciences (SPSS) 3 Acta Paul Enferm. 2022; 35:eAPE039006034. Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem A maioria dos discentes respondentes é do sexo fe- minino (83,6%), se autodeclarou brancos (49,7%), com mediana de idade de 22 anos e provenientes de universidades públicas (65%). A principal região de origem dos discentes foi o Sudeste do país (84,2%). Em relação ao período que cursavam, 49,7% estava entre o 5º e 8º, 35,4% entre o 1º e 4º e 14,9% entre o 9º e 10º período. versão 22.0, submetidos a análise descritiva de to- das as variáveis investigadas e estratificados em dois grupos: docentes e discentes. Para comparação entre estes grupos foi utilizado o teste Qui-quadrado de Pearson ou teste exato de Fisher na análise das variá- veis categóricas, Teste-t na análise de variáveis numé- ricas que apresentaram distribuição normal ou teste de Mann-Whitney na análise das variáveis numéricas que não apresentavam distribuição normal conforme teste de Kolmogorov-Smirnov. Em todas as análises foi considerado um nível de significância de 5%. Em relação aos docentes/coordenadores(as) de curso, 84,9% eram do sexo feminino, 66,3% se au- todeclararam brancos, com mediana de idade de 42 anos, 51,2% provenientes de universidades públi- cas, 55,8% da região Sudeste do país. Sobre a titu- lação, 55,8% possuíam doutorado/pós-doutorado e 34,9% mestres. Para dimensionar o grau de abordagem das desi- gualdades e de concordância quanto ao preparo para lidar com os públicos vulnerabilizados, no processo de análise foram criados o escore de abordagens e o escore de públicos vulnerabilizados. Métodos O primeiro poderia va- riar de um a 55 pontos, intervalo que representava a abordagem de apenas uma temática (um ponto) até a pontuação máxima se todas as temáticas fossem abor- dadas. O segundo escore poderia variar de um a 45 pontos, com o menor valor equivalente à concordân- cia quanto ao preparo para lidar com pelo menos um grupo vulnerabilizado até o total (45 pontos), quando o respondente considerava estar preparado para lidar com todos os grupos vulnerabilizados. Os escores fo- ram divididos, proporcionalmente em relação ao total, com índices que sinalizavam percentual baixo (um a 18), médio (19 a 37) ou alto (38 a 55) de concordân- cia entre os respondentes quanto à abordagem das te- máticas na formação; ou percentual baixo (um a 15), médio (16 a 30) ou alto (31 a 45) de concordância entre os respondentes quanto ao preparo do curso para atuar frente aos grupos vulnerabilizados. Entre os discentes, o percentual dos que se de- clararam brancos foi significativamente menor em relação aos docentes (valores-p<0,05). Os participantes foram interrogados sobre o ní- vel de concordância com temas relacionados às desi- gualdades abordados durante a graduação de enfer- magem. Verifica-se que apenas o tema Iniquidade apresentou diferença significativa entre os dois gru- pos (valor-p<0,05), revelando que 61,4% dos dis- centes concordam/concordam totalmente, e entre os docentes esse percentual foi de 79%. Para os de- mais temas, a diferença não se mostrou significativa, conforme apresentado na tabela 1. Na tabela 1 a Advocacia em Saúde é o tema com menor percentual de concordância sobre a abor- dagem durante a formação, tanto para discentes quanto para docentes. Por sua vez, Desigualdade em Saúde e Vulnerabilidade são os temas de maior concordância para os dois grupos. Os resultados apontam alto índice de abordagem dos temas refe- rentes a desigualdades na formação do enfermeiro, com pontuação média do escore de abordagens de 40,0 pontos entre discentes e 41,8 pontos entre do- centes, sem diferença significativa entre os grupos, situando-se no maior nível de abordagem (38 a 55 pontos). Quando questionados sobre as estratégias para a abordagem das desigualdades na formação em Enfermagem, 81,4% dos docentes afirmaram que utilizam iniciação científica, extensão ou ações comunitárias. As outras estratégias mais descritas são palestras/eventos (73,3%), disciplinas obrigató- Os participantes foram informados previamente sobre os objetivos e finalidades do estudo e regis- traram, online, o Termo de Consentimento Livre e Esclarecido. Métodos A pesquisa respeitou a Resolução do Conselho Nacional de Saúde número 510 de 07 de abril de 2016 e foi aprovada por Comitê de Ética em Pesquisa da Universidade Federal de Minas Gerais. Resultados Concordância quanto a preparação para lidar com públicos vulnerabilizados  Público  Concorda / Concorda totalmente Discorda / Discorda totalmente p-value Discente (n=183) Docente (n=86) Discente (n=183) Docente (n=86) População em situação de rua n=171 n=81 n=171 n=81 0,052* 81(47,4) 49(60,5) 90 (52,6) 32 (39,5) Pessoas privadas de liberdade n=172 n=82 n=172 n=82 0,114* 52(30,2) 33(40,2) 120(69,8) 49 (59,8) Profissionais do sexo n=175 n=81 n=175 n=81 0,544* 101(57,7) 50(61,7) 74(42,3) 31(38,3) População LGBTQIA+† n=177 n=80 n=177 n=80 0,444* 113(63,8) 55(68,8) 64(36,2) 25(31,3) População vulnerável (baixa renda) n=180 n=85 n=180 n=85 0,551* 165(91,7) 76(89,4) 15(8,3) 9(10,6) Pessoas com deficiência n=175 n=82 n=175 n=82 0,002* 75(42,9) 52(63,4) 100(57,1) 30(36,6) Quilombolas n=175 n=80 n=175 n=80 0,460* 68(38,9) 35(43,8) 107(61,1) 45(56,3) Indígenas n=174 n=81 n=174 n=81 0,422* 66(37,9) 35(43,2) 108(62,1) 46(56,8) Dependentes químicos e usuários de drogas n=172 n=84 n=172 n=84 <0,001* 105(61,0) 72(85,7) 67(39,0) 12(14,3) Público Média ± desvio-padrão Mediana (Mínimo – Máximo) p-value Escore de públicos vulnerabilizados n=181 n=85 n=181 n=85 0,012‡ 27,5 ± 8,4 30,3 ± 8,0 28 (4 – 45) 31 (15 – 45) *Teste Qui-quadrado de Pearson; †LGBTQIA+ - lésbicas, gays, bisessexuais, transvestigênere, queer, intersexo, assexuais; ‡Teste T Tabela 2. Concordância quanto a preparação para lidar com públicos vulnerabilizados *Teste Qui-quadrado de Pearson; †Teste Mann-Whitney *Teste Qui-quadrado de Pearson; †LGBTQIA+ - lésbicas, gays, bisessexuais, transvestigênere, queer, intersexo, assexuais; ‡Teste T rias (65,1%) e atividades práticas/estágios (60,5%). As estratégias de disciplinas optativas, aulas exposi- tivas e simulações virtuais/presenciais são as menos mencionadas. Os discentes reconheceram, princi- palmente, a abordagem das desigualdades por meio de disciplinas obrigatórias (77,6%) e em palestras/ eventos (63,9%). Em relação à iniciação científica, extensão ou ações comunitárias, apenas 38,3% dos discentes identificam o seu uso. Apenas para as es- tratégias Aulas expositivas e Palestras/Eventos não há diferença significativa entre discentes e docentes (p>0,05). rias (65,1%) e atividades práticas/estágios (60,5%). As estratégias de disciplinas optativas, aulas exposi- tivas e simulações virtuais/presenciais são as menos mencionadas. Os discentes reconheceram, princi- palmente, a abordagem das desigualdades por meio de disciplinas obrigatórias (77,6%) e em palestras/ eventos (63,9%). Em relação à iniciação científica, extensão ou ações comunitárias, apenas 38,3% dos discentes identificam o seu uso. Apenas para as es- tratégias Aulas expositivas e Palestras/Eventos não há diferença significativa entre discentes e docentes (p>0,05). Os discentes discordam que a formação prepara para atuar junto às populações Indígenas (62,1%) e Quilombolas (61,1%). Resultados Alcançou um total de 269 questionários respondi- dos, sendo 68% de discentes e 32% de docentes. 4 Acta Paul Enferm. 2022; 35:eAPE039006034. Silva KL, Schreck RS, Gandra EC, Rabelo AR, Silva LL, Guimarães RA Tabela 1. Temáticas relacionadas à abordagem das desigualdades Temáticas Concorda / Concorda totalmente Discorda / Discorda totalmente p-value Discente (n=183) Docente (n=86) Discente (n=183) Docente (n=86) Desigualdade n=181 n=83 n=180 n=85 0,271* 146(80,7) 62(74,7) 35 (19,3) 21 (25,3) Desigualdade social n=180 n=85 n=180 n=85 0,374* 150(83,3) 67(78,8) 30 (16,7) 18 (21,2) Desigualdade em saúde n=181 n=85 n=181 n=85 0,253* 160(88,4) 79(92,9) 21 (11,6) 6 (7,1) Desigualdade de gênero n=181 n=83 n=181 n=83 0,064* 124(68,5) 66(79,5) 57 (31,5) 17 (20,5) Iniquidade n=153 n=81 n=153 n=81 0,006* 94(61,4) 64(79,0) 59 (38,6) 17 (21,0) Proteção social n=168 n=82 n=168 n=82 0,586* 111(66,1) 57(69,5) 57 (33,9) 25 (30,5) Vulnerabilidade n=181 n=84 n=181 n=84 0,707* 161(89,0) 76(90,5) 20 (11,0) 8 (9,5) Direitos humanos n=180 n=84 n=180 n=84 0,524* 151(83,9) 73(86,9) 29 (16,1) 11 (13,1) Direitos sociais n=178 n=80 n=178 n=80 0,987* 147(82,6) 66(82,5) 31 (17,4) 14 (17,5) Advocacia em saúde n=165 n=71 n=165 n=71 0,984* 56(33,9) 24(33,8) 109 (66,1) 47 (66,2) Grupos historicamente vulneráveis n=177 n=85 n=177 n=85 0,688* 127(71,8) 63(74,1) 50 (28,2) 22 (25,9)   Média ± desvio-padrão Mediana (Mínimo – Máximo) p-value Escore de abordagens n=183 n=85 n=183 n=85 0,068† 40,0 ± 8,7 41,8 ± 9,4 41(6 – 55) 43 (17 – 55) *Teste Qui-quadrado de Pearson; †Teste Mann-Whitney Tabela 1. Temáticas relacionadas à abordagem das desigualdades Dependentes químicos e usuários de drogas e Profissionais do sexo, conforme dados apresentados na tabela 2. Tabela 2. Resultados De modo similar, há alto percentual de discordância em relação à preparação para atuar frente às pessoas privadas de liberdade (69,8%). Entre os docentes, os menores percen- tuais de concordância também estão relacionados à atuação junto às pessoas privadas de liberdade. Ao analisar o escore de públicos vulnerabilizados, os re- sultados apontam médio índice (16 a 30 pontos) de preparação tanto de docentes quanto discentes, com valores maiores para as respostas dos docentes e diferença significativa comparada aos discentes. Há, portanto, indicativos de maior preparação para li- dar com estes públicos na perspectiva dos docentes. Essa diferença significativa também é encontrada em relação ao público de Dependentes químicos e usuários de drogas. Em relação às estratégias de Atenção a públicos vulnerabilizados e competências para enfrentamento das desigualdades desigualdades Em relação a preparação para lidar com públicos vulnerabilizados, discentes concordam que se sen- tem preparados para atuar, principalmente, com População de baixa renda, População LGBTQIA+, Acta Paul Enferm. 2022; 35:eAPE039006034. 5 Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem ensino na formação em Enfermagem para desenvol- vimento das diversas competências para atuar frente às desigualdades, a maioria dos discentes e docentes indica aulas e estágios como as principais estraté- gias, conforme dados da tabela 3. o meio do curso como momento mais oportuno, enquanto 38% dos docentes apontam o desenvolvi- mento ao longo do curso. Em todas as outras com- petências, os maiores percentuais das respostas de discentes e docentes se localizam na opção ao longo do curso, com alto grau de concordância. Tabela 3. Estratégias para desenvolver as competências Competências (p-value) Estratégia principal (%) p-value Discente Docente Advocacia em Saúde Aulas (61,7) Aulas (40,0) 0,001† Atenção à Saúde Aulas (57,8) Aulas (51,5) 0,471† Administração e Gerenciamento Aulas (60,4) Estágios (52,3) <0,001† Competência Cultural Aulas (42,0) Atividades extracurriculares (46,0) <0,001* Competência política Aulas (54,1) Atividades extracurriculares (55,6) <0,001† Comunicação Aulas (45,5) Aulas (34,9) 0,185* Educação Permanente e Aprendizagem ao longo da vida Aulas (40,9) Estágios (31,7) 0,003* Liderança e Tomada de decisões Aulas (36,0) Estágios (53,8) 0,020† Produção de mudanças Aulas (36,7) Estágios (30,2) 0,072* Reconhecimento das necessidades individuais e coletivas Aulas (41,8) Estágios (48,4) 0,110† Responsabilidade, ética e deontologia Aulas (74,5) Aulas (53,8) 0,053* *Teste Qui-quadrado de Pearson; †Teste exato de Fisher Tabela 3. Estratégias para desenvolver as competências Acta Paul Enferm. 2022; 35:eAPE039006034. Discussão Inicialmente, considera-se que, dadas as escolhas metodológicas, a forma de captação dos participan- tes pode caracterizar-se como um limite do estudo uma vez que aqueles que participaram da pesquisa de alguma forma se interessaram pela temática e as- sumiram papel ativo de preenchimento do formulá- rio. Deste modo, do ponto de vista da generalização dos achados, a percepção dos participantes pode não representar a opinião global de docentes e dis- centes da Enfermagem brasileira. Para minimizar tal limitação foi apresentado o perfil dos participantes, permitindo uma análise posicionada. O estudo aponta necessidades de melhorias na formação da Enfermagem e, portanto, possibilida- des de aperfeiçoamento da produção do cuidado, visando o avanço na agenda de redução das desi- gualdades e na construção de relações mais justas, democráticas e cidadãs. Esse tema é propício espe- cialmente no contexto brasileiro. Os testes de Fisher e Qui-quadrado de Pearson indicam diferenças acerca das estratégias apon- tadas pelos dois grupos para as competências Administração e Gerenciamento, Competência Cultural, Competência política, Educação Permanente e Aprendizagem ao longo da vida, e Liderança e tomada de decisões. Destaca-se que Competência cultural e Competência política são indicadas pelos docentes para serem desenvolvidas em atividades extracurriculares, predominantemen- te. Para os discentes, essas competências são desen- volvidas primariamente em aulas. Os achados refletem a compreensão das desigual- dades pelos participantes em uma perspectiva gené- rica, que inclui diferentes concepções e dimensões. A expressiva concordância entre discentes e docentes na abordagem das temáticas de Desigualdades em Saúde; Vulnerabilidade e Direitos humanos durante a graduação revelou uma possibilidade de formação de enfermeiros com capacidade de percepção do contexto social e atentos às questões multifatoriais que influenciam o processo saúde-doença-cuidado. Os estágios, para docentes, são estratégias para de- senvolvimento das competências de Reconhecimento das necessidades individuais e coletivas, Produção de mudanças, Educação Permanente e Aprendizagem ao longo da vida, Liderança e tomada de decisões, Administração e Gerenciamento. Para estas mesmas competências, os discentes identificam as aulas como a estratégia mais adequada. l Contudo, parece haver menor compreensão sobre o conceito de Advocacia em Saúde, sendo uma competência com poucos indicativos de sua abordagem e desenvolvimento na formação. Há li- mites do desenvolvimento da Advocacia em saúde na formação do enfermeiro, não sendo reconhecida como um campo trabalhado na formação profissio- Em relação ao momento mais oportuno para o desenvolvimento das competências listadas, 36% dos discentes apontam para Advocacia em Saúde 6 Acta Paul Enferm. Discussão 2022; 35:eAPE039006034. Silva KL, Schreck RS, Gandra EC, Rabelo AR, Silva LL, Guimarães RA nal, imprimindo apenas uma concepção rasa do seu conceito e sem aplicação efetiva na realidade.(14) abordagem nos momentos de prática supervisionada e em aulas teóricas ao longo do curso.(18) Apesar dos achados indicarem a compreensão das Desigualdades em diferentes concepções e di- mensões, os participantes do estudo apresentaram menor percentual de concordância sobre a aborda- gem dos conceitos de Iniquidade e Proteção Social. Especificamente o termo iniquidade apresentou di- ferença significativa entre docentes e discentes, sendo que docentes possuem maior concordância acerca da abordagem na formação. Na atualidade, esses concei- tos têm sido refletidos na defesa da saúde global, na construção e consolidação da enfermagem para que possa assegurar a saúde universal no contexto dos Objetivos de Desenvolvimento Sustentável.(15) As atividades educativas, didática ou de ensino, tais como palestras, demonstrações, seminário, práti- cas de campo, estudos dirigidos, simulações, jogos di- dáticos, projetos, visitas, pesquisas bibliográficas com situações de aprendizagem criadas pelos docentes podem aumentar a probabilidade dos alunos viven- ciarem experiências necessárias para os objetivos edu- cacionais.(19) Neste sentido, é preciso lançar mão de diferentes estratégias, instrumentos, técnicas e espa- ços de ensino para favorecer a reflexividade e promo- ver potencialidades para propor soluções apropriadas para os problemas enfrentados na prática cotidiana. (18) A desigualdade é um destes problemas. Analisando os escores obtidos, é preciso demarcar que há alto índice de abordagem de temáticas relacio- nadas à desigualdade, enquanto há médio índice de preparação para atenção aos diferentes públicos vul- nerabilizados. Há ainda diferença significativa entre docentes e discentes no escore de públicos vulnera- bilizados (e também no preparo para lidar com de- pendentes químicos e usuários de drogas), de modo que na perspectiva dos docentes há maior percepção da preparação para lidar com tais públicos. Portanto, encontram-se indicativos de uma formação que in- corpora conteúdos, mas não dedica os mesmos es- forços na preparação para atuação diante de públicos acometidos pelas desigualdades. Por sua vez, algumas competências não podem ser apreendidas por partes, com práticas pedagógicas que preconizam apenas atividades em sala de aula, com leituras e demonstrações. Discussão Essas competências exigem um aprendizado de forma integrada, guiada e instruída por professores, no ensino reflexivo, com práticas pedagógicas que enfatizam o movimento crítico de ação-reflexão-ação.(19) Estratégias de ensino combinadas, incluindo programas e disciplinas na graduação/ pós-gradua- ção, aprendizagem em Serviço e Simulação, cada qual com suas especificidades, podem potencializar o compromisso da formação em enfermagem para a superação das desigualdades.(20) Portanto, destaca-se que as diversas estratégias de ensino ao longo da graduação de Enfermagem são importantes num processo de formação crítico-refle- xivo, criativo e transformador e que algumas compe- tências exigem estratégias diferenciadas. Além disso, é preciso repensar o modelo de ensino das competên- cias para atuar sobre as desigualdades inovando em estratégias que desenvolvam essas competências na sua dimensão tanto técnica quanto política e social. Existem dimensões das desigualdades que atin- gem a sociedade e que ainda não estão incorpora- das de forma ampla na graduação de Enfermagem, como a preparação para lidar com dependentes quí- micos, pessoas privadas de liberdade, indígenas e quilombolas. A existência de populações indígenas e quilombolas é uma realidade do território nacio- nal,(16) mas muitas vezes desconhecida ou negligen- ciada na formação profissional. Discentes e docentes apontam que o desenvolvi- mento das competências para atuar sobre as desigual- dades deve ser realizado especialmente ao longo de todo o curso. Há experiências no desenvolvimento de competências de natureza similares àquelas para atuar frente às desigualdades e que ocorrem em diferentes momentos do curso.(17) Uma revisão de literatura so- bre competências para promoção da saúde informa a Colaborações 16. Franchi EP, Terra MF, Nascimento-Rocha JM, Marquezan RF, Odorizzi VF. The training of health care professionals in the care of the quilombolas communities: a report of experience. Rev Bras Med Fam Comunidade. 2018;13(40):1-11. Silva KL, Schreck RSC, Gandra EC, Rabelo ARM, Silva LLF e Guimarães RA colaboraram com a con- cepção do estudo, análise e interpretação dos dados, redação do artigo, revisão crítica relevante do conteúdo intelectual e aprovação da versão final a ser publicada. 17. Netto L, Silva KL. Reflective practice and the development of competencies for health promotion in nurses’ training. Rev Esc Enferm USP. 2018;52:e03383. 18. Plamondon KM, Caxaj CS, Graham ID, Bottorf JL. Connecting knowledge with action for health equity: a critical interpretive synthesis of promising practices. Inter J Equity Health. 2019;18(202)1-10. 19. Netto L, Silva KL, Rua MS, Sena RR. The process of teaching competencies for health promotion. Rev Enferm Cent-Oeste Min. 2018;8:e2611. Conclusão Os achados do estudo permitem concluir conver- gência nas perspectivas de docentes e discentes sobre a formação para atuar nas desigualdades sociais, com alto grau de concordância quanto à abordagem das 7 Acta Paul Enferm. 2022; 35:eAPE039006034. Perspectivas de docentes e discentes sobre desigualdades sociais na formação em enfermagem 2. Therborn G. Os campos de extermínio da desigualdade. Novos Estudos. 2010;87:145-56. temáticas, estratégias de ensino e momentos dessa for- mação. Destacam-se discordâncias ou incertezas, para discentes e docentes, sobre a abordagem da Advocacia em Saúde, competência central para um agir com- prometido com o enfrentamento das desigualdades. Há divergências quanto à abordagem da temática de Iniquidades em saúde na formação. Identifica-se in- dicativo de maior preparação dos docentes para lidar com públicos vulnerabilizados, em especial dependen- tes químicos e usuários de drogas. São convergentes as perspectivas quanto aos limites da formação para atuar junto às pessoas privadas de liberdade. Indica-se a necessidade de expandir o olhar sobre grupos sociais historicamente negligenciados no cuidado em saúde, especialmente população privada de liberdade, indíge- nas e quilombolas. Há também a necessidade de diver- sificar o reconhecimento de estratégias de ensino no desenvolvimento das diversas competências para atuar no enfrentamento das desigualdades sociais. 3. Tilly C. Historical perspectives on inequality. In: Romero M, Margolis E, editors. The Blackwell Companion to Social Inequalities. Malden: Blackwell; 2005. p.15-30. 4. Massey DS. Categorically unequal. The American Stratification System. Nova Iorque: Russell Sage Foundation; 2007. 5. Barreto ML. Health inequalities: a global perspective. Cien Saude Colet. 2017;22(7):2097-108. 6. Campello T, Gentili P, Rodrigues M, Hoewell GR. Faces da desigualdade no Brasil: um olhar sobre os que ficam para trás. Saúde Debate. 2018;42(Spe3):54-66. 7. Thurman W, Pfitzinger-Lippe M. Returning to the profession’s roots: social justice in nursing education for the 21st century. ANS Adv Nurs Sci. 2017;40(2):184-93. Review. 8. Fiorati RC, Arcêncio RA, Souza LB. As iniquidades sociais e o acesso à saúde: desafios para a sociedade, desafios para a enfermagem. Rev Lat Am Enfermagem. 2016;24:e2683. 9. Thornton M, Persaud S. Preparing today’s nurses: social determinants of health and nursing education. Online J Issues Nurs. 2018;23(3). 10. Rozendo CA, Santos Salas A, Cameron B. A critical review of social and health inequalities in the nursing curriculum. Nurse Educ Today. 2017;50:62-71. Review. 11. Carrapato P, Correia P, Garcia B. Determinante da saúde no Brasil: a procura da equidade na saúde. Saúde Soc. 2017; 26(3)676-89. Agradecimentos 12. Silva NC, Oliveira HM. Reflections on equity and its applicability to the nursing work process. Rev Bras Enferm. 2020;73(3):e20190783. 13. Silva K, Belga S, Rabelo A, Gandra E, Santos F, Neto IM, et al. Teaching strategies to approach social inequalities: an overview of nursing studies. J Human Envir Health Promotion. 2019;5(4):145-52. Agradecemos aos financiadores dessa pesquisa. O presente trabalho foi realizado com o apoio do Conselho Nacional de Desenvolvimento Científico e Tecnológico (CNPq) – Bolsa de Produtividade ní- vel 2 para Kênia Lara da Silva. 14. Gandra EC, Silva KL. Advocacia para a promoção da saúde: sentidos e abordagens na formação do enfermeiro. Rev Min Enferm. 2019;23:e- 1247. 15. Rocha PR, David HM. Determination or determinants? A debate based on the theory on the social production of health. Rev Esc Enferm USP. 2015;49(1):129-35. 1. Therborn G. Meaning, mechanisms, patterns, and forces: an introduction. In: Therborn G, editor. Inequalities of the World. Londres: Verso; 2006. p.1-58. Referências 20. Calilung MK, Lapiz-Bluhm MD. Integrating Nursing Education in Students’ Extracurricular Activities: Students’ Motivations and Benefits. J Comp Nurs Res Care. 2019;4(133)1-7. 1. Therborn G. Meaning, mechanisms, patterns, and forces: an introduction. In: Therborn G, editor. Inequalities of the World. Londres: Verso; 2006. p.1-58. 1. Therborn G. Meaning, mechanisms, patterns, and forces: an introduction. In: Therborn G, editor. Inequalities of the World. Londres: Verso; 2006. p.1-58. 8 8 Acta Paul Enferm. 2022; 35:eAPE039006034.
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Author Correction: Revealing the air pollution burden associated with internal Migration in Peru
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www.nature.com/scientificreports www.nature.com/scientificreports Author Correction: Revealing the air pollution burden associated with internal Migration in Peru Gabriel Carrasco‑Escobar  , Lara Schwarz, J. Jaime Miranda   & Tarik Benmarhnia OPEN Correction to: Scientific Reports https​://doi.org/10.1038/s4159​8-020-64043​-y, published online 28 April 20 The original version of this Article contained errors due to a typo in the analytical code, which produced incor- rect estimates and confidence intervals. In the Abstract, “Changes in outdoor ­PM2.5 exposure due to migration drove 137.1 (95% CI: 93.2, 179.4) premature deaths related to air pollution, with rural-urban producing the highest risk of mortality from exposure to higher levels of ambient air pollution.” now reads: “Changes in outdoor ­PM2.5 exposure due to migration drove 185 (95% CI: 2.7, 360) premature deaths related to air pollution, with rural-urban producing the highest risk of mortality from exposure to higher levels of ambi- ent air pollution.” In the Methods section, under subheading ‘Quantifying attributable mortality’, We first estimated changes in outdoor air pollution exposure due to migration by calculating the difference for ach district to district migration (“current” and “origin”) in the year 2016.” “We first estimated changes in outdoor air pollution exposure due to migration by calculating the difference for each district to district migration (“current” and “origin”) in the year 2016 after truncating the PM2.5 estimates for the "current" and "origin" districts at the 5th/95th percentile.” “We then calculated an attributable fraction (AF) using the risk ratio of exposure-response relationship extracted from meta-analysis of ­PM2.5 impacts, using the following equation [RR-1/RR]53. This AF was assumed to be the same for all districts in Peru and was multiplied by the ­PM2.5 concentration difference between the “current” and “origin” district and the all-cause mortality rate for each department in which the “current” district was nested to calculate the mortality rate attributable to change in ­PM2.5 exposure.” now reads: “This difference in ambient air pollution exposure was then used to calculate attributable fraction which was multiplied by the mortality rate for the department of Lima which was considered homogenous and therefore assigned to the district of Chorrillos.” In the Results section, under subheading ‘Change in ­PM2.5 exposure and burden by migration status’, “Overall, we found that migration drove an additional 137 (95% CI: 93, 179) deaths related to outdoor air pollu- tion exposure across Peru from 2012 to 2016. When considering only those that migrate from a rural-to-urban setting, there is an increase in 118 (95% CI: 80, 154) deaths related to outdoor air pollution. The largest migrant group, urban-to-urban, resulted in an increase in 62 (95% CI: 42, 81) ambient air pollution-related deaths, while the smallest migrant group, rural to rural, results in 0.5 (95% CI: 0.4, 0.7) additional deaths. There is a decrease in number of deaths for migrants going from an urban to rural setting, with 43 (95% CI: 29, 57) fewer deaths; this is one of the smaller groups, along with rural-rural migration. Mortality rates show similar results, with rural–urban revealing the greatest change in mortality rate and rural-rural migrants showing no change (Fig. 6). When considering the attributable deaths by migrants’ “current” department in 2016, it is apparent that migration to Lima is the main driver of outdoor air pollution related mortality from migration, where 313 deaths (95% CI: 213, 410) occur, while the majority of the other departments show decreases in outdoor air pollution-related mortality for migrants (Supplementary Table 2).” www.nature.com/scientificreports/ “This difference in ambient air pollution exposure was then multiplied by the mortality rate for the department of Lima which was considered homogenous and therefore assigned to the district of Chorrillos, and by the AF.” d now reads: “We calculated a relative risk of the exposure by multiplying the change in ­PM2.5 between "current" and "origin" district by the ln(ERF) and exponentiating this product. An attributable fraction (AF) was then estimated apply- ing the following equation to the relative risk of the exposure [RR-1/RR]. This AF was then multiplied by the all-cause mortality rate for each department in which the “current” district was nested to calculate the mortality rate attributable to change in ­PM2.5 exposure.” and, | https://doi.org/10.1038/s41598-020-77239-z Scientific Reports | (2020) 10:20820 www.nature.com/scientificreports/ now reads: “Overall, we found that migration drove an additional 185 (95% CI: 2.7, 360) deaths related to outdoor air pollu- tion exposure across Peru from 2012 to 2016. When considering only those that migrate from a rural-to-urban setting, there is an increase in 87 (95% CI: 59, 114) deaths related to outdoor air pollution. The largest migrant group, urban-to-urban, resulted in an increase in 120 (95% CI: −24, 259) ambient air pollution-related deaths, the smallest migrant group, rural to rural, results in 0.56 (0.01, 1.1) additional deaths. There is a decrease in number of deaths for migrants going from an urban to rural setting, with −23 (95% CI: −32, −14) fewer deaths; this is one of the smaller groups, along with rural-rural migration. Mortality rates show similar results, with rural-urban revealing the greatest change in mortality rate and rural-rural migrants showing little change (Fig. 6). When considering the attributable deaths by migrants’ “current” department in 2016, it is apparent that migration to Lima is the main driver of outdoor air pollution related mortality from migration, where 229 deaths (95% CI: 143, 311) occur, while the majority of the other departments show decreases in outdoor air pollution-related mortality for migrants (Supplementary Table 2).” In the Discussion section, “This study highlights that rural-to-urban as well as urban-urban migrants experience a transition to environ- ments with more deleterious ambient air pollution levels with a higher mortality burden, which adds to other previously reported socio-economic disadvantages. Additionally, although urban-to-urban migrants experience what may seem like a small change in exposure to particulate matter, this is associated with a considerable mor- tality burden, taking into account the important number of migrants that undertake this route.” 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/. now reads: now reads: “This study highlights that rural-to-urban migrants experience a transition to environments with more del- eterious ambient air pollution levels with a higher mortality burden, which adds to other previously reported socio-economic disadvantages.” Additionally, this error generated incorrect graph data for Figure 6. Finally, the amended health impact assessment resulted in revised estimates in the Supplementary Information file. These errors have now been corrected in the PDF and HTML versions of this article, and the Supplementary Information has been updated. https://doi.org/10.1038/s41598-020-77239-z Scientific Reports | (2020) 10:20820 | nature.com/scientificreports/ 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/. Th h ( ) www.nature.com/scientificreports/ www.nature.com/scientificreports/ 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) 2020 https://doi.org/10.1038/s41598-020-77239-z Scientific Reports | (2020) 10:20820 |
https://openalex.org/W3080749873
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English
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Prevalence and factors associated with substance use among street children in Jimma town, Oromiya national regional state, Ethiopia: a community based cross-sectional study
Substance abuse treatment, prevention, and policy
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Prevalence and Factors Associated With Substance Use Among Street Children in Jimma Town, Oromiya National Regional State, Ethiopia: A Community Based Cross-Sectional Study Mengistu Ayenew  (  mengistuayenew@gmail.com ) Mizan-Tepi University https://orcid.org/0000-0002-2932-8339 Teshome Kabeta  Jimma University Kifle Woldemichael  Jimma University Abstract Background: Street children constitute a marginalized population in most urban centers of the world. According to UN sources, there are up to 150 million street children in the world today. The estimated number of children who live on the streets in Ethiopia was 150,000, of which about 60,000 of them in Addis Ababa. However, aid agencies estimate that the problem may be far more serious, with nearly 600,000 street children country-wide and over 100,000 in Addis Ababa. World Health Organization estimates that globally, 25- 90% of street children indulge in substance use. Even if substance use has become a common problem in Ethiopia, most of the studies done mainly focused among schools, college and university students. Research on street children and their substance use habits in Ethiopia was limited and specifically non in Jimma town. Objectives: To assess the prevalence and factors associated with substance use among street children in Jimma town of Ethiopia in 2019. Methods: Cross sectional study was undertaken from March 1-31, 2019. Complete enumeration of study subjects was done and all 312 children of the streets were included. Interviewer administered structured questionnaires was used to collect the data. Bi variable logistic regression was carried out to select candidate for multiple logistic regression analysis with p-value <0.25 at 95% confidence. Multiple logistic regression was carried out with those candidate variables using backward method and the associations predictors to the response variable was declared with p value of <0.05 at 95% confidence level. Result: Three hundred twelve street children were included in the study. The prevalence of substance use was 30.8% with 95% CI [25-36.2]. Age>14 [AOR: 1.97 95%CI:1.00-3.889], attending grade 1-4th [AOR: 0.33 95%CI:0.151-0.737], attending 5th grade and above [AOR: 0.27 CI:0.093-0.756], child whose mother used substances [AOR: 7.78 95%CI:3.00-20.11], child did not know his maternal substance use status [AOR:5.1 95%CI: 2.19-11.81], child whose sibling use substance [AOR: 2.23 95%CI:1.254-5.63], best friend substance use [AOR: 11.01 95%CI:5.47-25.04] and staying 12-60 months on the street [AOR:3.00 95%CI:1.511-5.96] and staying >5 years on the street [AOR:4.6 95%CI:1.06-19.7] were significantly associated with substance use. Conclusion and recommendation: The prevalence of substance use among street children in Jimma town was high. Mothers and siblings have crucial roles in determining substance use behavior of the children. Research Version of Record: A version of this preprint was published on August 20th, 2020. See the published version at https://doi.org/10.1186/s13011-020-00304-3. Page 1/18 Page 1/18 Abstract Stakeholders who are working on the improvement in the life of children of the street should try to satisfy the need of the children by intervening at individual level, at family or community level and at levels beyond community to lessen the problem to some extent. Researchers should do similar researches in more detail on these vulnerable but neglected groups of children to fully understand about the problem so the findings will be used as inputs for concerned bodies. Background The history of substance utilization is as old as mankind. People have always had a desire to eat or drink substances because of their cultural practices, for relaxing, stimulating or euphoric (1). Page 2/18 The phrase ‘street children’ has been used to refer to a population of youngsters either alone or in groups, perform informal activities such as doing odd jobs, begging, wandering, and other activities necessary for themselves or their family’s survival (2). Street child is defined as any girl or boy, for whom the street has become his or her habitual abode and/or source of livelihood; and who is inadequately protected, supervised, or directed by responsible adults (3). The nature of continuous exposure to the street and its associated lifestyles makes street children vulnerable to the use of psychoactive substances. Street children’s drug use often commences with alcohol, tobacco and inhalants which are legal and easily accessible in most countries. World Health Organization (WHO) estimates that globally, 25-90% of street children indulge in substance use (4). A study which was conducted in Accra, Ghana revealed that substance use was relatively high as 12% and 16.2% reported daily use of alcohol and marijuana respectively. There were age and sex differences in substance use among the sample. While alcohol use decrease with age, marijuana use on the other hand increases with age (5) Street children have a greater burden than other poor children who are supervised by adults. The inherent dangers of being in the street situation, economic deprivation, lack of adult protection and inadequate socialization and, lack of protection make them extremely vulnerable. Many street children are involved in harmful use of psychoactive substances which can lead to increase the chance of accidents, violence, unprotected sex that leads to unwanted pregnancy (6). According to the sources of United Nation (UN), there are up to 150 million street children in the world today. Chased from home by violence, drug and alcohol abuse, the death of a parent, family breakdown, war, natural disaster or simply socioeconomic collapse, many destitute children are forced to eke out a living on the streets, scavenging, begging, hawking in the slums and polluted cities of the developing world (7). According to the Ethiopian Ministry of Labor and Social Affairs, 150,000 children live on the streets in Ethiopia from which about 60,000 of them in the capital Addis Ababa. Background However, aid agencies estimate that the problem may be far more serious, with nearly 600,000 street children country-wide and over 100,000 in Addis Ababa (8). Related studies done in some Latin American countries identified the factors associated with substance use as  parental drug use, lack of integration in school activities, challenges of children in education and changes to the traditional family structure, domestic violence and peer pressure (9, 10). Related studies done in some Latin American countries identified the factors associated with substance use as  parental drug use, lack of integration in school activities, challenges of children in education and changes to the traditional family structure, domestic violence and peer pressure (9, 10). A study conducted in Brazil on drug use among street children and adolescents revealed that age, sex, duration on the street, and presence of family members had significant association with current substance use of street adolescent children (11). Page 3/18 Substance use among street children has been found to be influenced by factors such as gender, age, duration of homelessness and social networks (e.g. peer influence). Research has indicated that more males than females use alcohol, marijuana, cocaine and inhalants (12-14). A meta-analysis done on the epidemiology of substance use among street children in resource- constrained settings showed that where the children stay at night, having family contact, duration on the street, old age, male sex had an association with substance use (15) A meta-analysis done on the epidemiology of substance use among street children in resource- constrained settings showed that where the children stay at night, having family contact, duration on the street, old age, male sex had an association with substance use (15) Other studies conducted in Mekele, and Guwahati City, Assam showed that age, sex, type of work, family substance use, educational status and duration on the street were factors for substance use among adolescent street children (16, 17) Even if substance use has become a common problem in Ethiopia, most of the previously done studies were mainly on school, college and university students and research on street children and their substance use habits in Ethiopia, specifically in Jimma has been limited or none. So, this study aimed to assess the prevalence and factors associated with substance use among street children in Jimma town of Southwestern Ethiopia for better understanding of the problem in the country. Study setting and design A community based cross-sectional study was conducted in Jimma town, Oromiya National Regional State, Southwest Ethiopia from March 1-31, 2019. Jimma town is 352 km far from Addis Ababa, the capital city of Ethiopia. According to the 2015 National Urban System Study, the population of the city was 199,575 but the information regarding the number of street children in the town was not known. Sample size and sampling procedure Complete enumeration of street children with age of 12-18 years old was done and a total of 365 street children were found in the town. Among these 37 children were stayed on the street for less than 1 month, 4 children had communication problem and 12 children were not available during the interview. After exclusion of all these children, finally 312 street children were included to the study. A preliminary survey was conducted all over the urban kebeles of Jimma town with the help of community social workers and volunteers who were employees of Feyaa Integrated Development Organization. Feyaa Integrated Development Organization is one of Non-governmental organization found in Jimma town that works on supporting street children and orphans. Registration of all available street children in all corners of the town was made by recording of name, nick name, age, sex, friends’ name, usual area of residence, duration of stay on the street, anatomical deformity status and status of communication difficulties. For actual data collection, children were traced back based on the information collected from preliminary survey and transported to health center for interview. Data collection procedure and instrument Data collection procedure and instrument Page 4/18 Page 4/18 Data were collected using interviewer administered structured questionnaires by reviewing different published literatures and guidelines. The data were collected by five health officers, and the principal investigator supervised the whole data collection process. All data collectors took a one-day intensive training before data collection about objectives of the study, the issues of verbal assent and the rights of the respondents. In addition to data collectors, facilitators were also recruited and they were responsible for tracing the children based on the information collected by the preliminary survey and took them to health center where the data collection activities confidentially took place. Data quality assurance Data collectors were trained on how to collect and handle data. The questionnaire prepared in English was translated into Amharic and was translated back to English to assess consistency and the Amharic version was used while carrying out the interview. Questionnaires were pretested on 5% of the street children in Agaro town prior to actual data collection. Some modifications and updating of tools were done based on the result of the pretest. Reviewing the filled questionnaires at the end of data collection every day for completeness, consistency and taking corrective measures were contentiously managed during the data collection periods. Study variables The dependent variable was substance use whereas the independent variables were socio demographic factors (age, sex, religion, ethnicity, educational status, place of birth, daily income and type of work), personal factors (duration on the street, and sleeping place), environmental factors (availability of substances, accessibility of substances and affordability of substances) and family factors (parental status, maternal substance use, maternal job, maternal education, paternal substance use, paternal education, paternal job and sibling substance use). Data analysis procedures Data were entered with Epi data version 3.1 and exported to SPSS version 23 for analysis. Data explorations were done to examine different characteristics of the data. After cleaning data, descriptive statistics like frequencies were computed for the categorical variables while, measures of central tendency and dispersion were summarized for continuous data. Bivariable logistic regression was carried out to select candidate for multivariable logistic regression analysis with p-value <0.25 at 95% Data were entered with Epi data version 3.1 and exported to SPSS version 23 for analysis. Data explorations were done to examine different characteristics of the data. After cleaning data, descriptive statistics like frequencies were computed for the categorical variables while, measures of central tendency and dispersion were summarized for continuous data. Bivariable logistic regression was carried out to select candidate for multivariable logistic regression analysis with p-value <0.25 at 95% confidence. Then, candidate variables were entered to multiple logistic regressions model using backward elimination method. The degree of association was assessed using odds ratio and statistical significance were declared at 95% of confidence level and p-value of less than 0.05. Hosmer & Lemeshow’s test as well as its significance status was checked to assess the fitness of the model. Operational definitions Substance- substances are any non-medical chemicals (including Khat, cigarette, alcohol, shisha… etc.) that affects activity of brain that distorts and make it work artificially and induce temporary happiness. Page 5/18 Page 5/18 Street children: in our study, children who work and/or sleep on the street and within aged of 12-18 years who stayed on the street for at least one month. Substance use - using one or more substances (Khat, cigarette, alcohol, shisha…) to alter mood or behavior at least once in the last 30 days. Availability of substances – if a substance is available within 1 km radius of respondent’s residence area. Affordability – if a substance can be bought with only 5 ETB or less. Affordability – if a substance can be bought with only 5 ETB or less. Table 1 Socio demographic characteristics of street children in Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 cio demographic characteristics of street children in Jimma town ocio demographic characteristics of street children in Jimma town Three hundred twelve street children were included in the study, of which, 90.1%were males. Respondents with age of 12-14 years constitute 61.2% and the median age of the respondents was 14 years with interquartile range (IQR) of 2 years. Seventy-two (72.1%) of the children were born in rural area and most were Muslim (68.3%) and were from Oromo (67%) ethnic group. One hundred forty-six (46.8%) of the respondents completed grade 1-4. The median stay of street children on the street was 12 months with interquartile range (IQR) of 17 months. The median daily income of respondents was 35 ETB with interquartile range (IQR) of 20 Ethiopian Birr (ETB) (Table 1). Table 1 Socio demographic characteristics of street children in Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Table 1 Socio demographic characteristics of street children in Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Page 6/18 Variables Categories Frequency (n=312) Percentage (%) Sex Male 281 90.1 Female 31 9.9 Age 12-14 years 191 61.2 15-18 years 121 38.8 Birthplace Rural 225 72.1 Urban 87 27.9 Religion Muslim 213 68.3 Orthodox 60 19.2 Protestant 39 12.5 Ethnicity Oromo 209 67 Dawuro 31 9.9 Amhara 39 12.5 Keffa 33 10.6 Educational status Never attend school 88 28.2 Read and wright 23 7.4 Grade 1-4 146 46.8 Grade 5-8 55 17.6 Duration on the street (month) 1-12 182 58.3 13-60 116 37.2 >60 14 4.5 Daily income(birr) ≤ 35 171 54.8 >35 141 45.2 Family history of street children Family history of street children Family history of street children Above forty one percent (41.7%) of the respondents have lost either of their natural parent and 52.9% and 40% of respondents’ mothers and fathers can’t read and write respectively. Of the total children participated in this study, 44.5% of the children’s father work was farming. About 48.7% and 12.2% of respondents’ fathers and mothers were used substances respectively. Khat was predominantly used substance by respondents’ family. In addition to this 17.4% and 46.5% of respondents’ siblings and best friends use substances. Among users, 83.3% and 71.5% of siblings and friends use khat respectively. Substance use and reasons of engagement Substance use and reasons of engagement Page 7/18 Page 7/18 Page 7/18 According to this study 30.8% of the respondents use substances currently (Table 2). According to this study 30.8% of the respondents use substances currently (Table 2). Table 2. Distribution of substance use among street children, Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Variable Category Frequency Percentage Substance us Yes 96 30.8 No 216 69.2 Table 2. Distribution of substance use among street children, Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Variable Category Frequency Percentage Substance us Yes 96 30.8 No 216 69.2 The study showed that 122 (39.1%) of the respondents used at least one substance in their lifetime. Among those, 77 (62.6%) used khat, 14 (11.5%) used alcohol, 57 (46.7%) used cigarette and 56 (45.9%) used mastics. Among current users, 63.5% of the respondents currently use khat, followed by cigarette, mastics, alcohol and benzene respectively (Table 3). Table 3 Distributions of substances used by street children in Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Substances Ever used Current use Frequency Percentage (%) Frequency Percentage (%) Khat 77 62.6 61 63.5 Cigarette 57 46.7 42 43.8 Mastics 56 45.9 40 41.7 Alcohol 14 11.5 12 12.5 Benzene 8 6.6 4 4.2 Table 3 Distributions of substances used by street children in Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Peer pressure (86.5%) and curiosity (38.5%) were reported as the leading reasons for substance use (Figure 1) Peer pressure (86.5%) and curiosity (38.5%) were reported as the leading reasons for substance use (Figure 1) Bi-variable logistic regression of factors associated with substance use Bi-variable logistic regression of factors associated with substance use Among all variables, age, sex, duration on the street, income, educational status, sleeping place (hotel veranda and old and abandoned buildings), child job (delivering message, carrying small items and begging) paternal substance use, maternal substance use, sibling substance use, best friend substance use had p value <0.25 (Table 4). Page 8/18 Page 8/18 Discussion The study assessed the prevalence and factors associated with substance use among street children aged 12-18 years old in Jimma town, Oromiya, southwest Ethiopia. The overall prevalence of substance use in the last 1 month was 30.8%. This result was found to be higher than the prevalence among street children in Nepal  (18)  and Teheran, Iran (19). The higher prevalence in the current study might be due to easily availability of substances in the area and lack of legal enforcement to prohibit the children from not consuming these substances. The result however was lower than that reported in Mekele (16), Assam district, India (17) and Western Nigeria (20). The difference might be explained by a smaller sample size taken in the Mekele and the difference in cultural and socio-economic conditions for the other two studies. This study revealed that, ever use of either of the substance was 39.1% and more specifically, 46.7% and 11.5% of the respondents had ever smoke cigarette and drank alcohol respectively. The result from the current study is different from that of a study conducted in Tehran, Iran (19) probably due to differences in settings, cultural norms, relevant policies and availability of the substances. Furthermore, within 30 days before conducted the study, the prevalence of khat chewing, cigarette smoking and drinking alcohol was 63.5%, 43.8% and 12.5% respectively. Alcohol utilization was comparable with reports in Nepal (18) but the result is higher than  reports from western Nigeria in that the prevalence of drinking alcohol and cigarette smoking  43.6% and 41.4% respectively (20). This result is also lower than the study done in Brazil (21) and  Nepal (18). The possible explanation for this inconsistency might be attributed to different socio-economic status and difference in geographical locations of all the aforementioned studies. This study showed that the odds of substance use was two times higher among respondents older than 14 years compared to respondents age 12-14 years. The result was consistent with studies done in Mekele (16) and Brazil (22) and similarities assessed by these three studies could be because of  the likelihoods of the older children to exercise trialing with substances (23). It is unquestionable that attending school makes a difference on abusing of substances by the street children and this fact was reassured by the findings of this study. COR- Crude odds ratio   AOR- Adjusted odds ratio    CI-Confidence Interval    *AOR doesn’t include null value COR- Crude odds ratio   AOR- Adjusted odds ratio    CI-Confidence Interval    *AOR doesn’t include null value COR- Crude odds ratio   AOR- Adjusted odds ratio    CI-Confidence Interval    *AOR doesn’t include null value Factors associated with substance use Factors associated with substance use Factors associated with substance use Age, educational status, maternal substance use, sibling substance use, best friend substance use and duration on the street were found to be significantly associated with substance use (P-value <0.05) (Table 5). Table 5 Logistic regression of factors associated with substance use among street children, Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Table 5 Logistic regression of factors associated with substance use among street childre Jimma town, Oromiya National Regional State, Southwest Ethiopia, March 2019 Variables Category Substance use COR AOR 95% CI AOR   yes no   age >14 49 142 1.84 1.97 1.001- 3.889*   12-14 47 74 1 1     Educational status Never attend school 34 54 1 1     Read and write 8 15 0.84 0.86 0.242-3.08   Grade 1-4 38 108 0.56 0.33 0.151- 0.737*   Grade 5-8 and above 16 39 0.65 0.27 0.093- 0.756*   Maternal substance use Yes 24 14 7.2 7.78 3.00- 20.11*   No 35 147 1 1     Don’t know 37 55 2.83 5.1 2.19- 11.81*         Sibling substance use yes 28 26 3.06 2.23 1.254- 5.63*   no 45 128 1 1     Don’t know 23 61 1.07 0.42 0.19-1.302   Best friend substance use Yes 76 69 8.1 11.07 5.47-25.04* no 20 147 1 1   Duration on the street (in month) <12 40 142 1 1   12-60 49 67 2.59 3.00 1.511-5.96* >60 7 7 3.55 4.592 1.06-19.7* of factors associated with substance use among street children, onal Regional State, Southwest Ethiopia, March 2019 able 5 Logistic regression of factors associated with substance u imma town, Oromiya National Regional State, Southwest Ethiopia Page 9/18 COR- Crude odds ratio   AOR- Adjusted odds ratio    CI-Confidence Interval    *AOR doesn’t include null value Discussion Evidently speaking, those who attended grade 1-4 were by 67% less to use substances compared with respondents who never attended school. Similarly, respondents who were grade 5-8 were by 73% less to use substances compared to respondents who never attended school. The result was comparable with finding in Brazil (22). The difference might be due to the fact that schools are one of the media for getting information about ill effects of substance use. Another evidence uncovered by this study was that those whose sibling used substance were 2 times more likely to use substances compared to those whose sibling don’t use. The result is consistent with a Page 10/18 Page 10/18 result in Mekele city (16) and western Kenya (24). The possible explanation might be siblings are thought to provide substantial reinforcement for anti-social activities like substance use. result in Mekele city (16) and western Kenya (24). The possible explanation might be siblings are thought to provide substantial reinforcement for anti-social activities like substance use. Similarly, those whose best friend use substance were 11 times more likely to use substances compared to those whose best friend don’t use. This result was concordant with study done in Brazil (22) and western Kenya (24). The probable reason might be older children use substances to avoid being stigmatized by their friends or to impress them or it might be due to similarity of the current methods applied with that of the studies conducted in the two countries. Duration of stay on the street was among the factors identified as associated with substance use. Hence, those who stayed 1-5 year on the street were 3 times more likely to use substance compared to those who stayed less than 1 year on the street. The result is consistent with the findings reported in Brazil (22), Guwahati City, Assam (17) and western Kenya (24). In addition, those who stayed greater than 5 year on the street were 5 times more likely to use substance compared to the counterparts who stayed less than 1 year on the street. These could be because of the inclination of the street children to use substances as a coping mechanism to survive on the street as they stay longer period than those who are staying shorter time. Street children whose mothers use substance were 8 times more likely to use substances compared to those whose mothers were not using. Limitation of the study This study would have been quite complete, had it employed both quantitative and qualitative methods together but used only quantitative method and hence some important scenario about the problem were not explored deeply. On the other hand, because of ethical issue, the age group over which the study was done was limited to street children in the range of 12-18 years while there were many street children in the two who were younger than 12 years. Other limitation of the study was related to duration of time for which the subjects were asked about substance use status since the prevalence time period is short, there might be false positive; those street children don’t use substance regularly might be counted as user. On contrary, social desirability bias may underestimate the current prevalence of substance use. Discussion Whereas, those who didn’t know about their mothers’ substance use status were 5 times more likely to use substances compared to those whose mothers do not use. This result is comparable with a study done in Mekele city (16), Kenya (24) and Guwahati City, Assam (17). The possible reason might be street children are deeply influenced by people who raised up them. Conclusions The prevalence of substance use among street children of Jimma town is high as compared to the figures in African and other countries. Age, educational status, maternal substance use, sibling substance use, using of substance by intimate friend and length of time on the street were found to be significantly associated with current substance use of the street children. Family has a crucial role in determining substance use behavior of the children. Governmental, non-governmental or charity organizations should Page 11/18 work together to reduce the number of street children by responding to their needs and problems at least at three levels. The first level of intervention must be done at individual level and it requires targeting street children either as individuals or groups who are currently using substances, at risk of using them in the near future or at risk of sexual and reproductive health problems by building their basic skills, counselling and improving access to health. The second level of intervention is at community and family level and at this level, supporting community actions, providing services and ensuring the availability of resources for these children. The third general intervention can be termed as actions beyond the community and work places of street children. Educating and influencing these vulnerable groups through different mechanisms like advocacy of having safe and supportive environment at regional and national levels are also recommended. Abbreviations Page 12 AIDS-Acquired immune deficiency syndrome AOR-Adjusted Odds Ratio CI- Confidence Interval COR-Crude Odds Ratio EDHS- Ethiopian Demographic and Health Survey ETB-Ethiopian Birr FSC-Forum on Street Children IQR- Inter Quartile Range JU-Jimma University NGO- Non-governmental Organizations SPSS- Statistical Package for Social Sciences STDs -Sexually Transmitted Diseases UN- United Nation UNICEF-United Nations Children’s Fund WHO-World Health Organization Declarations AIDS-Acquired immune deficiency syndrome AOR-Adjusted Odds Ratio Ethical approval The study protocol was approved by the Research Ethics and Approval Committee of Jimma University, Institute of Health (Supplementary 1). Permission to conduct the study was obtained from Jimma Town Youth and Women Affairs, Jimma Zone Police Department and Jimma Town Administration. Since most of the street children have no guardian living with them, obtaining parental consent was unsuccessful. Rather, permission from office of women, child and youth was secured to conduct the study. In addition, we conducted the study with close supervision of Jimma town administration and Jimma zone police department and written informed assent was obtained from the study participants as Ethiopian national ethical guideline permits to take written informed assent from high risk minors of street children (supplementary 2). The right of the respondents to withdraw or not to participate was respected. Additionally, names of participants were not used in the study and information obtained from subjects were held confidentially. The purpose of the study was explained to the street children and they were invited to participate voluntarily and the interviews were conducted confidentially. For those children with history of substance use, on site counseling on the harmfulness to health and economic effects of substance use was given. Funding The study was funded by Jimma University. The university had no role in the design of the study, in the collection, analysis, and interpretation of the data; or in writing the manuscript. Authors’ Contribution MA wrote the protocol, participated in data collection, analyzed the data and wrote the manuscript. TK revised and approved the protocol, supervising the analysis and writing of the thesis and the manuscript, and participated in data analysis. KW revised and approved the protocol, reviewing and editing the manuscript. All authors read and approved the final manuscript. Availability of data and materials The datasets generated and analyzed during the study and we will make the data sets available to organizations and individuals based on reasonable request. Declarations Page 12/18 Page 12/18 Acknowledgments We would like to thank Jimma University for granting ethical approval and granting fund. We extend our gratitude to study participants, data collectors, Jimma town youth and women affairs, Jimma zone police department and Jimma town administration. Consent for publication Not applicable Page 13/18 Page 13/18 Author details 1 Department of Public Health, College of Medicine and Health Science, Mizan Tepi University, Mizan Aman, Ethiopia 1 Department of Public Health, College of Medicine and Health Science, Mizan Tepi University, Mizan Aman, Ethiopia 2 Department of Epidemiology, Faculty of Public Health, Jimma University, Jimma, Ethiopia Competing interests The authors declare that they have no competing interests. References 1. A. M. Cause, Effect And Remedial Measures Of Drug Abuse Among The Children In Tanzania: A Case Study Of Hananasifu Ward In Kinondoni District In Dar Es Salaam. 2015. 2. Moura YG SZ NA. Diversity of contexts in drug use among street adolescents. Qual Health Res. 2010;20(12):41-53. 3. Children I-NPoS, Youth S. Inter-NGO Programme on Street Children and Street Youth, Sub-regional Seminar for the Mediterranean, Marseilles, 24th-27th October 1983: Summary of Proceedings: The Programme; 1984. 4. WHO. Child abuse and neglect. 2012. 4. WHO. Child abuse and neglect. 2012. 5. Oppong Asante K, Meyer-Weitz A, Petersen I. Substance use and risky sexual behaviors among street connected children and youth in Accra, Ghana. Substance Abuse Treat Prevention Policy. 2014; 9:45. Published 2014 Nov 27. doi:10.1186/1747-597X-9-45 5. Oppong Asante K, Meyer-Weitz A, Petersen I. Substance use and risky sexual behaviors among street connected children and youth in Accra, Ghana. Substance Abuse Treat Prevention Policy. 2014; 9:45. Published 2014 Nov 27. doi:10.1186/1747-597X-9-45 6. Ayub, Kumar D, Rasoo M. Substance abuse among street children of Jammu region. Taha International Journal of Medical Science and Clinical Inventions. 2017;4(8):3168-71. 6. Ayub, Kumar D, Rasoo M. Substance abuse among street children of Jammu region. Taha International Journal of Medical Science and Clinical Inventions. 2017;4(8):3168-71. 7. UNESCO. Social and Human Sciences [Available from: http://www.unesco.org/new/en/social-and- human-sciences/themes/fight-against-discrimination/education-of-children-in-need/street-children/. 8 N I F t t hild h bilit ti j t [A il bl f 7. UNESCO. Social and Human Sciences [Available from: http://www.unesco.org/new/en/social-and- human-sciences/themes/fight-against-discrimination/education-of-children-in-need/street-children/. 8. News I. Focus on street children rehabilitation project [Available from: http://www.irinnews.org/report/48799/ethiopia-focus-street-children-rehabilitation-project. 8. News I. Focus on street children rehabilitation project [Available from: http://www.irinnews.org/report/48799/ethiopia-focus-street-children-rehabilitation-project. http://www.irinnews.org/report/48799/ethiopia-focus-street-children-rehabilitation-project. 9. Belfer M, Rohde L. Child and adolescent mental health in Latin America and the Caribbean: Problems, progress, and policy research. Revista panamericana de salud pública = Pan American journal of public health. 2005;18:359-65. 9. Belfer M, Rohde L. Child and adolescent mental health in Latin America and the Caribbean: Problems, progress, and policy research. Revista panamericana de salud pública = Pan American journal of public health. 2005;18:359-65. 10. de Carvalho FT, Neiva-Silva L, Ramos MC, Evans J, Koller SH, Piccinini CA, et al. Sexual and drug use risk behaviors among children and youth in street circumstances in Porto Alegre, Brazil. AIDS Behav. 2006;10(4 Suppl):S57-66. 11. Moura Y. Drug use among street children and adolescents: what helps? Cad Saúde Pública,. 2012;28(7):1371-80. Page 14/18 12. References 2012;28(7):1371-80 23. UNICEF. THE STATE OF THE WORLD’S CHILDREN. 2012. 24. DA LE, Atowli L, Vreeman R, Gsore P, Braitstein P. Risk factors and prevalence of substance use among street children in western Kenya. NIDA International home. 2012;1(1). 24. DA LE, Atowli L, Vreeman R, Gsore P, Braitstein P. Risk factors and prevalence of substance use among street children in western Kenya. NIDA International home. 2012;1(1). References Hadland SE MB, Kerr T, Zhang R, Montaner JS, Wood E. A comparison of drug use and risk behavior profiles among younger and older street youth. Subst Use Misuse. 2011;46(12). 13. Kayembe PK et al. Knowledge of HIV, sexual behaviour and correlates of risky sex among street children in Kinshasa, democratic republic of Congo. East Afr J Public Health. 2008;5(3):186-92. 13. Kayembe PK et al. Knowledge of HIV, sexual behaviour and correlates of risky sex among street children in Kinshasa, democratic republic of Congo. East Afr J Public Health. 2008;5(3):186-92. 14. Ahamad K DK, Feng C, Sakakibara T, Kerr T, Wood E. Gender influences on initiation of injecting drug use Am J Drug Alcohol Abuse. 2014;40(2):151-6. 15. Embleton L, Mwangi A, Vreeman R, Ayuku D, Braitstein P. The epidemiology of substance use among street children in resource-constrained settings: a systematic review and meta-analysis. Addiction. 2013;108(10):1722-33. 16. Tuladhar S. Alcohol and Drug Use among Street Children in Nepal 2012 [Available from: http://www.add-resources.org/alcohol-and-drug-use-among-street-children-in-nepal.444184- 315779.html. 17. Dejman M, Vameqhi M, Dejman F, Roshanfekr P, Rafiey H, Setareh Forouzan A, et al. Substance use Among Street Children in Tehran, Iran. International Journal of Travel Medicine and Global Health. 2015;3(1):23-6. 18. Buruh G. Prevalence and determinants of substance abuse among street children in Mekelle city , Tigray , Ethiopia : crossectional study. PharmaBitika,. 2014;1(1):82-93. 19. Islam F KS, Debroy A, Sarma R. Substance abuse amongst the street-children in Guwahati City, Assam. . Ann Med Health Sci Res. 2014;4:233-8. 19. Islam F KS, Debroy A, Sarma R. Substance abuse amongst the street-children in Guwahati City, Assam. . Ann Med Health Sci Res. 2014;4:233-8. 20. AO A, O O, MC A. Relationships as determinants of substance use amongst street children in a local government area in south-western Nigeria. SA Fam Pract. 2008;50(5). 20. AO A, O O, MC A. Relationships as determinants of substance use amongst street children in a local government area in south-western Nigeria. SA Fam Pract. 2008;50(5). 21. al. LMe. Drug use among street children in southern Brazil [Available from: https://doi.org/10.1016/S0376-8716(96)01288-4Get. 21. al. LMe. Drug use among street children in southern Brazil [Available from: https://doi.org/10.1016/S0376-8716(96)01288-4Get. https://doi.org/10.1016/S0376-8716(96)01288-4Get. 22. Moura YGd, Sanchez ZM, Opaleye ES, Neiva-Silva L, Koller SH, Noto AR. Drug use among street children and adolescents: what helps? ARTIGO. 2012;28(7):1371-80 22. Moura YGd, Sanchez ZM, Opaleye ES, Neiva-Silva L, Koller SH, Noto AR. Drug use among street children and adolescents: what helps? ARTIGO. Figure 1 The bar graph showed that the reasons of using substance by the street children. The Y axis includes reasons of using substance while the X axis the percentage of respondents. Since the respondents can choose more than one answer, the total possibly more than 100%. The exact number is attached as a supplementary as “supplementary 1”. Table 4 Table 4 Bivariate logistic regression of factors associated with substance use among street children, Jimma town, Oromiya, South West Ethiopia March 2019 Page 15/18 Page 15/18 Variables Categories Substance  use COR(95% CI) P value yes no Sex Male 92 189 3.286 [1.117- 9.668] 0.031* Female 4 27 1   Age 12-14 49 142 1   ≥14 47 74 1.84[1.129- 3.001] 0.014* Educational status Never attend school 34 54 1                 Read and write 8 15 0.84[0.325- 2.211] 0.735 Grade 1-4 38 108 0.56[0.317- 0.985] 0.044* Grade 5-8 16 39 0.652[0.316- 1.343] 0.246* Daily income(birr) ≤ 35 47 124 1   >35 49 92 1.40[0.867- 2.277] 0.167* Sleeping place (Hotel veranda) Yes 54 103 1.411[0.870- 2.288] 0.163* No 42 113 1   Sleeping place (Old and abandoned buildings) yes 22 82 0.486[0.28- 0.842] 0.010* no 74 134 1   Child’s job (Carrying small items) yes 75 150 1.571[0.894- 2.762] 0.116* no 21 66 1   Child’s job (Delivering messages) yes 8 46 0.336[0.152- 0.743] 0.047* no 88 170 1   Child’s job (Begging) yes 7 30 0.488[0.206- 1.153] 0.102* no 89 186 1   Duration on the street <12 40 142 1 10.716] Yes 52 100 3.64[1.614- 8.207] 0.002* No 8 56 1   Don’t know 36 60 4.2[1.798- 9.809] 0.001* Yes 24 14 7.2[3.383- 15.322] 0.001* No 35 147 1   Don’t know 37 55 2.83[1.620- 4.929] 0.001* Yes 28 26 3.06[1.627- 5.767] 0.001* No 45 128 1   Don’t know 23 61 1.07 [0.596- 1.930] 0.815 Yes 76 69 8.096[4.58- 14.309] 0.000* No 20 147 1 10.716] Paternal substance use Yes 52 100 3.64[1.614- 8.207] 0.002* No 8 56 1   Don’t know 36 60 4.2[1.798- 9.809] 0.001* Maternal substance use Yes 24 14 7.2[3.383- 15.322] 0.001* No 35 147 1   Don’t know 37 55 2.83[1.620- 4.929] 0.001* Sibling substance use Yes 28 26 3.06[1.627- 5.767] 0.001* No 45 128 1   Don’t know 23 61 1.07 [0.596- 1.930] 0.815 Best friend substance use Yes 76 69 8.096[4.58- 14.309] 0.000* No 20 147 1   COR-crude odds ratio             CI-Confidence Interval                 *p≤0.25 Paternal substance use Paternal substance use Page 17/18 Page 17/18 Page 17/18 Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. supplementary1.pdf supplementary2.pdf supplementary3.pdf supplementary4.pdf Page 18/18 Page 18/18
https://openalex.org/W2252870000
https://europepmc.org/articles/pmc4636268?pdf=render
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Discovery of Genome-Wide Microsatellite Markers in Scombridae: A Pilot Study on Albacore Tuna
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OPEN ACCESS OPEN ACCESS Citation: Nikolic N, Duthoy S, Destombes A, Bodin N, West W, Puech A, et al. (2015) Discovery of Genome-Wide Microsatellite Markers in Scombridae: A Pilot Study on Albacore Tuna. PLoS ONE 10(11): e0141830. doi:10.1371/journal.pone.0141830 Editor: Peng Xu, Chinese Academy of Fishery Sciences, CHINA Received: July 8, 2015 Accepted: October 13, 2015 Published: November 6, 2015 Copyright: © 2015 Nikolic 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. Recent developments in sequencing technologies and bioinformatics analysis provide a greater amount of DNA sequencing reads at a low cost. Microsatellites are the markers of choice for a variety of population genetic studies, and high quality markers can be discovered in non-model organisms, such as tuna, with these recent developments. Here, we use a high- throughput method to isolate microsatellite markers in albacore tuna, Thunnus alalunga, based on coupling multiplex enrichment and next-generation sequencing on 454 GS-FLX Titanium pyrosequencing. The crucial minimum number of polymorphic markers to infer evo- lutionary and ecological processes for this species has been described for the first time. We provide 1670 microsatellite design primer pairs, and technical and molecular genetics selec- tion resulting in 43 polymorphic microsatellite markers. On this panel, we characterized 34 random and selectively neutral markers («neutral») and 9 «non-neutral» markers. The vari- ability of «neutral» markers was screened with 136 individuals of albacore tuna from south- west Indian Ocean (42), northwest Indian Ocean (31), South Africa (31), and southeast Atlantic Ocean (32). Power analysis demonstrated that the panel of genetic markers can be applied in diversity and population genetics studies. Global genetic diversity for albacore was high with a mean number of alleles at 16.94; observed heterozygosity 66% and expected het- erozygosity 77%. The number of individuals was insufficient to provide accurate results on dif- ferentiation. Of the 9 «non-neutral» markers, 3 were linked to a sequence of known function. The one is located to a sequence having an immunity function (ThuAla-Tcell-01) and the other to a sequence having energy allocation function (ThuAla-Hki-01). These two markers were genotyped on the 136 individuals and presented different diversity levels. ThuAla-Tcell- 01 has a high number of alleles (20), heterozygosity (87–90%), and assignment index. RESEARCH ARTICLE Discovery of Genome-Wide Microsatellite Markers in Scombridae: A Pilot Study on Albacore Tuna Natacha Nikolic1*, Stéphanie Duthoy2, Antoine Destombes2, Nathalie Bodin3, Wendy West4, Alexis Puech1, Jérôme Bourjea1 Natacha Nikolic1*, Stéphanie Duthoy2, Antoine Destombes2, Nathalie Bodin3, Wendy West4, Alexis Puech1, Jérôme Bourjea1 1 IFREMER, Institut Français de Recherche pour l’Exploitation de la Mer, Délégation de La Réunion, Rue Jean Bertho, BP 60, 97 822 Le Port Cedex, La Réunion, France, 2 GENOSCREEN, Rue du Professeur Calmette, 59000 Lille, France, 3 IRD, UMR 212 EME, BP 570 Victoria, Mahé, Seychelles, 4 Department of Agriculture Forestry and Fisheries, Private Bag X2, Roggebaai, 8012, South Africa a1111 * natacha.nikolic@ifremer.fr * natacha.nikolic@ifremer.fr * natacha.nikolic@ifremer.fr Introduction this manuscript. The specific roles of these authors are articulated in the "Author Contributions" section. Albacore tuna (Thunnus alalunga) is a highly migratory tuna species found in both subtropical and temperate waters of the three oceans and in the Mediterranean [1]. With a high commer- cial value [2], this species is mainly targeted by pelagic fisheries in all ocean basins and current catches are estimated to represent 5% of the global tuna catch [2, 3]. As such, it is the responsi- bility of regional fisheries management organizations, such as the Indian Ocean Tuna Com- mission (IOTC), to oversee the management and sustainable harvesting of this species. Several stocks of albacore are currently considered fully exploited or overexploited, although consider- able uncertainty remains in the results of stock assessment due to fisheries statistics and species biology uncertainties (e.g. for the Indian Ocean; [4]). Therefore precautionary approach to the management of albacore should be applied and it remains a priority to improve stock assess- ments of this species, through the development of alternative methods of population assess- ment [5, 6, 7]. Competing Interests: The authors have the following interests: Stéphanie Duthoy and Antoine Destombes are employed by GENOSCREEN. There are no patents, products in development or marketed products to declare. This did not alter the authors' adherence to all the PLOS ONE policies on sharing data and materials, as detailed online in the guide for authors. Scientific results are the baseline to improve the management of a species and investigation of population structure provides key information to improve stock assessments [8]. The stock structure assumed during an assessment process has important consequences in the manage- ment and must be as close as possible to the actual population structure of the resource [9]. Population genetics have much to offer to improve stock structure for fisheries management. For example, whereas all tuna species are highly migratory, genetic differentiation has been detected at various scales, within an ocean basin for bluefin tuna Thunnus thynnus [10], and both within and among oceans for the yellowfin tuna Thunnus albacares [11] and bigeye tuna Thunnus obesus [12, 13]. Information on the population structure of albacore and its habitats are unfortunately scarce (see review of albacore stock structure in [14]. Microsatellite Markers in Tuna Species OPEN ACCESS ThuAla-Hki-01 has a lower number of alleles (9), low heterozygosity (24–27%), low assign- ment index and significant inbreeding. Finally, the 34 «neutral» and 3 «non-neutral» microsat- ellites markers were tested on four economically important Scombridae species—Thunnus albacares, Thunnus thynnus, Thunnus obesus, and Acanthocybium solandri. OPEN ACCESS Citation: Nikolic N, Duthoy S, Destombes A, Bodin N, West W, Puech A, et al. (2015) Discovery of Genome-Wide Microsatellite Markers in Scombridae: A Pilot Study on Albacore Tuna. PLoS ONE 10(11): e0141830. doi:10.1371/journal.pone.0141830 Editor: Peng Xu, Chinese Academy of Fishery Sciences, CHINA Received: July 8, 2015 Accepted: October 13, 2015 Published: November 6, 2015 Copyright: © 2015 Nikolic 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: Nikolic N, Duthoy S, Destombes A, Bodin N, West W, Puech A, et al. (2015) Discovery of Genome-Wide Microsatellite Markers in Scombridae: A Pilot Study on Albacore Tuna. PLoS ONE 10(11): e0141830. doi:10.1371/journal.pone.0141830 Editor: Peng Xu, Chinese Academy of Fishery Sciences, CHINA Data Availability Statement: Sequencing data has been deposited to GenBank, ID numbers KM977780 to KM977822 (mentioned in Table 2). Funding: This work was developed under the project Germon “N°759/DMSOI/2013” funded by European Fisheries Funds EU FEP 2013-2015 and IFREMER. GENOSCREEN provided support in the form of salaries for authors SD and AD, but did not have any additional role in the study design, data collection and analysis, decision to publish, or preparation of the manuscript. SD and AD provided technical assistance and expertise on 454 pyrosequencing. They also helped in writing the Materials and Methods section of 1 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 E | DOI:10.1371/journal.pone.0141830 November 6, 201 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species migrate inter-ocean distances [30]; marine pelagic fish species have commonly been thought to lack genetic spatial structure [31, 32]. In this last decade, genetic studies using microsatellites in pelagic fish investigations have increased [33, 34, 35, 36, 37, 38, 39, 40, 41, 42, 43, 44, 45]. migrate inter-ocean distances [30]; marine pelagic fish species have commonly been thought to lack genetic spatial structure [31, 32]. In this last decade, genetic studies using microsatellites in pelagic fish investigations have increased [33, 34, 35, 36, 37, 38, 39, 40, 41, 42, 43, 44, 45]. Microsatellites have been characterized from Thunnus thynnus, Thunnus orientalis, Thunnus obesus, Thunnus albacares, yet none have been specifically designed for albacore tuna. Some of the markers developed on bluefin ([46], [47] (4 markers), [48] (24 markers)) were tested on albacore to study the population structure of albacore in the Atlantic ([42] (12 markers), [44] (13 markers)). These studies revealed contrasting results and have fuelled the need for an increase in the number microsatellite markers to be able to spatial structure in such pelagic spe- cies. In this short communication, we describe the development of new appropriate microsatel- lite markers for extensive population genetic analysis on albacore using shotgun pyrosequencing of a microsatellite-enriched library [49], and the power analysis. Additionally, these new microsatellites markers have been tested with four other Scombridae species (Thun- nus albacares, Thunnus thynnus, Thunnus obesus, and Acanthocybium solandri). Ethics statement The field studies did not involve endangered or protected species. Albacore tuna is a commer- cial species caught all over the world and does not fall in any official ethical rules (UICN, RED list etc.). No specific permissions were required for the sampling locations (Fig 1). All fishes were randomly sampled from French, Seychelles and South African fishing vessels either at sea within an observer program in the authorized marine waters or at landing sites. The fishing areas are related to the fishing method (mainly longliner and purse seine) and are from one to several kilometers in range. Introduction For instance, the Indian Ocean is the oceanic region in which the least knowledge of albacore is available and, in lieu of the results of recent albacore stock assessments, the IOTC Scientific Committee has encour- aged studies on the population structure within the Indian Ocean and adjacent waters [15, 4]. Over the past several years, mainly by using 454 pyrosequencing, genome-wide microsatel- lite screening and marker development has been performed in many non-model species, such as fish, for genetic and molecular ecology study [16, 17, 18, 19]. Next-generation sequencing technology (454) with the reduced representation library (RRL) construction rapidly and easily isolates the microsatellite of the genome of the non-model teleost at low cost and time [19]. In this study, we used the high throughput 454 technology from an enriched microsatellites library on albacore tuna to insulate rapidly, easily and flexibly microsatellite on the whole genome. Genetic markers are widely used to investigate genetic diversity within populations, connec- tivity between populations, and to identify stocks and mixed stocks in a fishery [20, 21]. Molec- ular genetics has led to considerable progress but to unravel population structures, studies are dependent on the use of polymorphic neutral markers. Neutral markers usually indicate a DNA region that is not under the influence of selection, and the vast majority of genetic diver- sity estimates are based on neutral markers [22]. Neutral markers that are capable of inferring genetic diversity are most commonly microsatellites [22]. The hypothetically random and selectively «neutral» markers are mentioned in this study. Microsatellites markers have much to offer in fisheries management (see the review in [23, 24]). These genetic markers are used in a variety of population genetic studies on marine species because of their high locus variability allowing high statistical power to detect genetic structure within and among populations, as well as inferring evolutionary history [25, 26, 27, 28, 29]. Due to their cosmopolitan distribu- tion, large population size, high fecundity, production of numerous pelagic larvae, long larval periods allowing widespread dispersal in currents and due to the ability of adults to easily PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 2 / 22 Test, procedure, and analysis Our study includes 136 samples of albacore tuna collected from four different geographic areas, A) southwest Indian Ocean (42), B) northwest Indian Ocean (31), C) South Africa (31), and D) southeast Atlantic Ocean (32) (Fig 1). The Fig 1 was performed using ArcGIS software (www.arcgis.com). Hence, we followed the rule-of-thumb for the estimation of differentiation with > 30 individuals per area [50]. The number of individuals used to develop high quality microsatellite markers in this study varied from 8 to 136 depending on the molecular process. The genomic DNA was isolated from muscle tissue sample (25ng) of a single fish using Qiagen DNeasy spin columns. 1 μg of an equimolar pool of 13 DNA samples was used for the development of a microsatellites library through 454 GS-FLX Titanium pyrosequencing of enriched DNA libraries, as described in [49]. In order to increase the percentage of final sequences with microsatellites, total DNA was enriched for AG, AC, AAC, AAG, AGG, ACG, ACAT, and ATCT repeat motifs and subse- quently amplified. Polymerase Chain Reaction (PCR) products were purified, quantified, and GsFLX libraries were then carried out following the manufacturer’s protocols (Roche Diagnos- tics), and sequenced by 454 GS FLX Titanium pyrosequencing. A summary of the different selection steps to obtain a final microsatellite panel of markers is presented in Table 1. From the 62 682 sequences obtained, the bioinformatics program QDD [51] was used to fil- ter the primers that designed successfully. This software allowed for high-throughput microsat- ellite isolation of 4 285 sequences containing SSR motifs, including motifs longer than five repeats (Fig 2). 3 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species Fig 1. Geographic location of albacore sampled. Circles are proportional to the number of individuals collected. (A) southwest Indian Ocean (n = 42), (B) northwest Indian Ocean (n = 31), (C) South Africa (n = 31), and (D) southeast Atlantic Ocean (n = 32). Fig 1. Geographic location of albacore sampled. Circles are proportional to the number of individuals collected. (A) southwest Indian Ocean (n = 42), (B) northwest Indian Ocean (n = 31), (C) South Africa (n = 31), and (D) southeast Atlantic Ocean (n = 32). doi:10.1371/journal.pone.0141830.g001 A total of 1 670 primer pairs were designed (S2 Table for detailed information). PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Test, procedure, and analysis Among the 225 microsatellites designed, we retained and tested 95 based on the sequence pattern that would maximize the number of polymorphic markers (S2 Table for detailed information). All primers were tested with one PCR condition in order to apply multiplexed reactions. These consisted of 75 di-nucleotide, 7 tri-nucleotide, 12 tetra-nucleotide, and 1 penta-nucleotide microsatellites primer pairs. Among the 95 candidate loci tested, 25 failed to amplify. From the 60 loci tested for polymorphism, 16 gave inconsistent electrophoretic patterns and 1 showed no or low polymorphism levels. 43 microsatellites markers were interpretable, clear, repeatable, and the polymorphic patterns were validated. Multiplexed loci were built with the same opti- mal primer pairs annealing temperature of 55°C and can be used for future genetic studies on albacore (see example S1 Fig and Table 2). PCR were performed in 25 μl reactions containing 5 ng of template DNA, 1X reaction buffer, 1.5 mM MgCl2, 0.24 mM dNTP, 0.1 μM of each primer, and 1U Taq polymerase. The PCR cycling consisted of an initial denaturation at 95°C for 10 min, followed by 40 cycles: denaturation at 95°C for 30 s, annealing at 55°C for 30 s, and extension at 72°C for 1 min and a final extension at 72°C for 10 min. 4 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species Table 1. Summary of the selection steps used to develop microsatellite markers. Table 1. Summary of the selection steps used to develop microsatellite markers. Steps Total number Number of individuals Development of sequences 62 682 sequences with 4 285 microsatellites isolated 13 Design of microsatellites (with QDD software) 1670 primer pairs First selection: best design (for each microsatellite, the closest pair to the optimum parameters of QDD software) 225 primer pairs Second selection: Tested primer pairs. See S1 Table (ex. motif, length, repeats number, most dinucleotide motif) 95 primer pairs 8 Third selection: positive amplification (specific product at expected size for at least 5 samples). See S1 Table 70 primer pairs Fourth selection: polymorphic study 60 primer pairs 15 Fifth selection: technical criteria (genotype readings, weak background, no specific products) 43 markers Sixth selection: neutral and encoding characteristics 34 neutral and 9 encoding (with two well-known functions) microsatellites 15 Last selection on neutral markers: diversity and structure analysis 25 higher quality microsatellites from the 34 markers 136 Total number Out of the 95 markers, 70 markers were validated on agarose gel electrophoresis and 60 were selected for a polymorphism study (minimum of 3 alleles) on 15 albacore DNA samples (5 from area A, 5 from area B, and 5 from area C; Fig 1). PCR was performed following the same conditions as set above but with fluorescent forward primers (with 6’FAM, PET, VIC or NED fluorescent dye—Applied Biosystems). Each PCR amplicon was diluted with pure water (1:20), mixed with Hi-Di Formamide and GeneScan 500 LIZ dye size standard (Applied Fig 2. Read length distribution and number of reads throughout QDD bioinformatics pipeline steps. doi:10.1371/journal.pone.0141830.g002 doi:10.1371/journal.pone.0141830.g002 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 5 / 22 Microsatellite Markers in Tuna Species Table 2. Microsatellite markers developed for Thunnus alalunga (43) with the corresponding GenBank number. Locus name Genbank accession number Sequence Range size (bp) Primer sequences Motif Dye Blast on the complete sequence >75% (see S2 Table) Detail on the corresponding alignment (see S2 Table) Supplement details ThuAla- mt-01 KM977780 238 F: CAGTGAATGTTTTGCCAACG (tatc) 17 PET «neutral» R: TCATACAGTTTCCCCAAGGC ThuAla- Tcell-01 KM977781 203 F: GTCACTGGAGGAACCGGTAA (gata) 17 6FAM yes FERM and PDZ domain-containing protein 1-like «non-neutral» R: CCGTGTTGGAGGATCTGAGT ThuAla- mt-02 KM977782 302 F: TCAGCAGTCCATCACTTTTCA (atag) 16 PET «neutral» R: TCAAGTCACAGCAGAGATCACA ThuAla- mt-03 KM977783 183 F: TGAAGTGCTGGTCTCCAGTG (gata) 15 VIC «neutral» R: TGATTTCTGTTAAGTGGCTGCT ThuAla- mt-04 KM977784 133 F: TTCTAAGGAGTGTTGGGTCACA (tatc) 12 NED «neutral» R: CAACATGCAACTACACAAAACA ThuAla- Und-01 KM977785 123 F: TCCTTCTCTTCCTCATCTTTCC (ttct) 11 PET yes Variant sequence «non-neutral» R: CCACATCTCACTGCCTTCAG ThuAla- mt-05 KM977786 218 F: TGGTCTCCCTTGCTGTTACC (ct)8 6FAM «neutral» R: TCCAGTTCCCACTAGCAACC ThuAla- mt-06 KM977787 123 F: CATCATGAAATCCATGCAGC (ac)9 6FAM «neutral» R: ACATGGTTAACCTGGCGTGT ThuAla- mt-07 KM977788 124 F: GCTTCACAAGGCTGGTTACTG (tg)9 VIC «neutral» R: GGAGGTGGAAACAAGCTCAG ThuAla- mt-08 KM977789 134 F: TCTGACCAGTTCAGCTCCCT (gt)9 PET «neutral» R: TGTTTGCAATGAAATAGTTTTGAA ThuAla- mt-09 KM977790 135 F: GCAACCCTTGCTGTCCAATA (ac)9 6FAM «neutral» R: TCTGTACTGATGAACTCCATGACA ThuAla- Und-02 KM977791 144 F: AATGAGGCATTTGCAGCTCT (gt)9 6FAM yes Gene undeterminated «non-neutral» R: CACCGTATTGATCCACTTTGC ThuAla- mt-10 KM977792 198 F: CCAGAGATAAATGAATTGAATTAAAGG (ac)9 PET «neutral» R: CAGCAGCCTTTGCTTTCTCT ThuAla- mt-11 KM977793 205 F: TCATGTTCTCACTCGCGTTC (tc)9 VIC «neutral» R: CCCTTAAACGGGAAGAAACC ThuAla- mt-12 KM977794 269 F: TTTCCCTAACATTTGGGCTG (ac) 10 NED «neutral» R: TGGACACAGTGGTGCCTCTA ThuAla- mt-13 KM977795 119 F: AGGGAAACGAGGTTCTAGGG (gt)11 VIC «neutral» osatellite markers developed for Thunnus alalunga (43) with the corresponding GenBank number. Table 2. Microsatellite markers developed for Thunnus alalunga (43) with the c Table 2. Microsatellite markers developed for Thunnus PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 6 / 22 Microsatellite Markers in Tuna Species Table 2. (Continued) Locus name Genbank accession number Sequence Range size (bp) Primer sequences Motif Dye Blast on the complete sequence >75% (see S2 Table) Detail on the corresponding alignment (see S2 Table) Supplement details R: CCTCCTAATGAGTCCGGAGA ThuAla- mt-14 KM977796 125 F: CATGAAGAATAGAATAGCAGCTTTG (tg)11 NED «neutral» R: TCTGTGAATGGAGACGTTGG ThuAla- mt-15 KM977797 149 F: GATTGCGCAACAATCAAAGA (tc)11 VIC «neutral» R: GCACAGATGGACAGAGCAGA ThuAla- mt-16 KM977798 205 F: CGACTGCCTTTGTCTGGTTT (ga) 11 NED «neutral» R: CCACCAGTGAAGTACTGCTGAT ThuAla- mt-17 KM977799 226 F: GCTGCAGCTCATCTGTTCAC (ac) 11 6FAM «neutral» R: TGGATTTCGTTTTCATTCTGTG ThuAla- mt-18 KM977800 110 F: TCTGCTCAAACCTGCTGACA (tg)12 6FAM «neutral» R: TACCGTCCCGATAAGAATGC ThuAla- Hki-01 KM977801 138 F: CTCACAGATGATGGGCAGG (tc)12 NED yes Hexokinase type I «non-neutral» R: TCCCTCCTCTGTGCATGTAA ThuAla- mt-19 KM977802 225 F: TCTGGACGTCTGATTGATCG (ttc) 12 NED «neutral» R: GGCTGCCTTTTCTTGACAAC ThuAla- mt-20 KM977803 259 F: AGAACATGGGACCAGATTGC (gt)12 VIC «neutral» R: AGAATCGGTCAAAGGTCACG ThuAla- mt-21 KM977804 138 F: GTACCCTTCTCCCCTCAACC (ca) 13 PET «neutral» R: CAATCTGCGTGAAGTGGGTA ThuAla- mt-22 KM977805 182 F: AACTTTGCTGCCAATCTGCT (ac) 13 6FAM «neutral» R: GAATGCACGCTCATGTTCAC ThuAla- mt-23 KM977806 210 F: ATGATTTTAACCCTTGGCCC (tg)13 PET «neutral» R: CCAAATCACATCTGTGTCCG ThuAla- Und-03 KM977807 109 F: TGCGGGTTTTGTGAAATTCT (ttc) 14 PET yes Variant sequence and undeterminated gene «non-neutral» R: ACTGTGGCAACCCCTAACAG ThuAla- mt-24 KM977808 118 F: GCTGGCAGTGCATATTCAAA (ac) 14 6FAM «neutral» R: CAGTTGCAGCCTGTCATCAT ThuAla- mt-25 KM977809 132 F: GTCCCCAGTTGGACAAGATG (ac) 14 VIC «neutral» R: CGCACAGCTGTTCCATTAAA ThuAla- mt-26 KM977810 151 F: TTCCCCTGCAGTGATTTAGG (tg)14 PET «neutral» R: AGGTACTGCCACTCCATTCG PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 7 / 22 Microsatellite Markers in Tuna Species Table 2. (Continued) Locus name Genbank accession number Sequence Range size (bp) Primer sequences Motif Dye Blast on the complete sequence >75% (see S2 Table) Detail on the corresponding alignment (see S2 Table) Supplement details ThuAla- mt-27 KM977811 184 F: TCTGAAAGATAGACAGACATGCG (ac) 14 NED «neutral» R: CAATTTTGCCAAAGCATCAA ThuAla- Tyr-01 KM977812 106 F: GAACATCAAGAACCACGAAGG (gtt) 15 VIC yes Receptor-type tyrosine-protein phosphatase-like N- like «non-neutral» R: CCGTTCTCCCAGACCATCTA ThuAla- mt-28 KM977813 115 F: TGTCCCGGATACAGTTCTACA (ac) 15 NED «neutral» R: CTGGCATGTTGATGTTGTCA ThuAla- mt-29 KM977814 116 F: ACAAATGCATTGCAGGTACG (ac) 15 PET «neutral» R: CACCAGTGTGGCAACCATAA ThuAla- mt-30 KM977815 173 F: GCCAGCAGAGTATTCATCCC (ca) 15 6FAM yes Microsatellite «neutral» R: ATTTAAGTAGGCGGCAGCAA ThuAla- Und-04 KM977816 137 F: CGAGGCATTATTTGATCCCTAT (tg)16 VIC yes Gene undeterminated «non-neutral» R: ACCTACAGGGAAGCCAGGAC ThuAla- mt-31 KM977817 106 F: TCATCATCTGGACAGATTGTGTAT (tg)17 NED «neutral» R: GAGGCAGAACATGAGGAAGG ThuAla- Und-05 KM977818 121 F: CAGTTCCTCCAAAGCAGGAG (atg) 17 NED yes Gene undeterminated «non-neutral» R: AGAACAGGCAAAGATGCAGG ThuAla- Und-06 KM977819 138 F: AAGCAGCGTATTCCCAAAGA (ag) 17 6FAM yes Gene undeterminated «non-neutral» R: GCCACTCGCCTGTTAACTTT ThuAla- mt-32 KM977820 142 F: TGCATGTTTGTTTGCAAGAG (tg)17 PET «neutral» R: GTGAGCTAAGTGCCACGACA ThuAla- mt-33 KM977821 225 F: GCTCCAAGTCCATCCTTGTC (ac) 18 PET «neutral» R: GTAATGGGCTGACAGGTCGT ThuAla- mt-34 KM977822 236 F: CAGGCATGCAGAGGTAAACA (ac) 18 NED «neutral» R: CAGCCTAATGAAGCCAGTGA Sequence range size in base pairs (complete sequence—primers, microsatellites and flanking region), primers sequence, number of repeats in the microsatellite motif determinate, microsatellite sequence corresponding at >75% alignment from GenBank NR and BOLD sequences, summary on the Sequence range size in base pairs (complete sequence—primers, microsatellites and flanking region), primers sequence, number of repeats in the microsatellite motif determinate, microsatellite sequence corresponding at >75% alignment from GenBank NR and BOLD sequences, summary on the «non-neutral» gene alignment details, and information on the class of the markers («neutral», «non-neutral» and selected or not in the final panel). d i 10 13 1/j l 0141830 002 Sequence range size in base pairs (complete sequence—primers, microsatellites and flanking region), primers sequence, number of repeats in the microsatellite motif determinate, microsatellite sequence corresponding at >75% alignment from GenBank NR and BOLD sequences, summary on the «non-neutral» gene alignment details, and information on the class of the markers («neutral», «non-neutral» and selected or not in the final panel). d i 10 1371/j l 0141830 t002 Biosystems), and were run on an Applied Biosystems 3730 XL DNA Analyzer. Alleles were scored using GeneMapper v 5.0 (Applied Biosystems). Microsatellite Markers in Tuna Species greater than 8; most dinucleotide motif repeats; polymorphic (minimum of 4 alleles for each marker, observed on 15 individuals genotyped)) criteria. Sequences similarities were sought by BLASTn (scanning databases of nucleotide collections with Megablast to search for highly similar sequences, [52] on the 43 markers. Sequences from GenBank NR and BOLD systems were downloaded for a local deployment (version 2014, Gen- Bank; http://www.ncbi.nlm.nih.gov). We retained the alignment sequences with the expected value significance cut-off (E-value) 10–3. The degree of similarity was assessed using highly similar sequences (Megablast) and a ratio of similar bases (nucleotides) as a function of the microsatellite length to reveal the alignment sequences >75% (Table 2 and S2 Table). Sequence alignments were performed using the ClustalW program, setting parameters to default for gap criterions, followed by manual corrections with BioEdit software (http://www.ebi.ac.uk/Tools/ msa/clustalo/). Population diversity and structure analyses require random «neutral» microsatellite mark- ers. 9 markers were detected as potentially encoded and 34 potentially «neutral» markers (Table 2). ThuAla-mt-30 has a high alignment and correspondence with a microsatellite sequence in Cottus gobio. The variability of 34 «neutral» microsatellites markers was screened using 136 individuals from the four areas. The level of diversity (allelic richness (Na); expected (He), expected unbiased from [53] (Hnb) and observed (Ho) heterozygosity) by locus was ana- lyzed using GENETIX 4.05 [54]. Estimates of homozygote and heterozygote excess that dif- fered significantly from zero (P<0.05) were calculated from the standard error in Pedant [55]. Probability of identity (PI) by locus was estimated using GenAlEx v6 [56]. PI is an advanced frequency-based analysis, also referred to as population match probability that provides an esti- mate of the average probability that two unrelated individuals will have the same multilocus genotype. It indicates the statistical power of marker loci. Deviations from Hardy-Weinberg equilibrium (HWE) were detected by exact tests and permutations (1 000 000 chains and 100 000 steps) and linkage disequilibrium by chi-square test and permutations (10 000) with ARLEQUIN version 3.1 [57]. Fisher’s inbreeding coefficient (Fis) and its significance was esti- mated by the exact test and Markov Chain method (10 000 dememorization, 1000 batches, 10 000 iterations per batch) using GENEPOP [58], and it was based on heterozygote excess to avoid disadvantages of common tests such as chi-square. Polymorphism Information Content (PIC) was generated in Cervus [59]. Of the 60 markers, we retained 43 mark- ers based on technical (PCR feasibility and genotype reading) and molecular (optimal primer length of 20 bp (range 19–27 bp); optimal 50% GC content (range 25–60%); number of repeats PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 8 / 22 Null allele frequency (Fnull) was estimated with INEst [60] using the individual inbreeding model (estimates significantly different from zero, P<0.05), followed by MICRO-CHEKER [61] to understand the result of null alleles. Probabil- ity of parentage exclusion (PE1, single parent [62]); PE2, a second parent given a first parent assigned [63]; PE3, a pair of parents [62] was estimated per locus using INest. Assigning an individual determines the probability of assigning individuals to their likely population of ori- gin. Genotyping error rate per allele, E1 referring to allelic dropout rate and E2 to the false allele rate, and the 95% confidence interval (CI), was evaluated using the number of repeated geno- types (Nrep and percentage (%) of the total number of individuals genotyped for each loci) and based on He computed in Pedant. POWSIM software [64] was used to estimate the statistical power to detect levels of differen- tiation with a minimum of 30 individuals per area. Burn-in consisted of 1000 steps followed by 100 batches of 1000 steps. Chi-square and Fisher’s probabilities were used to test the signifi- cance of a Wright’s F-statistics (FST) value for each replicate run. The number of significant FST values in 1000 replicate simulations provided an estimate of statistical power for a given level of divergence, which was controlled by allowing frequencies to drift for a given number of generations. Differentiation between the four areas (Fig 1) was visualized by Factorial Component Anal- ysis in GENETIX with different numbers of markers. Global FST considering the 4 areas and 9 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species the panel of potentially «neutral» microsatellite markers was estimated using GENETIX with 1000 bootstrap. Analysis of Molecular Variance (AMOVA) and Phi-statistics (analogous to F- statistics) were performed between the 4 areas using adegenet [65] and poppr [66] R package with 1 000 permutations. SPOTG [67] was used to estimate the power of assignment of 4 populations, using 1000 runs. FST was equal to 0.005 and normal allele frequencies were used with the mean number of alleles equal to 17. The number of genetic markers to consider varied between 20 and 150 with 30 individuals. The number of individuals to sample varied between 30 and 500 with 34 mark- ers. This software uses inputs from ARLEQUIN [68] and SIMCOAL [69]. The above analysis on the genetic diversity and structure were also applied to two «non-neu- tral» microsatellites markers in which the functions were well defined from GenBank NR and BOLD sequences alignment (ThuAla-Tcell-01, ThuAla-Hki-01; Table 1). Finally, we tested the 34 selected microsatellites (Table 3) and 3 «non-neutral» markers (ThuAla-Tcell-01, ThuAla-Hki-01, and ThuAla-Tyr-01 –Table 2) on 4 species of Scombridae with high economic importance; three tuna species (Thunnus albacares, Thunnus thynnus, Thunnus obesus) and Acanthocybium solandri. PCR amplification was visualized in 2% agarose gel on 4 or 5 individuals per species. PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species y statistics of the potentially selective «neutral» microsatellite markers (34) for albacore (Thunnus alalunga) Genotyping error rate Locus Nind Na He Hnb Ho PIC Fnull Fis PI PE1 PE2 PE3 Nrep (%) E1 (CI 95%) E2 (CI 95%) ThuAla-mt-01 125 19 0.92 0.92 0.72 0.92 0.098 0.22 0.012 0.72 0.84 0.96 10(7) 0.00 (-0.00–0.22) 0.00 (0.00–0.09) ThuAla-mt-02 134 27 0.91 0.92 0.90 0.91 0.014 0.02 0.013 0.71 0.83 0.95 11(8) 0.00 (-0.00–0.09) 0.00 (-0.00–0.07) ThuAla-mt-03 121 27 0.92 0.92 0.45 0.91 0.221 0.52 0.013 0.71 0.83 0.95 12(9) 0.33 (-0.02–0.68) 0.00 (0.00–0.08) ThuAla-mt-04 120 15 0.90 0.91 0.68 0.89 0.109 0.25 0.018 0.67 0.80 0.94 13(10) 0.00 (-0.00–0.42) 0.00 (0.00–0.06) ThuAla-mt-05 132 8 0.59 0.59 0.55 0.54 0.046 0.06 0.217 0.19 0.35 0.53 13(10) 0.00 (0.00–0.21) 0.00 (0.00–0.06) ThuAla-mt-06 136 10 0.70 0.70 0.71 0.66 0.014 0.00 0.136 0.29 0.46 0.65 13(10) 0.00 (0.00–0.07) 0.00 (0.00–0.06) ThuAla-mt-07 135 12 0.69 0.69 0.66 0.64 0.019 0.04 0.143 0.28 0.45 0.64 13(10) 0.00 (0.00–0.07) 0.00 (0.00–0.06) ThuAla-mt-08 135 14 0.83 0.83 0.73 0.81 0.054 0.12 0.049 0.50 0.67 0.85 13(10) 0.00 (-0.00–0.06) 0.00 (0.00–0.06) ThuAla-mt-09 136 9 0.76 0.77 0.70 0.73 0.042 0.09 0.095 0.36 0.54 0.72 13(10) 0.00 (-0.00–0.06) 0.00 (0.00–0.06) ThuAla-mt-10 136 27 0.87 0.87 0.85 0.85 0.014 0.03 0.030 0.59 0.74 0.90 13(10) 0.00 (-0.00–0.07) 0.00 (0.00–0.06) ThuAla-mt-11 106 3 0.21 0.21 0.15 0.19 0.080 0.27 0.646 0.02 0.10 0.18 3(2) 0.00 (0.00–0.08) 0.00 (0.00–0.06) ThuAla-mt-12 136 11 0.54 0.55 0.55 0.52 0.017 0.00 0.229 0.18 0.35 0.56 12(8) 0.00 (-0.00–0.13) 0.00 (-0.00–0.07) ThuAla-mt-13 136 6 0.47 0.47 0.46 0.45 0.033 0.04 0.299 0.13 0.29 0.48 13(10) 0.00 (0.00–0.15) 0.00 (0.00–0.06) ThuAla-mt-14 136 16 0.85 0.85 0.83 0.83 0.010 0.02 0.038 0.55 0.71 0.88 13(10) 0.00 (-0.00–0.07) 0.00 (-0.00–0.06) ThuAla-mt-15 136 10 0.62 0.61 0.54 0.57 0.058 0.12 0.193 0.22 0.38 0.57 13(10) 0.00 (-0.00–0.11) 0.00 (0.00–0.06) ThuAla-mt-16 134 20 0.89 0.89 0.79 0.88 0.051 0.12 0.021 0.65 0.79 0.93 12(9) 0.00 (0.00–0.07) 0.00 (0.00–0.06) ThuAla-mt-17 51 10 0.63 0.63 0.12 0.60 0.293 0.82 0.166 0.24 0.43 0.63 6(4) 0.70 (0.03–1.81) 0.00 (-0.00–0.22) ThuAla-mt-18 134 18 0.88 0.89 0.81 0.88 0.034 0.08 0.023 0.63 0.77 0.92 13(9) 0.00 (-0.00–0.06) 0.00 (0.00–0.06) ThuAla-mt-19 115 13 0.72 0.72 0.29 0.68 0.240 0.60 0.121 0.32 0.50 0.69 11(8) 0.00 (0.00–0.14) 0.00 (0.00–0.07) ThuAla-mt-20 130 36 0.94 0.94 0.63 0.94 0.139 0.33 0.007 0.78 0.88 0.97 13(9) 0.00 (-0.00–0.12) 0.00 (0.00–0.06) ThuAla-mt-21 124 18 0.86 0.87 0.45 0.85 0.207 0.48 0.033 0.57 0.73 0.89 12(9) 0.42 (-0.02–0.78) 0.00 (0.00–0.09) ThuAla-mt-22 125 20 0.85 0.85 0.51 0.83 0.165 0.40 0.038 0.55 0.71 0.88 11(8) 0.41 (-0.98–0.84) 0.00 (0.00–0.10) ThuAla-mt-23 135 9 0.63 0.63 0.65 0.60 0.010 -0.03 0.166 0.24 0.42 0.63 13(9) 0.00 (0.00–0.22) 0.00 (0.00–0.06) ThuAla-mt-24 136 13 0.85 0.85 0.84 0.83 0.014 0.01 0.041 0.53 0.70 0.87 13(10) 0.02 (0.00–0.06) 0.00 (0.00–0.06) ThuAla-mt-25 136 13 0.77 0.77 0.79 0.74 0.012 -0.03 0.080 0.40 0.58 0.78 13(10) 0.00 (0.00–0.12) 0.00 (-0.00–0.07) ThuAla-mt-26 136 16 0.69 0.70 0.67 0.65 0.019 0.04 0.140 0.29 0.46 0.65 13(10) 0.00 (-0.00–0.08) 0.00 (-0.00–0.06) ThuAla-mt-27 121 20 0.80 0.80 0.45 0.79 0.186 0.44 0.052 0.48 0.65 0.86 9(6) 0.00 (-0.00–0.25) 0.00 (0.00–0.09) ThuAla-mt-28 136 30 0.92 0.93 0.94 0.92 0.007 -0.02 0.011 0.74 0.85 0.96 13(10) 0.00 (0.00–0.06) 0.00 (-0.00–0.06) ThuAla-mt-29 135 22 0.84 0.84 0.78 0.82 0.024 0.06 0.043 0.53 0.69 0.87 13(10) 0.00 (-0.00–0.06) 0.00 (-0.00–0.06) ThuAla-mt-30 136 17 0.85 0.86 0.84 0.84 0.014 0.02 0.035 0.56 0.72 0.89 13(10) 0.00 (0.00–0.00) 0.00 (0.00–0.06) ThuAla-mt-31 135 24 0.91 0.91 0.90 0.90 0.010 0.00 0.016 0.69 0.81 0.95 13(10) 0.00 (-0.00–0.07) 0.00 (-0.00–0.06) ThuAla-mt-32 136 14 0.61 0.61 0.63 0.59 0.019 -0.02 0.172 0.23 0.42 0.64 13(10) 0.00 (-0.00–0.08) 0.00 (0.00–0.06) ThuAla-mt-33 130 32 0.95 0.96 0.94 0.95 0.013 0.02 0.004 0.83 0.90 0.98 10(7) 0.00 (0.00–0.07) 0.00 (0.00–0.07) ThuAla-mt-34 135 17 0.84 0.84 0.85 0.82 0.020 -0.01 0.042 0.53 0.69 0.87 13(10) 0.00 (-0.00–0.07) 0.00 (-0.00–0.06) Average 16.94 0.77 0.77 0.66 0.75 Number of individuals (Nind). doi:10.1371/journal.pone.0141830.t003 Development of microsatellite panel on albacore tuna A total of 62 628 sequences with 4 285 (7%, Fig 2) unique and consensus sequences containing microsatellite markers were identified (motifs—type of repeat unit—range length of 248–288 bp) from 454 pyrosequencing. Genotyping profile characteristics of 1 670 primer pairs have been designed and described (S2 Table). Out of these sequences, 250 were high quality candi- date microsatellite markers (Fig 3) and 225 were successfully designed. As expected, the most commonly found motifs were those used for library enrichment, in particular dinucleotide types AG and AC (37 and 139 microsatellites, respectively), followed by trinucleotides AAG, AAC, and AGG (7, 11, and 5 microsatellites, respectively) (Fig 3). However, although AT was not used as a motif for enrichment, 3 AT microsatellites were identified. Focusing on AG and AC motifs, the average number of repeated motifs was 8 for AG and 11 for AC with a maxi- mum of 21 and 29, respectively (Fig 3). Allelic size range was 106 bp to 302 bp for 43 microsat- ellite markers (Table 2). Among the 43 microsatellite markers, the BLASTn search revealed 9 microsatellites markers localized in a coding sequence. These 9 markers, called «non-neutral», have an E-value  10−3, except for marker ThuAla-Und-05 (Table 2 and S2 Table). Of the 9 «non-neutral» markers (>75% of alignment with a sequence mainly marine species, S2 Table), 6 undetermined func- tion (ThuAla-Und-01, ThuAla-Und-02, ThuAla-Und-03, ThuAla-Und-04, ThuAla-Und-05, ThuAla-Und-06) presented some difficulties in the PCR process, in particular ThuAla-Und-01 and ThuAla-Und-03. These markers have not been included in the final panel. Concerning the remaining 3 «non-neutral» markers, ThuAla-Tcell-01 has a high ratio alignment (85%, S2 Table) with FERM and PDZ domain-containing protein 1-like. This domain is a protein often involved in localizing proteins to the plasma membrane and is both dispensable for the T cell receptor signal transduction [70] and could provide information on the immune system. ThuAla-Hki-01 has a high ratio alignment (80–83%, S2 Table) with the hexokinase type I which is one of the four hexokinases that participate in glycolysis playing a significant role in a wide range of cellular processes particularly in providing energy in muscle cells. ThuAla-Tyr- 01 has a high ratio alignment (89%, S2 Table) with the receptor-type tyrosine-protein phospha- tase-like N-like (PTPRN). It is an enzyme that regulates a variety of cellular processes (cell 10 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Number of individuals (Nind). Number of alleles (A). Expected (He), unbiased Nei's (1978) expected (H.n.b) and observed (HO) heterozygosity. Polymorphism information content (PIC). Null allele frequency (Fnull). Fisher’s inbreeding coefficient (Fis). Probability of identity (PI). Probability of exclusion (PE1, single parent; PE2, a second parent given a first parent assigned; PE3, a pair of parents). Number of repeated genotypes (Nrep and percentage (%) of the total number of individuals genotyped for each loci). Genotyping error rate per allele, E1 referring to allelic dropout rate and E2 to the false allele rate, and the 95% confidence interval (CI). Significant values are highlighted in bold (P<0.05) for heterozygote excess, Fnull, and Fis. PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Number of alleles (A). Expected (He), unbiased Nei's (1978) expected (H.n.b) and observed (HO) heterozygosity. Number of alleles (A). Expected (He), unbiased Nei's (1978) expected (H.n.b) and observed (HO) heterozygosity. Polymorphism information content (PIC). Null allele frequency (Fnull). Fisher’s inbreeding coefficient (Fis). Probability of identity (PI). Probability of exclusion (PE1, single parent; PE2, a second parent given a first parent assigned; PE3, a pair of parents). Number of repeated genotypes (Nrep and percentage (%) of the total number of individuals genotyped for each loci). Genotyping error rate per allele, E1 referring to allelic dropout rate and E2 to Number of individuals (Nind). Number of alleles (A). Expected (He), unbiased Nei's (1978) expected (H.n.b) and observed (HO) heterozygosity. Polymorphism information content (PIC). Null allele frequency (Fnull). Fisher’s inbreeding coefficient (Fis). Probability of identity (PI). Probability of exclusion (PE1, single parent; PE2, a second parent given a first parent assigned; PE3, a pair of parents). Number of repeated genotypes (Nrep and percentage (%) of the total number of individuals genotyped for each loci). Genotyping error rate per allele, E1 referring to allelic dropout rate and E2 to the false allele rate, and the 95% confidence interval (CI). Significant values are highlighted in bold (P<0.05) for heterozygote excess, Fnull, and Fis. PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 11 / 22 Microsatellite Markers in Tuna Species Fig 3. Number of microsatellites detected within good quality reads for primer design purpose and number of microsatellites with a successfully designed primer pair by motif type. doi:10.1371/journal.pone.0141830.g003 Fig 3. Number of microsatellites detected within good quality reads for primer design purpose and number of microsatellites with a successfully designed primer pair by motif type. Fig 3. Number of microsatellites detected within good quality reads for primer design purpose and number of microsatellites with a successfully designed primer pair by motif type. doi:10.1371/journal.pone.0141830.g003 doi:10.1371/journal.pone.0141830.g003 doi:10.1371/journal.pone.0141830.g003 growth, differentiation, mitotic cycle, and oncogenic transformation) but the role in fish is unknown and it may have a general role in neuroendocrine functions, as in humans. In this study, we analyzed ThuAla-Hki-01 and ThuAla-Tcell-01 markers on overall albacore collected (136) as they are located to sequence having role in important biological traits (immunity and energy). Genotyping was successfully performed on 136 albacore tunas collected from 4 different geographic areas (Tables 3 and 4) with the 34 supposed «neutral» and 2 «non-neutral» markers, ThuAla-Hki-01 and ThuAla-Tcell-01. Microsatellite Markers in Tuna Species Table 4. Characteristics of two «non-neutral» microsatellite markers for albacore (Thunnus alalunga). Genotyping error rate Locus Nind Na He Hnb Ho PIC Fnull Fis PI PE1 PE2 PE3 Nrep (%) E1 (CI 95%) E2 (CI 95%) ThuAla-Tcell-01 135 20 0.89 0.90 0.87 0.886 0.014 0.03 0.020 0.65 0.79 0.93 13(10) 0.00 (0.00–0.07) 0.00 (0.00–0.06) ThuAla-Hki-01 136 9 0.27 0.27 0.24 0.254 0.041 0.12 0.551 0.04 0.14 0.26 13(10) 0.00 (-0.00–0.12) 0.00 (0.00–0.06) Number of individuals (Nind). Number of alleles (A). Expected (He), unbiased Nei's (1978) expected (H.n.b) and observed (Ho) heterozygosity. Polymorphism information content (PIC). Null allele frequency (Fnull). Fisher’s inbreeding coefficient (Fis). Probability of identity (PI). Probability of exclusion (PE1, single parent; PE2, a second parent given a first parent assigned; PE3, a pair of parents). Number of repeated genotypes (Nrep and percentage (%) of the total number of individuals genotyped for each loci). Genotyping error rate per allele, E1 referring to allelic dropout rate and E2 to the false allele rate, and the 95% confidence interval (CI). Significant values are highlighted in bold (P<0.05) for heterozygote excess, Fnull, and Fis. Table 4. Characteristics of two «non-neutral» microsatellite markers for albacore (Thunnus alalunga Number of individuals (Nind). Number of alleles (A). Expected (He), unbiased Nei's (1978) expected (H.n.b) and observed (Ho) heterozygosity. Polymorphism information content (PIC). Null allele frequency (Fnull). Fisher’s inbreeding coefficient (Fis). Probability of identity (PI). Probability of exclusion (PE1, single parent; PE2, a second parent given a first parent assigned; PE3, a pair of parents). Number of repeated genotypes (Nrep and percentage (%) of the total number of individuals genotyped for each loci). Genotyping error rate per allele, E1 referring to allelic dropout rate and E2 to the false allele rate, and the 95% confidence interval (CI). Significant values are highlighted in bold (P<0.05) for heterozygote excess, Fnull, and Fis. doi:10.1371/journal.pone.0141830.t004 showed a significantly greater than zero estimate of Fis, a high PI and low probability of parent- age exclusion (Table 4) and were detected in deviation from HWE. Concerning the linkage dis- equilibrium analysis, there is random association of alleles at all loci. These loci have a low genotyping error rate giving exactly repeatable genotypes with an observed error rate of 0.00 with low 95% CI. “Neutral” markers analysis on albacore tuna Most of these markers had a large number of alleles per locus (A), ranging from 3 to 33 alleles (Table 3). 26 markers had at least 12 alleles and 10 markers had 16 or more alleles. The mean He and Ho varied, from 21% to 95% and from 15% to 94%, respectively. The PIC value aver- aged 0.75. Of all the markers, two presented low number of alleles, heterozygosity and PIC (ThuAla-mt-11, ThuAla-mt-13) (Table 3). 16 markers showed a significantly greater than zero estimate of Fis (Table 3) and they were detected in deviation from HWE. Null alleles may be present at 9 markers (ThuAla-mt-01, ThuAla-mt-03, ThuAla-mt-04, ThuAla-mt-17, ThuAla- mt-19, ThuAla-mt-20, ThuAla-mt-21, ThuAla-mt-22, and ThuAla-mt-27) (Table 3) as is also suggested by the significant excess of homozygotes (heterozygosity deficit). In these loci there was no evidence for scoring error due to stuttering and no evidence for large allele dropout. However, the significant null allele frequency in ThuAla-mt-03, ThuAla-mt-21, and ThuAla- mt-22 (Table 3) may be due to stuttering, resulting in possible scoring errors, as indicated by the highly significant shortage of heterozygote genotypes with alleles of one repeat unit differ- ence. Concerning the linkage disequilibrium analysis, there is random association of alleles at all loci. Loci have a low genotyping error rate giving exactly repeatable genotypes with an observed error rate of 0.00 with low 95% CI except ThuAla-mt-03, ThuAla-mt-17, ThuAla-mt- 21, and ThuAla-mt-22 (Table 3). These results confirm the stuttering for ThuAla-mt-03, ThuAla-mt-21, and ThuAla-mt-22. Concerning ThuAla-mt-17, this may be due to the null alleles. The PI values ranged from 0.004 to 0.646 and the probability of exclusion from 0.02 to 0.98 on 34 microsatellite markers (Table 3). A total of 15 markers have a high PI (>0.05) (Table 3), meaning a high average probability that two unrelated individuals will have the same multilo- cus genotype (Table 3). It may be as a result of the low number of individuals (31–42) in the structure units. “Encoding” markers analysis on albacore tuna Number of alleles, heterozygosity and PIC was high for ThuAla-Tcell-01 and low for ThuAla- Hki-01 (Table 4). Both markers could be under balanced selection judging by the frequency of their allelic distribution, particularly ThuAla-Tcell-01 (S2 Fig), though these results are not suf- ficient to support this hypothesis. ThuAla-Tcell-01 presented low PI and high probability of parentage exclusion meaning high potential to assign individuals (Table 4). ThuAla-Hki-01 12 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Comparison of selected panel with and without «non-neutral» markers POWSIM simulations indicated that the 34 independent markers (34 «neutral») (Table 3) and 2 «non-neutral» markers (Table 4) were able to detect significant differences among samples 13 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species (standard deviation 0.00114) per markers. Global FST considering the 4 areas and the panel of potentially «neutral» microsatellite markers was low (0.005) with 95% CI equal to 0.003–0.007. FCA plots differentiated area C from D, whereas A and B were more similar (Fig 4). However AMOVA analysis does not support this result, Phi-statistics was low (0.003) and not significant between C and D. The degree of differentiation between all area divisions was low and not significant, excepted weakly for A-D, and B-D, then highly between B and C (S4 Table). With regards to the high PI (15; Table 3), the number of individuals in each area may be insufficient, yet this probability may improve by increasing the number of markers provid- ing high assignment discrimination. SPOTG estimated that with 30 individuals per sampling area, 40 microsatellites markers are the minimum number required to detect evolutionary and ecological processes with a power > 50% (S3 Table). SPOTG estimated that with 34 microsatel- lites, a minimum of 35 individuals from each sampling area is necessary to obtain a power > 50% and with 300 individuals the power increases to > 80% (S3 Table). SPOTG will not run simulations on more than 500 individuals. power > 50% and with 300 individuals the power increases to > 80% (S3 Table). SPOTG will not run simulations on more than 500 individuals. Panel tests on Scombridae species The 34 «neutral» microsatellites markers at high quality (Table 3) and 2 «non-neutral» markers (Table 2) were amplified in 4 Scombridae species (Thunnus albacares, Thunnus thynnus, Thun- nus obesus, Acanthocybium solandri). PCR amplification was successful for all markers in all Thunnus individuals tested (5) (Table 6). For Acanthocybium solandri the ratio of PCR amplifi- cation success was weak (1/4 individuals) with 4 markers (ThuAla-mt-03, ThuAla-mt-17, ThuAla-mt-19, and ThuAla-mt-20; Table 6). PCR amplification was weak with 10 markers in all 4 species (ThuAla-mt-14, ThuAla-mt-17, ThuAla-mt-26, ThuAla-mt-27, ThuAla-Tyr-01, ThuAla-mt-28, ThuAla-mt-29, ThuAla-mt-30, ThuAla-mt-31, ThuAla-mt-32; Table 6). PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species Table 5. Probability of detecting a particular level of differentiation (FST) among populations of albacore with 1 000 replicates. 36 markers(34 «neutral» + 2 «non-neutral») 34 markers («neutral») Fst P Chi-squares P Fisher P Chi-squares P Fisher 0.0005 0.17 0.20 0.16 0.19 0.001 0.49 0.49 0.46 0.47 0.002 0.95 0.91 0.94 0.90 0.005 1 1 1 1 Values > 0.005 1 1 1 1 doi:10.1371/journal.pone.0141830.t005 of detecting a particular level of differentiation (FST) among populations of albacore with 1 000 replicates. Table 5. Probability of detecting a particular level of differentiation (FST) among populations of albac with FST = 0.002 in around 90–95% of the tests and with FST = 0.005 in 100% of the tests (Table 5). Subsequently, the 34 high quality independent «neutral» markers were able to detect the same significant differences among samples with FST  0.002 in about 90–95% of the tests (Table 5). Finally, differentiation between the four areas was visualized by FCA with different numbers of markers (with and without “encoding markers” and potential Fnull markers (34– 9 = 25 markers)) (Fig 4 and S3 Fig). The results obtained by power FST analysis and FCA anal- ysis provided evidence of the suitability of 34 «neutral» microsatellite markers to determine the genetic relatedness among different populations and to evaluate their genetic variability. The addition of the two «non-neutral» markers does not improve or damage the analysis (Table 5, Fig 4 and S3 Fig). Jacknife by locus estimated the values of FST similar, around 0.0045 Fig 4. Factorial correspondence analysis (FCA) in three dimensions of four albacore populations. A (grey), B (yellow), C (blue), and D (white) (populations names as defined in Fig 1) with 36 markers (34 «neutral» and 2 «non-neutral» markers). doi:10 1371/journal pone 0141830 g004 Fig 4. Factorial correspondence analysis (FCA) in three dimensions of four albacore populations. A (grey), B (yellow), C (blue), and D (white) (populations names as defined in Fig 1) with 36 markers (34 «neutral» and 2 «non-neutral» markers). doi:10.1371/journal.pone.0141830.g004 14 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Discussion The 454 GS FLX Titanium technology allowed fast development of polymorphic markers in albacore tuna, a non-model organism, for which low genomic information was available. This technology is interesting in term of cost and time and is effective in discovering high quality microsatellite markers for albacore tuna. This study provides the design of 1 670 microsatellite markers with all characteristics which could be used for different genetics projects on tuna (such as those carried by IOTC and ICCAT). Here, we chose a set of microsatellite markers, from the available markers designed, to investigate the albacore population genetics. Hence, the set of microsatellite markers developed in this study provides an additional tool to scientists who are investigating the genetic stock structure of this species and its implications for conser- vation and management measures. The same annealing temperature for optimal primer pairs allows easy multiplexing and faster manipulation at lower cost. Moreover, these markers dis- play perfect microsatellite motif, making them easily usable in demographic inference, as in the coalescent theory [71, 29], which is a key question for albacore tuna (ex. population structure inferences’ implications on tuna species by [72]). Finally, most of 36 novel markers can also be used on other Scombridae species such as Thunnus albacares, Thunnus thynnus, Thunnus obe- sus, and Acanthocybium solandri. The suitability of selected loci for population genetics analyses was assessed by computing several diversity and information content parameters and estimating 95% CI for genotyping error rate using repeated blind genotyping of the test panel. Analyses on the 136 individuals from all 4 areas results in a significant deviation from HWE. The 36 novel markers discovered constitute a useful tool for achieving detailed information on the genetic diversity and structure of this species and investigating its evolutionary history. Their high polymorphism, with the PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 15 / 22 Microsatellite Markers in Tuna Species Table 6. PCR amplification results of 37 microsatellites markers tested on Scombridae species (Thunnus albacares, Thunnus thynnus, Thunnus obesus, Acanthocybium solandri) with 4 or 5 individuals per species. Locus name Thunnus albacares Acanthocybium solandri Thunnus thynnus Thunnus obesus ThuAla-mt-01 2/5 2/4 5/5 5/5 ThuAla-Tcell-01 5/5 4/4 5/5 3/5 ThuAla-mt-02 4/5 4/4 5/5 5/5 ThuAla-mt-03 4/5 1/4 5/5 1/5 ThuAla-mt-04 5/5 3/4 4/5 5/5 ThuAla-mt-05 5/5 4/4 5/5 5/5 ThuAla-mt-06 5/5 4/4 5/5 5/5 ThuAla-mt-07 4/5 1/4 5/5 5/5 ThuAla-mt-08 5/5 3/4 5/5 5/5 ThuAla-mt-09 5/5 4/4 5/5 5/5 ThuAla-mt-10 5/5 3/4 5/5 5/5 ThuAla-mt-11 5/5 4/4 5/5 2/5 ThuAla-mt-12 5/5 2/4 5/5 5/5 ThuAla-mt-13 5/5 4/4 5/5 5/5 ThuAla-mt-14 5/5 3/4 5/5 5/5 ThuAla-mt-15 5/5 3/4 5/5 5/5 ThuAla-mt-16 5/5 4/4 5/5 5/5 ThuAla-mt-17 4/5 1/4 4/5 5/5 ThuAla-mt-18 5/5 4/4 5/5 5/5 ThuAla-Hki-01 5/5 4/4 5/5 5/5 ThuAla-mt-19 5/5 1/4 5/5 5/5 ThuAla-mt-20 5/5 1/4 5/5 5/5 ThuAla-mt-21 5/5 3/4 5/5 5/5 ThuAla-mt-22 5/5 2/4 5/5 5/5 ThuAla-mt-23 5/5 4/4 5/5 5/5 ThuAla-mt-24 5/5 4/4 5/5 5/5 ThuAla-mt-25 5/5 2/4 5/5 5/5 ThuAla-mt-26 5/5 4/4 5/5 5/5 ThuAla-mt-27 5/5 3/4 5/5 5/5 ThuAla-Tyr-01 5/5 4/4 5/5 5/5 ThuAla-mt-28 5/5 4/4 5/5 5/5 ThuAla-mt-29 5/5 4/4 5/5 5/5 ThuAla-mt-30 5/5 4/4 5/5 5/5 ThuAla-mt-31 5/5 4/4 5/5 5/5 ThuAla-mt-32 5/5 4/4 5/5 5/5 ThuAla-mt-33 5/5 4/4 5/5 5/5 ThuAla-mt-34 5/5 4/4 5/5 5/5 Weak amplified product in bold. Very weak amplified product in bold and italic. Smear in grey. Table 6. PCR amplification results of 37 microsatellites markers tested on Scombridae species (Thunnus albacares, Thunnus thynnus, Thunnus obesus, Acanthocybium solandri) with 4 or 5 individuals per species. Table 6. PCR amplification results of 37 microsatellites markers tested on Scombridae species (Thunnus albacares, Thunnus thynnus, Thunnus obesus, Acanthocybium solandri) with 4 or 5 individuals per species. exception of 3 markers, proves their value in the characterization and evaluation of genetic diversity within and between populations. exception of 3 markers, proves their value in the characterization and evaluation of genetic diversity within and between populations. exception of 3 markers, proves their value in the characterization and evaluation of genetic diversity within and between populations. Of the 9 «non-neutral» microsatellites markers discovered, two markers (ThuAla-Hki-01 and ThuAla-Tcell-01) were also characterized based on their link to sequence having potential role in a main biological trait (immunity and energy). Assessing statistical power by POWSIM confirmed that the panel of 25 «neutral» markers and of 34 «neutral» markers (Tables 2 and 3) Of the 9 «non-neutral» microsatellites markers discovered, two markers (ThuAla-Hki-01 and ThuAla-Tcell-01) were also characterized based on their link to sequence having potential role in a main biological trait (immunity and energy). Assessing statistical power by POWSIM confirmed that the panel of 25 «neutral» markers and of 34 «neutral» markers (Tables 2 and 3) PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 16 / 22 Microsatellite Markers in Tuna Species could detect high levels of differentiation. However many markers have huge PI (15 from 34 «neutral»). In this study, FCA plots differentiated area C from D, whereas A and B were more similar. FCA did the best discrimination with all the markers. However AMOVA did not sup- port this discrimination, particularly between C and D, and the Phi-statistics were low. Popula- tions separated by lower genetic differentiation are less easy to make assignments, as is the case for albacore with a very low FST. The SPOTG simulations were made based on the mean num- ber of alleles from this study. A higher number of individuals will increase the number of alleles and hence decrease the number of markers necessary to obtain an assignment power > 95%. The analysis by SPOTG revealed the necessity to increase the number of individuals and/or markers to detect evolutionary and ecological processes. Hence, we cannot conclude on the population genetics analysis due to the low number of individuals per sampling area. An increase in the number of individuals is required to assess the connectivity of albacore between geographic areas (Indian and Atlantic oceans). Tests that produce different results based on increasing/decreasing the numbers of individu- als used are encouraged to ensure the best individual assignment. Population structure and migration of albacore tuna is a challenging scientific question, but it is also a key question that needs to be addressed in terms of management of this species at the ocean-wide scale. There are at least six genetically distinct stocks of albacore, located in the North and South Pacific Ocean, North and South Atlantic Ocean, the Indian Ocean and the Mediterranean Sea [9, 42, 47, 73, 74]. Doubt subsists about the heterogeneity of stocks between the South Atlantic and Indian Oceans [14]. Small numbers of albacore may undertake inter-oceanic migrations between the South Atlantic Ocean and the Indian Ocean [75]. Nevertheless, the results are con- trasted with one side genetic homogeneity [44] and the other heterogeneity [7, 76, 77]; between South Atlantic and Indian Oceans. The genetic studies, which did not detect any differentiation between populations, may not have enough resolution in the markers (type, polymorphism, and number) and/or the number of individuals sampled may have been too low. A small number of «neutral» markers may not reflect inbreeding depression because they are unlikely to represent genome wide changes in homozygosity ([78] by [22]). Fine-scale genetic population structure often needs a large number of polymorphic microsatellite mark- ers; and the final panel of microsatellite markers in this study corresponds to the general rec- ommended number [27, 79, 80, 81]; under the condition of a minimum number of albacore individuals sampled. This panel could be expanded by existing markers (total 18) from litera- ture on albacore population genetics studies [7, 42, 44, 47, 82]. Supporting Information S1 Fig. Example of a typical electropherogram profile obtained with multiplexed PCR pro- tocol for one individual and six microsatellite markers. (TIFF) S3 Table. Assignment power with SPOTG simulations using different numbers of markers and individuals sampled. (XLSX) S4 Table. Matrix of pairwise Phi-statistics from AMOVA analysis. Lower matrice shows the Phi-statistics values of the four geographic location of albacore (A, B, C, and D). Signifi- cance was estimated using Monte Carlo tests and 1 000 permutations,  P-value<0.05,  P- value <0.01,  P-value <0.001. (XLSX) Acknowledgments We acknowledge Frédéric Texier from GenoScreen, France (www.genoscreen.fr) for his train- ing and help on the alignment process. We also thank Ludovic Hoarau (IFREMER) for his help with mapping. We are grateful to Olivier Lepais (INRA) for his advice on data analysis. We thank all partners from the GERMON project (IRD, CAPFISH, SFA, DAFF, CAPRUN, IPMA, IOTC, and ICCAT). Finally, the authors thank two anonymous reviewers and the associate edi- tor for their very helpful recommendations to improve this manuscript. Author Contributions Conceived and designed the experiments: NN SD AD. Performed the experiments: NN SD AD. Analyzed the data: NN. Contributed reagents/materials/analysis tools: NN SD AD NB WW JB. Wrote the paper: NN SD AD WW AP NB. S2 Fig. Allelic distribution of ThuAla-Tcell-01 microsatellite marker. (TIFF) S3 Fig. Factorial correspondence analysis (FCA) in three dimensions of four albacore popu- lations. A (grey), B (yellow), C (blue), and D (white) (populations names as defined in Fig 1) with 36 markers (34 «neutral» and 2 «non-neutral» markers). (a) 34 «neutral» markers; (b) 27 (25 «neutral» and 2 «non-neutral» markers); (c) 25 «neutral» markers; and (d) microsatellite markers. (TIFF) 17 / 22 PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 Microsatellite Markers in Tuna Species S1 Table. Selection criterion used to develop microsatellite markers. (XLS) S2 Table. Information on the alignment analysis corresponding to microsatellites (micro.) markers developed for albacore. 9 «non-neutral» markers and 1 marker (ThuAla-mt-30) align to Cottus gobio microsatellite corresponding sequence. (XLSX) S1 Table. Selection criterion used to develop microsatellite markers. (XLS) S2 Table. Information on the alignment analysis corresponding to microsatellites (micro.) markers developed for albacore. 9 «non-neutral» markers and 1 marker (ThuAla-mt-30) align to Cottus gobio microsatellite corresponding sequence. (XLSX) S3 Table. Assignment power with SPOTG simulations using different numbers of markers and individuals sampled. (XLSX) S4 Table. Matrix of pairwise Phi-statistics from AMOVA analysis. Lower matrice shows the Phi-statistics values of the four geographic location of albacore (A, B, C, and D). Signifi- cance was estimated using Monte Carlo tests and 1 000 permutations,  P-value<0.05,  P- value <0.01,  P-value <0.001. (XLSX) PLOS ONE | DOI:10.1371/journal.pone.0141830 November 6, 2015 References Genetic evidence for interoceanic subdi- vision of bigeye tuna (Thunnus obesus) populations. Marine Biology 132, 547–557. 13. Durand JD, Collet A, Chow S, Guinand B, Borsa P. 2005. Nuclear and mitochondrial DNA markers indi- cate unidirectional gene flow of Indo-Pacific to Atlantic bigeye tuna (Thunnus obesus) populations, and their admixture off southern Africa. Marine Biology 147:313–322. 14. Nikolic N, Bourjea J. 2013. Differentiation of Albacore stock: review by oceanic regions. ICCAT Recueil de Documents Scientifiques. SCRS/2013/126. 15. IOTC—SC15. 2012. 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BADIIY HAVASKORLIK TOʻGARAKLARINI TASHKIL ETISHNING ZAMONAVIY METODLARI
Zenodo (CERN European Organization for Nuclear Research)
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` BADIIY HAVASKORLIK TOʻGARAKLARINI TASHKIL ETISHNING ZAMONAVIY METODLARI 1. Sh.K.O`rinov 2. Sh.Ne`matullayeva 1. BuxDU Musiqa ijrochiligi va madaniyat kafedrasi o`qituvchisi 2. BuxDU San’atshunoslik fakulteti talabasi https://doi.org/10.5281/zenodo.7619798 ` BADIIY HAVASKORLIK TOʻGARAKLARINI TASHKIL ETISHNING ZAMONAVIY METODLARI 1. Sh.K.O`rinov 2. Sh.Ne`matullayeva 1. BuxDU Musiqa ijrochiligi va madaniyat kafedrasi o`qituvchisi 2. BuxDU San’atshunoslik fakulteti talabasi https://doi.org/10.5281/zenodo.7619798 Badiiy havaskorlik toʻgaraklarini tashkil etishning yangicha metodi haqida fikr yuritadigan boʻlsak, bugungi kunda madaniyat markazlari Vazirlar Mahkamasining 2019 yildagi 264-sonli qarorida belgilangan toʻgaraklarni tashkil etishga ruxsat berilgan. Yozma eksperiment sifatida biz toʻgarak tashkil etish hamda uning auditoriyasini kengaytirish choralarini misollar yordamida oʻrganamiz. Gʻijduvon tuman “Gʻishti” madaniyat markazi misolida. Madaniyat markazida doira toʻgaragini tashkil etish hamda uning auditoriyasini kengaytirish masalalari Gʻijduvon tuman “Gʻishti” madaniyat markazi misolida. Madaniyat markazida doira toʻgaragini tashkil etish hamda uning auditoriyasini kengaytirish masalalari Doira toʻgaragi shunday toʻgarak turlariga kiradiki, uni oʻrtacha oʻrgangan oʻquvchi kelajakda oʻzini-oʻzi moliyalashtirishi mumkin. Doira toʻgaragi shunday toʻgarak turlariga kiradiki, uni oʻrtacha oʻrgangan oʻquvchi kelajakda oʻzini-oʻzi moliyalashtirishi mumkin. -Toʻgarakni tashkil etishdan oldin madaniyat markazi hududi xizmat koʻrsatadigan ijtimoiy soha obyektlari, hovli-joylarda ijtimoiy soʻrovnoma oʻtkazish maqsadga muvofiq. Mazkur ijtimoiy soʻrovnomani sotsiologlar, ishchi guruhlari yoki tuman madaniyat boʻlimi rahbari tomonidan shakllantirilgan boʻlim xodimlaridan iborat guruh tomonidan amalga oshirilsa ham boʻladi. Ishchi guruhi yuqorida qayd etilgan obyektlar soʻrovnoma oʻtkazib, soʻrovnoma yakunida qiziqish bildirgan aholi oʻrtasida mazkur toʻgarakni tashkil etish chorasi koʻriladi. Demak birinchi bosqich bu ishchi guruhi asosida ijtimoiy soʻrovnoma oʻtkazish. -Toʻgarakni tashkil etishdan oldin madaniyat markazi hududi xizmat koʻrsatadigan ijtimoiy soha obyektlari, hovli-joylarda ijtimoiy soʻrovnoma oʻtkazish maqsadga muvofiq. Mazkur ijtimoiy soʻrovnomani sotsiologlar, ishchi guruhlari yoki tuman madaniyat boʻlimi rahbari tomonidan shakllantirilgan boʻlim xodimlaridan iborat guruh tomonidan amalga oshirilsa ham boʻladi. Ishchi guruhi yuqorida qayd etilgan obyektlar soʻrovnoma oʻtkazib, soʻrovnoma yakunida qiziqish bildirgan aholi oʻrtasida mazkur toʻgarakni tashkil etish chorasi koʻriladi. Demak birinchi bosqich bu ishchi guruhi asosida ijtimoiy soʻrovnoma oʻtkazish. -tashkil etilishi lozim boʻlgan toʻgarakga munosib toʻgarak rahbarini ish bilan ta’minlash. Bunda toʻgarak rahbarini markaz direktori alohida sinov bilan ishga qabul qilishini ta’minlashi lozim; Demak, toʻgarak rahbari markaz direktori tavsiyasiga asosan tuman madaniyat boʻlimi rahbari tomonidan ishga qabul qilinadi. -shakllantirilgan guruhdan mazkur toʻgarakda oʻzining iqtidorini hamda qiziqishini namoyon eta olgan ishtirokchilar saralab olinib, ular ta’lim olayotgan umumta’lim maktabida turli konkurs yoki koʻrik-tanlovlarni tashkil etish. Mazkur koʻrik tanlovlarda mahalla faollari, oʻquvchilar (ayniqsa ishtirokchi ta’lim olayotgan guruh), mahalla profilaktika inspektorlarining tomoshabin sifatida ishtirokini ta’minlash maqsadga muvofiq; Demak, tanlovlar tashkil etish jarayonini toʻgarak rahbari muntazam ravishda amalga oshirishi lozim. -tashkil etilgan koʻrik-tanlovlar yoki konkurslarda albatta madaniyat markazi toʻgarak ishtirokchisi amaliy jihatdan ustun keladi. (Istisno tariqasida ishtirokchiga motivatsiya boʻlishi uchun sovrinli oʻrinlardan birini berish zarur;) Savol tugʻilishi mumkin nima uchun mahalla faollari va profilaktika inspektorlarini mazkur tanlovlarda tomoshabin sifatida qatnashtirish lozim? ` BADIIY HAVASKORLIK TOʻGARAKLARINI TASHKIL ETISHNING ZAMONAVIY METODLARI 1. Sh.K.O`rinov 2 Sh Ne`matullayeva Annotatsiya: Mazkur maqolada respublikamizda faoliyat olib borayotgan madaniyat markazlarida badiiy havaskorlik to`garaklarini tashkil etish hamda ularning auditoriyasini kegaytirishning zamonaviy omillari haqida so`z boradi. Kalit so`zlar: havaskorlik, to`garak, jamoa, madaniyat markazi, auditoriya, so`rovnoma, tanlov. Bugun zamon oʻzgarmoqda. Odamlar oʻzgarmoqda. Har bir jarayonga fuqarolar oʻzlarining reaksiyalarini bildirishlari har bir sohani yangicha qiyofaga kiritishga, zamon bilan hamnafas boʻlishga undamoqda. Bu jarayonni toʻliq nazorat qilish har bir rahbar oldida turgan asosiy masala sanaladi. Odamlar bu soha u davlatda bunday, ana bu soha esa bu davlat bunday deya baho berishga moslashishdi. Davlatimiz rahbari Sh.M.Mirziyoyevning “Har bir islohot inson qadri uchun” degan purma’no fikrlari zamirida tub ma’no yotadi. Aynan shu dav’at ham fuqarolarimiz ongiga ijobiy ta’sir eta boshladi. Xususan madaniyat sohasida ham salmoqli natijalarga erishilmoqda. Birgina Madaniyat vazirligi tasarrufidagi madaniyat markazlarining qurilishi borasi oʻtgan 5 yil mobaynida 55%ga oʻsish kuzatildi. Ularda tashkil etilgan toʻgaraklar yoshlarni qamrab olish jarayonlari tobora ortmoqda. Shunday boʻlsada, sohada mamlakatimiz boʻylab sogʻlom raqobat bormoqda. Oʻrtaga savol tashlaydigan boʻlsak, nima uchun madaniyat markazlarida tashkil etilgan toʻgaraklarga yoshlarni jalb etish ancha murakkab jarayonligicha qolmoqda? Yuqorida aytib oʻtganimizdek, davlat byudjet mablagʻlarida qurilish, ta’mirlash ishlari, soha xodimlarining oylik maoshlarini oshirish boʻyicha qonunosti hujjatlar sohaga tatbiq etilayotgan boʻlsada, toʻgaraklarga aholi ayniqsa yoshlarni jalb qilish ancha sust, hamda jalb etish boʻyicha tatbiq etilayotgan metodlar eskicha. Toʻgaraklar ular qamrab olgan auditoriyani ma’lum bir yoʻnalishda tayyorlaydi. Kimdir unda havaskor sifatida kimdir, kelajakda oʻsha yoʻnalish boʻyicha yuqori darajaga erishsa, yana kimdir uchundir boʻsh vaqtni mazmunli tashkil etish uchun tuzilgan ijodiy jamoa sanaladi. Savol tugʻiladi. Nima uchun yoshi katta insonlar qaysidir bir musiqa asbobida ayniqsa rubobda hech boʻlmasa bir kuyni chalishni biladi? Bunga asosiy sabab ularning bolalik davrlarida ayni toʻgaraklar bugungi kundagi metod bilan ishlagan. Bunga misol tariqasida hattoki viloyat hokimlari (Navoiy viloyatining sobiq hokimi Qobil Tursunov), tuman hokimlari (Olot tuman hokimi Nargiza Ne’matovalar) va boshqa soha vakillarini olish mumkin. Bunday misollarni ijtimoiy tarmoqlar koʻp bora guvohi boʻlganmiz. Bugun esa ushbu metod hozir yoshlar uchun eskirgan uslub, ya’ni ularni bu metod bilan jalb etishning iloji yoʻq. Aytishimiz mumkin, bugun zamon oʻzgargan, kompyuter texnologiyalari, android telefon qurilmlari, IT texnologiyalari ularni joyini egalladi. Bir jarayonni yaxshi bilishimiz kerakki, har bir sohaning eng yaxshisi uchungina u sohada non butun boʻladi. Biz shunchaki havaskor sifatida va boʻsh vaqtni mazmunli tashkil etish borasida fikr yuritmoqdamiz. 58 58 ` ` 2. Orinov S. K., Qodirova V. NOMODDIY-MADANIY MEROSNI O’RGANISHDA “AVESTO” NING O’RNI //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 83-86. 3. Orinov S. K. et al. MADANIYAT MARKAZLARI AHOLINING IJODIY QOBILIYATINI SHAKLLANTIRUVCHI OBYEKT SIFATIDA //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 68-72. 2. Orinov S. K., Qodirova V. NOMODDIY-MADANIY MEROSNI O’RGANISHDA “AVESTO” NING O’RNI //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 83-86. 3. Orinov S. K. et al. MADANIYAT MARKAZLARI AHOLINING IJODIY QOBILIYATINI SHAKLLANTIRUVCHI OBYEKT SIFATIDA //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 68-72. 2. Orinov S. K., Qodirova V. NOMODDIY-MADANIY MEROSNI O’RGANISHDA “AVESTO” NING O’RNI //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 83-86. 3. Orinov S. K. et al. MADANIYAT MARKAZLARI AHOLINING IJODIY QOBILIYATINI SHAKLLANTIRUVCHI OBYEKT SIFATIDA //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 68-72. // J J 3. Orinov S. K. et al. MADANIYAT MARKAZLARI AHOLINING IJODIY QOBILIYATINI SHAKLLANTIRUVCHI OBYEKT SIFATIDA //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 68-72. 4. Orinov S. K. et al. MADANIYAT MARKAZLARI FAOLIYATIDA AHOLINING TURLI QATLAMLARIGA DIFFERENSIAL YONDASHUV //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 73-77. 4. Orinov S. K. et al. MADANIYAT MARKAZLARI FAOLIYATIDA AHOLINING TURLI QATLAMLARIGA DIFFERENSIAL YONDASHUV //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 73-77. 5. KOrinov S., Jahongirova N. O'ZBEKISTONDA TEATR FAOLIYATIDA MARKETINGNING RIVOJLANISHI //PEDAGOGS jurnali. – 2023. – Т. 26. – №. 1. – С. 161-162. 5. KOrinov S., Jahongirova N. O'ZBEKISTONDA TEATR FAOLIYATIDA MARKETINGNING RIVOJLANISHI //PEDAGOGS jurnali. – 2023. – Т. 26. – №. 1. – С. 161-162. 6. KOrinov S., Raupova M. BOZOR IQTISODIYOTI SHAROITIDA MUZEYLARNING RIVOJLANISH XUSUSIYATLARI //PEDAGOGS jurnali. – 2023. – Т. 26. – №. 1. – С. 116-118. 6. KOrinov S., Raupova M. BOZOR IQTISODIYOTI SHAROITIDA MUZEYLARNING RIVOJLANISH XUSUSIYATLARI //PEDAGOGS jurnali. – 2023. – Т. 26. – №. 1. – С. 116-118. 7. KOrinov S. et al. NOANANAVIY MAYDON TOMOSHA DRAMATURGIYASIDA INVERSIYA USLUBI, KOMPOZITSION BIRLIK ASOSI //PEDAGOGS jurnali. – 2023. – Т. 26. – №. 1. – С. 113- 115. 8. O‘rinov S. K., Nurilloyeva G. A. TASVIRIY SAN’AT MARKETINGINI RIVOJLANTIRISH MASALALARI //INTERNATIONAL CONFERENCES. – 2023. – Т. 1. – №. 1. – С. 152-156. 9. Davlatova, M. H. (2019). Variability of A spectual Meanings in English. European Journal of Research and Reflection in Educational Science, 7(12.2019), 778-780. 10. Davlatova, M. H. (2020). An Integrative history of Aspectual meanings. JournalNX, 6(04), 17-22. 11. Davlatova, M. H. (2020). Aspectual variability of information culture in the history of the English language. International Journal on Integrated Education, 3(3), 24-28. 12. Davlatova, M. H. (2020). Sabab yosh iqtidorli oʻquvchi uchun maktab rahbari bilan birgalikda mahalla faollari va profilaktika inspektorlari oldida taqdirlanishi oʻziga boʻlga ishonchni oshirishi hamda kelajakda mazkur yoʻnalishda muntazam ravishda ishtirok etib borishiga turtki boʻladi hamda toʻgarak auditoriyasini kengayishiga sabab boʻladi. Shuningdek, profilaktika inspektorlari va mahalla faollarining ham yillik ish rejalaridan biri sifatida kiritilgan. Ushbu tanlovda ishtirok etish ular uchun ham manfaatlidir. Oʻquvchini birinchi koʻrik tanlovda sovrinli oʻrinni egallashi uning oʻzi uchun ham ota-onasi uchun ham ijobiy ta’sir qiladi. Bunday tanlovlar muntazam ravishda yashash manzilida keyinchalik hududiy tanlovlarda ishtirok ettirish mumkin; Demak, toʻgarak “umrini uzaytirish” maqsadida mahalla faollari va profilaktika inspektorlarini jalb qilish zarur. -toʻgarak ishtirokchisi tanlovlarda ishtiroki davomida erishgan yutuqlariga qarab, unga yaqin boʻlgan bolalar ham mazkur toʻgaraklarda ishtirok etish omillarini oshiradi; Toʻgarak auditoriyasini maqsadli kengaytirish uchun iqtidorli ishtirokchilari bilan individual ravishda ishlash kerak. 59 59 ` -Oʻquvchi erishgan bilim va koʻnikmalari asosida toʻgarakni yaxshi natijalar bilan tamomlagandan soʻng, albatta u istiqomat qiladigan hudud yoki borinki uzoqroq hududlarda ijod qilayotgan san’atkorlar oʻquvchiga haq evaziga turli marosimlar, toʻy-tantalarga jalb qilish holatlari amaliyotda isbotlangan. Bu esa oʻquvchiga xalq tilida “yoshligidan oʻz aravasini oʻzi tortdi” degan naqlga yaqqol dalil desak mubolagʻa boʻlmaydi. Yuqorida qayd etilgan kriteriyalar asosida havaskorlik toʻgaraklarini zamonaviy metodlari qoʻllanilishi mumkin. Oʻz navbatida mazkur toʻgaraklar oʻquvchilarni boʻsh vaqtini samarali tashkil etishni oʻziga namoyon qilibgina qolmay, oʻquvchini madaniyat va san’atga boʻlgan qiziqishi oshirishga xizmat qiladi. Davlatimiz rahbari Sh.M.Mirziyoyevning 2019 yilda ilgari surgan beshta muhim tashabbusning birinchisida ana shunday maqsad yotadi desak mubolagʻa boʻlmaydi. References: 1. Urinov S. K., Rakhmatova M. The role of culture and art of uzbekistan on a global scale //Web of Scientist: International Scientific Research Journal. – 2022. – Т. 3. – №. 4. – С. 370- 376 1. Urinov S. K., Rakhmatova M. The role of culture and art of uzbekistan on a global scale //Web of Scientist: International Scientific Research Journal. – 2022. – Т. 3. – №. 4. – С. 370- 376. 1. Urinov S. K., Rakhmatova M. The role of culture and art of uzbekistan on a global scale //Web of Scientist: International Scientific Research Journal. – 2022. – Т. 3. – №. 4. – С. 370- 376. 2. Orinov S. K., Qodirova V. NOMODDIY-MADANIY MEROSNI O’RGANISHDA “AVESTO” NING O’RNI //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 83-86. 3. Orinov S. K. et al. MADANIYAT MARKAZLARI AHOLINING IJODIY QOBILIYATINI SHAKLLANTIRUVCHI OBYEKT SIFATIDA //TA'LIM VA RIVOJLANISH TAHLILI ONLAYN ILMIY JURNALI. – 2022. – С. 68-72. Lexico-semantic Structure and Its Analysis on the Example of Verbs. JournalNX, 6(06), 189-192. 13. Davlatova, M. H. Relation of lexical-semantic structure of verbs in the linguistic essence. IEJRD-International Multidisciplinary Journal, 6(5). 60 ` ` 14. Hasanovna, D. M. (2021). SEMANTIC IMPLEMENTATION OF RESULTUTIVE STRUCTURES. METHODS, 7(6). 15. Давлатова, М. Х. (2015). The role of songs in learning English. Молодой ученый, (10), 1145-1147. 16. Hasanovna, D. M. (2021). DIFFERENT ASPECTS OF RESULTATIVE STRUCTURES ACCORDING TO THEIR LINGUISTIC ESSENCE. Academicia Globe: Inderscience Research, 2 (05), 475–479. 17. Давлатова, М. Х. (2017). Этапы работы с видеотекстами на занятиях Английского языка. Интернаука, (9-2), 16-19. 18. Давлатова, М. Х. (2015). The role of songs in learning English. Молодой ученый, (10), 1145-1147. 19. Khajieva, F. (2020). Genesis and development of stylistic devices classifications. Philology Matters, 2020(3), 30-38. 20. Khajieva, F. M. (2019). Kendjayeva Gulrukh Fatilloyevna STUDY OF STYLISTIC LEXICOLOGY (2019). TEST Engineering and Management, USA, 4162-4169. 21. Khajieva, F. (2016). The diversity of Viewpoints in Jay Parini’s novel. In The Last Station””//“World Science” International Scientific and Practical Conference. UAE Ajman (p. 57). 22. Melsovna, K. F. (2021). Cosmopolitanism throgh intertextual devices in the postmodern biographical novel. ACADEMICIA: An International Multidisciplinary Research Journal, 11(11), 156-161. 23. Хажиева, Ф. М. (2019). The manifestation and the function of epistolary technique in the biographical novel “The Last Station” by Jay Parini. Проблемы и достижения современной науки, (1), 71-73. 24. Хажиева, Ф. М. (2022). Поэтика ва риторика бинар оппозицияда. Integration of Pragmalinguistics, Functional Translation Studies and Language Teaching Processes, 193-196. 25. Khajieva, F. (2021). CONCEPTUAL FRAMEWORK OF ALLUSIONS IN THE NOVEL “THE MOOR’S ACCOUNT” BY LAYLA LALAMI. Збірник наукових праць SCIENTIA. 26. Хажиева, Ф. М. (2021). ЖЕЙ ПАРИНИ ИЖОДИДА БИОГРАФИК РОМАН КОНЦЕПЦИЯСИ. МЕЖДУНАРОДНЫЙ ЖУРНАЛ ИСКУССТВО СЛОВА, 4(1-2). 27. Khajieva, F. M., & Fatilloyevna, K. G. (2019). Study of Stylistic Lexicology. 28. Khajieva, F. M. (2018). EPISTOLARY TECHNIQUE IN THE BIOGRAPHICAL NOVEL «AVICENNA» BY MAQSUD QORIYEV. ББК 1 Р76, 27. 29. Hasanovna, D. M. (2019). VARIABILITY OF ASPECTUAL MEANINGS IN ENGLISH. European Journal of Research and Reflection in Educational Sciences, 7. 30. Hasanovna, D. M. (2021). Linguistic and cognitive features of performing effective actions. World Bulletin of Social Sciences, 3(10), 41-44. 31. Давлатова, М. Х. (2018). РАБОТА НАД ВИДЕОТЕКСТОМ НА ЗАНЯТИЯХ АНГЛИЙСКОГО ЯЗЫКА. Теория и практика современной науки, (4), 242-246. 32. Давлатова, М. (2020). ASPECTUAL AND LEXICO-SEMANTIC CLASSIFICATION OF VERBS. Сўз санъати халқаро журнали, 1. 61
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COVID-19: it is time to balance infection management and person-centered care to maintain mental health of people living in German nursing homes
International psychogeriatrics
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Current consequences for nursing home care in Germany Due to this particular vulnerability and the simulta- neously increased lethality of COVID-19 for old and chronically ill people, the recently introduced infec- tion control measures for German nursing homes are particularly restrictive. The introduction of regional, state, and federal regulations to protect residents from an infection has led to bans on leaving and visiting nursing homes (State Government of North Rhine-Westphalia, 2020). Since mid-March, the doors have been closed to relatives and residents alike. This means that relatives or friends cannot visit residents, and residents cannot leave the nurs- ing home property. With few exceptions, these restrictive rules also apply to health professionals, for example, physicians, physiotherapists or speech therapists, and service providers such as hairdressers who are not part of the regular nursing home staff in Germany. Moreover, group-based social activities are often cancelled completely due to the inability to guarantee a safety distance of 1.5–2 m between persons according to the size of the room, the cognitive abilities of the residents, and/or residents’ behavior (e.g. wandering). This also applies to meals that were previously shared together. Although the validity of these early data must be questioned, it does indicate that nursing home residents are a particularly vulnerable group. In Germany, approximately 818,000 people live in 14,500 nursing homes (Bundesamt, 2017). Nursing home-specific data for COVID-19 infections and deaths are not available, as in Germany data are reported for nursing homes together with other institutions such as homes for disabled and depen- dent persons, shelters for homeless people, collec- tive accommodation for asylum seekers, and prisons. In these populations, available data show N = 10,040 COVID-19 cases, representing approx- imately 7% of all infections in Germany. Signifi- cantly, 1,806 (18%) of these people died, which is 30% of all COVID-19 related deaths (Robert Koch Institut, 2020). COVID-19 in Germany Globally, the number of people infected with COVID-19 is still increasing. With currently more than 160,000 confirmed cases, Germany ranks sixth worldwide behind the USA, Spain, Italy, France, and the United Kingdom (John Hopkins University, 2020). Severe courses of COVID-19 with increased mortality are particularly evident in elderly people and those with chronic diseases like hypertension, diabetes, or coronary heart disease (Wang et al., 2020a; Zhou et al., 2020). People living in nursing homes seem to be at a particularly high risk of dying from COVID-19. Between 33% and 65% of all people who died from COVID-19 were nursing home resi- dents in various European countries (Comas-Herrera et al., 2020). C O M M E N T A R Y COVID-19: it is time to balance infection management and person-centered care to maintain mental health of people living in German nursing homes immobility) (Stone, 2017), hearing and vision impairment and cognitive impairment. Moreover, there are risk factors at the institutional level that favor infectious diseases in nursing homes. These factors are staff shortage, sharing bathroom facilities, mutual social activities, and low preparedness for infection control (Davidson and Szanton, 2020). In addition, in Germany as in many other countries, there is a shortage of urgently needed personal pro- tective equipment for nursing home staff, including masks and gowns. International Psychogeriatrics: page 1 of 4 © International Psychogeriatric Association 2020. ThisisanOpen Access article,distributedunder the terms of the Creative Commons Attribution licence (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted re-use, distribution, and reproduction in any medium, provided the original work is properly cited. doi:10.1017/S1041610220000897 International Psychogeriatrics: page 1 of 4 © International Psychogeriatric Association 2020. ThisisanOpen Access article,distributedunder the terms of the Creative Commons Attribution licence (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted re-use, distribution, and reproduction in any medium, provided the original work is properly cited. doi:10.1017/S1041610220000897 Person-centered care during COVID-19 pandemic conditions Nursing homes in Germany are usually well occupied, although there are still some facilities that have twin rooms. Therefore, these requirements can only be implemented by separating residents from everything they are used to: their personal rooms, trusted cohabitants, trusted caregivers as well as their normal daily structure and activities. If on one side of a care continuum there are restric- tions and social isolation measures, on the other side of the continuum there is person-centered care. This can be defined as a holistic approach to care in a respectful and individualized manner, including how care is negotiated, and offering a choice through a therapeutic relationship. Here, residents are empowered to be involved in health decisions as desired by the individual (Morgan and Yoder, 2012). The ban on visits for nursing homes represents a serious restriction on residents’ rights to self- determination. Thus, it is currently not possible to have personal contact with relatives, friends, and spouses who do not live in the same nursing home. Possibilities for sharing personal fears (e.g. concerning the current situation) and worries and for talking about everyday topics are reduced to telephone or video calls. Apart from direct contacts, any support that residents have received previously from relatives and friends is no longer possible, for example, company during walks outside, reading aloud newspaper articles or books, purchasing food and drinks as well as physical closeness (e.g. a hug, holding of hands). Assistance at mealtimes, skin and hair care or, for instance, massaging an aching shoulder by relatives is currently not allowed. In addition, relatives and friends are missed as advocates, translators, and communicators of resi- dents’ needs. In spite of the current restrictive infection control measures, the principles of person-centered care must be implemented in nursing home care. There- fore, infection management and person-centered care have to be weighed carefully in order to main- tain the residents’ social participation, mental health, and quality of life. Nursing home residents need comprehensive information about the COVID-19 pandemic and the resulting infection control measures. Based on this information, residents and caregivers have to negotiate the implementation of infection manage- ment measures and to deal with the need for the provision of person-centered care under the current circumstances. Moreover, several additional inter- ventions are needed in order to reduce social isolation and its negative consequences for residents. 2 Commentary isolation unit in addition to a regular care unit. These units must be separated both spatially and in terms of personnel, irrespective of the basic unit and personnel team structure of the facility. People without a suspected or confirmed SARS-CoV-2 infection are cared for in the regular care unit. Residents recently admitted from hospital or home must be cared for in the quarantine unit for at least 14 days. Residents with a confirmed COVID-19 infection have to be cared for in the isolation unit (Ministry of Labour Health and Social Affairs Northrhine-Westphalia, 2020). visiting restrictions are highlighted by the fact that relatives and friends can no longer attend even dying residents. The number of people who feel lonely and depressed is already very high under normal condi- tions with 30% of nursing home residents with acute depression (Kramer et al., 2009) and 50–55% experiencing loneliness (Drageset et al., 2011; Nyq- vist et al., 2013). Loneliness is associated with an array of health problems such as hypertension, car- diovascular disease, cognitive decline, depression, and early mortality (Gerst-Emerson and Jayaward- hana, 2015). Moreover, social isolation is associated with an increased memory decline (Read et al., 2020). It can therefore be assumed that the current infection control measures clearly have negative consequences, especially for a resident’s mental health status as a result of social isolation. In cases where people with cognitive impairment (e.g. dementia) and challenging behavior need to be isolated, this is usually done in a separate unit or room (e.g. in the rooms of a closed day care facility which can be a subsidiary facility of a nursing home) and often with a caregiver who is then responsible only for that particular resident. In times of staff shortages, such cases are a great challenge for nurs- ing home care. Vulnerability of people living in nursing homes to infectious diseases Older people living in nursing homes are particu- larly vulnerable to infectious diseases such as COVID-19. The reasons for this are compromised physiological barriers (e.g. skin breakdown, use of catheters), immunosuppression, malnutrition, dehy- dration, functional impairments (e.g. incontinence, Depending on the federal state, further restric- tions such as admission bans have been implemen- ted. In North Rhine-Westphalia, Germany’s most populous state, new residents can still be admitted, but nursing homes have to provide a quarantine and 2 Commentary Person-centered care during COVID-19 pandemic conditions Resi- dents must have assistance when making telephone and/or video calls with their relatives and friends. Individual social activities must be offered more often by caregivers, and group-based social activities should be provided as long as the defined safety distance between the participants can be complied with (in Germany 1.5–2m). If room sizes are limited, This is particularly dramatic as the nursing home residents often have a limited life expectancy; approximately 20% die within 12 months (Vetrano et al., 2018). Moreover, between 70% and 80% of nursing home residents are affected by dementia (Helvik et al., 2015; Rothgang, 2010), a life-limiting disease requiring palliative care (van der Steen et al., 2014). The dramatic consequences of the current Commentary 3 for nursing homes in order to enable a maximum of social participation and quality of life even under COVID-19 pandemic conditions (AWMF, 2020). We are writing this commentary at a moment, when the impact of the COVID-19 pandemic devel- ops around us daily. Just now, we can only rely on anecdotal knowledge about the current care situa- tion in nursing homes. Empirical studies are urgently needed to learn more about the situation of nursing home residents, their caregivers and relatives for this and especially for future pandemics. Moreover, we agree with the position of the German Network for Evidence-based Medicine that have recently called for a clinical–epidemiological data- base to be created by systematic testing, systematic documentation, and – most importantly – meaning- ful research concerning care models for pandemic situations that allow for a maximum of protection with a minimum of freedom restrictions (German network for evidence-based medicine, 2020). group sizes must be reduced accordingly. Despite limited personnel resources, residents must be given the opportunity to walk or spend time outdoors and there must be opportunities for relatives and residents to see and talk to each other, in compliance with the infection management regulations. for nursing homes in order to enable a maximum of social participation and quality of life even under COVID-19 pandemic conditions (AWMF, 2020). p ( , ) We are writing this commentary at a moment, when the impact of the COVID-19 pandemic devel- ops around us daily. Just now, we can only rely on anecdotal knowledge about the current care situa- tion in nursing homes. Person-centered care during COVID-19 pandemic conditions Empirical studies are urgently needed to learn more about the situation of nursing home residents, their caregivers and relatives for this and especially for future pandemics. Moreover, we agree with the position of the German Network for Evidence-based Medicine that have recently called for a clinical–epidemiological data- base to be created by systematic testing, systematic documentation, and – most importantly – meaning- ful research concerning care models for pandemic situations that allow for a maximum of protection with a minimum of freedom restrictions (German network for evidence-based medicine, 2020). Nurses must focus especially on detecting symp- toms of COVID-19 but also pay attention to the mental health problems of the residents. For this, it is essential to have interaction with the residents and to actively manage the care relationship in spite of face masks and perhaps other personal protective equipment. A reduced contact time between care- givers and residents, as is known, for example for contact isolated intensive care patients (Kirkland and Weinstein, 1999), must be avoided. If mental health problems are identified, interventions to provide mental health and psychosocial support must be examined and implemented (Wang et al., 2020b). In addition, personal end-of-life care must be guaranteed. For this purpose, personal protective equipment and comprehensive information, if pos- sible for the resident and his/her relatives and friends, are necessary. MARTIN N. DICHTER, MARCO SANDER, SWANTJE SEISMANN-PETERSEN AND SASCHA KÖPKE Institute of Nursing Science, Medical Faculty, University of Cologne, Cologne, Germany Email: Martin.Dichter@uk-koeln.de MARTIN N. DICHTER, MARCO SANDER, SWANTJE SEISMANN-PETERSEN AND SASCHA KÖPKE Institute of Nursing Science, Medical Faculty, University of Cologne, Cologne, Germany Email: Martin.Dichter@uk-koeln.de 4 Commentary Davidson, P. M. and Szanton, S. L. (2020). Nursing homes and COVID-19: we can and should do better. Journal of Clinical Nursing. doi: 10.1111/jocn.15297. /asset/document/coronaaufnahmevo_final_0.pdf; last accessed 28 April 2020 Morgan, S. and Yoder, L. H. (2012). A concept analysis of person-centered care. Journal of Holistic Nursing, 30, 6–15. Drageset, J., Kirkevold, M. and Espehaug, B. (2011). Loneliness and social support among nursing home residents without cognitive impairment: a questionnaire survey. The International Journal of Nursing Studies, 48, 611–619. Nyqvist, F., Cattan, M., Andersson, L., Forsman, A. K. and Gustafson, Y. (2013). Social capital and loneliness among the very old living at home and in institutional settings: a comparative study. Journal of Aging and Health, 25, 1013–1035. German Network for Evidence-Based Medicine. (2020). Corona virus in our nursing homes – an evidence-free drama in three acts. [Corona-Virus in unseren Pflegeheimen – ein evidenzfreies Drama in drei Akten]. Available at: https:// www.ebm-netzwerk.de/de/veroeffentlichungen/ nachrichten/corona-virus-in-unseren-pflegeheimen-ein- evidenzfreies-drama-in-drei-akten; last accessed 28 April 2020. Read, S., Comas-Herrera, A. and Grundy, E. (2020). Social isolation and memory decline in later-life. The Journals of Gerontology. Series B, Psychological Sciences and Social Sciences, 75, 367–376. Robert Koch Institut. (2020). Täglicher Lagebericht des RKI zur Coronavirus-Krankheit-2019 (COVID-19) [online], 24 April 2020 – Aktualisierter Stand für Deutschland. Available at: https://www.rki.de/DE/Content/ InfAZ/N/Neuartiges_Coronavirus/Situationsberichte/ 2020-04-24-de.pdf?__blob=publicationFile; last accessed 25 April 2020. Gerst-Emerson, K. and Jayawardhana, J. (2015). Loneliness as a public health issue: the impact of loneliness on health care utilization among older adults. American Journal of Public Health, 105, 1013–1019. Rothgang, H. (2010). Barmer GEK Pflegereport. Augustin: Asgard Verlag. Helvik, A. S., Engedal, K., Benth, J. S. and Selbaek, G. (2015). Prevalence and severity of dementia in nursing home residents. Dementia and Geriatric Cognitive Disorders, 40, 166–177. State Government of North Rhine-Westphalia. (2020). Regulation against new infections with the corona virus SARS-CoV-2 (Corona protection regulation) [online] [Verordnung zum Schutz vor Neuinfizierungen mit dem Coronavirus SARS-CoV-2 (Coronaschutzverordnung – CoronaSchVO)]. Available at: https://www.land.nrw/sites /default/files/asset/document/stk_verordnung_24.04.2020 .pdf; last accessed 28 April 2020. John Hopkins University. (2020). COVID-19 dashboard by the Center for Systems Science and Engineering (CSSE) at Johns Hopkins University (JHU). Available at: https://coronavirus.jhu.edu/map.html; last accessed 25 April 2020. Kirkland, K. B. and Weinstein, J. M. (1999). Adverse effects of contact isolation. Lancet, 354, 1177–1178. Stone, P. W. (2017). Integration of infection management and palliative care in nursing homes: an understudied issue. Research in Gerontological Nursing, 10, 199–204. Kramer, D., Allgaier, A. K., Fejtkova, S., Mergl, R. References The reported figures from official statistics as well as recent research show the widespread transmission of SARS-CoV-2 and the high lethality of COVID-19 in nursing home residents (Arons et al., 2020). More- over, more than half of the residents with a positive COVID-19 diagnosis are asymptomatic at the time of testing. These asymptomatic cases very likely contribute to the transmission of the virus. There- fore, broad and frequent testing of all nursing home residents and their caregivers is recommended (Arons et al., 2020; Centers for Disease Control and Prevention, 2020). In addition, sufficient per- sonal protective equipment is needed for nursing home staff and also for relatives and friends of residents. The measures seem to be of utmost importance as a basis to reduce the spreading of the SARS-CoV-2 virus and to reopen nursing homes for visits by residents’ relatives and friends. Arons, M. M. et al. (2020). Presymptomatic SARS-CoV-2 infections and transmission in a skilled nursing facility. The New England Journal of Medicine. doi: 10.1056 /NEJMoa2008457. AWMF. (2020). Social participation and quality of life in residential care for the elderly under the conditions of the Covid-19 pandemic. Available at: https://www.awmf.org/ leitlinien/detail/anmeldung/1/ll/184-001.html; last accessed 28 April 2020. Bundesamt, S. (2017). Care statistics: nursing care within the framework of the German long-term care insurance German [online]. Care statistics. Available at: https://www .destatis.de/DE/Themen/Gesellschaft-Umwelt/Gesundheit /Pflege/Publikationen/Downloads-Pflege/pflege-deuts chlandergebnisse-5224001179004.pdf?__blob= publicationFile; last accessed 24 April 2020. Centers for Disease Control and Prevention. (2020). Discontinuation of transmission-based precautions and disposition of patients with COVID-19 in healthcare settings (interim guidance). Available at: https:// www .cdc .gov/ coronavirus/ 2019 - ncov/ hcp/ disposition - hospitalized - patients .html; last accessed 25 April 2020. Sensible intermediate steps are needed to allow for the implementation of these measures. Under the impact of the infection management regulations and their serious consequences for the social partic- ipation of nursing home residents, a group of re- searchers and practitioners are currently working on an expert-based guideline for Germany coordinated by the German Society of Nursing Science (DGP). This guideline is intended to offer recommendations Comas-Herrera, A., Zalakain, J., Litwin, C. and Hsu, A. (2020). Mortality associated with COVID-19 outbreaks in care homes: early international evidence [online]. Available at: https://ltccovid.org/2020/04/12/mortality- associated-with-covid-19-outbreaks-in-care-homes-early- international-evidence/; last accessed 25 April 2020. 4 Commentary 4 Commentary and Hegerl, U. (2009). Depression in nursing homes: prevalence, recognition, and treatment. The International Journal of Psychiatry in Medicine, 39, 345–358. van der Steen, J. T. et al. (2014). White paper defining optimal palliative care in older people with dementia: a Delphi study and recommendations from the European Association for Palliative Care. Palliative Medicine, 28, 197–209. Ministry of Labour Health and Social Affairs Northrhine-Westphalia. (2020). Ordinance on the regulation of new admissions and readmissions to nursing homes and respite care facilities and special forms of housing for people with disabilities, including short-term housing facilities for integration assistance to prevent the further spread of SARS-CoV-2 (Corona-AufnahmeVO) [online]. [Verordnung zur Regelung von Neu- und Wiederaufnahmen in vollstationären Dauer- und Kurzzeitpflegeeinrichtungen sowie besonderen Wohnformen für Menschen mit Behinderungen einschließlich Kurzzeitwohneinrichtungen der Eingliederungshilfe zur Verhinderung der weiteren Ausbreitung von SARS-CoV-2 (CoronaAufnahmeVO)]. Available at: https://www.mags.nrw/sites/default/files Vetrano, D. L. et al. (2018). Health determinants and survival in nursing home residents in Europe: Results from the SHELTER study. Maturitas, 107, 19–25. Wang, D. et al. (2020a). Clinical characteristics of 138 hospitalized patients with 2019 novel coronavirus-infected pneumonia in Wuhan, China. JAMA, 323, 1061–1069. Wang, H. et al. (2020b). Dementia care during COVID-19. Lancet, 395, 1190–1191. Zhou, F. et al. (2020). Clinical course and risk factors for mortality of adult in patients with COVID-19 in Wuhan, China: a retrospective cohort study. Lancet, 395, 1054–1062.
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Pull processes in health care: a systematic literature review
Gestão & produção
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(PT-BR) - Processos puxados em saúde: uma revisão sistemática da literatura Rafael Consentino de la Vega1,2 , Gustavo Oliveira Pinto1,3 , Fatima Faria Ribeiro1 , 1 1Universidade do Estado do Rio de Janeiro – UERJ, Departamento de Engenharia Industrial, Faculdade de Engenharia, Laboratório de Engenharia e Gestão em Saúde, Rio de Janeiro, RJ, Brasil. E-mail: delavega@poli.ufrj.br; gustavop@id.uff.br; fatimafariarb@gmail.com; thaisspiegel@gmail.com 2Departamento de Engenharia Industrial, Escola Politécnica, Universidade Federal do Rio de Janeiro – UFRJ, Rio de Janeiro, RJ, Brasil. 3Universidade Federal Fluminense – UFF, Escola de Engenharia, Programa de Pós-Graduação em Engenharia Civil, Niterói, RJ, Brasil. How to cite: De la Vega, R. C., Pinto, G. O., Ribeiro, F. F., & Spiegel, T. (2022). Pull processes in health care: a systematic literature review. Gestão & Produção, 29, e1921. http://doi.org/101590/1806- 9649-2022v29e1921 Abstract: The lean production paradigm was first adopted by the automobile industry and has been progressively adapted and adopted by several other sectors. Health services are, in general, co-created by users. This poses a logical challenge when applying one of the principles of the lean production paradigm: the establishment of pulled processes. This article investigates how pull processes have been adapted for lean production in healthcare (lean healthcare). A bibliometric analysis of 267 articles on lean healthcare research, published between 2004 and 2021, is presented in this article. A qualitative review of 233 articles is also presented. Most articles presented in this study were published after 2012, and publications and citations are primarily from the US, Brazil, and the UK. 39 articles pertain to an application of the concept, but most of the articles refer to pulling intermediate products, which are not subject to the aforementioned logical challenge. Only 8 articles effectively discuss the pulling of the flow of users. The main conclusion is that pulling has a distinct objective when applied to health care: the goal is not exactly the elimination of queues (the equivalents of intermediate stocks) but the elimination of idleness in downstream resources with limited capacity. Keywords: Lean production; Lean healthcare; Pulled process; Kanban; Literature review; Bibliometrics. Resumo: O paradigma da produção enxuta (lean production) surge na indústria automobilística, mas é progressivamente adaptado e adotado por outros setores. Serviços de saúde são, em geral, cocriados pelo usuário, o que impõe uma dificuldade lógica na aplicação de um dos princípios desse paradigma: o estabelecimento de processos puxados. Este artigo investiga como processos puxados têm sido aplicados nas adaptações da produção enxuta para o setor de saúde (lean healthcare). 1 Introduction In the Toyota Production System, the paradigm of “lean thinking” was incorporated to eliminate the various types of waste in the production processes (Womack & Jones, 2013). Womack & Jones (2013) define five principles for lean production: (i) the specification of what is perceived as value by the customer; (ii) the identification of the value stream, i.e., the sequence of activities responsible for adding the specified value (and also the activities that do not add value); (iii) the organization of production activities to keep the flow of materials active even between different departments; (iv) the establishment of a pull production, which will be described in detail in later sections; and (v) continuous improvement. The establishment of pull production is related to one of the main principles of the practical operationalization of lean production. Pull production refers to a change in the way information is exchanged about when and how tasks should be performed at each position. Therefore, lean production is a paradigm of production planning and control (PCP) and can be treated as an alternative to existing pushed production paradigms, for example, the PCP method proposed by MRP II (manufacturing resources planning). p p p y ( g p g) The programming logic of MRP II first estimates the final product sales to be conducted over the programming time horizon. Subsequently, the final product sales are transformed into purchase or production orders of each component, considering a set of parameters. This production paradigm tends to be lenient with inventories used as buffers for any unforeseen events in the production process, preventing production line activities from being interrupted (Slack et al., 2009). Inventories, however, are considered waste in the lean production paradigm. Lean manufacturing is a partial solution to this problem. In lean manufacturing, the production lines are organized as a pull process. Two underlying steps, the output of the upstream step and the input of the downstream step, in a production line are connected by the intermediate product flowing between them. Ideally, in pull production, the upstream step produces the intermediate product not because a centralized system has issued a production order but because the immediate downstream step has signaled that it will need the product to start its activities. Ideally, the starting point of production as a whole is the arrival of a customer order. (PT-BR) - Processos puxados em saúde: uma revisão sistemática da literatura Foi realizada uma análise bibliométrica de 267 documentos publicados entre 2004 e 2021 e também uma revisão qualitativa dos 233 documentos cujos Received Mar. 12, 2021 - Accepted July 7, 2021 This is an Open Access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Gestão & Produção, 29, e1921, 2022 | https://doi.org/10.1590/1806-9649-2022v29e1921 1/28 Pull processes in health care... textos completos foram localizados. A quantidade de documentos cresce a partir de 2012, com concentração de publicações e citações nos EUA, Brasil e Reino Unido. São 39 os textos que apresentam uma aplicação do conceito, mas a maior parte trata de puxar o fluxo de produtos intermediários, não sujeitos ao desafio lógico em questão. Apenas oito textos tratam efetivamente de puxar o fluxo de usuários. A principal conclusão é que puxar processos aparenta ter um objetivo distinto quando aplicado no fluxo de usuários em saúde: o objetivo seria menos a eliminação de filas (equivalentes a estoques intermediários), mas sobretudo a eliminação de ociosidade em recursos de capacidade limitada a jusante. Palavras-chave: Produção enxuta aplicada à saúde; Processo puxado; Kanban; Revisão da literatura; Bibliometria. 1 Introduction However, in lean manufacturing, all production is carried out only when necessary, and therefore, this paradigm is known as just in time. Furthermore, information about what to produce and when to start the production is transmitted along the value stream, in the opposite direction from the goods, instead of being calculated in a centralized system and transmitted from there to all stages (Slack et al., 2009). Gestão & Produção, 29, e1921, 2022 2/28 Pull processes in health care... In pull processes, communication about what is to be produced is not carried out by a centralized planner. Instead, visual signals are used by a process step to signal the upstream step that production needs to be triggered. This signaling is called kanban and can take different formats (Shingo, 1996). For example, small batches of intermediate products can be arranged in different boxes. Once they are used, the box is returned empty, signaling that it must be replenished. Kanban can even be cards, essentially replicating the traditional production order format, but with the crucial difference that they are passed from step to step and not from the end of the production line to the beginning. Although lean production was first adopted by the automotive sector, the principles and tools of lean production have been applied in other sectors, including healthcare. For example, Womack et al. (2005) reported some possible applications, which require adaptation of the lean production concepts, including pull processes (Lima et al., 2021; Augusto & Tortorella, 2019; Hallam & Contreras, 2018; Al-Balushi et al., 2014). Womack et al. (2005) refer to pulled processes as patients' “expressed needs.” However, some challenges to the adoption of lean processes persist, for example, in the stricto sensu adoption of the logic of pull processes in a health unit. Services such as healthcare are co-created by the customer; in this case, the user of the health unit. Ideally, in pull operation, the arrival of an order triggers the activity of the last production line position, which, upon performing its tasks, signals the previous production line position that it should be activated, and so on. However, a process that is co-created by the customers depends on the passage of the customer through the chain. A specific position can only be activated if the customer has already passed through the previous positions. 1 Introduction Therefore, co-created services would always work as push processes in terms of the communication between the posts. In this type of sector, the implementation of the pull logic is restricted to intermediate materials. Therefore, to address the aforementioned restrictions, we performed a comprehensive analysis of when and how the concept of the pull process has been applied in the adaptations of lean production for the healthcare sector (lean healthcare). We conducted a bibliometric study and literature review, whose methods are presented in section 2. Section 3 presents the bibliometric study on 267 articles published between 2004 and 2021. In section 4, the results of the systematic literature review (SLR) on 233 articles and the resulting discussions are presented. Finally, section 5 concludes the article. 2 Method for selection and analysis of articles In this section, the initial survey of the articles and the selection filters applied are detailed. General characteristics of the sample texts used in the review are also identified. The literature review is usually an initial step in research, which allows the researcher to map the previous developments and existing knowledge of an area of study (Mian et al 2005) In contrast a systematic review incorporates systematic rigorous explicit and In this section, the initial survey of the articles and the selection filters applied are detailed. General characteristics of the sample texts used in the review are also identified. The literature review is usually an initial step in research, which allows the researcher to map the previous developments and existing knowledge of an area of study (Mian et al., 2005). In contrast, a systematic review incorporates systematic, rigorous, explicit, and responsible methods through three main activities: mapping of the research, systematic critical appraisal, and synthesization of the findings (Gough et al., 2012). Similar to qualitative structured literature reviews, bibliometric research introduces a measure of objectivity in the evaluation of scientific literature, with the potential to increase rigor and mitigate researcher bias through a systematic, transparent and reproducible review process (Zupic & Čater, 2015). Bibliometrics has two main procedures: performance analysis, which aims to evaluate the activities of the authors, 3/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... universities, departments, and researchers; and the scientific map, which is used to represent the cognitive structure of a field of research (Cobo et al., 2011). The first step of the literature search is selecting the database according to the research protocol (Thomé et al., 2016). The most common databases used for literature search are Web of Science, by Thomson Reuters, and Scopus, by Elsevier (Chadegani et al., 2013). The samples used in this review were obtained from searches in Scopus and Web of Science conducted in May 2021. The initial search revealed that the spellings “lean healthcare” and “lean health care” were commonly used in the existing literature. Thus, the searches were performed with the keyword set to “lean healthcare” and “lean health care.” The use of the term lean healthcare helps in restricting the search to results that are related to the theme; approximately 1% of the results were identified as false positives. 2 Method for selection and analysis of articles In the Scopus database, the terms were searched in title, abstract, and keywords, and in the Web of Science, the terms were searched in Topic, which performs the search in title, abstract, author's keywords, and KeyWords Plus. Figure 1 presents the flowchart of the selection process of the articles used in this research, adapted from the PRISMA protocol (protocol for selecting report items for systematic reviews and meta-analyses), as suggested by Moher et al. (2015). Figure 1. Flowchart of the document selection process used in this research adapted from the PRISMA protocol. Source: The authors (2021). Figure 1. Flowchart of the document selection process used in this research adapted from the PRISMA protocol. Source: The authors (2021). Gestão & Produção, 29, e1921, 2022 4/28 Pull processes in health care... Pull processes in health care... The search in Scopus and Web of Science returned 264 and 152 entries, respectively, of which 132 were in both databases, resulting in an initial total of 284 articles. An initial filter that involved a title and abstract analysis was applied, and 3 articles were excluded because they were not relevant to the research. During the analysis of the type of document, 2 complete books and 11 introductory articles of congresses, periodicals, and editorials were also excluded, thereby leaving 268 articles. Subsequently, only the English, Spanish, French, and German articles were maintained, and 1 article in Danish was excluded. After these selection processes, 267 articles were kept, and their metadata was used in the bibliometric analysis presented in section 3. Of these, 233 were complete articles and were effectively used for the literature review and qualitative synthesis, both presented in section 4. In addition to the 233 articles from the database searches, 3 other texts were included in the final stage of the qualitative analysis of the literature review by snowball sampling, in which a search for other relevant works was conducted based on the references of the articles selected for analysis (Greenhalgh & Peacock, 2005). 3 Bibliometric analysis Bibliometrics provide more objective analyses, using tools that describe the current state of various domains of human activity related to science, which is essential not only for research but also for the formulation of policies and practices (Aria & Cuccurullo, 2017). Bibliometrics enable the quantitative evaluation of information about selected publications and thus present the evolution of research in a given field of knowledge. The bibliometric analysis was performed in the R language (Oliveira et al., 2018), using the bibliometrix library, which was developed to perform scientific mapping analysis (Aria & Cuccurullo, 2017). Similarly, the packages countrycode, tidyverse, dplyr, and googleVis were also used. All packages are freely available for RStudio, an integrated development environment for the R language. This article summarizes quantitative data, such as the evolution of publications over the years, the list of the most productive authors, the most cited articles, and the journals that published the most types of articles, from the sample of 267 articles analyzed. It also presents analyses of the places of publications and frequency of citations per country. The chronological distribution of publications is shown in Figure 2. In the number of articles published between 2004 and 2021, there was a significant increase in 2012 and peaks in 2015 and 2020. Between 2015 and 2021, 185 articles were published, corresponding to 69.3% of the total number of articles published. Of the 267 publications in the sample, 174 (65.2%) articles were published in periodicals, 71 (26.6%) were published in congresses. However, apart from articles, there are 14 book chapters, 3 letters, 2 notes, 1 editorial, 1 meeting abstract, and 1 short survey in the sample. Regarding the language of the publications, 258 (96.6%) are in English, 5 publications were written in Spanish, 2 are in German, and 2 were originally written in Portuguese. 5/28 Gestão & Produção, 29, e1921, 2022 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... Figure 2. Chronological distribution of publications. Source: Scopus. Processing by the authors (2021). Figure 2. Chronological distribution of publications. Source: Scopus. Processing by the authors (2021). Among the 267 publications, 41 (15.4%) have a single author and 39 have multiple authors, which accounts for 5.5% of the total of 714 authors in the sample. 3 Bibliometric analysis Table 1 presents the relationship among the most productive authors, the number of citations, and the h index of the authors, which relates the number of publications with the number of citations (Hirsch, 2005). The table shows that there are 39 authors with more than 3 published papers. Tortorella GL, associated with the Federal University of Santa Catarina, is the author with the most publications, and Kim C, a researcher at the University of Washington, has the most citations. Godinho F M, associated with the Universidade Federal de São Carlos, has the highest h index of 24, which implies that 24 articles by this author received at least 24 citations, according to the publications indexed in Scopus. Table 1. Authors with the most publications. Table 1. Authors with the most publications. Table 1. Authors with the most publications. Author Publications Freq. Citations h index Author Publications Freq. Citations h index Tortorella GL Augusto & Tortorella (2019), Borges et al. (2020), Fogliatto et al. (2019), Tlapa et al. (2020), Tortorella et al. (2015, 2017, 2019, 2020a, 2020b), Zepeda-Lugo et al. (2020) 10 84 20 Dinis- Carvalho J Barretiri et al. (2021), Castanheira- Pinto et al. (2021), Lima et al. (2021) 3 0 11 Godinho F M Bertani et al. (2019), Costa & Godinho (2016), Costa et al. (2017), Godinho et al. (2015), Henrique et al. (2016, 2021) 6 200 24 Gonçalves BS Barretiri et al. (2021), Castanheira- Pinto et al. (2021), Lima et al. (2021) 3 0 2 Lima R Barretiri et al. (2021), Castanheira-Pinto et al. (2021), Lima et al. (2021), Souza et al. (2019, 2020a, 2020b), 6 3 15 Guercini J Barnabè et al. (2017, 2018, 2019) 3 17 3 White M White et al. (2014a, 2014b, 2014c, 2017a, 2017b), White & Waldron (2014) 6 84 7 Guizzi G Chiocca et al. (2012), Romano et al. (2013, 2015) 3 30 12 Butterworth T White et al. (2014a, 2014b, 2014c, 2017a, 2017b) 5 75 15 Habidin N Habidin (2017), Habidin et al. (2014, 2015) 3 33 11 Gestão & Produção, 29, e1921, 2022 6/28 Pull processes in health care... Table 1. Continued... Author Publications Freq. Citations h index Author Publications Freq. Citations h index Souza T Lima et al. (2021), Souza et al. (2019, 2020a, 2020b), Vaccaro et al. 3 Bibliometric analysis (2015) 5 4 3 Jobin M Dorval & Jobin (2019, 2021), Fournier & Jobin (2018) 3 7 5 Wells JSG White et al. (2014a, 2014b, 2014c, 2017a, 2017b) 5 75 14 Kim C Kim et al. (2005, 2006), Platchek & Kim (2012) 3 260 14 Anuar A Anuar et al. (2018, 2019a, 2019b), Anuar & Sadek (2018) 4 5 3 Limon- Romero J Tlapa et al. (2020), Zepeda- Lugo et al. (2018, 2020) 3 16 6 Anzanello MJ Fogliatto et al. (2019, 2020), Tortorella et al. (2015, 2017) 4 50 17 Marodin G Henrique et al. (2021), Tortorella et al. (2015, 2017) 3 41 17 Fogliatto FS Fogliatto et al. (2019, 2020), Tortorella et al. (2015, 2017), 4 50 20 Reis A Conceição et al. (2020), Reis et al. (2020), Santos et al. (2020) 3 4 3 Morrissette M Morrissette (2009a, 2009b), Morrissette & Cassidy (2009a, 2009b) 4 2 1 Romano E Chiocca et al. (2012), Romano et al. (2013, 2015) 3 30 12 Poksinska B Drotz & Poksinska (2014), Poksinska (2016), Pokinska et al. (2017), Rotter et al. (2019) 4 148 14 Saad R Anuar et al. (2018, 2019a, 2019b), 3 4 3 Rentes AF Bertani et al. (2019), Costa et al. (2017), Godinho et al. (2015), Henrique et al. (2016) 4 104 6 Sadek D Anuar et al. (2019a, 2019b), Anuar & Sadek (2018) 3 1 1 Sobek DK Ghosh & Sobek (2006), Sobek & Jimmerson (2006), Sobek & Lang (2010), Sobek (2011) 4 26 15 Sarantopou los A Lot et al. (2018), Sarantopoulos et al. (2017), Siqueira et al. (2019) 3 13 1 Báez- López Y Tlapa et al. (2020), Zepeda-Lugo et al. (2018, 2020) 3 16 6 Silva M Coelho et al. (2013), Pinto et al. (2013), Silva et al. (2013) 3 28 11 Barnabè F Barnabè et al. (2017, 2018, 2019) 3 17 6 Tlapa D Tlapa et al. (2020), Zepeda- Lugo et al. (2018, 2020) 3 16 8 Bertani T Bertani et al. (2019), Costa et al. (2017), Godinho et al. (2015) 3 51 2 Verbano C Crema & Verbano (2017), Verbano et al. (2017, 2019). 3 10 17 Calado R Coelho et al. (2013), Pinto et al. (2013), Silva et al. (2013) 3 28 4 Yusoff R Anuar et al. (2018, 2019a, 2019b) 3 4 9 Chiocca D Chiocca et al. (2012), Romano et al. 3 Bibliometric analysis (2013, 2015) 3 30 4 Zepeda- Lugo C Tlapa et al. (2020), Zepeda- Lugo et al. (2018, 2020) 3 16 2 Demirli K Alkaabi et al. (2019, 2021), Yu et al. (2015) 3 3 17 Source: Scopus. Processing by the authors (2021). Table 1. Continued... Source: Scopus. Processing by the authors (2021). Table 2 presents the list of the 10 most cited papers, listing the authors, the title, the year of publication, the journal in which the article was published, the number of citations, Gestão & Produção, 29, e1921, 2022 7/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... and the citation rate per year. Citation rate per year is the ratio between the number of citations and the total number of years between the date of publication and 2021. Table 2. Most cited publications. Author(s) Title Periodical Citations Citations per year Souza (2009) Trends and approaches in lean healthcare Leadership In Health Services 350 26,92 Kim et al. (2006) Lean health care: what can hospitals learn from a world- class automaker? Journal of Hospital Medicine (Online) 249 15,56 Waring & Bishop (2010) Lean healthcare: rhetoric, ritual and resistance Social Science and Medicine 226 18,83 D'Andreamatteo et al. (2015) Lean in healthcare: a comprehensive review Health Policy 222 31,71 Dahlgaard et al. (2011) Quality and lean health care: a system for assessing and improving the health of healthcare organizations Total Quality Management and Business Excellence 166 15,09 Souza & Pidd (2011) Exploring the barriers to lean health care implementation Public Money and Management 126 11,45 Al-Balushi et al. (2014) Readiness factors for lean implementation in healthcare settings - a literature review Journal of Health, Organisation and Management 109 13,62 Costa & Godinho (2016) Lean healthcare: review, classification and analysis of literature Production Planning and Control 95 15,83 Drotz & Poksinska (2014) Lean in healthcare from employees' perspectives Journal of Health, Organisation and Management 95 11,88 McCann et al. (2015) Casting the lean spell: the promotion, dilution and erosion of lean management in the NHS Human Relations 62 8,86 Source: Scopus. Authors' processing (2021). Source: Scopus. Authors' processing (2021). The most cited article, Trends, and approaches in lean healthcare (Souza, 2009), has an average citation rate of 26.92 citations per year between 2009 and 2021. D'Andreamatteo et al. (2015) are the authors with the highest average rate of citations per year: 31.71. 3 Bibliometric analysis The only periodical that appears more than once in this ranking is the Journal of Health, Organisation and Management, with 2 publications. When the data in Table 1 are compared with data in Table 2, it is observed that, of the most productive authors, only Godinho F M, Kim C, and Poksinska B appear in the list of the most cited documents. The 18 countries with more than two publications are presented in Table 3. For this classification, the address of the institution to which the first author is affiliated was considered. This table also shows the total number of citations and the average number of citations per document. Gestão & Produção, 29, e1921, 2022 8/28 Pull processes in health care... Table 3. Publications and citations by country (first author). Table 3. Publications and citations by country (first author). Table 3. Publications and citations by country (first author). Country Total Publications Total Citations Average of Citations per Publication United States 50 580 11,60 Brazil 50 364 7,28 United Kingdom 23 868 37,74 Italy 21 334 15,90 Canada 14 91 6,50 Spain 11 40 3,64 Malaysia 9 39 4,33 Portugal 9 11 1,22 Sweden 7 316 45,14 India 6 53 8,83 Ireland 6 82 13,67 Mexico 5 19 3,80 Czech Republic 5 2 0,40 Morocco 4 9 2,25 United Arab Emirates 3 13 4,33 Oman 3 111 37,00 Peru 3 0 0,00 Turkey 3 23 7,67 Source: Scopus. Processing by the authors (2021). Source: Scopus. Processing by the authors (2021). The total number of publications from these 18 countries is 232 (86.9%). Another 24 countries are present in the sample, with at most 2 publications. Furthermore, 7 publications, accounting for 2.6% of the sample, did not have their authors' affiliation address registered, according to data exported from Scopus. These publications have 25 citations in total; therefore, their exclusion does not significantly impact the results. The United States and Brazil are the countries with the most significant number of publications. Sweden has the highest average number of citations per document, despite having only 7 publications. In addition, Table 4 also shows the dispersion of scientific production by country, considering all the authors of a given publication. If a publication has more than one author affiliated with institutions from the same country, that country is counted only once. Table 4 shows the 12 countries with 6 or more publications. 3 Bibliometric analysis The concentration of publications in the United States shows that the country is at the forefront of research on the subject. The United States, Brazil, the United Kingdom, Italy, and Canada are the five most productive countries. The sum of the contribution of researchers from these five countries is equivalent to 58.4% of the total sample, thus demonstrating the centralization of academic production. 9/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... Table 4. Publications by country (all authors). Country Total Publications Cumulative % United States 60 18,8% Brazil 57 36,6% United Kingdom 30 45,9% Italy 21 52,5% Canada 19 58,4% Spain 13 62,5% Sweden 10 65,6% Malaysia 9 68,4% Portugal 9 71,3% India 6 73,1% Ireland 6 75,0% Czech Republic 6 76,9% Source: Scopus. Processing by the authors (2021). Table 4. Publications by country (all authors). In Table 3, which lists only the countries of the first authors, 42 countries were identified. In contrast, in Table 4, which considers all authors, 47 countries were identified. Saudi Arabia, the UK, Poland, Puerto Rico, and Senegal are the countries observed only in Table 4. Table 5 presents the rankings of the 12 countries with more than 4 publications. The total number of citations and some metrics of the journals are also listed. The impact factor, Journal Citation Reports (JCR), is calculated based on the journals indexed by the Web of Science. The 2019 JCR is obtained by summing the number of citations made to the articles published by a journal in 2017 and 2018 and dividing by the sum of articles published by that journal in the same period. Similarly, the journals indexed by Scopus present the CiteScore 2020, which is obtained by dividing the number of citations made in 2020 to articles published by a journal in 2017, 2018, 2019, and 2020 by the total number of articles published by that journal in the same period. The SCImago Journal Rank (SJR) was developed by SCImago and is based on journals indexed by Scopus. In SJR, in addition to the number of citations, the journal's prestige is also considered, based on an algorithm similar to that of Google PageRank. Table 5 also presents the h index of the journals based on the number of articles and citations indexed in Scopus. Table 5. Publications by journals. 4 Qualitative literature review This section presents the qualitative literature review of the 233 articles filtered. The filtered articles considered for the review had full-text access. Section 4.1 presents the analysis dimensions of the articles and general figures concerning these analyses. Sections 4.2 to 4.6 present the results and discussions of the review. 3 Bibliometric analysis Only the Journal of Health Organization and Management and 4 other sources listed in Table 5 have JCR 2019, indicating that a considerable portion of the sample does not appear on the list of journals with the most significant impact in the scientific field, as they are not indexed by the Web of Science. 3 Bibliometric analysis Source Publications Total Citations JCR 2019 CiteScore 2020 SJR 2020 h index 2020 Journal of Health Organization and Management 8 277 1,054 2,30 0,490 3 International Journal of Environmental Research and Public Health 5 13 2,849 3,40 0,747 46 International Journal of Supply Chain Management 5 6 - 1,00 0,585 5 Table 5. Publications by journals. 10/28 Gestão & Produção, 29, e1921, 2 Table 5. Publications by journals. Source Publications Total Citations JCR 2019 CiteScore 2020 SJR 2020 h index 2020 Journal of Health Organization and Management 8 277 1,054 2,30 0,490 3 International Journal of Environmental Research and Public Health 5 13 2,849 3,40 0,747 46 International Journal of Supply Chain Management 5 6 - 1,00 0,585 5 Gestão & Produção, 29, e1921, 2022 10/28 Pull processes in health care... Table 5. Continued... Source Publications Total Citations JCR 2019 CiteScore 2020 SJR 2020 h index 2020 Advances in Intelligent Systems and Computing 5 2 - 0,90 0,184 21 Production Planning and Control 4 174 3,605 8,20 1,331 13 International Journal of Health Care Quality Assurance 4 63 - 2,10 0,408 2 IFAC Proceedings Volumes (IFAC- PapersOnline) 4 37 - 2,10 0,308 4 BMC Health Services Research 4 22 1,987 3,50 1,098 9 Production 4 11 - 2,20 0,336 3 International Journal of Lean Six Sigma 4 8 2,511 5,20 0,578 6 Brazilian Journal of Operations & Production Management 4 0 - - - - Society for Health Systems Conference and Expo 4 0 - - - - Source: Scopus. Processing by the authors (2021). Source: Scopus. Processing by the authors (2021). The Journal of Health Organization and Management stands out with the most significant number of publications. Only the Journal of Health Organization and Management and 4 other sources listed in Table 5 have JCR 2019, indicating that a considerable portion of the sample does not appear on the list of journals with the most significant impact in the scientific field, as they are not indexed by the Web of Science. The Journal of Health Organization and Management stands out with the most significant number of publications. 4.1 Dimensions of analysis and overall review figures The 233 articles filtered were categorized into four dimensions: (i) whether pull processes are mentioned in the article; (ii) type of the article (theoretical, empirical, or review); (iii) whether the nature of the reference to pull processes is theoretical; (iv) whether the nature of the reference to pull processes is empirical. These dimensions of analysis are detailed below, thereby presenting the general numbers of the categorizations. To identify whether an article mentions pull processes, the English texts in the article were searched for two terms: “pull” and “kanban.” The first term is self- explanatory, and the second term refers to a way to operationalize a pull process. When these two terms were located in the text, the excerpt was analyzed to verify if it effectively referred to pull processes, as the term “pull” can be used in other 11/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... contexts. For texts in other languages, the same method was used; however, the German texts were searched for the term “pull,” and the French and Spanish texts were searched for words beginning with “tir-.” Of the total of 233 articles, only about half mention pull processes: 109, or 46.8%. 124 (53.2%) articles make no mention of pull processes. The following analyses were conducted to assess how these 109 articles describe the use of the concept of pull processes. The articles were categorized as empirical, theoretical, or literature reviews in the second dimension of the analysis. Every article that included some fieldwork was categorized as empirical, even if a systematic review was present in the article. For the other articles, if they had some degree of systematicity in the texts cited in the theoretical references, they were categorized as literature reviews; otherwise, they were categorized as theoretical works. We identified 156 articles with some empirical bias in the application of some method or the report of some implementation via a case study, survey, or other methods. These articles are the majority, corresponding to 67.0% of the 233 articles reviewed. The remainder consists of 40 (17.2%) articles that include reviews with some degree of systematicity and 37 (15.9%) articles that have a more theoretical character. The third dimension of the analysis focuses on how the articles frame the concept of pull processes when the term pull or Kanban is present in their theoretical framework. 4.1 Dimensions of analysis and overall review figures Note that the theoretical framework here refers to the entire text in the case of theoretical and review papers. Four possible frameworks were considered: Principle (PRI); Method (MTD); Literature - case (LTC); Literature - discussion (LTD). The framing “Principle” (PRI) refers to the mention of pull processes as one of the five principles of the lean production paradigm, as established by Womack & Jones (2013). Alternatively, the terms may be mentioned for methods of implementing this paradigm in practice. For example, the term kanban may be mentioned as a tool for implementing a pull process. In some articles, the term pull may describe the part of the mapping by the Value Stream Mapping (VSM) method that involves defining whether the flow is pulled or pushed. In such cases, the “Method” (MTD) framework is considered. Furthermore, the terms may be used to describe existing literature, either a specific case or a broader discussion. For example, the authors may mention some study that implements pull processes in the health sector. This example is framed as “Literature - case” (LTC). The authors may also, for example, state that there has been little discussion in the existing literature about the application of kanban as a lean healthcare tool. This example would be framed as “Literature - discussion” (LTD). All 233 texts in the review have theoretical references, but only 92 of them, or 39.5%, mention pulled processes or kanban in this part of the document. Still, most of them do not mention specific applications of the concepts. Table 6 presents, for the 92 texts in question, the framing of mentions. It can be observed that most of the mentions of the terms in the theoretical framework are not linked to any practical application. 27 articles mention pull processes only as one of the five principles of lean production established by Womack & Jones (2013) (“Only PRI,” in Table 6). Besides these, 23 articles mention applying the concept, but without providing cases (“Only MTD,” in Table 6). However, there are 11 articles that do both (“PRI + MTD,” in Table 6). In other words, 61 (66.3%) of the 92 articles that mention the concepts in their theoretical framework do so without providing sufficient details. 12/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... Table 6. Number of articles according to the nature of the mention of pull processes in the theoretical framework. 4.1 Dimensions of analysis and overall review figures Table 6. Number of articles according to the nature of the mention of pull processes in the theoretical framework. Framing of the mention in the theoretical framework Framework Qty. % Section Sub-framework Qty. % No discussion or case 61 66,3% - PRI only 27 29,3% MTD only 23 25,0% PRI + MTD 11 12,0% Discussion of the literature 13 14,1% 4.2 LTD only 7 7,6% PRI + LTD 4 4,3% PRI + MTD + LTD 2 2,2% Case of literature 13 14,1% 4.3 LTC only 8 8,7% PRI + LTC 1 1,1% MTD + LTC 2 2,2% PRI + MTD + LTC 2 2,2% Discussion and case of the literature 5 5,4% 4.2 e 4.3 LTD + LTC 2 2,2% PRI + LTD + LTC 2 2,2% MTD + LTD + LTC 1 1,1% Source: The authors (2021) Source: The authors (2021) Among the 92 articles that mention the concept in their theoretical framework, excluding the aforementioned 61 articles, there are 31 articles that include references to discussions or case studies found in the literature. They are divided as follows: ● 13 articles present some discussions found in the literature on the concepts. Whether there has been prior mention of the concepts within the principles or implementation method framework will be discussed in section 4.2; ● 13 articles present some discussions found in the literature on the concepts. Whether there has been prior mention of the concepts within the principles or implementation method framework will be discussed in section 4.2; ● 13 articles present some case studies found in the literature. Whether there has been prior mention of the concepts as a principle or method will be discussed in section 4.3; ● 13 articles present some case studies found in the literature. Whether there has been prior mention of the concepts as a principle or method will be discussed in section 4.3; ● 5 articles do both. These articles will be discussed in sections 4.2 and 4.3. ● 5 articles do both. These articles will be discussed in sections 4.2 and 4.3. The fourth dimension of the analysis focuses on the empirical works that mention pull processes, specifically when pull processes are mentioned in the empirical part of the article and not in the theoretical framework. Although the 156 empirical articles are the majority, only 39 (25.0%) articles mention pull processes in their empirical parts. 4.1 Dimensions of analysis and overall review figures Of the 39, 10 articles do not deal with applications of the logic of pull processes or the kanban tool: 5 articles mention pull processes in the context of diagnosis or evaluation; 2 deal with teaching methods of the lean production paradigm; and 3 pertain to generic discussions. These articles are discussed in section 4.4. There are only 29 empirical studies that effectively include some application or attempt to apply the logic of pulled processes or the kanban tool, although often treated superficially. These articles are discussed in section 4.5. Regarding the reading level (Adler & Van Doren, 2014) used in the review, it is important to highlight that the review method, as described above, does not involve an analytical reading of the articles. Instead, the articles were read in an inspectional manner to assess their type (theoretical, empirical, or literature review). Following this, the body of the text was searched for the terms pull and kanban. However, this method involves a risk that the concept of pull processes may appear in some articles, but the articles might not be detected because they do not make references to the terms pull or kanban. However, this risk is relatively inconsequential. 13/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... Summarizing the conclusions of this first analysis, it can be said that most articles that mention the terms pull and kanban do so in a superficial way. Of the 233 articles in the review, only 92 mention pull processes in their theoretical framework, and 61 of these do not advance the issue in any practical application. Of the 156 articles with some empirical section, only 39 mention pull processes in their field study, 29 of which involved some practical application of the concept. The following sections detail the discussions based on the review. To recapitulate, section 4.2 presents the articles that include generic discussions about applying pull processes in the health context in their theoretical references. Section 4.3 presents the articles that mention applications of pull processes based on articles from third parties. Section 4.4 presents the articles that mention pull processes in their empirical part, but without effectively applying the concept to a flow. Section 4.5 presents the articles that mention pull processes, effectively applied in a case, in their empirical part. 4.2 General discussions about pull processes in lean healthcare The first group of articles discusses pull processes outside an applied context, presenting more generic issues. Some authors mention that the principles of lean production as established by Womack & Jones (2013) are not often observed in the literature, especially the fourth principle, which refers to the establishment of pull processes (Augusto & Tortorella, 2019; Régis et al., 2019; Hallam & Contreras, 2018; Schonberger, 2018; Mutingi et al., 2017; Ljungblom, 2014). For example, in a systematic review of 107 articles, Costa & Godinho (2016) found that only 5 articles reported the use of the tools in question. Rocha & Vasconcelos (2021) found the use of the tools was mentioned in 3 of the 15 articles they reviewed, while Lima et al. (2021) presented a quantitative review of the frequency of the use of different tools, in which it was observed that kanban is used relatively less. Hallam & Contreras (2018) proposed that this could be an indicator that the health sector is still in the early stages of adopting the lean production paradigm. However, Van Rossum et al. (2016) and Borges et al. (2020) present a divergent view. Rossum et al. claim that a “lean toolbox,” including kanban, is frequently used, but they do not provide a quantitative evaluation of this claim. Furthermore, consulting the original article (Kaplan et al., 2014), cited by Rossum et al., makes it clear that a quantitative evaluation was not performed. Borges et al. claim that kanban is frequently used by referencing four literature articles. The lean healthcare literature mentions that the concept of the pull process is adapted for use in healthcare (Lima et al., 2021; Augusto & Tortorella, 2019; Hallam & Contreras, 2018; Al-Balushi et al., 2014). Lima et al. (2021) commented on how lean tools have been adopted in a manufacturing context but require adaptation in healthcare. This adaptation may be simpler for more familiar flows, such as materials, but specific tools may be needed for flows such as those of patients. The definition of a pull process, in the case of patients, is a point of discussion. For example, Augusto & Tortorella (2019) cite various literature and propose that, in the health context, pull production refers to the flow of patients and the balance between demand and capacity. Even Womack et al. (2005, p. 4.1 Dimensions of analysis and overall review figures Finally, section 4.6 presents comments on those articles that apply the logic of pull processes to the flow of users in a health facility: 7 articles, cited in sections 4.3 and 4.5, and a review text that was not covered in previous sections. 4.2 General discussions about pull processes in lean healthcare 2) provide a different definition of pull processes in the healthcare context that involve responding to the real needs of 14/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... patients: “To maximize value and eliminate waste, leaders in health care, as in other organizations, must (...) [make] value flow from beginning to end based on the pull - the expressed needs - of the customer/patient.” This redefinition of the concept of the pull process sometimes appears in the literature. Note that in the same article, the authors provide a glossary of terms of lean production, in which they define pull processes in the traditional way (Womack et al., 2005). According to Schonberger (2018), even the application of pull processes using the logic of adapting production to the actual demands of patients will lose traction eventually. Furthermore, Castren (2016) comments that applying this logic in private healthcare may be problematic, citing literature to point out that the goal of cost reduction can lead to the worsening of patient’s well-being. Other articles provide more practical discussions or comments about the implementation of pull processes. For example, Romano et al. (2015) propose that the flow of medicines and products, in general, can be organized via kanban, while Souza & Pidd (2011) comment that certain terms, including pull, have specific meanings in the context of lean production. Henrique et al. (2021) recall that lean goes beyond the pull processes and that its deployment depends on implementing a culture of continuous improvement. Furthermore, Alnajem et al. (2019) mention that the implementation of pull processes requires qualified suppliers. 4.4 Mentions of pull processes in a field study, but without an actual application Among the 39 empirical texts that mention kanban or pull processes, 10 do not apply the concepts in a process. For example, 5 of these articles discuss the terms within a diagnostic or evaluation logic (Tortorella et al., 2019; Anuar & Sadek, 2018; Anuar et al., 2018; Sarantopoulos et al., 2017; Van Rossum et al., 2016). Tortorella et al. (2019) proposed and implemented a method to evaluate lean production practices in units implementing lean healthcare. Part of the method involved prioritizing several lean production tools, and, in the case studied by the authors, it was concluded that kanban would be the practice that would cause the most significant impact. Sarantopoulos et al. (2017) introduced an adaptation of lean production to the health context of the EPLIT questionnaire (Employee Perception to assess Lean Implementation Tool), which assesses how many employees of an organization grasp the concepts of lean production. The tool built by Anuar & Sadek (2018) consists of a list of statements concerning operational and sociotechnical aspects of a process that operates within the lean production logic and can be used as a reference list to assess how much a given operation effectively uses this paradigm. Something similar was applied by Van Rossum et al. (2016) in their field study, but with the primary objective of investigating the role of leadership in overcoming the gap between decision and implementation of lean healthcare. Besides these, 5 other articles mention the concepts in other disconnected contexts. Murman et al. (2013, 2014) wrote two similar articles that propose a method for teaching the principles and applications of lean production, including classes and some simulations, in the form of games. Both articles present the same proposal, principles, and simulated practices. Calero et al. (2019) state as research objective the diagnosis and implementation of lean production tools, especially the rapid tool change (TRF) and the implementation of pull processes, to reduce the queue waiting time in a Peruvian clinic. However, the empirical part of the text contains only the TRF implementation, although it concludes that the waiting period was reduced by 30%. O'Neill (2015) presents a case study in which he argues that the adoption of lean production principles by a healthcare facility led to work intensification. 4.3 Mentions of pull process applications in the theoretical framework Of the 233 articles included in the review, 14 articles, in their theoretical framework, mention some specific cases of application of pull processes that they found in the literature (Rocha & Vasconcelos, 2021; Borges et al., 2020; Gayer et al., 2020; Tortorella et al., 2019; Alnajem et al., 2019; Regattieri et al., 2018; Régis et al., 2018; Torabi et al., 2018; Schonberger, 2018; Mehdi & Al-Bahrani, 2017; Gomes et al., 2016, 2017; Narayanamurthy & Gurumurthy, 2016; Costa & Godinho, 2016; Van Rossum et al., 2016; Vidal-Carreras Pilar et al., 2016; Reijula & Tommelein, 2012; Sobek II & Lang, 2010; Souza, 2009). References were made to 32 third-party texts that are not included in the review of this work. In 3 of these 32 references, the concepts are not applied but instead discussed in the context of an assessment tool. 14 of the 32 references are directed at actual applications but without specifying what would be pulled. Another 12 references refer to the relationship of the operation with its inventories (with only 3 articles specifying that it is the inventory of materials and medications). In contrast, one of the referenced texts deals with applying the pull logic to the purchase of cardiovascular stents. Therefore, there are 29 references out of the 32 in which the application of the logic of pull processes to the main flow of a health operation – the user – is not addressed. This is done only in the remaining 3 references (Burgess & Radnor, 2013, cited by Alnajem et al., 2019; Fillingham, 2007, cited by Torabi et al., 2018; and Pinto, 2010, cited by Mehdi & Al-Bahrani, 2017). These references will be discussed later, in section 4.6, which focuses on pull processes applied to the user flow. 15/28 Gestão & Produção, 29, e1921, 2022 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... 4.4 Mentions of pull processes in a field study, but without an actual application In contrast, Ljungblom (2014) investigates the extent to which the code of ethics for nurses incorporates lean production principles, concluding that pull processes, in particular, are not represented in that document. 4.5 Application of pull processes in the revised texts Among the empirical works, 29 articles mention pull processes in their empirical part. Of these, 19 (65.5%) articles refer to pulling some intermediate product from the processes of the health unit under study. Some articles specify the type of product that should be pulled, such as medicines (Régis et al., 2018; Regattieri et al., 2018; Costa et al., 2017; Verbano et al., 2017; Eiro & Torres-Junior, 2015; Abouzahra & Tan, 2014), sterile products (Fogliatto et al., 2019; Tortorella et al., 2017; Costa et al., 2017; Godinho et al., 2015), vaccines (Chiocca et al., 2012), or clean sheets (McCann et al., 2015). Other articles mention the application of pull processes to materials in general, without a specific definition of the material in question (Borges et al., 2020; Régis et al., 2019; Briš et al., 2017; Cardoso et al., 2017; Costa et al., 2017; Pineda Dávila & Tinoco- 16/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... Pull processes in health care... González, 2015; Jeffries et al., 2015; Centobelli et al., 2014; Hagan, 2011). In a few cases, the articles mention applying pull processes to purchases of medicines and other materials (Costa et al., 2017; Cardoso et al., 2017). ( ) In addition to these, Haddad et al. (2016) implicitly define the pull of “staff resources” as the pull of human resources against the demand of users. Furthermore, five other articles (Anuar et al., 2019a; Castren, 2016; Mutingi et al., 2017; Centauri et al., 2018; Kinder & Burgoyne, 2013) mention the application of the concept of pull processes in a very superficial way, not specifying what would be pulled. Note that some of the articles found in the literature may refer to the same case study when analyzing the diagnoses, proposals, and authors. For example, Tortorella et al. (2017) and Fogliatto et al. (2019), Godinho et al. (2015) and Costa et al. (2017), and Régis et al. (2019) and Régis et al. (2018). However, as a complete characterization of the cases treated might be absent in the articles, it is impossible to state this with certainty. 4.5 Application of pull processes in the revised texts As in the case of mentions of pull processes in the theoretical framework, the mentions in the empirical part also represent a small minority of articles that deal with the application of pull processes on the main flow, that is, the users: only 4 articles do so (Lindsay & Kumar, 2015; Yu et al., 2015; Poole & Mazur, 2010; Lot et al., 2018). Among these 4 articles, 3 articles are similar and are detailed in section 4.3, and 1 review text that comments on the subject without mentioning a specific reference is detailed in section 4.6. 4.6 Application of pull processes to user flows 487) also present a similar application, but with a slightly more precise description: “the pull system was based on a fundamental change in the daily routine to pull patients to the beds right away if a bed was open. Therefore, the patient steps to 1) register; 2) go to the waiting room; 3) go to triage, 4) go back to the waiting room; and finally, 5) go to a bed were consolidated into a one-step process at the bed site with physician assistance”. Yu et al. (2015) propose that, at a theoretical level, different healthcare units should implement pull processes in different arrangements for the flow of users. For example, for clinics, the authors propose a process in which users are pulled from the queues to each internal service station. For emergencies, because of uncertainty in demand, the process would have to be triggered in a pulled way (by the customer's arrival), but the flow would have to be traversed in a pushed way. The authors proposed this and a few other measures for an oncology clinic, even though implementation was not part of the scope of the study. Pinto (2010) conducted a case study with proposals for changes in user flows at an oncology hospital. The logic of pull processes was implemented in the process stages in which users wait at the reception for an initial assessment and for the examination room to be vacant. At the process stage, in which users await approved procedures, a kanban was created to signal those without pending approvals, and they were transferred directly to the chemotherapy area. These proposals are not extensively detailed, but they seem to suggest that the principle of pulled processes and keeping the flows active should be implemented simultaneously. In the above cases, users are pulled from pre-existing queues just before the focal post in question. Pull processes seem to be more about preventing the focal point from becoming idle rather than avoiding the emergence of stocks/queues at the interface between the posts. Considering that the 6 cases refer to beds and chemotherapy chairs, this interpretation seems to make sense. A more in-depth study is necessary for each case, but it would not be surprising if these were the bottleneck posts of the operations. 4.6 Application of pull processes to user flows As mentioned in the previous sections, 8 articles contribute to the application of the logic of pull processes to the user flow. 3 of these 8 articles (Alnajem et al., 2019; Torabi et al., 2018; Mehdi & Al Bahrani, 2017) mention applications proposed by other articles, namely, Burgess & Radnor (2013), Fillingham (2007), and Pinto (2010). These 3 articles, along with the 4 articles selected for the review, apply the concepts in their empirical part (Lindsay & Kumar, 2015; Yu et al., 2015; Poole & Mazur, 2010; Lot et al., 2018). The review text by Reijula & Tommelein (2012) comments on the topic without referring to a specific text. These 8 texts will be detailed in this section. Lot et al. (2018) propose the use of kanban not as a way to coordinate the flow of users but as a form of visual management of these flows, similar to the adoption of the tool in project management contexts. All the other 7 articles present the concept of pulling users to a particular service post when the post becomes available. Fillingham (2007) defends the idea that users should be moved in a health unit production line only when the downstream activity is available to receive them. Reijula & Tommelein (2012) follow the same line of thought, highlighting that kanban systems can call users when a downstream value-adding activity is available, thereby minimizing queues. Torabi et al. (2018), when citing Fillingham (2007), mention this logic in the context of bed occupancy. Burgess & Radnor (2013) illustrate the possibility of applying pull processes in the interaction between an operating room and a ward team. According to the authors, a push process would occur if the operating team takes the initiative to search for an available ward bed. The authors argue that this could have negative outcomes owing to difficulties in communicating with the ward team or the unavailability of beds. However, if the process was organized in a pulled manner, the ward team can be contacted as soon as a bed is available. 17/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... Lindsay & Kumar (2015) mention a case in which users are pulled instead of pushed to the correct beds, although they discuss the proposal in a very superficial way. Poole & Mazur (2010, p. 4.6 Application of pull processes to user flows This means that any idleness in these posts would lead to lower service capacity in operation as a whole, and efforts should be made to avoid such idle posts when queues are waiting. 5 Conclusion The lean production paradigm is a solution to the problem of waste in production processes (Womack & Jones, 2013). One of the principles adopted for this is the creation of pull processes. In pull processes, ideally, a workstation is only activated on demand of the workstation immediately ahead, avoiding production ahead of time and preventing the formation of excess intermediate stocks understood as a form of waste. However, service sectors typically have the consumer as a co-producer. Therefore, there is a need for the physical presence of the user. For example, in a healthcare system, various logical challenges need to be overcome: how to produce against the demand of a downstream workstation when the production process depends on the presence of the user, who is “delivered” by the upstream workstation? This article conducted a bibliometric analysis and a systematic review of the lean healthcare literature to answer this question. The 267 articles indexed by Scopus and Web of Science and published between 2004 and 2021 were analyzed. During the analysis, an increase in the number of 18/28 Gestão & Produção, 29, e1921, 2022 Pull processes in health care... Pull processes in health care... publications was observed from 2012 onwards, with peaks in 2015 and 2020. In the period from 2015 to 2021, 69.3% of the analyzed articles were published. Regarding authorship, there was no prominent author in terms of the number of publications, citations, and h-index. When investigating the authors' affiliation, it was observed that the publications and citations are concentrated in institutions from North America, South America, and Western Europe, primarily the United States, Brazil, the United Kingdom, Canada, and Italy. The Journal of Health Organization and Management stands out with the most significant number of publications. At the same time, the article trends and approaches in lean healthcare (Souza, 2009), published in Leadership in Health Services, is the article with the highest number of citations. We located the full text of 233 of these articles, used in the qualitative literature review, to understand how the principle of pull processes is incorporated by applying the lean production paradigm in the health sector. However, the establishment of pull processes is one of the five lean production principles; a little less than half of the 233 reviewed articles mention pull processes. 5 Conclusion A closer analysis of these articles reveals that most of them mention pull processes as one of the pillars of lean production but do not elaborate on applying this concept in the health sector. Among the 29 articles that effectively present empirical applications of the principle, 16 refer to the pulling of intermediate products, such as medicines, vaccines, sterilized products. In these cases, the logical challenge that motivates the research is not presented. One of the articles mentions pulling of human resources, but 3 other articles do not specify what is being pulled. There are only 4 articles that specifically mention the pulling of the main flow (users) in the health sector. 3 other articles were added that were not part of the review but are cited by the review articles concerning the pulling of users; a review text that comments on the issue, without reference to any specific text, was also considered The main conceptual contribution of this review comes from the analysis of the 8 articles that deal with the pulling of user flow. In the articles, situations are described in which there is a queue, and the user is pulled from this queue for service as soon as a piece of equipment (in these cases, beds and chemotherapy chairs) becomes available. This suggests that the aforementioned logical challenge persists, but the principle of pull processes can be applied in the healthcare sector to eliminate a different type of waste. In the production of goods, the focus is on the reduction or elimination of intermediate inventories. The review indicates that the objective, in the health context, is not the reduction of the formation of excess intermediate inventories or queues in the service sector but the reduction of the idleness rate of a piece of equipment, which is the bottleneck of the production process. Therefore, the waste that is sought to be reduced or eliminated here is the idleness of a workstation that limits the capacity of the production process. Future studies may expand the scope of the review based on other keywords and other databases of scientific articles. Another interesting path would be to approach the topic, not through a literature review but case studies focused on pull processes in healthcare. Analysis of a healthcare production process in which users are pulled may help in understanding how such an initiative is organized and its intended purpose. References Abouzahra, M., & Tan, J. (2014). Remaking Rosa Medical Center: a 5-step approach to transitioning with lean. In N. 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https://openalex.org/W2091245749
https://europepmc.org/articles/pmc3698690?pdf=render
English
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Primary‐care observational database study of the efficacy of <scp>GLP</scp>‐1 receptor agonists and insulin in the <scp>UK</scp>
Diabetic medicine
2,013
cc-by
5,104
Abstract nvestigated use and efficacy of glucagon-like peptide-1 (GLP-1) receptor agonists in UK practice. Aims We investigated use and efficacy of glucagon-like peptide-1 (GLP-1) receptor agonists in U Methods People starting a GLP-1 receptor agonist (exenatide, liraglutide) or insulin (glargine, detemir, NPH) after a regimen of two or three oral glucose-lowering agents were identified from The Health Information Network observational primary care database (2007–2011). Mean change in HbA1c and body weight were compared at 1 year between cohorts, adjusting for baseline characteristics. Results Baseline characteristics of GLP-1 receptor agonist (n = 1123) vs. insulin (n = 1842) users were HbA1c 78 vs. 84 mmol/mol (9.3 vs. 9.8%) and BMI 38.2 vs. 30.9 kg/m2. The GLP-1 receptor agonist cohort was younger, had shorter diabetes duration and follow-up, less microvascular disease and heart failure, higher estimated glomerular filtration rate and more use of oral glucose-lowering agents. Lower HbA1c reduction on GLP-1 receptor agonist [7 vs. 13 mmol/mol (0.6 vs. 1.2%) (n = 366 vs. 892)] was not statistically significant [adjusted mean difference 1.4 (95% CI 4.1, 1.2) mmol/mol], except in the highest HbA1c quintile [>96 mmol/mol (>10.9%); adjusted mean difference 17.8 (28.6, 7.0) mmol/mol]. GLP-1 receptor agonist users lost weight [4.5 vs. +1.5 kg; adjusted mean difference 4.7 (3.7, 5.8) kg; n = 335 vs. 634]. A UK 6-month target reduction for GLP-1 receptor agonists of 11 mmol/mol (1.0%) HbA1c and 3% weight was reached by 24.9% of those continuing treatment. Conclusions Those starting GLP-1 receptor agonists are heavier with better glycaemic control than those starting basal insulin. Subsequently, they have improved weight change, with similar HbA1c reduction unless baseline HbA1c is very high. The UK 6-month GLP-1 receptor agonist target is usually not reached. Diabet. Med. 30, 681–686 (2013) action of endogenous GLP-1, in stimulating glucose-depen- dent insulin secretion and by suppressing glucagon secretion. Gastric emptying is delayed, especially in the early weeks of therapy. This, and perhaps a direct or indirect hypothalamic action, results in appetite/satiety changes and thus loss of body weight. In the UK, the National Institute for Health and Clinical Excellence (NICE) recommends a GLP-1 receptor agonist predominantly as a third-line treatment option in people who would otherwise start insulin and have a BMI  35.0 kg/m2 [1]. Primary-care observational database study of the efficacy of GLP-1 receptor agonists and insulin in the UK G. C. Hall1, A. D. McMahon2, M.-P. Dain3, E. Wang4 and P. D. Home5 1Grimsdyke House, London, UK, 2University of Glasgow Dental School, Glasgow, UK, 3Diabetes–Metabolism Franchise, Sanofi-Av 4Diabetes–Metabolism Franchise, Sanofi-Aventis, Bridgewater, NJ, USA and 5Newcastle University, Newcastle upon Tyne, UK Accepted 15 January 2013 Abstract NICE recommendations also state that therapy should be discontinued if the person has not had a beneficial metabolic response (a reduction of at least 11 mmol/mol (1.0%) in HbA1c and weight loss of at least 3% of initial body weight at 6 months). DIABETICMedicine DIABETICMedicine DOI: 10.1111/dme.12137 Research: Treatment ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK Source population All data came from The Health Information Network (THIN), an observational database containing information collected in computerized primary care practices throughout the UK. Demographic and administrative data, primary care diagnoses and prescription treatments are routinely recorded against date in separate files within individual patient records. Details of referrals, secondary care diagnoses and deaths are also captured because of the structure of the UK health service. Major health events from before computer- ization are added retrospectively. Data on preventive practice may be recorded, including details of the annual diabetes review. Medical events are automatically coded at entry using the Read coding system [10]. The source population comprised 4.3 million people permanently registered during the study period at the 429 practices on THIN which received laboratory results electronically. Approval for the study was given by the THIN Research Ethics Committee. Introduction The short-term aim of therapy for hyperglycaemia is improved blood glucose control without significant tolera- bility or safety issues, and with the longer-term objective of reducing vascular damage. Although initial pharmaceutical therapy is with an oral glucose-lowering agent, a steady decline in islet b-cell function results in progressive hyper- glycaemia, which requires a stepwise escalation of treatment. Eventually insulin is often required as the only therapy independent of the need for endogenous insulin production. The short-term aim of therapy for hyperglycaemia is improved blood glucose control without significant tolera- bility or safety issues, and with the longer-term objective of reducing vascular damage. Although initial pharmaceutical therapy is with an oral glucose-lowering agent, a steady decline in islet b-cell function results in progressive hyper- glycaemia, which requires a stepwise escalation of treatment. Eventually insulin is often required as the only therapy independent of the need for endogenous insulin production. Glucagon-like peptide-1 (GLP-1) receptor agonists have recently become a therapy option, with exenatide introduced into the UK market in 2007 and liraglutide in 2009. GLP-1 receptor agonists mimic, at supra-physiological levels, the Glucagon-like peptide-1 (GLP-1) receptor agonists have recently become a therapy option, with exenatide introduced into the UK market in 2007 and liraglutide in 2009. GLP-1 receptor agonists mimic, at supra-physiological levels, the A review of 28 randomized clinical trials reported that GLP-1 receptor agonist therapy reduced HbA1c by approx- imately 11 mmol/mol (1.0%), with weight loss of 2.3–5.5 kg Correspondence to: Gillian Hall. E-mail: gillian_hall@gchall.demon.co.uk 681 Efficacy of GLP-1 receptor agonist vs. insulin  G. C. Hall et al. DIABETICMedicine [2]. Comparisons with basal insulin have shown weight loss rather than gain with GLP-1 receptor agonists over 6 or 12 months and either no difference in HbA1c reduction [3–5] or a greater decrease [6,7]. Abstracts of observational studies in the USA and Germany have reported differences in populations who start a GLP-1 receptor agonist compared with those who initiate basal insulin therapy, and either no difference [8] or a greater reduction in HbA1c on insulin [9]. non-melanoma skin cancer) or a prescription for a cancer therapy (British National Formulary category 8) or a glucocorticoid (British National Formulary category 6.3.2) in the year before index date were also excluded, as cancer or steroid-induced diabetes may require short-term glucose- lowering therapy [11]. Patients and methods The study was an observational cohort study based on a database of UK primary care records. Statistical analysis People were categorized into two primary cohorts by GLP-1 receptor agonist or insulin use at baseline. All were included as in an intention-to-treat type analysis, as later changes in therapy may be the result of limited efficacy of the first study treatment. For example, poor glycaemic control may result in an early switch in therapy. The primary cohorts were described and compared in terms of baseline covariates. Changing GLP-1 receptor agonist treatment or starting insulin treatment was identified for the GLP-1 receptor agonist cohort. Baseline covariates The primary objective of the current study is to understand the characteristics of people beginning GLP-1 receptor agonist therapy in UK routine care, their metabolic response to treatment (glycaemic and weight control), which charac- teristics are associated with achieving glycaemic and weight control, and what percentage achieve the UK NICE targets. The characteristics and response to treatment were compared with those in people starting insulin therapy. The following potential confounding variables were identi- fied at baseline: age (1st July of the patient’s year of birth), sex, year of index date, most recent body weight (at baseline or in the previous 6 months), duration of diabetes, BMI, estimated glomerular filtration rate (eGFR, if not recorded calculated from serum creatinine) and the most recent HbA1c. The duration of diabetes was estimated from the earliest record of a specific medical term, prescription of a glucose-lowering medication, an HbA1c value or a diabetes health check. The number of oral glucose-lowering agents immediately pre-baseline was estimated from prescribing data in the previous year using a calculated modal dose for that form and strength if information on daily dose was not recorded. The number of oral glucose-lowering agents at baseline was defined as the number of oral glucose-lowering agents prescribed on the index date or in the next 100 days to allow for therapies that continued across the index date. A history of cardiovascular disease (myocardial infarction, angina, ischaemic heart disease, coronary heart disease, acute coronary syndrome or coronary revascularization), heart failure, microvascular complications (retinopathy, nephropathy or neuropathy) and severe gastrointestinal disease (pancreatitis, inflammatory bowel disease or diabetic gastroparesis) were identified from diagnoses recorded in the electronic clinical record. ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK Study population The study population comprised of 4657 people with diabetes having at least 12 months of THIN records who were then prescribed a first-ever GLP-1 receptor agonist or basal insulin (detemir, glargine or NPH), from a baseline of two or three concomitant oral glucose-lowering agents, after 2006. The first GLP-1 receptor agonist or insulin prescription was the baseline treatment prescribed on the index date. Patients with no interpretable baseline HbA1c in the prior 100 days or with more than one type of insulin/ GLP-1 receptor agonist prescribed on this day were excluded. People with a record of any cancer (except In those with sufficient follow-up, mean change from baseline in HbA1c and weight in the reading nearest to 12 months after beginning study treatment (10–14 months window) was calculated. The association of treatment with mean change in HbA1c and weight at 12 months was compared using a normal linear model adjusted by all baseline characteristics. Interaction tests with HbA1c and weight change were completed for baseline age, weight, BMI, 682 DIABETICMedicine Research article Table 1 Baseline characteristics of the primary cohorts GLP-1 receptor agonist mean (SD) Insulin mean (SD) Total, n 1123 1842 Age, years 56.2 (10.3) 63.4 (12.1)** Diabetes duration, years 8.0 (4.5) 9.3 (6.4)** Follow-up duration, years 1.1 (0.8) 1.9 (1.1)** Male, n (%) 702 (62.5) 1127 (61.2) Started therapy pre-2009, n (%) 193 (17.2) 1010 (54.8)** Using two oral glucose- lowering agents up to baseline, n (%)† 711 (63.3) 1261 (68.5)* Oral glucose-lowering agent at baseline, n (%):‡ 0 30 (2.7) 82 (4.5) 1 262 (23.3) 519 (28.2)** 2 660 (58.8) 1053 (57.2) 3 163 (14.5) 183 (9.9) 4 8 (0.7) 5 (0.3) Weight, kg‡ 111.5 (21.3) 88.5 (19.6)** BMI, kg/m2 38.2 (6.7) 30.9 (6.3)** HbA1c, mmol/mol (%) 78 (17) 84 (19)** 9.3 (3.7) 9.8 (3.9) eGFR <30 ml/min 3 (0.3) 30 (1.7)** 30-60 ml/min 120 (11.0) 400 (22.3) >60 ml/min 972 (88.8) 1365 (76.0) History, n (%) of: Gastrointestinal disease§ 79 (7.0) 154 (8.4) Cardiovascular disease¶ 195 (17.4) 370 (20.1) Microvascular disease†† 304 (27.1) 619 (33.6)* Heart failure 37 (3.3) 101 (5.5)* HbA1c, number of oral glucose-lowering agents prior to baseline and duration of diabetes to test for significance at the 1% level. A significant association was found between baseline HbA1c and HbA1c change at 12 months, so the adjusted comparison was repeated within quintiles of base- line HbA1c. Study population Table 1 Baseline characteristics of the primary cohorts The association of baseline characteristics with decrease in HbA1c and weight was examined by linear model in a univariate analyses. The baseline variables included were age, sex, BMI, weight, HbA1c, duration of diabetes, number of oral glucose-lowering agents pre- and post-treatment index date and a history of heart failure and cardio- or microvascular disease. The change in weight and HbA1c readings at 6 months (5– 7 months window) were estimated for the GLP-1 receptor agonist cohort. The proportion who reached the NICE target [reduction of 3 kg in weight and 11 mmol/mol (1.0%) HbA1c] after 6 months on treatment were calculated. The percentage of the GLP-1 receptor agonist cohort who reached a weight reduction of >3 kg, and >6 kg by 12 months and mean weight change at 6 and 12months were also estimated. Data analysis used SAS software version 9.1 (SAS Institute, Cary, NC, USA). Treatments cohorts The cohorts comprised 1123 people prescribed a GLP-1 receptor agonist and 1842 prescribed basal insulin after exclusions. The exclusions comprised 18.6% of the initial treated population who did not have an interpretable HbA1c recorded in the 100 days before therapy [326 (16.7%) using a GLP-1 receptor agonist, 538 (19.9%) an insulin]. In addition, 216 (11.0%) prescribed a GLP-1 receptor agonist and 542 (20.4%) an insulin were excluded because of a cancer record, and 148 (7.6%) and 310 (11.5%), respec- tively, because of glucocorticoid use. Compared with insulin starters, those starting a GLP-1 receptor agonist had better glycaemic control and had higher BMI at baseline, and were younger with shorter duration of diabetes (Table 1). The GLP-1 receptor agonist users also had a larger number of oral glucose-lowering agents prescribed up to and when starting a new study regimen, and were less likely to have low GFR, microvascular disease and heart failure. *P<0.05, **P<0.001. †Rather than three agents. ‡Percentage with missing data, GLP and insulin respectively: weight/BMI 8.4% and 11.1%; eGFR 2.5% and 2.6%. §Pancreatitis, inflammatory bowel disease or diabetic gastro- paresis. ¶Cardiovascular disease (myocardial infarction, angina, ischae- mic heart disease, coronary heart disease, acute coronary syndrome or coronary revascularization). ††Microvascular complications (retinopathy, nephropathy or neuropathy). †Rather than three agents. ‡Percentage with missing data, GLP and insulin respectively: weight/BMI 8.4% and 11.1%; eGFR 2.5% and 2.6%. ††Microvascular complications (retinopathy, nephropathy or neuropathy). 18.7% of the cohort during follow-up, while insulin was started in 23.7%. In the insulin cohort, 4.3% began a GLP-1 receptor agonist and 41.9% another insulin (switch or addition). ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK Outcomes The subgroups with at least 12 months’ post-treatment follow-up (intention-to-treat population) included 545 (48.5%) people from the GLP-1 receptor agonist cohort and 1340 (72.7%) from the insulin cohort. At 12 months, 366 (67.2%) of the GLP-1 receptor agonist cohort and 892 (66.6%) of the insulin cohort had an HbA1c reported, and 335 (61.5%) and 634 (47.3%) had body weight data. The difference in baseline values for those who did or did not have a value at 12 months was not statistically significant for HbA1c (P=0.09) or weight (P=0.6). Mean study follow-up was shorter in the GLP-1 receptor agonist cohort because of starting therapy more recently— 1.1 versus 1.9 years for insulin starters (Table 1). The majority (70%) of the total GLP-1 receptor agonist cohort were prescribed exenatide. The mean follow-up for liraglu- tide was 0.6 years compared with 1.4 years for exenatide, so the proportion of exenatide in the cohorts followed for 6-12 months will be higher. The majority of the insulin cohort had been prescribed insulin glargine (58%). A switch from first GLP-1 receptor agonist to the other occurred in 683 Efficacy of GLP-1 receptor agonist vs. insulin  G. C. Hall et al. DIABETICMedicine Table 2 Baseline and change in HbA1c and body weight and comparison between the GLP-1 receptor agonist and insulin cohorts 12 months, 30.3% of the GLP-1 receptor agonist cohort and 24.1% of the insulin cohort had an HbA1c level below 58 mmol/mol (7.5%). omparison between the GLP 1 receptor agonist and insulin cohorts Endpoint GLP-1 receptor agonist mean (SD) Insulin mean (SD) HbA1c (mmol/mol), n (%)* 366 (67.2) 892 (66.6) Baseline 76 (16.4) 83 (18.5) At 12 months 70 (18.9) 70 (16.9) Change 7 (17.6) 13 (20.2) Adjusted mean difference (95% CI) — 1.4 (4.1, 1.2) Body weight (kg), n (%)* 335 (61.5) 634 (47.3) Baseline 112.1 (21.1) 90.0 (20.2) 12 months 107.6 (21.3) 91.5 (19.9) Change 4.5 (7.8) +1.5 (5.4) Adjusted mean difference (95% CI) — 4.7 (3.7, 5.8) *The number with reading at baseline and 12 months (% of those followedfor12 months),%units = mmol/mol 9 0.0915 + 2.15. GLP-1 receptor agonist vs. insulin. There was a significant difference in mean weight change at 12 months between cohorts, namely 4.5 kg after starting GLP-1 receptor agonist but +1.5 kg with insulin [adjusted mean difference 4.7 (95% CI 3.7, 5.8) kg] (Table 2). Outcomes Weight change was highly variable, with a standard deviation of 7.8 kg with GLP-1 receptor agonist treatment and 5.4 kg with insulin. Mean weight reduction at 6 months was 4.2 kg on GLP-1 receptor agonist and 4.5 kg at 12 months, when 60.9% had lost more than >3 kg and 40.0% lost >6 kg. No statistically significant interactions were identified with weight change. Greater weight loss or lesser gain was seen with higher baseline body weight and BMI in both cohorts, although the association was stronger in the insulin cohort (P<0.001) for both characteristics compared with P<0.01 for higher weight and P<0.05 for BMI for the GLP-1 receptor agonist cohort. Greater weight loss or lesser gain was also found with lower baseline HbA1c in both cohorts, and with oral glucose-lowering agent use at baseline with a GLP-1 receptor agonist (all P<0.01). No other baseline variables were associated with weight change. *The number with reading at baseline and 12 months (% of those followedfor12 months),%units = mmol/mol 9 0.0915 + 2.15. GLP-1 receptor agonist vs. insulin. At 12 months, the mean unadjusted HbA1c decrease from baseline was 7 mmol/mol (0.6%) in the GLP-1 receptor agonist cohort and 13 mmol/mol (1.2%) in the insulin cohort (Table 2). After adjustment, this difference was not statistically significant; adjusted mean difference 1.4 (95% CI 4.1, 1.2) mmol/mol. A test for interaction showed a clearly larger HbA1c change at 12 months for the higher values of baseline HbA1c with both therapies (P<0.001). In an adjusted comparison of quintile baseline HbA1c, the difference in HbA1c reduction between basal insulin and GLP-1 receptor agonist was statistically significant only in those with baseline HbA1c levels >96 mmol/mol (10.9%), adjusted mean difference 17.8 (95% CI 28.6, 7.0) (Table 3). The NICE targets are set for 6 months, when the GLP-1 receptor agonist cohort included 852 (75.9%) of the baseline sample, of whom 766 (89.9%) were prescribed a GLP-1 receptor agonist throughout; 229 (29.9%) of these people had both a body weight and HbA1c record at 6 months. The NICE target of a combined reduction in HbA1c of 11 mmol/ mol (1.0%) and body weight of 3% was reached by 57 (24.9%) continuing treatment, 42.9% for HbA1c and 59.5% for weight reduction individually, with 75.5% reaching at least one target. ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK Discussion One study reported a greater reduction in HbA1c on insulin [9]. Mean baseline HbA1c in the clinical trials [57–71 mmol/ mol (7.4–8.7%)] was lower than in our study and other observational studies [GLP-1 receptor agonist 63–78 mmol/ mol (7.9–9.3%), insulin 77–84 mmol/mol (9.2–9.9%)], raising the issue of the generalizability of trial results. Those people with the highest HbA1c who benefited most on insulin may have been excluded from clinical trials. The finding of a significantly greater drop in HbA1c level on insulin rather than GLP-1 receptor agonist was reported from an observa- tional study that had the greatest difference in baseline values [9]. A problem of inadequate titration of insulin dose is clear in both settings and, judging by the mean 12-month level in this study, is a problem in routine UK practice. Weight loss (rather than gain) has been confirmed by clinical trials [2] and observational studies[8,9] of GLP-1 receptor agonists versus basal insulin. Our findings from routine care suggest that useful weight loss was obtained in people starting GLP-1 receptor agonists, although there was considerable variation. The insulin cohort gained weight only modestly. Those people with a higher baseline BMI benefited most from weight reduction whether treated with a GLP-1 receptor agonist or insulin. This was also true of lower HbA1c, as expected, given that reduction in urinary glucose excretion would be lower in this group. Most people continuing GLP-1 receptor agonist treatment for 6 months did not reach the UK NICE target, [1] but many did benefit by reaching at least one element of the goal. However the determining factor for the NICE target, i.e. cost-effectiveness, was not usually met. Many people did not have values recorded around 6 months, suggesting the recommendations may not be followed. This study used primary care records and, while this provided a picture of events in routine care, it resulted in a number of limitations. Almost one fifth of patients were excluded from the analysis because no interpretable HbA1c was recorded in the 100 days prior to their first prescription for a study treatment. Some patients had no value recorded and it is possible that this group was treated in secondary care, biasing our results towards those monitored in primary care. Not all patients identified at first prescription had weight and HbA1c readings at 6 or 12 months. Discussion However, there was little difference in the baseline weight and HbA1c readings for the total cohorts and those subgroups analysed, although biased recording of later results cannot be ruled out. The results cannot be generalized to people who started treatment with other insulins or a mixture of GLP-1 receptor agonist and insulin, or to the unusual group who start insulin from no or one oral agent [13]. It should also be noted that, while this study grouped patients regardless of insulin or GLP-1 receptor agonist type, differences in glycaemic control have been reported between agents. For example, while few patients had been treated with liraglutide for 12 months at the time of this study (11% of the GLP-1 receptor agonist cohort), the LEAD 6 study reported a significantly greater reduction in mean HbA1c in liraglutide rather than exenatide treatment, but no difference in weight change [14]. The finding that a greater number of oral glucose-lowering agents at baseline decreased weight loss during GLP-1 receptor agonist treatment might be related to concomitant weight-promoting medications such as thiazolidinediones (and their cessation, which might itself reduce body weight). There was little further weight reduction between 6 months (4.2 kg) and 1 year (4.5 kg), consistent with the suggestion that a new level of calorie intake is established early in the course of therapy. A small US study of exenatide treatment reported that people had begun to regain weight by 1 year (3.5 kg at 6 months, -2.1 kg at 12 months) [12]. Those people prescribed insulin had both a higher baseline HbA1c and a greater mean reduction in HbA1c compared with the GLP-1 receptor agonist cohort. However, the difference was not statistically significant in the adjusted analysis, and the reduction in HbA1c was strongly associated with baseline HbA1c regardless of treatment cohort (Table 3). In contrast, in those with very poor glucose control, HbA1c reduction was substantially greater with insulin, perhaps reflecting more severe endogenous insulin deficiency in this group. The finding that HbA1c reduction was negligible with either therapy in those who started treatment in the lowest HbA1c quintile (<66 mmol/mol) is of concern, as these therapies have been shown to be effective at that level in the randomized trial setting. Perhaps the withdrawal of effective oral agents is not being overcome, or there remains a failure to titrate insulin doses to target over 6–12 months. Discussion In univariate analyses of baseline characteristics, HbA1c reduction was associated with baseline HbA1c in both cohorts (P<0.001), as were increasing age in the GLP-1 receptor agonist cohort, and no microvascular disease or fewer oral glucose-lowering agents prescribed up to baseline in the insulin cohort (P<0.05 in each case). Other baseline variables were not associated with HbA1c change. At This observational primary care study found large differences between the people who started GLP-1 receptor agonist therapy and those who started insulin after previous treat- ment with oral agents. In particular, the GLP-1 receptor agonist cohort had a much higher baseline mean weight and BMI and lower HbA1c. These differences are largely expected Table 3 Change of HbA1c (mmol/mol)* by therapy according to quintiles of whole cohort baseline HbA1c Quintile category Baseline HbA1c Mean HbA1c change (SD) Mean difference (95% CI) GLP-1 receptor agonist mean (SD) n Insulin mean (SD) n GLP-1 receptor agonist Insulin Unadjusted Adjusted <66 58.5 (6.4) 108 61.6 (4.1) 152 1.7 (13.7) 0.2 (14.0) 1.5 (5.0, 1.9) 1.8 (6.6, 3.0) 66–75 70.6 (2.3) 80 70.8 (2.4) 202 6.0 (14.5) 6.1 (12.6) 0.1 (3.5, 3.4) 0.1 (4.9, 5.1) 75–84 79.5 (2.7) 70 79.2 (2.5) 174 7.6 (18.7) 8.1 (15.5) 0.5 (5.1, 4.1) 1.3 (4.6, 7.2) 84–96 89.3 (3.7) 63 89.7 (3.5) 190 12.0 (19.4) 17.3 (15.6) 5.3 (10.0, 0.5) 5.4 (11.5, 0.6) >96 105.9 (10.3) 45 112.2 (15.1) 174 17.4 (18.1) 34.7 (22.9) 17.3 (24.5, 10.0) 17.8 (28.6, 7.0) *Conversion to% units (mmol/mol 9 0.0915) + 2.15 for absolute values, (mmol/mol 9 0.0915) for change in value. Table 3 Change of HbA1c (mmol/mol)* by therapy according to quintiles of whole cohort baseline HbA1c ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK 684 Research article DIABETICMedicine as the UK NICE clinical guideline indicates GLP-1 receptor agonist therapy mainly for those with BMI >35.0 kg/m2. The lower mean HbA1c may account for the younger age and shorter duration of diabetes, and thus lower rates of microvascular disease and heart failure. The higher eGFR may be attributable to licensing restrictions for GLP-1 receptor agonists, and the finding that insulin is more commonly started in people with concomitant disease. The rate of gastrointestinal disease was similar between the treatment cohorts, despite some licensing restrictions in GLP- 1 receptor agonist use, perhaps because pancreatitis, inflam- matory bowel disease and gastroparesis are relatively uncommon. ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK Discussion The frequency of hypoglycaemia is also an important factor in determining the efficacy of diabetes therapies, but this endpoint was not studied because hypoglycaemia events managed by the patient, family or by paramedics are not well reported to the general practitioner and therefore often not included in the database. There may be bias in the reporting of events after insulin versus GLP-1 receptor agonist initia- tion. Clinical trials and other observational studies have reported similar [3,4,6] or lower overall rates of hypoglyca- Clinical trials [3–5] and observational studies [8] of insulin versus exenatide have also reported no overall difference in change from a baseline HbA1c after 6 or 12 months or a greater reduction in HbA1c on exenatide [7] or liraglutide [6]. 685 Efficacy of GLP-1 receptor agonist vs. insulin  G. C. Hall et al. DIABETICMedicine emia [5,8] or a lower rate of nocturnal events [3,4] in GLP-1 receptor agonist versus insulin treatment. Higher rates have also been reported in those with a history of hypoglycaemia [9]. mic control with minimal weight gain in patients with type 2 diabetes: results of the Helping Evaluate Exenatide in patients with diabetes compared with Long-Acting insulin (HEELA) study. Diabetes Obes Metab 2009; 11: 1153–62. mic control with minimal weight gain in patients with type 2 diabetes: results of the Helping Evaluate Exenatide in patients with diabetes compared with Long-Acting insulin (HEELA) study. Diabetes Obes Metab 2009; 11: 1153–62. 4 Heine RJ, Van Gaal LF, Johns D, Mihm MJ, Widel MH, Brodows RG et al., Exenatide versus Insulin Glargine in Patients with Suboptimally Controlled Type 2 Diabetes. Annals of Internal Medicine 2005; 143: 559–569. In conclusion, GLP-1 receptor agonists and insulins are prescribed to different populations. In particular, GLP-1 receptor agonists are prescribed to those with higher BMI, in line with the benefits expected from clinical trial data, whereas those with higher HbA1c are more likely to receive insulin. There was no sign of weight regain at 1 year. While mean weight loss was good ( 4.5 kg), the standard deviation of 7.8 kg implies a diverse response and many failed to reach a combined weight/HbA1c target. A greater reduction in HbA1c by the insulin cohort was clinically and statistically significant only in those with the highest baseline levels. 1 National Institute for Clinical Excellence NICE short clinical guideline 87– Type 2 diabetes: Newer agents. 2009. Available at http://www.nice.org.uk/nicemedia/pdf/CG87ShortGuideline.pdf Last accessed April 2012. 2 Shyangdan DS, Royle PL, Clar C, Sharma P, Waugh NR. Glucagon- like peptide analogues for type 2 diabetes mellitus: systematic review and meta-analysis. BMC Endocr Disord 2010; 10: 20–46. Funding sources The study was funded by Sanofi-Aventis without restriction on publication. 8 Guerci B, Sapin H, Stenson C, Krarup T, Theodorakis M, Reaney M et al., Clinical Outcomes in Patients with Type 2 Diabetes (T2D) Who Initiated Exenatide BID or Insulin: 6-Month Data from CHOICE. Diabetes 2011; 34(Suppl 2): A283. Discussion 5 Bunck MC, Diamant M, Corner A, Eliasson B, Malloy JL, Shaginian RM et al., One-year treatment with exenatide improves beta-cell function, compared with insulin glargine, in metformin- treated type 2 diabetic patients: a randomized, controlled trial. Diabetes Care 2009; 32: 762–768. 6 Russell-Jones D, Vaag A, Schmitz O, Sethi B, Lalic N, Antic S et al., Liraglutide vs insulin glargine and placebo in combination with metformin and sulfonylurea therapy in type 2 diabetes mellitus (LEAD-5 met+SU): a randomised controlled trial. Diabetologia 2009; 52: 2046–2055. 7 Diamant M, Van Gaal L, Stranks S, Northrup J, Cao D, Taylor K et al., Once weekly exenatide compared with insulin glargine titrated to target in patients with type 2 diabetes (DURATION-3): an open- label randomised trial. Lancet 2010; 375: 2234–2243. Competing interests 9 Rosenstock J, Dain M, Bhushan R, Home P Glycemic outcomes following initiation of insulin glargine or exenatide in patients with type 2 diabetes. 2009. Available at http://professional.diabetes.org/ Abstracts_Display.aspx?TYP=1&CID=73267 Last accessed April 2012. GCH has received funding for research and payment for consultancy from a number of pharmaceutical companies, including manufacturers of insulin, GLP-1 receptor agonists and oral agents, and from charities, and has no direct stock holding in any pharmaceutical company. M-PD and EW are employees of Sanofi-Aventis. ADM has nothing to declare. Institutions associated with PH receive funding from many major pharmaceutical companies, including manufacturers of insulin, GLP-1 receptor agonists and oral agents. 10 NHS Centre for Coding and Classification. The READ Codes. Version 3. London: Stationary Office, 1996. 11 Joint Formulary Committee, British National Formulary 60. London: British Medical Association, Royal Pharmaceutical Society of Great Britain, 2010. 12 Loh J, Clement S Efficacy of Exenatide Therapy over Two Years in a “Real World” Setting. 2008: 105-OR. Available at http:// professional.diabetes.org/Adv_SearchResult.aspx?typ=1&sr=adv& cng=79&abn=105&aut=&tit=&kwd=&sub=-1 Last accessed April 2012. 3 Davies MJ, Donnelly R, Barnett AH, Jones S, Nicolay C, Kilcoyne A. Exenatide compared with long-acting insulin to achieve glycae- ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK References 13 Hall GC, McMahon AD, Carroll D, Home PD, Macrovascular and microvascular outcomes after beginning of insulin versus additional oral glucose-lowering therapy in people with type 2 diabetes: an observational study. Pharmacoepidemiol Drug Saf 2012; 21: 305– 313. 14 Buse JB, Rosenstock J, Sesti G, Schmidt WE, Montanya E, Brett JH et al., Liraglutide once a day versus exenatide twice a day for type 2 diabetes: a 26-week randomised, parallel-group, multi- national, open-label trial (LEAD-6). The Lancet 2009; 374: 39– 47. ª 2013 The Authors. Diabetic Medicine ª 2013 Diabetes UK 686
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Imbalance Glutathione Biosynthesis in ASD: A kinetic patterns &amp;ldquo;in vivo&amp;rdquo;
Proceedings of MOL2NET 2018, International Conference on Multidisciplinary Sciences, 4th edition
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Mol2Net-04, 2018, BIOCHEMPHYS-01 (pages 1- x, type of paper, doi: xxx-xxxx http://sciforum.net/conference/mol2net-4 Mol2Net-04, 2018, BIOCHEMPHYS-01 (pages 1- x, type of paper, doi: xxx-xxxx http://sciforum.net/conference/mol2net-4 Mol2Net-04 SciForum Mol2Net-04 SciForum Imbalance Glutathione Biosynthesis in ASD: A kinetic patterns “in vivo”. Jiménez-Espinoza C (1,2), Marcano F (1,2), González-Mora JL (1,2,3) 1 Dept of Physiology. School of medicine, Neurochemistry and Neuroimages lab., University of La Laguna, Tenerife. Spain. E-Mail: fmarcano@ull.es; 1 Dept of Physiology. School of medicine, Neurochemistry and Neuroimages lab., University of La Laguna, Tenerife. Spain. E-Mail: fmarcano@ull.es; 2 Dept of Physiology. School of medicine, Neurochemistry and Neuroimages lab., Magnetic Resonance Center IMETISA, Univ. Hospital, University of La Laguna, Tenerife, Spain.; E-Mails: jlgonzal@ull.edu.es; 2 Dept of Physiology. School of medicine, Neurochemistry and Neuroimages lab., Magnetic Resonance Center IMETISA, Univ. Hospital, University of La Laguna, Tenerife, Spain.; E-Mails: jlgonzal@ull.edu.es; * Author to whom correspondence should be addressed; E-Mail: Carmen.jimenez.87@ull.edu.es; Tel.: +34-922-319-363; Fax: +34-922-319-397. * Author to whom correspondence should be addressed; E-Mail: Carmen.jimenez.87@ull.edu.es; Tel.: +34-922-319-363; Fax: +34-922-319-397. Keywords: Glutathione biosynthesis; Autism spectrum disorders; Proton Magnetic Resonance Spectroscopy; Kinetic chemistry. Mol2Net YouTube channel: http://bit.do/mol2net-tube YouTube link: please, paste here the link to your personal YouTube video, if any. 1. Introduction neurology is its ability to quantify neuronal loss and to demonstrate reversible neuronal damage (Soares & Law, 2009). In our previous studies, we described the kinetic imbalance in tri-cellular metabolism of N-acetyl-aspartyl glutamate (NAAG), in anterior (ACC) and posterior (PCC) cingulated cortices relate to the executive control networks and the attention alert functions respectively, linked to ASD neuropathogenesis (Jimenez-Espinoza, Marcano, & Gonzalez-Mora, 2017). This study extended prior work in anterior and posterior cingulated cortices area by establishing metabolic abnormalities, which have been identified by 1H-MRS. We aim is to study the glutathione (GSH) biosynthesis in the cingulated cortices, as target of an enzymatic oxidative imbalance in individuals with ASD using 1H-MRS. The defense against the toxic effects of reactive oxygen species (ROS) is an essential task within the brain during a long human life, which indicates the presence of an effective antioxidant system (Mangia et al., 2007). However, the balance between ROS generation and antioxidant processes can be altered, causing neurological disorders such as Alzheimer's and Parkinson's (Antuono, Jones, Wang, & Li, 2001; Kickler et al., 2007; Rupsingh, Borrie, Smith, Wells, & Bartha, 2011). The same way, markers of oxidative stress are strongly associated with greater cellular lesions and manifest severe mitochondrial dysfunction in autism spectrum disorders (ASD) neuropathology (Frye et al., 2013). Despite, previous studies indicate that ASD is associated with deficits in the antioxidant defense of glutathione in selective regions of the brain (Rose et al., 2012), such as the cerebellum and the cortexes of the frontal, temporal, parietal and occipital lobes, the molecular mechanisms of oxidative stress continue being unclear. Abstract: Biomarkers of oxidative stress are strongly associated with severe mitochondrial dysfunction in Autism Spectrum disorders (ASD) neuropathology, associated with deficits in the antioxidant defense of glutathione in selective regions of the brain, however, the molecular mechanisms of oxidative stress continue being unclear. Our previous studies we described the kinetic imbalance in tri-cellular metabolism of N-acetyl-aspartyl glutamate (NAAG), in anterior (ACC) and posterior (PCC) cingulated cortices relate to the executive control networks and the attention alert functions respectively, linked to ASD pathogenesis. In the present study, we use proton resonance magnetic spectroscopy (1H-MRS) to study the specie reduced of glutathione (GSH) biosynthesis in the cingulated cortices, as target of oxidative stress in individuals with ASD. The single voxel of 1H-MRS in bilateral anterior (ACC) and posterior (PCC) cingulated cortices, in adults with ASD and controls with (TD) typical development (n = 21 and n = 46 respectively) were assessed. Glutathione (GSH) concentration were significantly decreased in ACC (P = 0.05). Also, the affinity between enzyme and substrate associated with the biosynthesis of reduced species at glutathione was calculate by Michaelis Menten constant (Km) showing that glutathione biosynthesis decreased significant (1.1e-12 mM; R2 = 0.001) in anterior cingulated cortex in autism and, the dissociation constant (ki) was reduced by 67.22% in consequence. Comparatively, maximum rate (Vmax) of the appearance of the product, which depends on the slowest pathway of the enzymatic reaction was significantly decreased (15.12 µM / min; R2 = 0.51) in posterior cingulated cortices. Imbalance enzymatic kinetic in glutathione biosynthesis in the autism cingulated cortices is a novel finding indicative of a chronic neuroinflammatory state in these regions and, can lead us to a new therapeutic pathway in the treatment of individuals with ASD. Keywords: Glutathione biosynthesis; Autism spectrum disorders; Proton Magnetic Resonance Spectroscopy; Kinetic chemistry. Mol2Net YouTube channel: http://bit.do/mol2net-tube YouTube link: please, paste here the link to your personal YouTube video, if any. Table 1. Measured of enzyme affinity for the substrate using the Michaelis Menten constant (Km). Pvalue < 0.05. 2. Results and Discussion The glutathione (GSH) reduce species concentration was significantly decreased (3.08mM; P = 0.05) in ACC conversely, glutamate concentration (12.10mM; P = 0.02) was increased in ASD. g Glutathione (GSH; γ-L-glutamyl-L-cysteinyl- glycine) is the most abundant endogenous antioxidant present in mammalian cells (0.1 to 15 mM) and plays a protective role for exogenous toxins and endogenous, especially in the central nervous system. It biosynthesis pathway, have two consecutive reactions that consume ATP, including two enzymes: glutamate cysteine ligase (GCL), [E-6.3.2.2], formerly known as gamma- glutamyl cysteine synthetase (GCS) and glutathione synthetase (GSS), [E-6.3 .2.3] to generate GSH (Copeland, 2013). In addition, lower GSH levels (Rossignol & Frye, 2014) and markers of increased oxidative stress (Adams et al., 2009) have been correlated with ASD severity. The Michaelis Menten constant (Km) showing that glutathione biosynthesis decreased significant [1.1e-12mM; R2 = 0.001] in autism compared to the TD group (see Table 1), showing that the affinity between substrate and enzyme is significantly higher in individuals with autism. Furthermore, the dissociation constant (ki) was reduced by 67.22% in consequence. Conversely, maximum rate (Vmax) of the appearance of the product, which depends on the slowest pathway of the enzymatic reaction was significantly decreased (15.12 µM/min; R2 = 0.51) in PCC (see Fig.1). Decrease in ACC of Km and Ki in individuals with autism, does not mean that the enzyme is not present since these constants are independent of the concentration of enzymes and only depends on the K-Off / K-On rate constants for the union from the substrate to the enzyme. The proton magnetic resonance spectroscopy (1H-MRS) is a non-invasive neuroimaging technique that estimates specific chemical metabolite measures in vivo, of different metabolites in specific cerebral regions (Aoki, Kasai, & Yamasue, 2012). One the most important contributions of 1H-MRS to clinical Table 1. Measured of enzyme affinity for the substrate using the Michaelis Menten constant (Km). P l < 0 05 Table 1. Measured of enzyme affinity for the substrate using the Michaelis Menten constant (Km). Pvalue < 0.05. Mol2Net, 2015, 1(Section A, B, C, etc.), 1- x, type of paper, doi: xxx-xxxx 3 3 Mol2Net, 2015, 1(Section A, B, C, etc.), 1 x, type of paper, doi: xxx xxxx 3 [ ] Note: (mM), milimolar; (µM/min), micromolar per minute; (Vmax), maximum velocity; (Km), Michaelis Menten constant; (Ki), dissociation coefficient; (R2 ), coefficient of determination; (Glu), glutamate; (GSH), glutathione. 2. Results and Discussion Brain areas ASD TD Vmax [µM/min] Km [mM] Ki [mM] R2 Vmax [µM/min] Km [mM] Ki [mM] R2 ACC Glu<->GSH PCC 12.60 1.1e-12 72.42 0.001 11.32 0.26 220.9 0.01 Glu<->GSH 15.12 1.50 ˜ 1.9e+18 0.51 ˜ 62.20 9.41 1.84 0.22 [ ] Note: (mM), milimolar; (µM/min), micromolar per minute; (Vmax), maximum velocity; (Km), Michaelis Menten constant; (Ki), dissociation coefficient; (R2 ), coefficient of determination; (Glu), glutamate; (GSH), glutathione. Brain areas ASD TD Vmax [µM/min] Km [mM] Ki [mM] R2 Vmax [µM/min] Km [mM] Ki [mM] R2 ACC Glu<->GSH PCC 12.60 1.1e-12 72.42 0.001 11.32 0.26 220.9 0.01 Glu<->GSH 15.12 1.50 ˜ 1.9e+18 0.51 ˜ 62.20 9.41 1.84 0.22 [ Brain areas ASD TD Vmax [µM/min] Km [mM] Ki [mM] R2 Vmax [µM/min] Km [mM] Ki [mM] R2 ACC Glu<->GSH PCC 12.60 1.1e-12 72.42 0.001 11.32 0.26 220.9 0.01 Glu<->GSH 15.12 1.50 ˜ 1.9e+18 0.51 ˜ 62.20 9.41 1.84 0.22 ] Note: (mM), milimolar; (µM/min), micromolar per minute; (Vmax), maximum velocity; (Km), Michaelis Menten constant; (Ki), dissociation coefficient; (R2 ), coefficient of determination; (Glu), glutamate; (GSH), glutathione. ] Note: (mM), milimolar; (µM/min), micromolar per minute; (Vmax), maximum velocity; (Km), Michaelis Menten constant; (Ki), dissociation coefficient; (R2 ), coefficient of determination; (Glu), glutamate; (GSH), glutathione. [ [ Mol2Net, 2015, 1(Section A, B, C, etc.), 1- x, type of paper, doi: xxx-xxxx 4 TD - ACC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(ACC) GSH TD - PCC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(PCC) GSH ASD - ACC [mM] Velocity [uM/min] 0 1 2 3 4 5 0 5 10 15 20 Glu(ACC) GSH ASD - PCC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(PCC) GSH Mean metabolite concentration [mM] AQ1-ACC AQ1-PCC AQ2-ACC AQ2-PCC AQ3-ACC AQ3-PCC AQ4-ACC AQ4-PCC 0 5 10 15 20 ** Glu (ACC-PCC) Mean metabolite concentration [mM] AQ1-ACC AQ1-PP AQ2-ACC AQ2-PCC AQ3-ACC AQ3-PCC AQ4-ACC AQ4-PCC 0 1 2 3 4 5 ** GSH (ACC-PCC) ] Figure 1. Diagram of reaction rate and constant of Michaelis-Menten (Km), as function of substrate concentration in GSH Biosynthesis. 3. Materials and Methods Although, Km isn’t a direct measure of an enzyme’s affinity for a substrate, however, it is indirectly related to affinity between substrate and enzyme reaction and is defined as the substrate concentration at which the reaction rate is half of the maximum (Vmax). The Single voxel of resonance magnetic spectroscopy (1H-MRS) in bilateral anterior (ACC) and posterior (PCC) cingulated cortices in adults with a clinical diagnosis of ASD (n=21) and controls with typical development (n=46), matched for age and gender and Autism Quotients (AQ) score were assessed. Statistic one-way ANOVA and Bonferroni correction were applied. The affinity between enzyme and substrate associated with GSH biosynthesis was calculate by Michaelis Menten constant (Km). Conflicts of Interest The authors declare no conflict of interest. 4. Conclusions Our findings indicate that, at a small amount of substrate, the rate increases rapidly and linearly in ACC, suggesting that the active sites of the enzyme are saturated with the substrate, whereas the enzyme substrate complex is very tight and rarely dissociates without the substrate reacting to give the product. Imbalance enzymatic kinetic in glutathione biosynthesis in the autism cingulated cortices is a novel finding indicative of a chronic neuroinflammatory state in these regions. We further conclude that a better understanding of the enzymatic activity in the synthesis of glutathione in the cingulated cortices can lead us to a new therapeutic pathway in the treatment of individuals with ASD. Acknowledgments The authors wish to acknowledge the generous bequest of patients, who without the precious collaboration no research into the neurochemicals underpinnings of autism would have been possible. We also thank the organizations of persons with ASD in Tenerife, principally “APANATE” who assisted us to make this study, and MRI service for Biomedical Research (SRMIB). This project has been Co-funded by the EU under the INTERREG program (MAC/1.1.b/098), by means of the European Regional Development Fund – ERDF (85%). The program for the Promotion of Knowledge Transfer and Technology 2016-2020, "Agustin De Betancourt" Program, no. 02-12, area of Biotechnology and Health. Santa Cruz de Tenerife, Spain. Author Contributions C.J-E, designed the experiment, oversaw its implementation, critical analysis of the results, and wrote the final manuscript; F.M.S. performs the spectroscopy analysis; J.L.G-M, assisted in the development paradigm. 2. Results and Discussion Mean of metabolites Glu and GSH concentration correlated with ASD severity by AQ-score TD - ACC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(ACC) GSH TD - PCC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(PCC) GSH TD - ACC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(ACC) GSH CC) TD - PCC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(PCC) GSH ASD - ACC [mM] Velocity [uM/min] 0 1 2 3 4 5 0 5 10 15 20 Glu(ACC) GSH ASD - PCC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(PCC) GSH Mean metabolite concentration [mM] AQ1-ACC AQ1-PCC AQ2-ACC AQ2-PCC AQ3-ACC AQ3-PCC AQ4-ACC AQ4-PCC 0 5 10 15 20 ** Glu (ACC-PCC) Mean metabolite concentration [mM] AQ1-ACC AQ1-PP AQ2-ACC AQ2-PCC AQ3-ACC AQ3-PCC AQ4-ACC AQ4-PCC 0 1 2 3 4 5 ** GSH (ACC-PCC) ] Figure 1. Diagram of reaction rate and constant of Michaelis-Menten (Km), as function of substrate concentration in GSH Biosynthesis. Mean of metabolites Glu and GSH concentration correlated with ASD severity by AQ-score. ASD - ACC [mM] Velocity [uM/min] 0 1 2 3 4 5 0 5 10 15 20 Glu(ACC) GSH ASD - PCC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(PCC) GSH Mean metabolite concentration [mM] AQ1-ACC AQ1-PCC AQ2-ACC AQ2-PCC AQ3-ACC AQ3-PCC AQ4-ACC AQ4-PCC 0 5 10 15 20 ** Glu (ACC-PCC) Mean metabolite concentration [mM] AQ1-ACC AQ1-PP AQ2-ACC AQ2-PCC AQ3-ACC AQ3-PCC AQ4-ACC AQ4-PCC 0 1 2 3 4 5 ** GSH (ACC-PCC) ASD - PCC [mM] Velocity [uM/min] 0 2 4 6 8 10 0 5 10 15 20 Glu(PCC) GSH Mean metabolite concentration [mM] AQ1-ACC AQ1-PP AQ2-ACC AQ2-PCC AQ3-ACC AQ3-PCC AQ4-ACC AQ4-PCC 0 1 2 3 4 5 ** ] Figure 1. Diagram of reaction rate and constant of Michaelis-Menten (Km), as function of substrate concentration in GSH Biosynthesis. Mean of metabolites Glu and GSH concentration correlated with ASD severity by AQ-score. Mol2Net, 2015, 1(Section A, B, C, etc.), 1- x, type of paper, doi: xxx-xxxx Mol2Net, 2015, 1(Section A, B, C, etc.), 1- x, type of paper, doi: xxx-xxxx 5 References and Notes Adams, J., Baral, M., Geis, E., Mitchell, J., Ingram, J., Hensley, A., et al. (2009). The severity of autism is associated with toxic metal body burden and red blood cell glutathione levels. Journal of Toxicology, 2009. Adams, J., Baral, M., Geis, E., Mitchell, J., Ingram, J., Hensley, A., et al. (2009). The severity of autism is associated with toxic metal body burden and red blood cell glutathione levels. Journal of Toxicology, 2009. Antuono, P. G., Jones, J. L., Wang, Y., & Li, S.-J. (2001). Decreased glutamate+ glutamine in Alzheimer’s disease detected in vivo with 1H-MRS at 0.5 T. Neurology, 56(6), 737-742. Aoki, Y., Kasai, K., & Yamasue, H. (2012). Age-related change in brain metabolite abnormalities in autism: a meta-analysis of proton magnetic resonance spectroscopy studies. Translational Psychiatry, 2. Mol2Net-04, 2018, BIOCHEMPHYS-01 (pages 1- x, type of paper, doi: xxx-xxxx http://sciforum.net/conference/mol2net-4 6 Mol2Net-04, 2018, BIOCHEMPHYS-01 (pages 1- x, type of paper, doi: xxx-xxxx http://sciforum.net/conference/mol2net-4 6 6 Copeland, R. A. (2013). Evaluation of enzyme inhibitors in drug discovery: a guide for medicinal chemists and pharmacologists: John Wiley & Sons. Frye, R., Delatorre, R., Taylor, H., Slattery, J., Melnyk, S., Chowdhury, N., et al. (2013). Redox metabolism abnormalities in autistic children associated with mitochondrial disease. Translational psychiatry, 3(6), e273. Jimenez-Espinoza, C., Marcano, F., & Gonzalez-Mora, J. (2017). Heterogeneity neurochemistry in cingulate cortex in adults with autism spectrum disorders: A proton MR spectroscopy study”. Medical and Health Science Journal, 18(1), 2-13. Kickler, N., Krack, P., Fraix, V., Lebas, J. F., Lamalle, L., Durif, F., et al. (2007). Glutamate measurement in Parkinson's disease using MRS at 3 T field strength. NMR in Biomedicine: An International Journal Devoted to the Development and Application of Magnetic Resonance In vivo, 20(8), 757-762. Mangia, S., Tkáč, I., Gruetter, R., Van de Moortele, P.-F., Maraviglia, B., & Uğurbil, K. (2007). Sustained neuronal activation raises oxidative metabolism to a new steady-state level: evidence from 1H NMR spectroscopy in the human visual cortex. Journal of Cerebral Blood Flow & Metabolism, 27(5), 1055-1063. Rose, S., Melnyk, S., Pavliv, O., Bai, S., Nick, T., Frye, R., et al. (2012). Evidence of oxidative damage and inflammation associated with low glutathione redox status in the autism brain. Translational Psychiatry, 2(7), e134. y y Rossignol, D. A., & Frye, R. E. (2014). Evidence linking oxidative stress, mitochondrial dysfunction, and inflammation in the brain of individuals with autism. Frontiers in physiology, 5, 150. Rupsingh, R., Borrie, M., Smith, M., Wells, J., & Bartha, R. (2011). Reduced hippocampal glutamate in Alzheimer disease. Neurobiology of aging, 32(5), 802-810. Soares, D. P., & Law, M. (2009). Magnetic resonance spectroscopy of the brain: review of metabolites and clinical applications. Clinical Radiology, 64(1), 12-21.
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Poplar carbohydrate-active enzymes: whole-genome annotation and functional analyses based on RNA expression data Vikash Kumar, Matthieu Hainaut, Nicolas Delhomme, Chanaka Mannapperuma, Peter Immerzeel, Nathaniel R Street, Bernard Henrissat, Ewa J Mellerowicz Vikash Kumar, Matthieu Hainaut, Nicolas Delhomme, Chanaka Mannapperuma, Peter Immerzeel, Nathaniel R Street, Bernard Henrissat, Ewa J Mellerowicz To cite this version: Vikash Kumar, Matthieu Hainaut, Nicolas Delhomme, Chanaka Mannapperuma, Peter Immerzeel, et al.. Poplar carbohydrate-active enzymes: whole-genome annotation and functional analyses based on RNA expression data. ACS Infectious Diseases, 2019, 5 (9), pp.1609-1623. ￿10.1021/acsin- fecdis.9b00179￿. ￿hal-02612466￿ Distributed under a Creative Commons Attribution 4.0 International License SUMMARY Carbohydrate-active enzymes (CAZymes) catalyze the formation and modification of glycoproteins, glyco ipids, starch, secondary metabolites and cell wall biopolymers. They are key enzymes for the biosynthesi of food and renewable biomass. Woody biomass is particularly important for long-term carbon storage an as an abundant renewable natural resource for many industrial applications. This study presents a re-anno tation of CAZyme genes in the current Populus trichocarpa genome assembly and in silico functional char acterization, based on high-resolution RNA-Seq data sets. Altogether, 1914 CAZyme and expansin gene were annotated in 101 families. About 1797 of these genes were found expressed in at least one Populu organ. We identified genes involved in the biosynthesis of different cell wall polymers and their paralogs Whereas similar families exist in poplar and Arabidopsis thaliana (with the exception of CBM13 found onl in poplar), a few families had significantly different copy numbers between the two species. To identify th transcriptional coordination and functional relatedness within the CAZymes and other proteins, we per formed co-expression network analysis of CAZymes in wood-forming tissues using the AspWood databas (http://aspwood.popgenie.org/aspwood-v3.0/) for Populus tremula. This provided an overview of the tran scriptional changes in CAZymes during the transition from primary to secondary wall formation, and th clustering of transcripts into potential regulons. Candidate enzymes involved in the biosynthesis of polysac charides were identified along with many tissue-specific uncharacterized genes and transcription factors These collections offer a rich source of targets for the modification of secondary cell wall biosynthesis an other developmental processes in woody plants. Keywords: carbohydrate metabolism, cell wall, comparative genomics, genome sequencing, vegetativ development, wood formation. Linked article: This paper is the subject of a Research Highlight article. To view this Research Highlight articl visit https://doi.org/10.1111/tpj.14465. Carbohydrate-active enzymes (CAZymes) catalyze the formation and modification of glycoproteins, glycol- ipids, starch, secondary metabolites and cell wall biopolymers. They are key enzymes for the biosynthesis of food and renewable biomass. Woody biomass is particularly important for long-term carbon storage and as an abundant renewable natural resource for many industrial applications. This study presents a re-anno- tation of CAZyme genes in the current Populus trichocarpa genome assembly and in silico functional char- acterization, based on high-resolution RNA-Seq data sets. Altogether, 1914 CAZyme and expansin genes were annotated in 101 families. About 1797 of these genes were found expressed in at least one Populus organ. HAL Id: hal-02612466 https://amu.hal.science/hal-02612466v1 Submitted on 19 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 Poplar carbohydrate-active enzymes: whole-genome annotation and functional analyses based on RNA expression data kash Kumar1, Matthieu Hainaut2,3, Nicolas Delhomme1, Chanaka Mannapperuma4, Peter Immerzeel1,5, Vikash Kumar1, Matthieu Hainaut2,3, Nicolas Delhomme1, Chanaka Mannapperuma4, Peter Immerzeel1,5, Nathaniel R. Street4, Bernard Henrissat2,3 and Ewa J. Mellerowicz1,* 1Umea Plant Science Center, Department of Forest Genetics and Plant Physiology, Swedish University of Agricultural Sciences, Umea, Sweden, 2Architecture et Fonction des Macromolecules Biologiques, Centre National de la Recherche Scientifique (CNRS), Aix-Mar- seille University, Marseille, France, 2Architecture et Fonction des Macromolecules Biologiques, Centre National de la Recherche Scientifique (CNRS), Aix-Mar- seille University, Marseille, France, 4Umea Plant Science Center, Plant Physiology Department, Umea University, Umea, Sweden, and 5Chemical Engineering, Karlstad University, Karlstad 65188, Sweden 4Umea Plant Science Center, Plant Physiology Department, Umea University, Umea, Sweden, and 5Chemical Engineering, Karlstad University, Karlstad 65188, Sweden Received 6 December 2018; revised 6 May 2019; accepted 13 May 2019; published online 20 May 2019. *For correspondence (e-mail ewa.mellerowicz@slu.se). SUMMARY We identified genes involved in the biosynthesis of different cell wall polymers and their paralogs. Whereas similar families exist in poplar and Arabidopsis thaliana (with the exception of CBM13 found only in poplar), a few families had significantly different copy numbers between the two species. To identify the transcriptional coordination and functional relatedness within the CAZymes and other proteins, we per- formed co-expression network analysis of CAZymes in wood-forming tissues using the AspWood database (http://aspwood.popgenie.org/aspwood-v3.0/) for Populus tremula. This provided an overview of the tran- scriptional changes in CAZymes during the transition from primary to secondary wall formation, and the clustering of transcripts into potential regulons. Candidate enzymes involved in the biosynthesis of polysac- charides were identified along with many tissue-specific uncharacterized genes and transcription factors. These collections offer a rich source of targets for the modification of secondary cell wall biosynthesis and other developmental processes in woody plants. Keywords: carbohydrate metabolism, cell wall, comparative genomics, genome sequencing, vegetative development, wood formation. Linked article: This paper is the subject of a Research Highlight article. To view this Research Highlight article visit https://doi.org/10.1111/tpj.14465. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. 589 The Plant Journal (2019) 99, 589–609 The Plant Journal (2019) 99, 589–609 doi: 10.1111/tpj.14417 doi: 10.1111/tpj.14417 p y y p gy y This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. p , which permits use, distribution and reproduction in any medium, provided the original work is properly cited. Linked article: This paper is the subject of a Research Highlight article. To view this Research Highlight article visit https://doi.org/10.1111/tpj.14465. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd This is an open access article under the terms of the Creative Commons Attribution License, which permits use distribution and reproduction in any medium provided the original work is properly an open access article under the terms of the Creative Commons Attribution License, permits use, distribution and reproduction in any medium, provided the original work is properly cited. nt Journal published by Society for Experimental Biology and John Wiley & Sons Ltd an open access article under the terms of the Creative Commons Attribution License, Journal published by Society for Experimental Biology and John Wiley & Sons Ltd open access article under the terms of the Creative Commons Attribution License, INTRODUCTION modification of all the glycoconjugates found in nature, including carbohydrates, glycoproteins, glycolipids and gly- cosylated secondary metabolites (Wilson, 2002; Cantarel et al., 2009). Plant tissues are particularly rich in complex modification of all the glycoconjugates found in nature, including carbohydrates, glycoproteins, glycolipids and gly- cosylated secondary metabolites (Wilson, 2002; Cantarel et al., 2009). Plant tissues are particularly rich in complex Carbohydrate-active enzymes (CAZymes) are essential pro- teins for all life forms (Lombard et al., 2014). They are fun- damentally important for the synthesis, degradation and 589 Vikash Kumar et al. 590 The availability of a mature genome assembly (v3.0) for Populus trichocarpa, together with recent high-resolution RNA-Seq data sets for Populus sp. (Sundell et al., 2015, 2017; Immanen et al., 2016), prompted us to carry out a re- annotation and expression analysis of CAZymes in Popu- lus. Here, we redefined all members of different CAZyme families and closely related expansins, and compared their genetic diversity with our earlier P. trichocarpa v1.0 anno- tation (Geisler-Lee et al., 2006) and with the current Ara- bidopsis thaliana (http://www.cazy.org) annotation. Furthermore, we have annotated CAZyme families in P. tri- chocarpa and their orthologs in A. thaliana. The available Populus RNA-Seq data sets were used to determine tissue specificity, and the co-expression network analyses among the CAZymes and other genes enabled the discovery of additional gene models with putative function in wood cell wall biosynthesis. carbohydrates, building the cell walls and thus affecting growth and development. Therefore, plants depend heavily on carbohydrate metabolism for a diverse array of physio- logical processes, including growth, defense, dormancy, signaling and photosynthesis (Coutinho et al., 2003). As a result of high abundance and sustainable carbon assimila- tion from the atmosphere, the carbohydrate-rich tissues of plants have become important feedstocks for biofuel and biomaterial production (Himmel et al., 2007). The classification of CAZymes into families is a difficult task, as different parameters need to be considered simul- taneously, including a significant similarity of amino acid sequences with at least one biochemically characterized family member, the presence of defined catalytic and non- catalytic modules, and the availability of a full-length pro- tein sequence (Lombard et al., 2014). By adopting this approach, the CAZymes were previously classified into four major classes, namely glycosyltransferases (GTs), gly- coside hydrolases (GHs), polysaccharide lyases (PLs) and carbohydrate esterases (CEs) (Cantarel et al., 2009). Identification of CAZyme families The comparison of protein-coding transcripts of P. tri- chocarpa gene models (v3.0) with CAZyme and expansin modules in the CAZy database resulted in the identification of 1914 CAZyme and expansin gene models, including 629 GHs, 788 GTs, 42 PLs, 106 CEs and 65 expansin-related sequences. Two other CAZyme superfamilies, the recently added catalytically active AAs (112) and the non-catalytic CBMs (173, excluding those appended to GH and GT fami- lies), were also identified. All of the genes identified are listed in Tables S1–S7. Compared with the previous annotation (Geisler-Lee et al., 2006), the current annotation includes more families in GTs, GHs and CEs. Thus, we have identified 42 out of 106 GT families, 37 out of 156 GH families, two out of 29 PL families, four out of 16 CE families, four out of 15 AA families and 12 out of 84 known CBM families listed in the CAZy database (as found in November 2018) (Table 1). Populus has all the CAZyme families identified in A. thaliana, whereas one family found in Populus, CBM13, does not have counterparts in A. thaliana (Table 1). This domain has a trefoil structure, with three sugar binding domains that can harbor different specificities to mono- or disaccharides and that belong to the ricin B lectin family (Fujimoto, 2013). All identified P. trichocarpa CBM13 gene models clustered at two loci on chromosome 6, and were similar to ricin and abrin-a, potent plant toxins. As primary producers of terrestrial ecosystems, woody plants play a special role in providing an ecologically essential carbon sink, as well as serving as an important source of industrial raw material. A major proportion of assimilated carbon in woody species is used for cambial growth and the development of the secondary cell walls in xylem cells. Once the carbon is allocated to cellulose, lig- nin or, to a large extent, hemicelluloses in xylem cell walls, it is immobilized for many decades or even centuries. Therefore, the carbohydrate-rich secondary cell walls of woody biomass are particularly important as a renewable natural resource for CO2-neutral industrial applications, with the goal of replacing fossil-based resources (Gratta- paglia et al., 2009; Hinchee et al., 2009). Identification of CAZyme families As CAZymes are involved in the formation and modification of this carbohy- drate matrix (Mellerowicz and Sundberg, 2008), a detailed study of CAZymes in a woody model species and their spa- tial interactions during wood cell wall formation is essen- tial to inform tree improvement programs to support the future bioeconomy. INTRODUCTION Recently, the lignin degrading enzymes and the polysac- charide lytic monooxygenases have been added and classi- fied as auxiliary activity (AA) families, which encompass a broad range of enzymes related to lignocellulose conver- sion (Levasseur et al., 2013). In plants, this group also con- tains diverse enzymes involved in biosynthesis and developmental processes. In addition, the carbohydrate binding modules (CBMs) encompass a group of proteins with specific domains that bind to carbohydrates (Boraston et al., 2004), for example to substrates, as in the case of hydrolytic enzymes (Guillen et al., 2010), or to ligands, as in in case of receptors (Galindo-Trigo et al., 2016). These six categories in total are organized in sequence-based families in the CAZy database (http://www.cazy.org). © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Major changes of CAZyme gene families in P. trichocarpa v3.0 versus v1.0 assembly The current P. trichocarpa v3.0 genome contains more CAZymes and expansin gene models (1914) than were reported for the previous v1.0 assembly (1603; Geisler-Lee et al., 2006). This is essentially linked to the expansion of © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Poplar carbohydrate-active enzymes 591 Table 1 CAZyme families and the number of CAZymes models per family detected in Populus trichocarpa v3.0 and Arabidopsis thaliana v10.0 genomes (November 2018) and the number of CAZymes models per family detected in Populus trichocarpa v3.0 and Arabidopsis thaliana 2018) Table 1 CAZyme families and the number of CAZymes models per family detected in Populus trichocarpa v3.0 and Arabidopsis thalian v10.0 genomes (November 2018) CAZyme families Ath P. trichocarpa Ath vs PtQ values CAZyme families Ath P. Major changes of CAZyme gene families in P. trichocarpa v3.0 versus v1.0 assembly trichocarpa Ath vs PtQ values v.10 v.3 v.3 vs v.1 v.10 v.3 v.3 vs v.1 AA1 36a 78a 78 3.3* (Continued) AA5 7a 11a 11 0.1 GH63 2 1 2 0.9 AA6 4a 9a 9 0.5 GH77 2 3 0 0.1 AA7 27a 14a 14 11.6** GH79 3 6 1 0.2 CE6 2 4a 4 0.2 GH81 2 1 3 0.9 CE8 67 89 0 0.7 GH85 2 2a 2 0.2 CE11 4a 2a 2 1.8 GH89 1 3 1 0.4 CE13 12 11 1 1.5 GH95 1 4 0 0.9 PL1 26 31 3 0.8 GH100 9 16 3 0.2 PL4 8 11 0 0.1 GH116 4 5a 5 0.1 EXPN 36 65 23 0.8 GH146 2 3a 3 0.1 (CBM13)1–2 0 6 6 4.0** GH152 19 40a 40 1.5 CBM18-(EXPN)0–1 1 5 5 0.9 GT1 122 281 45 15.6** CBM18-GH19 9 15a 15 0.1 GT2 42 60 14 0.1 CBM20 2 7a 7 1.2 GT4 24 38 3 0.1 (CBM20)2-GH77 1 2a 2 0.1 GT5 6 7 6 0.3 (CBM22)1–4-GH10 11 8a 8 2.6 GT8 42 56 5 0.4 CBM32 1a 1a 1 0.1 GT10 3 4 0 0.1 CBM43 31 34a 34 1.7 GT13 1 2 1 0.1 GH17-CBM43 28 43a 43 0.1 GT14 11 16 2 0.1 CBM45 2 2a 2 0.2 GT16 1 1 0 0.1 (CBM45)2-GH13 1 1a 1 1.6 GT17 7 5 0 1.8 CBM48 8 18a 18 0.9 GT19 1 1 0 0.1 (CBM48)1–2-GH13 7 10 10 0.1 GT20 11 13 0 0.4 GH9-CBM49 3 3a 3 0.3 GT22 3 5 1 0.1 CBM50 1 12a 12 5.7** GT24 1 1 1 0.1 (CBM53)3-GT5 3 1a 1 2.1 GT28 4 5 1 0.1 CBM57 4 92a 92 51.1** GT29 3 5 0 0.1 GH1 48 49 1 3.8* GT30 1 1 0 0.1 GH2 2 3 0 0.1 GT31 33 48 4 0.1 GH3 16 27 6 0.2 GT32 6 5 1 1 GH5 13 24 2 0.4 GT33 1 1 0 0.1 GH9 29 32 1 1.6 GT34 8 9 1 0.4 GH10 12 8 1 3.4* GT35 2 5 1 0.4 GH13 10 16 5 0.1 GT37 10 7 1 2.6 GH14 9 14 2 0.1 GT41 2 4 1 0.2 GH16 33 43 2 0.5 GT43 4 7 0 0.1 GH17 51 88 9 0.6 GT47 39 70 5 0.8 GH18 11 28 2 2.3 GT48 13 13 6 1.2 GH19 14 21 0 0.1 GT50 1 1 0 0.1 GH20 3 6 0 0.2 GT57 2 3 1 0.1 GH27 4 9 1 0.5 GT58 1 1 0 0.1 GH28 68 85 4 1.4 GT59 1 1 0 0.1 GH29 1 3 0 0.4 GT61 8 10 0 0.2 GH31 5 12 2 0.8 GT64 3 5 1 0.1 GH32 8 8 1 0.7 GT66 2 4 2 0.2 GH33 1 1a 1 0.1 GT75 5 10 1 0.3 GH35 18 23 1 0.3 GT76 1 2a 2 0.1 GH36 6 17 2 1.9 GT77 19 19 3 1.7 GH37 1 4 0 0.9 GT90 9 7a 7 1.8 GH38 4 9 1 0.5 GT92 5 3a 3 1.8 GH43 2 1 1 0.9 GT95 3 6a 6 0.2 GH47 5 6 -1 0.2 GT96 2 1a 1 0.9 GH51 2 6 3 0.8 GT106 34 44a 44 0.5 aFamilies in P. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 g g y g * and **, families differing in relative gene frequencies between P. trichocarpa and A. thaliana, taking into account the total number of genes in these species, 41377 and 27416, respectively (*P ≤0.10; **P ≤0.05, v2 test). aFamilies in P. trichocarpa not reported by Geisler-Lee et al. (2006) or in A. thaliana not listed in the CAZy database The identified A. thaliana genes include CBM32 (At5g49570) and AA family genes listed in Table S8. Genetic diversity of CAZyme gene families in Populus compared with A. thaliana The remaining four GT families, GT92, GT95, GT96 and GT106, have been created since the previous Populus CAZyme analysis and they represent different activities based on studies in A. thaliana. GT92 members are UDP- galactose 4-galactosyltransferases that synthesize rhamno- galacturonan-I (RG-I) b-1,4-D-galactan (Liwanag et al., 2012). GT95 members have been characterized as hydrox- yproline O-arabinosyl transferases (HPATs) catalyzing the transfer of L-arabinofuranosyl (Araf) residue from UDP-b-L- Araf to the hydroxyl group of the hydroxyproline residues of extensins (Ogawa-Ohnishi et al., 2013), peptide hor- mones (Schnabel et al., 2011; Okamoto et al., 2013; Xu et al., 2015) and possibly other proteins. The GT96 family comprises serine O-a-galactosyltransferases (SGTs) (Saito et al., 2014) involved in the post-translational modification of arabinogalactan proteins (AGPs) and extensins. It is rep- resented by a single model in P. trichocarpa, and the pro- tein was previously annotated in the CAZy database (http:// www.cazy.org). GT106 is a recently created CAZyme fam- ily, one clade of which contains RG-I:rhamnosyltrans- ferases (RRTs) involved in the biosynthesis of the RG-I backbone (-4GalUAa1-2Rhaa1-)n (Takenaka et al., 2018). Three out of 44 GT106 Populus sequences had previously been deposited in the CAZy database (http://www.cazy. org). Approximately 1.6 times more CAZyme genes were identi- fied in P. trichocarpa (v3.0) than in A. thaliana, as listed in the CAZy database in November 2018 (http://www.cazy.org) and supplemented by our homology-based annotation of A. thaliana AAs (Table S8). This increase was similar to that previously reported (Geisler-Lee et al., 2006). This observa- tion is in line with the census of CAZyme motifs carried out in the genomes of several streptophytes, including green algae, a moss and many vascular plants, and shows that whereas the woody plants appear to have the highest abso- lute numbers of CAZyme motifs in their genomes, the fre- quencies of these domains in relation to respective genome size are stable (Pinard et al., 2015). Thus, the difference in the absolute number of CAZymes between Populus and A. thaliana is related to the linage-specific history of whole- genome duplication and gene loss (Tuskan et al., 2006). Nevertheless, the comparative analysis of relative gene abundance (in relation to genome size) in each CAZyme family between A. thaliana and P. trichocarpa showed sig- nificant differences in a few families (Table 1). Major changes of CAZyme gene families in P. trichocarpa v3.0 versus v1.0 assembly trichocarpa not reported by Geisler-Lee et al. (2006) or in A. thaliana not listed in the CAZy database (http://www.cazy.org/) The identified A. thaliana genes include CBM32 (At5g49570) and AA family genes listed in Table S8. * and **, families differing in relative gene frequencies between P. trichocarpa and A. thaliana, taking into account the total number o genes in these species, 41377 and 27416, respectively (*P ≤0.10; **P ≤0.05, v2 test). © 2019 The Authors Vikash Kumar et al. 592 proteins, lipids and secondary metabolites. We annotated six GT families in the P. trichocarpa v3.0 genome assembly that were not annotated in v1.0 assembly (Geisler-Lee et al., 2006) (Table 1). The GT76 family includes fungal and human mannosyl transferases that use dolichol-P-man- nose as a donor to synthesize the glycophosphatidylinosi- tol (GPI) anchor (Kang et al., 2005). The GPI anchor proteins are abundant in plants, and GT76 might have a similar role in this kingdom. The GT90 family includes b- 1,2-xylosyltransferases involved in protein glycosylation and in the biosynthesis of glucuronoxylomannan and galactoxylomannan found in fungal capsules (Klutts et al., 2007). the CAZyme database, in which several families have been added or expanded since the first analysis. Considering the previously annotated families (Geisler-Lee et al., 2006), the total number of genes has been reduced by 7% on average. For example, GT2 lost 14 members, whereas GT8 and GT47 each lost five gene models. This reduction of family mem- bers is the result of the significantly improved method of coding sequence detection and improved genome assem- bly. The lists of v1.0 gene models annotated as CAZymes coinciding (at least partially) with the current CAZyme mod- els are included in Tables S1–S4 and S6, and the change in the number of genes in each family is listed in Table 1. Genetic diversity of CAZyme gene families in Populus compared with A. thaliana For example, the GT1 family, responsible for the glycosylation of differ- ent metabolites, the AA1 family, comprising lignification-re- lated laccases, the CBM50 family, known also as LysM domain binding chitin, and the CBM57 family, including various leucine-rich receptor-like kinases (LRKs) were over- represented in P. trichocarpa. Conversely, the GH1 family of diverse exoglycanases, the GH10 family containing xyla- nases, the GH17 family involved in callose metabolism and the AA7 family comprising the berberine bridge enzymes were proportionally over-represented in A. thaliana. These differences provide data for hypotheses on adaptations to perennial/woody versus annual/herbaceous lifestyles, which can be tested by comparative genome analyses. Glycoside hydrolases. Glycoside hydrolases (EC 3.2.1.X) catalyze the hydrolysis of O- or S-glycosidic bonds and have a major role in cell wall remodeling and architecture, carbohydrate metabolism and protein post-translational modifications, affecting the physiological activities of plant cells. Five additional GH families were annotated since the previous analysis (Geisler-Lee et al., 2006) (Table 1). One of these, GH85, has been characterized in A. thaliana as cytosolic endo-N-glucosaminidase that cleaves O-glyco- sidic linkage between two N-acetylglucosamines of N-gly- cans (Fischl et al., 2011). Four other families have been studied in organisms other than plants. GH33 comprises sialidases (EC 3.2.1.18) cleaving a-ketosidic linkage between the sialic (N-acetylneuraminic) acid and a sugar residue in prokaryotes, fungi and animals. Sialic acid is not © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 CAZyme families identified in Populus since the last whole-genome annotation The category broadly termed as ‘aux- iliary activities’ (AAs) has been introduced to the CAZy database since the previous Populus genome-wide annota- tion (Geisler-Lee et al., 2006). It groups together the fami- lies of redox enzymes and lytic polysaccharide monooxygenases (LPMOs) involved in polysaccharide, oligosaccharide and lignin breakdown, lignin polymeriza- tion and other metabolic processes (Levasseur et al., 2013). The P. trichocarpa v3.0 genome assembly contains four AA families (Tables 1 and S5), similar to A. thaliana. Not all A. thaliana members have been annotated in the current CAZy database, however. Therefore, P. trichocarpa sequences were used to identify the corresponding pro- teins in A. thaliana by amino acid sequence alignment and phylogenetic analysis (Figure S1; Table S8). Carbohydrate esterases. The carbohydrate esterases (CEs) are involved in the remodeling and degradation of the plant cell wall polysaccharides. Plant genomes are known to contain pectin methyl esterases (PMEs, EC 3.1.1.11) in family CE8, and pectin acetyl esterases (EC 3.1.1.X) in family CE13, with both families being previ- ously annotated in P. trichocarpa (Geisler-Lee et al., 2006). Since then, one member of family CE6 has been annotated in Populus (http://www.cazy.org), whereas we report here three additional CE6 members (Table 1). CE6 contains microbial xylan acetyl esterases (Neum€uller et al., 2015), but its function in plants has not been demonstrated. CE11 members are annotated in A. thaliana as UDP-3-O-acyl N- acetylglucosamine deacetylases that are likely to be involved in lipid biosynthesis via a recently discovered pathway resembling that of lipid A biosynthesis in bacteria (Li et al., 2011a). We have identified two members of CE11 in P. trichocarpa (Table 1). The CAZy database additionally lists one CE4 member annotated as Populus tri- chocarpa 9 deltoides ABK96767. This sequence is not homologous to any gene model in P. trichocarpa v3.0, but is instead highly similar to a rust Melampsora larici-pop- ulina 98AG31 CE4 protein XP_007418383. Thus, it appears that the CE4 family is not present in Populus. The AA1 family, annotated as multicopper oxidase, is the most abundant Populus AA family (Figure S1; Table 1). CAZyme families identified in Populus since the last whole-genome annotation Glycosyltransferases. The glycosyltransferases (GTs; EC 2.4.X.X) play a major role in the biosynthesis of cell wall polymers and starch, and the glycosylation of Poplar carbohydrate-active enzymes 593 found in plants, but its derivatives, KDO and 2-keto-3- deoxy-D-lyxo-heptulosaric acid (DHA) are present in the side chain C and D of rhamnogalacturonan-II (RG-II), and could perhaps serve as substrates for plant GH33 mem- bers. The GH116 family includes diverse activities such as b-glucosidase (EC 3.2.1.21), b-xylosidase (EC 3.2.1.37), acid b-glucosidase/b-glucosylceramidase (EC 3.2.1.45) and b-N- acetylglucosaminidase (EC 3.2.1.52), and is found in all life domains. GH146 and GH152 are recently created GH families in the CAZy database. The GH146 family com- prises b-L-arabinofuranosidase (EC 3.2.1.185) characterized in bacteria of human gut cleaving both b-1,2- and b-1,3- linked L-Araf branches recently identified in pectic arabinan (Luis et al., 2018). The GH152 family groups stress-induced thaumatin-like proteins that are highly abundant in plants (Trudel et al., 1998). Seven out of 40 Populus GH152 mem- bers have already been annotated in the CAZy database (http://www.cazy.org). A fungal GH152 member has been shown to have b-1,3-glucanase (EC 3.2.1.39) activity (Sakamoto et al., 2006). Plant GH152 proteins exhibit callose-binding activity (Trudel et al., 1998), suggesting that they could also be b-1,3-glucanases. and pathogenesis, and are largely substrate specific (Her- ron et al., 2000; Abbott and Boraston, 2008). Plants have members in PL1, characterized as pectate lyases (PELs; EC 4.2.2.2) (Domingo et al., 1998; Wang et al., 2010; Biswal et al., 2014), and in PL4, annotated as rhamnogalacturonan lyases (EC 4.2.2.23), that affect cell separation and pectins in middle lamella (Molina-Hidalgo et al., 2013), but the actual activity has not been demonstrated for any PL4 plant protein. The lack of critical catalytic residues in many of the plant PL4 proteins has led to doubts regarding their enzymatic activity (Kozlova et al., 2017). Based on sequence similarity and substrate specificity, the PL fami- lies were further divided into subfamilies represented by an Arabic numeral following the family identifier (Lombard et al., 2010). The current Populus CAZyme annotation iden- tified PL1_1, PL1_12, and PL4_2 subfamilies (Table S3). PL1_1 and PL1_12 both include pectate lyases but PL1_12, classified as clade V of the pectate lyase family, does not have a Ca2+ binding site or other motifs present in PL1_1 (Bai et al., 2017). Auxiliary activities. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Differential expression of CAZymes in different tissues Previous CAZyme expression analyses in Populus were based on EST frequencies (Geisler-Lee et al., 2006) or microarray analysis (Aspeborg et al., 2005). Comparisons of transcriptomes between leaf and developing wood were also made in P. trichocarpa using more sensitive RNA sequencing technology (Hefer et al., 2015). Here, we used RNA sequencing data sets available for aspen (Sun- dell et al., 2015, 2017; Immanen et al., 2016) to perform comparative expression analyses among larger collections of different tissues, which afforded a more sensitive detection of expressed genes. Indeed, normalized expres- sion values showed that of the 1914 CAZyme and expan- sin gene models, as many as 1796 (94%) were expressed in at least one of the organs and tissues assayed (Table S9). Ten of these genes (0.5%) were found specifi- cally and highly expressed [organ/tissue specificity score of s = 1 and variance-stabilizied (VST) expression ≥1.2], suggesting specialized functions for these genes in these organs/tissues (Table 2). The AA6 family, with six members in P. trichocarpa, con- tains intracellular 1,4-benzoquinone reductases, which might be involved in detoxification. One member in A. thaliana, AtFRQ1, was found to be rapidly induced by auxin (Laskowski et al., 2002). Carbohydrate binding modules. Carbohydrate binding modules (CBMs) are non-catalytic domains with autono- mous folding that recognize specific carbohydrate motifs (Boraston et al., 2004). They can be part of enzymes and receptors or can make an entire protein like OLE E 10 (CBM43), found in the pollen of the olive tree (Barral et al., 2005). Among all CBMs, CBM57 was the most abundant in Populus (Table 1). This domain, known as the malectin domain in animals, has been implicated in a protein glyco- sylation surveillance mechanism in the endoplasmic reticu- lum (ER) (Schallus et al., 2008). In plants, CBM57 is found in receptor-like kinases (RLKs) (Shiu and Bleecker, 2003; Galindo-Trigo et al., 2016). Analysis of sequences of Popu- lus proteins containing CBM57 revealed that the majority have a kinase domain and that many are homologous to Catharantus roseus RLK1-like (CrRLK1L) kinases involved in cell wall integrity sensing, polar growth and responses to stresses, such as AtFERRONIA and AtHERKULES1 (Engelsdorf and Hamann, 2014). Protein families with To functionally characterize CAZymes during wood biosynthesis, we examined their expression pattern in the AspWood database (http://aspwood.popgenie.org/asp wood-v3.0/), which represents a high-spatial-resolution transcript analysis of developing aspen wood (Sundell et al., 2017). CAZyme families identified in Populus since the last whole-genome annotation It includes a large subfamily of laccases that are consid- ered as key lignin polymerizing enzymes, possessing p- diphenol:O2 oxidoreductase activity (EC 1.10.3.2), although only a few members have been shown to carry out this function (Turlapati et al., 2011; Lu et al., 2013), and a large subfamily of SKU5-SIMILAR (SKS) proteins with GPI anchor that are implicated in stress responses and the reg- ulation of development (Sedbrook et al., 2002). Forty-nine laccases were annotated in P. trichocarpa (Lu et al., 2013) and our analysis identified 10 additional gene models, some of which might be truncated (Table S5). The AA1 family is abundantly represented in the CAZy database, with 56 entries for P. trichocarpa and several for Populus alba, Populus fremontii, Populus nigra and Populus tomen- tosa (http://www.cazy.org). Closer inspection of P. tri- chocarpa entries, however, reveals that they are all partial Subfamilies of polysaccharide lyases. Polysaccharide lyases (PLs) (EC 4.2.2.-) cleave 4-O-glycosidic bonds in pec- tins and glucosaminoglycans using a b-elimination mecha- nism without using a water molecule (Yip and Withers, 2006). They are involved in diverse biochemical processes, including biomass degradation, cell wall matrix recycling 594 Vikash Kumar et al. sequences and constitute multiple copies of four laccase proteins. CBM57 were expanded in Populus compared with A. thaliana (Table 1). The evolutionary basis for this expan- sion is unknown but could be related to more diversified stress reactions in Populus as a result of its perennial life- style. The AA5 family, comprising 11 members, contains extraplasmic copper radical oxidases of unknown function, with similarity to glyoxal oxidases, and using oxygen as the acceptor to oxidize aldehydes, with the generation of hydrogen peroxide (Daou and Faulds, 2017). The plant members studied so far were implicated in defense (Guan et al., 2010), seed coat mucilage cohesion and cell adhe- sion (Sola et al., 2019), and pollen development (Phan et al., 2011). The proposed enzymatic activity of one char- acterized member, RUBY, was the RG-I galactose oxidase (Sola et al., 2019). One of the 11 identified AA5 members has been previously annotated in P. tomentosa as glyoxal oxidase in the CAZy database (http://www.cazy.org). Certain CBMs were observed within Populus GH families (Tables 1 and S7). The most frequently observed combina- tions were CBM43–GH17 (callose binding domain–glucan endo-1,3-b-glucosidase), CBM18–GH19 (chitin binding domain–chitinase), CBM48–GH13 (glycogen binding domain–amylase) and CBM22–GH10 (xylan binding domain–xylanase). CAZyme families identified in Populus since the last whole-genome annotation The only GT with a CBM observed in Populus was PtStSy6 from GT5 with three repeats of CBM53, homologous to A. thaliana starch synthase III involved in transitory starch biosynthesis (Valdez et al., 2008). The AA7 family, containing 14 members in P. tri- chocarpa, comprises glucooligosaccharide oxidases (GOOs) that oxidize the anomeric carbon hydroxyl groups of glucose or a- and b-1,4-linked sugars, first to lactone and then to the corresponding acid, and reduce O2 to H2O2 (Levasseur et al., 2013). It includes plant apoplastic pro- teins named as berberine bridge enzymes and nectarins, which are thought to function in defense responses (van Hellemond et al., 2006; Benedetti et al., 2018). They have been implicated in the oxidation of oligogalacturonides, functioning as damage-associated molecular patterns (DAMPs) (Benedetti et al., 2018), and possibly in lignin polymerization by the oxidation of monolignols (Daniel et al., 2015). The CAZy database contains several entries annotated as CBMs in Populus but these lists are incomplete. For example, five out of 15 CBM18-containing chitinases, one out of eight CBM22-containing GH10 sequences, eight out of 43 CBM43-containing endo-1,3-b-glucosidases and nine out of 34 CBM43s containing other proteins were previ- ously identified (http://www.cazy.org; Table 1). Moreover, the smaller CBM families in Populus, such as CBM13, 20, 32, 45 and 53, have not been previously annotated in the CAZy database. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Differential expression of CAZymes in different tissues The phloem tissue cluster (as defined in Figure 1) contained the largest number of CAZyme genes, which were linked to cell wall biosynthesis, defense or phloem assimilate transport, as expected. The second largest cluster was associated with the cambium–radial expansion zone, reflecting the diverse metabolic activities required for intense primary cell wall biosynthesis and modification. The primary to secondary wall transition zone was another developmental zone where a large number of CAZymes peaked, most likely in connection with the reorganization of the cell wall biosyn- thetic machinery. K1 01 K1 02 K1 03 K1 04 K1 05 K1 06 K1 07 K1 08 K1 09 K1 10 K1 11 K1 12 K1 13 K1 14 K1 15 K1 16 K1 17 K1 18 K1 19 K1 20 K1 21 K1 22 K1 23 K1 24 K1 25 –2 0 2 Row Z-score Color key and histogram –2 0 2 Row Z-score Figure 1. Heat map of CAZyme expression patterns showing that the major- ity of CAZymes expressed in wood-forming tissues of aspen (1187 genes) have maximum expression (shown as red color) at specific wood develop- mental stages, defined by the position (section number) on the bottom. Dif- ferent developmental zones were defined based on the expression of marker genes (Sundell et al., 2017). The expression profiles were sorted by tissue specificity and maximum expression in corresponding tissue. Abbreviations: CA–RE, cambium and radial expansion zone; PW–SW, primary to secondary wall transition; SW, secondary wall formation zone. Data analyzed from Asp- Wood database (http://aspwood.popgenie.org/aspwood-v3.0/). Subsequent analysis of each cluster composition with regards to different CAZyme families revealed remarkable variation among different wood developmental zones, with different groups of CAZymes dominating in these zones (Figure S2; Table S11). The phloem cluster contained the highest share of CMBs, the cambium–radial expansion zone was characterized by the highest proportion of expan- sins and PLs, the primary to secondary wall transition zone had the highest proportion of AAs and CEs, the secondary wall formation zone had the highest proportion of GTs and the maturation zone had the highest proportion of GHs (Figure S2; Table S11). © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Differential expression of CAZymes in different tissues A total of 1187 CAZyme models (62%) were found expressed in wood-forming tissues (Table S10), the Poplar carbohydrate-active enzymes 595 K1 01 K1 02 K1 03 K1 04 K1 05 K1 06 K1 07 K1 08 K1 09 K1 10 K1 11 K1 12 K1 13 K1 14 K1 15 K1 16 K1 17 K1 18 K1 19 K1 20 K1 21 K1 22 K1 23 K1 24 K1 25 Phloem CA-RE SW Maturation PW-SW Color key and histogram Table 2 CAZymes with specific expression pattern in one organ/ tissue of aspen and expression value ≥1.2a Potri ID Pt name CAZy family Expression (VST) Specific in: Potri.002G202100 GH28 1.27 Expanding flowers Potri.003G223500 EXPN 1.21 Drought- stressed leaves Potri.015G040700 AA1 1.29 Potri.008G010700 GH28 1.20 Petiole Potri.016G107900 AA1 1.25 Roots Potri.001G351600 CBM43 1.24 Mature seeds Potri.001G223700 GH1 1.24 Potri.014G082000 EXPN 2.02 Developing phloem Potri.011G077400 XTH10 GH16 2.10 Potri.005G054000 CBM18- EXPN 2.00 Developing xylem aExpression data from Sundell et al. (2015) and Immanen et al. (2016). All organs/tissues considered as listed in Table S9. aExpression data from Sundell et al. (2015) and Immanen et al. (2016). All organs/tissues considered as listed in Table S9. majority of which exhibited defined patterns of expression in developing wood, peaking at different stages of wood formation (Figure 1). These patterns indicate that certain sets of CAZymes have specific functions during wood development, which are separated along the pseudotime developmental program, assayed from the cambium to mature xylem, within these cryosection series. The phloem tissue cluster (as defined in Figure 1) contained the largest number of CAZyme genes, which were linked to cell wall biosynthesis, defense or phloem assimilate transport, as expected. The second largest cluster was associated with the cambium–radial expansion zone, reflecting the diverse metabolic activities required for intense primary cell wall biosynthesis and modification. The primary to secondary wall transition zone was another developmental zone where a large number of CAZymes peaked, most likely in connection with the reorganization of the cell wall biosyn- thetic machinery. majority of which exhibited defined patterns of expression in developing wood, peaking at different stages of wood formation (Figure 1). These patterns indicate that certain sets of CAZymes have specific functions during wood development, which are separated along the pseudotime developmental program, assayed from the cambium to mature xylem, within these cryosection series. Variation of CAZyme transcriptome related to different cell wall polymers during wood formation reflects their biosynthesis pattern cambium and radial expansion zone showed the highest abundance of GH16 (XTH), GH9 (cellulases) and GH36, the primary to secondary wall transition zone was most abun- dant in GH3, GH38 and GH47, the secondary wall formation zone was most abundant in GH28 (polygalacturonases) and the maturation zone - in GH17 (b-1,3,-glucanases) (Fig- ure S2; Table S11). This highlights the diversity of CAZyme functions during different stages of xylogenesis. To provide support for our functional annotations, we sub- sequently analyzed the composition of transcriptomes related to the biosynthesis and degradation of different cell wall components in different zones of developing wood, sampled at high spatial resolution (Sundell et al., 2017), and compared this with changes in cell wall sugar compo- sition and in lignin content during wood development. The CAZymes were clustered according to their maximal expression values as preferentially expressed in different developmental zones, shown in Figure 1, and the number of genes categorized into different metabolic activities were compared among these different clusters. The tran- scriptome analysis revealed distinct variability across the wood developing zones in both the number of genes with highest expression in a particular zone and in their meta- bolic functions (Figure 2a; Table S13). Polysaccharide degradation/modification-related genes were mostly clus- tered in the phloem and cambium–radial expansion zones. The phloem cluster was relatively rich in starch and sugar degradation-related genes, whereas in the cambium–radial expansion zone, xyloglucan degradation/modification-re- lated genes dominated. The primary to secondary wall transition zone was especially abundant in pectin degrada- tion/modification-related genes, the secondary wall zone was abundant in mannan degradation-related genes, whereas the maturation zone transcriptome, correspond- ing mostly to the live xylem parenchyma cells, had the lar- gest share of callose degradation-related genes. Biosynthesis-related genes were most abundant in the pri- mary to secondary wall transition zone (Figure 2a). Phloem was enriched in sugar, callose and mannan biosynthetic genes, the cambium–radial expansion zone was enriched in pectin biosynthesis-related genes, the primary to sec- ondary wall transition zone had the largest share of lignin- biosynthetic CAZy genes, and the secondary wall zone was enriched in xylan-related genes. The maturation zone, where mostly parenchyma cells contributed to the tran- scriptome, was enriched in pectin and starch biosynthesis- related genes. Pectin constitutes the main part of the pro- tective layer formed by parenchyma cells after secondary wall deposition (Mellerowicz et al., 2001). Variation of CAZyme transcriptome related to different cell wall polymers during wood formation reflects their biosynthesis pattern The cluster analysis (Figure S2; Table S11) provided some insights into the role of the recently annotated CAZyme gene families in Populus. For example, GH152 was abundant in the phloem and cambium–radial expan- sion zones, consistent with its proposed role in callose metabolism (Trudel et al., 1998; Sakamoto et al., 2006). CBM57 (malectin domain-receptor-like kinases) was also most abundantly represented in the same tissues, consis- tent with the suggested roles in signaling and stress responses (Engelsdorf and Hamann, 2014). Most CE6 members were expressed in the secondary wall formation zone and the AA6 family was most abundant at the pri- mary to secondary transition, which supports the roles of these families in secondary wall biosynthesis. GT106 (Tak- enaka et al., 2018) had numerous members from different clades reaching high abundance in several xylem cell developmental zones, pointing to their importance at dif- ferent stages of xylogenesis. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Differential expression of CAZymes in different tissues Among the GTs, GT1 and GT4 (su- crose synthase) dominated in the phloem, GT2 (largely represented by CSLD genes), GT31, GT57, GT66 and GT75 (UDP-arabinose mutases) had highest representation in the cambium and radial expansion zone, GT8 (represented mainly by galacturonyl transferases involved in pectin and xylan biosynthesis) dominated during the primary to sec- ondary wall biosynthesis transition and GT43 (involved in xylan biosynthesis) was most prominently represented in the secondary wall formation zone (Figure S2; Table S11). Within the GHs, phloem had the highest share of GH1, GH5 (GH5_11 and GH5_14) and GH14 (b-amylases), the Vikash Kumar et al. 596 Variation of CAZyme transcriptome related to different cell wall polymers during wood formation reflects their biosynthesis pattern Classification of CAZymes into functional groups related to starch and cell wall biosynthesis We classified Populus CAZymes into different metabolic groups based on their functional and biochemical charac- terization or their similarity to enzymes characterized in other plant species (Table S12). Furthermore, as most bio- chemically and functionally characterized genes were from A. thaliana, we determined their likely orthologs in Popu- lus by phylogenetic analysis, and in some cases proposed their names based on the well-studied A. thaliana genes (Figure S1; Tables S1–S7). This approach assumes func- tional conservation for well-defined clades and although this is generally a valid assumption, there could be excep- tional cases of neofunctionalization in one species, espe- cially when linked to disproportionate clade expansion. The clade information as well as highest sequence homol- ogy score data are included in the Table S12. The func- tional categories were broadly classified as starch and sugar related (sucrose, raffinose, stachyose, galactinol and trehalose), cell wall polymer related, including AGPs/ex- tensins, callose, cellulose, xylan, mannan, pectin, xyloglu- can and lignin-related categories. Some enzymes that have a role in more than one type of polymer biosynthesis/mod- ification were separately classified as pectin/xylan, etc. Genes belonging to the same families as the characterized CAZymes but to different clades were classified as ‘unchar- acterized’ (Table S12). To reveal whether the observed changes in the transcrip- tome corresponded to cell wall composition, samples across the developmental gradient of secondary phloem and secondary xylem were obtained by splitting the bark and wood in actively growing aspen trees and sequentially scraping the tissues on both exposed sides. The monosac- charide composition of trifluoroacetic acid (TFA)- hydro- lyzed polymers and lignin were analyzed in these samples. These samples were aligned with the transcriptome series Poplar carbohydrate-active enzymes 597 ased on the bark- Gray-Mitsumune d i i lignin- and many secondary wall-related genes (Sundell et al., 2017). No. of gene models assigned to each zone Degradation / modification Biosynthesis Phloem CA-RE PW-SW SW Maturation (b) (a) (c) 0 20 40 60 80 older… cambium-… radial… early SW mature wood Monosaccharide composition (mol %) Rha Fuc Ara Xyl Man Gal UA 0 5 10 15 older phloem cambium-new phloem radial expansion early SW mature wood Klason lignin (%) Xylan/pectin AGP/extensin Callose Cellulose Lignin Mannan Pectin Starch Sugar Xyloglucan Xylan Pectin/AGP Pectin/AGP/Xylan No. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Classification of CAZymes into functional groups related to starch and cell wall biosynthesis lignin- and many secondary wall-related genes (Sundell et al., 2017). Uncharacterized CAZymes involved in wood biosynthesis: construction of CAZyme-based co-expression networks in wood-forming tissues Classification of CAZymes into functional groups related to starch and cell wall biosynthesis of gene models assigned to each zone Degradation / modification Biosynthesis Phloem CA-RE PW-SW SW Maturation (b) (a) Xylan/pectin AGP/extensin Callose Cellulose Lignin Mannan Pectin Starch Sugar Xyloglucan Xylan Pectin/AGP Pectin/AGP/Xylan Figure 2. Variability in cell wall composition and in the CAZyme transcriptome related to the biosynthe- sis and degradation of different polymers across wood developmental zones. (a) Count of gene mod- els associated with specific wood developmental zones (bar graph) and the composition of each group according to predicted functions (pie charts). Data based on Sundell et al. (2017). Gene metabolic classification as listed in Table S12. ‘Sugar’ cate- gory includes enzymes related to sucrose, raffinose, stachyose, galactinol and trehalose metabolism. Abbreviations: CA–RE, cambium–radial expansion zone; PW–SW, primary to secondary wall transition; SW, secondary wall formation zone. (b and c) Anal- ysis of cell wall composition in different samples of developing secondary phloem and xylem by alditol acetates (excluding Glc) and uronic acid (UA) con- tents (b) and Klason lignin content (c). Cell wall samples were obtained by the sequential scraping of bark and wood surfaces exposed after peeling the bark. Alignment between transcriptome and cell wall samplings is shown by the gray shadow. Data in (b) and (c) are mean values from n = 3 technical replicates  SE. (b) Phloem CA-RE PW SW SW Maturation (b) (c) 0 20 40 60 80 older… cambium-… radial… early SW mature wood Monosaccharide composition (mol %) Rha Fuc Ara Xyl Man Gal UA 0 5 10 15 older phloem cambium-new phloem radial expansion early SW mature wood Klason lignin (%) lignin- and many secondary wall-related genes (Sundell et al., 2017). (shown by gray shading in Figure 2b,c) based on the bark- splitting site in the radial expansion zone (Gray-Mitsumune et al., 2004). A shift in monosaccharide composition between primary (radial expansion and outward samples) and secondary (early SW and mature wood) walled sam- ples was clearly observed (Figure 2b), with the primary walled samples having a high content of pectin-related sugars, arabinose and uronic acids, whereas the secondary walled xylem samples were dominated by xylose, reflect- ing their high xylan content. The mannose content was rel- atively constant in all samples. These data agree with published knowledge on the composition of primary and secondary wall layers in hardwoods (Mellerowicz et al., 2001; Mellerowicz and Gorshkova, 2012) and with observed transcriptome variability regarding the pectin and xylan biosynthesis-related genes (Figure 2a). Uncharacterized CAZymes involved in wood biosynthesis: construction of CAZyme-based co-expression networks in wood-forming tissues (a) Phloem Cambium radial expansion RGTX1-A (b) Uncharacterized AGP/ Extensin Callose Cellulose Lignin Mannan Pectin Starch Sugar Xyloglucan Xylan Others GT43B GT43E EXPA1 PL1-27 XXT3-B GT43C CesA7-A GAUT7-B CesA3-D GT47C (a) (b) Uncharacterized AGP/ Extensin Callose Cellulose Lignin Mannan Pectin Starch Sugar Xyloglucan Xylan Others Phloem Maturation Cambium-radial expansion Secondary wall PW-SW transition Figure 3. The co-expression networks of CAZymes in wood-forming aspen tissues (http://aspwood.popgenie.org/aspwood-v3.0/). The CAZyme gene co-expres- sion at a context likelihood of relatedness threshold of 5 or higher was extracted as a network from POPGENIE (http://popgenie.org/exnet) and visualized in CY- TOSCAPE 3.4.0. (a) The genes colored by developmental zones where they have peak expression as shown in Fig. 1. (b) The same network colored by the CAZyme metabolic function. ‘Uncharacterized’ class includes members of families with probable function in cell wall biosynthesis. The ‘Sugar’ category includes enzymes related to sucrose, raffinose, stachyose, galactinol and trehalose metabolism. Lists of all genes in the networks are given in Table S14. The guide genes used in the primary wall forming zone are marked by hexagons and those of the secondary wall are marked by diamonds. The first neighbors of the guide genes are listed in Tables S15 and S16. Figure 3. The co-expression networks of CAZymes in wood-forming aspen tissues (http://aspwood.popgenie.org/aspwood-v3.0/). The CAZyme gene co-expres- sion at a context likelihood of relatedness threshold of 5 or higher was extracted as a network from POPGENIE (http://popgenie.org/exnet) and visualized in CY- TOSCAPE 3.4.0. (a) The genes colored by developmental zones where they have peak expression as shown in Fig. 1. (b) The same network colored by the CAZyme metabolic function. ‘Uncharacterized’ class includes members of families with probable function in cell wall biosynthesis. The ‘Sugar’ category includes enzymes related to sucrose, raffinose, stachyose, galactinol and trehalose metabolism. Lists of all genes in the networks are given in Table S14. The guide genes used in the primary wall forming zone are marked by hexagons and those of the secondary wall are marked by diamonds. The first neighbors of the guide genes are listed in Tables S15 and S16. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Uncharacterized CAZymes involved in wood biosynthesis: construction of CAZyme-based co-expression networks in wood-forming tissues The co-expression of uncharacterized CAZyme genes with the already known genes in wood-forming tissues may reveal novel genes involved in wood formation. A total of 471 CAZyme genes formed a co-expression network, which included many uncharacterized genes with putative func- tions in cell wall biosynthesis and in other cellular pro- cesses during wood formation (Table S14). We have colored the genes in the network by their expression clus- ter (Figure 3a) and by their metabolic function (Figure 3b). The network clearly illustrates the existence of subnet- works related to different stages of xylem cell differentia- tion (Figure 3a) and, in a few cases, related to the metabolism of different compounds (Figure 3b). The meta- bolism of different compounds can be illustrated by the The lignin content showed a small peak in the young phloem sample and it increased largely in mature xylem (Figure 3c). The phloem peak identifies the zone of phloem fiber differentiation and is supported by transcript data for 598 Vikash Kumar et al. RGTX1-A (b) (a) Uncharacterized AGP/ Extensin Callose Cellulose Lignin Mannan Pectin Starch Sugar Xyloglucan Xylan Others GT43B GT43E EXPA1 PL1-27 XXT3-B GT43C CesA7-A GAUT7-B CesA3-D GT47C Phloem Maturation Cambium-radial expansion Secondary wall PW-SW transition Figure 3. The co-expression networks of CAZymes in wood-forming aspen tissues (http://aspwood.popgenie.org/aspwood-v3.0/). The CAZyme gene co-expres- sion at a context likelihood of relatedness threshold of 5 or higher was extracted as a network from POPGENIE (http://popgenie.org/exnet) and visualized in CY- TOSCAPE 3.4.0. (a) The genes colored by developmental zones where they have peak expression as shown in Fig. 1. (b) The same network colored by the CAZyme metabolic function. ‘Uncharacterized’ class includes members of families with probable function in cell wall biosynthesis. The ‘Sugar’ category includes enzymes related to sucrose, raffinose, stachyose, galactinol and trehalose metabolism. Lists of all genes in the networks are given in Table S14. The guide genes used in the primary wall forming zone are marked by hexagons and those of the secondary wall are marked by diamonds. The first neighbors of the guide genes are listed in Tables S15 and S16. Uncharacterized CAZymes involved in wood biosynthesis: construction of CAZyme-based co-expression networks in wood-forming tissues All these proteins except PtGH19A were found to be co-im- munoprecipitated with secondary wall CesAs in Populus, suggesting their connection to the cellulose synthase com- plex (Song et al., 2010) and supporting the rationale of using the network analysis for finding additional compo- nents of secondary wall biosynthesis. Moreover, we have identified most of the genes with proven or proposed func- tion in secondary wall xylan biosynthesis (Rennie and Scheller, 2014). These included the genes encoding pro- teins of the xylan synthase complex (Jiang et al., 2016; Zeng et al., 2016): the pair of orthologs to AtIRX10 (Jensen et al., 2014), PtGT47A-1 and PtGT47A-2, one of the pair of orthologs to AtIRX10L (Wu et al., 2009; Mortimer et al., 2015) PtGT47D-1 (Figure S1; Table S12), and AtIRX14 clade member PtGT43D (Ratke et al., 2015, 2018) (Table S16). Thus, similar to Arabidopsis, the xylan:xylosyl transferase activities in secondary walled xylem cells in poplar appear to be redundantly encoded by homologs to AtIRX10 and AtIRX10L (Wu et al., 2009). Furthermore, we identified genes encoding enzymes involved in xylan reducing end biosynthesis in the secondary wall network: PtGAUT12-A/ PtGT8D-1 and PtGAUT12-B/PtGT8D-2 (Li et al., 2011b; Bis- wal et al., 2015), a pair orthologous to AtIRX8 (Persson et al., 2007); and PtGATL1-A and PtGATL1-B, a pair orthol- ogous to AtPARVUS (Kong et al., 2009) (Figure S1; Table S12). The network also included genes encoding putative glucuronosyl transferases, PtGUX1-A and PtGUX1-B, a pair orthologous to AtGUX1 (Figure S1; Table S12), and known to be involved in the generation of GlcA decorations on the xylan backbone with an even spacing pattern, forming the major xylan domain of sec- ondary walls (Mortimer et al., 2010; Bromley et al., 2013). Xylan transglycosylase PtXYN10A (Derba-Maceluch et al., 2015) was also a part of the secondary wall CAZyme net- work. suggest a role for the GT10 family in primary cell wall biosynthesis in the xylem. Other genes of this network belong to families GT14, GT31 and GT77, with putative functions in primary wall extensins and AGP biosynthesis (Gille et al., 2013; Knoch et al., 2013; Basu et al., 2015) (Table S15). Uncharacterized CAZymes involved in wood biosynthesis: construction of CAZyme-based co-expression networks in wood-forming tissues The network of the primary wall xylan biosynthetic gene PtGT43E (Ratke et al., 2015, 2018) was distinct from that of the cellulose–pectin–xyloglucan biosynthesis network, and shared some genes with the network of a-expansin PtEXPA1 (Gray-Mitsumune et al., 2008) and pectate lyase PtPL1-27 (Biswal et al., 2014), the key expansion markers for xylem cells (Sundell et al., 2017) (Table S15; Figure 3B). This network included additional expansin and PL1 genes, XTH, PL4 members, xylan degradation-related genes PtXYN10E and PtBXYL2, a cellulase-encoding gene PtGH9B3 (Takahashi et al., 2009) and a putative man- nanase-encoding gene PtMAN7 (Table S15), which are all likely to be involved in xylem cell expansion. This extends the list of known cell wall modifying enzymes with putative function in xylem cell expansion, and suggests that all classes of polymers are modified during this process. Inter- estingly, the network also included three members of the AA1 family of the SKU clade that has not yet been charac- terized in the context of wood development (Figure S1; Table S15). The clade founding the AtSKU5 gene has been implicated in directional growth of roots (Sedbrook et al., 2002), suggesting a role for these Populus SKU5-like mem- bers in wood growth. Secondary wall CAZyme networks. The secondary wall CAZyme networks included many genes of proven or puta- tive function in the metabolism of xylan, AGP/extensin, cel- lulose, mannan, lignin and pectin (Figure 3; Table S16). To identify novel candidate genes involved in secondary wall biosynthesis, we analyzed first-order neighbors of genes that have been shown to be involved in the biosynthesis of: secondary wall cellulose – PtCesA7-A (Kumar et al., 2009; Song et al., 2010); secondary wall xylan – PtGT43B and PtGT43C, involved in xylan backbone biosynthesis (Lee et al., 2011; Ratke et al., 2018); and PtGT47C, a homo- log of AtFRA8, involved in the reducing end sequence biosynthesis in xylan (Lee et al., 2009). Uncharacterized CAZymes involved in wood biosynthesis: construction of CAZyme-based co-expression networks in wood-forming tissues pectin–xyloglucan network (Table S15) included several putative xyloglucan and pectin biosynthesis-related genes, as identified by the phylogenetic analysis (Figure S1), such as PtXXT1-A, PtGAUT9-A, PtGAUT13-A, GATL11-B, two uncharacterized GT47 members from the clade of AtARAD1 involved in pectic arabinan biosynthesis (Potri.T071700 and Potri.019G086800; Harholt et al., 2012), and putative polygalacturonases from GH28 (Potri.016G051200 and Potri.016G054800) (Table S15). Interestingly, the primary wall cellulose–pectin–xyloglucan network included two GT106 members (Table S15), one from the RGI-I:rhamnosyltransferase (RRT) clade (Potri.015G048100; Takenaka et al., 2018) and another (Potri.003G062600) from a different clade that has not yet been characterized (Figure S1), indicating the involvement of these GT106 members in xylem primary wall biosynthe- sis. The network also included a GT29 member Potri.014G145400 (Table S15), similar to AtSIA1/AtMGP2 and AtSIA2 transferases that have been proposed to be involved in transferring of DHA or KDO to the RG-II back- bone (Deng et al., 2010; Dumont et al., 2014). Another co- expressed gene was Potri.019G082200 from GT10. In A. thaliana, Golgi localized GT10 a-1,3-or a-1,4-fucosyl- transferases have been proposed to function in N-glycan biosynthesis (Both et al., 2011; Rips et al., 2017). Our data separation of lignin- and carbohydrate-related networks during secondary wall formation, suggesting that these metabolic processes have distinct spatiotemporal regula- tion. To identify more candidates for wood cell wall biosyn- thesis and modification, we have analyzed the closest neighbors of some known cell wall-related CAZymes using a ‘guide genes’ approach (Aoki et al., 2007) separately for the primary wall- and secondary wall-related networks (Tables S15 and S16, respectively). Primary wall CAZyme networks. Within the primary wall network, we focused on the first neighbors of the cellulose, pectin and xyloglucan-related genes that were used as ‘guides’ (Figure 3; Table S15), as the primary wall of aspen xylem contains mostly these components (Mellerowicz et al., 2001). The guide genes included the primary wall CesA PtCesA3-D (Kumar et al., 2009), the Populus ortholog of AtGAUT7 encoding homogalacturonan a-1,4-galactur- onosyl transferase (Atmodjo et al., 2011) PtGAUT7-B, the Populus ortholog of AtRGXT1 encoding RG-II-a-1,3-xylosyl transferase (Egelund et al., 2006; Liu et al., 2011) PtRGXT1- A, and the Populus ortholog of AtXXT3 encoding a candi- date xyloglucan a-1,6-xylosyl transferase (Vuttipongchaikij et al., 2012) PtXXT3-B/PtGT34B. The obtained cellulose– Poplar carbohydrate-active enzymes 599 the sucrose synthase PtSUS2 (Gerber et al., 2014). © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Vikash Kumar et al. The glucuronic acid side chain of xylan in woody spe- cies, including aspen, is methylated at O-4 (Teleman et al., 2000), and this methylation is essential for wood growth and secondary wall formation (Song et al., 2014). It is gen- erated in the Golgi with the help of glucuronoxylan methyl transferases (GXMTs) found in clade A of the DUF579 fam- ily (Lee et al., 2012; Urbanowicz et al., 2012). So far, GXMT activity has been identified in four members of the Populus DUF579 gene family, PtGXMT1/PtDUF579-2, PtGXMT2/ PtDUF579-1, PtGXMT3/PtDUF579-3 and PtGXMT4/ PtDUF579-4 (Song et al., 2014; Yuan et al., 2014), with the first three being part of the secondary wall network (Table S17, cf. DUF579 category). Clade B of the DUF579 family contains a pair of AtIRX15 and AtIRX15-L genes that are required for glucuronoxylan biosynthesis in secondary cell walls (Brown et al., 2011; Jensen et al., 2011), their orthologous pair PtDUF579-10 and PtDUF579-9 (Song et al., 2014) were also a part of the secondary wall network (Table S17, cf. DUF579 category). Interestingly, PtDUF579-9 is expressed with PtGH43B, whereas PtDUF579-10 is expressed as a first neighbor of PtGT43C (Table S17). These two expression networks formed separate clusters with very little overlap (Figure 4a), and we propose that the former is associated strictly with the secondary wall formation and the latter includes genes acting at both pri- mary and secondary wall formation stages (Ratke et al., 2015, 2018). Although several CAZymes known to be involved in sec- ondary wall xylan biosynthesis were co-expressed as close neighbors of secondary wall CesAs, PtGT43C neighbors did not include secondary wall CesAs except PtCesA8-A, and did not extensively overlap with the secondary wall xylan network (Figure 3B; Table S16). Instead, this subnet- work included some members of the primary wall CAZyme network, such as two GT106 genes, a putative xyloglucan xylosyl transferase PtXXT3-B/PtGT34B, a putative homo- galacturonan synthase PtGAUT7-B, and two uncharacter- ized GT47 members similar to AtARAD1 (Tables S15 and S16). This agrees with a proposal that PtGT43C participates in both the primary and the secondary wall xylan biosyn- thetic complexes (Ratke et al., 2015, 2018; Sundell et al., 2017). Thus, the PtGT43C subnetwork is expected to include other genes with functions in primary and sec- ondary walls. Associations of CAZymes with other genes involved in wood secondary wall biosynthesis To identify more co-expressed genes and their regula- tors involved in secondary wall biosynthesis in develop- ing xylem, we extended the co-expression analyses to all genes of P. trichocarpa, using the same stringency (threshold 5) as in CAZyme networks. Cellulose, xylan and glucomannan are the main polysaccharides of sec- ondary wall layers in aspen, and hence we used CAZyme genes involved in the biosynthesis of these polymers as guide genes, including the prominent mem- bers of the identified CAZyme network associated with secondary wall biosynthesis (Table S16). By using this approach, we identified 354 gene models co-expressed with one or more of secondary wall guide genes (Table S17). The fasciclin-like arabinogalactan proteins (FLAs) play an important role in cell wall architecture in A. thaliana and Populus, mediating wall mechanical properties (Johnson et al., 2003; Andersson-Gunneras et al., 2006; Wang et al., 2015). We observed several homologs of AtFLA17 and AtFLA11 in the secondary wall network (Table S17, cf. AGP category). Their presence, along with the presence of a lysine-rich arabinogalactan protein similar to AtAGP19, is matched with the abundance of CAZymes with proposed function in AGP glycosylation (Table S16). The secondary wall network had a prominent represen- tation of proteins involved in vesicle formation and move- ment, and in rosette movement (Table S17, cf. vesicle, movement category). The identified genes are good candi- dates for the biotechnological regulation of secondary wall formation, as the regulation of vesicle and cellulose syn- thase complex movement is likely to limit the biosynthesis of the secondary wall (McFarlane et al., 2014; Wang et al., 2016). As expected, the network included the previously identi- fied CAZymes with known or putative functions in sec- ondary wall cellulose, xylan and glucomannan biosynthesis. In aspen wood, all matrix polysaccharides are acetylated, which affects their water solubility, ability to undergo enzymatic modification of degradation, and interactions with cellulose and other polymers (Pawar et al., 2013; Busse-Wicher et al., 2014). Accordingly, the acetylation-related genes were a prominent group in the secondary wall network. They included PtRWA-A (Pawar et al., 2017), several members of the TBL family of acetyl- transferases homologous to AtTBL3, -29, -33 and -34 (Xiong et al., 2013; Yuan et al., 2013, 2016a,2016b,2016c; Urbanowicz et al., 2014), as well as AtAXY9 (Schultink et al., 2015) homolog Potri.017G139800 (Table S17, cf. acetylation category). Vikash Kumar et al. We identified several genes with putative AGP/extensin biosynthesis functions from families GT14 and GT31 in this subnetwork, as well as genes from uncharacterized CAZyme families: for example, AA6 or GH47 (Table S16). Uncharacterized CAZymes involved in wood biosynthesis: construction of CAZyme-based co-expression networks in wood-forming tissues The neighbors of PtCesA7-A, PtGT43B and PtGT47C largely overlapped and included several known genes encoding the components of the secondary wall cellulose synthase complex, such as CesAs (PtCesA4, PtCesA7-A, PtCesA8-A and PtCesA8-B; Song et al., 2010), cellulase PtCel9A1/PtKOR1, which is required for cellulose biosynthesis (Nicol et al., 1998; Szy- janowicz et al., 2004) and cellulose crystallinity regulation (Takahashi et al., 2009; Maloney and Mansfield, 2010), PtGH19A - the homolog of AtCTL/AtPOM1/AtELP1, which is essential for cellulose biosynthesis but of unknown molecular function (Sanchez-Rodrıguez et al., 2012), and Mannan-related genes found in the secondary wall net- work included the glucomannan synthase encoding gene PtCSLA1/PtGT2A (Suzuki et al., 2006) and the putative endo-mannanase gene PtMAN4 (Yuan et al., 2007; Zhao et al., 2013a). The uncharacterized candidates among the CAZymes identified in the secondary wall network included the CE6 member Potri.014G022600 with putative xylan acetyl ester- ase function, three members of GT106, one of which was from the clade of RG-I:rhamnosyl transferases (Takenaka et al., 2018), putative pectin modifying genes from families CE13, PL4 and GH28, and putative AGP synthesizing mem- bers of the GT14 and GT31 families (Table S16). The net- work also included nine AA1 genes belonging to the laccase clade (Figure S1), homologous to AtLAC4/AtIRX12, AtLAC11, AtLAC13 and AtLAC17, of which AtLAC4, -11 and -17 are known to function in xylem cell lignification (Ber- thet et al., 2011; Zhao et al., 2013b). 600 Vikash Kumar et al. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Poplar carbohydrate-active enzymes 6 (a) (b) AtSHOU4L AtWLIM1 GATA9 GT14B AtSUT2 AtRAC2 GT43C DUF579-3 AtRAC3 AtNPH4 CesA4 LAC49 SUS2 GT43A TBL33 LAC15 SND1-2/WND2B AtAGP19 ESK1-B LAC40 GT31AAtSTL1 DUF579-10 AtCBL4 GAUT12-B DUF579-9 GUX1-B GT47A-1 ERF119 LAC14 MYB128 ESK1-A NAC156 CesA7-A GAUT12-A CesA8-A CesA7-B GH19A GT43B AtCOBL4 AtSHOU4L BLH3 AtSAUR74 AtSHOU4L AtETO1 AtHHO2 NAC156 BLH3 AtSAUR74 GT47A-2 LAC14 CesA8-A LAC15 ESK1-A GT31A LAC40 LAC41 LAC49 AtPAE9 GT43B GT47A-1 GT43A AtCOBL4 CesA7-A GAUT12-A CesA7-B GATL1-B GAUT12-B GT47C GH19A CesA4CesA8-B AtC3H AtAGL62 AtLBD38 MYB10 KNAT7 AtBLH4 NAC154 DUF579-1 CSLA1 GUX1-B DUF579-9 DUF579-2 © 2019 The Authors. The Plant Journal published by Society for Experimental Bio The Plant Journal, (2019), 99, 589–609 601 (a) AtSHOU4L AtWLIM1 GATA9 GT14B AtSUT2 AtRAC2 GT43C DUF579-3 AtRAC3 AtNPH4 CesA4 LAC49 SUS2 GT43A TBL33 LAC15 SND1-2/WND2B AtAGP19 ESK1-B LAC40 GT31AAtSTL1 DUF579-10 AtCBL4 GAUT12-B DUF579-9 GUX1-B GT47A-1 ERF119 LAC14 MYB128 ESK1-A NAC156 CesA7-A GAUT12-A CesA8-A CesA7-B GH19A GT43B AtCOBL4 AtSHOU4L BLH3 AtSAUR74 AtSHOU4L (a) Figure 4. The difference in neighborhoods of genes encoding proteins of secondary wall xylan synthase complex PtGT43B and PtGT43C (a), and sec- ondary wall cellulose synthase complex PtCesA8-A and PtCesA8-B (b). The co-expressed genes were selected at threshold = 5 (http://aspwood.pop genie.org/aspwood-v3.0/). The blue nodes are unique neighbors of PtGT43C (in a) and PtCesA8-B (in b) and the orange nodes are unique for PtGT43B (in a) and PtCesA8-A (in b). The pink nodes are neighbors in common for both genes in (a) and (b). The transcription factors are marked by rectangles. Unless otherwise indicated, the Populus gene names are used in the fig- ures. described in primary walled cells, but whether equivalent CWI signaling exists in cells depositing secondary walls is currently under debate because no expected changes in gene expression were detected in A. thaliana mutants affected in secondary wall xylan biosynthesis (Faria-Blanc et al., 2018). The mutants in secondary wall CesA (Hernan- dez-Blanco et al., 2007) and secondary wall acetylation (Pawar et al., 2016) exhibited altered expression of resis- tance genes, however, as well as increased resistance to pathogens, which were assumed to be triggered by CWI. Moreover, Ratke et al. (2018) reported altered gene expres- sion and increased growth in aspen with reduced sec- ondary wall xylan biosynthetic GT43 genes, and suggested that these changes were mediated by CWI in secondary walled cells. Our finding of several receptor-like kinases in the secondary wall network (Table S17) provides strong candidates for secondary CWI sensing. Associations of CAZymes with other genes involved in wood secondary wall biosynthesis Another very prominent group of the secondary wall network were the signaling- and protein modification-re- lated genes, including genes encoding receptor-like kinases with a lectin domain (Table S17, cf. ‘signaling’ cat- egory). Several of these proteins are known as receptors involved in cell wall integrity (CWI) signaling that perceive cell wall damage and activate diverse responses, including gene expression (Engelsdorf and Hamann, 2014). CWI was © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 CONCLUSION This study provides a census of all CAZymes and expan- sin-related proteins in P. trichocarpa – a model hardwood species – based on the re-annotation of gene models of the v3.0 genome assembly. The abundance and diversity of CAZymes in P. trichocarpa is compared with those in A. thaliana revealing no differences in the presence of CAZyme families, but considerable differences in the rela- tive size of certain families, suggesting their adaptive regu- lation. We report 101 CAZyme families, 18 of which have not been previously annotated in P. trichocarpa, and the updated information on family members with 1914 genes in total annotated as CAZymes, which is a major update from the first annotation based on the v1.0 assembly (Geissler-Lee et al., 2009). The availability of the AspWood database (http://aspwood.popgenie.org/aspwood-v3.0/) and the aspen expression atlas (Sundell et al., 2015), as well as published aspen RNA-Seq data (Immanen et al., 2016), pro- vided evidence for the expression for 94% of the gene mod- els, and the expression of 62% of the models in developing wood tissues, and enabled comparative analyses of expres- sion. We used the CAZymes expression profiles during wood development and their relatedness to create corre- sponding co-expression networks and to identify regulons composed of CAZymes and other genes. Transcriptional changes occurring during wood development provided sev- eral candidates for the biosynthesis of primary and sec- ondary cell wall in P. trichocarpa. Our findings support the existence of two separate regulons for genes involved in secondary wall xylan biosynthesis: one strictly limited to secondary wall formation and another with a broader We also noted subtle differences between the CAZyme networks of PtCesA8A and those of other secondary wall CesAs. In A. thaliana, AtCesA4, -7 and -8 are found to be co- expressed, as their encoded proteins form the secondary wall cellulose synthase complex in equimolar ratios (Hill et al., 2014). The situation is more complex in Populus, because there are two paralogs of each AtCesA7 and AtCesA8 (Kumar et al., 2009), creating the possibility of neofunctionalization for one of these duplicated members. We suspected that this could be the case for the PtCes8-A/B pair as their expression in aspen wood-forming tissues diverged during the later stages of xylogenesis (Sundell et al., 2017). Poplar carbohydrate-active enzymes 6 Indeed, PtCesA8-B was found to be the dominant CesA isoform expressed in tension wood of aspen, possibly even forming homomeric cellulose syn- thase complexes in this tissue (Zhang et al., 2018). walls along with enhanced expression of the genes involved in the biosynthesis of wood components, cellu- lose, xylan and lignin (Zhong et al., 2011; Li et al., 2012). We identified PtSND1-B2/PtWND2B co-expressed as a close neighbor of PtGT43B (Figure 4a; Table 3), in agree- ment with the previous reports of PtSND1-B2/PtWND2B activating the PtGT43B promoter (Ratke et al., 2015). Some of the important primary targets of PtSND1- B2/PtWND2B, such as PtKNAT7, PtNAC156, PtBLH3, PtMYB128 and PtMYB10 (Zhong et al., 2011), have also been found associ- ated with secondary wall CAZymes (Table 3). Of these, PtNAC156, PtBLH3 and PtMYB128 were associated with PtGT43B, but not with PtGT43C (Figure 4a). PtGT43B was also uniquely co-expressed with an ethylene response fac- tor (ERF) transcription factor PtERF119 homologous to AtSHINE3 (AtSHN3), which was recently found as an important hub transcription factor in secondary wall form- ing aspen xylem (Seyfferth et al., 2018). Overexpression of the closely related Populus SHN2/ERF118 gene induced cellulose and hemicellulose and suppressed lignin biosyn- thesis in Nicotiana tabacum (tobacco; Liu et al., 2017). The PtGT43C network included genes encoding transcription factors that have not been studied in the context of sec- ondary growth, such as homologs of the GATA family gene AtGATA9 and an ARF family gene AtARF7 implicated in auxin-induced lateral root growth and tropism responses (Goh et al., 2012). These and other transcription factors of unknown function found in our analysis (Table 3) could represent targets for tree improvement. Poplar carbohydrate-active enzymes 6 Interestingly, the dominant repressors of the double mutant fei1 fei2 (im- paired in CWI) have been recently identified as SHOU4 and SHOU4L in A. thaliana (Polko et al., 2018), and the sec- ondary wall network contained three homologs of these genes associated with PtGT43C (Figure 4a; Table S17, cf. cell wall category), strengthening the hypothesis of the secondary CWI pathway. (b) More attention has been given to the transcription fac- tors regulating the onset of secondary wall development (Ohtani et al., 2011; Zhong et al., 2011; Taylor-Teeples et al., 2015), as they can offer direct genetic approaches to improve the productivity of trees. We have identified sev- eral well-known transcription factors as co-expressed neighbors with different secondary wall biosynthetic CAZyme genes (Table 3). As we observed clear differences in networks of PtGT43C and PtGT43B, confirming the pre- vious conclusions that PtGT43C functions in both primary and secondary xylan biosynthesis, whereas PtGT43B is specifically involved in secondary wall xylan biosynthesis (Ratke et al., 2015, 2018), we analyzed the transcription fac- tors in these networks in order to reveal the nature of their regulons (Figure 4a). The secondary wall-associated NAC domain (SND) and vascular-related NAC domain (VND) proteins are known as master switchers of secondary wall formation in Populus (Ohtani et al., 2011; Zhong et al., 2011; Li et al., 2012). The overexpression of PtSND1-B2/ PtWND2B resulted in the ectopic deposition of secondary Vikash Kumar et al. 602 PtCesA8-A network also included secondary xylan biosyn- thetic genes strictly expressed during secondary wall for- mation, PtGT43A and PtGT43B (Ratke et al., 2015), suggesting a secondary wall function for PtCesA8-A (Fig- ure 4b). The unique neighbors of PtCesA8-B included other secondary wall-controlling transcription factors, including PtKNAT7, PtMYB10 and PtNAC154 (Zhong et al., 2011), as well as a MADS-box gene homologous to AGAMOUS LIKE 62 (AtAGL62), which is known to regulate the cellularization of the endosperm in A. thaliana (Kang et al., 2008) (Fig- ure 4b; Table 3). The presence of the AtETO1 homolog in this subnetwork suggests its negative correlation with ethy- lene signaling; AtETO1 is known to target ACC synthases that are rate-limiting enzymes in ethylene biosynthesis for proteolysis (Christians et al., 2009). Taken together, these observed differences in the neighborhoods of PtCes8-A and PtCesA8-B suggest some additional function(s) for PtCesA8-B in wood development beyond a core secondary wall CesA function. © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 CONCLUSION The co-expressed neighbors between PtCesA8-A and PtCesA8-B had significant similarity for cel- lulose biosynthetic proteins (for example, PtCesA4, PtCes7- A, PtCes7-B and PtGH19A), but showed differences for tran- scription factors and signaling-related proteins (Figure 4b; Tables 3 and S17). They both shared PtNAC156 (Zhong et al., 2011) and Potri.008G117500, a MYB-like gene with unknown function homologous to AtHHO2, controlling phosphate homeostasis (Nagarajan et al., 2016), but PtCesA8-A was uniquely associated with PtBLH3, a tran- scription factor downstream of PtSND1-B2/PtWND2B (Zhong et al., 2011), and a SAUR-like gene, suggesting the involvement of IAA in the regulation of this network. The Poplar carbohydrate-active enzymes 603 Table 3 Transcription factors co-regulated with genes encoding enzymes synthesizing cellulose, mannan and xylan in secondary walls in the developing wood of aspen (AspWood, http:// aspwood.popgenie.org/aspwood-v3.0/) Potri. ID Potri name AT ID AT name TF class CesA7-A Potri. 006G181900 CesA8-A Potri. 011G069600 CesA8-B Potri. 004G059600 GT43B Potri. 016G086400 GT43C Potri. 007G047500 GT47A-1 Potri. 001G068100 GATL1-B Potri. 002G132900 GATL1-A Potri. 014G040300 GT47C Potri. 009G006500 CSLA1 Potri. 008G026400 GUX1-A Potri. 007G107200 GUX1-B Potri. 005G061600 001G099800 MYB10 1G63910 MYB103 MYB + + + 001G112200 KNAT7 1G62990 IXR11, KNAT7 TALE + + + 001G258400 C3H + + + + + 002G119400 3G49940 LBD38 LBD + + + + + 002G257800 4G28610 PHR1 G2-like + 006G253800 5G25390 SHN3 ERF + + + + + 007G135300 NAC156 4G28500 ANAC073, NAC073, SND2 NAC + + + + + + + + 008G117500 1G68670 HHO2 G2-like + + + + 009G045900 5G60440 AGL62 M-type_ MADS + + + + + + 017G016700 NAC154 4G28500 ANAC073, NAC073, SND2 NAC + + + + + + 002G031000 BLH3 2G16400 BLH7 TALE + + 002G178700 WND2B, SND1-B2 2G46770 ANAC043, EMB2301, NST1 NAC + 003G132000 MYB128 1G63910 MYB103 MYB + 006G138500 5G20730 ARF7,BIP, IAA21, -23,-25, MSG1, NPH4, TIR5 ARF – 008G038900 4G32890 GATA9 GATA + 001G141100 5G46690 bHLH071 bHLH + 012G055700 1G73830 BEE3 bHLH + 005G221400 2G42410 ZFP11 C2H2 + +, positive; –, negative correlation ors. al published by Society for Experimental Biology and John Wiley & Sons Ltd, al, (2019), 99, 589–609 Vikash Kumar et al. 604 outSAMtype BAM SortedByCoordinate –outWigType bed- Graph –alignIntronMax11000; Dobin et al., 2013). The anno- tations obtained from the P. trichocarpa v3.0 GFF file were flattened to generate ‘synthetic’ gene models. Identification and annotation of CAZymes families in P. trichocarpa v3.0 The protein sequences from 41 335 loci of the P. trichocarpa genome (v3.0) were downloaded from the US Department of Energy (DOE) Joint Genome Institute (https://phytozome. jgi.doe.gov/pz/portal.html#!bulk?org=Org_Ptrichocarpa) and matched to over 1 million curated entries in the CAZy data- base as of November 2018 (http://www.cazy.org). CONCLUSION This syn- thetic transcript GFF file and the STAR read alignments were used as input to the HTSeq (Anders et al., 2014) htseq- count PYTHON utility to calculate exon-based read count val- ues. The htseq-count utility takes only unique mapping reads into account. Because of their different characteristics (differences in sampling, sequencing instruments, etc.), the data sets were normalized independently. First, the data sets were normalized using variance stabilizing transforma- tion (VST) in R 3.4.0 (R Core Team, 2015) using the BIOCON- DUCTOR 3.4 (Gentleman et al., 2004) DESEQ2 package (v1.16.1; Love et al., 2014). Furthermore, the data from Immanen et al. (2016) were then filtered and samples corresponding to the zones of interest were identified (phloem, cambium and developing xylem) and selected from the three control trees: 4A, 4B and 6B. A likely artefact introduced by decreas- ing library sizes as samples moved inwards (towards the xylem) was identified and was corrected using a linear modeling approach. Finally, the data from both data sets were merged together using a sample-based median-cen- tering approach. The resulting data were subjected to hier- archical clustering and the s tissue/sample specificity score (Yanai et al., 2004) was calculated, both in R. The whole data analysis was performed using custom R scripts avail- able from our GitHub repository (https://github.com/ UPSCb/UPSCb/tree/master/manuscripts/Kumar2018) and the corresponding data are available from our FTP reposi- tory (ftp://ftp.plantgenie.org/Publications/Kumar2018). expression pattern encompassing the cambium and radial expansion zone. Moreover, the data provide support for the diversification of functions of the Populus secondary cellu- lose synthase paralogs PtCesA8-A and PtCesA8-B. The col- lection of tissue-specific uncharacterized genes and transcription factors offers a rich source of targets for the future genetic improvement of woody plants. Establishment of CAZyme expression matrix for comparative analyses The high-resolution RNA-Seq data sets for the wild and glasshouse grown aspen (Populus tremula L.) are avail- able from the PlantGenIE website (Sundell et al., 2015), and those for glasshouse-grown hybrid aspen phloem, cambium and developing xylem are detailed by Immanen et al. (2016). The retrieved data were pre-processed according to our guidelines as described by Delhomme et al. (http://www.epigenesys.eu/en/protocols/bio-informa tics/1283-guidelines-for-rna-seq-data-analysis). Briefly, the quality of the raw sequence data was assessed using FASTQC (http://www.bioinformatics.babraham.ac.uk/projec ts/fastqc/). Residual ribosomal RNA (rRNA) contamination was assessed and filtered using SORTMERNA 2.1 (with set- tings –log –fastx –sam –num_alignments 1 for both data sets, with the addition of –paired_in for the AspWood data set; Kopylova et al., 2012) using the rRNA sequences pro- vided with SORTMERNA (rfam-5s-database-id98.fasta, rfam- 5.8s-database-id98.fasta, silva-arc-16s-database-id95.fasta, silva-bac-16s-database-id85.fasta, silva-euk-18s-database- id95.fasta, silva-arc-23s-database-id98.fasta, silva-bac-23s- database-id98.fasta and silva-euk-28s-database-id98.fasta). Data were then filtered to remove adapters and trimmed for quality using TRIMMOMATIC 0.32 (with settings TruSeq3- PE-2.fa:2:30:10 LEADING:3 SLIDINGWINDOW:5:20 MIN- LEN:50; Bolger et al., 2014). After both filtering steps, FASTQC was run again to ensure that no technical artefacts were introduced. Filtered reads were aligned to v3.0 of the P. trichocarpa genome (https://phytozome.jgi.doe.gov/ pz/portal.html, November 2018), using STAR 2.5.2b (with non-default settings –outSAMstrandField intronMotif – readFilesCommand zcat –outSAMmapqUnique 254 –quant- Mode TranscriptomeSAM –outFilterMultimapNmax100 – outReadsUnmapped Fastx –chimSegmentMin1 – To identify the poplar orthologs of characterized CAZyme genes of A. thaliana, the protein sequences were aligned using MUSCLE (http://phylogeny.lirmm.fr/phylo_cgi/ index.cgi) and phylogenic trees were constructed using the neighbor-joining (NJ) method of MEGA 7 (Kumar et al., 2016) in default mode with a bootstrap test of 1000 repli- cates. Arabidopsis thaliana orthologs of the identified poplar genes were identified by BLAST (https://www.arabid opsis.org/Blast/). © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Data statement Figure S1. Phylogenetic trees of selected CAZyme families in poplar and A. thaliana. Figure S1. Phylogenetic trees of selected CAZyme families in poplar and A. thaliana. This manuscript is based on publicly available data sets deposited at Phytozome (https://phytozome.jgi.doe.gov/ pz/portal.html), CAZy (http://www.cazy.org) and AspWood (http://aspwood.popgenie.org/aspwood-v3.0/; Sundell et al., 2017). The CAZy annotation is provided in supplementary Tables S1–S8. Figure S2. Variation of CAZymes expression across the wood- forming zones of aspen. Figure S3. Variability in cell wall composition across wood devel- opmental zones for the second tree analyzed. Table S1. List of annotated glycoside hydrolases (GHs) in P. tri- chocarpa genome v3.0. Table S1. List of annotated glycoside hydrolases (GHs) in P. tri- chocarpa genome v3.0. Table S2. List of annotated glycosyl transferases (GTs) in P. tri- chocarpa genome v3.0. Table S2. List of annotated glycosyl transferases (GTs) in P. tri- chocarpa genome v3.0. CAZymes networks Co-expression networks for all expressed CAZymes were obtained from the AspWood database (http://aspwood.pop genie.org/aspwood-v3.0/) and the corresponding Graphml file was obtained using the EXNET tool (http://popgenie.org/ exnet) at a Z-score threshold of 5.0, and is available at ftp:// ftp.plantgenie.org/Publications/Kumar2018. The co-expres- sion networks represented at AspWood were calculated using mutual information (MI) and context likelihood of relatedness (CLR), as explained in Sundell et al. (2017). The resulting Graphml file was further explored in CY- TOSCAPE 3.4.0 (Shannon et al., 2003) for visualization, color- ing and determining the first neighbors of functionally known ‘Guide Genes’ involved in the development of pri- mary and secondary walls of the plant cell (Aoki et al., 2007). We acknowledge VR and Formas grants to E.J.M., the SSF project ValueTree RBP14-0011, the support from Vinnova (the Swedish Governmental Agency for Innovation Sys- tems) and KAW (The Knut and Alice Wallenberg Founda- tion), and the Kempe post-doc stipendium to V.K. Association of secondary wall-related CAZymes with other genes Association of secondary wall-related CAZymes with other genes ACKNOWLEDGEMENTS development of various tissues in wood, we calculated the average VST expression values for all samples covering specified developmental zones in tree 1. We thank a talented undergraduate student Tristan Coustes for help in cell wall analyses. SUPPORTING INFORMATION Additional Supporting Information may be found in the online ver- sion of this article. CONFLICT OF INTEREST Selected ‘Guide Genes’ were used to extract their correspond- ing networks containing first neighbors at threshold of 5.0 from AspWood. The similarity and differences in the neighborhoods of CAZymes were visualized using CYTOSCAPE 3.4.0. AUTHOR CONTRIBUTIONS VK performed most data analyses, prepared all figures and tables, and wrote the manuscript with EJM, MH and BH performed CAZyme re-identification. ND, CM and NRS assisted with data retrieval and transcriptome analy- ses. P.I. was responsible for cell wall analyses. EJM con- ceived and coordinated the project, finalized the manuscript with contributions from all co-authors, and agrees to serve as the author responsible for correspon- dence. CAZymes involved in wood biosynthesis The AspWood high-spatial-resolution RNA-Seq data set was used for the functional analysis of CAZymes in wood formation (Sundell et al., 2017). The identity of wood developmental zones was based on the expression of the marker genes (Sundell et al., 2017). A heat map of CAZyme expression was constructed using the R 3.4.0 (R Core Team 2015) GPLOTS package and the clustering was performed using the Ward.D2 method on Pearson distances. The cus- tom scripts are available from the same GitHub repository described above. CAZyme gene clustering was kept from the published hierarchical clusters (Sundell et al., 2017). To evaluate the CAZymes transcriptome investment in the Poplar carbohydrate-active enzymes 605 © 2019 The Authors. The Plant Journal published by Society for Experimental Biology and John Wiley & Sons Ltd, The Plant Journal, (2019), 99, 589–609 Cell wall chemical analysis in different developmental zones of secondary xylem and phloem Table S3. List of annotated polysaccharide lyases (PLs) in P. tri- chocarpa genome v3.0. Table S3. List of annotated polysaccharide lyases (PLs) in P. tri- chocarpa genome v3.0. Stem segments from the basal part of two glasshouse- grown 6-month-old hybrid aspen trees (P. tremula L. 9 tremuloides Michx.), clone T89, were split into bark and wood core, and sequentially scraped on both exposed surfaces to obtain two sequential developmental stages of wood and secondary phloem differentiation. The rest of the wood core was analyzed as ‘mature wood’. The tissues were freeze-dried, ground and analyzed for monosaccha- ride composition by alditol acetates (Englyst and Cum- mings, 1984) after hydrolysis in 2M TFA, for uronic acid content by a biphenyl assay (Filisetti-Cozzi and Carpita, 1991), and for Klason lignin content as described previ- ously (Gandla et al., 2015). The developmental trend was similar for the two trees analyzed, and results from one tree are shown in Figure 2 whereas the results for the other tree are shown in Figure S3. Table S4. List of annotated carbohydrate esterases (CEs) in P. tri- chocarpa genome v3.0. Table S4. List of annotated carbohydrate esterases (CEs) in P. tri- chocarpa genome v3.0. Table S5. List of annotated auxiliary activities (AAs) in P. tri- chocarpa genome v3.0. Table S5. List of annotated auxiliary activities (AAs) in P. tri- chocarpa genome v3.0. Table S6. List of annotated expansins (EXPN) in P. trichocarpa genome v3.0. Table S6. List of annotated expansins (EXPN) in P. trichocarpa genome v3.0. Table S7. List of annotated carbohydrate binding motifs (CBMs) in P. trichocarpa genome v3.0. Table S7. List of annotated carbohydrate binding motifs (CBMs) in P. trichocarpa genome v3.0. Table S8. Arabidopsis thaliana auxiliary activities (AAs). Table S8. Arabidopsis thaliana auxiliary activities (AAs). Table S9. CAZyme expression matrix for comparative analyses. Table S9. CAZyme expression matrix for comparative analyses. Table S10. CAZymes expressed in developing secondary xylem and phloem of aspen. Table S10. CAZymes expressed in developing secondary xylem and phloem of aspen. 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https://openalex.org/W2158337799
https://ensciencias.uab.es/article/download/v12-n2-susi/2348
Spanish; Castilian
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Ciencia y género: autoridad y medida en la enseñanza
Enseñanza de las ciencias/Enseñanza de las ciencias
1,994
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5,305
SUMMARY The report begins with the division which exists between teaching and rcsearch, which is considered to be a result of science's incapacity for speaking about itself and transmitting the sense c~f knowledge which it develops. Attention is drawn to the negligible relationship between those who carry out research and those who teach and the lack of authority which this causes. It is the root of the problem which many teachers encounter in establishing proper limits for themselves and for their own teaching of disciplinary knowledge. As a result of this lack of mediation, there is on the one hand an oscillation between blind subjection and impotent criticism ufhich characterizes the relation of those who are not scientifically qualified, and the other hand the dual excess of arrogance and silence on the part of those who are qualified and who thus severely limit communication between science and society. one hand an oscillation between blind subjection and impotent criticism ufhich characterizes the relation of those who are not scientifically qualified, and the other hand the dual excess of arrogance and silence on the part of those who are qualified and who thus severely limit communication between science and society. In this situation, one sees a condition shared by many women with rega~d to work, politics and science. It is in the political practice of female relationships and in the theoretical elaboration of how authority is formed and evolves that the place where appropriate questions have found order and meaning is revealed. From information regarding the need for mediation efforts to encourage communication between teaching and research, the report goes on to evaluate those which already exist, discussing the conditions under which a science of q y y In this situation, one sees a condition shared by many women with rega~d to work, politics and science. It is in the political practice of female relationships and in the theoretical elaboration of how authority is formed and evolves that the place where appropriate questions have found order and meaning is revealed. p pp p q g From information regarding the need for mediation efforts to encourage communication between teaching and research, the report goes on to evaluate those which already exist, discussing the conditions under which a science of education might unite the nurturing of such a relation with the objectivitg which is necessary. CUANDO LA COMPETENCIA NOS ENMUDECE: LA SEPARAC1,ON ENTRE ENSENANZA E INVESTIGACION mente, en este período profundizó en las sistematización rigurosa del análisis, a la que está ligado su nombre, y que le supuso 1;i llamada para enseñar en la universidad. Una parte fundamental de su trabajo se conoció a través de sus clases en la Universidad de Berlín, en las que, entre otros, se formó Georg Cantor. Peano dedicaba muchas horas e la didáctica de las matemáticas en la escuela elemenlal. Cuando recibí la invitación para intervenir en esta con- ferencia, me quedé algo perpleja. Me preguntaba qué podría decir a una convención de enseñantes que les interesara, yo que no he enseñado nunca. Os hablo de mi reticencia inicial porque me parece que es un signo de cómo ha llegado a considerarse normal la idea de que la enseñanza y la práctica de la ciencia son dos cosas separadas. No siempre ha sido así, más bien se puede decir que esta separación es una característica de nuestros días. No es necesario retroceder mucho en la historia de la ciencia, para encontrar grandes escuelas científicas que se formaban en la universidad y en las cuales, las clases eran una fase de la investigación. Por ejemplo: Ahora, la enseñ~inza, no sólo la de los primeros niveles, sino también la universitaria, se considera por muchas personas como iina rutina aburrida que resta un tiempo precioso a la investigación. Las causas de la separación entre el «hacer» y el <<enseñar ciencia» CIENCIA Y GÉNERO: AUTORIDAD Y MEDIDA EN LA ENSEÑANZA* SUSI, E. Instituto LAMEL-CNR. Via Gobetti, 101. Bologna. Italia. SUSI, E. Instituto LAMEL-CNR. Via Gobetti, 101. Bologna. Italia. c) Una valoración social diferente. Para aquelliis personas que se dedican a la investiga- ción científica: d) La dificultad para transmitir el sentido del hacer científico. - Afasia de la. ciencia. a) Ante todo cuentalacreciente separación de las materias, necesaria por la vastedad del saber acumulado, por la cual se segmentan las actividades intelectuales en es- pecialidades cada vez más restringidas e incomunicadas entre sí. Esta división hace que ganemos en profundidad y precisión, pero al mismo tiempo es causa de una pérdida de visión general y de capacidad de síntesis e intercambio. - Falta de mediación entre la ciencia y la sociedad. - Falta de mediación entre la ciencia y la sociedad. - Arrogancia o silencio. De hecho, la tendencia natural de quienes se dedican a la investigación es la de dirigirse exclusivamente a sus comunidades clisciplinares, en las cuales su competencia puede circular y ser reconocida sin posteriores media- ciones, limitando su relación directa con la sociedad, si es que se da, al plano de la divulgación. Pasa a segundo plano la verdad de la ciencia, sustituyéndose por el reconocimiento de la comunidad científica. No hay disposición a escuchar las opiniones de otros. b) Una consecuencia es que la experiencia personal y el conocimiento del mundo quedan lejanos del conoci- miento científico. Se tiende a elaborar un lenguaje específico y críptico. ¿Cómo enseñar dentro de una concepción, no sólo de transmisión de conocimientos sino en el sentido de una actividadcognoscitiva dentro de un punto de vista general, si es necesario juntando fatigosamente pedacitos de saber proporcionados por las personas especialistas? Dependiendo del gusto o de la vanidad personal, habrá quien se limitará a manifestarse sólo sobre lo que con- cierne estrictamente a su campo de conocimiento y quien, por el c'ontrario, se dejará tentar por divulgar argumentos diversos. Entonces, el lenguaje de la ciencia acaba oscilando entre el refinamiento críptico de la especialización y la simplificación brutal de la divulga- ción-espectáculo, practicada por la televisión y la prensa. c) La enseñanza, cuando no concierne a la estricta competencia disciplinar, cuando, por lo tanto, sale del ámbito reproductivo de la comunidad científica de es- pecialistas, necesita transmitir el sentido de la actividad cognoscitiva y, consecuentemente, disponer de un punto de vista más general. Para ello es necesario un empeño y un esfuerzo cada vez más voluntarioso, ya que no tiene recompensas en forma de prestigio social o de promo- ción en la carrera docente. c) Una valoración social diferente. La ciencia pare;e incapaz de hablar de sus resultados, que transforman la realidad tan profundamente, con un lenguaje transparente, comprensible para una mayoría, sin traicionar el rigor de los experimentos de los que nace. Un segundo elemento que apoya la división entre ense- ñanza e investigación es la polarización de la atención social sobre las actividades que tienen una repercusión inmediata en la economía y la menor atención que, siempre, dedican las sociedades económicamente desa- rrolladas a la transmisión del saber, cuya importancia en el desarrollo económico es demasiado indirecta y dila- tada en el tiempo. De ello se deriva que los recursos dedicados a la enseñanza son insuficientes y que su prestigio social es escaso. Para quienes se dedican ala enseñanza, las consecuencias son otras: - Falta de accer~o al lugar donde se produce el saber científico. - Falta de accer~o al lugar donde se produce el saber científico. - Incertidumbre y dificultad para acceder a una expre- sión coherente con la propia experiencia del mundo. - Incertidumbre y dificultad para acceder a una expre- sión coherente con la propia experiencia del mundo. - Problemas de autoridad. Las causas de la separación entre el «hacer» y el <<enseñar ciencia» Muchas innovaciones matemáticas fundamentales se comunicaron directamente en las clases, en sus textos y apuntes. El gran matemático alemán, Weierstrass, por citar a uno de tantos, que vivió entre 1815 y 1897, fue durante mucho tiempo profesor de instituto y, precisa- Las razones de es le estado de cosas son muchas y vale la pena pararse un niomento, porque dejan claros algunos aspectos importa~ites del modo actual de hacer ciencia: ENSEÑANZA DE LAS CIENCIAS, 1994, 12 (2), 200-205 y mediación con una parte importante de la cultura y de las necesidades y expectativas de la sociedad de la que forma parte. Esto trae consigo diversas consecuencias: a) La especialización creciente de la competencia disci- plinar específica. a) La especialización creciente de la competencia disci- plinar específica. b) Un conocimiento científico muy separado de la expe- riencia personal: lenguaje específico. Para quiene:~ se dedican a la investigación científica. Para quiene:~ se dedican a la investigación científica. c) Una valoración social diferente. Para quienes se dedican a la enseñanza. - Problemas de autoridad. Por otro lado, la ausencia de relaciones con la comuni- dad científica, en la que se construye y se hace circular la autoridad de la ciencia, hace vivir como arbitraria y no suficientemente reconocida esta asunción de autoridad, sensación reforzada por la escasa consideración social y la dificultad objetiva de alcanzar el nivel justo de com- petencia sobre un número creciente de temas, cada uno de los cuales es rico en novedades complejas. Se da entonces aquello que Angela Alioli (1992), en su texto, «Una matemática que enseña», llama «el proble- ma infinito», es decir, el no saber poner término a la búsqueda de la competencia. Dice Alioli: «Las respuestas a las preguntas de qué eran las mate- máticas y con qué objetivo se enseñaban, que me co- municaba la comunidad de expertos en la que estaba inserta, eran extrañas a mis expectativas, no bastaban para dejarme entrar tranquila en clase. En síntesis: la autoridad de la ciencia no es el fruto de abstractas cualidades del método cient$co, sino de concretas rplaciones sociales; es decir, que la ciencia no dice una verdad abstracta y absoluta, pero dice «lo verdadero» a través de las relaciones, y es en ellas donde se forma y circula entre los investigadores, la autoridad para decir la verdad. »Alejada de otra comunidad a la que dirigirme, decidí ponerme al día. Aprendía cosas nuevas, aburridas o interesantes, me apasionaba, acumulaba material sobre aproximaciones didácticas diversas, pero lo que no sa- bía parecía no disminuir jamás.» Esta validación del trabajo por parte de la comunidad cient$ca no existe para quienes se dedican a la ense- ñanza Un gran número de enseñantes que tiene gran deseo de calidad en su trabajo conoce la misma angustia: sigue infinitos cursos de actualización, busca con atención las últimas novedades en las revistas especializadas, ajusta continuamente el programa. También está, por oposición, quien durante años enseña «por sus apuntes», ignorando todo lo que ha cambiado. En el fondo, se trata de manifestaciones diversas de la dificultad de encontrar una medida adecuada de la propia persona y de su proyecto didáctico, que produce y transmite la misma dificultad para acceder a un discurso coherente con el propio estar en el mundo. - Problemas de autoridad. Por el contrario, la importancia económica de la inves- tigación científica produce una presión social sobre las personas que se dedican a esa actividad en el sentido de incitarlas a una productividad cada vez mayor, a través de mecanismos de financiación y de la estructura de la carrera profesional, que desvaloriza todas aquellas ac- tividades que no vayan a obtener resultados inmediatos, susceptibles de utilización. La existencia de una amplio grupo de enseñantes que no tiene acceso directo a los lugares en los que se produce el saber científico, ni dispone de instrumentos propios de mediación con estos últimos, produce también una afasia similar. En efecto, sobre quien enseña, se producen exigencias contradictorias. Por un lado, la transmisión del saber demanda una asunción de autoridad, ya sea en la relación con el alumnado o en su propio enfrentarse a la materia, por la necesidad de seleccionar contenidos y de decidir d) La dificultad para transmitir el sentido del hacer científico repercute en que una gran parte de la investi- gación avanzada carece de un terreno de confrontación ENSEÑANZA DE LAS CIENCIAS, 1994, 12 (2) INVESTIGACIÓN Y EXPERIENCIAS DIDÁCTICAS que sucede; en particular, impide ver la relación entre pertenecer ,i la comunidad y construir autoridad. que sucede; en particular, impide ver la relación entre pertenecer ,i la comunidad y construir autoridad. la profundidad con que se han de tratar. No olvidemos que la ciencia llega construida a la escuela. De hecho, muchas científicas y científicos consideran como algo esencial de su propio trabajo la relación con el objeto de estudio, la verdad a descubrir, las hipótesis a probar, y tienen el convencimiento de que sólo en su capacidad para capturar la verdad contenida en las ma- temáticas, la física, etc. está la fuente de la credibilidad de sus resiiltados y, por tanto, la autorización para venderlos socialmente. Pasa entonces a segundo plano, el elemento esencial de la empresa científica, es decir, el hecho de qble la verdad cientgica se forma y se reconoce a través de relaciones entre cientqicos y que los resul- tados obter.idos por grupos de investigación o por in- vestigadores solitarios sólo son examinados por la co- munidad científica, para obtener el reconocimiento de validez que permita presentarlos públicamente. La situacitin de las mujeres Hablar reqliere autoridad simbólica. Muchas mujeres han vivido y viven en condiciones de afasia en el trabajo, en la política, en la ciencia y ha sido justamente en la práctica política y en el trabajo de algunas mujeres donde he eilcontrado la clave para entender las razones y observar las posibilidades de cambio que la realidad ofrece. Estii clave es la autoridad. - Problemas de autoridad. Si se pierde de vista este hecho decisivo, se acaba por pensar que tenemos autorización para expresar nuestras propias opiniones, porque estamos en posesión de una competencj a especializada que sostiene este derecho por símisma. Nos volvemos arrogantes, sin disposición para escuchar preguntas u otras opiniones, o bien conscientes de la pequeñez del trocito de verdad que poseemos; tenemos afiisia para todo lo que no afecte estrictamente a la propia competencia específica, que para una persona muy escrupulosa, puede querer decir casi todo. No hay un único método para enseñar matemáticas, cada enseñante debe desarrollar el suyo, pero para ello es imprescindible la autoridad. »La incompetencia simbólica, de hecho, trasciende el nivel lingüístico, haciendo nacer en la persona que habla la incertidumbre de que las palabras puedan decir aquello que queremos decir, y empujándola a buscar recursos para vencer la incertidumbre, con el resultado de hacerla más manifiesta, por ejemplo, en el énfasis puesto en las cosas más obvias y la reticencia con la que se anuncian las más importantes no en definitiva, la mímesis es el método resolutivo: un decir que trata de decir, no lo que es, sino aquello que otros han dicho o dirán, apoyándose en su querer decir.» Conocí muy bien la incertidumbre que nace de la falta de autoridad en mis primeros años de trabajo. Era entonces una ingenua investigadora llena de fe en la fuerza del método científico y ansiosa por alcanzar la tranquilidad que su uso me proporcionaría para obtener resultados a la altura de mis ambiciones. Era extraordinariamente escrupulosa en el diseño y ejecución de mis experimen- tos, pero encontraba dificultades imprevisibles, hasta la parálisis, en el momento de validar los resultados. Pasé años recopilando datos para sostener eficazmente las hipótesis que quería demostrar. Me faltaba la práctica de la autoridad y esta carencia me impedía encontrar un punto de equilibrio entre mi deseo y lo concreto del mundo. Aquel sujeto universal se hace visible en la estructura masculina de la comunidad cient$ica y colorea sexual- mente la autoridad que allícircula. El pretendido sujeto neutro es ma,rculino. Esto hace que la autoridad cientí- fica excluya ser mujer en el horizonte de lo que es significativo y, por tanto, limite las posibilidades de libre expresiiin de las mujeres. Una consecuencia significativa de ello es el hecho de que aún hoy, a pecsar de la afluencia masiva de mujeres a las facultades científicas y a los centros de investigación, a pesar de la presencia de tantas grandes científicas y del redescubrimic:nto de otras mujeres que, en el pasado, se arriesgaron a sufrir escarnio para conseguir demostrar su amor a la ciencia, sigue siendo de general aceptación que el conocimierito científico no es apto para mujeres. Así lo propagan los tests que «prueban» la menor tendencia de las chicas hacia las matemáticas, explicada de vez en cuando por raxones biologicistas, otras veces por razones ambientales cl por el miedo a perder admiradores si se dedican a estL dios «masculinos». Consecuentemente se diseñan inicií~tivas para animarlas a escoger estudios científicos, dentro de una lógica de igualdad de oportu- nidades y acc ones positivas. En esta línea se han man- tenido tesis sobre el origen social de la falta femenina en la conformaci~jn de la ciencia, del que puede ser ejemplo, un serio debate mantenido en American Journal of Phy- sics, sobre p o ~ qué las chicas americanas no se inscriben en física y en matemáticas. Salí de aquella incertidumbre al encontrar la meditación de una colega que me dijo que lo que había hecho era más que suficiente para justificar una hipótesis, autorizándome así a poner fin a la búsqueda de la sustentación experi- mental y a afrontar el juicio de la comunidad científica. Fue mi iniciación y, desde entonces, bien o mal, mi puesto ha estado asegurado. Aquella lejana experiencia me enseñó que no basta una honesta y escrupulosa observación de las reglas del método científico, aprendidas en los libros, para obtener la capacidad de decir lo que se sabe, sino que se necesita la mediación de las relaciones con otros investigadores, según normas precisas y dentro de estructuras e instituciones codificadas, aunque elásticas y variables, según lanecesidad del momento. El haber sido capaz de ver este hecho me ha permitido reconocer la autoridad de la ciencia, sin oscilar entre la sujección ciega y la crítica impotente. También me ha permitido comprender que el dar y recibir autoridad requiere una práctica atenta de las relaciones, porque el confín que separa la autoridad que enriquece del auto- ritarismo que declama puede ser muy sutil. Laautoridadcientífica, talcomo se constituye actualmente, no es suficiente para que una mujer «afirme aquello que es». Tenemos necesidad de una autoridad femenina para que la autoridad que viene dada por la comunidad científica sea plena y, por tanto, comprenda y haga significativa nuestra experiencia femenina del mundo. La práctica política de las mujeres y las reflexiones consiguientes nos muestran que, para practicar libre- mente el amor por el conocimiento, es necesario reconocer y asumir autoridad, y que la autoridad nace de las relaciones, y está, por tanto, marcada por las personas concretas con las que se entra en relación, en primer lugar por la diferencia sexual. La autoridad científica: - Nace de las relaciones que constituyen la comunidad ciei! tífica. Luisa Murano (1991) en su libro El orden simbólico de la madre, hablando de «la dificultad femenina histórica- mente determinada a manifestar su propia experiencia», afirma que «[ ...] se trata del problema planteado de la falta de autoridad simbólica, es decir, la autoridad de afirmar aquello que es, que la lengua posee y que hacemos nuestra aprendiendo a hablar. En ausencia de esta autoridad, no se pierde necesariamente la competenica lingüística, la cual permanece paracubrir el defecto de otra competencia más elemeiital que llamaré simbólica y que consiste en tener sentitio de la mediación y de su necesidad [...] - Tiene una impronta masculina muy fuerte. - Oculta esta particularidad bajo el supuesto de la neu- tralidad científica. Ignora la relación entre el sujeto y el objeto. En el caso de la investigación, el problema no está en la separación de la comunidad científica, sino, por así decirlo, en un exceso de pertenencia que impide ver lo ENSEÑANZA DE LAS CIENCIAS, 1994, 12 (2) Esta parciali~jad se encuentra también en otros sectores de la sociedad, pero en la ciencia se oculta bajo el presupuesto (le la neutralidad del objeto del conocimiento científico, de forma particularmente persistente. Forma parte de aquella visión que sitúa en el centro de la ciencia la relación eritre sujeto y objeto de la indagación, y que requiere que, en esta relación, el sujeto entre libre de cualquier corinotación particular, con actitud distante e indiferente, que es la que se define como neutra. Esta visión, abiertamente en contraste con el funcionamiento real de la empresa científica, ejerce una gran fascinación dentro y fuerii del ambiente de la investigación, y genera una disimetría en la distribución de mujeres y hombres en su seno. Ahora sabemos que es necesaria una mediación que mantenga abierta la comunicación entre enseñanza e investigación. Se trata de una necesidad que ya ha sido captada tanto por quien enseña como por quien se ocupa de la enseñanza, y este mismo congreso es una prueba elocuente. En él se han dedicado gran cantidad de traba- jos, reflexiones teóricas y experiencias prácticas al fun- cionamiento de la escuela. La ciencia de la enseñanza es una disciplina fuertemente estructurada, rica en perso- nas expertas y dotada de un amplio y propio patrimonio de investigación. Lo que puede parecer paradójico, aunque no lo sea, es que a pesar de ello las relaciones entre expertos y enseñantes no tienen la intensidad y la apertura necesarias para constituirse en una mediación adecuada. Existe una estrecha relación entre autoridad y medida: de hecho, la autoridad de la comunidad científica inter- viene a vezes como sostén y garantía de la actividad experimenial, primero fijando los criterios a los que atenerse para obtener una medida digna de crédito y, luego, disciitiendo las medidas efectuadas y autorizando la difusión de aquéllas que responden a los criterios definidos y aceptados. En el transcurso de los siglos, el desarrollo de la ciencia ha producitlo poco a poco los códigos experimentales más adecuados al estado del conocimiento y a la dispo- nibilidad de técnicas y, actualmente, el sistema de nor- mas que regula la actividad experimental es enorme- mente vasto y articulado. Sin embargo, existen algunos principios fiindamentales comunes, cuyo respeto es uni- versalmente considerado necesario para que una medida pueda definirse como tal: que sea repetible, que su error asociado sea valorable e inferior al límite fijado por la necesaria precisión, que sea posible reconocer y controlar las fuentes de errores sistemáticos y que la perturbación del sistema debida a la medida sea despreciable. La ciencia de la educación, como su nombre indica, declara compartir el estatuto actual de la ciencia y, por lo tanto, la compartimentación en disciplinas, la especia- lización v una idea de cientifismo aue retoma la elabo- rada por 6 estudio de los fenómenos naturales, considerando científico sinónimo de exacto, repetible, intercambiable y no subjetivo. La ciencia de la enseñanza: - Tiene por objeto una relación entre las personas. Un estudio, para ser científico, requiere medida. La existencia de datos experimentales proporcionados por medidas bien hechas es la condición necesaria para que se pueda dar una investigación científica. Es común pensar en la medida como una relación unívoca entre un sujeto y u11 objeto: un sujeto que busca un orden capaz de dar sentido -comprensible para él- a un conjunto de evidencia!; experimentales y un objeto que se pliega dócilmente: o debe ser obligado aplegarse alas condiciones que hacen la medida significativa. Queda clara, de esta manera, una de las causas de la dificultad en la que se encuentra quien enseña: la sepa- ración entre ciencia y enseñanza de que he hablado al principio impide aquellas relaciones de las que nace la autoridad y a través de las cuales circula la autoridad que da la seguridad necesaria para escoger, cortar e interpre- tar, transmitiendo a alumnas y alumnos no sólo un patrimonio de conocimiento, sino el aprendizaje necesa- rio para una relación libre y rigurosa con la realidad. Pero una rnedida sólo tiene significado si circula por el interior de una comunidad que pueda colocarla en una tradición c.e pensamiento y de investigación. Igual que la autoridad, la medida nace de las relaciones. En efecto, puesta la atención en las relaciones que constituyen la sociedad científica, no es difícil darse cuenta de que ésta tiene una fuerte impronta masculina, que hace muy difícil la integración armoniosa de las mujeres. Esta connotación masculina viene determina- da históricamentepor el hecho de que la ciencia moderna se constituyó en una sociedad de abierto dominio mas- culino en la que, a las mujeres, se las mantenía alejadas de los estudios. Las metáforas utilizadas por los funda- dores de este pensamiento son muy explícitas, tal como nos cuenta el hermoso libro de Carolyn Merchant (1991) The death of nature. Cada persona (lebe construirse su posibilidad de palabra, teniendo conti.luamente presente lo que es y buscando la mediación adecuada a su deseo y al contexto en el que está inmersa. continuameiite las formas y modos del proyecto didáctico. excepto en una aproximación muy grande o reuniendo grandes muestras. Por otra parte, es muy difícil hacer de una persona viva un sistema cerrado, prescin- diendo de los factores externos. La medida tiene lugar dentro de una relación entre personas, que está siempre dotada de reciprocidad y no deja imperturbable a ninguna de las partes. Como toda medida, la evaluación requiere autoridad y relaciones que la hagan significativa. Pero la organiza- ción actual (le la escuela hace difícil individualizar con precisión cuáles pueden ser estas relaciones. Por un lado está el estamento docente, cada persona en su clase con una discrecic~nalidad que parece absoluta. Por otro, están las instituciones, que, cuando no están ausentes, están interesadas en la estandarización, la homogeneización y la intercamhiabilidad. En medio, en una posición de mediación, c:stán las disciplinas específicas tales como la docimolo~:ía, la pedagogía y otras. La tensión entre universal e individual que caracteriza las ciencias de las personas requiere una práctica cons- tante y atenta de las relaciones entre expertos y objeto de estudio. Quien siga ciegamente el estándard de cientifi- cidad elaborado para el estudio de los fenómenos natu- rales transforma la articulación de los dos momentos, la recogida de datos y la búsqueda del sentido, en una separación, en la cual la búsqueda del sentido es la que se pierde. Una demostración de esta pérdida son los clamorosos errores científicos, convertidos en espanto- sa arma de discriminación, justificados con el uso de la estadística: sirvan, como ejemplo, los tests de inteligencia. El problema es que muchas veces la mediación no es adecuada. Eri primer lugar, la relación entre expertos de las ciencias <le la educación y enseñantes es escasa o no existe. De httcho, el cientifismo mal entendido lleva a sobrevalorar los datos como objetivos, las estadísticas, los cuestionílrios, los tests, etc., respecto a una más fatigosa confrontación en el lugar en el que se desarrolla el hecho didiictico concreto. El uso incorrecto de la estadística no deriva únicamente del hecho de que no se respetan las condiciones bajo las que han sido elaboradas las leyes estadísticas, estable- ciendo correlaciones arriesgadas y simplificaciones ex- cesivas, sino también del hecho de considerar a todas las personas iguales y libres de diferencias y evolución. continuameiite las formas y modos del proyecto didáctico. De esta manera se pierde lo que de verdad hace científico un estudio, y las investigaciones se quedan en abstrac- ciones, incapaces de informar sobre lo que sucede, porque quedan privadas del hecho experimental que sólo quien hace el i.rabajo de campo, y verifica continuamente los efectos de la práctica educativa, posee, es decir, quien enseña. NOTA -Necesita una valoración de la capacidad y del nivel de aprendizaje. * Ponencia preirentada al IV Congreso Internacional sobre Investigación en aDidácticade las Ciencias y de las Matemáticas, celebrado en B;lrcelona los días 13 al 16 de Septiembre de 1993. Ha sido traducida del italiano por M. Alvarez y C. Pereiro. - La evaluación es una medida, por ello necesita autori- dad y relación. - La ciencia de la educación no considera la relación didáctica como el centro: dedica una atención casi ex- clusiva a las técnicas. - Una cientificidad que no toma en consideración el campo experimental. RECIBIR MEDIDA PARA PODER DARLA Nace entonces el sentido de una deficiencia y se recurre a posteriores inediaciones institucionales, como forma- dores, o técnicas, o se inventan cuestionarios cada vez más minucios13s y complicados, exigencias formales que deberán sustiluir las relaciones inexistentes, haciendo desaparecer, klajo la ficticia homogeneidad de los núme- ros y las tablar;, la diversidad en la cual está el sentido de la enseñanza. De esta forma se resta libertad y autoridad a quien enseña, sin ganar nada en cuanto a cientificidad de los resultaclos. La capacidad para mantener unidas las relaciones y la objetividad necesaria para la medida, de forma que la inevitable articulación no se convierta en separación, es el problema central del acercamiento científico al co- nocimiento de las personas. Las soluciones posibles son probablemente más de una, diferenciadas por los diversos ámbitos experimentales. Me interesa aquí examinar las implicaciones del caso de la enseñanza: - No se le reconoce el aspecto de investigación. Al proyectar una medida, por tanto, nos esforzamos para que la incertidumbre experimental sea lo más pequeña posible, tratando de prever y de reducir la influencia de los factores externos y de simplificar separando las diversas variables y delimitando el campo de indagación del fenómeno que se quiere estudiar. - Por eso tiene problemas de medida (¿quién define el metro?). - Existe una relación entre autoridad y medida. - Fija los criterios que han de guiar la medida. Estanecesidaldjunto al uso de tecnologías muy complejas, que implican una relación muy indirecta entre quien observa y el fenómeno observado, imponen un segundo nivel de la aclividad experimental, en el que, de la masa de datos obte:iidos, se hace emerger un orden que le da su significadc. Este es el momento en el que la identidad del objeto, antes subdividida y simplificada, se recom- pone como síiitesis de las informaciones contenidas en las medidas. Si se ha mantenido la coherencia entre las motivaciones de la investigación y las simples decisio- nes que han definido los diversos actos de la medida, esta síntesis podrá producir nuevo conocimiento. - Garantiza el significado de la medida. - Mide las cosas vivientes. - Mide las cosas vivientes. - Ha de contabilizar la relación entre personas y la necesaria objetividad de la medida. - Ha de contabilizar la relación entre personas y la necesaria objetividad de la medida. Comparte, por tanto, los límites de comunicación y de eficacia, acrecentados por problemas específicos debi- dos al hecho de que toma como objeto de estudio las relaciones entre personas. Como otras disciplinas que utilizan una aproximación al conocimiento de los seres vivos, las ciencias de la educación tienen que satisfacer dos exigencias contradictorias: la de encontrar lo que es confrontable y generalizable en los objetos de su estudio y la de respetar la unicidad y la variabilidad. Sin embargo, cuando las medidas se refieren a personas, muchas de las c,ondiciones de fiabilidad de las mediciones resultan de difícil aplicación; entre ellas, la repetibilidad, porque un ser viviente evoluciona continuamente y por- que los seres humanos no son intercambiables entre sí, ENSENANZA DE LAS CIENCIAS, 1994, 12 (2) continuameiite las formas y modos del proyecto didáctico. REFERENCIAS BIBLIOGRÁFICAS ALIOLI, A., 19!)2. Insegnare scienza: autorith e relazioni. (Rosenberg e Sellier), p. 47. ~ ~ b i t ~ ~ l ~ ~ ~ t ~ no se reconoce el aspecto de investiga- ción que tiene la enseñanza; quienes se dedican a ella, con frecuencia, no tienen conciencia de esta situación. Sin embargo, la enseñanza, para ser eficaz, requiere una cuidadosa evaluación de la capacidad y del nivel de aprendizaje del alumnado, para que se puedan adecuar MURANO, L., 1!)91. L'ordine simbolico della madre. (Editori Riuniti). MERCHANT, C., 1991. The death of nature. (Har~er& Row). 205 ENSEÑANZA DE LAS CIENCIAS, 1994, 12 (2)
https://openalex.org/W2918946886
https://www.nature.com/articles/s41598-019-40577-8.pdf
English
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Development of a novel short 12-meric papiliocin-derived peptide that is effective against Gram-negative sepsis
Scientific reports
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cc-by
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Development of a novel short 12- meric papiliocin-derived peptide that is effective against Gram- negative sepsis Received: 7 September 2018 Accepted: 19 February 2019 Published: xx xx xxxx Jieun Kim1, Binu Jacob1, Mihee Jang1, Chulhee Kwak1, Yeongjoon Lee1, Kkabi Son1, Sujin Lee2, In Duk Jung2, Myeong Seon Jeong3, Seung-Hae Kwon3 & Yangmee Kim1 The development of novel peptide antibiotics with potent activity against multidrug-resistant Gram- negative bacteria and anti-septic activity is urgently needed. In this study, we designed short, 12-meric antimicrobial peptides by substituting amino acids from the N-terminal 12 residues of the papiliocin (Pap12-1) peptide to alter cationicity and amphipathicity and improve antibacterial activity and bacterial membrane interactions. Pap12-6, with an amphipathic α-helical structure and Trp12 at the C-terminus, showed broad-spectrum antibacterial activity, especially against multidrug-resistant Gram- negative bacteria. Dye leakage, membrane depolarization, and electron microscopy data proved that Pap12-6 kills bacteria by permeabilizing the bacterial membrane. Additionally, Pap12-6 significantly reduced the secretion of NO, TNF-α, and IL-6 and secreted alkaline phosphatase reporter gene activity confirmed that Pap12-6 shows anti-inflammatory activity via a TLR4-mediated NF-κB signaling pathway. In a mouse sepsis model, Pap12-6 significantly improved survival, reduced bacterial growth in organs, and reduced LPS and inflammatory cytokine levels in the serum and organs. Pap12-6 showed minimal cytotoxicity towards mammalian cells and controlled liver and kidney damage, proving its high bacterial selectivity. Our results suggest that Pap12-6 is a promising peptide antibiotic for the therapeutic treatment of Gram-negative sepsis via dual bactericidal and immunomodulatory effects on the host. A major global public health threat, costing thousands of lives and substantial economic damage, is the emer- gence of antibiotic resistance in pathogenic bacteria1–3. New antibiotics for Gram-negative bacterial infections, in particular, are urgently needed4,5. The outer membrane of Gram-negative bacteria consists of lipopolysaccharides (LPS) and acts as a permeability barrier, making the development of antibiotics challenging5. Gram-negative bac- terial infection leads to the release of LPS, which are recognised by toll-like receptor 4 (TLR4) on macrophages, subsequently triggering the overexpression of cytokines and an uncontrolled inflammatory response, leading to sepsis6–8. Gram-negative sepsis results from a harmful host response to infection, in which bacteria and LPS released from bacteria activate immune cells, such as monocytes and macrophages9. It is extremely difficult to develop a specific therapeutic agent against bacterial cells during sepsis. Accordingly, there is an immediate and urgent need for the development of alternative antibiotics10. g p Antimicrobial peptides (AMPs) are small peptides that are part of the innate immune system of various organ- isms10–12. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 7 September 2018 Accepted: 19 February 2019 Published: xx xx xxxx Results P id Peptide design. To develop short novel peptide antibiotics showing potent antibacterial activity and anti-sepsis activity, we designed 12-meric analogues from the N-terminal 12 residues of papiliocin (Pap12-1), as listed in Table 123–25. Previous studies have reported 12-meric peptides with potent antibacterial activities derived from long α-helical AMPs, such as MSI-78 and LL-3726,27. Additionally, 12-meric peptides with antiendotoxic activity have been designed with boomerang-like β-strand conformations28. The dodecamer represents an opti- mal length for antibacterial activities, while still allowing peptides to retain amphipathic secondary structures. The N-terminal 12 residues of papiliocin were chosen, since this was the minimum length to retain meaningful antibacterial activity (MIC of 16 μM) against Escherichia coli and because it containsTrp2 and Phe5, which have been identified as key residues for papiliocin antimicrobial activity23–25. In this study, Val11 of Pap12-1 at the boundary of the hydrophobic phase was substituted with Lys to increase the net positive charge as well as amphi- pathicity in all analogues (Fig. 1). The cationicity and amphipathicity of AMPs play important roles in mediating the initial interaction with the negatively charged bacterial cell membrane29. To evaluate the effect of hydropho- bicity on peptide activity, Ala or Val were substituted for Ile8 and Glu9 in the hydrophobic phase, resulting in increase of cationicity to +6 in all analogues. Pap12-2 was obtained from Pap12-1 by substituting Ala in the 8th and 9th positions, while Pap12-3 was designed by replacing the 8th and 9th amino acids with Val, resulting in a higher hydrophobicity compared to that for Ala. It has been reported that valine substitution can improve anti- microbial activity without increasing cytotoxicity30. Furthermore, Gly12 at the 12th position was replaced with Ala or Trp to improve membrane interactions. Thus, Pap12-4 was derived from Pap12-2, in which Gly12 was replaced with Ala, thereby improving amphipathicity. Pap12-5 was obtained from Pap12-3 by replacing Gly12 with Ala. Finally, Pap12-6 was designed by substituting Gly12 with Trp to increase hydrophobicity and improve membrane interactions. It has been reported that Trp residues confer more potent antimicrobial activity than phenylalanine or tyrosine31. Further, the indole ring in Trp interacts with the interfacial region of a membrane, allowing AMPs to partition well into the bilayer interface32,33. While Pap12-1 has four lysine residues on the hydrophilic face, all analogues with Lys at the 11th position had an extended angle at the hydrophilic face, with increased cationicity, as shown in Fig. 1. Development of a novel short 12- meric papiliocin-derived peptide that is effective against Gram- negative sepsis In addition to antimicrobial activity, they have immunomodulatory effects13,14. Many AMPs are active against multidrug-resistant (MDR) pathogenic bacteria and mainly target the bacterial cell membrane, making them a promising new class of therapeutic agents15–17. AMPs can modulate the host immune response in multiple ways, including the recruitment of immune cells to the site of infection. The immunomodulatory properties of AMPs can be exploited to treat inflammation and sepsis10,18,19. Several AMPs are known to exert antiendotoxic activities and suppress LPS-induced proinflammatory cytokine production19,20. Colistin suppresses proinflam- matory cytokines in the LPS-challenged condition but shows high cytotoxicity19. Certain LPS antagonists derived 1Department of Bioscience and Biotechnology, Konkuk University, Seoul, 05029, South Korea. 2Department of Immunology, Lab of Dendritic Cell Differentiation and Regulation, School of Medicine, Konkuk University, Chungju, 27478, South Korea. 3Chuncheon Center, Korea Basic Science Institute, Chuncheon, 24341, South Korea. Correspondence and requests for materials should be addressed to Y.K. (email: ymkim@konkuk.ac.kr) Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 1 www.nature.com/scientificreports/ Peptide Name Sequence Charge µHa Calculated MW Measured MWb Pap12-1 RWKIFKKIEKVG-NH2 +4 0.486 1531.9 1530.8 Pap12-2 RWKIFKKAAKKG-NH2 +6 0.459 1460.8 1459.8 Pap12-3 RWKIFKKVVKKG-NH2 +6 0.555 1516.9 1515.8 Pap12-4 RWKIFKKAAKKA-NH2 +6 0.483 1474.8 1473.8 Pap12-5 RWKIFKKVVKKA-NH2 +6 0.580 1530.9 1529.9 Pap12-6 RWKIFKKVVKKW-NH2 +6 0.736 1646.1 1645.0 Melittin GIGAVLKVLTTGLPALISWIKRKRQQ-NH2 +5 0.394 2847.49 2846.49 Table 1. Peptide designs and physicochemical properties. aμH represents the mean amphipathic moment or hydrophobic moment and was calculated using the HeliQuest site at: http://heliquest.ipmc.cnrs.fr/cgi-bin/ ComputParams.py. bMolecular weight (MW) measured by mass spectroscopy. from lactoferrin, cathelicidins, granulysins, and β-boomerang peptides can directly interact with LPS and neu- tralise its endotoxic action11,20. Cecropins are a major class of AMPs found in insects21. Papiliocin, a cecropin found in swallowtail but- terfly larvae22. Our previous study revealed that it has a helix-hinge-helix structure and is active against MDR Gram-negative bacteria, with low toxicity to mammalian cells23. Trp2 and Phe5 contribute to its antibacterial and anti-inflammatory activity23,24. Papiliocin permeabilizes the bacterial cell membrane, different from the mode of action of conventional antibiotic molecules. These abilities make papiliocin a highly attractive therapeutic candidate; however, its use may be limited due to its length of 37 residues, which can make production costs high. Short peptides with antimicrobial activity can reduce the cost of production and cause low immunogenic- ity making them ideal candidates for therapeutic applications. Development of a novel short 12- meric papiliocin-derived peptide that is effective against Gram- negative sepsis Therefore, in this study, we aimed to design and synthesise potent 12-meric peptides derived from the 12 amino acids in the N-terminus of papiliocin (Pap12- 1). We evaluated their antibacterial and anti-inflammatory activities in vitro and in vivo and investigated the mechanism underlying their antibacterial activities. In particular, we found that Pap12-6 can significantly inhibit bacterial growth and suppress inflammatory cytokine production in vitro and in vivo. These short dodecapeptides are promising novel peptide antibiotic candidates for the treatment of sepsis caused by Gram-negative bacterial infection. Results P id GMs of peptides against Gram-positive bacteria tended to increase in the following order: Pap12-6 (7) > Pap12-5 (14) > Pap12-3 (14) > Pap12-2 (20) > Pap12-4 (22) > Pap12-1 (52). All analogues with Val8 and Val9 in the hydrophobic phase (Pap12-3, 5, and 6) showed sig- nificantly higher antibacterial activities than those of other peptides. Despite the short length of dodecapeptide, Pap12-6 showed high potency against Gram-negative bacteria; its MIC values were comparable to those of melit- tin, the well-known bee venom peptide. typhimurium), three standard Gram-positive bacteria (Staphylococcus aureus, Bacillus subtilis, and Staphylococcus epidermidis), and five MDR bacteria (MDREC CCARM 1229, MDRPA CCARM 2002, MDRAB CCARM 12035, MDRST CCARM 8007, and MRSA CCARM 3126) using the microbroth dilution method. The relative antibacterial activities were compared based on geometric means of MICs (GM). All designed peptides with a cationicity of at least +6 showed higher antibacterial activity compared with that of Pap12-1 (Table 2). The replacement of C-terminal Gly12 with Trp resulted in a dramatic improvement in antibacterial activity and GMs of Pap12-6 against all bacteria were more than five times stronger than those of Pap12-1. GMs of peptides against Gram-negative bacteria tended to increase in the following order: Pap12-6 (6) > Pap12-5 (14) > Pap12-3 (16) > Pap12-2 (18) > Pap12-4 (22) > Pap12-1 (35). The high antibacterial activity of Pap12-3, 5, and 6 showed good correlation with their high amphipathic moments. GMs of peptides against Gram-positive bacteria tended to increase in the following order: Pap12-6 (7) > Pap12-5 (14) > Pap12-3 (14) > Pap12-2 (20) > Pap12-4 (22) > Pap12-1 (52). All analogues with Val8 and Val9 in the hydrophobic phase (Pap12-3, 5, and 6) showed sig- nificantly higher antibacterial activities than those of other peptides. Despite the short length of dodecapeptide, Pap12-6 showed high potency against Gram-negative bacteria; its MIC values were comparable to those of melit- tin, the well-known bee venom peptide. Cytotoxicity against mammalian cells. The toxicities of peptides against hRBCs are shown in Fig. 2A. All peptides, except Pap12-6, showed no hemolysishemolysis at up to 100 µM, while melittin was highly toxic against hRBCs. Pap12-6 did not show hemolysis at up to 50 µM, and only 3% hemolysis was observed at 100 µM. The therapeutic index (TI) was calculated (Table 2) using HC10, the peptide concentration required to induce 10% hemolysis. Results P id The hydrophobic phase of the peptides was also modified by the substitution of Gly12 with Ala or Trp residues in analogues, resulting in higher amphipathicity, which can improve antibacterial activity via better interactions with the membrane. Large mean amphipathic moments of peptides, listed in Table 1, indicate that the helix is amphipathic perpendicular to the helix axis. Pap12-6 had the greatest mean amphipathic moment among the six peptides; its positively charged amino acid residues were located on the upper polar surface and hydrophobic amino acid residues were on the other side of the helical axis. Theoretical and measured molecular weights of the peptides are listed in Table 1, proving that all peptides were synthesised successfully. Antimicrobial activity. The antimicrobial activities of Pap12 peptides were tested against four stand- ard Gram-negative bacteria (E. coli, Pseudomonas aeruginosa, Acinetobacter baumannii, and Salmonella Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 2 www.nature.com/scientificreports/ Figure 1. Helical wheel diagram of Pap12 peptides generated using HeliQuest47,48. Positively charged residues are presented in blue and negatively charged residues are shown in red. Hydrophobic residues are shown in yellow below the wheel and Gly and Ala are shown in grey. The arrows represent the helical hydrophobic moment. Figure 1. Helical wheel diagram of Pap12 peptides generated using HeliQuest47,48. Positively charged residues are presented in blue and negatively charged residues are shown in red. Hydrophobic residues are shown in yellow below the wheel and Gly and Ala are shown in grey. The arrows represent the helical hydrophobic moment. typhimurium), three standard Gram-positive bacteria (Staphylococcus aureus, Bacillus subtilis, and Staphylococcus epidermidis), and five MDR bacteria (MDREC CCARM 1229, MDRPA CCARM 2002, MDRAB CCARM 12035, MDRST CCARM 8007, and MRSA CCARM 3126) using the microbroth dilution method. The relative antibacterial activities were compared based on geometric means of MICs (GM). All designed peptides with a cationicity of at least +6 showed higher antibacterial activity compared with that of Pap12-1 (Table 2). The replacement of C-terminal Gly12 with Trp resulted in a dramatic improvement in antibacterial activity and GMs of Pap12-6 against all bacteria were more than five times stronger than those of Pap12-1. GMs of peptides against Gram-negative bacteria tended to increase in the following order: Pap12-6 (6) > Pap12-5 (14) > Pap12-3 (16) > Pap12-2 (18) > Pap12-4 (22) > Pap12-1 (35). The high antibacterial activity of Pap12-3, 5, and 6 showed good correlation with their high amphipathic moments. Results P id HC10 values of 200 µM were used for all peptides that did not show hemolysis at 100 µM, while that of Pap12-6 was 100 µM. All analogue peptides showed higher TIs than that of the parent peptide Pap12-1. TIs of peptides against Gram-negative bacteria tended to decrease in the following order: Pap12-6 (16.7) > Pap12-5 (14.3) > Pap12-3 (12.5) > Pap12-2 (11.1) > Pap12-4 (9.1) > Pap12-1 (5.7). Pap12-6 had the highest TI and high bacterial cell selectivity.h y The toxicities of peptides against mammalian cells were checked by measuring the survival rate of mouse mac- rophage RAW 264.7 cells, human keratinocyte HaCaT cells, and HEK-293 human embryonic kidney epithelial (HEK-293) cells after treatment with different concentrations of peptides (Fig. 2B–D). Using RAW 264.7 cells, Pap12-6 peptides resulted in 100% cell survival at up to 25 µM and 80% survival at 50 µM, while all other peptides resulted in 100% survival rates against RAW 264.7 cells at 50 µM. All peptides, including Pap12-6, resulted in 100% cell survival at their MICs and showed no cytotoxicity against HaCaT and HEK-293 cells, even at 50 µM, implying that they are not cytotoxic against human cells. Melittin, on the other hand, displayed cytotoxicity at very low concentrations. Since melittin has higher hydrophobicity and a lower amphiphatic moment (µH) than those of Pap12 peptides, as listed in Table 1, its toxicity is much higher than those of Pap12 peptides. These results indicate the peptides are potent antibiotics with high antimicrobial activity and low toxicity. Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 3 3 www.nature.com/scientificreports/ Microorganisms Minimal inhibitory concentration (MIC) (μM) Pap12-1 Pap12-2 Pap12-3 Pap12-4 Pap12-5 Pap12-6 Melittin Gram-negative E. coli 16 8 8 8 8 4 4 P. aeruginosa 8 8 8 8 8 4 8 A. baumannii 64 32 16 32 8 4 8 S. typhimurium 64 16 16 32 32 8 4 MDREC 1229 64 32 16 32 16 8 8 MDRPA 2002 16 16 32 32 16 8 4 MDRAB 12035 16 16 16 16 8 4 4 MDRST 8007 32 16 16 16 16 8 8 GMa 35 18 16 22 14 6 6 HC10 200 200 200 200 200 100 0.8 Therapeutic indexb 5.7 11.1 12.5 9.1 14.3 16.7 0.1 Gram-positive S. aureus 16 16 8 8 8 4 4 B. subtilis 64 16 16 16 16 8 2 S. Results P id CD spectra for 50 μM Pap12 peptides in (A) aqueous solution, (B) 100 mM SDS micelles, and (C) 50 mM DPC micelles. Secondary structures of peptides, as determined by CD spectroscopy. Pap12 peptides showed random coil structures in aqueous solution and adopted an α-helical structure in the presence of micelles. In par- ticular, Pap12-5 and 6, with high amphipathic moments, showed α-helical structures in membrane-mimetic envi- ronments, such as SDS micelles and DPC micelles, as evidenced by characteristic double minima in the spectra (Fig. 3). Secondary structure formation in the membrane-mimetic environment shows the ability of the peptides to interact with the membrane. Pap12-6 with high antibacterial activity had high α-helicity, indicating that the amphipathic α-helical structure plays important roles in bacterial cell membrane permeabilization. These results were confirmed by molecular modelling to predict the α-helical structures of the peptides using PEP-FOLD, a de novo peptide structure prediction server, as shown in Fig. S334–36. Pap12-6 which has the highest mean amphipa- thic moment shows amphiphatic α-helical structure. Peptide-induced dye leakage. To determine the mechanism of antibacterial action, we evaluated the abil- ity of peptides to permeabilize bacterial membranes by measuring the peptide-induced leakage of the fluorescent dye calcein from the model membranes (Fig. 4A,B). All peptides, except Pap12-6, did not induce substantial calcein release and showed poor membrane permeabilization in PC/CH (10:1, w/w) LUVs as well as PC/PG (7:3, w/w) LUVs. Pap12-6, however, showed 100% leakage from bacterial cell-mimicking LUVs and 22% leakage at 16 µM from mammalian-mimicking PC/CH LUVs, implying that Pap12-6 can target bacterial cell membranes with high selectivity. The control peptide melittin permeabilized all LUVs, implying that melittin is not selective for bacterial cells. Membrane depolarization. The membrane depolarization capacity is a measure of bactericidal efficiency. The depolarization abilities of the peptides were measured by calculating the amount of membrane potential sensitive dye released against intact E. coli. Among all Pap12 peptides, Pap12-6 (16 µM) showed the highest depo- larization capacity against intact E. coli, with 44% depolarization (Fig. 4C). An ONPG assay was employed to measure the peptide-induced inner membrane permeability of E. coli ML35p strains (Fig. 4D). Chromophore yields from cytoplasmic ONPG were measured as an indicator of the ability of the peptide to permeabilize the inner membrane of E. coli. Bacteria were treated with various concentrations of peptides (ranging from 0.25 to 32 µM) and colour formation was observed. Results P id epidermidis 64 32 16 32 16 8 4 MRSA 3126 64 16 16 32 16 8 2 GMa 52 20 14 22 14 7 3 HC10 200 200 200 200 200 100 0.8 Therapeutic indexb 3.8 10.0 14.3 9.1 14.3 14.3 0.3 Table 2. Antibacterial activities of Pap12 peptides aGM is the geometric mean of MICs against all bacteria. bTherapeutic index = HC10/MIC, where HC10 is the peptide concentration resulting in 10% hemolysis of fresh human erythrocytes. When no detectable haemolytic activity was observed at the highest concentration tested two times the maximum concentration was used to calculate the therapeutic index. Larger values indicate greater cell selectivity. Table 2. Antibacterial activities of Pap12 peptides aGM is the geometric mean of MICs against all bacteria. bTherapeutic index = HC10/MIC, where HC10 is the peptide concentration resulting in 10% hemolysis of fresh human erythrocytes. When no detectable haemolytic activity was observed at the highest concentration tested, two times the maximum concentration was used to calculate the therapeutic index. Larger values indicate greater cell selectivity. Table 2. Antibacterial activities of Pap12 peptides aGM is the geometric mean of MICs against all bacteria. bTherapeutic index = HC10/MIC, where HC10 is the peptide concentration resulting in 10% hemolysis of fresh human erythrocytes. When no detectable haemolytic activity was observed at the highest concentration tested, two times the maximum concentration was used to calculate the therapeutic index. Larger values indicate greater cell selectivity. Figure 2. Toxicities of Pap12 peptides measured as (A) hemolysis in human red blood cells and (B) cytotoxicity against mouse macrophage RAW 264.7 cells, (C) human keratinocyte HaCaT cells, and (D) HEK-293 human embryonic kidney epithelial (HEK-293) cells. All measurements were obtained in triplicate. Error bars represent means ± SEM. (*p < 0.05; **p < 0.01; ***p < 0.001; n.s. represents no significance). Figure 2. Toxicities of Pap12 peptides measured as (A) hemolysis in human red blood cells and (B) cytotoxicity against mouse macrophage RAW 264.7 cells, (C) human keratinocyte HaCaT cells, and (D) HEK-293 human embryonic kidney epithelial (HEK-293) cells. All measurements were obtained in triplicate. Error bars represent means ± SEM. (*p < 0.05; **p < 0.01; ***p < 0.001; n.s. represents no significance). Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 www.nature.com/scientificreports/ Figure 3. CD spectra for 50 μM Pap12 peptides in (A) aqueous solution, (B) 100 mM SDS micelles, and (C) 50 mM DPC micelles. Figure 3. Results P id Peptide-induced membrane depolarization measured with the DiSC3(5) dye against (C) intact E. coli, and (D) inner membrane permeability assessed by ONPG assays on E. coli ML35p cells. Cells were treated with the peptides at 10 and 20 µM, and TNF-α and IL-6 levels were measured and compared with those in the controls. Among all peptides, Pap12-6 showed most significant inhibition of TNF-α, by 74.3% and 83.9% at 10 and 20 μM peptides, respectively (Fig. 6B). Pap12-6 also inhibited IL-6 production by 39.7% and 59.6% at 10 and 20 μM, respectively (Fig. 6C), implying that Pap12-6 is a potent anti-inflammatory agent. Cells were treated with the peptides at 10 and 20 µM, and TNF-α and IL-6 levels were measured and compared with those in the controls. Among all peptides, Pap12-6 showed most significant inhibition of TNF-α, by 74.3% and 83.9% at 10 and 20 μM peptides, respectively (Fig. 6B). Pap12-6 also inhibited IL-6 production by 39.7% and 59.6% at 10 and 20 μM, respectively (Fig. 6C), implying that Pap12-6 is a potent anti-inflammatory agent. Pap12-6 inhibits TLR4-mediated inflammatory responses. As described above, Pap12-6 exhibited the highest antibacterial as well as anti-inflammatory activities. Accordingly, we selected Pap12-6 for further stud- ies. Since HEK-Blue™ hTLR4 cells stably express TLR4 and contain a secreted alkaline phosphatase reporter gene (SEAP) located downstream from the NF-κB promoter37. When HEK-Blue™hTLR4 cells were stimulated with LPS, TLR4-mediated reporter activity was enhanced in HEK-Blue™ hTLR4 cells, providing the SEAP activity at 5, 10, 25, 50, and 100 uM of Pap12-6. Pap12-6 inhibited 31% of SEAP activity at 25 uM and inhibited 95% at 100 uM as shown in Fig. 6D. The results showed that the cells treated with Pap12-6 showed a significant dose-dependent reduction in the LPS-induced SEAP activity. This result indicated that Pap12-6 shows anti-inflammatory activity via a TLR4-mediated NF-κB signaling pathway. Pap12-6 prevented E. coli K1-induced septic shock in mice. We next investigated the ability of Pap12-6 to prevent Gram-negative bacterial infection by examining its effects on a E. coli K1-induced septic shock mouse model. When we administered PBS (control) or 10 mg/kg Pap12-6 to non-infected mice, all mice survived over 4 days, indicating a lack of acute toxicity (Fig. 7A). The survival rate for E. coli-infected mice was 0% after 18 h. However, pretreatment with 10 mg/kg Pap12-6 increased the survival rate to 100% at 24 h and to 60% at 96 h post-infection. Results P id The Pap12-6 peptide resulted in the greatest colour development, implying that it permeabilizes the inner membrane most efficiently among all peptides. These results suggested that Pap12-6 targets the bacterial cell membrane, while other peptides may have different modes of action, since they showed poor membrane depolarization abilities. High membrane depolarization activity of Pap12-6 can probably be attributed to its high amphipathicity and the effective hydrophobic partitioning of Trp12 in the bac- terial cell membrane. Visualization of E. coli membrane disruption by Pap12-6 using SEM micrographs. Dye leakage data as well as membrane depolarization data suggested that Pap12-6 exerts antibacterial activity by permeabili- zation of the bacterial cell membrane. To confirm the antibacterial mechanism of Pap12-6, we visualised E. coli membrane damage by field emission scanning electron microscopy (FE-SEM). Control cells exhibited smooth surfaces (Fig. 5A). Figure 5B,C show the SEM images of E. coli after treatment with the 1× MIC or 2× MIC of Pap12-6 for 2 h, respectively. The membrane surfaces of E. coli became rough and wrinkled upon 1× MIC Pap12-6 treatment (Fig. 5B) and were further wrinkled and corrugated upon 2× MIC treatment, as shown in Fig. 5C, compared with the control (Fig. 5A). Inhibition of NO production and inflammatory cytokine production in LPS-stimulated RAW 264.7 cells. To further investigate the anti-inflammatory activity of Pap12 peptides, we indirectly measured the peptide-induced inhibition of NO production in LPS-stimulated RAW 264.7 macrophages. As shown in Fig. 6A, Pap12-6 most efficiently inhibited NO production (100% inhibition was seen with 20 μM Pap12-6) in LPS-stimulated RAW 264.7 macrophages.ll p g To check the anti-inflammatory activities of the peptides, we measured their abilities to inhibit proinflamma- ory cytokine production in LPS-stimulated RAW 264.7 cells by enzyme-linked immunosorbent assays (ELISA) Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 5 www.nature.com/scientificreports/ Figure 4. Peptide-induced dye leakage from different LUVs with entrapped calcein and membrane depolarization measurements. Peptide-induced dye leakage from (A) bacterial membrane mimicking PC:PG = 7:3 LUVs and from (B) mammalian membrane mimicking PC:CH = 10:1 LUVs. Peptide-induced membrane depolarization measured with the DiSC3(5) dye against (C) intact E. coli, and (D) inner membrane permeability assessed by ONPG assays on E. coli ML35p cells. Figure 4. Peptide-induced dye leakage from different LUVs with entrapped calcein and membrane depolarization measurements. Peptide-induced dye leakage from (A) bacterial membrane mimicking PC:PG = 7:3 LUVs and from (B) mammalian membrane mimicking PC:CH = 10:1 LUVs. Results P id (B) Levels of mTNF-α and (C) mIL-6 in the supernatant of LPS (20 ng/mL)-stimulated RAW 264.7 cells exposed to Pap12 peptides for 16 h. (D) Dose-dependent reduction of SEAP activity showing the suppression of activation of NF-κB in 20 ng/mL LPS stimulated HEK-Blule™ hTLR4 cells. The cells were pretreated with Pap12-6 for 1 h and then treated with LPS for 14 h. SEAP activity of culture supernatants with different concentration of Pap12-6 (0, 5, 10, 25, 50, 100 μM) were tested and were compared with the levels without Pap12-6. All experiments were performed three times independently. The error bars represent means ± SEM. (*p < 0.05; **p < 0.01; ***p < 0.001; n.s. represents no significance). significantly reduced the amount of endotoxin by over 47.2% (Fig. 7C). Although Pap12-6 decreased the level of LPS in the serum, additional experiments are needed to clarify the mechanism underlying this neutralising effect. Next, we tested the ability of the Pap12-6 peptide to suppress the production of pro-inflammatory cytokines i significantly reduced the amount of endotoxin by over 47.2% (Fig. 7C). Although Pap12-6 decreased the level of LPS in the serum, additional experiments are needed to clarify the mechanism underlying this neutralising effect. Next, we tested the ability of the Pap12-6 peptide to suppress the production of pro-inflammatory cytokines in an E. coli K1-induced septic shock mouse model. E. coli K1 induced significant increases in TNF-α and IL-6 in serum and lung lysates of untreated mice, while Pap12-6 pretreatment was suppressed these E. coli-stimulated significantly reduced the amount of endotoxin by over 47.2% (Fig. 7C). Although Pap12-6 decreased the level of LPS in the serum, additional experiments are needed to clarify the mechanism underlying this neutralising effect.l Next, we tested the ability of the Pap12-6 peptide to suppress the production of pro-inflammatory cytokines in an E. coli K1-induced septic shock mouse model. E. coli K1 induced significant increases in TNF-α and IL-6 in serum and lung lysates of untreated mice, while Pap12-6 pretreatment was suppressed these E. coli-stimulated increases by 58.3% and 67.4%, respectively, in the serum (Fig. 7D) and by 35.9% and 62.9%, respectively, in lung lysates (Fig. 7E). Further, E. coli K1-injected mice were treated with Pap12-6 and the serum levels of aminotransferase (AST), alanine aminotransferase (ALT), and blood urea nitrogen (BUN) were measured. Pap12-6 significantly reduced the E. Results P id p Further, we tested the ability of the Pap12-6 peptide to inhibit bacterial growth in the organs of E. coli K1-induced septic shock model mice. When we administered 1 mg/kg Pap12-6 1 h before E. coli K1 infection, the bacterial counts were significantly reduced in the lung, liver, and kidney of mice by over 82.6%, 77.5%, and 67.4%, respectively, (Fig. 7B), indicating the strong ability of Pap12-6 to inhibit E. coli growth in vivo. To deter- mine the level of endotoxin in mouse serum, we utilized the LAL assay and found that pretreatment with Pap12-6 Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 6 www.nature.com/scientificreports/ Figure 5. Scanning electron micrographs of E. coli treated with Pap12-6. FE-SEM micrographs of E. coli: (A) control, without peptide. (B) Pap12-6 at 1× MIC. (C) Pap12-6 at 2× MIC. The scale bar represents 1.0 μm. Magnification was 30000×. Figure 5. Scanning electron micrographs of E. coli treated with Pap12-6. FE-SEM micrographs of E. coli: (A) control, without peptide. (B) Pap12-6 at 1× MIC. (C) Pap12-6 at 2× MIC. The scale bar represents 1.0 μm. Magnification was 30000×. Figure 6. Anti-inflammatory activities of Pap12 peptides. (A) Inhibition of nitrite production by peptides (10 μM and 20 μM) in LPS (50 ng/mL)-stimulated RAW 264.7 cells. (B) Levels of mTNF-α and (C) mIL-6 in the supernatant of LPS (20 ng/mL)-stimulated RAW 264.7 cells exposed to Pap12 peptides for 16 h. (D) Dose-dependent reduction of SEAP activity showing the suppression of activation of NF-κB in 20 ng/mL LPS stimulated HEK-Blule™ hTLR4 cells. The cells were pretreated with Pap12-6 for 1 h and then treated with LPS for 14 h. SEAP activity of culture supernatants with different concentration of Pap12-6 (0, 5, 10, 25, 50, 100 μM) were tested and were compared with the levels without Pap12-6. All experiments were performed three times independently. The error bars represent means ± SEM. (*p < 0.05; **p < 0.01; ***p < 0.001; n.s. represents no significance). Figure 6. Anti-inflammatory activities of Pap12 peptides. (A) Inhibition of nitrite production by peptides ( d ) ( ) l d ll ( ) l f d ( ) Figure 6. Anti-inflammatory activities of Pap12 peptides. (A) Inhibition of nitrite production by peptides (10 μM and 20 μM) in LPS (50 ng/mL)-stimulated RAW 264.7 cells. Results P id coli K1-induced increases in AST, ALT, and BUN in mice, proving that Pap12-6 can reduce liver and kidney cell damage induced by E. coli infection. As shown in Fig. 7F, Pap12-6 reduced the AST, ALT, and BUN levels by 24.7%, 24.4%, and 45.9%, respectively. Taken together, our results show the efficacy of Pap12-6 for the prevention of sepsis. Discussion and Conclusion BALB/c mice were pretreated with 1 mg/kg peptide, followed by intraperitoneal injection with E. coli (1 × 106 CFU/mouse). (C) LPS endotoxin in the serum of the E. coli K1-induced sepsis model. (D) Inhibition of cytokine production (mTNF-α and mIL-6) in the serum. (D) Inhibition of cytokine production (mTNF-α and mIL-6) in lung lysates. (F) Serum aspartate aminotransferase (AST), alanine aminotransferase (ALT), and blood urea nitrogen (BUN) levels in the mouse septic shock model with E. coli. Four treatment groups in (B–F) are denoted in grey (PBS), black (1 × 106 CFU/mouse E. coli,), blue (1 mg/kg Pap12-6), and red (1 mg/kg Pap12-6 with E. coli K1). The error bars represent means ± SEM. (*p < 0.05; **p < 0.01; ***p < 0.001; n.s. represents no significance). In the current study, we designed new 12-meric short peptides with potency against MDR Gram-negative bac- teria. These peptides were derived from N-terminal 12 residues of papiliocin (Pap12-1) and displayed improved antibacterial activity and anti-inflammatory activity compared with those of the parent peptide. Since previous studies have shown that Trp2 and Phe5 in the amphipathic N-terminal helix of papiliocin are essential for the rapid permeabilization of the Gram-negative bacterial membrane, these residues were retained23,24. The net positive charge and amphipathicity of the antimicrobial peptides enable strong electrostatic interactions with the nega- tively charged outer membrane (mainly LPS) and the phospholipid inner membranes of Gram-negative bacteria. Since all Pap12 analogues have a net charge of +6, which is more positive than Pap12-1 (+4), the enhanced elec- trostatic interactions with bacterial membranes improved the antibacterial activities of all analogues compared to that of Pap12-1. Given that the mean amphipathic moment (Table 1) was highest for all Pap12-6 peptides, Pap12-6 could destabilise and permeabilize the bacterial membrane and showed more potent antibacterial activ- ities against MDR Gram-negative bacteria, comparable to that of melittin. However, unlike melittin, Pap12-6 exhibited very low cytotoxicity against mammalian cells. Pap12-6 showed the highest TI, which was a three-fold higher than that of Pap12-1 against Gram-negative bacteria. g p g g The adoption of the α-helical structure in membrane-mimicking conditions, as shown in CD spectra (Fig. 3A–C), suggests that Pap12-6 has the tightest interaction with the membrane among all peptides. The indole ring in the Trp side chain tends to partition near the membrane–water interface when inserted into a biological membrane31–33. Discussion and Conclusion MDR Gram-negative bacteria have become a major challenge for the development of new antibiotics with broad-spectrum activity for the treatment of sepsis2,3,7. AMPs are a promising new class of antibiotics, as they are highly effective against drug-resistant bacteria38. Found in a wide range of organisms, they play a crucial role in the innate immune response of higher organisms. Most AMPs kill bacteria by disrupting membrane integrity. Despite the bactericidal effect of AMPs, low cell selectivity and lower biostability are obstacles to their therapeutic applications. Alterations of physiochemical properties, such as the net charge, α-helicity, hydrophobicity, and hydrophobic moment (μ), by changing the sequence and reducing the length of peptides are the most common optimisation techniques for the rational design of potent AMPs29,39. Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 7 www.nature.com/scientificreports/ Figure 7. Effects of Pap12-6 on an E. coli bacterial sepsis model. (A) Survival rates for mice treated with the peptide. To assess the antibacterial effects of Pap12-6, BALB/c mice were intraperitoneally injected with E. coli K1 (1 × 107 CFU/mouse) 1 h after 10 mg/kg peptide was intraperitoneally administered. (B) Inhibition of bacterial growth in the lung, liver, and kidney of the E. coli K1-induced sepsis model. BALB/c mice were pretreated with 1 mg/kg peptide, followed by intraperitoneal injection with E. coli (1 × 106 CFU/mouse). (C) LPS endotoxin in the serum of the E. coli K1-induced sepsis model. (D) Inhibition of cytokine production (mTNF-α and mIL-6) in the serum. (D) Inhibition of cytokine production (mTNF-α and mIL-6) in lung lysates. (F) Serum aspartate aminotransferase (AST), alanine aminotransferase (ALT), and blood urea nitrogen (BUN) levels in the mouse septic shock model with E. coli. Four treatment groups in (B–F) are denoted in grey (PBS), black (1 × 106 CFU/mouse E. coli,), blue (1 mg/kg Pap12-6), and red (1 mg/kg Pap12-6 with E. coli K1). The error bars represent means ± SEM. (*p < 0.05; **p < 0.01; ***p < 0.001; n.s. represents no significance). Figure 7. Effects of Pap12-6 on an E. coli bacterial sepsis model. (A) Survival rates for mice treated with the peptide. To assess the antibacterial effects of Pap12-6, BALB/c mice were intraperitoneally injected with E. coli K1 (1 × 107 CFU/mouse) 1 h after 10 mg/kg peptide was intraperitoneally administered. (B) Inhibition of bacterial growth in the lung, liver, and kidney of the E. coli K1-induced sepsis model. Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 Discussion and Conclusion Pap12-6 treatment also reduced the level of LPS and the production of TNF-α and IL-6 in the serum and lung lysate in the E. coli K1-induced mouse septic shock model. These results suggest that amphipathic Pap12-6, with two tryptophan residues, effectively interacts with negatively charged LPS in the outer membrane of E. coli and neutralises pathogenic LPS in the septic shock mouse model, resulting in high antibacterial and anti-inflammatory activities. Thus, Pap12-6 could ameliorate sepsis conditions via bactericidal as well as immunomodulatory effects in the host. This protection, combined with its ability to kill MDR bacte- ria, makes Pap12-6 an attractive candidate for the treatment of sepsis. Further detailed analyses of the mecha- nism underlying the anti-inflammatory activities of Pap12-6 are needed. Further experiments with pre-, co- and after-treatments of papiliocin need to be done to prove the potency of Pap12-6 in sepsis, too. t p p p p y p p Since sepsis is a systemic multifaceted immune response to infection, which can lead to multiple organ failure and even death6,7, there is an urgent need to develop potent anti-sepsis agents with low cytotoxicity. Sepsis-induced mortality and morbidity can be lowered by reducing liver injury and restoring liver function41. The liver has a vital role in clearing the infection and mediating the immune response during sepsis. Hypoxic hepatitis, a clinical characteristic of sepsis-associated liver dysfunction, is marked by rapid elevations of AST and ALT42. Pap12-6 significantly ameliorated the E. coli K1-induced AST, ALT, and BUN serum levels in mice. This ability of Pap12-6 to restore liver and kidney function makes it a promising candidate for sepsis treatment.h y p y p g p The rapidly increasing rate of MDR and sepsis caused by Gram-negative bacteria makes the development of alternative antibiotics an urgent requirement. The novel short, 12-meric Pap12-6 peptide developed in this study permeabilizes the bacterial membrane and is highly effective against MDR Gram-negative bacteria. In addition, Pap12-6 inhibits LPS-stimulated cytokine production in mouse macrophages and likely exhibits anti-inflammatory activity via the TLR4 signalling pathway. It also significantly ameliorates the excessive inflam- matory response to Gram-negative bacteria during sepsis, thus preventing organ dysfunction, and significantly inhibits bacterial growth in vivo. These results indicate that Pap12-6 could improve the condition of sepsis via dual modes of action, including bactericidal as well as immunomodulatory effects. Discussion and Conclusion Thus, the additional indole ring in Trp12, which facilitates Pap12-6 folding into an amphipathic α-helical structure in the bacterial membrane, likely contributed to its high antimicrobial efficacy.h y gfi y The mechanism underlying the antibacterial activity of Pap12 peptides was further supported by dye leakage and membrane depolarization experiments as well as electron microscopy. The dye leakage data suggest that Pap12-6 shows relatively strong interactions with bacterial membrane-mimicking LUVs and weak interactions Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 8 www.nature.com/scientificreports/ with eukaryotic membrane liposomes. Even though the sequences of Pap12-3 and Pap12-5 differ from that of Pap12-6 only at the 12th position, Pap12-3 and Pap12-5 could not induce the membrane depolarization of E. coli. Therefore, compared to Gly and Ala, Trp12 at the C-terminus is considerably more efficient in partitioning into the membrane, resulting in effective permeabilization of the E. coli cell membrane. These data, together with SEM results for the membrane disruption of E. coli by Pap12-6, suggest that Pap12-6 can selectively act on and disrupt bacterial membranes, likely due to the high amphipathicity and Trp at the C-terminus. Further studies are neces- sary to investigate the antibacterial mechanism of other Pap12 peptides, since they do not effectively depolarize the bacterial membrane. They may penetrate the bacterial cell membrane and target intracellular components.f h y y p g p In cells stimulated by LPS, TLR4 associates with myeloid differentiation protein 2 (MD-2) and forms the TLR4-MD2-LPS complex40. TLR4-MD2-LPS formation activates the myeloid differentiation factor 88 (MyD88), leading to the activation of inflammatory proteins, including MAPKs and nuclear factor-κB (NF-κB), which control the transcription of various pro-inflammatory cytokines involved in sepsis6,40. Excessive production of pro-inflammatory cytokines causes tissue and organ damage41. Pap12-6 also strongly inhibited proinflammatory cytokine production in LPS-stimulated macrophage cells. SEAP activity was inhibited significantly by Pap12-6, implying that Pap12-6 inhibited NF-κB activation and confirming its role in the innate defence response involv- ing TLR4-mediated signaling pathways.f g g g p y We further evaluated the antibacterial and immunomodulatory effects of Pap12-6 in an E. coli K1-induced septic mouse model. Survival of patients with sepsis is heavily dependent on the clearing of bacteria. Pretreatment with Pap12-6 during bacterial infection in mice resulted in the significant inhibition of bacterial growth in the lung, liver, and kidney. Discussion and Conclusion Therefore, the potency of Pap12-6 against MDR Gram-negative bacteria and its ability to counter Gram-negative sepsis make it an attrac- tive novel peptide for therapeutic applications. Methods Peptide s p y g The secondary structures of the peptides were modelled using the de novo peptide structure prediction server “PEP-FOLD” in the RPBS portal (http://mobyle.rpbs.univ-paris-diderot.fr/cgi-bin/portal.py#forms::PEP-FOLD, Fig. S3)34–36. Using amino acid sequences as input data, the best 5 clusters from 100 simulations were obtained for each peptide and the lowest energy conformations were selected. Calcein dye leakage assay. To check the ability of the peptides to permeabilize the membranes, bacterial and mammalian membrane models were prepared. Large unilamellar vesicles (LUVs) composed of egg yolk l-α-phosphatidylcholine (PC)/egg yolk l-α-phosphatidyl-dl-glycerol (PG) (7:3, w/w) with calcein dye were prepared as described previously43. Mammalian membrane-mimicking LUVs were prepared using PC/choles- terol (CH) (10:1, w/w). Calcein release from LUVs upon the addition of different concentrations of peptides was measured using a RF-5301PC spectrofluorophotometer (Shimadzu, Kyoto, Japan) with an excitation wavelength of 490 nm and an emission wavelength of 520 nm. Complete calcein release was obtained by 1% Triton X-100 (10 μL) and the percentage was calculated as described previously43. Membrane depolarization. Peptide-induced membrane depolarization in E. coli cells was measured as described previously44. The membrane potential changes were measured using 3,3′-dipropylthiadicarbocyanine iodide (DiSC3(5)). Triton X-100 (1 µL; 1%) was used to measure the complete disruption of membrane potential and membrane depolarization was calculated as described previously44. Peptide-induced inner membrane permeability was measured using o-nitrophenyl-β-d-galactopyranoside (ONPG). Freshly grown E. coli ML35p was harvested at mid log phase and washed two times in 10 mM sodium phosphate buffer with 100 mM NaCl at pH 7.4 and suspended in the same buffer containing 1.5 mM ONPG. This bacterial solution (100 µL) was added to serially diluted peptides (100 µL), prepared in the same buffer as the bacterial suspension, and further incubated for 20 min at 25 °C. Absorbance was read at 420 nm and wells with or without bacteria were used as the controls. SEM analysis. E. coli ATCC25922 was cultured in Mueller Hinton broth at 37 °C until reaching the mid-log phase. After centrifugation, the cells were washed and diluted in 10 mM PBS to an OD600 of 0.2. The cells were incubated with 1× MIC or 2× MIC of Pap12-6 for 2 h. After 2 h, the cells were washed three times using 10 mM PBS and fixed in 2.5% glutaraldehyde overnight at 4 °C. The cells were washed and fixed in 1% osmium tetroxide for 1 h. Methods Peptide s The fixed cells were dehydrated by a series of graded ethanol and were moved to mixture of ethanol and isoamyl acetate and then pure isoamyl acetate for 10 min at each step. Finally, the cells were dehydrated, coated with gold, and visualised by SEM (Super 55vp; Carl Zeiss, Oberkochen, Germany) at KBSI, Chucheon. Quantification of nitrite and inflammatory cytokine production in LPS-stimulated RAW 264.7 cells. Nitrite accumulation in the culture medium was used as an indicator of NO production. RAW 264.7 cells were plated at a density of 1 × 105 cells/well and stimulated with 50 ng/mL LPS from E. coli O111:B4 (Sigma-Aldrich, St. Louis, MO, USA) in the presence or absence of peptides for 16 h. Nitrite production was determined by measuring absorbance at 540 nm and was converted to the nitrite concentration by reference to a standard curve generated with NaNO2 45.h g The peptide-mediated inhibition of the expression of tumor necrosis factor-α (TNF-α) and Interleukin-6 (IL- 6) in LPS-stimulated RAW 264.7 cells was determined by enzyme-linked immunosorbent assays (ELISA; R&D Systems, Minneapolis, MN, USA) as described previously45. Effect of papiliocin on TLR4-mediated SEAP activity in LPS-stimulated HEK-Blue™ hTLR4 cells. HEK-Blue™ hTLR4 cells (IvivoGen, San Diego, CA, USA) were seeded in 96-well plates at a density of 2.5 × 104 cells/well with Pap12-6 in HEK-Blue detection media (IvivoGen, San Diego, CA, USA). After 1 hr, cells were treated by LPS (20 mg/ml). After 14 h, SEAP activity was determined by measuring absorbance at 630 nm with the ELISA reader. Sepsis mouse model. Female BALB/c (6 weeks old) mice were used for the E. coli K1-induced sepsis model. All mice were obtained from Orient (Daejeon, Korea) and were housed under specific pathogen-free (SPF) con- ditions in a humidity- and temperature-controlled environment for 1 week prior to the experiments. All proce- dures were reviewed and approved by the Institutional Animal Care and Use Committee (IACUC) of Konkuk University, South Korea (IACUC number: KU17044). Survival test using the sepsis mouse model. To determine the in vivo survival rate, four groups were established with 10 BALB/c mice per group. For the control group, 10 mice were given an intraperitoneal (i.p.) injection with PBS. In the second group, 10 mice were given an i.p. injection with 0.2 mL of E. coli K1 (1 × 107 CFU/mouse). In the third group, 10 mice were i.p. injected with Pap12-6 (10 mg/kg). Methods Peptide s Peptide synthesis. The peptides were synthesized by standard Fmoc-based solid-phase synthesis and puri- fied by RP-HPLC using a C18 column as described previously43. Final purities of the peptides (>95%) were con- firmed using an analytical Vydac C18 column (Fig. S1). As shown in Fig. S2, the molecular masses of the peptides were determined by matrix-assisted laser-desorption ionization-time-of-flight (MALDI-TOF) mass spectrome- try at the Korea Basic Science Institute (KBSI, Ochang, Korea). Bacterial strains. Escherichia coli (KCTC 1682), Pseudomonas aeruginosa (KCTC 2004), Acinetobacter baumannii (KCTC 2508), Salmonella typhimurium (KCTC 1926), Bacillus subtilis (KCTC 3068), Staphylococcus aureus (KCTC 1621), and Staphylococcus epidermidis (KCTC 1917) were purchased from the Korean Collection for Type Cultures, Korea Research Institute of Bioscience & Biotechnology (Taejon, Korea). Clinical isolates of MDR E. coli (MDREC; CCARM 1229), P. aeruginosa (MDRPA; CCARM 2002), A. baumannii (MDRAB; CCARM 12035), S. typhimurium (MDRST; CCARM 8007), and S. aureus (MDRSA; CCARM 3126) were sup- plied by the Culture Collection of Antibiotic-Resistant Microbe (CCARM) at Seoul Women’s University in Korea. The E. coli K1 strain RS218 (O18:K1:H7) was kindly provided by Dr. Jang-Won Yoon of Kangwon National University (Gangwon-do, Korea). Antimicrobial activity in vitro. Minimum inhibitory concentration (MIC) assays using peptone broth dilution were used to determine the concentration that completely inhibited bacterial growth, as reported previ- ously23. Peptides were treated with 2 × 106 CFU/mL bacterial suspensions in 1% peptone media for 16 h at 37 °C. Cytotoxicity. The toxicity of peptides to human red blood cells (hRBCs) was determined by measur- ing the peptide-induced release of haem, and percent hemolysis was calculated as described previously23. The Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 9 www.nature.com/scientificreports/ peptide-induced cytotoxicity of mouse RAW 264.7 macrophages, human keratinocyte HaCaT cells, and HEK- 293 cells were determined by 3-(4,5-dimethylthiazol-2-yl)-2,5-diphenyltetrazolium bromide (MTT) assays as previously described23. Circular dichroism analysis of peptide secondary structures. The secondary structures of Pap12 pep- tides were studied by circular dichroism (CD) spectroscopy. A J810 spectropolarimeter (Jasco, Tokyo, Japan) with a 1-mm path length cell was used to record the spectra of peptides (50 μM) in water, 50 mM dodecylphosphocho- line (DPC) micelles, and 100 mM sodium dodecyl sulphate (SDS) micelles at 25 °C from 190 to 250 nm at 0.1-nm intervals. Each spectrum was obtained by averaging 3 scans and further smoothed using J810 software. CD data are shown as the mean residue ellipticity (θ) in degrees·cm2·dmol−1. Methods Peptide s In the fourth group, 10 Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 10 www.nature.com/scientificreports/ mice were i.p. injected with Pap12-6 (10 mg/kg) 1 h before the i.p. injection of E. coli K1 (1 × 107 CFU/mouse). Survival was evaluated for 4 days (0, 6, 12, 18, 24, 30, 36, 48, 60, 72, 84, and 96 h). During the in-vitro and in-vivo experiments, all peptides were stable and retained their activities, providing evidence for their stability over these periods. Further pharmacokinetic analyses need to be done to confirm peptide stability. mice were i.p. injected with Pap12-6 (10 mg/kg) 1 h before the i.p. injection of E. coli K1 (1 × 107 CFU/mouse). Survival was evaluated for 4 days (0, 6, 12, 18, 24, 30, 36, 48, 60, 72, 84, and 96 h). During the in-vitro and in-vivo experiments, all peptides were stable and retained their activities, providing evidence for their stability over these periods. Further pharmacokinetic analyses need to be done to confirm peptide stability. Cytokine levels in the serum or lung lysate in the sepsis mouse model. BALB/c mice (5 mice per group) were i.p. injected with the peptide (1 mg/kg) 1 h before the i.p. injection of E. coli K1 (1 × 106 CFU/mouse). Quantities of TNF-α and IL-6 in the mouse serum were determined using sandwich ELISA kits. Three control groups consisting of mice without any treatment, treated only with peptides, and treated only with E. coli were used and the experiments were performed three times independently. Determination of bacterial counts in organ tissues. At the time of sacrifice, the lungs, liver, and kid- ney were removed aseptically and placed separately in 1 mL of sterile PBS. Tissues were then homogenised under a vented hood on ice and homogenates of the lung, liver, and kidney were diluted with PBS at 1:1000. After adding 10 µL of each diluted sample to an LB agar plate, colonies after 1 day of incubation at 37 °C were counted. Detection of AST, ALT, and BUN levels in mouse serum. Aspartate aminotransferase (AST), alanine amino transferase (ALT), and blood urea nitrogen (BUN) in the serum were measured using standard kits avail- able from Asan Pharmaceutical (Seoul, Korea) following previously described methods46. LAL assay of LPS endotoxins in mouse serum. Endotoxin levels in mouse serum were measured by an LAL chromogenic endpoint assay (Lonza Group Ltd., Allendale, NJ, USA) according to the manufacturer’s instructions. Methods Peptide s After subtracting background levels, LPS in EU/mL (endotoxin unit/mL) was determined relative to an endotoxin standard for E. coli provided in the assay kit. Absorbance was measured at 405 nm. PBS was used as the negative control and LPS (10 ng/µL) was used as the positive control to calculate the rates. Statistical analyses. All measurements were obtained at least three times and statistical analyses were performed using GraphPad Prism (GraphPad Software Inc., La Jolla, CA, USA). All data are presented as means ± S.E.M. from independent experiments. For all statistical analyses except survival test, one-way ANOVA followed by post hoc Bonferroni tests (Prism 7.0) were used to compare treatment groups. For in-vivo survival test, Kaplan−Meier survival curves were analyzed using Log-rank tests. Differences were considered statistically significant at p < 0.05. Declaration. The experiments and methods associated with human blood were carried out in accordance with the relevant guidelines. Protocols for measurement were approved by the Institutional Review Board for Research Involving Human Research Subjects, Konkuk University. All experimental protocols were approved by the ethics committee of Konkuk University. All animal experiment procedures were reviewed and approved by the Institutional Animal Care and Use Committee (IACUC) of Konkuk University. All methods for the animal study were performed in accordance with the relevant guidelines and regulations. Informed consent was obtained from all subjects. Data Availability y All data generated or analysed during this study are included in this published article. The datasets generated uring and/or analysed during the study are available from the corresponding author on reasonable request. References e e e ces 1. Carlet, J. et al. Society’s failure to protect a precious resource: antibiotics. Lancet 378, 369–371, https://doi.org/10.1016/S0140- 6736(11)60401-7 (2011). 1. Carlet, J. et al. Society’s failure to protect a precious resource: antibiotics. Lancet 378, 369–371, https://doi.org/10.1016/S0140- 6736(11)60401-7 (2011). 2. Bragginton, E. C. & Piddock, L. J. 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Y., Rajasekaran, G. & Shin, S. Y. LL-37-derived short antimicrobial peptide KR-12-a5 and its d-amino acid substituted analogs with cell selectivity, anti-biofilm activity, synergistic effect with conventional antibiotics, and anti-inflammatory activity. Eur J Med Chem. 136, 428–441 (2017). j p p nalogs with cell selectivity, anti-biofilm activity, synergistic effect with conventional antibiotics, and anti-inflammatory activity. Eur Med Chem. 136, 428–441 (2017). ( ) 28. Bhunia, A., Mohanram, H., Domadia, P. N., Torres, J. & Bhattacharjya, S. Designed beta-boomerang antiendotoxic and antimicrobi peptides: structures and activities in lipopolysaccharide. The Journal of biological chemistry 284, 21991–22004 (2009). 28. Bhunia, A., Mohanram, H., Domadia, P. N., Torres, J. & Bhattacharjya, S. Designed beta-boomerang antiendotoxic and antimicrobial peptides: structures and activities in lipopolysaccharide. The Journal of biological chemistry 284, 21991–22004 (2009). yh f g y 29. Matsuzaki, K. Control of cell selectivity of antimicrobial peptides. Biochim Biophys Acta 1788, 1687–1692 (2009). 30. Bea Rde, L., Petraglia, A. F. & Johnson, L. E. Synthesis, antimicrobial activity and toxicity of analogs of the scorpion venom BmKn peptides. Toxicon 101, 79–84, https://doi.org/10.1016/j.toxicon.2015.05.006 (2015). g j 1. Midura-Nowaczek, K. & Markowska, A. Antimicrobial peptides and their analogs: searching for new potential therapeutics. Perspec Medicin Chem 6, 73–80 (2014).fh 2. Schiffer, M., Chang, C. H. & Stevens, F. J. The functions of tryptophan residues in membrane proteins. Protein engineering 5, 213–214 (1992). 33. Planque, M. R. D. et al. Interfacial anchor properties of tryptophan residues in transmembrane peptides can dominate over hydrophobic matching effects in peptide-lipid interactions. Biochemistry 42, 5341–5348 (2003). f 34. Néron, B. et al. Mobyle: a new full web bioinformatics framework., 3005–3011 (2009). ll d l b f l b f l d 35. Alland, C. et al. RPBS: a web resource for structural bioinformatics. Nucleic Acids Res, W44–49 (2005).hi l. RPBS: a web resource for structural bioinformatics. Nucleic Acids 6. Thévenet, P. et al. www.nature.com/scientificreports/ 8. Hu, Z. et al. Antimicrobial cathelicidin peptide LL-37 inhibits the LPS/ATP-induced pyroptosis of macrophages by dual mechanism PLoS One 9, e85765, https://doi.org/10.1371/journal.pone.0085765 (2014).l p g j p 9. Matzneller, P. et al. Colistin Reduces LPS-Triggered Inflammation in a Human Sepsis Model In Vivo: A Randomized Controlled Trial. Clin Pharmacol Ther 101, 773–781, https://doi.org/10.1002/cpt.582 (2017). h p g p 0. Bhattacharjya, S. De novo designed lipopolysaccharide binding peptides: structure based development of antiendotoxic and antimicrobial drugs. Curr. Med. Chem. 17, 3080–3093 (2010). g ( ) 1. Yi, H. Y., Chowdhury, M., Huang, Y. D. & Yu, X. Q. Insect antimicrobial peptides and their applications. Appl Microbiol Biotechno 98, 5807–5822, https://doi.org/10.1007/s00253-014-5792-6 (2014). p g ( ) 2. Kim, S. R. et al. Characterization and cDNA cloning of a cecropin-like antimicrobial peptide, papiliocin, from the swallowtai b tt fl P ili th M l C ll 29 419 423 htt //d i /10 1007/ 10059 010 0050 (2010) p g 22. Kim, S. R. et al. Characterization and cDNA cloning of a cecropin-like antimicrobial peptide, papiliocin, from the swallowtail butterfly, Papilio xuthus. Mol Cells 29, 419–423, https://doi.org/10.1007/s10059-010-0050-y (2010).l g butterfly, Papilio xuthus. Mol Cells 29, 419–423, https://doi.org/10 l y p p g y 23. Kim, J. K. et al. Structure and function of papiliocin with antimicrobial and anti-inflammatory activities isolated from the sw b tt fl P ili th J Bi l Ch 286 41296 41311 htt //d i /10 1074/jb M111 269225 (2011) l y p p g y 3. Kim, J. K. et al. Structure and function of papiliocin with antimicrobial and anti-inflammatory activities isolated from the swallowtai butterfly, Papilio xuthus. J Biol Chem 286, 41296–41311, https://doi.org/10.1074/jbc.M111.269225 (2011). 23. Kim, J. K. et al. Structure and function of papiliocin with antimicrobial and anti-inflammatory activities isolated from the swallowtail butterfly, Papilio xuthus. J Biol Chem 286, 41296–41311, https://doi.org/10.1074/jbc.M111.269225 (2011).l , J p pl y butterfly, Papilio xuthus. J Biol Chem 286, 41296–41311, https://doi.org/10.1074/jbc.M111.269225 (2011).l l y p p g j 4. Lee, E. et al. Functional Roles of Aromatic Residues and Helices of Papiliocin in its Antimicrobial and Anti-inflammatory Activities Sci Rep 5, 12048, https://doi.org/10.1038/srep12048 (2015).l 25. Jeon, D., Jacob, B., Kwak, C. & Kim, Y. Short Antimicrobial Peptides Exhibiting Antibacterial and Anti-Inflammatory Activities Derived from the N-Terminal Helix of Papiliocin. Bulletin of the Korean Chemical Society 38, 1260–1268, https://doi.org/10.1002/ bkcs.11277 (2017). 26. Monteiro, C. et al. References Zaslof, M. Antimicrobial Peptides of multicellular organisms. Nature 415, 389–395 (2002). 12. Zaslof, M. Antimicrobial Peptides of multicellular organisms. Nature 415, 389–395 (2002). g 13. Hilchie, A. L., Wuerth, K. & Hancock, R. E. Immune modulation by multifaceted cationic host defense (antimicrobial) Chem Biol 9, 761–768, https://doi.org/10.1038/nchembio.1393 (2013). p g ( ) 14. Nijnik, A. & Hancock, R. Host defence peptides: antimicrobial and immunomodulatory activity and potential applic t kli tibi ti i t t i f ti E H lth Th t J 2 1 htt //d i /10 3134/ htj 09 001 (2009) p g 4. Nijnik, A. & Hancock, R. Host defence peptides: antimicrobial and immunomodulatory activity and potential applications fo g 14. Nijnik, A. & Hancock, R. Host defence peptides: antimicrobial and immunomodulatory activity and potential ap tackling antibiotic-resistant infections. Emerg Health Threats J 2, e1, https://doi.org/10.3134/ehtj.09.001 (2009). 14. Nijnik, A. & Hancock, R. Host defence peptides: antimicrobial and immunomodulatory activity and potential applications for tackling antibiotic resistant infections Emerg Health Threats J 2 e1 https://doi org/10 3134/ehtj 09 001 (2009) 4. Nijnik, A. & Hancock, R. Host defence peptides: antimicrobial and immunomodulatory activity and potential applications fo tackling antibiotic-resistant infections. Emerg Health Threats J 2, e1, https://doi.org/10.3134/ehtj.09.001 (2009). 14. Nijnik, A. & Hancock, R. Host defence peptides: antimicrobial and immunomodulatory activity and potential applic tackling antibiotic-resistant infections. Emerg Health Threats J 2, e1, https://doi.org/10.3134/ehtj.09.001 (2009). g gh ney, E. F., Mansour, S. C. & Hancock, R. E. Antimicrobial Peptides: y, , , , p 16. Fox, J. L. Antimicrobial peptides stage a comeback. Nat Biotechnol 31, 379–382 (2013).h J p p g ( ) 17. Nguyen, L. T., Haney, E. F. & Vogel, H. J. The expanding scope of antimicrobial peptide structures and their modes of action. T Biotechnol 9, 464–472 (2011). Scientific Reports | (2019) 9:3817 | https://doi.org/10.1038/s41598-019-40577-8 11 www.nature.com/scientificreports/ www.nature.com/scientificreports/ PEP-FOLD: an updated de novo structure prediction server for both linear and disulfide bonded cyclic peptides Nucleic Acids Res, W288–293 (2012). 7. Bronstein, I. et al. Chemiluminescent reporter gene assays: sensitive detection of the GUS and SEAP gene products. Biotechnique 17(172-174), 176–177 (1994). 38. Seo, M. D., Won, H. S., Kim, J. H., Mishig-Ochir, T. & Lee, B. J. Antimicrobial peptides for therapeutic applications: a re Molecules 17, 12276–12286, https://doi.org/10.3390/molecules171012276 (2012). p g 9. Zelezetsky, L. & Tossi, A. Alpha-helical antimicrobial peptides–using a sequence template to guide structure-activity relationship studies. Biochim Biophys Acta 1758, 1436–1449 (2006). 0. Mukherjee, S., Karmakar, S. & Babu, S. P. TLR2 and TLR4 mediated host immune responses in major infectious diseases: a review Braz J Infect Dis 20, 193–204 (2016).h f ( ) 1. Yan, J. & Li, S. The role of the liver in sepsis. Int Rev Immunol 33, 498–510, https://doi.org/10.3109/08830185.2014.889129 (2014). h 2. Wang, D., Yin, Y. & Yao, Y. Advances in sepsis-associated liver dysfunction. Burns Trauma 2, 97–105, https://doi.org/10.4103/2321 3868.132689 (2014).l 3. Lee, E., Shin, A. & Kim, Y. Anti-inflammatory activities of cecropin A and its mechanism of action. Arch Insect Biochem Physiol 88 31–44, https://doi.org/10.1002/arch.21193 (2015). p g 44. Jeon, D. et al. Investigation of cationicity and structure of pseudin-2 analogues for enhanced bacterial selectivity and anti- inflammatory activity. Scientific reports 7, 1455, https://doi.org/10.1038/s41598-017-01474-0 (2017).l l y y fi p p g 5. Jnawali, H. N. et al. Anti-inflammatory activity of rhamnetin and a model of its binding to c-Jun NH2-terminal kinase 1and p38 MAPK. Journal of natural products 77, 258–263 (2014). f p 46. Jnawali, H. N. et al. Antituberculosis Activity of a Naturally Occurring Flavonoid, Isorhamnetin. Journal of natural products 79, 961–969, https://doi.org/10.1021/acs.jnatprod.5b01033 (2016). 47 HELIQUEST htt //h li t i f / 46. Jnawali, H. N. et al. Antituberculosis Activity of a Naturally Occurring Flavonoid, Isorhamnetin. Journal of natural products 79, 961–969, https://doi.org/10.1021/acs.jnatprod.5b01033 (2016). 47 HELIQUEST htt //h li t i f / 961–969, https://doi.org/10.1021/acs.jnatprod.5b01033 (2016). 47. HELIQUEST:http://heliquest.ipmc.cnrs.fr/. 47. HELIQUEST:http://heliquest.ipmc.cnrs.fr/. 47. HELIQUEST:http://heliquest.ipmc.cnrs.fr/. 48. Gautier, R., Douguet, D., Antonny, B. & Drin, G. HELIQUEST: a web server to screen sequences with specific alpha-helical properties. Bioinformatics 24, 2101–2102, https://doi.org/10.1093/bioinformatics/btn392 (2008). p q p 48. Gautier, R., Douguet, D., Antonny, B. & Drin, G. HELIQUEST: a web server to screen sequences with specific alpha-helical properties. Bioinformatics 24, 2101–2102, https://doi.org/10.1093/bioinformatics/btn392 (2008). Acknowledgements Additional Information Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-019-40577-8.h Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-019-40577-8.h Supplementary information a Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-019-40577-8.h Competing Interests: The authors declare no competing interests. Competing Interests: The authors declare no competing interests. Competing Interests: The authors declare no competing interests. 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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/. © Th A th ( ) 2019 www.nature.com/scientificreports/ www.nature.com/scientificreports/ 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. 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Calreticulin surface presentation: a signal for natural killer cells to attack
Signal transduction and targeted therapy
2,023
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1,432
RESEARCH HIGHLIGHT OPEN Calreticulin surface presentation: a signal for natural killer cells to attack Jasmine P. Castellanos1 and Joseph C. Genereux1,2✉ Signal Transduction and Targeted Therapy (2023) 8:289 ; https://doi.org/10.1038/s41392-023-01551-z ; https://doi.org/10.1038/s41392-023-01551-z manner. Critically, mice xenografts with B16-F10 tumors were only responsive to doxorubicin treatment when NKp46 is expressed, suggesting that this signaling pathway is necessary for the mechanism of action of these chemother- apeutics. Another pathway by which chemotherapeutics can decrease tumor size is through the induction of senescence. Senescence is a significant mechanism of tumor suppres- sion, both basally and following chemotherapeutic treat- ment, and has been reported to be driven in part by the RIDD pathway downstream of ER stress. The authors induced senescence in A549 human lung cancer cells with the chemotherapeutics trametinib and palbociclib, which also induce ER stress. The treated cells were far more effectively targeted by NK cells, and again in a NKp46-dependent manner. Similar results were observed for mouse xenografts from KP lung cancer cells. In a recent article published in Nature, Sen Santara et al. report a general mechanism that allows endoplasmic reticulum (ER) stress, a common response to many cellular dysfunctions, to signal to natural killer (NK) cells to destroy the stressed cell (Fig. 1).1 This mechanism suggests that targeting this signaling pathway might serve as a common therapeutic approach to treat disparate diseases, including cancers and infections. g The innate immune system recognizes molecular signa- tures that indicate threats to the organism, and transduces these signatures into an immune response to counter these threats. As part of the innate immune system, NK cells constitute a lymphoid immune cell type that kills infected or cancerous cells on the basis of their presentation of specific ligands or markers on the surface of abnormal cells. Although about two dozen activating receptors have been described for NK cells, the targets that mediate the recognition of cells undergoing diverse stresses have not been well-characterized. To better characterize the downstream signaling events associated with ecto-CRT expression, the authors incorporated a GPI-tag on CRT that forces its ectopic cell surface expression in the absence of ER stress. These cells readily form immune synapses with NK cells in a NKp46-dependent manner with consequent cytotoxicity. In mice lacking NKp46, these engineered cells demonstrate increased cell surface, migration and invasion, and colony formation, suggesting that ecto-CRT contributes to the tendency of cells to become cancerous. RESEARCH HIGHLIGHT OPEN Calreticulin surface presentation: a signal for natural killer cells to attack In mice with NKp46, by contrast, ecto-CRT failed to drive metastasis and indeed NK cells were associated with an increase in tumor response markers, as compared to NKp64-deficient mice. The study by Santara et al. grew out of their initial observation that NK cells kill cells infected with ER stress-inducing viruses, such as ZIKV, but not viruses that do not induce ER stress, such as CMV and HSV-2. They demonstrated that NK release of lytic granules is specifically driven by ER stress, and in particular mediated by ATF6 and PERK activation downstream of ER stress. Through the use of blocking antibodies targeting NK receptors, NKp46 was deter- mined to mediate NK killing of ZIKV-infected cells. With the receptor identified, they used affinity purification and mass spectrometry to determine that external presentation on the cell surface of calreticulin (CRT), an ER lectin chaperone, is necessary and sufficient to activate NKp46 and thus NK cytotoxic activity. This is distinct from the previously reported role of cell-surface CRT (ecto-CRT) in diverse cancer cells activating phagocytosis by macrophages.2 The interaction was further confirmed through careful biophysical studies that determined the specific regions driving CRT-NKp46 association. The PERK and ATF6 dependence is consistent with the specific regulation of CRT expression by ATF6 activation3 and the stimulation of ER chaperone externalization by PERK activity.4 p p These findings suggest that the NKp46-ecto-CRT interaction plays a significant role in tumor immune responses and could be targeted for therapeutic interventions. They also add to our emerging understanding of how ER chaperones, traditionally associated with their roles within the ER, can impact immune recognition and tumor immunity. Previous studies have shown that the surface exposure of chaperones like GRP784 and calreticulin5 in cancer cells promotes cancer cell survival, metastasis, and immune evasion, making it an attractive target for therapeutic interventions. By identifying and targeting these cells with high cell surface ER chaperone levels, it may be possible to attack the cancer cells with the most significant malignant risk specifically. Furthermore, interventions that either target ecto-CRT directly or enhance its recognition by NK cells could be used broadly against cellular dysfunctions associated with ER stress. y In addition to viral infection, ER stress can be induced by several chemotherapeutics that are associated with immu- nogenic cell death (ICD), such as oxaliplatin and doxorubi- cin. 1Microbiology Graduate Program, University of California, Riverside, CA 92521, USA and 2Department of Chemistry, University of California, Riverside, CA 92521, USA C d J h C G (j h d ) Signal Transduction and Targeted Therapy Signal Transduction and Targeted Therapy Signal Transduction and Targeted Therapy www.nature.com/sigtrans 1Microbiology Graduate Program, University of California, Riverside, CA 92521, USA and 2Department of Chemistry, University of California, Riverside, CA 92521, USA Correspondence: Joseph C. Genereux (josephg@ucr.edu) Received: 18 May 2023 Revised: 3 June 2023 Accepted: 25 June 2023 RESEARCH HIGHLIGHT OPEN Calreticulin surface presentation: a signal for natural killer cells to attack The authors demonstrated that oxaliplatin, but not cisplatin, treatment of B16-F10 melanoma cells induces ecto-CRT, leading to killing by NK cells in a NKp46 mediated Received: 18 May 2023 Revised: 3 June 2023 Accepted: 25 June 2023 © The Author(s) 2023 Calreticulin surface presentation: a signal for natural killer cells to. . . Castellanos and Genereux 2 Fig. 1 ER stress is connected to diverse cellular dysfunctions, including infection by the Zika virus, senescence, and some chemotherapeutic treatments. When these cells undergo ER stress, the stress enables non-canonical secretion of ER chaperones to the cell surface, including CRT CRT at the cell surface recruits NK cells through NKp46, with consequent cytotoxicity. Created with BioRender.com Fig. 1 ER stress is connected to diverse cellular dysfunctions, including infection by the Zika virus, senescence, and some chemotherapeutic treatments. When these cells undergo ER stress, the stress enables non-canonical secretion of ER chaperones to the cell surface, including CRT. CRT at the cell surface recruits NK cells through NKp46, with consequent cytotoxicity. Created with BioRender.com ACKNOWLEDGEMENTS 4. Van Krieken, R., Tsai, Y.-L., Carlos, A. J., Ha, D. P. & Lee, A. S. ER residential chaperone GRP78 unconventionally relocalizes to the cell surface via endosomal transport. Cell. Mol. Life Sci. 78, 5179–5195 (2021). This work was supported by the National Institute of General Medical Sciences of the National Institutes of Health under award number R01GM134125. 5. Zhang, M. et al. Calreticulin as a marker and therapeutic target for cancer. Clin. Exp. Med. https://doi.org/10.1007/s10238-022-00937-7 (2022). 5. Zhang, M. et al. Calreticulin as a marker and therapeutic target for cancer. Clin. Exp. Med. https://doi.org/10.1007/s10238-022-00937-7 (2022). ADDITIONAL INFORMATION Competing interests: The authors declare no competing interests. Competing interests: The authors declare no competing interests AUTHOR CONTRIBUTIONS J.P.C. and J.C.G. both contributed to the conceptualization and writing of the manuscript, as well as the preparation of the original figure. Both authors have read and approved the article. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this license, visit http:// creativecommons.org/licenses/by/4.0/. Signal Transduction and Targeted Therapy (2023) 8:289 REFERENCES 1. Sen Santara, S. et al. The NK cell receptor NKp46 recognizes ecto-calreticulin on ER- stressed cells. Nature 616, 348–356 (2023). 2. Chao, M. P. et al. Calreticulin is the dominant pro-phagocytic signal on multiple human cancers and is counterbalanced by CD47. Sci. Transl. Med. 2, 63ra94 (2010). © The Author(s) 2023 3. Shoulders, M. D. et al. Stress-independent activation of XBP1s and/or ATF6 reveals three functionally diverse ER proteostasis environments. Cell Rep. 3, 1279–1292 (2013). Signal Transduction and Targeted Therapy (2023) 8:289
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Dynamic contrast optical coherence tomography (DyC-OCT) for label-free live cell imaging
Communications biology
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cc-by
7,254
Dynamic contrast optical coherence tomography (DyC-OCT) for label-free live cell imaging Check for updates Check for updates Chao Ren 1,2, Senyue Hao 3, Fei Wang 1, Abigail Matt1, Marcello Magri Amaral 1,4, Daniel Yang5, Leyao Wang 5 & Chao Zhou 1,2,3 Dynamic contrast optical coherence tomography (DyC-OCT), an emerging imaging method, utilizes fluctuation patterns in OCT signals to enhance contrast, thereby enabling non-invasive label-free volumetric live cell imaging. In this mini review, we explain the core concepts behind DyC-OCT image formation and its system configurations, serving as practical guidance for future DyC-OCT users. Subsequently, we explore its applications in delivering high-quality, contrast-enhanced images of cellular morphology, as well as in monitoring changes in cellular activity/viability assay experiments. Optical coherence tomography (OCT)1, is an optical imaging modality which offers millimeter-depth volumetric optical biopsies of live biological samples within seconds2,3. OCT identifies depth-resolved back-scattered light, which arises from the inherent interaction of light with biological tissue, to generate label-free microtomographic images of biological speci- mens. Despite the prevailing focus of current OCT applications on struc- tural and tissue-level imaging, its micron-level spatial resolution holds the potentialforlivecellimaging.However,theprimarychallengeliesinthelow contrast resulting from the similarities in optical properties between cellular and subcellular features. OCT images, revealing the cellular morphology and dynamic information behind them. This mini-review will cover the principles, implementations, and applications of DyC-OCT. We first provide a brief explanation of the sources of the DyC-OCT signal and detailed data processing procedures. Then, we summarize practical recommendations for data collection and selection of the most suitable system configuration. The scope of our review will extend to the most recent implementations of DyC- OCT, with an emphasis on advancements in morphological visualiza- tion and potential activity/viability assays. Furthermore, we will discuss the current challenges of DyC-OCT and propose potential solutions. To overcome this problem, researchers have developed various con- trast enhancement strategies. Contrast agents, such as microspheres4, magnetic microparticles5, and gold nanoparticles6–8, have been injected into samples to enhance their scattering and make targeted structures of interest stand out. An alternative label-free approach for enhancing cellular features involves the analysis of temporal OCT signals. The signal exhibits fluctua- tionscorrespondingtovariationsinthe optical back-scattering properties in each voxel of the sample. These fluctuations reflect movements related to cellular motion, metabolic processes, and other cellular activities. OCT- angiography (OCT-A)9–11 and speckle variance OCT (SV-OCT)12–14 first applied this label-free contrast analysis to highlight blood vessels and gen- erate microvascular maps. communications biology communications biology Mini review https://doi.org/10.1038/s42003-024-05973-5 Dynamic contrast optical coherence tomography (DyC-OCT) for label-free live cell imaging In repeated images of the same tissue, the dif- ferences between repeated scans can distinguish areas where blood flows. Recently, this idea has been extended to live cell imaging, using a technique called dynamic contrast OCT (DyC-OCT)15. DyC-OCT highlights cell clusters or even individual cells to enhance the contrast of conventional 1Department of Biomedical Engineering, Washington University in St Louis, St. Louis, MO, USA. 2Imaging Science Ph.D. Program, Washington University in St Louis, St. Louis, MO, USA. 3Department of Electrical & Systems Engineering, Washington University in St Louis, St. Louis, MO, USA. 4Biomedical Engineering, Universidade Brasil, Sao Paulo, Brazil. 5Division of Allergy and Immunology, Washington University School of Medicine, St. Louis, MO, USA. e-mail: chaozhou@wustl.edu Pattern extraction algorithms employed in DyC-OCT ttern extraction algorithms employed in DyC-OCT intensity changes. Figure 1.a2 is the zoom-in region marked by the red rectangle in Fig. 1.a1. For the three voxels highlighted in Fig. 1.a2, the OCT signal fluctuation patterns (e.g., amplitude, frequency) are readily distin- guishable (Fig. 1.a3–a5). The STD-based DyC-OCT image (Fig. 1.b1) is generated by applying a jet colormap based on the STD value of each pixel. Figure 1.b2 is the same zoom-in region as Fig. 1.a2. Compared to original OCT images, STD-based DyC-OCT colormaps more effectively differ- entiate structures exhibiting active movements, thereby enhancing image contrast. Although effective, the STD algorithm fails to discern the speed of tissue dynamics. A subsequently development, OCT correlation decay speed (OCDS) analysis17,18, overcomes this by measuring the temporal dynamic motion pattern through a temporal decorrelation function (Fig. 1.c). Figure 1.c1–c3 display OCDS measurements from the three pixels indicated in Fig. 1.a2. By measuring the slope of each pixel’s autocorrelation g Various algorithms have been developed to analyze OCT signal fluctuation patterns. Initial approaches, such as the logarithmic intensity variation (LIV)17–19 and standard deviation (STD)15,20–22 algorithms, utilize the prin- ciples in SV-OCT to measure the amplitudes of OCT signal fluctuations. These methods highlight areas of high activity in tissue structures, which exhibit greater fluctuation amplitudes, while reducing the visibility of sta- tionarystructuresinDyC-OCTcolormaps.Asanexample,Fig.1aillustrates repeated OCT frames of an airway organoid, a human stem cell-derived 3D assembly that simulates respiratory tissues. The data was obtained using a spectral-domain OCT system, and the organoids were prepared in accor- dance with the STEMCELL airway organoid culturing protocol23. Fig- ure 1.a1 shows the original OCT images, with repeated cross-sectional OCT scans at a fixed location. Each voxel has a temporal series showing its g. 1 | Illustrations of the three DyC-OCT processing algorithms. a Repeated CT frames of airway organoids and OCT time series of three pixels with different namics patterns. a1 Repeated OCT frames of airway organoids. a2 Zoomed-in w of the red ROI in (a1). a3–a5 Normalized time series of OCT signals of the three gions labeled in (a2): (a3) a stationary region, (a4) an intensively moving region, d (a5) a mildly moving region. b STD based DyC-OCT colormap processing. b1 D based color-coded DyC-OCT image of an airway organoid. b2 Zoomed-in view the yellow ROI in (b1). c OCDS based DyC-OCT colormap processing. Pattern extraction algorithms employed in DyC-OCT c1–c3 utocorrelation by time delay of OCT signals in (a3–a5); the OCDSs are shown by the slope of the fitted lines of autocorrelations. c4 OCDS-based color-coded DyC- OCT image of an airway organoid. c5 Zoomed-in view of the yellow ROI in (c4). d PSD based DyC-OCT colormap processing. d1–d3 PSDs of OCT signals in (a3–a5); the green-shaded area represents 0.8–4 Hz, while red-shaded area covers 4–20 Hz. d4 PSD-based color-coded DyC-OCT image of an airway organoid. d5 Zoomed-in view of the yellow ROI in (d4). Cov: covariance; Var: variance; FFTt: fas Fourier transform on time dimension. I ¼ IOCT x; z; ti   ; I0 ¼ IOCTðx; z; ti þ τjÞ . Scale bar: 50 μm. the slope of the fitted lines of autocorrelations. c4 OCDS-based color-coded DyC- OCT image of an airway organoid. c5 Zoomed-in view of the yellow ROI in (c4). d PSD based DyC-OCT colormap processing. d1–d3 PSDs of OCT signals in (a3–a5); the green-shaded area represents 0.8–4 Hz, while red-shaded area covers 4–20 Hz. d4 PSD-based color-coded DyC-OCT image of an airway organoid. d5 Zoomed-in view of the yellow ROI in (d4). Cov: covariance; Var: variance; FFTt: fas Fourier transform on time dimension. I ¼ IOCT x; z; ti   ; I0 ¼ IOCTðx; z; ti þ τjÞ . Scale bar: 50 μm. Fig. 1 | Illustrations of the three DyC-OCT processing algorithms. a Repeated OCT frames of airway organoids and OCT time series of three pixels with different Fig. 1 | Illustrations of the three DyC-OCT processing algorithms. a Repeated Fig. 1 | Illustrations of the three DyC-OCT processing algorithms. a Repeated OCT frames of airway organoids and OCT time series of three pixels with different dynamics patterns. a1 Repeated OCT frames of airway organoids. a2 Zoomed-in view of the red ROI in (a1). a3–a5 Normalized time series of OCT signals of the three regions labeled in (a2): (a3) a stationary region, (a4) an intensively moving region, and (a5) a mildly moving region. b STD based DyC-OCT colormap processing. b1 STD based color-coded DyC-OCT image of an airway organoid. b2 Zoomed-in view of the yellow ROI in (b1). c OCDS based DyC-OCT colormap processing. c1–c3 Autocorrelation by time delay of OCT signals in (a3–a5); the OCDSs are shown by the slope of the fitted lines of autocorrelations. c4 OCDS-based color-coded DyC- OCT image of an airway organoid. Principles of DyC-OCT A healthy live cell experiences a variety of activities during its lifecycle, from innermetabolic processes, such as ATP-consuming process15,16, to outercell movements. These ever-changing dynamics alter the detected OCT signal. The movement of scattering particles changes the scattering potential of any one voxel in the OCT volumetric data, causing fluctuations in the OCT signal intensity. By conducting repeated OCT scans, time-varying signal fluctuations are captured and then processed using algorithms to produce color-coded maps depicting DyC-OCT motion patterns. DyC-OCT is distinguished from traditional scattering-based OCT through its emphasis on dynamic fluctuations: the motions of microstructures are accented against the motionless regions in the OCT images, enhancing the image contrast. Communications Biology | (2024) 7:278 1 1 https://doi.org/10.1038/s42003-024-05973-5 Mini review OCT modalities employed for DyC-OCT The performance of DyC-OCT is heavily dependent on the choice of OCT hardware.ThreetypesofOCTsystemshavebeenappliedinDyC-OCT:full- field OCT (FF-OCT), swept-source OCT (SS-OCT), and spectral-domain OCT (SD-OCT). Different OCT modalities present trade-offs in imaging speed, resolution, and depth of penetration, making the selection of an appropriate imaging system and image acquisition parameters critical for optimal performance in specific applications. g g g g DyC-OCT supports the identification of high dynamic structures with morphologies resembling cells and subcellular structures (nuclei and organelles) in various organs, such as mouse brain15, murine liver15,26,27, humanesophagealtissues25,humangutexplants37,aswellasairwaytissues16. DyC-OCT demonstrates a remarkable capability to reveal dynamic struc- tures with distinguishable morphologies in different layers of retinal explants22,24,32. This matches the fact that retinal explants have different cell types by layers (Fig. 2a), which has been validated by histology38 and fluorescence images39. DyC-OCT also has impressive potential for cancer diagnoses, since it can detect dynamics in cancerous tissues, such as murine cancerous intestine15 and breast cancer40. Figure 2b compares OCT, DyC- OCT, and histology images of benign breast lobules and invasive breast tissue, where DyC-OCT dramatically enhances the contrast of OCT, and reports a high diagnostic accuracy40. DyC-OCT has also demonstrated the potential of fungal infection diagnosis to visualize 3D structures of Nan- nizzia gypsea, Aspergillus fumigatus, and Rhizopus arrhizus41. Overall, DyC-OCT can benefit disease diagnosis by enhancing cellular dynamic contrast to reveal changes in morphological features. FF-OCT31 generates OCT images from the en-face view using a two- dimensional (2D) camera. It offers a high isotropic resolution (~1 μm) to enablecellularimaging,but itspenetrationdepthinscatteringtissue islower than that of the other two OCT modalities. As a result, FF-OCT is appro- priate for samples with limited thickness (~300 μm) demanding superior resolutions,suchastheretinaorganoidsandexplants22,24,32orsparsecells28,30. SD-OCT and SS-OCT generate cross-sectional OCT images (B-scans) with each acquisition. SD-OCT uses a broadband light source in combi- nation with a spectrometer to achieve a higher axial resolution (~1-2 μm) with an imaging depth of around 1 mm. SD-OCT is well suited for imaging thick tissues with layered structures or depth-resolved features, such as the tongue31, trachea16, and esophagus25. Using a high magnification objective lens, SD-OCT can also achieve ~1 μm lateral resolution with a reduced imaging depth of field27. SS-OCT33 uses a tunable broadband laser source, a high-speed balanced detector and a data acquisition card to acquire cross- sectional B-scan OCT frames. SS-OCT has a high imaging speed and detection depth that is suitable for imaging thick samples, such as tumor spheroids17,18. Pattern extraction algorithms employed in DyC-OCT We will discuss about OCT frame or volume rate selection criteria further in Outlook and Conclusions. Nyquist sampling criteria, the OCT frame or volume rate must be at least twice the frequency of the tissue dynamics being measured. Furthermore, to capture slow tissue dynamic changes, repeated three-dimensional (3D) OCTvolumescanbeacquired,ratherthanrepeated2Dscans27,reducingthe total acquisition time for 3D DyC-OCT. For samples exhibiting rapid dynamic changes, ultra-high speed OCT systems are needed to efficiently measure 3D DyC-OCT image stacks. We will discuss about OCT frame or volume rate selection criteria further in Outlook and Conclusions. y Both the STD and OCDS algorithms enhance dynamic contrast in OCT, requiring only around 10 repeated frames15,17,18. This facilitates rapid image acquisition and minimizes memory costs and processing time. An additional algorithm, utilizing fast Fourier transform (FFT) to analyze the powerspectraldensity(PSD)16,24–28 ofeachpixel,offersmorecomprehensive insights into tissue dynamics. Figure 1.d1–d3 demonstrate how PSDs of OCT signals from the pixels shown in Fig. 1.a2 distinctly reveal variations in fluctuation frequencies and intensities. To create a colormap, the integrated intensity within different frequency bands is color-coded25–27; for example, signals in the 0.8–4 Hz range are shown in green, while signals in the 4–20 Hz range are shown in red. Furthermore, PSD can highlight dominant frequencies using a continuous colormap29,30. These colormaps can be overlaid on structural OCT images to provide a co-registered display of tissue dynamics (Fig. 1.d4–d5). However, while PSD analysis concurrently extracts dynamic signals across frequencies, it requires over 100 repeated OCT scans for accurate PSD measurements, substantially increasing the image acquisition time16,25,26. Supplementary Table 1 compares these three DyC-OCTprocessingalgorithmsontimecomplexity,extractedparameters, minimum repeated frames, advantages and drawbacks. Drawing upon established OCT technology, DyC-OCT processing algorithms can identify tissue structures and retrieve both the intensity and speed of their motion patterns. When tailoring DyC-OCT to examine specific biological samples or meet experimental aims, the OCT system setup and acquisition protocol are crucial. We will discuss the system requirements in the next section. DyC-OCT to visualize cell and tissue morphology Several approaches are available for visualizing cell and tissue morphology. Histology34, extensively used for disease diagnosis, examines stained and sectioned samples under a microscope in two dimensions. However, it involves tedious and invasive sample preparation methods, which induce inevitable distortion and deteriorate cells from their normal conditions. Fluorescence microscopy35 can visualize specific cell structures and phy- siology with the aid of exogenous or endogenous fluorophores. 2D wide- field epifluorescence36 imaging captures features readily, but has limited contrast and spatial resolution, while 3D fluorescence imaging modalities, such as confocal or two-photon microscopy, support depth scanning. However, the slow imaging speed (e.g., 5-10 frames per second) and restricted imaging depth (e.g., a few hundred microns) hinder imaging of large samples. As an alternative, DyC-OCT can achieve non-invasive, cell/ tissue-specific, high-speed, and depth-resolvable dynamic live tissue ima- ging without the need for exogenous contrast agents. Pattern extraction algorithms employed in DyC-OCT c5 Zoomed-in view of the yellow ROI in (c4). d PSD based DyC-OCT colormap processing. d1–d3 PSDs of OCT signals in (a3–a5); the green-shaded area represents 0.8–4 Hz, while red-shaded area covers 4–20 Hz. d4 PSD-based color-coded DyC-OCT image of an airway organoid. d5 Zoomed-in view of the yellow ROI in (d4). Cov: covariance; Var: variance; FFTt: fast Fourier transform on time dimension. I ¼ IOCT x; z; ti   ; I0 ¼ IOCTðx; z; ti þ τjÞ . Scale bar: 50 μm. Fig. 1 | Illustrations of the three DyC-OCT processing algorithms. a Repeated OCT frames of airway organoids and OCT time series of three pixels with different dynamics patterns. a1 Repeated OCT frames of airway organoids. a2 Zoomed-in view of the red ROI in (a1). a3–a5 Normalized time series of OCT signals of the three regions labeled in (a2): (a3) a stationary region, (a4) an intensively moving region, and (a5) a mildly moving region. b STD based DyC-OCT colormap processing. b1 STD based color-coded DyC-OCT image of an airway organoid. b2 Zoomed-in view of the yellow ROI in (b1). c OCDS based DyC-OCT colormap processing. c1–c3 Autocorrelation by time delay of OCT signals in (a3–a5); the OCDSs are shown by dynamics patterns. a1 Repeated OCT frames of airway organoids. a2 Zoomed-in view of the red ROI in (a1). a3–a5 Normalized time series of OCT signals of the three regions labeled in (a2): (a3) a stationary region, (a4) an intensively moving region, and (a5) a mildly moving region. b STD based DyC-OCT colormap processing. b1 STD based color-coded DyC-OCT image of an airway organoid. b2 Zoomed-in view of the yellow ROI in (b1). c OCDS based DyC-OCT colormap processing. c1–c3 Communications Biology | (2024) 7:278 2 2 https://doi.org/10.1038/s42003-024-05973-5 Mini review curve (e.g., OCDS value), a direct quantitative assessment of motion dynamics is obtained. Colormaps can be generated using OCDS values (Fig. 1.c4–c5). OCDS-based DyC-OCT analysis can effectively distinguish tissue regions with varying dynamic speeds, offering direct motion dynamics measurements. Nyquist sampling criteria, the OCT frame or volume rate must be at least twice the frequency of the tissue dynamics being measured. Furthermore, to capture slow tissue dynamic changes, repeated three-dimensional (3D) OCTvolumescanbeacquired,ratherthanrepeated2Dscans27,reducingthe total acquisition time for 3D DyC-OCT. For samples exhibiting rapid dynamic changes, ultra-high speed OCT systems are needed to efficiently measure 3D DyC-OCT image stacks. Applications of DyC-OCT DyC-OCT applications can be divided into two types. The first utilizes dynamic information to highlight regions of high temporal variations, producing a morphological image with enhanced contrast. The second type interprets dynamics as an indicator of cell viability, with less concern for structures. Communications Biology | (2024) 7:278 OCT modalities employed for DyC-OCT However, SS-OCT suffers from a low axial resolution of around 10 μm, limiting its ability to image cellular or subcellular structures, such as organelles and nuclei. Another application of DyC-OCT is structure segmentation based on cell dynamics. For example, in the mouse tongue, DyC-OCT has success- fully segmented the cornified layer, granular and spinous layers, basal layer, lamina propria, and muscle layer26. In retinal explants, the inner nuclear layer, outer nuclear layer, and photoreceptor layer have been clearly seg- mented by DyC-OCT22,24,32. In addition, DyC-OCT has improved accuracy in segmenting the urothelium in images of porcine urinary bladders21. For human heart organoids, our lab has reported the differentiation of cardio- myocytic beating clusters with two different beating frequencies using DyC- OCT42. The quick and reliable structure segmentation promotes the loca- lization of clusters for quantitative assessment. Table 1 summarizes the recent literature on DyC-OCT employing different OCT modalities, including information on the OCT system con- figuration (e.g., system hardware type, resolution, and scan rate), the sam- ples imaged, signal processing algorithms, and the number of repeated frames. The foremost prerequisite for high-quality DyC-OCT analysis is the high spatial resolution: the system must resolve the target microstructure that accounts for added contrast after analysis. Secondly, to meet the Another advantage of DyC-OCT is its ability to monitor morpholo- gical changes over time. For example, DyC-OCT has been used to monitor organoid development, such as retinal organoids29 and alveolar organoids43. DyC-OCT enables differentiation of cellular lifetime stages inside a single Communications Biology | (2024) 7:278 3 Mini review https://doi.org/10.1038/s42003-024-05973-5 Table 1 | Summary of OCT system parameters, applied samples, and DyC-OCT algorithms used in recent publications Frame/Volume Rate (Hz)a Resolution (μm) Samples Sample FOV (μm3) [DyC-OCT Image or Volume Size]b Total Scan Time (s) Algorithm NR [SR]c Author, Yearref. OCT modalities employed for DyC-OCT Axial Lateral FF-OCT: High axial and lateral resolutions; Low penetration depth and fixed FOV 138 1 1 mouse brain cortex, rat liver, and kidney 604 × 604 × 42 [-] 20 STD 10 [-] Apelian et al.15 100 – 0.5 mouse retina, macaque retina 1400 × 1400 [-] 1 FFT 100 [-] Thouvenin et al.32 100 7.7 1.7 macaque retina 100 × 100 × 100 [-] – FFT 100 [-] Scholler et al.24 – – – esophageal mucosa, duodenal mucosa 1300 × 1300 [-] 12 – – Quénéhervé et al.37 100 1.7 0.5 retinal organoids 320 × 320 [1440 × 1440] – FFT 512 [-] Scholler et al.29 300 1 1 5 HeLa cells – 3.3 FFT 1000 [-] Park et al.30 – 1 1 5 Nannizzia gypsea, Aspergillus fumiga- tus, Rhizopus arrhizus – – FFT – Maldiney et al.41 100 1.7 0.5 ppRPE and hiRPE 320×320 [-] – FFT 512 [-] Groux et al.22 140 – – photosynthetic cells – – FFT 200 [-] Bey et al.28 SD-OCT: High axial and lateral resolutions, deep penetration and flexible FOV 108 1 1 murine liver, mouse tongue 270 × 285 × 550 [500 × 500 × Nd] 695 FFT 100 [500] Münter et al.26 40 1 2 human esophageal and cervical biopsy [1000 × Nd] 25 FFT 200 [512] Leung et al.25 24 1.8 1.1 murine trachea wall tissue, murine liver 300 × 300 × 800 [500 × 500 × Nd] 41.7 FFT 100 [500 × 50] Münter et al.27 20 7.5 7.9 mouse bladder, mouse urothelium [1000 × Nd] 50 STD, OCDS 20 [1000] Xu et al.21 111 1.5 1.5 mouse trachea 500 × 500 × 800 [500 × 500 × Nd] 1200 FFT 150 [500] Kohlfaerber et al.16 4 3.8 4.9 alveolar organoids 1000 × 1000 × Z [512 × 128 × Nd] 60 LIV 32 [512 × 16] Morishita et al.43 112.5 2.1 3.9 human heart organoids 500 × Z [500 × Nd] – FFT [500] Hao et al.42 SS-OCT: Deep penetration and flexible FOV; Low axial resolution 4 14 19 tumor spheroid – 52.4 LIV, OCDS 65 [512 × 16] El-Sadek et al.17 4 14 18.1 tumor spheroid 1000 × 1000 × Z [512 × 128 × Nd] 52.4 LIV, OCDS 32 [512 × 16] El-Sadek et al.18 FFT fast Fourier transform, Amp amplitude, OCDS OCT correlation decay speed, FOV field of view, Z imaged tissue depth, Nd number of pixels in imaging depth. DyC-OCT as cell activity/viability assays DyC-OCT has been applied to assess cell activity in response to different types of stimuli. In studies of age-related macular degeneration (AMD), DyC-OCT has monitored the wound healing process of primary porcine and human stem cell-derived retinal pigment epithelium (RPE) cells after scratch assays to study degenerative disease evolution22. In studying che- mical stimulations, DyC-OCT has revealed an increased beating frequency of ciliated cells in airway tissues under ATP-γ-S stimulation, demonstrating the function of ATP-γ-S in strengthening metabolic activities16. DyC-OCT has captured a signal of dynamics decay in hepatocytes in a rat liver treated with a glycolysis inhibitor, indicating that the inhibitor suppressed the hepatocytes’ activity15. In alveolar organoids, DyC-OCT has revealed changes in the size and shape of alveoli after bleomycin was applied43. In plant science, DyC-OCT was applied to evaluate the effects of LED illu- mination as well as iron and phosphate deficiency on photosynthetic cells under various environmentally relevant stress challenges28. Cell viability assays are important measurements to characterize cel- lular activity in response to external physical and chemical stimulations. Current methods rely on the introduction of luminescent probes that can be used to characterize cell membrane permeability, ATP synthetization, and protease activities, which are specific indicators of cellular viability. DyC- OCT measures cellular dynamics, which may be used as an alternative to measure cell viability. A recent study combined DyC-OCT with supervised machine learning models to quantitatively and in real-time assess the HeLa cell viability when keeping the cells at room temperature without CO2 supply for a few hours44. Researchers have made impressive progress in DyC-OCT. However, a few challenges remain open. Box 1 summarized the key progress and opening challenges of DyC-OCT. Validation of observed imaging features is oneof the main challenges in DyC-OCTresearch. DyC-OCT signals are not explicitly tied to any subcellular compartment (e.g., nucleus, cyto- plasm) or specific molecules (e.g., DNA, fluorescence protein). They originate from temporal changes in activities which can vary between different cell and tissue types. As a result, without co-registered images from other biological imaging technologies as validation, interpretation of DyC-OCT signals can be challenging. Although both histology25,48 and fluorescence microscopy18,20,48 have been applied for comparison with DyC-OCT results, co-registration between the modalities remains a challenge, typically due to different imaging orientation between 3D OCT volumes and 2D imaging modalities48,49. The difficulties in co-registering DyC-OCT’s analytical potential extends to clinical applications, including drug screening17,18. Outlook and conclusions DyC-OCT has exhibited its potential to capture dynamic processes in various biological samples, the timescale of which contributes to the choice of hardware and imaging specifications. Molecular dynamics such as DNA replication and RNA transcription can happen in milliseconds45, while cellular differentiation and tissue development can take hours or longer45. It is important to choose an imaging protocol that matches the frame/volume rate of the OCT imaging system with the expected timescale/frequency of the dynamic activity. The frame/volume rate should be at least two times higher than the frequency of the activities to satisfy the Nyquist sampling criterion. Frame/volume rate can be changed by altering the exposure time or number of A-scans or B-scans in an image stack, while keeping into consideration the spatial sampling requirements. Cross-sectional OCT scanning speed restricts the frame rate to capturing events that occur on the millisecond scale, such as tissue metabolic process46. Slow activities hap- pening in a fraction of second, such as beating of the heart organoid47 and ciliated cells in airway tissue or organoids, can be readily captured by DyC- OCT.Forevenslowerprocessesthathappeninminutes,hoursordays,such as cell division, embryo development or tissue regeneration, time-lapse 3D DyC-OCT can be obtained using repeated 3D OCT scans. OCT modalities employed for DyC-OCT c Necrosis of tumor spheroids revealed by DyC-OCT with increasing concentrations of Taxol (Paclitaxel)18, scale bar: 200 μm. (a), (b), and (c) are reproduced from Scholler et al.23, Yang et al.40, and El-Sadek et al.18 with permissions from publishers. Invasive breast cancer Benign breast lobule DyC-OCT Histology OCT Histology OCT DyC-OCT DyC-OCT b c i iii v vi iv ii ONL RPE (Cell culture) Invasive breast cancer Benign breast lobule DyC-OCT Histology OCT Histology OCT DyC-OCT DyC-OCT b c vi iv ii i iii v vi iv ii c a 1 μm DyC-OCT; v, histology) and invasive breast cancer (ii, OCT; iv, DyC-OCT; vi, histology)40. c Necrosis of tumor spheroids revealed by DyC-OCT with increasing concentrations of Taxol (Paclitaxel)18, scale bar: 200 μm. (a), (b), and (c) are reproduced from Scholler et al.23, Yang et al.40, and El-Sadek et al.18 with permissions from publishers. Fig. 2 | Illustrations of DyC-OCT representative applications. a Morphology of retinal cells in different retinal layers23. (i) 3D volumetric DyC-OCT cellular mor- phology of a retinal explant. (ii) cross-sectional DyC-OCT morphology, showing retinal layers. (iii, iv, v, and vi) en face DyC-OCT cellular morphology of the inner nuclear layer (INL), outer nuclear layer (ONL), photoreceptor (PR) layer, and retinal pigment epithelium (RPE) layer. b Comparison of a benign breast lobule (i, OCT; iii, the active metabolite of irinotecan (SN-38), DyC-OCT successfully captured the necrotic process of the cancer cells in human-derived tumor spheroids. These studies showed the promise of using DyC-OCT for drug screening. cell based on scattering particles’ movements in the organelles of HeLa cells30. Time-lapse DyC-OCT also shows the migration of immune cells inside airway tissues16. DyC-OCT provides a promising alternative to study the growth dynamics in organoids and tissue models, complementing existing microscopic imaging modalities. Communications Biology | (2024) 7:278 OCT modalities employed for DyC-OCT These two terms are not specified in literatures. For FF-OCT, the acquired frames are fixed in size. For SD-OCT and SS-OCT, the frame/volume rates are specified with the size of repeated frames/volumes. For DyC-OCT 3D volumes, FOV is shown in the form of (W × H × D). For DyC-OCT 2D images, FOV is shown in the form of (W × H). W width, H height and D depth. NR Number of repeated OCT frames or volumes acquired for DyC-OCT processing. SR: Data size of each repeated OCT frame or volume. For repeated volumes, the size is shown in the form of NA × NB. For repeated frames the size is NA. NA number of A-scans, and NB number of B-scans. https://doi.org/10.1038/s42003-024-05973-5 Communications Biology | (2024) 7:278 Mini review https://doi.org/10.1038/s42003-024-05973-5 a INL PR ONL RPE (Cell culture) Invasive breast cancer Benign breast lobule DyC-OCT Histology OCT Histology OCT DyC-OCT DyC-OCT b c Treatment me: 72 hours En face Cross-secon Taxol conc. 0.1 μm 1 μm 0 μm Taxol conc. i iii v vi iv ii i iii v vi iv ii Fig. 2 | Illustrations of DyC-OCT representative applications. a Morphology of retinal cells in different retinal layers23. (i) 3D volumetric DyC-OCT cellular mor- phology of a retinal explant. (ii) cross-sectional DyC-OCT morphology, showing retinal layers. (iii, iv, v, and vi) en face DyC-OCT cellular morphology of the inner nuclear layer (INL), outer nuclear layer (ONL), photoreceptor (PR) layer, and retinal pigment epithelium (RPE) layer. b Comparison of a benign breast lobule (i, OCT; iii, DyC-OCT; v, histology) and invasive breast cancer (ii, OCT; iv, DyC-OCT; vi, histology)40. c Necrosis of tumor spheroids revealed by DyC-OCT with increasing concentrations of Taxol (Paclitaxel)18, scale bar: 200 μm. (a), (b), and (c) are reproduced from Scholler et al.23, Yang et al.40, and El-Sadek et al.18 with permissions from publishers. Invasive breast cancer Benign breast lobule DyC-OCT Histology OCT Histology OCT DyC-OCT DyC-OCT b c Treatment me: 72 hours En face Cross-secon Taxol conc. 0.1 μm 1 μm 0 μm Taxol conc. i iii v vi iv ii pplications. a Morphology of metric DyC-OCT cellular mor- C-OCT morphology, showing llular morphology of the inner receptor (PR) layer, and retinal benign breast lobule (i OCT; iii DyC-OCT; v, histology) and invasive breast cancer (ii, OCT; iv, DyC-OCT; vi, histology)40. References 1. Huang, D. et al. Optical coherence tomography. Science 254, 1178–1181 (1991). 1. Huang, D. et al. Optical coherence tomography. Science 254, 1178–1181 (1991). 2. Klein, T., Huber, R. & High-speed, O. C. T. light sources and systems [Invited]. Biomed. Opt. Express 8, 828–859 (2017). 2. Klein, T., Huber, R. & High-speed, O. C. T. light sources and systems [Invited]. Biomed. Opt. Express 8, 828–859 (2017). 3. Grulkowski, I. et al. In Optical Coherence Tomography: Technology andApplications (eds.Drexler,W. & Fujimoto,J. G.)319–356(Springer International Publishing, 2015). https://doi.org/10.1007/978-3-319- 06419-2_11. 4. Lee, T. M. et al. Engineered microsphere contrast agents for optical coherence tomography. Opt. Lett. 28, 1546–1548 (2003). 5. Oldenburg, A. L., Gunther, J. R. & Boppart, S. A. Imaging magnetically labeled cells with magnetomotive optical coherence tomography. Opt. Lett. 30, 747–749 (2005). 6. Agrawal, A. et al. Quantitative evaluation of optical coherence tomography signal enhancement with gold nanoshells. J. Biomed. Opt. 11, 041121 (2006). Another challenge is that despite fast OCT B-scan acquisition, DyC- OCT imaging, especially 3D DyC-OCT, requires dozens or hundreds of repeated frames scanning from all B-scan locations, prolonging the imaging acquisition time. To speed up DyC-OCT acquisition, one potential solution is to use parallel OCT imaging, such as space-division multiplexing OCT (SDM-OCT)50 or line-field parallel SS-OCT51, which acquire OCT images from different B-scan locations simultaneously. Reducing acquisition time not only enhances the sampling rate of 3D DyC-OCT but also opens up possibilities for in vivo applications, where fast acquisition is essential to minimize motion artifacts. 7. Zhou, C. et al. Photothermal optical coherence tomography in ex vivo human breast tissues using gold nanoshells. Opt. Lett. 35, 700–702 (2010). 8. Kavalaraki, A., Spyratou, E., Kouri, M. A. & Efstathopoulos, E. P. Gold nanoparticles as contrast agents in ophthalmic imaging. Optics 4, 74–99 (2023). 9. de Carlo, T. E., Romano, A., Waheed, N. K. & Duker, J. S. A review of optical coherence tomography angiography (OCTA). Int. J. Retin. Vitr. 1, 5 (2015). Although classical algorithms, such as LIV, STD and FFT, can extract the dynamic pattern from OCT signal fluctuations, their image processing steps are laborious. Alternatively, machine-learning or deep-learning-based models can extract dynamic features to generate DyC-OCT images and reveal dynamic activities not resolvable by classical algorithms. Learning- based time series analysis algorithms, such as long short-term memory (LSTM)52 networks, could be employed to extract more informative dynamic patterns. 10. Jia, Y. et al. DyC-OCT as cell activity/viability assays Specifically, DyC-OCT was integrated into cancer research to assess the impacts of two anti-cancer drugs, Paclitaxel and Blebbistatin, on mammary organoids. This analysis revealed statistically significant distinctions between the time- and concentration-dependent reactionsofthetwodrugs(Fig.2c).InanotherstudycomparingPaclitaxeland Communications Biology | (2024) 7:278 5 https://doi.org/10.1038/s42003-024-05973-5 Mini review Received: 4 September 2023; Accepted: 26 February 2024; Received: 4 September 2023; Accepted: 26 February 2024; also bring obstacles in precise validation based on quantitative matching, which requires pixel-wise registration between images from DyC-OCT and other modalities. The lack of validation prevents DyC-OCT from being applied to quantitatively analyze tissue morphology and cellular activities. Multi-modal imaging platforms that combine DyC-OCT with modalitieslikeconfocal,light-sheet,ortwo-photonmicroscopyenableco- registered imaging of the same sample. This approach not only cross- validates DyC-OCT results but also yields complementary information. For example, simultaneous calcium fluorescence and DyC-OCT imaging of beating heart organoids can enhance our understanding of cardiac electromechanical coupling42. Moreover, correlating DyC-OCT signals with established biological activities aids in interpreting DyC-OCT data and linking it to specific dynamic events. Researchers have observed OCT fluctuation pattern changes following stimulations known to alter activ- ities, like ATP-γ-S16, inhibitors15,43 and cancer drugs18,48. These findings reinforce DyC-OCT’s validity and provide insights into dynamicactivities in biological systems. also bring obstacles in precise validation based on quantitative matching, which requires pixel-wise registration between images from DyC-OCT and other modalities. The lack of validation prevents DyC-OCT from being applied to quantitatively analyze tissue morphology and cellular activities. Multi-modal imaging platforms that combine DyC-OCT with modalitieslikeconfocal,light-sheet,ortwo-photonmicroscopyenableco- registered imaging of the same sample. This approach not only cross- validates DyC-OCT results but also yields complementary information. For example, simultaneous calcium fluorescence and DyC-OCT imaging of beating heart organoids can enhance our understanding of cardiac electromechanical coupling42. Moreover, correlating DyC-OCT signals with established biological activities aids in interpreting DyC-OCT data and linking it to specific dynamic events. Researchers have observed OCT fluctuation pattern changes following stimulations known to alter activ- ities, like ATP-γ-S16, inhibitors15,43 and cancer drugs18,48. These findings reinforce DyC-OCT’s validity and provide insights into dynamicactivities in biological systems. Communications Biology | (2024) 7:278 Open Challenges and Opportunities Key Progress 1. DyC-OCT provides noninvasive, high-resolution, contrast-enhanced imaging by utilizing diverse pattern extraction algorithms across common OCT modalities. 1. Interpreting features in DyC-OCT images is challenging without rigorous validation through established methods, owing to the indirect relationship between DyC-OCT signals and the dynamic biological activities of cells and tissues. 2. DyC-OCT discerns cellular microstructures in ex vivo tissues and in vitro organoids. This technique has been utilized in disease diagnosis, structure segmentation, and developmental monitoring. 2. To date, DyC-OCT applications have primarily focused on ex vivo living tissues. Invivoapplicationsfacechallengesduetoprolongedimageacquisitiontimesand sample motions. These issues could potentially be addressed with high-speed parallel imaging OCT systems. 3. DyC-OCT provides quantitative information on dynamic biological activities and has been employed as potential cellular activity/viability assays. 3. 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Future advancements in multi-modal imaging systems, high-speed and parallel OCT imaging, combined with cutting-edge image processing algorithms, promise to fully unveil the capabilities of this emerging imaging technology. 13. Luisi, J. D., Lin, J. L., Ameredes, B. T. & Motamedi, M. Spatial- temporal speckle variance in the en-face view as a contrast for optical coherence tomography angiography (OCTA). Sensors 22, 2447 (2022). 14. Markowitz, O., Schwartz, M., Minhas, S. & Siegel, D. M. Speckle- variance optical coherence tomography: a novel approach to skin cancer characterization using vascular patterns. Dermatol. Online J. 22, 13030/qt7w10290r (2016). Communications Biology | (2024) 7:278 6 Competing interests Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. C.Z. is an Editorial Board Member for Communications Biology, but was not involved in the editorial review of, nor the decision to publish this article. All other authors declare no competing interests. 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/. Author contributions C.R. and C.Z. conceived the outline ofthismini review, with inputsfromS.H., F.W., A.M., and M.A.; C.R. performed the literature research and wrote the first draft; F.W. and C.R. generated the table and figures; D.Y. and L.W. developed the airway organoids; all authors thoroughly reviewed and revised the manuscript; C.Z. supervised and guided the project. 35. Sanderson, M. J., Smith, I., Parker, I. & Bootman, M. D. Fluorescence microscopy. Cold Spring Harb. Protoc. 2014, pdb.top071795 (2014). 36. Webb, D. J. & Brown, C. M. Epi-fluorescence microscopy. Methods Mol. Biol. Clifton NJ 931, 29–59 (2013). 35. Sanderson, M. J., Smith, I., Parker, I. & Bootman, M. D. Fluorescence microscopy. Cold Spring Harb. Protoc. 2014, pdb.top071795 (2014). 36. Webb, D. J. & Brown, C. M. Epi-fluorescence microscopy. Methods Mol. Biol. Clifton NJ 931, 29–59 (2013). Communications Biology | (2024) 7:278 7 7 Mini review Additional information Supplementary information The online version contains supplementary material available at https://doi.org/10.1038/s42003-024-05973-5. Supplementary information The online version contains supplementary material available at https://doi.org/10.1038/s42003-024-05973-5. Correspondence and requests for materials should be addressed to Chao Zhou. Peer review information Communications Biology thanks the anonymous reviewers for their contribution to the peer review of this work. Primary Handling Editor: Manuel Breuer. © The Author(s) 2024 Reprints and permissions information is available at http://www.nature.com/reprints Communications Biology | (2024) 7:278 Reprints and permissions information is available at http://www.nature.com/reprints Communications Biology | (2024) 7:278 8
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Kinetic analysis of the partial synthesis of artemisinin: Photooxygenation to the intermediate hydroperoxide
Journal of flow chemistry
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Abstract The price of the currently best available antimalarial treatment is driven in large part by the limited availability of its base drug compound artemisinin. One approach to reduce the artemisinin cost is to efficiently integrate the partial synthesis of artemisinin starting from its biological precursor dihydroartemisinic acid (DHAA) into the production process. The optimal design of such an integrated process is a complex task that is easier to solve through simulations studies and process modelling. In this article, we present a quantitative kinetic model for the photooxygenation of DHAA to an hydroperoxide, the essential initial step of the partial synthesis to artemisinin. The photooxygenation reactions were studied in a two-phase photo-flow reactor utilizing Taylor flow for enhanced mixing and fast gas-liquid mass transfer. A good agreement of the model and the experimental data was achieved for all combinations of photosensitizer concentration, photon flux, fluid velocity and both liquid and gas phase compositions. Deviations between simulated predictions and measurements for the amount of hydroperoxide formed are 7.1 % on average. Consequently, the identified and parameterized kinetic model is exploited to investigate different behaviors of the reactor under study. In a final step, the kinetic model is utilized to suggest attractive operating windows for future applications of the photooxygenation of DHAA exploiting reaction rates that are not affected by mass transfer limitations. Keywords Artemisinin · Singlet oxygen · Photooxygenation · Kinetic analysis · Taylor flow Kinetic analysis of the partial synthesis of artemisinin: Photooxygenation to the intermediate hydroperoxide Received: 24 February 2021 / Accepted: 27 May 2021 © The Author(s) 2021 / Published online: 13 July 2021 https://doi.org/10.1007/s41981-021-00181-2 Journal of Flow Chemistry (2021) 11:641–659 https://doi.org/10.1007/s41981-021-00181-2 Journal of Flow Chemistry (2021) 11:641–659 FULL PAPER FULL PAPER S. Triemer and M. Schulze have contributed equally. Introduction 1 Partial synthesis of artemisinin starting from dihydroartemisinic acid: Illustration of mass transfer, photon transfer and reaction kinetics hν O2 O2 O OH H H H O OH H H O O H H O O O O H O + O2 Artemisinin Terary hydroperoxide (PO1) Dihydroartemisinic acid (DHAA) + hν + O2 H+ Fig. 1 Partial synthesis of artemisinin starting from dihydroartemisinic acid: Illustration of mass transfer, photon transfer and reaction kinetics O Dihydroartemisinic acid (DHAA) source for artemisinin [7] increasing the yield of artemisinin retrieved from the plant. all involved units [18]. To the best of our knowledge, a com- prehensive model is not available for the artemisinin partial synthesis so far [19]. To be predictive, the model needs to describe the major characteristics and phenomena of the process. However, multi-phase flow and photon emission in chemical reactors are 3D phenomena that can be described either based on first principles yielding complex models or by reducing the complexity with simplifications limiting the model applicability [20–23]. In both approaches the synthesis from DHAA to artemisinin plays a crucial role. Thus, a good understanding of the reaction mechanism and the main factors of influence is of large interest. The partial synthesis starting from DHAA (Fig. 1) proceeds via an initial photooxygenation forming a tertiary hydroperoxide as main intermediate [8, 9]. In the presence of strong acids, this hydroperoxide (PO1) undergoes a Hock-cleavage, a second oxidation and subsequent cyclization reactions forming artemisinin as main product [10, 11]. The first step, the photooxygenation, is initiated by formation of singlet oxygen in situ. Photosensitization requiring light irradiation and a matching dye is widely applied at lab- and industrial-scale [5, 6, 12] for this purpose due to its reduced need for reactants and higher selectivity. To achieve a fast and selective conversion of DHAA to artemisinin, the reactor system and the reaction conditions need to provide high mass transfer of oxygen, strong mixing and efficient irradiation within the reactor volume. These requirements were met by applying small- scaled reactor systems operated under slug flow conditions [13, 14] as displayed in Fig. 1. The aim of this contribution is to provide a first quan- titative model for the reaction kinetics of the photooxi- dation of dihydroartemisinic acid to the intermediate ter- tiary hydroperoxide PO1. The model combines a detailed description of the reaction kinetics with mass and photon transfer. Introduction S. Triemer and M. Schulze have contributed equally. S. Triemer and M. Schulze have contributed equally.  A. Seidel-Morgenstern seidel@mpi-magdeburg.mpg.de Malaria causes around 230 million infections and more than 400.000 deaths each year [1] – although it is preventable and treatable. Medications containing derivatives of artemisinin, a secondary metabolite of the plant Artemisia annua, show high efficacy against the disease and cause only low side effects, making these treatments a key in this global effort. Due to their high price, however, especially the people, who suffer most of the disease – the population in the sub-Saharan region – do not have full access to artemisinin- based combination therapies (ACTs). S. Triemer triemer@mpi-magdeburg.mpg.de S. Triemer triemer@mpi-magdeburg.mpg.de 1 Max Planck Institute for Dynamics of Complex technical Systems, Sandtorstraße 1, 39106 Magdeburg, Germany 1 Max Planck Institute for Dynamics of Complex technical Systems, Sandtorstraße 1, 39106 Magdeburg, Germany 2 Institute of Energy and Process Systems Engineering, Technische Universit¨at Braunschweig, Langer Kamp 19B, 38106 Braunschweig, Germany 3 Center of Pharmaceutical Engineering, Technische Universit¨at Braunschweig, Franz-Liszt-Straße 35a, 38106 Braunschweig, Germany 4 Institute of Chemical Engineering, Ulm University, Albert-Einstein-Allee 11, 89081 Ulm, Germany 5 Institute for Applied Materials - Electrochemical Technologies, Karlsruhe Institute of Technology, Adenauerring 20b, 76131 Karlsruhe, Germany 6 Lehrstuhl f¨ur Chemische Verfahrenstechnik, Otto-von-Guericke-Universit¨at, Universit¨atsplatz 2, 39106 Magdeburg, Germany 2 Institute of Energy and Process Systems Engineering, Technische Universit¨at Braunschweig, Langer Kamp 19B, 38106 Braunschweig, Germany 3 Center of Pharmaceutical Engineering, Technische Universit¨at Braunschweig, Franz-Liszt-Straße 35a, 38106 Braunschweig, Germany Until today, artemisinin is mainly produced by extraction of the plant A. annua [2]. As an alternative, semi-synthetic processes for artemisinin production were developed [3, 4] and applied in industrial scale [5, 6] starting from fermentation with genetically engineered yeasts. The final production step is the reaction from dihydroartemisinic acid (DHAA) to artemisinin. DHAA is a biological precursor to artemisinin and obtained as major byproduct from the extraction. By applying a similar reaction step as in the semi-synthetic production, it can be utilized as an additional 4 Institute of Chemical Engineering, Ulm University, Albert-Einstein-Allee 11, 89081 Ulm, Germany 5 Institute for Applied Materials - Electrochemical Technologies, Karlsruhe Institute of Technology, Adenauerring 20b, 76131 Karlsruhe, Germany 6 Lehrstuhl f¨ur Chemische Verfahrenstechnik, Otto-von-Guericke-Universit¨at, Universit¨atsplatz 2, 39106 Magdeburg, Germany 642 J Flow Chem (2021) 11:641–659 Fig. Fig. 1 Partial synthesis of artemisinin starting from dihydroartemisinic acid: Illustration of mass transfer, photon transfer and reaction kinetics Reaction network of the photooxygenation of dihydroartemisinic acid H-shift matching an ene-type reaction mechanism known as Schenk-reaction [30]. In the range of the double bond, H- atoms in three different positions can be abstracted forming three different hydroperoxides. Due to the cis-effect of the ene-type reaction, the tertiary hydroperoxide PO1 is the main product. PO1 is also the intermediate to artemisinin and so the desired product of the photooxygenation. All formed hydroperoxides are semi-stable species which undergo several rearrangement and degradation reactions leading to total decomposition within several weeks [11]. The photooxygenation of dihydroartemisinic acid (DHAA) to hydroperoxides proceeds via two main reaction steps (Fig. 2): 1. photosensitized formation of singlet oxygen and 2. ene-type reaction to an hydroperoxide. 2. ene-type reaction to an hydroperoxide. In photosensitization, a photoactive molecule, the photo- sensitizer, absorbs light of a corresponding wavelength and transfers that energy to an oxygen molecule exciting it in its singlet state [12]. In this study we used 9,10- dicyanoanthracene (DCA), which is a widely applied photo- sensitizer due to its high efficiency, strong chemical stability and absorbance in the visible spectrum [25]. Introduction 9,10-Dicynanoanthracene (DCA) serves as photosensitizer in the in situ formation of singlet oxygen O OH H H O O H O OH H H H + 1O2 O OH H H H O O H 3O2 Dihydroartemisinic acid (DHAA) O OH H H H O O H *DCA 0DCA h PO1 PO2 PO3 O OH H H O O H O OH H H H + 1O2 O OH H H H O O H 3O2 Dihydroartemisinic acid (DHAA) O OH H H H O O H *DCA 0DCA h PO1 PO2 PO3 h Introduction Focus in the model development was to obtain a model structure, which is reliable but at the same time as simple as possible, to allow for analysis of the production process, its limitation and model-based optimization. The model was parameterized by steady-state experiments of the photooxygenation in a continuous photo-flow reactor. The ferrioxalate actinometer was utilized to quantify the inci- dent photon flux in the reactor – an essential quantity in the reaction kinetics of the photooxygenation. The challenging identification of the kinetic parameters was supported by an iterative strategy applying model-based experimental design to ensure large parameter sensitivities and reduce the exper- imental workload [24]. In the following, we first introduce the reaction mechanism and the experimental setup we used to study the kinetics. We explain the mathematical tools and how they are combined based on the applied experimen- tal setting to yield a predictive model with reliable kinetic constants for the photooxidation of DHAA. To demonstrate the potential of the model, we use it in the end to derive promising experimental regimes for future lab and industrial implementation of the photooxygenation. To obtain an optimal overall process of artemisinin pro- duction, the partial synthesis step needs to be designed with respect to all upstream and downstream units. For this task, model-based tools have been proven essential in aca- demia and the pharmaceutical industry [15, 16] to facilitate system understanding and control [17]. The description of the process chain constitutes a highly complex mathemat- ical problem with multiple process variables, degrees of freedom and at the same time various constraints, e.g. on product quality and process safety. For each unit within the process, a model is required, which predicts the units’ beha- viors well but is also simple to enable joint optimization of J Flow Chem (2021) 11:641–659 643 Fig. 2 Simplified reaction network of the photooxygenation of dihydroartemisinic acid (DHAA) to the desired hydroperoxide PO1 – the key intermediate in the artemisinin partial synthesis. Continuous photo-flow reactor system experiments, the gas/liquid ratio was set to 4:1 (v/v) - equal to a gas holdup of β = 0.8. The total flow rate was varied between 1–2 ml/min at 7 bar absolute system pressure, ensuring Taylor flow conditions in all experiments. The photoreactor was operated at -20 ◦C, while all the up- and downstream equipment was kept at room temperature. The photooxygenation of DHAA was investigated in an in- house-made tubular reactor system, Fig. 3. The photoreactor consisted of wrapped transparent tubing (FEP, ID 0.8 mm) immersed in a cooling liquid connected to a thermostat. The length of the photoreactor (2–10 m) was chosen according to the residence time range of interest. Two LED modules emitting blue light (417 nm) irradiated the photoreactor from both sides in all experiments. The irradiation intensity was set relative to the maximum emitted optical power of the LED modules (21 W per module) by adjusting the current in the power supply. In the following we refer to this setting as LED power PLED. To ensure steady-state operation of the reactor system, one set of experimental conditions was kept for a duration of at least 5 times of the estimated residence time in the whole reactor before sampling the liquid effluent at the end of the reaction line. The concentrations of DHAA and the formed hydroperoxides were determined by quantitative 1H-NMR. The liquid and the gas feed were dosed continuously by a syringe pump and mass flow controllers, respectively. Both feed streams were contacted in a T-mixer and then entered the photoreactor. After irradiation, the gas and liquid phase are split in a membrane phase separator. The residual gas stream is measured with a flow meter. The liquid stream is collected and analyzed offline. The pressure in the reaction line was controlled by two back-pressure regulators at the gas and the liquid side. Measurement of the provided photon flux by chemical actinometry The initial step of the photooxygenation of DHAA is the light-induced formation of singlet oxygen, where photons must be considered as stoichiometric reagent. Chemical actinometry is a well-established tool to investigate the incident photon flux in complex reactor geometries, where other methods as radiometry are not easily applicable [34]. It is an integral method yielding an average value of the incident photon flux over the irradiation period. Kinetic steady-state experiments in a photo-flow reactor The photooxygenation of dihydroartemisinic acid (DHAA) requires efficient irradiation of the reactant solution and sufficient supply of oxygen to investigate the kinetics of the reaction steps. Milli-scaled flow reactors in Taylor flow mode offer high surface area between gas and liquid phase and efficient irradiation of the substrate due to the small channel depths. This makes this type of reactors suitable to study the kinetics of photoreactions [31–33]. The experimental conditions including toluene as solvent, 9,10-dicyanoanthracene (DCA) as photosensitizer and a temperature of -20 ◦C were adapted from [14] due to the optimal yields for artemisinin observed in this study. To exclude dynamics from the kinetic analysis, the reactor has to enter a steady-state before sampling or evaluating online-measurement data. After absorption of light in the blue region (400– 500 nm) DCA is excited to a singlet state following a complex network of different quenching processes [26, 27]. In the main pathway, singlet state DCA is quenched by triplet oxygen forming one molecule of singlet oxygen. The residual triplet state allows the formation of another molecule of singlet oxygen reducing DCA to its ground state. Parallel quenching processes, e.g. fluorescence or phosphorescence, lead to deactivation of DCA without forming singlet oxygen. Depending on the solvent, the dissolved oxygen concentration and the presence of additional quenchers, the overall quantum yield of singlet oxygen formation with DCA might vary significantly [27]. A maximum quantum yield of singlet oxygen is reported in the range of 1.56–1.71 in benzene extrapolated to indefinite oxygen concentration [27–29]. In the following, the applied reactor setup and the pro- cedure of the photooxygenation experiments are introduced briefly. For details on materials, the equipment and sample analysis, the interested reader is referred to the Supporting Information (SI). Once singlet oxygen is formed, it either reacts with DHAA or it is quenched back to its triplet state. The reaction of DHAA with singlet oxygen proceeds via 1,5-sigmatropic J Flow Chem (2021) 11:641–659 644 Steady-state experiments for the photooxygenation of DHAA in Taylor flow conditions In this study, we used potassium ferrioxalate as acti- nometer – also known as the Hatchard-Parker-Actinometer [35] – to characterize the photon flux reaching the reac- tor in our experimental setup. This actinometer is the most established one [36] and used also for characterization of The feed solution consisting of DHAA and DCA dissolved in toluene was connected to the reactor system and dosed together with a gas stream containing either pure oxygen or oxygen/nitrogen mixtures through the reactor system. In all Feed LED LED P 01 FC N2 FC O2 T 02 T 01 P 02 7 bar Residual gas Product soluon F 01 N2 O2 z 20°C - 20°C Photoreactor Reactor coil Fig. 3 Continuous photo-flow reactor setup applied for the kinetic investigation of the photooxygenation of dihydroartemisinic acid. The liquid and gas feed are pumped at Taylor flow conditions through the reaction line (ID: 0.8 mm) kept at -20 ◦C and irradiated by blue LED light (417 nm) Residual gas N2 Reactor coil LED LED Photoreactor z Fig. 3 Continuous photo-flow reactor setup applied for the kinetic investigation of the photooxygenation of dihydroartemisinic acid. The liquid and gas feed are pumped at Taylor flow conditions through the reaction line (ID: 0.8 mm) kept at -20 ◦C and irradiated by blue LED light (417 nm) 645 J Flow Chem (2021) 11:641–659 The quantum yield ΦAct and the Napierian absorption coefficient κAct 417 nm of ferrioxalate at irradiation wavelength are given in the SI – together with details on the calculation of the actinometer conversion and the determination of the incident photon flux. The relation of absorbed and incident photon flux based on the Lambert-Beer law is introduced in the following section on model development for the photooxygenation of DHAA. flow reactors [37, 38] due to its wide range of absorption in the UV and visible spectrum, easy preparation and han- dling. As Roibu et al. [39] showed, the absorbed amount of photons differs depending on the set flow conditions. To mimic the radiation conditions in the photooxygena- tion experiments, all actinometric measurements shown in this study were performed in continuous mode in Tay- lor flow conditions. The procedure of measurements with ferrioxalate and their analysis were adapted from Wriedt et al. [38]. Kinetic rate equations for the photooxygenation Details on materials, sample workup and analysis are given in the SI. The reaction scheme of the kinetic model is shown in Fig. 2. The tertiary hydroperoxide PO1 is the species of interest, i.e., it is further converted to artemisinin. The two secondary hydroperoxides PO2 and PO3 are lumped together to the byproduct species POy. In the conducted photooxygenation experiments, the recovery of the measured products PO1 and POy make up around 95 % of the total amount of reacted DHAA. The missing 5 % are attributed to rearrangement and degradation products formed between sampling and NMR analysis (Section 6). To cover these additional and presently chemically unidentified products and the respective reactions, an additional species POx is introduced, which is produced from PO1 and POy. Identical reaction rate constants are assumed. This approach is motivated by the lack of data on species and reactions, as Experimental procedure of actinometric measurements The difficulty in obtaining reliable reaction kinetics for the photooxygenation of dihydroartemisinic acid (DHAA) lies in the interaction of the chemical reaction network with photon and mass transfer processes. Both phenomena are complex to describe and depend strongly on the reactor system applied. Accordingly, the identified process model is assembled from two main parts. The kinetic model describes the (photo-induced) chemical reactions and is independent of the process setup. The reactor model, instead, reproduces the fluid dynamics of the two- phase flow, including the interfacial transfer equations, and is dependent on the photo-flow reactor system used. Both components of the process model, that integrates the kinetics into the reactor model, are introduced in the following subsections. In the end, a short theoretical background on how we identified the process model and estimated and assessed its model parameters is outlined. A 0.15M solution of ferrioxalate was prepared freshly on the day of the experiment. The actinometer solution was pumped together with nitrogen as inert phase in slug flow pattern through the irradiated reactor at 7 bar system pressure. The gas holdup β was 0.8 in all experiments – equal to the flow conditions in the photooxygenation experiments. The two-phase-flow was pumped through the photoreactor resulting in a residence time of 6–12 s in the irradiated section (2 m length). After achieving stable flow conditions for at least 5 min, 3 samples of the liquid effluent stream were collected. Each sample was diluted 25-fold with 0.05M sulfuric acid before combining it with a buffer solution of 0.1% phenanthroline solution in 0.05M sulfuric acid containing 0.06M sodium acetate. After 30 min the absorption of the sample was measured at 510 nm with a UV/Vis spectrometer to determine the formed amount of Fe(II) oxalate and calculate the actinometer conversion. In addition, samples of the reactor effluent without irradiation were collected and processed likewise to the irradiated samples to determine actinometer conversion due to ambient light. The interested reader is referred to the Supporting Information (SI) for a more thorough motivation and derivation of the reactor model. Likewise, more details on the strategy leading to the identified process model can be found in the SI. Determination of the incident photon flux The conversion of ferrioxalate XAct in the linear region of the actinometer only depends on the constant quantum yield ΦAct at the irradiation wavelength of 417 nm, the optical path length lopt and the volumetric incident photon flux Lp during irradiation in the photoreactor with a residence time τ. Following the procedure and the model introduced in Wriedt et al. 2018 [38], Lp is obtained by solving Eq. 1 numerically, based on the known residence time and the measured actinometer conversion, dXAct dτ = ΦAct 417 nm [Act]0 Lp  1 −e−κAct 417 nm[Act]0(1−XAct)lopt  . (1 (1) 646 J Flow Chem (2021) 11:641–659 scope, or mechanistically motivated [42]. The mechanistic justification lies in the fact that “in a single photon absorption process, the rate of the photosensitizer activation step (primary event) is proportional to the rate of energy absorbed” [42]. The formation rate of singlet oxygen might be expressed as it allows to lump the unknown and unquantifiable reactions and side products. This approach may be replaced by a more detailed mechanism once more is known on the side reactions. Alternatively, separate loss reactions might lead to additional complications during the identification of their reaction constants and would therefore make a physical interpretation difficult. Hence, the chemical reaction network is r1O2 = Φ1O2La p, (7) (7) DHAA+1 O2 kPO1 −−→PO1, DHAA+1 O2 kPOy −−→POy, 1O2 1/τΔ −−→3O2, PO1 kPOx −−→POx, POy kPOx −−→POx, (2) DHAA+1 O2 kPO1 −−→PO1, DHAA+1 O2 kPOy −−→POy, 1O2 1/τΔ −−→3O2, PO1 kPOx −−→POx, POy kPOx −−→POx, (2) with the local volumetric rate of photon absorption La p and the quantum yield of singlet oxygen Φ1O2, i.e., the number of singlet oxygen molecules formed divided by the number of absorbed photons. Different mechanistic networks for the formation of singlet oxygen by DCA in various solvents have been derived in literature [26, 27]. Here, we neglect implications on the quantum yield by extraneous species, e.g. solvent quenching, as they are unknown and would encompass the unfavorable situation that the quantum yield does not tend to zero with vanishing oxygen concentration [21, 26, 27]. The quantum yield of singlet oxygen can then be stated as (2) with kinetic rate constants ki, i ∈{PO1, POy, POx}, and the lifetime of singlet oxygen τΔ. Determination of the incident photon flux The corresponding reaction rates are expressed as elementary reactions [40], resulting in the following rates of formation: rPO1 = kPO1[DHAA][1O2], (3a) rPOy = kPOy[DHAA][1O2], (3b) rPOx = kPOx([PO1] + [POy]). (3c) Φ1O2 = [O2] kl1[O2] + kl2 , (8) (8) where kl1 and kl2 are lumped kinetic parameters that combine diverse rate constants [27]. The concentration of triplet oxygen concentration in Eq. 8 has been replaced by the concentration of dissolved oxygen as singlet oxygen occurs merely in trace quantities [21, 33]. Since singlet oxygen is a very reactive and short-lived species, the steady-state-assumption is applied, d[1O2] dz !∼= 0 ∼= r1O2−(kPO1+kPOy)[DHAA][1O2]−1 τΔ [1O2], (4) (4) (4) Connecting the reaction kinetics to the rate of photon absorption where r1O2 is the formation rate of singlet oxygen. Combining (3) with (4), yields where r1O2 is the formation rate of singlet oxygen. Combining (3) with (4), yields The interaction between radiative transfer and reaction kinetics is visualized in Fig. 4. The reaction rates in Eqs. 6 and 7 depend on the local volumetric rate of rPO1 = r1O2 ˜kPO1[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] , (5a) rPOy = r1O2 ˜kPOy[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] , (5b) rPOx = kPOx([PO1] + [POy]), (5c) (5a) (5b) Fig. 4 Interaction between radiative transfer and reaction kinetics; Lp: local volumetric incident photon flux, La p: local volumetric rate of photon absorption, c: vector holding concentrations of present species (5c) with the kinetic constants normalized to the lifetime of singlet oxygen ˜ki = kiτΔ, i ∈{PO1, POy}. (6) (6) The lifetime of singlet oxygen in toluene τΔ is 33.2 μs at - 20◦, extrapolated from available data in the range from 5 to 90◦[41]. The lifetime of singlet oxygen in toluene τΔ is 33.2 μs at - 20◦, extrapolated from available data in the range from 5 to Table 1 Summary of key assumptions applied to describe the reactor behavior The dissolved oxygen concentration is derived from Henry’s law. effect of a decreasing gas holdup due to reaction progress on the average path length [39] is neglected. The reaction kinetics are therefore related to the averaged La p, which is constant over the whole reactor length. Accordingly, the actinometric measurements used to characterize the irradia- tion conditions in the reactor also provide an average value of the incident photon flux over the reactor length, see Eq. 1. photon absorption La p that results from the radiative transfer equation (RTE). The La p, in turn, depends on the concentrations of the chemical species c. A common assumption is that photons are predominantly absorbed by the photosensitizer, i.e. c = (cDCA)⊤, leading to the substantial simplification that the RTE and the chemical kinetics are decoupled and can therefore be solved independently. However, the La p remains a complex function of position and time, that is highly dependent on the individual reactor geometry, the physical properties of the participating media and the flow conditions [43]. (9) ⟨La p⟩= Lp(1 −exp [−κcDCAlopt]), with the the local volumetric incident photon flux Lp, the Napierian absorption coefficient of the absorbing species κ, the photosensitizer concentration cDCA, and the optical path length lopt. The concentration of DCA was assumed to be constant throughout the whole reactor. Please note that Eq. 9 does not explicitly include the irradiation from two sides as the here used reactor setup would suggest. Due to the symmetric configuration of the capillary reactor, however, the superposition of the light emission from two sides is implicitly alleviated in Lp. In addition, an error resulting from this simplified description is balanced by considering the optical path length as one of the parameters to be estimated, Eq. 21. with the the local volumetric incident photon flux Lp, the Napierian absorption coefficient of the absorbing species κ, the photosensitizer concentration cDCA, and the optical path length lopt. The concentration of DCA was assumed to be constant throughout the whole reactor. Please note that Eq. 9 does not explicitly include the irradiation from two sides as the here used reactor setup would suggest. Due to the symmetric configuration of the capillary reactor, however, the superposition of the light emission from two sides is implicitly alleviated in Lp. In addition, an error resulting from this simplified description is balanced by considering the optical path length as one of the parameters to be estimated, Eq. 21. Photosensitized formation of singlet oxygen Fig. 4 Interaction between radiative transfer and reaction kinetics; Lp: local volumetric incident photon flux, La p: local volumetric rate of photon absorption, c: vector holding concentrations of present species In photosensitized processes, expressions for reaction rates are either empirically derived, thus having limited J Flow Chem (2021) 11:641–659 647 Reactor model The reactor model connects the intrinsic reaction rates with the physical phenomena occurring within the reactor line, namely the specific flow conditions and mass transfer. The key assumptions for the description of the reactor behavior are stated in Table 1. In a reliable reactor model, the gas and liquid phase as well as the mass transfer between them need to be quantified. In the following, we first derive the balance equations for each phase separately based on the two-fluid model, and subsequently describe the interfacial mass transfer between the gas and the liquid phase. If nontransient light intensity is assumed, an averaged La p is derived from the Beer-Lambert law [44], ⟨La p⟩= Lp(1 −exp [−κcDCAlopt]), (9) (9) Table 1 Summary of key assumptions applied to describe the reactor behavior Table 1 Summary of key assumptions applied to describe the reactor behavior Table 1 Summary of key assumptions applied to describe the reactor behavior Table 1 Summary of key assumptions applied to describe the reactor behavior The relative pressure drop over the reactor is small (0.1–0.5 bar at 7 bar operating pressure). Consequently, the momentum balance is neglecte [51]. Due to the isothermal operation of the reactor, there are no internal temperature gradients. Thus, energy balances are not considered. The flow is one-dimensional (z axis). Hence, ideal mixing in radial direction is assumed [22, 52]. Diffusion is not considered. The operation of the setup is in steady-state. The liquid phase is incompressible. The density is calculated by a simple mixture density of the solvent plus the excess volume caused by th addition of DHAA. Material exchange between the phases is based on the linear approach to mass transfer. The gas phase can be described by an ideal gas mixture, i.e., the Taylor bubbles are well mixed. The dissolved oxygen concentration is derived from Henry’s law. The relative pressure drop over the reactor is small (0.1–0.5 bar at 7 bar operating pressure). Consequently, the momentum balance is neglected [51]. The relative pressure drop over the reactor is small (0.1–0.5 bar at 7 bar operating pressure). Consequently, the momentum balance is neglected [51]. Due to the isothermal operation of the reactor, there are no internal temperature gradients. Thus, energy balances are not considered. The flow is one-dimensional (z axis). Hence, ideal mixing in radial direction is assumed [22, 52]. Diffusion is not considered. The operation of the setup is in steady-state. p y hase is incompressible. The density is calculated by a simple mixture density of the solvent plus the excess volume c DHAA. p p y The liquid phase is incompressible. The density is calculated by a simple mixture density of the solvent plus the excess volume caused by the addition of DHAA. Material exchange between the phases is based on the linear approach to mass transfer Material exchange between the phases is based on the linear approach to mass transfer. The gas phase can be described by an ideal gas mixture, i.e., the Taylor bubbles are well mixed. The dissolved oxygen concentration is derived from Henry’s law. The gas phase can be described by an ideal gas mixture, i.e., the Taylor bubbles are well mixed. Description of fluid dynamics with the two-fluid model 18 is affected by several reactor-dependent and fluid properties, that are summarized in a contribution from the Taylor bubble caps and a contribution from the liquid film between reactor wall and Taylor bubble [49]. The contribution by the film was observed to be dominant [49], leading to kla ∝  DO2usg/LUC/d with the diffusion coefficient of oxygen that the oxygen transfer is solely active in the balance for dissolved oxygen. For the gas phase, a material balance over oxygen and the total gas flow ˙Vg is considered. The former in terms of molar fraction xO2 is dxO2 dz = −RT p ˙Vg (1 −α)AjO2(1 −xO2), (12) (12) and the material balance over the total gas flow reads  DO2 and the length of a unit cell LUC consisting of the gas bubble and the liquid slug [50]. For no information about the geometry of the unit cell is readily available, we simply consider a dependence of the mass transfer coefficient on the superficial gas velocity: d ˙Vg dz = −RT p (1 −α)AjO2. (13) (13) In Eqs. 12 and 13, R is the universal gas constant, T temperature, p total pressure, and A the known cross- sectional area of the channel. The gas fraction α is a key characteristic of the two-fluid model, which assigns a relative area to any of the phases: kla =  kla  usg, (19) kla =  kla  usg, (19) introducing a constant  kla. introducing a constant  kla. α = Ag A , 1 −α = Al A , and A = Ag + Al, (14) (14) The process model: Combining the kinetics with the reactor model d[POx] dz =  1 −β C0  A ˙Vl kPOx([PO1] + [POy]), d[O2] dz =  1 −β C0  A ˙Vl  − [O2] kl1[O2] + kl2 (˜kPO1 + ˜kPOy)[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] d[POx] dz =  1 −β C0  A ˙Vl kPOx([PO1] + [POy]), d[O2] dz =  1 −β C0  A ˙Vl  − [O2] kl1[O2] + kl2 (˜kPO1 + ˜kPOy)[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] Lp(1 −exp [−κcDCAlopt]) +  kla  usg([O2]∞−[O2])  , dxO2 dz = −RT p ˙Vg 1 −β C0 A(1 −xO2) kla  usg([O2]∞−[O2]), d ˙Vg dz = −RT p 1 −β C0 A kla  usg([O2]∞−[O2]), (2 The process model: Combining the kinetics with the reactor model where Ag and Al are the unspecified cross-sectional areas covered by the gas phase flow ˙Vg and the liquid phase flow ˙Vl, respectively. The phase velocities can then be expressed as The integration of the chemical kinetics, Eq. 5, and the mass transfer relation, Eq. 18, into the material balances (11), (12) and (13) provides the governing equations of the process model for both the liquid and the gas phase: as ug = ˙Vg Ag = ˙Vg αA, ul = ˙Vl Al = ˙Vl (1 −α)A. (15) (15) d[DHAA] dz =  1 −β C0  A ˙Vl  − [O2] kl1[O2] + kl2 (˜kPO1 + ˜kPOy)[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] Lp(1 −exp [−κcDCAlopt])  , d[PO1] dz =  1 −β C0  A ˙Vl  [O2] kl1[O2] + kl2 ˜kPO1[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] Lp(1 −exp [−κcDCAlopt]) −kPOx[PO1]  , To solve the material balances in Eqs. 11, 12 and 13, the unknown gas fraction α must be determined. To this end, we utilize an established simplification of the two-fluid model – the drift flux model [46, 47] (further details in SI, Sec. 5.1.3). Its constitutive equation relates α to the known gas holdup β, d[PO1] dz =  1 −β C0  A ˙Vl  [O2] kl1[O2] + kl2 ˜kPO1[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] Lp(1 −exp [−κcDCAlopt]) −kPOx[PO1]  , α = 1 C0 β, (16) with β = ˙Vg ˙V = ˙Vg ˙Vg + ˙Vl . (17) α = 1 C0 β, (16) with ˙ ˙ (16) with d[POy] dz =  1 −β C0  A ˙Vl  [O2] kl1[O2] + kl2 ˜kPOy[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] Lp(1 −exp [−κcDCAlopt]) −kPOx[POy]  , β = ˙Vg ˙V = ˙Vg ˙Vg + ˙Vl . (17) (17) The distribution factor C0 might be taken from literature or experimentally determined. In this study, C0 was estimated by measurement of the residence time after tracer injection (SI, Sec. 6.1). The distribution factor C0 might be taken from literature or experimentally determined. In this study, C0 was estimated by measurement of the residence time after tracer injection (SI, Sec. 6.1). Description of fluid dynamics with the two-fluid model The core idea of the two-fluid model (indices g and l for gas and liquid phase, respectively) is to balance each phase individually and close their balances by interfacial transfer equations. A more detailed motivation for the two-fluid model can be found in the SI, Section 5.1.2. The local volumetric incident photon flux Lp is defined as the absolute incident photon flux q0 related to the irradiated volume of the reaction solution Vl: Resulting from the simplifications in Table 1, the material balance of a species i in the liquid phase in terms of concentration ci along the reactor coordinate z becomes Lp = q0 Vl . (10) Lp = q0 Vl . (10) dci dz = 1 ul (ri + δijO2), δi =  1, i = O2 0, else , (11) (11) In complex reactor geometries, the local rate of photon absorption might differ significantly within the reactor vol- ume altering the local reaction rates. In this study, La p was assumed to be constant. The assumption of homogeneous illumination is commonly made in microreactor modelling, resulting in good model-data fits [45]. This includes that the where ul is the liquid phase velocity, ri is the net rate of reaction and jO2 is the transfer of oxygen from the gas to the liquid phase. The species i is in the set {DHAA, PO1, POy, POx, O2}. The delta function δi ensures J Flow Chem (2021) 11:641–659 648 law (SI, Sec. 5.1.4) and is taken from literature [48]. The mass transfer coefficient kla in Eq. 18 is affected by several reactor-dependent and fluid properties, that are summarized in a contribution from the Taylor bubble caps and a contribution from the liquid film between reactor wall and Taylor bubble [49]. The contribution by the film was observed to be dominant [49], leading to kla ∝  DO2usg/LUC/d with the diffusion coefficient of oxygen DO2 and the length of a unit cell LUC consisting of the gas bubble and the liquid slug [50]. For no information about the geometry of the unit cell is readily available, we simply consider a dependence of the mass transfer coefficient on the superficial gas velocity: law (SI, Sec. 5.1.4) and is taken from literature [48]. The mass transfer coefficient kla in Eq. Relation between Lp and the set LED power The actinometric measurements with ferrioxalate were performed in Taylor flow conditions as the later presented photooxygenation experiments. In Fig. 5a, the obtained actinometer conversions are depicted. The experimental operation window of LED settings and residence time in the irradiated section was limited to a narrow range of 6– 12 s and 10–25%LED by physical and technical constraints [38]. Precipitation occurred in all samples obtained at LED settings higher than 25%LED. Therefore, these data were excluded from further analysis. The conversions obtained without precipitation show an expected linear dependence on the residence times. In the study case at hand, we primarily used MBDoE for the enhanced precision of parameter estimates. Here, MBDoE aims at minimizing the covariance matrix of the model parameters, a measure for the quantification of the parametric uncertainties, by maximizing the parameter sen- sitivities on the measured outputs [58]. Having collected the measurement data of the optimally planned experiment, the parameters of the proposed model candidate(s) were estimated. Parameter estimation was performed using the maximum likelihood approach to obtain a match between model outputs and the experimental data. Next to an evalu- ation of the model-data fit, the model parameters and their estimates were assessed by checking their identifiability and by the calculation of confidence intervals. Identifiabil- ity of parameters ensures that the model parameters can be uniquely determined from the available measurement data [58, 59], and is therefore a necessity for a reliable interpretation of parameter values. We used the profile like- lihood approach that yields improved confidence intervals for the model parameters besides conclusions about param- eter identifiability [60, 61]. More information about the MBDoE and the profile likelihood approach is outlined in the SI. Based on the obtained actinometer conversion and the known quantum yield of ferrioxalate, the volumetric incident photon flux (Lp) was determined separately for each data point based on Eq. 1. The optical path length was assumed to be equal to the channel diameter of 0.8 mm. The average values for each LED setting are depicted in Fig. 5b. The incident photon flux shows a strong linear depen- dence on the LED power at lower set values. The measured incident photon fluxes deviate from that dependence due to the aforementioned observed precipitation during the exper- iment. The linear behavior is a known property of LEDs and also given in the reference data-sheet of the LED mod- ules applied. Interfacial oxygen transfer Mass transfer of oxygen from the gas into the liquid phase is modeled according to jO2 = kla([O2]∞−[O2]), (18) (20) (20) (18) where [O2]∞is the saturation concentration of oxygen in the liquid phase and kla is the volumetric transfer coefficient based on the specific gas-liquid interfacial surface area a. The saturation concentration is calculated by Henry’s where [O2]∞is the saturation concentration of oxygen in the liquid phase and kla is the volumetric transfer coefficient based on the specific gas-liquid interfacial surface area a. The saturation concentration is calculated by Henry’s with initial conditions ([DHAA], [PO1], [POy], [POx], [O2], [xO2], [ ˙Vg])⊤(0) = ([DHAA]0, 0, 0, 0, [O2]∞, xO2,0, ˙Vg,0)⊤. ([DHAA], [PO1], [POy], [POx], [O2], [xO2], [ ˙Vg])⊤(0) = ([DHAA]0, 0, 0, 0, [O2]∞, xO2,0, ˙Vg,0)⊤. ([DHAA], [PO1], [POy], [POx], [O2], [xO2], [ ˙Vg])⊤(0) = ([DHAA]0, 0, 0, 0, [O2]∞, xO2,0, ˙Vg,0)⊤. 649 J Flow Chem (2021) 11:641–659 The vector of unknown model parameters of the process model, that needs to be identified, is influences. Subsequently, the reaction behaviour of the photooxygenation is analyzed qualitatively on the basis of the experimental data. ( kla, kl1, kl2, ˜kPO1, ˜kPOy, kPOx, lopt)⊤. (21) ( kla, kl1, kl2, ˜kPO1, ˜kPOy, kPOx, lopt)⊤. (21) ( kla, kl1, kl2, ˜kPO1, ˜kPOy, kPOx, lopt)⊤. (21) In the second part, the experimental data is used to identify the kinetic model parameters and assess the suitability of the previously made assumptions. The parameterized model is finally applied to understand and identify the rate-determining effects in dependence on the reaction conditions offered. Identification of the model parameters by Model-based Design of Experiments Identifying a reliable process model is a challenging problem, particularly in (bio-)chemical engineering where often reaction kinetics are not known a priori. Even if the stoichiometries have been established, the mathematical rate laws might not be readily revealed [40]. For the identification of a reliable mathematical model, a systematic procedure is therefore key [53, 54]. One major tool in this process is the model-based design of experiments (MBDoE). MBDoE facilitates model identification by planning experiments with high informative output under the consideration of the formulated model candidates, thereby reducing development time and cost [55–57]. Relation between Lp and the set LED power Therefore, a linear relation is used to connect the volumetric incident photon flux with the LED power as additional model equation introducing ˜Lp as proportionality factor, Lp = ˜Lp · PLED. (22) (22) Relation between Lp and the unknown optical path length In the following first part, the experimental data is shown, which was later on used to parameterize the developed process model. Here, the actinometric measurements are discussed, which yielded a relation for the incident volumetric photon flux Lp – a key parameter in the model to disentangle kinetic parameters from reactor-dependent The determination of the incident photon flux from actinometric measurements strongly depends on the value set for the optical path length lopt, which either has to be estimated or measured to take partial absorption into account, Eq. 9. In our actinometric data set shown above, J Flow Chem (2021) 11:641–659 650 Fig. 5 Results of actinometric measurements at two-phase slug flow conditions: a Actinometer conversion in dependence on set LED power PLED and residence time in the irradiated section of the photoreactor, b Volumetric incident photon absorption determined based on measured actinometer conversion (lopt = 0.8 mm) the path length was found to be insensitive That is for each The parameterized relation in Eq 24 was used in the model hat is, for each above), values proportionality The parameterized relation in Eq. 24 was used in the model to link the knowledge from the actinometric measurements with the photooxygenation experiments The parameterized relation in Eq. 24 was used in the model to link the knowledge from the actinometric measurements with the photooxygenation experiments. The parameterized relation in Eq. 24 was used in the model to link the knowledge from the actinometric measurements with the photooxygenation experiments. the path length was found to be insensitive. That is, for each path length assumed (e.g. 0.8 mm as shown above), values for the incident photon flux and the resulting proportionality factor ˜Lp could be found, which fit the experimental actinometric data equally well. Qualitative assessment of the reaction behaviour of the photooxygenation The complex irradiation geometry of our applied reactor (Fig. 3), however, also makes it difficult to predict the path length from theoretical considerations due to the combination of a wide emission angle of the LED modules, illumination from two sides, reflection within the photoreactor casing and Taylor flow conditions. The main goal of this contribution is to provide a kinetic model for the photooxygenation of dihydroartemisinic acid to the desired intermediate hydroperoxide PO1. In the following, a subset of the experimental data is shown to illustrate qualitative trends of the reaction behavior in Fig. 6. As an alternative, the optical path length can be set as an additional parameter to be estimated based on the experimental data of the photooxygenation of DHAA. A relation between incident photon flux and path length is developed from the actinometric measurements and then used as additional model equation in the analysis of the photooxygenation. Due to the applied model-based design of experiments, the kinetics were studied selectively at conditions that assured highest sensitivity of the kinetic parameters to be estimated. That is why the experimental conditions of the data shown in Fig. 6 change between the subplots. Each data point is the result of a separate experiment in steady-state. The experimental results are compared based on the superficial residence time defined by the initial gas and liquid flow rates: The absorbed and the incident volumetric photon flux are connected by Beer-Lambert law, as shown in Eq. 23. The relation contains two unknown parameters; ˜La p as the proportionality factor between the the absorbed volumetric photon flux and the set LED power and [Act]. [Act] can be interpreted as an average concentration of the ferrioxalate during irradiation. Both parameters were estimated by first determining ˜Lp for various assumed lengths of the optical path (as in Fig. 5 for 0.8 mm) from experimental data and then by fitting the exponential expression of Eq. 23 to these obtained values of ˜Lp (details are given in SI): τ s = Vr ˙Vl + ˙Vg,0 . (25) (25) The superficial residence time underestimates the real residence time in the system: Due to O2 consumption, the gas flow rate decreases with the increasing conversion of DHAA. Therefore, the real residence time does not only depend on the initial flow settings but also on the reaction progress. Qualitative assessment of the reaction behaviour of the photooxygenation To compare the amount of unknown products formed in the photooxygenation, an additional quantity, the recovery, is introduced, which is defined as the ratio of known components of the reaction mixture and the initially added amount of DHAA: The superficial residence time underestimates the real residence time in the system: Due to O2 consumption, the gas flow rate decreases with the increasing conversion of DHAA. Therefore, the real residence time does not only depend on the initial flow settings but also on the reaction progress. To compare the amount of unknown products formed in the photooxygenation, an additional quantity, the recovery, is introduced, which is defined as the ratio of known components of the reaction mixture and the initially added amount of DHAA: Lp = La p 1 −e−κAct[Act]lopt = ˜La p 1 −e−κAct[Act]lopt  ˜Lp PLED, (23) ˜Lp = 8.893 · 10−5 mol L s %LED 1 −e−23.935 cm−1·lopt . (24) Lp = La p 1 −e−κAct[Act]lopt = ˜La p 1 −e−κAct[Act]lopt  ˜Lp PLED, (23) (23) Recovery = [DHAA] + [PO1] + [POy] [DHAA]0 · 100 %. (26) (24) (26) J Flow Chem (2021) 11:641–659 651 Fig. 6 Behavior of the photooxygenation of dihydroartemisinic ac to the desired hydroperoxide PO1 at varied reaction conditio (incl. initial concentration of DHAA): a Concentration of DHA the formed hydroperoxides and the observed reactant recovery dependence on the superficial residence time b Dependence of PO formation on provided light intensity c Effect of varied photosensitiz concentration and gas phase composition at the inlet at consta superficial residence time The photooxygenation of DHAA is a fast reaction reaching full DHAA conversion in less than 5 min residence time in the irradiated section (Fig. 6a). The desired tertiary hydroperoxide PO1 reaches a yield of 85 %, while the secondary hydroperoxides are formed with a yield of 8 %. These obtained numbers are in accordance with previous studies, which observed a yield of PO1 up to 90 % [7, 14] under comparable conditions. The concentration-time- profiles agree in shape with the mixed zero and first reaction order, which was proposed in the model. The recovery of the reactant decreased from 100 % at short residence time to 92 % when full conversion was reached. We assume that this decrease is caused by rearrangement and degradation reactions of the formed hydroperoxides as observed in previous mechanistic studies by Brown et al. [8, 9, 11]. Qualitative assessment of the reaction behaviour of the photooxygenation This non-detectable amount of formed products was treated as additional species POx in the model in order to close the overall mass balance. When the light intensity increases, the reaction acceler- ates without affecting the final yields (Fig. 6b). This is in correspondence with the proposed reaction network since the incident photon flux affects only the formation of sin- glet oxygen. The ratio of the reaction rates of PO1 and POx is constant and equal to the ratio of the corresponding rate constants kP O1 and kP OX. The constant recovery in respect to light intensity indicates that the consecutive rearrange- ment and degradation of PO1 and POx are independent of irradiation. Based on the model structure, the reaction rate is supposed to increase linearly with the incident photon flux. Doubling the LED power from 50% to 100%, however, results only in an 1.5 fold increase of the effective initial rate PO1 formation (from 0.174 mol/l/min to 0.257 mol/l/min at τ s= 0.55 min). That is, at the high irradiation intensities, the proposed linearity is not observed in our experimental data. The effect may result from oxygen mass transfer between gas and liquid phase, which is slower than the high reaction rates under strong irradiation and thus limit the overall observed reaction rate. In Fig. 6c, the photosensitizer concentration and gas phase composition was varied while the superficial resi- dence time was kept constant. Again both parameters only influence the reaction rate while the total recovery was unaffected. A 3-fold increase of the catalyst concentra- tion yielded a 2-fold increase in PO1 concentration formed. Assuming an optical path length equal to the channel diam- eter of 0.8 mm, an approx. 3-fold rise in light absorption and, thus, in the reaction rate is expected according to Beer- Lambert law. The lower increase observed in the experi- ments might indicate that the light passes the reactor on a longer path length resulting in high absorption and thus lower sensitivity on the catalyst concentration. A decrease Fig. 6 Behavior of the photooxygenation of dihydroartemisinic acid to the desired hydroperoxide PO1 at varied reaction conditions (incl. Qualitative assessment of the reaction behaviour of the photooxygenation initial concentration of DHAA): a Concentration of DHAA, the formed hydroperoxides and the observed reactant recovery in dependence on the superficial residence time b Dependence of PO1 formation on provided light intensity c Effect of varied photosensitizer concentration and gas phase composition at the inlet at constant superficial residence time Fig. 6 Behavior of the photooxygenation of dihydroartemisinic acid to the desired hydroperoxide PO1 at varied reaction conditions (incl. initial concentration of DHAA): a Concentration of DHAA, the formed hydroperoxides and the observed reactant recovery in dependence on the superficial residence time b Dependence of PO1 formation on provided light intensity c Effect of varied photosensitizer concentration and gas phase composition at the inlet at constant superficial residence time 652 J Flow Chem (2021) 11:641–659 the involved parameters with the measurement information at hand. A potential reduction of the correlation by MBDoE did not predict to significantly disentangle the strong con- nection between the parameters. One related problem lies in the mathematical structure of the quantum yield rela- tion. Its parameters are theoretically identifiable, but cannot be determined properly if noisy data is utilized, i.e. differ- ent parameter sets can explain the outcome equally well [62]. Accordingly, parameter estimation runs showed that physically reasonable values of the quantum yield of singlet oxygen, i.e., values below 2, could not be retrieved. Conse- quentially, the unknown quantum yield parameters were set to literature values, taken from [27] for DCA in benzene: kl1 = 0.641 and kl2 = 0.0119 mol/L. in O2 content in the gas phase results in approx. 20% lower yield of PO1 at otherwise similar reaction conditions. Based on this data, it cannot be concluded yet if that significant decrease is caused by a lower 1O2 quantum yield or by slower mass transfer due to reduced equilibrium concentra- tion of oxygen in the liquid phase. For this conclusion, the quantitative analysis based on a parameterized and validated model of the photooxygenation is required. Identification of the process model parameters and quantitative assessment of the model-data fit The process model developed to describe the photooxy- genation behaviour contains seven unknown parameters to be identified with experimental data, Eq. 21. Two of the parameters, the mass transfer coefficient kla and the optical path length lopt, are related to the applied reactor setup. The other five parameters are kinetic rate constants, which are independent of the experimental setup. Hence, five parameters to be estimated were left: The mass transfer coefficient kla, the three chemical kinetic constants ˜kPO1, ˜kPOy and kPOx, and the optical path length lopt. The results of the parameter estimation and of the subsequent quantitative assessment of the derived model parameters and the model-data fit are summarized in Table 2. The measurement error variance estimated from regression statistics (SI) ˆσ 2= 2.73e-4 mol2/L2 is satisfactorily low. Correspondingly, the relative deviation between the predicted and measured concentration of the key intermediate PO1 is 7.09 %. The good model-data fit is During the model identification process, a local sensi- tivity analysis revealed (SI) that the kinetic parameters of the chemical reactions forming the intermediate hydroper- oxides, ˜kPO1 and ˜kPOy, are heavily correlated with the kl1 parameter of the quantum yield relation for singlet oxygen, Eq. 8. Thus, it becomes impractical to uniquely determine Table 2 Goodness of fit and estimated parameter values and spreads, Eq. 21, for the developed process model, Eqs. 20. The confidence intervals are based on the profile likelihood (SI) Model-data fit Symbol Unit Value Description SSE mol2/l2 0.1799 sum of squared errors ˆσ 2 mol2/l2 2.73e −4 measurement error variance % 7.09 averaged relative deviation of PO† 1 Estimated parameters Symbol Unit Value COD CI− 95 CI+ 95  kla √1/cm min 1.094 0.093 1.046 1.148 ˜kPO1 L mol−1 7.130 0.173 6.555 7.790 ˜kPOy L mol−1 0.644 0.306 0.550 0.747 kPOx 1/min 0.0249 0.369 0.0204 0.0296 lopt cm 0.178 0.107 0.169 0.188 Fixed parameters (quantum yield, Eq. 8) Symbol Unit Value Reference kl1 – 0.641 DCA in benzene [27] kl2 mol l−1 0.0119 DCA in benzene [27] κ 1 mol−1 cm−1 12841.98 see Supporting Information C0 – 1.02 see Supporting Information †nPO1 i (ydata PO1,i −yPO1,i)  /yPO1,i  /nPO1 COD: coefficient of dispersion, COD = (CI+ 95 −CI− 95)/ ˆθ, ˆθ: estimated value CI+/− 95 : ±95% confidence interval Table 2 Goodness of fit and estimated parameter values and spreads, Eq. 21, for the developed process model, Eqs. 20. Identification of the process model parameters and quantitative assessment of the model-data fit The confidence intervals are based on the profile likelihood (SI) imated parameter values and spreads, Eq. 21, for the developed process model, Eqs. 20. The confidence intervals od (SI) J Flow Chem (2021) 11:641–659 653 Fig. 7 Match of experimental data with simulated results based on the parametrized process model for all quantities measured at the reactor outlet. The grey scale illustrates the superficial residence time in the photoreactor of each data point. Triangle, diamond and square markers represent data from Fig. 6a. The dashed lines mark 20 % deviations e r e photoreactor of each data point. Triangle, diamond and square markers represent data from Fig. 6a. The dashed lines mark 20 % deviations Fig. 7 Match of experimental data with simulated results based on the parametrized process model for all quantities measured at the reactor outlet. The grey scale illustrates the superficial residence time in the photoreactor of each data point. Triangle, diamond and square markers represent data from Fig. 6a. The dashed lines mark 20 % deviations To further assess the quality of the identified model, relative deviations of PO1 over four important process parameters, that is, the initial DHAA concentration, the LED light power, the photosensitizer concentration, and the molar fraction of oxygen, were investigated (SI). The results suggest that the existent deviations are mainly caused by measurement noise and errors that inherently occur during the measurement procedure but not by systematic model discrepancy. visualized in the parity plots in Fig. 7 which show a good match between experimental results and simulated data over the whole range of investigated superficial residence times. Exemplarily, the data points appearing in Fig. 6a are marked in Figs. 7a, b and c accordingly. In contrast to DHAA and PO1, the key chemical species on the route towards artemisinin, the data of POy is less matched because for two reasons. On the one hand, the optimizer tends to favor higher concentrations per definition of the objective function, i.e., the likelihood function. On the other hand, the POy concentrations are closer to zero, where the signal-to- noise ratio is increased. visualized in the parity plots in Fig. 7 which show a good match between experimental results and simulated data over the whole range of investigated superficial residence times. Exemplarily, the data points appearing in Fig. 6a are marked in Figs. 7a, b and c accordingly. Identification of the process model parameters and quantitative assessment of the model-data fit In contrast to DHAA and PO1, the key chemical species on the route towards artemisinin, the data of POy is less matched because for two reasons. On the one hand, the optimizer tends to favor higher concentrations per definition of the objective function, i.e., the likelihood function. On the other hand, the POy concentrations are closer to zero, where the signal-to- noise ratio is increased. Following the profile likelihood approach, all five estimated parameters in the developed process model are identifiable (SI). Next to a coefficient of dispersion (COD) 654 J Flow Chem (2021) 11:641–659 95 % confidence intervals (CI) for the estimated parameters are stated in Table 2. and their estimates are in plausible ranges. The required simplification on fluid dynamics and photon transfer, namely the application of the two-fluid model and the neglect of absorption rate distribution, offers a good description of the observed process behavior. It can be noted that the chemical kinetic constants have larger CODs and are, loosely spoken, more uncertain in their estimates than the mass transfer coefficient and the optical path length. On the whole, each of the parameters shows an acceptable spread suggesting that their expected values can be reliably used for further model-based investigation. Albeit, we want to emphasize that for a reliable utilization and interpretation of the identified process model the following aspects need to be taken into account. Neglecting the distribution of the local volumetric rate of photon absorption is a strong simplification affecting the reaction system on various levels. In particular, a gradient in the absorbed photon flux will cause a non-uniform distribution of the rate of singlet oxygen production within the liquid slug, resulting in a potential diffusion limitation of the overall reaction rate. The absorbed photon flux itself is influenced by the gas holdup and photosensitizer concentration. Both quantities decrease with reaction time due to oxygen consumption and photobleaching and therefore affect the absorbed photon flux. We also want to point to the fact that a reliable description of the two- phase flow is essential. A global sensitivity analysis of important model parameters (details in SI) showed, that the distribution parameter C0, that links the relative motion of the different phases, Eq. 16, is highly sensitive. A variation of C0 in the model induces a considerable change in the simulated PO1 concentration. Identification of the process model parameters and quantitative assessment of the model-data fit Lastly, the identified model and all parameters are only valid for a temperature of - 20 ◦C. Studying the complex influence of temperature on the reaction system including the mass transfer and flow conditions is beyond the scope of this paper and a task for future studies. The rate constants for the formation of the desired hydroperoxide PO1 and the byproducts were normed, Eq. 6, to ease the parameter estimation process. Based on the known life time of singlet oxygen in toluene (33.2 μs at -20◦ [41]) the absolute rate constants of the reactions of DHAA with 1O2 to the hydroperoxides, Eq. 3, can be obtained: kPO1 = 2.15 · 105L mol−1s−1, kPOy = 0.19 · 105L mol−1s−1. kPO1 = 2.15 · 105L mol−1s−1, kPOy = 0.19 · 105L mol−1s−1. Both values are in the same order of magnitude as rate constants published for other investigated ene-type reactions [33, 63, 64]. The reaction to the desired hydroperoxide is about 10-fold faster than the reaction to the byproducts. This matches with the favored selectivity of PO1 observed in the photooxygenation experiments. For Taylor flow fluid dynamics and mass transfer in microchannels, there are various relations for the mass transfer coefficient available that vary substantially among each other [65]. In the study case at hand, initial superficial velocities between 120 cm/min and 350 cm/min appear, resulting in volumetric mass transfer coefficients of approximately 12 min−1 to 20 min−1. These values lie within the range of kla values predicted from correlations available in the literature [65]. and the substrate-limited regime by (˜kPO1 + ˜kPOy)[DHAA] ≪1 : rPO = Φ1O2La p(˜kPO1 + ˜kPOy)[DHAA]. (28) (28) In this study, the inflection point is therefore at [DHAA] ≈ 0.129 mol/L. In the DHAA graph in Fig. 8a this inflection point is passed shortly beyond the intersection between the DHAA and the PO1 curve. To the left of it, it follows zero- order kinetics, and to the right of the inflection point, it approaches first order kinetics. A complementary process characteristic is shown in Fig. 9. In this case, the gas phase consists of both oxygen and nitrogen; see the molar concentration of oxygen in Fig. 9b. From the curve of dissolved oxygen in Fig. 9b, it readily can be observed that the system quickly runs into mass transfer limitations. The level of dissolved oxygen settles down to an equilibrium stage that continuously decreases as the molar fraction of oxygen in the gas phase drops and therefore correspondingly the solubility limit of oxygen that is determined by Henry’s law. Note that despite the elevated temperature beyond the photoreactor, the dissolved oxygen concentration does not reach again the initial dissolved oxygen concentration because of the decreased molar fraction of oxygen. Along the whole reactor line, the process runs above the inflection point, i.e. above [DHAA] ≈0.129 mol/L, see Fig. 9a. This implicates that the DHAA curve in the same figure follows pseudo- zero-order kinetics. The additional bending of the actual straight line is caused by the low availability of oxygen in the liquid phase that affects the quantum yield of singlet oxygen, Eq. 8, and reduces the maximum reaction rate, Eq. 27. Thus, here, the process is partially limited by mass transfer, i.e. the mass transfer rate is approximately equal to the rate of the bulk kinetics, preventing a more efficient conversion of DHAA. Fig. 8 Propagation of concentrations, oxygen molar fraction and gas flow along the reactor coordinate showing no mass transfer limitations (conditions: [DHAA]0 = 0.23 mol l−1, [DCA] = 0.85 mmol l−1, PLED = 100%LED, xO2,0= 1). The thin vertical line marks the reactor outlet In the first case example, the gas phase consists solely of oxygen, as can be observed in Fig. 8b. The volumetric gas flow decreases along the reaction line in the photoreactor since oxygen is consumed in the liquid phase due to the chemical reactions and continuously supplied from the gas phase, Fig. 8b. Exploitation of the process model to analyse different operating regimes Intuitively, the length of the optical path lopt = 0.178 cm seems to be large at first sight as it is greater than twice the tube diameter of 0.08 cm. In a single circular tube geometry with perpendicular irradiation, the optical path length can be assumed to be between channel diameter d as upper boundary and the ratio A/d as lower boundary depending on the collimation of the incident light [66]. Both boundaries, however, are based on the hypothesis that light enters the tubing from one side and is lost after leaving it. In the considered photoreactor instead, two light sources are installed in a closed box of stainless steel, resulting in reflection of the light beam back to the reactor. Furthermore, as the reactor itself is symmetric (compare with Fig. 3), leaving light beams on one side can re-enter the reactor tubing on the other side. In particular in the tube convolutions around the poles in the reactor box, optical path lengths significantly exceeding twice the tube diameter are very plausible. The identified and fully-parameterized model can now be used to understand the process behavior and identify opti- mal operation windows. In the following, three characteris- tic operating situations are illustrated that differ in the cause that limits or partially limits the process dynamics: light irradiance, substrate DHAA or mass transfer. The possible fourth operating regime – the kinetically controlled domain without any other limitation – does not occur under the investigated conditions. In Figs. 8 and 9, the dynamic behavior of the system’s key quantities, product concentrations, gas flow rate and gas phase composition are drawn over the reactor length. The thin vertical line marks the exit of the photoreactor and thus the end of light irradiance. The discontinuities in the curves at the reactor exit are induced by a temperature jump from reactor to ambient temperature. Experimental data are plotted at the sampling position downstream to the photoreactor exit. In conclusion, the model developed to describe the photooxygenation of DHAA provides a good fit with the experimental data. All model parameters are identifiable J Flow Chem (2021) 11:641–659 655 Fig. 8 Propagation of concentrations, oxygen molar fraction and gas flow along the reactor coordinate showing no mass transfer limitations (conditions: [DHAA]0 = 0.23 mol l−1, [DCA] = 0.85 mmol l−1, PLED = 100%LED, xO2,0= 1). Exploitation of the process model to analyse different operating regimes The thin vertical line marks the reactor outlet rates are large in the beginning, see Fig. 8a, but is recovered with decreasing reaction rate values. Obviously, mass transfer does not substantially hinder the process dynamics. In contrast, both the light-limiting and the substrate-limiting regime can be observed in Fig. 8a. Here, a pseudo-inflection point might be determined that describes the transition bet- ween the two regimes that are often observed in photoredox catalysis [21]. At the inflection point, the reaction switches from a pseudo-zero-order reaction with the reaction rate at its maximum to a first-order reaction. Mathematically, the inflection point is defined as the half-maximum kinetic reaction rate. Accordingly, with 1 2 != rPO = rPO1 + rPOy, Eq. 5, the light-limiting regime is controlled by (˜kPO1 + ˜kPOy)[DHAA] ≫1 : rPO = Φ1O2La p = rmax PO , (27) and the substrate-limited regime by and the substrate-limited regime by The grey rectangle approximately covers the experimental space explored in this article Fig. 10 Prediction of mass transfer limited regimes for the photooxy- genation of DHAA. The Hatta number is given in dependence on the provided volumetric rate of photon absorption Lp and the mass transfer coefficent for different O2 concentrations (contour lines, in mol L−1) and for DHAA = 0.5 mol L−1. The grey rectangle approximately covers the experimental space explored in this article Fig. 10 Prediction of mass transfer limited regimes for the photooxy- genation of DHAA. The Hatta number is given in dependence on the provided volumetric rate of photon absorption Lp and the mass transfer coefficent for different O2 concentrations (contour lines, in mol L−1) and for DHAA = 0.5 mol L−1. The grey rectangle approximately covers the experimental space explored in this article which causes the chemical reaction to take place only at the phase boundary. Critical Hatta values are which causes the chemical reaction to take place only at the phase boundary. Critical Hatta values are Ha ≥3, strong mass transfer limitation, Ha ≥3, strong mass transfer limitation, Ha ≤0.3, kinetic regime, no limitation by mass transfer. In the study case at hand, the Hatta number [68] is defined as (SI) Ha = 1 kl    DO2Lap 1 kl1[O2] + kl2 (˜kPO1 + ˜kPOy)[DHAA] 1 + (˜kPO1 + ˜kPOy)[DHAA] . (29) (29) The diffusion coefficient of oxygen in toluene may be taken from [69] and has a value of 2.4860e −09 m2 s−1 at −20◦C. The limits of the Hatta regimes are drawn as contours in Fig. 10. Fig. 9 Propagation of concentrations, oxygen molar fraction and gas flow along the reactor coordinate showing mass transfer limitations (conditions: [DHAA]0 = 0.48 mol l−1, [DCA] = 0.60 mmol l−1, PLED = 100%LED, xO2,0= 0.51). The thin vertical line marks the reactor outlet Generally speaking, with decreasing DHAA concentra- tions all contour lines move towards the ordinate. As obser- ved in the previous section, the conducted experiments, visua- lized as the grey rectangle, lie around the lower Hatta limit where behaviors from dynamics partially limited by mass transfer to dynamics not limited by mass transfer appear. Identification of mass transfer limited regimes for the photooxygenation of dihydroartemisinic acid The analysis for the process behavior so far was linked to the applied reactor setup. The identified kinetic constants for the photooxygenation can also be used to predict suitable operation regimes for other process settings to prevent that mass transfer of oxygen limits the overall reaction rate. Such a classification can be stated with the Hatta number. Based on the two-film theory, the Hatta number relates the rate of chemical reaction in the liquid phase to the diffusion rate across the phase boundary [67]. The higher the Hatta number, the faster is the reaction in comparison to diffusion, and the substrate-limited regime by The negative slope of the PO1 concentration curve after reaching its maximum concentration, Fig. 8a, is owed to the consecutive loss reactions, Eq. 2, that also continue to go on downstream of the reactor in contrast to the photo-induced reactions. The further discontinuity downstream leading to an even higher negative slope is caused by a slow down of the reaction medium due to a diameter jump of the tubing. Noteworthy is the behaviour of the dissolved oxygen in Fig. 8b. The dissolved oxygen is rapidly consumed at the inlet of the photoreactor as reaction J Flow Chem (2021) 11:641–659 656 Fig. 9 Propagation of concentrations, oxygen molar fraction and gas flow along the reactor coordinate showing mass transfer limitations (conditions: [DHAA]0 = 0.48 mol l−1, [DCA] = 0.60 mmol l−1, PLED = 100%LED, xO2,0= 0.51). The thin vertical line marks the reactor outlet Fig. 10 Prediction of mass transfer limited regime genation of DHAA. The Hatta number is given in provided volumetric rate of photon absorption Lp a coefficent for different O2 concentrations (contou and for DHAA = 0.5 mol L−1. The grey rectan covers the experimental space explored in this artic which causes the chemical reaction to take phase boundary. Critical Hatta values are Ha ≥3, strong mass transfer limitation, Ha ≤0.3, kinetic regime, no limitation by In the study case at hand, the Hatta numb as (SI) Ha = 1 kl    DO2Lap 1 kl1[O2] + kl2 (˜kPO1 + ˜k 1 + (˜kPO1 + The diffusion coefficient of oxygen in tolue from [69] and has a value of 2.4860e −09 m The limits of the Hatta regimes are drawn Fig. 10. Generally speaking, with decreasing D tions all contour lines move towards the ord ved in the previous section the conducted ex Fig. 9 Propagation of concentrations, oxygen molar fraction and gas flow along the reactor coordinate showing mass transfer limitations (conditions: [DHAA]0 = 0.48 mol l−1, [DCA] = 0.60 mmol l−1, PLED = 100%LED, xO2,0= 0.51). The thin vertical line marks the reactor outlet Fig. 10 Prediction of mass transfer limited regimes for the photooxy- genation of DHAA. The Hatta number is given in dependence on the provided volumetric rate of photon absorption Lp and the mass transfer coefficent for different O2 concentrations (contour lines, in mol L−1) and for DHAA = 0.5 mol L−1. References 1. World malaria report 2020 (2020) 20 years of global progress and challenges. Tech. rep., World Health Organization, Geneva 2. Lapkin AA, Plucinski PK, Cutler M (2006) Comparative assessment of technologies for extraction of artemisinin. 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To characterize the light input of the reactor, J Flow Chem (2021) 11:641–659 657 the photooxygenation experiments were complemented by actinometric measurements yielding a relation between the incident photon flux and the unknown optical path length, which was integrated in the process model. the photooxygenation experiments were complemented by actinometric measurements yielding a relation between the incident photon flux and the unknown optical path length, which was integrated in the process model. article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons. org/licenses/by/4.0/. The model achieves a good fit between the model outputs and the experimental results from steady-state experiments for a wide range of different critical process parameters. Therefore, the made assumptions and the simplifications, including the two-fluid-model provide a suitable description for the main process characteristics. Nevertheless, assuming a spatially independent rate of photon absorption within the reactor is a strong simplification of the reaction system applied, considering its geometrical complexity and the large value obtained for the average path length. Thus, extending the model by more detailed descriptions of the photon transport inside the reactor as well as of the fluid dynamics might improve the predictability of the model. References https://doi.org/10.1016/j.cej.2016.02.085 Acknowledgements We gratefully acknowledge the support by the Max Planck Society and the Center of Pharmaceutical Engineering (PVZ), Braunschweig. 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Perception of Educational Stakeholders on Utilization of E-learning Technology for Quality Instructional Delivery in Universities in Rivers State, Nigeria
Journal of learning for development
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2Federal College of Education (Technical), Omoku, Nigeria Abstract: The study was conducted in Rivers State, South-South, Nigeria. Descriptive survey design was adopted for the study, which comprised 168 subjects (44 lecturers and 124 students). Two research questions were posed by the researchers to guide the study. The study used questionnaires to elicit information from respondents. Mean and standard deviation were descriptive statistical tools used to answer the research questions. The findings of the study revealed, amongst others, that many universities in Nigeria lacked digital facilities for quality e-teaching and learning and, again, university lecturers and students required core digital skills for effective e-learning. Based on these findings, it was recommended, amongst others, that the Nigerian government, in collaboration with university authorities, should ensure adequate provision of ICT equipment and facilities in universities for quality e-teaching and learning. Furthermore, adequate ICT training programmes should be set up for the training of lecturers and students in digital technology in order to realise effective e-learning in the Nigerian university system. Keywords: ICT facilities, e-teaching, e-learning, university education, digital skills development. ISSN: 2311-1550 2021, Vol. 8, No. 2, pp. 312-326 ISSN: 2311-1550 2021, Vol. 8, No. 2, pp. 312-326 ISSN: 2311-1550 2021, Vol. 8, No. 2, pp. 312-326 Perception of Educational Stakeholders on Utilization of e-Learning Technology for Quality Instructional Delivery in Universities in Nigeria Offia Tugwell Owo1 and Isaac C. N. Udoka2 1Rivers State University, Port Harcourt, Nigeria 2Federal College of Education (Technical), Omoku, Nigeria Offia Tugwell Owo1 and Isaac C. N. Udoka2 1Rivers State University, Port Harcourt, Nigeria Introduction All over the world, education is regarded as the bedrock of meaningful development in any society. Education is seen as an aspect of socialization which involves the acquisition of knowledge and learning of skills capable of shaping beliefs and moral values. According to Castle (as cited in Adiele et al, 2010), education is all that happens to us from the day we are born to the day we die. Education, therefore, could be seen as the process by which every society attempts to preserve and upgrade the accumulated knowledge, skills and attitudes in its cultural setting and heritage in order to foster continuously the well-being of mankind and guarantee its survival against the unpredictable (Owo, 2020). According to the national policy on education (NPE) (Federal Republic of Nigeria, 2013), formal education in Nigeria is categorised as universal basic education, secondary education and tertiary education. All educational programmes administered in monotechnics, polytechnics, colleges of education and universities are referred to as tertiary education. This implies that all formal educational programmes beyond the basic and secondary education in Nigeria, including university education, are referred to as tertiary education. All over the world, universities are tertiary institutions established to offer quality educational training to citizens for their all-round development. Thus, universities exist to teach, conduct research and engage in community services (Ogbulogo, George & Olukanni, 2014). A university is an educational institution established primarily to champion human capacity development through quality teaching, research and community services (Owo & Ajie, 2020). According to Amadi and Urho (2015), the major dream of any university is to become a pace-setting institution in learning, character building and service to humanity with a duty to produce competent, reliable and creative graduates of high moral standards in society as well as championing a complete development of men and women in an enabling environment through appropriate teaching, research and service to humanity. Similarly, Owo and Ajie (2020) opined that a university is an educational institution established primarily to champion human capacity development through quality teaching, research and community services. Hence, a university is a citadel of excellence in teaching, learning and research for human and societal development. Universities contribute significantly to the development of society in all aspects and ramifications. Purpose of the Study In spite of the huge benefits derivable from using online education in university education, many universities in Nigeria are yet to tap into the vast opportunities associated with it. The reasons may not be far-fetched, as most of the institutions may not have the e-learning facilities needed to kick-start such laudable educational programmes. Additionally, the issue of poor ICT-skills development by some lecturers and students in universities as well as poor power supply are considered major setbacks in the use of e-learning technologies for quality instructional delivery in Nigerian universities. Consequent upon the foregoing, this observed missing link informed the researchers’ desire to conduct this study entitled “Perception of Educational Stakeholders on the Utilization of e- learning Technology for Quality Instructional Delivery in Universities in Nigeria”. Statement of the Problem Due to rapid innovations in digital technology across the world, many universities adopt e-learning and e-teaching for instructional delivery in their institutions to complement face-to-face interactions. According to Owo and Ajie (2020), e-learning reduces travel time and the cost of infrastructural development in terms of buildings. Similarly, Arkorful and Abaidoo (2014) posited that the cost benefit of e-learning in training students is lesser than that of physical (face-to-face) contact after carefully considering some factors, such as the number of students trained, distance to be travelled, and time of training among other factors. In the same vein, Guragain (2016) posited that the value of face-to-face class contact content development, distribution and maintenance cost, are exclusively high as compared to e-learning which is of lower cost. Thus, e-learning usage tends to solve educational challenges especially at a time such as the COVID-19 pandemic era, when no physical contact is permitted among teachers (lecturers) and students (learners). Despite the prospects of e-learning, some university teachers and students do no not possess the ICT skills needed to achieve an effective online university education (Alexander et al, 2017; Wineburg et al, 2016). Furthermore, Owo and Ajie (2020) posited that one major constraint to quality e-learning education in Nigeria is lack of adequate ICT skills acquisition by university lecturers and students. Lecturers need ICT skills to assist learners to develop proficiency in using e-learning platforms for quality learning. Poor Internet connectivity and the high cost of data subscription and the high cost of e-learning training facilities constitute some major barriers to e-learning usage in Nigerian universities (Owo & Ajie, 2020; Akpomie, et al, 2020). This missing link, therefore, informed the authors’ quest to carry out this study, entitled “Perception of Educational Stakeholders on Utilization of e-Learning Technology for Quality Instructional Delivery in Universities in Nigeria”. Introduction Universities are usually in the lead in the event of any social, economic and political challenges, by using the power of research to focus on capacities that will promote human development as well as solving existential problems (Oyeniran et al, 2020). Instruction in universities is delivered to students by university teachers (lecturers). A lecturer is someone who works in a tertiary institution as an academic staff member. A lecturer is an academic staff member within a programme with a minimum qualification of a first degree not below second class, lower division (Bakare, 2014). A university lecturer is one who teaches and conducts research in universities and other research institutes as well as engaging in community services to foster societal development (Owo & Ajie, 2020). A lecturer, in the statement of Encarta (2009), is a teacher in a college or university who teaches students and carries out research activities to solve identified problems in society. Lecturers, as chief facilitators of the educational processes at tertiary educational level, are expected to employ measures that would impact students’ lives positively while engaging in their normal classroom activities (Bakare, Onah & Okereke, 2018). Due to the demanding nature of the job of university lecturers, it becomes necessary for them to be more flexible, intelligent, unassuming, resourceful and competent so as to render their services diligently. Quality university teaching and learning controlled by competent lecturers leads to the production of competent graduates. Furthermore, Bakare, Onah and Okereke (2018) opined that the rate at which university students attain academic excellence therefore depends primarily on the mode of teaching, personality of lecturers and the teaching methods and strategies adopted by lecturers. It is worth noting, therefore, that when university teachers are well-grounded in their various areas of specialization, adopt appropriate modes of instruction, are knowledgeable in the usage of modern educational technology tools for instructional delivery as well as taking part in continuous professional development for career advancement and embarking on quality research, they will be well-positioned to deliver effective lessons to students capable of creating a positive impact using flexible modes of instruction, such as face-to face interactions, on-line teaching, and open-distance learning among others. A 21st- century university teacher, therefore, is expected to be conversant with all modern instructional 313 delivery modes applicable to university education across the globe, so as to apply them appropriately when situations demand global best practices. Objectives of the Study Specifically, the study sought to fulfill these two objectives: Specifically, the study sought to fulfill these two objectives: 1. Determine the perception of lecturers and students of the ICT facilities available for quality instructional delivery via e-learning in universities in Nigeria. 1. Determine the perception of lecturers and students of the ICT facilities available for quality instructional delivery via e-learning in universities in Nigeria. 314 2. Determine the perception of lecturers and students of the adequacy of ICT skills development among teachers and learners for the of utilization e-learning technology in universities in Nigeria. 2. Determine the perception of lecturers and students of the adequacy of ICT skills development among teachers and learners for the of utilization e-learning technology in universities in Nigeria. Research Questions 1 What are the perceptions of lecturers and students of the adequacy of ICT facilities available for quality instructional delivery via e-learning in universities in Rivers State, Nigeria? 1 What are the perceptions of lecturers and students of the adequacy of ICT facilities available for quality instructional delivery via e-learning in universities in Rivers State, Nigeria? 2 What are the perceptions of lecturers and students of the adequacy of ICT skills development among teachers and learners for the utilization e-learning technology in universities in Nigeria? 2 What are the perceptions of lecturers and students of the adequacy of ICT skills development among teachers and learners for the utilization e-learning technology in universities in Nigeria? Traditional Mode of Teaching (Face-to-Face Interactions) Traditional Mode of Teaching (Face-to-Face Interactions From its inception, the Nigerian university system used face-to-face interactions as the chief mode of instructional delivery. Here, both lecturers and students meet in the classroom where the former deliver educational instructions to the latter for a meaningful learning exercise. In any face-to-face interactive class, students are able to observe their teachers while teaching using words, actions and non-verbal clues (body language) when necessary to transmit information to them. Sometimes, this mode stimulates easy understanding and quick accessibility to primary educational information. However, other researchers argue that face-to-face interaction causes students to depend solely on their teachers for every bit of information needed to progress academically, thereby, causing them to become academically lazy. In the words of Benson and Brack (2009), recent development in educational technologies provides diverse opportunities for students to collaborate, access information and interact with educational content and materials electronically for their individual empowerment. The emergence of information and communication technology (ICT) and its application in education empowers teachers (lecturers) to advance from traditional face-to-face classroom interactions and activities to online classrooms, and also to bring in some aspects of online activities in the traditional classroom that encourage e-teaching and e-learning (Mohammad, 2102). E- learning, therefore, is seen by some educational technology experts as crucial since it plays complementary roles to face-to-face classroom interactions. Corona Virus Pandemic and the Need for E-Learning Application in Universities in Nigeria The swift appearance of an infectious disease known as corona virus (COVID-19) has forced educational institutions, especially universities, around the world to adopt the use of e-teaching and e- learning for instructional delivery. According to Adeoye, Adanikin and Adanikin (2020), the fast advent of COVID-19 posed some negative effects on many sectors of the Nigerian economy including the education sector, as academic activities were paused by the Nigerian Federal Ministry of Education in order to restrict further spread of the virus in educational institutions in the country. The United Nations Education Scientific and Cultural Organization (UNESCO) (2020) reported that the global closure of educational institutions has affected over 91% of the student population across the globe. The negative effects of coronavirus (COVID-19) were felt by all educational stakeholders in Nigeria including parents, teachers, students and administrators in primary, secondary and 315 universities as academic sessions and programmes were disrupted after the coronavirus was declared a global pandemic by the World Health Organization on March 11, 2020. Universities around the world, including those in Africa, agreed to seek better ways to cope and adapt to the academic changes occasioned by the pandemic (Adeoye, Adanikin & Adanikin, 2020). Meanwhile, as the pandemic affected the academic calendars of universities, all forms of face-to-face interactions in schools were prohibited by the Nigerian government and, consequently, lecturers and students were compelled to seek an alternative means of carrying out teaching and learning activities that would not warrant physical contact. Thus, the use of e-teaching and learning as an alternative mode of instruction was adopted by some universities in Nigeria. Thus, the arrival of corona virus has caused educational stakeholders in Nigeria to embrace and appreciate electronic-teaching and learning also known as online education. Consequently, the present development has contributed to the advancement of online learning in Nigerian institutions mainly at tertiary level. E-Teaching and E-Learning Technologies Application in Nigerian Universities In the view of Nagy (2008), e-teaching enables a teacher to reach students in different schools at their locations in his or her teaching and practice using relevant digital devices and platforms. different times and locations. It also streamlines the delivery cycle for lecturers and lowers expenses incurred at each period of their service delivery. In the view of Nagy (2008), e-teaching enables a teacher to reach students in different schools at their locations in his or her teaching and practice using relevant digital devices and platforms. The essence of e-teaching is to motivate and direct teachers to teach cheerfully and effectively (Nakajima & Hori, 2016). On their part, Bakare, Onah and Okereke (2018) stipulated that the e- teaching process and application include web-based teaching, computer-based teaching, video conferencing, teleconferencing and digital collaboration. Diverse approaches and platforms could be used to deliver e-teaching instructions. For instance, e-teaching could be delivered through the Internet, audio-tape, satellite television, CD-ROM, YouTube, video tapes, social media platforms, etc. Most institutions of higher learning across the globe adopt e-technologies primarily to serve complementary purposes and not as substitutes for face-to-face interactions or for intensive web- enhanced teaching (Bates & Sangra, 2011; Guri-Rosenblit, 2010; Guri-Rosenblit & Gros, 2011). E- teaching works simultaneously with e-learning. E-learning refers to the act of transmitting and receiving educational instructions by students for knowledge accumulation via electronic media aimed at providing a platform for quality educational contributions that can advance academic pursuits (Owo & Ajie, 2020). According to Adeoye, Adanikin and Adanikin (2020), e-learning specifies an electronic method of learning associated with online learning in an interactive interface at the convenience of both the learners and lecturers. Furthermore, Oyeniran et al, (2020) view e-learning as the introduction of new communication technologies in higher education in Nigeria for positive interactions between lecturers and students for progressive educational activities at different locations. According to Akpomi, et al, (2020), e-learning encourages students’ knowledge upgrading without difficulty, since they can access educational materials online right in the comforts of their residence. Thus, the global implementation of digital technologies in higher educational institutions are directed towards students’ active learning (Alexander et al, 2017; Andrews & Haythornthwaite, 2009; Bates & Sangra, 2011; Guri-Rosenblit, 2009; Harasim, 2000; Johnson et al, 2016). E-Teaching and E-Learning Technologies Application in Nigerian Universities The use of information and communication devices, systems and tools by teachers for meaningful teaching is known as e-teaching. E-teaching encompasses the use of digital technology in presenting a concept, placing the concept in various contexts, creating links with existing knowledge and leading discussion that probes students’ understanding of the concept and its context (Nakajima & Hori, 2016). According to Naidu (2006), e-teaching is commonly referred to as the use of networked information and communication technology for teaching by the teacher. Similarly, Carmona (2006) posited that e-teaching is the use of information and communication technologies (ICTs) to enhance the art of teaching. E-teaching is a platform enabling teachers and students to collaborate and interact in real time (synchronous) and asynchronous modes (Economy, Finance, Technology, 2009). E-teaching simply involves the use of computers, the Internet and other electronic devices and media to transfer knowledge and skills from a teacher to learner(s). E-teaching is basically fun and attention holding especially when used to teach young people. E-teaching in higher education covers multiple possibilities, including the interactions between the learners, teacher and a growing range of technologies available (Donnelley & McSweeney, 2009). E-teaching enables students to exercise full control of their own learning. Bakare, Onah and Okereke (2018) reported that in e-teaching, the teacher serves as an interface between e-teaching facilities and the learners for meaningful academic instruction. Some researchers are of the view that the integration of technology into instruction, if appropriately implemented, would bring about a positive impact on students’ academic achievements. Computers, electronic white boards, internets, social media platforms, among others are vital tools and avenues adopted in the transmission of information in e-teaching. These devices are effective media in e- teaching. Similarly, Glover and Miller (2002) stated that one important feature of e-teaching is its similarity to the multi-media, sensory and faceted styles which makes it a standard for multi-literacy teaching and learning. Furthermore, McCormick and Scrimshaw (2001) remarked that e-teaching makes reliable teaching contents readily available everywhere and every time at an affordable rate. Also, Allen and Seaman (2008) said that e-teaching enables a lecturer to repeat one lesson to different groups of students at 316 different times and locations. It also streamlines the delivery cycle for lecturers and lowers expenses incurred at each period of their service delivery. E-Teaching and E-Learning Technologies Application in Nigerian Universities Although we cannot rule out the need for traditional education in higher education, e-learning has numerous benefits such as continuous learning outside the school campus, sharing of academic experiences from peers and colleagues, easy access to important educational information at any point in time, and quality research among others. According to Eze, Chinedu-Eze and Bello (2018), e- learning education is concerned with the all-inclusive integration of modern telecommunication equipment and ICT resources into the education system for quality teaching, learning and research. Consequently, e-teaching and e-learning usage in Nigerian universities are channeled towards the establishment of an educational digital framework, in which both teachers and students interact and communicate effectively for the purpose of continuous learning and research in the Nigerian university system for quality human capacity development. While e-learning focuses on the students’ academic achievements through personal involvement and commitment, e-teaching is directly used by teachers to pass academic instructions to learners. 317 Theoretical Framework This study which is titled “Perception of Educational Stakeholders on the Utilization of e-learning Technology for Quality Instructional Delivery in Universities in Nigeria” was anchored in the theory of connectivism. Connectivism theory is considered most appropriate to the present study as it involves the integration of digital technologies into educational pedagogy with a view to making teaching and learning more vibrant, accessible and cost-effective. Connectivism theory is one that explains the utilization of technology in education. It is a pedagogical approach that afford learners the opportunity of connecting with one another via technologies, internet networks and teamwork tools. Connectivism is an epistemological approach grounded in the interactions within networks (Downes, 2012). Thus, since connectivism theory sees learning as a process of connecting information sources or specialised nodes for knowledge acquisition and information sharing, it, therefore, has direct application to the present study. Downes studied connective knowledge and characterised it as interactive knowledge of a connection within a network (Downes, 2005). Connectivism, therefore, is seen as a network theory for teaching and learning in a connected world (Bell, 2009). Siemens (2004) suggested connectivism as a learning theory for the digital age. Siemens further posited that connectivism is a theory that succeeds the earlier learning theories of behaviourism, cognitivism and constructivism. The concept of network is prominent in the theory of connectivism that characterises knowledge as a flow through a network of humans and non-humans (artefacts). A network comprises connections between entities (nodes), where the nodes can be individuals, groups, systems, fields, ideas, resources or communities. Online learning has a long history reaching back to the first online technologies such as electronic mail and computer conferencing systems, and this formed the basis of modern digital education also known as e-learning. Siemens (2004:3) summarises the main principles of connectivism thus: • Learning and knowledge rests in diversity of opinions. • Learning is a process of connecting specialised nodes or information sources. • Learning may reside in non-human appliances. • Capacity to know more is more critical than what is currently known. • Nurturing and maintaining connections is needed to facilitate continual lea • Ability to see connections between fields, ideas, and concepts is a core skill. • Currency (accurate, up-to-date knowledge) is the intent of all connectivist le • Decision-making is itself a learning process. Theoretical Framework • Make explicit the concept of connectivism in student support activities so that they can exploit it in their own independent learning • Make explicit the concept of connectivism in student support activities so that • Make explicit the concept of connectivism in student support activities so that they can exploit it in their own independent learning. • Make explicit the concept of connectivism in student su they can exploit it in their own independent learning. they can exploit it in their own independent learning. Thus, from the foregoing, we can truly see that the theory of connectivism had a direct bearing with the present study, which is anchored in the perception of educational stakeholders on the utilization of e-teaching and learning for university education in Nigeria. Thus, for lecturers and students to actively apply digital technology quality instruction and learning interactions in Nigerian universities, the requisite ICT (digital) facilities must be made available in the universities. Also, both lecturers and students must possess adequate communication technology skills capable of enhancing their operational efficiency in digitalised learning for knowledge acquisition and transfer through interconnected systems. Theoretical Framework Choosing what to learn and the meaning of incoming information is seen through the lens of a shifting reality. While there is a right answer now, it may be wrong tomorrow due to alterations in the information climate affecting the decision. Consequently, Siemens and Downes further stated that connectivism proposes that knowledge is distributed across a network of connections, and, therefore, learning consists of the ability to construct and traverse those networks. The attractiveness and accessibility of the theory of connectivism makes it a good option for structuring innovation by educators in their practice. One implication of students 318 becoming connected learners is that learning will neither be confined to the physical classroom nor to the virtual classroom, within the institutional virtual learning environment (Barnett, et al, 2013). This implies that students and teachers do not necessarily need to be in the same place for teaching and learning to take place. Students can be engaged as they acquire the 21st-century learning skills that are needed to make effective use of technologies that are emerging for use within classrooms and the workplace (Educause, 2008). Another benefit of connectivism, according to Cormier (2008), is that it permits a community of people (working with learning technologies) to legitimise what they are doing. Educators wishing to extend the use of social media within their practice can refine and spread knowledge more quickly through membership of multiple online communities. Another implication of connectivism is that educational resources are open and available to use, often with Creative Commons Licenses that permit sharing, creating and remixing media (Bell, 2009). According to Bell (2009:7), the following six steps will help any educator/teacher who wishes to adopt connectivism theory to achieve effective results in any form of online education: According to Bell (2009:7), the following six steps will help any educator/teacher who wishes to adopt connectivism theory to achieve effective results in any form of online education: • Follow the blogs of those who innovate/advance with educational technologie • Experiment (within your comfort zone) with web services and tools that might enrich teaching and learning in your practice. • Use, publish and share resources through blogs, wikis, photo and video sharing sites. • Encourage students to use the web for scholarly resources — being critical and selective, and attributing sources. • Assign students, activities that empower effective use of media to report process and, where appropriate, outcomes. Validity of the Instruments The questionnaire was face and content validated by two experts in technology education from Nnamdi Azikiwe University, Awka, Anambra State and University of Uyo, Akwa Ibom State, Nigeria. Research Design This study adopted descriptive survey design. In descriptive design, as in this study, there was no manipulation of the independent variables (Akaninwor, 2014). Data Collection Instruments The research instrument for data collection was a 25–item, self-structured questionnaire designed by the authors and titled “Perception of Educational Stakeholders on E-learning Utilization in Universities Questionnaire (PESEUUQ)”, constructed on a 5-point mean rating scale of Very Adequate (VA), Adequate (A), Undecided (U), Inadequate (IA) and Very Inadequate (VI) with corresponding numerical values of 5, 4, 3, 2 and 1, respectively. The questionnaire was made up of two parts. Part one elicits information on the personal data of respondents as well as their categories, while part two contains direct structured questions on ICT facilities present in Nigerian universities as well as ICT skills possessed by lecturers and students in Nigerian universities for quality e-learning. Reliability of the Instrument The reliability of the instrument was ascertained via test re-test method. Simple Random Sampling Technique was used to select 12 technology education lecturers and 16 technology education students from the population which are not part of the sample. Copies of the instrument were administered to the 12 lecturers and 16 students. After two weeks’ interval, the same instrument was re-administered to the same group. The initial test and re-test scores of the sample were correlated using Cronbach’s Alpha method. Reliability coefficients of 0.94 and 0.78 respectively were established for the two sections of the instrument. Thus, these figures proved that the instrument was reliable. Research Framework In this research, the following ICT facilities were considered: PC computers, laptop computers, Internet accessories and services, printers, scanners, e-library, ICT centres, overhead projectors, webcam, interactive board, video conferencing media, wireless technology, e-mailing platforms, computer laboratories, iPads, power supply plant, A-4 paper, light pen, and wireless microphones, among others. Similarly, the ICT skills considered to be vital in the utilisation of e-learning technologies in instructional delivery in Nigerian universities include general computer appreciation skills, data analytical skills, e-conferencing skills, online seminar presentation skills, skills in the use of MS Word, MS Excel, MS PowerPoint, MS Access, browsing skills, photo shopping skills, e-library 319 skills, blog development skills, social media and networking skills, Zoom and Google Scholar application skills, document scanning, conversion and resizing skills, among others. skills, blog development skills, social media and networking skills, Zoom and Google Scholar application skills, document scanning, conversion and resizing skills, among others. Sampling and Sampling Techniques Purposive sampling was used to select a total of 34 lecturers and 138 final-year students of technology education from Rivers State University, Port Harcourt and Ignatius Ajuru University of Education, Rumuolumeni, Port Harcourt, Nigeria as the sample of the study. Data Collection Procedures A total of 172 copies of the research instrument (questionnaire) were distributed to the respondents by the researchers and two research assistants. Out of the total questionnaires administered, 168 (44 lecturers and 124 students), representing 97.7%, were retrieved from the respondents after being duly filled out. The research assistants helped the researchers in distributing the questionnaire as well as retrieving same after being duly filled out by the respondents. 320 Results 321 Table 1 shows that both lecturers and students believed that universities in Nigeria have adequate computer laboratory, e-library, public address systems, and functional e-mailing platforms. This is seen from the Mean responses of both categories of respondents which are above the cut-off Mean of 3.00. Similarly, both lecturers and students were of the view that universities lack a constant power supply, Internet services, overhead-projectors, a computer studio, and interactive boards, among others. This was evidenced by the Mean of these items, which fell below the cut-off Mean of 3.00. On the other hand, the lecturers and students differ in their views about the availability of e-conferencing media in universities in Nigeria. While lecturers responded positively with an average Mean of 3.04, the students responded negatively with an average Mean of 2.97. Research Question 2: What are the perceptions of lecturers and students on the adequacy of ICT skills development among teachers and learners for the utilization e-learning technology in universities in Nigeria? Table 2: Perceptions of Lecturers and Students on the Adequacy of ICT Skills Development among Teachers and Learners S/N Item Statement Lecturers Students SD1 Decision SD2 Decision 1 I present academic seminars online. 3.76 0.83 Agree 2.74 0.67 Disagree 2 I participate in e-conferencing. 4.21 0.98 Agree 2.40 0.93 Disagree 3 I use computers for file formatting and document preparations. 3.88 0.81 Agree 4.06 0.89 Agree 4 I use computers for mathematical computations and data presentations. 4.15 0.78 Agree 4.65 0.71 Agree 5 I use computers for browsing and information gathering. 3.94 0.89 Agree 4.84 1.05 Agree 6 I actively participate in online group discussions platforms like blogs. 3.32 0.77 Agree 4.26 0.92 Agree 7 I use interactive boards for information sharing and discussion. 2.65 0.98 Disagree 2.82 1.22 Disagree 8 I can do photo-shopping and file transfers as well as document sharing. 2.78 1.14 Disagree 3.96 1.05 Agree 9 I send mails electronically to people. 4.53 1.24 Agree 4.46 1.23 Agree 10 I use educational platforms like Academia, Research Gate, Google Scholar, etc. 3.42 1.15 Agree 2.73 1.08 Disagree 11 I make good use of social media for learning and information sharing. 3.84 1.09 Agree 4.66 1.24 Agree 12 I use the Internet for online education and skills acquisition. 3.41 1.35 Agree 3.79 1.13 Agree 13 I can perform window operations on personal computers and laptops. Results Data for answering the two research questions were analysed using the Mean and standard deviation. The decision to accept or reject any item in the questionnaire was based on the Mean rating of the item. Analysing the research questions, any item in the questionnaire with a calculated Mean value equal to or greater than 3.00 was accepted, while any item with a calculated Mean value less than 3.00 was rejected. Standard deviation values that were close or wide apart were used to determine homogeneity in the responses of the respondents. Research Question 1: What are the perceptions of lecturers and students of the adequacy of ICT facilities available for quality instructional delivery via e-learning in universities in Nigeria? Table 1: Perceptions of Lecturers and Students on the Adequacy of ICT Facilities in Universities S/N Item Statement Lecturers Students SD1 Decision SD2 Decision 1 Universities in Rivers State have well- equipped e-libraries. 3.76 0.58 Agree 4.08 0.97 Agree 2 Universities in Rivers State have functional ICT centres. 4.21 0.91 Agree 3.72 0.81 Agree 3 Universities in Rivers State have steady internet services. 2.48 0.81 Disagree 2.11 0.95 Disagree 4 Universities in Rivers State have computer laboratories. 4.22 0.79 Agree 3.94 0.83 Agree 5 Universities in Rivers State have adequate video conferencing media. 3.04 0.63 Agree 2.97 1.05 Disagree 6 Universities in Rivers State have/do not have constant power supply 4.01 0.77 Agree 3.26 0.91 Agree 7 Universities in Rivers State have interactive board. 2.65 0.74 Disagree 2.82 1.02 Disagree 8 Universities in Rivers State have public address systems. 3.68 1.14 Agree 3.96 1.05 Agree 9 Universities in Rivers State have computer accessories such as power cords, scanners, printers, flash drives, etc. 3.53 0.88 Agree 4.06 1.11 Agree 10 Universities in Rivers State have an adequate number of overhead projectors. 2.32 1.30 Disagree 2.88 0.63 Disagree 11 Universities in Rivers State have functional e-mailing platforms. 4.74 1.08 Agree 4.26 1.24 Agree 12 Universities in Rivers State have a well- equipped computer studio. 2.41 1.35 Disagree 2.24 1.03 Disagree Grand Mean and Standard Deviation 4.11 1.10 4.03 1.16 Source: Researchers’ Field Survey, 2020. 1 X 2 X ptions of Lecturers and Students on the Adequacy of ICT Facilities in Universities Table 1: Perceptions of Lecturers and Students on the Adequacy of ICT Facilities Source: Researchers’ Field Survey, 2020. Source: Researchers’ Field Survey, 2020. Results 3.92 0.88 Agree 4.22 1.05 Agree Grand Mean and Standard Deviation 4.78 1.23 4.96 1.32 So rce Researchers’ Field S r e 2020 1 X 2 X ons of Lecturers and Students on the Adequacy of ICT Skills Development among rners Table 2: Perceptions of Lecturers and Students on the Adequacy of ICT Skills Dev Teachers and Learners Source: Researchers’ Field Survey, 2020. 322 Table 2 reveals that both categories of respondents reported that they use computers for document preparation, mathematical computations, e-mailing, browsing and online discussions, and social media interactions, among others. This was seen in their Mean scores, which were above the criterion Mean of 3.00. Both groups of respondents also stated that they never use interactive boards for teaching and learning as seen in their Mean scores of 2.65 and 2.82, respectively. However, they share contrary views concerning online seminars, e-conferencing, photo-shopping, educational platforms such as Google Scholar, Academia, Research Gate, Mendeley, etc. ilability of Information and Communication Technology Facilities in Nigerian Un The finding of the study, according to Table 1, reveals that both lecturers and students agreed that universities in Rivers State, Nigeria have effective e-libraries, functional information and communication technology centres, computer laboratories, public address systems, and e-mailing platforms among other ICT facilities. Thus, the result in Table 1 reveals that there is a bond between ICT facilities availability and usage in Nigerian universities. Consequently, both the lecturers and students believed that digital facilities are needed for effective online education in Nigerian universities. This finding agrees with Adeoye et al (2020) who stated that e-teaching and learning processes and application include Web-based teaching, computer-based teaching, video conferencing, teleconferencing and digital collaboration and, as such, would require that these digital facilities be available in universities for effective online education, which could be delivered via Internet; audio- tape; satellite television and CD-ROM. On the other hand, the finding, according to Table 1, was in contrast with Adeoye, Adanikin and Adanikin (2020) who posited that Nigerian universities lack an adequate power supply and other ICT facilities, which adversely affect e-learning. Thus, the Nigerian government and universities management should ensure an adequate supply of ICT facilities in universities as no effective e-learning (online education) activity can thrive without these facilities. Information and Communication Technology Skills Development among University Lecturers and Students Table 2 indicates that both lecturers and students lacked ICT skills in universities in Rivers State, Nigeria. Thus, the inadequate possession of ICT skills by lecturers and students negatively affect the use of e-learning platforms for instructional delivery in Nigerian universities. This finding agrees with Adeoye et al (2020) who submitted that one major challenge facing e-learning in Nigeria is the inability of lecturers to assist students to develop the requisite digital skills and training needed to make e-learning platforms effective, owing to their poor ICT skills development. Similarly, this finding corroborated the views of the Institute of Education, University of Nigeria, Nsukka (2013), which reported that the current trend of globalisation requires that university lecturers need to be ICT-compliant so as to produce graduates with skills and competencies needed in a digital workplace. Thus, since the theory of connectivism is preferred to other educational theories owing to its unrestricted accessibility to information and knowledge acquisition for manpower development, there is a great need for university lecturers and students to develop skills in ICT as without these digital technology skills, electronic teaching and learning will not thrive in the Nigerian university system. 323 Conclusion and Recommendations E-teaching and e-learning are effective avenues for achieving online instructional delivery and interactions among lecturers and students in universities across the globe, especially during long school closures. Thus, it is important that universities in Nigeria adopt e-learning to complement the face-to-face interaction mode for quality teaching and learning, since the former provides unrestricted access to vast educational resources available on the World Wide Web, and it can actually boost human capacity development among educational stakeholders including university teachers and students, as learning can take place anywhere so long as Internet connectivity is established. Based on the findings of the study, it was recommended that both the government and university authorities should provide adequate ICT facilities as well as engage in continuous professional development of lecturers for quality e-learning in Nigerian universities. References Adeoye, I. A., Adanikin, A. F. & Adanikin, A. (2020). COVID-19 and e-learning: Nigeria tertiary education system experience. International Journal of Research and Innovation in Applied Science, 5(5), 28-31. Adiele, E. E., Leigha, M. B. & Abraham, L. 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Connected teaching and learning: The uses and implications of connectivism in an online class. Australasian Journal of Educational Technology, 29(5), 685-698. 324 Bates, A. W., & Sangra, A. (2011). Managing technology in higher education: Strategies for transforming teaching and learning. Jossey Bass. Bell, F. (2009). Connectivism: A network theory for teaching and learning in a connected world. University of Salford, Manchester, United Kingdom. http://usir.salford.ac.uk/2569/ Benson, R., & Brack, C. (2009). Developing the scholarship of teaching: What is the role of e-teaching and learning? Teaching in Higher Education, 14(1), 71-80. doi:10.1080/13562510802602590 Cormier, D. (2008). References Rhizomatic education: Community as curriculum. Innovate, 4(5). http://davecormier.com/edblog/2008/06/03/rhizomatic-educationcommunity-as-curriculum/ Donnelley, R., & McSweeney, F. (2009). Applied e-learning and e-teaching in education. Information Science Reference. Downes, S. (2012). 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Education and training of youths: A panacea for sustainable Development of Andoni (Obolo) Nation in Niger Delta, Nigeria. The International Journal of Humanities and Social Studies, 8(2), 142-146. doi: 10.24940/theijhss/2020/v8/i2/HS2002-069 Owo, O. T., & Ajie, P. M. (2020). Impediments to effective utilization of e-learning platforms for quality teaching and learning in universities in Niger-Delta, Nigeria. International Journal of Innovative Research and Development, 9(7), 128-133. doi: 10.24940/ijird/2020/v9/i7/JUL20021 Oyeniran, O. A., Oyeniran, S. T., Oyeniyi, J. O., Ogundele, R. A., & Ojo, A. O. (2020). E-Learning: Advancement in Nigerian pedagogy amid Covid-19 pandemic. International Journal of Multidisciplinary Sciences and Advanced Technology, 1, 85-94. Siemens, G. (2004). Connectivism: A learning theory for the digital age. http://www.elearnspace.org/Articles/connectivism.htm United Nations Education Scientific and Cultural Organization (2020). COVID-19 educational disruption and response. https://en.unesco.org/covid19/educationresponse Wineburg, S., McGrew, S., Breakstone, J., & Ortega, T. (2016). Evaluating information: The cornerstone of civic online reasoning. Stanford Digital Repository. http://purl.stanford.edu/fv751yt5934 Cite this paper as: Owo, O. T., & Udoka, I. C. N. (2021). Perception of educational stakeholders on utilization of e-learning technology for quality instructional delivery in universities in Nigeria. Journal of Learning for Development, 8(2), 312-326. Authors: Offia Tugwell Owo is a PhD candidate, Department of Vocational and Technology Education, Rivers State University, Port Harcourt, Nigeria. Email: tugwellowo@yahoo.com Offia Tugwell Owo is a PhD candidate, Department of Vocational and Technology Education, Rivers State University, Port Harcourt, Nigeria. Email: tugwellowo@yahoo.com Isaac C. N. Udoka is a Lecturer, Department of Electrical/Electronics Technology, Federal College of Education (Technical), Omoku, Nigeria. Email: udoudondu@yahoo.com Isaac C. N. Udoka is a Lecturer, Department of Electrical/Electronics Technology, Federal College of Education (Technical), Omoku, Nigeria. Email: udoudondu@yahoo.com Cite this paper as: Owo, O. T., & Udoka, I. C. N. (2021). Perception of educational stakeholders on utilization of e-learning technology for quality instructional delivery in universities in Nigeria. Journal of Learning for Development, 8(2), 312-326. 326
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Evolving Agriculture and Food – Opening up Biodynamic Research
Open Agriculture
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Christopher Brock, Petra Derkzen, Jürgen Fritz, Anet Spengler Neff, Jean-Michel Florin, Ueli Hurter, Verena Wahl Evolving Agriculture and Food – Opening up Biodynamic Research https://doi.org/10.1515/opag-2019-0079 done in biodynamic food and farming research since the emergence of that production system. The examination and assessment of biodynamic food and farming with methods from the scientific framework of natural sciences is only one part of the research landscape, while the other part is connected to a particular, indigenous epistemology of anthroposophy. It is important to note that the episte- mology of anthroposophy does not exclude, but include the methods of natural sciences. In other words: the epis- temology of natural sciences is fully comprehensible by anthroposophy, but anthroposophy is not fully compre- hensible by natural sciences. The co-production of knowl- edge with scientific and ‘indigenous’ knowledge systems is well-established in the biodynamic sector. Biodynamic farming is a growing movement with a high reputation among farmers and consumers. It is rooted in anthroposophy, an ontological system introduced by Rudolf Steiner (1861-1925) in the early 20th century. As such, biodynamic farming has a strong spiritual com- ponent, and both processes and effects are assumed to occur not only on the physical, but also on a metaphysical level. For example, the effect of the biodynamic prepara- tions -defined natural remedies that are considered a core element of biodynamic farming- is explained by a facilita- tion of cosmic forces. Physical effects of the preparations can be measured with scientific methods, but the pre- sumed mode of effect is not comprehensible with natural sciences until now. However, it is not surprising that scientific research in biodynamic food and farming has usually addressed physical traits and effects until now, even though there have been successful attempts to elaborate methods that both allow for a more holistic assessment of effects, and meet the requirements of scientific methodology. The situation of research in biodynamic farming there- fore has much in common with the situation of research on traditional ecological knowledge: In both cases, phys- ical traits and effects are comprehensible by the western scientific knowledge system, while the explanation for the effects is provided by a particular or indigenous knowl- edge system. The epistemological differences between the two knowledge systems usually prevent an integrated application, but it is possible to co-produce knowledge in a complementary way (Berkes 2009). Open Agriculture. 2019; 4: 803-804 opher Brock et al., published by De Gruyter. This work is licensed under the Creative Commons Attribution . Open Access. ©  Christopher Brock et al., published by De Gruyter. This work is licensed under the Creative Commons Attribution . Public License. This work is licensed under the Creative Commons Attribution . Further, van Diest discusses the role of intuition in farmers’ decisions making and speaks up for an apprecia- tion of intuition as a key factor in the sustainable manage- ment of farms. The author points out that intuition is not an unchangeable personal talent, but can be trained and developed as other abilities. Last, Brock et al. sum up scientific research in biody- namic food and farming between 2006 and 2018 based on a review of papers that have been published in peer-re- viewed journals. Altogether, the papers in this special issue show that scientific research in biodynamic food and farming is evolving to examine the proposed effects of this produc- tion system, being aware of the fact that the epistemologi- cal approach of natural sciences cannot capture the onto- logical system and the corresponding assumptions. Another important issue not only in the biodynamic sector, but in the whole organic farming community is to adapt breeding of plants and animals to the conditions and requirements of organic farming systems. Goldstein et al. (2) present achievements in this field from a maize breeding programme in the Midwestern USA. We are looking forward for research in biodynamic food and farming to bridge this gap in the future. Three papers do not explicitly address biodynamic issues, but issues that fit into the larger picture of biody- namic management. The paper of Babalola underlines the benefit of compost application for soil health and crop yield in an organic tomato production system in Nigeria. Singh et al. show how a farm as a whole can benefit from mindful water management, which can be seen as a col- lateral study of the farm as an organism. And, Zeise and Fritz show that homeopathic treatments are effective against bovine mastitis. Re [1] [2] Christopher Brock, Petra Derkzen, Jürgen Fritz, Anet Spengler Neff, Jean-Michel Florin, Ueli Hurter, Verena Wahl Evolving Agriculture and Food – Opening up Biodynamic Research This is what is In this special issue, we present papers based on con- tributions to the first international conference on research in biodynamic food and farming held in Dornach, Switzer- land, from Sept 5th to Sept 8th 2018. Altogether, twelve papers have been accepted for pub- lication. Four papers (Vaitkevičienė et al.; Goldstein et al. (1); Rodas-Gaitán et al.; Juknevičienė et al.) study effects of the biodynamic preparations on physical traits of soils, compost and/or crops. All papers found significant effects of the preparations at least in single parameters. Further, Grundmann and Baumgartner examined the effects of eurythmic movements on apples, and found significant differences in some sensorical parameters. *Corresponding author: Christopher Brock, Forschungsring e.V., Brandschneise 5, 64295 Darmstadt, Germany, E-mail: xxxxxx Petra Derkzen, Demeter International e.V., Brandschneise 1, 64295 Darmstadt, Germany Jürgen Fritz, University of Kassel, Dept. of Organic Farming and Cropping Systems, Nordbahnhofstr. 1a, 37213 Witzenhausen, Germany Anet Spengler Neff, Research Institute of Organic Agriculture FIBL, Dept. of Livestock Sciences, Ackerstrasse 113, 5070 Frick, Switzer- land Jean-Michel Florin, Ueli Hurter, Verena Wahl, Section for Agriculture at the Goetheanum, Hügelweg 59, 4143 Dornach, Switzerland Open Access © Christopher Brock et al published by De Gruyter *Corresponding author: Christopher Brock, Forschungsring e.V., Brandschneise 5, 64295 Darmstadt, Germany, E-mail: xxxxxx Petra Derkzen, Demeter International e.V., Brandschneise 1, 64295 Darmstadt, Germany Jürgen Fritz, University of Kassel, Dept. of Organic Farming and Cropping Systems, Nordbahnhofstr. 1a, 37213 Witzenhausen, Germany Anet Spengler Neff, Research Institute of Organic Agriculture FIBL, Dept. of Livestock Sciences, Ackerstrasse 113, 5070 Frick, Switzer- land Jean-Michel Florin, Ueli Hurter, Verena Wahl, Section for Agriculture at the Goetheanum, Hügelweg 59, 4143 Dornach, Switzerland Stolz et al. introduce the measurement of delayed luminescence by Fluorescence Excitation Spectroscopy as a new method for the analysis of sample traits on a more holistic level. According to this paper, the method can capture differences between samples that must not show up in chemical analyses. Jean-Michel Florin, Ueli Hurter, Verena Wahl, Section for Agriculture at the Goetheanum, Hügelweg 59, 4143 Dornach, Switzerland Open Access. ©  Christopher Brock et al., published by De Gruyter. This work is licensed under the Creative Commons Attribution . Public License. [1] Berkes F., Indigenous ways of knowing and the study of environmental change, Journal of the Royal Society of New Zealand, 2009, 39, 151-156 [2] Steiner R., Geisteswissenschaftliche Grundlagen zum Gedeihen der Landwirtschaft [Spiritual Foundations for a Renewal of Agriculture], 2011 (1925), Rudolf Steiner Verlag, Dornach, Switzerland, ISBN 978-3-7274-6400-3
https://openalex.org/W2225920471
https://journals.iucr.org/e/issues/2010/09/00/lh5122/lh5122.pdf
English
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Absolute configuration of odorine
Acta crystallographica. Section E
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‡ Thomson Reuters ResearcherID: A-3561-2009. § Additional correspondence author, e-mail: suchada.c@psu.ac.th. Thomson Reuters ResearcherID: A-5085-2009. Hoong-Kun Fun,a*‡ Suchada Chantrapromma,b§ Orapun Yodsaouec and Chatchanok Karalaic aX-ray Crystallography Unit, School of Physics, Universiti Sains Malaysia, 11800 USM, Penang, Malaysia, bCrystal Materials Research Unit, Department of Chemistry, Faculty of Science, Prince of Songkla University, Hat-Yai, Songkhla 90112, Thailand, and cDepartment of Chemistry, Faculty of Science, Prince of Songkla University, Hat-Yai, Songkhla 90112, Thailand Correspondence e-mail: hkfun@usm.my V = 1657.43 (4) A˚ 3 Z = 4 Cu K radiation  = 0.63 mm1 T = 100 K 0.57  0.16  0.13 mm V = 1657.43 (4) A˚ 3 Z = 4 Cu K radiation  = 0.63 mm1 T = 100 K 0.57  0.16  0.13 mm Received 16 August 2010; accepted 25 August 2010 Received 16 August 2010; accepted 25 August 2010 Key indicators: single-crystal X-ray study; T = 100 K; mean (C–C) = 0.002 A˚; R factor = 0.033; wR factor = 0.096; data-to-parameter ratio = 12.8. The title compound, known as odorine or roxburghiline {systematic name: (S)-N-[(R)-1-cinnamoylpyrrolidin-2-yl]-2- methylbutanamide}, C18H24N2O2, is a nitrogenous compound isolated from the leaves of Aglaia odorata. The absolute configuration was determined by refinement of the Flack parameter with data collected using Cu K radiation showing positions 2 and 20 to be S and R, respectively. The pyrrolidine ring adopts an envelope conformation. In the crystal, molecules are linked into chains along [010] by intermolecular N—H  O hydrogen bonds. organic compounds Acta Crystallographica Section E Acta Crystallographica Section E Structure Reports Online ISSN 1600-5368 Acta Crystallographica Section E Structure Reports uration of odorine uchada Chantrapromma,b§ Orapun hanok Karalaic ool of Physics, Universiti Sains Malaysia, 11800 Materials Research Unit, Department of Chemistry, gkla University, Hat-Yai, Songkhla 90112, Thailand, ISSN 1600-5368 Acta Cryst. (2010). E66, o2437–o2438 Related literature For ring conformations, see: Cremer & Pople (1975). For standard bond-length data, see: Allen et al. (1987). For back- ground to the Aglaia plants and their biological activity, see: Brader et al. (1998); Cui et al. (1997); Engelmeier et al. (2000); Hayashi et al. (1982); Inada et al. (2001); Nugroho et al. (1999); Purushothaman et al. 1979); Saifah et al. (1993); Shiengthong et al. (1979). For related structures, see: Babidge et al. (1980); Dumontet et al. (1996); Hayashi et al. (1982). For the stability of the temperature controller used in the data collection, see Cosier & Glazer (1986). Table 1 Hydrogen-bond geometry (A˚ , ). D—H  A D—H H  A D  A D—H  A N2—H1N2  O1i 0.81 (2) 2.09 (2) 2.8789 (16) 163 (2) Symmetry code: (i) x þ 3 2; y  1 2; z þ 1. Table 1 Hydrogen-bond geometry (A˚ , ). D—H  A D—H H  A D  A D—H  A N2—H1N2  O1i 0.81 (2) 2.09 (2) 2.8789 (16) 163 (2) Symmetry code: (i) x þ 3 2; y  1 2; z þ 1. Data collection: APEX2 (Bruker, 2009); cell refinement: SAINT (Bruker, 2009); data reduction: SAINT; program(s) used to solve structure: SHELXTL (Sheldrick, 2008); program(s) used to refine structure: SHELXTL; molecular graphics: SHELXTL; software used to prepare material for publication: SHELXTL and PLATON (Spek, 2009). OY thanks the Office of the Higher Education Commission, Thailand, for support by grant funding under the program Strategic Scholarships for Frontier Research Network for the Joint PhD Program Thai Doctoral degree. The authors thank the Thailand Research Fund (BRG5280013) and Prince of Songkla University for financial support. The authors also Fun et al. o2437 o2437 Fun et al. doi:10.1107/S1600536810034227 Supplementary data and figures for this paper are available from the IUCr electronic archives (Reference: LH5122). Engelmeier, D., Hadacek, F., Pacher, T., Vajrodaya, S. & Harald, G. (2000). J. Agric. Food Chem. 48, 1400–1404. Flack, H. D. (1983). Acta Cryst. A39, 876–881. Hayashi, N., Lee, K.-H., Hall, I. H., McPhail, A. T. & Huan-Chang, H. (1982). Phytochemistry, 21, 2371–2373. Inada, A., Nishino, H., Kuchide, M., Takayasu, J., Mukainaka, T., Nobukuni, Y., Okuda, M. & Tokuda, H. (2001). Biol. Pharm. Bull. 24, 1282–1285. Acta Cryst. (2010). E66, o2437–o2438 organic compounds thank Universiti Sains Malaysia for the Research University Golden Goose grant No. 1001/PFIZIK/811012. Cui, B., Chai, H., Santisuk, T., Reutrakul, V., Farnsworth, N. R., Cordell, G. A., Pezzuto, J. M. & Kinghorn, A. D. (1997). Tetrahedron. 53, 17625–17632. g ( ) Dumontet, V., Thoison, O., Omobuwajo, O. R., Martin, M. T., Perromat, G., Dumontet, V., Thoison, O., Omobuwajo, O. R., Martin, M. T., Perromat, G., Chiaroni, A., Riche, C., Paı¨s, M. & Se´venet, T. (1996). Tetrahedron, 52, 6931–6942. Supplementary data and figures for this paper are available from the IUCr electronic archives (Reference: LH5122). Cosier, J. & Glazer, A. M. (1986). J. Appl. Cryst. 19, 105–107. Allen, F. H., Kennard, O., Watson, D. G., Brammer, L., Orpen, A. G. & Taylor, R. (1987). J. Chem. Soc. Perkin Trans. 2, pp. S1–19. Babidge, P. J., Massy-Westropp, R. A., Pyne, S. G., Shiengthong, D., Ungphakorn, A. & Veerachat, G. (1980). Aust. J. Chem. 33, 1841–1845. Brader, G., Vajrodaya, S., Greger, H., Bacher, M., Kalchhauser, H. & Hofer, O. (1998). J. Nat. Prod. 61, 1482–1490. Bruker (2009). APEX2, SAINT and SADABS. Bruker AXS Inc., Madison, Wisconsin, USA. Cosier, J. & Glazer, A. M. (1986). J. Appl. Cryst. 19, 105–107. Cremer, D. & Pople, J. A. (1975). J. Am. Chem. Soc. 97, 1354–1358. S1. Comment Several species of the genus Aglaia of the family Meliaceae are of ethnomedicinal values and have insecticidal (Brader et al., 1998), antifungal (Engelmeier et al., 2000) and cytotoxic (Saifah et al., 1993; Cui et al., 1997) activities. These interesting activities have prompted us to screen for further bioactive compounds from Aglaia odorata. Aglaia odorata known locally in Thai as "Pra-yong" or "Hom-glai" is a small tree occurring primarily in South-East Asia. The leaves and roots of this plant have been used in local folk medicine as a heart stimulant, febrifuge and to retrieve toxin by causing vomiting. The isolated compounds from this plant also show interesting biological activities such as anticancer (Inada et al., 2001), insecticidal (Nugroho et al., 1999) and anti-leukemic (Hayashi et al., 1982) activities. In the course of our research of chemical constituents and bioactive compounds from the leaves of A. odorata which were collected from Songkhla province in the southern part of Thailand, the title aminopyrrolidine odorine (I), also known as odorine (Shiengthong et al., 1979) or roxburghiline or N-cinnamoyl-2-(2-methylbutanoylamino)pyrrolidine (Purushothaman et al., 1979) was isolated. The previous report showed that (I) possesses cancer-chemopreventive activity (Inada et al., 2001). The absolute configuration of (I) was determined by making use of the anomalous scattering of Cu Kα X-radiation with the Flack parameter being refined to 0.03 (18). We report herein the crystal structure of (I). Fig. 1 shows that the molecule of (I) possesses a 2-aminopyrrolidine ring linked by two amide functions to 2-methyl- butyric acid and cinnamic acid. The pyrrolidine ring adopts an envelope conformation with the puckered C12 atom having a deviation of 0.223 (1) Å and with the puckering parameters Q = 0.3522 (15) Å and θ = 281.3 (2)° (Cremer & Pople, 1975). Atoms of the cinnamoyl (C1–C9/O1) moiety essentially lie on the same plane (r.m.s. 0.0216 (1) Å) with a max. deviation of 0.0583 (1) Å for atom O1. Atoms C13, C14, C15, N2 and O2 lie on the same plane (r.m.s. 0.0216 (1) Å). The mean plane through C13/C14/C15/N2/O2 makes the dihedral angle of 88.80 (7)° with the mean plane through the cinnamoyl moiety. The 2-methylbutanamide chain at C13 is pseudo-axial with the C14–N2–C13–C12 torsion angle = 125.55 (13)°. The orientation of the butyl group is described by the torsion angle C14–C15–C17–C18 = 68.78 (18)°. References Allen, F. H., Kennard, O., Watson, D. G., Brammer, L., Orpen, A. G. & Taylor, R. (1987). J. Chem. Soc. Perkin Trans. 2, pp. S1–19. Babidge, P. J., Massy-Westropp, R. A., Pyne, S. G., Shiengthong, D., Ungphakorn, A. & Veerachat, G. (1980). Aust. J. Chem. 33, 1841–1845. Brader, G., Vajrodaya, S., Greger, H., Bacher, M., Kalchhauser, H. & Hofer, O. (1998). J. Nat. Prod. 61, 1482–1490. Bruker (2009). APEX2, SAINT and SADABS. Bruker AXS Inc., Madison, Wisconsin, USA. Cosier, J. & Glazer, A. M. (1986). J. Appl. Cryst. 19, 105–107. Cremer, D. & Pople, J. A. (1975). J. Am. Chem. Soc. 97, 1354–1358. Allen, F. H., Kennard, O., Watson, D. G., Brammer, L., Orpen, A. G. & Taylor, R. (1987). J. Chem. Soc. Perkin Trans. 2, pp. S1–19. ( ) Nugroho, B. W., Edradaa, R. A., Wrayb, V., Wittec, L., Bringmannd, G., Gehlinge, M. & Prokscha, P. (1999). Phytochemistry, 51, 367–376. Purushothaman, K. K., Sarada, A., Connolly, J. D. & Akinniyi, J. A. (1979). J. Chem. Soc. Perkin Trans 1, pp. 3171–3179. Babidge, P. J., Massy-Westropp, R. A., Pyne, S. G., Shiengthong, D., Ungphakorn, A. & Veerachat, G. (1980). Aust. J. Chem. 33, 1841–1845. Saifah, E., Puripattanavong, J., Likhitwitayawuid, K., Cordell, G. A., Chai, H. & Pezzuto, J. M. (1993). J. Nat. Prod. 56, 473–477. Brader, G., Vajrodaya, S., Greger, H., Bacher, M., Kalchhauser, H. & Hofer, O. (1998). J. Nat. Prod. 61, 1482–1490. Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. Bruker (2009). APEX2, SAINT and SADABS. Bruker AXS Inc., Madison, Wisconsin, USA. Shiengthong, D., Ungphakorn, A., Lewis, D. E. & Massy-Westropp, R. A. (1979). Tetrahedron Lett. 24, 2247–2250. Spek, A. L. (2009). Acta Cryst. D65, 148–155. o2438 Fun et al.  C18H24N2O2 Acta Cryst. (2010). E66, o2437–o2438 supporting information supporting information Acta Cryst. (2010). E66, o2437–o2438 [https://doi.org/10.1107/S1600536810034227] Acta Cryst. (2010). E66, o2437–o2438 [https://doi.org/10.1107/S1600536810034227] Absolute configuration of odorine Absolute configuration of odorine Hoong-Kun Fun, Suchada Chantrapromma, Orapun Yodsaoue and Chatchanok Hoong-Kun Fun, Suchada Chantrapromma, Orapun Yodsaoue and Chatchanok Karalai S1. Comment The bond distances in (I) are within normal ranges (Allen et al., 1987) and comparable with the related structures which are odorinol (Hayashi et al., 1982) and forbaglin A (Dumontet et al., 1996). The absolute configuration at atoms C15 and C13 or positions 2 and 2′ of the odorine are S,R configurations which agree with the previous stereochemistry of odorine (Babidge et al., 1980). In the crystal packing of (I) (Fig. 2), the molecules are linked into chains along [010] through N2—H1N2···O1i hydrogen bonds (Fig. 2 and Table 1). In the crystal packing of (I) (Fig. 2), the molecules are linked into chains along [010] through N2—H1N2···O1i hydrogen bonds (Fig. 2 and Table 1). S2. Experimental supporting information chromatography (QCC) over silica gel using hexane as eluent and increasing polarity with EtOAc and CH3OH to afford 10 fractions (F1-F10). Fraction F10 (231.6 mg) was further separated by column chromatography with acetone-hexane (3:7), yielding the title compound as white solid (15.6 mg). Colorless needle-shaped single crystals of the title compound suitable for x-ray structure determination were recrystallized from CH2Cl2 by the slow evaporation of the solvent at room temperature after several days, Mp. 476-478 K. chromatography (QCC) over silica gel using hexane as eluent and increasing polarity with EtOAc and CH3OH to afford 10 fractions (F1-F10). Fraction F10 (231.6 mg) was further separated by column chromatography with acetone-hexane (3:7), yielding the title compound as white solid (15.6 mg). Colorless needle-shaped single crystals of the title compound suitable for x-ray structure determination were recrystallized from CH2Cl2 by the slow evaporation of the solvent at room temperature after several days, Mp. 476-478 K. S2. Experimental Ground-dried leaves of A. odorata (53.70 g) were extracted with CH2Cl2 and CH3OH (each of 2 x 2 L) for a duration of 3 days at room temperature. The solvents were evaporated under reduced pressure to afford CH2Cl2 (23.50 g) and CH3OH (5.23 g) crude extracts, respectively. The CH2Cl2 crude extract (23.50 g) was further purified by quick column Acta Cryst. (2010). E66, o2437–o2438 sup-1 S3. Refinement The amide H atom was located in a difference map and refined isotropically. The remaining H atoms were placed in calculated positions with (C—H) = 0.98 for CH, 0.97 for CH2 and 0.96 Å for CH3 atoms. The Uiso values were constrained to be 1.5Ueq of the carrier atom for methyl H atoms and 1.2Ueq for the remaining H atoms. A rotating group model was used for the methyl groups. The highest residual electron density peak is located at 0.73 Å from C6 and the deepest hole is located at 0.71 Å from C9. 1036 Friedel pairs were used to determine the absolute configuration. Figure 1 The molecular structure of (I), showing 50% probability displacement ellipsoids and the atom-numbering scheme. Figure 1 The molecular structure of (I), showing 50% probability displacement ellipsoids and the atom-numbering scheme. sup-2 Acta Cryst. (2010). E66, o2437–o2438 supporting information pp g Figure 2 The crystal packing of (I) viewed approximately along the c axis, showing one dimensional chains along [0 1 0]. N— H···O hydrogen bonds are shown as dashed lines. g The crystal packing of (I) viewed approximately along the c axis, showing one dimensional chains along [0 1 0]. N— H···O hydrogen bonds are shown as dashed lines. The crystal packing of (I) viewed approximately along the c axis, showing one dimensional chains along [0 1 0]. N— H···O hydrogen bonds are shown as dashed lines. Experimental. The crystal was placed in the cold stream of an Oxford Cryosystems Cobra open-flow nitrogen cryostat (Cosier & Glazer, 1986) operating at 100.0 (1) K. Experimental. The crystal was placed in the cold stream of an Oxford Cryosystems Cobra open-flow nitrogen cryostat (Cosier & Glazer, 1986) operating at 100.0 (1) K. Geometry. All esds (except the esd in the dihedral angle between two l.s. planes) are estimated using the full covariance matrix. The cell esds are taken into account individually in the estimation of esds in distances, angles and torsion angles; correlations between esds in cell parameters are only used when they are defined by crystal symmetry. An approximate (isotropic) treatment of cell esds is used for estimating esds involving l.s. planes. Refinement. Refinement of F2 against ALL reflections. The weighted R-factor wR and goodness of fit S are based on F2, conventional R-factors R are based on F, with F set to zero for negative F2. The threshold expression of F2 > 2sigma(F2) is used only for calculating R-factors(gt) etc. and is not relevant to the choice of reflections for refinement. R-factors based on F2 are statistically about twice as large as those based on F, and R- factors based on ALL data will be even larger. S3. Refinement (S)-N-[(R)-1-cinnamoylpyrrolidin-2-yl]-2-methylbutanamide (S)-N-[(R)-1-cinnamoylpyrrolidin-2-yl]-2-methylbutanamide Crystal data C18H24N2O2 Mr = 300.39 Monoclinic, C2 Hall symbol: C 2y a = 18.8909 (3) Å b = 6.8398 (1) Å c = 13.4174 (2) Å β = 107.054 (1)° V = 1657.43 (4) Å3 Z = 4 F(000) = 648 Dx = 1.204 Mg m−3 Melting point = 476–478 K Cu Kα radiation, λ = 1.54178 Å Cell parameters from 2625 reflections θ = 6.8–67.4° µ = 0.63 mm−1 T = 100 K Needle, colorless 0.57 × 0.16 × 0.13 mm Data collection Bruker APEXII DUO CCD area-detector diffractometer Radiation source: sealed tube Graphite monochromator φ and ω scans Absorption correction: multi-scan (SADABS; Bruker, 2009) Tmin = 0.718, Tmax = 0.924 10656 measured reflections 2625 independent reflections 2606 reflections with I > 2σ(I) Rint = 0.042 θmax = 67.4°, θmin = 6.8° h = −22→22 k = −7→6 l = −16→16 Refinement Refinement on F2 Least-squares matrix: full R[F2 > 2σ(F2)] = 0.033 wR(F2) = 0.096 S = 1.16 2625 reflections 205 parameters 1 restraint 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 F(000) = 648 Dx = 1.204 Mg m−3 Melting point = 476–478 K Cu Kα radiation, λ = 1.54178 Å Cell parameters from 2625 reflections θ = 6.8–67.4° µ = 0.63 mm−1 T = 100 K Needle, colorless 0.57 × 0.16 × 0.13 mm 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 H atoms treated by a mixture of independent and constrained refinement sup-3 Acta Cryst. (2010). E66, o2437–o2438 supporting information supporting information w = 1/[σ2(Fo2) + (0.0595P)2 + 0.2381P] where P = (Fo2 + 2Fc2)/3 (Δ/σ)max = 0.001 Δρmax = 0.21 e Å−3 w = 1/[σ2(Fo2) + (0.0595P)2 + 0.2381P] where P = (Fo2 + 2Fc2)/3 (Δ/σ)max = 0.001 Δρmax = 0.21 e Å−3 Δρmin = −0.27 e Å−3 Absolute structure: Flack (1983), 1036 Friedel pairs Absolute structure parameter: 0.03 (18) Acta Cryst. (2010). E66, o2437–o2438 Experimental. The crystal was placed in the cold stream of an Oxford Cryosystems Cobra open-flow nitrogen cryostat (Cosier & Glazer, 1986) operating at 100.0 (1) K. Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) x y z Uiso*/Ueq O1 0.68617 (5) 0.99471 (16) 0.55658 (7) 0.0243 (2) O2 0.97777 (6) 0.88734 (17) 0.73395 (8) 0.0315 (3) N1 0.79446 (6) 0.99195 (19) 0.51776 (8) 0.0218 (2) H1N2 0.8859 (10) 0.691 (3) 0.5433 (14) 0.030 (5)* N2 0.90244 (6) 0.78710 (19) 0.57796 (9) 0.0217 (3) C1 0.87323 (8) 0.9894 (3) 0.92951 (11) 0.0299 (3) H1A 0.9038 1.0059 0.8870 0.036* C2 0.90374 (8) 0.9818 (3) 1.03621 (11) 0.0348 (4) H2A 0.9548 0.9923 1.0651 0.042* C3 0.85882 (8) 0.9585 (3) 1.10083 (11) 0.0325 (4) H3A 0.8797 0.9538 1.1728 0.039* C4 0.78306 (9) 0.9425 (3) 1.05783 (11) 0.0337 (4) H4A 0.7528 0.9273 1.1008 0.040* C5 0.75221 (8) 0.9490 (2) 0.95025 (11) 0.0285 (3) H5A 0.7012 0.9376 0.9217 0.034* C6 0.79653 (7) 0.9725 (2) 0.88465 (10) 0.0233 (3) C7 0.76210 (7) 0.9768 (2) 0.77145 (10) 0.0236 (3) H7A 0.7107 0.9679 0.7481 0.028* C8 0.79691 (7) 0.9920 (2) 0.69898 (9) 0.0219 (3) H8A 0.8483 1.0019 0.7190 0.026* C9 0.75502 (7) 0.9936 (2) 0.58677 (9) 0.0207 (3) C10 0.75678 (7) 0.9890 (2) 0.40514 (9) 0.0233 (3) H10A 0.7308 1.1109 0.3826 0.028* H10B 0.7217 0.8819 0.3871 0.028* C11 0.81922 (8) 0.9613 (2) 0.35579 (10) 0.0275 (3) H11A 0.8097 1.0348 0.2914 0.033* H11B 0.8253 0.8243 0.3414 0.033* C12 0.88773 (8) 1.0396 (2) 0.43814 (11) 0.0276 (3) H12A 0.9325 0.9808 0.4303 0.033* Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) x y z Uiso*/Ueq Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) omic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) Acta Cryst. (2010). E66, o2437–o2438 sup-4 supporting information supporting information supporting information supporting information 1.3480 (17) C10—H10B 0.9700 1.4695 (15) C11—C12 1.531 (2) 1.4780 (16) C11—H11A 0.9700 1.3529 (17) C11—H11B 0.9700 1.451 (2) C12—C13 1.5284 (18) 0.81 (2) C12—H12A 0.9700 1.3787 (19) C12—H12B 0.9700 1.401 (2) C13—H13A 0.9800 0.9300 C14—C15 1.522 (2) 1.389 (2) C15—C17 1.529 (2) 0.9300 C15—C16 1.532 (2) 1.382 (2) C15—H15A 0.9800 0.9300 C16—H16A 0.9600 1.3898 (19) C16—H16B 0.9600 0.9300 C16—H16C 0.9600 1.3907 (19) C17—C18 1.519 (2) 0.9300 C17—H17A 0.9700 1.4667 (17) C17—H17B 0.9700 1.3282 (18) C18—H18A 0.9600 0.9300 C18—H18B 0.9600 1.4813 (17) C18—H18C 0.9600 0.9300 120.52 (10) C10—C11—H11B 111.0 126.73 (10) C12—C11—H11B 111.0 112.65 (10) H11A—C11—H11B 109.0 122.40 (12) C13—C12—C11 104.37 (11) 116.5 (13) C13—C12—H12A 110.9 120.9 (13) C11—C12—H12A 110.9 120.50 (13) C13—C12—H12B 110.9 119.7 C11—C12—H12B 110.9 119.7 H12A—C12—H12B 108.9 120.45 (13) N2—C13—N1 110.75 (11) 119.8 N2—C13—C12 114.38 (12) 119.8 N1—C13—C12 101.95 (10) 119.75 (13) N2—C13—H13A 109.8 120.1 N1—C13—H13A 109.8 120.1 C12—C13—H13A 109.8 119.91 (14) O2—C14—N2 122.61 (14) 120.0 O2—C14—C15 122.00 (12) 120.0 N2—C14—C15 115.36 (12) 120.94 (13) C14—C15—C17 111.68 (13) 119.5 C14—C15—C16 107.63 (14) 119.5 C17—C15—C16 110.13 (13) 118.44 (12) C14—C15—H15A 109.1 119.43 (12) C17—C15—H15A 109.1 122.13 (12) C16—C15—H15A 109.1 126.53 (12) C15—C16—H16A 109.5 pp g N1—C9 1.3480 (17) C10—H10B 0.9700 N1—C10 1.4695 (15) C11—C12 1.531 (2) N1—C13 1.4780 (16) C11—H11A 0.9700 N2—C14 1.3529 (17) C11—H11B 0.9700 N2—C13 1.451 (2) C12—C13 1.5284 (18) N2—H1N2 0.81 (2) C12—H12A 0.9700 C1—C2 1.3787 (19) C12—H12B 0.9700 C1—C6 1.401 (2) C13—H13A 0.9800 C1—H1A 0.9300 C14—C15 1.522 (2) C2—C3 1.389 (2) C15—C17 1.529 (2) C2—H2A 0.9300 C15—C16 1.532 (2) C3—C4 1.382 (2) C15—H15A 0.9800 C3—H3A 0.9300 C16—H16A 0.9600 C4—C5 1.3898 (19) C16—H16B 0.9600 C4—H4A 0.9300 C16—H16C 0.9600 C5—C6 1.3907 (19) C17—C18 1.519 (2) C5—H5A 0.9300 C17—H17A 0.9700 C6—C7 1.4667 (17) C17—H17B 0.9700 C7—C8 1.3282 (18) C18—H18A 0.9600 C7—H7A 0.9300 C18—H18B 0.9600 C8—C9 1.4813 (17) C18—H18C 0.9600 C8—H8A 0.9300 C9—N1—C10 120.52 (10) C10—C11—H11B 111.0 C9—N1—C13 126.73 (10) C12—C11—H11B 111.0 C10—N1—C13 112.65 (10) H11A—C11—H11B 109.0 C14—N2—C13 122.40 (12) C13—C12—C11 104.37 (11) C14—N2—H1N2 116.5 (13) C13—C12—H12A 110.9 C13—N2—H1N2 120.9 (13) C11—C12—H12A 110.9 C2—C1—C6 120.50 (13) C13—C12—H12B 110.9 C2—C1—H1A 119.7 C11—C12—H12B 110.9 C6—C1—H1A 119.7 H12A—C12—H12B 108.9 C1—C2—C3 120.45 (13) N2—C13—N1 110.75 (11) C1—C2—H2A 119.8 N2—C13—C12 114.38 (12) C3—C2—H2A 119.8 N1—C13—C12 101.95 (10) C4—C3—C2 119.75 (13) N2—C13—H13A 109.8 C4—C3—H3A 120.1 N1—C13—H13A 109.8 C2—C3—H3A 120.1 C12—C13—H13A 109.8 C3—C4—C5 119.91 (14) O2—C14—N2 122.61 (14) C3—C4—H4A 120.0 O2—C14—C15 122.00 (12) C5—C4—H4A 120.0 N2—C14—C15 115.36 (12) C4—C5—C6 120.94 (13) C14—C15—C17 111.68 (13) C4—C5—H5A 119.5 C14—C15—C16 107.63 (14) C6—C5—H5A 119.5 C17—C15—C16 110.13 (13) C5—C6—C1 118.44 (12) C14—C15—H15A 109.1 C5—C6—C7 119.43 (12) C17—C15—H15A 109.1 C1—C6—C7 122.13 (12) C16—C15—H15A 109.1 C8—C7—C6 126.53 (12) C15—C16—H16A 109.5 sup-6 Acta Cryst. supporting information supporting information H12B 0.8912 1.1805 0.4329 0.033* C13 0.87590 (7) 0.9813 (2) 0.54206 (10) 0.0222 (3) H13A 0.8990 1.0781 0.5956 0.027* C14 0.95055 (7) 0.7544 (2) 0.67329 (11) 0.0237 (3) C15 0.97075 (8) 0.5412 (2) 0.69919 (11) 0.0293 (3) H15A 0.9332 0.4576 0.6527 0.035* C16 1.04558 (10) 0.5039 (3) 0.67983 (16) 0.0512 (5) H16A 1.0413 0.5272 0.6077 0.077* H16B 1.0603 0.3708 0.6971 0.077* H16C 1.0821 0.5903 0.7225 0.077* C17 0.97552 (9) 0.4934 (3) 0.81232 (12) 0.0356 (4) H17A 0.9971 0.3644 0.8290 0.043* H17B 1.0085 0.5865 0.8576 0.043* C18 0.90143 (10) 0.4977 (3) 0.83531 (12) 0.0406 (4) H18A 0.9089 0.4729 0.9081 0.061* H18B 0.8696 0.3990 0.7948 0.061* H18C 0.8790 0.6238 0.8176 0.061* Atomic displacement parameters (Å2) U11 U22 U33 U12 U13 U23 O1 0.0229 (5) 0.0260 (6) 0.0230 (4) 0.0040 (4) 0.0051 (3) 0.0031 (4) O2 0.0301 (5) 0.0298 (6) 0.0277 (5) −0.0005 (4) −0.0025 (4) −0.0062 (5) N1 0.0222 (5) 0.0231 (6) 0.0193 (5) 0.0013 (5) 0.0045 (4) 0.0013 (5) N2 0.0225 (5) 0.0209 (7) 0.0202 (6) −0.0006 (5) 0.0039 (4) −0.0046 (5) C1 0.0277 (7) 0.0399 (9) 0.0226 (6) 0.0012 (7) 0.0080 (5) 0.0015 (7) C2 0.0269 (7) 0.0507 (10) 0.0245 (7) 0.0036 (7) 0.0038 (5) −0.0006 (8) C3 0.0384 (8) 0.0390 (10) 0.0180 (6) 0.0045 (7) 0.0050 (5) 0.0014 (6) C4 0.0379 (8) 0.0409 (11) 0.0253 (7) 0.0019 (7) 0.0137 (6) 0.0029 (6) C5 0.0263 (7) 0.0324 (9) 0.0264 (7) 0.0017 (6) 0.0074 (5) 0.0016 (6) C6 0.0268 (6) 0.0209 (8) 0.0217 (6) 0.0049 (6) 0.0063 (5) 0.0022 (6) C7 0.0234 (6) 0.0214 (7) 0.0246 (7) 0.0038 (6) 0.0048 (5) 0.0019 (6) C8 0.0228 (6) 0.0194 (7) 0.0215 (6) 0.0031 (6) 0.0032 (5) 0.0014 (6) C9 0.0239 (6) 0.0153 (7) 0.0221 (6) 0.0031 (6) 0.0053 (5) 0.0014 (6) C10 0.0275 (6) 0.0218 (7) 0.0187 (6) 0.0032 (6) 0.0037 (5) 0.0011 (6) C11 0.0354 (7) 0.0280 (8) 0.0201 (6) 0.0028 (6) 0.0098 (5) 0.0017 (6) C12 0.0304 (7) 0.0277 (8) 0.0276 (7) −0.0002 (6) 0.0132 (5) 0.0028 (6) C13 0.0219 (6) 0.0214 (7) 0.0234 (6) −0.0015 (5) 0.0070 (5) −0.0018 (6) C14 0.0174 (6) 0.0291 (9) 0.0244 (7) 0.0013 (5) 0.0058 (5) −0.0013 (6) C15 0.0278 (7) 0.0293 (9) 0.0290 (7) 0.0059 (6) 0.0058 (6) −0.0003 (6) C16 0.0451 (9) 0.0479 (13) 0.0675 (12) 0.0202 (9) 0.0274 (9) 0.0085 (10) C17 0.0397 (8) 0.0319 (9) 0.0304 (7) 0.0055 (7) 0.0027 (6) 0.0066 (7) C18 0.0535 (9) 0.0358 (10) 0.0347 (8) 0.0013 (8) 0.0163 (7) 0.0039 (8) Geometric parameters (Å, º) H12B 0.8912 1.1805 0.4329 0.033* C13 0.87590 (7) 0.9813 (2) 0.54206 (10) 0.0222 (3) H13A 0.8990 1.0781 0.5956 0.027* C14 0.95055 (7) 0.7544 (2) 0.67329 (11) 0.0237 (3) C15 0.97075 (8) 0.5412 (2) 0.69919 (11) 0.0293 (3) H15A 0.9332 0.4576 0.6527 0.035* C16 1.04558 (10) 0.5039 (3) 0.67983 (16) 0.0512 (5) H16A 1.0413 0.5272 0.6077 0.077* H16B 1.0603 0.3708 0.6971 0.077* H16C 1.0821 0.5903 0.7225 0.077* C17 0.97552 (9) 0.4934 (3) 0.81232 (12) 0.0356 (4) H17A 0.9971 0.3644 0.8290 0.043* H17B 1.0085 0.5865 0.8576 0.043* C18 0.90143 (10) 0.4977 (3) 0.83531 (12) 0.0406 (4) H18A 0.9089 0.4729 0.9081 0.061* H18B 0.8696 0.3990 0.7948 0.061* H18C 0.8790 0.6238 0.8176 0.061* Atomic displacement parameters (Å2) U11 U22 U33 U12 U13 U23 O1 0.0229 (5) 0.0260 (6) 0.0230 (4) 0.0040 (4) 0.0051 (3) 0.0031 (4) O2 0.0301 (5) 0.0298 (6) 0.0277 (5) −0.0005 (4) −0.0025 (4) −0.0062 (5) N1 0.0222 (5) 0.0231 (6) 0.0193 (5) 0.0013 (5) 0.0045 (4) 0.0013 (5) N2 0.0225 (5) 0.0209 (7) 0.0202 (6) −0.0006 (5) 0.0039 (4) −0.0046 (5) C1 0.0277 (7) 0.0399 (9) 0.0226 (6) 0.0012 (7) 0.0080 (5) 0.0015 (7) C2 0.0269 (7) 0.0507 (10) 0.0245 (7) 0.0036 (7) 0.0038 (5) −0.0006 (8) C3 0.0384 (8) 0.0390 (10) 0.0180 (6) 0.0045 (7) 0.0050 (5) 0.0014 (6) C4 0.0379 (8) 0.0409 (11) 0.0253 (7) 0.0019 (7) 0.0137 (6) 0.0029 (6) C5 0.0263 (7) 0.0324 (9) 0.0264 (7) 0.0017 (6) 0.0074 (5) 0.0016 (6) C6 0.0268 (6) 0.0209 (8) 0.0217 (6) 0.0049 (6) 0.0063 (5) 0.0022 (6) C7 0.0234 (6) 0.0214 (7) 0.0246 (7) 0.0038 (6) 0.0048 (5) 0.0019 (6) C8 0.0228 (6) 0.0194 (7) 0.0215 (6) 0.0031 (6) 0.0032 (5) 0.0014 (6) C9 0.0239 (6) 0.0153 (7) 0.0221 (6) 0.0031 (6) 0.0053 (5) 0.0014 (6) C10 0.0275 (6) 0.0218 (7) 0.0187 (6) 0.0032 (6) 0.0037 (5) 0.0011 (6) C11 0.0354 (7) 0.0280 (8) 0.0201 (6) 0.0028 (6) 0.0098 (5) 0.0017 (6) C12 0.0304 (7) 0.0277 (8) 0.0276 (7) −0.0002 (6) 0.0132 (5) 0.0028 (6) C13 0.0219 (6) 0.0214 (7) 0.0234 (6) −0.0015 (5) 0.0070 (5) −0.0018 (6) C14 0.0174 (6) 0.0291 (9) 0.0244 (7) 0.0013 (5) 0.0058 (5) −0.0013 (6) C15 0.0278 (7) 0.0293 (9) 0.0290 (7) 0.0059 (6) 0.0058 (6) −0.0003 (6) C16 0.0451 (9) 0.0479 (13) 0.0675 (12) 0.0202 (9) 0.0274 (9) 0.0085 (10) C17 0.0397 (8) 0.0319 (9) 0.0304 (7) 0.0055 (7) 0.0027 (6) 0.0066 (7) C18 0.0535 (9) 0.0358 (10) 0.0347 (8) 0.0013 (8) 0.0163 (7) 0.0039 (8) G t i t (Å º) Atomic displacement parameters (Å2) supporting information (2010). E66, o2437–o2438 supporting information C8—C7—H7A 116.7 C15—C16—H16B 109.5 C6—C7—H7A 116.7 H16A—C16—H16B 109.5 C7—C8—C9 120.87 (11) C15—C16—H16C 109.5 C7—C8—H8A 119.6 H16A—C16—H16C 109.5 C9—C8—H8A 119.6 H16B—C16—H16C 109.5 O1—C9—N1 120.81 (11) C18—C17—C15 114.07 (12) O1—C9—C8 121.80 (11) C18—C17—H17A 108.7 N1—C9—C8 117.39 (11) C15—C17—H17A 108.7 N1—C10—C11 104.19 (10) C18—C17—H17B 108.7 N1—C10—H10A 110.9 C15—C17—H17B 108.7 C11—C10—H10A 110.9 H17A—C17—H17B 107.6 N1—C10—H10B 110.9 C17—C18—H18A 109.5 C11—C10—H10B 110.9 C17—C18—H18B 109.5 H10A—C10—H10B 108.9 H18A—C18—H18B 109.5 C10—C11—C12 103.95 (11) C17—C18—H18C 109.5 C10—C11—H11A 111.0 H18A—C18—H18C 109.5 C12—C11—H11A 111.0 H18B—C18—H18C 109.5 C6—C1—C2—C3 −0.4 (3) N1—C10—C11—C12 −24.24 (15) C1—C2—C3—C4 0.2 (3) C10—C11—C12—C13 35.81 (15) C2—C3—C4—C5 0.2 (3) C14—N2—C13—N1 −119.95 (13) C3—C4—C5—C6 −0.3 (3) C14—N2—C13—C12 125.55 (13) C4—C5—C6—C1 0.0 (2) C9—N1—C13—N2 72.51 (17) C4—C5—C6—C7 179.40 (15) C10—N1—C13—N2 −103.96 (13) C2—C1—C6—C5 0.4 (3) C9—N1—C13—C12 −165.39 (14) C2—C1—C6—C7 −179.02 (17) C10—N1—C13—C12 18.14 (16) C5—C6—C7—C8 −177.81 (15) C11—C12—C13—N2 86.96 (14) C1—C6—C7—C8 1.6 (3) C11—C12—C13—N1 −32.61 (14) C6—C7—C8—C9 179.71 (14) C13—N2—C14—O2 −3.6 (2) C10—N1—C9—O1 −0.7 (2) C13—N2—C14—C15 178.31 (11) C13—N1—C9—O1 −176.95 (14) O2—C14—C15—C17 41.89 (18) C10—N1—C9—C8 178.64 (13) N2—C14—C15—C17 −139.99 (13) C13—N1—C9—C8 2.4 (2) O2—C14—C15—C16 −79.11 (18) C7—C8—C9—O1 5.1 (2) N2—C14—C15—C16 99.01 (15) C7—C8—C9—N1 −174.23 (14) C14—C15—C17—C18 68.78 (18) C9—N1—C10—C11 −172.93 (12) C16—C15—C17—C18 −171.68 (16) C13—N1—C10—C11 3.78 (17) Hydrogen-bond geometry (Å, º) D—H···A D—H H···A D···A D—H···A sup-7 Acta Cryst. (2010). E66, o2437–o2438 sup-7
https://openalex.org/W3172292024
https://link.springer.com/content/pdf/10.1007/s10764-021-00220-8.pdf
English
null
The Relationship Between GPS Sampling Interval and Estimated Daily Travel Distances in Chacma Baboons (Papio ursinus)
International journal of primatology
2,021
cc-by
6,290
ERROR: type should be string, got "https://doi.org/10.1007/s10764-021-00220-8\nInternational Journal of Primatology (2021) 42:589–599 https://doi.org/10.1007/s10764-021-00220-8\nInternational Journal of Primatology (2021) 42:589–599 Handling Editor: Joanna Setchell. 1\nDepartment of Biosciences, Singleton Park Campus, Swansea University, Swansea, UK The Relationship Between GPS Sampling Interval\nand Estimated Daily Travel Distances in Chacma\nBaboons (Papio ursinus) R. McCann1 & A. M. Bracken1 & C. Christensen1 & I. Fürtbauer1 & A. J. King1 Received: 9 December 2020 /Accepted: 14 April 2021/\n# The Author(s) 2021\nPublished online: 31 May 2021 * R. McCann\nrebecca.mccann55@hotmail.co.uk * A. J. King\na.j.king@swansea.ac.uk Keywords Daily travel distance . Day path length . GPS . Movement ecology . Papio\nursinus Introduction Understanding how animals interact with and move through their environment\nenables researchers to better understand animal behavior, physiology, and ecology\n(Getz and Saltz 2008; Nathan et al. 2008). Modern studies of animal movement\nuse the Global Positioning System (GPS) to estimate animals’ travel distance over\na given time period. Researchers record GPS fixes at intervals along the journey of\na focal animal or group— either using a handheld GPS (Santhosh et al. 2015;\nSchreier and Grove 2010), or by attaching a GPS logger to a focal animal\n(Hampson et al. 2010a,b; Ren et al. 2008)—and sum the distances traveled\nbetween GPS fixes. More refined estimates of distance traveled are also possible;\nfor example, modeling movement as a continuous-time stochastic process mini-\nmizes the effects of position and velocity autocorrelation that are inherent in such\ndata (Calabrese et al. 2016). Recording of GPS at intervals in time (rather than continuously) is common because\nit saves battery life and allows researchers to increase the time over which data are\ncollected (Mitchell et al. 2019; Ryan et al. 2004; Sahraei et al. 2017). However, this\npractice underestimates travel distance (McGavin et al. 2018; Sennhenn-Reulen et al. 2017). For example, a study of Guinea baboons (Papio papio) (Sennhenn-Reulen et al. 2017) examined differences in travel distance estimates from 2-h periods by subsam-\npling GPS data collected at one fix per second, finding that travel distances were\nsignificantly shorter if less frequent GPS fixes were used in calculations. Indeed,\nextensive theoretical and empirical work has shown that the temporal resolution of\nGPS fixes needs to match those of the behavior of interest; otherwise estimates are\nlikely to be inappropriate (Borger et al. 2006; de Weerd et al. 2015; Ganskopp and\nJohnson 2007; Johnson and Ganskopp 2008; McGavin et al. 2018; Mills et al. 2006;\nMitchell et al. 2019; Noonan et al. 2019; Postlethwaite and Dennis 2013; Rowcliffe\net al. 2012; Sennhenn-Reulen et al. 2017; Swain et al. 2008; Tanferna et al. 2012). Here, we estimate daily travel distances for chacma baboons (Papio ursinus) using\nGPS data collected at one fix per second synchronously for 12 adult individuals over\n11–12 days. By sampling different temporal resolutions from this high-frequency GPS\ndata set, we investigate the relationship between estimated travel distances and GPS\nsampling frequency (Sennhenn-Reulen et al. 2017). Abstract Modern studies of animal movement use the Global Positioning System (GPS) to\nestimate animals’ distance traveled. The temporal resolution of GPS fixes recorded\nshould match those of the behavior of interest; otherwise estimates are likely to be\ninappropriate. Here, we investigate how different GPS sampling intervals affect esti-\nmated daily travel distances for wild chacma baboons (Papio ursinus). By subsampling\nGPS data collected at one fix per second for 143 daily travel distances (12 baboons over\n11–12 days), we found that less frequent GPS fixes result in smaller estimated travel\ndistances. Moving from a GPS frequency of one fix every second to one fix every 30 s\nresulted in a 33% reduction in estimated daily travel distance, while using hourly GPS\nfixes resulted in a 66% reduction. We then use the relationship we find between\nestimated travel distance and GPS sampling interval to recalculate published baboon\ndaily travel distances and find that accounting for the predicted effect of sampling\ninterval does not affect conclusions of previous comparative analyses. However, if\nshort-interval or continuous GPS data—which are becoming more common in studies\nof primate movement ecology—are compared with historical (longer interval) GPS\ndata in future work, controlling for sampling interval is necessary. Keywords Daily travel distance . Day path length . GPS . Movement ecology . Papio 1\nDepartment of Biosciences, Singleton Park Campus, Swansea University, Swansea, UK McCann R. et al. 590 Introduction Then, we use the quantified\nrelationship between estimated travel distance and GPS sampling interval to recalculate\npublished baboon daily travel distances (e.g., Dunbar 1992; Johnson et al. 2015) and\nsee how estimates alter when accounting for the relationship between estimated\ndistance and GPS sampling interval found in our own data set. Study System We studied wild adult chacma baboons in the Da Gama group in Cape Town,\nSouth Africa (34.1617° S, 18.4054° E). The group’s home range includes urban\nareas comprising residential suburbs and natural areas that fall mostly within\nTable Mountain National Park which are dominated by indigenous fynbos The Relationship Between GPS Sampling Interval and Estimated Daily... 591 vegetation with smaller patches of exotic vegetation (Hoffmann and O’Riain\n2012). The Mediterranean climate of the Cape Peninsula is characterized by hot\ndry summers and mild winters with moderate–high rainfall (Hoffman and O’Riain\n2012), and in this study we use GPS data collected during winter (August) of a\nfield season lasting from July to November 2018. The Da Gama group comprised\n2 adult males, 19 adult females, and ca. 30 subadults, juveniles, and infants. Movement Data During the field season, we recorded GPS data for 13 individuals (2 males, 11 females)\nfor a mean ± SD of 42.77 ± 9.92 days, range = 21–54 days (Bracken et al. in press)\nusing in-house assembled SHOALgroup collars (F2HKv3) containing GiPSy 5 GPS\nloggers (TechnoSmArt, Italy) recording GPS fixes at 1-s sampling intervals between\n06:00:00 and 18:00:00 UTC (Bracken et al. in press). Here we use a subset of these\nGPS data that provide continuous data for 12 baboons (2 males, 10 females) for 11–12\ndays in August 2018, representing 143 daily travel distances. Before calculating daily travel distances (below), we removed erroneous GPS fixes\noutside the study area, or successive GPS fixes between which it would have been\nimpossible for the baboons to travel (Bracken et al. in press). These fixes represented a\nmedian 0.01% of GPS fixes per collar (range 0.00%–0.01%) and the remaining missing\nor removed fixes that lasted a time period of less than or equal to 10 s, were interpolated\nusing the fixLocNA function in the swaRm package (Garnier 2016) following O'Bryan\net al. (2019) and Bracken et al. (in press). This resulted in a median 0.01% of each\nbaboon’s tracks being interpolated (range 0.00%–0.01%). Remaining missing fixes\nlasting >10 s represented a median 0.56% per collar (range 0.00%–1.61%). Quantifying the Reduction in Daily Travel Distance We compared estimated daily travel distance using one fix per second GPS data to\ndifferent GPS sampling intervals to quantify the reduction in estimated distance when\nusing less frequent sampling intervals and expressed this value as a proportion. We\nfound the reduction in estimated distance traveled was proportional to GPS sampling\ninterval and was best modeled by a logarithmic function. Using this model, we\nrecalculated travel distances for 38 baboon groups (provided by Johnson et al. 2015)\nthat provide information on GPS sampling intervals. Daily Travel Distances To investigate the effect of GPS sampling interval on estimated daily travel\ndistance, we subsampled the high-frequency GPS data and calculated travel\ndistances for each baboon, for each day, using GPS fixes set at 1 s, 30 s, 60 s,\n300 s, 1200 s, 3600 s, and 7200 s. We estimated daily distance by summing\ndistances between GPS fixes and used fixed time intervals from the 1 s data set,\nsince we wanted to simulate different programmed sampling intervals used by on-\nanimal GPS loggers. Because travel distance estimates made using short GPS sampling intervals will\nbe more sensitive to measurement error than estimates made using longer GPS\nsampling intervals, we also calculated daily travel distances using 1 s smoothed\ndata in an attempt to reduce high-frequency noise (Noonan et al. 2019). To\nsmooth data, we used the function TrajSmoothSG from the trajr package in\nRstudio (version 1.3.0), which uses a Savitzky–Golay ethod (McLean and\nSkowron Volponi 2018). We applied a filter order of 2 and a filter length of 7,\nwhich approximately corresponds to our maximum level of GPS error and was\nthus expected to reduce potential noise while retaining track characteristics\n(McLean and Skowron Volponi 2018). We performed ad hoc checks of the GPS\ndata using known landmarks at the field site in South Africa, and in Swansea, UK\nand these indicated positional accuracy always to be within 5 m. McCann R. et al. 592 GPS Sampling Interval and Daily Travel Distances We investigated how GPS sampling interval affected daily travel distance estimates by\nfitting a linear mixed-effect model in RStudio using the lme4 package (Bates et al. 2015). We fitted daily travel distances (N = 1144) as our response variable and\nsampling interval (1 s, 1 s [smoothed], 30 s, 60 s, 300 s, 1200 s, 3600 s, and 7200 s)\nas a fixed categorical effect. We fitted baboon identity as a random effect to control for\npotential interindividual differences in travel distance, checked model residuals, and\nused the emmeans package (version 1.4.8; Lenth 2020) for post hoc (Tukey method)\ntests for each combination of sampling interval. Ethical Note To fit collars, a veterinarian anesthetized baboons using Ketamine (dose adjusted for\nbody mass) after cage trapping conducted by service providers in accordance with local\nprotocols (described by Fehlmann et al. 2017a). Collars were approved by Swansea\nUniversity's Ethics Committee (IP-1314-5), weighed mean 2.2% baboon body mass\n(range 1.2%–2.6%), and were fitted with a drop-off mechanism (version CR-7,\nTelonics, Inc.) to avoid the need for recapture (ESM Fig. S1). The authors declare that\nthere are no conflicts of interests. Data Availability The dataset generated and analyzed during is available in the Elec-\ntronic Supplementary Material (ESM 3). Results The mean estimated daily travel distance across all days and baboons was 10.86 km\nwhen calculated using a 1 fix per second sampling interval and 2.71 km when using a\n7200 s sampling interval. The estimated daily travel distance becomes progressively\nshorter with less frequent GPS sampling because fewer GPS fixes do not properly\ncapture the animal’s movement path (Fig. 1; ESM Video S1). As a result, less frequent\nGPS fixes result in a significant reduction in calculated daily travel distances (Fig. 2a;\nESM Table S1; Video S1), and this reduction changes with GPS sampling interval\naccording to a logarithmic function (proportion distance captured = 0.081ln(sampling\ninterval) + 0.9682; r2 = 0.99; Fig. 2b and c). The Relationship Between GPS Sampling Interval and Estimated Daily... 593 y travel distances (Fig. 3a), we found\none fix per second sampling interval\nma baboon between 06:18 and 18:00 UTC on\nng a GPS sampling interval of (a) 1 s, (b) 1 s\nd (h) 7200 s. In (b)–(h) an additional green line\nshown for comparison. 593\nDaily... Applying our model to published baboon\ntravel distances were ≥50% farther when us\nFig. 1 Path traveled (black line) by one adult female\nAugust 4th, 2018 in Cape Town, South Africa, estimate\nsmoothed, (c) 30 s, (d) 60 s, (e) 300 s, (f) 1200 s, (g) 3600\nrepresenting the path estimated using 1-s sampling inter ly travel distances (Fig. 3a), we found\nma baboon between 06:18 and 18:00 UTC on\ning a GPS sampling interval of (a) 1 s, (b) 1 s\nnd (h) 7200 s. In (b)–(h) an additional green line\nshown for comparison. Fig. 1 Path traveled (black line) by one adult female chacma baboon between 06:18 and 18:00 UTC on\nAugust 4th, 2018 in Cape Town, South Africa, estimated using a GPS sampling interval of (a) 1 s, (b) 1 s\nsmoothed, (c) 30 s, (d) 60 s, (e) 300 s, (f) 1200 s, (g) 3600 s, and (h) 7200 s. In (b)–(h) an additional green line\nrepresenting the path estimated using 1-s sampling interval is shown for comparison. Fig. Results 2 (a) Kernel probability density of daily travel distances by 12 chacma baboons over 11–12 days,\nCape Town, South Africa, measured using GPS sampling intervals ranging one fix per second to one fix p 7200 s; smoothed 1-s data (1S) are also shown. (b) Comparison of the estimated distance calculated with o\nfix per second GPS compared to less frequent GPS sampling intervals, expressed as a proportion. Comparison of the estimated distance calculated with one fix per second GPS compared to less freque\nGPS sampling intervals (log scale). For (b) and (c) individual baboon data (N = 12) are modeled by color\nlines, and the fitted logarithmic function across all data is given by the black line. The vertical axis in (b) a\n(c) is reversed to aid interpretation. (Fig. 3b). We found that the range of GPS sampling intervals used in the published\nwork is small (300–3600 s; Fig. 3a), and the proportion of distance captured did not get\nlarger or smaller for groups that travel farther (Fig. 3b and c). Discussion Using less frequent GPS sampling intervals to estimate chacma baboon daily travel\ndistances reduces the opportunity to measure an animal’s deviation from a linear path,\nresulting in smaller estimated daily travel distances. The reduction in estimated travel Fig. 3 (a) Comparison of the estimated distance calculated with one fix per second GPS (filled circle)\ncompared to less frequent GPS sampling intervals, expressed as a proportion. The dashed box indicates the\nrange of GPS sampling interval (300–3600 s) used in 38 published groups’ daily travel distances (Johnson\net al. 2015). (b) Estimation of the proportion of distance captured for 38 published group daily travel distances\n(data points given by open circles inside the dashed box) based on their reported GPS sampling intervals,\nusing the relationship modeled in (a). One fix per second GPS data used in the current study is shown by the\nfilled circle data point. (c) Predicted daily distance traveled for 38 published groups (Johnson et al. 2015),\nbased on the reported groups’ daily travel distances and their GPS sampling interval, using the model shown in\n(a). One fix per second GPS data (current study) is shown by the filled circle that falls on a 1:1 line. Fig. 3 (a) Comparison of the estimated distance calculated with one fix per second GPS (filled circle)\ncompared to less frequent GPS sampling intervals, expressed as a proportion. The dashed box indicates the\nrange of GPS sampling interval (300–3600 s) used in 38 published groups’ daily travel distances (Johnson\net al. 2015). (b) Estimation of the proportion of distance captured for 38 published group daily travel distances\n(data points given by open circles inside the dashed box) based on their reported GPS sampling intervals,\nusing the relationship modeled in (a). One fix per second GPS data used in the current study is shown by the\nfilled circle data point. (c) Predicted daily distance traveled for 38 published groups (Johnson et al. 2015),\nbased on the reported groups’ daily travel distances and their GPS sampling interval, using the model shown in\n(a). One fix per second GPS data (current study) is shown by the filled circle that falls on a 1:1 line. Fig. 3 (a) Comparison of the estimated distance calculated with one fix per second GPS (filled circle)\ncompared to less frequent GPS sampling intervals, expressed as a proportion. Results 1 Path traveled (black line) by one adult female chacma baboon between 06:18 and 18:00 UTC o\nAugust 4th, 2018 in Cape Town, South Africa, estimated using a GPS sampling interval of (a) 1 s, (b) 1\nsmoothed, (c) 30 s, (d) 60 s, (e) 300 s, (f) 1200 s, (g) 3600 s, and (h) 7200 s. In (b)–(h) an additional green lin\nrepresenting the path estimated using 1-s sampling interval is shown for comparison. Applying our model to published baboon daily travel distances (Fig. 3a), we found\ntravel distances were ≥50% farther when using one fix per second sampling interval Applying our model to published baboon daily travel distances (Fig. 3a), we found\ntravel distances were ≥50% farther when using one fix per second sampling interval McCann R. et al. 594 Fig. 2 (a) Kernel probability density of daily travel distances by 12 chacma baboons over 11–12 days, in\nCape Town, South Africa, measured using GPS sampling intervals ranging one fix per second to one fix per\n7200 s; smoothed 1-s data (1S) are also shown. (b) Comparison of the estimated distance calculated with one\nfix per second GPS compared to less frequent GPS sampling intervals, expressed as a proportion. (c)\nComparison of the estimated distance calculated with one fix per second GPS compared to less frequent\nGPS sampling intervals (log scale). For (b) and (c) individual baboon data (N = 12) are modeled by colored\nlines, and the fitted logarithmic function across all data is given by the black line. The vertical axis in (b) and\n(c) is reversed to aid interpretation. Fig. 2 (a) Kernel probability density of daily travel distances by 12 chacma baboons over 11–12 days, in\nCape Town, South Africa, measured using GPS sampling intervals ranging one fix per second to one fix per\n7200 s; smoothed 1-s data (1S) are also shown. (b) Comparison of the estimated distance calculated with one\nfix per second GPS compared to less frequent GPS sampling intervals, expressed as a proportion. (c)\nComparison of the estimated distance calculated with one fix per second GPS compared to less frequent\nGPS sampling intervals (log scale). For (b) and (c) individual baboon data (N = 12) are modeled by colored\nlines, and the fitted logarithmic function across all data is given by the black line. The vertical axis in (b) and\n(c) is reversed to aid interpretation. Fig. Discussion The dashed box indicates the\nrange of GPS sampling interval (300–3600 s) used in 38 published groups’ daily travel distances (Johnson\net al. 2015). (b) Estimation of the proportion of distance captured for 38 published group daily travel distances\n(data points given by open circles inside the dashed box) based on their reported GPS sampling intervals,\nusing the relationship modeled in (a). One fix per second GPS data used in the current study is shown by the\nfilled circle data point. (c) Predicted daily distance traveled for 38 published groups (Johnson et al. 2015),\nbased on the reported groups’ daily travel distances and their GPS sampling interval, using the model shown in\n(a). One fix per second GPS data (current study) is shown by the filled circle that falls on a 1:1 line. The Relationship Between GPS Sampling Interval and Estimated Daily... 595 distance seen with increasing GPS sampling interval (here, the difference between\nestimates at one fix per second and other intervals) can be modeled by a logarithmic\nfunction. Our findings therefore support empirical and theoretical work showing that\nthe interval at which GPS fixes are taken can systematically change movement\ndistances calculated (Borger et al. 2006; de Weerd et al. 2015; Ganskopp and Johnson\n2007; Johnson and Ganskopp 2008; McGavin et al. 2018; Mills et al. 2006; Mitchell\net al. 2019; Noonan et al. 2019; Postlethwaite and Dennis 2013; Rowcliffe et al. 2012;\nSennhenn-Reulen et al. 2017; Swain et al. 2008; Tanferna et al. 2012) and affirm\nresearch with Guinea baboons reporting similar findings when estimating travel dis-\ntances over a shorter time frame (2-h blocks) and with fewer baboons (N = 4)\n(Sennhenn-Reulen et al. 2017). (\n)\nMiscalculation of travel distances can have important implications for studies of\nmovement ecology (Hebblewhite and Haydon 2010; Patterson et al. 2008; Schick et al. 2008), disease dynamics (Dougherty et al. 2018; White et al. 2018) and designation of\nconservation spaces (Cristescu et al. 2013; Darnell et al. 2014; Douglas-Hamilton et al. 2005). For example, distances traveled calculated from GPS data have been used to\nestimate the energy cost coefficients of locomotion (e.g., Brosh et al. 2010) and these\nwill alter substantially if the relationship between estimated distances and sampling\ninterval that we report is typical across species and contexts. Discussion Estimated travel distances using high-frequency GPS data therefore cannot\nbe compared to published distance estimates (that use less frequent sampling intervals)\nwithout properly controlling for differences in sampling regimes. p\np\ny\ng\np\ng\ng\nOur case study also highlights an understudied aspect of high-resolution GPS data in\nanimal movement studies: positional accuracy. Because GPS positional error is Gauss-\nian in nature, this error will not tend to systematically alter estimates of interindividual\ndistances (Haddadi et al. 2011; King et al. 2012) or interaction with features of the\nenvironment (Fehlmann et al. 2017a; Strandburg-Peshkin et al. 2017), or conspecifics\n(Farine et al. 2016, 2017; Strandburg-Peshkin et al. 2015), and therefore does not\nnormally need to be accounted for in such contexts. However, calculated distance\ntraveled estimates are sensitive to positional measurement error (McGavin et al. 2018;\nNoonan et al. 2019), and these errors are pronounced at short GPS sampling intervals\nwhich will affect the estimated travel path. We therefore smoothed our 1-s GPS data in\nan attempt to reduce the impact of such high-frequency noise, and this resulted in\nsignificantly shorter distance estimates (ESM Table SI). Further work is now needed to\nexplore if such smoothing is required because GPS loggers have on-board smoothing\nalgorithms (which typically cannot be accessed by the end-user). These algorithms\nminimize “jitter” or “drift” when the logger is slow-moving or stationary (see ESM Fig. S2 for an example from our data) making it challenging to determine if post hoc\nsmoothing removes “real movement,” “noise,” or both. Combining aerial video footage\nand GPS data of moving animals in the wild (e.g., on a beach where tracks are left)\nwould be one way to investigate the relationship between true movement and GPS\nmeasured movement. Another would be to match GPS data to acceleration data to\ndistinguish between active and nonactive time periods (Fehlmann et al. 2017b). Finally, our findings highlight the need to choose an appropriate GPS sampling\ninterval. The smaller the sampling interval, the higher the number of GPS fixes\ntaken within a given time frame and the higher the accuracy of any subsequent\ndistance estimate. But this comes at the cost of shorter battery life, and hence a\nshorter data collection period. This makes high-resolution GPS sampling less\npractical for longer-term studies in primate spatial ecology because collars need\nto increase in size and weight to accommodate larger batteries. Discussion Indeed, our baboon case\nstudy suggests that moving from a GPS frequency of one fix every second to one fix\nevery 30 s results in a 33% reduction in estimated daily travel distance, while using\nhourly GPS fixes results in a 66% reduction in estimated daily travel distance. Future studies should consider the impact of GPS sampling intervals on distance\nestimates. Assuming that estimated distances change with GPS sampling interval\naccording to a logarithmic function may be informative, but other factors will also\nneed to be considered. In the context of baboon behavior, for example, 1) the tortuosity\nof the travel path and 2) the speed of travel will affect how much a path is\nunderestimated (Sennhenn-Reulen et al. 2017), because while slower movement de-\ncreases travel distance, more tortuous movement increases travel distance (Johnson\net al. 2015). Therefore, while the logarithmic relationship we describe could be a\ngeneral phenomenon, the effect size (exponent) will change with a myriad of social and\necological factors (Dunbar 1992; Johnson et al. 2015). Where high-accuracy estimates\nof travel distance are needed, researchers should therefore consider continuous-time\nstochastic process models (Calabrese et al. 2016) to minimize confounding effects of\nposition and velocity autocorrelation. Comparative investigations of daily travel distances between species and popula-\ntions rely on estimates of travel distances, typically from GPS data (Carbone et al. 2005; Dunbar 1992; Johnson et al. 2015). Given the significant differences in estimated\ndistances according to GPS sampling interval, this could result in flawed comparisons. Using the relationship described for our data, we calculated daily travel distance for 38\nbaboon groups (Johnson et al. 2015) as if they had used a GPS sampling interval of one\nfix per second. Published travel distances captured a minimum 50% of the distance\npredicted if a 1-s sampling interval was used, but because the range of GPS sampling\nintervals used by baboon researchers to date is small (300–3600 s) the model predicted\ndistances did not systematically vary across groups/sampling intervals. Previous com-\nparisons of daily travel distances in baboons are therefore sound. However, if high-\nresolution GPS data (as used in the present study) were to be included in such 596 McCann R. et al. comparisons in future, this would introduce pronounced differences in travel distance\nestimates. Discussion However, this\nissue can be overcome if collars use solar cells with rechargeable batteries and\ndynamically switch between different sampling rates depending on the animal’s\nactivity (e.g., Wilson et al. 2018). Given these tradeoffs, studies will likely\ncontinue to use different GPS sampling regimes, and so our case study provides\nuseful rule-of-thumb for the magnitude of change expected when estimated travel\ndistances with different GPS sampling intervals. Supplementary Information\nThe online version contains supplementary material available at https://doi. org/10.1007/s10764-021-00220-8. Supplementary Information\nThe online version contains supplementary material available at https://doi.\norg/10.1007/s10764-021-00220-8. Acknowledgments\nData were collected during fieldwork approved by the Baboon Technical Team (BTT)\nin the Cape Peninsula and by Research Agreement with South African National Parks (SANParks). Thanks to\nHuman Wildlife Solutions and veterinarian Dorothy Breed for organizing baboon cage trapping, and to Justin\nO’Riain, Gary Buhrman, Esme Beamish, and Human Wildlife Solutions for their assistance. We thank Carlo\nCatoni (TechnoSmArt), Gwenda Kesans (Ride and Drive Equestrian), Gaelle Fehlmann, Mark Holton, and References Bates, D., Machler, M., Bolker, B. M., & Walker, S. C. (2015). Fitting linear mixed-effects models usin\nlme4. Journal of Statistical Software, 67(1), 1–48. Borger, L., Franconi, N., De Michele, G., Gantz, A., Meschi, F., et al (2006). Effects of sampling regime on\nthe mean and variance of home range size estimates. Journal of Animal Ecology, 75(6), 1393–1405. Bracken, A. M., Christensen, C., O’Riain, M. J., Fehlmann, G., Holton, M. D., et al (in press). Socioecology\nexplains individual variation in urban space-use in response to management in Cape chacma baboons\n(Papio ursinus). International Journal of Primatology. Brosh, A., Henkin, Z., Ungar, E. D., Dolev, A., Shabtay, A., et al (2010). Energy cost of activities and\nlocomotion of grazing cows: A repeated study in larger plots. Journal of Animal Science, 88(1), 315–323. Calabrese, J. M., Fleming, C. 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J., Spiegel, O., & Getz, W. M. (2018). Going through the motion\nIncorporating movement analyses into disease research. Ecology Letters, 21(4), 588–604. Douglas-Hamilton, I., Krink, T., & Vollrath, F. (2005). Movements and corridors of African elephants in\nrelation to protected areas. Naturwissenschaften, 92(4), 158–163. Dunbar, R. I. M. (1992). Time: A hidden constraint on the behavioural ecology of baboons. Behavioral\nEcology and Sociobiology, 31(1), 35–49. Farine, D. R., Strandburg-Peshkin, A., Berger-Wolf, T., Ziebart, B., Brugere, I., et al (2016). Both nearest\nneighbours and long-term affiliates predict individual locations during collective movement in wild\nbaboons. Scientific Reports, 6, 27704. Farine, D. R., Strandburg-Peshkin, A., Couzin, I. The Relationship Between GPS Sampling Interval and Estimated Daily... 597 Phil Hopkins for assistance with collar design and build. AB thanks Alexis Malagnino for advice with GPS\nprocessing. AJK and IF thank Layla King for support. AB and CC were supported by College of Science/\nSwansea University PhD scholarships. Research was supported by grants from Swansea University’s College\nof Science and the Association for the Study of Animal Behaviour (ASAB). We are grateful to Editor-in-Chief\nJo Setchell and two anonymous reviewers for excellent and constructive feedback during peer review. Phil Hopkins for assistance with collar design and build. AB thanks Alexis Malagnino for advice with GPS\nprocessing. AJK and IF thank Layla King for support. AB and CC were supported by College of Science/\nSwansea University PhD scholarships. Research was supported by grants from Swansea University’s College\nof Science and the Association for the Study of Animal Behaviour (ASAB). We are grateful to Editor-in-Chief\nJo Setchell and two anonymous reviewers for excellent and constructive feedback during peer review. Author Contributions\nAJK and IF conceived the study. AB and CC constructed the tracking collars and\ncollected data in the field. AB processed the data. RMcC analyzed the data and conducted statistical analyses\nwith input from AJK, IF, and AB. RMcC wrote the first draft of the manuscript, which was revised by AJK\nwith input from all authors, who read and approved the final manuscript. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which\npermits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give\nappropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and\nindicate if changes were made. The images or other third party material in this article are included in the\narticle's Creative Commons licence, unless indicated otherwise in a credit line to the material. 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Role of oxidative stress in opiate withdrawal and dependence: Exploring the potential use of honey.
Journal of applied pharmaceutical science
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* Corresponding Author Nor Hidayah Abu Bakar, Opioid Research Interest Group, Faculty of Medicine, Universiti Sultan Zainal Abidin (UniSZA), Medical Campus, Jalan Sultan Mahmud, 20400 Kuala Terengganu, Terengganu, Malaysia. Email: norhidayahabubakar@yahoo.com INTRODUCTION many medicinal values such as anti-cancer; burn wound healing, antibacterial and it also has positive effects on the brain such as to improve memory. This is attributed to the bioactive compounds in honey such as flavonoids and phenolics (Othman et al., 2015; Jaganathan et al., 2014; Alzahrani et al., 2012; Alvarez-Suarez et al., 2012; Al-Waili et al., 2011; Krystyna and Magdalena, 2009; Isabel et al., 2009; Khan et al., 2007). In Malaysia, opiates dependence implicates the country's social and economic development. Harm Reduction Programme was initiated by Malaysia Ministry of Health in 2006, in which Methadone Maintenance Therapy was introduced to be used as a therapeutic method in controlling opioid dependence problems. However, the used of methadone itself would cause dependence and its therapeutic dose had to be increased over the period of time to get the same results (Mattick et al., 2009).Various methods had been used to attenuate opiate dependence including the use of non-addictive materials. These included the use of natural food and plants such as ginger, Habbatu sauda, herb roots and many more (Tu et al., 2015; Darvishzadeh-Mahani et al., 2012; Abdel-Zaher et al., 2010). Honey is a natural food produced by bees which provides a lot of benefits to mankind as honey has been used for medicine and as food supplements. Honey bees have been identified to possess Journal of Applied Pharmaceutical Science Vol. 5 (12), pp. 159-161, December, 2015 Available online at http://www.japsonline.com DOI: 10.7324/JAPS.2015.501228 Journal of Applied Pharmaceutical Science Vol. 5 (12), pp. 159-161, December, 2015 Available online at http://www.japsonline.com DOI: 10.7324/JAPS.2015.501228 ISSN 2231-3354 Role of oxidative stress in opiate withdrawal and dependence: Exploring the potential use of honey Nor Hidayah Abu Bakar*, Siti Norhajah Hashim, Nasir Mohamad, Rohayah Husain, Liyana Hazwani Mohd Adnan, Halim Shariff, Nur Husna Zakaria Opioid Research Interest Group, Faculty of Medicine, Universiti Sultan Zainal Abidin (UniSZA), Medical Campus, Jalan Sultan Mahmud, 20400 Kuala Terengganu, Terengganu, Malaysia. © 2015 Nor Hidayah Abu Bakar et al. This is an open access article distributed under the terms of the Creative Commons Attribution License -NonCommercial- ShareAlikeUnported License (http://creativecommons.org/licenses/by-nc-sa/3.0/). ARTICLE INFO Article history: Received on: 20/08/2015 Revised on: 19/09/2015 Accepted on: 02/10/2015 Available online: 27/12/2015 Opiate dependence and withdrawal is a worldwide public health problem and give a significant burden to society. In exploring the problems of opiate dependence and withdrawal, oxidative stress in thought to be involved in the mechanism of the development of dependence and tolerance to morphine. Therefore, there is possibility that antioxidant has the role to reduce the oxidative stress leading to opiate dependence and withdrawal. In this mini review we describe the evidence of relationship between oxidative stress and opiate dependence. We also describe the evidence of honey which has been claimed to have high antioxidant properties and its promising potential to reduce oxidative stress in opiates dependence and tolerance individuals. Key words: Opiate dependence and withdrawal, antioxidant, oxidative stress, honey. ROLE OF OXIDATIVE STRESS ON THE MECHANISM OF OPIATE WITHDRAWAL AND DEPENDENCE It was found that morphine increased the lipid peroxidation in tissues whereas heroin led to oxidative DNA damage, protein oxidation and lipid peroxidation in the brain of mice (Ozmen et al., 2007; Qiusheng et al., 2005). Opioid drugs also exerts effect on the activity of antioxidant systems, as observed by decrease in the total antioxidant capacity in the blood of human heroin addict when compared to the control groups (Pereska et al., 2007). In the experiment with mice exposed to heroin, there was a decrease in the activity of antioxidant enzymes in the brain such as superoxide dismutase (SOD), catalase and glutathione peroxidase (GPx). Other than that, the ratio of glutathione (GSH) to oxidized glutathione (GSSG) was also decreased, leading to reduction in learning ability of the mice (Guzman et al., 2006). In other studies, Pan et al., (2005) noted a reduction in total antioxidant capacity in the serum and in the antioxidant enzymes, such as SOD, catalase, GPx and elevated markers of oxidative damage of DNA, proteins and lipids in heroin induced mice (Xu et al., 2006). This proposed mechanism was further supported by evidence that pre-treatment with free radical scavengers reducing the symptom of morphine withdrawal syndrome in mice (Abdel-Zaher et al., 2013; Darvishzadeh- Mahani et al., 2012; Abdel-Zaher et al., 2011, Abdel-Zaher et al., 2010). Abdel-Zaher et al. (2013) also reported the possible role of oxidative stress and nitric oxide (NO) synthase isoforms in the development of morphine tolerance and dependence, and the effect of alpha-lipoic acid (LA) on these parameters were investigated in mice. They suggested that alpha-LA inhibited morphine-induced oxidative stress and increase the activity of inducible NO synthase in the brain which can attenuate the development of morphine tolerance and dependence. Response to inhibition of morphine- induced NO overproduction and oxidative stress to ameliorate opioid tolerance and dependence was also noted in a study using nigella sativa oil (Abdel-Zaher et al., 2010). Other studies also reported that reduction in oxidative stress will attenuate the development of morphine tolerance and dependence. The studies were done by using thymoquinone for the treatment. Repeated administration of thymoquinone along with morphine attenuated the development of morphine tolerance and dependence, as measured by the hot plate test and assessed by naloxone- precipitated withdrawal manifestations respectively (Abdel-Zaher et al., 2013). Diabetes is known as one of the chronic diseases due to oxidative stress. ROLE OF OXIDATIVE STRESS ON THE MECHANISM OF OPIATE WITHDRAWAL AND DEPENDENCE Opiate dependence is defined as the need to take opioid at regular interval to avoid withdrawal syndrome. It occurs because of the changes in the brain system especially in the locus coeruleus at the base of the brain. The absence of exogenous opioids will stimulate the locus coeruleus brain cells to release excessive amounts of noradrenaline triggering jittery, anxiety, muscle cramps and diarrhea, increased heart rate, increased blood pressure, widening of pupils and widening of air passages in the lungs as well as narrowing of the blood vessels in non-essential organs. On the other hand, when opiate molecule binds to µ receptors on the brain cells in locus coeruleus, it suppresses the release of noradrenaline resulting in drowsiness, slow respiratory rate and low blood pressure (Kosten and George, 2002). Abu Bakar et al. / Journal of Applied Pharmaceutical Science 5 (12); 2015: 159-161 Abu Bakar et al. / Journal of Applied Pharmaceutical Science 5 (12); 2015: 159-161 160 (Bogdanov, 2010; Bogdanov et al., 2008). Abdel-Zaher et al. (2010) reported that reduction in oxidative stress in opiate addicts will reduce dependence and withdrawal symptoms. Looking into this mechanism, honey therefore has a promising effect on the inhibition of morphine-induced oxidative stress which is responsible for the problems of dependence and tolerance in opiate addiction individuals. There are two mechanisms involved in the development of oxidative stress; formation of free radicals and reduction of antioxidant activity (Mori et al., 2007). The neurotransmitter and gasotransmitters involved in these mechanisms are predominantly glutamate and nitric oxide. Opiate intake affects the mechanism of oxidative stress in the brain. This had been proposed by previous studies which indicated that oxidative stress causes opiate dependency (Mannelli et al., 2009; Abdul Zaher et al., 2013). Many chronic diseases are linked to the increased oxidative stress caused by an imbalance between liberal-radical production and the antioxidant level. Antioxidants, which are abundant in natural honey, are free-radical scavengers that reduce the formation of or neutralize free radicals (Isnandia Andrea et al., 2013; Letícia et al., 2008). Antioxidant properties of honey had been explored both in in-vitro and in-vivo studies, in which the authors found that the antioxidant attributes of honey reduced cell damage induced by oxidative stress (Erejuwa et al., 2012). CONCLUSIONS Chronic used of opiates will cause imbalance between oxidants and antioxidants due to an increase of morphine-induced oxidative stress that leads to the development of dependence and tolerance. Honey which is claimed to have high antioxidant properties probably has a potential to reduce oxidative stress in opiates dependence and tolerance individuals. This promising potential is therefore becoming the focus of interest in our current study in opioid dependence and withdrawal in order to look deeper into the mechanism and in finding the complementary supplements ROLE OF OXIDATIVE STRESS ON THE MECHANISM OF OPIATE WITHDRAWAL AND DEPENDENCE Honey has been used traditionally to treat diabetes. Its antioxidant properties help in reducing free radicals generated as a consequence of the disease process that will ameliorate the patient’s general health status. Both studies done using gelam honey and flavonoids showed that the number of reactive oxygen species (ROS) in diabetic induced cell culture decreased and resulted in higher number of living cells. Comparison study on the effects of pure gelam honey and flovonoid on diabetic-induced cell culture resulted in better outcome from the former (Batumalaie et al., 2014; Batumalaie et al., 2013). The antioxidant content in honey varies depending on its geographical origin (Bogdanov, 2010; Bogdanov et al., 2008). This is because different geographical areas have different types of flowers as the sources of honey production. Honey produced from flowers such as lavender, wild carrot, Manuka and Acasia have been shown to have high antioxidant activity (Alzahrani et al., 2012). Based on the antioxidant properties, honey therefore can be used as food supplement to improve general health of the body. Studies done by Goon et al. 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Influence of the Thickness of the Seasonally Thawed Layer of Permafrost in the Eastern Siberia Catchments on the Content of Organic Matter in River Waters
Hydrobiology
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Influence of the Thickness of the Seasonally Thawed Layer of Permafrost in the Eastern Siberia Catchments on the Content of Organic Matter in River Waters a I. Gabysheva 1, Viktor A. Gabyshev 2 , Sophia Barinova 3,* , Irina A. Yakshina 2 and Inno A. Gabyshev 2 , Sophia Barinova 3,* , Irina A. Yakshina 2 and Innokentiy S. Pavlov 4 1 Institute for Biological Problems of Cryolithozone Siberian Branch of Russian Academy of Science (IBPC SD RAS), 677980 Yakutsk, Russia; g89248693006@yandex.ru Institute for Biological Problems of Cryolithozone Siberian Branch of Russian Academy of Science (IBPC SD RAS), 677980 Yakutsk, Russia; g89248693006@yandex.ru 2 The State Nature Reserve Ustlensky, 678400 Tiksi, Russia; v.a.gabyshev@yandex.ru (V.A.G.); i_yakshina@rambler.ru (I.A.Y.) 3 Institute of Evolution, University of Haifa, Mount Carmel, 199 Abba Khoushi Ave., Haifa 3498838, Israel 4 Department for the Study of Mammoth Fauna, Academy of Sciences of the Republic of Sakha (Yakutia), 677007 Yakutsk, Russia; pavlovinn@mail.ru * Correspondence: sophia@evo.haifa.ac.il; Tel.: +972-4824-97-99 g y 2 The State Nature Reserve Ustlensky, 678400 Tiksi, Russia; v.a.gabyshev@yandex.ru (V.A.G.); i_yakshina@rambler.ru (I.A.Y.) 2 The State Nature Reserve Ustlensky, 678400 Tiksi, Russia; v.a.gabyshev@yandex.ru (V.A.G.); i_yakshina@rambler.ru (I.A.Y.) 3 Institute of Evolution, University of Haifa, Mount Carmel, 199 Abba Khoushi Ave., Haifa 3498838, Israe 4 Department for the Study of Mammoth Fauna, Academy of Sciences of the Republic of Sakha (Yakutia), 677007 Yakutsk, Russia; pavlovinn@mail.ru p * Correspondence: sophia@evo.haifa.ac.il; Tel.: +972-4824-97-99 Abstract: In the context of global climate change, a significant increase in the active layer thickness (ALT) of permafrost is expected in the current century. This process has been observed by researchers over the past few decades. If the current climate trend continues, an increase in ALT may have a significant impact on the concentration of organic matter in Arctic river waters. The relationship between the thickness of the seasonally thawed layer of permafrost and the concentration of dissolved organic matter in river waters has been explored using clustering, one-way ANOVA, and cross- tabulation analysis. The data set for analysis included original details on the content of organic matter in the rivers of Eastern Siberia (in terms of COD, BOD5, and the color of the water), phytoplankton abundance and biomass, and data on the permafrost active layer thickness (ALT) in the catchments. It was revealed that in the areas of catchments where the ALT is deeper, the content of organic matter in the rivers is lower than in areas with a shallow, seasonally thawed permafrost. Citation: Gabysheva, O.I.; Gabyshev, V.A.; Barinova, S.; Yakshina, I.A.; Pavlov, I.S. Influence of the Thickness of the Seasonally Thawed Layer of Permafrost in the Eastern Siberia Catchments on the Content of Organic Matter in River Waters. Hydrobiology 2022, 1, 243–251. https://doi.org/10.3390/ hydrobiology1020018 Academic Editor: Kimio Fukami Received: 21 May 2022 Accepted: 16 June 2022 Published: 20 June 2022 Citation: Gabysheva, O.I.; Gabyshev, V.A.; Barinova, S.; Yakshina, I.A.; Pavlov, I.S. Influence of the Thickness of the Seasonally Thawed Layer of Permafrost in the Eastern Siberia Catchments on the Content of Organic Matter in River Waters. Hydrobiology 2022, 1, 243–251. https://doi.org/10.3390/ hydrobiology1020018 Academic Editor: Kimio Fukami Received: 21 May 2022 Accepted: 16 June 2022 Published: 20 June 2022 Citation: Gabysheva, O.I.; Gabyshev, V.A.; Barinova, S.; Yakshina, I.A.; Pavlov, I.S. Influence of the Thickness of the Seasonally Thawed Layer of Permafrost in the Eastern Siberia Catchments on the Content of Organic Matter in River Waters. Hydrobiology 2022, 1, 243–251. https://doi.org/10.3390/ hydrobiology1020018 Academic Editor: Kimio Fukami Received: 21 May 2022 Accepted: 16 June 2022 Published: 20 June 2022 Keywords: organic matter; COD; color of water; phytoplankton; active layer; permafrost; large rivers; Eastern Siberia Influence of the Thickness of the Seasonally Thawed Layer of Permafrost in the Eastern Siberia Catchments on the Content of Organic Matter in River Waters Our results are consistent with the existing conceptual model of the influence of ALT on the chemistry of river waters in the cryolithozone. This knowledge is important for predicting the chemical composition of the Arctic rivers, eutrophication, and the rate of inflow of dissolved solids into the Arctic Ocean under the current conditions of ALT deepening. 1. Introduction 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. In the soils of the Arctic catchments, due to swamping and the predominance of anaerobic conditions, extensive reserves of organic matter have been accumulated [1–3]. The upper soil horizons, in which organic matter is deposited, are the key source of organic matter in the river waters of the region [4]. The influx of organic matter into river waters is associated with the stimulation of the vegetation of planktonic algae, and, consequently, with eutrophication [5,6]. The intensity of vegetation of algae as autotrophic organisms is mainly regulated by the content of inorganic nutrients in the water, such as nitrogen and phosphorus compounds. However, some taxonomic groups of algae that are mixotrophs are capable of direct consumption of dissolved organic matter. As mixotrophic algae are usually scarce in Arctic rivers, phytoplankton and even autotrophic algae often utilize nutrients of organic form, so the mixotrophs will be omitted in the data of abundance and biomass. Therefore, variables of water quality such as oxygen consumption for chemical and biological processes (chemical oxygen demand (COD) and biochemical oxygen demand (BOD)) are proportionally related to phytoplankton biomass [7]. The natural process of 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/hydrobiology Hydrobiology 2022, 1, 243–251. https://doi.org/10.3390/hydrobiology1020018 Hydrobiology 2022, 1 244 the transfer of dissolved organic matter from soils to river waters occurs due to surface runoff from the catchment. Under permafrost conditions, this process can be affected by the thickness of the seasonally thawed permafrost layer, or the so-called active layer thickness (hereinafter, ALT) [8]. There is uncertainty regarding how the ALT depth controls the input of organic matter into Arctic river waters. There is evidence that meltwater from permafrost soils formed during the seasonal degradation of permafrost leads to an increase in the removal of organic compounds [9]. 1. Introduction A comparison of data on river basins with discontinuous and sporadic permafrost distribution showed that the catchments of Alaska [8,10–12], the Yukon Territory in Canada [13], and Central Siberia [14,15] are characterized by a reduced concentration of dissolved organic compounds in waters of rivers flowing through territories devoid of permafrost, where surface runoff is not blocked within the ALT. The waters of the tributaries of the Lena River, flowing in areas with a deep ALT, also found a lower carbon content, in comparison with tributaries located in areas with a shallow ALT [16]. However, observations in the catchments of the West Siberian Lowland show a low content of organic matter in the rivers of the permafrost zone, and a significantly higher content in areas outside the permafrost zone [17]. In the territory of Russia, the ALT increased by an average of 20 cm over the period of 1956–1990, according to Frauenfeld et al. [18]. Modeling of the ALT dynamics showed the possibility of its increase by 30–40% for most permafrost areas in the Northern Hemisphere by the year 2100 [19]. Despite the fact that forecasts of the state of permafrost in a changing climate have some variability [20], in the coming decades, an increase in the depth of the ALT is inevitable under the influence of the expected continued increase in air temperature [21]. In this regard, the issues of studying the effect of ALT on the formation of the chemical composition of surface waters become more relevant, since this knowledge is important for predicting possible changes in the chemistry of river waters in the Arctic and the rate of entry of dissolved substances into the Arctic Ocean [22]. The significance of such studies in the catchments of Eastern Siberia is even higher, given that in areas of continuous permafrost, to which this region belongs, transformations caused by permafrost degradation can be the most dramatic [23]. The aim of this work is to study the specific features of the influence of the ALT in the catchments of Eastern Siberia on the content of organic matter in river waters and phytoplankton. Table 1. Variables of the analyzed data array. For clustering, the Euclidean distance was utilized using the Ward algorithm [29]. Since the analyzed features had different scales, in order to eliminate the dominance of individual features with maximum numerical values, a standardization procedure was preliminarily carried out. Differences between clusters were assessed by comparing the group means for array variables using one-way ANOVA [30]. The cross-tabulation analysis of the gradations of the qualitative grouping variables was performed using Pearson’s chi-square (χ2) goodness-of-fit test, and Cramer’s V- criterion was used as an indicator of the intensity of the relationship [31–33]. Threshold values for the Cramer V-criterion were taken in accordance with A. M. Grzhibovsky [34]. The use of this approach, and the application of the actual data obtained during the re- search, in the absence of theoretical frequencies (obtained from the theoretical distribution law), involved the artificial construction of some theoretical frequencies with which the comparison was made. Theoretical frequencies were calculated on the basis of actual data, based on the condition of independence of two features. Using the chi-square test, the actual (observed) and calculated, and theoretical (expected) frequencies were compared. Moreover, if the actual frequency was higher than the theoretical one, then the relationship (as well as the difference between these frequencies) was positive, and vice versa. When testing statistical hypotheses, the critical level of statistical significance was assumed to be 5%. Statistical analysis procedures were performed using the Statistica 10 software package. 2. Materials and Methods The materials used for the study were the collected samples from the 12 largest rivers of Eastern Siberia: Lena, Vilyuy, Kolyma, Aldan, Olenyok, Vitim, Indigirka, Amga, Olyokma, Anabar, Yana, and Chara. Observations were carried out from 2007–2011 from June to August. Water samples were taken from the surface horizon (0–0.3 m) both in the coastal areas and along the fairways of the rivers. Preservation and storage of the water samples for subsequent chemical-analytical processing in the laboratory was carried out in accordance with the guidelines for the chemical analysis of land surface waters [24]. Three variables were used as indicators of the content of organic matter in water; COD, BOD5, and water color. Determination of the BOD5 value was carried out at the sampling site by a titrimetric method based on iodometric determination. The remaining indicators were determined in the laboratory of the Institute for Biological Problems of Cryolithozone of the Siberian Branch of the Russian Academy of Science by the photometric method: COD-on the device “Fluorat-02”, Lumex, Russia. Water color was measured on the spectrophotometer SF-26 (LOMO, Saint Petersburg, Russia) according to the platinum-cobalt (Pt-Co) scale ranges from 0 to 500 units. Information on the content of organic matter, phytoplankton abundance, and biomass for each observation point was published by us previously [25]. A correlation analysis between the group “organic matter” environmental variables as independent variables, and the phytoplankton abundance and biomass as dependent variables, was carried out based on the Pearson coefficients calculation in the ExStatR Program ver. 1.2 [26]. Hydrobiology 2022, 1 245 Data on the ALT of permafrost were obtained on the basis of materials published by C. Beer et al. [27], as well as on the basis of the map of Russia “Seasonal freezing and thawing of soils” [28]. The data array we formed included eight quantitative variables, which were grouped into three groups: organic matter, characteristics of the seasonally thawed permafrost layer, and geographical coordinates of sampling points (observations) (Table 1). The total number of observations of the array is 303. Table 1. Variables of the analyzed data array. Variable Groups Variable Name Organic matter Color, Pt-Co units COD, mg L−1 BOD5, mg L−1 Characteristics of the seasonally thawed permafrost layer Minimum Active Layer Thickness, m Maximum Active Layer Thickness, m Mean Active Layer Thickness, m Geographical coordinates of sampling points (observations) East, degrees North, degrees Table 1. Variables of the analyzed data array. 2. Materials and Methods Table 1. Variables of the analyzed data array. Variable Groups Variable Name Organic matter Color, Pt-Co units COD, mg L−1 BOD5, mg L−1 Characteristics of the seasonally thawed permafrost layer Minimum Active Layer Thickness, m Maximum Active Layer Thickness, m Mean Active Layer Thickness, m Geographical coordinates of sampling points (observations) East, degrees North, degrees 3. Results Using the clustering of observations of the data array by variables from the group “organic matter”, the grouping variable Cl_2O “indicators of the content of organic matter in water” was obtained. The results of comparing the means of variables for two selected clusters using one-way ANOVA indicated the maximum difference between the gradations of the new categorical variable Cl_2O, in terms of water color and COD (Table 2). g The plot of the standardized means for each cluster of Cl_2O (Figure 1) shows that the two resulting clusters clearly differ in all five analyzed variables. The first cluster was characterized by higher mean values of the variables. Hydrobiology 2022, 1 24657 Table 2. Analysis of variance and means for each cluster of Cl_2O. Variable Clusters F p 1 2 Color, Pt-Co units 58.27 16.98 577.6 0.0000 COD, mg L−1 41.82 21.99 184.4 0.0000 BOD5, mg L−1 1.11 0.86 9.2 0.0027 Note. The following designations are used in the header of the table: F—Fisher’s F-test, p—significance level. COD, mg L 41.82 21.99 1 BOD5, mg L−1 1.11 0.86 Note. The following designations are used in the header of the table: F—Fisher’s F cance level. The plot of the standardized means for each cluster of Cl_2O (Figur the two resulting clusters clearly differ in all five analyzed variables. The f characterized by higher mean values of the variables. Figure 1. Plot of standardized means for each cluster of Cl_2O. Figure 1. Plot of standardized means for each cluster of Cl_2O. Table 2. Analysis of variance and means for each cluster of Cl_2O. BOD5, mg L−1 Figure 1. Plot of standardized means for each cluster Figure 1. Plot of standardized means for each cluster of Cl_2O. We conducted a correlation analysis of the studied variables based o coefficients. The data are shown in Table 3. It can be seen that the waterco plankton abundance are the most related. COD and BOD are also related, We conducted a correlation analysis of the studied variables based on the Pearson coef- ficients. The data are shown in Table 3. It can be seen that the watercolor and phytoplankton abundance are the most related. COD and BOD are also related, and the abundance and biomass of phytoplankton are significantly correlated with BOD5. dance and biomass of phytoplankton are significantly correlated with BOD Table 3. 3. Results Correlation analysis of variables from the group “organic matter” and phyto d d bi di t [25] b d P ’ l ti ffi i t Table 3. Correlation analysis of variables from the group “organic matter” and phytoplankton abundance and biomass, according to [25], based on Pearson’s correlation coefficient with significance values * p < 0.05. dance and biomass of phytoplankton are significantly correlated with BOD Table 3. Correlation analysis of variables from the group “organic matter” and phyto dance and biomass according to [25] based on Pearson’s correlation coefficient w Table 3. Correlation analysis of variables from the group “organic matter” and phytoplankton abundance and biomass, according to [25], based on Pearson’s correlation coefficient with significance values * p < 0.05. dance and biomass, according to [25], based on Pearson s correlation coefficient w values* p < 0.05. Variable Water Color COD BOD5 Abundanc Water Color 0 0.48 0.15 0 * COD 0 0 0.02 * 0.08 BOD5 0.009 0.783 0 0.05 * Abundance 0 967 0 177 0 423 0 Variable Water Color COD BOD5 Abundance Biomass Water Color 0 0.48 0.15 0 * 0.08 COD 0 0 0.02 * 0.08 0.19 BOD5 0.009 0.783 0 0.05 * 0.04 * Abundance 0.967 0.177 0.423 0 0.36 Biomass 0.190 0.001 0.442 0 0 Note: the left lower part are the Pearson coefficients, the upper right part represents the p-value. Significant values are in bold. Biomass 0.190 0.001 0.442 0 Note: the left lower part are the Pearson coefficients, the upper right part represe Significant values are in bold. The identified clusters were highly geographically localized (Figure 2) The identified clusters were highly geographically localized (Figure 2). The first cluster, richest in organic matter, combined observations on the rivers of the northwestern part of the studied region (Anabar, Olenyok, and Vilyuy), as well as individual observations on the Indigirka, Kolyma, Amga, Aldan, and Olyokma rivers. Observations of the second cluster were concentrated mainly along the rivers of the northeast and south of the region. 247 Hydrobiology 2022, 1 second clu Figure 2. Observations classified according to the Cl_2O gradation (left panel) and according to the Cl_3P gradation (right panel) (a—cluster 1, red; b—cluster 2, blue; c—cluster 3, green; rivers are marked with numbers: 1—Anabar, 2—Olenyok, 3—Lena, 4—Yana, 5—Indigirka, 6—Kolyma, 7— Vilyuy, 8—Vitim, 9—Chara, 10—Olyokma, 11—Amga, 12—Aldan). Figure 2. 3. Results Observations classified according to the Cl_2O gradation (left panel) and according to the Cl_3P gradation (right panel) (a—cluster 1, red; b—cluster 2, blue; c—cluster 3, green; rivers are marked with numbers: 1—Anabar, 2—Olenyok, 3—Lena, 4—Yana, 5—Indigirka, 6—Kolyma, 7—Vilyuy, 8—Vitim, 9—Chara, 10—Olyokma, 11—Amga, 12—Aldan). ns classified according to the Cl_2O gradation (left panel) and according to the ht panel) (a—cluster 1, red; b—cluster 2, blue; c—cluster 3, green; rivers are rs: 1—Anabar, 2—Olenyok, 3—Lena, 4—Yana, 5—Indigirka, 6—Kolyma, 7— Chara, 10—Olyokma, 11—Amga, 12—Aldan). Figure 2. Observations classified according to the Cl_2O gradation (left panel) and according to the Cl_3P gradation (right panel) (a—cluster 1, red; b—cluster 2, blue; c—cluster 3, green; rivers are marked with numbers: 1—Anabar, 2—Olenyok, 3—Lena, 4—Yana, 5—Indigirka, 6—Kolyma, 7—Vilyuy, 8—Vitim, 9—Chara, 10—Olyokma, 11—Amga, 12—Aldan). observations were clustered according to indicators from the group the seasonally thawed permafrost layer” (hereinafter, gradation Cl_3P mafrost”). According to the ranked values of the F-criterion, the greatest n the clusters was achieved in terms of the minimum and maximum In addition, observations were clustered according to indicators from the group “Char- acteristics of the seasonally thawed permafrost layer” (hereinafter, gradation Cl_3P “prop- erties of permafrost”). According to the ranked values of the F-criterion, the greatest difference between the clusters was achieved in terms of the minimum and maximum ALT (Table 4). variance and means for each cluster of Cl_3P. Variable Clusters F p 1 2 3 ve Layer Thickness, m 0.96 0.19 0.46 916.1 0.0000 ve Layer Thickness m 3 24 1 58 3 51 800 5 0 0000 Table 4. Analysis of variance and means for each cluster of Cl_3P. Variable Clusters F p 1 2 3 Minimum Active Layer Thickness, m 0.96 0.19 0.46 916.1 0.0000 Maximum Active Layer Thickness, m 3.24 1.58 3.51 800.5 0.0000 Mean Active Layer Thickness, m 2.00 0.95 1.78 302.0 0.0000 Note. The following designations are used in the header of the table: F—Fisher’s F-test, p—significance level. Table 4. Analysis of variance and means for each cluster of Cl_3P. Layer Thickness, m 2.00 0.95 1.78 302.0 0.0000 designations are used in the header of the table: F—Fisher’s F-test, p—signifi- An analysis of the standardized means for each cluster of Cl_3P showed that the second cluster differed from the others in the lowest degree of seasonal thawing of permafrost for all three measured variables (Figure 3). 3. Results All three clusters were well distinguished by the variable “Minimum Active Layer Thickness”. the standardized means for each cluster of Cl_3P showed that the sec- d from the others in the lowest degree of seasonal thawing of perma- easured variables (Figure 3). All three clusters were well distinguished inimum Active Layer Thickness”. The second cluster, characterized by the lowest degree of seasonal permafrost thawing, combined observations on Arctic rivers (Figure 2), including them in either their entirety (Olenyok, Yana, Indigirka) or their lower sections (Anabar, Kolyma), as well as individual observations from the upper-reaches of mountain rivers in the south of the region (Vitim, Chara). The first cluster, whose observations were characterized by the highest minimum thickness of seasonal thawing of permafrost, was localized in the south of the region in sections of the Kolyma, Vitim, Chara, and Olyokma rivers. The third cluster, which occupied an intermediate position among the three identified gradations Cl_3P, combined observations of the central part of the studied region, including the Vilyuy, Lena, Aldan, and Amga rivers, and some sections of the Anabar, Kolyma, Olyokma, and Chara rivers. 2486 Hydrobiology 2022, 1 Hydrobiology 2022, 1, F Figure 3. Plot of standardized means for each cluster of Cl_3P. Figure 3. Plot of standardized means for each cluster of Cl_3P. Figure 3. Plot of standardized means for each cluster of Cl_3P. Figure 3. Plot of standardized means for each cluster of Cl_3P. The second cluster, characterized by the lowest degree of seasonal permafrost thaw- ing, combined observations on Arctic rivers (Figure 2), including them in either their en- tirety (Olenyok, Yana, Indigirka) or their lower sections (Anabar, Kolyma), as well as in- dividual observations from the upper-reaches of mountain rivers in the south of the re- gion (Vitim, Chara). The first cluster, whose observations were characterized by the high- est minimum thickness of seasonal thawing of permafrost, was localized in the south of the region in sections of the Kolyma, Vitim, Chara, and Olyokma rivers. The third cluster, which occupied an intermediate position among the three identi- fied gradations Cl_3P, combined observations of the central part of the studied region, including the Vilyuy, Lena, Aldan, and Amga rivers, and some sections of the Anabar, Kolyma, Olyokma, and Chara rivers. 3. Results A cross-tabulation analysis of the categorical variables Cl_2O and Cl_3P was per- formed to find the relationship between the ALT in the catchment and the concentration of organic matter in river waters. The value of Cramer’s V-test (0.25) indicated that the intensity of the relationship between these two variables is medium, and the level of sig- A cross-tabulation analysis of the categorical variables Cl_2O and Cl_3P was per- formed to find the relationship between the ALT in the catchment and the concentration of organic matter in river waters. The value of Cramer’s V-test (0.25) indicated that the intensity of the relationship between these two variables is medium, and the level of sig- nificance achieved (p = 0.0001) confirmed the suitability of the data for further analysis. The value of the chi-square test, which is the sum of the contributions by all cells of the pivot (Table 5) is 18.29. The maximum values of the chi-square test, and, consequently, the strength of the relationship between the features, correspond to the cells at the intersection of the row “cluster 1” of the categorical variable Cl_3P and the columns “cluster 1” and “cluster 2” of the gradation Cl_2O (Table 5). The differences between the observed and expected frequencies for these cells of the pivot Table 5 were significant. Thus, the first cluster of gradation Cl_3P, which was characterized by the highest degree of seasonal permafrost thawing, has a negative relationship with the first, most organic-rich cluster of the categorical variable Cl_2O, and vice versa, a positive relationship with the second cluster of waters poor in organic matter. nificance achieved (p = 0.0001) confirmed the suitability of the data for further analysis The value of the chi-square test, which is the sum of the contributions by all cells of the pivot (Table 5) is 18.29. The maximum values of the chi-square test, and, consequently Table 5. Crosstabulation results of qualitative variables Cl_2O “indicators of the content of organic matter in water” and Cl_3P “properties of permafrost”. nificance achieved (p = 0.0001) confirmed the suitability of the data for further analysis. The value of the chi-square test, which is the sum of the contributions by all cells of the pivot (Table 5) is 18.29. The maximum values of the chi-square test, and, consequently, Table 5. Crosstabulation results of qualitative variables Cl_2O “indicators of the content of organic matter in water” and Cl_3P “properties of permafrost”. 4. Discussion Arctic rivers are characterized by a high content of organic matter [35], which is due to the influence of carbon-rich soils in catchments located in the permafrost zone. Our study has shown the presence of a gradient in the content of organic matter in the waters of the rivers of Eastern Siberia (Table 2, Figure 2). A comparison of our data of oxygen demand and the abundance and biomass of phytoplankton demonstrated a high correlation of these variables in the Arctic rivers (Table 3). As can be seen from the data of Gibson et al. [27], the production of organic matter in the zone of water removal by the rivers of Eastern Siberia, as well as the Yenisei and Ob rivers, is the highest for the entire Arctic Ocean. This emphasizes the importance of the present study of the sources of organic matter exports to the Arctic Ocean. The ALT, despite its more complex distribution in mountainous regions and in zones of discontinuous permafrost in the south of the region, is generally characterized by an increase in the direction of north to south [27]. This is also shown by the result of our analysis (Table 4, Figure 2). A comparison of patterns of spatial distribution of ALT in the catchments of the studied region, and the content of organic matter in river waters, revealed the following pattern: the deeper the layer of seasonal thawing of permafrost in the catchment area, the lower the concentration of organic matter in river waters. The revealed patterns are explained by the differences in the depths of the prevailing runoff routes from catchments, which, in turn, is controlled by the thickness of the sea- sonally thawed permafrost layer. Our result generally agrees with the main provisions of the conceptual model of the effect of ALT on the chemical composition of inner waters, which was developed by R. MacLean et al. [8] for the catchments of Alaska. In accordance with the conceptual model, permafrost retains runoff in the upper layer of soil that is rich in organic matter, where surface runoff waters are saturated with dissolved organic matter. As a result, this leads to an increase in the content of organic matter in river waters. In catchments with a deeper ALT, the underlying mineral soil layer becomes part of the seasonally thawed layer. 3. Results nificance achieved (p = 0.0001) confirmed the suitability of the data for further analysis. The value of the chi-square test, which is the sum of the contributions by all cells of the pivot (Table 5) is 18.29. The maximum values of the chi-square test, and, consequently, Table 5. Crosstabulation results of qualitative variables Cl_2O “indicators of the content of organic matter in water” and Cl_3P “properties of permafrost”. p q q y the strength of the relationship between the features, correspond to the cells at the inter- section of the row “cluster 1” of the categorical variable Cl_3P and the columns “cluster 1” and “cluster 2” of the gradation Cl_2O (Table 5). The differences between the observed and expected frequencies for these cells of the pivot Table 5 were significant. Thus, the first cluster of gradation Cl_3P, which was characterized by the highest degree of seasonal permafrost thawing, has a negative relationship with the first, most organic-rich cluster of the categorical variable Cl_2O, and vice versa, a positive relationship with the second cluster of waters poor in organic matter. Summary Results Cl_2O All Gradations Cluster 1 Cluster 2 Observed frequency Cl_3P Cluster 1 0 33 33 Expected frequency 10.78 22.22 - Observed minus expected frequencies −10.78 10.78 0 Chi-square by cell 10.782 5.233 - Observed frequency Cluster 2 48 77 125 Expected frequency 40.84 84.16 - Observed minus expected frequencies 7.16 −7.16 0 Chi-square by cell 1.255 0.609 - Observed frequency Cluster 3 51 94 145 Expected frequency 47.38 97.62 - Observed minus expected frequencies 3.62 −3.62 0 Chi-square by cell 0.277 0.135 - Observed frequency All gradations 99 204 303 Hydrobiology 2022, 1 249 4. Discussion Thus, surface runoff provides access to the mineral soil horizon, contact in which surface runoff waters lose dissolved organic matter due to the process of abiotic adsorption [36]. p A number of researchers obtained similar results by comparing data on the concentra- tion of organic matter in rivers flowing through areas of catchments devoid of permafrost and across the permafrost zone. Such studies were carried out in areas of sporadic and discontinuous distribution of permafrost in the river basins of Alaska [8–12], the Yukon Territory in Canada [13], and Central Siberia [14,15]. However, similar studies in the catch- ments of Western Siberia led to opposite results: in areas outside of the permafrost zone, where permafrost did not block surface runoff water in the redistribution of the surface soil horizon, the researchers noted not a decrease, but an increase in the concentration of organic matter in river waters [17]. The researchers explained this result by the presence of a deep layer of peatlands in the West Siberian Lowland, which has an average depth of 1–5 m [37], and provides an additional source of organic matter in areas of catchments devoid of permafrost, where surface runoff is not blocked within the ALT. Thus, an increase in the ALT in Western Siberia opens up access to the lower horizons of peat soils that are even richer in organic matter, and contributes to an increase in the export of organic matter to the surface waters of the region. 5. Conclusions Obviously, in the area of permafrost, a factor such as the ALT has a great potential for influencing the chemical composition of surface waters. In the drainage basins of the permafrost zone, vast reserves of organic matter have been accumulated, which are recorded in the upper horizon of permafrost soils. The predominant routes of surface runoff from catchments, determined by the ALT, are able to regulate the natural process of removal of dissolved organic matter from soils. The increase in ALT leads to a change Hydrobiology 2022, 1 250 in the depth of surface runoff and the duration of water stay in the soil, which affects the chemical composition of inner waters through exchange reactions between water and soil. in the depth of surface runoff and the duration of water stay in the soil, which affects the chemical composition of inner waters through exchange reactions between water and soil. In this study, we used original data on the content of organic matter and phytoplankton in the waters of the largest rivers of Eastern Siberia, as well as published information on their ALTs. As a result of the analysis, it was found that such indirect indicators of the content of organic matter in water, such as COD and water color, and (indirectly) the abundance and biomass of phytoplankton, were correlated and associated with the degree of seasonal permafrost degradation. It was shown that in catchments with a less thick seasonally thawed layer of permafrost, the content of organic matter in river waters is higher than in those parts of the studied region where the degree of seasonal degradation of permafrost is greater. This is consistent with the elements of the existing concept of the regulatory role of the ALT in the formation of the chemical composition of permafrost waters, which affects eutrophication. An increase in the ALT in recent decades has been observed for the entire territory of the permafrost zone of the northern hemisphere, and there are forecasts of its increase in the current century. Therefore, the results obtained are important from the point of view of assessing possible changes in the chemistry of river waters in the Arctic in the future and the rate of entry of dissolved substances into the Arctic Ocean. Author Contributions: Conceptualization, O.I.G. and V.A.G.; methodology, O.I.G.; software, I.A.Y.; validation, O.I.G., V.A.G., S.B. References 1. Shepelev, A.G. Cryogenic soil organic matter from the ice complex in Central Yakutia, northeastern Siberia. In Collection of Materials of the All-Russian Scientific Conference with International Participation, Dedicated to the 50th Anniversary of the Institute of Soil Science and Agrochemistry SB RAS; Publishing House of the National Research Tomsk State University: Tomsk, Russia, 2018; pp. 140–144. (In Russian) 1. Shepelev, A.G. Cryogenic soil organic matter from the ice complex in Central Yakutia, northeastern Siberia. In Collection of Materials of the All-Russian Scientific Conference with International Participation, Dedicated to the 50th Anniversary of the Institute of Soil Science and Agrochemistry SB RAS; Publishing House of the National Research Tomsk State University: Tomsk, Russia, 2018; pp. 140–144. (In Russian) pp 2. Shepelev, A.G.; Starostin, E.V.; Fedorov, A.N.; Maksimov, T.K. Preliminary analysis of organic carbon and nitrogen reserves in the rocks of the ice complex of Central Yakutia. Sci. Educ. 2016, 82, 35–42. (In Russian) pp 2. Shepelev, A.G.; Starostin, E.V.; Fedorov, A.N.; Maksimov, T.K. Preliminary analysis of organic carbon and nitrogen reserves in the rocks of the ice complex of Central Yakutia. Sci. Educ. 2016, 82, 35–42. (In Russian) pp 2. Shepelev, A.G.; Starostin, E.V.; Fedorov, A.N.; Maksimov, T.K. Preliminary analysis of organic carbon and nitrogen reserves in the rocks of the ice complex of Central Yakutia. Sci. Educ. 2016, 82, 35–42. (In Russian) 3. Smith, L.C.; MacDonald, G.M.; Velichko, A.A.; Beilman, D.W.; Borisova, O.K.; Frey, K.E.; Kremenetski, K.V.; Sheng, Y. Siberian peatlands a net carbon sink and global methane source since the early Holocene. Science 2004, 303, 353–356. [CrossRef] [PubMed] 3. Smith, L.C.; MacDonald, G.M.; Velichko, A.A.; Beilman, D.W.; Borisova, O.K.; Frey, K.E.; Kremenetski, K.V.; Sheng, Y. Siberian peatlands a net carbon sink and global methane source since the early Holocene. Science 2004, 303, 353–356. [CrossRef] [PubMed] 4. Prokushkin, A.S.; Pokrovsky, O.S.; Prokushkina, M.P.; Korets, M.A. Quantitative and qualitative characteristics of dissolved organic matter in the river runoff of the Central Siberian Plateau (the basin of the Yenisei River). In Proceedings of the VI All-Russian Symposium with International Participation “Organic Matter and Biogenic Elements in Inland Waters and Marine Waters”, Barnaul, Russia, 5–10 September 2017; pp. 197–202. (In Russian). 4. Prokushkin, A.S.; Pokrovsky, O.S.; Prokushkina, M.P.; Korets, M.A. Quantitative and qualitative characteristics of dissolved organic matter in the river runoff of the Central Siberian Plateau (the basin of the Yenisei River). 5. Conclusions and I.A.Y.; formal analysis, I.A.Y.; investigation, O.I.G.; resources, V.A.G.; data curation, S.B.; writing—original draft preparation, O.I.G., V.A.G. and S.B.; writing— review and editing, S.B.; visualization, I.S.P.; supervision, S.B.; project administration, V.A.G.; funding acquisition, I.A.Y. All authors have read and agreed to the published version of the manuscript. Funding: The research was carried out within the state assignment of the Ministry of Natural Resources and Environment of the Russian Federation (theme No. 1-22-81-4). Institutional Review Board Statement: Not applicable. Informed Consent Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: Not applicable. Data Availability Statement: Not applicable. Conflicts of Interest: The authors declare no conflict of interest. 9. Striegl, R.G.; Dornblaser, M.M.; Aiken, G.R.; Wickland, K.P.; Raymond, P.A. Carbon export and cycling by the Yukon, Tanana, and Porcupine rivers, Alaska, 2001–2005. Water Resour. Res. 2007, 43, W02411. [CrossRef] References In Proceedings of the VI All-Russian Symposium with International Participation “Organic Matter and Biogenic Elements in Inland Waters and Marine Waters”, Barnaul, Russia, 5–10 September 2017; pp. 197–202. (In Russian). 4. Prokushkin, A.S.; Pokrovsky, O.S.; Prokushkina, M.P.; Korets, M.A. Quantitative and qualitative characteristics of dissolved organic matter in the river runoff of the Central Siberian Plateau (the basin of the Yenisei River). In Proceedings of the VI All-Russian Symposium with International Participation “Organic Matter and Biogenic Elements in Inland Waters and Marine Waters”, Barnaul, Russia, 5–10 September 2017; pp. 197–202. 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On the Classification of Water Quality from an Ecological Point of View. Int. J. Environ. Sci. Nat. Resour. 2017, 2, 1–8. [CrossRef] 8. MacLean, R.; Oswood, M.W.; Irons, J.G.; McDowell, W.H. The effect of permafrost on stream biogeochemistry: A case study of two streams in the Alaskan (USA) taiga. Biogeochemistry 1999, 47, 239–267. [CrossRef] 8. MacLean, R.; Oswood, M.W.; Irons, J.G.; McDowell, W.H. The effect of permafrost on stream biogeochemistry: A case study of two streams in the Alaskan (USA) taiga. Biogeochemistry 1999, 47, 239–267. [CrossRef] g g y 9. Striegl, R.G.; Dornblaser, M.M.; Aiken, G.R.; Wickland, K.P.; Raymond, P.A. Carbon export and cycling by the Yukon, Tanana, and Porcupine rivers, Alaska, 2001–2005. Water Resour. Res. 2007, 43, W02411. [CrossRef] Hydrobiology 2022, 1 251 10. Petrone, K.C.; Hinzman, L.D.; Shibata, H.; Jones, J.B.; Boone, R.D. The influence of fire and permafrost on sub-arctic stream chemistry during storms. Hydrol. Process. 2007, 21, 423–434. [CrossRef] y g y 11. References Petrone, K.C.; Jones, J.B.; Hinzman, L.D.; Boone, R.D. Seasonal export of carbon, nitrogen, and major solutes from Alaskan catchments with discontinuous permafrost. J. Geophys. Res. 2006, 111, G02020. [CrossRef] p p y 12. Striegl, R.G.; Aiken, G.R.; Dornblaser, M.M.; Raymond, P.A.; Wickland, K.P. A decrease in discharge-normalized DOC export by the Yukon River during summer through autumn. Geophys. Res. Lett. 2005, 32, L21413. [CrossRef] Striegl, R.G.; Aiken, G.R.; Dornblaser, M.M.; Raymond, P.A.; Wickland, K.P. A decrease in discharge-norm the Yukon River during summer through autumn. Geophys. Res. Lett. 2005, 32, L21413. [CrossRef] riegl, R.G.; Aiken, G.R.; Dornblaser, M.M.; Raymond, P.A.; Wickland, K.P. A decrease in discharge-normaliz e Yukon River during summer through autumn. Geophys. Res. Lett. 2005, 32, L21413. [CrossRef] 13. Carey, S.K. Dissolved organic carbon fluxes in a discontinuous permafrost subarctic alpine catchment. Permafr. Periglac. 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Kutscher, L.; Mörth, C.-M.; Porcelli, D.; Hirst, C.; Maximov, T.C.; Petrov, R.E.; Andersson, P.S. Spatial variation in concentration and sources of organic carbon in the Lena River, Siberia. J. Geophys. Res.-Biogeosci. 2017, 122, 1999–2016. [CrossRef] 17. Frey, K.E.; Smith, L.C. Amplified carbon release from vast West Siberian peatlands by 2100. Geophys. R [CrossRef] [ ] 18. Frauenfeld, O.W.; Zhang, T.J.; Barry, R.G.; Gilichinsky, D. Interdecadal changes in seasonal freeze and thaw depths in Russia. J. Geophys. Res.-Atmos. 2004, 109, D05101. [CrossRef] 19. Stendel, M.; Christensen, J.H. Impact of global warming on permafrost conditions in a coupled GCM. Geophys. Res. Lett. 2002, 29, 1632. [CrossRef] 20. Anisimov, O.A.; Lobanov, V.A.; Reneva, S.A.; Shiklomanov, N.I.; Zhang, T.J.; Nelson, F.E. Uncertainties in gridded air temperature fields and effects on predictive active layer modeling. J. Geophys. Res.-Earth Surf. References 2007, 112, F02S14. [CrossRef] p y g J p y f 21. 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https://molecular-cancer.biomedcentral.com/track/pdf/10.1186/s12943-018-0915-9
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BRD4 and Cancer: going beyond transcriptional regulation
Molecular cancer
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Donati et al. Molecular Cancer (2018) 17:164 https://doi.org/10.1186/s12943-018-0915-9 REVIEW Open Access BRD4 and Cancer: going beyond transcriptional regulation Benedetta Donati†, Eugenia Lorenzini† and Alessia Ciarrocchi* Abstract BRD4, member of the Bromodomain and Extraterminal (BET) protein family, is largely acknowledged in cancer for its role in super-enhancers (SEs) organization and oncogenes expression regulation. Inhibition of BRD4 shortcuts the communication between SEs and target promoters with a subsequent cell-specific repression of oncogenes to which cancer cells are addicted and cell death. To date, this is the most credited mechanism of action of BET inhibitors, a class of small molecules targeting BET proteins which are currently in clinical trials in several cancer settings. However, recent evidence indicates that BRD4 relevance in cancer goes beyond its role in transcription regulation and identifies this protein as a keeper of genome stability. Indeed, a non-transcriptional role of BRD4 in controlling DNA damage checkpoint activation and repair as well as telomere maintenance has been proposed, throwing new lights into the multiple functions of this protein and opening new perspectives on the use of BETi in cancer. Here we discuss the current available information on non-canonical, non-transcriptional functions of BRD4 and on their implications in cancer biology. Integrating this information with the already known BRD4 role in gene expression regulation, we propose a “common” model to explain BRD4 genomic function. Furthermore, in light of the transversal function of BRD4, we provide new interpretation for the cytotoxic activity of BETi and we discuss new possibilities for a wide and focused employment of these drugs in clinical settings. Keywords: BRD4, BET inhibitors, Transcriptional regulation, DNA damage response, Telomere regulation, Unconventional function, Cancer Introduction BRD4 is a transcriptional and epigenetic regulator that plays a pivotal role during embryogenesis and cancer development. As the other members of the Bromodomains and Extraterminal (BET) family (BRD2, BRD3 and the testis-ovary specific BRDT), BRD4 is characterized by two tandem bromodomains (BD1, BD2). BDs bind acetylated lysine residues on target proteins, including histones [1–3]. Being their affinity higher for proteins with multiple acetylated residues, BRD4 and the other BET proteins, interact with hyper-acetylated histone regions along the chromatin, accumulating on transcriptionally active regulatory elements and promoting gene transcription both at initiation and elongation step [4–6]. * Correspondence: Alessia.Ciarrocchi@ausl.re.it † Benedetta Donati and Eugenia Lorenzini contributed equally to this work. Laboratory of Translational Research, Azienda Unità Sanitaria Locale-IRCCS di Reggio Emilia, Viale Risorgimento 80, 42123 Reggio Emilia, Italy Genome wide studies indicate that BRD4 is widely distributed along the genome. However, cancer associated genes seem to be selectively dependent on BRD4 being c-MYC the paradigm of this model [7]. For this reason, inhibition of BRD4 by the use of the recently developed BET-inhibitors (BETi), is currently regarded as one of the most promising strategy to target both hematological and solid malignancies. These molecules mimic the acetyl moiety, occluding the acetyl-lysine binding pocket unique of the BET family proteins, displacing them from chromatin [8–12]. Recent evidence adds further complexity on the role of BRD4 in cancer, showing that this protein plays additional non-transcriptional functions, affecting processes like DNA damage repair and checkpoint activation or telomere homeostasis. BETi mediated inhibition of these BRD4 non-canonical activities could significantly impact on cancer cells growth and survival. In the present work, we attempt to discuss the most recent evidence of a © The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Donati et al. Molecular Cancer (2018) 17:164 transversal function of BRD4 in keeping genome stability providing new insights into the cytotoxic effects of BETi in cancer cells. BRD4 and transcription regulation BRD4 was first identified as a cell cycle controlling protein, which associates with chromosomes during mitosis to mark genes whose ready transcription in G1 is required to ensure cell cycle progression [13–16]. From these original observations the relevance and the complexity of BRD4 in transcription regulation has grown exponentially (Table 1). The transcriptional activity of BRD4 is essential during embryogenesis [17– 19] and for cell identity determination. In the early phases of embryogenesis, BRD4 is required to maintain Embryonic Stem Cells (ESCs) self-renewal and pluripotency by controlling or cooperating with ESC TFs like Nanog [18] and OCT4 [19]. In mice, Brd4-null embryos die shortly after implantation due to their inability to maintain the inner cell mass, which gives rise to ESCs [20]. Later during development BRD4 is essential for cell identity determination through the selective regulation of lineage-specific genes. Lee and colleagues using two conditional knockout mouse models showed that BRD4 expression is required for adipogenesis and myogenesis [21]. As well, Najafowa et al. using human fetal osteoblasts demonstrated that BRD4 activity perturbation impairs the entire osteoblast differentiation process from the early commitment to the late phases of mineralization and bone formation [22]. All these studies converge on a common model: BRD4 accumulates on a specific subset of lineage specific, context dependent ENHs through the interaction with lineage specific TFs, facilitating the expression of cell-identity genes. BRD4 is a transcription activator, even if scattered evidence indicates that BRD4 may work occasionally as transcriptional repressor [6, 23]. As reader of the histone code, BRD4 accumulates on hyper-acetylated and transcriptionally prone chromatin regions (both promoters and ENHs) working as nucleation center for the assembly of large protein complexes that promote RNA-PolII activity stimulating transcription initiation and elongation (Fig. 1a). This function largely but not entirely relies on BRD4 BDs and on their ability to recognize acetyl-proteins [2, 6, 24]. BRD4 and transcription initiation Transcription initiation begins with the recruitment of RNA-PolII on the preinitiation complex (PIC) at the gene promoter, followed by RNA-PolII phosphorylation at Serine 5 and stabilization of the RNA-PolIIpromoter interaction. PIC assembly is widely influenced by ENHs and controlled by TFs and other transcription regulatory proteins [25]. Mediator of Page 2 of 13 RNA-PolII transcription (Mediator) is a large complex with modular organization which transduces signals from TFs and activators at the ENHs to promoters, timing PIC formation and transcription initiation [26– 28]. BRD4 has been isolated as preferred cofactor of the Mediator complex [29–31]. BRD4 and the Mediator complex have been shown to largely co-localize at active ENHs and in particular at the level of super-ENHs-SE and their genomic localization is disrupted by BET inhibition (Fig. 1a, b). Indeed, early after BETi treatment Mediator detaches by the set of regulatory elements to which is bound and its displacement tracked closely with the sensitivity of gene expression to BETi [7, 29]. Beside highlighting the relevance of BRD4 in mediating the crosstalk between promoters and distal ENHs these data indicate that inhibition of Mediator is one of the central mechanisms underneath BETi cytotoxicity. Many TFs and chromatin remodeling proteins have been shown to interact with BRD4 [6, 32, 33]. Since TFs are mainly associated with ENHs the interplay with these proteins is crucial for BRD4-ENHs interaction and to define BRD4 selectivity for target genes. TFs recruit acetyltransferases like p300/CBP, which in turn promote nucleosome and/or non histonic proteins (like the same TFs) acetylation. Therefore, recruitment of BRD4 to active ENHs is likely mediated by interaction with acetylated histones as well as direct binding to ENH-associated TFs [6]. Indeed, a recent model proposed that the simultaneous binding of BRD4 to histones and TFs would stabilize TFs binding to ENHs maintaining elevated the transcriptional activity of these elements. The interaction of BRD4 with TFs and histone modifiers can be either mediated by BDs and therefore dependent on the acetylation status of TFs [32, 34, 35] or by other BRD4 domains, thus being not affected by BETi treatment [33, 36, 37]. It has been shown that the ET domain of BRD4 is involved in transcriptional regulation by interacting with histone modifiers including the arginine demethylase JMJD6 [36], the lysine methyltransferase NSD3 and the nucleosome remodeling enzymes SWIF/SNF and CDH4 [37]. Through these interactions BRD4 facilitates transcriptional activation by de-compacting chromatin and accelerating messenger RNA synthesis. Using a yeast purified FLAG-tagged BRD4, Wu and colleagues performed an unbiased biochemical screening looking for BRD4 interactors [33]. Beside identifying consolidated BRD4 partners and many chromatin modifiers, these Authors demonstrated that BRD4 associates in a BD independent mode with a selected group of TFs including p53, YY1, AP2, c-JUN, C/EBPα and β and the heterodimer c-MYC/MAX. BRD4 interaction with p53 is mediated by two regions outside the BDs and in part Donati et al. Molecular Cancer (2018) 17:164 Page 3 of 13 Table 1 Key BRD4 target genes in normal and tumor cells Gene function Model Reference Embryonic cells Oct4 Embryonic development and stem cells pluripotency mESC Di Micco R, et al. Cell Rep 2014 [17] Xite Regulator of X- chromosome inactivation mESC Di Micco R, et al. Cell Rep 2014 [17] Tsix Regulator of X- chromosome inactivation mESC Di Micco R, et al. Cell Rep 2014 [17] Nanog Embryonic stem cells proliferation and pluripotency mESC Wu T, et al. Stem Cell Report 2015 [19] Sox2 Embryonic development and determination of cells fate mESC Wu T, et al. Stem Cell Report 2015 [19] TNFRSF11B Regulator of osteoblasts differentiation hFOB Najafova Z, et al. Nucleic Acids Res 2017 [22] RUNX2 Regulator of osteoblastic differentiation and skeletal morphogenesis hFOB Najafova Z, et al. Nucleic Acids Res 2017 [22] ALPL Regulator of osteoblasts differentiation hFOB Najafova Z, et al. Nucleic Acids Res 2017 [22] Regulator of adipocytes differentiation mESC Lee JE, et al. Nat Commun 2017 [21] Cebpa Regulator of adipocytes differentiation mESC Lee JE, et al. Nat Commun 2017 [21] Fabp4 Regulator of fatty acids uptake and metabolism mESC Lee JE, et al. Nat Commun 2017 [21] Regulator of muscle cells differentiation mESC Lee JE, et al. Nat Commun 2017 [21] Osteogenesis Adipogenesis Pparg Myogenesis Myod1 Somatic cells AURKB Mediator of cell cycle progression Human Foreskin Keratinocytes You J, et al. Mol Cell Biol 2009 [89] Ran Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Kif5b Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Tgf1 Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Ywhah Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Gnb1 Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Rad21 Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Ctnnd1 Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Topo1 Regulator of cell cycle progression Mouse Fybroblast Dey A, et al. Mol Biol Cell 2009 [14] Neuron cells Fos Regulation of synaptic plasticity in neurons Mouse Neurons Korb E, et al. Nat Neurosci 2015 [90] Arc Regulation of synaptic plasticity in neurons Mouse Neurons Korb E, et al. Nat Neurosci 2015 [90] Nr4a1 Regulation of synaptic plasticity in neurons Mouse Neurons Korb E, et al. Nat Neurosci 2015 [90] Nppa Cardiovascular homeostasis Rat cardiac Myocytes Stratton MS, et al. Cell Rep 2016 [91] Nppb Cardiovascular homeostasis Rat cardiac Myocytes Stratton MS, et al. Cell Rep 2016 [91] Ctgf Chondrocyte proliferation and differentiation Rat cardiac Myocytes Stratton MS, et al. Cell Rep 2016 [91] Pln Cardiovascular homeostasis Rat cardiac Myocytes Stratton MS, et al. Cell Rep 2016 [91] Myh6/7 Components of cardiac muscle Rat cardiac Myocytes Stratton MS, et al. Cell Rep 2016 [91] C-MYC Proto-oncogene Multiple Myeloma Lovén J, et al. Cell 2013 [7] IGLL5 Regulator of immune response Multiple Myeloma Lovén J, et al. Cell 2013 [7] IRF4 Interferon regulatory factor Multiple Myeloma Lovén J, et al. Cell 2013 [7] Cardiac cells Cancer cells Donati et al. Molecular Cancer (2018) 17:164 Page 4 of 13 Table 1 Key BRD4 target genes in normal and tumor cells (Continued) Gene function Model Reference XBP1 Post-translational Regulation Multiple Myeloma Lovén J, et al. Cell 2013 [7] PRDM1 Regulator of immune response Multiple Myeloma Lovén J, et al. Cell 2013 [7] PIM2 Proto-oncogene Retinoblastoma Rahman S, et al. Mol Cell Biol 2011 [37] CCND1 Regulator of cell cycle progression Retinoblastoma Rahman S, et al. Mol Cell Biol 2011 [37] DCPS Regulator of mRNA processing Retinoblastoma Rahman S, et al. Mol Cell Biol 2011 [37] TERT Regulator of Telomere Homeostasis Colon Cancer Akincilar SC, et al. Cancer Discov 2016 [80] GABPA Regulator of Mitochondrial function Colon Cancer Akincilar SC, et al. Cancer Discov 2016 [80] KRAS Proto-oncogene Glioblastoma Du Z, et al. Int J Oncol 2018 [92] BRAF Proto-oncogene Glioblastoma Du Z, et al. Int J Oncol 2018 [92] CALM2 Regulator of cell cycle progression and proliferation Glioblastoma Du Z, et al. Int J Oncol 2018 [92] ARAF Proto-oncogene Glioblastoma Du Z, et al. Int J Oncol 2018 [92] MAPK8 Regulator of proliferation,differentiation, transcription and development Glioblastoma Du Z, et al. Int J Oncol 2018 [92] PLCB3 Regulator of signal transduction Glioblastoma Du Z, et al. Int J Oncol 2018 [92] MAPK10 Regulator of proliferation,differentiation, transcription and development Glioblastoma Du Z, et al. Int J Oncol 2018 [92] ADCY6 Regulator of signal transduction Glioblastoma Du Z,et al. Int J Oncol 2018 [92] RUNX2 Regulator of cell proliferation, survival and invasiveness Thyroid, Breast Cancer Sancisi V, et al. Nucleic Acids Res 2017 [11] FOSL1 Regulator of cell proliferation, differentiation and trasformation Non Small Cell Lung Cancer Shi J, et al. Molecular Cell 2014 [6] BCL2 Regulator of apoptosis Hematological malignancies Shi J, et al. Molecular Cell 2014 [6] XRCC5 Involved in DSB DNA repair Prostate Cancer Li XY, et al. Cell Rep 2018 [58] XRCC4 Involved in DSB DNA repair Prostate Cancer Li XY, et al. Cell Rep 2018 [58] NHEJ1 Involved in DSB DNA repair Prostate Cancer Li XY, et al. Cell Rep 2018 [58] WRN Involved in DNA repair and maintenance of genome stability Prostate Cancer Li XY, et al. Cell Rep 2018 [58] DCLRE1C Involved in DSB DNA repair Prostate Cancer Li XY, et al. Cell Rep 2018 [58] LIG4 Involved in DSB DNA repair Prostate Cancer Li XY, et al. Cell Rep 2018 [58] ERCC4 Involved in DNA repair Prostate Cancer Li XY, et al. Cell Rep 2018 [58] HMOX1 Involved in oxidative stress response Prostate Cancer Hussong H, et al. Cell Death Dis 2014 [93] SESN3 Involved in oxidative stress response Prostate Cancer Hussong H, et al. Cell Death Dis 2014 [93] HDAC6 Hystone Deacetylase Prostate Cancer Hussong H, et al. Cell Death Dis 2014 [93] KEAP1 Involved in oxidative stress response Prostate Cancer Hussong H, et al. Cell Death Dis 2014 [93] MAPK3 Regulator of proliferation, differentiation, transcription and development Prostate Cancer Hussong H, et al. Cell Death Dis 2014 [93] VIM Involved in maintenance of cell integrity Prostate Cancer Hussong H, et al. Cell Death Dis 2014 [93] Non Small Cell Lung Cancer, Huang B, et al. Mol Cell Biol 2009 [32] NF-kB signaling pathway genes TNFα Proinflammatory cytokine Donati et al. Molecular Cancer (2018) 17:164 Page 5 of 13 Table 1 Key BRD4 target genes in normal and tumor cells (Continued) Gene function Model Reference Akute Myeloid Leukemia E-Selectin Inflammatory response mediator Non Small Cell Lung Cancer Huang B, et al. Mol Cell Biol 2009 [32] IL8 Inflammatory response mediator THP1 Huang B, et al. Mol Cell Biol 2009 [32] Estrogen receptor target genes GREB1 Involved in response to estrogen signalling Endometrial and breast cancer Nagarajan S, et al. Cell Rep 2014 [94] TFF1 Involved in response to estrogen signalling Endometrial and breast cancer Nagarajan S, et al. Cell Rep 2014 [94] Prostate Cancer Urbanucci A, et a Cell Rep 2017 [95] Androgen receptor target genes PSA Biomarker of prostatic carcinoma released in seminal plasma CAMKK2 Regulator of signal transduction Prostate Cancer Urbanucci A, et a Cell Rep 2017 [95] UBE2C Involved in protein ubiquitination regulating cell cycle progression Prostate Cancer Urbanucci A, et a Cell Rep 2017 [95] HOXB13 Transcription factor involved in embryonal development Prostate Cancer Urbanucci A, et a Cell Rep 2017 [95] AURKA Mediator of cell cycle progression Prostate Cancer Urbanucci A, et a Cell Rep 2017 [95] regulated by casein kinase (CK2) mediated phosphorylation. CK2 phosphorylates BRD4 in an acidic region juxtaposed to BDs enabling BRD4 loading on DNA and interaction with p53. The selective binding with certain TFs as well as the possible modulation of these interactions by signaling pathways, have major implication in dictating BRD4 specificity for its target genes and may strongly contribute to BRD4 contextdependent functions. Indeed, Najafova and colleagues, studying osteoblast differentiation, showed that BRD4 is enriched at putative osteoblast specific distal ENHs where BRD4 colocalizes specifically with a restricted set of TFs including C/EBPb, TEAD1, FOSL2 and JUND [22]. Also in acute myeloid leukemia, BRD4 has been shown to co-localize and cooperate with hematopoietic TFs (including PU.1, FLI1, ERG, C/EBPα, C/EBPβ, and MYB) in conjunction with the lysine acetyltransferase p300/CBP to support lineage-specific transcriptional circuits in this disease [38]. BRD4 has been also shown as necessary coactivator of the inflammatory transcriptional program driven by NF-κB by binding to acetylated RelA [32, 34] and of a diacetylated form of TWIST in triple negative breast cancer. Beside controlling protein coding genes, BRD4 also regulates transcription of ENH-associated RNA (eRNAs) [39]. Many active ENHs have been shown to be site of active transcription for short (less than 200 nt) and bidirectional RNAs, which in turn assist ENHs in promoting target genes expression [40, 41]. Inhibition of BRD4 by BETi treatment has been shown to consistently repress the expression of a pool of eRNAs transcribed from BRD4 enriched ENHs. Treatment with BETi disassociates BRD4 from target ENHs abolishing BRD4-RNAPolII interaction at these sites reducing RNA-PolII recruitment with consequent inhibition of eRNA synthesis [39]. Promoting ENHs active transcription, BRD4 fosters ENHs activity not only through an architectural remodeling. BRD4 and transcription elongation RNA-PolII pausing at promoter-proximal regions and its release into active transcription are a major rate limiting steps of gene expression [25]. Release of RNA-PolII into active transcription is mediated by the positive transcription elongation factor-b (P-TEFb) complex, comprising cyclin T1 (CCNT1) and cyclin-dependent kinase 9 (CDK9). In its active form, P-TEFb complex interacts with TFs and cofactors, phosphorylates pausing factors (like the Negative Elongation Factor complex NELF) displacing their binding from chromatin, and phosphorylates the carboxy-terminal domain (CTD) of RNA-PolII at Serine 2 activating transcription [25]. Among the 3 ubiquitously expressed BRD proteins, BRD4 is the only one able to interact with p-TEFb through its C-terminal domain [14, 16, 42–45]. Interaction with BRD4 prevents P-TEFb binding to the inhibitory ribonucleoprotein complex 7SK/ HEXIM that sequesters P-TEFb in its inactive form [43, 45]. Accumulation of BRD4 on hyper-acetylated and transcriptionally active TSSs serves as docking sites for P-TEFb which in turns facilitates activation of RNA-PolII and its release into active elongation. Recent evidence indicates that also ENH-associated BRD4, through its interaction with JMJD6, influences P-TEFb activity promoting elongation [36]. JMJD6 colocalizes with BRD4 selectively on a definite set of active distal ENHs characterized by high levels of H3K4Me1 and H3K27Ac and named anti-pause ENHs. BRD4 mediates JMJD6 recruitment on Donati et al. Molecular Cancer (2018) 17:164 Page 6 of 13 Fig. 1 a Schematic representation of BRD4 function in the organization and assembly of SE. Binding to hyperacetylated chromatin regions, BRD4 recruits the Mediator complex promoting the assembly of a large platform of transcription regulating proteins, that forms a bridge between SE and Promoter, favoring and stabilizing the binding of RNA-PolII. BRD4 also interacts and activates P-TEFb stimulating transition of RNA-PolII into active elongation. b Effect BETi on SE organization. BETi compete with acetylated residues for the binding at the BRD4 bromodomains releasing BRD4 from chromatin and disassembling the interaction between SE and promoter, reducing RNA-PolII throughput and blocking transcription of key oncogenes these sites that in turns 1. demethylates H4 arginine 3 mono- and dimethylated (H4R3me1, H4R3me2) which are associated with transcription repression, 2. demethylates the 5′-methyl-phosphate cap of 7SK RNA causing its degradation and promoting local activation of P-TEFb. Long range chromatin looping mediates the effect of ENH-associated BRD4/JMJD6/P-TEFb complex on RNA-PolII release at TSS of target genes. Nucleosomes can also impede RNA-PolII progression along the gene body reducing transcript elongation and gene expression [36]. A recent report by Kanno and colleagues showed that BRD4 facilitates RNA-PolII transition along the gene body in a P-TEFb independent manner, further promoting transcript elongation [39]. These Authors showed that BRD4 beside being enriched on active promoters and ENHs is bound along the body of highly transcribed genes. Gene expression alterations following BRD4 inhibition either by BETi or BRD4 silencing largely correlate with BRD4 localization along gene bodies. This indicates that the removal of BRD4 from these genes has deleterious consequences for the RNA-PolII processivity. BRD4 follows RNA-PolII during elongation since abrogation of transcription by Actinomycin-b dramatically reduces the amount of BRD4 bound along target genes. Based on this evidence the Authors proposed that BRD4 functions as chaperone that taking advantage of its ability to interact with acetylated histones facilitates the passage of RNA-PolII through hyperacetylated nucleosomes [39]. Linked to the effect of BRD4 on transcription elongation, Donato et al. recently proposed a compensatory mechanism that may affect BETi gene target selectivity. They indicated that BETi unsensitive genes can compensate the impairment of transcription elongation induced by BRD4 inhibition by increasing RNA-PolII recruitment at TSS and transcription initiation. This is not possible for BRD4-addicted genes which have already maximized the amount of RNA-PolII loaded at TSS, to sustain the high rate of required transcription. The block of transcription elongation imposed by BRD4 inhibition impedes promoter clearance and further recruitment of RNA-PolII conferring selective susceptibility to BETi to highly expressed genes [46]. Donati et al. Molecular Cancer (2018) 17:164 In addition to function as scaffolding platform for a variety of TFs and transcription related proteins, BRD4 has been shown to directly affect RNA-PolII activity by its intrinsic kinase and acetyl-transferase activity [47–49]. BRD4 directly stimulates RNA-PolII CTD domain phosphorylation at Serine 2 triggering productive transcription [49, 50]. Noticeably, BRD4-mediated RNA-PolII phosphorylation results in the specific activation of Topoisomerase I which associates with RNA-PolII during transcription progression favoring DNA unwinding and RNA-PolII transition [51]. Furthermore, BRD4 has been shown to phosphorylate CDK9 (of the P-TEFb complex) regulating its enzymatic activity. As histone acetyltransferase (HAT) BRD4 has been shown to acetylate histones H3 and H4 with a distinct pattern, different from those of classical HATs. BRD4 acetylates H3 K122 resulting in nucleosome eviction and chromatin deconstruction leading to increased transcription [47]. BRD4 and super-ENHs (SEs): Defining the molecular bases of BETi cancer specificity Considered the centrality and the multifunctional role that BRD4 plays in transcription regulation it is not surprising that BETi represent an attracting strategy in cancer therapy. However, while the successful employment of these drugs is moving faster from selected MYC-addicted hematological malignancies to solid cancers, questions about cancer specific susceptibility to these drugs still remain. Gene expression profiles showed that BRD4 is expressed in a broad range of somatic cells. As well, ChIP seq data showed that BRD4 occupies many ENHs and promoters also in non-cancer cells and generally contributes to gene expression (Table 1) [6]. Thus, how inhibition of a global chromatin regulator as BRD4 may results in a such cancer selective targeting, it remains at least in part unclear. The recent discovery of SEs suggests that BETi cancer specificity may be a matter of quantity [7, 52]. SEs are large clusters of ENHs closely spaced in genome that possess unique functional properties distinguishing them from regular ENHs [52]. These regions show a density of transcription factors and regulators binding as well as a quantity of H3K27Ac and H3K3Me1 that surmount of one order of magnitude the one detected on regular ENHs. In cancer, SEs are central to maintain cell identity and are deputy to drive the expression of specific oncogenes to which cancer cells become highly addicted. Genome-wide studies indicated that SEs mark lineage specific TFs and oncogenes in a wide range of cancer type, revealing that these structures are acquired during tumorigenesis and are unique to cancer cells while largely absent in untrasformed cells [7, 53, 54]. Page 7 of 13 Thus, shortcutting the functional organization of these structures causes a dramatic drop in oncogenes expression and consequential cancer cells growth inhibition or death. In the attempt of defining the molecular mechanisms beyond the cancer cytotoxicity of BETi in Multiple Myeloma (MM), Loven and colleagues showed that BRD4, together with Mediator, and P-TEFb is heavily accumulated on SEs and that BETi causes a preferential loss of BRD4 at these elements. Inhibition of BRD4 then resulted in loss of SEs function with consequent transcription elongation defects and block of oncogenes expression including c-MYC or other SEs associated MM relevant genes such as IGLL5, IRF4 and XBP1 [7]. At SEs, BRD4, together with Mediator, acts as the catalyst of the assembly of a cooperative and synergistic high density transcriptional complexes changing structure, dynamics and function of chromatin. Sabari and colleagues recently investigated the biophysical nature of SEs showing that these elements exhibit properties of liquid-like condensates. They showed that accumulation of BRD4 and Mediator at SEs forms nuclear puncta and gives rise to phase-separated droplets that compartmentalize and concentrate the transcription apparatus favoring protein crosstalk and interplay [55]. In such environment, inhibition of BRD4 has greater consequences that on regular ENHs conferring to SE-associated genes a higher magnitude of susceptibility to BETi and explaining at least in part the cancer selective activity of these drugs (Fig. 1b). BRD4 and DNA damage Perturbations of DNA double strand breaks (DSBs) repair contributes to genome instability and cancer development [56]. Alterations in the chromatin structure, largely mediated by histone posttranslational modifications, are implicated in the initiation and propagation of DNA damage response [57]. BRD4 reader of the chromatin state and pivot of chromatin organization has recently been proposed as major player in the DNA damage repair and propagation, to which it contributes through both canonical and unconventional mechanisms. Besides being a master regulator of many genes part of the DNA repair system or involved in DNA damage checkpoint activation, BRD4 also contributes to DNA damage repair in a transcriptionally independent manner. In particular, two distinct papers reported that BRD4 is necessary for the correct activation of the Non Homologus End Joining (NHEJ) recombination pathway [58, 59]. Stanlie et al. reported that in B lymphocyte, BRD4 is required during immunoglobulin (Ig) isotype switching for completion of class switch recombination after DSBs by Activation Induced cytidine Deaminase (AID) [59]. Li et al. also showed that BRD4 Donati et al. Molecular Cancer (2018) 17:164 is required for repair of DNA DSBs induced by ionizing radiation (IR) and promotes gene rearrangements in prostate cancer cells. In presence of induced DSBs (for example by IR) BRD4 inhibition, either by BETi or specific silencing, resulted in enhanced phosphorylated H2AX (γH2AX) and persistence of DNA damage favoring genomic catastrophe and ultimately cell death [58]. In both works, the effect of BRD4 on DNA repair system, was not dependent on BRD4 transcriptional activity, but on its ability of forming a platform between histone modifications and components of the DNA repair machinery (Fig. 2a). Mechanistically, DNA DSBs are accompanied by increased H4 acetylation (H4Ac) and phosphorylation of H2AX (γH2AX). Accumulation of these modifications at both ends of the breaks induces BRD4 recruitment that in turn works as docking sites for the DNA repair complex (Fig. 2a). Among many DNA repair components that show interaction with BRD4 in co-immunoprecipitation experiments, both works identified the p53 Binding Protein (53BP1) as major binding partner of BRD4 in DNA Page 8 of 13 damage repair regulation [58, 59]. 53BP1 is a large protein of 1972 amino acids that has no apparent enzymatic activity but when recruited to DSB specific histone code acts as a molecular scaffold that recruits additional DSB-responsive proteins to damaged chromatin [60, 61]. Using sequential Chromatin Immune Precipitation experiments, Li et al. demonstrated that pharmacological inhibition or silencing of BRD4 abolish 53BP1 recruitment to IR induced DSB. By contrast, silencing of 53BP1 does not affect BRD4 binding in the same condition, demonstrating that hierarchically BRD4 functions upstream of 53BP1 and serves as a bookmark to guide this protein on DSB sites. Even if further evidence is needed, it is likely that the interaction with BRD4 at DSBs serves to stabilize the binding of 53BP1 with DNA repair complexes on site, in a model that tightly resembles the mechanism of action of BRD4 in stabilizing transcriptional machinery at enhancers and promoters during transcription [58] (Fig. 2a-b). Besides, BRD4, relying on its enzymatic activities, could promote acetylation or phosphorylation of DNA repair proteins stimulating their cooperation. This may lead to the formation of dense multi-protein Fig. 2 a Schematic representation of BRD4 function in DSB repair. H4Ac and γH2AX accumulate at DSBs triggering BRD4 recruitment. BRD4 facilitates and stabilizes the interaction of 53BP1 that in turn serves as adaptor for the assembly and activation of DNA repair machinery. b Effect of BETi on DNA repair system. BETi compete with acetylated residues for the binding at the BRD4 bromodomains releasing BRD4 from DSBs, destabilizing the DNA repair machinery and inducing accumulation of DNA alterations up to cell death. The function of BRD4 on DNA repair suggests a possible synergistic effect of BETi and DNA damaging agents (like radiation or platinum-based therapy) or specific inhibitors of DDR Donati et al. Molecular Cancer (2018) 17:164 complexes that change the physical status of chromatin (liquid-liquid phase separation) resembling the model already proposed for super-enhancers [55]. In addition to its role in promoting NHEJ activity, BRD4 has been also implicated in the activation of DNA damage checkpoint [62, 63]. Replication stress, induced among the others by oncogene increased transcription or DNA replication, is a complex phenomenon which has serious implications for genome stability [64]. Generation of aberrant replication fork structures exposes single-stranded DNA which in turn activates the replication stress response including the Ataxia Telangiectasia And Rad3-Related (ATR)- Checkpoint kinase 1 (CHK1) kinase axes [65]. Malfunctioning of the DNA damage checkpoint leads indeed to collapse of replication fork, DNA DSB and chromosome rearrangement [66]. Evidence exists that BRD4 associates with chromatin at the level of replication forks. Zhang and colleagues showed that BRD4 interacts with several components of the DNA pre-replication complex and regulates activation of DNA damage response in a transcriptionally independent way. The Cell Division Cycle 6 (CDC6), licensing factor of DNA replication initiation, is crucial for BRD4 function in this process. BRD4 inhibition either by BETi or specific silencing caused defective DNA damage checkpoint sensitizing cells to stress-inducing agents [63]. Partially in contraposition with these data, Floyd and colleagues showed that a specific isoform (iso B) of BRD4 functions as endogenous inhibitor of DNA damage response, insulating chromatin from DNA damage response propagation. In response to induced DNA damage, increased association of BRD4 Iso B with chromatin is observed. In turn, BRD4 isoB recruits Structural Maintenance of Chromosomes 2 and 4 (SMC2, SMC4), components of the condensing II complex inducing chromatin condensation. Inhibition of this BRD4 variant induces relaxed chromatin structure and enhanced survival after irradiation. Of note, Iso B lacks the C-terminal domain through which BRD4 interacts with p-TEF and is necessary for its transcriptional activity [62]. This structural difference may account at least in part for this peculiar function of BRD4. The functional involvement of BRD4 in DNA damage checkpoint activation and DNA repair holds relevant implications for cancer therapy and envisages new settings for the employment of BETi both alone or in combination. Targeting DNA damage repair (DDR) pathways is a promising therapeutic strategy in treating cancer with defective DDR components [67]. Indeed, PARP inhibitors have shown solid anti-tumor activity in the treatment of BRCA1 and BRCA2 mutated ovarian and breast cancers [68–70]. As well, ATR and CHK1 Page 9 of 13 inhibitors have shown selective cytotoxic effects on Cyclin E1 (CCNE1) overexpressing cancer due to the high dependency of these tumors on the ATR/CHK1 axis [71]. The evidence that BRD4 positively regulates DNA damage checkpoint activation and DSB repair, implicates that its pharmacological inhibition by BETi may increase sensitivity of cancer cells to DDR or ATR inhibitors defining a possible combination strategy in specific tumor settings. Indeed, a recent report showed that BRD4 inhibition by BETi induces recombination deficiency and sensitize cancer cells to PARP inhibitors regardless of BRCA1/2, p53 and RAS/RAF mutational status. These results not only demonstrate the synergistic effects of BETi in combination with DDR targeting agents but also imply the possibility of extending PARPi efficacy to non BRCA1/2 mutated cancers through the employment of BETi [72]. Finally, the evidence that BETi treatment impairs DSB repair indicates that these drugs may also improve cytotoxic effects of DNA damaging agents like radiation or platinum-based chemotherapy. BRD4 and telomere regulation Telomeres sense somatic cells aging by shortening at each mitosis and induce cell death when they become critically short. Thus, progressive reduction of telomere length is a rate limiting step for uncontrolled and unlimited cell proliferation capacity. Aberrant telomere elongation and alterations in Telomerase expression and/or activity are functional to cancer aggressiveness [6, 73]. Telomerase Reverse Transcriptase (TERT) is the catalytic subunit of Telomerase complex and together with its RNA template, the Telomerase RNA Component (TERC), are considered the limiting components of this complex [74]. Recently, independent reports highlighted a possible role of BRD4 in aberrant telomere regulation in cancer, even if the mechanisms through which BRD4 cooperates to telomere elongation is still poorly defined. First, BRD4 has been implicated in the aberrant transcriptional regulation of TERT, in TERT promoter mutated tumors. Recently, two recurrent mutations within the TERT promoter have been identified and associated with aggressiveness and poor prognosis in many types of cancer [75–79]. These mutations (− 124 bp C > T and -146 bp C > T upstream the TSS) represent the most prevalent non-coding alterations in cancer and create aberrant binding sites for E-Twenty-Six (ETS) TFs within the promoter, leading to increased TERT expression [77, 78]. Ankillar et al. using Circular Chromosome Conformation Capture (4C) and Chromatin Conformation Capture (3C), showed that the ETS factor GABPA binds specifically to mutant TERT promoter mediating long-range chromatin interaction and enrichment of Donati et al. Molecular Cancer (2018) 17:164 active histone marks, driving TERT transcription. Furthermore the presence of GABPA at mutated promoter leads to an enrichment of active histone marks, and consequently drives TERT transcription [80]. According to these authors, BRD4 cooperates to this process through both a direct and an indirect mechanism. Directly BRD4 accumulates on TERT mutated promoter by binding to hyperacetylated histones and participates to the stabilization of the long-range chromatin interactions promoted by GABPA. Furthermore, BRD4 binds to GABPA promoter driving its transcription and fueling indirectly the transcriptional organization at the TERT mutated promoter resulting in increased TERT expression. Treatment with BETi as well as BRD4 knock-down result in a significant reduction of TERT expression and impairment of Telomerase activity together with a significant Page 10 of 13 decrease in the recruitment of histone active marks and long range chromatin interaction specifically in TERT promoter mutated cells. Consistently, CRISPR-mediated reversal of mutant TERT promoter or deletion of its long-range chromatin interaction, abrogates GABPA binding and long-range chromatin interactions, causing a loss of active histone marks and RNA-PolII recruitment with a consequent decrease of TERT transcription [80]. In addition to its function in promoting TERT expression, a non-transcriptional role of BRD4 in telomere homeostasis regulation has been proposed [81]. Using an unbiased screening based on a lentiviral shRNAs library targeting 706 known kinases and relative genes, BRD4 has been identified as necessary for telomere maintenance in cancer cells. Treatment with four different BRD4 pharmacological inhibitors, including OTX015, induced a dosedependent telomere lengthening inhibition. Long-term Fig. 3 a Schematic representation of the possible BRD4 functions in telomere elongation. Increased histone acetylation and H2AX phosphorylation accumulate on telomeres, promoting BRD4 binding that in turn facilitates the assembly of telomere protection complex and promotes the activity of Telomerase. Since post-translational modification plays a fundamental role in telomere complexes regulation, it is likely that the kinase and/or the actetyltransferase function of BRD4 may take part to this process. For example, BRD4 may further promote acetylation of histone in the telomeric regions (red arrow) which in turn promotes telomere elongation. In addition, BRD4 may directly affect the acetylation (green arrow) or phosphorylation (blue arrow) of telomerase or other proteins of the telomere protection complex, promoting their activity. Indeed, TERT phosphorylation has been shown to be required for telomerase activation. b Effect of BETi on telomere regulation. BETi compete with acetylated histones for the binding at the BRD4 bromodomains releasing BRD4 from short telomere, destabilizing telomere protection complex organization and reducing Telomerase activity. The progressive shortening of telomere leads cancer cells to senescence or cell death. This structural effect in addition with the cancer specific effect of BRD4 on TERT promoter regulation may represent a possible strategy to target Telomerase function selectively in cancer cells or a strategy to improve telomerase inhibitors efficacy Donati et al. Molecular Cancer (2018) 17:164 BRD4 inhibition caused telomere shortening which was sufficient to cause telomere dysfunction and chromosomal fusion leading to cell death. Noticeably, this effect is not-dependent on Telomerase expression or enzymatic activity since BRD4 inhibition leads to telomere alterations even in experiments conducted in artificial cellular systems where TERT and TERC are exogenously overexpressed [81]. How BRD4 orchestrates telomere maintenance is not fully defined. Short telomeres are characterized by increased histone acetylation and H2AX phosphorylation [82]. Since Telomerase complex preferentially acts on short telomere [83, 84], we may speculate that, BRD4 acts as a platform to recruit and stabilize the binding of the Telomerase complex and/or other telomere-associated complexes promoting telomeres lengthening by accumulating to hyper-acetylated histones at the end of chromosomes [83] (Fig. 3 a-b). Consistently, it has been demonstrated that treatment with HDAC inhibitors increases histone acetylation levels at telomere and enhances elongation also in absence of TERC (even if in minor extent), while HAT inhibition induces telomere shortening leading to telomere loss [85]. Targeting telomerase and telomere aberrant regulation has been long regarded as a promising anti-cancer strategy and Telomerase inhibitors have shown effectiveness in reducing cancer cell viability, tumor growth and metastasis in preclinical studies. However, these drugs lack sufficient cancer specificity and failed clinical trials due to high side effects toxicity [86–88]. The relevance of BRD4 in controlling TERT expression selectively in presence of cancer-associated promoter mutations, seems to suggest that inhibition of BRD4 by BETi could represent an alternative and more selective inhibition of telomerase. Besides, possible combination with BETi could improve effectiveness of telomerase inhibitors at lower doses, reducing the magnitude of undesired side effects. Conclusion Accumulating evidence identifies BRD4 as master keeper of genome function and stability and underlines a common model of action across many processes in which BRD4 is involved. Reading the histone code, BRD4 senses hyper-acetylated chromatin sites (like enhancers, DSBs or telomeres) and accumulates on these loci favoring the recruitment and the stabilization of functionally relevant multiprotein complexes. The high-density protein binding changes chromatin physical status and creates separated functional domains optimizing proteins crosstalk and function. The uprising evidence of the transversal centrality of BRD4 in many cancer supporting processes provides new interpretation for the cytotoxic activity of BETi and in particular envisages new and wide possibilities for the clinical employment of these drugs in cancer settings. Page 11 of 13 Abbreviations 53BP1: p53 Binding Protein; AID: Activation Induced cytidine Deaminase; ATR: Ataxia Telangiectasia And Rad3-Related kinase; BD: Bromodomain; BETi: Bromodomain and Extraterminal inhibitor; BRCA1, BRCA2: Breast Related Cancer Antigens; BRD (1–4): Bromodomain-containing protein (1–4); CCNE1: Cyclin E1; CCNT1: Cyclin T1; CDC6: Cell Division Cycle 6; CDK9: Cyclin-dependent kinase 9; CEBP: Ccaat-enhancer-binding proteins; CHD4: Chromodomain Helicase DNA Binding Protein 4; CHK1: Checkpoint kinase 1; CK2: Casein kinase 2; CTD: Carboxy-terminal domain; DDR: DNA damage repair; DSBs: DNA double strand breaks; ENH: Enhancer; ERG: ETSrelated gene; eRNA: Enhancer RNA; ET: Extraterminal domain; ETS: E-Twenty-Six; FLI1: Friend leukemia integration 1 transcription factor; GABPA: GA-binding protein alpha; γH2AX: phosphorylated Histone 2AX; H3K27Ac: Histone 4 Lysine 27 Acetylated; H3K4me1: Histone 4 Lysine 3 monomethylated; H4Ac: Histone 4 acetylation; H4R3me1: Histone 4 Arginine 3 monomethylated; H4R3me2: Histone 4 Arginine 3 dimethylated; HAT: Histone acetyltransferase; IGLL5: Immunoglobulin lambda like polypeptide 5; IR: Ionizing radiation; IRF4: Interferon regulatory factor 4; JMJD6: Jumonji Domain-Containing Protein 6; MED1: Mediator-1; NELF: Negative Elongation Factor; NFKB: Nuclear factor kappa-light-chain-enhancer of activated B cells; NHEJ: Non Homologus End Joining; NSD3: Nuclear Receptor Binding SET Domain Protein 3; p300/ CBP: p300/ CREB-binding protein; PARPi: Poli ADP-ribosio polimerasi inhibitors; PIC: PreInitation Complex; P-TEFb: Positive transcription elongation factor-b; RNA-PolII: RNA- Polimerase II; SE: Super-Enhancer; SMARCA4 SWI/SNF: Related, matrix associated, actin dependent regulator of chromatin, subfamily a, member 4; SMC2, SMC4: Structural Maintenance of Chromosomes 2 and 4; TEAD1: Transcriptional enhancer factor TEF-1; TERC: Telomerase RNA Component; TERT: Telomerase Reverse Transcriptase; TF: Transcription Factor; TSS: Transcription Starting Site; XBP1: X-box binding protein 1 Acknowledgements We wish to thank all members of the Lab for useful discussion. Funding No funding Availability of data and materials Not applicable Authors’ contributions BD, EL and AC wrote the manuscript. All Authors have reviewed and approved the final manuscript. Ethics approval and consent to participate Not applicable Consent for publication Not applicable 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. Received: 10 August 2018 Accepted: 7 November 2018 References 1. Dhalluin C, Carlson JE, Zeng L, He C, Aggarwal AK, Zhou MM. Structure and ligand of a histone acetyltransferase bromodomain. Nature. 1999;399:491–6. 2. Wu SY, Chiang CM. The double bromodomain-containing chromatin adaptor Brd4 and transcriptional regulation. J Biol Chem. 2007;282:13141–5. 3. Zeng L, Zhou MM. Bromodomain: an acetyl-lysine binding domain. FEBS Lett. 2002;513:124–8. 4. 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Identifying a commercially-available 3D printing process that minimizes model distortion after annealing and autoclaving and the effect of steam sterilization on mechanical strength
3D printing in medicine
2,020
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Identifying a commercially-available 3D printing process that minimizes model distortion after annealing and autoclaving and the effect of steam sterilization on mechanical strength Joshua V. Chen1*, Kara S. Tanaka1, Alan B. C. Dang1,2 and Alexis Dang1,2 Joshua V. Chen1*, Kara S. Tanaka1, Alan B. C. Dang1,2 and Alexis Dang1,2 Chen et al. 3D Printing in Medicine (2020) 6:9 https://doi.org/10.1186/s41205-020-00062-9 Abstract Background: Fused deposition modeling 3D printing is used in medicine for diverse purposes such as creating patient-specific anatomical models and surgical instruments. For use in the sterile surgical field, it is necessary to understand the mechanical behavior of these prints across 3D printing materials and after autoclaving. It has been previously understood that steam sterilization weakens polylactic acid, however, annealing heat treatment of polylactic acid increases its crystallinity and mechanical strength. We aim to identify an optimal and commercially available 3D printing process that minimizes distortion after annealing and autoclaving and to quantify mechanical strength after these interventions. Methods: Thirty millimeters cubes with four different infill geometries were 3D printed and subjected to hot water- bath annealing then immediate autoclaving. Seven commercially available 3D printing materials were tested to understand their mechanical behavior after intervention. The dimensions in the X, Y, and Z axes were measured before and after annealing, and again after subsequent autoclaving. Standard and strength-optimized Army-Navy retractor designs were printed using the 3D printing material and infill geometry that deformed the least. These retractors were subjected to annealing and autoclaving interventions and tested for differences in mechanical strength. Results: For both the annealing and subsequent autoclaving intervention, the material and infill geometry that deformed the least, respectively, was Essentium PLA Gray and “grid”. Standard retractors without intervention failed at 95 N +/−2.4 N. Annealed retractors failed at 127.3 N +/−10 N. Autoclave only retractors failed at 15.7 N +/−1.4 N. Annealed then autoclaved retractors failed at 19.8 N +/−3.1 N. Strength-optimized retractors, after the annealing then autoclaving intervention, failed at 164.8 N +/−12.5 N. (Continued on next page) Full list of author information is available at the end of the article Full list of author information is available at the end of the article © The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. * Correspondence: Joshua.chen2@ucsf.edu; Joshuavchen@berkeley.edu 1Department of Orthopaedic Surgery, University of California, San Francisco, CA, USA Methods g 3D printing is currently used in the medical field for a wide variety of purposes, including printing patient-personalized anatomical models to guide surgeons preoperatively, creating in-house anatom- ical models for medical student and resident train- ing, and printing surgical instruments, prostheses, and implants [1–7]. 3D printed models have already been adopted to plan surgeries in fields including, but not limited to, cardiothoracic, craniomaxillofacial, hep- atic, neonatal, neurological, ophthalmologic, ortho- paedic, and plastic surgery [8–19]. Therefore, the accuracy of 3D printed models becomes exceedingly important. Equally as important, however, is under- standing the behavior of these models after steam sterilization for use in the sterile surgical field. It has been previously understood that subjecting polylactic acid (PLA) to steam sterilization severely weakens PLA [20]. Although there exists literature suggesting that 3D printed models minimally deform after auto- clave sterilization, there is much that is unknown about improving the mechanical strength of these models [21]. Four 30 mm cubes with different infill geometries were designed with the software Tinkercad™(Autodesk®, Inc.), and were exported as a standard tessellation language (STL) file. The STL file was then imported into Ulti- maker Cura LulzBot® Edition software (Ultimaker B.V., version 21.08, Aleph Objects, Inc.), where adjustments for wall thickness of 1.5 mm and different infill geom- etries, “tetrahedral”, “triangles”, “zig-zag”, and “grid”, were selected (Fig. 1). The cubes were printed 20% infill. Once print settings were satisfactory, the design was exported as a g-code, a set of spatial instructions that guide the 3D printer, and uploaded onto the LulzBot® Mini 3D printer (Aleph Objects, Inc.). The four cube designs were printed simultaneously with 0.38 mm layer height utilizing a 0.5 mm printhead nozzle. Print bed and printhead nozzle temperatures were selected according to manufacturer specifications for each print material using the highest recommended nozzle temperatures, defaulting to 60 °C for bed temperature (Table 1). Higher temperatures have been shown to optimize layer adhesion and strength for FDM printing. Filament materials were selected based on con- sumer accessibility. Current literature supports that annealing heat treat- ment of PLA 3D printed models increases the models’ crystallinity, thereby increasing their mechanical strength [22–25]. Therefore, the next step would be to identify an optimal 3D printing material which, when subjected to both heat treatment and steam sterilization, deforms the least and remains strong enough to be safely used in the operating room. © The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Page 2 of 10 Chen et al. 3D Printing in Medicine (2020) 6:9 edicine (2020) 6:9 en et al. 3D Printing in Medicine (2020) 6:9 (Continued from previous page) Conclusion: For 30 mm cubes, the 3D printing material and infill geometry that deformed the least, respectively, was Essentium PLA and “grid”. Hot water-bath annealing results in increased 3D printed model strength, however autoclaving 3D prints markedly diminishes strength. Strength-optimized 3D printed PLA Army-Navy retractors overcome the strength limitation due to autoclaving. Keywords: 3D printing, 3D printing materials, Additive manufacturing, Annealing, Autoclave, Medical devices, Optimization, Sterilization, Surgical instruments, Polylactic acid Methods 1 a Infill geometries clockwise beginning from top-left: tetrahedral, triangles, grid, zig-zag and b 3D printed cubes 134 °C for single-use custom devices and 3D printed anatomical models [26]. 30 mins at 100 °C. The cubes were removed from the hot water-bath and allowed to cool to room temperature without interference. The X, Y, and Z dimensions of the cubes were measured again to quantify deformation and calculate percent changes, a positive percent change in- dicating expansion and a negative percent change indi- cating shrinkage. In order to quantify distortion in either direction, we took the absolute value of these percent- ages. Subjective observations were noted such as spher- ical “balloon-like” expansion. We also analyzed whether certain materials consistently expanded or contracted in every axes. While gamma irradiation and ethylene oxide sterilization are useful for heat sensitive or moisture sensitive instru- ments or devices, steam sterilization was selected for this study, as it is low-cost and readily available in environments where 3D printed tools are expected or potentially may be used. To determine which 3D printing material deforms the least, the hot water-bath annealing treatment measure- ments were summed to quantify the absolute value of the percent change in the X, Y, and Z direction for each cube. We averaged these quantities for all four infill pat- terns for each material to quantify an average absolute percent deformation to objectively determine which 3D printing material deforms the least in a hot water-bath. This was repeated for the autoclave measurements, where the absolute values of percent change in all three axes were summed for each cube, and then averaged across all infill geometries for each material. y Following the hot water-bath annealing treatment, the cubes were placed in Chex-all® II Instant Sealing auto- clave sterilization pouches (Propper Manufacturing Co. Inc., USA) and subjected to surgical grade autoclaving in a Tuttnauer 2540 M autoclave (Tuttnauer USA) for 45 mins at 134 °C and a pressure of 375 PSI. Autoclave in- dicator tape (Propper Manufacturing Co. Inc., USA) was used to verify that appropriate sterilization conditions were met. The packages were removed from the auto- clave and the cubes were allowed to cool to room temperature. Each cube was measured for additional dis- tortion and subjective observations were noted. Methods The seven materials tested were colorFabb Woodfill (ColorFabb BV, Netherlands), Dragons Metallic PLA in All That Glitters Gold (Maker Geeks, USA), Essentium PLA in Gray (Essentium Materials LLC, USA), Maker Series PLA in Food Safe FDA OK Clear (MatterHackers, Inc., USA), Maker Series PLA in White HOT White, Proto-Pasta HTPLA in White (Protoplant, Inc., USA), and Raptor Series PLA in HD Vivid Blue (Maker Geeks, USA). The goal of this paper is to identify a suitable commercially-available fused deposition modeling (FDM) 3D printing material that deforms minimally after hot water-bath annealing and autoclaving to cre- ate surgical instruments and anatomical models for use in the sterile field and to evaluate the effects of these interventions on mechanical strength. We assessed different physical properties of the 3D print- ing filament: ability to withstand annealing and auto- claving with minimal distortion, mechanical strength, and how infill pattern affects model stability through- out the heating process. The dimensions of each cube were measured using digital calipers at midline along the X, Y, and Z axes, where Z is the axis perpendicular to the build plate. All measurements were collected by a single operator to re- duce bias and variability; calipers were zeroed between each set of cubes. Baseline measurements were collected after cubes were printed and again after each intervention. The dimensions of each cube were measured using digital calipers at midline along the X, Y, and Z axes, where Z is the axis perpendicular to the build plate. All measurements were collected by a single operator to re- duce bias and variability; calipers were zeroed between each set of cubes. Baseline measurements were collected after cubes were printed and again after each intervention. Cubes were subjected to a hot water-bath annealing treatment using an 800 W Strata Home sous vide circu- lating precision cooker (Monoprice, Inc., Brea, CA) for Cubes were subjected to a hot water-bath annealing treatment using an 800 W Strata Home sous vide circu- lating precision cooker (Monoprice, Inc., Brea, CA) for Chen et al. 3D Printing in Medicine Chen et al. 3D Printing in Medicine (2020) 6:9 Page 3 of 10 (2020) 6:9 Fig. 1 a Infill geometries clockwise beginning from top-left: tetrahedral, triangles, grid, zig-zag and b 3D printed cubes Fig. 1 a Infill geometries clockwise beginning from top-left: tetrahedral, triangles, grid, zig-zag and b 3D printed cubes Fig. Methods While the CDC minimum recommended time for steam sterilization is 30 mins at 121 °C for the effective sterilization of wrapped healthcare supplies, in our study, we selected more challenging parameters of 45 mins at To determine which infill geometries deformed the least, we again summed the absolute value of the percent change in the X, Y, and Z direction for each cube, and then averaged the values for each of the seven materials, each printed using the same infill pattern. The same was done for the autoclave data. The X, Y, and Z dimension percent changes for each material were averaged for both the hot water-bath heat Table 1 Manufacturer temperature (°C) recommendations for FDM 3D printing materials 3D Printing Material Nozzle T Heated Bed T colorFabb Woodfill 210 60 Dragons Metallic PLA All That Glitters Gold 235 60 Essentium PLA Gray 240 60 Maker Series PLA, Food Safe, FDA OK, Clear 240 60 Maker Series PLA White HOT White 235 60 Proto-Pasta HTPLA White 240 60 Raptor Series PLA HD Vivid Blue 235 60 Chen et al. 3D Printing in Medicine Chen et al. 3D Printing in Medicine (2020) 6:9 Page 4 of 10 Page 4 of 10 treatment and autoclave intervention in order to analyze if and how distortion varies between the respective axes. such that no support material is required (Fig. 2c). In order to improve the accuracy of mechanical strength measurements, we choose the infill pattern that mini- mizes distortion to reduce random error introduced through warping (Fig. 3). The infill pattern “grid”, which was found to minimize distortion after interventions, at 20% infill was selected. The design was then exported as a g-code and uploaded onto the LulzBot® Mini 3D printer. The extruder temperature was set to 235 °C. We determined the best candidate 3D printing mater- ial and infill geometry from this analysis, Essentium PLA Gray filament and “grid” infill, respectively, and printed standard surgical Army-Navy retractors to test the mechanical strength of PLA following annealing and autoclaving interventions, both independently and to- gether. Standard and strength-optimized Army-Navy re- tractor designs created by Chen et al. in Autodesk® Fusion 360™were used, obtained as STL files (Fig. 2a, b) [27]. Methods The annealing intervention was submersion of the retractors in a 100 °C water-bath for 30 mins, and the autoclaving intervention was autoclaving the retractors for 45 mins at 134 °C and a pressure of 375 PSI. Specified by Chen et al., the print settings for strength-optimized 3D printed PLA Army-Navy retrac- tors were 30% infill, 3 perimeters, 0.25 in. thickness, 0.75 in. width, “triangles” infill geometry and reinforced joints, which optimizes retractor strength but does not aim to minimize deformation [27]. Strength-optimized retractors were subjected only to the annealing then autoclaving intervention to determine whether these 3D Each STL file was imported into the Ultimaker Cura LulzBot Edition software and oriented on the print bed Fig. 2 a Standard Army-Navy retractor and b strength-optimized Army-Navy retractor designs in inches created in AutoDesk® Fusion 360™ obtained from Chen et al. c Retractor orientation on the build plate to eliminate need for support material Fig. 2 a Standard Army-Navy retractor and b strength-optimized Army-Navy retractor designs in inches created in A obtained from Chen et al. c Retractor orientation on the build plate to eliminate need for support material Fig. 2 a Standard Army-Navy retractor and b strength-optimized Army-Navy retractor designs in inches created in AutoDesk® Fusion 360™ obtained from Chen et al. c Retractor orientation on the build plate to eliminate need for support material Page 5 of 10 Chen et al. 3D Printing in Medicine (2020) 6:9 Fig. 3 a Standard retractors warping after hot water-bath annealing and b after autoclaving. c Strength-optimized retractor without intervention (right) and warping after hot water-bath annealing (left) Fig. 3 a Standard retractors warping after hot water-bath annealing and b after autoclaving. c Strength-optimized retractor without intervention (right) and warping after hot water-bath annealing (left) collected to determine whether the interventions created differences in mechanical strength. printed surgical retractors can remain robust even after steam sterilization, as we would find that annealing prior to autoclaving confers a strength advantage. Optimal commercially available 3D printing material and infill geometry for medical use Optimal commercially available 3D printing material and infill geometry for medical use From the variations tested, the most optimal 3D printing material for 30 mm cubes was Essentium PLA and the most optimal infill geometry was “grid”. This material and infill geometry consistently deformed the least after hot water-bath annealing and subsequent autoclaving. As such, this combination of material and infill geometry could be a candidate for printing anatomical models. The material “Maker Series PLA White HOT White” is the only material to consistently expand in every axis, regardless of the infill geometry or intervention. All other materials in this study had varying degrees of both expansion and contraction depending on the infill geom- etry. Expansion or contraction in a certain axis after an- nealing generally, but not always, predicted the same direction of distortion after subsequent autoclaving (Additional file 1). We identified the Maker Series PLA White HOT White to be the least optimal 3D printing material due to excessive and uneven deformation, making it difficult to preemptively correct for in the STL and print- settings. The least optimal infill geometries are “zig-zag” and “tetrahedral” due to substantial deformation after treatment. Standard retractors without intervention failed at 95 N +/−2.4 N. Hot water-bath annealed retractors failed at 127.3 N +/−10 N. Autoclave only retractors failed at 15.7 N +/−1.4 N. Hot water-bath annealed then auto- claved retractors failed at 19.8 N +/−3.1 N. Two-tailed T-tests were used to assess for statistically significant differences in strength between these groups. Statistically significant differences in retractor strength were found between the control group and the annealed group (p < 0.0001), between the control group and the autoclave The distortion from heat treatment occurs primarily in the Z direction, the axis perpendicular to the build plate, nearly twice the magnitude of either the X or Y direc- tion. We suspect that disrupted adhesion between de- posited layers plays a role in this increased deformation. Results Twenty-four Essentium PLA Gray filament standard retractors using 20% “grid” infill geometry were printed and randomly placed into one of four groups: control, annealing only intervention, autoclaving only interven- tion, or annealing then autoclaving intervention. Six Essentium filament strength-optimized retractors were printed, annealed, and autoclaved to test whether they maintain structural integrity for use in the operating room. After hot water-bath annealing for 30 mm cubes, the material that deformed the least was Essentium PLA Gray, and the material that deformed the most was Maker Series PLA White HOT White (Table 2). After hot water-bath annealing for 30 mm cubes, the infill that deformed the least was “grid”, and the infill pattern that deformed the most was “zig-zag” (Table 3). After both annealing then autoclaving for 30 mm cubes, the material that deformed the least was Essen- tium PLA Gray. The material that deformed the most was Maker Series PLA White HOT White (Table 4). These retractors were pulled until complete physical breakage using an FGS-1000H manual turn-wheel force test stand and FG-3009 digital force gauge (Nidec- Shimpo Corporation) such that the long arm of the re- tractor was placed on the strap and the short arm of the retractor was placed on the force gauge hook for consistency. The maximum force withstood was then After both annealing then autoclaving for 30 mm cubes, the infill pattern that deformed the least was “grid”, and the infill pattern that deformed the most was “tetrahedral” (Table 5). Table 2 Quantifying absolute deformation in 30 mm cubes across 3D printing materials after annealin 3D Printing Material Average Absolute Percent Deformation Across All Infill Geometries Essentium PLA Gray 1.601% Proto-Pasta HTPLA White 2.058% colorFabb Woodfill 3.414% Raptor Series PLA HD Vivid Blue 5.584% Dragons Metallic PLA All That Glitters Gold 6.587% Maker Series PLA, Food Safe, FDA OK, Clear 10.702% Maker Series PLA White HOT White 17.545% olute deformation in 30 mm cubes across 3D printing materials after annealin Average Absolute Percent Deformation Across All Infill Geometries absolute deformation in 30 mm cubes across 3D printing materials after annealin A Ab l t P t D f ti A A Page 6 of 10 Chen et al. Results 3D Printing in Medicine (2020) 6:9 Table 3 Quantifying absolute deformation in 30 mm cubes across infill geometries after annealing Infill Geometries Average Absolute Percent Deformation Across All 3D Printing Materials Grid 5.193% Triangles 6.407% Tetrahedral 7.710% Zig-zag 7.827% only group (p < 0.0001), and between the autoclave only group and the annealing then autoclave group (p = 0.0135) (Fig. 4). Strength-optimized retractors, after the annealing then autoclaving intervention, failed at 164.8 N +/−12.5 N (Fig. 5). For comparison, these retractions fail at 538.5 N +/−24.9 N without intervention. Retrac- tors displayed mild warping after hot water-bath anneal- ing (Fig. 3). only group (p < 0.0001), and between the autoclave only group and the annealing then autoclave group (p = 0.0135) (Fig. 4). Strength-optimized retractors, after the annealing then autoclaving intervention, failed at 164.8 N +/−12.5 N (Fig. 5). For comparison, these retractions fail at 538.5 N +/−24.9 N without intervention. Retrac- tors displayed mild warping after hot water-bath anneal- ing (Fig. 3). In averaging the absolute values of the percent distor- tion in the X, Y, and Z direction across all 3D printing materials after hot water-bath annealing and again after autoclaving, it was found that distortion in the X and Y direction was comparable and that distortion primarily occurs in the Z axis, the axis perpendicular to the build plate (Table 6). The distortion in the Z direction is ap- proximately twice the magnitude of distortion in either the X or Y direction. Discussion O i l All subjective observations were tabulated, most of which arose in cubes printed from a variant of the Maker Series PLA filament and having "tetrahedral" infill geometry (Table 7). Optimal commercially available 3D printing material and infill geometry for medical use This information may be used to adjust layer height to Table 4 Quantifying absolute deformation in 30 mm cubes across 3D printing materials after annealing then autoclaving 3D Printing Material Average Absolute Percent Deformation Across All Infill Geometries Essentium PLA Gray 1.637% Proto-Pasta HTPLA White 1.799% Raptor Series PLA HD Vivid Blue 6.183% Dragons Metallic PLA All That Glitters Gold 6.345% colorFabb Woodfill 6.363% Maker Series PLA, Food Safe, FDA OK, Clear 10.468% Maker Series PLA White HOT White 17.711% absolute deformation in 30 mm cubes across 3D printing materials after annealing then autoclaving Average Absolute Percent Deformation Across All Infill Geom Chen et al. 3D Printing in Medicine (2020) 6:9 Page 7 of 10 Table 5 Quantifying absolute deformation in 30 mm cubes across infill geometries after annealing then autoclaving Infill Geometries Average Absolute Percent Deformation Across All 3D Printing Materials Grid 5.459% Triangle 6.633% Zig-zag 8.377% Tetrahedral 8.391% Table 5 Quantifying absolute deformation in 30 mm cubes across infill geometries after annealing then autoclaving Infill Geometries Average Absolute Percent Deformation Across All 3D Printing Materials Grid 5.459% Triangle 6.633% Zig-zag 8.377% Tetrahedral 8.391% account for distortion in anatomical models when pre- paring the STL. these retractors retained 31% of their original strength. Standard retractors decreased in strength from 95 N to 19.8 N after annealing then autoclaving, resulting in re- tractors that retained only 21% of their original strength. Therefore, there is not a consistent percentage decrease in retractor strength across different retractor designs. Effect of annealing and autoclaving on 3D printed PLA Army-Navy retractor strength We have found that hot water-bath annealed standard 3D printed PLA Army-Navy retractors demonstrate a statistically significant increase in retractor strength as compared to no intervention. Conversely, autoclaving these retractors substantially decrease their mechanical strength, rendering them extremely weak and brittle. Combining these interventions, annealing then autoclav- ing, results in retractors slightly stronger than autoclav- ing alone but still substantially weaker than the control retractors. Therefore, it is demonstrated that annealing 3D prints increase their strength, regardless of an add- itional autoclaving intervention. However, for the print technology, materials, and autoclave cycle chosen in this study, autoclaving poses a challenge for adopting 3D printed surgical instruments in the operating room by introducing strength limitations. We found that the strength-optimized 3D printed Army-Navy retractor de- sign did overcome this strength limitation. Limitations 3D Printing in Medicine (2020) 6:9 Page 8 of 10 Table 7 All subjective observations noted in this study 3D Printing Material Infill Geometry Subjective Observation (Water Bath Annealing) Subjective Observation (Autoclave) Proto-Pasta HTPLA White Tetrahedral No observed subjective deformity Mild Wave Maker Series PLA, Food Safe, FDA OK, Clear Triangles Mild Balloon No observed subjective deformity Dragons Metallic PLA All That Glitters Gold Tetrahedral Balloon Balloon Maker Series PLA, Food Safe, FDA OK, Clear Tetrahedral Balloon Balloon Maker Series PLA White HOT White Grid Balloon Mild Balloon Maker Series PLA White HOT White Tetrahedral Balloon Balloon Maker Series PLA, Food Safe, FDA OK, Clear Zig-zag Balloon Balloon Maker Series PLA White HOT White Triangles Balloon Balloon Maker Series PLA White HOT White Zig-zag Balloon Balloon annealing process, dimensional change and strength may have been differently affected. Furthermore, hot water- bath annealed retractors demonstrated warping, which likely introduced random error into our measurements. 3D printed retractors in this study were buoyant in the hot water-bath, and were fully submerged by placing them into a large glass beaker. This positioning of these retractors may have contributed to additional warping, as according to the manufacturer technical data sheet, the heat deflection temperature of Essentium PLA is 70 °C [28]. In this study, retractors were immediately autoclaved after annealed prints were brought to room temperature undisturbed. In the operating room, there may be a dif- ference in time frame between annealing and autoclaving that may also present different dimensional and strength changes. Limitations The results of this study are only valid for FDM 3D printing technology. Our analysis focused only on testing seven commercially available FDM 3D printing materials based on market availability and we tested only four of nine infill patterns available in the Ultimaker Cura LulzBot Edition software. Therefore, there may exist a combination of 3D printing material and infill geometry that is further optimized towards minimizing model dis- tortion after annealing and autoclaving. There may also be alternative methods of sterilization that further minimize model distortion including sterilization using ethylene oxide gas or gamma radiation. We acknowledge that dimensional changes and strength limitations may not be a challenge at a lower autoclave cycle, which would require further testing. We have also yet to understand the mechanical behavior of the 3D printed models in this study when they are sub- jected to multiple cycles of autoclaving and whether they will continue to undergo dimensional change. However, re- gardless of whether 3D printed PLA surgical instruments are determined to be single or multi-use, these instruments may still be valuable in fields such as aerospace medicine where space limitations exist, or in resource-limited situa- tions where additional instruments are needed. Using Chen et al.’s definition of clinically excessive retraction to be 35 N, standard 3D printed Army-Navy retractors after annealing then autoclaving do not meet the demands of the operating room, failing on average at 19.8 +/−3.1 N. However, strength-optimized retractors after annealing then autoclaving fail at 164.8 N +/−12.5 N, approximately 4.7 times what is needed for excessive retraction. Despite the substantial weakening of retrac- tors due to autoclaving, optimized retractors can survive autoclaving and remain robust enough to use in the op- erating room. During annealing interventions, 3D prints in this study came in direct contact with hot water during the hot water-bath annealing process. However, if 3D prints were bagged and sealed prior to submersion during the Strength-optimized retractors without intervention fail at 538.5 N +/−24.9 N. After annealing then autoclaving, Table 6 For 30 mm cubes, consistent across both interventions, distortion in the Z axis is approximately twice that of distortion in either X or Y axes Water Bath Annealing Annealing then Autoclave Average absolute percent distortion in X axis 1.677% 1.712% Average absolute percent distortion in Y axis 1.628% 1.752% Average absolute percent distortion in Z axis 3.480% 3.751% Chen et al. References 1. Kim GB, Lee S, Kim H, Yang DH, Kim Y-H, Kyung YS, Kim C-S, Choi SH, Kim BJ, Ha H, Kwon SU, Kim N. Three-dimensional printing: basic principles and applications in medicine and radiology. Korean J Radiol. 2016;17:182. https://doi.org/10.3348/kjr.2016.17.2.182. 1. Kim GB, Lee S, Kim H, Yang DH, Kim Y-H, Kyung YS, Kim C-S, Choi SH, Kim BJ, Ha H, Kwon SU, Kim N. Three-dimensional printing: basic principles and applications in medicine and radiology. Korean J Radiol. 2016;17:182. https://doi.org/10.3348/kjr.2016.17.2.182. Fig. 5 Strength-optimized Army-Navy retractors decrease substantially in strength after annealing followed by autoclaving intervention g j 2. Malik HH, Darwood ARJ, Shaunak S, Kulatilake P, El-Hilly AA, Mulki O, Baskaradas A. Three-dimensional printing in surgery: a review of current surgical applications. J Surg Res. 2015;199:512–22. https://doi.org/10.1016/j. jss.2015.06.051. This study is intended as a pre-clinical evaluation of the mechanical behavior of FDM 3D printing materials following hot water-bath annealing treatment and auto- clave sterilization. For FDM 3D printed Army-Navy retractors, further sterilization and biocompatibility val- idation will be necessary for it to be applied clinically. 3. Mishra S. Application of 3D printing in medicine. Indian Heart J. 2016;68: 108–9. https://doi.org/10.1016/j.ihj.2016.01.009. 4. RSNA Special Interest Group for 3D Printing, Chepelev L, Wake N, Ryan J, Althobaity W, Gupta A, Arribas E, Santiago L, Ballard DH, Wang KC, Weadock W, Ionita CN, Mitsouras D, Morris J, Matsumoto J, Christensen A, Liacouras P, Rybicki FJ, Sheikh A. Radiological Society of North America (RSNA) 3D printing Special Interest Group (SIG): guidelines for medical 3D printing and appropriateness for clinical scenarios. 3D Print Med. 2018;4. https://doi.org/ 10.1186/s41205-018-0030-y. Acknowledgments 9. Auricchio F, Marconi S. 3D printing: clinical applications in orthopaedics and traumatology. EFORT Open Rev. 2016;1:121–7. https://doi.org/10.1302/2058- 5241.1.000012. 9. Auricchio F, Marconi S. 3D printing: clinical applications in orthopaedics and traumatology. EFORT Open Rev. 2016;1:121–7. https://doi.org/10.1302/2058- 5241.1.000012. UCSF Department of Orthopaedic Surgery UCSF Department of Orthopaedic Surgery The article processing charge for this publication has been funded generously by the UCSF Open Access Publishing Fund. 10. Bagaria V, Bhansali R, Pawar P. 3D printing- creating a blueprint for the future of orthopedics: current concept review and the road ahead! J Clin Orthop Trauma. 2018;9:207–12. https://doi.org/10.1016/j.jcot.2018.07.007. 10. Bagaria V, Bhansali R, Pawar P. 3D printing- creating a blueprint for the future of orthopedics: current concept review and the road ahead! J Clin Orthop Trauma. 2018;9:207–12. https://doi.org/10.1016/j.jcot.2018.07.007. Conclusion and future steps As the field of medicine begins to adopt 3D printing technologies, understanding the mechanical behavior of 3D printing materials becomes critical. Identifying an FDM 3D printing material that deforms the least under heat treatment is important for clinical applications as deformation can change the structural integrity and functionality of 3D printed models and surgical instru- ments. This study identified an FDM 3D printing mater- ial and infill geometry that minimizes 30 mm cube deformation after hot water-bath annealing and auto- claving: Essentium PLA and “grid” infill geometry. Fig. 4 Standard Army-Navy retractor strength across interventions We demonstrated that hot water-bath annealing re- sults in markedly increased 3D printed retractor strength and that sterilizing 3D printed objects using an autoclave drastically diminishes strength. Despite this, the opti- mized 3D printed PLA Army-Navy retractor design overcomes this strength limitation. 3D printed objects can withstand autoclaving with minimal distortion and maintain model integrity when mechanical strength is not needed, which is helpful for surgical anatomical models used as reference objects in the operating room. Reducing variability among prints is an important step for the continued adoption of 3D printing technology in the medical field and applying it to the creation of low- cost surgical instruments and medical equipment in space and resource-scarce settings, improving healthcare globally. Among future steps in reducing variability, the behavior of alternative low-cost 3D printing technologies including stereolithography 3D printing requires further investigation. Page 9 of 10 Page 9 of 10 Chen et al. 3D Printing in Medicine (2020) 6:9 en et al. 3D Printing in Medicine (2020) 6:9 Fig. 5 Strength-optimized Army-Navy retractors decrease substantially in strength after annealing followed by autoclaving intervention trained co-authors on 3D printing process. KST collaborated on experiment design, printed the cubes, performed annealing, and collected the data. ABD assembled and maintained 3D printer, and trained co-authors on 3D printing process and computer automated design. All authors read and approved the final manuscript. Supplementary information 5. Shilo D, Emodi O, Blanc O, Noy D, Rachmiel A. Printing the future—updates in 3D printing for surgical applications. Rambam Maimonides Med J. 2018;9: e0020. https://doi.org/10.5041/RMMJ.10343. y Supplementary information accompanies this paper at https://doi.org/10. 1186/s41205-020-00062-9. 6. Sun Z. 3D printing in medicine: current applications and future directions. Quant Imaging Med Surg. 2018;8:1069–77. https://doi.org/10.21037/qims. 2018.12.06. Additional file 1. Supplementary data. Additional file 1. Supplementary data. 7. Vaccarezza M, Papa V. 3D printing: a valuable resource in human anatomy education. Anat Sci Int. 2015;90:64–5. https://doi.org/10.1007/s12565-014- 0257-7. 7. Vaccarezza M, Papa V. 3D printing: a valuable resource in human anatomy education. Anat Sci Int. 2015;90:64–5. https://doi.org/10.1007/s12565-014- 0257-7. Author details 1 1Department of Orthopaedic Surgery, University of California, San Francisco, CA, USA. 2Department of Surgery, Orthopaedic Section, San Francisco VA Health Care System, San Francisco, CA, USA. Received: 27 August 2019 Accepted: 17 March 2020 Received: 27 August 2019 Accepted: 17 March 2020 Abbreviations FDM: Fused deposition modeling; HTPLA: High temperature polylactic acid; PLA: Polylactic acid; STL: Standard tessellation language 8. Aufieri R, Picone S, Gente M, Paolillo P. 3D printing in neonatal care. Ital J Pediatr. 2015;41. https://doi.org/10.1186/1824-7288-41-S1-A1. 8. Aufieri R, Picone S, Gente M, Paolillo P. 3D printing in neonatal care. Ital J Pediatr. 2015;41. https://doi.org/10.1186/1824-7288-41-S1-A1. Acknowledgments UCSF Department of Orthopaedic Surgery The article processing charge for this publication has been funded generously by the UCSF Open Access Publishing Fund. Funding CS Availability of data and materials Retractor STLs and data are available through the authors. Competing interests Joshua V. Chen - none Alexis Dang – Stock Options: Printerprezz Kara S. Tanaka - none Alan BC Dang – Paid employee: Printerprezz; Stock Options: Printerprezz None of the authors have any relationship with Stratasys. Authors’ contributions 11. Chae MP, Rozen WM, McMenamin PG, Findlay MW, Spychal RT, Hunter- Smith DJ. Emerging applications of bedside 3D printing in plastic surgery. Front Surg. 2015;2. https://doi.org/10.3389/fsurg.2015.00025. 11. Chae MP, Rozen WM, McMenamin PG, Findlay MW, Spychal RT, Hunter- Smith DJ. Emerging applications of bedside 3D printing in plastic surgery. Front Surg. 2015;2. https://doi.org/10.3389/fsurg.2015.00025. JVC collected data, contributed to planning the experiment, analyzed the data and wrote the manuscript. AD is the PI, provided funding, planned the experiment, autoclaved the cubes, assembled and maintained 3D printer, and Page 10 of 10 Chen et al. 3D Printing in Medicine (2020) 6:9 Chen et al. 3D Printing in Medicine (2020) 6:9 (2020) 6:9 12. Cheng GZ, San Jose Estepar R, Folch E, Onieva J, Gangadharan S, Majid A. Three-dimensional printing and 3D slicer. Chest. 2016;149:1136–42. https://doi.org/10.1016/j.chest.2016.03.001. 13. Eltorai AEM, Nguyen E, Daniels AH. Three-dimensional printing in orthopedic surgery. Orthopedics. 2015;38:684–7. https://doi.org/10.3928/ 01477447-20151016-05. 14. Gargiulo P, Árnadóttir Í, Gíslason M, Edmunds K, Ólafsson I. New directions in 3D medical modeling: 3D-printing anatomy and functions in neurosurgical planning. J Healthc Eng. 2017;2017:1–8. https://doi.org/10. 1155/2017/1439643. 15. Giannopoulos AA, Steigner ML, George E, Barile M, Hunsaker AR, Rybicki FJ, Mitsouras D. Cardiothoracic applications of 3-dimensional printing. J Thorac Imaging. 2016;31:253–72. https://doi.org/10.1097/RTI.0000000000000217. 16. Huang W, Zhang X. 3D printing: print the future of ophthalmology. Investig Opthalmology Vis Sci. 2014;55:5380. https://doi.org/10.1167/iovs.14-15231. 17. Matias M, Zenha H, Costa H. Three-dimensional printing: custom-made implants for craniomaxillofacial reconstructive surgery. Craniomaxillofacial Trauma Reconstr. 2017;10:089–98. https://doi.org/10.1055/s-0036-1594277. 18. Rui Y, Gang X, Shuang-Shuang M, Hua-Yu Y, Xin-Ting S, Wei S, Yi-Lei M. Three-dimensional printing: review of application in medicine and hepatic surgery. Cancer Biol Med. 2016;13:443. https://doi.org/10.20892/j.issn.2095- 3941.2016.0075. 19. Wong KC. 3D-printed patient-specific applications in orthopedics. Orthop Res Rev Volume. 2016;8:57–66. https://doi.org/10.2147/ORR.S99614. 20. Rozema F, Bos R, Boering G, Van Asten J, Nijenhuis A, Pennings A. The effects of different steam-sterilization programs on material properties of poly(L-lactide). J Appl Biomater. 1991;2:23–8. https://doi.org/10.1002/jab. 770020104. 21. Ganry L, Quilichini J, Bandini CM, Leyder P, Hersant B, Meningaud JP. Three- dimensional surgical modelling with an open-source software protocol: study of precision and reproducibility in mandibular reconstruction with the fibula free flap. Int J Oral Maxillofac Surg. 2017;46:946–57. https://doi.org/10. 1016/j.ijom.2017.02.1276. 22. Dong J, Li M, Zhou L, Lee S, Mei C, Xu X, Wu Q. The influence of grafted cellulose nanofibers and postextrusion annealing treatment on selected properties of poly(lactic acid) filaments for 3D printing. Polym Phys. 2017. Authors’ contributions https://doi.org/10.1002/polb.24333. 23. Lam J. Annealing 3D Printed Plastics: Sous Vide Style. http://www. justinmklam.com/posts/2017/06/sous-vide-pla/. Accessed 29 May 2018. 24. Tyson E. How to Anneal Your 3d Prints for Strength. https://rigid.ink/blogs/ news/how-to-anneal-your-3d-prints-for-strength. Accessed 6 Aug 2018. 25. Wang L, Gramlich WM, Gardner DJ. Improving the impact strength of poly(lactic acid) (PLA) in fused layer modeling (FLM). Polymer. 2017;114:242–8. https://doi.org/10.1016/j.polymer.2017.03.011. 26. Centers for Disease Control. Steam sterilization: Centers for Disease Control and Prevention; 2016. https://www.cdc.gov/infectioncontrol/guidelines/ disinfection/sterilization/steam.html. 27. Chen JV, Dang ABC, Lee CS, Dang ABC. 3D printed PLA Army-Navy retractors when used as linear retractors yield clinically acceptable tolerances. 3D Print Med. 2019;5. https://doi.org/10.1186/s41205-019-0053-z. 28. Essentium (2019) Essentium PLA technical data sheet. https://essentium3d. com/wp-content/uploads/2019/10/TDS_Essentium_PLA.pdf. 28. Essentium (2019) Essentium PLA technical data sheet. https://essentium3d. com/wp-content/uploads/2019/10/TDS_Essentium_PLA.pdf. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
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Socioeconomic status (SES) as a determinant of adherence to treatment in HIV infected patients: a systematic review of the literature
Retrovirology
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BioMed Central BioMed Central BioMed Central Open Commentary Socioeconomic status (SES) as a determinant of adherence to treatment in HIV infected patients: a systematic review of the literature Matthew E Falagas*1,2, Efstathia A Zarkadoulia1, Paraskevi A Pliatsika1 and George Panos3 Address: 1Alfa Institute of Biomedical Sciences (AIBS), Athens, Greece, 2Department of Medicine, Tufts University School of Medicine, Boston, Massachusetts, USA and 3HIV unit, 1st IKA Hospital, Athens, Greece Email: Matthew E Falagas* - m.falagas@aibs.gr; Efstathia A Zarkadoulia - e.zarkadoulia@aibs.gr; Paraskevi A Pliatsika - e.pliatsika@aibs.gr; George Panos - panmedix@otenet.gr * C di h * Corresponding author Received: 6 November 2007 Accepted: 1 February 2008 Received: 6 November 2007 Accepted: 1 February 2008 g ; 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. Retrovirology Open Access http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 could exist and, thus, would be presented in our reviewed studies. Literature search Two independent reviewers performed the literature search, study selection, and data extraction. Disagree- ments between these reviewers were resolved in meetings of all authors. We performed a systematic search of the lit- erature to identify reviews and original studies that reported data regarding the impact of SES on adherence in HIV/AIDS patients. The relevant studies were identified by the use of the PubMed database (articles written in Eng- lish), published until 2006. In addition, we performed additional searches of various Internet resources on HIV/ AIDS [2,9,17,18]. Also, we searched the relevant articles identified from the list of references of the initially retrieved papers. We used 3 different search strategies using the following key words: 1. Socioeconomic status AND (HIV OR AIDS) AND (compliance OR adherence), 2. (Compliance OR adherence) AND (HIV OR AIDS) AND determinants, 3. (AIDS OR HIV) AND (compliance OR adherence) AND education AND income. Although adherence is higher in patients with HIV/AIDS than in other chronic diseases (cardiovascular, infectious and pulmonary diseases) [7,14], it is not clear whether SES is associated with higher adherence to HIV therapy. A possible association between SES and adherence to treat- ment among HIV patients may have an impact on the suc- cess of their treatment, mainly because the knowledge of such an association may help the treating physicians iden- tify patients who are less likely to adhere to treatment and thus, make more effort to influence the patient's adher- ence to treatment. In such a fashion, SES could affect the patient's quality of life, the social life of the patients and their families, the patient-physician relationship, and cre- ate a need for changes in matters of the public health sys- tem [1-4]. Subsequently, the effect of SES on adherence among HIV infected patients is considered a controversial issue [1,15,16]. Following the lead of other chronic dis- eases (diabetes, asthma, coronary disease), we hypothe- sized that a possible positive association between level of SES and level of adherence to antiretroviral treatment Introduction Suboptimal adherence to medical treatment with antiret- roviral agents has been associated with increased morbid- ity and mortality, potential transmission of drug-resistant virus, drug resistance, and failure to achieve viral suppres- sion [1-4]. Adherence to treatment in patients infected with the human immunodeficiency virus (HIV) or acquired immunodeficiency syndrome (AIDS) is influ- enced by factors associated with the patient, the disease, the patient-physician relationship, and the therapy [1-5]. Patient related determinants are socioeconomic status (SES), demographic, psychological, cognitive and behav- ioral characteristics [1,6-9]. It is noteworthy that despite the fact that SES is a com- monly used term, it is rather difficult to define and meas- ure it [17]. According to "The New Dictionary of Cultural Literacy"(3d Edition 2002), SES depends on a combina- tion of variables including occupation, education, income, and place of residence [18]. In this review, we attempted to synthesize the data regarding the association between SES and adherence to treatment of patients with HIV/AIDS, using information reported on major determi- nants of SES, namely income, education, and occupation. It is suggested that SES is consistently associated with higher adherence to medical treatment in patients suffer- ing from chronic diseases, such as asthma, diabetes, and post-myocardial infarction [1,7,10-12]. Suggested path- ways in which SES might be associated with adherence, as well as morbidity and mortality, include education's effect on shaping a financially stable future, and on acquiring health literacy and knowledge to use health resources, while income plays a big part in obtaining better housing conditions, recreational facilities and better health care [13]. Moreover, occupation in terms of employment sta- tus affects the ongoing stress of the patients and their abil- ity to use health care facilities, while occupational status can be reflected on the physical (possible environmental exposure to damaging agents) and psychosocial (lack of control over one's daily program) aspects of a low-SES patient's life [13]. All of these parameters influence acces- sibility to appropriate treatment and the patients' will to comply. Page 2 of 12 (page number not for citation purposes) Abstract Objectives: It has been shown that socioeconomic status (SES) is associated with adherence to treatment of patients with several chronic diseases. However, there is a controversy regarding the impact of SES on adherence among patients with the human immunodeficiency virus (HIV) infection or acquired immunodeficiency syndrome (AIDS). Thus, we sought to perform a systematic review of the evidence regarding the association of SES with adherence to treatment of patients with HIV/ AIDS. Methods: We searched the PubMed database to identify studies concerning SES and HIV/AIDS and collected data regarding the association between various determinants of SES (income, education, occupation) and adherence. Findings: We initially identified 116 potentially relevant articles and reviewed in detail 17 original studies, which contained data that were helpful in evaluating the association between SES and adherence to treatment of patients with HIV/AIDS. No original research study has specifically focused on the possible association between SES and adherence to treatment of patients with HIV/ AIDS. Among the reviewed studies that examined the impact of income and education on adherence to antiretroviral treatment, only half and less than a third, respectively, found a statistically significant association between these main determinants of SES and adherence of patients infected with HIV/AIDS. Conclusion: Our systematic review of the available evidence does not provide conclusive support for existence of a clear association between SES and adherence among patients infected with HIV/ AIDS. There seemed to be a positive trend among components of SES (income, education, occupation) and adherence to antiretroviral treatment in many of the reviewed studies, however most of the studies did not establish a statistically significant association between determinants of SES and adherence. Page 1 of 12 (page number not for citation purposes) (page number not for citation purposes) http://www.retrovirology.com/content/5/1/13 http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 Data extraction [14,24,25,28-31], therefore many studies lacked data con- cerning some of the parameters. There were insufficient data regarding income in 6 [15,16,21,24,30,32] and edu- cational level in also 6 [15,16,24,27,28,31] of the 17 reviewed studies, respectively (some of the studies had data regarding income but not for education and others the reverse). Employment status was assessed in 9 studies [3,4,14,15,22,23,25,26,32], however no data were given on occupational status or working position. Health liter- acy was assessed in 1 study [29]. We considered this char- acteristic closely connected to educational level, therefore we included it as part of education in the presentation of the data. From the studies that were included in our systematic review we extracted data regarding the date of publication, the setting of the study, the patient population, details of the medical treatment (monotherapy, Highly Active Anti- Retroviral Therapy – HAART), data relevant to SES, the measure of adherence, the overall adherence and findings regarding the association between major determinants of SES and adherence. In this study we assessed three param- eters as major factors contributing to SES, namely, income, education, and occupation, and we examined their association with adherence to treatment of HIV infected patients. In Table 3 we present the main findings regarding the analysis of the association of the various components of SES and adherence. Income, level of education, and employment status were statistically significantly associ- ated with the level of adherence in 7 [14,21,23,25,28,30,31], 5 [14,16,24,29,30], and 1 [15] original study, respectively (out of 17 studies reviewed); most significant findings refer to a positive association between levels of SES components and levels of adherence to antiretroviral treatment, although two of the reviewed studies suggest an adverse association between education [30] or having a busy workload [15], respectively, and adherence. However, the aforementioned SES determi- nants were not found to be statistically significantly asso- ciated with adherence in 7 [3,4,22,24,26,27,29], 8 [3,4,21,22,25-27,32], and 7 [3,4,14,22,24,25,32] other studies that examined such an association, respectively. Findings I Fi 1 g In Figure 1 we present the various steps in the study selec- tion process. There were 116 potentially relevant studies from which we further reviewed 17 studies with original data. In Table 1 we present the characteristics of the 17 studies that were included in our systematic review. The year of publication of the studies ranged from 1991 to 2005. There was considerable variability among studies regarding the setting and the patient populations includ- ing different countries and different average socioeco- nomic and cultural background, respectively. In some studies the sample size of the population was small [4,21,22]. We reviewed 9 longitudinal [3,4,14,16,21-25] and 8 cross-sectional [15,26-32] studies, while the average patient number of the total 17 studies was 411 patients per study (ranging from 40 to 2267, depending on the study setting). The populations had previously been intro- duced to HAART in at least 12 of the reviewed studies [4,14-16,23-26,28-30,32]. Details regarding the antiretro- viral treatment, such as the specific regimens used or the percentage of the population using them, were not reported in several studies [3,16,23,27,30,31]. Moreover studies varied in the measurement of adherence [pills per dose, doses per day, days of treatment per week(s), respect of the exact time schedule of obtaining the medications, etc] and used different cutoff point of adherence (from 80% to 100% of dosage) in order to dichotomize the patients between adherent and non-adherent. Study selection h l The inclusion and exclusion criteria used for the studies reviewed, were set before the literature search. Studies included in our study concerned only individual HIV- infected adult patients and their adherence to antiretrovi- ral treatment. Reviews and editorials were not included in our systematic review. We excluded studies focused on HIV prevention, quality of life, attitude, and health status of patients. We also excluded studies, which compared the outcomes of treatment with different antiretroviral drugs without reporting specific data for the SES of the studied patients. Additionally, we excluded studies that focused on HIV-infected illicit drug users, as such users have spe- cific psychosocial characteristics [19] and are in need of a special approach in order to adhere to medical treatment [20], a fact that differentiates them from the general pop- ulation. Page 2 of 12 (page number not for citation purposes) http://www.retrovirology.com/content/5/1/13 Discussion In this systematic review we found that SES was not con- sistently associated with adherence to treatment among HIV infected patients. Since there was no study directly examining the association between SES and adherence in patients with HIV/AIDS, we evaluated the available data regarding the possible association between the major sep- arate determinants of SES (income, education, occupa- tion) and adherence. Although someone would have expected a clear association between SES and adherence to treatment based on data from studies on patients with chronic diseases other than HIV/AIDS infection, the evi- dence from the available studies does not fully support the existence of such an association in this patient popu- lation. However, a positive trend of association between levels of various SES components and levels of adherence to antiretroviral treatment is present among many of the studies. We did not identify a study focused directly on the associ- ation between SES or its main determinants analyzed as a group and adherence. In Table 2 we present the available reported data regarding factors contributing to SES, the method with which adherence to antiretroviral treatment was measured, and the overall adherence. In 11 out of 17 studies included in our review, self-report by the patients was the main measure of adherence to treatment [15,16,23-31]. Discussion        x      #)#     &' x      *       &(' x     1   2      &'  Ļĺ   ( *     3   % x    &4' x   1      x        5   *                                            ! "#      (            #)#        *  (    % x +      &' x *      ,     &' x         -  -    .  &' x     .          *      &' x       *        / */ ,  *  * &' x        *    &' x    0         *   &' x         0    *       &(' x * *        &' x  *     *   * &' x         &(' x    0             * &' x                &' x     *   &' x    0. Discussion The main parameters affecting SES (income, education, occupation) were not examined as a group comprising SES, but were rather regarded as demo- graphic characteristics in most reviewed studies By taking a close look at the data presented, it is notewor- thy that among the reviewed studies that examined some of the main components of SES, most did not find a sta- tistically significant association between these factors and Page 3 of 12 (page number not for citation purposes) ogy 2008, 5:13 http://www.retrovirology.com/content/5/1/13 Table 1: Design characteristics of the studies included in our systematic review First author, Year of publication [Reference number] Setting Type of Study Patient Populat Laniece I., 2003 [23] Senegal, Dakar, 3 health structures Prospective cohort study (2 years) 158 HIV(+) adults, enrolling into ISA Access Initiative Mohammed H., 2004 [26] USA, Non-urban Louisiana, 8 HIV outpatient clinics Retrospective study (clinic survey) (30 months) 273 HIV(+) adults, using Eldred L.J., 1998 [27] USA, Baltimore, Johns Hopkins Hospital, HIV Outpatient Clinic Retrospective study (clinic survey) (9 months) 244 HIV(+) adults, Medicaid-insured, at visit in previous 6 months + prescription for at least 6 mon Kleeberger C.A., 2004 [24] USA, Multicenter (4 centres in Baltimore, Chicago, Pittsburgh, Los Angeles) Prospective cohort study (2 years) 597 HIV(+) homosexual men, using H MACS (Multicenter AIDS Cohort Study and 33rd visit [only 486 provided nee Peretti-Watel P., 2005 [28] France, 102 hospital departments delivering HIV care Cross-sectional study (national survey) (1 year) 1809 HIV(+) adults (homosexual men heterosexual women), French speaking at least 12 months, living in France fo sexually active during the pr Fong O.W., 2003 [15] Hong Kong, Integrated Treatment Centre of the Department of Health Retrospective study (1 year) 161 HIV(+) adults, Chinese in origin + at least 12 months (at the Kleeberger C.A., 2001 [25] USA, Multicenter (4 centres in Baltimore, Chicago, Pittsburgh, Los Angeles) Prospective cohort study (6 months) 539 HIV(+) homosexual men, during t Goldman D.P., 2002 [16] USA Retrospective analysis of prospective study, (2 years) 2864 HIV(+) adults, participating in H Services Utilization Study [only 2267 p last follow-up] Golin C.E., 2002 [14] USA, North Carolina, County Hospital HIV Clinic Prospective cohort study (1 year) 117 HIV(+) adults, English or Spanish sp HAART (PI or NN Singh N., 1999 [3] USA, 3 Medical Centres, HIV Clinics Prospective cohort study (6 months) 123 HIV (+) adults, followed in Kalichman S.C., 1999 [29] USA, Georgia, Atlanta, community area Community-based study (Regional survey) 184 HIV(+) adults, receiving triple Weiser S., 2003 [30] Botswana, 3 private clinics (2 in Gabarone, 1 in Francistown) Cross-sectional study (Clinic survey) (7 months) 109 HIV (+) adu Morse E.V., 1991 [21] USA, Louisiana, New Orleans Nurse-based survey (6 months) 40 HIV (+) adults, asymptomatic + part Clinical Trials Group) [the 20 most an patients] Gebo K.A., 2003 [31] USA, Baltimore, Johns Hopkins University, HIV Clinic Cross-sectional study (Clinic survey) (8 months) 196 HIV (+) adults, enrolling in the HIV antiretroviral medic Duong M., 2001 [32] France, Dijon Hospital AIDS day-care Unit Prospective cross-sectional study (5 months) 149 HIV (+) adults, receiving drug nucleoside analogues + 1 o Ickovics J.R, 2002 [4] USA, Multicenter (21 collaborating units) Prospective analysis of Randomised Controlled Trial (24 weeks) 93 HIV (+) adults, participating in AC Group) protocol Singh N., 1996 [22] USA, Pittsburgh VA Medical Center Prospective study (12 months) 46 HIV (+) male ad (*) Abbreviations in medication: HAART = highly active antiretroviral treatment, ZDV = zidovudine, dT4 = stavudine, DLV = delaviridine, IDV = indinavir, 3TC /13 Table 1: Design characteristics of the studies included in our systematic review Page 4 of 12 (page number not for citation purposes) ystematic review Type of Study Patient Population Type of Medication (*) Prospective cohort study (2 years) 158 HIV(+) adults, enrolling into ISAARV (Senegalese ARV Access Initiative) HAART, mainly Retrospective study (clinic survey) (30 months) 273 HIV(+) adults, using HAART HAART Retrospective study (clinic survey) (9 months) 244 HIV(+) adults, Medicaid-insured, at least one previous clinic visit in previous 6 months + prescription of antiretroviral therapy for at least 6 months Antiretroviral monotherapy, mainly Prospective cohort study (2 years) 597 HIV(+) homosexual men, using HAART + participating in MACS (Multicenter AIDS Cohort Study), between patients' 30th and 33rd visit [only 486 provided needed data on follow-up] HAART Cross-sectional study (national survey) (1 year) 1809 HIV(+) adults (homosexual men, heterosexual men, and heterosexual women), French speaking, diagnosed as HIV(+) for at least 12 months, living in France for at least 6 months + sexually active during the prior 12 months HAART h Retrospective study (1 year) 161 HIV(+) adults, Chinese in origin + treated with HAART for at least 12 months (at the end of 2000) HAART Prospective cohort study (6 months) 539 HIV(+) homosexual men, during their 30th visit to MACS HAART, mainly Retrospective analysis of prospective study, (2 years) 2864 HIV(+) adults, participating in HCSUS (HIV Cost and Services Utilization Study [only 2267 provided needed data on last follow-up] HAART, mainly al Prospective cohort study (1 year) 117 HIV(+) adults, English or Spanish speaking + newly initiating HAART (PI or NNRTI) HAART s Prospective cohort study (6 months) 123 HIV (+) adults, followed in any of the clinics Antiretroviral treatment, not specified ea Community-based study (Regional survey) 184 HIV(+) adults, receiving triple-drug combination HAART Cross-sectional study (Clinic survey) (7 months) 109 HIV (+) adults Antiretroviral treatment (HAART 31%) Nurse-based survey (6 months) 40 HIV (+) adults, asymptomatic + participating in ACTG (AIDS Clinical Trials Group) [the 20 most and the 20 least adherent patients] ZDV or placebo Cross-sectional study (Clinic survey) (8 months) 196 HIV (+) adults, enrolling in the HIV Clinic + taking at least 1 antiretroviral medication Antiretroviral treatment, not specified e Prospective cross-sectional study (5 months) 149 HIV (+) adults, receiving drug regimens including 2 nucleoside analogues + 1 or more PIs HAART Prospective analysis of Randomised Controlled Trial (24 weeks) 93 HIV (+) adults, participating in ACTG (AIDS Clinical Trial Group) protocol 307 dT4+ DLV+IDV, ZDV+3TC+IDV, ZDV+DLV+IDV Prospective study (12 months) 46 HIV (+) male adults ZDV only (78%), ZDV + ddI (13%), ddI only (8%) Page 4 of (page number not for citation purpos Patient Population Type of Medication (*) 158 HIV(+) adults, enrolling into ISAARV (Senegalese ARV Access Initiative) HAART, mainly 273 HIV(+) adults, using HAART HAART 244 HIV(+) adults, Medicaid-insured, at least one previous clinic visit in previous 6 months + prescription of antiretroviral therapy for at least 6 months Antiretroviral monotherapy, mainly 597 HIV(+) homosexual men, using HAART + participating in MACS (Multicenter AIDS Cohort Study), between patients' 30th and 33rd visit [only 486 provided needed data on follow-up] HAART 1809 HIV(+) adults (homosexual men, heterosexual men, and heterosexual women), French speaking, diagnosed as HIV(+) for at least 12 months, living in France for at least 6 months + sexually active during the prior 12 months HAART 161 HIV(+) adults, Chinese in origin + treated with HAART for at least 12 months (at the end of 2000) HAART 539 HIV(+) homosexual men, during their 30th visit to MACS HAART, mainly 2864 HIV(+) adults, participating in HCSUS (HIV Cost and Services Utilization Study [only 2267 provided needed data on last follow-up] HAART, mainly 117 HIV(+) adults, English or Spanish speaking + newly initiating HAART (PI or NNRTI) HAART 123 HIV (+) adults, followed in any of the clinics Antiretroviral treatment, not specified 184 HIV(+) adults, receiving triple-drug combination HAART 109 HIV (+) adults Antiretroviral treatment (HAART 31%) 40 HIV (+) adults, asymptomatic + participating in ACTG (AIDS Clinical Trials Group) [the 20 most and the 20 least adherent patients] ZDV or placebo 196 HIV (+) adults, enrolling in the HIV Clinic + taking at least 1 antiretroviral medication Antiretroviral treatment, not specified 149 HIV (+) adults, receiving drug regimens including 2 nucleoside analogues + 1 or more PIs HAART 93 HIV (+) adults, participating in ACTG (AIDS Clinical Trial Group) protocol 307 dT4+ DLV+IDV, ZDV+3TC+IDV, ZDV+DLV+IDV 46 HIV (+) male adults ZDV only (78%), ZDV + ddI (13%), ddI only (8%) Patient Population Patient Population Page 4 of ( b t f it ti First author, Year of publication [Reference number] Setting Type of Study Patient Population Type of Medication (*) Laniece I., 2003 [23] Senegal, Dakar, 3 health structures Prospective cohort study (2 years) 158 HIV(+) adults, enrolling into ISAARV (Senegalese ARV Access Initiative) HAART, mainly Mohammed H., 2004 [26] USA, Non-urban Louisiana, 8 HIV outpatient clinics Retrospective study (clinic survey) (30 months) 273 HIV(+) adults, using HAART HAART Eldred L.J., 1998 [27] USA, Baltimore, Johns Hopkins Hospital, HIV Outpatient Clinic Retrospective study (clinic survey) (9 months) 244 HIV(+) adults, Medicaid-insured, at least one previous clinic visit in previous 6 months + prescription of antiretroviral therapy for at least 6 months Antiretroviral monotherapy, mainly leeberger C.A., 2004 [24] USA, Multicenter (4 centres in Baltimore, Chicago, Pittsburgh, Los Angeles) Prospective cohort study (2 years) 597 HIV(+) homosexual men, using HAART + participating in MACS (Multicenter AIDS Cohort Study), between patients' 30th and 33rd visit [only 486 provided needed data on follow-up] HAART eretti-Watel P., 2005 [28] France, 102 hospital departments delivering HIV care Cross-sectional study (national survey) (1 year) 1809 HIV(+) adults (homosexual men, heterosexual men, and heterosexual women), French speaking, diagnosed as HIV(+) for at least 12 months, living in France for at least 6 months + sexually active during the prior 12 months HAART Fong O.W., 2003 [15] Hong Kong, Integrated Treatment Centre of the Department of Health Retrospective study (1 year) 161 HIV(+) adults, Chinese in origin + treated with HAART for at least 12 months (at the end of 2000) HAART leeberger C.A., 2001 [25] USA, Multicenter (4 centres in Baltimore, Chicago, Pittsburgh, Los Angeles) Prospective cohort study (6 months) 539 HIV(+) homosexual men, during their 30th visit to MACS HAART, mainly Goldman D.P., 2002 [16] USA Retrospective analysis of prospective study, (2 years) 2864 HIV(+) adults, participating in HCSUS (HIV Cost and Services Utilization Study [only 2267 provided needed data on last follow-up] HAART, mainly Golin C.E., 2002 [14] USA, North Carolina, County Hospital HIV Clinic Prospective cohort study (1 year) 117 HIV(+) adults, English or Spanish speaking + newly initiating HAART (PI or NNRTI) HAART Singh N., 1999 [3] USA, 3 Medical Centres, HIV Clinics Prospective cohort study (6 months) 123 HIV (+) adults, followed in any of the clinics Antiretroviral treatment, not specified Kalichman S.C., 1999 [29] USA, Georgia, Atlanta, community area Community-based study (Regional survey) 184 HIV(+) adults, receiving triple-drug combination HAART Weiser S., 2003 [30] Botswana, 3 private clinics (2 in Gabarone, 1 in Francistown) Cross-sectional study (Clinic survey) (7 months) 109 HIV (+) adults Antiretroviral treatment (HAART 31%) Morse E.V., 1991 [21] USA, Louisiana, New Orleans Nurse-based survey (6 months) 40 HIV (+) adults, asymptomatic + participating in ACTG (AIDS Clinical Trials Group) [the 20 most and the 20 least adherent patients] ZDV or placebo Gebo K.A., 2003 [31] USA, Baltimore, Johns Hopkins University, HIV Clinic Cross-sectional study (Clinic survey) (8 months) 196 HIV (+) adults, enrolling in the HIV Clinic + taking at least 1 antiretroviral medication Antiretroviral treatment, not specified Duong M., 2001 [32] France, Dijon Hospital AIDS day-care Unit Prospective cross-sectional study (5 months) 149 HIV (+) adults, receiving drug regimens including 2 nucleoside analogues + 1 or more PIs HAART Ickovics J.R, 2002 [4] USA, Multicenter (21 collaborating units) Prospective analysis of Randomised Controlled Trial (24 weeks) 93 HIV (+) adults, participating in ACTG (AIDS Clinical Trial Group) protocol 307 dT4+ DLV+IDV, ZDV+3TC+IDV, ZDV+DLV+IDV Singh N., 1996 [22] USA, Pittsburgh VA Medical Center Prospective study (12 months) 46 HIV (+) male adults ZDV only (78%), ZDV + ddI (13%), ddI only (8%) Type of Study Type of Study Retrospective study (1 year) Prospective cohort study (6 months) Retrospective analysis of prospective study, (2 years) Prospective cohort study (1 year) Prospective cohort study (6 months) Community-based study (Regional survey) Cross-sectional study (Clinic survey) (7 months) Nurse-based survey (6 months) Cross-sectional study (Clinic survey) (8 months) Prospective cross-sectional study (5 months) Prospective analysis of Randomised Controlled Trial (24 weeks) Prospective study (12 months) Retrovirology 2008, 5:13 http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 diagram of reviewed studies re 1 diagram of reviewed studies. Discussion Flow diagram of all reviewed studies, showing how we end es we further analyzed.                   Ļĺ        Ļĺ           ! "#       $   % x   &' x       &('  Ļĺ     (            #)#        *   (    % x +      &' x *      ,   x         -   .  &' x     .      *     x       *   / */ ,  *  x        *  &' x    0      *   &' x         0   *       &(' x * *         x  *     *   *  x         &(' x    0            * &' x            &' x     *   &' x    0. 80.7% of self-reports optimal. 15.5% of self-reports suboptimal but high grade of adherence (>95%). 1.9% of self- reports low grade of adherence (<90%). Overall adherence not reported. 37.1%–57.3% optimal adherence to HAART, depending on years of schooling. 4% optimal adherence reported. 71% mean overall adherence reported. Working: 35 (30%) Not working: 82 (70%) 88.7% of visit-pairs remained in optimal adherence. 71.5% of visit-pairs that reported suboptimal adherence in starting visit, increased to optimal in next visit. 38.8% of patients with 4 total visits reported suboptimal adherence, at least at one visit. 58% of self reports optimal Page 6 of 12 (page number not for citation purposes) 80.7% of self-reports o self-reports suboptima of adherence (>95%) reports low grade o (<90%) Kleeberger C.A., 2001 [25] Annual income: >50,000 US$: 165 (33.0%) <50,000 US$ 335: (67.0%) College or more: 300 (56.3%) Less than college: 233 (43.7%) Not full time: 178 (39.4%) Full time: 274 (60.6%) Self-report of missing doses/pills in 4 previous days or not having a typical pattern in medication. Optimal (= 100% of dosage) adherence measured. 77.7% of self-repo Goldman D.P., 2002 [16] No given data Grouped proportions not reported No given data Self-report of missing doses/days of medication in previous week, on every follow-up. Optimal (= 100% of dosage) adherence measured. Overall adherence n 37.1%–57.3% optimal HAART, depending schoolin Golin C.E., 2002 [14] Annual Income: <10,000 US$: 74 (63%) >10,000 US$: 43 (34%) Less than high school: 41 (35%) High school or more: 76 (65%) Working: 35 (30%) Not working: 82 (70%) Evaluation of electronic medication bottle caps (MEMS) + pill count, every 4 weeks, and self- report of missing doses in the previous week, on 4 of the visits (interview with the patient). Mean and optimal (t 95% of dosage) adherence measured. 4% optimal adherence mean overall adhere Singh N., 1999 [3] Monthly income: <500$: 22 (18%) 500–1,000$: 42 (34%) 1,000–1,500$: 27 (22%) >1,500$: 27 (22%) Not stated: 5 (4.1%) Grade school: 5(4%) Technical: 6(5%) High school: 51(42%) College: 53(42%) Postgraduate: 8(7%) Employed: 58 (47%) Unemployed: 65 (53%) Refill methodology, monthly (all patients filled prescriptions exclusively through site pharmacy). Optimal (t 90% of dosage) adherence measured. 82% optimal adheren Self-reported number of tablets taken + number of tablets prescribed (by dispensing pharmacist), monthly. Mean and optimal (= 100% of dosage) adherence measured. Self-report of missing doses in previous week (interview with patient). Optimal (= 100% of dosage) adherence measured. Self-report vs. medical records: 60.4% vs. 55.8% optimal in previous week + 74.3% vs. 67.3% optimal in previous 2 weeks. 88.7% of visit-pairs remained in optimal adherence. 71.5% of visit-pairs that reported suboptimal adherence in starting visit, increased to optimal in next visit. 38.8% of patients with 4 total visits reported suboptimal adherence, at least at one visit. 58% of self reports optimal Self-report of missing doses or not respecting time schedule, in previous week (interview with patient). Optimal (= 100% of dosage/timetable) adherence measured. Self-report of missing doses since last follow-up, at each clinic visit Optimal (= 100% of dosage) adherence measured. Page 6 of 12 (page number not for citation purposes) Adherence Adherence etrovirology 2008, 5:13 http://www.retrovirology.com/conten Income Education Employment Measure of adherence Adheren Laniece I., 2003 [23] Median monthly income: 15,000 FCFA (about 20 US$) [80 (50.6%) participate in clinical trials and are free of charge] Without school education: 50 (32%) Not in paid employment: 65 (41%) Self-reported number of tablets taken + number of tablets prescribed (by dispensing pharmacist), monthly. Mean and optimal (= 100% of dosage) adherence measured. 69% of self-reports opt overall adherence s Mohammed H., 2004 [26] Monthly income: 0–999 US$: 220 (80.6%) >1,000 US$: 41 (15.0%) Missing 12 (4.4%) High school or less: 184 (67.4%) Greater than high school: 79 (28.9%) Missing: 10 (3.7%) Employed: 59 (21.6%) Unemployed: 205 (75.1%) Missing: 9 (3.3%) Self-report of missing doses in previous week (interview with patient). Optimal (= 100% of dosage) adherence measured. 65.6% of self-repo Eldred L.J., 1998 [27] Annual income: <$10,000 US$: 220 (91.3%) >$10,000 US$: 21 (8.7%) [All patients were insured and could cover treatment cost] Grouped proportions not reported No given data Self-report of missing doses in previous week, self-report of missing days of treatment in previous 2 weeks (interview with patient) + examining medical record data of the Outpatient Clinic. Optimal (t 80% of doses and days) adherence measured. Self-report vs. medical vs. 55.8% optimal in pr 74.3% vs. 67.3% optim weeks. Kleeberger C.A., 2004 [24] Grouped proportions not reported Grouped proportions not reported Grouped proportions not reported Self-report of missing doses/pills in 4 previous days or not having a typical pattern in medication, every 6 months. Consecutive visit- pairs (1,128) were studied for decrease/increase in adherence from/to optimal to/from suboptimal. Optimal (= 100% of dosage) adherence measured. 88.7% of visit-pairs optimal adherence. 71. that reported suboptim starting visit, increase next visit. 38.8% of p total visits reported adherence, at least Peretti-Watel P., 2005 [28] Financial situation of household satisfying: 1320 (73.0%) Housing conditions satisfying/acceptable: 1566 (86.6%) Food privation in household: 197 (10.9%) No given data No given data Self-report of missing doses or not respecting time schedule, in previous week (interview with patient). Optimal (= 100% of dosage/timetable) adherence measured. 58% of self-repor Fong O.W., 2003 [15] No given data No given data Busy workload: 16 (9.9%) Self-report of missing doses since last follow-up, at each clinic visit Optimal (= 100% of dosage) adherence measured. Suboptimal adherence graded and measured. 77.7% of self-reports optimal Discussion        * &' x      #)#   */   &' x      *           &(' x     1   2        &' Ļĺ   ( *     5   *          ( *    5   *         5   *         Flow diagram of reviewed studies Figure 1 Flow diagram of reviewed studies. Flow diagram of all reviewed studies, showing how we ended up with the 17 original studies we further analyzed. Flow diagram of reviewed studies Figure 1 Flow diagram of reviewed studies. Flow diagram of all reviewed studies, showing how we ended up with the 17 original studies we further analyzed. Page 5 of 12 (page number not for citation purposes) Table 2: Socioeconomic characteristics and adherence measurement in the studies included in our review. Page 6 of 12 (page number not for citation purposes) erence measurement in the studies included in our review. Adherence Education Employment Measure of adherence Adherence 15,000 (50.6%) and are Without school education: 50 (32%) Not in paid employment: 65 (41%) Self-reported number of tablets taken + number of tablets prescribed (by dispensing pharmacist), monthly. Mean and optimal (= 100% of dosage) adherence measured. 69% of self-reports optimal. 91% mean overall adherence self-reported. US$: 220 (15.0%) High school or less: 184 (67.4%) Greater than high school: 79 (28.9%) Missing: 10 (3.7%) Employed: 59 (21.6%) Unemployed: 205 (75.1%) Missing: 9 (3.3%) Self-report of missing doses in previous week (interview with patient). Optimal (= 100% of dosage) adherence measured. 65.6% of self-reports optimal 0 US$: US$: 21 insured nt cost] Grouped proportions not reported No given data Self-report of missing doses in previous week, self-report of missing days of treatment in previous 2 weeks (interview with patient) + examining medical record data of the Outpatient Clinic. Optimal (t 80% of doses and days) adherence measured. Self-report vs. medical records: 60.4% vs. 55.8% optimal in previous week + 74.3% vs. 67.3% optimal in previous 2 weeks. Grade school: 5(4%) Technical: 6(5%) High school: 51(42%) College: 53(42%) Postgraduate: 8(7%) Busy workload: 16 (9.9%) Discussion not Grouped proportions not reported Grouped proportions not reported Self-report of missing doses/pills in 4 previous days or not having a typical pattern in medication, every 6 months. Consecutive visit- pairs (1,128) were studied for decrease/increase in adherence from/to optimal to/from suboptimal. Optimal (= 100% of dosage) adherence measured. 88.7% of visit-pairs remained in optimal adherence. 71.5% of visit-pairs that reported suboptimal adherence in starting visit, increased to optimal in next visit. 38.8% of patients with 4 total visits reported suboptimal adherence, at least at one visit. usehold Housing eptable: ation in 9%) No given data No given data Self-report of missing doses or not respecting time schedule, in previous week (interview with patient). Optimal (= 100% of dosage/timetable) adherence measured. 58% of self-reports optimal No given data Busy workload: 16 (9.9%) Self-report of missing doses since last follow-up, at each clinic visit Optimal (= 100% of dosage) adherence measured. Suboptimal adherence graded and measured. 80.7% of self-reports optimal. 15.5% of self-reports suboptimal but high grade of adherence (>95%). 1.9% of self- reports low grade of adherence (<90%). US$: 165 : (67.0%) College or more: 300 (56.3%) Less than college: 233 (43.7%) Not full time: 178 (39.4%) Full time: 274 (60.6%) Self-report of missing doses/pills in 4 previous days or not having a typical pattern in medication. Optimal (= 100% of dosage) adherence measured. 77.7% of self-reports optimal Grouped proportions not reported No given data Self-report of missing doses/days of medication in previous week, on every follow-up. Optimal (= 100% of dosage) adherence measured. Overall adherence not reported. 37.1%–57.3% optimal adherence to HAART, depending on years of schooling. US$: 74 (34%) Less than high school: 41 (35%) High school or more: 76 (65%) Working: 35 (30%) Not working: 82 (70%) Evaluation of electronic medication bottle caps (MEMS) + pill count, every 4 weeks, and self- report of missing doses in the previous week, on 4 of the visits (interview with the patient). Mean and optimal (t 95% of dosage) adherence measured. 4% optimal adherence reported. 71% mean overall adherence reported. 22 (18%) %) >1,500$: (4.1%) Grade school: 5(4%) Technical: 6(5%) High school: 51(42%) College: 53(42%) Postgraduate: 8(7%) Employed: 58 (47%) Unemployed: 65 (53%) Refill methodology, monthly (all patients filled prescriptions exclusively through site pharmacy). Optimal (t 90% of dosage) adherence measured. 82% optimal adherence reported. Page 6 of 12 (page number not for citation purposes) Suboptimal adherence graded and measured. Not full time: 178 (39.4%) Full time: 274 (60.6%) No given data College or more: 300 (56.3%) Less than college: 233 (43.7%) Grouped proportions not reported Self-report of missing doses/pills in 4 previous days or not having a typical pattern in medication. Optimal (= 100% of dosage) adherence measured. Self-report of missing doses/days of medication in previous week, on every follow-up. Optimal (= 100% of dosage) adherence measured. Less than high school: 41 (35%) High school or more: 76 (65%) Working: 35 (30%) Not working: 82 (70%) Evaluation of electronic medication bottle caps (MEMS) + pill count, every 4 weeks, and self- report of missing doses in the previous week, on 4 of the visits (interview with the patient). Mean and optimal (t 95% of dosage) adherence measured. Retrovirology 2008, 5:13 82% optimal adherence reported. 82% optimal adherence reported. http://www.retrovirology.com/content/5/1/13 Page 7 of 12 Kalichman S.C., 1999 [29] <10,000 US$: 114 (62%) >10,000 US$: 70 (38%) <12 years: 27 (14.7%) >12 years: 157 (85.3%) Lower health literacy TOFHLA: 29(15.8%) No given data Self-report of missing doses in previous 2 days (interview with patient). Mean and optimal (= 100% of dosage) adherence measured. 80.4% of self-reports optimal. 92.6% mean overall adherence self-reported. Weiser S., 2003 [30] No given data Primary: 14 (13%) Secondary: 45 (41%) Post- secondary: 50 (46%) No given data Self-report of missing doses in previous day/ week/month/year (interview with patient). Optimal (t 95%) adherence measured. 54% self-reports were optimal. An additional 29% of self-reports would be optimal if days of treatment hadn't been missed on financial grounds ('gaps in treatment'). Morse E.V., 1991 [21] Proportion of patients receiving economic support by 'significant other' not reported Less than high school: 2 (5.3%) High school graduates: 12 (31.6%) College: 10 (26.3%) College degree: 11 (29%) Professional/graduate degree: 3 (7.9%) No given data Nurse-based measurement of the Clinical Trial participants: 20 most adherent and 20 least adherent participants. Not applicable. Gebo K.A., 2003 [31] Running out of money for life essentials in the previous 90 days: 104 (53%) No given data No given data Self-report of missing doses in the previous 2 weeks (interview with patient). Mean and optimal (t 90% of dosage) adherence measured. 71% of self-reports optimal. 80% mean overall adherence self-reported. Work for pay outside home: Yes: 67 (72%) No: 21 (23%) Missing: 5 (5%) Employed: 80 (54%) Unemployed: 68 (46%) Page 6 of 12 (page number not for citation purposes) Duong M., 2001 [32] No given data Grade school: 13 (9%) High school: 28 (19%) Technical school: 68 (46%) College: 40 (27%) Employed: 80 (54%) Unemployed: 68 (46%) Biological markers: HIV RNA undetectable or lower than criteria + PI plasma levels above reference. Optimal (= virologic response + adequate PI levels) adherence measured. 89% optimal adherence reported. Ickovics J.R, 2002 [4] Average yearly income: <$19,000: 47 (50.5%) >$20,000: 46 (49.5%) High school or less: 39(42%) College/technical school or more: 54(56%) Work for pay outside home: Yes: 67 (72%) No: 21 (23%) Missing: 5 (5%) Self-report of number of pills skipped in previous 4 days (interview with the patient at baseline, week 2, week 4 and every 4 weeks thereafter through to week 24). Optimal (t 95% of dosage) adherence was measured. 63% of self-reports optimal. Singh N., 1996 [22] Median monthly income: 500–749 US$ No income: 5 (11%) >1,500 US$: 7 (15%) [All patients received treatment free of charge] Less than high school: 10 (22%) High school: 9 (19%) College: 13 (28%) Technical education: 13 (28%) Postgraduate: 1 (2%) Employed: 15 (33%) Refill methodology, monthly (all patients filled prescriptions exclusively through site pharmacy). Optimal (t 80% of dosage) adherence was measured. 63% optimal adherence reported. Table 2: Socioeconomic characteristics and adherence measurement in the studies included in our review. (Continued) http://www.retrovirology.com/content/5/1/13 acteristics and adherence measurement in the studies included in our review. (Continued) Nurse-based measurement of the Clinical Trial participants: 20 most adherent and 20 least adherent participants. Work for pay outside home: Yes: 67 (72%) No: 21 (23%) Missing: 5 (5%) Less than high school: 10 (22%) High school: 9 (19%) College: 13 (28%) Technical education: 13 (28%) Postgraduate: 1 (2%) Employed: 15 (33%) Refill methodology, monthly (all patients filled prescriptions exclusively through site pharmacy). Optimal (t 80% of dosage) adherence was measured. Retrovirology 2008, 5:13 http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 Table 3: Association between the main components of the socioeconomic status (SES) and adherence to treatment in HIV infected patients. First author, Year of publication [Reference Number] Income Education Employment Main Findings Laniece I., 2003 [23] S.S.* -* - Mean adherence among patients who were free of charge was higher than those participating in cost, in a statistically significant level, during 17 months of the study. Mean adherence among patients participating in cost + receiving D4T/ddI/IDV increased when cost participation decreased (during second year of study). Page 6 of 12 (page number not for citation purposes) Mohammed H., 2004 [26] N.S.* N.S. - No SES components were significantly associated with adherence. Eldred L.J., 1998 [27] N.S. N.S. - No SES components were significantly associated with adherence. Kleeberger C.A., 2004 [24] N.S. S.S. N.S. Having less than a college education was an independent factor significantly associated with lowering adherence from optimal to suboptimal between two consecutive visits of the patient. Peretti-Watel P., 2005 [28] S.S. - - Poor living conditions (except for food privation among homosexual men) were identified as an independent factor significantly associated with suboptimal adherence in all of the patients' subgroups. Fong O.W., 2003 [15] - - S.S. Having a busy workload was found as an independent factor significantly associated with lower level of adherence. Kleeberger C.A., 2001 [25] S.S. N.S. N.S. Annual income <50,000 US$ was identified as an independent factor significantly associated with lower level of adherence. Goldman D.P., 2002 [16] - S.S. - Higher level of education was identified as a factor significantly associated with receiving HAART as a regimen and with higher level of adherence when using HAART. Golin C.E., 2002 [14] S.S. S.S. N.S. Lower income and lower education were identified as independent factors significantly associated with lower level of adherence. Singh N., 1999 [3] N.S. N.S. N.S. No SES components were significantly associated with adherence. Kalichman S.C., 1999 [29] N.S. S.S. - Higher level of education and higher health literacy (among those with higher level of education) were identified as independent factors significantly associated with higher level of adherence. Weiser S., 2003 [30] S.S. S.S. - Cost as a barrier to treatment was identified as an independent factor significantly associated with lower level of adherence (and gaps in treatment of otherwise would-be adherent patients). Incomplete secondary education was significantly associated with higher level of adherence. Morse E.V., 1991 [21] S.S. N.S. - Receiving economic support by a 'significant other' was identified as an independent factor significantly associated with higher level of adherence. Gebo K.A., 2003 [31] S.S. - - Running out of money for essentials during the previous 90 days was identified as an independent factor significantly associated with lower level of adherence. Duong M., 2001 [32] - N.S. N.S. No SES components were significantly associated with adherence. Ickovics J.R, 2002 [4] N.S. N.S. N.S. No SES components were significantly associated with adherence. Singh N., 1996 [22] N.S. N.S. N.S. No SES components were significantly associated with adherence. Page 8 of 12 (page number not for citation purposes) http://www.retrovirology.com/content/5/1/13 Occu- pation was only assessed in terms of employment status, as no data were given on status of occupation or working position of the patients. Additionally, we could not ana- lyze the possible association between other SES proxy var- iables, such as the neighborhood, and adherence to treatment because the included studies did not report rel- evant data. Third, patients supposed to have lower SES, as perceived by the treating physician, are generally more likely to receive less complex antiretroviral regimens, and more information on how to maintain a satisfying adher- ence level. We cannot exclude that such an inequity could have occurred in the reviewed studies, as most studies were not set in a randomized controlled trial (RCT) envi- ronment, and include random HIV patients, therefore impeding our effort to find an association between levels of SES, and adherence to antiretroviral treatment. The existence of a possible association between level of education and adherence to treatment in HIV/AIDS patients was examined in 13 of the reviewed studies. Among the 13 studies that considered education as a probable factor affecting adherence to antiretroviral treat- ment, only 4 original studies [14,16,24,29] proved a sta- tistically significant positive association. Education, providing the basis of a stable future for each person, as well as altering the criteria used during the decision-mak- ing process and the knowledge to access health resources and information on disease and treatment, is a powerful implement and could possibly be influenced by policies targeted to enhance adherence among HIV patients [5,6,16,29,33,34]. In 1 of the 4 studies, health literacy among those highly educated was also associated with higher level of adherence [29]. Health literacy is related to educational level, but is influenced by other determinants as well, such as health care providers' supportive manner and instructional skills [33], should therefore be consid- ered a sector in which external intervention – and further training – is applicable [29,33,35]. Of note, in 1 of the 13 studies that examined the level of education, a statistically significant reverse association between this variable and adherence was found, although this interesting finding was not elaborated further by the authors of the reviewed study [30]. Employment status was either not assessed or not found to be an independent factor associated with adherence, in the majority of the studies that we reviewed. http://www.retrovirology.com/content/5/1/13 of behavioral characteristics and hierarchy at the decision- making process, thus affecting their adherence to antiret- roviral treatment [25]. Furthermore, perceived economic support by a significant other was found to have a direct association with levels of adherence to antiretroviral treat- ment, in another of the reviewed studies [21]. Such find- ings agree to the general idea linking stratification of income to disparities in health status and the will to adhere, placing the lower income patients on a depriva- tion scope, while allowing for higher income patients to adjust according to relative social status, possibly being influenced by other SES factors such as education and occupational status [13]. rity, physical exhaustion, and lack of control over one's working schedule (as was the case in the reviewed study) [13,15], all of which could lead to a diminished intent and/or capability to follow antiretroviral treatment according to proper dosage and timetable [15]. We feel that further research should be carried out in order to esti- mate the possible effects of employment and occupa- tional status on HIV patients' tendency to adhere to antiretroviral treatment. Our systematic review has several limitations. First, it was not possible to make a synthesis of the data using the prin- ciples of meta-analysis due to the fact that there was con- siderable heterogeneity among the reviewed studies. Adherence was measured by different methods in each of the studies and the cutoff percentage of adherence to treat- ment between 'adherent' and 'non-adherent' varied among the studies, depending on the authors' estimate. Furthermore, while most of the studies included patients generally following the model of life prevailing in the industrialized countries, some of the studies focused on populations having special economic, cultural, and social structures. Moreover, the studied patients received differ- ent antiretroviral regimens, ranging from monotherapy to HAART; the complexity of the treatment schedule affects the level of a patient's adherence. Second, SES was not focused upon as a homogenous group of specific factors in any of the reviewed studies, but was rather dispersed among its components, which were regarded as socio- demographic information. Therefore, we were forced to collect partial data regarding the association of such SES components, and adherence to antiretroviral treatment, where – and if – such an association was assessed. Page 6 of 12 (page number not for citation purposes) *S.S. = Statistically significant association found between SES component and adherence to treatment, N S N i ifi t i ti f d b t SES t d dh t t t t *S.S. = Statistically significant association found between SES component and adherence to treatment, N.S. = No significant association found between SES component and adherence to treatment, (-) = Association between SES component and adherence to treatment not examined adherence to antiretroviral treatment. It should be empha- sized that a statistically significant association between income and education, two main determinants of SES, and adherence was found in only half and less than a third of the studies that examined income and education, respectively. associated with adherence, 4 concluded that the cost of antiretroviral treatment and/or poor living conditions were factors preventing patients from complying with treatment. If this financial obstacle was overcome, adher- ence was expected to reach considerably higher levels [23,28,30,31]. In the remaining 3 studies, among patients having the economic ability to receive their medication, there was an association between the annual income and adherence [14,21,25]. It is presumed by the authors of one of the studies that patients with a higher level of income differ to those of lower/middle income, in terms The existence of a possible association between income and adherence to treatment in HIV/AIDS patients was examined in 14 of the reviewed studies. Among the 7 studies in which income was found to be significantly Page 8 of 12 (page number not for citation purposes) Page 8 of 12 (page number not for citation purposes) http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 an important role as well. Acceptance, open communica- tion, cooperation and trust in physicians were reported to be strong predictors of enhanced adherence [1,2,5,6,21]. an important role as well. Acceptance, open communica- tion, cooperation and trust in physicians were reported to be strong predictors of enhanced adherence [1,2,5,6,21]. ence does not concern only the patient, but the physician and the public health system too, it becomes evident that relevant factors cannot act independently, but instead they all interrelate [1,6]. Lower level of adherence to antiretroviral treatment leads to recurrence of the symp- toms, drug resistance, and increases the patient's viral load, thus affecting the patient-physician relationship in a negative manner and creating possible hazards for the community, in terms of transmission, viral resistance, social stigma, and financial and/or management prob- lems within the public health system [1-4]. Predicting patients that are expected to have lower adherence, in an objective manner, could establish an individual approach to secure each patient's optimal response to antiretroviral treatment, according to each patient's specific characteris- tics [5,31]. In several studies it has been shown that SES is signifi- cantly associated with adherence to treatment in patients with chronic diseases [10-12]. Despite the fact that HIV infection is included among chronic diseases, it differs from all others. This is probably due to the fact that this infection is socially stigmatized, in grounds of transmis- sion. It is not only a physical disease, but a psychological, mental, and social, too. In addition, this infection is con- nected with social discrimination, guilt, and prejudice [5,28,30]. HIV infection is a life-changing event, affecting the psychological status of the patient and results in his/ her having to adjust again, in new conditions of life. It seems that during this process, cognitive and psychologi- cal factors are more important than SES for adherence to therapy. On the other hand, it has been noted before that physi- cians' choice regarding the medication they prescribe to their HIV patients is often influenced by their own esti- mates of expected level of patients' adherence to treat- ment, based on social stereotypes [5]. In this way, HIV patients with a low SES are less likely to be prescribed tri- ple therapy [34,37]. http://www.retrovirology.com/content/5/1/13 However, the available evidence sug- gests that such estimates on expected patient adherence may have a limited accuracy and therefore should be treated with caution as they can result in harmful clinical consequences [30,36]. Also, the time the physicians devote to their patients and the methods they use in order to educate them about the HIV infection/disease, and con- vince them about the importance of adhering to treat- ment, depends on their judgments about the sociodemographic characteristics of the patients [5,36]. It is obvious that such an inequity in attention and instruc- tions given by the physician, perhaps unavoidable in every day practice where patients gather in great numbers and time remains limited, results in uneven levels of co- operation and adherence between different patients. In order for HIV patients to achieve higher levels of adher- ence to treatment, interventions regarding the patient, the clinician and the treatment have to be made [5,6]. Specif- ically, helping patients to understand more about the HIV infection, as well as the antiretroviral treatment [5,6,16,29,33-35], coping with co-existing behavioral or psychiatric diseases [1,3,5,6], and adjust medication schedules to the patients daily program or using memory helpers such as special pillboxes, reminders etc. [5,6,14,15] are all important strategies. Additionally, the physician being consistent, vigilant, available, and explanatory can motivate the patient to adhere more to the antiretroviral treatment [1,38]. Warning the patients about potential side effects and coping with them timely, checking the list of medications at each visit, giving writ- ten information or showing pictures so as to provide instructions, are alternative and effective ways to ensure patients co-operation and participation in the therapeutic process [5,6,34]. As for the health system, it has to be noted that having a medical insurance and easy access to primary care, receiving treatment by the same medical providers each time, receiving counseling by specialists, and not having to pay for the antiretroviral regimens, are factors that enhance adherence level [2,4,5,9,21,30]. Improving a patient's financial and educational back- ground is sometimes an impossible mission, however the aforementioned policies on educating and supporting the HIV patient can result in better adherence levels and should be investigated further, in terms of effectiveness. Unlike SES, there were other factors, which were found to influence greatly and consistently HIV patients' adherence in the reviewed studies. http://www.retrovirology.com/content/5/1/13 Specifically, employment was found to have a significant impact on adherence in only 1 of 8 studies that examined this factor. The authors of that study postulated that having a busy workload might be an impediment to the patients' ability to adhere to antiretroviral treatment [15], therefore sug- gesting an adverse association between adherence to antiretroviral treatment and a demanding working sched- ule. Unemployment and lower occupational status have, however, been linked to lower levels of health status and increased mortality [13] and could be blamed for lower levels of adherence in terms of stress caused by job insecu- Adherence is a complex, dynamic process that influences the outcome of HIV treatment and the patient's health sta- tus [6,36]. It may change over time, as the health status or the patients' beliefs and attitude regarding the disease, the physician, and the treatment may alter, as well. As adher- Page 9 of 12 (page number not for citation purposes) Page 9 of 12 (page number not for citation purposes) http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 References Di Matteo MR: Variations in patients' adherence to medical recommendations: a quantitative review of 50 years of research. Med Care 2004, 42(3):200-9. y J ( ) 30. Weiser S, Wolfe W, Bangsberg D, Thior I, Gillbert P, Makhema J, Kebaabetswe P, Dickenson D, Mompati K, Essex M, Marlink R: Bar- riers to antiretroviral adherence for patients living with HIV infection and AIDS in Botswana. J Acquir Immune Defic Syndr 34(3):281-8. 2003 Nov 1; ( ) 8. Ammassari A, Trotta MP, Murri R, Castelli F, Narciso P, Noto P, Vec- chiet J, D'Arminio Monforte A, Wu AW, Antinori A, AdICoNA Study Group: Correlates and predictors of adherence to highly active antiretroviral therapy: overview of published litera- ture. J Acquir Immune Defic Syndr 31(Suppl 3):S123-7. 2002 Dec 15; ( ) 31. Gebo KA, Keruly J, Moore RD: Association of social stress, illicit drug use, and health beliefs with nonadherence to antiretro- viral therapy. J Gen Intern Med 2003, 18(2):104-11. J q f y ( pp ) 9. Consortium of Social Science Associations [http:// www.cossa.org] g] 10. Sonia M, Ikram D, Radhouane F, Ali BK: Treatment compliance in asthma: a Tunisian transversal study. Tunis Med 2005, 83(8):448-52. French. py J ( ) 32. Duong M, Piroth L, Grappin M, Forte F, Peytavin G, Buisson M, Cha- vanet P, Portier H: Evaluation of the Patient Medication Adher- ence Questionnaire as a tool for self-reported adherence assessment in HIV-infected patients on antiretroviral regi- mens. HIV Clin Trials 2001, 2(2):128-35. ( ) 11. Nagy VT, Wolfe GR: Cognitive predictors of compliance in chronic disease patients. Med Care 1984, 22(10):912-21. p ( ) 12. Hsi YY, Chen CY, Lee MB: Life quality of post-myocardial infarc- tion patients: influence of personal variables on coping. J For- mos Med Assoc 1990, 89(2):149-55. Chinese. 33. Van Servellen G, Brown JS, Lombardi E, Herrera G: Health literacy in low-income Latino men and women receiving antiretrovi- ral therapy in community-based treatment centers. AIDS Patient Care STDS 2003, 17(6):283-98. ( ) 13. Adler NE, Newman K: Socioeconomic disparities in health: pathways and policies. Health Aff (Millwood) 2002, 21(2):60-76. 34. Kalichman SC, Rompa D: Functional health literacy is associ- ated with health status and health related knowledge in peo- ple living with HIV/AIDS. J Acquir Immune Defic Syndr 25(4):337-44. 2000 Dec 1; p y p ( ) ( ) 14. References 1. Ickovics JR, Meade CS: Adherence to antiretroviral therapy among patients with HIV: a critical link between behavioral and biomedical sciences. J Acquir Immune Defic Syndr 31(Suppl 3):S98-102. 2002 Dec 15; 24. Kleeberger CA, Buechner J, Palella F, Detels R, Riddler S, Godfrey R, Jacobson LP: Changes in adherence to highly active antiretro- viral therapy medications in the Multicenter AIDS Cohort Study. AIDS 18(4):683-8. 2004 Mar 5; ) 2. AIDSinfo – HIV Treatment Guidelines [http://aidsinfo.nih.gov/ guidelines] ) 2. AIDSinfo – HIV Treatment Guidelines [http://aidsinfo.nih.gov/ guidelines] 25. Kleeberger CA, Phair JP, Strathdee SA, Detels R, Kingsley L, Jacobson LP: Determinants of heterogeneous adherence to HIV- antiretroviral therapies in the Multicenter AIDS Cohort Study. J Acquir Immune Defic Syndr 26(1):82-92. 2001 Jan 1; g ] 3. Singh N, Berman SM, Swindells S, Justis JC, Mohr JA, Squier C, Wage- ner MM: Adherence of human immunodeficiency virus- infected patients to antiretroviral therapy. Clin Infect Dis 1999, 29(4):824-30. 26. Mohammed H, Kieltyka L, Richardson-Alston G, Magnus M, Fawal H, Vermund SH, Rice J, Kissinger P: Adherence to HAART among HIV-Infected Persons in Rural Louisiana. AIDS Patient Care STDS 2004, 18(5):289-96. ( ) 4. Ickovics JR, Cameron A, Zackin R, Bassert R, Chensey M, Johnson VA, Kuritzkes DR, Adult AIDS Clinical Trials Group 370 Protocol Team: Consequences and determinants of adherence to antiretro- viral medication: results from Adult AIDS Clinical Trials Group protocol 370. Antivir Ther 2002, 7(3):185-93. ( ) 27. Eldred LJ, Wu AW, Chaisson RE, Moore RD: Adherence to antiretroviral and pneumocystis prophylaxis in HIV disease. J Acquir Immune Syndr Hum Retrovirol 18(2):117-25. 1998 Jun 1; p p ( ) 5. Friedland GH, Williams A: Attaining higher goals in HIV treat- ment: the central importance of adherence. AIDS 1999, 13(Suppl 1):S61-72. 28. 28. Peretti-Watel P, Spire B, Schiltz MA, Bouhnik AD, Heard I, Lert F, Obadia Y, The VESPA Group: Vulnerability, unsafe sex and non- adherence to HAART: Evidence from a large sample of French HIV/AIDS outpatients. Soc Sci Med in press. 2005 Nov 11; ( pp ) 6. Ickovics JR, Meade CS: Adherence to HAART among patients with HIV: breakthroughs and barriers. AIDS Care 2002, 14(3):309-18. 29. Kalichman SC, Ramacandran B, Catz S: Adherence to combina- tion antiretroviral therapies in HIV patients of low health lit- eracy. J Gen Intern Med 1999, 14(5):267-73. ( ) 7. http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 17. U.S. Department of Defense Official Website [http:// www.dod.mil] among factors contributing to patients' SES and adher- ence to medical treatment among patients with HIV/ AIDS, however such an association cannot be statistically consolidated throughout most of the studies included in our systematic review. It should be emphasized that it appears that there is a confusion regarding the accurate meaning of the term "SES" and thus it has been assessed in various ways. Future studies may further explain the different impact of SES to adherence to treatment between patients infected with HIV and patients suffering from other chronic diseases. leby.com: Great Books Online [http://www.bartleby.com 18. Bartleby.com: Great Books Online [http://w 18. Bartleby.com: Great Books Online [http://www.bartleby.com] 19 M l d J O k R C ll A C I E M Hi k M 19. Macleod J, Oakes R, Copello A, Crome I, Egger M, Hickman M, Oppenkowski T, Stokes-Lampard H, Davey Smith G: Psychological and social sequelae of cannabis and other illicit drug use by young people: a systematic review of longitudinal, general population studies. Lancet 363(9421):1579-88. 2004 May 15; 20. Ownby RL, Kumar M, Waldrop-Valverde D: Structure of a cogni- tive ability battery among HIV+ intravenous drug users eval- uated in a study of medication adherence. Int J Neurosci 2005, 115(9):1259-71. 21. ( ) 21. Morse VE, Simon PM, Coburn M, Hyslop N, Greenspan D, Balson PM: Determinants of subject compliance within an experimental anti-HIV drug protocol. Soc Sci Med 1991, 32(10):1161-7. 22 Si h N S i C Si k C W M N MH Y VL D 22. Singh N, Squier C, Sivek C, Wagener M, Nguyen MH, Yu VL: Deter- minants of compliance with antiretroviral therapy in patients with human immunodeficiency virus: prospective assessment with implications for enhancing compliance. AIDS Care 1996, 8(3):261-9. Competing interests p g The author(s) declare that they have no competing inter- ests. ( ) 23. Laniece I, Ciss M, Desclaux A, Diop K, Mbodj F, Ndiaye B, Sylla O, Delaporte E, Ndoye I: Adherence to HAART and its principal determinants in a cohort of Senegalese adults. AIDS 2003, 17(Suppl 3):S103-8. http://www.retrovirology.com/content/5/1/13 Specifically, psychosocial factors such as depression [22,24,26,28,31], active drug [14,22,24,26,31] or alcohol use [14,26], and lack of social support and stability were associated with suboptimal level of adherence [2,3,5,8,21]. Furthermore, cognitive factors such as self-efficacy and patients' beliefs and views regarding the disease and the effectiveness of medication (outcome expectancies) were found to be significant determinants of adherence [3,4,14,27,32,38]. Also, adverse events were associated with lower level of adher- ence [4,8,30]. In general, complex schedule of drug ther- apy along with food restrictions were assessed as primary barriers to medication adherence [5,6,8,9,14,21,25,27]. The quality of the patient-physician relationship played Conclusively, the available evidence suggests that SES is not consistently associated with adherence to therapy among patients infected with HIV and it does not seem to be a major determinant of adherence to antiretroviral treatment. Many available studies suggest a positive trend Page 10 of 12 (page number not for citation purposes) Page 10 of 12 (page number not for citation purposes) http://www.retrovirology.com/content/5/1/13 37. Wood E, Montaner JS, Chan K, Tyndall MW, Schechter MT, Bansberg D, O' Shaughnessy MV, Hogg RS: Socioeconomic status, access to triple therapy, and survival from HIV-disease since 1996. AIDS 16(15):2065-72. 2002 Oct 18; ( ) 38. Godin G, Cote J, Naccache H, Lambert LD, Trottier S: Prediction of adherence to antiretroviral therapy: a one-year longitudi- nal study. AIDS Care 2005, 17(4):493-504. References Golin EC, Liu H, Hays RD, Miller LG, Beck CK, Ickovics J, Kaplan AH, Wenger NS: A prospective study of predictors of adherence to combination antiretroviral medication. J Gen Intern Med 2002, 17(10):756-65. 35. 35. Van Servellen G, Caprio F, Lopez M, Garcia-Teague L, Herrera G, Monterrosa F, Gomez R, Lombardi E: Program to enhance health literacy and treatment adherence in low-income HIV- infected Latino men and women. AIDS Patient Care STDS 2003, 17(11):581-94. ( ) 15. Fong OW, Ho CF, Fung LY, Lee FK, Tse WH, Yuen CY, Sin KP, Wong KH: Determinants of adherence to highly active antiretrovi- ral therapy (HAART) in Chinese HIV/AIDS patients. HIV Med 2003, 4(2):133-8. ( ) 16. Goldman DP, Smith JP: Can patient self-management help explain the SES health gradient? Proc Natl Acad Sci USA 99(16):10929-34. 2002 Aug 6; ( ) 36. Moatti JP, Souteyrand Y: HIV/AIDS social and behavioral research: past advances and thoughts about the future. Soc Sci Med 2000, 50(11):1519-32. 36. Moatti JP, Souteyrand Y: HIV/AIDS social and behavioral research: past advances and thoughts about the future. Soc Sci Med 2000, 50(11):1519-32. Page 11 of 12 (page number not for citation purposes) Page 11 of 12 (page number not for citation purposes) http://www.retrovirology.com/content/5/1/13 http://www.retrovirology.com/content/5/1/13 http://www.retrovirology.com/content/5/1/13 Retrovirology 2008, 5:13 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 12 of 12 (page number not for citation purposes) Publish with BioMed Central and every scientist can read your work free of charge Page 12 of 12 (page number not for citation purposes)
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Einstein’s Mass-Energy Equivalence and the Relativistic Mass and Momentum derived from the Newton’s Second Law of Motion
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The Einstein’s Mass-Energy Equivalence and the Relativistic Mass and Momentum derived from the Newton’s Second Law of Motion Chinnaraji Annamalai School of Management, Indian Institute of Technology, Kharagpur, India Email: anna@iitkgp.ac.in https://orcid.org/0000-0002-0992-2584 Abstract: In the Einstein’s theory of special relativity, the relativistic mechanics is concerned with the motion of bodies whose velocities approach the speed of light. It is understood the velocity of a moving particle with mass is less than the speed of velocity and velocity of a massless particle like photon is equal to the speed of light. This paper presents the Einstein’s mass-energy equivalence and the equations of relativistic mass, momentum and energy from the Newton’s second law of motion. Keywords: relativistic motion, momentum equation, kinetic energy, rest mass 1. Introduction The equation of Einstein’s mass-energy equivalence [1-4] is 𝐸= 𝑚𝑐2, where E, m, and c denote electromagnetic/light energy, mass, and speed of light respectively. The equations of relativistic mass, energy, and momentum [5-9] and the mass-energy equivalence are derived from the Newton’s second law of motion by differentiation and integration [10]. 𝑑𝐾= 𝑚𝑣𝑑𝑣+ 𝑣2𝑑𝑚, where 𝑑𝐾 is kinetic energy. 2. Relativistic Mass, Momentum and Energy The Einstein mass-energy equivalence denotes relativistic energy. In the theory of special relativity, the relativistic momentum is concerned with the motion of a particle whose velocity approaches the speed of light. The Newton’s second law of motion states that the force (F) acting on a particle is equal to the rate of change of its momentum (p). Let us derive the relativistic mass, momentum, and energy as follows. 𝐹= 𝑑𝑝 𝑑𝑡= 𝑑(𝑚𝑣) 𝑑𝑡 = 𝑚𝑑𝑣 𝑑𝑡+ 𝑣𝑑𝑣 𝑑𝑡, where 𝑣 is velocity. The differential equation for work and kinetic energy is derived as follows: The differential equation for work and kinetic energy is derived as follows: 𝑑𝐾= 𝑑𝑊= 𝐹𝑑𝑠 𝑑𝐾= 𝐹𝑑𝑠= (𝑚𝑑𝑣 𝑑𝑡+ 𝑣𝑑𝑣 𝑑𝑡 ) 𝑑𝑠 = 𝐹𝑑𝑠= 𝑚𝑑𝑠 𝑑𝑡𝑑𝑣+ 𝑣𝑑𝑠 𝑑𝑡𝑑𝑣, where 𝑑𝑠 𝑑𝑡= 𝑣 𝑑𝐾= 𝐹𝑑𝑠= 𝑚𝑑𝑠 𝑑𝑡𝑑𝑣+ 𝑣𝑑𝑠 𝑑𝑡𝑑𝑣, where 𝑑𝑠 𝑑𝑡= 𝑣 Note that the term 𝑐2𝑑𝑚 allows the hypothesis of variable mass as it actually occurs at high speed. Also, 𝑐2𝑑𝑚 is equal to the kinetic energy [7]. Note that the term 𝑐2𝑑𝑚 allows the hypothesis of variable mass as it actually occurs at high speed. Also, 𝑐2𝑑𝑚 is equal to the kinetic energy [7]. 𝑑𝐾= 𝑚𝑣𝑑𝑣+ 𝑣2𝑑𝑚, where 𝑑𝐾 is kinetic energy. 2. Relativistic Mass, Momentum and Energy Page | 1 𝑐2𝑑𝑚= 𝑚𝑣𝑑𝑣+ 𝑣2𝑑𝑚 𝑑𝑚 𝑚= 𝑣 𝑐2 −𝑣2 𝑑𝑣 ∫ 𝑑𝑚 𝑚 𝑚 𝑚0 = ∫ 𝑣 𝑐2 −𝑣2 𝑑𝑣 𝑣 0 [ln(𝑚)]𝑚0 𝑚= −1 2 [ln(𝑐2 −𝑣2)]0 𝑣 ln 𝑚−ln 𝑚0 = −1 2 ln(𝑐2 −𝑣2) + 1 2 ln 𝑐2 ln 𝑚 𝑚0 = 1 2 ln 𝑐2 𝑐2 −𝑣2 𝑚 𝑚0 = √ 𝑐2 𝑐2 −𝑣2 = 1 √1 −𝑣2 𝑐2 Relativistic mass (𝑚) = 𝑚0 √1 −𝑣2 𝑐2 Wh Where, Where,  the rest mass of the body is 𝑚0  the velocity of the body in motion is 𝑣  the speed of the light is 𝑐 Relativistic momentum (𝑝) = 𝑚0𝑣 √1 −𝑣2 𝑐2 Relativistic Energy (𝐸) = 𝑚0𝑐2 √1 −𝑣2 𝑐2 The relation between relativistic energy and momentum show below: The relation between relativistic energy and momentum show below: 𝐸2 = 𝑚0 2𝑐4 1 −𝑣2 𝑐2 ⟹𝐸2 = 𝑚0 2𝑐2(𝑣2 −𝑣2 + 𝑐2) 1 −𝑣2 𝑐2 ⟹𝐸2 = 𝑚0 2𝑐2𝑣2 −𝑚0 2𝑐2𝑣2 + 𝑚0 2𝑐4 1 −𝑣2 𝑐2 𝑇ℎ𝑒𝑛, 𝐸2 = ( 𝑚0𝑣 √1 −𝑣2 𝑐2) 2 𝑐2 + 𝑚0 2𝑐2(𝑐2 −𝑣2) 𝑐2 −𝑣2 𝑐2 From the above expression, we obtain the energy-momentum relation From the above expression, we obtain the energy-momentum relation Page | 2 𝐸2 = 𝑝2𝑐2 + 𝑚0 2𝑐4. 𝐸2 = 𝑝2𝑐2 + 𝑚0 2𝑐4. 𝐸2 = 𝑝2𝑐2 + 𝑚0 2𝑐4. If particle is at rest, then 𝑝= 0. Thus, the rest energy is that 𝐸= 𝑚0𝑐2. If particle is at rest, then 𝑝= 0. Thus, the rest energy is that 𝐸= 𝑚0𝑐2. Now, it is understood that the relativistic mass, momentum, and energy are derived from the Newton’s second law of motion. Now, it is understood that the relativistic mass, momentum, and energy are derived from the Newton’s second law of motion. 3. Mass-Energy Equivalence Mass-Energy Equivalence Relativistic mass (𝑚) = 𝑚0 √1 −𝑣2 𝑐2 𝑚2 = 𝑚0 2 ⟹𝑚2(𝑐2 −𝑣2) = 𝑚0 2𝑐2 where rest mass energy ce Relativistic mass (𝑚) = 𝑚0 √1 −𝑣2 𝑐2 𝑚2 = 𝑚0 2 1 −𝑣2 𝑐2 ⟹𝑚2(𝑐2 −𝑣2) = 𝑚0 2𝑐2, where rest mass energy = 𝑚0 2𝑐2 𝑚2 = 𝑚0 2 1 −𝑣2 𝑐2 ⟹𝑚2(𝑐2 −𝑣2) = 𝑚0 2𝑐2, where rest mass energy = 𝑚0 2𝑐2 𝑚2𝑐2 −𝑚2𝑣2 = 𝑚0 2𝑐2 0 By differentiating the equation with respect to time, we get 0 By differentiating the equation with respect to time, we get 0 By differentiating the equation with respect to time, we get 2𝑚𝑐2 𝑑𝑚 𝑑𝑡−2𝑚𝑣𝑑(𝑚𝑣) 𝑑𝑡 = 0 ⟹ 𝑐2 𝑑𝑚 𝑑𝑡= 𝑣𝑑(𝑚𝑣) 𝑑𝑡 𝑑𝐸 𝑑𝑡= 𝐹𝑣= 𝑣𝑑(𝑚𝑣) 𝑑𝑡 = 𝑐2 𝑑𝑚 𝑑𝑡 𝑑𝐸= 𝑐2𝑑𝑚 ∫𝑑𝐾 𝐾 0 = ∫𝑐2𝑑𝑚 𝑚 𝑚0 𝐾= 𝑐2(𝑚−𝑚0), where 𝐾 is kinetic energy. 𝐾= 𝑐2(𝑚−𝑚0), where 𝐾 is kinetic energy. Total Energy (𝐸) = Kinetic Energy (𝐾) + Rest Mass-Energy (𝑚0𝑐2) 𝐸= 𝑐2(𝑚−𝑚0) + 𝑚0𝑐2 𝐸= 𝑐2𝑚−𝑐2𝑚0 + 𝑚0𝑐2 𝐸= 𝑐2𝑚 Therefore, 𝐸= 𝑚𝑐2. 𝐸= 𝑐2𝑚 Hence, the equation of Einstein’s mass-energy equivalence is derived from Newton’s Second Law of Motion. Hence, the equation of Einstein’s mass-energy equivalence is derived from Newton’s Second Law of Motion. Law of Motion. References [1] Annamalai, C. (2023) Einstein’s Mass-Energy Equivalence and Relativistic Mass derived from Newton’s Second Law of Motion. CoE, Cambridge University Press. https://dx.doi.org/10.33774/coe-2023-k8m2z. [2] Annamalai, C. (2023) Relation between Kinetic Energy and Relativistic Mass-Energy. engrXiv. https://doi.org/10.31224/3023. [3] Annamalai, C. (2023) E=m𝑐2 : Mass-Energy Equivalence. SSRN Electronic Journal. https://dx.doi.org/10.2139/ssrn.4444819. [4] Annamalai, C. (2023) Speed of Massless Object is equal to the Speed of Light. OSF Preprints. https://dx.doi.org/10.31219/osf.io/864xw. [5] Annamalai, C. (2023) Speed of Matter is less than Speed of Light. OSF Preprints. https://dx.doi.org/10.31219/osf.io/ze437. [6] Annamalai, C. (2023) Work done by Time is equal to Einstein’s Mass-Energy Equivalence. OSF Preprints. https://dx.doi.org/10.31219/osf.io/f5dg9. [7] Annamalai, C. (2023) Mass-Energy Equivalence derived from Work and Kinetic Energy. Zenoto. https://dx.doi.org/10.5281/zenodo.8015743. [8] Annamalai, C. (2023) The Einstein’s Mass-Energy Equivalence and the Relativistic Mass and Momentum derived from the Newton’s Second Law of Motion. CoE, Cambridge University Press. https://dx.doi.org/%2010.33774/coe-2023-ck6jr. [9] Annamalai, C. (2023) A Mathematical Approach to the Momentum Equations of Massless Photon and Particle with Relativistic Mass. engrXiv. https://doi.org/10.31224/3030. [10] Annamalai, C. (2019) Recursive Computations and Differential and Integral Equations for Summability of Binomial Coefficients with Combinatorial Expressions. International Journal of Scientific Research in Mechanical and Materials Engineering, 4(1), 6-10. https://ijsrmme.com/IJSRMME19362. Page | 4 4. Conclusion The mass-energy equivalence along with relativistic mass, momentum, and energy play an important role in the Einstein’s theory of special relativity. Also, the relativistic mechanics is concerned with the motion of bodies whose velocities approach the speed of light. In this article, the equation of Einstein’s mass-energy equivalence and the relativistic mass and momentum equation have been derived from Newton’s Second Law of Motion. Page | 3 Page | 3
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Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immunization
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In brief Ebenig et al. report vaccine-associated enhanced respiratory disease (VAERD) in SARS-CoV-2-infected Syrian hamsters previously immunized with a suboptimal vaccine consisting of misfolded SARS- CoV-2 spike protein and Alum adjuvants. VAERD is correlated with dysregulation of specific immune cell subsets in the lungs and could be alleviated by dexametha- sone treatment. Article Article Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immuniza- tion Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immuniza- tion Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immuniza- tion Graphical abstract Highlights d TH2-biased vaccines can prime immunopathogenesis in Syrian hamsters with COVID-19 d VAERD correlates with TH2 cytokines and non-neutralizing antibodies d T cells, innate lymphoid cells, and lung macrophages are dysregulated in VAERD d VAERD can be treated with dexamethasone Authors Aileen Ebenig, Samada Muraleedharan, Julia Kazmierski, ..., Christine Goffinet, Richard J.P. Brown, Michael D. M€uhlebach Correspondence michael.muehlebach@pei.de In brief Ebenig et al. report vaccine-associated enhanced respiratory disease (VAERD) in SARS-CoV-2-infected Syrian hamsters previously immunized with a suboptimal vaccine consisting of misfolded SARS- CoV-2 spike protein and Alum adjuvants. VAERD is correlated with dysregulation of specific immune cell subsets in the lungs and could be alleviated by dexametha- sone treatment. Ebenig et al., 2022, Cell Reports 40, 111214 August 16, 2022 ª 2022 The Author(s). https://doi.org/10.1016/j.celrep.2022.111214 ll p Aileen Ebenig, Samada Muraleedharan, Julia Kazmierski, ..., Christine Goffinet, Richard J.P. Brown, Michael D. M€uhlebach Correspondence michael.muehlebach@pei.de Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immuniza- tion Highlights d TH2-biased vaccines can prime immunopathogenesis in Syrian hamsters with COVID-19 d VAERD correlates with TH2 cytokines and non-neutralizing antibodies d T cells, innate lymphoid cells, and lung macrophages are dysregulated in VAERD ll ll ll OPEN ACCESS ll OPEN ACCESS SUMMARY Vaccine-associated enhanced respiratory disease (VAERD) is a severe complication for some respiratory in- fections. To investigate the potential for VAERD induction in coronavirus disease 2019 (COVID-19), we eval- uate two vaccine leads utilizing a severe hamster infection model: a T helper type 1 (TH1)-biased measles vac- cine-derived candidate and a TH2-biased alum-adjuvanted, non-stabilized spike protein. The measles virus (MeV)-derived vaccine protects the animals, but the protein lead induces VAERD, which can be alleviated by dexamethasone treatment. Bulk transcriptomic analysis reveals that our protein vaccine prepares enhanced host gene dysregulation in the lung, exclusively up-regulating mRNAs encoding the eosinophil attractant CCL-11, TH2-driving interleukin (IL)-19, or TH2 cytokines IL-4, IL-5, and IL-13. Single-cell RNA sequencing (scRNA-seq) identifies lung macrophages or lymphoid cells as sources, respectively. Our findings imply that VAERD is caused by the concerted action of hyperstimulated macrophages and TH2 cytokine-secreting lymphoid cells and potentially links VAERD to antibody-dependent enhancement (ADE). In summary, we identify the cytokine drivers and cellular contributors that mediate VAERD after TH2-biased vaccination. Article Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immunization of Veterinary Medicine, Paul-Ehrlich-Institut, 63225 Langen, Germany Lead contact 17Virus Tropism and Immunogenicity, Div. of Veterinary Medicine, Paul-Ehrlich-Institut, 63225 Langen, Germany 18Lead contact and Immunogenicity, Div. of Veterinary Medicine, Paul-Ehrlich-Institut, 63225 Langen, Germany 17Virus Tropism and Immunogenicity, Div. of Veterinary Medicine, Paul-Ehrlich-Institut, 63225 Langen, Germany 18L d *Correspondence: michael.muehlebach@pei.de https://doi.org/10.1016/j.celrep.2022.111214 *Correspondence: michael.muehlebach@pei.de https://doi.org/10.1016/j.celrep.2022.111214 Article Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immunization Veterinary Medicines, Paul-Ehrlich-Institut, 63225 Langen, Germany 10Institute for Virology, Phillipps-University, 35043 Marburg, Germany 11Department of Experimental Animal Facilities and Biorisk Management, Friedrich-Loeffler-Institut, Federal R Health, 17493 Greifswald-Insel Riems, Germany mental Animal Facilities and Biorisk Management, Friedrich-Loeffler-Institut, Federal Research Institute for Anim d-Insel Riems, Germany or Microbiology, Bundeswehr, 80937 M€unchen, Germany 12Institute for Microbiology, Bundeswehr, 80937 M€unchen, Germany 13B li I i f M di l S Bi l (BIMSB) M D lb € k C f M l l M di i i h H l h l A i i (M Berlin Institute for Medical Systems Biology (BIMSB), Max Delbr€uck Center for Molecular Medicine in the Helm 0115 Berlin, Germany dical Systems Biology (BIMSB), Max Delbr€uck Center for Molecular Medicine in the Helmholtz Association (MDC 14IRI Life Sciences, Institute for Biology, Humboldt-Universita¨ t zu Berlin, 10115 Berlin, Germany 14IRI Life Sciences, Institute for Biology, Humboldt-Universita¨ t zu Berlin, 10115 Berlin, Germany IRI Life Sciences, Institute for Biology, Humboldt Universitat zu Berlin, 10115 Berlin, Germany 15Division of Pulmonary Inflammation, Charite´ - Universita¨ tsmedizin Berlin, Corporate Member of Freie Universita¨ t Berlin and Humboldt-Universita¨ t zu Berlin, 10117 Berlin, Germany Diseases and Respiratory Medicine, Charite´ - Universita¨ tsmedizin Berlin, Corporate Member of Freie Universita¨ t rsita¨ t zu Berlin, 10117 Berlin, Germany i i Di f V i M di i P l Eh li h I i 63225 L G 16Department of Infectious Diseases and Respiratory Medicine, Charite´ - Universita¨ tsmedizin Berlin, Corporat Berlin and Humboldt-Universita¨ t zu Berlin 10117 Berlin Germany t of Infectious Diseases and Respiratory Medicine, Charite´ - Universita¨ tsmedizin Berlin, Corporate Member of Fr umboldt-Universita¨ t zu Berlin, 10117 Berlin, Germany 16Department of Infectious Diseases and Respiratory Medicine, Charite´ - Univers B li d H b ldt U i it ¨ t B li 10117 B li G 16Department of Infectious Diseases and Respiratory Medicine, Char Berlin and Humboldt-Universita¨ t zu Berlin, 10117 Berlin, Germany epa e o ec ous seases a d esp a o y ed c e, C a e U e s a s ed e , Co Berlin and Humboldt-Universita¨ t zu Berlin, 10117 Berlin, Germany Berlin and Humboldt-Universita¨ t zu Berlin, 10117 Berlin, Germany Berlin and Humboldt-Universitat zu Berlin, 10117 Berlin, Germany 17Virus Tropism and Immunogenicity, Div. of Veterinary Medicine, Paul-Ehrlich-Institut, 63225 Langen, Germany 18Lead contact Virus Tropism and Immunogenicity, Div. Cell Reports 40, 111214, August 16, 2022 ª 2022 The Author(s). 1 der the CC BY license (http://creativecommons.org/licenses/by/4.0/). Cell Reports 40, 111214, August 16, 2022 ª 2022 The Author(s). 1 This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). Article Vaccine-associated enhanced respiratory pathology in COVID-19 hamsters after TH2-biased immunization Aileen Ebenig,1 Samada Muraleedharan,1 Julia Kazmierski,2 Daniel Todt,3,4 Arne Auste,1,5 Martina Anzaghe,6 Andre´ Go¨ mer,3,7 Dylan Postmus,2 Patricia Gogesch,6 Marc Niles,6 Roland Plesker,8 Csaba Miskey,9 Michelle Gellhorn Serra,10 Angele Breithaupt,11 Cindy Ho¨ rner,1,5 Carina Kruip,1 Rosina Ehmann,12 Zoltan Ivics,9 Zoe Waibler,6 Stephanie Pfaender,3 Emanuel Wyler,13 Markus Landthaler,13,14 Alexandra Kupke,5,10 Geraldine Nouailles,15,16 Christine Goffinet,2 Richard J.P. Brown,17 and Michael D. M€uhlebach1,5,18,* 1Product Testing of IVMPs, Div. of Veterinary Medicines, Paul-Ehrlich-Institut, 63225 Langen, Germany 2Institute of Virology, Campus Charite´ Mitte, Charite´ - Universita¨ tsmedizin Berlin, Corporate Member of Freie Universita¨ t Berlin and Humboldt-Universita¨ t zu Berlin, 10117 Berlin, Germany y Department for Molecular and Medical Virology, Ruhr-University, 44801 Bochum, Germany p ( ) y 5German Center for Infection Research, Gießen-Marburg-Langen, German 6Div. of Immunology, Paul-Ehrlich-Institut, 63225 Langen, Germany 7Institute of Virology, University of Veterinary Medicine Hannover, 30559 Hannover, Germany 8Animal Facilities, Div. INTRODUCTION These cytokines attract eo- sinophils and positively feedback on the T/NK cell compartment responsible for TH2-marker cytokine secretion. Eosinophil infil- tration and pathology observed in recombinant, non-stabilized SARS-CoV-2 S protein adjuvanted with aluminum hydroxide (Alum+S)-vaccinated animals were dramatically reduced by treatment of infected animals with dexamethasone, while the whole syndrome was absent in animals that received the T helper type 1 (TH1)-biased measles virus (MeV)-derived vaccine candi- date. These data allow us to propose a detailed model of vac- cine-induced immunopathogenesis, involving immune cells of the lymphoid and myeloid compartment that release pro-inflam- matory cytokines, in a gold-standard animal model of COVID-19. Our data also potentially link VAERD mechanistically to ADE, which will be the focus of follow-up studies. One possible risk associated with immunization in the context of respiratory infections is an immunopathology termed vaccine- associated enhanced respiratory disease (VAERD) (Munoz et al., 2021). Such enhancement of disease has been well described in the context of formalin-inactivated respiratory syncytial virus (RSV) vaccines for infants and young children (Kim et al., 1969). Vaccinated children who were later exposed to circulating RSV developed an enhanced and atypical phenotype of clinical symptoms that resulted in higher hospitalization rates and even a small number of associated fatalities (Kim et al., 1969). Lung sections of the fatal cases displayed monocytic infiltration with massive excess of eosinophils (Kim et al., 1969). Induction of low-affinity and non-neutralizing antibody (Ab) responses pro- voked by the formalin-inactivated virus was found to be causa- tive for enhanced disease (Polack et al., 2002). Such a pathologic eosinophil infiltration triggered by TH2-biased T cell responses has also been demonstrated in animal models after immuniza- tion with formalin-inactivated virus prior to RSV infection (Ruck- wardt et al., 2019). Immunopathologies such as VAERD or Ab-dependent enhancement (ADE) of disease were also reported in CoV-in- fected vaccinated animals or animal models for highly patho- genic human CoV. Cats immunized with a recombinant S protein-expressing vaccinia virus developed more severe dis- ease and early death syndrome following infection with feline in- fectious peritonitis virus, which was linked to a low amount of vaccine-induced neutralizing Abs in the affected animals (Ven- nema et al., 1990). Passive transfer of Abs directed against the virus before infection was sufficient for pathology, which was correlated to accelerated virus uptake by macrophages via Fc receptor (Olsen et al., 1992; Takano et al., 2008). INTRODUCTION an overall case fatality rate of 1.21% (WHO, 2021). To combat this pandemic, the first vaccine candidates were developed, tested in animal models, and approved for human use within the first year after pathogen identification. To date, more than 10 billion vaccine doses have been administered of all authorized vaccines based on different vaccine technologies, namely Severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) is the etiological agent of the current coronavirus disease 2019 (COVID-19) pandemic (Wu et al., 2020; Zhu et al., 2020), resulting in more than 513 million confirmed cases (as of May 5, 2022) with A ti l Article ll OPEN ACCESS mRNA vaccines, adenoviral vector vaccines, inactivated viruses, or proteins. Potential safety risks including the induction of a more severe or altered clinical pathology after breakthrough infection in vaccinated patients were considered, but not yet described, during their development. considerable pneumonia with infiltration of eosinophils and neu- trophils, a clear sign of VAERD (DiPiazza et al., 2021; Iwata- Yoshikawa et al., 2022). Again, the pathology was linked to in- duction of cytokines typical for TH2-biased immune responses, but no detailed mechanism for the pathogenesis was described. but no detailed mechanism for the pathogenesis was described. We have previously shown in the Syrian hamster (Mesocrice- tus auratus) COVID-19 model that alum-adjuvanted spike protein failed to protect against severe disease after infection, in contrast to a measles vaccine-derived prototypic COVID-19 vaccine (Ho¨ rner et al., 2020). Here, we report reproducible VAERD in outbred hamsters with no inbred helper cell bias. Those hamsters were vaccinated with alum-adjuvanted S pro- tein and later infected with a low-passage human patient isolate. This model allowed us to identify the mechanisms that underlie the observed immunopathology. VAERD became evident in the respective hamsters’ lungs: ISH, immunohistochemistry, stain- ing for eosinophils, and general histopathology revealed exag- geration of pneumonia and eosinophilic infiltration, while virus load was reduced. These effects could be correlated to a broadly enhanced dysregulation of gene expression: up-regulation of the major eosinophil attractant eotaxin-1/CCL-11 combined with in- duction of TH2-marker cytokines interleukin (IL)-4, IL-5, and IL-13 supported by IL-19 was evident. Furthermore, using single-cell RNA sequencing (scRNA-seq), we attributed this dysregulation to specific immune cell subsets, suggesting that ADE via Fc-re- ceptor-mediated skewing of virion uptake drives CCL-11 and IL- 19 secretion by lung macrophages. INTRODUCTION Such processes are considered a marker and relevant for classical ADE as described for dengue virus (DENV) (Beltramello et al., 2010). Also, animal models for the first two highly pathogenic zoonotic beta-CoVs, SARS-CoV and Middle Eastern respiratory syn- drome (MERS)-CoV, revealed potential for VAERD. Entry recep- tor-transgenic K18-ACE2 or hDPP4 mice that were immunized with whole inactivated virus vaccines developed severe immu- nopathology in lung tissue with infiltration of eosinophils after infection (Bolles et al., 2011; Tseng et al., 2012; Agrawal et al., 2016). 2 Cell Reports 40, 111214, August 16, 2022 Histological analysis and pulmonary virus load nized with either TH1- or TH2-biased vaccines. Differentially ex- pressed genes (DEGs) in lungs were determined by comparison with baseline expression levels, derived from uninfected, unvac- cinated control animals. Principal component analysis (PCA) of individual transcriptomes revealed segregation of signals ac- cording to infection and vaccination status, confirming distinct lung transcriptional responses in the different groups (Figure 2A). Significant transcriptional dysregulation was evident in infected lung tissue, with 2,000 genes down-regulated and 1,500 genes up-regulated in vaccine-naı¨ve, SARS-CoV-2-infected hamsters (Figure 2B, left panel). However, prior vaccination with MeVvac2-SARS2-S(H) caused a 40% reduction in numbers of significantly dysregulated genes. In line with this, lung resi- dent viral RNAs were also 20-fold reduced when compared with unvaccinated animals (Figure 2B, left panel). In contrast, challenge with SARS-CoV-2 after vaccination with Alum+S re- sulted in comparable numbers of dysregulated genes to those observed in unvaccinated animals (Figure 2B, left panel), with an increased median fold change in gene expression also apparent (Figure 2B, right panel). Only a 2-fold reduction in lung-resident viral RNAs was observed here (Figure 2B, left panel). Together, these data suggest that prior immunization with a TH1-biased vaccine confers protection from disease, sub- stantially reducing viral loads in hamster lungs, with a concom- itant reduction in the magnitude of lung gene dysregulation. In contrast, the gene dysregulation and viral loads observed using the TH2-biased vaccine more closely resembled patterns seen in unvaccinated animals. However, inspection of the PCA plot re- vealed separate clustering of unvaccinated and Alum+S groups (Figure 2A), indicating unique transcriptional signatures underly- ing Alum+S-associated pathology. Active SARS-CoV-2 infection became evident by in situ hy- bridization (ISH) of SARS-CoV-2 RNA genomes (Figures 1B, third row, and 1C) and immunohistochemistry for SARS-CoV-2 nucle- ocapsid protein N (Figure 1B, fourth row). MeVvac2-SARS2-S(H)- vaccinated animals revealed significantly reduced staining for SARS-CoV-2 in both ISH and immunohistochemistry. These data are consistent with the previously published protective effi- cacy of this TH1-biased vaccine concept. Additionally, Alum+S- vaccinated animals showed somewhat reduced staining for SARS-CoV-2 genomes and N, despite enhanced pathology. While up to 20% of the lung tissue stained positive for SARS- CoV-2 genomes in control animals, a maximum of only 5% did in hamsters vaccinated with MeVvac2-SARS2-S(H), while Alum+S-vaccinated animals showed a split behavior (Figure 1C). Histological analysis and pulmonary virus load To study the efficacy of MeV-derived COVID-19 vaccines, we vaccinated Syrian hamsters with the experimental vaccine candidate MeVvac2-SARS2-S(H) and a classic protein vaccine formulation of recombinant, non-stabilized SARS-CoV-2 S pro- tein adjuvanted with aluminum hydroxide (Alum+S). The recom- binant S revealed distinct changes in secondary structural ele- ments (31.7% a-helices and 35.0% b-sheets versus 19.3% a-helices and 50.8% b-sheets) compared with a stabilized solu- ble S (Figure S1), highlighting deviation (i.e., de-folding) of the vaccine protein from the native pre-fusion structure. Vaccinated animals were challenged in parallel to naive or vector-control hamsters (MVvac2-ATU(P)) using the low-passage SARS-CoV-2 patient isolate BavPat1 (Ho¨ rner et al., 2020) (Figure 1A). During These scenarios prompted careful evaluation of the predispo- sition of COVID-19 infection for disease enhancement. Induction of TH2-biased immunity or non-functional Ab responses by the different front-runner vaccine candidates was avoided (Corbett et al., 2020a, 2020b; Ramasamy et al., 2020; Sahin et al., 2020; Sadoff et al., 2021; van der Lubbe et al., 2021). Accord- ingly, no ERD or ADE has been reported in vaccinated individuals to date. However, two recent publications described evidence for VAERD in per se TH2-biased mouse models using mouse- adapted recombinant SARS-CoV-2 after immunization with alum-adjuvanted, whole-inactivated SARS-CoV-2 or adjuvanted S protein. Following virus challenge, these animals developed 2 Cell Reports 40, 111214, August 16, 2022 Article ll OPEN ACCESS histological analysis of lung necropsies, the expected pathology was observed for the control animals in hematoxylin and eosin (H&E)-stained tissue slices of the lungs (Figure 1B). In both naive and vector control hamsters, epithelia and endothelia in bronchii and vasculature, respectively, showed inflammation and hemor- rhages. Between 20% and 80% (median 40%) of the lung area had become dense due to cellular infiltrates of macrophages and lymphocytes; in general, no or few eosinophils or granulo- cytes were observed. Single foci to moderate karyorrhexis were apparent (Table S1). This pathology was significantly ameliorated in MeVvac2-SARS2-S(H)-vaccinated hamsters, with reduced inflammation (median of 27.5% dense area), very few hemorrhages, only a few eosinophils in perivascular regions, and no to minimal karyorrhexis. In contrast, animals vaccinated with Alum+S displayed a considerably intensified pathogenesis: while bronchial epithelia showed few inflammatory alterations, vascular endothelium revealed explicit inflammation. The area of dense infiltrates exceeded 50% of the slices, with massive infiltration of eosinophils (Figures 1B and 1D). Together, this his- topathology suggests induction of VAERD by the immunization of hamsters with Alum+S. Histological analysis and pulmonary virus load Sirius red staining for eosinophils (Figure 1B, bottom row) vali- dated H&E findings for significantly enhanced infiltration, which became evident to this extent only in this vaccine cohort. Only in 3 out of 6 animals vaccinated with MeVvac2-SARS2-S(H) were some eosinophils found in perivascular regions of inflamed tissue (Figure S2). Between 84 and 155 eosinophils/mm2 were found in lung sections of hamsters immunized with Alum+S, whereas in hamsters inoculated with MeVvac2-SARS2-S(H), or the MeV vector control, eosinophil numbers remained within the same range as uninfected control hamsters (3–24 eosino- phils/mm2) (Figure 1D). g g To investigate this in more detail, we performed Gene Ontology (GO) enrichment analyses to determine the associated biological processes (Figure 2C). In all groups, infection was associated with significant enrichment of genes associated with defense against pathogens and vigorous induction of clas- sical antiviral and inflammatory response genes (Figure 2C, left panel). Of note, the magnitude of these responses was similar in unvaccinated and Alum+S-immunized hamsters and reduced in MeVvac2-SARS2-S(H)-immunized animals. Visualizing signifi- cantly enriched GO categories that were unique to Alum+S- treated animals revealed a profile of dysregulated gene classes that likely contributes to the observed vaccine-associated pa- thology after superinfection (Figure 2C, right panel). We next visualized fold change in expression of differentially induced genes, considering their associated cellular functions (Figure 2D). These analyses led us to further explore normalized expression of a refined subset of genes that exhibited unique in- duction profiles and likely contribute to the vaccine-associated immunopathogenesis (Figure 2E). While the suite of genes involved in eosinophil chemotaxis were similarly upregulated un- der all conditions, uncontrolled induction of the major eosinophil chemotaxin Ccl11 (eotaxin-1) mRNA was unique to the Alum+S cohort (Figure 2E). Furthermore, TH2 cytokine mRNAs Il4, Il5, Il13, and Il19 were potently induced in the majority of Alum+S- vaccinated animals but largely undetectable in the other groups. These analyses pinpoint likely transcriptional mediators underlying VAERD and hyperinflammation after TH2-biased Thus, the COVID-19 hamster model revealed features sugges- tive of VAERD for animals vaccinated using the traditional TH2- biased alum-adjuvanted protein vaccine approach but an absence of such an effect for the TH1-biased measles-based COVID-19 vaccine candidate (Ho¨ rner et al., 2020). hamster lungs (B) Depicted are representative sections of left lobes of vaccinated hamster lungs prepared 4 days post infection (dpi) with low-passage SARS-CoV-2 (n = 6). H&E staining (two top rows) reveals histopathological changes and immune cell infiltration. In situ hybridization (ISH) for SARS-CoV-2 viral RNA (third row) and immunohistochemistry (IHC) staining for SARS-CoV-2 nucleocapsid protein N (fourth row) depict extent of infection, while Sirius red staining (bottom row) reveals infiltration of eosinophils (scale bars: top row, 500 mm; second row, 20 mm; other rows, 40 mm). Yellow arrowheads and yellow circle depict individual eosinophils or a cluster of eosinophils in H&E-stained samples, respectively. (C) Quantification of lung infection by determining the relative area of tissue staining positive by ISH by automated image evaluation of the whole slices. (D) Eosinophil quantification for all animals is depicted. Eosinophil numbers in 10 randomly selected fields of view at 2003 magnification were counted, and means were correlated against the area of view. Each data point reveals the mean number of eosinophils per mm2 in individual animals. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. ****p < 0.0001. (C) Quantification of lung infection by determining the relative area of tissue staining positive by ISH by automated image evaluation of the whole slices. (D) Eosinophil quantification for all animals is depicted. Eosinophil numbers in 10 randomly selected fields of view at 2003 magnification were counted, and means were correlated against the area of view. Each data point reveals the mean number of eosinophils per mm2 in individual animals. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. ****p < 0.0001. y y y (C and D) Single dots represent individual animals, bars median of groups; black circles, MOCK immunized animals; open squares, MeV vector-immunized animals; blue diamonds, MeVvac2-SARS2-S(H)-immunized animals; red triangles, animals vaccinated with Alum+S. ****p < 0.0001. (C and D) Single dots represent individual animals, bars median of groups; black circles, MOCK immunized animals; open squares, MeV vector-immunized animals; blue diamonds, MeVvac2-SARS2-S(H)-immunized animals; red triangles, animals vaccinated with Alum+S. ****p < 0.0001. hamster lungs To identify determinants underlying the observed enhanced pa- thology, we performed RNA-seq profiling of hamster lung tissue. Lung transcriptomes from SARS-CoV-2-infected naive ham- sters were compared with infected animals previously immu- Cell Reports 40, 111214, August 16, 2022 3 Articl ll OPEN ACCESS Article Artic OPEN ACCESS Figure 1. Pulmonary pathology in vaccinated Syrian hamsters upon challenge with SARS-CoV-2 (A) Schematic depiction of experiment. Syrian hamsters were bled and subsequently immunized with indicated vaccines on days 0 and 21 (n = 6/cohort). On day 35, immunized hamsters were bled and intranasally challenged with low-passage SARS-CoV-2 and observed for another 4 days before sacrifice for organ preparation. (B) Depicted are representative sections of left lobes of vaccinated hamster lungs prepared 4 days post infection (dpi) with low-passage SARS-CoV-2 (n = 6). H&E staining (two top rows) reveals histopathological changes and immune cell infiltration. In situ hybridization (ISH) for SARS-CoV-2 viral RNA (third row) and immunohistochemistry (IHC) staining for SARS-CoV-2 nucleocapsid protein N (fourth row) depict extent of infection, while Sirius red staining (bottom row) reveals infiltration of eosinophils (scale bars: top row, 500 mm; second row, 20 mm; other rows, 40 mm). Yellow arrowheads and yellow circle depict individual eosinophils or a cluster of eosinophils in H&E-stained samples, respectively. (C) Quantification of lung infection by determining the relative area of tissue staining positive by ISH by automated image evaluation of the whole slices. (D) Eosinophil quantification for all animals is depicted. Eosinophil numbers in 10 randomly selected fields of view at 2003 magnification were counted, and means were correlated against the area of view. Each data point reveals the mean number of eosinophils per mm2 in individual animals. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. ****p < 0.0001. (C and D) Single dots represent individual animals, bars median of groups; black circles, MOCK immunized animals; open squares, MeV vector-immunized animals; blue diamonds, MeVvac2-SARS2-S(H)-immunized animals; red triangles, animals vaccinated with Alum+S. ****p < 0.0001. Figure 1. Pulmonary pathology in vaccinated Syrian hamsters upon challenge with SARS-CoV-2 (A) Schematic depiction of experiment. Syrian hamsters were bled and subsequently immunized with indicated vaccines on days 0 and 21 (n = 6/cohort). On day 35, immunized hamsters were bled and intranasally challenged with low-passage SARS-CoV-2 and observed for another 4 days before sacrifice for organ preparation. 4 Cell Reports 40, 111214, August 16, 2022 Induction of TH2-biased anti-S immunity by alum-adju- vanted protein (B) Viral RNA copies and host gene dysregulation in hamster lungs after infection and vaccination. Left panel: data plotted on the left y axis represent the number of differentially expressed genes (DEGs) (false discovery rate [FDR] p < 0.05) in the hamster lung under each condition, when compared with uninfected un- vaccinated controls (n = 4). Blue: upregulated; orange: downregulated. Data plotted on the right y axis (gray circles) represents the number of lung-resident SARS- CoV-2 mapped reads per condition (mean ± SEM). Right panel: violin plots depict range of log2 fold change in expression for all significantly dysregulated genes under each condition, when compared with uninfected unvaccinated controls. Horizontal lines, median values. (B) Viral RNA copies and host gene dysregulation in hamster lungs after infection and vaccination. Left panel: data plotted on the left y axis represent the number of differentially expressed genes (DEGs) (false discovery rate [FDR] p < 0.05) in the hamster lung under each condition, when compared with uninfected un- vaccinated controls (n = 4). Blue: upregulated; orange: downregulated. Data plotted on the right y axis (gray circles) represents the number of lung-resident SARS- CoV-2 mapped reads per condition (mean ± SEM). Right panel: violin plots depict range of log2 fold change in expression for all significantly dysregulated genes under each condition, when compared with uninfected unvaccinated controls. Horizontal lines, median values. (C) Gene Ontology (GO) enrichment analysis of SARS-CoV-2-induced DEGs. GO categories are labeled on the y axes. Circle size represents the ratio of significantly dysregulated genes relative to the total gene number in a specific GO term. Circles are shaded relative to activation Z score, with significantly enriched categories highlighted. Left panel: selected GO categories related to immune response. Right panel: significant GO categories exclusive to Alum+S- vaccinated animals. (D) Plot depicting log2 fold change of 28 identified genes (left) exhibiting differential expression patterns between the differen cellular function (right). (E) Dysregulation of selected cytokine genes including eosinophil chemo-attractant Ccl11 and TH2 cytokine mRNAs in lungs o upon SARS-CoV-2 infection. Heatmap represents normalized mRNA expression (reads per kilobase per million bases mapped an X represents no detectable mRNA expression (RPKM = 0). immunized with Alum+S, MeVvac2-SARS2-S(H), or medium (MOCK) without SARS-CoV-2 challenge (Figure 3A). We then analyzed antigen-specific cytokine responses of these animals splenocytes’ in re-call experiments 14 days after the second immunization. demonstrating general functionality. Induction of TH2-biased anti-S immunity by alum-adju- vanted protein vaccination: the specific induction of the Il4/Il5/Il13/Il19 cytokine axis combined with the potent esosinophil chemotaxin Ccl11 potentially results in uncontrolled recruitment of eosinophils to the site of infection and enhanced pathogenesis. vaccination: the specific induction of the Il4/Il5/Il13/Il19 cytokine axis combined with the potent esosinophil chemotaxin Ccl11 potentially results in uncontrolled recruitment of eosinophils to the site of infection and enhanced pathogenesis. To further demonstrate induction of TH2-biased immunity by vaccination as the trigger of VAERD, hamsters were just 4 Cell Reports 40, 111214, August 16, 2022 ll OPEN ACCESS Figure 2. Global host gene dysregulation revealed by global RNA-seq in lungs of infected, differently vaccinated hamsters (A) Principal component analysis (PCA) of hamster lung transcriptomes. Transcriptomes from individual animals (n = 4/cohort) are represented by a single data point. Yellow, unvaccinated and not infected; blue, unvaccinated and infected; red, vaccinated with MeVvac2-SARS2-S(H) and infected; green, vaccinated with alum-adjuvanted protein and infected. (B) Viral RNA copies and host gene dysregulation in hamster lungs after infection and vaccination. Left panel: data plotted on the left y axis represent the number of differentially expressed genes (DEGs) (false discovery rate [FDR] p < 0.05) in the hamster lung under each condition, when compared with uninfected un- vaccinated controls (n = 4). Blue: upregulated; orange: downregulated. Data plotted on the right y axis (gray circles) represents the number of lung-resident SARS- CoV-2 mapped reads per condition (mean ± SEM). Right panel: violin plots depict range of log2 fold change in expression for all significantly dysregulated genes under each condition, when compared with uninfected unvaccinated controls. Horizontal lines, median values. (C) Gene Ontology (GO) enrichment analysis of SARS-CoV-2-induced DEGs. GO categories are labeled on the y axes. Circle size represents the ratio of significantly dysregulated genes relative to the total gene number in a specific GO term. Circles are shaded relative to activation Z score, with significantly host gene dysregulation revealed by global RNA-seq in lungs of infected, differently vaccinated hamsters Figure 2. Global host gene dysregulation revealed by global RNA-seq in lungs of infected, differently vaccina (A) Principal component analysis (PCA) of hamster lung transcriptomes. Transcriptomes from individual animals (n = 4/cohort) are represented by a single data point. Yellow, unvaccinated and not infected; blue, unvaccinated and infected; red, vaccinated with MeVvac2-SARS2-S(H) and infected; green, vaccinated with alum-adjuvanted protein and infected. Induction of TH2-biased anti-S immunity by alum-adju- vanted protein On the other hand, medium- or ovalbumin-stimulated splenocytes showed a background reactivity of 100–250 IFN-g+ spots/106 cells (Figure 3B). Upon antigen-specific stimulation with recombi- nant S protein, only animals vaccinated with MeVvac2- SARS2-S(H) or alum-adjuvanted S revealed specific reac- tivity with approximately 400 spots/106 cells or in the range of the upper limit of detection, respectively, thereby demon- strating successful induction of cellular immune responses against the SARS-CoV-2 S protein. As a control for successful vaccination, interferon gamma (IFN-g) secretion was determined. Splenocytes of all animals reacted with IFN-g secretion after stimulation with the un- specific stimuli Concanavalin A (ConA) or flagellin, which triggered more than 600 spots/106 cells in ELISpot, thus Cell Reports 40, 111214, August 16, 2022 5 Article ll OPEN ACCESS Figure 3. Induction of TH2-biased antigen-specific immune cells in protein-vaccinated Syrian hamsters (A) Syrian hamsters were immunized with MeVvac2-SARS2-S(H) (MeV-S) (intraperitoneally [i.p.]) or Alum+S (subcutaneously [s.c.]) on days 0 and 21 (n = 6 animals cohort). Two weeks after immunization, hamsters were sacrificed, blood was collected, and splenocytes were isolated. (B) IFN-g ELISpot analysis using splenocytes of hamsters vaccinated on days 0 and 21, isolated 14 days after the boost immunization and after stimulation wit recombinant S protein (rS protein) or MeV bulk antigens (MeV bulk). The reactivity of splenocytes was confirmed by Concanavalin A (ConA) (5 mg/mL) or flagelli treatment (20 mg/mL). Recombinant ovalbumin (rOva) or medium served as negative controls. The number of cells per 13106 splenocytes represent the number o cells expressing IFN-g upon re-stimulation. Dots represents individual animals, horizontals bars median per group (n = 6). Samples above the upper limit of detec tion (ULOD) were displayed as such. For statistical analysis of grouped ELISpot data, paired t test was applied. ns, not significant (p > 0.05); *p < 0.05; **p < 0.01 (C) Relative fold change expression of mRNAs encoding IL-4, IL-5, or IL-13 was determined using quantitative RT-PCR and the DDct method. mRNA encodin RPL18 was used as housekeeping gene for normalization. Mean of samples from mock-treated hamsters served as reference. For statistical analysis, ordinar one-way ANOVA was applied with Tukey’s multiple comparisons test. ns, not significant (p > 0.05), *p < 0.05; **p < 0 .01; ***p < 0.001. (D) Absolute mRNA copy numbers were determined by quantitative RT-PCR using a plasmid DNA standard for each gene. Mock-vaccinated hamsters, blac circles; MeVvac2-SARS2-S(H)-vaccinated hamsters, blue diamonds; protein-vaccinated hamsters, red triangles. Induction of TH2-biased anti-S immunity by alum-adju- vanted protein Article OPEN ACCESS Figure 3. Induction of TH2-biased antigen-specific immune cells in protein-vaccinated Syrian hamsters cific immune cells in protein-vaccinated Syrian hamsters Figure 3. Induction of TH2-biased antigen-specific immune cells in protein-vaccinated Syrian hamsters (A) Syrian hamsters were immunized with MeVvac2-SARS2-S(H) (MeV-S) (intraperitoneally [i.p.]) or Alum+S (subcutaneously (A) Syrian hamsters were immunized with MeVvac2-SARS2-S(H) (MeV-S) (intraperitoneally [i.p.]) or Alum+S (subcutaneously [s.c.]) on days 0 and 21 (n = 6 animals/ cohort). Two weeks after immunization, hamsters were sacrificed, blood was collected, and splenocytes were isolated. (B) IFN-g ELISpot analysis using splenocytes of hamsters vaccinated on days 0 and 21, isolated 14 days after the boost immunization and after stimulation with recombinant S protein (rS protein) or MeV bulk antigens (MeV bulk). The reactivity of splenocytes was confirmed by Concanavalin A (ConA) (5 mg/mL) or flagellin treatment (20 mg/mL). Recombinant ovalbumin (rOva) or medium served as negative controls. The number of cells per 13106 splenocytes represent the number of cells expressing IFN-g upon re-stimulation. Dots represents individual animals, horizontals bars median per group (n = 6). Samples above the upper limit of detec- tion (ULOD) were displayed as such. For statistical analysis of grouped ELISpot data, paired t test was applied. ns, not significant (p > 0.05); *p < 0.05; **p < 0.01. (C) Relative fold change expression of mRNAs encoding IL-4, IL-5, or IL-13 was determined using quantitative RT-PCR and the DDct method. mRNA encoding RPL18 was used as housekeeping gene for normalization. Mean of samples from mock-treated hamsters served as reference. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. ns, not significant (p > 0.05), *p < 0.05; **p < 0 .01; ***p < 0.001. (D) Absolute mRNA copy numbers were determined by quantitative RT-PCR using a plasmid DNA standard for each gene. Mock-vaccinated hamsters, black circles; MeVvac2-SARS2-S(H)-vaccinated hamsters, blue diamonds; protein-vaccinated hamsters, red triangles. In the absence of suitable assays to quantify hamster IL-4, IL-5, or IL-13 protein, we determined mRNA copy numbers of these cytokines by quantitative RT-PCR in re-stimulated spleno- cytes and correlated the signals to the hamster housekeeping gene RPL18 mRNA copies. The total RNA from re-stimulated splenocytes was subjected to analysis (Figure 3C). For normali- zation, data are presented relative to the average signal in mock- immunized hamsters’ splenocytes after the respective stimula- tion (Figure 3D). treatment To further dissect the role of individual lung cell populations during VAERD by scRNA-seq analysis and to evaluate treatment options for VAERD, the initial challenge experiment of vacci- nated hamsters was replicated (Figure 4A). Cohorts of 4–6 ham- sters were vaccinated as before with alum-adjuvanted S, MeVvac2-SARS2-S(H), or medium (MOCK). For the cohort receiving Alum+S, the number of animals was doubled to assess the impact of treatment with the clinically used immunosuppres- sant dexamethasone. Furthermore, live-virus titers and viral RNA copy numbers, as determined in lung tissue (Figures 5A and 5B) and BAL cells (Fig- ure 5C), were in agreement with this phenotype. Virus RNA copy numbers in lung tissue were significantly reduced in hamsters vaccinated with MeVvac2-SARS2-CoV (0.36–8.28 E-gene copies/RPL18 copy) compared with naive infected animals (110.8–235.3 E-gene copies/RPL18 copy), consistent with the absence of live virus in the lungs of all animals in the MeV group (Figure 5A). Compared with naive/unvaccinated infected ham- sters, viral burden was lower in hamsters immunized with Alum+S but increased slightly when these hamsters were treated with dexamethasone during the challenge. Comparable virus RNA copy numbers were obtained for the BAL cells studied. To control immunization and to stratify the cohorts, sera of immunized animals were tested for binding Abs by ELISA and neutralizing Abs by titration of VNT (Figure S3). As expected, im- munity against MeV was detected solely after vaccination with MeVvac2-SARS2-S(H). Binding Abs to SARS-CoV-2 S were de- tected in sera from all animals that received either adjuvanted protein or the MeV-derived vaccine (Figure S3B). However, neutralizing activity inhibiting SARS-CoV-2 was evident only in hamsters immunized with recombinant MeVvac2-SARS2-S(H) (VNT of 10–80), but not in the protein-vaccinated animals (Fig- ure S3H). The binding Ab titers targeting SARS-CoV-2 S were used together with the animals’ sex to stratify both Alum+S co- horts for treatment with dexamethasone upon challenge or not. All animals were challenged 14 days after the second vaccina- tion. During the next 4 days, one of both groups that had received Alum+S were treated twice daily with dexamethasone. Thus, viral loads and extent of tissue infection did not correlate with the inflammatory phenotype of pathology, consistent with an immunopathogenesis as the basis for VAERD, which again was not observed for the TH1-biased MeV-COVID-19 model vac- cine candidate. Moreover, the responsiveness of the pathology to dexamethasone treatment indicates a role for immune cells in this process. Induction of TH2-biased anti-S immunity by alum-adju- vanted protein S-specific induction of Il4 (5-fold), Il5 (>15,000-fold), or Il13 (70-fold) mRNA was only detected in 6 Cell Reports 40, 111214, August 16, 2022 Article ll OPEN ACCESS cohort. Lungs were subjected to bronchoalveolar lavage (BAL) and subsequently sampled. splenocytes of animals immunized by alum-adjuvanted S and was significantly higher than in splenocytes of MeV-vaccinated animals or naive animals that did not show relevant up-regulation of these TH2-cytokine genes after re-stimulation. Histopathologic analyses of lung samples after H&E, ISH, immunohistochemistry, and Sirius red staining exactly replicated the VAERD phenotype for Alum+S-vaccinated animals and the absence thereof in MeVvac2-SARS2-S(H)-vaccinated animals (Figure 4C). When Alum+S-immunized animals were treated with dexamethasone, the VAERD phenotype was lost. In these samples, the inflammatory phenotype was absent and lung tis- sue reflected the appearance of MeVvac2-SARS2-S(H)-immu- nized hamsters, while the pathology score decreased signifi- cantly (Figure 4D). Despite this normalization of lung pathology, immunohistochemistry for SARS-CoV-2 N or ISH for SARS- CoV-2 genomes was not markedly different from naive chal- lenged animals and was enhanced when compared with Alum+S-vaccinated, challenged hamsters without dexametha- sone treatment (Figure 4C, last column). These data demonstrate that, in contrast to the MeV-derived vaccine, the alum-adjuvanted S protein induced S-specific TH2-biased immune cells after vaccination, corroborating the hy- pothesis of VAERD induction after SARS-CoV-2 challenge spe- cifically by Alum+S. treatment Upon infection, weight loss was initially observed in all groups (Figures 4B and S4A). Consistent with previous observations, hamsters immunized with MeVvac2-SARS2-S(H) stopped losing weight by day 2 post infection (p.i.) and recovered thereafter, while naive animals revealed progressive weight loss. This was also evident for hamsters immunized with the protein vaccine that showed comparable decay. Remarkably, the protein-vacci- nated, infected animals treated with dexamethasone revealed another phenotype: weight loss stopped on day 2.5, and the an- imals’ weights stabilized over the next 2 days. All animals were sacrificed on day 4 p.i. for subsequent necropsy. Dysregulation of TH2 cytokines in lungs and BAL cells To confirm pulmonary up-regulation of Il4, Il5, Il13, and eotaxin-1 mRNAs in protein-vaccinated animals and to determine if this dysregulation was also observed in BAL cells after infection, total RNA from the respective cells was subjected to quantitative RT- PCR (qRT-PCR). These analyses revealed significant induction of all four cytokine genes in lung cells and revealed the same ten- dency in BAL cells after infection of protein-vaccinated animals. In contrast, vaccination with the TH1-biased MeVvac2-SARS2- S(H) down-regulated expression of these critical genes, while dexamethasone treatment did not alter the cytokine expression pattern (Figure S5). Therefore, induction of TH2 cytokines in pro- tein-vaccinated animals identified by RNA-seq in the first exper- iment was confirmed in this second cohort of hamsters. Analysis of gross pathology replicated the phenotype observed previously (Table S2), with signs of pneumonia and inflamed areas on the lungs of naive animals, while MeVvac2-SARS2-S(H)-immu- nized hamsters showed few lesions on the lungs’ surface (Fig- ure S4B). Moreover, this experiment replicated VAERD as evident already by the overall pathology, with large areas of inflammation on the surface of the S-protein-vaccinated animals’ lungs and a swollen appearance of the entire lung. This effect was prevented in the dexamethasone-treated animals. Their lungs were compa- rable to the lung explants of the MeVvac2-SARS2-S(H)-immunized g by scRNA-seq To delineate the role of individual cell populations, scRNA-Seq data of infected lungs were generated and first analyzed to deter- mine cellular subsets according to individual cellular gene Cell Reports 40, 111214, August 16, 2022 7 Article Figure 4. Protection of vaccinated hamsters and pathology upon SARS-CoV-2 challenge in combination with dexamethasone treatment (A) Schematic depiction of experimental setting. Syrian hamsters were bled and subsequently immunized with indicated vaccines on days 0 and 21 (n = 4 f mock, n = 5 for MeVvac2-SARS2-S(H), n = 6 for both Alum+S-vaccinated cohorts). Ten days after the second immunization, hamsters were bled again. On day 3 immunized hamsters were intranasally challenged with low-passage SARS-CoV-2 and observed for another 4 days before sacrifice for organ preparation. (B and C) Protective efficacy of vaccination was analyzed by (B) quantifying weight loss over time and (C) histopathology of lung sections prepared 4 dpi (sca bars: top row, 1 mm; second row, 20 mm; all other rows, 40 mm). For statistical analysis, two-way ANOVA was applied with Tukey’s multiple comparisons tes ***p < 0.001; ****p < 0.0001. (D) Blinded histopathological analysis of H&E-stained lung samples (C, second row) was performed, and findings were scored. For statistical analysis, ordina one-way ANOVA was applied with Mann-Whitney test. ns, not significant; **p < 0.01. (E) Infected areas positive by ISH against SARS-CoV-2 viral RNA (C, third row) were quantified by determining the relative area of tissue staining positive for vi RNA by automated image evaluation of whole slice. Infection was confirmed by IHC against SARS-CoV-2 nucleocapsid protein (C, fourth row). (F) Infiltration of eosinophils positive by Sirius red staining (C, bottom row) was quantified by determination of the mean number of eosinophils per mm2 for eac animal. Eosinophils of 10 randomly selected fields of view at 2003 magnification were counted, and mean was correlated against the area of view. For statistic analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. *p < 0.05; **p < 0.01. Mock-immunized, black circles; MeVvac2-SARS S(H), blue diamonds; Alum+S without (red triangles) or with (open circles) dexamethasone treatment. ccinated hamsters and pathology upon SARS-CoV-2 challenge in combination with dexamethasone treatment Figure 4. Protection of vaccinated hamsters and pathology upon SARS-CoV-2 challenge in combination wi Figure 4. Protection of vaccinated hamsters and pathology upon SARS-CoV-2 challenge in combination with dexamethasone treatment (A) Schematic depiction of experimental setting. 8 Cell Reports 40, 111214, August 16, 2022 g by scRNA-seq Syrian hamsters were bled and subsequently immunized with indicated vaccines on days 0 and 21 (n = 4 for mock, n = 5 for MeVvac2-SARS2-S(H), n = 6 for both Alum+S-vaccinated cohorts). Ten days after the second immunization, hamsters were bled again. On day 35, immunized hamsters were intranasally challenged with low-passage SARS-CoV-2 and observed for another 4 days before sacrifice for organ preparation. (B and C) Protective efficacy of vaccination was analyzed by (B) quantifying weight loss over time and (C) histopathology of lung sections prepared 4 dpi (scale bars: top row, 1 mm; second row, 20 mm; all other rows, 40 mm). For statistical analysis, two-way ANOVA was applied with Tukey’s multiple comparisons test. ***p < 0.001; ****p < 0.0001. (D) Blinded histopathological analysis of H&E-stained lung samples (C, second row) was performed, and findings were scored. For statistical analysis, ordinary one-way ANOVA was applied with Mann-Whitney test. ns, not significant; **p < 0.01. (E) Infected areas positive by ISH against SARS-CoV-2 viral RNA (C, third row) were quantified by determining the relative area of tissue staining positive for viral RNA by automated image evaluation of whole slice. Infection was confirmed by IHC against SARS-CoV-2 nucleocapsid protein (C, fourth row). (F) Infiltration of eosinophils positive by Sirius red staining (C, bottom row) was quantified by determination of the mean number of eosinophils per mm2 for each animal. Eosinophils of 10 randomly selected fields of view at 2003 magnification were counted, and mean was correlated against the area of view. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. *p < 0.05; **p < 0.01. Mock-immunized, black circles; MeVvac2-SARS2- S(H), blue diamonds; Alum+S without (red triangles) or with (open circles) dexamethasone treatment. mental setting. Syrian hamsters were bled and subsequently immunized with indicated vaccines on days 0 and 21 (n = 4 for H), n = 6 for both Alum+S-vaccinated cohorts). Ten days after the second immunization, hamsters were bled again. On day 35, sally challenged with low-passage SARS-CoV-2 and observed for another 4 days before sacrifice for organ preparation. ccination was analyzed by (B) quantifying weight loss over time and (C) histopathology of lung sections prepared 4 dpi (scale 20 mm; all other rows, 40 mm). For statistical analysis, two-way ANOVA was applied with Tukey’s multiple comparisons test. g by scRNA-seq To further mine the scRNA-seq data, we performed both gene set variation analysis (GSVA) and gene set enrichment analysis (GSEA) using the REACTOME, KEGG, and GO databases on specific cell populations that contribute to the VAERD observed in Alum+S-vaccinated animals (Figures S6 and S7), focusing on alveolar macrophages, lung macrophages, monocytic macro- phages, Treml4+ monocytes, and T/NK cells. For GSVA, normal- ized, by-cell-population gene-expression values were used as input, while DEGs between the unvaccinated and either Alum+S- or MeVvac2-SARS2-S(H)-vaccinated conditions were utilized for GSEA. These analyses highlight pathways and biological pro- cesses, which are induced by SARS-CoV-2 infection and are differentially targeted or regulated across these selected cell types, dependent on prior immune status and vaccination type. These supportive analyses of the hamster lung scRNA- seq data provide insights into how the observed transcriptional differences mediate their downstream effects, exhibiting differ- ential targeting of a broad range of cellular process or canonical pathways in a cell-type-specific manner. expression profiles, as described previously (Nouailles et al., 2021). Accordingly, 25 individual cell clusters were defined, and their transcriptional profiles identified 13 different cell populations including immune cells (Figure 6B). Minor differences between vaccine cohorts became evident in the relative cell frequencies in the infected lungs. In naive animals, and even more so in Alum+S-vaccinated animals, lung macrophages, which revealed traits of an interstitial macrophage phenotype, were overrepre- sented compared with the MeV-vaccinated group. In contrast, alveolar macrophages were observed at higher frequencies in MeV-vaccinated animals’ lungs (Figure 6C). The gene-expression profiles of these distinct cell populations showed specific patterns (Figure 6D). Exclusive up-regulation of Ccl11 expression in the Alum+S group could be assigned to the overrepresented lung macrophages (Figure 6D). Induction of Il4, Il5, and Il13 became evident exclusively in the population of T and natural killer (NK) cells (Figure 6D, three top panels). Zoom- ing in on specific T/NK cell subsets (Figures 6E and 6F), up-regu- lation of Il4 was found in regulatory T cells, while Il5 and Il13 expression was assigned to cells with an innate lymphoid cell phenotype (Figure 6G) and activated T cells (Table S3). In contrast, MeVvac2-SARS2-S(H)-vaccinated animals reflected a similar, but dampened, response when compared with naive in- fected animals, with few genes being differentially regulated. g by scRNA-seq (F) Infiltration of eosinophils positive by Sirius red staining (C, bottom row) was quantified by determination of the mean number of eosinophils per mm2 for each animal. Eosinophils of 10 randomly selected fields of view at 2003 magnification were counted, and mean was correlated against the area of view. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. *p < 0.05; **p < 0.01. Mock-immunized, black circles; MeVvac2-SARS2- S(H), blue diamonds; Alum+S without (red triangles) or with (open circles) dexamethasone treatment. 8 Cell Reports 40, 111214, August 16, 2022 Figure 5. Impact of vaccination or dexamethasone treatment on SARS-CoV-2 titers upon challenge of Syrian hamsters Protection of vaccinated hamsters upon challenge with SARS-CoV-2 was analyzed 4 dpi by (A) titration of live-virus titers in lung tissue or (B and C) determination of relative SARS-CoV-2 E gene copy numbers in (B) lung tissue or (C) bronchoalveolar lavage (BAL) cells by quantitative RT-PCR. RPL18 housekeeping gene copies were used for normalization. Lower LoDs are indicated by dotted lines. Each data point represents an individual animal vaccinated with medium (black circles), MeVvac2-SARS2-S(H) (blue diamonds), or alum-adjuvanted S protein without (red triangles) or with (open circles) dexamethasone treatment. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. ns, not significant (p > 0.05), *p < 0.05; **p < 0.01; ***p < 0.001; ****p < 0.0001. Impact of vaccination or dexamethasone treatment on SARS-CoV-2 titers upon challenge of Syrian hamsters Figure 5. Impact of vaccination or dexamethasone treatment on SARS-CoV-2 titers upon challeng on SARS-CoV-2 titers upon challenge of Syrian hamste g p p g y Protection of vaccinated hamsters upon challenge with SARS-CoV-2 was analyzed 4 dpi by (A) titration of live-virus titers in lung tissue or (B and C) determination of relative SARS-CoV-2 E gene copy numbers in (B) lung tissue or (C) bronchoalveolar lavage (BAL) cells by quantitative RT-PCR. RPL18 housekeeping gene copies were used for normalization. Lower LoDs are indicated by dotted lines. Each data point represents an individual animal vaccinated with medium (black circles), MeVvac2-SARS2-S(H) (blue diamonds), or alum-adjuvanted S protein without (red triangles) or with (open circles) dexamethasone treatment. For statistical analysis, ordinary one-way ANOVA was applied with Tukey’s multiple comparisons test. ns, not significant (p > 0.05), *p < 0.05; **p < 0.01; ***p < 0.001; ****p < 0.0001. g by scRNA-seq On the other hand, monitoring the distribution of SARS-CoV-2 RNA sequences indicating virus infection or uptake revealed a broad distribution of viral RNA in most cell types in naive/unvaccinated, infected animals (Figures 7A and 7B). This distribution was more focused in lung macrophages in Alum+S-vaccinated animals and correlated to some extent with the expression profiles of Fcg receptors IIb and IV, which were found to be specifically up-regulated after infection in both naive and Alum+S-vacci- nated samples (Figure 7C). Taken together, the scRNA-seq data assigned the up-regula- tion of IL-4, IL-5, and IL-13 to specific T cell subpopulations induced by vaccination with Alum+S, while CCL-11 and IL-19 expression was contributed by lung macrophages, which were overrepresented, revealed up-regulation of Fcg receptors, and were the main target population containing an excess of SARS-CoV-2 RNA. These aberrant patterns of dysregulated gene expression were not observed in animals vaccinated with the prototypic TH1-biased MeV-COVID-19 vaccine candidate. DISCUSSION Our observations thereby closely resemble VAERD induced by inactivated RSV (Johnson and Graham, 1999; De Swart et al., 2002; Johnson et al., 2003, 2004; Moghaddam et al., 2006) or MeV in the respec- tive animal models (Polack et al., 2003), which are quite reminis- cent of the situation observed in human VAERD after RSV (Open- shaw, 2001) or measles vaccination (Nader and Warren, 1968) using whole-inactivated virus vaccines. Moreover, induction of protective immune responses, or in the worst-case scenario, im- munopathogenesis, represents a complex interplay of innate im- mune processes that set the stage for humoral and cellular adap- tive immunity. This can also be deduced from our data. While dexamethasone did not inhibit TH2 cytokine expression, here, it clearly reduced pathology in the VAERD setting, in addition to naive infected hamsters (Wyler et al., 2022; Yuan et al., 2022). Thereby, a quite delicate process is revealed, balancing immune activities destructive against pathogen or host tissue, which may be difficult to trigger. p ( q ) While our data support such a model for induction of VAERD by sub-optimal TH2-biased prototypic vaccines targeting SARS-CoV-2, the nature of these findings seems quite striking. VAERD had been clearly observed for both MERS-CoV and SARS-CoV in the respective transgenic mouse models after vaccination with TH2-biased, whole-inactivated virus vaccines (Bolles et al., 2011; Tseng et al., 2012; Iwata-Yoshikawa et al., 2014; Honda-Okubo et al., 2015; Agrawal et al., 2016). Since no human vaccines had been tested against these two pathogens, the transferability of these findings to the occur- rence of VAERD in humans remained unclear. Nevertheless, this potential risk was perceived also for vaccine-induced im- mune responses that target the closely related SARS-CoV-2 and triggered vaccine developers to aim for TH1-biased immu- nity and to assess the potential of immunopathogenesis in the available animal models (Anderson et al., 2020; Corbett et al., 2020a, 2020b; Jackson et al., 2020; Polack et al., 2020; Ram- asamy et al., 2020; Walsh et al., 2020; Sadoff et al., 2021; Ste- phenson et al., 2021; van der Lubbe et al., 2021). Despite all these efforts, only two studies have been published so far that revealed evidence for VAERD potential upon vaccination of TH2-prone BALB/c mice with denatured antigen followed by a challenge with a mouse-adapted recombinant SARS- CoV-2 (DiPiazza et al., 2021; Iwata-Yoshikawa et al., 2022). DISCUSSION Based on these data, we propose the following immune-cell- mediated mechanism for induction of VAERD: vaccination with Cell Reports 40, 111214, August 16, 2022 9 Article ll OPEN ACCESS (legend on next page) 10 Cell Reports 40, 111214, August 16, 2022 (legend on next page) (legend on next page) 10 Cell Reports 40, 111214, August 16, 2022 10 Cell Reports 40, 111214, August 16, 2022 Article ll OPEN ACCESS the risk of enhanced disease upon COVID-19 vaccination. How can this discrepancy be explained? alum-adjuvanted S protein in de-folded conformation induces low levels of non-protective S-specific binding Abs lacking neutralizing activity. In parallel, TH2-biased S-specific T cell re- sponses were induced as evidenced by the significant up-regu- lation of IL-4, IL-5, and IL-13 after recall. After infection, these im- mune responses lowered the virus load to some extent, but the induction of TH2 immunity promoted VAERD via the IL-4/IL-5/ IL-13 chemokine axis secreted by regulatory T cells and innate lymphoid cells. These processes are likely reinforced by IL-19 secreted by hyperstimulated lung macrophages, which, in addi- tion, express further chemo-attractants such as CCL-11, the ma- jor attractant of eosinophils. Indeed, massive infiltration of eosin- ophils completed the picture of VAERD. Macrophage activity correlated with SARS-CoV-2 virus genome enrichment. It is therefore tempting to hypothesize that the enrichment of SARS-CoV-2 RNAs in macrophages is caused by Fcg-recep- tor-mediated uptake of opsonized viruses as previously pro- posed for ADE processes and recently demonstrated for enrich- ment of SARS-CoV-2 in monocytes of the peripheral blood of patients with severe COVID-19 (Junqueira et al., 2022). The sub-optimal immunization regime of vaccinating Syrian hamster subcutaneously with alum-adjuvanted, non-stabilized S protein was expected to give a rather mediocre (N€urnberger et al., 2019), but TH2-biased, immune response (Ko et al., 2017) as a worst-case control in our earlier study describing a MeV-derived COVID-19 vaccine candidate (Ho¨ rner et al., 2020). Indeed, only binding Abs with no neutralizing activity were induced, and no antigen-specific CD8+ T cell killing activity was observed by us (Ho¨ rner et al., 2020) or others (DiPiazza et al., 2021; Iwata-Yoshikawa et al., 2022). DISCUSSION While using an unbiased animal model and non-adapted SARS-CoV-2 and going beyond the mechanistic hypotheses expressed (Iwata-Yoshikawa et al., 2022), our study aligns well with these mouse data in the observed VAERD phenotype with TH2 cytokine secretion and massive eosinophil attraction. However, no other studies so far have identified evidence for Figure 6. Annotation of cell populations in infected hamster lungs and respective gene regulation (A–C) Definition (A), annotation (B), and proportion (C) of specific cell populations found in the lungs of differently vaccinated hamsters 4 dpi with SARS-CoV-2 (n = 4). (D) Differentially regulated genes of interest in these cell populations are displayed in the presented heatmap. (E–G) To further pinpoint dysregulation of T or NK cells, the respective cell subsets were (E) annotated according to maker genes, (F) quantified, and (G) dysregulation of genes was resolved in the respective heatmap as displayed. (A, C, D, F, and G) Black, mock-vaccinated hamsters; red, hamsters vaccinated with Alum+S; blue, hamsters vaccinated with MeVvac2-SARS2-S(H) (MeV-S). Cell Reports 40, 111214, August 16, 2022 11 12 Cell Reports 40, 111214, August 16, 2022 Limitations of the study This would be good news also for putative VAERD being mistakenly diagnosed as a variant of the usual forms of severe COVID-19 in a naive patient. et al., 2020; Horby et al., 2021). This would be good news also for putative VAERD being mistakenly diagnosed as a variant of the usual forms of severe COVID-19 in a naive patient. A further limitation of our study is the restriction of our analyses to a single time point of disease. It would be interesting to analyze further progression of the animals with or without VAERD. However, the applied challenge model is rather harsh. The hamsters lose weight after infection with a highly reproduc- ible kinetics that necessitates sacrifice of 50%–83% of naive an- imals due to humane endpoints 5 to 6 days after infection (Ho¨ rner et al., 2020), and statistically significant differences cannot be expected by realistic animal numbers. Therefore, day 4 after in- fections was chosen as the day of analyses since this is the time point during infection when most dramatic effects can be ex- pected (measurable weight loss starts at day 2 p.i.), but all ani- mals are still available. In conclusion, our data support the idea that ADE-like pro- cesses, as reported by Wan et al. for MERS-CoV, could be rele- vant in the mechanism of VAERD. For MERS-CoV, a monoclonal Ab binding to the RBD of the S is able to cross-link MERS-CoV S and Fc receptors. When tested in a pseudovirus assay, this monoclonal Ab mediated virus entry into CD32A-expressing (i.e., FcgRIIA-positive) cells and macrophages (Wan et al., 2020). Such an uptake mechanism would explain the enrichment of SARS-CoV-2 genomes in macrophage populations corre- lating with the Fc-receptor distribution as observed in our study. Recent clinical data have demonstrated evidence that mono- cytes in the peripheral blood of patients with severe COVID-19 take up opsonized SARS-CoV-2 particles via this route and are impacted by this process (Junqueira et al., 2022). In any case, enrichment of SARS-CoV-2 in and stimulation of this immune cell population result in the secretion of the major eosinophil attractant CCL-11 and IL-19, which can drive regulatory T cells (Tregs) into TH2 polarization. Limitations of the study Together with the IL-4/IL-5/IL-13 chemokine axis of such S-specific TH2-biased CD4 helper cell populations, CCL-11 can be expected to cause infiltration of eo- sinophils in a process mechanistically reminiscent of allergic asthma, resulting in the immunopathogenesis observed in our study. SUPPLEMENTAL INFORMATION Supplemental information can be found online at https://doi.org/10.1016/j. celrep.2022.111214. ACKNOWLEDGMENTS The authors would like to thank Daniela M€uller, Mona Lange, and Silvia Schu- paris for excellent technical assistance, Bevan Sawatsky for support of BSL-3 procedures, Elke Vo¨ lker for assistance with circular dichroism (CD) spectros- copy, the team of the animal husbandry for logistic support with hamster ex- periments, and Christoph Sch€urmann for scientific discussions. The authors are indebted to Klaus Cichutek for intramural funding and support and to Ste- fan Sch€ulke for providing recombinant ovalbumin and flagellin A. The SARS- CoV-2 trimeric spike (cat. no. 101007) was obtained from the National Institute for Biological Standards and Control, UK. Our thanks go to Dr. Barney S. Gra- ham, NIAID, and Chris Ball, NIBSC, for providing this protein. This work was supported by grants from the German Center for Infection Research (DZIF; TTU 01.805 and TTU 01.922_00) and the German Ministry of Health (CHARIS) to M.D.M. and by funding of Berlin Institute of Health (BIH) to C.G. J.K. is supported by the Center of Infection Biology and Immunity (ZIBI) and Charite´ PhD Program. G.N. is supported by the German Federal Ministry of Ed- ucation and Research and by the Agence Nationale de la Recherche (ANR) in the framework of MAPVAP (16GW0247). D.T. is supported by the (BMBF grant 01KI2106). A.G. is supported by the DFG, grant 398066876-GRK 2485/1. Limitations of the study As already pointed out by DiPiazza et al., drawing conclusions from animal models and extending these observations to the immunological situation in humans may be a difficult task (Di- Piazza et al., 2021). However, we were able to replicate VAERD induced by a protein-based COVID-19 vaccine candi- date with a very similar phenotype in a second animal model, Syrian hamsters, using an unmodified low-passage virus isolate. Therefore, our data strongly support the idea of monitoring vaccinated human patients that experience a break-through infection closely. In any case, while our experimental vaccines mimic, but are not the same as, the authorized vaccines, these and previously published data point to few concerns for vaccines developed to trigger TH1-biased responses such as viral vector platform-based vaccines, mRNA vaccines, or other vaccine con- cepts developed for such bias by, e.g., using respective adju- vants. Moreover, even if VAERD as observed in our model should occur in human patients, this immunopathology would be treat- able by dexamethasone, which was confirmed to be an effective medication for severe courses of COVID-19 anyway (Tomazini Figure 6. Annotation of cell populations in infected hamster lungs and respective gene regulation (A–C) Definition (A), annotation (B), and proportion (C) of specific cell populations found in the lungs of differently (n = 4). (D) Differentially regulated genes of interest in these cell populations are displayed in the presented heatmap. (E–G) To further pinpoint dysregulation of T or NK cells, the respective cell subsets were (E) annotated according to maker genes, (F) quantified, and (G) dysregulation of genes was resolved in the respective heatmap as displayed. (A, C, D, F, and G) Black, mock-vaccinated hamsters; red, hamsters vaccinated with Alum+S; blue, hamsters vaccinated with MeVvac2-SARS2-S(H) (MeV-S). Cell Reports 40, 111214, August 16, 2022 11 Article ll OPEN ACCESS Articl (legend on next page) (legend on next page) 12 Cell Reports 40, 111214, August 16, 2022 Article ll OPEN ACCESS B Cells B Viruses B Syrian golden hamster animal model d METHOD DETAILS B CD spectroscopy B Bronchoalveolar lavage (BAL) B Virus neutralization test (VNT) B Total IgG quantification B IFN-g ELISpot analysis B Determination of infectious virus lung titers B RNA preparation B Quantitative reverse-transcription PCR (qRT-PCR) B Total RNA-Seq B Isolation of single cells from lung tissue B Single-cell RNA-Seq B Histopathology d QUANTIFICATION AND STATISTICAL ANALYSIS et al., 2020; Horby et al., 2021). 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BMC Immunol. 11, 31. d KEY RESOURCES TABLE d KEY RESOURCES TABLE d RESOURCE AVAILABILITY B Lead contact B Materials availability B Data and code availability d EXPERIMENTAL MODEL AND SUBJECT DETAILS d RESOURCE AVAILABILITY d RESOURCE AVAILABILIT B Lead contact B Materials availability B Lead contact B Materials availability B Lead contact B Materials availability B Data and code availability d EXPERIMENTAL MODEL AND SUBJECT DETAILS gure 7. Assignment of SARS-CoV-2 reads and FcR expression to cell populations in infected hamster lungs (A and B) Assignment of SARS-CoV-2 genome reads to cell populations defined in Figure 6 (A) and quantification of respective positive cells of the different treatment groups as indicated (B). Single dots represent individual animals. Differential expression of SARS-CoV-2 RNA was analyzed using the Loupe Browser 6.0.0. 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Osterrieder, N., Bertzbach, L.D., Dietert, K., Abdelgawad, A., Vladimirova, D., Kunec, D., Hoffmann, D., Beer, M., Gruber, A.D., and Trimpert, J. (2020). Age- dependent progression of SARS-CoV-2 infection in Syrian hamsters. Viruses 12, 779. van der Lubbe, J.E.M., Rosendahl Huber, S.K., Vijayan, A., Dekking, L., van Huizen, E., Vreugdenhil, J., Choi, Y., Baert, M.R.M., Feddes-de Boer, K., Iz- quierdo Gil, A., et al. (2021). Ad26.COV2.S protects Syrian hamsters against Cell Reports 40, 111214, August 16, 2022 15 Article ll OPEN ACCESS A i l Article STAR+METHODS KEY RESOURCES TABLE REAGENT or RESOURCE SOURCE IDENTIFIER Antibodies KPL HRP-conjugated goat anti-hamster IgG Seracare Cat#5220-0371 mAb against SARS-CoV nucleocapsid protein Bussmann et al. (2006) clone 4F3C4 secondary biotinylated goat anti-mouse Ab Vector Laboratories Cat#BA-9200-1.5 mAb against M protein of Influenza A virus ATCC clone HB-64 Bacterial and virus strains MeVvac2-SARS2-S(H) Ho¨ rner et al. (2020) N/A MVvac2-GFP(P) Malczyk et al. (2015) N/A SARS-CoV-2 isolate MUC-IMB1 Bo¨ hmer et al. (2020) GenBank# MT270101.1 Chemicals, peptides, and recombinant proteins SARS-CoV-2 (2019-nCoV) Spike S1+S2 ECD-His Recombinant Protein Sino Biological Europe Cat#40589-V08B1 SARS-CoV-2 Trimeric Spike (stabilized Spike) NIBSC Cat#101007 Rec. Ovalbumin Sch€ulke et al. (2010) RefSeq# NM205152 Rec. Flagellin A Sch€ulke et al. (2010) RefSeq# X65624 Concanavalin A Sigma-Aldrich Cat#11028-71-0 MeV bulk antigens Virion Serion Cat#BA102VS-S Dispase Corning Cat#354235 DNAse AppliChem Cat#A3778,0100 Collagenase B Roche Cat#11088815001 Actinomycin D Sigma-Aldrich Cat#A9415-5MG Aluminum hydroxid (Allhydrogel adjuvant 2%) InvivoGen Cat#Vac-alu-250 3-Amino-9-ethyl-carbozole Sigma-Aldrich Cat#A5754-10G Dexamethosone Bela-pharm Cat#6933074.00.00 Direktrot 80 Sigma-Aldrich Cat#365548 Entellan Sigma-Aldrich Cat#107060 Papanicolaous solution 1b Hematoxylin S Sigma-Aldrich Cat#1.09254 RBC Lysis buffer Santa Cruz Biotechnology Cat#sc-296258 RNAscope Pretreatment Reagents Bio-Techne Cat#322330 and 322000 RNAscope Negative Control Probe Bio-Techne Cat#310043 TMB substrate Invitrogen Cat#00-4201-56 TRIzol Reagent Ambion, Thermo Fisher Schientific Cat#15596026 Critical commercial assays Article ll OPEN ACCESS ll OPEN ACCESS REAGENT or RESOURCE SOURCE IDENTIFIER Antibodies KPL HRP-conjugated goat anti-hamster IgG Seracare Cat#5220-0371 mAb against SARS-CoV nucleocapsid protein Bussmann et al. (2006) clone 4F3C4 secondary biotinylated goat anti-mouse Ab Vector Laboratories Cat#BA-9200-1.5 mAb against M protein of Influenza A virus ATCC clone HB-64 Bacterial and virus strains MeVvac2-SARS2-S(H) Ho¨ rner et al. (2020) N/A MVvac2-GFP(P) Malczyk et al. (2015) N/A SARS-CoV-2 isolate MUC-IMB1 Bo¨ hmer et al. (2020) GenBank# MT270101.1 Chemicals, peptides, and recombinant proteins SARS-CoV-2 (2019-nCoV) Spike S1+S2 ECD-His Recombinant Protein Sino Biological Europe Cat#40589-V08B1 SARS-CoV-2 Trimeric Spike (stabilized Spike) NIBSC Cat#101007 Rec. Ovalbumin Sch€ulke et al. (2010) RefSeq# NM205152 Rec. Flagellin A Sch€ulke et al. Article Wu, T., Hu, E., Xu, S., Chen, M., Guo, P., Dai, Z., Feng, T., Zhou, L., Tang, W., Zhan, L., et al. (2021). clusterProfiler 4.0: a universal enrichment tool for inter- preting omics data. Innovation 2, 100141. G614 spike variant SARS-CoV-2 and does not enhance respiratory disease. NPJ Vaccines 6, 39. Vennema, H., de Groot, R.J., Harbour, D.A., Dalderup, M., Gruffydd-Jones, T., Horzinek, M.C., and Spaan, W.J. (1990). Early death after feline infectious peri- tonitis virus challenge due to recombinant vaccinia virus immunization. J. Virol. 64, 1407–1409. Wyler, E., Adler, J.M., Eschke, K., Teixeira Alves, G., Peidli, S., Pott, F., Kaz- mierski, J., Michalick, L., Kershaw, O., Bushe, J., et al. (2022). Key benefits of dexamethasone and antibody treatment in COVID-19 hamster models re- vealed by single-cell transcriptomics. Mol. Ther. 30, 1952–1965. Walsh, E.E., Frenck, R., Falsey, A.R., Kitchin, N., Absalon, J., Gurtman, A., Lockhart, S., Neuzil, K., Mulligan, M.J., Bailey, R., et al. (2020). RNA-based COVID-19 vaccine BNT162b2 selected for a pivotal efficacy study. Preprint at medRxiv. https://doi.org/10.1101/2020.08.17.20176651. Yuan, L., Zhou, M., Ma, J., Liu, X., Chen, P., Zhu, H., Tang, Q., Cheng, T., Guan, Y., and Xia, N. (2022). Dexamethasone ameliorates severe pneumonia but slightly enhances viral replication in the lungs of SARS-CoV-2-infected Syrian hamsters. Cell. Mol. Immunol. 19, 290–292. Wan, Y., Shang, J., Sun, S., Tai, W., Chen, J., Geng, Q., He, L., Chen, Y., Wu, J., Shi, Z., et al. (2020). Molecular mechanism for antibody-dependent enhancement of coronavirus entry. J. Virol. 94, e02015-19. Zhu, N., Zhang, D., Wang, W., Li, X., Yang, B., Song, J., Zhao, X., Huang, B., Shi, W., Lu, R., et al. (2020). A novel coronavirus from patients with pneumonia in China, 2019. N. Engl. J. Med. 382, 727–733. WHO. (2021). WHO Coronavirus (COVID-19) Dashboard. https://covid19.who. int/. 07.10.2021. Zivcec, M., Safronetz, D., Haddock, E., Feldmann, H., and Ebihara, H. (2011). Validation of assays to monitor immune responses in the Syrian golden ham- ster (Mesocricetus auratus). J. Immunol. Methods 368, 24–35. Zivcec, M., Safronetz, D., Haddock, E., Feldmann, H., and Ebihara, H. (2011). Validation of assays to monitor immune responses in the Syrian golden ham- ster (Mesocricetus auratus). J. Immunol. Methods 368, 24–35. Wu, J.T., Leung, K., and Leung, G.M. (2020). Nowcasting and forecasting the potential domestic and international spread of the 2019-nCoV outbreak origi- nating in Wuhan, China: a modelling study. Lancet 395, 689–697. Other Other Lysing Matrix M tubes MP biosciences Cat#6923100 J-810 Spectropolarimeter JASCO https://www.jasco.de/en Eli.Scan ELISpot scanner AE.L.VIS http://www.aelvis.de Qubit 4 Fluorimeter Thermo Fisher Cat#Q33238 Precellys24 tissue homogenizer bertin TECHNOLOGIES Cat#P000669-PR240-A 2100 Bioanalyzer Instrument Agilent Part#G2939BA Novaseq 6000 Illumina Cat#20013850 NextSeq 550 Illumina Cat#SY-415-1002 Hamamatsu S60 scanner Hamamatsu Photonics Prod#C13210 Chromium Controller 10x Genomics Prod# 1000204 Lead contact contact Contact for requests concerning ressources is Michael D. M€uhlebach, email: Michael.Muehlebach@pei.de Lead Contact for requests concerning ressources is Michael D. M€uhlebach, email: Michael.Muehlebach@pei.de. Article (2010) RefSeq# X65624 Concanavalin A Sigma-Aldrich Cat#11028-71-0 MeV bulk antigens Virion Serion Cat#BA102VS-S Dispase Corning Cat#354235 DNAse AppliChem Cat#A3778,0100 Collagenase B Roche Cat#11088815001 Actinomycin D Sigma-Aldrich Cat#A9415-5MG Aluminum hydroxid (Allhydrogel adjuvant 2%) InvivoGen Cat#Vac-alu-250 3-Amino-9-ethyl-carbozole Sigma-Aldrich Cat#A5754-10G Dexamethosone Bela-pharm Cat#6933074.00.00 Direktrot 80 Sigma-Aldrich Cat#365548 Entellan Sigma-Aldrich Cat#107060 Papanicolaous solution 1b Hematoxylin S Sigma-Aldrich Cat#1.09254 RBC Lysis buffer Santa Cruz Biotechnology Cat#sc-296258 RNAscope Pretreatment Reagents Bio-Techne Cat#322330 and 322000 RNAscope Negative Control Probe Bio-Techne Cat#310043 TMB substrate Invitrogen Cat#00-4201-56 TRIzol Reagent Ambion, Thermo Fisher Schientific Cat#15596026 Critical commercial assays Chromium Next Gem Chip G Single Cell Kit 10x genomics Cat#1000121 Chromium Next Gem Single cell 3ʹ GEM, Library & Gel Bead Kit v3.1 10x genomics Cat#1000120 Direct-zol RNA MiniPrep kit Zymo research Cat#R2052 Hamster IFN-g ELISpotBASIC kit MABTECH Cat#3102-2H QIAseq FastSelect –rRNA HMR Kit Qiagen Cat#334385 RNAscope 2.5 HD Assay – RED Kit Bio-Techne Cat#322360 Superscript III one step RT-PCR system with Platinum Tag Polymerase Invitrogen Cat#12574-026 Cell Reports 40, 111214, August 16, 2022 e1 Continued REAGENT or RESOURCE SOURCE IDENTIFIER Vectastain Elite ABC Kit Vector Laboratories Cat#PK6100 Deposited data Bulk RNA-seq This Paper GEO: GSE195939 scRNA seq data This Paper GEO: GSE196938 Experimental models: Cell lines Vero (African green monkey kidney) ATCC CCL-81 Vero clone E6 ATCC CRL-1586 Experimental models: Organisms/strains Syrian golden hamster (Mesocricetus auratus); HsdHan:AURA Envigo Art#8903 Oligonucleotides Table S4 Software and algorithms ELI.Analyse V5.0 AE.L.VIS http://www.aelvis.de fastp algorithm Chen et al. (2018) https://github.com/OpenGene/fastp CLC Genomics Workbench 21.0.4 QIAGEN https://digitalinsights.qiagen.com CellRanger v5.0 10x genomics https://support.10xgenomics.com/ single-cell-gene-expression/software R packages Seurat v4.0 Hao et al. (2021) https://satijalab.org/seurat/ DoRothEA v3.12 Holland et al. (2020) https://saezlab.github.io/dorothea/ GSVA R package Ha¨ nzelmann et al. (2013) http://bioconductor.org/packages/release/ bioc/html/GSVA.html clusterProfiler R package Wu et al. (2021) https://bioconductor.org/packages/ release/bioc/html/clusterProfiler.html Prism 9.2.0 GraphPad Software http://www.graphpad.com Original code used in the analysis of the single cell data This Paper https://github.com/Berlin-Hamster-Single- Cell-Consortium/Vaccine-associated- enhanced-respiratory-pathology-in- COVID-19-hamsters-after-TH2-biased- immunization Other Lysing Matrix M tubes MP biosciences Cat#6923100 J-810 Spectropolarimeter JASCO https://www.jasco.de/en Eli.Scan ELISpot scanner AE.L.VIS http://www.aelvis.de Q bit 4 Fl i t Th Fi h C t#Q33238 Article ll OPEN ACCESS Article ll OPEN ACCESS ll OPEN ACCESS Viruses MeVvac2-SARS2-S(H) (Ho¨ rner et al., 2020) and MVvac2-GFP(P) (i.e. MVvac2-ATU(P) (Del Valle et al., 2007) with GFP inserted in the ATU (Malczyk et al., 2015) have been described previously. Subsequent passages were generated after TCID50 titration of infectious virus according to the method of Kaerber and Spaerman (Ka¨ rber, 1931). Stocks were generated by infection of Vero cells at an MOI = 0.03, and viruses in P3 or P4 were used for vaccination experiments. SARS-CoV-2 isolate MUC-IMB1 (Bo¨ hmer et al., 2020) was used in passage 3 on Vero-E6 cells after isolation from the patient as described before (Ho¨ rner et al., 2020). Materials availability Materials availability Materials will be available upon request; (recombinant) viruses or plasmids may require filing of materials transfer agreements (MTAs) and compensation for shipment. Materials will be available upon request; (recombinant) viruses or plasmids may require filing of materials transfer agreements (MTAs) and compensation for shipment. e2 Cell Reports 40, 111214, August 16, 2022 Article ll OPEN ACCESS ll OPEN ACCESS Syrian golden hamster animal model All animal experiments were carried out in compliance with the regulations of German animal protection laws and as autho- rized by the RP Darmstadt and reported according to the ARRIVE guidelines. Six to 12-weeks old Syrian hamsters (Envigo RMS, Venray, Netherlands) were randomized for age- and sex-matched groups. Male and female hamsters were used in a 1:1 ratio to ensure transferability of results to both sexes, cohort sizes (n = 6) were chosen to ensure statistical validation with an error probability of p < 0.05 with a power of 80% conservatively assuming an effect size of 0.8. Animals were vacci- nated intraperitonally (i.p.) in a prime-boost schedule (days 0 and 21) with 53105 TCID50 of recombinant MeV-derived vac- cine virus in 200 mL volume or subcutaneously (s.c.) with 10 mg recombinant SARS-CoV-2 S protein (Cat-No. 40589-V08B1, Sino Biological Europe, Eschborn, Germany) adjuvanted with 500 mg aluminum hydroxide (Allhydrogel adjuvant 2%, vac-alu- 250, InvivoGen, San Diego, CA, USA) in 100 mL volume. Blood was drawn on days 0 and 21 or 31. Splenocytes of vacci- nated animals were isolated 14 days after second immunization or hamsters were challenge by intranasal application of 43103 TCID50 SARS-CoV-2 (isolate MUC-IMB1) in passage 3 in 100 mL volume. Alum+S vaccinated hamsters were divided in two groups: i) a untreated group and ii) a dexamethasone treated one (1 mg/kg body weight twice daily orally or sub- cutaneously). Animals were euthanized 4 days after infection. Specific sections of each lung were prepared for histology (left lobe), analysis of total RNA (right middle lobe), titration of live virus (right apical lobe), and analysis of transcriptomics by scRNA-Seq (caudal lobe), where applicable. Bronchoalveolar lavage (BAL) Lungs from sacrificed hamsters were inflated with 2.5 mL PBS via the trachea. The BAL fluid was collected and cells were harvested by centrifugation (1,200 rpm, 4C, 5 min). The cell-free fluids were removed and the cells were resuspended in 350 mL TRIzol Reagent (Ambion, Thermo Fisher Scientific). CD spectroscopy p py The secondary structure of SARS-CoV-2 Spike was analysed using circular dichroism spectroscopy and J-810 spectropolarimeter (JASCO) equipped with a quartz cuvette (0.1 cm). Spectra were recorded at room temperature from 255 nm–185 nm by accumulating 10 runs (bandwidth 1 nm, scanning speed 50 nm/min) using 0.16–0.58 mM protein solutions in 20 mM sodium phosphate buffer pH 8.0. Cells Vero (African green monkey kidney; ATCC# CCL-81) and Vero clone E6 (ATCC# CRL-1586) cells were purchased from ATCC (Man- assas, VA, USA) and cultured in Dulbecco’s modified Eagle’s medium (DMEM, Sigma Aldrich, Steinheim, Germany) supplemented with 10% fetal bovine serum (FBS; Sigma Aldrich) and 2 mM L-glutamine (L-Gln, Sigma Aldrich). Cell cultures were incubated at 37C in a humidified atmosphere containing 6% CO2 up to 30 passages after thawing of the initial stocks to ensure authentication of utilized cell lines. Data and code availability Data and Code used in this study are fully available. Bulk RNA-seq and scRNA-seq data generated in this study were submitted to the NCBI GEO database and can be found under accession number NCBI GEO: GSE195939 and GSE196938, respectively. All orig- inal code used in the analysis of the single cell data has been deposited at https://github.com/Berlin-Hamster-Single-Cell-Consortium/ Vaccine-associated-enhanced-respiratory-pathology-in-COVID-19-hamsters-after-TH2-biased-immunization. All other data are avail- able in the main text or the supplemental information. Any additional information required to reanalyse the data reported in this paper is available from the lead contact upon request. Total IgG quantification 0.5 mg MeV bulk antigens (Virion Serion, W€urzburg) or 0.25 mg recombinant SARS-CoV-2 S protein were coated in 50 mL/well car- bonate buffer (Na2CO3 30 mM; NaHCO3 70 mM; pH 9.6) on Nunc Maxisorp 96 well ELISA plates (eBioscience). After overnight in- cubation at 4C, the plates were washed three times with 200 mL PBS containing 0.1% Tween 20 (w/v) and blocked with 100 mL PBS containing 5% BSA and 0.1% Tween 20 for at least 2 h at ambient temperature. Hamster sera were 5-fold serially diluted in PBS containing 1% BSA and 0.1% Tween 20. 50 mL/well of serum dilutions were used in the assay and the plates were incubated at 37C for 2 h prior to washing the plates three times using PBS containing 0.1% Tween20. Subsequently, 50 mL/well of HRP-conju- gated goat anti-hamster IgG (1:1,000 in PBS containing 1% BSA and 0.1% Tween20; Sera care KPL, Cat. 5220-0371) were added and the plates were incubated for 1 h at room temperature. After washing the plates three times, 100 mL/well TMB substrate (Invi- trogen) was added. The reaction was stopped by addition of 50 mL/well 1 N H2SO4 and the absorbance at 450 nm (specific signal) and 630 nm (reference wavelength) was measured. RNA preparation The right middle lobe of the lungs of infected animals was homogenized in 1 mL TRIzol Reagent (Ambion, Thermo Fisher Scientific) in Lysing Matrix M tubes (MP Bioscience, Hilton, UK) using the Precellys24 tissue homogenizer (bertin TECHNOLOGIES) for 2 3 15 s at 6,000 rpm. Samples were kept on ice at all times. Organ debris was removed by subsequent centrifugation (13 min, 6,800 rpm, 4C). Clear supernatant was used for RNA purification with Direct-zol RNA MiniPrep kit (Zymo research, Freiburg (Breisgau), Germany) according to the manufactures introduction. Virus neutralization test (VNT) Virus neutralization tests (VNT) were performed as described previously (Ho¨ rner et al., 2020). In short, serum samples were diluted in 2-fold series in DMEM. 50 PFU MVvac2-GFP(P) or 100 TCID50 SARS-CoV-2 were mixed with diluted serum samples and incubated at 37C for 1 h. Subsequently, the virus-serum mixture was added to 13104 Vero or Vero E6 cells seeded 3 h before in 96 well plates Cell Reports 40, 111214, August 16, 2022 e3 Cell Reports 40, 111214, August 16, 2022 e3 Article A ti l ll OPEN ACCESS (Thermo Fisher Scientific, Ulm, Germany). Cells were incubated for 4 days at 37C in a humidified atmosphere containing 6% CO2. Virus neutralizing titers were determined as the reciprocal of the highest serum dilution that completely abrogated infectivity. IFN-g ELISpot analysis Hamster interferon gamma (IFN-g) enzyme-linked immunosorbent spot (ELISpot) analysis was performed using the Hamster IFN-g ELISpotBASIC kit (MABTECH, Nacka Strand, Sweden) in combination with multiscreen immunoprecipitation (IP) ELISpot polyvinyli- dene difluoride (PVDF) 96-well plates (Merck Millipore, Darmstadt, Germany) according to the manufacturer’s instructions. 53105 isolated splenocytes were co-cultured with different stimuli in 200 mL RPMI containing 10% FBS, 2 mM L-Gln, 10 mM HEPES pH 7.4, 50 mM 2-mecaptoethanol and 1% Penicillin-streptomycin. To re-stimulate SARS-CoV-2 specific T cells, isolated splenocytes were cultured with 10 mg/mL recombinant SARS-CoV-2 (2019-nCoV) Spike Protein (S1+S2 ECD, His tag) (Sino biological Europe). Recombinant Ovalbumin [10 mg/mL] served as negative protein control. In parallel, splenocytes were stimulated with 10 mg/ml MeV bulk antigen (Virion Serion, W€urzburg, Germany). General stimulation of T cells was achieved using 5 mg/mL concanavalin A (ConA, Sigma-Aldrich) or recombinant 20 mg/mL Flagellin A produced in house (Sch€ulke et al., 2011). Untreated splenocytes served as nega- tive control. After 36 h of stimulation, cells were removed and plates were incubated with biotinylated detection antibodies and Strep- tavidin-HRP conjugate following the manufactures introductions using a 1 in 100 dilution for the streptavidin-HRP conjugate with 3-Amino-9-ethyl-carbazole (AEC; Sigma-Aldrich) dissolved in N,N-dimethylformamide (Merck Millipore) as substrate. Spots were counted using an Eli.Scan ELISpot scanner (AE.L.VIS, Hamburg, Germany) and analysis software ELI.Analyse V5.0 (AE.L.VIS). Determination of infectious virus lung titers The right apical lobe of the lungs of infected animals was snap-frozen in liquid nitrogen and homogenized in 1 mL ice-cold DMEM containing 2 mM L-Gln and 1% Penicillin/Streptomycin in Lysing Matrix M tubes (MP Bioscience, Hilton, UK) using the Precellys24 tissue homogenizer (bertin TECHNOLOGIES, Montigny-le-Bretonneux, France) for 2 3 10 s at 6,000 rpm. Samples were kept on ice at all times. Subsequently, organ debris was removed by centrifugation (13 min, 6,800 rpm, 4C). Vero E6 cells were inoculated with the supernatants in a 10-fold dilution series for 7 d at 37C. SARS-CoV-2 organ titers were calculated by the TCID50 method of Kaerber and Spearman according to virus-induced CPE and adjusted for 1 g of tissue. Total RNA-Seq q The isolated RNA samples were used for NNSR priming based RNA-Seq library preparation (Levin et al., 2010) (as described in (Brown et al., 2020), vRNA NGS section) with the following modifications. Total RNA, was subjected to rRNA removal using the QIA- seq FastSelect –rRNA HMR Kit (Qiagen) in combination with reverse transcription as follows. A 35 mL reaction mixture containing 1 mg RNA, 100 pmol NNSR_RT primer (gctcttccgatctctNNNNNN), 8 mL of 53 SuperScript IV buffer (Invitrogen) 20 pmol dNTPs and 1 mL of FastSelect-rRNA mix was subjected to the following hybridization protocol: 75C 2 min, 70C 2 min, 65C 2 min, 60C 2 min, 55C 2 min, 37C 5 min, 25C 5 min, store at 4C. For cDNA synthesis the reaction above was supplemented with dithiothreitol (10 mM), 20 U of RiboLock ribonuclease inhibitor (Thermo Fisher Scientific) and 200 U of SuperScript IV reverse transcriptase in a final reaction volume of 40 mL and incubated 45C 5 min, 70C 15 min. The smears of 200–500 base pairs of the final barcoded libraries were purified from a 1.5% agarose gel and sequenced on a NextSeq 550 Illumina instrument using a single-end 86 bp setting. The RNS-Seq library preparation method used results in reads that start with the same two initial nucleotides. Hence, these were removed when performing quality- and minimum length- read trim- ming with the fastp algorithm (Chen et al., 2018) with the default parameters. Read mapping to the Hamster genome scaffold, sta- tistical analyses of DEGs between groups and GO analyses were performed using CLC Genomics Workbench (QIAGEN). Hematoxilin-eosin staining Hematoxylin-eosin staining was carried out in accordance with standard procedures (Mulisch and Welsch, 2015). H&E stained slices were subjected to histopathologic analyses on blinded samples. Isolation of single cells from lung tissue The right caudal lobe of the lung was removed from the body and transferred on ice in PBS containing 1% BSA (w/v) and 2 mg/mL Actinomycin D (Sigma-Aldrich) for further processing. Lung tissue was incubated in 2 mL Dispase (Corning, Bedford, MA, USA) con- taining 2 mg DNAse (AppliChem, Darmstadt, Germany), 4.6 mg Collagenase B (Roche, Basel, Switzerland) and 2 mg/mL Actinomycin D (Sigma-Aldrich) and at 37C for 30 min. Digest was stopped by the addition of cold PBS containing 0.5% (w/v) BSA and Actino- mycin D. The tissue was disrupted by pipetting in a repeated pumping motion. Cell suspension was collected and filtered through 70 mm-filter to obtain a single-cell suspension. Red Blood cell were lysed by incubation with RBC lysis buffer (Santa Cruz Biotech- nology, Dallas, Texas, USA) for 4 min at room-temperature. Lysis reaction as stopped by the addition of PBS containing 0.04% BSA, the supernatant was removed by centrifugation (1,200 rpm, 6 min, 4C) and cells were resuspended in PBS containing 0.04% BSA. Barcoding of single cells and RNA isolation was performed using the Chromium controller and Chromium Next Gem Chip G Single Cell Kit and Chromium Next Gem Single cell 30 GEM, Library & Gel Bead Kit v3.1 (10x Genomics B.V., Leiden, The Netherlands) ac- cording to the manufactures instructions. Single-cell RNA-Seq After enzymatic fragmentation and size selection, resulting double-stranded cDNA amplicons optimized for library construction were subjected to adaptor ligation and sample index PCRs needed for Illumina bridge amplification and sequencing according to the man- ufacturer’s instruction (10x genomics). Single cell libraries were quantified using Qubit (Thermo Fisher) and quality-controlled using the Bioanalyzer System (Agilent). Sequencing was performed on a Novaseq 6000 (Illumina), aiming for 200 Million reads per library (read1: 28, read2: 150 nucleotides). Data were analysed using CellRanger v5.0 (10x Genomics) using hamster and SARS-CoV-2 genome scaffolds, and the R packages Seurat v4.0 (Hao et al., 2021) and DoRothEA v3.12 (Holland et al., 2020) were used for cell clustering, annotation, and transcription factor activity analysis. Median gene number detected per cell ranged between 2000 and 4400, with 3800–18500 median UMI counts per cell. Gene set variation analysis (GSVA) was performed using the GSVA R pack- age (Ha¨ nzelmann et al., 2013) and gene set enrichment analysis was performed using the clusterProfiler R package (Wu et al., 2021). Quantitative reverse-transcription PCR (qRT-PCR) RNA samples were quantified by quantitative reverse transcription-PCR (qPT-PCR) using Superscript III one step RT-PCR system with Platinum Tag Polymerase (Invitrogen, Darmstadt, Germany). Primer and probe sequences for mRNA encoding the SARS- CoV-2 E gene (Corman et al., 2020), hamster RPL18 (Zivcec et al., 2011), IL-4, and IL-13 (Espitia et al., 2010) were used as described and are indicated in Table S4. Primers for detection of Eoatxin-1 (Stanelle-Bertram et al., 2020) and forward primer sequences for IL-5 (Mendlovic et al., 2015) were ordered as described. The reverse primer sequence for IL-5 was adapted according to RNA Seq results of hamster lungs as described in this manuscript. Probes for mRNA encoding Eotaxin and IL-5 were designed as shown in Table S3. Reactions were run in 96-well plates (Bio-Rad Laboratories, Hercules, CA) using CFX96 qPCR cycler (Bio-Rad Laboratories) and 5 mL RNA in a total reaction volume of 25 mL in triplicates. An internal Hamster reference (linear range, 4.53106 to 4.53102 copies (Ho¨ rner et al., 2020)) was used for quantification of SARS-CoV-2 E gene copy numbers. This reference was validated for copy numbers of RPL18 housekeeping gene by utilization of a PCR product DNA reference generated as described (Osterrieder et al., 2020), and was used for quantification in subsequent runs (linear range, 1.83105 to 1.823102 copies). The following cycling conditions were used for all analyses: reverse transcription for 10 min at 55C, denaturation for 180 s at 94C, followed by 45 cycles of 15 s at e4 Cell Reports 40, 111214, August 16, 2022 Article ll OPEN ACCESS ll OPEN ACCESS 94C and 30 s at 58C. Quantified sample copy numbers were normalized to copy numbers of the hamster housekeeping gene RPL18. If direct quantification was not possible, the DDct method was used. 94C and 30 s at 58C. Quantified sample copy numbers were normalized to copy numbers of the hamster housekeeping gene RPL18. If direct quantification was not possible, the DDct method was used. Histopathology The left lung lobe was carefully removed and immersion-fixed in 10% neutral-buffered formalin for 7 days. The tissue was subse- quently paraffin-embedded and sections of 4 mm were prepared. Hematoxilin-eosin staining Sirius red staining For Sirius Red staining of lung tissue sections we followed the protocol published by Llewellyn with some modifications (Llewellyn, 1970). Briefly, sections were placed in Papanicolaous solution 1b Hematoxylin S (Sigma Aldrich) for 2 min and rinsed afterwards with water followed by ethanol, 3% HCl in ethanol and 70% ethanol. Subsequently, sections were stained for 90 min in alkaline Sirius red (0.5 g Direktrot 80, Sigma in 50% ethanol containing 0.1& NaOH) before rinsing with water. Sections were dehydrated afterwards with increasing ethanol concentrations and xylene. Finally, sections were covered with Entellan (Merck KGaA, Darmstadt, Germany). In situ hybridisation Immunohistochemistry y For SARS-CoV-2 antigen detection, a monoclonal Ab against the nucleocapsid protein (clone 4F3C4 (Bussmann et al., 2006)) was used according to standardized procedures of avidin-biotin-peroxidase complex-method (ABC, Vectastain Elite ABC Kit, Burlin- game, CA, USA). Briefly, 2–3 mm sections were mounted on adhesive glass slides, dewaxed in xylene, followed by rehydration in descending graded alcohols. Endogenous peroxidase was quenched with 3% hydrogen peroxide in distilled water for 10 min at room temperature. Antigen heat retrieval was performed in 10 mM citrate buffer (pH 6) for 20 min in a pressure cooker. Nonspecific Ab binding was blocked for 30 min at room temperature with goat normal serum, diluted in PBS (1:2). The primary Ab was applied overnight at 4C (1:50, diluted in TRIS buffer), the secondary biotinylated goat anti-mouse Ab was applied for 30 min at room tem- perature (Vector Laboratories, Burlingame, CA, USA, 1:200). Color was developed by incubating the slides with freshly prepared avidin-biotin-peroxidase complex (ABC) solution (Vectastain Elite ABC Kit; Vector Laboratories), followed by exposure to 3-amino-9-ethylcarbazole substrate (AEC, Dako, Carpinteria, CA, USA). The sections were counterstained with Mayer’s haematox- ylin and coverslipped. As negative control, consecutive sections were labelled with an irrelevant Ab (M protein of Influenza A virus, ATCC clone HB-64). A positive control slide was included in each run. Slides were scanned using a Hamamatsu S60 scanner (Ha- mamatsu Photonics, K.K. Japan). QUANTIFICATION AND STATISTICAL ANALYSIS Animal cohort or sample size per treatment was between n = 4 and n = 6 as defined in the individual figure legends. Statistical analysis of different experiments is indicated in detail in the respective figure legends. For statistical analysis of samples from animal exper- iments, ordinary one-way or two-way ANOVA was applied with Tukey’s multiple comparisons test using Prism. For statistical analysis of grouped ELISpot data, paired t test was applied using Prism. For statistical analysis of histopathology, ordinary one-way ANOVA was applied with Mann-Whitney test. For statistical analysis of qRT-PCR analyses, ordinary one-way ANOVA was applied with Tu- key’s multiple comparisons test using Prism. Bulk RNAseq libraries from different hamster lungs (n = 4) were generated for each condition (mock uninfected, infected, Alum+S vaccinated + infected, and MeVvac2-SARS2-S(H) vaccinated + infected). An average of 13,400,912.5 (range 8,468,387 to 22,180,134) reads mapped to the hamster genome scaffold MesAur1.0.102, an average of 90.1% (range 87.95%–92.04%) of the total number of reads, with 98.7% (range 97.61%–99.27%) representing protein-coding segments. An average 62,455.9 (range 2,649 to 205,001) reads mapped to SARS-CoV-2 reference genome (NCBI accession #LR824570), about 0.41% (range 0.03%–1.25%) of the total number of reads. For statistical comparison, read counts of libraries of vaccinated animals were tested against mock animals using CLC Genomics Workbench 21.0.4 employing multi-factorial statistics based on a negative binomial Generalized Linear Model (GLM). p-values of differentially expressed genes (DEG) were corrected with FDR correction method. Four scRNA-seq libraries from four different infected hamster lungs were generated for each condition (mock, Alum+S vaccinated, and MeVvac2-SARS2-S(H) vaccinated) and an average number of 2,679 cells (range: 1,392 to 4,645) were retrieved per library with an average read count of 7,271 mapped reads per cell. Differential expression of selected cytokines in different celltype compartments between treatment groups was performed using the FindMarkers function from the Seurat R package with the default parameters (Wilcoxon Rank Sum test with Bonferroni p value correction). Differential expression of SARS-CoV-2 RNA in scRNA-Seq experiments was analysed using the Loupe Browser 6.0.0 software. Statistical significance was tested by comparison of individual cell populations with all other cells within the different treatment groups, p values were adjusted using Benjamini-Hochberg correction for multiple testings. g In situ hybridisation To detect viral RNA in the lungs, fixed paraffin-embedded tissue sections were mounted on glass slides and analyzed by in situ hy- bridization as described previously (Halwe et al., 2021; Tscherne et al., 2021). For this, the RNAscope 2.5 HD Assay – RED Kit (Bio- Techne, cat. no. 322360) was used according to the manufacturer’s instructions. Slides were incubated at 60C, deparaffinized with Cell Reports 40, 111214, August 16, 2022 e5 Article A ti l ll OPEN ACCESS xylene and 100% ethanol and pretreated with RNAscope Pretreatment Reagents (cat. no. 322330 and 322000), to enable access to the target RNA. Subsequently, the RNA-specific probe, targeting the S protein of the SARS-CoV-2 virus (cat. no. 848561) was hy- bridized to the RNA. After the amplification steps, Fast Red substrate was administered to the samples for signal detection. Slides were counterstained with Gill’s Hematoxylin I and 0.02% ammonia water. A RNAscope Negative Control Probe (cat. no. 310043) was used in parallel to control background staining. xylene and 100% ethanol and pretreated with RNAscope Pretreatment Reagents (cat. no. 322330 and 322000), to enable access to the target RNA. Subsequently, the RNA-specific probe, targeting the S protein of the SARS-CoV-2 virus (cat. no. 848561) was hy- bridized to the RNA. After the amplification steps, Fast Red substrate was administered to the samples for signal detection. Slides were counterstained with Gill’s Hematoxylin I and 0.02% ammonia water. A RNAscope Negative Control Probe (cat. no. 310043) was used in parallel to control background staining. e6 Cell Reports 40, 111214, August 16, 2022 QUANTIFICATION AND STATISTICAL ANALYSIS We did not determine by statistical tests whether the data met assumptions of the statistical approach, also for the reason that tests were conservatively chosen for data requirements to have to meet as few pre-assumptions as possible. e6 Cell Reports 40, 111214, August 16, 2022
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FAK auto-phosphorylation site tyrosine 397 is required for development but dispensable for normal skin homeostasis
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FAK auto-phosphorylation site tyrosine 397 is required for development but dispensable fo normal skin homeostasis Heim, J.B.; McDonald, C.A.; Wyles, S.P.; Sominidi-Damodaran, S.; Squirewell, E.J.; Li, M.; Motsonelidze, C.; Bottcher, R.T.; Deursen, J.M.A. van; Meves, A. 2018, Article / Letter to editor (PLoS One, 13, 7, (2018), article e0200558) Doi link to publisher: https://doi.org/10.1371/journal.pone.0200558 Doi link to publisher: https://doi.org/10.1371/journal.pone.0200558 Version of the following full text: Publisher’s version Downloaded from: http://hdl.handle.net/2066/196216 Download date: 2024-10-24 Note: Note: To cite this publication please use the final published version (if applicable). To cite this publication please use the final published version (if applicable). RESEARCH ARTICLE Abstract This is an open access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Data Availability Statement: All relevant data are within the paper and its Supporting Information files. Funding: This research was supported by the Mayo Clinic Lucille and Smith Gibson Research Fellowship to JBH and SSD and also the Foundation for the National Institutes of Health (CA215105 to AM). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. FAK auto-phosphorylation site tyrosine 397 is required for development but dispensable for normal skin homeostasis Joel B. Heim1☯¤, Cera A. McDonald1☯, Saranya P. Wyles1, Sindhuja Sominidi-Damodaran1, Edwin J. Squirewell1, Ming Li1, Catherine Motsonelidze1, Ralph T. Bo¨ttcher2,3, Jan van Deursen4,5,6, Alexander Meves1,4,6* 1 Department of Dermatology, Mayo Clinic, Rochester, Minnesota, United States of America, 2 Department of Molecular Medicine, Max Planck Institute for Biochemistry, Martinsried, Germany, 3 German Center for Cardiovascular Research-Munich Partner Site, Munich, Germany, 4 Department of Biochemistry and Molecular Biology, Mayo Clinic, Rochester, Minnesota, United States of America, 5 Department of Pediatric and Adolescent Medicine, Mayo Clinic, Rochester, Minnesota, United States of America, 6 Mayo Clinic Cancer Center, Mayo Clinic, Rochester, Minnesota, United States of America a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 ☯These authors contributed equally to this work. ¤ Current address: Department of Chemistry, University of Oslo, Oslo, Norway * meves.alexander@mayo.edu ☯These authors contributed equally to this work. ¤ Current address: Department of Chemistry, University of Oslo, Oslo, Norway * meves.alexander@mayo.edu ☯These authors contributed equally to this work. Abstract Citation: Heim JB, McDonald CA, Wyles SP, Sominidi-Damodaran S, Squirewell EJ, Li M, et al. (2018) FAK auto-phosphorylation site tyrosine 397 is required for development but dispensable for normal skin homeostasis. PLoS ONE 13(7): e0200558. https://doi.org/10.1371/journal. pone.0200558 Citation: Heim JB, McDonald CA, Wyles SP, Sominidi-Damodaran S, Squirewell EJ, Li M, et al. (2018) FAK auto-phosphorylation site tyrosine 397 is required for development but dispensable for normal skin homeostasis. PLoS ONE 13(7): e0200558. https://doi.org/10.1371/journal. pone.0200558 Focal adhesion kinase (FAK) is an intensely studied non-receptor tyrosine kinase with roles in cancer and other common human diseases. Despite the large interest in FAK, the in vivo contribution of FAK auto-phosphorylation site tyrosine (Y) 397 to FAK function is incom- pletely understood. To study FAK Y397 in vivo we analyzed mice with ‘non-phosphorylata- ble’ Y-to-phenylalanine (F) and ‘phospho-mimicking’ Y-to-glutamate (E) mutations in the germline. We found that FAK Y397F mice die early during embryogenesis with abnormal angiogenesis like FAK kinase-dead mice. When Y397 is mutated to a glutamate mice sur- vive beyond mid-gestation like mice where Y397 is lost by deletion of FAK exon 15. In cul- ture, defects in proliferation, invasion and gene expression were more severe with the FAK Y397F than with the FAK Y397E mutation despite the inability of FAK Y397E to bind SRC. Conditional expression of FAK Y397F or Y397E in unchallenged avascular epidermis, how- ever, resulted in no appreciable phenotype. We conclude that FAK Y397 is required for the highly dynamic tissue remodeling during development but dispensable for normal homeo- stasis of avascular epidermis. In contrast to the Y397F mutation, FAK Y397E retains suffi- cient biological activity to allow for development beyond mid-gestation. Editor: Nils Cordes, Technische Universitat Dresden, GERMANY Received: February 20, 2018 Accepted: June 28, 2018 Published: July 12, 2018 Copyright: © 2018 Heim 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: Nils Cordes, Technische Universitat Dresden, GERMANY Received: February 20, 2018 Accepted: June 28, 2018 Published: July 12, 2018 Copyright: © 2018 Heim et al. This is an open access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Copyright: © 2018 Heim et al. Citation: Heim JB, McDonald CA, Wyles SP, Sominidi-Damodaran S, Squirewell EJ, Li M, et al. (2018) FAK auto-phosphorylation site tyrosine 397 is required for development but dispensable for normal skin homeostasis. PLoS ONE 13(7): e0200558. https://doi.org/10.1371/journal. pone.0200558 Mouse strains Targeting of embryonic stem cells and mouse chimera production was through the Mayo Clinic Transgenic Core Facility (Rochester, MN). FAK Y397F mice have been reported previ- ously [10]. FAKfl/fl mice [17] were obtained from the Mutant Mouse Regional Resource Center at UC Davis. Keratin 5-Cre mice were as previously described [18]. To humanely and effi- ciently euthanize animals carbon dioxide (CO2) was used following American Veterinary Medical Association guidelines. All animal experiments were approved by the Institutional Animal Care and Use Committee at Mayo Clinic, Rochester, MN, and all experiments were performed in accordance with relevant guidelines and regulations. Role of FAK tyrosine 397 in development and skin Competing interests: The authors have declared that no competing interests exist. The structure of FAK consists of a focal adhesion targeting (FAT) domain on the C- terminus, an adjacent catalytic kinase domain and a four-point one, ezrin, radixin, moesin (FERM) domain on the N-terminus. The central catalytic and FERM domains are connected by a linker region which contains the major FAK auto-phosphorylation site, tyrosine (Y) 397 [1]. When FAK is in the inactive conformation, the FERM domain auto-inhibits the catalytic kinase domain and Y397 is nonphosphorylated [8]. Upon activation, the linker region becomes exposed and Y397 undergoes autophosphorylation [8], providing a high- affinity binding site [9] for proteins such as proto-oncogene tyrosine-protein kinase Src (SRC) [10]. Competing interests: The authors have declared that no competing interests exist. Although much is known about the mechanisms and biological activities of FAK in vitro, the regulation of FAK in vivo is incompletely understood. FAK-null mice experience embry- onic lethality by embryonic day (E) 8.5 [11, 12]. Deletion of FAK Y397 by linker domain trun- cation mutation results in embryonic death between E13.5-E14.5 [13], while the substitution of Y397 with a non-phosphorylatable phenylalanine (Y397F) results in embryonic death by E11.5 [10]. Conditional FAK deletion has been shown to suppress tumor formation in breast epithelium [14] and the epidermis [15]. Further, phosphorylated Y397 FAK has been localized in the nuclei of cancerous cells, including melanoma [10] and colorectal cancer [16]. These findings suggest that FAK Y397 plays an important role during embryonic development and may influence cell survival and gene transcription in cancerous cells, however may not be nec- essary for cell survival in mature differentiated cells. Here, we explored the role of FAK Y397 in embryonic development and mature differenti- ated epidermis by comparing mice with Y397-to-phenylalanine (Y397F) and Y397-to-gluta- mate (Y397E) germline mutations, allowing us to examine the in vivo activities of FAK lacking a phosphorylatable tyrosine (Y397F) or harboring a constitutive negative charge at Y397 (Y397E). Introduction Focal adhesion kinase (FAK) is a non-receptor tyrosine kinase [1] enriched in focal adhesions [2]. FAK has been shown to play important roles in diverse events such as cell adhesion[3], wound healing [4], and metastasis [5]. FAK has also been localized to the nucleus, where it may influence cell survival [6] and modulate gene transcription [7]. 1 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Timed mating and embryo isolation In all mating procedures, female mice were exposed to male mice overnight. Identification of a vaginal plug the next morning was used to determine embryonic day (E) 0.5. Staged embryos (E8.5-E16.5) were dissected in ice-cold PBS. Embryos were observed under an Olympus SZX12 Microscope. Small pieces of tail or paw were digested in PBS containing proteinase K at 56 ˚C for 90 min. Proteinase K was heat-inactivated at 80 ˚C for 30 min. 2 μl of the sample were used to set up a PCR reaction for genotyping. Primary cells and cell lines Heterozygous FAK Y397F mice were intercrossed and MEFs were isolated from E9.5 embryos, immortalized with the SV40 large T antigen. FAK Y397F mutation was confirmed by RNA sequencing. Primary mouse keratinocytes were isolated and cultured as previously described30. p53-/- FAK knock-out mouse embryonic fibroblasts (MEFs; CRL-2644) were purchased from the American Type Culture Collection. Cell lines were tested for mycoplasma and viral con- tamination by the RapidMAP™21 test (Taconic) or the Mayo IMPACT Profile (IDEXX BioRe- search). MEFs were cultured in DMEM containing 10% FBS. Peptide pulldowns Pulldowns were performed as previously described [19]. Purified GST-tagged SRC was pur- chased from Sigma-Aldrich (S1076). Antibodies The following antibodies were used for immunoprecipitation and/or microfluidic western blot analysis by ProteinSimple (PS), immunohistochemistry (IHC), immunofluorescence (IF): CD31 (553371, MEC13.3, BD Biosciences; 1:500 for IF), laminin (ab11575, Abcam; 1:400 for IF), involucrin (ab28057, Abcam; 1:100 for IHC), FAK (06–543, EMD Millipore; 1:50 for PS; 1:100 for IF), paxillin (610051, 349, BD Biosciences, 1:100 for IF), phospho-FAK Y397 (AF4528, R&D Systems; 1:200 for PS), phospho-FAK Y397 (44-624G, Thermo Fisher Scientific; 1:100 for IF), β-tubulin (ab15568; Abcam; 1:50 for PS), SRC (2109, 36D10, Cell Sig- naling Technology; 1:50 for PS), phospho-SRC Y416 (2101, Cell Signaling Technology; 1:10 for PS). 2 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Role of FAK tyrosine 397 in development and skin Whole-mount three-dimensional imaging of CD31 in embryos Whole-mount three-dimensional imaging of CD31 was performed as previously described [18]. To allow for deep penetration of laser light and confocal sectioning, embryos were dehy- drated by increasing methanol concentrations, cleared in benzyl alcohol/benzyl benzoate (1:2). Images were obtained with a Zeiss LSM780 confocal microscope using ZEN software (2012, release 8.0). Transient and stable transfection/transduction To generate stable cell lines, MEFs were infected with lentivirus in 2 ml complete medium con- taining 8 μg/ml polybrene and a virus multiplicity of infection (MOI) of 2 to 20. Selection was by 1 to 1.5 μg per ml of puromycin. Plasmids and constructs For stable FAK variant expression in cell lines, cDNA was cloned into the lentiviral expression vector LV022 (Applied Biological Materials). Point mutations were introduced by site-directed mutagenesis using the Quikchange II XL kit (200521, Agilent Technologies). PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Microfluidic western blotting Western blots were performed as Simple Western™assays using the Wes system (ProteinSim- ple), a combination of capillary electrophoresis and immunodetection techniques, following the manufacturer’s protocols. Quantification of chemiluminescence was based on peak height after correction for a baseline signal. Raw data was generated by the Compass software (version 2.5.8 to 2.7.1, build ID 0201–0826). Compass is the control and data analysis application for Simple Western instruments. 3 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Role of FAK tyrosine 397 in development and skin Proliferation and Matrigel invasion For proliferation analysis, cells were seeded at low densities (2,500 to 5,000 cells per well). Cells were incubated using an IncuCyte ZOOM1 (Essen Bioscience). Cell growth based on percent confluence was determined from phase contrast images. For proliferation assays based on auto- mated counting of fluorescent nuclei, cells were first infected with the NucLight Red reagent (4476, Essen Bioscience) and selected using 1 μg per ml of puromycin to obtain a stable nuclear red fluorescent label. Invasion assays were performed by seeding cells at a density of 30,000 cells/well on a thin coating of Matrigel (0.1 mg/ml, standard formulation, Corning) in 96 well ImageLock microplates (4379, Essen BioScience). Cells were then allowed to grow confluent. Prior to scratching, cell proliferation was inhibited by 30 minutes exposure to 10 μg/ml mito- mycin C (M4287, Sigma-Aldrich). Monolayers were scratched using the WoundMaker™pin tool (4493, Essen BioScience). Medium was changed and cells were covered in 2 mg/ml Matri- gel (standard formulation, Corning) diluted in complete medium. Relative wound density was calculated using the IncuCyte™Scratch Wound Cell Migration Software Module (9600–0012). Immunocytochemistry and immunohistochemistry For immunocytochemistry, cells were cultured on LAB-TEK II chamber slides (154453, Thermo Scientific), fixed for 10 min in 4% PFA at room temperature and stained with a BOND-MAX autostainer (Leica Biosystems). Briefly, slides were washed with 1x Bond Wash solution (Leica Biosystems) and cells were permeabilized for 10 min with 0.1% Triton X-100 in PBS. After washing and blocking with 3% BSA in PBS for 60 min, slides were incubated with a 1:100 dilution of primary antibody in Bond Primary Antibody Diluent (Leica Biosys- tems) for 90 min. Slides were washed three times for 2 min and incubated with a 1:100 dilution of secondary antibody in BOND Primary Antibody Diluent for 60 min. After three 2 min wash steps, DAPI staining was performed for 10 min. Images were collected at room tempera- ture by confocal microscopy (Zeiss LSM780) with a x40/1.0 objective using ZEN software (2012, release 8.0). For immunohistochemistry on paraffin sections using involucrin antibody, sections were baked, dewaxed and exposed to EDTA based pH 9.0 solution (AR9640, Leica Biosystems) using a BOND-MAX autostainer. Antibody detection was by alkaline phospha- tase-linked polymers (DS9390, Leica Biosystems). For immunohistochemistry on frozen murine skin sections, epitope retrieval was not required. Antibody detection was by secondary Alexa 488-conjugated antibody (1:200 dilution). Hematoxylin and eosin-stained paraffin sec- tions were digitalized with an Aperio ScanScope (Leica Biosystems). Adhesion turnover LentiBrite™Paxillin (Millipore)-GFP-tagged FAK Y397E and FAK Y397F cells were plated (10,000 per well) in regular growth medium in Lab-Tek II chambered coverglass (Nunc) coated with 10 μg/ml of fibronectin (Calbiochem). The focal adhesion turnover analysis was performed on a custom-made system (Visitron Systems) based on an Nikon Eclipse Ti inverted microscope, an Nikon 60x 1.40 NA objective and a ProEM EMCCD camera (Prince- ton Instruments) in an incubation chamber (Oxolab) to control temperature, CO2 (5% pre- mixed) and humidity. Images were acquired every three minutes for four hours using VisiView software (Visitron Systems) and analyzed by ImageJ. Successful generation of FAK Y397 mutant mice To study the phenotype of mice expressing FAK Y397F or Y397E during development and in adult tissue, we targeted exon 15 of the murine FAK gene by homologous recombination in embryonic stem (ES) cells. Positive ES cell clones of each mutation were injected into blasto- cysts to establish the mutant knock-in (KI) mouse strains (KIneo+) [10]. The Flippase Recombi- nation Target (FRT)-flanked neomycin gene was then removed by intercrossing the mutant mouse strains with a deleter-Flippase strain, resulting in mice carrying an intronic FRT site and defined point mutations in exon 15 of the FAK gene (KIfrt). Heterozygous intercrosses of FAK Y397F [10] and Y397E mice (Table 1) yielded no live homozygous offspring at birth. However, homozygous embryos could be detected by PCR genotyping on embryonic (E) day 9.5 (Fig 1A). Sanger sequencing of cDNA derived from the tails of adult heterozygous KIfrt mice showed double peaks at amino acid codon 397, indicating base pair changes introduced by homologous recombination (Fig 1B). Experiments on micropatterns FAK variant cells were seeded on fibronectin-coated micropatterned discs (10-900-10, CYTOO) according to instructions and allowed to attach and spread for 1 hour. Cells were PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 4 / 14 Role of FAK tyrosine 397 in development and skin then fixed for 10 min in 4% PFA at room temperature and processed for immunocytochemis- try. Images were collected at room temperature by confocal microscopy (Zeiss LSM780) with a x40/1.0 objective using ZEN software (2012, release 8.0). Reference cells were created using a CYTOO-provided image analysis macro (CYTOOL-IP-Reference cell/April 2014) in ImageJ (release 1.44i). Gene expression by next-generation sequencing RNA was isolated using the RNeasy Plus Mini kit (74134, Qiagen). RNA sequencing was per- formed as previously described [20]. Briefly, RNA-derived cDNA libraries were prepared using the TruSeq RNA Library Prep Kit v2 (Illumina). Concentration and size distribution of the resulting libraries were determined on an Agilent Bioanalyzer DNA 1000 chip and con- firmed by Qubit fluorometry (Life Technologies). Unique indexes were incorporated at the adaptor ligation phase for three-plex sample loading. Libraries were loaded onto paired end flow cells to generate cluster densities of 700,000 per mm2 following Illumina’s standard proto- col. The flow cells were sequenced as 51 paired end reads on an Illumina HiSeq 2000. The sam- ples were processed through the Mayo RNA-Seq analysis pipeline, MAP-RSeq. Raw and normalized (read per kilobase of gene per million mapped reads) gene expression read counts were obtained per sample. Differential gene expression analysis was carried out using the freely available edgeR bioconductor software package (http://bioconductor.org). Because scaling by total lane counts can bias estimates of differential expression, edgeR uses trimmed mean nor- malization on raw read counts to determine whether genes are differentially expressed using the negative binomial method. The Benjamini and Hochberg correction is used to control for multiple testing to obtain a false discovery rate. Statistics Statistical analysis was performed using the GraphPad Prism software (version 6.05, GraphPad Software). Statistical significance was determined as indicated. Statistical analysis was performed using the GraphPad Prism software (version 6.05, GraphPad Software). Statistical significance was determined as indicated. Role of FAK tyrosine 397 in development and skin Table 1. Genotypes of embryos obtained from crosses between FAK Y397E/+ heterozygous mice derived from ES cell clones 227 and 405. Genotype Clone 227 Clone 405 9.5 10.5 13.5 14.5 16.5 Born (P0) Born (P0) +/+ 5 10 12 15 12 211 13 +/Y397E 11 8 19 38 25 432 26 Y397E/Y397E 5 18 10 15 0 0 0 No. of litters 2 4 5 7 4 100 8 The total number of embryos of each genotype obtained from crosses between mice (FAK Y397E/+; ES cell clones 227 and 405) is shown at various embryonic days (E) and at birth (P0). obtained from crosses between FAK Y397E/+ heterozygous mice derived from ES cell clones 227 and 405. ypes of embryos obtained from crosses between FAK Y397E/+ heterozygous mice derived from ES cell clones 227 and 405 The total number of embryos of each genotype obtained from crosses between mice (FAK Y397E/+; ES cell clones 227 and 405) is shown at various embryonic days (E) and at birth (P0). The total number of embryos of each genotype obtained from crosses between mice (FAK Y397E/+; ES cell clones 227 a and at birth (P0). embryonic development stalled at E9.5, a stage at which intersomitic vessels (ISVs) were clearly visible between the somites of wild type (WT) but not FAK Y397F embryos (Fig 2A). Mutant embryos demonstrated malformed hearts and an unorganized somite structure while the allantois was unfused and enlarged [10]. Whole-mount three-dimensional (3D) imaging of platelet endothelial cell adhesion molecule-stained (PECAM-1; CD31) Y397F FAK embryos indicated the presence of a dorsal aorta (DA) adjacent to an incompletely formed heart, and a lack or malformation of ISVs, as compared to the clearly stained and normally developed heart, DA, and ISVs of the WT embryo (Fig 2B). Additionally, the FAK Y397F yolk sacs lacked the differentiated blood vessels seen on WT yolk sacs (Fig 2C). FAK Y397E embryos in contrast were comparable in size and organ development to wild type (WT) embryos at E10.5 with visible and well-defined ISVs (Fig 2D). Whole-mount 3D imaging of PECAM-1-stained FAK Y397E embryos demonstrated developing vascularization as well as an identifiable DA and ISVs (Fig 2E). The yolk sac showed differentiated blood ves- sels (Fig 2F). At E12.5, however, embryos demonstrated edema, and by E13.5 both edema and hemorrhage were clearly visible (Fig 2G). FAK Y397F mice die during early mesoderm development whereas FAK Y397E mice display abnormalities after mid-gestation Timed mating revealed that FAK Y397F mice die between E9.5 and E11.5 [10] whereas FAK Y397E mice survive until E14.5 (Table 1). No live embryos were seen at E16.5. FAK Y397F 5 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 https://doi.org/10.1371/journal.pone.0200558.t001 Role of FAK tyrosine 397 in development and skin Fig 2. Y397E FAK embryos survive longer than Y397F FAK embryos. (A) Bright-field images of E9.5 WT and Y397F FAK embryos. Arrows point to heart, ISVs, DA, somites, and allantois. WT, wild-type; ISV, intersomitic vessels; DA, dorsal aorta. (B) Whole-mount 3D imaging of CD31-stained E9.5 WT and Y397F FAK embryos. Arrows point to DA, ISVs, and heart. 3D, three-dimensional; CD31, platelet endothelial cell adhesion molecule (PECAM-1). (C) Bright-field images of E10.5 WT and Y397F FAK yolk sacs. (D) Bright-field images of E10.5 WT and Y397E FAK embryos. Arrows point to ISV and heart. (E) Whole-mount 3D imaging of CD31-stained E10.5 WT and Y397E FAK embryos. Arrows point to ISV, DA, and heart. (F) Bright-field images of E10.5 WT and Y397E FAK yolk sacs. (G) Bright- field images of E12.5-E13.5 WT and Y397E FAK embryos. Arrows point to edema and hemorrhage. (H) Survival rate of homozygous FAK mutants by embryonic day, with class of mutant and specific mutation indicated. Scale bars, 200 μm. Fig 2. Y397E FAK embryos survive longer than Y397F FAK embryos. (A) Bright-field images of E9.5 WT and Y397F FAK embryos. Arrows point to heart, ISVs, DA, somites, and allantois. WT, wild-type; ISV, intersomitic vessels; DA, dorsal aorta. (B) Whole-mount 3D imaging of CD31-stained E9.5 WT and Y397F FAK embryos. Arrows point to DA, ISVs, and heart. 3D, three-dimensional; CD31, platelet endothelial cell adhesion molecule (PECAM-1). (C) Bright-field images of E10.5 WT and Y397F FAK yolk sacs. (D) Bright-field images of E10.5 WT and Y397E FAK embryos. Arrows point to ISV and heart. (E) Whole-mount 3D imaging of CD31-stained E10.5 WT and Y397E FAK embryos. Arrows point to ISV, DA, and heart. (F) Bright-field images of E10.5 WT and Y397E FAK yolk sacs. (G) Bright- field images of E12.5-E13.5 WT and Y397E FAK embryos. Arrows point to edema and hemorrhage. (H) Survival rate of homozygous FAK mutants by embryonic day, with class of mutant and specific mutation indicated. Scale bars, 200 μm. https://doi.org/10.1371/journal.pone.0200558.g002 phenotype similar to FAK Δ15 mice. FAK Y397 mutants may be broadly classed into loss of function mutations, including Y397F FAK, and those that are partially functional, including Y397E FAK and FAK Δ15 (Fig 2H). Compared to published FAK mutant mice [11–13, 21] the in utero survival curve of FAK Y397E embryos resembled that of mice with a 19 amino acid FAK linker deletion (FAK Δ15) (Fig 2H) [13]. In contrast, the FAK Y397F mutation was early embryonic lethal akin to FAK-null or kinase-dead mutations (Fig 2H) with a phenotype resembling fibronectin (FN)-deficient embryos [22]. Together, our data suggested that Y397F sustained a non-active FAK conformation in vivo, while Y397E was partially functional with a Fig 1. Generation of FAK Y397 mutant FAK. (A) Generation of hetero- and homozygous mutants was confirmed by PCR of E9.5 embryos. Arrows indicate bands representing mutant (Kl) or WT alleles. +, wild-type; Kl/+, heterozygous mutant; Kl/Kl, homozygous mutant; bps, base pairs. (B) Sanger sequencing was performed with mouse tail cDNA to detect heterozygous FAKY397E/WT mutants. Arrows indicate sites of single base pair mutagenesis. https://doi.org/10.1371/journal.pone.0200558.g001 Fig 1. Generation of FAK Y397 mutant FAK. (A) Generation of hetero- and homozygous mutants was confirmed by PCR of E9.5 embryos. Arrows indicate bands representing mutant (Kl) or WT alleles. +, wild-type; Kl/+, heterozygous mutant; Kl/Kl, homozygous mutant; bps, base pairs. (B) Sanger sequencing was performed with mouse tail cDNA to detect heterozygous FAKY397E/WT mutants. Arrows indicate sites of single base pair mutagenesis. https://doi.org/10.1371/journal.pone.0200558.g001 https://doi.org/10.1371/journal.pone.0200558.g001 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 6 / 14 FAK Y397E exhibits a higher degree of biological activity than FAK Y397F Phospho (p)-Y397 FAK has been shown to bind the Src-homologue-2 domain (SH2) of SRC and form a protein complex that is implicated in integrin signaling and cell adhesion [23]. We PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 7 / 14 Role of FAK tyrosine 397 in development and skin therefore decided to investigate the binding potential and activity of FAK Y397E to determine whether residual binding with SRC would explain the extended lifespan and advanced devel- opment of FAK Y397E versus Y397F embryos. The affinity of recombinant full-length SRC for synthesized peptide corresponding to the FAK linker region, including FAK proline rich region 1 (PRR1) and amino acids (aa) 358–409 harboring modifications at aa 397 was tested in vitro as shown. Peptides also contained FAK proline rich region 1 (aa368-375) which serves as a binding site for SH3 domains including SRC-SH3. Desthiobiotinylated peptide was immobi- lized to streptavidin-coated beads and incubated with glutathione S-transferase-tagged recom- binant SRC (SRC-GST). The amount of precipitated SRC-GST was then determined by microfluidic immunoblotting using the ProteinSimple Wes platform. We found that only the pY397 FAK peptide but not scrambled, nonphosphorylated (FAK), Y397F, or Y397E FAK peptides precipitated SRC-GST (Fig 3A). Quantification of the chemiluminescent signal from pY397 FAK peptide-SRC-GST pulldowns demonstrated a large peak at 80 kDa indicating effective binding of pY397 FAK peptide to SRC-GST. No or minimal signal was seen with scrambled, nonphosphorylated (WT), Y397F or Y397E peptides (Fig 3B) indicating weak or no binding of nonphosphorylated peptides to SRC-GST. These results suggested that efficient FAK binding to full length SRC requires pY397 FAK and cannot be achieved by a negatively charged ‘phospho-mimicking’ glutamate at amino acid 397. To determine expression and activation of FAK and SRC in culture, we stably transduced FAK-null mouse embryonic fibroblasts (MEFs) with lentiviral constructs encoding for FAK variants (Fig 3C). MEFs expressing FAK WT, FAK Y397F, or FAK Y397E were then seeded on gelatin-coated surfaces where they maintained a classic fibroblast morphology (Fig 3D). Immunoblotting experiments showed that FAK was detected in all three FAK variant lysates. pY397 FAK was however only detected in the WT FAK lysate (Fig 3E) as FAK Y397E did not bind anti-pY397 FAK antibody. SRC was expressed at a similar level in all three FAK variant and knock out (KO) cell lines. PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Role of FAK tyrosine 397 in development and skin Fig 3. Y397E FAK demonstrates residual activity. (A) Peptide pulldowns using bead-immobilized FERM-kinase linker domain peptides and recombinant SRC-GST. The pulldown blot indicates which samples captured SRC-GST, while the input blot indicates the amount of SRC-GST in each sample prior to experimentation. SRC-GST, SRC tagged with glutathione-s-transferase; Mr (K), weight in kilo-Daltons; aa, amino acid. (B) Chemiluminescent signal of SRC-GST bound to peptide in each pulldown sample. (C) FAK-null MEFs were transduced with lentiviral constructs encoding for WT FAK, Y397F FAK, and Y397E FAK. KO, knock-out; WT, wild-type. (D) Phase-contrast images of MEF lines expressing either WT, Y397F, Y397E or no FAK. KO, knock-out. (E) Western blots of FAK, pY397 FAK, and loading control TUBB in lysate of FAK variant MEF lines and FAK-null MEFs. TUBB, tubulin β-chain. (F) Western blots of total SRC, pY416 SRC, and TUBB in lysates of FAK variant MEF lines and FAK-null MEFs. (G) Adhesion turnover measurements of GFP-Paxillin-positive focal adhesions in WT and FAK variant MEFs (mean ± SD, n = 180; P < 0.001, Student’s t test; n.s., not significant). (H) Averaged N confocal images of paxillin (PAX)-stained FAK variant cells (reference cells); signal density was processed over the image stack and pseudocolored. Arrows indicate areas of PAX adhesions in low contractility areas. (I) Phase object confluence of FAK variant MEF lines, indicating the percentage of cells covering the field of view over 72 hours. Statistically significant differences between WT FAK and Y397F Fig 3. Y397E FAK demonstrates residual activity. (A) Peptide pulldowns using bead-immobilized FERM-kinase linker domain peptides and recombinant SRC-GST. The pulldown blot indicates which samples captured SRC-GST, while the input blot indicates the amount of SRC-GST in each sample prior to experimentation. SRC-GST, SRC tagged with glutathione-s-transferase; Mr (K), weight in kilo-Daltons; aa, amino acid. (B) Chemiluminescent signal of SRC-GST bound to peptide in each pulldown sample. (C) FAK-null MEFs were transduced with lentiviral constructs encoding for WT FAK, Y397F FAK, and Y397E FAK. KO, knock-out; WT, wild-type. (D) Phase-contrast images of MEF lines expressing either WT, Y397F, Y397E or no FAK. KO, knock-out. (E) Western blots of FAK, pY397 FAK, and loading control TUBB in lysate of FAK variant MEF lines and FAK-null MEFs. TUBB, tubulin β-chain. (F) Western blots of total SRC, pY416 SRC, and TUBB in lysates of FAK variant MEF lines and FAK-null MEFs. FAK Y397E exhibits a higher degree of biological activity than FAK Y397F In contrast, active SRC as measured by pY416 was abundant in FAK WT lysates, and almost undetectable in KO and FAK Y397F lysates but slightly more abundant in Y397E lysates (Fig 3F). These data suggested that while SRC is present in all tested MEF lines, its activation depends on pY397 FAK. Since FAK is involved in focal adhesion turnover, wound healing, and survival, assays com- paring adhesion, proliferation and motility allowed us to infer the functionality of the variants. FAK variant MEFs were analyzed microscopically for their ability to affect turnover of green fluorescent-paxillin-positive focal adhesions. We found that focal adhesion lifetime was increased almost 2-fold in FAK Y397F MEFs whereas no significant change was detected with FAK Y397E versus WT (Fig 3G). FAK variant fibroblasts were also seeded on fibronectin micropatterned discs and stained for paxillin (PAX), a focal adhesion marker. N confocal images of PAX-stained FAK variant cells were averaged and their signal density processed over the image stack and pseudocolored. In all FAK variant cells, PAX-containing adhesions were found in a predominantly circumferential distribution. However, in FAK Y397F cells, PAX-containing adhesions were also found in less contractile areas towards the center of the discs. Such aberrant formation of adhesion structures was thought to impede FAK Y397F cell migration and invasion. We therefore analyzed FAK variant MEFs for their ability to migrate and invade into Matrigel. Cells were imaged and analyzed for phase object confluence, which measures the percent of the field of view covered by confluent cells. A significant reduction in confluence was seen with FAK Y397F but not Y397E versus WT (Fig 3I). Similarly, primary FAK Y397F MEFs that were directly derived from knock-in mice showed delayed spreading and reduced phase object confluence after plating versus WT (S1 Fig). To more directly measure cell proliferation, FAK variant MEFs were transduced to express a nuclear-restricted red fluorescent protein. This PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 8 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Role of FAK tyrosine 397 in development and skin FAK confluence are indicated below relevant data points (mean ± SEM, n = 24; P < 0.05, Student’s t test; h, hours). (J) Nuclear counts of fluorescently labeled nuclei of FAK variant MEFs are depicted as a measure of cell proliferation (mean ± SEM, n = 24; P < 0.05, Student’s t test). (K) Relative wound density of FAK variant MEF lines indicating the percentage of cells to invade Matrigel following wound treatment. Statistically significant differences between WT and Y397F FAK lines are indicated below relevant data points. Immunoblots are pseudoimages generated by the ProteinSimple Compass software (mean ± SEM, n = 12; P < 0.05, Student’s t test). https://doi.org/10.1371/journal.pone.0200558.g003 https://doi.org/10.1371/journal.pone.0200558.g003 enabled real-time counting of cells. We found that the doubling time of nuclei was reduced in Y397F but not in Y397E MEFs compared to WT (Fig 3J). Likewise, Matrigel invasion follow- ing scratch wounding was significantly reduced with FAK Y397F but not Y397E versus WT (Fig 3K). These data showed that FAK Y397E retains a higher degree of biological activity than FAK Y397F. This is further demonstrated by Y397E but not Y397F FAK MEFs maintaining normal osteopontin (SPP1) expression (S2 Fig and S1 Dataset), a downstream read-out of FAK activity [10]. (G) Adhesion turnover measurements of GFP-Paxillin-positive focal adhesions in WT and FAK variant MEFs (mean ± SD, n = 180; P < 0.001, Student’s t test; n.s., not significant). (H) Averaged N confocal images of paxillin (PAX)-stained FAK variant cells (reference cells); signal density was processed over the image stack and pseudocolored. Arrows indicate areas of PAX adhesions in low contractility areas. (I) Phase object confluence of FAK variant MEF lines, indicating the percentage of cells covering the field of view over 72 hours. Statistically significant differences between WT FAK and Y397F l activity. (A) Peptide pulldowns using bead-immobilized FERM-kinase linker domain peptides and recombinant SRC-GST. es captured SRC-GST, while the input blot indicates the amount of SRC-GST in each sample prior to experimentation. f ( ) h k l l d ( ) h l l f b d d PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 9 / 14 https://doi.org/10.1371/journal.pone.0200558.g003 Skin homeostasis unaltered in conditional Y397F and Y397E mutant mice To determine whether Y397F or Y397E FAK would present a phenotype if selectively expressed in the epidermis, FAK mutant mice were crossed with mice expressing Cre recombi- nase under a keratin 5 promoter (K5-Cre; Fig 4A). Conditional Y397F and Y397E FAK mice retained a normal phenotype. On gross inspection, three week-old mice harboring Y397F or Y397E FAK were indistinguishable from control litter-mates (Fig 4B). No hair phenotype was Fig 4. No epidermal phenotype in conditional Y397F FAK and Y397E FAK mice. (A) Heterozygous mice with one FAK allele encoding for Y397F FAK or Y397E FAK and one allele containing floxed exon 17 were crossed with mice expressing Cre recombinase under a K5 promoter to ensure exclusive expression of Y397F FAK or Y397E FAK in the epidermis of offspring. K5, keratin-5. (B) Images of adult WT, Y397F FAK, and Y397E FAK mice. (C) HE staining of WT, Y397F FAK, and Y397E FAK epidermis. HE, hematoxylin and eosin. (D) Immunohistochemical staining of involucrin using an alkaline phosphatase-based red detection kit. (E) Immunofluorescent staining of laminin-332 expression in WT, Y397F FAK, and Y397E FAK epidermis. Laminin shown in green, DAPI shown in blue. DAPI, 4’,6-Diamidine-2’-phenylindole. (F) Immunocytochemical staining of FAK variant epidermal keratinocytes. FAK staining shown in green, paxillin staining shown in red, and DAPI staining shown in blue. PAX, paxillin. https://doi.org/10.1371/journal.pone.0200558.g004 Fig 4. No epidermal phenotype in conditional Y397F FAK and Y397E FAK mice. (A) Heterozygous mice with one FAK allele encoding for Y397F FAK or Y397E FAK and one allele containing floxed exon 17 were crossed with mice expressing Cre recombinase under a K5 promoter to ensure exclusive expression of Y397F FAK or Y397E FAK in the epidermis of offspring. K5, keratin-5. (B) Images of adult WT, Y397F FAK, and Y397E FAK mice. (C) HE staining of WT, Y397F FAK, and Y397E FAK epidermis. HE, hematoxylin and eosin. (D) Immunohistochemical staining of involucrin using an alkaline phosphatase-based red detection kit. (E) Immunofluorescent staining of laminin-332 expression in WT, Y397F FAK, and Y397E FAK epidermis. Laminin shown in green, DAPI shown in blue. DAPI, 4’,6-Diamidine-2’-phenylindole. (F) Immunocytochemical staining of FAK variant epidermal keratinocytes. FAK staining shown in green, paxillin staining shown in red, and DAPI staining shown in blue. PAX, paxillin. Discussion In the present study, we show that phosphorylated Y397 FAK is necessary for normal embry- onic development but dispensable for unchallenged skin homeostasis. Our data suggests that inactivating mutations in Y397 FAK result in decreased expression of FN-like ECM and defec- tive mesenchymal angiogenesis—a process that depends on FN-like ECM [22]–but have no effect on normal epidermis and epidermal appendages which are avascular tissues. Substituting Y397 with a glutamate or phenylalanine residue in the germline allowed us to investigate the role of Y397 FAK phosphorylation in vivo. Glutamate introduces a negative charge, thus retaining FAK function compared to Y397F, including enhanced embryonic development and reduced alteration of gene expression. However, glutamate is not truly “phospho-mimicking” as it does not fit the binding pocket of SH2 adaptor domains [24]. Spe- cifically, we have shown that SRC SH2 does not interact with Y397E FAK linker peptide. The combination of a constitutive negative charge and a disrupted SH2 binding pocket ultimately results in hemorrhage and embryonic death by E16.5. Interestingly, mice with a deletion of the 19 amino acid FERM-kinase domain linker (Δ15 FAK) which includes Y397 show a phenotype that is similar to Y397E embryos [13]. A shortened linker would likely impair FERM-kinase domain interaction due to structural constraints [25]. Indeed, basal FAK activity is increased by Δ15 deletion [13]. Structural predictions lead to the assumption that the same may be true for FAK Y397E [25]. Y397 FAK plays an important role in complex mesenchymal processes such as angiogenesis and drives the expression of FN-type ECM. FN secretion and matrix assembly in the ECM are necessary for angiogenesis and vasculogenesis, and FN is primarily expressed during develop- ment, wound-healing, and tumor formation [26]. FN-integrin binding activates FAK to form focal adhesions and initiate signals to assist in FN-based matrix assembly [27]. Y397F FAK embryos resemble FN-deficient embryos [10], and FAK-null embryos exhibit deficient FN matrices and patterning [28]. These findings help explain why Y397E and Y397F FAK embryos experienced stalled development and impaired angiogenesis, namely that the activity of Y397E and Y397F FAK was insufficient to maintain their roles in FN-based matrix assembly prior to angiogenesis. However, adult skin only expresses FN in the basement membrane [29], and FN-receptors like α5β1 integrin are not expressed at meaningful levels in the epidermis [30]. Therefore, the lack of a phenotype in unchallenged adult skin of Y397E and Y397F FAK mice is expected. Skin homeostasis unaltered in conditional Y397F and Y397E mutant mice https://doi org/10 1371/journal pone 0200558 g004 10 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Role of FAK tyrosine 397 in development and skin encountered throughout the entire life span of FAK Y397F or Y397E mice indicating normal hair follicle stem cell function. Histology revealed normal interfollicular epidermis without sub-epidermal blistering or inflammatory infiltrates (Fig 4C). Immunolabeling of laminin 332, a basement membrane marker, and involucrin, a marker of epidermal differentiation, also demonstrated no obvious difference in epidermal or basement membrane architecture (Fig 4D and 4E). FAK mutant protein was expressed in keratinocytes and co-localized with paxillin to focal adhesions (Fig 4F). The unaltered epidermal morphology and expected expression and cellular localization of FAK Y397F and Y397E suggested that Y397 is not necessary for normal epidermal function. This finding is in line with previously reported research, wherein FAK was deleted in keratin-14-expressing basal keratinocytes, resulting in no deleterious phenotype epidermal function. This finding is in line with previously reported research, wherein FAK was deleted in keratin-14-expressing basal keratinocytes, resulting in no deleterious phenotype but rather tumor suppression [15]. PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Discussion FAK has been shown to promote an immunosuppressive microenvironment that allows cancerous cells to evade immune surveillance [7]. Conditional FAK knock-out reduces the risk of carcinogenesis in breast and skin tissue [14, 15]. FAK Y397 drives FN-type gene expres- sion [10], which in turn protects the stem cell niche [31]. Cancer stem cells overexpress FAK, PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 11 / 14 Role of FAK tyrosine 397 in development and skin where it induces stem cell self-renewal and metastasis [32]. FAK likely promotes ECM remod- eling and contributes to the pathogenesis of cancer and other prevalent diseases. Future research must provide additional detail on the role of FAK in subcellular compartments that sustain the FAK-induced ECM remodeling response such as the nucleus. S1 Dataset. List of genes induced by FAK variants as determined by total RNA sequencing. (XLSX) S1 Dataset. List of genes induced by FAK variants as determined by total RNA sequencing. (XLSX) Supporting information S1 Fig. Reduced cell spreading in primary FAK Y397F MEFs. (A) Wild-type and FAK Y397F mutant MEFs were plated on plastic and monitored by live cell imaging over time. Mutant MEFs were delayed in their ability to spread after attachment. (B-C) Automated quan- tification of phase object confluence (B) and average phase object area (C) based on a pre- defined confluence mask. Both outcome measures confirm the delayed spreading and phase confluence as observed on images (mean ± SD, n = 24; P < 0.001, Student’s t test; n.s., not sig- nificant; h, hours). (T ) S2 Fig. Y397E FAK MEFs exhibit gene expression closer to WT MEFs. (A) Logarithmic change in gene expression of KO, Y397F FAK, and Y397E FAK embryos normalized to wild- type expression. KO/WT expression shown in blue, Y397F FAK/WT expression shown in red, and Y397E/WT expression shown in green. KO, knock-out; WT, wild-type. (B) Expression of FN-associated genes in KO, Y397F FAK, and Y397E FAK embryos normalized to WT expres- sion, with blue indicating decreased expression and red indicating increased expression. FAK Y397F but not Y397E embryos resembled that of fibronectin (FN)-deficient embryos10,18. We therefore hypothesized that FAK Y397F may impact FN-type gene expression to a greater extent than FAK Y397E. FC, fold change. (TIF) References 1. Parsons JT. Focal adhesion kinase: the first ten years. J Cell Sci. 2003; 116(8):1409–16. https://doi.org/ 10.1242/jcs.00373 2. Schiller HB, Friedel CC, Boulegue C, Fassler R. Quantitative proteomics of the integrin adhesome show a myosin II-dependent recruitment of LIM domain proteins. EMBO Rep. 2011; 12(3):259–66. https://doi.org/10.1038/embor.2011.5 PMID: 21311561 3. Hamidi H, Pietila¨ M, Ivaska J. The complexity of integrins in cancer and new scopes for therapeutic tar- geting. Br J Cancer. 2016; 115(9):1017–23. https://doi.org/10.1038/bjc.2016.312 PMID: 27685444 4. Owen KA, Abshire MY, Tilghman RW, Casanova JE, Bouton AH. FAK regulates intestinal epithelial cell survival and proliferation during mucosal wound healing. PloS one. 2011; 6(8):e23123. https://doi.org/ 10.1371/journal.pone.0023123 PMID: 21887232 5. Mitra SK, Schlaepfer DD. 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Autophosphorylation-indepen- dent and -dependent functions of focal adhesion kinase during development. J Biol Chem. 2009; 284 (50):34769–76. https://doi.org/10.1074/jbc.M109.067280 PMID: 19776009 14. Author Contributions Conceptualization: Ralph T. Bo¨ttcher, Alexander Meves. Conceptualization: Ralph T. Bo¨ttcher, Alexander Meves. Data curation: Joel B. Heim, Cera A. McDonald, Saranya P. Wyles, Sindhuja Sominidi-Damo- daran, Edwin J. Squirewell, Ming Li, Catherine Motsonelidze, Ralph T. Bo¨ttcher, Alexander Meves. Formal analysis: Joel B. Heim, Cera A. McDonald, Ming Li, Ralph T. Bo¨ttcher, Alexander Meves. Funding acquisition: Alexander Meves. Investigation: Joel B. Heim, Cera A. McDonald, Saranya P. Wyles, Sindhuja Sominidi-Damo- daran, Edwin J. Squirewell, Ming Li, Catherine Motsonelidze, Ralph T. Bo¨ttcher, Alexander Meves. Methodology: Joel B. Heim, Cera A. McDonald, Ming Li, Ralph T. Bo¨ttcher, Alexander Meves. Project administration: Alexander Meves. Resources: Ralph T. Bo¨ttcher, Jan van Deursen, Alexander Meves. Supervision: Alexander Meves. 12 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Role of FAK tyrosine 397 in development and skin Visualization: Alexander Meves. Writing – original draft: Joel B. Heim, Cera A. McDonald, Ralph T. Bo¨ttcher, Alexander Meves. Writing – review & editing: Joel B. Heim, Cera A. McDonald, Ralph T. Bo¨ttcher, Alexander Meves. References Lahlou H, Sanguin-Gendreau V, Zuo D, Cardiff R, McLean GW, Frame MC, et al. Mammary epithelial- specific disruption of the focal adhesion kinase blocks mammary tumor progression. Proc Natl Acad of Sci U S A. 2007; 104(51):20302–7. 15. McLean GW, Komiyama NH, Serrels B, Asano H, Reynolds L, Conti F, et al. Specific deletion of focal adhesion kinase suppresses tumor formation and blocks malignant progression. Genes Dev. 2004; 18(24):2998–3003. https://doi.org/10.1101/gad.316304 PMID: 15601818 16. Albasri A, Fadhil W, Scholefield JH, Durrant LG, Ilyas M. Nuclear expression of phosphorylated focal adhesion kinase is associated with poor prognosis in human colorectal cancer. Anticancer Res. 2014; 34(8):3969–74. PMID: 25075018 17. Ramirez A, Page A, Gandarillas A, Zanet J, Pibre S, Vidal M, et al. A keratin K5Cre transgenic line appropriate for tissue specific or generalized cre mediated recombination. Genesis. 2004; 39(1):52–7. https://doi.org/10.1002/gene.20025 PMID: 15124227 18. Yokomizo T, Yamada-Inagawa T, Yzaguirre AD, Chen MJ, Speck NA, Dzierzak E. Whole-mount three- dimensional imaging of internally localized immunostained cells within mouse embryos. Nature Protoc. 2012; 7(3):421–31. 13 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 Role of FAK tyrosine 397 in development and skin 19. Meves A, Geiger T, Zanivan S, DiGiovanni J, Mann M, Fassler R. [beta]1 integrin cytoplasmic tyrosines promote skin tumorigenesis independent of their phosphorylation. Proc Natl Acad Sci U S A. 2011; 108(37):15213–8. https://doi.org/10.1073/pnas.1105689108 PMID: 21876123 20. Meves A, Nikolova E, Heim JB, Squirewell EJ, Cappel MA, Pittelkow MR, et al. Tumor Cell Adhesion As a Risk Factor for Sentinel Lymph Node Metastasis in Primary Cutaneous Melanoma. J Clin Oncol. 2015; 33(23):2509–15. https://doi.org/10.1200/JCO.2014.60.7002 PMID: 26150443 21. Lim ST, Chen XL, Tomar A, Miller NLG, Yoo J, Schlaepfer DD. Knock-in mutation reveals an essential role for focal adhesion kinase activity in blood vessel morphogenesis and cell motility-polarity but not cell proliferation. J Biol Chem. 2010; 285(28):21526–36. https://doi.org/10.1074/jbc.M110.129999 PMID: 20442405 22. George EL, Georges-Labouesse EN, Patel-King RS, Rayburn H, Hynes RO. Defects in mesoderm, neural tube and vascular development in mouse embryos lacking fibronectin. Development. 1993; 119(4):1079–91. PMID: 8306876 23. Horton ER, Humphries JD, Stutchbury B, Jacquemet G, Ballestrem C, Barry ST, et al. Modulation of FAK and Src adhesion signaling occurs independently of adhesion complex composition. J Cell Biol. 2016; 212(3):349–64. https://doi.org/10.1083/jcb.201508080 PMID: 26833789 24. Dephoure N, Gould KL, Gygi SP, Kellogg DR. Mapping and analysis of phosphorylation sites: a quick guide for cell biologists. Mol Biol Cell. 2013; 24(5):535–42. PLOS ONE | https://doi.org/10.1371/journal.pone.0200558 July 12, 2018 References https://doi.org/10.1091/mbc.E12-09-0677 PMID: 23447708 25. Ceccarelli DF, Song HK, Poy F, Schaller MD, Eck MJ. Crystal structure of the FERM domain of focal adhesion kinase. J Biol Chem. 2006; 281(1):252–9. https://doi.org/10.1074/jbc.M509188200 PMID: 16221668 26. Zhou X, Rowe RG, Hiraoka N, George JP, Wirtz D, Mosher DF, et al. Fibronectin fibrillogenesis regu- lates three-dimensional neovessel formation. Genes Dev. 2008; 22(9):1231–43. https://doi.org/10. 1101/gad.1643308 PMID: 18451110 27. Singh A, Greninger P, Rhodes D, Koopman L, Violette S, Bardeesy N, et al. A gene expression signa- ture associated with "K-Ras addiction" reveals regulators of EMT and tumor cell survival. Cancer Cell. 2009; 15(6):489–500. https://doi.org/10.1016/j.ccr.2009.03.022 PMID: 19477428 28. Ilić D, Kovačič B, Johkura K, Schlaepfer DD, Tomasˇević N, Han Q, et al. FAK promotes organization of fibronectin matrix and fibrillar adhesions. J Cell Sci. 2004; 117(2):177–87. 29. Coolen NA, Schouten KC, Middelkoop E, Ulrich MM. Comparison between human fetal and adult skin. Arch Dermatol Res. 2010; 302(1):47–55. https://doi.org/10.1007/s00403-009-0989-8 PMID: 19701759 30. Lowell CA, Mayadas TN. Overview: studying integrins in vivo. Integrin and Cell Adhesion Molecules: Methods and Protocols. 2012:369–97. 31. Golubovskaya VM. Targeting FAK in human cancer: from finding to first clinical trials. Front Biosci (Landmark Ed). 2014; 19:687. 32. Beggs HE, Schahin-Reed D, Zang K, Goebbels S, Nave K-A, Gorski J, et al. FAK deficiency in cells contributing to the basal lamina results in cortical abnormalities resembling congenital muscular dystro- phies. Neuron. 2003; 40(3):501–14. PMID: 14642275 14 / 14
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Pediatric Blood Cultures and Antibiotic Resistance: An Overview
Indian journal of pediatrics/Indian Journal of Pediatrics
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ERROR: type should be string, got "https://doi.org/10.1007/s12098-019-03123-y\nThe Indian Journal of Pediatrics (February 2020) 87(2):125–131 https://doi.org/10.1007/s12098-019-03123-y\nThe Indian Journal of Pediatrics (February 2020) 87(2):125–131 https://doi.org/10.1007/s12098-019-03123-y\nThe Indian Journal of Pediatrics (February 2020) 87(2):125–131 REVIEW ARTICLE Abstract Bloodstream infections (BSI) due to multidrug-resistant organisms, especially from pediatric intensive care units (PICU), are\nbeing increasingly reported across the world. Since BSI is associated with high mortality, it is essential to treat these infections\nearly with appropriate antibiotics. Surveillance of etiology and emerging antimicrobial resistance (AMR) is considered an\nimportant step in the formulation of antibiotic policy for early treatment and judicious use of antibiotics. In this review on\netiology and its antibiogram in community acquired BSI, S. typhi followed by S. paratyphi A were the major bacterial isolates. Quinolone resistance of more than 90% in Salmonella is now reported from all over India. Ceftriaxone remains the drug of choice\nfor enteric fever due to its 100% susceptibility. In PICU there is an emergence of candidemia due to non-albicans candida which\nare now predominant isolates at few centers. BSI due to gram-negative bacteria, mostly by Klebseilla pneumoniae and gram-\npositive cocci (S. aureus) are the other major pathogens commonly observed in BSI from PICU. There is a high prevalence of\nantimicrobial resistance to commonly used antibiotics like ampicillin (94.9%–90.7%), cefotaxime (92.4%–71.4%), piperacillin-\ntazobactum (31.2%–27.5%) and levofloxacin (42.4%–39.8%). Resistance to carbapenems, primarily due to blaNDM is seen in all\nthe centers and the rate varies between 1%- 79% with K. pneumoniae and A. baumannii showing the maximum resistance. This\nreview highlights the magnitude of the AMR in the pediatric population and calls for the urgent implementation of antimicrobial\nstewardship programs to save the remaining antimicrobials. Keywords Pediatric blood culture . PICU . AMR . Etiology . Surveillance Keywords Pediatric blood culture . PICU . AMR . Etiology . Surveillance Introduction population include immature innate and adaptive immunity\nwhich further affects the severity and duration of infections\n[4, 5]. Infectious Diseases Society of America (IDSA) guide-\nlines on Antimicrobial stewardship program (AMSP) recom-\nmends the provision of institute specific etiology and\nantibiogram for various HAIs for formulating appropriate an-\ntibiotic policy for effective treatment within first few hours to\ndecrease the mortality with BSI [6]. In spite of the above fact,\nthere is scarce data available from India on the etiology of BSI\nand its susceptibility pattern in pediatric population. Multi-drug-resistant (MDR) infections in the pediatric age\ngroup, especially due to gram-negative bacteria (GNB) are\nincreasing world over with higher mortality [1]. Overall mor-\ntality in Indian PICU due to hospital-acquired infections\n(HAIs) has been estimated to be 26%. Bloodstream infections\n(BSI) are considered as the most serious infections in pediatric\nintensive care units (PICU) and carry the highest mortality\nwith an estimated attributable mortality of 3% and crude mor-\ntality of 18% [2, 3]. Many risk factors, especially in PICU, for\nHAIs are common for adults and children which include ex-\nposure to invasive devices including intravascular catheters,\nintubation, hyper-alimentation, and other comorbidities like\nimmune-suppression. Additional risk factors in the pediatric Pediatric Blood Cultures and Antibiotic Resistance: An Overview Chand Wattal1 & Neeraj Goel1 Received: 5 November 2019 /Accepted: 6 November 2019\n# The Author(s) 2019\n/Published online: 21 December 2019 1\nDepartment of Clinical Microbiology & Immunology, Sir Ganga\nRam Hospital, Rajinder Nagar, New Delhi, India * Chand Wattal\nchandwattal@gmail.com Blood Culture Positivity The positivity rate of blood culture in pediatrics from India\nvaries from 7.2% to 88.5% with median of 35.4% [11]. The\nwide variation in the positivity of blood culture can be attrib-\nuted to many variables like the etiology of BSI, prior intake of\nantibiotics, volume and methods of blood culture practices. BSI due to endocarditis, meningitis and septic shock, are as-\nsociated with high organism load as compared to other BSI,\ntherefore such patients have high positivity as compared to\nBSI due to other reasons [12]. S. typhi (6.3%) compared to S. paratyphi A (1.98%) (Fig. 1). MDR in Salmonella is estimated to vary between 1.9% to\n4.1% [20–22]. Multiple reports from all over India have also\nshown improved susceptibility to ampicillin, co-trimoxazole,\nand chloramphenicol (ACCo) [20, 22]. Similarly, at authors’\ncenter too they noted a low ACCo resistance of 2.3% [22]. The decline in the ACCo resistance could be attributed to\nlimited use of these antibiotics due to the availability of better\nalternatives like 3rd generation cephalosporins. On the other\nhand, there has been an increasing trend of resistance to quin-\nolones in Salmonella and now almost 90–100% quinolone\nresistance in S. typhi & Paratyphi A has been reported espe-\ncially after British Society of Antimicrobial & Chemotherapy\n(BSAC) revised its breakpoint guidelines in the year 2011\n[20]. At authors’ center, they have also observed a high resis-\ntance to quinolones (96%) and nil resistance to ceftriaxone in\nthe pediatric population during the years 2014–2018. However, few cases of ceftriaxone resistance have been re-\nported from Bangladesh, Nepal, United Arab Emirates and\nGermany [23–26]; therefore a strict vigilance on the emer-\ngence of ceftriaxone resistance in salmonella needs to be\nmaintained. Azithromycin is recommended as an alternative\ntherapy to ceftriaxone in the case of resistance to quinolones The volume of blood is an important determinant in the\npositivity of blood cultures. Clinical & Laboratory Standard\nInstitute (CLSI) recommends 10 ml (adults) and 3 ml\n(Pediatrics) blood in two sets of two bottles each with one of\nthe bottles in the set as an anerobic one amounting to 40 ml\nblood in adults and 12 ml blood in pediatrics being subjected\nto culture. This can detect 90–95% of bacteremia [13, 14]. Etiology of BSI/Blood Culture Isolates Enteric fever in India affects children and adolescents of al-\nmost all age groups but the highest numbers of cases are\nreported in school going children between 5 and 15 y of age\nfollowed by preschool children (2–5 y) [19]. Enteric fever due\nto S. typhi and Paratyphi A remains the most common cause\nof community-acquired BSI in the pediatric age group at au-\nthors’ hospital (Fig. 1). In a study by Iyer et al., the prevalence of enteric fever at a\npediatric tertiary care hospital from South India during the ten-\nyear study period from 2007 to 2016, was found to be 0.5%\nand 0.1% for S. typhi and S. paratyphi A, respectively [20]. On\nthe other hand, in a systematic review and meta-analysis in\nadults and children in India, a prevalence of 9.7% of S. typhi\nand 0.9% of S. paratyphi A was observed [21]. At authors’\ncenter too they have observed a similar higher prevalence of\nS. typhi (6.3%) compared to S. paratyphi A (1.98%) (Fig. 1). Surveillance of HAIs Therefore as\nof now, we have patchy institution-specific data available for\nassessing the etiology and AMR data. The authors here have\ndone the review of isolates from pediatrics patients from the\nyear 2014 through 2018. This document will review the liter-\nature from other centers from India, as well. In this review,\nonly pediatric blood culture isolates will be discussed, since\nthis is the sample that remains the most sacrosanct among the\nbacteriological samples sent for culture and sensitivity and\nremains most representative of the BSI. central line. This practice also aids in differentiating coagulase\nnegative Staphylococcus (CONS) as colonizers or pathogens\nas per CDC guidelines [17]. Most modern laboratories nowadays utilize automated in-\ncubation and detection system that has higher efficiency and\nlower contamination rate. Most of such automated systems\nhave a shorter incubation time to positivity as compared to\nthe non-automated conventional systems. Addition of resins\nand charcoal help in improving the positivity of blood cultures\nprovided by automated systems by absorbing/neutralizing the\npresence of antibiotics [18]. Surveillance of HAIs Surveillance in a pediatric healthcare facility is usually depen-\ndent on the national, regional or institutional health require-\nments, along with the commitment and resources available. Information technology (IT) support is recognized as an es-\nsential important resource to generate reliable HAI surveil-\nlance data [6]. The patchy data on the incidence of HAIs in\ndeveloping countries is mostly due to lack of national or * Chand Wattal\nchandwattal@gmail.com Indian J Pediatr (February 2020) 87(2):125–131 126 regional AMR surveillance network, compared to the western\ncountries [4]. In India AMR data is plagued by the absence of\nmajor National AMR surveillance network. Earlier initiatives\nincluded Indian Clinical Epidemiological Network (INCLEN)\n& Indian Network for Surveillance of Antimicrobial\nResistance (INSAR) [7, 8]. More recently, the Indian\nCouncil of Medical Research (ICMR) has launched a national\nlevel the Anti-Microbial Resistance Surveillance and\nResearch Network (AMRSN) across the country in 2013 for\ngenerating data on HAIs and AMR, but has not stratified the\ndata as per the age [9]. However, resistance patterns can sig-\nnificantly differ in adults and children [10], therefore this data\ncannot be extrapolated to the pediatric age group. Therefore as\nof now, we have patchy institution-specific data available for\nassessing the etiology and AMR data. The authors here have\ndone the review of isolates from pediatrics patients from the\nyear 2014 through 2018. This document will review the liter-\nature from other centers from India, as well. In this review,\nonly pediatric blood culture isolates will be discussed, since\nthis is the sample that remains the most sacrosanct among the\nbacteriological samples sent for culture and sensitivity and\nremains most representative of the BSI. regional AMR surveillance network, compared to the western\ncountries [4]. In India AMR data is plagued by the absence of\nmajor National AMR surveillance network. Earlier initiatives\nincluded Indian Clinical Epidemiological Network (INCLEN)\n& Indian Network for Surveillance of Antimicrobial\nResistance (INSAR) [7, 8]. More recently, the Indian\nCouncil of Medical Research (ICMR) has launched a national\nlevel the Anti-Microbial Resistance Surveillance and\nResearch Network (AMRSN) across the country in 2013 for\ngenerating data on HAIs and AMR, but has not stratified the\ndata as per the age [9]. However, resistance patterns can sig-\nnificantly differ in adults and children [10], therefore this data\ncannot be extrapolated to the pediatric age group. Blood Culture Positivity Studies suggest that of the multiple 20 ml blood cultures\ndrawn in 24 h in adults, approximately 70% will have positive\ncultures after the first draw, 85% at second and 97% after 3rd\nand 99% after fourth [15, 16]. In-spite of the above CLSI\nguidelines, it is a common practice in India to obtain only\none blood culture bottle (5 ml) for diagnosing BSI. The au-\nthors presume increased cost maybe the hindrance in the im-\nplementation of CLSI guidelines. At authors’ institute, they\nhave the policy to collect at least 1 set of blood cultures (2\nblood cultures bottles of 5 ml each) from 2 different peripheral\nsites and an additional 1 blood culture bottle (5 ml) if there is a 127 Indian J Pediatr (February 2020) 87(2):125–131 Indian J Pediatr (February 2020) 87(2):125–131 0\n50\n100\n150\n200\n250\n300\n350\n400\n358\n132\n112\n15\n14\n13\n11\n10\n45\nSamples: 5634\nIsolates: 710\nFig. 1 Etiology of BSI in\npediatric age group in OPD\nsamples (2014–2018) Fig. 1 Etiology of BSI in\npediatric age group in OPD\nsamples (2014–2018) as per WHO guidelines and the current scarce literature on\nazithromycin shows little resistance to this drug [20, 27]. Therefore, nowadays, ceftriaxone and azithromycin remain\nthe drugs of choice for the empiric treatment of enteric fever\nalthough treatment may be modified based on susceptibility\nreport of the isolates. considered as skin contaminants but can be a cause of BSI in\ncases of indwelling central lines, supported by two positive\ncultures from two different sites accompanied by specific clin-\nical signs and symptoms of BSI [17]. In authors’ case, they did\nnot have adequate data to differentiate between the two. In one\nstudy CONS from a single positive culture are considered as\ncontaminant in 75% to 95% [14]. An important finding in\npresent study was the emergence of Candida spp. as the 2nd\nmost common cause of BSI in PICU. Observed candidemia\nrates in authors’setting were probably due to the greater use of\nbroad-spectrum antibacterial agents, invasive devices, more\nextensive surgical procedures and the use of advanced life\nsupport in various critical and immunosuppressed patients as\nhas been shown in a previous studies [30, 31]. Similar to\nauthors’ findings, HAIs due to Candida spp. are increasingly\nreported worldwide and are considered as major pathogens\namong immunosuppressed and critically ill patients [4, 22,\n29, 31]. Fig. 2 Isolates of BSI in Pediatric\nICU (2014–2018) Blood Culture Positivity The etiology of BSI in PICU has been changing over the\nlast few years of authors’ surveillance. Instead of GNBs being\ncommonly reported as the predominant bacterial isolates in\nmany studies [4, 11, 28], now Candida spp. have become\nthe predominant pathogens in the pediatric ICUs. In a 5 y\nstudy period on the etiology of BSI in PICU at Sir Ganga\nRam Hospital, authors processed 4307 blood samples, out of\nwhich 408 (9.5%) isolates were obtained. CONS (25.5%),\nwere the commonest bacteria isolated, followed by Candida\nspp. (13.5%), Klebseilla pneumoniae (10.8%),\nStaphylococcus aureus (6.4%), Acinetobacter baumannii\n(4.6%), Pseudomonas aeruginosa (18%) and E. coli (15%)\n(Fig. 2). Few other studies have also shown CONS as a com-\nmon organism isolated in BSI [28, 29]. CONS are normally Additionally, there was an emergence of non albicans\ncandidemia at authors’ centre. C. albicans constituted just 0\n20\n40\n60\n80\n100\n120\n104\n55\n44\n26\n19\n18\n18\n15\n15\n13\n11\n70\nSamples:4307\nIsolates: 408\nIsolates\nFig. 2 Isolates of BSI in Pediatric\nICU (2014–2018) Fig. 2 Isolates of BSI in Pediatric\nICU (2014–2018) 128 Indian J Pediatr (February 2020) 87(2):125–131 other predominant isolates in this study [28]. Dharmapalan\net al., reviewed the published data of Indian Neonatal and\npediatric population during 2000–2015 from India. After an\nextensive electronic search, 89 papers were reviewed; this 15-\nyear data reported bacteremia caused by GNB to be around\n53.3% whereas gram-positive organisms caused infection in\n30.9% of the pediatric population [11]. 12.7% of the total candidemia. Most common Candida spp. isolated were Candida tropicalis (38.2%), followed by\nCandida pelliculosa (16.4%) and Candida albicans (12.7%)\n(Fig. 3). Similar to authors’ data, in an another study by\nLakshmi et al., on BSI in PICU, there was a shift to non-\nCandida albicans species with the majority (77.8%) of them\nbeing C. tropicalis [28]. The emergence of non albicans can-\ndida at authors’ centre has been shown to correlate with in-\ncreasing use of fluconazole in authors’ previous study [31]. The data from developing countries is in contrast to the\nwestern countries, where GPCs are the predominant isolates\nfrom nosocomial infections in PICU. In a National Healthcare\nSafety Network (NHSN) by Centers for Disease Control and\nPrevention from 2011 to 2014 in 1003 hospitals, 20,390 pe-\ndiatric HAIs were reported. Blood Culture Positivity Staphylococcus aureus (17%),\nfollowed by CONS (17%), Escherichia coli (11%),\nKlebsiella pneumoniae (9%), and Enterococcus faecalis\n(8%) were the commonest organisms isolated [34]. K. pneumoniae was the commonest GNB isolated; the pos-\nsible source could be respiratory tract infections as it was the\nmost common isolate in pediatric pneumonia in PICU. The\nfinding of S. aureus as the commonest pathogen in gram-\npositive cocci (GPCs) makes empirical treatment of BSI in\npediatric ICU difficult as it would involve treatment against\ncandida, GNBs and GPCs as per the etiology of authors’\nPICU. One important observation in authors’ study was the\npresence of central lines as a major risk factor for candidemia\nin the PICU, and in the absence of central lines, GNB was the\ncommonest bacterial isolate. Fig. 3 Various species of Candida\nisolated in BSI from PICU (2014–\n2018) Emerging Antimicrobial Resistance Table 1\nPercentage susceptibility of GNBs isolated from PICU from blood\nGNBs\nNo. of isolates\nAmpicillin\nCefuroxime\nCeftriaxone\nCeftazidime\nCefepime\nPiperacillin+Tazobactum\nCefoperazone+Sulbactum\nE. coli\n15\n0\n0\n0\n–\n6\n44\n44\nKlebseilla pneumoniae\n44\n3\n5\n7\n–\n16\n27\n33\nPseudomonas aeruginosa\n18\n–\n–\n–\n67\n67\n67\n67\nAcinetobacter baumannii\n19\n–\n0\n5\n–\n16\n16\n17\nEnterobacter spp. 15\n0\n13\n33\n–\n40\n53\n53\nGNBs\nQuinolones\nGentamicin\nAmikacin\nNetilmicin\nErtapenem\nImipenem/\nMeropenem\nColisti\nE. coli\n40\n60\n88\n60\n60\n71\n100\nKlebseilla pneumoniae\n24\n31\n47\n33\n36\n42\n98\nPseudomonas aeruginosa\n64\n67\n67\n69\n–\n73\n100\nAcinetobacter baumannii\n13\n16\n21\n17\n–\n21\n100\nEnterobacter spp. 47\n53\n73\n70\n53\n67\n96 In GNBs, authors’ observed a very low susceptibility of 3rd\ngeneration cephalosporins in GNBs ranging from 7% to 33%\n(Table 1). Such a high level of resistance to cephalosporins\nrenders them ineffective for the empirical treatment of BSIs. Similarly, they observed a low susceptibility to beta lactam-\nbeta lactamase inhibitors (BL-BLI) like piperacillin/\ntazobactum and cefoperazone/sulbactum (16% to 67%) and\nquinolones (13% to 64%). What is most worrisome is that\neven the carbapenems, considered as the last resort drugs,\nshow low susceptibility in A. baumannii (21%),\nK. pneumoniae (42%), while E. coli (71%), and\nP. aeruginosa (67%) had relatively higher susceptibility. Fortunately, the authors have not seen much resistance to co-\nlistin in GNBs except in K. pneumoniae (2%) and\nEnterobacter spp. (4%). Similar to authors’ data, other centers are also reporting\nhigh resistance in GNBs from PICU. Dharmapalan et al., ob-\nserved more than 90% resistance for ampicillin in GNBs,\nwhereas resistance to amikacin ranged from 22.4% to 50%. Similarly, high resistance to cephalosporins of 62.6% in\nK. pneumoniae and 47.5% in E.coli was observed. High rates\nof resistance in the GNBs were also noted for piperacillin-\ntazobactum varying between 16.7% to 42% [11]. Other stud-\nies have also reported high resistance to commonly used first-\nline antibiotics, ampicillin (94.9%–90.6%%), cefotaxime\n(92.4%–71.4%), piperacillin-tazobactum (31.2%–27.5%)\nand levofloxacin (42.4%–39.8%) [35]. Since cephalosporins\nare the first-line antibiotics recommended in India in pediat-\nrics practice for enteric fever, meningitis, and pneumonia [11],\nits high rate of resistance is worrisome on the efficacy of these\nantibiotics. Resistance to carbapenems too is now commonly\nreported from different centers in India. Emerging Antimicrobial Resistance The authors studied the antibiogram of BSI of the important\nbacteria during the last five years at PICU of their tertiary care\ncentre. Methicillin-resistant Staphylococcus aureus (MRSA)\nprevalence of 46% and clindamycin resistance of 23% was\nobserved in 26 isolates of S. aureus. Similar to authors’ data,\nin one of the largest data from Indian Network for\nSurveillance of Antimicrobial Resistance (INSAR) group on\nthe prevalence of MRSA across 15 centres from India in a\nmixed population of pediatrics and adults, an overall MRSA\nprevalence of 41% was found from a total of 26,310 S. aureus\nisolates [8]. Although the majority of the S. aureus isolates\nwere from skin and soft tissue infections followed by BSI. There was significantly higher rates of resistance in MRSA\n(erythromycin: 70.8%, clindamycin: 46.6%, gentamicin:\n58.3%) as compared to methicillin-susceptible\nStaphylococcus aureus (MSSA) (erythromycin: 26.3%, Other studies from Indian PICU have shown higher rates of\nBSI due to GNBs as compared to GPCs and Candida spp. [11,\n29, 32]. In a retrospective study of nosocomial infections in\nPICU between 1994 and 2003, Singhi et al. observed GNB as\nthe predominant isolates, common being Klebsiella\npneumoniae (20.1%) Enterobacter spp. (16.6%) and\nAcinetobacter spp. (8.6%) [32]. In a study by Thacker et al.,\nit was shown that overall enterobacteriaceae isolates consti-\ntuted more than half of the GNBs in pediatric BSI and twice\nthat of Pseudomonas spp. [33]. In another Indian study on 285 children admitted in PICU,\nthe incidence of BSI was observed as 31.2 episodes/ 1000\npatient days with the mean age of BSI as 3.7 ± 3.5 y. GNBs\nwere the major isolates (53.5%) with Klebsiella pneumoniae\nbeing the most prevalent (24.4%), followed by S. aureus\n(20.9%). CONS (8.1%) and Candida spp. (10.5%) were the 0.0\n5.0\n10.0\n15.0\n20.0\n25.0\n30.0\n35.0\n40.0\n38.2\n16.4\n12.7\n5.5\n5.5\n3.6\n3.6\n1.8\n12.7\nCandida spp. (n=55)\n% \nFig. 3 Various species of Candida\nisolated in BSI from PICU (2014–\n2018) Candida spp. (n=55) Indian J Pediatr (February 2020) 87(2):125–131 129 clindamycin: 14.7%, gentamicin: 17.4%). There was no doc-\numented resistance to vancomycin or teicoplanin and linezo-\nlid. High rates of MRSA (50%) among the pediatric popula-\ntion has also been reported from another study as well [11]. Due to the high prevalence of MRSA in PICU, it appears that\nvancomycin should be used for suspected GPC infection\npending susceptibility reports. References 1. Falagas ME, Tansarli GS, Karageorgopoulos DE, Vardakas KZ. Deaths attributable to carbapenem-resistant Enterobacteriaceae in-\nfections. Emerg Infect Dis. 2014;20:1170–5. 2. Gray JW. A 7-year study of bloodstream infections in an English\nchildren's hospital. Eur J Pediatr. 2004;163:530–5. 2. Gray JW. A 7-year study of bloodstream infections in an English\nchildren's hospital. Eur J Pediatr. 2004;163:530–5. 3. Stoll BJ, Hansen N, Fanaroff AA, et al. Late-onset sepsis in very\nlow birth weight neonates: the experience of the NICHD Neonatal\nResearch Network. Pediatrics. 2002;110:285–91. 3. Stoll BJ, Hansen N, Fanaroff AA, et al. Late-onset sepsis in very\nlow birth weight neonates: the experience of the NICHD Neonatal\nResearch Network. Pediatrics. 2002;110:285–91. 4. Posfay-Barbe KM, Zerr DM, Pittet D. Infection control in paediat-\nrics. Lancet Infect Dis. 2008;8:19–31. 4. Posfay-Barbe KM, Zerr DM, Pittet D. Infection control in paediat-\nrics. Lancet Infect Dis. 2008;8:19–31. 5. Wattal C, Oberoi J. Infections in pediatric intensive care units\n(PICU). Indian J Pediatr. 2012;79:647–9. 5. Wattal C, Oberoi J. Infections in pediatric intensive care units\n(PICU). Indian J Pediatr. 2012;79:647–9. Emergence of non-albicans Candida spp. at authors’ center\nhas resulted in increased resistance to the first-line anti-fungal\ndrug, fluconazole. Low fluconazole susceptibility of 90.5% and\n47.6% was noted for C. tropicalis and C. pelliculosa, respec-\ntively from authors’ centre [39]. Even C. albicans which was\nshowing 100% susceptibility to fluconazole in the year 2012 is\nnow showing reduced susceptibility of 88.9% [39]. This re-\nduced susceptibility was partly due to revision in the break\npoints of fluconazole for C. albicans in 2012 [40]. C. auris is\nan emerging multi-drug resistant candida spp. in ICU settings\nand has shown 0%, 7.6% and 7.6%, 79.5% susceptibility to\nfluconazole, amphotericin, voriconazole and caspofungin, re-\nspectively, which make these difficult to treat PDR bugs [39]. 6. Barlam TF, Cosgrove SE, Abbo LM, et al. Implementing an anti-\nbiotic stewardship program: guidelines by the Infectious Diseases\nSociety of America and the Society for Healthcare Epidemiology of\nAmerica. Clin Infect Dis. 2016;62:e51–77. 7. India clen. The INCLEN India Infectious Disease Initiative (IIDI)\nUSAID/ INCLEN Final Report, 2014. Available at: http://www. inclentrust.org/inclen/ uploadedbyfck/file/publication/the%\n20inclen/USAID%20IIDI-final%20version.pdf. Accessed 26\nAugust 2015. 8. Indian Network for Surveillance of Antimicrobial Resistance\n(INSAR) group, India. Methicillin-resistant Staphylococcus aureus\n(MRSA) in India: prevalence & susceptibility pattern. Indian J Med\nRes. 2013;137:363–9. 9. Walia K, Ohri VC, Mathai D. Antimicrobial Stewardship\nProgramme of ICMR. Antimicrobial stewardship programme\n(AMSP) practices in India. Emerging Antimicrobial Resistance In an analysis of 82\npublished literature from different Indian NICU and PICU, a\nmedian carbapenem resistance of 1% in K. pneumoniae, 9% in\nE. coli, 16.7% in P. aeruginosa and 11.5% in A. baumannii\nwas seen [11]. A similar resistance of 11.1% to imipenem was\nseen in enterobacteriaceae from tertiary care centers from\nSouth-India from years 2012 to 2014 [28]. Higher resistance\nto carbapenems in PICU at authors’ centre could be due to the\nfact that it is a tertiary care center where many critical cases are\nreferred with high case mix index (CMI) [36], who are either\nalready colonized with multidrug resistant organisms\n(MDROs) or require higher prescription of antibiotics which\nmay contribute to the emergence of MDROs [37]. There is little data from India on the type of carbapenemase\nprevalence in carbapenem resistant enterobacteriaceae (CRE). There is little data from India on the type of carbapenemase\nprevalence in carbapenem resistant enterobacteriaceae (CRE). 130 Indian J Pediatr (February 2020) 87(2):125–131 approach. Azithromycin can be considered as an alternative to\nceftriaxone while ACCo sensitivity has returned. On the other\nhand, BSI related to Indian PICU is a complex scenario. The\netiology can be ranging from candida to GNBs and GPCs. In\nthe presence of central lines, it would be prudent to give anti-\nfungals empirically for the treatment of BSI, otherwise, treat-\nment with carbapenem or combination of carbapenem and\ncolistin is advisable due to high resistance to the first-line\ntherapy. In the absence of a national network of AMR surveil-\nlance for pediatrics infections, institute specific hospital-based\nsurveillance of AMR is essential for formulating antibiotic\npolicy for the judicious use of the antibiotics. The authors could only find one study from South India,\nVellore on the type of carbapenemases in BSI from PICU. In\nthis study bla NDM (72.7%) was shown to be the predominant\nplasmid in CRE, followed by bla OXA (9.1%), and a combina-\ntion of bla NDM/bla OXA (9.1%) [37]. Therefore, bla KPC has\ngot replaced by the above two plasmids. The treatment of BSI\nwith CRE is challenging as it is accompanied by up to 90%\nresistance to other drugs like amikacin [37]. Often, colistin is\nused as the last resort drug to treat CRE infections. But this is\nfurther complicated by the lack of robust data on\npharmacokinetics/pharmacodynamics of this drug. Conflict of interest\nNone. Conflict of interest\nNone. Open Access This article is distributed under the terms of the Creative\nCommons Attribution 4.0 International License (http://\ncreativecommons.org/licenses/by/4.0/), which permits unrestricted use,\ndistribution, and reproduction in any medium, provided you give appro-\npriate credit to the original author(s) and the source, provide a link to the\nCreative Commons license, and indicate if changes were made. Emerging Antimicrobial Resistance Further,\nquestions on the efficacy of colistin monotherapy or combi-\nnation therapy are still not resolved. Therefore clinicians are\nforced to often use unproven therapies, including colistin, in\ncases of CRE which is associated with high mortality of up to\n52% [37]. Expectedly, the rampant use of colistin has led to\nthe emergence of its resistance in GNBs. A median resistance\nto colistin resistance from different pediatric centers across\nIndia has been shown to be as: E.coli (8.8%),\nK. pneumoniae (3.8%), A. baumaanii (0%), and\nP. aeruginosa (0%) [11]. Similarly, in adult ICUs at authors’\nhospital, they observed colistin resistance only in\nK. pneumoniae BSI, albeit at a much higher rate of 17%\n[22]; therefore it remains a grave concern for its potential\nspread to PICU too. The recent increase in the resistance to\ncolistin in GNBs across the world has been associated with the\nemergence of plasmid-mediated gene mcr-1 in the year 2016\n[38]. Colistin resistance was previously associated with only\nchromosomal mutations but now it is feared that mcr-1 may\nemulate NDM-1 in its rapid global widespread. Colistin resis-\ntance in GNBs has resulted in the emergence of pan drug-\nresistant (PDR) bugs with no antibiotics left for the treatment. Although not so common in PICUs, PDR bugs are now a\ncommon scenario in adult ICUs [22]. Therefore it would be\nprudent to implement AMSP on an urgent basis in the PICUs\nto salvage whatever little is left of the remaining antibiotics. References Indian J Med Res. 2015;142:130–8. To conclude, this review of BSI in the Indian pediatric\npopulation highlights that Salmonella continues to be the ma-\njor etiology of community-acquired BSI. In such cases, em-\npirical treatment with ceftriaxone remains the most pragmatic To conclude, this review of BSI in the Indian pediatric\npopulation highlights that Salmonella continues to be the ma-\njor etiology of community-acquired BSI. In such cases, em-\npirical treatment with ceftriaxone remains the most pragmatic 10. Bielicki JA, Lundin R, Sharland M. Antibiotic resistance preva-\nlence in routine bloodstream isolates from children’s hospitals\nvaries substantially from adult surveillance data in Europe. Pediatr\nInfect Dis J. 2015;34:734–41. 131 Indian J Pediatr (February 2020) 87(2):125–131 26. Pfeifer Y, Matten J, Rabsch W. Salmonella enterica serovar Typhi\nwith CTX-M beta-lactamase, Germany. Emerg Infect Dis. 2009;15:\n1533–5. 11. Dharmapalan D, Shet A, Yewale V, Sharland M. High reported rates\nof antimicrobial resistance in Indian neonatal and pediatric blood\nstream infections. J Pediatric Infect Dis Soc. 2017;6:e62–8. 27. World Health Organization. Guidelines for the Management of\nTyphoid Fever. Availaible at: http://apps.who.int/medicinedocs/\ndocuments/s20994en/s20994en.pdf. Accessed 8 August 2019. 12. Perl B, Gottehrer NP, Raveh D, Schlesinger Y, Rudensky B, Yinnon\nAM. Cost-effectiveness of blood cultures for adult patients with\ncellulitis. Clin Infect Dis. 1999;29:1483–8. 13. Son JS, Song JH, Ko KS, et al. Bloodstream infections and clinical\nsignificance of healthcare-associated bacteremia: a multicenter sur-\nveillance study in Korean hospitals. J Korean Med Sci. 2010;25:\n992–8. 28. Lakshmi KS, Jayashree M, Singhi S, Ray P. Study of nosocomial\nprimary bloodstream infections in a pediatric intensive care unit. J\nTrop Pediatr. 2007;53:87–92. 29. Wattal C, Raveendran R, Goel N, Oberoi JK, Rao BK. Ecology of\nblood stream infection and antibiotic resistance in intensive care\nunit at a tertiary care hospital in North India. Braz J Infect Dis. 2014;18:245–51. 14. Weinstein MP, Reller LB, Murphy JR, Lichtenstein KA. The clin-\nical significance of positive blood cultures: a comprehensive anal-\nysis of 500 episodes of bacteremia and fungemia in adults. I. Laboratory and epidemiologic observations. Rev Infect Dis. 1983;5:35–53. 30. Agrawal C, Biswas D, Gupta A, Chauhan BS. Antibiotic overuse as\na risk factor for candidemia in an Indian pediatric ICU. Indian J\nPediatr. 2015;82:530–6. 15. Lee A, Mirrett S, Reller LB, Weinstein MP. Detection of blood-\nstream infections in adults: how many blood cultures are needed? J Clin Microbiol. 2007;45:3546–8. 31. References Oberoi JK, Wattal C, Goel N, Raveendran R, Datta S, Prasad K. Non-albicans candida species in blood stream infections in a tertiary\ncare hospital at New Delhi, India. Indian J Med Res. 2012;136:997–\n1003. 16. Cockerill FR 3rd, Wilson JW, Vetter EA, et al. Optimal testing\nparameters for blood cultures. Clin Infect Dis. 2004;38:1724–30. 32. Singhi S, Ray P, Mathew JL, Jayashree M, Dhanalakshmi. Nosocomial bloodstream infection in a pediatric intensive care unit. Indian J Pediatr. 2008;75:25–30. 17. Centers for Disease Control and Prevention Bloodstream Infection\nEvent (Central Line-Associated Bloodstream Infection and Non-\ncentral Line Associated Bloodstream Infection). Available at:\nhttps://www.cdc.gov/nhsn/pdfs/pscmanual/4psc_clabscurrent.pdf. Accessed 15 August 2019 33. Thacker N, Pereira N, Banavali SD, et al. Epidemiology of blood-\nstream infections in pediatric patients at a tertiary care cancer centre. Indian J Cancer. 2014;51:438–41. 18. Reimer LG, Wilson ML, Weinstein MP. Update on detection of\nbacteremia and fungemia. Clin Microbiol Rev. 1997;10:444–65. 34. Lake JG, Weiner LM, Milstone AM, Saiman L, Magill SS, See I. Pathogen distribution and antimicrobial resistance among\npediatrichealthcare-associated infections reported to the National\nHealthcare Safety Network, 2011–2014. Infect Control Hosp\nEpidemiol. 2018;39:1–11. 19. Ochiai RL, Acosta CJ, Danovaro-Holliday MC, et al; Domi\nTyphoid Study Group. A study of typhoid fever in five Asian coun-\ntries: disease burden and implications for controls. Bull World\nHealth Organ. 2008;86:260–8. 35. Sekar R, Mythreyee M, Srivani S, Sivakumaran D, Lallitha S,\nSaranya S. Carbapenem-resistant enterobacteriaceae in pediatric\nbloodstream infections in rural southern India. Indian Pediatr. 2017;54:1021–4. 20. Iyer RN, Jangam RR, Jacinth A, Venkatalakshmi A, Nahdi FB. Prevalence and trends in the antimicrobial susceptibility pattern of\nSalmonella enterica serovars typhi and paratyphi A among children\nin a pediatric tertiary care hospital in South India over a period of\nten years: a retrospective study. Eur J Clin Microbiol Infect Dis. 2017;36:2399–404. 36. Kuster SP, Ruef C, Bollinger AK, et al. Correlation between case\nmix index and antibiotic use in hospitals. J Antimicrob Chemother. 2008;62:837–42. 21. John J, Van Aart CJ, Grassly NC. The burden of typhoid and para-\ntyphoid in India: systematic review and meta-analysis. PLoS Negl\nTrop Dis. 2016;10:e0004616. 37. Nabarro LEB, Shankar C, Pragasam AK, et al. Clinical and bacte-\nrial risk factors for mortality in children with carbapenem-resistant\nenterobacteriaceae bloodstream infections in India. Pediatr Infect\nDis J. 2017;36:e161–6. 22. Sir Ganga Ram Hospital, July 2019. Microbiology newsletter. Available at: https://www.sgrh.com/publications. Accessed 15\nAugust 2019. 38. Publisher’s Note Springer Nature remains neutral with regard to jurisdic-\ntional claims in published maps and institutional affiliations. References Liu YY, Wang Y, Walsh TR, et al. Emergence of plasmid-mediated\ncolistin resistance mechanism MCR-1 in animals and human beings\nin China: a microbiological and molecular biological study. Lancet\nInfect Dis. 2016;16:161–8. 23. Ahmed D, Hoque A, Mazumder R, et al. Salmonella enterica\nserovar Typhi strain producing extended-spectrum β-lactamases\nin Dhaka, Bangladesh. J Med Microbiol. 2012;61:1032–3. 39. Sir Ganga Ram Hospital, November 2018. Microbiology\nNewsletter. Available at:\nhttps://www.sgrh.com/publications. Accessed 15 August 2019. 24. Pokharel BM, Koirala J, Dahal RK, Mishra SK, Khadga PK,\nTuladhar NR. Multidrug-resistant and extended-spectrum beta-\nlactamase (ESBL)-producing Salmonella enterica (serotypes\nTyphi and Paratyphi A) from blood isolates in Nepal: surveillance\nof resistance and a search for newer alternatives. Int J Infect Dis. 2006;10:434–8. 40. Clinical and Laboratory Standards Institute (CLSI). Reference\nmethod for broth dilution antifungal susceptibility testing of yeasts;\nFourth Informational Supplement. CLSI document M27-S4. Wayne, PA: CLSI; 2012. 25. Rotimi VO, Jamal W, Pal T, Sovenned A, Albert MJ. Emergence of\nCTX-M-15 type extended-spectrum beta-lactamase-producing\nSalmonella spp. in Kuwait and the United Arab Emirates. J Med\nMicrobiol. 2008;57:881–6. Publisher’s Note Springer Nature remains neutral with regard to jurisdic-\ntional claims in published maps and institutional affiliations."
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Evaluating the Performance of Tissue Containment Systems: Mechanical and Leakage Integrity Testing Considerations
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Evaluating the Performance of Tissue Containment Systems: Mechanical and Leakage Integrity Testing Considerations Alexander Herman  US FDA: US Food and Drug Administration Nandini Duraiswamy  US FDA: US Food and Drug Administration Poulomi Nandy  US FDA: US Food and Drug Administration Veronica Price  US FDA: US Food and Drug Administration George Gibeily  US FDA: US Food and Drug Administration Prasanna Hariharan  (  harihapa@gmail.com ) US FDA: US Food and Drug Administration Keywords: License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Page 1/29 Page 1/29 Page 1/29 Page 1/29 Results: The performance of the TCSs varied significantly between different brands. The leakage pressure of the TCS varied between 26 mmHg and >1293 mmHg for the 7 TCS brands. Similarly, the tensile force to failure, burst pressure, and puncture force varied between 14 MPa and 80 MPa, 2.5 and 78 psi, and 2.5 N and 45 N, respectively. The mechanical failure and leakage performance of the TCS were different for homogeneous and composite TCSs. Background: Tissue containment systems (TCS) are medical devices that may be used during morcellation procedures during minimally invasive laparoscopic surgery. TCS are not new devices but their use as a potential mitigation for the spread of occult malignancy during laparoscopic power morcellation of fibroids and/or the uterus has been the subject of interest following reports of upstaging of previously undetected sarcoma in women who underwent a laparoscopic hysterectomy. Development of standardized test methods and acceptance criteria to evaluate the safety and performance of these devices will speed development, allowing for more devices to benefit patients. Methods: As a part of this study, a series of preclinical experimental bench test methods were developed to evaluate the mechanical and leakage performance of TCS that may be used in power morcellation procedures. Experimental tests were developed to evaluate mechanical integrity, e.g., tensile, burst, puncture, and penetration strengths for the TCS, and leakage integrity, e.g., dye and microbiological leakage (both acting as surrogates for blood and cancer cells) through the TCS. In addition, to evaluate both mechanical integrity and leakage integrity as a combined methodology, partial puncture and dye leakage was conducted on the TCS to evaluate the potential for leakage due to partial damage caused by surgical tools. Samples from 7 different TCSs) were subjected to preclinical bench testing to evaluate leakage and mechanical performance. Introduction Laparoscopic power morcellators are medical devices used during minimally invasive hysterectomy and myomectomy procedures to facilitate the removal of uterine fibroids and/or uterine tissue and continue to carry the advantages of lower complication rates and quicker recovery times as compared to open procedures [1–3]. FDA issued a series of safety communications since 2014, highlighting the risk of unidentified uterine malignancy spreading to other organs during an uncontained power morcellation procedure [4, 5]. Subsequently, to minimize the risk of spreading the cancerous cells during power morcellation, some studies have suggested the use of a tissue containment system (TCS) in patients [6– 11], which surrounds the power morcellator and the tissue to be excised and forms a barrier between them and the abdomen. As of April, 2022, the FDA has authorized marketing of two TCSs that are indicated for power morcellation for select patient populations through the De Novo classification process [12–14] and one TCS via 510(k) process [15]. The TCSs typically made from polymer-based materials help to contain and prevent penetration of tissue cells through the containment system wall. Several clinical studies have evaluated the integrity and applicability of these containment systems during clinical procedures [7, 10, 11, 16–32]. Some of these studies have reported evidence for damage and/or leakage (or spillage) during surgery [16, 20, 21, 24, 26, 27, 29, 30]. The potential causes for containment system failures include, but are not limited to, permeable containment system material, puncture by surgical instrument, tear due to excessive pressure, etc. Mechanical and leakage integrity of the TCS material is critical to ensure that the TCS maintains its barrier properties throughout the surgical procedure. The publicly available summaries for the FDA-authorized [15, 33, 34] devices provide high level information about the type of mechanical and leakage integrity tests that were performed on the tissue containment system [33]. Full containment system immersion testing was done post-morcellation to ensure that the containment system remained intact and leak-proof after the surgical procedure. For establishing mechanical integrity, puncture and burst tests were performed to evaluate the forces required to cause physical damage to the containment system material during the surgical procedure. However, limited details about the test methodology, acceptance criteria, and test results were provided in the summaries. Apart from the De Novo and 510(k) summaries, few research studies have provided details about performance testing of tissue containment systems. For example, Anapolski et al. Conclusions: Test methods have been developed to evaluate the mechanical and leakage performance of TCS. These test methods may facilitate the development and regulatory review of these devices, may help compare TCS performance between devices, and increase provider and patient accessibility to improved tissue containment technologies. Page 2/29 Introduction [35] developed a performance test method to measure the exertion force required to pull TCS from various sized incision ports ranging from 10 mm to 24 mm in diameter. Their results showed that the mechanical integrity was compromised for incision sizes less than 16 mm. Cohen et al. [36] evaluated the leakage integrity of various containment systems by morcellating beef tongue stained with dye within a laparoscopic trainer. A visual evaluation was used to locate spilling and leakage of dye through the containment system’s material. Blue dye spill was noted in only one of 12 contained tissue extraction trials. Spillage was visualized from a seam in one of the 4 stitch–sealed rip-stop nylon containment systems before Page 3/29 Page 3/29 morcellation of the specimen. Similarly, Solima et al. [29] performed visual examination of the containment system post-morcellation and used spillage of methylene blue as indicator for leakage. Rimbach et al. [37] evaluated the presence of smooth muscle cells (from beef tongue) from washings in the peritoneal cavity as a measure for the containment system’s leakage integrity. In general, clinical studies used visual examination and dye spillage or peritoneal cavity washings as a measure for evaluating leakage integrity of the containment system. Van Den Haak et al. [38] performed a Failure Mode and Effective Analysis (FMEA) for contained morcellation and identified ten causes most likely to cause spillage. Of them, two of the causes were TCS material related and could be eliminated by appropriate testing of the TCS materials. A priori systematic study of the integrity of the containment system is critical and fundamental to ensuring the device performs as intended and provides a mitigation for tissue spread during power morcellation procedures. There is a need for developing i) a list of potential test methods for safety and performance evaluation, ii) detailed description of the test methodologies, and iii) appropriate acceptance criteria, if any, for those test methods. The objective of this study is to address these unmet needs by developing a series of preclinical test methods that will assess the mechanical and leakage integrity of the containment system material to mitigate the risk of spillage. The scope of this paper is limited to discussing the mechanical and leakage integrity of the TCS material and not the whole TCS as a device. Henceforth, any reference to TCS in this paper relates only to the TCS material and not the whole device. Introduction To evaluate the mechanical integrity, test-to failure experiments were conducted with the containment systems to evaluate the tensile, burst, and puncture strength of the TCS materials. Similarly, to evaluate the leakage integrity, test-to-failure experiments using dye and bacteriophage as cancer cell surrogates were designed to measure the maximum pressure when the TCS material may leak. Subsequently, materials from different TCS brands were evaluated using these test methods and assessed for correlation between leakage potential and physical characteristics and mechanical strength of the specific TCSs. The novelty of this study is that performance metrics have been compared from each test and correlated with the results of other tests to evaluate TCS material performance as a whole. Based on the test results, several considerations for assessing performance of TCS material during power morcellation are provided. Materials A total of seven different brands of TCSs were evaluated experimentally using the test methods described below in Experimental Methods. Summary of the containment systems (with manufacturer information blinded) with material, and thickness details can be found in Table 1. These TCSs are typically made of from either a homogeneous material such as polyurethane (PU) or from a combination of different Page 4/29 materials such as rip-stock nylon and PU. Six of the TCSs chosen for testing were described in the literature for clinical use in insufflated contained tissue extractions. The seventh TCS, TC#7, is the only brand in the test samples that was authorized for marketing by FDA as a gynecologic laparoscopic power morcellation containment system. Table 1 Summary of the different TCSs used in our experiments Label Material TCS Type Total Thickness (mm) Thickness of Individual Layers (mm) Nylon Polymer TC#1 Nylon/PU Composite 0.141 ± 0.007 0.075 ± 0.015 0.066 ± 0.013 TC#2 Nylon/PU Composite 0.128 ± 0.002 0.053 ± 0.01 0.075 ± 0.01 TC#3 Nylon/PU Composite 0.086 ± 0.001 0.055 ± 0.012 0.03 ± 0.012 TC#4 Proprietary Homogeneous 0.043 ± 0.001 N/A 0.043 ± 0.001 TC#5 PU Homogeneous 0.108 ± 0.001 N/A 0.108 ± 0.001 TC#6 PU Homogeneous 0.165 ± 0.005 N/A 0.165 ± 0.005 TC#7 PU Homogeneous 0.041 ± 0.004 N/A 0.041 ± 0.004 Table 1 Experimental Methods This study did not necessitate IRB approval Since no in-vivo or clinical data was taken. Table 2 lists the test methods that were developed to evaluate mechanical strength and leakage potential of the TCS materials, and to correlate leakage potential with physical characteristics and mechanical strength of the specific TCS materials. The measurement metrics and rationale for these test methods are also provided in Table 2. Page 5/29 Page 5/29 Table 2 Table 2 Summary of preclinical test methods for TCSs Table 2 Summary of preclinical test methods for TCSs Evaluation Type Preclinical Testing Outcome/Metric Rationale Physical Characteristics Evaluation • Material thickness measurement • Material thickness of different layers To evaluate design requirements for the TCS material through physical characteristics such as thickness and material composition • Material homogeneity observations • Material structure, morphology, and defects Mechanical Strength Evaluation • Tensile testing • Ultimate tensile strength • Toughness To evaluate strength of the containment system when subjected to tensile, radial, and puncture forces. • Burst testing • Burst pressure • Puncture testing • Full puncture force Leakage Integrity (or Material Impermeability) Evaluation • Dye penetration testing • Leakage pressure To understand the ability of the TCS material to remain impermeable under clinically relevant forces • Microbiological penetration testing • Validation of dye penetration testing • Dye penetration testing after partial puncture. • Minimum puncture force that caused leakage without puncturing the bag (i.e., partial TCS damage) Evaluating the physical characteristics of the TCS material is critical to ensure that they meet the design requirements set forth by the manufacturers. Mechanical strength evaluation is critical to ensure that the material strength of the TCS is not compromised when they are subjected to tensile, radial, and puncture forces arising during the morcellation clinical procedure. Leakage integrity evaluation is critical to ensure that the TCS material, when subjected to clinically relevant forces, can still act as an effective barrier against penetration of tissue, blood and cancer cells. As part of this testing, leakage pressure of the TCS materials were obtained and compared to the pressures experienced during the power morcellation procedure. In addition, the resistance of the device to leakage may be related to its mechanical strength, the material composition, and the thickness. Tensile Testing The materials testing machine (Instron Tabletop Model 33R4465 & 3300 Controller, Instron Corp., Canton, MA) shown in Fig. 1 was used for performing tensile testing and the force-displacement data collected was used for assessing the stress versus crosshead strain relationship, and estimating the ultimate tensile strength (UTS) and toughness of the TCS materials for all seven brands. TCS specimens were cut with the D412 dog-bone shaped die (Type C − 25 mm x 115 mm), mounted on the tensile testing equipment and elongated at 50 mm/min [39] until the specimen failed. The mean thickness of each specimen was measured at 3 different places and mean thickness along with the sample width was used for calculating stress. From the stress-strain curve, quantities of interest such as the yield strength (stress at the end of the elastic behavior), UTS (stress at break), and toughness (total area under the stress-strain curve) of each TCS material were estimated. Experimental Methods For each TCS brand, a total of three specimens, each from different samples, were tested to obtain the mean and standard deviation for all quantities of interest for physical characteristics and mechanical Page 6/29 strength evaluations as defined in Table 2. Physical Characteristics Evaluation The containment system material’s thickness was measured using a micrometer (Mitutoyo, Model 293- 344-30) which had a minimum resolution of 0.001 mm. The thickness measurements were repeated 5 times at different locations on cut specimens to obtain a mean and standard deviation for each containment system (Table 1). High resolution microscopy was performed with a scanning electron microscope (SEM, Jeol JSM-6390, Jeol USA Inc, Peabody, MA) to evaluate the structure and morphology of all TCSs by observing the inside and outer surfaces, and the cross-section of the TCS material. The fresh TCS specimens were sputter-coated with gold and examined for differences in morphology (e.g., the nylon and the polymer sides of a non-homogeneous tissue containment system) at high vacuum conditions with magnifications ranging from 30x to 800x. In addition to evaluating the structure and morphology of the containment system, the SEM images were also used to obtain thickness measurements of the different layers for composite/non-homogeneous containment systems and to verify thickness measurements made using the calipers for homogeneous containment systems. Burst Testing A small square coupon (108 mm length) cut out from TCS was used as a test specimen, attached to a circular specimen holder with an internal diameter of 57.3 mm using four screws and connected to an air- pressure chamber [40–42] (Fig. 2) for burst testing. The test specimen was constrained to allow radially outward expansion (Fig. 2). Compressed air flow into the chamber was controlled with a mass flow controller (Alicat Scientific, MC-20SLPM, Tucson, AZ) and set to allow air into the chamber at a rate of 2 CC/s with the pressure and flow rate being continuously recorded during the test. From the pressure-time Page 7/29 Page 7/29 relationship, the burst pressure was estimated at the time point where the pressure dropped drastically to atmospheric value. Puncture Testing The resistance to puncture for each containment system was obtained by measuring the force required to cause a standardized puncture pin to completely penetrate through the thickness of the specimen [43]. A small square coupon (108 mm length) was cut from the TCS and was used as a test specimen sandwiched to a circular specimen holder with an internal test diameter of 25 mm using four screws. The specimen holder was attached to the lower end of the Tabletop Instron (same as above in Mechanical Strength Evaluation - Tensile Testing). One of the two standard durometers pins, Type OO and Type D [44] of tip radius 1.19 mm and 0.1 mm (Fig. 3) respectively, were attached to the load cell located on the upper end of the load machine (Fig. 4). The pin moved uniformly downwards with a speed of 25 mm/s until it punctured through the thickness of the containment system while the force-displacement data was recorded. The threshold force at which the pin traversed through the full thickness of the TCS (i.e., fully punctured) was called the full-puncture force (Fpuncture). Dye Penetration and Microbiological Penet Dye penetration testing was performed using an ISO blood surrogate dye for determining leakage potential in terms of leakage pressure of different TCS brands (using a minimum of 6 specimens sandwiched in a chamber as shown in Fig. 5). For procedural details on dye penetration testing, please see Herman et al [45]. The sensitivity of the dye test method was validated using microbiological penetration testing. Microbiological penetration testing was performed using Bacteriophage Φ-X174 (ATCC 13706-B1) as a surrogate for detecting blood/tissue cell leakage based on its small size, spherical morphology, environmental stability, non − human infectivity, and rapid assay [40]. All experiments were repeated in triplicate. For a test sample to “pass”, all three plates from three specimens should be negative for the presence of plaques which indicates the penetration of the viral surrogate through TCS. ye Penetration Testing after partial puncture A combination of partial puncture followed by dye penetration testing was performed to estimate the tool pressure required to cause partial damage to the TCS material but significant enough to cause leakage of the contents. The test setup for puncture and dye penetration testing are the same as shown in Figs. 4 and 5 respectively. The sandwich plate with a circular specimen of diameter of 50 mm (Fig. 6) was designed to be compatible with both the puncture testing rig first and then the dye penetration testing apparatus. Physical Characteristics Evaluation Thickness of the TCSs varied widely between different brands and ranged from 0.04 mm to 0.165 mm (Table 1). The composite TCSs presented two distinct layers, Nylon and PU, and contained thinner PU layer compared to other homogeneous TCS. The SEM images showed no differences in the material homogeneity and composition for the homogenous TCSs (Fig. 8). Of all the composite TCSs, TC#3 contained several manufacturing defects/voids in the polymer layer and at the intersection of polymer and nylon fabric. A planer view of TC#3 (Fig. 9) shows that the polymer side was either very thin or completely missing at some locations. Additional details about the SEM data on different TCSs are presented in Herman et al. [45]. Page 8/29 Page 8/29 The flow chart outlining the partial puncture study is provided in Fig. 7. After attaching to the puncture testing rig, the TCS specimen was subjected to a force of up to 50% of the full puncture force (0.5×Fpuncture) using the Type D durometer pin as shown in Fig. 3. Subsequently, the specimen was detached from the puncture testing rig and attached to the dye penetration testing apparatus. The TCS specimen was then exposed to a pressure of 2 psi for 1 minute. Although, the insufflation pressure during power morcellation can be up to 0.5 psi, the net instantaneous pressure experienced during the procedure when power morcellation forces are included is of the same order as 2 psi [45]. If the TCS specimen passed the dye penetration test and deemed to be leak-proof after partial puncture (with 0.5×Fpuncture), the combination of partial puncture followed by dye penetration testing was repeated for incrementally higher partial puncture forces (at 5% increment) until all the TCS samples of the same brand leaked. However, if the TCS materials leaked at 0.5×Fpuncture, the combination test was repeated at 0.1×Fpuncture and incrementally increased by 5% until TCS samples showed evidence of leak. The force at which the TCS specimen showed first sign of leakage is referred to as the threshold partial puncture force causing leakage (Fleak−puncture). Tensile Strength The stress-strain relationship obtained from tensile testing varied widely between different TCS materials (Fig. 10). All the homogeneous polymer TCS materials (TC#4–7) can withstand larger amount of strain, up to 400%, when compared to the composite TCSs (TC#1–3) which withstood strain values less than 50%. Other metrics for characterizing mechanical strength such as ultimate tensile strength (UTS) and toughness are listed in Table 3. UTS refers to the maximum stress the TCS material can withstand prior to failure while subjected to tensile loading. Toughness measures the ability of a material to absorb Page 9/29 Page 9/29 energy and plastically deform prior to failure. Depending upon the TCS material, the UTS values varied between 14 MPa and 80 MPa. No correlation was found between the specific type (composite vs homogeneous) of TCS material and the UTS. All composite TCS materials had lower toughness values (<  10 MPa) compared to the homogenous ones (up to 146 MPa). In comparison to TC#7, UTS was higher for TC#2, 3, 5, and 6. Similarly, the toughness was more for TC#5 and 6 than for TC#7. Several other metrics such as yield strength and elastic slope were found to be less useful in differentiating mechanical strength of TCS materials. Table 3 Mechanical strength characterization metrics (average and standard deviation) from tensile and burst testing of different TCS materials. Label TCS Type UTS (MPa) Toughness (MPa) Max Burst Pressure (psi) TC#1 Composite 42.697 ± 1.446 8.649 ± 4.339 65.19 ± 2.02 TC#2 Composite 67.303 ± 3.627 9.736 ± 1.384 62.50 ± 0.62 TC#3 Composite 70.122 ± 9.654 6.472 ± 0.947 77.53 ± 0.67 TC#4 Homogeneous 14.341 ± 5.844 31.968 ± 4.294 2.18 ± 0.05 TC#5 Homogeneous 67.502 ± 2.546 127.556 ± 5.465 9.44 ± 0.37 TC#6 Homogeneous 79.173 ± 2.417 145.481 ± 5.169 14.67 ± 0.51 TC#7 Homogeneous 64.082 ± 16.335 97.136 ± 20.293 4.45 ± 0.16 Burst Testing The pressure rise response to radial loading was distinctly different for homogeneous and composite TCS materials (Fig. 11). For the composite TCS materials, the pressure inside the TCS steadily increased with time until it reached the point of full burst. However, for homogeneous TCS materials, the pressure steadily increased with time up to the yield point (of elastic expansion) for the TCS material. Subsequently, the TCS volume increased at a faster rate (i.e., plastic deformation) causing the TCS pressure to either stabilize or drop slightly depending upon the TCS material and thickness. Similar to the UTS and toughness values, the burst pressure (Pburst) values varied widely between the TCS materials and ranged from 2 psi to 78 psi (see Table 3). Burst pressure refers to the maximum radial stress the TCS material can withstand prior to failure. All the homogeneous TCS materials had lower Pburst values (< 15 psi) compared to composite ones (up to 78 psi). In comparison to TC#7, burst pressure was higher for TC#1, 2, 3, 5, and 6. Page 10/29 Puncture Testing Figure 12 shows the force exerted by the durometer pin (D) on homogeneous and composite TCS materials as the pin is pushed through them. For the homogeneous TCS materials (Fig. 12a), once the pin contacts the TCS, the force increases with time until the pin’s tip punctures the TCS. This force at which the pin’s tip pierces the TCS is determined to be the puncture force (Fpuncture). After puncturing the TCS, the force drops suddenly as the pin’s tip is no longer in contact with the TCS. As the pin displaces further at a uniform speed, the tapered part of the pin’s tip contacts the TCS causing the tool force to increase with the displacement of the pin. The force keeps increasing until the distal part of the pin geometry penetrates completely through the TCS material, however, the forces post Fpuncture were not considered for further analysis. Instead of a single spike in the force curve seen for the homogeneous TCSs (Fig. 12a), the composite TCS materials show two small spikes representing penetration through the individual layers in the composite containment system (inset in Fig. 12b). The first spike occurs when the pin’s tip punctures through the thin polymer layer like the homogenous TCSs. The second spike occurs when the pin’s tip punctures through the Nylon fabric. The force at which the pin’s tip pierces both layers of the TCS specimen is determined to be the puncture force (Fpuncture) for composite TCS materials. Figure 13 shows the puncture force for all TCS brands obtained for Type OO and D durometer pins. Fpuncture was an order of magnitude more for Type OO blunt pin compared to Type D sharp pin. Fpuncture was higher for composite TCS materials (40 N − 45 N) compared to homogeneous TCSs (2.5 N – 35 N) for Type OO blunt pin. Same observation was made for Type D sharp pin (4–7 N vs. 0.5-4 N for composite vs. homogeneous TCS materials respectively). For the homogeneous TCSs made of the same material (PU), the Fpuncture increased proportionately with the TCS thickness. In comparison to TC#7, the force at puncture for both types of pins were higher for all other TCSs except TC#4. Dye Penetration Testing after Partial Puncture For the composite TCS materials, the Fleak−puncture, which is the force at which the TCS specimen was partially damaged (and not fully punctured) and caused leakage of its content, was significantly lower in comparison to Fpuncture values (Fig. 14). TC#1 and TC#2 started leaking once the pin force was 35% and 90% of Fpuncture, respectively. TC#3 leaked without applying any puncture force and Fleak−puncture was assigned to be 0%. For homogeneous TCS specimens, since the TCS material contained only the polymer layer, the Fpuncture and Fleak−puncture was assumed to be the same (i.e., the TCS material leaks only when the polymer layer is fully punctured. To confirm this, partial puncture testing followed by dye penetration testing was performed for up to 85% of Fpuncture for TC#7, and no leaks were observed. In comparison to TC#7, Fleak−puncture was higher for all other TCS materials except TC#4. Dye Penetration and Microbiological Penetration Testing The dye and microbiological penetration in different TCS materials were reported previously in Herman et al. [45]. In summary, when exposed to an external pressure of 2 psi, all the TCS materials except TC#3 remained leak proof during both dye and microbiological penetration testing. For TC#3, ~ 89% and ~ 58% of the tested TCS specimens failed (i.e., leaked) the dye and microbiological penetration testing, respectively. Unlike the mechanical testing results, no clear trend was observed for the leakage potential (with leakage pressures Pleakage) performed previously when comparing the homogeneous and composite TCSs (Table 4). Of all the tested TCS brands, only TC#3, which is a composite TCS, leaked at 2 psi. Other composite TCSs like TC#1 and 2 did not leak at 2 psi. On the contrary, none of the homogeneous TCSs exhibited Page 11/29 Page 11/29 Page 11/29 leakage at 2 psi. In comparison to TC#7, Pleakage was higher for all other TCS specimens except TC#3 and TC#4. Table 4 Leakage potential (negative or positive) at 2 psi obtained from both dye and microbiological penetration testing performed previously. Leakage pressures were obtained from previous dye penetration tests [40]. Label Material Leakage at 2 psi [40] Leakage pressure (psi) [45] TC#1 Nylon/PU Negative > 25 TC#2 Nylon/PU Negative > 25 TC#3 Nylon/PU Positive 0.5 TC#4 Proprietary Negative 2.2 TC#5 PU Negative > 6 TC#6 PU Negative > 10 TC#7 PU Negative 4 Table 4 Material Leakage at 2 psi [40] Leakage pressure (psi) [45] Discussion Preclinical testing requirements for TCSs include, but are not limited to, evaluating TCS’s material impermeability to tissues, cells, and fluids, and demonstrating device integrity when used with intended laparoscopic instruments and morcellators [13, 46]. Our study developed test methods to evaluate different TCS materials and provided a structured framework to correlate leakage potential with physical Page 12/29 Page 12/29 characteristics and mechanical strength of the specific TCS materials. These methodologies may be useful for stakeholders, such as medical device manufacturers, test laboratories, academic researchers, and regulatory bodies while evaluating the performance of various TCS materials. Since only a small specimen of TCS material was tested instead of the whole TCS bag, additional test methods need to be developed for evaluating the leakage integrity of whole TCSs (i.e., as a full finished medical device). As a part of this study, TCS materials were exposed to tensile, radial, and puncture forces to represent physiologically relevant loads anticipated during clinical use. For example [38], the TCS experience tensile stress when i) it is pushed through the trocar into the pneumoperitoneum (i.e. distended abdomen), ii) when maneuvering the TCS in the pneumoperitoneum using graspers, iii) when pulling the TCS out of the abdominal cavity with blood or tissue remains inside it, etc. Similarly, the TCS is subjected to radial stress i) during insufflation, and ii) during removal of TCS out of the cavity through the narrow incision if the insufflated CO2 is trapped inside it. The TCS is also subjected to puncture forces every time the grasper, tenaculum, or the morcellator contacts the device surface. Our results showed a clear distinction in mechanical performance between composite and homogeneous TCS materials. Overall, materials from composite TCSs showed superior performance for mechanical strength compared to homogenous TCSs, due to the fact that composite TCS materials had higher puncture and burst resistance than homogeneous TCSs (Table 3). On the contrary, homogeneous TCS materials showed increased toughness due to the ability to withstand larger strain than the composite TCSs. Similarly, when the mechanical load is applied, the temporal response of composite and homogenous TCS materials were different as depicted in the stress-strain, burst pressure, and puncture responses (Fig. 10, Fig. 11, and Fig. 12). In comparison to TC#7, ultimate tensile strength was higher for TC#2, 3, 5, and 6. Similarly, the toughness was higher for TC#5 and 6 than for TC#7. Discussion Burst pressure was higher for TC#1, 2, 3, 5, and 6 than TC#7. The force at puncture for both types of pins was higher for TC#1, 2, 3, 5, and 6 than TC#7. Overall, the mechanical performance was very different for homogenous TCS material compared to composite TCS. Device manufacturers and testing laboratories should be cognizant of these distinctions while comparing the performance of TCS materials. Because of the underlying differences in mechanical performance, a homogenous TCS material may not be the best comparator if the device under evaluation is made of composite layers and vice versa. Our results also showed that the generally enhanced mechanical strength of the composite TCS materials did not necessarily translate to better leakage integrity with dye penetration testing. This is evident by comparing the leakage pressure of different TCS specimens with their respective mechanical performance. TC#3, which had the maximum burst pressure, and second best UTS and Fpuncture, had the worst leakage pressure and Fleak−puncture (Table 3 and Table 4 and Fig. 14); therefore TC#3 was deemed the worst in terms of leakage integrity (or material impermeability). The leakage pressure was 50 times less for TC#3 compared to some of the other composite and homogeneous TCS materials (Table 4). As a matter of fact, the leakage pressure of the other composite bag materials TC#1 and TC#2 were much Page 13/29 Page 13/29 Page 13/29 higher than for TC#3. For composite TCSs, the polymer layer keeps the TCS impermeable to cells while the nylon fabric provides the mechanical strength to the TCS. The leakage integrity of the composite materials TC#1 and TC#2 likely is contributed from having at least two times thicker polymer layers than TC#1 (Table 1). While using a composite material, there is a possibility of damage to the polymer layer during the surgical procedure. The damage to the polymer layer may not affect the overall strength and shape integrity of these TCSs but can compromise the leakage integrity. Similarly, different manufacturing processes among different brands can lead to varying physical characteristics of the polymer layers; some processes can be more prone to manufacturing defects such as voids in composite TCSs (TC#3, Fig. 8 and Fig. 9) through which contents may leak and compromise the leakage integrity of the TCS. Discussion Stakeholders should be aware of this while designing and testing TCS material, and clinicians should be aware of this when selecting composite TCS material for use. Several of the TCS evaluated in in vivo clinical studies are made of nylon-polymer composite materials [18, 21–23, 25, 30]. It is critical to measure the thickness of the polymer layer, leakage pressures, and determine appropriate acceptance criteria for them during device design and verification testing of these device materials. Among the three polyurethane based homogenous TCS, some correlation was observed between material thickness and mechanical and leakage strengths. This suggests that if the TCS of same type and material is chosen as a comparator device, the acceptance criteria for mechanical strength could be developed based on the comparator device material. However, acceptance criteria for a test should also provide sufficient safety factor from worse case clinical use conditions, e.g., in this study leakage performance was evaluated at a minimum pressure of 2 psi which is four times higher than the nominal insufflation pressure of 0.5 psi used clinically. TC#3 failed the leakage integrity testing at 2 psi (Table 4), however the maximum leakage pressure for TC#3 was 0.5 psi showing that this TCS material did not provide any factor of safety against inadvertent surgical procedural issues. These results highlight that stakeholders should consider not only mechanical strength but also the leakage integrity (or material impermeability) when forces from clinical use are applied and establish adequate acceptance criteria and safety factors for the preclinical bench tests. Leakage integrity was evaluated using dye and microbiological penetration testing. From previous studies [45], when exposed to an external pressure of 2 psi, TC#3 was the only containment system where ~ 60% and ~ 89% of the tested TCS specimens failed (i.e., leaked) the dye and microbiological penetration testing, respectively. On one hand, the same TCS brand failed in both leakage integrity tests indicating the results of microbiological penetration test and dye penetration test may be similar. On the contrary, the sensitivity for leakage of the microbiological penetration test appears to be higher than the dye penetration test. The results may indicate that microbiological penetration test may be preferred over dye penetration test. Dye penetration testing alone was used in this study for evaluating leakage in partially punctured TCS material and results were compared to previously performed leakage integrity tests. Discussion Device manufacturers might benefit from primarily using dye penetration testing to verify leakage performance for different design variations of the TCS material to finalize the design, after which microbiological penetration testing may be performed for validation. Page 14/29 Inadvertent damage to TCS due to contact with surgical tools and morcellators during the surgical procedure is listed as one of the primary risks to patient health with the use of gynecologic laparoscopic power morcellation [33]. While evaluating the puncture resistance of various TCS materials, our studies showed a significant difference between the puncture force required to cause complete penetration through the device thickness (Fpuncture) being as high as two and half times the partial puncture force required to cause leakage (Fleak− puncture) for the composite materials. The puncture force required to cause complete penetration through the thickness and partial puncture to cause leakage were the same for all homogeneous TCSs indicating breach through the entire thickness of the TCS material in both cases. Consequently, these results showed that partial damage to composite TCS mateial due to contact with the surgical tools if not noticed could lead to catastrophic leakage of contents out of the TCS. This risk should be taken into consideration while establishing the acceptance criteria for tool forces exerted on the TCS. For this study, all the puncture testing was done using standardized durometer pins (Type OO and Type D in Fig. 3) as penetration tools to enable better comparisons between devices. During device preclinical evaluation, in lieu of these pins, the manufacturers should consider use of real surgical tools or pins that mimic the sharpness, hardness, and contact surface of the surgical tools used during the surgery, as differences in geometry may affect results. Our test methodology demonstrated results by testing a plain specimen cut from all seven TCS brands. During actual device development testing, TCS specimens from multiple manufacturing lots and locations highly susceptible to mechanical failure and leakage such as seams, and junction points (if any) should also be considered, as there may be variability introduced in manufacturing that should be captured. As a part of this study, several metrics for material performance such as UTS, Pburst, Pleakage, Fpuncture and Fleak−puncture were established and measured. However, we did not come up with a set acceptance criterion for any of these metrics. Author Disclosures Drs. Alexander Herman, Nandini Duraiswamy, Poulomi Nandy, Veronica Price, George Gibeily, and Prasanna Hariharan have no conflicts of interest or financial ties. Discussion The acceptance criteria tend to be device and material specific and could depend on several factors such as device design, indications for use, choice of comparator device, etc. However, it would be beneficial for the manufacturers to derive appropriate device safety factors [45] by comparing the device’s test-to-failure metrics obtained after bench testing with clinically relevant forces encountered by the TCS material during actual surgical procedures. Previous studies have used force sensors to measure the force imparted by the clinicians on the surgical tools during medical procedures. The safety factors, if mentioned in product labeling, could help researchers and regulators understand the risk associated with the use of different TCS materials during power morcellation procedures. It should be noted that additional test methods are needed to evaluate the ability of the device to allow for insertion and removal instruments while maintaining pneumoperitoneum, ability of the intended users to adequately deploy and use the device without compromising its integrity etc. These tests may necessitate the conduct of additional bench testing, clinical simulation, whole device TCS leakage testing, and animal studies to demonstrate performance. Page 15/29 Our study highlights the complexity in evaluation of the functional performance of TCS material. The methods and results presented herein will be useful in the development of standardized test methods for evaluating performance of TCS materials for power morcellation procedures. Streamlining of preclinical testing will create efficiencies in bringing new tissue containment technologies to market, resulting in benefit to both patients and health care professionals. evaluating performance of TCS materials for power morcellation procedures. Streamlining of preclinical testing will create efficiencies in bringing new tissue containment technologies to market, resulting in benefit to both patients and health care professionals. References 1. Multinu F, Casarin J, Hanson KT, Angioni S, Mariani A, Habermann EB, Laughlin-Tommaso SK (2018) Practice Patterns and Complications of Benign Hysterectomy Following the FDA Statement Warning Against the Use of Power Morcellation.JAMASurg:e180141 2. Winner B, Biest S (2017) Uterine Morcellation: Fact and Fiction Surrounding the Recent Controversy. 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Rimbach S, Holzknecht A, Nemes C, Offner F, Craina M (2015) A new in-bag system to reduce the risk of tissue morcellation: development and experimental evaluation during laparoscopic hysterectomy. Arch Gynecol Obstet 292:1311–1320 37. Rimbach S, Holzknecht A, Nemes C, Offner F, Craina M (2015) A new in-bag system to reduce the risk of tissue morcellation: development and experimental evaluation during laparoscopic hysterectomy. References Arch Gynecol Obstet 292:1311–1320 38. van den Haak L, van der Eijk AC, Sandberg EM, Frank G, Ansink K, Pelger RCM, de Kroon CD, Jansen FW (2018) Towards spill-free in-bag morcellation: a health failure mode and effects analysis. Surg Endosc 38. van den Haak L, van der Eijk AC, Sandberg EM, Frank G, Ansink K, Pelger RCM, de Kroon CD, Jansen FW (2018) Towards spill-free in-bag morcellation: a health failure mode and effects analysis. Surg Endosc 39. ASTM (2012) Standard Test Method for Tensile Properties of Thin Plastic Sheeting. ASTM, West Conshohocken 39. ASTM (2012) Standard Test Method for Tensile Properties of Thin Plastic Sheeting. ASTM, West Conshohocken 40. ASTM (2010) Standard Test Method for Resistance of Materials Used in Protective Clothing to Penetration by Liquids. ASTM, West Conshohocken 41. ASTM (2008) Standard Test Method for Resistance of Materials Used in Protective Clothing to Penetration by Synthetic Blood. ASTM, West Conshohocken Page 18/29 Page 18/29 ASTM (2013) Standard Test Method for Resistance of Materials Used in Protective Clothing to Penetration by Blood-Borne Pathogens Using Phi-X174 Bacteriophage Penetration as a Test System. ASTM, West Conshohocken ASTM (2013) Standard Test Method for Protective Clothing Material Resistance to Puncture. ASTM, West Conshohocken ASTM (2015) Standard Test Method for Rubber Property - Durometer Hardness. ASTM, West Conshohocken Herman A, Duraiswamy N, Nandy P, Myers MR, Price V, Gibeily G, Hariharan P (2019) In Vitro Leakage Testing of Tissue Containment Bags When Subjected to Power Morcellation Forces. J Minim nvasive Gynecol 27:655–664 Administration USFaD (2016) Gynecologic laparoscopic power morcellation containment system. In: Regulations CoF (ed) 21, Government Printing Office, Silver Spring, MD, pp 1 42. ASTM (2013) Standard Test Method for Resistance of Materials Used in Protective Clothing to Penetration by Blood-Borne Pathogens Using Phi-X174 Bacteriophage Penetration as a Test System. ASTM, West Conshohocken 43. ASTM (2013) Standard Test Method for Protective Clothing Material Resistance to Puncture. ASTM, West Conshohocken 44. ASTM (2015) Standard Test Method for Rubber Property - Durometer Hardness. ASTM, West Conshohocken 45. Herman A, Duraiswamy N, Nandy P, Myers MR, Price V, Gibeily G, Hariharan P (2019) In Vitro Leakage Testing of Tissue Containment Bags When Subjected to Power Morcellation Forces. J Minim Invasive Gynecol 27:655–664 46. Administration USFaD (2016) Gynecologic laparoscopic power morcellation containment system. In: Regulations CoF (ed) 21, Government Printing Office, Silver Spring, MD, pp 1 Figure 2 Schematic of the burst testing setup Figures Figure 1 Experimental setup for tensile testing. Experimental setup for tensile testing. Page 19/29 Page 19/29 Figure 2 Figure 3 Diagram of the ASTM D2240 durometer pins that were used for the puncture testing in our experiments. Dimensions in brackets are in Inches while the dimentions just below are in millimeters. Page 20/29 Page 20/29 Figure 4 Experimental setup for puncture testing. igure 4 Figure 4 Experimental setup for puncture testing. Page 21/29 Page 21/29 Figure 5 Schematic of the dye penetration set-up. Schematic of the dye penetration set-up. Schematic of the dye penetration set-up. Page 22/29 Figure 6 Picture of the dye penetration testing apparatus used after the partial puncture testing. Figure 6 Figure 6 Picture of the dye penetration testing apparatus used after the partial puncture testing. Page 23/29 Figure 7 Flow chart describing the partial puncture and subsequent dye Figure 7 Flow chart describing the partial puncture and subsequent dye penetration testing. Figure 7 Figure 7 Flow chart describing the partial puncture and subsequent dye penetration testing. Page 24/29 Page 24/29 Figure 8 SEM images (cross-sectional view along the thickness) of all seven TCSs. Figure 8 SEM images (cross-sectional view along the thickness) of all seven TCSs. Figure 8 SEM images (cross-sectional view along the thickness) of all seven TCSs. SEM images (cross-sectional view along the thickness) of all seven TCSs. Page 25/29 Figure 9 Figure 9 Planar SEM view of TC#3 taken from the nylon side (left) and polymer side (right). On the polymer side the nylon fibers are leaving an impression on the polymer layer in addition to a few voids in the polymer layer. Page 26/29 Figure 10 Figure 10 Stress-strain relationship from tensile testing of TCS materials. The thicker brighter lines represent the averaged curve (denoted by ‘Average’ here for each TCS material) from the stress-strain curves of all specimens tested of a specific TCS; the last point on the curve also shows the variation with standard deviation of the stress and strain values obtained from all specimens of a specific TCS material. Figure 11 Air pressure as a function of time for different containment systems during burst testing. The thicker brighter lines represent the averaged curve from the pressure-time curves of all specimens tested of a certain containment system; the last point on the curve also shows the variation with standard deviation of the pressure and time values obtained from all specimens of a certain containment system. Figure 11 Figure 11 Air pressure as a function of time for different containment systems during burst testing. The thicker brighter lines represent the averaged curve from the pressure-time curves of all specimens tested of a certain containment system; the last point on the curve also shows the variation with standard deviation of the pressure and time values obtained from all specimens of a certain containment system. Air pressure as a function of time for different containment systems during burst testing. The thicker brighter lines represent the averaged curve from the pressure-time curves of all specimens tested of a certain containment system; the last point on the curve also shows the variation with standard deviation of the pressure and time values obtained from all specimens of a certain containment system. Page 27/29 Figure 12 Figure 12 Page 27/29 The force exerted by the type D durometer pins as a function of compressive displacement of the TCS specimen for two different TCSs. The force exerted by the type D durometer pins as a function of compressive displacement of the TCS specimen for two different TCSs. The force exerted by the type D durometer pins as a function of compressive displacement of the TCS specimen for two different TCSs. Figure 13 Figure 13 Maximum force to puncture (Fpuncture) for different containment systems from puncture testing using Type OO blunt and Type D sharp durometer pins with one standard deviation error bars. Page 28/29 Figure 14 Partial puncture leak force, Fleak-puncture, compared to the full puncture force, Fpuncture, for Type D Pin Partial puncture leak force, Fleak-puncture, compared to the full puncture force, Fpuncture, for Type D Pin Page 29/29
https://openalex.org/W2792584166
https://iptek.its.ac.id/index.php/jps/article/download/3508/2678
English
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Software Fault Prediction Using Filtering Feature Selection in Cluster-Based Classification
Aptech Proceeding International Seminar on Applied Technology, Science & Arts : Development of Green Agro-Industry to Support Human Life Sustainability
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2Daniel Oranova Siahaan, Chastine Fatichah are with Department of Informatics Engineering, Faculty of Information Technology, Institut Teknologi Sepuluh Nopember (ITS), Kampus ITS Sukolilo, Surabaya 60111, Indonesia. E-mail: danielos@cs.its.ac.id; chastine@cs.its.ac.id. 59 59 The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopem 1Fachrul Pralienka Bani Muhamad is with Department of Informatics Engineering, Polytechnic of Indramayu, Indramayu 45252, Indonesia. E- mail: fachrul.pbm@gmail.com. II. LITERATURE REVIEW Software fault prediction is very important to do, because the allocation of cost and testing resources are limited. In addition, software fault prediction can make testing process focus on fault-prone modules, so that test resources can be saved for other faulty-prone modules. Software fault prediction is the most efficient quality assurance activity, as it can reduce testing time by saving test resources [1]. This chapter is described about related research on software fault prediction. In addition, there are also a description of software fault, NASA public MDP dataset, and basic supporting theories. The basic theories used in this chapter are entropy-based discretization (EBD), filtering feature selection (GR, IG, OR), and cluster-based discretization (CBC). Previous researchers have proposed several methods to predict software fault, i.e. Genetic Programming, Decision Tree, Neural Network, Density-based Clustering, Case- based Reasoning, Fuzzy Logic, Logistic Regression, and Naive Bayes [2]. In general, methods that can produce high predictive values tend to use a simple modeling technique i.e. Naive Bayes [3]. Naïve Bayes (NB) can generate about 71% probability detection (pd) and 25% probability false alarm (pf) in 8 datasets of NASA public MDP [4]. When NB compared to the Cluster-based Classification (CBC) [2], then CBC can produce better predictive result, i.e. 83.3% pd and 40% pf in 7 datasets of NASA public MDP. Software Fault Prediction Using Filtering Feature Selection in Cluster-Based Classification Fachrul Pralienka Bani Muhamad1, Daniel Oranova Siahaan2, Chastine Fatich Fachrul Pralienka Bani Muhamad1, Daniel Oranova Siahaan2, Chastine Fatichah2 niel Oranova Siahaan2, Chastine Fatichah2 Abstract―The high accuracy of software fault prediction can help testing effort and improving software quality. Previous researchers had proposed the combination of Entropy-Based Discretization (EBD) and Cluster-Based Classification (CBC). However, the irrelevant and redundant features in software fault dataset tend to decrease the prediction accuracy value. This study proposes improvement of CBC outcomes by integrating filtering feature selection methods. Filtering feature selection methods that will be integrated with CBC i.e. Information Gain (IG), Gain Ratio (GR), and One-R (OR). Based on the research using 2 datasets NASA public MDP (i.e. PC2 and PC3), the result shows that the combination of CBC and IG yields the best average accuracy value compared to GR and OR. It generates 67.52% average of probability detection (pd) and 37.42% average of probability false alarm (pf). While CBC without feature selection yields 65.38% average pd and 49.95% average pf. It can be concluded that IG can improve CBC outcomes by increasing 2.14% average pd and reducing 12.53% average pf. However, some researchers have described that predictive models with irrelevant features as well as redundant features can generate lower predictive values. In previous research [5], filtering feature selection methods were used to improve NB result in predicting software fault using Turkish white-goods manufacturer datasets. Filtering feature selection methods used in the previous research were Gain Ratio (GR), Information Gain (IG), and One-R (OR). The result shows that the combination of NB and OR can yield the highest prediction accuracy value compared to NB and IG, NB and GR, and NB without feature selection. This study is proposed to improve CBC prediction values by using three methods of filtering features selection i.e. GR, IG, and OR. From that combinations, an analysis will be performed to find the best combination of CBC which can generate the highest pd and the lowest pf, and the best number of features used as input in CBC. The experiment was performed in 2 datasets NASA public MDP i.e. PC2 and PC3. The combination of CBC and filtering feature selection methods are expected to improve software fault prediction result. Keywords―Cluster-based Classification, Entropy-Based Discretization, Filtering Feature Selections, Software Fault Prediction. A. Previous Research Systematic literature review by [6], [7], and [1] that discuss about finding solution on software fault prediction. The results show that solution by statistical method for predicting software fault has started to be abandoned, while the research area using data mining to predict software fault is the most popular. This is due to the wide variety of methods in data mining to improve the accuracy of software fault predictions. Data mining methods that can produce high prediction accuracy tend to use simple methods, such as NB. [4] was proposed a NB method for predicting software fault. The proposed method is applied to 8 NASA public MDP datasets by performing a log number preprocess combined with IG feature selection method. The results showed values of 71% pd and 25% pf. [8] proves that the classification of k-NN with discretization of numerical data using EBD in preprocess 60 The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia Prediction Model Known Software Fault Data Software Matrix Unknown Software Fault Data Software Matrix Previous Version of Software The Latest Version of Software training testing Figure 1. Software fault prediction. C. Nasa Public MDP Dataset Prediction Model Known Software Fault Data Software Matrix Unknown Software Fault Data Software Matrix Previous Version of Software The Latest Version of Software training testing Figure 1. Software fault prediction. can improve prediction accuracy. This is supported by hand geometry datasets that contain numerical data. In addition, the EBD method can reduce the possibility of over-fitting prediction models and process predictions more rapidly than continuous (numeric) data. [9] have tried a combination of NB with a preprocess EBD on two embedded software system fault datasets obtained from NASA's public MDP. The results show that EBD can help improve the accuracy of NB in predicting software fault. This study also proves that the characteristics of several embedded software system datasets on NASA public MDP are suitable for discretization with EBD. Figure 1. Software fault prediction. C. Nasa Public MDP Dataset Software fault prediction is one of the important factors in improving quality in software development process. As mentioned earlier, that to predict software fault required some metrics and software fault data from previous software versions. D. Entropy-Based Discretization (EBD) Data mining methods have been successfully applied to solve predictions or classification problems on various background issues. In data mining, the discrete process is known as one of the most important preprocess data activities. Most algorithms on data mining methods are able to extract knowledge from datasets with features that contain discrete data. If the data on the dataset feature is continuous (numerical), then the prediction method can be integrated with the discrete algorithm that converts the numerical features into discrete (binary) features. [14] examines the effect of feature selection on the NB prediction model. The researcher uses five datasets obtained from UCI repository namely mushroom. Some feature selection methods that are integrated with NB are IG, GR, SU, OR, RFF, and chi-squared (CS). The results show that OR is the highest feature selection method in improving the accuracy of the NB method of classification. A. Previous Research The software metrics is a simple quantitative measure of each attribute in the software lifecycle. The software metrics allows researchers to measure and predict software processes, required resources, and work products relevant to software development efforts. Software metrics often used by researchers to measure the complexity of program code are line of code (loc), mcCabe complexity, and halstead complexity [9]. [10] and [11] propose a CBC method for predicting software faults. The first study combines CBC with EBD on three software fault datasets obtained from Turkish white good manufacturer Software Company. The results show that the accuracy of the CBC method with EBD is superior to the ANN method. While the second study did the same with the first study, but with the dataset used more diverse i.e. 7 datasets of software fault from NASA public MDP. The results showed that CBC and EBD yielded a higher degree of accuracy when compared to NB which previously tended to produce high accuracy values. The pd value increases to 83% and the pf value becomes 40%. Various datasets containing metric variations have been used to predict software fault, and some are private. Due to the lack of access to use private datasets, this research will utilize public datasets that can be accessed by all researchers and can be used for various purposes. One of the most commonly researched software fault datasets is the NASA public MDP. The dataset can be generally accessed through the repository of the promise software engineering dataset. NASA public MDP dataset generally contains numerical data type consist of line of code, mcCabe complexity, halstead complexity, and software fault labels [16]. [12] used a feature selection method to improve predicted accuracy results in NB. The study was conducted on the Turkish software industry dataset. The results showed that the OR feature selection method yielded the best value compared to the other four selection methods of IG, GR, RFF, and SU. [13] proposes a combination of NB methods with GR. The results show that the accuracy of software fault prediction on NASA public MDP dataset can be enhanced by the selection of GR features. To support a cooperative NB method on discrete data, the software fault data is first discretized into five categories at random point. E. Filtering Feature Selection E. Filtering Feature Selection Based on its characteristics, features are divided into three, namely relevant features, irrelevant features, and redundant features [17]. Relevant features are features that have an effect on the output and the role of those features that can’t be assumed by other features. While the irrelevant feature is defined as a feature that has no effect on the output. For example, the ‘id’ feature in the dataset, since the ‘id’ value is not the measured aspect of the data, the ‘id’ feature has no effect on the output of the prediction model. The redundant feature is the feature can take the role of the other features. The K-Means clustering algorithm begins with a set of training data and a number of cluster points K. The training sample on the dataset is used to group the data based on the proximity measurement of the cluster point. There are several ways to measure the distance between objects with other objects, such as euclidean distance, manhattan distance, and hamming distance. Euclidean distance is very often used to calculate the distance between two objects. Euclidean distance calculates the square root of the coordinate difference of a pair of objects. Some previous researchers have also used the eulidean distance to find the distance between objects [11] [10]. While Manhattan distance represents the distance between two objects in absolute [25]. Both euclidean and manhattan, both used to calculate numerical data distances. The feature selection algorithm applied in the preprocess stage is generally divided into two categories: filter and wrapper [18] [19] [20]. The filter method uses the feature ranking technique as the basic criterion for feature selection sequences [21]. The ranking method is used because of the simplicity of the process in performing feature selection. Not only that, some studies have proven that feature selection methods with rankings can improve the accuracy of software fault predictions [22]. Generally, this method exploits the threshold value to determine how much minimal number of features will be used as input on the prediction model. The minimum amount is sorted by feature rank. The feature with the highest value will be a predictive input modeling candidate. Some feature selection methods use filters such as information gain (IG), gain ratio (GR), and one-r (OR). E. Filtering Feature Selection Due to the result of preprocess of discretization is binary data, hence calculation of distance that will be used in this research is hamming distance. Based on previous research, hamming distance is used to calculate the number of differences from two series of binary numbers that have the same length according to the position of each binary digit [25]. A. Input This research used PC2 and PC3 datasets obtained from NASA public MDP. All feature in PC2 and PC3 dataset are numerical data types [22]. The detail of dataset used in this research can be seen in table 1. In this research, the feature selection approach is done by filter method. Based on [24], the use of the wrapper method would be very complex if applied to software fault datasets, since the large dataset dimensions. In addition, wrapper dependencies on certain classification models make it difficult to find the best and most suitable wrapper of the case, as there are various classification models available to choose from. TABLE 1. DETAILS OF PC2 AND PC3 DATASETS. Name Module Features Faulty % Descriptions PC2 PC3 5589 1563 37 38 23 160 0.41 10.24 Dynamic simulator in control system Flight software for satellites orbiting the earth B. Preprocess F. Cluster-based Classification (CBC) Clustering is one method to find groups that have the most similarity of data, which means data can belong to one of the most similar groups and data belonging to different groups is the most different data. CBC is a classification method that exploits the distance on each data from the cluster point. Data that has a high degree of similarity to the cluster point is considered a member of the cluster. In the case of software fault prediction, the cluster is divided into two groups of data that are vulnerable to false and those that are not. Various clustering algorithms have been proposed by previous researchers. Based on research [11], III. PROPOSED METHOD Software fault prediction in this paper consists of three main stages, i.e. input, preprocess, and process. In general, method design in this study is presented in figure 2. The wrapper method uses complex computational techniques based on complex classification algorithms. This method will try some or even all possible feature combinations to evaluate the results of prediction accuracy [23]. The feature selection process will grow exponentially on the number of more features. The wrapper computing model becomes very intensive with datasets that have large dimensions. g y p g Figure 2. Method design. A. Input g y p g Figure 2. Method design. A. Input B. Software Fault Discretization methods are used to reduce the number of values on a continuous feature (numerical) by dividing the distance of each attribute into a given interval [9]. The interval label can be used to replace the actual data value. Discretization makes the data mining process faster and more accurate. In general, the discrete process is four steps: sort all numerical values to be discretized, then select the splitting point at that numeric value, then split or merge the two numeric value points, and last select the stopping criteria in the discretization process. Software fault are a major problem in software systems that need to be minimized to ensure it reliability [15]. Any software fault can always be observed during the testing process. Software fault can lead to software failures resulting in increased costs and attempts to correct the fault. Software failure signifies the low level of quality of the software. To improve the software quality level, software fault need to be minimized. The prediction of software fault is the predictability of fault-prone modules in the next release stage by using prediction metrics and software fault data in previous versions. In general, the prediction process of software fault can be seen in figure1. 61 The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia K-Means was chosen as the clustering method used for classification. TABLE 2. DETAILS OF REDUNDANCY IN NUMERICAL DATA. Name Numerical Data Redundancy % After Reduction PC2 PC3 5589 1563 4183 124 74,84 7,93 1406 1439 D. Implementation of EBD C. Process & Output After all preprocess steps are done, then the output of preprocess stage is used as input for prediction model in process stage i.e. CBC. Confusion metrics used for measuring the accuracy values which consist of pd, pf, and balance [27]. Process stages in this proposed method can be seen in figure 4. D. Implementation of EBD At this stage, numerical data are transformed into binary data. Redundancy of binary data with same class will be reducted. However, in EBD phase 1 there are redundancy of binary data with different classes. This can make inconsistencies in prediction model. Therefore, EBD phase 2 is done to reduce redundancy of binary data with different classes at EBD phase 1 by adding one binary digit into two binary digits (00, 01, 10, and 11). Each phase in the EBD is done iteratively until there is no duplication of binary data with different classes. However, in this study EBD is only done up to two phases only. Software fault prediction Processing Preprocessing output Preprocessing Prediction result Output Figure 4. The stages of process and output. Figure 4. The stages of process and output. B. Preprocess The preprocess stage consisted of five sub-processes i.e. reduction of redundant numerical data, discretization of numerical data, reduction of redundant binary data, handling the redundancy of binary data with different classes, and feature selection. Preprocess need to be done for making dataset suitable for learning model and to remove noise so that improve prediction result [26]. Preprocess stages of this research can be seen in figure 3. 62 The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia The 3 International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia Numerical Data PC2 and PC3 Datasets Numerical Data Reduction of Redundant Numerical Data 2-Digit Binary Data EBD 3 Feature Ranking Versions Ranking Figure 5. The stages of research implementation. A. Reduction of Redundant Numerical Data with Same Class Reduction of redundancy numeric data (same class) Discretization of numerical data Reduction of redundancy binary data (same class) Handling of redundancy binary data Filtering feature selection Preprocessing 2 datasets NASA public MDP Input Figure 3. The stages of preprocessing. Input Datasets 2 datasets NASA public MDP Numerical Data A. Reduction of Redundant Numerical Data with Same Class From both the NASA public MDP dataset, PC2 is the most commonly encountered data redundancy dataset, which is 74.84% redundancy data with the same class. However, in all datasets there is no redundancy of numerical data with different classes. The redundancy details on the two MDP NASA public datasets are presented in table 2. Figure 3. The stages of preprocessing. The pre-process result will be used as input on the software fault prediction model. In a previous study [11], the preprocess did not include feature selection. While in this study, three methods of feature selection are proposed to be integrated with software fault prediction model. IV. EXPERIMENTAL Based on the results of the implementation, the average number of redundancy data with different classes in EBD phase 2 is lower when compared with EBD phase 1, i.e. from 20 to 5. If there is a comparison between the number of duplicates of data in EBD phase 1 and phase 2, then EBD phase 2 is less duplication of binary data with different classes. Comparison of the number of duplicates in percentages can be seen in table 3. This section discusses the discrete process of two NASA public MDP datasets of numeric data type into a two-digit binary data type. After that, each feature on the dataset will be ranked by using five different methods of feature selection. The discretization method used in this study is EBD. Discretization is done to improve the accuracy of software fault prediction and improve efficiency in computing process [11] [10]. While the three methods of feature selection used to determine feature rankings are GR, IG, and OR. When numerical data in the dataset has been transformed into two-digit binary data and the feature has been sorted by each feature selection method, then the test scenario is ready to be performed. The stages that need to be done before the test scenario begins that can be seen in figure 5. TABLE 3. TABLE 3. COMPARISON OF REDUNDANCY IN EBD PHASE 1 AND PHASE 2. V. RESULTS AND DISCUSSION Based on table 5, in PC2, the best pd and pf is obtained by the combination of OR and CBC. In PC3, the best pd and pf is obtained by the combination of IG and CBC. The combination of CBC and IG can generate the highest average pd value i.e. 67.52% pd and the lowest average pf value i.e. 37.42%. 5-fold cross validation is used in this research for evaluating the experiment. Every test results on each fold is measured by confusion metrics. The pd and pf value will be used for measuring the average prediction values of CBC combination and determining the best feature selection method that the most improve CBC. The confusion matrix can be seen in table 4. When it compared to the CBC without filtering feature selection method, IG can increase pd 2.14% and reduce pf 12.53%. The end result can be seen in table 6. TABLE 4. CONFUSION MATRIX. Prediction Actual Faulty Non-faulty Faulty Non-faulty TP FN FP TN TABLE 6. COMPARISON OF THE BEST COMBINATION AND WITHOUT FEATURE SELECTION. Dataset Average pd (%), pf (%) and best features IG & CBC No feature selection PC2 52.86% pd, 35.54% pf, 14 features 49.28% pd, 55.11% pf, 36 features PC3 82.19% pd, 39.3% pf, 7 features 81.47% pd, 44.79% pf, 37 features AVERAGE 67.52% pd, 37.42% pf, 10.5 features 65.38% pd, 49.95% pf, 36.5 features TABLE 6. COMPARISON OF THE BEST COMBINATION AND WITHOUT FEATURE SELECTION. For measuring pd and pf value can be seen in formula (1) and (2): 𝑝𝑝𝑇𝑇𝑇𝑇𝐹𝐹 𝑝𝑝𝑝𝑝= 𝑇𝑇𝑇𝑇 (𝑇𝑇𝑇𝑇+𝐹𝐹𝐹𝐹) (1) 𝑝𝑝𝑝𝑝= 𝐹𝐹𝐹𝐹 (𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇) (2) Pd means successful value of prediction systems in predicting the software fault, while pf means misclassification value of prediction systems in determining unfaulty module as faulty module. The higher pd and the lowest pf are the best result. It means that system can predict the faulty module without giving the false alarm to the tester. In this research, CBC is combined with three methods of filtering feature selection (i.e. GR, IG, and OR). A number of features of dataset will be ranked by the feature selection method. Every selection feature method has different order of features rank. Then, the top N of features will be selected as CBC input. Illustration for this scenario can be seen in figure 6. E. Implementation of Feature Selection E. Implementation of Feature Selection After EBD two phases, the next stage that needs to be done before entering the testing phase is a feature selection. Output at this stage are three feature ranking GR, IG, and OR. In this phase, the PC2 and PC3 dataset will be sorted by all three methods of feature selection. There will be three versions of feature rank. The sequence of features is chosen iteratively to serve as input of CBC prediction modelConclusion Figure 6. Scenario evaluation in this research. The output of scenario in figure 6 is pd and pf values. There are three possible combination in each dataset i.e. IG & CBC, GR & CBC, and OR & CBC. The highest pd with the lowest pf in each combination will be selected as the best value of prediction. Some parameters of BMA and GOP, such as the weight and variance of BMA and the spatial parameters of GOP, should be estimated by iterative approach, for instance EM and L-BFGS respectively. For 30-day training period, the accuracy of BMA is not different than of the three members, while the former was more reliable, indicated by less CRPS. Furthermore, BMA manages to calibrate the forecast, indicated by the coverage closer to 50%. Lack of fit, though, is still owned by GOP since it has higher RMSE. From both method, BMA forecasts apparently have greater accuracy and precision. TABLE 5. RESULT COMPARISON OF COMBINED METHODS. TABLE 5. RESULT COMPARISON OF COMBINED METHODS. Dataset Average pd (%), pf (%) and best features GR & CBC IG & CBC OR & CBC PC2 42.83%, 53.18% 32 features 52.86%, 35.54% 14 features 60%, 29,14% 26 features PC3 71.63%, 31.48% 2 features 82.19%, 39.3% 7 features 65.94%, 45.84 17 features AVERAGE 57.23%, 42.33% 17 features 67.52%, 37.42% 10.5 features 62.97%, 37.49 21.5 features REFERENCES [1] C. Catal, “Software fault prediction: A literature review and current trends,” Expert Syst. Appl., vol. 38, no. 4, pp. 4626–4636, Apr. TABLE 3. COMPARISON OF REDUNDANCY IN EBD PHASE 1 AND PHASE 2. COMPARISON OF REDUNDANCY IN EBD PHASE 1 AND PHASE 2. COMPARISON OF REDUNDANCY IN EBD PHASE 1 AND PHASE 2. Dataset Redundancy Binary Data with Different Class EBD Phase 1 EBD Phase 2 PC2 497 Data, 4 Redundancy, 0,8% 862 Data, 3 Redundancy 0,34% PC3 923 Data, 36 Redundancy, 3,9% 1281 Data, 7 Redundancy 0,54% The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia 63 PC2 & PC3 datasets Features rank of GR, IG, and OR Top N features selection Training Features Rank Input Cross validation Feature Selection Fault Prediction 5 folds CBC Testing Figure 6. Scenario evaluation in this research. PC2 & PC3 datasets Features rank of GR, IG, and OR Top N features selection Training Features Rank Input Cross validation Feature Selection Fault Prediction 5 folds CBC Testing Figure 6. Scenario evaluation in this research. [1] C. Catal, “Software fault prediction: A literature review and current trends,” Expert Syst. Appl., vol. 38, no. 4, pp. 4626–4636, Apr. VI. CONCLUSION Counsell, “A Systematic Review of Fault Prediction Performance in Software Engineering,” IEEE Trans. Softw. Eng., vol. 38, no. 6, pp. 1276– 1304, 2012. gy pp [20] G. Abaei and A. Selamat, “A survey on software fault detection based on different prediction approaches,” Vietnam J. Comput. Sci., vol. 1, no. 2, pp. 79–95, 2014. [7] R. Malhotra, “A systematic review of machine learning techniques for software fault prediction,” Appl. Soft Comput., vol. 27, pp. 504– 518, Feb. 2015. [21] G. Chandrashekar and F. Sahin, “A survey on feature selection methods,” Comput. Electr. Eng., vol. 40, no. 1, pp. 16–28, Jan. 2014. [8] A. Kumar and D. Zhang, “Hand-Geometry Recognition Using Entropy-Based Discretization,” IEEE Trans. Inf. Forensics Secur., vol. 2, no. 2, pp. 181–187, Jun. 2007. [22] P. Singh, N. R. Pal, S. Verma, and O. P. Vyas, “Fuzzy Rule-Based Approach for Software Fault Prediction,” IEEE Trans. Syst. Man, Cybern. Syst., pp. 1–12, 2016. [9] P. Singh and S. Verma, “An Investigation of the Effect of Discretization on Defect Prediction Using Static Measures,” in 2009 International Conference on Advances in Computing, Control, and Telecommunication Technologies, 2009, pp. 837–839. [23] C. Akalya Devi, K. E. Kannammal, and B. Surendiran, “A Hybrid Feature Selection Model for Software Fault Prediction,” Int. J. Comput. Sci. Appl., vol. 2, no. 2, pp. 25–35, 2012. Telecommunication Technologies, 2009, pp. 837–839. [24] K. Gao, T. M. Khoshgoftaar, H. Wang, and N. Seliya, “Choosing software metrics for defect prediction: an investigation on feature selection techniques,” Softw. - Pract. Exp., vol. 39, no. 7, pp. 701– 736, 2011. [10] P. Singh and O. P. Vyas, “Software Fault Prediction Model for Embedded Software : A Novel finding,” Int. J. Comput. Sci. Inf. Technol., vol. 5, no. 2, pp. 2348–2354, 2014. pp [11] P. Singh and S. Verma, “An Efficient Software Fault Prediction Model using Cluster based Classification,” Int. J. Appl. Inf. Syst., vol. 7, no. 3, pp. 35–41, 2014. [25] D. H. Murti, N. Suciati, and D. J. Nanjaya, “Clustering data non- numerik dengan pendekatan algoritma k-means dan hamming distance studi kasus biro jodoh,” J. Ilm. Teknol. Inf., vol. 4, pp. 46– 53, 2005. [12] D. A. Antony, G. Singh, A. E. Fernando, and E. J. Leavline, “Software Fault Detection using Honey Bee Optimization,” Int. J. Appl. Inf. Syst., vol. 11, no. 1, pp. 1–9, 2016. [26] D. Gray, D. Bowes, N. Davey, Yi Sun, and B. VI. CONCLUSION Based on the experiment and analysist, the combination of IG and CBC had the highest average value of prediction among of other feature selection method used in this research. It is proven that just a number of feature in software fault dataset which is relevant with the prediction class and filtering feature selection can improve CBC. 64 The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia The 3rd International Seminar on Science and Technology August 3rd 2017, Postgraduate Program Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia methods for software fault prediction,” Expert Syst. Appl., vol. 42, no. 4, pp. 1872–1879, Mar. 2015. methods for software fault prediction,” Expert Syst. Appl., vol. 42, no. 4, pp. 1872–1879, Mar. 2015. [2] P. Singh and S. Verma, “Software Fault Prediction Model for Embedded Systems: A Novel finding,” Int. J. Comput. Sci. Inf. Technol., vol. 5, no. 2, pp. 2348–2354, 2014. pp [16] S. Lessmann, B. Baesens, C. Mues, and S. Pietsch, “Benchmarking Classification Models for Software Defect Prediction: A Proposed Framework and Novel Findings,” IEEE Trans. Softw. Eng., vol. 34, no. 4, pp. 485–496, Jul. 2008. [3] T. Hall, S. Beecham, D. Bowes, D. Gray, and S. Counsell, “A Systematic Literature Review on Fault Prediction Performance in Software Engineering,” IEEE Trans. Softw. Eng., vol. 38, no. 6, pp. 1276–1304, Nov. 2012. [17] L. Ladha and T. Deepa, “Feature Selection Methods and Algotithms,” Int. J. Comput. Sci. Eng., vol. 3, no. 5, pp. 1787–1797, 2011. [4] T. Menzies, J. Greenwald, and A. Frank, “Data Mining Static Code Attributes to Learn Defect Predictors,” IEEE Trans. Softw. Eng., vol. 33, no. 1, pp. 2–13, Jan. 2007. [18] A. Gowda Karegowda, A. S. Manjunath, and M. A. Jayaram, “Comparative Study of Attribute Selection using Gain Ratio and Correlation Based Feature Selection,” Int. J. Inf. Technol. Knowl. Manag., vol. 2, no. 2, pp. 271–277, 2010. [5] D. A. A. G. Singh, A. E. Fernando, and E. J. Leavline, “Experimental study on feature selection methods for software fault detection,” in 2016 International Conference on Circuit, Power and Computing Technologies (ICCPCT), 2016, pp. 1–6. [19] Feihu Yang, Weiqing Cheng, Renfu Dou, and Ningning Zhou, “An improved feature selection approach based on ReliefF and Mutual Information,” in International Conference on Information Science and Technology, 2011, pp. 246–250. [6] T. Hall, S. Beecham, D. Bowes, D. Gray, and S. VI. CONCLUSION Christianson, “The misuse of the NASA Metrics Data Program data sets for automated software defect prediction,” in 15th Annual Conference on Evaluation & Assessment in Software Engineering (EASE 2011), 2011, pp. 96–103. [13] M. S. Akbar, “Prediksi Cacat Perangkat Lunak Dengan Optimasi Naive Bayes Menggunakan Pemilihan Fitur Gain Ratio,” Institut Teknologi Sepuluh Nopember, 2017. [14] J. Novakovic, “The Impact of Feature Selection on the Accuracy of Naive Bayes Classifier,” 18th Telecommun. forum TELFOR, vol. 2, pp. 1113–1116, 2010. [27] C. Catal, “Performance Evaluation Metrics for Software Fault Prediction Studies,” Acta Polytech. Hungarica, vol. 9, no. 4, pp. 193–206, 2012. [15] E. Erturk and E. A. Sezer, “A comparison of some soft computing
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ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) التربوية القيادة ومميزاتها الكريم القرآن ضوء في هيمن طاهر درويش في دكتوراه طالب كلية التربية - قسم التربية الدينية - جامعة كوية - إقليم كوردستان - العراق hemntaher88@gmail.com أ. د. جواد فقي علي جومحيدري أستاذ كلية العلوم اﻻجتماعية واﻹنسانية - قسم القانون - جامعة كوية - إقليم كوردستان - العراق jawad.ali@koyauniverstity.org معلومات البحث الملخص :تاريخ البحث :اﻻستﻼم ٢/٠١/٢٢٠٢ :القبول ٩/١١/٢٢٠٢ :النشر خريف ٣٢٠٢ ي ّهتم هذا البحث بموضوع القيادة التربوية, ويتناوله في ضوء القرآن ،الكريم ويسعى البحث نحو توضيح ّأهم المميزات واﻷبعاد المهمة حول القيادة التربوية في ظﻼل آيات الذكر الحكيم التي حدد ها نا طبـقا وتماشيا مﻊ أسـس وقواعد البحـث ،العلمي وذلـك بعد اﻹطﻼع على المصادر والمراجﻊ المتعلقة بالقرآن الكريم وتفاسيره واﻷحاديث النبوية, فضﻼ عن الكتب التي تزخر بمواض ﻊي التربية - ماّﻻسي - موضوع القيادة التربوية وتهتم بها، و يتطرق هذا البحث إلى مفهوم القيادة التربوية ا كم يذكر الصفات والخصائص البارزة والمقومات والشروط الﻼزمة للقيادة كذلك التربوية يذكر اﻷساليب والمهارات الراقية خﻼل مبحثين وخمس ة مطالب ,وهذه المكونات من أهم المبادئ اﻷساسية للقائد التربوي وفق ما جاء في القرآن الكريم ,ومن وجهة نظر المفكرين و المختصين والباحثين في مجال التربية والقيادة التربوية , ّثم م خت نا البحث بما وتوصيات نتائج من إليه توصلنا . الكلمات :المفتاحية Leadership, Education, Leadership Qualities, Qur’an and Education, Educator Characteristics. Doi: 10.25212/lfu.qzj.8.4.27 1 . المقدمة: رب العالمين والصﻼة والسﻼم على سيدناͿالحمد وقائدنا ومقتدانا محمد اﻷمة خاصة والبشريةّمربي ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) التربوية القيادة ومميزاتها الكريم القرآن ضوء في هيمن طاهر درويش في دكتوراه طالب كلية التربية - قسم التربية الدينية - جامعة كوية - إقليم كوردستان - العراق hemntaher88@gmail.com أ. د. جواد فقي علي جومحيدري أستاذ كلية العلوم اﻻجتماعية واﻹنسانية - قسم القانون - جامعة كوية - إقليم كوردستان - العراق jawad.ali@koyauniverstity.org معلومات البحث الملخص :تاريخ البحث :اﻻستﻼم ٢/٠١/٢٢٠٢ :القبول ٩/١١/٢٢٠٢ :النشر خريف ٣٢٠٢ ي ّهتم هذا البحث بموضوع القيادة التربوية, ويتناوله في ضوء القرآن ،الكريم ويسعى البحث نحو توضيح ّأهم المميزات واﻷبعاد المهمة حول القيادة التربوية في ظﻼل آيات الذكر الحكيم التي حدد ها نا طبـقا وتماشيا مﻊ أسـس وقواعد البحـث ،العلمي وذلـك بعد اﻹطﻼع على المصادر والمراجﻊ المتعلقة بالقرآن الكريم وتفاسيره واﻷحاديث النبوية, فضﻼ عن الكتب التي تزخر بمواض ﻊي التربية - ماّﻻسي - موضوع القيادة التربوية وتهتم بها، و يتطرق هذا البحث إلى مفهوم القيادة التربوية ا كم يذكر الصفات والخصائص البارزة والمقومات والشروط الﻼزمة للقيادة كذلك التربوية يذكر اﻷساليب والمهارات الراقية خﻼل مبحثين وخمس ة مطالب ,وهذه المكونات من أهم المبادئ اﻷساسية للقائد التربوي وفق ما جاء في القرآن الكريم ,ومن وجهة نظر المفكرين و المختصين والباحثين في مجال التربية والقيادة التربوية , ّثم م خت نا البحث بما وتوصيات نتائج من إليه توصلنا . الكلمات :المفتاحية Leadership, Education, Leadership Qualities, Qur’an and Education, Educator Characteristics. Doi: 10.25212/lfu.qzj.8.4.27 1 . المقدمة: رب العالمين والصﻼة والسﻼم على سيدناͿالحمد وقائدنا ومقتدانا محمد اﻷمة خاصة والبشريةّمربي ي ّهتم هذا البحث بموضوع القيادة التربوية, ويتناوله في ضوء القرآن ،الكريم ويسعى البحث نحو توضيح ّأهم المميزات واﻷبعاد المهمة حول القيادة التربوية في ظﻼل آيات الذكر الحكيم التي حدد ها نا طبـقا وتماشيا مﻊ أسـس وقواعد البحـث ،العلمي وذلـك بعد اﻹطﻼع على المصادر والمراجﻊ المتعلقة بالقرآن الكريم وتفاسيره واﻷحاديث النبوية, فضﻼ عن الكتب التي تزخر بمواض ﻊي التربية - ماّﻻسي - موضوع القيادة التربوية وتهتم بها، و يتطرق هذا البحث إلى مفهوم القيادة التربوية ا كم يذكر الصفات والخصائص البارزة والمقومات والشروط الﻼزمة للقيادة كذلك التربوية يذكر اﻷساليب والمهارات الراقية خﻼل مبحثين وخمس ة مطالب ,وهذه المكونات من أهم المبادئ اﻷساسية للقائد التربوي وفق ما جاء في القرآن الكريم ,ومن وجهة نظر المفكرين و المختصين والباحثين في مجال التربية والقيادة التربوية , ّثم م خت نا البحث بما وتوصيات نتائج من إليه توصلنا . 1 . المقدمة: 1.1 . :أهمية البحث :تبرز أهمية الموضوع من خﻼل ما يأتي 1. إظهار عظمة القرآن الكريم الذي يهدي الناس في نواحي الحياة كل ها - ماّﻻسي- .القيادة التربوية 2. أهمية القيادة التربوية كمحرك رئيس للعملية اﻹدارية التي تساعد المؤسسات .الحكومية وغيرها 3. يسهم هذا البحث في زيادة قوة تأثير القائد التربوي في قيادته التر بوية للمؤسسات التعليمية. 4 .محاولة ﻹ عداد القادة التربويين وفق ال موا صفات القيادية التربوية التي ذكرها القرآن الكريم . 1.2 . :أسباب اختيار البحث :من بين أسباب اختيار الموضوع ما يأتي 1 .الرغبة الشديد ة لدينا في البحث عن هذا الموضوع ؛ لعلنا نتطور فيه ونخدم من هذا الجانب . 2 .حاجة المسلمين على مستوى ال فرد و اﻷ سرة و ال مجتمﻊ للتعرف على أسس القيادة التربوية من خ ﻼل كتاب ﷲ )  (. 1.2 . :أسباب اختيار البحث :من بين أسباب اختيار الموضوع ما يأتي 1 .الرغبة الشديد ة لدينا في البحث عن هذا الموضوع ؛ لعلنا نتطور فيه ونخدم من هذا الجانب . 1 .الرغبة الشديد ة لدينا في البحث عن هذا الموضوع ؛ لعلنا نتطور فيه ونخدم من هذا الجانب . 2 .حاجة المسلمين على مستوى ال فرد و اﻷ سرة و ال مجتمﻊ للتعرف على أسس القيادة التربوية من ﻼل خ كتاب ﷲ )  (. 3 .خدمة كتاب ﷲ العظيم من خﻼل دراسة هذا الموضوع المهم الذي نحن بأمس الحاجة إليه . 4. اﻹسهام في إبراز موضوع القيادة التربوية في أوساط ا .بها الرقي سبيل في العالي لتعليم 1.3 . :نطاق البحث نطاق البحث يكون منحصرا في موضوع القيادة في ضوء آيات القرآن الكريم , مركزا على مميز ات القيادة التربوية من مقوماتها ومهاراتها و خصائصها وأساليبها. 1.4 . :أسئلة البحث هناك أسئلة تطرح نفسها لﻺجابة ع ن ها من خﻼل ال,بحث :منها 1 - ما مفهوم القيادة والقيادة التربوية عموما؟ 2 - ما هي الكريم؟ القرآن ضوء في القيادة صفات 3 - ) كيف يكون اﻻقتداء بالرسول اﻷكرم( الذي هو البشرية؟ عرفته تربوي قائد خير 4 - أ ما هم ا لمهارات والخصائص التي يجب توافرها في القائد التربوي في ال قرآن الكريم ؟ 5 - كيف يمكن اﻻستفادة من الصفات التي وردت في القرآن الك ريم ﻻختيار القيادات في حياتنا؟ 744 1.5 . 1 . المقدمة: سيدنا على والسﻼم والصﻼة العالمين رب Ϳ الحمد ومقتدانا وقائدنا محمد, والبشرية خاصة اﻷمة ّمربي جمعاء, وعلى آله وصحبه ومن اهتدى بهديه, :وبعد الدين يوم إلى نهجه على وسار ّبد ﻻ بداية أن نعرف بأن القيادة عملية ذات أهمية ك ـ برى في ك ـ حكومية وغير حكومية مؤسسة ّل- ماّﻻسي- في العمل التربوي والتعليمي , ﻷنها تقوم بدور كبير في بناء الفرد وتكوين الجماعات كما لها دورها في،تأمين البيئة المناسبة لها ف الس رسم القيادة ّتتولى ياسات واﻻستراتيجيات ذ ات اﻷهمية ل بقدر اﻹمكان لمؤسسات، وتسع نحو تحقيق اﻷه داف من خﻼل نشاطاتها المتعددة المختلفة فالمؤسسة سيدنا على والسﻼم والصﻼة العالمين رب Ϳ الحمد ومقتدانا وقائدنا محمد, والبشرية خاصة اﻷمة ّمربي جمعاء, وعلى آله وصحبه ومن اهتدى بهديه, :وبعد الدين يوم إلى نهجه على وسار ّبدايةﻻ بد أن نعرف بأن القيادة عملية ذات أهمية ك ـ برى في ك ـ مؤسسة حكومية وغير حكوميةّل- سيدنا على والسﻼم والصﻼة العالمين رب Ϳ الحمد ومقتدانا وقائدنا محمد, والبشرية خاصة اﻷمة ّمربي جمعاء, وعلى آله وصحبه ومن اهتدى بهديه, :وبعد الدين يوم إلى نهجه على وسار ّبد ﻻ بداية أن نعرف بأن القيادة عملية ذات أهمية ك ـ برى في ك ـ حكومية وغير حكومية مؤسسة ّل- ماّﻻسي- في العمل التربوي والتعليمي , ﻷنها تقوم بدور كبير في بناء الفرد وتكوين الجماعات كما لها دورها في،تأمين البيئة المناسبة لها ف الس رسم القيادة ّتتولى ياسات واﻻستراتيجيات ذ ات اﻷهمية ل لمؤسسات، وتسعى بقدر اﻹمكان نحو تحقيق اﻷه ـ داف من خﻼل نشاطاتها المتعددة المختلفة, فالمؤسسة التي تفتق ـ د ل لقيادة المتميزة الحك ـ يمة ﻻ تتمكن من أن تح ـقـ ق أه ـ دافها وﻻ تنجح وﻻ ت.ستقيم أمرها 743 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ومن بين المؤسسات كلها وقاداتها تع ـ ّد القيادة التربوية إحدى متطلبات عصرنا الحديث , وأحد اﻷسباب ذات اﻷه ـ مية الق ـ صوى لتطوير المؤسسات التربوية ونجاحها, كما يع ـ د النظام التربوي أحد اﻷنظمة ذات اﻷ ي هم ة في المج ـ فالح ,بأسرها الدولة وداخل تمﻊ ـ ةّماس بحاجة التربوية المؤسسات أن أثبتت المعاصرة ياة ـ لق يادات ناجحة تق ـ ود مسيرة ه ـ ذا الع ـ مل المبارك داخلها, وتح ـقـ ق أه ـ دافها بك ـ فاءة وإتقان . 1 . المقدمة: :مشكلة البحث ّإن من المصائب و العوائق حلت التي ال ب والتعليمية التربوية مؤسسات- الحكومية الحكومية وغير- في ع صر نا الحاضر؛ هي افتقار ها ل لقيادة الحكيمة الواعية التي تسير وفق المنهج الرباني الحكيم، ّفإن ولذلك مشكلة البحث تتبلور وتظهر في كيف الحقيقي المعنى معرفة ية ل لقيادة التربوية وصفات ها ،في ضوء القرآن الكريم ومعرفة القائد المربي الذي يقتدى به في معامﻼته وأخﻼقه وشخصيته العامة. 744 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) فبعد تحديد هذه المشكلة تبرز مشكلة البحث مما تستدعي البحث عن حلول ها، عن طريق استقراء النصوص المتعلقة بالقيادة التربوية في القرآن الكريم, وتوظيف ذلك المصدر لزيادة فاعلية القيادة التربوية .في مؤسساتنا التعليمية 1.6 . :الدراسات السابقة ّشك ﻻ أ ن موضوع القيادة وعﻼقته بالقرآن الكريم هو موضوع جديد في طرحه من جهة البحث أنه من الرغم على ,توجد عدة رسائل ومقاﻻت تحدثت عن القيادة في القرآن الكريم والقيادة التربوية بصورة موجزة، و ﻻ تشترك مﻊ هذا البحث إﻻ في جزئي ات محددة ,ومن هذه الدراسات على سبيل المثال ما يلي : .أ القيادة التربوية بين المفهوم اﻹسﻼمي والغربي ,فهد سعد الثبيتي ,رسالة ماجستير ,جامعة أم القرى / كلية التربية - مكة المكرمة ,نقشت عام : 1404 هـ . .ب القادة في ضوء القرآن الكريم - دراسة موضوعية تحليلية ,فيصل راجح عبد السﻼم ,أطروحة الدكتوراه ,جامعة القرآن الكريم والعلوم اﻹسﻼمية /كلية الدراسات العليا - السودان ,نقشت عام : 1438هـ . .ج القيادة في ضوء القرآن الكريم محمد )  (نموذجا - دراسة استنباطية موضوعية, محمد فتحي عبد الجواد فرج ﷲ , رسالة ماجستير, جامعة المدينة العالمية / كلية العلوم اﻹسﻼمية- ماليزيا, نقشت :عام1438ـه . 1.6 . 1 . المقدمة: :الدراسات السابقة ّشك ﻻ أ ن موضوع القيادة وعﻼقته بالقرآن الكريم هو موضوع جديد في طرحه من جهة البحث أنه من الرغم على ,توجد عدة رسائل ومقاﻻت تحدثت عن القيادة في القرآن الكريم والقيادة التربوية بصورة موجزة، و ﻻ تشترك مﻊ هذا البحث إﻻ في جزئي ات محددة ,ومن هذه الدراسات على سبيل المثال ما يلي : .أ القيادة التربوية بين المفهوم اﻹسﻼمي والغربي ,فهد سعد الثبيتي ,رسالة ماجستير ,جامعة أم القرى .ب القادة في ضوء القرآن الكريم - دراسة موضوعية تحليلية ,فيصل راجح عبد السﻼم ,أطروحة الدكتوراه ,جامعة القرآن الكريم والعلوم اﻹسﻼمية /كلية الدراسات العليا - السودان ,نقشت عام : 1438هـ . .ج القيادة في ضوء القرآن الكريم محمد )  (نموذجا - دراسة استنباطية موضوعية, محمد فتحي عبد الجواد فرج ﷲ , رسالة ماجستير, جامعة المدينة العالمية / كلية العلوم اﻹسﻼمية- ماليزيا, نقشت :عام1438ـه . .د سمات ومهارات القائد التربوي المستنبطة من اﻷحاديث النبوية - الواردة في صحيح اﻹمام البخاري - ,روابي عبدالعزيز عبدالمحسن التركي ,رسالة ماجستير ,جامعة اﻹمام مـحمد بن سعود اﻹسﻼمية /كلية العلوم اﻻجتماعية - المملكة العربية السعودية ,نقشت عام : 1437هـ . 1.7 . :هدف البحث :تتجلى أهداف البحث في أمور من أهمها تقديم دراسة قرآنية تأصي ل حول ية موضوع - التربوية القيادة- وما الكريم القرآن ضوء في ,يتعلق بها ال و تعرف على مميزات القائد ال ترب وي بذكر صفاته ا لتي يجب أن يتحلى بها وينبغي أن تتوافر فيه, كذلك التطرق إلى مهاراته مما هو مستنبط من .الكريم القرآن 1.8 . منهج الب:حث دراسة فيه يتبﻊ أن يقتضي الكريم القرآن في التربوية القيادة موضوع أن بما وتتبعا جديرا باﻵيات والقصص القرآنية من خﻼل التفاسير المعتمدة , والكتب المتعلقة بهذا الموضوع , والدراسات المتخصصة حول القيادة والقيادة التربوية, فاخترنا المنهج الوصفي التحليلي الموضوعي في .دراستنا 1.9 . 1 . المقدمة: :هيكل البحث هذا ال بحث يشتمل على مبحثين , في المبحث اﻷول نتناول نبذة عن مفهوم القيادة التربوية ثم من خﻼل مطلبين نشير إلى مقومات القيادة التربوية ومهامها , و في المبحث الثاني و ضمن 745 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 746 ثﻼثة مطالب نتناول أساليب عمل القيادة التربوية وخصائصها وشروطها , ثم ننهي البحث بذكر النتائج .والتوصيات التي توصلنا إليها خﻼل هذا البحث 2 .المبحث اﻷول : مقومات القيادة التربوية ومهامها تتوزع المادة العلمية لهذا المبحث على مدخل ومط ين لب هي:- 2.1 .مدخل إلى مفهوم القيادة التربوية عرفت ـ الق يادة التربوية من ق ـ بل الباحثين والمخ تص ين في ه ـ ذا المجال- ـ بتع ريفات ع ـ دة, نذكر منها :يأتي ما المثال سبيل على .أ هي "الق ـ يادة المسؤولة ع ـ ن وضﻊ السياسة التربوية لبل ـ البل من د ـ دان في ضوء الفلـسفتين اﻻجتماع ـ ية والتربوية السائدتين، وفي ضوء توجيهات الق ـ يادة السياسية والع ـ مل على تنف ـ يذ الـسياسة لتحق ـ يـق اﻷه ـ داف التربوية, واﻻجتماع ية ـ, واﻻق ـ تصادية, والسياسية للمج ـ تمﻊ من خﻼل أجهزتها اﻹدارية فـي المنـاطق التع ـ ليمية المخ ـ ,تلفة")العرفى ومهدي1996 ,م27 .( .ب هي "ك ـ ف يدرك هادف اجتماعي نشاط ل ـ ع أنه القائد يه ـ ضو في جماعة يرى مصالحها ويه ـ تم بأمورها ويق ـ در أف ـ رادها, ويسعى لتح ـقـ يق مصالحها ع ـ ن طريق التف ـكـ ير والتعاون في رسم الخطط , وتوزيﻊ المسؤوليات حسب الك ات ء فا ـ, واﻻستعدادات البشرية واﻹمكانات المادية المتاحة")العج ـ ,مي 1434 ,هـ176 .( .ج هي "ذل ـ ك الع ـ مل أو السلوك بين اﻷف ـ راد أو الجماعات ال ـ ذي يدع ـ و إلى تح ـ رك الف ـ الجماعة أو رد ـ نح و اﻷه ـ داف ال ـ ال تربوية ـ تي يشتركون في ق ـ بولها, كما و ع أن ـ مل القيادة نوع من التفاعل بين ال ـفـ رد والجماعة وبين الج ـ ماعة والج ـ ماعة مما يق ـ ود إلى إضافة ج ـ ديدة لﻸف ـ راد أو المجموعة")ع ـ ,وض ﷲ 2013 ,م145 .( .د هي "ق ـ يادة الق ـ وى العاملة في الع ـ ملية التربوية وتوجيهها نح ـ و اﻷه ـ تفاعل خﻼل من التربوية داف اجتماعي يحاف ـ ظ على بناء الجماعة وتماسكها، ويح ـقـ ق التعاون ويرفﻊ مستوى اﻷداء")سلي ـ ,مان2015 ,م 26 .( .هـ هي "عملية التأثير على المساه ـ مين في الع ـ ملية التربوية, ودفعهم نح ـ و تح ـقـ يق أه ـ داف المؤسسات ,وغالي علي)"التربوية2010 ,م31 .( ه ذا و يع والمواه الشخصية الصفات من يمتلك الذي الشخص ذلك" :هّبأن التربوي القائد فّر ـ ب الق وية ـ, ما يسمح له بإدارة المنظمة والمرؤوسين وتوج ـ يههم ومنحهم التع ـ ليمات لتح ـقـ يق اﻷه ـ "المنشودة داف )طشط ـ ,وش2008 ,م28 .( ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ثﻼثة مطالب نتناول أساليب عمل القيادة التربوية وخصائصها وشروطها , ثم ننهي البحث بذكر النتائج .والتوصيات التي توصلنا إليها خﻼل هذا البحث 2 .المبحث اﻷول : مقومات القيادة التربوية ومهامها تتوزع المادة العلمية لهذا المبحث على مدخل ومط ين لب هي:- 2.1 .مدخل إلى مفهوم القيادة التربوية عرفت ـ الق يادة التربوية من ق ـ بل الباحثين والمخ تص ين في ه ـ ذا المجال- ـ بتع ريفات ع ـ دة, نذكر منها :يأتي ما المثال سبيل على .أ هي "الق ـ يادة المسؤولة ع ـ ن وضﻊ السياسة التربوية لبل ـ البل من د ـ دان في ضوء الفلـسفتين اﻻجتماع ـ ية والتربوية السائدتين، وفي ضوء توجيهات الق ـ يادة السياسية والع ـ مل على تنف ـ يذ الـسياسة لتحق ـ يـق اﻷه ـ داف التربوية, واﻻجتماع ية ـ, واﻻق ـ تصادية, والسياسية للمج ـ تمﻊ من خﻼل أجهزتها اﻹدارية فـي المنـاطق التع ـ ليمية المخ ـ ,تلفة")العرفى ومهدي1996 ,م27 .( .ب هي "ك ـ ف يدرك هادف اجتماعي نشاط ل ـ ع أنه القائد يه ـ ضو في جماعة يرى مصالحها ويه ـ تم بأمورها ويق ـ در أف ـ رادها, ويسعى لتح ـقـ يق مصالحها ع ـ ن طريق التف ـكـ ير والتعاون في رسم الخطط , وتوزيﻊ المسؤوليات حسب الك ات ء فا ـ, واﻻستعدادات البشرية واﻹمكانات المادية المتاحة")العج ـ ,مي 1434 ,هـ176 .( .ج هي "ذل ـ ك الع ـ مل أو السلوك بين اﻷف ـ راد أو الجماعات ال ـ ذي يدع ـ و إلى تح ـ رك الف ـ الجماعة أو رد ـ نح و اﻷه ـ داف ال ـ ال تربوية ـ تي يشتركون في ق ـ بولها, كما و ع أن ـ مل القيادة نوع من التفاعل بين ال ـفـ رد والجماعة وبين الج ـ ماعة والج ـ ماعة مما يق ـ ود إلى إضافة ج ـ ديدة لﻸف ـ راد أو المجموعة")ع ـ ,وض ﷲ 2013 ,م145 .( .د هي "ق ـ يادة الق ـ وى العاملة في الع ـ ملية التربوية وتوجيهها نح ـ و اﻷه ـ تفاعل خﻼل من التربوية داف اجتماعي يحاف ـ ظ على بناء الجماعة وتماسكها، ويح ـقـ ق التعاون ويرفﻊ مستوى اﻷداء")سلي ـ ,مان2015 ,م 26 .( .هـ هي "عملية التأثير على المساه ـ مين في الع ـ ملية التربوية, ودفعهم نح ـ و تح ـقـ يق أه ـ داف المؤسسات ,وغالي علي)"التربوية2010 ,م31 .( .هـ هي "عملية التأثير على المساه ـ مين في الع ـ ملية التربوية, ودفعهم نح ـ و تح ـقـ يق أه ـ داف المؤسسات ,وغالي علي)"التربوية2010 ,م31 .( .هـ هي عملية التأثير على المساه ـ مين في الع ـ ملية التربوية, ودفعهم نح ـ و تح ـقـ يق أه ـ داف المؤسسات ,وغالي علي)"التربوية2010 ,م31 .( ه ذا و يع والمواه الشخصية الصفات من يمتلك الذي الشخص ذلك" :هّبأن التربوي القائد فّر ـ ب الق وية ـ, ما يسمح له بإدارة المنظمة والمرؤوسين وتوج ـ يههم ومنحهم التع ـ ليمات لتح ـقـ يق اﻷه ـ "المنشودة داف )طشط ـ ,وش2008 ,م28 .( ه ذا و يع والمواه الشخصية الصفات من يمتلك الذي الشخص ذلك" :هّبأن التربوي القائد فّر ـ ب الق وية ـ, ما يسمح له بإدارة المنظمة والمرؤوسين وتوج ـ يههم ومنحهم التع ـ ليمات لتح ـقـ يق اﻷه ـ "المنشودة داف )طشط ـ ,وش2008 ,م28 .( 746 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) رى ن ّأن ـه ذه التع ـ ريفات سرد تع ل ـ ريف الق ـ اﻹسﻼمي المنظور من اّأم ,العام منظورها من التربوية يادة ـ يمك ـف ن تع ـ ريف الق ـ يادة التربوية بأنها: ع ـ ملية تأثير القائد في تابع ـ يه باﻹق ـ ناع والتوجيه ومنح الق ـ درة وتحف ـ يزهم لتحق ـ يق أه ـ.داف المؤسسة التربوية, في إطار المبادئ والثوابت اﻹسﻼمية رى ن ّأن ـه ذه التع ـ ريفات سرد تع ل ـ ريف الق ـ اﻹسﻼمي المنظور من اّأم ,العام منظورها من التربوية يادة ـ يمك ـف ن تع ـ ريف الق ـ يادة التربوية بأنها: ع ـ ملية تأثير القائد في تابع ـ يه باﻹق ـ ناع والتوجيه ومنح الق ـ درة وتحف ـ يزهم لتحق ـ يق أه ـ.داف المؤسسة التربوية, في إطار المبادئ والثوابت اﻹسﻼمية ّﻷن ـ الق يادة بمخ ـ أنواعها تلف- ماّﻻسي- التربوية في اﻹسﻼم مرتبطة ارتباطا وثيقا بالع ـقـ يدة اﻹسﻼمية ﻻ ـ تنف ّوﻷن ,عنها ك ـقـ الع يدة هي ال مثل ـع ال ليا مما ّويض اﻹنسان بها يؤمن حي من أج ـ وماله بنفسه لها ,)قشطة2009 ,م21 - 22(, فهي مسؤولية نابعة من ق ـ) اﻷكرم ّالنبي ول ـلﱡُك] :(ـ ُكَو ،ٍاعَر ْمُك ـ ْمُلﱡـك ,البخاري)[ِهِيﱠتِعَر ْـنَع ٌئؤولْـسَم1422 ,هـ :كتاب: الجمعة, باب: الجمعة في القرى والمدن, رقم الحديث 893 , ج2 /ص5 ,, ومسلم 1374 ,هـ كتاب: اﻹمارة ,باب: فضيلة اﻹمام العادل, :رقم الحديث1829 , ج3 /ص1459 للبخاري واللفظ (, بعد هذا ال مدخل نتناول في المطلبين اﻵتيين م قومات القيادة التربوية :ومهامها 2.2 . ةƼمج ميةƼعƿى زانست اDžقه ,من ثمرة إيمان القائد التربوي اطمئنانه وثقته بقيادته, كذلك سعيه نحو أهدافه والغاية التي توجه إليها كـ يع ذلك ّل ـ اﻷساس المقومات من ّد ّبد ﻻ التي ية من توافرها في أي إنسان يرام منه تسنم القيادة التربوي ة ,)أبو الفضل1417 ,هـ145 - 146 ( واﻷمر هذا يتبن بوضوح في حياة اﻷنبياء ()عليهم السﻼم - قادة اﻷمم - وسيرتهم؛ القرآن من نصوص ذلك إلى أشار كما الكريم :منها م م م .أ ) قال تعالى في حق المصطفى :(  ِمُأَو ـ ُكَأ ْنَأ ُتْر ـ ِم َون ـ ُمْال َن ـ َينِنِمْؤ :)يونس104 .( .أ ) قال تعالى في حق المصطفى :(  ِمُأَو ـ ُكَأ ْنَأ ُتْر ـ ِم َون ـ ُمْال َن ـ َينِنِمْؤ :)يونس104 .( .ب ) قال تعالى في حق سيدنا نوح :(  ِم ُنﱠهِإ ـ ِع ْن ـ ُمْال اَنِادَب ـ َينِنِمْؤ :)الصافات81 .( .ب ) قال تعالى في حق سيدنا نوح :(  ِم ُنﱠهِإ ـ ِع ْن ـ ُمْال اَنِادَب ـ َينِنِمْؤ :)الصافات81 .( .ب ) قال تعالى في حق سيدنا نوح :(  ِم نهِإ ـ ِع ن ـ ُالم ناِادَب ـ ينِنِؤم :)الصافات81 .( .ج ) قال تعالى في حق سيدنا إبراهيم :(  ِم ُنﱠهِإ ـ ِع ْن ـ ُمْال اَنِادَب ـ َينِنِمْؤ :)الصافات111 .( .ج ) قال تعالى في حق سيدنا إبراهيم :(  ِم ُنﱠهِإ ـ ِع ْن ـ ُمْال اَنِادَب ـ َينِنِمْؤ :)الصافات111 .( .د ) قال تعالى في حق سيدنا موسى :(  َـق َحْبُس َال ـَـ ان ْيَلِإ ُتْبُت َك ـ ُمْال ُوﱠ لَأ اَنَأَو َك ـ َينِنِمْؤ )اﻷع ـ:راف143 .( .د ) قال تعالى في حق سيدنا موسى :(  َـق َحْبُس َال ـَـ ان ْيَلِإ ُتْبُت َك ـ ُمْال ُوﱠ لَأ اَنَأَو َك ـ َينِنِمْؤ )اﻷع ـ:راف143 .( فالذي يبدو ل نا - ومعلوم لدى اﻵخرين- صف همّكل (السﻼم عليهم) اﻷنبياء ّأن ـ وة الخلق وقادة أمتهم ) ﷲ واختارهم ,يهمّومرب( بين ع ـ,باده لهذه المهمة الجليلة ويصفهم باﻹيمان ومن خﻼل قصصهم تدبر مدى يتبين وسردها ضرور ة توافر اﻹيمان لدى القائد التربوي بما يدعو له من توجيهات وإرشادات تربوية كمطلب أساس وضروري وكإحدى المقومات اﻷساسية التي تؤهل القائد للقيادة اﻷصيلة, ليصبح نموذجا رفيعا وي ؤ ثر في همّﻷن ,حوله من نفوس .ورثة اﻷنبياء )عليهم السﻼم( ﻹصﻼح المجتمﻊ 748 2. ةƼمج ميةƼعƿى زانست اDžقه ذلك التواف ـ) ق الكامل بين سلوك رسول ﷲ( ومواق ـ فه مﻊ مق ـ تضيات في ّاستقر الذي العظيم اﻹيمان سويداء ق ـ لبه وف ـ) هّأن شك وﻻ ,ؤاده ( كان ـ أع ّمرب ظم ي لهذه اﻷمة- خاصة - وللبشرية- جمعاء -. 1 . المقدمة: :المطلب اﻷول مقومات القيادة التربوية ـ مق ومات الق ـ يادة التربوية هي اﻷمور التي هي ـع ماد نجاح القائد وف ـ وزه ليق ـ وم بالق ـ يادة اﻹيجابية ويمارسها على أساسها, محاف ـ ظا وعازما ع ـ ليها, مستق ـ يما مع ـ تدﻻ في أدائها, سائسا ﻷمورها, قائما بشؤونها, ليكون ق ـ يامه بها خير قيام يتحق ـ ق به المقصود, ويبلغ به غايته المنشودة وينجح في دع ـ وته .المباركة ال ّأن ّشك ﻻ ـقـ يادة بمثابة الرأس من الج ـ سد تح ـ دد اﻷه ـ داف, وتتج ـ مﻊ ع ـ ندها المع ـ لومات, وتفك ـ ر وتدرس مستع ـ ينة بالك ـ فاءات المتخصصة, وتصدر التع ـ ليمات وتتابﻊ التنف ـ يذ, وه ـكـ ذا تسير اﻷع ـ على مال ـ وج صح ه ـ يح, وبق ـ در ما تك ـ ون الق ـ يادة ق ـ وية وناشـطة ويق ـ ظة وعلى مستوى جيد من الكفاءة يكون اﻷداء متميزا, والعك ـ س صح ـ يح في حالة ضع ـ فها وعج ـ زها ونق ـ ك ص ـ فاءتها ف ـ يك ـ عن والقصور التراخي ون ـ تحق يق اﻷه ـ داف, وه ـ ذه الق ـ وة ونق ـ يضها- أي الضعف- ـ يع تمد على توافر المقومات الضرورية للقيادة ,فتحي) عدمها أو1429 ,هـ109(, نذك ـ ر أدناه بعض المق ـ ومات الضرورية للقيادة التربوية من المنظور :القرآني 1 :اﻹيمان .بما أن دراسة ـ الق يادة التربوية والبح ـ ث عنها من منظور الق ـ رآن الكريم يتم من خﻼل آياته وظﻼل مفاه ـي مه الواسعة وق ـ صصه الواقعة, لذا يع ـ أه من اﻹيمان ّد ـ مق ّم ـ ومات الق ي ادة - ماّﻻسي - التربوية ﻷنهم شغ ـوف ون بأع ـ وأصالته اﻹيمان على تبن لم إذا والتربية التربية؛ وهي أﻻ اﻹطﻼق على مهنة ظم ـف .الحاضر عصرنا في اليوم الهﻼك أمارات تبدو كما الهﻼك إلى مصيرها واﻹ يمان بمفه ـ ومه الخاص يشمل اﻷركان الستة المعروفة, وبمفهومه العام يتناول التصديق والطمأنينة على شاهد خير ونلمس ,إيمانه مقتضيات مﻊ دائما سلوكه يتوافق اﻹيمان القوي واﻹنسان ,القلب وسكون 747 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه ِع َﻻ َكَانَحْبُس واُالَق ـ َع اَم ﻻﱠِإ اَنَل َمْل ـ َعْال َتْنَأ َنﱠكِإ اَنَتْلﱠم ـ ِكَحْال ُيمِل ـ) ُيم32 ْمُهْئِبْنَأ ُمَدَآ اَي َالَق ( ُهَأَبْنَأ مﱠاَلَف ْمِهِائَمْسَأِب ـ ُقَأ ْمَلَأ َالَق ْمِهِائَمْسَأِب ْم ـ ُكَل ْل ـ ْعَأ يِّنِإ ْم ـ َـل ُم َـغ َلْعَأَو ِضْرَ ْاﻷَو ِاتَاوَالسﱠم َبْي ـ اَمَو َونُدْبُت اَم ُم ُـك ْكَت ْمُتْن ـ َونُمُت.) 33 (. ُق ْذِإَو ـ َكِئَﻼَمْلِل اَنْل ـ ُجْاس ِة ـ َف َمَدَ ِﻵ واُد ـ َجَـ س ْكَتْاسَو ىَبَأ َيسِلْبِإ ﻻﱠِإ واُد ـ َنِم َانَكَو َرَب ِافَكْال ـ َينِر :)البقرة31 - 34 .( )( واﻵيات في القرآن الكريم- به يّوالتحل العلم أهمية على تنص التي- بالعلم اﻻتصاف لذا ,ًجدا كثيرة واﻻلتزام باﻷسلوب العلمي واستخ ـ دامه في عملية صنﻊ الق ـ رارات, واللجوء إليه في توضيح اﻷه ـ داف وتحديد المشاكل وتشخيصها بشكل دقيق, أمر في غاية اﻷهمية للقائد الترب ؛ وي ﻷنه و باﻷسلوب العلمي وما ع ند ـ القائد من الملكة العلمية يستطيﻊ أن يتغلب على مشاكله بشكل جيد, ويصنﻊ أو يتخذ قرارا ت فعال ة أو يخ ـ ويق الواقﻊ أرض على ينفذه ّثم قرار أفضل تار ـ نﻊ اﻵخرين بما لديه ) ,الحريري2008 ,م 233 .( في نهاية الحديث عن هـ ذه المق ـ ومة بين ك ـ ل المقومات اﻷساسية التي تأتي بعدها نرى ّها أن ّأهم من ها, و ينبغي للقائد التربوي أن يستز يد من التعلم و ي حرص على مداومة التعليم والتنمية الذاتية, وشاه ـ على دنا ذلك ما ع ـ ّل) مه ﷲ ) ( رسوله الكريم( من الدعاء اًمْلِع يِنْدِز ِّبَر ْلُقَو :)طه114 (, إن اﻵية فهذه دلت على شيء فإنما للقائد البالغة وأهميته العلم مكانة على ّتدل- ماّﻻسي- ) ﷲ ﻷن ّالتربوي في ( ـ الق رآن الك ـ ريم ك ـ له قاط بة لم يأمر) الحبيب هّنبي العلم سوى شيء أي من اﻻستزادة يطلب أن ( ,)الزمخشري1407 ,هـ3 / 90 (, وهو )  ( ّمربي خير وأفضل قا ئد عرفته البشرية جمعاء ,وفي اﻵية - أيضا- الترغيب في تحصيل العلم والترقي فيه إلى ما شاء ﷲ, ﻷن رتبة العلم أعلى ،الرتب وبحره واسﻊ ﻻ يحيط به إنسان ,)الزحيلي1418 ,هـ16 / 292 ( . ةƼمج ميةƼعƿى زانست اDžقه الع ـ :لم البده من ّأن ّشك ﻻ ـ يات أن يك ـ ون القائد التربوي ع ـ لى ع ـ لم- ّﻻسي ما- علم ي خص المجاﻻت المعرف ـ ية المباشرة المؤثرة في مجال ق ـ يادته، فليس هناك أخطر من القائد الجاهل، لذا يعد العلم من أع ـ ظم ـ مق ومات الق ـ يادة التربوية )فرج ﷲ , 1438 ,هـ31 ,( ) وتبدو عظمته خﻼل كتاب ﷲ تعالى هّأن إذ ( :أوجبه قبل القول والعمل فيقول ْاعَـ ف ِفْغَتْاسَو ُﱠစ ﻻﱠِإ َهَلِإ َﻻ ُنﱠهَأ ْمَل ـ ِل ْـ ر َكِبْنَذ :)محمد19 ( اﻹمام بّبو وقد , ﷲ ّأن وذلك ,( والعمل القول قبل العلم باب ) بقوله اﻵية لهذه (ﷲ رحمه) البخاري) هّنبي أمر تعالى  ( ّثم بالعلم :بأمرين :العمل, والمبدوء به العلم في قوله تعالى  َـف ْـ اع ُﱠစ ﻻﱠِإ َهَلِإ َﻻ ُنﱠهَأ ْمَل في بالعمل أعقبه ّثم , :قوله  ْغَتْاسَو ـ ِـف َكِبْنَذِل ْرـ , ف الع ّوأن ,العمل مرتبة على مقدمة العلم مرتبة ّأن على ذلك ّدل ـ لم في شرط صحة القول والعمل, فﻼ اعتبار إﻻ به فهو مقدم عليهما ﻷنه مصح ـ ح للنية المصححة للع ـ مل, والخطاب في ه ـ ذه اﻵية الك ـ) ّللنبي كان وإن ريمة( فهو متناول ﻷمته ,)العسقﻼني1379 ,هـ1 / 160 .( والعلم الذي هو ضرورة ﻻ غنى عنها ﻷي إنسان ؛ فإنه يمثل ضرورة من ألزم الضروريات لنجاح ) القائد التربوي, ولتمكينه من ممارسة مسؤولياته القيادية, نلحظ هذا من متابعة سنة ﷲ القرآن في ( ) الكريم في خلقه ﻵدم ) ( واستخﻼفه له في عمارة اﻷرض, فقد شاءت حكمة الخالق ) ( أﻻ يدع آدم ( على الحياة يواجه اﻷرض بغير سﻼح يعينه على تحقيق المهام واﻷعباء الملقاة على عاتقه كخليفة مستخلف ) من قبل الخالق( مسؤول عن عمارة اﻷرض وصﻼحها, فزوده ,وذريته بنيه وحياة حياته وصﻼح 748 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) سبحانه وتعالى ) بسﻼح العلم, حيث تكفل الخالق ) ( بتعليم آدمسم من بلغ ولقد ,هاّكل اﻷسماء ( مكانه ّو وفضل ه ـ) ﻵدم بالسجود المﻼئكة مرُأ ْأن العلم ذا ,()أبو الفضل1417 ,هـ151 (, وفي هذا يقول ﷲ )  :(  ُك َاءَمْسَ ْاﻷ َمَدَآ َلﱠمَعَو ـ َع ْمُهَضَرَع مﱠُث اَلﱠه ـ َه ِاءَمْسَأِب يِونُئِبْنَأ َالَقَف ِةَكِئَﻼَمْال ىَل ـ ُك ْنِإ ِءَﻻُؤ ـ ُتْن ـ ْم ِقِادَص ـ َين.) 31 (. ةƼمج ميةƼعƿى زانست اDžقه 3 :دقّالص .الصدق: خﻼف الك ذب ـ )ابن فارس, 1399هـ , 3 / 339 ,( وهو مطابقة القول الضمير- النية- والمخبر عنه معا، ومتى انخرم شرط من ذلك لم يكن صدقا تاما )اﻷصفهانى, 1412هـ , 478 ( ، وما أع ـ) هّرب مﻊ صادقا شيء ّكل قبل اﻹنسان يكون أن ظم(, ثم مﻊ نفسه و كذلك وإن ,جميعا الناس مﻊ كان قائدا فهو أحرى به بأن يتخلق بهذا الخلق ال نبي ل، والصدق من المقومات ذات اﻷ ي هم ة ال كبرى في استخدام ويحسن به ىّيتحل أن للقائد ينبغي لذا ,التربوي القائد بشخصية متينة عﻼقة وله والريادة القيادة ّويحث حوله ممن التأثير فن ويتقن والمعلومات البيانات هم على ما يجب عليهم بتوجيهاته الصادقة )السعود, 2013 ,م158, و فرج ﷲ , 1438 ,هـ32 .( عل التشجيﻊ ورد وقد ى هذه الصفة الجميلة في القرآن الكريم والسنة النبوية في نصوص كثيرة, فعلى سبيل المثال يق ـ) ول ﷲ :(  ُاتﱠق واُنَمَآ َينِالﱠذ اَيﱡهَأ اَي ـ ُكَو َﱠစ وا ـ قِالصﱠاد َﻊَم واُون ِـ َين :)التوبة119 ,( أي : 749 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) اصدقوا والزموا الصدق تكونوا مﻊ أهله, وتنجوا من المهالك, ويجعل لكم فرجا من أ موركم ومخرجا )ابن كثير , 1420هـ , 4 / 230 ( ، ففي ه ـ ذه اﻵية الك ـ) ﷲ ّأن نرى ريمة( لم يطل ـ فقط صادقين نكون ْأن اّمن ب ,بل أمرنا أن نكون معهم وفي الجملة الصدق مﻼك اﻷخﻼق الفاضلة وعنصرها اﻷساسي، واﻹيمان ،الصحيح والعمل الصالح ) ,أبو زهرة1987 ,م7 / 3477 ,( ) ويقول الحبيب ّالص نﱠِإ] :( ِـ ْهَي َقْد ـ يِد بْال نﱠِإَو ، ِّرِبْال ىَلِإ ِـ ْهَي رﱠ ـ َجْال ىَلِإ يِد ـ ُالرﱠج نﱠِإَو ،ِنﱠة ـ َل َـ ل ْكُي تﱠىَح ُقُدْصَي ـ ِع َبَت ـ ًيقِّدِص ِﷲ َدْن ـ َكْال نﱠِإَو ،ا ـ َبِذ ْهَـ ي ىَلِإ يِد ُفْـ ال ُـج ُجُفْال نﱠِإَو ، ِور ـ ْهَي َور ـ ال ىَلِإ يِد ـ ال نﱠِإَو ، ِنﱠار ـ ُرﱠج ـ َيَل َل ـ ِﷲ َدْنِع َبَتْكُي تﱠىَح ُبِذْك [اًذﱠابَك ,البخاري) 1422 ,هـ :الحديث رقم ,الكذب عن ينهى ما :باب ,اﻷدب :كتاب6094 , 8 / 25 ,, ومسلم 1374 ,هـ :كتاب البر والصلة واﻵداب , :باب قبح الكذب وحسن الصدق وفضله :, رقم الحديث2607 , 4 / 2012 ( واللفظ ل .مسلم إذن على المكلف بالسيادة والقيادة- ماّﻻسي- التربوية أن ﻻ ينظ ر إلى الصدق كخلق فاضل يجب الت حلي به ﻻ غ ـ ير! ةƼمج ميةƼعƿى زانست اDžقه هذا و ح الكريم القرآن ّأن افل بآيات كثيرة - وإ هاّعد الصعب من حصاؤها - مما ضهّوتحر اﻹنسان ّتحث ح على ـ سن الحلق بأنواعه والتح ـ كذل ,به يّل ك السنة النبوية ّتؤك ـ د عل الخلق حسن ى ك نصوص في ـ ,ثيرة ـ وخ ) ﷲ رسول خلق كان ما (عنها ﷲ رضي) المؤمنين ّأم عائشة ئلتُس حين هذا على دليل ير (؟ 750 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) َك] :قالت ـ ُلُخ َان ـ ُقْال ُهُق ـ[َآنْر)البخاري , 1409 ,هـ باب: من دعا ﷲ أن يحسن خلقه :, رقم الحديث308 , ص115 (, فمن) ﷲ رسول حياة ّأن المعلومـ ( ك اﻷخﻼقية الكريم القرآن لمفاهيم واقعي تفسير هاّل وأبعاده اﻹيمانية, هذا والتراث اﻹسﻼمي زاخر بشواهد كثيرة على اهتمام علماء اﻹسﻼم ومفكريه .القادة بأخﻼق خاصة كتبا فواّأل فقد ,فيه المصنفات وتأليف اﻷخﻼق بموضوع َك] :قالت ـ ُلُخ َان ـ ُقْال ُهُق ـ[َآنْر)البخاري , 1409 ,هـ باب: من دعا ﷲ أن يحسن خلقه :, رقم الحديث308 , ص115 (, فمن) ﷲ رسول حياة ّأن المعلومـ ( ك اﻷخﻼقية الكريم القرآن لمفاهيم واقعي تفسير هاّل وأبعاده اﻹيمانية, هذا والتراث اﻹسﻼمي زاخر بشواهد كثيرة على اهتمام علماء اﻹسﻼم ومفكريه .القادة بأخﻼق خاصة كتبا فواّأل فقد ,فيه المصنفات وتأليف اﻷخﻼق بموضوع 5 .ﻼقةِالع سنُح مع اﻵخرين :يشع الذي هو الناجح التربوي القائد ّإن ـ ﻻ منهم فرد هّأن حوله من ر القيادة ماتّمقو ّأهم من ّولعل ،يعتزلهم وﻻ يهجرهم وﻻ عليهم يتعالى وﻻ لهم يتواضﻊ ،وبينهم بينه فرق التربوية حسن مخالطة اﻷصحاب وحسن العﻼقة معهم, حتى ﻻ يكاد يميز ال قائد عنهم بشيء )فرج ﷲ , 1438 ,هـ33 ( . ةƼمج ميةƼعƿى زانست اDžقه بل ع ـ ليه أن يذه ـ ب إلى أبع ـ د من ذلك؛ يذه ـ ماتّمتم من الصدق ّأن إلى ب إيمانه النف في يزرع الصدق ّأن ّشك وﻻ ,إحسانه وجمال إسﻼمه ومكمﻼت ـ البال وراحة والطمأنينة الثقة وس واﻷنس, ف ـ يركن الناس إلى القادة الصادق ـ ين ويثق ـ ون بهم, ومتى وثق الناس فيهم يف ـ تحون لهم القلوب فيستمعون إليهم فيما إذا تحدثوا, ويق ـ ,بلون إرشاداتهم وتوجيهاتهم ويتوجهون إليهم يسألونهم ويستف ـ تونهم )القحطاني , 1415 ,هـ317, و فتحي , 1429هـ , 133 .( 4 :قُلُالخ سنُح . ّبد ﻻ التي اﻷهمية ذات المقومات من من توافرها في القائد التربوي ،الخلق سنُح ـ فيج بلُس من عظيم سبيل وهذا ،حوله من مﻊ به ويتعامل به ىّيتحل أن القائد على ب نجاحه وف ـ وزه في ع يساعده التربوي للقائد الخلق سنُح ّوإن ،وريادته قيادته ِم واستيعابها اﻵراء طرح حسن لى نَم قبل ن حوله على السواء, وإذا حسنت أخﻼقه تسهلت له اﻷمور الصعاب وﻻنت له القلوب الغضاب )فتحي, 1429هـ , 87, و فرج ﷲ , 1438هـ , 32 .( لقد توقف القرآن (السﻼم عليهم) الكرام ﷲ رسل وصف في الرفيﻊ لقُالخ عند متعددة مرات الكريم ) اﻷكرم ّالنبي مدح في منها ,به :( في قوله تعالى َعَل َنﱠكِإَو ـ َع ٍقُلُخ لى ـ ٍيمِظ :القلم) 4 ( , ومن هنا يتبين والد البارزة المقومات ّأهم من واحدا ّيعد العالي الغالي الخلق ّأن كيف لنا ّالنبي جعلت التي اﻷساسية عائم )  ( أهﻼ لتلقي رسالة النور والرحمة للعالمين, وقيادة البشرية وسيادتها جمعاء, وأن تكون قيادته ,الفضل أبو) الساعة قيام إلى به يقتدى نموذجا وريادته1417 ,هـ161 (, وكذلك وصف ﷲ تعالى إخوانه ) ( من اﻷنبياء والمرسلين )عليهم السﻼم) ( بالخلق الكريم فيقول :( في حقهمئَولُأ ِـ الﱠ َـ ك َه َينِذ ـ ىَد َف ُﱠစـ ُاهَدُهِب ـ َتْاق ُم ـ ِهِد :)اﻷنعام90 (. ةƼمج ميةƼعƿى زانست اDžقه الفصاحة على ّيدل أصل :حْصَالف ـ خل ال وص في ال شيء و ال نقاء من الشوب, والفصيح: المنطل ـ ق ـ الل فصيح ولسان ,بليغ أي فصيح وكﻼم فصيح ورجل ,رديئه من الكﻼم جيد يعرف الذي القول في سان أي ط ـ ,لق )الجوهري1407 ,هـ1 / 391 ,, وابن فارس1399 ,هـ4 / 506 ,والزﱠبيدي , 1984 ,م 7 / 18(, فالفصاح في فصيح بكﻼم المقصود عن التعبير على صاحبها بها يقتدر التي كةَالمل عن عبارة ة من الكلمة وخلوص ,الكﻼم صياغة على نفسه في الثابتة الفصاحة بصفة قادرا فيكون ,كان غرض ِّأي على تثقل وﻻ ،اللسان على تخف عذبة رقيقة لتكون الحروف؛ تنافر ومن السمﻊ في والكراهة الغرابة ,السمﻊ، بل تكون مألوفة اﻻستعمال, حتى ﻻ تكون شاذة )الهاشمي1426 ,هـ14و34 .( القائد في توافرها المطلوب ,اﻷساسية المقومات ّأهم من انّتعد البيان على والقدرة الفصاحة ّأن ّشك ﻻ ّأهم فمن ,اﻹدارية للقيادة أهﻼ ليكون التربوي الواج ـ بات الملقاة على عاتق أي قائد إداري, قيامه بإبﻼغ الجماعة المسؤ و ل عنها, بمضمون ال رسالة هّتوج التي على العمل ّثم ,ومنهم منه أعلى سلطة قبل من إليهم ﻻ ومما ,بها جاء ما وتنفيذ بمقتضاها العمل على همّوحث ,بقبولها وإقناعهم وتوضيحها الرسالة تلك تفسير و وفصاحته القائد بﻼغة قدر على أنه فيه ّشك حسن بيانه وفهم الناس منه, في النجاح من هّحظ يكون ,الفضل أبو) مهمته1417 ,هـ156 ( . ةƼمج ميةƼعƿى زانست اDžقه لذا عدت هذه العﻼقة الحسنة أصﻼ من أصول القيادة, والتحكم بين القائد ومن ح ـ المؤسسة في وله وخارجها يق ـ وم على اﻷخوة والتعاون والمبادئ الرفيعة, مما يؤدي بالنتيجة إلى تحق ـ يق أهداف المؤسسة ما وذلك ,عالية وجودة بكفاءة:جاء في القرآن الكريم في قوله تعالى  ُاءَيِلْوَأ ْمُهُضْعَب ُاتَنِمْؤُمْالَو َونُنِمْؤُمْالَو ِرَكْنُمْال ِنَع َنْوَهْنَيَو ِوفُرْعَمْالِب َونُرُمْأَي ٍضْعَب :)التوبة71 .( لذا عدت هذه العﻼقة الحسنة أصﻼ من أصول القيادة, والتحكم بين القائد ومن ح ـ المؤسسة في وله وخارجها يق ـ وم على اﻷخوة والتعاون والمبادئ الرفيعة, مما يؤدي بالنتيجة إلى تحق ـ يق أهداف المؤسسة ما وذلك ,عالية وجودة بكفاءة:جاء في القرآن الكريم في قوله تعالى  ُاءَيِلْوَأ ْمُهُضْعَب ُاتَنِمْؤُمْالَو َونُنِمْؤُمْالَو ِرَكْنُمْال ِنَع َنْوَهْنَيَو ِوفُرْعَمْالِب َونُرُمْأَي ٍضْعَب :)التوبة71 .( ـ ولق) د كان رسول ﷲ( المثال ال محتذى به لهذه الخصيصة والميزة فكان يجلس كما يجلس أصحابه )  وقد ,ركوبه حتى طعامه أو لباسه أو شارته من بشيء عنهم زّيتمي يكاد ﻻ حتى ,يأكلون كما ويأكل ( ) ﷲ رسول ّأن البخاري صحيح في ثبت ) ( كان جالسا مﻊ أصحابه يﱡَأ] :فقال رجل فجاء (ـ ُـك م ﷲ رسول له فقال [مﱠد؟َحُم)  َق] :( ـ َجَأ ْد ـ ُتْـ ب ,البخاري)[َك1422 ,هـ كتاب العلم , باب: ما جاء في العلم , :الحديث رقم63 , 1 / 23 ) هّأن على دليل ففيه ,(  ( لم يكن يستأثر على أصحابه وجلسائه بشرف المجلس وﻻ يباينهم بزي وﻻ مقعد ,)ابن الموصلي1416 ,هـ73 - 74 .( فالناظر والمتدبر في حياة) ّالنبي ) تصرفاته ّأن بوضوح يرى العطرة وسيرته (  ّكل في ( حاﻻته الزوجية واﻻجتماعية واﻹدا رية والقضائية والقيادية كانت في :ضوء قوله تعالى  َنِم ٍةَمْحَر اَمِبَف ُفْاعَف َكِلْوَح ْنِم ضﱡواَفْنَﻻ ِبْلَقْال َيظِلَغ ا̒ظَف َتْنُك ْوَلَو ْمُهَل َتْنِل ِﱠစ ِرْمَ ْاﻷ يِف ْمُهْرِاوَشَو ْمُهَل ْرِفْغَتْاسَو ْمُهْنَع َينِلِّكَوَتُمْال بﱡِحُي َﱠစ نﱠِإ ِﱠစ ىَلَع ْكﱠلَوَتَف َتْمَزَع اَذِإَف :عمران آل) 159 ,( بن أنس الجليل ّالصحابي هو ها ) مالك ) ( الذي خدم رسول ﷲ َخَف] :وصفه في يقول سنين عشر (ـ َف ، ِرَضَالحَو ِرَالسﱠف يِف ُهُتْمَد ـ ِﱠစَو َق اَـ م ْعَنَص ٍءْيَشِل يِل َال ـ ْعَنَص َمِل ُهُت ـ َه اَذَه َت ـ َل ٍءْيَشِل َﻻَو ا؟َذَك ـ ِل ُهْعَنْصَأ ْم ـ َل َم ـ َه اَذَه ْﻊَنْصَت ْم ـ َـك ,البخاري)[اَذ 1422 ,هـ ,كتاب: الديات باب: من استعان عبدا أو صبيا , رقم:الحديث 6911 , 9 / 12 ,, ومسلم 1374 ,هـ :كتاب الفضائل, باب: كان رسول ﷲ )  ( أحسن الناس خلقا, :رقم الحديث2309 , 4 / 1804 .( ـ ولق) د كان رسول ﷲ( المثال ال محتذى به لهذه الخصيصة والميزة فكان يجلس كما يجلس أصحابه )  وقد ,ركوبه حتى طعامه أو لباسه أو شارته من بشيء عنهم زّيتمي يكاد ﻻ حتى ,يأكلون كما ويأكل ( ) ﷲ رسول ّأن البخاري صحيح في ثبت ) ( كان جالسا مﻊ أصحابه يﱡَأ] :فقال رجل فجاء (ـ ُـك م ﷲ رسول له فقال [مﱠد؟َحُم)  َق] :( ـ َجَأ ْد ـ ُتْـ ب ,البخاري)[َك1422 ,هـ كتاب العلم , باب: ما جاء في العلم , :الحديث رقم63 , 1 / 23 ) هّأن على دليل ففيه ,(  ( لم يكن يستأثر على أصحابه وجلسائه بشرف المجلس وﻻ يباينهم بزي وﻻ مقعد ,)ابن الموصلي1416 ,هـ73 - 74 .( ي م ي )( فالناظر والمتدبر في حياة) ّالنبي ) تصرفاته ّأن بوضوح يرى العطرة وسيرته (  ّكل في ( حاﻻته الزوجية واﻻجتماعية واﻹدا رية والقضائية والقيادية كانت في :ضوء قوله تعالى  َنِم ٍةَمْحَر اَمِبَف ُفْاعَف َكِلْوَح ْنِم ضﱡواَفْنَﻻ ِبْلَقْال َيظِلَغ ا̒ظَف َتْنُك ْوَلَو ْمُهَل َتْنِل ِﱠစ ِرْمَ ْاﻷ يِف ْمُهْرِاوَشَو ْمُهَل ْرِفْغَتْاسَو ْمُهْنَع َينِلِّكَوَتُمْال بﱡِحُي َﱠစ نﱠِإ ِﱠစ ىَلَع ْكﱠلَوَتَف َتْمَزَع اَذِإَف :عمران آل) 159 ,( بن أنس الجليل ّالصحابي هو ها ) مالك ) ( الذي خدم رسول ﷲ َخَف] :وصفه في يقول سنين عشر (ـ َف ، ِرَضَالحَو ِرَالسﱠف يِف ُهُتْمَد ـ ِﱠစَو َق اَـ م ْعَنَص ٍءْيَشِل يِل َال ـ ْعَنَص َمِل ُهُت ـ َه اَذَه َت ـ َل ٍءْيَشِل َﻻَو ا؟َذَك ـ ِل ُهْعَنْصَأ ْم ـ َل َم ـ َه اَذَه ْﻊَنْصَت ْم ـ َـك ,البخاري)[اَذ 1422 ,هـ ,كتاب: الديات باب: من استعان عبدا أو صبيا , رقم:الحديث 6911 , 9 / 12 ,, ومسلم 1374 ,هـ :كتاب الفضائل, باب: كان رسول ﷲ )  ( أحسن الناس خلقا, :رقم الحديث2309 , 4 / 1804 .( ) ﷲ رسول ّأن للجميﻊ يبدو فالذي اّحق كان ( - وسيظل- قدوة لنا وللناس جميعا وللقادة - خاصة - ,في مختلف مجاﻻت القيادة في الحضر والسفر وحالة الحرب والسلم وغيرها- ماّﻻسي- حسن في 751 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ) عﻼقته مﻊ أصحابه ّوحث ( ّوشج ,وأحسنها اﻷخﻼق أجمل على هم عهم على أن ي لﻸمة قادة كونوا اﻹسﻼمية في ز حيات) هلّسج كما وفاته وبعد ( لنا ذلك.التاريخ 6 :. ةƼمج ميةƼعƿى زانست اDžقه ّيتحل أن للقائد وينبغي ,البيان على والقدرة الفصاحة أهمية على الكريم القرآن لنا ّأكد لقد ى ب طﻼقة اللسان واستعمال ال تعبيرات ال جميلة و ال كلمات ال طيبة, كما يشار ألى هذه نصوص في والخصيصة الميزة ـك) ثيرة, فعلى سبيل المثال يقول ﷲ :(السﻼم عليهم) الكرام رسله ّحق في (  ُسَر ْنِم اَنْلَسْرَأ اَمَو ـ ﻻﱠِإ ٍول ِلِـ ب َق ِانَس ـ َل َنِّيَبُيِل ِهِمْو ـ ْمُه :)إبراهيم4 ) (, ويقول :(  َهَف ـ َع ْل ـ ُالرﱡس ىَل ـ ﻻﱠِإ ِل ُينِبُمْال ُغَﻼَبْال :)النحل35 ,( ـ ذل ـك) ك أشار رسول ﷲ( إلى أهمية الفصاحة والبﻼغة, وع ـ شب أو السحر من نوعا البيان ّد ي السحر ه - التعبير ّصح إن- ) لتأثيره في المخاطب فيقول ِم نﱠِإ] :(ـ ْحِسَل ِانَيَالب َن ـ[اًر ,)البخاري1422 ,هـ كتاب: الطب, باب :إن من البيان سحرا :الحديث رقم , 5767 , 7 / 138 ,ومسلم , 1374 ,هـ كتاب: الجمعة, باب: تخفيف الصﻼة والخطبة :, رقم الحديث869 , 2 / 594 .( رى ن بعد عرض هذه المقومات اﻷساسية التي تمت اﻹ ة شار إليها فيما سبق ال ينبغي هّأن ,تأكيد ع لى نقطة مهمة وهي: ه في تنحصر ﻻ المقومات ّأن ـ ف المجموعة ذه حسب والباحثين ابّتُالك ّﻷن ,و ّعد في هم ـ لمق ل للقادة وتحديدها ومات عدد على اتفقوا ما التربويين محدد بل اختلفوا كما اختلف ـ في وا مواضيﻊ ,أخرى لكن مﻊ هذا اختار نا هذه المجموعة من ﻻ هّأن ويرى ,للقادة أساسية كمقومات ها القائد في توافرها من ّبد ق هّﻷن ,بها والتحلي التربوي ـ المؤسسة في ,اليومية أعماله في معهم ويتعايش بهم يختلط من مامَأ وأسوة دوة المقومات بهذه للتحلي اليومية حياته في معهم يتعامل من مﻊ تنافسيا جوا يهيء ْأن عليه ينبغي بل ,وخارجها اﻷساسية وغيرها لكي تتطور المؤ .سسة التربوية ويستمر عطاؤها 752 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 2.3 . ةƼمج ميةƼعƿى زانست اDžقه المطلب الثاني: م هام القيادة التربوية ّتعد القيادة محورا رئيسا في العملية اﻹدارية- ﻻس ماّي- في المجال التربوي, وهذا ار جﻊ إلى ما لها من بالغ اﻷهمية في أوساط المؤسسات اﻹداري ة, من حيث أنها إحدى المحركات ذات اﻷ ي هم ة التي تعمل ا تّأد وكلما ،المطلوبة أهدافها تحقيق في المؤسسات ازدهار على لقيادة مهامها على أحسن وجه ت حقق ي النت القيادة عاتق على تقﻊ التي المهام ّأهم ومن ,المنشودة جة وينبغي أن تقوم بها :ما يأتي 1 . :التخطيط عُي ـ ّد التخطيط الوظيفة اﻷولى للقائد التربوي, ويمك ـ الق فاعليته ّبأن القول ن ـ ناتجة يادية عن تخطيطه السليم الموضوعي الواقعي, وه ـ الع في شروعه منذ يسعى هّفإن كذا ـ الخطط صياغة على مل المحكمة, الرامية لتحق ـ يق اﻷه ـ داف المرسومة بأف ـ ,ضل طريقة ممكنة وأدقها كما ويحرص على وض ﻊ ـ خط ط شاملة للمؤسسة التي يق ـ.ودها التخطيط ّإن يعني ا ستشراف المستقبل, ,فيه مرغوب وضﻊ إلى للوصول صحيح علمي بأسلوب عن دقيقة صورة العمل على القائمين ويمنح ,كلها التربوي العمل جوانب على الوقوف التخطيط ويتضمن الخيارات المطروحة ﻹنجاز المهام وتحقيق اﻷهداف كلها )أمل, 2012 ,م197 - 198 .( ) يزخر كتاب ﷲ ﻻ مما ،المجاﻻت شتى في وأهميته التخطيط حسن مثلُت التي اﻵيات من بالعديد ( هنا؛ حصرها مكنُي على سبيل المثال يقول ﷲ )  :(  ُكِل ـ َعَج ٍّل ـ ِش ْمُكْنِم اَنْل ـ اًاجَهْنِمَو ًةَعْر :)المائدة48 ( أي ّلكل أمة منكم ّها أي الناس جعلنا شريعة أوجبنا عليهم إقامة ،أحكامها ومنهاجا وطريقا فرضنا عليهم سلوكه لتزكية أنفسهم وإصﻼح سرائرهم )المراغي , 1365هـ , 6 / 130 (, في بوضوح ذلك يبدو وكما ) قصتي سيدنا يوسف .القرنين ذي الصالح والقائد ,( 2 :. التنظيم بعد قيام القائد التربوي بالتخطيط الواضح للعمل يسعى لترجمة ما قام بالتخطيط له على أرض الواقﻊ, ويتضمن ذلك توزيﻊ اﻷعمال واﻷنشطة وترتيب طرق العمل وآلياته وإجراءاته بغية إنجاز والترتيب التوزيﻊ يعني الذي التنظيم ّيعد ,المهام تنفيذ في العشوائية عن واﻻبتعاد الفضلى بالطريقة المهام مؤشر ا واضحا على وعي القائد وفهمه لطرق العمل الصحيحة , العمل تنظيم في معه للعاملين وإشراكه .واقتدار بكفاءة اﻷعمال بتنفيذ للقيام المبذولة الجهود وتنسيق التربوي يقﻊ القيام بتنظيم وحدت ه اﻹدارية ضمن واجبات القائد, وي نبغي عليه أن يراعي الخبرة والتخصص والقدرة والفاع لية فيمن يك ـ وه ,بالمهام فهمّل ـ ذا يضمن لﻸفراد تحقيق هذا ,آرائهم واحترام طموحاتهم العمل بحماس وق دفﻊ العاملين للمشاركة ف اﻷسلوب يؤدي دورا ف تحقيق ناعة وضمن التزامهم ف 2 :. ةƼمج ميةƼعƿى زانست اDžقه التنظيم بعد قيام القائد التربوي بالتخطيط الواضح للعمل يسعى لترجمة ما قام بالتخطيط له على أرض الواقﻊ, ويتضمن ذلك توزيﻊ اﻷعمال واﻷنشطة وترتيب طرق العمل وآلياته وإجراءاته بغية إنجاز والترتيب التوزيﻊ يعني الذي التنظيم ّيعد ,المهام تنفيذ في العشوائية عن واﻻبتعاد الفضلى بالطريقة المهام مؤشر ا واضحا على وعي القائد وفهمه لطرق العمل الصحيحة , العمل تنظيم في معه للعاملين وإشراكه .واقتدار بكفاءة اﻷعمال بتنفيذ للقيام المبذولة الجهود وتنسيق التربوي أرض الواقﻊ, ويتضمن ذلك توزيﻊ اﻷعمال واﻷنشطة وترتيب طرق العمل وآلياته وإجراءاته بغية إنجاز والترتيب التوزيﻊ يعني الذي التنظيم ّيعد ,المهام تنفيذ في العشوائية عن واﻻبتعاد الفضلى بالطريقة المهام مؤشر ا واضحا على وعي القائد وفهمه لطرق العمل الصحيحة , العمل تنظيم في معه للعاملين وإشراكه .واقتدار بكفاءة اﻷعمال بتنفيذ للقيام المبذولة الجهود وتنسيق التربوي يقﻊ القيام بتنظيم وحدت ه اﻹدارية ضمن واجبات القائد, وي نبغي عليه أن يراعي الخبرة والتخصص والقدرة والفاع لية فيمن يك ـ وه ,بالمهام فهمّل ـ ذا يضمن لﻸفراد تحقيق هذا ,آرائهم واحترام طموحاتهم اﻷسلوب يؤدي دورا في دفﻊ العاملين للمشاركة في العمل بحماس وق ـ ناعة, وضمن التزامهم في تحقيق اﻷهداف مما ينتج عنه اﻹبداع في العمل )مريزيق , 2008 ,م244 .( يقﻊ القيام بتنظيم وحدت ه اﻹدارية ضمن واجبات القائد, وي نبغي عليه أن يراعي الخبرة والتخصص والقدرة والفاع لية فيمن يك ـ وه ,بالمهام فهمّل ـ ذا يضمن لﻸفراد تحقيق هذا ,آرائهم واحترام طموحاتهم اﻷسلوب يؤدي دورا في دفﻊ العاملين للمشاركة في العمل بحماس وق ـ ناعة, وضمن التزامهم في تحقيق اﻷهداف مما ينتج عنه اﻹبداع في العمل )مريزيق , 2008 ,م244 .( ع ي ج)م( القرآن في وردت المثال سبيل على ,التنظيم على ّتدل كثيرة آيات الكريم ؛ ) يقول ﷲ :(  ُهَأ ـ ِسْقَي ْم ـ َونُم ْحَن َكِّبَر َةَمْحَر ـ َق ُـ ن َحْال يِف ْمُهَتَيشِعَم ْمُهَنْيَب اَنْمَس ـ ال ِاةَي ـَنْعَفَرَو اَيْدﱡن ـ ْعَب ا ـ َف ْمُهَض ـ ِتﱠخَيِل ٍاتَجَرَد ٍضْعَب َقْو ـ َذ 753 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ْعَبْمُهُضْعَب ـْخُا سًض ا ـ̒ري :)الـزخروف32 (هذه اﻵية تطالبنا ب غاية التنظ ـ يم، وبال ـ تنظيم وحده تنتظ ـ،م الحياة ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ْعَب ْمُهُضْعَب ـ ْخُس اًض ـ ا̒يِر :)الـزخروف32 ( اﻵية هذه , تطالبنا ب غاية التنظ ـ يم، وبال ـ تنظيم وحده تنتظ ـ ،م الحياة وينهض العمران, ويعم الخير بين ال ـ ناس، ويصل ك ـ ل واحد إلى مط ـلـ وبه على ح ـ) سب ما قدر ﷲ ( له من رزق واستع داد ـ )طنطاوي , 1998م , 13 / 77 .( ْعَب ْمُهُضْعَب ـ ْخُس اًض ـ ا̒يِر :)الـزخروف32 ( اﻵية هذه , تطالبنا ب غاية التنظ ـ يم، وبال ـ تنظيم وحده تنتظ ـ ،م الحياة وينهض العمران, ويعم الخير بين ال ـ ناس، ويصل ك ـ ل واحد إلى مط ـلـ وبه على ح ـ) سب ما قدر ﷲ ( له من رزق واستع داد ـ )طنطاوي , 1998م , 13 / 77 .( 3 :. ةƼمج ميةƼعƿى زانست اDžقه التوجيه يهدف التوجيه بشكل عام نحو تحسين العمل وإنجاز المهمات, وتجنب الوقوع في اﻷخطاء واﻷساليب بالطرق حوله من ّبحث القائد قيام التوجيه ويتضمن ,حدوثها حال في بسرعة معالجتها أو المناسبة لتحقيق اﻷهداف المرجوة من العمل, وللتوجيه مظاهر متنوعة منها الحديث الشفوي ما ب القائد ين والعاملين, والكتب الرسمية التي يوجهها القائد إلى اﻷقسام المختلفة في المؤسسة, وغير ذلك من وسائل إيصال المعلومات, فع ـ لى القائد أن يط ـ لﻊ على أعمال اﻷقسام واللجان المختلفة في المؤسسة, ويعقد ـ ال لقاءات المستمرة مﻊ العاملين فيها,, ويشجﻊ المتميزين منهم إذ أو القائد وظائف أهم إحدى التوجيه ّيعد القيادة ,)مريزيق2008 ,م246 .( رى ن الناس إلى العالمين ّرب من توجيه نفسه الكريم القرآن ّأن - كافة - والمؤمنين - خاصة- بمراعاة الدقة والتنظيم, وهو حافل وزاخر بآيات كثيرة من التوجيهات واﻷوامر والنواهي, هذا وبما أن القائد التربوي - مناط البحث- .هّمهام ّأهم من التوجيه ّعدُفي مثقف مسلم 4 :. ةƼمج ميةƼعƿى زانست اDžقه اﻹشراف ـ يع وظيفة والمتابعة اﻹشراف ّد ذات أهمية كبرى أن يكفي فﻼ ,التربوي القائد ّمهام من يقوم القائد التر ب في القائد ينجح وقد ,مراقبة أو متابعة دون اﻷمور يترك ثم اﻷولى الثﻼث باﻷمور وي القيام بالوظائف الثﻼث السابقة ويهمل وظيفة اﻹشراف والمتابعة فيف ـ شل العمل , وﻻ ـ حق تت ق اﻷه ـ داف المنشودة منه, فاﻹشراف يش المؤسسة داخل والخدمات والفعاليات واﻷنشطة العمل خطة متابعة مل ,)أمل 2012 ,م200 .( رى ن في :قوله تعالى  َه ِيهِخَ ِﻷ ىَوسُم َالَقَو ـ ْاخ َونُار ـ ِلْصَأَو يِمْوَق يِف يِنْفُل ـ ِتﱠبَت َﻻَو ْح ـ يِبَس ْﻊ ـ َل ْفُمْال ـ َينِدِس :)اﻷعراف142 دﻻ ,(لة واضحة على اﻹشراف وأه ـ) موسى ﷲ ّنبي ذهب فحين ميته إلى ( ـم) هّرب يقات ( طلب من ي أخ) ه هارونب على شرفُي ْأن (ـ ني إسرائيل, كما يلحظ في السيرة ال ـ نبوية ال ّأن على ّيدل ما ـ) ّنبي ّترب ( ) ى في ظل القرآن الكريم وتغذى بفهمه, وقد أشرف على بنفسه ( مهامه, ولما لم) أصحابه من غيره كﱠلَو مهامه ﻹنجاز مجال لديه يكن .( ليقوم بها 5 :التقييم .التقييم ّيعد إ حدى مهام القائد التربوي وهو بالتعاون القائد قيام التقييم يتضمن ,هّمهام ّأهم من مﻊ العاملين معه بمراجعة عناصر العملية التربوية القائمة في المؤسسة و انشطتها وبرامجها ومن ثم تحليلها, ويتناول التقييم نشاطات المؤسسة كما يتناول الوظائف التي يقوم بها القائد التربوي كالتخطيط باخت ّيهتم أن القائد على كما ,المؤسسة داخل ﻹحداثها يسعى التي والتنمية التطوير وعملية والتوجيه يار 754 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) النمط القيادي الفاعل لتوجيه سلوكيات العاملين وتحديده, كذلك ينبغي أن يشمل التقييم وكفاءة القائد في تحقيق اﻷهداف المرجوة,)أمل2012 ,م202 .( رى ن إليها المشار المهام هذه ّبأن فيما سبق هي التربوي القائد مهام ّأهم من , وأن من يسعى نحو تحقيق ها يلعب دورا إيجابيا في تطوير القيادة والمؤسسة وفي المجتمﻊ أيضا, ّكل عن فضﻼ ّبد فﻼ تقدم ما ِم القائد ّيحب أن ن- ومن يعمل معه في مؤسسته - ودافﻊ وتطور إبداع عامل العمل ّحب ّﻷن ,عملهم استمرار المؤسسة على التقدم نحو اﻷمام ؛ مهما تكلف ت اﻷمور, و ت ضاق الظروف , وكثر ت العراقل , وصعب ت العوائق اﻷفضل نحو الحياة محرك ّالحب ّوﻷن ,اﻷنبياء ّأن يخفى وﻻ , ()عليهم السﻼم مﻊ ثقل مهمتهم- وهي تبليغ دين ﷲ)  ( - كان وا قد تعاملوا مﻊ أمتهم بالحب ﻷنهم كانوا فعﻼ قادة مربيين. ةƼمج ميةƼعƿى زانست اDžقه ومن السهل تخ ـ يل منهج, ولكن هذا المنهج يظ ـ ,ل حبرا على ورق ـ يظ و ل معلقا في الف ـ ضاء, ما لم يتحول إلى حق ـ يقة واقعة تتح ـ رك في واقﻊ اﻷرض, ما لم يتحول إلى بشر يترجم بسل ـ وكه وتصرفاته ومشاع ـ ره وأف ـ كاره مبادئ ال ـم نهج ومعان ـ يه, عندئذ فق ـ ط يتح ـ ول ال ـ منهج إلى حق ـ يقة، يتحول إلى ح ـ ركة، يتحول إلى تاريخ )قطب , 1428 ,هـ180 .( وﻷهمية الق ـ) ﷲ ّقص تربوي كأسلوب دوة ) المصطفى هّنبي على (  ( أخبار من سبقه من اﻷنبياء )عليهم السﻼم( وأحوالهم مﻊ أممهم ليستفيد منه الرسول )  (الدروس والع بر ـ وليتعرف على سيرهم ـ فيق :تدى بهم, قال تعالى َه َينِالﱠذ َكِئَولُأ ـ ُهِبَف ُﱠစ ىَد ـ ُاهَـ د ْاق ُـ م ِهِدَت :)اﻷنعام90 ( ) , ويقول أخرى آية في ( ) هّحق في( ع ـ ن أهمية الق ـ :دوة َقَـ ل ُكَل َانَك ْد ـ ٌةَنَسَح ٌةَوْسُأ ِﱠစ ِولُسَر يِف ْم َمْوَيْالَو َﱠစ وُجْرَي َانَك ْنَمِل ِخَ ْاﻵ ـ َكَذَو َر ـ اًيرِثَك َﱠစ َر :)اﻷحزاب21 ( "اﻷس ـ وة الق ـ دوة, واﻷس ـ وة ما يتأسى به أي يتع ـ زى به, فيق ـ تدى به في ـ أف عاله جميعها ويتع ـ زى به في ـ أح واله كلها ")القرطبي , 1384هـ , 14 / 155 ( , يظهر لنا من تفسير اﻵية) ﷲ ّأن الكريمة ّأك (ـ د على الق ـ دوة الحسنة وجع ـ لها سنة في دع ـ وة أنبيائه )عليهم السﻼم(, ف ـ رسول ) ﷲ( كان خير ق ـ دوة حسنة ﻷمته في شؤونه ك ـ لها, ولن نع ـ دم التربية الصحيحة طالما نهل ـ أصول نا هذه ال ـ تربية من القرآن الك ـ ريم والسيرة الع ـ) طرة للنبي ( بما ـ تتح لى به من معاني الق ـ الحسنة دوة واﻷس ـ .الفاضلة اﻷخﻼق أصول على القائمة الطيبة وة بالق التربية أسلوب ّأن سبق مما يتبين ـ أه من دوة ـ الق لتجسيد الﻼزمة اﻷساليب ّم ـ المسلم حياة في يم والمـساهمة فـي تع ـ ديل سلوكه، فالقدوة اﻷصل الذي يتشعب منه الفـروع, لذا و مهما نا بذل من جهود في سبيل إيجاد منهج تربوي متكامل لتربية القيادات وإعدادها, ورسم خطة محكمة لتنمية قدرات اﻹنسان وتنظيم مهاراته, وإعداد جوانب حياته الروحية والوجدانية والعقلية والسلوكية, وجود عن يغني ﻻ ذلك ّفإن واقﻊ تربوي تجسده شخصية مربية أو قيادية تحقق بسلو كها وأسلوبها التربوي اﻷسس واﻷهداف التي يراد من المنهج التربوي تحق ـ يقها كلها )النحﻼوي , 1434 ,هـ205 .( 2 :. ةƼمج ميةƼعƿى زانست اDžقه :المطلب اﻷول أساليب عمل القيادة التربوية يأتي اﻷسلوب لغة: بمعان :هي الطريق، الوجه، المذه ـ ب؛ ويجمﻊ أساليب, واﻷسلوب: الف ـ :يقال ن؛ أخذ فﻼن في أساليب من الق ـ ول أي أف ـ انين منه )ابن منظور , 1414هـ , 1 / 473 ( :, وفي اﻻصطﻼح ـ "ت واضﻊ الم ـ تأدب ـ ون وعل ـ ماء الع ـ ربية على أن اﻷس ـ لوب ه ـ ـ و ال طريق ـ ـ الك ة ﻼمية ال ـ تي يسل ـ كها المتك ـ في لم ـ تألي ف ك ـ ﻼمه واخ ـت يار أل ـ فاظه, أو ه ـ و المذه ـ ب الك ـ ﻼمي الذي انف ـ رد به المتك ـ لم في تأدية معان ـ يه ـ وم قاصده من ك ـ ﻼمه, أو ه ـ ف أو الكﻼم طابﻊ و ـ نه ال ـ ذي انفرد به المتك لم ـ ")قانيْالزﱡر , 1415 ,هـ2 / 239 .( ـ مك يو ن تعريف أساليب القيادة التربوية واﻻشارة إليها مجموعة :بأنها الكريم القرآن منظور من اﻹجراءات المنهجية التي يقـوم بهـا القائد التربوي مسترشدا بما جاء في القرآن الكريم من أجل تحقيق .المختلفة نواحيها في التربوية أهدافه ينبغي للقائد التربوي أن يستخدم أساليب م تنوعة وعديدة لتحق ـ يق أه ـ ه ،الغالية دافه ـ ءّتهي اﻷساليب ذه له الف ـ رصة لمراعاة الف ـ روق الف ـ ردية، وتوف ـ الذي اﻷسلوب يـستخدم بحيث ،المرونة من فائقة طاقة له ر يراه مناسبا حسب الموقف التعليمي الذي ه ـ ،و بصدده كما وبإمكانه أن يـستخ ـ دم أك ـ ثـر من أسلوب في الموق ـ ف .الواحد بقي شيء ملف ـ ُالك بعض ّأن وهو أﻻ واﻻنتباه للنظر ت اب ـّت - منهم محمد قطب و في كتابه منهج التربية اﻹسﻼمية ,)قطب1428 ,هـ180 ( - يستخ دم ـ بدل اﻷسال ـ اﻷساليب اّأم ,الوسائل مصطلح معها أو يب ـ رف ـ فع ناها, وأما ال ـ وسائل فهي جمﻊ ال ـ وسيلة وفي اﻷصل هي ما يتوصل به إلى الشيء ويتق ـ رب به ) ابن ,منظور1414 ,هـ 11 / 725 (, أو هي ما يتق ـ رب به إلى الغ ير ـ )الجرجاني , 1403هـ , 252 ( هي أو , 755 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ـ ال تي يتوصل بها إلى تحصيل ال ـ مقصود )ابن كثير , 1420هـ , 3 / 103 أولى اﻷساليب استخدام أن نرى ,( .من الوسائل لهذا الموضوع ـ بع د ه ـ ذه المقدمة القصيرة رض ـ ستع ن ـ أه ّم اﻷسال ـ يب ال ـ تربوية ال ـ تي ينبغي ل ـ أن التربوي لقائد يستخ ـ :يأتي ما وهي ,التربوية تطبيقاته خﻼل دمها ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ـ ال تي يتوصل بها إلى تحصيل ال ـ مقصود )ابن كثير , 1420هـ , 3 / 103 أولى اﻷساليب استخدام أن نرى ,( .من الوسائل لهذا الموضوع ـ بع د ه ـ ذه المقدمة القصيرة رض ـ ستع ن ـ أه ّم اﻷسال ـ يب ال ـ تربوية ال ـ تي ينبغي ل ـ أن التربوي لقائد يستخ ـ :يأتي ما وهي ,التربوية تطبيقاته خﻼل دمها 1 :. ةƼمج ميةƼعƿى زانست اDžقه التربية بالقدوة ـ تع د الق ـ دوة في التربية من أكثر الوسائل تأثيرا السهل من ,النجاح إلى وأقربها تأليف كتاب في التربية! ةƼمج ميةƼعƿى زانست اDžقه 4. المبحث الثاني :أساليب عمل القيادة التربوية و خصائص ها وشروطها :تتوزع المادة العلمية لهذا المبحث على ثﻼثة مطالب هي - 4.1 . ةƼمج ميةƼعƿى زانست اDžقه التربية بالموعظة ـ لق د جبلت طبيعة اﻹنسان ونف ـ سه على التأثر بما يلقى إليها, وع من ـ ونصح ظ تأثرا مؤقتا، يتطلب التك ـ رار ليستديم ثبات الموع ـ ظة وتؤثر في ـ النف س استجابة والتزاما, والموع ـ من ظة الوع ـ ظ وهو: النصح والتذك ـ ير بالخ ـ ير والحـق , على الـوجه الـذي يرق له القـلب, ويبعـث ع ـ لى الع ـ مل ,)رضا1990 ,م2 / 321(, ع ـ المفه في الموعـظة ّتعـد ليه ـ وم الـتربوي النصيحة بعمل الخـير، واجتناب 756 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ي يراعي أن التربوي للقائد نبغي هي التي بالموعظة التربية ﻷن ,الّالفع اﻷسلوب ها من حيث هي أسلو ب كتاب القرآن ّﻷن ,متعددة وصيغ شتى طرق على به آياته وحفلت ,القرآني المنهج به أخذ رائﻊ تربوي :موعظة وهداية وبيان, قال تعالى َـه ُهَو ِلنﱠاسِل ٌانَيَب اَذ ـ َمَو ىًد ـ ِعْـ و ِتﱠقُمْلِل ٌةَظ ـ َين)آل :عمران138(, وق ـ د طبق اﻷنبياء )عليهم السﻼم( هذا اﻷسل ـ في وب ـ دع وتهم وتربيتهم ﻷممهم, وه ـ و ما أشار إليه القرآن الكريم في أك ـ ثر من موضﻊ ح ـ .لقصصهم سرده ين ويتميز أسلوب التربية بالموع ـ ظة الحسنة في المنهج القرآني بتع ـ دد صيغه, و ألفاظه, ـ وع باراته, وتنوعها, وه ـ و ما يمك ـ ن اﻹشارة إليه بإيجاز:فيما يأتي النداء .أ:اﻹقناعي مصحوبا باﻻستعطاف أو اﻻستنكار ـه المشاعر على المؤثرة إيحاءاته له اﻷسلوب ذا واﻷحاسيس, ك ـ لﻸفراد القرآني المنهج خطاب في ظاهر وهو ,واﻷرواح القلوب في البالغ تأثيره له ما :على اختﻼف أشكالهم وأجناسهم وطبقاتهم, مثل قوله تعالى  َينِالﱠذ اَيﱡهَأ اَي َﻻَو ِهِاتَقُت قﱠَح َﱠစ واُاتﱠق واُنَمَآ َونُمِلْسُم ْمُتْنَأَو ﻻﱠِإ نﱠُوتُمَت :)آل عمران102 .( :ب. اﻷسلوب القصصي مصحوبا بالعبرة والعظة وهذا اﻷسلوب له تأثيراته النفسية. وإيحاءاته المعنوية وانطباعاته الذهنية, وحججه المنطقية وبراه ـ ينه العق ـ لية, وهو.ظاهر في الع ـ ديد من اﻵيات- ماّﻻسي - المتعلقة. ةƼمج ميةƼعƿى زانست اDžقه ومن ,الزجر في وأقوى الوعظ في وأبلغ اﻹقناع فوائد هذا اﻷسل ـ وب ال ـ راقي إبراز المعق ـ صورة في ول المحسوس ال ـ ذي يلمسه ال ـ ناس, ف ـ يتق ـ بله الع ـ ّﻷن قل المعاني.المع ـقـ ولة ﻻ تستق ـ ر في الذه ـ ن إﻻ إذا صيغت في صورة حسية ق ـ) ريبة الفهم, كما ضرب ﷲ ( ع إنفاقه من يحصل ﻻ إذ رياء المنفق لحال مثﻼ ـ لى شيء. ,من الثواب )القطان1427 ,هـ281 (, فقال :تعالى  َفـ ْفَص ِلَثَمَك ُهُلَثَم ـ َع ٍانَو ـ ْقَي َﻻ اًدْلَص ُهَكَرَتَف ٌلِابَو ُهَابَصَأَف ٌابَرُت ِهْيَل ـ مﱠاِم ٍءْيَش ىَلَع َونُرِد واُبَسَك :)البقرة264(, واﻵيات كثيرة ج ـ دا ف ـ يها ضرب اﻷمثال ع ـ لى سبيل المثال ﻻ الحصر, نذكر ما :يأتي - .أ ) قال ﷲ :(  َف ًاءَم ِاءَالسﱠم َنِم َلَزْنَأ ـ َقِب ٌةَيِدْوَأ ْتَالَس ـ ْاحَف اَهِرَد ـ ِمَو اًيِابَر اًدَبَز ُلْالسﱠي َلَمَت ـ ِوقُي مﱠا ـ َونُد َـع ِح َاءَغِتْاب ِالنﱠار يِف ِهْيَل ـ َك ُهُلْثِم ٌدَبَز ٍاعَتَم ْوَأ ٍةَيْل ـ َحْال ُﱠစ ُبِرْضَي َكِلَذ ـ مﱠَأَف َلِاطَبْالَو قﱠ َف ُدَالزﱠب ا ـ َهْذَـ ي ًاءَفُج ُب َف َالنﱠاس ُﻊَفْنَي اَم مﱠاَأَو ـ َالَثْمَ ْاﻷ ُﱠစ ُبِرْضَي َكِلَذَك ِضْرَ ْاﻷ يِف ُثُكْمَي :)الرعد17 .( .ب ) قال ﷲ :(  َك َرَت ْمَلَأ ـ َك ًﻼَثَم ُﱠစ َبَرَض َفْي ـ َجَشَك ًةَبِّيَط ًةَمِل ـ ٍةَبِّيَط ٍةَر َفَو ٌتِابَث اَهُلْصَأ ـ ُعْر ـ يِف اَه ) ِاءَالسﱠم24 ُكُأ يِتْؤُت (ـ ُك اَهَل ـ ِح ـ لﱠ َعَل ِلنﱠاسِل َالَثْمَ ْاﻷ ُﱠစ ُبِرْضَيَو اَهِّبَر ِنْذِإِب ٍين ـ كﱠَذَتَي ْمُلﱠه ـ َونُر :)إبراهيم24 - 25 .( ( .ج ) قال ﷲ :(  َق ًﻼَثَم ُﱠစ َبَرَضَو ـ َك ًةَيْر ـ ُقْزِر اَيهِتْأَي ًنﱠةِئَمْطُم ًةَنِمَآ ْتَان ـ َغَر اَه ـ ُك ْنِم اًد ـ َكَم ِّل ـ ٍان َكَف ـ َفـ ُعْنَأِب ْتَر ـ َف ِﱠစ ِم ـ َاقَذَأ ـ ُجْال َاسَبِل ُﱠစ اَه ـ َخْالَو ِوع ـ َك اَمِب ِفْو ـ ُعَنْصَي واُان ـ َون :)النحل112 .( ِ .د ) قال ﷲ :(  َاتﱠخ َينِالﱠذ ُلَثَم ـ َك َاءَيِلْوَأ ِﱠစ ِونُد ْنِم واُذ ـ َعْال ِلَثَم ـ َكْـ ن َهْوَأ نﱠِإَو اًتْيَب ْتَذَاتﱠخ ِوتُب ـ َن َعْال ُتْيَبَل ِوتُيُبْال ـ َكْـ ن َونُمَلْعَي واُانَك ْوَل ِوتُب) :العنكبوت41 (. ةƼمج ميةƼعƿى زانست اDžقه :منها بأخبار اﻷنبياء )عليهم السﻼم( مﻊ أقوامهم, مثل قوله تعالى  ُكَو ـ ُقَن ̒ﻼ ـ َع ﱡص ـ ِاءَبْنَأ ْنِم َكْيَل ـ ال ُف ِهِب ُتِّبَثُن اَم ِلُرﱡس ـ َه يِف َكَاءَجَو َكَادَؤ ـ َحْال ِهِذ ـ ِعْوَمَو قﱡ ـ ٌةَظ ْكِذَو ـ َينِنِمْؤُمْلِل ىَر :)هود120 .( :ج. اﻷسلوب التوجيهي مصحوبا بالوصايا والمواعظ وهذا اﻷسلوب أيضا له تأثيره البالغ على قلب اﻹنسان وروحه, لما يصحبه من توجيهات ربانية تقود إلى الخشوع والتفكير والتطبيق لتعاليم المنهج اﻹلهي, وتربية اﻹنسان وإعداده إعداد :ا متكامﻼ, مثل قوله تعالى يﱠَنُب اَي ُهُظِعَي َوُهَو ِهِنْبِﻻ ُانَمْقُل َالَق ْذِإَو ٌيمِظَع ٌمْلُظَل َكْرِّالش نﱠِإ ِﱠໂاِب ْكِرْشُت َﻻ :)لقمان13 )( علوان1981 ,م2 / 689 - 699 .( 3 :. التربية باﻷمثال هذا اﻷس ـ لوب أيضا من اﻷسال ـ يب ال ـ تي ينبغي أن يتحلى به القائد ال ـ تربوي اﻷسال من وهي ,ويستخدمه ـ ال توضيح في كبيرة أهمية له التي الشائعة يب ـ معاني وتق ـ ريبها إلى اﻷذه ـ ان واﻷف ـ كار, وإزالة الغ ـ موض ع ـ ال اﻷشياء ن ـ تي ق ـ د يع ـ تريها الغ ـ موض وع ـ دم الوضـوح ,ـ فق د استخدم ـ الق ه الكريم رآن ـ ذا اﻷسلوب في ك ـ ثير من آياته , ويهدف ك ـ ثير من أمثاله إلى تربية السلوك اﻹنساني وإقامته على معايير وأس ـ س مشتقة من العق ـ يدة اﻹسﻼمية, وتربيته تربية ربانية )النحﻼوي , 1426 ,هـ 77 (, وكذلك استخ ـ) ّالنبي دمه الح في (ـ لقات التربوية التي كان يع ـقـ لتربية دها) صحابته الكرام ( , 757 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ـ ولتق ريب اﻷشياء غ ـ ير المادية وغ ـ ير المنظورة, بح ـ يث تصبح في مت ـ ناول اﻹنسان ليفه ـ مها ويتدب ـ رها )محرم , 1427 ,هـ112 .( في وأقوم النفس في أوقﻊ اﻷمثال بضرب التربية ّإن. ةƼمج ميةƼعƿى زانست اDžقه واﻹسﻼ م يدرك أهمية التربية بالق ـ صة و الميل الفطري لﻺنسان إليها، ويدرك ما لها من تأثير ساحر على القلوب، فيستغلها لتكون وسيلة من وسائل التربية والتقويم, والقرآن الكريم استخ ـ دم الق ـ صة لﻸنواع المخ ـ تـلفة من التربية والـتوجيه من التي يشمله ،ا منهجه الـتربوي: تربية الروح و ،تربية العقـل و تربـية ,الجسم )قطب1428 ,هـ193 - 194 ) (, كـما استعمله ﷲ ( في كتابه العزيز ليتعظ الناس ب ّوليثب ,ها ت بها ق ـ) لب الرسول ) ( فيقول :(  ُكَو ـ ُقَن ̒ﻼـ َع ﱡص ـ َـل ُف ِهِب ُتِّبَثُن اَم ِلُالرﱡس ِاءَبْنَأ ْنِم َكْي ـ يِف َكَاءَجَو َكَادَؤ َـه َحْال ِهِذ ـ ِعْوَمَو قﱡ ـ ْكِذَو ٌةَظ ـ َينِنِمْؤُمْلِل ىَر :)هود120 .( فلذلك ينبغي للق ـ ادة ال ـ تربويين أن يحببوا إلى الناشئ ة أسلوب التربية الق ـ صصية؛ لما في ذلك من ف ـ وائد ـ جل يلة, وهي تشد انتباه السامع ـ ين وتش ـ وقه ـ م إلى اﻻستماع واﻻستفادة منها, وتع ـ ين في ترسيخ الفك ـ في رة عقولهم وق ـ لوبهم )محرم , 1427هـ , 94 (, ومما ﻻ شك ف ـ الق ّأن يه ـ صة المحكمة الدق ـ يقة تط ـ رق المسامﻊ بشغف, وتنف ـ ذ إلى النف ـ س البشرية بسه ـ ولة ويسر, وتسترسل مﻊ سياقها المشاع ـ ر فﻼ تمل وﻻ تك ـ ,ل إذن الدروس التلق ـ ينية واﻹلقائية تورث الملل, وﻻ تستطيﻊ الناشئة أن تتابع ـ ها وتستوع ـ ب ع ـ ناصرها إﻻ بشدة وصع ـ وبة, ل ـ ذا كان أسلوب ال ـ تربي ة بالق ـ صة أج ـ دى نف ـ عا, وينبغي للقادة التربوي ين أن ي ـف ست يدوا منها في مجاﻻت التع ـلـ يم وال توع ـ ية ـ )الق ـ ,طان1427هـ , 305 .( م) ( 5 :. ةƼمج ميةƼعƿى زانست اDžقه .هـ ) قال ﷲ :( فْنُي َينِالﱠذ ُلَثَم ِـ ُـق يِف ْمُهَالَوْمَأ َون َك ِﱠစ ِيلِبَس ـ َح ِلَثَم ـ ُك يِف َلِابَنَس َﻊْبَس ْتَتَبْنَأ ٍبﱠة ـ ٍةَلُبْنُس ِّل َح ُةَئِم ـ ِاعَضُي ُﱠစَو ٍبﱠة ـ ٌيمِلَع ٌﻊِاسَو ُﱠစَو ُاءَشَي ْنَمِل ُف) :البقرة261 (. وفي نهاية ه ـ ذا اﻷسلـوب ﻻ بد من اﻹشارة إلى أهم اﻷه ـ ضرب في التربوية داف اﻷمثال وهي: تقريب المع ـ نى إلى الع ـقـ ول واﻷفهام وإيضاحه, وإثارة اﻻنـفعاﻻت الـتي تـناسب المع ـ نى, و ِارم ن الع ـ على قـل التفـك ـ ير الصح ـ يح والقـياس المنط ـ قي السليم, والتح ـ ريك وإثارة الع ـ واط ـ ف والوج ـ ,دان )النحﻼوي 1434 ,هـ201 - 204 .( 4. التربية بالق ـ :صة من أظه ـ ر أساليب القـيادة التربوية وأنجحها في التأثير في النفـوس التربية ب استعمال ـ الق صة، والـقرآن الك ـ ريم أتى بكـثير من الق ـ ،صص لما فـيها من الهداية واﻹيمان والتدبر واستخدمها في الـتربية والتوجيه والتع ـ لـيم على أبدع ما يك ـ ون، وتـمتاز ق ـ ،الـغاية ّبسمـو القـرآن صص وتمدنا ب أمثلة عالـية في تح ـقـ يق الموعـظة واكـتساب اﻷخﻼق الحميدة, ف ـ ضﻼ ع ـ ـ ن ف وائد ت ـ ريخ أ ية واجتماع ـ ,المرسي) وعلمية ية1419 ,هـ142 .( 758 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه منهم إجابتهم, وإﻻ فإنه يجيب اﻹجابة 759 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ) بينه دار الذي الحوار في واضحة الطريقة وهذه ,الصحيحة( وبين معاذ بن ج ـ) بل ()القرشي, 1435 ,هـ346 ( َعُم ْنَع] :ـ) ٍاذ َق (ـ ُك :َال ـ ْـن) ِّيِالنﱠب َفْدِر ُت َع (ـ ح ىَل ِـ َقُي ٍارَم ـ ُال ُع ُهَل ـ َفـ َف ،ٌرْي ـ :َالَق َعُم اَي ـ َه ُاذ ـ يِرْدَت ْل اَم َـح ِع ىَلَع ِﱠစ قﱠ ـ َح اَمَو ،ِهِادَب ـ ِالع قﱡ ـ ُسَرَو ُﱠစ :ُتْلُق ؟ِﱠစ ىَلَع ِادَب ـ ْعَأ ُهُول ـ نﱠِإَف :َالَق ،ُمَل َحـ الع ىَلَع ِﱠစ قﱠ ِـ ْعَي ْنَأ ِادَب ـ ُـب َﻻَو ُوهُد َحَو ،اًئْيَش ِهِب واُكِرْشُي ـ ِالع قﱠ ـ َعُي َﻻ ْنَأ ِﱠစ ىَلَع ِادَب ـ ُكِرْشُي َﻻ ْنَم َبِّذ ِهِب ,البخاري)[اًئْيَش1422ه ـ, كتاب: الجهاد والسير, باب: اسم الفرس والحمار, :رقم الحديث2856 , 4 / 29 ,, ومسلم1374 ,هـ ,كتاب: اﻹيمان باب: من لقي ﷲ باﻹيمان, :رقم الحديث30 , 1 / 58 .( ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ) بينه دار الذي الحوار في واضحة الطريقة وهذه ,الصحيحة( وبين معاذ بن ج ـ) بل ()القرشي, 1435 ,هـ346 ( َعُم ْنَع] :ـ) ٍاذ َق (ـ ُك :َال ـ ْـن) ِّيِالنﱠب َفْدِر ُت َع (ـ ح ىَل ِـ َقُي ٍارَم ـ ُال ُع ُهَل ـ َفـ َف ،ٌرْي ـ :َالَق َعُم اَي ـ َه ُاذ ـ يِرْدَت ْل اَم َـح ِع ىَلَع ِﱠစ قﱠ ـ َح اَمَو ،ِهِادَب ـ ِالع قﱡ ـ ُسَرَو ُﱠစ :ُتْلُق ؟ِﱠစ ىَلَع ِادَب ـ ْعَأ ُهُول ـ نﱠِإَف :َالَق ،ُمَل َحـ الع ىَلَع ِﱠစ قﱠ ِـ ْعَي ْنَأ ِادَب ـ ُـب َﻻَو ُوهُد َحَو ،اًئْيَش ِهِب واُكِرْشُي ـ ِالع قﱠ ـ َعُي َﻻ ْنَأ ِﱠစ ىَلَع ِادَب ـ ُكِرْشُي َﻻ ْنَم َبِّذ ِهِب ,البخاري)[اًئْيَش1422ه ـ, كتاب: الجهاد والسير, باب: اسم الفرس والحمار, :رقم الحديث2856 , 4 / 29 ,, ومسلم1374 ,هـ ,كتاب: اﻹيمان باب: من لقي ﷲ باﻹيمان, :رقم الحديث30 , 1 / 58 .( :الجواب ّثم السؤال :الثانية ـ وذل ك كما في تلق ـ) يه( اﻷسئلة ال ـ ق من عليه مطروحة ـ بل بعض ) أصحابه ع إجابته ّثم ,(ـ ليها بما يف ـ يد السائل والسامﻊ, ومما يؤكد اهتمام القائد ال ـ مربي اﻷع ـ) ظم ( بتربية أيضا السؤال على أصحابه ـع ينفعهم اّم ,القرشي) 1435 ,هـ346و367 ( الذي الحديث في ماورد ) رواه أنس بن مالك َس ًﻼُجَر نﱠَأ] :(ـ) يﱠِالنﱠب َلَأ َع (ـ َالسﱠاع ِن ـ َم :َالَقَف ،ِة ـ َالسﱠاع ىَت ـ َمَو :َالَق ؟ُة ـ اَاذ ْعَـ أ ﻻﱠِإ َءْيَش َﻻ :َالَق ,اَهَل َتْدَد ِحُأ يِّنَأ ـ ُسَرَو َﱠစ بﱡ ـ) ُهَول َف ،(ـ َم َﻊَم َتْنَأ :َالَق ـ ْحَأ ْن ب ـَب ْـ[َت)البخاري , 1422هـ, كتاب: أصحاب النبي )  ,(باب: مناقب عمر بن الخطاب ) :(, رقم الحديث3688 , 5 / 12 .( ـﻷه مية هذا اﻷسلوب الراقي الناجح للقائد التربوي ؛ جد ي ر ب نا أن ن ير ش إلى بع ـ ض الدراسات التي ـ ذك بع يتذكر ﻻ اﻹنسان ّأن رت ـ ] د شهر سوى13 [ من المع%ـ لومات التي ح ـ صل ع ـ ليها. ةƼمج ميةƼعƿى زانست اDžقه عن طريق ـ الس مﻊ, في حين أنه يتذك ـ ر بع ـ ] شهر د70 [ من المع%ـ لومات التي.حصل ع ـ عن ليها ـط,ريق البصر. ةƼمج ميةƼعƿى زانست اDžقه التربية بالحوار ـه ذا اﻷسلوب يرتقي بالقائد التربوي إلى مرتبة عالية؛ ﻷنه يحاول أن يعالج من خﻼله المشاك ـ ل بهدوء ومبادلة اﻵراء بع ـ يدا عن الف ـ المق ّﻷن ,وضى ـ صود.بالح ـ وار ه ـ و أن يتناول الح الشخصان ـ ديث عن طريق المحاورة أو.السؤال والج واب ـ ,ةطي شر.ـ وح دة الموضوع.ـ اله و ،دف فيتبادﻻن.النقاش ح ـ ول أمر معين، وق ـ،د يصﻼن إلى نتيجة.ـ وق ﻻ د.ـ يق نﻊ أحدهما اﻵخ ـ ر ولك ـ يأخذ السامﻊ ن ـ الع برة ويك ـ ّو ن لنفسه موق ـ،فا.وللح ـ وار أثر بالغ في نف ـ س الشخص.الذي يتتبﻊ.الموضوع بشغ ـ ف واه ـ تمام )النحﻼوي, 1434هـ , 167 .( )ي( حفلت آيات القرآن الك ـ ريم بأمثلة ك ـ ثيرة تضمنت ه ـ ذا اﻷسل ـ القرآن سور من شتى مواضﻊ في وب العظيم, منها ذلك الح ـ وار القائم الذي دار بين رب الع ـ) زة (وبين إبل ـ يس الذي رف ـ ض السج ـ ,ود ﻵدم ـ ذل ـك الح ك ـ وار ال ـ ذي دار.بين.رسل (ﷲ الكرام )عليهم السﻼم مﻊ أق ـ وامهم )القه ـ وجي, 1437 ,هـ254 ( , ) الرسول لسيرة المتتبﻊ ّوإن( الق ـ يج الرباني ّالمربي ائد ـ ه ّأن د ـ ذا اﻷسلوب كان من أه ـ اﻷسال ّم ـ يب التي. ) اتبعه ( في تربيته وتع ـ ليمه. ) ﻷصحابه الكرام لل (ـ وصول إلى ف ـكـ رة مع ـ ينة قد ـجـ يع ز ـ ال صحابة.عن اك ـ تسابها بطريقة أخرى )الشيباني , 1979 ,م38 (ـ , ف) كان الرسول( يستخدم ه ـ ذا اﻷسلوب.في التربية ليع ـ أمور شتى المسلمين مّل.دينهم ودنياه ـ م, فه ـ و أسلوب يدفﻊ بالمتع ـ لم إلى المشاركة باﻷسئلة واﻻستماع.والفه ـ ع والتساؤل م ـ حق من يدركه ﻻ اّم ـ ائق, وأسلوب التربية بالحوار يتم بطريق ـ تين هما )رم ـ مح , 1427هـ , 104 (:- :اﻷولى: الحوار والمناقشة ) وذلك بألقائه السؤال على بعض أصحابه ( ليلفت أنظارهم ويثير انتباههم. ينتظر ّثم ,للموضوع منهم اﻹجابة فإن أجابوا صوابا قبل. ةƼمج ميةƼعƿى زانست اDžقه التربية بالترغيب والترهيب ذلك اﻷسلوب الذي يتماشى مﻊ الطبيعة البشرية, فهذا اﻷسلوب أسلوب ف ـ طري ف ـ) طر ﷲ ( اﻹنسان عليه من الرغـبة في الرفاهية والسعادة وحسن البقاء، والرهـب من ة اﻷلم والشقاء وسوء المصير . ﻻ التي اﻷساليب من اﻷسلوب هذا ّيعـد يمكـن ﻻ إذ ,وزمان مكان كـل في التربوي القائد عنه يستغني أن تح قـق ـ.التربية أهـدافها ما لم يعـرف الطفـل - أو اﻹنسان - وراء مؤلمة أو مسرة نتائج هـناك ّأن عمله.وسلـوكه, فإن عـمل خيرا نال السرور.والح ـ ﻼوة, وإن ع ـ اﻷلم ذاق اّشر مل. ,الجمالي) والمرارة 1982 ,م117 .( 6 :. التربية بالترغيب والترهيب ذلك اﻷسلوب الذي يتماشى مﻊ الطبيعة البشرية, فهذا اﻷسلوب أسلوب ف ـ طري ف ـ) طر ﷲ ( اﻹنسان عليه من الرغـبة في الرفاهية والسعادة وحسن البقاء، والرهـب من ة اﻷلم والشقاء وسوء المصير . ﻻ التي اﻷساليب من اﻷسلوب هذا ّيعـد يمكـن ﻻ إذ ,وزمان مكان كـل في التربوي القائد عنه يستغني ﻻ التي اﻷساليب من اﻷسلوب هذا ّيعـد يمكـن ﻻ إذ ,وزمان مكان كـل في التربوي القائد عنه يستغني أن تح قـق ـ.التربية أهـدافها ما لم يعـرف الطفـل - أو اﻹنسان - وراء مؤلمة أو مسرة نتائج هـناك ّأن عمله.وسلـوكه, فإن عـمل خيرا نال السرور.والح ـ ﻼوة, وإن ع ـ اﻷلم ذاق اّشر مل. ةƼمج ميةƼعƿى زانست اDžقه ,الجمالي) والمرارة 1982 ,م117 .( ,إذن جدير بالقائد التربوي أن يستخدم هذا اﻷسلوب الناجح اﻹسﻼمية التربية ﻷن- الم ؤلف القرآن من ة والسنة- افلة ح بأمثلة ك ـ ثيرة منه مما يصعب حصرها, فمن القرآن الكريم على سبيل المثال نذكر :- .أ :قوله تعالى  ْغَيَـ ف ِـف َعُيَو ُاءَشَي ْنَمِل ُر ـ َم ُبِّذ ـ ْن اءَشَي :)البقرة284 .( .ب :قوله تعالى َـم َسَحْالِب َاءَج ْن ـ َف ِةَن ـ ْشَع ُهَل ـ ِالَثْمَأ ُر ـ َمَو اَه ـ َج ْن ـ َف ِةَئِّالسﱠيِب َاء ـ ْجُي َﻼ ـ َلْثِم ﱠﻻِإ ىَز ـ ُهَو اَه ـ ْم ْظُي َﻻ ـ َونُمَل :)اﻷنعام160 .( .ج :قوله تعالى َـف َـم ْعَي ْن ـ ْثِم ْلَم ـ َـق َال َخ ٍرﱠةَذ ـ َي اًرْي ـ) ُهَر7 َمَو (ـ ْعَي ْن ـ ْثِم ْلَم ـ َش ٍرﱠةَذ َالَق ـ ا ي̒ر َـ ُهَر :)الزلزلة7 - 8 .( بد ﻻ اﻷسلوب هذا التربوي القائد يستخدم وحينما من أن يراعي تقديم الترغيب على الترهيب, فارجﻊ لقول الحق تبارك وتعالى في اﻵيات السابقة لتج ـ الخ على اﻹثابة د ـ ير والترغ ـ يب فيه جاءت قبل التره ـ يب والع ّالشر من ـ قاب ع ـ ليه, بل وﻻ تستخ ـ دم التربية اﻹسﻼمية التره ـ يب والعق ـ وبة إﻻ إذا لم يف ـ لح الت ـ رغيب ـ والث ,القاضي) واب1422 ,هـ186 - 187 .( ّالغز اﻹمام هو فهذا ال وعدم الحسن السلوك على الطفل إثابة على دّيؤك (ﷲ رحمه) الي تسرع في ذلك وفي ,تصحيحه في يشارك أو ويصححه خطئه عن ليرجﻊ الفرصة له تمنح بل ,أخطأ إذا معاقبته ـ يق ول: "مه ـ ما ظهر من.الصبي خلق جميل وفعل محم ـ ود, ف ـ ينبغي أن يك رم ـ.عليه ويجازى عليه بما .ـ يف رح به ويم ـ,دح بين أظهر الناس.فإن خالف ذلك في بع ضـ.اﻷحوال مرة.واحدة ف ـ ينبغي أن يتغاف ـ ل عنه وﻻ كـ يهت.ـ ست ره وﻻ يكاشف ـ ه وﻻ يظه ـ ر له أنه يتصور أن يتجاسروا أحد على مث ـ إذا ماّسي وﻻ ,له. ستره الصبي ـ واج تهد في إخفائه, فإن إظهار ذل ـ ك عليه ربما.ـ يف يده جسارة حتى ﻻ يبالي.بالمك ـ اشفة, فعند ذلك إن.ـع اد ثانيا ف ـ ينبغي أن يع ـ اتب سرا ويعظم اﻷمر ف ـ تع أن اكّإي :له ويقال يه ـ ود بعد ذلك لمث ـ ل ه ـ ذا وأن يطلﻊ ـ عل يك في. ةƼمج ميةƼعƿى زانست اDžقه أما المع ـ لومات التي حصل عليها عن طريق الحوار والنقاش وال مشاركة فإنه يتذك رـ منها.ـ بع د شهر شبه ] 95 [ منها% )ـ الح مادي , 1419 ,هـ10 .( هذه النتائج التي حصلت خﻼل تلك الدراسات تطبق عليها مقولة الفيلسوف الصيني كونفوشيوس: ـ "ق ل وسوف أنسى, أرني ولع ـ ّأتذك ِّلي ـ ر, شارك ـ ّأتذك وسوف ني ـ "ر)السويدان وباشراحيل, 1426 ,هـ165 .( ن رى ه ّأن ذا ـ اﻷسلوب - أسلوب الحوار - ُي ّعد من أع ـ ظم السبل لتطوير العﻼقات اﻹنسانية و نمي ت ت ,ها وزرع القيم والمبادئ و صنﻊ الرجال, لذا اهتم به علماء اﻹسﻼم اﻷجﻼء حتى صار دأبهم, فع ـ لى سبيل المثال ترى ّأن ـك) تاب ّاﻷم ( لﻺمام الشافعي )رحمه ﷲ( "كان ثمرة مح ـ ّسّرأ اورات ها الشاف ؛ عي ـ وليس هو من تأل ـ يفه ك ـ باحث متأمل على إنف ـ "راد)الحسن , 1413 ,هـ46 .( والقائد التربوي بحاجة ماسة إلى جلسات الحوار الهادفة مﻊ من يختلط بهم في المؤسسات التربوية ـ وغ يشعر بطبعه اﻹنسان ّﻷن ,يرها- حين يتحاور غير ه- بإخراج ما دف ـ ن في ق ـ لبه من هم وغ ـ م ومآس ي ,وآﻻم و فه بحاجة إلى من يخاطب ع ـقـ له الباطن, إذن بالحوار ن ستطيﻊ فهم من حول نا وتصح ي ح آرائهم وأفك اره ـ م و ـ ةدا زي العاطفة واﻷلفة والق ـ.بول معهم هذه النتائج التي حصلت خﻼل تلك الدراسات تطبق عليها مقولة الفيلسوف الصيني كونفوشيوس: ـ "ق ل وسوف أنسى, أرني ولع ـ ّأتذك ِّلي ـ ر, شارك ـ ّأتذك وسوف ني ـ "ر)السويدان وباشراحيل, 1426 ,هـ165 .( ن رى ه ّأن ذا ـ اﻷسلوب - أسلوب الحوار - ُي ّعد من أع ـ ظم السبل لتطوير العﻼقات اﻹنسانية و نمي ت ت ,ها وزرع القيم والمبادئ و صنﻊ الرجال, لذا اهتم به علماء اﻹسﻼم اﻷجﻼء حتى صار دأبهم, فع ـ لى سبيل المثال ترى ّأن ـك) تاب ّاﻷم ( لﻺمام الشافعي )رحمه ﷲ( "كان ثمرة مح ـ ّسّرأ اورات ها الشاف ؛ عي ـ وليس هو من تأل ـ يفه ك ـ باحث متأمل على إنف ـ "راد)الحسن , 1413 ,هـ46 .( ) ( والقائد التربوي بحاجة ماسة إلى جلسات الحوار الهادفة مﻊ من يختلط بهم في المؤسسات التربوية ـ وغ يشعر بطبعه اﻹنسان ّﻷن ,يرها- حين يتحاور غير ه- بإخراج ما دف ـ ن في ق ـ لبه من هم وغ ـ م ومآس ي ,وآﻻم و فه بحاجة إلى من يخاطب ع ـقـ له الباطن, إذن بالحوار ن ستطيﻊ فهم من حول نا وتصح ي ح آرائهم وأفك اره ـ م و ـ ةدا زي العاطفة واﻷلفة والق ـ.بول معهم 760 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 6 :. ةƼمج ميةƼعƿى زانست اDžقه "الناس بين فتفتضح هذا مثل ,)الغزالي1426 ,هـ3 / 100 .( يفلح ﻻ حين التربية مجال في تستخدم أن ينبغي العقوبة ّأن يرى من المعاصرين ابّالكت من كذلك الترغيب وﻻ تفلح المثوبة وﻻ الق ـ دوة والموع ـ في اﻷمور يضﻊ حاسم عﻼج من إذن ّبد فﻼ ،ظة م وضعها الصحيح, والعﻼج الحاسم هو الترهيب والعق ـ وبة - على الرغم من أن هناك ـ بع اﻻ ض تجاهات التربية الحديثة تنف ـ ر من العق ـ وبة وتك ـ ره ذكرها على اللسان - ﻷن التربية الرق ـ يقة اللطيفة ك ـ تف اّم ثيرا ـ في لح التربية ﻷن الزيادة من الرقة واللطف تضر ضررا بالغا ﻷنها تنشئ ك ـ يانا ليس له ق ـ .وام 761 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) هذا المعلوم ومن ّأن الناس في درجات متفاوتة فمنهم من تكف ـ يه اﻹشارة البع ـ يدة فيرتج ـ ـ ف ق لبه ويهتز ـ وج دانه، ويع ـ ه عما دل ـ و مق ـ دم ع ـ ليه من انح ـ راف, ومنهم من ﻻ يردعه إﻻ ,الصريح الجاهر الغضب ومنهم من يك ـفـ يه التهديد بع ـ ذاب مؤجل التنف ـ تق من ّبد ﻻ من ومنهم ,يذ ـ ريب العصا منه ل يراها ع ـ لى مق ـ ربة منه, ومنهم بع ـ د ذلك ف ـ ّبد ﻻ ريق أن يحس لذع العق ـ وبة على جسمه ل يستق ـ!يم ,)قطب1428 ,هـ189 - 192 .( هذا هو جوه ـ ر التربية يواجه الذي التربوي القائد في تتوافر أن ينبغي التي والمواصفات اﻹسﻼمية المج ـ تمﻊ, فع ـ ّيبش أن ليه ر وﻻ ينف ّـ ر, وأن يرغب المتع ـ لمين ومن معه على الع ـ لم والسلوك الحسن ويثيبهم على ذلك, وأن يع ـ ظهم ويحذرهم عن الخطأ ويج ـ ع السير في نبهم ـ .ليه القدر بهذا تفي ـكن ب أساليب ذكر عمل ـ الق التربوية يادة- بعضها بقي ولو لو إليها يشر م- مراعيا خوف اﻻ طالة ذكر ذلك مﻊ ,ّودل ّقل ما الكﻼم خير ّﻷن الكﻼم في الحشو من وحذرا والملل نا أهمها حسب المصادر المع ـ تبرة في هذا المجال, فالقا ئد أو أي شخص تربوي لو راعى هذه اﻷساليب وطبقها أثن اء قيامه بهذه العملية المباركة ومواق ـ فه التع ـ ليمية, يرى ثماره و يبرز لديه مدى براعته في توصيل المعلومات و ,إكساب القيم اﻹسﻼمية النفيسة كما يرى بأم ع ـ ينيه التطور والتقدم في نتائجه التربوية داخل مؤسسته والمج ـ .تمﻊ بأسره 4.2 .المطلب الثاني :خصائص القيادة التربوية خصائص القيادة التربوية في هذا البحث عبارة عن : مجموعة صفات وسمات متكاملة ومكونة لشخصية القائد التربوي، التي توجه سلوكه خﻼل تعامله مﻊ خالقه)  ( ومﻊ نفسه، ومﻊ المتعلمي ن أو الذين معه وحوله في المؤسس ة وخارجها أثناء ال عمل التع ـ أو ليمي التربوي وغيرها من المهمات التع ـ ليمية واﻷعمال الهادفة التي يق ـ وم بها القائد التربوي ـقـ لتح يق أه ـ داف ع ال ـ ملية ال تربوية بك ـ فاءة وفاع ـ إطار في لية ثقافة المج ـ تمﻊ وف ـ .لسفته ﻊ ّتعد التربوية القيادة ّإن من أصعب أنواع الق ـ يادة فهي ليست بالمهمة السهلة, ﻷنها تتطلب ممن يق ـ وم بها أن يكون مؤهﻼ متفهما لمبادئها وق ـ بد فﻼ لذا ,وأصولها وأساليبها واعدها من أن يتمتﻊ القائد بخصائص وصفات وسمات حسية ومعنوية وجسمانية ونف سية ـ, ـ تمك من إليه يبتغي ما إلى وصوﻻ مهمته أداء من نه ـ أه داف, فقد أجريت دراسات وأبحاث كثيرة لتحديد صفات القيادة وسماتها وخ ـ كانت اّم غالبا ,صائصها ف أو إدارية عملية في كالنجاح اّم حدث حصول أو العمل إنجاز بعد مستقاة الدراسات هذه ـ نية أو تحق ـ يق اّم إنجاز الشخصية التجارب عن ًتعبيرا , فقد تك ـ ثفت هذه الدراسات لل ـ إلى التربوي القائد صفات عن بحث خﻼله من الوصول ّتم أن ا إلى تحديد ع ـ دة صف ؛ ات ـ ﻻ بد من أن يتم ـ ,الناجحون القادة بها تﻊ ّأن إﻻ هذه الصفات هي صفات نسبية ومتف ـ اوتة من شخ ـ ص ﻵخ ـ ر, يج ـ ب اﻻنتباه إلى أن تواف ـ ـ ر ه ذه الصف ـ ات في ـ شخ ص ما ﻻ يع ـ ني أنه قائ ـ د ناجح بالمطل ـق ) ,ج. ةƼمج ميةƼعƿى زانست اDžقه كوروتوا 1986 ,م19 ( يجب التي الصفات ّﻷن , أن يتمتﻊ القائد بها ك ـ ثيرة ومتعددة ومتجددة تفرضها ضرورات الحياة العصرية ومست جداتها, ومﻊ تطور التقنيات تتطو ر الضرورات التي يجب أن يتمتﻊ بها القائد أو الذي يتربﻊ على قمة هرم القيادة, مهما ك ـ ان 762 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ي م نوع المنظمة أو المؤسسة التي يرأسها من مستوى إدارة اﻷسرة في البيت إلى مستوى قيادة ال ـ فهي ,دولة إذن ضرورات ﻻ غ ـ نى عنها لك ـ ,منا واحد ل ّأن إﻻ ّالمؤك ـ د ه ـ غ ّأن و ـ ياب ه ـ ذه الصفات يح ـ ول دون نجاح القائد في مه مته ـ ) ,طشطوش2008 ,م57 .( ـ بع الق صفات ّأن علمُي أن ينبغي القصيرة التوطئة هذه د ـ يادة وخصائصها , هي مواهب نفيسة غالية ) وهبها ﷲ( لع ـ باده, قد تك ـ ون ف ـ طرية وق ـ د يكون بعضها مك ـ ,تسبة ف المطلب هذا في ـ رك ن ز على صفات القائد التربوي وخصائصه التي تمنح بنيته الشخصية الصﻼبة وروح التعايش والتضحية مﻊ من ح ـ وله من العاملين في المؤسسات التربوية والمج ـ التر مجال ّﻷن ذلك ,معا تمﻊ بية وا لتعليم يحتاج إلى أصحاب يتمتعون ب اﻷخﻼق الحميدة والعلم النف ـ يس والثقافة الرفيعة لعظم هذه المهمة في النهوض بالمجتمعات ـ وتق دمها, ومن أه ـ ّيتحل أن ينبغي مما وأبرزها والخصائص الصفات م ّوالمرب التربوي القائد بها ى الناجح ي :ما يأتي - نوع المنظمة أو المؤسسة التي يرأسها من مستوى إدارة اﻷسرة في البيت إلى مستوى قيادة ال ـ فهي ,دولة إذن ضرورات ﻻ غ ـ نى عنها لك ـ ,منا واحد ل ّأن إﻻ ّالمؤك ـ د ه ـ غ ّأن و ـ ياب ه ـ ذه الصفات يح ـ ول دون نجاح القائد في مه مته ـ ) ,طشطوش2008 ,م57 .( ّأ أ القائد في مه مته ـ ) ,طشطوش2008 ,م57 .( ـ بع الق صفات ّأن علمُي أن ينبغي القصيرة التوطئة هذه د ـ يادة وخصائصها , هي مواهب نفيسة غالية ) وهبها ﷲ( لع ـ باده, قد تك ـ ون ف ـ طرية وق ـ د يكون بعضها مك ـ ,تسبة ف المطلب هذا في ـ رك ن ز على صفات القائد التربوي وخصائصه التي تمنح بنيته الشخصية الصﻼبة وروح التعايش والتضحية مﻊ من ح ـ وله من العاملين في المؤسسات التربوية والمج ـ التر مجال ّﻷن ذلك ,معا تمﻊ بية وا لتعليم يحتاج إلى أصحاب يتمتعون ب اﻷخﻼق الحميدة والعلم النف ـ يس والثقافة الرفيعة لعظم هذه المهمة في النهوض بالمجتمعات ـ وتق دمها, ومن أه ـ ّيتحل أن ينبغي مما وأبرزها والخصائص الصفات م ّوالمرب التربوي القائد بها ى الناجح ي :ما يأتي - 1 :. ةƼمج ميةƼعƿى زانست اDžقه التواضع يتواضﻊ َتواضﻊ ُم فهو ،اًعُتواض،تذلﱠل ،ﻊَتخاش :ُالعبد وتواضﻊ ،ﻊِتواض تكبﱠر عكسه ,)عمر 1429 ,هـ 3 / 2456 ,( الـمراد بالـتواضﻊ "تحقـير النفـس وإهانـتها بالنسبة إلى عـظمة ﷲ)  ( وقـبول الحـق بحسن الخـل ـ,ق")المناوي1410 ,هـ111 أسباب أهـم أحد وهـو ,( قـبول القائد التربوي عند من يتعامل معهم بها كـسبُت ميزة وهي ,والمجتمﻊ التربوية المؤسسات في ال محـبة و ال قـوة, ه ـ الصفة ذه الحـميدة تظهر جـلية واضحة في سرد قصص اﻷنبياء )عليهم و ،القرآن في المذكـورة (السﻼم إ هذا ّن الخلق من سمات عـباد الرحمن فق ـ د أخبر ﷲ)  ( :عنهم في القرآن الكريم فقال ِعَـ و ْالرﱠح ُادَب ـ َينِالﱠذ ِنَم ُشْمَي ـ َع َون ـ َه ِضْرَ ْاﻷ ىَل ا ـًنْوـ )الف:رقان63( أي: "ساكنين متواضع ـ Ϳ ين)  (وللخلق, فه ـ لهم وصف ذا بالوقار والسك ـ ينة وال ـ ولعͿ تواضﻊ ـ ,باده")السعدي1424 ,هـ586 (, مﻊ ذلك نهى ﷲ)  ( عن التكبر واستح ـ) قار الناس, فيقول :(  ِّعَصُت َﻻَو ـ َخ ْر ـ ْمَت َﻻَو ِلنﱠاسِل َدﱠك ـ َم ِضْرَ ْاﻷ يِف ِش ـ ِحُي َﻻ َﱠစ نﱠِإ اًحَر ـ ُك ـ بﱡ لﱠ ُخَف ٍالَتْخُم ـ ٍور :)لقمان18( يقول ابن عباس )رضي ﷲ عنهما( في تفسير هذه اﻵية: "ﻻ تتك ـ بر فتحق ـ ر عـ باد ﷲ، وتع ـ رض ع ـ نهم بوجهك إذا ك ـ "لموك)ابن ك ثير ـ , 1420هـ , 6 / 338 ( ،ـك ذلك جاءت أحاديث كـ ثيرة في مدح ه ـ ذه الصفة الك ـ) ريمة مثل قوله َمَو] :(ـ َع ُﷲ َادَز ا ـب ْـ َعِب اًد ـ ْفـ ِع ﱠﻻِإ ٍو ـ َمَو ،ا̒ز ـ َﻊَاضَوَت ا َحَأ ـ َعَفَر ﱠﻻِإ ِﱠِໂ ٌد ـ[ُﷲ ُه)مسلم , 1374 هـ, كتاب: البر والصلة واﻵداب, باب: استحباب العفو والتواضﻊ , :رقم الحديث2588 , 4 / 2001 .( 2 :. ةƼمج ميةƼعƿى زانست اDžقه به ويتج نب ـ ّيؤك النبوية والسنة الكريم القرآن ّﻷن التشاؤم ـ دان على ذلك ك ـ:ما يبدو مما يأتي - .أ ّإن القرآن الكريم ح ـ) ﷲ فيقول ,اليائسين ّوذم اليأس رم :(  ُسَئْيَت َﻻَو ـ ْيَي َﻻ ُنﱠهِإ ِﱠစ ِحْوَر ْنِم وا ـ ُسَئ َقْال ﻻﱠِإ ِﱠစ ِحْوَر ْنِم ـ َكْال ُمْو ـ َونُرِاف :)يوسف87 ) (, ويقول :(  َـق ْقَي ْنَمَو َال ـَنـ َمْحَر ْنِم ُط ـ ﱠﻻِإ ِهِّبَر ِة َالضﱠالﱡون :)الحجر56(, لق ـ د بدى في هاتين اﻵيتين ق اليأس ّأن ـ رين الك ـفـ .والضﻼل ر .ب ) ﷲ رسول ّأن ) ( أمر بالتفاؤل ونهى عن التشاؤم, وتفاءل( في غ ـ زواته وح ـ ولم روبه يتطير )الماوردي , 1981 ,م133 ( ) هّبأن الصحيحين في وجاء ,  ِط َﻻ] :يقول (ـ َخَو ،َةَرَي ـ َالف اَهُرْي ـ ,ُلْأ َالف اَمَو :واُالَق ـ ْسَي ُةَحِالصﱠال ُةَمِلَالك :َالَق ؟ُلْأ ـ َحَأ اَهُعَم ـ[ْمُكُد ,)البخاري1422 ,هـ :كتاب: الطب, باب ,الفأل :رقم الحديث5755 , 7 / 135 ,, ومسلم1374 ,هـ كتاب: ,السﻼم باب: الطيرة والفأل :, رقم الحديث 2223 , 4 / 1745 .( به ويتج نب ـ ّيؤك النبوية والسنة الكريم القرآن ّﻷن التشاؤم ـ دان على ذلك ك ـ:ما يبدو مما يأتي - .أ ّإن القرآن الكريم ح ـ) ﷲ فيقول ,اليائسين ّوذم اليأس رم :(  ُسَئْيَت َﻻَو ـ ْيَي َﻻ ُنﱠهِإ ِﱠစ ِحْوَر ْنِم وا ـ ُسَئ َقْال ﻻﱠِإ ِﱠစ ِحْوَر ْنِم ـ َكْال ُمْو ـ َونُرِاف :)يوسف87 ) (, ويقول :(  َـق ْقَي ْنَمَو َال ـَنـ َمْحَر ْنِم ُط ـ ﱠﻻِإ ِهِّبَر ِة َالضﱠالﱡون :)الحجر56(, لق ـ د بدى في هاتين اﻵيتين ق اليأس ّأن ـ رين الك ـفـ .والضﻼل ر )لﷲّأ )فا ل ال شا ال فا ل ( أ( ف ا ل الضالون :)الحجر56(, لق ـ د بدى في هاتين اﻵيتين ق اليأس أن ـ رين الك ـفـ .والضﻼل ر .ب ) ﷲ رسول ّأن ) ( أمر بالتفاؤل ونهى عن التشاؤم, وتفاءل( في غ ـ زواته وح ـ ولم روبه يتطير )الماوردي , 1981 ,م133 ( ) هّبأن الصحيحين في وجاء ,  ِط َﻻ] :يقول (ـ َخَو ،َةَرَي ـ َالف اَهُرْي ـ ,ُلْأ َالف اَمَو :واُالَق ـ ْسَي ُةَحِالصﱠال ُةَمِلَالك :َالَق ؟ُلْأ ـ َحَأ اَهُعَم ـ[ْمُكُد ,)البخاري1422 ,هـ :كتاب: الطب, باب ,الفأل :رقم الحديث5755 , 7 / 135 ,, ومسلم1374 ,هـ كتاب: ,السﻼم باب: الطيرة والفأل :, رقم الحديث 2223 , 4 / 1745 .( 3. ةƼمج ميةƼعƿى زانست اDžقه الق ـ:وة ُـ الق الضع خﻼف :ُوﱠ ة فـ )الجوهري, 1407هـ , 6 / 2469 ( ّبد ﻻ , أن تتوفر في القائد وهي ,وصفاته التربوي القائد خصائص ّأهم من وﻻ نعـ ني بالق ـ وة الشدة والح ـ ّإن دة والقدرة الكفاءة بها المراد ما ّﻷن ,المهمة أداء على ّيؤك التي القوة ـ د عليها اﻹسﻼم تخ ـ تلف باختﻼف طبيعة المه ـ مة, بحيث يختار الموق ـ ف المناسب من اللين أو الشدة, وللق ـ وة مظاهر متع ـ ددة أي أنها ﻻ تتمثل في الق ـ وة البدنية فحسب وﻻ ـ تق الق من أخرى أنواعا هناك ّأن بل ,عليها تصر ـ وة ك ـقـ وة الع ـقـ يدة من رسوخ اﻹيمان في الق ـ لب, وق ـ وة المع ـ من رفة البصيرة بالع ـ وق ,لوم ـ وة المسؤولية من الق ـ الضع الشخصية ّﻷن ,التحدي مواجهة على درة ـ يفة ﻻ يمك ـ نه التحدي والدعوة إلى منهجه وأف ـ كاره )عبد السﻼم , 1438 ,هـ38 - 39 (الق برزُي كما ,ـ رآن الك ـ ريم هـ ذا المفه ـ وم بوضوح حينما يروي لنا قصص اﻷنبياء )عليهم السﻼم(, فيقول ا) ّلنبي ُمْال] :(ـ ِمْـ ؤ ُن ـ الﱠ ِالَخُي يِذ ـ ال ُط ـ ىَلَع ُرِبْصَي َﻻَو ، َالنﱠـاس ُـطِالَخُي َﻻ يِالﱠـذ َنِم ٌرْيَخ ،ْـمُاهَذَأ ىَـلَع ُرِبْـصَيَو ، َنﱠاس ,البخاري)[ْـمُاهَذَأ1409 ,هـ باب: الذي يصبر على أذى الناس :, رقم الحديث388 , ص140 (, ويقول )  :( ,مسلم)[ٌرْـيَخ ٍّـلُك يِفَو ِـيفِالضﱠع ِنِمْـؤُمْال َـنِم ِﷲ ىَلِإ ـبﱡَحَأَو ٌرْـيَخ يﱡِـوَقْال ُنِمْـؤُمْال] 1374 ,هـ كتاب: القدر ,باب: في اﻷمر بالقوة وترك العجز, :الحديث رقم2664 , 4 / 2052 ,(المؤمن ّالقوي : يعني في ،إيمانه والمراد بالقوة هنا عزيمة النفس ؛ فيكون صاحب هذا الوصف أكثر وأشد عزيمة في اﻷمر بالمعروف والنهي عن المنكر والصبر على اﻷذى ) ,النووي1392 ,هـ16 / 215 ,( وليس المراد القوي في بدنه؛ ﻷن ّقو ة البدن قد تكون ًضررا على اﻹنسان إذا استعمل هذه ّالقو ة في معصية ﷲ )(، فقوة البدن ليست محمودة وﻻ مذمومة في ،ذاتها إن كان اﻹنسان استعمل هذه القوة فيما ينفعه في الدنيا واﻵخرة صارت محمودة, وإن استعان بهذه ّالقو ة على معصية ﷲ )( صارت مذمومة ,العثيمين) 1426 , 2 / 76 - 77 (, ـه ّالت على القادة يشجﻊ المفهوم ذا سلح بسﻼح القوة والصبر على الم ّشاق. 4 . ةƼمج ميةƼعƿى زانست اDžقه التفاؤل من ال ـفـ أل وه ـ و ضد ال ـ طيرة, وال ـ طيرة ﻻ تك ـ ف إﻻ ون ـ ،يما يسوء والفأل يك ـ ف ون ـ يما سن ـ يح )ابن منظور, 1414 ,هـ11 / 513(, التفاؤل ق ـ وة نف ـ سية نف ـ يسة إيجابية, وهي الصفات إحدى ذات اﻷهمية للقائد التربوي, مما ﻻ بد أن يتحلى بها وتتواف ـ ر ف ـ الغ إلى الصفة بهذه ىّالمتحل ينظر ,يه ـ د بابتسامة و أمل, يسير إلى الغاية المنشودة بروح القائد الناجح, ـ وبنف سية منتصرة دون أن يصيبه اليأس أو يغلب ,فتحي) قنوط عليه1429 ,هـ144 ّويتحل بالتفاؤل يتصف بأن الناس أجدر هو المسلم التربوي والقائد ,( ى 763 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) به ويتج نب ـ ّيؤك النبوية والسنة الكريم القرآن ّﻷن التشاؤم ـ دان على ذلك ك ـ:ما يبدو مما يأتي - .أ ّإن القرآن الكريم ح ـ) ﷲ فيقول ,اليائسين ّوذم اليأس رم :(  ُسَئْيَت َﻻَو ـ ْيَي َﻻ ُنﱠهِإ ِﱠစ ِحْوَر ْنِم وا ـ ُسَئ َقْال ﻻﱠِإ ِﱠစ ِحْوَر ْنِم ـ َكْال ُمْو ـ َونُرِاف :)يوسف87 ) (, ويقول :(  َـق ْقَي ْنَمَو َال ـَنـ َمْحَر ْنِم ُط ـ ﱠﻻِإ ِهِّبَر ِة َالضﱠالﱡون :)الحجر56(, لق ـ د بدى في هاتين اﻵيتين ق اليأس ّأن ـ رين الك ـفـ .والضﻼل ر .ب ) ﷲ رسول ّأن ) ( أمر بالتفاؤل ونهى عن التشاؤم, وتفاءل( في غ ـ زواته وح ـ ولم روبه يتطير )الماوردي , 1981 ,م133 ( ) هّبأن الصحيحين في وجاء ,  ِط َﻻ] :يقول (ـ َخَو ،َةَرَي ـ َالف اَهُرْي ـ ,ُلْأ َالف اَمَو :واُالَق ـ ْسَي ُةَحِالصﱠال ُةَمِلَالك :َالَق ؟ُلْأ ـ َحَأ اَهُعَم ـ[ْمُكُد ,)البخاري1422 ,هـ :كتاب: الطب, باب ,الفأل :رقم الحديث5755 , 7 / 135 ,, ومسلم1374 ,هـ كتاب: ,السﻼم باب: الطيرة والفأل :, رقم الحديث 2223 , 4 / 1745 .( ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه م)م( ـ لك ل ذلك تبلغ اﻻلتزام باﻷمانة من سمات الق ـ ائد التربوي, وخصائصه البالغ اﻷه ـ مية, ف القائد التربوي الج النشء ورعاية التعليمية والنشاطات التربوية السياسات تطبيق على مؤتمن ـ ديد وجيل المستق ـ ليه ـع بل , إذن ّبد ﻻ أن يك ـ ون أمينا على ك ـ ّل ما يتوﻻه وما است ـ ودع عليه ,)أبو ناصر2008 ,م49 .( 5 . ـ الع:لم ـه أصيلة صفة و ,وخـصيصة متميزة مﻼزمة من خـصائص القـائد التربوي والقـدوة المربي فـيجب أن يتوفر لدى القـائد التربوي, الذي يسند إليه أمر القيادة العلم والمعرفة والخـبرة, ف ـقـ د وصف ﷲ )  ( في كـتابه العـزيز أنبيائه الكرام )عليهم السﻼم( وغيره ـ م بالعلم ﻷهميته, ويك ـ فى ﻷهمية الع ـ لم :تعالى بقوله اﻻستشهاد ِهَـ ش ُه ﻻﱠِإ َهَلِإ َﻻ ُنﱠهَأ ُﱠစ َد ـ ُولُأَو ُةَكِئَﻼَمْالَو َو ـ ِعْال و ـ َق ِمْل ـ ِقْالِب اًمِائ ـ ِطْس :عمران آل) 18 ,( هـ ذه اﻵية دلي ل على فضل العلم وشرف الع ـ لماء وف ـ ضلهم، إذ ل ـ و كان أح ـ د أشرف من العلماء لق ـ رنهم ﷲ )  ( باسمه واسم مﻼئك ـ ته كما ق ـ رن اسم العلماء, وقال في شرف الع ـ) لم لنبيه :(  يِنْدِز ِّبَر ْلُقَو اًمْلِع :)طه114(, ول ـ و كان ه ـ ناك شيء أشرف من الع ـ تعالى ﷲ ﻷمر لم) نبيه ( أن يسأله المزيد منه كـ ما أمر ه أن يستزيد ,من العلم )القرطبي1384 ,هـ4 / 41 .( رى ن والريادة القيادة يريد الذي ّأن, ينبغي أن يتع ـ لم ويزيد من علمه وﻻ يق ـ ق به صلته طﻊ ـ وصوله بل إلى هذه المرتبة وبع ـ ذل إلى أشار كما دها ـ) ك الفاروق عمر بن الخطاب :( َق واُـقﱠهَـفَت]ـ ْنَأ َـلْب ,البخاري)[واُـوﱠ دَسُت1422هـ ,كتاب: العلم ,باب: اﻻغتباط في العلم والحكمة , 1 / 25 الناس بـعض ّﻷن ,( قـ المتع مجلس يجلس ْأن واﻻحتشام الكبر يمنعـه د ,العسقﻼني) لمين1379 ,هـ1 / 166 ( , - ّسي ﻻ ما- بعد ّتسن مه هّوتولي مهمة من .المهمات 5 . ةƼمج ميةƼعƿى زانست اDžقه :اﻷمانة َنُأم أمين فهو ،ًأمانة ،نُيأم ,عهده على حافظ :ُالرﱠجل نُأم ؛ وصان ما اؤتمن عليه، عك سه خان )عمر , 1429هـ , 1 / 122 ,( و اﻷمانة :حفظ شيء وعدم التصرف فيه سواء كان ماﻻ أو غيره ؛ 764 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) وسواء كان ذلك الشيء مملوكا له أو لغيره ) ,نكري1421 ,هـ1 / 118 (, و:بعبارة أخرى اﻷمانة خﻼف وسواء كان ذلك الشيء مملوكا له أو لغيره ) ,نكري1421 ,هـ1 / 118 (, و:بعبارة أخرى اﻷمانة خﻼف ،الخيانة وهي مصدر أمن الرجل أمانة ؛ فهو أمين إذا صار كذلك، ثم ّي سم ما تأتمن عليه صاحبك أمانة )القونوي , 1424 ,هـ93 .( إذن تعد اﻷمانة مـن ّأهم صفات الق ائد التربوي وخصائصه أي ينبغي أن يك ـ ون القائد أمينا ويتحلى بهذه الصفة الجميلة , ولﻸمانة شأن عظيم في حياة البشرية فق ـ ع د ـ ّظ مها القرآن الك ـ ريم وك ـ ذلك السنة النبوية الشريفة, وه ـ ذا واضح الدﻻلة في ق ـ :وله تعالى ُكُرُمْأَي َﱠစ نﱠِإ ـ ْهَأ ىَلِإ ِاتَانَمَ ْاﻷ دﱡواَؤُت ْنَأ ْم ـ َكَح اَذِإَو اَهِل ـ ُتْم ـ ْم َنْيَب ُكْحَت ْنَأ ِالنﱠاس ـ َعْالِب واُم ـ ِلْد :)النساء58(, وق ـ د ق ـ) رنت اﻷمانة لعظمها بالرسالة النبوية يقول :(  يِّنِإ ُكَل ـ ُسَر ْم ـ ٌينِمَأ ٌول :)الشعراء107 ) قوله في بعينها القيادة جعلت اﻷمانة ّأن كما ,(  َف] :(ـ عِّيُض اَذِإ َـ ِت َف ُةَانَمَاﻷ ـ َتْـ ان ِرِظ َالسﱠاع ـ) ئلُس ولما ،[َة( عن ك ـ يف ـ ية إضاع ـ) تها أجاب الحبيب ُرْمَاﻷ َدِّسُو اَذِإ] :( َغ ىَلِإ ـ ْهَأ ِرْي ـ ,البخاري)[َةَالسﱠاع ِرِظَتْانَف ِهِل1422 ,هـ كتاب: العلم, باب: من سئل علما وهو مشتغل في حديثه :الحديث رقم , 59 , 1 / 21 ( ,أي إذا أسندت اﻷمور الهامة التي ترتبط بها مصالح المسلمين إلى غير أصحاب الكفاءات الشرعية داريةِواﻹ والعلمية والفنية وسلمت لغير ذوي اﻻختصاص فقد ضاعت اﻷمانة وأوشكت الساعة أن ,قاسم) تقوم1410 ,هـ1 / 156 ( . ةƼمج ميةƼعƿى زانست اDžقه ـ الح :زم هو ضبط اﻹنسان أمره واﻷخـذ ف ـ يه بالـثق ـ ,ة )ابن منظور1414 ,هـ12 / 131 إذن ,( الحزم ه ـ ,و اﻹتقان والضبـط )المناوي1410 ,هـ139(, وه ـ و صفة مﻼزمة ضرورية تتطلبها القيادة التربوية الناجحة عند حصول خلل أو تق ـ صير في أداء عمل مﻊ مراعاة القرارات اتخاذ في اﻹنصاف المناسبة, وهي وهي ,الحديثة اﻹدارية الدراسات إليها تشير مما واﻹداري التربوي القائد خصـائص مـن ﻻ تـتعارض مـﻊ مبادئ الشريعة اﻹسﻼمية ت الـ ت ي تردد بدون قراراته في قاطعا القائد يكـون أن منا طلب ق اتخـذ أنه دام ما ـ راره بع ـ د تف ـ كـير عـميق ومشاورة ذوي الخ ـ ,برة )عبيدات1422 ,هـ216 لمسُوي ,( :ذلك في قوله تعالى َـف َمْحَر اَمِب ـ ْنِل ِﱠစ َنِم ٍة ـ ُهَل َت ـ َلَو ْم ـ ُك ْو ـ َف َتْن ـ َغ ا̒ظ ـ ِـل َقْال َيظ ـ َفْنَﻻ ِبْل ـ َكِلْوَح ْنِم ضﱡوا ْاعَـ ف َع ُـ ف ْغَتْاسَو ْمُهْن ـ ِـف ْمُهَل ْر ْمَزَع اَذِإَف ِرْمَ ْاﻷ يِف ْمُهْرِاوَشَو ـ َتَف َـ ت كﱠَـ و ِحُي َﱠစ نﱠِإ ِﱠစ ىَلَع ْل ـ َينِلِّكَوَتُمْال بﱡ )آل عمر ا:ن159(, واﻷمثلة في الق ـ (رآن الكريم كثيرة على اتخاذ الحزم من قبل اﻷنبياء )عليهم السﻼم ـ وغ) يرهم, على سبيل المثال قال ﷲ ( عن) سيدنا سليمان :( وحزمه مﻊ هدهد اًيدِدَش اًابَذَع ُنﱠهَبِّذَعُ َﻷ ٍينِبُم ٍانَطْلُسِب يِّنَيِتْأَيَل ْوَأ ُنﱠهَحَبْذَ َﻷ ْوَأ :)النمل21 ) (, كذلك خضر مﻊ سيدنا موسى :(  َـق َه َال ـ ِف اَذ ـ ُاقَر ِنْيَبَو يِنْيَب ـ َك :)الكهف78(, وك ـ ذلك في موق ـ :القرنين ذي ف َعُن َفْوَسَف َمَلَظ ْنَم مﱠاَأ َالَق ـ ُهُبِّذ :)الكهف87 .( وكذلك تح ـ ثنا السنة النبوية ع ـ ّالتحل لى ي بهذه الصفة الجليلة - الحزم- فقد ) جاء في قوله :( ْعَت َﻻَو ِͿاِب ْـنِعَتْاسَو ،َـكُعَفْنَي اَم ىَلَع ْصِـرْاح]ـ َﻼَف ،ٌءْيَش َكَابَصَأ ْنِإَو ، ْـزَج َل ْـلُقَت ـ َك َانَك ُـتْـلَعَف يِّنَأ ْو ـ اَذ ُق ْـنِكَلَو ،اَـذَكَو ـ ْفَت ْوَل نﱠِإَف ،َلَعَف َاءَش اَمَو ِﷲ ُرَدَق ْل ـ ,مسلم)[ِانَطْالشﱠي َلَـمَع ُحَت1374هـ ,كتاب: القدر ,باب: في اﻷمر بالقوة وترك العجز :الحديث رقم , 2664 , 4 / 2052(, وك ـ ذلك تج ـ د مواق ـ ـك ف ثيرة في السيرة ح على تدل النبوية ـ) زم رسول ﷲ ( - ماّﻻسي- في غ ـ .زواته ع ًبناء ـ الح ّأن يبدو مضى ما لى ـ زم صفة ذات أه ـ مية ك ـ بيرة ﻻ غ ـ نى عنها للقائد التربوي, إذ القائد ق ـ د ّيمر بظروف وأحوال تف ـ رض ع ـ ليه اتخاذ الق ـ رار بشجاعة وبسرعة, لذا ينبغي عليه أن يكون ق ـ ادرا ,وحازما في إنجاز القرارات الفورية وحسمها )طشطوش2008 ,م44 .( ع ًبناء ـ الح ّأن يبدو مضى ما لى ـ زم صفة ذات أه ـ مية ك ـ بيرة ﻻ غ ـ نى عنها للقائد التربوي, إذ القائد ق ـ د ّيمر بظروف وأحوال تف ـ رض ع ـ ليه اتخاذ الق ـ رار بشجاعة وبسرعة, لذا ينبغي عليه أن يكون ق ـ ادرا ,وحازما في إنجاز القرارات الفورية وحسمها )طشطوش2008 ,م44 .( 7 . ةƼمج ميةƼعƿى زانست اDžقه ةƼمج ميةƼعƿى زانست اDžقه ᗬ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 6 . ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه ـ الع:لم ـه أصيلة صفة و ,وخـصيصة متميزة مﻼزمة من خـصائص القـائد التربوي والقـدوة المربي فـيجب أن يتوفر لدى القـائد التربوي, الذي يسند إليه أمر القيادة العلم والمعرفة والخـبرة, ف ـقـ د وصف ﷲ )  ( في كـتابه العـزيز أنبيائه الكرام )عليهم السﻼم( وغيره ـ م بالعلم ﻷهميته, ويك ـ فى ﻷهمية الع ـ لم :تعالى بقوله اﻻستشهاد ِهَـ ش ُه ﻻﱠِإ َهَلِإ َﻻ ُنﱠهَأ ُﱠစ َد ـ ُولُأَو ُةَكِئَﻼَمْالَو َو ـ ِعْال و ـ َق ِمْل ـ ِقْالِب اًمِائ ـ ِطْس :عمران آل) 18 ,( هـ ذه اﻵية دلي ل على فضل العلم وشرف الع ـ لماء وف ـ ضلهم، إذ ل ـ و كان أح ـ د أشرف من العلماء لق ـ رنهم ﷲ )  ( باسمه واسم مﻼئك ـ ته كما ق ـ رن اسم العلماء, وقال في شرف الع ـ) لم لنبيه :(  يِنْدِز ِّبَر ْلُقَو اًمْلِع :)طه114(, ول ـ و كان ه ـ ناك شيء أشرف من الع ـ تعالى ﷲ ﻷمر لم) نبيه ( أن يسأله المزيد منه كـ ما أمر ه أن يستزيد ,من العلم )القرطبي1384 ,هـ4 / 41 .( ي م )( رى ن والريادة القيادة يريد الذي ّأن, ينبغي أن يتع ـ لم ويزيد من علمه وﻻ يق ـ ق به صلته طﻊ ـ وصوله بل إلى هذه المرتبة وبع ـ ذل إلى أشار كما دها ـ) ك الفاروق عمر بن الخطاب :( َق واُـقﱠهَـفَت]ـ ْنَأ َـلْب ,البخاري)[واُـوﱠ دَسُت1422هـ ,كتاب: العلم ,باب: اﻻغتباط في العلم والحكمة , 1 / 25 الناس بـعض ّﻷن ,( قـ المتع مجلس يجلس ْأن واﻻحتشام الكبر يمنعـه د ,العسقﻼني) لمين1379 ,هـ1 / 166 ( , - ّسي ﻻ ما- بعد ّتسن مه هّوتولي مهمة من .المهمات 765 ةƼمج ميةƼعƿى زانست اDžقه :العالية ةّالهم ذه ـه صفة ع ـ ظيمة ولها تأثير بالغ على نفسية القائد التربوي والذين يتعامل م معه , إذ ﻻ يكتب للقائد النجاح إﻻ إذا كانت نفسه تشتاق للمعالي، وأه ـ دافه يج ,ةّالقم نحو وتسمو ترتقي ـ أن ب يبدو ذلك بوضوح في معاملته اﻹدارية والتربوية في المؤسسة والمج ـ تمﻊ، ه ـ ذه الصفة الجليلة تتبين أه ـ ميته ) وتظهر فعاليته بوضوح في قصة نبي ﷲ موسى( مﻊ الع ـ كما خضر الصالح بد يذكر) ها ﷲ :( بقوله  َطْانَف ـ َلـ اَق :)الكهف71 - 74 - 77 ،مرات ثﻼث ( ذكر كما هـ مة الق ـ القرنين ذي الصالح ائد مرات ثﻼث بقوله ) :(  َلَب اَذِإ تﱠىَح ـ َغ)الكه ـ:ف86 - 90 - 93(, هاتان القصت ا ن كلت ا هما مذكورتان .في سورة الكهف بعد هذا الع ـ ّبد ﻻ ,التفصيل من بنوع وخصائصها التربوية القيادة صفات من لمجموعة رض من القول بأنه لو تع ـ ّم الق في باحث ّأي ق ـ وآياته الكريم رآن س يصل إلى صفات أ خرى كثيرة للقيادة من غير ما أشر نا إليها لك ـ والمكان الحال لضيق ن تفي ـكن ـ بذك ر تلك الصفات اك ـ ليس تفاء ,انتهاء وأ ل بدى الذي ّن ان نو ّود أن ن شير إليه في نهاية هذ ا المطلب هو ملحوظتان ذات أهمية ن:سجلهما أدناه :اﻷولى الق خصائص ّإن ـ يادة التربوية وصفاتها مواه ـ ب شخصية وه ـ ) بها ﷲ( لع ـ باده, ق ـ د تكون فطرية وق ـ د يكون بعضها ة تسب ـكم وتؤك ذلك على ّتدل ,والتدرب بالتعلم ـ التي الدراسات نتائج عليه د أجريت في هذا المجال, على سبيل المثال صفة الح ـ لم ق ـ د جبل ت عليها اﻹنسان وهي من طبعه وق ـ د ينالها ـ وتك تسب بالتدرب ع ـ ليها, فالدل ـ ُجَر نﱠَأ] :البخاري رواه ما ذلك على يل ـ) ِّيِلنﱠبِل َالَق ًﻼ َالَق ،يِنِصْوَأ :( )  ْغَت َﻻ :(ـ َف ْبَض ـ ِم َدﱠدَر ـ َق ،اًارَر ـ غَت َﻻ :َال ْـ[ ْبَض)البخاري , 1422 هـ ،كتاب: اﻷدب ,باب: الحذر من الغضب :الحديث رقم , 6116 , 8 / 28 ّيدل فإنما شيء على ّدل إن هذا ,( ّأن على صفة الح ـ لم ق ـ د تك ـ تسب ّبالت اﻹنسان وينالها ّدر ب والتج ـ ّن ب عن الغ ـ .ضب :الثانية وشواه دليل لها إليها؛ اﻹشارة تّتم التي الصفات تلك من صفة كـل ّأن يعـلم أن ينبغي ـ في د الكريم القرآن- ماّﻻسي- ّالنبي بامتﻼك تشهد التي بالمواقـف حافـلة النبوية السيرة ّفإن كـذلك ,قـصصه في ) ( صفات القائد العـبقـري والقـدوة المثـلى الـتي استطاع التأثير م ن خـﻼلها في اﻵخرين وتح ـ قـيق ) اﻷهـداف المنشودة, كـذلك سنته العـطرة مليئة باﻷحاديث التي وضحت طريقه القـيادة اخـتيار في ( والخصائص الﻼزمة للقـيادات- ماّﻻسي- ,التربوية )روابي1437 ,هـ28 - 29 .( 4.3 . ةƼمج ميةƼعƿى زانست اDžقه 8 . ةƼمج ميةƼعƿى زانست اDžقه ـفـ الع :ـه و و الصفـح وتـرك عـق ـ ,وبة المستحق )الفيروزآبادى1426 ,هـ1313 صفة وهي ,( كريمة وخاصية مح ـ بوبة إ ذا تمسك بها القائد التربوي واهتم بها, و إدارته في نجاحه مبعث يكون تفـوق ه في أموره , ف ,ناصر أبو) نظرهم في يتميز بل معه من يحبه2008 ,م52 لسوء معهم يتعـرض ماّرب ﻷنه ( فهم خﻼل تواجده بينهم فينبغي له أن يعـف ـ ّأن فـيه شك ﻻ ومما ,وهم اﻹسﻼم يدعـو إلى الصفـح والع ـ فـو ـع في يتسامح ومن ,المقـدرة ند حقه ويتنازل عن دع ـ واه فهو نبيل الخل ـ ق ومح ـ بوب ع ـ ند الخالق كما يق ـ ول )  :(  َغْال َينِمِاظَكْالَو ـ ِافَعْالَو َظْي ـ َع َين ـ َينِنِسْحُمْال بﱡِحُي ُﱠစَو ِالنﱠاس ِن :)آل عمران134(, ونج ـ آية في د ) ﷲ ّأن أخرى( أم ر رسوله محمد ) ( بالع ـفـ :و فقال ُـخ ِذ َعْـ ال ْـف ُعْالِب ْرُمْأَو َو ـ ْعَأَو ِفْر ـ َع ْضِر ـ ِن ِاهَجْال ـ َينِل :)اﻷعراف199 .( 766 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه المطلب الثالث :شروط القيادة التربوية ًبدء إل :طْرَالش ـ زام الشيء وال ـ تزامه، والجمﻊ شروط وشرائ طـ )ابن منظور , 1414 هـ , 7 / 329 ( , ـ وه و تع ـ ليق شيء بشيء، بحيث إذا وج ـ د اﻷول وج ـ د الثاني )الجرجاني , 1430هـ , 125 (, ه ـ ذا المطلب يركز على شروط الق ـ الق ّأن بما ,يادة ـ يادة تك ـ ليف ع ـ ظيم ومسؤولية كبيرة- ماّﻻسي- القيادة التربوية ﻷنها تحتاج إلى لياقة ومهارة ج ـ ديرة بالمؤسسات التربوية, وليس ك ـ ل أح ـ د قادر على الق ـ على وأدائها بها يام وجهها اﻷك ـ .مل 767 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) هـ ناك شروط عامة يج ـ ب أن تتواف ـ ر في القائد التربوي أوردها بعض العلماء استنتاجا من صفات القائد وما يجب أن يك ـ:ون عليه ويتحلى بها, ومن أبرز تلك الشروط ما يأتي - ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) هـ ناك شروط عامة يج ـ ب أن تتواف ـ ر في القائد التربوي أوردها بعض العلماء استنتاجا من صفات القائد وما يجب أن يك ـ:ون عليه ويتحلى بها, ومن أبرز تلك الشروط ما يأتي - 1 :والتهيئة اﻹعداد .ـ يق الشرط بهذا صد عليه أجمﻊ ما الفك ـ ر اﻹداري في العصر الحديث على أهمية اﻹعداد والتهيئة المسبقة للقائد التربوي اﻹداري وضرورته, ـق بل أن يسند إليه القيام بمباشرة أع ـ ماله ومسؤولياته القيادية, يمك ـ) ن مﻼحظة هذا اﻻهتمام من سنة ﷲ ( في اصطفائه لرسله الكرام )عليهم السﻼم( وسنته في إع ـ داده ـ م وتهيئتهم نفسيا وع ـ قائديا وبدنيا لتحميل مسؤوليات ق ـ ,يادة المجتمﻊ وسيادته وإذا كانت المؤسسات التربوية تتأسى بهذا النهج اﻹ لهي والق ـ ياس عليه في استخﻼص شروط الق ـ يادة التربوية واستنباط مق ـ وماتها, نستطيﻊ أن نتبين من التحاك ـ اﻹع ّبأن ,الهدى ذلك إلى م ـ للقائد المسبق داد الق الشروط من ّيعد اﻹداري التربوي ـ يادية في اﻹسﻼم مما تؤه ـ ل المرء ليك ـ رسالته مهام لممارسة أهﻼ ون ـ بك فاءة وفاع ـ ,لية )أبو الفضل1417 ,هـ186(, والشواه ـ د الق ـ رآنية ح ـ ول إع ـ داد الرسل ومنهم الرسول ) محمد( للرسالة ك ـ ثيرة, ـ نك تفي بن:صوص محددة من القرآن الكريم وهي- .أ قال تعالى في ح ـ) ق نبينا محمد :(  َعَـ و َل اَم َكَلﱠم ـ ُكَت ْم ـ ْعَت ْن ـ َف َانَكَو ُمَل ـ ُلْض َع ِﱠစـ َكْيَل َعـ يِظ ـ اًم :)النساء113 .( .ب :قال تعالى َلَـ أ َل ْحَرْشَن ْم ـ َكَرْدَص َك :)الشرح1 .( .ب :قال تعالى َلَـ أ َل ْحَرْشَن ْم ـ َكَرْدَص َك :)الشرح1 .( .ج :قال تعالى َلَـ أ ِجَي ْم ـ يِتَي َكْد ـ َف اًم ـ) ىَوَآ6 َجَوَو (ـ َهَف ̒اﻻَض َكَد ـ) ىَد7 َجَوَو (ـ َع َكَد ـ ْغَأَف ًﻼِائ نَى ـ :)الضحى6 - 8 .( .ج :قال تعالى َلَـ أ ِجَي ْم ـ يِتَي َكْد ـ َف اًم ـ) ىَوَآ6 َجَوَو (ـ َهَف ̒اﻻَض َكَد ـ) ىَد7 َجَوَو (ـ َع َكَد ـ ْغَأَف ًﻼِائ نَى ـ :)الضحى6 - 8 .( .د قال تعالى في ح ـ) ق سيدنا إبراهيم :(  َتْاب ِذِإَو ـ ِاهَرْبِإ ىَل ـ َكِب ُبﱡهَر َيم ـ َتَأَف ٍاتَمِل ـ ُـ مﱠه َق ـ نﱠ ِاعَج يِّنِإ َال ـ َكُل ِلنﱠاسِل اًامَمِإ :)البقرة124 .( .هـ :قال تعالى َقَلَـ و ِاهَرْبِإ اَنْيَتَآ ْد ـ ْشُر َيم ـ َق ْنِم ُهَد ـ ُكَو ُلْب ـ ِهِب نﱠا َينِمِالَع :)اﻷنبياء51 .( .و قال تعالى في ح ـ) ق سيدنا موسى :(  ) يِرْدَص يِل ْحَرْاش ِّبَر َالَق25 ) يِرْمَأ يِل ْرِّسَيَو ( 26 ( ) يِانَسِل ْنِم ًةَدْقُع ْلُلْاحَو27 ْفَي (ـ َق واُهَق ـ يِلْو :)طه25 - 28 :( أجاب سؤله بقوله َق َالَق ـ َلْؤُس َيتِوتُأ ْد ـ اَي َك ىَوسُم :)طه36 .( .و قال تعالى في ح ـ) ق سيدنا موسى :(  ) يِرْدَص يِل ْحَرْاش ِّبَر َالَق25 ) يِرْمَأ يِل ْرِّسَيَو ( 26 ( ) يِانَسِل ْنِم ًةَدْقُع ْلُلْاحَو27 ْفَي (ـ َق واُهَق ـ يِلْو :)طه25 - 28 :( أجاب سؤله بقوله َق َالَق ـ َلْؤُس َيتِوتُأ ْد ـ اَي َك ىَوسُم :)طه36 .( كـ ما تزخ ـ ر السنة النبوية بالعديد من اﻷحاديث والروايات التي تروي وتصف ـك لنا يف كان رسول ) ﷲ( يهتم بإع ـ ) أصحابه داد( ويهيؤهم ليصبحوا قادة وق ـ دوة ﻻتباعه - خاصة- وللبشرية- عامة 2 :. ةƼمج ميةƼعƿى زانست اDžقه اﻹعداد الفني والمهني يراد بهذا الشرط بأن اﻹدارة أصبحت علما وفنا ولم يع ـ ّأي بإمكان د شخص الق ـ يام بق ـ اﻹدارية المؤسسات من مؤسسة أي يادة- ماّﻻسي- التربوية إﻻ إذا تواف ـ حصيلة لديه رت علمية ومع ـ رفة مهنية بأصول العمل الذي يق ـ وم ب ه )ا لمصدر السابق , 33 .( 4 :متعـددة علوم في الواسع اﻻطﻼع .المراد بهذ ا ال شرط والسياسة النفـس بعلم التربوي القائد معرفة واﻻجـتماع ومع ـ رفـته بالبيئة, ك ـ ل ذلك انطﻼقا من إيماننا بوجوب أن يك ـ ون القائد التربوي مع دا ـ إع ـ دادا عـ لميا ومهنيا من الج ـ .وانب المخـتلفة جـميعها 4 :متعـددة علوم في الواسع اﻻطﻼع .المراد بهذ ا ال شرط والسياسة النفـس بعلم التربوي القائد معرفة واﻻجـتماع ومع ـ رفـته بالبيئة, ك ـ ل ذلك انطﻼقا من إيماننا بوجوب أن يك ـ ون القائد التربوي مع دا ـ إع ـ دادا عـ لميا ومهنيا من الج ـ .وانب المخـتلفة جـميعها مختلفة مراحل في الناس من جمعا سيقابل أنه إذ النفس لعلم دراسته المجال هذا في اﻷمور ّأهم من من السن ق ـ د يحتاجون توجيهاته, ك ـ ذلك دراسة علم السياسة الذي يستطيﻊ به ق ـ واﻹشراف اﻵخرين يادة عليهم وتوجيههم, فضﻼ عن علم اﻻجتماع الذي يكشف جانبا مهما من جوانب الحياة المع ـقـ مع اّأم ,دة ـ رفة البيئة المحيطة به والتي يع ـ يش ف ـ يها وبمن يعاملهم فضرورية للغاية ,)مرسي1971 ,م95 .( مختلفة مراحل في الناس من جمعا سيقابل أنه إذ النفس لعلم دراسته المجال هذا في اﻷمور ّأهم من من السن ق ـ د يحتاجون توجيهاته, ك ـ ذلك دراسة علم السياسة الذي يستطيﻊ به ق ـ واﻹشراف اﻵخرين يادة عليهم وتوجيههم, فضﻼ عن علم اﻻجتماع الذي يكشف جانبا مهما من جوانب الحياة المع ـقـ مع اّأم ,دة ـ رفة البيئة المحيطة به والتي يع ـ يش ف ـ يها وبمن يعاملهم فضرورية للغاية ,)مرسي1971 ,م95 .( 5 :. ةƼمج ميةƼعƿى زانست اDžقه المنهجية المنهج ـ ية تع ـ إح ّد ـ دى الشروط القيادية المطلوب تواف ـ رها في ,القائد التربوي الكفوء ـ يق تواف ضرورة بها صد ـ ر المنهج الو اضح الذي يحدد بجﻼء أسلوب أو طريقة تحق ـ يق القائد التربوي للمبادئ واﻷهداف المح ـ ددة له, فمع ـ يار نجاح العمل الق ـ اﻷه ّسمو في ليس يادي ـ داف والمبادئ التي يسعى إليها الق ائد التربوي , وإنما المع ـ يار الحق ـ في نجاحه مدى في هو إداري قائد ﻷي القيادي العمل لنجاح يقي وضﻊ هذه اﻷهداف والمبادئ موضﻊ التطبيق والتنف يذ ـ أي الترجمة العملية لﻸمور النظرية , واﻹسﻼم مﻊ ومبادئه مقاصده ّبسمو زهّتمي, فإنه ف ـ ضﻼ عن ذلك يتميز بمنهج واضح يتﻼئم مﻊ الواقﻊ ويت ـفـ ق مﻊ الف ـ طرة ويستجيب للمتغ ـ يرات, ولم تك ـ ن المنهج ـ ية سمة تميز بها اﻹسﻼم وح ـ ده بل إنها كانت سمة عامة وسنة ثابتة صاحبت الشرائﻊ المنزلة على ال ـ رسل واﻷنبياء )عليهم السﻼم( جميعهم )أبو الفضل , 1417 هـ , 191 - 192 ( . ـك ) ما يقول ﷲ :(  ْـلَعَج ٍّـلُكِل ـ َنـ ُكْنِم ا ـ ْم َعْـرِش ـ ْنِمَو ًة ـ اًاجَه :)المائدة48 ( أي لكل أمة من اﻷمم جعلنا شريعة أوجبنا عليهم إقامة ،أحكامها ومنهاجا وطريقا واضحا فرضنا عليهم ،سلوكه حسبما تقتضي أحوال المجتمعات وطبائﻊ البشر واستعداداتهم وتطور اﻷزمان ) ,الزحيلي1418 ,هـ6 / 217 ( . ـك ) ما يقول ﷲ :(  ْـلَعَج ٍّـلُكِل ـ َنـ ُكْنِم ا ـ ْم َعْـرِش ـ ْنِمَو ًة ـ اًاجَه :)المائدة48 ( أي لكل أمة من اﻷمم جعلنا شريعة أوجبنا عليهم إقامة ،أحكامها ومنهاجا وطريقا واضحا فرضنا عليهم ،سلوكه حسبما تقتضي أحوال المجتمعات وطبائﻊ البشر واستعداداتهم وتطور اﻷزمان ) ,الزحيلي1418 ,هـ6 / 217 ( . ما ذكرناه هو ع ـ دة شروط للق ـ يادة التربوية أشار إليها الباح ـ ثون استنباطا من الصفات التي يج ـ أن ب ـ يتح لى بها القائد التربوي, والشروط ه ـ ذه من دواف ـ ﻊ نجاح القائد في مهماته في المؤسسة وخارجها ﻷن ت ق أ ط تﻼز ا الش ط ال ش الش ط ل ط ف ال ش المجتمعات وطبائﻊ البشر واستعداداتهم وتطور اﻷزمان ) ,الزحيلي1418 ,هـ6 / 217 ( . ةƼمج ميةƼعƿى زانست اDžقه اﻻستعداد العقلي والنفسي ـع وقواعده أصوله له علما أصبحت التربوية المؤسسات إدارة أن لمنا الثابتة, وأنه يهتم باﻹنسان وبنائه فكان من اﻷمثل أن يق ـ وم على تولي زمامه شخص متوازن عق ـ ليا ونفسيا بشكل دق ـ ذا يكون وأن ,اﻵخرين على النفسية حالته تؤثر ّلئﻼ يق وأف رحب صدر ـ ,ق واسﻊ وحلم عظيم فإذا ما تواف ـ رت للمرء هذه اﻷمور فإنه يكون بذلك ق ـ د حصل على جزء يؤه ـ ّلتول له .القيادة ي وإذا كانﻻ يعقل قيام شخص مضطرب عق ليا ونفسيا ق يادة سيارة فيها مجموعة من الركاب 768 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ـ فك يف يتصور قيام شخص بتلك اﻷوصاف قيادة مؤسسة تعني بب ناء اﻹنسان الف ـكـ ري والسلوكي )الثبيتي , 1404هـ , 32 .( 3 :. ةƼمج ميةƼعƿى زانست اDžقه ما ذكرناه هو ع ـ دة شروط للق ـ يادة التربوية أشار إليها الباح ـ ثون استنباطا من الصفات التي يج ـ أن ب ـ يتح لى بها القائد التربوي, والشروط ه ـ ذه من دواف ـ ﻊ نجاح القائد في مهماته في المؤسسة وخارجها ﻷن الشرط والمشروط متﻼزمان أي يتوق ـ .الشرط على المشروط ف 769 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 5. الخاتمة :والتوصيات النتائج ّأهم في :أوﻻ: النتائج ) وفي ختام هذا البحث المتواضﻊ نشكر ﷲ ّإي توفيقه على ( انا ﻹنجاز هذا العمل المبارك , وقد توصلنا خﻼل كتابته :إلى عدة نتائج نلخصها فيما يأتي 1 . القـيادة التربوية - في ضوء القرآن الكريم - عـملية تأثير باﻹقـناع والتوجيه ومنح القـدرة لتحقـيق أهـداف المؤسسة التربوية في إطار المبادئ والثوابت اﻹسﻼمية. 2 . بقـدر ما تكـون القـيادة التربوية ناشـطة وعلى مستوى جيد من الكفاءة يكون اﻷداء متميزا, وعند وجود نقـص في كـفاءتها ﻻ يم كن للمؤسسة التربوية تحقي ق أهـداف.ها 3 . ينبغي ل لقائد التربوي أن يستخدم أساليب متنوعة وعديدة لتحقـيق أهـدافه الع،الية وهذه اﻷساليب ءّتهي له الفـرصة لمراعاة الفـروق ،الفـردية وتوفـر له طاقة فائقة من .المرونة 4 . كلما تّأد القيادة التربوية مهامها على أحسن وجه ت حقق النتجة المنشودة, وارتقت بال عملي ة التربية .عليا مثل إلى والتعليم 5 . ّبد ﻻ ّأن تستخدم العقوبة في مجال التربية حين ﻻ يفلح الترغيب وﻻ تفلح المثوبة وﻻ القـدوة ،والموعـظة فﻼ ّبد إذن من عﻼج حاسم يضﻊ اﻷمور في وضعها الصحيح . 6 . يجب على القائد التربوي أن يتحلى ب سنُح ﻼقةِالع ل يشعـر من حوله هّأن فرد منهم ﻻ فرق بينه ،وبينهم يتواضﻊ لهم وﻻ يتعالى ،عليهم حتى و ﻻ يكاد يميز القائد عنهم .بشيء 5 . ّبد ﻻ ّأن تستخدم العقوبة في مجال التربية حين ﻻ يفلح الترغيب وﻻ تفلح المثوبة وﻻ القـدوة ،والموعـظة فﻼ ّبد إذن من عﻼج حاسم يضﻊ اﻷمور في وضعها الصحيح . 5 . ّبد ﻻ ّأن تستخدم العقوبة في مجال التربية حين ﻻ يفلح الترغيب وﻻ تفلح المثوبة وﻻ القـدوة ،والموعـظة فﻼ ّبد إذن من عﻼج حاسم يضﻊ اﻷمور في وضعها الصحيح . ةƼمج ميةƼعƿى زانست اDžقه 6 . يجب على القائد التربوي أن يتحلى ب سنُح ﻼقةِالع ل يشعـر من حوله هّأن فرد منهم ﻻ فرق بينه ،وبينهم يتواضﻊ لهم وﻻ يتعالى ،عليهم حتى و ﻻ يكاد يميز القائد عنهم .بشيء ج م ﻊ ي ح 6 . يجب على القائد التربوي أن يتحلى ب سنُح ﻼقةِالع ل يشعـر من حوله هّأن فرد منهم ﻻ فرق بينه ،وبينهم يتواضﻊ لهم وﻻ يتعالى ،عليهم حتى و ﻻ يكاد يميز القائد عنهم .بشيء :ثانيا: التوصيات :ي : و ي 1 . نوصي بضرورة اﻻستفادة من معين القرآن الكريم عند رسم السياسة التربوية, وإعداد القادة .التربويين 2 . .والوطن للدين فيهم اﻻنتماء روح وزرع اﻷجيال تربية في الكريم القرآن تربية من اﻻستفادة :أخيرا نختم بقول ﷲ سبحانه وتعالى َبﱠنَاـ ر َﻻ ُـت ِاخَـ ؤَنْاـ ذ ْنِإ َينِسَن ـا ْوَأ ْخَأ ـ َطـَنْأ ـا :)البقرة286 .( 1 . نوصي بضرورة اﻻستفادة من معين القرآن الكريم عند رسم السياسة التربوية, وإعداد القادة .التربويين 770 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ا ال ا ال ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) المصادر والمراجع * بعد القرآن الكريم 1 . اﻷصفهانى الحسين بن محمد المعروف بالراغب , ) 1412هـ (, المفردات في غريب القرآن, تح صفوان :قيق ,الداودي عدنان ط1 بيروت , , دار القلم. 2 . طاحون أبو لطفي أمل, ) 2012 (م ,الفاعلة التربوية القيادة , ط1 أمواج دار ,عمان , . 3 . البخاري محمد بن إسماعيل بن إبراهيم, ) 1409هـ (, اﻷدب المفرد, تحقيق : محمد فؤاد عبد الباقي, ط3 ,بيروت , دار البشائر .اﻹسﻼمية 6 . كوروتوا .ج, ) 1986 (م , ترجمه: هيثم اﻷيوبي, لمحات في فن القيادة , بيروت , ال مؤسسة .العربية 7 . فاضل محمد الجمالي, ) 1982 (م , نحو توحيد الفكر التربوي في العالم اﻹسﻼمي,, تونس .التونسية الدار 8 . الجوهري أبو نصر إسماعيل بن حماد, ) 1407 تحقي ,العربية وصحاح اللغة تاج الصحاح ,(هـ ق: أحمد عبد الغفور عطار, ط4 ,بيروت , الع دار.لم للمﻼيين 9 . رافدة .د الحريري , ) 2008 (م الت القرارات اتخاذ في التربوية القيادة مهارات , ,عمان ,الحريري رافدة .د ,ربوية .دار المناهج 10 . ةƼمج ميةƼعƿى زانست اDžقه يوسف ﷲ عبد .د الحسن, ) 1413هـ(, ربانية التعليم, ط1 ,اﻹمارات , د .المنطلق ار 11 . الحمادي د. علي , ) 1419 (هـ , ] 333 [ تقنية للتدريب واﻹلقاء المؤثر, ط1 .حزم ابن دار ,بيروت , 12 . رضا محمد رشيد, ) 1990م (, تفسير المنا ر-تفسير القرآن الحكيم- ,, مصر الهيئة المصر .للكتاب العامة ية 13 . محمد الزﱠبيدي الرزاق عبد بن محمد بن , ) 1984 م (, تاج العروس من جواهر القاموس, تح من مجموعة :قيق المحققين, مص ر , دار .الهداية 14 .. الزحيلي د وهبة بن مصطفى, ) 1418 (هـ ,التفسير المنير في العقيدة والشريعة والمنهج, ط2 ,دمشق , دار الفكر المعاصر . 771 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 15 . قانيْالزﱡر محمد عبد العظيم, ) 1415 ,هـ(, مناهل العرفان في علوم القرآن تحقيق: فواز أحمد زمرلي, ط1 , ,بيروت دار .العربي الكتاب 16 الزمخشري . محمود بن عمرو بن أحمد , ) 1407هـ ( , الكشاف عن حقائق غوامض التنزيل , ط3 ,بيروت , دار الكتاب العربي . 17 . أبو زهرة محمد بن أحمد بن مصطفى, ) 1987م,( زهرة التفاسير,, القاهرة دار الفكر العربي . 18 . السعدي ناصر بن الرحمن عبد , ) 1424 عبد :تحقيق ,المنان كﻼم تفسير في الرحمن الكريم تيسير ,(هـ الرحمن بن معﻼ اللويحق, ط1 .حزم ابن دار ,بيروت , 19 . سﻼمة راتب .د السعود, ) 2013 (م , القياد .الصفاء دار ,عمان ,وآفاق مفاهيم التربوية ة 20 . حسن حنان سليمان, ) 2015 .أسامة دار ,اﻷردن ,التربوية القيادة ,(م 21 . السويدان د. طارق محمد وباشراحيل فيصل عمر , ) 1426 (هـ , صناعة النجاح- الحادي القرن نجاح رحلة والعشرين- ,ط8 ,, جدة دار اﻷندلس الخضراء . 22 . الشيباني عمر محمد , ) 1979 (م ، من ط ,اﻹسﻼمية التربية أسس1 ,, ليبيا ال منشأ .الشعبية 23 . المولى عبد هايل .د طشطوش, ) 2008 (م , أس اسيات في القيادة واﻹدارة , ط1 .الكندي دار ,اﻷردن , 24 . طنطاوي محمد سيد, ) 1998 م (, التفسير الوسيط , ط1 .نهضة دار ,القاهرة , 25 . عبوي زيد منير, ) 2010 (م , دور القيـــادة التربويــة فـــي اتخـــاذ ,القـــرارات اﻹداريـــة دار ,اﻷردن .الشروق 26 . عبيدات د. ةƼمج ميةƼعƿى زانست اDžقه القونوي قاسم بن عبد ﷲ بن أمير علي) , 1424 ,(هـ أنيس الفقهاء في تعريفات اﻷلفاظ المتداولة بين الفقهاء , حق ت ي ق: يحيى حسن مراد ,بيروت ,دار الكتب العلمية . 47 . القهوجي د. بشار محمد رضا) , 1437 (هـ ,المنهج التربوي اﻹسﻼمي, ط1 ., دمشق, دار اليقين ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 33 . عمر د . أحمد مختار عبد الحميد) , 1429 ,(هـ معجم اللغة العربية المعاصرة , ط1 .الكتب عالم ,القاهرة , 34 . عوض ﷲ د. عصام الدين برير آدم) , 2013 (م , اﻹدارة التربوية ف ي القرن الحادي اﻹمارات ,والعشرين .الجامعي الكتاب دار ,المتحدة العربية 37 . محمد .د فتحي) , 1429 (هـ , مو سوعة القيادة في اﻹسﻼم, ط1 ,مصر , ا .العالمية لدار 38 . أبو الفضل د. عبد الشافي محمد) , 1417 (هـ القي ,ادة اﻹدارية في اﻹسﻼم, ط1 ,القاهرة , مكتبة المعهد العالمي للفك ر اﻹسﻼمي . 39 . محمد حمزة قاسم , ) 1410 ,(هـ منار القاري شرح مختصر صحيح البخاري , :راجعه اﻷرناؤوط القادر عبد , عني بتصحيحه ونشره: بشير محمد عيون,, دمشق دار البيان . 40 . القاضي د. سعيد إسماعيل) , 1422 (هـ , أصول التربية اﻹسﻼمية, ط1, القاهرة, عالم الكتب . 41 . القحطاني سعيد علي وهف ) , 1415 (هـ , مقومات الداعية الناجح في ضوء ا والسنة لكتاب , ط1 ,السعودية , مكتبة الملك فه د الوطنية . 41 . القحطاني سعيد علي وهف ) , 1415 (هـ , مقومات الداعية الناجح في ضوء ا والسنة لكتاب , ط1 ,السعودية , مكتبة الملك فه د الوطنية . 41 . القحطاني سعيد علي وهف ) , 1415 (هـ , مقومات الداعية الناجح في ضوء ا والسنة لكتاب , ط1 ,السعودية , مكتبة الملك فه د الوطنية . 42 . مسلم ﷲ عبد خالد .د القرشي ) 1435 (هـ ) ّبيّالن تربية ,  ) ( ﻷصحابه ,(ط1 ., الرياض, دار المنهاج 43 . القرطبي) ,محمد بن أحمد بن أبي بكر1384هـ (, تفسير القرطبي-الجامﻊ ﻷحكام القرآ ن - أحمد :تحقيق , البردوني وإبراهيم أطفيش, ط2 ,, القاهرة دار الك المصرية تب . 44 . القطان مناع خليل) , 1427هـ(, مباحث في علوم القرآن, ط14 ,, القاهرة .وهبة مكتبة 46 . ةƼمج ميةƼعƿى زانست اDžقه علي محسن عبد وغالي حيدر نعمة, ) 2010 (م , القيادة,التربوية مدخل استراتيجي, لبنان المؤسسة ا لحديثة .للكتاب 33 . عمر د . أحمد مختار عبد الحميد) , 1429 ,(هـ معجم اللغة العربية المعاصرة , ط1 .الكتب عالم ,القاهرة , 34 . عوض ﷲ د. عصام الدين برير آدم) , 2013 (م , اﻹدارة التربوية ف ي القرن الحادي اﻹمارات ,والعشرين .الجامعي الكتاب دار ,المتحدة العربية 35 . الغزالي ) ,محمد بن محمد بن محمد1426هـ (, إحياء علوم الدين, ط4 ,, بيروت دار .العلمية الكتب 36 . ابن فارس) ,أحمد بن فارس بن زكريا1399هـ(, معجم مقاييس اللغة, تحقيق ,هارون محمد السﻼم عبد : دمشق, دار .الفكر 37 . محمد .د فتحي) , 1429 (هـ , مو سوعة القيادة في اﻹسﻼم, ط1 ,مصر , ا .العالمية لدار 38 . أبو الفضل د. عبد الشافي محمد) , 1417 (هـ القي ,ادة اﻹدارية في اﻹسﻼم, ط1 ,القاهرة , مكتبة المعهد العالمي للفك ر اﻹسﻼمي . 39 . محمد حمزة قاسم , ) 1410 ,(هـ منار القاري شرح مختصر صحيح البخاري , :راجعه اﻷرناؤوط القادر عبد , عني بتصحيحه ونشره: بشير محمد عيون,, دمشق دار البيان . 40 . القاضي د. سعيد إسماعيل) , 1422 (هـ , أصول التربية اﻹسﻼمية, ط1, القاهرة, عالم الكتب . 41 . القحطاني سعيد علي وهف ) , 1415 (هـ , مقومات الداعية الناجح في ضوء ا والسنة لكتاب , ط1 ,السعودية , مكتبة الملك فه د الوطنية . 42 . مسلم ﷲ عبد خالد .د القرشي ) 1435 (هـ ) ّبيّالن تربية ,  ) ( ﻷصحابه ,(ط1 ., الرياض, دار المنهاج 43 . القرطبي) ,محمد بن أحمد بن أبي بكر1384هـ (, تفسير القرطبي-الجامﻊ ﻷحكام القرآ ن - أحمد :تحقيق , البردوني وإبراهيم أطفيش, ط2 ,, القاهرة دار الك المصرية تب . 44 . القطان مناع خليل) , 1427هـ(, مباحث في علوم القرآن, ط14 ,, القاهرة .وهبة مكتبة 45 . قطب محمد) , 1428 (هـ , ,اﻹسﻼمية التربية منهج ط17 ,, القاهرة .الشروق دار 46 . القونوي قاسم بن عبد ﷲ بن أمير علي) , 1424 ,(هـ أنيس الفقهاء في تعريفات اﻷلفاظ المتداولة بين الفقهاء , حق ت ي ق: يحيى حسن مراد ,بيروت ,دار الكتب العلمية . 47 . القهوجي د. ةƼمج ميةƼعƿى زانست اDžقه بشار محمد رضا) , 1437 (هـ ,المنهج التربوي اﻹسﻼمي, ط1 ., دمشق, دار اليقين ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 773 32 . علي محسن عبد وغالي حيدر نعمة, ) 2010 (م , القيادة,التربوية مدخل استراتيجي, لبنان المؤسسة ا لحديثة .للكتاب 33 . عمر د . أحمد مختار عبد الحميد) , 1429 ,(هـ معجم اللغة العربية المعاصرة , ط1 .الكتب عالم ,القاهرة , 34 . عوض ﷲ د. عصام الدين برير آدم) , 2013 (م , اﻹدارة التربوية ف ي القرن الحادي اﻹمارات ,والعشرين .الجامعي الكتاب دار ,المتحدة العربية 35 . الغزالي ) ,محمد بن محمد بن محمد1426هـ (, إحياء علوم الدين, ط4 ,, بيروت دار .العلمية الكتب 36 . ابن فارس) ,أحمد بن فارس بن زكريا1399هـ(, معجم مقاييس اللغة, تحقيق ,هارون محمد السﻼم عبد : دمشق, دار .الفكر 37 . محمد .د فتحي) , 1429 (هـ , مو سوعة القيادة في اﻹسﻼم, ط1 ,مصر , ا .العالمية لدار 38 . أبو الفضل د. عبد الشافي محمد) , 1417 (هـ القي ,ادة اﻹدارية في اﻹسﻼم, ط1 ,القاهرة , مكتبة المعهد العالمي للفك ر اﻹسﻼمي . 39 . محمد حمزة قاسم , ) 1410 ,(هـ منار القاري شرح مختصر صحيح البخاري , :راجعه اﻷرناؤوط القادر عبد , عني بتصحيحه ونشره: بشير محمد عيون,, دمشق دار البيان . 40 . القاضي د. سعيد إسماعيل) , 1422 (هـ , أصول التربية اﻹسﻼمية, ط1, القاهرة, عالم الكتب . 41 . القحطاني سعيد علي وهف ) , 1415 (هـ , مقومات الداعية الناجح في ضوء ا والسنة لكتاب , ط1 ,السعودية , مكتبة الملك فه د الوطنية . 42 . مسلم ﷲ عبد خالد .د القرشي ) 1435 (هـ ) ّبيّالن تربية ,  ) ( ﻷصحابه ,(ط1 ., الرياض, دار المنهاج 43 . القرطبي) ,محمد بن أحمد بن أبي بكر1384هـ (, تفسير القرطبي-الجامﻊ ﻷحكام القرآ ن - أحمد :تحقيق , البردوني وإبراهيم أطفيش, ط2 ,, القاهرة دار الك المصرية تب . 44 . القطان مناع خليل) , 1427هـ(, مباحث في علوم القرآن, ط14 ,, القاهرة .وهبة مكتبة 45 . قطب محمد) , 1428 (هـ , ,اﻹسﻼمية التربية منهج ط17 ,, القاهرة .الشروق دار 46 . ةƼمج ميةƼعƿى زانست اDžقه زهاء الدين , ) 1422 (هـ ، القيادة و .البيارق دار ,بيروت ،اﻹسﻼم في التربوية اﻹدارة ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 17 . أبو زهرة محمد بن أحمد بن مصطفى, ) 1987م,( زهرة التفاسير,, القاهرة دار الفكر العربي . 18 . السعدي ناصر بن الرحمن عبد , ) 1424 عبد :تحقيق ,المنان كﻼم تفسير في الرحمن الكريم تيسير ,(هـ الرحمن بن معﻼ اللويحق, ط1 .حزم ابن دار ,بيروت , 19 . سﻼمة راتب .د السعود, ) 2013 (م , القياد .الصفاء دار ,عمان ,وآفاق مفاهيم التربوية ة 20 . حسن حنان سليمان, ) 2015 .أسامة دار ,اﻷردن ,التربوية القيادة ,(م 19 . سﻼمة راتب .د السعود, ) 2013 (م , القياد .الصفاء دار ,عمان ,وآفاق مفاهيم التربوية ة 19 . سﻼمة راتب .د السعود, ) 2013 (م , القياد .الصفاء دار ,عمان ,وآفاق مفاهيم التربوية ة 20 . حسن حنان سليمان, ) 2015 .أسامة دار ,اﻷردن ,التربوية القيادة ,(م 21 . السويدان د. طارق محمد وباشراحيل فيصل عمر , ) 1426 (هـ , صناعة النجاح- الحادي القرن نجاح رحلة والعشرين- ,ط8 ,, جدة دار اﻷندلس الخضراء . 26 . عبيدات د. زهاء الدين , ) 1422 (هـ ، القيادة و .البيارق دار ,بيروت ،اﻹسﻼم في التربوية اﻹدارة 27 . العثيمين محمد بن صالح بن محمد, ) 1426 ,(هـ شرح رياض الصالحين ,, الرياض الوطن دار . 28 . العجمي د. محمد حسنين, ) 1434 (هـ , اﻹدارة و التخطيط التربوي , ط3 ,عمان , .المسيرة دار 29 . ومهدي بالقاسم ﷲ عبد العرفى عباس عبد , ) 1996 (م ,مد,خل إلى اﻹدارة التربوية, ليبيا .قاريونس جامعة 30 . أ العسقﻼني حجر بن علي بن حمد, ) 1379 ,(هـ عبد فؤاد محمد :ترقيم ,البخاري صحيح شرح الباري فتح الباقي, تخريج: محب الدين الخط يب, تعليقات: عبد العزيز ,باز بن ,بيروت ,المعرفة دار 31 . علوان د. عبد ﷲ ناصر , ) 1981 (م , تربية اﻷوﻻد في اﻹسﻼم ط , 3 .السﻼم دار ,حلب , 772 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 773 32 . ةƼمج ميةƼعƿى زانست اDžقه ,الرحمن عبد النحﻼوي ) 1434 ,(هـ أصو ل التربية اﻹسﻼمية وأساليبها, ط29 .الفكر دار ,دمشق , 63 . ) ,النحﻼوي عبد الرحمن1426هـ(, التربية بضرب اﻷمثال, ط2 .الفكر دار ,دمشق , 64 . نكري القاضي عبد النبي بن عبد ال رسول اﻷحمد) , 1421 ,(هـ دستور العلماء - اصطﻼحات في العلوم جامﻊ الفنون- ,عرب عباراته الفارسية: حسن هاني فحص , ط1 .العلمية الكتب دار ,بيروت , ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 48 .ابن كثير) ,إسماعيل بن عمر1420هـ(, تفسير القرآن العظيم, تح قيق: سامي بن محمد سﻼمة, ط2 ,الرياض, 49 . الماوردي) ,علي بن محمد بن محمد1981م محي :تحقيق ,الملك أخﻼق في الظفر وتعجيل النظر تسهيل ,( هﻼ,ل السرحان وحسن الساعاتي, بيروت دار .العربية النهضة 50 . مجموع ة من المؤلفين) , 1414 (هـ, .الدعوة دار ,استنبول ,الوسيط المعجم 51 . محمد خالد .د محرم ) 1427 (هـ , بناء الشخصية من خﻼل التربية اﻹسﻼمية, ط1 ,, لبنان دار .العلمية الكتب 52 . المراغي أحمد بن مصطفى ) , 1365 ,(هـ المراغي تفسير , ط1 ,مصر ,شركة م مصطفى ومطبعة كتبة البابى . 53 . المرسي كمال الدين عبد الغني) , 1419 (هـ , من قضايا التربية الدينية في المج تمﻊ اﻹسﻼمي, ط1 ,مصر , دار ا .الجامعية لمعرفة 54 . مرسي محمد منير) , 1971 (م , اﻹدارة التع .الكتب عالم ,القاهرة ,وتطبيقاتها أصولها ليمية 55 . مريزيق هشام يعقوب, النظرية والتطبيق ف الراية دار :الناشر ,التربوي اﻹشراف ي- عمان, ط1 : 2008 .م 56 . مسلم الحجاج بن, ) 1374 تحقي ,مسلم صحيح ,(هـ,ق: محمد فؤاد عبد الباقي, بيروت ا إحياء دار لتراث .العربي 57 . محمد خليل طالب وأبو محمد سيد ملك) , 1986 (م , السبق التربوي في فكر الـشافعي, جدة, مكتبة .تهامة 58 . الرؤوف عبد محمد المناوي ) ,بن تاج العارفين بن علي1410 ,هـ(, التوقيف على مهمات التعاريف ط1 , .الكتب عالم ,القاهرة 57 . محمد خليل طالب وأبو محمد سيد ملك) , 1986 (م , السبق التربوي في فكر الـشافعي, جدة, مكتبة .تهامة 59 . ابن منظور ) ,محمد بن مكرم بن على1414هـ(, لسان العرب, ط3 .صادر دار ,بيروت , 60 . ابن الموصلي محمد بن محمد بن عبد الكريم) , 1416 تحقي ,الملوك دولة الحافظ السلوك حسن ,(هـ فؤاد :ق عبد المنعم أحمد, ط1 ,, الرياض .الوطن دار 61 . أبو ناصر د. ةƼمج ميةƼعƿى زانست اDžقه القونوي قاسم بن عبد ﷲ بن أمير علي) , 1424 ,(هـ أنيس الفقهاء في تعريفات اﻷلفاظ المتداولة بين الفقهاء , حق ت ي ق: يحيى حسن مراد ,بيروت ,دار الكتب العلمية . 47 . القهوجي د. بشار محمد رضا) , 1437 (هـ ,المنهج التربوي اﻹسﻼمي, ط1 ., دمشق, دار اليقين 773 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 774 48 . ابن كثير ) ,إسماعيل بن عمر1420هـ(, تفسير القرآن العظيم, تح قيق: سامي بن محمد سﻼمة, ط2 ,الرياض , .طيبة دار 49 . الماوردي) ,علي بن محمد بن محمد1981م محي :تحقيق ,الملك أخﻼق في الظفر وتعجيل النظر تسهيل ,( هﻼ,ل السرحان وحسن الساعاتي, بيروت دار .العربية النهضة 50 . مجموع ة من المؤلفين) , 1414 (هـ, .الدعوة دار ,استنبول ,الوسيط المعجم 51 . محمد خالد .د محرم ) 1427 (هـ , بناء الشخصية من خﻼل التربية اﻹسﻼمية, ط1 ,, لبنان دار .العلمية الكتب 52 . المراغي أحمد بن مصطفى ) , 1365 ,(هـ المراغي تفسير , ط1 ,مصر ,شركة م مصطفى ومطبعة كتبة البابى . 53 . المرسي كمال الدين عبد الغني) , 1419 (هـ , من قضايا التربية الدينية في المج تمﻊ اﻹسﻼمي, ط1 ,مصر , دار ا .الجامعية لمعرفة 54 . مرسي محمد منير) , 1971 (م , اﻹدارة التع .الكتب عالم ,القاهرة ,وتطبيقاتها أصولها ليمية 55 . مريزيق هشام يعقوب, النظرية والتطبيق ف الراية دار :الناشر ,التربوي اﻹشراف ي- عمان, ط1 : 2008 .م 56 . مسلم الحجاج بن, ) 1374 تحقي ,مسلم صحيح ,(هـ,ق: محمد فؤاد عبد الباقي, بيروت ا إحياء دار لتراث .العربي 57 . محمد خليل طالب وأبو محمد سيد ملك) , 1986 (م , السبق التربوي في فكر الـشافعي, جدة, مكتبة .تهامة 58 . الرؤوف عبد محمد المناوي ) ,بن تاج العارفين بن علي1410 ,هـ(, التوقيف على مهمات التعاريف ط1 , .الكتب عالم ,القاهرة 59 . ابن منظور ) ,محمد بن مكرم بن على1414هـ(, لسان العرب, ط3 .صادر دار ,بيروت , 60 . ابن الموصلي محمد بن محمد بن عبد الكريم) , 1416 تحقي ,الملوك دولة الحافظ السلوك حسن ,(هـ فؤاد :ق عبد المنعم أحمد, ط1 ,, الرياض .الوطن دار 61 . أبو ناصر د. فتحي محمد) , 2008 (م ,التربوية اﻹدارة إلى مدخل ,ط1 .المسيرة دار ,عمان , 62 . ةƼمج ميةƼعƿى زانست اDžقه فتحي محمد) , 2008 (م ,التربوية اﻹدارة إلى مدخل ,ط1 .المسيرة دار ,عمان , 62 . ,الرحمن عبد النحﻼوي ) 1434 ,(هـ أصو ل التربية اﻹسﻼمية وأساليبها, ط29 .الفكر دار ,دمشق , 63 . ) ,النحﻼوي عبد الرحمن1426هـ(, التربية بضرب اﻷمثال, ط2 .الفكر دار ,دمشق , 64 . نكري القاضي عبد النبي بن عبد ال رسول اﻷحمد) , 1421 ,(هـ دستور العلماء - اصطﻼحات في العلوم جامﻊ الفنون- ,عرب عباراته الفارسية: حسن هاني فحص , ط1 .العلمية الكتب دار ,بيروت , 774 774 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 65 . نواف كنعان) , 2020 (م اﻹدارية القيادة ، ,ط1 .الثقافة دار ,اﻷردن , 66 . النووي أبو زكريا محيي الدين يحيى بن شرف, ) 1392 ,(هـ الحجاج بن مسلم صحيح شرح المنهاج , ط2 , ,بيروت دار إحياء التراث العربي . 67 . الهاشمي أحمد بن إبراه ـ) ,يم بن مصطفى1426هـ(, ج ـ واه ـ ر البﻼغة في المعاني والبيان والبديﻊ, ع ـ عليه لق ـ ودق قه, سليمان الصالح, ط1 ,بيروت , دار المع ـ .رفة * العلمية الرسائل 1 . الثبيتي فه ـ د سعد) , 1404 (هـ , الق ـ يادة التربوية بين المفه ـ وم اﻹسﻼمي والغ ـ ربي, رسالة ماج ـ أم جامعة ,ستير القرى / ك ـ التربية لية- مك ـ .المكرمة ة 2 . روابي عبدالع ـ زيز عبدالمحسن التركي) , 1437 (هـ اﻷحاديث من المستنبطة التربوي القائد ومهارات سمات , / النبوية, رسالة ماجستير, جامعة مـحمد بن سعود اﻹسﻼمية كلية العلوم اﻻجتماعية - دولة .السعودية العربية 3 . فتحي محمد الجواد عبد فرج ﷲ) , 1438 (هـ ) محمد الكريم القرآن ضوء في القيادة ,  ( نموذجا- دراسة است نباطية موضوع ـ ية, رسالة ماج ـ ستير, جامعة المدينة العالمية / ك ـ لية الع اﻹسﻼمية لوم- .ماليزيا 4 . عبد السﻼم فيصل راجح) , 1438 (هـ , القادة في ضوء القرآن الكريم - دراسة موضوع ـ ية تحليلية, أط ـ روحة الدكتوراه, جامعة القرآن الكريم والعلوم اﻹسﻼمية / كلية الدراسات ال عليا- .السودان 5 . ةƼمج ميةƼعƿى زانست اDžقه حمد منى قشطة) , 2009 (م , درجة ممارسة م ـ ديري المدارس الثانوية لنمط القيادة التربوية في ضوء المعايير اﻹسﻼمية من وجهة نظ ـ ر المع ـ لمين وسبل تفعيلها- دراسة تقويمية, رسالة ماجستير, الجامع ـ ة اﻻسﻼمية - .غزة ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) 65 . نواف كنعان) , 2020 (م اﻹدارية القيادة ، ,ط1 .الثقافة دار ,اﻷردن , 4 . عبد السﻼم فيصل راجح) , 1438 (هـ , القادة في ضوء القرآن الكريم - دراسة موضوع ـ ية تحليلية, أط ـ روحة الدكتوراه, جامعة القرآن الكريم والعلوم اﻹسﻼمية / كلية الدراسات ال عليا- .السودان 5 . حمد منى قشطة) , 2009 (م , درجة ممارسة م ـ ديري المدارس الثانوية لنمط القيادة التربوية في ضوء المعايير اﻹسﻼمية من وجهة نظ ـ ر المع ـ لمين وسبل تفعيلها- دراسة تقويمية, رسالة ماجستير, الجامع ـ ة اﻻسﻼمية - .غزة ڕابهری ﭘ هروەردەيی وتا يبهتمهنديهکانی هل ر ژض ڕۆشنايی قورئان ی ﭘ يرۆز ئهم تو ژينهوەيهض گر ينگی د ەدات هب باب هتی )ڕابهری ﭘ هروەردەيی (, و ە له ژ رض ڕۆشنايی قورئان ی ﭘ يرۆز مام هی׽ه ل ׽هگه دا د ەکات , ئ هم تو ژينهوەيهض ه کهض׽هو ۆب ڕونکردنهوەی گر ينگترين تا يبهتمهندی و ڕەههندەکانی )ڕابهری ﭘ هروەردەيی ( ل ه سا يهی قورئان ی ﭘ يرۆز هب گو رەیض بنﭼ ينه و ساکضڕ ان ی تو ژينهوەیض زانست , و ی ەئهم ه هش׽هو دوا ی گ هڕان ب ه ناو ئ هو س هرﭼاوانه د ێ ک ه ﭘ هيوەستن هب قورئان ی ﭘ يرۆز و ڕاڤهکانی ەو ف هرمودەکانی ﭘ غهمبهرمانض ) (, ئ همه ه جگ هو ل ﭘ هرتوکانهی هک ڕنﭘ هل باب هتی ﭘ هروەردەيی ! Educational Leader’s Peculiarities under Highlights of Holy Quran Hemn Taher Darwesh Department of Religious Education, College of Education, Koya University, Erbil, Kurdistan Region - Iraq hemntaher88@gmail.com Prof. Dr. Jawad Faqi Ali Chomhaydari Department of Law, Faculty of Social Sciences and Humanities, Koya University, Erbil, Kurdistan Region - Iraq jawad.ali@koyauniverstity.org Keywords: Leadership, Education, Leadership Qualities, Qur’an and Education, Educator Characteristics. Keywords: Leadership, Education, Leadership Qualities, Qur’an and Education, Educator Characteristics. Keywords: Leadership, Education, Leadership Qualities, Qur’an and Education, Educator Characteristics. ةƼمج ميةƼعƿى زانست اDžقه ت هنانهت ئ هوانهی گر ينگی د ەدەن ب ه باب هتی )ڕابهری ﭘ هروەردەيی (, ه هروەها ئ هم 775 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) تو ژينهوەيهض هل يانی م باسکردن ی ﭼ همکی )ڕابهری ﭘ هروەردەيی ( ت يشک د ەخاته هر س ئاکار و ڕەوشته د يارەکانی ەو ﭘ کهاتهض وم هرجه ﭘ ويستهکانیض )ڕابهری ﭘ هروەردەيی (, ل ه ه همان ل باس کاتدا ه ش وازض وکارام هيهکانيشی د ەکات , ه هموو ئ همانه ل ه دوتو یض ب دوو هش نج وﭘض ت هوەردا ه , هر ۆيه ب باب هته ﭘ نهرەکانیضکهض هم ئ تو ژينهوەيهض هل گر ينگترين بن هما س هرەکيهکانی )ڕابهری ﭘ هروەردەيی ( ن ب رەیضهگو قورئان ی ﭘ يرۆز , و ەله ڕوانگهی ب يرمهندان وﭘسﭘ ۆران وتو ژەرەوانیض بوار ی ﭘ هروەردە و ڕابهرايهتی ﭘ هروەردەيي ه , ل دا ک ۆتايي دا ش ئاماژ ەمان هب د ەرەنجام و ڕاسﭘاردەکانی تو ژينهوەکهض کردو ە. Abstract The present research investigates about (Educational Leader) under highlights of Holy Quran. It is an attempt to clarify significant and dimensions of (Educational Leader) with Quranic guidelines, and scientific research principles and methods. This attempt comes after observing and penetrating those 776 ةƼمج ميةƼعƿى زانست اDžقه فرنسيةƿبنانية اƼƿجامعة اƿمية دورية محكمة تصدر عن اƼة عƼمج– اربيل ،كوردستان ، عراقƿا )دƼمجƿا ٨ ( – ) عددƿا ٤ ،(فᗬᖁخ ٣٢٠٢ :يƿدوƿتصنيف اƿرقم اISSN 2518-6566 (Online) - ISSN 2518-6558 (Print) references which are related to the Holy Quran, the Quranic explanations and references which are related to the Holy Quran, the Quranic explanations and Prophet Mohammed’s (peace be upon him) hadiths, despite those perspective books which full of educational subjects, even those which cares about (Educational Leader). Moreover, this research, with explaining the term of (Educational Leader), also highlights on characteristics, attitudes, and conditions of (Educational Leader), meanwhile, it talks about its qualities and brainy. All these are collected in two parts and five subjects, specifically, the subjects of this research are most significant components of (Educational Leader), with respect for the Holy Quran, wises, professors, and researchers in the area of (Educational Leader). In the end, we mentioned the outcomes and suggestions of the research. ces which are related to the Holy Quran, the Quranic explanations and 777
https://openalex.org/W1937660257
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English
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CCXXIII.—Syntheses in the thianthren series. Part I
Journal of the Chemical Society. Transactions
1,921
public-domain
3,148
View Article Online / Journal Homepage / Table of Contents for this issue View Article Online / Journal Homepage / Table of Contents for this issue Published on 01 January 1921. Downloaded by McMaster University on 1 By J~ANENDRA NATH RAY. THE present investigation was undertaken with two objects in view, first, to ascertain the extent of the applicability of aluminium amalgam as a condensing agent, and, secondly, to develop a convenient method of synthesising thianthren derivatives, which appear to have been very little investigated. Fries and Engelbertz (Annulen, 1915, 407, 194) failed to prepare dimethoxythianthren directly, which, however, 'was obtained from the corresponding diazosulphide by heating. Such a procedure is undoubtedly tedious, and therefore a systematic investigation seemed desirable. View Article Online View Article Online 1960 1960 RAY: SYNTHESES IN THE THIANTHREN SERIES. PART I. Cohen (T., 1899,75,887) condensed sulphur chloride with benzene and toluene by means of the aluminium-mercury couple, but in the case of the higher hydrocarbons the products were uncrystal- lisable oils which decomposed on distillation. In the present paper, compounds containing acetylamino-, chloro-, methyl, nitro-, nitroacetylamino-, acid chloride, keto-, and aldehydo-groups are described. It has been found that the reaction is inhibited by a nitro-group in the molecule, as no products could be isolated either under ordinary conditions or at high temperatures. The reaction with an iodo-compound is an interesting one, and will be dealt with subsequently. Usually, two molecules of sulphur chloride react with two molecules of the substance. Since the ortho-position of the sulphur atoms in thianthren has been proved (Deuss, Ber., 1908, 41, 2329), the reaction may be assumed to take place thus : 921. Downloaded by McMaster University on 19/10/2015 03:59:58. Published on 01 January 1921. Downloaded by McMaster University on 19/10/2015 03:59:58. Published on 01 January 1921. Downloaded by McMaster University on 1 Published on 01 January 1921. Downloaded by McMaster University p (11 1 (11.1 (11.1 The intermediate compound (I) has actually been isolated. It is very unstable and suffers decomposition with moisture, liberating free sulphur. This compound is coloured, but on decomposition into the thianthren derivative the intensity diminishes and the product is only slightly coloured. These compounds all develop an intense coloration with sulphuric acid, which is discharged on dilution with the precipitation of the compound. Evidently, a sulphonium salt analogous to the iiiterinediate compound I is formed (compare Fries and Volk, Ber., 1909, 42, 1170). ( p , , From acetanilide, diacetylaminothianthren was formed, from which the free amine was prepared by hydrolysis. This amine was diazotised and the product coupled with a few phenols and naph- thols, but the dyes obtained showed no distinctive advantage over the corresponding benzene derivatives. This subject will be dealt with in a subsequent paper. It was found in the course of this investigation that condensation between a hydrocarbon and an acid chloride cannot be effected by aluminium amalgam and that this catalyst is without action on acid chlorides. Therefore, it has been possible to condense benzoyl chloride with sulphur chloride, and the corresponding acid chloride of thianthrendicarboxylic acid has been isolated as the product, View Article Online View Article Online AY: SYNTHESES IN THE THIANTHREN SERIES. PART I. 1961 RAY: SYNTHESES IN THE THIANTHREN SERIES. PART I. 1961 Phenolic ethers do not suffer hydrolysis, as with aluminium chloride, but the product of condensation in the case of anisole is an uncrystallisable oil. This oil gives the characteristic coloration with sulphuric acid, but breaks down into a mixture of two mercaptans on-distillation. the series (compare Cohen, Zoc. cit.). This behaviour has been found to be Thus, in the case general in of anisole, 921. Downloaded by McMaster University on 19/10/2015 03:59:58. Published on 01 January 1921. Downloaded by McMaster University on 19/10/2015 03:59:58. S ! '. s Published on 01 January 1921. Downloaded by McMaster University on 1 the decomposition products afford a clue to the constitution of the thianthren derivative. In the case of iodobenzene, complete separation of iodine takes place on mixing the constituents in the presence of the catalyst, but without it, iodine is not liberated even after boiling for many hours. Thianthren is isolated in small yield, but the greater part of the material is resinified. Sulphur chloride was condensed with diphenylmethane in the expectation of getting thioxanthen, CH2Ph, -/- c12s:s c6H4<!$&>c6H4 -P C6H4(z2>C6H, + s, CH2Ph, -/- c12s:s c6H4<!$&>c6H4 -P C6H4(z2>C6H, + s, but the corresponding dibenzylthianthren was obtained instead It may be pointed out that the unsymmetrical constitution of sulphur chloride is demonstrated by the formation of thianthren (a oompound of settled constitution) from benzene and sulphur chloride, for without the assumption of complicated tautomerism and rearrangement in the molecule the reaction can be explained in no other way than that depicted in this paper. Boeseken and Koning (Rec. trav. chim., 1911, 30, 116) studied the behaviour of sulphur chloride in the presence of aluminium chloride to ascertain its constitution, but they drew the conclusion that a clear picture of the reaction is impossible owing to its being obscured by side- reactions. The reaction in the presence of the aluminium-mercury View Article Online 1962 1962 RAP: SYNTHESES IN THE THIANTHREN SERIES. PART I. couple is, however, a simple one (Cohen, Zoc. cit.), uninfluenced by concurrent reactions, and therefore the isolation of thianthren as the principal product is strong evidence in favour of the unsym- metrical constitution of sulphur chloride. n 01 January 1921. Downloaded by McMaster University on 19/10/2015 03:59:58. 21. Downloaded by McMaster University on 19/10/2015 03:59:58. p Boeseken and Koning (Zoc. cit .) found that pp'-dichlorodiphenyl sulphide and disulphide are the products of the reaction between chlorobenzene and sulphur chloride. RAY: SYNTHESES IN THE THIANTHREN SERIES. PART I. 1961 The product in the present investigation is dichlorothianthren. Evidently, an entirely different course of reaction is induced by the two catalyst!s, aluminium chloride and aluminium amalgam. Published on 01 January 1921. Downloaded by McMaster University on 1 E X P E R I M E N T A The method of condensation was as follows. The substance was dissolved in dry carbon disulphide in a flask attached to a reflux condenser, through the upper end of which the sulphur chloride, dissolved in the same solvent, was added drop by drop. The catalyst, prepared from aluminium foil and dried between filter-paper, was quickly inserted into the flask before the addition of the sulphur chloride. The flask was cooled, when necessary, by immersion in water. Dichlorodimethylthianthren . o-Chlorotoluene (5 c.c.) was condensed with 3-5 C.C. of sulphur chloride diluted with 10 C.C. of carbon disulphide. The reaction was instantaneous, and a greenish- black colour developed. The reaction was allowed to proceed at the ordinary temperature for two hours, the mixture was then heated on the water-bath for an hour, the product poured on crushed ice, and the reddish-brown, viscous mass extracted with boiling acetic acid containing a trace of water. The compound, which crystallised from the cold filtrate, was freed from sulphur by copper powder, and was dissolved in the minimum amount of chloroform and precipitated by pouring the solution into alcohol. After being then twice crystallised from acetic acid, it melted at 145" and developed a beautiful emerald- green coloration with sulphuric acid, which changed to blue on keeping (Found : C1= 22.41 ; S = 21.0. C,,H,,C12S2 requires C1= 22.68; S = 20.44 per cent.). Published on 01 January 1921. Downloaded by McMaster University on 1 Published on 01 January 1921. Downloaded by McMaster University Oxidation with Nitric Acid : Preparalion of the 8ulphone.- The substance was heated on the water-bath with nitric acid and precipitated by water. The precipitate was crystallised from a boiling mixture of water and acetic acid. The sulphone melts and decomposes at a high temperature (Found : S = 16.85. Calc., S = 16.99 per cent.). RAY : SYNTHESES IN THE THIANTHREN SERIES. PART I. 1963 Isolation of the Intermediate Compound.-The bluish-green solid separating from the reaction mixture was filtered and repeatedly washed with carbon disulphide, moisture being excluded. It was dried by pressing on a clean porous plate (Found : S = 37.2. C,,H,Cl,S, requires S = 36.6 per cent.). y 1921. Downloaded by McMaster University on 19/10/2015 03:59:58. Dichlorodimethylthianthren . Condensation with Chlurobenxene : Dichlorothianthren. Condensation with Chlurobenxene : Dichlorothianthren. A violent reaction ensued, and a bluish-green solid eventually separated when 10 C.C. of chlorobenzene, the couple prepared from 0.3 gram of aluminium, and 8 C.C. of sulphur chloride interacted in the presence of about 10 C.C. of carbon disulphide as diluent. After remaining for two hours, the mixture was warmed at 40" for two hours, and then decanted from the amalgam on to crushed ice. The product was collected, crystallised from glacial acetic acid, the crystals were dissolved in benzene and refluxed with copper powder to remove traces of sulphur, and the substance was finally twice crystallised from acetic acid, when it was obtained in needles, melting at 147". It gave a bluish-violet coloration with sulphuric acid (Found : C1= 25.7 ; S = 22.98. Calc., C1= 24.99; S = 22.4 per cent.). Fries and Volk (Annalen, 1911, 381, 312) gave 171" as the m. p. of 4 :4'-dichlorothianthren, and their compound developed a deep blue colour with sulphuric acid. Possibly this compound is an isomeride. Oxidation.-One gram of the substance was dissolved in glacial acetic acid and oxidised with boiling chromic acid mixture. The product was separated in the usual way. The sulphone crystallised from hot dilute acetic acid in needles, m. p. above 225" (Found : 8 = 18.5. C,,H,O,CI,S, requires S = 18-3 per cent. View Article Online Condensation of a-Chloronaphthulene and Sulphur Chloride. Condensation of a-Chloronaphthulene and Sulphur Chloride. a-Chloronaphthalene (2 c.c.) was condensed with 2 C.C. of sulphur chloride, and the product treated in the usual way. The resulting compound was crystallised from boiling glacial acetic acid con- taining a few drops of water. It melted at 64" (Found : C1= 18.2 ; S = 17.2. C,oHloC12S, requires C1= 18-4; S = 16.6 per cent.). Diacet y laminothianthren. Ten grams of acetanilide dissolved in 15 C.C. of carbon disulphide were treated with the calculated amount of sulphur chloride (2 mols.). The reaction was started by heating on the water-bath and the mixture boiled for four hours until the reaction was com- pleted. The product, isolated in the usual way, was crystallised from boiling alcohol and from boiling dilute acetic acid until it was pure, when it melted at 198-200". This compound gave a buff coloration with sulphuric acid (Found : N = 8-56; S = 19.8. C1,H1,02N2S2 requires N = 8.48; S = 19.39 per cent.). The acetyl compound was hydrolysed with hydrochloric acid, and the diamine liberated with alkali. It crystallised from alcohol in canary-yellow needles, m. p. 102-104" (Found : N = 11.5; S = 26.8. Cl,HloN,S, requires N = 11.3 ; S = 26.01 per cent.). The diamine was diazotised and the product coupled with the naphthols. The a-naphthol compound is scarlet, melts at 104", and gives a deep violet colour with sulphuric acid. 4 : 5-Bichloro-1 : 8-dimethylthianthren. y-Chlorotoluene (5 c.c.) was condensed with 3.1 C.C. of sulphur chloride diluted with 10 C.C. of carbon disulphide, the reaction being moderated by cooling ; eventually a greenish-black solid was produced. The reaction was allowed to proceed at the room temperature for two hours. When it slackened, the mixture was heated on the water-bath for an hour, and the product decomposed with crushed ice. The white solid thus obtained was crystallised from boiling xylene and freed from sulphur in the usual way. The substance is only slightly soluble in xylene, chloroform, acetone, or ether. It melts at 195-197", and does not develop a coloration with sulphuric acid, probably owing to steric hindrance, as the positions 1,4, 5, and 8 contiguous to the sulphur atoms are occupied 3 " 3 x" 3 x" View Article Online View Article Online 1964 (Found : C1= 22-39 ; S = 20.90. S = 20.44 per cent.). Cl,HloC1,S, requires C1= 22-68 ; p ) decomposes above 250". The sulphone obtained on oxidation with nitric acid melts and y 1921. Downloaded by McMaster University on 19/10/2015 03:59:58. Condensation with Phenetole. Phenetole was similarly condensed with sulphur chloride. A viscous, red oil, as in the case of anisole, was obtained, which yielded mercaptans on distillation ; the mixture, however, has not yet been identified. Diacet ylthian thren . Five C.C. of acetophenone mixed with 5 C.C. of sulphur chloride were diluted with 10 C.C. of carbon disulphide and the couple was quickly added. The liquid became deep red and a vigorous reaction ensued. After the violence of the reaction had abated, the mixture was warmed for an hour and then boiled for fifteen minutes on the water-bath. The product was decomposed with ice and the viscous mass obtained was freed from sulphur and repeatedly crystallised from a mixture of chloroform and alcohol. Diacetylthianthren melts at 88-9 1 O, forms a phenylhydrazone (which melts with decomposition), develops a red coloration with sulphuric acid, and yields benzoic acid on oxidation with nitric acid (Found : S = 21.6. C16H,,0,S2 requires S = 21-3 per cent.). Dimethoxythianthren. Five C.C. of anisole were condensed with 4 C.C. of sulphur chloride. The reaction was completed on the water-bath after the evolution of hydrogen chloride had moderated. A viscous, heavy, red oil (A) was obtained on decomposition of the product with ice. This was shaken with sodium hydroxide solution to extract any phenolic compound, the unchanged anisole removed by distillation with &earn, the residue dissolved in benzene, and the free sulphur removed with copper powder. The benzene solution deposited an oily substance which gave a beautiful green coloration with sulphuric acid. p The oil ( A ) was distilled at slightly diminished pressure, and an View Article Online RAY: SYNTHESES IN THE THIANTHREN SERIES. PART I. 1965 oil passed over at 175-185". This oil is a mercaptan, because it gives a compound with mercuric chloride, dissolves in sodium hydroxide solution, and is oxidised by iodine. The distillate was oxidised with chromic acid mixture, or, better, with potassium permanganate to sulphonic acids, the sodium salts of which were isolated in the usual way. They were converted into the amides through the chlorides. The amides were crystallised from hot water, in which one, m. p. 116", was sparingly soluble. The aqueous filtrate was evaporated to dryness ; the residue, after crystallisation from alcohol, melted at 126-12s". Gatterman (Ber., 1S99, 32, 1154) gives the m. p. of m-methoxybenzenesulphonamide as 128" and that of the para-compound as 116". Therefore the foregoing oil is a mixture of m-methoxyphenyl mercaptan and p-methoxyphenyl mercap t an. 21. Downloaded by McMaster University on 19/10/2015 03:59:58. Published on 01 January 1921. Downloaded by McMaster University on 1 Published on 01 January 1921. Downloaded by McMaster University Published on 01 January 1921. Downloaded by McMaster University on 19/10/2015 Iodobenzene (5 grams), dissolved in 10 C.C. of carbon disulphide, was slowly treated with 2 C.C. of sulphur chloride. Instantaneous separation of iodine took place. The reaction was completed by warming on the water-bath, and the product was poured into an ice-cold solution of sodium hydroxide. The precipitated resinous mass was freed from the last traces of iodine by sodium hydrogen sulphite and the white residue was extracted with boiling acetone. The acetone solution, after being concentrated, deposited crude thianthren, which was crystallised from alcohol. It then melted at 160" (mixed m. p. with thianthren, 160"), and gave the violet coloration with sulphuric acid characteristic of thianthren. During the first stage of the reaction, chlorine was evolved together with hydrogen chloride, but the evolution ceased during the progress of the reaction. Iodobenzene and aluminium amalgam were warmed on the water-bath and refluxed with carbon disulphide for many hours without any change occurring. Sulphur chloride and iodobenzene were similarly heated on the water-bath without reacting. When, however, the amalgam was dropped into a mixture of sulphur chloride and iodobenzene, a vigorous reaction immediately began, with the instantaneous separation of iodine. The amount of iodine liberated roughly corresponded with that present in the iodobenzene. Dibenzylthianthren. Diphenylmethane (2.2 grams) was condensed with 1-2 C.C. of sulphur chloride, carbon disulphide being slowly added during the reaction. The product, after decomposition with water, was freed from carbon disulphide and sulphur and crystallised from boiling diluted alcohol, when it melted at 196", and gave a beautiful green- ish-red fluorescence with sulphuric acid, which was destroyed by the addition of a trace of potassium nitrate (Found : C = 78.5; 3 * 2 3 x * 2 View Article Online 1966 RAY: SYNTHESES IN THE THIANTHREN SERIES. PART I. H = 5-5 ; S = 16-25. C26H2,S, requires C = 78.7 ; H = 5.05 ; S = 16.16 per cent.). Thioxanthen melts at 128" and gives no fluorescence with sulphuric acid (Graebe, Annulen, 1891, 263, 14). 21. Downloaded by McMaster University on 19/10/2015 03:59:58. Condensation with lodobenzene : Formation of Thianthren. Thianthrendicarboxylic Acid. Three C.C. of freshly-distilled sulphur chloride were condensed with 2 C.C. of freshly-distilled benzoyl chloride by heating at 110" for two hours. The traces of unchanged constituents were removed by heating in a current of dry air, and the product was decomposed with ice and extracted with a dilute solution of sodium hydroxide, from which it was precipitated by dilute hydrochloric acid. The precipitate was crystallised from boiling water to which a little alcohol had been added. Pale yellow leaflets appeared while the liquid was still hot. The solution was filtered without cooling. The thianthrendicarboxylic acid crystallised in flakes, m. p. 204" (Pound : S = 21.2. C,,M,O,S, requires S = 21.05 per cent. Found : in the barium salt, Ba = 31.1. C1,H604S2Ba requires Ba = 31.2 per cent.), gave a pink coloration with sulphuric acid, and lost View Article Online THE SOLUBILITY OF QLIJCINUM SULPHATE IN WATER, ETC. 1!)65 carbon dioxide when it was melted and kept at 210" for some time; the cold mass crystallised from a mixture of chloroform and alcohol and was identified as thianthren. n 01 January 1921. Downloaded by McMaster University on 19/10/2015 03:59:58. 921. Downloaded by McMaster University on 19/10/2015 03:59:58. Published on 01 January 1921. Downloaded by McMaster University on 19/10/2015 03:59:58. Attempts to condense sulphur chloride with p-benzoquinone, ethyl benzoate, or nitrobenzene in the presence of aluminium amalgam were unsuccessful. In the case of p-iodotoluene, the iodine was entirely eliminated, but the product was resinous and resisted all attempts to crystallise it. Published on 01 January 1921. Downloaded by McMaster University on 19/10 My best thanks are offered to Sir P. C. Riiy, Dr. P. C. Rlitter, and Dr. H. K. Sen for the interest they have taken in the work. CHEMICAL LABORATORY, UNIVERSITY COLLEGE OF SCIENCE CALCUTTA. CHEMICAL LABORATORY, UNIVERSITY COLLEGE OF SCIENCE, CALCUTTA. [ R p c p i ~ d , A ? i g i i s t 23rd. 19.21.1
https://openalex.org/W2762640340
http://www.jurnal.stie-aas.ac.id/index.php/jap/article/download/90/79
Indonesian
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PENGARUH RASIOLIKUIDITAS, RASIO PRODUKTIVITAS, RASIO PROFITABILITAS, DAN RASIO SOLVABILITAS TERHADAP PERINGKAT SUKUK
Jurnal Akuntansi dan Pajak/Jurnal akuntansi dan pajak
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ABSTRACT This research aims to find out if there is liquidity ratio, the ratio of influence productivity, pofitabilityratio, and the ratio of solvability against ranking sukuk made on companies listed at the IDX in 2011-2015. Type of this research is quantitative research. The sample used in this study was 14 companies that issue the sukuk and listed on the Indonesia stock exchange in 2011-2015, with purposive sampling method sampling. Methods of data analysis used in this study was multiple linear regression test. Based on the results of the research that has been done, then it can be taken a few conclusions, namely: Liquidity ratio does not affect the ranking of sukuk. Productivity ratio to rank sukuk, so the magnitude of this productivity ratio illustrates the effectiveness of the management of the company and so did to rank sukuk. Profitability ratio did not affect the ranking of sukuk. Solvability ratio effect on the ranking of sukuk. KataKunci: Sukuk, Liquidity, Productivity, Solvability. KataKunci: Sukuk, Liquidity, Productivity, Solvability. memiliki kecenderungan yang terus meningkat sejalan dengan berkembangnya industri keuangan syariah di Indonesia. Perkembangan pasar modal syariah banyak ditunjang dengan semakin menguatnya institusi pasar dan beragamnya instrumen investasi. Lebih lanjut, populasi muslim di Indonesia yang mencapai 85% dari total dengan tingkat pemahaman publik akan ekonomi Islam yang semakin membaik, merupakan potensi pasar yang sangat besar. Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 1412-629X pISSN : 2579-3055 PENDAHULUAN Kegiatan investasi merupakan kegiatan muamalah yang sangat dianjurkan dalam Islam, karena dengan berinvestasi harta yang dimiliki menjadi produktif dan dapat mendatangkan manfaat bagi orang lain.Sementara itu dalam kaidah fiqhiyah disebutkan bahwa hukum asal dari kegiatan muamalah adalah mubah (boleh), kecuali yang jelas ada larangannya dalam al Qur’an dan Al Hadits. Hal tersebut dapat dibuktikan bahwa konsep investasi selain sebagai pengetahuan juga bernuansa spiritual karena menggunakan norma syariah, sekaligus merupakan hakikat dari sebuah ilmu dan amal, oleh karenanya investasi sangat dianjurkan bagi setiap muslim. Efek syariah yang dapat diperdagangkan dalam Pasar Modal Syariah ada 5 (Nurhayati dan Wasilah, 2015). Salah satunya yaitu obligasi syariah yang kini dikenal dengan nama sukuk. Secara terminologi sukuk merupakan bentuk jamak dari kata “sakk” dalam bahasa Arab yang berarti sertifikat atau bukti kepemilikan, yang pada abad pertengahan yang secara umum digunakan untuk perdagangan internasional di Di Indonesia sendiri, pasar modal syariah berkembang dengan cukup baik. Meskipun tidak secepat perkembangan perbankan syariah, namun 130 JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 130 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 engaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X an Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 1412-629X pISSN : 2579-3055 pISSN : 1412-629X pISSN : 2579-3055 pihak yang mewakili mereka diharapkan bisa meningkatkan proteksi investor. wilayah muslim. Obligasi syariah (sukuk) sesuai dengan Fatwa Dewan Syariah Nasional No. 32/DSN-MUI/IX/2002 adalah suatu surat berharga jangka panjang berdasarkan prinsip syariah yang dikeluarkan emiten kepada pemegang obligasi syariah yang mewajibkan emiten untuk membayar pendapatan kepada pemegang obligasi syariah berupa bagi hasil/margin/fee. Rasio dalam analisis laporan keuangan adalah angka yang menunjukkan hubungan antara suatu unsur dengan unsur lainnya dalam laporan keuangan. Secara individual rasio itu kecil. Apabila tidak ada standar yang dipakai sebagai dasar pembanding, penganalisis tidak dapat menyimpulkan apakah rasio tersebut menunjukkan kondisi yang menguntungkan atau tidak. Rasio keuangan digunakan untuk menilai kondisi keuangan suatu perusahaan. Lembaga rating yang mengeluarkan peringkat rating terhadap perusahaan yang mengeluarkan obligasi, biasanya mendasarkan penilaian rating tersebut berdasarkan analisis dari rasio-rasio keuangan yang dimilikinya. Efek syariah yang dapat diperdagangkan dalam Pasar Modal Syariah ada 5 (Nurhayati dan Wasilah, 2015). Salah satunya yaitu obligasi syariah yang kini dikenal dengan nama sukuk. PENDAHULUAN Secara terminologi sukuk merupakan bentuk jamak dari kata “sakk” dalam bahasa Arab yang berarti sertifikat atau bukti kepemilikan, yang pada abad pertengahan yang secara umum digunakan untuk perdagangan internasional di wilayah muslim. Obligasi syariah (sukuk) sesuai dengan Fatwa Dewan Syariah Nasional No. 32/DSN-MUI/IX/2002 adalah suatu surat berharga jangka panjang berdasarkan prinsip syariah yang dikeluarkan emiten kepada pemegang obligasi syariah yang mewajibkan emiten untuk membayar pendapatan kepada pemegang obligasi syariah berupa bagi hasil/margin/fee. Beberapa pernyataan tersebut diatas memunculkan pertanyaan apakah pemeringkatan efek yang dilakukan oleh agen pemeringkat di Indonesia sudah tepat dan akurat. Dalam menentukan peringkat sukuk agen pemeringkat menyebutkan berbagai faktor yang mendasari pemeringkatan salah satunya yaitu rasio keuangan tetapi agen pemeringkat tidak menyebutkan lebih lanjut laporan keuangan dapat digunakan dalam menetukan peringkat sukuk. Penelitian ini bertujuan untuk: (1) Menganalisis pengaruh dari rasio likuiditas terhadap peringkat sukuk; (2) Menganalisis pengaruh dari rasio produktivitas terhadap peringkat sukuk; (3) Menganalisis pengaruh dari rasio profitabilitas terhadap peringkat sukuk; (4) Menganalisis pengaruh dari rasio solvabilitas terhadap peringkat sukuk. Pada November 2015, Otoritas Jasa Keuangan (OJK) menerbitkan enam peraturan pasar modal syariah. Peraturan ini merupakan penyempurnaan atas peraturan sebelumnya. Salah satunya adalah Peraturan OJK (POJK) Nomor 18/POJK.04/2015 tentang Penerbitan dan Persyaratan Sukuk, peraturan tersebut terdapat tiga poin yang diatur. Pertama, penyederhanaan dokumen penerbitan sukuk. Yaitu hanya perlu melampirkan laporan keuangan 2 tahun terakhir bagi emiten yang telah terdaftar di OJK (sebelumnya diwajibkan 3 tahun terakhir). Kedua, kewajiban adanya ASPM untuk memberi pernyataan kesesuaian syariah dalam penerbitan sukuk untuk meyakinkan investor. Ketiga, adanya pengaturan hak dan kewajiban investor dalam perjanjian perwaliamanatan. Pengaturan perjanjian wali amanat antara investor dengan METODELOGI PENELITIAN Metode penelitian menggunakan metode studi kasus, jenis data yang digunakan adalah data kuantitatif, sumber data yang digunakan adalah data sekunder. Metode pengumpulan data yang digunakan adalah dokumentasi. Teknik analisis data yang digunakan adalah analisis regresi linear berganda. JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 131 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Kerangka Pikir Gambar 1 : Kerangka Pemikiran Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 1412-629X pISSN : 2579-3055 Kerangka Pikir Gambar 1 : Kerangka Pemikiran Berdasarkan kerangka pemikiran tersebut, dapat diketahui bahwa model dalam penelitian ini adalah meneliti mengenai pengaruh secara parsial rasio likuditas (current ratio), rasio produktivitas (total assets turn over), rasio profitabilitas (return on assets), dan rasio solvabilitas (debt to equity ratio) terhadap peringkat sukuk dengan menempatkan peringkat sukuk sebagai variabel dependen sedangkan rasio likuditas (current ratio), rasio produktivitas (total assets turn over), rasio profitabilitas (return on assets), dan rasio solvabilitas (debt to equity ratio) sebagai variabel independen. Hipotesis Hipotesis dalam penelitian ini dirumuskan sebagai berikut: H1 : Rasio likuiditas berpengaruh terhadap peringkat sukuk. H2 : Rasio produktivitas berpengaruh terhadap peringkat sukuk. H3 : Rasio profitabilitas berpengaruh terhadap peringkat sukuk. H4 : Rasio solvabilitas berpengaruh terhadap peringkat sukuk. financial jangka pendek tepat pada waktunya. Likuiditas dalam penelitian ini menggunakan proksi Current Ratio yang dapat dirumuskan sebagai berikut (Murhardi, 2013): b. Rasio Produktivitas Rasio produktivitas mengukur seberapa efektif perusahaan menggunakan sumber daya maupun modal sendiri. Profitabilitas dalam penelitian ini menggunakan proksi Return on Asset (ROA) yang dirumuskansebagai berikut (Murhardi, 2013): Definisi Operasional Variabel Yang Digunakan Variabel Penelitian dan Pengukurannya Rasio likuiditas adalah kemampuan perusahaan untuk membayar kewajiban JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 132 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 1412-629X pISSN : 2579-3055 yang dimilikinya. Produktivitas dalam penelitian ini menggunakan proksi Total Assets Turn Over (TATO) yang dapat dirumuskan sebagai berikut (Murhardi, 2013): d. Rasio Solvabilitas Rasio solvabilitas adalah kemampuan perusahaan untuk membayar semua kewajibannya. Solvabilitas dalam penelitian ini menggunakan proksi Debt to Equity Ratio yang dapat dirumuskan sebagai berikut (Murhardi, 2013): d. Rasio Solvabilitas Rasio solvabilitas adalah kemampuan perusahaan untuk membayar semua kewajibannya. Solvabilitas dalam penelitian ini menggunakan proksi Debt to Equity Ratio yang dapat dirumuskan sebagai berikut (Murhardi, 2013): c. Rasio Profitabilitas Rasio profitabilitas adalah kemampuan perusahaan memperoleh laba dalam hubungannya dengan penjualan, total aktiva Teknik Analisis Data Teknik analisis data yang digunakan dalam penelitian ini adalah sebagai berikut: Teknik analisis data yang digunakan dalam penelitian ini adalah sebagai berikut: d. Uji Heteroskedastisitas Uji heteroskedastisitas bertujuan untuk menguji apakah model regresi terjadi ketidaksamaan variance dari residual satu pengamatan kepengamatan yang lain. 1. Analisis Regresi Linear Berganda Analisis regresi linear berganda adalah teknik melalui koefisien parameter untuk mengetahui besarnya pengaruh variabel independen terhadap variabel dependen. 3. Uji Hipotesis Uji yang dilakukan meliputi: Uji F, Uji t, Uji koefisien determinasi. 2. Uji Asumsi Klasik a. Uji Normalitas Uji normalitas dilakukan untuk mengetahui apakah dalam sebuah model varibel bebas mempunyai distribusi normal atau mendekati distribusi normal. 2. Variabel Dependen obligasi syariah yang diperdagangkan. Pengukuran peringkat obligasi menggunakan interpretasi dari penelitian Gu dan Zhao (2006) dalam Sari (2010) yang menggunakan kode 19 sampai 1. Dengan maksud bobot yang tinggi yang lebih merepresentasikan peringkat yang lebih tinggi. Variabel dependen dalam penelitian ini adalah peringkat sukuk. Peringkat atau rating obligasi syariah (sukuk) merupakan indikator ketepatan waktu pembayaran pokok utang dan bagi hasil obligasi syariah, yaitu mencerminkan skala risiko dari semua JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 133 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 1412-629X pISSN : 2579-3055 ditemukan adanya korelasi antar variabel independen. HASIL ANALISIS DATA DAN PEMBAHASAN Penelitian menggunakan sampel data perusahaan yang mengeluarkan sukuk di Bursa Efek Indonesia tahun 2011-1015. Data yang diperlukan dalam prnrlitian ini adalah data sekunder yang berupa laporan keuangan tahhunan perusahaan yang sudah diaudit yang diperoleh dari situs resmi Bursa Efek Indonesia yaitu www.idx.co.id. Berdasarkan kriteria penentuan sampel yang sudah dibahas pada bab sebelumnya diperoleh sampel dengan rician se bagai berikut: b. Uji Autokorelasi Autokorelasi adalah korelasi yang terjadi di antara anggota-anggota dari serangkaian pengamatan yang tersusun dalam rangkaian waktu. c. Uji Multikoloniaritas Uji multikolinearitas bertujuan untuk menguji apakah model regresi Tabel 1 Kriteria Penentuan Sampel Tabel 1 Kriteria Penentuan Sampel Tabel 1 Kriteria Penentuan Sampel Keterangan Jumlah Perusahaan yang menerbitkan sukuk tahun 2011-2015 33 Perusahaan dibidang perbankan (8) Perusahaan yang menggunakan mata uang asing (1) Perusahaan yang dijadikan sampel 14 Tahun pengamatan penelitian 5 Laporan tahunan yang tidak ada (3) Jumlah Sampel 67 Sumber : Data Primer (diolah) 1. Analisis Regresi Linear Berganda Analisis ini digunakan untuk mengetahui pengaruh atara rasio likuiditas, produktivitas, akan meningkatkan peringkat sukuk sebesar 0,550, 3,707, dan 1,825. Nilai koefisien regresi variabel solvabilitas bernilai negatif, yaitu -1,755; artinya setiap peningkatan solvabilitas sebesar satu persen (1%) maka akan menurunkan peringkat sukuk sebesar - 1,755. Nilai konstanta adalah 13,476; artinya jika likuiditas, produktivitas, profitabilitas, dan solvabilitas bernilai 0, maka peringkat akan bernilai tetap 13,476. Nilai koefisien regresi variabel likuiditas, produktivitas, dan profitabilitas bernilai positif, artinya setiap peningkatan likuiditas, produktivitas, profitabilitas sebesar satu persen (1%) maka Keterangan JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 134 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 1412-629X pISSN : 2579-3055 Hasil Analisis Data 1. Analisis Regresi Linear Berganda 2. Uji Asumsi Klasik a. Uji Normalitas Hasil uji koefisien determinasi dapat dilihat pada tabel 7 berikut ini : Tabel 7 Hasil Uji Koefisien Determinasi (R2) R R Square Adjusted R Square 0,425 0,181 0,128 Sumber : Data yang diolah dilihat signifikansinya adalah 0,144 > 0,05, maka hasilnya normal. Berdasarkan hasil uji normalitas dengan menggunakan Kolmogorov-Smirnov dapat dilihat signifikansinya adalah 0,144 > 0,05, maka hasilnya normal. c. Uji Multikolinieritas c. Uji Multikolinieritas Hasil uji multikolinieritas dapat dilihat pada tabel 9 sebagai berikut : c. Uji Multikolinieritas Hasil uji multikolinieritas dapat dilihat pada tabel 9 sebagai berikut : Tabel 9 Uji Multikolinearitas Variabel Independen Tolerance Standar VIF Standar Keterangan Likuiditas 0,900 0,10 1,111 10 Tidak Ada Multikolinearitas Produktivitas 0,817 0,10 1,223 10 Tidak Ada Multikolinearitas Profitabilitas 0,815 0,10 1,226 10 Tidak Ada Multikolinearitas Solvabilitas 0,957 0,10 1,045 10 Tidak Ada Multikolinearitas Sumber : Data yang diolah dengan nilai tolerance lebih besar dari standard dan nilai VIF lebih kecil dari standar. Berdasarkan tabel 4.6 dapat diketahui bahwa tidak terjadi multikolinieritas dalam penelitian ini. Hal ini dapat ditunjukkan b. Uji Autokorelasi b. Uji Autokorelasi Hasil uji autokorelasi dapat dilihat pada tabel 8 sebagai berikut : b. Uji Autokorelasi Hasil uji autokorelasi dapat dilihat pada tabel 8 sebagai berikut : JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 135 Tabel 8 Uji Autokorelasi Durbin- Watson dL dU 4-dL 4-dU Kesimpulan 1.846 1,4806 1,7327 2,5194 2,2673 Tidak Ada Autokorelasi Sumber : Data yang diolah JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 135 Tabel 8 Uji Autokorelasi Durbin- Watson dL dU 4-dL 4-dU Kesimpulan 1.846 1,4806 1,7327 2,5194 2,2673 Tidak Ada Autokorelasi Sumber : Data yang diolah Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Berdasarkan tabel diatas dapat dilihat bahwa nilai Durbin-Watson (DW-test) adalah 1,846 terletak diantara dU = 1,7327 dan 4-dU = 2,2673, maka dapat disimpulkan bahwa tidak ada autokorelasi. Berdasarkan tabel diatas dapat dilihat bahwa nilai Durbin-Watson (DW-test) adalah 1,846 terletak diantara dU = 1,7327 dan 4-dU = 2,2673, maka dapat disimpulkan bahwa tidak ada autokorelasi. 4. Uji Hipotesis a. Uji t pada uji t, nilai hitung akan dibandingkan dengan nilai t pada tabel. j Uji t digunakan untuk menguji pengaruh variabel independen masing- masing. Dengan menggunakan ttabel Tabel 5 Hasil Uji t Hipotesis thitung ttabel Sig. Standar Kesimpulan Likuiditas 0,503 1,999 0,617 0,05 Ditolak Produktivitas 2,410 1,999 0,019 0,05 Diterima Profitabilitas 0,147 1,999 0,884 0,05 Ditolak Solvabilitas -2,348 1,999 0,022 0,05 Diterima Sumber : Data yang diolah Sumber : Data yang diolah diterima sehingga dapat disimpulkan bahwa produktivitas dan solvabilitas berpengaruh terhadap peringkat sukuk. Berdasarkan hasil pengujian diatas H1dan H3 ditolak sehingga dapat disimpulkan bahwa likuiditas dan profitabilitas tidak berpengaruh terhadap peringkat sukuk, sedangkan H2 dan H4 d. Uji Heterokedastisitas Hasil uji heterokedastisitas dapat dilihat pada gambar 1 sebagai berikut : Gambar 1 Uji Heterokedastisitas Gambar 1 Uji Heterokedastisitas Gambar 1 Uji Heterokedastisitas Berdasarkan gambar diatas dapat disimpulkan bahwa sebaran titik-titik dinyatakan tidak terjadi heterokedastisitas pada model regresi. dinyatakan tidak terjadi heterokedastisitas pada model regresi. 3. Uji Kelayakan model (Uji F) Uji ini mengukur apakah semua variabel independen yang ada pada penelitian 3. Uji Kelayakan model (Uji F) mempunyai pengaruh secara bersama (simultan) terhadap variabel dependen. Hasil uji F dapat dilihat pada tabel 4 berikut ini : Uji ini mengukur apakah semua variabel independen yang ada pada penelitian JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 136 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Tabel 4 Hasil Uji F Keterangan Fhitung Ftabel Sig. Sig. Hasil Uji Simultan (Uji F) 3.420 2,52 0,014 0,05 Berpengaruh Simultan Sumber : Data yang diolah Tabel 4 Hasil Uji F Keterangan Fhitung Ftabel Sig. Sig. Hasil Uji Simultan (Uji F) 3.420 2,52 0,014 0,05 Berpengaruh Simultan Sumber : Data yang diolah Tabel 4 Hasil Uji F Keterangan Fhitung Ftabel Sig. Sig. Hasil Uji Simultan (Uji F) 3.420 2,52 0,014 0,05 Berpengaruh Simultan Sumber : Data yang diolah produktivitas, profitabilitas, dan solvabilitas secara simultan berpengaruh terhadap peringkat sukuk. Hasil pengujian menunjukkan bahwa nilai F hitung > F tabel (3,420 > 2,52) dan signifikansi < 0,05 (0,000 < 0,05), sehingga dapat disimpulkan bahwa likuiditas, 4. Uji Hipotesis a. Uji t Uji t digunakan untuk menguji pengaruh variabel independen masing- masing. Dengan menggunakan ttabel DAFTAR PUSTAKA DAFTAR PUSTAKA Afiani, D. (2013). Pengaruh Likuiditas, Produktivitas, Profitabilitas, dan Leverage. Accounting Analysis Journal 2 (1), 111-115. Arif, M. Nur Riato A. (2012). Lembaga Keuangan Syariah. Bandung: CV. Pustaka Setia. Darmadji dan Fakhrudin. (2006). Pasar Modal di Indonesia. Jakarta: Salemba Empat. Dewi dan Yasa. (2016). Pengaruh Good Corporate Governance, Profitabilitas, Likuiditas dan Solvabilitas Terhadap Peringkat Obligasi. E-Jurnal Akuntansi Universitas Udayana Vol. 16. 2, 1063- 1090. b. Koefisien Determinasi determinasi dapat dilihat pada tabel 6 berikut ini : Koefisien ini bertujuan mengukur seberapa jauh model regresi dapat menerangkan variabel dependen penelitian. Hasil uji koefisien Tabel 6 Hasil Uji Koefisien Determinasi (R2) R R Square Adjusted R Square 0,425 0,181 0,128 Sumber : Data yang diolah Sumber : Data yang diolah dalam penelitian ini yaitu peringkat sukuk dapat dipengaruhi sebesar 12,8% oleh variabel independen Berdasarkan tabel diatas dapat diketahui bahwa nilai koefisien determinasi sebesar 0,128, sehingga dapat dikatakan bahwa hasil variabel dependen JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 137 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 1412-629X pISSN : 2579-3055 Dalam menginvestasikan dana dalam bentuk sukuk hendaknya memperhatikan peringkat sukuk yang telah diperoleh perusahaan. Peringkat sukuk yang tinggi mencerminkan ketepatwaktuan perusahaan dalam melaksanakan kewajibannya dalam membayar pokok utang dan bagi hasil sukuk, sehingga resiko yang timbul dari investasi sukuk dapat diperkecil. KESIMPULAN Berdasarkan hasil penelitian yang telah dilakukan, maka dapat diambil beberapa kesimpulan, yaitu: pertama, rasio likuiditas tidak berpengaruh terhadap peringkat sukuk. Dengan demikian hipotesis pertama (H1) yaitu tidak terdapat pengaruh dari rasio likuiditas terhadap peringkat sukuk. Kedua, rasio produktivitas berpengaruh terhadap peringkat sukuk. Sehingga berkisarmya rasio produktivitas ini menggambarkan keefektifan manajemen perusahaan dan begitu pula untuk peringkatsukuk,rasio produktivitas yang tinggi selalu menghasilkan peringkat sukuk tinggi. Dengan demikian hipotesis kedua (H2) yaitu rasio produktivitas berpengaruh terhadap peringkat sukuk. Ketiga, rasio profitabilitas tidak berpengaruh terhadap peringkat sukuk. Dengan demikian hipotesis ketiga (H3) yaitu terdapat pengaruh dari rasio profitabilitas terhadap peringkat sukuk ditolak. Keempat, rasio solvabilitas berpengaruh terhadap peringkat sukuk. Dengan demikian hipotesis keempat (H4) yaitu terdapat pengaruh dari rasio solvabilitas terhadap peringkat sukuk. Saran Untuk peneliti selanjutnya akan lebih baik jika memperluas obyek penelitian seperti seluruh perusahaan yang terdaftar di BEI serta memperpanjang periode pengamatan. Jumlah sampel yang lebih besar akan dapat mengeneralisasi semua jenis industri dan periode yang lebih lama akan memberikan hasil yang lebih validas atau hasil yang mendekati kondisi sebenarnya dan penelitian ini menghasilkan R Square yang cukup rendah yaitu 0,128 atau hanya12,8%. Ghozali, I. (2006). Aplikasi Analisis Multivariate dengan Program SPSS. Semarang: Badan Penerbit Universitas Diponegoro. Gina Mardiah et al. (2016). Pengaruh Likuiditas, Profitabilitas dan Leverage Terhadap Peringkat Sukuk (Penelitian Terhadap Perusahaan-Perusahaan yang Menerbitkan Sukuk dan Terdaftar di Bursa Efek Indonesia Selama Periode 2009-2014). Prosiding Keuangan dan Perbankan Syariah Vol. 2, No. 1, 95- 102. Manajemen perusahaan harus lebih memperhatikan faktor-faktor yang mempengaruhi perusahaan pemeringkat efek dalam memberikan peringkat sukuknya agar peringkat yang diperoleh ditingkat yang bagus dan tetap stabil tiap tahunnya, sehingga investor dapat mempertimbangkan untuk menginvestasikan dananya pada sukuk perusahaan serta untuk menjaga kepercayaan investor. JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 138 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, Dan Rasio Solvabilitas Terhadap Peringkat Sukuk Pengaruh Rasiolikuiditas, Rasio Produktivitas, Rasio Profitabilitas, pISSN : 1412-629X Dan Rasio Solvabilitas Terhadap Peringkat Sukuk pISSN : 2579-3055 pISSN : 1412-629X pISSN : 2579-3055 Pramesti dan Nurlaela. (2016). Pengaruh Rasio Likuiditas, Leverage, Aktivitas dan Firm Size Terhadap Profitabilitas Perusahaan Sub Sektor Otomotif dan Komponen di Bursa Efek Indonesia. Universitas Muhammadiyah Surakarta. Malia dan Andayani. (2015). Pengaruh Rasio Keuangan Terhadap Peringkat Sukuk. Jurnal Ilmu & Riset Akuntansi Vol. 4 No. 11, 1-15. Paryanti, Nurlaela, 2016, Pengaruh Devidend Payout Ratio, Return On Assets Dan Capital Structure Terhadap Beta Saham Syariah Di Bursa Efek Indonesia, Prosiding Seminar Nasional FE, UNIBA Press. Murhardi, W. R. (2013). Analisis Laporan Keuangan, Proyeksi dan Valuasi Saham. Jakarta: Salemba Empat. Nadjib et al. (2008). Investasi Syari'ah. Yogyakarta: Kreasi Wacana. Nurakhiroh, T. (2014). Pengaruh Rasio Keuangan Terhadap Rating Sukuk dengan Manajemen Laba Sebagai Variabel Intervening. Accounting Analysis Journal 3 (1), 109-117. Nurhayati dan Wasilah. (2015). Akuntansi Syariah di Indonesia. Jakarta: Salemba Empat. JURNAL AKUNTANSI DAN PAJAK, VOL. 18, NO. 01, JULI 2017 - 139
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Improved Clinical Outcomes of Outpatient Enhanced Recovery Hip and Knee Replacements in Comparison to Standard Inpatient Procedures: A Study of Patients Who Experienced Both
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Improved Clinical Outcomes of Outpatient Enhanced Recovery Hip and Knee Replacements in Comparison to Standard Inpatient Procedures: A Study of Patients Who Experienced Both Alexandre Hardy  Université de Montréal Margaux Courgeon  Hôpital Maisonneuve-Rosemont Karina Pellei  Hôpital Maisonneuve-Rosemont François Desmeules  Hôpital Maisonneuve-Rosemont Christian Loubert  Hôpital Maisonneuve-Rosemont Pascal-André Vendittoli  (  pa.vendittoli@me.com ) Hôpital Maisonneuve-Rosemont Pascal-André Vendittoli  (  pa.vendittoli@me.com ) Hôpital Maisonneuve-Rosemont Abstract BACKGROUND: The benefits of combining enhanced recovery after surgery (ERAS) interventions with an outpatient program for total hip/knee arthroplasty (THA/TKA) are uncertain. The primary objective was to compare adverse event rate and secondly to compare pain management, functional recovery, PROMs and satisfaction in patients who experienced both an ERAS-outpatient protocol and standard-inpatient care. METHODS: We conducted an ambidirectional single subject cohort study on 48 consecutive patients who experienced both a standard-inpatient and an ERAS-outpatient THA/TKA (contralaterally). We compared complications according to Clavien-Dindo scale and Comprehensive Complications Index (CCI), and unplanned episodes of care. Postoperative pain assessed with a numeric rating scale, opioid consumption in morphine milligram equivalents, functional recovery, patient-reported outcome measures (WOMAC, KOOS, HOOS, Forgotten Joint Score and Patient Joint Perception) and patients’ satisfaction were also evaluated. RESULTS: Following the ERAS-outpatient surgery, complication rates were reduced by more than 50% (2.1 vs 4.4, p<0.001), CCI was significantly lower (12.3 vs 19.1, p<0.001), and similar unplanned episodes of care were observed (p>0.999). In the first 8 postoperative hours, perceived pain was similar (p>0.805) while opioid consumption was significantly reduced (9.3 vs 26.5, p<0.001). Patients walked, climbed stairs, showered, performed activities of daily living, practised sports, went back to work sooner (p<0.001), but PROMs were similar between groups at the last follow-up (p> 0.188). Patients were more satisfied of the ERAS-outpatient pathway and recommended it significantly more (p <0.002). CONCLUSION: Compared to the conventional inpatient care, our ERAS-outpatient protocol proved to be safer, enable faster functional recovery, and improve patients’ satisfaction which highlight the importance of following ERAS principles when implementing an outpatient THA/TKA program. Research Article Posted Date: April 19th, 2021 License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Version of Record: A version of this preprint was published at Orthopaedics & Traumatology: Surgery & Research on February 1st, 2022. See the published version at https://doi.org/10.1016/j.otsr.2022.103236. Page 1/24 Page 1/24 Introduction In response to financial pressure and, more recently, to resume elective surgery in the pandemic period, there has been a shift toward using outpatient protocols for patients undergoing total hip arthroplasty (THA) or total knee arthroplasty (TKA).1 Outpatient protocol success is often defined as returning home on the day of surgery while being noninferior to inpatient procedures regarding complications and readmission rates in selected2,3 and unselected4 cohorts. Rather than equalizing inpatient procedures, an alternative is to implement strategies that reduce postoperative complications, and improve patient wellbeing and function, to a level where they may safely return home sooner.5 As suggested by Vehmeijerfor et al.,6 reducing hospital LOS “should not be a goal in itself, but should rather be the result of a successful, already implemented fast-track program based on the concept first better—then faster.” With the aim of optimizing all aspects of perioperative care, Drs. Husted and Kehlet developed the concept of Enhanced Recovery After Surgery (ERAS).5 In 2015, we developed a standardized ERAS-based outpatient THA and TKA protocol,2 designed to reduce unwanted events (pain, opioid side effects, patient sedation, Page 2/24 Page 2/24 anemia, wound complications, DVT, delayed function and mobilization, perioperative bowel malfunction). Compared to standard-inpatient care, our ERAS-outpatient program reduced direct health care costs and hospital LOS, improved patient care, significantly lowered the rate of complications, and was very efficient at reducing the frequency of adverse events including pain, nausea, vomiting, dizziness, headache, constipation, hypotension, anemia, edema, lameness, and urinary retention.2 However, the benefits of combining ERAS interventions with an outpatient program are unclear. Some studies suggested that immediate postoperative pain was better controlled by ERAS interventions2,7 while others found no difference.3 8Some studies showed faster recovery in the first few days7 and better functional outcomes 3-6-12 months after surgery9,10,11 while others found no difference at all.12,13 Improved patient satisfaction regarding the fast track pathway is also controversial.14 Thus, the primary study objective was to compare adverse event rate (complication and unplanned episode of care) and secondly to compare pain management, functional recovery, PROMS and satisfaction in patients who experienced both our ERAS-outpatient protocol and standard-inpatient care. We hypothesized that the ERAS- outpatient protocol would result in reduced adverse event rate, reduced pain and opioid consumption, faster functional recovery, improved PROMs and increased satisfaction when compared with standard care. Study Design and Population This ambidirectional single subject cohort study compared primary THA/TKA performed with standard (STD) inpatient care to the contralateral surgery using our ERAS-outpatient protocol published previously by Vendittoli et al.2 STD-inpatient surgeries were performed first between 2000 and 2018, and interventions varied according to the medical team’s preferences and the patient’s characteristics. The contralateral ERAS-outpatient joint replacements were performed secondly, between January 2017 and June 2020, and team members followed a standardized protocol.2 No changes in surgical technique or approach between interventions were made. For both programs, patients went straight home after discharge, followed the same rehabilitation program and received similar home care services. Patients in our ERAS-outpatient protocol were expected to be discharged the same day after a THA or in the first 24 hours after a TKA. A detailed description of both ERAS-outpatient and standard-inpatient interventions are available in Supplementary Material - Appendix A. Data Collection Perioperative data was collected retrospectively from medical records. Complications were categorized according to the Clavien-Dindo classification and evaluated by the Comprehensive Complication Index (CCI). Patient files were reviewed for unexpected consultation, readmission, and reoperation until 3 months after surgery. Pain on postoperative day (POD) 0 was assessed using a numeric rating scale (NRS 0–10). Opioid consumption in the first 8 hours postoperatively was quantified in morphine milligram equivalents (MME). The number of days required to reach key functional recovery landmarks at the hospital (first rise/walk/stairs climb) was also evaluated. The following PROMs were gathered prospectively at the last follow-up (> 9 months after surgery) either by email or by mail: Forgotten Joint Score (FJS), Patient Joint Perception (PJP) question, WOMAC, HOOS, and KOOS. Additionally, patients completed the Patient’s Experience survey (Supplementary Material - Appendix B) in which they recorded the number of days required to reach key functional recovery landmarks (activities of daily living, instrumental activities of daily living, return to sports/work, etc.), their satisfaction on a visual analog scale (0–100) regarding various components of care (hospital stay, pain management, recovery process, wound closure management, patient experience, etc.) and the program they would recommend (“ERAS- outpatient” or “STD-inpatient” or “No preference”. All questions referred to “Right” and “Left” joint to avoid expectation bias. Answers were assigned to the corresponding protocol (ERAS-outpatient or STD- inpatient) post hoc. All the information gathered was codified and stored in our secured REDCap database (Research Electronic Data Capture, Vanderbilt University, TN, USA). Patient Selection and Recruitment Based on previous results,2 43 patients were needed to detect a 40% relative reduction in complications with a 95% confidence interval and 80% statistical power. We contacted all 50 patients who underwent an ERAS-outpatient THA/TKA and had the same intervention performed earlier on with the STD-inpatient care. Those who were > 18 years old, who were able to communicate in French or English, who were able to give an informed consent and who did not suffer from significant cognitive impairment were included. Two patients declined participating in the study, leaving 48 participants. The ethical approval for this Page 3/24 study was obtained from the Comité d'éthique de la recherche du CIUSSS de l’Est-de-l’Île-de-Montréal #2021–2420. The informed consent was obtained for all participants approved by Comité d'éthique de la recherche du CIUSSS de l’Est-de-l’Île-de-Montréal. The study was conducted in accordance with the Declaration of Helsinki. study was obtained from the Comité d'éthique de la recherche du CIUSSS de l’Est-de-l’Île-de-Montréal #2021–2420. The informed consent was obtained for all participants approved by Comité d'éthique de la recherche du CIUSSS de l’Est-de-l’Île-de-Montréal. The study was conducted in accordance with the Declaration of Helsinki. Statistical Analysis All continuous data are presented with the mean (minimum-maximum, standard deviation) and categorial date with the number of observations (percentage). Descriptive analyses were conducted for all participants. The intrasubject comparison of continuous variables was done using paired Student T tests (parametric) or Wilcoxon signed-rank tests (nonparametric). McNemar tests and Chi2 were respectively conducted for paired and independent dichotomic nominal data. Marginal homogeneity tests were performed for paired variables with more than two categories or with zero values. Missing data were handled accordingly to the casewise deletion method. The statistical analyses were realized with the software SPSS − 25 (IBM SPSS Statistics for Macintosh, Version 25.0. Armonk, NY: IBM Corp.). A level of significance α = 0.05 (two-sided) was used for all tests. Patient Characteristics Page 4/24 Page 4/24 Patient characteristics at the time of the ERAS-outpatient and STD-inpatient surgeries are described in Table 1 and comorbidities can be found in Supplementary Material - Appendix C. Table 1 Patients Characteristics   ERAS-outpatient STD-inpatient P-value Number of participants 48   Gender (Men: Women)   27 (56.2%): 21 (43.8%)   Average Age at Surgery 60.0 (45.0–76.0,7.8) 52.9 (33.0–70.0, 8.3) < 0.001a Average Body Mass Index 28.1 (20.7–37.6, 4.1) 28.3 (19.3–35.0, 4.0) 0.638a ASA Physical Status 1 2 3   17 (35.4%) 30 (62.5%) 1 (2.1%)   25 (52.1%) 23 (47.9%) 0 0.007b Intervention THA TKA   36 (75.0%) 12 (25.0%)   a: Paired T-test b: Marginal homogeneity test Complications The rate of complications was significantly lower in the ERAS-outpatient surgery (2.1 versus 4.4, p <  0.001). Rates were significantly lower for the ERAS-outpatient side for Grade 1 complications: 2.0 (0.0– 7.0,1.6) vs. 4.2 (0.0–11.0, 2.3), p < 0.001, and Grade 2 complications: 0.1 (0.0–1.0, 0.2) vs. 0.2 (0.0–2.0, 0.5), p = 0.033. No difference was found for Grades 3 to 5. The CCI was significantly lower for the ERAS- outpatient side: 12.3 (0.0-34.8, 7.2) versus 19.1 (0.0-35.1, 7.2), p < 0. 001 (Tables 2 and 3). The rate of complications was significantly lower in the ERAS-outpatient surgery (2.1 versus 4.4, p <  0.001). Rates were significantly lower for the ERAS-outpatient side for Grade 1 complications: 2.0 (0.0– 7.0,1.6) vs. 4.2 (0.0–11.0, 2.3), p < 0.001, and Grade 2 complications: 0.1 (0.0–1.0, 0.2) vs. 0.2 (0.0–2.0, 0.5), p = 0.033. No difference was found for Grades 3 to 5. The CCI was significantly lower for the ERAS- outpatient side: 12.3 (0.0-34.8, 7.2) versus 19.1 (0.0-35.1, 7.2), p < 0. 001 (Tables 2 and 3). The rate of complications was significantly lower in the ERAS-outpatient surgery (2.1 versus 4.4, p <  0.001). Rates were significantly lower for the ERAS-outpatient side for Grade 1 complications: 2.0 (0.0– 7.0,1.6) vs. 4.2 (0.0–11.0, 2.3), p < 0.001, and Grade 2 complications: 0.1 (0.0–1.0, 0.2) vs. 0.2 (0.0–2.0, 0.5), p = 0.033. No difference was found for Grades 3 to 5. The CCI was significantly lower for the ERAS- outpatient side: 12.3 (0.0-34.8, 7.2) versus 19.1 (0.0-35.1, 7.2), p < 0. 001 (Tables 2 and 3). Complications Page 5/24 Page 5/24 Table 2 Complications Rates According to the Clavien-Dindo Classification and Comprehensive Complication Index (CCI) Complications ERAS-outpatient N = 48 STD-inpatient N = 48 P-Value All Grades 2.1 (0–7.0, 1.6) 4.4 (0–11.0, 2.3) < 0.001a Grade 1 2.0 (0–7.0,1.6) 4.2 (0–11.0, 2.3) < 0.001a Grade 2 0.1 (0–1.0, 0.2) 0.2 (0–2.0, 0.5) 0.033a Grade 3 0.02 (0–1.0, 0.2) 0   Grade 4 0 0   Grade 5 0 0   Comprehensive Complication Index 12.3 (0-34.8, 7.2) 19.1 (0-35.1, 7.2) < 0.001a a: Wilcoxon rank-signed test Table 2 Page 6/24 Table 3 Detailed Complications According to the Clavien-Dindo Classification Complications ERAS- outpatient N = 48 STD- inpatient N = 48 P- Value Grade 1 96 (200.0%) 201 (418.8%) <  0.001b Anemia without blood transfusion Hemoglobin women < 120, men < 130 17 (35.4) 37 (77.1%) <  0.001a Nausea 8 (16.7%) 24 (50.0%) 0.001a Vomiting 3 (6.3%) 12 (25.0%) 0.012a Headache 0 6 (12.5%) 0.031a Pain 10 (20.8%) 17 (35.4%) 0.118a Fever 0 5 (10.4%) 0.063a Diaphoresis 1 (2.1%) 5 (10.4%) 0.219a Desaturation during hospital stay requiring supplementary O2 0 2 (4.2%)   Dizziness 12 (25%) 17 (35.4%) 0.359a Hypotension 6 (12.5%) 10 (20.8%) 0.424a Edema 6 (12.5%) 10 (20.8%) >  0.999a Urinary retention 1 (2.1%) 12 (25.0%) 0.003a Constipation 3 (6.3%) 5 (10.4%)   Erythema 3 (6.3%) 4 (8.3%)   Pruritus 3 (6.3%) 3 (6.3%)   Visual disturbances 2 (4.2%) 0 Detailed Complications According to the Clavien-Dindo Classification Page 7/24 Page 7/24 Complications ERAS- outpatient N = 48 STD- inpatient N = 48 P- Value Ecchymosis 6 (12.5%) 7 (14.6%) >  0.999a Wound bleeding 2 (4.2%) 6 (12.5%) 0.289a Wound serous discharge 1 (2.1%) 4 (8.3%)   Phlycten 1 (2.1%) 3 (6.3%)   Stich abscess 1 (2.1%) 1 (2.1%)   Hematoma 0 3 (6.3%)   Symptomatic limb length inequality 1 (2.1%) 0   Periprostetic fracture treated with conservative treatment 1 (2.1%) 1 (2.1%)   Thrombocytopenia 0 1 (2.1%)   Temporary partial sciatic nerve block secondary to LIA (all resolved in < 12 hrs) 5 (10.4%) 0 0.063a Limping 3 (6.3%) 4 (8.3%)   Grade 2 3 (6.2%) 11 (25.0%) 0.033 b Anemia requiring blood transfusion 1 (2.1%) 5 (10.4%) 0.219a Superficial infection treated with oral antibiotics 1 (2.1%) 2 (4.2%)   Deep venous thrombosis treated by anticoagulant 0 1 (2.1%)   Gastritis 1 (2.1%) 2 (4.2%)   Bradycardia treated medically 0 1 (2.1%)   Grade 3 1 (2.1%) 0   Deep infection requiring debridement surgery 1 (2.1%) 0   Grade 4 0 0   Grade 5 0 0   a: McNemar test b: Wilcoxon signed-rank test Page 8/24 Unplanned Episodes of Care After ERAS-outpatient surgery, bleeding from the surgical wound (2), dizziness (2), urinary retention (1), and logistic problems preventing the functional evaluation at POD 0 (1) resulted in five (10.4%) failures to discharge in the expected time (4 [11.1%] THAs and 1 [8.3%] TKA). The average length of stay (hours) was significantly lower for ERAS-outpatient side for both THA (8.2 [4.0–32.0, 6.2] vs. 66.8 [14.0-141.0, 32.4], p < 0.001) and TKA (24.0 [5.0–47.0, 9.1] vs. 119.8 [67.0-211.0, 50.0], p < 0.001). In the 3 months following ERAS-outpatient and STD-inpatient surgeries, 9 (18.8%) patients required unplanned care. (Table 4). Table 4 90-days Unplanned Episode of Care   ERAS- outpatient N = 48 STD- inpatient N = 48 Emergency Care Unit visits without intervention Vasovagal episode Gastritis secondary to NSAIDS Mild pain 3 (6.3%) 1 (2.1%) 1 (2.1%) 1 (2.1%) 1 (2.1%) 0 0 1 (2.1%) Clinic consultations without intervention Suspicion of stich abscess Leg oedema Joint pain Serous wound discharge Headache 3 (6.3%) 1 (2.1%) 1 (2.1%) 0 1 (2.1%) 0 6 (12.5%) 2 (4.2%) 1 (2.1%) 2 (4.2%) 0 1 (2.1%) Emergency Care Unit visits requiring interventions Moderate joint pain Deep prosthetic infection Cellulitis Suspicion of deep venous thrombosis 3 (6.3%) 1 (2.1%) 1 (2.1%) 1 (2.1%) 0 1 (2.1%) 0 0 0 1 (2.1%) Clinic consultations requiring interventions Stitch abscess requiring oral antibiotics and superficial debridement. 0 0 1 (2.1%) 1 (2.1%) Table 4 90-days Unplanned Episode of Care Postoperative Pain and Opioid Consumption No significant difference between ERAS-outpatient and STD-inpatient was observed regarding postoperative pain on NRS (0–10) in the recovery room (1.8 [0.0–10.0, 2.3] vs. 1.3 [0.0–8.0, 1.4], p =  0.903) and on the ward at POD 0 (1.7 [0.0–8.0, 2.1] vs. 1.7 [0.0–8.0, 2.0], p = 0.805). However, the average opioid consumption in morphine milligram equivalents in the first 8 hours after surgery was significantly lower following ERAS-outpatient surgeries (9.3 [0.0–49.0, 11.8] vs. 26.5 [0.0-179.0, 32.4], p < 0.001). Functional Recovery and PROMs Patients following the ERAS-outpatient interventions walked, climbed stairs, took a shower, achieved activities of daily living, returned to sports, and returned to work significantly faster (Table 5). At last follow-up, no significant difference was found between protocols for the PJP question, FJS, HOOS, KOOS, and WOMAC (Table 6). Page 10/24 Table 5 Functional Recovery   ERAS- outpatient N = 48 STD- inpatient N = 48 P- Value Average delay between the end of surgery and: - first physiotherapy evaluation (in hours)   - first rise/standing (in days)   - walking (in days)   - going up and down the stairs (in days)   5.8 (2.0–19.0, 4.4) 0.1 (0–1.0, 0.3) 0.1 (0–1.0, 0.3) 0.4 (0–1.0, 0.5)   20.1 (7.0–59.0, 15.2) 1.1 (0–3.0, 0.5) 1.4 (1.0–4.0, 0.9) 2.9 (1.0–7.0, 1.4)   <  0.001a   <  0.001   <  0.001a   <  0.001a Lying to sitting at the first physiotherapy evaluation Alone With help   42 (87.5%) 6 (12.5%)   29 (63.0%) 17 (37.0%) <  0.002b Sitting to standing at the first physiotherapy evaluation Alone With help   44 (91.7%) 4 (8.3%)   36 (81.8%) 8 (18.2%) 0.109b First shower (in days) 5.3 (0–21.0, 4.5) 8.3 (1.0–30.0, 5.2) <  0.001a a: Wilcoxon rank-signed test, b: McNemar test *Four (8.3%) participants of the ERAS-outpatient group and 3 (6.3%) of the STD group reported not performing mild physical activity in their lifestyle. **Twenty-two (45.8%) participants of the ERAS-outpatient group and 20 (41.7%) of the STD group reported not performing intense physical activity in their lifestyle. ***Seventeen (34.6%) participants of the ERAS-outpatient group and 10 (20.8%) of the STD group reported being unemployed or retired. ****Twenty-two (45.8%) participants of the ERAS-outpatient group and 16 (33.3%) of the STD group Table 5 Page 11/24 ERAS- outpatient N = 48 STD- inpatient N = 48 P- Value Walking without technical aid (in days) 16.1 (0-100.0, 21.0) 23.1 (1.0-120.0, 25.2) <  0.001a Going up and down the stairs without technical aid (in days) 17.1 (0-100.0, 21.4) 24.3 (2.0-120.0, 25.4) <  0.001a ADLs: dressing, toileting, walking indoor alone, etc. (in days) 5.5 (0–48.0, 7.9) 11.8 (0–90.0, 16.7) <  0.001a iADLs: cooking, cleaning, shopping, etc. (in days) 14.2 (0–90.0, 17.0) 23.0 (0-120.0, 24.4) <  0.001a Mild physical activities: cycling, swimming, walking, etc. (in weeks)* 6.1 (1.0–4.0, 7.0) 8.4 (1.0–50.0, 9.13) <  0.001a Intense physical activities: running, playing tennis, skiing, etc. Functional Recovery and PROMs (in weeks)** 14.0 (3.0–40.0, 9.7) 19.1 (5.0–52.0, 13.5) <  0.001a Return to light-duty work (in weeks)*** 6.5 (1.0–21.0, 6.0) 9.2 (1.0–26.0, 6.7) 0.001a Return to regular work without limitation (in weeks)**** 9.8 (1.0–24.0, 6.4) 11.8 (2.0–30.0, 7.8) 0.012 a a: Wilcoxon rank-signed test, b: McNemar test *Four (8.3%) participants of the ERAS-outpatient group and 3 (6.3%) of the STD group reported not performing mild physical activity in their lifestyle. **Twenty-two (45.8%) participants of the ERAS-outpatient group and 20 (41.7%) of the STD group reported not performing intense physical activity in their lifestyle. ***Seventeen (34.6%) participants of the ERAS-outpatient group and 10 (20.8%) of the STD group d b i l d i d Page 12/24 Page 12/24 Page 13/24 Table 6 PROMs at the Last Follow-up   ERAS-outpatient N = 45 STD-inpatient N = 45 P- Value Time after surgery in months 24.8 (9.0–46.0, 11.6) 112.8 (40.0-243.0, 47.3) <  0.001a Patient Joint Perception     0.647 a Natural joint 22 (48.9%) 23 (51.1%) Artificial joint without functional limitation 10 (22.2%) 10 (22.2%) Artificial joint with minimal functional limitation 11 (24.4%) 11 (24.4%) Artificial joint with signification functional limitation 2 (4.4%) 1 (2.2%) Non functional joint 0 0 Forgotten Joint Score 82.5 (39.6–100.0, 17.7) 80.6 (22.9–100.0, 20.6) 0.369b HOOS       Pain 93.6 (73.0-100.0, 8.6) 93.6 (58.0-100.0, 11.1) 0.837b Symptoms 90.2 (60.0-100.0, 11.8) 90.5 (60.0-100.0, 11.1) >  0.999b Activities of daily living 94.7 (69.0-100.0, 8.3) 94.3 (68.0-100.0, 8.7) 0.990b Sports and activities 88.0 (44.0- 100.0,15.6) 88.5 (50.0-100.0, 14.6) 0.689b Quality of life 88.4 (63.0-100.0, 12.0) 88.2 (31.0-100.0, 14.6) 0.842b KOOS       Pain 90.4 (69.0-100.0, 11.4) 92.5 (58.0-100.0, 12.4) 0.719c Symptoms 88.7 (71.0-100.0, 10.7) 92.3 (71.0-100.0, 9.1) 0.188c a: Marginal homogeneity test b: Paired T-test Table 6 PROMs at the Last Follow-up Page 14/24 ERAS-outpatient N = 45 STD-inpatient N = 45 P- Value Activities of daily living 93.2 (74.0-100.0, 8.8) 94.3 (75.0-100.0, 7.9) 0.500c Sports and activities 68.3 (25.0-100.0, 24.3) 69.6 (25.0-100.0, 25.2) 0.330c Quality of life 79.8 (63.0-100.0, 14.7) 84.5 (63.0-100.0, 14.9) 0.656c WOMAC score 93.6 (69.8–100.0, 8.3) 93.6 (64.6–100.0, 8.9) 0.790c a: Marginal homogeneity test b: Paired T-test c: Wilcoxon signed-rank test Limitations Our results should be interpreted in light of our study limitations. Although our single subject design eliminates selection bias by controlling for interindividual confounders, all ERAS-outpatient surgeries were performed secondly. Nevertheless, studies on staged bilateral joint arthroplasty showed no clear advantage for the second surgery over the first one.16 On the other hand, for the ERAS-outpatient surgery, patients were 7 years older and had more comorbidities (higher ASA score) which could have negatively impacted the outcomes. Secondly, the health care team might have presented the ERAS-outpatient protocol as an “optimized care” and patients might expected superior results from the second surgery. As counterpart, those higher expectations required better results to achieve similar satisfaction which disfavoured the ERAS-outpatient pathway.17 Third, the retrospective data retrieved from patients’ medical record may have been incomplete which potentially reduced the number of adverse events. However, this limitation was present for both sides. Last, although our sample size was rather small limiting our study power, we were able to detect a statistically significant difference in most of our secondary outcomes. Discussion Outpatient THA and TKA, by reducing hospital LOS, increases bed availability and reduces direct health care costs.11 Most studies comparing outpatient to inpatient programs conclude that outpatient surgeries did not increase complication or readmission rates, and, overall, were not inferior.15 We aimed to determine if combining ERAS principles to an outpatient program could reduce adverse event rate and improve patient outcomes including postoperative pain, functional recovery and satisfaction. We found that compared to STD-inpatient practice, ERAS-outpatient program reduced complications by half while not resulting in more unplanned episodes of care. Moreover, it resulted in less opioid consumption, faster early functional recovery, and higher satisfaction. Satisfaction and Recommendation Participants were significantly more satisfied with hospital stay, pain management, recovery, wound management, and surgical experience, and recommended the ERAS-outpatient program significantly more often (Tables 7 and 8). Page 15/24 Table 7 Table 7 Patients’ Satisfaction on a Visual Analog Scale (0-100) Table 7 Patients’ Satisfaction on a Visual Analog Scale (0-100) Question ERAS- outpatient N = 47 STD- inpatient N = 47 P- Value How satisfied are you with your time at the hospital (including the anesthesia, the surgery and physiotherapy)? 96.0 (50.0- 100.0, 9.0) 84.6 (0.0- 100.0, 23.1) <  0.001a How satisfied are you with the pain management after your surgery? 93.2 (18.0- 100.0, 13.5) 86.4 (0-100.0, 21.4) 0.002 a How satisfied are you with your recovery (speed and ease of resuming your usual activities) after your surgery? 95.5 (70.0- 100.0, 6.8) 84.4 (1.0- 100.0, 19.9) <  0.001a How satisfied are you with your surgical wound closing method (sutures/glue/staples and bandage)? 94.8 (18.0- 100.0, 13.2) 85.1 (0.0- 100.0, 18.2) <  0.001a In general, how satisfied are you of your surgical experience as a patient? 97.1 (75.0- 100.0, 30.3) 88.3 (24.0- 100.0, 16.2) <  0.001a a: Wilcoxon rank-signed test   Table 8 Recommendation of a THA/TKA Protocol Question ERAS- outpatient N = 47 STD- inpatient N = 47 No preference N = 47 P- Value Which surgical protocol between the one you had on your right or left hip/knee would you recommend for a total hip/knee replacement* 40 85.1% 3 6.4% 4 8.5% <  0.001a a: Chi2 test Patients’ Satisfaction on a Visual Analog Scale (0-100) Table 8 Recommendation of a THA/TKA Protocol Question ERAS- outpatient N = 47 STD- inpatient N = 47 No preference N = 47 P- Value Which surgical protocol between the one you had on your right or left hip/knee would you recommend for a total hip/knee replacement* 40 85.1% 3 6.4% 4 8.5% <  0.001a a: Chi2 test * Answers were converted to ERAS-outpatient and standard-inpatient post-hoc. Complications Our ERAS-outpatient protocol was specifically designed to reduce common complications that increase LOS, such as dizziness, nausea/vomiting, pain, and urinary retention.18 Compared to STD-inpatient practice, it successfully decreased the number of complications per patient by 52.4% (2.1 vs 4.4 p <  0.001) and overall postoperative morbidity (CCI) by 35.7% (12.3 vs 19.1, p < 0.001). This reduction in the complication rate was better than what was reported in meta-analyses of ERAS joint replacements (23– 26%).19 However, considering the heterogeneity of ERAS protocols,19 the difference between our results and those in the literature is probably multifactorial, making it impossible to pinpoint one element specifically. Meta-analyses comparing adverse event rates between inpatient and outpatient THA/TKA reported either increased complication rate after outpatient procedures20 or did not find a difference (outpatient considered to be non-inferior).15 These results contrast with ours, raising the point that outpatient programs may not be equal, and demonstrating the important impact of including ERAS principles in an outpatient program. Our current results are similar to our previous study comparing 114 unilateral ERAS-outpatient cases to a historical cohort of 150 matched STD-inpatient surgeries, where we Page 17/24 Page 17/24 found a complication rate reduction of 50%.2 In the current study, each patient being his own control reduces the potential selection bias, and thus further supports the efficacy and safety of our ERAS- outpatient program. Our selected interventions successfully prevented multiple potential adverse events. We avoided gastrointestinal complications such as nausea and vomiting by minimizing opioids, using preventive methods such as aprepitant,21 dexamethasone,22 and scopolamine patch,23 and by implementing a nutrition protocol that allows clear liquids until 2h before surgery and encourages rapid postoperative oral feeding.24 Anemia was minimized by preoperative screening25 and perioperative blood saving interventions (tranexamic acid,26 adrenaline in LIA,27 and postoperative knee flexion28). Unplanned Episodes of Care Our ERAS-outpatient program significantly decreased hospital LOS and achieved the discharge of 90% of patients in the prescribed time. Failure rate to discharge and their reasons are similar to those described by Shapira et al.29 To improve success, future work should focus on interventions that address specific problems preventing discharge. Similar to other studies, our ERAS-outpatient protocol did not result in more unplanned episodes of care than STD-inpatient practice.19,3,15,20 The 90-day readmission and reoperations rates of our groups are comparable to the current literature (0-4.2% and 0–4%, Our ERAS-outpatient program significantly decreased hospital LOS and achieved the discharge of 90% of patients in the prescribed time. Failure rate to discharge and their reasons are similar to those described by Shapira et al.29 To improve success, future work should focus on interventions that address specific problems preventing discharge. Similar to other studies, our ERAS-outpatient protocol did not result in more unplanned episodes of care than STD-inpatient practice.19,3,15,20 The 90-day readmission and reoperations rates of our groups are comparable to the current literature (0-4.2% and 0–4%, respectively).18 Our 3-month unplanned care episode rate is higher than that reported in similar studies (0.9%-11.2%).18 However, most unexpected visits in the ERAS-outpatient surgeries were for minor problems that did not require intervention. We believe that the ERAS-outpatient cases were provided more proactive care, where professionals were more easily accessible than for standard care procedures. These situations demonstrate the need to better educate patients on complications that truly require a consultation. Pain Management & Opioid Consumption Patient-reported pain levels on POD 0 were very low (1.3–1.8/10) and were similar between ERAS- outpatient and STD-inpatient surgeries.2,7,8 However, the ERAS multimodal approach in the outpatient group achieved pain control with significantly less opioids in the first 8 hours (9.3 vs 26.5 MME, p <  0.001). The systematic use of pre-emptive analgesia, dexamethasone, LIA, epidural-sedation anesthesia, and other multimodal interventions (tourniquet avoidance, cryotherapy, etc.) may explain this observation, unlike results reported by other authors.30,31 The reduced intake of opioids in the ERAS group led to significantly lower incidences of related complications such as nausea, vomiting, headache, urinary retention, and dizziness (Table 3). Conclusion Compared to the STD-inpatient care, our ERAS-outpatient protocol proved to be safer, result in better early functional outcomes, and improve patients’ satisfaction. Complication rate was reduced by half, while not resulting in more unplanned episodes of care, patients required fewer opioids for pain relief and recovered faster. Results of this study highlight the importance of following ERAS principles when implementing an outpatient THA/TKA program. Patients Satisfaction and Recommendation Our previous study2 found that our multimodal approach achieved better pain relief. Thus, it can explain why patients were more satisfied with pain management following our ERAS interventions even though we did not find a difference on the day of surgery. Patients preferred the surgical glue to seal their wound probably because they could shower earlier and did not need to have the staples removed. The faster return to their home and to their activities surely contributed to them being more content with the outpatient protocol as satisfaction is directly correlated with shorter LOS.34 Like many studies, we found that patients were very satisfied of their ERAS-outpatient experience (97% vs. 85–94%)35 and highly recommended it (85% vs 80–96%).36,37 Nevertheless, our study is the first to demonstrate that patients were significantly more inclined to recommend the ERAS-outpatient pathway after having personally experienced both outpatient and inpatient protocols. Functional Recovery and PROMs Our patients demonstrated significantly better early function following ERAS-outpatient THA/TKA in comparison to contralateral surgery performed with STD-inpatient care (Table 6). This finding is likely multifactorial and linked to the specific ERAS interventions. Minimizing postoperative pain, orthostatic hypotension, anemia, motor blockade, and urinary retention, enabled rapid mobilization, which led to faster overall recovery. Pre-emptive medications,32 dexamethasone,22 LIA,27 cryotherapy,33 early first rise, Page 18/24 Page 18/24 and optimized wound closure are associated with faster functional recovery. Moreover, combined epidural-sedation opioid-free anesthesia avoided prolonged and complete motor blockade, reduced cases of urinary retention, and enabled patients to walk soon after surgery. Our ERAS interventions had very important impacts on patients’ function. Patients could perform activities of daily living, shower, practice physical activities, and return to work sooner, even though they were older and had more comorbidities. To our knowledge, no other studies reported lasting effects of ERAS procedures regarding the time needed to regain important functional abilities. Yet, some studies did find better PROMs in the first few months,9,10,11 supporting the possible superiority of ERAS interventions on recovery in the acute and subacute postoperative period. However, the benefits of ERAS procedures seemed to vanish with time. Like other trials7,12,13, we did not find any difference between groups on PROMs 9 months or later after surgery. Berg et al.10 did discover slightly better PROMs in its fast-track cohort at 1 year. However, this difference was not clinically significant and multiple cofounders might explain their results, thus limiting the validity of their findings. Availability of data and materials The datasets used and/or analysed during the current study are available from the corresponding author on reasonable request. Abbreviations CCI: Comprehensive Complication Index ERAS: Enhanced Recovery after Surgery FJS : Forgotten Joint Score Page 19/24 Page 19/24 HOOS: Hip disability and osteoarthritis outcome score KOOS: Knee Injury and Osteoarthritis Outcome Score LIA: Local infiltration analgesia LOS: Length of Stay POD: Postoperative day PJP: Patient Joint Perception PROMS: Patient Reported Outcome Measurement Study MME: Morphine milligram equivalents NRS: Numeric rating scale THA: Total hip arthroplasty TKA: Total knee arthroplasty STD: Standard WOMAC: Western Ontario and McMaster Universities Arthritis Index WOMAC: Western Ontario and McMaster Universities Arthritis Index Consent for publication Not applicable Competing interests P-AV reports grants and personal fees from Medacta, grants, personal fees and other from Microport, grants, personal fees and other from Stryker, grants, personal fees and other from Ethicon, grants from Zimmer, grants, personal fees and other from Johnson and Johnson; all outside the submitted work. All authors declare that they have no competing interests. Ethics approval and consent to participate The ethical approval for this study was obtained from the Comité d'éthique de la recherche du CIUSSS de l’Est-de-l’Île-de-Montréal #2021–2420. The informed consent was obtained for all participants approved by Comité d'éthique de la recherche du CIUSSS de l’Est-de-l’Île-de-Montréal. The study was conducted in accordance with the Declaration of Helsinki. Authors' contributions AH as the first author was involved in conceptualization, data curation, formal analysis, investigation, methodology, project administration, resources and software management, validation, visualization and writing the original draft. MC was involved with investigation. KP contributed to conceptualization and investigation. FD & CL helped with conceptualization, methodology, supervision and validation. P-AV as senior author contributed to conceptualization, formal analysis, investigation, methodology, project administration, resources, supervision, validation and writing the original draft. All authors contributed to final editing and review of the manuscript. All authors have read and approved the final version submitted. Page 20/24 This research did not receive any specific grant from funding agencies in the public, commercial, or not- for-profit sectors. This research did not receive any specific grant from funding agencies in the public, commercial, or not- for-profit sectors. Acknowledgements We thank Serge Marquis for helping with the medical records assessment and Janie Barrie for supervising the statistical analyses. References 1. Kort NP, Barrena EG, Bédard M, et al. Resuming elective hip and knee arthroplasty after the first phase of the SARS-CoV-2 pandemic: the European Hip Society and European Knee Associates recommendations. Knee Surg Sports Traumatol Arthrosc. 2020;28(9):2730-2746. doi:10.1007/s00167-020-06233-9 1. Kort NP, Barrena EG, Bédard M, et al. Resuming elective hip and knee arthroplasty after the first phase of the SARS-CoV-2 pandemic: the European Hip Society and European Knee Associates recommendations. Knee Surg Sports Traumatol Arthrosc. 2020;28(9):2730-2746. doi:10.1007/s00167-020-06233-9 2. Vendittoli P-A, Pellei K, Desmeules F, et al. Enhanced recovery short-stay hip and knee joint replacement program improves patients outcomes while reducing hospital costs. Orthop Traumatol Surg Res. 2019;105(7):1237-1243. doi:10.1016/j.otsr.2019.08.013 2. Vendittoli P-A, Pellei K, Desmeules F, et al. Enhanced recovery short-stay hip and knee joint replacement program improves patients outcomes while reducing hospital costs. Orthop Traumatol Surg Res. 2019;105(7):1237-1243. doi:10.1016/j.otsr.2019.08.013 3. Hoffmann JD, Kusnezov NA, Dunn JC, Zarkadis NJ, Goodman GP, Berger RA. The Shift to Same-Day Outpatient Joint Arthroplasty: A Systematic Review. J Arthroplasty. 2018;33(4):1265-1274. doi:10.1016/j.arth.2017.11.027 3. Hoffmann JD, Kusnezov NA, Dunn JC, Zarkadis NJ, Goodman GP, Berger RA. The Shift to Same-Day Outpatient Joint Arthroplasty: A Systematic Review. J Arthroplasty. 2018;33(4):1265-1274. doi:10.1016/j.arth.2017.11.027 4. Gromov K, Kjærsgaard-Andersen P, Revald P, Kehlet H, Husted H. Feasibility of outpatient total hip and knee arthroplasty in unselected patients. Acta Orthop. 2017;88(5):516-521. doi:10.1080/17453674.2017.1314158 4. Gromov K, Kjærsgaard-Andersen P, Revald P, Kehlet H, Husted H. Feasibility of outpatient total hip and knee arthroplasty in unselected patients. Acta Orthop. 2017;88(5):516-521. doi:10.1080/17453674.2017.1314158 5. Kehlet H, Slim K. The future of fast-track surgery. BJS Br J Surg. 2012;99(8):1025-1026. doi:https://doi.org/10.1002/bjs.8832 6. Vehmeijer SBW, Husted H, Kehlet H. Outpatient total hip and knee arthroplasty. Acta Orthop. 2018;89(2):141-144. doi:10.1080/17453674.2017.1410958 7. Fransen BL, Hoozemans MJM, Argelo KDS, Keijser LCM, Burger BJ. Fast-track total knee arthroplasty improved clinical and functional outcome in the first 7 days after surgery: a randomized controlled Page 21/24 Page 21/24 pilot study with 5-year follow-up. Arch Orthop Trauma Surg. 2018;138(9):1305-1316. doi:10.1007/s00402-018-3001-2 pilot study with 5-year follow-up. Arch Orthop Trauma Surg. 2018;138(9):1305-1316. doi:10.1007/s00402-018-3001-2 8. Christelis N, Wallace S, Sage CE, et al. An enhanced recovery after surgery program for hip and knee arthroplasty. Med J Aust. 2015;202(7):363-368. doi:10.5694/mja14.00601 9. den Hertog A, Gliesche K, Timm J, Mühlbauer B, Zebrowski S. Pathway-controlled fast-track rehabilitation after total knee arthroplasty: a randomized prospective clinical study evaluating the recovery pattern, drug consumption, and length of stay. Arch Orthop Trauma Surg. 2012;132(8):1153- 1163. References doi:10.1007/s00402-012-1528-1 10. Berg U, W-Dahl A, Rolfson O, Nauclér E, Sundberg M, Nilsdotter A. Influence of fast-track programs on patient-reported outcomes in total hip and knee replacement (THR/TKR) at Swedish hospitals 2011– 2015: an observational study including 51,169 THR and 8,393 TKR operations. Acta Orthop. 2020;91(3):306-312. doi:10.1080/17453674.2020.1733375 11. Lovald ST, Ong KL, Malkani AL, et al. Complications, Mortality, and Costs for Outpatient and Short- Stay Total Knee Arthroplasty Patients in Comparison to Standard-Stay Patients. J Arthroplasty. 2014;29(3):510-515. doi:10.1016/j.arth.2013.07.020 12. Kolisek FR, McGrath MS, Jessup NM, Monesmith EA, Mont MA. Comparison of Outpatient versus Inpatient Total Knee Arthroplasty. Clin Orthop. 2009;467(6):1438-1442. doi:10.1007/s11999-009- 0730-0 13. Maempel J, Walmsley P. Enhanced recovery programmes can reduce length of stay after total knee replacement without sacrificing functional outcome at one year. Ann R Coll Surg Engl. 2015;97(8):563-567. doi:10.1308/rcsann.2015.0016 14. Kelly MP, Calkins TE, Culvern C, Kogan M, Della Valle CJ. Inpatient Versus Outpatient Hip and Knee Arthroplasty: Which Has Higher Patient Satisfaction? J Arthroplasty. 2018;33(11):3402-3406. doi:10.1016/j.arth.2018.07.025 15. Xu J, Cao JY, Chaggar GS, Negus JJ. Comparison of outpatient versus inpatient total hip and knee arthroplasty: A systematic review and meta-analysis of complications. J Orthop. 2020;17:38-43. doi:10.1016/j.jor.2019.08.022 16. Abram SGF, Nicol F, Spencer SJ. Patient reported outcomes in three hundred and twenty eight bilateral total knee replacement cases (simultaneous versus staged arthroplasty) using the Oxford Knee Score. Int Orthop. 2016;40(10):2055-2059. doi:10.1007/s00264-016-3122-6 Knee Score. Int Orthop. 2016;40(10):2055-2059. doi:10.1007/s00264-016-3122-6 17. Graham B. Defining and Measuring Patient Satisfaction. J Hand Surg. 2016;41(9):929-931. doi:10.1016/j.jhsa.2016.07.109 18 J ib ji M V l i A H dd d FS K S I O i A h l S f ? A S i R i J 17. Graham B. Defining and Measuring Patient Satisfaction. J Hand Surg. 2016;41(9):929-931. doi:10.1016/j.jhsa.2016.07.109 18. Jaibaji M, Volpin A, Haddad FS, Konan S. Is Outpatient Arthroplasty Safe? A Systematic Review. J Arthroplasty. 2020;35(7):1941-1949. doi:10.1016/j.arth.2020.02.022 19. Zhu S, Qian W, Jiang C, Ye C, Chen X. Enhanced recovery after surgery for hip and knee arthroplasty: a systematic review and meta-analysis. Postgrad Med J. 2017;93(1106):736-742. doi:10.1136/postgradmedj-2017-134991 Page 22/24 20. Lovecchio F, Alvi H, Sahota S, Beal M, Manning D. Is Outpatient Arthroplasty as Safe as Fast-Track Inpatient Arthroplasty? A Propensity Score Matched Analysis. J Arthroplasty. 2016;31(9, Supplement):197-201. doi:10.1016/j.arth.2016.05.037 21. Singh PM, Borle A, Rewari V, et al. Aprepitant for postoperative nausea and vomiting: a systematic review and meta-analysis. Postgrad Med J. 2016;92(1084):87-98. doi:10.1136/postgradmedj-2015- 133515 22. References Backes JR, Bentley JC, Politi JR, Chambers BT. Dexamethasone Reduces Length of Hospitalization and Improves Postoperative Pain and Nausea After Total Joint Arthroplasty: A Prospective, Randomized Controlled Trial. J Arthroplasty. 2013;28(8, Supplement):11-17. doi:10.1016/j.arth.2013.05.041 23. Apfel CC, Zhang K, George E, et al. Transdermal scopolamine for the prevention of postoperative nausea and vomiting: A systematic review and meta-analysis. Clin Ther. 2010;32(12):1987-2002. doi:10.1016/j.clinthera.2010.11.014 24. Lambert E, Carey S. Practice Guideline Recommendations on Perioperative Fasting. J Parenter Enter Nutr. 2016;40(8):1158-1165. doi:https://doi.org/10.1177/0148607114567713 25. Frew N, Alexander D, Hood J, Acornley A. Impact of a blood management protocol on transfusion rates and outcomes following total hip and knee arthroplasty. Ann R Coll Surg Engl. 2016;98(6):380- 386. doi:10.1308/rcsann.2016.0139 26. Oremus K, Sostaric S, Trkulja V, Haspl M. Influence of tranexamic acid on postoperative autologous blood retransfusion in primary total hip and knee arthroplasty: a randomized controlled trial. Transfusion (Paris). 2014;54(1):31-41. doi:https://doi.org/10.1111/trf.12224 26. Oremus K, Sostaric S, Trkulja V, Haspl M. Influence of tranexamic acid on postoperative autologous blood retransfusion in primary total hip and knee arthroplasty: a randomized controlled trial. Transfusion (Paris). 2014;54(1):31-41. doi:https://doi.org/10.1111/trf.12224 27. Bhutta MA, Ajwani SH, Shepard GJ, Ryan WG. Reduced Blood Loss and Transfusion Rates: Additional Benefits of Local Infiltration Anaesthesia in Knee Arthroplasty Patients. J Arthroplasty. 2015;30(11):2034-2037. doi:10.1016/j.arth.2015.05.025 27. Bhutta MA, Ajwani SH, Shepard GJ, Ryan WG. Reduced Blood Loss and Transfusion Rates: Additional Benefits of Local Infiltration Anaesthesia in Knee Arthroplasty Patients. J Arthroplasty. 2015;30(11):2034-2037. doi:10.1016/j.arth.2015.05.025 28. Wu Y, Yang T, Zeng Y, Si H, Li C, Shen B. Effect of different postoperative limb positions on blood loss and range of motion in total knee arthroplasty: An updated meta-analysis of randomized controlled trials. Int J Surg. 2017;37:15-23. doi:10.1016/j.ijsu.2016.11.135 28. Wu Y, Yang T, Zeng Y, Si H, Li C, Shen B. Effect of different postoperative limb positions on blood loss and range of motion in total knee arthroplasty: An updated meta-analysis of randomized controlled trials. Int J Surg. 2017;37:15-23. doi:10.1016/j.ijsu.2016.11.135 29. Shapira J, Chen SL, Rosinsky PJ, Maldonado DR, Lall AC, Domb BG. Outcomes of outpatient total hip arthroplasty: a systematic review. HIP Int. Published online March 11, 2020:1120700020911639. doi:10.1177/1120700020911639 29. Shapira J, Chen SL, Rosinsky PJ, Maldonado DR, Lall AC, Domb BG. Outcomes of outpatient total hip arthroplasty: a systematic review. HIP Int. Published online March 11, 2020:1120700020911639. doi:10.1177/1120700020911639 30. Auyong DB, Allen CJ, Pahang JA, Clabeaux JJ, MacDonald KM, Hanson NA. References Reduced Length of Hospitalization in Primary Total Knee Arthroplasty Patients Using an Updated Enhanced Recovery After Orthopedic Surgery (ERAS) Pathway. J Arthroplasty. 2015;30(10):1705-1709. doi:10.1016/j.arth.2015.05.007 30. Auyong DB, Allen CJ, Pahang JA, Clabeaux JJ, MacDonald KM, Hanson NA. Reduced Length of Hospitalization in Primary Total Knee Arthroplasty Patients Using an Updated Enhanced Recovery After Orthopedic Surgery (ERAS) Pathway. J Arthroplasty. 2015;30(10):1705-1709. doi:10.1016/j.arth.2015.05.007 31. Kort NP, Bemelmans YFL, Schotanus MGM. Outpatient surgery for unicompartmental knee arthroplasty is effective and safe. Knee Surg Sports Traumatol Arthrosc. 2017;25(9):2659-2667. doi:10.1007/s00167-015-3680-y Page 23/24 Page 23/24 32. Wainwright TW, Gill M, McDonald DA, et al. Consensus statement for perioperative care in total hip replacement and total knee replacement surgery: Enhanced Recovery After Surgery (ERAS®) Society recommendations. Acta Orthop. 2020;91(1):3-19. doi:10.1080/17453674.2019.1683790 33. Ni S-H, Jiang W-T, Guo L, et al. Cryotherapy on postoperative rehabilitation of joint arthroplasty. Knee Surg Sports Traumatol Arthrosc. 2015;23(11):3354-3361. doi:10.1007/s00167-014-3135-x 34. Husted H, Holm G, Jacobsen S. Predictors of length of stay and patient satisfaction after hip and knee replacement surgery: Fast-track experience in 712 patients. Acta Orthop. 2008;79(2):168-173. doi:10.1080/17453670710014941 35. Specht K, Kjaersgaard-Andersen P, Kehlet H, Wedderkopp N, Pedersen BD. High patient satisfaction in 445 patients who underwent fast-track hip or knee replacement. Acta Orthop. 2015;86(6):702-707. doi:10.3109/17453674.2015.1063910 36. Parcells BW, Giacobbe D, Macknet D, et al. Total Joint Arthroplasty in a Stand-alone Ambulatory Surgical Center: Short-term Outcomes. Orthopedics. 2016;39(4):223-228. doi:10.3928/01477447- 20160419-06 37. Berger RA, Sanders SA, Thill ES, Sporer SM, Della Valle C. Newer Anesthesia and Rehabilitation Protocols Enable Outpatient Hip Replacement in Selected Patients. Clin Orthop. 2009;467(6):1424- 1430. doi:10.1007/s11999-009-0741-x Supplementary Files This is a list of supplementary files associated with this preprint. Click to d ERASSTDBMCAppendixA.docx ERASSTDBMCAppendixB.docx ERASSTDBMCAppendixC.docx Page 24/24
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Development of Electrochemiluminescent Serology Assays to Measure the Humoral Response to Antigens of Respiratory Syncytial Virus
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OPEN ACCESS Citation: Maifeld SV, Ro B, Mok H, Chu M, Yu L, Yamagata R, et al. (2016) Development of Electrochemiluminescent Serology Assays to Measure the Humoral Response to Antigens of Respiratory Syncytial Virus. PLoS ONE 11(4): e0153019. doi:10.1371/journal.pone.0153019 ¤ Current address: Bioanalytical Business & Operations, Genentech, South San Francisco, California, United States of America ¤b Current address: Clinical Viroloy, Gilead, Foster City, California, United States of America ¤c Current address: Global Biologics QC-Adventitious Agents and Critical Reagent Management, Genentech, South San Francisco, California, United States of America ¤d Current address: Pharmaceutical Operations, Medivation, San Francisco, California, United States of America ¤ Current address: Bioanalytical Business & Operations, Genentech, South San Francisco, California, United States of America ¤b Current address: Clinical Viroloy, Gilead, Foster City, California, United States of America ¤c Current address: Global Biologics QC-Adventitious Agents and Critical Reagent Management, Genentech, South San Francisco, California, United States of America ¤d Current address: Pharmaceutical Operations, Medivation, San Francisco, California, United States of America * if ld @ di ¤ Current address: Bioanalytical Business & Operations, Genentech, South San Francisco, California, United States of America ¤b Current address: Clinical Viroloy, Gilead, Foster City, California, United States of America ¤c Current address: Global Biologics QC-Adventitious Agents and Critical Reagent Management, Genentech, South San Francisco, California, United States of America ¤d Current address: Pharmaceutical Operations, Medivation, San Francisco, California, United States of America * maifelds@medimmune com Editor: Steven M. Varga, University of Iowa, UNITED STATES Editor: Steven M. Varga, University of Iowa, UNITED STATES Received: February 28, 2016 Accepted: March 22, 2016 Published: April 12, 2016 Copyright: © 2016 Maifeld 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. * maifelds@medimmune.com Received: February 28, 2016 Accepted: March 22, 2016 Published: April 12, 2016 Received: February 28, 2016 Accepted: March 22, 2016 Published: April 12, 2016 RESEARCH ARTICLE Development of Electrochemiluminescent Serology Assays to Measure the Humoral Response to Antigens of Respiratory Syncytial Virus Sarah V. Maifeld1*, Bodrey Ro1¤a, Hoyin Mok1, Marla Chu1, Li Yu2, Ryan Yamagata2, Tansy Leonardson3, Vera Chio3, Bandita Parhy1¤b, Samuel Park3¤c, Marcia Carlson4, Shushil Machhi5, Nancy Ulbrandt6, Ann R. Falsey7, Edward E. Walsh7, C. Kathy Wang1, Mark T. Esser8, Fengrong Zuo1¤d a1111 1 Applied Immunology and Microbiology, MedImmune, Mountain View, California, United States of America, 2 Non-clinical Biostatistics, MedImmune, Gaithersburg, Maryland, United States of America, 3 Vaccine and Analytical Sciences, MedImmune, Mountain View, California, United States of America, 4 Purification Process Sciences, MedImmune, Gaithersburg, Maryland, United States of America, 5 Cell Culture and Fermentation Sciences, MedImmune, Gaithersburg, Maryland, United States of America, 6 Department of Infectious Disease and Vaccines, Gaithersburg, California, United States of America, 7 Department of Medicine, University of Rochester School of Medicine and Dentistry, and Department of Medicine, Rochester General Hospital, Rochester, New York, United States of America, 8 Translational Medicine, MedImmune, Gaithersburg, Maryland, United States of America Abstract Sensitive and precise serology assays are needed to measure the humoral response to antigens of respiratory syncytial virus (RSV) following natural infection or vaccination. We developed and evaluated a collection of electrochemiluminescent (ECL) serology assays using four RSV antigens (F, N, Ga and Gb). To assess the merits of ECL technology, the four ECL serology assays were evaluated using a well-characterized “gold standard” panel of acute and convalescent serum samples from fifty-nine RSV-positive and thirty RSV-neg- ative elderly subjects (65 years old). The combined results from the four ECL assays dem- onstrated good concordance to the “gold standard” diagnosis, reaching 95% diagnostic sensitivity and 100% diagnostic specificity. Additionally, a combination of ECL assays pro- vided higher diagnostic sensitivity than a commercially available diagnostic ELISA or cell- based microneutralization assay. In summary, these data demonstrate the advantages of using ECL-based serology assays and highlight their use as a sensitive diagnostic approach to detect recent RSV infection in an elderly population. Copyright: © 2016 Maifeld et al. This is an open access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Introduction study sponsor, the sponsor participated in study design, data collection and analysis, decision to publish, and preparation of the manuscript. The specific roles of these authors are articulated in the 'author contributions' section. study sponsor, the sponsor participated in study design, data collection and analysis, decision to publish, and preparation of the manuscript. The specific roles of these authors are articulated in the 'author contributions' section. Respiratory syncytial virus (RSV) is a worldwide cause of severe lower respiratory tract infec- tions. Two distinct antigenic subtypes, RSV A and B, circulate independently or simultaneously to cause illness during annual RSV seasons [1]. Morbidity and mortality resulting from RSV infection are common in high-risk populations such as infants and young children [2], the elderly and individuals of all ages with cardiopulmonary disease or compromised immune sys- tems [3]. RSV infection is recognized as the primary cause of hospitalization for acute lower respiratory tract infection among infants worldwide, resulting in an estimated 2.1 million chil- dren receiving medical care each year in the U.S. [2]. Among adults over the age of 65, RSV infection contributes to over 170,000 hospitalizations and 14,000 deaths annually in the U.S [3]. Palivizumab, a neutralizing monoclonal antibody which recognizes the RSV fusion (F) pro- tein, is used for prevention of RSV disease in high-risk infants [4]; however, no prophylactic treatment such as a vaccine or monoclonal antibody is available for other susceptible popula- tions [5]. Competing Interests: The authors of this manuscript have read the journal's policy and have the following competing interests. SVM, BR, HM, M. Chu, LY, RY, TL, VC, BP, SP, M. Carlson, SM, NU, CKW, MTE and FZ are current or past employees of MedImmune. ARF receives research funding from ADMA Biologics, MedImmune, AstraZeneca and Sanofi Pasteur. EEW receives research funding from Gilead and MedImmune. ARF serves on advisory boards for Janssen GlaxoSmithKline, Novartis and Merck. EEW provides consulting services to GlaxoSmithKline, Alios Biopharma and Gilead. This does not alter the authors' adherence to PLOS ONE policies on sharing data and materials. Sensitive and specific assays to detect recent RSV infection are useful to understand the inci- dence of RSV infection and potentially identify a correlate of protection from epidemiology studies and vaccine clinical trials [6]. ECL Assays to Measure the Humoral Response to Antigens of RSV 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: ARF and EEW received a funding grant (R01-AI-45969) from the National Institutes of Health (http://www.nih.gov/) for the surveillance study. The National Institutes of Health had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. SVM, BR, HM, M. Chu, LY, RY, TL, VC, BP, SP, M. Carlson, SM, NU, CKW, MTE and FZ are current or past employees of MedImmune. Because of these authors' status as current or past employees of the 1 / 14 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 Introduction Although serology has been shown to be a more sensitive diagnostic approach than viral culture or RT-PCR in adult populations [7], existing serology assays, such as ELISA or cell-based microneutralization assays, have limitations. Colorimetric ELISA tests have a narrow dynamic range while cell-based microneutralization assays may have higher variability and are more labor intensive. For these reasons, we evaluated Meso Scale Discovery (MSD)’s electrochemiluminescence (ECL) technology platform for its reported wide dynamic range, improved analytical sensitivity and reduced non-specific background signal. Of the eleven proteins encoded by the RSV genome, we selected the fusion (F), nucleocapsid (N) and attachment (G) proteins for assay development using ECL technology. Both F and G antigens elicit neutralizing antibodies that can provide protection against subsequent infection [8], and RSV vaccines frequently include or express these antigens [9–11]. The use of F, N and G antigens to measure serum antibody levels from RSV exposure is well-documented [12–16]. Although the amino acid sequences of F and N are highly conserved between RSV A and B subtypes [17, 18], the sequence of G differs dramatically and provides the principle source of antigenic variation among circulating strains [19–23]. In order to measure G-specific antibod- ies regardless of the infecting strain’s subtype, we included G antigen from both RSV subtypes (Ga and Gb) as part of our diagnostic strategy. Four ECL assays (F, N, Ga and Gb IgG) were developed and evaluated for analytical and diagnostic performance [24]. To evaluate the diagnostic sensitivity and specificity of the four ECL assays, we assembled a well-characterized, “gold standard” panel of acute and conva- lescent serum samples from eighty-nine elderly (65 years old) participants of an RSV surveil- lance study [3]. Our results demonstrate that RSV antigen-specific serology assays using ECL technology have several advantages and provide an improved method to detect recent RSV infection in an elderly population. Human serum samples Archived acute and convalescent serum samples from elderly patients (65 years old) were selected from an RSV surveillance study [3]. Written informed consent was obtained from all participants prior to enrollment in the study and approved by the University of Rochester Institutional Review Board. The use of sera for immunologic and diagnostic testing in this study was specified by the written informed consent and approved by the University of Roches- ter Institutional Review Board. Twenty-nine subjects were categorized as “RSV A-positive” after nasopharyngeal samples tested positive for RSV A by RT-PCR and paired serum samples showed a 4-fold rise in serum titer by at least one ELISA assay (RSV F, Ga or Gb IgG). Thirty subjects were categorized as “RSV B-positive” after nasopharyngeal samples tested positive for RSV B by RT-PCR and paired serum samples showed a 4-fold rise in serum titer by at least one ELISA assay (RSV F, Ga or Gb IgG). Another 30 subjects, categorized as “RSV-negative,” were from patients with clinical respiratory symptoms but without laboratory evidence of recent RSV infection as demonstrated by negative RT-PCR results and paired serum samples showing a <4-fold rise in serum titer by ELISA (RSV F, Ga or Gb IgG). An additional 49 sub- jects tested negative by RT-PCR for either RSV A or B yet had paired serum samples showing a 4-fold rise in at least one ELISA assay. Thirty pediatric serum samples were purchased from Bioreclamation (Hicksville, NY). An adult human plasma sample was purchased from AllCells (Emeryville, CA) and subsequently used as the assay control for development and control trending purposes. Materials and Methods Reagents Ten milligrams (10 mg) of the extracellular domain of glycoprotein G from RSV A strain rsb1734 (95% homology to A2) was purchased from Sino Biological Inc (Beijing, China). The ectodomain of RSV glycoprotein G from RSV B strain B9320 was expressed with an N-terminal histidine tag in 293F cells. The supernatant containing the RSV Gb protein was affinity purified by Ni2+ chromatography using a Hi-Trap column (GE Health- care), followed by size exclusion chromatography using a Superdex 200 column (GE Health- care) to remove protein aggregates. Motavizumab was supplied by MedImmune (Gaithersburg, MD). Materials and Methods Reagents RSV antigens were expressed and purified to >90% purity, as determined by SDS-PAGE. Fifty milligrams (50 mg) of a soluble and post-fusion form of the F antigen from the RSV A2 strain was expressed in Chinese Hamster Ovary (CHO) cells and affinity purified with an anti-RSV F PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 2 / 14 ECL Assays to Measure the Humoral Response to Antigens of RSV monoclonal antibody (palivizumab, MedImmune, Gaithersburg, MD) [25]. The RSV F protein sequence is available in the GenBank database (http://www.ncbi.nlm.nih.gov/GenBank) under accession number KJ155694. One hundred milligrams (100 mg) of full length nucleocapsid protein N from the RSV A2 strain containing a GST tag with a thrombin cleavage site was expressed in Rosetta (DE3) E. coli using a pGEX-4T3 vector. The protein was purified using a GSTrapTM column (GE Healthcare) and a Butyl HP HiTripTM column (GE Healthcare) to remove excess nucleic acid. Ten milligrams (10 mg) of the extracellular domain of glycoprotein G from RSV A strain rsb1734 (95% homology to A2) was purchased from Sino Biological Inc (Beijing, China). The ectodomain of RSV glycoprotein G from RSV B strain B9320 was expressed with an N-terminal histidine tag in 293F cells. The supernatant containing the RSV Gb protein was affinity purified by Ni2+ chromatography using a Hi-Trap column (GE Health- care), followed by size exclusion chromatography using a Superdex 200 column (GE Health- care) to remove protein aggregates. Motavizumab was supplied by MedImmune (Gaithersburg, MD). Table 1. RSV ECL assay conditions. F N Ga Gb Antigen coating (ng) 10 30 20 10 SULFO-TAG antibody (μg/ml) 0.5 0.5 0.375 0.375 doi:10.1371/journal.pone.0153019.t001 Table 1. RSV ECL assay conditions. F N Ga Gb Antigen coating (ng) 10 30 20 10 SULFO-TAG antibody (μg/ml) 0.5 0.5 0.375 0.375 doi:10.1371/journal.pone.0153019.t001 Table 1. RSV ECL assay conditions. monoclonal antibody (palivizumab, MedImmune, Gaithersburg, MD) [25]. The RSV F protein sequence is available in the GenBank database (http://www.ncbi.nlm.nih.gov/GenBank) under accession number KJ155694. One hundred milligrams (100 mg) of full length nucleocapsid protein N from the RSV A2 strain containing a GST tag with a thrombin cleavage site was expressed in Rosetta (DE3) E. coli using a pGEX-4T3 vector. The protein was purified using a GSTrapTM column (GE Healthcare) and a Butyl HP HiTripTM column (GE Healthcare) to remove excess nucleic acid. ECL Assays to Measure the Humoral Response to Antigens of RSV and added to standard MSD 96-well plates (50 μL/well). Plates were sealed and stored at 4°C overnight or up to 3 days before use. Plates were blocked with 5% BSA in PBS (200 μL/well) and gently shaken for one hour at room temperature. Plates were washed using an AquaMax automated plate washer (Molecular Devices, Sunnyvale, CA). Human serum samples were pre- pared at an appropriate dilution (1:20 for pediatric samples or 1:1,000 for elderly samples) in dilution buffer (5% BSA, 2.5% CHAPS, 300 mM NaCl and 0.5% Tween-20 in PBS lacking cal- cium and magnesium). A minimum of 5 μL of sample was used to prepare the starting dilution. Samples were serially diluted in dilution buffer according to an 8-point, 3-fold dilution scheme using a BravoSRT automated liquid handler (Agilent Technologies, Santa Clara, CA). The seri- ally diluted samples (50 μL/well) were then transferred to MSD plates using the BravoSRT liq- uid handler followed by room temperature incubation with gentle shaking for one hour. After washing the plates, goat anti-human IgG SULFO-TAG antibody (Meso Scale Discovery, Gai- thersburg, MD) in dilution buffer (0.375–1.25 μg/ml) was added (50 μL/well) to the plates. and added to standard MSD 96-well plates (50 μL/well). Plates were sealed and stored at 4°C overnight or up to 3 days before use. Plates were blocked with 5% BSA in PBS (200 μL/well) and gently shaken for one hour at room temperature. Plates were washed using an AquaMax automated plate washer (Molecular Devices, Sunnyvale, CA). Human serum samples were pre- pared at an appropriate dilution (1:20 for pediatric samples or 1:1,000 for elderly samples) in dilution buffer (5% BSA, 2.5% CHAPS, 300 mM NaCl and 0.5% Tween-20 in PBS lacking cal- cium and magnesium). A minimum of 5 μL of sample was used to prepare the starting dilution. Samples were serially diluted in dilution buffer according to an 8-point, 3-fold dilution scheme using a BravoSRT automated liquid handler (Agilent Technologies, Santa Clara, CA). The seri- ally diluted samples (50 μL/well) were then transferred to MSD plates using the BravoSRT liq- uid handler followed by room temperature incubation with gentle shaking for one hour. After washing the plates, goat anti-human IgG SULFO-TAG antibody (Meso Scale Discovery, Gai- thersburg, MD) in dilution buffer (0.375–1.25 μg/ml) was added (50 μL/well) to the plates. RSV F/G IgG diagnostic ELISA Samples were tested using an FDA-exempt, RSV diagnostic ELISA kit (catalog number IB79280, IBL-America, Minneapolis, MN). Samples were appropriately diluted (e.g. 1:100 or 1:10,000) and run in the assay according to the manufacturer’s instructions. Serum titers were calculated based on the kit’s standard calibration curve using a 4-parameter logistic fit. Acute and convalescent serum samples were diluted until the acute sample fell within the assay range and at least 4-fold below the ULOQ (upper limit of quantitation) of the calibration curve. All sample pairs showing at least a 4-fold rise in ELISA titer were assigned a fold change value of 4. The product literature from the manufacturer (IBL-America) describes the interassay precision of the RSV F/G IgG ELISA as 10.7% and maximum inter-lot precision as 12.1%. Plates were gently shaken at room temperature for one hour. After washing the plates, 2X MSD Read Buffer T with surfactant (Meso Scale Discovery, Gaithersburg, MD) was added (150 μL/ well). Plates were scanned immediately on an MSD Sector Imager 6000. Relative light units (RLU) from each well were enumerated by MSD software, log10-transformed and plotted ver- sus the 8-point serial dilution scheme. The RSV antigen-specific IgG antibody titer of each serum sample was calculated using a simple linear regression and a cutoff fifteen-times the mean background signal of the plate. Final serum titers were calculated as the mean value from duplicate plates. Seroresponse following natural infection was defined as 4-fold rise of serum titer between acute and convalescent samples. PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 RSV ECL assays Each MSD plate contained up to ten serially diluted samples, one serially diluted assay control and eight blank wells in which no sample–only dilution buffer–was added. Duplicate samples were run on separate plates. A generalized protocol for the RSV F, N, Ga and Gb IgG ECL assays follows. Specific values of coated antigen and concentrations of goat anti-human IgG SULFO-TAG antibody are listed in Table 1. RSV antigen was diluted in PBS (0.2–0.6 μg/ml) 3 / 14 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 Development and characterization of four ECL assays We developed four ECL assays (RSV F, N, Ga and Gb IgG) to measure antigen-specific IgG responses following natural infection or vaccination with RSV vaccine clinical candidates. The optimal assay conditions, including the amount of coated antigen and concentration of SUL- FO-TAG antibody, were determined using the assay control, an individual human sample with a known RSV microneutralization titer (log2 IC50 = 9.9). Antigen titration experiments using three dilutions (1:25, 1:100 and 1:400) of the assay control revealed a significant “hook effect” at higher coating densities (Fig 1). The optimal assay conditions were those that maximized each assay’s linear range and minimized non-specific signal in background wells (Table 1). The linear range of each ECL assay was compared to an FDA-exempt, diagnostic F/G ELISA using the assay control as a representative sample (Fig 2). In contrast to the colorimetric TMB readout used in the diagnostic ELISA, the ruthenium-labeled detection antibody in the ECL assays can undergo multiple excitation cycles and generate a wider dynamic range than the diagnostic ELISA [28]. The Ga IgG ECL assay exhibited the widest linear range (6,496-fold) while the diagnostic ELISA showed the narrowest (47-fold). Next, the analytical sensitivity of the F IgG ECL assay was directly compared to the diagnos- tic ELISA using motavizumab, a humanized monoclonal antibody which binds to a neutraliz- ing epitope on RSV F (Table 2, S1 Fig) [29]. The binding of motavizumab was linear across a wider range in the F IgG ECL assay (39.8–35,481.3 pg/ml) than the diagnostic ELISA (851.1– 26,302.7 pg/ml). The lowest detectable concentration of motavizumab was approximately 40-fold lower in the F IgG ECL assay than the diagnostic ELISA, further confirming the bene- fits of ECL detection technology. Performance of the assay control was evaluated for each ECL assay using experiments from at least four different days and two analysts (S2 Fig). The percent coefficient of variability (% CV) of the RSV F, N, Ga and Gb IgG assays was 14.4%, 12.8%, 19.3% and 18.5%, respectively. These data show that the ECL assays are precise and suitable to measure the humoral response in human sera. Statistical analysis For experiments using motavizumab, the 4-parameter logistic model was used to determine the limit of detection (LOD) and the linear range for each assay [26]. Statistical significance was determined using a two-sample t-test between age groups. The numbers of true positives (TP), true negatives (TN), false positives (FP) and false negatives (FN) were used to calculate diagnostic sensitivity and specificity. Sensitivity was calculated as 100TP/(TP+FN); specificity was calculated as 100  TN/(TN+FP). Assay variability was estimated using a variance compo- nent model and reported as the percent coefficient of variability (% CV) [27]. Endpoint titers and the standard deviation of the log2 endpoint titers of the RSV ECL assay control were used in the calculations. Statistical analysis was performed using GraphPad Prism 6 software and SAS 9.0. RSV-GFP A2 microneutralization assay Heat-inactivated serum samples were serially diluted in DMEM (containing 2% L-Glutamine, 1% Pen/Strep and 1% NEAA) by a BravoSRT liquid handler. Equal volumes of the diluted sera were mixed with recombinant green fluorescent protein (GFP)-tagged RSV A2 virus at a con- centration of 500 plaque-forming units per well. This virus-serum mixture was incubated for one hour at 33°C and 5% CO2. The virus-serum mixture was transferred to 96-well clear bot- tom microplates containing Vero cells grown to confluency. Each cell plate contained up to ten serially diluted samples, one serially diluted assay control (pooled adult human serum) and eight negative control wells in which no sample–only dilution buffer–was added. The infected cell plates were incubated for 22 hours at 33°C and 5% CO2. The cell plates were washed with PBS and fluorescent foci were enumerated using an IsoCyteTM Reader (Blueshift Biotechnolo- gies, Sunnyvale, CA). Neutralization titers were calculated using a four-parameter logistic model and reported as log2 IC50 values. Trending of the RSV microneutralization assay control showed a 28% CV from experiments (n = 1,567) conducted over 793 days by six analysts. 4 / 14 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 ECL Assays to Measure the Humoral Response to Antigens of RSV ECL Assays to Measure the Humoral Response to Antigens of RSV Fig 1. Representative example of an antigen titration experiment to determine optimal coating density. For each antigen, a stock solution was serially diluted and coated onto 96-well MSD plates. In this example, three dilutions of the assay control (MN log2 IC50 titer = 9.9) were tested at a fixed concentration of goat anti-human IgG SULFO-TAG antibody (0.5 ug/ml). Symbols represent mean values from eight replicates. doi:10 1371/journal pone 0153019 g001 Fig 1. Representative example of an antigen titration experiment to determine optimal coating density. For each antigen, a stock solution was serially diluted and coated onto 96-well MSD plates. In this example, three dilutions of the assay control (MN log2 IC50 titer = 9.9) were tested at a fixed concentration of goat anti-human IgG SULFO-TAG antibody (0.5 ug/ml). Symbols represent mean values from eight replicates. Fig 1. Representative example of an antigen titration experiment to determine optimal coating density. For each antigen, a stock solution was serially diluted and coated onto 96-well MSD plates. In this example, three dilutions of the assay control (MN log2 IC50 titer = 9.9) were tested at a fixed concentration of goat anti-human IgG SULFO-TAG antibody (0.5 ug/ml). Symbols represent mean values from eight replicates. doi:10.1371/journal.pone.0153019.g001 doi:10.1371/journal.pone.0153019.g001 varied widely. The mean serum titer was higher in the elderly group than the infant group for each assay. The infant population exhibited a wider range of serum titers, with the largest dif- ference (>14,000-fold, 13.8 log2) observed in the RSV F IgG ECL assay. As these results dem- onstrate, the wide dynamic range of ECL assays is well-suited to measure the variation of RSV- specific IgG antibody levels in infant and elderly serum. RSV-specific IgG antibody levels in infants (2–24 months) and elderly (65 years old) The RSV F, N, Ga and Gb IgG ECL assays were used to measure and compare RSV antigen- specific IgG antibody levels in infant and elderly populations. Thirty serum samples from infants (2–24 months) and 138 acute-phase serum samples from elderly (65 years old) patients were tested in each of the four assays (Fig 3). Overall, antibody levels to RSV antigens 5 / 14 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 ECL Assays to Measure the Humoral Response to Antigens of RSV Fig 2. Linear range comparison between RSV ECL assays and a diagnostic RSV F/G ELISA. The assay control was used to illustrate the linear range of the four ECL assays and the diagnostic F/G ELISA. Linearity samples were prepared from the assay control and serially diluted before addition to the MSD or ELISA plates. MSD RLU or ELISA OD (optical density) values were log10-transformed and plotted versus the log10-transformed sample dilution. The upper and lower limits of the linear range were calculated using a 4-parameter logistic model and marked by dashed red lines. The fold difference was calculated for each assay as the ratio between limits of the linear range. Fig 2. Linear range comparison between RSV ECL assays and a diagnostic RSV F/G ELISA. The assay control was used to illustrate the linear range of the four ECL assays and the diagnostic F/G ELISA. Linearity samples were prepared from the assay control and serially diluted before addition to the MSD or ELISA plates. MSD RLU or ELISA OD (optical density) values were log10-transformed and plotted versus the log10-transformed sample dilution. The upper and lower limits of the linear range were calculated using a 4-parameter logistic model and marked by dashed red lines. The fold difference was calculated for each assay as the ratio between limits of the linear range. doi:10.1371/journal.pone.0153019.g002 thirty RSV-negative individuals with zero false positives. The F IgG ECL assay demonstrated the highest diagnostic sensitivity (80%) by identifying 47 of the 59 RSV-positive individuals. The F IgG ECL assay performed slightly better than the diagnostic ELISA containing both F and G antigens (46 subjects, 78% sensitivity). The microneutralization assay had the lowest diagnostic sensitivity (68%), identifying 40 of the 59 RSV-positive individuals. Seroresponse to the four RSV antigens, defined by a 4-fold rise in antibody titer, varied in the RSV-positive subjects (Fig 4B). Twenty-nine individuals showed seroresponse in all four ECL assays; five subjects showed seroresponse in just one assay (F: 1; N: 1; Ga: 3). Three sub- jects did not show seroresponse in any of the four ECL assays, although two of these subjects showed ˃3-fold rise in the Ga or Gb IgG assays. Seroresponse to RSV antigens following natural Table 2. Analytical sensitivity using an anti-RSV F neutralizing monoclonal antibody (motavizumab). Diagnostic performance of the RSV ECL assays in an elderly population The RSV F, N, Ga and Gb IgG ECL assays were used in a diagnostic proof-of-concept study to identify recent RSV infections in eighty-nine elderly patients (65 years old) enrolled in an RSV surveillance study. A “gold standard” panel of acute and convalescent serum pairs from 59 RSV-positive patients and 30 RSV-negative patients were tested in the four ECL assays, a cell-based RSV microneutralization assay and an F/G IgG diagnostic ELISA assay (Fig 4A). Following the historical precedent, a 4-fold rise between acute and convalescent serum titers was considered a biomarker of RSV infection [30]. The ability of each assay to correctly identify RSV-positive and RSV-negative subjects against the “gold standard” was evaluated (Table 3). All assays demonstrated excellent diagnostic specificity (100%) by correctly identifying the 6 / 14 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 ECL Assays to Measure the Humoral Response to Antigens of RSV Fig 3. Comparison of infant and elderly serum samples in four ECL assays. The mean log2 titer is represented for each group. The dashed line represents the lower limit of quantitation (log2 20 = 4.32). Significance between age groups was determined using a two sample t-test. d i 10 1371/j l 0153019 003 Fig 3. Comparison of infant and elderly serum samples in four ECL assays. The mean log2 titer is represented for each group. The dashed line represents the lower limit of quantitation (log2 20 = 4.32). Significance between age groups was determined using a two sample t-test. Fig 3. Comparison of infant and elderly serum samples in four ECL assays. The mean log2 titer is represented represents the lower limit of quantitation (log2 20 = 4.32). Significance between age groups was determined using a doi:10.1371/journal.pone.0153019.g003 doi:10.1371/journal.pone.0153019.g003 infection varied by individual, and the combination of results from more than one ECL assay increased the diagnostic sensitivity. Pairing the F IgG ECL assay with either the N or Ga assay increased the diagnostic sensitivity from 80% to 90%. Fifty-five RSV-positive subjects showed seroresponse in either the N or Ga IgG ECL assays (93% sensitivity). The combined results from three ECL assays, such as F, Ga and Gb or N, Ga and Gb, identified the same number yet slightly different populations of RSV-positive subjects (55, 93% sensitivity). Finally, the combi- nation of the four ECL assays (F, N, Ga and Gb) identified 56 of the 59 RSV-positive subjects (95% sensitivity). Homosubtypic and heterosubtypic antibody responses were examined in the Ga and Gb IgG ECL assays based on the subtype of infecting virus (Fig 4C). Elderly subjects with RSV A or B infections generated significant levels of cross-reactive antibodies to G protein of either subtype. Of the RSV A-positive subjects (n = 29), twenty-six showed seroresponse in the Ga assay (90%). Of those 26 elderly subjects, 20 showed seroresponse in the Gb assay. A similar trend was observed for the 30 RSV B-infected subjects. Of the 22 elderly subjects showing 4-fold rise in Gb IgG titer (73%), 16 subjects showed seroresponse in the Ga assay. Overall, the fold change was greater when the antigen of the G assay was homologous to the infecting strain. The mean fold change from paired serum samples from RSV A-infected elderly subjects was higher in the Ga assay than the Gb assay (13.1 versus 6.2, respectively). Similarly, the mean fold change from paired serum samples from RSV B-infected subjects was greater in the Gb assay than the Ga assay (8.1 versus 4.7, respectively). Limit of detection (pg/ml) Lower limit of quantitation (pg/ml) Upper limit of quantitation (pg/ml) Fold Difference of the Linear Range RSV F IgG 6.2 39.8 35,481.3 891.5 RSV F/G IgG ELISA 245.4 851.1 26,302.7 30.9 doi:10.1371/journal.pone.0153019.t002 Table 2. Analytical sensitivity using an anti-RSV F neutralizing monoclonal antibody (motavizumab). PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 7 / 14 ECL Assays to Measure the Humoral Response to Antigens of RSV Fig 4. Seroresponse of naturally infected elderly subjects. (A) The fold change of serum titers between acute and convalescent serum samples from elderly subjects (59 RSV-positive, 30 RSV-negative) was measured by four ECL assays, a microneutralization assay and a diagnostic ELISA. A four-fold rise in serum titer, marked by a red dashed line, was used to indicate seroresponse following natural infection. Due to the limited dynamic range of the diagnostic F/G ELISA, acute and convalescent serum samples were diluted until the acute sample fell within the assay range and at least 4-fold below the ULOQ. To simplify the testing and analysis, all sample pairs showing at least a four-fold rise in ELISA titer were assigned a fold change value of four. (B) A Venn diagram illustrates the seroresponse profiles to RSV F, N, Ga and Gb from RSV-positive elderly subjects (n = 59), as measured by ECL assays. A 4-fold rise in serum titer was used to indicate seroresponse following natural infection. Three subjects did not show a 4-fold rise in any ECL assay. The Venn diagram was prepared by Venny software http://bioinfogp.cnb.csic.es/tools/venny/index.htm (C) Scatterplot showing the fold change between acute and convalescent serum pairs of RSV A (n = 29) and RSV B (n = 30) positive elderly subjects, as measured by RSV Ga and Gb IgG ECL assays. Fig 4. Seroresponse of naturally infected elderly subjects. (A) The fold change of serum titers between acute and convalescent serum samples from elderly subjects (59 RSV-positive, 30 RSV-negative) was measured by four ECL assays, a microneutralization assay and a diagnostic ELISA. A four-fold rise in serum titer, marked by a red dashed line, was used to indicate seroresponse following natural infection. Due to the limited dynamic range of the diagnostic F/G ELISA, acute and convalescent serum samples were diluted until the acute sample fell within the assay range and at least 4-fold below the ULOQ. To simplify the testing and analysis, all sample pairs showing at least a four-fold rise in ELISA titer were assigned a fold change value of four. (B) A Venn diagram illustrates the seroresponse profiles to RSV F, N, Ga and Gb from RSV-positive elderly subjects (n = 59), as measured by ECL assays. A 4-fold rise in serum titer was used to indicate seroresponse following natural infection. Discussion The development of sensitive and specific serology assays to measure levels of RSV-specific antibodies elicited by vaccines or natural infection required the appropriate choice of RSV anti- gens and assay platform. Recombinantly expressed and purified RSV viral proteins (F, N, Ga and Gb) were selected based on their documented immunogenicity following natural infection [12–16], relevance to vaccine clinical candidates [31–33] and sequence homology between sub- types [17,18, 20]. Because levels of RSV F, N, Ga and Gb-specific antibodies can vary widely in individuals and in response to infection or vaccination, we chose MSD’s ECL assay platform for its wide dynamic range, minimal non-specific background signals and low limits of detec- tion. The development of four RSV ECL assays (F, N, Ga and Gb IgG) highlighted the 8 / 14 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 ECL Assays to Measure the Humoral Response to Antigens of RSV Table 3. Comparison of diagnostic sensitivity of RSV serology assays a,b. # of subjects (total = 59) Sensitivity (%) Existing serology assays Microneutralization (MN) 40 68 F/G ELISA 46 78 One ECL assay F 47 80 N 46 78 Ga 42 71 Gb 42 71 Combination of ECL assays F or N 53 90 F or Ga 53 90 F or Gb 51 86 N or Ga 55 93 N or Gb 51 86 Ga or Gb 48 81 F or Ga or Gb 55 93 N or Ga or Gb 55 93 F or N or Ga or Gb 56 95 F or N or Ga or Gb or MN 56 95 a Analysis of 59 RSV-positive elderly subjects b Seroresponse determined by a 4-fold rise in serum titer Table 3. Comparison of diagnostic sensitivity of RSV serology assays a,b. a Analysis of 59 RSV-positive elderly subjects b Seroresponse determined by a 4-fold rise in serum titer a Analysis of 59 RSV-positive elderly subjects b Seroresponse determined by a 4-fold rise in serum titer doi:10.1371/journal.pone.0153019.t003 (motavizumab) was spiked into PBS to compare the analytical sensitivity of the F IgG ECL assay to the diagnostic ELISA. ECL detection lowered the limit of detection for motavizumab nearly 40-fold. (motavizumab) was spiked into PBS to compare the analytical sensitivity of the F IgG ECL assay to the diagnostic ELISA. ECL detection lowered the limit of detection for motavizumab nearly 40-fold. A survey of RSV F, N, Ga and Gb-specific IgG antibody levels in infant and elderly serum illustrated the benefits of using ECL assays with a wide dynamic range. The elderly group exhibited a higher mean serum titer than the infant group in each of the ECL assays. This observation was not unexpected since immunity following primary infection is incomplete and subsequent infections occur throughout life [34,35]. The infants exhibited a wider range of serum titers possibly due to the waning presence of maternal antibodies and the response to primary or recurrent infections [36–38]. The four ECL assays, a cell-based microneutralization assay and an F/G IgG diagnostic ELISA assay were evaluated in a diagnostic proof-of-concept study using a well-characterized “gold standard” panel of acute and convalescent phase serum samples from eighty-nine elderly subjects. Fifty-nine subjects had documented RSV infection (i.e. Three subjects did not show a 4-fold rise in any ECL assay. The Venn diagram was prepared by Venny software http://bioinfogp.cnb.csic.es/tools/venny/index.htm (C) Scatterplot showing the fold change between acute and convalescent serum pairs of RSV A (n = 29) and RSV B (n = 30) positive elderly subjects, as measured by RSV Ga and Gb IgG ECL assays. doi:10.1371/journal.pone.0153019.g004 doi:10.1371/journal.pone.0153019.g004 advantages of ECL technology over a commercially available, diagnostic F/G ELISA assay using a colorimetric readout. When the assay control was used as a representative sample, the ECL assays had a linear range 23- to 138-times wider than the diagnostic ELISA. In the absence of a truly RSV negative serum, an RSV F-specific neutralizing monoclonal antibody 9 / 14 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 ECL Assays to Measure the Humoral Response to Antigens of RSV were identified (98% sensitivity). The lack of complete concordance to the “gold standard” panel could be due to repeated freeze-thaw cycles or prolonged storage of the samples. Because the paired serum samples in the “gold standard” panel came from subjects previ- ously categorized as RSV-positive or negative by both RT-PCR and ELISA tests, the sample panel provided a strong benchmark for our diagnostic proof-of-concept study. Future work may expand on the diagnostic capabilities of ECL serology assays by analyzing samples from participants with positive RT-PCR results but negative ELISA results. A previous study showed lower baseline levels of serum IgG antibodies to F, Ga and Gb in subjects who subsequently became RSV infected than age-matched controls who did not develop RSV infection [41]; how- ever, there was no significant difference in titers of acute phase sera from RSV-positive or nega- tive subjects selected for our study. For the samples used in this study, acute phase serum samples collected upon hospitalization may not have accurately reflected the baseline serum status since levels of antibodies in the elderly can rise rapidly following reinfection with RSV [42]. Although group- and strain-specific responses to G antigen have been observed in infants and children [43–45], the Ga and Gb assays measured substantial cross-reactive antibodies in serum from RSV A and B-infected elderly subjects [46]. This observation can likely be attrib- uted to serum antibodies directed toward a stretch of 13 amino acids within the G protein’s central unglycosylated region that is universally conserved in all clinical isolates [19]. In summary, we have developed a collection of four sensitive and precise serology assays using ECL technology to measure IgG antibody responses following exposure to antigens of RSV. Previously, we used the F IgG ECL assay to measure vaccine response and the Ga and Gb assays to detect RSV infection in pediatric populations [33]. The RSV F, N, Ga and Gb IgG ECL assays described in this study were used to diagnose recent RSV infection in elderly patients using acute and convalescent serum samples collected during a period of respiratory illness. This serological approach may provide a complimentary method to diagnosing RSV infection in elderly patients by RT-PCR or viral culture [7]. Adults are known to shed lower amounts of virus and for shorter windows of time than younger patients, rendering diagnosis of RSV infection using RT-PCR or viral culture difficult if the sample is not collected during the window of viral shedding [47]. Although serologic testing does not offer real-time diagno- sis, it is well-suited to the defined sample collection schedules of epidemiology studies or clini- cal trials. The performance and demonstrated clinical utility of the RSV F, N, Ga and Gb ECL assays suggest that a multiplex serology assay containing these antigens would improve effi- ciency during clinical sample testing by decreasing the required sample volumes and reducing time and labor costs. Results from development and qualification experiments of a multiplex serology assay using MSD’s ECL technology will be reported shortly. RSV-positive) while an addi- tional thirty subject were not infected by RSV (i.e. RSV-negative). The combined results from the four ECL assays demonstrated good concordance to the “gold standard” diagnosis (95% sensitivity, 100% specificity) and surpassed the diagnostic sensitivity of an RSV microneutrali- zation assay or a diagnostic ELISA. The F IgG ECL assay demonstrated the highest diagnostic sensitivity (80%), performing better than the microneutralization assay (68% sensitivity) and the diagnostic F/G ELISA (78% sensitivity). The lower diagnostic sensitivity of the microneu- tralization assay may be partly explained by the assay’s measurement of functional antibodies that neutralize infectivity rather than the functional and non-functional antibodies measured by the ECL assays and the diagnostic ELISA [39,40]. A 4-fold rise in RSV antigen-specific antibody level for at least one ECL assay was demonstrated in 95% of the elderly subjects. Nota- bly, the diagnostic specificity remained excellent (100%) when the seroresponse threshold was lowered to 3-fold rise in serum titer. At this threshold, 58 of the 59 RSV-positive subjects PLOS ONE | DOI:10.1371/journal.pone.0153019 April 12, 2016 10 / 14 References 1. Falsey AR, McElhaney JE, Beran J, van Essen GA, Duval X, Esen M, et al. Respiratory syncytial virus and other respiratory viral infections in older adults with moderate to severe influenza-like illness. J Infect Dis. 2014; 209: 1873–1881. doi: 10.1093/infdis/jit839 PMID: 24482398 2. 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Critically reviewed the manuscript: SVM BR HM M. Chu LY NU ARF EEW CKW MTE FZ. Supporting Information S1 Fig. Titration of motavizumab using an (A) RSV F IgG ECL assay or an (B) RSV F/G IgG diagnostic ELISA. Four concentrations of motavizumab were serially diluted and added to MSD or ELISA plates. MSD RLU or OD (optical density) values were log10-transformed and plotted versus the log10-transformed concentration of motavizumab (ng/ml). The upper and lower limits of the linear range were calculated using a 4-parameter logistic fit and marked by dashed red lines. S2 Fig. Performance trending of the assay control. RSV F IgG (n = 323, 14.4% CV); RSV N IgG (n = 66, 12.8% CV); RSV Ga IgG (n = 209, 19.3% CV); RSV Gb IgG (n = 391, 18.5% CV). (TIF) S2 Fig. Performance trending of the assay control. RSV F IgG (n = 323, 14.4% CV); RSV N IgG (n = 66, 12.8% CV); RSV Ga IgG (n = 209, 19.3% CV); RSV Gb IgG (n = 391, 18.5% CV). 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Rac1 Guides Porf-2 to Wnt Pathway to Mediate Neural Stem Cell Proliferation
Frontiers in molecular neuroscience
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Xi-Tao Yang1,2,3†, Guo-Hui Huang1,2†, Hong-Jiang Li1,2, Zhao-Liang Sun1,2, Nan-Jie Xu4,5,6* and Dong-Fu Feng1,2* Xi-Tao Yang1,2,3†, Guo-Hui Huang1,2†, Hong-Jiang Li1,2, Zhao-Liang Sun1,2, Nan-Jie Xu4,5,6* and Dong-Fu Feng1,2* Xi-Tao Yang1,2,3†, Guo-Hui Huang1,2†, Hong-Jiang Li1,2, Zhao-Liang Sun1,2, Nan-Jie Xu4,5,6* and Dong-Fu Feng1,2* 1 Department of Neurosurgery, Shanghai Ninth People’s Hospital, Shanghai Jiao Tong University School of Medicine, Shanghai, China, 2 Institute of Traumatic Medicine, Shanghai Jiao Tong University School of Medicine, Shanghai, China, 3 Department of Interventional Radiotherapy, Shanghai Ninth People’s Hospital, Shanghai Jiao Tong University School of Medicine, Shanghai, China, 4 Neuroscience Division, Department of Anatomy, Histology and Embryology, Shanghai Jiao Tong University School of Medicine, Shanghai, China, 5 Shanghai Key Laboratory for Tumor Microenvironment and Inflammation, Department of Biochemistry and Molecular Cell Biology, Shanghai Jiao Tong University School of Medicine, Shanghai, China, 6 Key Laboratory of Cell Differentiation and Apoptosis of the Chinese Ministry of Education, Shanghai Jiao Tong University School of Medicine, Shanghai, China The molecular and cellular mechanisms underlying the anti-proliferative effects of preoptic regulator factor 2 (Porf-2) on neural stem cells (NSCs) remain largely unknown. Here, we found that Porf-2 inhibits the activity of ras-related C3 botulinum toxin substrate 1 (Rac1) protein in hippocampus-derived rat NSCs. Reduced Rac1 activity impaired the nuclear translocation of β-catenin, ultimately causing a repression of NSCs proliferation. Porf-2 knockdown enhanced NSCs proliferation but not in the presence of small molecule inhibitors of Rac1 or Wnt. At the same time, the repression of NSCs proliferation caused by Porf-2 overexpression was counteracted by small molecule activators of Rac1 or Wnt. By using a rat optic nerve crush model, we observed that Porf-2 knockdown enhanced the recovery of visual function. In particular, optic nerve injury in rats led to increased Wnt family member 3a (Wnt3a) protein expression, which we found responsible for enhancing Porf-2 knockdown-induced NSCs proliferation. These findings suggest that Porf-2 exerts its inhibitory effect on NSCs proliferation via Rac1-Wnt/β-catenin pathway. Porf-2 may therefore represent and interesting target for optic nerve injury recovery and therapy. ORIGINAL RESEARCH published: 02 June 2017 doi: 10.3389/fnmol.2017.00172 Edited by: Alessandro Prigione, Max Delbrück Center for Molecular Medicine (HZ), Germany Edited by: Alessandro Prigione, Max Delbrück Center for Molecular Medicine (HZ), Germany Reviewed by: Daniele Bottai, Università degli Studi di Milano, Italy Alessandro Sessa, San Raffaele Hospital (IRCCS), Italy *Correspondence: Nan-Jie Xu xunanjie@shsmu.edu.cn Dong-Fu Feng drneuro@163.com †These authors have contributed equally to this work. Reviewed by: Daniele Bottai, Università degli Studi di Milano, Italy Alessandro Sessa, San Raffaele Hospital (IRCCS), Italy Keywords: RhoGAPs, Porf-2, Wnt/β-catenin pathway, neural stem cells, optic nerve injury INTRODUCTION Received: 06 January 2017 Accepted: 16 May 2017 Published: 02 June 2017 Citation: Yang X -T, Huang G-H, Li H -J, Sun Z -L, Xu N -J and Feng D -F (2017) Rac1 Guides Porf-2 to Wnt Pathway to Mediate Neural Stem Cell Proliferation. Front. Mol. Neurosci. 10:172. doi: 10.3389/fnmol.2017.00172 Received: 06 January 2017 Accepted: 16 May 2017 Published: 02 June 2017 The loss of retinal ganglion cells, caused by various diseases including optic nerve injury, results in visual dysfunction and can even cause blindness (Berkelaar et al., 1994; Quigley et al., 1995; Bien et al., 1999). Unfortunately, the standard therapeutic strategy for the treatment of optic nerve injury is absent. Neural stem cells (NSCs) can be isolated, proliferated, genetically manipulated and differentiated and reintroduced into pathologically altered central nerve system (CNS), which have been considered a potential therapeutic approach that may restore or sustain retinal function and prevent blindness in patients with optic nerve injury (Nishida et al., 2000; Banin et al., 2006; Harvey et al., 2006; Muller et al., 2006; Bi et al., 2009; Yang et al., 2014). However, Isolation, Culture, and Identification of NSCs During the experiments, animal handling was performed according to the guidelines of the Animal Care Committee of the Shanghai Jiao Tong University School of Medicine. The isolation, culture, and identification of NSCs were done according to our earlier published studies (Yang et al., 2014). Briefly, pregnant Sprague–Dawley rats (Shanghai Experimental Animal Center, Shanghai, China) were deeply anesthetized with a mixture of ketamine and xylazine (3:1 ratio) and carefully dissected to get embryos (embryonic day 14). The tissues were placed to cold phosphate-buffered saline (PBS), and hippocampus were carefully dissociated. The hippocampus cells were incubated in Dulbecco’s modified Eagle’s medium-F12 medium supplemented with 1% N2, 2% B27 supplement, 2 mmol/l glutamine, 20 ng/ml epidermal growth factor (EGF), 20 ng/ml basic fibroblast growth factor (bFGF), 100 U/ml penicillin, and 100 µg/ml streptomycin. EGF and bFGF were removed from the growth medium to induce differentiation, and the medium was supplemented with 1% fetal bovine serum (FBS). A single-cell suspension was prepared from the neurospheres by trypsinization, and then the cells were ready for subsequent study. Preoptic regulatory factor-2 (Porf-2), also named as Cross GTPase-activating protein (CrossGAP)/Vilse, was first discovered from the preoptic area of the hypothalamus of the castrated male rat (Nowak, 1990). Porf-2 can strongly and specifically down-regulate the activity of Rac1 to mediate midline axon guidance and dendritic spine formation (Lundstrom et al., 2004; Hu et al., 2005; Lim et al., 2014). Previously, we have demonstrated the role of Porf-2 in NSCs proliferation possibly via Wnt signaling (Huang et al., 2016). However, whether and how Porf-2 functions through Wnt are still not fully determined. The molecular interaction or signaling pathway remains to be explored. Thus, more solid and rescue assay are needed to elucidate its function on NSCs’ behavior. In addition to its physiological role, the function of Porf-2 on pathological conditions, such as optic nerve injury-based NSCs transplantation, has not been elucidated yet, which may provide us a new insight into targeting CNS repair. All the methods were in accordance with the approved guidelines and all the experimental protocols were approved and monitored by the Animal Care Committee of the Shanghai Jiao Tong University School of Medicine. The Wnt/β-catenin signaling pathway takes part in the proliferation of stem/progenitor cells and neural regeneration (Ming and Song, 2011; Zhang et al., 2011; Faigle and Song, 2013; Bengoa-Vergniory et al., 2014). EXPERIMENTAL PROCEDURES engrafted NSCs usually could differentiate into glial cells rather than neurons in vivo, limiting their therapeutic effects (Zhou et al., 2009). Moreover, poor survival and poor proliferation rate have also limited the practical use of NSCs-based therapy (Lu et al., 2008; Carreira et al., 2014). Therefore, identifying molecules that can inhibit NSCs proliferation and deciphering the underlying cellular and molecular mechanisms of NSCs proliferation may help in the development of NSCs-based therapies. engrafted NSCs usually could differentiate into glial cells rather than neurons in vivo, limiting their therapeutic effects (Zhou et al., 2009). Moreover, poor survival and poor proliferation rate have also limited the practical use of NSCs-based therapy (Lu et al., 2008; Carreira et al., 2014). Therefore, identifying molecules that can inhibit NSCs proliferation and deciphering the underlying cellular and molecular mechanisms of NSCs proliferation may help in the development of NSCs-based therapies. Isolation, Culture, and Identification of NSCs Nuclear localization of β-catenin plays a critical role in the canonical Wnt signaling (Inoue et al., 2006). When Wnt signaling is activated, GSK-3β becomes inactivated, and β-catenin is stabilized, accumulates in the cytosol, and is translocated into the nucleus. In the nucleus, β-catenin complexes with T-cell factor/lymphoid enhancer factor-1 (TCF/LEF-1) and regulates proliferation-related gene expression to induce cell proliferation (Tiwari et al., 2014). Rac1, a member of small Rho GTPases, acts as a binary molecular switch and transduce upstream signals to downstream effectors by alternating between the “on” GTP-bound and the “off” GDP-bound states (Schmitz et al., 2000), which has been demonstrated to be involved in NSCs proliferation (Leone et al., 2010) and control the nuclear localization of β-catenin during canonical Wnt signaling in mouse embryonic limb bud ectoderm (Wu et al., 2008). Frontiers in Molecular Neuroscience | www.frontiersin.org Citation: June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 1 Yang et al. Effect of Porf-2 on NSCs Rac1 Activation Assay Rac1 activity was assessed using the Rac1 Activation Assay Kit (Millipore) according to the manufacturer’s instructions. Briefly, cell lysates were clarified by centrifugation at 14,000 × g at 4◦C for 10 min. Equal volumes of lysates were incubated with beads to pull down activated Rac1 proteins. After incubation at 4◦C for 1 h, the beads were washed three times with cold MLB buffer. The Rac1 proteins were eluted with sample buffer and subjected to sodium dodecyl sulfate–polyacrylamide gel electrophoresis (SDS–PAGE). Western blot was analyzed using anti-Rac1 antibodies (Millipore). GAPDH was used as a housekeeping gene for normalization. ntivirus and Lentiviral Transfection To knock down or overexpress Porf-2, NSCs were transfected with Porf-2 shRNA lentiviruses or lentiviruses that overexpressed Porf-2, and the cells were subjected to puromycin selection. The procedure using lentiviral vectors has been approved by the Institutional Biosafety Committee of the Shanghai Jiao Tong University School of Medicine. The rat Porf-2 shRNA sequence: GCGATGGAACTCTGGTAATAA. The overexpression sequence are consistent with the cDNA of rat full-length Porf-2/Arghap39 in GenBank (NM_173122.3). Recombinant lentiviruses were produced by co-transfecting 293T cells with pHBLV-Porf- 2 shRNA-U6-Zsgreen or pLenti-Porf-2-Ubc-EGFP-3FLAG expression plasmid and packaging plasmids. 293T cells were incubated in a 6-well plate with 6.25 × 105 cells in 2 ml of culture medium per well 24 h before transfection. When the cells reached 70% confluence, 1 µg of pHBLV-Porf-2 shRNA-U6-Zsgreen or shRNA pHBLV-U6-Zsgreen, psPAX2, and pMD2.G mix (at a ratio of 2:1:1) and 6 µl of Fugene R⃝6 transfection reagent were added into each well for knockdown co-transfection. For overexpression, pLenti-Porf-2-Ubc-EGFP-3FLAG or pLenti- Ubc-EGFP-3FLAG, PLP1, PLP2, and PLP/VSVG mix (at a ratio of 2:1:1:1) and 6 µl of Fugene R⃝6 transfection reagent (Roche) were added. Cells were seeded at 37◦C in a 5% CO2 incubator for 16–18 h and then re-fed with viral harvest medium at 1.5 ml per well. Viral particles were harvested 42 h post-transfection by collecting the medium and filtering Here, we explored the effect of rat Porf-2 on NSCs proliferation and neuronal differentiation in vitro and in the retina. We develop a novel strategy for inhibiting primary NSCs proliferation via Porf-2. By using combined signal inhibitor and activators, we elucidated the molecular and cellular mechanisms by which Porf-2 exerts its effects. We show that Porf-2 interacts directly with Rac1, regulates the nuclear localization of β-catenin, and mediates NSCs proliferation. Additionally, by targeting Porf-2, the NSCs proliferation is increased and the visual function recovery is significantly improved in optic nerve injury rats. June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 2 Effect of Porf-2 on NSCs Yang et al. through a 0.45-µm filter. The particles were ready for immediate transduction. sucrose, the cells were washed and incubated with 0.5% Triton X-100/PBS for 30 min at room temperature (RT). The cells were permeabilized using the Click-iT reaction cocktail [1x with 87.5% (v/v) Click-iT Reaction Buffer, 2% (v/v) CuSO4, 0.05% (v/v) fluorescent azide (Alexa Fluor 647), and 10% (v/v) Reaction Buffer Additive]. Proliferation Assay The proliferation of NSCs was determined using a CCK-8 assay, a sensitive non-radioactive colorimetric assay (Beyotime, China). NSCs were dissociated mechanically and seeded into 96-well plates (5 × 103 cells/well), and cells were cultured with growth medium for different periods of time (1, 2, 3, 4, 5, 6, 7, 10, or 14 days). CCK-8 solution was added to the cell culture medium to a final concentration of 10 µl per 100 µl of medium and incubated at 37◦C in 5% CO2 in air. Absorbance was measured 4 h later at a wavelength of 450 nm using a microplate reader (ELx800, BioTek Instruments Inc.). Neural stem cells proliferation was also analyzed by EdU assay. EdU was added to the cultured NSCs 4 h before cell fixation. The EdU incorporated cells were proceed for immunofluorescence. Following a 20-min fixation with 4% paraformaldehyde/4% Neurosphere Growth Kinetics Assay Neurosphere Growth Kinetics Assay In order to assess the effects of Porf-2 knockdown or overexpression on cell proliferation and neurosphere formation, the neurosphere growth kinetics assay was used. In brief, a single-cell suspension was incubated in a 12-well plate at a density of 50 000 cells/well in neurobasal medium containing B-27, N-2, bFGF, and EGF. The number and size of neurospheres in all the groups were taken under an Olympus CK-40 microscope (Olympus, Tokyo, Japan) and analyzed using NIS Elements BR imaging software. ntivirus and Lentiviral Transfection The cells were washed and immunocytochemistry was conducted. Neurospheres were dissociated into single cells before transduction, subcultured into 24-well plates at a concentration of 2–6 × 104 cells/well, and grown in an incubator at 37◦C with 5% CO2 in air for 24 h. The supernatant containing the pHBLV-Porf-2 shRNA-U6-Zsgreen or pLenti-Porf-2-Ubc-EGFP- 3FLAG vector was added into the NSCs-containing wells at five times the multiplicity of infection (MOI = 5). After incubation for 8 h, the medium was replaced. Cells were observed to determine the efficiency of transfection. NSCs were infected with pHBLV-Porf-2 shRNA-U6-Zsgreen or pLenti-Ubc-EGFP-3FLAG vector using the same procedure. The surviving cells were ready for the assessment of Porf-2 expression levels and were seeded at a density of 1 × 105 cells on PLL-coated coverslips in 24-well plates for the proliferation and differentiation of NSCs. The number of EdU-positive cells were quantified in 8–10 randomly selected fields on each coverslip (for a total of 900–1,200 cells per coverslip), and the data were presented as the percentage of the total number of live GFP+ cells. At least three independent experiments was conducted for each condition. Quantitative Real-Time PCR Quantitative Real-Time PCR Total RNA was isolated from transfected NSCs using TRIzol reagent, and genomic DNA was eliminated with RNase-free DNase. RNA pellets were re-suspended in DEPC-treated water. Quantitative real-time PCR was performed with an ABI PRISM 7700 sequence detection system (Applied Biosystems, United States). Reactions were done in duplicate with SYBR Green PCR Master mix (Applied Biosystems, United States). Forty cycles of PCR amplification were conducted according to the following program: primary extension of 94◦C for 5 min; cycling at 94◦C for 0.5 min, 55◦C for 0.5 min, and 72◦C for 0.5 min; and final extension at 72◦C for 10 min. Amplification plots and cycle threshold values from the exponential phase of the PCR were analyzed using ABI Prism SDS1.7 software (Applied Biosystems). Expression of the cellular housekeeping gene β-actin is though to be a control to normalize values. Relative expression was quantified using the 11Ct method. The primer sequences are listed in Table 1. Immunoprecipitation The collected cells were lysed in lysis buffer supplemented with protease inhibitors on ice for 15 min, and centrifugated at 14,000 × g at 4◦C for 10 min. The protein lysate was immunoprecipitated with an agarose-immobilized antibody (1 mg of porf-2 antibody as indicated or isotype control antibodies) overnight at 4◦C. Frontiers in Molecular Neuroscience | www.frontiersin.org Treatment of NSCs with Rac1 or Wnt Pathway Activator or Inhibitor and Wnt3a Protein After lentiviral transfection, the cultured primary hippocampal NSCs were then separately treated with fresh medium with a Rac1 activator (20 nmol/l CN04-A), Rac1 inhibitor (NSC23766, 10 mmol/l), Wnt activator (LiCl, 10 mmol/l), or β-catenin/TCF inhibitor (FH535), and Wnt3a (100 ng/ml) and were then incubated for 48 h. After treatment, a CCK-8 assay, EdU assay, immunocytochemistry, and Western blot analysis were performed to study NSCs proliferation and the protein levels of cyclin D1 and p21. Rat Optic Nerve Crush Model Adult male Sprague–Dawley rats weighing 200–250 g came from by Shanghai Experimental Animal Center, Shanghai, China. The optic nerve crush was performed as described previously (Feng et al., 2010). In brief, a lateral canthotomy was made in the superior orbital rim, and an incision of the conjunctiva was performed lateral to the cornea. After the separation of retractor bulb muscle, the optic nerve was exposed beneath the external ocular muscle. A Yasargil aneurysm clip (catalog No. FT495T, Aesculap AG & Co, Tuttlingen, Germany) was then placed 2 mm behind the posterior eye pole for 9 s. All procedures were performed on the left eye under aseptic conditions. Twelve rats underwent unilateral sham optic nerve crush, in which the optic nerve was exposed and then the clip was placed 2 mm behind the posterior eye pole but removed immediately without closure. Immunocytochemistry The specimens were performed for 30 min at RT with 4% paraformaldehyde in 0.1 M phosphate buffer (pH 7.4) and then washed three times with 0.01 M PBS (pH 7.4). Next, the specimens were incubated in 0.5% Triton X-100 for 30 min at RT and followed three times with 0.01 M PBS. Non- specific binding was blocked with 5% normal goat serum, and then the plates were done overnight at 4◦C with mouse primary antibodies. After the specimens by washed with PBS, a secondary antibody was incubated for 2 h at RT in the dark. The following antibodies were performed: anti-β-catenin (1:250; Millipore, United States) for nuclear localization and IgG-Cy3-linked goal anti-mouse secondary antibody (1:500; Beyotime, China). The specimens were washed again in PBS and then mounted in ProLong mounting medium (Invitrogen) containing DAPI. Preparations were photographed under a Western Blot Samples were harvested at each time point into protein extraction buffer. Equal amounts of protein were denatured for 5 min at June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 3 Effect of Porf-2 on NSCs Yang et al. TABLE 1 | Primer sequences used for quantitative real-time PCR. Gene name Forward primer Reverse primer Porf-2 5′-CAAAGCAGCCACGCCATATC-3′ 5′-TAAGAGGGATCAGGGCACGA-3′ β-actin 5′-CCCGCGAGTACAACCTTCT-3′ 5′-CGTCATCCATGGCGAACT-3′ GSK-3β 5′-ATCAAGGCACATCCTTGGAC-3′ 5′-ACGGCTACACAGTGCGATT-3′ Disheveled-1 5′-TCACGCTCAACATGGAGAGGCA-3′ 5′-GCACGGCATCATCGTTGCTCAT3-3′ Frizzled-1 5′-CATCGCGTACAATCAGACCA-3′ 5′-GCGTCCTCCTGATTCGTG-3′ β-Catenin 5′-GACCACAAGCAGAGTGCTGA-3′ 5′-ACTCGGGTCTGTCAGGTGAG-3′ Wnt-3 5′-GCTACTCGGCCTCCTGCT-3′ 5′-GGCCAGAGACGTGTACTGCT-3′ Wif1 5′-AGCCATTCCCGTCAATATCCA-3′ 5′-ACCTATTTCCGTAGTACCGTCT-3′ Axin1 5′-AGGGCCCCCTCAAGTAGAC-3′ 5′-CTCCCTCCAAGATCCATACCT-3′ Axin2 5′-GCAGGACCCACATCCTTCT-3′ 5′-AGCCAGTCTCTTTGGCTCTTT-3′ CyclinD1 5′-GCACAACGCACTTTCTTTCC-3′ 5′-TCCAGAAGGGCTTCAATCTG-3′ LRP-5 5′-CATCCATGCTGTGGAGGA-3′ 5′-TGTCTCGGGCACAAGGAT-3′ LRP-6 5′-CATGATACGAAAGGCACAAGAA-3′ 5′-TCTGATTTGGAACCGAGCTT-3′ Fzd-1 5′-CATCGCGTACAATCAGACCA-3′ 5′-GCGTCCTCCTGATTCGTG-3′ Fzd-6 5′ -GAAAAGCAGCGTATCGGAAG-3′ 5′-GGAACGCCCTTTGGACTTAC-3′ LEF1 5′-TGGTAAACGAGTCCGAAATCA-3′ 5′-TGTGTTTGTCCGACCACCT-3′ APC 5′-CGTGGCCCAGTTAAAATCC-3′ 5′-AAATTCCGCAAAACACTTGC-3′ Dkk-1 5′-CGGGAATTACTGCAAAAACG-3′ 5′-CAATGATGCCTTCCTCGATT-3′ p21 5′-CTGCTCTCCCTTCCTCAGAC-3′ 5′-TGAGGTAGGACCAGGAAACC-3′ TABLE 1 | Primer sequences used for quantitative real-time PCR. 95◦C in sample buffer and separated by SDS–PAGE. Western blot analysis was performed using antibodies against Porf-2 (1:1,000; Millipore, United States), Wnt3a (1:500), Disheveled (1:1,000), Dkk-1 (1:1,000), Wif-1 (1:1,000), GSK-3β (1:1,000), p-GSK-3β (1:500), β-catenin (1:1,000), TCF (1:1,000), cyclin D1 (1:1,000), p21 (1:1,000), and β-actin (1:10,000) diluted in 10% horse serum in TBS-T buffer (0.2 M NaCl, 25 mM Tris, pH 7.5, and 0.5 ml/L Tween-20), followed by incubation with a horseradish peroxidase (HRP)-coupled mouse secondary antibody (1:10,000). Blots were re-probed with a β-actin antibody (BD Bioscience, United States). Signals were quantified with an image analyzer (UVtec, United Kingdom). Porf-2 and β-catenin signals were normalized by comparison with the corresponding β-actin signal of the samples. The data are presented as the percentages of the normalized control signal. 95◦C in sample buffer and separated by SDS–PAGE. Western blot analysis was performed using antibodies against Porf-2 (1:1,000; Millipore, United States), Wnt3a (1:500), Disheveled (1:1,000), Dkk-1 (1:1,000), Wif-1 (1:1,000), GSK-3β (1:1,000), p-GSK-3β (1:500), β-catenin (1:1,000), TCF (1:1,000), cyclin D1 (1:1,000), p21 (1:1,000), and β-actin (1:10,000) diluted in 10% horse serum in TBS-T buffer (0.2 M NaCl, 25 mM Tris, pH 7.5, and 0.5 ml/L Tween-20), followed by incubation with a horseradish peroxidase (HRP)-coupled mouse secondary antibody (1:10,000). Blots were re-probed with a β-actin antibody (BD Bioscience, United States). Signals were quantified with an image analyzer (UVtec, United Kingdom). Porf-2 and β-catenin signals were normalized by comparison with the corresponding β-actin signal of the samples. The data are presented as the percentages of the normalized control signal. fluorescence microscope system (Leica, Wetzlar, Germany), and the captured images were done with Adobe Photoshop software. Subretinal Transplantation All the cultured cells are dissociated before transplantation. NSCs were engrafted into the subretinal space immediately after the optic nerve crush with a transscleral approach as previous procedure (Yang et al., 2014). Briefly, under ophthalmic microscopic observation, the temporal conjunctiva was dissected at the limbus. A sclerotomy was done tangentially between the two vortex veins, approximately 1 mm beyond the limbus and directed toward the posterior pole, with a 33-gauge needle. A 33-gauge blunt needle attached to a 10-µl syringe (Hamilton, Reno, NV, United States) was introduced tangentially through the sclerotomy site into the subretinal region, indicating June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 4 Effect of Porf-2 on NSCs Yang et al. electrophysiology with the visual electrophysiology system (Chongqing Medical Equipment Factory, China). Briefly, the anesthetized rats were placed to the experiment station. After pupils dilated with amide tropicamide, the recording electrode was subcutaneously inserted into the skin at the occipital protuberance, and the reference electrode into the skin at the midpoint of the eyes, and the ground electrode into the skin behind the right ear. After rats were allowed to adapt to the dark for 15 min, F-VEP was recorded at 10 weeks after transplantation. Three stable waveforms were recorded for each animal for both the injured and transplanted eyes. The recorded F-VEP waveform was a relatively stable N-P-N wave, named N1, P1, and N2. The latency of the initial N1, P1, and N2 waves was recorded in milliseconds (ms), and the amplitude of N1-P1 and P1-N2 was recorded in microvolts (µV). The peak latencies of N1 were performed from the beginning to the peak of N1. The peak latencies of P1 were measured from the beginning to the bottom of the P1 peak, etc. The amplitude value of N1-P1 was from the N1 peak to the bottom of P1. Each index was done three times and averaged. retinal detachment confirmed microscopically. Subsequently, the same procedure was repeated to slowly inject a suspension of GFP-expressing cells (2 µl contains 2.0 × 105 cells) (GFP- NSCs, porf-2 overexpression NSCs, porf-2 knockdown NSCs, respectively). The duration of the injection lasted approximately 30 s, and the needle remained within the subretinal space for 2–3 min before slow withdrawn. In the control studies, 0.01 M PBS was injected into the subretinal space. Subretinal Transplantation At 14 days after transplantation, rats were sacrificed for assessing NSCs proliferation, and at 10 weeks after transplantation for assessing NSCs differentiation. Cell Counts Cell counting in the histological analysis was done as described previously (Yang et al., 2014). Fourteen days after transplantation, the eyes were proceeded for the analysis of proliferation, and for differentiation at 10 weeks after transplantation. Systematic random sampling was done to count the number of cells in the retina. To measure proliferated or differentiated NSCs in the injured retina, every sixth retina section (20 µm thickness), with a 120-µm intersection interval, was performed. Cell count was done in a blinded fashion under a fluorescence microscope. Double labeling of cells with GFP plus anti-BrdU or cellular differentiation markers was confirmed. The approximate number of proliferated or differentiated NSCs in each group was calculated by summing the cells in each section and then multiplying by 6. pp y g To investigate the biochemical mechanisms of Porf-2 functions, we generated cultured NSCs that exhibited either stable knockdown or stable overexpression of endogenous Porf-2. We observed that Porf-2 mRNA (Figure 1A) and protein (Figures 1B,C) expression was significantly down-regulated after the transfection of Porf-2 shRNAs compared with control cells over several passages. Additionally, after transfection of the gene encoding Porf-2, the expression of Porf-2 mRNA (Figure 1D) and protein (Figures 1E,F) was up-regulated compared with control cells and vector cells (transfected with empty vector). These results demonstrated that Porf-2 was down-regulated and overexpressed via lentiviral transfection in cultured primary NSCs. RESULTS Identification of NSCs and Stable Knockdown or Overexpression of Porf-2 in NSCs after Lentiviral Transfection β-tubulin and GFAP staining of these cultures showed that cultured NSCs had a neural phenotype. The cells were positive for nestin and Porf-2 (Supplementary Figure S1). Tissue Processing and Immunohistochemistry Rat retina sections were prelabeled in vivo (intraperitoneal) with BrdU (50 mg/kg) for the final 24 h. To assess the influence of Porf-2 on proliferation and differentiation in the host retinas, rats were sacrificed at the indicated time. At these time points, rats were anesthetized with pentobarbital sodium (200 mg/kg) and perfused transcardially with 4% paraformaldehyde. After eyes enucleated, the anterior segments and the lens were removed, and the eyecups were post-fixed (free-floating) in 4% paraformaldehyde for an additional 2 h, washed with PBS, and transferred to 30% sucrose in PBS overnight for cryosectioning. The eyecups were embedded in optimal cutting temperature compound (OCT; Miles, Elkhart, IN, United States) after eyecup alignment so that the horizontal planes were parallel to the cutting plane. Next, 20-µm-thick frozen sections were cut with a cryostat. The sections were mounted onto clean, subbed slides and stored at −20◦C until processing. Continuous sections including the injury site were cut for each eye. Statistical Analysis All data are presented as the means ± SD. Significant differences among the groups were calculated with SPSS version 12.0 (Chicago, IL, United States) or GraphPad Prism version 4.0 (San Diego, CA, United States). An unpaired Student’s t-test or one-way ANOVA followed by Fisher’s least square difference (LSD) post hoc test was used for a statistical comparison of the mean values between two or three groups, respectively. A repeated-measures two-way ANOVA was used to compare matched data at multiple time points. P-values < 0.05 were considered statistically significant. For immunohistochemistry, retinal sections were incubated overnight at 4◦C with anti-BrdU (1:500; Sigma, United States). The sections were incubated with fluorophore-tagged secondary antibodies. F-VEP Measurement The flash visual evoked potentials (F-VEP) were assessed according to international standards of clinical visual June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 5 Effect of Porf-2 on NSCs Yang et al. Effect of Porf-2 Downregulation or Overexpression on NSCs Proliferation In Vitro Moreover, Porf-2 overexpression is enough to reverse the effect of Wnt3a on NSCs proliferation showed by Wnt3a+control group and Wnt3a+Porf-2 overexpression group (Figure 2F). Effect of Porf-2 Downregulation or Overexpression on NSCs Proliferation In Vitro On days 5 and 7 post-transduction, cells received 10 µM EdU for 30 min. The incorporated EdU was detected using an anti-EdU kit. The relative ratio of EdU+ cells increased by approximately 50% in the Porf-2 knockdown group compared with the control group (∗∗P < 0.01) and decreased by 40% in the Porf-2 overexpression group compared with the control group (Figure 2E). These results showed that the downregulation of Porf-2 promoted NSCs proliferation, whereas its overexpression attenuated NSCs proliferation. Neural stem cells growth and proliferation under conditions of Porf-2 knockdown or overexpression were measured by neurosphere growth kinetics assay, CCK-8 assay, and EdU assay. In order to assess whether Porf-2 knockdown or overexpression show any effect on the number of NSCs, a neurosphere formation assay was performed. Neurospheres are free-floating spherical clusters of NSCs formed in the presence of specific mitotic growth factors. The number of clonal neurospheres in vitro is the measure of absolute putative stem cells. Gross morphology, size, and the number of neurospheres in each group were assessed (Figures 2A,B). The number and size of primary clonal neurospheres in Porf-2 knockdown group significantly increased as compared to control group and Porf-2 overexpression group (Figures 2A,B). Porf-2 overexpression decreased the number and size of neurospheres (Figures 2A,B). These results suggest that Porf-2 knockdown increases the number of multipotent NSCs and hence neurosphere formation. In addition, the CCK-8 assay showed that Porf-2 knockdown significantly increased NSCs growth on days 4, 5, 6, 7, 10, and 14 post-transduction among the three groups (Figure 2C), whereas Porf-2 overexpression led to reduced NSCs growth, indicating that Porf-2 expression negatively regulated growth. Neural stem cells growth and proliferation under conditions of Porf-2 knockdown or overexpression were measured by neurosphere growth kinetics assay, CCK-8 assay, and EdU assay. Effect of Wnt3a Protein on Porf-2 Downregulation or Overexpression Mediated-NSCs Proliferation In Vitro In the presence of Wnt3a protein, NSCs grow faster in Porf- 2 knockdown group compared with control group and Porf- 2 overexpression group showed by CCK8 assay (Figure 2F). Moreover, Porf-2 overexpression is enough to reverse the effect of Wnt3a on NSCs proliferation showed by Wnt3a+control group and Wnt3a+Porf-2 overexpression group (Figure 2F). Mediated NSCs Proliferation In Vitro In the presence of Wnt3a protein, NSCs grow faster in Porf- 2 knockdown group compared with control group and Porf- 2 overexpression group showed by CCK8 assay (Figure 2F). Alteration of Rac1 Activity and the Wnt/β-Catenin Signaling Pathway in Porf-2 Knockdown or Overexpression NSCs Moreover, we further used the EdU incorporation assay to further evaluate the effect of Porf-2 knockdown or overexpression on NSCs proliferation (Figures 2D,E). Co-immunoprecipitation experiments showed that Porf-2 and Rac1 co-immunoprecipitated; thus Porf-2 and Rac1 FIGURE 1 | Stable knockdown or overexpression of Porf-2 in neural stem cells (NSCs) after lentiviral transfection. (A) Real-time PCR analysis of Porf-2 mRNA expression after Porf-2 knockdown in NSCs. Scramble, cells transfected with non-targeting shRNA as a negative control; KD, cells in which Porf-2 was knocked down by Porf-2-targeted shRNA. (B) The protein level of Porf-2 was detected by immunoblot after Porf-2 knockdown in NSCs. β-actin was used as an internal control. (C) Quantification of the band intensity of immunoblotting in (B). The band density was normalized to β-actin signal in the same sample. (D) Real-time PCR analysis of Porf-2 mRNA expression after Porf-2 overexpression in NSCs. OE, overexpression. (E) The protein level of Porf-2 was detected by immunoblot after Porf-2 overexpression. β-actin was used as an internal control. (F) Quantification of the band intensity of immunoblotting in (E). The band density was normalized to β-actin signal in the same sample. ∗p < 0.05, ∗∗p < 0.01 compared with the control group, n = 3. FIGURE 1 | Stable knockdown or overexpression of Porf-2 in neural stem cells (NSCs) after lentiviral transfection. (A) Real-time PCR analysis of Porf-2 mRNA expression after Porf-2 knockdown in NSCs. Scramble, cells transfected with non-targeting shRNA as a negative control; KD, cells in which Porf-2 was knocked down by Porf-2-targeted shRNA. (B) The protein level of Porf-2 was detected by immunoblot after Porf-2 knockdown in NSCs. β-actin was used as an internal control. (C) Quantification of the band intensity of immunoblotting in (B). The band density was normalized to β-actin signal in the same sample. (D) Real-time PCR analysis of Porf-2 mRNA expression after Porf-2 overexpression in NSCs. OE, overexpression. (E) The protein level of Porf-2 was detected by immunoblot after Porf-2 overexpression. β-actin was used as an internal control. (F) Quantification of the band intensity of immunoblotting in (E). The band density was normalized to β-actin signal in the same sample. ∗p < 0.05, ∗∗p < 0.01 compared with the control group, n = 3. June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 6 Effect of Porf-2 on NSCs Yang et al. orf-2 reduces growth/proliferation of hippocampus-derived NSCs. Alteration of Rac1 Activity and the Wnt/β-Catenin Signaling Pathway in Porf-2 Knockdown or Overexpression NSCs (A) Representative images of NSC neurospheres in Control, Porf-2 KD, and Porf-2 e red line indicated the diameter of the neurosphere. Scale bar: 100 µm. (B) Quantification of the area and the number of neurospheres in each group. normalized to the Control group. Values are expressed as the mean ± SD (n = 3). ∗p < 0.05, ∗∗p < 0.01. (C) CCK-8 assays were performed to owth/proliferation of NSCs in different groups. Significant changes are shown as ∗p < 0.05 vs. the control group. (D) Porf-2 knockdown NSCs, pression NSCs, and GFP-NSCs were seeded into 96-well culture plates 5, 7 days after transduction. The white arrow indicates the EdU+GFP+ neural e EdU assay was performed in each group. Scale bar: 100 µm. (E) The relative proliferation ratios (EdU+GFP+/GFP+) were calculated and normalized FIGURE 2 | Porf-2 reduces growth/proliferation of hippocampus-derived NSCs. (A) Representative images of NSC neurospheres in Control, Porf-2 KD, and Porf-2 OE groups. The red line indicated the diameter of the neurosphere. Scale bar: 100 µm. (B) Quantification of the area and the number of neurospheres in each group. The data was normalized to the Control group. Values are expressed as the mean ± SD (n = 3). ∗p < 0.05, ∗∗p < 0.01. (C) CCK-8 assays were performed to analyze the growth/proliferation of NSCs in different groups. Significant changes are shown as ∗p < 0.05 vs. the control group. (D) Porf-2 knockdown NSCs, Porf-2-overexpression NSCs, and GFP-NSCs were seeded into 96-well culture plates 5, 7 days after transduction. The white arrow indicates the EdU+GFP+ neural stem cells. The EdU assay was performed in each group. Scale bar: 100 µm. (E) The relative proliferation ratios (EdU+GFP+/GFP+) were calculated and normalized to control group (GFP-NSCs). (F) CCK8 assay showed the effect of Wnt3a protein on Porf-2 knockdown and Porf-2-overexpression-NSCs proliferation. Values are expressed as mean ± SD (n = 3). ∗p < 0.05, ∗∗p < 0.01. GURE 2 | Porf-2 reduces growth/proliferation of hippocampus-derived NSCs. (A) Representative images of NSC neurospheres in Control, Porf-2 KD, and Porf-2 E groups. The red line indicated the diameter of the neurosphere. Scale bar: 100 µm. (B) Quantification of the area and the number of neurospheres in each group. he data was normalized to the Control group. Values are expressed as the mean ± SD (n = 3). ∗p < 0.05, ∗∗p < 0.01. Alteration of Rac1 Activity and the Wnt/β-Catenin Signaling Pathway in Porf-2 Knockdown or Overexpression NSCs (C) CCK-8 assays were performed to alyze the growth/proliferation of NSCs in different groups. Significant changes are shown as ∗p < 0.05 vs. the control group. (D) Porf-2 knockdown NSCs, orf-2-overexpression NSCs, and GFP-NSCs were seeded into 96-well culture plates 5, 7 days after transduction. The white arrow indicates the EdU+GFP+ neural em cells. The EdU assay was performed in each group. Scale bar: 100 µm. (E) The relative proliferation ratios (EdU+GFP+/GFP+) were calculated and normalized control group (GFP-NSCs). (F) CCK8 assay showed the effect of Wnt3a protein on Porf-2 knockdown and Porf-2-overexpression-NSCs proliferation. Values are pressed as mean ± SD (n = 3). ∗p < 0.05, ∗∗p < 0.01. FIGURE 2 | Porf-2 reduces growth/proliferation of hippocampus-derived NSCs. (A) Representative images of NSC neurospheres in Control, Porf-2 KD, and Porf-2 OE groups. The red line indicated the diameter of the neurosphere. Scale bar: 100 µm. (B) Quantification of the area and the number of neurospheres in each group. The data was normalized to the Control group. Values are expressed as the mean ± SD (n = 3). ∗p < 0.05, ∗∗p < 0.01. (C) CCK-8 assays were performed to analyze the growth/proliferation of NSCs in different groups. Significant changes are shown as ∗p < 0.05 vs. the control group. (D) Porf-2 knockdown NSCs, Porf-2-overexpression NSCs, and GFP-NSCs were seeded into 96-well culture plates 5, 7 days after transduction. The white arrow indicates the EdU+GFP+ neural stem cells. The EdU assay was performed in each group. Scale bar: 100 µm. (E) The relative proliferation ratios (EdU+GFP+/GFP+) were calculated and normalized to control group (GFP-NSCs). (F) CCK8 assay showed the effect of Wnt3a protein on Porf-2 knockdown and Porf-2-overexpression-NSCs proliferation. Values are expressed as mean ± SD (n = 3). ∗p < 0.05, ∗∗p < 0.01. Frontiers in Molecular Neuroscience | www.frontiersin.org Frontiers in Molecular Neuroscience | www.frontiersin.org June 2017 | Volume 10 | Article 172 7 t al. Effect of Porf-2 on NSCs URE 3 | Effect of Porf-2 downregulation or overexpression on Rac1 activity and Wnt/β-catenin signaling pathway in NSCs. (A) Co-immunoprecipitation eriments showed that Porf-2 and Rac1 co-immunoprecipitated. (B,C) Cell lysates were processed to analyze Rac1 activation by pull-down. Effect of Porf-2 ckdown or overexpression on Rac1 activation. NSCs were transfected with knockdown, overexpression, or control vector. GAPDH was used as a housekeeping e for normalization. FIGURE 3 | Continued | β-actin was used as a housekeeping gene for normalization. (E,F) Western blot analysis suggested that Porf-2 knockdown significantly increased the relative levels of T-cell factor (TCF) and cyclin D1 and decreased the levels of the inhibitory protein p21, whereas Porf-2 overexpression significantly decreased the relative levels of TCF and cyclin D1 and enhanced the levels of the inhibitory protein p21. (G) Immunofluorescence photomicrograph showing nuclear translocation of β-catenin, a key regulatory protein of the Wnt pathway (purple), with the NSCs marker nestin (red) in the three groups. The white arrows the expression of β-catenin in GFP+ cells. Scale bar: 100 µm. (H) Quantify the ratio of the cell number of nuclear translocation of β-catenin in GFP+ Nestin+ cells. The ratio was normalized to control group. Quantitative analysis suggested that Porf-2 downregulation significantly increased the nuclear translocation of β-catenin, whereas Porf-2 overexpression significantly reduced the nuclear translocation of β-catenin. (I) Western blot analysis of the expression of nuclear β-catenin in the three groups. (J) The relative expression levels of nuclear β-catenin are represented by the ratio of nuclear β-catenin in the three groups. Values are expressed as the mean ± SD (n = 3 per group). ∗p < 0.05, ∗∗p < 0.01 vs. control. Scale bar = 100 µm. appear to interact directly (Figure 3A). To assess the effects of Porf-2 on Rac1 activity, we constructed Porf-2 knockdown or overexpression NSCs and found that Porf-2 downregulation provoked an increase in Rac1 activity, whereas Porf-2 overexpression induced a decrease in Rac1 activity (Figures 3B,C). This result indicated that Porf-2 is a negative regulator of Rac1 activity. We confirmed that Porf-2 contains a Rac1GAP domain, which can negatively regulate the activity of Rac1 (Figures 3A,B). To study the role of Rac1 in Porf-2-mediated NSCs proliferation, we first determined whether Rac1 activation and inactivation could affect NSCs proliferation with Porf-2 knockdown or overexpression utilizing a Rac1 inhibitor (NSC23766) or Rac1 activator (CN04-A). appear to interact directly (Figure 3A). To assess the effects of Porf-2 on Rac1 activity, we constructed Porf-2 knockdown or overexpression NSCs and found that Porf-2 downregulation provoked an increase in Rac1 activity, whereas Porf-2 overexpression induced a decrease in Rac1 activity (Figures 3B,C). This result indicated that Porf-2 is a negative regulator of Rac1 activity. FIGURE 3 | Continued We found that Porf-2 downregulation significantly promoted the growth and proliferation of NSCs in culture (Figures 2, 4C,D), whereas Porf-2 overexpression led to reduced growth and proliferation (Figures 2, 4G,H). Porf-2 knockdown NSCs were treated with the Rac1 inhibitor (NSC23766), and Porf-2-overexpression NSCs were treated with the Rac1 activator (CN04-A). The treated NSCs were evaluated using CCK-8 and EdU assays (Figure 4). The growth and proliferative activities induced by Porf-2 knockdown were significantly reduced in cells treated with the Rac1 inhibitor (NSC23766) (Figures 4A,C,D, #P < 0.05 vs. Porf-2 KD), whereas the anti-growth and proliferative activities induced by Porf-2 overexpression were significantly reduced in cells treated with the Rac1 activator (CN04-A) (Figures 4B,G,H, #P < 0.05 vs. Porf-2 OE). Moreover, cyclin D1 protein levels were significantly decreased, and p21 levels increased in Porf-2 knockdown NSCs cultures treated with NSC23766 (Figures 4E,F), suggesting decreased NSCs proliferation. Treatment with the Rac1 activator (CN04-A) significantly enhanced the expression of cyclin D1 and reduced the expression of p21 in Porf-2-overexpression NSCs cultures (Figures 4I,J), suggesting increased NSCs proliferation. Together, Porf-2 exerted its inhibitory role of NSCs proliferation through Rac1, which is enough to reverse Porf-2’s function. Next, we assessed the effects of Porf-2 on the levels of gene and protein expression in the Wnt/β-catenin pathway in Porf-2-overexpression and down-regulated NSCs. Porf-2 knockdown significantly increased the expression of genes such as nuclear transcription factor (LEF-1, TCF) and the Wnt target gene cyclin D1, and decreased expression of the proliferation-associated gene p21 (Figure 3D). These effects were reversed by Porf-2 overexpression (Figure 3D). The mRNA levels of Wif-1, Dkk-1, Wnt-1, Wnt-3, Disheveled, Frizzled- 1, Frizzled-5, LRP-5, LRP-6, and the β-catenin destruction complex (β-catenin, Axin-1, Axin-2, APC, and GSK-3β) were not significantly different after Porf-2 knockdown or overexpression (P > 0.05) (Figure 3D). Immunoblot analysis revealed that Porf-2 knockdown significantly enhanced the protein levels of TCF, and cyclin D1 and reduced p21 levels (Figures 3E,F). In contrast, Porf-2 overexpression significantly reduced the protein levels of TCF and cyclin D1 and increased p21 levels (P < 0.05, Figures 3E,F). Levels of Wnt-3, Dkk-1, Disheveled, and β-catenin were not significantly different after Porf-2 knockdown or overexpression (P > 0.05, Figures 3E,F). Nuclear translocation of β-catenin, a key regulatory protein of the Wnt pathway, was enhanced in the Porf-2 knockdown group compared with the control group but decreased in the Porf- 2 overexpression group (Figures 3G,H). Alteration of Rac1 Activity and the Wnt/β-Catenin Signaling Pathway in Porf-2 Knockdown or Overexpression NSCs (D) RT-PCR analysis was performed to determine the relative mRNA expression of Wnt/β-catenin pathway genes in the three groups. (Continued) Effect of Porf-2 on NSCs Yang et al. FIGURE 3 | Effect of Porf-2 downregulation or overexpression on Rac1 activity and Wnt/β-catenin signaling pathway in NSCs. (A) Co-immunoprecipitation experiments showed that Porf-2 and Rac1 co-immunoprecipitated. (B,C) Cell lysates were processed to analyze Rac1 activation by pull-down. Effect of Porf-2 knockdown or overexpression on Rac1 activation. NSCs were transfected with knockdown, overexpression, or control vector. GAPDH was used as a housekeeping gene for normalization. (D) RT-PCR analysis was performed to determine the relative mRNA expression of Wnt/β-catenin pathway genes in the three groups. (Continued) June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 8 Effect of Porf-2 on NSCs Yang et al. FIGURE 3 | Continued Western blot analysis of the expression of nuclear β-catenin showed that, compared with the control group, the relative expression levels of nuclear β-catenin were higher in the Porf-2 knockdown group but lower in the Porf-2 overexpression group (Figures 3I,J). Similarly, the role of the Wnt/β-catenin pathway in Porf- 2 knockdown or overexpression NSCs was elucidated by the CCK-8 and EdU assay (Figure 4). Interestingly, the proliferation- enhancing potential of Porf-2 downregulation was significantly blocked by Wnt pathway inhibitors, such as FH535, suggesting an alteration of the Wnt pathway due to Porf-2 knockdown (Figures 4A,C,D, #p < 0.05 vs. Porf-2 KD). Wnt pathway activators, such as LiCl, significantly enhanced cell proliferation and significantly reversed the inhibitory effect of Porf-2 overexpression (Figures 4B,G,H, #P < 0.05 vs. Porf-2 OE). These findings indicated that the Wnt/β-catenin pathway is involved in Porf-2-mediated alteration of NSCs proliferation. Moreover, cyclin D1 protein levels were significantly decreased and p21 levels increased in Porf-2 knockdown NSCs cultures treated with FH535, suggesting decreased NSCs proliferation (Figures 4E,F). Treatment with the Wnt pathway activator LiCl significantly Effect of Porf-2 Knockdown or Overexpression on NSCs Proliferation via the Rac1-Wnt/β-Catenin Pathway Overexpression on NSCs Proliferation via the Rac1-Wnt/β-Catenin Pathway Overexpression on NSCs Proliferation via the Rac1-Wnt/β-Catenin Pathway Next, to study the effects of Porf-2 downregulation or overexpression on NSCs proliferation via the Rac1- Wnt/β-catenin pathway, NSCs cultures were treated with a Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), GSK-3β inhibitor (LiCl), or β-catenin/TCF inhibitor (FH535) (Figure 4). June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 9 Effect of Porf-2 on NSCs Yang et al. FIGURE 4 | Effect of Porf-2 knockdown or overexpression on NSCs proliferation via the Rac1-Wnt/β-catenin pathway. (A,B) Representative photographs of proliferation of EdU-positive NSCs. Porf-2 knockdown and Porf-2-overexpression NSCs were treated with a Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), Wnt activator (LiCl), or β-catenin/TCF inhibitor (FH535). Scale bar: 100 µm. (C,D,G,H) The relative proliferation ratio of EdU-positive NSCs and CCK8 assay. The relative proliferation ratios are represented in Porf-2 knockdown and Porf-2-overexpression NSCs which were treated with a Rac1 activator (CN04-A) Rac1 inhibitor FIGURE 4 | Effect of Porf-2 knockdown or overexpression on NSCs proliferation via the Rac1-Wnt/β-catenin pathway. (A,B) Representative photographs of proliferation of EdU-positive NSCs. Porf-2 knockdown and Porf-2-overexpression NSCs were treated with a Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), Wnt activator (LiCl), or β-catenin/TCF inhibitor (FH535). Scale bar: 100 µm. (C,D,G,H) The relative proliferation ratio of EdU-positive NSCs and CCK8 assay. The relative proliferation ratios are represented in Porf-2 knockdown and Porf-2-overexpression NSCs, which were treated with a Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), GSK-3β inhibitor (LiCl), or β-catenin/TCF inhibitor (FH535). (C,D) ∗p < 0.05, ∗∗p < 0.01 vs. control. # p < 0.05 vs. Porf-2 KD. (G,H) ∗p < 0.05 vs. FIGURE 4 | Effect of Porf-2 knockdown or overexpression on NSCs proliferation via the Rac1-Wnt/β-catenin pathway. (A,B) Representative photographs of proliferation of EdU-positive NSCs. Porf-2 knockdown and Porf-2-overexpression NSCs were treated with a Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), Wnt activator (LiCl), or β-catenin/TCF inhibitor (FH535). Scale bar: 100 µm. (C,D,G,H) The relative proliferation ratio of EdU-positive NSCs and CCK8 assay. The relative proliferation ratios are represented in Porf-2 knockdown and Porf-2-overexpression NSCs, which were treated with a Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), GSK-3β inhibitor (LiCl), or β-catenin/TCF inhibitor (FH535). (C,D) ∗p < 0.05, ∗∗p < 0.01 vs. control. # p < 0.05 vs. Porf-2 KD. (G,H) ∗p < 0.05 vs. control. # p < 0.05 vs. Porf-2 OE. Overexpression on NSCs Proliferation via the Rac1-Wnt/β-Catenin Pathway NSCs were transplanted into the subretinal space immediately after the optic nerve crush. Scale bars: 100 µm. (E) Comparison of proliferative capacity of control, Porf-2 knockdown NSCs, and Porf-2-overexpression NSCs at 14 days after transplantation (n = 6 rats). The ratio of each lineage is indicated on the graph. ∗p < 0.05, ∗∗p < 0.01. Values are expressed as the mean ± SD (n = 3 cultures). enhanced the expression of cyclin D1 and reduced p21 in Porf-2-overexpression NSCs cultures, suggesting increased NSCs proliferation (Figures 4I,J). These results revealed that Porf-2 can regulate NSCs proliferation through the Wnt/β-catenin signaling. the retinas from the operated rats exhibited an increase in Wnt3a staining (Figure 5A). The Wnt3a protein levels significantly increased in the retina after optic nerve injury, compared with the normal control animals (P < 0.05) (Figures 5B,C). Overexpression on NSCs Proliferation via the Rac1-Wnt/β-Catenin Pathway (E,F,I,J) The effect of activators or inhibitors of Rac1 or the Wnt/β-catenin signaling pathway on Porf-2 knockdown or overexpression NSCs growth and proliferation-associated proteins. ∗∗p < 0.01, ∗∗∗p < 0.001. June 2017 | Volume 10 | Article 172 June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 10 Yang et al. Effect of Porf-2 on NSCs FIGURE 5 | BrdU incorporation and Wnt3a expression after optic nerve injury. (A) The expression of Wnt3a protein in retina after optic nerve injury. Western blot analysis of Wnt3a protein in retina. Scale bars: 50 µm. Significant changes are shown as p < 0.05, ∗: vs. the control group. GCL, ganglion cell layer; IPL, inner plexiform layer; INL, inner nuclear layer. Immunofluorescence photomicrographs show the increase of Wnt3a protein in retina after optic nerve injury (white arrow indicated the Wnt3a expression in GCL). (B) Values were normalized to β-actin, used as a loading control. (C) Quantification of relative protein density after normalization with β-actin. (D) Characterization of BrdU-labeled cells at 14 days after transplantation in the control group, in the Porf-2-overexpression group and the Porf-2 knockdown group. White arrow indicates BrdU-positive cells. NSCs were transplanted into the subretinal space immediately after the optic nerve crush. Scale bars: 100 µm. (E) Comparison of proliferative capacity of control, Porf-2 knockdown NSCs, and Porf-2-overexpression NSCs at 14 days after transplantation (n = 6 rats). The ratio of each lineage is indicated on the graph. ∗p < 0.05, ∗∗p < 0.01. Values are expressed as the mean ± SD (n = 3 cultures). FIGURE 5 | BrdU incorporation and Wnt3a expression after optic nerve injury. (A) The expression of Wnt3a protein in retina after optic nerve injury. Western blot analysis of Wnt3a protein in retina. Scale bars: 50 µm. Significant changes are shown as p < 0.05, ∗: vs. the control group. GCL, ganglion cell layer; IPL, inner plexiform layer; INL, inner nuclear layer. Immunofluorescence photomicrographs show the increase of Wnt3a protein in retina after optic nerve injury (white arrow indicated the Wnt3a expression in GCL). (B) Values were normalized to β-actin, used as a loading control. (C) Quantification of relative protein density after normalization with β-actin. (D) Characterization of BrdU-labeled cells at 14 days after transplantation in the control group, in the Porf-2-overexpression group and the Porf-2 knockdown group. White arrow indicates BrdU-positive cells. Effect of Porf-2 Knockdown or Overexpression on the Neuronal and Astrocytic Differentiation of NSCs In Vitro and In Vivo After the induction of differentiation by serum starvation, 7.92 ± 2.32% of knockdown cells and 8.13 ± 1.10% of overexpression cells expressed the neuronal marker β-tubulin III compared with 8.33 ± 2.64% of control cells (Figures 6A,C). Furthermore, 69.38 ± 3.14% of knockdown cells and 72.66 ± 8.36% of overexpression cells expressed GFAP, a marker for astrocytes, compared with 65.81 ± 5.29% of control cells (Figures 6B,D). There was no significant difference in the neuronal and astrocytic differentiation of NSCs among the Porf-2 knockdown NSCs, Porf-2 overexpression NSCs and control NSCs. g y As a growth regulator, Porf-2 is expressed in rapid cell division tissue such as skin, the placental growth cone, and dividing testicular germ cells (Nowak and Gore, 1999). Porf-2 is most highly expressed in the hypothalamus, hippocampus, cerebral cortex, and anterior pituitary of neonatal and early postnatal rats (Nowak and Gore, 1999). However, the function of Porf- 2 remains unknown for a long time. Recently, Ma and Nowak (2011) reported that Porf-2 knockdown increases proliferation and decreases drug-induced apoptosis in C17.2 cells. But there are lots of limitation and unsolved problem in this report (Ma and Nowak, 2011). Instead of using primary stem cell derived from the brain, an immortalized and artificially modified NSC line C17.2 was used, which have been reported to have different gene expression profiles and unique properties compared to primary NSCs (Martinez-Serrano and Bjorklund, 1997; Mi et al., 2005; Magnitsky et al., 2008). Furthermore, the results are based on a drug pre-treatment, but not a physiological condition (Ma and Nowak, 2011). Importantly, the Porf-2 described in Ma et al.’s study is not a full-length protein but a truncated transcript (Protein molecular weight: 65 kD) (Ma and Nowak, 2011). Until now, this is the only report describing a truncated transcript of Porf-2 (Ma and Nowak, 2011) and there is no more follow-up reports to confirm that yet. To investigate the role of Porf-2 in the neuronal differentiation of NSCs in vivo, we transplanted Lenti-Porf-2-infected NSCs into the subretinal space of rats following optic nerve crush and examined the percentage of GFP+/β-tubulin III+ or GFP+/GFAP+ cells generated. Immunocytochemical staining (Figures 6E–G) revealed no significant difference in the percentage of GFP+/β-tubulin III+ cells (6.90% ± 1.52%, n = 6) in the Porf-2 knockdown (6.98% ± 1.37%, n = 6) or Porf-2 overexpression groups compared with the GFP group (7.35% ± 1.26%) (Figures 6E,G). DISCUSSION Damage to the optic nerve leads to the loss of RGCs, subsequently causing reduced visual function and even blindness. NSCs pose multipotent capacity and differentiate into neurons, astrocytes, and oligodendrocytes (Ming and Song, 2011; Bond et al., 2015). Replacing injured RGCs is one of the promising approaches to the treatment of optic nerve injury, whereas a poor proliferation rate has limited the practical use of NSCs-based replacement therapy (Carreira et al., 2014). Numerous studies demonstrated that Wnt signaling plays a pivotal role in NSCs proliferation (Ming and Song, 2011; Faigle and Song, 2013). Previously, we also showed that overexpression of Wnt3a in NSCs induced activation of Wnt signaling and promoted proliferation both in vitro and in optic nerve injury, which suggests that targeting the Wnt3 signal may potentiate the therapeutic benefits of NSCs-based therapy in optic nerve injury (Yang et al., 2014). However, how the Wnt signaling exerts its role and whether the activation of Wnt signaling is regulated by other factors is unclear. Effect of Porf-2 Knockdown or Overexpression on the Neuronal and Astrocytic Differentiation of NSCs In Vitro and In Vivo However, the number of differentiation of NSCs into neurons of Porf-2 knockdown NSCs significantly increased than control or Porf-2-overexpression NSCs at 10 week after transplantation (Figure 6H). Immunocytochemical staining revealed no significant difference in the percentage of GFP+/GFAP+ cells (72.12% ± 11.64%, n = 6) in the Porf-2 knockdown (70.96% ± 9.21%, n = 6) or Porf-2 overexpression groups compared with the GFP group (71.77% ± 7.93%) (Figures 6F,G). Increase of Wnt3a Protein Expression after Optic Nerve Crush To assess the expression of Wnt3a protein after optic nerve crush injury, western blot was performed. Immunofluorescence analysis revealed that the retinas from the normal control groups showed faint staining for Wnt3a along the inner border of the retina above the GCL. Compared with the normal control groups, To assess the effect of Porf-2 downregulation or overexpression on NSCs proliferation at 14 days after transplantation in vivo, we transplanted Porf-2 knockout or overexpression NSCs into the subretinal space after optic nerve injury. The labeling index for June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 11 Effect of Porf-2 on NSCs Yang et al. GFP+/BrdU+ cells was measured in retinal sections for BrdU and DAPI staining (Figures 5D,E). After administration BrdU 48 h, we analyzed the percentage of BrdU+ cells in 1,000 randomly selected GFP+ cells under the same observation conditions. Porf-2 knockdown significantly increased the BrdU index of the retinas in comparison with control group (237.90 ± 19.33 in Porf-2 KD group vs. 116.46 ± 8.82 in control group. ∗∗p < 0.01; Figure 5E), whereas Porf-2 overexpression decreased compared to control (74.36 ± 8.05 in Porf-2 OE group vs. 116.46 ± 8.82 in control group. ∗P < 0.05; Figure 5E). Taking the in vitro data into consideration, we can conclude that Porf-2 knockdown significantly increase NSCs proliferation in vivo and in vitro. In addition, we found that no tumor-like cells aggregation at 10 week after transplantation, which destroyed the structure of retinas (data not shown). amplitudes of N1-P1 and P1-N2 in the Porf-2 knockdown group compared with the GFP-NSCs group, but lower amplitudes in Porf-2-overexpression group (Figures 7A,B). The peak latencies of the N1, P1, and N2 waves is shorter in the Porf-2 knockdown group compared with the GFP-NSCs group, but longer N1, P1, and N2 waves were observed in the Porf-2-overexpression group at 10 weeks post-transplantation (Figures 7A,C). The data suggested the Porf-2 knockdown NSCs transplantation may contribute to better F-VEP recovery after optic nerve injury. Effect of Porf-2 Downregulation or Overexpression on F-VEP after Transplantation Since a truncated transcript of Porf-2 may play a different role with a full-length one due to the different amino acid sequences, domains or structures. To uncover the role of Porf- 2, we have constructed a mouse full-length Porf-2 previously Compared with the control group (Crush + GFP-NSCs), the Porf-2 knockdown group showed significantly higher June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 12 Effect of Porf-2 on NSCs Yang et al. FIGURE 6 | Effect of Porf-2 knockdown or overexpression on the neuronal and astrocytic differentiation of NSCs in vitro and in vivo. (A,B) Immunocytochemical analysis of Porf-2 knockdown and Porf-2-overexpression NSCs in vitro. Expression of β-tubulin III or GFAP in Porf-2 knockdown cells and Porf-2-overexpression cells after the induction of differentiation by serum starvation. Scale bars: 100 µm. (C,D) The percentage of β-tubulin III or GFAP double-positive cells was calculated. (E,F) Immunocytochemical analysis of Porf-2 knockdown and Porf-2-overexpression NSCs in vivo (n = 6 rats). Expression of β-tubulin III or GFAP in Porf-2 knockdown cells and Porf-2-overexpression cells at 10 weeks post-transplantation. Scale bars: 50 µm. (G) The percentage of β-tubulin III or GFAP double-positive cells was calculated. (H) Comparison the number of differentiated neurons in Control, Porf-2 KD and Porf-2 OE groups at 10 week after transplantation (n = 6). The data was normalized to Control group. ∗p < 0.05. Error bars indicate the SD of the mean. FIGURE 6 | Effect of Porf-2 knockdown or overexpression on the neuronal and astrocytic differentiation of NSCs in vitro and in vivo. (A,B) Immunocytochemical analysis of Porf-2 knockdown and Porf-2-overexpression NSCs in vitro. Expression of β-tubulin III or GFAP in Porf-2 knockdown cells and Porf-2-overexpression cells after the induction of differentiation by serum starvation. Scale bars: 100 µm. (C,D) The percentage of β-tubulin III or GFAP double-positive cells was calculated. (E,F) Immunocytochemical analysis of Porf-2 knockdown and Porf-2-overexpression NSCs in vivo (n = 6 rats). Expression of β-tubulin III or GFAP in Porf-2 knockdown cells and Porf-2-overexpression cells at 10 weeks post-transplantation. Scale bars: 50 µm. (G) The percentage of β-tubulin III or GFAP double-positive cells was calculated. (H) Comparison the number of differentiated neurons in Control, Porf-2 KD and Porf-2 OE groups at 10 week after transplantation (n = 6). The data was normalized to Control group. ∗p < 0.05. Error bars indicate the SD of the mean. Effect of Porf-2 Downregulation or Overexpression on F-VEP after Transplantation June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 13 Effect of Porf-2 on NSCs Yang et al. Yang et al. Effect of Porf-2 on NSCs FIGURE 7 | Evaluation of the recovery of the injured optic nerve by NPN wave pattern after transplantation. (A) Representative flash visual evoked potentials (F-VEP) tracings at 10 weeks after optic nerve crush injury in Crush, Porf-2-overexpression, Porf-2 knockdown and Control (GFP-NSCs) groups. (B) Bar charts showing F-VEP latency (n = 6 rats). (C) Bar charts showing F-VEP amplitude (n = 6 rats), ∗p < 0.05. (D) Exploration of the mechanism by which Porf-2 exerts its anti-proliferative effects on hippocampus-derived NSCs. Briefly, a direct interaction between Porf-2 and Rac1 reduces the activity of Rac1, which induces the nuclear translocation of β-catenin. β-catenin in the nucleus subsequently activates nuclear transcription factors and inactivates inhibitory factors, thereby resulting in the h h l i f i d fi ll l i h lif i f NSC P ( d l ) diff i f h h l i FIGURE 7 | Evaluation of the recovery of the injured optic nerve by NPN wave pattern after transplantation. (A) Representative flash visual evoked potentials (F-VEP) tracings at 10 weeks after optic nerve crush injury in Crush, Porf-2-overexpression, Porf-2 knockdown and Control (GFP-NSCs) groups. (B) Bar charts showing F-VEP latency (n = 6 rats). (C) Bar charts showing F-VEP amplitude (n = 6 rats), ∗p < 0.05. (D) Exploration of the mechanism by which Porf-2 exerts its anti-proliferative effects on hippocampus-derived NSCs. Briefly, a direct interaction between Porf-2 and Rac1 reduces the activity of Rac1, which induces the nuclear translocation of β-catenin. β-catenin in the nucleus subsequently activates nuclear transcription factors and inactivates inhibitory factors, thereby resulting in the phosphorylation of many target proteins and finally regulating the proliferation of NSCs. P (red or purple): different sites of phosphorylation. FIGURE 7 | Evaluation of the recovery of the injured optic nerve by NPN wave pattern after transplantation. (A) Representative flash visual evoked potentials (F-VEP) tracings at 10 weeks after optic nerve crush injury in Crush, Porf-2-overexpression, Porf-2 knockdown and Control (GFP-NSCs) groups. (B) Bar charts showing F-VEP latency (n = 6 rats). (C) Bar charts showing F-VEP amplitude (n = 6 rats), ∗p < 0.05. (D) Exploration of the mechanism by which Porf-2 exerts its anti-proliferative effects on hippocampus-derived NSCs. Effect of Porf-2 Downregulation or Overexpression on F-VEP after Transplantation Our previous study first showed that Porf-2 played an inhibitory role in NSCs proliferation, and the GAP domain is necessary for its function (Huang et al., 2016). It should be noted that in our previous study, in order to fully investigate the functional domain of Porf-2, we constructed three domain deleted Porf-2 plasmids (Huang et al., 2016). Different to the truncated transcript of Porf-2 reported by Ma and Nowak (2011), which is detected in endogenous C17.2 cell line, our truncated versions of Porf-2 are artificial mutations based on the amino acid and domain sequence of full-length Porf-2 (Huang et al., 2016). Moreover, we screened the possible pathway in mediating NSCs proliferation and found that Porf-2 mediated NSCs proliferation through the classical Wnt/β-catenin pathway (Huang et al., 2016). However, how Porf-2 functions through Wnt are still not fully validated. Here, we provide solid rescue assay by using Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), GSK-3β inhibitor (LiCl), or β-catenin/TCF inhibitor (FH535). Moreover, Porf-2 is expressed in the CNS in a wide range of species, including human, rat, mouse, zebrafish, and sheep (Nowak, 2003). We also present evidence that Porf-2 exhibits similar role in rat, suggesting its conserved function in vertebrate. In addition to physiological role, here we also show that after optic nerve injury, the Wnt signaling is activated. But the poor proliferation of NSCs in optic nerve injury may be due to the inhibitory role of Porf-2, since Porf-2 overexpression is enough to block the role of Wnt3a and Porf-2 knockdown significantly increased the NSCs proliferation in retina after optic nerve injury. This may provide us a new insight into targeting Porf-2 in CNS diseases. including cell proliferation (Gan et al., 2008). Wnt stimulation induces the β-catenin nuclear translocation, which triggers the transcriptional expression of target genes that function during cell proliferation. The activated Wnt pathway was assessed by immunocytochemistry to identify the subcellular localization of β-catenin (Inoue et al., 2006). β-catenin is a coactivator of TCF/LEF-dependent transcription. The translocation of stabilized β-catenin into the nucleus indicates the activation of Wnt signaling (Clevers and Nusse, 2012; Jamieson et al., 2012). In our study, Porf-2 downregulation induced the translocation of more β-catenin into the nucleus in NSCs than in the control group, which had more translocation than the Porf-2 overexpression group. Effect of Porf-2 Downregulation or Overexpression on F-VEP after Transplantation However, we failed to find an increase in β-catenin protein expression in the cytosol in the Porf-2 knockdown or Porf-2 overexpression groups. In our study, GSK3β mRNA and protein levels did not change. The results are in good agreement with a previous study that showed that Rac1 mutation had no effect on β-catenin stabilization in the cytoplasm but abolished β-catenin nucleus accumulation (Wu et al., 2008). β-catenin in the cytosol is normally phosphorylated by GSK3β and is quickly degraded. Rac1 activates JNK1/2, phosphorylates β-catenin on Ser191 and Ser605, and subsequently induces the nuclear localization of β-catenin. In the canonical Wnt signaling pathway, the β-catenin nuclear localization triggers the interaction with the TCF/LEF family of transcription factors, which induces the expression of Wnt pathway target genes such as cyclin-D1, suppresses p21, and enhances proliferation (Tiwari et al., 2014). To further clarify the role of downstream molecules of Porf-2, we used a Rac1 inhibitor and activator and a Wnt signaling pathway inhibitor and activator to treat knockdown and overexpression NSCs. We found that Porf-2 knockdown led to the activation of Rac1 and promoted the nuclear translocation of β-catenin in NSCs, as determined by a Rac GTPase activity assay and Western blotting. However, Porf-2 overexpression led to the inactivation of Rac1 and reduced the nuclear translocation of β-catenin in the Wnt pathway. The mRNA levels of the Rac1-Wnt pathway, the protein levels of cyclin D1 and activated Rac1 increased in Porf-2 knockdown NSCs, whereas decreased in Porf-2-overexpression NSCs. The CCK-8 and EdU assays showed that proliferation was reduced in Porf-2-overexpression NSCs, and this effect was reversed by an activator of Rac1 or the Wnt signaling pathway. NSCs proliferation was enhanced upon Porf-2 knockdown, which was attenuated by an inhibitor of Rac1 or the Wnt signaling pathway (NSC23766 and FH535, respectively). Western blotting revealed that Porf-2 overexpression decreased the cyclin D1 levels and increased P21 levels, which were reversed by activators of Rac1 or the Wnt signaling pathway (PDGF and LiCl, respectively). Conversely, Porf-2 knockdown increased the cyclin D1 levels and decreased P21 levels, which were attenuated by inhibitors of Rac1 or the Wnt signaling pathway. These findings reinforce the notion that the Rac1-Wnt signaling pathway is required for Porf-2 to regulate NSCs proliferation. Porf-2 knockdown significantly increased Wnt3a-induced NSCs proliferation, while Porf-2 overexpression significantly decreased Wnt3a-induced NSCs proliferation, indicating Wnt signal pathway was regulated by Porf-2. Effect of Porf-2 Downregulation or Overexpression on F-VEP after Transplantation Briefly, a direct interaction between Porf-2 and Rac1 reduces the activity of Rac1, which induces the nuclear translocation of β-catenin. β-catenin in the nucleus subsequently activates nuclear transcription factors and inactivates inhibitory factors, thereby resulting in the phosphorylation of many target proteins and finally regulating the proliferation of NSCs. P (red or purple): different sites of phosphorylation. June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 14 Effect of Porf-2 on NSCs Yang et al. (Protein molecular weight: about 130 kD) (Huang et al., 2016). Our previous study first showed that Porf-2 played an inhibitory role in NSCs proliferation, and the GAP domain is necessary for its function (Huang et al., 2016). It should be noted that in our previous study, in order to fully investigate the functional domain of Porf-2, we constructed three domain deleted Porf-2 plasmids (Huang et al., 2016). Different to the truncated transcript of Porf-2 reported by Ma and Nowak (2011), which is detected in endogenous C17.2 cell line, our truncated versions of Porf-2 are artificial mutations based on the amino acid and domain sequence of full-length Porf-2 (Huang et al., 2016). Moreover, we screened the possible pathway in mediating NSCs proliferation and found that Porf-2 mediated NSCs proliferation through the classical Wnt/β-catenin pathway (Huang et al., 2016). However, how Porf-2 functions through Wnt are still not fully validated. Here, we provide solid rescue assay by using Rac1 activator (CN04-A), Rac1 inhibitor (NSC23766), GSK-3β inhibitor (LiCl), or β-catenin/TCF inhibitor (FH535). Moreover, Porf-2 is expressed in the CNS in a wide range of species, including human, rat, mouse, zebrafish, and sheep (Nowak, 2003). We also present evidence that Porf-2 exhibits similar role in rat, suggesting its conserved function in vertebrate. In addition to physiological role, here we also show that after optic nerve injury, the Wnt signaling is activated. But the poor proliferation of NSCs in optic nerve injury may be due to the inhibitory role of Porf-2, since Porf-2 overexpression is enough to block the role of Wnt3a and Porf-2 knockdown significantly increased the NSCs proliferation in retina after optic nerve injury. This may provide us a new insight into targeting Porf-2 in CNS diseases. (Protein molecular weight: about 130 kD) (Huang et al., 2016). Frontiers in Molecular Neuroscience | www.frontiersin.org Effect of Porf-2 Downregulation or Overexpression on F-VEP after Transplantation After optic nerve injury, To explore the effects of Porf-2 on NSCs proliferation, we established cell models in which Porf-2 was either knocked down or overexpressed by transfecting a Porf-2 shRNA or Porf-2 vector into NSCs, respectively. By using CCK-8 and EdU assays, we found that Porf-2 knockdown promoted NSCs proliferation, whereas Porf-2 overexpression decreased NSCs growth and proliferation. We microinjected Porf-2-overexpression NSCs or Porf-2 knockdown NSCs into the subretinal space after rat optic nerve crush injury, and NSCs proliferation increased with Porf-2 knockdown and decreased with Porf-2 overexpression. Moreover, transplantation of Porf-2 knockdown NSCs significantly improved visual function recovery compared with Porf-2-overexpression NSCs. Our study demonstrates the enhanced proliferative ability of Porf-2 knockdown NSCs in the injured retina, which indicates the potential advantages of combination therapies in treating CNS injury. The enhanced proliferative ability of NSCs may partially overcome the harmful factors of specific acute inflammatory activation. Importantly, the enhanced proliferative ability of NSCs could partially counteract the effects of the chronic CNS scar tissue that forms after CNS injury. Notably, our results elucidate the underlying mechanism of the effect of Porf-2 on NSCs proliferation via the Rac1-Wnt/β-catenin pathway. Porf-2 downregulation activated Rac1, promoted the nuclear translocation of β-catenin and increased proliferation, and the effect was reversed by Porf-2 overexpression. β-catenin is known as the crucial effector in the Wnt signaling pathway and mediates several cellular processes, June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 15 Effect of Porf-2 on NSCs Yang et al. control. The peak latencies of the N1, P1, and N2 waves increased, and the amplitude of N1-P1 and P1-N2 decreased in the Porf-2 overexpression group compared with the control. All of these findings suggest that Porf-2 downregulation contributes to the recovery of neurological functions, and conversely, Porf-2 overexpression decreases the number of differentiated neurons and impedes the recovery of neurological functions. The recovery of neurological functions was attribute for growth factor-derived NSCs and differentiated neurons which replace lost RGCs. In our study, the percentage of differentiation of NSCs into neurons failed to differ, but the increased number of NSCs by Porf-2 knockdown contributed to the increased number of neurons. the Wnt3a is up-regulated. In addition, we found that Porf-2 knockdown enhanced proliferation of the transplanted NSCs in retina, which may be due to the increased Wnt3a expression in retina after optic nerve injury. ACKNOWLEDGMENT This work was supported by grants from the National Natural Science Foundation of China (81401587; 81171796; 31371097). AUTHOR CONTRIBUTIONS X-TY and G-HH performed the experiments of morphology, histology, and biochemistry. H-JL and Z-LS have been involved in analysis and interpretation of data and in drafting and revising the manuscript critically. N-JX and D-FF designed experiments and revised the manuscript critically. All authors agree that all the questions related to the accuracy or integrity of the paper have been appropriately investigated and resolved, giving final approval of the version to be published. Flash visual evoked potentials were analyzed in our study, as they quantify the degree of optic nerve injury and nerve conduction. The F-VEP latency was considered as an indictor in reflecting the function of nerve conduction and axon myelin sheath integrity, and the F-VEP amplitude in reflecting receptive function of the macula lutea and the number of intact synaptic contacts (Costa et al., 1985). Measuring F-VEP is objective and effective in evaluating optic nerve function. In our study, the data of F-VEP waveforms indicate the significant recovery of optic nerve function after NSCs transplantation. This result provided strong evidence that NSCs transplantation is a promising strategy in treating optic nerve injury. However, questions also follow. Whether a combination of NSCs transplantation and classic therapeutic strategies, such as steroid application and surgical decompression, is more effective requires further study. Post-transplantation, the peak latencies of the N1, P1, and N2 waves decreased, and the amplitude of N1-P1 and P1-N2 increased in the Porf-2 knockdown group compared with the Effect of Porf-2 Downregulation or Overexpression on F-VEP after Transplantation Thus, when optic nerve injury, the Wnt3a signaling is activated and Porf-2 plays an inhibitory role in such signaling transduction, which also explained the limited practical use of NSCs-based replacement therapy due to low proliferation rate. NSCs transplantation is reported to be a potential source of oncogenicity and tumor formation (Kaus et al., 2010). In the present study, we don’t found the tumorigenicity, indicating Porf-2 knockdown induces the increase of NSC proliferative capacity may be safe. But the tumorigenicity in longer term remains to be further observed. Increased neurogenesis by the Wnt signaling pathway can be caused by increased proliferation of neuronally committed progenitors, or enhanced neuronal cell fate instruction (Lie et al., 2005). However, the Wnt/β-catenin pathway with Porf-2 knockdown or overexpression does not influence the neuronal and astrocytic differentiation of NSCs in vitro and in vivo, which is consistent with the previous reports (Ma and Nowak, 2011; Huang et al., 2016). One potential reason is that Rac1 activity changes. Rac1 regulates the self-renewal and differentiation of neural progenitor cells (Chen et al., 2009). Inhibition of Rac1 enhances NSC differentiation (Meng et al., 2015). Rac1 is dispensable in mediating proliferation and differentiation of SVZ progenitors (Leone et al., 2010). Rac1 deficiency causes an proliferation- induced SVZ-specific reduction along with increased cell cycle exit and premature differentiation. In telencephalic VZ progenitors, Rac1 deletion reduced the sizes of both cerebral cortex and the striatum. Further study has suggested that this abnormality is attributed to the accelerated cell cycle exit in early corticogenesis, causing a reduction of the neural progenitor pool (Chen et al., 2009). We infer that Rac1 activation increases during NSCs proliferation and decreases during differentiation. FIGURE S1 | Identification and differentiation of NSCs. (a1–a4) Representative phase-contrast photomicrographs of neurospheres derived from the hippocampus NSCs. (b1–b4) Quantification of the area of neurospheres and the number of neurospheres in different groups. CONCLUSION Our results clearly suggest that Porf-2, a conserved RhoGAP, suppresses NSCs proliferation via the Rac1-Wnt/β-catenin pathway (summarized in Figure 7D). 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Effect of Porf-2 on NSCs Conflict of Interest Statement: The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest. Copyright © 2017 Yang, Huang, Li, Sun, Xu and Feng. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) or licensor are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms. Zhang, L., Yang, X., Yang, S., and Zhang, J. (2011). The Wnt /beta-catenin signaling pathway in the adult neurogenesis. Eur. J. Neurosci. 33, 1–8. doi: 10.1111/j.1460- 9568.2010.7483.x Zhou, X. M., Sun, J. B., Yuan, H. P., Wu, D. L., Zhou, X. R., Sun, D. W., et al. (2009). A rat model for studying neural stem cell transplantation. Acta Pharmacol. Sin. 30, 1496–1504. doi: 10.1038/aps.2009.151 June 2017 | Volume 10 | Article 172 Frontiers in Molecular Neuroscience | www.frontiersin.org 18
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Pathobiological features of breast tumours in the State of Kuwait: a comprehensive analysis
Journal of carcinogenesis
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BioMed Central BioMed Central BioMed Central Open Acc Research Pathobiological features of breast tumours in the State of Kuwait: a comprehensive analysis Farid Saleh*1 and Suad Abdeen2 Open Access ddress: 1Department of Anatomy, Faculty of Medicine, Health Science Centre, Kuwait University, Safat, Kuwait and aculty of Medicine, Health Science Centre, Kuwait University, Safat, Kuwait Email: Farid Saleh* - fred@hsc.edu.kw; Suad Abdeen - suadd@hsc.edu.kw Email: Farid Saleh* - fred@hsc.edu.kw; Suad Abdeen - suadd@hsc.edu.kw * Corresponding author Published: 24 September 2007 Journal of Carcinogenesis 2007, 6:12 doi:10.1186/1477-3163-6-12 Received: 21 July 2007 Accepted: 24 September 2007 This article is available from: http://www.carcinogenesis.com/content/6/1/12 © 2007 Saleh and Abdeen; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Received: 21 July 2007 Accepted: 24 September 2007 Received: 21 July 2007 Accepted: 24 September 2007 © 2007 Saleh and Abdeen; 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. Introduction The Kuwaiti population is a growing one, and so is the incidence of cancer among the Kuwaitis. In females, the most common types of malignancies include breast can- cer, followed by thyroid cancer, cervical uteri and colorec- tal carcinomas, and ovarian cancer. Breast cancer accounts for 30.3% of all cancer types, and death occurs in approx- imately 43% of patients [1]. The amount of research addressing breast carcinoma in Kuwait is still minimal, and nation-wide studies are still lacking. Accordingly, little is known so far about the dis- ease. Based on our clinical encounters with breast cancer patients at Mubarak al-Kabeer Hospital, which is one of the five major public hospitals in the State of Kuwait, we have noticed that these patients seem to be presenting at a relatively young age with the disease at an advanced stage. Therefore, we sought to conduct a comprehensive analysis of the pathobiological characteristics of the tumours in an attempt to provide the clinicians with a bet- ter picture about the biological behaviour of the tumours including any particular trend that could be present. This could hopefully help the clinicians better understand the disease manifestation in the Kuwaiti population, and, accordingly, help them develop a platform on which fur- ther disease investigation and clinical management strate- gies could be based. In this study, we put much emphasis on carefully examin- ing the pathobiological characteristics of the tumour. These characteristics included tumour margin, histologi- cal types and subtypes, tumour surrounding breast tissue type, tumour grade, mitotic index, tumour size, nuclear pleomorphism, stage of the disease, lymphocyte involve- ment, breast laterality, nature of surgical management (operation performed), and degree of expression of the prognostic markers Her-2, oestrogen receptor (ER), and progesterone receptor (PgR). We also investigated any possible significant association between each of the above characteristics and the degree of expression of Her-2, ER, and PgR. The scoring system developed by Allred et al. [2] in rela- tion to ER, PgR, and Her-2 staining was followed. Accord- ingly, both the proportion and intensity of staining are taken into consideration. A proportion score indicated the proportion of positive tumour cells on the entire slide, and it ranged from 0 to 5. An intensity score indicated the average staining intensity of positive tumour cells, and it ranged from 0 to 3. Both scores were then added, to obtain a total score ranging from 0 to 8. Abstract Background: Breast cancer accounts for 30.3% of all cancer types in Kuwaiti women. Death occurs in approximately 43% of these patients. Our goal was to conduct a comprehensive analysis of the pathobiological characteristics of the tumours in an attempt to determine any particular trend that could be present. Methods: One hundred and sixty-six cases were included in this study. All the pathology reports and paraffin blocks pertaining to these cases were collected. Four micrometer sections were taken from each block, and immunostaining against Her-2, ER, and PgR was performed. Both the proportion and intensity of immunostaining were scored according to the Allred's method, and typing of the tumour was done according the WHO criteria regarding tumour classification. Grading of invasive carcinomas was done according to the modified Bloom-Richardson-Elston's method, and tumour stage was determined according to the criteria set by the American Joint Committee on Cancer. Results: The mean age of the patients below 55 years was 40, as compared to 68 for those above 55 (p < 0.0001). More than half of the cases were in the right breast, and were surgically treated by total mastectomy with axillary clearance. The majority of the tumours had irregular (stellate) margins, was invasive, and had a surrounding breast tissue of adenosis or fibrocystic type. Their mitotic index was 10–20 or >20 with a marked to moderate nuclear pleomorphism. They were mostly grade II or III, sized 2–5 or > 5 cm, had absent or scanty tumour lymphocytes, and were stage II or III. The in situ tumours were mainly ductal carcinoma (DCIS) of which comedo and cribriform were the major histological subtypes. The major histological subtypes of the invasive tumours were ductal-not otherwise specified, lobular, and tubular/cribriform. In this study, we also found a significant (p < 0.05) association between over expression of Her-2, lack of expression of ER and some of the characteristics mentioned above. Conclusion: Breast cancer in Kuwait seems to be more aggressive than what is currently seen in Europe, North America, Australia, and parts of Asia. Further investigations regarding the features observed in this study need to be performed. Page 1 of 10 (page number not for citation purposes) http://www.carcinogenesis.com/content/6/1/12 Journal of Carcinogenesis 2007, 6:12 For immunohistochemical staining, the following stand- ard procedure was followed [2]. Abstract Sections were cut at 4 μm thickness, mounted onto silane-coated slides (S21.1910.110, Novocastra, Newcastle upon Tyne, UK), and left to dry overnight at 37°C. They were then depar- affinized, re-hydrated, and underwent antigen retrieval (Epitope Retrieval PH6, RE7115, Novocastra) by micro- waving (Daewoo KOR-161G, 1000 W, 2450 MHz, 10 power levels, Seoul, South Korea) for 20 minutes. After cooling down to room temperature, the sections were incubated for 15 minutes with 3% hydrogen peroxide to block any endogenous peroxidase activity, washed with TBS, and incubated with goat serum (NCL-G-SERUM, Novocastra) for 20 minutes to block any non-specific staining. They were then washed with TBS, and incubated with 200 μl of primary antibodies for 1 hour at 37°C in a humidified rotator. The dilution of the primary antibody against Her-2 (Clone 10A7, NCL-CBE-356, Novocastra) was 1:40, while those of ER (Clone 6F11, NCL-ER-6F11, Novocastra) and PgR (Clone 16, NCL-PgR-312, Novocas- tra) were 1:40 and 1:100, respectively. The sections were then washed with TBS, and incubated with the secondary link antibody (Novolink Max RE7280-K, Novocastra) for 30 minutes. This was followed by washing with TBS and incubation with the tertiary antibody (Novolink Max RE7280-K, Novocastra) for 30 minutes. Finally, the sec- tions were washed with TBS and incubated for 10 minutes with DAB (Novolink Max RE7280-K, Novocastra) chro- mogen contrasted with hematoxylin counterstain. Posi- tive and negative control slides were used in each staining experiment. The positive controls were breast carcinomas known to be positive for Her-2, ER, and PgR. The negative controls included sections of breast carcinomas known to be negative for Her-2, ER, and PgR, and sections taken from the same tissue block but incubated with antibody diluent instead of the primary antibody. Introduction This scoring sys- tem has been followed in numerous experiments and has resulted in an inter- and intra observer reproducibility of more than 90% [2]. Based on this scoring system, any total score between 6 and 8 was considered overexpres- sion in our study. If the total score was 0, the tumour was considered lacking expression. Methods h d One hundred and sixty-six breast cancer cases seen at Mubarak Al-Kabeer Hospital, were reviewed. All the pathology reports and the H&E slides pertaining to these cases were collected. We selected the cases where complete information regarding the patient and the tumour were available. The Mubarak Al-Kabeer Hospital provides annual health care to around 750,000 people living in the Mubarak Al-Kabeer, Hawally, Salmiya, and Jabriya dis- tricts. The study was approved by the Human Ethics Com- mittee at the Faculty of Medicine, Health Science Centre, Kuwait University, and it conformed to the provisions of the Declaration of Helsinki. The tumours were typed according to the WHO classifica- tion system [3]. Although it is beyond the scope of this Page 2 of 10 (page number not for citation purposes) Page 2 of 10 (page number not for citation purposes) Journal of Carcinogenesis 2007, 6:12 http://www.carcinogenesis.com/content/6/1/12 http://www.carcinogenesis.com/content/6/1/12 As far as staging the carcinomas is concerned, we followed the criteria set by the American Joint Committee on Can- cer [5] and which include briefly: manuscript to provide details of such classification, we will summarize the major points. To start with, such clas- sification includes invasive versus non-invasive breast car- cinomas, based on the infiltration of the basal membrane by the tumour cells. The non-invasive carcinomas are clas- sified as ductal carcinoma in situ (DCIS) or lobular carci- noma in situ (LCIS), based on the involvement of the ducts or the lobules forming the breast tissue. The DCIS tumours include the following subtypes based on the morphology: comedo, cribriform, solid, papillary, micro- papillary, and apocrine. The invasive tumours are further classified as ductal-not otherwise specified, lobular, tubu- lar/cribriform, colloid (mucinous), medullary, papillary, comedo, Paget's disease, adenoid, and apocrine. Stage IV: any distant metastases. a) characteristic formation of tubules (>75%) = 1 point b) moderate formation of tubules (10–75%) = 2 points c) little or without tubules at all (<10%) = 3 points The common standard international approach among pathologists for measuring tumour size was followed in this study. Accordingly, we used the largest diameter of the cut surface of the tumour, and we made much of the diameter of the invasive component. Therefore, we made use of the largest size of the invasive component on the cut surface. c) little or without tubules at all (<10%) = 3 points 2) Pleomorphism of cancer cell nuclei (abnormalities in size, structure, and shape) 2) Pleomorphism of cancer cell nuclei (abnormalities in size, structure, and shape) a) isomorphism of nuclei or small variability in shape, size, and structure of nuclei = 1 point Statistical analysis The Student's t-test was used for comparison of patient age. The chi square (x2) test was used to compare the asso- ciation of expression of Her-2, ER, and PgR and the mac- roscopic and microscopic characteristics of the tumours. The results were considered statistically significant if the p value was < 0.05. b) moderate variability in shape, size, and structure of nucleus = 2 points c) marked characteristic polymorphism = 3 points Methods h d Stage 0: LCIS or DCIS; Stage I: invasive carcinoma ≤ 2 cm in diameter without nodal involvement; Stage II: invasive carcinoma ≤ 5 cm in diameter with up to three involved axillary nodes, or invasive carcinoma > 5 cm without nodal involvement; Stage III: invasive carcinoma ≤ 5 cm in diameter with four or more involved axillary nodes, or invasive carcinoma > 5 cm in diameter with nodal involvement, or invasive car- cinoma with ≥ 10 involved axillary nodes, or invasive car- cinoma with involvement of the ipsilateral internal mammary lymph nodes, or invasive carcinoma with skin involvement, chest wall fixation, or clinical inflammatory carcinoma; The modified Bloom-Richardson-Elston histological sys- tem was used for grading the invasive carcinomas [4]. This aims at examining the growth pattern as well as the bio- logical characteristics of differentiation of these carcino- mas. Accordingly, the following criteria were used: 1) Formation of the gland tubules and acini 1) Formation of the gland tubules and acini Pathobiological characteristics and association with Her- 2, ER, and PgR expression (Additional File 2, 3) The percentage distribution of cancer lesions did not dif- fer between the right (53.6%) and left (42.2%) breasts, but 87.6% of the ones in the right breast were significantly associated with over expression of Her-2 (p < 0.0001). A similar association was seen with lesions present in both the right and left breasts, but the number was too small (n = 7) to deduce any conclusions. Also, six out of seven cases where the cancer lesion was present in both breasts were ER negative, but, again, the number was too small to make any comments. A marked nuclear pleomorphism was seen in 50.6% of the cases we examined. Such pleomorphism was either moderate or small in the remaining cases (38.5% and 10.8% respectively). The marked nuclear pleomorphism was significantly associated with over expression of Her-2 (90.5%; p < 0.0001) and with negative ER expression (89.3%; p < 0.0001). No significant association was noticed with PgR expression (p = 0.76). As for the cases where nuclear pleomorphism was small, 77.8% were Her- 2 negative and 66.7% were ER positive. Various types of surgical management were seen in our study, but the most common ones were total mastectomy with axillary clearance (53.6%) and total lumpectomy without axillary clearance (29.5%). The majority of the former were Her-2 positive (94.4%), ER negative (87.6%), and PgR negative (84.3%), and a significant association was found (p < 0.0001). A similar trend was seen in patients who underwent total lumpectomy with axillary clearance, but the total number in this group did not exceed seven cases. No significant association was observed in patients who underwent total lumpectomy without axillary clearance and Her-2, ER, and PgR expres- sion. As far as tumour grade is concerned, 50.6% of the tumours were grade II, 39.2% grade III, and 10.2% grade I. The grade II and III tumours predominantly (92.9% and 87.7%, respectively) over expressed Her-2 and were ER negative (95.2% and 84.6%, respectively). Grade I tumours were mostly Her-2 negative (94.1%) and ER pos- itive (82.3%). A significant association between tumour grade and expression of Her-2 (p < 0.0001) and ER (p < 0.0001) but not PgR (p = 0.69) was observed. The tumour margins studied were irregular (stellate), and defined (demarked). Age and association with Her-2, ER, and PgR expression (Additional File 1, 2) The age-world-standardized incidence rate of breast can- cer in Kuwaitis is 31.8, which is higher than that of neigh- bouring Gulf countries such as the United Arab Emirates (24.1) and Saudi Arabia (24.7) [1]. Our results showed that 68.1% of the patients were between the age of 30 to 55 yrs, 29.5% above 55 yrs, and 2.4% below 30 yrs. The mean age of the patients below 55 yrs was 40, as com- pared to 68 for those above 55 (p < 0.0001). By adding up the points of the above criteria, the level of tumour differentiation could then be calculated as fol- lows: grade I (well differentiated; 3–5 points), grade II (moderately differentiated; 6–7 points), grade III (poorly differentiated; 8–9 points). There was a significant association between over expres- sion of Her-2 and age of the patients, whereby 78.8% of the patients aged 30–55 years and 75% of the patients Page 3 of 10 (page number not for citation purposes) Page 3 of 10 (page number not for citation purposes) Page 3 of 10 (page number not for citation purposes) http://www.carcinogenesis.com/content/6/1/12 Journal of Carcinogenesis 2007, 6:12 http://www.carcinogenesis.com/content/6/1/12 papillomatous (1.2%). Eighty nine percent of the tumours which were surrounded by fibrocystic tissue over expressed Her-2 (p < 0.0001) and were ER negative (p = 0.0004). On the other hand, 100% and 83.3% of the nor- mal type were Her-2 and ER negative respectively. No sig- nificant association was observed with PgR expression (p = 0.54). aged less than 30 years were Her-2 positive (p = 0.0003). A similar age trend but with different expression was observed with ER expression, since 81.4% of the patients aged 30–55 yrs and 75% of those aged less than 30 yrs were ER negative (p < 0.0001). Patients aged above 55 yrs were more ER positive (61.2%). On the other hand, no significant association between the different age groups and PgR expression was observed (p = 0.36). Our results showed that 54.8% of the tumours had a mitotic index of between 10 and 20, 28.3% above 20, and 16.9% below 10. Most of those with a mitotic index between 10 and 20 (86.8%) and above 20 (89.4%) over expressed Her-2 (p < 0.0001), and 84.6% and 85.1% were ER negative respectively (p < 0.0001). Most of the ones with a mitotic index below 10 were Her-2 negative (78.6%) and ER positive (67.9%). Age and association with Her-2, ER, and PgR expression (Additional File 1, 2) No significant associa- tion was observed between the mitotic index characteristic and the degree of expression of PgR by the tumours (p = 0.31). Discussion Our results showed that over expression of Her- 2 and lack of ER expression were mostly seen with stages III and IV, whereby 81.2% and 85.4% of stage III tumours over expressed Her-2 and were ER negative respectively (p < 0.0001), and 87.5% and 75% of stage IV tumours over expressed Her-2 and were ER negative respectively (p < 0.0001). No significant association was observed with PgR expression (p = 0.41). Stage I tumours were mostly Her-2 negative (78.6%) and ER positive (67.9%). In contrast to what is commonly known about a rising incidence of breast cancer with age, our results showed that 70.5% of the patients we examined were young with an age not exceeding 55 years. The mean age of these patients was 40, and the majority of them were between the ages of 30 and 55. This age distribution is significantly younger than what is currently seen in Western and Arab countries [1,11], and requires further careful examination to determine the nature of the predisposing factor(s). One possible explanation is that traditional marriages among first-degree relatives in Kuwait are very common, and, accordingly, hereditary factors could play a major role. Another factor could be the degree of obesity associated with a diet high in fat, carbohydrate, and protein, and lack of exercise, which have been prevalent in Kuwait for the past 20 years. We are in the process of conducting a com- prehensive study at the Mubarak Al-Kabeer Hospital, in order to examine the above and some other predisposing factors. An interesting finding in this study is that the car- cinomas from the patients in the above age category pre- dominantly over express Her-2. These results confirm those obtained from studies where an association between age of breast cancer patients and their tumour over expression of Her-2 was found [12-15]. Other stud- ies, however, did not find any significant association between the former and the latter [16,17]. We also found that there is a significant association between the nature of the tumours' expression of ER and the age of the patients. Patients with ER negative tumours were mostly young (< The histological subtypes of in situ ductal tumours included comedo (47.8%), cribriform (26.1%), solid (8.7%), papillary (8.7%), micropapillary (4.3%), and apocrine (4.3%). Most of the comedo (81.8%) and cribri- form (83.3%) subtypes over expressed Her-2, and a signif- icant association was found (p = 0.004). Discussion We examined the lymphocytes in the vicinity of or inside the tumour, in an attempt to associate their presence/ absence with Her-2, ER, or PgR expression. We classified the lymphocytes as follows: absent, scanty, multifocal outside the tumour, multifocal inside the tumour, band outside the tumour, band inside the tumour, diffuse out- side the tumour, and diffuse inside the tumour. Most of the tumours had lymphocytes either absent (34.3%), scanty (25.9%), or multifocal outside the tumour (10.8%). Our results did not show any significant associ- ation between the above classification and Her-2 (p = 0.73), ER (p = 0.66), and PgR (p = 0.98) expression. The current trend in analysing the clinical outcome of a patient with breast cancer is to examine predictive and prognostic factors related to the patient and her tumour. The former is related to the degree to which the patient could respond to a specific therapy, while the latter is related to the metastatic potential of the tumour. Several studies have examined predictive and prognostic factors, such as the age of the patient, tumour size, grade, prolifer- ation, hormone status, histological type of the tumour, and lymph node involvement, to name a few [6-11]. With the advancement in science and technology, molecular markers have been added to the above list, in an attempt to help the clinicians to better monitor the course of the disease and predict its outcome [10]. In this study, we conducted a comprehensive analysis of breast carcinomas taken from 166 patients in Kuwait. We limited our study to a sample size of 166 because these were the only cases for which we had complete information about the patient and the tumour. Also, these were the only cases whose paraffin blocks had enough tissue in them so that taking extra sections from these blocks for our study did not jeopardize the amount of tissue remaining in them in case of future examination. The most common tumour stage was stage II (39.8%), fol- lowed by stage III (28.9%), stage I (16.9%), and stage IV (14.5%). Pathobiological characteristics and association with Her- 2, ER, and PgR expression (Additional File 2, 3) The former accounted for 87.9% of all the breast cancer cases, and it was associated with over expression (89%) of Her-2 (p < 0.0001) and with negative expression (82.2%) of ER (p = 0.0011). No association was seen with PgR expression (p = 0.55). The size of the tumour was between 2 and 5 cm in 53.6% of the cases studied. The remaining cases had a tumour size more than 5 cm (31.3%) and less than 2 cm (15.1%). Similarly to the tumour grade and mitotic index indicated above, most of the cases with a tumour size between 2 and 5 cm (84.3%) and more than 5 cm (92.3%) over expressed Her-2 (p < 0.0001) and were ER negative (80.9% and 88.5% respectively, p < 0.0001). In contrast to tumour grade and mitotic index, most these cases were also PgR negative (67.4% and 76.9% respectively, p = 0.016). Tumours smaller than 2 cm were mostly Her-2 negative (72%), and ER positive (80%). Our results showed that 83.1% of the tumours were inva- sive as compared to 16.9% of in situ tumours. The invasive tumours were predominantly Her-2 positive (87%), and ER (79.7%) and PgR negative (71%) (p < 0.0001). On the other hand, the in situ tumours were predominantly Her- 2 negative (92.9%), and ER (85.7%) and PgR (71.4%) positive. The in situ tumours were either ductal or lobular. The ductal ones significantly over expressed Her-2 and were ER negative (p < 0.001). The breast tissue type surrounding the tumour was either adenosis (51.2%), fibrocystic (44%), normal (3.6%), or Page 4 of 10 (page number not for citation purposes) http://www.carcinogenesis.com/content/6/1/12 Journal of Carcinogenesis 2007, 6:12 http://www.carcinogenesis.com/content/6/1/12 http://www.carcinogenesis.com/content/6/1/12 Page 5 of 10 (page number not for citation purposes) Discussion Similar findings to Quong were observed by Holdaway and Mountjoy [21], Clark et al. [22], Wilking et al. [23], Gaskell et al. [24], Rhodes et al. [25], and Tominaga et al. [26]. Other studies have, however, found no association between the age of the patient and the degree of expres- sion of ER by the tumour [27]. In our study, we also took breast laterality into considera- tion. The number of carcinomas present in the right breast was slightly more than in the left one (53.6% versus 42.2%). Such tumour laterality was significantly associ- ated with Her-2 over expression, but not with ER or PgR expression. However, since the difference in the location of the carcinomas (right versus left breast) was not signif- icant, we prefer not to deduce, at this stage, any conclu- sions in relation to the expression of the above markers. The small marginal difference in relation to the location of the tumour in the right versus left breast in our study was similar to the one reported by Largent et al. [43]. When analysing the demographic and tumour character- istics of early breast cancer patients, the authors found that 52% of the carcinomas were present in the right breast, as compared to 48% in the left one. The only stud- ies that we found in the literature, which attempted to find an association between breast laterality and hormone receptor expression were the ones conducted by Tominaga et al. [26] and by Borisenkov and Bazhenov [44]. Borisenkov and Bazhenov reported that the degree of expression of hormone receptors by breast carcinomas taken from Russian patients significantly depended on whether the tumour was present in the right or left breast [44]. On the other hand, such an association was lacking in the study conducted by Tominaga et al. [26] on Japa- nese women with breast cancer. In our study, the percent- age of patients who underwent total mastectomy with axillary clearance was the highest. Interestingly, there was a significant association between this type of surgical management and the tumour expression of Her-2, ER, and PgR. This association was also seen in the patients who underwent total lumpectomy with axillary clearance. The carcinomas of the patients in both surgical categories predominantly over expressed Her-2, and were mostly ER and PgR negative. According to our knowledge, this is the first time where such an association has been reported. Discussion A similar trend was seen with ER expression, whereby 72.7% of the comedo and 83.3% of the cribriform subtypes were ER negative (p = 0.013). No significant association was found between the above histological subtypes and PgR expres- sion (p = 0.80). The histological subtypes of invasive tumours included ductal-not otherwise specified, lobular, tubular/cribri- form, colloid (mucinous), medullary, papillary, comedo, Paget's disease, adenoid, and apocrine. The most com- mon histological subtypes were ductal-not otherwise specified (71.7%), followed by lobular (10.1%), and tubular/cribriform (9.4%). The ductal-not otherwise spec- ified and lobular tumours were predominantly (89.9% and 92.9% respectively) Her-2 positive and ER negative (86.9% and 85.7% respectively). The tubular/cribriform tumours were predominantly Her-2 negative (76.9%), ER positive (84.6%), and PgR negative (61.5%). The chi square test showed a significant association between the most common histological subtypes mentioned above and the expression of Her-2 and ER (p < 0.0001, and p = 0.0005 respectively). No significant association was found with PgR expression (p = 0.23). Page 5 of 10 (page number not for citation purposes) Page 5 of 10 (page number not for citation purposes) http://www.carcinogenesis.com/content/6/1/12 http://www.carcinogenesis.com/content/6/1/12 Journal of Carcinogenesis 2007, 6:12 30 years and between 30–55 years), as compared to posi- tive ER expression in patients aged above 55 years. in which the patients were divided into three age catego- ries (≤ 35 yrs, 36–50 yrs, and > 50 yrs), Fowble et al. [42] reported that young patients had significantly more asso- ciation between tumour margin status and negative ER expression. Unlike our results, Kim et al. [37] reported an association between tumour margin and positive rather than negative ER expression: moreover, the authors found an association with positive PgR expression. Lack of an association between the tumour margin and hormone receptor status was reported in a study conducted on 254 patients undergoing partial mastectomy [35]. Similarly, Horiguchi et al. [31,33] found no association with tumour expression of ER. Studies where an association between the nature of breast carcinomas' expression of ER and age of the patients was found have been documented. A recent study conducted by Jalava et al. [18] reported a significant association between the former and the latter. Ferno et al. [19] reported a lower expression of ER in patients below 50 years old, and Quong et al. [20] found that the expression of ER by breast carcinomas increases with age. Discussion In our study, we did not find any significant association between the age of the patients and their tumour expres- sion of PgR. Similar findings were reported by Holdaway and Mountjoy [21], Clark et al. [22], and Wilking et al. [23]. Other studies, however, have reported a higher tumour expression of PgR in patients older than 59 years, as compared to those between 50 and 59 years [19]. The over expression of Her-2 and lack of ER expression by the tumours of the patients aged below 55 years in our study might explain the high mortality rate reported earlier [1] among these patients, since such tumours often become resistant to adjuvant and hormone therapies. Other characteristics that we examined were the margins of the tumours, laterality (right versus left breast), and the type of surgical management. Tumour margins often rep- resent a reliable source of positive or negative disease out- come. In our study, the margins of the tumours were mostly irregular (stellate). Having an irregular (stellate) margin means that the tumour is not confined and there is a potential for metastasis. This is further confirmed by the degree of malignancy of the tumours, which was sig- nificantly associated in our study with bad prognostic markers such as over expression of Her-2 and negative expression of ER. Irregular (stellate) margins did not asso- ciate with PgR expression. An association between the tumour margin status and Her-2, ER, or PgR expression has been investigated in several studies [28-42]. Putti et al. [29] recently demonstrated that breast tumours with a pushing margin (another terminology for irregular or stel- late margin) were found to be ER negative and over expressing Her-2. A similar association with Her-2 over expression was reported by Miller et al. [38]. The circum- scription of the tumour margin was significantly associ- ated with negative PgR expression in a study conducted on 281 women with breast cancer in Finland [30]. In another study conducted on 980 patients with breast cancer, and The histological characteristics of breast carcinomas have been investigated in several studies trying to correlate the histological type/subtype of the tumour with the disease Page 6 of 10 (page number not for citation purposes) Page 6 of 10 (page number not for citation purposes) http://www.carcinogenesis.com/content/6/1/12 Journal of Carcinogenesis 2007, 6:12 rounding tissue, including perivascular and perineural spaces, as well as lymphatic and blood vessels. Discussion We also found a significant association between Her-2 over expres- sion and lack of ER expression and the lobular histologi- cal subtype. This could imply that, although this histological subtype of invasive breast carcinoma is less common than the ductal-not otherwise specified one, lobular carcinomas could be equally aggressive. Various and sometimes contradictory reports have been published in the literature regarding the association between the expression of Her-2 and hormone receptors and the vari- ous histological subtypes of invasive breast carcinomas. In a recent study conducted by Jalava et al. [18], the breast carcinomas' ER expression was found to be greater in lob- ular than in ductal tumours. Other authors have reported that the mucinous type is associated with an increase in the expression of ER and with a decrease in the expression of Her-2 [52]. Similarly, Her-2 was found to be inversely associated with ER status based on the histological type in a study conducted by Coradini et al. [53]. Still, other stud- ies confirmed a lack of an association between the histo- logical type of breast tumour and its hormone receptor status [54]. outcome such as local recurrence, site of recurrence (ipsi- lateral versus bilateral), metastasis (regional versus dis- tant), and response to therapy. For instance, even earlier reports have shown that the 30-year survival rate of women with certain histological types of breast cancer such as tubular or lobular is greater than 60% as com- pared with less than 20% for women with breast cancer of no special type [45]. Chen et al. [46] have demonstrated that breast cancer of lobular histological type is more often bilateral when compared to other types. In our study, we conducted a comprehensive histological analysis of the breast tumours. Our results showed that 83.1% of the carcinomas were invasive. Eighty two per- cent of the in situ carcinomas were ductal, and they were predominantly comedo or cribriform. The invasive carci- nomas were mostly ductal-not otherwise specified, lobu- lar, or tubular/cribriform, and the breast tissue type surrounding the carcinoma was predominantly adenosis or fibrocystic. Our results are similar to those reported by Andersson et al. [47], where the incidence of in situ breast carcinoma was 16%, in contrast to a higher incidence (26%) reported by May et al. [48]. Discussion When we analysed the above parameters in relation to the tumour expression of Her-2, ER, and PgR, we found that the invasive carcino- mas predominantly over expressed Her-2 and were mostly ER and PgR negative. On the other hand, the in situ tumours were mostly Her-2 negative, and ER and PgR pos- itive. This provides more evidence to the hypothesis that aggressive tumours seem to lack hormone receptors and to over express Her-2. Our results are similar to those reported by Zafrani et al. [49], where 81% of the in situ tumours the authors examined were ER positive and 73% were PgR positive. We also found an association between some histological subtypes of the in situ ductal tumours and Her-2, ER, and PgR expression, whereby the comedo and cribriform subtypes significantly over expressed Her- 2 and were ER negative. This is similar to the findings reported by Janssens et al. [50] and by Provenzano et al. [51], and confirms previous reports that showed lack of ER expression in comedo histological subtype of ductal carcinoma in situ [27]. As far as the histological subtypes of invasive carcinoma are concerned, we found that the most common subtypes were ductal-not otherwise speci- fied, lobular, and tubular/cribriform. This confirms the WHO classification of invasive breast carcinomas in rela- tion to the percentage occurrence of these subtypes [3]. The ductal-not otherwise specified carcinomas over expressed Her-2 and were predominantly ER negative. This again shows the association between the nature of the biological expression of Her-2 and ER by the tumour and its degree of malignancy, since it has been argued that ductal-not otherwise specified carcinomas are the most aggressive type of breast cancer. This is based on the fact that its tumour cells are often seen infiltrating into the sur- As far as other tumour characteristics are concerned, we have noticed that tumours with a surrounding breast tis- sue that is fibrocystic in nature commonly over expressed Her-2. Whether there is a direct biological association between the former and the latter remains to be investi- gated. Page 7 of 10 (page number not for citation purposes) Conclusion Our above findings showed so far that tumour character- istics in Kuwaiti patients are rather aggressive. In order to further analyse the profile of these tumours, we examined some important tumour-related prognostic factors, such as grade, mitotic index, size, nuclear pleomorphism, stage, and lymphocytes. The majority of our patients pre- sented with grade II or III tumours. These two grades were Her-2 positive and ER negative, in contrast to grade I tumours which were Her-2 negative and ER positive. This confirms the results of the study conducted by Keshgegian [15], where Her-2 over expression was found to correlate with higher tumour grade. Our results are also similar to those reported by Armes et al. [55,56], where tumour grade was found to correlate with over expression of Her- 2 and with negative ER expression. However, our finding is not in agreement with the studies where a weak or no association was found between the grade of the tumour and its expression of Her-2, ER and/or PgR [15,22,27,54]. Interestingly, the same significant trend that we observed in grade II and III tumours, in relation to association with over expression of Her-2 and negative ER expression, was also seen in tumours with a mitotic index of between 10 and 20 and above 20, and in tumours measuring between Page 7 of 10 (page number not for citation purposes) Page 7 of 10 (page number not for citation purposes) Journal of Carcinogenesis 2007, 6:12 http://www.carcinogenesis.com/content/6/1/12 2 and 5 cm and above 5 cm. Similarly, tumours with marked nuclear pleomorphism and those in stages III and IV over expressed Her-2 and were ER negative. We did not find significant association between Her-2, ER, and PgR expression and the nature of presence or absence of tumour lymphocytes. The literature has cited controver- sial findings in relation to a possible association between Her-2, ER, and PgR tumour expression and some of the above prognostic parameters. Some studies have reported that the expression of Her-2 and ER does not associate with the size of the tumour [15,54], whereas others reported a significant association with ER expression [21,22,27]. For instance, the expression of ER was found to be higher in small breast tumours, and to significantly decrease in tumours above 5 cm [21,27]. Our study showed that tumours which were above 5 cm in size were ER negative, and so were those measuring between 2 and 5 cm. Additional material Additional file 1 Age-world-standardized incidence rate (ASR(W)) of breast cancer in Kuwait as compared to neighbouring Gulf countries [1], and age distri- bution of breast cancer in Kuwait according to our study (Total n=166). Click here for file [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S1.doc] Additional file 2 Association of Her-2, ER, and PgR expression and age of the patients and the pathobiological characteristics of the breast tumours. Total numbers of cases = 166 *p value < 0.05. Click here for file [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S2.doc] Additional file 3 Pathobiological characteristics of the tumours with data arranged by decreasing order of percentage (Total n = 166) Click here for file [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S3.doc] Additional file 2 Association of Her-2, ER, and PgR expression and age of the patients and the pathobiological characteristics of the breast tumours. Total numbers of cases = 166 *p value < 0.05. [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S2.doc] References 1. Ferlay J, Bray F, Pisani P, Parkin DM: Breast Cancer. In Cancer inci- dence, mortality and prevalence worldwide Volume VI. 2nd edition. Edited by: Ferlay J, Parkin DM. Lyon: IARC Press; 2004. y y J y 2. Allred DC, Harvey JM, Berardo M, Clark GM: Prognostic and pre- dictive factors in breast cancer by immunohistochemical analysis. Mod Pathol 1998, 11:155-68. y 3. Tavassoli FA, Devilee P, Ellis IO, Schnitt SJ, Sastre-Garau X, Jaffe ES, Harris NL, Stein H, World Health Organization Classification of Tumours: Pathology and genetics of tumours of the breast and female genital organs: In Fattaneh A. Volume 4. Edited by: Tavassoli, Peter Devilee. Lyon: IARC Press-WHO; 2003. y 4. Robbins P, Pinder S, de Klerk N, Dawkins H, Harvey J, Sterrett G, Ellis I, Elston C: Histological grading of breast carcinomas: a study of interobserver agreement. Hum Pathol 1995, 26:873-9. g 5. Greene FL, Page DL, Fleming ID: AJCC cancer staging manual. Volume 6. 6th edition. Edited by: Greene FL, Morrow M. New York: Springer; 2002. p g 6. Hanna W, Kahn HJ, Trudeau M: Evaluation of HER-2/neu (erbB- 2) status in breast cancer: from bench to bedside. Mod Pathol 1999, 12:827-34. 7. Hayes DF, Trock B, Harris AL: Assessing the clinical impact of prognostic factors: when is "statistically significant" clinically useful? Breast Cancer Res Treat 1998, 52:305-19. In conclusion, breast cancer is currently affecting women at a young age in Kuwait. The characteristics of the tumours that we studied showed that they were more aggressive than those reported in neighbouring and regional countries. Our results seem to confirm the obser- vation that over expression of Her-2 and lack of ER expres- sion correlate with a degree of malignancy of breast tumours which lead to poor prognosis and resistance to therapy. Our results also argue for the necessity of estab- lishing awareness of the disease in Kuwaiti society, along with further investigating its molecular pathogenesis. 8. Page DL, Jensen RA, Simpson JF: Routinely available indicators of prognosis in breast cancer. Breast Cancer Res Treat 1998, 51:195-208. 9. Ross JS, Fletcher JA: The HER-2/neu oncogene in breast cancer: prognostic factor, predictive factor, and target for therapy. Stem Cells 1998, 16:413-28. 10. Porter-Jordan K, Lippman M: Overview of the biologic markers of breast cancer. Hematol Oncol Clin North Am 1994, 8:73-100. 11. Conclusion The high mitotic index that we observed, and which was associated with both Her-2 over expression and nega- tive ER, reflected a poor prognosis in our patients. Several studies have reported similar association [15,18,27]. Finally, our results do not confirm earlier studies in which the expression of ER was associated with the nature of the presence of lymphocytes in the vicinity of the tumour [57,58]. We chose to examine the nature of the presence of tumour lymphocytes as one of the tumour characteris- tics that we examined in this study, since such a character- istic could provide an insight into the immunological status of the tumour. The observations reported in some types of tumours such as melanomas, which share with breast carcinoma their epithelial origin, have shown that tumours infiltrated by lymphocytes respond better to therapy, as compared to those where the lymphocytes are present outside the tumour (being in clusters or as a band), and as compared to those where the lymphocytes are absent [59,60]. According to our study, the expression or lack of expression of Her-2, ER, and PgR does not seem to have a direct effect on the nature of the location of lym- phocytes in relation to the breast carcinomas that we examined. This is a new finding according to our knowl- edge. Additional file 1 Age-world-standardized incidence rate (ASR(W)) of breast cancer in Kuwait as compared to neighbouring Gulf countries [1], and age distri- bution of breast cancer in Kuwait according to our study (Total n=166). Click here for file [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S1.doc] Additional file 3 Pathobiological characteristics of the tumours with data arranged by decreasing order of percentage (Total n = 166) Click here for file [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S3.doc] Pathobiological characteristics of the tumours with data arranged by decreasing order of percentage (Total n = 166) Click here for file [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S3.doc] Pathobiological characteristics of the tumours with data arranged by decreasing order of percentage (Total n = 166) Click here for file [http://www.biomedcentral.com/content/supplementary/1477- 3163-6-12-S3.doc] Page 8 of 10 (page number not for citation purposes) References Aust N Z J Med 1978, 8:630 8. 22. Clark GM, Osborne CK, McGuire WL: Correlations between estrogen receptor, progesterone receptor, and patient char- acteristics in human breast cancer. 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Montesco MC, Pluchinotta A, Piffanelli A, Pelizzola D, Giovannini G, Pagnini CA: Hormone receptors and breast cancer: correla- tions with clinical and histologic features. Tumouri 1984, 70:445-50. 59. Hussein MR: Tumour-infiltrating lymphocytes and melanoma tumourigenesis: an insight. Br J Dermatol 2005, 153:18-21. g g J 60. Chiou SH, Sheu BC, Chang WC, Huang SC, Hong-Nerng H: Current concepts of tumour-infiltrating lymphocytes in human malignancies. J Reprod Immunol 2005, 67:35-50. References Publish with BioMed Central and every scientist can read your work free of charge "BioMed Central will be the most significant development for disseminating the results of biomedical research in our lifetime." 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Cortical–Hypothalamic Integration of Autonomic and Endocrine Stress Responses
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Cortical–Hypothalamic Integration of Autonomic and Endocrine Stress Responses Derek Schaeuble  and Brent Myers * Department of Biomedical Sciences, Colorado State University, Fort Collins, CO, United States Department of Biomedical Sciences, Colorado State University, Fort Collins, CO, United States The prevalence and severity of cardiovascular disease (CVD) are exacerbated by chronic stress exposure. While stress-induced sympathetic activity and elevated glucocorticoid secretion impair cardiovascular health, the mechanisms by which stress-responsive brain regions integrate autonomic and endocrine stress responses remain unclear. This review covers emerging literature on how specific cortical and hypothalamic nuclei regulate cardiovascular and neuroendocrine stress responses. We will also discuss the current understanding of the cellular and circuit mechanisms mediating physiological stress responses. Altogether, the reviewed literature highlights the current state of stress integration research, as well unanswered questions about the brain basis of CVD risk. REVIEW published: 11 February 2022 doi: 10.3389/fphys.2022.820398 Reviewed by: Reviewed by: Jeffrey Tasker, Tulane University, United States Fernando Morgan de Aguiar Corrêa, University of São Paulo, Brazil *Correspondence: Brent Myers *Correspondence: Brent Myers brent.myers@colostate.edu Cardiovascular disease (CVD) is the leading cause of death worldwide. Although diet, exercise, and other lifestyle risk factors have been extensively characterized, less focus has been placed on the effects of prolonged mental stress to increase CVD morbidity and mortality (Barefoot et  al., 1996; Chida and Steptoe, 2010). Notably, CVD risk more than doubles with chronic stress exposure (Yusuf et  al., 2004; Steptoe and Kivimäki, 2012); yet, the neurobiological mechanisms linking stress and cardiovascular health outcomes are only partially understood. However, recent methodological advances have improved the ability to specifically interrogate stress-responsive neurocircuitry and subsequent regulation of cardiovascular physiology.h Specialty section: This article was submitted to Autonomic Neuroscience, a section of the journal Frontiers in Physiology Specialty section: This article was submitted to Autonomic Neuroscience, a section of the journal Frontiers in Physiology Received: 24 November 2021 Accepted: 19 January 2022 Published: 11 February 2022 The physiological stress response is a conserved biological mechanism that promotes survival and adaptation in the presence of potential threats to homeostasis. In response to stressors, the brain activates both autonomic and endocrine output to mobilize energy resources (Myers et al., 2014b). The immediate response is generated by the autonomic nervous system, composed of the sympathetic and parasympathetic branches. The sympathetic nervous system is governed by descending cortical and forebrain circuits that regulate the activity of pre-sympathetic neurons in the hypothalamus and brainstem which communicate with spinal pre-ganglionic sympathetic neurons (Ulrich-Lai and Herman, 2009). Post-ganglionic sympathetic neurons then promote fight-or-flight responses including elevations of epinephrine, glucose, heart rate, and blood Edited by: Eugene Golanov, Houston Methodist Hospital, United States Keywords: hypothalamic–pituitary–adrenal axis, sympathetic, cardiovascular, medial prefrontal cortex, insula Citation: Schaeuble D and Myers B (2022) Cortical–Hypothalamic Integration of Autonomic and Endocrine Stress Responses. Front. Physiol. 13:820398. doi: 10.3389/fphys.2022.820398 February 2022 | Volume 13 | Article 820398 1 Frontiers in Physiology | www.frontiersin.org Cortical–Hypothalamic Stress Integration Schaeuble and Myers 2009; Rinaman, 2011; Herman et  al., 2016; Maniscalco et  al., 2017; Chaves et  al., 2021; Lamotte et  al., 2021).h pressure. The parasympathetic branch is regulated by descending cortical and forebrain innervation of brainstem pre-ganglionic nuclei which typically withdraw activity in response to stress. On a prolonged timescale, the neuroendocrine hypothalamic– pituitary–adrenocortical (HPA) axis is activated by paraventricular hypothalamic corticotropin-releasing hormone (CRH; Herman et  al., 2016). CRH is secreted in the anterior pituitary gland and stimulates the release of adrenocorticotropic hormone (ACTH). Systemic ACTH then acts on the adrenal cortex to stimulate synthesis and release of glucocorticoids. Glucocorticoids (cortisol in humans and corticosterone in rodents) act throughout the body via glucocorticoid receptors (GR) and mineralocorticoid receptors (MR; de Kloet et al., 2005). Importantly, corticolimbic circuits appraise context and prior experience to regulate autonomic activity, hormone secretion, and feedback through GR and MR signaling (Myers et  al., 2012). 2009; Rinaman, 2011; Herman et  al., 2016; Maniscalco et  al., 2017; Chaves et  al., 2021; Lamotte et  al., 2021).h 2009; Rinaman, 2011; Herman et  al., 2016; Maniscalco et  al., 2017; Chaves et  al., 2021; Lamotte et  al., 2021).h The current review focuses on the rodent prefrontal cortex, including a specific population of cells in the infralimbic cortex (IL) that is necessary for cardiovascular and endocrine responses to chronic stress. We also discuss the importance of prelimbic prefrontal cortex (PL) and highlight insular cortex effects on cardiovascular activity. Additionally, we  discuss how these cortical regions may target the hypothalamus to trans-synaptically regulate neuroendocrine and cardiovascular autonomic effectors. The specific hypothalamic nuclei examined include the lateral hypothalamus (LH), dorsal medial hypothalamus (DMH), and posterior hypothalamus (PH), all of which innervate the PVN and regulate cardiovascular reactivity. CORTICAL STRESS REGULATION g g ( y ) Although autonomic and endocrine stress responses are necessary for survival, exposure to traumatic or chronic stress can lead to autonomic imbalance, impaired negative feedback of the HPA axis, and illness (McEwen and Stellar, 1993; Herman et  al., 2003). While the autonomic nervous system and HPA axis act through different mechanisms, central integration of both systems is necessary for appropriate physiological control. There is a limited collection of forebrain and brainstem structures that provide monosynaptic input to both autonomic pre-ganglionic neurons and HPA axis neurosecretory cells (Ulrich-Lai and Herman, 2009). In addition to the paraventricular hypothalamus (PVN), which houses both pre-autonomic and secretory cells (Swanson and Sawchenko, 1983), subsets of neurons in the bed nuclei of the stria terminalis, hypothalamus, and hindbrain (ventrolateral medulla and nucleus of the solitary tract) regulate neuroendocrine and autonomic outflow. Importantly, this stress regulation is modulated by descending corticolimbic inputs including the prefrontal and insular cortices, amygdala, and hippocampus (Herman et al., 2003; Myers, 2017). The hierarchy of cortical inputs to subcortical regions that innervate stress- effector cells is fundamental to translating cognitive appraisal and emotional processes into physiological activity. This review specifically focuses on stress-regulatory cortical regions and their targets in the hypothalamus. The amygdala, a temporal lobe limbic structure critical for the expression of fear, also provides multi-synaptic excitatory drive to both sympathetic and HPA axis stress responses (Swanson and Petrovich, 1998; Sah et  al., 2003). The complex nuclear heterogeneity of the amygdala gives rise to numerous projections that target the bed nuclei of the stria terminalis, hypothalamus, and brainstem (Hermann et al., 1997; Prewitt and Herman, 1998; Saha, 2005; Myers et  al., 2014a) Although, the actions of specific amygdaloid nuclei on autonomic and endocrine stress responses have been extensively reviewed elsewhere (Davis, 1997; Shekhar et  al., 2003; Phelps and LeDoux, 2005; Ulrich-Lai and Herman, 2009; Davis et  al., 2010; Myers et  al., 2012, 2014b; Herman et  al., 2016; Myers, 2017). Accordingly, the following review will concentrate on the rodent cortical–hypothalamic neurocircuitry that integrates neuroendocrine and cardiovascular autonomic activity. While the brainstem has a pivotal role in stress integration, this topic has also been reviewed elsewhere (Ulrich-Lai and Herman, Frontiers in Physiology | www.frontiersin.org Insular Cortex Human imaging studies reveal that insular cortex shifts cardiac autonomic activity, possibly leading to arrhythmias (Oppenheimer and Cechetto, 2016). Furthermore, both human and rodent studies include the insula in the central autonomic network (Saper, 1982; Shoemaker and Goswami, 2015). From rostral to caudal, insular cortex is divided into the anterior insula (AI), posterior insula (PI), and an overlapping intermediate insula. Additionally, dorsal to ventral differences in cytoarchitecture lead to disgranular, granular, and agranular subdivisions (Gogolla, 2017). Although the insula has widespread limbic and visceral connectivity, the anatomical size and complexity have limited research on insular stress regulation. However, numerous studies have investigated the effects of insular stimulation on cardiovascular parameters, identifying effects of both AI and PI (Allen et  al., 1991; Oppenheimer et  al., 1991; Yasui et  al., 1991). Specifically, electrical stimulation elicits tachycardia and modest arterial pressure increases in anesthetized rats (Ruggiero et  al., 1987). Further experiments stimulating multiple insular regions to pinpoint the origin of cardiac regulation found two distinct regions of the rostral PI produce tachycardia and bradycardia (Oppenheimer and Cechetto, 1990). Systemic muscarinic and adrenergic antagonists indicate that insular chronotropic effects are mediated by either elevated (tachycardia) or decreased (bradycardia) sympathetic activity. This interpretation is further supported by recent findings that activation of rostral PI NMDA receptors inhibits brainstem pre-sympathetic regions causing bradycardia (Marins et  al., 2016). p y p g Recent experiments utilizing optogenetic approaches to stimulate IL glutamate neurons in male and female rats revealed that activation of male IL pyramidal neurons restrains tachycardic and pressor reactivity to novel environment stress, as well as corticosterone and glucose responses to restraint (Wallace et  al., 2021). Intriguingly, IL stimulation prior to chronic variable stress protected against stress-induced inward ventricular hypertrophy, an indicator of elevated sympathetic tone and cardiac load. While the mechanisms underlying protection from subsequent stress exposure are unclear, prior IL stimulation decreases net cardiac sympathetic drive. These effects may be explained by the persistent dendritic plasticity induced by optogenetic stimulation of IL glutamate neurons (Fuchikami et  al., 2015). Although investigations of sex differences in cortical stress regulation are limited (Wallace and Myers, 2021), results from female IL glutamate neuron stimulation differ from males. In fact, female IL stimulation increases heart rate reactivity to novel environment stress and glucose responses to restraint. Collectively, these data indicate that IL glutamate neurons regulate cardiovascular and HPA axis responses to chronic stress in a sex-dependent manner. Medial Prefrontal Cortexh Medial Prefrontal Cortex The medial prefrontal cortex (mPFC) is important for translating stress appraisal into adaptive behavioral and physiological responses through descending multi-synaptic circuits that target the HPA axis and autonomic effectors of cardiovascular activity. The mPFC is divided into dorsal and ventral subdivisions which have contrasting roles in acute and chronic stress reactivity (Radley et  al., 2006; Mcklveen et  al., 2013). Dorsal mPFC, PL in rodents, inhibits heart rate reactivity to acute stress (Tavares et  al., 2009). Additionally, PL disinhibition reduces HPA axis reactivity to acute psychological stressors (restraint), while enhancing responses to physiological stressors (hypoxia; Jones et  al., 2011). Further, GR signaling in the PL is necessary to inhibit corticosterone responses to acute restraint but not chronic variable stress (Mcklveen et  al., 2013). Although the circuitry underlying PL effects on the cardiovascular system has not been directly queried, the HPA axis regulatory effects are mediated by synaptic relays in the bed nuclei of the stria terminalis (Radley et al., 2009; Johnson et al., 2019). Ultimately, these data suggest that the PL limits cardiovascular and HPA axis responses to acute psychological stressors with little evidence for involvement in chronic stress integration. Subregions of human ventral mPFC exhibit altered activity in mood disorders (Drevets et  al., 1997, 2008) and have been targeted for deep brain stimulation in treatment-resistant depression (Mayberg et  al., 2005). Further, growing evidence supports a role for rodent ventral mPFC (IL) in cardiovascular and HPA axis regulation during chronic stress. Anatomically, the IL is largely composed of pyramidal glutamate neurons with a smaller population of GABAergic interneurons that regulate local activity (McKlveen et  al., 2015, 2019). Principal IL glutamate neurons have unique connectivity compared to other cortical regions and innervate stress-regulatory structures throughout the amygdala, hypothalamus, and brainstem (Vertes, 2004). Further, chronic stress exposure shifts IL excitatory/ inhibitory balance toward increased inhibition (Gilabert-Juan et  al., 2013; McKlveen et  al., 2016; Ghosal et  al., 2020).f Initial studies of IL effects on cardiovascular stress reactivity found that non-specific synaptic blockers attenuated heart February 2022 | Volume 13 | Article 820398 Frontiers in Physiology | www.frontiersin.org 2 Cortical–Hypothalamic Stress Integration Schaeuble and Myers rate and blood pressure responses to acute restraint and fear conditioning (Resstel et  al., 2006; Tavares et  al., 2009). In contrast, IL NMDA activation reduces cardiovascular responses to air-jet stress (Camargos et al., 2012). Medial Prefrontal Cortexh Additionally, IL lesions increase stress-induced PVN activation, particularly in pre-autonomic cells (Radley et  al., 2006). Taken together, these studies identified the importance of the IL for physiological stress responses but yielded contrasting results on whether the region increases or decreases stress responding. The contradictory results may relate to a lack of cellular specificity for lesion, pharmacology, and synaptic blockade approaches. Subsequent studies employed viral-mediated gene transfer to specifically target glutamate release from IL pyramidal cells. Here, genetic knockdown of pre-synaptic vesicular glutamate packaging in IL neurons increased tachycardic and pressor responses to acute restraint and elevated homecage arterial and pulse pressures during chronic variable stress (Schaeuble et al., 2019). Furthermore, decreased glutamate release from IL neurons during chronic stress increased vascular endothelial dysfunction, as well as histological indictors of cardiac and vascular hypertrophy. In terms of neuroendocrine regulation, decreased output from IL glutamate neurons increased HPA axis responses to acute restraint and exacerbated the effects of chronic stress on basal and stress-induced glucocorticoid hypersecretion (Myers et  al., 2017). Altogether, these studies indicate that decreased glutamate release from IL neurons interacts with chronic stress to increase stress responding and promote susceptibility to cardiovascular pathologies. effects of IL projections to specific hypothalamic nuclei have not been determined. Frontiers in Physiology | www.frontiersin.org Insular Cortex To investigate how IL output circuitry mediates autonomic-endocrine integration, IL functional connectivity and pre-synaptic innervation of downstream structures were quantified throughout the male forebrain (Wood et al., 2019). These data highlight IL inputs to key stress-integrative nuclei including the LH and DMH; however, significantly greater connectivity is evident in the PH. To date, the stress-regulatory The results of functional studies align with monosynaptic anterograde tracing that indicates tachycardia-generating portions of the insula send efferents to pre-sympathetic regions including the LH, nucleus of the solitary tract, and parabrachial nucleus (Yasui et  al., 1991). Efferents from bradycardic insular cortex have similar projection targets; although, connectivity with the pre-sympathetic regions is less dense. While anterograde tracing indicates that the LH is the primary hypothalamic target of insular cortex, retrograde tracing has identified projections to the DMH and PH (Abrahamson and Moore, 2001; Çavdar et  al., 2001; Marins et  al., 2020, 2021). In fact, recent reports specify that hemorrhagic stroke in the insula leads to disrupted cardiac sympathetic control and suggest that the DMH may be a downstream mediator (Marins et al., 2020, 2021). Altogether, decades of research have demonstrated that insular cortex influences cardiac autonomic activity, but the regional differentiation of the insula for stress integration remains unclear. Ultimately, more work is needed to understand the impact of insular subregions on stress adaptation and cardiovascular health. While studies of insular cortex modulating cardiovascular or endocrine function during chronic stress have not been reported, recent work indicates chronic variable stress decreases expression of FosB/ΔFosB, a marker of long-term neural activity, throughout AI and PI (Pace et al., 2020). Interestingly, the long-term decrease in insular activity is dependent on the IL as knockdown of glutamate output from the IL prevents February 2022 | Volume 13 | Article 820398 Frontiers in Physiology | www.frontiersin.org 3 Cortical–Hypothalamic Stress Integration Schaeuble and Myers circuits that coordinate HPA axis and autonomic activity based on environmental context have limited direct innervation of the PVN (Roland and Sawchenko, 1993; Ulrich-Lai et al., 2011). However, numerous corticolimbic projections terminate in the GABAergic periphery of the PVN (peri-PVN) that surrounds neurosecretory cells (Cullinan et  al., 2008; Ulrich-Lai and Herman, 2009; Sunstrum and Inoue, 2019). Though direct assessment of stress regulation by specific inputs to peri-PVN has been difficult, anterograde and retrograde tracing studies have identified hypothalamic regions that provide direct input to the PVN (Figure  1). Insular Cortex Specifically, glutamatergic projections arise from the LH, DMH, and PH, among others (Ulrich-Lai et al., 2011). These three hypothalamic nuclei are well-positioned based on connectivity to integrate descending limbic information (Ledoux et  al., 1988; Myers et  al., 2014a). Furthermore, a portion of PVN-projecting neurons in the DMH and LH are GABAergic (Roland and Sawchenko, 1993), suggesting the nuclei may have both excitatory and inhibitory control over PVN neurons. Thus, cortical influences on HPA axis and cardiovascular reactivity are likely mediated trans-synaptically through innervation of hypothalamic regions that directly synapse in the PVN. the effect. While insular FosB/ΔFosB-positive cells are glutamatergic, IL pre-synaptic terminals target both glutamatergic and GABAergic neurons in the AI and PI. These findings suggest that IL-insula communication during chronic stress modulates long-term excitatory/inhibitory balance of the insular cortices, which may have significant implications for visceral regulation. Paraventricular Hypothalamush The PVN integrates hypothalamic and brainstem stress information to regulate both neuroendocrine and autonomic activity (Swanson and Kuypers, 1980). The region houses a diverse population of neurons that synthesize peptides implicated in stress reactivity including CRH, arginine vasopressin, and oxytocin. While PVN CRH release activates the HPA axis, multiple cell types give rise to brainstem and spinal projections to regulate sympathetic and parasympathetic balance (Ulrich-Lai and Herman, 2009). Notably, the descending cortical and limbic FIGURE 1  |  Summary of cortical–hypothalamic circuits mediating stress integration. Illustration of chronic stress-responsive cortical regions and hypothalamic targets that innervate the PVN and/or brainstem to regulate neuroendocrine and cardiovascular activity. Green represents glutamatergic neurons. Red represents GABAergic neurons. Black dashes represent mixed GABA and glutamate or neurochemically undefined anatomical connections. IL, Infralimbic cortex; IC, Insular cortex; LH, Lateral hypothalamus; DMH, Dorsomedial hypothalamus; PH, Posterior hypothalamus; PVN, Paraventricular nucleus of the hypothalamus; pPVN, Peri- paraventricular hypothalamus; CRH, Corticotropin-releasing hormone; AVP, Arginine vasopressin. Created with BioRender.com. FIGURE 1  |  Summary of cortical–hypothalamic circuits mediating stress integration. Illustration of chronic stress-responsive cortical regions and hypothalamic targets that innervate the PVN and/or brainstem to regulate neuroendocrine and cardiovascular activity. Green represents glutamatergic neurons. Red represents GABAergic neurons. Black dashes represent mixed GABA and glutamate or neurochemically undefined anatomical connections. IL, Infralimbic cortex; IC, Insular cortex; LH, Lateral hypothalamus; DMH, Dorsomedial hypothalamus; PH, Posterior hypothalamus; PVN, Paraventricular nucleus of the hypothalamus; pPVN, Peri- paraventricular hypothalamus; CRH, Corticotropin-releasing hormone; AVP, Arginine vasopressin. Created with BioRender.com. February 2022 | Volume 13 | Article 820398 Frontiers in Physiology | www.frontiersin.org Frontiers in Physiology | www.frontiersin.org 4 Frontiers in Physiology | www.frontiersin.org Cortical–Hypothalamic Stress Integration Schaeuble and Myers Lateral Hypothalamush rats found that DMH activation increases ACTH release, as well as stress-induced Fos in the PVN (Bailey and Dimicco, 2001; Morin et  al., 2001). Moreover, GABAA agonists in the DMH reduce heart rate, blood pressure, and ACTH responses to stress (Stotz-Potter et al., 1996a,b). In all, this work suggests that tonic GABAergic inhibition of the DMH reduces acute cardiovascular and endocrine stress responding while glutamate-mediated DMH activation enhances stress reactivity at least partially through the PVN. Although, autonomic aspects of DMH modulation have been hypothesized to be  mediated by brainstem circuits (Fontes et  al., 2011). Interestingly, the DMH is activated by both repeated restraint and chronic variable stress (Flak et al., 2012), yet the stress- integrative role of the DMH under conditions of prolonged stress requires more investigation. yp The prefrontal and insular cortices, among other limbic regions, target the LH (Yasui et  al., 1991; Vertes, 2004). Moreover, the LH provides direct glutamate and GABA input to the PVN (Roland and Sawchenko, 1993; Ulrich-Lai et  al., 2011) and innervates pre-ganglionic autonomic neurons in the parasympathetic dorsal motor nucleus of the vagus and sympathetic intermediolateral column (Saper et  al., 1976; Sun and Guyenet, 1986; Hahn and Swanson, 2010). Additionally, acute swim and restraint stressors activate cells in the LH (Cullinan et  al., 1995); however, the phenotype of LH stress- responsive neurons has not been reported. The diversity of neurotransmitter and peptide messengers across the broad rostral to caudal breadth of the LH suggests a complex role in stress integration (Ziegler et al., 2002; Swanson et al., 2005; Ulrich-Lai and Herman, 2009). For instance, LeDoux and colleagues found that LH lesions reduce pressor responses to conditioned fear (Ledoux et  al., 1988). In contrast, NMDA signaling in the LH inhibits cardiovascular responses to restraint stress through parasympathetic activation (Deolindo et  al., 2013). Moreover, recent studies found that LH GABAA and CRH receptor-1 antagonism decrease tachycardic responses to acute restraint stress (Gomes-de-Souza et  al., 2019; Barretto- de-Souza et  al., 2021). Together, these results suggest the LH may both increase and decrease cardiovascular reactivity. Despite direct PVN innervation, there are no reports to our knowledge of HPA axis modulation by the LH. However, it is worth noting that the LH more heavily targets the posterior PVN than the CRH-rich anterior PVN (Ulrich-Lai et  al., 2011). Nevertheless, further analysis of LH stress integration is likely to elucidate specific subregional effects on sympathetic, parasympathetic, and neuroendocrine regulation. Posterior Hypothalamus Cortical and limbic circuits also converge on the PH (Abrahamson and Moore, 2001; Çavdar et  al., 2001) and the PH receives stress-activated inputs from multiple forebrain regions including the IL and PL (Myers et  al., 2016). Although the PH is predominately glutamatergic, a portion of IL inputs appose PH GABA neurons, possibly regulating PH inhibition (Myers et al., 2016). Additionally, the PH sends glutamatergic projections to the PVN (Ulrich-Lai et al., 2011) and innervates pre-ganglionic sympathetic neurons (Saper et  al., 1976). Furthermore, stress- reactive neurons in the rostral PH innervate stress-activated cells in the medial parvicellular PVN and pre-autonomic raphe pallidus (Nyhuis et  al., 2016). Ultimately, the stress-responsive upstream and downstream connectivity of the PH implies a prominent role in stress integration. Similar to the DMH, early studies by Dimicco and colleagues identified the PH as a regulator of tachycardic and pressor responses under anesthesia (DiMicco et  al., 1986). Specifically, both GABA release and GABA synthesis in the PH inhibit cardiovascular sympathetic activity (DiMicco and Abshire, 1987). In awake rodents, GABA modulation does not alter hemodynamics under basal conditions (Lisa et  al., 1989). However, GABAA signaling reduces heart rate and blood pressure responses to acute stress. More recent work demonstrates that CRH-mediated excitation in the PH increases HR via pre-sympathetic neurons in the rostral ventrolateral and ventromedial medulla, without affecting vagal activity (Gao et  al., 2016). Taken together, these data indicate that the PH is both necessary and sufficient for acute sympathetic cardiovascular stress responses. Dorsomedial Hypothalamush Dorsomedial Hypothalamus The DMH is another prominent limbic relay for stress regulation. The DMH receives glutamatergic input from cortical circuits as well as GABAergic innervation from subcortical regions such as the amygdala (Myers et al., 2014a). Furthermore, the DMH robustly expresses immediately early gene markers following acute swim and restraint stress (Cullinan et  al., 1995). DMH efferents target the PVN as well as pre-ganglionic sympathetic neurons (Saper et  al., 1976), implying the region integrates stress-related processes (Ter Horst and Luiten, 1986, 1987; Thompson et  al., 1996). The DMH projections to the PVN are both GABAergic and glutamatergic (Roland and Sawchenko, 1993; Ulrich-Lai et al., 2011), indicating the potential for both excitatory or inhibitory control of autonomic and endocrine stress responses. However, seminal work by DiMicco and colleagues used pharmacological approaches to interrogate the functional role of DMH neurotransmission in acute stress responding (DiMicco et al., 2002). Specifically, a series of studies in anesthetized rats found that GABAA receptor antagonism or activation of ionotropic glutamate receptors (NMDA, AMPA, or kainate) in the DMH increases heart rate and blood pressure (Soltis and DiMicco, 1991a,b, 1992). Similar approaches in conscious Multiple lines of converging evidence also implicate the PH in HPA axis facilitation. GABAA agonists in the PH decrease ACTH during restraint (Myers et  al., 2016) as well as corticosterone responses to acute restraint and audiogenic stress (Nyhuis et al., 2016). Furthermore, GABA antagonist-mediated disinhibition of the PH increases PVN Fos and elevates ACTH and corticosterone responses to restraint (Myers et  al., 2016). In addition to CRH neurons, PH projections also target vasopressin- and oxytocin-producing cells in the PVN (Myers et al., 2016), suggesting the potential for broad neuroendocrine regulation. The PH also exhibits histological indicators of long- term activation during chronic variable stress but not repeated February 2022 | Volume 13 | Article 820398 Frontiers in Physiology | www.frontiersin.org 5 Cortical–Hypothalamic Stress Integration Schaeuble and Myers in specific stress responses, many questions remain regarding autonomic-endocrine stress integration. Chiefly, most of the literature reviewed came from experiments with male subjects. Biological sex is an important factor for stress-related disease incidence and outcomes, yet the role of sex in stress responses across development and reproductive stages is largely unexplored. The experiments reviewed that included both sexes found marked differences in neural regulation of endocrine and autonomic reactivity (Wallace et  al., 2021). REFERENCES Chaves, T., Fazekas, C. L., Horváth, K., Correia, P., Szabó, A., Török, B., et al. (2021). Stress adaptation and the brainstem with focus on corticotropin- releasing hormone. Int. J. Mol. Sci. 22:9090. doi: 10.3390/ijms22169090 Abrahamson, E. E., and Moore, R. Y. (2001). The posterior hypothalamic area: chemoarchitecture and afferent connections. Available at: https://www. sciencedirect.com/science/article/pii/S0006899300030158?via%3Dihub (Accessed August 5, 2020). Chida, Y., and Steptoe, A. (2010). Greater cardiovascular responses to laboratory mental stress are associated With poor subsequent cardiovascular risk status. Hypertension 55, 1026–1032. doi: 10.1161/HYPERTENSIONAHA.109.146621 Cullinan, W. E., Herman, J. P., Battaglia, D. F., Akil, H., and Watson, S. J. (1995). Pattern and time course of immediate early gene expression in rat brain following acute stress. Neuroscience 64, 477–505. doi: 10.1016/0306-4522(94)00355-9 Allen, G. V., Saper, C. B., Hurley, K. M., and Cechetto, D. F. (1991). Organization of visceral and limbic connections in the insular cortex of the rat. J. Comp. Neurol. 311, 1–16. doi: 10.1002/CNE.903110102 Bailey, T. W., and Dimicco, J. A. (2001). Chemical stimulation of the dorsomedial hypothalamus elevates plasma ACTH in conscious rats. Am. J. Physiol. Regul. Integr. Comp. Physiol. 280, R8–R15. doi: 10.1152/ajpregu.2001.280.1.r8f Cullinan, W. E., Ziegler, D. R., and Herman, J. P. (2008). Functional role of local GABAergic influences on the HPA axis. Brain Struct. Funct. 2008, 63–72. doi: 10.1007/S00429-008-0192-2 Barefoot, J. C., Helms, M. J., Mark, D. B., Blumenthal, J. A., Califf, R. M., Haney, T. L., et al. (1996). Depression and long-term mortality risk in patients With coronary artery disease. Am. J. Cardiol. 78, 613–617. doi: 10.1016/S0002-9149(96)00380-3 Davis, M. (1997). Neurobiology of fear responses: the role of the amygdala. J. Neuropsychiatry Clin. Neurosci. 9, 382–402. doi: 10.1176/JNP.9.3.382 Davis, M., Walker, D. L., Miles, L., and Grillon, C. (2010). Phasic vs sustained fear in rats and humans: role of the extended amygdala in fear vs anxiety. Neuropsychopharmacology 35, 105–135. doi: 10.1038/NPP.2009.109 Barretto-de-Souza, L., Benini, R., Reis-Silva, L. L., and Crestani, C. C. (2021). Corticotropin-releasing factor neurotransmission in the lateral hypothalamus modulates the tachycardiac response during acute emotional stress in rats. Brain Res. Bull. 166, 102–109. doi: 10.1016/J.BRAINRESBULL.2020.11.010 de Kloet, E. R., Joëls, M., and Holsboer, F. (2005). Stress and the brain: from adaptation to disease. Nat. Rev. Neurosci. 6, 463–475. doi: 10.1038/nrn1683 Brooks, S. D., Hileman, S. M., Chantler, P. D., Milde, S. A., Lemaster, K. A., Frisbee, S. J., et al. (2018). Protection from vascular dysfunction in female rats with chronic stress and depressive symptoms. CONCLUSION The widespread impact of stress on health-related quality of life and CVD in particular makes understanding stress physiology a crucial issue. Here, we discussed the function and connectivity of cortical and hypothalamic brain regions that integrate cardiovascular and neuroendocrine responses to stressful stimuli (Figure  1). The aggregate literature reviewed illustrates the hierarchal organization of descending cortical circuits that modulate stress-effector neurons through intermediary subcortical neurons. Cell-type-specific approaches have contributed to our understanding of stress reactivity and have the potential to uncover the basis of excitatory/inhibitory balance as it relates to chronic stress-induced pathologies. Although, it is important to note that few studies have directly examined cortical or hypothalamic stress integration in the context of chronic stress. Currently, there are reports of IL regulation of the endocrine and cardiovascular consequences of chronic stress, as well as IL inhibition of the insula during chronic stress (Mcklveen et  al., 2013; Myers et  al., 2017; Schaeuble et  al., 2019; Pace et  al., 2020; Wallace et  al., 2021). However, to the authors’ knowledge, reports of functional hypothalamic cardiovascular– HPA axis stress integration are limited to acute stress studies. While we are beginning to unravel the roles of these networks Dorsomedial Hypothalamush Moreover, there is increasing evidence for ovarian hormone regulation of cardiac and vascular outcomes after chronic stress (Brooks et al., 2018; Finnell et  al., 2018). Therefore, future studies examining the actions of sex steroids on cortical–hypothalamic circuits are vital for understanding the health burden of stress. restraint (Flak et  al., 2012). Altogether, there is considerable evidence that PH excitatory/inhibitory balance is important for autonomic and neuroendocrine stress integration. AUTHOR CONTRIBUTIONS DS and BM contributed to the conceptualization of the review. DS performed the initial literature search, wrote the first draft of the manuscript, and created the illustration in BioRender. BM contributed additional literature and revised the manuscript. All authors approved the submitted version. FUNDING This work was supported by AHA Predoctoral Fellowship 827519 to DS and NIH R01 HL150559 to BM. REFERENCES M., Voon, V., McNeely, H. E., Seminowicz, D., Hamani, C., et al. (2005). Deep brain stimulation for treatment-resistant depression. Neuron 45, 651–660. doi: 10.1016/J.NEURON.2005.02.014 Ghosal, S., Duman, C. H., Liu, R. J., Wu, M., Terwilliger, R., Girgenti, M. J., et al. (2020). Ketamine rapidly reverses stress-induced impairments in GABAergic transmission in the prefrontal cortex in male rodents. Neurobiol. 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Synapse 51, 32–58. doi: 10.1002/syn.10279 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. y p y Wallace, T., and Myers, B. (2021). Effects of biological sex and stress exposure on ventromedial prefrontal regulation of mood-related behaviors. Front. Behav. Neurosci. 15:737960. doi: 10.3389/fnbeh.2021.737960 Wallace, T., Schaeuble, D., Pace, S. A., Schackmuth, M. K., Hentges, S. T., Chicco, A. J., et al. (2021). Sexually divergent cortical control of affective-autonomic integration. Psychoneuroendocrinology 129:105238. doi: 10.1016/j.psyneuen.2021.105238 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. Frontiers in Physiology | www.frontiersin.org REFERENCES Wood, M., Adil, O., Wallace, T., Fourman, S., Wilson, S. P., Herman, J. P., et al. (2019). Infralimbic prefrontal cortex structural and functional connectivity with the limbic forebrain: a combined viral genetic and optogenetic analysis. Brain Struct. Funct. 224, 73–97. doi: 10.1007/s00429-018-1762-6 Copyright © 2022 Schaeuble and Myers. 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. Yasui, Y., Breder, C. D., Safer, C. B., and Cechetto, D. F. (1991). Autonomic responses and efferent pathways from the insular cortex in the rat. J. Comp. Neurol. 303, 355–374. doi: 10.1002/CNE.903030303 Yusuf, S., Hawken, S., Ôunpuu, S., Dans, T., Avezum, A., Lanas, F., et al. (2004). Effect of potentially modifiable risk factors associated with myocardial infarction in 52 countries (the INTERHEART study): case-control study. Lancet 364, 937–952. doi: 10.1016/S0140-6736(04)17018-9 February 2022 | Volume 13 | Article 820398 Frontiers in Physiology | www.frontiersin.org 9
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Formulation of the Aceh Truth and Reconciliation Commission (TRC) in Seeking the Truth about Past Human Rights Violations in Aceh
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Proceedings of the 4th International Conference on Social Science, Political Science, and Humanities (ICoSPOLHUM 2023) Proceedings of the 4th International Conference on Social Science, Political Science, and Humanities (ICoSPOLHUM 2023) Keywords: Truth Seeking, TRC of Aceh, human rights violation, challenge and obstacle Keywords: Truth Seeking, TRC of Aceh, human rights violation, challenge and obstacle Formulation of the Aceh Truth and Reconciliation Commission (TRC) in Seeking the Truth about Past Human Rights Violations in Aceh M. Reza Fahlevi1,* Ramzi Murziqin2 1 Aceh Truth and Reconciliation Commission, Jalan Mayjen T. Hamzah Bendahara, Kuta Alam, Banda Aceh, Aceh, Indonesia 24415. Tel: +6282-320002229,. 2Faculty of Social Sciences and Government Sciences, Ar-Raniry State Islamic University Banda Aceh, Jalan Ar-Raniry Kopelma Darussalam, Syiah Kuala, Banda Aceh, Aceh, Indonesia 23111. 1 Aceh Truth and Reconciliation Commission, Jalan Mayjen T. Hamzah Bendahara, Kuta Alam, Banda Aceh, Aceh, Indonesia 24415. Tel: +6282-320002229,. 2Faculty of Social Sciences and Government Sciences, Ar-Raniry State Islamic University Banda Aceh, Jalan Ar-Raniry Kopelma Darussalam, Syiah Kuala, Banda Aceh, Aceh, Indonesia 23111. 1 Aceh Truth and Reconciliation Commission, Jalan Mayjen T. Hamzah Bendahara, Kuta Alam, Banda Aceh, Aceh, Indonesia 24415. Tel: +6282-320002229,. 2Faculty of Social Sciences and Government Sciences, Ar-Raniry State Islamic University Banda Aceh, Jalan Ar-Raniry Kopelma Darussalam, Syiah Kuala, Banda Aceh, Aceh, Indonesia 23111. Indonesia 24415. Tel: +6282 320002229,. 2Faculty of Social Sciences and Government Sciences, Ar-Raniry State Islamic University Banda Aceh, Jalan Ar-Raniry Kopelma Darussalam, Syiah Kuala, Banda Aceh, Aceh, Indonesia 23111. *Corresponding author. Email: mrfahleviasia@gmail.com ABSTRACT This journal describes the formulation and implementation of the Aceh Truth and Reconciliation Commission (KKR) in revealing the truth regarding human rights violations that occurred in Aceh in the past. Aceh is one of the regions in Indonesia that has experienced armed conflict for decades involving the government and the Free Aceh Movement (GAM) group. This period of conflict has led to many cases of human rights violations, and the Aceh TRC has an important role in revealing the truth and seeking reconciliation between the parties involved. This journal will use a research methodology combining a qualitative approach and document analysis to investigate the role and performance of the Aceh Truth and Reconciliation Commission (KKR). Apart from that, this journal also evaluates the challenges and obstacles faced by the Aceh TRC in the process of revealing the truth. The results of this research found that truth disclosure carried out by the Aceh Truth and Reconciliation Commission (KKR) can provide deeper insight into efforts to overcome human rights violations in Aceh and contribute to understanding the reconciliation process in areas that have been affected by conflict. 1. INTRODUCTION In developing policies and implementing its duties, the Aceh TRC faced a number of challenges that needed to be overcome, including how to collect evidence and listen to victims' stories (Kusumastuti & Purnama, 2019; Sulistiawati & Santoso, 2014). The Aceh TRC must also consider legal and ethical aspects in the process of revealing this truth (Orentlicher, 2007). The protracted armed conflict in Aceh, Indonesia, for decades has caused numerous human rights violations that have shaken society and created deep wounds. In an effort to overcome the impact of the conflict and support the reconciliation process, the Indonesian Government established the Aceh Truth and Reconciliation Commission (KKR). The Aceh TRC has a leading role in revealing the truth about human rights violations that occurred in the past and helping to restore relations between the parties involved (Amnesty International, 2018; Human Rights Watch, 2007). This research aims to evaluate the way the Aceh TRC carries out truth disclosure, analyze the methods and approaches they use, and assess the impacts and obstacles faced by this commission in carrying out the mandate of Aceh Qanun Number 17 of 2013 concerning the Aceh Truth and Reconciliation Commission (KKR). Apart from that, this research will also relate the experience of the Aceh TRC in uncovering the truth in other areas after the conflict. disappearances that occurred during the Aceh conflict period, and Amnesty International also noted that there were around 30 - 35 thousand victims of conflict as a result of the excesses of the conflict that occurred in Aceh. By analyzing the role and achievements of the Aceh TRC, this research is expected to provide a deeper understanding of efforts to overcome human rights violations in Aceh, as well as contribute to the understanding of the reconciliation process in areas that have experienced conflict. After the earthquake and tsunami struck Aceh on December 26 2004, the world's eyes were focused on Aceh. The government of Susilo Bambang Yudhoyono and Jusuf Kalla, which took office in October 2004, began initiating peace as an effort to find a solution to the increasingly rampant humanitarian crisis in Aceh by involving the European Union as a mediator. The negotiations, which lasted five rounds, began on January 27 2005 and ended with the signing of a peace agreement on August 15 2005. 1. Discussion and Research Results The conflict between the Free Aceh Movement (GAM) and the government of the Republic of Indonesia (RI) was the result of demands made by regional dissatisfaction with the central government in Jakarta. To reduce this conflict, the government in Jakarta used a military approach in responding to this problem. The movement proclaimed by Dr. Muhammad Hasan Di Tiro in Buket Halimon, Pidie Regency, Aceh Province on December 4, 1976, it can be concluded that this was a conflict with the aim of Aceh's independence (Khairil Akbar, 2017). The government's efforts to resolve the conflict through military means failed, due to renewed resistance by GAM. The military approach had a negative impact on Aceh's civil society. This conflict caused many casualties and violations of Human Rights (HAM) in Aceh (Eka Auliana Pratiwi, 2019). So the Aceh Truth and Reconciliation Commission (KKR) was born through the Aceh Qanun number 17 of 2013 as a derivative of Law Number 11 of 2006 concerning the Aceh Government (UUPA) which was the mandate of one of the points of the Helsinki MoU peace agreement and became one solution to answer regarding past incidents of human rights violations in Aceh (Reza, 2022). 1. INTRODUCTION The agreement which became known as the Helsinki MoU was represented and signed by three parties consisting of Hamid Awaluddin as Minister of Law and Human Rights on behalf of the government of the Republic Indonesia, Malik Mahmud as the leader of the Free Aceh Movement negotiating team and Martti Ahtisaari, the president of Finland at that time as well as chairman of the Board of Directors of the Crisis Management Initiative as facilitator of the negotiation process (Reza, 2022). The tsunami was quite a hard blow for both parties, both GAM and the Indonesian government, in the end it became a catalyst that brought both parties to the table to conclude a peace agreement and facilitate the Aceh recovery process (Lusia, 2010). 2. RESEARCH METHODOLOGY This research will use a method that will integrate a qualitative approach and document analysis to investigate the role and performance of the Aceh Truth and Reconciliation Commission (KKR) in uncovering the truth regarding past human rights violations in Aceh. A qualitative approach will be utilized to gain an in-depth understanding of the processes, experiences and views of the actors involved in the Aceh TRC. On the other hand, document analysis will be used to evaluate official documents and reports related to the activities of the Aceh TRC. 2. Aceh Truth and Reconciliation Commission (KKR) FT said that: "In general, the Aceh TRC's strategy for revealing the truth as mandated by the Aceh Qanun is only three, namely: Taking statements, investigating and accessing information and documents. "These three steps were taken to uncover events that occurred in 1976-2005 which were related to the Aceh conflict." In addition, to see more about Truth Disclosure and its impact on two of the other three main work points, namely Reparation and Reconciliation, FT researchers also conveyed that: According to Fadli Andi Natsif (2016), in essence the Truth Commission can bring a sense of justice to victims if it is run independently. This means that the state must reveal, explain and account for past actions, both those carried out by the government while in power and those carried out by the previous regime, in relation to victims and perpetrators of crimes. Then reconciliation is carried out, meaning that every community that is a victim of repressive actions must recover from their past experiences, and reach an agreement regarding the terms of a substantial resolution of the conflict and chaos that occurred. "The disclosure of the truth carried out by the Aceh TRC is the first step towards two of the three main works of the Aceh TRC, namely Reparation and Reconciliation. In carrying out work in the Truth Disclosure section, the Aceh TRC does this by taking statements which are carried out in private and taking statements which are carried out openly. An example of this is taking open statements such as Hearing Testimony (DK). So, separating the work of Revealing the Truth from the other two main works, namely Reparation and Reconciliation, is so that the Aceh TRC is more effective in its work and can reduce problems that occur in the future, especially related to reconciliation which brings together the perpetrator and the victim, so some kind of pre- conditions are needed first. ” As an official institution, the Truth and Reconciliation Commission (KKR) has a central role in realizing victims' rights in real terms. Based on its authority, the TRC plans important matters, such as: determining the scope of cases to be investigated; inventory and identify victims and perpetrators; designing forms of recovery; as well as preparing reports on the results of investigations and recommendations to be submitted to the government (Andrey Sujatmoko, 2016). 2. Aceh Truth and Reconciliation Commission (KKR) The Aceh Truth and Reconciliation Commission (KKR) or abbreviated as KKR Aceh is a non-structural institution at the regional level in Aceh Province. As mandated by Aceh Qanun Number 17 of 2013, the Aceh TRC has 3 (three) main points, (1) Strengthening peace by revealing the truth about human rights violations that occurred in Aceh, (2) Helping to achieve reconciliation between individual perpetrators of human rights violations. as well as institutions with victims; and (3) Recommend comprehensive reparations for victims of human rights violations, in accordance with universal standards relating to victims' rights. The results of investigations carried out by human rights monitoring institutions found that there had been 7,727 cases of human rights violations in Aceh during the implementation of Operation Red Net (1989-1998) during the Aceh DOM period. This figure was quite fantastic and shocked all parties so that a number of other institutions also carried out investigations and verification of the initial evidence previously discovered. This data was obtained from the results of the collective investigation of the Human Rights Care Forum (FPHAM) in 1998-1999 (Eka Auliana Pratiwi, 2019) . KontraS also noted that there were 204 victims of forced was carried out using 3 (three) mechanisms, (1) Taking statements, (2) Investigation and (3) Collection of information and documents. Ifdal Kasim (2000), said that the Truth and Reconciliation Commission (KKR) is a transitional phenomenon emerging from the context of countries that are facing a transition from authoritarian to democratic regimes. The new government during the transition period is expected to be able to respond to society's demands regarding human rights crimes (gross violations of human rights). In several countries, these commissions each have different names, mandates and powers. Some of them have a mandate limited to only one type of human rights violation, for example the TRC in Chile and Argentina has a mandate limited to investigating cases of extrajudicial executions and enforced disappearances. However, most of the existing TRCs have very broad mandates covering almost all types of serious human rights violations, such as in South Africa, Guatemala and El Salvador. In addition to primary data from internal KKR Aceh to support the results obtained from secondary data obtained by the researchers above, the researchers have also interviewed one of the sources with the initials FT. 2. Aceh Truth and Reconciliation Commission (KKR) One other source of data from statement givers to the Aceh TRC which the researchers chose for reasons of representation from several other statement givers, namely F, who is the son of the late HS. HS was one of the victims who disappeared after being taken to Rumoh Geudong (one of the Sattis Posts used by Kopassus during the Aceh conflict). To provide feedback on the strategy carried out by the Aceh KKR to researchers, F said that: 3. Seeking the Truth by the Aceh KKR One of the most elegant definitions of truth was given by the German philosopher Jürgen Habermas. Truth, according to him, we realize in three aspects. First, truth is factual, relating to something that actually happened or exists. Second, truth is normative, related to what we feel is fair or not. Third, truth will only be truth if it is stated in the right way (Jurgen Habermas, 1984). "The presence of the Aceh TRC is too late to start revealing the events experienced by the victims of the Aceh conflict. Because many of the victims have died, or are old, so if we ask for information about conflict incidents, it is very difficult for us to provide information. "Like me, in fact perhaps the one who has the right to tell what happened to me is my mother, but because of my Based on the results of secondary data collection obtained by researchers sourced from Aceh Qanun Number 17 of 2013 CHAPTER V Article 21 Paragraph 1, it was found that disclosure of the truth referred to in the Aceh Truth and Reconciliation Commission (KKR) factual truth, which means relating to something. that actually happened or exists. mother's health condition and age, I represent my mother in telling what happened to our family." According to Lederach, in the process towards reconciliation, there are four approaches that can be taken, namely truth, forgiveness, justice and peace. Looking at the Aceh Truth and Reconciliation Commission (KKR), in accordance with what is mandated by Qanun Number 17 of 2013 which includes truth disclosure, reparation and reconciliation, the truth or truth process is an important point in the performance of the Aceh TRC. What the Aceh TRC did by successfully taking statements as part of revealing the truth about 5,264 witnesses or victims of Aceh's human rights violations that occurred in the period 1976-2005, in terms of terminology the Aceh TRC is a path towards reconciliation as stated by Lederach. Apart from taking statements from victims of the conflict, the Aceh TRC can also take statements openly or listen to the testimony of victims of the Aceh conflict to the public or also known as Testimony Hearings (DK). Hearing testimony, which is carried out depending on certain cases, is part of the Aceh TRC's duties in accordance with what is mandated by the Aceh TRC Qanun Number 17 of 2013. 3. Seeking the Truth by the Aceh KKR The Aceh TRC's strategy in uncovering the truth about events that occurred in the period 1976-2015 is almost in line with with the Lederach concept described by Annas Rizaldi (2019), namely the truth that is revealed, expressed, and heard to the public with a mechanism for seating the victims and the perpetrators face to face and the mediator mediates in the meeting. It's just that the Aceh TRC was limited to hearing testimonies from its victims and did not bring the victims together with the perpetrators in public. Likewise, what was done by the TRC (KKR) in South Africa, which listened to the victims' testimonies through their national radio broadcasts, also did not bring the victims together with the perpetrators of crimes in the past. Institutionally, the work of the Aceh TRC in the Truth Disclosure section has an officially regulated work instrument which becomes a binding rule so that the results of its work can be accounted for in the future. This is in line with the definition of truth according to Jurgen Habermas (1984), namely that truth will only be truth if it is stated in the right way. The instrument regarding taking statements which is part of Truth Disclosure regulated by the Aceh TRC is very perfect in that it regulates its working tools in the Aceh TRC work area. The work structure in the region consisting of a Coordinator who supervises several Statement Taking Officers is also considered perfect where the field Coordinator is tasked with directing and evaluating the work results of the Statement Taking Officers (Reza, 2022). This means that the burden of Taking Statements is the full responsibility of the Coordinator so that a process like this will be more effective to carry out. In the theory of truth, Lederach mixes truth-telling with reconciliation or it could be said that the reconciliation process can be carried out simultaneously with the truth- telling process. Meanwhile, the results obtained by researchers in this article are of course that the disclosure of the truth by the Aceh TRC was carried out earlier and separately from reconciliation. Because the aim of the Aceh TRC was to be a solution to resolve conflicts in the past, this method of revealing the truth by the Aceh TRC was carried out in order to minimize conflicts that occurred between victims and perpetrators in the future. 3. Seeking the Truth by the Aceh KKR So the disclosure process made public by the Aceh TRC based on incidents experienced by victims both in the era of the authoritarian government of the New Order regime and after it could be the starting point for the current transitional government as stated by Ifdal Kasim (2000), who It is hoped that it can answer society's demands regarding human rights crimes (gross violations of human rights). The statement taking process was not carried out immediately, but started with initial data obtained by the Aceh TRC from Civil Society Organizations (CSOs) and then expanded further with data obtained in the field. Next, the Coordinators in each region will confirm the data address. The confirmation process carried out by the Regional Coordinator before the victims' and witnesses' statements are taken in the interview process by the Statement Taking Officers begins with confirming the address of the Statement Giver, then confirming the incident experienced by the victims to village officials as well as to community leaders and then confirming with close family members. victims (Reza, 2022). This is done so that the Statement Taking process which is part of Truth Disclosure is considered truly on target and factual in line with one of the most elegant definitions of truth presented by Jurgen Habermas (1984), namely 4. Challenges and Obstacles of the Aceh TRC However, this number is very far from the predictions of several humanitarian organizations such as Amnesty International, which estimates that there are 30-35 thousand conflict victims in Aceh. There are two factors behind the Aceh KKR only being able to collect 5,264 of the 10,000 targeted by the Aceh KKR Commissioner for the 2016-2021 period. The first is the internal factor of the Aceh KKR itself, namely in the form of unsupportive finances, where the finances intended for the Aceh KKR are only sufficient for its operations. In addition to the absence of Qanun SOTK (Operational Order of Management) in the Aceh KKR institution which regulates finances, the finances are still under the secretariat of another institution, namely the Aceh Reintegration Agency (BRA). Another internal problem is related to inadequate human resources, this is because the KKR institution is the first in Indonesia, therefore more effective learning is needed so that in the future the Human Resources owned by KKR Aceh are more qualified (Reza, 2022). So to find out what obstacles the Aceh KKR faced in the process of taking statements so that the number of statement givers was still very small compared to predictions from humanitarian organizations as mentioned above, researchers interviewed one of the Aceh KKR internal sources with the initials FT. FT said that: "There were two factors so that the number of statement givers that the Aceh KKR managed to obtain was only 5,264 compared to the target of the Aceh KKR Commissioner for the 2016-2021 period, which was 10,000. The first is the internal factor of the Aceh TRC itself and the second is the external factor of the Aceh TRC. Internal factors include unsupportive finances, where the finances allocated to KKR Aceh are only sufficient for its operations. Financial problems are related to the absence of a Qanun SOTK (Operational Order of Management) which regulates finances, therefore the amount of costs that can be budgeted is relatively small, because the finances are still under the secretariat of the Aceh Reintegration Agency (BRA). Next are inadequate human resources, this is because the KKR institution is the first in Indonesia, therefore more effective learning is needed so that in the future the Human Resources owned by KKR Aceh are more capable. 4. Challenges and Obstacles of the Aceh TRC In order to fulfill human rights, the results of researchers' searches from secondary data in the form of the official Aceh TRC website, during the 2016-2021 period the Aceh TRC Commissioner took 5,264 statements from victims and witnesses of alleged human rights violations. This statement was taken in two ways, namely privately and openly (Reza, 2022). In the Aceh TRC Commissioner's performance report for the 2016-2021 period, it was found that, of the 5,264 statements taken, including statements regarding 109 cases of sexual violence, 29 of them were men. Apart from these cases, the total number of statements taken above also includes statements taken openly (Public Hearing/Testimony Hearing). It was recorded in the report that the Aceh TRC had held Testimony Hearing Meetings (RDK) 3 (three) times. First held at the Aceh Governor's Hall in November 2018, then at the DPRK North Aceh Building in July 2019 and at the Aceh DPR Building in November 2019. Around 50 (fifty) survivors of the Aceh conflict have conveyed their experiences of the events they experienced, in detail starting from incidents of torture as well as incidents of murder and enforced disappearances. Because this part of taking statements is directly related to the victims of the conflict, the researcher interviewed F to get a response about what the impact would be if the taking of statements by the Aceh TRC was not carried out all at once. Researcher F gave his response that: "Many of the victims of the conflict are old, whose minds can no longer remember the previous events they experienced. Sometimes it is also difficult for me to help the people of the Aceh TRC to show them who they can find to get information related to the conflict. "So, my hope is that the statement must be taken more quickly, in addition to so that these victims can immediately enjoy the results of Aceh peace." Based on the results of research sourced from secondary data, the number of 5,264 Statement Takings is very irrelevant considering the post-conflict period in Aceh which has been almost two decades (18 years). Moreover, this figure is very far from Amnesty International's predictions, which said the number of victims of the Aceh conflict was between 30-35 thousand. As stated above, the total number of statements taken by the Aceh KKR was 5,264. 4. Challenges and Obstacles of the Aceh TRC Meanwhile, for external factors, the first is the difficulty of finding the addresses of witnesses or victims of human rights violations in Aceh because some of them no longer live in the location during the Aceh conflict. And the second is the Covid-19 situation which is also affecting Aceh." While the second is an external factor, the first is the difficulty of finding the addresses of witnesses or victims of human rights violations in Aceh because some of them no longer live in the location during the Aceh conflict. And the second is the Covid-19 situation which is also affecting Aceh. 4. CONCLUSION The Aceh TRC strategy in an effort to fulfill and resolve the rights of victims of past human rights violations through revealing the truth was pursued by taking statements from alleged victims of human rights violations in Aceh. The process of taking statements is carried out in the Aceh KKR working area which consists Kasim, Ifdal. (2000). Briefing Paper Series tentang Komisi Kebenaran dan Rekonsiliasi, “Apakah ‘Komisi Kebenaran Dan Rekonsiliasi Itu?” Elsam. No. 1. PP. 1- 18. of districts/cities in Aceh. Each working area of the Aceh TRC is led by one Regional Coordinator who supervises several Statement Taking Officers who are tasked with taking statements from alleged victims of human rights violations by means of interviews. This is a statement taking that is done behind closed doors. Apart from taking closed statements as above, the Aceh TRC also took public statements from alleged victims of human rights violations in public, or also known as Testimony Hearing Meetings (RDK). Natsif, Fadli Andi. (2016). “Perspektif Keadilan Transisional Penyelesaian Pelanggaran Hak Asasi Manusia Berat.” Jurisprudentie. Vol. 3 No. 2. PP. 83-97. Sujatmoko, Andrey. (2016). “Hak atas Korban pelanggaran HAM Berat di Indonesia dan Kaintannya dengan Prinsip Tangungg Jawab Negara dalam Hukum Internasional.” Padjadjaran Jurnal Ilmu Hukum. Vol. 3 No. 2. PP. 330-350. The obstacle for the Aceh KKR in carrying out Truth Disclosure is that it is internal to the Aceh KKR itself, namely in the form of unsupportive finances, where the finances intended for the Aceh KKR are only sufficient for its operations. In addition to the absence of Qanun SOTK (Operational Order of Management) in the Aceh KKR institution which regulates finances, the finances are still under the secretariat of another institution, namely the Aceh Reintegration Agency (BRA). Another internal problem is related to inadequate human resources, this is because the KKR institution is the first in Indonesia, therefore more effective learning is needed so that in the future the Human Resources owned by KKR Aceh are more fulfilled. Habermas, Jurgen. (1984). The Theory of Communicative Action. Boston: Beacon Press. Habermas, Jurgen. (1984). The Theory of Communicative Action. Boston: Beacon Press. REFERENCES Amnesty International. (2018). "Aceh 15 Years On: Silence Is Not the Answer." Amnesty International. Human Rights Watch. (2007). "From Madness to Hope: The 12-Year War in Aceh." Human Rights Watch. Orentlicher, D. (2007). "Settling Accounts: The Duty to Prosecute Human Rights Violations of a Prior Regime." The Yale Law Journal, 116(1), 183-232. Akbar, Khairil. (2017). “Politik Hukum Pembentukan Komisi Kebenaran dan Rekonsiliasi Aceh.” Lex Renaissance. Vol. 2. No. 2. PP. 195-212. Pratiwi, Eka Auliana. (2019). “Campur Tangan Asing di Indonesia: Crisis Management Intiative dalam Penyelesaian Konflik Aceh (2005-2012).” Historia: Jurnal Pendidik dan Peneliti Sejarah. Vol. 2 No. 2. PP. 83-90. Fahlevi, M. Reza. (2022). “Peran Komisi Kebenaran dan Rekonsiliasi Aceh dalamPenyelesaian dan Pemenuhan Hak Korban Pelanggaran HAM Aceh.” Tesis. Lhokseumawe : Universitas Malikussaleh. Lusia, H. (2010). “Mediasi Yang Efektif dalam Konflik Internal Studi Kasus : Mediasi oleh Criss Management Initiative dalam Proses Perdamaian Gerakan Aceh Merdeka dan Pemerintah Republik Indonesia.” Tesis Universitas Indonesia.
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A comparison of multiple testing adjustment methods with block-correlation positively-dependent tests
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RESEARCH ARTICLE John R. Stevens1*, Abdullah Al Masud1,2, Anvar Suyundikov1,3 1 Department of Mathematics and Statistics, Utah State University, 3900 Old Main Hill, Logan, UT 84322- 3900, United States of America, 2 Department of Biostatistics, Indiana University Fairbanks School of Public Health and Indiana University School of Medicine, Indianapolis, IN 46202, United States of America, 3 BioStat Solutions, Inc., 5280 Corporate Drive, Suite C200, Frederick, MD 21703, United States of America a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 * john.r.stevens@usu.edu * john.r.stevens@usu.edu OPEN ACCESS Citation: Stevens JR, Al Masud A, Suyundikov A (2017) A comparison of multiple testing adjustment methods with block-correlation positively-dependent tests. PLoS ONE 12(4): e0176124. https://doi.org/10.1371/journal. pone.0176124 Editor: Dmitri Zaykin, National Institute of Environmental Health Sciences, UNITED STATES , Received: June 30, 2016 Accepted: April 5, 2017 Published: April 28 2017 Copyright: © 2017 Stevens 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 In high dimensional data analysis (such as gene expression, spatial epidemiology, or brain imaging studies), we often test thousands or more hypotheses simultaneously. As the num- ber of tests increases, the chance of observing some statistically significant tests is very high even when all null hypotheses are true. Consequently, we could reach incorrect conclu- sions regarding the hypotheses. Researchers frequently use multiplicity adjustment meth- ods to control type I error rates—primarily the family-wise error rate (FWER) or the false discovery rate (FDR)—while still desiring high statistical power. In practice, such studies may have dependent test statistics (or p-values) as tests can be dependent on each other. However, some commonly-used multiplicity adjustment methods assume independent tests. We perform a simulation study comparing several of the most common adjustment methods involved in multiple hypothesis testing, under varying degrees of block-correlation positive dependence among tests. Introduction A common initial question in a genomic study is to identify genes whose expression levels change with the different levels of some variable of interest such as a covariate or response vari- able. The response variable could be a clinical outcome or survival time, whereas the covariate could be the dose of a drug, time, treatment/control group, and so forth [1]. Questions in spa- tial epidemiology can involve identifying locations where disease risk is associated with an environmental variable [2]. Brain imaging studies can involve identifying voxels (essentially very specific brain regions) that exhibit different levels of brain activity in response to some stimulus [3, 4]. These three fields (genomics, spatial epidemiology, and brain imaging), among many other fields, all can involve situations where potentially thousands (or more) features (genes, locations, voxels) are tested for differential abundance (expression, risk, brain activity) between levels of some variable of interest. Data Availability Statement: Data are generated using R code provided in the Supporting Information S2 File. A comparison of multiple testing adjustment methods with block-correlation positively- John R. Stevens1*, Abdullah Al Masud1,2, Anvar Suyundikov1,3 * john.r.stevens@usu.edu Error rate control with positively-dependent tests Multiple hypothesis testing is often applied to identify differentially abundant features across different levels of the variable of interest. The null hypothesis for each feature is that the abundance levels are not associated with the variable of interest. With thousands (or more) of null hypotheses to test, it becomes important to control the overall type I error rate at level α while maintaining the desired statistical power (= 1—type II error rate). Because of the mixture of true and false null hypotheses, the obtained p-values follow different types of distributions, for example Beta distributions instead of the Uniform distribution (which would result if all null hypotheses were true). Multiple comparison adjustment methods can control the FWER, FDR [5], or positive false discovery rate (pFDR) [6]. In higher-dimensional studies, most often controlling the FDR, or the pFDR, ensures more statistical power than controlling the FWER [1]. role in the study design, data collection and analysis, decision to publish, or preparation of the manuscript. Specific roles of all authors are articulated in the ‘author contributions’ section. Competing interests: During the preparation of this work, one author (AS) was employed by BioStat Solutions, Inc. (see funding statement), but that author’s involvement in this work was done on their own time, and outside of their employment responsibilities. This does not alter our adherence to PLOS ONE policies on sharing data and materials. Some commonly-used multiple testing adjustment methods (such as the original FDR method by Benjamini and Hochberg (1995) [5]) assume independence of tests, which in gene expression studies translates to a questionable assumption that all genes operate indepen- dently. (Corresponding and similarly questionable assumptions in other fields would be the independence of spatial locations, or the independence of different regions of the brain.) Other multiple testing adjustment methods claim to provide error rate control under certain (or even arbitrary) dependence types among test results [7, 8]. It would be useful to know how various adjustment methods perform under various levels of test dependence. The objective of this paper is to make such an evaluation so that a methodological recommendation can be made, leading to better-justified conclusions from high-dimensional data analysis. Methods: Controlling the error rates Many multiple testing adjustment methods exist for controlling error rates. For our current purposes, we focus on several that are most commonly used and widely available to applied researchers. To ensure the main body of this article focuses on our novel contributions, we have summarized in Section A of S1 File the background literature on these methods, as well as a brief discussion on dependence structures. For control of the FWER, we consider the Bon- ferroni procedure [9], Sˇida´k’s single step and step-down procedures [10, 11], the Holm proce- dure [12], the Hommel procedure [13], and the Hochberg procedure [14, 15]. For control of the FDR, we consider the Benjamini and Hochberg procedure [5], the Benjamini and Yekutieli procedure [7], the adaptive Benjamini and Hochberg procedure [16], the two stage Benjamini and Hochberg procedure [17], the q-value method [6], and the principal factor approximation method [8]. The multiple comparison procedures discussed in Section A of S1 File are shown in Table 1. These procedures are used to adjust p-values in our simulation analysis in the “Methods: simulation analysis” Section and to visualize results in the “Results and Discussion” Section. The paper is arranged in the following manner: first, in the “Methods: controlling the error rates” Section (and greater detail in Section A of S1 File) we summarize several procedures in the literature to control error rates in multiple comparisons. Then in the “Methods: simulation analysis” Sec- tion we propose a simulation framework and analyze several multiple comparison procedures using simulation data sets. Finally in the “Results and Discussion” Section, we finish with some observations and recommendations. Data Availability Statement: Data are generated using R code provided in the Supporting Information S2 File. Funding: This research was supported (in the form of salaries and conference travel for two authors – JRS, AAM) by the Utah Agricultural Experiment Station (UAES), Utah State University, and approved as journal paper number 8986. During later stages of the work, BioStat Solutions, Inc. provided support in the form of salary for one author (AS). Neither of these two funders had any 1 / 12 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Competing interests: During the preparation of this work, one author (AS) was employed by BioStat Solutions, Inc. (see funding statement), but that author’s involvement in this work was done on their own time, and outside of their employment responsibilities. This does not alter our adherence to PLOS ONE policies on sharing data and materials. Our general hypothesis is constructed as follows: in a hypothetical study) as Z   N ðm ; S Þ. Here m  is a length m vector of the expected differ- ences for each test; in the high-dimensional study context, μi is the true magnitude of differen- tial abundance for feature i. We considered two levels of m: 2000 (where the control of the FDR would generally be more meaningful) and 100 (where control of the FWER would gener- ally be more meaningful). Our scenario of dependent test statistics (and subsequent p-values) is represented in the covariance matrix (S ), where we considered different numbers of corre- lated tests (or features) and varying levels of correlation. In addition, we considered different sizes of μi in order to compare the performance of these multiple comparison procedures. Our general hypothesis is constructed as follows: H0 i : mi ¼ 0 vs H1 i : mi 6¼ 0 for i ¼ 1; 2; . . . ; m: In our study the first and the most important dependency scenarios are represented in the covariance matrix (S  mm) of test statistics (Z ). Thus, the construction of S  addresses two issues: (1) number of total correlated Z  (corresponding to features) and (2) correlation value (ρ) of dependent Z . Regarding the first issue, our main motivation is to examine the perfor- mance of various multiple comparison procedures when increasing the total number of corre- lated Z . We considered two different total numbers of correlated Z : 120 and 360 (out of 2000 total) for FDR control; 18 and 36 (out of 100 total) for FWER control. We also considered these dependent test statistics in blocks in order to distribute the number of dependent Z  into six disjoint but equal-sized sets of correlated tests. For example, in the case of 120 dependent tests, we have six blocks, each with twenty dependent Z . In each case, the dependent Z  of the first three blocks were always associated with the alternative hypothesis being true (μi 6¼ 0), while the dependent Z  of the remaining three blocks were associated with the null hypothesis being true (μi = 0). Then, we set all remaining test statistics to be independent. Error rate control with positively-dependent tests Table 1. Abbreviations of multiple comparison procedures (and their corresponding controlled error rate), used in the text and in summary figures. Procedure Abbreviation Error Rate Bonferroni procedure Bonferroni FWER Sˇ ida´k single step procedure Sidak SS FWER Sˇ ida´k step down procedure Sidak SD FWER Holm procedure Holm FWER Hommel procedure Hommel FWER Hochberg procedure Hochberg FWER Benjamini and Hochberg procedure BH FDR Benjamini and Yekutieli procedure BY FDR Adaptive Benjamini and Hochberg procedure ABH FDR Two stage Benjamini and Hochberg procedure TSBH FDR q-value method q-value FDR Principal factor approximation PFA FDR https://doi.org/10.1371/journal.pone.0176124.t001 Table 1. Abbreviations of multiple comparison procedures (and their corresponding controlled error rate), used in the text and in summary figures. in a hypothetical study) as Z   N ðm ; S Þ. Here m  is a length m vector of the expected differ- ences for each test; in the high-dimensional study context, μi is the true magnitude of differen- tial abundance for feature i. We considered two levels of m: 2000 (where the control of the FDR would generally be more meaningful) and 100 (where control of the FWER would gener- ally be more meaningful) Our scenario of dependent test statistics (and subsequent p-values) in a hypothetical study) as Z   N ðm ; S Þ. Here m  is a length m vector of the expected differ- ences for each test; in the high-dimensional study context, μi is the true magnitude of differen- tial abundance for feature i. We considered two levels of m: 2000 (where the control of the in a hypothetical study) as Z   N ðm ; S Þ. Here m  is a length m vector of the expected differ- ences for each test; in the high-dimensional study context, μi is the true magnitude of differen- tial abundance for feature i. We considered two levels of m: 2000 (where the control of the FDR would generally be more meaningful) and 100 (where control of the FWER would gener- ally be more meaningful). Our scenario of dependent test statistics (and subsequent p-values) is represented in the covariance matrix (S ), where we considered different numbers of corre- lated tests (or features) and varying levels of correlation. In addition, we considered different sizes of μi in order to compare the performance of these multiple comparison procedures. PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Methods: Simulation analysis In this section we evaluate the performance of the multiple testing procedures from the “Meth- ods: controlling the error rates” Section (and Section A of S1 File), under various dependence scenarios using simulated data sets. We simulated m test statistics (corresponding to m features 2 / 12 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 The following is the general form of our S  mm matrix: S  ¼ 1 r r 1 2 64 3 75 0 0    0 0 1 r r 1 2 64 3 75 0    0 0 0 1 r r 1 2 64 3 75    0                0 0 0    1 2 666666666666666666666666666664 3 777777777777777777777777777775 ð1Þ S  ¼ 1 r r 1 2 64 3 75 0 0    0 0 1 r r 1 2 64 3 75 0    0 0 0 1 r r 1 2 64 3 75    0                0 0 0    1 2 666666666666666666666666666664 3 777777777777777777777777777775 ð1Þ ð1Þ This block-diagonal structure of the S  matrix affects the construction of our mean vector m  for our Z . For tests with a true null hypothesis, μi = 0, while for tests with a false null hypothe- sis, we set μi = A for some A > 0. For demonstration purposes, we use the same A for all false null hypotheses, allowing an inspection of the effect of A, and consider separately A 2 {0.5, 1, 2, 3, 4, 5}. These values of A are chosen to represent a reasonable range of values. Three of the six dependent blocks in the S  matrix correspond to true null hypotheses (so their corresponding μi = 0), and the remaining three dependent blocks correspond to false null hypotheses (so their corresponding μi = A). In our simulations to consider FDR control, we considered 200 false null hypotheses (out of 2000 total hypotheses), thus we have either 140 (= 200 −3 × 20) or 20 (= 200 −3 × 60) completely independent tests with false null hypotheses, depending on the dependence group size. In simulations to consider FWER control, we con- sidered 20 false null hypotheses (out of 100 total hypotheses), with either 11 (= 20 −3 × 3) or 2 (= 20 −3 × 6) completely independent tests with false null hypotheses, depending on the dependent group size. Therefore, the diagonal elements of the entire S  mm matrix consist of six blocks with the remaining diagonal elements being ones, and the off-diagonal elements being zeros. So all blocks under a specific total number of correlated Z  always appear at diagonal positions of the entire S  matrix. Indeed, each block is a symmetric matrix inside the S  matrix. Indeed, each block is a symmetric matrix inside the S  matrix. As off-diagonal elements of the blocks on the diagonal of S , we considered correlation coef- ficient values ρ 2 {0, .2, .4, .6, .8, .99}. The values of ρ are chosen to represent a reasonable PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 3 / 12 Error rate control with positively-dependent tests range of values. Non-negative ρ ensures that the covariance among Z  is always non-negative. Thus, with such Gaussian Z  with positive correlation, we satisfy the condition of positive regression dependency [18] (see “Dependence among test results: PRDS and MTP2” in Section A of S1 File). These correlation values measure how much the dependent Z  are correlated with each other. Specifically, ρ = 0 indicates features are completely independent; in contrast, ρ = 0.99 indicates that the linear association between features’ test statistics is almost exact. Con- sidering this block-correlation dependence structure, it helps to compare the performance of various multiple comparison procedures under the same degree of dependency in the same number of both true null and false null hypotheses. By changing the ρ values we obtain differ- ent off-diagonal elements in the blocks. Thus, we summarize the construction of our general S  mm matrix in such a way so that, under a given number of correlated Z , all blocks (or sym- metrical sub-matrices) appear along the diagonal of the S  matrix, and the off-diagonal ele- ments of the blocks preserve the degree of dependency of correlated Z . PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Notice that implicit in our simulation is the assumption that a group (or block) of dependent hypotheses will have a shared truth (nulls all true or all false). This assumption is made for computational convenience and to facilitate interpretation. The PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 4 / 12 Error rate control with positively-dependent tests following is the general form of our m  1m vector: m ¼ A A    A 0 0 0    A ½ Š ð2Þ following is the general form of our m  1m vector: ral form of our m  1m vector: m ¼ A A    A 0 0 0    A ½ Š ð2Þ m ¼ A A    A 0 0 0    A ½ Š ð2Þ ð2Þ For any total number of dependent Z  and for each simulation, we simulated m Z  under a specific A and ρ combination. We performed our simulation 1,000 times considering a given number of total dependent Z . Thus for each combination of m  1m vector and S  mm matrix, we generated 1,000 sets of m p-values. Next, we adjusted these p-values with the multiple compari- son methods listed in the “Methods: controlling the error rates” Section (and Table 1) above to control the FDR (when m = 2000) or FWER (when m = 100) at α = 0.05. Finally, we estimated power, FDR, and FWER of the corresponding multiple comparison procedures by averaging for each procedure across simulations for each combination of ρ, A, and specific total number of dependent Z . Because there is, of course, chance variability across simulations, we also obtain the standard deviations (across simulations) of the power, FDR, and FWER, allowing construc- tion of approximate 95% confidence intervals of the true power, FDR, and FWER of each method by considering the average ± 2 SEM, where SEM is the standard error of the mean. It is important to keep in mind the limitations and intent of this simulation. In practice, when features are dependent, it will not necessarily be with the same constant correlation in each dependent group, as represented in Eq 1. Similarly, in practice, when features are differ- entially abundant, they will not all be differentially abundant with the same magnitude (or even direction), as represented in Eq 2. Instead, there will be something of a mixture—depen- dent groups with varying strengths of dependence, and differentially abundant features with varying magnitudes (and direction) of change. However, the block correlation structure (which is a standard exploratory initial tool) and the differential abundance framework used in this simulation are not intended to fully recreate a complex biological system. Rather, the sim- ulation is intended to give some insight into how the various multiplicity adjustment methods will perform on various components of this mixture—particularly as the strength of depen- dence (even if narrowly defined within this block correlation framework) and magnitude of differential abundance vary. Finally, in this simulation the proportion of differentially abundant features is held constant at 10% (arbitrarily a low percentage), and the total number of features is held constant. When considering the FDR, we use m = 2000 features—arbitrarily a high number, which involves sub- stantial-but-manageable computational expense in dealing with S , and which is close to the number of features in a microRNA study [19, 20]. When considering the FWER, we use m = 100 features, arbitrarily a low number, but one which is reasonable in a pharmacogenomics PGx subgroup analysis [21] or methylation quantitative trait loci study [22]. We fix the percent differential abundance and number of features thus in the simulation, not because in practice we could assume the same percentage differentially abundant or the same number of features in all studies, but rather because our focus is on how the degree of dependence and magnitude of differential abundance (and not percentage differentially abundant or number of features) affect the performance of the multiplicity adjustment methods considered here. Accordingly, rather than varying all simulation characteristics (such as percentage differentially abundant, or the total number of features), we instead vary the simulation characteristics of greatest interest for our purposes (degree of dependence and magnitude of differential abundance). Results and discussion FDR control (Fig 3) and statistical power (Fig 4) both improve, as expected, for larger magnitudes of differ- ential abundance (i.e., larger effect sizes A.) Fig 3 shows that increasing levels of dependence (i.e., larger ρ) appears to improve FDR control for tests of small effects (such as A = 0.5), but has no clear effect for larger A. Fig 3 shows that increasing levels of dependence (i.e., larger ρ) appears to improve FDR control for tests of small effects (such as A = 0.5), but has no clear effect for larger A. Fig 3 indicates that increasing the dependence group size (360 vs. 120) results in lower FDR when the effect is small (A = 0.5) and ρ is larger. Larger dependence group size also appears to result in a modest gain in (already poor) power (see Fig 4) among most FDR-controlling meth- ods when the effect is moderate (such as A = 2) and ρ is larger. However, for larger A and larger ρ, Fig 4 shows a possible (if negligible) loss of power. Fig 3 indicates that increasing the dependence group size (360 vs. 120) results in lower FDR when the effect is small (A = 0.5) and ρ is larger. Larger dependence group size also appears to result in a modest gain in (already poor) power (see Fig 4) among most FDR-controlling meth- ods when the effect is moderate (such as A = 2) and ρ is larger. However, for larger A and larger ρ, Fig 4 shows a possible (if negligible) loss of power. Of the methods purporting to control the FDR, the PFA method generally has the best power (Fig 4), but Fig 3 shows that, at least for this large number of tests and for the block-cor- relation positively-dependent covariance structure shown in Eq 1, the PFA method fails to pro- vide even reasonable control of the FDR. We note that this PFA performance includes the best-case scenario of treating the covariance matrix as known. Additional simulations described in Section B of S1 File suggest that, at least for certain block-correlation positively- dependent covariance structures, the PFA method may provide better FDR control for smaller numbers of tests, but for larger numbers of tests (in the thousands), the PFA method does not provide the desired FDR control. PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Results and discussion In comparing the performance of the multiple testing adjustment methods considered in the “Methods: controlling the error rates” Section, it is important to consider the trade-off between specificity (one minus the type I error rate) and sensitivity (statistical power). A statistical 5 / 12 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Error rate control with positively-dependent tests method could achieve high power by automatically rejecting all null hypotheses, but this would negatively affect specificity. Conversely, adopting an overly-conservative approach that would reject hardly any (or even no) null hypotheses could maintain excellent specificity (i.e., a very low type I error rate rate) but would have poor statistical power. For this reason, the sim- ulation results summarized here in Figs 1, 2, 3 and 4 consider both the average FDR (or FWER) control (as a form of specificity) and average statistical power (sensitivity). For conve- nience and clarity in visualization, the FDR (or FWER) and power are considered separately in Figs 1, 2, 3 and 4. For a simultaneous representation of the FDR (or FWER) and power results, see Section C of S1 File. Figs 1 and 2 summarize the results of the simulation for the FWER-controlling methods. If the interest is to control the FWER, we note that all the FWER methods do indeed control the FWER equally well at the chosen α level (0.05 here), even in the presence of block-correlation positively-dependent tests, regardless of effect size (A), degree of dependence (ρ), or size of dependence group (Fig 1). As expected, Fig 2 shows these methods’ power increases for larger magnitudes of differential abundance (i.e., larger effect sizes A). Power does not appear to be affected by increasing levels of dependence (i.e., larger ρ) or dependence group size. Regardless of effect size (A) or degree of dependence (ρ), it appears best to use the Sidak SD, Hommel, Holm, or Hochberg methods, as there is a modest (but consistent) power loss in the Bonfer- roni and Sidak SS methods (Fig 2). Figs 3 and 4 summarize simulation results for the FDR-controlling methods. PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Results and discussion If the interest is to control the FDR, we note that, for at least moderate effect sizes (A  2), the FDR methods (other than PFA) do indeed control the FDR at the chosen α level (0.05 here), regardless of the degree of dependence (ρ) (Fig 1). The Benjamini and Yekutieli proce- dure (BY) gives the most conservative control of the FDR (Fig 1), but at a noticeable loss of power (Fig 2). Regardless of effect size (A) or degree of dependence (ρ), it appears best to use the two stage Benjamini and Hochberg procedure (TSBH), the q-value method, or the adaptive Benjamini and Hochberg procedure (ABH) to control the FDR, even when positive block cor- relation dependence is present. We conclude with a few caveats. First, the multiple hypothesis testing literature is evolving, so the above recommendations will not necessarily remain the best in perpetuity. Also, we only considered a certain class of dependence among test results, and any simulation study can 6 / 12 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Error rate control with positively-dependent tests Fig 1. Average FWER for different methods purporting to control the FWER at α = 0.05. A can be thought of as the magnitude of differential abundance for truly differentially abundant features, and ρ is t true correlation within blocks of dependent tests. The blue solid circles represent the case of 18 depend tests (out of 100 total), whereas the red solid triangles are for the case of 36 dependent tests. Parenthes indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g001 Error rate control with positively depende Fig 1. Average FWER for different methods purporting to control the FWER at α = 0.05. A can be thought of as the magnitude of differential abundance for truly differentially abundant features, and ρ is the true correlation within blocks of dependent tests. The blue solid circles represent the case of 18 dependent tests (out of 100 total), whereas the red solid triangles are for the case of 36 dependent tests. Parentheses indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g001 https://doi.org/10.1371/journal.pone.0176124.g001 7 / 12 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Error rate control with positively-dependent tests Fig 2. Average power for different methods purporting to control the FWER at α = 0.05. A can be thought of as the magnitude of differential abundance for truly differentially abundant features, and ρ is t true correlation within blocks of dependent tests. PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Results and discussion The blue solid circles represent the case of 18 depend tests (out of 100 total), whereas the red solid triangles are for the case of 36 dependent tests. Parenthes indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g002 p y p Fig 2. Average power for different methods purporting to control the FWER at α = 0.05. A can be thought of as the magnitude of differential abundance for truly differentially abundant features, and ρ is the true correlation within blocks of dependent tests. The blue solid circles represent the case of 18 dependent tests (out of 100 total), whereas the red solid triangles are for the case of 36 dependent tests. Parentheses indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g002 8 / 12 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Error rate control with positively-dependent tests Fig 3. Average FDR for different methods purporting to control the FDR at α = 0.05. A can be thou as the magnitude of differential abundance for truly differentially abundant features, and ρ is the true correlation within blocks of dependent tests. The blue solid circles represent the case of 120 dependent (out of 2000 total), whereas the red solid triangles are for the case of 360 dependent tests. Parentheses indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g003 Error rate control with positively dependen Fig 3. Average FDR for different methods purporting to control the FDR at α = 0.05. A can be thought of as the magnitude of differential abundance for truly differentially abundant features, and ρ is the true correlation within blocks of dependent tests. The blue solid circles represent the case of 120 dependent tests (out of 2000 total), whereas the red solid triangles are for the case of 360 dependent tests. Parentheses indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g003 https://doi.org/10.1371/journal.pone.0176124.g003 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 9 / 12 Error rate control with positively-dependent tests Fig 4. Average power for different methods purporting to control the FDR at α = 0.05. A can be th of as the magnitude of differential abundance for truly differentially abundant features, and ρ is the true correlation within blocks of dependent tests. The blue solid circles represent the case of 120 dependent (out of 2000 total), whereas the red solid triangles are for the case of 360 dependent tests. Parentheses indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g004 p y p Fig 4. Average power for different methods purporting to control the FDR at α = 0.05. PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Writing – review & editing: JRS AAM AS. Writing – review & editing: JRS AAM AS. Supporting information S1 File. Background information on previous literature, including multiple testing adjust- ment methods and dependence among test results. (PDF) S2 File. R code to reproduce the entire simulation, including data analysis and summary figure panels. Results and discussion A can be thought of as the magnitude of differential abundance for truly differentially abundant features, and ρ is the true correlation within blocks of dependent tests. The blue solid circles represent the case of 120 dependent tests (out of 2000 total), whereas the red solid triangles are for the case of 360 dependent tests. Parentheses indicate ± 2 SEM. https://doi.org/10.1371/journal.pone.0176124.g004 PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 10 / 12 Error rate control with positively-dependent tests not reasonably consider all possible conditions (see the concluding two paragraphs of the “Methods: simulation analysis” Section above). Nevertheless, these results do provide a con- crete comparison of multiplicity adjustment methods and give some insight as to the effects of degree of differential feature abundance (A), degree of dependence among tests (ρ), and sizes of dependence groups on error rate control and power. In addition, this comparison and all the panels of Figs 1–4 are completely reproducible using the R code provided in S2 File. Project administration: JRS. Project administration: JRS. Software: JRS AAM AS. Supervision: JRS. Supervision: JRS. Validation: AS. PLOS ONE | https://doi.org/10.1371/journal.pone.0176124 April 28, 2017 Author Contributions Conceptualization: JRS AAM. Data curation: JRS AAM. Formal analysis: JRS AAM AS. Funding acquisition: JRS. Investigation: JRS AAM. Methodology: JRS AAM. Project administration: JRS. Software: JRS AAM AS. Supervision: JRS. Validation: AS Investigation: JRS AAM. Methodology: JRS AAM. Validation: AS. Visualization: JRS AAM. Visualization: JRS AAM. Writing – original draft: JRS AAM. Writing – original draft: JRS AAM. References 1. Dudoit S, Shaffer JP, Boldrick JC. Multiple hypothesis testing in microarray experiments. Statistical Sci- ence. 2003; p. 71–103. https://doi.org/10.1214/ss/1056397487 2. Elliott P, Wartenberg D. Spatial epidemiology: current approaches and future challenges. Environmen- tal Health Perspectives. 2004; 112(9):998–1006. https://doi.org/10.1289/ehp.6735 PMID: 15198920 3. Bennett CM, Wolford GL, Miller MB. The principled control of false positives in neuroimaging. 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https://eprints.whiterose.ac.uk/178734/1/Therapeutic%20Application%20of%20Monoclonal%20Antibodies%20in%20Pancreatic%20Cancer%20Advances%2C%20Challenges%20and%20Future%20Opportunities.pdf
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Therapeutic Application of Monoclonal Antibodies in Pancreatic Cancer: Advances, Challenges and Future Opportunities
Cancers
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Article: Arias-Pinilla, G.A. orcid.org/0000-0002-0137-8377 and Modjtahedi, H. (2021) Therapeutic application of monoclonal antibodies in pancreatic cancer: advances, challenges and future opportunities. Cancers, 13 (8). 1781. ISSN 2072-6694 https://doi.org/10.3390/cancers13081781 This is a repository copy of Therapeutic application of monoclonal antibodies in pancreatic cancer: advances, challenges and future opportunities. This is a repository copy of Therapeutic application of monoclonal antibodies in pancreatic cancer: advances, challenges and future opportunities. This is a repository copy of Therapeutic application of monoclonal antibodies in pancreatic cancer: advances, challenges and future opportunities. White Rose Research Online URL for this paper: https://eprints.whiterose.ac.uk/178734/ Version: Published Version Version: Published Version Reuse This article is distributed under the terms of the Creative Commons Attribution (CC BY) licence. This licence allows you to distribute, remix, tweak, and build upon the work, even commercially, as long as you credit the authors for the original work. More information and the full terms of the licence here: https://creativecommons.org/licenses/   Academic Editor: Atsushi Umemura Received: 17 March 2021 Accepted: 4 April 2021 Published: 8 April 2021 Keywords: pancreatic cancer; monoclonal antibodies; mAbs; targeted therapy; target antigens 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. Citation: Arias-Pinilla, G.A.; Modjtahedi, H. Therapeutic Application of Monoclonal Antibodies in Pancreatic Cancer: Advances, Challenges and Future Opportunities. Cancers 2021, 13, 1781. https://doi.org/10.3390/ cancers13081781 Gustavo A. Arias-Pinilla 1,2 and Helmout Modjtahedi 2,* Cancers 2021, 13, 1781. https://doi.org/10.3390/ cancers13081781 Academic Editor: Atsushi Umemura Received: 17 March 2021 Accepted: 4 April 2021 Published: 8 April 2021 Publisher’s Note: MDPI stays neutral with regard to jurisdictional claims in published maps and institutional affil- iations. Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland.   Citation: Arias-Pinilla, G.A.; Modjtahedi, H. Therapeutic Application of Monoclonal Antibodies in Pancreatic Cancer: Advances, Challenges and Future Opportunities. Cancers 2021, 13, 1781. https://doi.org/10.3390/ cancers13081781 Academic Editor: Atsushi Umemura Received: 17 March 2021 Accepted: 4 April 2021 Published: 8 April 2021 Takedown If you consider content in White Rose Research Online to be in breach of UK law, please notify us by emailing eprints@whiterose.ac.uk including the URL of the record and the reason for the withdrawal request. eprints@whiterose.ac.uk https://eprints.whiterose.ac.uk/ eprints@whiterose.ac.uk https://eprints.whiterose.ac.uk/ eprints@whiterose.ac.uk https://eprints.whiterose.ac.uk/ cancers cancers cancers cancers Gustavo A. Arias-Pinilla 1,2 and Helmout Modjtahedi 2,* Gustavo A. Arias-Pinilla 1,2 and Helmout Modjtahedi 2,* 1 Department of Oncology, Sheffield Teaching Hospitals NHS Foundation Trust, Sheffield S10 2JF, UK; gustavo.ariaspinilla@nhs.net 1 Department of Oncology, Sheffield Teaching Hospitals NHS Foundation Trust, Sheffield S10 2JF, UK; gustavo.ariaspinilla@nhs.net 2 School of Life Sciences, Pharmacy and Chemistry, Kingston University London, Kingston-upon-Thames, Surrey KT1 2EE, UK * Correspondence: H.Modjtahedi@kingston.ac.uk; Tel.: +44-02084-172240 * Correspondence: H.Modjtahedi@kingston.ac.uk; Tel.: +44-02084-172240 Simple Summary: Pancreatic cancer is a leading cause of cancer death worldwide. In the majority of patients, cancers are diagnosed at advanced stages of disease and are resistant to current treatments. Therefore, more effective and less toxic therapeutic agents are urgently needed. Monoclonal antibody (mAb)-based technology is an important tool in the discovery of novel therapeutic targets and development of novel therapeutic agents including antibody-based drugs. In this article, we review the therapeutic potential of monoclonal antibody-based agents when used as single agents or in combination with other treatments in pancreatic cancer, factors contributing to the poor response to therapy and emerging opportunities for more effective treatment with antibody-based agents. Abstract: Pancreatic cancer remains as one of the most aggressive cancer types. In the absence of reliable biomarkers for its early detection and more effective therapeutic interventions, pancreatic cancer is projected to become the second leading cause of cancer death in the Western world in the next decade. Therefore, it is essential to discover novel therapeutic targets and to develop more effective and pancreatic cancer-specific therapeutic agents. To date, 45 monoclonal antibodies (mAbs) have been approved for the treatment of patients with a wide range of cancers; however, none has yet been approved for pancreatic cancer. In this comprehensive review, we discuss the FDA approved anticancer mAb-based drugs, the results of preclinical studies and clinical trials with mAbs in pancreatic cancer and the factors contributing to the poor response to antibody therapy (e.g. tumour heterogeneity, desmoplastic stroma). MAb technology is an excellent tool for studying the complex biology of pancreatic cancer, to discover novel therapeutic targets and to develop various forms of antibody-based therapeutic agents and companion diagnostic tests for the selection of patients who are more likely to benefit from such therapy. These should result in the approval and routine use of antibody-based agents for the treatment of pancreatic cancer patients in the future.   Citation: Arias-Pinilla, G.A.; Modjtahedi, H. Therapeutic Application of Monoclonal Antibodies in Pancreatic Cancer: Advances, Challenges and Future Opportunities. 1. Introduction Pancreatic ductal adenocarcinoma (PDAC) is one of the most common and aggressive cancer types, with a five-year survival rate of only 2–9% [1]. Worldwide, there were an estimated 458,918 new cases of pancreatic cancer and 432,242 deaths in 2018 [2,3]. In the absence of reliable biomarkers for use in the screening and early detection of pancreatic cancer, and more effective and less toxic therapeutic agents, it has been projected that pancreatic cancer will not only rise in incidence but also will take over breast, prostate and colorectal cancers and become the second leading cause of cancer death in the Western world by 2030 [1,4,5]. 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/). y Treatment of patients with pancreatic cancer involves surgery, chemotherapy and radiotherapy. Although surgery is the only curative treatment, around 80% of patients are diagnosed at late stages of the disease and are not eligible for surgical resection. Adjuvant https://www.mdpi.com/journal/cancers Cancers 2021, 13, 1781. https://doi.org/10.3390/cancers13081781 Cancers 2021, 13, 1781 2 of 38 treatment with chemotherapy is beneficial given the high rate of locoregional relapse after surgery alone. Gemcitabine-based therapy was traditionally the mainstay for treatment of pancreatic cancer [6]. However, the results of the recently published ESPAC-4 trial showed that the combination of gemcitabine plus capecitabine increased median overall survival compared to gemcitabine alone (28.0 vs 25.5 months) with an acceptable toxicity profile, and an estimated 5-year survival of 28.8% for the combination group compared to 16.3% with gemcitabine monotherapy, making this combination the new standard of care in the adjuvant setting [7]. Treatment for borderline resectable or locally advanced unresectable tumours seems to yield better results with chemotherapy (e.g., FOLFIRINOX) rather than chemoradiotherapy, although more robust evidence from trials is needed [8]. Patients with metastatic disease are treated with either FOLFIRINOX or gemcitabine plus nab-paclitaxel as first-line in patients with good performance status [9,10]. Erlotinib was approved by the FDA for use in metastatic pancreatic cancer patients based on a study that showed a modest improvement in median survival in patients who received erlotinib plus gemcitabine compared to gemcitabine alone (6.4 vs 5.9 months) but the clinical relevance is controversial [11]. 1. Introduction The combination of liposomal irinotecan, fluorouracil and folinic acid (NAPOLI-1 regimen) is the only currently approved second-line chemotherapy for patients with metastatic pancreatic cancer based on a phase 3 trial that showed median overall survival of 6.1 months for the triple combination compared to 4.2 months in patients receiving fluorouracil and folinic acid [12]. Therefore, it is essential to discover novel targets and to develop more effective, less toxic and pancreatic cancer specific therapeutic agents for the long-term benefit of patients with pancreatic cancer. The advent of hybridoma technology by Köhler and Milstein in 1975, which allows the production of unlimited quantity of an antibody against any target antigen, has rev- olutionised many areas of biomedical research and medicine [13]. Further technological advances in genetic engineering allowed the production of less immunogenic and more effective types of mAbs (e.g., chimeric, humanised, fully human mAbs, antibody fragments and bispecific antibodies) for use in the treatment of patients with a range of diseases includ- ing cancer [14–18]. Indeed, mAb-based therapy is currently one of the two major types of targeted therapy and an attractive therapeutic alternative for the treatment of patients with a wide range of cancers. In this article, we provide a comprehensive review of monoclonal antibody-based agents that have been approved for the treatment of human cancers and the current state of preclinical and clinical studies with monoclonal antibody-based agents in pancreatic cancer. We shall also highlight some of the contributing factors for the poor response to therapy with mAbs, and emerging opportunities for more effective treatment of pancreatic cancer with antibody-based agents in combination with other treatments. 2. Therapeutic Antibodies Approved in Cancer Over the past few decades, monoclonal antibody-based agents have been approved and used routinely in the treatment of a wide range of human diseases including cancer, infectious, autoimmune and metabolic diseases. Monoclonal antibody-based drugs can be developed by a variety of approaches such as hybridoma technology, phage display technology, the use of transgenic mouse or the single B-cell technique [17,19,20]. Depending on the target antigen and the antibody format, monoclonal antibody- based drugs can produce their anti-tumour activity by several mechanisms (Figure 1). Some mAbs are directed against growth factor receptors with high levels of expression in tumours cells and inhibit tumour growth by blocking the binding of growth factor to its receptor (e.g., anti-EGFR mAbs cetuximab and panitumumab), or by inhibiting receptor dimerization (e.g., anti-HER-2 mAb pertuzumab), consequently inhibiting the downstream cell signalling pathways. In contrast, other antibodies halt tumour growth by inhibiting angiogenesis (e.g., anti-VEGF blocking mAb bevacizumab), stimulating apoptosis (e.g., anti-CD20 mAb rituximab) or delivering lethal doses of radioisotopes (e.g., ibritumomab tiuxetan), or toxins to tumour sites (e.g., brentuximab vedotin, an anti- CD30 mAb conjugated to anti-microtubule agent monomethyl auristatin E). Other mAbs Cancers 2021, 13, 1781 3 of 38 3 of 38 induce tumour killing by immune-mediated antibody-dependent cellular cytotoxicity (ADCC)/complement-dependent cytotoxicity (CDC, e.g., rituximab, trastuzumab) and im- mune checkpoint inhibition through targeting of PD-1/PD-L1 and CTLA-4 (e.g., nivolumab, pembrolizumab, atezolizumab, ipilimumab). Finally, other therapeutic mAbs are used as component of CAR-T cells, or as bispecific antibodies that induce tumour killing by simultaneous targeting of two different antigens on tumour cells, or bispecific immune cell engager by targeting one antigen on tumour cells and another antigen on T cells (e.g., catumaxomab, blinatumomab, Figure 1). Figure 1. Mechanisms of action of monoclonal antibody-based products. 2. Therapeutic Antibodies Approved in Cancer (A) Targeting growth factor receptors, blocking the binding of an activating ligand and inhibiting receptor homo- and heterodimerization; (B) Targeting of tumour vasculature receptor or its ligands inhibiting angiogenesis; (C) Induction of apoptosis by recruitment of immune effector cells (ADCC) or activation of the complement cascade (CDC), and the use of antibody-based molecules to engineer T lymphocytes (CAR T cells); (D) Immune checkpoint inhibition by blockade of the PD-1/PD-L1 axis or CTLA-4 inhibitory receptors, increasing cytotoxic T cell activity; (E) Simultaneous targeting of two antigens, one on tumour cells and one on effector T cells, by using bispecific antibodies (BITE, bispecific T-cell enhancing); and (F) Delivery of payloads such as toxins and radioisotopes to tumour cells. Created with BioRender.com (accessed on 17 March 2021). Figure 1. Mechanisms of action of monoclonal antibody-based products. (A) Targeting growth factor receptors, blocking the binding of an activating ligand and inhibiting receptor homo- and heterodimerization; (B) Targeting of tumour vasculature receptor or its ligands inhibiting angiogenesis; (C) Induction of apoptosis by recruitment of immune effector cells (ADCC) or activation of the complement cascade (CDC), and the use of antibody-based molecules to engineer T lymphocytes (CAR T cells); (D) Immune checkpoint inhibition by blockade of the PD-1/PD-L1 axis or CTLA-4 inhibitory receptors, increasing cytotoxic T cell activity; (E) Simultaneous targeting of two antigens, one on tumour cells and one on effector T cells, by using bispecific antibodies (BITE, bispecific T-cell enhancing); and (F) Delivery of payloads such as toxins and radioisotopes to tumour cells. Created with BioRender.com (accessed on 17 March 2021). To date, 45 mAbs have been approved in the USA and/or the European Union (EU) for the treatment of patients with a wide range of cancers (Table 1). In particular, there has been a great deal of research interest in this area in recent years and a growing number of mAb approvals for different indications. Indeed, with the exception of checkpoint inhibitors, nearly half of the approved therapeutic antibodies are directed against one of the following six target antigens: CD19, CD20, the two members of the human epidermal growth factor receptor (HER) family namely EGFR and HER-2, VEGF and VEGFR (Table 1). Interestingly, several immune checkpoint inhibitors such as anti-CTLA-4 mAb ipilumumab, anti-PD-1 mAbs pembrolizumab and nivolumab, and anti-PD-L1 mAbs avelumab and durvalumab have been approved for a wide range of cancer types. 2. Therapeutic Antibodies Approved in Cancer Moreover, additional mAbs have Cancers 2021, 13, 1781 4 of 38 been approved outside the USA and EU for treatment of various cancer types including nimotuzumab (in head and neck cancer, nasopharyngeal cancer and glioma) and vivatuxin (in lung cancer) [16]. been approved outside the USA and EU for treatment of various cancer types including nimotuzumab (in head and neck cancer, nasopharyngeal cancer and glioma) and vivatuxin (in lung cancer) [16]. Table 1. Monoclonal antibodies approved in the U.S. and/or European Union for cancer treatment. MAb Generic Name (Trade Name) Target Antigen/Isotype Cancer Type Indication Date of Approval Rituximab (Rituxan®) CD20/Chimeric IgG1 B-cell lymphoma, NHL 1997 Diffuse large B-cell, CD20+, NHL 2006 CLL 2010 Previously untreated follicular, CD20+, B-cell NHL 2011 Trastuzumab (Herceptin®) HER-2/Humanised IgG1 Metastatic breast cancer 1998 Early-stage breast cancer 2006 HER2 overexpressing metastatic gastric or GEJ adenoca 2010 Gentuzumab ozogamicin (Mylotarg®) CD33/Humanised IgG4 AML 2000 * Newly diagnosed, relapsed or refractory CD33+ AML 2017 Alemtuzumab (Campath®) CD52/Humanised IgG1 B-CLL 2001 Ibritumomab tiuxetan (Zevalin®) CD20/Murine IgG1; conjugated to 90Y NHL 2002 Tositumomab-I131 (Bexxar®) CD20/Murine IgG2a; conjugated to 131I NHL 2003 * Cetuximab (Erbitux®) EGFR/Chimeric IgG1 Metastatic CRC 2004 Locally or regionally advanced HNSCC or recurrent or metastatic HNSCC 2006 Recurrent locoregional disease and/or metastatic HNSCC (first-line) 2011 K-ras wild-type, EGFR-expressing metastatic CRC (first-line) 2012 Bevacizumab (Avastin®) VEGF/Humanised IgG1 Metastatic CRC 2004 Locally advanced, metastatic or recurrent NSCLC 2006 Metastatic HER-2 negative breast cancer 2008 Metastatic RCC 2009 GBM 2009 Metastatic CRC 2013 Persistent, recurrent or metastatic cervical cancer 2014 Platinum-resistant, recurrent epithelial ovarian, fallopian tube, or primary peritoneal cancer 2014 Stage III or IV epithelial ovarian, fallopian tube, or primary peritoneal cancer after initial surgical resection 2018 Panitumumab (Vectibix®) EGFR/Human IgG2 Metastatic CRC 2006 Ofatumumab (Arzerra®) CD20/Human IgG1 CLL 2009 CLL (previously untreated) 2014 Recurrent or progressive CLL 2016 Catumaxomab (Removab®) EpCAM/ CD3/Bi-specific Rat IgG2b/mouse IgG2a Malignant ascites (in Europe) 2009 Table 1. Monoclonal antibodies approved in the U.S. and/or European Union for cancer treatment. 5 of 38 Cancers 2021, 13, 1781 Table 1. Cont. Table 1. Cont. 2. Therapeutic Antibodies Approved in Cancer MAb Generic Name (Trade Name) Target Antigen/Isotype Cancer Type Indication Date of Approval Ipilimumab (Yervoy®) CTLA-4/Human IgG1 Unresectable or metastatic melanoma 2011 Cutaneous melanoma with pathological involvement of regional lymph nodes 2015 Intermediate or poor risk, previously untreated advanced RCC (in combination with nivolumab) 2018 MSI-H or dMMR metastatic CRC (in combination with nivolumab) 2018 Brentuximab vedotin (Adcentris®) CD30/Chimeric IgG1; conjugated to monomethyl auristatin E ALCL and HL 2011 cHL (as consolidation post-auto-HSCT) 2015 pcALCL or CD30-expressing MF 2017 Previously untreated stage III or IV cHL 2018 Previously untreated systemic ALCL or other CD30-expressing peripheral T-cell lymphomas 2018 Pertuzumab (Perjecta®) HER-2/Humanised IgG1 HER-2 positive metastatic breast cancer 2012 HER-2 positive, locally advanced, inflammatory, or early-stage breast cancer (in combination with trastuzumab as neoadjuvant therapy) 2013 HER-2 positive early breast cancer at high risk or recurrence 2017 Denosumab (Xgeva®) RANKL/Human IgG2 Unresectable giant cell tumour of bone 2013 Ado-trastuzumab emtansine (Kadcyla®) HER-2/Humanised IgG1; conjugated to DM1 HER-2 positive, metastatic breast cancer 2013 HER-2 positive breast cancer with residual invasive disease 2019 Obinutuzumab (Gazyva®) CD20/Humanised IgG1 CLL (previously untreated) 2013 FL 2016 Previously untreated stage II bulky, III or IV FL 2017 Ramucirumab (Cyramza®) VEGFR-2/Recombinant IgG1 Advanced or metastatic, gastric or GEJ adenocarcinoma 2014 Metastatic NSCLC 2014 Metastatic CRC 2015 HCC 2019 First-line treatment of metastatic NSCLC (in combination with erlotinib) 2020 Pembrolizumab (Keytruda®) PD-1 receptor/Humanised IgG4 Unresectable or metastatic melanoma and disease progression following ipilimumab 2014 Unresectable and metastatic melanoma (initial treatment) 2015 Metastatic NSCLC 2016 Recurrent or metastatic HNSCC 2016 Refractory cHL 2017 Previously untreated metastatic non-squamous NSCLC 2017 Locally advanced or metastatic urothelial carcinoma 2017 Unresectable or metastatic MSI-H or dMMR solid tumours 2017 Recurrent locally advanced or metastatic gastric or GEJ adenocarcinoma 2017 Recurrent or metastatic cervical cancer 2018 Refractory PMBCL 2018 First-line treatment metastatic non-squamous NSCLC 2018 First-line treatment metastatic squamous NSCLC 2018 HCC 2018 Pembrolizumab (Keytruda®) PD-1 receptor/Humanised IgG4 Pembrolizumab (Keytruda®) 6 of 38 Cancers 2021, 13, 1781 Table 1. Cont. 2. Therapeutic Antibodies Approved in Cancer MAb Generic Name (Trade Name) Target Antigen/Isotype Cancer Type Indication Date of Approval Pembrolizumab (Keytruda®) PD-1 receptor/Humanised IgG4 Recurrent locally advanced or metastatic Merkel cell carcinoma 2018 Melanoma with involvement of lymph nodes following complete resection 2019 First-line treatment stage III or metastatic NSCLC 2019 First-line treatment advanced RCC 2019 Metastatic or unresectable recurrent HNSCC 2019 Metastatic SCLC 2019 Advanced oesophageal squamous cell cancer 2019 Advanced endometrial carcinoma that is not MSI-H or dMMR 2019 BCG-unresponsive, high-risk, non-muscle invasive bladder cancer with carcinoma in situ with or without papillary tumours 2020 Unresectable or metastatic tumour mutational burden-high (TMB H) solid tumours 2020 Recurrent or metastatic CSCC not curable by surgery or radiation 2020 First-line treatment unresectable or metastatic MSI-H or dMMR CRC 2020 R/R cHL 2020 Locally recurrent unresectable or metastatic TNBC whose tumours express PD-L1 2020 Blinatumomab (Blincyto®) CD19/Bispecific CD19-directed CD3 T-cell engager Philadelphia chromosome-negative R/R B-cell precursor ALL 2014 R/R B-cell precursor ALL 2017 B-cell precursor ALL in first or second complete remission with MRD >/= 0.1% 2018 Nivolumab (Opdivo®) PD-1 receptor/Human IgG4 Unresectable or metastatic melanoma 2014 BRAF V600 wild-type, unresectable or metastatic melanoma (in combination with ipilimumab) 2015 Metastatic NSCLC 2015 Advanced RCC 2015 cHL 2016 Recurrent or metastatic HNSCC 2016 Locally advanced or metastatic urothelial carcinoma 2017 MSI-H or dMMR metastatic CRC 2017 HCC 2017 Melanoma with involvement of lymph nodes or metastatic disease following complete resection 2017 Intermediate or poor risk, previously untreated advanced RCC (in combination with ipilimumab) 2018 Metastatic SCLC 2018 HCC (in combination with ipilimumab) 2018 First-line treatment metastatic NSCLC whose tumours express PD-L1 (in combination with ipilimumab) 2020 Unresectable advanced, recurrent or metastatic oesophageal squamous cell carcinoma (ESCC) 2020 Unresectable malignant pleural mesothelioma (first-line; in combination with ipilimumab) 2020 First-line treatment advanced renal cell carcinoma (in combination with cabozantinib) 2021 Pembrolizumab (Keytruda®) CD19/Bispecific CD19-directed CD3 T-cell engager Cancers 2021, 13, 1781 7 of 38 Table 1. Cont. 2. Therapeutic Antibodies Approved in Cancer MAb Generic Name (Trade Name) Target Antigen/Isotype Cancer Type Indication Date of Approval Dinutuximab (Unituxin®) GD2/Chimeric IgG1 High-risk neuroblastoma 2015 Daratumumab (Darzalex®) CD38/Human IgG1 MM 2015 Newly diagnosed MM ineligible for autologous SCT 2019 Newly diagnosed MM eligible for autologous SCT 2019 Necitumumab (Portrazza®) EGFR/Human IgG1 Metastatic squamous NSCLC (first-line) 2015 Elotuzumab (Empliciti®) SLAMF7/Humanised IgG1 MM 2015 Atezolizumab (Tecentriq®) PD-L1/Humanised IgG1 Locally advanced or metastatic urothelial carcinoma 2016 Metastatic NSCLC 2016 First-line treatment metastatic non-squamous NSCLC 2018 Unresectable locally-advanced or metastatic TNBC 2019 Extensive-stage SCLC 2019 Unresectable or metastatic HCC (in combination with bevacizumab) 2020 BRAF V600 mutation-positive unresectable or metastatic melanoma 2020 Olaratumab (Lartruvo®) PDGFRα/Human IgG1 Metastatic soft-tissue sarcoma 2016 Avelumab (Bavencio®) PD-L1/Human IgG1 Metastatic Merkel cell carcinoma 2017 Locally advanced or metastatic urothelial carcinoma 2017 Advanced RCC 2019 Maintenance treatment in locally advanced or metastatic urothelial carcinoma (UC) 2020 Durvalumab (Imfinzi®) PD-L1/Human IgG1 Locally advanced or metastatic urothelial carcinoma 2017 Unresectable stage III NSCLC 2018 Extensive-stage SCLC 2020 Rituximab+hyaluronidase human (Rituxan hycela®) CD20/Chimeric IgG1 Follicular lymphoma, DLBCL and CLL 2017 Inotuzumab ozogamicin (Besponsa®) CD22/Humanised IgG4; conjugated with calicheamicin R/R B-cell precursor ALL 2017 Mogamulizumab (Poteligeo®) CCR4/Humanised IgG1 R/R mycosis fungoides or Sezary syndrome 2018 Moxetumomab pasudotox-tdfk (Lumoxiti®) CD-22/Immunotoxin; IgG1 fragment fused to Pseudomonas exotoxin PE38 R/R hairy cell leukaemia 2018 Cemiplimab-rwlc (Libtayo®) PD-1/Human IgG4 Metastatic CSCC or locally advanced CSCC who are not candidates for curative surgery or curative radiation 2018 Locally advanced and metastatic basal cell carcinoma 2021 First-line treatment of advanced NSCLC whose tumors have high PD-L1 expression 2021 Trastuzumab + hyaluronidase oysk (Herceptin Hylecta®) HER-2/Humanised IgG1 HER-2 overexpressing breast cancer 2019 Polatuzumab vedotin-piiq (Polivy®) CD79b-directed ADC; conjugated to MMAE R/R DLBCL 2019 Enfortumab vedotin-ejfv (Padcev®) Nectin-4-directed ADC; conjugated to MMAE Locally advanced or metastatic urothelial cancer 2019 Table 1. Cont. Table 1. Cont. Cancers 2021, 13, 1781 8 of 38 Table 1. Cont. Table 1. Cont. 2. Therapeutic Antibodies Approved in Cancer ADC: antibody drug conjugate; ALCL: anaplastic large cell lymphoma; ALL: acute lymphoblastic leukaemia; AML: acute myeloid leukaemia; auto-HSCT: autologous hematopoietic stem cell transplantation; BCG: Bacillus Calmette-Guerin; B-CLL: B-cell chronic lymphocytic leukaemia; BCMA: B-cell maturation antigen; cHL: classical Hodgkin lymphoma; CLL: chronic lymphocytic leukaemia; CRC: colorectal cancer; CSCC: cutaneous squamous cell carcinoma; CTLA-4: cytotoxic T lymphocyte antigen-4; DLBCL: diffuse large B-cell lymphoma; dMMR: mismatch repair deficient; EGFR: epidermal growth factor receptor; EpCAM: epithelial cell adhesion molecule; FL: follicular lymphoma; GBM: glioblastoma multiforme; GD2: surface disialoganglioside GD2; GEJ: gastroesophageal junction; GM-CSF: granulocyte-macrophage colony-stimulating factor; HCC: hepatocellular carcinoma; HER-2: human epidermal growth factor receptor-2; HNSCC: head and neck squamous cell carcinoma; MM: multiple myeloma; MMAE: monomethyl auristatin E; MRD: minimal residual disease; MSI-H: microsatellite instability-high; NHL: non-Hodgkin lymphoma; NSCLC: non-small-cell lung cancer; pcALCL: primary cutaneous anaplastic large cell lymphoma; PDGFRα: platelet-derived growth factor receptor alpha; PD-1: programmed death-1 receptor; PD-L1: programmed death ligand-1; PMBCL: primary mediastinal large B-cell lymphoma; RANKL: receptor activator of nuclear factor- kappa B ligand; RCC: renal cell carcinoma; R/R: relapsed or refractory; SCLC: small cell lung cancer; SCT: stem cell transplant; SLAMF7: signalling lymphocytic activation molecule F7; TNBC: triple-negative breast cancer. VEGF: vascular endothelial growth factor; VEGFR-2: vascular endothelial growth factor receptor 2. * withdrawn; Taken from: https://www.fda.gov/drugs/resources-information-approved- drugs/hematologyoncology-cancer-approvals-safety-notifications. Updated as of 12 March 2021. However, despite such advances, to date no antibody-based drugs have been approved for the treatment of patients with pancreatic cancer [21]. Some of the contributing factors are the harsh desmoplastic microenvironment of pancreatic cancer, the heterogeneous nature of tumours and the lack of reliable predictive biomarkers and companion diagnostic tests to select patients who are more likely to respond to such therapy [22–25]. In the following sections, we discuss the results of preclinical studies and clinical trials with antibody-based agents in pancreatic cancer. We will also highlight the importance of antibody-based technology and other approaches in the discovery of cell surface antigens with high levels of expression in pancreatic cancer (i.e., additional therapeutic targets) and in the development of mAb-based targeted therapy for patients with pancreatic cancer. 2. Therapeutic Antibodies Approved in Cancer MAb Generic Name (Trade Name) Target Antigen/Isotype Cancer Type Indication Date of Approval Fam-trastuzumab deruxtecan-nxki (Enhertu®) HER-2 directed ADC; conjugated to topoisomerase inhibitor Unresectable or metastatic HER2-positive breast cancer 2019 Locally advanced or metastatic HER2-positive gastric or GEJ adenocarcinoma 2021 Isatuximab-irfc (Sarclisa®) CD38 MM 2020 Sacituzumab govitecan-hziy (Trodelvy®) Trop-2 directed ADC; conjugated to SN-38 Metastatic TNBC 2020 Daratumumab and hyaluronidase-fihj (Darzalex faspro®) CD38/Human IgG1 Newly diagnosed or R/R MM 2020 Tafasitamab-cxix (Monjuvi®) CD19/Humanised Fc-modified cytolytic R/R DLBCL 2020 Belantamab mafodotin-blmf (Blenrep®) BCMA/ADC conjugated to microtubule inhibitor monomethyl auristatin F (MMAF) R/R MM 2020 Naxitamab (Danyelza®) GD2/Humanised IgG1 R/R high-risk neuroblastoma in the bone or bone marrow (in combination with GM-CSF) 2020 Margetuximab-cmkb (Margenza®) HER2/Fc engineered chimeric IgG1 Metastatic HER2-positive breast cancer 2020 ADC: antibody drug conjugate; ALCL: anaplastic large cell lymphoma; ALL: acute lymphoblastic leukaemia; AML: acute myeloid leukaemia; auto-HSCT: autologous hematopoietic stem cell transplantation; BCG: Bacillus Calmette-Guerin; B-CLL: B-cell chronic lymphocytic leukaemia; BCMA: B-cell maturation antigen; cHL: classical Hodgkin lymphoma; CLL: chronic lymphocytic leukaemia; CRC: colorectal cancer; CSCC: cutaneous squamous cell carcinoma; CTLA-4: cytotoxic T lymphocyte antigen-4; DLBCL: diffuse large B-cell lymphoma; dMMR: mismatch repair deficient; EGFR: epidermal growth factor receptor; EpCAM: epithelial cell adhesion molecule; FL: follicular lymphoma; GBM: glioblastoma multiforme; GD2: surface disialoganglioside GD2; GEJ: gastroesophageal junction; GM-CSF: granulocyte-macrophage colony-stimulating factor; HCC: hepatocellular carcinoma; HER-2: human epidermal growth factor receptor-2; HNSCC: head and neck squamous cell carcinoma; MM: multiple myeloma; MMAE: monomethyl auristatin E; MRD: minimal residual disease; MSI-H: microsatellite instability-high; NHL: non-Hodgkin lymphoma; NSCLC: non-small-cell lung cancer; pcALCL: primary cutaneous anaplastic large cell lymphoma; PDGFRα: platelet-derived growth factor receptor alpha; PD-1: programmed death-1 receptor; PD-L1: programmed death ligand-1; PMBCL: primary mediastinal large B-cell lymphoma; RANKL: receptor activator of nuclear factor- kappa B ligand; RCC: renal cell carcinoma; R/R: relapsed or refractory; SCLC: small cell lung cancer; SCT: stem cell transplant; SLAMF7: signalling lymphocytic activation molecule F7; TNBC: triple-negative breast cancer. VEGF: vascular endothelial growth factor; VEGFR-2: vascular endothelial growth factor receptor 2. * withdrawn; Taken from: https://www.fda.gov/drugs/resources-information-approved- drugs/hematologyoncology-cancer-approvals-safety-notifications. Updated as of 12 March 2021. 3. Preclinical Studies Over the past few decades, the therapeutic and diagnostic potential of monoclonal antibodies against pancreatic cancer has been investigated both in vitro and in vivo and the results are summarised in Table 2. The results from cell proliferation assays in human pancreatic cancer cell lines, cell line-based xenografts and patient-derived tumour xenografts have demonstrated antitu- Cancers 2021, 13, 1781 9 of 38 mour activity either as single agents or in combination with cytotoxic drugs. The results of in vitro studies have supported the therapeutic potential of mAbs targeting integrin α3 [26], MUC4 [27], MUC1 [28], and MUC13 [29] when used alone or in combination with cytotoxic drugs. Furthermore, mAbs targeting EGFR, TROP2 and α6β4 have been used for radioimmunotherapy and have shown effective localisation of primary tumours and metastatic sites in mouse models [30–32]. Moreover, in vivo, naked and conjugated versions of anti-tissue factor mAbs have shown significant antitumour activity in mouse models [33–36]. Similarly, treatment with mAbs targeting podocalyxin [37], HER2 [38], glypican-1 [39], cell surface plectin 1 [40], galectin-9 [41], RON [42], BAG3 [43], CLDN18.2 [44], mesothelin [45], vimentin [46] and doublecortin-like kinase 1 [47] inhibited the growth of pancreatic tumours in xenograft models. On the other hand, mAbs have also been studied as platforms for cancer thera- nostics (i.e., a combination of diagnostics and therapeutic) in several animal models [48]. An array of immunoconjugates with radiolabelled antibodies have been used for in vivo imaging using antibody-based PET and SPECT techniques and the results of mAbs target- ing CA19.9 and CD147 have shown promise in mouse models [49–51]. The main findings are summarized in Table 3. noclonal antibodies against pancreatic cancer in preclinical studies for use as therapeutic tools. Table 2. Monoclonal antibodies against pancreatic cancer in preclinical studies for use as therapeutic tools. mAb Name Target Antigen Source/Immunogen Finding Ref. Humanised anti-TF mAb conjugated with MMAE TF - Significantly inhibited tumour growth in an orthotopic xenograft model, and extended survival in a murine peritoneal dissemination model. [34] h-RabMab1 Alternatively spliced TF - Orthotopic pancreatic tumours in mice treated with h-RabMab1 were 60% smaller than tumours in control group. [33] Humanised anti-hTM4SF5 mAb TM4SF5 Established based on the mouse mAb mEC2-C obtained by immunisation with the cyclic peptide hTM4SF5EC2-C Reduced cell viability and cell motility, and modulated the expression of EMT markers (vimentin and E-cadherin) in pancreatic cancer cells that endogenously express TM4SF5. 3. Preclinical Studies [52] Panitumumab labelled with 111In or 177Lu - EGFR - Radioimmunotherapy with panitumumab labelled with Auger electron-emitting 111In or β particle-emitting 177Lu inhibited the growth of subcutaneous PANC-1 human pancreatic cancer xenografts in mice. [30] PcMab-60 PODXL Soluble PODXL Demonstrated antitumour activity in Mia PaCa-2 xenograft mouse models. [37] 7E IL-20 - Prolongs survival and attenuates PD-L1 expression in a transgenic mouse and an orthotopic pancreatic cancer model. Combination of 7E and an anti-PD-1 mAb increases efficacy in inhibiting tumour growth in the orthotopic model. [53] H2Mab-19 HER2 Purified recombinant extracellular domain of HER2 Reduces tumour development in MiaPaCa-2 xenograft model. [38] 90Y-DTPA-ALT836 TF - Slow tumour growth compared to the control groups and had significantly smaller tumour volumes 1-day post-injection. [35] Table 2. Monoclonal antibodies against pancreatic cancer in preclinical studies for use as therapeutic tools. 10 of 38 Cancers 2021, 13, 1781 Table 2. Cont. mAb Name Target Antigen Source/Immunogen Finding Ref. Anti-GPC-1 mAb conjugated with MMAF Glypican-1 (GPC-1) - Induces significant tumour growth inhibition against GPC-1-positive pancreatic cell lines (BxPC-3 and T3M-4) and patient-derived tumour models. [39] KU44.22B Integrin α3 CFPAC-1 pancreatic cancer cells Inhibits proliferation of Capan-2 pancreatic cancer cells and increases migration of CFPAC-1 and BxPC-3 cancer cells in vitro. [26] 6E8 and E9 MUC4 MUC4beta domain Decreased proliferation and migration of MUC4 expressing pancreatic cancer cells. [27] TAB004 MUC1 Pancreatic tumour lysate isolated from an adenocarcinoma developed by a mouse that was transgenic for human MUC1 TAB004 + Lip-MSA-IL-2 significantly improved survival and slowed tumour growth compared to controls in a human MUC1 transgenic mouse model of pancreatic cancer. [54] TROP2-IR700 TROP2 - Photoimmunotherapy with the humanised anti-TROP2 mAb conjugated to the photosensitizer IR700 significantly inhibits tumour growth in pancreatic cancer and cholangiocarcinoma xenografts. [31] ZB131 Cell surface plectin 1 - Decreases tumour volume 5-fold in xenografts, and induces complete tumour regression in subcutaneous syngeneic pancreatic cancer mouse models. [40] TAB004 MUC1 - TAB004 treatment had minimal effect as single agent on most of pancreatic cancer cell lines except for Capan-2. However, when combined with gemcitabine, paclitaxel, or 5-FU, it significantly increased anti-tumour efficacy. [28] Anti-Gal-9 mAb Galectin-9 - Induced significant reduction in tumour size in orthotopic pancreatic cancer mouse models. 3. Preclinical Studies [41] 28H1 FAP - The dual-labeled mAb (conjugated with either DTPA for imaging studies or with DTPA and the photosensitizer IRDye700DX for therapy studies) targets pancreatic tumours in mice with good signal-to-background ratios and favourable biodistribution, and it efficiently induces cell death. [55] RC68 EGFR - The RC68-based antibody-drug conjugates induced death of EGFR-positive pancreatic cancer cell lines and inhibited the growth of BxPC-3 xenografts. [56] H-Zt/g4-MMAE RON - Inhibited the growth of pancreatic cancer xenografts regardless of chemoresistance or metastatic status. [42] BAG3-H2L4 BAG3 BAG3- multiple antigenic peptides Significantly inhibits the growth of Mia PaCa-2 pancreatic cancer cell xenografts [43] Zolbetuximab CLDN18.2 - Slow tumour growth, improve survival and attenuate development of metastases in xenograft models. Gemcitabine enhanced zolbetuximab-induced ADCC. [44] Table 2. Cont. 11 of 38 Cancers 2021, 13, 1781 Table 2. Cont. mAb Name Target Antigen Source/Immunogen Finding Ref. 1849-ICG conjugate TF - A single dose of 1849-ICG conjugate accompanied by NIR light exposure inhibited tumour growth in vivo without noticeable adverse effects. [36] 90Y-labeled 059-053 CD147 Human antibody library Combined treatment using 90Y-labeled 059-053 with gemcitabine significantly suppressed tumour growth and prolonged survival with tolerable toxicity in a BxPC-3 xenograft mouse model of refractory pancreatic cancer. [57] Amatuximab Mesothelin - Supressed the development of peritoneal metastases and exhibited synergistic killing in combination with gemcitabine in a peritoneal metastatic pancreatic cancer model. [45] Anti-hMUC1 antibody MUC1 rhMUC1-EC192 protein Specifically targets MUC1-C pancreatic cancer cells in vitro and in vivo and suppresses the growth of tumours in Capan-2 xenogratfs mouse models. [58] Pritumumab Vimentin B lymphocytes isolated from a regional draining lymph node of a patient with cervical carcinoma Inhibits subcutaneous pancreatic cancer xenografts models. The binding of the antibody to pancreatic cancer cells and tissue induces ADCC. [46] 7E3 Neuregulin 1 (NRG1) rhNRG1β1-EDC Inhibits migration and growth of pancreatic cancer cells co-cultured with CAFs in orthotopic pancreatic tumour xenografts. [59] CBT-15G Doublecortin-like kinase 1 (DCLK1) KLH-linked peptides targeting the DCLK1 extracellular domain Significantly inhibited SW1990 pancreatic cancer xenograft growth. [47] 90Y-ITGA6B4 α6β4 Human antibody library constructed using a phage-display system A single dose of 90Y-ITGA6B4 inhibited tumour growth in mice bearing BxPC-3 human pancreatic cancer xenografts overexpressing α6β4. [32] ASG-5ME SLC44A4 B300.19 cells engineered to express SLC44A4 The ADC induced potent antitumour activity in both cell line– and patient-derived xenograft models of pancreatic and prostate cancers. 3. Preclinical Studies [26] KU42.33C CD109 BxPC-3 pancreatic cancer cells Immunodetects CD109 by Western blot and IHC in tumour cell pellets and pancreatic cancer tissue microarrays. [66] 89Zr-Df-ALT-836 TF - Demonstrated high binding affinity and TF-specificity, and persistent accumulation in BxPC-3 xenografts in mice. [67] 89Zr-059-053 CD147 Human antibody phage-display library 89Zr-059-053 highly accumulated in CD147-expressing tumours and clearly visualised subcutaneous and orthotopic xenografts. [50] CEACAM: carcinoembryonic antigen-related cell adhesion molecules; IHC: immunohistochemistry; MUC1: mucin 1; PET: positron emission tomography. Table 2. Cont. Table 3. Monoclonal antibodies against pancreatic cancer in preclinical studies for use as diagnostic tools. mAb Name Target Antigen Source/Immunogen Finding Ref. 89Zr-DFO-anti- γH2AX-TAT CA19.9 Fully human 5B1 mAb, generated from blood lymphocytes from a patient immunised with a sLea – KLH vaccine PET imaging allows monitoring of tumour radiobiological response in a BxPC-3 pancreatic ductal adenocarcinoma subcutaneous xenograft mouse model. [51] 6G5j mAb conjugated to LICOR-IRDye800 CEACAM - Selectively labels pancreatic cancer in nude mouse models. [65] KU44.22B Integrin α3 CFPAC-1 pancreatic cancer cells Immunodetects integrin α3 by IHC in tumour cell pellets and pancreatic cancer tissue microarrays. [26] KU44.13A CD26 CFPAC-1 pancreatic cancer cells Immunodetects CD26 by IHC in tumour cell pellets and pancreatic cancer tissue microarrays. [26] KU42.33C CD109 BxPC-3 pancreatic cancer cells Immunodetects CD109 by Western blot and IHC in tumour cell pellets and pancreatic cancer tissue microarrays. [66] 89Zr-Df-ALT-836 TF - Demonstrated high binding affinity and TF-specificity, and persistent accumulation in BxPC-3 xenografts in mice. [67] 89Zr-059-053 CD147 Human antibody phage-display library 89Zr-059-053 highly accumulated in CD147-expressing tumours and clearly visualised subcutaneous and orthotopic xenografts. [50] CEACAM: carcinoembryonic antigen-related cell adhesion molecules; IHC: immunohistochemistry; MUC1: mucin 1; PET: positron emission tomography. 4. Clinical Trials Evaluating the Diagnostic and Therapeutic Potential of Monoclonal Antibodies in Pancreatic Cancer As the results of some preclinical studies summarised in Table 2 were encouraging, several monoclonal antibodies entered different stages of clinical trials in patients with pancreatic cancer. Tables 4–6 summarise the results of phase I/II, phase III and ongoing clinical trials with various antibody-based agents (the results of studies in Tables 4 and 5 are presented in chronological order with the most recent studies at the top of the tables). In the following sections, the antigens targeted by these antibodies (Figure 2), the biological significance of the antigens and the results of completed clinical trials with such antibodies are discussed. 3. Preclinical Studies Combination studies of ASG5ME and nab-paclitaxel increased antitumour activity compared to single agents alone. [60] Novel mAbs against AGR2 and C4.4A AGR2 and C4.4A Unconjugated antigenic peptides Reduced tumour growth and metastasis and led to regression of xenograft tumours in mice, resulting in increased survival. [61] 90Y-TSP-A01 Transferrin receptor (TfR) Human antibody libraries Induced almost complete response in mice bearing Mia PaCa-2 tumours (high TfR expression), but it had limited efficacy on BxPC-3 tumours (low TfR expression). [62] BNC101 LRG5 - BNC101 as single agent partially inhibited tumour growth in AsPC1 and PANC-1 pancreatic cancer models, while when used in combination with gemcitabine, it significantly inhibited tumour growth in both models. In contrast, BNC101 as monotherapy or in combination with chemotherapy had no antitumour activity in the LGR5 negative BxPC3 xenograft tumours. [63] Table 2. Cont. 12 of 38 Cancers 2021, 13, 1781 Table 2. Cont. mAb Name Target Antigen Source/Immunogen Finding Ref. TCC56 MUC13 PAN2 cells The ADC can be efficiently internalised and induces cell death in TCC-PAN2 cells. [29] Pa65-2 CHC MIA PaCa-2 pancreatic cancer cells Inhibited tumour growth and angiogenesis in NOD/SCID mice bearing MIA PaCa-2-derived pancreatic cancer xenografts. [64] ADCC: antibody-dependent cellular cytotoxicity; AGR2: anterior gradient 2; CAFs: cancer-associated fibroblasts; EGFR: Epidermal growth factor receptor; GPC-1: glypican-1; ICG: indocyanine green; LGR5: leucine-rich repeat-containing G-protein coupled receptor 5; MMAE: monomethyl auristatin E; MMAF: monomethyl auristatin F; MUC1: mucin 1; MUC5AC: mucin 5AC; PC: pancreatic cancer; NIR: near-infrared photoimmunotherapeutic; PODXL: podocalyxin; TfR: transferrin; TF: tissue factor; TM4SF5: transmembrane 4 superfamily member 5 protein; TROP2: tumour-associated calcium signal transducer 2. Table 3. Monoclonal antibodies against pancreatic cancer in preclinical studies for use as diagnostic tools. mAb Name Target Antigen Source/Immunogen Finding Ref. 89Zr-DFO-anti- γH2AX-TAT CA19.9 Fully human 5B1 mAb, generated from blood lymphocytes from a patient immunised with a sLea – KLH vaccine PET imaging allows monitoring of tumour radiobiological response in a BxPC-3 pancreatic ductal adenocarcinoma subcutaneous xenograft mouse model. [51] 6G5j mAb conjugated to LICOR-IRDye800 CEACAM - Selectively labels pancreatic cancer in nude mouse models. [65] KU44.22B Integrin α3 CFPAC-1 pancreatic cancer cells Immunodetects integrin α3 by IHC in tumour cell pellets and pancreatic cancer tissue microarrays. [26] KU44.13A CD26 CFPAC-1 pancreatic cancer cells Immunodetects CD26 by IHC in tumour cell pellets and pancreatic cancer tissue microarrays. 4.1. Clinical Trials with Antibodies Targeting Insulin-Like Growth Factor Receptor (IGF-IR) 4.1. Clinical Trials with Antibodies Targeting Insulin-Like Growth Factor Receptor (IGF-IR) Insulin-like growth factor (IGF) signalling activates intracellular pathways such as PI3K (phosphatidyl inositol 3-kinase), Rac, AKT, and MAPK (mitogen-activated protein Cancers 2021, 13, 1781 13 of 38 13 of 38 kinase), regulating the processes involved in cellular proliferation, differentiation and apoptosis. IGF axis has been implicated in various cancer types including pancreatic, breast and prostate cancer, melanoma and Ewing sarcoma and has been associated with the development of resistance to other cancer treatments [68–70]. kinase), regulating the processes involved in cellular proliferation, differentiation and apoptosis. IGF axis has been implicated in various cancer types including pancreatic, breast and prostate cancer, melanoma and Ewing sarcoma and has been associated with the development of resistance to other cancer treatments [68–70]. Figure 2. Antigens targeted by antibodies in patients with pancreatic cancer. Created with BioRender. com (accessed on 17 March 2021). Figure 2. Antigens targeted by antibodies in patients with pancreatic cancer. Created with BioRender. com (accessed on 17 March 2021). Ganitumab (AMG 479) is a fully human IgG1 mAb that binds to the extracellular domain of the type I insulin-like growth factor receptor (IGF-IR), interfering with the binding of IGF-1 and IGF-2 ligands, thus inhibiting downstream signalling including PI3K/Akt pathway and leading to inhibition of tumour cell proliferation and induction of apoptosis [71,72]. In a phase 2 study, ganitumab in combination with gemcitabine showed trend towards improved OS compared to gemcitabine alone in patients with metastatic pancreatic cancer [73], although the GAMMA phase 3 trial failed to further validate those results [74]. On the other hand, cixutumumab (IMC-A12), a fully human IgG1/λ mAb against IGF-IR [75], was evaluated in combination with erlotinib and gemcitabine in a phase 1b/2 study in metastatic pancreatic cancer patients but did not demonstrate survival benefit [76]. Furthermore, dalotuzumab (MK-0646), an IgG1 humanised mAb specific to IGF-1R was evaluated in combination with gemcitabine in a phase 1/2 study that demonstrated improved OS but not PFS compared to gemcitabine plus erlotinib [77]. Future trials are needed to evaluate the combination of dalotuzumab with standard of care gemcitabine/nab-paclitaxel and FOLFIRINOX. 4.2. Clinical Trials with Anti-Epidermal Growth Factor Receptor (EGFR) Antibodies 4.2. Clinical Trials with Anti-Epidermal Growth Factor Receptor (EGFR) Antibodies HER family members (which includes EGFR, HER2, HER3 and HER4) are activated by its ligands in an autocrine, paracrine or juxtacrine manner, which involves conforma- tional changes leading to homo- or heterodimerisation of HER members and activation of downstream signalling pathways [70,78]. HER family plays a major role in cancer pro- gression and development, regulating several hallmarks of cancer and therefore becoming an attractive therapeutic target [78]. EGFR (also known as ErbB1/HER1) is commonly Cancers 2021, 13, 1781 14 of 38 14 of 38 upregulated in several cancer types including pancreatic cancer, and thus EGFR-targeted therapies have been developed, including monoclonal antibodies against the extracellular domain of EGFR and tyrosine kinase inhibitors (TKIs) [70,79]. y Cetuximab is a recombinant human/mouse chimeric EGFR antagonist mAb of IgG1 isotype that binds to the extracellular ligand-binding domain of the EGFR, blocks the binding of EGF and other ligands to the EGFR and the ligand-induced phosphorylation and activation of EGFR and downstream cell signalling molecules, ultimately leading to tumour growth inhibition and apoptosis [80]. It is FDA approved for the treatment of metastatic colorectal cancer and head and neck squamous cell carcinoma (Table 1). Phase 2 trials in patients with pancreatic cancer showed that the addition of cetuximab to docetaxel/irinotecan or gemcitabine did not offer any survival benefit [81,82]. Similarly, a phase 3 study in patients with advanced pancreatic cancer showed that the addition of cetuximab to gemcitabine did not improve outcomes [83]. In contrast, a phase 2 study reported that cetuximab and bevacizumab in combination with gemcitabine, cisplatin and fluorouracil lengthens overall survival by ~6 months and PFS by ~3 months in patients with advanced pancreatic cancer [84]. However, a recent systematic review and meta-analysis concludes that adding cetuximab to standard therapy for the treatment of pancreatic cancer is not beneficial [85]. Tumour heterogeneity and lack of reliable predictive biomarkers for the response to therapy may be some of the contributing factors for these discouraging results to date. Panitumumab is a fully human antibody of IgG2 isotype (i.e. has no ADCC function) to the EGFR. Like cetuximab, it also inhibits the binding of ligands to the EGFR and subse- quent downstream cell signalling pathways but it has no ADCC and CDC functions [86]. It is FDA approved for the treatment of patients with metastatic colorectal cancer (Table 1). 4.2. Clinical Trials with Anti-Epidermal Growth Factor Receptor (EGFR) Antibodies The results of Phase 1/2 Cancers 2021, 13, 1781 15 of 38 15 of 38 clinical trials of trastuzumab in combination with cetuximab or capecitabine did not demonstrate improvement in objective response and/or survival rates in pancreatic can- cer patients [97,98]. clinical trials of trastuzumab in combination with cetuximab or capecitabine did not demonstrate improvement in objective response and/or survival rates in pancreatic can- cer patients [97,98]. 4.4. Clinical Trials with the Anti-Vascular Endothelial Growth Factor (VEGF) Antibody Bevacizumab Vascular endothelial growth factor (VEGF) is a major driver of tumour angiogenesis and as such, has attracted interest for use in cancer therapy. VEGFA is secreted by tumour cells and surrounding stroma and binds to VEGFR2 (VEGF receptor-2) activating the Ras-Raf-MAPK-ERK signalling pathway stimulating the proliferation and survival of endothelial cells, leading to angiogenesis and formation of leaky and structurally abnormal blood vessels [99]. Bevacizumab is a humanised IgG1 monoclonal antibody that targets VEGF, neutraliz- ing the ligand and preventing the interaction with its receptor on the surface of endothelial cells, ultimately inhibiting endothelial proliferation and angiogenesis [86]. It is FDA ap- proved for the treatment of patients with metastatic colorectal cancer, non-small cell lung cancer, glioblastoma, metastatic renal cell carcinoma, metastatic HER2-negative breast cancer, cervical cancer, and epithelial ovarian, fallopian tube, or primary peritoneal cancer (Table 1). Unfortunately, the results of phase 3 trials have shown that the addition of bevacizumab to gemcitabine or to gemcitabine-erlotinib did not improve overall survival in patients with advanced pancreatic cancer [100,101]. 4.2. Clinical Trials with Anti-Epidermal Growth Factor Receptor (EGFR) Antibodies A phase 1 study showed that the addition of panitumumab to gemcitabine-based chemora- diotherapy has manageable toxicity and suggests some efficacy in patients with locally advanced pancreatic cancer [87]. In addition, a phase 2 trial evaluating the combination of panitumumab, erlotinib and gemcitabine compared with erlotinib and gemcitabine alone in patients with metastatic pancreatic cancer demonstrated significant improvement in overall survival (8.3 vs. 4.2 months) although this regimen was associated with increased toxicity [88]. On the other hand, panitumumab-IRDye800, a fluorescently labelled antibody, which previously was found to be highly sensitive and specific for detection of tumours within 5mm in head and neck cancers [89], demonstrated in a phase 1 trial that is safe and might allow direct visualisation during pancreatic cancer surgery [90]. Nimotuzumab is an IgG1 humanised mAb directed against the extracellular domain of EGFR that has also been reported to induce an adaptive immune response [91]. Phase 2 studies have shown that nimotuzumab is safe and well tolerated alone and in combination with gemcitabine, and the combination regimen showed significant improvement in 1-year OS and PFS rates [92,93]. On the other hand, matuzumab (formerly EMD 72000) is a humanised IgG1 mAb to EGFR that demonstrated being safe and well tolerated in a phase 1 trial in combination with gemcitabine [94]. The results of future clinical trials using more reliable biomarkers for the response to therapy with anti-EGFR mAbs may lead to the approval of anti-EGFR mAbs in a more specific population of pancreatic cancer patients. 4.3. Clinical Trials with the Anti-Human Epidermal Growth Factor Receptor 2 (HER2) Antibody Trastuzumab HER2, another member of the HER family of growth factor receptor tyrosine kinases, is considered to play a vital role in carcinogenesis. HER2 amplification and/or overexpression has been associated with the development of pancreatic cancer, with reported rates of overexpression ranging between 4 and 50% [70,95]. Trastuzumab is a humanised IgG1 antibody that targets the extracellular domain of HER2, triggers receptor internalisation and degradation, exhibits ADCC activity and inhibits the MAPK and PI3K/Akt pathways leading to increased cell cycle arrest and cell growth suppression [96]. It is FDA approved for treatment of breast cancer and metastatic gastric or gastroesophageal junction adenocarcinoma (Table 1). 4.5. Clinical Trials with Anti-Cytotoxic Lymphocyte-Associated Antigen-4 (CTLA-4) Cytotoxic lymphocyte-associated antigen-4 (CTLA-4) is an immune checkpoint pro- tein constitutively expressed on regulatory T cells that modulates T cell activation and suppressive properties of APCs (antigen presenting cells). CTLA-4 binds competitively to B7 ligands (CD80 and CD86) expressed on APCs with higher affinity than the co-receptor CD28, which activates naive T cells (Figure 1). CTLA-4 blockade would result in regulatory T cell depletion, T cell enhancement and tumour reduction [102,103]. Ipilimumab is an IgG1 monoclonal antibody against the extracellular domain of CTLA-4 that prevents T cell suppression by inhibitory immune checkpoints, resulting in a potent anti-tumour effect by enhancing effector cells and inhibiting regulatory activity of T cells [86,102]. It has been approved by the FDA for the treatment of patients with melanoma, advanced renal cell carcinoma and microsatellite instability-high (MSI-H) or mismatch repair deficient (dMMR) metastatic colorectal cancer (Table 1). Despite the fact that a phase 2 trial of ipilimumab alone in locally advanced and metastatic pancreatic cancer showed to be ineffective [104], a subsequent study of ipilimumab combined with GM-CSF cell-based vaccines (GVAX) showed improved median overall survival and 1-year OS compared to ipilimumab alone, warranting further studies [105]. p p g On the other hand, tremelimumab (CP-675,206) is a fully human IgG2 mAb directed against CTLA-4 without FDA approvals at present. A phase 1 trial of tremelimumab plus gemcitabine in patients with metastatic pancreatic cancer demonstrated to be safe and tolerable [106], while a phase 2 study with tremelimumab monotherapy did not show activity in metastatic pancreatic cancer patients who had tumour progression following first-line chemotherapy [107]. 4.6. Clinical Trials with Anti-Programmed Cell Death-1 (PD-1) Receptor and Anti-PD-L1 Ligand Antibodies 4.6. Clinical Trials with Anti-Programmed Cell Death-1 (PD-1) Receptor and Anti-PD-L1 Ligand Antibodies 4.6. Clinical Trials with Anti-Programmed Cell Death-1 (PD-1) Receptor and Anti-PD-L1 Ligand Antibodies The programmed cell death-1 receptor (PD-1) is expressed on the surface of immune effector cells and upon binding to its ligands, PD-L1 and PD-L2, suppresses proliferation and immune response of T-cells. Activation of this pathway allows evasion of immune response by cancer cells, and blockade of the axis enhances anti-tumour activity [108]. p y y Pembrolizumab is a humanised anti-PD1 IgG4 mAb approved for the treatment of melanoma, non-small cell lung cancer, head and neck squamous cell carcinoma, clas- sical Hodgkin lymphoma, urothelial carcinoma, gastric or gastroesophageal junction adenocarcinoma, cervical cancer, hepatocellular carcinoma, Merkel cell carcinoma, re- Cancers 2021, 13, 1781 16 of 38 16 of 38 nal cell carcinoma, squamous cell lung cancer, endometrial carcinoma, BCG-unresponsive high-risk non-muscle invasive bladder cancer, tumour mutational burden-high (TMB H) solid tumours, cutaneous squamous cell carcinoma, MSI-H or dMMR colorectal cancer and locally recurrent unresectable or metastatic triple negative breast cancer whose tu- mours express PD-L1, with a number of indications that is rapidly expanding (Table 1). A phase 1b study of pembrolizumab in combination with the oncolytic virus pelareorep and chemotherapy showed encouraging efficacy [109] and a phase 2 trial is currently ongoing (NCT03723915, Table 6). On the other hand, a phase 1b/2 study of gemcitabine, nab-paclitaxel, and pembrolizumab showed median PFS and OS of 9.1 and 15.0 months respectively, in chemotherapy-naive pancreatic cancer patients, which indicates a slight im- provement compared to previous results for gemcitabine and nab-paclitaxel regimens [110]. Pembrolizumab is also currently being evaluated in phase 1 and 2 trials in combina- tion with either olaparib (NCT04548752), paricalcitol +/– gemcitabine and nab-paclitaxel chemotherapy (NCT02930902) or PEGPH20, a PEGylated version of human recombinant PH20 hyaluronidase (NCT03634332, Table 6). y The COMBAT phase 2 trial evaluated the safety and efficacy of pembrolizumab in combination with the CXCR4 antagonist BL-8040 (motixafortide) in patients with metastatic pancreatic cancer and demonstrated disease control rate (DCR) of 34.5%. In the group receiving study drugs as second-line therapy, the median OS was 7.5 months and 6-month survival rate was 56.3%, suggesting that this combination warrants further investigation. Preliminary results show that along with chemotherapy this combination may provide additional benefit (ORR 32%, DCR 77%) [111]. A phase 2 study will be further evaluating the efficacy of pembrolizumab in combination with BL-8040 (NCT02907099). 4.6. Clinical Trials with Anti-Programmed Cell Death-1 (PD-1) Receptor and Anti-PD-L1 Ligand Antibodies y p Nivolumab is a humanised IgG4 anti-PD1 mAb approved for the treatment of melanoma, non-small cell lung cancer, renal cell carcinoma, classical Hodgkin lymphoma, head and neck squamous cell carcinoma, urothelial carcinoma, colorectal cancer, hepatocellular car- cinoma, small cell lung cancer, oesophageal squamous cell carcinoma and unresectable malignant pleural mesothelioma (Table 1). A phase 1 study of nivolumab in combination with nab-paclitaxel plus gemcitabine in patients with advanced pancreatic cancer showed that the combination was safe although the efficacy does not support further investiga- tion [112]. Several studies investigating nivolumab in combination with other agents are underway. For instance, a phase 1/2 trial evaluating nivolumab plus mFOLFIRINOX in patients with borderline resectable disease (NCT03970252), a phase 1/2 study investigating the combination of nivolumab plus BMS-813160 (a CCR2/CCR5 dual antagonist) with or without GVAX (an allogeneic GM-CSF–transfected pancreatic tumour vaccine) in locally advanced pancreatic cancer (NCT03767582), and phase 1 trials evaluating the safety and tolerability of the combination of nivolumab with either intratumoural SD-101 (a TLR9 agonist) and radiation therapy (NCT04050085), or SX-682 (a small-molecule dual-inhibitor of chemokine receptors CXCR1 and CXCR2) in patients with metastatic pancreatic cancer (NCT04477343, Table 6). Clinical trials are also ongoing evaluating anetumab ravtansine (an anti-mesothelin ADC) and nivolumab either alone or in combination with ipilimumab or gemcitabine (NCT03816358), and a phase 1/2 study evaluating the combination of APX005M (a CD40 agonistic mAb), gemcitabine and nab-paclitaxel with or without nivolumab (NCT03214250, Table 6). On the other hand, durvalumab (MEDI4736) is a human IgG1κ mAb that selectively blocks PD-L1 binding to PD-1 and CD-80, potentiating an immune response to tumour cells [113]. A phase 2 trial evaluating durvalumab with or without tremelimumab in patients with metastatic pancreatic cancer was well tolerated but did not progress further as the threshold for efficacy was not met in the first part of the study [114]. In addition, a phase 1/2 trial evaluating the combination of guadecitabine and durvalumab in patients with advanced hepatocellular carcinoma, pancreatic cancer or cholangiocarcinoma is currently ongoing (NCT03257761, Table 6). 4.7. Clinical Trial with Anti-Hepatocyte Growth Factor (HGF) Antibody Ficlatuzumab Hepatocyte growth factor (HGF) is a glycoprotein produced by mesenchymal cells of stromal origin that, upon binding to its receptor, leads to dimerisation and phosphorylation of c-MET with subsequent activation of signalling pathways such as MAPK and PI3K, regulating cell proliferation, migration and invasion [116]. Expression of HGF and c-MET are upregulated in pancreatic cancer and are associated with poor prognosis [117,118]. Ficlatuzumab (AV-299) is a humanised hepatocyte growth factor (HGF) IgG1κ mAb that interferes with the binding of HGF to c-Met receptor tyrosine kinase, inhibiting phosphorylation, cell proliferation, migration and invasion [119]. Ficlatuzumab is currently being evaluated in a phase 1b trial in combination with gemcitabine and nab-paclitaxel in patients with advanced pancreatic cancer (NCT03316599, Table 6). 4.8. Clinical Trial with Anti-Lysyl Oxidase-Like 2 (LOXL2) Antibody Simtuzumab Lysyl oxidase-like 2 (LOXL2) is an extracellular matrix-remodelling enzyme that catal- yses the cross-linking of collagen and elastin components and is expressed in desmoplastic tumours. LOXL2 promotes epithelial-to-mesenchymal transition and downregulates E- cadherin expression in various cancer types [120–122]. It is thought to promote tumour angiogenesis and metastases, has been associated with pancreatic cancer progression and has been reported as a prognostic biomarker in patients who have undergone surgical resection [120,121]. Simtuzumab is a humanised IgG4 mAb that targets LOXL2, inhibiting its enzymatic activity. A phase 2 randomised trial evaluating simtuzumab in combina- tion with gemcitabine failed to show improvement in PFS, OS or ORR in patients with metastatic pancreatic cancer [121]. 4.6. Clinical Trials with Anti-Programmed Cell Death-1 (PD-1) Receptor and Anti-PD-L1 Ligand Antibodies Cancers 2021, 13, 1781 17 of 38 Other anti-PD1 antibodies are also being evaluated in clinical trials in patients with metastatic pancreatic cancer including a phase 1/2 study of spartalizumab in combination with the anti-IL6 mAb siltuximab (NCT04191421), a phase 2 trial of camrelizumab in com- bination with nab-paclitaxel and gemcitabine (NCT04498689), a phase 1 study of the mAb SHR-1210 in combination with paclitaxel-albumin and gemcitabine (NCT04181645), a phase 2 trial of dostarlimab (TSR-042) in combination with niraparib (NCT04493060), a phase 1 trial of spartalizumab in combination with nab-paclitaxel, gemcitabine and the anti-IL-1β mAb canakinumab (NCT04581343), a phase 1 study of zimberelimab (AB122) in combina- tion with AB680 (a CD73 inhibitor), nab-paclitaxel and gemcitabine (NCT04104672), and a phase 3 trial of anti-PD-1 antibody plus modified FOLFIRINOX (NCT03983057). See Table 6. Finally, a phase 2 trial is evaluating INCMGA00012 (a humanised mAb antagonistic to PD-1) in patients with unresectable or metastatic adenosquamous pancreatic cancer, a rare and more aggressive pancreatic cancer subtype, with worse survival outcomes than pancreatic adenocarcinoma (NCT04116073) [115]. 4.7. Clinical Trial with Anti-Hepatocyte Growth Factor (HGF) Antibody Ficlatuzumab 4.13. Clinical Trial with Anti-CD40 Antibody Selicrelumab CD40 (cluster of differentiation 40) is a cell surface molecule, member of the tumour necrosis factor family, that is expressed on antigen-presenting cells such as dendritic cells and myeloid cells, and in a variety of cancer types with very low or no expression in normal cells [134]. CP-870,893 (selicrelumab) is a fully human IgG2 CD40-agonist mAb. A phase 1 study of CP-870,893 plus gemcitabine in patients with advanced pancreatic cancer showed that it was well tolerated and was associated with preliminary evidence of efficacy [135]. 4.11. Clinical Trial with Anti-Guanylyl Cyclase C (GCC) Antibody 4.11. Clinical Trial with Anti-Guanylyl Cyclase C (GCC) Antibody Guanylyl cyclase C (GCC) is a transmembrane G protein cell surface receptor that plays a role in the regulation of fluid and electrolyte balance. It is highly expressed in colorectal cancer and in around 60–70% of pancreatic cancers [130,131]. TAK-264 (MLN0264) is an antibody-drug conjugate consisting of a fully human IgG1 mAb against GCC, conjugated to MMAE (monomethyl auristatin E) that, once internalised, leads to cell cycle arrest and apoptosis [130]. A phase 2 study of the ADC TAK-264 in patients with advanced or metastatic pancreatic cancer expressing GCC showed a manageable safety profile but low efficacy, which does not support further studies [132]. 4.9. Clinical Trials with Anti-Death Receptor 5 (DR5) Antibodies Tumour necrosis factor (TNF)-related apoptosis-inducing ligand (TRAIL) is a trans- membrane protein that, upon binding to death receptors DR4 and DR5, activates the caspase cascade leading to apoptotic cell death via the extrinsic pathway [123]. Thus, agonistic antibodies against DR4 and DR5 have shown to induce apoptosis in tumour cells and enhance tumour sensitivity to chemotherapy, radiotherapy and targeted therapy [123]. Tumour necrosis factor (TNF)-related apoptosis-inducing ligand (TRAIL) is a trans- membrane protein that, upon binding to death receptors DR4 and DR5, activates the caspase cascade leading to apoptotic cell death via the extrinsic pathway [123]. Thus, agonistic antibodies against DR4 and DR5 have shown to induce apoptosis in tumour cells and enhance tumour sensitivity to chemotherapy, radiotherapy and targeted therapy [123]. Conatumumab (AMG655) is a fully human IgG1 antibody to human death receptor 5 (DR5) that induces apoptosis by caspase activation [124]. A phase 2 study of the combina- tion of gemcitabine plus conatumumab in patients with previously untreated metastatic pancreatic adenocarcinoma showed trend towards improved 6-month survival rate (59% compared to 50% in the gemcitabine plus placebo arm) although 12-month survival rate, OS and ORR were not significantly different [73]. y py py g py Conatumumab (AMG655) is a fully human IgG1 antibody to human death receptor 5 (DR5) that induces apoptosis by caspase activation [124]. A phase 2 study of the combina- tion of gemcitabine plus conatumumab in patients with previously untreated metastatic pancreatic adenocarcinoma showed trend towards improved 6-month survival rate (59% compared to 50% in the gemcitabine plus placebo arm) although 12-month survival rate, OS and ORR were not significantly different [73]. g y Tigatuzumab (CS-1008) is a humanised IgG1 version of TRA-8, a murine agonist mAb to DR5 [125]. A phase 2 study of tigatuzumab in combination with gemcitabine in Cancers 2021, 13, 1781 18 of 38 patients with unresectable or metastatic pancreatic cancer, showed PFS rate at 16 weeks of 52.5% and median OS of 8.2 months. These results are similar to previous studies with gemcitabine in combination with other agents, suggesting that this combination may be clinically active although no definitive conclusions were drawn on the benefit of adding tigatuzumab [126]. 4.12. Clinical Trial with Anti-SLC44A4 Antibody ASG-5ME SLC44A4 (CTL4) is a protein differentially expressed in prostate and pancreatic cancers with low expression in normal tissues [60]. ASG-5ME is an ADC formed by a human IgG2 antibody against SLC44A4 conjugated with monomethyl auristatin E (MMAE) [60]. A phase 1 study of ASG-5ME in patients with advanced pancreatic and gastric cancers showed that it was well tolerated but had limited efficacy [133]. 4.10. Clinical Trials with Anti-CA19-9 Antigen (CA19-9) Antibodies Carbohydrate antigen 19-9 (CA19-9), also known as sialyl Lewis A (sLea), is the most widely used and best validated diagnostic and prognostic biomarker in pancreatic cancer, being a useful predictor of tumour stage and resectability, response to therapy and overall survival. However, the predictive positive value is low and is therefore not used in the screening of asymptomatic patients. It has been implicated with the pathogenesis of pancreatic cancer, making it an attractive therapeutic target [127,128]. Preliminary phase 1 data of MVT-5873 (HuMab-5B1), a fully human IgG1 mAb targeting sLea, showed encouraging response as single agent or in combination with nab-paclitaxel and gemcitabine in CA19-9 positive pancreatic cancer patients [114]. In addition, the radiolabelled mAb HuMab-5B1 (MVT-2163), which recognises the cancer antigen CA19- 9, demonstrated visualisation of primary tumours and metastases by immune-PET in a phase 1 study [129]. Phase 1 and 2 clinical trials evaluating MVT-5873 in patients with CA19-9 overexpressing tumours are currently ongoing (NCT03801915, NCT03118349 and NCT02672917, Table 6). 4.14. Clinical Trial with Anti-Prostate Stem Cell Antigen (PSCA) Antibody AGS-1C4D4 Prostate stem cell antigen (PSCA) is a glycosylphosphatidylinositol (GPI)-anchored cell surface protein associated with various cancer types such as prostate, bladder, gas- tric and pancreatic cancer, that has been proposed as a biomarker for detection of circu- lating tumour cells (CTCs) and for cytological examination of specimens in pancreatic cancer patients [136,137]. AGS-1C4D4, a fully human IgG1κ mAb against PSCA, was evaluated in a phase 2 trial in combination with gemcitabine and demonstrated an im- Cancers 2021, 13, 1781 19 of 38 19 of 38 provement in 6-month survival rate in the combination arm versus gemcitabine alone (60.9% vs 44.4%) [138]. The list of currently ongoing clinical trials with antibody-based agents in combination with other therapeutics in patients with pancreatic cancer are summarised in Table 6. The results of such trials should help to unravel whether treatment with such agents lead to long-term therapeutic benefits in pancreatic cancer patients and the underlying mechanism of response or resistance to such therapeutic interventions. Table 4. Phase I/II clinical trials of monoclonal antibodies alone or in combination with other drugs in pancreatic cancer (www.clinicaltrials.gov accessed on 17 March 2021). Condition/Stage of Disease Therapeutic Intervention n Ph Outcomes Ref. Metastatic PC Durvalumab + tremelimumab vs. durvalumab 65 II ORR: 3.1 vs. 0% Not enrolled in part B because the threshold for efficacy was not met in part A [114] Metastatic PC Olaratumab + nab-paclitaxel + gemcitabine 10 I Well tolerated and manageable toxicity [139] Advanced PC Gemcitabine + MK-0646 (arm A) vs. gemcitabine + MK-0646 + erlotinib (arm B) vs. gemcitabine + erlotinib (arm C) 81 I/II PFS: 1.8 vs. 1.8 vs. 1.9 months OS: 10.4 vs. 7.1 vs. 5.7 months (p = 0.02) [77] CA19-9 positive PC MVT-5873 + nab-paclitaxel + gemcitabine 38 I Single agent MVT-5873 appears safe and tolerable at biologically active doses [140] Metastatic PC Gemcitabine + nab-paclitaxel + pembrolizumab 17 Ib/II mPFS: 9.1 months mOS: 15.0 months (in chemo-naive) [110] Resected PC Cetuximab or bevacizumab + gemcitabine + chemoradiation 127 II mOS: 17 months (both arms) DFS: 11 months [141] Locally advanced or metastatic PC Gemcitabine + nimotuzumab vs. gemcitabine + placebo 192 IIb mOS: 8.6 vs. 6.0 months (p = 0.03) mPFS: 5.1 vs. 3.6 months (p = 0.02) [92] Advanced or metastatic PC TAK-264 (MLN0264) 43 II ORR: 3% [132] Metastatic PC Gemcitabine + simtuzumab (700 mg) vs. gemcitabine + simtuzumab (200 mg) vs. 4.14. Clinical Trial with Anti-Prostate Stem Cell Antigen (PSCA) Antibody AGS-1C4D4 gemcitabine + placebo 240 II mPFS: 3.7 (p = 0.73) vs. 3.5 (p = 0.61) vs. 3.7 months mOS: 7.6 (p = 0.28) vs. 5.9 (p = 0.69) vs. 5.7 months ORR: 13.9 (p = 0.16) vs. 14.5 (p = 0.20) vs. 23.5% [121] Refractory colon and PC NEO-102 (ensituximab) 19 (4 PC) I Safe and well tolerated [142] Unresectable PC Bevacizumab + erlotinib + capecitabine + RT 17 I Safe and well tolerated [143] PC not amenable to curative treatment Bevacizumab + cetuximab + leucovorin + gemcitabine + cisplatin + fluorouracil vs. leucovorin + gemcitabine + cisplatin + fluorouracil 59 II mOS: 13.2 vs. 6.8 months (p = 0.03) TTP: 10.7 vs. 3.1 months (p = 0.004) [84] Advanced pancreatic and gastric cancers ASG-5ME 50 I Well tolerated with limited evidence of antitumour activity [133] Table 4. Phase I/II clinical trials of monoclonal antibodies alone or in combination with other drugs in p (www.clinicaltrials.gov accessed on 17 March 2021). /II clinical trials of monoclonal antibodies alone or in combination with other drugs in pancreatic cancer als.gov accessed on 17 March 2021). Cancers 2021, 13, 1781 20 of 38 Table 4. Cont. Condition/Stage of Disease Therapeutic Intervention n Ph Outcomes Ref. Locally advanced PC Neoadjuvant gemcitabine plus capecitabine, followed by either: capecitabine or UFT + RT (A) or capecitabine or UFT + cetuximab + RT (B). 17 II mOS: 15.8 vs. 22.0 months (p > 0.05) mPFS: 10.4 vs. 12.7 months (p > 0.05) [144] Metastatic PC Irinotecan + docetaxel vs irinotecan + docetaxel + cetuximab 87 II ORR: 4.5 vs. 7% mPFS: 3.9 vs. 4.5 monthsmOS: 6.5 vs. 5.3 months [82] Locally advanced PC Cetuximab + gemcitabine + RT 34 II mOS: 15.3 months [145] Metastatic PC 90Y-clivatuzumab tetraxetan + gemcitabine vs. 90Y-clivatuzumab tetraxetan alone 58 Ib mOS: 2.7 vs. 2.6 months (7.9 vs. 3.4 months in patients who received multiple cycles; p = 0.004) [146] Locally advanced PC Panitumumab + gemcitabine-based CRT 14 I Manageable toxicity mPFS: 8.9 months mOS: 12.3 months [87] Metastatic PC Trastuzumab + cetuximab (after failure of first-line gemcitabine) 49 I/II mPFS: 1.8 months mOS: 4.6 months [97] Metastatic PC Gemcitabine + erlotinib + cixutumumab vs. gemcitabine + erlotinib 116 Ib/II mPFS: 3.6 vs. 3.6 months (p = 0.97) mOS: 7.0 vs. 4.14. Clinical Trial with Anti-Prostate Stem Cell Antigen (PSCA) Antibody AGS-1C4D4 6.7 months (p = 0.64) [76] Metastatic PC Tremelimumab + gemcitabine 34 I Safe and acceptable tolerability profile [106] Metastatic PC Ganitumab + gemcitabine 6 Ib Tolerable and acceptable safety profile [147] Borderline and locally advanced PC Neoadjuvant bevacizumab + gemcitabine 30 II No survival benefit in patients undergoing resection [148] Locally advanced or metastatic PC Gemcitabine + capecitabine + bevacizumab + erlotinib 44 II ORR: 23% mPFS: 8.4 months mOS: 12.6 months [149] Unresectable locally advanced or metastatic PC Gemcitabine + nimotuzumab 18 - mOS: 9.3 months mPFS: 3.7 months [150] Unresectable or metastatic PC Tigatuzumab (CS-1008) + gemcitabine 62 II ORR: 13.1% mPFS: 3.9 months mOS: 8.2 months [126] Advanced PC CP-870,893 + gemcitabine 22 I Safe and well tolerated mPFS: 5.2 months mOS: 8.4 months ORR: 19% [135] Locally advanced or metastatic PC Ipilimumab vs. ipilimumab + GVAX 30 Ib mOS: 3.6 vs. 5.7 months (p = 0.07) [105] Potentially resectable PC Gemcitabine + bevacizumab followed by RT + bevacizumab 59 II mOS: 16.8 months (19.7 months after resection) mPFS: 6.6 months (12.9 months after resection) [151] R0 or R1-resected PC Gemcitabine + cetuximab 76 II DFS at 18 months: 27.1% mDFS: 10.0 months mOS: 22.4 months [81] Table 4. Cont. Table 4. Cont. Cancers 2021, 13, 1781 21 of 38 Table 4. Cont. Condition/Stage of Disease Therapeutic Intervention n Ph Outcomes Ref. Metastatic PC Gemcitabine vs. gemcitabine + AGS-1C4D4 196 II 6-month SR: 44.4 vs. 60.9% (P = 0.03) mOS: 5.5 vs. 7.6 months (p = 0.12) mPFS: 3.2 vs. 3.8 months (p = 0.27) ORR: 13.1 vs. 21.6% [138] Advanced PC Everolimus + cetuximab + capecitabine 43 I/II ORR: 6.5% mOS: 5.0 months [152] Advanced PC Bevacizumab + gemcitabine + 5-FU 42 II PFS at 6 months: 49% mPFS: 5.9 months mOS: 7.4 months [153] Metastatic PC Gemcitabine + ganitumab vs. gemcitabine + conatumumab vs. gemcitabine + placebo 125 II 6-month SR: 57 vs. 59 vs. 50% mOS: 8.7 vs. 7.5 vs. 5.9 months mPFS: 5.1 vs.. 4.0 vs. 2.1 months ORR: 10 vs. 3 vs. 3% [73] Localized or locally advanced PC Neoadjuvant cetuximab + gemcitabine + IMRT 37 II mOS: 24.3 (resected patients) vs. 4.14. Clinical Trial with Anti-Prostate Stem Cell Antigen (PSCA) Antibody AGS-1C4D4 10 months (not resected) [154] Stage III or IV PC 90Y-clivatuzumab tetraxetan + low-dose gemcitabine 42 - The combination is feasible DCR: 58% mOS: 7.7 months [155] HER2 overexpressing metastatic PC Trastuzumab + capecitabine 17 II PFS after 12 weeks: 23.5% mOS: 6.9 months [98] Advanced PC Bevacizumab + cetuximab + gemcitabine vs. bevacizumab + cetuximab 61 II mPFS: 3.5 vs. 1.9 months mOS: 5.4 vs. 4.2 months [156] Locally advanced or metastatic PC Gemcitabine + oxaliplatin + cetuximab 41 II ORR: 24% mPFS: 6.9 months mOS: 11.3 months [157] Locally advanced or metastatic PC Nimotuzumab 56 II mPFS: 6.7 weeks PFS after 1 year: 10.3% mOS: 18.1 weeks [93] Metastatic PC Cetuximab + gemcitabine + oxaliplatin 64 II mOS: 263 vs.. 162 days (WT vs. KRAS mutation) mPFS: 104 vs. 118 days (WT vs. KRAS mutation) [158] Locally advanced PC Cetuximab + gemcitabine + oxaliplatin followed by cetuximab + capecitabine + RT 69 II mOS: 19.2 months 1-year OS: 66% [159] Advanced PC 90Y-clivatuzumab tetraxetan 21 I Well tolerated with manageable hematologic toxicity [160] Locally advanced or metastatic PC Bevacizumab + gemcitabine + oxaliplatin 55 II mPFS: 4.9 months mOS: 11.9 months ORR: 36% [161] Localised PC Gemcitabine + bevacizumab + RT 32 II mPFS: 9.9 months mOS: 11.8 months [162] Locally advanced PC Gemcitabine + cetuximab + RT 16 I Safe and well tolerated mOS: 10.5 months [163] Gemcitabine- refractory metastatic PC Bevacizumab alone vs. bevacizumab + docetaxel 32 II mPFS: 43 vs. 48 days mOS: 165 vs. 125 days The study was stopped due to futility. [164] Table 4. Cont. Cancers 2021, 13, 1781 22 of 38 Table 4. Cont. Condition/Stage of Disease Therapeutic Intervention n Ph Outcomes Ref. Locally advanced or metastatic PC Ipilimumab 27 II No responders but one subject experienced a delayed response after initial progressive disease. 4.14. Clinical Trial with Anti-Prostate Stem Cell Antigen (PSCA) Antibody AGS-1C4D4 [104] Gemcitabine- refractory metastatic PC Bevacizumab + erlotinib 36 II OS at 6 months: 22% [165] Locally advanced or metastatic PC Gemcitabine + capecitabine + bevacizumab + erlotinib 20 I mOS: 12.5 months mPFS: 9.0 months ORR: 50% [166] Locally advanced, unresectable PC Bevacizumab + capecitabine + RT 82 II mOS: 11.9 months 1-year survival: 47% mPFS: 8.6 months; RR: 26% [167] Metastatic or locally advanced unresectable PC Bevacizumab + gemcitabine + capecitabine 50 II ORR: 22% mPFS: 5.8 months mOS: 9.8 months [168] Metastatic PC Cetuximab + gemcitabine + oxaliplatin 64 II ORR: 33% mPFS: 3.9 months mOS: 7.1 months [169] Inoperable PC (head) Radiolabelled anti-CEA I131 KAb201 mAb 25 I/II ORR: 6% mOS: 5.2 months [170] Chemotherapy-naive metastatic PC Gemcitabine + cisplatin + bevacizumab 52 II mTTP: 6.6 months mOS: 8.2 months 1-year survival: 36% [171] Advanced PC Cetuximab + gemcitabine + cisplatin vs. gemcitabine + cisplatin alone 84 II ORR: 17.5 vs. 12.2% (p = 0.55) mPFS: 3.4 vs. 4.2 months (p = 0.85) mOS: 7.5 vs. 7.8 months (p = 0.74) [172] Untreated stage III or IV PC Matuzumab + gemcitabine 17 I Well tolerated mOS: 3.7 months [94] Locally Advanced PC Bevacizumab + capecitabine-based chemoradiotherapy 48 I Safe and well tolerated, required capecitabine dose reduction ORR: 20% mOS: 14.4 months [173] Advanced PC Bevacizumab + gemcitabine 52 II ORR: 21% mPFS: 5.4 months mOS: 8.8 months [174] Advanced PC Cetuximab + gemcitabine 41 II ORR: 12% mPFS: 3.8 months mOS: 7.1 months [175] Unresectable, measurable PC Murine mAb 17-1A 28 II Acceptable toxicity. Lack of efficacy of treatment [176] CEA: carcinoembryonic antigen; DCR: disease control rate; DFS: disease free survival; GVAX: GM-CSF cell-based vaccines; IMRT: intensity- modulated radiotherapy; mOS: median overall survival; mPFS: median progression-free survival; mTTP: median time to progression; mTTF: median time to treatment failure; n: number of patients; ORR: Objective response rate; PKs: pharmacokinetics; PR: partial response; RAIT: radioimmunotherapy; SD: stable disease; SR: survival rate; TTP: time to progression; WT: wild-type. Table 4. Cont. 23 of 38 Cancers 2021, 13, 1781 Table 5. Phase III clinical trials of monoclonal antibodies alone or in combination with other drugs for pancreatic cancer treatment (www.clinicaltrials.gov accessed on 17 March 2021). Condition/Stage of Disease Therapeutic Intervention n Ph Outcomes Ref. Metastatic PC (GAMMA trial) Gemcitabine + placebo vs.. gemcitabine + ganitumab (12 mg/kg) vs. gemcitabine + ganitumab (20 mg/kg) 800 III mOS: 7.2 vs. 4.14. Clinical Trial with Anti-Prostate Stem Cell Antigen (PSCA) Antibody AGS-1C4D4 7.0 (p = 0.49) vs. 7.1 months (p = 0.40) [74] Advanced PC (CALGB 80303 trial) Gemcitabine + bevacizumab vs. gemcitabine + placebo 602 III mOS: 5.8 vs. 5.9 months (p = 0.95) mPFS: 3.8 vs. 2.9 months (p = 0.07)ORR: 13 vs. 10% [101] Unresectable locally advanced or metastatic PC (SWOG S0205 trial) Gemcitabine vs. gemcitabine + cetuximab 745 III mOS: 5.9 vs. 6.3 months (p = 0.19) mPFS: 3.0 vs. 3.4 months (p < 0.18) mTTF: 1.8 vs. 2.3 months (p < 0.006) ORR: 14 vs. 12% (p = 0.59) [83] Metastatic PC Gemcitabine + erlotinib + bevacizumab vs. gemcitabine + erlotinib + placebo 607 III mOS: 7.1 vs. 6.0 months (p < 0.21) mPFS: 4.6 vs. 3.6 months (p < 0.0002) ORR: 13.5 vs. 8.6% (p < 0.06) [100] n: number of patients. Table 6. Selected ongoing clinical trials evaluating monoclonal antibodies alone or in combination with other drugs in pancreatic cancer (www.clinicaltrials.gov accessed on 17 March 2021). Trials Identifier Therapeutic Intervention n 1 Ph Study Status (Completion Date) Anti-PD-1/PD-L1 mAbs NCT02930902 Pembrolizumab (anti-PD-1 mAb) + paricalcitol vs.. pembrolizumab + paricalcitol + chemotherapy 10 I Active, not recruiting (12/2022) NCT03723915 Pembrolizumab (anti-PD-1 mAb) + pelareorep 30 II Active, not recruiting (06/2021) NCT04548752 Olaparib + pembrolizumab (anti-PD-1 mAb) vs. olaparib 88 II Not yet recruiting (03/2025) NCT02907099 BL-8040 + pembrolizumab (anti-PD-1 mAb) 23 II Active, not recruiting (12/2022) NCT03634332 PEGPH20 + pembrolizumab (anti-PD-1 mAb) 35 II Recruiting (01/2021) NCT04477343 SX-682 (dual-inhibitor CXCR1/CXCR2) + nivolumab (anti-PD-1 mAb) 20 I Recruiting (10/2022) NCT03970252 Nivolumab (anti-PD-1 mAb) + mFOLFIRINOX 36 I, II Recruiting (04/2022) NCT04050085 SD-101 (TLR9 agonist) + radiation therapy + nivolumab (anti-PD-1 mAb) 6 I Recruiting (11/2021) NCT03767582 Nivolumab + CCR2/CCR5 dual antagonist vs. Nivolumab + GVAX + CCR2/CCR5 dual antagonist 30 I, II Recruiting (03/2022) NCT03214250 APX005M (CD40 agonistic mAb) + nivolumab (anti-PD-1 mAb) + gemcitabine + nab-paclitaxel vs. APX005M + gemcitabine + nab-paclitaxel. 129 I, II Active, not recruiting (09/2022) NCT03373188 Surgery vs. VX15/2503 + surgery vs. VX15/2503 + ipilimumab (anti-CTLA-4 mAb) + surgery vs. VX15/2503 + nivolumab (anti-PD-1 mAb) + surgery 32 I Recruiting (12/2022) NCT04191421 Siltuximab (anti-IL-6) + spartalizumab (anti-PD-1 mAb) 42 I, II Recruiting (12/2022) NCT04581343 Canakinumab (anti-IL-1β mAb) + spartalizumab (anti-PD-1 mAb) + nab-paclitaxel + gemcitabine 10 I Recruiting (03/2022) Cancers 2021, 13, 1781 24 of 38 Table 6. Cont. Table 6. Cont. Table 6. Cont. 4.14. Clinical Trial with Anti-Prostate Stem Cell Antigen (PSCA) Antibody AGS-1C4D4 Trials Identifier Therapeutic Intervention n 1 Ph Study Status (Completion Date) NCT04116073 INCMGA00012 (anti-PD-1 mAb) 25 II Recruiting (08/2028) NCT03983057 mFOLFIRINOX + anti-PD-1 antibody vs. mFOLFIRINOX 830 III Recruiting (04/2022) NCT04498689 Camrelizumab (anti-PD-1 mAb) + nab-paclitaxel + gemcitabine 117 II Recruiting (12/2022) NCT03989310 Manganese primed anti-PD-1 antibody + nab-paclitaxel + gemcitabine 20 I, II Recruiting (03/2021) NCT04104672 AB680 (CD73 inhibitor) + zimberelimab (anti-PD-1 mAb) + nab-paclitaxel + gemcitabine 150 I Recruiting (01/2024) NCT04181645 SHR-1210 (anti-PD-1 mAb) + paclitaxel-albumin + gemcitabine 20 I Recruiting (07/2022) NCT04493060 Niraparib + TSR-042 (anti-PD-1 mAb) 20 II Not yet recruiting (12/2023) NCT03816358 Anetumab ravtansine (anti-mesothelin ADC) + nivolumab (anti-PD-1 mAb) vs. anetumab ravtansine + nivolumab + ipilimumab vs. anetumab ravtansine + nivolumab + gemcitabine 64 I, II Recruiting (04/2021) Anti-CLDN18.2 mAb NCT03816163 Zolbetuximab (anti-CLDN18.2 mAb) + nab-paclitaxel + gemcitabine vs. nab-paclitaxel + gemcitabine 141 II Recruiting (10/2022) Anti-PDGFRα mAb NCT03086369 Olaratumab (anti-PDGFRα mAb) + nab-paclitaxel + gemcitabine vs. placebo + nab-paclitaxel + gemcitabine 186 Ib, II Active, not recruiting (01/2022) Anti-CA19.9 mAb NCT03801915 MVT-5873 (anti-Sialyl Lewis/CA19.9 mAb) 105 II Recruiting (12/2023) NCT03118349 MVT-5873 (anti-Sialyl Lewis/CA19.9 mAb) + MVT-1075 7 I Active, not recruiting (12/2020) NCT02672917 MVT-5873 (HuMab-5B1) 108 I Recruiting (12/2020) Anti-OX40 mAb NCT04387071 CMP-001 (TLR9 agonist) + INCAGN01949 (anti-OX40 mAb) 42 I, II Not yet recruiting (07/2023) Anti-HGF mAb NCT03316599 Ficlatuzumab (anti-HGF mAb) + gemcitabine + nab-paclitaxel 26 Ib Active, not recruiting (11/2023) 1 Estimated enrolment. mFOLFIRINOX: modified FOLFIRINOX. Taken from: https://www.clinicaltrials.gov/ct2/home (accessed on 17 March 2021). Updated as of 10 January 2021. 5. Challenges and Future Opportunities with Antibody Therapeutics in Pancreatic Cancer As the results of preclinical and clinical studies discussed above and presented in summary tables suggest, the application of monoclonal antibody-based agents in the treatment of pancreatic cancer is more likely to be successful when used in combination with other therapies such as cytotoxic drugs, other mAbs, cancer vaccines and/or oncolytic viruses. In addition, simultaneous targeting of signalling pathways, the tumour stroma and the incorporation of immune checkpoint inhibitors could yield better results by modifying the immunosuppressive environment of pancreatic tumours [70,177–181]. Remarkable responses to immunotherapy have been shown in patients with several types of solid tumours including melanoma [182,183], non-small cell lung cancer [184–186] and renal cell carcinoma [184–186]. However, immunotherapy with checkpoint inhibitors in unselected pancreatic cancer patients has not demonstrated clinical efficacy, partly due to the strong immunosuppressive tumour microenvironment and the poor antigenicity of tumour-associated antigens that elicit immune response [103,187]. Pancreatic cancer microenvironment is characterised by dense desmoplasia, hypovascularity and scanty im- Cancers 2021, 13, 1781 25 of 38 25 of 38 mune effector cells [178,188,189]. Therefore, targeting the tumour stroma is of paramount importance to increase drug delivery, promote T-cell infiltration and activation, and over- come the barriers posed by tumour immune-escape mechanisms and the immunosuppres- sive environment [190]. The CXCRL12/CXCR4 axis has been implicated in all stages of pancreatic cancer development and contributes to survival, metastasis, chemoresistance and the highly atypical pancreatic cancer microenvironment, which makes this disease particularly difficult to treat [191]. Thus, systemic therapies along with simultaneous targeting of the CXCRL12/CXCR4 axis might be an attractive therapeutic approach. g g g p pp On the other hand, chimeric antigen receptor (CAR) T cell therapy has emerged in recent years as an attractive alternative for cancer treatment (please see Leonardi et al., in this special issue [192]). CD19 targeted CAR T cells have been approved for the treat- ment of acute lymphoblastic leukaemia [193], relapsed/refractory diffuse large B-cell lymphoma [194–196] and relapsed/refractory follicular lymphoma [197]. More recently, the B-cell maturation antigen (BCMA)-directed genetically modified autologous CAR T-cell therapy idecabtagene vicleucel has been approved for relapsed or refractory multiple myeloma [198]. Other studies have evaluated the feasibility of various chimeric antigen receptor (CAR)-modified T cells recognising antigens such as mesothelin [199] and glypican- 1 [200] in solid tumours including pancreatic cancer. 5. Challenges and Future Opportunities with Antibody Therapeutics in Pancreatic Cancer Currently, several clinical trials are underway with CAR T cells targeting mesothelin (NCT03638193, NCT03323944), CEA (NCT03818165, NCT04037241, NCT02850536) and claudin 18.2 (NCT04404595, NCT04581473) and the results should unravel whether such treatments can be of therapeutic value in patients with pancreatic cancer. In particular, results of clinical trials evaluating the combi- nation of immune checkpoint inhibitors, cancer vaccines and agents that target the immuno- suppressive microenvironment in pancreatic cancer are eagerly anticipated. Preclinical studies in subcutaneous and metastatic pancreatic cancer mouse models demonstrated that the combination of a T-cell vaccine, a PD-1 antagonist and a CD40 agonist mAb was able to eradicate most tumours, favouring antitumour immunity by reprogramming immune resistant tumours [201]. This might become a promising approach in the clinical setting. [ ] g p g pp g A better understanding of the biology of pancreatic cancer and the interplay between pancreatic cancer cells, stellate cells and the microenvironment would provide a more solid rationale for the development of new therapeutics including mAb-based agents. Indeed, to improve survival rates, it is clear that there is an urgent need for the discovery of additional cell surface antigens with high levels of expression in patients at different stages of pancreatic cancer. There are currently several approaches for the discovery of membranous proteins such as monoclonal antibody technology or membrane proteomics analysis of isolated proteins by SDS-PAGE and mass spectrometry [66,202]. Indeed, using monoclonal antibody technology and human pancreatic cancer cell lines established from primary tumours and metastatic sites, both as the source of tumour immunogen and in the antibody screening, we have reported recently the development of three novel antibodies. We found that the antigens recognised by these three novel mAbs were CD109, integrin α3 and CD26, with high levels of expression in several human pancreatic cancer cells and Pancreatic Cancer Tissue microarray [26,66]. Indeed, antibody-based screening will help not only in the discovery of additional therapeutic cell surface antigens with high levels of expression at different stages of pancreatic cancer (i.e., therapeutic targets) but also in the development of antibody-based agents for therapy. Moreover, such antibodies would be excellent tools for investigating the diagnostic, prognostic and predictive values of such antigens and investigating their roles in the complex biology of pancreatic cancer [58]. 6. Summary and Concluding Remarks Pancreatic cancer is one of the deadliest cancer types, with mortality rates that almost equal its incidence. Despite some advances in diagnosis and treatment, its five-year survival rate has not improved substantially over the past few decades. Due to its rising incidence, pancreatic cancer is predicted to become the second leading cause of cancer death by 2030 in many countries [1,4]. Therefore, in order to improve prognosis for patients with pancreatic Cancers 2021, 13, 1781 26 of 38 cancer, it is vital to avoid modifiable risk factors, to discover novel biomarkers/screening methods for its earlier detection, to identify additional targets, and to develop more specific therapeutic agents and companion diagnostic tests for the selection of a more specific population of patients who are more likely to benefit from therapeutic interventions with mAb-based agents. g The development of monoclonal antibodies against overexpressed cell surface antigens in pancreatic cancer is an attractive strategy for use in both diagnosis and treatment [58]. Since the invention of the hybridoma technology, efforts have been made to develop mAbs for the treatment of different cancer types. Despite success in the application of this form of therapy and subsequent approval by regulatory bodies in haematological malignancies and various solid tumours, none of these mAbs have been approved for pancreatic cancer as of yet (Table 1). Monoclonal antibodies therapy offers some advantages over other forms of therapy such as target specificity, reduced toxicity and the potential to trigger immune system activation. However, the modest efficacy, the lack of biomarkers predictive of response and the high cost of antibody production are currently some of the major drawbacks of the use of this form of therapy [14,15]. In pancreatic cancer, as well as in other solid tumours, monoclonal antibodies used as single agents have limited efficacy. Therefore, different treatment combinations have been used in an attempt to improve activity and deliver better survival outcomes (Tables 4 and 5). Various approaches have been postulated including the combination of two or more mAbs directed against different targets, the combination of mAbs with standard of care chemother- apy, the combination of mAbs with radiotherapy to sensitise tumours, the simultaneous targeting of the vasculature and stroma, the targeting of coinhibitory receptors on effector T cells, and the use of bispecific antibodies to bring effector T cells and NK cells in proximity to tumour cells. 6. Summary and Concluding Remarks To date, monoclonal antibodies targeting IGF-IR, HER2 and VEGF, or combinations of these, have not shown encouraging results in pancreatic cancer patients [74,76,97,98,100,101]. In contrast, the anti-EGFR mAbs panitumumab and nimotuzumab have shown to improve survival outcomes in combination with chemotherapy and/or the tyrosine kinase inhibitor erlotinib in phase 2 trials [88,92,93]. Finally, while studies with other mAbs targeting LOXL2 and Notch2/3 receptors have not provided support for further studies in pancreatic cancer [121,203], the results of early phase trials evaluating the efficacy of the anti-DR5 mAbs conatumumab and tigatuzumab [73,125], the anti-CD40 mAb selicrelumab [135], and the anti-PSCA mAb AGS-1C4D4 [138] were encouraging and need to be validated in future studies. Of the antibody-drug conjugates tested in clinical trials in pancreatic cancer patients, none of them showed significant clinical activity, including the anti-SLC44A4 antibody- drug conjugate ASG-5ME [133], the anti-guanylyl cyclase C antibody-drug conjugate TAK-264 [132], the anti-MUC16 antibody-drug conjugate DMUC5754A [204], and the anti- mucin antibody-drug conjugate 90Y-clivatuzumab tetraxetan based on an interim analysis of a phase 3 trial (NCT01956812). Early trials have also shown the potential of mAbs as diagnostic tools in pancreatic cancer. For instance, the use of an anti-CEA antibody as a fluorescent-labelled agent for intraoperative direct visualisation of tumours [205], and the use of the anti-CA19-9 mAb HuMab-5B1 (MVT-2163) as imaging probe, which allows visualisation of primary and metastatic tumours by immuno-PET [129]. Further clinical studies are currently underway (NCT03801915, NCT03118349 and NCT02672917). y y Monoclonal antibodies bind with high affinity and specificity to their target antigens and these properties have been exploited for their use as theranostics, whereby tumours are identified by radiolabelled antibodies on imaging and subsequently treated with con- jugates targeting the same antigen. See reviews by King et.al. and Dammes & Peer for further detail [206,207]. Antibody-based theranostic pairs have been developed targeting a variety of antigens including carcinoembrionic antigen (CEA) [208], tissue factor [35], CUB domain containing protein 1 (CDCP1) [209] and Met [210]. For instance, Knutson and Cancers 2021, 13, 1781 27 of 38 27 of 38 colleagues have reported the development of a theranostic monoclonal antibody specific for CEA, conjugated to paclitaxel and a PEGylated near-infrared fluorophore (DyLight™ 680-4xPEG, Thermo Fisher Scientific, #46603, Rockford, IL, USA). They demonstrated that this theranostic mAb was able to detect BxPC-3 pancreatic tumour xenografts and inhibit tumour growth in mouse models [208]. On the other hand, Ferreira et.al. 6. Summary and Concluding Remarks reported the use of labelled monoclonal antibody constructs targeting tissue factor that demonstrated high uptake in BxPC-3 tumour xenografts in PET imaging (86Y-DTPA-ALT836) and led to slow tumour growth in mice (90Y-DTPA-ALT836) [35]. Similarly, the novel human antibody 4A06 (which recognises CDCP1) radiolabelled with zirconium-89 (89Zr-4A06) was able to detect CDCP1 expression, while the therapeutic constructs of the antibody (177Lu-4A06 and 225Ac-4A06) inhibited the growth of pancreatic subcutaneous xenograft tumours in mice [209]. Furthermore, targeting of Met by the mAb onartuzumab labelled with zirconium-89 (89Zr) demonstrated tumour uptake of 89Zr-DFO-onartuzumab in Met overexpressing subcutaneous and orthotopic pancreatic tumours by immunoPET, while the construct 177Lu-DTPA-onartuzumab induced significant tumour growth delay and im- proved survival in treated animals. 89Zr-DFO-onartuzumab was able to predict treatment response to 177Lu-DTPA-onartuzumab [210]. Similar theranostic approaches using small molecule inhibitors, peptides or nanoparticles targeting integrin αvβ6 [211], fibroblast acti- vation protein [212,213], GPC1 [214] and IGF1 receptor [215] have also been investigated in mouse models of pancreatic cancer, Most of the currently ongoing clinical trials for pancreatic cancer treatment are evaluat- ing anti-PD1 antibodies in combination with cytotoxic drugs, other mAbs or antibody-drug conjugates, cancer vaccines or PARP inhibitors (Table 6). While pembrolizumab has shown some evidence of activity in phase 2 trials in combination with chemotherapy [110], or a CXCR4 antagonist plus chemotherapy [111], the combination of nivolumab plus chemother- apy has shown disappointing results in a phase 1 trial [112]. Interestingly, the combination of immune checkpoint inhibitors with GM-CSF cell-based vaccines and the oncolytic virus pelareorep has shown promising results in early phase trials [105,109], and subsequent studies evaluating this approach are underway (NCT03723915 and NCT03767582, Table 6). g pp y The lack of reliable predictive biomarkers and companion diagnostic tests to identify patients who are more likely to benefit from this form of therapy, and the development of intrinsic or acquired resistance to mAb-based drugs are some of the factors contributing to the poor response to therapy with not only antibody-based agents but also other forms of therapy. In addition, other factors might impact the efficacy of therapeutic antibodies such as impaired tumour penetration and heterogenous distribution in tumours [216]. References Cancer incidence and mortality patterns in Europe: Estimates for 40 countries and 25 major cancers in 2018. Eur. J. Cancer. 2018, 103, 356–387. 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In summary, at present, no antibody-based drugs have yet been approved for the treat- ment of patients with pancreatic cancer. However, we believe that the results of ongoing clinical trials with antibody-based products, the discovery of other cell surface antigens with high levels of expression at different stages of the disease, a better understanding of the complex biology of pancreatic cancer, its microenvironment, the immune system and the mechanisms of resistance, together with technological advances in the development of various forms of antibody-based agents (e.g., bispecific/multi-specific, antibody fragments such as mini-bodies and nanobodies, radiolabelled antibodies, antibody-drug conjugates) would lead to the approval of monoclonal antibody-based products when used alone or in combination with other therapeutic interventions in patients with pancreatic cancer in the near future. Author Contributions: Both authors contributed substantially to the conceptualization and writing of the article and revised it critically for intellectual content. All authors have read and agreed to the published version of the manuscript. 28 of 38 Cancers 2021, 13, 1781 28 of 38 nding: This work has been supported by Kingston University London. Funding: This work has been supported by Kingston University London. Data Availability Statement: No new data were created or analyzed in this study. Data sharing is not applicable to this article. Data Availability Statement: No new data were created or analyzed in this study. Data sharing is not applicable to this article. References 2005 on, H.; Reichert, J.M. Antibodies to watch in 2021. mAbs 2021, 13, 1860476. [CrossRef] [PubMed] 20. Modjtahedi, H. Monoclonal Antibodies as Therapeutic Agents: Advances and Challenges. Iran. J. Immunol. 2005, 2, 3–20. 21. Kaplon, H.; Reichert, J.M. Antibodies to watch in 2021. mAbs 2021, 13, 1860476. 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Artificial perches increase bird-mediated seed rain in agricultural fallow area in southern Brazil
Web ecology
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Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 © Author(s) 2022. This work is distributed under the Creative Commons Attribution 4.0 License. Artificial perches increase bird-mediated seed rain in agricultural fallow area in southern Brazil Thales Castilhos de Freitas1, Gustavo Crizel Gomes2, Artur Ramos Molina3, Ernestino de Souza Gomes Guarino2, Cristiano Agra Iserhard4, and Rafael Beltrame1 1Programa de Pós-Graduação em Ciências Ambientais, Universidade Federal de Pelotas, 96010-610 Pelotas, Brazil 2Embrapa – Centro de Pesquisa Agropecuária de Clima Temperado, 96010-971 Pelotas, Brazil 3Programa de Pós-Graduação em Sistemas de Produção Agrícola Familiar, Universidade Federal de Pelotas, 96010-610 Pelotas, Brazil 4Programa de Pós-Graduação em Biodiversidade Animal, Universidade Federal de Pelotas, 96010-610 Pelotas, Brazil Published by Copernicus Publications on behalf of the European Ecological Federation (EEF). Artificial perches increase bird-mediated seed rain in agricultural fallow area in southern Brazil Thales Castilhos de Freitas1, Gustavo Crizel Gomes2, Artur Ramos Molina3, Ernestino de Souza Gomes Guarino2, Cristiano Agra Iserhard4, and Rafael Beltrame1 1Programa de Pós-Graduação em Ciências Ambientais, Universidade Federal de Pelotas, 96010-610 Pelotas, Brazil 2Embrapa – Centro de Pesquisa Agropecuária de Clima Temperado, 96010-971 Pelotas, Brazil 3Programa de Pós-Graduação em Sistemas de Produção Agrícola Familiar, Universidade Federal de Pelotas, 96010-610 Pelotas, Brazil 4Programa de Pós-Graduação em Biodiversidade Animal, Universidade Federal de Pelotas, 96010-610 Pelotas, Brazil Correspondence: Thales C. de Freitas (thales.castilhos@gmail.com) Correspondence: Thales C. de Freitas (thales.castilhos@gmail.com) Received: 13 February 2022 – Revised: 29 September 2022 – Accepted: 7 October 2022 – Published: 7 Novem Received: 13 February 2022 – Revised: 29 September 2022 – Accepted: 7 October 2022 – Published: 7 November 2022 1 Introduction mination (Freitas et al., 2020). This can promote the estab- lishment of invasive plants that can interfere with and al- ter ecological processes, such as creating changes in nutri- ent cycling, biomass decomposition rates, plant community structure, pollination, seed dispersal, the aesthetic value of the landscape, and biodiversity loss due to species extinction (Ziller, 2001; Lourenço et al., 2011; Pyšek et al., 2020). Overexploitation, habitat suppression, biological contamina- tion, and climate change are accelerating species extinction processes and altering ecosystem services (Ceballos et al., 2017). Aligned with Sustainable Development Goal (SDG) 15, the UN defined the 2021–2030 decade as the Decade on Ecosystem Restoration, which aims to increase efforts to restore degraded ecosystems, creating efficient measures to fight against climate change, food production, conservation of water resources, and mitigation of biodiversity loss (Aron- son et al., 2020). ( ç y ) Therefore, the objective of this study is to evaluate the ef- fect of the distance between artificial perches and a forest fragment on the diversity and composition of seed rain in an area under forest restoration, besides knowing the poten- tially dispersing avifauna. This study intends to answer the following questions: (1) does the use of artificial perches in the agricultural matrix increase the rain of seeds of zoochoric plants? (2) Does the distance of artificial perches from the forest fragment affect the composition and diversity of seed rain? (3) What is the contribution of alien invasive plants to the seed rain community under artificial perches? (4) Which bird species use artificial perches and act as potential seed dispersers? , ) To promote ecological restoration, nucleation is an impor- tant tool, being a set of techniques aimed at the formation of microhabitats, through structures or plantations in nuclei, facilitating the colonization of degraded areas by other plant species (Reis et al., 2014). The different techniques that make up nucleation have different objectives and approaches and may be related to soil restoration and the attraction of fauna or plant communities, thus being a complementary strategy to other restoration techniques, such as planting seedlings and natural regeneration (Bechara et al., 2021). In the case of artificial perches, the main objective is to overcome the first barrier to ecological restoration, which is the arrival of diaspores in the degraded area (Aide et al., 1995; Holl, 1999). T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 60 2.1 Study area Our study was conducted at the Cascata Experimental Sta- tion (EEC) in Pelotas, Rio Grande do Sul, in southern Brazil, 160 ma.s.l. According to the Köppen climate classification system, the region’s climate is defined as Cfa, a humid tem- perate climate with hot summers, without a dry season (Al- vares et al., 2013), and with a yearly average temperature of 18.9 ◦C and an average rainfall of 1794.6 mm. The study area has approximately 0.4 ha of fallow fields, previously covered by semi-deciduous seasonal forest, and is near a riparian for- est (Fig. 1; IBGE, 2012). The riparian forest is characterized by native species such as Schinus terebinthifolia, Allophy- lus edulis, Myrsine coriacea, and Gymnanthes klotzschiana and alien species such as Pittosporum undulatum (Australian cheesewood), Pinus sp., Eucalyptus sp., and Hovenia dulcis. The landscape is composed of forest fragments of different sizes and regeneration stages and has been immersed in a consolidated agricultural matrix for more than a century. 2 Methods 2 Methods Web Ecol., 22, 59–74, 2022 1 Introduction According to Reid and Holl (2013), the arrival and deposition of diaspores are limiting processes in natural recovery. Thus, perches provide landing areas for frugivorous birds and bats to rest and forage and, through defecation and regurgitation, to deposit seeds under the perches, contributing to the for- mation of nuclei of diversity through allochthonous seed rain (Peña-Domene et al., 2014). The interaction between seed- dispersing plants and animals is essential in the formation of tropical forests (Carlo and Morales, 2016). For the de- position of seeds to arise, the occurrence of surrounding or nearby forest fragments is important as a food source for seed-dispersing animals (Brancalion et al., 2015; Carlo and Morales, 2016). The arrival of seeds by zoochoric dispersion can be difficult in open areas, especially if there are few or no trees remaining in the landscape, restricting this process only to the edges of natural fragments (Parrotta et al., 1997; Ponce et al., 2012). In addition, positioning artificial perches farther from the edge of forest fragments should be consid- ered as this may affect bird activity and, consequently, seed deposition in the area to be restored (Nathan et al., 2003; Graham and Page, 2012). Received: 13 February 2022 – Revised: 29 September 2022 – Accepted: 7 October 2022 – Published: 7 November 2022 Abstract. One of the main barriers to restoration is the arrival of diaspores in degraded areas. However, this process can be hampered in open areas without trees in the landscape. For that, artificial perches are used to attract and provide a landing area for avian seed dispersers, to enhance seed rain. Our objective was to evaluate the effect of the distance of artificial perches in relation to a forest fragment on the diversity and composition of seed rain in an agricultural fallow area, including alien invasive plant species. We also aimed to record and characterize the bird species that potentially act as seed dispersers. Thus, we used artificial perches at three different distances from a forest fragment (5, 25, and 50 m). Four seed traps were arranged under the perches at each distance, and four control seed traps were interspersed with these and distanced at 7.5 m. Furthermore, we placed four seed traps inside the forest fragment at 5 m from the edge. We also carried out 80 h of focal observation of the avifauna that used artificial perches. A total of 24 655 seeds were sampled across all treatments. There was a significant difference in seed abundance and richness between artificial perches, control seed traps, and forest seed traps. Seed deposition increased with distance from the forest fragment (50, 25, and 5 m). An ordination procedure indicated the formation of three plant seed communities, with the forest community being most distinct. The invasive exotic species Pittosporum undulatum (Australian cheesewood) was the third most abundant in the seed rain. We observed 24 bird species from 12 families using artificial perches. The Tyrannidae family was the most represented. We showed that artificial perches are efficient structures for attracting birds, increasing the richness and abundance of seed species. Artificial perches at 25 and 50 m were more efficient possibly due to the provision of greater visibility for birds. Therefore, artificial perches are efficient in increasing seed rain in the fallow area but should be used with caution in landscapes with the presence of alien species. These findings contribute to increasing knowledge about overcoming the first barrier to ecological restoration, which is the arrival of diaspores in degraded areas, and showing the importance of birds in this process. Published by Copernicus Publications on behalf of the European Ecological Federation (EEF) T. Received: 13 February 2022 – Revised: 29 September 2022 – Accepted: 7 October 2022 – Published: 7 November 2022 Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 2.2 Treatments We made 12 artificial bamboo perches (4 m tall: 3.5 m above the ground and 0.5 m buried), with a “triple T” shape and three landing surfaces, 1 m long each and arranged at 1.5, 2.7, and 3.3 m from the ground surface (Fig. 2a). To evaluate seed rain, seed traps of 1 m2 were used, made with water- permeable fabric (anti-insect mesh), and placed 0.7 m from the soil (Fig. 2b). The perches (P) and control seed traps (C) were arranged in the fallow area, at three different distances from the edge of the forest fragment: 5 m (P5 m and C5 m), 25 m (P25 m and C25 m), and 50 m (P50 m and C50 m). At each Another important factor is the occurrence of invasive ex- otic plants in the landscape, mainly zoochoric, since this can result in the dispersion and deposition of these species seeds in the area under restoration (Pyšek et al., 2020). Several au- thors have already addressed the relationship between fru- givory and seed dispersal of invasive alien species (Jordaan and Downs, 2012; Campagnoli et al., 2016; Ortega-Flores et al., 2018). The results have shown that the ingestion of seed species by birds improves the seed species’ rate of ger- Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 61 Figure 1. Experimental area of 0.4 ha with artificial perches and seed traps arranged at 5, 25, and 50 m from the riparian forest and 5 m inside the forest fragment (elaborated by Henrique Noguez da Cunha). 0.4 ha with artificial perches and seed traps arranged at 5, 25, and 50 m from the riparian forest and 5 m inside by Henrique Noguez da Cunha). Figure 1. Experimental area of 0.4 ha with artificial perches and seed traps arranged at 5, 25, and 50 m from the riparian forest and 5 m inside the forest fragment (elaborated by Henrique Noguez da Cunha). distance, four seed traps were arranged under the perches, and four control seed traps were interspersed with these at 7.5 m from the perches. Furthermore, we placed four forest seed traps (F) at 5 m inside the edge of the forest fragment, at 14 m intervals (Fig. 2c). 2.2 Treatments animals along transects at the edges and in the interior of nearby forest fragments during all four seasons. Plant species were classified based on the taxonomic system APG IV 2016 (Chase et al., 2016). We observed the birds that used the artificial perches for 20 h per season per year (80 h of sampling effort) in four pe- riods: dawn, late morning, early afternoon, and dusk. The focal observations were conducted with the aid of the Ce- lestron binocular, Ultima model (8 × 42 magnification), at a distance of 20 m from the nearest perch, from a point where all perches were seen at the same time with no interference in bird activity. The visiting species and the length of stay on the perch were recorded for each visitation event. The tax- onomic nomenclature of birds was based on the “Annotated checklist of the birds of Brazil by the Brazilian Ornithologi- cal Records Committee” (Piacentini et al., 2015). 2.3 Sampling We conducted the experiment for 12 months (between 2017 and 2018). We performed the collection, screening, and iden- tification of diaspores every 2 weeks, with a total of 24 sam- ples per trap. For taxonomic identification, the collected ma- terial was compared (observation with the naked eye and stereomicroscope) with diaspores from the seed library of the Embrapa Clima Temperado and the Forest Sciences Labora- tory of Faculdade de Agronomia at the Universidade Federal de Pelotas (UFPel), with the help of specialists and special- ized bibliographic material (Lorenzi, 1992, 1998; Carvalho, 2003; 2006, 2008, 2010, 2014; Frigieri et al., 2016). In ad- dition, we recorded all fruiting plant species dispersed by Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 62 GLMM (negative binomial model, considering seed traps as a random effect) to compare richness and abundance among these treatments. These analyses were conducted in the R en- vironment (R Core Team, 2022) using functions from the lme4 package (Bates et al., 2015). Figure 2. (a) Artificial perch in a triple T shape and seed trap; (b) control seed trap; (c) forest seed traps inside the riparian for- est. To evaluate the differences in the composition of seeds de- posited in artificial perches and inside the forest fragment, a non-metric multidimensional scaling (NMDS) was per- formed using the Bray–Curtis quantitative dissimilarity in- dex (IsBC) (Magurran, 2013). The fit of the NMDS ordina- tions was quantified by a value of stress. In addition, to test for differences between seed species groupings obtained with the NMDS, a multivariate permutational variance analysis (PERMANOVA) was performed using the same similarity measurement and 999 randomizations (PAST 3.20 software; Hammer, 2001). For the distinct distances between perches and the forest fragment, the diversity profile was calculated using the esti- mated model through the Chao1 index with 1000 repetitions, in which the overlap between the confidence intervals of the communities indicates the absence of significant difference (Chao and Jost, 2012). The diversity profile is represented by species richness (Q0) without considering their relative abundances, the exponential of Shannon entropy (Q1), Simp- son’s dominance index (Q2), and the Berger–Parker index (Q3). The more Q increases, the higher the value given to the dominant species (Hill, 1973; Gotelli and Chao, 2013; de Vries et al., 2021). 2.3 Sampling The iNEXT software was used to calcu- late the diversity profile (Chao et al., 2016). Figure 2. (a) Artificial perch in a triple T shape and seed trap; (b) control seed trap; (c) forest seed traps inside the riparian for- est. 2.4 Data analysis We classified all seeds into zoochoric and non-zoochoric fol- lowing the seed dispersal syndromes proposed by Van der Pijl (1982) and into native and alien species based on the “List of Invasive Alien Species of the State of Rio Grande do Sul” (SEMA, 2013) and the IABIN Invasives Information Network. The classification of birds regarding diet was based on Sick (1997) and on relevant bibliography (Francisco and Galetti, 2002; Pizo, 2004; Jesus and Monteiro-Filho, 2007; Tubelis, 2007; Pascotto, 2007; Howe, 2017). Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 3.1 Seed rain Estimate SE z value Pr(> |z|) Abundance Intercept (Treatment C) 2.755 0.441 6.25 < 0.001 Forest seed traps 3.170 0.836 3.790 < 0.001 Artificial perches 4.678 0.599 7.815 < 0.001 Richness Intercept (Treatment C) 0.455 0.229 1.985 0.047 Forest seed traps 2.375 0.275 9.633 < 0.001 Artificial perches 2.742 0.243 11.291 < 0.001 y p ( ) The NMDS indicates segregation in the composition of seed species between the forest seed traps and the differ- ent distances of artificial perches in the fallow area and that perches at 25 and 50 m have greater similarity in the seed species deposited under these structures (Fig. 4). The overall result of PERMANOVA shows differences (pseudo-F3,12 = 4.797; p = 0.001) in the similarity of seeds between the for- est seed species and artificial perches. In this way, the forest seed traps had a distinct species composition when compared to all perches’ distances, and among perches there were sig- nificant differences between perches at 5 m when compared with 25 and 50 m, which were similar to each other (Table 3). There was no significant difference in the diversity profile between the estimated richness (q = 0) due to the overlap of the intervals. The forest seed traps presented higher eq- uitability and lower dominance (q1, q2, and q3), indicating a greater diversity of the plant community in the forest area compared to the other treatments (Fig. 5), which were similar The NMDS indicates segregation in the composition of seed species between the forest seed traps and the differ- ent distances of artificial perches in the fallow area and that perches at 25 and 50 m have greater similarity in the seed species deposited under these structures (Fig. 4). The overall result of PERMANOVA shows differences (pseudo-F3,12 = 4.797; p = 0.001) in the similarity of seeds between the for- est seed species and artificial perches. In this way, the forest seed traps had a distinct species composition when compared to all perches’ distances, and among perches there were sig- nificant differences between perches at 5 m when compared with 25 and 50 m, which were similar to each other (Table 3). Regarding the seed rain, the GLMM indicates significant differences between forest seed traps and perches at differ- ent distances to the forest fragment and among perches at all distances (Table 2 and Fig. 3c). 3.1 Seed rain Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 63 Figure 3. Graphical representation of the variation in (a) the abundance of seed rain under the different structures; (b) seed rain richness under the different structures; (c) the abundance of seed rain under artificial perches at 5, 25, and 50 m from the edge of the forest fragment; and (d) richness of seed rain under artificial perches at 5, 25, and 50 m from the edge of the forest fragment. Significant differences between groups at p < 0.05 are denoted by different letters. Figure 3. Graphical representation of the variation in (a) the abundance of seed rain under the different structures; (b) seed rain richness under the different structures; (c) the abundance of seed rain under artificial perches at 5, 25, and 50 m from the edge of the forest fragment; and (d) richness of seed rain under artificial perches at 5, 25, and 50 m from the edge of the forest fragment. Significant differences between groups at p < 0.05 are denoted by different letters. Table 1. GLMM output from effects of treatments on abundance and richness of seeds sampled at the Cascata Experimental Station, southern Brazil. SE: standard error; Treatment C: control seed traps. The values are on the log-link scale. Values in bold indicate signifi- cant differences. GLMM showed a significant difference between forest seed traps and perches at 25 and 50 m but not with perches at 5 m (Table 2). Richness among artificial perches was significantly different between perches at 5 m and perches at 25 and 50 m, which showed no significant differences (Fig. 3d). Perches at 25 m from the forest edge had the highest number of species (27.50 ± 4.34), followed by perches at 50 m (27.25 ± 1.70) and by perches at 5 m (19 ± 1.41). 3.1 Seed rain A total of 24 655 seeds were sampled, distributed in 23 fam- ilies and 34 species of plants. For 6 taxa, it was possible to reach only the family or genus, in addition to 11 mor- phospecies, totaling 51 different diaspores (Appendix A). For morphospecies, it was not possible to identify their dispersal syndrome. The most abundant species in the seed rain were Solanum americanum (n = 9794), Ficus organensis (2993), Pittosporum undulatum (2835), and Schinus terebinthifolia (2157). ) To assess the richness and abundance of seeds, we fitted a generalized linear mixed model (GLMM), using the in- dividual samples of each treatment. As these variables cor- respond to counts (i.e., number of species and number of seeds, and to account for overdispersion in the models resid- uals, we fitted negative binomial models as they showed better fits and lower deviance than Poisson models (Zuur et al., 2009). We fitted two different models for each response variable: one model considering the treatment (control seed traps, forest seed traps, and artificial perches) as a fixed vari- able and one model considering the distance of forest seed traps (5 m) and the distinct distances between perches and the forest fragment as a fixed variable. In order to account for non-independence of repeated samples from the same seed trap, we considered each seed trap as a random effect in the GLMMs. We plotted the values of richness and abundance of seeds in artificial perches, forest seed traps, control seed traps, and the distinct distances of perches (5, 25, and 50 m) in box plots. After, we used multiple comparisons based on a Under the artificial perches (P), 22 892 seeds were de- posited (mean ± SD, 1907.25 ± 1347.53) with a richness of 46 species (24.58 ± 4.87); in the control seed traps (C), 256 seeds (21 ± 34.23) of 5 species (1.58 ± 1.08) were deposited; and in the forest seed traps (F), 1507 seeds (374.5 ± 323.04) of 29 species (17 ± 3.36) were deposited. According to GLMM analysis, there was a significant difference in seed abundance and richness between control seed traps (C), for- est seed traps, and artificial perches (Table 1 and Fig. 3a and b). For both response variables, higher values occurred in artificial perches, followed by forest seed traps and control seed traps. https://doi.org/10.5194/we-22-59-2022 Web Ecol., 22, 59–74, 2022 T. 3.1 Seed rain The largest seed depo- sition occurred at a distance of 50 m (3060 ± 1575) from the forest fragment, followed by 25 m (1897 ± 813) and 5 m (765 ± 86). Considering richness among artificial perches at different distances and seed traps in the forest fragment, the There was no significant difference in the diversity profile between the estimated richness (q = 0) due to the overlap of the intervals. The forest seed traps presented higher eq- uitability and lower dominance (q1, q2, and q3), indicating a greater diversity of the plant community in the forest area compared to the other treatments (Fig. 5), which were similar Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 64 Table 2. GLMM output from effects of forest seed traps and dis- tances of artificial perches (5, 25, and 50 m) on abundance and rich- ness of seeds sampled at the Cascata Experimental Station, southern Brazil. SE: standard error. The values are on the log-link scale. Val- ues in bold are significant. Figure 5. Diversity profile of perches at 5, 25, and 50 m from the edge of the forest fragment and forest seed traps sampled at the Cascata Experimental Station, southern Brazil. Estimate SE z value Pr(> |z|) Abundance Intercept (forest seed trap) 5.926 0.225 26.34 < 0.001 Perches 5 m 0.714 0.318 2.249 0.024 Perches 25 m 0.908 0.317 2.867 0.004 Perches 50 m 1.386 0.317 4.377 < 0.001 Richness Intercept (forest seed trap) 2.833 0.113 25.12 < 0.001 Perches 5 m 0.111 0.152 0.731 0.465 Perches 25 m 0.369 0.144 2.568 0.010 Perches 50 m 0.361 0.145 2.491 0.012 Figure 4. Non-metric multidimensional scaling (stress: 0.076) or- dination based on Bray–Curtis dissimilarity of seed community de- posited under artificial perches and forest seed traps sampled at the Cascata Experimental Station, southern Brazil. Figure 5. Diversity profile of perches at 5, 25, and 50 m from the edge of the forest fragment and forest seed traps sampled at the Cascata Experimental Station, southern Brazil. at all distances and structures, with higher deposition on perches at 50 m. As a climber plant, Lonicera japonica oc- curred predominantly in the forest (96 %) and was absent in control seed traps. 3.2 Bird community We observed 24 species from 12 bird families using artificial perches during the experiment, and several eating habits were recognized (Appendix B). Of this total, 10 are potentially seed dispersers (Table 4). Of the 80 h of focal observation in artificial perches, 45.85 % of the time at least one bird was using the structures, corresponding to 36 h and 41 min of use. Of this total, the species Tyrannus savanna, T. melancholi- cus, Zonotrichia capensis, Pitangus sulphuratus, and Empi- donomus varius represented 97 % of the length of stay on the structures, with Pitangus sulphuratus being the only species that used perches throughout the year. Figure 4. Non-metric multidimensional scaling (stress: 0.076) or- dination based on Bray–Curtis dissimilarity of seed community de- posited under artificial perches and forest seed traps sampled at the Cascata Experimental Station, southern Brazil. The Tyrannidae family was most frequently observed dur- ing the experiment. Five of the six species that used the struc- tures are considered seed dispersers. Tyrannus savanna and T. melancholicus occurred in the experiment only in spring and summer as they are migratory birds to the region (Timm and Timm, 2016). between the different distances. The high dominance of some species in the seed rain was observed in artificial perches, in which 79 % of the seeds were restricted to five species in the perches at 50 m (Solanum americanum, Ficus orga- nensis, Pittosporum undulatum, Myrsine spp. 1, and Schi- nus terebinthifolia), and 71 % of the seeds came from only three species, a fact that is repeated for the perches at 5 m (Solanum americanum, Schinus terebinthifolia, and Pittospo- rum undulatum). The most abundant species for the perches at 25 m were Solanum americanum, Pittosporum undulatum, and Schinus terebinthifolia. Web Ecol., 22, 59–74, 2022 Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and forest seed traps, at different distances (p < 0.05). Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and forest seed traps, at different distances (p < 0.05). Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and for at different distances (p < 0.05). Treatments 25 m 50 m Forest seed traps 5 m F3,12 = 2.666 (p = 0.029)∗ F3,12 = 5.382 (p = 0.027)∗ F3,12 = 4.615 (p = 0.027)∗ 25 m – F3,12 = 1.198 (p = 0.225) F3,12 = 6.078 (p = 0.030)∗ 50 m – – F3,12 = 6.748 (p = 0.027)∗ ∗Significant difference. ∗Significant difference. ∗Significant difference. Table 4. Bird species observed using artificial perches that could potentially act as seed dispersers. Family/species Common name Feeding Total visit habit duration (h:min) Cuculidae Guira guira (Gmelin, 1788) Guira cuckoo Omnivore 00:06 Passerellidae Zonotrichia capensis (Statius Muller, 1776) Rufous-collared sparrow Omnivore 07:04 Picidae Colaptes campestris (Vieillot, 1818) Campo flicker Omnivore 00:30 Turdidae Turdus amaurochalinus Cabanis, 1850 Creamy-bellied thrush Omnivore 00:13 Turdus rufiventris Vieillot, 1818 Rufous-bellied thrush Omnivore 00:01 Tyrannidae Empidonomus varius (Vieillot, 1818) Variegated flycatcher Omnivore 01:21 Myiarchus swainsoni Cabanis & Heine, 1859 Swainson’s flycatcher Omnivore 00:04 Pitangus sulphuratus (Linnaeus, 1766) Great kiskadee Omnivore 01:36 Tyrannus melancholicus Vieillot, 1819 Tropical kingbird Omnivore 12:47 Tyrannus savana Daudin, 1802 Fork-tailed flycatcher Omnivore 12:53 Table 4. Bird species observed using artificial perches that could potentially act as seed dispersers. The farther the artificial perches were from the forest frag- ment edge, the more abundant and richer in species the seed rain was. These increasing values of richness and abundance of seeds may be related to the landscape features that provide several feeding resources to the birds with generalist habits that used the perches to move across the landscape. Distinct landscape elements, such as isolated trees, riparian forests, and forest patches in different successional stages, can en- hance the dispersal of seeds (Zwiener et al., 2014). During the study, we observed the movement of birds to the perches, mainly crossing the open areas instead of using the closer forest fragment, although some birds accessed the fragment after having used the artificial perches. This pattern probably contributed to the greater abundance of seeds in the more dis- tant perches embedded in the open matrix of the studied area. https://doi.org/10.5194/we-22-59-2022 4.1 Seed rain We showed that artificial perches are efficient structures for attracting seed dispersers, increasing the richness and abundance of seed species (≈90× more seeds in artificial perches) at least up to a distance of 50 m from the forest frag- ment. The diversity of seeds is higher inside the forest frag- ment, and the species composition in the seed rain differed between the forest fragment and perches but was similar be- tween perches at 25 and 50 m from the edge of the forest. We showed that artificial perches are efficient structures for attracting seed dispersers, increasing the richness and abundance of seed species (≈90× more seeds in artificial perches) at least up to a distance of 50 m from the forest frag- ment. The diversity of seeds is higher inside the forest frag- ment, and the species composition in the seed rain differed between the forest fragment and perches but was similar be- tween perches at 25 and 50 m from the edge of the forest. There were two invasive plant species in the experiment, namely Pittosporum undulatum (2835 seeds) and Lonicera japonica (61 seeds). Pittosporum undulatum represented 11.49 % of the total seed rain in the experiment, occurring https://doi.org/10.5194/we-22-59-2022 Web Ecol., 22, 59–74, 2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 65 Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and forest seed traps, at different distances (p < 0.05). Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and forest seed traps, at different distances (p < 0.05). This pattern is even more marked for the abundance of seeds because all distances were different to each other, but in this case artificial perches at 50 m had more deposited seeds. The different seed composi- tions between the perches near and far from the forest frag- ment depend on several factors, such as the surrounding land- scape with the source of propagules and resources for birds species (both in quality and in quantity), the dispersing birds, and the distance from artificial perches perceived by birds (Dias et al., 2014; Zwiener et al., 2014; Alencar and Guil- herme, 2020; Iguatemy et al., 2020). When we consider the equitability of the species, beyond richness and abundance, the artificial perches at farther dis- tances presented high dominance despite presenting a higher number of seeds and species reflecting a low diversity com- pared to seed traps in the forest fragment, which shows a greater diversity. The forest fragment presents a more het- erogeneous structure, with several ecological niches and with greater diversity of zoochoric birds, which do not use ar- tificial perches but fulfill their role of dispersers within the forest fragment. In tropical forests, up to 90 % of plants de- pend on birds to be dispersed, thus forming diverse and com- plex seed dispersal networks characterized by a large num- ber of bird species and interactions with plants (Emer et al., 2020). Artificial perches may act as a filter for the arrival of diaspores because the shape, ramifications, and heights of these structures will influence differently their use by dis- tinct bird species that disperse small seeds (McClanahan and Wolfe, 1987; Holl, 1998). Another factor that limits the effi- ciency of this technique is seed predation by rodents, insects, and pathogens, decreasing the rates of seedling emergence in open areas, as well as soil compaction and competition with grasses to establish saplings (Holl et al., 2000; Almeida et al., 2016). g y We emphasize the large seed deposition of Pittosporum undulatum, an invasive alien species of Australian origin (Goodland and Healey, 1996; IABIN-I3N, 2019), demon- strating a negative aspect of the use of artificial perches in landscapes with the presence of invasive plant species, since there is no selectivity of seeds deposited by the avi- fauna. Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and forest seed traps, at different distances (p < 0.05). In addition, the availability of landing structures in fields fa- vors the attraction of birds and the increase in seed deposi- tion on the site, promoting a greater seed rain in these places than in open areas because these structures provide shelter, rest, and foraging for birds (Holl, 1998; Graham and Page, 2012; Alencar and Guilherme, 2020). Thus, perches func- tion as stepping stones, connecting close fragments that favor gene flow (Sant’anna, 2011; Pustkowiak et al., 2021). Nevertheless, the efficiency of seed rain at distinct dis- tances from the forest edge encompasses several factors like (i) fruit and seed availability, (ii) the presence of forest frag- ments and isolated trees in the landscape, (iii) which seed dispersers there are in the region, (iv) the distribution of perches in the landscape, and (v) visual acuity of the dis- persers (Brancalion et al., 2015; Almeida et al., 2016; Carlo and Morales, 2016). Our results corroborate studies that eval- uate the use of perches across different distances (Alencar and Guilherme, 2020) but contrast with other studies that did find differences between perches near or far from forest frag- ments (Dias et al., 2014; Iguatemy et al., 2020). One study (Zwiener et al., 2014) found differences for plant species richness but not for abundance among different perch dis- tances. This shows that there is no marked pattern for this Web Ecol., 22, 59–74, 2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 66 kind of study; results instead depend on a set of factors, like spatial scale evaluated, type of ecosystem, and the biotic and abiotic variables analyzed. However, the use of artificial perches is effective to overcome the barrier of seed arrival in open habitats compared to studies without structures to at- tract fauna (Cubiña and Aide, 2001; Piotto et al., 2019). fer natural perches, using the edge trees and depositing their seeds in these places. This fact was corroborated in our study due to differences in richness and abundance and due to the formation of different seed species communities. However, the forest seed community had greater diversity. y g y Seed rain abundance and richness show the same general pattern, with more distant perches having higher values than perches at 5 m and forest seed traps. Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and forest seed traps, at different distances (p < 0.05). The danger of biological invasion in restoration pro- grams is worrisome, as they prevent ecological succession and tend to be highly aggressive (Tomazi et al., 2010). Pit- tosporum undulatum is an abundant species in the studied region with a density of 1492 individualsha−1 in nearby for- est fragments (Karam and Cardoso, 2010), besides several isolated individuals in the landscape. This expressive bioin- vasion is reflected in the reproduction ability of the species with about 20 and 40 seeds per fruit (Goodland and Healey, 1996) and with a long fructification period, mainly in periods of scarcity of other fruit resources (the seeds were recorded across 8 consecutive months, March to October, in the artifi- cial perches). Pitangus sulphuratus, an abundant and gener- alist bird species found in the region, is an important agent in the dispersion and invasion of Pittosporum undulatum, hav- ing a positive effect on the germination of this species after the defecation (Freitas et al., 2020). In addition, the genus Turdus is considered another disperser of Pittosporum undu- latum in the Atlantic Forest (Campagnoli et al., 2016). Thus, some birds prefer to feed on exotic species instead of native species (Mokotjomela et al., 2013; Maruyama et al., 2016). On the other hand, the low richness and high dominance by generalist birds, which were observed using artificial perches, are relatively expectable because few species can disperse seeds in both open and forested areas (Pizo and San- tos, 2011). In addition, the high representativeness of some plant species in artificial perches may be due to the large number of fruits and seeds that these plants provide, their small fruit size, and visibility, besides harvest season and the time in which they are available for the bird fauna (Je- sus and Monteiro-Filho, 2007; Pascotto, 2007). This is the case for Schinus terebinthifolia, Ficus organensis, Pittospo- rum undulatum, and Solanum americanum, which are abun- dant and common species in the landscape and at the edge of the fragments and present long fruiting periods, being im- portant sources of food resources in times of scarcity, such as in winter (Jesus and Monteiro-Filho, 2007; Vissoto et al., 2019). Other studies using artificial perches also found exotic plant species in the seed rain, as did Marcuzzo et al. Web Ecol., 22, 59–74, 2022 Table 3. One-way statistical test PERMANOVA, concerning the composition of seed rain in perches (5, 25, and 50 m) and forest seed traps, at different distances (p < 0.05). (2013) in the restoration of urban fragments, with the presence of Melia azedarach and Psidium guajava being attributed to the high presence of these species in urban afforestation. The deposition of Morus nigra and P. guajava was observed under artificial perches in an ecological restoration project in the Atlantic Forest (Almeida et al., 2016). Due to the high abundance of Pittosporum undulatum seeds (the third largest in the present study), care should be taken in the use This dominance of dispersing birds and seeds contributed to the formation of distinct plant communities in the study area. The forest seed trap community possibly differed from the others due to the composition of plants and dispersers be- ing different from artificial perches in the open area. Forest specialist birds rarely leave forest fragments, and the few that go into open areas do it for short periods of time (Da Silva et al., 1996). No forest specialist birds were observed using the perches in the open area, probably because the birds pre- Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 67 In this work we aimed to understand the effectiveness of artificial perches as a restoration technique in assisting the dispersal of seeds by birds into degraded areas. Future studies will further benefit from carrying out bird census inside the forest fragment to compare with the community of birds us- ing artificial perches, as well as assessing the use of perches at different distance by distinct bird species. Furthermore, following germination and seedling recruitment success, as well as their relationship with seed predation in open areas (Bocchese et al., 2008), will allow a better assessment of the restoration success of artificial perches. Finally, using more than one nucleation technique and increasing replication will also allow us to reach more robust results. of artificial perches as an ecological restoration technique in this region. Artificial perches can be replaced by other techniques (i.e., plant mat transplantation, islets of seedlings, direct seeding, and topsoil seed banks of preserved forest fragments) that will not promote the dispersion of invasive species; otherwise the situation requires constant monitoring and control of seeds or seedlings of this species and other invasive alien species that may arise during restoration. 4.2 Bird community All species observed using artificial perches have generalist habits for both habitat and feed (Sick, 1997; Francisco and Galetti, 2002; Pizo, 2004; Jesus and Monteiro-Filho, 2007; Howe, 2017). This group of birds has great importance in ecological restoration, especially in the dispersion of seeds over long distances, because the birds have a great capacity to explore many resources (González-Castro et al., 2019; Ca- margo et al., 2020; Campos-Silva and Piratelli, 2021). https://doi.org/10.5194/we-22-59-2022 5 Conclusion We showed that artificial perches are effective structures to increase seed rain in open areas. We found that birds from the Tyrannidae family make the greatest contribution to the restoration of this degraded agricultural landscape. The di- aspores come not only from the nearest forest fragment but also from trees scattered in the landscape or at the edge of the fragments, thus providing a more diverse and heteroge- neous seed rain and contributing to breaking the first barrier to ecological restoration, which is the arrival of diaspores in the degraded area. Nonetheless, the use of artificial perches in ecological restoration should be used with caution due to the potential to contribute to the dispersion of seeds and expansion of invasive plant species. This calls for the use of other restoration techniques or the specific monitoring of such species. Among generalist birds, the Tyrannidae family stands out, representing almost the total length of permanence in the artificial perches, using these structures for rest and forag- ing and having an overview of the area to search for food. Tyranids are able to eat fruits, poultry, and also insects, for- aging in forest edges and more open areas and being able to disperse seeds from forest fragments into open habitats (Guedes et al., 1997; Timm and Timm, 2016). Thus, it is pos- sible that they had contributed with seeds from other forest fragments and isolated trees in the landscape. This behavior was observed, mainly, for T. savanna, T. melancholicus, Pi- tangus sulphuratus, and E. varius, which captured insects in mid-flight and returned to the perches, defecating under the structures during rest (personal observation). Several studies using artificial perches have reported the presence of gener- alist species and have attributed the high rate of seed deposi- tion to the family Tyrannidae (Guedes et al., 1997; Bocchese et al., 2008; Athiê and Dias, 2016). According to Camargo et al. (2020), the species Pitangus sulphuratus and T. melan- cholicus accounted for almost half of all bird activity in the ecological restoration experiment. Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 68 Appendix A Table A1. Plant species sampled in seed rain structures (artificial perches, control seed traps, and forest seed traps) in southern Brazil. Habits: tree (Tree), palm tree (Palm), shrub (Shrub), climbing herb (Herb/climb), and hemiparasitic plant (Hemi). Table A1. ∗Alien species. 5 Conclusion Plant species sampled in seed rain structures (artificial perches, control seed traps, and forest seed traps) in southern Brazil. Habits: tree (Tree), palm tree (Palm), shrub (Shrub), climbing herb (Herb/climb), and hemiparasitic plant (Hemi). Family/species Common local name Habit Anacardiaceae Lithraea brasiliensis Marchand Aroeira-brava Tree Schinus terebinthifolia Raddi Aroeira-vermelha Tree Aquifoliaceae Ilex brevicuspis Reissek Congonha Tree Arecaceae Syagrus romanzoffiana (Cham.) Glassman Jerivá Palm Cannabaceae Trema micrantha (L.) Blume Grandiúva Tree Caprifoliaceae Lonicera japonica Thunb.∗ Madresilva Herb/climb Erythroxylaceae Erythroxylum argentinum O.E.Schulz Cocão Tree Euphorbiaceae Alchornea triplinervia (Spreng.) Müll.Arg. Tapiá Tree Lamiaceae Vitex megapotamica (Spreng.) Moldenke Tarumã-preto Tree Lauraceae Nectandra megapotamica (Spreng.) Mez Canela-merda Tree Ocotea puberula (Rich.) Nees Canela-guaicá Tree Loranthaceae Tripodanthus acutifolius (Ruiz & Pav.) Tiegh. Erva-de-passarinho Hemi Melastomataceae Miconia hyemalis A.St.-Hil. & Naudin Pixirica Shrub Miconia pusilliflora (DC.) Naudin Pixirica Shrub Moraceae Ficus organensis (Miq.) Miq. Figueira-de-folha- miúda Tree Myrtaceae Blepharocalyx salicifolius (Kunth) O.Berg Murta Tree Eugenia uniflora L. Pitanga Tree Psidium cattleianum Sabine Araçá Tree Passifloraceae Passifloraceae sp. Maracujá Herb/climb Pittosporaceae Pittosporum undulatum Vent.∗ Cafezinho Tree Web Ecol., 22, 59–74, 2022 69 Continued. Family/species Common local name Habit Primulaceae Myrsine spp. 1 Capororoca Tree Myrsine spp. 2 Capororoca Tree Rubiaceae Faramea montevidensis Mart. Café-do-mato Shrub Psychotria carthagenensis Jacq. Café-do-mato Shrub Psychotria leiocarpa Cham. & Schltdl. Café-do-mato Shrub Rutaceae Zanthoxylum rhoifolium Lam. Mamica-de-cadela Tree Salicaceae Banara parviflora (A.Gray) Benth. Farinha-seca Tree Casearia decandra Jacq. Guaçatunga Tree Casearia sylvestris Sw. Chá-de-bugre Tree Sapindaceae Allophylus edulis (A.St.-Hil. et al.) Hieron. ex Niederl. Chal-chal Tree Matayba elaeagnoides Radlk. Camboatá-branco Tree Solanaceae Cestrum strigilatum Ruiz & Pav. Coerana Shrub Solanaceae sp. 1 Solanaceae sp. 2 Solanaceae sp. 3 Solanum americanum Mill. Juá Shrub Symplocaceae Symplocos uniflora (Pohl) Benth. Sete-sangrias Tree Verbenaceae Citharexylum montevidense (Spreng.) Moldenke Tarumã-de-espinho Tree Citharexylum myrianthum Cham. Tucaneira Tree Lantana camara L. Camará Shrub Morphospecies (15) https://doi.org/10.5194/we-22-59-2022 ∗Potential seed dispersers. Table A1. Continued. Table A1. Continued. Morphospecies (15) Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area T. Castilhos de Freitas et al.: Artificial perches increase bird-mediated seed rain in agricultural fallow area 70 Appendix B Table B1. Birdlife observed using artificial perches in southern Brazil. Family/species Common name Fee Accipitridae Rupornis magnirostris (Gmelin, 1788) Roadside hawk Car Cuculidae Guira guira (Gmelin, 1788)∗ Guira cuckoo Om Fringillidae Spinus magellanicus (Audubon, 1839) Hooded siskin Gra Furnariidae Furnarius rufus (Gmelin, 1788) Rufous hornero Ins Hirundinidae Progne tapera (Vieillot, 1817) Brown-chested martin Ins Icteridae Agelaioides badius (Vieillot, 1819) Grayish baywing Om Molothrus bonariensis (Gmelin, 1789) Shiny cowbird Gra Pseudoleistes guirahuro (Vieillot, 1819) Yellow-rumped marshbird Om Parulidae Geothlypis aequinoctialis (Gmelin, 1789) Masked yellowthroat Om Passerellidae Ammodramus humeralis (Bosc, 1792) Grassland sparrow Gra Zonotrichia capensis (Statius Muller, 1776)∗ Rufous-collared sparrow Om Picidae Colaptes campestris (Vieillot, 1818)∗ Campo flicker Om Thraupidae Embernagra platensis (Gmelin, 1789) Great Pampa-finch Gra Sicalis flaveola (Linnaeus, 1766) Saffron finch Gra Sporophila caerulescens (Vieillot, 1823) Double-collared seedeater Gra Volatinia jacarina (Linnaeus, 1766) Blue-black grassquit Om Turdidae Turdus amaurochalinus Cabanis, 1850∗ Creamy-bellied thrush Om Turdus rufiventris Vieillot, 1818∗ Rufous-bellied thrush Om Tyrannidae Table B1. Birdlife observed using artificial perches in southern Brazil. Table A1. Continued. Family/species Common name Feed habit Accipitridae Rupornis magnirostris (Gmelin, 1788) Roadside hawk Carnivore Cuculidae Guira guira (Gmelin, 1788)∗ Guira cuckoo Omnivore Fringillidae Spinus magellanicus (Audubon, 1839) Hooded siskin Granivore Furnariidae Furnarius rufus (Gmelin, 1788) Rufous hornero Insectivorous Hirundinidae Progne tapera (Vieillot, 1817) Brown-chested martin Insectivorous Icteridae Agelaioides badius (Vieillot, 1819) Grayish baywing Omnivore Molothrus bonariensis (Gmelin, 1789) Shiny cowbird Granivore Pseudoleistes guirahuro (Vieillot, 1819) Yellow-rumped marshbird Omnivore Parulidae Geothlypis aequinoctialis (Gmelin, 1789) Masked yellowthroat Omnivore Passerellidae Ammodramus humeralis (Bosc, 1792) Grassland sparrow Granivore Zonotrichia capensis (Statius Muller, 1776)∗ Rufous-collared sparrow Omnivore Picidae Colaptes campestris (Vieillot, 1818)∗ Campo flicker Omnivore Thraupidae Embernagra platensis (Gmelin, 1789) Great Pampa-finch Granivore Sicalis flaveola (Linnaeus, 1766) Saffron finch Granivore Sporophila caerulescens (Vieillot, 1823) Double-collared seedeater Granivore Volatinia jacarina (Linnaeus, 1766) Blue-black grassquit Omnivore Turdidae Turdus amaurochalinus Cabanis, 1850∗ Creamy-bellied thrush Omnivore Turdus rufiventris Vieillot, 1818∗ Rufous-bellied thrush Omnivore Tyrannidae Empidonomus varius (Vieillot, 1818)∗ Variegated flycatcher Omnivore Myiarchus swainsoni Cabanis & Heine, 1859∗ Swainson’s flycatcher Omnivore Pitangus sulphuratus (Linnaeus, 1766)∗ Great kiskadee Omnivore Tyrannus melancholicus Vieillot, 1819∗ Tropical kingbird Omnivore Tyrannus savana Daudin, 1802∗ Fork-tailed flycatcher Omnivore Xolmis irupero (Vieillot, 1823) White monjita Insectivorous ∗Potential seed dispersers https://doi.org/10.5194/we-22-59-2022 Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 71 T. 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Web Ecol., 22, 59–74, 2022 https://doi.org/10.5194/we-22-59-2022 74 Zwiener, V. P., Cardoso, F. C., Padial, A. A., and Marques, M. C.: Disentangling the effects of facilitation on restora- tion of the Atlantic Forest, Basic Appl. Ecol., 15, 34–41, https://doi.org/10.1016/j.baae.2013.11.005, 2014. Zuur, A., Ieno, E., Walker, N., Saveliev, A. and Smith, G.: Mixed Ef- fects Models and extensions in ecology with R, series: Statistics for Biology and Health, Springer, https://doi.org/10.1007/978-0- 387-87458-6, 2009. https://doi.org/10.5194/we-22-59-2022
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https://digibug.ugr.es/bitstream/10481/77586/1/118820-Text%20de%20l%27article-185326-1-10-20090629.pdf
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La notion de handicap et ses transformations à travers les classifications internationales du handicap de l'OMS, 1980 et 2001
Dynamis
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cc-by
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La notion de handicap et ses transformations à travers les classifications internationales du handicap de l’OMS, 1980 et 2001 Myriam Winance INSERM, U750-CERMES, Villejnif, France; CNRS, UMR8169-CERMES, Villejnif, France; EHESS, Paris, France, Université Paris XI, Paris. France; winance@vjf.cnrs.fr Dynamis [0211-9536] 2008; 28: 377-406 Fecha de recepción: 4 de septiembre de 2007 Fecha de aceptación: 21 de enero de 2008 SUMARIO: 1.—La Classification Internationale des Handicaps: Deficiences, incapacites, desavantages. 1.1.–Des causes aux conséquences des maladies. 1.2.—De la maladie à la personne malade. D’un point de vue médical à un point de vue social. 1.2.1.—La maladie. 1.2.2.—La déficience. 1.2.3.—L’incapacité. 1.2.4.—Le désavantage. 1.3.—La personne malade d’un point de vue social. 2.—De la CIH à la Classification Internationale du Fonctionnement, du handicap et de la santé. 2.1.—Controverse autour de la CIH. 2.2.—Les modèles alternatifs. 2.2.1.—Le modèle social du handicap. 2.2.2.—Le modèle interactif québécois. 2.2.3.—Les modèles alternatifs: des conséquences aux causes. 2.3.—Le processus de révision de la CIH. 3.—La Classification Internationale du Fonctionnement, du handicap et de la santé. 3.1.—Des conséquences des maladies à la santé. 3.2.—Un modèle «biopsychosocial» pour décrire la santé, le handicap et le fonctionnement. 3.3.—Le handicap comme «défaut de fonctionnement». 4.—Conclusion. RESUME: Dans cet article, l’auteur analyse l’évolution de la notion de handicap en s’intéressant aux deux classifications du handicap publiées par l’OMS, en 1980 puis en 2001. La «Classification Internationale du Handicap: déficiences, incapacités et désavantages. Un manuel de classification des conséquences des maladies», de 1980, prolonge la «Classification Internationales des Maladies»; le handicap y désigne les conséquences sociales des maladies. Dans la «Classification Internationale du Fonctionnement, du Handicap et de la Santé», publiée en 2001, le handicap désigne un «défaut de fonctionnement» et est associé à la notion de santé. L’auteur s’intéresse à la question de la norme de référence utilisée dans les classifications pour définir le handicap. MOTS CLEFS: Handicap, classification, OMS, santé, normes. KEYWORDS: Disability, classification, WHO, health, norms. 378 Myriam Winance Dynamis 2008; 28: 377-406 L’utilisation de la notion de handicap pour désigner les personnes atteintes de déficiences est récente. Elle émerge dans les pays occidentaux à la fin du 19ème siècle 1 et se construit tout au long du 20ème siècle à la fois comme une catégorie administrative et comme une manière de se représenter et de traiter les personnes atteintes d’une déficience. Elle est liée à la mise en place progressive de l’Etat Providence et au processus de définition des droits sociaux 2. En effet, suite au phénomène des accidents du travail à la fin du 19ème siècle (dans un contexte d’industrialisation), puis à la première guerre mondiale (dont de nombreux soldats reviennent mutilés), le dommage, qui se traduit par une incapacité de travail, est interprété comme le résultat d’une activité collective (l’activité industrielle ou la défense de la patrie). En tant que tel, il est considéré comme ouvrant droit à une réparation collective. Cette réparation a d’abord la forme d’une indemnisation 3. Puis, suite à la première guerre mondiale et à la pénurie de travailleurs qui en résulte, une évolution s’opère. Réparer, c’est aussi compenser l’incapacité via la prothèse et les pratiques de réadaptation, pour permettre la réintégration du mutilé de guerre dans le monde du travail. Les pratiques de réadaptation et de rééducation qui se développent tout au long du 20ème siècle sont, pour les personnes atteintes de déficiences, une alternative à l’assistance. Mais elles sont liées à un processus de normalisation en termes d’alignement sur la norme sociale de l’homme valide (travailler, être indépendant économiquement, avoir une famille). D’où une transformation des représentations et des définitions concernant les personnes atteintes de déficiences. Le terme «handicap» se substitue progressivement aux termes tels qu’invalides, infirmes, mutilés, idiots… et, durant les années 1970, s’impose comme catégorie unifiant l’ensemble des personnes atteintes d’une déficience, quelle que soit sa nature et son origine. Il met l’accent sur les conséquences sociales dues à la déficience, sur le désavantage qui en découle pour la personne. Il désigne l’écart à la norme sociale (celle de «l’homme moyen valide»), elle-même définie en termes de performances sociales, écart provoqué par la possession d’une déficience. Or, 1. Cooter, Roger. The disabled body. In: Cooter, Roger; Pickstone, John, eds. Medicine in the twentieth century. Amsterdam: Hartwood Academic Publishers; 2000, p. 367-383. 2. Ewald, François. L’Etat providence. Paris: Grasset; 1986. 3. En outre, elle ne concerne qu’une catégorie de personnes, les accidentés du travail puis les mutilés de guerre. Les autres personnes atteintes de déficiences, relèvent elles du champ de l’assistance (en France, ces personnes sont souvent placées dans des hospices). La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 cette représentation des personnes porteuses de déficiences, couverte par la notion «handicap», ainsi que les pratiques et les politiques qui la concrétisent, ont conduit à une mise à l’écart des personnes handicapées, implicite ou explicite. Implicite, lorsque l’intégration des personnes handicapées se fait via l’obtention d’un statut particulier de «personne handicapée» qui la stigmatise. Explicite, lorsque l’intégration se fait via des établissements spécialisés (en France, ceux-ci connaîtront un important développement). D’où, une critique de ces représentations et pratiques, développée dans les années 1970 par les personnes handicapées elles-mêmes. En effet, durant les années 1970 4, les attentes des personnes handicapées évoluent, elles revendiquent le droit de participer à la vie sociale et de contrôler leur vie, elles contestent les pratiques et les politiques existantes qui les excluent au lieu de les inclure et font d’elles des sujets passifs soumis à la décision des professionnels. Elles critiquent la conception médicale et individuelle du handicap définissant celui-ci comme le résultat d’une déficience individuelle, devant être compensée. Elles s’opposent à la vision négative du handicap, faisant de celui-ci une tragédie personnelle. Dans les pays anglo-saxons, elles se rassemblent dans des mouvements et se mobilisent contre la discrimination, pour la défense de leurs droits, pour une société accessible et inclusive. Ces mouvements proposent des modèles alternatifs de définition du handicap, notamment le modèle social du handicap, base de leur action politique qui vise à transformer la société (et non plus à adapter l’individu) 5. Ainsi, durant les années 1970 et 1980, sous l’impulsion d’acteurs de plus en plus divers, la notion de handicap telle qu’elle a été définie au cours du 20ème siècle, les pratiques et les politiques auxquelles elle est liée, 4. Cette période est par ailleurs une période d’évolution générale avec l’émergence de différents mouvements sociaux, un contexte social et économique favorable, etc... Au point de vue des théories sociales, cette période est également féconde. Les travaux de Foucault d’un côté, ceux de la sociologie de la déviance, de l’autre, seront appropriées par les activistes de différents mouvements (féminisme, gay, ethniques, handicap…) comme levier de transformation politique. Foucault, Michel. La volonté de savoir. Paris: Gallimard; 1976; Becker, Howard S. Outsiders; studies in the sociology of deviance. London: Free Press of Glencoe; 1963; Goffman, Erving. Stigma. Notes on the managements of spoiled identity. Harmondsworth: Pelican Book; 1968. 5. Barnes, Colin; Mercer, Geof; Shakespeare, Tom. Exploring disability. A sociological introduction. Cambridge: Polity Press; 1999. Oliver, Mike. Understanding disability. From theory to practice. London: Macmillan Press; 1996. Shakespeare, Tom, ed. The Disability reader. Cassell: London and New York; 1998. 379 380 Myriam Winance Dynamis 2008; 28: 377-406 sont au centre de débats, internationaux et nationaux, qui conduisent à un éclatement des modèles de définition du handicap 6. Dans cet article, j’analyse cette évolution de la notion de handicap en me focalisant sur les deux classifications du handicap produites par l’OMS. En 1980, l’OMS publie une première classification en anglais sous le titre: International Classification of Impairments, Disabilities, and Handicaps. A manual of classification relating to the consequences of disease 7, rapidement critiquée par les différents acteurs évoqués ci-dessus. D’où un long processus de révision, qui aboutit, en 2001, à un nouveau texte la Classification internationale du fonctionnement, du handicap et de la santé (International Classification of Functioning, Disability and Health), publiée en plusieurs langues (notamment anglais 8, français 9, espagnol 10). L’intérêt de ces deux textes produits par l’OMS est de cristalliser chacun une conception du handicap, résultat d’une évolution historique. La première classification, publiée en 1980, se comprend dans la lignée du modèle réadaptatif qui s’est mis en place tout au long du 20ème siècle. La seconde, publiée en 2001, témoigne du débat et de l’évolution ayant eu lieu durant les 20 dernières années du siècle autour de la notion de handicap. Le changement de titre indique d’ailleurs l’un des déplacements majeurs qui s’est opéré en 20 ans: d’une description des conséquences des maladies, on est passé à une description de la santé. Le texte de 1980 liait la notion de handicap à celle de maladie, définissant le handicap en termes de conséquences sociales des maladies; le texte de 2001 lie la notion de handicap à celle de santé, et les définit en termes de fonctionnement. D’autres auteurs se sont intéressés aux classifications de l’OMS 11, mais sans comparer véritablement les deux textes; mon objectif 6. Altman, M. Barbara. Disability definitions, models, classification schemes, and applications, In: Albrecht, L. Gary; Seelman, D. Katherine; Bury, Mike, eds. Handbook of disability studies. Thousand Oaks. London-New Delhi: Sages; 2001, p. 97-122. 7. WHO. International Classification of Impairments, Disabilities, and Handicaps. A manual of classification relating to the consequences of disease. Geneva: WHO; 1980. 8. WHO. International Classification of Functioning, Disability and Health. Geneva: WHO; 2001. 9. OMS. Classification internationale du fonctionnement, du handicap et de la santé. Genève: OMS; 2001. 10. Clasificación internacional del funcionamiento, de la discapacidad y de la salud. Madrid: OMSMinisterio de Asuntos Sociales (Instituto de Migraciones y Servicios Sociales; 2001. 11. Altman, n. 8. Chapireau, François. La nouvelle classification de l’OMS: Classification internationale du fonctionnement, du handicap et de la santé. Annales Médico-psychologiques, Revue Psychiatrique. 2002; 160 (3): 242-246; Chapireau, François. Environment in the international La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 est, en me basant sur les textes des deux classifications, d’analyser ce déplacement opéré (d’une conception médicale à une conception plus large du handicap) qui me semble essentiel pour comprendre ce que recouvre aujourd’hui la notion de handicap. En d’autres termes, mon objectif est, en me focalisant sur ces deux textes, de faire apparaître l’évolution qui s’est opérée en 30 ans. L’article sera divisé en trois parties. La première partie traite de la Classification internationale des handicaps: déficiences, incapacités, désavantages (CIH), publiée en 1980. La seconde partie retrace brièvement l’histoire du débat qui entoure cette classification entre 1980 et 2000. La dernière partie analyse la Classification Internationale du Fonctionnement, du handicap et de la santé (CIF), publiée en 2001. 1. La Classification Internationale des Handicaps: Déficiences, incapacités, désavantages La première classification portant spécifiquement sur le handicap est publiée par l’OMS en 1980 en anglais. Son titre est International Classification of Impairments, Disabilities, and Handicaps. A manual of classification relating to the consequences of disease 12. Elle est traduite en français en 1988, sous le titre Classification internationale des handicaps: déficiences, incapacités et désavantages. Un manuel de classification des conséquences des maladies 13. Ce titre nomme l’objet de cette classification: elle concerne les conséquences des maladies, et se présente comme un outil complémentaire classification of functioning, disability and health. Journal of Intellectual Disability Research. 2004; 48 (4-5): 284; De Kleijn-de Vrankrijker, Marijke W. The long way from the International Classification of Impairments, Disabilities and Handicaps (ICIDH) to the International Classification of Functioning, Disability and Health (ICF). Disability and Rehabilitation. 2003; 25 (11-12): 561-564; Hurst, Rachel. The international disability right movement and the ICF. Disability and Rehabilitation. 2003; 25 (11-12): 572-576; Imrie, Robert. Demystifying disability: a review of the International Classification of Functioning, Disability and Health. Sociology of Health and Illness. 2004; 26 (3): 287-305; Üstün, T. Bedirhan et al. The International Classification of Functioning, Disability and health: a new tool for understanding disability and health. Disability and Rehabilitation. 2003; 25 (11-12): 565-571. 12. CIH dans la suite du texte. 13. L’anglais utilise «handicap» pour désigner la troisième dimension, alors que le français utilise «désavantage» pour cette troisième dimension et «handicap» pour référer à l’ensemble des trois dimensions. 381 Myriam Winance 382 Dynamis 2008; 28: 377-406 de la Classification Internationale des Maladies 14. «Les données contenues dans ce manuel se rapportent aux dimensions des expériences liées aux états de santé, complémentaires à celles du concept de maladie» 15. Cette complémentarité est à la fois un prolongement et un déplacement par rapport au modèle de la CIM, la notion de maladie jouant le rôle d’articulation entre les deux classifications. 1.1. Des causes aux conséquences des maladies L’objectif de l’OMS, à travers l’adoption de classifications internationales, est de disposer d’outils et de codes uniformisés structurant le recueil des informations nécessaires pour évaluer l’état de santé des populations et l’efficacité des services de santé. Les codes proposés par la CIM étaient ceux relatifs à la mortalité et à la morbidité. En effet, le concept central déployé dans la CIM est celui de maladie, définie comme le résultat d’une relation causale entre une atteinte organique et certaines manifestations pathologiques. L’enregistrement des informations relatives à la maladie et à son issue (guérison ou mort), suite au traitement médical de la cause, permet l’évaluation de l’efficacité des services de santé, car il rend visible le changement apparu dans l’état de la personne. Au niveau populationnel, les statistiques concernant la fréquence de la maladie, l’espérance de vie et les causes de décès, permettent une évaluation de la santé des populations. Ces outils proposés dans la CIM ont rempli leur objectif tant que le principal problème de santé publique était le développement des maladies infectieuses et aiguës. Cependant, courant 20ème siècle, le phénomène de la chronicité, c’est-à-dire de la persistance de manifestations liées soit à une maladie chronique, soit à une maladie ou un traumatisme passé, supplante 14. Concernant l’histoire de la Classification Internationale des Maladies (CIM), voir: Biraben, JeanNoël. Histoire des classifications de causes de décès et de maladies aux XVIIIème et XIXème siècles. In: Mensch und Gesundhait in der geschichte. Les hommes et la santé dans l’histoire. Berlin: Magghiesen Verlag; 1978. Bowker, C. Geoffrey; Star Leigh Star. Sorting things out. Classification and its consequences. Cambridge and London: The MIT Press; 1999; Roussel, Pascale. CIH-1/CIH-2: rénovation complète ou ravalement de façade? Handicap: Revue de sciences humaines et sociales. 1999; 81: 7-19. 15. OMS, Classification internationale des handicaps: déficiences, incapacités et désavantages. Un manuel de classification des conséquences des maladies. Paris: CTNERHI; 1993 (réédition). p. 4. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 celui des maladies infectieuses. Les codes proposés par la CIM ne suffisent plus pour décrire l’état de santé de l’individu, caractérisé par les séquelles; d’où la nécessité d’élaborer de nouveaux outils 16. L’OMS confie à l’un de ses consultants, le Docteur Ph. Wood (rhumatologue, puis épidémiologiste), la tâche d’élaborer une classification des «conséquences des maladies»: «La maladie empêche l’individu de s’acquitter de ses fonctions et de ses obligations courantes. Autrement dit, le malade est incapable de remplir son rôle habituel dans la société, et d’entretenir les rapports habituels avec autrui. Cette définition est assez large pour recouvrir la grande majorité des recours à un service de santé […]. Bien que le modèle médical des maladies […] constitue un instrument efficace pour aborder les troubles qui peuvent être traités ou guéris —la disparition des effets de la maladie étant un corollaire du traitement de la cause— il reste incomplet dans la mesure où il ne couvre pas les conséquences de la maladie. Or, ce sont ces dernières qui perturbent la vie quotidienne, et il faut disposer d’un cadre qui permettra de comprendre ces phénomènes, surtout en ce qui concerne les troubles chroniques et évolutifs ou irréversibles. Il convient donc de développer la chaîne des phénomènes liés à la maladie initiale, que l’on peut figurer ainsi: Maladie > déficience > incapacité > désavantage» 17. Cette citation montre le déplacement qui s’opère dans la CIH, par rapport à la CIM. Ce qui pousse la personne à consulter un service de santé n’est pas sa maladie en tant que telle, mais le fait que sa maladie perturbe sa vie quotidienne, l’empêchant de tenir le rôle qui est le sien dans la société. D’un intérêt pour la maladie, on passe à un intérêt pour les effets de la maladie, effets décomposés en trois niveaux: la déficience, l’incapacité et le désavantage. D’où également, un élargissement de point de vue: s’intéresser aux conséquences de la maladie amène à s’intéresser non plus à la maladie, mais au «malade en société». 16. OMS, n. 15; Ravaud, Jean-François. Vers un modèle social du handicap. L’influence des organisations internationales et des mouvements de personnes handicapées. In: Riedmatten, R. D., ed. Une nouvelle approche de la différence. Genève: Médecine and Hygiène; 2001. p. 55-68; Ravaud, Jean-François; Mormiche, Pierre. Santé et handicaps, causes et conséquences d’inégalités sociales. Comprendre. 2003; (4): 87-106. 17. OMS, n. 15, p. 6-7. 383 Myriam Winance 384 Dynamis 2008; 28: 377-406 1.2. De la maladie à la personne malade. D’un point de vue médical à un point de vue social Dans la CIH, centrée sur les conséquences de la maladie, la maladie ne s’analyse plus comme un processus causal autonome, mais comme touchant une personne, considérée comme un être social. La citation suivante confirme ce passage d’un point de vue médical sur la maladie à un point de vue social sur la «personne malade». «Quand on observe les manifestations pathologiques, il est courant de se référer au concept de maladie. Dans cette notion et ce qui en dérive, par exemple la CIM, les phénomènes pathologiques sont considérés comme indépendants des individus chez lesquels ils apparaissent. […] Les limites de ce mode d’approche sont pourtant assez évidentes: en isolant la maladie du malade, les conséquences de celle-ci sur celui-là risquent d’être négligées. Ces conséquences —qui sont les réponses du malade, ou des personnes qui l’entourent ou dont il dépend— prennent de plus en plus d’importance au fur et à mesure que le poids de la maladie s’accroît» 18. L’élargissement du point de vue, de la maladie au malade en société, se fait progressivement, par un processus qui s’enclenche à partir de la maladie, point d’articulation entre la CIM et la CIH. Le texte déploie les quatre niveaux successifs dans «l’expérience liée à l’état de santé», représentés par le schéma suivant: Maladie ou Æ Déficience Æ Incapacité Æ Trouble (extériorisée) (objectivisée) (situation (sic) intrinsèque) Désavantage (socialisée) (OMS, 1993, p. 26). 18. OMS, n. 15, p. 19. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 1.2.1. La maladie Le premier niveau de l’expérience est la maladie. «1. Quelque chose d’anormal se produit au niveau de l’individu (souligné dans le texte), soit à la naissance (phénomène congénital), soit plus tard (acquis). Une succession de circonstances causales, «étiologie», entraîne des modifications dans la structure ou le fonctionnement du corps, «la pathologie»» 19. La maladie est définie comme un processus causal interne et autonome par rapport à l’individu: la maladie transforme son corps, ensemble de structures et d’organes, sans que ce processus ne soit perceptible ni signifiant pour l’individu. Ce premier niveau de «l’expérience liée à l’état de santé» ne constitue donc pas, à proprement parler, un niveau d’expérience; la maladie, définie comme un événement «anormal», «une succession de circonstances causales», reste interne et non-perçue par l’individu. Le développement des conséquences de la maladie est le processus à travers lequel «l’état de santé» devient une expérience, perceptible et perçue par le malade ou son entourage. La maladie se développe en effet à travers un processus d’extériorisation, d’objectivation et de socialisation, ces trois dimensions constituant chacune un niveau de l’expérience. La maladie, phénomène interne et autonome, se transforme en un phénomène externe, objectif, puis social. 1.2.2. La déficience L’extériorisation de la maladie réfère à la perception de ses manifestations par l’individu ou quelqu’un qui le côtoie. «Quelqu’un prend conscience de ce fait. En d’autres termes, l’état pathologique est extériorisé. La plupart du temps, c’est le patient lui-même qui se rend compte des manifestations de la maladie, habituellement appelées «manifestations cliniques» […]. En termes de comportement, l’individu est devenu, ou a été rendu, conscient du fait qu’il est en mauvaise santé. Sa maladie annonce les déficiences, anomalies de la structure ou de l’apparence du corps, ou de la fonction d’un organe ou d’un système, quelle qu’en soit la 19. OMS, n. 15, p. 22. 385 Myriam Winance 386 Dynamis 2008; 28: 377-406 cause. Les déficiences correspondent à des troubles au niveau de l’organe» 20 (souligné dans le texte). Le deuxième niveau de l’expérience, la déficience, correspond à l’extériorisation de la maladie: l’individu prend conscience de sa maladie à travers ses manifestations, définies en termes d’anomalies et de troubles des organes ou des fonctions. La maladie, processus causal et interne, devient perceptible pour l’individu et son entourage car elle engendre des manifestations; d’un processus interne au corps, elle devient un processus externe qui modifie le corps de manière perceptible. Voici la définition donnée par la CIH de la déficience. «Dans le domaine de la santé, la déficience correspond à toute perte de substance ou altération d’une structure ou fonction psychologique, physiologique ou anatomique. […] La déficience correspond à une déviation par rapport à une certaine norme biomédicale de l’individu, et la définition de ses éléments doit être élaborée d’abord par les personnes qualifiées pour juger du fonctionnement physique et mental selon des normes généralement acceptées» 21. La déficience, comme la maladie dans la CIM, est définie en termes d’écart à la norme biomédicale, construite à travers l’histoire du savoir médical occidental 22 et connue par les spécialistes. La personne, si elle peut être celle qui perçoit les manifestations pathologiques, n’est pas reconnue comme compétente pour les évaluer. Elle est pour cela renvoyée devant les professionnels qui grâce à leurs connaissances, peuvent évaluer l’écart à la norme comme déficience. 1.2.3. L’incapacité Le troisième niveau du processus est la traduction de la maladie sous forme d’incapacités à agir, traduction qui est interprétée comme un processus d’objectivation. 20. OMS, n. 15, p. 22. 21. OMS, n. 15, p. 23-24. 22. Augé, Marc; Herzlich, Claudine, eds. Le sens du mal: anthropologie, histoire, sociologie de la maladie. Paris: Ed. des Archives Contemporaines; 1983. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 «3. La capacité d’action ou le comportement de l’individu peuvent être altérés lorsque celui-ci est conscient de sa maladie, que cela en soit une conséquence directe ou que cela soit dû au fait qu’il se sait malade. Les activités habituelles risquent d’être réduites, et l’expérience de la maladie est ainsi objectivée. […] Ces expériences correspondent aux incapacités qui reflètent les conséquences des déficiences en termes de performance fonctionnelle et d’activités de l’individu. Les incapacités correspondent à des troubles au niveau de la personne» 23. L’objectivation de la maladie réfère à la réduction concrète pour la personne, de ses capacités d’actions, dans sa vie quotidienne. La maladie se traduit par une diminution de sa performance et de ses activités normales. «L’incapacité correspond à un écart par rapport à la norme en termes d’action de l’individu, et non pas d’un organe ou d’un mécanisme. Ce concept est caractérisé par un excès ou une diminution des comportements ou activités normales. Ces changements peuvent être temporaires ou permanents, réversibles ou non, progressifs ou régressifs. Leur caractéristique principale est l’objectivation. Cette dernière est le processus par lequel une limitation fonctionnelle s’exprime dans la réalité quotidienne, le problème étant objectivé par la gêne dans les activités du corps» 24. L’objectivation de la maladie correspond à la traduction de la maladie en une capacité d’action réduite et, comme pour la déficience, au processus de prise de conscience par l’individu de cette réduction de ses capacités. La définition de l’incapacité est la suivante. «Dans le domaine de la santé, une incapacité correspond à toute réduction (résultant d’une déficience), partielle ou totale, de la capacité d’accomplir une activité d’une façon ou dans les limites considérées comme normales pour un être humain» 25. L’incapacité réfère à un écart à une norme définie en termes d’actions et de performances fonctionnelles ordinaires et moyennes, celles que chacun «normalement» possède. 23. OMS, n. 15, p. 22-23. 24. OMS, n. 15, p. 25. 25. OMS, n. 15, p. 24. 387 Myriam Winance 388 Dynamis 2008; 28: 377-406 1.2.4. Le désavantage Enfin, le dernier niveau, celui du désavantage, est la traduction de la maladie en un processus social. «4. La perception de son incapacité, ou de l’altération du comportement ou du fonctionnement qui en découle, entraîne un désavantage pour l’individu atteint par rapport aux autres, faisant de son expérience un problème social, que cela soit une conséquence directe, ou que cela soit dû au fait qu’il se sait malade. Ce niveau reflète la réponse de la société à la situation de l’individu, qu’elle soit exprimée par une attitude (marginalisation ou stigmatisation par exemple), ou par un comportement (qui peut impliquer des instruments spécifiques, comme la législation). Ces expériences représentent le désavantage, résultant des déficiences et des incapacités. Ce niveau de conséquence des maladies est à l’évidence le plus problématique, étant donné son rapport explicite à la valeur attachée aux activités ou au statut de l’individu» 26 (souligné dans le texte). La notion de désavantage réfère au processus de socialisation de la maladie: à l’impact de la maladie pour la personne en tant qu’être social et à la traduction de la maladie en problème social. «Problème social» signifie ici un problème individuel dont le processus est social ou qui prend une ampleur sociale dans la mesure où il induit une réaction de la société. Cette quatrième dimension du modèle, le désavantage social, constitue l’apport principal de la classification car elle introduit l’idée de conséquences sociales de la maladie. «As we saw it, the World Health Organisation (WHO) was moving away from a narrow medical model of health and disease —one primarily concerned with body systems and aetiologies— to one which recognised the consequences of health-related phenomena. We were particularly concerned to argue for a clearer recognition of social disadvantage —the focus of the handicap codes in the classification» 27. 26. OMS, n. 15, p. 23. 27. Bury, Mike. A comment on the ICIDH2. Disability and Society. 2000; 15 (7): 1073. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 Comme l’indique M. Bury 28, proche collaborateur de P. Wood, leur intention était de mettre l’accent sur l’importance sociale des maladies pour les personnes, importance sociale qui se manifeste par un désavantage, un handicap, pour la personne. Voici la définition du «désavantage social»: «Dans le domaine de la santé, le désavantage social pour un individu donné résulte d’une déficience ou d’une incapacité qui limite ou interdit l’accomplissement d’un rôle normal (en rapport avec l’âge, le sexe, les facteurs sociaux et culturels)» 29. La notion de désavantage social réalise le passage d’un point de vue biomédical à un point de vue social. 1.3. La personne malade d’un point de vue social Le désavantage social ne concerne pas la personne en elle-même, mais la manière dont elle est socialement intégrée. Il concerne «la personne malade en société». «Les désavantages (…) se rapportent aux préjudices résultant pour l’individu de sa déficience ou de son incapacité; ils reflètent donc l’adaptation de l’individu et l’interaction entre lui et son milieu» 30. Cette citation indique le double mécanisme du désavantage social, conséquence d’une inadéquation entre l’individu et son milieu (inadéquation analysée en termes d’adaptation), et d’un jugement négatif de la société concernant cette inadéquation. Premièrement, le désavantage social découle d’une comparaison entre l’individu et son milieu, plus précisément, entre l’individu et les attentes que son milieu formule à son égard, et du constat de l’existence d’une discordance entre les deux. «Le désavantage est caractérisé par une discordance entre l’activité de l’individu, ou son statut, et ce que son groupe d’appartenance attend de lui» 31. En d’autres termes, l’individu, atteint d’une déficience ou d’incapacités, ne peut pas faire ce qu’en moyenne, les autres peuvent faire. La norme de référence est ici définie en termes de «performance moyenne». Deuxièmement, le désavantage découle d’un jugement de cet écart comme étant négatif et dévalorisant pour la personne. La notion de désavantage réfère à l’idée 28. L’un des acteurs ayant joué un rôle central dans la rédaction de la CIH est M. Bury, sociologue de la médecine. 29. OMS, n. 15, p. 25. 30. OMS, n. 15, p. 10. 31. OMS, n. 15, p. 26. 389 390 Myriam Winance Dynamis 2008; 28: 377-406 d’un écart aux normes sociales, écart qui entraîne un discrédit pour la personne. Elle introduit explicitement la question de la valeur et du jugement comme élément constitutif du désavantage (et comme élément problématique). «Un certain poids est attribué à la déviation de la norme structurelle, fonctionnelle ou d’exécution, soit par l’individu lui-même, soit par ses semblables dans le groupe auquel il appartient» 32; ou «Le désavantage se détermine par rapport aux autres, de là, l’importance des valeurs sociales existantes qui, à leur tour, sont influencées par la trame institutionnelle. Ainsi, les attitudes et les réponses du non-handicapé jouent un rôle central dans le modelage de l’ego et la définition des possibilités pour un individu potentiellement désavantagé: ce dernier est très peu libre de déterminer ou de modifier sa propre réalité» 33. A travers cette notion de désavantage social, les auteurs de la classification reconnaissent l’importance du rôle des normes sociales dans le processus de production du handicap et intègrent l’idée de déviance issue des travaux des interactionnistes 34, c’est-à-dire, de manière simplifiée, l’idée d’une qualification (positive ou négative) de l’individu en fonction de sa correspondance ou non-correspondance aux normes sociales, par les autres individus; la non-correspondance entraîne un discrédit (Goffman) ou un désavantage (OMS). En résumé, dans la CIH, le handicap est défini comme l’écart à une norme sociale, définie en termes de performances moyennes, écart résultant d’une maladie et entraînant un jugement négatif, un discrédit, un désavantage pour la personne. En définissant le handicap de cette manière, la CIH apparaît comme l’aboutissement de l’histoire de la notion de handicap depuis la fin du 19ème siècle jusqu’aux années 1970. 32. OMS, n. 15, p. 25. 33. OMS, n. 15, p. 26. 34. Goffman, n. 4; Becker, n. 4; sur le lien entre les travaux de Goffman et l’histoire du «handicap», voir: Winance, Myriam. Being normally different? Changes to normalisation processes: from alignment to work on the norm. Disability and Society. 2007; 22 (6): 625-638. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 2. De la CIH à la Classification Internationale du Fonctionnement, du handicap et de la santé 2.1. Controverse autour de la CIH Durant les années 1970-1980, le monde du handicap évolue. A la fin des années 70, les personnes handicapées se rassemblent dans des mouvements revendicatifs: aux Etats-Unis, le Mouvement pour la Vie Autonome 35, en Grande-Bretagne, le Disability Movement 36. L’association internationale des personnes handicapées (Disabled People International, DPI) est fondée en 1981. Les Nations Unies adoptent, en 1975, la Déclaration des droits des personnes handicapées, et promeuvent la pleine participation sociale et la non-discrimination des personnes handicapées. Les organisations internationales (OIT par exemple) et européennes 37 produisent également des textes normatifs concernant les personnes handicapées. Ces évolutions influencent les politiques nationales, par exemple au Québec 38, en France 39. Dans ce contexte, éclate, à la fin des années 1980, une controverse internationale autour de la CIH. Ces nouveaux acteurs réagissent à la CIH. Dès sa parution, DPI rejette les définitions de l’OMS 40. Les activistes des différents mouvements prennent position (voir infra) contre la CIH. Enfin, certains chercheurs, dont les chercheurs québécois (voir infra), demandent sa révision. Les critiques émises par ces acteurs convergent sur quatre points 41. 35. Ravaud, n. 16; Williams, Gareth H. The movement for independent living: an evaluation and critique. Social Science and Medicine. 1984; 17 (15): 1003-1010. 36. Oliver, n. 5. Campbell, Jane. «Growing Pains» disability politics: The journey explained and described. In: Barton, Len; Oliver, Mike, eds. Disability studies: Past, present and future. Leeds: The Disability Press; 1997, p. 78-89. 37. Barral, Catherine. De l’influence des processus de normalisation internationaux sur les représentations du handicap. Handicap - Revue de sciences humaines et sociales. 1999; 81: 20-34. 38. Fougeyrollas, Pierre. L’évolution conceptuelle internationale dans le champ du handicap: Enjeux socio-politiques et contributions québécoises. PISTES. 2002; 4 (2). 39. Winance, Myriam; Ville, Isabelle; Ravaud, Jean-François. Disability policies in France: Changes and tensions between the category-based, universalist and personalized approaches. Scandinavian Journal of Disability Research. 2007; 9 (3): 160-181. 40. Enns, Henry. Déclaration de la Disabled Peoples’ International (DPI) sur la classification internationale des déficiences, incapacités et handicaps (CIDIH) de l’organisation mondiale de la santé (OMS). Janvier 1987. Réseau International CIDIH-Bulletin du CQCIDIH. 1989; 2 (2-3): 28-30. 41. Pour une revue des critiques, voir: Roussel, n. 14; Chapireau, François. Les débats et l’enjeu de la révision de la classification internationale des handicaps. Handicaps et Inadaptations-Les cahiers du CTNERHI. 1998; 79-80: 67-84; Chapireau, François; Colvez, Alain. Social disadvantage 391 Myriam Winance 392 Dynamis 2008; 28: 377-406 Première critique, la CIH incarne un modèle médical et individuel qui établit une relation de cause à effet entre la maladie, la déficience, les incapacités et le handicap, et qui situe l’origine du handicap exclusivement du côté de la personne. Celle-ci est handicapée parce qu’elle est malade. Elle se situe ainsi dans la ligne du modèle du handicap comme tragédie personnelle. Seconde critique, la CIH néglige l’importance des facteurs environnementaux (physiques, culturels, sociaux…) dans la production du handicap. Troisièmement, la terminologie employée par la CIH est négative et «handicapiste»; elle réfère aux manques de la personne et la dévalorise. Dernière critique, certains dénoncent le manque de cohérence de la CIH, plus précisément, les chevauchements entre le niveau des incapacités et celui des désavantages. Si les critiques émises par ces divers acteurs se rejoignent, les modèles que chacun oppose à la CIH diffèrent. J’en évoquerai deux, importants pour comprendre le modèle proposé par la nouvelle classification: le modèle social développé par les activistes du «Disability Movement», et le modèle interactif développé par les Québécois 42. 2.2. Les modèles alternatifs 2.2.1. Le modèle social du handicap Le modèle social, ébauché à la fin des années 1970 et développé ensuite dans le cadre des Disability Studies 43, redéfinit la causalité produisant le handicap. L’individu porteur d’une déficience (impairment) n’est pas handicapé (disabled) à cause de cette déficience, mais à cause de la société, à cause des obstacles physiques, sociaux… qu’elle dresse à sa participation. Cet argument implique un modèle à deux pôles: la déficience (impairment) et le handicap (disability), et une séparation entre ces deux pôles. La déficience est une spécificité personnelle, elle désigne la description physique du corps, tandis in the International Classification of Impairments, Disabilities and Handicaps. Social Science and Medicine. 1998; 47: 59-66. 42. Sur l’importance de ces deux modèles lors du processus de révision de la CIH, voir par exemple: Bickenbach, Jérôme E. et al. Models of disablement, universalism and the international classification of impairments, disabilities and handicaps. Social Science and Medicine. 1999; 48: 1173-1187. 43. Albrecht, Gary L.; Ravaud, Jean-François; Stiker, Henri-Jacques. L’émergence des disability studies: état des lieux et perspectives. Sciences Sociales et Santé. 2001; 19 (4): 43-71. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 que le handicap est une réalité collective, il désigne l’exclusion sociale dont sont victimes les personnes atteintes d’une déficience du fait des multiples barrières dressées par la société à leur participation. La déficience est un problème médical, le handicap est une question politique 44. Le développement scientifique de ce modèle, durant les années 1980, a conduit à la construction d’une opposition forte entre ce modèle social et le modèle qualifié de médical et individuel, dont la CIH sera considérée comme l’archétype. D’où le positionnement des chercheurs anglais et nordaméricains, activistes issus du mouvement des personnes handicapées, contre la CIH. Lors du processus de révision de la CIH, certains activistes, comme D. Pfeiffer, refuseront catégoriquement de participer 45. D’autres, comme R. Hurst, accepteront de participer afin de transformer le modèle de la CIH 46. Enfin, les responsables de la révision pour l’OMS, ne cesseront eux-mêmes de faire référence à ce modèle social 47. Le modèle social, comme contre poids à la CIH, jouera ainsi un rôle fondamental dans son processus de révision. 2.2.2. Le modèle interactif québécois Les chercheurs québécois 48 travaillent dans l’optique d’une modification de la CIH 49. D’une part, ils cherchent à enclencher un processus de révision; 44. Barnes, Colin. Theories of disability and the origins of the oppression of disabled people in western society. In: Barton, Len, ed. Disability and Society. Emerging issues and insights. London-New York: Longman Sociology Series; 1996, p. 43-60; Barton, Len, ed. Disability and society: Emerging issues and insights. London-New York: Longman Sociology Series; 1996; Oliver, Mike. The politics of disablement. Basingstoke: Macmillan and St Martins Press; 1990. 45. Pfeiffer, David. The ICIDH and the need for its revision. Disability and Society. 1998; 13 (4): 503523; Pfeiffer, David. The devils are in the details: the ICIDH2 and the disability movement. Disability and Society. 2000; 15 (7): 1079-1082. 46. Hurst, n. 11. Hurst, Rachel. To revise or not to revise? Disability and Society. 2000; 15 (7): 10831087. 47. OMS, n. 9; Bickenbach, n. 42. Bickenbach, Jérôme.E.; Shroot, R.L. Le modèle social du handicap et la révision de la classification internationale des handicaps (CIDIH). Handicaps et Inadaptations - Les cahiers du CTNERHI. 1998; 79-80: 35-48. 48. Travaillant d’abord dans le cadre de l’Office des Personnes Handicapées du Québec (créé en 1978), puis rassemblés dans le Comité québécois sur la CIH, créé en 1986. 49. Fougeyrollas, n. 38; Fougeyrollas, Pierre. Les déterminants environnementaux de la participations sociale des personnes ayant des incapacités: le défi sociopolitique de la révision de la CIDIH. Canadian journal of rehabilitation. 1997; 10 (2): 147-160; Fougeyrollas, Pierre. La classification 393 Myriam Winance 394 Dynamis 2008; 28: 377-406 d’autre part, ils développent une classification alternative à la CIH, le «Processus de production des handicaps», publiée en 1991 50. Cette classification présente un modèle interactif du handicap (par opposition au modèle linéaire de la CIH 51), en reprenant certains des concepts utilisés dans la CIH (celui de déficience et d’incapacité), mais surtout, en introduisant les notions de facteurs environnementaux et d’habitudes de vie. Les facteurs environnementaux désignent l’ensemble des dimensions sociales, culturelles, écologiques qui déterminent l’organisation et le contexte d’une société 52. La notion d’habitudes de vie est définie ainsi: «Les habitudes de vie sont celles qui assurent la survie et l’épanouissement d’une personne dans sa société tout au long de son existence. Ce sont les activités quotidiennes et domestiques ainsi que les rôles sociaux valorisés par le contexte socio-culturel pour une personne selon son âge, son sexe et son identité sociale et personnelle» 53. Défini avec ces concepts, le handicap est le résultat d’une interaction entre la personne et son environnement, physique ou social, et se traduit par une difficulté à accomplir ses habitudes de vie, en fonction de son âge, son sexe... Comme dans la CIH, le handicap est l’impossibilité de remplir les attentes normatives sociales (cfr. définition de la notion «d’habitudes de vie») et cette impossibilité est liée à l’état corporel de l’individu. Cependant, ce lien n’est plus interprété comme un lien causal direct et linéaire. Au contraire, le lien observé entre déficiences, incapacités et difficultés à accomplir les habitudes de vie est à expliquer. D’où un renversement: les auteurs ne déploient plus une relation allant de la cause (la maladie) à ses conséquences (le handicap), mais une relation allant des conséquences (le handicap) à ses 50. 51. 52. 53. québécoise du processus de production du handicap et la révision de la CIDIH. Handicaps et Inadaptations-Les cahiers du CTNERHI. 1998; 79-80: 84-103; Ravaud, Jean-François; Fougeyrollas, Pierre. La convergence progressive des positions franco-québécoises. Santé, Société et Solidarité. 2005; 2: 13-27. Le processus de production des handicaps. Réseau International CIDIH-Bulletin du CQCIDIH. 1991; 4 (3). Et en se distinguant du modèle social qui est unidimensionnel, ne reconnaissant qu’une causalité sociale. Fougeyrollas, Pierre. Une autre façon de le dire. Réseau International CIDIH-Bulletin du CQCIDIH. 1990; 3 (1): 15. Fougeyrollas, n. 52, p. 14. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 causes (multiples et agissant en interaction). L’impossibilité d’accomplir les habitudes de vie est analysée comme résultant de l’interaction entre la dimension corporelle et la dimension environnementale, physique ou sociale, (jouant le rôle «d’obstacle» ou «de facilitateur»). L’écart à la norme attendue et valorisée n’est plus rapporté à la personne, mais à une situation interactive. Ce modèle met donc en évidence l’idée que la norme sociale est relative à une interaction et la normalité (ou l’écart à cette normalité, le handicap) construite dans cette interaction. Pour réduire l’apparition de handicaps (comme écarts à ce qui est normalement attendu et valorisé), il faut non seulement adapter la personne, mais surtout travailler sur les attitudes, sur l’environnement 54, il faut travailler sur l’interaction et sur les normes qui la sous-tendent. 2.2.3. Les modèles alternatifs: des conséquences aux causes. Les deux modèles alternatifs apportent deux modifications essentielles par rapport au modèle de la CIH. Premièrement, la référence à la norme biomédicale s’efface devant celle à la norme sociale. Les difficultés quotidiennes rencontrées par les personnes présentant une spécificité corporelle constituent le point de départ de leur construction conceptuelle et de leur définition du handicap. Dans les deux cas, la personne handicapée est d’emblée une personne en société. L’univers de référence n’est plus celui de la maladie (CIM), ni du malade en société (CIH), mais celui de la personne en société et de la vie quotidienne. Deuxièmement, les deux modèles, de manière différente, reviennent à la question de la causalité (centrale dans la CIM), mais en prenant comme point de départ, le point d’arrivée de la CIH: le handicap. Ils reconnaissent que celui-ci coexiste avec une déficience, mais nient qu’il soit causé uniquement par cette déficience. En partant du constat que les personnes porteuses de déficiences sont désavantagées, handicapées, ils redéfinissent, chacun à leur manière, la causalité produisant ce désavantage ou handicap et aboutissent à des causalités sociales. Le déplacement opéré est important. D’une analyse des conséquences sociales de la maladie, on passe à une analyse des causalités sociales du handicap. 54. Fougeyrollas, n. 52, p. 13. 395 Myriam Winance 396 Dynamis 2008; 28: 377-406 2.3. Le processus de révision de la CIH 55 En 1993, l’OMS reconnaît la CIH comme une classification officielle de l’OMS et s’engage dans un processus de révision qui débute, véritablement, en 1995, suite à l’implication des Etats-Unis (porteur d’une volonté politique et de moyens financiers) et à un changement politique interne à l’OMS (changement de responsable). Des centres collaborateurs pour l’OMS sont créés pour l’Australie (1995), le Royaume-Uni, le Japon et les Pays Nordiques (1998), attestant un élargissement international du processus (qui reste cependant occidental); des groupes de travail sont organisés (facteurs environnementaux, santé mentale, enfance). Une large consultation internationale a lieu, impliquant des professionnels médicaux, des responsables administratifs et politiques, des chercheurs, des associations de personnes handicapées 56. De juin 96 à décembre 2000, 6 versions provisoires sont rédigées et testées. Ce processus aboutit à un texte, la Classification Internationale du Fonctionnement, du Handicap et de la Santé 57, adopté par l’assemblée générale de l’OMS au printemps 2001 58. Ce texte, complexe, est le résultat des négociations entre des acteurs devenus multiples, et donc, des compromis entre leurs différentes perspectives. Dans la section suivante, je m’intéresse à la définition du handicap contenue dans cette classification et à ses évolutions par rapport à la CIH. 3. La Classification Internationale du Fonctionnement, du handicap et de la santé 3.1. Des conséquences des maladies à la santé Le changement de titre de la classification indique le déplacement majeur qui s’est opéré entre les deux classifications. La CIH avait pour objectif 55. Pour une synthèse de ce processus, voir: Fougeyrollas, n. 38; Barral, Catherine; Roussel, Pascale. De la CIH à la CIF. Le processus de révision. Handicap-Revue de sciences humaines et sociales. 2002; 94-95: 1-24. Fougeyrollas et Barral retracent, chacun de leur point de vue, l’histoire du processus de révision. 56. Ainsi, la liste des remerciements de la CIF (p. 265-278) est beaucoup plus fournie que la liste de la CIH. 57. CIF dans la suite du texte. 58. OMS, n. 9; OMS, n. 10. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 d’analyser les conséquences des maladies. L’objectif de la CIF est de décrire la santé: «La CIF s’est éloignée d’une classification des «conséquences de la maladie» (version 1980) pour devenir une classification des «composantes de la santé». Les «composantes de la santé» définissent ce qui constitue la santé, alors que les «conséquences» se focalisent sur l’impact de la maladie ou tout problème de santé qui peut en résulter. Ainsi, la CIF adopte une position neutre par rapport à l’étiologie et permet aux chercheurs d’inférer les causes des situations qu’ils observent à l’aide des méthodes scientifiques appropriées» 59. Le point de départ de la CIH était la maladie, le handicap étant finalement défini comme «l’expression sociale de la maladie». Dans la CIF, le point de départ de la réflexion est la santé, définie en termes de fonctionnement (aspects positifs de la santé) et de handicap (aspects négatifs de la santé). La maladie ne disparaît pas du modèle, mais elle ne sert plus de point de référence pour définir le handicap. En effet, le handicap est conceptualisé comme une dimension de la santé humaine et comme une modalité particulière du fonctionnement humain, lorsque celui-ci est problématique. Cette conception est confirmée par les responsables du processus de révision de la CIH, dans un article daté de 1999 «Disablement is now understood as an identifiable variation of human functioning.» 60. D’où, également, l’optique universaliste de la CIF, le handicap, en tant que modalité de fonctionnement, concerne tout un chacun. «Un malentendu largement répandu consiste à penser que la CIF ne concerne que les personnes handicapées: en fait, elle concerne tout un chacun» 61. On observe ici l’influence forte du Mouvement pour la Vie Autonome, qui défend cette approche universaliste, contre une approche en termes de droits d’une minorité. Les outils élaborés dans la CIF n’ont pas pour but la caractérisation d’une population, «les personnes handicapées», mais la description du fonctionnement, dans ses aspects positifs et/ou négatifs (et on parle, dans ce dernier cas, de handicap), de toute personne. La CIF introduit donc un déplacement central par rapport 59. OMS, n. 9, p. 4. 60. Bickenbach, n. 42, p. 1184. 61. OMS, n. 9, p. 7. 397 398 Myriam Winance Dynamis 2008; 28: 377-406 à la CIH. Celle-ci s’intéressait au «malade en société», la CIF s’intéresse à la personne, quelle qu’elle soit, et à son état de santé, indépendamment d’une relation effective avec un service de santé. Le point de vue adopté par la CIF a changé. En ce sens, la CIF a retenu les apports des modèles alternatifs. Elle ne déploie plus un processus causal, partant d’une cause, la maladie, à ses conséquences, le handicap, mais elle propose des outils pour décrire la vie quotidienne des personnes, leur bon ou mauvais fonctionnement. En même temps, et ce point est essentiel, il s’agit de décrire le fonctionnement et le handicap, lorsque ceux-ci sont liés à un problème de santé 62. «Les informations codées se situent toujours dans le contexte d’un problème de santé. Bien qu’il ne soit pas nécessaire, pour utiliser un code, d’établir formellement le lien entre un problème de santé et les aspects du fonctionnement et du handicap qui feront l’objet du codage, la CIF n’en reste pas moins une classification relative à la santé. Elle présuppose donc l’existence d’un problème de santé quelconque.» 63; ou, «The ICIDH-2, like its predecessor, is a classification of consequences of health conditions. […] It provides the essential language and structure for scientific investigations of the consequences of health conditions in the human population» 64. La CIF, comme la CIM et la CIH, s’intéresse aux conséquences des «états de santé», compris comme ensemble de problèmes dus à un trouble ou une maladie. Elle présuppose et affirme un lien entre handicap et problème de santé. Cependant, en réponse aux critiques faites à la CIH, le lien établi entre handicap et problème de santé n’est pas un lien causal, mais un lien de coexistence, de présence simultanée. On retrouve donc la conceptualisation du handicap en termes de conséquences d’un problème de santé, mais celui-ci n’est pas considéré, de manière a priori, comme cause du handicap, d’où l’affirmation d’une position neutre par rapport à l’étiologie (voir citation supra). La CIF ne définit pas, de manière a priori, une causalité du handicap, mais présente un modèle interactif et multidimensionnel, 62. Point contesté par les tenants du modèle social qui récusent que le handicap puisse être interprété comme un problème de santé. 63. OMS, n. 9, p. 234. 64. Bickenbach, n. 42, p. 1184. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 qualifié de modèle «biopsychosocial», qui pourra être utilisé pour analyser ses causalités. Le modèle de définition du handicap présenté dans la CIF se situe dans la continuité des précédentes classifications (CIM et CIH), tout en suivant certaines évolutions opérées par les modèles alternatifs. Son point de départ, comme celui de ces modèles alternatifs, est élargi; il s’agit de décrire l’état de santé des personnes (ayant des troubles de santé), définie en termes de fonctionnement ou de difficultés de fonctionnement (handicap), en explorant ses différentes facettes, biologique, psychologique et sociale, et en ne s’interrogeant sur les causalités que dans un second temps. Par là, la CIF ne présente plus la santé comme l’objectif des services de soins, mais comme un état des personnes, état dont il faut analyser les différentes dimensions. Mais la CIF se situe en continuité avec la CIM et la CIH, en réaffirmant le lien entre handicap et problème de santé, précisé en termes de trouble ou de maladie. On retrouve ici la conception biomédicale de la santé. Cette tension entre deux conceptions de la santé traverse la CIF; celle-ci développe une conception large de la santé, en termes de fonctionnement et de handicap, grâce à un modèle «biopsychosocial», tout en gardant, à l’intérieur de son modèle, la conception restreinte de la santé comme état physiologique ou pathologique. 3.2. Un modèle «biopsychosocial» pour décrire la santé, le handicap et le fonctionnement L’opposition entre le modèle médical et le modèle social, et le débat avec le modèle interactif québécois traversent le modèle biopsychosocial de la CIF. D’une part, les auteurs de la CIF ne pouvaient ignorer l’approche sociale du handicap. D’autre part, travaillant dans le cadre de l’OMS et en continuité par rapport aux classifications antérieures, ils étaient porteurs d’une approche biomédicale de la santé. Comme le montre la citation suivante, tiré d’un texte postérieur à la CIF, ils devaient tenir les deux pôles de l’opposition. «Le handicap est un phénomène complexe qui est à la fois un problème au niveau du corps de la personne et un phénomène complexe et principalement social. Le handicap est toujours le résultat d’une interaction entre les caractéristiques individuelles et les caractéristiques du contexte global 399 400 Myriam Winance Dynamis 2008; 28: 377-406 dans lequel la personne vit, mais certains aspects du handicap sont presque entièrement internes à la personne, alors que d’autres lui sont totalement externes» 65. Dans cette citation, l’OMS reconnaît la complexité du handicap, problème individuel, qui concerne le corps, et problème social, qui concerne la société. Elle reconnaît également la dimension interactive du handicap, défendue par les Québécois. Mais, en dernier lieu, elle décompose le handicap, en distinguant des aspects internes et des aspects externes à la personne. Dans la classification, cette complexité du handicap se traduit par un modèle (représenté par le schéma suivant) qui, premièrement, analyse le fonctionnement et le handicap comme le résultat d’une interaction entre un problème de santé et des facteurs contextuels (personnels ou environnementaux). Deuxièmement, ce modèle reprend et transforme les trois niveaux de l’expérience du handicap distingués dans la CIH: «Ces domaines [de la santé et domaines connexes de la santé] peuvent être décrits en prenant comme (OMS, 2001, p. 19) 65. OMS, Vers un langage commun pour le fonctionnement, le handicap et la santé. CIF: Classification internationale du fonctionnement, du handicap et de la santé. Handicap-Revue de sciences humaines et sociales. 2002; 94-95: p. 32. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 perspectives l’organisme, la personne en tant qu’individu ou la personne en tant qu’être social, selon deux listes de base: 1) les fonctions organiques et les structures anatomiques; 2) les activités et la participation» 66. La classification distingue ce qui concerne le fonctionnement biomédical (du corps —«aspect interne du handicap») et ce qui concerne le fonctionnement social (de l’individu ou de la personne comme être social —«aspect externe du handicap»). La lecture verticale du schéma propose les outils permettant aux utilisateurs d’analyser le processus de handicap ou du fonctionnement comme un processus interactif entre trois dimensions: un problème de santé, des facteurs personnels et des facteurs environnementaux. La première dimension est définie de la manière suivante: «Problème de santé est une expression générique désignant une maladie (aiguë ou chronique), un trouble, une lésion ou un traumatisme. Ce terme peut également faire allusion à d’autres situations telles que la grossesse, le vieillissement, le stress, une anomalie congénitale ou une prédisposition génétique. Les problèmes de santé sont codés à l’aide de la CIM-10» 67. Dans ce passage, le lien entre la CIF et la CIM est affirmé, même si la CIF n’est plus présentée comme développant le processus causal lié à la maladie. Les facteurs personnels, non classifiés dans la CIF 68, sont définis de la manière suivante: «Les facteurs personnels sont des facteurs contextuels qui ont trait à l’individu tels que l’âge, le sexe, la condition sociale, les expériences de la vie, etc., qui ne sont pas classifiés dans la CIF mais que les utilisateurs peuvent intégrer à leurs applications de la CIF» 69. Enfin, les facteurs environnementaux qui font eux l’objet d’une classification sont définis de la manière suivante: «Les facteurs environnementaux constituent une composante de la CIF et renvoient à tous les aspects du monde extérieur ou extrinsèque qui forment le contexte de la vie d’un individu et, à ce titre, ont une incidence sur le fonctionnement de celui-ci» 70. Ces facteurs environnementaux peuvent jouer le rôle de facilitateurs et amé- 66. 67. 68. 69. 70. OMS, n. 9, p. 3. OMS, n. 9, p. 222. Avec comme justification de cette non-classification, leur variabilité culturelle. OMS, n. 9, p. 223. OMS, n. 9, p. 224. 401 402 Myriam Winance Dynamis 2008; 28: 377-406 liorer le fonctionnement de la personne, ou être des obstacles et entraver le fonctionnement de la personne. La lecture horizontale du schéma permet la description du fonctionnement et du handicap à l’aide de trois composantes qui à la fois reprennent et remplacent les trois dimensions de l’expérience développées dans la CIH. La première composante est la composante corporelle qui comprend le fonctionnement des systèmes organiques et des structures anatomiques. La deuxième composante est la composante individuelle, nommée «activité» et définie comme «l’exécution d’une tâche ou d’une action par un individu» 71. Enfin, la troisième composante est la composante sociale, couverte sous la notion de «participation» et définie comme «l’implication de l’individu dans une situation de vie réelle». 72 Ce schéma, dans sa double lecture, verticale et horizontale, renforce la conception large de la santé, en explicitant les définitions du fonctionnement et de son contraire, le handicap, comme états multidimensionnels, physiologique, individuel et social, résultant d’une interaction non prédéfinie entre un problème de santé, des facteurs personnels et des facteurs environnementaux. «Fonctionnement est un terme générique couvrant les fonctions organiques, les structures anatomiques, les activités et la participation. Il désigne les aspects positifs de l’interaction entre un individu (ayant un problème de santé) et les facteurs contextuels face auxquels il évolue (facteurs personnels et environnementaux). Et Handicap est un terme générique désignant les déficiences, les limitations d’activité et les restrictions de participation. Il désigne les aspects négatifs de l’interaction entre un individu (ayant un problème de santé) et les facteurs contextuels face auxquels il évolue (facteurs personnels et environnementaux)» 73. 71. OMS, n. 9, p. 223. 72. Notons cependant qu’il n’existe pas dans la classification deux listes différentes pour les activités et la participation, mais une liste unique pour ces deux dimensions. La distinction entre les deux niveaux se fait lors de l’utilisation concrète de la CIF, en fonction de la situation locale. Cette décision d’adopter une liste unique pour les deux dimensions, activités et participation, a fait l’objet de critiques lors du processus de révision. La manière dont elle est présentée dans le schéma (distinction de deux dimensions) et le texte (liste unique) est l’exemple typique des compromis réalisés lors de la consultation. 73. OMS, n. 9, p. 223-224. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 Dans ce cadre, la notion de handicap, opposée à celle de fonctionnement, ne désigne plus les conséquences sociales de la maladie, mais un défaut de fonctionnement, lié d’une manière ou d’une autre, à un problème de santé. Dans la CIH, la personne handicapée était d’abord définie dans sa relation avec un système de soin, comme un malade (écart à une norme biomédicale); cette maladie se traduisant dans la sphère sociale par certaines difficultés (écart à une norme sociale, en termes de réduction de capacités et de performances). Dans la CIF, être handicapé, c’est ne pas fonctionner ou du moins, «mal» fonctionner, et cela dans le cadre d’une interaction entre la personne et son contexte. Or, cette définition du handicap repose sur une transformation de la norme de référence, par rapport à celle qui sous-tendait la CIH. 3.3. Le handicap comme «défaut de fonctionnement» Dans la CIH, la question de la norme était traitée en deux étapes. Première étape, la déficience était définie par rapport à une norme biomédicale, l’incapacité par rapport à une norme d’action et le désavantage par rapport à une norme de performance sociale, le point de référence étant ce qu’en moyenne, l’individu valide est capable de faire. Mais, deuxième étape, la dimension du désavantage comprenait l’idée d’un jugement de valeur (négatif et dévalorisant) posé par la société sur la manière dont la personne accomplissait son rôle. Dans la CIF, on retrouve la première étape. Le fonctionnement est évalué par rapport à une norme biomédicale et à une norme d’actions. La définition de ces deux normes est proche de celles données dans la CIH. Pour la norme biomédicale, on retrouve la référence au savoir médical. «Les déficiences représentent des écarts par rapport à certaines normes généralement acceptées de l’état biomédical du corps et de ses fonctions. La définition de leurs composantes repose principalement sur le jugement des personnes compétentes pour évaluer le fonctionnement physique et mental par rapport à des normes généralement reconnue» 74. 74. OMS, n. 9, p. 12-13. 403 Myriam Winance 404 Dynamis 2008; 28: 377-406 Pour la norme d’action, on retrouve la comparaison avec les personnes valides: «Des difficultés ou des problèmes peuvent survenir dans ces domaines quand intervient une modification qualitative ou quantitative de la manière dont les fonctions sont exécutées. Les limitations et les restrictions sont estimées par rapport à une norme généralement acceptée dans une population donnée. La norme par rapport à laquelle on évalue la capacité et la performance d’une personne donnée est la capacité ou la performance d’une personne qui ne présente pas le même problème de santé (maladie, trouble ou lésion)» 75. Si l’on retrouve l’idée de comparaison entre individus ayant des troubles de santé et ceux n’en ayant pas, l’idée de jugement de valeur contenue dans la notion de désavantage n’est pas reprise dans la CIF. Cependant, une autre norme est développée dans la CIF avec les deux notions (présentes dans les citations ci-dessus) de performance et de capacité. Ces deux notions sont utilisées comme code qualificatif pour évaluer le niveau d’activité et de participation de la personne. Or, ils introduisent l’idée d’un écart interne à l’individu, alors que la notion de désavantage comprenait l’idée d’un écart externe (produit par un jugement social). Voici la manière dont la CIF définit les notions de performance et de capacité: «Le code qualificatif de performance décrit ce qu’un individu fait dans son environnement ordinaire. Du fait que l’environnement ordinaire comprend un contexte sociétal, la performance peut donc aussi être perçue comme une «implication dans une situation de vie réelle» ou comme «l’ expérience vécue» de personnes considérées dans leur cadre de vie réel. Ce contexte comprend les facteurs environnementaux, c’est-à-dire tous les aspects du monde physique, du contexte social et des attitudes, et peut faire l’objet d’un codage en utilisant la liste des facteurs environnementaux. Le code qualificatif de capacité décrit l’aptitude d’un individu à effectuer une tâche ou à mener une action. Ce schéma est conçu pour indiquer le niveau de fonctionnement le plus élevé possible qu’une personne est susceptible d’atteindre dans un domaine donné à un moment donné. Pour évaluer l’aptitude réelle d’une personne, on devrait pouvoir disposer d’un environnement «normalisé», qui neutraliserait les influences variables d’environnements différents sur chaque 75. OMS, n. 9, p. 16. La notion de handicap et ses transformations à travers les classifications internationales... Dynamis 2008; 28: 377-406 personne. (…) Ainsi, la capacité reflète l’aptitude d’une personne ajustée des facteurs environnementaux. (…) L’écart entre capacité et performance reflète la différence d’impacts entre environnement usuel et environnement standard. Elle constitue ainsi un guide utile pour déterminer ce qui peut être modifié dans le cadre de vie de la personne concernée pour améliorer son niveau de réalisation» 76. Cette citation est intéressante car elle introduit l’idée d’un écart entre ce que la personne fait et ce qu’elle pourrait faire en fonction de son environnement. Autrement dit, l’écart n’est plus entre la personne ayant un trouble de santé et celle qui n’en a pas, mais devient interne à la personne, la norme devenant le niveau de fonctionnement le plus élevé que cette personne puisse atteindre dans un environnement «normalisé». En outre, cette citation montre un report de l’action de normalisation de l’individu sur l’environnement, mais la classification ne donne pas les outils permettant de définir cet environnement «normalisé» et «normalisant». En modifiant ainsi les normes de références, la CIF place au centre de la définition du handicap, la question de la déficience et celle de l’action, et fait passer à l’arrière plan, la question du jugement social. Le handicap, défaut de fonctionnement, réfère aux déficiences de la personne et/ou à ses difficultés à agir ou à participer qu’elle rencontre. Cette conception du handicap s’inscrit dans la conjoncture actuelle qui met l’accent sur la notion de participation et sur la figure d’une personne citoyenne qui agit. Alors que la CIH analysait le handicap comme le résultat d’un jugement social variable en fonction des sociétés et en ce sens reconnaissait une extériorité (par rapport à la classification) de la norme de référence, la CIF semble balancer entre deux positions. D’un côté, elle semble avoir internalisé la norme de référence sous la forme d’une injonction à la participation (participer et agir sont le signe d’un bon fonctionnement, d’une bonne santé). D’un autre côté, en définissant le handicap comme le résultat d’une interaction et en reconnaissant le rôle de l’environnement, elle semble tendre vers la reconnaissance d’une relativité de la norme et d’une possibilité de la définir en situation et selon cette situation. 76. OMS, n. 9, p. 15. 405 Myriam Winance 406 Dynamis 2008; 28: 377-406 4. Conclusion S’intéresser aux deux textes produits sur le handicap par l’OMS à 20 ans d’intervalle —20 ans durant lesquels le paysage politique du handicap a fondamentalement bougé— permet de saisir certaines des évolutions qui ont eu lieu durant cette période. Le modèle de définition de la CIH, en définissant le handicap comme le désavantage social dû à une maladie, était l’aboutissement de l’histoire du handicap telle qu’elle s’est déployée au cours du 20ème siècle. Durant les années 1980 et 2000, les personnes handicapées contestent cette définition, ainsi que les pratiques et les politiques qui lui sont liées. Elles veulent participer à la vie ordinaire et mettent l’accent sur les obstacles environnementaux et sociaux qui les en empêchent. Corrélativement, elles redéfinissent le handicap comme la conséquence d’un processus d’exclusion sociale. Le texte de la CIF est le reflet de ces oppositions entre ces nouveaux acteurs et leurs modèles. Il témoigne de la transformation du contexte et des modèles. Le but de la CIF est, par rapport à celui de la CIH, élargi; la CIF n’a plus seulement pour finalité le recueil des informations statistiques nécessaires à l’évaluation de la santé comprise comme objectif des services de soins, mais la description de la santé à des fins statistiques, de recherche, clinique, de politique sociale, pédagogique… Pour cela, elle propose une définition du handicap en termes de fonctionnement, définition qui se veut universelle. En détachant la notion de handicap de celle de maladie et en l’attachant à celle de santé, la CIF élargit son point de vue: elle s’intéresse à l’état de santé de la personne, de toute personne, et cherche à en décrire les différentes facettes, biologique, psychologique et sociale. La définition du handicap comme variation du fonctionnement humain ouvre des perspectives intéressantes, la difficulté étant cependant de trouver les outils permettant de décrire cette variation sans en définir de manière apriori les caractéristiques. Ainsi, la liste définissant l’activité et la participation, telle qu’elle est actuellement constituée dans la CIF, semble trop occidentalocentrée pour permettre cette possibilité. ❚
https://openalex.org/W2062699492
https://europepmc.org/articles/pmc3724901?pdf=render
English
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On the Evolutionary and Biogeographic History of Saxifraga sect. Trachyphyllum (Gaud.) Koch (Saxifragaceae Juss.)
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On the Evolutionary and Biogeographic History of Saxifraga sect. Trachyphyllum (Gaud.) Koch (Saxifragaceae Juss.) Eric G. DeChaine*, Stacy A. Anderson, Jennifer M. McNew, Barry M. Wendling Department of Biology, Western Washington University, Bellingham, Washington, United States of America Eric G. DeChaine*, Stacy A. Anderson, Jennifer M. McNew, Barry M. Wendling epartment of Biology, Western Washington University, Bellingham, Washington, United States of America Abstract The funders had no role in tion and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * E-mail: dechainelab@gmail.com evolutionary history of Saxifraga and other flowering plants of arctic-alpine regions. Moreover, taxonomists agree that a thorough examination of this section is needed [14,15,16,17,18]. Abstract Arctic-alpine plants in the genus Saxifraga L. (Saxifragaceae Juss.) provide an excellent system for investigating the process of diversification in northern regions. Yet, sect. Trachyphyllum (Gaud.) Koch, which is comprised of about 8 to 26 species, has still not been explored by molecular systematists even though taxonomists concur that the section needs to be thoroughly re-examined. Our goals were to use chloroplast trnL-F and nuclear ITS DNA sequence data to circumscribe the section phylogenetically, test models of geographically-based population divergence, and assess the utility of morphological characters in estimating evolutionary relationships. To do so, we sequenced both genetic markers for 19 taxa within the section. The phylogenetic inferences of sect. Trachyphyllum using maximum likelihood and Bayesian analyses showed that the section is polyphyletic, with S. aspera L. and S bryoides L. falling outside the main clade. In addition, the analyses supported several taxonomic re-classifications to prior names. We used two approaches to test biogeographic hypotheses: i) a coalescent approach in Mesquite to test the fit of our reconstructed gene trees to geographically-based models of population divergence and ii) a maximum likelihood inference in Lagrange. These tests uncovered strong support for an origin of the clade in the Southern Rocky Mountains of North America followed by dispersal and divergence episodes across refugia. Finally we adopted a stochastic character mapping approach in SIMMAP to investigate the utility of morphological characters in estimating evolutionary relationships among taxa. We found that few morphological characters were phylogenetically informative and many were misleading. Our molecular analyses provide a foundation for the diversity and evolutionary relationships within sect. Trachyphyllum and hypotheses for better understanding the patterns and processes of divergence in this section, other saxifrages, and plants inhabiting the North Pacific Rim. Editor: Sebastien Lavergne, CNRS/Universite´ Joseph-Fourier, France Received March 7, 2013; Accepted June 13, 2013; Published July 26, 2013 Copyright:  2013 DeChaine et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This work was funded by the National Science Foundation (nsf.gov), Arctic Natural Sciences Program Award # 0714232. study design, data collection and analysis, decision to publish, or preparation of the manuscript. funded by the National Science Foundation (nsf.gov), Arctic Natural Sciences Program Award # 0714232. Citation: DeChaine EG, Anderson SA, McNew JM, Wendling BM (2013) On the Evolutionary and Biogeographic History of Saxifraga sect. Trachyphyllum (Gaud.) Koch (Saxifragaceae Juss.). PLoS ONE 8(7): e69814. doi:10.1371/journal.pone.0069814 Introduction bronchialis - one Siberian/European, one Beringian, and one in the Rocky Mountains and Cascades of North America - with the other taxa being given the status of species (Table 1). The main goal of this study was to resolve the evolutionary history of sect. Trachyphyllum using molecular data. To do so, we i) circumscribed the section by inferring the phylogenetic position of potential taxa within the broad Saxifraga tree using internal transcribed spacers (ITS) of nuclear ribosomal DNA and chloroplast trnL-F and markers. The ITS and the trnL-F regions have been the most widely used markers for inferring evolutionary relationships within Saxifraga [10,11,12,13] because they yield relatively good resolution at the species level [13,26]. Thus, these regions provide the most previously sequenced taxa for the best means of placing sect. Trachyphyllum within the Saxifraga tree. These phylogenetic analyses allowed us to ii) identify sub-clades within sect. Trachyphyllum, iii) test geographically-based diversification hypotheses by performing coalescent simulations in Mesquite 2.75 [27] (Fig. 2) and maximum likelihood tests of geographic range evolution in Lagrange [28], and iv) investigate the utility of morphological characters in resolving sub-sectional classifications using a stochastic character mapping approach in SIMMAP 1.5 [29]. This is the first molecular examination of sect. Trachyphyllum and includes the vast majority of the putative species. In an attempt to categorize the variation and better delineate taxa, especially those similar to S. bronchialis, sect. Trachyphyllum was divided into subsections (Table 2) and series based on a few ‘discerning’ characters. Khokhryakov [21] was the first to attempt an intra-section classification scheme, but focused only on the northeast Asian taxa, dividing them into the Xeromorphicae A. P. Khokhr. and Criomorphicae A. P. Khokhr., with three and two series respectively. The two subsections were distinguished by i) rigid, straight, linear, needle-like, pointed leaves, white petals, with yellow and red dots vs. ii) curved, non-rigid, broad leaves with white or yellow petals, and apunctate. Subsequently, Zhmylev and Khokhryakov [22] re-examined the sub-sectional classification for the entire sect. Trachyphyllum, adding those from Europe and North America. Fibrosophyllae Zhmylev & A. P. Khokhr. (S. aspera and S. bryoides L.) were noted for having soft, gray-green, lanceolate, leaves and spherical capsules and because this section was the most isolated both morphologically and geographically, the authors suggested that it may warrant the rank of an independent section. The fourth subsection, Dentaphyllae Zhmylev & A. P. Khokhr., including S. tricuspidata Rottb. Introduction aspera and S. bryoides are confined to the European mountains and are seen as being an extension from the more typical trans-Beringian distribution [15]. The relatively high degree of endemism within this section and the potential for geographic structure suggests that isolation in multiple refugia may have been a driving force in the diversifi- cation of sect. Trachyphyllum [19,25]. dormant. The flowering stems are leafy and terminal with flowers that are usually regular. The sepals are not reflexed. Petals are white to pale yellow, usually with spots (yellow, orange, red, or purple) or a deep yellow patch at the base. The ovary is superior or nearly so. The most distinguishing characteristics for separating species in the section are leaf shape and size, length of marginal hairs, and the shape, color, and spotting on the petals [16], though some of these traits (e.g., leaves) are correlated with habitat [15,19] and others (petal color and spotting) may be lost in herbaria specimens [19]. Since the earliest descriptions, members of the section have languished in a confusing taxonomic mire (see Table 2 for nomenclatural history), in part because of the use of environmen- tally-impacted characters in describing species, the reliance on herbaria rather than fresh specimens, and also due to the aforementioned disjunct distribution and potential limited com- munication of taxonomists with different systematic philosophies. For the most part, species in the section are clearly, morpholog- ically distinct and their status as valid species is not in question. However, that is not the case for S. bronchialis L. and morpholog- ically similar species, subspecies, and varieties, which constitute at least half of the taxonomic diversity in sect. Trachyphyllum. The confusion apparently began when Linnaeus described S. bronchialis in 1753 [24]. Linnaeus labeled the only specimen of S. bronchialis that he ever saw as S. aspera. Subsequently, he decided to make S. bronchialis a separate species but potentially forgot to change his annotation [15]. This was further complicated because most Russian botanists would now assign that specimen to S. spinulosa Adams, based on geographic location. Currently, many taxono- mists attribute much of the diversity in this section to subspecies, varieties, and geographic races of a nearly circumpolar S. bronchialis. Still, others denote only three subspecies of S. Introduction and S. vespertina (Small) Fedde, was clearly differentiated from the others by 3-toothed leaves. More recently, two of the subsections (Xeromorphicae and Criomorphicae) have been discussed in terms of the Bronchialis and Spinulosa ‘species aggregates or complexes,’ respectively [15,16,17,18]. Introduction bronchialis subsp. austromontana (Wiegand) Piper inhabits the alpine and subalpine of the Rocky Mountains, Cascades, and Olympics, while S. tricuspidata occurs mainly in the north from Alaska to Newfound- land and south into the mountains of British Columbia, and also in Greenland. Saxifraga vespertina and S. taylorii Calder & Savile (endemic to Haida Gwaii) are restricted to the North American coast (NAC) in the Pacific Northwest. Beringia (BER), including Alaska, northwestern Canada, eastern Siberia, and northern islands such as Wrangel Island, is home to S. bronchialis subsp. funstonii (Small) Hulte´n, S. bronchialis subsp. codyana (Zhmylev) Cody, and S. cherlerioides D. Don. Many species have been described from central Asia and Siberia (CAS), from Chukotka to Baikal and China and south to Kamchatka, including S. caulescens Sipliv., S. bronchialis, S. spinulosa and their putative relatives. Japan and southern, coastal Asia (JAP) harbors a limited number of endemic taxa: S. nishidae Miyabe & Kudoˆ and S. rebunshirensis (Engl. & Irmsch.) Sipliv. Interestingly, S. aspera and S. bryoides are confined to the European mountains and are seen as being an extension from the more typical trans-Beringian distribution [15]. The relatively high degree of endemism within this section and the potential for geographic structure suggests that isolation in multiple refugia may have been a driving force in the diversifi- cation of sect. Trachyphyllum [19,25]. In contrast, S. bronchialis s. str. is widespread across that entire range. In the North American interior (NAI) S. bronchialis subsp. austromontana (Wiegand) Piper inhabits the alpine and subalpine of the Rocky Mountains, Cascades, and Olympics, while S. tricuspidata occurs mainly in the north from Alaska to Newfound- land and south into the mountains of British Columbia, and also in Greenland. Saxifraga vespertina and S. taylorii Calder & Savile (endemic to Haida Gwaii) are restricted to the North American coast (NAC) in the Pacific Northwest. Beringia (BER), including Alaska, northwestern Canada, eastern Siberia, and northern islands such as Wrangel Island, is home to S. bronchialis subsp. funstonii (Small) Hulte´n, S. bronchialis subsp. codyana (Zhmylev) Cody, and S. cherlerioides D. Don. Many species have been described from central Asia and Siberia (CAS), from Chukotka to Baikal and China and south to Kamchatka, including S. caulescens Sipliv., S. bronchialis, S. spinulosa and their putative relatives. Japan and southern, coastal Asia (JAP) harbors a limited number of endemic taxa: S. nishidae Miyabe & Kudoˆ and S. rebunshirensis (Engl. & Irmsch.) Sipliv. Interestingly, S. Introduction Plants of the genus Saxifraga L. (Saxifragaceae Juss.) have been used extensively in the fields of systematics and phylogeography to broaden our understanding of the patterns and processes of diversification in arctic and alpine regions. Because Saxifraga has a primarily arctic-alpine distribution and those regions are dramat- ically impacted by climatic variability [1], saxifrages are excellent organisms for investigating biotic responses to climate change. Studies on a suite of saxifrages have helped to develop the roles that geographic isolation and dispersal have played in the process of speciation [2,3,4,5]. Indeed, in depth studies concerning the evolutionary history of S. oppositifolia L. [6,7,8] serve as a foundation for how arctic-alpine plants have responded to the climatic shifts of the Quaternary. Phylogenies form the basis of such studies, and have been generated for the Saxifragaceae [9], Saxifraga [10], and the major sections within Saxifraga, including sect. Ciliatae Haworth [11], sect. Ligulatae Haworth [12], and sect. Saxifraga Webb & Gornall [13]. Yet, sect. Trachyphyllum (Gaud.) Koch has been largely ignored by molecular systematists even though the section resides in a basal position within the genus and thus likely holds valuable clues concerning the origin and g [ ] As currently defined, sect. Trachyphyllum consists of anywhere from approximately 8–26 species (Table 1), depending on the taxonomic treatment, with Europeans and North Americans [15,17,19] accepting few species and Russian botanists adopting the more narrow species concept with many accepted species [14,20,21,22]. Gaudin [23] first described sect. Trachyphyllum as being herbaceous with lanceolate, spinulose-ciliate leaves and white flowers and assigned S. aspera L. as the type for the section. As the common name ‘rough-leaved saxifrages’ implies, the stiff hairs along the margins and tips of their evergreen leaves give them a rough appearance and feel. The constituent taxa are perennials that grow in loose to dense mats. Their leaves are alternate, narrow, usually lanceolate, stiff, either entire or 3-lobed at the tip, and arranged in tight rosettes. While the margins typically exhibit strong, broad-based hairs, the tip may be apiculate or strongly mucronate. Both leaf surfaces are generally hairless and lime-secreting hydathodes are absent. Glandular hairs are multiseriate. Axillary buds are prominent but not summer July 2013 | Volume 8 | Issue 7 | e69814 1 PLOS ONE | www.plosone.org Phylogeny of Saxifraga sect. Trachyphyllum In contrast, S. bronchialis s. str. is widespread across that entire range. In the North American interior (NAI) S. Specimen sampling Specimens of sect. Trachyphyllum used in the genetic analyses were either collected directly from the field or obtained through herbaria loans (see Table 1 for accession numbers). Freshly collected samples were stored on ice or dried on silica gel prior to storage at 220uC. For the newly collected specimens, collecting permits were provided by the Arctic National Wildlife Refuge (permit #2006-S6), the Gates of the Arctic National Park (GAAR- 2008-SCI-0001), and the Noatak National Preserve (NOAT-2008- SCI-0003) and voucher specimens were archived at the Western Washington University Herbarium (WWB). We sequenced spec- imens of 19 taxa (Table 1), including at least one individual of all the generally accepted species as well as many additional taxa of interest. The number of individuals sampled from the five regions (Fig. 1) used in the geographic analyses are as follows: NAI = 15, NAC = 6, BER = 11, CAS = 11, JAP = 3. Given their extensive The section is found in the arctic-alpine and subalpine environments, with a primarily trans-Beringian distribution though two species are restricted to the mountains of Europe (Table 1, Fig. 1). The majority of the taxa are patchily and narrowly distributed in a geographic arc around the north Pacific. PLOS ONE | www.plosone.org July 2013 | Volume 8 | Issue 7 | e69814 2 July 2013 | Volume 8 | Issue 7 | e69814 Phylogeny of Saxifraga sect. Trachyphyllum Table 1. Current taxonomy, distribution, and sampling of Saxifraga sect. Trachyphyllum. Current nomenclature1 Suggestions2 Distribution3 N Herbaria accession GenBank accession S. algisii Egorova & Sipliv.4 RU: Siberia 0 - S. arinae Zhmylev4 RU: Shikotan Island 0 - S. aspera L. EU: Pyrenees, Alps, Apennines 2 RBGE-E00421806 KF196319; WWB-22810 KF196371-72 S. balandinii Zhmylev4 RU: Kamchatka 0 - S. bronchialis L. RU: northern RU to Pacific Coast 2 WTU-283068, 282875 KF196360-61; KF196396- 97 S. bronchialis L. subsp. anadyrensis (Losinsk.) Kozhern RU: Magadan to mouth of Lena River 2 ALA-V154288, V78524 KF196358; KF196374 S. bronchialis L. subsp. austromontana (Wiegand) Piper S. austromontana Wiegand NA: Cascade Mtns. , Rocky Mtns. 11 RMH-619568, 750642, 750643, 750647, 758235, KF196332-38, KF196343- 47; 779011, 780148 KF196398-409 WTU-361429, 369601 WWB-22800, 22801 S. bronchialis L. subsp. codyana (Zhmylev) Cody S. codyana Zhmylev NA: Alaska, Yukon 1 UBC-V212762 KF196327; KF196379 S. bronchialis L. subsp. funstonii (Small) Hulte´n S. Specimen sampling funstonii (Small) Fedde RU: Taimyr to Chukotka, Kamchatka; 3 ALA-V121070, V156966, V156968 KF196326,28,29-31,62,65; NA: Alaska, Yukon, British Columbia 4 WTU-356796 KF196393-95, WWB-22807, 22808, 22809 KF196410-12,17 S. bryoides L. EU: Pyrenees, Alps, Carpathians 1 WWB-22811 KF196318; KF196373 S. caulescens Sipliv. RU: Siberia; Mongolia 1 RBGE-E00258082 KF196325; KF196375 S. cherlerioides D. Don RU: Sakhalin, Kuril Islands, Okhotsk NA: Alaska, Yukon 3 WTU-358172, 358184, 358185 KF196363-64, KF196366; KF196376-78 S. cherlerioides D. Don subsp. ascoldica (Sipliv.) Vorosch.4 RU: Siberia 0 - S. derbekii Sipliv. RU: Far East near Sea of Okhotsk 1 UBC-V164312 KF196367; KF196380 S. kolymensis A. P. Khokhr.4 RU: Magadan 0 - S. kruhsiana Fisch. ex Ser. RU: Kamchatka, Okhotsk 2 ALA-V10779, V10779 KF196356-57; KF196381- 82 S. nishidae Miyabe & Kudoˆ Japan: Hokkaido: Yuubari Mountains 1 RBGE-E00295524 KF196324; KF196383 S. omolojensis A. P. Khokhr. RU: Chukotka to Okhotsk 1 ALA-V129124 KF196368; KF196384 S. rebunshirensis (Engl. & Irmsch.) Sipliv. Japan: Rebun; RU: Sakhalin 1 UBC-V164570 KF196323; KF196385 S. spinulosa Adams RU: Urals to Chukotka, Kamchatka 2 ALA-V107682, V168369 KF196354-55; KF196386- 87 S. stelleriana Merk. ex Ser. S. bronchialis L. RU: Angara to Okhotsk, Zea, Lk. Baikal 1 ALA-V154286 KF196359; KF196388 S. taylorii Calder & Savile NA: British Columbia - Haida Gwaii 3 UBC-V214354, V214965, WWB-22805KF196351-53; KF196389- 90 S. tricuspidata Rottb. NA: Alaska, Canada, Greenland 4 RMH-363418 KF196339-42; WWB-22802, 22803, 22804 KF196413-16 S. vespertina (Small) Fedde NA: Olympic Mtns., Cascade Mtns. 3 WTU-284404, UBC-V159757, WWB- 22806 KF196348-50; KF196391- 92 N is the number of individuals sequenced per taxon. 1Taxon names were confirmed through IPNI, Tropicos, and The Plant List. 2Suggested taxonomic revisions based on our phylogenetic inferences. 3Abbreviations used for geographic locations: EU = Europe, NA = North America, RU = Russia. 4Unresolved taxon of sect. Trachyphyllum not available for this study. N is the number of individuals sequenced per taxon. 1Taxon names were confirmed through IPNI, Tropicos, and The Plant List. 2Suggested taxonomic revisions based on our phylogenetic inferences. 3Abbreviations used for geographic locations: EU = Europe, NA = North America, RU = Russia. 4Unresolved taxon of sect. Trachyphyllum not available for this study. doi:10.1371/journal.pone.0069814.t001 July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org 3 Phylogeny of Saxifraga sect. Trachyphyllum Table 2. Taxonomic history of the circumscription of Saxifraga sect. Trachyphyllum. Author Date Genus Section Sub-section Taxa included1 Ref Linnaeus 1753 Saxifraga S. aspera, S. bronchialis, S. bryoides [24] Haworth 1821 Ciliaria S. aspera, S. bronchialis, S. Specimen sampling bryoides [70] Leptasea S. tricuspidata Don 1822 Saxifraga Leiogyne S. aspera, S. bronchialis, S. bryoides, S. cherlerioides [71] Verae S. tricuspidata Gaudin Saxifraga Trachyphyllum S. aspera, S. bryoides [23] Koch 1836 Saxifraga Trachyphyllum S. aspera, S. bryoides, S. tenella Wulfen, S. aizoides L. [94] Small 1905 Leptasea S. aspera, S. bronchialis, S. bronchialis subsp. austromontana2, S. bronchialis subsp. funstonii2, S. bryoides, S. cherlerioides, S. tricuspidata, S. vespertina [57] Engler & Irmscher 1919 Saxifraga Trachyphyllum S. aspera, S. bronchialis, S. bronchialis subsp. austromontana3, S. bronchialis subsp. funstonii3, S. bryoides3, S. cherlerioides3, S. kruhsiana3, S. omolojensis4, S. rebunshirensis3, S. spinulosa3, S. stelleriana3, S. tricuspidata, S. vespertina3 [58] Losina- Losinskaya5 1939 Saxifraga Trachyphyllum S. bronchialis, S. bronchialis subsp. anadyrensis, S. cherlerioides, S. spinulosa, S. eschscholtzii Sternb. [25] Calder & Savile6 1957 Saxifraga Trachyphyllum S. bronchialis subsp. austromontana, S. bronchialis subsp. funstonii, S. cherlerioides, S. taylorii, S. tricuspidata, S. vespertina [19] Siplivinsky7 1971 Saxifraga Trachyphyllum S. algisii, S. ascoldica, S. bronchialis, S. bronchialis subsp. anadyrensis, S. bronchialis subsp. funstonii, S. caulescens, S. cherlerioides, S. derbekii, S. kruhsiana, S. omolojensis4, S. rebunshirensis, S. spinulosa, S. stelleriana [20] Khokhryakov7 1979 Saxifraga Trachyphyllum Criomorphicae S. algisii, S. bronchialis subsp. funstonii, S. cherlerioides, S. kruhsiana, S. spinulosa [21] Xeromorphicae S. ascoldica, S. bronchialis, S. bronchialis subsp. anadyrensis, S. caulescens, S. derbekii, S. kolymensis, S. omolojensis, S. rebunshirensis Zhmylev & Khokhryakov 1985 Saxifraga Trachyphyllum Criomorphicae Same as Khokhryakov, excluding S. algisii but including S. bronchialis subsp. austromontana, S. vespertina [22] Xeromorphicae Same as Khokhryakov, but also S. algisii Dentaphyllae S. tricuspidata, S. taylorii Fibrosophyllae S. aspera, S. bryoides Weber 1982 Ciliaria S. bronchialis subsp. austromontana, S. bronchialis subsp. funstonii, S. tricuspidata, S. vespertina [95] Gornall 1987 Saxifraga Trachyphyllum Same as Engler & Irmscher, but also S. algisii, S. ascoldica, S. bronchialis subsp. anadyrensis, S. caulescens, S. derbekii, S. kolymensis, S. taylorii [59] McGregor 2008 Saxifraga Trachyphyllum Same as Gornall, but also S. balandinii, S. nishidae [16] 1The list of included species uses currently accepted names (see Table 1) and is only exhaustive for S. sect. Trachyphyllum. For the other genera, the lists of taxa are abbreviated to only show species circumscribed at some point within S. sect. Trachyphyllum. 2Small considered these taxa individual species. 3Engler and Irmscher considered S. bryoides a subspecies of S. aspera and the others as varieties within S. bronchialis. 4Given as S. multiflora in these references. 5Losina-Losinskaya only focused on taxa occurring within the U.S.S.R. Specimen sampling and assumed S. bronchialis subsp. funstonii synonymous with S. cherlerioides. 6Calder and Savile only focused on North American taxa. 7Siplivinsky and Khokhryakov were only concerned with taxa of the U.S.S.R. doi:10.1371/journal.pone.0069814.t002 ferruginea (Graham) Brouillet & Gornall, Saxifraga oppositifolia, S. flagellaris Wildenow, and S. eschscholtzii Sternb. and disjunct distributions, questionable taxonomy, and greater accessibility, we included more specimens of S. bronchialis subsp. austromontana and S. bronchialis subsp. funstonii in the analyses than the other taxa. On the other hand, most members of sect. Trachyphyllum have very restricted geographic distributions (Fig. 1), which made obtaining samples difficult. DNA extraction and phylogenetic reconstructions The major regions discussed in the text and investigated through biogeographic analyses are outlined in color: North America Interior (NAI) = blue; North America Coast (NAC) = green; Beringia (BER) = yellow; Central Asia & Siberia (CAS) = orange; Japan (JAP) = red. An inset map is provided for S. aspera and S. bryoides inhabiting the mountains of Europe because the ranges for those taxa are disjunct from the others. For greater resolution on the distributions of endemic taxa around the Sea of Okhotsk, the inset map for that region excludes S. bronchialis, S. bronchialis subsp. anadyrensis, S. cherlerioides, S. funstonii, and S. stelleriana. The Miller cylindrical projection map was generated using ArcMap [93]. doi:10.1371/journal.pone.0069814.g001 directions by the University of Washington High Throughput Genomics Unit (Seattle, WA). Sequences were then manually edited in Sequencher v4.8 (Gene Codes Corp.) and archived in GenBank (Table 1). C). Three independent sets of phylogenetic analyses were performed: i) Saxifraga based on the entire ITS dataset, ii) Saxifraga based on the entire trnL-F dataset, and iii) sect. Trachyphyllum based solely on a taxonomically reduced ITS dataset focused on members of the section and using only sequences generated in this study, such that there were no missing data for any individuals in the analysis. We analyzed the trnL-F and ITS markers separately because organelle and nuclear DNA have likely evolved under different population histories [43,44]. For each of the three analyses, we used maximum likelihood (ML) and Bayesian methods to reconstruct phylogenies. All trees were visualized in FigTree 1.3.1 [45] and archived in TreeBASE (http://purl.org/ phylo/treebase/phylows/study/TB2:S14345). The large discrep- ancy between the taxonomic datasets for the trnL-F and ITS analyses precluded formal tests of congruence between the trees. We performed additional quality control on all the ITS sequences because the region has known phylogenetic concerns [32]: i) evolving via concerted evolution, potentially obscuring true species phylogenies [33,34], ii) potential mistakes derived from comparing paralogous copies [35,36], iii) and potentially mislead- ing inferences at higher levels [37]. DNA extraction and phylogenetic reconstructions For all newly generated sequence data, total genomic DNA was isolated from leaf tissue using the MasterPure DNA Leaf Extraction Kit (Epicentre). Both molecular markers were PCR amplified following published protocols. We used primers trnLb2(UAA) and trnF(GAA) for the trnL-F region [30]. The entire ITS1, 5.8S and ITS2 region was amplified using primers 17SE and 26SE [31]. The trnL-F PCR products were sequenced directly, but ITS products were cloned using TOPO TA cloning kits (Invitrogen, Carlsbad, California) prior to sequencing. Purified plasmids from clones or PCR products were sequenced in both In order to circumscribe sect. Trachyphyllum and place the section within the broader Saxifraga phylogeny, we also obtained sequence data for other sections within Saxifraga and used additional Saxifragaceae as outgroups following Soltis et al. [9]. For the vast majority of specimens (99 taxa), data was downloaded from GenBank (see Appendix S1 for accession numbers). To this dataset, we added new DNA sequence data for Micranthes hieraciifolia (Waldstein & Kitaibel ex Willdenow) Haworth, M. PLOS ONE | www.plosone.org July 2013 | Volume 8 | Issue 7 | e69814 4 Phylogeny of Saxifraga sect. Trachyphyllum Figure 1. Distribution map of Saxifraga sect. Trachyphyllum. Distributions for all taxa are approximate based on herbaria records and literature descriptions [14,16,19,20,58]. All taxa used in the study are shown and labeled with their specific or subspecific epithet. The major regions discussed in the text and investigated through biogeographic analyses are outlined in color: North America Interior (NAI) = blue; North America Coast (NAC) = green; Beringia (BER) = yellow; Central Asia & Siberia (CAS) = orange; Japan (JAP) = red. An inset map is provided for S. aspera and S. bryoides inhabiting the mountains of Europe because the ranges for those taxa are disjunct from the others. For greater resolution on the distributions of endemic taxa around the Sea of Okhotsk, the inset map for that region excludes S. bronchialis, S. bronchialis subsp. anadyrensis, S. cherlerioides, S. funstonii, and S. stelleriana. The Miller cylindrical projection map was generated using ArcMap [93]. doi:10.1371/journal.pone.0069814.g001 Figure 1. Distribution map of Saxifraga sect. Trachyphyllum. Distributions for all taxa are approximate based on herbaria records and literature descriptions [14,16,19,20,58]. All taxa used in the study are shown and labeled with their specific or subspecific epithet. DNA extraction and phylogenetic reconstructions To overcome these, we followed the guidelines of Feliner and Rossello´ [38]: i) cloned all sequences, ii) partitioned each sequence into ITS1, 5.8S, and ITS2, iii) determined if the sequence was of fungal origin by performing a BLAST search against the NCBI fungal database, iv) examined the secondary structure of each region using GeneBee (www.genebee.msu.su/services/rna2_reduced.html) and the ITS2 Database [39] for expected structures, and v) examined each of the partitioned sequences for expected motifs and length. Further- more, the inferred secondary structures were used in sequence alignments. Finally, models of DNA substitution were estimated for each region independently and datasets were partitioned in the phylogenetic analyses (described below). Garli 2.0 [46] was employed to reconstruct the ML trees. Optimal ML trees for the trnL-F dataset were identified in Garli using the DNA substitution model estimated in jModeltest, with ten replicates per analysis. For the ITS datasets, the three regions (ITS1, 5.8S, ITS2) were partitioned with the appropriate model applied to each partition. For all the ML analyses, nodal support was assessed using 200 bootstrap replicates with 5 analysis replicates per bootstrap. Both the trnL-F and ITS sequence datasets were aligned in ClustalX 2.0 [40] and manually checked in MacClade 4.08a [41]. Sites of ambiguous homology and INDELS were excluded from analyses. Models of nucleotide substitution for all molecular markers were estimated in jModeltest 0.1.1 [42] as follows: trnL-F TVM+I+ C, ITS1 TIM2ef+I, 5.8S TIM3ef+I+ C, ITS2 TIM3ef+ Bayesian phylogenetic analyses were performed in MrBayes 3.2 [47]. For the ITS datasets, models of DNA substitution and rates of evolution were allowed to vary among partitions. All analyses were run for 4 million generations, with two simultaneous analyses, four chains each, using the default priors and repeated PLOS ONE | www.plosone.org July 2013 | Volume 8 | Issue 7 | e69814 July 2013 | Volume 8 | Issue 7 | e69814 5 Phylogeny of Saxifraga sect. Trachyphyllum Figure 2. Geographic models of population divergence. DNA extraction and phylogenetic reconstructions Models of population divergence based on the location of potential glacial refugia and possible origins and migration routes are shown as follows: A) Refugia - fragmentation of an ancestral population among all refugia, B) Southern Rocky Mountain (SRM) - an origin in the southern Rocky Mountains of North America followed by westward dispersal, C) and D) Japan I and II - origin in Japan with northern and eastward dispersal, and E) and F) Central Asia I and II - an Asian origin with southern and eastward dispersal. NAI = North America Interior, NAC = North America Cascadia, BER = Beringia, CAS = Central Asia & Siberia, JAP = Japan. Observed DC values and P-values for each model are shown. The coalescent simulations produced a distribution of DC values with mean = 8.18 and st. dev. = 2.34. The Refugia (A) and the SRM (B) models were supported at a,0.05. All others were rejected. doi:10.1371/journal.pone.0069814.g002 Phylogeny of Saxifraga sect. Trachyphyllum Figure 2. Geographic models of population divergence. Models of population divergence based on the location of potential glacial refugia and possible origins and migration routes are shown as follows: A) Refugia - fragmentation of an ancestral population among all refugia, B) Southern Rocky Mountain (SRM) - an origin in the southern Rocky Mountains of North America followed by westward dispersal, C) and D) Japan I and II - origin in Japan with northern and eastward dispersal, and E) and F) Central Asia I and II - an Asian origin with southern and eastward dispersal. NAI = North America Interior, NAC = North America Cascadia, BER = Beringia, CAS = Central Asia & Siberia, JAP = Japan. Observed DC values and P-values for each model are shown. The coalescent simulations produced a distribution of DC values with mean = 8.18 and st. dev. = 2.34. The Refugia (A) and the SRM (B) models were supported at a,0.05. All others were rejected. DNA extraction and phylogenetic reconstructions doi:10.1371/journal.pone.0069814.g002 hypothesized refugial areas, with each region as the possible origin and potential routes of dispersal: i) Refugia - fragmentation of an ancestral population among all refugia, ii) Southern Rocky Mountain (SRM) - an origin in the southern Rocky Mountains of North America followed by westward dispersal and divergence across Beringia and then south and further west in Asia, iii) Japan - origin in Japan with eastward dispersal and divergence across Beringia then south and further east in North America, and iv) Central Asia - and Asian origin with southern and eastward dispersal and divergence across Beringia then south and further east in North America. We tested whether the fit of the observed gene tree (reconstructed through our bayesian phylogenetic analyses of sect. Trachyphyllum using the ITS data) to each model of population divergence was better than expected by random. First we estimated the amount of discordance between our observed tree and each model (Fig. 2) using the deep coalescence (DC [51]), which assumes discordance is due to incomplete lineage sorting. Then, we generated a null distribution of DC values based 3 times from different random seeds to confirm convergence on similar topologies. Twenty-five percent of the trees were discarded as burn-in based on stationarity as determined by both the measure of similarity of tree samples calculated in MrBayes (with average standard deviation of split frequencies ,0.01) and by visualizing posterior distributions in Tracer v1.5 [48]. Tests of biogeographic history for sect. Trachyphyllum First, we tested geographic models of population divergence through coalescent simulations of gene trees in a fashion similar to that pioneered by Knowles [49] that gave rise to the field of statistical phylogeography [50]. Mesquite 2.75 [27] was employed to test four general geographic models of population divergence visualized as species trees (Fig. 2). This is a conservative approach that does not rely on estimates of effective population size (Ne) or divergence time, but provides statistical tests that support or refute simple biogeographic hypotheses. Models of population diver- gence were created based on the geographic distribution of July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org 6 Phylogeny of Saxifraga sect. Trachyphyllum on coalescent simulations [49,52,53]. To do so, we used our observed gene tree as the ‘constrained’ tree to simulate 10,000 ‘constraining’ trees (divergence models, which can be thought of as species trees) that could have given rise to the observed tree. The DC for each simulated constraining tree was then estimated by comparing it to the observed tree to yield a null frequency distribution of 10,000 DC values. The DC value for the observed sect. Trachyphyllum tree was compared with the simulated distribution to statistically test whether the observed tree was more likely to have arisen under the given model than by chance. If the DC value for the observed tree constrained within a given model fell within that of the null distribution (at p .0.05), that model was rejected. If, however, the DC value for the observed tree constrained within a given model gave a better fit than expected by the null distribution (at p,0.05), then the model was accepted as a possible scenario that could have led to the distribution of the genetically distinct taxa observed today. values for both a and b were estimated and visualized using the posterior distribution in R [67]. We ran the Ancestral State Reconstruction (ASR) analyses using the a and b rate priors estimated in SIMMAP (Table 3), as well as with 106 and 0.16 priors to check for any prior-based bias in driving the results, following Torices and Anderberg [68]. The ASR was performed for each character, using the post-burn-in trees from MrBayes. To ensure that the analysis was not biased by taxonomic sampling, trees were pruned to one individual per taxon, but we also included one individual from both of the S. Assessing utility of morphological characters Assessing utility of morphological characters Stochastic character mapping was used to estimate ancestral states for clades evident in the sect. Trachyphyllum phylogeny and provide a framework for investigating the utility of morphological characters for defining evolutionary associations in this section. The characters and traits were derived from the literature and original monographs [15,17,19,21,22,25,57,58,59,60,61,62,63,64]. Sixteen characters (Table 3) that are widely discussed in the literature and used to delineate taxa within sect. Trachyphyllum were coded and then converted to an xml file with Nex2Xml [29] for use in SIMMAP 1.5 [65] to identify potential synapomorphies for each clade, following Calvente et al. [66]. We followed the recommendations of Bollback [29] to estimate priors. First, the overall a and b rate values for each character were sampled in SIMMAP by running MCMC analyses for each character. Then, the best fitting rate Stochastic character mapping was used to estimate ancestral states for clades evident in the sect. Trachyphyllum phylogeny and provide a framework for investigating the utility of morphological characters for defining evolutionary associations in this section. The characters and traits were derived from the literature and original monographs [15,17,19,21,22,25,57,58,59,60,61,62,63,64]. Sixteen characters (Table 3) that are widely discussed in the literature and used to delineate taxa within sect. Trachyphyllum were coded and then converted to an xml file with Nex2Xml [29] for use in SIMMAP 1.5 [65] to identify potential synapomorphies for each clade, following Calvente et al. [66]. We followed the recommendations of Bollback [29] to estimate priors. First, the overall a and b rate values for each character were sampled in SIMMAP by running MCMC analyses for each character. Then, the best fitting rate Circumscription and phylogeny of sect. Trachyphyllum Circumscription and phylogeny of sect. Trachyphyllum Both chloroplast and nuclear markers clearly show that sect. Trachyphyllum is polyphyletic (Fig. 3, 4, 5), occurring in two separate clades within Saxifraga. Clade T1 was comprised of S. aspera, the type for the section, and S. bryoides and fell within sect. Ligulatae. Without those two species, Clade T2 of sect. Trachy- phyllum is the sister group of the Saxifraga clade including the remaining sections and is strictly trans-Beringian. Both markers also advocate a distinction between North American and Asian lineages, though this is not significant for the trnL-F region (posterior probability = 0.85). Beyond those findings, the cpDNA tree provided no further resolution within sect. Trachyphyllum, and therefore, from here we focus our discussion on the ITS trees. The two ITS phylogenies (Fig. 3 and 5) resolved the same topology with similar support values, though the tree based on the complete ITS dataset generated in this study (Fig. 5) yielded stronger support at a few nodes. Within sect. Trachyphyllum Clade T2, both Bayesian and ML analyses of the two ITS datasets strongly supported several monophyletic groups (sub-clades 3 - North American Arctic- Alpine, 18 - Coastal Cascadia, 7 - Beringia and Asian Islands, 12 - North Pacific, 13 Central Asia [including 14 - Spinulosa and 16 - Bronchialis], and 17 - Okhotsk; Fig. 5), suggesting several taxonomic reversals to prior names: S. austromontana Wiegand, S. funstonii (Small) Fedde, S. codyana Zhmylev (or included within S. funstonii at the infraspecific level), and the potential inclusion of S. stelleriana Merk. ex. Ser. within S. bronchialis (Table 1). As such, we use these classifications in the text from hereon. These sub-clades do not correspond to the previous taxonomic classification schemes (Table 2; sub-sections Criomorphicae, Dentaphyllae, Xeromor- phicae) of Khokhryakov [21] and Zhmylev and Khokhryakov [22]. Rather, clade membership appears to be aligned with geograph- ical locations (Table 1, Fig. 5). Tests of biogeographic history for sect. Trachyphyllum bronchialis subsp. austromontana clades. The outgroups were used for rooting the trees but were excluded from the ASR analyses. Significance for ASR posterior probabilities was determined for well-supported clades in the phylogeny. Ancestral character states that were significant (p.0.95) for a given clade were determined to be useful for inferring evolutionary relationships. Next, we used Lagrange [28,54] to test more complex models of directional biogeographic expansion and infer the geographic origin of the clade. Lagrange v. 20120508 [28] employs a maximum likelihood framework for testing models of geographic range evolution based on a dispersal-extinction-cladogenesis model. To maintain consistency between our approaches, we used our bayesian phylogeny reconstructed from the ITS data as our tree, but modified it to meet the requirements of the analyses: we scaled its length to absolute time (220 ky) based on a 1.72 substitutions/site/year rate estimated for the ITS in Saxifraga (an estimate that fits well with other rates for herbaceous angiosperms [55]), and made all nodes bifurcating. We constructed five models, similar to but more complex than those used in the preceding Mesquite analyses. Each of the models was temporally stratified over 240 ky, so that dispersal was possible between adjacent areas during warm interglacials (0–10 kya; 90–130 kya; 190–240 kya), but restricted during glacial periods (10–90 kya; 130–190 kya). The models of range evolution were: i) SRM - dispersal from North America through Beringia to Asia; ii) BER - dispersal from Beringia outward to Asia and North America; iii) JAP -dispersal from Japan through Asia and Beringia to North America; iv) CAS - dispersal from Central Asia & Siberia through Beringia to North America; and v) REF - a refugia model that restricted all dispersal prior to 10 kya, but permitted unrestricted dispersal between adjacent regions during the Holocene. The phylogeny and range matrix defining the region from which each specimen was collected were uploaded to the Lagrange configurator [56], biogeographic models were defined as above allowing for two potential ancestral regions per node, and a python file was configured for use in the Lagrange analyses. Results We generated a total of 104 new DNA sequences for the Saxifragaceae, 52 for each genetic marker - chloroplast trnL-F and nuclear ITS. A visual comparison of the gene trees reconstructed by using trnL-F and ITS loci reveals that both markers share the same basic tree topology and are similar to previous published phylogenies [9,10,11,12,13], but our ITS analyses incorporated many more taxa and yielded higher resolution. Biogeographic history Our coalescent-based analyses of population divergence in Mesquite strongly supported scenarios of genetic divergence due to July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org 7 Phylogeny of Saxifraga sect. Trachyphyllum Table 3. Morphological characters, SIMMAP priors, and resulting posterior probabilities from the Ancestral State Reconstructions (ASR) for Saxifraga sect. Trachyphyllum. Character: 1. Habit (mat) 2. Leaf Shape 3. Leaf Margin 4. Leaf cartilaginous 5. Leaf cilia 6. Leaf apex shape Trait: dense loose linear broad entire 3-lobed yes no hairy gland acute round a - prior*: 5.442 3.472 2.825 2.979 5.045 2.866 b - prior*: 0.240 0.348 0.685 0.440 0.271 0.724 Clade 1 Trachyphyllum 0.81 0.19 0.00 1.00 0.99 0.01 1.00 0.00 0.94 0.06 1.00 0.00 2 0.46 0.54 0.00 1.00 0.96 0.04 1.00 0.00 0.89 0.11 1.00 0.00 3 NA Arctic-Alpine 0.42 0.58 0.00 1.00 0.73 0.27 1.00 0.00 0.65 0.35 1.00 0.00 6 0.82 0.18 0.00 1.00 0.95 0.05 0.25 0.75 0.71 0.29 1.00 0.00 7 Beringia & Asian Is 0.76 0.24 0.00 1.00 1.00 0.00 0.98 0.02 0.70 0.30 1.00 0.00 8 0.24 0.76 0.00 1.00 1.00 0.00 1.00 0.00 0.78 0.22 1.00 0.00 9 0.42 0.58 0.00 1.00 1.00 0.00 1.00 0.00 0.59 0.41 0.87 0.13 11 0.56 0.44 0.00 1.00 1.00 0.00 1.00 0.00 0.78 0.22 1.00 0.00 12 North Pacific 0.22 0.78 0.10 0.90 1.00 0.00 0.92 0.08 0.82 0.18 1.00 0.00 13 Central Asia 0.33 0.67 0.11 0.89 1.00 0.00 1.00 0.00 0.71 0.29 1.00 0.00 14 Spinulosa 0.01 0.99 0.00 1.00 0.00 1.00 0.93 0.07 0.99 0.01 0.79 0.21 16 Bronchialis 0.46 0.54 0.00 1.00 0.96 0.04 1.00 0.00 0.89 0.11 1.00 0.00 17 Okhotsk 0.42 0.58 0.00 1.00 0.73 0.27 1.00 0.00 0.65 0.35 1.00 0.00 18 Coastal Cascadia 0.08 0.92 0.00 1.00 0.82 0.18 1.00 0.00 0.88 0.12 1.00 0.00 Character: 7. Leaf surface 8. Leaf Keel 9. Stem surface 10. Sepal shape 11. Sepal margin 12. Biogeographic history Sepal surface Trait: glab hairy none keeled glab gland triangular ovate glab ciliate glab gland a - prior*: 1.193 2.208 3.070 3.062 2.057 2.473 b - prior*: 1.259 1.398 0.590 0.497 0.249 0.896 Clade 1 Trachyphyllum 1.00 0.00 0.02 0.98 0.00 1.00 0.01 0.99 0.01 0.99 0.68 0.32 2 1.00 0.00 0.00 1.00 0.00 1.00 0.01 0.99 0.00 1.00 0.63 0.37 3 NA Arctic-Alpine 1.00 0.00 0.00 1.00 0.00 1.00 0.14 0.86 0.00 1.00 0.04 0.96 6 1.00 0.00 0.59 0.41 0.03 0.97 0.00 1.00 0.00 1.00 1.00 0.00 7 Beringia & Asian Is 1.00 0.00 0.00 1.00 0.00 1.00 0.01 0.99 0.00 1.00 1.00 0.00 8 1.00 0.00 0.30 0.70 0.02 0.98 0.00 1.00 0.01 0.99 0.94 0.06 9 1.00 0.00 0.00 1.00 0.00 1.00 0.00 1.00 0.00 1.00 0.74 0.26 11 1.00 0.00 0.00 1.00 1.00 0.00 0.00 1.00 0.49 0.51 1.00 0.00 12 North Pacific 1.00 0.00 1.00 0.00 0.92 0.08 0.08 0.92 0.49 0.51 1.00 0.00 13 Central Asia 0.98 0.02 1.00 0.00 0.00 1.00 0.08 0.92 0.00 1.00 0.05 0.95 14 Spinulosa 1.00 0.00 0.00 1.00 0.05 0.95 0.00 1.00 0.99 0.01 1.00 0.00 Table 3. Morphological characters, SIMMAP priors, and resulting posterior probabilities from the Ancestral State Reconstructions (ASR) for Saxifraga sect. Trachyphyllum. Character: 1. Habit (mat) 2. Leaf Shape 3. Leaf Margin 4. Leaf cartilaginous 5. Leaf cilia 6. Biogeographic history Leaf apex shape Trait: dense loose linear broad entire 3-lobed yes no hairy gland acute round a - prior*: 5.442 3.472 2.825 2.979 5.045 2.866 b - prior*: 0.240 0.348 0.685 0.440 0.271 0.724 Clade 1 Trachyphyllum 0.81 0.19 0.00 1.00 0.99 0.01 1.00 0.00 0.94 0.06 1.00 0.00 2 0.46 0.54 0.00 1.00 0.96 0.04 1.00 0.00 0.89 0.11 1.00 0.00 3 NA Arctic-Alpine 0.42 0.58 0.00 1.00 0.73 0.27 1.00 0.00 0.65 0.35 1.00 0.00 6 0.82 0.18 0.00 1.00 0.95 0.05 0.25 0.75 0.71 0.29 1.00 0.00 7 Beringia & Asian Is 0.76 0.24 0.00 1.00 1.00 0.00 0.98 0.02 0.70 0.30 1.00 0.00 8 0.24 0.76 0.00 1.00 1.00 0.00 1.00 0.00 0.78 0.22 1.00 0.00 9 0.42 0.58 0.00 1.00 1.00 0.00 1.00 0.00 0.59 0.41 0.87 0.13 11 0.56 0.44 0.00 1.00 1.00 0.00 1.00 0.00 0.78 0.22 1.00 0.00 12 North Pacific 0.22 0.78 0.10 0.90 1.00 0.00 0.92 0.08 0.82 0.18 1.00 0.00 13 Central Asia 0.33 0.67 0.11 0.89 1.00 0.00 1.00 0.00 0.71 0.29 1.00 0.00 14 Spinulosa 0.01 0.99 0.00 1.00 0.00 1.00 0.93 0.07 0.99 0.01 0.79 0.21 16 Bronchialis 0.46 0.54 0.00 1.00 0.96 0.04 1.00 0.00 0.89 0.11 1.00 0.00 17 Okhotsk 0.42 0.58 0.00 1.00 0.73 0.27 1.00 0.00 0.65 0.35 1.00 0.00 18 Coastal Cascadia 0.08 0.92 0.00 1.00 0.82 0.18 1.00 0.00 0.88 0.12 1.00 0.00 July 2013 | Volume 8 | Issue 7 | e69814 8 Phylogeny of Saxifraga sect. Trachyphyllum Character: 7. Leaf surface 8. Leaf Keel 9. Stem surface 10. Sepal shape 11. Sepal margin 12. Sepal surface Trait: glab hairy none keeled glab gland triangular ovate glab ciliate glab gland 16 Bronchialis 1.00 0.00 0.00 1.00 0.00 1.00 0.01 0.99 0.00 1.00 0.63 0.37 17 Okhotsk 1.00 0.00 0.00 1.00 0.00 1.00 0.14 0.86 0.00 1.00 0.04 0.96 18 Coastal Cascadia 1.00 0.00 0.00 1.00 0.00 1.00 0.00 1.00 0.07 0.93 1.00 0.00 Character: 13. Petal color 14. Petal spotting 15. Petal length 16. July 2013 | Volume 8 | Issue 7 | e69814 Biogeographic history Trachyphyllum Figure 3. Saxifraga phylogeny based on the nuclear Pie graphs on branches indicate relationships that are w under Bayesian (upper; black .0.95, gray 0.90–0.94) a likelihood (lower; black .70, gray 60–69) tree-building sections of Saxifraga are labeled. Clade T1, including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to the main clade of sect. Trachyphyllum, Clade T2. For members of the genus Saxifraga, only the specific or subspecific epithet is used to label each taxon on the tree. doi:10.1371/journal.pone.0069814.g003 sections of Saxifraga are labeled. Clade T1, including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to the main clade of sect. Trachyphyllum, Clade T2. For members of the genus Saxifraga, only the specific or subspecific epithet is used to label each taxon on the tree. doi:10.1371/journal.pone.0069814.g003 doi:10.1371/journal.pone.0069814.g003 isolation among refugia. The mean DC of the simulated distribution for the models was 8.18 (st. dev. = 2.34). The Refugia (observed DC = 2, p = 0.006) and Southern Rocky Mountain (observed DC = 3, p = 0.028) models could not be rejected at a = 0.05. Eastern origins in Japan (p = 0.879) and Asia (p = 0.339) were rejected. Thus, these tests supported both geographically driven divergence among refugia and a probable origin of sect. Trachyphyllum Clade T2 in North America followed by westward dispersal across Beringia and into Asia. The tests of geographic range evolution in Lagrange refined the conclusions from the aforementioned biogeographic tests. The SRM model, with an ancestral range in the interior of North America (NAI) and subsequent westward dispersal across Beringia and into central Asia and south to Japan was the most likely of the hypotheses tested (Table 4). All other models had lower likelihoods, beyond the two log-likelihood unit confidence window (Edwards 1992). The BER model was the next most likely scenario and it also inferred a potential ancestral range in the NAI along with Beringia, though this was not significantly more likely that the other inferred ancestral areas. A closer examination of the range evolution across the phylogeny (Fig. 6) reveals a general pattern of dispersal and cladogenesis - colonists from one area disperse to another and undergo allopatric divergence, with the local extinction of some lineages. Biogeographic history Though the models were not constrained by which lineages dispersed to Beringia and then further westward, the resulting inference is one of dispersal primarily along the coastal mountains and islands from Cascadia to Beringia and then independently south to Japan and east to central Asia (Fig. 6). Figure 3. Saxifraga phylogeny based on the nuclear ITS re Pie graphs on branches indicate relationships that are well-sup under Bayesian (upper; black .0.95, gray 0.90–0.94) and ma likelihood (lower; black .70, gray 60–69) tree-building metho Biogeographic history Petal claw Trait: white yellow none yellow YOR Purple , = 4 mm .4 mm none clawed a - prior*: 3.774 5.616 2.470 3.666 b - prior*: 0.247 0.514 0.418 0.567 Clade 1 Trachyphyllum 0.99 0.01 0.00 0.00 0.98 0.02 0.00 1.00 0.99 0.01 2 1.00 0.00 0.00 0.00 1.00 0.00 0.00 1.00 1.00 0.00 3 NA Arctic-Alpine 1.00 0.00 0.00 0.00 1.00 0.00 0.00 1.00 1.00 0.00 6 0.86 0.14 0.00 0.01 0.14 0.84 0.00 1.00 1.00 0.00 7 Beringia & Asian Is 0.76 0.24 0.00 0.07 0.01 0.92 0.00 1.00 0.96 0.04 8 0.85 0.15 0.00 0.00 0.67 0.33 0.00 1.00 1.00 0.00 9 0.51 0.49 0.00 0.18 0.81 0.00 0.22 0.78 0.82 0.18 11 0.54 0.46 0.00 0.00 0.98 0.02 0.00 1.00 1.00 0.00 12 North Pacific 0.19 0.81 0.00 0.00 0.00 1.00 0.08 0.92 1.00 0.00 13 Central Asia 1.00 0.00 0.00 0.00 0.59 0.41 0.00 1.00 0.87 0.13 14 Spinulosa 1.00 0.00 0.15 0.00 0.83 0.01 0.00 1.00 0.94 0.06 16 Bronchialis 1.00 0.00 0.00 0.00 1.00 0.00 0.00 1.00 1.00 0.00 17 Okhotsk 1.00 0.00 0.00 0.00 1.00 0.00 0.00 1.00 1.00 0.00 18 Coastal Cascadia 0.99 0.01 0.00 0.00 0.96 0.03 0.00 1.00 1.00 0.00 Clades correspond to those in Fig. 5, 7. Posterior probabilities .0.90 are shaded in gray and those .0.95 are in bold. *Priors at 0.106and 106were also tested but did not affect significance of posterior probabilities (not shown). Glabrous is abbreviated as glab. Glandular is abbreviated gland. The traits YOR and Purple in 14. Petal spotting stand for yellow-orange-red and pink-purple, respectively. NE | www plosone org 9 July 2013 aracter: 7. Leaf surface 8. Leaf Keel 9. Stem surface 10. Sepal shape 11. Sepal margin 12. Sepal surface it: glab hairy none keeled glab gland triangular ovate glab ciliate glab gland Bronchialis 1.00 0.00 0.00 1.00 0.00 1.00 0.01 0.99 0.00 1.00 0.63 0.37 Okhotsk 1.00 0.00 0.00 1.00 0.00 1.00 0.14 0.86 0.00 1.00 0.04 0.96 Coastal Cascadia 1.00 0.00 0.00 1.00 0.00 1.00 0.00 1.00 0.07 0.93 1.00 0.00 aracter: 13. Petal color 14. Petal spotting 15. Petal length 16. Petal claw it: white yellow none yellow YOR Purple , = 4 mm .4 mm none clawed July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org July 2013 | Volume 8 | Issue 7 | e69814 9 Phylogeny of Saxifraga sect. Morphology Our analyses into the morphological traits that define sub-clades in sect. Trachyphyllum Clade T2 demonstrated that while species- specific traits are useful in delineating taxa, few characters are phylogenetically informative and many have been misleading in the classification of sub-sections and series (Table 3, Fig. 7). The overall, statistically-significant (at posterior probability .0.95) ancestral state for Clade T2 included broad, non-cartilaginous, un- keeled leaves with entire margins, acute apices, and glabrous surfaces; glandular hairs on stems; ovate sepals with ciliate margins; and white, un-clawed, petals, that are .4 mm with yellow-orange-red spotting. The seven well-supported sub-clades differed by exhibiting the following traits (Table 3, Fig. 7). The North American Arctic- Alpine sub-clade is marked by broad, non-cartilaginous, un- keeled, glabrous leaves with acute tips; glandular stem surfaces; sepals with ciliate margins and glandular surfaces; white, un- clawed petals that have yellow-orange-red spots and are .4 mm long. Also in North America, the Coastal Cascadia sub-clade forms loose mats and has broad, 3-lobed, un-keeled, glabrous leaves with non-glandular cilia; glandular stem surfaces; ovate, glabrous sepals; and white petals .4 mm long. The Beringia and Asian Islands sub-clade exhibits broad, non-cartilaginous, un- keeled leaves with entire margins, acute tips, and glabrous surfaces; glandular stem surfaces; glabrous sepals with ciliate margins; and white, un-clawed petals that are .4 mm long and have pink-purple spotting. The North Pacific taxa fit the sect. Figure 3. Saxifraga phylogeny based on the nuclear ITS regions. Pie graphs on branches indicate relationships that are well-supported under Bayesian (upper; black .0.95, gray 0.90–0.94) and maximum likelihood (lower; black .70, gray 60–69) tree-building methods. The PLOS ONE | www.plosone.org July 2013 | Volume 8 | Issue 7 | e69814 10 Phylogeny of Saxifraga sect. Trachyphyllum Figure 4. Saxifraga phylogeny based on the chloroplast trnL-F locus. Pie graphs on branches indicate relationships that are well-sup under Bayesian (upper; black .0.95, gray 0.90–0.94) and maximum likelihood (lower; black .70, gray 60–69) tree-building methods (t posterior probability of 0.85 for a Eurasia/North America split within sect. Trachyphyllum is also given). The sections of Saxifraga are labeled. Cl including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to the main clade of sect. Trachyphyllum, Clade members of the genus Saxifraga, only the specific or subspecific epithet is used to label each taxon on the tree. doi:10.1371/journal.pone.0069814.g004 Figure 4. Saxifraga phylogeny based on the chloroplast trnL-F locus. Morphology Pie graphs on branches indicate relationships that are well-supported under Bayesian (upper; black .0.95, gray 0.90–0.94) and maximum likelihood (lower; black .70, gray 60–69) tree-building methods. Sub-clades referred to in the text are numbered (1–21). Locations are given for members of sect. Trachyphyllum, where CA = Canada, EU = Europe, RU = Russia, USA = United States, Is. = Island, and ONP = Olympic National Park. Clade T1, including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to the main clade of sect. Trachyphyllum, Clade T2. For members of the genus Saxifraga, only the specific or subspecific epithet is used to label each taxon on the tree. doi:10.1371/journal.pone.0069814.g005 Figure 5. Phylogeny for Saxifraga sect. Trachyphyllum, based on the entire ITS1, 5.8S, and ITS2 locus data generated in this study. Pie graphs on branches indicate relationships that are well-supported under Bayesian (upper; black .0.95, gray 0.90–0.94) and maximum likelihood (lower; black .70, gray 60–69) tree-building methods. Sub-clades referred to in the text are numbered (1–21). Locations are given for members of sect. Trachyphyllum, where CA = Canada, EU = Europe, RU = Russia, USA = United States, Is. = Island, and ONP = Olympic National Park. Clade T1, including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to the main clade of sect. Trachyphyllum, Clade T2. For members of the genus Saxifraga, only the specific or subspecific epithet is used to label each taxon on the tree. doi:10.1371/journal.pone.0069814.g005 Trachyphyllum ASR without the acute leaf apex or any inferences on petal morphology. Members of the Central Asian sub-clade, which was further subdivided into the Spinulosa and Bronchialis clades, share the characteristics of broad, non-cartilaginous leaves with entire margins, acute tips, and glabrous surfaces; ovate, glabrous sepals; and un-clawed petals that are .4 mm long. Finally, the Okhotsk sub-clade displayed non-cartilaginous, glabrous, keeled leaves with entire margins and an acute apex; glandular stem surfaces; glandular sepals with cilia, and white petals .4 mm long. Sub-clades showed a tendency for several other traits at p = 0.90 (Table 3). the focus of this study, we will only comment briefly on aspects of the genus tree that are not related to sect. Trachyphyllum. Seven other monophyletic clades are evident in the genus tree, with sect. Ciliatae being the most closely related to sect. Trachyphyllum and one of the basal-most clades [58]. Morphology Our sequence data for S. eschscholtzii placed it within sect. Ciliatae as anticipated [15], but in contrast to the earlier works of Losina Losinskaya [25] who had included it within sect. Trachyphyllum. Many of the previously un-analyzed GenBank accessions of Asian Saxifraga were also placed within sect. Ciliatae. Saxifraga sect. Saxifraga is a well-supported clade as had been previously inferred by Vargas [13], with S. osloensis appearing basal as in Zhang et al. [11]. The remaining sections are strongly supported (Cotylea Tausch, Porphyrion Tausch, Ligulatae, and Gymnopera D. Don). The only major differences within Saxifraga warranting taxonomic revision are concerning the circumscription of sect. Trachyphyllum. Morphology Pie graphs on branches indicate relationships that are well-supported under Bayesian (upper; black .0.95, gray 0.90–0.94) and maximum likelihood (lower; black .70, gray 60–69) tree-building methods (the low posterior probability of 0.85 for a Eurasia/North America split within sect. Trachyphyllum is also given). The sections of Saxifraga are labeled. Clade T1, including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to the main clade of sect. Trachyphyllum, Clade T2. For members of the genus Saxifraga, only the specific or subspecific epithet is used to label each taxon on the tree. doi:10.1371/journal.pone.0069814.g004 July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org 11 Phylogeny of Saxifraga sect. Trachyphyllum Figure 5. Phylogeny for Saxifraga sect. Trachyphyllum, based on the entire ITS1, 5.8S, graphs on branches indicate relationships that are well-supported under Bayesian (upper; bl (lower; black .70, gray 60–69) tree-building methods. Sub-clades referred to in the text are n sect. Trachyphyllum, where CA = Canada, EU = Europe, RU = Russia, USA = United States, Is. = including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to members of the genus Saxifraga, only the specific or subspecific epithet is used to label each doi:10.1371/journal.pone.0069814.g005 Figure 5. Phylogeny for Saxifraga sect. Trachyphyllum, based on the entire ITS1, 5.8S, graphs on branches indicate relationships that are well-supported under Bayesian (upper; b Figure 5. Phylogeny for Saxifraga sect. Trachyphyllum, based on the entire ITS1, 5.8S, and ITS2 locus data generated in this study. Pie graphs on branches indicate relationships that are well-supported under Bayesian (upper; black .0.95, gray 0.90–0.94) and maximum likelihood (lower; black .70, gray 60–69) tree-building methods. Sub-clades referred to in the text are numbered (1–21). Locations are given for members of sect. Trachyphyllum, where CA = Canada, EU = Europe, RU = Russia, USA = United States, Is. = Island, and ONP = Olympic National Park. Clade T1, including both S. aspera and S. bryoides, is shaded in gray to emphasize the position relative to the main clade of sect. Trachyphyllum, Clade T2. For members of the genus Saxifraga, only the specific or subspecific epithet is used to label each taxon on the tree. doi:10.1371/journal.pone.0069814.g005 y g y g yp y Figure 5. Phylogeny for Saxifraga sect. Trachyphyllum, based on the entire ITS1, 5.8S, and ITS2 locus data generated in this study. Discussion Evolutionary relationships of sections within Saxifraga Our analyses corroborated previous findings for Saxifraga, including monophyly of the genus and strong support for multiple clades/sections of Saxifraga from both chloroplast and nuclear markers. Given that the analysis of Saxifraga on the whole was not July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org 12 Phylogeny of Saxifraga sect. Trachyphyllum Figure 6. Most likely reconstruction of geographic range evolution in the SRM model for sect. Trachyphyllum, inferred through Lagrange. Colors correspond to areas shown on the map in Fig. 1 (blue = North America Interior [NAI]; green = North America Coast [NAC]; yellow = Beringia [BER]; orange = Central Asia & Siberia [CAS]; red = Japan [JAP]). On the phylogeny, white bars represent interglacial periods and gray bars denote glacials. Dispersal matrices for interglacial periods are shown above for each model, with ‘.’ representing directional dispersal and ‘-’ meaning no dispersal. Dispersal was not permitted during glacial periods. The models are as follows: SRM - origin in North America Interior followed by westward dispersal across Beringia and into Asia; BER - dispersal out of Beringia onto both continents; CAS - origin in Central Asia with eastward dispersal across Beringia and into North America; JAP - origin in Japan with eastward dispersal across Beringia and into North America; REF - isolation in each refugium with no dispersal possible until 10 - 0 kya. Time is shown in thousands of years along the bottom of the figure. doi:10.1371/journal.pone.0069814.g006 y g y g yp y Figure 6. Most likely reconstruction of geographic range evolution in the SRM model for sect. Trachyphyllum, inferred through Lagrange. Colors correspond to areas shown on the map in Fig. 1 (blue = North America Interior [NAI]; green = North America Coast [NAC]; yellow = Beringia [BER]; orange = Central Asia & Siberia [CAS]; red = Japan [JAP]). On the phylogeny, white bars represent interglacial periods and gray bars denote glacials. Dispersal matrices for interglacial periods are shown above for each model, with ‘.’ representing directional dispersal and ‘-’ meaning no dispersal. Dispersal was not permitted during glacial periods. Discussion The models are as follows: SRM - origin in North America Interior followed by westward dispersal across Beringia and into Asia; BER - dispersal out of Beringia onto both continents; CAS - origin in Central Asia with eastward dispersal across Beringia and into North America; JAP - origin in Japan with eastward dispersal across Beringia and into North America; REF - isolation in each refugium with no dispersal possible until 10 - 0 kya. Time is shown in thousands of years along the bottom of the figure. doi:10.1371/journal.pone.0069814.g006 Revised circumscription of sect. Trachyphyllum austromontana from Colorado and New Mexico fell outside the North American Arctic-Alpine sub-clade, though only well-supported in the ML analyses, hinting at a Southern Rocky Mountain origin for the section. Given its basal position, the this sub-clade holds keys to the origin and process of speciation in the group. Table 4. Biogeographic inferences from Lagrange. Model 2ln(L) Dispersal Extinction Ancestral area 2ln(L) SRM 51.91 79.5 1.943 NAI 52.55 BER 54.73 71.29 2.013 NAI/BER 56.13 NAC 56.15 BER 56.56 BER/NAC 57.88 JAP 78.14 100 3.689 BER 78.57 BER/JAP 79.80 JAP 80.92 CAS 83.09 100 3.811 BER 83.53 BER/CAS 84.76 CAS 85.85 REF 96.21 100 3.707 BER 96.21 All Lagrange [28] models permitted dispersal during interglacials (0–10 ky; 90– 130 ky; 190–240 ky) between any adjacent geographic areas as follows (Fig. 6): SRM from North America through Beringia to Asia; BER from Beringia outward; JAP from Japan through Beringia to North America; CAS from Central Asia & Siberia through Beringia to North America; except for REF, which restricted all dispersal prior to 10 kya. For all other models, dispersal was restricted during glacial periods (10–90 ky; 130–190 ky). The root age was estimated at 220 kya, based on 1.72 substitutions/site/year [55]. All ancestral areas inferred for the root node of each model are shown. doi:10.1371/journal.pone.0069814.t004 Model 2ln(L) Dispersal Extinction Ancestral area 2ln(L) Coastal Cascadia (sub-clade 18). The Cascadian sub-clade includes two distinct species endemic to the Pacific Northwest: S. vespertina of Oregon and Washington (USA) and S. taylorii of Haida Gwaii, British Columbia (Canada). Both species exhibit very patchy, narrow distributions where micro-environments provide suitable habitat. These two taxa were hypothesized to be close relatives of one another [19], though early molecular work suggested that they were more divergent than previously thought [72]. Our analyses show that indeed they are closely related species, but, the trnL-F sequences of S. vespertina are quite different from S. taylorii (Fig. 4). The two species share many characters in common that distinguish them from other clades in the section, most noticeably the presence of 3-lobed leaves (though this trait is variable in S. vespertina) that are soft to the touch. Yet, the flowers differ between the two, given the lack of spotting and larger petals in S. taylorii. These two species likely resided in coastal glacial refugia, splitting only recently due to that isolation. Sub-clades within Trachyphyllum Clade T2 Sub-clades within Trachyphyllum Clade T2 North American Arctic-Alpine (sub-clade 3). The basal- most lineages of Trachyphyllum Clade T2 belong to the North American S. austromontana and S. tricuspidata. Saxifraga austromontana is a North American endemic, from south of the Pleistocene ice sheets. Saxifraga tricuspidata is restricted to the northern part of the continent and neighboring Greenland. These two taxa are morphologically and molecularly distinct, though the genetic divergence between them is not great, suggesting a recent split and given the distributions of the two taxa, primarily north and south of the Laurentide Ice Sheet, the division was likely mediated by a glacial period. Interestingly, other than Wiegand [61] and Small [57], S. austromontana has always been assumed to be a subspecies of S. bronchialis. And, S. tricuspidata has traditionally been thought of as unique within the section, ‘clearly distinct from North American and most Asian species’ [22], given its 3-lobed leaves. Haworth [70] even placed it in a different genus (Leptasea Haw. rather than Ciliaria Haw.) than the other members of sect. Trachyphyllum and Don [71] considered it to be in a different section. That said, one described form of S. tricuspidata, f. subintegrifolia (Abrom.) Polunin, has entire leaves, similar to that of S. austromontana, though the two species are still readily distinguished by the presence of glandular hairs on the leaf margins of S. tricuspidata. Consequently, Calder and Savile [19] questioned whether the two were distinct species that had recently met during post-Last Glacial Maximum (LGM) range expansions. Indeed, they are closely related and geography appears to be the guide to the evolutionary history of these two. The ASR analysis revealed several traits that the two taxa share, though none differed from that of the section. This is likely Beringia and Asian Islands (sub-clade 7). The constituent taxa, S. funstonii, S. codyana, S. rebunshirensis, S. nishidae, and S. caulescens, are so morphologically diverse that they include members of each of the three subsections described by Khokhryakov [21] and Zhmylev and Khokhryakov [22], assuming S. nishidae were to fall within the Dentaphyllae as it should given its tricuspid leaves. All evidence suggests that these taxa are narrow endemics, with S. funstonii being the most widely distributed, from Alaska to Chukotka and Wrangel Is. of Russia. Saxifraga funstonii has strong support for monophyly (clade 9), excluding S. codyana. The question as to whether S. Revised circumscription of sect. Trachyphyllum Thus, divergence and endemism in these North American taxa is probably a product of allopatry, mediated by differing environ- mental selection pressures. Yet, their evolutionary relationship to the rest of the section, and thus the history of these species, remains unclear - Do they have a tighter association with North American or Asian taxa? One taxon that could provide a clue to this is S. arinae of Russia, which Zhmylev [14] hypothesized to be related to S. vespertina (but as stated previously, this species is likely synonymous with S. nishidae). Unfortunately, we were unable to obtain specimens of S. arinae for this study, but S. nishidae is clearly genetically distinct (Fig. 3, 5). All Lagrange [28] models permitted dispersal during interglacials (0–10 ky; 90– 130 ky; 190–240 ky) between any adjacent geographic areas as follows (Fig. 6): SRM from North America through Beringia to Asia; BER from Beringia outward; JAP from Japan through Beringia to North America; CAS from Central Asia & Siberia through Beringia to North America; except for REF, which restricted all dispersal prior to 10 kya. For all other models, dispersal was restricted during glacial periods (10–90 ky; 130–190 ky). The root age was estimated at 220 kya, based on 1.72 substitutions/site/year [55]. All ancestral areas inferred for the root node of each model are shown. doi:10.1371/journal.pone.0069814.t004 All Lagrange [28] models permitted dispersal during interglacials (0–10 ky; 90– 130 ky; 190–240 ky) between any adjacent geographic areas as follows (Fig. 6): SRM from North America through Beringia to Asia; BER from Beringia outward; JAP from Japan through Beringia to North America; CAS from Central Asia & Siberia through Beringia to North America; except for REF, which restricted all dispersal prior to 10 kya. For all other models, dispersal was restricted during glacial periods (10–90 ky; 130–190 ky). The root age was estimated at 220 kya, based on 1.72 substitutions/site/year [55]. All ancestral areas inferred for the root node of each model are shown. doi:10.1371/journal.pone.0069814.t004 rebunshirensis, and S. caulescens), iv) North Pacific (S. cherlerioides), v) Okhotsk (S. derbekii Sipliv. and S. omolojensis A. P. Khokhr.), and Central Asia including vi) Spinulosa (S. spinulosa and S. kruhsiana Fisch. ex Ser.), and vii) Bronchialis (S. bronchialis [including S. stelleriana] and S. bronchialis subsp. anadyrensis (Losinsk.) Kozhern). Sub-clades within Trachyphyllum Clade T2 Revised circumscription of sect. Trachyphyllum base of their white petals, leaves with fibrous margins and forward directed cilia, and conspicuous buds in the leaf axils at flowering time. The division of sect. Trachyphyllum into two separate groups, Clade T1 (S. aspera and S. bryoides) and Clade T2 (all others) has huge implications for clarifying the evolutionary history of the section (see DeChaine [69] for a formal revision). This finding fits with Zhmylev and Khokhryakov’s [22] suggestion that subsection Fibrosophyllae should be considered a section of its own given the subsection’s geographic and morphological uniqueness [22]. Indeed, S. aspera and S. bryoides are the only taxa to have been included within sect. Trachyphyllum that occur in the mountains (Alps, Apennines, Carpathians, and Pyrenees) of Europe, outside of Russia. They are also distinct environmentally for their reliance on silicaceous substrates. From a morphological standpoint, they differ from the other taxa in having a large, yellow blotch at the Taxa previously ascribed to sect. Trachyphyllum in the subsections Criomorphicae, Xeromorphicae, and Dentaphyllae form the monophyletic Clade T2. That said, the sub-sections and associated series [21,22] do not reflect evolutionary entities given the phylogeny inferred from our molecular markers, but rather appear to be largely based on convergent and/or environmentally affected characters. The seven narrowest, well-supported sub-clades in Clade T2 (Fig. 5, 7) are as follows, using the taxonomic ranks suggested by the phylogeny (Table 1): i) North American Arctic-Alpine (S. austromontana and S. tricuspidata), ii) Coastal Cascadia (S. taylorii and S. vespertina), iii) Beringia and Asian Islands (S. funstonii and S. codyana, and a well-supported sub-clade with S. nishidae, S. PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org July 2013 | Volume 8 | Issue 7 | e69814 13 Phylogeny of Saxifraga sect. Trachyphyllum because the two differ markedly in vegetative characters (such as entire vs. 3-lobed leaf margins). On a final note concerning these taxa, the southernmost populations of S. austromontana from Colorado and New Mexico fell outside the North American Arctic-Alpine sub-clade, though only well-supported in the ML analyses, hinting at a Southern Rocky Mountain origin for the section. Given its basal position, the this sub-clade holds keys to the origin and process of speciation in the group. because the two differ markedly in vegetative characters (such as entire vs. 3-lobed leaf margins). On a final note concerning these taxa, the southernmost populations of S. Sub-clades within Trachyphyllum Clade T2 codyana is a species [73] or not [18,74] still remains. At the minimum, this taxon should not be associated with S. bronchialis. A southern sub-clade (8), including S. nishidae, S. rebunshirensis, and S. caulescens, ranges from Kamchatka to Japan. McGregor [16] doubted that S. caulescens was anything more than a local form of S. bronchialis, but we show here that it is distinct. Given the morphological diversity of this small group, the ASR analysis was similar to that of the section overall, though petal spotting was inferred to be pink-purple. This group highlights the importance of Beringia and the mountains of Japan in preserving lineages and producing endemic taxa. North Pacific (sub-clade 12) - The accessions falling into the North Pacific sub-clade include both taxa determined to be S. cherlerioides and S. funstonii, ranging geographically along eastern Russia from Chukotka, through Sakhalin, and the Kuril Islands and across the Aleutians into southern Alaska and the Yukon. Though these two ‘species’ were viewed as being very similar morphologically and closely related evolutionarily [75], S. funstonii of the Beringia and July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org 14 Phylogeny of Saxifraga sect. Trachyphyllum Figure 7. Ancestral State Reconstructions (ASR) for the sub-clades of Saxifraga sect. Trachyphyllum. Only members of sect. Trachyphyllum Clade T2 are shown (not S. aspera or S. bryoides because they were not included in the morphological analyses given their divergent phylogenetic positions). Sub-clades used in the ASR analyses are numbered (from Fig. 5). The first three columns denote the focal clades depicted in the subsequent bar plots (note that the bottom row is for sub-clade 1 = Trachyphyllum), geographic location (white = North America, gray = Beringia, black = Eurasia), and subsection classification (white = Criomorphicae, gray = Dentaphyllae, black = Xeromorphicae), respectively. These columns are followed by the morphological characters and traits inferred for each sub-clade through the ASR analyses in SIMMAP. Only significant ASR’s are shown; the absence of a bar indicates no significant trait was inferred. White and gray shading denote traits within each character as labeled. doi:10.1371/journal.pone.0069814.g007 Figure 7. Ancestral State Reconstructions (ASR) for the sub-clades of Saxifraga sect. Trachyphyllum. Only members of sect. Trachyphyllum Clade T2 are shown (not S. aspera or S. bryoides because they were not included in the morphological analyses given their divergent phylogenetic positions). Sub-clades within Trachyphyllum Clade T2 Sub-clades used in the ASR analyses are numbered (from Fig. 5). The first three columns denote the focal clades depicted in the subsequent bar plots (note that the bottom row is for sub-clade 1 = Trachyphyllum), geographic location (white = North America, gray = Beringia, black = Eurasia), and subsection classification (white = Criomorphicae, gray = Dentaphyllae, black = Xeromorphicae), respectively. These columns are followed by the morphological characters and traits inferred for each sub-clade through the ASR analyses in SIMMAP. Only significant ASR’s are shown; the absence of a bar indicates no significant trait was inferred. White and gray shading denote traits within each character as labeled. doi:10.1371/journal.pone.0069814.g007 Asian Islands sub-clade is very distinct from a molecular standpoint. Morphologically they differ in that, unlike S. funstonii, S. cherlerioides has un-clawed petals, stamens shorter than petals, and smaller flowers and capsules. Yet, given the morphological similarity (and historic confusion) between S. cherlerioides and S. funstonii, it is not unlikely that the two S. funstonii specimens were mis-identified. The presence of two phylogenetically distinct trans- Beringian sub-clades further highlights that region’s role in intercontinental dispersal and diversification. Asian Islands sub-clade is very distinct from a molecular standpoint. Morphologically they differ in that, unlike S. funstonii, S. cherlerioides has un-clawed petals, stamens shorter than petals, and smaller flowers and capsules. Yet, given the morphological similarity (and historic confusion) between S. cherlerioides and S. funstonii, it is not unlikely that the two S. funstonii specimens were mis-identified. The presence of two phylogenetically distinct trans- Beringian sub-clades further highlights that region’s role in intercontinental dispersal and diversification. while S. omolojensis has yellow and red spots and clawed petals and pubescent, awl-shaped leaves. The characters inferred through ASR that unite them and distinguish them from most other sub- clades in the section are keeled leaves and glandular sepal surfaces. while S. omolojensis has yellow and red spots and clawed petals and pubescent, awl-shaped leaves. The characters inferred through ASR that unite them and distinguish them from most other sub- clades in the section are keeled leaves and glandular sepal surfaces. Central Asia (sub-clade 13): Spinulosa and Bronchialis. Much of the diversity of sect. Trachyphyllum has been characterized as belonging to two aggregates (sub-sections): Spinulosa (Criomorphicae) and Bronchialis (Xeromorphicae), but our analyses show that both these groups are polymorphic and that these two species are relatively closely related. Geographic drivers of divergence Trachyphyllum, the repeated independent origin of some traits (e.g., 3-lobed leaves), and the strong possibility of hybridization suggest that all three factors could be diminishing the utility of morphological characters for estimating evolutionary relationships. Along the range expansion route, colonization of new areas coincided with divergence of lineages and allopatric speciation. Those divergence events line up with refugial isolation during glacial periods (Fig. 6), but given that the estimates of divergence times in our gene tree are based on a very rough estimate of substitution rate [55] we feel that the temporal relationship should be viewed with caution. As lineages dispersed around the north Pacific Rim, several refugia lying in this arc could have been safe harbors that promoted divergence within sect. Trachyphyllum during glacial times. Traditionally, Beringia has been viewed as the major refugium for arctic plants in the region [78], and its role in the maintenance, dispersal, and potential diversification of lineages is evident herein. But, other putative refugia south of the ice in western North America (the Southern Rocky Mountain Refugium, Klamath region, Haida Gwaii [79,80,81]) and eastern Asia (the mountains of Japan and neighboring islands [82,83,84]) and west of Beringia (Central Asia [85,86]) had a clear impact on the origin and evolutionary history of this section. In addition, north-south splits were observed for several sub-clades in the phylogeny (S. taylorii and S. vespertina; S. austromontana and S. tricuspidata; S. funstonii and S. nishidae/S. rebunshirensis/S. caulescens), suggesting repeated rounds of isolation and divergence that fit with the pattern of glacial-interglacial cycles of range expansion and fragmentation. By uncovering these patterns, our analyses have begun to address some of the questions regarding the origin of the trans-Pacific tundra and taiga flora [78,87,88,89]. Hybridization and the evolution of sect. Trachyphyllum Though our study did not directly investigate hybridization within sect. Trachyphyllum, the phenomenon has probably exacer- bated the taxonomic uncertainty [14] and played a significant role in the history of the section [20]. Among the Eurasian species, many transitional forms between S. bronchialis and S. spinulosa have been documented that probably represent hybridization events [15,16,17,20,25]. Indeed, Elven et al. [17] suggested that because of the putative hybridization between S. bronchialis and S. spinulosa, the two aggregates/sub-sections (Xeromorphicae and Criomorphicae) were probably more closely related than previously suspected. This hypothesis was borne out in our phylogeny where the two were placed within the CAS sub-clade (Fig. 5,7). Geographic drivers of divergence From the preceding discussion, the tight association between phylogenetic sub-clades and geographic regions should be apparent. Indeed, with the exclusion of S. aspera and S. bryoides (Clade T1), the geographic distribution of sect. Trachyphyllum is limited to the arctic, alpine, and subalpine environs on either side of the north Pacific and in Beringia. Both of our approaches for testing biogeographic models, coalescent simulations under models of population divergence and maximum likelihood tests of geographic range evolution, strongly pointed to an origin of the section in the interior of North America followed by dispersal and divergence across Beringia and into Asia. Moreover, our analyses suggested an important role of coastal areas in facilitating westward dispersal around the north Pacific Rim, confirming the suspicions of Calder and Savile [19] of an enhanced northward coastwise rate of spread within sect. Trachyphyllum of North America. This goes against the more commonly inferred eastward migration of animals across the Bering Land Bridge [76], but fits with what has been found for other arctic plants [77] and underscores the importance of southern mountain refugia in the evolution of the arctic flora [8]. Ours is not the first study to address issues concerning which morphological characters are useful in the classification of the Saxifraga. Webb and Gornall [15] summarized the characterization of the flowers of Saxifraga as usually having 5 sepals, 5 petals, 10 stamens in 2 whorls (outer opposite sepals and inner opposite petals), 2 carpels that are united at least in part, and an absence of a free hypanthium. They further noted that the highly variable vegetative characters used to separate the sections, subsections, and series are often correlated with habitat and that the more useful characters were associated with the hairs, leaf crystals, presence of hydathodes, ovary position, and petal coloring. Our analyses corroborate their assertions for sect. Trachyphyllum as well. For sect. Saxifraga, Vargas [13] showed that morphological characters could not be mapped onto the phylogenetic clades, as with our findings for sect. Trachyphyllum. Vargas [13] suggested that the incongruence could be due to convergence of traits, lineage sorting, or hybridization and reticulation, citing the greatest support for the latter. Indeed, interspecific hybrids are common in Saxifraga (mostly notably in sect. Saxifraga, sect. Gymnopera, sect. Ligulatae, and sect. Porphyrion), which has made classifications based on morphology difficult [15,16]. The potentially recent splits observed between sub-clades in sect. Sub-clades within Trachyphyllum Clade T2 The ASR for the Central Asia sub-clade did not differ from that of sect. Trachyphyllum on the whole, but there are some distinguishing traits between taxa. The Spinulosa aggregate (sub-clade 14) has been reduced by our analyses to include only S. spinulosa and S. kruhsiana. The two specimens of S. spinulosa are monophyletic, though the same is not true for S. kruhsiana. This, and the short branch lengths of this clade suggest that the two taxa are potentially either closely related species or subspecies. These taxa g p Central Asia (sub-clade 13): Spinulosa and Bronchialis. Much of the diversity of sect. Trachyphyllum has been characterized as belonging to two aggregates (sub-sections): Spinulosa (Criomorphicae) and Bronchialis (Xeromorphicae), but our analyses show that both these groups are polymorphic and that these two species are relatively closely related. The ASR for the Central Asia sub-clade did not differ from that of sect. Trachyphyllum on the whole, but there are some distinguishing traits between taxa. The Spinulosa aggregate (sub-clade 14) has been reduced by our analyses to include only S. spinulosa and S. kruhsiana. The two specimens of S. spinulosa are monophyletic, though the same is not true for S. kruhsiana. This, and the short branch lengths of this clade suggest that the two taxa are potentially either closely related species or subspecies. These taxa Okhotsk (sub-clade 17). Saxifraga derbekii and S. omolojensis are morphologically distinct species that had not previously been hypothesized to be closely related, beyond both being suspected to nest with S. bronchialis in the Xeromorphicae subsection [22]. Yet, the two species form a well-supported clade. Again, geography holds clues to their association in that both species occur in Magadan, Russia, near the Sea of Okhotsk and most likely are endemic species of that region. Saxifraga derbekii is known for its pale pinkish spots at the base of its white petals and linear-lanceolate leaves, July 2013 | Volume 8 | Issue 7 | e69814 PLOS ONE | www.plosone.org 15 Phylogeny of Saxifraga sect. Trachyphyllum range across Russia, from the Urals to Kamchatka, Chukotka, and Okhotsk. The Bronchialis sub-clade (16) consists of S. bronchialis, S. stelleriana and S. bronchialis subsp. anadyrensis, which are all likely subspecies or varieties of S. bronchialis. All three taxa had been previously hypothesized to be in the same subsection (Xeromorphi- cae), but with several other taxa as well. While our findings support the classification of S. Sub-clades within Trachyphyllum Clade T2 bronchialis subsp. anadyrensis, our inferences suggest that S. stelleriana may not deserve any taxonomic distinction as noted by Elven et al. [17]. This sub-clade is geographically wide-ranging in Russia, from the Lena River and Lake Baikal to Sakhalin. The ASR inferences differed between the two groups in the character states for leaf keel and petal spotting. These findings have helped to clarify the number of endemic species and infraspecies that have been included within both S. spinulosa and S. bronchialis. The utility of morphological characters in estimating evolutionary relationships The utility of morphological characters in estimating evolutionary relationships Our analyses of the utility of morphological characters in defining evolutionary relationships in sect. Trachyphyllum suggest that several traits are useful for identifying an individual taxon and many are either evolutionarily convergent or vary in response to environmental conditions. Some of the traits were taxon specific, such as the lack of spotting in S. taylorii or the hairiness of the leaf surfaces in S. omolojensis, and thus not useful for inferring relationships among species. Other traits appeared multiple times across the tree, for example the 3-lobed leaves of S. tricuspidata, S. taylorii, S. vespertina, and S. nishidae, suggesting multiple origins. Several traits departed from the overall ASR for sect. Trachyphyl- lum, and thus appeared useful for determining clade membership at a = 0.05, but also overlap in several clades (i.e., leaf keel, sepal surface, petal spotting). Thus, our ASR analyses suggest that morphology alone is not a good means of determining evolution- ary relationships in sect. Trachyphyllum. Geographic drivers of divergence Though not restricted to that sub-clade, the diploid nature of the taxa could have facilitated hybridization [17,90]. The evolutionary implications of those hybridization events remain uncertain, but for one hypothetical hybrid, our molecular analyses have helped to resolve the history. Siplivinsky [20] postulated that S. caulescens was ‘‘undoubtedly’’ a hybrid of S. bronchialis and S. spinulosa, but if that PLOS ONE | www.plosone.org July 2013 | Volume 8 | Issue 7 | e69814 16 Phylogeny of Saxifraga sect. Trachyphyllum were the case S. caulescens would have been nested with them in the CAS sub-clade rather than associated with the Japanese taxa in the BER sub-clade. Other Eurasian species in our analyses (e.g., S. derbekii and S. omolojensis) are phylogenetically distinct and exhibit unique, rather than intermediate, morphologies implying that they did not arise through hybridization [91,92]. Furthermore, there is nothing to suggest hybridization among the North American species of sect. Trachyphyllum [15]. Calder and Savile [19] clearly argued that there was no evidence for hybridization between S. austromontana and S. tricuspidata, S. funstonii and S. tricuspidata, or S. funstonii and S. cherlerioides (disputing an earlier suggestion of Losina-Losinskaya [25]) and Goertzen [71] experimentally showed that S. taylorii and S. vespertina would not hybridize. Finally, there is no indication of hybridization between the European species, S. aspera and S. bryoides [15] (Clade T1). Yet, hybridization has served as an important evolutionary mechanism for some groups of the Saxifragaceae (reviewed in [9]), and in particular Saxifraga [13,15,16], begging further analyses that employ a suite of genetic loci [90] to clarify the extent that hybridization has impacted the evolutionary history of sect. Trachyphyllum. our study underscored the important roles of southern mountains and westward dispersal across refugia in promoting diversification within this group. Furthermore the arctic-alpine environment and the trans-Beringia region were highlighted as critical factors in the evolution of Saxifraga. But, more thorough tests incorporating numerous samples per species and across their ranges will help to resolve the geographic origin and dispersal routes in the region. The morphological assessment identified useful and convergent characters that have been used in classifying members of sect. Trachyphyllum and Saxifraga in general. A thorough morphological examination of all sect. Trachyphyllum taxa remains to be done and should be performed on fresh specimens in order to view characters that may change with drying (e.g., petal color and spotting). Acknowledgments Collecting permits were provided by the Arctic National Wildlife Refuge (permit #2006-S6), the Gates of the Arctic National Park (GAAR-2008- SCI-0001), and the Noatak National Preserve (NOAT-2008-SCI-0003). In addition, this study would not have been possible without the generous loans provided by various herbaria: the Rocky Mountain Herbarium (RMH), the Royal Botanic Gardens Edinburgh (RBGE), the University of Alaska Museum Herbarium (ALA), the University of British Columbia Herbarium (UBC), the University of Washington Herbarium (WTU), and the Western Washington University Herbarium (WWB). We thank A. Tribsch for collecting specimens of S. aspera and S. bryoides. Finally, we are grateful to S. Lavergne and two anonymous reviewers for providing constructive feedback on this manuscript. Geographic drivers of divergence Future comparative analyses within this section, incorporating many individuals and numerous nuclear loci, will likely permit a deeper understanding of how evolutionary processes have impacted speciation in Saxifraga, the arctic-alpine flora, and the biogeographic history of the north Pacific. Conclusions We view this study as a first step in elucidating the evolutionary history of Saxifraga sect. Trachyphyllum, while much work remains to be done. Our molecular analyses have set up hypotheses, providing a new foundation for the circumscription of this section, uncovering the separate placement of S. aspera and S. bryoides, inferring a basal position of sect. Trachyphyllum within Saxifraga, suggesting a middle-ground for the number of species within the section, emphasizing the role of refugia in evolution and diversification, and revealing the usefulness of various morpho- logical characters in categorizing members of the section. From a taxonomic perspective, we have added to our understanding of the diversity within Saxifraga and revealed the importance of sect. Trachyphyllum as a sister clade to the remainder of the genus. Our analyses suggest the following taxonomic classifications: S. austromontana Wiegand, S. funstonii (Small) Fedde, possibly S. codyana Zhmylev, and the potential inclusion of S. stelleriana Merk. ex. Ser. within S. bronchialis L. Major questions still remain regarding i) the position of the Coastal Cascadia sub-clade (S. taylorii and S. vespertina), ii) the diversity within the Beringia and Asian Islands sub-clade (particularly that of S. nishidae, S. rebunshirensis, and S. caulescens), and iii) the classification of members of sect. Trachy- phyllum that were unavailable for this study. In terms of geography, Author Contributions Conceived and designed the experiments: EGD. Performed the experi- ments: EGD SAA JMM BMW. Analyzed the data: EGD SAA JMM BMW. Contributed reagents/materials/analysis tools: EGD. Wrote the paper: EGD SAA JMM BMW. Conceived and designed the experiments: EGD. Performed the experi- ments: EGD SAA JMM BMW. Analyzed the data: EGD SAA JMM BMW. Contributed reagents/materials/analysis tools: EGD. Wrote the paper: EGD SAA JMM BMW. Supporting Information Appendix S1 GenBank accession numbers for data not generated in this study. Data are labeled as follows: Chloro- plast = C, ITS = I, ITS1 = I1, ITS2 = I2. (DOC) Appendix S1 GenBank accession numbers for data not generated in this study. Data are labeled as follows: Chloro- plast = C, ITS = I, ITS1 = I1, ITS2 = I2. (DOC) 13. Vargas P (2000) A phylogenetic study of Saxifraga sect. Saxifraga (Saxifragaceae) based on nrDNA ITS sequences. Plant Syst Evol 223: 59–70. 14. Zhmylev PYu (1988) Notes of Rockfoils (Saxifraga L.) of the section Trachyphyllum Gaud. Byull Moskovsk Obshch Isp Prir, Otd Biol 93: 91–99. 12. Conti E, Soltis DE, Hardig TM, Schneider J (1999) Phylogenetic relationships of the Silver Saxifrages (Saxifraga, Sect. Ligulatae Haworth): Implications for the Evolution of substrate specificity, life histories, and biogeography. Mol Phyl Evol 13: 536–555. 7. Abbott RJ, Comes HP (2003) Evolution in the Arctic: a phylogeographic analysis of the circumarctic plant, Saxifraga oppositifolia (Purple saxifrage). New Phytol 161: 211–224. 11. 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